2012-06-07T15:18:44-05:00 2011-12-31 952835976 MACFARLANE FALETTI & CO LLP 115 E MICHELTORENA ST 200 SANTA BARBARA CA 93101 990 2011-01-01 951644628 SANTA BARBARA BOTANICAL GARDEN SANT 8056824726 1212 MISSION CANYON SANTA BARBARA CA 93105 STEVE WINDHAGER 8056824726 2012-05-30 1 GAIL H ANIKOUCHINE P00161999 8059664157 2011 2016-02-24 21:20:13Z JAMES KOOPMANS 1212 MISSION CANYON ROAD SANTA BARBARA CA 93105 13910771 0 1 X WWW.SBBG.ORG X 1926 CA THE SANTA BARBARA BOTANIC GARDEN FOSTERS THE CONSERVATION OF CALIFORNIA'S NATIVE PLANTS THROUGH OUR GARDENS, RESEARCH AND EDUCATION, AND SERVES AS A ROLE MODEL OF SUSTAINABLE PRACTICES. 14 14 51 120 -23444 -23444 1133563 2463889 336109 343857 246215 394730 839710 1057793 2555597 4260269 0 0 0 0 1709419 1614892 0 107932 327651 1551805 1337249 3261224 3060073 -705627 1200196 35978701 36103906 5655944 4668792 30322757 31435114 X THE SANTA BARBARA BOTANIC GARDEN FOSTERS THE CONSERVATION OF CALIFORNIA'S NATIVE PLANTS THROUGH OUR GARDENS, RESEARCH AND EDUCATION, AND SERVES AS A ROLE MODEL OF SUSTAINABLE PRACTICES. 0 0 1094675 1119246 HORTICULTURE - MAINTAINS LIVING PLANT COLLECTION OF 1000 TAXA OF CALIFORNIA NATIVE PLANTS ON 78 ACRES FOR 60,000-75,000 ANNUAL VISITORS, INCLUDING COLLECTING, PROPAGATING, IRRIGATION AND MAINTAINING GROUNDS. 494565 52999 EDUCATION - TEACHES PLANT SCIENCE TO COLLEGE STUDENTS, ADULTS, AND PROFESSIONALS, SCHOOL GROUPS AND CHILDREN. FOR 2011, THE GARDEN HELD OVER 370 LECTURES, TOURS, & CLASSES FOR APPROXIMATELY 2,900 ADULTS AND 4,900 CHILDREN. 316876 25085 RESEARCH - MAINTAINS HERBARIUM OF 150,000+ SPECIMENS, CONDUCTS FLORISTIC SURVEYS, PUBLISHES SCIENTIFIC RESEARCH ON CALIFORNIA NATIVE PLANTS & STRUCTURAL BOTANY, MAINTAINS LIBRARY OF 15,000 VOLUMES. OFFERS FELLOWSHIPS AND INTERNSHIPS. 256683 0 GARDEN SHOP - EDUCATIONAL RESOURCES PROMOTING KNOWLEDGE OF PLANTS THROUGH BOOK SALE, SERVING STUDENTS, TEACHERS, PROFESSIONALS, AND 60,000-75,000 ANNUAL VISITORS. COLLECTS ADMISSION FEES, GREETS VISITORS, AND PROVIDES GENERAL INFORMATION. 256683 2162799 1 1 0 0 0 0 0 1 0 1 1 1 0 1 1 1 1 0 0 0 0 0 0 1 1 0 0 0 0 1 0 0 0 0 0 1 0 0 1 1 0 0 0 0 0 0 0 0 1 30 0 1 51 1 1 1 0 0 0 0 1 1 0 0 0 0 X 14 14 0 0 0 0 0 0 0 1 0 0 0 1 1 1 1 1 1 1 1 0 CA X X X GAYLE KOPITZKE CONTROLLER 8056824726 1212 MISSION CANYON ROAD SANTA BARBARA CA 93105 JOHN M WIEMANN PH D 4.00 X X 0 0 0 MR GARY ROBINSON 2.00 X X 0 0 0 JAMES O KOOPMANS CPA 4.00 X X 0 0 0 CAROLYN KINCAID HENDERSON 4.00 X X 0 0 0 SUE ADAMS 2.00 X 0 0 0 JOHN BRINKER 3.00 X 0 0 0 ELIZABETH KEATE 1.00 X 0 0 0 WILLIAM KOONCE MD 2.00 X 0 0 0 STEPHEN V MASTERSON CPA 2.00 X 0 0 0 CHARLES J RENNIE III MD 2.00 X 0 0 0 GARY U ROLLE 2.00 X 0 0 0 PATRICK CONNELLY 2.00 X 0 0 0 VICTOR SCHAFF 2.00 X 0 0 0 PETER SCHUYLER 2.00 X 0 0 0 STEVE WINDHAGER 40.00 X 139625 0 18195 GINA BENESH 40.00 X 104244 0 24077 243869 0 42272 2 0 1 0 PETERSON'S TREE CARE INC PO BOX 6092 SANTA BARBARA CA 93140 TREE SERVICE 152579 1 191283 15350 85000 2172256 12218 2463889 ADMISSIONS 900099 265773 265773 EDUCATION PROGRAM FEES 611710 52999 52999 CONTRACTS 541700 25085 25085 343857 223760 223760 64750 75764 -11014 -11014 900 -11914 9491837 9320867 170970 170970 170970 87677 15350 33152 54525 54525 9150 41 9109 9109 371997 220678 151319 -11530 162849 FIRE INSURANCE PROCEED 900099 837199 837199 MISCELLANEOUS REVENUE 900099 15374 15374 ROYALTY INCOME 900099 1281 1281 853854 4260269 1197330 -23444 622494 132880 53152 66440 13288 1187205 895145 172385 119675 40844 26586 9175 5083 148276 112444 17674 18158 105687 71070 16678 17939 429 429 15503 15503 107932 107932 32257 32257 239864 226488 13376 38941 38941 136991 77777 50395 8819 40620 33716 4061 2843 14533 5530 8406 597 3353 940 2378 35 178183 134488 26427 17268 193798 79241 114408 149 93968 77993 9397 6578 GROUNDS & MAINTENANCE 260997 254337 6567 93 PUBLICATION 40251 38105 217 1929 CLASSES, TOURS, & EVENT 20355 13572 0 6783 UNEMPLOYMENT PAID 12753 10256 2015 482 14453 13018 1435 3060073 2162799 569623 327651 678 1161 110575 588196 193000 7257 21189 125237 117414 60283 54409 19620521 2227295 17568283 17393226 11399799 10085100 6706589 7650211 35978701 36103906 1741575 845052 3882047 3823740 32322 0 5655944 4668792 X 24966131 24239256 3121833 3853569 2234793 3342289 30322757 31435114 35978701 36103906 X 1200196 -87839 X X 0 1 1 X 0 X 1945730 1192527 983114 1133563 1198889 6453823 1945730 1192527 983114 1133563 1198889 6453823 480766 5973057 820711 1111178 234756 246215 394730 2807590 37704 3216 14954 839710 1082701 1978285 11239698 679966 0.53140 0.62010 X SCHEDULE A, PART IV, LIST OF UNUSUAL GRANTS: BEQUEST DATE: 09/29/11 AMOUNT: 565000. INTEREST IN PERPETUAL TRUSTS DATE: 01/01/11 AMOUNT: 700000. INTEREST IN PERPETUAL TRUSTS DATE: 12/31/10 AMOUNT: 396138. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X X 1 11690568 59716 -148191 1466145 10135948 13168297 53075 1069102 2599906 11690568 9344388 1876386 2041467 93944 13168297 16967251 -4413744 3209119 9344388 0.73000 0.22000 0.05000 0 0 14902006 14902006 1626569 465740 1160829 2280284 1148670 1131614 612924 513515 99409 198738 99370 99368 17393226 COMMON STOCK 739891 F MUTUAL FUNDS 5063009 F CORPORATE BONDS 1329628 F LT CERTIFICATES OF DEPOSITS 2952572 F 10085100 CASH RESTRICTED FOR LONG-TERM USE 39994 CHARITABLE REMAINDER TRUSTS 373577 INSURANCE POLICIES 7854 WORK IN PROCESS 6001195 LAND FOR INVESTMENT 3000 COLLECTIONS 118275 INTEREST IN PERPETUAL TRUSTS 1106316 7650211 4260269 3060073 1200196 -511945 396138 27968 -87839 1112357 2982641 -511945 103732 -408213 3390854 32257 837158 869415 4260269 3103621 75764 75764 3027857 32216 32216 3060073 PART III, LINE 1A: THE GARDEN HAS COLLECTIONS OF BOTANICAL BOOKS, NATIVE PLANT ARTWORKS, HERBARIUM SPECIMENS AND LIVING COLLECTIONS. IT SAFE HOUSES THE COLLECTION OF THE LIBRARY IN AN AIR-CONDITIONED SPACE. THE HERBARIUM COLLECTION OF PRESERVED PLANT SPECIMENS IS MAINTAINED IN A SECURE, PEST-FREE FACILTY. THE LIVING COLLECTION OF NATIVE PLANTS IS DISPLAYED ON THE 78 ACRES AND IS MAINTAINED BY THE HORTICULTURE STAFF. ADDITIONS TO THE COLLECTION ARE MADE DURING RESEARCH PROJECTS, EXCHANGE WITH OTHER GARDENS, AS GIFTS, OR OCCASIONALLY PURCHASED. PART III, LINE 4: THE GARDEN HAS COLLECTIONS OF BOTANICAL BOOKS, NATIVE PLANT ARTWORKS, HERBARIUM SPECIMENS AND LIVING COLLECTIONS. IT SAFE HOUSES THE COLLECTION OF THE LIBRARY IN AN AIR-CONDITIONED SPACE AND LIMITS ACCESS TO THE COLLECTION TO AUTHORIZED PERSONS. THE HERBARIUM COLLECTION OF PRESERVED PLANT SPECIMENS IS MAINTAINED IN A SECURE, PEST-FREE FACILTY. THE LIVING COLLECTION OF NATIVE PLANTS IS DISPLAYED ON THE 78 ACRES AND IS MAINTAINED BY THE HORTICULTURE STAFF. ADDITIONS TO THE COLLECTION ARE MADE DURING RESEARCH PROJECTS, EXCHANGE WITH OTHER GARDENS, AS GIFTS, OR OCCASIONALLY PURCHASED. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: PROGRAMS RELATED TO THE MISSION OF THE BOTANIC GARDEN. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE GARDEN IS UNAWARE OF ANY UNCERTAIN TAX POSITIONS AT DECEMBER 31, 2011, OR FOR ANY PERIOD WHICH THE STATUTE OF LIMITATIONS IS STILL OPEN. PART XI, LINE 8 - OTHER ADJUSTMENTS: CHANGE IN VALUE OF CHARITABLE REMAINDER TRUSTS 17,790. CHANGE IN VALUE OF PERPETUAL TRUSTS 10,178. TOTAL TO SCHEDULE D, PART XI, LINE 8: 27,968. PART XII, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN VALUE OF CHARITABLE REMAINDER TRUSTS 17,790. CHANGE IN VALUE OF PERPETUAL TRUSTS 10,178. RENTAL EXPENSES 75,764. PART XII, LINE 4B - OTHER ADJUSTMENTS: FIRE NON-CAPITAL PROCEEDS 837,199. RAFFLE EXPENSES -41. PART XIII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES 75,764. PART XIII, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT FEES 32,257. RAFFLE EXPENSES -41. X X X X X X X 1 NETZEL GRISBY ASSOCIATES INC 222 EAST CANON PERDIDO ST SANTA BARBARA CA 93101 PROFESSIONAL CONSULTING FOR FUNDRAISING EVENTS 0 0 39600 -39600 39600 -39600 ORCHID SHOW 76725 15350 61375 10601 19512 3039 FUNDRAISER 26302 26302 103027 15350 87677 10601 19512 3039 33152 54525 EXPLANATION OF FUNDRAISING PAYMENTS SCHEDULE G, PART I, LINE 2B, COLUMN (V) THE GARDEN ENGAGED NETZEL TO PROVIDE CAMPAIGN COUNSELING SERVICES. X 1 1 X X X 0 0 0 0 0 0 0 0 0 STEVE WINDHAGER 139625 0 0 0 0 0 0 0 18195 0 157820 0 14827 0 JOHN BRINKER BOARD MEMBER THE GARDEN HAS INVESTMENTS AND LOANS WITH SANTA BARBARA BANK AND TRUST WHERE JOHN BRINKER IS THE SENIOR VICE PRESIDENT. THE GARDEN FOLLOWED ITS CONFLICT OF INTEREST POLICY AND PROCEDURES. 0 VICTOR SCHAFF BOARD MEMBER 100 THE GARDEN PURCHASED GOODS FROM A BUSINESS OWNED BY VICTOR SCHAFF. THE GARDEN FOLLOWED ITS CONFLICT OF INTEREST POLICY AND PROCEDURES. 0 X 1 X 4 12218 FMV OF STOCK X 1 X HORTICULTURE 1 4574 COMPARABLE VALUE X PROFESSIONAL SERVICES 1 900 COMPARABLE VALUE X PERPETUAL TRUST 1 700000 10% OF FMV OF TRUST 0 0 0 NON REPORTING OF REVENUE: PART I, LINE 33: SCHEDULE M, LINE 33: IN CONFORMITY WITH PRACTICE FOLLOWED BY GARDENS AND MUSEUMS, COLLECTION OBJECTS DONATED ARE NOT INCLUDED IN REVENUE. FORM 990, PART VI, SECTION A, LINE 8B THE ORGANIZATION KEEPS WRITTEN AND APPROVED BOARD MINUTES FOR THE BOARD OF DIRECTOR MEETINGS ONLY. THE ORGANIZATION'S SUB-COMMITTEES DO NOT KEEP WRITTEN MINUTES FROM THEIR MEETINGS. FORM 990, PART VI, SECTION B, LINE 11 THE 990 WILL BE REVIEWED AND APPROVED BY THE FINANCE COMMITTEE PRIOR TO ITS FILING. AFTER THE FINANCE COMMITTEE REVIEWS THE 990, THE FINANCE COMMITTEE WILL CIRCULATE THE 990 TO THE FULL BOARD AND RECOMMEND APPROVAL TO THE GOVERNING BOARD. THE BOARD IS NOT REQUIRED TO APPROVE THE 990 PRIOR TO ITS ISSUING. FORM 990, PART VI, SECTION B, LINE 12C ALL MEMBERS OF THE BOARD OF TRUSTEES ARE REQUIRED TO SIGN ANNUAL DISCLOSURES OF CONFLICT OF INTEREST. ALL EMPLOYEES ARE REQUIRED TO SIGN AT THE TIME OF HIRE AND THE HUMAN RESOURCE DEPARTMENT MONITORS THIS PROCESS. FORM 990, PART VI, SECTION B, LINE 15 SALARY COMMITTEE REVIEWS SEVERAL SURVEYS AND RECOMMENDS SALARY TO THE EXECUTIVE COMMITTEE. THE EXECUTIVE COMMITTEE APPROVES OR DISAPPROVES THE RECOMMENDATION. FORM 990, PART VI, SECTION C, LINE 18 THE 990 AND 990-T ARE AVAILABLE ON THE GARDEN'S WEBSITE AND ARE AVAILABLE UPON REQUEST. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS ARE AVAILABLE ON THE GARDEN'S WEBSITE; POLICIES AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -511,945. PRIOR PERIOD ADJUSTMENTS: 396,138. CHANGE IN VALUE OF CHARITABLE REMAINDER TRUSTS 17,790. CHANGE IN VALUE OF PERPETUAL TRUSTS 10,178. TOTAL TO FORM 990, PART XI, LINE 5: -87,839. AUDIT COMMITTEE FORM 990, PART XII, LINE 2C THE GARDEN APPOINTED AN AUDIT COMMITTEE TO HIRE THE INDEPENDENT AUDITOR, TO MONITOR THE AUDIT PROCESS, TO REVIEW THE AUDIT, AND TO PRESENT THE AUDIT TO THE GOVERNING BOARD FOR APPROVAL. THE COMMITTEE CONSISTS OF THREE BOARD MEMBERS AND ONE NON-BOARD MEMBER. EXECUTIVE COMMITTEE FORM 990, PART VI, SECTION A, BOARD GOVERNANCE THE GARDEN'S BYLAWS CALL FOR AN EXECUTIVE COMMITTEE. THE CHAIR, WITH THE ADVICE SUBJECT TO RATIFICATION OF THE BOARD, SHALL APPOINT AN EXECUTIVE COMMITTEE COMPOSED OF 5 TO 7 MEMBERS OF WHICH AT LEAST 4 SHALL BE OFFICERS OF THE CORPORATION AND NO MORE THAN 3 AT-LARGE TRUSTEES. THE EXECUTIVE COMMITTEE MAY MAKE BUSINESS AND MANAGEMENT DECISIONS, AS DELEGATED BY THE BOARD, UNDER THE DIRECTION OF THE CHAIR, WHICH ARE WITHIN THE PURVIEW OF THE BOARD, UNDER THE ULTIMATE DIRECTION OF THE BOARD. THE EXECUTIVE COMMITTEE MET 6 TIMES DURING THE YEAR.