2013-05-14T13:26:49-05:00 2012-06-30 990 2011-07-01 310734115 OCLC ONLINE COMPUTER LIBRARY CENTER INC OCLC 6147646000 6565 KILGOUR PLACE DUBLIN OH 43017 RICK J SCHWIETERMAN 6147646000 2013-05-14 2011 2016-02-25 16:41:14Z RICK J SCHWIETERMAN 6565 KILGOUR PLACE DUBLIN OH 43017 391642150 0 X OCLC.ORG X 1967 OH ESTABLISH, MAINTAIN AND OPERATE A COMPUTERIZED LIBRARY NETWORK AND TO (CONTINUED ON SCHEDULE O) PROMOTE THE EVOLUTION OF LIBRARY USE, OF LIBRARIES THEMSELVES AND OF LIBRARIANSHIP, AND TO PROVIDE PROCESSES AND PRODUCTS FOR THE BENEFIT OF LIBRARY USERS AND LIBRARIES, INCLUDING SUCH OBJECTIVES AS INCREASING AVAILABILITY OF LIBRARY RESOURCES TO INDIVIDUAL LIBRARY PATRONS AND REDUCING THE RATE-OF-RISE OF LIBRARY PER-UNIT COSTS, ALL FOR THE FUNDAMENTAL PUBLIC PURPOSE OF FURTHERING EASE OF ACCESS TO AND USE OF THE EVER-EXPANDING BODY OF WORLDWIDE SCIENTIFIC, LITERARY AND EDUCATIONAL KNOWLEDGE AND INFORMATION. 16 15 951 0 84657 75291 2538297 1695065 169378044 165038864 19843398 19007687 3334081 2366902 195093820 188108518 192395 183611 0 0 90665977 85825322 0 0 0 93479001 91083664 184337373 177092597 10756447 11015921 366090416 351228746 126428063 114545032 239662353 236683714 X ESTABLISH, MAINTAIN AND OPERATE A COMPUTERIZED LIBRARY NETWORK AND TO PROMOTE THE EVOLUTION OF LIBRARY USE, OF LIBRARIES THEMSELVES AND OF LIBRARIANSHIP, AND TO PROVIDE PROCESSES AND PRODUCTS FOR THE BENEFIT OF LIBRARY USERS AND LIBRARIES, INCLUDING SUCH OBJECTIVES AS INCREASING AVAILABILITY OF LIBRARY RESOURCES TO INDIVIDUAL LIBRARY PATRONS AND REDUCING THE RATE-OF-RISE OF LIBRARY PER-UNIT COSTS, ALL FOR THE FUNDAMENTAL PUBLIC PURPOSE OF FURTHERING EASE OF ACCESS TO AND USE OF THE EVER-EXPANDING BODY OF WORLDWIDE SCIENTIFIC, LITERARY AND EDUCATIONAL KNOWLEDGE AND INFORMATION. 0 0 162871146 165710117 OCLC ONLINE COMPUTER LIBRARY CENTER IS A NONPROFIT MEMBERSHIP, COMPUTER LIBRARY SERVICE AND RESEARCH COOPERATIVE DEDICATED TO THE PUBLIC PURPOSES OF FURTHERING ACCESS TO THE WORLD'S INFORMATION AND REDUCING LIBRARY COSTS. IT WAS FOUNDED IN 1967 BY THE OHIO COLLEGE ASSOCIATION AND INITIALLY PROVIDED SERVICES TO 54 OHIO ACADEMIC LIBRARIES. SINCE THEN, OVER 74,000 LIBRARIES IN 170 COUNTRIES HAVE USED OCLC SERVICES TO LOCATE, ACQUIRE, CATALOG, LEND, PRESERVE AND MANAGE LIBRARY MATERIALS. RESEARCHERS, STUDENTS, FACULTY, SCHOLARS, PROFESSIONAL LIBRARIANS AND OTHER INFORMATION SEEKERS USE OCLC SERVICES TO OBTAIN BIBLIOGRAPHIC, ABSTRACT AND FULL-TEXT INFORMATION WHEN AND WHERE THEY NEED IT.OCLC AND ITS MEMBER LIBRARIES COOPERATIVELY PRODUCE AND MAINTAIN THE WORLDCAT BIBLIOGRAPHIC DATABASE. WORLDCAT IS ESSENTIALLY THE MERGED CATALOGS OF PARTICIPATING LIBRARIES AROUND THE WORLD. EACH RECORD IN THIS DATABASE DESCRIBES A SINGLE ITEM OR WORK AND A LIST OF INSTITUTIONS THAT HOLD THE ITEM. SINCE 1971, LIBRARIES HAVE CONTRIBUTED OVER 273 MILLION RECORDS AND MORE THAN 1.8 BILLION LOCATION LISTINGS TO THE DATABASE, WHICH SPANS MORE THAN 6,000 YEARS OF RECORDED KNOWLEDGE AND GROWS STEADILY, A NEW RECORD IS ADDED EVERY SECOND. LIBRARIES USE WORLDCAT FOR CATALOGING, ACQUISITIONS, INTERLIBRARY LOAN AND REFERENCE. THE GENERAL PUBLIC CAN NOW ACCESS WORLDCAT FROM THE INTERNET AND BE DIRECTED TO INDIVIDUAL LIBRARY CATALOGS FROM THEIR SEARCHES.IN 2011, OCLC BEGAN PROVIDING ITS NEW WORLDSHARE MANAGEMENT SERVICES, AN INTEGRATED SYSTEM OF LIBRARY SERVICES PROVIDED IN THE INTERNET CLOUD. ALL OCLC SERVICES ARE DESIGNED TO INCREASE THE AVAILABILITY OF LIBRARY RESOURCES AND LOWER THE RATE OF RISE OF LIBRARY COSTS. FOR THE FISCAL YEAR ENDED JUNE 30, 2012, LIBRARIES USED OCLC SERVICES TO:CATALOG 423.9 MILLION ITEMS ONLINE AND VIA BATCHLOAD ADD 37.9 MILLION RECORDS TO THE WORLDCAT DATABASEARRANGE 9.2 MILLION INTERLIBRARY LOANSPERFORM 58 MILLION END-USER REFERENCE SEARCHES ON THE OCLC FIRSTSEARCH SERVICEPERFORM 231.3 MILLION CLICK-THROUGHS FROM PARTNER SITES ON THE WEB TO THE WORLDCAT.ORG LANDING PAGEADD 21.7 MILLION RECORDS TO WORLDCAT FOR DIGITAL OBJECTS VIATHE WORLDCAT DIGITAL COLLECTION GATEWAY.IN ADDITION, OCLC PUBLISHES THE DEWEY DECIMAL CLASSIFICATION, THE WORLD'S MOST WIDELY USED LIBRARY CLASSIFICATION SYSTEM. NOW IN ITS 23RD EDITION SINCE IT WAS FIRST PUBLISHED IN 1876, THE CLASSFICIATION IS USED BY MORE THAN 200,000 LIBRARIES IN 138 COUNTRIES.OCLC RESEARCH IS ONE OF THE WORLD'S LEADING ORGANIZATIONS DEDICATED TO EXPLORING INNOVATIVE USES OF LIBRARY DATA AND INFORMATION SYSTEM TECHNOLOGY, FOR THE PUBLIC PURPOSES OF PROMOTING THE EVOLUTION OF LIBRARY USE, OF LIBRARIES THEMSELVES, AND OF LIBRARIANSHIP. THAT EFFORT INCLUDES THE OCLC RESEARCH LIBRARY PARTNERSHIP, WHICH PROVIDES A VENUE FOR RESEARCH INSTITUTIONS TO ENGAGE WITH OCLC TO WORK COOPERATIVELY ON MAKING OPERATIONAL PROCESSES MORE EFFICIENT AND SHAPING NEW SCHOLARLY SERVICES BY DIRECTLY ENGAGING SENIOR MANAGERS. CURRENTLY, THERE ARE 160 MEMBERS IN THE PARTNERSHIP.OCLC IS ONE OF THE FOUNDING ORGANIZATIONS OF THE VIRTUAL INTERNATIONAL AUTHORITY FILE CONSORTIUM, A COOPERATIVE UNDERTAKING OF 20 NATIONAL LIBRARIES AND OTHER ORGANIZATIONS IN 16 COUNTRIES. VIAF COMBINES MULTIPLE NAME AUTHORITY FILES INTO A SINGLE NAME AUTHORITY SERVICE. 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THIS IS NOW CODIFIED AS ACCOUNTING STANDARDS CODIFICATION (ASC) 740-10. THE TEXT OF THE FOOTNOTE IN OCLC'S CONSOLIDATED FINANCIAL STATEMENTS AS AUDITED BY OCLC'S INDEPENDENT AUDITOR, DELOITTE & TOUCHE, IS AS FOLLOWS: OCLC EVALUATED ITS TAX POSITIONS AT JUNE 30, 2012 AND 2011, IN ACCORDANCE WITH ASC 740-10. BASED ON THIS EVALUATION, OCLC DETERMINED THAT THERE WAS NO MATERIAL IMPACT TO THE CORPORATION'S CONSOLIDATED FINANCIAL STATEMENTS AS A RESULT OF THE ADOPTION OF ASC 740-10. 1 EAST ASIA AND THE PACIFIC 1 4 PROGRAM SERVICES REPRESENTATIVE OFFICE PROVIDING INFORMATION ABOUT OCLC SERVICES TO LIBRARIES IN CHINA 195970 NORTH AMERICA (OUTSIDE USA) 2 8 PROGRAM SERVICES OFFICES PROVIDING INFORMATION ABOUT OCLC SERVICES TO LIBRARIES 1032174 NORTH AMERICA (OUTSIDE USA) 1 34 PROGRAM SERVICES PROVIDING TECHNICAL SERVICES TO LIBRARIES 2542204 EAST ASIA AND THE PACIFIC 0 0 ONE TRUSTEE ATTENDED AN OCLC REGIONAL COUNCILMEETING 1000 EUROPE 0 0 TWO TRUSTEES ATTENDEDAN OCLC REGIONAL COUNCIL MEETING 3000 EAST ASIA AND THE PACIFIC 0 0 GOVERNANCE (REGIONAL COUNCIL MEETING) 10000 EUROPE 0 0 GOVERNANCE (REGIONAL COUNCIL MEETING) 118000 SEE SCHEDULE R FOR EXCLUDED AFFILIATES OUTSIDE THE US 4 46 0 0 4 46 3902348 0 3902348 NORTH AMERICA LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT 14362 CHECK NORTH AMERICA OPERATING SUPPORT FOR UNIVERSITY CONFERENCES 7020 CHECK EUROPE (INCLUDING ICELAND & GREENLAND) LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT 15000 CHECK 3 FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES SUB-SAHARAN AFRICA 3 1200 CASH STIPEND OF $100 PER WEEK 23310 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED FELLOWSHIPS FOR EDUCATIONAL PROGRAM FOR EARLY CAREER LIBRARIANS FROM DEVELOPING COUNTRIES SOUTH ASIA 2 800 CASH STIPEND OF $100 PER WEEK 16219 TRAVEL, LODGING AND MEALS TO VISIT OCLC'S OFFICES IN THE US AND VARIOUS LIBRARIES IN THE US SO THAT THEY CAN OBSERVE AND LEARN ABOUT LIBRARY OPERATIONS IN OTHER COUNTRIES AS WELL AS GOVERNANCE MODELS FOR INTERNATIONAL LIBRARY COOPERATION ACTUAL COSTS EXPENDED 0 0 1 1 0 1 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: OCLC PROVIDED A GRANT TO HELP UNDERWRITE THE COST OF A UNESCO CONFERENCE SPONSORED BY A UNIVERSITY OUTSIDE THE UNITED STATES. IN ADDITION, OCLC PROVIDED LIBRARY AND INFORMATION SCIENCE RESEARCH GRANTS TO TWO LIBRARIES OUTSIDE THE UNITED STATES. THE GRANTEES ARE REQUIRED TO FURNISH A FINAL PROJECT REPORT WHICH IS NONPROPRIETARY AND IN THE PUBLIC DOMAIN. 1 AMERICAN LIBRARY ASSOCIATION 50 EAST HURON STREET CHICAGO IL 60611 362166947 501(C)(3) 9150 OPERATING SUPPORT AND FUNDING FOR THE MANN AND DEWEY AWARDS ASSOCIATION OF RESEARCH LIBRARIES 21 DUPONT CIRCLE SUITE 800 WASHINGTON DC 20036 520784198 501(C)(3) 7500 OPERATING SUPPORT SIMMONS COLLEGE 300 THE FENWAY BOSTON MA 02115 042103629 501(C)(3) 14797 LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT UNITED WAY OF CENTRAL OHIO 360 SOUTH THIRD STREET COLUMBUS OH 43215 314393712 501(C)(3) 10075 OPERATING SUPPORT 4 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: LIBRARY AND INFORMATION SCIENCE RESEARCH GRANT PROGRAM (LISRG): FACULTY IN SCHOOLS OF LIBRARY SCIENCE ARE ELIGIBLE TO APPLY. OCLC SENDS OUT AN ANNUAL CALL FOR PROPOSALS TO ELIGIBLE SCHOOLS. APPLICANTS COMPLETE AN LISRG COVER PAGE TOGETHER WITH A RESEARCH PROPOSAL, A DETAILED BUDGET AND SUPPORTING MATERIALS SUCH AS CURRICULA VITAE, STAFFING AND LETTERS OF SUPPORT. PROPOSALS ARE REVIEWED BY SELECTED OCLC STAFF AND THEN SUBMITTED TO A REVIEW PANEL FOR FURTHER EVALUATION AND RECOMMENDATION TO THE VICE PRESIDENT OF THE OCLC OFFICE OF RESEARCH WHO MAKES A FINAL DECISION. RESEARCH RESULTS ARE FURNISHED TO OCLC IN A FINAL PROJECT REPORT WHICH MUST BE NONPROPRIETARY AND IN THE PUBLIC DOMAIN. OTHER CONTRIBUTIONS ARE MADE FOR THE GENERAL OPERATING SUPPORT OF VARIOUS PUBLIC CHARITIES AND GOVERNMENT ORGANIZATIONS. MANY OF THESE ARE NATIONAL OR REGIONAL LIBRARY ASSOCIATIONS BUT SOME ARE COMMUNITY ORGANIZATIONS IN LOCALES WHERE OCLC HAS OFFICES. THESE INCLUDE ARTS ORGANIZATIONS AS WELL AS THE UNITED WAY AND SIMILAR CHARITABLE ORGANIZATIONS SERVING THE COMMUNITY. X X X X 1 1 X X X X X X 0 0 0 1 1 1 1 1 0 ROBERT L JORDAN 724464 0 579400 0 102160 0 34818 0 16467 0 1457309 0 0 0 RICK J SCHWIETERMAN 292178 0 202719 0 54024 0 32325 0 18378 0 599624 0 0 0 JAMES T HOUFEK 158701 0 84681 0 41592 0 23897 0 9677 0 318548 0 0 0 BRUCE CROCCO 146725 0 59992 0 3726 0 13391 0 19261 0 243095 0 0 0 LORCAN DEMPSEY 171899 0 87150 0 55339 0 25935 0 20891 0 361214 0 0 0 CATHERINE DE ROSA 198613 0 95175 0 14921 0 26264 0 19622 0 354595 0 0 0 JIM MICHALKO 186298 0 49101 0 29781 0 25607 0 15690 0 306477 0 0 0 ROBIN MURRAY 0 210853 0 66104 0 0 0 10913 0 573 0 288443 0 0 GEORGE NEEDHAM 67093 0 10725 0 17031 0 8580 0 17108 0 120537 0 0 0 WILLIAM NILGES 142287 0 74619 0 23596 0 19041 0 18602 0 278145 0 0 0 GENE OLIVER 139866 0 41326 0 7065 0 17068 0 26706 0 232031 0 0 0 TAMMI SPAYDE 156916 0 67945 0 12130 0 19702 0 19980 0 276673 0 0 0 MICHAEL TEETS 159971 0 76113 0 1383 0 18920 0 22102 0 278489 0 0 0 ANDREW WANG 148945 0 69480 0 30741 0 19951 0 14302 0 283419 0 0 0 GREG ZICK 199569 0 80073 0 18962 0 26736 0 19470 0 344810 0 0 0 DANIEL BOIVIN 134981 0 38920 0 2232 0 10259 0 3386 0 189778 0 0 0 ANDY BUSH 113438 0 52061 0 19394 0 13763 0 19296 0 217952 0 0 0 TOM HICKEY 132683 0 33282 0 40174 0 20268 0 15717 0 242124 0 0 0 SONDRA KOWALUK 118286 0 40379 0 40175 0 18505 0 20347 0 237692 0 0 0 MARTY WITHROW 129048 0 34550 0 12074 0 15141 0 13693 0 204506 0 0 0 KAREN CALHOUN 54426 0 59743 0 27072 0 5836 0 1073 0 148150 0 0 0 PART I, LINE 1A TRAVEL FOR COMPANIONS: LORCAN DEMPSEY, VICE PRESIDENT, PROGRAMS, RESEARCH & CHIEF STRATEGIST, IS PROVIDED AN ALLOWANCE FOR OCCASIONAL, PERSONAL TRAVEL TO AND FROM HIS HOME IN THE UNITED KINGDOM FOR HIMSELF AND HIS FAMILY. THIS ALLOWANCE IS FULLY INCLUDED IN TAXABLE COMPENSATION. DISCRETIONARY SPENDING ACCOUNT: ROBERT L. JORDAN, PRESIDENT AND CEO, RECEIVES A $10,000 TAX PREPARATION/FINANCIAL PLANNING ALLOWANCE AND A $14,400 AUTOMOBILE ALLOWANCE FOR WHICH HE IS NOT ACCOUNTABLE TO THE ORGANIZATION AND BOTH ARE FULLY INCLUDED IN TAXABLE INCOME. ALL FULL TIME, US VICE PRESIDENTS EXCEPT LORCAN DEMPSEY RECEIVE A DISCRETIONARY TAX RETURN PREPARATION/FINANCIAL PLANNING ALLOWANCE OF $600 TO BE USED AS THEY DESIRE. ALL THESE ALLOWANCES ARE INCLUDED IN TAXABLE COMPENSATION. PAYMENTS FOR BUSINESS USE OF PERSONAL RESIDENCE: ANDY BUSH, DIRECTOR OF US LIBRARY SERVICES, TRAVELS EXTENSIVELY ON BEHALF OF OCLC AND USES HIS PERSONAL RESIDENCE OUTSIDE OF OHIO AS HIS HOME BASE. HE RECEIVES AN ALLOWANCE OF $3,600 ANNUALLY FOR BUSINESS USE OF HIS PERSONAL RESIDENCE. THIS AMOUNT IS INCLUDED IN TAXABLE COMPENSATION. HEALTH OR SOCIAL CLUB DUES: ROBERT L. JORDAN, PRESIDENT AND CEO AND RICK J. SCHWIETERMAN, EXECUTIVE VICE PRESIDENT AND CFO EACH HAVE COUNTRY CLUB MEMBERSHIPS. FOR MR. JORDAN, DUES ARE EITHER PAID DIRECTLY BY OCLC OR PAID BY MR. JORDAN AND REIMBURSED BY OCLC. BUSINESS EXPENSES INCURRED ARE REIMBURSED UNDER AN ACCOUNTABLE PLAN. DUES PAID OR REIMBURSED BY OCLC ARE REPORTED AS TAXABLE COMPENSATION TO THE EXTENT OF REPORTED PERSONAL USE BY MR. JORDAN. FOR MR. SCHWIETERMAN, OCLC PAYS PERSONAL CHARGES AND DUES UP TO $12,000 ANNUALLY. AN ALLOCABLE PORTION OF THE DUES BASED ON PERSONAL USE PLUS ACTUAL PERSONAL CHARGES ARE REPORTED AS TAXABLE COMPENSATION. BUSINESS EXPENSES INCURRED ARE REIMBURSED UNDER AN ACCOUNTABLE PLAN. PART I, LINE 5 OCLC MAINTAINS THREE DIFFERENT INCENTIVE COMPENSATION PLANS THAT ARE BASED IN PART ON THE GLOBAL PERFORMANCE OF OCLC AND ITS SUBSIDIARIES. SUBSIDIARY REVENUES AND EXPENSES ARE NOT INCLUDED IN THIS RETURN. THE PLANS ARE THE SALES INCENTIVE PLAN (SIP), THE MANAGEMENT INCENTIVE PLAN (MIP) AND THE LONG-TERM INCENTIVE PLAN (LTIP). OFFICERS ARE PARTICIPANTS IN BOTH THE MIP AND THE LTIP. ALL PERFORMANCE AWARDS FOR THE CEO AND ALL OTHER OFFICERS ARE APPROVED BY THE OCLC BOARD OF TRUSTEES. ALL INCENTIVE PLANS ARE REGULARLY REVIEWED BY OUTSIDE COMPENSATION CONSULTANTS, THE LAST SUCH OCCURRING DURING THE FISCAL YEAR THAT IS THE SUBJECT OF THIS REPORT. THE SIP IS FOR EMPLOYEES RESPONSIBLE FOR THE LIBRARY SALES PROGRAM AND IS BASED ON ACHIEVING SPECIFIC PRODUCT-LINE SALES TARGETS. THE MIP IS A PERFORMANCE-BASED COMPENSATION PROGRAM AVAILABLE FOR MANAGEMENT PERSONNEL (TOTAL OF 99) AND IS BASED ON A WEIGHTED AVERAGE OF PERFORMANCE OBJECTIVES. ALL PARTICIPANTS HAVE AT LEAST A 20 % WEIGHTING FOR COOPERATIVE-WIDE OBJECTIVES FOR REVENUE AND EARNINGS (EXCESS OF REVENUES OVER EXPENSES) AND 10 % FOR INCLUSION. SOME MIP PARTICIPANTS MAY ALSO HAVE A WEIGHTING FOR REVENUES AND EARNINGS OF SPECIFIC PRODUCT SEGMENTS OF OCLC FOR WHICH THEY HAVE RESPONSIBILITY. ALL PARTICIPANTS HAVE UP TO A 70 % WEIGHTING FOR SPECIFIC INDIVIDUAL OBJECTIVES FOR THE PLAN YEAR. THE AMOUNT OF COMPENSATION FOR NON-OFFICER PARTICIPANTS MEETING THESE INDIVIDUAL OBJECTIVES ARE RECOMMENDED BY THE SUPERVISING MANAGEMENT AND APPROVED BY THE CEO. THE LTIP IS A PERFORMANCE-BASED COMPENSATION PROGRAM FOR OFFICERS. THE OCLC BOARD OF TRUSTEES ESTABLISHES THE PLAN FINANCIAL AND NON-FINANCIAL PERFORMANCE MEASURES. FINANCIAL GOALS INCLUDE LONG-TERM REVENUE. NON-FINANCIAL GOALS ARE STRATEGIC IN NATURE AND ALIGN WITH ORGANIZATION MISSION AND ENTERPRISE STRATEGY. THE LTIP PROGRAM INCLUDES A PLAN GATE WHEREBY A MINIMUM FINANCIAL CONTRIBUTION MUST BE ACHIEVED BEFORE PERFORMANCE ON OTHER PLAN OBJECTIVES IS CONSIDERED. GOALS IN THE LTIP PLAN ARE GENERALLY ESTABLISHED THREE YEARS BEFORE THE PERFORMANCE MEASUREMENT DATE. PLAN ACHIEVEMENT IS BASED ON THE AUDITED RESULTS FOR OCLC AND ITS 100 % OWNED SUBSIDIARIES. PART I, LINE 6 SEE EXPLANATION FOR LINE 5 PART I, LINE 7 SEE EXPLANATION FOR LINE 5 SUPPLEMENTAL INFORMATION PART III DESCRIPTION OF OCLC MANAGEMENT SAVINGS PLAN EFFECTIVE JULY 1, 1997, AND EXTENDING THROUGH APRIL 30, 2002, CERTAIN EMPLOYEES AND TRUSTEES ELECTED TO PARTICIPATE IN THE OCLC MANAGEMENT SAVINGS PLAN (THE PLAN), A NON-QUALIFIED INCENTIVE BENEFIT PROGRAM FOR CERTAIN EMPLOYEES AND TRUSTEES WHO CONTRIBUTED TO THE SUCCESS OF OCLC. EFFECTIVE MAY 1, 2002, THE PLAN WAS FROZEN AND NO ADDITIONAL CONTRIBUTIONS HAVE BEEN, OR WILL BE, ACCEPTED. EARNINGS ON EXISTING BALANCES ARE DISTRIBUTED ANNUALLY TO PARTICIPANTS AND INCLUDED ON W-2S AND 1099S IN THE YEAR OF DISTRIBUTION. UNDER THE PLAN, PARTICIPANTS RECEIVE THE RIGHT TO PURCHASE MUTUAL FUND SHARES FOR A FIXED PRICE. SUCH RIGHT CAN, GENERALLY, BE EXERCISED AT ANY TIME WITHIN A 20-YEAR PERIOD FOLLOWING THE DATE OF GRANT. HOWEVER, IN THE CASE OF A PARTICIPANTS DEATH, RIGHTS HELD BY SUCH PARTICIPANT MUST BE EXERCISED WITHIN SIX MONTHS FROM THE DATE OF DEATH, AND IN THE CASE OF TERMINATION OF EMPLOYMENT (EXCEPT FOR RETIREMENT) RIGHTS HELD BY THE TERMINATED PARTICIPANT MUST BE EXERCISED WITHIN SIX MONTHS OF THE DATE OF TERMINATION (UNLESS EXTENDED BY THE PRESIDENT). COMPENSATION INCOME ATTRIBUTABLE TO RIGHTS GRANTED UNDER THE PLAN, FOR TAX REPORTING PURPOSES, IS NEITHER DETERMINABLE AT THE TIME OF GRANT THEREOF, NOR AT OCLCS FISCAL YEAR END, IF STILL OUTSTANDING. MORE SPECIFICALLY, IT IS ONLY UPON EXERCISE OF ONE OF THESE RIGHTS THAT A PARTICIPANT MUST RECOGNIZE COMPENSATION INCOME, FOR TAX REPORTING PURPOSES. DURING THE CALENDAR YEAR FALLING WITHIN THE FISCAL YEAR THAT IS THE SUBJECT OF THIS INFORMATION RETURN, NONE OF THE PARTICIPANTS WHO ARE REPORTED IN THIS INFORMATION RETURN EXERCISED RIGHTS GRANTED UNDER THE PLAN. OTHER THAN EARNINGS ON EXISTING BALANCES WHICH HAVE BEEN DISTRIBUTED, NO OTHER INCOME IS REFLECTED IN THE SCHEDULE PROVIDED ABOVE, WITH RESPECT TO THOSE INDIVIDUALS LISTED THEREIN WHO ARE PARTICIPANTS IN THE PLAN. ANY FUTURE COMPENSATION AMOUNTS ULTIMATELY REALIZED FROM EXERCISE OF RIGHTS GRANTED UNDER THE PLAN, WILL BE APPROPRIATELY DISCLOSED AS COMPENSATION IN OCLC'S INFORMATION RETURN FOR THE YEAR OF EXERCISE. PARTICIPANTS IN THE PLAN REPORTED ON THIS RETURN: LIZABETH A WILSON TRUSTEE ROBERT L JORDAN PRESIDENT & CEO RICK J SCHWIETERMAN EXECUTIVE VP AND CFO JAMES T HOUFEK VP & GENERAL COUNSEL LORCAN DEMPSEY VP, RESEARCH & STRATEGIST CATHERINE DE ROSA VP, GLOBAL MARKETING GEORGE NEEDHAM VP, GLOBAL COUNCIS COUNTY OF FRANKLIN OHIO 316400067 353202DZ4 2003-04-03 26223310 TO REFUND BONDS ISSUED 5/6/1993, IMPROVE REAL PROPERTY, ACQUIRE EQUIPMENT 0 0 0 COLUMBUS-FRANKLIN COUNTY FINANCE AUTHORITY 571239430 2008-05-23 20000000 TO FINANCE THE ACQUISITION OF OFFICE SYSTEMS, EQUIPMENT, AND DATABASES 0 0 0 COLUMBUS-FRANKLIN COUNTY FINANCE AUTHORITY 571239430 2009-08-10 30000000 TO REFUND BONDS ISSUED 12/19/1998,ACQUIRE OFFICE SYSTEMS,EQUIPMENT 0 0 0 18935000 26223310 233016 8599384 17390910 2003 1 0 1 1 10876412 20012780 20012780 2008 0 0 1 1 7299966 30000000 161760 12314796 17523444 2009 1 0 1 1 0 0 0 0 0.00000 0.00000 0.00000 1 0 0 0 0 0.00000 0.00000 0.00000 1 0 0 0 0 0.00000 0.00000 0.00000 1 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 1 SCHEDULE K, PART I AND II ITEM B THE DIFFERENCE BETWEEN THE ISSUE PRICE IN PART I, LINE B AND THE TOTAL PROCEEDS IN PART II, LINE 3, COLUMN B IS DUE TO INVESTMENT EARNINGS. LORCAN DEMPSEY LOAN TO ASSIST WITH PURCHASE OF PRINCIPAL RESIDENCE - SEE DETAILS BELOW X 50000 50000 0 0 1 50000 CLAIRE COCCO DAUGHTER OF OFFICER 131566 EMPLOYMENT FAMILY MEMBER OF AN OCLC OFFICER 0 SONYA OLIVER SPOUSE OF OFFICER 91784 EMPLOYMENT FAMILY MEMBER OF AN OCLC OFFICER 0 SCHEDULE L, PART II LOAN TO LORCAN DEMPSEY OCLC LOANED FUNDS TO THIS OFFICER TO FACILITATE HIS RELOCATION TO OCLC'S HEADQUARTERS IN DUBLIN, OHIO DURING A PRIOR FISCAL YEAR. THESE FUNDS WERE USED TO FINANCE A NEW PRINCIPAL RESIDENCE. THE LOAN IS THE RESULT OF ARMS-LENGTH NEGOTIATION AND PROVIDES FOR A BALLOON REPAYMENT AT THE END OF THE TERM. INTEREST IMPUTED ON THIS LOAN AS DESCRIBED IN SECTION 7872 OF THE INTERNAL REVENUE CODE IS REPORTED IN PART VII AND SCHEDULE J OF THIS RETURN. FORM 990, PART VI, SECTION A, LINE 1 THE BOARD OF TRUSTEES MAY DESIGNATE THREE (3) OR MORE TRUSTEES, INCLUDING THE PRESIDENT AND THE CHAIR OF THE BOARD, TO CONSTITUTE AN EXECUTIVE COMMITTEE, WHICH COMMITTEE SHALL HAVE AND EXERCISE THE AUTHORITY OF THE BOARD OF TRUSTEES IN THE MANAGEMENT OF THE AFFAIRS OF THE CORPORATION WHEN THE BOARD OF TRUSTEES IS NOT IN SESSION. FORM 990, PART VI, SECTION A, LINE 2 TWO CURRENT TRUSTEES (EDWARD BARRY AND JOHN PATRICK) ARE BOTH BOARD MEMBERS OF KNOVEL, INC. FORM 990, PART VI, SECTION A, LINE 6 MEMBERSHIP IN OCLC IS OPEN TO ANY LIBRARY OR OTHER MEMORY INSTITUTION THAT EMBRACES THE OCLC VALUES OF COLLABORATION AND SHARING. INSTITUTIONS WORLDWIDE BECOME MEMBERS BY CONTRACTUALLY AGREEING TO CONTRIBUTE INTELLECTUAL CONTENT OR SHARE RESOURCES. MEMBERS MAY INCLUDE LIBRARIES, MUSEUMS, ARCHIVES, HISTORICAL SOCIETIES, OR SIMILAR INSTITUTIONS. OCLC MEMBERS IN EACH OF THREE WORLDWIDE REGIONS ORGANIZE INTO REGIONAL COUNCILS. EACH REGIONAL COUNCIL ELECTS DELEGATES TO THE OCLC GLOBAL COUNCIL. THIS BODY CONSISTS OF 48 MEMBER DELEGATES AND IT ARTICULATES THE VARIOUS INTERESTS OF THE OCLC MEMBERS TO THE OCLC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7A THE OCLC GLOBAL COUNCIL ELECTS SIX MEMBERS OF THE OCLC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B THE OCLC GLOBAL COUNCIL RATIFIES CHANGES TO THE ARTICLES OF INCORPORATION OR THE CODE OF REGULATIONS IN ORDER FOR THE CHANGES TO TAKE EFFECT. FORM 990, PART VI, SECTION B, LINE 11 THE 990 RETURN IS PREPARED AND SUPPORTING DATA IS REVIEWED INTERNALLY BY OCLC FINANCE STAFF, IN CONSULTATION WITH APPROPRIATE MANAGEMENT PERSONNEL INCLUDING THE CHIEF FINANCIAL OFFICER, THE GENERAL COUNSEL AND THE CORPORATE CONTROLLER. THE RETURN IS REVIEWED BY THE CORPORATE CONTROLLER. THE RETURN IS THEN REVIEWED BY DELOITTE TAX LLP. FINALLY, A COPY OF THE 990 IN ELECTRONIC FORM IS PROVIDED TO THE ENTIRE BOARD OF TRUSTEES PRIOR TO SIGNATURE BY THE CHIEF FINANCIAL OFFICER AND FILING. FORM 990, PART VI, SECTION B, LINE 12C ALL EMPLOYEES ARE REQUIRED TO CERTIFY THEIR KNOWLEDGE OF, AND COMPLIANCE WITH, THE POLICY ON AN ANNUAL BASIS BY SIGNING A STATEMENT. IF IT IS UNCLEAR IF A CONFLICT EXISTS, THE EMPLOYEE CAN CONTACT THE GENERAL COUNSEL FOR CLARIFICATION. THE EMPLOYEE CAN ALSO FILE A WRITTEN REQUEST FOR A RULING WITH HIS OR HER VICE PRESIDENT OR DIVISION DIRECTOR WHO MAY REJECT OR APPROVE THE APPLICATION. IF APPROVED, THE REQUEST IS SENT TO THE PRESIDENT FOR A FINAL APPROVAL. A WRITTEN RESPONSE IS PROVIDED TO THE EMPLOYEE INDICATING WHETHER THE ACTIVITY CAN BE UNDERTAKEN OR IF IT VIOLATES THE CONFLICT OF INTEREST POLICY AND CANNOT BE UNDERTAKEN. IN ADDITION TO THE GENERAL POLICY FOR ALL EMPLOYEES, MEMBERS OF THE OCLC BOARD OF TRUSTEES AND THE STRATEGIC LEADERSHIP TEAM ARE REQUIRED TO ANSWER MORE DETAILED QUESTIONS IN WRITING ON AN ANNUAL BASIS AND ALL RESPONSES ARE REVIEWED BY THE AUDIT COMMITTEE OF THE OCLC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 15 FOR ALL EXECUTIVES, THE PERSONNEL AND COMPENSATION COMMITTEE OF THE OCLC BOARD OF TRUSTEES REVIEWS THE PROPOSED COMPENSATION AND AN ANALYSIS OF COMPENSATION IN THE MARKETPLACE FOR COMPARABLE POSITIONS PREPARED BY AN OUTSIDE CONSULTANT. ONCE APPROVED BY THE COMMITTEE, THE ENTIRE BOARD OF TRUSTEES (EXCEPT FOR THE CEO) MEETS IN EXECUTIVE SESSION TO REVIEW AND VOTE ON THE COMPENSATION PACKAGES. THE COMMITTEE AND THE FULL BOARD CONSIST ONLY OF INDIVIDUALS WHO DO NOT HAVE A CONFLICT OF INTEREST WITH RESPECT TO SETTING THE COMPENSATION FOR THE EXECUTIVES. WRITTEN MINUTES OF ALL BOARD COMMITTEES AND BOARD OF TRUSTEE MEETINGS ARE PREPARED. MORE INFORMATION ABOUT OCLC EXECUTIVE COMPENSATION CAN BE FOUND ON THE OCLC WEBSITE AT THE FOLLOWING LINK: WWW.OCLC.ORG/US/EN/ABOUT/TRUSTEES/COMPENSATION/EXECUTIVE_COMPENSATION.HTM FORM 990, PART VI, SECTION C, LINE 19 THE ARTICLES OF INCORPORATION AND THE ANNUAL AUDITED FINANCIAL STATEMENTS ARE AVAILABLE ON THE OCLC WEBSITE: WWW.OCLC.ORG/US/EN/COUNCILS/DOCUMENTS/ WWW.OCLC.ORG/NEWS/PUBLICATIONS/FINANCIAL/. A DESCRIPTION OF THE CONFLICT OF INTEREST POLICY IS CONTAINED IN OCLCS CODE OF CONDUCT DOCUMENT WHICH IS ALSO AVAILABLE ON THE OCLC WEBSITE. WWW.OCLC.ORG/US/EN/ABOUT/CODE/CODE_OF_CONDUCT_EN.PDF IN ADDITION, THE ANNUAL REPORT (INCLUDING CONDENSED FINANCIAL STATEMENTS) IS PROVIDED TO THE DIRECTORS OF ALL GOVERNING MEMBERS. THE ANNUAL REPORT IS ALSO AVAILABLE ON THE OCLC WEBSITE. WWW.OCLC.ORG/US/EN/NEWS/PUBLICATIONS/ANNUALREPORTS/DEFAULT.HTM HOURS PER WEEK DEVOTED TO RELATED ORGANIZATIONS PART VII, COLUMN B THE FOLLOWING FIVE OFFICERS DEVOTED TIME TO RELATED ORGANIZATIONS. THE AVERAGE HOURS PER WEEK IS SPECIFIED. ROBERT L JORDAN 8 RICK J SCHWIETERMAN 4 ROBIN MURRAY 2 TAMMI SPAYDE 1 GREG ZICK 3 CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -11,508,666. FOREIGN CURRENCY TRANSLATION -1,205,628. UNREALIZED GAIN POST RETIREMENT PLAN 2,899,911. INCOME ON INVESTMENT IN SUBSIDIARIES 91,926. SUBPART F INCOME INCLUDED IN INVESTMENT INCOME BUT NOT ON BOOKS -4,272,103. TOTAL TO FORM 990, PART XI, LINE 5: -13,994,560. PHILOSOPHY STATEMENT ON BOARD OF TRUSTEES COMPENSATION SINCE 1979, THE OCLC BOARD OF TRUSTEES HAS DETERMINED THAT COMPENSATION FOR TRUSTEE SERVICE IS APPROPRIATE IN ORDER TO ATTRACT AND RETAIN THE MOST QUALIFIED AND ABLE INDIVIDUALS, TO PROMOTE ECONOMIC DIVERSITY BY PROVIDING AN OPPORTUNITY TO CONTRIBUTE TO THE WORK OF THE BOARD BY THOSE WHO MIGHT OTHERWISE BE UNABLE TO DO SO, AND TO PROVIDE TANGIBLE COMPENSATION FOR THE CONSIDERABLE TIME AND EFFORT OF TRUSTEES IN SUPPORT OF OCLC'S MISSION. BECAUSE OF THE SIGNIFICANT TIME COMMITMENT INVOLVED IN BOARD SERVICE, MANY TRUSTEES MUST LIMIT CONSULTING AND OTHER ACTIVITIES FOR WHICH THEY WOULD BE COMPENSATED. COMPENSATION WILL BE PROVIDED TO NON-EMPLOYEE TRUSTEES, BY ACTION OF THE BOARD, AT LEVELS CONSISTENT WITH THOSE PROVIDED BY OTHER NON-PROFIT ORGANIZATIONS THAT ALSO COMPENSATE THEIR BOARD MEMBERS/TRUSTEES (WITH MARKET DEFINED BY DATA FROM 990 FILINGS, SUPPLEMENTED BY NON-PROFIT PUBLISHED SURVEY DATA). COMPENSATION LEVELS ARE ALSO REVIEWED FROM TIME TO TIME BY INDEPENDENT COMPENSATION CONSULTANTS FOR BENCHMARKING AGAINST OTHER NON-PROFIT ORGANIZATIONS. BOARD COMPENSATION CONSISTS OF CASH PAYMENTS STRUCTURED AS A COMBINATION OF RETAINERS AND MEETING FEES, WITH HIGHER COMPENSATION AMOUNTS FOR CHAIRS OF THE BOARD AND BOARD COMMITTEES REFLECTING THE ADDITIONAL TIME REQUIREMENTS OF THESE POSITIONS. FROM TIME TO TIME, THERE MAY ALSO BE ADDITIONAL TRUSTEE COMPENSATION FOR SPECIAL PROJECTS/ASSIGNMENTS AS DETERMINED BY THE BOARD, DEPENDING ON DURATION AND ADDITIONAL TIME REQUIREMENTS. MORE INFORMATION ABOUT OCLC BOARD COMPENSATION CAN BE FOUND ON THE OCLC WEBSITE AT THE FOLLOWING LINK: WWW.OCLC.ORG/US/EN/ABOUT/TRUSTEES/COMPENSATION/COMPENSATION_Q_AND_A.HTM OCLC INFORMATION DISTRIBUTION INC 6565 KILGOUR PLACE DUBLIN OH 43017 870374788 INFORMATION SERVICES OH OCLC ONLINE COMPUTER LIBRARY CENTER INC C 214037 1.00000 DIMEMA INC 220 WEST MERCER ST W-200 SEATTLE WA 98119 912129115 INFORMATION SERVICES WA OCLC INFORMATION DISTRIBUTION INC C 1.00000 OCLC EMEA BV SCHIPHOLWEG 99 2300 AW LEIDEN NL 981065403 HOLDING COMPANY NL OCLC ONLINE COMPUTER LIBRARY CENTER INC C 2635628 13274286 1.00000 OCLC BV SCHIPHOLWEG 99 2300 AW LEIDEN NL 981065524 INFORMATION SERVICES NL OCLC EMEA BV C 17123486 12068822 1.00000 OCLC GMBH GRUNWALDER WEG 28G 82041 OBERHACHING GM 981063976 INFORMATION SERVICES GM OCLC EMEA BV C 17274157 8596021 1.00000 OCLC AG ST JAKOB-STRASSE 96 CH-4052 BASEL SZ INFORMATION SERVICES SZ OCLC GMBH C 613813 467966 1.00000 OCLC (UK) LIMITED 8 ST MARYS GATE SHEFFIELD S1 4LW UK 981067510 INFORMATION SERVICES UK OCLC EMEA BV C 12570736 5536435 1.00000 0 0 0 0 0 0 0 0 0 0 1 1 1 1 1 1 0 0 OCLC EMEA BV K 570310 COST OCLC BV L 1660097 COST PLUS OCLC GMBH L 1869177 COST PLUS OCLC (UK) LIMITED L 3902552 COST PLUS OCLC (UK) LIMITED N 83684 COST OCLC (UK) LIMITED O 137400 COST OCLC BV P 69120 COST OCLC (UK) LIMITED P 336669 COST FORM 990, SCHEDULE R, PART IV THE FOLLOWING NON-U.S. CORPORATIONS ARE 100 % OWNED BY OCLC ONLINE COMPUTER LIBRARY CENTER, INC. AND ARE REPORTED IN PART IV OF SCHEDULE R BECAUSE THEY ARE CONSIDERED TAXABLE ORGANIZATIONS IN THEIR RESPECTIVE COUNTRIES. HOWEVER, THEY ARE OWNED BY A NONPROFIT ORGANIZATION EXEMPT FROM U.S. TAXES UNDER SECTION 501(C)(3). ALL OF THESE ORGANIZATIONS ENGAGE IN PROVIDING COMPUTERIZED SERVICES TO LIBRARIES IN THEIR REGIONS. THOSE SERVICES PROVIDE THE SAME FUNCTIONAL SUPPORT TO LIBRARIES THAT OCLC PROVIDES TO U.S. LIBRARIES. THE PURPOSE AND MISSION OF THESE NON-U.S. CORPORATIONS IS THE SAME AS OCLC. WHILE THE COUNTRIES WHERE THESE CORPORATIONS RESIDE CONSIDER THEM SUBJECT TO INCOME TAX UNDER LOCAL LAW, THOSE SAME ACTIVITIES PERFORMED BY OCLC HAVE BEEN DEEMED EXEMPT BY THE INTERNAL REVENUE SERVICE. AS SUCH, THESE NON-U.S. CORPORATIONS MEET THE OPERATIONAL TEST FOR U.S. EXEMPTION. IN ADDITION, SINCE THE NON-U.S. CORPORATIONS ARE 100% OWNED BY OCLC, ALL EARNINGS AND ASSETS OF THOSE CORPORATIONS ARE FULLY CONTROLLED BY, AND A BENEFIT TO, A U.S. NONPROFIT ORGANIZATION. BASED ON THIS, OCLC CONSIDERS THESE NON-U.S. CORPORATIONS TO BE DE FACTO EXEMPT ORGANIZATIONS UNDER U.S. LAW. HOWEVER, SINCE THESE NON-U.S. CORPORATIONS HAVE NO PERMANENT ESTABLISHMENTS OR BUSINESS OPERATIONS IN THE U.S., THERE IS NO U.S. REPORTING REQUIRED AND THEY ARE, THEREFORE, NOT INCLUDED WITH THIS INFORMATION REPORT. OCLC EMEA BV THE NETHERLANDS OCLC BV THE NETHERLANDS OCLC GMBH GERMANY OCLC AG SWITZERLAND OCLC (UK) LIMITED UNITED KINGDOM