2013-11-14T17:41:54-06:00 2012-12-31 861065772 DELOITTE TAX LLP 225 WEST SANTA CLARA STREET SAN JOSE CA 95113 990 2012-01-01 941160950 SRI INTERNATIONAL SRII 6508594304 333 RAVENSWOOD AVENUE MENLO PARK CA 94025 THOMAS J FURST 6508594304 2013-11-14 1 SHARON L ZORBACH P00125475 4087044000 2012 2016-02-24 21:20:13Z THOMAS J FURST 333 RAVENSWOOD AVENUE MENLO PARK CA 94025 571086000 0 X WWW.SRI.COM X 1946 CA SRI IS COMMITTED TO DISCOVERY AND TO THE APPLICATION OF SCIENCE AND TECHNOLOGY FOR KNOWLEDGE, COMMERCE, PROSPERITY, AND PEACE. 12 10 2485 0 70519428 0 38406936 44879486 539077064 503946065 2335962 8577381 9093665 9021776 588913627 566424708 0 0 0 0 294901900 305755542 0 0 0 282136727 257078166 577038627 562833708 11875000 3591000 341880000 316344000 154526000 133511000 187354000 182833000 X SRI IS COMMITTED TO DISCOVERY AND TO THE APPLICATION OF SCIENCE AND TECHNOLOGY FOR KNOWLEDGE, COMMERCE, PROSPERITY, AND PEACE. SRI HAS A BROAD CHARTER THAT ENCOURAGES IT TO MAKE A DIFFERENCE IN THE WORLD THROUGH BASIC AND APPLIED RESEARCH, RESEARCH SERVICES, TECHNOLOGY DEVELOPMENT, AND COMMERCIALIZATION OF OUR INNOVATIONS. 0 0 280514900 298080600 ENGINEERING & SYSTEMS DIVISION (ESD), SRI'S LARGEST GROUP, COMPRISES MORE THAN 800 STAFF MEMBERS CONDUCTING SCIENTIFIC RESEARCH AND DEVELOPMENT, SUPPORTING AND DEPLOYING TECHNOLOGIES AND SYSTEMS, AND FIELDING PRODUCTS FOR ITS GOVERNMENT AND NONGOVERNMENT CLIENTS. OUR EXPERTISE INCLUDES IONOSPHERIC AND SPACE RESEARCH, RADAR AND REMOTE SENSING, SIGNAL PROCESSING AND ALGORITHM DEVELOPMENT, MEDICAL DEVICES, ROBOTICS, VIDEO PROCESSING, PERSISTENT SURVEILLANCE, BIOMETRICS, SIGNALS AND ELECTRONIC INTELLIGENCE, SOFTWARE ENGINEERING, TRAINING SYSTEMS, AND WIRELESS COMMUNICATIONS. 88390900 93044700 INFORMATION AND COMPUTING SCIENCES (ICS) CONDUCTS SCIENTIFIC RESEARCH TO DEVELOP AND ADVANCE NEW TECHNOLOGIES IN MACHINE INTELLIGENCE, SPEECH AND NATURAL LANGUAGE, PERCEPTION AND VISUAL SCIENCES, BIOINFOMATICS, FORMAL METHODS, AND COMPUTER SECURITY. THE GROUP'S PIONEERING INNOVATIONS HAVE BEEN LEADING THE FIELD OF COMPUTER SCIENCE FOR DECADES. 69853900 69578200 SRI'S PHYSICAL SCIENCES DIVISION CONDUCTS SCIENTIFIC RESEARCH TO ADDRESS IMPORTANT TECHNICAL CHALLENGES IN CHEMISTRY, PHYSICS, MATERIALS SCIENCE, MECHANICS, OPTICS, NANOTECHNOLOGY AND MANY OTHER FIELDS. IT OFFERS MULTIDISCIPLINARY TEAMS TO SOLVE TECHNICAL CHALLENGES THROUGH LABORATORY EXPERIMENTS, COMPUTER SIMULATIONS, AND TESTING. THE WORK RANGES FROM FUNDAMENTAL RESEARCH AND LABORATORY EXPERIMENTS TO COMPUTER SIMULATIONS, PILOT-SCALE TESTING, AND SYSTEMS DEVELOPMENT. 33054733 105721208 SRI ENGAGES IN A BROAD RANGE OF OTHER RESEARCH INITIATIVES IN FURTHERANCE OF ITS EXEMPT MISSION, AS EXEMPLIFIED BY THE BIOSCIENCES DIVISION AND POLICY DIVISION. THE BIOSCIENCES DIVISION IS A UNIQUE ORGANIZATION OF APPROXIMATELY 230 PEOPLE, WITH ALL OF THE RESOURCES NECESSARY TO TAKE CHEMICAL AND BIOLOGICAL RESEARCH PROGRAMS FROM "IDEA TO IND" - FROM INITIAL DISCOVERIES TO INVESTIGATIONAL NEW DRUG APPLICATIONS TO START HUMAN CLINICAL TRIALS. THE BIOSCIENCES DIVISION PERFORMS BASIC RESEARCH ON DISEASE MECHANISMS, DRUG DISCOVERY AND THE DEVELOPMENT OF BIOLOGICS, AND FULL-SERVICE PRECLINICAL CONTRACT RESEARCH AND DEVELOPMENT. THE POLICY DIVISION UNDERTAKES RESEARCH TO ADDRESS PROBLEMS POSED BY COMPLEX ISSUES IN EDUCATION, HEALTH, ECONOMIC DEVELOPMENT AND HUMAN SERVICES. POLICY EXPERTS DEVELOP RESEARCH-BASED SOLUTIONS TO PROBLEMS POSED BY RAPID SOCIAL, TECHNOLOGICAL, AND ECONOMIC CHANGES IN SOCIETY. THE RESEARCH IS USED TO SHAPE INNOVATIONS TO IMPROVE PRODUCTIVITY AND QUALITY OF LIFE AT HOME, AT SCHOOL, AND IN THE WORKPLACE. 33054733 105721208 471814433 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 0 0 1 0 1 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 546 0 1 2485 1 1 1 1 JA GL 0 0 0 0 0 0 0 0 X 12 10 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 CA X X LUTHER LAU 6508595255 333 RAVENSWOOD AVENUE MENLO PARK CA 94025 CURTIS CARLSON 40.00 X X 1464784 0 45304 RICHARD BREWER 1.50 X 24000 0 0 LESLIE KENNE 1.50 X 61500 0 0 PHILIP J QUIGLEY 1.50 X 12000 0 0 HENRY KRESSEL 1.50 X 48500 0 0 CHARLES HOLLOWAY 1.50 X 59500 0 0 JOHN J YOUNG JR 1.50 X 58500 0 0 VERNON CLARK 12.00 X 180000 0 0 MARIANN BYERWALTER 1.50 X 58000 0 0 SAMUEL H ARMACOST 1.50 X 41500 0 0 DAVID LIDDLE 1.50 X 119590 0 0 ARATI PRABHAKAR 1.50 X 20000 0 0 ROBERT L JOSS 1.50 X 0 0 0 THOMAS FURST 40.00 X 513474 0 44388 RICHARD ABRAMSON 40.00 X 556978 0 50712 ALICE RESNICK 40.00 X 339174 0 46185 NORMAN WINARSKY 40.00 X 543158 0 43902 JEAN TOOKER 40.00 X 373333 0 50598 STEPHEN CIESINSKI 40.00 X 503579 0 43853 JERRY HARRISON 40.00 X 470180 0 30204 DENNIS BEATRICE 40.00 X 358482 0 43466 WALTER MOOS 40.00 X 590684 0 35405 ERIC PEARSON 40.00 X 418632 0 27624 WILLIAM MARK 40.00 X 784185 0 51054 JOHN PRAUSA 40.00 X 663237 0 37092 MARK CLIFTON 40.00 X 467508 0 52031 SCOTT SEATON 40.00 X 475991 0 40216 C RAYMOND PERRAULT 40.00 X 401845 0 49242 CARLA WOODWORTH 40.00 X 304146 0 45850 PHILLIP PORRAS 40.00 X 649212 0 42276 PATRICK LINCOLN 40.00 X 604635 0 50090 VINCENT ENDRES 40.00 X 478356 0 44274 DOUGLAS BERCOW 40.00 X 474100 0 45859 KRISTIN PRECODA 40.00 X 432118 0 34258 12550881 0 953883 852 0 1 0 FISH & RICHARDSON PC PO BOX 3295 BOSTON MA 02241 LEGAL 5850999 DELOITTE CONSULTING LLP PO BOX 910916 PHILADELPHIA PA 19170 CONSULTING 2237450 MICRO DISC 301 OXFORD VALLEY ROAD SUITE 1101 YARDLEY PA 19067 IMAGE PROCESSING 2015884 RESPONDER TRAINING SERVICE 245 N HIGHLAND AVE NE STE 230-361 ATLANTA GA 30353 TRAINING 1978906 REYNOLDS CLEANING SERVICES 1472 ODDSTAD DRIVE REDWOOD CITY CA 94063 JANITORIAL 1219713 404 43829486 1050000 44879486 SCIENTIFIC RESEARCH 541700 433426637 433426637 COMMERCIAL TECH SERVICE 541900 70519428 70519428 503946065 1139464 1139464 12712683 12712683 3309243 4661292 -1352049 -1352049 -1352049 7437917 0 7437917 7437917 7437917 OTHER INCOME 900099 -2338858 -2338858 -2338858 566424708 431087779 70519428 19938015 X 11882699 2121872 9760827 194163786 163198724 30965062 19170842 15786582 3384260 64432540 52685302 11747238 16105675 13262514 2843161 3521678 3521678 633275 358913 274362 412728 412728 148940894 134453492 14487402 330412 330412 21344932 18292540 3052392 7503708 2570385 4933323 19133264 13054506 6078758 12440989 11524037 916952 1672163 1403709 268454 503332 495 502837 19220342 16871801 2348541 1736024 -25771 1761795 EQUIPMENT PURCHASES 19481023 19435752 45271 OTHER EXPENSES 4608288 6760537 -2152249 PRINTING AND PUBLICATIO 256406 59043 197363 RENTAL EXPENSE ON PAGE -4661292 -4661292 562833708 471814433 91019275 0 11295187 10229451 73797813 42147549 116055000 105325000 3868000 3554000 5929000 5550000 302717961 199698961 108809000 103019000 12712000 38846000 9414000 7673000 341880000 316344000 77371000 70132000 33634000 33634000 3502000 1378000 40019000 28367000 154526000 133511000 X 187354000 181784000 1049000 187354000 182833000 341880000 316344000 X 3591000 -6114000 -1998000 X 0 1 X 1 1 1 X 47692857 40307810 43076732 38406936 44879486 214363821 341673143 326553190 357981268 539077064 502896065 2068180730 389366000 366861000 401058000 577484000 547775551 2282544551 0 188635880 162710636 192029553 238801140 201342735 983519944 188635880 162710636 192029553 238801140 201342735 983519944 1299024607 8873149 7768450 7983000 8103474 17161390 49889463 8873149 7768450 7983000 8103474 17161390 49889463 967276 1709290 -131000 2723564 995034 6264164 399206425 376338740 408910000 588311038 565931975 2338698178 0.55540 0.53880 0.02130 0.02020 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 412728 0 1 412728 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: THE AMOUNT REFLECTED IN LINE 1 (I) AS OTHER ACTIVITIES REPRESENTS THE EXPENSES ASSOCIATED WITH PAID STAFF OR MANAGEMENT. SRI INTERNATIONAL CONTRACTED WITH LOBBYING FIRMS TO MEET WITH MEMBERS OF CONGRESS AND THEIR STAFF TO EDUCATE THEM ON SRI-SPECIFIC INITIATIVES THAT WERE DETERMINED WOULD BE OF VALUE TO THE NATION. THESE INITIATIVES INCLUDED AREAS SUCH AS CYBER SECURITY, BIO DEFENSE, ECONOMIC DEVELOPMENT, EDUCATIONAL ENHANCEMENTS AND MILITARY PERSONNEL READINESS. 21537000 21537000 217218290 181163274 36055016 63962671 18535687 45426984 103019000 CLIENT ADVANCES & CREDITS 14296000 LEASE LIABILITY 4820831 REMEDIATION RESERVE 6920165 TENANT ALLOWANCE 2330004 28367000 MIDDLE EAST 1 3 PROGRAM SERVICES IMPROVING INNOVATION AND R&D SYSTEMS 698839 EUROPE 1 4 PROGRAM SERVICES NSF ATMOSPHERIC RESEARCH FACILITY 453817 EAST ASIA 1 5 INTERNATIONAL MARKETING INTERNATIONAL MARKETING 474200 NORTH AMERICA 1 0 PROGRAM SERVICES NSF ATMOSPHERIC RESEARCH FACILITY 621568 4 12 0 0 4 12 2248424 0 2248424 0 0 0 0 0 1 X 1 1 X X X X X 0 0 1 0 1 0 0 1 0 CURTIS CARLSON 554402 0 910382 0 0 0 27374 0 17930 0 1510088 0 0 0 VERNON CLARK 180000 0 0 0 0 0 0 0 0 0 180000 0 0 0 THOMAS FURST 377533 0 135941 0 0 0 27374 0 17014 0 557862 0 0 0 RICHARD ABRAMSON 321285 0 235693 0 0 0 27374 0 23338 0 607690 0 0 0 ALICE RESNICK 211300 0 127874 0 0 0 27374 0 18811 0 385359 0 0 0 NORMAN WINARSKY 329348 0 213810 0 0 0 27374 0 16528 0 587060 0 0 0 JEAN TOOKER 234721 0 138612 0 0 0 27374 0 23224 0 423931 0 0 0 STEPHEN CIESINSKI 322704 0 180875 0 0 0 27374 0 16479 0 547432 0 0 0 JERRY HARRISON 341165 0 129015 0 0 0 27374 0 2830 0 500384 0 0 0 DENNIS BEATRICE 245621 0 112861 0 0 0 27374 0 16092 0 401948 0 0 0 WALTER MOOS 346311 0 244373 0 0 0 27374 0 8031 0 626089 0 0 0 ERIC PEARSON 291235 0 127397 0 0 0 27374 0 250 0 446256 0 0 0 WILLIAM MARK 382375 0 401810 0 0 0 27374 0 23680 0 835239 0 0 0 JOHN PRAUSA 390852 0 272385 0 0 0 27374 0 9718 0 700329 0 0 0 MARK CLIFTON 297798 0 169710 0 0 0 27374 0 24657 0 519539 0 0 0 SCOTT SEATON 296498 0 179493 0 0 0 27374 0 12842 0 516207 0 0 0 C RAYMOND PERRAULT 296532 0 105313 0 0 0 27374 0 21868 0 451087 0 0 0 CARLA WOODWORTH 223240 0 80906 0 0 0 27374 0 18476 0 349996 0 0 0 PHILLIP PORRAS 233931 0 415281 0 0 0 27374 0 14902 0 691488 0 0 0 PATRICK LINCOLN 281832 0 322803 0 0 0 27374 0 22716 0 654725 0 0 0 VINCENT ENDRES 237887 0 240469 0 0 0 27374 0 16900 0 522630 0 0 0 DOUGLAS BERCOW 233837 0 240263 0 0 0 27374 0 18485 0 519959 0 0 0 KRISTIN PRECODA 242912 0 189206 0 0 0 27374 0 6884 0 466376 0 0 0 PART I, LINE 1A SRI'S TRAVEL POLICY IS STRUCTURED FOR COMPLIANCE WITH FAR 31 205-46. UNDER SUB-SECTION (D) OF THIS PROVISION, AIRLINE COSTS IN EXCESS OF THE LOWEST CUSTOMARY STANDARD ARE ALLOWABLE IN SITUATIONS TO ACCOMMODATE THE PHYSICAL OR MEDICAL NEEDS OF THE TRAVELER. THE DECISION TO PERMIT SUCH TRAVEL, SOLELY FOR MEDICAL REASONS ON AN INDIVIDUAL BASIS, WAS ISSUED FROM THE CONTROLLER'S OFFICE WITHIN THE AUSPICES OF THE CHIEF FINANCIAL OFFICER (CFO). PART I, LINE 4C LIKE MOST UNIVERSITIES AND OTHER RESEARCH INSTITUTIONS, AND CONSISTENT WITH THE REQUIREMENTS OF THE BAYH-DOLE ACT [35 U S C 200 ET SEQ], SRI SHARES WITH SRI INVENTORS AND OTHER CONTRIBUTORS ROYALTIES IN THE FORM OF CASH OR EQUITY RECEIVED FROM SPIN-OFF AND OTHER COMPANIES TO WHOM SRI INTELLECTUAL PROPERTY IS LICENSED OR TRANSFERRED. THE TERMS AND CONDITIONS UNDER WHICH SRI SHARES SUCH EQUITY ARE LAID OUT IN DETAIL IN SRI'S INTELLECTUAL PROPERTY AND EQUITY SHARING PROGRAM THAT WAS APPROVED BY THE IRS IN A PRIVATE LETTER RULING ISSUED IN 1999. OF THE 50 OFFICERS, KEY EMPLOYEES AND HIGHEST COMPENSATED EMPLOYEES (NON-OFFICERS AND NON-KEY EMPLOYEES) SHOWN IN PART II, 26 RECEIVED EQUITY-BASED PAYMENTS TOTALING $297,383, WITH INDIVIDUAL AMOUNTS RANGING FROM $1 TO $200,000 PART I, LINE 5 LIKE MOST UNIVERSITIES AND OTHER RESEARCH INSTITUTIONS, AND CONSISTENT WITH THE REQUIREMENTS OF THE BAYH-DOLE ACT [35 U S C 200 ET ERQ], SRI SHARES WITH SRI INVENTORS AND OTHER CONTRIBUTORS ROYALTIES IN THE FORM OF CASH OR EQUITY WHICH IS RECEIVED FROM SPIN-OFF AND OTHER COMPANIES TO WHOM SRI INTELLECTUAL PROPERTY IS LICENSED OR TRANSFERRED. AS NOTED ABOVE, THE IRS APPROVED SRI'S INTELLECTUAL PROPERTY ROYALTY AND EQUITY SHARING PROGRAM IN A PRIVATE LETTER RULING ISSUED IN 1999. OF 50 OFFICERS, KEY EMPLOYEES AND HIGHEST COMPENSATED EMPLOYEES (NON-OFFICERS AND NON-KEY EMPLOYEES) SHOWN IN PART II, 26 RECEIVED ROYALTY PAYMENTS TOTALING $2,098,098 WITH INDIVIDUALS AMOUNTS RANGING FROM $1 TO $350,000 PART I, LINE 7 THE AMOUNTS SHOWN IN COLUMN (II) OF SECTION B OF PART II ON THE PRECEDING PAGE ALL REPRESENT PBC (PERFORMANCE BASED COMPENSATION). PBC IS A FINANCIAL INCENTIVE POOL OF FUNDS THAT IS PRE-APPROVED BY THE BOARD OF DIRECTORS ANNUALLY. PBC PAYOUT IS BASED ON THE FOLLOWING FACTORS THAT ARE DESIGNED TO ALIGN INDIVIDUAL AND ORGANIZATIONAL PERFORMANCE WITH THE NON-PROFIT MISSION OF SRI - GROWTH IN ORDER BOOKINGS, GROWTH IN CONTRACT LABOR REVENUE, MEETING THRESHOLD INCOME FROM RESEARCH CONTRACTS, GENERATING ROYALTY INCOME, GENERATING NEW EQUITY ASSETS RESULTING FROM SPIN-OFF COMPANIES, GENERATING NEW PATENTS, PUBLISHING RESEARCH RESULTS, AND OTHER SUCH METRICS AS DEEMED RELEVANT BY MANAGEMENT FOR THE FISCAL YEAR. A CA INFRASTRUCTURE AND DEVELOPMENT 630304653 13033W3N1 2010-03-10 15000000 RESEARCH FACILITIES UPGRADE 0 0 0 B CA INFRASTRUCTURE AND DEVELOPMENT 630304653 13033WLH4 2003-09-01 23720000 RESEARCH FACILITIES 0 0 0 C CA INFRASTRUCTURE AND DEVELOPMENT 630304653 NONEAVAIL 2012-06-28 18590000 REFINANCING 2003 ISSUE 0 0 0 A 15000000 603000 14397000 2011 0 0 1 1 B 23720000 23720000 23720000 2005 0 0 1 1 C 18590000 185000 2012 1 0 1 1 A 0 0 0 0 1 0 0 B 0 0 0 0 1 0 0 C 0 0 0 0 1 0 0 A 0 0 0 1 1 0 0 0 1 B 0 0 0 1 1 0 0 0 1 C 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 PART I ROW C COLUMN C CUSIP MATURITY DATE PRINCIPAL 13034ABN9 09/01/2013 $1,075,000 13034ABP4 09/01/2014 $1,110,000 13034ABQ2 09/01/2015 $1,145,000 13034ABR0 09/01/2016 $890,000 13034ABS4 09/01/2017 $925,000 13034ABT6 09/01/2018 $960,000 13034ABU3 09/01/2019 $1,000,000 13034ABV1 09/01/2020 $1,040,000 13034ABW9 09/01/2021 $1,095,000 13034ABX7 09/01/2022 $1,150,000 13034ABX7 09/01/2028 $8,200,000 TOTAL $18,590,000 PART IV 2 C A 07/13/12 REFERRING TO 08/24/2008 B 04/05/12 C NOT YET FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS REVIEWED BY SRI STAFF (FINANCIAL ANALYSIS, CONTROLLER, CEO), OUTSIDE LEGAL COUNSEL AND THE AUDIT COMMITTEE. A COPY OF THE FINAL VERSION OF THE FORM 990 IS FURNISHED TO THE EACH MEMBER OF THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 12C SRI MAINTAINS, TRAINS ITS OFFICERS, DIRECTORS AND EMPLOYEES REGARDING, AND ENFORCES STANDARDS OF CONDUCT AND CONFLICT-OF-INTEREST POLICIES WHICH, AMONG OTHER THINGS, REQUIRE SUCH PERSONS TO IDENTIFY, DISCLOSE AND AVOID INTERESTS THAT COULD GIVE RISE TO ETHICAL CONFLICTS. TRAINING IN SRI'S CODE OF CONDUCT AND ITS ETHICS AND CONFLICTS-OF-INTEREST POLICIES IS PROVIDED THROUGH SRI'S LEGAL DEPARTMENT, AS WELL AS THROUGH ITS PROFESSIONAL CONTRACTS STAFF. THE ETHICS AND CONFLICT-OF-INTEREST POLICIES ARE POSTED ON SRI'S INTERNAL WEBSITE. SRI'S ETHICS OFFICER IS REACHABLE BY ALL EMPLOYEES THROUGH SRI'S ETHICS "HOTLINE,". SRI'S INTERNAL AUDIT STAFF ASSIST THE ETHICS OFFICER IN INVESTIGATING POTENTIAL VIOLATIONS AND RECOMMENDING REMEDIAL MEASURES. SENIOR MANAGEMENT OVERSEES THESE PERSONNEL AND POLICIES AND TAKES CORRECTIVE AND, AS WARRANTED, DISCIPLINARY ACTION. SRI REQUIRES ITS OFFICERS AND DIRECTORS TO COMPLETE AN ANNUAL DISCLOSURE FORM WHICH IS REVIEWED FOR POTENTIAL CONFLICTS. IN THE EVENT OF POTENTIAL CONFLICTS, THE PERSONS INVOLVED ARE BARRED FROM PARTICIPATING IN THE DELIBERATIONS AND DECISIONS REGARDING THE MATTER WHICH IS THE SUBJECT OF THE CONFLICT. FORM 990, PART VI, SECTION B, LINE 15 AMONG THE COMMITTEES OF THE SRI BOARD OF DIRECTORS IS THE COMPENSATION AND MANAGEMENT DEVELOPMENT COMMITTEE (THE "COMMITTEE"), WHICH IS COMPOSED OF FOUR INDEPENDENT DIRECTORS. ON AN ANNUAL BASIS, THE COMMITTEE REVIEWS AND APPROVES COMPENSATION LEVELS FOR SRI'S SENIOR STAFF AND CEO, BASED ON COMPARABLE COMPENSATION INFORMATION FOR SIMILARLY-SITUATED COMPANIES. THIS COMPARABLE COMPENSATION INFORMATION IS DEVELOPED OR OBTAINED BY A QUALIFIED, EXPERIENCED AND INDEPENDENT COMPENSATION CONSULTANT, WHO PROVIDES A REPORT AND OPINION TO THE COMMITTEE REGARDING THE REASONABLENESS OF THE PROPOSED COMPENSATION LEVELS IN LIGHT OF THE EXTERNAL DATA. THE MINUTES OF THE COMMITTEE REFLECT AND DOCUMENT THE DECISIONS, AND THE BASIS THEREOF, REACHED BY THE COMMITTEE, AND RECORDS RELATING TO THE DATA CONSIDERED BY THE COMMITTEE. THE MINUTES OF THE COMMITTEE'S MEETINGS ARE MAINTAINED BY THE VP OF HUMAN RESOURCES AND THE GENERAL COUNSEL. FORM 990, PART VI, SECTION C, LINE 19 SRI'S ORGANIZATION DOCUMENTS AND FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. COPIES OF THE FINANCIAL STATEMENTS CAN ALSO BE OBTAINED FROM THE OFFICE OF THE CALIFORNIA SECRETARY OF STATE, WHERE A COPY IS FILED ANNUALLY. SRI'S CONFLICT OF INTEREST POLICY IS NOT MADE AVAILABLE TO THE PUBLIC. OTHER FEES FORM 990, PART IX, LINE 11G OTHER FEES : PROGRAM SERVICE EXPENSES 134,453,492. MANAGEMENT AND GENERAL EXPENSES 14,487,402. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 148,940,894. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: INCOME TAX EXPENSE -364,000. EQUITY AND EARNINGS FROM SUBSIDIARY -1,634,000. TECHNOLOGY VENTURE MANAGEMENT 333 RAVENSWOOD AVE MENLO PARK CA 94025 311663741 SUPPORT OF RESEARCH CA 501(C)(3) 9 SRI INTERNATIONAL 1 AVERATEK 550 NUTTMAN STREET SANTA CLARA CA 95054 260836519 CIRCUIT COMPONENTS CA SRI C -1170686 1624170 0.67090 1 SRI HOLDINGS 333 RAVENSWOOD AVENUE MENLO PARK CA 94025 931201429 BUSINESS CONSULTANT CA SRI C 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0