2011-11-01T12:08:54-05:00 2010-12-31 MACFARLANE FALETTI & CO LLP 115 E MICHELTORENA ST 200 SANTA BARBARA CA 93101 990 2010-01-01 953825265 NUCLEAR AGE PEACE FOUNDATION NUCL 8059653443 1622 ANACAPA STREET SANTA BARBARA CA 93101 DAVID KRIEGER 8059653443 2011-10-28 1 MACFARLANE FALETTI CO LLP 8059664157 2010 2016-03-07 17:11:31Z DAVID KRIEGER 1622 ANACAPA STREET SANTA BARBARA CA 93101 2465420 0 X WWW.WAGINGPEACE.ORG X EXEMPT ORGANIZATION 1982 CA TO ADVANCE INITIATIVES TO ELIMINATE THE NUCLEAR WEAPONS THREAT TO ALL LIFE, TO FOSTER THE GLOBAL RULE OF LAW, AND TO BUILD AN ENDURING LEGACY OF PEACE THROUGH EDUCATION AND ADVOCACY. 19 19 14 16 0 0 444832 266539 0 0 -100148 150168 33239 61966 377923 478673 112733 88822 0 0 558499 555310 0 15113 130795 258536 259527 929768 918772 -551845 -440099 4745405 4694694 9310 4655 4736095 4690039 X THE NUCLEAR AGE PEACE FOUNDATION INITIATES AND SUPPORTS WORLDWIDE EFFORTS TO ABOLISH NUCLEAR WEAPONS, TO STRENGTHEN INTERNATIONAL LAW AND INSTITUTIONS, AND TO INSPIRE AND EMPOWER A NEW GENERATION OF 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 1 319231 PUBLIC EDUCATION AND OUTREACHTHE FOUNDATION'S ANNUAL AWARDS DINNER HONORED OUTSTANDING PEACE LEADERS AND REACHED APPROXIMATELY 300 PEOPLE IN THE SANTA BARBARA AREA.THE ANNUAL FRANK KELLY LECTURE BRINGS LEADING THINKERS TO SANTA BARBARA FOR AN EVENING LECTURE. THE 2010 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 2,171 ENTRIES.THE SWACKHAMER DISARMAMENT VIDEO CONTEST, STARTED IN 2008, SEEKS SHORT VIDEOS ON SUBJECTS RELATING TO NUCLEAR DISARMAMENT. THE CONTEST RECEIVED 55 ENTRIES IN 2010, AND THE VIDEOS WERE VIEWED ONLINE OVER 6,000 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 2010, THE WEBSITES WERE VISITED BY OVER 600,000 UNIQUE USERS. 68492 62387 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. 173069 26435 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 CREATION AND DISTRIBUTION OF 3,000 FREE COPIES OF THE DVD "THE MYTH OF NUCLEAR DETERRENCE" WHICH WILL REACH OVER 50,000 PEOPLE; THE SUNFLOWER E-NEWSLETTER IS A MONTHLY NEWSLETTER ON NUCLEAR ISSUES THAT REACHES OVER 35,000 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 2010, OVER 20,000 ADVOCACY MESSAGES WERE SENT. 142824 PEACE LEADERSHIP PROGRAMTHE 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. 142824 703616 1 1 0 1 0 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 1 1 0 1 1 0 0 0 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 18 0 1 14 1 0 0 0 0 0 1 1 0 0 0 0 X 19 19 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 X 161386 0 10309 FRANK KELLY 3.00 X X 4500 0 0 RICHARD FALK 1.50 X X 0 0 0 DIANDRA DE MORRELL DOUGLAS 1.00 X 0 0 0 ANNA GROTENHUIS 1.00 X 0 0 0 DR PETER HASLUND 1.00 X 0 0 0 MARC KIELBURGER 1.00 X 0 0 0 ROBERT B LANEY 1.50 X X 0 0 0 JOHN RANDOLPH PARTEN 1.00 X 0 0 0 SELMA RUBIN 1.50 X 0 0 0 IMAGING SPENCE 1.00 X 0 0 0 PETER MACDOUGALL 2.00 X X 0 0 0 MARK HAMILTON 2.00 X X 0 0 0 SUE HAWES 1.00 X 0 0 0 JILL DEXTER 1.50 X 0 0 0 CHRIS PIZZINAT 1.00 X 0 0 0 STEVE PARRY 1.50 X X 0 0 0 LAURIE HARRIS 1.00 X 0 0 0 LESSIE NIXON SCHONTZLER 1.00 X 0 0 0 LAURIE ASHTON 1.00 X 0 0 0 YOLANDA NUNN GORMAN 1.00 X 0 0 0 165886 0 10309 1 0 1 0 0 2124 10358 254057 21081 266539 105918 105918 1982673 1938423 44250 44250 44250 109975 10358 46536 63439 63439 315 1788 -1473 -1473 478673 -1473 0 213607 26435 26435 62387 62387 176195 141000 17530 17665 312533 226332 21774 64427 29581 21670 2160 5751 37001 27752 2960 6289 13340 10806 1067 1467 7500 7500 15113 15113 25351 25351 3679 2980 294 405 6888 6888 50595 40782 4264 5549 17623 14274 1410 1939 5772 501 5271 329 266 27 36 16706 13365 1671 1670 7270 5887 582 801 PROGRAM EXPENSES 58436 58436 AUXILIARY PROGRAMS 24196 24196 PUBLIC EDUCATION AND OU 11559 11559 FUNDRAISING 9683 9683 DC EXPENSES 600 600 918772 703616 84361 130795 56466 51986 4944 4946 99477 110565 579309 340728 255287 238581 4329231 4288616 4745405 4694694 9310 4655 9310 4655 X 2645657 2569700 471841 501742 1618597 1618597 4736095 4690039 4745405 4694694 X -440099 394043 X X 0 1 1 X 0 X 923064 970163 522107 444832 376514 3236680 120069 127547 90500 75396 315 413827 1043133 1097710 612607 520228 376829 3650507 482268 474050 116500 69500 74500 1216818 119256 270922 156317 35454 92050 673999 601524 744972 272817 104954 166550 1890817 1759690 85377 206615 271753 88848 105918 758511 85377 206615 271753 88848 105918 758511 1128510 1304325 884360 609076 482747 4409018 0.39910 0.41800 0.17200 0.14110 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 8128 7307 15435 903108 918543 162781 40695 0 0 194316 196092 164465 162781 717654 1076481 40620 15692 33463 15435 105210 48579 49023 41116 40695 179413 269120 32496 13991 8945 8128 63560 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. 4760555 3141958 1618597 4228369 269861 738910 476585 4760555 3114178 2438592 -1118611 205790 4228369 1.00000 0 0 134792 134792 347677 246598 101079 96840 94130 2710 238581 478673 918772 -440099 394043 394043 -46056 872716 394043 394043 478673 0 478673 918772 0 918772 0 918772 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE FOUNDATION INVESTS ITS PERMANENTLY RESTRICTED ENDOWMENT FUNDS AND WITHDRAWS 5% 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, 2010, OR FOR ANY PERIOD FOR WHICH THE STATUTE OF LIMITATIONS IS STILL OPEN. 1 BERLIN, GERMANY GRANTS GIVEN 61387 STOCKHOLM, SWEDEN GRANTS GIVEN 1000 0 0 0 62387 0 62387 X AMSTERDAM, NEDERLAND GENERAL SUPPORT FOR ELIMINATING THE DANGERS OF NUCLEAR WEAPONS. 61387 WIRE TRANSFER MONTHLY STOCKHOLM, SWEDEN GENERAL SUPPORT 1000 WIRE TRANSFER 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. X X 1 NICOLLETTE DANIEL 11962 SULPHUR MOUNTAIN RD OJAI CA 93023 RESEARCH POTENTIAL FUNDERS, WRITE & SUBMIT GRANT APPLICATION 0 0 15113 -15113 15113 -15113 CA ANNUAL AWARD DINNER 117119 117119 44482 2 3214 3214 2054 120333 120333 46536 46536 -46536 1 WRITING/PUBLISHING ARTICLES, BOOK CHAPTERS AND BOOK 1 26435 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE GRANTEE PROVIDES FINANCIAL INFORMATION TO THE ORGANIZATION'S DEVELOPMENT DIRECTOR AND PROGRAM DIRECTOR. THE DEVELOPMENT DIRECTOR AND PROGRAM DIRECTOR THEN PROVIDE THE INFORMATION TO THE ORGANIZATION'S PRESIDENT WHO REVIEWS IT AND THEN ANNUALLY REPORTS THE UTILIZATION OF THE FUNDS TO THE BOARD OF DIRECTORS. X 0 0 0 0 0 0 0 0 0 DAVID KRIEGER 161386 0 0 0 0 0 0 0 10309 0 171695 0 0 0 ROBERT LANEY SECRETARY SECRETARY AND INVESTMENT BROKER ROBERT LANEY IS BOTH THE ORGANIZATION'S SECRETARY AND INVESTMENT BROKER. 0 FRANK KELLY SENIOR VICE PRESIDENT SENIOR VICE PRESIDENT AND CONSULTANT FRANK KELLY IS BOTH THE ORGANIZATION'S SENIOR VICE PRESIDENT AND A CONSULTANT. 0 CHANGES IN PROGRAM SERVICES FORM 990, PART III, LINE 3 THE FOUNDATION CEASED WORKING WITH THE COALITION AGAINST GUN VIOLENCE, FORMERLY ONE OF ITS AUXILIARY PROGRAMS. FORM 990, PART VI, SECTION A, LINE 2 ROBERT LANEY IS AN INVESTMENT ADVISOR TO DAVID KRIEGER, 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 AND KEY EMPLOYEES 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 ARISED 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 GAINS ON INVESTMENTS: 394,043. 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 2010 CONSISTING OF RICHARD FALK, MARK HAMILTON, PETER HASLUND, FRANK KELLY, DAVID KRIEGER, ROB LANEY, PETER MACDOUGALL, STEVE PARRY AND SELMA RUBIN. THE COMMITTEE MEETS REGULARLY BETWEEN BOARD MEETINGS. IN 2010, THE EXECUTIVE COMMITTEE MET FOUR 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. BOARD OF DIRECTORS FORM 990 PART VII DURING THE YEAR, STEVE PARRY REPLACED MARK HAMILTON AS TREASURER. ALSO, UPON HIS DEATH ON JUNE 11, 2010, FRANK KELLY WAS NOT REPLACED AS SENIOR VICE PRESIDENT.