2014-08-12T15:47:00-05:00 2013-12-31 420714325 MCGLADREY LLP 100 INTERNATIONAL DRIVE SUITE 1400 BALTIMORE MD 21202 990 2013-01-01 521121163 NATIONAL AQUARIUM IN BALTIMORE INC NATI 4105763800 PIER 3 - 501 EAST PRATT STREET BALTIMORE MD 21202 BRUCE S HOFFBERGER CFO 4105763800 2014-08-07 1 JAMES P SWEENEY P01263012 4102469300 2013 2015-11-30 17:44:51Z JOHN C RACANELLI PIER 3 - 501 EAST PRATT STREET BALTIMORE MD 21202 44162715 0 X WWW.AQUA.ORG X 1976 MD TO INSPIRE CONSERVATION OF THE WORLD'S AQUATIC TREASURES. 20 19 609 940 2676634 -608045 9699403 8530897 31264230 33104086 0 0 2500611 2527732 43464244 44162715 0 0 0 0 15982199 16841146 75000 75000 561942 24734682 24332297 40791881 41248443 2672363 2914272 105193612 104235960 34131507 30259583 71062105 73976377 X TO INSPIRE CONSERVATION OF THE WORLD'S AQUATIC TREASURES. 0 0 6636513 BIOLOGICAL PROGRAMSTHE NATIONAL AQUARIUM'S LIVING COLLECTION INCLUDES MORE THAN 17,000 ANIMALS FROM MORE THAN 750 SPECIES OF FISH, BIRDS, AMPHIBIANS, REPTILES, AND MARINE MAMMALS THAT LIVE IN AWARD-WINNING, RE-CREATED HABITATS. THE BIOLOGICAL PROGRAMS DEPARTMENT PROVIDES THE BEST POSSIBLE CARE FOR ALL ANIMALS IN THE COLLECTION AND WORKS TO PROMOTE THE CONSERVATION OF WILD POPULATIONS AND THEIR HABITATS. IN ADDITION, BIOLOGICAL PROGRAMS STAFF CONDUCTS SCIENTIFIC RESEARCH AND FIELD WORK TO SUPPORT SPECIES AND HABITAT CONSERVATION, WITH A STRONG EMPHASIS ON THE CHESAPEAKE BAY. 3674076 CONSERVATION EDUCATIONTHE NATIONAL AQUARIUM'S EDUCATION PROGRAMS HELP STUDENTS AND TEACHERS GAIN LEADERSHIP SKILLS AND IMPROVE SCIENCE LEARNING, ESPECIALLY AT A TIME WHEN SCHOOL DISTRICTS STRUGGLE TO PROVIDE HANDS-ON ENVIRONMENTAL EDUCATION OPPORTUNITIES. CONSERVATION PROGRAMS, BOTH ON-SITE AND IN THE FIELD, GUIDE PARTICIPANTS TOWARD MORE PERSONAL AND SUSTAINABLE RELATIONSHIPS WITH THE NATURAL WORLD, INSPIRING STUDENTS TO ENJOY, RESPECT AND PROTECT THE AQUATIC WORLD. EACH YEAR, MORE THAN 113,000 STUDENTS AND CHAPERONES VISIT THE NATIONAL AQUARIUM, WITH APPROXIMATELY 11,000 COMING FROM BALTIMORE CITY, WHICH HAS MANY STRUGGLING SCHOOLS. THE FREE ADMISSION PROGRAM, AVAILABLE TO MARYLAND SCHOOLS, INTRODUCES STUDENTS TO ENVIRONMENTAL CONSERVATION AND MARINE SCIENCE. PROGRAMS FOR TEACHERS AND SCHOOL-AGED YOUTH INCLUDE CURRICULUM SUPPORT; TEACHER ORIENTATIONS, WORKSHOPS, AND OTHER TRAININGS; SCHOOL GROUP TOURS; AND GRADE-APPROPRIATE CLASSROOM PROGRAMS THAT MEET NATIONAL AND STATE CURRICULUM STANDARDS. 27264776 33620982 GUEST OPERATIONSAS AN INSTITUTION ACCREDITED BY THE ASSOCIATION OF ZOOS AND AQUARIUMS (AZA), THE NATIONAL AQUARIUM IS A LEADER IN ITS FIELD AND EMBRACES THE HIGHEST QUALITY FACILITIES, PROGRAMS, AND STAFF AVAILABLE. SINCE OPENING IN 1981, MORE THAN 47 MILLION GUESTS HAVE LEARNED ABOUT THE RICH DIVERSITY OF LIFE THROUGH THE AQUARIUM'S EXHIBITS AND BY PARTICIPATING IN ITS GUEST PROGRAMS. PROGRAMMING FOR GUESTS INCLUDES ANIMAL ENCOUNTERS, FEEDING AND DIVING DEMONSTRATIONS, GUIDED TOURS, CLASSROOM PROGRAMS, AUDITORIUM PRESENTATIONS, HANDS-ON DISCOVERY CART INTERACTIONS, AND OTHER ENRICHMENT ACTIVITIES AND SPECIAL EVENTS. 37575365 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 1 0 1 0 0 0 0 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 1 0 0 0 1 137 0 1 609 1 1 1 0 0 0 0 1 1 0 0 0 0 X 20 19 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CO CT DC FL GA IL KS KY MD ME MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X X X BRUCE HOFFBERGER 4105763823 111 MARKET PL STE 800 BALTIMORE MD 21202 ROBERT CARTER CHAIR 4.00 2.00 X X 0 0 0 JENNIFER REYNOLDS CHAIR 4.00 1.00 X X 0 0 0 ANDREW GOOD SECRETARY 1.00 1.00 X X 0 0 0 MOHANNAD JISHI TREASURER 4.00 1.00 X X 0 0 0 KARL BOURDEAU DIRECTOR 1.00 1.00 X 0 0 0 DAVID BOWEN DIRECTOR 1.00 1.00 X 0 0 0 MARC BUNTING DIRECTOR 1.00 1.00 X 0 0 0 MARILYN CARP DIRECTOR 1.00 1.00 X 0 0 0 JAMES DALE DIRECTOR 1.00 1.00 X 0 0 0 MICHAEL DUNMYER DIRECTOR 1.00 1.00 X 0 0 0 MARK EDWARD DIRECTOR 1.00 1.00 X 0 0 0 ANN GALLANT DIRECTOR 1.00 1.00 X 0 0 0 DONNA MORRISON DIRECTOR 1.00 1.00 X 0 0 0 KALIOPE PARTHEMOS DIRECTOR 1.00 1.00 X 0 0 0 DONALD PETTIT DIRECTOR 1.00 1.00 X 0 0 0 CHARLES PHILLIPS DIRECTOR 1.00 1.00 X 0 0 0 SCOTT PLANK DIRECTOR 1.00 1.00 X 0 0 0 DIANA RAMSAY DIRECTOR 1.00 1.00 X 0 0 0 LEE RILEY DIRECTOR 1.00 1.00 X 0 0 0 THOMAS ROBERTS DIRECTOR 1.00 1.00 X 0 0 0 CHARLES ROGERS DIRECTOR 1.00 1.00 X 0 0 0 JIM SEAY DIRECTOR 1.00 1.00 X 0 0 0 JOHN C RACANELLI CHIEF EXECUTIVE OFFICER 15.00 45.00 X 402759 0 41846 BRUCE S HOFFBERGER CHIEF FINANCIAL OFFICER 24.00 36.00 X 265759 0 22589 PAULA SCHAEDLICH CHIEF OPERATING OFFICER (THRU 8/2013) 33.00 27.00 X 240121 0 15047 DALE SCHMIDT CHIEF OPERATING OFFICER (BEG. 5/2013) 43.00 17.00 X 126154 0 14724 KATHLEEN SHER SENIOR VICE PRESIDENT EXTERNAL AFFAIRS 30.00 30.00 X 229062 0 16642 STEVEN SCHINDLER CHIEF MARKETING OFFICER 24.00 36.00 X 220410 0 15411 BRENT WHITAKER VICE PRESIDENT OF BIOLOGICAL PROGRAMS 44.00 11.00 X 141877 0 7587 TIMOTHY PULA VICE PRESIDENT OF CAPITAL PLANNING AND FACILITIES 39.00 16.00 X 137451 0 5574 SEAN P DELANEY VICE PRESIDENT OF FINANCE 51.00 4.00 X 113850 0 22001 CANDACE OSUNSADE VICE PRESIDENT OF HUMAN RESOURCES 45.00 5.00 X 111845 0 22027 SCOTT PERICH VICE PRESIDENT OF EXHIBITS AND DESIGN 52.00 3.00 X 110076 0 4596 2099364 0 188044 14 0 1 0 WHITING TURNER CONTRACTING CO PO BOX 17596 BALTIMORE MD 21297 CONSTRUCTION 4441015 IMPACTS RESEARCH & DEVELOPMENT LLC 3720 FALCON RIDGE DRIVE MEDINA OH 44256 MARKETING 1016700 DAVID L MANWARREN CORP 9146 9TH STREET RANCHO CUCAMONG CA 91730 CONSTRUCTION 632358 JOHNSON CONTROLS PO BOX 905240 CHARLOTTE NC 28290 FACILITY MAINTENANCE 628212 TALBOT FILMS INC 1223 OCEAN VIEW BLVD PACIFIC GROVE CA 93950 FILMOGRAPHY 570342 24 167826 3027940 5335131 166783 8530897 ADMISSIONS 713990 24253033 24253033 MEMBERSHIP FEES 900099 3850692 3850692 CONSIGNMENT 713990 1535059 1535059 4D 900099 1324605 1324605 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309039 70325 1984520 1324818 505346 84358 1745806 0.49300 0.50700 0 1 1 159323309 72411756 86911553 17592065 11171943 6420122 800921 800921 94132596 DEFERRED RENT 1249097 1249097 X 51543576 2934221 4528056 7462277 44081299 81416 81416 44162715 44380200 2934221 197536 3131757 41248443 0 41248443 PART V, LINE 4: THE ENDOWMENT FUNDS ARE HELD BY THE NATIONAL AQUARIUM IN BALTIMORE FOUNDATION, INC., A RELATED 501(C)(3) ORGANIZATION. THE FOUNDATION'S OBJECTIVE IS TO EARN A RESPECTABLE LONG-TERM, RISK ADJUSTED TOTAL RATE OF RETURN TO SUPPORT THE DESIGNATED PROGRAMS. THE FOUNDATION RECOGNIZES AND ACCEPTS THAT PURSUING A RESPECTABLE RATE OF RETURN INVOLVES RISK AND POTENTIAL VOLATILITY. THE GENERATION OF CURRENT INCOME WILL BE A SECONDARY CONSIDERATION. PART X, LINE 2: THE AQUARIUM HAS ADOPTED THE ACCOUNTING STANDARD ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE CONSOLIDATED FINANCIAL STATEMENTS. UNDER THIS POLICY, THE AQUARIUM MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WOULD BE SUSTAINED ON EXAMINATION BY TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. MANAGEMENT HAS EVALUATED THE AQUARIUM'S TAX POSITIONS AND HAS CONCLUDED THAT THE AQUARIUM HAS TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE ADJUSTMENT TO THE FINANCIAL STATEMENTS TO COMPLY WITH PROVISIONS OF THIS GUIDANCE. THE AQUARIUM IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS FOR THE U.S. FEDERAL, STATE OR LOCAL TAX AUTHORITIES FOR YEARS BEFORE 2010. PART XI, LINE 2D - OTHER ADJUSTMENTS: INCOME OF THE NATIONAL AQUARIUM IN BALTIMORE FOUNDATION, INC. 4,483,056. INCOME OF THE CENTER FOR AQUATIC LIFE AND CONSERVATION, INC. 45,000. PART XI, LINE 4B - OTHER ADJUSTMENTS: INCOME ELIMINATED ON THE CONSOLIDATED FINANCIAL STATEMENTS 81,416. PART XII, LINE 2D - OTHER ADJUSTMENTS: EXPENSES OF THE NATIONAL AQUARIUM IN BALTIMORE FOUNDATION, INC. 187,733. EXPENSES OF THE CENTER FOR AQUATIC LIFE AND CONSERVATION, INC. 9,803. X X X X X X 1 CRISTINA FEKECI & ASSOCIATES LLC 19142 GARDEN VALLEY WAY SALINAS CA 93908 CAPITAL CAMPAIGN 0 632450 75000 557450 632450 75000 557450 AL AK AZ AR CA CO CT DC FL GA IL KS KY MD ME MA MI MN MS NJ NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X 1 1 X X X X X 1 0 0 0 0 0 0 1 0 JOHN C RACANELLI CHIEF EXECUTIVE OFFICER 316045 0 80000 0 6714 0 6032 0 35814 0 444605 0 0 0 BRUCE S HOFFBERGER CHIEF FINANCIAL OFFICER 172972 0 90930 0 1857 0 3063 0 19526 0 288348 0 0 0 PAULA SCHAEDLICH CHIEF OPERATING OFFICER (THRU 8/2013 121840 0 47908 0 70373 0 2027 0 13020 0 255168 0 0 0 KATHLEEN SHER SENIOR VICE PRESIDENT EXTERNAL AFFAI 176643 0 51454 0 965 0 2949 0 13693 0 245704 0 0 0 STEVEN SCHINDLER CHIEF MARKETING OFFICER 174710 0 45366 0 334 0 1930 0 13481 0 235821 0 0 0 PART I, LINE 1A THE ORGANIZATION PAID CLUB DUES FOR THE CHIEF EXECUTIVE OFFICER. THE BENEFIT IS NOT INCLUDED IN HIS TAXABLE COMPENSATION. PART I, LINE 4A MS. SCHAEDLICH RECEIVED A SEVERANCE PACKAGE FROM THE NATIONAL AQUARIUM IN BALTIMORE, INC. THAT WAS WITHIN THE TERMS AND CONDITIONS OF THE AGREEMENT. THE SEVERANCE WAS BASED ON LENGTH OF SERVICE AND RESPONSIBILITIES. ADDITIONAL TERMS AND CONDITIONS OF THE CONFIDENTIAL SEVERANCE AGREEMENT WILL BE PROVIDED TO THE IRS UPON REQUEST. AMOUNTS PAID DURING THE CURRENT PERIOD ARE PROPERLY REFLECTED ON THE EMPLOYEES W-2 AND DISCLOSED IN COLUMN B(III) ON SCHEDULE J, PART II. PART I, LINE 7 THE ANNUAL BONUS IS DETERMINED IN PART BASED ON INDIVIDUAL PERFORMANCE AND WHETHER OR NOT THE AQUARIUM MEETS CERTAIN OPERATIONAL BENCHMARKS AS OF THE END OF THE YEAR. BONUSES REFLECTED ARE BASED ON THE IMMEDIATELY PRECEDING CALENDAR YEAR RESULTS. A MARYLAND IND DEV FINANCING AUTHORITY 526002033 NONEAVAIL 2012-06-27 25980765 REFUND OF PRIOR ISSUES (ISSUE DATE 6/20//2002) 0 0 0 A 2364296 25980765 25980765 0 1 1 1 A 0 0 0 0 0 0 0 0 1 A 1 190896 0 CONSTELLATION ENERGY ANDREW GOOD 1652492 UTILITIES - BOARD MEMBER ANDREW GOOD IS A SR. VICE PRESIDENT FOR CORPORATE STRATEGY AND DEVELOPMENT OF CONSTELLATION ENERGY AND A BOARD MEMBER OF THE NATIONAL AQUARIUM IN BALTIMORE, INC. ANDREW GOOD'S RELATIONSHIP WITH CONSTELLATION ENERGY HAD NO BEARING ON THE NATIONAL AQUARIUM IN BALTIMORE INC. UTILIZATION OF THE COMPANY IN THE NORMAL COURSE OF BUSINESS. 0 X 8 85367 FAIR MARKET VALUE X FIXED ASSETS 1 81416 BOOK VALUE 0 1 0 FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO THE FILING OF THE FORM 990, THE FINANCE AND AUDIT COMMITTEE WILL REVIEW THE FORM AND THEN A COPY OF THE FORM WILL BE PROVIDED ELECTRONICALLY TO ALL BOARD MEMBERS. FORM 990, PART VI, SECTION B, LINE 12C AS STATED IN THE ORGANIZATION'S CONFLICT OF INTEREST POLICY, ANNUALLY EACH BOARD MEMBER AND KEY EMPLOYEE IS REQUESTED TO COMPLETE A CONFLICT OF INTEREST DISCLOSURE AND INDICATE ANY POTENTIAL CONFLICTS. A SUMMARY OF THE DISCLOSURES IS REVIEWED BY THE FINANCE AND AUDIT COMMITTEE OF THE BOARD AND ANY AND ALL APPROPRIATE ACTIONS ARE THEN TAKEN IN ACCORDANCE WITH THE POLICY. ADDITIONALLY THE SUMMARY OF DISCLOSURES IS DISTRIBUTED TO KEY EMPLOYEES TO ENHANCE THEIR AWARENESS WHEN CONTEMPLATING AND/OR ENTERING INTO BUSINESS TRANSACTIONS. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION FOR THE CHIEF EXECUTIVE OFFICER IS REVIEWED AND DOCUMENTED ANNUALLY BY AN INDEPENDENT COMPENSATION COMMITTEE OF THE BOARD, AND UPDATED AS PRUDENT BASED ON INFORMATION RECEIVED FROM INDEPENDENT COMPENSATION STUDIES AND SURVEYS, AS WELL AS INFORMATION RECEIVED BY THE COMMITTEE FROM OTHER INTERNAL AND EXTERNAL SOURCES. THE COMPENSATION FOR THE OTHER OFFICERS AND KEY EMPLOYEES IS REVIEWED AND DOCUMENTED ANNUALLY BY AN INDEPENDENT COMPENSATION COMMITTEE OF THE BOARD. COMPENSATION STUDIES AND SURVEYS ARE USED TO ESTABLISH THEIR COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 NATIONAL AQUARIUM IN BALTIMORE, INC. HAS ITS GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICIES AVAILABLE TO THE PUBLIC UPON REQUEST. FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST, ON THE WEBSITE, AND ARE INCLUDED WITH PUBLICATIONS ASSOCIATED WITH THE NATIONAL AQUARIUM INSTITUTE, INC.'S ANNUAL REPORT. THEY ARE ALSO AVAILABLE THROUGH NOT-FOR-PROFIT INTERNET PORTALS SUCH AS GUIDESTAR AND CHARITY NAVIGATOR. NATIONAL AQUARIUM INSTITUTE INC PIER 3 - 501 EAST PRATT STREET BALTIMORE MD 21202 202671673 SUPPORTING ORGANIZATION MD 501(C)(3) LINE 11B, II N/A 0 NATIONAL AQUARIUM IN BALTIMORE FOUNDATION INC 111 MARKET PLACE BALTIMORE MD 21202 521301162 SUPPORTING ORGANIZATION MD 501(C)(3) LINE 11B, II NATIONAL AQUARIUM INSTITUTE INC 0 THE NATIONAL AQUARIUM SOCIETY PIER 3 - 501 EAST PRATT STREET BALTIMORE MD 21202 521243739 MARINE WILDLIFE AND AQUATIC ANIMAL EDUCATION MD 501(C)(3) LINE 9 NATIONAL AQUARIUM INSTITUTE INC 0 CENTER FOR AQUATIC LIFE AND CONSERVATION INC PIER 3 - 501 EAST PRATT STREET BALTIMORE MD 21202 202158507 EDUCATION ON AQUATIC LIFE AND CONSERVATION. 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