2013-05-15T16:16:50-05:00 2012-06-30 271728945 O'CONNOR DAVIES LLP 665 FIFTH AVENUE NEW YORK NY 10022 990 2011-07-01 112104059 NEW YORK HALL OF SCIENCE NEWY 7186990005 47-01 111TH STREET CORONA NY 11368 MARGARET HONEY 7186990005 2013-05-15 1 GARRETT M HIGGINS P00543209 2122862600 2013-05-15 2011 2016-02-25 16:41:14Z MARGARET HONEY 47-01 111TH STREET CORONA NY 11368 20727301 0 X HTTP://WWW.NYSCI.ORG X 1964 NY SEE SCHEDULE O 40 40 307 12 0 0 17964469 14825106 2731702 2811101 258890 220063 793669 806504 21748730 18662774 304733 872480 0 0 7804256 8943295 527504 283613 2698529 7423984 8395032 16060477 18494420 5688253 168354 66095365 66104849 1509426 1471433 64585939 64633416 X NYSCI BRINGS THE EXCITEMENT AND UNDERSTANDING OF SCIENCE AND TECHNOLOGY TO CHILDREN, FAMILIES, TEACHERS, AND OTHERS BY GALVANIZING THEIR CURIOSITY AND OFFERING THEM CREATIVE AND PARTICIPATORY WAYS TO LEARN. 0 0 4696746 2021609 EXHIBITIONS: NYSCI IS POSITIONING ITSELF AS A PREMIER DESTINATION FOR CHILDREN AND FAMILIES AS EVIDENCED BY PAID GENERAL ADMISSION WHICH HAS INCREASED BY 25% OVER THE PAST TWO YEARS - A CLEAR SIGN THAT NYSCI CONTINUES TO ATTRACT NEW AUDIENCES TO THE MUSEUM. NYSCI OFFERS AN UNPARALLELED RANGE OF 450 PERMANENT INTERACTIVE EXHIBITS THAT EXPLORE CHEMISTRY, BIOLOGY, ASTRONOMY, PHYSICS, GENETICS, AND MUCH MORE, ALL GEARED FOR CHILDREN AND ADULTS. IN ADDITION, NYSCI HOSTS TIMELY TEMPORARY EXHIBITS THAT TAP INTO CURRENT PUBLIC INTERESTS AND DRAW UNIQUE AUDIENCES. BY COMBINING THESE EXHIBITS WITH THE OUTDOOR SCIENCE PLAYGROUND, ROCKET PARK MINI GOLF, MAKER SPACE, THE BIOCHEMISTRY, ASTRONOMY AND CONNECTIONS DISCOVERY LABS, THE PRESCHOOL PLACE FOR EARLY CHILDHOOD LEARNING, AND NATIONALLY REPLICATED SCIENCE EDUCATION PROGRAMS FOR UNDERSERVED POPULATIONS, NYSCI OFFERS A HIGH-TECH, HANDS-ON EXPERIENCE OF DISCOVERY FOR VISITORS OF ALL AGES. IN FISCAL YEAR 2012, NYSCI HOSTED SEVERAL NEW TRAVELING EXHIBITIONS APPEALING TO A BROAD AND DIVERSE AUDIENCE WHICH REACHED A NEAR RECORD NUMBER OF 500,000 VISITORS. THESE INCLUDED CIRCUS! SCIENCE UNDER THE BIG TOP, WHICH CONNECTED THE HIGH WIRE AND TRAPEZE WITH UNDERLYING SCIENTIFIC CONCEPTS, CHARLIE AND KIWI'S EVOLUTIONARY ADVENTURE, A NYSCI-CREATED EXHIBITION THAT EXAMINED THE BASICS OF EVOLUTION THROUGH THE ANCESTRY OF KIWI BIRDS; AND ANIMATION!, WHICH EXPLORED ANIMATION TECHNIQUES SUCH AS STORYBOARDING, CHARACTER DESIGN, DRAWING, FILMING AND SOUND. 3601413 398029 EDUCATION:SCIENCE CAREER LADDER (SCL): A YOUTH DEVELOPMENT AND EMPLOYMENT PROGRAM AIMED AT INCREASING THE PARTICIPATION OF WOMEN AND PEOPLE OF COLOR IN STEM PROFESSIONS, SCL TRAINS HIGH SCHOOL AND COLLEGE STUDENTS AS EXPLAINERS TO LEAD DEMONSTRATIONS, ASSIST AND INSTRUCT MUSEUM VISITORS, AND FACILITATE PUBLIC PROGRAMS. THE PROGRAM PROVIDES CAREER AND COLLEGE READINESS AND DEVELOPS PROBLEM-SOLVING, COMMUNICATIONS, AND LEADERSHIP SKILLS FOR OVER 100 YOUTH ANNUALLY, HAVING ENGAGED 2500 YOUTH SINCE THE PROGRAM'S FOUNDING IN 1986. IN 2012, SCL TRAINED 156 STUDENTS, OF WHOM 63 PERCENT WERE FEMALE, 84 PERCENT WERE OF COLOR, AND WHO COLLECTIVELY SPOKE 24 LANGUAGES. THIS DIVERSITY MAKES NYSCI ACCESSIBLE AND INVITING TO A BROAD RANGE OF AUDIENCES. SCL WAS SELECTED AS AN EXEMPLARY PROGRAM BY CHANGE THE EQUATION, A WHITE HOUSE INITIATIVE THAT MOBILIZES TOP BUSINESS CEOS TO HELP IMPROVE THE QUALITY OF STEM LEARNING IN THE UNITED STATES THROUGH PHILANTHROPY, INSPIRING YOUTH, AND ADVOCATING POLICY CHANGE.SCL INSTITUTE: LAUNCHED IN 2011, THE SCL INSTITUTE FOCUSES ON THE ENTREPRENEURIAL AND INNOVATION SKILLS AMONG ITS PARTICIPANTS AND EXPANDS THEIR OPPORTUNITIES TO PARTICIPATE IN THE 21ST CENTURY ECONOMY. THROUGH MENTORSHIPS AND RESIDENCIES, STUDENTS ARE LEARNING FROM RESEARCHERS AND SCIENTISTS WORKING IN UNIVERSITIES, LABS AND AT FORTUNE 500 COMPANIES, WHILE ALSO RUNNING NYSCI'S PRESCHOOL PROGRAMS, CONDUCTING LEARNING STUDIES, AND DEVELOPING AND PROTOTYPING NEW EXHIBIT EXPERIENCES. THESE EXPERIENCES NOT ONLY DEVELOP NEW SKILLS AND ENHANCE RESUMES, BUT ALSO ENRICH THE VISITOR EXPERIENCE AND PROJECTS ACROSS THE INSTITUTION. AFTER SCHOOL PROGRAMS: PROVIDE ELEMENTARY THROUGH HIGH SCHOOL STUDENTS WITH HANDS-ON LEARNING AND LEADERSHIP EXPERIENCES THROUGH WORKSHOPS, CLUBS, CAMPS AND OUTREACH ACTIVITIES DESIGNED TO TEACH THE BASIC PRINCIPLES OF CHEMISTRY, PHYSICS, BIOLOGY, ECOLOGY, FORENSICS AND OTHER SCIENTIFIC DISCIPLINES. IN 2012, AFTERSCHOOL CLUBS TAPPED INTO THE MAKER MOVEMENT AND INCORPORATED MAKER-RELATED ACTIVITIES SPECIFICALLY DESIGNED TO FOSTER INVENTION IN YOUNG "TINKERS" THROUGH EXPERIMENTAL PROBLEM SOLVING, PROJECT DESIGN AND CONSTRUCTION. THE AFTERSCHOOL CLUBS AND CAMPS PROGRAM ENGAGES OVER 450 STUDENTS EVERY YEAR.PROFESSIONAL DEVELOPMENT: NYSCI OFFERS STEM PROFESSIONAL DEVELOPMENT EACH YEAR TO MORE THAN 4,000 K-12 TEACHERS, EFFECTIVELY REACHING 300,000 STUDENTS ANNUALLY, THROUGH ON-SITE, MOBILE, DIGITAL, AND WEB-BASED TEACHER DEVELOPMENT PROGRAMS OFFERING UNIQUE OPPORTUNITIES TO LEARN AND PRACTICE ENGAGING AND EFFECTIVE METHODS FOR TEACHING STEM SUBJECTS. NYSCI DELIVERS WEB-ENABLED PROFESSIONAL DEVELOPMENT TRAINING THROUGH ITS INTERACTIVE DISTANCE LEARNING INITIATIVES AND HAS ALSO PARTNERED WITH EDUCATORS TO DEVELOP NEW, DESIGN-BASED LEARNING PRACTICES THAT WILL REVOLUTIONIZE HOW STEM IS TAUGHT. NYSCI IS AT THE FOREFRONT OF INNOVATIVE APPROACHES TO STEM LEARNING AND IS ONE OF THE LARGEST PROVIDERS OF IN-SERVICE TEACHER PROFESSIONAL DEVELOPMENT ACROSS ALL THE SCIENCES IN NEW YORK CITY.THE VIRTUAL VISIT PROGRAM AND STEM CONNECT: HANDS-ON ANYWHERE: NYSCI DELIVERS WEB-ENABLED DISTANCE LEARNING THROUGH THE VIRTUAL VISIT PROGRAM AND HAS EXPANDED ITS ONLINE SCIENCE EDUCATION COURSES THROUGH STEM CONNECT. THE INTERACTIVE EDUCATION COURSES FOCUS ON STEM SUBJECTS SUCH AS NANOSCIENCE, MATH, MICROBIOLOGY, CHEMISTRY AND SYSTEM SCIENCE. IN FY2012, NYSCI SIGNIFICANTLY INCREASED ITS ONLINE PROFESSIONAL DEVELOPMENT OFFERINGS, INCLUDING A NEW COURSE IN STEM LESSON PLANNING. NYSCI'S INTERACTIVE DISTANCE LEARNING PROGRAM SERVES SCHOOLS, LIBRARIES, COMMUNITY CENTERS AND HOSPITALS. IN FY2012, VIRTUAL VISITS SERVED 500 STUDENTS, AN INCREASE OF 43 PERCENT OVER THE PREVIOUS YEAR. TO FURTHER ITS REACH, NYSCI IS DEVELOPING A NEW MIDDLE SCHOOL VIRTUAL CLUB AND CAMP SERIES, AS WELL AS A SOCIAL NETWORKING SITE TO ALLOW STUDENTS WITH CHRONIC HEALTH CONDITIONS TO INTERACT AND LEARN WITH OTHERS. 996125 125451 PUBLIC PROGRAMS:SCIENCE TECHNOLOGY LIBRARY: FEATURES A WIDE VARIETY OF BOOKS, MEDIA, JOURNALS AND LESSON PLANS. APPROXIMATELY 29,000 VISITORS, INCLUDING 500 TEACHERS, USED THE LIBRARY DURING FISCAL YEAR 2012.MAKER SPACE: NYSCI IS COMMITTED TO DEVELOPING PROGRAMS THAT INSPIRE YOUNG PEOPLE TO BE CREATIVE, IMAGINATIVE AND INVENTIVE, AND TO TRANSFORMING STEM EDUCATION NATIONALLY. EMBRACING THE METHODOLOGIES OF "DESIGN-MAKE-PLAY", IN FY12 NYSCI LAUNCHED A DEDICATED MAKER SPACE, 1,200 SQUARE-FEET DEDICATED TO A VARIETY OF PROGRAMMING THAT ENCOURAGES CHILDREN AND FAMILIES TO TINKER, DESIGN, AND CREATE, INCLUDING THE YOUNG MAKER CLUB AND THE LITTLE MAKERS SERIES. MAKER SPACE OFFERS TOOLS, MATERIALS AND RESOURCES THAT FACILITATE BOTH PHYSICAL AND DIGITAL MAKING SO THAT VISITORS CAN PLAY, INVENT, MAKE AND SHARE, WHILE LEARNING SCIENCE IN THE PROCESS. MAKER SPACE OFFERS ACTIVITIES DESIGNED TO APPEAL TO A SPAN OF SKILL LEVELS, FOSTERING OPPORTUNITIES FOR COOPERATION, SHARING AND FAMILY CONVERSATION. THIS NEW VENUE GIVES NYSCI VISITORS, ESPECIALLY YOUNG CHILDREN, TOOLS TO NURTURE THEIR INNATE HUMAN PROPENSITY TO BE CREATIVE AND TO SEE THE WORLD DIFFERENTLY.EARLY CHILDHOOD AND FAMILY LEARNING INITIATIVES: THE EARLY CHILDHOOD AND FAMILY LEARNING INITIATIVES SERVED OVER 85,000 CHILDREN AND FAMILIES IN FY12. THE PRIMARY LOCATION FOR WORKSHOPS AND ACTIVITIES IS THE 2,500-SQUARE FOOT EARLY CHILDHOOD LEARNING ENVIRONMENT, PRESCHOOL PLACE, WHICH OFFERS A VARIETY OF IMAGINATIVE LEARNING EXPERIENCES THAT INTRODUCE YOUNG CHILDREN (AGES 6 AND YOUNGER) AND THEIR ACCOMPANYING PARENTS, GRANDPARENTS AND CAREGIVERS, TO THE SCIENCE OF SOUND, COLOR, LIGHT, MEASUREMENT AND SIMPLE MACHINES. ADDITIONAL SPACES FOR PRESCHOOL CHILDREN INCLUDE THE PRESCHOOL LAUNCH PAD AND THE PRESCHOOL SCIENCE PLAYGROUND DESIGNED ESPECIALLY FOR CHILDREN SIX AND UNDER. AT PRESCHOOL PLACE AND THROUGHOUT THE ENTIRE MUSEUM SPACE, NYSCIS YOUNGEST VISITORS ARE USING MATERIALS IN UNEXPECTED WAYS AND MAKING OBJECTS THAT GO BEYOND WHAT WOULD BE POSSIBLE WITH MORE TRADITIONAL AND PRESCRIPTIVE SCIENCE ACTIVITIES.LITTLE MAKERS AND FAMILY SCIENCE ADVENTURES: LITTLE MAKERS PROVIDES PRE-K READINESS THROUGH WORKSHOPS USING HANDS-ON, DESIGN-BASED CHALLENGES AND SCIENCE/TECHNOLOGY EXPERIENCES TO FOSTER THE DEVELOPMENT OF SCIENTIFIC INQUIRY SKILLS INCLUDING OBSERVATION, MEASUREMENT, CLASSIFICATION, EXPERIMENTATION, PREDICTION, AND COMMUNICATION. FAMILY SCIENCE ADVENTURES FACILITATES CREATIVE ART PROJECTS AND INNOVATIVE SCIENCE EXPERIMENTS IN A SERIES OF WORKSHOPS THAT ENGAGE YOUNG CHILDREN, PARENTS, AND CAREGIVERS IN HANDS-ON-SCIENCE PROJECTS THAT PROMOTE SCIENTIFIC INQUIRY AND SKILLS. WORLD MAKER FAIRE: NYSCI AGAIN HOSTED WORLD MAKER FAIRE, A TWO-DAY, FAMILY-FRIENDLY EXTRAVAGANZA CELEBRATING THE DO-IT-YOURSELF (DIY) MOVEMENT. THIS BROAD-BASED COMMUNITY ENCOMPASSES SCIENTISTS, ENGINEERS, STUDENTS, WELDERS, SOFTWARE DEVELOPERS, HACKERS, CIRCUS PERFORMERS, CIRCUIT BENDERS, MUSICIANS AND CRAFTERS OF ALL STRIPES. WITH AN INTERNATIONAL REACH AND A DELIBERATELY LOCAL FEEL, WORLD MAKER FAIRE HONORS THE BEST OF HUMAN IMAGINATION AND CREATIVITY WHERE MAKERS SHARE THEIR PROCESS AND PRODUCT. OVER 56,000 NEW YORKERS AND VISITORS TO THE REGION ATTENDED THE 2012 EVENT. 4576930 872480 266012 CONNECTED WORLDS: LAYING THE FOUNDATION FOR THE RE-OPENING OF NYSCI'S GREAT HALL IN 2014, NYSCI IS CONCEPTUALIZING AND DESIGNING BOLD, IMMERSIVE INSTALLATIONS FOR THE SPACE THAT INVITE AUDIENCES TO EXPLORE CRITICAL ISSUES OF SUSTAINABILITY AND WHAT IT MEANS TO LIVE ON AN INTERCONNECTED PLANET. MULTIMEDIA, DATA-VISUALIZATION TOOLS INTERACTIVE DIGITAL TECHNOLOGIES, ROLE-PLAYING GAMES, AND "WHAT-IF" SCENARIOS WILL GIVE VISITORS OPPORTUNITIES TO INVESTIGATE HOW HUMAN ACTIVITY IMPACTS THE SUSTAINABILITY OF COMMUNITIES - LOCALLY, NATIONALLY AND GLOBALLY.DESIGN LAB: THIS NEW NYSCI INITIATIVE IS CURRENTLY BEING PROTOTYPED AND WILL OPEN IN 2014. ITS PURPOSE IS TWOFOLD: TO INTRODUCE THE VISITING PUBLIC TO THE DESIGN PROCESS AND TO SERVE AS AN INNOVATION LABORATORY TO DEVELOP CLASSROOM PRACTICES FOR TEACHERS. DESIGN IS AN ITERATIVE, PURPOSEFUL PROCESS THAT SOLVES PROBLEMS BY IMPROVING OLD DESIGNS OR ADDRESSING NEW ISSUES. IN THE CLASSROOM, DESIGN-BASED LEARNING CAN INVIGORATE FORMAL SCIENCE TEACHING BY MAKING STUDENTS ACTIVE PARTICIPANTS WHO CONDUCT STEM EXPERIMENTS TO SOLVE A PROBLEM.SARA LEE SCHUPF FAMILY CENTER FOR PLAY, SCIENCE, AND TECHNOLOGY LEARNING: THE CENTER HAS GARNERED SIGNIFICANT NATIONAL ATTENTION BY PIONEERING NEW MODELS OF LEARNING THAT SUPPORT THE NEW NEXT GENERATION SCIENCE STANDARDS. NYSCI'S MOST RECENT PARTNERSHIP WITH TWO OTHER EDUCATIONAL ORGANIZATIONS IS FORGING A NEW TEACHER PREPARATION MODEL FOR HIGH SCHOOL SCIENCE TEACHERS THAT UTILIZES NYSCI AS A LABORATORY FOR CLINICAL PRACTICE AND LEARNING. OPPORTUNITIES TO DEEPLY IMPACT THE WAYS IN WHICH NYSCI SUPPORTS AND PREPARES TEACHERS WILL CONTINUE TO EVOLVE, PARTICULARLY AS TOOLS AND RESOURCES ARE BUILT AND DEVELOPED AS PART OF THE CENTER AND DESIGN LAB.DESIGN, MAKE, PLAY: IN JANUARY 2012, NYSCI HOSTED DESIGN-MAKE-PLAY: GROWING THE NEXT GENERATION OF SCIENCE INNOVATORS, IN COLLABORATION WITH BOTH THE WHITE HOUSE OFFICE OF SCIENCE TECHNOLOGY POLICY AND MAKER FAIRE. THIS TWO-DAY CONFERENCE BROUGHT TOGETHER THOUGHT LEADERS FROM SCHOOLS, COMMUNITY-BASED PROGRAMS, RESEARCH AND DEVELOPMENT ORGANIZATIONS, FUNDERS, UNIVERSITIES, GOVERNMENT AND BUSINESS. DESIGN-MAKE-PLAY ARE INTERRELATED LEARNING METHODOLOGIES THAT CAN LEVERAGE CHILDREN'S CURIOSITY ABOUT THE WORLD AROUND THEM TO MOTIVATE THEIR LEARNING AND ACHIEVEMENT IN STEM SUBJECTS. 4576930 872480 266012 13871214 1 1 0 1 0 0 0 1 0 1 1 0 0 0 0 1 1 0 0 0 0 0 0 1 1 0 0 1 0 1 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 1 153 0 307 1 0 0 0 0 0 1 1 0 0 0 0 X 40 40 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X X MARGARET HONEY PRESIDENT & CEO 7186990005 47-01 111TH STREET CORONA NY 11368 IVAN G SEIDENBERG 0.30 X X 0 0 0 NICHOLAS M DONOFRIO 1.50 X X 0 0 0 DON CALLAHAN 0.50 X X 0 0 0 MELISSA VAIL 2.00 X X 0 0 0 SIBYL R GOLDEN 1.00 X X 0 0 0 MARTIN R KUPFERBERG 2.00 X X 0 0 0 ANTHONY K ASNES 0.50 X 0 0 0 BONNIE ROCHE-BRONFMAN 1.00 X 0 0 0 DR GEORGE CAMPBELL JR 2.00 X 0 0 0 DAVID CHRISTMAN 2.00 X 0 0 0 ANTHONY CIOFFI 1.00 X 0 0 0 RAVENEL B CURRY III 2.00 X 0 0 0 FRANCISCO D'SOUZA 1.00 X 0 0 0 LEON DEMAILLE 1.50 X 0 0 0 ERIK DOCHTERMANN 2.00 X 0 0 0 MIKAEL DOLSTEN MD PHD 0.50 X 0 0 0 ATUL DUBEY 1.50 X 0 0 0 SETH H DUBINESQ 1.50 X 0 0 0 ANNA M EWING 1.00 X 0 0 0 JOSEPH R FICALORA 1.00 X 0 0 0 STUART FISCHER 2.00 X 0 0 0 JOHN J GILBERT III 5.00 X 0 0 0 EDWARD D HOROWITZ 1.00 X 0 0 0 JEFFREY R LIBSHUTZ 0.50 X 0 0 0 YVONNE LIU 0.30 X 0 0 0 PAUL MALCHOW 2.00 X 0 0 0 MARY JANE MCCARTNEY 2.00 X 0 0 0 ANTHONY J MELONE 0.50 X 0 0 0 JOEL H MOSER ESQ 2.00 X 0 0 0 SHANKAR NARAYNAN 0.30 X 0 0 0 DAVID NEWMAN 1.00 X 0 0 0 JANE FEARER SAFER 1.50 X 0 0 0 STEPHEN H SANDS 1.50 X 0 0 0 LINDA S SANFORD 0.50 X 0 0 0 SARA LEE SCHUPF 1.00 X 0 0 0 ANIL SHRIVASTAVA 2.00 X 0 0 0 ALAN SINSHEIMER ESQ 5.00 X 0 0 0 CLAUDE TRAHAN 1.00 X 0 0 0 BERT WELLS ESQ 2.00 X 0 0 0 KURT WOETZEL 1.00 X 0 0 0 MARGARET HONEY 35.00 X 272684 0 39889 PATRICIA HUIE 35.00 X 168188 0 22370 ROBERT LOGAN 35.00 X 161389 0 22770 ERIC SIEGEL 35.00 X 162823 0 31938 FRANK DUUS JR 35.00 X 161723 0 19679 DANNY WEMPA 35.00 X 150466 0 18228 PREETI GUPTA 35.00 X 138393 0 25350 DAVID E KANTER 35.00 X 112143 0 15246 1327809 0 195470 8 0 1 0 COMMUNITY COUNSELLING SERVICE CO LLC PO BOX 27462 NEW YORK NY 100877462 CONSULTING FOR FUNDRAISING CAMPAIGN 390000 DIGITAL 3D CINEMA LLC 990 GROVE STREET EVANSTON IL 60201 DIGITAL 3D PROJECTION AUDIO SERVICES AND 185355 2 556748 689531 7102756 6476071 218045 14825106 ADMISSIONS 713990 2109368 2109368 PUBLIC PROGRAMS 611710 392108 392108 EDUCATION & TRAINING F 611710 309625 309625 2811101 26702 26702 550526 124740 425786 425786 425786 1992135 1798774 193361 193361 193361 303303 689531 141013 162290 162290 PARKING LOT INCOME 812930 131222 131222 RESTAURANT 722200 49754 49754 MISCELLANEOUS REVENUE 900099 37452 37452 218428 18662774 2811101 0 1026567 872480 872480 1332391 265169 650019 417203 5595061 4338967 405046 851048 391542 302958 22503 66081 1073448 828515 63531 181402 550853 396620 53806 100427 1521300 1190309 123037 207954 57190 34887 17607 4696 64060 32513 25918 5629 219549 219549 283613 283613 4972 4972 291697 177533 68466 45698 189387 188825 -3593 4155 600697 413582 92637 94478 194200 119352 39482 35366 574973 560917 6348 7708 241210 209937 16752 14521 53233 39859 6201 7173 3042330 2898637 91474 52219 201369 196297 2178 2894 RENTAL/MAINT EQUIP./EXH 491652 393349 55094 43209 OTHER OPERATING EXPENSE 277760 91586 162164 24010 NONCAPTIALIZED EQUIP 217131 197079 13639 6413 PARTICIPANT COSTS 93680 93680 58642 28163 7396 23083 18494420 13871214 1924677 2698529 2232177 1557429 2740169 2989946 8449026 10859705 155391 118240 228227 389618 68916103 21327786 49744814 47588317 2532895 2595729 12666 5865 66095365 66104849 1261084 1239981 248342 231452 1509426 1471433 X 4872236 4672471 59378703 59625945 335000 335000 64585939 64633416 66095365 66104849 X 168354 -120877 X X 0 1 1 X 0 X 9610690 11205415 16753717 17964469 14825106 70359397 9610690 11205415 16753717 17964469 14825106 70359397 659500 69699897 786959 503125 556026 537226 577228 2960564 495012 468824 197679 192688 218428 1572631 74892592 14642129 0.93070 0.91830 X SCHEDULE A, PART IV, SUPPLEMENTAL INFORMATION: SCHEDULE A, PART II, LINE 10 - EXPLANATION FOR OTHER INCOME: OTHER INCOME FOR ALL YEARS INCLUDES PARKING AND RESTAURANT REVENUE PROVIDED FOR THE CONVENIENCE OF GUESTS AS WELL AS OTHER MISCELLANEOUS REVENUE AMOUNTS. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 219549 0 1 4386 223935 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: NEW YORK HALL OF SCIENCE HAS RETAINED COUNSEL TO MONITOR APPROPRIATIONS ACTIVITY AND CONTACT GOVERNMENT OFFICIALS REGARDING SCIENCE FUNDING AND FUNDING FOR NYSCI WITH RESPECT TO THE UNITED STATES, NEW YORK STATE AND NEW YORK CITY GOVERNMENTS. THE VP, EXTERNAL RELATIONS PARTICIPATES IN REQUESTING PUBLIC SUPPORT, PRIMARILY FROM NEW YORK CITY SOURCES, TO HELP FUND THE EDUCATIONAL AND OPERATIONAL NEEDS OF NYSCI AND THEREFORE A PORTION OF HER SALARY AND BENEFITS HAVE BEEN ALLOCATED TO THE LOBBYING COSTS DISCLOSED ABOVE. X X 0 1734354 290818 79394 -53255 -13112 2038199 1663190 360 190818 -107062 -12952 1734354 1744496 5089 137599 -208492 -15502 1663190 2000112 -255616 1744496 0.75000 0.25000 0 0 68418062 21167753 47250309 479250 158374 320876 18791 1659 17132 47588317 18662774 18494420 168354 -120877 -120877 47477 19606198 -120877 803520 265753 948396 18657802 4972 4972 18662774 19558721 803520 265753 1069273 18489448 4972 4972 18494420 PART III, LINE 1A: CONSISTENT WITH THE POLICY OF MANY MUSEUMS, PURCHASES FOR USE AS EXHIBITS AND PROGRAMS ARE NOT CAPITALIZED. PART III, LINE 4: NYSCI HAS APPROXIMATELY 450 INTERACTIVE EXHIBITS THAT EXPLORE CHEMISTRY, BIOLOGY, ASTRONOMY, PHYSICS, GENETICS, AND OTHER STEM (SCIENCE, TECHNOLOGY, ENGINEERING AND MATH) TOPICS, ALL GEARED FOR CHILDREN AND ADULTS. THESE EXHIBITS, COMBINED WITH THE OUTDOOR SCIENCE PLAYGROUND, ROCKET PARK MINI GOLF, THE BIOCHEMISTRY, ASTRONOMY AND CONNECTIONS DISCOVERY LABS, THE PRESCHOOL PLACE FOR EARLY CHILDHOOD LEARNING, THE HARCOURT TEACHER LEADERSHIP CENTER FOR ENHANCED TEACHER TRAINING PROGRAMS, AND NATIONALLY REPLICATED SCIENCE EDUCATION PROGRAMS FOR UNDERSERVED POPULATIONS, OFFER A HIGH-TECH HANDS-ON LABORATORY OF DISCOVERY FOR VISITORS OF ALL AGES. THE EXHIBITS SERVE A CRITICAL ROLE IN REALIZING NYSCI'S MISSION TO BRING THE EXCITEMENT AND UNDERSTANDING OF SCIENCE AND TECHNOLOGY TO CHILDREN, FAMILIES, TEACHERS AND OTHERS BY OFFERING CREATIVE AND PARTICIPATORY WAYS TO LEARN ABOUT STEM TOPICS. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: NYSCI MAINTAINS VARIOUS DONOR RESTRICTED FUNDS WHOSE PURPOSE IS TO PROVIDE LONG-TERM SUPPORT FOR ITS PROGRAMS IN EXHIBITIONS, EDUCATION, PUBLIC PROGAMS AND SPECIAL PROJECTS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: NYSCI RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY WHEN THEY ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. MANAGEMENT HAS DETERMINED THAT NYSCI HAD NO UNCERTAIN TAX POSITIONS THAT WOULD REQUIRE FINANCIAL STATEMENT RECOGNITION. NYSCI IS NO LONGER SUBJECT TO EXAMINATIONS BY THE APPLICABLE TAXING JURISDICTIONS FOR PERIODS PRIOR TO JUNE 30, 2009. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES REPORTED ON PART VIII LINE 6B 124,740. DIRECT EXPENSE FOR FUNDRAISING GALA REPORTED ON PART VIII LINE 8B 141,013. PART XIII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES REPORTED ON PART VIII LINE 6B 124,740. DIRECT EXPENSE FOR FUNDRAISING GALA REPORTED ON PART VIII LINE 8B 141,013. X X X X X X 1 COMMUNITY COUNSELING SERVICE PO BOX 27462 NEW YORK NY 10087 PLAN/DEVELOP 5 YR FUND-RAISING CAMPAIGN 0 4326207 195000 4131207 INNOVATIVE PHILANTHROPY 342 MADISON AVENUE SUITE 1133 NEW YORK NY 10173 CONSULTANT 0 992834 88613 904221 5319041 283613 5035428 NY ANNUAL GALA 992834 689531 303303 91143 49870 992834 689531 303303 91143 49870 141013 162290 1 AMERICAN INSTITUTE FOR RESEARCH IN THE BEHAVIORAL SCIENCES 1000 THOMAS JEFFERSON STREET NW WASHINGTON DC 200073835 250965219 501(C)(3) 37348 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES CAPITOL EXHIBIT SERVICES INC 12299 LIVINGSTON ROAD MANASSAS VA 20109 541475244 N/A 69911 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES INSTITUTE FOR LEARNING INNOVATION 166 WEST STREET ANNAPOLIS MD 21401 521467051 501(C)(3) 22179 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES LEARNING GAMES NETWORK 222 THIRD STREET SUITE 0300 CAMBRIDGE MA 02142 262901936 501(C)(3) 26614 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES MICHIGAN STATE UNIVERSITY 2727 ALLIANCE DR ROOM/SUITE C LANSING MI 48910 237326030 501(C)(3) 23141 0 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES NEW KNOWLEDGE ORGANIZATION LTD 689 FORT WASHINGTON AVE 5E NEW YORK NY 100403759 454393574 N/A 71877 0 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES OREGON MUSEUM OF SCIENCE & INDUSTRY 1945 SE WATER AVENUE PORTLAND OR 972143354 930402877 501(C)(3) 383102 0 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES ROCKMAN ET AL 49 GEARY STREET SUITE 530 SAN FRANCISCO CA 94108 943400371 N/A 26414 0 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES CONCORD CONSORTIUM INC 25 LOVE LANE CONCORD MA 01742 043254131 501(C)(3) 89494 0 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES TRUSTEES OF COLUMBIA UNIVERSITY 615 WEST 131ST STREET 3RD FLOOR NEW YORK NY 10025 135598093 501(C)(3) 24553 0 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES UNIVERSITY OF PITTSBURGH 123 UNIVERSITY PLACE PITTSBURGH PA 15213 250965591 501(C)(3) 32590 0 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES LEARNING GAMES NETWORK 222 THIRD STREET SUITE 0300 CAMBRIDGE MA 02142 262901936 501(C)(3) 33313 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH RESEARCH PROJECT FOCUSING ON EDUCATION AND HUMAN RESOURCES TOUCH PRESS LLP 3 WARPLE MEWS LONDON UK 997434266 N/A 20000 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH RESEARCH PROJECT FOCUSING ON EDUCATION AND HUMAN RESOURCES 9 4 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE SUBCONTRACTOR IS REQUIRED TO SUBMIT A BUDGET FOR APPROVAL. ONCE APPROVED, NYSCI MAINTAINS THE BUDGET IN ITS ACCOUNTING SYSTEM AND MONITORS GRANT EXPENSES AGAINST THIS BUDGET. PAYMENT TO THE SUBCONTRACTOR IS USUALLY IN THE FORM OF REIMBURSEMENTS. SUBCONTRACTOR IS REQUIRED TO SUBMIT RECEIPTS AND SUPPORTING DOCUMENTATION IN ORDER TO BE REIMBURSED. DEPENDING ON THE PROJECT, INTERIM PROGRESS REPORTS MAY BE REQUIRED. A FINAL REPORT AND ACCOUNTING STATEMENT IS USUALLY REQUIRED AT THE END OF THE PROJECT. AT ITS DISCRETION, NYSCI RESERVES THE RIGHT TO AUDIT THE SUBCONTRACTOR'S FINANCIAL RECORDS. X X X X X 0 0 0 0 0 0 0 0 0 MARGARET HONEY 272684 0 0 0 0 0 24600 0 15289 0 312573 0 0 0 PATRICIA HUIE 168188 0 0 0 0 0 16425 0 5945 0 190558 0 0 0 ROBERT LOGAN 161389 0 0 0 0 0 15915 0 6855 0 184159 0 0 0 ERIC SIEGEL 162823 0 0 0 0 0 16688 0 15250 0 194761 0 0 0 FRANK DUUS JR 161723 0 0 0 0 0 13088 0 6591 0 181402 0 0 0 DANNY WEMPA 150466 0 0 0 0 0 12081 0 6147 0 168694 0 0 0 PREETI GUPTA 138393 0 0 0 0 0 12010 0 13340 0 163743 0 0 0 ERIK DOCHTERMANN CEO OF KD&E AND BOARD OF TRUSTEE MEMBER 58001 KD&E, AN ADVERTISING AND MARKETING AGENCY, PROVIDED SERVICES TO NYSCI 0 ANTHONY MELONE EVP & CTO OF VERIZON COMMUNICATIONS AND BOARD OF TRUSTEE MEMBER 73362 VERIZON PROVIDES TELECOMMUNICATIONS SERVICES TO NYSCI 0 IVAN SEIDENBERG CHAIRMAN/CEO OF VERIZON (NOW RETIRED) AND CO-CHAIR OF BOARD OF TRUSTEES 73362 VERIZON PROVIDES TELECOMMUNICATIONS SERVICES TO NYSCI 0 0 ALBERT WELLS SPOUSE OF PRESIDENT/CEO OF NY PUBLIC RADIO AND BOARD OF TRUSTEE MEMBER 15000 NYSCI RECEIVED ON-AIR MARKETING SUPPORT FROM WNYC IN RETURN FOR UNDERWRITING A PAYMENT AS A CULTURAL ARTS PARTNER 0 X 4 218045 FAIR VALUE 0 1 0 ORGANIZATION MISSION STATEMENT FORM 990, PART I, LINE 1 NYSC IS COMMITTED TO TRANSFORMING SCIENCE AND TECHNOLOGY EDUCATION NATIONALLY. ALL OF ITS MAJOR INITIATIVES HAVE BOTH PUBLIC-FACING COMPONENTS THAT SERVE FAMILY AND SCHOOL GROUP AUDIENCES, ALONG WITH RICH RESOURCES CREATED IN COLLABORATION WITH K-12 EDUCATION PARTNERS THAT SUPPORT REFORM-BASED PRACTICES IN SCIENCE, TECHNOLOGY, ENGINEERING AND MATH AT THE SCHOOL LEVEL. IT IS THIS COMMITMENT THAT MAKES NYSCI UNIQUE AMONG ITS PEERS IN THE SCIENCE CENTER WORLD. NYSCI IS PAVING THE WAY TOWARDS A NEW MODEL OF EDUCATIONAL COLLABORATION AND PARTNERSHIP THAT HAS RAISED ITS PROFILE IN NEW YORK CITY AND NATIONALLY. NYSCI IS NOW THE THIRD LARGEST MUSEUM RECIPIENT OF EDUCATION FUNDING FROM THE NATIONAL SCIENCE FOUNDATION, AND ONE OF THREE MUSEUM RECIPIENTS OF THE HIGHLY COMPETITIVE INVESTING IN INNOVATION GRANTS FROM THE U.S. DEPARTMENT OF EDUCATION. NYSCI'S VISION FOR LEARNING AND ENGAGEMENT HAS ATTRACTED A SIGNIFICANTLY BROADER PORTFOLIO OF FUNDERS - MORE THAN 50% OF FOUNDATION FUNDERS AND 30% OF CORPORATE PARTNERS ARE NEW TO THE INSTITUTION. NYSCI IS ESTABLISHING ITSELF AS A LEARNING CAMPUS - ONE THAT CONTINUES TO ENGAGE AND INSPIRE PUBLIC AUDIENCES TOTALING OVER 500,000 ANNUALLY, WHILE ALSO DEVELOPING PROGRAMS THAT TRAIN FUTURE EDUCATORS, SUPPORT THE DEEPER LEARNING OF STUDENTS, AND CONTINUE TO DELIVER INNOVATIVE PRODUCTS TO THE FIELD. FORM 990, PART VI, SECTION A, LINE 2 BOARD OF TRUSTEE MEMBER ALAN SINSHEIMER AND BOARD OF TRUSTEE MEMBER SETH DUBIN HAVE A FAMILY RELATIONSHIP. BOARD OF TRUSTEE MEMBER GEORGE CAMPBELL IS A DIRECTOR AT CON EDISON WHERE CLAUDE TRAHAN IS AN EXECUTIVE. BOARD OF TRUSTEE MEMBER STUART FISCHER IS PARTNER AT RLM FINSBURY WHICH PROVIDED COMMUNICATIONS SERVICES TO COGNIZANT WHOSE CEO IS BOARD OF TRUSTEE MEMBER FRANCISCO D'SOUZA BOARD OF TRUSTEE MEMBER KURT WOETZEL IS A CORPORATE OFFICER OF BANK OF NY MELLON ON WHOSE BOARD NYSCI BOARD OF TRUSTEE CO-CHAIR NICHOLAS DONOFRIO SERVES. FORM 990, PART VI, SECTION B, LINE 11 THE CHIEF FINANCIAL OFFICER ENGAGED AN EXTERNAL ACCOUNTING FIRM TO PREPARE FORM 990. THE FIRST DRAFT WAS REVIEWED WITH SENIOR MANAGEMENT. FORM 990 WAS THEN PROVIDED TO EACH VOTING MEMBER ELECTRONICALLY VIA EMAIL FOR REVIEW AND COMMENT BEFORE FILING. THE CHIEF FINANCIAL OFFICER COORDINATED DISTRIBUTION TO THE BOARD, AND IN CONJUNCTION WITH THE CHIEF EXECUTIVE OFFICER, RESPONDED TO COMMENTS AND QUESTIONS. FORM 990 WAS FILED AFTER REVIEW AND COMMENT BY THE BOARD. FORM 990, PART VI, SECTION B, LINE 12C NYSCI'S TRANSPARENCY POLICY INTRODUCTION THE INTERNAL REVENUE CODE IMPOSES PENALTY TAXES IF NYSCI WERE TO ENTER INTO AN EXCESS BENEFIT TRANSACTION WITH A TRUSTEE OR OFFICER OF NYSCI OR WITH ANYONE ELSE WHO, DURING THE PRIOR FIVE YEARS, HAS BEEN IN A POSITION TO EXERCISE SUBSTANTIAL INFLUENCE OVER THE AFFAIRS OF NYSCI. A SIMILAR CONCERN ABOUT CONFLICTS OF INTEREST ALSO INFORMS THE NEW YORK NOT-FOR-PROFIT LAW PROVISIONS ABOUT CONTRACTS INVOLVING NOT-FOR-PROFIT ORGANIZATIONS AND THEIR TRUSTEES AND OFFICERS. NYSCI HAS ALWAYS BEEN CAREFUL TO AVOID CONFLICTS ISSUES. NEVERTHELESS, IT IS APPROPRIATE TO SET OUT NYSCI'S POLICY IN A WRITTEN STATEMENT WHICH DRAWS FROM THE REQUIREMENTS OF FEDERAL AND STATE LAW AND ALSO FROM OTHER PRINCIPLES OF GOOD MANAGEMENT. DEFINITIONS: A PERSON WHO HAS "SUBSTANTIAL INFLUENCE OVER THE AFFAIRS OF NYSCI" MEANS EACH TRUSTEE AND EACH SENIOR OFFICER OF NYSCI INCLUDING ALL NYSCI EMPLOYEES WHO ARE AT THE LEVEL OF DIRECTOR OR ABOVE. FOR OUR PURPOSES, IT ALSO MEANS A CORPORATION IN WHICH A TRUSTEE OR A SENIOR OFFICER IS A DIRECTOR OR OFFICER OR CONTROLS AT LEAST 10% OF THE VOTING POWER AND A PARTNERSHIP IN WHICH A TRUSTEE OR A SENIOR OFFICER IS ENTITLED TO AT LEAST 10% OF THE PROFITS. WE CALL EACH OF THOSE PEOPLE AND ENTITIES AN "INFLUENTIAL PERSON." THAT ALSO INCLUDES AN INDIVIDUAL'S SPOUSE OR SIGNIFICANT OTHER, PARENTS, CHILDREN AND THEIR SPOUSES, SISTERS AND BROTHERS, AND SISTERS- AND BROTHERS-IN-LAW. AN EXCESS BENEFIT TRANSACTION IS A TRANSACTION IN WHICH NYSCI PROVIDES TO AN INFLUENTIAL PERSON AN ECONOMIC BENEFIT THAT IS WORTH MORE THAN THE GOODS OR SERVICES THAT NYSCI RECEIVES IN RETURN. THE "REVIEWER" IS THE COMMITTEE DESIGNATED BY THE CHAIRMAN TO REVIEW TRANSACTIONS THAT REQUIRE AUTHORIZATION UNDER THIS POLICY STATEMENT. REVIEW: WITHOUT FIRST RECEIVING AUTHORIZATION FROM THE REVIEWER: A) NYSCI MAY NOT DO BUSINESS WITH AN INFLUENTIAL PERSON; B) NO INFLUENTIAL PERSON MAY ACCEPT A GIFT OR LOAN (OTHER THAN A LOAN IN THE NORMAL COURSE OF THE LENDER'S BUSINESS) FROM A CONTRACTOR OR VENDOR OF NYSCI AND THAT HAS A VALUE OF MORE THAN $100; C) NYSCI MAY NOT MAKE A CONTRIBUTION TO ANY CHARITY OF WHICH AN INFLUENTIAL PERSON IS A DIRECTOR OR OFFICER; AND D) NO INFLUENTIAL PERSON MAY GIVE OR LOAN TO AN EMPLOYEE OF NYSCI, NOR MAY AN EMPLOYEE OF NYSCI GIVE OR LOAN TO AN INFLUENTIAL PERSON, MORE THAN $1,000. THE REVIEWER MAY DECLINE TO GRANT AUTHORIZATION FOR A TRANSACTION UNDER (A) ONLY IF THE REVIEWER DETERMINES THAT THE PROPOSED TRANSACTION WOULD BE AN EXCESS BENEFIT TRANSACTION. THE REVIEWER MAY DECLINE TO GRANT AUTHORIZATION FOR A TRANSACTION UNDER (B), (C), OR (D) ONLY IF THE REVIEWER DETERMINES THAT THE PROPOSED TRANSACTION WOULD BE INIMICAL, OR MAY BE SEEN TO BE INIMICAL, TO RESPONSIBLE MANAGEMENT OF NYSCI. LARGE CONTRACTS: BEFORE NYSCI ENTERS INTO ANY AGREEMENT FOR MORE THAN $100,000, IT SHALL NOTIFY THE REVIEWER OF THE NATURE OF THE AGREEMENT AND THE NAME OF THE OTHER PARTY AND FURNISH WHATEVER INFORMATION IT HAS IN ITS POSSESSION ABOUT THE OWNERSHIP AND CONTROL OF THE OTHER PARTY. THE REVIEWER SHALL BE DEEMED TO HAVE AUTHORIZED NYSCI TO ENTER INTO THE AGREEMENT UNLESS IT NOTIFIES NYSCI WITHIN SEVEN DAYS THAT THE AGREEMENT CONTEMPLATES A TRANSACTION THAT, BY REASONS OF THE IDENTITY OF THE PARTIES, REQUIRES FURTHER REVIEW UNDER THIS POLICY STATEMENT. NOTIFICATION: EACH INFLUENTIAL PERSON MUST NOTIFY THE REVIEWER UPON BECOMING AWARE THAT NYSCI IS DOING BUSINESS, OR IS CONSIDERING DOING BUSINESS, WITH THAT INFLUENTIAL PERSON. IN ADDITION, ONCE EACH YEAR AT A TIME DESIGNATED BY THE CHAIRMAN, EACH INFLUENTIAL PERSON SHALL SUBMIT TO THE REVIEWER A COMPLETED QUESTIONNAIRE IN THE FORM ATTACHED TO THIS POLICY STATEMENT. REPETITIVE BUSINESS: IN THE EVENT THAT AN INFLUENTIAL PERSON AND NYSCI EXPECT TO ENGAGE IN REPETITIVE BUSINESS, THE REVIEWER MAY PROSPECTIVELY AUTHORIZE THE CONDUCT OF THAT BUSINESS ON TERMS THAT THE REVIEWER CONSIDERS APPROPRIATE. NO FURTHER AUTHORIZATION FOR THAT REPETITIVE BUSINESS SHALL BE REQUIRED SO LONG AS THE INFLUENTIAL PERSON AND NYSCI COMPLY WITH THE TERMS SET BY THE REVIEWER. THE REVIEWER MAY REVOKE A PROSPECTIVE AUTHORIZATION AT ANY TIME. RECONSIDERATION: IF THE REVIEWER DECLINES TO AUTHORIZE ANY TRANSACTION THAT REQUIRES AUTHORIZATION UNDER THIS POLICY STATEMENT, ANY PARTY TO THAT TRANSACTION MAY SUBMIT THE MATTER TO THE BOARD OF TRUSTEES OR THE EXECUTIVE COMMITTEE OF THE BOARD FOR RECONSIDERATION. THE RELEVANT INFLUENTIAL PERSON MAY NOT VOTE ON THAT MATTER AS A TRUSTEE OR MEMBER OF THE EXECUTIVE COMMITTEE. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR THE CEO IS REVIEWED AND APPROVED BY THE BOARD OF TRUSTEES, PROVIDED THAT PERSONS WITH POTIENTIAL CONFLICT OF INTEREST WITH RESPECT TO THE COMPENSATION ARRANGEMENTS DO NOT PARTICIPATE. THE BOARD USES APPROPRIATE AND ADEQUATE DATA TO DETERMINE THE REASONABLENESS OF THE COMPENSATION BEING CONSIDERED AGAINST INDUSTRY STANDARDS. FOR KEY EMPLOYEES, THE CEO USES INDUSTRY STANDARDS SUBSTANTIATED BY APPROPRIATE DATA SUCH AS COMPENSATION SURVEYS, PERFORMANCE REVIEWS, AND A CONSIDERATION OF EQUITY AND PARITY WITHIN THE ORGANIZATION. THE COMPENSATION REVIEW PROCESS WAS LAST UNDERTAKEN FOR THE CEO AND KEY EMPLOYEES IN THE YEARS LISTED BELOW: PRESIDENT & CEO: 2011 DIRECTOR & CHIEF CONTENT OFFICER: 2008 CHIEF FINANCIAL OFFICER: 2011 EXECUTIVE VP & COO: 2011 VP INSTITUTIONAL ADVANCEMENT: 2011 VP EXTERNAL AFFAIRS: 2011 FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY HAVE NEVER BEEN REQUESTED AND HAVE NOT BEEN MADE READILY AVAILABLE TO THE PUBLIC. FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. HARD COPIES ARE PROVIDED WITH A CHARGE TO THE RECIPIENT FOR POSTAGE. ELECTRONIC COPIES IN PDF FORMAT ARE PROVIDED FOR FREE. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -120,877. FORM 990, PART XII, LINE 2C THERE HAVE BEEN NO CHANGES IN THE OVERSIGHT PROCESS OF THE AUDIT OF NYSCI'S FINANCIAL STATEMENTS OR IN THE SELECTION PROCESS OF AN INDEPENDENT ACCOUNTANT WITHIN THIS TAX YEAR.