2013-09-12T17:00:23-05:00 2012-12-31 201776739 JPMS COX PLLC 11300 CANTRELL ROAD SUITE 301 LITTLE ROCK AR 72212 990 2012-01-01 710603560 WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT WINR 5012803000 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 MIKE MYERS 5012803030 2013-09-10 1 MARY ELLEN VANGILDER P00626271 5012275800 2013-09-04 2012 2016-02-24 21:20:13Z MIKE MYERS 2101 RIVERFRONT DR LITTLE ROCK AR 72202 89737904 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. 14 12 247 207 0 -78855 90284462 82405010 0 0 1199158 1641955 0 0 91483620 84046965 6000 15000 0 0 37611819 40365939 0 0 0 53192709 44814820 90810528 85195759 673092 -1148794 92933121 94899147 36943262 36883533 55989859 58015614 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 75512150 2243009 SEE ABOVE STATEMENT OF EXEMPT PURPOSE 75512150 1 1 0 1 0 0 0 0 0 1 1 1 1 0 1 0 1 0 0 1 1 0 1 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 X 178 0 247 1 0 1 BG BR CB UV CH IV ES GG GH ID KE KG LI ML MD NP NG NI PK RP SG SF SU TI TZ VM UG AF CG RW MI PE TH ET GV MK ZA 0 0 0 0 0 0 0 0 X 14 12 1 0 1 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 FRANK TUGWELL 40.00 X X 463835 0 33178 WILLIAM KETCHAM 1.00 X 0 0 0 ELIZABETH CAMPBELL 1.00 X X 0 0 0 BROOKS BROWNE 1.00 X 0 0 0 WILLIAM P FULLER 1.00 X X 0 0 0 NEVA GOODWIN 1.00 X 0 0 0 DAVID KAISER 1.00 X 0 0 0 PETER O'NEILL 1.00 X 0 0 0 PAUL SAVAGE 1.00 X 0 0 0 TADE AKIN AINA 1.00 X 0 0 0 JOYCE CACHO 1.00 X 0 0 0 WILLIAM M BUMPERS 1.00 X 0 0 0 MELISSA S DANN 1.00 X 0 0 0 F BRONSON VAN WYCK 1.00 X 0 0 0 PATTY ALLISON 40.00 X 97820 0 14506 MIKE MYERS 40.00 X 208621 0 31289 AMY CARRASQUILLO 40.00 X 71076 0 18318 RONNIE J HUBBARD 40.00 X 248316 0 29754 MARK TRIBBLE 40.00 X 278445 0 48388 DARRELL DEPPERT 40.00 X 238350 0 30272 RUSSELL BROWN 40.00 X 281012 0 33368 WILLIAM HOWLEY 40.00 X 237128 0 33043 MARY HARRIS 40.00 X 235658 0 24375 2360261 0 296491 63 0 1 0 SAASAN SAATCHI 1106 HAUSER BLVD LOS ANGELES CA 90019 CONSULTING 140000 NEW MEXICO STATE UNIVERSITY PO BOX 30002 LAS CRUCES NM 88003 SUBCONTRACT SVCS 122407 TAFT STETTINIUS & HOLLISTER 40 N MAIN ST STE 1700 DAYTON OH 45423 LEGAL COUNSEL 116075 ROCKEFELLER FINANCIAL 10 ROCKEFELLER PLAZA NEW YORK NY 10112 INVESTMENT MGMT 107906 4 70310680 12094330 82405010 705004 705004 4515540 2112350 4426431 1264508 89109 847842 936951 936951 84046965 0 0 1641955 15000 15000 1216711 1216711 37021468 31139039 5882429 2127760 2127760 429383 190249 239134 3832777 3356619 476158 2362110 1964282 397828 2596963 2328760 268203 7598194 7138104 460090 683901 666161 17740 657565 657565 416877 339207 77670 SUBCONTRACTS 14665991 14665991 PROCUREMENT 4086650 4086650 FELLOWSHIPS 2324573 2324169 404 VEHICLES 1516218 1512420 3798 3643618 2441028 1202590 85195759 75512150 9683609 0 6986707 9636073 729545 1135247 108350 65726 14979596 13398601 480533 382743 13127427 4190652 9332954 8936775 44047309 46127135 16200751 15203893 67376 12954 92933121 94899147 9936880 9688009 19582751 19984079 5010000 4885000 2413631 2326445 36943262 36883533 X 45565840 47635606 10424019 10380008 55989859 58015614 92933121 94899147 -1148794 3174549 0 X 0 1 X 1 1 1 X 58945999 66316291 80621487 90284462 82405010 378573249 58945999 66316291 80621487 90284462 82405010 378573249 378573249 788394 683233 1025128 792109 705004 3993868 12712 9069 21781 382588898 0.98950 0.98720 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 95457 0 0 0 0 0 0 0 0 1 95457 95457 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: $13,150 - PAID TO LOBBYIST TO GAIN CONGRESSIONAL SUPPORT FOR THE REAUTHORIZATION OF THE FARMER-TO-FARMER PROGRAM IN THE 2012 FARM BILL $81,813 - PAID TO REGISTERED LOBBYING COMPANY TO SEEK STATE/FEDERAL FUNDING AS WELL AS CORPORATE AND PRIVATE FUNDING IN THE SOUTHERN USA $494 - 1.3% OF DUES PAID TO INTERACTION ATTRIBUTABLE TO LOBBYING ACTIVITIES 5207453 -29441 577645 37785 5717872 5229410 -41043 116878 61272 36520 5207453 4699133 69298 540815 79836 5229410 4113663 132700 550636 97866 4699133 5373177 111652 -1349300 -21866 4113663 1.00000 0.00000 0.00000 1 0 1377444 1377444 7216774 2156310 5060464 1848433 450260 1398173 2053233 1323386 729847 631543 260696 370847 8936775 EQUITY SECURITIES & MUTUAL FUNDS 25938287 F LIMITED PARTNERSHIPS 15301059 F OTHER INVESTMENTS 405465 F REAL ESTATE 4482324 F 46127135 INVESTMENTS - PROJECT ADVANCE 15203893 F 15203893 DEFERRED RENT & OTHER LIABILITIES 2326445 2326445 87221514 3174549 3174549 84046965 0 84046965 85195759 0 85195759 0 85195759 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 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: WINROCK INTERNATIONAL IMPLEMENTS PROJECTS IN APPROXIMATELY 60 COUNTRIES WORLD-WIDE. WINROCK PROJECTS ARE FUNDED BY BOTH DOMESTIC AND INTERNATIONAL FUNDERS, WITH 81% OF FUNDING PROVIDED BY THE U.S. FEDERAL GOVERNMENT IN 2012. 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 0 1 X X X 1 0 0 0 0 0 0 0 0 FRANK TUGWELL 413835 0 50000 0 0 0 25000 0 8178 0 497013 0 0 0 MIKE MYERS 170621 0 38000 0 0 0 16830 0 14459 0 239910 0 0 0 RONNIE J HUBBARD 201816 0 46500 0 0 0 19380 0 10374 0 278070 0 0 0 MARK TRIBBLE 178613 0 7400 0 92432 0 14838 0 33550 0 326833 0 0 0 DARRELL DEPPERT 171968 0 20000 0 46382 0 16683 0 13589 0 268622 0 0 0 RUSSELL BROWN 175642 0 0 0 105370 0 15616 0 17752 0 314380 0 0 0 WILLIAM HOWLEY 193128 0 44000 0 0 0 19169 0 13874 0 270171 0 0 0 MARY HARRIS 191658 0 44000 0 0 0 18408 0 5967 0 260033 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. PART I, LINE 1B WINROCK INTERNATIONAL FOLLOWED A WRITTEN POLICY REGARDING PAYMENT OR REIMBURSEMENT OR PROVISION FOR ALL EXPENSES LISTED IN PART 1 WITH THE EXCEPTION OF THE FOLLOWING: - GROSS-UP PAYMENTS: WINROCK INTERNATIONAL'S RETIREMENT BENEFIT PLAN PAYS EACH EMPLOYEE 10% OF THEIR BASE SALARY INTO THEIR SELECTED RETIREMENT ACCOUNT. THESE 403B PLANS ARE SUBJECT TO ANNUAL CONTRIBUTION LIMITS. IF THE 10% CONTRIBUTION FOR AN EMPLOYEE IS OVER THE MAXIMUM ALLOWED, WINROCK INTERNATIONAL WILL GROSS-UP A PAYMENT TO THE EMPLOYEE WHERE THE NET CHECK IS EQUAL TO THE AMOUNT THAT WOULD HAVE BEEN CONTRIBUTED TO THEIR RETIREMENT ACCOUNT. PART I, LINE 4A A SEVERANCE PAYMENT OF $30,000 WAS PAID TO RUSSELL BROWN IN 2012. 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 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 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 PETER O'NEILL BOARD MEMBER SEE BELOW 0 MR. O'NEILL IS ON THE WINROCK BOARD OF DIRECTORS AND THE ROCKEFELLER FINANCIAL BOARD OF DIRECTORS AS WELL. MR. O'NEILL RECEIVED NO DIRECT COMPENSATION FROM PAYMENTS MADE FROM WINROCK TO ROCKEFELLER FINANCIAL FOR CONSULTING. MR. O'NEILL'S ACTIVITIES WERE LIMITED TO UNPAID BOARD POSITIONS. FORM 990, PART VI, SECTION A, LINE 2 NEVA GOODWIN AND DAVID KAISER, WHO BOTH SERVE AS DIRECTORS, ARE MOTHER AND SON. PETER O'NEILL IS A COUSIN TO BOTH NEVA GOODWIN AND DAVID KAISER. FORM 990, PART VI, SECTION A, LINE 4 THE ARTICLES OF INCORPORATION WERE UPDATED TO REFLECT CHANGES IN REGISTERED AGENT AND BOARD SECRETARY. 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 MANAGEMENT, KEY EMPLOYEES, AND MEMBERS OF THE BOARD OF DIRECTORS. 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).