2022-10-12T09:16:13-05:00 2021-12-31 366055558 GRANT THORNTON LLP 757 THIRD AVENUE 3RD FLOOR NEW YORK NY 100172013 990 2021-01-01 133615533 ROCKEFELLER PHILANTHROPY ADVISORS INC ROCK 2128124330 6 WEST 48TH STREET 10TH FLOOR NEW YORK NY 10036 NICHOLAS HODGES SENIOR VICE PRESIDENT & COO 2128124330 2022-10-12 1 NICHOLAS HODGES XXX-XX-XXXX SCOTT THOMPSETT P00741490 2125990100 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z MELISSA BERMAN 6 WEST 48TH STREET 10TH FLOOR NEW YORK NY 10036 712495865 0 X WWW.ROCKPA.ORG X 1992 DE RPA ASSISTS INDIVIDUALS, TRUSTS, FOUNDATIONS, & CORPORATIONS IN ACHIEVING THEIR PHILANTHROPIC GOALS. 19 18 390 18 0 0 412842348 524167015 9470908 13177538 1910609 1526490 357284 354266 424581149 539225309 242173106 267138983 0 0 43869266 58062100 0 0 666952 73815812 89702310 359858184 414903393 64722965 124321916 573987860 702327991 106132728 106777772 467855132 595550219 X SEE SCHEDULE O 0 0 375147558 251956546 4764227 SPONSORED PROJECTS - RPA'S SPONSORED PROJECT PROGRAM ENABLES INDIVIDUALS AND GROUPS TO PURSUE A VARIETY OF SPECIALIZED CHARITABLE GRANT-MAKING PROJECTS AND ACTIVITIES CONSISTENT WITH THE GENERAL MISSION OF RPA.RPA PROVIDES ADMINISTRATIVE AND PROGRAMMATIC SUPPORT TO ENABLE FUNDERS TO DEVELOP, LAUNCH AND PROMOTE HIGH-IMPACT PROJECTS AROUND THE GLOBE. FISCAL SPONSORSHIP SUBSTANTIALLY REDUCES THE COSTS TYPICALLY ASSOCIATED WITH DEVELOPING NONPROFIT GOVERNANCE, MANAGEMENT AND OPERATIONAL INFRASTRUCTURE. RPA HAS EXTENSIVE EXPERIENCE INCUBATING START-UP, INNOVATIVE AND COMPLEX PROJECTS IN THE U.S. AND OVERSEAS. (SEE SCHEDULE O)RPA CAN:1. PROVIDE STRONG ACCOUNTING, HR, FINANCE & IT INFRASTRUCTURE. 2. DEVELOP AND MONITOR SOPHISTICATED PROJECT BUDGET AND GRANT REPORTING.3. OFFER RESEARCH, ANALYSIS, GRANTMAKING AND EVALUATION SERVICES.4. ADOPT PROJECT GOVERNANCE STRUCTURES THAT ENGAGE EXTERNAL ADVISORS, FUNDERS AND OTHER PRINCIPALS. 15785155 15151437 116313 CHARITABLE FUNDS - RPA SERVES AS A GRANT-MAKING VEHICLE THAT ENABLES A DONOR TO MAKE RECOMMENDATIONS WITH RESPECT TO HIS OR HER PHILANTHROPIC OBJECTIVES. RPA'S CHARITABLE GIVING FUND IS A FLEXIBLE, COST-EFFECTIVE WAY FOR ITS DONORS TO ACHIEVE THEIR CHARITABLE AIMS. IT IS AN OPTIMAL ALTERNATIVE FOR INDIVIDUALS, COUPLES OR FAMILIES SEEKING EXPERT PHILANTHROPIC ADVICE WITHOUT THE EXPENSE AND COMPLEXITY OF FORMING A PRIVATE FOUNDATION. 11405200 31000 8376168 GENERAL FUND/RPA CONSULTING - TO FACILITATE PHILANTHROPY AND TO SUPPORT THE GROWTH OF A VITAL, CREATIVE, NOT-FOR-PROFIT SECTOR. RPA HAS THE SKILL AND EXPERTISE TO ENGAGE CLIENTS AT ALL STAGES OF THE PHILANTHROPIC LIFE CYCLE, FROM CONCEPT AND START-UP TO ONGOING OPERATIONS AND SUCCESSION PLANNING. AS PART OF OUR MISSION OF THOUGHTFUL AND EFFECTIVE PHILANTHROPY, WE SHARE RESEARCH, BEST PRACTICES AND NEW-THINKING THAT ELEVATE THE FIELD OF PHILANTHROPY AND SUPPORT THE SECTOR. 402337913 1 1 0 1 0 1 0 0 0 1 1 0 0 0 1 1 0 1 0 1 1 1 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 786 0 1 390 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X 19 18 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X X CASSIE GOULD CONTROLLER 2128124330 6 WEST 48TH STREET 10TH FLOOR NEW YORK NY 10036 MELISSA A BERMAN PRESIDENT AND CEO 35.00 0.00 X X 609114 0 50790 WENDY O'NEILL CHAIR 1.00 0.00 X X 0 0 0 ADAM WOLFENSOHN TREASURER 1.00 0.00 X X 0 0 0 ANA MARIE ARGILAGOS BOARD MEMBER 1.00 0.00 X 0 0 0 ANAND BABU BOARD MEMBER 1.00 0.00 X 0 0 0 MAC BRODERICK BOARD MEMBER 1.00 0.00 X 0 0 0 KYUNGSUN CHUNG BOARD MEMBER 1.00 0.00 X 0 0 0 ANDREW DAYTON BOARD MEMBER 1.00 0.00 X 0 0 0 RIEN VAN GENDT BOARD MEMBER 1.00 0.00 X 0 0 0 CATHY HALSTEAD BOARD MEMBER 1.00 0.00 X 0 0 0 JUANITA T JAMES BOARD MEMBER 1.00 0.00 X 0 0 0 MICHAEL QUATTRONE BOARD MEMBER 1.00 0.00 X 0 0 0 LUTHER M RAGIN JR BOARD MEMBER 1.00 0.00 X 0 0 0 PETER C ROCKEFELLER BOARD MEMBER 1.00 0.00 X 0 0 0 RYAN ROCKEFELLER BOARD MEMBER 1.00 0.00 X 0 0 0 VALERIE ROCKEFELLER BOARD MEMBER 1.00 0.00 X 0 0 0 THEO SPENCER BOARD MEMBER 1.00 0.00 X 0 0 0 ROBIN STRAWBRIDGE BOARD MEMBER 1.00 0.00 X 0 0 0 SARAH TEACHER BOARD MEMBER 1.00 0.00 X 0 0 0 JANE M LEVIKOW THRU 0121 VP SPONSORED PROJECTS & FUNDS 35.00 0.00 X 80369 0 7193 NICHOLAS HODGES SENIOR VICE PRESIDENT/COO 35.00 0.00 X 469565 0 52335 WALTER SWEET EXECUTIVE SR. VICE PRESIDENT 35.00 0.00 X 469407 0 46843 GREGORY RATLIFF SENIOR VICE PRESIDENT (AS OF 12/3/21) 35.00 0.50 X 379943 0 42847 YOLANDA A ARIAS-BROWNELL SR. VP, PEOPLE & CULTURE 35.00 0.00 X 347360 0 52081 RENEE KARIBI-WHYTE VP & ASST. CORP. SECRETARY 35.00 0.00 X 297462 0 60478 CHRISTOPHER WELCH VICE PRESIDENT & CFO 35.00 0.50 X 299762 0 50780 JENNIFER KITT PRESIDENT, SPONSORED PROJECT 35.00 0.00 X 655753 0 64421 MARGARET HEMPEL EXECUTIVE DIRECTOR, SPONSORED PROJ. 35.00 0.00 X 379919 0 27438 PASCALE DE LA FREGONNIERE POITTEVIN VP OF SPONSORED PROJ. 35.00 0.00 X 364591 0 42210 ROBYNN STEFFEN VP & COO, SPONSORED PROJECT 35.00 0.00 X 360632 0 27392 ANTHONY PORTER THRU 1121 CEO & CO DIR., SPONSORED PROJ. 35.00 0.00 X 327615 0 59561 5041492 0 584369 150 0 1 0 BANKABLE FRONTIER ASSOCIATES LLC 259 ELM STREET SUITE 200 SOMERVILLE MA 02144 CONSULTING 4073488 THE MORIAH GROUP 1750 NICK DAVIS ROAD HARVEST AL 35749 CONSULTING 2569429 EDUCATION FIRST CONSULTING LLC PO BOX 22871 SEATTLE WA 981220871 CONSULTING 2480290 ECHIDNA GIVING ADVISORS LLC 915 BATTERY STREET STE 3 SAN FRANCISCO CA 94111 CONSULTING 1460000 DALBERG ADVISORS 155 WEST 23RD STREET NEW YORK NY 10011 CONSULTING 1279772 190 6654039 517512976 33323560 524167015 ADVISORY FEES 523930 7742798 7742798 EDUCATIONAL & OTHER CO 900099 4799370 4799370 ASSESSMENT FEES 523920 633370 633370 PRI INTEREST 900099 2000 2000 13177538 1405948 1405948 239954 0 239954 239954 239954 173391098 173270556 120542 120542 120542 CONTRACTUAL INCOME 900099 79170 79170 MISCELLANEOUS REVENUE 900099 35142 35142 114312 539225309 13256708 0 1801586 194472561 194472561 79500 79500 72586922 72586922 3228767 468948 2483802 276017 43752630 40236344 3453117 63169 2540478 2273378 257852 9248 5725745 5017499 673483 34763 2814480 2464435 332857 17188 612158 338248 273910 171031 171031 4290 4290 464057 464057 774772 613295 161477 1252720 1204330 48390 385148 332808 52340 6327078 5425704 853897 47477 3439353 2533887 857774 47692 2159556 2142830 16726 806245 788787 17458 5108 162 4946 338234 179896 149998 8340 229704 8560 221144 PROGRAM RELATED FEES 68811227 68811227 TEMP HELP/EMPLOYMENT AG 2219849 1608800 611049 PAYROLL PROCESSING FEES 727856 578833 149023 GRANTS ASSESSMENT 633370 633370 340554 146594 192379 1581 414903393 402337913 11898528 666952 78312695 79015676 140297190 267312022 274126219 256434387 1641727 3365891 587285 2307666 3694474 3282822 559648 411652 71318736 84264350 6894360 8309992 250000 906355 573987860 702327991 15992396 11854960 87344662 86281375 2030603 8050016 765067 591421 106132728 106777772 X 45521132 63588730 422334000 531961489 467855132 595550219 573987860 702327991 X 124321916 -1067737 4440908 X 0 1 X 1 1 1 X 272311986 199971257 344150346 412842348 524167015 1753442952 272311986 199971257 344150346 412842348 524167015 1753442952 276978047 1476464905 973577 2190755 3059215 1917819 1645902 9787268 16007 7811 16837 14001 35142 89798 1763320018 43814104 0.83730 0.75930 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2017 AMOUNT: $ 16,007. 2018 AMOUNT: $ 7,811. 2019 AMOUNT: $ 16,837. 2020 AMOUNT: $ 14,001. 2021 AMOUNT: $ 35,142. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 1679000 0 0 0 1679000 0 PART II-B, LINE 1, LOBBYING ACTIVITIES: ROCKEFELLER PHILANTHROPY ADVISORS DOES NOT ENGAGE IN ANY DIRECT LOBBYING ACTIVITIES; IN CALENDAR YEAR 2021, THE ORGANIZATION FUNDED 7 SECTION 501(C)(3) TAX-EXEMPT ENTITIES THAT MAY HAVE USED THAT FUNDING TO ENGAGE IN ADVOCACY AND LEGISLATIVE INITIATIVES. 73 25158875 15151437 40578787 1 1 1318782 107066 1425848 1177694 141088 1318782 1081826 95868 1177694 1195536 -38710 75000 1081826 1053261 142275 1195536 0.70130 0.29870 0 0 1938656 1718367 220289 1755818 1564455 191363 411652 DEFERRED LIABILITIES 299454 ACCRUED PENSION AND POSTRETIREMENT BENEFITS 258142 REFUNDABLE SECURITY DEPOSIT 33825 591421 X 540858251 -1067737 3164736 2096999 538761252 464057 464057 539225309 411574632 1699535 1699535 409875097 464057 4564239 5028296 414903393 PART V, LINE 4: RPA'S ENDOWMENT CONSISTS OF ONE INDIVIDUAL DONOR-RESTRICTED ENDOWMENT FUND ESTABLISHED FOR SPECIAL CHARITABLE PROJECTS APPROVED BY ITS BOARD OF DIRECTORS. AS REQUIRED BY US GAAP, NET ASSETS ASSOCIATED WITH ENDOWMENT FUNDS, INCLUDING FUNDS DESIGNATED BY RPA'S BOARD OF DIRECTORS TO FUNCTION AS ENDOWMENTS, ARE CLASSIFIED AND REPORTED BASED ON THE EXISTENCE OR ABSENCE OF DONOR-IMPOSED RESTRICTIONS. THE PRIMARY INVESTMENT OBJECTIVES OF RPA ARE TO PROVIDE FUNDS FOR CHARITABLE PROJECTS AND THE OPERATION OF RPA AND TO MAINTAIN AND ENHANCE THE VALUE OF THE INVESTMENT ASSETS. THE OVERALL INVESTMENT GOAL OF RPA, THEREFORE, IS TO ACHIEVE THE PROPER BALANCE BETWEEN PRESERVATION OF PRINCIPAL AND CURRENT SUPPORT AND THE NEED FOR REAL GROWTH AND FUTURE SUPPORT. PART X, LINE 2: RPA FOLLOWS GUIDANCE THAT CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN, INCLUDING ISSUES RELATING TO FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT. THIS GUIDANCE PROVIDES THAT THE TAX EFFECTS FROM AN UNCERTAIN TAX POSITION IS "MORE LIKELY THAN NOT" TO BE SUSTAINED IF THE POSITION WERE TO BE CHALLENGED BY A TAXING AUTHORITY. THE ASSESSMENT OF THE TAX POSITION IS BASED SOLELY ON THE TECHNICAL MERITS OF THE POSITION, WITHOUT REGARD TO THE LIKELIHOOD THAT THE TAX POSITION MAY BE CHALLENGED. RPA IS EXEMPT FROM FEDERAL INCOME TAX UNDER 501(C)(3), THOUGH IT IS SUBJECT TO TAX ON INCOME UNRELATED TO ITS EXEMPT PURPOSE, UNLESS THAT INCOME IS EXCLUDED BY THE THE INTERNAL REVENUE CODE. RPA HAS PROCESSES PRESENTLY IN PLACE TO ENSURE THE MAINTENANCE OF ITS TAX-EXEMPT STATUS; TO IDENTIFY AND REPORT UNRELATED INCOME; TO DETERMINE ITS FILING AND TAX OBLIGATIONS IN JURISDICTIONS FOR WHICH IT HAS NEXUS; AND TO IDENTIFY AND EVALUATE OTHER MATTERS THAT MAY BE CONSIDERED TAX POSITIONS. RPA DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. PART XI, LINE 2D - OTHER ADJUSTMENTS: REVENUES ATTRIBUTABLE TO CONSOLIDATED SUBSIDIARY, DROPBOX FOUNDATION 3,164,736. PART XII, LINE 2D - OTHER ADJUSTMENTS: EXPENSES ATTRIBUTABLE TO CONSOLIDATED SUBSIDIARY, DROPBOX FOUNDATION 1,594,344. FLUCTUATION IN FOREIGN CURRENCY VALUATION OF FOREIGN GRANTS 105,191. PART XII, LINE 4B - OTHER ADJUSTMENTS: RECOVERIES OF PRIOR YEAR GRANTS 3,364,239. GENERAL GRANTS ACCRUAL 1,200,000. 1 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 53 GRANTMAKING 29982931 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 6 GRANTMAKING 14012175 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, 2 32 GRANTMAKING 11155410 SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, 0 8 GRANTMAKING 6152586 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 1 GRANTMAKING 5883308 MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 0 2 GRANTMAKING 2256102 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 0 8 GRANTMAKING 2105428 CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 GRANTMAKING 1038982 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 INVESTMENTS 8309992 2 110 0 0 2 110 72586922 8309992 80896914 SOUTH ASIA GENERAL 19000 WIRE 0 SUB-SAHARAN AFRICA GENERAL 10000 WIRE 0 SUB-SAHARAN 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PROCEDURES. TO REDUCE THE LIKELIHOOD THAT GRANTS RECOMMENDED OR ADMINISTERED BY ROCKEFELLER PHILANTHROPY ADVISORS, INC., WILL BE DIVERTED FOR INAPPROPRIATE PURPOSES, THE ORGANIZATION HAS ADOPTED GENERAL PRINCIPLES, PRACTICES, AND DUE DILIGENCE PROCEDURES THAT INCLUDE COMPLIANCE WITH IRS GUIDELINES AND OTHER INDUSTRY BEST PRACTICES AND MORE SPECIFICALLY INCLUDE THE FOLLOWING: 1. ASSESSING CHARITABLE PURPOSE AND INTENT. 2. CONDUCTING AN ANTI-TERRORISM SCREEN. 3. VERIFYING EXEMPT STATUS. 4. COMPLETING A RISK ASSESSMENT AND, IF NECESSARY, A MORE DETAILEDREVIEW. 5. CREATION OF WRITTEN AGREEMENTS. 6. MONITORING FOR COMPLIANCE POST-GRANT BASED ON INDIVIDUAL CIRCUMSTANCES FOR BOTH PROGRAM AND FINANCIAL REPORTING. ALL GRANTS ISSUED BY ROCKEFELLER PHILANTHROPY ADVISORS ARE GENERAL SUPPORT GRANTS; TO THE EXTENT ANY ADDITIONAL INFORMATION IS REQUIRED ABOUT A SPECIFIC GRANT, THAT INFORMATION IS AVAILABLE UPON REQUEST. TO THE EXTENT, THAT ROCKEFELLER PHILANTHROPY ADVISORS MAKES GRANTS TO INDIVIDUALS (AS PART OF A SPONSORED PROJECT), IT REQUIRES GRANTEES TO COMPLY WITH BOARD APPROVED POLICY ON GRANTS TO INDIVIDUALS, INCLUDING: SIGN A GRANT AGREEMENT AND COMMIT TO HAVING QUARTERLY CALLS WITH ROCKEFELLER STAFF TO SHARE UPDATES ON THE STATUS OF THE PROJECT AND PROVIDE INFORMATION TO SUPPORT THE FUNDER'S ENGAGEMENT. IN ADDITION, THE GRANTEES ARE REQUIRED TO COMPLETE YEAR END NARRATIVE AND FINANCIAL REPORTS ON THEIR PROJECT ACTIVITIES, DELIVERABLES, IMPACT AND LEARNING. X X X X 0 0 0 0 0 0 0 1 0 JENNIFER KITT PRESIDENT, SPONSORED PROJECT 555753 0 100000 0 0 0 26100 0 38321 0 720174 0 0 0 MELISSA A BERMAN PRESIDENT AND CEO 495746 0 113368 0 0 0 24965 0 25825 0 659904 0 0 0 NICHOLAS HODGES SENIOR VICE PRESIDENT/COO 396960 0 72605 0 0 0 26100 0 26235 0 521900 0 0 0 WALTER SWEET EXECUTIVE SR. VICE PRESIDENT 396802 0 72605 0 0 0 24090 0 22753 0 516250 0 0 0 GREGORY RATLIFF SENIOR VICE PRESIDENT (AS OF 12/3/21 336845 0 43098 0 0 0 24298 0 18549 0 422790 0 0 0 MARGARET HEMPEL EXECUTIVE DIRECTOR, SPONSORED PROJ. 379919 0 0 0 0 0 26100 0 1338 0 407357 0 0 0 PASCALE DE LA FREGONNIERE POITTEVIN VP OF SPONSORED PROJ. 280091 0 70800 0 13700 0 29016 0 13194 0 406801 0 0 0 YOLANDA A ARIAS-BROWNELL SR. VP, PEOPLE & CULTURE 306122 0 41238 0 0 0 26100 0 25981 0 399441 0 0 0 ROBYNN STEFFEN VP & COO, SPONSORED PROJECT 360632 0 0 0 0 0 26100 0 1292 0 388024 0 0 0 ANTHONY PORTER THRU 1121 CEO & CO DIR., SPONSORED PROJ. 327615 0 0 0 0 0 21442 0 38119 0 387176 0 0 0 RENEE KARIBI-WHYTE VP & ASST. CORP. SECRETARY 257351 0 40111 0 0 0 26095 0 34383 0 357940 0 0 0 CHRISTOPHER WELCH VICE PRESIDENT & CFO 253512 0 46250 0 0 0 25162 0 25618 0 350542 0 0 0 PART I, LINE 7 RPA HAS A PERFORMANCE BASED INCENTIVE COMPENSATION PLAN. EMPLOYEES OF RPA CAN EARN INCENTIVE COMPENSATION IF THEY MEET THE CRITERIA OUTLINED IN THEIR WORK PLANS. THESE WORK PLANS ARE REVIEWED AND APPROVED BY EACH EMPLOYEE'S RESPECTIVE SUPERIORS AND RPA'S CEO. THE CEO IS ELIGIBLE TO PARTICIPATE IN THE INCENTIVE COMPENSATION PLAN AS WELL; HOWEVER, MS. BERMAN'S WORK PLAN IS REVIEWED BY THE BOARD OF DIRECTORS AND HER INCENTIVE COMPENSATION PAYMENTS ARE REVIEWED AND APPROVED BY THE BOARD (AND SHE RECUSES HERSELF FROM THOSE DELIBERATIONS). X 1 6500000 FMV X 53 26823560 FMV 0 0 1 1 SCHEDULE M, PART I, LINE 31: ROCKEFELLER PHILANTHROPY ADVISORS RESERVES THE RIGHT TO DECLINE ANY CONTRIBUTION THAT IS UNACCEPTABLE TO THE ORGANIZATION, TO VERIFY THE SOURCE OF ANY NONCASH CONTRIBUTIONS, AND IN THE CASE OF NONMARKETABLE ASSETS, TO REQUIRE AN INDEPENDENT APPRAISAL TO DETERMINE THE FAIR MARKET VALUE OF THE ITEM. SCHEDULE M, PART I, LINE 32B: THE ORGANIZATION USES JP MORGAN CHASE TO RECEIVE AND SELL DONATED SECURITIES. IN ADDITION TO DONATIONS OF SECURITIES, RPA RECEIVED ONE DONATION OF A PAINTING WITH AN APPRAISED VALUE OF $6,500,000. THE ORGANIZATION DISPOSED OF THE PAINTING VIA A THIRD PARTY AUCTION HOUSE, ARTSY. GENERAL STATEMENT REGARDING THE IMPACT OF COVID-19 ON THE ORGANIZATION: THE COVID-19 PANDEMIC, WHOSE EFFECTS FIRST BECAME KNOWN IN JANUARY 2020, IS HAVING A BROAD AND VARIED IMPACT ON COMMERCE AND FINANCIAL MARKETS AROUND THE WORLD. RPA IS CLOSELY MONITORING ITS INVESTMENT PORTFOLIO AND ITS LIQUIDITY AND IS ACTIVELY WORKING WITH ITS PROJECTS, DONORS AND CONSTITUENTS TO MINIMIZE THE IMPACT ON OUR PROGRAMS AND MISSION IMPACT. THE EXTENT OF THE IMPACT OF COVID-19 ON RPA'S OPERATIONAL AND FINANCIAL PERFORMANCE WILL DEPEND ON CERTAIN DEVELOPMENTS, INCLUDING THE DURATION AND SPREAD OF THE OUTBREAK AND ITS IMPACT ON RPA'S PROJECTS, EMPLOYEES, AND SERVICE PROVIDERS, ALL OF WHICH AT PRESENT, CANNOT BE DETERMINED. ACCORDINGLY, THE EXTENT TO WHICH COVID-19 MAY IMPACT RPA'S CONSOLIDATED FINANCIAL POSITION AND CHANGES IN NET ASSETS AND CASH FLOWS IS UNCERTAIN AND THE ACCOMPANYING CONSOLIDATED FINANCIAL STATEMENTS INCLUDE NO ADJUSTMENTS RELATING TO THE EFFECTS OF THIS PANDEMIC. FORM 990, PART III, LINE 1: ORGANIZATION'S MISSION ROCKEFELLER PHILANTHROPY ADVISORS (RPA) AIMS TO ENCOURAGE THOUGHTFUL, EFFECTIVE PHILANTHROPY THROUGHOUT THE WORLD. TO THIS END, RPA DEVELOPS, AND MANAGES CHARITABLE PROGRAMS; CONDUCTS RESEARCH, AUTHORS PUBLICATIONS AND PROVIDES GUIDANCE ON CHARITABLE GIVING AND PHILANTHROPY; AND OFFERS PROGRAMMATIC, ADMINISTRATIVE AND GRANT-MAKING SUPPORT TO DONORS, ASSISTING INDIVIDUALS, INSTITUTIONS, GOVERNMENT AGENCIES AND GROUPS IN ACHIEVING THEIR PHILANTHROPIC GOALS. CURRENTLY, RPA WORKS WITH MORE THAN 500 DONORS, FACILITATING APPROXIMATELY $263 MILLION IN GRANTS AND SOCIAL INVESTMENT TO MORE THAN 60 COUNTRIES IN AFRICA, ASIA-PACIFIC, THE CARIBBEAN, EUROPE, LATIN AMERICA AND NORTH AMERICA. RPA'S BROAD RANGE OF WORK INCLUDES: 1. ADVISING DONORS REGARDING THE ARTICULATION AND IMPLEMENTATION OF CHARITABLE PROGRAMMING; 2. MANAGING A CHARITABLE GIVING FUND TO PROVIDE DONORS WITH A FLEXIBLE, COST-EFFECTIVE WAY TO REACH THEIR CHARITABLE GOALS; 3. PROVIDING FISCAL, ADMINISTRATIVE AND PROGRAMMATIC SUPPORT TO INDIVIDUALS AND GROUPS SEEKING TO PURSUE A VARIETY OF SPECIALIZED CHARITABLE PROGRAMMING CONSISTENT WITH THE GENERAL MISSION OF RPA; AND 4. SERVING AS A THOUGHT-LEADER IN THE PHILANTHROPIC COMMUNITY, AUTHORING PUBLICATIONS AND CONVENING EXPERTS TO DISCUSS CURRENT TOPICS IN PHILANTHROPY AND STRENGTHEN THE SECTOR. FORM 990, PART VI, SECTION A, LINE 2 FAMILY/BUSINESS RELATIONSHIPS BOARD MEMBERS, PETER C. ROCKEFELLER, VALERIE ROCKEFELLER, AND RYAN ROCKEFELLER HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11B PROCESS USED TO REVIEW FORM 990 RPA HIRES AN INDEPENDENT ACCOUNTING FIRM TO PREPARE AND REVIEW THE ORGANIZATION'S FORM 990 BASED ON INFORMATION PROVIDED BY RPA'S ACCOUNTING STAFF. A COPY OF THE FORM 990 IS DISTRIBUTED TO THE ORGANIZATION'S AUDIT COMMITTEE FOR REVIEW PRIOR TO FILING WITH THE IRS. A COPY OF THE FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF DIRECTORS ONCE THE AUDIT COMMITTEE HAS APPROVED IT FOR FILING. FORM 990, PART VI, SECTION B, LINE 12C MONITORING & ENFORCEMENT: CONFLICT OF INTEREST POLICY THE SECRETARY OF RPA ANNUALLY CIRCULATES A DISCLOSURE FORM FOR DIRECTORS AND STAFF TO LIST ORGANIZATIONS IN WHICH THEY OR THEIR SPOUSES OR CHILDREN PLAY A FIDUCIARY OR LEADING ROLE. IN ADDITION, DIRECTORS AND STAFF WILL LIST THOSE ORGANIZATIONS IN WHICH THEY, A SPOUSE OR A CHILD HOLD A SIGNIFICANT FINANCIAL INTEREST AND WHICH HAVE A BUSINESS RELATIONSHIP WITH RPA. ON THE SAME FORM, DIRECTORS AND STAFF ACKNOWLEDGE THAT THEY UNDERSTAND AND ADHERE TO RPA'S CONFLICT OF INTEREST POLICY AND PROCEDURE. DIRECTORS AND STAFF WILL INFORM THE SECRETARY OF RPA OF ANY CHANGES OR NEW RELATIONSHIPS. IF A POTENTIAL CONFLICT EXISTS, INVOLVED PARTIES WILL DISCLOSE THE POTENTIAL CONFLICT AND EXCUSE THEMSELVES FROM DISCUSSION OR ANY VOTE RELATED TO THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 PROCESS FOR DETERMINING COMPENSATION RPA IS COMMITTED TO RECRUITING, RETAINING, AND MOTIVATING HIGHLY QUALIFIED AND HIGH-PERFORMING STAFF, AND PROVIDING A MARKET COMPETITIVE COMPENSATION AND BENEFITS PACKAGE, LINKED TO THE SUCCESS OF THE INDIVIDUAL, THE ORGANIZATION AND ITS MISSION-DRIVEN OUTCOMES. RPA PRIMARILY COMPARES COMPENSATION TO LARGER FOUNDATIONS, SMALL TO MID-SIZE CONSULTING ORGANIZATIONS, AND SIMILARLY-SITUATED NON-PROFITS IN THE REGIONS IN WHICH OUR OFFICES ARE LOCATED. RPA IS COMMITTED TO BOTH EXTERNAL COMPETITIVENESS AND INTERNAL EQUITY FOR ITS COMPENSATION PROGRAM PRACTICES. EMPLOYEE POLICIES: RPA'S PERFORMANCE AND COMPENSATION PLANS, INCLUDING BUDGETS, ARE APPROVED ANNUALLY BY THE BOARD OF DIRECTORS. THE FOLLOWING IS A SUMMARY OF THE GENERAL PRINCIPLES ON WHICH RPA'S PERFORMANCE ASSESSMENT AND COMPENSATION PROCESSES ARE BASED. PERFORMANCE REVIEW AND COMPENSATION DECISIONS AT RPA ARE MADE ON THE BASIS OF A BOARD-APPROVED PERFORMANCE APPRAISAL FORM, WHICH ESTABLISHES PERFORMANCE STANDARDS AND IMPORTANT VALUES THAT ARE EXPECTED OF ALL EMPLOYEES. AT THE BEGINNING OF EACH CALENDAR YEAR, EACH RPA EMPLOYEE DEVELOPS A PERFORMANCE PLAN THAT HIS/HER SUPERVISOR AND THE PRESIDENT OF RPA MUST APPROVE. ELIGIBLE EMPLOYEES ALSO ESTABLISH SPECIFIC GOALS FOR INCENTIVE COMPENSATION PAYMENTS. AT THE END OF THE CALENDAR YEAR, AN EMPLOYEE AND HIS/HER SUPERVISOR REVIEW HOW THE EMPLOYEE HAS PERFORMED AGAINST THIS PLAN AND THE PERFORMANCE STANDARDS. SUPERVISORS COMPLETE THE PERFORMANCE APPRAISAL FORM IN WRITING, AND RECOMMEND SALARY INCREASES (AS WELL AS INCENTIVE PAYMENTS FOR ELIGIBLE EMPLOYEES) BASED ON PERFORMANCE. BOTH SUPERVISOR AND EMPLOYEE MUST SIGN THE PERFORMANCE APPRAISAL FORM. SALARY ADJUSTMENTS AND INCENTIVE COMPENSATION PAYMENTS MUST BE APPROVED BY THE PRESIDENT OF RPA. FORM 990, PART VI, SECTION C, LINE 19 AVAILABILITY OF DOCUMENTS TO THE PUBLIC THE ORGANIZATION MAKES ITS FORM 990 AVAILABLE TO THE PUBLIC BY RETAINING A COPY AT ITS PLACE OF BUSINESS. THE FORM 990 IS LIKEWISE PUBLISHED ON THE INTERNET AT WWW.GUIDESTAR.ORG. THE ORGANIZATION'S FINANCIAL STATEMENTS, GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE NOT ORDINARILY MADE AVAILABLE TO THE PUBLIC, BUT, IF REQUESTED, WILL BE PROVIDED AT MANAGEMENT'S DISCRETION. FORM 990, PART IX, LINE 24A PROGRAM RELATED FEES PROGRAM RELATED FEES ARE CONSULTING EXPENSES INCURRED BY THE SPONSORED PROJECTS. CONSULTING SERVICES INCLUDE BUT ARE NOT LIMITED TO PROGRAM DESIGN AND IMPLEMENTATION, RESEARCH, COMMUNICATION, EVALUATION AND ORGANIZATIONAL DEVELOPMENT. FORM 990, PART XI, LINE 9: RECOVERIES OF PRIOR YEAR GRANTS 3,364,239. GENERAL GRANTS ACCRUAL 1,200,000. FLUCTUATION IN FOREIGN CURRENCY VALUATION OF FOREIGN GRANTS -105,191. PENSION RELATED COST -18,140. ARTPLACE AMERICA LLC 195 MONTAGUE STREET 14TH FL BROOKLYN NY 11201 464698925 ARTS/CULTURE NY -12975241 45496 RPA DROPBOX CHARITABLE FOUNDATION 6 WEST 48TH STREET 10TH FLOOR NEW YORK NY 10036 814755668 GRANTMAKING DE 12A 501(C)(3) RPA 1 ROCKEFELLER PHILANTHROPY ADVISORS EUROPE 1 PANCRAS SQ KINGS CROSS STE 705 LONDON UK N1C 4AG CONSULTING UK RPA C 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 DROPBOX CHARITABLE FOUNDATION L 134500 FMV