2020-11-12T17:25:58-06:00 2019-12-31 910189318 MOSS ADAMS LLP 101 SECOND STREET SUITE 900 SAN FRANCISCO CA 94105 990 2019-01-01 473522162 WINDWARD FUND WIND 2027953074 1201 CONNECTICUT AVENUE NW NO 300 WASHINGTON DC 20036 LEE BODNER BOARD CHAIR 2027953074 2020-11-12 1 MICHAEL LUMSDEN P01262236 4159561500 2020-11-12 76.14.38.113 2020-11-12 12:50:52 PS P 00C4359F54289D19625D58AABAD73364CEA05A5F 00C4359F54289D19625D58AABAD73364CEA05A5F 2019 2021-01-29 14:40:06Z LEE BODNER 1201 CONNECTICUT AVENUE NW NO 300 WASHINGTON DC 20036 44404708 0 X WWW.WINDWARDFUND.ORG X 2015 DC THE WINDWARD FUND ADVANCES PUBLIC AWARENESS ABOUT CONSERVATION, CLIMATE AND ENVIRONMENTAL ISSUES, SUSTAINABLE FOOD SYSTEMS, AND THE PROTECTION OF LAND, WILDLIFE, AND OTHER NATURAL RESOURCES. AS A 501(C)(3) PUBLIC CHARITY, WINDWARD HOSTS PUBLIC AWARENESS CAMPAIGNS AND GRANT-MAKING PROJECTS THAT ADDRESS CONSERVATION FROM A RANGE OF ANGLES. WINDWARD ALSO PROVIDES A PLATFORM FOR DONORS TO CONVENE AND COLLABORATE ON THESE ISSUES, LEVERAGING THE WORK OF OTHER CONSERVATION PROJECTS HOUSED AT THE FUND TO STRENGTHEN THEIR EFFORTS AND ADVANCE THE FIELD. WINDWARD IS GOVERNED BY TRUSTEES WITH DEEP EXPERIENCE IN RUNNING ENVIRONMENTAL ORGANIZATIONS, MANAGING GRANTMAKING PORTFOLIOS, AND EDUCATING THE PUBLIC ABOUT ENVIRONMENTAL ISSUES. 7 6 30 110 0 0 18765094 43323467 171390 618887 220312 318717 81723 143637 19238519 44404708 3955493 8115107 0 0 1273269 2664204 0 0 46510 8350418 10065514 13579180 20844825 5659339 23559883 18675227 43649953 1785731 3200574 16889496 40449379 X SEE SCHEDULE O 0 0 15726140 7436449 502887 ENVIRONMENTAL (CLIMATE, CONSERVATION, AND ENERGY) PROGRAMS - WINDWARD FUND'S ENVIRONMENTAL PROGRAMS FOCUS ON A RANGE OF CONSERVATION, CLIMATE, AND ENERGY ISSUES IN THE U.S. AND ABROAD. THESE ISSUES INCLUDE WATER SOLUTIONS IN THE AMERICAN WEST, CLIMATE RESILIENCE, ALTERNATIVE ENERGY SOURCES, REDUCTION OF DEFORESTATION, AND CONSERVATION PLANNING. OUR WORK PRIMARILY INCLUDES CONVENING, GRANTMAKING, COMMUNICATIONS, COORDINATION AMONG STAKEHOLDERS, CIVIC AND MEDIA ENGAGEMENT, AND PUBLIC AWARENESS CAMPAIGNS. 3351351 678658 116000 AGRICULTURE, FOOD, NUTRITION PROGRAMS - WINDWARD FUND'S AGRICULTURE, FOOD, AND NUTRITION PROGRAMS FOCUS ON A RANGE OF ISSUED AIMED AT TRANSFORMING FOOD SYSTEMS TO GREATER ACCESSIBILITY AND SUSTAINABILITY, WORKING ON TOPICS SUCH AS REGENERATIVE STEWARDSHIP OF AGRICULTURAL LANDS AND AN ENABLING INFRASTRUCTURE AND POLICY ENVIRONMENT FOR A HEALTHY FOOD SYSTEM. ACTIVITIES CONDUCTED INCLUDE COORDINATION AMONG STAKEHOLDERS, GRANT MAKING, COMMUNICATIONS, AND PUBLIC AWARENESS CAMPAIGNS. 19077491 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 1 1 0 0 0 0 0 1 1 1 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 1 105 0 1 30 1 0 0 0 0 0 1 1 0 0 0 0 0 0 X 7 6 1 1 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 0 0 0 DC CA X ARABELLA ADVISORS 2025951020 1201 CONNECTICUT AVENUE NW SUITE WASHINGTON DC 20036 LEE BODNER BOARD CHAIR 1.00 X X 0 0 0 CHARLES SAVITT TREASURER 1.00 X X 0 0 0 HARRY DRUCKER SECRETARY 1.00 X X 0 0 0 KRISTEN GRIMM DIRECTOR 1.00 X 0 0 0 AILEEN LEE DIRECTOR (THROUGH 8/9/2019) 1.00 X 0 0 0 BRUCE BOYD DIRECTOR 1.00 X 0 0 0 BILL GALLEGOS DIRECTOR 1.00 X 0 0 0 JUMANA VASI DIRECTOR 1.00 X 0 0 0 ANDREW SCHULZ GENERAL COUNSEL (THROUGH 8/14/2019) 1.00 X 2898 0 0 WILBUR PRIESTER CFO (THROUGH 9/1/2019) 1.00 X 0 0 0 LORI GARVER PROJECT DIRECTOR 40.00 X 320833 0 40858 JOHN NORDGREN PROJECT DIRECTOR 40.00 X 186000 0 40491 CASSIE LEE PROJECT DEPUTY DIRECTOR 40.00 X 178371 0 25490 RICHARD TATE PROJECT DIRECTOR 40.00 X 157040 0 24840 JASON KESSLER PROJECT DEPUTY DIRECTOR 20.00 X 114915 0 21412 960057 0 153091 5 0 1 0 ARABELLA ADVISORS LLC 1201 CONNECTICUT AVE NW STE 300 WASHINGTON DC 20036 ADMIN., OPERATIONS & MANAGEMENT SERVICES 2159679 INSTITUTE FOR THE NEW FOOD ECONOMY LLC 20 W 86TH STREET STE 8C NEW YORK NY 10024 CONSULTING 1306281 CONSERVATION STRATEGY GROUP LLC 1100 ELEVENTH ST STE 200 SACRAMENTO CA 95814 CONSULTING 759300 FACTORE VENTURES PBC 430 N COLLEGE AVENUE FORT COLLINS CO 80524 CONSULTING 552000 SUSAN BELL AND ASSOCIATES 570 OAK KNOLL LN MENLO PARK CA 94025 CONSULTING 496428 16 43323467 43323467 DUES REVENUE 900099 484303 484303 SPONSORSHIPS 900099 116000 116000 CONSULTING 541900 18584 18584 618887 318717 318717 GENERAL ADMIN RETAINER 541900 132045 132045 MISCELLANEOUS REVENUE 900099 11592 11592 143637 44404708 502887 0 578354 X 7595189 7595189 360000 360000 159918 159918 2898 2898 2196375 2143431 15876 37068 47751 46939 812 256244 251888 4356 160936 158200 2736 1594338 1594338 456117 429887 26230 22200 1500 20700 5789400 5787492 370 1538 177361 177361 27426 27060 366 1208159 1200080 8079 83912 83912 314264 300672 13592 266002 263452 2550 176 176 22741 432 22309 LICENSES AND FEES 38969 37626 1343 HONORARIA & GIFTS 36472 36472 DUES/SUBSCRIPTIONS/BOOK 24349 12176 12173 3628 3628 20844825 19077491 1720824 46510 3738936 1293590 13055047 36697386 1857500 5393623 18475 1162 5269 48808 215560 176 0 215384 18675227 43649953 922842 812442 195416 1874741 667473 513391 1785731 3200574 X 87333 355205 16802163 40094174 16889496 40449379 18675227 43649953 23559883 0 X 0 1 X 0 0 X 1297000 15819553 12654943 18765094 43323467 91860057 1297000 15819553 12654943 18765094 43323467 91860057 41646174 50213883 54036 318717 372753 1266 81723 143637 226626 92459436 790277 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2017 AMOUNT: $ 1,266. 2018 AMOUNT: $ 81,723. 2019 AMOUNT: $ 143,637. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 215560 176 215384 215384 X 44418688 13980 13980 44404708 0 44404708 20858805 13980 13980 20844825 0 20844825 PART X, LINE 2: THE FUND IS GENERALLY EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. IN ADDITION, THE FUND QUALIFIES FOR CHARITABLE CONTRIBUTIONS DEDUCTIONS AND HAS BEEN CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. INCOME WHICH IS NOT RELATED TO EXEMPT PURPOSES, LESS APPLICABLE DEDUCTIONS, IS SUBJECT TO FEDERAL AND STATE INCOME TAXES. THERE WAS NO TAX LIABILITY FOR UNRELATED BUSINESS INCOME FOR THE YEARS ENDED DECEMBER 31, 2019 OR 2018. ACCORDINGLY, NO PROVISION FOR INCOME TAXES HAS BEEN MADE IN THE ACCOMPANYING FINANCIAL STATEMENTS. 1 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 GRANTMAKING 84918 NORTH AMERICA (CANADA AND MEXICO) 0 0 GRANTMAKING 75000 0 0 0 0 0 0 159918 0 159918 NORTH AMERICA (CANADA AND MEXICO) ENVIRONMENTAL PROGRAMS 75000 WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) ENVIRONMENTAL PROGRAMS 66000 WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) ENVIRONMENTAL PROGRAMS 18918 WIRE TRANSFER 1 2 0 0 0 0 0 0 PART I, LINE 2: THE ORGANIZATION GENERALLY REQUIRES A WRITTEN PROPOSAL DESCRIBING HOW THE GRANT FUNDS WILL BE USED, AND A PRE-GRANT INQUIRY IS THEN CONDUCTED TO EVALUATE THE GRANTEE. ALL GRANTS ARE SUBJECT TO A WRITTEN GRANT AGREEMENT THAT IMPOSES REPORTING OBLIGATIONS, REQUIRES FUNDS BE USED SOLELY AS SPECIFIED IN THE PROPOSAL, AND REQUIRES THAT FUNDS BE RETURNED IF NOT SPENT APPROPRIATELY OR IF REPORTS AREN'T FILED AS REQUIRED. PART III ACCOUNTING METHOD: 1 350KISHWAUKEE 1121 LOREN DRIVE DEKALB IL 60115 475356643 501(C)(3) 14600 0 ENVIRONMENTAL PROGRAMS A GREENER WORLD 8154 11TH STSUITE 1 TERREBONNE OR 97760 812116665 501(C)(3) 40000 0 AGRICULTURE, FOOD, NUTRITION ALASKA COMMUNITY ACTION ON TOXICS 1225 E INTERNATIONAL AIRPORT RD SUITE 220 ANCHORAGE AK 99518 920177082 501(C)(3) 100000 0 ENVIRONMENTAL PROGRAMS ALLIED MEDIA PROJECTS INC 4126 THIRD STREET DETROIT MI 48201 010559608 501(C)(3) 44600 0 ENVIRONMENTAL PROGRAMS AMERICAN RIVERS INC 1101 14TH ST NW SUITE 1400 WASHINGTON DC 20005 237305963 501(C)(3) 547850 0 ENVIRONMENTAL PROGRAMS ASU FOUNDATION FOR A NEW AMERICAN UNIVERSITY 300 E UNIVERSITY DR TEMPE AZ 85281 866051042 501(C)(3) 100000 0 ENVIRONMENTAL PROGRAMS BAD RIVER BAND OF LAKE SUPERIOR TRIBE CHIPPEWA INDIANS 72682 MAPLE STREETPO BOX 39 ODANAH WI 54861 391178897 TRIBAL 8000 0 ENVIRONMENTAL PROGRAMS BIG BLACKS IN GREEN 6011 S SAINT LAWRENCE AVE CHICAGO IL 60637 452453557 501(C)(3) 14600 0 ENVIRONMENTAL PROGRAMS BOARD OF REGENTS OF THE UNIVERSITY OF NEBRASKA 151 PREM S PAUL RESEARCH CENTER2200 VINE STREET LINCOLN NE 685830861 470049123 STATE OF NE 220000 0 ENVIRONMENTAL PROGRAMS BONNEVILLE ENVIRONMENTAL FOUNDATION 1500 SW 1ST AVE SUITE 885 PORTLAND OR 97201 931248274 501(C)(3) 175000 0 ENVIRONMENTAL PROGRAMS CENTER FOR EARTH ENERGY AND DEMOCRACY 4511 34TH AVENUE S MINNEAPOLIS MN 55406 452580349 501(C)(3) 38500 0 ENVIRONMENTAL PROGRAMS CITIZEN ACTION OF WISCONSIN EDUCATION FUND INC 221 S 2ND STREET 300 MILWAUKEE WI 53204 391520619 501(C)(3) 75000 0 ENVIRONMENTAL PROGRAMS COMMUNITY LABOR UNITED 8 BEACON ST5TH FLOOR BOSTON MA 02108 203404034 501(C)(3) 57500 0 ENVIRONMENTAL PROGRAMS DAKOTA RESOURCE COUNCIL 1720 BURNT BOAT DRIVESUITE 104 BISMARCK ND 58503 450363903 501(C)(3) 14600 0 ENVIRONMENTAL PROGRAMS DUKE UNIVERSITY 324 BLACKWELL STSTE 900 DURHAM NC 27701 560532129 501(C)(3) 50000 0 ENVIRONMENTAL PROGRAMS EAST MICHIGAN ENVIRONMENTAL ACTION COUNCIL 4605 CASS AVENUE DETROIT MI 48201 237241219 501(C)(3) 14600 0 ENVIRONMENTAL PROGRAMS ECOADAPT PO BOX 11195 BAINBRIDGE ISLAND WA 98110 263303629 501(C)(3) 30000 0 ENVIRONMENTAL PROGRAMS EMPOWER MISSOURI 308 EAST HIGH ST SUITE 100 JEFFERSON CITY MO 65101 440547548 501(C)(3) 25000 0 AGRICULTURE, FOOD, NUTRITION ENVIRONMENTAL DEFENSE FUND INC 257 PARK AVE S17TH FLR NEW YORK NY 10010 116107128 501(C)(3) 70313 0 ENVIRONMENTAL PROGRAMS ENVIRONMENTAL HEALTH WATCH 5802 DETROIT AVE CLEVELAND OH 44102 341443935 501(C)(3) 14600 0 ENVIRONMENTAL PROGRAMS FAITH IN INDIANA 212 W10TH STSUITE F-175 INDIANAPOLIS IN 46204 452349567 501(C)(3) 25000 0 ENVIRONMENTAL PROGRAMS FAITH IN PLACE 70 E LAKE ST SUITE 920 CHICAGO IL 60601 364540756 501(C)(3) 25000 0 AGRICULTURE, FOOD, NUTRITION FARMWORKER ASSOCIATION OF FLORIDA INC 1264 APOPKA BLVD APOPKA FL 32703 592683978 501(C)(3) 50000 0 ENVIRONMENTAL PROGRAMS FUND FOR THE CITY OF NEW YORK INC 121 AVENUE OF THE AMERICAS NEW YORK NY 10013 132612524 501(C)(3) 40000 0 AGRICULTURE, 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FOUNDATION 205 COMMONS CEDAR FALLS IA 50614 426058591 501(C)(3) 25000 0 AGRICULTURE, FOOD, NUTRITION WATER FOUNDATION 555 CAPITOL MALLSUITE 1155 SACRAMENTO CA 95814 371833985 501(C)(3) 250000 0 ENVIRONMENTAL PROGRAMS WEST VIRGINIA CITIZEN ACTION EDUCATION FUND 1500 DIXIE STREET CHARLESTON WV 25311 113660992 501(C)(3) 75000 0 ENVIRONMENTAL PROGRAMS WOMEN'S FUNDING NETWORK 57 POST STSTE 801 SAN FRANCISCO CA 941045027 411685134 501(C)(3) 10000 0 ENVIRONMENTAL PROGRAMS WORC EDUCATION PROJECT 220 SOUTH 27TH STSUITE B BILLINGS MT 59101 841123481 501(C)(3) 50000 0 ENVIRONMENTAL PROGRAMS WORLD RESOURCES INSTITUTE 10 G STREET NE SUITE 800 WASHINGTON DC 20002 521257057 501(C)(3) 517000 0 ENVIRONMENTAL PROGRAMS 86 1 GRANT FOR AGRICULTURE, FOOD, NUTRITION PROGRAMS 9 360000 0 PART I, LINE 2: THE ORGANIZATION GENERALLY REQUIRES A WRITTEN PROPOSAL DESCRIBING HOW THE GRANT FUNDS WILL BE USED, AND A PRE-GRANT INQUIRY IS THEN CONDUCTED TO EVALUATE THE GRANTEE. ALL GRANTS ARE SUBJECT TO A WRITTEN GRANT AGREEMENT THAT IMPOSES REPORTING OBLIGATIONS, REQUIRES FUNDS BE USED SOLELY AS SPECIFIED IN THE PROPOSAL, AND REQUIRES THAT FUNDS BE RETURNED IF NOT SPENT APPROPRIATELY OR IF REPORTS AREN'T FILED AS REQUIRED. 0 0 0 0 0 0 0 0 0 LORI GARVER PROJECT DIRECTOR 320833 0 0 0 0 0 8400 0 32458 0 361691 0 0 0 JOHN NORDGREN PROJECT DIRECTOR 185400 0 0 0 600 0 5562 0 34929 0 226491 0 0 0 CASSIE LEE PROJECT DEPUTY DIRECTOR 156614 0 0 0 21757 0 5403 0 20087 0 203861 0 0 0 RICHARD TATE PROJECT DIRECTOR 157040 0 0 0 0 0 4740 0 20100 0 181880 0 0 0 PART I, LINE 3 WINDWARD FUND DOES NOT HAVE A CEO/EXECUTIVE DIRECTOR. ARABELLA ADVISORS LLC LLC IS 35% OWNED BY BRUCE BOYD (DIR) & ERIC KESSLER (FORMER PRES) SERVICES FOR MANAGEMENT AND OPERATIONS X 513391 513391 0 1 1 513391 ARABELLA ADVISORS LLC LLC IS 35% OWNED BY BRUCE BOYD (DIR) & ERIC KESSLER (FORMER PRES) 2474246 ARABELLA ADVISORS PROVIDED 1) STAFFING SUPPORT FOR SOME WINDWARD PROJECTS; 2) ADMINISTRATIVE SUPPORT FOR MANAGING THE ORGANIZATION; AND 3) SUPPLEMENTAL CONSULTING SUPPORT FOR SOME WINDWARD PROJECTS. 0 SCHEDULE L, PART II: THE AMOUNTS LISTED IN SCHEDULE L, PART II ARE NOT FORMAL LOANS, BUT RATHER LIABILITIES THAT ARISE IN THE ORDINARY COURSE OF BUSINESS FOR SERVICES PROVIDED BY ARABELLA ADVISORS TO WINDWARD FUND UNDER AN ADMINISTRATIVE SERVICES AGREEMENT. THE AGREEMENT IS NEGOTIATED AT ARM'S LENGTH AND IS REVIEWED AND APPROVED BY INDEPENDENT DIRECTORS OF WINDWARD'S BOARD. FORM 990, PART III, LINE 1: THE WINDWARD FUND SEEKS TO BUILD A MORE IMPACTFUL ENVIRONMENTAL MOVEMENT BY CONNECTING PEOPLE ACROSS DIVERSE GEOGRAPHIES, SECTORS, AND COMMUNITIES, ENABLING THEM TO SHARE EXPERTISE AND RESOURCES, AND PROVIDING FISCAL SPONSORSHIP AS A VEHICLE FOR EFFECTIVE, COMMUNITY-BASED, GRASSROOTS GRANT MAKING THAT ELEVATES THE VOICES OF THOSE IMPACTED BY ENVIRONMENTAL DEGRADATION. FORM 990, PART VI, SECTION A, LINE 2 BRUCE BOYD, WILBUR PRIESTER, AND ANDREW SCHULZ HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 3 WINDWARD FUND CONTRACTED WITH ARABELLA ADVISORS, A PROFESSIONAL SERVICES FIRM THAT SUPPORTS PHILANTHROPISTS, IMPACT INVESTORS, AND NONPROFIT ORGANIZATIONS, TO PROVIDE BUSINESS AND ADMINISTRATIVE SERVICES UNDER AN ADMINISTRATIVE AGREEMENT. IN THAT CAPACITY, ARABELLA SUPPLIES THE SYSTEMS AND SERVICES TO ENSURE COMPLIANCE WITH FEDERAL, STATE, AND LOCAL REGULATIONS RELATED TO CHARITABLE SOLICITATION AND PROVIDES HR, LEGAL, PAYROLL, AND OTHER ADMINISTRATIVE FUNCTIONS FOR WINDWARD FUND, THEREBY ENABLING WINDWARD FUND TO BETTER FURTHER ITS MISSION AND ACHIEVE IMPACT. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS PREPARED BY AN INDEPENDENT TAX ACCOUNTANT. A COMPLETE COPY OF THE FORM 990 IS THEN REVIEWED BY THE ORGANIZATION'S LEGAL COUNSEL AND BOARD OF DIRECTORS PRIOR TO FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C ALL BOARD MEMBERS ARE REQUIRED TO DISCLOSE CONFLICTS OF INTEREST. THE POLICY IS MONITORED AT THE BOARD LEVEL. COVERED INDIVIDUALS CANNOT VOTE ON MATTERS BEFORE THE BOARD WHEN THEY HAVE A CONFLICT IN THE MATTER. DISINTERESTED MEMBERS MUST DETERMINE WHETHER OR NOT THERE ARE ANY SUITABLE ALTERNATIVES TO POTENTIAL TRANSACTIONS THAT CAUSE CONFLICT. IF A COVERED PERSON IS FOUND IN VIOLATION OF THIS POLICY, IT MAY BE CAUSE FOR REMOVAL FROM THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 15 THE ORGANIZATION DID NOT DIRECTLY COMPENSATE ANY OFFICERS OR KEY EMPLOYEES. ACCORDINGLY, FORM 990, PART VI, SECTION B, LINES 15A AND 15B HAVE BEEN MARKED "NO", AS PROVIDED IN THE FORM 990 INSTRUCTIONS. FORM 990, PART VI, SECTION C, LINE 19 THE FUND MAKES ITS FORM 1023: APPLICATION FOR RECOGNITION OF EXEMPTION AVAILABLE FOR PUBLIC INSPECTIONS UPON REQUEST. THOSE MATERIALS INCLUDE THE FUND'S INITIAL GOVERNOR'S DOCUMENTS, CONFLICTS OF INTEREST POLICY, AND OTHER POLICIES. THE FUND DOES NOT MAKE FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. FORM 990, PART IX, LINE 11G OTHER FEES FOR SERVICES: PROGRAM SERVICE EXPENSES 971,338. MANAGEMENT AND GENERAL EXPENSES 370. FUNDRAISING EXPENSES 1,538. TOTAL EXPENSES 973,246. PROJECT MANAGEMENT FEES: PROGRAM SERVICE EXPENSES 4,816,154. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 4,816,154.