2014-09-12T16:30:51-05:00 2013-12-31 201776739 JPMS COX PLLC 11300 CANTRELL ROAD SUITE 301 LITTLE ROCK AR 72212 990 2013-01-01 710603560 WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT WINR 5012803000 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 MIKE MYERS VP/CFO 5012803030 2014-09-07 1 MARY ELLEN VANGILDER P00626271 5012275800 2014-09-04 2013 2015-11-30 17:44:51Z MIKE MYERS 2101 RIVERFRONT DR LITTLE ROCK AR 72202 89606890 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. 12 11 235 163 0 -62585 82405010 81297732 0 0 1641955 1695859 0 0 84046965 82993591 15000 15000 0 0 40365939 40233005 0 0 0 44814820 44720786 85195759 84968791 -1148794 -1975200 94899147 93233906 36883533 32870609 58015614 60363297 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 74672002 887132 SEE ABOVE STATEMENT OF EXEMPT PURPOSE 74672002 1 1 0 1 0 0 0 0 0 1 1 1 1 0 1 1 1 0 0 1 1 0 1 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 X 148 0 1 235 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 0 0 0 0 0 0 0 0 X 12 11 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 327002 0 26372 WILLIAM P FULLER VICE CHAIR 1.00 X X 0 0 0 WILLIAM KETCHAM BOARD MEMBER 1.00 X 0 0 0 ELIZABETH CAMPBELL CHAIRMAN 1.00 X X 0 0 0 TADE AKIN AINA BOARD MEMBER 1.00 X 0 0 0 PETER O'NEILL VICE CHAIR 1.00 X X 0 0 0 NEVA GOODWIN 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 JOYCE CACHO BOARD MEMBER 1.00 X 0 0 0 WILLIAM M BUMPERS BOARD MEMBER 1.00 X 0 0 0 MELISSA S DANN BOARD MEMBER 1.00 X 0 0 0 F BRONSON VAN WYCK BOARD MEMBER 1.00 X 0 0 0 FRANK TUGWELL PRESIDENT AND CEO 40.00 X X 212296 0 16245 BROOKS BROWNE BOARD MEMBER 1.00 X 0 0 0 DAVID KAISER BOARD MEMBER 1.00 X 0 0 0 MIKE MYERS VICE PRES/CFO/TREASURER 40.00 X 212238 0 30962 AMY CARRASQUILLO CORPORATE SECRETARY/MANAGER, INVESTMENTS/CASH 40.00 X 78012 0 22739 PAM FUTCH SR STAFF ACCT/ASST. TREASURER/ASST. SECRETARY 40.00 X 73592 0 22338 RON HUBBARD VICE PRESIDENT, OPERATIONS 40.00 X 249703 0 24623 PATRICIA ALLISON CORPORATE SECRETARY 40.00 X 75587 0 12135 DAVID NORMAN GROUP VP, ENVIRONMENT & AGRICULTURE 40.00 X 255771 0 18321 CAROL O'LAUGHLIN GROUP VP, EMPOWERMENT & CIVIC ENGAGEMENT 40.00 X 248528 0 18104 MARK TRIBBLE CHIEF OF PARTY 40.00 X 248226 0 30603 DARRELL DEPPERT CHIEF OF PARTY 40.00 X 264303 0 27118 MICHAEL MCGOVERN CHIEF OF PARTY 40.00 X 265331 0 28682 WILLIAM HOWLEY GROUP VP, ECOSYSTEM SVCS 40.00 X 246189 0 32837 MARY HARRIS VP, COMMUNICATIONS 40.00 X 241526 0 24550 2998304 0 335629 75 0 1 0 TAFT STETTINIUS & HOLLISTER 40 N MAIN ST STE 1700 DAYTON OH 45423 LEGAL COUNSEL 109563 1 69037162 12260570 81297732 1009728 1009728 5054657 2244773 5055221 1558078 -564 686695 686131 686131 82993591 0 0 1695859 15000 15000 1383844 1383844 37354446 31114233 6240213 1494715 1488630 6085 236980 130075 106905 228275 67323 160952 3338697 2733594 605103 1746781 1318877 427904 2721866 2472158 249708 6001164 5556457 444707 473839 432842 40997 707885 707885 504096 418209 85887 SUBCONTRACTS 16939556 16939556 0 PROCUREMENT 4017609 4015537 2072 FELLOWSHIPS 2501246 2500644 602 VEHICLES 1045888 1041628 4260 4256904 3043395 1213509 84968791 74672002 10296789 0 9636073 6858266 1135247 1058912 65726 82284 13398601 13976745 382743 442064 13684191 4898537 8936775 8785654 46127135 49244143 15203893 12780119 12954 5719 94899147 93233906 9688009 9281711 19984079 16586481 4885000 4755000 2326445 2247417 36883533 32870609 X 47635606 50652193 10380008 9711104 58015614 60363297 94899147 93233906 -1975200 4322883 0 X 0 1 X 1 1 1 X 66316291 80621487 90284462 82405010 81297732 400924982 66316291 80621487 90284462 82405010 81297732 400924982 400924982 683233 1025128 792109 705004 1009728 4215202 9069 9069 405149253 0.98960 0.98950 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 22120 22120 0 PART II-B, LINE 1: $9,600 - PAID TO LOBBYIST TO GAIN CONGRESSIONAL SUPPORT FOR THE REAUTHORIZATION OF THE FARMER-TO-FARMER PROGRAM IN THE 2012 FARM BILL $11,000 - PAID TO REGISTERED LOBBYING COMPANY TO SEEK STATE/FEDERAL FUNDING AS WELL AS CORPORATE AND PRIVATE FUNDING IN THE SOUTHERN USA $520 - 1.3% OF DUES PAID TO INTERACTION ATTRIBUTABLE TO LOBBYING ACTIVITIES $1,000 - 25% OF DUES PAID TO BUSINESS COUNCIL FOR SUSTAINABLE ENERGY ATTRIBUTABLE TO LOBBYING ACTIVITIES. 5717872 -39989 728034 34252 6371665 5207453 -29441 577645 37785 5717872 5229410 -41043 116878 61272 36520 5207453 4699133 69298 540815 79836 5229410 4113663 132700 550636 97866 4699133 1.00000 0.00000 0.00000 1 0 1377444 1377444 7492049 2460993 5031056 1848433 592447 1255986 2312527 1547962 764565 653738 297135 356603 8785654 EQUITY SECURITIES & MUTUAL FUNDS 27324766 F LIMITED PARTNERSHIPS 16869833 F OTHER INVESTMENTS 567220 F REAL ESTATE 4482324 F 49244143 INVESTMENTS - PROJECT ADVANCE 12780119 F 12780119 DEFERRED RENT & OTHER LIABILITIES 2247417 2247417 X 87316475 4322884 4322884 82993591 0 82993591 84968791 0 84968791 0 84968791 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. 1 SEE ATTACHED STATEMENT SEE ATTACHED STATEMENT SEE ATTACHED STATEMENT 0 0 0 0 0 0 0 0 0 PLANNING GRANTS TO CONDUCT RESEARCH ON WATER AGRICULTURE AND CLIMATE CHANGE SOUTH ASIA 1 15000 DIRECT DEPOSIT 0 0 0 0 0 0 PART I, LINE 2: WINROCK INTERNATIONAL IMPLEMENTS PROJECTS IN APPROXIMATELY 55 COUNTRIES WORLD-WIDE. WINROCK PROJECTS ARE FUNDED BY BOTH DOMESTIC AND INTERNATIONAL FUNDERS, WITH 79% OF FUNDING PROVIDED BY THE U.S. FEDERAL GOVERNMENT IN 2013. 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 X X 1 1 X X X 0 0 0 0 0 0 0 0 0 RODNEY FERGUSON PRESIDENT AND CEO 302002 0 25000 0 0 0 25499 0 873 0 353374 0 0 0 FRANK TUGWELL PRESIDENT AND CEO 162296 0 50000 0 0 0 15428 0 817 0 228541 0 0 0 MIKE MYERS VICE PRES/CFO/TREASURER 177238 0 35000 0 0 0 17480 0 13482 0 243200 0 0 0 RON HUBBARD VICE PRESIDENT, OPERATIONS 209703 0 40000 0 0 0 15098 0 9525 0 274326 0 0 0 DAVID NORMAN GROUP VP, ENVIRONMENT & AGRICULTURE 220771 0 35000 0 0 0 18321 0 0 0 274092 0 0 0 CAROL O'LAUGHLIN GROUP VP, EMPOWERMENT & CIVIC ENGAGE 218528 0 30000 0 0 0 18104 0 0 0 266632 0 0 0 MARK TRIBBLE CHIEF OF PARTY 162431 0 0 0 85795 0 15502 0 15101 0 278829 0 0 0 DARRELL DEPPERT CHIEF OF PARTY 172591 0 21700 0 70012 0 16729 0 10389 0 291421 0 0 0 MICHAEL MCGOVERN CHIEF OF PARTY 168829 0 0 0 96502 0 16530 0 12152 0 294013 0 0 0 WILLIAM HOWLEY GROUP VP, ECOSYSTEM SVCS 201189 0 45000 0 0 0 19968 0 12869 0 279026 0 0 0 MARY HARRIS VP, COMMUNICATIONS 199526 0 42000 0 0 0 19157 0 5393 0 266076 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 04108KLW6 2003-06-19 125000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KLX4 2003-06-19 130000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KLY2 2003-06-19 135000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KLZ9 2003-06-19 145000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 A 0 0 0 0 B 0 0 0 0 C 0 0 0 0 D 0 0 0 0 A 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 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 0 B 0 C 0 D 0 A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMA3 2003-06-19 150000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMB1 2003-06-19 155000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMC9 2003-06-19 160000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMD7 2003-06-19 170000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 A 0 0 0 0 B 0 0 0 0 C 0 0 0 0 D 0 0 0 0 A 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 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 0 B 0 C 0 D 0 A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KME5 2003-06-19 980000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMF2 2003-06-19 1255000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KMG0 2003-06-19 1605000 CONSTRUCTION OF HEADQUARTERS OFFICE 0 0 0 A 0 0 0 0 B 0 0 0 0 C 0 0 0 0 A 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 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 A 0 B 0 C 0 FORM 990, PART VI, SECTION A, LINE 2 NEVA GOODWIN AND DAVID KAISER, WHO BOTH SERVED AS DIRECTORS, ARE MOTHER AND SON. PETER O'NEILL IS A COUSIN TO BOTH NEVA GOODWIN AND DAVID KAISER. 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).