2015-05-14T14:40:34-05:00 2014-06-30 DELOITTE TAX LLP 111 SOUTH WACKER DRIVE CHICAGO IL 606064301 990 2013-07-01 310734115 OCLC ONLINE COMPUTER LIBRARY CENTER INC OCLC 6147646000 6565 KILGOUR PLACE DUBLIN OH 43017 RICK J SCHWIETERMAN EXEC VP & CFO 6147646000 2015-05-14 1 ANNE FULTON P00941863 3124861000 2013 2016-02-25 16:41:14Z RICK J SCHWIETERMAN 6565 KILGOUR PLACE DUBLIN OH 43017 443230255 0 X OCLC.ORG X 1967 OH ESTABLISH, MAINTAIN AND OPERATE A COMPUTERIZED LIBRARY NETWORK AND TO (CONTINUED ON SCHEDULE O) PROMOTE THE EVOLUTION OF LIBRARY USE, OF LIBRARIES THEMSELVES AND OF LIBRARIANSHIP, AND TO PROVIDE PROCESSES AND PRODUCTS FOR THE BENEFIT OF LIBRARY USERS AND LIBRARIES, INCLUDING SUCH OBJECTIVES AS INCREASING AVAILABILITY OF LIBRARY RESOURCES TO INDIVIDUAL LIBRARY PATRONS AND REDUCING THE RATE-OF-RISE OF LIBRARY PER-UNIT COSTS, ALL FOR THE FUNDAMENTAL PUBLIC PURPOSE OF FURTHERING EASE OF ACCESS TO AND USE OF THE EVER-EXPANDING BODY OF WORLDWIDE SCIENTIFIC, LITERARY AND EDUCATIONAL KNOWLEDGE AND INFORMATION. 15 15 1000 0 102583 83920 2771624 2041508 201123040 205490516 13891093 43085541 478134 327692 218263891 250945257 187401 250465 0 0 116659926 120963202 0 0 0 99152961 95373268 216000288 216586935 2263603 34358322 391597055 425908617 146620492 158996757 244976563 266911860 X ESTABLISH, MAINTAIN AND OPERATE A COMPUTERIZED LIBRARY NETWORK AND TO PROMOTE THE EVOLUTION OF LIBRARY USE, OF LIBRARIES THEMSELVES AND OF LIBRARIANSHIP, AND TO PROVIDE PROCESSES AND PRODUCTS FOR THE BENEFIT OF LIBRARY USERS AND LIBRARIES, INCLUDING SUCH OBJECTIVES AS INCREASING AVAILABILITY OF LIBRARY RESOURCES TO INDIVIDUAL LIBRARY PATRONS AND REDUCING THE RATE-OF-RISE OF LIBRARY PER-UNIT COSTS, ALL FOR THE FUNDAMENTAL PUBLIC PURPOSE OF FURTHERING EASE OF ACCESS TO AND USE OF THE EVER-EXPANDING BODY OF WORLDWIDE SCIENTIFIC, LITERARY AND EDUCATIONAL KNOWLEDGE AND INFORMATION. 0 0 197557489 250465 205490516 OCLC ONLINE COMPUTER LIBRARY CENTER IS A NONPROFIT MEMBERSHIP, COMPUTER LIBRARY SERVICE AND RESEARCH COOPERATIVE DEDICATED TO THE PUBLIC PURPOSES OF FURTHERING ACCESS TO THE WORLD'S INFORMATION AND REDUCING LIBRARY COSTS. IT WAS FOUNDED IN 1967 BY THE OHIO COLLEGE ASSOCIATION AND INITIALLY PROVIDED SERVICES TO 54 OHIO ACADEMIC LIBRARIES. SINCE THEN, OVER 78,000 LIBRARIES IN 170 COUNTRIES HAVE USED OCLC SERVICES TO LOCATE, ACQUIRE, CATALOG, LEND, PRESERVE AND MANAGE LIBRARY MATERIALS. RESEARCHERS, STUDENTS, FACULTY, SCHOLARS, PROFESSIONAL LIBRARIANS AND OTHER INFORMATION SEEKERS USE OCLC SERVICES TO OBTAIN BIBLIOGRAPHIC, ABSTRACT AND FULL-TEXT INFORMATION WHEN AND WHERE THEY NEED IT.OCLC AND ITS MEMBER LIBRARIES COOPERATIVELY PRODUCE AND MAINTAIN THE WORLDCAT BIBLIOGRAPHIC DATABASE. WORLDCAT IS ESSENTIALLY THE MERGED CATALOGS OF PARTICIPATING LIBRARIES AROUND THE WORLD. EACH RECORD IN THIS DATABASE DESCRIBES A SINGLE ITEM OR WORK AND A LIST OF INSTITUTIONS THAT HOLD THE ITEM. SINCE 1971, LIBRARIES HAVE CONTRIBUTED OVER 321 MILLION RECORDS AND MORE THAN 2.13 BILLION LOCATION LISTINGS TO THE DATABASE, WHICH SPANS MORE THAN 6,000 YEARS OF RECORDED KNOWLEDGE AND GROWS STEADILY, A NEW RECORD IS ADDED EVERY SECOND. LIBRARIES USE WORLDCAT FOR CATALOGING, ACQUISITIONS, INTERLIBRARY LOAN AND REFERENCE. THE GENERAL PUBLIC CAN ACCESS WORLDCAT FROM THE INTERNET DIRECTLY, OR THROUGH OCLC PARTNER SITES, AND BE DIRECTED TO INDIVIDUAL LIBRARY CATALOGS FROM THEIR SEARCHES.IN 2013, THE OCLC COOPERATIVE TOOK A MAJOR STEP FORWARD IN PROVIDING CLOUD SOLUTIONS BY CONVERTING THE UNDERLYING TECHNOLOGY FOR WORLDCAT TO APACHE HBASE/HADOOP. THIS NEW STRUCTURE, WHICH IS USED BY MANY GLOBAL INFORMATION PROVIDERS, INCLUDING FACEBOOK AND ADOBE, HAS REDUCED HARDWARE STORAGE REQUIREMENTS AND SIMPLIFIED OCLC'S COMPUTING FOOTPRINT TO SUPPORT GROWTH. AS A RESULT, EXECUTION TIME FOR SOME MAJOR DATA OPERATIONS HAS BEEN SLASHED FROM DAYS TO HOURS. IN ADDITION, THE UPGRADE ENABLES OCLC TO EXPLORE NEW AREAS SUCH AS DETAILED ANALYTICS AND ENRICHED RELATIONSHIPS THAT WILL INCREASE THE VALUE OF THE COOPERATIVE'S DATA FOR ALL LIBRARIES.2014 WAS A YEAR OF TRANSITION AND TRANSFORMATION AS OCLC CONTINUED TO MIGRATE SERVICES TO THE CLOUD ON THE WORLDSHARE PLATFORM, THE CLOUD-BASED TECHNICAL INFRASTRUCTURE THAT SUPPORTS INTEGRATION OF APPLICATIONS FROM OCLC AND OTHER LIBRARY SERVICE PROVIDERS. MORE THAN 9,000 MEMBERS MOVED TO WORLDSHARE INTERLIBRARY LOAN (ILL), COMPLETING THE MIGRATION OF WORLDCAT RESOURCE SHARING TO THE NEW WORLDSHARE ARCHITECTURE. WORLDSHARE ILL ALLOWS LIBRARIES TO PARTICIPATE IN THE LARGEST RESOURCE SHARING NETWORK IN THE WORLD, WITH MORE OPTIONS FOR GETTING MATERIALS DIRECTLY INTO THE HANDS OF LIBRARY USERS.OCLC CONTINUED TO BUILD MOMENTUM AND SCALE WITH WORLDSHARE MANAGEMENT SERVICES (WMS), THE CLOUD-BASED LIBRARY MANAGEMENT AND DISCOVERY APPLICATIONS IN AN INTEGRATED SUITE. OCLC SERVICES ARE DESIGNED TO INCREASE THE AVAILABILITY OF LIBRARY RESOURCES AND LOWER THE RATE OF RISE OF LIBRARY COSTS. WMS OFFERS LIBRARIANS A COST-EFFECTIVE WAY TO MANAGE WORKFLOWS EFFICIENTLY, AND IMPROVE ACCESS TO LIBRARY COLLECTIONS AND SERVICES FOR THEIR USERS. THE FIRST ARL MEMBER, THE UNIVERSITY OF DELAWARE LIBRARY, WENT LIVE IN 2014. THE FIRST ACADEMIC LIBRARY GROUP IMPLEMENTED WMS, THE PRIVATE ACADEMIC LIBRARY NETWORK OF INDIANA (PALNI), AND ANOTHER ACADEMIC GROUP, LIBROS, WHICH CONSISTS OF 16 ACADEMIC LIBRARIES IN NEW MEXICO, ALSO SELECTED WMS.TO UNIFY VARIOUS DISCOVERY OFFERINGS AND BRING NEW VALUE TO 18,000 REFERENCE USERS, OCLC LAUNCHED WORLDCAT DISCOVERY SERVICES IN MARCH 2014. MORE THAN 600 LIBRARIES PARTICIPATED IN THE BETA PROGRAM TO HELP DESIGN THE WORKFLOWS, USER INTERFACE AND FUNCTIONALITY OF THIS NEW REFERENCE AND DISCOVERY SERVICE. OCLC CONTINUES TO ENHANCE WORLDCAT DISCOVERY SERVICES WITH NEW FEATURES AND FUNCTIONALITY AS LIBRARIES AND THEIR USERS MOVE TO THIS SERVICE SUITE.OCLC CONTINUED TO FOCUS ON E-RESOURCE METADATA AND MANAGEMENT TO IMPROVE DISCOVERY, SHARING AND USE OF ELECTRONIC RESOURCES BY LIBRARY PATRONS. THE WORLDCAT KNOWLEDGE BASE (MAINTAINED USING WORLDSHARE COLLECTION MANAGER) HAS GROWN TO MORE THAN 12,000 ELECTRONIC COLLECTIONS FROM MORE THAN 5,900 PROVIDERS. OCLC'S LINKED DATA INITIATIVES PUT LIBRARY METADATA INTO EXCITING, NEW MAINSTREAM WORKFLOWS, EXPOSING LIBRARY COLLECTIONS TO THE WIDER WEB COMMUNITY. IN JUNE 2014, OCLC MADE 197 MILLION BIBLIOGRAPHIC WORK DESCRIPTIONS - WORLDCAT WORKS - AVAILABLE AS LINKED DATA, A FORMAT NATIVE TO THE WEB THAT WILL IMPROVE DISCOVERY OF LIBRARY COLLECTIONS. THESE COLLECTIONS ARE MORE EASILY DISCOVERABLE THROUGH WEBSITES AND SERVICES THAT LIBRARY USERS VISIT DAILY, SUCH AS GOOGLE, WIKIPEDIA AND SOCIAL NETWORKS.FOR THE FISCAL YEAR ENDED JUNE 30, 2014, LIBRARIES USED OCLC SERVICES TO:CATALOG 489.2 MILLION ITEMS ONLINE AND VIA BATCHLOADADD 18.7 MILLION RECORDS TO THE WORLDCAT DATABASEARRANGE 8.2 MILLION INTERLIBRARY LOANSPERFORM 33.9 MILLION END-USER REFERENCE SEARCHES ON THE OCLC FIRSTSEARCH SERVICEPERFORM 222.6 MILLION CLICK-THROUGHS FROM PARTNER SITES ON THE WEB TO THE WORLDCAT.ORG LANDING PAGEIN ADDITION, OCLC PUBLISHES THE DEWEY DECIMAL CLASSIFICATION, THE WORLD'S MOST WIDELY USED LIBRARY CLASSIFICATION SYSTEM. NOW IN ITS 23RD EDITION SINCE IT WAS FIRST PUBLISHED IN 1876, THE CLASSIFICATION IS USED BY MORE THAN 200,000 LIBRARIES IN 140 COUNTRIES.OCLC RESEARCH IS ONE OF THE WORLD'S LEADING ORGANIZATIONS DEDICATED TO EXPLORING INNOVATIVE USES OF LIBRARY DATA AND INFORMATION SYSTEM TECHNOLOGY, FOR THE PUBLIC PURPOSES OF PROMOTING THE EVOLUTION OF LIBRARY USE, OF LIBRARIES THEMSELVES, AND OF LIBRARIANSHIP. THAT EFFORT INCLUDES THE OCLC RESEARCH LIBRARY PARTNERSHIP, WHICH PROVIDES A VENUE FOR RESEARCH INSTITUTIONS TO ENGAGE WITH OCLC TO WORK COOPERATIVELY ON MAKING OPERATIONAL PROCESSES MORE EFFICIENT AND SHAPING NEW SCHOLARLY SERVICES BY DIRECTLY ENGAGING SENIOR MANAGERS. CURRENTLY, THERE ARE 168 MEMBERS IN THE PARTNERSHIP.OCLC IS ONE OF THE FOUNDING ORGANIZATIONS OF THE VIRTUAL INTERNATIONAL AUTHORITY FILE CONSORTIUM, A COOPERATIVE UNDERTAKING OF 20 NATIONAL LIBRARIES AND OTHER ORGANIZATIONS IN 16 COUNTRIES. VIAF COMBINES MULTIPLE NAME AUTHORITY FILES INTO A SINGLE NAME AUTHORITY SERVICE. OCLC IS WORKING WITH WIKIPEDIA TO PROVIDE LINKS BETWEEN NAMES APPEARING IN WIKIPEDIA ARTICLES AND LIBRARY RESOURCES.OCLC ALSO HELPED TO MAGNIFY THE UNIQUE AND IMPORTANT WORK THAT LIBRARIES DO. PROGRAMS LIKE GEEK THE LIBRARY HAVE BEEN SHOWN TO HELP BUILD SUPPORT FOR FUNDING, WHILE THE OUTSIDE THE BOX INITIATIVE GIVES LIBRARIES A CHANCE TO DO MORE COMMUNITY OUTREACH. HELPING USERS NAVIGATE NEW HEALTHCARE LAWS DREW LIBRARIANS INTO CHALLENGING EDUCATIONAL SITUATIONS THAT THEY MET COOPERATIVELY THROUGH PROGRAMS SUCH AS HEALTH HAPPENS IN LIBRARIES.WEBJUNCTION, OCLC'S FIRST ADVOCACY AND LARGE-SCALE LIBRARY DEVELOPMENT PROGRAM, CONTINUES TO BE THE PLACE WHERE THE LIBRARY PROFESSION GATHERS TO BUILD THE KNOWLEDGE, SKILLS AND SUPPORT NEEDED TO POWER RELEVANT, VIBRANT LIBRARIES. IN 2014, THIS OPEN, ONLINE LEARNING COMMUNITY HAD 621,000 VISITS TO WEBJUNCTION.ORG, AND SAW 23,000 REGISTRATIONS FOR WEBINARS AND 9,400 ENROLLMENTS IN COURSES. 197557489 1 1 0 0 0 0 0 0 0 0 1 1 0 0 1 1 0 1 0 1 1 1 1 0 0 0 0 1 0 1 1 0 0 0 0 0 1 0 0 1 0 0 0 0 0 1 1 1 1 0 0 1 X 196 0 1 1000 1 1 1 1 CA MX CH CJ NL FR GM SZ UK AS 0 0 0 0 0 0 0 0 X 15 15 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 CA IN NH OR X X RICK J SCHWIETERMAN 6147646000 6565 KILGOUR PLACE DUBLIN OH 43017 X LARRY P ALFORD TRUSTEE 8.00 X 47500 0 0 ED BARRY TRUSTEE 5.00 X 29996 0 0 BERNDT DUGALL TRUSTEE (START NOV 2013) 5.00 X 0 0 0 MARY M FARRELL TRUSTEE (TERM'D NOV 2013) 5.00 X 39996 0 0 ANTHONY FERGUSON TRUSTEE 5.00 X 29996 0 0 BERNADETTE GRAY-LITTLE VICE CHAIR 10.00 X 35666 0 0 CINDY HILSHEIMER TRUSTEE 8.00 X 40500 0 0 KATHLEEN IMHOFF TRUSTEE 8.00 X 44500 0 0 BARBARA LISON TRUSTEE 5.00 X 34163 0 0 JAMES NEAL TRUSTEE 8.00 X 38500 0 0 LORETTA PARHAM TRUSTEE 5.00 X 38996 0 0 JOHN R PATRICK TRUSTEE 8.00 X 43000 0 0 DAVID ROSELLE TRUSTEE 5.00 X 29996 0 0 BRIAN SCHOTTLAENDER TRUSTEE 8.00 X 44000 0 0 SANDRA YEE CHAIR 15.00 X 73250 0 0 JENNIFER YOUNGER TRUSTEE 5.00 X 29996 0 0 DAVID A PRICHARD PRESIDENT & CEO (START JUL 2013) 40.00 X 534075 0 19575 RICK J SCHWIETERMAN EXECUTIVE VP AND CFO 40.00 X 599884 0 46106 JAMES T HOUFEK VP (RETIRED FEB 2014) 40.00 X 305245 0 35790 JULIE PRESAS VP & GENERAL COUNSEL 40.00 X 155809 0 19940 ANDREW BORDAS START JUN 2014 VP MGMT CUSTOMER OPERATIONS 40.00 X 0 0 0 BRUCE CROCCO VP LIBR SVCS FOR AMERICA 40.00 X 218704 0 35962 LORCAN DEMPSEY VP RESEARCH & STRATEGIST 40.00 X 336803 0 49798 CATHERINE DE ROSA VP GLOBAL MARKETING 40.00 X 323837 0 47970 JEFF JACOBS CHIEF INFO OFFICER (START MAY 2014) 40.00 X 0 0 0 JIM MICHALKO VP RLG PROGRAMS 40.00 X 257242 0 41755 ROBIN MURRAY VP, GLOBAL PRODUCT MGMT 40.00 X 320625 0 12324 GEORGE NEEDHAM VP GLOBAL COUNCILS 40.00 X 200278 0 36593 WILLIAM NILGES VP BUSINESS DEVELOPMENT 40.00 X 246033 0 42421 GENE OLIVER VP INFORMATION TECHNOLOGY 40.00 X 225007 0 46127 TAMMI SPAYDE VP, HUMAN RESOURCES 40.00 X 255585 0 41481 MICHAEL TEETS VP ENTERPRISE ARCHITECTURE 40.00 X 251051 0 42291 ANDREW WANG VP, OCLC ASIA PACIFIC 40.00 X 241895 0 39399 GREG ZICK VP, GLOBAL ENGINEERING 40.00 X 331209 0 48312 ERIC VAN LUBEEK MANAGING DIRECTOR EMEA 40.00 X 331437 0 42631 INDY SINGH GEN MGR OCLC EMEA UK 40.00 X 165191 0 6442 NORBERT WEINBERGER MANAGING DIRECTOR 40.00 X 284072 0 0 CARL A BUSH EXEC DIRECTOR US LIBR SERV 40.00 X 203542 0 35469 TOM HICKEY CHIEF SCIENTIST 40.00 X 222394 0 36261 SONDRA KOWALUK CORPORATE CONTROLLER 40.00 X 216981 0 39133 DENISE L'ECLUSE DIR OF SALES OCLC EMEA 40.00 X 198040 0 15741 ANDREW PACE EX DIR NETWORK LIBR SVCS 40.00 X 194186 0 36547 ROBERT L JORDAN FORMER PRESIDENT (RETIRED JUN 2013) 0.00 X 1174893 0 45470 8394073 0 863538 278 1 1 0 INFORMATION CONTROL CORP LLC 2500 CORPORATE EXCHANGE DR COLUMBUS OH 43231 TEMPORARY DEVELOPER SERVICES 1812591 STHREE PARTNERSHIP 2 ROYAL MINT COURT DEXTER HOUSE LONDON UK EC3N 0LT TEMPORARY DEVELOPER SERVICES 585581 LEADING EDJE LLC 1105 FORSYTH LANE GALENA OH 43021 TEMPORARY DEVELOPER SERVICES 452620 COMPUTER FUTURES SOLUTIONS NETHERLANDS GUSTAV MAHLERLAAN 38 1082 MC AMSTERDAM NL TEMPORARY DEVELOPER SERVICES 378514 MID AMERICAN CLEANING CONTRACTORS 750 BUCKEYE ROAD LIMA OH 45804 JANITORIAL SERVICES 349976 32 706533 1334975 2041508 METADATA SERVICES 519100 91680961 91680961 RESOURCE SHARE SVCS 519100 50533087 50533087 MANAGEMENT SYSTEMS 519100 32609584 32609584 END USER SERVICES 519100 25437686 25437686 5229198 5229198 205490516 15161967 15161967 1774974 1549865 225109 225109 225109 218501664 157043 189909300 825833 28592364 -668790 27923574 27923574 WEB LINKING COMMISSION 519100 58802 58802 MISC. REVENUE-UNRELATE 900099 43781 43781 102583 250945257 205490516 102583 43310650 167163 167163 83302 83302 7831140 3393408 4437732 277140 277140 92999902 85067702 7932200 7149548 6607773 541775 6558498 5293028 1265470 6146974 5719927 427047 432190 432190 534179 534179 277432 277432 8888185 8350564 537621 1249030 1249030 4332969 4232376 100593 7036334 6714790 321544 4852241 4852241 7105725 6410019 695706 5511907 4972018 539889 1009286 999964 9322 981804 981804 20987796 20987796 665139 591285 73854 IFM LENDING CREDITS 12853739 12853739 PROGRAM INCENTIVES 11816875 11816875 UNREL BUS INC TAX 13477 13477 6824960 6199208 625752 216586935 197557489 19029446 0 3640 3808 30280319 12079895 271739 315718 31494204 30176542 50000 50000 800302 332281 6371651 6900999 138765051 89452917 45318772 49312134 202262879 187247590 52082919 67446815 72399740 7296734 15006991 391597055 425908617 25382504 40749931 35854633 36796704 50095260 40890457 35288095 40559665 146620492 158996757 X 0 0 0 0 244976563 266911860 244976563 266911860 391597055 425908617 X 34358322 -10081392 -2341633 X 0 1 X 1 1 1 X 5266183 2538297 1695065 2771624 2041508 14312677 191009715 172428836 166932640 201680684 205490516 937542391 196275898 174967133 168627705 204452308 207532024 951855068 4939971 1680595 920565 1623808 983327 10148266 4603165 5125208 4111746 3678595 3975146 21493860 9543136 6805803 5032311 5302403 4958473 31642126 920212942 7421518 8299466 12748260 8116543 16936941 53522728 62442 37170 68137 167749 7421518 8299466 12810702 8153713 17005078 53690477 203697416 183266599 181438407 212606021 224537102 1005545545 0.91510 0.91810 0.05340 0.04430 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 9765121 9765121 68987155 45572830 23414325 2798122 1099666 1698456 57214653 42780421 14434232 49312134 DOMESTIC FIXED INCOME 16960977 F GLOBAL FIXED INCOME 16727772 F GLOBAL EQUITY INCOME 18394170 F 52082919 DEFERRED RETIREMENT 89087 POST RETIREMENT BENEFITS 9356549 MEMBERS SUBSCRIPTION BALANCES 20791007 OTHER LIABILITIES 10323022 40559665 X PART X, LINE 2: INFORMATION REQUIRED IN SCH D, PART X REGARDING THE FINANCIAL STATEMENT FOOTNOTE FOR LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 (FASB INTERPRETATION NO. 48, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES). THIS IS NOW CODIFIED AS ACCOUNTING STANDARDS CODIFICATION (ASC) 740-10. THE TEXT OF THE FOOTNOTE IN OCLC'S CONSOLIDATED FINANCIAL STATEMENTS AS AUDITED BY OCLC'S INDEPENDENT AUDITOR, DELOITTE & TOUCHE, IS AS FOLLOWS: OCLC EVALUATED ITS TAX POSITIONS AT JUNE 30, 2014 AND 2013, IN ACCORDANCE WITH ASC 740-10. BASED ON THIS EVALUATION, OCLC DETERMINED THAT THERE WAS NO MATERIAL IMPACT TO THE CORPORATION'S CONSOLIDATED FINANCIAL STATEMENTS AS A RESULT OF THE ADOPTION OF ASC 740-10. 1 EAST ASIA AND THE PACIFIC 2 31 PROGRAM SERVICES OFFICES IN CHINA AND AUSTRALIA PROVIDING INFORMATION ABOUT OCLC SERVICES TO LIBRARIES 3333000 NORTH AMERICA (OUTSIDE USA) 2 9 PROGRAM SERVICES OFFICES PROVIDING INFORMATION ABOUT OCLC SERVICES TO LIBRARIES 1301000 NORTH AMERICA (OUTSIDE USA) 1 34 PROGRAM SERVICES PROVIDING TECHNICAL SERVICES TO LIBRARIES 2349000 EUROPE 7 319 PROGRAM SERVICES FOUR DISREGARDED ENTITIES PROVIDING LIBRARY SERVICES AND SUPPORT TO LIBRARIES IN EUROPE 38188000 EAST ASIA AND THE PACIFIC 0 0 ONE TRUSTEE ATTENDED AN OCLC REGIONAL COUNCILMEETING 2000 SUB-SAHARAN AFRICA 0 0 THREE TRUSTEES ATTENDEDAN OCLC REGIONAL COUNCIL MEETING 18000 NORTH AMERICA 0 0 BOARD MEETING IN TORONTO, CANADA 122000 EAST ASIA AND THE PACIFIC 0 0 GOVERNANCE (REGIONAL COUNCIL MEETING) 60000 SUB-SAHARAN AFRICA 0 0 GOVERNANCE (REGIONAL COUNCIL MEETING) 239000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 16090000 12 393 0 0 12 393 45373000 16329000 61702000 NORTH AMERICA - CANADA AND MEXICO, BUT LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT 15000 CHECK EUROPE (INCLUDING ICELAND & GREENLAND) RESEARCH IN LIBRARY SCIENCE 5179 CHECK 1 1 FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 1 400 CASH STIPEND OF $100 PER WEEK 7208 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES SUB-SAHARAN AFRICA 1 400 CASH STIPEND OF $100 PER WEEK 9654 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES SOUTH ASIA 2 800 CASH STIPEND OF $100 PER WEEK 18033 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 1 400 CASH STIPEND OF $100 PER WEEK 8318 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED 1 0 1 1 0 1 PART I, LINE 2: OCLC PROVIDED A LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT TO A LIBRARY OUTSIDE THE UNITED STATES. THE GRANTEE IS REQUIRED TO FURNISH A FINAL PROJECT REPORT WHICH IS NONPROPRIETARY AND IN THE PUBLIC DOMAIN. SCHEDULE F PART I LINE 3 TORONTO BOARD MEETING STATEMENT FOR THE 990 OCLC IS A WORLDWIDE MEMBERSHIP ORGANIZATION WITH LIBRARIES IN 170 COUNTRIES. ITS GOVERNANCE STRUCTURE INCLUDES THREE REGIONAL COUNCILS (AMERICAS, ASIA PACIFIC AND EUROPE MIDDLE EAST AND AFRICA) AND A GLOBAL COUNCIL. AS PART OF ITS EFFORT TO MAINTAIN CONTACT WITH SUCH A GEOGRAPHICALLY DIVERSE MEMBERSHIP, SOME OCLC BOARD MEMBERS ATTEND THE REGIONAL AND GLOBAL COUNCIL MEETINGS. IN ADDITION, ON OCCASION, THE BOARD OF TRUSTEES CONDUCTS BOARD MEETINGS OUTSIDE THE UNITED STATES. ONE SUCH MEETING OCCURRED DURING THIS REPORTING YEAR (IN JUNE 2014) IN TORONTO, CANADA. 1 AMERICAN LIBRARY ASSOCIATION 50 EAST HURON STREET CHICAGO IL 60611 362166947 501(C)(3) 11650 OPERATING SUPPORT AND FUNDING FOR THE MANN AND DEWEY AWARDS COLUMBUS METROPOLITAN LIBRARY FOUNDATION 96 S GRANT AVENUE COLUMBUS OH 43215 311692755 501(C)(3) 10000 SUPPPORT FOR GREAT LIBRARIES CREATE CAMPAIGN DREXEL UNIVERSITY 3201 ARCH STREET SUITE 100 PHILADELPHIA PA 19104 231352630 501(C)(3) 15000 LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT DUKE UNIVERSITY 035 RESEARCH DRIVE BOX 90193 DURHAM NC 27708 560532129 501(C)(3) 7500 SUPPORT FOR CODE4LIB CONFERENCE UNITED WAY OF CENTRAL OHIO 360 SOUTH THIRD STREET COLUMBUS OH 43215 314393712 501(C)(3) 10000 OPERATING SUPPORT UNIVERSITY OF PITTSBURGH 123 UNIVERSITY PLACE PITTSBURGH PA 15213 250965591 501(C)(3) 14405 LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT 6 PART I, LINE 2: LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT PROGRAM (LISRG): FACULTY IN SCHOOLS OF LIBRARY SCIENCE ARE ELIGIBLE TO APPLY. OCLC SENDS OUT AN ANNUAL CALL FOR PROPOSALS TO ELIGIBLE SCHOOLS. APPLICANTS COMPLETE AN LISRG COVER PAGE TOGETHER WITH A RESEARCH PROPOSAL, A DETAILED BUDGET AND SUPPORTING MATERIALS SUCH AS CURRICULA VITAE, STAFFING AND LETTERS OF SUPPORT. PROPOSALS ARE REVIEWED BY SELECTED OCLC STAFF AND THEN SUBMITTED TO A REVIEW PANEL FOR FURTHER EVALUATION AND RECOMMENDATION TO THE VICE PRESIDENT OF THE OCLC OFFICE OF RESEARCH WHO MAKES A FINAL DECISION. RESEARCH RESULTS ARE FURNISHED TO OCLC IN A FINAL PROJECT REPORT WHICH MUST BE NONPROPRIETARY AND IN THE PUBLIC DOMAIN. OTHER CONTRIBUTIONS ARE MADE FOR THE GENERAL OPERATING SUPPORT OF VARIOUS PUBLIC CHARITIES AND GOVERNMENT ORGANIZATIONS. MANY OF THESE ARE NATIONAL OR REGIONAL LIBRARY ASSOCIATIONS BUT SOME ARE COMMUNITY ORGANIZATIONS IN LOCALES WHERE OCLC HAS OFFICES. THESE INCLUDE ARTS ORGANIZATIONS AS WELL AS THE UNITED WAY AND SIMILAR CHARITABLE ORGANIZATIONS SERVING THE COMMUNITY. X X X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 1 1 DAVID A PRICHARD PRESIDENT & CEO (START JUL 2013) 332669 0 0 0 201406 0 9892 0 9683 0 553650 0 0 0 RICK J SCHWIETERMAN EXECUTIVE VP AND CFO 366528 0 221115 0 12241 0 34103 0 12003 0 645990 0 0 0 JAMES T HOUFEK VP (RETIRED FEB 2014) 210560 0 88226 0 6459 0 25575 0 10215 0 341035 0 0 0 JULIE PRESAS VP & GENERAL COUNSEL 130807 0 17990 0 7012 0 13277 0 6663 0 175749 0 0 0 BRUCE CROCCO VP LIBR SVCS FOR AMERICA 156344 0 59812 0 2548 0 15215 0 20747 0 254666 0 0 0 LORCAN DEMPSEY VP RESEARCH & STRATEGIST 226202 0 94577 0 16024 0 27985 0 21813 0 386601 0 0 0 CATHERINE DE ROSA VP GLOBAL MARKETING 226209 0 95783 0 1845 0 27677 0 20293 0 371807 0 0 0 JIM MICHALKO VP RLG PROGRAMS 206769 0 45016 0 5457 0 25303 0 16452 0 298997 0 0 0 ROBIN MURRAY VP, GLOBAL PRODUCT MGMT 234464 0 83711 0 2450 0 11697 0 627 0 332949 0 0 0 GEORGE NEEDHAM VP GLOBAL COUNCILS 156181 0 37578 0 6519 0 17768 0 18825 0 236871 0 0 0 WILLIAM NILGES VP BUSINESS DEVELOPMENT 172954 0 71941 0 1138 0 20398 0 22023 0 288454 0 0 0 GENE OLIVER VP INFORMATION TECHNOLOGY 171799 0 50994 0 2214 0 20309 0 25818 0 271134 0 0 0 TAMMI SPAYDE VP, HUMAN RESOURCES 184499 0 69281 0 1805 0 21770 0 19711 0 297066 0 0 0 MICHAEL TEETS VP ENTERPRISE ARCHITECTURE 172089 0 77901 0 1061 0 20269 0 22022 0 293342 0 0 0 ANDREW WANG VP, OCLC ASIA PACIFIC 178937 0 53850 0 9108 0 21098 0 18301 0 281294 0 0 0 GREG ZICK VP, GLOBAL ENGINEERING 232615 0 88135 0 10459 0 29195 0 19117 0 379521 0 0 0 ERIC VAN LUBEEK MANAGING DIRECTOR EMEA 245289 0 76315 0 9833 0 42631 0 0 0 374068 0 0 0 INDY SINGH GEN MGR OCLC EMEA UK 139770 0 24810 0 611 0 6442 0 0 0 171633 0 0 0 NORBERT WEINBERGER MANAGING DIRECTOR 218094 0 56377 0 9601 0 0 0 0 0 284072 0 0 0 CARL A BUSH EXEC DIRECTOR US LIBR SERV 129052 0 69807 0 4683 0 13780 0 21689 0 239011 0 0 0 TOM HICKEY CHIEF SCIENTIST 182142 0 38379 0 1873 0 21345 0 14916 0 258655 0 0 0 SONDRA KOWALUK CORPORATE CONTROLLER 172677 0 43353 0 951 0 20182 0 18951 0 256114 0 0 0 DENISE L'ECLUSE DIR OF SALES OCLC EMEA 152531 0 27627 0 17882 0 15741 0 0 0 213781 0 0 0 ANDREW PACE EX DIR NETWORK LIBR SVCS 156903 0 36451 0 832 0 17032 0 19515 0 230733 0 0 0 ROBERT L JORDAN FORMER PRESIDENT (RETIRED JUN 2013) 397989 0 619336 0 157568 0 36179 0 9291 0 1220363 0 7453 0 PART I, LINE 1A FIRST-CLASS OR CHARTER TRAVEL: AT HIS DISCRETION, DAVID A. PRICHARD, PRESIDENT AND CEO IS ALLOWED TO USE FIRST-CLASS AIRLINE TRAVEL FOR BUSINESS PURPOSES FOR FLIGHTS OVER 2.5 HOURS WITHIN THE UNITED STATES. HE DID NOT UTILIZE FIRST-CLASS AIRFARE DURING CALENDAR 2013. TRAVEL FOR COMPANIONS: AS PART OF THE ORGANIZATION'S EXPATRIATE ASSISTANCE PROGRAM, LORCAN DEMPSEY, VICE PRESIDENT, PROGRAMS, RESEARCH & CHIEF STRATEGIST, IS PROVIDED AN ALLOWANCE FOR OCCASIONAL, PERSONAL TRAVEL TO AND FROM HIS HOME IN THE UNITED KINGDOM FOR HIMSELF AND HIS FAMILY. THIS ALLOWANCE IS FULLY INCLUDED IN TAXABLE COMPENSATION. DISCRETIONARY SPENDING ACCOUNT: PRIOR TO HIS RETIREMENT ON JUNE 30, 2013, ROBERT L. JORDAN, FORMER PRESIDENT AND CEO, RECEIVED AN AUTOMOBILE ALLOWANCE WHICH WAS FULLY INCLUDED IN TAXABLE INCOME. AFTER HIS RETIREMENT, MR. JORDAN ALSO RECEIVED AN OFFICE ALLOWANCE. THIS AMOUNT WAS GROSSED UP AND INCLUDED IN HIS TAXABLE INCOME. DAVID A. PRICHARD, PRESIDENT AND CEO EFFECTIVE JULY 1, 2013 RECEIVED A MOVING ALLOWANCE WHICH WAS FULLY INCLUDED IN TAXABLE COMPENSATION. PAYMENTS FOR BUSINESS USE OF PERSONAL RESIDENCE: ANDY BUSH, DIRECTOR OF US LIBRARY SERVICES, TRAVELS EXTENSIVELY ON BEHALF OF OCLC AND USES HIS PERSONAL RESIDENCE OUTSIDE OF OHIO AS HIS HOME BASE. HE RECEIVES AN ANNUAL ALLOWANCE FOR BUSINESS USE OF HIS PERSONAL RESIDENCE. THIS AMOUNT IS INCLUDED IN TAXABLE COMPENSATION. HEALTH OR SOCIAL CLUB DUES: ROBERT L. JORDAN, FORMER PRESIDENT AND CEO, HAD A COUNTRY CLUB MEMBERSHIP. UNTIL HIS RETIREMENT IN JUNE, 2013, MR. JORDAN'S DUES WERE EITHER PAID DIRECTLY BY OCLC OR PAID BY MR. JORDAN AND REIMBURSED BY OCLC. BUSINESS EXPENSES INCURRED WERE REIMBURSED UNDER AN ACCOUNTABLE PLAN. DUES PAID OR REIMBURSED BY OCLC WERE REPORTED AS TAXABLE COMPENSATION TO THE EXTENT OF REPORTED PERSONAL USE BY MR. JORDAN. PART I, LINE 4B THE FORMER PRESIDENT AND CEO, ROBERT L JORDAN, RECEIVED A PAYOUT FROM A 457B PLAN WHICH IS REPORTED IN SCHEDULE J, PARTII, COLUMN F. SOME INDIVIDUALS REPORTED IN PART VII PARTICIPATED IN A SPLIT-DOLLAR LIFE INSURANCE PLAN. THEY ARE LISTED BELOW TOGETHER WITH THE AMOUNT OF TAXABLE COMPENSATION REPORTED DUE TO THEIR PARTICIPATION. RICK J SCHWIETERMAN 1,360 JAMES T. HOUFEK 956 BRUCE CROCCO 265 LORCAN DEMPSEY 352 CATHERINE DE ROSA 272 WILLIAM NILGES 216 GENE OLIVER 354 MICHAEL TEETS 209 ANDREW WANG 1,645 THOMAS HICKEY 774 SONDRA KOWALUK 595 ROBERT L. JORDAN 3,208 PART I, LINE 7 OCLC MAINTAINS THREE DIFFERENT INCENTIVE COMPENSATION PLANS THAT ARE BASED IN PART ON THE GLOBAL PERFORMANCE OF OCLC AND ITS SUBSIDIARIES. THE PLANS ARE THE SALES INCENTIVE PLAN (SIP), THE MANAGEMENT INCENTIVE PLAN (MIP) AND THE LONG-TERM INCENTIVE PLAN (LTIP). OFFICERS ARE PARTICIPANTS IN BOTH THE MIP AND THE LTIP. ALL PERFORMANCE AWARDS FOR THE CEO AND ALL OTHER OFFICERS ARE APPROVED BY THE OCLC BOARD OF TRUSTEES. ALL INCENTIVE PLANS ARE REGULARLY REVIEWED BY OUTSIDE COMPENSATION CONSULTANTS, THE LAST SUCH OCCURRING IN FEBRUARY 2014. THE SIP IS FOR EMPLOYEES RESPONSIBLE FOR THE LIBRARY SALES PROGRAM AND IS BASED ON ACHIEVING SPECIFIC PRODUCT-LINE SALES TARGETS. THE MIP IS A PERFORMANCE-BASED COMPENSATION PROGRAM AVAILABLE FOR MANAGEMENT PERSONNEL AND IS BASED ON A WEIGHTED AVERAGE OF PERFORMANCE OBJECTIVES. PARTICIPANTS ALL SHARE THE SAME ENTERPRISE FINANCIAL GOALS. REGIONAL OR SEGMENT GOALS INCLUDE REGIONAL PERFORMANCE, SERVICE LINE PERFORMANCE AND DIVERSITY. PAYOUTS FOR NON-OFFICERS ARE REVIEWED AND APPROVED BY THE CEO. THE LTIP IS A PERFORMANCE-BASED COMPENSATION PROGRAM FOR OFFICERS. THE OCLC BOARD OF TRUSTEES ESTABLISHES THE PLAN'S FINANCIAL AND MEMBER ENGAGEMENT PERFORMANCE MEASURES. GOALS IN THE LTIP PLAN ARE GENERALLY ESTABLISHED THREE YEARS BEFORE THE PERFORMANCE MEASUREMENT DATE. PLAN ACHIEVEMENT IS BASED ON THE AUDITED ENTERPRISE RESULTS FOR OCLC AND ITS OWNED SUBSIDIARIES. PART I, LINE 8 THE ORGANIZATION ENGAGED A NEW EXECUTIVE DURING THE FISCAL YEAR WHO WAS NOT A DISQUALIFIED PERSON PRIOR TO ENTERING INTO THE CONTRACT. THE BASE SALARY WAS FIXED AND THUS SUBJECT TO THE INTITIAL CONTRACT EXCEPTION. NEVERTHELESS, THE ORGANIZATION FOLLOWED THE REBUTTABLE PRESUMPTION PROCEDURES IN DETERMINING THE REASONABLENESS OF THE EXECUTIVE'S COMPENSATION. DESCRIPTION OF OCLC MANAGEMENT SAVINGS PLAN EFFECTIVE JULY 1, 1997, AND EXTENDING THROUGH APRIL 30, 2002, CERTAIN EMPLOYEES AND TRUSTEES ELECTED TO PARTICIPATE IN THE OCLC MANAGEMENT SAVINGS PLAN (THE PLAN), A NON-QUALIFIED INCENTIVE BENEFIT PROGRAM FOR CERTAIN EMPLOYEES AND TRUSTEES WHO CONTRIBUTED TO THE SUCCESS OF OCLC. EFFECTIVE MAY 1, 2002, THE PLAN WAS FROZEN AND NO ADDITIONAL CONTRIBUTIONS HAVE BEEN, OR WILL BE, ACCEPTED. EARNINGS ON EXISTING BALANCES ARE DISTRIBUTED ANNUALLY TO PARTICIPANTS AND INCLUDED ON W-2S AND 1099S IN THE YEAR OF DISTRIBUTION. UNDER THE PLAN, PARTICIPANTS RECEIVE THE RIGHT TO PURCHASE MUTUAL FUND SHARES FOR A FIXED PRICE. SUCH RIGHT CAN, GENERALLY, BE EXERCISED AT ANY TIME WITHIN A 20-YEAR PERIOD FOLLOWING THE DATE OF GRANT. HOWEVER, IN THE CASE OF A PARTICIPANT'S DEATH, RIGHTS HELD BY SUCH PARTICIPANT MUST BE EXERCISED WITHIN SIX MONTHS FROM THE DATE OF DEATH, AND IN THE CASE OF TERMINATION OF EMPLOYMENT (EXCEPT FOR RETIREMENT) RIGHTS HELD BY THE TERMINATED PARTICIPANT MUST BE EXERCISED WITHIN SIX MONTHS OF THE DATE OF TERMINATION (UNLESS EXTENDED BY THE PRESIDENT). COMPENSATION INCOME ATTRIBUTABLE TO RIGHTS GRANTED UNDER THE PLAN, FOR TAX REPORTING PURPOSES, IS NEITHER DETERMINABLE AT THE TIME OF GRANT THEREOF, NOR AT OCLC'S FISCAL YEAR END, IF STILL OUTSTANDING. MORE SPECIFICALLY, IT IS ONLY UPON EXERCISE OF ONE OF THESE RIGHTS THAT A PARTICIPANT MUST RECOGNIZE COMPENSATION INCOME, FOR TAX REPORTING PURPOSES. DURING THE CALENDAR YEAR FALLING WITHIN THE FISCAL YEAR THAT IS THE SUBJECT OF THIS INFORMATION RETURN, NONE OF THE PARTICIPANTS WHO ARE REPORTED IN THIS INFORMATION RETURN, EXERCISED RIGHTS GRANTED UNDER THE PLAN. OTHER THAN EARNINGS ON EXISTING BALANCES WHICH HAVE BEEN DISTRIBUTED, NO OTHER INCOME IS REFLECTED IN THE SCHEDULE PROVIDED ABOVE, WITH RESPECT TO THOSE INDIVIDUALS LISTED THEREIN WHO ARE PARTICIPANTS IN THE PLAN. ANY FUTURE COMPENSATION AMOUNTS ULTIMATELY REALIZED FROM EXERCISE OF RIGHTS GRANTED UNDER THE PLAN, WILL BE APPROPRIATELY DISCLOSED AS COMPENSATION IN OCLC'S INFORMATION RETURN FOR THE YEAR OF EXERCISE. PARTICIPANTS IN THE PLAN REPORTED ON THIS RETURN: ROBERT L JORDAN FORMER PRESIDENT & CEO RICK J SCHWIETERMAN EXECUTIVE VP AND CFO JAMES T HOUFEK VP & GENERAL COUNSEL LORCAN DEMPSEY VP, RESEARCH & STRATEGIST CATHERINE DE ROSA VP, GLOBAL MARKETING GEORGE NEEDHAM VP, GLOBAL COUNCILS A COLUMBUS-FRANKLIN COUNTY FINANCE AUTHORITY 571239430 2008-05-23 20000000 TO FINANCE THE ACQUISITION OF OFFICE SYSTEMS, EQUIPMENT, AND DATABASES 0 0 0 B COLUMBUS-FRANKLIN COUNTY FINANCE AUTHORITY 571239430 2009-08-10 30000000 TO REFUND BONDS ISSUED 12/19/1998,ACQUIRE OFFICE SYSTEMS,EQUIPMENT 0 0 0 C COLUMBUS-FRANKLIN COUNTY FINANCE AUTHORITY 571239430 2013-06-19 24000000 TO FINANCE THE ACQUISITION OF OFFICE SYSTEMS, COMPUTERS, AND DATABASES 0 0 0 A 16860765 20012780 20012780 2008 0 0 1 1 B 12983956 30000000 161760 12314796 17523444 2009 1 0 1 1 C 3264822 24000000 68500 23931500 2013 0 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 0 1 0 0 0 0 0 1 A 1 B 1 C 1 SCHEDULE K, PARTS I AND II THE DIFFERENCE BETWEEN THE ISSUE PRICE IN PART I, LINE A AND THE TOTAL PROCEEDS IN PART II, LINE 3, COLUMN A IS DUE TO INVESTMENT EARNINGS LORCAN DEMPSEY OFFICER PART V X 50000 50000 0 0 1 50000 CLAIRE COCCO DAUGHTER OF OFFICER 145120 EMPLOYMENT FAMILY MEMBER OF AN OCLC OFFICER 0 SONYA OLIVER SPOUSE OF OFFICER 99386 EMPLOYMENT FAMILY MEMBER OF AN OCLC OFFICER 0 SCHEDULE L, PART II OCLC LOANED FUNDS TO THIS OFFICER TO FACILITATE HIS RELOCATION TO OCLC'S HEADQUARTERS IN DUBLIN, OHIO DURING A PRIOR FISCAL YEAR. THESE FUNDS WERE USED TO FINANCE A NEW PRINCIPAL RESIDENCE. THE LOAN IS THE RESULT OF ARMS-LENGTH NEGOTIATION AND PROVIDES FOR A BALLOON REPAYMENT AT THE END OF THE TERM. INTEREST IMPUTED ON THIS LOAN AS DESCRIBED IN SECTION 7872 OF THE INTERNAL REVENUE CODE IS REPORTED IN PART VII AND SCHEDULE J OF THIS RETURN. FORM 990, PART VI, SECTION A, LINE 1 THE BOARD OF TRUSTEES MAY DESIGNATE THREE (3) OR MORE TRUSTEES, INCLUDING THE PRESIDENT AND THE CHAIR OF THE BOARD, TO CONSTITUTE AN EXECUTIVE COMMITTEE, WHICH COMMITTEE SHALL HAVE AND EXERCISE THE AUTHORITY OF THE BOARD OF TRUSTEES IN THE MANAGEMENT OF THE AFFAIRS OF THE CORPORATION WHEN THE BOARD OF TRUSTEES IS NOT IN SESSION. FORM 990, PART VI, SECTION A, LINE 6 MEMBERSHIP IN OCLC IS OPEN TO ANY LIBRARY OR OTHER MEMORY INSTITUTION THAT EMBRACES THE OCLC VALUES OF COLLABORATION AND SHARING. INSTITUTIONS WORLDWIDE BECOME MEMBERS BY CONTRACTUALLY AGREEING TO CONTRIBUTE INTELLECTUAL CONTENT OR SHARE RESOURCES. MEMBERS MAY INCLUDE LIBRARIES, MUSEUMS, ARCHIVES, HISTORICAL SOCIETIES, OR SIMILAR INSTITUTIONS. OCLC MEMBERS IN EACH OF THREE WORLDWIDE REGIONS ORGANIZE INTO REGIONAL COUNCILS. EACH REGIONAL COUNCIL ELECTS DELEGATES TO THE OCLC GLOBAL COUNCIL. THIS BODY CONSISTS OF 48 MEMBER DELEGATES AND IT ARTICULATES THE VARIOUS INTERESTS OF THE OCLC MEMBERS TO THE OCLC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7A THE OCLC GLOBAL COUNCIL ELECTS SIX MEMBERS OF THE OCLC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B THE OCLC GLOBAL COUNCIL RATIFIES CHANGES TO THE ARTICLES OF INCORPORATION OR THE CODE OF REGULATIONS IN ORDER FOR THE CHANGES TO TAKE EFFECT. FORM 990, PART VI, SECTION B, LINE 11 THE 990 RETURN IS PREPARED AND SUPPORTING DATA IS REVIEWED INTERNALLY BY OCLC FINANCE STAFF, IN CONSULTATION WITH APPROPRIATE MANAGEMENT PERSONNEL INCLUDING THE CHIEF FINANCIAL OFFICER, THE GENERAL COUNSEL AND THE CORPORATE CONTROLLER. THE RETURN IS REVIEWED BY THE CORPORATE CONTROLLER. THE RETURN IS THEN REVIEWED BY DELOITTE TAX LLP. FINALLY, A COPY OF THE 990 IN ELECTRONIC FORM IS PROVIDED TO THE ENTIRE BOARD OF TRUSTEES PRIOR TO SIGNATURE BY THE CHIEF FINANCIAL OFFICER AND FILING. FORM 990, PART VI, SECTION B, LINE 12C ALL EMPLOYEES ARE REQUIRED TO CERTIFY THEIR KNOWLEDGE OF, AND COMPLIANCE WITH, THE POLICY ON AN ANNUAL BASIS BY SIGNING A STATEMENT. IF IT IS UNCLEAR IF A CONFLICT EXISTS, THE EMPLOYEE CAN CONTACT THE GENERAL COUNSEL FOR CLARIFICATION. THE EMPLOYEE CAN ALSO FILE A WRITTEN REQUEST FOR A RULING WITH HIS OR HER VICE PRESIDENT OR DIVISION DIRECTOR WHO MAY REJECT OR APPROVE THE APPLICATION. IF APPROVED, THE REQUEST IS SENT TO THE PRESIDENT FOR A FINAL APPROVAL. A WRITTEN RESPONSE IS PROVIDED TO THE EMPLOYEE INDICATING WHETHER THE ACTIVITY CAN BE UNDERTAKEN OR IF IT VIOLATES THE CONFLICT OF INTEREST POLICY AND CANNOT BE UNDERTAKEN. IN ADDITION TO THE GENERAL POLICY FOR ALL EMPLOYEES, MEMBERS OF THE OCLC BOARD OF TRUSTEES AND THE STRATEGIC LEADERSHIP TEAM ARE REQUIRED TO ANSWER MORE DETAILED QUESTIONS IN WRITING ON AN ANNUAL BASIS AND ALL RESPONSES ARE REVIEWED BY THE AUDIT COMMITTEE OF THE OCLC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 15 FOR ALL EXECUTIVES, THE PERSONNEL AND COMPENSATION COMMITTEE OF THE OCLC BOARD OF TRUSTEES REVIEWS THE PROPOSED COMPENSATION AND AN ANALYSIS OF COMPENSATION IN THE MARKETPLACE FOR COMPARABLE POSITIONS PREPARED BY AN OUTSIDE CONSULTANT. ONCE APPROVED BY THE COMMITTEE, THE ENTIRE BOARD OF TRUSTEES MEETS IN EXECUTIVE SESSION TO REVIEW AND VOTE ON THE COMPENSATION PACKAGES. THE COMMITTEE AND THE FULL BOARD CONSIST ONLY OF INDIVIDUALS WHO DO NOT HAVE A CONFLICT OF INTEREST WITH RESPECT TO SETTING THE COMPENSATION FOR THE EXECUTIVES. WRITTEN MINUTES OF ALL BOARD COMMITTEES AND BOARD OF TRUSTEE MEETINGS ARE PREPARED. MORE INFORMATION ABOUT OCLC EXECUTIVE COMPENSATION CAN BE FOUND ON THE OCLC WEBSITE AT THE FOLLOWING LINK: HTTP://WWW.OCLC.ORG/EN-US/ABOUT/FINANCE/EXECUTIVE_COMPENSATION.HTML FORM 990, PART VI, SECTION C, LINE 19 THE ARTICLES OF INCORPORATION AND THE ANNUAL AUDITED FINANCIAL STATEMENTS ARE AVAILABLE ON THE OCLC WEBSITE. HTTP://WWW.OCLC.ORG/EN-US/COUNCILS/DOCUMENTS/AMENDED_ARTICLES.HTML HTTP://WWW.OCLC.ORG/EN-US/ABOUT/FINANCE.HTML A DESCRIPTION OF THE CONFLICT OF INTEREST POLICY IS CONTAINED IN OCLC'S CODE OF CONDUCT DOCUMENT WHICH IS ALSO AVAILABLE ON THE OCLC WEBSITE. HTTP://WWW.OCLC.ORG/CONTENT/DAM/OCLC/ABOUT/CODE/CODE_OF_CONDUCT_EN.PDF IN ADDITION, THE ANNUAL REPORT (INCLUDING CONDENSED FINANCIAL STATEMENTS) IS PROVIDED TO THE DIRECTORS OF ALL MEMBERS. THE ANNUAL REPORT IS ALSO AVAILABLE ON THE OCLC WEBSITE HTTP://WWW.OCLC.ORG/EN-US/ABOUT/FINANCE.HTML FORM 990, PART VII FORMER PRESIDENT AND CEO ROBERT L. JORDAN RETIRED ON JUNE 30, 2013 AND WAS NOT AN OFFICER DURING THE TAX YEAR REPORTED ON THIS RETURN. ACCORDINGLY, HE IS REPORTED HERE AS A FORMER OFFICER. THE COMPENSATION AND BENEFITS REPORTED IN PART VII AND ON SCHEDULE J, AS REQUIRED, ARE FOR THE CALENDAR YEAR 2013. FORM 990, PART XI, LINE 9: FOREIGN CURRENCY TRANSLATION 67,102. UNREALIZED GAIN POST RETIREMENT PLAN -1,267,706. INCOME ON INVESTMENT IN SUBSIDIARIES 514,321. SUBPART F INCOME INCLUDED IN PART VII, LINE 3 -1,655,350. PHILOSOPHY STATEMENT ON BOARD OF TRUSTEES COMPENSATION SINCE 1979, THE OCLC BOARD OF TRUSTEES HAS DETERMINED THAT COMPENSATION FOR TRUSTEE SERVICE IS APPROPRIATE IN ORDER TO ATTRACT AND RETAIN THE MOST QUALIFIED AND ABLE INDIVIDUALS, TO PROMOTE ECONOMIC DIVERSITY BY PROVIDING AN OPPORTUNITY TO CONTRIBUTE TO THE WORK OF THE BOARD BY THOSE WHO MIGHT OTHERWISE BE UNABLE TO DO SO, AND TO PROVIDE TANGIBLE COMPENSATION FOR THE CONSIDERABLE TIME AND EFFORT OF TRUSTEES IN SUPPORT OF OCLC'S MISSION. BECAUSE OF THE SIGNIFICANT TIME COMMITMENT INVOLVED IN BOARD SERVICE, MANY TRUSTEES MUST LIMIT CONSULTING AND OTHER ACTIVITIES FOR WHICH THEY WOULD BE COMPENSATED. COMPENSATION WILL BE PROVIDED TO NON-EMPLOYEE TRUSTEES, BY ACTION OF THE BOARD, AT LEVELS CONSISTENT WITH THOSE PROVIDED BY OTHER NON-PROFIT ORGANIZATIONS THAT ALSO COMPENSATE THEIR BOARD MEMBERS/TRUSTEES (WITH MARKET DEFINED BY DATA FROM 990 FILINGS, SUPPLEMENTED BY NON-PROFIT PUBLISHED SURVEY DATA). COMPENSATION LEVELS ARE ALSO REVIEWED FROM TIME TO TIME BY INDEPENDENT COMPENSATION CONSULTANTS FOR BENCHMARKING AGAINST OTHER NON-PROFIT ORGANIZATIONS. BOARD COMPENSATION CONSISTS OF CASH PAYMENTS STRUCTURED AS A COMBINATION OF RETAINERS AND MEETING FEES, WITH HIGHER COMPENSATION AMOUNTS FOR CHAIRS OF THE BOARD AND BOARD COMMITTEES REFLECTING THE ADDITIONAL TIME REQUIREMENTS OF THESE POSITIONS. FROM TIME TO TIME, THERE MAY ALSO BE ADDITIONAL TRUSTEE COMPENSATION FOR SPECIAL PROJECTS/ASSIGNMENTS AS DETERMINED BY THE BOARD, DEPENDING ON DURATION AND ADDITIONAL TIME REQUIREMENTS. MORE INFORMATION ABOUT OCLC BOARD COMPENSATION CAN BE FOUND ON THE OCLC WEBSITE AT THE FOLLOWING LINK: HTTP://WWW.OCLC.ORG/EN-US/ABOUT/FINANCE/COMPENSATION_Q_AND_A.HTML OCLC EMEA BV SCHIPHOLWEG 99 2300 AW LEIDEN NL 981065403 HOLDING COMPANY NL 3961084 21791863 OCLC ONLINE COMPUTER LIBRARY CENTER INC OCLC BV SCHIPHOLWEG 99 2300 AW LEIDEN NL 981065524 INFORMATION SERVICES NL 17539409 13494017 OCLC EMEA BV OCLC GMBH GRUNWALDER WEG 28G 82041 OBERHACHING GM 981063976 INFORMATION SERVICES GM 19632892 7513754 OCLC EMEA BV OCLC (UK) LIMITED 8 ST MARYS GATE SHEFFIELD S1 4LW UK 981067510 INFORMATION SERVICES UK 8639623 6167498 OCLC EMEA BV OCLC INFORMATION DISTRIBUTION INC 6565 KILGOUR PLACE DUBLIN OH 43017 870374788 INFORMATION SERVICES OH OCLC ONLINE COMPUTER LIBRARY CENTER INC C 175422 1.00000 1 OCLC AG ST JAKOB-STRASSE 96 CH-4052 BASEL SZ INFORMATION SERVICES SZ OCLC GMBH C 642753 421060 1.00000 1 HUIJSMANS & KUIJPERS AUTOMATISERING BV GRONINGERWEG 13-C 9765 TA PATERSWOLDE NL INFORMATION SERVICES NL OCLC EMEA BV C 3874316 10657606 1.00000 1 0 0 0 0 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 HUIJSMANS & KUIJPERS AUTOMATISERING BV F 1655130 DIVIDEND DECLARED OCLC AG L 317681 PER CONTRACT