2021-11-11T10:56:26-06:00 2020-12-31 381357951 PLANTE & MORAN PLLC 10 S RIVERSIDE PLAZA 9TH FLOOR CHICAGO IL 60606 990 2020-01-01 362167011 FIELD MUSEUM OF NATURAL HISTORY FIEL 3129229410 1400 S DUSABLE LAKE SHORE DRIVE CHICAGO IL 606052827 LE MONTE G BOOKER SR CHIEF FINANCIAL OFFICER 3129229410 2021-11-08 1 LE MONTE G BOOKER SR 999009999 LU ANN TRAPP P01506476 3122071040 2021-11-08 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z X JULIAN SIGGERS 1400 S DUSABLE LAKE SHORE DRIVE CHICAGO IL 606052827 114783034 0 X WWW.FIELDMUSEUM.ORG X 1893 IL THE MUSEUM IS AN INDEPENDENT CENTER OF LEARNING THAT ENGAGES IN RESEARCH AND PUBLIC EDUCATION. 74 73 602 660 481641 0 39351332 33285111 27845067 5271570 23052590 15671270 -271459 -107746 89977530 54120205 575489 417568 0 0 35543803 31998329 253589 82677 3805357 43624043 35039954 79996924 67538528 9980606 -13418323 765226846 813785937 200971529 205686559 564255317 608099378 X THE FIELD MUSEUM IS AN EDUCATIONAL INSTITUTION CONCERNED WITH THE DIVERSITY AND RELATIONSHIPS IN NATURE AND AMONG CULTURES. IT PROVIDES COLLECTION-BASED RESEARCH AND LEARNING FOR GREATER PUBLIC UNDERSTANDING AND APPRECIATION OF THE WORLD (CONTINUED ON SCHEDULE O) IN WHICH WE LIVE. ITS COLLECTIONS, PUBLIC LEARNING PROGRAMS, AND RESEARCH ARE INSEPARABLY LINKED TO SERVE A DIVERSE PUBLIC OF VARIED AGES, BACKGROUNDS AND KNOWLEDGE. 0 1 26628066 410551 524750 SCIENCE & EDUCATION: SCIENCE AND EDUCATION CONSISTS OF FOUR COMPLEMENTARY CENTERS-THE COLLECTIONS CENTER, THE INTEGRATIVE RESEARCH CENTER, THE SCIENCE ACTION CENTER, AND THE LEARNING CENTER. TOGETHER, THESE CENTERS ADVANCE THE MUSEUM'S MISSION OF UNDERSTANDING THE PAST, EXPLORING ITS PRESENT, AND SHAPING A FUTURE FOR THE EARTH THAT IS RICH WITH BIOLOGICAL AND CULTURAL DIVERSITY. THE COLLECTIONS AMOUNT TO OVER 30,000,000 NATURAL OBJECTS AND MAN-MADE ARTIFACTS SPANNING THE MUSEUM'S FOUR DISCIPLINES - ANTHROPOLOGY, BOTANY, GEOLOGY, AND ZOOLOGY. 13848987 7017 3546369 PUBLIC PROGRAMS: THE MUSEUM BRINGS SCIENCE TO LIFE WITH MORE THAN 400,000 SQUARE FEET OF SPACE DEVOTED TO EXHIBITIONS AND OTHER PUBLIC PROGRAMS. IN 2020, THE MUSEUM WELCOMED MORE THAN 315,000 VISITORS. 10282724 120381 MUSEUM SERVICES: THE MUSEUM HAS APPROXIMATELY 1,300,000 SQUARE FEET FOR WHICH MUSEUM SERVICES PROVIDES ENGINEERING, MAINTENANCE, AND SECURITY, AS WELL AS DIRECTLY SUPPORTS THE SCIENCE AND EDUCATION AND PUBLIC PROGRAMS. 6408528 612294 MUSEUM OUTREACH AND BUSINESS ENTERPRISES. 6408528 612294 57168305 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 1 106 0 1 602 1 1 1 0 0 0 0 1 1 0 0 0 0 1 0 X 74 73 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 GA IL KS KY ME MD MA MI MN NJ FL NY NC OH OK OR PA RI SC TN UT VA WA WV WI MS ND X LE MONTE G BOOKER SR 3126657240 1400 S DUSABLE LAKE SHORE DRIVE CHICAGO IL 606052496 RICHARD LARIVIERESEE SCHED J PRESIDENT + CEO THRU JULY 2020 50.00 X X 1127996 0 19200 CHARLES KATZENMEYER VP, INSTITUTIONAL ADVANCEMENT 35.00 X 291380 0 15277 LE MONTE G BOOKER SR CHIEF FINANCE OFFICER/INTERIM CEO 35.00 X 278206 0 23846 RAYMOND DETHORNE CHIEF MARKETING OFFICER 35.00 X 247722 0 18487 THORSTEN LUMBSCH VP, SCIENCE AND EDUCATION 35.00 X 232983 0 22722 JULIAN F SIGGERS PRESIDENT + CEO STARTING SEP. 2020 35.00 X X 239918 0 3356 OLIVIER RIEPPEL CURATOR AND SECTION HEAD 35.00 X 205703 0 21443 R L GRANDE DISTINGUISHED SERVICE CURATOR 35.00 X 196234 0 27578 GARY FEINMAN CURATOR 35.00 X 167681 0 20232 LORI BRESLAUER GENERAL COUNSEL 35.00 X 167909 0 18496 GINEVRA RANNEY SR. DIR, IND PHIL & PRIN GIVING 35.00 X 154463 0 22607 WILBUR H GANTZ III BOARD CHAIR 3.00 X X 0 0 0 CONSTANCE T KELLER CHAIR EMERITUS, VICE CHAIR 3.00 X X 0 0 0 MATTHEW K SIMON SECRETARY 3.00 X X 0 0 0 JOHN L BUCKSBAUM VICE CHAIR, FACILITIES & ADMIN SVCS 3.00 X X 0 0 0 DR RICHARD A CHAIFETZ VICE CHAIR, GOVERNMENT RELATIONS 3.00 X X 0 0 0 RICHARD W COLBURN BOARD MEMBER/EXECUTIVE COM 3.00 X X 0 0 0 ROBERT W CRAWFORD JR VICE CHAIR, AUDIT 3.00 X X 0 0 0 MARSHA A CRUZAN VICE CHAIR, DEVELOPMENT 3.00 X X 0 0 0 MARSHALL B FRONT VICE CHAIR, INVESTMENT 3.00 X X 0 0 0 JUDY GREFFIN VICE CHAIR, FINANCE 3.00 X X 0 0 0 CARYN HARRIS BOARD MEMBER/EXECUTIVE COM 3.00 X X 0 0 0 DAVID D HILLER VICE CHAIR, INTEGRATIVE RSCH 3.00 X X 0 0 0 JEFFREY B KELLER VICE CHAIR, SCIENCE ACTION 3.00 X X 0 0 0 MARGARET B MACLEAN VICE CHAIR, COLLECTIONS 3.00 X X 0 0 0 BOBBY MEHTA VICE CHAIR, LEARNING 3.00 X X 0 0 0 MICHAEL O'GRADY BOARD MEMBER/EXECUTIVE COM 3.00 X X 0 0 0 JESSICA P SAROWITZ BOARD MEMBER/EXECUTIVE COM 3.00 X X 0 0 0 DAWN L SOLOMON VICE CHAIR, EXHIBITIONS 3.00 X X 0 0 0 MARK TEBBE VICE CHAIR, TECHNOLOGY 3.00 X X 0 0 0 W ROCKWELL WIRTZ VICE CHAIR, MARKETING 3.00 X X 0 0 0 JASON M WORTENDYKE VICE CHAIR, RETIREMENT AND BENEFITS 3.00 X X 0 0 0 ARJUN AGGARWAL BOARD MEMBER 1.00 X 0 0 0 ROBERT P ARTHUR BOARD MEMBER 1.00 X 0 0 0 SUSAN M BENTON BOARD MEMBER 1.00 X 0 0 0 HOWARD B BERNICK BOARD MEMBER 1.00 X 0 0 0 AMY E BEST BOARD MEMBER 1.00 X 0 0 0 ROBERT BLACKWELL JR BOARD MEMBER 1.00 X 0 0 0 JOHN A CANNING JR BOARD MEMBER - PART YEAR 1.00 X 0 0 0 GREGORY C CASE BOARD MEMBER 1.00 X 0 0 0 DAVID COTTON BOARD MEMBER 1.00 X 0 0 0 MARK J COZZI BOARD MEMBER 1.00 X 0 0 0 SIR PETER CRANE FRS BOARD MEMBER 1.00 X 0 0 0 KERMIT R CRAWFORD BOARD MEMBER 1.00 X 0 0 0 OSCAR A DAVID BOARD MEMBER 1.00 X 0 0 0 ROGER K DEROMEDI BOARD MEMBER 1.00 X 0 0 0 DANIEL DIERMEIER BOARD MEMBER - PART YEAR 1.00 X 0 0 0 MARSHALL FIELD V BOARD MEMBER 1.00 X 0 0 0 MICHAEL E FLANNERY BOARD MEMBER 1.00 X 0 0 0 JEFFREY T FOLAND BOARD MEMBER 1.00 X 0 0 0 JAMES S FRANK BOARD MEMBER - PART YEAR 1.00 X 0 0 0 KAREN Z GRAY-KREHBIEL BOARD MEMBER 1.00 X 0 0 0 JACK M GREENBERG BOARD MEMBER 1.00 X 0 0 0 LEWIS S GRUBER BOARD MEMBER 1.00 X 0 0 0 ADNAAN HAMID BOARD MEMBER - PART YEAR 1.00 X 0 0 0 JAMEE C FIELD KANE BOARD MEMBER 1.00 X 0 0 0 MICHAEL L KEISER BOARD MEMBER 1.00 X 0 0 0 SHANNON M KENNEDY BOARD MEMBER 1.00 X 0 0 0 RICHARD L KEYSER BOARD MEMBER 1.00 X 0 0 0 WILLIAM C KUNKLER III BOARD MEMBER 1.00 X 0 0 0 JORGE M LEON BOARD MEMBER 1.00 X 0 0 0 RICHARD LEVIN BOARD MEMBER 1.00 X 0 0 0 DIANE VON SCHLEGELL LEVY BOARD MEMBER 1.00 X 0 0 0 NEIL S NOVICH BOARD MEMBER 1.00 X 0 0 0 JAMES J O'CONNOR JR BOARD MEMBER 1.00 X 0 0 0 CHRISTOPHER A O'HERLIHY BOARD MEMBER 1.00 X 0 0 0 KENNETH O'KEEFE BOARD MEMBER 1.00 X 0 0 0 ASUTOSH PADHI BOARD MEMBER 1.00 X 0 0 0 AURIE A PENNICK BOARD MEMBER 1.00 X 0 0 0 JOHN F PODJASEK III BOARD MEMBER 1.00 X 0 0 0 PETER B POND BOARD MEMBER 1.00 X 0 0 0 SCOTT RAFFERTY BOARD MEMBER 1.00 X 0 0 0 JOHN RAU BOARD MEMBER 1.00 X 0 0 0 THOMAS S RICKETTS BOARD MEMBER 1.00 X 0 0 0 JOHN W ROWE BOARD MEMBER - PART YEAR 1.00 X 0 0 0 DR DILARA SAYEED BOARD MEMBER 1.00 X 0 0 0 NYDIA S SEARLE BOARD MEMBER 1.00 X 0 0 0 DR MICHAEL E SEVERINO BOARD MEMBER 1.00 X 0 0 0 JAI SHEKHAWAT BOARD MEMBER 1.00 X 0 0 0 JENNIFER L SHERMAN BOARD MEMBER 1.00 X 0 0 0 ADELE S SIMMONS BOARD MEMBER 1.00 X 0 0 0 MARY L SMITH BOARD MEMBER 1.00 X 0 0 0 JUDSON B SNYDER BOARD MEMBER 1.00 X 0 0 0 THOMAS S SOULELES BOARD MEMBER 1.00 X 0 0 0 MARCUS VON KAPFF BOARD MEMBER 1.00 X 0 0 0 MARK R WALTER BOARD MEMBER 1.00 X 0 0 0 EVERETT S WARD BOARD MEMBER 1.00 X 0 0 0 LAURA S WASHINGTON BOARD MEMBER 1.00 X 0 0 0 MELVIN D WILLIAMS BOARD MEMBER - PART YEAR 1.00 X 0 0 0 PATRICK WOOD-PRINCE BOARD MEMBER 1.00 X 0 0 0 3310195 0 213244 39 0 1 0 HILL MECHANICAL CORPORATION 11045 GAGE AVE FRANKLIN PARK IL 60131 CONSTRUCTION 2449118 ARAMARK MANAGEMENT SERVICES 27310 NETWORK PLACE CHICAGO IL 60673 HOUSEKEEPING SERVICES 580932 GREENBRANCH COMMUNICATIONS 1913 N SHEFFIELD CHICAGO IL 60614 GRAPHIC DESIGN AND PRINT 520046 TARGET DATA INC 626 W JACKSON BLVD CHICAGO IL 60661 MARKETING 441664 ACCESS DIRECT MARKETING LLC 209 DES PLAINES AVE FOREST PARK IL 60137 DIRECT MAILING 260496 30 924044 1965109 7041438 23354520 396276 33285111 ADMISSIONS 900099 2595487 2595487 TRAVELING EXHIBITS 900099 673503 673503 EVENT INCOME 900099 520835 53059 467776 COMMISSIONS 900099 452941 452941 1028804 1014939 13865 5271570 6177783 6177783 15036 15036 70009718 60516231 9493487 9493487 9493487 23816 1965109 146598 -122782 -122782 54120205 4789929 481641 15563524 191058 191058 122247 122247 104263 104263 2254449 590785 1025415 638249 23562471 20247522 1294882 2020067 591441 509704 31051 50686 3620154 3119849 190058 310247 1969814 1697586 103415 168813 134928 134928 188100 188100 86500 86500 82677 82677 1179080 1179080 5329434 4419838 689574 220022 1101950 1098950 3000 2833256 2378870 287484 166902 1653079 1114003 524281 14795 107553 107553 2596615 2309264 279148 8203 350373 294768 46839 8766 139809 109278 18704 11827 6967488 6893769 25557 48162 11953068 11778951 122977 51140 224263 224263 ASSOCIATION MEMBERSHIPS 103404 37182 64421 1801 UNRELATED BUSINESS INCO 48189 48189 OTHER PROGRAM EXPENSES 42865 42865 67538528 57168305 6564866 3805357 2530905 787600 16523918 45556205 29948652 22682661 4571242 3828018 118468 93304 3566403 4061471 465173216 251108218 222541647 214064998 109494851 95969990 372775596 423888805 3155164 2852885 765226846 813785937 8718508 5840728 7073086 6498342 162892106 162010247 6339255 22287829 24997987 200971529 205686559 X 249622346 262814094 314632971 345285284 564255317 608099378 765226846 813785937 X -13418323 55872930 1389454 X 0 1 X 1 1 1 X 34818310 45408951 44694330 35946290 27829700 188697581 5686336 5483967 5409280 5577460 5455411 27612454 40504646 50892918 50103610 41523750 33285111 216310035 35480187 180829848 5805228 5373105 7281597 8042438 6192819 32695187 848736 697656 1009600 1242752 3798744 252803966 123179364 0.71530 0.66640 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 0 0 1 94877 94877 0 PART II-B, LINE 1: THE FIELD MUSEUM RETAINED METCALF FEDERAL RELATIONS FOR $76,500 IN 2020 FOR LOBBYING AT THE FEDERAL LEVEL. IN ADDITION, THE MUSEUM IS A MEMBER OF MUSEUMS IN THE PARK, APPROXIMATELY $10,000 OF FEES SUPPORT LOBBYING AT THE STATE LEVEL. A SMALL AMOUNT OF STAFF TIME IS SPENT ON ADVOCACY, ADDING $8,377. 1 X X X X 0 473458005 9825097 75946081 19397493 1179080 538652610 401529493 11734955 81435037 20151004 1090476 473458005 421654061 23077473 -23988603 18170931 1042507 401529493 369482719 19764374 49700979 16304000 990011 421654061 346238286 20783608 19381431 15874000 1046606 369482719 0.46484 0.33083 0.20433 1 0 326348266 180556247 145792019 107450146 57353606 50096540 29857987 13198365 16659622 1516817 1516817 214064998 EQUITY SECURITY FUNDS 302300820 F HEDGED EQUITY FUNDS 61691671 F ABSOLUTE RETURN FUNDS 58136314 F LIMITED PARTNERSHIP 1760000 C 423888805 ACCRUED PENSION COSTS 1373502 INTEREST RATE SWAP 23624485 24997987 X 110350107 55872930 1536052 57408982 52941125 1179080 1179080 54120205 66506046 146598 146598 66359448 1179080 1179080 67538528 PART III, LINE 1A: THE MUSEUM'S COLLECTIONS ARE COMPRISED OF OBJECTS OF HISTORICAL, CULTURAL OR SCIENTIFIC SIGNIFICANCE THAT ARE HELD FOR EDUCATIONAL, RESEARCH, SCIENTIFIC AND CURATORIAL PURPOSES. EACH OF THE ITEMS IS CATALOGED, PRESERVED AND CARED FOR, AND ACTIVITIES VERIFYING ITS EXISTENCE AND ASSESSING ITS CONDITION ARE PERFORMED CONTINUOUSLY. THE COLLECTIONS ARE SUBJECT TO A POLICY THAT REQUIRES PROCEEDS FROM SALES OF COLLECTION ITEMS TO BE DEPOSITED IN THE ENDOWMENT, WITH EARNINGS TO BE USED TO ACQUIRE OTHER ITEMS FOR COLLECTIONS OR PROVIDE FOR THE DIRECT CARE OF EXISTING COLLECTIONS. IN ACCORDANCE WITH THE PRACTICE GENERALLY FOLLOWED BY MUSEUMS, THE VALUE OF OBJECTS IN THE COLLECTIONS IS EXCLUDED FROM THE FINANCIAL STATEMENTS; COLLECTIONS ARE REFLECTED IN THE ACCOMPANYING STATEMENTS OF FINANCIAL POSITION AT A NOMINAL VALUE OF $1. SUCH COLLECTIONS HAVE BEEN ACQUIRED THROUGH PURCHASES AND CONTRIBUTIONS SINCE THE MUSEUM'S INCEPTION. PURCHASES OF COLLECTION ITEMS ARE RECORDED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE YEAR IN WHICH THE ITEMS ARE ACQUIRED, OR AS DECREASES IN TEMPORARILY RESTRICTED NET ASSETS IF THE ASSETS USED TO PURCHASE THE ITEMS ARE RESTRICTED BY DONORS. CONTRIBUTED COLLECTION ITEMS ARE NOT REFLECTED IN THE FINANCIAL STATEMENTS. PROCEEDS FROM DEACCESSIONS OR INSURANCE RECOVERIES ARE REFLECTED AS INCREASES IN UNRESTRICTED NET ASSETS. THERE WERE NO SALES OF COLLECTION ITEMS IN 2020 OR 2019. PART III, LINE 4: THE MUSEUM'S COLLECTIONS ARE MADE UP OF ARTIFACTS OF HISTORICAL, CULTURAL, OR SCIENTIFIC SIGNIFICANCE. MUCH OF THE COLLECTION IS FEATURED IN THE MUSEUM'S GENERAL COLLECTION WHICH IS OPEN FOR PUBLIC EXHIBITION. THE COLLECTION IS ALSO USED FOR ADVANCED SCIENTIFIC STUDY AND SCHOLARLY RESEARCH. THROUGH EXHIBITION AND STUDY, THE MUSEUM ACTS AS AN INDEPENDENT CENTER OF LEARNING FOCUSED ON DIVERSITY IN THE WORLD'S PHYSICAL ENVIRONMENTS AND CULTURES IN FURTHERANCE OF THE ORGANIZATION'S EXEMPT PURPOSE. PART V, LINE 4: THE ASSETS OF THE ENDOWMENT FUNDS SHALL BE INVESTED TO OBTAIN THE GREATEST "TOTAL RETURN" COMMENSURATE WITH THE RISKS DEEMED APPROPRIATE PURSUANT TO THE PROVISIONS OF THE INVESTMENT POLICY. THE PRIMARY OBJECTIVES OF THE MANAGEMENT OF THE ENDOWMENT FUNDS ARE TO 1) ACHIEVE LONG-TERM GROWTH THROUGH CAPITAL APPRECIATION AS WELL AS INCOME AND 2) PRESERVE THE PURCHASING POWER OF THE ASSETS OF THE ENDOWMENT FUND BY OBTAINING A "REAL RETURN" EQUAL TO OR IN EXCESS OF NORMAL ANNUAL SPENDING-ENDOWMENT WITHDRAWALS TO SUPPORT THE MUSEUM. PART X, LINE 2: THE MUSEUM IS EXEMPT FROM INCOME TAXATION UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND A COMPARABLE STATE OF ILLINOIS STATUTE. MANAGEMENT BELIEVES THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION IN THE ACCOMPANYING FINANCIAL STATEMENTS. THE MUSEUM HAS A POLICY TO RECORD INTEREST AND PENALTIES (IF ANY) RELATED TO INCOME TAX MATTERS IN INCOME TAX EXPENSE. THE MUSEUM HAS DETERMINED THAT ITS TAX POSITIONS SATISFY THE MORE LIKELY THAN NOT CRITERION. FOR THE YEAR ENDED DECEMBER 31, 2020 AND 2019, NO INTEREST AND PENALTIES WERE RECORDED. PART XI, LINE 2D - OTHER ADJUSTMENTS: PENSION-RELATED CHANGES OTHER THAN NET PERIODIC PENSION COST 1,389,454. SPECIAL EVENTS EXPENSES 146,598. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENTS EXPENSES 146,598. 1 EAST ASIA & THE PACIFIC PROGRAM SERVICES SCIENCE AND EDUCATION 4702 CENTRAL AMERICA & THE CARIBBEAN PROGRAM SERVICES SCIENCE AND EDUCATION 3000 EUROPE (ICELAND & GREENLAND) PROGRAM SERVICES SCIENCE AND EDUCATION 13968 NORTH AMERICA PROGRAM SERVICES SCIENCE AND EDUCATION 11072 SOUTH AMERICA PROGRAM SERVICES SCIENCE AND EDUCATION 67630 SUB-SAHARAN AFRICA PROGRAM SERVICES SCIENCE AND EDUCATION 6625 EUROPE (ICELAND & GREENLAND) PROGRAM SERVICES PUBLIC PROGRAM 26439 NORTH AMERICA PROGRAM SERVICES PUBLIC PROGRAM 75729 SUB-SAHARAN AFRICA GRANT MAKING STIPEND FOR RESEARCH 65863 SOUTH AMERICA GRANT MAKING STIPEND FOR RESEARCH 16000 CENTRAL AMERICA & THE CARIBBEAN INVESTMENTS 109744192 SOUTH ASIA PROGRAM SERVICES SCIENCE & EDUCATION 398 NORTH AMERICA GRANT MAKING STIPEND FOR RESEARCH 22400 0 0 0 0 0 0 209165 109848853 110058018 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA, FASO, STIPEND FOR RESEARCH 65863 WIRE 1 STIPEND FOR RESEARCH SOUTH AMERICA 1 16000 CHECK STIPEND FOR RESEARCH NORTH AMERICA 1 22400 CHECK 1 0 1 1 1 0 PART I, LINE 2: STAFF MAKE VISITS TO MONITOR WORK BEING DONE OUTSIDE THE UNITED STATES AND REPORT ON THE STATUS OF THE GRANTS. PART III ACCOUNTING METHOD: X X X X X X X 1 PATRICIA HURLEY 205 W WACKER DRIVE STE 1400 CHICAGO IL 60606 EVENT CONSULTANT 0 1837634 55000 1782634 DCM TELEMARKETING 261 W 35TH ST SUITE 600 NEW YORK NY 10001 TELEMARKETING 0 5720 0 5720 MARTS & LUNDY 1200 WALL STREET WEST LYNDHURST NJ 07071 CAMPAIGN CONSULTANT 0 0 5677 -5677 ALEXANDER ROSS GROUP 2406 PRAIRIE AVE EVANSTON IL 60201 CAMPAIGN CONSULTANT 0 0 22000 -22000 1843354 82677 1760677 AK AL AR CA CO CT FL GA IL IN KS KY MA MD ME MI MN MS NC ND NJ NM NY NV OH OK OR PA RI SC TN UT VA WA WI WV AZ MO WOMEN'S BOARD GALA 1837634 1837134 500 132201 WOMEN'S BOARD LUNCHEON 102775 99475 3300 8247 1 48516 28500 20016 6150 1988925 1965109 23816 146598 146598 -122782 1 NORTHERN ARIZONA UNIVERSITY PO BOX 4080 FLAGSTAFF AZ 86011 742579628 GOV'T 4319 STIPEND FOR SCIENCE AND EDUCATION THE UNIVERSITY OF CHICAGO 5835 KIMBARK AVE CHICAGO IL 60637 362177139 GOV'T 120758 STIPEND FOR SCIENCE AND EDUCATION BOARD OF REGENTS OF THE UNIVERSITY OF WISCONSIN SYSTEM 21 NORTH PARK ST MADISON WI 53715 396006492 GOV'T 27643 STIPEND FOR SCIENCE AND EDUCATION BOARD OF TRUSTEES OF MICHIGAN STATE UNIVERSITY 426 AUDITORIUM ROAD EAST LANSING MI 48824 386005987 GOV'T 11770 STIPEND FOR SCIENCE AND EDUCATION SCHOOL OF THE ART INSTITUTE 37 S WABASH AVE CHICAGO IL 60603 362167725 501 C 3 7017 STIPEND FOR SCIENCE AND EDUCATION TCA HEALTH 1029 E 130TH ST CHICAGO IL 60628 362743287 501 C 3 19550 STIPEND FOR SCIENCE AND EDUCATION 6 STIPENDS FOR SCIENCE AND EDUCATION 15 122246 PART I, LINE 2: A DEPARTMENT ADMINISTRATOR REVIEWS ALL OF THE REQUESTS FOR PAYMENTS AND SIGNS OFF ON THE REQUEST BEFORE PAYMENT IS ISSUED. X X 1 1 X X X X X 1 1 0 0 0 0 0 1 1 1 RICHARD LARIVIERESEE SCHED J PRESIDENT + CEO THRU JULY 2020 426391 0 96793 0 604812 0 11400 0 7800 0 1147196 0 212400 0 CHARLES KATZENMEYER VP, INSTITUTIONAL ADVANCEMENT 291380 0 0 0 0 0 8550 0 6727 0 306657 0 0 0 LE MONTE G BOOKER SR CHIEF FINANCE OFFICER/INTERIM CEO 278206 0 0 0 0 0 5700 0 18146 0 302052 0 0 0 RAYMOND DETHORNE CHIEF MARKETING OFFICER 247722 0 0 0 0 0 5063 0 13424 0 266209 0 0 0 THORSTEN LUMBSCH VP, SCIENCE AND EDUCATION 232983 0 0 0 0 0 9296 0 13426 0 255705 0 0 0 JULIAN F SIGGERS PRESIDENT + CEO STARTING SEP. 2020 239918 0 0 0 0 0 0 0 3356 0 243274 0 0 0 OLIVIER RIEPPEL CURATOR AND SECTION HEAD 205703 0 0 0 0 0 8028 0 13415 0 227146 0 0 0 R L GRANDE DISTINGUISHED SERVICE CURATOR 196234 0 0 0 0 0 8232 0 19346 0 223812 0 0 0 GARY FEINMAN CURATOR 167681 0 0 0 0 0 6871 0 13361 0 187913 0 0 0 LORI BRESLAUER GENERAL COUNSEL 167909 0 0 0 0 0 6963 0 11533 0 186405 0 0 0 GINEVRA RANNEY SR. DIR, IND PHIL & PRIN GIVING 154463 0 0 0 0 0 3251 0 19356 0 177070 0 0 0 PART I, LINE 1A THE PRESIDENT RECEIVED SOCIAL CLUB DUES. THE PURPOSE OF THE SOCIAL CLUB DUES ARE FOR BUSINESS USES RELATED TO ENTERTAINING GUESTS, FUNDRAISING, AND NETWORKING. THE PRESIDENT'S SPOUSE ALSO RECEIVED TRAVEL REIMBURSEMENTS RELATED TO HER DUTIES AS A VOLUNTEER OF THE MUSEUM. PART I, LINES 4A-B IN ADDITION TO THE DEFERRED COMPENSATION PAYOUTS EXPLAINED BELOW, THE FORMER PRESIDENT AND CEO RECEIVED $266,643 REPORTED ON A 2020 FORM 1099 RELATED TO CONSULTATION SERVICES TO ASSIST WITH THE TRANSITION TO NEW LEADERSHIP AFTER HIS RETIREMENT. DURING 2020, THE FORMER PRESIDENT AND CEO RETIRED AND RECEIVED A PAYOUT OF PREVIOUSLY ACCRUED DEFERRED COMPENSATION, APPLICABLE INVESTMENT EARNINGS AND ADJUSTMENTS. THE TOTAL AMOUNT REFLECTED ON THE 2020 FORM W-2 RELATED TO THE PRIOR DEFERRED COMPENSATION ARRANGEMENT WAS $338,169. PART I, LINE 7 THE FORMER PRESIDENT AND CEO RECEIVED A BONUS AS REFLECTED ON SCHEDULE J, PART I. THE BONUS WAS APPROVED BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES AND WAS BASED ON THE MUSEUM'S PRIOR YEAR PERFORMANCE AND AGREED UPON GOALS TO ASSIST WITH THE TRANSITION TO NEW LEADERSHIP AFTER HIS RETIREMENT. PART I, LINE 8 THE NEW PRESIDENT AND CEO WAS HIRED IN SEPTEMBER 2020 AND IS PAID PURSUANT TO A WRITTEN EMPLOYMENT CONTRACT THAT WAS SUBJECT TO THE INITIAL CONTRACT EXCEPTION. THE PROCESS USED TO HIRE THE PRESIDENT AND CEO AND THE APPLICABLE EMPLOYMENT CONTRACT FOLLOWED THE REBUTTABLE PRESUMPTION PROCEDURE. A ILLINOIS FINANCE AUTHORITY 861091967 45204E2LI 2019-06-12 87160000 CURRENT REFUNDING 0 0 0 A 1900000 87160000 960000 86200000 1 0 1 1 A 1 1 0 0 0 1 A 1 PART I (A)(F) CURRENT REFUNDING OF PRIOR ISSUE ISSUED ON 7/30/2015, WHICH WAS A REFUNDING OF PRIOR ISSUES ISSUED ON 12/03/1985; 11/08/1990; 4/15/1998; 3/22/2000 PART II, LINE 11 PROCEEDS USED BY 7/1/2020 TO CURRENTLY REFUND PRIOR ISSUE BONDS FROM 7/30/2015, WHICH WERE A REFUNDING OF PRIOR ISSUE BONDS FROM 12/03/1985, 11/08/1990, 4/15/1998, AND 3/22/2000. X 23 396276 FAIR MARKET VALUE X 411 0 X 14 0 0 1 1 PART I, LINE 32B: THE STOCK GIFTS GO INTO THE MUSEUM'S ACCOUNT AT NORTHERN TRUST, AND THEN NORTHERN TRUST SELLS THE STOCK ON BEHALF OF THE MUSEUM THE DAY AFTER THE RECEIPT. NORTHERN TRUST DEPOSITS PROCEEDS FROM THE SALE OF SECURITIES INTO THE MUSEUM'S ACCOUNT. PART I, LINE 33: THE MUSEUM DOES NOT REPORT CONTRIBUTIONS OF COLLECTION ITEMS AS REVENUE AS PERMITTED UNDER GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. THE MUSEUM DOES NOT CAPITALIZE ITS COLLECTION AS ALLOWED UNDER SFAS 116. FORM 990, PART III, LINE 3 ON MARCH 14, 2020, THE MUSEUM CLOSED TO THE PUBLIC AND REMAINED CLOSED UNTIL JULY 17, 2020 IN ACCORDANCE WITH DIRECTIVES ISSUED BY THE STATE OF ILLINOIS (STATE) AND CITY OF CHICAGO (CITY) DUE TO THE COVID-19 GLOBAL PANDEMIC. THE MUSEUM REOPENED ON JULY 17, 2020 AND OPERATED AT A REDUCED CAPACITY UNTIL NOVEMBER 20, 2020 WHEN THE MUSEUM CLOSED AGAIN TO THE PUBLIC IN ACCORDANCE WITH DIRECTIVES ISSUED BY THE STATE AND THE CITY. THESE CLOSURES RESULTED IN REDUCED REVENUE RELATED TO ADMISSION, MEMBERSHIP, PROGRAM SERVICE FEES AND BUSINESS ENTERPRISES AND WAS MITIGATED BY EXPENSE ADJUSTMENTS. FORM 990, PART VI, SECTION A, LINE 2 BOARD OF TRUSTEES MEMBERS JAMEE C. FIELD KANE, MARSHALL FIELD V, AND CARYN HARRIS HAVE A FAMILY RELATIONSHIP. BOARD OF TRUSTEES MEMBERS BOBBY MEHTA, AND KERMIT R. CRAWFORD HAVE A BUSINESS RELATIONSHIP. BOARD OF TRUSTEES MEMBERS BOBBY MEHTA, MICHAEL O'GRADY AND WILLIAM C. KUNKLER III HAVE A BUSINESS RELATIONSHIP. BOARD OF TRUSTEES MEMBERS JOHN A. CANNING, JR., THOMAS S. SOULELES, BOBBY MEHTA, AND JAI SHEKHAWAT HAVE A BUSINESS RELATIONSHIP. BOARD OF TRUSTEES MEMBER JOHN A. CANNING JR. HAS A FAMILY RELATIONSHIP WITH BOARD OF TRUSTEES MEMBER JOHN F. PODJASEK III. BOARD OF TRUSTEES MEMBER CONSTANCE T. KELLER HAS A FAMILY RELATIONSHIP WITH BOARD OF TRUSTEES MEMBER JEFFREY B. KELLER. FORM 990, PART VI, SECTION B, LINE 11B THE BOARD RETAINS THE SERVICES OF AN INDEPENDENT CPA FIRM TO PREPARE THE ORGANIZATION'S FORM 990. MANAGEMENT REVIEWS THE COMPLETED FORM 990. A DRAFT OF THE FORM 990 IS PRESENTED TO THE AUDIT COMMITTEE. A FULL COPY OF THE 990 IS THEN PROVIDED TO ALL VOTING MEMBERS OF THE GOVERNING BODY PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE MUSEUM'S OFFICERS, DIRECTORS, TRUSTEES, AND KEY EMPLOYEES ARE ANNUALLY REQUIRED TO COMPLETE A CONFLICT OF INTEREST DISCLOSURE STATEMENT AS A CONDITION OF THEIR SERVICE TO THE ORGANIZATION. POTENTIAL CONFLICTS ARE LOGGED WITH AND MONITORED BY THE GENERAL COUNSEL AND SECRETARY OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES IS RESPONSIBLE FOR THE APPROVAL OF COMPENSATION OF THE CEO. THE EXECUTIVE COMMITTEE IS COMPRISED OF INDEPENDENT TRUSTEES. THE CHAIR OF THE BOARD AND EXECUTIVE COMMITTEE ESTABLISHED A COMPENSATION SUB-COMMITTEE. THE COMPENSATION COMMITTEE IS COMPRISED OF SIX TRUSTEES, EACH OF WHICH IS A MEMBER OF THE EXECUTIVE COMMITTEE. THE COMPENSATION COMMITTEE REVIEWS THE CEO'S COMPENSATION AND BONUS PROGRAM AND MAKES RECOMMENDATIONS TO THE EXECUTIVE COMMITTEE FOR FINAL APPROVAL. EXECUTIVE COMMITTEE DECISIONS REGARDING THE CEO'S COMPENSATION ARE HELD IN EXECUTIVE SESSION. THE COMPENSATION ARRANGEMENTS FOR THE CEO ARE DOCUMENTED VIA AN EMPLOYMENT CONTRACT AND WRITTEN BONUS PLAN (APPROVED BY THE EXECUTIVE COMMITTEE). THE CHIEF HUMAN RESOURCES OFFICER CONDUCTS A SALARY BENCHMARK ANALYSIS FOR OFFICERS AND KEY EMPLOYEES WITH OUTSIDE CONSULTANTS AND EXTERNAL SURVEYS ON A BIENNIAL BASIS; THIS INFORMATION IS SHARED WITH THE COMPENSATION COMMITTEE AND CEO FOR THEIR REVIEW. FORM 990, PART VI, SECTION C, LINE 19 THE MUSEUM'S FORM 990 IS AVAILABLE AT THE ORGANIZATION'S PRINCIPAL PLACE OF BUSINESS UPON REQUEST. THE MUSEUM'S GOVERNING DOCUMENTS AND FINANCIAL STATEMENTS ARE AVAILABLE THROUGH APPLICABLE GOVERNMENTAL AGENCIES OR THROUGH REQUEST AT THE MUSEUM'S PRINCIPAL PLACE OF BUSINESS. THE CONFLICT OF INTEREST POLICY IS AVAILABLE UPON WRITTEN REQUEST TO THE ORGANIZATION (AND AT MANAGEMENT'S DISCRETION). FORM 990, PART XI, LINE 9: PENSION-RELATED CHANGES OTHER THAN NET PERIODIC PENSION COST 1,389,454.