2014-05-12T13:42:34-05:00 2013-06-30 DELOITTE TAX LLP 111 SOUTH WACKER DRIVE CHICAGO IL 606064301 990 2012-07-01 310734115 OCLC ONLINE COMPUTER LIBRARY CENTER INC OCLC 6147646000 6565 KILGOUR PLACE DUBLIN OH 43017 RICK J SCHWIETERMAN 6147646000 2014-05-12 1 ANNE FULTON P00941863 3124861000 2012 2015-11-30 17:44:51Z RICK J SCHWIETERMAN 6565 KILGOUR PLACE DUBLIN OH 43017 384764811 0 X OCLC.ORG X 1967 OH ESTABLISH, MAINTAIN AND OPERATE A COMPUTERIZED LIBRARY NETWORK AND TO (CONTINUED ON SCHEDULE O) PROMOTE THE EVOLUTION OF LIBRARY USE, OF LIBRARIES THEMSELVES AND OF LIBRARIANSHIP, AND TO PROVIDE PROCESSES AND PRODUCTS FOR THE BENEFIT OF LIBRARY USERS AND LIBRARIES, INCLUDING SUCH OBJECTIVES AS INCREASING AVAILABILITY OF LIBRARY RESOURCES TO INDIVIDUAL LIBRARY PATRONS AND REDUCING THE RATE-OF-RISE OF LIBRARY PER-UNIT COSTS, ALL FOR THE FUNDAMENTAL PUBLIC PURPOSE OF FURTHERING EASE OF ACCESS TO AND USE OF THE EVER-EXPANDING BODY OF WORLDWIDE SCIENTIFIC, LITERARY AND EDUCATIONAL KNOWLEDGE AND INFORMATION. 16 15 958 0 80263 42553 1695065 2771624 165038864 201123040 19007687 13891093 2366902 478134 188108518 218263891 183611 187401 0 0 85825322 116659926 0 0 0 91083664 99152961 177092597 216000288 11015921 2263603 351228746 391597055 114545032 146620492 236683714 244976563 X ESTABLISH, MAINTAIN AND OPERATE A COMPUTERIZED LIBRARY NETWORK AND TO PROMOTE THE EVOLUTION OF LIBRARY USE, OF LIBRARIES THEMSELVES AND OF LIBRARIANSHIP, AND TO PROVIDE PROCESSES AND PRODUCTS FOR THE BENEFIT OF LIBRARY USERS AND LIBRARIES, INCLUDING SUCH OBJECTIVES AS INCREASING AVAILABILITY OF LIBRARY RESOURCES TO INDIVIDUAL LIBRARY PATRONS AND REDUCING THE RATE-OF-RISE OF LIBRARY PER-UNIT COSTS, ALL FOR THE FUNDAMENTAL PUBLIC PURPOSE OF FURTHERING EASE OF ACCESS TO AND USE OF THE EVER-EXPANDING BODY OF WORLDWIDE SCIENTIFIC, LITERARY AND EDUCATIONAL KNOWLEDGE AND INFORMATION. 0 0 196294662 187401 201271396 OCLC ONLINE COMPUTER LIBRARY CENTER IS A NONPROFIT MEMBERSHIP, COMPUTER LIBRARY SERVICE AND RESEARCH COOPERATIVE DEDICATED TO THE PUBLIC PURPOSES OF FURTHERING ACCESS TO THE WORLD'S INFORMATION AND REDUCING LIBRARY COSTS. IT WAS FOUNDED IN 1967 BY THE OHIO COLLEGE ASSOCIATION AND INITIALLY PROVIDED SERVICES TO 54 OHIO ACADEMIC LIBRARIES. SINCE THEN, OVER 78,000 LIBRARIES IN 170 COUNTRIES HAVE USED OCLC SERVICES TO LOCATE, ACQUIRE, CATALOG, LEND, PRESERVE AND MANAGE LIBRARY MATERIALS. RESEARCHERS, STUDENTS, FACULTY, SCHOLARS, PROFESSIONAL LIBRARIANS AND OTHER INFORMATION SEEKERS USE OCLC SERVICES TO OBTAIN BIBLIOGRAPHIC, ABSTRACT AND FULL-TEXT INFORMATION WHEN AND WHERE THEY NEED IT.OCLC AND ITS MEMBER LIBRARIES COOPERATIVELY PRODUCE AND MAINTAIN THE WORLDCAT BIBLIOGRAPHIC DATABASE. WORLDCAT IS ESSENTIALLY THE MERGED CATALOGS OF PARTICIPATING LIBRARIES AROUND THE WORLD. EACH RECORD IN THIS DATABASE DESCRIBES A SINGLE ITEM OR WORK AND A LIST OF INSTITUTIONS THAT HOLD THE ITEM. SINCE 1971, LIBRARIES HAVE CONTRIBUTED OVER 303 MILLION RECORDS AND MORE THAN 2.03 BILLION LOCATION LISTINGS TO THE DATABASE, WHICH SPANS MORE THAN 6,000 YEARS OF RECORDED KNOWLEDGE AND GROWS STEADILY, A NEW RECORD IS ADDED EVERY SECOND. LIBRARIES USE WORLDCAT FOR CATALOGING, ACQUISITIONS, INTERLIBRARY LOAN AND REFERENCE. THE GENERAL PUBLIC CAN NOW ACCESS WORLDCAT FROM THE INTERNET AND BE DIRECTED TO INDIVIDUAL LIBRARY CATALOGS FROM THEIR SEARCHES.IN 2011, OCLC BEGAN PROVIDING ITS NEW WORLDSHARE MANAGEMENT SERVICES, AN INTEGRATED SYSTEM OF LIBRARY SERVICES PROVIDED IN THE INTERNET CLOUD. ALL OCLC SERVICES ARE DESIGNED TO INCREASE THE AVAILABILITY OF LIBRARY RESOURCES AND LOWER THE RATE OF RISE OF LIBRARY COSTS. IN 2013, THE OCLC COOPERATIVE TOOK A MAJOR STEP FORWARD IN PROVIDING CLOUD SOLUTIONS BY CONVERTING THE UNDERLYING TECHNOLOGY FOR WORLDCAT TO APACHE HBASE/HADOOP. THIS NEW STRUCTURE, WHICH IS USED BY MANY GLOBAL INFORMATION PROVIDERS, INCLUDING FACEBOOK AND ADOBE, HAS REDUCED HARDWARE STORAGE REQUIREMENTS AND SIMPLIFIED OCLC'S COMPUTING FOOTPRINT TO SUPPORT GROWTH. AS A RESULT, EXECUTION TIME FOR SOME MAJOR DATA OPERATIONS HAS BEEN SLASHED FROM DAYS TO HOURS. IN ADDITION, THE UPGRADE ENABLES OCLC TO EXPLORE NEW AREAS SUCH AS DETAILED ANALYTICS AND ENRICHED RELATIONSHIPS THAT WILL INCREASE THE VALUE OF THE COOPERATIVE'S DATA FOR ALL LIBRARIES.FOR FISCAL YEAR ENDED JUNE 30, 2013, LIBRARIES USED OCLC SERVICES TO:CATALOG 582.4 MILLION ITEMS ONLINE AND VIA BATCHLOAD ADD 29.6 MILLION RECORDS TO THE WORLDCAT DATABASEARRANGE 8.9 MILLION INTERLIBRARY LOANSPERFORM 46.2 MILLION END-USER REFERENCE SEARCHES ON THEOCLC FIRSTSEARCH SERVICEPERFORM 227 MILLION CLICK-THROUGHS FROM PARTNER SITES ONTHE WEB TO THE WORLDCAT.ORG LANDING PAGEADD 32.6 MILLION RECORDS TO WORLDCAT FOR DIGITAL OBJECTS VIATHE WORLDCAT DIGITAL COLLECTION GATEWAY.IN ADDITION, OCLC PUBLISHES THE DEWEY DECIMAL CLASSIFICATION, THE WORLD'S MOST WIDELY USED LIBRARY CLASSIFICATION SYSTEM. NOW IN ITS 23RD EDITION SINCE IT WAS FIRST PUBLISHED IN 1876, THE CLASSIFICATION IS USED BY MORE THAN 200,000 LIBRARIES IN 140 COUNTRIES.OCLC RESEARCH IS ONE OF THE WORLD'S LEADING ORGANIZATIONS DEDICATED TO EXPLORING INNOVATIVE USES OF LIBRARY DATA AND INFORMATION SYSTEM TECHNOLOGY, FOR THE PUBLIC PURPOSES OF PROMOTING THE EVOLUTION OF LIBRARY USE, OF LIBRARIES THEMSELVES, AND OF LIBRARIANSHIP. THAT EFFORT INCLUDES THE OCLC RESEARCH LIBRARY PARTNERSHIP, WHICH PROVIDES A VENUE FOR RESEARCH INSTITUTIONS TO ENGAGE WITH OCLC TO WORK COOPERATIVELY ON MAKING OPERATIONAL PROCESSES MORE EFFICIENT AND SHAPING NEW SCHOLARLY SERVICES BY DIRECTLY ENGAGING SENIOR MANAGERS. CURRENTLY, THERE ARE 160 MEMBERS IN THE PARTNERSHIP.OCLC IS ONE OF THE FOUNDING ORGANIZATIONS OF THE VIRTUAL INTERNATIONAL AUTHORITY FILE CONSORTIUM, A COOPERATIVE UNDERTAKING OF 20 NATIONAL LIBRARIES AND OTHER ORGANIZATIONS IN 16 COUNTRIES. VIAF COMBINES MULTIPLE NAME AUTHORITY FILES INTO A SINGLE NAME AUTHORITY SERVICE. 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THIS IS NOW CODIFIED AS ACCOUNTING STANDARDS CODIFICATION (ASC) 740-10. THE TEXT OF THE FOOTNOTE IN OCLC'S CONSOLIDATED FINANCIAL STATEMENTS AS AUDITED BY OCLC'S INDEPENDENT AUDITOR, DELOITTE & TOUCHE, IS AS FOLLOWS: OCLC EVALUATED ITS TAX POSITIONS AT JUNE 30, 2013 AND 2012, IN ACCORDANCE WITH ASC 740-10. BASED ON THIS EVALUATION, OCLC DETERMINED THAT THERE WAS NO MATERIAL IMPACT TO THE CORPORATION'S CONSOLIDATED FINANCIAL STATEMENTS AS A RESULT OF THE ADOPTION OF ASC 740-10. 1 EAST ASIA AND THE PACIFIC 2 25 PROGRAM SERVICES OFFICES IN CHINA AND AUSTRALIA PROVIDING INFORMATION ABOUT OCLC SERVICES TO LIBRARIES 3403000 NORTH AMERICA (OUTSIDE USA) 2 9 PROGRAM SERVICES OFFICES PROVIDING INFORMATION ABOUT OCLC SERVICES TO LIBRARIES 604000 NORTH AMERICA (OUTSIDE USA) 1 37 PROGRAM SERVICES PROVIDING TECHNICAL SERVICES TO LIBRARIES 2342000 EUROPE 8 300 PROGRAM SERVICES FOUR DISREGARDED ENTITIES PROVIDING LIBRARY SERVICES AND SUPPORT TO LIBRARIES IN EUROPE 33765000 EAST ASIA AND THE PACIFIC 0 0 ONE TRUSTEE ATTENDED AN OCLC REGIONAL COUNCILMEETING 1000 EUROPE 0 0 TWO TRUSTEES ATTENDEDAN OCLC REGIONAL COUNCIL MEETING 5000 EUROPE 0 0 THREE TRUSTEES ATTENDED A GLOBAL COUNCIL MEETING 10000 EAST ASIA AND THE PACIFIC 0 0 GOVERNANCE (REGIONAL COUNCIL MEETING) 60000 EUROPE 0 0 GOVERNANCE (REGIONAL COUNCIL MEETING) 210000 13 371 0 0 13 371 40190000 210000 40400000 NORTH AMERICA - CANADA AND MEXICO, BUT LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT 15000 CHECK 1 FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES CENTRAL AMERICA AND THE CARIBBEAN 1 400 CASH STIPEND OF $100 PER WEEK 8677 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES SUB-SAHARAN AFRICA 2 800 CASH STIPEND OF $100 PER WEEK 18542 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES EUROPE 1 400 CASH STIPEND OF $100 PER WEEK 6822 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES EAST ASIA AND THE PACIFIC 1 400 CASH STIPEND OF $100 PER WEEK 10736 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED 0 0 1 0 0 1 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: OCLC PROVIDED A LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT TO A LIBRARY OUTSIDE THE UNITED STATES. THE GRANTEE IS REQUIRED TO FURNISH A FINAL PROJECT REPORT WHICH IS NONPROPRIETARY AND IN THE PUBLIC DOMAIN. 1 AMERICAN LIBRARY ASSOCIATION 50 EAST HURON STREET CHICAGO IL 60611 362166947 501(C)(3) 16150 OPERATING SUPPORT AND FUNDING FOR THE MANN AND DEWEY AWARDS COSI COLUMBUS 333 W BROAD STREET COLUMBUS OH 43215 314383802 501(C)(3) 10000 OPERATING SUPPORT FLORIDA STATE UNIVERSITY RESEARCH FOUNDATION 2000 LEVY AVENUE BLDG A TALLAHASSEE FL 32310 593211153 501(C)(3) 14998 LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT UNIVERSITY OF ILLINOIS FOUNDATION 1305 W GREEN STREET URBANA IL 61801 376006007 501(C)(3) 7200 OPERATING SUPPORT UNITED WAY OF CENTRAL OHIO 360 SOUTH THIRD STREET COLUMBUS OH 43215 314393712 501(C)(3) 10000 OPERATING SUPPORT UNIVERSITY OF WISCONSIN 21 N PARK STREET SUITE 6401 MADISON WI 53715 391805963 115 14982 LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT 6 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT PROGRAM (LISRG): FACULTY IN SCHOOLS OF LIBRARY SCIENCE ARE ELIGIBLE TO APPLY. OCLC SENDS OUT AN ANNUAL CALL FOR PROPOSALS TO ELIGIBLE SCHOOLS. APPLICANTS COMPLETE AN LISRG COVER PAGE TOGETHER WITH A RESEARCH PROPOSAL, A DETAILED BUDGET AND SUPPORTING MATERIALS SUCH AS CURRICULA VITAE, STAFFING AND LETTERS OF SUPPORT. PROPOSALS ARE REVIEWED BY SELECTED OCLC STAFF AND THEN SUBMITTED TO A REVIEW PANEL FOR FURTHER EVALUATION AND RECOMMENDATION TO THE VICE PRESIDENT OF THE OCLC OFFICE OF RESEARCH WHO MAKES A FINAL DECISION. RESEARCH RESULTS ARE FURNISHED TO OCLC IN A FINAL PROJECT REPORT WHICH MUST BE NONPROPRIETARY AND IN THE PUBLIC DOMAIN. OTHER CONTRIBUTIONS ARE MADE FOR THE GENERAL OPERATING SUPPORT OF VARIOUS PUBLIC CHARITIES AND GOVERNMENT ORGANIZATIONS. MANY OF THESE ARE NATIONAL OR REGIONAL LIBRARY ASSOCIATIONS BUT SOME ARE COMMUNITY ORGANIZATIONS IN LOCALES WHERE OCLC HAS OFFICES. THESE INCLUDE ARTS ORGANIZATIONS AS WELL AS THE UNITED WAY AND SIMILAR CHARITABLE ORGANIZATIONS SERVING THE COMMUNITY. X X X X 1 1 X X X X X X 0 0 0 0 0 0 0 1 0 ROBERT L JORDAN 783540 0 592135 0 74959 0 35507 0 16647 0 1502788 0 0 0 RICK J SCHWIETERMAN 346573 0 192553 0 19127 0 33531 0 18716 0 610500 0 0 0 JAMES T HOUFEK 203559 0 84352 0 10264 0 24729 0 10067 0 332971 0 0 0 BRUCE CROCCO 151435 0 56711 0 3937 0 13841 0 19794 0 245718 0 0 0 LORCAN DEMPSEY 218700 0 88332 0 21634 0 27028 0 21455 0 377149 0 0 0 CATHERINE DE ROSA 218671 0 95245 0 2765 0 27173 0 20185 0 364039 0 0 0 JIM MICHALKO 205871 0 44195 0 7463 0 25464 0 16699 0 299692 0 0 0 ROBIN MURRAY 224355 0 78943 0 2346 0 11324 0 608 0 317576 0 0 0 GEORGE NEEDHAM 119366 0 12870 0 3347 0 12719 0 18016 0 166318 0 0 0 WILLIAM NILGES 169585 0 72952 0 1955 0 19715 0 19166 0 283373 0 0 0 GENE OLIVER 160403 0 38450 0 2817 0 19171 0 27885 0 248726 0 0 0 TAMMI SPAYDE 174183 0 68649 0 2863 0 20588 0 20541 0 286824 0 0 0 MICHAEL TEETS 168947 0 74984 0 1725 0 19590 0 19165 0 284411 0 0 0 ANDREW WANG 175467 0 76163 0 13049 0 20589 0 14660 0 299928 0 0 0 GREG ZICK 221937 0 78116 0 6285 0 27989 0 19940 0 354267 0 0 0 ERIC VAN LUBEEK 234610 0 70630 0 9833 0 40071 0 0 0 355144 0 0 0 NORBERT WEINBERGER 204998 0 52992 0 9601 0 0 0 0 0 267591 0 0 0 ANDY BUSH 127036 0 58888 0 4757 0 13449 0 19846 0 223976 0 0 0 TOM HICKEY 174772 0 33394 0 2872 0 20740 0 16676 0 248454 0 0 0 SONDRA KOWALUK 162190 0 35830 0 1847 0 19214 0 21167 0 240248 0 0 0 CHRISTOPHER THEWLIS 175180 0 25895 0 0 0 14014 0 0 0 215089 0 0 0 MARTY WITHROW 140984 0 33455 0 3270 0 15377 0 13458 0 206544 0 0 0 PART I, LINE 1A TRAVEL FOR COMPANIONS: LORCAN DEMPSEY, VICE PRESIDENT, PROGRAMS, RESEARCH & CHIEF STRATEGIST, IS PROVIDED AN ALLOWANCE FOR OCCASIONAL, PERSONAL TRAVEL TO AND FROM HIS HOME IN THE UNITED KINGDOM FOR HIMSELF AND HIS FAMILY. THIS ALLOWANCE IS FULLY INCLUDED IN TAXABLE COMPENSATION. DISCRETIONARY SPENDING ACCOUNT: ROBERT L. JORDAN, PRESIDENT AND CEO, RECEIVES A $10,000 FINANCIAL PLANNING ALLOWANCE, A $5,000 ACCOUNTING ALLOWANCE AND A $14,400 AUTOMOBILE ALLOWANCE FOR WHICH HE IS NOT ACCOUNTABLE TO THE ORGANIZATION AND ALL ARE FULLY INCLUDED IN TAXABLE INCOME. PAYMENTS FOR BUSINESS USE OF PERSONAL RESIDENCE: ANDY BUSH, DIRECTOR OF US LIBRARY SERVICES, TRAVELS EXTENSIVELY ON BEHALF OF OCLC AND USES HIS PERSONAL RESIDENCE OUTSIDE OF OHIO AS HIS HOME BASE. HE RECEIVES AN ALLOWANCE OF $3,600 ANNUALLY FOR BUSINESS USE OF HIS PERSONAL RESIDENCE. THIS AMOUNT IS INCLUDED IN TAXABLE COMPENSATION. HEALTH OR SOCIAL CLUB DUES: ROBERT L. JORDAN, PRESIDENT AND CEO, HAS A COUNTRY CLUB MEMBERSHIP. THE DUES ARE EITHER PAID DIRECTLY BY OCLC OR PAID BY MR. JORDAN AND REIMBURSED BY OCLC. BUSINESS EXPENSES INCURRED ARE REIMBURSED UNDER AN ACCOUNTABLE PLAN. DUES PAID OR REIMBURSED BY OCLC ARE REPORTED AS TAXABLE COMPENSATION TO THE EXTENT OF REPORTED PERSONAL USE BY MR. JORDAN. PART I, LINE 7 OCLC MAINTAINS THREE DIFFERENT INCENTIVE COMPENSATION PLANS THAT ARE BASED IN PART ON THE GLOBAL PERFORMANCE OF OCLC AND ITS SUBSIDIARIES. THE PLANS ARE THE SALES INCENTIVE PLAN (SIP), THE MANAGEMENT INCENTIVE PLAN (MIP) AND THE LONG-TERM INCENTIVE PLAN (LTIP). OFFICERS PARTICIPATE IN BOTH THE MIP AND THE LTIP. PERFORMANCE AWARDS FOR THE CEO AND ALL OTHER OFFICERS ARE APPROVED BY THE OCLC BOARD OF TRUSTEES. ALL INCENTIVE PLANS ARE REGULARLY REVIEWED BY OUTSIDE COMPENSATION CONSULTANTS, THE LAST SUCH ASSESSMENT OCCURRED IN FEBRUARY 2014. THE SIP IS FOR EMPLOYEES RESPONSIBLE FOR THE LIBRARY SALES PROGRAM AND IS BASED ON ACHIEVING SPECIFIC PRODUCT-LINE SALES TARGETS. THE MIP IS A PERFORMANCE-BASED COMPENSATION PROGRAM AVAILABLE FOR MANAGEMENT PERSONNEL (APPROXIMATELY 120 MANAGERS) AND IS BASED ON A WEIGHTED AVERAGE OF PERFORMANCE OBJECTIVES. ALL PARTICIPANTS HAVE 40% OF THEIR POTENTIAL INCENTIVE ALIGNED WITH ENTERPRISE REVENUE AND CONTRIBUTION TARGETS. (CONTRIBUTION REFERS TO THE EXCESS OF REVENUES OVER EXPENSES, IF ANY). SOME MIP PARTICIPANTS MAY ALSO HAVE A WEIGHTING FOR REVENUE AND CONTRIBUTION OF SPECIFIC PRODUCT SEGMENTS FOR WHICH THEY HAVE RESPONSIBILITY. THE LTIP IS A PERFORMANCE-BASED COMPENSATION PROGRAM FOR OFFICERS BASED ON LONG-TERM OBJECTIVES. THE OCLC BOARD OF TRUSTEES ESTABLISHES THE PLAN'S TARGET OBJECTIVES WHICH ARE BASED ON LONG-TERM REVENUE, CONTRIBUTION AND MEMBER ENGAGEMENT METRICS. THE INCENTIVE PLAN ACHIEVEMENT ON FINANCIAL MEASURES IS BASED ON AUDITED RESULTS FOR OCLC AND ITS 100 % OWNED SUBSIDIARIES. SUPPLEMENTAL INFORMATION PART III DESCRIPTION OF OCLC MANAGEMENT SAVINGS PLAN EFFECTIVE JULY 1, 1997, AND EXTENDING THROUGH APRIL 30, 2002, CERTAIN EMPLOYEES AND TRUSTEES ELECTED TO PARTICIPATE IN THE OCLC MANAGEMENT SAVINGS PLAN (THE PLAN), A NON-QUALIFIED INCENTIVE BENEFIT PROGRAM FOR CERTAIN EMPLOYEES AND TRUSTEES WHO CONTRIBUTED TO THE SUCCESS OF OCLC. EFFECTIVE MAY 1, 2002, THE PLAN WAS FROZEN AND NO ADDITIONAL CONTRIBUTIONS HAVE BEEN, OR WILL BE, ACCEPTED. EARNINGS ON EXISTING BALANCES ARE DISTRIBUTED ANNUALLY TO PARTICIPANTS AND INCLUDED ON W-2S AND 1099S IN THE YEAR OF DISTRIBUTION. UNDER THE PLAN, PARTICIPANTS RECEIVE THE RIGHT TO PURCHASE MUTUAL FUND SHARES FOR A FIXED PRICE. SUCH RIGHT CAN, GENERALLY, BE EXERCISED AT ANY TIME WITHIN A 20-YEAR PERIOD FOLLOWING THE DATE OF GRANT. HOWEVER, IN THE CASE OF A PARTICIPANTS DEATH, RIGHTS HELD BY SUCH PARTICIPANT MUST BE EXERCISED WITHIN SIX MONTHS FROM THE DATE OF DEATH, AND IN THE CASE OF TERMINATION OF EMPLOYMENT (EXCEPT FOR RETIREMENT) RIGHTS HELD BY THE TERMINATED PARTICIPANT MUST BE EXERCISED WITHIN SIX MONTHS OF THE DATE OF TERMINATION (UNLESS EXTENDED BY THE PRESIDENT). COMPENSATION INCOME ATTRIBUTABLE TO RIGHTS GRANTED UNDER THE PLAN, FOR TAX REPORTING PURPOSES, IS NEITHER DETERMINABLE AT THE TIME OF GRANT THEREOF, NOR AT OCLCS FISCAL YEAR END, IF STILL OUTSTANDING. MORE SPECIFICALLY, IT IS ONLY UPON EXERCISE OF ONE OF THESE RIGHTS THAT A PARTICIPANT MUST RECOGNIZE COMPENSATION INCOME, FOR TAX REPORTING PURPOSES. DURING THE CALENDAR YEAR FALLING WITHIN THE FISCAL YEAR THAT IS THE SUBJECT OF THIS INFORMATION RETURN, NONE OF THE PARTICIPANTS WHO ARE REPORTED IN THIS INFORMATION RETURN EXERCISED RIGHTS GRANTED UNDER THE PLAN. OTHER THAN EARNINGS ON EXISTING BALANCES WHICH HAVE BEEN DISTRIBUTED, NO OTHER INCOME IS REFLECTED IN THE SCHEDULE PROVIDED ABOVE, WITH RESPECT TO THOSE INDIVIDUALS LISTED THEREIN WHO ARE PARTICIPANTS IN THE PLAN. ANY FUTURE COMPENSATION AMOUNTS ULTIMATELY REALIZED FROM EXERCISE OF RIGHTS GRANTED UNDER THE PLAN, WILL BE APPROPRIATELY DISCLOSED AS COMPENSATION IN OCLC'S INFORMATION RETURN FOR THE YEAR OF EXERCISE. PARTICIPANTS IN THE PLAN REPORTED ON THIS RETURN: LIZABETH A WILSON TRUSTEE ROBERT L JORDAN PRESIDENT & CEO RICK J SCHWIETERMAN EXECUTIVE VP AND CFO JAMES T HOUFEK VP & GENERAL COUNSEL LORCAN DEMPSEY VP, RESEARCH & STRATEGIST CATHERINE DE ROSA VP, GLOBAL MARKETING GEORGE NEEDHAM VP, GLOBAL COUNCIS A COLUMBUS-FRANKLIN COUNTY FINANCE AUTHORITY 571239430 2008-05-23 20000000 TO FINANCE THE ACQUISITION OF OFFICE SYSTEMS, EQUIPMENT, AND DATABASES 0 0 0 B COLUMBUS-FRANKLIN COUNTY FINANCE AUTHORITY 571239430 2009-08-10 30000000 TO REFUND BONDS ISSUED 12/19/1998,ACQUIRE OFFICE SYSTEMS,EQUIPMENT 0 0 0 C COLUMBUS-FRANKLIN COUNTY FINANCE AUTHORITY 571239430 2013-06-19 24000000 TO FINANCE THE ACQUISITION OF OFFICE SYSTEMS, COMPUTERS, AND DATABASES 0 0 0 A 13820611 20012780 20012780 2008 0 0 1 1 B 10084129 30000000 161760 12314796 17523444 2009 1 0 1 1 C 24000000 68500 23931500 2013 0 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 0 1 0 0 0 0 0 1 A 1 B 1 C 1 SCHEDULE K, PART I AND II ITEM A THE DIFFERENCE BETWEEN THE ISSUE PRICE IN PART I, LINE A AND THE TOTAL PROCEEDS IN PART II, LINE 3, COLUMN A IS DUE TO INVESTMENT EARNINGS LORCAN DEMPSEY OFFICER PART V X 50000 50000 0 0 1 50000 CLAIRE COCCO DAUGHTER OF OFFICER 136791 EMPLOYMENT FAMILY MEMBER OF AN OCLC OFFICER 0 SONYA OLIVER SPOUSE OF OFFICER 94261 EMPLOYMENT FAMILY MEMBER OF AN OCLC OFFICER 0 SCHEDULE L, PART II LOAN TO LORCAN DEMPSEY OCLC LOANED FUNDS TO THIS OFFICER TO FACILITATE HIS RELOCATION TO OCLC'S HEADQUARTERS IN DUBLIN, OHIO DURING A PRIOR FISCAL YEAR. THESE FUNDS WERE USED TO FINANCE A NEW PRINCIPAL RESIDENCE. THE LOAN IS THE RESULT OF ARMS-LENGTH NEGOTIATION AND PROVIDES FOR A BALLOON REPAYMENT AT THE END OF THE TERM. INTEREST IMPUTED ON THIS LOAN AS DESCRIBED IN SECTION 7872 OF THE INTERNAL REVENUE CODE IS REPORTED IN PART VII AND SCHEDULE J OF THIS RETURN. FORM 990, PART VI, SECTION A, LINE 1 THE BOARD OF TRUSTEES MAY DESIGNATE THREE (3) OR MORE TRUSTEES, INCLUDING THE PRESIDENT AND THE CHAIR OF THE BOARD, TO CONSTITUTE AN EXECUTIVE COMMITTEE, WHICH COMMITTEE SHALL HAVE AND EXERCISE THE AUTHORITY OF THE BOARD OF TRUSTEES IN THE MANAGEMENT OF THE AFFAIRS OF THE CORPORATION WHEN THE BOARD OF TRUSTEES IS NOT IN SESSION. FORM 990, PART VI, SECTION A, LINE 2 TWO CURRENT TRUSTEES (EDWARD BARRY AND JOHN PATRICK) WERE BOTH BOARD MEMBERS OF KNOVEL, INC. DURING PART OF OCLC'S REPORTING YEAR. FORM 990, PART VI, SECTION A, LINE 4 THE CODE OF REGULATIONS AND THE BY-LAWS WERE AMENDED ON SEPTEMBER 17,2012 TO REMOVE THE OFFICE OF PRESIDENT AND CEO OF OCLC FROM THE BOARD OF TRUSTEES, EFFECTIVE JULY 1, 2013. ALSO, ANY CURRENT EMPLOYEE OF OCLC WAS PROHIBITED FROM ELECTION TO THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 6 MEMBERSHIP IN OCLC IS OPEN TO ANY LIBRARY OR OTHER MEMORY INSTITUTION THAT EMBRACES THE OCLC VALUES OF COLLABORATION AND SHARING. INSTITUTIONS WORLDWIDE BECOME MEMBERS BY CONTRACTUALLY AGREEING TO CONTRIBUTE INTELLECTUAL CONTENT OR SHARE RESOURCES. MEMBERS MAY INCLUDE LIBRARIES, MUSEUMS, ARCHIVES, HISTORICAL SOCIETIES, OR SIMILAR INSTITUTIONS. OCLC MEMBERS IN EACH OF THREE WORLDWIDE REGIONS ORGANIZE INTO REGIONAL COUNCILS. EACH REGIONAL COUNCIL ELECTS DELEGATES TO THE OCLC GLOBAL COUNCIL. THIS BODY CONSISTS OF 48 MEMBER DELEGATES AND IT ARTICULATES THE VARIOUS INTERESTS OF THE OCLC MEMBERS TO THE OCLC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7A THE OCLC GLOBAL COUNCIL ELECTS SIX MEMBERS OF THE OCLC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B THE OCLC GLOBAL COUNCIL RATIFIES CHANGES TO THE ARTICLES OF INCORPORATION OR THE CODE OF REGULATIONS IN ORDER FOR THE CHANGES TO TAKE EFFECT. FORM 990, PART VI, SECTION B, LINE 11 THE 990 RETURN IS PREPARED AND SUPPORTING DATA IS REVIEWED INTERNALLY BY OCLC FINANCE STAFF, IN CONSULTATION WITH APPROPRIATE MANAGEMENT PERSONNEL INCLUDING THE CHIEF FINANCIAL OFFICER, THE GENERAL COUNSEL AND THE CORPORATE CONTROLLER. THE RETURN IS REVIEWED BY THE CORPORATE CONTROLLER. THE RETURN IS THEN REVIEWED BY DELOITTE TAX LLP. FINALLY, A COPY OF THE 990 IN ELECTRONIC FORM IS PROVIDED TO THE ENTIRE BOARD OF TRUSTEES PRIOR TO SIGNATURE BY THE CHIEF FINANCIAL OFFICER AND FILING. FORM 990, PART VI, SECTION B, LINE 12C ALL EMPLOYEES ARE REQUIRED TO CERTIFY THEIR KNOWLEDGE OF, AND COMPLIANCE WITH, THE POLICY ON AN ANNUAL BASIS BY SIGNING A STATEMENT. IF IT IS UNCLEAR IF A CONFLICT EXISTS, THE EMPLOYEE CAN CONTACT THE GENERAL COUNSEL FOR CLARIFICATION. THE EMPLOYEE CAN ALSO FILE A WRITTEN REQUEST FOR A RULING WITH HIS OR HER VICE PRESIDENT OR DIVISION DIRECTOR WHO MAY REJECT OR APPROVE THE APPLICATION. IF APPROVED, THE REQUEST IS SENT TO THE PRESIDENT FOR A FINAL APPROVAL. A WRITTEN RESPONSE IS PROVIDED TO THE EMPLOYEE INDICATING WHETHER THE ACTIVITY CAN BE UNDERTAKEN OR IF IT VIOLATES THE CONFLICT OF INTEREST POLICY AND CANNOT BE UNDERTAKEN. IN ADDITION TO THE GENERAL POLICY FOR ALL EMPLOYEES, MEMBERS OF THE OCLC BOARD OF TRUSTEES AND THE STRATEGIC LEADERSHIP TEAM ARE REQUIRED TO ANSWER MORE DETAILED QUESTIONS IN WRITING ON AN ANNUAL BASIS AND ALL RESPONSES ARE REVIEWED BY THE AUDIT COMMITTEE OF THE OCLC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 15 FOR ALL EXECUTIVES, THE PERSONNEL AND COMPENSATION COMMITTEE OF THE OCLC BOARD OF TRUSTEES REVIEWS THE PROPOSED COMPENSATION AND AN ANALYSIS OF COMPENSATION IN THE MARKETPLACE FOR COMPARABLE POSITIONS PREPARED BY AN OUTSIDE CONSULTANT. ONCE APPROVED BY THE COMMITTEE, THE ENTIRE BOARD OF TRUSTEES (EXCEPT FOR THE CEO) MEETS IN EXECUTIVE SESSION TO REVIEW AND VOTE ON THE COMPENSATION PACKAGES. THE COMMITTEE AND THE FULL BOARD CONSIST ONLY OF INDIVIDUALS WHO DO NOT HAVE A CONFLICT OF INTEREST WITH RESPECT TO SETTING THE COMPENSATION FOR THE EXECUTIVES. WRITTEN MINUTES OF ALL BOARD COMMITTEES AND BOARD OF TRUSTEE MEETINGS ARE PREPARED. MORE INFORMATION ABOUT OCLC EXECUTIVE COMPENSATION CAN BE FOUND ON THE OCLC WEBSITE AT THE FOLLOWING LINK: WWW.OCLC.ORG/EN-US/ABOUT/TRUSTEES/COMPENSATION/EXECUTIVE_COMPENSATION.HTML FORM 990, PART VI, SECTION C, LINE 19 THE ARTICLES OF INCORPORATION AND THE ANNUAL AUDITED FINANCIAL STATEMENTS ARE AVAILABLE ON THE OCLC WEBSITE. HTTP://WWW.OCLC.ORG/EN-US/COUNCILS/DOCUMENTS/AMENDED_ARTICLES.HTML HTTP://WWW.OCLC.ORG/EN-US/ABOUT/SUSTAINABILITY/FINANCIAL.HTML A DESCRIPTION OF THE CONFLICT OF INTEREST POLICY IS CONTAINED IN OCLC'S CODE OF CONDUCT DOCUMENT WHICH IS ALSO AVAILABLE ON THE OCLC WEBSITE. HTTP://WWW.OCLC.ORG/EN-US/CAREERS/PEOPLE/CODE.HTML IN ADDITION, THE ANNUAL REPORT (INCLUDING CONDENSED FINANCIAL STATEMENTS) IS PROVIDED TO THE DIRECTORS OF ALL GOVERNING MEMBERS. THE ANNUAL REPORT IS ALSO AVAILABLE ON THE OCLC WEBSITE. HTTP://WWW.OCLC.ORG/EN-US/ABOUT/SUSTAINABILITY.HTML CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: FOREIGN CURRENCY TRANSLATION 349,358. UNREALIZED GAIN POST RETIREMENT PLAN -2,556,934. INCOME ON INVESTMENT IN SUBSIDIARIES 89,353. PHILOSOPHY STATEMENT ON BOARD OF TRUSTEES COMPENSATION SINCE 1979, THE OCLC BOARD OF TRUSTEES HAS DETERMINED THAT COMPENSATION FOR TRUSTEE SERVICE IS APPROPRIATE IN ORDER TO ATTRACT AND RETAIN THE MOST QUALIFIED AND ABLE INDIVIDUALS, TO PROMOTE ECONOMIC DIVERSITY BY PROVIDING AN OPPORTUNITY TO CONTRIBUTE TO THE WORK OF THE BOARD BY THOSE WHO MIGHT OTHERWISE BE UNABLE TO DO SO, AND TO PROVIDE TANGIBLE COMPENSATION FOR THE CONSIDERABLE TIME AND EFFORT OF TRUSTEES IN SUPPORT OF OCLC'S MISSION. BECAUSE OF THE SIGNIFICANT TIME COMMITMENT INVOLVED IN BOARD SERVICE, MANY TRUSTEES MUST LIMIT CONSULTING AND OTHER ACTIVITIES FOR WHICH THEY WOULD BE COMPENSATED. COMPENSATION WILL BE PROVIDED TO NON-EMPLOYEE TRUSTEES, BY ACTION OF THE BOARD, AT LEVELS CONSISTENT WITH THOSE PROVIDED BY OTHER NON-PROFIT ORGANIZATIONS THAT ALSO COMPENSATE THEIR BOARD MEMBERS/TRUSTEES (WITH MARKET DEFINED BY DATA FROM 990 FILINGS, SUPPLEMENTED BY NON-PROFIT PUBLISHED SURVEY DATA). COMPENSATION LEVELS ARE ALSO REVIEWED FROM TIME TO TIME BY INDEPENDENT COMPENSATION CONSULTANTS FOR BENCHMARKING AGAINST OTHER NON-PROFIT ORGANIZATIONS. BOARD COMPENSATION CONSISTS OF CASH PAYMENTS STRUCTURED AS A COMBINATION OF RETAINERS AND MEETING FEES, WITH HIGHER COMPENSATION AMOUNTS FOR CHAIRS OF THE BOARD AND BOARD COMMITTEES REFLECTING THE ADDITIONAL TIME REQUIREMENTS OF THESE POSITIONS. FROM TIME TO TIME, THERE MAY ALSO BE ADDITIONAL TRUSTEE COMPENSATION FOR SPECIAL PROJECTS/ASSIGNMENTS AS DETERMINED BY THE BOARD, DEPENDING ON DURATION AND ADDITIONAL TIME REQUIREMENTS. MORE INFORMATION ABOUT OCLC BOARD COMPENSATION CAN BE FOUND ON THE OCLC WEBSITE AT THE FOLLOWING LINK: WWW.OCLC.ORG/EN-US/ABOUT/TRUSTEES/COMPENSATION/COMPENSATION_Q_AND_A.HTM OCLC EMEA BV SCHIPHOLWEG 99 2300 AW LEIDEN NL 981065403 HOLDING COMPANY NL 1976993 13358729 OCLC ONLINE COMPUTER LIBRARY CENTER INC OCLC BV SCHIPHOLWEG 99 2300 AW LEIDEN NL 981065524 INFORMATION SERVICES NL 17024941 12209110 OCLC EMEA BV OCLC GMBH GRUNWALDER WEG 28G 82041 OBERHACHING GM 981063976 INFORMATION SERVICES GM 18054772 8951588 OCLC EMEA BV OCLC (UK) LIMITED 8 ST MARYS GATE SHEFFIELD S1 4LW UK 981067510 INFORMATION SERVICES UK 9247119 6114071 OCLC EMEA BV OCLC INFORMATION DISTRIBUTION INC 6565 KILGOUR PLACE DUBLIN OH 43017 870374788 INFORMATION SERVICES OH OCLC ONLINE COMPUTER LIBRARY CENTER INC C 221330 1.00000 1 OCLC AG ST JAKOB-STRASSE 96 CH-4052 BASEL SZ INFORMATION SERVICES SZ OCLC GMBH C 724205 490654 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0