2021-11-03T08:55:14-05:00 2020-12-31 731413977 HOGANTAYLOR LLP 11300 CANTRELL ROAD SUITE 301 LITTLE ROCK AR 72212 990 2020-01-01 710603560 WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT WINR 5012803000 204 EAST 4TH STREET NORTH LITTLE ROCK AR 72114 MIKE MYERS SENIOR VP - CFO AND TREASURER 5012803030 2021-10-27 1 MIKE MYERS 999009999 MICHELLE MANN P01064483 5012275800 2021-10-27 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z X MIKE MYERS 204 EAST 4TH STREET NORTH LITTLE ROCK AR 72114 103421036 0 X WWW.WINROCK.ORG X 1984 AR WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT IS A NONPROFIT ORGANIZATION THAT PROVIDES SOLUTIONS TO SOME OF THE WORLD'S MOST COMPLEX SOCIAL, AGRICULTURAL AND ENVIRONMENTAL CHALLENGES. A RECOGNIZED LEADER IN U.S. AND INTERNATIONAL DEVELOPMENT, WINROCK COMBINES TECHNICAL EXPERTISE WITH ENTREPRENEURIAL INNOVATION TO IMPROVE LIVES AROUND THE GLOBE IN MORE THAN 45 COUNTRIES. WINROCK'S MISSION IS TO EMPOWER THE DISADVANTAGED, INCREASE ECONOMIC OPPORTUNITY AND SUSTAIN NATURAL RESOURCES. 20 19 708 48 1066 0 87881376 91784576 2585973 3787462 1663054 1314927 0 0 92130403 96886965 4127854 7115377 0 0 46649040 49066236 0 0 0 43517661 35889921 94294555 92071534 -2164152 4815431 105530094 132378293 43952370 60530228 61577724 71848065 X WINROCK'S MISSION IS TO EMPOWER THE DISADVANTAGED, INCREASE ECONOMIC OPPORTUNITY AND SUSTAIN NATURAL RESOURCES. 0 0 13527582 619972 3787462 ENVIRONMENT AND ENERGY: SUSTAINABLE ECONOMIC GROWTH DEPENDS ON A HEALTHY PLANET. WINROCK USES SCIENCE-DRIVEN, EVIDENCE-BASED SOLUTIONS TO ADDRESS THE MYRIAD WAYS HUMANS USE NATURAL RESOURCES. FROM NATURE BASED SOLUTIONS TO CLIMATE CHANGE, TO COMMUNITY-BASED NATURAL RESOURCE MANAGEMENT, TO MARKET-DRIVEN INNOVATIONS IN CLEAN ENERGY AND PROMOTING ECOSYSTEM SERVICES, WINROCK DEVELOPS SOLUTIONS TO PROTECT NATURAL RESOURCES, ADDRESS CLIMATE CHANGE AND PROMOTE LONG-TERM ECONOMIC WELL-BEING AND HEALTH. OUR APPROACH EMPOWERS LOCAL COMMUNITIES, GOVERNMENTS, CIVIL SOCIETY AND THE PRIVATE SECTOR, PROVIDING THEM WITH THE INFORMATION NEEDED TO DEVELOP SUSTAINABLE, WIN-WIN SOLUTIONS.ENVIRONMENTAL RESOURCES TRUST (ERT)'S MISSION IS TO HARNESS THE POWER OF MARKETS TO IMPROVE THE ENVIRONMENT. ERT ENHANCES CONFIDENCE IN THE SCIENTIFIC INTEGRITY AND SOCIAL EQUITY OF ENVIRONMENTAL MARKETS TO CATALYZE AMBITIOUS AND TRANSFORMATIONAL CLIMATE ACTION. THROUGH ITS AMERICAN CARBON REGISTRY (ACR) ENTERPRISE, ERT HAS ENABLED THE ISSUANCE OF HIGH-QUALITY EMISSION REDUCTIONS IN THE FORESTRY, ENERGY, TRANSPORTATION AND INDUSTRIAL SECTORS VALUED AT OVER $1 BILLION. 37357410 3121742 AGRICULTURE, RESILIENCE AND WATER: THE AGRICULTURE RESILIENCE AND WATER TEAM'S PURPOSE IS TO MANAGE AND DELIVER AWARDS TO OUR CLIENTS, INCLUDING USAID AND USDA IN THE AREAS OF FOOD SECURITY, MARKET SYSTEMS, WATER SYSTEMS AND RESILIENCE. TEAMS MANAGING THESE AWARDS PARTNER WITH COMMUNITIES AROUND THE WORLD TO ADDRESS AND IMPROVE SOME OF THE KEY CHALLENGES IN THESE AREAS, PROVIDING INNOVATIVE SOLUTIONS TO FARMERS, COMMUNITIES, AGRICULTURAL BUSINESSES, COOPERATIVES AND OTHER STAKEHOLDERS RESULTING IN IMPROVED INCOME, BETTER TECHNOLOGIES AND BETTER SYSTEMS MANAGEMENT IN THESE TOPICS IN AFRICA AND ASIA.THE WALLACE CENTER BRINGS TOGETHER DIVERSE PEOPLE AND IDEAS TO CO-CREATE SOLUTIONS THAT BUILD HEALTHY FARMS, EQUITABLE ECONOMIES, AND RESILIENT FOOD SYSTEMS IN THE UNITED STATES. THE CENTER'S WORK FOCUSES ON FIVE LEVERS FOR FOOD SYSTEMS CHANGE CATALYTIC SYSTEMS LEADERSHIP; EQUITY AND JUSTICE IN FARMING AND FOOD SYSTEMS; LEARNING, COLLABORATION, INNOVATION AND ACTION ACROSS COMMUNITIES; VALUES-BASED SUPPLY CHAINS; AND REGENERATIVE LAND USE. 23547134 3143939 HUMAN RIGHTS, EDUCATION AND EMPOWERMENT: THE HUMAN RIGHTS, EDUCATION, AND EMPOWERMENT GROUP DELIVERS INTERNATIONAL DEVELOPMENT SOLUTIONS IN THE FOLLOWING TECHNICAL AREAS: COUNTERING TRAFFICKING PERSONS, SAFE MIGRATION, CHILD LABOR, GENDER EQUALITY AND SOCIAL INCLUSION, SOCIAL AND ECONOMIC EMPOWERMENT AND EDUCATION. 2826489 229724 U.S. PROGRAMS: SINCE 1985, WINROCK'S U.S. PROGRAMS HAS USED INNOVATIVE APPROACHES TO ADDRESS DOMESTIC ISSUES. WINROCK'S U.S. PROGRAMS BRINGS TOOLS, EXPERIENCE, AND TRAINING TO PEOPLE AND COMMUNITIES IN ARKANSAS AND THROUGHOUT THE MID-SOUTH HELPING THEM UNLOCK THEIR STRENGTHS, CREATIVITY, AND RESOURCEFULNESS. 2826489 229724 77258615 1 1 0 1 0 0 0 0 0 1 1 1 0 1 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 1 0 0 0 1 X 208 0 1 250 1 1 1 1 BG BH BR UV CB CA CH GH GV ID JM KZ KG KE LA MI ML MZ BM NP NG NI PK RP SG BP TZ TH UZ VM ZA 0 0 0 0 0 0 0 0 0 0 X 20 19 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AR X CHARLES MICHAEL MYERS 5012803000 204 EAST 4TH STREET NORTH LITTLE ROCK AR 72114 RODNEY FERGUSON PRESIDENT AND CEO 40.00 1.00 X X 592118 0 68002 PETER O'NEILL BOARD MEMBER 1.00 X 0 0 0 JASON BORDOFF BOARD MEMBER 1.00 X 0 0 0 WILLIAM M BUMPERS CHAIR 1.00 X X 0 0 0 DAVID BRAMAN BOARD MEMBER 1.00 X 0 0 0 EARL DEVANEY BOARD MEMBER 1.00 X 0 0 0 JUDE KEARNEY BOARD MEMBER 1.00 X 0 0 0 RICHARD LEACH BOARD MEMBER 1.00 X 0 0 0 JOHN M NEES BOARD MEMBER 1.00 X 0 0 0 SAMAR S ALI BOARD MEMBER 1.00 X 0 0 0 SUZANNE E SISKEL VICE CHAIR 1.00 X X 0 0 0 JERRY B ADAMS BOARD MEMBER 1.00 X 0 0 0 WILLIAM ROCKEFELLER BOARD MEMBER 1.00 X 0 0 0 SAUD SIDDIQUE BOARD MEMBER 1.00 X 0 0 0 PALOMA ADAMS-ALLEN BOARD MEMBER 1.00 X 0 0 0 NANETTE MEDVED-PO BOARD MEMBER 1.00 X 0 0 0 THOMAS GREEN BOARD MEMBER 1.00 X 0 0 0 LISA MILTON BOARD MEMBER 1.00 X 0 0 0 TUAN NGUYEN BOARD MEMBER 1.00 X 0 0 0 F BRONSON VAN WYCK BOARD MEMBER 1.00 X 0 0 0 MIKE MYERS SENIOR VP - CFO & TREASURE 40.00 1.00 X 298984 0 41553 JOYJIT DEB ROY EXECUTIVE VP 40.00 2.00 X 326477 0 46458 ELISABETH WHITBECK BOARD SECRETARY 40.00 X 146525 0 20774 CHARLOTTE YOUNG VP GC AND CRCO 40.00 1.00 X 280634 0 42136 MALIKA MAGAGULA VP AND COO 40.00 X 260916 0 30335 BETHANY J KURBIS FORMER CHRO 40.00 X 211177 0 34518 PATRICIA J MCCALL VP CORP AFFAIRS 40.00 X 195155 0 29120 BRAULIO OLIVEIRA CHIEF INFORMATION OFFICER 40.00 X 284008 0 41042 WILLIAM DAVID SPARKS SENIOR ADVISOR 40.00 X 261959 0 39822 BRIAN BEAN CHIEF OF PARTY 40.00 X 274209 0 32874 HARVEY S SCHARTUP CHIEF OF PARTY 40.00 X 275448 0 40647 JON ANDERSON CHIEF OF PARTY 40.00 X 243536 0 24282 3651146 0 491563 86 0 1 0 APX INC 2150 NORTH FIRST ST STE 200 SAN JOSE CA 95131 MANAGEMENT SERVICES OF ACR 574642 CESC PARK TWO LLC PO BOX 644762 PITTSBURGH PA 15264 DC LANDLORD 267719 MARCUM LLP 1899 L STREET NW SUITE 850 WASHINGTON DC 20036 AUDIT AND CONSULTING SERVICES 135453 KINETIX INTERNATIONAL LOGISTIC LLC 5301 SHAWNEE RD STE 402 ALEXANDRIA VA 22312 RELOCATION SERVICES 135088 ROCKEFELLER CAPITAL MANAGEMENT 900 17TH STREET NW STE 603 WASHINGTON DC 20006 INVESTMENT MANAGEMENT SERVICES 126283 9 80111033 11673543 5154 91784576 CARBON REGISTRY FEES 541620 3787462 3787462 3787462 113528 1066 112462 7413505 321965 5980597 553474 1432908 -231509 1201399 1201399 96886965 3787462 1066 1313861 1282839 1282839 5832538 5832538 2624881 372934 2251947 42878125 35176441 7701684 2077330 1868974 208356 31144 20494 10650 1454756 1308844 145912 297891 147290 150601 321071 156854 164217 8400 8400 131404 131404 4456696 3778377 678319 51248 43058 8190 2601173 1708369 892804 225136 218009 7127 2838827 2731020 107807 1799664 1717277 82387 879050 853962 25088 248959 248959 1115613 1115613 447888 257081 190807 SUBCONTRACTS 14321874 14321874 VEHICLES AND EQUIPMENT 2597639 2492512 105127 FELLOWSHIPS 1304818 1303391 1427 2242570 1666477 576093 92071534 77258615 14812919 0 29253877 30368658 630178 0 1473272 2230061 11030846 13120923 1100290 2995839 15464694 6400312 6365110 9064382 37701369 39661484 15273354 18482260 2701798 16454686 105530094 132378293 9173769 10645585 23301016 20763013 3744028 3551608 4650000 2266912 2800000 3083557 20503110 43952370 60530228 X 57495587 65921855 4082137 5926210 61577724 71848065 105530094 132378293 4815431 5454910 0 X X 0 1 X 1 1 1 X 106567328 94772810 90941913 87881376 91924875 472088302 106567328 94772810 90941913 87881376 91924875 472088302 605467 471482835 909622 1380493 985254 1249229 113528 4638126 3549 3549 476729977 0.98900 0.98830 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 8400 8400 92237326 92245726 1000000 250000 0 0 1000000 1000000 1500000 8400 8400 250000 250000 375000 PART II-A, LINE 1 COMPRISED OF PAYMENTS TO (I) ARKANSAS STATE CHAMBER OF COMMERCE LABELED AS LOBBYING EXPENSE, AND (II) US GLOBAL LEADERSHIP CAMPAIGN MEMBERSHIP PARTIALLY LABELED AS LOBBYING EXPENSE 52275309 6817891 2229978 56863222 45911693 8547890 2184274 52275309 51686511 -3626657 2148161 45911693 47510280 6624221 2447990 51686511 47062883 2889969 2442572 47510280 1.00000 1 0 1377444 1377444 6856796 3963210 2893586 4029710 296575 3733135 2433768 1613871 819897 766976 526656 240320 9064382 PRIVATE EQUITY FUNDS 2537795 F OTHER INVESTMENTS 15944465 F 18482260 DUE FROM INNOVATION HUB 2303634 RIGHT OF USE ASSET 14151052 16454686 LEASE LIABILITY 18279992 CONTRACT LIABILITIES 1065351 DEFERRED COMPENSATION LIABILITY 1157767 20503110 X PART V, LINE 4: WINROCK HAS BOARD-DESIGNATED ENDOWMENT FUNDS THAT ARE INCLUDED IN NET ASSETS WITHOUT DONOR RESTRICTIONS. AS REQUIRED BY GAAP, NET ASSETS ASSOCIATED WITH ENDOWMENT FUNDS, INCLUDING FUNDS DESIGNATED BY THE BOARD TO FUNCTION AS ENDOWMENTS, ARE CLASSIFIED AND REPORTED BASED ON THE EXISTENCE OF DONOR-IMPOSED RESTRICTIONS. PART X, LINE 2: WINROCK IS EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND A SIMILAR PROVISION OF STATE LAW, EXCEPT FOR TAXES ON UNRELATED BUSINESS INCOME. FOR THE YEAR ENDED DECEMBER 31, 2020, NO PROVISION FOR INCOME TAXES WAS MADE, AS WINROCK HAD NO NET SIGNIFICANT UNRELATED BUSINESS INCOME. WINROCK FOLLOWS THE AUTHORITATIVE GUIDANCE RELATING TO ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES INCLUDED IN FASB ASC TOPIC 740, INCOME TAXES. THESE PROVISIONS PROVIDE CONSISTENT GUIDANCE FOR THE ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES RECOGNIZED IN AN ENTITY'S CONSOLIDATED FINANCIAL STATEMENTS AND PRESCRIBE A THRESHOLD OF "MORE LIKELY THAN NOT" FOR RECOGNITION AND DERECOGNITION OF TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. WINROCK PERFORMED AN EVALUATION OF UNCERTAINTY IN INCOME TAXES FOR THE YEAR ENDED DECEMBER 31, 2020, AND DETERMINED THAT THERE WERE NO MATTERS THAT WOULD REQUIRE RECOGNITION IN THE CONSOLIDATED FINANCIAL STATEMENTS OR THAT MAY HAVE ANY EFFECT ON ITS TAX-EXEMPT STATUS. AS OF DECEMBER 31, 2020, THERE WERE TAX RETURNS THAT REMAINED OPEN WITH THE U.S. FEDERAL JURISDICTION OR THE VARIOUS STATES AND LOCAL JURISDICTIONS IN WHICH WINROCK FILES TAX RETURNS, HOWEVER, THERE ARE CURRENTLY NO AUDITS FOR ANY TAX PERIODS IN PROGRESS. IT IS WINROCK'S POLICY TO RECOGNIZE INTEREST AND/OR PENALTIES RELATED TO UNCERTAINTY IN INCOME TAXES, IF ANY, IN INTEREST OR INCOME TAX EXPENSE. AS OF DECEMBER 31, 2020, WINROCK HAD NO ACCRUALS FOR INTEREST AND/OR PENALTIES. 1 CENTRAL AMERICA AND THE CARIBBEAN 1 5 PROGRAM SERVICES ECONOMIC DEVELOPMENT 347933 EAST ASIA AND THE PACIFIC 12 158 PROGRAM SERVICES AGRICULTURE, ECONOMIC DEVELOPMENT, ENVIRONMENT AND ENERGY 6741834 RUSSIA AND NEIGHBORING STATES 4 48 PROGRAM SERVICES AGRICULTURE, ECONOMIC DEVELOPMENT 2116043 SOUTH ASIA 9 281 PROGRAM SERVICES AGRICULTURE, ECONOMIC DEVELOPMENT, ENVIRONMENT AND ENERGY, HUMAN AND SOCIAL CAPITAL 13601533 SUB-SAHARAN AFRICA 23 222 PROGRAM SERVICES AGRICULTURE, ENVIRONMENT AND ENERGY, HUMAN AND SOCIAL CAPITAL 13308675 SOUTH AMERICA 1 2 PROGRAM SERVICES HUMAN AND SOCIAL CAPITAL 127393 MIDDLE EAST AND NORTH AFRICA 1 2 PROGRAM SERVICES ENVIRONMENT AND ENERGY 1649609 51 718 0 0 51 718 37893020 0 37893020 SUB-SAHARAN AFRICA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 711743 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 504629 WIRE TRANSFER SOUTH ASIA SUBGRANTS 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93650 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 86831 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 80254 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 69003 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 67491 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 64193 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 60787 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 60477 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 60052 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 48898 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 46349 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 46134 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 42382 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 40199 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 39751 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 37492 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 37391 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 35910 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 34347 WIRE TRANSFER SUB-SAHARAN AFRICA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 33584 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 33246 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 31736 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 29062 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 27780 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 27776 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 24627 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 24452 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 24125 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 23787 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 23704 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 23560 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 22418 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 22095 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 21637 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 21618 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 21077 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 18721 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 18509 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 17942 WIRE TRANSFER CENTRAL AMERICA AND THE CARIBBEAN SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 17795 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 17419 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 17414 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 17151 WIRE TRANSFER CENTRAL AMERICA AND THE CARIBBEAN SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 17034 WIRE TRANSFER CENTRAL AMERICA AND THE CARIBBEAN SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 16862 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 15742 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 15705 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 15500 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 15309 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 15111 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 15000 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 14784 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 14554 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 14395 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 14232 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 14194 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 13847 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 13235 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 13200 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 12688 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 12523 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 12422 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 12256 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 12220 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 11651 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 11492 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 11266 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10881 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10685 WIRE TRANSFER CENTRAL AMERICA AND THE CARIBBEAN SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10674 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10630 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10582 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10497 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10456 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10174 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10155 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10073 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 10053 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 9982 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 9872 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 9622 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 9521 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 9304 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 9248 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 9147 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8827 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8827 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8802 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8772 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8693 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8626 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8615 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8549 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8389 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8302 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8234 WIRE TRANSFER SOUTH AMERICA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 8000 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7881 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7789 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7594 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7575 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7469 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7214 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7191 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7177 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7144 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7117 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7093 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 7011 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6985 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6850 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6774 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6751 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6732 WIRE TRANSFER EUROPE SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6672 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6502 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6450 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6446 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6360 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6284 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6232 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6164 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6137 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6122 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6107 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 6048 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5976 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5969 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5963 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5940 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5911 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5899 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5653 WIRE TRANSFER SUB-SAHARAN AFRICA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5636 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5516 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5385 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5314 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5120 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5072 WIRE TRANSFER SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 5043 WIRE TRANSFER 1 0 0 0 0 0 PART I, LINE 2: - WINROCK INTERNATIONAL IMPLEMENTS PROJECTS IN OVER 45 COUNTRIES WORLD-WIDE INCLUDING THE REGIONS OF SOUTH, SOUTHEAST AND CENTRAL ASIA, AFRICA, CENTRAL AND SOUTH AMERICA. WINROCK PROJECTS ARE FUNDED BY BOTH DOMESTIC AND INTERNATIONAL FUNDERS, WITH OVER 80% OF FUNDING PROVIDED BY THE U.S. GOVERNMENT DURING 2020. WHEN AWARDED, WINROCK ESTABLISHES A PRESENCE IN THE REQUIRED AREA AND CARRIES OUT THE SCOPE OF WORK INCLUDED WITHIN THE AWARDED PROPOSAL. WINROCK FOLLOWS ITS POLICY TO AWARD GRANTS WHICH PROVIDES GUIDELINES AROUND COMPETITION, SOLICITATION PROCEDURES, AND EVALUATION CRITERIA. WINROCK MONITORS GRANT ACTIVITIES FOR COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE GRANT AGREEMENT AND TO ENSURE ACHIEVEMENT OF THE BENCHMARKS AND OBJECTIVES. MONITORING EFFORTS ARE DOCUMENTED AND INCLUDE PROCEDURES PERTINENT TO THE GRANT TYPE, INCLUDING FINANCIAL MANAGEMENT, MAINTENANCE AND INVENTORY OR EQUIPMENT, AND GRANT FILE RETENTION. PART III ACCOUNTING METHOD: 1 OVERSEAS STRATEGIC CONSULTING LTD & SUBSIDIARIES 1500 WALNUT STREET SUITE 1300 PHILADELPHIA PA 19102 232720769 50703 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS UNIVERSITY OF ARKANSAS FOR MEDICAL SCIENCES 4301 W MARKHAM ST LITTLE ROCK AR 72205 716046242 131762 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS OPPORTUNITY INTERNATIONAL 550 W VAN BUREN ST SUITE 200 CHICAGO IL 60607 540907624 501(C)(3) 192778 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS VIAMO PBC 1250 CONNECTICUT AVE NW SUITE 200 WASHINGTON DC 20036 820825124 139589 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS OZARKA TECHNICAL COLLEGE 218 COLLEGE DR MELBOURNE AR 72556 581969931 501(C)(3) 97963 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS COFFEE QUALITY INSTITUTE 26895 ALISO CREEK RD SUITE B866 ALISO VIEJO CA 92656 330702576 501(C)(3) 29777 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 3 6 PART I, LINE 2: WINROCK INTERNATIONAL'S WORK IN THE UNITED STATES INCLUDES FARMERS IN THE MID-SOUTH, CONSERVATION PROGRAMS THAT REDUCE WATER POLLUTION, AND A PORTFOLIO OF ENTREPRENEURIAL DEVELOPMENT WORK. WINROCK FOLLOWS ITS POLICY TO AWARD GRANTS WHICH PROVIDES GUIDELINES AROUND COMPETITION, SOLICITATION PROCEDURES, AND EVALUATION CRITERIA. WINROCK MONITORS GRANT ACTIVITIES FOR COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE GRANT AGREEMENT AND TO ENSURE ACHIEVEMENT OF THE BENCHMARKS AND OBJECTIVES. MONITORING EFFORTS ARE DOCUMENTED AND INCLUDE PROCEDURES PERTINENT TO THE GRANT TYPE, INCLUDING FINANCIAL MANAGEMENT, MAINTENANCE AND INVENTORY OR EQUIPMENT, AND GRANT FILE RETENTION. X X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 RODNEY FERGUSON PRESIDENT AND CEO 537118 0 55000 0 0 0 46639 0 21363 0 660120 0 0 0 JOYJIT DEB ROY EXECUTIVE VP 286477 0 40000 0 0 0 25138 0 21320 0 372935 0 0 0 MIKE MYERS SENIOR VP - CFO & TREASURE 263984 0 35000 0 0 0 22849 0 18704 0 340537 0 0 0 BRAULIO OLIVEIRA CHIEF INFORMATION OFFICER 257108 0 26300 0 600 0 25347 0 15695 0 325050 0 0 0 CHARLOTTE YOUNG VP GC AND CRCO 240634 0 40000 0 0 0 20832 0 21304 0 322770 0 0 0 HARVEY S SCHARTUP CHIEF OF PARTY 221340 0 0 0 54108 0 20721 0 19926 0 316095 0 0 0 BRIAN BEAN CHIEF OF PARTY 147752 0 6730 0 119727 0 14728 0 18146 0 307083 0 0 0 WILLIAM DAVID SPARKS SENIOR ADVISOR 214944 0 47015 0 0 0 21389 0 18433 0 301781 0 0 0 MALIKA MAGAGULA VP AND COO 230916 0 30000 0 0 0 19992 0 10343 0 291251 0 0 0 JON ANDERSON CHIEF OF PARTY 184740 0 8500 0 50296 0 17752 0 6530 0 267818 0 0 0 BETHANY J KURBIS FORMER CHRO 190777 0 20400 0 0 0 17635 0 16883 0 245695 0 0 0 PATRICIA J MCCALL VP CORP AFFAIRS 195155 0 0 0 0 0 16569 0 12551 0 224275 0 0 0 ELISABETH WHITBECK BOARD SECRETARY 126525 0 20000 0 0 0 11165 0 9609 0 167299 0 0 0 PART I, LINE 1A WINROCK ALLOWS EXECUTIVE TEAM MEMBERS TO BE REIMBURSED FOR COSTS UP TO $1,500 ANNUALLY TO COVER EXPENSES THAT PROMOTE A HEALTHY LIFESTYLE INCLUDING HEALTH CLUB MEMBERSHIPS, WEIGHT-MANAGEMENT/FITNESS PROGRAMS, SMOKING CESSATION AND SIMILAR PROGRAMS. A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB31 2014-09-08 200000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB49 2014-09-08 200000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB56 2014-09-08 205000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB64 2014-09-08 215000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 A 200000 1 0 0 0 B 1 0 0 0 C 1 0 0 0 D 1 0 0 0 A 0 0 0 0 0 0 1 B 0 0 0 0 0 0 1 C 0 0 0 0 0 0 1 D 0 0 0 0 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: ARKANSAS DEVELOPMENT FINANCE AUTHORITY DATE THE REBATE COMPUTATION WAS PERFORMED: 08/07/2019 ISSUER NAME: ARKANSAS DEVELOPMENT FINANCE AUTHORITY DATE THE REBATE COMPUTATION WAS PERFORMED: 08/07/2019 ISSUER NAME: ARKANSAS DEVELOPMENT FINANCE AUTHORITY DATE THE REBATE COMPUTATION WAS PERFORMED: 08/07/2019 ISSUER NAME: ARKANSAS DEVELOPMENT FINANCE AUTHORITY DATE THE REBATE COMPUTATION WAS PERFORMED: 08/07/2019 ISSUER NAME: ARKANSAS DEVELOPMENT FINANCE AUTHORITY DATE THE REBATE COMPUTATION WAS PERFORMED: 08/07/2019 ISSUER NAME: ARKANSAS DEVELOPMENT FINANCE AUTHORITY DATE THE REBATE COMPUTATION WAS PERFORMED: 08/07/2019 ISSUER NAME: ARKANSAS DEVELOPMENT FINANCE AUTHORITY DATE THE REBATE COMPUTATION WAS PERFORMED: 08/07/2019 A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB72 2014-09-08 220000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB80 2014-09-08 1250000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB98 2014-09-08 1520000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 A 1 0 0 0 B 1 0 0 0 C 1 0 0 0 A 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 X 1 5154 STOCK QUOTE 0 1 0 FORM 990 PART I LINE 5 AND PART V LINE 2A: THE EMPLOYEE COUNT ON PART I LINE 5 IS THE WORLDWIDE EMPLOYEE COUNT, INCLUDING IN-COUNTRY EMPLOYEES. THE COUNT ON PART V LINE 2A IS FROM THE FORM W-3 AND INCLUDES ONLY US EMPLOYEES. FORM 990, PART VI, SECTION A, LINE 2 BOARD MEMBERS PETER O'NEILL AND WILL ROCKEFELLER ARE RELATED. FORM 990, PART VI, SECTION B, LINE 11B FINANCE MANAGEMENT AND THE TAX PREPARER PRESENTED THE FORM 990 TO THE AUDIT COMMITTEE. AT THEIR RECOMMENDATION, ALL MEMBERS OF THE BOARD WERE PROVIDED A COMPLETE COPY PRIOR TO FILING FOR THE OPPORTUNITY TO REVIEW THE ACCURACY AND COMPLETENESS OF THE RETURN. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, BOARD MEMBERS, EXECUTIVE TEAM MEMBERS, AND ALL EMPLOYEES ARE FURNISHED THE CODE OF CONDUCT (CODE), WHICH INCLUDES THE CONFLICTS OF INTEREST POLICY. EACH BOARD AND STAFF MEMBER IS REQUIRED TO (I) CERTIFY THAT THEY HAVE READ, UNDERSTAND, AND WILL COMPLY WITH THE CODE AND (II) PURSUANT TO THE POLICY, IDENTIFY AND DISCLOSE ANY KNOWN OR POTENTIAL CONFLICTS OF INTERESTS FOR APPROVAL BY THE COMPLIANCE OFFICE PRIOR TO PROCEEDING. FOR DIRECTORS, OFFICERS, AND THE EXECUTIVE TEAM, THE COMPLIANCE OFFICE FURTHER PROVIDES A DISCLOSURE FORM TO EACH INDIVIDUAL, ANNUALLY, TO CERTIFY THAT NO CONFLICTS HAVE ARISEN IN THE PAST YEAR. EVERY CONFLICT DISCLOSURE IS REVIEWED BY THE COMPLIANCE OFFICE TO DETERMINE THE IMPACT ON WINROCK, WHETHER THE ACTION CAN PROCEED, AND APPROPRIATE MITIGATION STEPS, IF NECESSARY. FORM 990, PART VI, SECTION B, LINE 15 A COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS USES COMPENSATION SURVEYS AND OTHER RESOURCES TO DETERMINE THE APPROPRIATE COMPENSATION FOR THE CEO. THE DECISION BY THE COMPENSATION COMMITTEE IS THEN APPROVED BY THE FULL BOARD BEFORE BEING FINALIZED. THE COMPENSATION COMMITTEE ALSO REVIEWS ANNUALLY THE COMPENSATION OF OFFICERS. FORM 990, PART VI, SECTION C, LINE 19 THE ARTICLES OF INCORPORATION ARE MADE PUBLIC THROUGH THE ARKANSAS SECRETARY OF STATE. ARTICLES OF INCORPORATION AND THE BYLAWS MAY BE DIRECTLY REQUESTED FROM THE BOARD SECRETARY AT WINROCK INTERNATIONAL'S CORPORATE MAILING ADDRESS. THE CONFLICTS OF INTEREST POLICY IS AVAILABLE AT WINROCK.ORG AS PART OF WINROCK'S CODE OF BUSINESS CONDUCT. THE AUDITED INSTITUTIONAL FINANCIAL STATEMENTS AND COMPLIANCE AUDIT UNDER UNIFORM GUIDANCE ARE AVAILABLE UPON REQUEST TO THE CHIEF FINANCIAL OFFICER AT THE CORPORATE MAILING ADDRESS. FORM 990 PART XII LINE 2C THERE HAS BEEN NO CHANGE IN THE OVERSIGHT PROCESS OR SELECTION PROCESS SINCE THE PRIOR YEAR. WINROCK INTERNATIONAL FOUNDATION 204 EAST 4TH STREET NORTH LITTLE ROCK AR 72114 710603560 TO SUPPORT WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT AR 56863222 56863222 WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT WINROCK SOLUTIONS LLC 204 EAST 4TH STREET NORTH LITTLE ROCK AR 72114 710603560 TO SUPPORT WINROCK IN SOCIAL, AGRICULTURAL, & ENVIRONMENT SOLUTIONS AR 0 0 WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT ENVIRONMENT RESOURCES TRUST LLC 204 EAST 4TH STREET NORTH LITTLE ROCK AR 72114 710603560 TO IMPROVE NATURAL RESOURCE MANAGEMENT & ENVIRONMENTAL MARKET CONFIDENCE AR 0 0 WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT THE ARKANSAS REGIONAL INNOVATION HUB 201 E BROADWAY ST NORTH LITTLE ROCK AR 72114 463376034 TO INCREASE INNOVATIVE AND ENTREPRENEURIAL ACTIVITY IN ARKANSAS AR 501(C)(3) LINE 12A WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT 0 INNOVATION FUND LLC 204 EAST 4TH STREET NORTH LITTLE ROCK AR 72114 813781111 SMALL BUSINESS STARTUP INVESTMENTS IN ARKANSAS AR NO INCOME 0 0 0 1 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 THE ARKANSAS REGIONAL INNOVATION HUB D 351834 CASH INNOVATION FUND LLC L CASH