2011-08-11T14:39:09-05:00 2010-12-31 EISNERAMPER LLP 750 THIRD AVENUE NEW YORK NY 100172703 990 2010-01-01 133857105 ITHAKA HARBORS INC ITHA 2125002600 151 East 61st Street New York NY 10065 KEVIN M GUTHRIE 2011-08-15 JULIE FLOCH 2129498700 2010 2016-02-24 21:20:13Z KEVIN M GUTHRIE 151 EAST 61ST STREET NEW YORK CITY NY 10065 58388918 false X WWW.ITHAKA.ORG X 1995 NY ITHAKA HARBORS, INC. IS A NOT-FOR-PROFIT ORGANIZATION THAT HELPS THE ACADEMIC COMMUNITY USE DIGITAL TECHNOLOGIES TO PRESERVE THE SCHOLARLY RECORD AND TO ADVANCE RESEARCH AND TEACHING IN SUSTAINABLE WAYS. 16 14 219 1220910 -145677 522030 1435601 49270206 53588996 2880920 3315881 270444 48440 52943600 58388918 0 0 0 0 22808322 23676182 0 0 72624 32753099 30635690 55561421 54311872 -2617821 4077046 91396862 113317652 26999907 39897524 64396955 73420128 X ITHAKA HARBORS, INC. IS A NOT-FOR-PROFIT ORGANIZATION DEDICATED TO HELPING THE ACADEMIC COMMUNITY TAKE FULL ADVANTAGE OF RAPIDLY ADVANCING INFORMATION AND NETWORKING TECHNOLOGIES. WE SERVE SCHOLARS, RESEARCHERS AND STUDENTS BY PROVIDING THE CONTENT, TOOLS, AND SERVICES NEED TO PRESERVE THE SCHOLARLY RECORD AND TO ADVANCE RESEARCH AND TEACHING IN SUBSTAINALBE WAYS. WE ARE COMMITTED TO WORKING IN COLLABORATION WITH OTHER ORGANIZATIONS TO MAXIMIZE BENEFITS TO OUR STAKEHOLDERS. false false 48334300 53588996 ITHAKA IS A NOT-FOR-PROFIT ORGANIZATION THAT HELPS THE ACADEMIC COMMUNITY USE DIGITAL TECHNOLOGIES TO PRESERVE THE SCHOLARLY RECORD AND TO ADVANCE RESEARCH AND TEACHING IN SUSTAINABLE WAYS. WE PURSUE THIS MISSION BY PROVIDING INNOVATIVE SERVICES THAT AID IN THE ADOPTION OF THESE TECHNOLOGIES AND THAT CREATE LASTING IMPACT. WE CONDUCT RIGOROUS RESEARCH AND THINK CREATIVELY WITH OTHERS ABOUT THE IMPACT AND OPPORTUNITIES ADVANCES IN DIGITAL TECHNOLOGY BRING TO THE ACADEMIC COMMUNITY; WE SHARE WHAT WE LEARN AS BROADLY AS POSSIBLE; AND, WHEN NEEDED, WE BUILD SCALABLE, ENDURING SOLUTIONS. OUR SERVICES: JSTOR, PORTICO AND ITHAKA S+R. 48334300 true true false false false false false false true true true false false true true true false false false false false false false false false false false false true false false false false false false false false false false false false false false false false false false true 43 0 219 true true true false false false false false false false false false X 16 14 false false false false false false false true true false false true true true true true true true true false NJ NY X CHRIS VANACORE 2125002344 151 EAST 61ST STREET NEW YORK NY 10065 HENRY S BIENEN 2.0 X X 5000 0 0 PAUL A BREST 2.0 X 0 0 0 WILLIAM G BOWEN 2.0 X 0 0 0 NANCY M CLINE 2.0 X 5000 0 0 IRA H FUCHS 2.0 X 5000 0 0 EUGENE Y LOWE JR 2.0 X 5000 0 0 DEANNA B MARCUM 2.0 X 0 0 0 W DRAKE MCFEELY 2.0 X 5000 0 0 MICHELE TOLELA MYERS 2.0 X 5000 0 0 DAVID PAKMAN 2.0 X 5000 0 0 JUDITH SHAPIRO 2.0 X 0 0 0 STEPHEN M STIGLER 2.0 X 5000 0 0 CHARLES M VEST 2.0 X 0 0 0 HERBERT S WINOKUR JR 2.0 X 10000 0 0 KEVIN M GUTHRIE 40.0 X X 332875 0 59729 MICHAEL P SPINELLA 40.0 X X 304286 0 46605 DANIEL B GIBSON 40.0 X X 150188 0 23395 LAURA BROWN 40.0 X 287374 0 54270 EILEEN FENTON 40.0 X 235471 0 40926 NANCY KOPANS 40.0 X 233664 0 40505 GERARD AURIGEMMA 40.0 X 212295 0 45722 MARY ROSE MUCCIE 40.0 X 218633 0 45457 ROBERT HETERICK 40.0 X 268548 0 45248 HEIDI BARTOLACCI 32.0 X 156554 0 39703 ANGELO FEDERICO 40.0 X 177974 0 28462 TONI TRACY 40.0 X 169123 0 50435 ROGER RETKE 40.0 X 162407 0 21245 JOHN BURNS 40.0 X 159434 0 32807 3118826 0 574509 51 false true false APEX COVERAGE 120 PRESIDENTS PLAZA 198 VAN BUREN HERNDON VA 20170 JOURNAL SCANNING 1268824 NINESTARS INFORMATION TECHNOLOGIES 72 GREAMS ROAD THOUSAND LIGHTS CHENNAI IN 600 006 JOURNAL SCANNING 1027724 KLOPOTEK NORTH AMERICA 2001 ROUTE 46 SUITE 203 PARSIPPANY NJ 07054 FULFILLMENT SERVICES 353752 UC REGENTS 10920 WILSHIRE BLVD STE 107 LOS ANGELES CA 90024 REPOSITORY SERVICES 327141 ASSK CONSULTING SERVICES 23 DOGWOOD DR PLAINSBORO NJ 08536 TECHNICAL PRODUCTION 290976 10 275526 1160075 1435601 ARCHIVE FEES 519100 8623374 8623374 ANNUAL ACCEESS FEES 519100 39354205 39354205 SHARED SERVICE FEES 519100 1220910 1220910 STRATEGY AND RESEARCH FEES 519100 442884 442884 PORTICO PARTCIPANT FEES 519100 3743762 3743762 203861 203861 53588996 3315881 3315881 0 0 0 0 0 0 PUBLISHER FEES 519100 63871 63871 PAY PER VIEW 519100 164856 164856 GAIN/LOSS ON CURRENCY CONVERSION 900099 -180287 -180287 48440 58388918 52596813 1220910 3135594 0 0 0 0 2299698 2268684 0 31014 0 15354657 13708840 1623430 22387 1973444 1789436 175913 8095 2846115 2469615 370431 6069 1202268 1064257 132952 5059 0 58972 58972 144625 144625 0 0 0 5215394 4980152 235242 115498 115498 1227138 814243 412895 4136953 4134650 2303 0 1671722 1504550 167172 1214364 1177951 36413 0 386555 384449 2106 25619 25619 0 2045007 2045007 101826 101826 JOURAL ACQUISITION & SCANNING 3496912 3496912 COMMISSIONS 218055 218055 FEES AND PUBLISHER PAYMENTS 9877951 9877951 OTHER 699099 244466 454633 54311872 48334300 5904948 72624 1146 1216 23367078 17413108 479076 638010 5479002 5357770 689989 876548 17866025 11368957 4489159 6497068 6012482 6332633 50407450 75720942 471480 480357 91396862 113317652 9723230 16824548 17036765 20392531 239912 2680445 26999907 39897524 X 63988105 72583653 408850 836475 64396955 73420128 91396862 113317652 X 4077046 4946127 X false true true X false X 236432 349000 522030 1435601 2543063 30993549 34891266 40725792 47909305 52368086 206887998 31229981 34891266 41074792 48431335 53803687 209431061 1815792 1411198 2104164 5125223 3864160 14320537 1815792 1411198 2104164 5125223 3864160 14320537 195110524 3165841 5457474 2572486 2270087 3315881 16781769 1360901 1220910 2581811 3165841 5457474 2572486 3630988 4536791 19363580 141330 255602 -54125 270444 48440 661691 34537152 40604342 43593153 52332767 58388918 229456332 0.85032 0.85360 0.08439 0.08570 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 39553171 9950000 5620481 55123652 35964380 -6288198 9876989 39553171 47590650 1989980 -13616250 35964380 1.00000 false false 1728286 1314310 413976 16137739 10054647 6083092 6497068 0 0 DEFERRED RENT 188980 CAPITAL LEASES PAYABLE 2491465 2680445 58388918 54311872 4077046 4946127 4946127 9023173 64321387 4946127 986342 5932469 58388918 58388918 55298214 986342 986342 54311872 54311872 SCHEDULE D, PART V, LINE 4 INTENDED USE OF BOARD DESIGNATED FUNDS ITHAKA'S BOARD OF TRUSTEES HAS DESIGNATED A PORTION OF ARCHIVE CAPITAL FEES COLLECTED TO PROVIDE A RESERVE FOR THE LONG-TERM PRESERVATION, MAINTENANCE, AND SUPPORT OF THE ARCHIVE AND FOR USE IN CONNECTION WITH UNFORESEEN MISSION-RELATED DEVELOPMENTS UNRELATED TO ARCHIVING. SCHEDULE D, PART X, LINE 2 INCOME TAX UNCERTAINTIES IN 2009, ITHAKA ADOPTED THE PROVISIONS OF ASC 740-10-05 RELATING TO ACCOUNTING AND REPORTING FOR UNCERTAINTY IN INCOME TAXES. BECAUSE OF ITHAKA'S GENERAL TAX-EXEMPT STATUS, ASC 740-10-05 HAS NOT HAD, AND IS NOT ANTICIPATED TO HAVE, A MATERIAL IMPACT ON ITHAKA'S FINANCIAL STATEMENTS. X X X true false false false false false false false false KEVIN M GUTHRIE 322875 0 10000 0 0 0 38745 0 20984 0 392604 0 0 0 MICHAEL P SPINELLA 274286 0 30000 0 0 0 32914 0 13691 0 350891 0 0 0 LAURA BROWN 277374 0 10000 0 0 0 33285 0 20985 0 341644 0 0 0 EILEEN FENTON 225471 0 10000 0 0 0 27057 0 13869 0 276397 0 0 0 NANCY KOPANS 223664 0 10000 0 0 0 26840 0 13665 0 274169 0 0 0 MARY ROSE MUCCIE 214633 0 4000 0 0 0 25756 0 19701 0 264090 0 0 0 GERARD AURIGEMMA 207295 0 5000 0 0 0 24875 0 20847 0 258017 0 0 0 ROBERT HETERICK 203767 0 64781 0 0 0 24452 0 20796 0 313796 0 0 0 ANGELO FEDERICO 159320 0 0 0 18654 0 19118 0 9344 0 206436 0 0 0 TONI TRACY 169123 0 0 0 0 0 20295 0 30140 0 219558 0 0 0 ROGER RETKE 162407 0 0 0 0 19489 0 1756 0 183652 0 0 0 JOHN BURNS 159434 0 0 0 0 0 19132 0 13675 0 192241 0 0 0 HEIDI BARTOLACCI 153554 0 3000 0 0 0 18426 0 21277 0 196257 0 0 0 SCHEDULE J, PART I RETIREMENT PLANS 403(B) PLAN: EFFECTIVE JANUARY 1, 2004, ITHAKA IMPLEMENTED A RETIREMENT PLAN TO INCLUDE A NONPARTICIPATORY SECTION 403(B) DEFINED CONTRIBUTION PLAN AND A SECTION 403(B) TAX DEFERRED ANNUITY PLAN. THIS PLAN IS FUNDED ANNUALLY THROUGH TIAA-CREF, THE PLAN'S CUSTODIAN. UNDER THE 403(B) DEFINED CONTRIBUTION PLAN, ALL EMPLOYEES ARE ELIGIBLE TO PARTICIPATE AFTER SIX MONTHS OF SERVICE AND A PERCENTAGE OF EACH EMPLOYEE'S SALARY, AS DEFINED, IS CONTRIBUTED BY ITHAKA TO THE PLAN. THE PROVISIONS FOR RETIREMENT BENEFITS FOR THE YEAR ENDED DECEMBER 31,2010 WERE APPROXIMATELY $1,965,000. UNDER THE 403(B) TAX DEFERRED ANNUITY PLAN, WHICH IS FUNDED SOLELY THROUGH PARTICIPANT-DIRECTED ELECTIVE SALARY DEFERRALS, ALL EMPLOYEES ARE ELIGIBLE TO PARTICIPATE. DEFERRED COMPENSATION PLAN: IN 2003, ITHAKA ESTABLISHED A SECTION 457 (B) DEFERRED COMPENSATION PLAN, EFFECTIVE JANUARY 1, 2004, FOR ELIGIBLE EMPLOYEES, DESIGNATED AND APPROVED BY ITHAKA'S BOARD OF TRUSTEES. UNDER THE TERMS OF THIS PLAN, ELIGLIBLE EMPLOYEES MAY MAKE ELECTIVE DEFERRALS UP TO THE MAXIMUM AMOUNT PERMITTED BY LAW. ITHAKA DOES NOT CONTRIBUTE TO THIS PLAN. FORM 990, PART VI, LINE 11B REVIEW PROCESS FOR FORM 990 THE TAX RETURN IS REVIEWED BY THE AUDIT COMMITTEE AND THEN SENT TO THE ENTIRE BOARD FOR REVIEW PRIOR TO ELECTRONIC FILING OF THE FORM 990. FORM 990, PART VI, LINE 12C CONFLICT OF INTEREST POLICY ITHAKA'S CONFLICTS OF INTEREST POLICY APPLIES TO ITS GOVERNING BOARD, CORPORATE OFFICERS, KEY EMPLOYEES, AND OTHERS REPRESENTING THE ORGANIZATION. MEMBERS OF ITHAKA'S GOVERNING BOARD ARE REQUIRED TO DISCLOSE ALL CONFLICTS OF INTEREST PROMPTLY AT THE TIME THEY ARISE AND ANNUALLY VIA WRITTEN DISCLOSURE PROCESS. THE AUDIT COMMITTEE IS CHARGED WITH REVIEWING CONFLICTS OF INTEREST TRANSACTIONS AND ASSOCIATED DECISIONS AND MAKING A DETERMINATION REGARDING ANY RESTRICTIONS TO BE IMPOSED ON THE TRANSACTION. ITHAKA'S KEY EMPLOYEES ARE LIKEWISE REQUIRED TO DISCLOSE TO THEIR SUPERVISORS PROMPTLY ALL CONFLICTS OF INTEREST THAT ARISE AND COMPLETE AN ANNUAL CONFLICTS OF INTEREST DISCLOSURE STATEMENT. FORM 990, PART VI, LINE 15A & 15B COMPENSATION POLICY THE COMPENSATION AND BENEFITS COMMITTEE OF THE BOARD CONDUCTS AN ANNUAL REVIEW OF OFFICERS' COMPENSATION AND THE COMPENSATION OF HIGHLY PAID EMPLOYEES. AS PART OF THIS REVIEW, THE COMMITTEE REFERENCES AVAILABLE MARKET DATA FOR COMPARABLE POSITIONS AND INTERNAL EQUITY CONSIDERATIONS, AND IT UTILIZES AN ANALYSIS OF OFFICER SALARIES PREPARED BY AN INDEPENDENT EXTERNAL ADVISOR USING INDUSTRY BENCHMARKING DATA. THE REVIEW PROCESS COVERS ALL OFFICERS AND HIGHLY PAID EMPLOYEES. FORM 990, PART VI, LINE 19 DOCUMENTS AVAILABLE FOR PUBLIC INSPECTION: FINANCIAL STATEMENTS, GOVERNING DOCUMENTS AND THE CONFLICT OF INTEREST POLICY ARE AVAILABLE UPON REQUEST. FORM 990, PART VII, SECTION A COMPENSATION OF HERBERT S. WINOKUR, JR THE $10,000 COMPENSATION PAID TO HERBERT S. WINOKUR, JR IN 2010 REPRESENTS TWO YEARS OF COMPENSATION. FORM 990, PART XI, LINE 5 OTHER CHANGES IN NET ASSETS OTHER CHANGES IN NET ASSETS IS DUE T0 UNREALIZED GAINS IN INVESTMENTS