2015-11-10T13:54:07-06:00 2014-12-31 201776739 JPMS COX PLLC 11300 CANTRELL ROAD SUITE 301 LITTLE ROCK AR 72212 990 2014-01-01 710603560 WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT WINR 5012803000 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 MIKE MYERS VP/CFO 5012803030 2015-10-29 1 MARY ELLEN IRONS P00626271 5012275800 2015-10-29 2014 2016-04-25 22:37:26Z MIKE MYERS 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 112726919 0 X WWW.WINROCK.ORG X 1984 AR WINROCK IS A NONPROFIT ORGANIZATION THAT WORKS WITH PEOPLE AROUND THE WORLD TO INCREASE ECONOMIC OPPORTUNITY, SUSTAIN NATURAL RESOURCES AND PROTECT THE ENVIRONMENT. THIS IS DONE BY LINKING LOCAL INDIVIDUALS AND COMMUNITIES WITH NEW IDEAS AND TECHNOLOGY, AND IN DOING SO, WINROCK IS INCREASING LONG-TERM PRODUCTIVITY, EQUITY AND RESPONSIBLE RESOURCE MANAGEMENT THAT BENEFITS THE POOR AND DISADVANTAGED OF THE WORLD. AREAS OF FOCUS INCLUDE: AGRICULTURAL AND RURAL DEVELOPMENT; EDUCATION AND EMPOWERMENT; NATURAL RESOURCE MANAGEMENT; ENTERPRISE DEVELOPMENT; DEMOCRACY AND GOVERNANCE; CONFLICT MITIGATION; CAPACITY BUILDING; AND CLEAN ENERGY. 14 13 251 87 0 -22994 81297732 95668997 0 0 1695859 1837398 0 0 82993591 97506395 15000 0 0 0 40233005 39686509 0 0 0 44720786 55716074 84968791 95402583 -1975200 2103812 93233906 99298099 32870609 35596434 60363297 63701665 X WINROCK INTERNATIONAL IS A NONPROFIT ORGANIZATION THAT WORKS WITH PEOPLE IN THE UNITED STATES AND AROUND THE WORLD TO EMPOWER THE DISADVANTAGED, INCREASE ECONOMIC OPPORTUNITY, AND SUSTAIN NATURAL RESOURCES.WINROCK MATCHES INNOVATIVE APPROACHES IN AGRICULTURE, NATURAL RESOURCES MANAGEMENT, CLEAN ENERGY, AND LEADERSHIP DEVELOPMENT WITH THE UNIQUE NEEDS OF ITS PARTNERS. BY LINKING LOCAL INDIVIDUALS AND COMMUNITIES WITH NEW IDEAS AND TECHNOLOGY, WINROCK IS INCREASING LONG-TERM PRODUCTIVITY, EQUITY, AND RESPONSIBLE RESOURCE MANAGEMENT TO BENEFIT THE POOR AND DISADVANTAGED OF THE WORLD. 0 0 83801925 SEE ABOVE STATEMENT OF EXEMPT PURPOSE 83801925 1 1 0 1 0 0 0 0 0 1 1 1 1 0 1 1 1 0 0 1 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 X 161 0 1 251 1 0 1 BG BR UV CB CH CG IV ES ET GH GG GV ID KE LI MK ML MI MD NP NG NI PK RP RW SG SU TI TZ TH UG VM ZA CA BM 0 0 0 0 0 0 0 0 X 14 13 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 AR X X MIKE MYERS 5012803000 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 RODNEY FERGUSON PRESIDENT AND CEO 40.00 X X 466820 0 43761 ELIZABETH CAMPBELL CHAIRMAN 1.00 X X 0 0 0 PETER O'NEILL VICE CHAIR 1.00 X X 0 0 0 JASON BORDOFF BOARD MEMBER 1.00 X 0 0 0 WILLIAM M BUMPERS BOARD MEMBER 1.00 X 0 0 0 JOYCE CACHO BOARD MEMBER 1.00 X 0 0 0 MELISSA S DANN BOARD MEMBER 1.00 X 0 0 0 EARL DEVANEY BOARD MEMBER 1.00 X 0 0 0 NEVA GOODWIN BOARD MEMBER 1.00 X 0 0 0 WILLIAM KETCHAM BOARD MEMBER 1.00 X 0 0 0 RICK LEACH BOARD MEMBER 1.00 X 0 0 0 PAUL SAVAGE BOARD MEMBER 1.00 X 0 0 0 SUZANNE E SISKEL BOARD MEMBER 1.00 X 0 0 0 F BRONSON VAN WYCK BOARD MEMBER 1.00 X 0 0 0 MIKE MYERS CFO/TREASURER 40.00 X 223386 0 32792 CAROL ANN SMITH VICE PRESIDENT, OPERATIONS 40.00 X 167257 0 22542 AMY CARRASQUILLO CORPORATE SECRETARY/MANAGER 40.00 X 89389 0 24473 PAM FUTCH SR STAFF ACCT/ASST. TREASURER 40.00 X 78828 0 23841 CAROL O'LAUGHLIN GROUP VP, EMPOWERMENT/CIVIC ENGAGEMENT 40.00 X 226263 0 29183 DARRELL DEPPERT CHIEF OF PARTY 40.00 X 346733 0 27074 CURTIS HUNDLEY CHIEF OF PARTY 40.00 X 346688 0 25409 ROBYN MCGUCKIN SR. VICE PRES, PROGRAMS 40.00 X 261469 0 51791 DAVID NORMAN GROUP VP, ENVIRONMENT & AGRI 40.00 X 234234 0 33563 MARY HARRIS VP, COMMUNICATIONS 40.00 X 229212 0 22588 2670279 0 337017 76 0 1 0 FSG INC 500 BOYLSTON ST STE 600 BOSTON MA 02116 STRATEGIC PLANNING CONSULTING 370511 MODUS 21 HOLDING 503 WANDO PARK BLVD STE 100 MOUNT PLEASANT SC 29464 MANAGEMENT CONSULTING 318434 TAFT STETTINIUS & HOLLISTER 40 N MAIN ST STE 1700 DAYTON OH 45423 LEGAL COUNSEL 141326 ROCKEFELLER FINANCIAL 10 ROCKEFELLER PLAZA 3RD FL NEW YORK NY 10020 INVESTMENT MANAGEMENT 106656 4 78532059 17136938 95668997 807657 807657 16244848 5417 15220524 0 1024324 5417 1029741 1029741 97506395 0 0 1837398 1156491 1156491 38114238 31366271 6747967 415780 401743 14037 252746 109675 143071 228640 68174 160466 400266 400266 3401209 2447694 953515 12079 12079 1897160 1478804 418356 42737 39665 3072 3133905 2879886 254019 5282173 4749720 532453 1078468 1025456 53012 698722 698722 516923 428378 88545 SUBCONTRACTS 28005914 28005914 PROCUREMENT 2705329 2683000 22329 FELLOWSHIPS 2608700 2607600 1100 VEHICLES 696119 692292 3827 4754984 3649083 1105901 95402583 83801925 11600658 0 6858266 9356075 1058912 2407026 82284 16050 13976745 14573541 442064 510797 13772284 5542724 8785654 8229560 49244143 50113655 12780119 14091395 5719 0 93233906 99298099 9281711 8648445 16586481 20160891 4755000 4680000 2247417 2107098 32870609 35596434 X 50652193 51480607 9711104 12221058 60363297 63701665 93233906 99298099 2103812 1234556 0 X 0 1 X 1 1 1 X 80621487 90284462 82405010 81297732 95668997 430277688 80621487 90284462 82405010 81297732 95668997 430277688 430277688 1025128 792109 705004 1009728 807657 4339626 434617314 0.99000 0.98960 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 520 520 0 PART II-B, LINE 1: PORTION OF DUES PAID TO INTERACTION LABELED AS LOBBYING EXPENSE 6371665 -65572 343224 37051 6612266 5717872 -39989 728034 34252 6371665 5207453 -29441 577645 37785 5717872 5229410 -41043 116878 61272 36520 5207453 4699133 69298 540815 79836 5229410 1.00000 0.00000 0.00000 1 0 1377444 1377444 7499849 2753849 4746000 1895329 737553 1157776 2357978 1717213 640765 641684 334109 307575 8229560 EQUITY SECURITIES & MUTUAL FUNDS 29859056 F LIMITED PARTNERSHIPS 17133084 F OTHER INVESTMENTS 764919 F REAL ESTATE 2356596 F 50113655 INVESTMENTS - PROJECT ADVANCE 14091395 F 14091395 DEFERRED RENT & OTHER LIABILITIES 2107098 2107098 X 98809372 1234556 1234556 97574816 -68421 -68421 97506395 95471004 68421 68421 95402583 0 95402583 PART X, LINE 2: WINROCK RECOGNIZES ACCRUED INTEREST AND PENALTIES ASSOCIATED WITH UNCERTAIN TAX POSITION AS PART OF THEIR INCOME TAX PROVISION, IF ANY. THE PAST THREE YEARS OF EXEMPT ORGANIZATION INCOME TAX RETURNS ARE SUBJECT TO POTENTIAL EXAMINATION BY TAXING AUTHORITIES. WINROCK CONTINUALLY EVALUATES CHANGES IN TAX LAW AND NEW AUTHORITATIVE RULINGS. ONE SUCH CHANGE EFFECTIVE JANUARY 2, 2011 IS INTERNAL REVENUE CODE SECTION 5000C, WHICH PROVIDES FOR A TWO-PERCENT EXCISE TAX TO BE ASSESSED ON A FOREIGN PERSON THAT RECEIVES A SPECIFIED FEDERAL PROCUREMENT PAYMENT ("SFPP"). SECTION 5000C DEFINES AN SFPP AS ANY PAYMENT MADE PURSUANT TO A CONTRACT WITH THE U.S. GOVERNMENT FOR: (1) THE PROVISION OF GOODS, IF SUCH GOODS ARE MANUFACTURED OR PRODUCED IN ANY COUNTRY THAT IS NOT A PARTY TO AN INTERNATIONAL PROCUREMENT AGREEMENT ("IPA") WITH THE UNITED STATES, OR (2) THE PROVISION OF SERVICES, IF SUCH SERVICES IN ANY COUNTRY THAT IS NOT A PARTY TO AN IPA WITH THE UNITED STATES. MANAGEMENT ASSERTS THAT THE TAX WOULD NOT APPLY TO WINROCK BECAUSE THE TAX IS ONLY ASSESSED (1) AGAINST FOREIGN PERSONS WHO RECEIVE SFPP'S (NOT U.S. PERSONS) AND (2) WHERE THE PAYMENT IS MADE PURSUANT TO A CONTRACT WITH THE GOVERMNENT OF THE UNITED STATES- NEITHER OF WHICH APPLIES TO WINROCK'S ACTIVITIES. BECAUSE MANAGEMENT'S POSITION IS BASED ON A STRAIGHT READING OF SECTION 5000C AND THE FACT THAT THERE ARE CURRENTLY NO REGULATIONS OR OTHER OFFICIAL GUIDANCE FROM THE UNITED STATES TREASURY TO INTERPRET THE SECTION, THE POSSIBILITY REMAINS THAT FUTURE AUTHORITATIVE GUIDANCE WILL BE ISSUED CONTRARY TO THE POSITION CURRENTLY TAKEN BY WINROCK. PART XI, LINE 4B - OTHER ADJUSTMENTS: REALIZED LOSS ON BOND REDEMPTION -68,421. SEE ATTACHED STATEMENT SEE ATTACHED STATEMENT SEE ATTACHED STATEMENT 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 PART I, LINE 2: WINROCK INTERNATIONAL IMPLEMENTS PROJECTS IN APPROXIMATELY 50 COUNTRIES WORLD-WIDE. WINROCK PROJECTS ARE FUNDED BY BOTH DOMESTIC AND INTERNATIONAL FUNDERS, WITH 80% OF FUNDING PROVIDED BY THE U.S. FEDERAL GOVERNMENT IN 2014. WHEN AWARDED, WINROCK ESTABLISHES A PRESENCE IN THE REQUIRED AREA AND CARRIES OUT THE SCOPE OF WORK INCLUDED WITHIN THE AWARDED PROPOSAL. THE THREE MAIN AREAS OF WINROCK'S WORK ARE THE AREAS OF ENTERPRISE & AGRICULTURE, EMPOWERMENT & CIVIC ENGAGEMENT, AND ENVIRONMENT (INCLUDING FORESTRY MANAGEMENT, ENERGY, AND ECOSYSTEM SERVICES). IN ADDITION TO THE WORK PROVIDED WITHIN THE U.S., THE PRIMARY REGIONS IN WHICH WINROCK WORKS INCLUDE CENTRAL ASIA, SOUTH/SOUTHEAST ASIA, AFRICA, AND LATIN AMERICA. X X 1 1 X X X X 0 0 0 0 0 0 0 0 0 RODNEY FERGUSON PRESIDENT AND CEO 429320 0 37500 0 0 0 42597 0 1164 0 510581 0 0 0 MIKE MYERS CFO/TREASURER 187386 0 36000 0 0 0 18481 0 14311 0 256178 0 0 0 CAROL ANN SMITH VICE PRESIDENT, OPERATIONS 147257 0 20000 0 0 0 14615 0 7927 0 189799 0 0 0 CAROL O'LAUGHLIN GROUP VP, EMPOWERMENT/CIVIC ENGAGEME 193763 0 32500 0 0 0 18605 0 10578 0 255446 0 0 0 DARRELL DEPPERT CHIEF OF PARTY 265158 0 0 0 81575 0 17631 0 9443 0 373807 0 0 0 CURTIS HUNDLEY CHIEF OF PARTY 262878 0 0 0 83810 0 17533 0 7876 0 372097 0 0 0 ROBYN MCGUCKIN SR. VICE PRES, PROGRAMS 211469 0 50000 0 0 0 15384 0 36407 0 313260 0 0 0 DAVID NORMAN GROUP VP, ENVIRONMENT & AGRI 197734 0 36500 0 0 0 19500 0 14063 0 267797 0 0 0 MARY HARRIS VP, COMMUNICATIONS 186212 0 43000 0 0 0 17957 0 4631 0 251800 0 0 0 PART I, LINE 1A A HOUSING ALLOWANCE IS PROVIDED TO DIRECTORS OF PROJECTS IN FOREIGN COUNTRIES. THIS IS A PROJECT EXPENSE REIMBURSED BY FUNDERS. A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KLZ9 2003-06-19 145000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMA3 2003-06-19 150000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMB1 2003-06-19 155000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMC9 2003-06-19 160000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 A 145000 2004 0 0 1 1 B 150000 2004 0 0 1 1 C 155000 2004 0 0 1 1 D 160000 2004 0 0 1 1 A 0 0 0 0 0 0 1 B 0 0 0 0 0 0 1 C 0 0 0 0 0 0 1 D 0 0 0 0 0 0 1 A 0 0 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 0 0 A 1 B 1 C 1 D 1 A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMD7 2003-06-19 170000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KME5 2003-06-19 980000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMF2 2003-06-19 1255000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMG0 2003-06-19 1605000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 A 170000 2004 0 0 1 1 B 980000 2004 0 0 1 1 C 1255000 2004 0 0 1 1 D 1605000 2004 0 0 1 1 A 0 0 0 0 0 0 1 B 0 0 0 0 0 0 1 C 0 0 0 0 0 0 1 D 0 0 0 0 0 0 1 A 0 0 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 0 0 A 1 B 1 C 1 D 1 A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB98 2014-08-07 4689596 PROCEEDS USED TO CURRENTLY REFUND PRIOR ISSUANCE 0 0 0 A 4689596 344880 93791 4250925 2004 1 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 0 0 0 0 0 0 A 1 ROCKEFELLER FINANCIAL BOARD MEMBER PETER O'NEILL IS AN OFFICER AT ROCKEFELLER FINANCIAL. 106656 INVESTMENT MANAGEMENT FEES 0 0 0 FORM 990, SCHEDULE L, PART IV, (B) MR. O'NEILL HAS CHOSEN TO RECUSE HIMSELF FROM ANY DECISIONS THAT RELATE TO BUSINESS ACTIVITIES BETWEEN ROCKEFELLER FINANCIAL AND WINROCK INTERNATIONAL. FORM 990, PART VI, SECTION A, LINE 2 NEVA GOODWIN AND PETER O'NEILL - FAMILY RELATIONSHIP FORM 990, PART VI, SECTION B, LINE 11 THE 990 WAS PRESENTED TO THE AUDIT COMMITTEE BY MANAGEMENT AND THE TAX PREPARERS PRIOR TO THE FILING OF THIS TAX RETURN. AT THEIR RECOMMENDATION, THE BOARD AND OFFICERS THEN HAD THE OPPORTUNITY TO REVIEW THE ACCURACY AND COMPLETENESS OF THE RETURN BEFORE IT WAS FILED. HOWEVER; THE AUTHORITY TO SUGGEST CHANGES TO THE FORM LIES WITH THE AUDIT COMMITTEE. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY THE WINROCK CORPORATE SECRETARY DISTRIBUTES BOTH A COPY OF THE CONFLICT OF INTEREST POLICY AND A SIGNATURE STATEMENT TO ALL MEMBERS OF THE BOARD OF DIRECTORS. ALL OTHER EMPLOYEES RECEIVE THEIR SIGNATURE STATEMENTS FROM THE HUMAN RESOURCES DEPARTMENT. THE SIGNATURE STATEMENT REQUIRES THE SIGNER TO SIGN AFTER READING THE CONFLICT OF INTEREST POLICY AND DISCLOSE ANY POSSIBLE CONFLICTS OF INTEREST OR STATING THAT THE EMPLOYEE/BOARD MEMBER HAS NONE. IF THERE IS A DISCLOSURE NECESSARY, THEY ARE THEN REVIEWED BY BOTH THE CEO AND THE BOARD CHAIR TO DETERMINE THEIR SEVERITY. FORM 990, PART VI, SECTION B, LINE 15 A COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS USES COMPENSATION SURVEYS AND OTHER RESOURCES TO DETERMINE THE APPROPRIATE COMPENSATION FOR THE CEO. THE DECISION BY THE COMPENSATION COMMITTEE IS THEN APPROVED BY THE FULL BOARD BEFORE BEING FINALIZED. THE COMPENSATION COMMITTEE ALSO REVIEWS ANNUALLY THE COMPENSATION OF OFFICERS AND KEY EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 THE ARTICLES OF INCORPORATION AND BYLAWS ARE MADE PUBLIC THROUGH THE ARKANSAS SECRETARY OF STATE'S OFFICE OR CAN BE DIRECTLY REQUESTED FROM THE CORPORATE SECRETARY. THE CONFLICT OF INTEREST POLICY IS AVAILABLE UPON REQUEST TO THE CORPORATE SECRETARY OR HUMAN RESOURCES DIRECTOR. THE FINANCIAL STATEMENTS ARE PUBLISHED THROUGH DUNN & BRADSTREET, A FEDERAL AUDIT CLEARINGHOUSE, AND A CONDENSED VERSION OF THE BALANCE SHEET AND INCOME STATEMENT IS AVAILABLE ON THE WINROCK INTERNATIONAL WEBSITE (WWW.WINROCK.ORG).