2015-06-12T13:52:29-05:00 2014-07-31 263839190 BURR PILGER MAYER INC 2000 UNIVERSITY AVENUE SUITE 201 EAST PALO ALTO CA 94303 990 2013-08-01 942650833 MATHEMATICAL SCIENCES RESEARCH INSTITUTE MATH 5106420143 17 GAUSS WAY BERKELEY CA 94720 DAVID EISENBUD DIRECTOR 5106420143 2015-06-10 1 CAROLYN R AMSTER P00189994 6508556800 2015-06-10 2013 2016-02-25 16:41:14Z DAVID EISENBUD 17 GAUSS WAY BERKELEY CA 94720 17654878 0 X WWW.MSRI.ORG X 1980 CA MSRI FOSTERS MATHEMATICAL RESEARCH BY BRINGING TOGETHER THE FOREMOST MATHEMATICAL SCIENTISTS FROM AROUND THE WORLD IN AN ENVIRONMENT THAT PROMOTES CREATIVE AND EFFECTIVE COLLABORATION. 38 34 25 73 0 0 7936945 12885872 487052 408879 104004 310812 0 0 8528001 13605563 2492283 2647498 0 0 1877621 1751760 0 0 224240 3040785 3361436 7410689 7760694 1117312 5844869 26947871 33817959 501486 561227 26446385 33256732 X THE MATHEMATICAL SCIENCES RESEARCH INSTITUTE (MSRI) EXIST TO FURTHER THE ADVANCEMENT AND COMMUNICATION OF FUNDAMENTAL KNOWLEDGE IN MATHEMATICS AND THE MATHEMATICAL SCIENCES, THE DEVELOPMENT OF HUMAN CAPITAL FOR THE GROWTH AND USE OF SUCH KNOWLEDGE, AND THE CULTIVATION IN THE LARGER SOCIETY OF AWARENESS AND APPRECIATION OF THE BEAUTY, POWER AND IMPORTANCE OF MATHEMATICAL IDEAS AND WAYS OF UNDERSTANDING THE WORLD. 0 0 5258433 2647498 408879 SCIENTIFIC PROGRAMS: MSRI CONDUCTS BROADLY-BASED RESEARCH PROGRAMS IN THE MATHEMATICAL SCIENCES AND CLOSELY RELATED FIELDS.IN ANY GIVEN YEAR, MSRI CONDUCTS BETWEEN TWO AND FOUR THEMATIC RESEARCH PROGRAMS, EACH LASTING EITHER 5 MONTHS OR 10 MONTHS. EACH SUCH PROGRAM HOSTS 40-100 MATHEMATICAL SCIENTISTS FROM ALL OVER THE WORLD WHOSE RESEARCH CENTERS ON THE PROGRAM'S THEME, DURING WHICH TIME, THEY COLLABORATE ON RESEARCH, CONDUCT SEMINARS AND WORKSHOPS, AND TRAIN AND MENTOR POSTDOCTORAL FELLOWS IN THE DISCIPLINE.MSRI ALSO HOSTS, EACH YEAR, SEVERAL STAND-ALONE WORKSHOPS ON SPECIAL TOPICS, EACH ONE LASTING FOR A PERIOD BETWEEN ONE DAY AND TWO WEEKS AND BRINGING TO MSRI BETWEEN 40 AND 150 PARTICIPANTS. MSRI ALSO COLLABORATES WITH OTHER MATHEMATICS INSTITUTES IN SCIENTIFIC PROGRAMS AND IN ITS EFFORTS TO ENCOURAGE A DIVERSE POPULATION TO PARTICIPATE IN MATHEMATICS RESEARCH PROGRAMS. 819977 MATH AND SOCIETY PROGRAMS: MSRI SPONSORS A LARGE NUMBER OF PROGRAMS AND ACTIVITIES WHOSE GOAL IS TO ENHANCE K-12 MATHEMATICS EDUCATION AND TEACHER TRAINING. THESE INCLUDE SUPPORTING SEVERAL MATH CIRCLES (AFTERSCHOOL ACTIVITIES IN MATHEMATICS FOR SCHOOL CHILDREN) IN THE BAY AREA; THE NATIONAL ASSOCIATION OF MATH CIRCLES (WHICH PROMOTES A MATH CIRCLES NATIONWIDE; MATHEMATICS RELATED EVENTS FOR CHILDREN (THE BAY AREA MATHEMATICS OLYMPIAD); CIRCLE ON THE ROAD (A PROGRAM TO FOSTER ESTABLISHMENT OF NEW MATH CIRCLES); CRITICAL ISSUES IN MATHEMATICS EDUCATION (A FORUM FOR EXCHANGE OF IDEAS BETWEEN MATHEMATICS RESEARCHERS AND EDUCATORS).IN ADDITION, EACH YEAR, A SERIES OF FILMS, AND PUBLIC LECTURES AND OTHER EVENTS ARE HOSTED AT MSRI FOR THE PUBLIC. THAT HELPS THE INTERESTED LAY PERSON TO UNDERSTAND THE IMPORTANCE OF MATHEMATICS AND ITS APPLICATIONS IN OUR SOCIETY AND CULTURE AND TO APPRECIATE THE SIGNIFICANT RECENT ADVANCES IN THE DISCIPLINE. 588495 COMPUTING AND COMMUNICATION: MSRI PROVIDES INFORMATION TECHNOLOGY (IT) RESOURCES AND SERVICES TO ITS RESEARCHERS AND THE BROADER MATH COMMUNITY WORLDWIDE. MSRI MAINTAINS AN IT PLATFORM THAT FEATURES THE MOST ADVANCED MATHEMATICAL SOFTWARE AND THAT GRANTS ACCESS TO AND SUPPORTS VIRTUAL COLLABORATIVE RESEARCH AMONGST MATHEMATICIANS AT THE INSTITUTE. MSRI DEVELOPS AND MAINTAINS A VMATH WEBSITE THAT STREAMS VIDEOS OF PAST PROGRAM LECTURES FOR MATHEMATICIANS AND THE GENERAL PUBLIC. ALSO, MSRI DEVELOPED AND CURRENTLY MAINTAINS AND PROMOTES THE NATIONAL ASSOCIATION OF MATH CIRCLES WEBSITE, ENABLING A NATIONWIDE NETWORK OF MATH CIRCLES TO SHARE ONLINE MATH RESOURCES AND TOOLS AND FOR USE IN MATH CIRCLE AFTER-SCHOOL PROGRAMS AND CHILDHOOD EDUCATION. IN ADDITION, MSRI PRODUCES AND DISTRIBUTES DIGITAL VERSIONS OF ITS MOST POPULAR SCIENTIFIC AND PUBLIC EVENTS. 6666905 1 1 0 0 0 0 0 0 0 1 1 1 0 0 0 1 1 0 0 0 1 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 141 0 1 25 1 0 0 0 0 0 1 1 0 0 0 0 X 38 34 1 0 0 0 0 0 0 1 1 0 0 1 1 1 0 1 1 1 1 0 AL AK AR CA CT FL GA IL KS KY MA MD MI MN MS NC NH NJ NM NY OK OR PA RI SC TN UT VA WI WV X STEFANIE YURUS 5106429238 17 GAUSS WAY BERKELEY CA 947205070 EDWARD BAKER SECRETARY AND TREASURER 1.00 X X 0 0 0 DEBORAH LOEWENBERG BALL TRUSTEE 1.00 X 0 0 0 GEORGIA BENKART TRUSTEE 1.00 X 0 0 0 ELWYN BERLEKAMP TRUSTEE 1.00 X 0 0 0 BRENDAN HASSETT TRUSTEE 1.00 X 0 0 0 RUTH CHARNEY TRUSTEE 1.00 X 0 0 0 JENNIFER CHAYES TRUSTEE 1.00 X 0 0 0 NEIL CHRISS TRUSTEE 1.00 X 0 0 0 MAY CHU TRUSTEE 1.00 X 0 0 0 CHARLES FEFFERMAN TRUSTEE 1.00 X 0 0 0 JERRY FIDDLER TRUSTEE 1.00 X 0 0 0 DAN FREED TRUSTEE 1.00 X 0 0 0 JEFF GOODBY TRUSTEE 1.00 X 0 0 0 PHILLIP G GRIFFITHS TRUSTEE 1.00 X 0 0 0 SANFORD GROSSMAN TRUSTEE 1.00 X 0 0 0 MARIA M KLAWE TRUSTEE 1.00 X 0 0 0 MARK KLEIMAN TRUSTEE 1.00 X 0 0 0 HENRY LAUFER TRUSTEE 1.00 X 0 0 0 MARGARET HOLEN TRUSTEE 1.00 X 0 0 0 DUSA MCDUFF TRUSTEE 1.00 X 0 0 0 PRABHAKAR RAGHAVAN TRUSTEE 1.00 X 0 0 0 CRAIG HUNEKE TRUSTEE 1.00 X 0 0 0 JAMES H SIMONS TRUSTEE 1.00 X 0 0 0 HUGO SONNENSCHEIN TRUSTEE 1.00 X 0 0 0 ROGER A STRAUCH CHAIR OF THE BOARD 1.00 X X 0 0 0 SANDOR STRAUS TRUSTEE 1.00 X 0 0 0 KAREN UHLENBECK TRUSTEE 1.00 X 0 0 0 RONALD KAHN TRUSTEE 1.00 X 0 0 0 ANNA PATTERSON TRUSTEE 1.00 X 0 0 0 ANDREI OKOUNKOV VICE CHAIR OF THE BOARD 1.00 X 0 0 0 GIGLIOLA STAFFILANI EX-OFFICIO TRUSTEE 1.00 X 0 0 0 RICHARD TAYLOR EX-OFFICIO TRUSTEE 1.00 X 0 0 0 JUDY WALKER EX-OFFICIO TRUSTEE 1.00 X 0 0 0 MINERVA CORDERO EX-OFFICIO TRUSTEE 1.00 X 0 0 0 JOSE SCHEINKMAN TRUSTEE 1.00 X 0 0 0 DAVID EISENBUD DIRECTOR FROM 08/1/13 40.00 X X 30958 0 3096 HELENE BARCELO DEPUTY DIRECTOR 40.00 X X 196595 0 33464 EVA TARDOS TRUSTEE 1.00 X 0 0 0 STEFANIE YURUS CONTROLLER 40.00 X X 113492 0 32436 341045 0 68996 2 0 1 0 UPTIME USA LLC MT DIABLO BLVD SUITE A130 LAFAYETTE CA 94549 IT CONSULTING 397705 1 5565230 7320642 583820 12885872 ACADEM.SVC FEES&OTHER 900099 408879 408879 408879 188876 188876 4171251 4049315 121936 121936 121936 13605563 408879 0 310812 X 1275764 1275764 1371734 1371734 512645 283735 198011 30899 847641 502487 266404 78750 65080 50975 9469 4636 233069 163162 68663 1244 93325 62396 21961 8968 47505 47505 16218 7508 4720 3990 139589 82622 20301 36666 185177 162955 20370 1852 203885 182380 12435 9070 649774 584557 59782 5435 29310 26118 2926 266 WORKSHOP EXPENSES 894920 865303 10272 19345 PURCHASED SERVICES 824664 811514 3640 9510 GOVERNANCE COMMITTEES E 141596 63098 78498 0 EQUIPMENT, SUPPLIES AND 70821 70821 0 0 157977 99776 44592 13609 7760694 6666905 869549 224240 914 1516950 3754157 1948821 4508556 12352 5425 15919 14018 17328031 6778468 10942579 10549563 10502639 11346160 2008611 3639166 26947871 33817959 393013 490853 108473 70374 501486 561227 X 11514497 11372135 1568705 5990712 13363183 15893885 26446385 33256732 26947871 33817959 5844869 965478 0 X X 0 1 X 1 1 1 X 2668794 9233905 7500875 7936945 12885872 40226391 2668794 9233905 7500875 7936945 12885872 40226391 9508789 30717602 84024 82123 176667 138973 188876 670663 40897054 2045285 0.75110 0.80080 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 14111232 2530702 1276111 143676 17774369 12025725 1354359 1170539 439391 14111232 10739579 1682517 -394371 2000 12025725 8515267 2207723 150534 10873524 8386968 86633 44561 2895 8515267 0.01370 0.89420 0.09210 0 0 12936920 4363629 8573291 4391111 2414839 1976272 10549563 ALTERNATIVE INVESTMENTS 3639166 F 3639166 X 14582031 965478 10990 976468 13605563 0 13605563 7771684 10990 10990 7760694 0 7760694 PART V, LINE 4: ENDOWMENTS ARE HELD TO SUPPORT THE WORK OF RESEARCH PROFESSORS, POSTDOCTORAL SCHOLARS, AND MATHEMATICS CIRCLE PROGRAMS. PART X, LINE 2: THE INTERNAL REVENUE SERVICE HAS DETERMINED THAT THE INSTITUTE IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3). THE FRANCHISE TAX BOARD HAS DETERMINED THAT THE INSTITUTE IS EXEMPT FROM STATE INCOME TAXES UNDER THE CALIFORNIA REVENUE AND TAXATION CODE SECTION 23701(D). AS A RESULT, THE INSTITUTE IS EXEMPT FROM PAYING INCOME TAXES, AND THUS NO PROVISION FOR INCOME TAXES HAS BEEN REFLECTED IN THESE FINANCIAL STATEMENTS. HOWEVER, INCOME FROM ACTIVITIES NOT RELATED TO THE INSTITUTE'S TAX-EXEMPT PURPOSE MAY BE SUBJECT TO TAXATION AS UNRELATED BUSINESS INCOME. FOLLOWING THE ACCOUNTING GUIDANCE FOR UNCERTAIN TAX POSITIONS, MANAGEMENT CONCLUDED THERE ARE NO UNCERTAIN TAX POSITIONS AT JULY 31, 2014 AND 2013. 0 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 2896607 0 0 0 0 0 0 2896607 0 2896607 STIPENDS FOR RESEARCHERS, PER DIEM AND TRAVEL EXPENSE REIMBURSEMENTS NORTH AMERICA 43 140475 CHECK, WIRE STIPENDS FOR RESEARCHERS, PER DIEM AND TRAVEL EXPENSE REIMBURSEMENTS RUSSIA AND NEIGHBORING STATES 19 66381 CHECK, WIRE STIPENDS FOR RESEARCHERS, PER DIEM AND TRAVEL EXPENSE REIMBURSEMENTS CENTRAL AMERICA AND THE CARIBBEAN 5 2648 CHECK, WIRE STIPENDS FOR RESEARCHERS, PER DIEM AND TRAVEL EXPENSE REIMBURSEMENTS EAST ASIA AND THE PACIFIC 112 141972 CHECK, WIRE STIPENDS FOR RESEARCHERS, PER DIEM AND TRAVEL EXPENSE REIMBURSEMENTS EUROPE (INCLUDING ICELAND & GREENLAND) 247 859382 CHECK, WIRE STIPENDS FOR RESEARCHERS, PER DIEM AND TRAVEL EXPENSE REIMBURSEMENTS MIDDLE EAST AND NORTH AFRICA 22 67679 CHECK, WIRE STIPENDS FOR RESEARCHERS, PER DIEM AND TRAVEL EXPENSE REIMBURSEMENTS SOUTH AMERICA 21 73131 CHECK, WIRE STIPENDS FOR RESEARCHERS, PER DIEM AND TRAVEL EXPENSE REIMBURSEMENTS SOUTH ASIA 17 10145 CHECK, WIRE STIPENDS FOR RESEARCHERS, PER DIEM AND TRAVEL EXPENSE REIMBURSEMENTS SUB-SAHARAN AFRICA 8 9922 CHECK, WIRE 1 0 1 0 0 0 FORM 990, SCHEDULE F, PART V: THE GRANTS WERE PAID TO THE FOREIGN INDIVIDUALS DURING THEIR VISITS TO THE UNITED STATES. 1 STIPENDS, PER DIEM AND TRAVEL REIMBURSMENT 464 1275764 PART I, LINE 2: MSRI REQUIRES SUBMISSION OF TRAVEL RECEIPTS BEFORE REIMBURSING THE GRANTEES' EXPENSES. IN ADDITION, FOR NATIONAL SECURITY GRANTS, VERIFICATION OF THE RECIPIENTS' UNITED STATES CITIZENSHIP IS OBTAINED. X X X 1 1 X X X X 0 0 0 0 0 0 0 0 0 HELENE BARCELO DEPUTY DIRECTOR 196595 0 0 0 0 0 19443 0 14021 0 230059 0 0 0 SCHEDULE J, PART I, LINE 1A: MSRI OFFERS A MONETARY TRAVEL ALLOWANCE TO INCENT SUCCESSFUL JOB CANDIDATES TO ACCEPT THEIR OFFER. THE ANNUAL COST OF SPOUSAL TRAVEL ALLOWANCE RECEIVED BY THE DEPUTY DIRECTOR WAS $2,162.20. THE SPOUSAL TRAVEL ALLOWANCE AMOUNTS WERE FULLY INCLUDED IN THE TAXABLE INCOME OF THE RECIPIENTS. X 25326 FMV X 2 558491 FMV 0 1 0 FORM 990, PART VI, SECTION A, LINE 2 SOME OF THE DIRECTORS HAVE CAREERS AS INVESTORS AND FELLOW DIRECTORS HOLD INVESTMENTS IN FUNDS THEY MANAGE. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS DISTRIBUTED TO THE FINANCE COMMITTEE FOR REVIEW. COMMITTEE MEMBERS PROVIDE FEEDBACK AND CHANGES TO CONTENT IN THE FORM 990 DIRECTLY TO THE CONTROLLER. ALL CHANGES ARE REFLECTED IN THE FORM 990 BY THE CONTROLLER PRIOR TO FILING THE FORM 990 WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12 CONFLICT OF INTEREST STATEMENTS ARE PROVIDED TO THE BOARD OF TRUSTEES AT THE ANNUAL TRUSTEE MEETING. THE BOARD OF TRUSTEES SIGN AND RETURN THE COMPLETED FORMS FOR REVIEW. CONFLICTS OF INTERESTED THAT ARE IDENTIFIED ARE ADDRESSED AT THAT TIME. FORM 990, PART VI, SECTION B, LINE 15 THE OPERATIONS MANAGER PREPARES AND SUBMITS A COMPARATIVE SALARY ANALYSIS FOR EACH OFFICER LEVEL POSITION TO THE COMPENSATION COMMITTEE FOR REVIEW. BASED ON REVIEW, THE STEERING COMMITTEE SUBMITS A RECOMMENDATION FOR APPROVAL OF OFFICER COMPENSATION BY THE BOARD OF TRUSTEE. KEY EMPLOYEE COMPENSATION IS AUTHORIZED BY THE DIRECTOR AND APPROVED BY THE BOARD OF TRUSTEES IN THE ANNUAL BUDGETING PROCESS. FORM 990, PART VI, SECTION C, LINE 19 DOCUMENTS ARE MADE AVAILABLE UPON REQUEST. FORM 990, PART IX, LINE 11G OTHER PROFESSIONAL FEES: PROGRAM SERVICE EXPENSES 7,508. MANAGEMENT AND GENERAL EXPENSES 4,720. FUNDRAISING EXPENSES 3,990. TOTAL EXPENSES 16,218. FORM 990, PART XII, LINE 2C NO CHANGE IN THE AUDIT COMMITTEE'S OVERSIGHT PROCESS.