2013-02-12T17:13:53-06:00 2012-09-30 450250958 EIDE BAILLY LLP 5299 DTC BLVD STE 1000 GREENWOOD VILLAGE CO 80111 990 2011-10-01 204510571 NATIONAL ECOLOGICAL OBSERVATORY NETWORK INC NATI 7207464844 1685 38TH STREET NO 100 BOULDER CO 80301 THOMAS SHELDON 7207464844 2013-02-08 1 KIM HUNWARDSEN CPA P00484560 3037705700 2013-02-08 2011 2016-03-07 17:11:31Z NEON INC THOMAS SHELDON 1685 38TH STREET NO 100 BOULDER CO 80301 39831912 0 X WWW.NEONINC.ORG X 2005 DC PROVIDING INFRASTRUCTURE ENABLING RESEARCH, DISCOVERY, & EDUCATION ABOUT ECOLOGICAL CHANGE. 15 15 170 0 0 0 28209055 39770709 57500 60750 -52573 -9987 0 0 28213982 39821472 384573 289396 0 0 12810848 16232376 0 0 0 9460352 11076594 22655773 27598366 5558209 12223106 15447521 28980682 2925449 4235504 12522072 24745178 X TO ENABLE UNDERSTANDING AND FORECASTING OF THE IMPACTS OF CLIMATE CHANGE, LAND-USE CHANGE, AND INVASIVE SPECIES ON CONTINENTAL-SCALE ECOLOGY BY PROVIDING INFRASTRUCTURE AND CONSISTENT METHODOLOGIES TO SUPPORT RESEARCH AND EDUCATION IN THESE AREAS. 0 0 17223945 ORGANIZATIONAL AND PROJECT MANAGEMENT SUPPORT FOR MAJOR RESEARCH EQUIPMENT AND FACILITIES CONSTRUCTION (NSF FUNDED - MREFC) OF THE NATIONAL ECOLOGICAL OBSERVATORY NETWORK. 2553535 289396 ORGANIZATIONAL AND PROJECT MANAGEMENT SUPPORT TO COMPLETE THE NEON CONSTRUCTION-READY DESIGN AND PROJECT EXECUTION PLAN. 838831 DEVELOPMENT OF AIRBORNE IMAGING SPECTROMETER, SPECTROMETER ALGORITHM DEVELOPMENT AND SPECTROMETER COMPONENTS. 254375 60750 COMPLETION OF THE NEON CYBER-INFRASTRUCTURE CONSTRUCTION READY DESIGN AND NEON PROJECT MANAGEMENT BUSINESS SERVICES. 254375 60750 20870686 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 55 0 1 170 1 0 0 0 0 0 0 0 0 0 0 X 15 15 0 0 0 0 1 1 0 1 0 0 0 1 1 1 1 1 1 1 1 0 X X DANA WHITE 7207464844 1685 38TH ST STE 100 BOULDER CO 80301 JIM MACMAHON 9.00 X X 3400 0 0 DEBORAH GOLDBERG 2.00 X X 0 0 0 CAROL BREWER 2.00 X 4900 0 0 DAN CHILDERS 2.00 X 3400 0 0 DAVID DOUGLAS 2.00 X 3400 0 0 JEFFREY GOLDMAN 2.00 X 3400 0 0 HILARY SWAIN 2.00 X 3400 0 0 LARRY WINTER 2.00 X 3400 0 0 JIM COLLINS 2.00 X 3400 0 0 SCOTT OLLINGER 2.00 X 1700 0 0 KATHERINE MCCARTER 2.00 X 4900 0 0 MARGARET STRAND 2.00 X 0 0 0 TOM JORLING 2.00 X 1700 0 0 JAMES GOSZ 2.00 X 3400 0 0 SUSAN STAFFORD 2.00 X 3400 0 0 THOMAS SHELDON 40.00 X 201037 0 50725 ANTHONY BEASLEY 40.00 X 241289 0 56068 KRISTA LAURSEN 40.00 X 0 0 0 RUSS LEA 40.00 X 0 0 0 ROBIN MARTIN 40.00 X 188033 0 53196 BRIAN WEE 40.00 X 160243 0 31052 THOMAS KAMPE 40.00 X 158654 0 36105 WENDY GRAM 40.00 X 157917 0 22848 DAVID SCHIMEL 40.00 X 251061 0 43184 1402034 0 293178 22 0 1 0 GUARDIAN LIFE INSURANCE CO OF AMERICA 116 INVERNESS DR E STE 285 ENGLEWOOD CO 80112 INSURANCE COVERAGE 1258306 LEO A DALY 2000 S COLORADO BLVD ANNEX S 30 DENVER CO 80222 CONSTRUCTION DESIGN/SURVEYING 1004922 SCIENCE AND ENGINEERING ALLIANCE 1522 K ST NW STE 730 WASHINGTON DC 20005 DIVERSITY OUTREACH 347920 BOLDER STAFFING 350 INTERLOCKEN BLVD SUITE 106 BROOMFIELD CO 80021 TEMPORARY STAFFING 213968 WALSH ENVIRONMENTAL SCIENTISTS AND ENGIN 4949 PEARL EAST CIRCLE SUITE 300 BOULDER CO 80301 FIELD SEARCH AND SURVEYING 162395 12 39768009 2700 2700 39770709 MEMBERSHIP DUES 900099 60750 60750 60750 453 453 10440 -10440 -10440 -10440 39821472 60750 0 -9987 289396 289396 701352 259740 441612 12657064 9574002 3083062 740597 559946 180651 1143793 853575 290218 989570 732282 257288 62416 62416 36680 36680 86000 75909 10091 2620573 2244980 375593 1960738 1590755 369983 857016 526843 330173 1738450 1348903 389547 971598 877986 93612 164673 81269 83404 1871407 1609410 261997 90932 2550 88382 DUES & SUBSCRIPTIONS 147710 16824 130886 EMPLOYEE TRAINING 130169 109337 20832 RELOCATION EXPENSES 84605 285 84320 RECRUITING EXPENSES 67360 1081 66279 186267 115613 70654 27598366 20870686 6727680 0 258487 615735 1629438 2782079 3851 6834 851392 3767525 24756308 3012555 12652846 21743753 51507 64756 15447521 28980682 2603682 4032014 321767 203490 2925449 4235504 X 12522072 24745178 12522072 24745178 15447521 28980682 12223106 0 X 0 1 1 X 1 1 X 5602590 14877360 22073632 28209055 39770709 110533346 5602590 14877360 22073632 28209055 39770709 110533346 110533346 4864 400 167 250 453 6134 110539480 191250 0.99990 0.99990 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 1 0 0 1 0 1 86000 86000 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: NEON, INC. HAS CONTRACTED WITH A FIRM TO PROVIDE FEDERAL GOVERNMENT RELATIONS ASSISTANCE BY PERFORMING THE FOLLOWING SERVICES: 1) DEVELOP AND IMPLEMENT A TARGETED APPROPRIATIONS STRATEGY TO ATTRACT SUPPORT FOR NEON 2) DRAFT LETTERS TO RELEVANT MEMBERS OF CONGRESS AND COMMITTEES TO ADVOCATE NEON'S OBJECTIVES 3) COORDINATE AND FACILITATE MEETINGS BETWEEN NEON AND MEMBERS OF CONGRESS AND AGENCY OFFICIALS 4) COLLABORATE WITH OTHER LIKE-MINDED ORGANIZATIONS TO FACILITATE NEON'S PUBLIC POLICY GOALS 5) MAINTAIN COMMUNICATIONS WITH CONGRESSIONAL AND AGENCY STAFF TO MONITOR THE STATUS OF NEON'S INTERESTS 920448 278718 641730 11787414 1486599 10300815 12048446 1247238 10801208 21743753 SECURITY DEPOSITS HELD 25000 DEFERRED RENT EXPENSE 178490 203490 39821472 27598366 12223106 12223106 39831912 0 39831912 -10440 -10440 39821472 27608806 10440 10440 27598366 0 27598366 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: MANAGEMENT PERFORMS AN ANNUAL ANALYSIS OF THE NEON'S VARIOUS TAX POSITIONS, ASSESSING THE LIKELIHOOD OF THOSE POSITIONS BEING UPHELD UPON EXAMINATION BY RELEVANT TAX AUTHORITIES. MANAGEMENT BELIEVES THAT NEON HAS CONDUCTED ITS OPERATIONS IN ACCORDANCE WITH, AND HAS PROPERLY MAINTAINED, ITS TAX-EXEMPT STATUS. NEON'S TAX RETURNS FOR FISCAL YEARS 2009 THROUGH 2011 ARE SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE. PART XII, LINE 4B - OTHER ADJUSTMENTS: ($10,440) - LOSS ON DISPOSAL OF ASSETS INCLUDED IN REVENUE ON FORM 990 PART XIII, LINE 2D - OTHER ADJUSTMENTS: $10,440 - LOSS ON DISPOSAL OF ASSETS INCLUDED IN REVENUE ON FORM 990 1 SCIENCE & ENGINEERING ALLIANCE (SEA) 1522 K ST NW STE 730 WASHINGTON DC 20005 521737386 501(C)(3) 289396 PROJECT MANAGEMENT SUPPORT TO COMPLETE NEON CONSTRUCTION-READY DESIGN & PROJECT EXECUTION PLAN. 1 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: PRIOR TO PROVIDING GRANTS TO ORGANIZATIONS, NEON ASSESSES THE POTENTIAL RECIPIENT'S ORGANIZATIONAL AND FINANCIAL STATUS AND INTERNAL CONTROLS AS WELL AS THE TERMS OF THE PROPOSED GRANT AGREEMENT. NEON ESTABLISHES CONDITIONS FOR THE RECIPIENT CONSISTENT WITH THE LEVEL OF RISK PERCEIVED. ON AN ONGOING BASIS NEON MONITORS THE ACTIVITIES OF THE RECIPIENT UNDER THE GRANT AGREEMENT TO ENSURE THAT AWARDED FUNDS ARE USED FOR AUTHORIZED AND INTENDED PURPOSE. X X X 0 0 0 0 0 0 0 0 0 THOMAS SHELDON 200216 0 0 0 821 0 33473 0 18007 0 252517 0 0 0 ANTHONY BEASLEY 240937 0 0 0 352 0 31244 0 25647 0 298180 0 0 0 ROBIN MARTIN 187768 0 0 0 265 0 28336 0 25590 0 241959 0 0 0 BRIAN WEE 160110 0 0 0 133 0 25749 0 5902 0 191894 0 0 0 THOMAS KAMPE 158343 0 0 0 311 0 16281 0 20430 0 195365 0 0 0 WENDY GRAM 157712 0 0 0 205 0 6550 0 17001 0 181468 0 0 0 DAVID SCHIMEL 250028 0 0 0 1033 0 21860 0 22147 0 295068 0 0 0 FORM 990, PART VI, SECTION A, LINE 6 INSTITUTIONAL MEMBERS: ANY SCIENTIFIC, EDUCATIONAL, AND/OR RESEARCH INSTITUTION THAT IS INTERESTED IN PROMOTING THE PURPOSES AND ACTIVITIES OF NEON, THAT IS ELECTED BY THE BOARD AND THAT PAYS THE INITIATION FEES, MEMBERSHIP DUES, AND SPECIAL ASSESSMENTS SPECIFIED FROM TIME TO TIME BY THE BOARD OF DIRECTORS SHALL BE ELIGIBLE FOR VOTING MEMBERSHIP. FORM 990, PART VI, SECTION A, LINE 7A THE BOARD OF DIRECTORS SHALL CONSIST OF TWO GROUPS: THE MEMBERSHIP GROUP AND THE AT-LARGE GROUP. A MAJORITY OF THE BOARD OF DIRECTORS SHALL CONSIST OF AT-LARGE GROUP DIRECTORS. APPROXIMATELY ONE-THIRD (1/3) OF THE DIRECTORS OF EACH GROUP SHALL BE ELECTED OR APPOINTED EACH YEAR. DIRECTORS IN THE MEMBERSHIP GROUP SHALL BE ELECTED OR APPOINTED BY THE VOTING MEMBERS FROM THE SLATE OF NOMINEES PUT FORWARD EACH YEAR BY THE NOMINATING AND GOVERNANCE COMMITTEE. DIRECTORS IN THE AT-LARGE GROUP SHALL BE ELECTED OR APPOINTED BY THE DIRECTORS THEN IN OFFICE (INCLUDING DIRECTORS IN THE MEMBERSHIP AND AT-LARGE GROUPS WHOSE TERMS ARE SET TO EXPIRE AT THE ANNUAL MEETING) FROM THE SLATE OF NOMINEES PUT FORWARD EACH YEAR BY THE NOMINATING AND GOVERNANCE COMMITTEE. FORM 990, PART VI, SECTION A, LINE 8B COMMITTEE MEETINGS ARE MORE INFORMATIVE IN NATURE AND NOT USED FOR DECISION-MAKING PURPOSES. SINCE DECISIONS ARE NOT MADE AND ACTIONS ARE NOT TAKEN AT THESE MEETINGS, THERE IS NO NEED FOR DOCUMENTATION. FORM 990, PART VI, SECTION B, LINE 11 AFTER THE FORM 990 IS PREPARED, THE CONTROLLER REVIEWS THE RETURN AND SENDS IT FOR APPROVAL BY THE CHIEF FINANCIAL OFFICER. ONCE APPROVED, THE CHIEF FINANCIAL OFFICER SENDS THE RETURN TO THE FINANCE COMMITTEE OF THE BOARD FOR APPROVAL. ONCE FINALIZED, THE CHIEF FINANCIAL OFFICER SIGNS THE RETURN BEFORE FILING. IN ADDITION, A COPY OF THE FORM 990 IS PROVIDED TO THE BOARD OF DIRECTORS FOR THEIR REVIEW PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ALL OFFICERS AND BOARD OF DIRECTOR MEMBERS ARE REQUIRED TO SIGN THE CONFLICT OF INTEREST STATEMENT AT LEAST ANNUALLY. ALL EMPLOYEES ARE REQUIRED TO SIGN IT UPON INITIAL HIRE AND THEN ON AN ANNUAL BASIS. ANY CONFLICTS OF INTEREST DISCOVERED OR REPORTED ARE ESCALATED TO THE BOARD OF DIRECTORS AND MAY RESULT IN TERMINATION OR RECUSAL OF CERTAIN INDIVIDUALS, AS APPROPRIATE. FAILURE TO ADEQUATELY REPORT ANY CONFLICT OF INTEREST MAY ALSO RESULT IN DISCIPLINARY ACTION UP TO AND INCLUDING TERMINATION. TO DATE, NO CONFLICT OF INTEREST SITUATIONS HAVE BEEN REPORTED OR DISCOVERED. FORM 990, PART VI, SECTION B, LINE 15 NEON UTILIZES THE MOST RELEVANT OUTSIDE COMPENSATION DATA AVAILABLE (DEFINED BY THE INDUSTRY(S) AND REGION(S) IN WHICH WE COMPETE FOR QUALIFIED APPLICANTS, INCLUDING DATA FROM SIMILARLY SITUATED ORGANIZATIONS) TO DEVELOP COMPENSATION STRATEGIES, SALARY RANGES AND TO GUIDE INDIVIDUAL SALARY OFFERS. SUCH MARKET COMPENSATION DATA WAS UTILIZED WHEN FORMULATING COMPENSATION ARRANGEMENTS FOR THE DESCRIBED TOP OFFICERS PRIOR TO ACTUAL EMPLOYMENT OFFERS IN 2007 AND 2008. MARKET COMPENSATION DATA WAS ALSO REVIEWED IN 2011 TO ASSURE THAT COMPENSATION LEVELS WERE APPROPRIATE. CONTEMPORANEOUS MARKET COMPENSATION DATA IS RETAINED FOR THE KEY OFFICER POSITIONS (CEO, CFO, AND COO) ON AN ANNUAL BASIS. NEON'S INDEPENDENT BOARD OF DIRECTORS (CHAIRMAN AND EXECUTIVE COMMITTEE) REVIEWS AND ANALYZES MARKET DATA AND TRENDS TO SET AND ADJUST OFFICER SALARIES ON AN ANNUAL BASIS. THIS PROCESS WAS LAST COMPLETED IN 2012. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC ON THE ORGANIZATION'S WEBSITE AS WELL AS UPON REQUEST. THE ORGANIZATION'S FINANCIAL STATEMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC UPON REQUEST.