2014-08-13T15:42:55-05:00 2013-12-31 131655065 LUTZ AND CARR CPAS LLP 300 EAST 42ND STREET NEW YORK NY 10017 990 2013-01-01 237349380 THE ROYAL OAK FOUNDATION INC ROYA 2124802889 35 WEST 35TH STREET SUITE 1200 NEW YORK NY 10001 MICHAEL BOYD TREASURER 2124802889 2014-08-11 1 MARTIN BERKOWITZ P00154047 2126972299 2013 2015-11-30 17:44:51Z SEAN E SAWYER 35 WEST 35TH STREET SUITE 1200 NEW YORK NY 10001 3232957 0 X WWW.ROYAL-OAK.ORG X 1973 NY RAISING FUNDS FOR CONSERVATION OF HISTORIC PROPERTIES INCLUDING HOUSES AND GARDENS IN BRITAIN AND ELSEWHERE, AND SPONSORING EDUCATIONAL PROGRAMS WHICH ADDRESS ISSUES IN CONSERVATION AND PRESERVATION. 32 32 10 36 0 0 1732194 2240752 309217 377046 114971 209087 50794 51795 2207176 2878680 238403 310552 0 0 700223 744229 0 0 274787 812538 942938 1751164 1997719 456012 880961 6005507 7303000 151137 38861 5854370 7264139 THE ROYAL OAK FOUNDATION INSPIRES AMERICANS TO LEARN ABOUT, EXPERIENCE AND SUPPORT PLACES OF GREAT HISTORIC AND NATURAL SIGNIFICANCE IN THE UNITED KINGDOM. 0 0 681420 377046 EDUCATION:SEMINARS, TOURS, LECTURES, AND EDUCATIONAL SOURCES ON PRESERVATION AND HISTORY OF ARCHITECTURE AND DECORATIVE INTERIORS, HOUSES, AND GARDENS. 101 LECTURES AND TOURS WERE HELD IN 2013. 359944 310552 PRESERVATION OF HISTORIC SITES:GRANTS TO SUPPORT PRIORITIES OF THE NATIONAL TRUST AND OTHER PRESERVATION SOCIETIES TO PRESERVE IMPORTANT AND HISTORIC SITES, AND GRANTS TO PRESERVE THE ENVIRONMENT. ALSO INCLUDES FULL AND PARTIAL SCHOLARSHIPS TO THE ATTINGHAM SUMMER SCHOOL PROGRAM WHICH DETERMINES ELIGIBILITY AND SELECTION OF RECIPIENTS. 439149 MEMBERSHIP - PUBLIC RELATIONS PROGRAM TO MAKE THE GENERAL PUBLIC AWARE OF AND EXPERIENCE THE HISTORIC AND NATURAL SPACES IN ENGLAND, WALES AND NORTHERN IRELAND.FREE ENTRY TO OVER 350 PROPERTIES OF THE NATIONAL TRUST OF ENGLAND, WALES AND NORTHERN IRELAND AND OVER 100 PROPERTIES BELONGING TO THE NATIONAL TRUST FOR SCOTLAND, AND REDUCED ADMISSION PRICE FOR U.S. LECTURES AND TOURS. 1480513 1 1 0 1 0 0 0 0 0 0 1 0 0 1 0 1 1 0 0 0 1 1 0 0 1 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 9 0 1 10 1 0 1 UK 0 0 0 1 1 0 0 0 0 X 32 32 0 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY IL X X X MARILYN FOGARTY 2124802889 35 WEST 35TH STREET SUITE 1200 NEW YORK NY 10001 MRS HENRY J HEINZ II HONORARY CHAIRMAN 1.00 X X 0 0 0 BRUCE COLEMAN PERKINS CHAIR 3.00 X X 0 0 0 LYNNE L RICKABAUGH VICE CHAIR 3.00 X X 0 0 0 MICHAEL A BOYD TREASURER 1.00 X X 0 0 0 IAN DG HOOPER SECRETARY 1.00 X X 0 0 0 BETSY S BARBANELL DIRECTOR 1.00 X 0 0 0 DAVID C BEAL DIRECTOR 1.00 X 0 0 0 STEIN BERRE DIRECTOR 1.00 X 0 0 0 KATHLEEN BUOYMASTER DIRECTOR 1.00 X 0 0 0 PROF SIR DAVID N CANNADINE DIRECTOR 1.00 X 0 0 0 JOHN SOUTHERTON CLARK DIRECTOR 1.00 X 0 0 0 TRACY WILLIAMSON DART DIRECTOR 2.00 X 0 0 0 ROBERT C DAUM DIRECTOR 1.00 X 0 0 0 BARBARA EBERLEIN DIRECTOR 1.00 X 0 0 0 ANNE BLACKWELL ERVIN DIRECTOR 1.00 X 0 0 0 ANNE FAIRFAX DIRECTOR 1.00 X 0 0 0 RONALD LEE FLEMING DIRECTOR 1.00 X 0 0 0 DAME HELEN GHOSH DCB NATIONAL TRUST DIRECTOR-GENERAL 1.00 X 0 0 0 JOHN A HERDEG DIRECTOR 1.00 X 0 0 0 ROBIN WHITNEY HUBBARD DIRECTOR 1.00 X 0 0 0 VALERIE M HUMPHREY DIRECTOR 1.00 X 0 0 0 SIR SIMON JENKINS NATIONAL TRUST CHAIRMAN 1.00 X 0 0 0 KATHERINE C KANAGA DIRECTOR 1.00 X 0 0 0 THOMAS M KELLY DIRECTOR 1.00 X 0 0 0 MARILYN ROSS MILES DIRECTOR 1.00 X 0 0 0 EDWARD A MONTGOMERY JR DIRECTOR 1.00 X 0 0 0 J RODNEY PLEASANTS DIRECTOR 1.00 X 0 0 0 PROF SUSAN S SAMUELSON DIRECTOR 1.00 X 0 0 0 ELIZABETH DUGGAL TAGHIPOUR DIRECTOR 1.00 X 0 0 0 P COLEMAN TOWNSEND JR DIRECTOR 1.00 X 0 0 0 RENEE NICHOLS TUCEI DIRECTOR 1.00 X 0 0 0 JOHN L WARDEN DIRECTOR 1.00 X 0 0 0 BRIAN D WHITE DIRECTOR 2.00 X 0 0 0 SEAN E SAWYER EXECUTIVE DIRECTOR 40.00 X 140000 0 14528 140000 0 14528 1 0 1 0 0 674061 186237 1380454 175132 2240752 EDUCATIONAL PROGRAMS 611710 377046 377046 377046 185799 185799 39064 39064 289640 266352 23288 23288 23288 87925 186237 87925 0 MISCELLANEOUS 900099 12731 12731 12731 2878680 377046 0 260882 165852 165852 144700 144700 152451 60980 30560 60911 468803 352269 62536 53998 6168 5598 570 71903 50127 10331 11445 44904 30113 6678 8113 24982 24982 21664 21664 6367 2900 3467 44589 14733 26414 3442 139188 93340 25151 20697 24347 1219 16279 6849 9705 6508 1754 1443 6692 6692 LECTURES AND TOURS 376994 376994 MISSION RELATED MKTG 119429 51026 68403 MEMBER SERVICES 104333 104333 INDIRECT GALA EXPENSES 32091 32091 32557 19821 5341 7395 1997719 1480513 242419 274787 315643 305327 701665 1379085 276331 202991 18826 20500 28491 27979 279878 125737 117820 154141 3979186 4559541 567545 653436 6005507 7303000 71787 29310 79350 5200 4351 151137 38861 X 4986002 6313021 868368 951118 5854370 7264139 6005507 7303000 880961 528808 0 X 0 1 X 1 0 X 1831810 1777426 1881210 1732194 2240752 9463392 1831810 1777426 1881210 1732194 2240752 9463392 1127603 8335789 127809 13190 149359 157676 224863 672897 11316 4310 5906 12731 34263 10170552 1762415 0.81960 0.78930 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 10 0 0 10 0 PART II-B, LINE 1: LETTERS WERE WRITTEN BY THE EXECUTIVE DIRECTOR IN JULY 2013 RELATING TO VISAS AVAILABLE TO AMERICANS TRAVELLING TO CUBA FOR EDUCATIONAL TRIPS. 53552 42023 11529 226326 83714 142612 154141 CHARITABLE REMAINDER TRUSTS RECEIVABLE 591257 SECURITY DEPOSIT 29108 CASH SURRENDER VALUE 33071 653436 X 3385824 528808 528808 2857016 21664 21664 2878680 1976055 0 1976055 21664 21664 1997719 PART X, LINE 2: MANAGEMENT HAS EVALUATED ALL INCOME TAX POSITIONS AND CONCLUDED THAT NO DISCLOSURES RELATING TO UNCERTAIN TAX POSITIONS ARE REQUIRED IN THE FINANCIAL STATEMENTS. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES UK EDUCATION AND STUDY TOUR 65804 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 275552 NORTH AMERICA 0 0 GRANTMAKING 10000 0 0 0 0 0 0 351356 0 351356 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM REWARD TRUST PROPERTY 11652 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM DRY STONE WALL REPAIR 11000 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM ACQUISITION OF CHATTELS 96500 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM PRESERVATION 2100 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM CONSERVATION OF LAND 4600 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM GARDEN RESTORATION 30000 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM RESTORATION & APPRENTICESHIPS 79800 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM RESTORATION 1500 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 2700 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 4500 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM RESTORATION 1500 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM RESEARCH & PUBLICATION 29700 CASH EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM BLICKING HALL LIBRARY 10000 CASH 6 0 0 0 0 0 0 0 PART I, LINE 2: IT IS THE POLICY OF THE ROYAL OAK FOUNDATION BOARD OF DIRECTORS TO REQUIRE ORGANIZATIONS SEEKING GRANTS FROM THE FOUNDATION TO DO SO IN WRITING, IDENTIFYING NEED FOR SUCH GRANTS, AND SPECIFYING THE USE TO WHICH THE GRANT WILL BE PUT. A THOROUGH EXAMINATION OF THE PROJECT FOR WHICH THE GRANT IS SOUGHT IS THEN UNDERTAKEN BY THE BOARD'S GRANTS COMMITTEE, AND ANY FURTHER INFORMATION WHICH THE BOARD DEEMS RELEVANT IS OBTAINED FROM THE APPLICANT BEFORE A DECISION IS MADE. IF THE BOARD ULTIMATELY DECIDES TO SUPPORT A PROJECT, A GRANT WILL BE MADE ON CONDITION THAT THE RECIPIENT AGREES TO USE THE GRANT SOLELY FOR THE PURPOSES SET FORTH IN THE TERMS OF THE GRANT AND ON THE FURTHER CONDITION THAT IT AGREES TO RENDER AN ACCOUNTING TO THE FOUNDATION WITHIN A REASONABLE TIME DETAILING HOW THE FUNDS WERE ACTUALLY SPENT. THE RECIPIENT WILL ALSO BE REQUIRED TO AGREE TO RETURN THE GRANT TO THE FOUNDATION IF IT IS UNABLE TO COMPLY WITH THE CONDITIONS SET FORTH THEREIN. THE LAWS OF THE UNITED STATES OF AMERICA GOVERN THE GRANT. GALA 274162 186237 87925 24812 46628 16485 274162 186237 87925 24812 46628 16485 87925 0 1 AMERICAN FRIENDS OF THE ATTINGHAM SUMMER SCHOOL 307 SEVENTH AVENUE SUITE 1201 NEW YORK NY 10001 136141870 501(C)(3) 22500 TO PROVIDE SCHOLARSHIPS FOR SUCCESSFUL APPLICANTS TO STUDY IN THE UK. THE VICTORIAN SOCIETY 1636 SANSOM STREET PHILADELPHIA PA 19103 231710978 501(C)(3) 2500 TO PROVIDE A SCHOLARSHIP FOR A NATIONAL TRUST (UK) STAFF MEMBER TO COME TO THE US TO STUDY. 2 0 PART I, LINE 2: IT IS THE POLICY OF THE ROYAL OAK FOUNDATION BOARD OF DIRECTORS TO REQUIRE ORGANIZATIONS SEEKING GRANTS FROM THE FOUNDATION TO DO SO IN WRITING, IDENTIFYING NEED FOR SUCH GRANTS, AND SPECIFYING THE USE TO WHICH THE GRANT WILL BE PUT. A THOROUGH EXAMINATION OF THE PROJECT FOR WHICH THE GRANT IS SOUGHT IS THEN UNDERTAKEN BY THE BOARD'S GRANTS COMMITTEE, AND ANY FURTHER INFORMATION WHICH THE BOARD DEEMS RELEVANT IS OBTAINED FROM THE APPLICANT BEFORE A DECISION IS MADE. IF THE BOARD ULTIMATELY DECIDES TO SUPPORT A PROJECT, A GRANT WILL BE MADE ON CONDITION THAT THE RECIPIENT AGREES TO USE THE GRANT SOLELY FOR THE PURPOSES SET FORTH IN THE TERMS OF THE GRANT AND ON THE FURTHER CONDITION THAT IT AGREES TO RENDER AN ACCOUNTING TO THE FOUNDATION WITHIN A REASONABLE TIME DETAILING HOW THE FUNDS WERE ACTUALLY SPENT. THE RECIPIENT WILL ALSO BE REQUIRED TO AGREE TO RETURN THE GRANT TO THE FOUNDATION IF IT IS UNABLE TO COMPLY WITH THE CONDITIONS SET FORTH THEREIN. THE LAWS OF THE UNITED STATES OF AMERICA GOVERN THE GRANT. X X X 0 0 0 0 0 0 0 0 0 SEAN E SAWYER EXECUTIVE DIRECTOR 135000 0 5000 0 0 0 5400 0 9128 0 154528 0 0 0 X 19034 RETAIL PRICE X 11 150320 MARKET VALUE X GALA GIFT-BAG 4 5778 RETAIL PRICE 0 0 0 FORM 990, PART VI, SECTION A, LINE 1 EXECUTIVE COMMITTEE COMPOSED OF OFFICERS AND CHAIRMEN OF BOARD COMMITTEES, AND HAS AUTHORITY OF THE BOARD EXCEPT FILLING DIRECTOR VACANCIES, FIXING OF COMPENSATION OF DIRECTORS, AND AMENDING BY-LAWS OR BOARD RESOLUTIONS. NEW BY-LAWS WERE ADOPTED IN DECEMBER 2013. FORM 990, PART VI, SECTION A, LINE 4 NEW BY-LAWS WERE ADOPTED BY THE ORGANIZATION IN DECEMBER 2013 FORM 990, PART VI, SECTION B, LINE 11 THE 990 WAS DISTRIBUTED TO THE FULL BOARD FOR REVIEW AND COMMENT BEFORE IT WAS SIGNED AND FILED. FORM 990, PART VI, SECTION B, LINE 12C DIRECTORS ARE REQUIRED TO SIGN A POLICY STATEMENT ANNUALLY TO DISAVOW ANY CONFLICT OF INTEREST. OTHERWISE, IF THE DIRECTOR HAS AN EXISTING, PERCEIVED OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE MUST PROMPTLY DISCLOSE IT TO THE CHAIRMAN. FORM 990, PART VI, SECTION B, LINE 15 THE CHAIRMAN OF THE BOARD DETERMINES THE COMPENSATION FOR THE EXECUTIVE DIRECTOR IN CONSULTATION WITH THE OFFICERS. THE EXECUTIVE DIRECTOR DETERMINES THE COMPENSATION FOR ALL EMPLOYEES. THE ORGANIZATION'S STAFF HAVE ANNUAL PERFORMANCE REVIEWS WITH THEIR SUPERVISORS. SALARY SURVEYS OF OTHER COMPARABLE NY AREA NOT-FOR-PROFIT ORGANIZATIONS ARE REVIEWED AND CONSIDERED WHEN SETTING NEW SALARIES OR CONSIDERING INCREASES FOR ALL STAFF, INCLUDING THE EXECUTIVE DIRECTOR. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ALL GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE UPON REQUEST.