2013-02-14T14:12:38-06:00 2012-06-30 952835976 MACFARLANE FALETTI & CO LLP 115 E MICHELTORENA ST 200 SANTA BARBARA CA 93101 990 2011-07-01 952104089 SANTA BARBARA SYMPHONY ORCHESTRA ASSOCIATION SANT 8058989386 1330 STATE STREET SANTA BARBARA CA 93101 DAVID GROSSMAN 8058989386 2013-02-13 1 MACFARLANE FALETTI CO LLP P00161999 8059664157 2011 2016-02-25 16:41:14Z DAVID GROSSMAN 1330 STATE STREET SANTA BARBARA CA 93101 2829693 0 X HTTP://WWW.THESYMPHONY.ORG X 1953 CA THE ORGANIZATION PROVIDES PERFORMANCES OF CLASSICAL MUSIC TO THE RESIDENTS OF THE COMMUNITY AND EDUCATIONAL SERVICES TO THE YOUTH. 29 29 189 200 0 0 2031962 1955566 861476 834789 7896 8681 31373 22701 2932707 2821737 275000 0 0 0 1565589 1678220 0 0 229379 1008261 875930 2848850 2554150 83857 267587 1273438 1553393 465931 478299 807507 1075094 TO BE A HIGHLY RESPECTED SYMPHONY ORCHESTRA, PERFORMING GREAT WORKS WITH PASSION AND EXCELLENCE. TO BE AN INDISPENSABLE PARTNER TO OUR COMMUNITY, PROVIDING ENRICHMENT THROUGH INSPIRING CONCERTS, MUSIC EDUCATION PROGRAMS AND ACCESS FOR ALL. 0 0 1490620 737544 SEASON PROGRAM: SUBSCRIPTION CONCERTS, SERIES OF (7) EVENING & (7) MATINEE PERFORMANCES, WITH COMBINED ATTENDANCE OF APPROXIMATELY 13,900 PEOPLE. 78454 98776 ANNUAL CONCERTS: NEW YEAR'S EVE CONCERT HAD AN AUDIENCE OF APPROXIMATELY 1,250 PEOPLE. 392268 12881 EDUCATION PROGRAM - FREE PROGRAMS FOR STUDENTS IN GRADES 4-6 THAT INTRODUCE STUDENTS TO THE INSTRUMENTS AND THE ORCHESTRA - WITH A MUSIC VAN THAT VISITS SCHOOLS AND CONCERTS FOR YOUNG PEOPLE. LOW COST OR FREE PROGRAMS FOR STUDENTS AGED 9-20 TO PERFORM WITH OTHERS IN A GROUP SETTING - STRING WORKSHOP, JUNIOR STRINGS, YOUTH SYMPHONY. FREE SCHOOL DEMONSTRATION FROM GUEST ARTISTS THAT ARE PERFORMING WITH THE ORCHESTRA. ALL OF THESE PROGRAMS COMBINE TO REACH OVER 4,500 YOUNG PEOPLE IN SANTA BARBARA COUNTY. 1961342 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 7 0 1 189 1 0 0 0 0 0 1 1 0 0 0 0 X 29 29 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X S B SYMPHONY ORCHESTRA ASSOC 8058989386 1330 STATE STREET SANTA BARBARA CA 93101 PAKSY PLACKIS-CHENG 1.00 X X 0 0 0 PATRICIA GREGORY 1.00 X 0 0 0 MICHAEL SHASBERGER 1.00 X 0 0 0 HOWARD SIMON 1.00 X 0 0 0 MARLYN BERNARD BERNSTEIN 1.00 X 0 0 0 DIANE CALVERT 1.00 X 0 0 0 JOHN MATUSZESKI 1.00 X 0 0 0 ARTHUR SWALLEY 1.00 X X 0 0 0 MARY ELLEN TIFFANY 1.00 X 0 0 0 GAYLE BEEBE 1.00 X 0 0 0 DAVID BOHN 1.00 X 0 0 0 KAREN KERNS 1.00 X 0 0 0 ART KVAAS 1.00 X 0 0 0 STEFAN RIESENFELD 1.00 X X 0 0 0 GENE SINSER 1.00 X X 0 0 0 LINDA CHERESH 1.00 X 0 0 0 DAVID CHERNOF 1.00 X X 0 0 0 STEPHEN ERICKSON 1.00 X 0 0 0 JAMEY MARTH 1.00 X 0 0 0 JANET MCGINNIS 1.00 X 0 0 0 RICHARD MEYERS 1.00 X 0 0 0 BRETT C MOORE 1.00 X 0 0 0 SALLY NAZERIAN 1.00 X 0 0 0 H WALLACE VANDEVER 1.00 X 0 0 0 MILTON WARSHAW 1.00 X 0 0 0 FREEMAN GOSDEN JR 1.00 X 0 0 0 JON GREENLEAF 1.00 X 0 0 0 PETER SCHLUEER 1.00 X 0 0 0 FRED WUDL 1.00 X 0 0 0 NIR KABARETTI 1.00 X 0 0 0 DAVID GROSSMAN 40.00 X 87231 0 17720 DALE MCMURRAY 40.00 X 4000 0 0 91231 0 17720 0 0 0 0 0 725 186266 1768575 17781 1955566 CONCERT TICKET SALES 711130 763108 763108 ADVERTISING 711130 58800 58800 TUITION 711130 12881 12881 834789 8681 8681 16245 725 7956 8289 8289 2000 0 2000 2000 MISCELLANEOUS INCOME 711130 12412 12412 12412 2821737 849201 0 16970 202067 66227 86170 49670 1218604 1080610 38566 99428 83172 77818 3539 1815 65092 53849 4251 6992 109285 90288 7976 11021 215 215 12650 12650 80300 30329 49096 875 147513 147093 420 108292 43590 46080 18622 79601 19900 59701 6196 5831 323 42 27402 1247 25398 757 6473 6473 14205 1921 12284 CONCERT 211497 211497 STAGING & BOX OFFICE 65096 65096 EQUIPMENT RENTAL & MAIN 42354 31647 10707 DEVELOPMENT 39737 39737 34399 34399 2554150 1961342 363429 229379 35220 281066 894810 411052 31825 503825 59600 34598 38294 132141 121992 15570 10149 201815 309007 1273438 1553393 32113 40337 433818 437962 465931 478299 X 742517 437224 64990 637870 807507 1075094 1273438 1553393 267587 0 X X 0 1 1 X 0 X 1682082 2010013 1974145 2102199 1966191 9734630 851952 914469 1003076 914259 853759 4537515 2534034 2924482 2977221 3016458 2819950 14272145 227663 183004 213005 161481 127750 912903 131454 206597 176080 735535 399686 1649352 359117 389601 389085 897016 527436 2562255 11709890 18010 8713 13327 7896 8681 56627 18010 8713 13327 7896 8681 56627 18876 14696 17856 6985 12412 70825 2570920 2947891 3008404 3031339 2841043 14399597 0.81320 0.83020 0.00390 0.00480 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 226887 226887 203637 181497 158247 226887 202430 203637 202430 203637 1 108266 98117 10149 23875 23875 0 10149 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: SANTA BARBARA SYMPHONY ORCHESTRA ASSOCIATION IS UNAWARE OF ANY UNCERTAIN TAX POSITIONS AT JUNE 30, 2012, OR FOR ANY PERIOD FOR WHICH THE STATUTE OF LIMITATIONS IS STILL OPEN. LEAGUE BENEFIT EVENT 16970 725 16245 4674 3282 16970 725 16245 4674 3282 7956 8289 FORM 990, PART VI, SECTION B, LINE 11 THE 990 WILL BE REVIEWED BY THE FINANCE COMMITTEE AND AUDIT COMMITTEE. AFTER THE APPROVAL OF THE 990 BY THE FINANCE & AUDIT COMMITTEES, IT WILL BE PRESENTED TO THE BOARD OF DIRECTORS FOR ANY COMMENTS AND QUESTIONS PRIOR TO ITS FILING. FORM 990, PART VI, SECTION B, LINE 12C THE SYMPHONY HAS BOTH A WRITTEN CONFLICT OF INTEREST POLICY AND AN ANNUAL DISCLOSURE OF CONFLICTS. THE GOVERNANCE COMMITTEE OF THE BOARD OVERSEES DISTRIBUTION OF THE POLICY TO NEW BOARD MEMBERS AND THE COLLECTION OF ANNUAL DISCLOSURES OF CONFLICT OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 ONCE A YEAR, JULY 1ST, COMPENSATION FOR THE EXECUTIVE DIRECTOR AND OTHER EMPLOYEES IS REVIEWED BY THE HUMAN RESOURCES (HR) COMMITTEE. THE HR COMMITTEE DOES A SURVEY WITH THE NON-PROFIT LEAGUE AND THE AMERICAN MUSICIAN ORCHESTRA LEAGUE REGARDING COMPENSATION. UPON THEIR RECOMMENDATION FOR AN INCREASE IN COMPENSATION, COMPENSATION WILL BE APPROVED BY THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING FORMS ARE AVAILABLE FOR INSPECTION AT THE OFFICES OF THE SYMPHONY DURING REGULAR BUSINESS HOURS, SUBJECT TO AN APPOINTMENT MADE THROUGH THE MANAGING DIRECTOR'S OFFICE. RESPONISBILITY FOR CHOOSING AN INDEPENDENT AUDITOR AND AUDITED F/S FORM 990, PART XI, LINE 2C THE FINANCE AND AUDIT COMMITTEES REVIEW THE AUDITED FINANCIAL STATEMENTS AND 990 THEN PRESENTS THEM TO THE BOARD OF DIRECTORS. THE AUDIT COMMITTEE RECOMMENDS INDEPENDENT AUDITORS AND THE BOARD OF DIRECTORS CHOOSES THE AUDITOR. THE PROCESS HAS NOT CHANGED SINCE THE PRIOR YEAR. EXECUTIVE COMMITTEE FORM 990, PART VI, SECTION A THE EXECUTIVE COMMITTEE CONSISTS OF: STEFAN RIESENFELD, PAKSY PLACKIS-CHENG, DAVID CHERNOF, HOWARD SIMON, JANET MCGINNIS, JOHN MATUSZESKI, ARTHUR SWALLEY, GENE SINSER AND KAREN KERNS. ALL EXECUTIVE COMMITTEE MEMBERS ARE ON THE GOVERNING BOARD. WITHIN LIMITS, IF ANY, AS MAY BE SET BY RESOLUTION OF THE BOARD FROM TIME TO TIME, THE EXECUTIVE COMMITTEE IS SPECIFICALLY DELEGATED THE AUTHORITY OF THE BOARD TO ACT ON BEHALF OF THE BOARD ON MATTERS REQUIRING BOARD ACTION BETWEEN REGULARLY SCHEDULED MEETINGS AND WHEN THE BOARD CANNOT PRACTICALLY BE CONVENED. THE EXECUTIVE COMMITTEE SHALL EXERCISE THIS AUTHORITY JUDICIOUSLY AND WITH RESTRAINT. THE EXECUTIVE COMMITTEE SHALL REVIEW THE WORK OF THE BOARD COMMITTEES, APPROVE THE AGENDA FOR BOARD MEETINGS AND MONITOR THE ASSOCIATION'S LONG-RANGE AND STRATEGIC PLANS AND MAKE RECOMMENDATIONS TO THE BOARD BASED UPON ITS ONGOING REVIEW AS IT DEEMS APPROPRIATE. THE EXECUTIVE COMMITTEE SHALL ALSO HAVE THE RESPONSIBILITY TO SERVE AS COUNSEL TO THE EXECUTIVE DIRECTOR AS HE OR SHE MAY REQUEST. THE EXECUTIVE COMMITTEE MET 12 TIMES DURING THE YEAR BEFORE THE MONTHLY BOARD MEETING. SANTA BARBARA SYMPHONY ENDOWMENT TRUST 1330 STATE STREET SANTA BARBARA CA 93101 956542234 MANAGES CONTRIBUTIONS TO PROVIDE GENERAL SUPPORT FOR THE SYMPHONY CA 501(C)3 LINE 11A, I SANTA BARBARA SYMPHONY ORCHESTRA ASSOCIATION 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 SANTA BARBARA SYMPHONY ENDOWMENT TRUST C 186266 PERCENTAGE OF INVESTMENTS