2015-08-13T12:37:43-05:00 2014-12-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2014-01-01 520955532 AMERICAN GEOPHYSICAL UNION AMER 2024626900 2000 FLORIDA AVE NW WASHINGTON DC 20009 CHRISTINE W MCENTEE CEO 2024626900 2015-08-13 1 DEBORAH G KOSNETT P00290720 2022932200 2014 2016-02-25 16:41:14Z CHRISTINE W MCENTEE 2000 FLORIDA AVE NW WASHINGTON DC 20009 49737586 0 X HTTP://SITES.AGU.ORG/ X 1972 DC AGU SEEKS TO PROMOTE DISCOVERY IN EARTH AND SPACE SCIENCE FOR THE BENEFIT OF HUMANITY. 15 15 140 21000 1030276 0 4093488 4195143 14265530 28577314 2183550 3321795 14617389 745550 35159957 36839802 2061656 1644048 0 0 12678020 13808384 0 0 1220222 16037573 17087626 30777249 32540058 4382708 4299744 105216621 108933050 16915929 17560282 88300692 91372768 X THE PURPOSE OF THE AMERICAN GEOPHYSICAL UNION (AGU) IS TO PROMOTE DISCOVERY IN EARTH AND SPACE SCIENCE FOR THE BENEFIT OF HUMANITY. AGU GALVANIZES A COMMUNITY OF EARTH AND SPACE SCIENTISTS THAT COLLABORATIVELY ADVANCES AND COMMUNICATES SCIENCE AND ITS POWER TO ENSURE A SUSTAINABLE FUTURE. 0 0 8867452 166242 MARKETING COMMUNICATIONS AND ENGAGEMENT - MARKETING, COMMUNICATIONS AND ENGAGEMENT PROGRAMS SEEK TO: 1) BUILD AND MAINTAIN AGU'S REPUTATION AS A LEADER, COLLABORATOR AND SOUGHT AFTER PARTNER WITHIN AND OUTSIDE OF THE EARTH AND SPACE SCIENCE COMMUNITY; 2) PROMOTE AGU AND ITS PROGRAMS, INITIATIVES AND SERVICES TO CURRENT AND POTENTIAL MEMBERS, AS WELL AS TO THE BROADER EARTH AND SPACE SCIENCE COMMUNITY; AND 3) EDUCATE THE PUBLIC, AT ALL LEVELS AND ACROSS ALL SECTORS, ON THE IMPORTANCE AND IMPACT OF THE EARTH AND SPACE SCIENCES, PARTICULARLY AS IT RELATES TO SOCIETAL WELL-BEING. MAJOR ACCOMPLISHMENTS IN THESE AREAS DURING THE 2014 FISCAL YEAR INCLUDE: DEFINING, BUILDING AND LAUNCHING EOS.ORG, A NEWS WEBSITE DEDICATED TO PROVIDING TRUSTWORTHY NEWS AND PERSPECTIVES ABOUT THE EARTH AND SPACE SCIENCES AND THEIR IMPACT, AS WELL AS RELAUNCHING THE FORMER EOS WEEKLY NEWSPAPER AS A BI-WEEKLY NEWS MAGAZINE; REFRAMING AND RELAUNCHING THE SHARING SCIENCE PROGRAM, WHICH SEEKS TO EDUCATE AND EMPOWER SCIENTISTS TO SHARE THEIR KNOWLEDGE WITH THE PUBLIC; INCREASING MAINSTREAM AND INDUSTRY-SPECIFIC MEDIA COVERAGE OF AGU AND ITS SCIENCE BY MORE THAN 10% OVER FISCAL YEAR 2013; INCREASING SOCIAL MEDIA ENGAGEMENT BY AT LEAST 25% ACROSS ALL AGU (AND IN THE CASE OF SOME, INDIVIDUAL PLATFORMS; BY MORE THAN 100%); AND EXHIBITING AGU MEMBERSHIP/SERVICES/PROGRAMS AT LEAST 10 INDUSTRY-RELATED EVENTS. 8279738 17584 10163928 MEETINGS - AGU HAS A DIVERSE MEETING PORTFOLIO THAT OFFERS MEETINGS OF VARIOUS SIZES. MOST MEETING PARTICIPANTS PRESENT A TALK ON THEIR LATEST SCIENTIFIC FINDINGS CONTRIBUTING TO ADVANCING EARTH AND SPACE SCIENCE. INDIVIDUALS MUST PAY A REGISTRATION FEE TO PARTICIPATE THOUGH THE ABSTRACT SUBMISSIONS COVERING THEIR PRESENTATIONS ARE PUBLISHED AS PART OF THE SCIENTIFIC PROGRAM FOR EACH MEETING AND AVAILABLE VIA AGU'S WEBSITE. AGU FALL MEETING IS RECOGNIZED AS THE LEADING MEETING IN THE EARTH AND SPACE SCIENCES COMMUNITY WITH PROGRAMMING FOCUSED ON INTER- AND MULTIPLE DISCIPLINARY SCIENCES AND POLICY AND SOCIETAL ISSUES. IT IS THE LARGEST MEETING IN THIS FIELD ATTRACTING MORE THAN 24,000 PARTICIPANTS AT THE DECEMBER 2014 MEETING. THE MEETING GENERATES HUNDREDS OF PRESS AND MEDIA STORIES ABOUT EARTH AND SCIENCE SCIENCES IN PROMINENT SOURCES THROUGH DISTRIBUTION ON THE TELEVISION, NEWS PRINT AND THROUGH OTHER ELECTRONIC OUTLETSTHE THIRD ANNUAL SCIENCE POLICY CONFERENCE WAS HELD IN JUNE 2014 IN WASHINGTON, D.C. THIS CONFERENCE BROUGHT TOGETHER OVER 275 POLICY MAKERS, AND INDUSTRY LEADERS AND SCIENTISTS.CHAPMAN CONFERENCES ARE TOPICAL CONFERENCES THAT FOCUS ON CURRENT AND EMERGING SCIENCE ISSUES. THREE CONFERENCES WERE HELD IN 2014 WITH ATTENDANCE RANGING BETWEEN 70-115 PARTICIPANTS. 6890924 0 18236196 PUBLICATIONS - AGU PUBLISHES 19 JOURNALS REPRESENTING PEER-REVIEWED RESEARCH PAPERS AS WELL AS NUMBEROUS BOOKS, AND CO-PUBLISHES TWO OTHER JOURNALS WITH OTHER SOCIETIES. THESE PUBLICATIONS COVER THE EARTH SCIENCES, PLANETARY SCIENCES, SOLAR-TERRESTRIAL AND SPACE PHYSICS, AND THE ENVRONMENTAL SCIENCES. OVERALL, AGU JOURNALS PUBLISHED NEARLY 6000 PEER-REVIEWED PAPERS IN 2014 REPRESENTING NEW RESEARCH IN THE EARTH AND SPACE SCIENCES. COVERAGE OF THE PAPERS HELPS MAKE THESE SCIENTIFIC STUDIES AVAILABLE TO THE PUBLIC AND MANY OF THE PAPERS ARE USED IN IMPORTANT ASSESSMENTS. ALL AGU JOURNALS AND BOOKS ARE DISTRIBUTED ELECTRONICALLY VIA THE INTERNET; MOST STILL HAVE A MINOR PRINT COMPONENT. ONE OR MORE OF THE PUBLICATIONS REACH EACH OF AGU'S MORE THAN 61,000 MEMBERS. AGU PUBLICATIONS REACH MANY SCIENTISTS AND STUDENTS BEYOND THE AGU MEMBERHSIP, AS WELL AS OTHER MEMBERS OF THE PUBLIC, THROUGH MORE THAN 1,500 LIBRARIES. THREE OF THE JOURNALS ARE FULLY OPEN-ACCESS, AND ALL OTHER AGU JOURNAL CONTENT IS NOW FREELY AVAILABLE AFTER 24 MONTHS. FULL-TEXT DOWNLOADS ARE NOW AVERAGING ABOUT 800,000 PER MONTH WORLDWIDE. PUBLICATIONS ARE AVAILABLE IN OVER 135 COUNTRIES, AND ARE AVAILABLE FOR FREE IN DEVELOPING NATIONS THROUGH RESEARCH4LIFE. AGU PUBLISHES MORE THAN 55,000 PAGE EQUIVALENTS ANNUALLY. 2834546 272782 SCIENCE - THE AGU SCIENCE DEPARTMENT IS RESPONSIBLE FOR HELPING TO SHAPE AND LEAD AGU'S SCIENTIFIC ACTIVITIES, AND FOR PROVIDING SUPPORT TO AGU MEMBERS THROUGH ALL CAREER STAGES. KEY SCIENCE DEPARTMENT 2014 HIGHLIGHTS AND ACCOMPLISHMENTS INCLUDE THE FIRST AGU SCIENTIFIC TRENDS SURVEY AND THE RESULTING REPORT TO EARTH AND SPACE SCIENCE AND PUBLIC COMMUNITIES--EXECUTED IN CONJUNCTION WITH AGU SECTION AND FOCUS GROUP LEADERS; SIGNIFICANT ADVANCEMENTS AND NEW PARTNERSHIPS FOR THE AGU THRIVING EARTH EXCHANGE TO PROVIDE SOLUTIONS TO LOCAL COMMUNITIES ON ISSUES ASSOCIATED WITH CLIMATE CHANGE, NATURAL RESOURCE LIMITATIONS AND NATURAL DISASTERS; IMPLEMENTATION OF THE NEWLY ESTABLISHED AGU AMBASSADOR AWARD IN THE AGU HONORS AND RECOGNITION PROGRAM; EARLY STAGE FOUNDATION WORK FOR GEOLEAD--A NEW PARTNERSHIP MODEL AND CONCEPT FOR DELIVERING SUPPORT AND INCREASING DIVERSITY IN THE EARTH AND SPACE SCIENCES TALENT POOL; THE IMPLEMENTATION OF A "MINI-CONFERENCE" FOR STUDENT AND EARLY CAREER SCIENTISTS AT THE 2014 AGU FALL MEETING; EXPANSION OF THE AGU BRIGHT STUDENTS TRAINING AS RESEARCH SCIENTISTS (BRIGHT STARS) PROGRAM TO INCLUDE INTERNATIONAL PARTICIPATION; AND ADMINISTRATION OF TRAVEL GRANT SUPPORT FOR OVER 250 STUDENTS TRAVELING FROM U.S. AND ACROSS THE GLOBE FOR AGU SCIENTIFIC CONFERENCES PARTICIPATION. 2677312 1187440 177190 SOCIETY ACTIVITIES, START INTERNATIONAL ACTIVITIES AND MEMBERSHIP SERVICES. 5511858 1460222 177190 29549972 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 1 1 0 0 0 1 0 1 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 84 0 1 140 1 1 1 1 CA UK 0 0 0 0 0 0 0 0 X 15 15 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MARK E HERNICK 2024626900 2000 FLORIDA AVE NW WASHINGTON DC 20009 CAROL FINN PRESIDENT 8.00 X X 0 0 0 MARGARET LEINEN PRESIDENT-ELECT 5.00 X X 0 0 0 MICHAEL J MCPHADEN PAST PRESIDENT 5.00 X X 0 0 0 LISA TAUXE GENERAL SECRETARY (TREASURER) 5.00 X X 0 0 0 SUSAN WEBB INTERNATIONAL SECRETARY 5.00 X X 0 0 0 JOHN BATES DIRECTOR 5.00 X 0 0 0 RAFAEL BRAS DIRECTOR 5.00 X 0 0 0 MARY ANNE CAROLL DIRECTOR 5.00 X 0 0 0 CATHERINE CONSTABLE DIRECTOR 5.00 X 0 0 0 RANA FINE DIRECTOR 5.00 X 0 0 0 SUSAN JOY HASSOL DIRECTOR 5.00 X 0 0 0 SETH KAHAN DIRECTOR 5.00 X 0 0 0 CHRISTY TILL DIRECTOR 5.00 X 0 0 0 MARY A VOYTEK DIRECTOR 5.00 X 0 0 0 KENNETH WASHINGTON DIRECTOR 5.00 X 0 0 0 CHRISTINE W MCENTEE EXECUTIVE DIRECTOR & CEO 37.50 X 480867 0 82529 FRANK KRAUSE CHIEF OPERATING OFFICER 37.50 X 332617 0 61679 MARK HERNICK CHIEF FINANCIAL OFFICER 37.50 X 219998 0 34029 BRENDA WEAVER DIR, MEETINGS 37.50 X 173446 0 26357 BROOKS HANSON DIR, PUBLICATIONS 37.50 X 223742 0 36708 KERRY MICKELSON DIR, INFO SVCS/TECH 37.50 X 194878 0 34717 DANA REHM DIR, MCE 37.50 X 212301 0 18408 JILL TREBY ASST DIR, MEMBRSHP/MRKTG 37.50 X 130103 0 21172 CAMALA KOVALICK PROJECT MANAGER 37.50 X 127878 0 16065 BILLY WILLIAMS DIR, SCIENCE 37.50 X 182885 0 40530 HARRY FURUKAWA DIR, PRODUCT DVLPMT 37.50 X 159946 0 23869 ALEXANDRA SHULTZ DIR, PUBLIC AFFAIRS 37.50 X 143370 0 24542 2582031 0 420605 27 0 1 0 PROJECTION INC 8351 BRISTOL COURT SUITE 111 JESSUP MD 20794 AV SERVICES 1096915 FREEMAN PO BOX 650036 DALLAS TX 75265 DECORATOR SERVICES 652433 PONGOS INTERACTIVE 9332 LIMESTONE PLACE COLLEGE PARK MD 20740 INFO SYSTEMS CONSULTING 501551 CADMUS PSG PO BOX 751898 CHARLOTTE NC 28275 PUBLISHING SERVICES 410685 RACKSPACE HOSTING PO BOX 730759 DALLAS TX 75373 INFO SYSTEMS HOSTING SERVICES 260785 21 2024234 1224493 946416 4195143 PUBLICATIONS 900099 18236196 17236809 999387 MEETINGS 900099 10163928 10133039 30889 SOCIETY ACTIVITIES 900099 177190 177190 28577314 1767229 1767229 19592 19592 726358 0 726358 726358 726358 14056942 395008 12444707 452677 1612235 -57669 1554566 1554566 400 -400 -400 36839802 27547038 1030276 4067345 X 1198970 1198970 317074 317074 128004 128004 2142220 1136955 948807 56458 8964895 4936880 3785692 242323 608687 324273 268063 16351 1366316 142790 1208733 14793 726266 420784 283275 22207 51908 51908 72913 51041 21872 117769 143 117626 70000 70000 428671 428671 2386415 1022446 1311890 52079 20486 10486 10000 1319214 799804 508328 11082 1080353 185925 888512 5916 5860 5860 799280 799280 1080516 708826 356739 14951 5072962 4606192 202485 264285 188329 188329 1648003 118434 1529569 108950 11060 97890 HONORARIA/CONTRIBUTIONS 1142279 1130645 5854 5780 PRODUCTION/PUBLICATIONS 957912 941234 14594 2084 OUTSOURCING & LOGISTICS 446257 446257 ABSTRACT MANAGEMENT 100655 100655 -11106 10735234 -11248253 501913 32540058 29549972 1769864 1220222 419 599 5241703 6303798 111844 291597 3516462 3518958 177423 384470 22764219 14626358 9286992 8137861 42803221 51372853 42898381 37698873 1180176 1224041 105216621 108933050 6018825 5776476 1083428 882279 5405000 4965000 4408676 5936527 16915929 17560282 X 77923933 83508577 10376759 7258771 605420 88300692 91372768 105216621 108933050 X 4299744 316635 -1544303 X X 0 1 X 1 1 1 X 1452520 2731674 3520077 4093488 4195143 15992902 32022505 29802674 31549011 12992652 27547038 133913880 33475025 32534348 35069088 17086140 31742181 149906782 2890 14582 20678 3890 57475 99515 0 2890 14582 20678 3890 57475 99515 149807267 1116672 2850163 13163737 15781394 2513179 35425145 1116672 2850163 13163737 15781394 2513179 35425145 94263 94263 34685960 35384511 48232825 32867534 34255360 185426190 0.80790 0.81110 0.19100 0.18610 X SCHEDULE A, PART III, LINE 12, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2010 AMOUNT: $ 94,263. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 3157 109635 112792 32929706 33042498 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 60375 12000 120000 112792 305167 250000 250000 250000 250000 1000000 1500000 3157 3157 0 602625 602625 0.00000 1.00000 0.00000 0 0 1705021 1705021 11972612 7298872 4673740 7504375 6498857 1005518 1582211 828629 753582 8137861 TRUST INVESTMENTS 37698873 F 37698873 SECURITY DEPOSITS 18746 INTEREST RATE COLLAR AGREEMENTS 577303 ACCRUED POSTRETIREMENT BENEFITS 5305413 PREPAID RENT 35065 5936527 X 37243613 316635 87176 403811 36839802 0 36839802 34171537 1631479 1631479 32540058 0 32540058 PART V, LINE 4: THE ENDOWMENT FUNDS HAVE BEEN ESTABLISHED FOR THE PURPOSE OF RECOGNIZING AND SUPPORTING EXCELLENCE IN SPECIFIC AREAS OF SCIENTIFIC RESEARCH. PART X, LINE 2: MANAGEMENT DOES NOT BELIEVE ITS FINANCIAL STATEMENTS INCLUDE ANY UNCERTAIN TAX POSITIONS. TAX RETURNS FILED DURING THE PAST THREE YEARS ARE SUBJECT TO EXAMINATION BY TAXING AUTHORITIES; THERE ARE CURRENTLY NO EXAMINATIONS BEING CONDUCTED. PART XI, LINE 2D - OTHER ADJUSTMENTS: NET GAIN ON INTEREST RATE COLLAR 29,507. LOSS ON DISPOSAL OF FIXED ASSETS 57,669. PART XII, LINE 2D - OTHER ADJUSTMENTS: LOSS OF DISPOSAL OF FIXED ASSETS 57,669. CHANGE IN POST-RETIREMENT BENEFITS 1,573,810. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 1000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 90907 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 384607 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 10761 NORTH AMERICA 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 32406 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 8400 SOUTH AMERICA 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 11625 SOUTH ASIA 0 0 GRANTMAKING 26365 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 6762 0 0 0 0 0 0 566071 6762 572833 FALL MEETING GRANT CENTRAL AMERICA AND THE CARIBBEAN 1 1000 WIRE TRANSFER FALL MEETING GRANT EAST ASIA AND THE PACIFIC 20 18366 WIRE TRANSFER CHAPMAN TRAVEL GRANT EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 1 1802 WIRE TRANSFER FALL MEETING GRANT EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIU 43 42000 WIRE TRANSFER HORTON RESEARCH GRANT EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIU 1 5000 WIRE TRANSFER FALL MEETING GRANT MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 5 4041 WIRE TRANSFER FALL MEETING GRANT NORTH AMERICA 7 7000 WIRE TRANSFER CHAPMAN TRAVEL GRANT RUSSIA AND NEIGHBORING STATES 3 6000 WIRE TRANSFER FALL MEETING GRANTS RUSSIA AND NEIGHBORING STATES 3 2400 WIRE TRANSFER FALL MEETING GRANT SOUTH AMERICA 9 9000 WIRE TRANSFER FALL MEETING GRANT SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, 26 17865 WIRE TRANSFER CHAPMAN TRAVEL GRANT SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, 4 8500 WIRE TRANSFER FALL MEETING GRANT SUB-SAHARAN AFRICA 1 1000 WIRE TRANSFER CHAPMAN TRAVEL GRANT SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA, FASO, 4 4030 WIRE TRANSFER 1 0 0 0 0 1 PART I, LINE 2: PRIOR TO MAKING AN AWARD TO A FOREIGN NATIONAL, AGU AND START CHECKS THE EXCLUDED PARTIES LIST SYSTEM (HTTPS://WWW.EPLS.GOV/) TO ENSURE THAT THE RECIPIENT IS ALLOWED TO RECEIVE THESE FUNDS. 1 START INTERNATIONAL 2000 FLORIDA AVE NW 2ND FLOOR WASHINGTON DC 20009 271363108 501(C)(3) 1187440 SUBGRANT FOR FEDERAL AWARDS AMERICAN ASSOCIATION FOR THE ADVANCEMENT OF SCIENCE 1200 NEW YORK AVE NW WASHINGTON DC 20005 530196568 501(C)(3) 11530 CONGRESSIONAL FELLOWS AND PLACEMENT RESOURCES, MASS MEDIA SCI. ENG. FELLOW 2 0 CONGRESSIONAL SCIENCE FELLOW 4 154712 FALL MEETING TRAVEL GRANT 128 119176 2014 HORTON GRANT 5 26000 NSF GRANT 5 5751 OS TRAVEL GRANT 1 2000 SPC TRAVEL GRANT 8 9434 PART I, LINE 2: THE EXPENSES INCLUDED IN THE BUDGETS ARE REVIEWED PRIOR TO MAKING AN OFFER OF AN AWARD AND THE PRESENTATION OF A CONTRACT. POTENTIAL AWARDEES ARE ASKED TO REVISE THEIR BUDGETS, WHERE NECESSARY, AND TO PRESENT AN ANNOTATED BUDGET NARRATIVE EXPLAINING PROPOSED EXPENSES. PRIOR TO TRANSFERRING ANY FUNDS, WE CONFIRM THAT THE RECIPIENT IS NOT LISTED ON EITHER THE TREASURY DEPARTMENT OFFICE OF TERRORISM AND FINANCIAL SANCTIONS LIST OR THE GSA EXCLUDED PARTIES LIST SYSTEM. THE PRINCIPAL INVESTIGATOR AND THE INSTITUTION'S FINANCIAL OFFICER ARE PRESENTED WITH COPIES OF FINANCIAL REGULATIONS, AS WELL AS REFERENCES WITH ADDITIONAL INFORMATION. THE AWARDEES ARE INSTRUCTED THAT UPON SIGNATURE IT IS EXPECTED THAT THEY WILL ABIDE BY ALL STIPULATIONS OF THE CONTRACT AS WELL AS THE ACCOMPANYING INFORMATION, ESPECIALLY IN REGARD TO REPORTING REQUIREMENTS. THE NAME OF THE CONTRACT OFFICER IS INCLUDED IN ALL CORRESPONDENCE AND RECIPIENTS ARE REQUIRED TO REMAIN IN CONTACT WITH THE CONTRACT OFFICER THROUGHOUT THE TIME OF THE GRANT AWARD. AWARDEES ARE ALSO REQUIRED TO REPORT ON CHANGES IN PROPOSED EXPENSES IF THOSE CHANGES EXCEED 20% OF THE FUNDS IN ANY INDIVIDUAL CATEGORY, DETAILED FINANCIAL REPORTS, INCLUDING BACKUP DOCUMENTATION, ARE REQUIRED AT SUITABLE INTERVALS DURING THE PROJECTS. THE GRANT AWARDS ARE MADE IN INSTALLMENTS BASED ON A PRE-DETERMINED PAYMENT SCHEDULE. FINAL PAYMENTS ARE MADE ONLY AFTER REVIEW OF THE FINANCIAL STATEMENTS AND TECHNICAL REPORTS AND ARE BASED ON ACTUAL EXPENSES AND CONFIRMATION THAT THE AWARDEE HAS MET CONTRACT OBLIGATIONS. X 1 1 X X X X X X 0 1 0 0 0 0 0 1 0 CHRISTINE W MCENTEE EXECUTIVE DIRECTOR & CEO 418254 0 42791 0 19822 0 62758 0 21467 0 565092 0 0 0 FRANK KRAUSE CHIEF OPERATING OFFICER 315573 0 16234 0 810 0 41608 0 21727 0 395952 0 0 0 MARK HERNICK CHIEF FINANCIAL OFFICER 219274 0 0 0 724 0 26539 0 8928 0 255465 0 0 0 BRENDA WEAVER DIR, MEETINGS 165302 0 0 0 8144 0 18668 0 8865 0 200979 0 0 0 BROOKS HANSON DIR, PUBLICATIONS 216611 0 5110 0 2021 0 26545 0 11583 0 261870 0 0 0 KERRY MICKELSON DIR, INFO SVCS/TECH 192887 0 822 0 1169 0 22788 0 13110 0 230776 0 0 0 DANA REHM DIR, MCE 192835 0 0 0 19466 0 18408 0 1378 0 232087 0 0 0 JILL TREBY ASST DIR, MEMBRSHP/MRKTG 126360 0 788 0 2955 0 12683 0 9474 0 152260 0 0 0 BILLY WILLIAMS DIR, SCIENCE 180192 0 0 0 2693 0 21959 0 19862 0 224706 0 0 0 HARRY FURUKAWA DIR, PRODUCT DVLPMT 157744 0 0 0 2202 0 17380 0 7629 0 184955 0 0 0 ALEXANDRA SHULTZ DIR, PUBLIC AFFAIRS 142920 0 0 0 450 0 12006 0 13616 0 168992 0 0 0 PART I, LINE 1A AGU MAY PROVIDE BUSINESS OR FIRST CLASS TRAVEL (ON A CASE-BY-CASE BASIS) FOR THE AGU PRESIDENT WHEN MULTIPLE TRIPS (IN EXCESS OF 6 HOURS) TO ATTEND AGU BUSINESS MEETINGS ARE REQUIRED. ADDITIONALLY, THE CEO'S EMPLOYMENT AGREEMENT ALLOWS FOR BUSINESS OR FIRST CLASS TRAVEL FOR TRIPS IN EXCESS OF 5 HOURS. AGU DOES NOT INCLUDE THE COST OF FIRST CLASS OR BUSINESS TRAVEL AS TAXABLE INCOME TO THE CEO OR PRESIDENT. AGU DOES ALLOW FOR COMPANION TRAVEL FOR THE CEO; HOWEVER, WHEN COSTS ARE NOT REIMBURSED BY THE CEO, THE COSTS ARE TAXABLE INCOME TO THE CEO. PART I, LINE 4B CHRISTINE W. MCENTEE: $31,207, SECTION 457 PLAN PART I, LINE 7 THE EXECUTIVE COMMITTEE, IN ITS SOLE DISCRETION, MAY PAY EXECUTIVE AN ANNUAL PERFORMANCE BONUS OF UP TO TEN PERCENT (10%) OF HER SALARY BASED ON HER ACHIEVING EXPLICIT PERFORMANCE GOALS MANUALLY SET FORTH ANNUALLY BY THE EXECUTIVE AND THE EXECUTIVE COMMITTEE DURING THE REVIEW PERIOD. A DISTRICT OF COLUMBIA 536001131 254839K77 2006-05-10 8095000 REMARKET 09/29/93 BOND ISSUE 0 0 0 A 3130000 8095000 616312 1 0 0 0 A 0 0 0 0 0 0 1 A 0 0 0 1 0 0 0 0 0 A 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: DISTRICT OF COLUMBIA DATE THE REBATE COMPUTATION WAS PERFORMED: 08/11/2014 FORM 990, PART VI, SECTION A, LINE 1 THERE SHALL BE AN EXECUTIVE COMMITTEE COMPOSED OF THE PRESIDENT, PRESIDENT-ELECT, IMMEDIATE PAST PRESIDENT, GENERAL SECRETARY, AND THE INTERNATIONAL SECRETARY. THE EXECUTIVE DIRECTOR SHALL BE A NONVOTING EX-OFFICIO MEMBER. THE EXECUTIVE COMMITTEE SHALL HAVE THE AUTHORITY TO CONDUCT THE AFFAIRS OF THE UNION BETWEEN MEETINGS OF THE BOARD, PROVIDED THAT THE EXECUTIVE COMMITTEE MAY NOT CONTRADICT BOARD POLICY OR DECISIONS. ACTIONS OF THE EXECUTIVE COMMITTEE MUST BE REPORTED TO THE BOARD WITHIN TEN DAYS. THE EXECUTIVE COMMITTEE MAY ALSO MEET BY CONFERENCE CALL OR OTHER ELECTRONIC MEANS PROVIDED THAT ALL PERSONS MAY HEAR AND SPEAK TO ONE ANOTHER AT THE SAME TIME. THE EXECUTIVE COMMITTEE MAY TAKE ACTION BY WRITTEN CONSENT SIGNED BY ALL MEMBERS. FORM 990, PART VI, SECTION A, LINE 6 THERE SHALL BE THE FOLLOWING MEMBERSHIP CATEGORIES: A. MEMBER - INDIVIDUALS WHO ARE PROFESSIONALLY ENGAGED IN OR ASSOCIATED WITH EARTH AND SPACE SCIENCE ARE ELIGIBLE TO BECOME MEMBERS OF THE UNION. MEMBERS SHALL BE ENTITLED TO ALL RIGHTS AND PRIVILEGES OF MEMBERSHIP, INCLUDING THE RIGHT TO RECEIVE PUBLICATIONS AND OTHER MATERIALS, SUBSCRIBE TO UNION JOURNALS, PURCHASE UNION PUBLICATIONS AT MEMBER RATES AS ESTABLISHED BY THE BOARD OF DIRECTORS, SERVE AS ELECTED OFFICERS OF THE UNION, SECTIONS AND FOCUS GROUPS, AND VOTE ON MATTERS BROUGHT BEFORE THE MEMBERSHIP; B. FELLOW - A MEMBER WHO HAS ATTAINED ACKNOWLEDGED EMINENCE IN EARTH AND SPACE SCIENCE, AND WHO HAS BEEN ELECTED BY A COMMITTEE OF FELLOWS APPOINTED BY THE PRESIDENT SHALL BE INDUCTED AS A FELLOW. A MEMBER OF THE UNION WHO IS A RECIPIENT OF AN AGU MEDAL SHALL AUTOMATICALLY BE MADE A FELLOW. THE NUMBER OF FELLOWS ELECTED IN EACH ANNUAL CLASS SHALL NOT EXCEED 0.1% OF THE TOTAL MEMBERSHIP AT THE END OF THE YEAR PRECEDING INSTALLATION OF THAT CLASS; C. HONORARY FELLOW - A PERSON WHO HAS PROVIDED SERVICES TO THE UNION OR MADE EXCEPTIONAL CONTRIBUTIONS TO THE FIELDS OF EARTH AND SPACE SCIENCE MAY BE ELECTED AN HONORARY FELLOW BY THE COUNCIL; D. ASSOCIATE - AN INDIVIDUAL WHO DESIRES IDENTIFICATION WITH THE UNION AND WISHES TO SUPPORT ITS OBJECTIVES BUT DOES NOT MEET THE QUALIFICATIONS OF MEMBERSHIP MAY BECOME AN ASSOCIATE. ASSOCIATE MEMBERS MAY NOT VOTE OR HOLD OFFICE, BUT SHALL OTHERWISE HAVE ALL OF THE RIGHTS OF MEMBERSHIP; AND E. AFFILIATE - A CORPORATION, ACADEMIC INSTITUTION, OR OTHER ORGANIZATION INTERESTED IN EARTH AND SPACE SCIENCE MAY DESIGNATE A REPRESENTATIVE TO BECOME AN AFFILIATE. THE DESIGNATED REPRESENTATIVE SHALL ENJOY THE PRIVILEGES OF A MEMBER. FORM 990, PART VI, SECTION A, LINE 7A ALL ELIGIBLE MEMBERS MAY VOTE TO ELECT THE UNION OFFICERS (PRESIDENT, INTERNATIONAL SECRETARY AND GENERAL SECRETARY/TREASURER) AND CAN VOTE IN UP TO THREE SECTIONS OF THEIR CHOICE TO ELECT SECTION PRESIDENTS. FORM 990, PART VI, SECTION B, LINE 11 THE EXECUTIVE COMMITTEE OF THE BOARD REVIEWS THE 990 IN DEPTH WITH THE CEO, COO, AND CFO OF AGU. THE ENTIRE BOARD OF DIRECTORS IS GIVEN THE OPPORTUNITY TO REVIEW AND COMMENT ON AN ELECTRONIC COPY OF THE FORM 990 PRIOR TO ITS FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C IF AN OFFICER, DIRECTOR, TRUSTEE OR EMPLOYEE HAS ANY INDICATION THAT HE OR SHE HAS A DIRECT OR INDIRECT CONFLICT OF INTEREST, OR RECEIVES INFORMATION REGARDING A POTENTIAL CONFLICT OF INTEREST OF ANOTHER, THE CEO, COO AND DIRECTOR OF HUMAN RESOURCES MUST BE IMMEDIATELY NOTIFIED. ALL AGU OFFICERS, DIRECTORS, TRUSTEES, COMMITTEE MEMBERS, AND EMPLOYEES ARE REQUIRED TO SIGN AN ANNUAL CONFLICT OF INTEREST STATEMENT. FORM 990, PART VI, SECTION B, LINE 15 15A - CEO COMPENSATION IS ESTABLISHED USING THE METHODS INDICATED ON SCHEDULE J, PART I, LINE 3. COMPENSATION OF THE EXECUTIVE DIRECTOR WAS LAST REVIEWED BY THE EXECUTIVE COMMITTEE OF THE AGU BOARD IN FEBRUARY 2013. 15B - COMPENSATION OF OTHER OFFICERS OR KEY EMPLOYEES IS DETERMINED USING AN INDEPENDENT COMPENSATION CONSULTANT, COMPENSATION SURVEYS, AND FORM 990 COMPARISON DATA. COMPENSATION APPROVAL FOR AGU OFFICERS AND KEY EMPLOYEES IS THE RESPONSIBILITY OF THE CEO. THE CEO SHARES THE COMPARABLE MARKET DATA ON SALARY RANGES WITH THE EXECUTIVE COMMITTEE. FORM 990, PART VI, SECTION C, LINE 19 AGU'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC ONLINE AT WWW.AGU.ORG AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. PART IX, LINE 24 THERE IS AN ALLOCATION OF OVERHEAD INCLUDED ON FORM 990, PART IX, LINE 24, COLUMNS (B), (C), AND (D) THAT IS NOT ALLOCABLE TO ANY NATURAL EXPENSE LINE ITEM IN PART IX, BUT RATHER IS ALLOCABLE IN A GENERAL FASHION TO THE ORGANIZATION'S PROGRAM SERVICE ACTIVITIES AS REPORTED IN ITS AUDITED FINANCIAL STATEMENTS. THIS ALLOCATION WAS MADE SO AS TO BETTER ALIGN TOTAL PROGRAM SERVICE EXPENSES WITH THE ORGANIZATION'S AUDITED FINANCIAL STATEMENTS, WHICH FAIRLY REPORT THE ORGANIZATION'S PROGRAM SERVICE EXPENDITURES. FORM 990, PART XI, LINE 9: NET GAIN ON INTEREST RATE COLLAR 29,507. CHANGE IN POST-RETIREMENT BENEFITS -1,573,810. FORM 990 PART IX LINE 2C THE OVERSIGHT PROCESS REMAINS UNCHANGED FROM THE PRIOR YEAR.