2012-10-22T11:22:17-05:00 2011-12-31 952835976 MACFARLANE FALETTI & CO LLP 115 E MICHELTORENA ST 200 SANTA BARBARA CA 93101 990 2011-01-01 953825265 NUCLEAR AGE PEACE FOUNDATION NUCL 8059653443 1622 ANACAPA STREET SANTA BARBARA CA 93101 DAVID KRIEGER 8059653443 2012-10-16 1 MACFARLANE FALETTI CO LLP P00161999 8059664157 2011 2016-02-24 21:20:13Z DAVID KRIEGER 1622 ANACAPA STREET SANTA BARBARA CA 93101 1367422 0 X WWW.WAGINGPEACE.ORG X EXEMPT ORGANIZATION 1982 CA TO EDUCATE AND ADVOCATE FOR PEACE AND A WORLD FREE OF NUCLEAR WEAPONS AND TO EMPOWER PEACE LEADERS. 20 20 9 32 0 0 266539 530740 0 0 150168 192761 61966 -33234 478673 690267 88822 48215 0 0 555310 567825 15113 8595 92657 259527 229150 918772 853785 -440099 -163518 4694694 4312308 4655 7791 4690039 4304517 X TO EDUCATE AND ADVOCATE FOR PEACE AND A WORLD FREE OF NUCLEAR WEAPONS AND TO EMPOWER PEACE LEADERS. FOUNDED IN 1982, THE FOUNDATION IS COMPRISED OF INDIVIDUALS AND ORGANIZATIONS WORLDWIDE WHO REALIZE THE IMPERATIVE FOR PEACE IN THE NUCLEAR AGE. THE NUCLEAR AGE PEACE FOUNDATION IS A NON-PROFIT, NON-PARTISAN INTERNATIONAL EDUCATION AND ADVOCACY ORGANIZATION. IT HAS CONSULTATIVE STATUS TO THE UNITED NATIONS ECONOMIC AND SOCIAL COUNCIL AND IS RECOGNIZED BY THE UN AS A PEACE MESSENGER ORGANIZATION. 0 0 334758 PUBLIC EDUCATION AND OUTREACHTHE FOUNDATION'S ANNUAL AWARDS DINNER HONORED OUTSTANDING PEACE LEADERS AND REACHED APPROXIMATELY 300 PEOPLE IN THE SANTA BARBARA AREA AND 1,000S MORE THROUGH UCTV.THE ANNUAL FRANK KELLY LECTURE BRINGS LEADING THINKERS TO SANTA BARBARA FOR AN EVENING LECTURE. THE 2011 LECTURE REACHED 250 PEOPLE PLUS THE FOUNDATION REACHED 1000S MORE THROUGH UCTV AND PUBLISHING.THE PEACE POETRY CONTEST ENCOURAGES POETS TO EXPLORE AND ILLUMINATE POSITIVE VISIONS OF PEACE AND THE HUMAN SPIRIT. THE CONTEST RECEIVED 242 ENTRIES. THE WINNING POEMS WERE PUBLISHED ON THE FOUNDATION'S WEBSITE.THE SWACKHAMER DISARMAMENT VIDEO CONTEST, STARTED IN 2008, SEEKS SHORT VIDEOS ON SUBJECTS RELATING TO NUCLEAR DISARMAMENT. THE CONTEST RECEIVED 80 ENTRIES IN 2011, AND THE VIDEOS WERE VIEWED ONLINE OVER 5,000 TIMES.THE FOUNDATION'S PRIMARY WEBSITES, WWW.WAGINGPEACE.ORG AND WWW.NUCLEARFILES.ORG, CONTAIN VAST AMOUNTS OF INFORMATION RELATING TO BOTH CONTEMPORARY AND HISTORICAL ISSUES OF THE NUCLEAR AGE. IN 2011, THE WEBSITES WERE VISITED BY OVER 683,000 UNIQUE USERS. 56082 48215 AUXILIARY PROJECTSTHE INTERNATIONAL NETWORK OF ENGINEERS AND SCIENTISTS FOR GLOBAL RESPONSIBILITY (INES) IS AN INDEPENDENT NON-PROFIT ORGANIZATION COMMITTED TO INFLUENCING THE ROLE AND THE IMPACT THAT SCIENCE AND TECHNOLOGY HAVE ON SOCIETY.THE RIGHT LIVELIHOOD AWARD HONORS OUTSTANDING INDIVIDUALS IN THE FIELDS OF PEACE AND HUMAN RIGHTS, SUPPORTING THOSE "OFFERING PRACTICAL AND EXEMPLARY ANSWERS TO THE MOST URGENT CHALLENGES FACING US TODAY."THE NUCLEAR AGE PEACE FOUNDATION - SILICON VALLEY GROUP SEEKS TO ADVANCE THE FOUNDATION'S PROGRAM AND CAMPAIGNS IN THE SILICON VALLEY REGION OF CALIFORNIA.THE WORLD FUTURE COUNCIL (WFC) AIMS TO BE AN ETHICAL VOICE FOR THE NEEDS AND RIGHTS OF FUTURE LIFE, INCLUDING THE NEED TO ABOLISH NUCLEAR WEAPONS. THE NUCLEAR AGE PEACE FOUNDATION'S PRESIDENT, DAVID KRIEGER, IS ONE OF THE WFC'S 50 COUNCILORS.THE NUCLEAR AGE PEACE FOUNDATION HELD TWO SYMPOSIA IN GENEVA, SWITZERLAND, ON NUCLEAR TESTING AND LOWERING THE OPERATING STATUS OF NUCLEAR ARSENALS. 145172 PROJECTS TO ELIMINATE THE DANGERS OF NUCLEAR WEAPONSTHE DANIEL ELLSBERG FELLOWSHIP IS PROVIDED TO NOTED SCHOLAR AND AUTHOR DANIEL ELLSBERG, WHO IS WRITING ARTICLES AND A BOOK ON NUCLEAR ISSUES.THE FOUNDATION'S EMERGING NUCLEAR THREATS PROGRAM COVERS MANY DIFFERENT ACTIVITIES, INCLUDING WORK WITH THE UNITED NATIONS AROUND THE NON-PROLIFERATION TREATY (REACHES THOUSANDS OF PEOPLE). THE SUNFLOWER E-NEWSLETTER IS A MONTHLY NEWSLETTER ON NUCLEAR ISSUES THAT REACHES OVER 50,000 PEOPLE BY EMAIL. THE ACTION ALERT NETWORK GIVES MEMBERS THE OPPORTUNITY TO EMAIL MEMBERS OF CONGRESS AND OTHER LEADERS ABOUT IMPORTANT NUCLEAR ISSUES IN ORDER TO INFLUENCE LEGISLATION AND POLICY. IN 2011, OVER 70,000 ADVOCACY MESSAGES WERE SENT. 125281 EMPOWERING PEACE LEADERSTHE PEACE LEADERSHIP PROGRAM OFFERS INDIVIDUALS A NEW WAY OF LEARNING ABOUT PEACE, SOCIAL JUSTICE AND THE ACTIONS PEOPLE CAN TAKE TO CREATE A MORE PEACEFUL WORLD. THE PROGRAM GIVES PARTICIPANTS THE TRAINING AND SKILLS NEEDED TO BECOME STRONG LEADERS. THE PROGRAM FOCUSES PRIMARILY ON STUDENTS BUT REACHES OUT TO PEOPLE OF ALL AGES.THE FOUNDATION WORKS TO STRENGTHEN INTERNATIONAL LAW THROUGH WRITING ORIGINAL ARTICLES AND HOLDING AND PARTICIPATING IN SYMPOSIA.THE FOUNDATION WORKS TO EMPOWER A NEW GENERATION OF PEACE LEADERS THROUGH WORKING WITH STUDENTS INTERESTED IN PURSUING A WORLD FREE OF NUCLEAR WEAPONS. THE INTERNSHIP PROGRAM HOSTS APPROXIMATELY 10 INTERNS PER YEAR, BOTH PAID AND UNPAID. 125281 661293 1 1 0 1 0 0 0 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 0 0 1 0 0 0 0 1 0 0 0 0 0 1 0 0 1 0 0 0 0 0 0 0 0 0 1 16 0 1 9 1 0 0 0 0 0 1 1 0 0 0 0 X 20 20 1 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 CA X SHARON ROSSOL 8059653443 1622 ANACAPA STREET SANTA BARBARA CA 93101 DAVID KRIEGER 50.00 X X 164470 0 11634 RICHARD FALK 1.50 X X 0 0 0 DIANDRA DE MORRELL DOUGLAS 0.30 X 0 0 0 ANNA GROTENHUIS 0.80 X 0 0 0 DR PETER HASLUND 1.00 X 0 0 0 MARC KIELBURGER 0.30 X 0 0 0 ROBERT B LANEY 2.00 X X 0 0 0 JOHN RANDOLPH PARTEN 0.50 X 0 0 0 SELMA RUBIN 2.00 X 0 0 0 IMAGING SPENCE 0.30 X 0 0 0 PETER MACDOUGALL 2.00 X X 0 0 0 MARK HAMILTON 2.00 X X 0 0 0 SUE HAWES 0.50 X 0 0 0 JILL DEXTER 2.00 X 0 0 0 CHRIS PIZZINAT 0.50 X 0 0 0 STEVE PARRY 2.00 X X 0 0 0 LESSIE NIXON SCHONTZLER 0.50 X 0 0 0 LAURIE ASHTON 1.50 X 0 0 0 GEORGE HAYNES 1.30 X 0 0 0 MARY BECKER 0.80 X 0 0 0 JIMMY HARA 0.50 X 0 0 0 SHERRY MELCHIORRE 0.50 X 0 0 0 164470 0 11634 1 0 1 0 0 3471 168780 5695 352794 39394 530740 152492 152492 658529 618260 40269 40269 40269 22500 168780 57429 -34929 -34929 3161 1466 1695 1695 690267 0 0 159527 48215 48215 176104 149688 8806 17610 311971 231010 44883 36078 43383 33839 4772 4772 36367 28367 4000 4000 13101 10219 1441 1441 8595 8595 25090 25090 2884 2250 317 317 28288 28288 37003 28859 4072 4072 14571 11365 1603 1603 25174 19636 2769 2769 129 101 14 14 15742 12279 1732 1731 3058 2386 336 336 PROGRAM EXPENSES 28033 28033 PUBLIC EDUCATION AND OU 16763 16763 FUNDRAISING 9319 9319 AUXILIARY PROGRAMS 7868 7868 2127 2127 853785 661293 99835 92657 51986 52672 4946 4949 110565 109792 593324 356470 238581 236854 4288616 3883141 24900 4694694 4312308 4655 7791 4655 7791 X 2569700 2184178 501742 501742 1618597 1618597 4690039 4304517 4694694 4312308 X -163518 -222004 X X 0 1 1 X 0 X 970163 522107 444832 376514 530740 2844356 127547 90500 75396 315 25661 319419 1097710 612607 520228 376829 556401 3163775 474050 116500 69500 74500 99675 834225 270922 156317 35454 92050 167072 721815 744972 272817 104954 166550 266747 1556040 1607735 206615 271753 88848 105918 152492 825626 206615 271753 88848 105918 152492 825626 1304325 884360 609076 482747 708893 3989401 0.40300 0.39910 0.20700 0.17200 X SCHEDULE A, PART IV, LIST OF UNUSUAL GRANTS: COMMON STOCK DATE: 07/14/08 AMOUNT: 226410. COMMON STOCK DATE: 07/19/08 AMOUNT: 196292. COMMON STOCK DATE: 05/01/08 AMOUNT: 1810000. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 25033 6742 31775 822010 853785 153068 38267 0 0 196092 164465 162781 153068 676406 1014609 15692 33463 15435 31775 96365 49023 41116 40695 38267 169101 253652 13991 8945 8128 25033 56097 ORGANIZATIONS DIRECT AND INDIRECT POLITICAL CAMPAIGN ACTIVITIES: PART I-A, LINE 1: THROUGH MAILINGS AND DIRECT CONTACT WITH LEGISLATORS, EFFORTS ARE MADE TO ENCOURAGE SUPPORT FOR NUCLEAR DISARMAMENT AND NON-PROLIFERATION. 1618597 1618597 4760555 3141958 1618597 4228369 269861 738910 476585 4760555 3114178 2438592 -1118611 205790 4228369 1.00000 0 0 134792 134792 347677 258885 88792 110855 97585 13270 236854 690267 853785 -163518 -222004 -222004 -385522 690267 0 690267 0 690267 853785 0 853785 0 853785 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE FOUNDATION INVESTS ITS PERMANENTLY RESTRICTED ENDOWMENT FUNDS AND WITHDRAWS 5% OR MORE AS APPROVED BY THE BOARD OF DIRECTORS PER ANNUM FOR GENERAL OPERATING SUPPORT AND PROGRAM EXPENSES. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: NUCLEAR AGE PEACE FOUNDATION IS UNAWARE OF ANY UNCERTAIN TAX POSITIONS AT DECEMBER 31, 2011, OR FOR ANY PERIOD FOR WHICH THE STATUTE OF LIMITATIONS IS STILL OPEN. 1 BERLIN, GERMANY 0 1 GRANTS GIVEN 48215 0 1 0 0 0 1 48215 0 48215 BERLIN, GERMANY GENERAL SUPPORT FOR ELIMINATING THE DANGERS OF NUCLEAR WEAPONS. 48173 WIRE TRANSFER QUARTERLY 1 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: THE GRANTEE PROVIDES FINANCIAL AND PROGRAM INFORMATION TO THE PRESIDENT OF THE ORGANIZATION WHO REVIEWS IT AND THEN ANNUALLY REPORTS THE UTILIZATION OF THE FUNDS TO THE BOARD OF DIRECTORS. ANNUAL AWARD DINNER 126480 106380 20100 250 24737 18787 DESMOND TUTU EVENT 64800 62400 2400 470 5297 5512 191280 168780 22500 720 30034 24299 55053 -32553 X 0 0 0 0 0 0 0 0 0 DAVID KRIEGER 164470 0 0 0 0 0 0 0 11634 0 176104 0 0 0 ROBERT LANEY SECRETARY SECRETARY AND INVESTMENT BROKER ROBERT LANEY IS BOTH THE ORGANIZATION'S SECRETARY AND INVESTMENT BROKER. 0 0 X 2 1968 FMV ON ACTIVE EXCHANGE X 1 24418 FMV X ADVERTISING 1 9689 MARKET VALUE X FOOD-NON INVENTORY 2 733 MARKET VALUE 0 0 0 FORM 990, PART VI, SECTION A, LINE 2 ROBERT LANEY IS AN INVESTMENT ADVISOR TO DAVID KRIEGER'S, THE PRESIDENT OF THE ORGANIZATION, RETIREMENT ACCOUNT. FORM 990, PART VI, SECTION B, LINE 11 EACH BOARD MEMBER RECEIVES A DRAFT COPY OF THE 990 FOR REVIEW AND APPROVAL. THE BOARD IS THEN GIVEN APPROXIMATELY 1 WEEK TO REVIEW THE DOCUMENT AND SUBMIT QUESTIONS OR COMMENTS BEFORE THE DOCUMENT GOES TO FINAL FORM FOR RE-SUBMISSION TO THE BOARD. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, ALL BOARD MEMBERS, KEY EMPLOYEES, STAFF AND VOLUNTEERS COMPLETE THE CONFLICT OF INTEREST FORM AND STAFF FOLLOW-UP TO ENSURE ALL FORMS ARE COLLECTED. DURING THE YEAR, BOARD MEMBERS ARE REQUIRED TO ALERT THE BOARD IF A CONFLICT OF INTEREST ARISES DURING THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE EVALUATION COMMITTEE AND PERSONNEL COMMITTEE WORK TOGETHER TO CONDUCT AN INDEPENDENT CEO EVALUATION. THIS EVALUATION IS CONDUCTED ON AN EVERY-OTHER-YEAR-BASIS AND INCLUDES THE COMPENSATION OF THE PRESIDENT. THIS INFORMATION IS SUBMITTED TO THE EXECUTIVE COMMITTEE FOR REVIEW AND DISCUSSION AND THEN A RECOMMENDATION IS PRESENTED TO THE BOARD FOR APPROVAL. THE EVALUATION INFORMATION IS KEPT CONFIDENTIAL, BUT INFORMATION DESCRIBING THE EVALUATION PROCESS IS INCLUDED IN THE BOARD MINUTES. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE AT THE FOUNDATION'S OFFICE BY ADVANCE APPOINTMENT WITH THE OFFICE MANAGER. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -222,004. FINANCIAL STATEMENT AND ACCOUNTANT SELECTION RESPONSIBILITY FORM 990 PART XI, LINE 2C THE FINANCE COMMITTEE HAS RESPONIBILITY FOR THE FINANCIAL STATEMENTS AND SELECTION OF AN INDEPENDENT ACCOUNTANT. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. EXECUTIVE COMMITTEE FORM 990 PART VII NUCLEAR AGE PEACE FOUNDATION HAD AN EXECUTIVE COMMITTEE DURING 2011 CONSISTING OF RICHARD FALK, MARK HAMILTON, PETER HASLUND, SUE HAWES, DAVID KRIEGER, ROB LANEY, PETER MACDOUGALL, STEVE PARRY AND SELMA RUBIN. THE COMMITTEE MEETS REGULARLY BETWEEN BOARD MEETINGS. IN 2011, THE EXECUTIVE COMMITTEE MET THREE TIMES. AN EXECUTIVE COMMITTEE, CONSTITUTED OF ALL OF THE OFFICERS OF THE FOUNDATION AND THE CHAIRS OF STANDING COMMITTEES, SHALL EXERCISE THE POWERS OF THE BOARD IN THE INTERIM BETWEEN BOARD MEETINGS, ENSURE EFFECTIVE DELEGATION FROM THE BOARD TO THE PRESIDENT, AND ORGANIZE THE WORK OF THE BOARD, INCLUDING THE BOARD'S AGENDA. THE CHAIR OF THE BOARD SHALL BE THE CHAIR OF THE EXECUTIVE COMMITTEE. IN THE ABSENCE OF THE CHAIR, THE PRESIDING OFFICE SHALL BE DETERMINED AS SET FORTH IN THE BY-LAWS. MEETINGS OF THE EXECUTIVE COMMITTEE ARE OPEN TO ALL BOARD MEMBERS.