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SCHEDULE D, PART XI, LINE 4B MEMBER EQUITY CONTRIBUTIONS $55,858,190 X true true false false false false false false false false false EDWARD STONE EXECUTIVE DIRECTOR 162092 64943 20473 7964 255472 GARY SANDERS PROJECT MANAGER 256864 17916 40531 3070 318381 PHILLIP LINDQUIST BUSINESS MANAGER 210708 33285 23320 267313 RAVINDER BHATIA ASSOCIATE PROJECT MANAGER 243111 543 28237 21578 293469 LAWRENCE STEPP TELESCOPE DEPARTMENT HEAD 247370 0 35302 12129 294801 SANDRA DAWSON MGR HAWAI'I COMMUNITY AFFAIRS 217098 10348 31359 48776 307581 CHRISTOPHE DUMAS OBSERVATORY SCIENTIST 116808 46770 57823 27142 60680 309223 MARK SIROTA TELESCOPE CTRLS GROUP LEADER 222195 646 32289 21035 276165 FORM 990, SCHEDULE J, PART I, LINE 1A ONE OFFICER RECEIVED A HOUSING ALLOWANCE, WHICH IS INCLUDED IN COLUMN B(III). FORM 990, SCHEDULE J, PART II IN CONNECTION WITH PROFESSIONAL SERVICES RENDERED TO TIO, PHILIP LINDQUIST AND GARY SANDERS ARE COMPENSATED BY CALTECH, A TIO MEMBER ORGANIZATION. Ravinder Bhatia, Lawrence Stepp, Sandra Dawson, Christophe Dumas and Mark Sirota are compensated by TMT Observatory Corpration ("tmt") and provided to TIO pursuant to a personnel administrative agreement. THE AMOUNTS INCLUDED ON PART VII AND SCHEDULE J, PART II REFLECT REIMBURSEMENT AMOUNTS PAID BY TIO TO THESE UNRELATED ORGANIZATIONS FOR THE INDIVIDUAL'S SERVICES. EDWARD STONE IS EMPLOYED AS A PROFESSOR OF PHYSICS AT CALTECH. THE AMOUNTS INCLUDED IN PART VII AND SCHEDULE J REPRESENT HIS COMPENSATION IN CONNECTION WITH HIS SERVICES PROVIDED TO TIO. PART I, LINE 1 AND PART III, LINES 1 AND 4A TMT INTERNATIONAL OBSERVATORY (TIO) WAS FOUNDED BY THE MEMBERS listed below exclusively to further charitable, educational and scientific purposes and, within such limits, to advance scientific knowledge and education through the study, observation, and collection of images and information from deep space with the objective of furthering human understanding of astronomy and the origins of the universe: 1. The Regents of the University of California ("UC") 2. The California Institute of Technology ("Caltech") 3. The National Institutes of Natural Sciences (the "Japanese National Institutes") 4. The National Astronomical Observatories of the Chinese Academy of Sciences (the "Chinese Academy of Sciences") 5. THE NATIONAL RESEARCH COUNCIL OF CANADA ("NRC") 6. THE DEPARTMENT OF SCIENCE AND TECHNOLGY, GOVERNMENT OF INDIA ("DST") TIO is pursuing its purpose by designing, developing, constructing, and operating a "state-of-the-art" thirty-meter, world class telescope and associated observatory on Mauna Kea in Hawai'i (the "TMT Project") and, in relation thereto, fostering academic and scientific interaction among educational and other research institutions on a global basis. FORM 990, PART VI, LINE 1 The governing body of TIO is its Board. The Board is comprised of three Governors appointed by each member of the organization, and the Executive Director, who is an ex-officio Governor and also sits on the Board. Each member must designate one of its Governors as a Governor who is entitled to vote, so although as of December 31, 2015 the Board had a total of 18 Governors, only six Governors are voting members of the Board. FORM 990, PART VI, LINE 2 CHAIRPERSON, HENRY YANG, IS CHANCELLOR AT THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA. GOVERNOR, MICHAEL BOLTE, AND TREASURER, NATHAN BROSTROM, ARE EMPLOYED BY THE UNIVERSITY OF CALIFORNIA. GOVERNOR DEAN CURRIE, IS VP FOR BUSINESS AND FINANCE AT CALIFORNIA INSTITUTE OF TECHNOLOGY. EXECUTIVE DIRECTOR EDWARD C STONE, IS PROFESSOR OF PHYSICS AT CALIFORNIA INSTITUTE OF TECHNOLOGY. GOVERNOR B. THOMAS SOIFER IS PROFESSOR OF PHYSICS AT CALIFORNIA INSTITUTE OF TECHNOLOGY. GOVERNOR FIONA HARRISON IS CHAIR, DIVISION OF PHYSICS, MATHEMATICS AND ASTRONOMY AT CALIFORNIA INSTITUTE OF TECHNOLOGY. GOVERNOR SHRINIVAS KULKARNI, IS PROFESSOR OF ASTRONOMY AND PLANETARY SCIENCE AND DIRECTOR OF OPTICAL OBSERVATORIES AT CALIFORNIA INSTITUTE OF TECHNOLOGY. Governor Masanori Iye is the TIO Japan representative and a professor at the National Astronomical Observatory of Japan, the National Institute of Natural Sciences. Governor Tomonori Usuda is the Director of the TMT-Japan project and a professor at the National Astronomical Observatory of Japan, the National Institute of Natural Sciences. Governor Raymond Carlberg is a Professor and Chair, Department of Astronomy & Astrophysics, University of Toronto. Carlberg is also a Senior Fellow, Canadian Institute for Advanced Research. Governor Donald Brooks is a Professor of Pathology and Chemistry, University of British Columbia and Executive Director of the Association of Canadian Universities for Research in Astronomy. Governor Gregory Fahlman is General Manager of the Herzberg Astronomy and Astrophysics Portfolio of the National Research of Canada. Dr. Suijian Xue is the Deputy Director General of National Astronomical Observatories of the Chinese Academy of Sciences and the Project Manager for TMT China. Dr. Shude Mao prof of astrophysics of Tsinghua university. Dr. Gang Zhao Deputy Director General of National Astronomical Observatories of the Chinese Academy of Sciences. Dr. B. Eswar Reddy is a Professor at Indian Institute of Astrophysics, Bengaluru and a designated Governor at TIO board representing Department of Science & Technology, Govt. of India. Dr. Praveer Asthana is the head of Mega Science Project at the department of science and Technology, Government of India. FORM 990, PART VI, LINES 6 AND 7 As of 12/31/2015 the Members of TIO were: 1. The Regents of the University of California 2. The California Institute of Technology 3. The National Institutes of Natural Sciences 4. The National Astronomical Observatories of the Chinese Academy of Sciences 5. THE NATIONAL RESEARCH COUNCIL OF CANADA ("NRC") 6. THE DEPARTMENT OF SCIENCE AND TECHNOLGY, GOVERNMENT OF INDIA ("DST") GOVERNANCE DECISIONS OF THE ORGANIZATION INCLUDING THE APPOINTMENT AND NUMBER OF GOVERNORS, ADMISSION OF NEW MEMBERS AND THE TERMS OF SUCH ADMISSION ARE RESERVED TO THE MEMBERS OF THE ORGANIZATION. FORM 990, PART VI, LINE 11B WORKING WITH PRICEWATERHOUSECOOPERS, LLP ("PWC"), THE FORM 990 IS PREPARED. THE FORM 990 IS THEN REVIEWED BY MANAGEMENT, THE LEGAL COUNSEL AND THE AUDIT COMMITTEE. PRIOR TO FILING WITH THE IRS THE FINAL FORM 990 IS MADE AVAILABLE TO THE FULL BOARD. PWC SIGNS THE RETURN AS PAID PREPARER AND ELECTRONICALLY FILES THE RETURN WITH THE IRS. FORM 990, PART VI, LINE 12C ON AN ANNUAL BASIS, TIO DISTRIBUTES CONFLICT OF INTEREST QUESTIONNAIRES WHICH THE BOARD MEMBERS, KEY EMPLOYEES AND HIGHEST COMPENSATED EMPLOYEES COMPLETE AND RETURN. MANAGEMENT OF TMT REVIEWS THE RETURNED FORMS FOR COMPLIANCE. IF A CONFLICT IS DISCOVERED IT IS ESCALATED TO THE APPROPRIATE PARTY WITHIN THE ORGANIZATION. FORM 990, PART VI, LINE 18 FORM 990 WILL ALSO BE MADE AVAILABLE THROUGH GUIDESTAR.ORG. FORM 990, PART VI, LINE 19 Availability of governing documents and policies, conflict of INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART VII IN CONNECTION WITH PROFESSIONAL SERVICES RENDERED TO TIO, PHILIP LINDQUIST AND GARY SANDERS ARE COMPENSATED BY CALTECH, A TIO MEMBER ORGANIZATION AND TMT OBSERVATORY CORPORATION ("TMT"). Ravinder Bhatia, Lawrence Stepp, Sandra Dawson, CHRISTOPHE DUMAS and Mark Sirota are compensated by TMT and provided to TIO pursuant to a personnel administrative agreement. THE AMOUNTS INCLUDED ON PART VII AND SCHEDULE J, PART II REFLECT REIMBURSEMENT AMOUNTS PAID BY TIO TO THESE UNRELATED ORGANIZATIONS FOR THE INDIVIDUAL'S SERVICES. EDWARD STONE IS EMPLOYED AS A PROFESSOR OF PHYSICS AT CALTECH. THE AMOUNTS INCLUDED IN PART VII AND SCHEDULE J REPRESENT HIS COMPENSATION IN CONNECTION WITH HIS SERVICES PROVIDED TO TIO.