2024-08-15T17:19:33-05:00 2023-09-30 221478099 COHNREZNICK LLP 1301 AVENUE OF THE AMERICAS NEW YORK NY 10019 990 2022-10-01 010347504 COASTAL ENTERPRISES INC COAS 2075045900 30 FEDERAL STREET BRUNSWICK ME 04011 TERESA JANKOVIC CFO 2075045900 2024-08-15 1 1 LORI ROTHE YOKOBOSKY CPA P01273422 2122970400 2024-08-15 2022 2024-08-08 14:25:15Z ELISABETH BIEMANN 30 FEDERAL STREET BRUNSWICK ME 04011 22641314 0 X WWW.CEIMAINE.ORG X 1977 ME GROW GOOD JOBS, ENVIRONMENTALLY SUSTAINABLE ENTERPRISES AND MORE BROADLY SHARED PROSPERITY 19 15 70 30 0 0 8306945 13666377 2888229 3931407 1627786 3874518 791559 1169012 13614519 22641314 20900 4326635 0 0 5984171 6991984 0 0 320928 6897565 7367245 12902636 18685864 711883 3955450 113144533 125867837 73555843 82323697 39588690 43544140 CEI INTEGRATES FINANCING, BUSINESS AND INDUSTRY EXPERTISE, AND POLICY SOLUTIONS TO HELP GROW GOOD JOBS, ENVIRONMENTALLY-SUSTAINABLE ENTERPRISES, AND SHARED PROSPERITY IN MAINE AND OTHER RURAL REGIONS. 0 0 14396116 4326635 5100419 TO HELP CREATE OPPORTUNITIES FOR COMMUNITIES AND INDIVIDUALS, ESPECIALLY THOSE WITH LOW INCOMES, BY DEVELOPING AND ADMINISTERING PROGRAMS AND MOBILIZING FUNDS TO STIMULATE ECONOMIC ACTIVITY THROUGH INVESTMENT, TECHNICAL ASSISTANCE, RESEARCH AND EDUCATION PRIMARILY IN SMALL BUSINESSES, SOCIAL SERVICES, AFFORDABLE HOUSING AND COMMUNITY FACILITIES. 14396116 1 1 0 1 0 0 0 0 1 0 1 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 383 0 1 70 1 0 0 0 0 0 0 0 0 0 0 0 0 X 19 15 0 1 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 ME X ELISABETH BIEMANN 2075045900 30 FEDERAL STREET BRUNSWICK ME 04011 ADLER PRIOLY DIRECTOR 1.00 X 0 0 0 ANGELA T BUTLER DIRECTOR 1.00 X 0 0 0 BETH MATTINGLY DIRECTOR 1.00 X 0 0 0 BRIANA WARNER OUTGOING DIRECTOR 1.00 X 0 0 0 CATHERINE VAN DUSEN GODSCHALK VICE CHAIR 1.00 X X 0 0 0 CHARLES J RUDELITCH ESQ DIRECTOR 1.00 X 0 0 0 CHIP NEWELL DIRECTOR 1.00 X X 0 0 0 DEBBY MILLER DIRECTOR 1.00 X 0 0 0 DEVIN COOK DIRECTOR 1.00 X 0 0 0 IAN YAFFE DIRECTOR 1.00 X 0 0 0 JASON PARENT DIRECTOR 1.00 X 0 0 0 JEANNETTE ANDRE DIRECTOR 1.00 X 0 0 0 JOHN DORRER DIRECTOR 1.00 X 0 0 0 JOSH DAVIS DIRECTOR 1.00 X 0 0 0 KEVIN LEWIS DIRECTOR 1.00 X 0 0 0 KRYSTAL WILLIAMS DIRECTOR 1.00 X 0 0 0 MIRIAM L SHARK BOARD CHAIR 1.00 X X 0 0 0 SAFIYA KHALID DIRECTOR 1.00 X 0 0 0 SCOTT G KENNEY DIRECTOR 1.00 X 0 0 0 SEAN DUNDON DIRECTOR 1.00 X 0 0 0 SUSAN HAMMOND DIRECTOR 1.00 X 0 0 0 ELISABETH BIEMANN CHIEF EXECUTIVE OFFICER 40.00 X 219437 0 39816 KEITH BISSON PRESIDENT 39.00 1.00 X 222590 0 10176 TERESA JANKOVIC OUTSOURCED CFO 40.00 X 106550 0 0 COLLEEN IPPOLITO SVP, HUMAN RESOURCES AND OFFICE ADMINISTRATION 40.00 X 120744 0 46322 DANIEL WALLACE CHIEF INVESTMENT OFFICER 40.00 X 119391 0 44389 JENNIFER SPORZYNSKI SVP, WORKFORCE & BUSINESS 40.00 X 116982 0 47327 LAURA BUXBAUM SVP, PUBLIC POLICY & RESOU 39.00 1.00 X 108303 0 49937 THOMAS P BURNHAMTHOMAS P BURNHAM DIRECTOR OF LOAN QUALITY AND COMPLIANCE 40.00 X 104930 0 22584 1118927 0 260551 9 0 1 0 COHN REZNICK LLP 1301 AVENUE OF THE AMERICAS NEW YORK NY 10019 CONSULTING/AUDIT & TAX PREP 206060 HADJE A ESMILLER 674 FORT HILL RD GORHAM ME 04038 CONSULTING/INTERIM DIRECTOR OF ACCOUNTIN 133632 TERESA JANKOVIC 64 SUNSET DRIVE CROTON ON HUSDSON NY 10520 CONSULTING/INTERIM CFO 106550 3 74545 4302120 9289712 13666377 INTEREST ON LOAN 900099 3561622 3561622 FEE INCOME 900099 369785 369785 3931407 550713 550713 707846 2615959 0 0 707846 2615959 3323805 3323805 MANAGEMENT FEE 900099 816257 816257 BAD DEBT RECOVERY 900099 349612 349612 3143 3143 1169012 22641314 5100419 0 3874518 3569485 3569485 757150 757150 653428 450614 179817 22997 5562353 3835875 1530726 195752 234620 161797 64566 8257 95149 65615 26186 3348 446434 307867 122856 15711 475606 92647 382959 135421 26380 109041 286438 55798 230640 26500 26500 1370119 525976 807486 36657 122051 56931 39869 25251 184237 145694 38475 68 392734 310574 82016 144 270090 227228 30698 12164 162997 128898 34039 60 2509 1984 524 1 2212064 2212064 215063 170072 44912 79 999412 790334 208710 368 LOAN LOSSES 246023 246023 STAFF DEVELOPMENT 83253 65836 17386 31 REPAIRS & MAINTENANCE 39936 31581 8340 15 DUES AND SUBS 37386 29565 7807 14 105406 103628 1767 11 18685864 14396116 3968820 320928 39592740 31297793 6503 6543 1776798 3530902 16025758 25474183 44741502 53178122 307161 360589 7301672 1488424 5985852 5813248 4707491 6206457 728 0 113144533 125867837 1118479 1411470 252001 78724 173559 178126 66761804 75605377 5250000 5050000 73555843 82323697 X 28841206 28136139 10747484 15408001 39588690 43544140 113144533 125867837 3955450 0 X 0 1 X 1 1 1 X 5494429 6815694 37136338 8306945 13666377 71419783 5494429 6815694 37136338 8306945 13666377 71419783 10840797 60578986 266868 183534 46899 88880 550713 1136894 796884 858510 2270694 791559 1169012 5886659 78443336 15775573 0.77230 0.75520 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: ANNUAL MEETING - 2018 AMOUNT: $ 50,410. BAD DEBT RECOVERY - 2018 AMOUNT: $ 308,337. 2019 AMOUNT: $ 249,633. 2020 AMOUNT: $ 518,569. 2021 AMOUNT: $ 287,180. 2022 AMOUNT: $ 349,612. WORKSHOP INCOME - MISCELLANEOUS INCOME - 2018 AMOUNT: $ 3,742. 2019 AMOUNT: $ 154,286. 2020 AMOUNT: $ 1,402,125. 2021 AMOUNT: $ 72,816. 2022 AMOUNT: $ 3,143. MANAGEMENT FEES - 2018 AMOUNT: $ 434,395. 2019 AMOUNT: $ 454,591. 2020 AMOUNT: $ 350,000. 2021 AMOUNT: $ 431,563. 2022 AMOUNT: $ 816,257. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 35580 35580 14360586 14396166 869808 217452 0 0 518347 1000000 795132 869808 3183287 4774931 2032 20302 29218 35580 87132 129587 250000 198783 217452 795822 1193733 PART VII-A: POLICY ADVOCACY HAS ALWAYS BEEN AN IMPORTANT PART OF CEI'S STRATEGY TO CREATE IMPACT. MOST OF CEI'S POLICY ADVOCACY FOCUSES ON INCREASING RESOURCES AVAILABLE TO CEI AND TO THE CDFI FIELD. WE ALSO ADVOCATE FOR POLICIES THAT HAVE AN INDIRECT IMPACT ON OUR WORK, SUCH AS PROVIDING MORE RESOURCES FOR TRAINING WORKERS OR CREATING A SUPPORTIVE REGULATORY ENVIRONMENT FOR OUR WORK THROUGH CRA OR PREVENTING ABUSIVE PREDATORY LENDING OR FORECLOSURE PRACTICES. POLICY INITIATIVES USUALLY ARISE FROM EITHER OPPORTUNITIES OR BARRIERS THAT WE SEE FROM OUR WORK ON THE GROUND. OFTEN OUR FIRST STEP TOWARDS A POLICY INITIATIVE IS TO RESEARCH AN ISSUE AND MAKE RECOMMENDATIONS FOR ACTION. AT TIMES WE PLAY A LEADING ROLE, BUT MORE OFTEN WE ARE BOARD MEMBERS OF POLICY AND ADVOCACY ORGANIZATIONS AND PARTICIPATE IN STATE OR NATIONAL COALITIONS THAT COLLECTIVELY TAKE ON AN ISSUE, AS DESCRIBED ABOVE. WE EDUCATE POLICY MAKERS AND THE PUBLIC ON POLICY ISSUES BY FORMING COALITION SUPPORT TO TESTIFY ON SPECIFIC BILLS, CONTACT THE MEDIA, AND MEET ONE ON ONE WITH ELECTED OFFICIALS. MOST OF THIS ACTIVITY IS NOT ACTUAL LOBBYING. IN LIMITED CASES AT BOTH THE STATE AND FEDERAL LEVELS, CEI ACTIVELY LOBBIES FOR SPECIFIC LEGISLATION. IN THESE CASES, CEI STAFF RECORD THEIR TIME AS LOBBYING-RELATED. IN ADDITION, CEI HAS LIMITED LOBBYING-RELATED CONTRACTS WITH RAPOZA ASSOCIATES IN WASHINGTON, DC. 0 0 700000 700000 6361714 1302721 5058993 4450 2188 2262 235508 183515 51993 5813248 SUBORDINATED DEBT 5050000 5050000 X 30806009 3420 8161275 8164695 22641314 0 22641314 23084817 3420 4395533 4398953 18685864 0 18685864 PART X, LINE 2: THE CORPORATION MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAXING AUTHORITIES BASED ON THE TECHNICAL MERITS OF THE POSITION. TAX POSITIONS INCLUDE THE TAX-EXEMPT STATUS OF THE CORPORATION, AMONG OTHERS. THERE ARE NO UNCERTAIN TAX POSITIONS IDENTIFIED OR RECORDED AS LIABILITIES FOR THE YEAR ENDED SEPTEMBER 30, 2023. PART XI, LINE 2D - OTHER ADJUSTMENTS: RELATED ORGANIZATIONS REVENUES 9,421,970. INTERCOMPANY ELIMINATIONS -1,260,695. PART XII, LINE 2D - OTHER ADJUSTMENTS: RELATED ORGANIZATIONS EXPENSES 5,656,230. 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1 DAVID VAIL FORMER BOARD MEMBER FOR CEI TO ONLEND X 10000 12227 0 1 1 DAVID VAIL FORMER BOARD MEMBER FOR CEI TO ONLEND X 10000 21320 0 1 1 ELISABETH BIEMANN OFFICER FOR CEI TO ONLEND X 5000 5336 0 1 1 ELISABETH BIEMANN OFFICER FOR CEI TO ONLEND X 15000 16766 0 1 1 IAN YAFFE BOARD MEMBER FOR CEI TO ONLEND X 5000 5336 0 1 1 KARIN GREGORY FORMER BOARD MEMBER FOR CEI TO ONLEND X 5000 6387 0 1 1 MIRIAM L SHARK BOARD VICE-CHAIR FOR CEI TO ONLEND X 20000 20000 0 1 1 178126 FORM 990, PART VI, SECTION A, LINE 3 FOR PART OF THE YEAR, THE ORGANIZATION OUTSOURCED THE CFO POSITION TO TERESA JANKOVIC. FORM 990, PART VI, SECTION B, LINE 11B CEI'S FORM 990 IS THOROUGHLY REVIEWED BY THE CHIEF FINANCIAL OFFICER. THE RETURN IS PROVIDED TO THE BOARD FOR ACKNOWLEDGMENT AND REVIEW. UPON SATISFACTORY COMPLETION OF THE CHIEF FINANCIAL OFFICER REVIEW THE CFO SIGNS THE EFILE AUTHORIZATION FORM. FORM 990, PART VI, SECTION B, LINE 12C THE DIRECTORS ARE REQUIRED TO SIGN AN ANNUAL STATEMENT DISCLOSING ANY CONFLICT OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 THE CEO'S COMPENSATION IS APPROVED BY THE BOARD OF DIRECTORS. THE BOARD CHAIR IS RESPONSIBLE FOR CONDUCTING AN ANNUAL CEO PERFORMANCE REVIEW. THE BOARD APPROVES THE ANNUAL BUDGET, WHICH INCLUDES THE STAFF SALARY BUDGET. EVERY TWO TO THREE YEARS AS A BEST PRACTICE, CEI ENGAGES AN INDEPENDENT, THIRD-PARTY HR CONSULTANT TO CONDUCT A COMPREHENSIVE MARKET COMPENSATION STUDY. THE RESULTS ARE USED TO UPDATE CEI'S EXISTING SALARY AND POSITION GRADING SYSTEM AND INFORM MARKET-BASED COMPENSATION ADJUSTMENTS WHEN APPROPRIATE. THIS SYSTEM WAS DEVELOPED BY THE SAME CONSULTANT IN 2014. THE LAST COMPREHENSIVE MARKET STUDY WAS CONDUCTED IN FISCAL YEAR 2022. FORM 990, PART VI, SECTION C, LINE 19 THE ANNUAL REPORT IS AVAILABLE ON OUR WEBSITE. 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