2011-08-11T13:46:23-05:00 2010-12-31 CBIZ TOFIAS 500 BOYLSTON STREET BOSTON MA 02116 990 2010-01-01 042297514 NEW ENGLAND AQUARIUM CORPORATION NEWE 6179735200 CENTRAL WHARF BOSTON MA 021103399 WALTER J FLAHERTY 6179735200 2011-08-10 1 JOSEPH GISO 6177610600 2010 2016-02-24 21:20:13Z WALTER J FLAHERTY CENTRAL WHARF BOSTON MA 021103399 45204953 0 X WWW.NEAQ.ORG X 1957 MA THE MISSION OF THE ORGANIZATION IS TO INCREASE UNDERSTANDING OF AQUATIC LIFE AND ENVIRONMENTS, TO ENABLE PEOPLE TO ACT TO CONSERVE THE WORLD OF WATER, AND TO PROVIDE LEADERSHIP FOR THE PRESERVATION AND SUSTAINABLE USE OF AQUATIC RESOURCES. OUR MISSION IS FULFILLED THROUGH EXHIBITS, AND EDUCATION, CONSERVATION, AND RESEARCH PROGRAMS. 21 20 446 925 2017480 -385860 9439372 6958804 20700001 21006250 -810287 364931 6595858 7144051 35924944 35474036 87135 88066 0 0 13589252 14429741 12044 146747 1538443 20509508 22068591 34197939 36733145 1727005 -1259109 80658714 78216705 32621205 33488153 48037509 44728552 X THE MISSION OF THE ORGANIZATION IS TO INCREASE UNDERSTANDING OF AQUATIC LIFE AND ENVIRONMENTS, TO ENABLE PEOPLE TO ACT TO CONSERVE THE WORLD OF WATER, AND TO PROVIDE LEADERSHIP FOR THE PRESERVATION AND SUSTAINABLE USE OF AQUATIC RESOURCES. OUR MISSION IS FULFILLED THROUGH EXHIBITS, AND EDUCATION, CONSERVATION, AND RESEARCH PROGRAMS. 0 0 23084675 19217734 EXHIBITION - THE ORGANIZATION OPERATES A PUBLIC AQUARIUM IN THE CITY OF BOSTON AND CHARGES ADMISSION TO GUESTS VISITING CENTRAL WHARF AND ITS OTHER FACILITIES TO ENGAGE AND EDUCATE THE PUBLIC ABOUT THE IMPORTANCE OF THE WORLD OF WATER, AQUATIC LIFE AND ITS IMPORTANCE TO A HEALTHY AND VIBRANT ENVIRONMENT. OUR EXHIBITS INSTIL A SENSE OF WONDER AT THE BEAUTY OF THE OCEAN AND PROVIDE A GLIMPSE OF LIFE BELOW ITS SURFACE. WHEN OPENED IN 1969, THE AQUARIUM PROVIDED A REVOLUTIONARY WAY TO VIEW AQUATIC ANIMALS, AND WE REMAIN A LEADER TODAY IN EXHIBITS, ANIMAL HUSBANDRY AND VISITOR ENGAGEMENT. WE WERE AMONG THE FIRST TO DISPLAY HABITATS AND ECOSYSTEMS RATHER THAN ISOLATED SPECIES. WE WERE THE FIRST AQUARIUM TO INVITE VISITORS TO HANDLE LIVE ANIMALS IN THE EDGE OF THE SEA TIDEPOOL TOUCH TANK AND WE CONTINUE TO ADD MORE TOUCH EXPERIENCES TO ENHANCE THE VISITORS' EXPERIENCE. DURING 2010, WE BUILT-OUT LEASED SPACE AT AN OFF-SITE LOCATION TO FUNCTION AS AN ANIMAL CARE CENTER. THIS CENTER ALLOWS THE AQUARIUM TO BETTER CARE FOR AQUATIC ANIMALS RESCUED FROM THE WILD, AS WELL AS THOSE IN OUR COLLECTION, AND TO RELEASE THEM BACK TO THE WILD WHERE APPROPRIATE AND SAFE TO DO SO.DURING 2010, THE ORGANIZATION WELCOMED 1.3 MILLION VISITORS TO ITS CENTRAL WHARF LOCATION.IN THE LAST QUARTER OF 2010, WE BEGAN CONSTRUCTION OF A $1.5 MILLION EXHIBIT THAT WILL ALLOW VISITORS TO TOUCH RAYS AND SMALL SHARKS WHICH WE TRUST WILL HELP DEMYSTIFY THE PUBLIC PERCEPTION OF THESE ANIMALS, HELP PEOPLE REALIZE THAT THEY ARE NOT A THREAT TO HUMANS AND GENERATE A NEW AND HEALTHY APPRECIATION FOR THEIR IMPORTANCE TO THE ECOSYSTEM. THE EXHIBIT WAS OPENED IN APRIL 2011.DURING THE YEAR, WE BEGAN TO FOCUS SYSTEMATICALLY ON CONVEYING OUR CONSERVATION MISSION THROUGHOUT THE VISITOR EXPERIENCE. THIS INCLUDES TRAINING, SUPPORT, AND EVALUATION FOR OUR INTERPRETERS; NEW LIVE BLUE GRAPHIC PANELS, WEB KIOSK, AND FAMILY ACTIVITY CARDS; UPDATED GRAPHIC PANELS FOR THE PENGUIN, SCHOOLING, AND TROPICAL GALLERY EXHIBITS; AND BETTER INTEGRATION OF VISITORS SERVICES, INFORMATION DESK, MEMBERSHIP DESK, AND PHOTO CONCESSION TO CREATE A MORE HOLISTIC VISITOR EXPERIENCE. 6584031 88066 4521063 CONSERVATION AND RESEARCH - AS THE FIRST AQUARIUM IN THE COUNTRY TO ESTABLISH CONSERVATION AND RESEARCH DEPARTMENTS, WE HAVE LONG BELIEVED THAT SOLUTIONS TO ENVIRONMENTAL THREATS CAN BE ACHIEVED THROUGH COLLABORATIVE EFFORTS. SCIENTISTS AT THE AQUARIUM PRODUCE MORE PEER-REVIEWED ARTICLES ON MARINE CONSERVATION AND RESEARCH THAN ANY OTHER U.S. AQUARIUM. THIS RESEARCH HAS INFORMED EFFORTS TO UNDERSTAND AND PROTECT SPECIES AND THEIR HABITATS AROUND THE GLOBE.SINCE 1980, AND CONTINUING IN 2010, WE HAVE BEEN WORKING TO PREVENT NORTH ATLANTIC RIGHT WHALE EXTINCTION. WE ADVOCATED FOR THE RECENTLY ENACTED REGULATION OF SHIP SPEEDS IN U.S. WATERS TO REDUCE THE OCCURRENCE OF SHIP STRIKES, ONE OF THE GREATEST THREATS TO THESE ENDANGERED CREATURES. SIMILAR WORK IN CANADA'S BAY OF FUNDY REDUCED STRIKES BY 90 PERCENT. BEGINNING IN 2000, OUR SCIENTISTS LED EFFORTS TO EXPLORE AND PROTECT THE PRISTINE CORAL REEFS AND BIODIVERSITY OF THE CENTRAL PACIFIC'S PHOENIX ISLANDS. DIRECTLY RELATED TO THAT WORK AND OUR ONGOING ENGAGEMENT OF THE GOVERNMENT OF KIRIBATI, IN 2008 THE GOVERNMENT ANNOUNCED THE DECISION TO FORM THE WORLD'S LARGEST CONTIGUOUS MARINE PROTECTED AREA, AN UNPRECEDENTED ACCOMPLISHMENT FOR AN INSTITUTION SUCH AS THE AQUARIUM. IN 2010, THE PHOENIX ISLANDS PROTECTED AREA (PIPA) WAS DESIGNATED BY UNESCO AS A WORLD HERITAGE SITE. THERE WAS WIDESPREAD MEDIA ATTENTION TO THIS ACHIEVEMENT. IN ADDITION, THE FIRST MEETING OF THE NEWLY FORMED PHOENIX ISLANDS PROTECTED AREA CONSERVATION TRUST (PIPA TRUST) WAS HELD IN TARAWA IN MARCH, PROVIDING FOCUS TOWARDS HIRING A TRUST EXECUTIVE DIRECTOR AND BUILDING THE TRUST ENDOWMENT GOING FORWARD. IN SEPTEMBER, NEAQ HOSTED THE FIRST-EVER PIPA SCIENCE AGENDA MEETING AND BROUGHT TOGETHER SCIENTIFIC COLLABORATORS FROM AROUND THE GLOBE. WE ARE NOW ACTIVELY SEEKING NEW AND RE-ENGAGING EXISTING FUNDING SOURCES TO SUPPORT A 10-YEAR RESEARCH PROGRAM AND A JUNE 2012 EXPEDITION TO PIPA. TAKING A COMPREHENSIVE, MULTI-TIERED APPROACH TO THE ISSUE, THE AQUARIUM IS A NATIONAL LEADER IN ADVANCING SEAFOOD SUSTAINABILITY. AQUARIUM RESEARCHERS WORK WITH THE FISHING INDUSTRY TO HELP THEM IMPROVE PRACTICES AND REDUCE ACCIDENTAL BYCATCH. OUR CONSERVATION STAFF ADVISES SOME OF THE WORLD'S LARGEST SEAFOOD RETAILERS AND SUPPLIERS TO ENCOURAGE RESPONSIBLE MANAGEMENT OF THE WORLD'S FISHERIES AND INFORMED PURCHASING DECISIONS. DURING 2010, OUR SCIENTISTS VISITED FARMS, FISHING VESSELS, SEAFOOD PROCESSING PLANTS AND OTHER SUPPLIERS IN INDONESIA, MALAYSIA, CANADA, NORWAY, CHINA AND THE PHILIPPINES. THIS WORK HAS BEEN COMPLEMENTED BY OUR LEADERSHIP IN THE CONSERVATION COMMUNITY, WITH A STEERING COMMITTEE ROLE IN THE CONSERVATION ALLIANCE FOR SEAFOOD SOLUTIONS (A COALITION OF 15 LEADING SEAFOOD CONSERVATION ORGANIZATIONS FROM THE U.S. AND CANADA) AND OTHER VARIOUS ADVISORY BOARDS AND OVERSIGHT COMMITTEES. THROUGH PROGRAMS, EDUCATIONAL MATERIALS AND EVENTS, WE WORK WITH CONSUMERS TO HELP THEM MAKE OCEAN-FRIENDLY CHOICES.CREATING A UNIFIED OCEAN HEALTH TRACKING SYSTEM IS A SIGNIFICANT SCIENTIFIC ENDEAVOR AND NUMEROUS SCIENTISTS AND INSTITUTIONS SPENT CONSIDERABLE TIME AND RESOURCES ON THIS IN 2010. UNDER THE GUIDANCE AND DIRECTION OF THE THREE FOUNDING OCEAN HEALTH INDEX (OHI) ORGANIZATIONS CONSERVATION INTERNATIONAL, NATIONAL GEOGRAPHIC AND THE NEW ENGLAND AQUARIUM THERE HAVE BEEN SIGNIFICANT EFFORTS OVER THE COURSE OF THIS PAST YEAR TO FUNDRAISE AND STRATEGIZE FOR A SUCCESSFUL LAUNCH OF THE FIRST VERSION OF THE INDEX IN 2012. FUNDRAISING EFFORTS HAVE BEEN REWARDING, INCLUDING OUR SUCCESS WITH DARDEN ENVIRONMENTAL TRUST TO SUPPORT THE DEVELOPMENT OF A SENTINEL SPECIES INDICATOR BY THE AQUARIUM'S RESEARCH SCIENTISTS. COMMUNICATIONS AND OUTREACH STRATEGIES ARE BEING EXECUTED WITH SIGNIFICANT SUPPORT FROM AN OUTSIDE MEDIA FIRM LEADING UP TO THE JANUARY 2012 TARGETED LAUNCH. IN ADDITION TO DEVELOPING THE SENTINEL SPECIES INDICATOR, NEAQ REMAINS HEAVILY INVOLVED IN BOTH THE STEERING COMMITTEE AND THE ADVISORY COMMITTEE TO THE OHI.WE DEVELOPED A RAPID RESPONSE TO THE GULF OF MEXICO OIL SPILL IN THE SPRING. OUR VETERINARY AND RESCUE/REHAB STAFF TRAVELED TO THE GULF TO ASSIST WITH MEDICAL CARE OF SEA TURTLES AFFECTED BY THE SPILL CONTRIBUTING APPROXIMATELY 200 HOURS TO THE EFFORT. IN ADDITION TO LENDING THEIR PARTICULAR EXPERTISE IN SEA TURTLE RESCUE TO LOCAL MARINE BIOLOGISTS, THEY ROLLED UP THEIR SLEEVES AND ADMINISTERED CARE TO HUNDREDS OF ANIMALS. THEIR BLOGS PROVIDED FIRSTHAND ACCOUNTS OF THE IMPACTS ON THESE ENDANGERED SPECIES. WE CREATED AN AREA ON OUR WEBSITE TO EDUCATE THE PUBLIC ON THE FACTS OF THE SPILL, THE IMPLICATIONS FOR WILDLIFE AND THE ECOSYSTEM, THE AQUARIUMS ROLE, AND IMPLICATIONS FOR INDIVIDUAL ACTION AND PUBLIC POLICY. THE WEB CONTENT THEN FORMED THE BASIS FOR A POWERPOINT SLIDESHOW ON THE EXHIBIT PATH NEAR THE AMC EXHIBIT. WE ALSO PARTICIPATED IN A NATIONAL LIVE WEBINAR PANEL FOCUSING ON HOW AQUARIUMS AROUND THE COUNTRY RESPONDED TO THE SPILL.THE AQUARIUM MAINTAINS THE MARINE CONSERVATION ACTION FUND (MCAF), WHICH FUNDS NUMEROUS SMALL-SCALE, TIME-SENSITIVE PROJECTS AROUND THE WORLD, INCLUDING OUR OWN NEAQ STAFF, TO ASSIST IN THE RESCUE AND REHABILITATION OF SEA TURTLES STRANDED IN THE WAKE OF A COLD SPELL IN THE WATERS OFF OF FLORIDA. MCAF ALSO PROVIDED INITIAL FUNDING TO SUPPORT NEAQ SEA TURTLE REHABILITATION WORK IN THE WAKE OF THE DEEPWATER HORIZON OIL SPILL ALONG THE GULF COAST. THIS YEAR, MCAF DISTRIBUTED $63,583 FOR PROJECTS TO PROTECT AND CONSERVE SEA TURTLES, BLUE WHALES, WHALE SHARKS, HAMMERHEAD SHARKS AND CORAL REEFS. EXAMPLES OF 2010 PROJECTS INCLUDE THE REMARKING OF NO-TAKE ZONES IN SAMOA AFTER THE 2009 TSUNAMI, RESEARCH AND CONSERVATION OF SCALLOPED HAMMERHEAD SHARKS IN COSTA RICA, REDUCTION OF SEA TURTLE BYCATCH MORTALITY IN KENYA, MONITORING OF WHALE SHARKS AFTER THE OIL SPILL, AND THE PROTECTION AND MONITORING OF SEA TURTLES IN COSTA RICA. WE HAVE ALSO BEGUN THE PROCESS OF CONDUCTING AN EVALUATION TO MORE FORMALLY ASSESS THE IMPACT OF OUR GRANT-MAKING. WE EXPECT THAT THIS YEARS EVALUATION WILL HELP US TO ASSESS THE IMPACTS OF OUR GRANTS, IDENTIFY OUR ROLE AMONG A SPECTRUM OF CONSERVATION GRANTORS, AND GUIDE OUR FUNDRAISING STRATEGY FOR THE COMING YEARS. THE RESEARCH LABORATORY RECEIVED TWO SPECIAL AWARDS FOR WORK CONDUCTED IN 2010 AND IN PREVIOUS YEARS. MICHAEL TLUSTY RECEIVED A CERTIFICATE OF SPECIAL CONGRESSIONAL RECOGNITION FOR EXCEPTIONAL SERVICE FOR THE NEW ENGLAND LOBSTER RESEARCH INITIATIVE. THE AQUARIUM AND RESEARCHERS ANDY RHYNE AND MICHAEL TLUSTY RECEIVED THE AZA EDWARD H. BEAN AWARD FOR REARING QUEEN TRIGGERFISH FROM EGGS FOR THE FIRST TIME ANYWHERE. 1573088 1301148 EDUCATION - FOR 40 YEARS, THE AQUARIUM HAS PROVIDED LIFE-CHANGING EDUCATIONAL EXPERIENCES FOR PEOPLE OF ALL AGES, FROM A CHILD TOUCHING A SEA STAR TO AN ADULT LEARNING HOW HIS DAILY ACTIONS CAN AFFECT THE OCEAN. THE AQUARIUM'S EDUCATIONAL IMPACT IS BROAD AND EVER-EXPANDING. FROM TODDLERS TO RETIREES, FROM THE HEART OF BOSTON, ACROSS NEW ENGLAND AND AROUND THE WORLD, OUR DIVERSE AUDIENCES HAVE EXPERIENCES THEY WILL NEVER FORGET.PROGRAMS SUCH AS HARBOR DISCOVERIES CAMP EXPOSE YOUNG PEOPLE TO MARINE ANIMALS AND HABITATS, ENCOURAGING A LIFETIME COMMITMENT TO PROTECTING THE BLUE PLANET - ONE FORMER CAMPER IS NOW A PH. D. CANDIDATE STUDYING MARINE BIOLOGY. THROUGH OUR YOUTH PROGRAMS, MORE THAN 700 INNER-CITY TEENS HAVE WORKED ALONGSIDE AQUARIUM STAFF MEMBERS, GAINING VALUABLE EXPERIENCE AND DISCOVERING THEIR POTENTIAL. MOST OF THESE TEENS HAVE GONE ON TO COLLEGE - OFTEN THE FIRST IN THEIR FAMILIES TO DO SO. OUR LECTURE SERIES HOST WORLD-RENOWNED SCIENTISTS AND CONSERVATIONISTS, WHO ENTHRALL AND INSPIRE MORE THAN 500 ADULTS EACH YEAR WITH THEIR PRESENTATIONS.IN A 2010 NATIONAL STUDY OF ZOO AND AQUARIUM YOUTH PROGRAMS, OUR TEEN INTERNSHIPS WERE HIGHLIGHTED FOR THEIR HIGH IMPACT IN INCREASING TEENS UNDERSTANDING OF OCEAN THREATS, KNOWLEDGE OF AQUARIUM CONSERVATION PROGRAMS, AND PERSONAL INVOLVEMENT IN CONSERVATION ACTIONS. BUILDING ON OUR SUCCESS, WE SUCCESSFULLY PILOT-TESTED THE NEW SEA TURTLE TEEN DIVE PROGRAM, WHICH GARNERED SIGNIFICANT MEDIA ATTENTION AND RESULTED IN ONE OF OUR MOST POPULAR BLOGS. WITH FUNDING FROM BANK OF AMERICA, WE INCREASED FUNDING FOR INTERNSHIPS AND DEVELOPED A CLIMATE CHANGE TRAINING PROGRAM FOR TEENS. WITH A NEW GRANT FROM NOAA, WE ARE NOW COLLABORATING WITH OTHER SUMMER CAMPS IN NEW ENGLAND TO ENGAGE CAMPERS IN COLLECTING HIGH-QUALITY DATA FROM INTERTIDAL ZONES. THE DATA QUALITY IS BEING MONITORED BY SCIENTISTS, UPLOADED INTO THE OCEAN BIOGEOGRAPHIC INFORMATION SYSTEM (A GLOBAL DATA BASE), AND SHARED AT A FALL TEEN SUMMIT.AS AN EDUCATIONAL RESOURCE, WE HAVE HELPED THOUSANDS OF TEACHERS CAPTIVATE THEIR STUDENTS WITH MARINE AND ENVIRONMENTAL TOPICS WHILE IMPROVING ACADEMIC PERFORMANCE. MORE THAN 140,000 SCHOOLCHILDREN EXPERIENCE THE AQUARIUM EVERY YEAR, EITHER THROUGH FIELD TRIPS OR SPECIAL PROGRAMS AT THEIR SCHOOLS. 1188090 0 947711 OTHER PROGRAM SERVICES - THE AQUARIUM WAS A PIONEER IN RESCUE AND REHABILITATION OF MARINE MAMMALS AND OTHER SPECIES. OUR MARINE ANIMAL RESCUE TEAM RESPONDS TO CALLS TO PROVIDE MEDICAL TREATMENT FOR WHALES, DOLPHINS, PORPOISES, SEALS AND SEA TURTLES. OVER TIME, OUR EFFORTS HAVE SHIFTED FROM REHABILITATING SEALS TOWARDS MORE ENDANGERED SPECIES SUCH AS SEA TURTLES. OUR PROGRAM INCLUDES STRANDING RESPONSE, NECROPSY AND TISSUE SAMPLING OF DECEASED ANIMALS AND THE REHABILITATION OF ENDANGERED SEA TURTLES AT OUR MEDICAL FACILITIES.EVERY SUMMER WE HIRE UP TO 100 TEENS (AGES 15-17) FROM BOSTON AND CAMBRIDGE TO 6 WEEK INTERNSHIPS. TEENS EARN A STIPEND AND MAKE IMPORTANT CONTRIBUTIONS WHILE LEARNING NEW SKILLS AND DEVELOPING THEIR INDIVIDUAL INTERESTS AND TALENTS. THESE INTERNS ATTEND CAREER SKILLS DEVELOPMENT CLASSES AND ENVIRONMENTAL LEADERSHIP WORKSHOPS AS WELL AS FIELD TRIPS.WE INVITE EMINENT SCIENTISTS FROM AROUND THE COUNTRY TO CONDUCT LECTURES AND PRESENT FILMS TO PUBLIC AUDIENCES. WE COLLABORATE WITH THE WGBH FORUM NETWORK TO RECORD MOST LECTURES AND MAKE THEM AVAILABLE VIA STREAMING VIDEO OVER THE INTERNET. WE REACHED OVER 3,500 PEOPLE THROUGH THIS EFFORT IN 2010.AT OUR IMAX THEATER, WE PRESENT VARIOUS MISSION-ORIENTED FILMS WITH MESSAGING ABOUT THE PRESERVATION OF AQUATIC ENVIRONMENTS AND THE CONSERVATION OF NATURAL RESOURCES.FINALLY, OUR EXHIBITION PROGRAM DESCRIBED IN ITEM 4A IS SUPPORTED BY OUR CAFETERIA AND GIFT SHOP WHICH ARE LOCATED IN THE MAIN EXHIBITION BUILDING. THESE ANCILLARY ACTIVITIES ARE PROVIDED FOR THE CONVENIENCE OF VISITORS (THE AVERAGE VISITATION IS IN EXCESS OF 1 1/2 HOURS) AS WELL AS PROVIDING THE AQUARIUM WITH AN IMPORTANT SOURCE OF REVENUE THAT IS USED TO SUPPORT OTHER MISSION ORIENTED PROGRAMMING THAT IS NOT SELF-SUSTAINING. THE GIFT SHOP ALSO PROVIDES SOME OPPORTUNITY FOR VISITORS TO PURCHASE ITEMS THAT EXTEND THE EDUCATIONAL EXPERIENCE, AND HAVE CONSERVATION MESSAGING, TO THEIR HOMES. 1188090 947711 32429884 1 1 0 1 1 0 0 0 1 1 0 0 0 0 1 0 1 0 0 1 1 0 1 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 1 0 0 0 0 1 39 0 446 1 1 1 0 0 0 0 1 1 0 0 0 0 X 21 20 0 0 0 0 1 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 MA CT NH ME NY X JOSEPH A ZANI VICE PRESIDENT CO 6179735456 177 MILK STREET BOSTON MA 02110 R WILLIAM BURGESS JR 10.00 X 0 0 0 DAVID ALTSHULER 1.00 X 0 0 0 CAROLYN J CAMPANELI 1.00 X 0 0 0 ROBERT BEAL 1.00 X 0 0 0 JOHN M COHEN MD 1.00 X 0 0 0 ALAN R DYNNER 1.00 X 0 0 0 DANIEL S EVANS 5.00 X 0 0 0 JAMIE C FAGAN 1.00 X 0 0 0 DONNA K HAZARD 1.00 X 0 0 0 DOUGLAS I FOY 1.00 X 0 0 0 HARRY A HANSON III 1.00 X 0 0 0 KATHLEEN HEALY 1.00 X 0 0 0 JEFFREY HURST 1.00 X 0 0 0 JEFFREY PIERCE 5.00 X 0 0 0 MARY T RENNER 1.00 X 0 0 0 NEIL S SHIFRIN PHD 1.00 X 0 0 0 RICHARD A SODEN 1.00 X 0 0 0 SUSAN LEWIS SOLOMONT 1.00 X 0 0 0 THOMAS KING 1.00 X 0 0 0 LOUIS J VOLPE 1.00 X 0 0 0 PE KRUASS 5.00 X 0 0 0 HOWARD RIS 40.00 X 283103 0 10398 WALTER J FLAHERTY 40.00 X 225864 0 28373 JANE WOLFSON 40.00 X 162587 0 3241 NANCY PERKINS 40.00 X 196047 0 5637 WILLIAM SPITZER 40.00 X 159496 0 20002 SCOTT D KRAUS 40.00 X 129670 0 7457 JOSEPH A ZANI 40.00 X 143276 0 17416 HEATHER TAUSIG 40.00 X 100842 0 11040 DIANNE HOBBS 1.00 X 0 0 0 JOHN DAYTON 40.00 X 102096 0 8227 1502981 0 111791 9 0 1 0 TURNER CONSTRUCTION TWO SEAPORT LANE BOSTON MA 02210 CONSTRUCTION COMPANY 3133278 CENTERPLATE 201 EBROAD STREET SPARTANBURG SC 29306 FOOD SERVICES MANAGEMENT 1153288 IMAX CORPORATION 2525 SPEAKMAN DRIVE MISSISSAUGA ON CA FILM PRESENTATION MANAGEMENT 1018435 MULLEN WEN PUBLIC SERVICE PO BOX 7247-7279 PHILADELPHIA PA 191707279 ADVERTISING AGENCY 832372 UNICCO SERVICE COMPANY 4002 SOLUTIONS CENTER CHICAGO IL 606724000 CLEANING COMPANY 817077 12 2788425 4170379 410000 6958804 ADMISSIONS 900099 17100296 17100296 RESEARCH, CONSERVATION 900099 3905954 3905954 21006250 282710 282710 6145145 29000 6091924 53221 29000 82221 82221 313300 165514 147786 147786 9359772 3473479 5886293 4129338 1756955 FEES 900099 619093 358568 260525 CORPORATE SPONSORSHIP 900099 319350 319350 MISCELLANEOUS INCOME 900099 171529 171529 1109972 35474036 25985035 2017480 512717 88066 88066 1480438 621784 547762 310892 10106108 8893375 707428 505305 235391 197728 25893 11770 1716184 1321462 188780 205942 891620 748961 98078 44581 46176 38788 5079 2309 107300 90132 11803 5365 74776 74776 146747 146747 1981431 1664402 217957 99072 890664 748158 97973 44533 3112395 3112395 247326 207754 27206 12366 399166 335300 43908 19958 605605 605605 4267413 4267413 413158 347053 45447 20658 OUTSIDE SERVICES 4616965 4076794 533866 6305 COST OF GRANTS & CONTRA 3328206 3328206 EEQUIPMENT RENTAL AND M 950999 808349 95100 47550 EXHIBITS/NON-CAPITAL EQ 366891 308188 40358 18345 PROFESSIONAL FEES 245949 194633 35280 16036 414171 350562 42900 20709 36733145 32429884 2764818 1538443 454742 261478 5280355 3854820 1298852 1562580 180589 134894 430403 594658 102790740 45708058 56415927 57082682 14136259 12218461 2461587 2507132 80658714 78216705 4987361 6165731 3780949 3950277 20780000 20330000 3072895 3042145 32621205 33488153 X 31814227 32661246 10029739 5952321 6193543 6114985 48037509 44728552 80658714 78216705 X -1259109 -2049848 X 0 1 1 X 1 1 X 5268513 13729923 11822453 9439372 6958804 47219065 18028314 19531925 19795782 20700001 21006250 99062272 23296827 33261848 31618235 30139373 27965054 146281337 1861951 919355 3548399 3047509 591744 9968958 0 1861951 919355 3548399 3047509 591744 9968958 136312379 533542 726284 360444 339432 282710 2242412 533542 726284 360444 339432 282710 2242412 332508 192410 524918 888522 1170178 706457 1090255 790524 4645936 25051399 35350720 32685136 31569060 29038288 153694603 0.88690 0.87620 0.01460 0.01610 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 74776 74776 35119926 35194702 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 96000 96000 79109 74776 345885 250000 250000 250000 250000 1000000 1500000 1 100000 15356 331908 1 1 6193544 118754 29200 226513 6114985 6174305 19239 6193544 6354221 1000 -57017 123899 6174305 0.00000 1.00000 0.00000 1 0 50235 50235 66029492 24443555 41585937 6930843 2102653 4828190 21754739 15589427 6165312 8025431 3572423 4453008 57082682 35474036 36733145 -1259109 380118 -2057937 -372029 -2049848 -3308957 39532300 380118 3678146 4058264 35474036 0 35474036 40800100 4066955 4066955 36733145 0 36733145 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: TO GENERATE EARNINGS TO SUPPORT VARIOUS MISSION RELATED PROGRAMS (PER INTENT OF NAMED ENDOWMENT FUND) AND GENERAL ADMINISTRATION. PART XI, LINE 8 - OTHER ADJUSTMENTS: GAIN ON INTEREST RATE SWAP AGREEMENT 20,241. LOSS NON-QUALIFIED PENSION -16,438. CURRENT YEAR IMPACT ON SFAS 158 -404,951. NET CHANGE IN BENEFICIAL INTEREST IN PERPETUAL TRUST 29,201. ROUNDING FROM AUDIT STATEMENTS TO ACTUAL -82. ` PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 3,473,479. MARINE LIFE CENTER, INC. REVENUE INCLUDED IN AUDITED FINANCIALS 10,000. NET CHANGE IN BENEFICIAL INTEREST IN PERPETUAL TRUST 29,201. ROUNDING FROM AUDIT STATEMENT -48. GALA 165,514. PART XIII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 3,473,479. NEAQ MARINE LIFE CENTER, INC. EXPENSES INCLUDED IN AUDITED FINANCIALS 26,862. GAIN ON VALUE OF INTEREST RATE SWAP AGREEMENT -20,200. CURRENT YEAR IMPACT ON SFAS 158 404,900. LOSS ON VALUATION OF NON-QUALIFIED PENSION 16,400. GALA 165,514. PART X: THE AQUARIUM ACCOUNTS FOR THE EFFECT OF ANY UNCERTAIN TAX POSITIONS BASED ON A "MORE LIKELY THAN NOT" THRESHOLD TO THE RECOGNITION OF THE TAX POSITIONS BEING SUSTAINED BASED ON THE TECHNICAL MERITS OF THE POSITION UNDER SCRUTINY BY THE APPLICABLE TAXING AUTHORITY. IF A TAX POSITION OR POSITIONS ARE DEEMED TO RESULT IN UNCERTAINTIES OF THOSE POSITIONS, THE UNRECOGNIZED TAX BENEFIT IS ESTIMATED BASED ON A "CUMULATIVE PROBABILITY ASSESSMENT" THAT AGGREGATES THE ESTIMATED TAX LIABILITY FOR ALL UNCERTAIN TAX POSITIONS. INTEREST AND PENALTIES ASSESSED, IF ANY, ARE ACCRUED AS INCOME TAX EXPENSE. THE AQUARIUM HAS INDENTIFIED ITS TAX STATUS AS A TAX EXEMPT ENTITY AS A TAX POSITION; HOWEVER, THE AQUARIUM HAS DETERMINED THAT SUCH TAX POSITION DOES NOT RESULT IN AN UNCERTAINTY REQUIRING RECOGNITION. THE AQUARIUM IS NOT CURRENTLY UNDER EXAMINATION BY ANY TAXING JURISDICTION. ITS FEDERAL AND STATE INCOME TAX RETURNS ARE GENERALLY OPEN FOR EXAMINATION FOR THE PAST THREE YEARS. 1 EAST ASIA AND PACIFIC PROGRAM SERVICES FACILITATION, FINANCIAL, AND ADVISORY SERVICES FOR PHOENIX ISLANDS CONSERVAITON PROGRAM. 88066 0 0 0 88066 0 88066 SOUTH ASIA PROGRAM SERVICES 66545 WIRE TRANSFER SOUTH ASIA PROGRAM SERVICES 21521 WIRE TRANSFER 2 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: THE ORGANIZATION REQUIRES PERIODIC FINANCIAL AND PROGRAMMATIC REPORTS, ALONG WITH SUPPORTING DOCUMENTS (BANK STATEMENT AND RECEIPTS) AND THE IDENTIFICATION OF PROGRAM ACHIEVEMENTS. X X X X X 1 ARTSMARKETING SERVICES INC 260 KING ST EAST STE 500 TORONTO ONTARIO CA M5A 4L5 PHONE SOLICITATION 0 200025 146747 53278 200025 146747 53278 MA NH CT NY ME GALA 313300 313300 75900 89614 313300 313300 75900 89614 165514 147786 X X X X X 0 0 0 0 0 0 0 0 0 HOWARD RIS 283103 0 0 0 0 0 0 0 10398 0 293501 0 0 0 WALTER J FLAHERTY 225864 0 0 0 0 0 0 0 28373 0 254237 0 0 0 JANE WOLFSON 162587 0 0 0 0 0 0 0 3241 0 165828 0 0 0 NANCY PERKINS 196047 0 0 0 0 0 0 0 5637 0 201684 0 0 0 NEW ENGLAND AQUARIUM ISSUE SERIES 2007 042297514 57586CL45 2007-11-07 21630000 SEE SCHEDULE O 0 1 0 21630000 246747 23383253 2007 0 0 1 1 0 0 0 0 1 1 0 1 1 SOVEREIGN BANK 5.000000000000 0 0 0 0 0 THE BEAL COMPANIES ROBERT BEAL TRUSTEE OF ORGANIZATION 466550 RENTAL/LEASE OF OFFICE SPACE AT FAIR MARKET VALUE. 0 X ADVERTISING SERVICES 1 400000 DONOR VALUATION X EQUIPMENT 1 5000 DONOR VALUATION X DONOR VALUATION X MISC. OTHER 1 5000 DONOR VALUATION 0 0 1 THIRD PARTY USE: PART I, LINE 32B: THE ORGANIZATION USES A THIRD PARTY TO PROCESS AND SELL GIFTS OF MARKETABLE SECURITIES. WHEN A DONOR OR THEIR AGENT CONTACTS THE ORGANIZATION INDICATING THEIR INTENT TO CONTRIBUTE SHARES THAT ARE READILY MARKETABLE, THEY ARE DIRECTED TO TRANSFER THOSE SHARES TO AN INVESTMENT BANKING FIRM WHO HAVE A STANDING ORDER TO SELL UPON RECEIPT. THE FIRM RECORDS THE GIFT DATE AND IDENTIFIES THE MEAN TRADING VALUE OF THE SHARES GIFTED AND PROVIDES THAT INFORMATION, ALONG WITH THE PROCEEDS AND TRADING INFORMATION FROM THE SALE OF THOSE SHARES, TO THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS MEMBERS BUT DOES NOT HAVE STOCKHOLDERS. MEMBERSHIP AT THE AQUARIUM PROVIDES LIMITED BENEFITS SUCH AS UNLIMITED VISITATION TO OUR EXHIBITS AND DISCOUNTS AT THE CAFE, GIFT SHOP AND IMAX THEATER FOR A PERIOD OF 1 YEAR. MEMBERSHIP IS A MEANS OF PROVIDING MUCH NEEDED FINANCIAL SUPPORT TO THE ORGANIZATION. HOWEVER, MEMBERSHIP DOES NOT PROVIDE ENTITLEMENTS OR RIGHTS SUCH AS ELECTING INDIVIDUALS TO THE GOVERNING BODY OR ANY INFLUENCE IN ESTABLISHING POLICIES, PROCEDURES OR MANAGERIAL ACTIONS. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS PREPARED BY MANAGEMENT AND REVIEWED BY ITS INDEPENDENT PUBLIC ACCOUNTANTS. ONCE THE DOCUMENT IS CONSIDERED READY FOR REVIEW, COPIES (EXCLUDING SCHEDULE B) ARE DISTRIBUTED TO THE MEMBERS OF THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AT LEAST A WEEK PRIOR TO A PREVIOUSLY SCHEDULED MEETING TO REVIEW IT. SCHEDULE B IS NOT INCLUDED FOR REVIEW IN ORDER TO RESPECT DONOR CONFIDENTIALITY AS REQUESTED BY SEVERAL DONORS. IN ADDITION TO THE FORM 990, MANAGEMENT PREPARES AND DISTRIBUTES A SUMMARY OF KEY ELEMENTS CONTAINED IN THE FORM 990 TO FACILITATE THE REVIEW. A COPY OF FORM 990-T IS ALSO PROVIDED ALONG WITH A BREAKOUT OF THE VARIOUS BUSINESS ACTIVITIES THAT HAVE BEEN IDENTIFIED AS GENERATING UNRELATED BUSINESS INCOME. DURING THE MEETING, MANAGEMENT LEADS THE COMMITTEE THROUGH THE SUMMARY DOCUMENT, PAUSING TO ADDRESS QUESTIONS AND FACILITATE DISCUSSION AS NECESSARY. THE TAX PROFESSIONAL FROM THE ORGANIZATION'S PUBLIC ACCOUNTING FIRM WHO REVIEWED THE DOCUMENT IS ALSO PRESENT AND PARTICIPATES IN THE REVIEW SESSION. MINUTES OF THE MEETING ARE PREPARED AND RETAINED AS A RECORD. ANY CHANGES RESULTING FROM THE REVIEW ARE INCORPORATED IN THE FORM 990 AND THE COMMITTEE CHAIR DISTRIBUTES THAT DOCUMENT (EXCLUDING SCHEDULE B, WHICH IS REDACTED TO HONOR THE REQUEST FOR CONFIDENTIALITY OF SEVERAL DONORS) TO THE FULL BOARD OF TRUSTEES WITH HIS/HER COMMENTS BEFORE IT IS FILED. THE FULL BOARD IS TYPICALLY GIVEN A WEEK TO TEN DAYS TO COMMENT PRIOR TO IT BEING FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, THE ORGANIZATION DISTRIBUTES ITS CONFLICT OF INTEREST POLICY, ALONG WITH A CERTIFICATION AND DESCRIPTION PAGE, TO OFFICERS, TRUSTEES AND MIDDLE MANAGEMENT EMPLOYEES. THEY ARE TO COMPLETE AND RETURN THE CERTIFICATION THAT THEY DO NOT HAVE ANY CONFLICT OF INTEREST OR DISCLOSE WHAT CONFLICT(S) THEY MAY HAVE. MANAGEMENT MONITORS THE RECEIPT OF THESE CERTIFICATIONS TO ENSURE THAT ALL ARE RETURNED AND MAINTAINED ON FILE. CONFLICT OF INTEREST DISCLOSURES ARE REVIEWED AND A DETERMINATION IS MADE ON WHAT ACTION, IF ANY, MUST BE TAKEN TO PRESERVE GENERALLY ACCEPTED GOVERNING PRINCIPLES AND AVOID REAL AND/OR PERCEIVED CONFLICTS WHEN THE INDIVIDUAL IS EXPECTED TO VOTE OR MAKE A BUSINESS DECISION. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMMITTEE (THE "COMMITTEE") OF THE BOARD OF TRUSTEES OF THE NEW ENGLAND AQUARIUM ("THE ORGANIZATION") REVIEWS AND APPROVES THE CASH AND NON-CASH COMPENSATION POLICIES AND PROGRAMS AND MAJOR CHANGES IN THE BENEFIT PLANS THAT ARE APPLICABLE TO THE CHIEF EXECUTIVE OFFICER AS WELL AS ANY OTHER INDIVIDUAL WHO MEETS THE DEFINITION OF "DISQUALIFIED PERSON" IN THE INTERNAL REVENUE CODE. IT IS THE ORGANIZATION'S POLICY TO PROVIDE DIRECT COMPENSATION PROGRAMS AND POTENTIAL EARNING OPPORTUNITIES WHICH REFLECT THE RELATIVE SIZE AND PERFORMANCE OF THE ORGANIZATION IN THE INDUSTRY SEGMENT OF WHICH IT IS A PART AND WHICH ACCOMPLISH THE ORGANIZATION'S MISSION AND TAX-EXEMPT PURPOSE WITHOUT CAUSING ANY PART OF THE ORGANIZATION'S NET EARNINGS TO INURE TO THE PRIVATE BENEFIT OF AN INDIVIDUAL. SIMULTANEOUSLY, THE POLICY SUPPORTS THE CHALLENGES FACED BY THE ORGANIZATION BY PROVIDING INCREASED PAY-FOR-PERFORMANCE OPPORTUNITIES TO THE INDIVIDUALS WHO ARE MANAGING THE ORGANIZATION. THE COMMITTEE CARRIES OUT THIS POLICY ON AN ANNUAL BASIS OR AS A NEED ARISES. THE COMMITTEE IS PROVIDED THE FOLLOWING INFORMATION BY THE DIRECTOR OF HUMAN RESOURCES OF THE ORGANIZATION: - RELEVANT LOCAL MARKET COMPENSATION DATA FOR CHIEF EXECUTIVE OFFICER'S AND PRESIDENTS FROM PUBLISHED SURVEYS OF BOTH TAX-EXEMPT AND FOR-PROFIT ORGANIZATIONS. - FORM 990 COMPENSATION DATA FOR THE RELEVANT POSITIONS AT OTHER TAX-EXEMPT ORGANIZATIONS OF COMPARABLE SIZE AND COMPLEXITY BOTH WITHIN AND OUTSIDE THE CULTURAL INSTITUTIONAL SEGMENT. - COMPENSATION DATA OF CEOS OBTAINED THROUGH A NATIONAL NETWORK OF AQUARIA HUMAN RESOURCE PROFESSIONALS. - COMPENSATION DATA OF CEOS OBTAINED THROUGH A LOCAL NETWORK OF CULTURAL INSTITUTION HUMAN RESOURCE PROFESSIONALS. THE COMMITTEE REVIEWS THE INFORMATION PROVIDED AND VOTES TO: - SET BASE SALARY IN LIGHT OF THE MARKET DATA AND THE INDIVIDUAL'S BACKGROUND, EXPERIENCES, PERSONAL SKILLS AND JOB PERFORMANCE. - CONSIDER ANNUAL BONUS AWARDS, IF ANY, IN A UNIQUE CASE OF MERITORIOUS PERFORMANCE. THE COMMITTEE SETS COMPENSATION LEVELS FOR THE NEXT ANNUAL PERIOD. A SUMMARY OF THE DISCUSSIONS AND DELIBERATIONS OF THE COMMITTEE ARE DOCUMENTED AND PROVIDED TO THE DIRECTOR OF HUMAN RESOURCES OF THE ORGANIZATION. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS INCLUDING ITS CONFLICT OF INTEREST POLICY, AND ITS FINANCIAL STATEMENTS, AVAILABLE TO THE PUBLIC BY REQUESTING THEM IN WRITING OR IN PERSON TO NEW ENGLAND AQUARIUM, CENTRAL WHARF, BOSTON, MA 02110. THE FORM 990 IS AVAILABLE ON WWW.GUIDESTAR.COM AND THE MASSACHUSETTS ATTORNEY GENERAL'S WEBSITE. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 380,118. PRIOR PERIOD ADJUSTMENTS: -2,057,937. GAIN ON INTEREST RATE SWAP AGREEMENT 20,241. LOSS NON-QUALIFIED PENSION -16,438. CURRENT YEAR IMPACT ON SFAS 158 -404,951. NET CHANGE IN BENEFICIAL INTEREST IN PERPETUAL TRUST 29,201. ROUNDING FROM AUDIT STATEMENTS TO ACTUAL -82. ` TOTAL TO FORM 990, PART XI, LINE 5: -2,049,848. DESCRIPTION OF PURPOSE SCHEDULE K, PART I, COLUMN F: THE PURPOSE OF THIS BOND ISSUE WAS TO REFINANCE THE OUTSTANDING PRINCIPAL AMOUNT OF A LOAN MADE BY THE MASSACHUSETTS HEALTH AND EDUCATIONAL FACILITIES AUTHORITY (THE AUTHORITY) TO THE ORGANIZATION FROM A PORTION OF THE PROCEEDS OF THE AUTHORITY'S REVENUE BONDS, CAPITAL ASSET PROGRAM ISSUE, SERIES J-3 ISSUED IN 1998. A PORTION OF THE PROCEEDS OF THIS BOND ISSUE WAS ALSO USED TO PAY COSTS OF ISSUING THE BOND. NEW ENGLAND AQUARIUM MARINE LIFE CENTER INC 17 MILK STREET BOSTON MA 021103399 223334951 ESTABLISH & MAINTAIN A CTR FOR THE RESCUE, TREATMENT & REHAB. OF MARINE ANIM MA 501(C)(3) 11, TYPE 1 N/A 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0