2019-06-29T14:45:45-05:00 2018-12-31 111986323 MARCUM LLP 1899 L STREET NW SUITE 850 WASHINGTON DC 20036 990 2018-01-01 510401308 OCEANA INC OCEA 2028333900 1025 CONNECTICUT AVENUE NW NO 200 WASHINGTON DC 20036 CHRISTOPHER M SHARKEY CHIEF FINANCIAL OFFICER 2028333900 2019-06-29 1 FRANK H SMITH P00639053 2022274000 2019-06-29 47.19.127.190 2019-06-29 14:45:35 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 6680F517A9379D01A5AB98078416092631D16800 2018 2019-02-21 02:37:17Z CHRISTOPHER M SHARKEY 1025 CONNECTICUT AVENUE NW NO 200 WASHINGTON DC 20036 52238730 0 X WWW.OCEANA.ORG X 2001 DC TO ADVOCATE FOR POLICY CHANGES BY GOVERNMENTS AND CORPORATIONS IN ORDER TO PRESERVE OCEAN LIFE AND RETURN THE OCEANS TO THEIR FORMER ABUNDANCE. 24 23 193 9741 21646 44254 48322208 51826346 0 10984 42130 23200 -84609 35947 48279729 51896477 5001904 1209271 0 0 18817597 21702291 227239 139937 3417184 13833841 15071196 37880581 38122695 10399148 13773782 41164515 56507862 3570601 5146300 37593914 51361562 X SEE SCHEDULE O. 1 0 11603739 904761 10984 INTERNATIONALBELIZETHROUGHOUT THE LAST YEAR, WE HAVE:CONTINUED TO GROW SUPPORT WITHIN THE BELIZEAN GOVERNMENT, THE FISHING COMMUNITY, AND THE TOURISM AND FOOD-SERVICE INDUSTRIES FOR A BAN ON GILLNETS IN BELIZE; 8922369 304310 UNITED STATESIN THE UNITED STATES, OCEANA IS WORKING ON SCIENCE-BASED POLICY CAMPAIGNS THAT ADDRESS RESPONSIBLE FISHING, CLIMATE AND ENERGY, SEAFOOD FRAUD AND DEFENDING THE NATION'S BEDROCK CONSERVATION LAWS.RESPONSIBLE FISHING:AFTER SEVERAL YEARS OF CAMPAIGNING BY OCEANA AND OUR ALLIES, WE WON A SIGNIFICANT VICTORY AGAINST DESTRUCTIVE FISHING: THE NETS KNOWN AS "WALLS OF DEATH" ARE COMING OUT OF THE WATER. IN SEPTEMBER 2018, CALIFORNIA GOVERNOR JERRY BROWN SIGNED INTO LAW A BILL THAT WILL CLEAN UP CALIFORNIA'S OCEAN. THE NEW LAW WILL PHASE OUT THE USE OF LARGE-MESH DRIFTNET FISHING FOR SWORDFISH, ESTABLISH A BUYOUT PROGRAM, AND INCENTIVIZE THE USE OF CLEAN SWORDFISH FISHING GEAR. DESPITE 30 YEARS OF MANAGEMENT MEASURES AIMED AT REDUCING BYCATCH, THE SWORDFISH DRIFT GILLNET FISHERY HAD STUBBORNLY REMAINED ONE OF THE NATION'S DIRTIEST FISHERIES. THIS HARD-WON VICTORY WILL HELP FURTHER CLEAN UP U.S. FISHERIES AND PROTECT INNUMERABLE MARINE MAMMALS, SEA TURTLES, AND SHARKS. AND THIS NEW POLICY REWARDS RESPONSIBLE FISHING, ENSURING THAT THESE MARINE ECOSYSTEMS CAN CONTINUE TO THRIVE UNTIL THE NEXT FISHING SEASON, THE NEXT YEAR, THE NEXT GENERATION, AND WELL INTO THE FUTURE.STOP EXPANDED OFFSHORE DRILLING:OCEANA HAS SUCCESSFULLY GENERATED OPPOSITION TO THIS PROPOSAL AMONG THE COASTAL BUSINESS COMMUNITY, CONSERVATION ORGANIZATIONS, AND INFLUENTIAL ELECTED OFFICIALS. DESPITE STRONG PRO-DRILLING ADVOCATES IN CONGRESS AND THE WHITE HOUSE, OUR CAMPAIGN HAS SUCCESSFULLY PREVENTED THE PASSAGE OF EVERY LEGISLATIVE PROPOSAL TO EXPAND OCEAN DRILLING. OCEANA PROVIDED LEGAL AND SCIENTIFIC SUPPORT AND ACTIVATED CHAMPION MEMBERS OF CONGRESS, GRASSROOTS ALLIES, AND COALITION PARTNERS TO COMMENT ON THE PROPOSAL. GOVERNORS FROM ALL 18 EAST AND WEST COAST STATES NOW FORMALLY AND PUBLICLY OPPOSE OFFSHORE DRILLING IN STARK CONTRAST TO THE SITUATION THAT PERSISTED LAST YEAR, WHEN THE OUTER CONTINENTAL SHELF GOVERNORS COALITION SERVED AS A MOUTHPIECE FOR OFFSHORE OIL AND GAS INTERESTS.IN 2018, WE GAINED MORE THAN 150 MUNICIPAL RESOLUTIONS OPPOSING OFFSHORE DRILLING AND/OR SEISMIC TESTING, TRIPLING OUR GOAL AND BRINGING THE NUMBER OF RESOLUTIONS TO 333. WE ALSO WORKED BEHIND THE SCENES AND WITH LOCAL PARTNERS TO LAUNCH TWO NEW BUSINESS GROUPS: THE BUSINESS ALLIANCE FOR PROTECTING THE PACIFIC COAST (BAPPC), REPRESENTING MORE THAN 1,100 BUSINESSES AND 750 WEST COAST FISHING FAMILIES, AND THE FLORIDA GULF COAST BUSINESS COALITION (FGCBC), REPRESENTING MORE THAN 2,000 BUSINESSES. THESE TWO COALITIONS PROVIDE A STRATEGIC AND POWERFUL VOICE AGAINST OFFSHORE DRILLING. IN NOVEMBER 2018, THE TRUMP ADMINISTRATION ISSUED AUTHORIZATIONS FOR FIVE COMPANIES TO HARM MARINE MAMMALS LIKE DOLPHINS AND WHALES WITH SEISMIC AIRGUN BLASTING IN THE ATLANTIC OCEAN. IN RESPONSE, OCEANA AND OUR PARTNERS SUED THE FEDERAL GOVERNMENT. THE LAWSUIT, FILED IN SOUTH CAROLINA, CLAIMS THAT THE GOVERNMENT VIOLATED THE MARINE MAMMAL PROTECTION ACT, THE ENDANGERED SPECIES ACT AND THE NATIONAL ENVIRONMENTAL POLICY ACT WHEN IT ISSUED THE AUTHORIZATIONS. SINCE THEN, TEN STATE ATTORNEYS GENERAL HAVE INTERVENED IN SUPPORT OF OUR SUIT.USING GFW DATA, OCEANA ANALYSTS BUILT AN INTERACTIVE MAP THAT ALLOWS US TO VIEW VESSELS ENGAGED IN SEISMIC EXPLORATION FOR OIL AND GAS IN US WATERS. OCEANA'S "WE'RE WATCHING" MAP DISPLAYS NEAR REAL-TIME ACTIVITY OF SEISMIC EXPLORATION VESSELS ASSOCIATED WITH COMPANIES SEEKING PERMITS IN THE ATLANTIC. WE MADE THIS PUBLIC ON THE OCEANA WEBSITE WHEN SEISMIC PERMITS WERE APPROVED BY PRESIDENT TRUMP.DEFENSE OF OCEAN PROTECTION LAWS:OCEANA HAS TAKEN THE LEAD IN A COALITION TO DEFEND THE MAGNUSON-STEVENS FISHERY CONSERVATION AND MANAGEMENT ACT (MSA). FOR A FULL YEAR, WE DELAYED A COMMITTEE VOTE ON A BILL THAT WOULD GUT THE MSA, AND THEN DELAYED THE FLOOR VOTE ANOTHER SIX MONTHS UNTIL JULY 2018. OCEANA ALSO CONTINUES TO CO-LEAD WITH NRDC THE COALITION OF NGOS DEFENDING THE MARINE MAMMAL PROTECTION ACT (MMPA). IN 2018, THE BIGGEST THREAT WAS THE "STREAMLINING ENVIRONMENTAL APPROVALS (SEA) ACT," WHICH IS THE OFFSHORE OIL AND GAS INDUSTRY'S WISH-LIST TO FACILITATE SEISMIC AIRGUN SURVEYS BY GUTTING CORE PROVISIONS OF THE MMPA. THANKS TO OUR WORK, THIS BILL REMAINS STALLED. 3571497 200 LAW -THE LEGAL DEPARTMENT SUPPORTS OCEANA'S CAMPAIGNS BY PROVIDING LEGAL ADVICE TO OCEANA'S STAFF, DRAFTING COMMENT LETTERS, BRINGING STRATEGIC LITIGATION, AND REVIEWING ADVOCACY MATERIALS. THE LEGAL DEPARTMENT ALSO PROVIDES SENIOR MANAGEMENT WITH EFFECTIVE ADVICE ON ORGANIZATIONAL STRATEGIES AND THEIR IMPLEMENTATION, ADVICE ON LEGAL COMPLIANCE AND LEGAL RISK, AND RETAINS OUTSIDE COUNSEL AND OVERSEES THEIR WORK.HIGHLIGHTS OF OUR 2018 WORK INCLUDE:UNITED STATES:-WITH THE ASSISTANCE OF PRO BONO ATTORNEYS, WE DEFENDED A PACIFIC RULE IMPOSING HARD BYCATCH CAPS ON DRIFT GILLNETS. AFTER THE TRUMP ADMINISTRATION TOOK POWER, THE GOVERNMENT REJECTED THE HARD CAPS RULE ALREADY APPROVED BY THE PACIFIC FISHERY MANAGEMENT COUNCIL. THE COURT HELD THAT THE GOVERNMENT COULD NOT DO THAT AND HAD TO GO BACK AND CONSULT WITH THE COUNCIL IF IT WANTED TO REVISE THE RULE.-WE DEFEATED QUOTAS THAT ALLOWED OVERFISHING FOR THE PACIFIC ANCHOVY, SECURING A COURT ORDER REQUIRING THE PACIFIC FISHERY MANAGEMENT COUNCIL TO ESTABLISH CATCH LIMITS BASED ON SCIENCE.-WE PROMOTED SCIENTIFIC MONITORING OF SEA TURTLE TAKES BY WINNING A RULING THAT THE FISHERIES SERVICE MUST DEVISE A RATIONAL METHOD FOR MONITORING SEA TURTLE INTERACTIONS WITH THE ATLANTIC SEA SCALLOP FISHERY BY THE END OF 2018.-WE SCORED A VICTORY FOR TRANSPARENCY WHEN A FEDERAL COURT ORDERED THE NATIONAL MARINE FISHERIES SERVICE TO DISCLOSE RECORDS CONCERNING ATLANTIC DUSKY SHARK BYCATCH. -WE FILED A CHALLENGE TO THE GOVERNMENT'S PERMITS AUTHORIZING SEISMIC EXPLORATION FOR OIL AND GAS IN THE ATLANTIC TO HARM MARINE MAMMALS, INCLUDING THE CRITICALLY ENDANGERED NORTH ATLANTIC RIGHT WHALE. -IN ADDITION, WE FULLY LITIGATED THREE ADDITIONAL CASES WHICH WERE NOT YET DECIDED. SPAIN:WE SUCCESSFULLY DEFENDED THE GOVERNMENT'S BOTTOM TRAWLING BAN IN THE SENSITIVE HABITAT OF THE MENORCA CHANNEL AND BALEARIC SEAMOUNTS.BRAZIL:WE SUPPORTED THE GOVERNMENT IN ITS DEFENSE OF THE RED LIST OF ENDANGERED SPECIES OF FISH AND AQUATIC INVERTEBRATES. OUR WORK WITH THE GOVERNMENT RESULTED IN ITS ISSUING FOUR ORDINANCES IMPLEMENTING RECOVERY MEASURES FOR ENDANGERED SPECIES.PHILIPPINES:WE FILED A CASE TO COMPEL THE GOVERNMENT TO ISSUE NEW SUSTAINABLE FISHERIES REGULATIONS.CHILE:WE DEFENDED THE GOVERNMENT'S ACTION REJECTING THE DOMINGA MINING AND PORT PROJECT TO BE SITED IN SENSITIVE HABITAT AND FILED SUIT SEEKING THE DISCLOSURE OF INFORMATION RELATED TO SALMON AQUACULTURE.CORPORATE COUNSEL:-REVIEWED AND REVISED OCEANA'S GLOBAL DATA PROTECTION SYSTEM (WITH INTER-OFFICE TEAM) AND BROUGHT IT INTO COMPLIANCE WITH NEWLY-EFFECTIVE EUROPEAN UNION STANDARDS.-PERFORMED LEGAL WORK FOR FORMAL COMBINATION WITH SAILORS FOR THE SEA. 1989984 COMMUNICATIONS 1820578 MARINE SCIENCE 3810562 27908167 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 1 1 1 0 1 1 0 0 1 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 1 1 0 0 0 1 X 60 0 1 193 1 1 1 1 BE BH CI SP UK DA RP BR PE MX 0 0 0 0 0 0 0 0 0 0 X 24 23 1 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 AK AL AR AZ CA CO CT DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV WY X X X JAMES F SIMON 2028333900 1025 CONNECTICUT AVENUE NW NO 200 WASHINGTON DC 20036 VALARIE VAN CLEAVE CHAIR 9.00 1.00 X X 0 0 0 TED DANSON VICE-CHAIR 7.00 X X 0 0 0 KEITH ADDIS PRESIDENT 6.00 1.00 X X 0 0 0 JAMES SANDLER SECRETARY 3.00 1.00 X X 0 0 0 DIANA THOMSON TREASURER 3.00 X X 0 0 0 GAZ ALAZRAKI DIRECTOR 2.00 X 0 0 0 MONIQUE BAR DIRECTOR 2.00 X 0 0 0 HERBERT M BEDOLFE III DIRECTOR 3.00 X 0 0 0 SYDNEY DAVIS DIRECTOR 2.00 X 0 0 0 CESAR GAVIRIA DIRECTOR 2.00 X 0 0 0 MARA EUGENIA GIRON DIRECTOR 2.00 1.00 X 0 0 0 LOIC GOUZER DIRECTOR 2.00 X 0 0 0 JENA KING DIRECTOR 2.00 X 0 0 0 SARA LOWELL DIRECTOR 2.00 X 0 0 0 STEPHEN P MCALLISTER DIRECTOR 2.00 X 0 0 0 DR KRISTIAN PARKER DIRECTOR 3.00 X 0 0 0 DR DANIEL PAULY DIRECTOR 2.00 X 0 0 0 SUSAN ROCKEFELLER DIRECTOR 6.00 X 0 0 0 DAVID ROCKEFELLER JR DIRECTOR 2.00 X 0 0 0 SIMON SIDAMON-ERISTOFF DIRECTOR 2.00 1.00 X 0 0 0 HEATHER STEVENS DIRECTOR 2.00 X 0 0 0 DR RASHID SUMAILA DIRECTOR 2.00 X 0 0 0 SAM WATERSTON DIRECTOR 2.00 X 0 0 0 JEAN WEISS DIRECTOR 2.00 X 0 0 0 ANDREW F SHARPLESS CHIEF EXECUTIVE OFFICER 40.00 1.00 X 405096 0 42358 JAMES F SIMON PRESIDENT & GENERAL COUNSEL 40.00 1.00 X 314405 0 45595 CHRISTOPHER M SHARKEY CHIEF FINANCIAL OFFICER 40.00 1.00 X 242057 0 36921 MICHAEL F HIRSHFIELD CHIEF SCIENTIST & STRATEGY OFFICER 40.00 X 270111 0 31686 JACQUELINE SAVITZ SVP, UNITED STATES 40.00 X 241845 0 32563 LARS GUSTAVSSON SVP, EUROPE 40.00 X 221293 0 0 MATTHEW M LITTLEJOHN SVP, STRATEGIC MKTG & COMMUNICATIONS 40.00 X 218986 0 34561 NANCY GOLDEN VICE PRESIDENT OF DEVELOPMENT 40.00 X 208264 0 28484 SUSAN MURRAY DEPUTY VP, PACIFIC 40.00 X 164501 0 24059 ERIC BILSKY SENIOR ATTORNEY & ASSISTANT GENERAL COUNSEL 40.00 X 161512 0 24556 ADEMILSON ZAMBONI VP, BRAZIL 40.00 X 120787 0 0 PATRICIA MAJULF VP, PERU 40.00 X 120500 0 0 2689357 0 300783 12 0 1 0 M&R STRATEGIC SERVICES INC 1901 L ST NW SUITE 800 WASHINGTON DC 20036 FUNDRAISING AND ADVERTISING 744028 WASHINGTON GROUP SOLUTIONS 101 W BROAD STREET SUITE 200 FALLS CHURCH VA 22046 MOVING AND ARCHITECTURE 512712 HYATT CHES BAY GOLF RESORT SPA AND MARI 100 HERON BLVD CAMBRIDGE MD 21613 CATERING SERVICES 464048 OGLETREE DEAKINS PC PO BOX 89 COLUMBIA SC 29202 LEGAL COUNSEL 393783 NORTHEAST SERIES OF LOCKTON COMPANIES L PO BOX 417484 BOSTON MA 02241 INSURANCE BROKER/COMMISSIONS 335468 11 84246 3515465 14309 48212326 880918 51826346 CONSULTING 900099 10984 10984 10984 29082 29082 5000 5000 52240 58122 -5882 -5882 -5882 190278 3515465 284131 -93853 -93853 FOREIGN CURRENCY GAIN 900099 98000 98000 WEB ADVERTISING 900004 21646 21646 MISCELLANEOUS 900099 5154 5154 124800 51896477 10984 21646 37501 652692 652692 556579 556579 2137477 1532567 527280 77630 15432798 12122528 2531053 779217 967004 647354 242347 77303 1367679 926128 342599 98952 1797333 1524745 212674 59914 665186 530712 116859 17615 257026 205066 45154 6806 139937 139937 3233044 2691099 452627 89318 1897204 709866 21030 1166308 2067857 1537713 154145 375999 1783531 1319866 373843 89822 2094997 1734615 254823 105559 1184559 566381 337525 280653 875 875 556742 142663 414079 358047 264600 84226 9221 LOSS ON DISPOSAL 505436 505436 DUES AND SUBSCRIPTIONS 352380 176497 157677 18206 EQUIPMENT RENTAL/MAINT. 67557 48971 12346 6240 TAXES AND FEES 34814 11889 4867 18058 11941 5636 5879 426 38122695 27908167 6797344 3417184 18780294 19861706 4801300 5158679 14601805 25704582 265768 69229 8456 8844 29977 42256 7132988 3057285 1607235 4075703 11123 45021 793850 1298598 264707 243244 41164515 56507862 3396726 2240494 50000 5000 123875 2900806 3570601 5146300 X 13369819 11200257 24224095 40161305 37593914 51361562 41164515 56507862 13773782 -6134 0 X 0 1 X 1 0 X 21110289 18802188 24887791 48322208 51826346 164948822 21110289 18802188 24887791 48322208 51826346 164948822 54481132 110467690 87084 45208 19769 16973 34082 203116 24773 17452 566 5154 47945 165199883 863304 0.66870 0.71330 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2014 AMOUNT: $ 24,773. 2015 AMOUNT: $ 17,452. 2016 AMOUNT: $ 566. 2017 AMOUNT: $ 0. 2018 AMOUNT: $ 5,154. 181155 211911 393066 37584528 37977594 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 281792 190211 271436 393066 1136505 250000 250000 250000 250000 1000000 1500000 62815 74264 130278 181155 448512 2794272 277794 2516478 2653942 1167087 1486855 1684774 1612404 72370 4075703 DEFERRED RENT AND LEASE INCENTIVE 2900806 2900806 X PART X, LINE 2: THE ORGANIZATION PERFORMED AN EVALUATION OF UNCERTAINTY IN INCOME TAXES FOR THE YEAR ENDED DECEMBER 31, 2018, 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. 1 CENTRAL AMERICA AND THE CARIBBEAN 1 13 PROGRAM SERVICES 636906 SOUTH ASIA 1 16 PROGRAM SERVICES 1496375 SOUTH AMERICA 3 38 PROGRAM SERVICES 4918449 NORTH AMERICA 3 16 PROGRAM SERVICES 527721 EUROPE (INCLUDING ICELAND & GREENLAND) 5 40 PROGRAM SERVICES 4630233 SOUTH AMERICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION 5345 NORTH AMERICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION 536234 EAST ASIA AND THE PACIFIC 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION 15000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 FUNDRAISING 549419 13 123 0 0 13 123 12766263 549419 13315682 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES TO SUPPORT OCEANA CANADA'S MISSION TO RESTORE CANADIAN OCEANS. 536234 WIRE AND IN-KIND CONTRIBUTIONS EAST ASIA AND THE PACIFIC TO SUPPORT AN INVESTIGATION INTO SEAFOOD FRAUD IN JAPAN. 15000 CHECK SOUTH AMERICA DONATION TO APPAECSC (THE FISHERMEN ASSOCIATION) WITH A PURPOSE OF OCEAN CONSERVATION AND MARINE ENVIRONMENT; AND PURCHASE OF TRACKERS FOR FISHING VESSELS. 0 5345 DONATION OF 32 TRACKERS FOR FISHING VESSELS COST 2 1 0 0 0 0 0 1 PART I, LINE 2: OCEANA INFREQUENTLY MAKES GRANTS TO FOREIGN ORGANIZATIONS OR INDIVIDUALS. HOWEVER, ON OCCASION OCEANA WILL MAKE A GRANT IN FURTHERANCE OF ITS MISSION. IN DOING SO, OCEANA MONITORS THE USE OF THE GRANT IN A MANNER APPROPRIATE UNDER THE CIRCUMSTANCES, INCLUDING THE NATURE OF THE GRANTEE AND THE PURPOSE OF THE GRANT. PART I, LINE 3: OCEANA REPORTED THE EXPENDITURES BASED ON THE ACCOUNTING METHOD USED IN ITS AUDITED FINANCIAL STATEMENTS WHICH IS ON AN ACCRUAL BASIS. X X X X X X 1 M R STRATEGIC SERVICES INC 1901 L STREET NW SUITE 800 WASHINGTON DC 20036 FUNDRAISING COUNSEL 0 658355 109212 568155 THE HOLMAN GROUP LLC 1854 NORTH DOHENY DRIVE WEST HOLLYWOOD CA 90069 FUNDRAISING COUNSEL 0 135566 16100 119466 CHARITY BUZZ 437 FIFTH AVENUE 11TH FLOOR NEW YORK NY 10016 PROFESSIONAL SOLICITOR/FUNDRAISER 1 75000 14625 60375 868921 139937 747996 AL AK AZ AR CA CO CT DE FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VA WA WV WI WY DC SEACHANGE 1320871 1236216 84655 73048 52850 12229 NEW YORK CITY BENEFIT 1280212 1221464 58748 86025 1509 11425 1 1104660 1057785 46875 47045 3705743 3515465 190278 86025 121602 64275 12229 284131 -93853 PART I, LINE 2B, COLUMN III CHARITY BUZZ COLLECTED AND PROCESSED THE WINNING AUCTION BID PAYMENTS FOR OCEANA'S FUNDRAISING EVENT, SEACHANGE. PART I, LINE 2B, COLUMN (V) DURING THE YEAR ENDED DECEMBER 31, 2018 M&R STRATEGIC SERVICES, INC. WAS COMPENSATED A TOTAL OF $744,028. OF THIS AMOUNT, $109,212 WAS RELATED TO PROFESSIONAL FUNDRAISING CONSULTING. M&R STRATEGIC SERVICES, INC. ALSO PROVIDED DIGITAL ADVERTISING AND AD BUYING. 1 GLOBAL FISHING WATCH INC 1025 CONNECTICUT AVENUE NW 200 WASHINGTON DC 20036 815461345 501(C)(3) 607692 TO OPERATE AND FURTHER DEVELOP THE GLOBAL FISHING WATCH WEB PLATFORM. SURF INDUSTRY MANUFACTURERS ASSOCIATION (SIMA) 8 ARGONAUT SUITE 170 ALISO VIEJO CA 92656 330385201 501(C)(6) 30000 TO HELP LOCAL ECOLOGICAL AND ENVIRONMENTAL ORGANIZATIONS WHOSE EFFORTS ARE FOCUSED ON ENHANCING THE OCEANIC ENVIRONMENT. LEAGUE OF CONSERVATION VOTERS EDUCATION FUND 740 15TH STREET NW 7TH FLOOR WASHINGTON DC 20005 521379661 501(C)(3) 10000 SILVER SPONSORSHIP FOR LCV DINNER ON OCTOBER 2, 2018 2 1 PART I, LINE 2: OCEANA INFREQUENTLY MAKES GRANTS TO ORGANIZATIONS OR INDIVIDUALS. HOWEVER, ON OCCASION OCEANA WILL MAKE A GRANT IN FURTHERANCE OF ITS MISSION. IN DOING SO, OCEANA MONITORS THE USE OF THE GRANT IN A MANNER APPROPRIATE UNDER THE CIRCUMSTANCES, INCLUDING THE NATURE OF THE GRANTEE AND THE PURPOSE OF THE GRANT. X X X X 0 0 0 0 0 0 0 0 0 ANDREW F SHARPLESS CHIEF EXECUTIVE OFFICER 405096 0 0 0 0 0 32578 0 9780 0 447454 0 0 0 JAMES F SIMON PRESIDENT & GENERAL COUNSEL 314405 0 0 0 0 0 32624 0 12971 0 360000 0 0 0 CHRISTOPHER M SHARKEY CHIEF FINANCIAL OFFICER 242057 0 0 0 0 0 28750 0 8171 0 278978 0 0 0 MICHAEL F HIRSHFIELD CHIEF SCIENTIST & STRATEGY OFFICER 270111 0 0 0 0 0 27225 0 4461 0 301797 0 0 0 JACQUELINE SAVITZ SVP, UNITED STATES 241845 0 0 0 0 0 27080 0 5483 0 274408 0 0 0 LARS GUSTAVSSON SVP, EUROPE 221293 0 0 0 0 0 0 0 0 0 221293 0 0 0 MATTHEW M LITTLEJOHN SVP, STRATEGIC MKTG & COMMUNICATIONS 218986 0 0 0 0 0 27000 0 7561 0 253547 0 0 0 NANCY GOLDEN VICE PRESIDENT OF DEVELOPMENT 208264 0 0 0 0 0 25200 0 3284 0 236748 0 0 0 SUSAN MURRAY DEPUTY VP, PACIFIC 164501 0 0 0 0 0 18457 0 5602 0 188560 0 0 0 ERIC BILSKY SENIOR ATTORNEY & ASSISTANT GENERAL 161512 0 0 0 0 0 19782 0 4774 0 186068 0 0 0 SARAH BEDOLFE SARAH IS THE DAUGHTER OF BOARD DIRECTOR, HERBERT M. BEDOLFE, III 51606 SARAH BEDOLFE IS AN EMPLOYEE OF OCEANA AND HER TOTAL COMPENSATION PAID FOR THE YEAR ENDED DECEMBER 31, 2018 WAS $51,606. 0 X 8 252040 FAIR MARKET VALUE X 1316 109472 FAIR MARKET VALUE X 1 519406 FAIR MARKET VALUE 0 1 1 PART I, COLUMN (B): OCEANA REPORTS THE NUMBER OF ITEMS CONTRIBUTED IN PART I, COLUMN (B). PART I, LINE 32B: CHARITY BUZZ PROMOTED, COLLECTED, AND PROCESSED NON-CASH DONATIONS RELATED TO OCEANA'S FUNDRAISING EVENTS. FORM 990, PART III, LINE I, DESCRIPTION OF ORGANIZATION'S MISSION: OCEANA WAS FOUNDED IN 2001 BY AN INTERNATIONAL GROUP OF FOUNDATIONS. DESPITE REPEATED SCIENTIFIC REPORTS OF WIDESPREAD FISHERY COLLAPSE CAUSED BY OVERFISHING AND POLLUTION, THE FOUNDERS DISCOVERED THAT LEADING ENVIRONMENTAL FOUNDATIONS SPENT LESS THAN HALF OF ONE PERCENT OF THEIR RESOURCES ON OCEAN CONSERVATION. HEALTHY OCEANS CONTRIBUTE SIGNIFICANTLY TO FEEDING A GROWING WORLD POPULATION, YET NO INTERNATIONAL ORGANIZATION WAS WORKING EXCLUSIVELY TO PROTECT AND RESTORE ABUNDANT OCEAN FISHERIES. OCEANA'S FOUNDERS ENVISIONED AN ORGANIZATION DEDICATED SOLELY TO ACHIEVING SIGNIFICANT IMPROVEMENTS IN OCEAN MANAGEMENT THROUGH A SCIENCE-BASED APPROACH, USING CAREFULLY CHOSEN NATIONAL CAMPAIGNS WITH FIXED DEADLINES AND MEASURABLE GOALS. TODAY, OCEANA HAS GROWN FROM AN AMBITIOUS START-UP TO AN INTERNATIONAL ORGANIZATION WITH A RECORD OF RESULTS ON FOUR CONTINENTS. TOGETHER WITH OUR ALLIES, WE HAVE WON NEARLY 200 SIGNIFICANT POLICY VICTORIES AND PROTECTED ALMOST 9.1 MILLION SQUARE KILOMETERS OF OCEANS. OCEANA SUPPORTS SCIENCE-DRIVEN OCEAN MANAGEMENT IN THE MOST PRODUCTIVE PARTS OF THE WORLD'S OCEANS. TODAY, OCEANA TEAMS ARE WORKING IN COUNTRIES WHICH CONTROL ABOUT A THIRD OF THE WORLD'S WILD OCEAN FISHERIES (BY WEIGHT): THE UNITED STATES, THE EUROPEAN UNION, BELIZE, BRAZIL, CANADA, CHILE, MEXICO, PERU AND THE PHILIPPINES. OCEANA'S CAMPAIGNS CARRY OUT FOUR KEY STRATEGIES: STOP OVERFISHING THROUGH SCIENCE-BASED FISHERY MANAGEMENT, AND BY DETERRING ILLEGAL FISHING; REDUCE BYCATCH, OR THE UNINTENDED CATCH OF FISH AND MARINE ANIMALS; PROTECT HABITAT AND THE ECOSYSTEMS THAT DEPEND ON THEIR HEALTH, AND CURB POLLUTION, BY STOPPING THE EXPANSION OF OFFSHORE OIL DRILLING AND REDUCING THE PRODUCTION OF SINGLE-USE PLASTICS. OCEANA'S CAMPAIGNS HAVE DEMONSTRATED THE EFFECTIVENESS OF THESE STRATEGIES FOR RESTORING OCEANS. WITH SOUND POLICIES IN PLACE, OCEAN ECOSYSTEMS RECOVER, OFTEN RAPIDLY, AND ABUNDANT FISHERIES RETURN, EVEN EXCEEDING FORMER LEVELS. A FULLY PRODUCTIVE OCEAN CAN PROVIDE A MEAL A DAY FOR A BILLION PEOPLE, FOREVER. OCEANA IS WORKING WITH COUNTRIES TO PROVIDE THIS BOUNTY TO THEIR CITIZENS. TOGETHER WITH OUR ALLIES, WE ARE SAVING THE OCEANS TO FEED THE WORLD. FORM 990, PART III, LINE 2 THE OCEANA BOARD OF DIRECTORS VOTED TO COLLABORATE WITH SAILORS FOR THE SEA (SFS), A 501(C)(3) ORGANIZATION, WITH THE INTENTION OF MERGING PROGRAMMATIC ACTIVITIES. SFS INTENDS TO CEASE OPERATIONS DURING THE SUMMER OF 2019. DURING THE YEAR ENDED DECEMBER 31, 2018, OCEANA FULLY ASSUMED THE PROGRAMMATIC ACTIVITIES OF SFS. FORM 990, PART III, LINE 4A, PROGRAM SERVICE ACCOMPLISHMENTS, CON'T: SECURED PUBLIC SUPPORT FOR A GILLNET BAN FROM THE RECENTLY-ESTABLISHED NATIONAL SPORTS FISHERS ASSOCIATION AND THE COASTAL ZONE MANAGEMENT AUTHORITY, THE LEADING MARINE SCIENTIFIC RESEARCH ORGANIZATION IN BELIZE; DESIGNED AND IMPLEMENTED A NATIONAL MEDIA TOUR THAT PUTS FORMER GILLNETTERS, SPORTS FISHERS AND COMMERCIAL FISHERS FRONT AND CENTER TO ENSURE THAT THEIR VOICES ARE HEARD ON POLICY MATTERS THAT IMPACT BELIZE'S FISHERIES; CONTINUED TO UTILIZE BROADCAST MEDIA, SPECIFICALLY TELEVISION AND RADIO TO BUILD VISIBILITY AND SUPPORT FOR THE CAMPAIGN, VIA STRATEGICALLY PLACED ADVERTISEMENTS, PRESS RELEASES AND MEDIA INTERVIEWS, AS WELL AS APPEARANCES ON LOCAL MORNING TALK SHOWS; FORMALIZED A MEMORANDUM OF UNDERSTANDING WITH THE BELIZE FEDERATION OF FISHERS THAT WILL SEE A MORE COORDINATED EFFORT AT ADVOCATING FOR A PHASE-OUT/BAN OF GILLNETS, INCLUSIVE OF A STRATEGIC MEDIA AND PUBLIC RELATIONS CAMPAIGN; HELPED FORM THE COALITION FOR SUSTAINABLE FISHERIES, WHICH ALSO INCLUDES THE BELIZE FEDERATION OF FISHERS, MAR ALLIANCE, THE TURNEFFE ATOLL TRUST AND THE TURNEFFE SPORTS FISHERS ASSOCIATION; AND SUCCESSFULLY DEFENDED THE INDEFINITE MORATORIUM ON OFFSHORE OIL EXPLORATION IN BELIZE. CLEAN ENERGY CAMPAIGN: WE HOSTED AN AWARD CEREMONY IN JUNE 2018 TO PROMOTE THE OFFSHORE OIL MORATORIUM AND TO HONOR PRIME MINISTER DEAN BARROW FOR HIS DECISION TO BAN OFFSHORE OIL DRILLING IN BELIZE. AT THE EVENT, THE PRIME MINISTER HIGHLIGHTED OCEANA'S KEY ROLE IN ACHIEVING THIS BAN AND IN "PUSHING LEADERS TO GO FURTHER" THAN THEY WOULD HAVE EVER CONTEMPLATED. THE OFFSHORE OIL MORATORIUM WAS ALSO A KEY FACTOR IN THE DECISION BY THE UNITED NATION'S EDUCATIONAL, SCIENTIFIC AND CULTURAL ORGANIZATION (UNESCO) WORLD HERITAGE CENTER TO ACKNOWLEDGE BELIZE'S STEPS TOWARDS MEANINGFUL STEWARDSHIP AND SAFEGUARDING OF ITS WORLD HERITAGE SITE STATUS. AT ITS MEETING IN LATE JUNE, UNESCO ANNOUNCED THAT BELIZE IS NO LONGER ON THE SITES IN DANGER LIST. REDUCE SINGLE USE PLASTICS: THE COUNTRY IS ON TRACK TO BAN SINGLE-USE PLASTICS BY THE APRIL 2019 DEADLINE. OCEANA IS CO-CHAIR OF THE COMMUNICATIONS AND PUBLIC AWARENESS WORKING GROUP FOR THIS EFFORT AND IS SUPPORTING THE GOVERNMENT IN THE DESIGN AND IMPLEMENTATION OF A COMMUNICATIONS PLAN TO MAINTAIN AND INCREASE THE PUBLIC'S SUPPORT FOR THE BAN OF SINGLE USE, DISPOSABLE PLASTIC AND STYROFOAM PRODUCTS WITHIN THE FOOD SECTOR. WE ARE ALSO CHAMPIONING THE FOOD VENDORS WHO ARE MAKING THE TRANSITION TO ENVIRONMENTALLY FRIENDLY ALTERNATIVES AND PRACTICES. BRAZIL: SCIENCE-BASED RECOVERY PLANS THE GOVERNMENT PUBLISHED FOUR RECOVERY PLANS FOR DEPLETED COMMERCIAL FISH SPECIES IN JULY 2018, ALL DUE TO OCEANA'S DIRECT PARTICIPATION. WE THEREFORE DECLARED VICTORY IN OUR SCIENCE-BASED RECOVERY PLANS CAMPAIGN ON JULY 30TH, ACHIEVING THE 2019 GOAL ONE YEAR EARLY. IN JULY, FOUR RECOVERY PLANS TO REGULATE FISHERIES AFFECTING FIVE RED-LISTED SPECIES WERE ADOPTED: THE DUSKY GROUPER (EPINEPHELUS MARGINATUS), THE SOUTHERN RED SNAPPER (LUTJANUS PURPUREUS), THE SNOWY GROUPER (HYPORTHODUS NIVEATUS), THE TILEFISH (LOPHOLATILUS VILLARI) AND THE GILLBACKER SEA CATFISH (SCIADES PARKERI). THIS CAMPAIGN VICTORY WILL RESULT IN A REAL CHANGE FOR THESE SPECIES IN BRAZIL, FINALLY ALLOWING POPULATIONS TO RECOVER. MORE THAN THAT, ACHIEVING THIS GOAL MARKS AN IMPORTANT POLITICAL GAIN FOR OCEANA IN BRAZIL, DEMONSTRATING THAT WE ARE AN ORGANIZATION THAT MAKES REAL CHANGES TO PROTECT MARINE ECOSYSTEMS AND GUARANTEE SUSTAINABLE FISHERIES. TRANSPARENCY AND SCIENCE-BASED DECISIONS ON FISHERIES: OCEANS SEEKS TO RESTORE THE SCIENTIFIC BASIS FOR FISHERIES MANAGEMENT DECISIONS, INCLUDING REINSTATING LANDINGS MONITORING FOR AT LEAST ONE STATE OR FISHERY AND NATIONAL LOGBOOK AND OBSERVER PROGRAMS BY 2020. IN 2018, WE GOT THE TAINHA FISHING SECTOR IN PATOS LAGOON ESTUARY, RIO GRANDE DO SUL STATE, TO VOLUNTARILY REPORT THEIR LANDINGS FOR THE FIRST TIME. PROTECT TAINHA CAMPAIGN: OCEANA WON A HUGE VICTORY FOR THE PROTECT TAINHA CAMPAIGN ON MAY 16TH WHEN THE SPECIAL SECRETARIAT OF FISHING AND MINISTRY OF ENVIRONMENT PUBLISHED THE MANAGEMENT RULES AND QUOTA ADOPTION FOR THE 2018 SEASON. THIS VICTORY WAS AN IMPORTANT STEP FORWARD FOR OCEANA IN BRAZIL, STRENGTHENING OUR PUBLIC IMAGE AS A SCIENCE-BASED ORGANIZATION THAT PROPOSES FEASIBLE MEASURES FOR FISHERIES MANAGEMENT. IT ALSO ESTABLISHES A PRECEDENT TO GET THE GOVERNMENT TO ADOPT CATCH LIMITS FOR OTHER IMPORTANT SPECIES. THE BRAZILIAN MINISTRY OF THE ENVIRONMENT, FOR EXAMPLE, HAS ALREADY SOUGHT OCEANA'S SUPPORT TO DISCUSS CATCH LIMITS AND MONITORING MEASURES FOR OTHER FISHERIES. PROTECT VULNERABLE HABITATS AND SPECIES FROM BOTTOM TRAWLING: ON SEPTEMBER 5TH, THE GOVERNOR OF RIO GRANDE DO SUL SIGNED THE LAW BANNING BOTTOM TRAWLING FROM THE STATE TERRITORIAL SEA. THE LAW PROPOSED BY FISHERS AND OCEANA NOW PROTECTS A 12 NAUTICAL MILE WIDE STRIP ALONG THE STATE'S COASTLINE, WHERE 11 PERCENT OF ALL BRAZILIAN TRAWLING ACTIVITY TAKES PLACE. ROUGHLY 30 PERCENT OF THE RED LISTED ENDANGERED SPECIES OCCUR WITHIN THE NOW-PROTECTED 13,300 KM2 AREA. OCEANA PROVIDED SCIENTIFIC INFORMATION, LEGAL SUPPORT, AND PRESS COVERAGE. BECAUSE OF THIS PROTECTION, SCIENTISTS FORESEE AN INCREASE IN THE YIELDS OF COMMERCIAL FISHERIES IN RIO GRANDE DO SUL (WHICH PRODUCES 15 PERCENT OF THE FISH LANDED IN THE NATION), SINCE THE PROTECTION COVERS THE RANGE OF SEVERAL SPECIES AND THEIR REPRODUCTIVE HABITATS. OCEANA CANADA: IN 2018, OCEANA INC. PROVIDED CHARITABLE CONTRIBUTIONS AND IN-KIND SUPPORT TO OCEANA CANADA, AN INDEPENDENT NONPROFIT ORGANIZATION INCORPORATED UNDER CANADIAN LAW. WITH OUR SUPPORT, OCEANA CANADA ACHIEVED THE FOLLOWING VICTORIES: INCREASE GOVERNMENT TRANSPARENCY: OCEANA WORKED WITH GLOBAL FISHING WATCH TO SECURE A FORMAL STATEMENT OF SUPPORT FROM THE CANADIAN GOVERNMENT. AT THE SEPTEMBER G7 MINISTERIAL MEETINGS HELD IN HALIFAX FISHERIES MINISTER JONATHAN WILKINSON AND ENVIRONMENT MINISTER CATHERINE MCKENNA ANNOUNCED A COMMITMENT OF $11 MILLION CDN TO COMBAT IUU FISHING AND FORMALLY RECOGNIZED GLOBAL FISHING WATCH. REBUILD CANADA'S FISHERIES: THE BRITISH COLUMBIAN FJORDS WERE THE SITE OF A HIGHLY-SUCCESSFUL OCEANA-LED EXPEDITION FROM MARCH 7-14. ACCOMPANIED BY ALEXANDRA COUSTEAU, THE EXPEDITION PARTNERED WITH THE HEILTSUK AND KITASOO/XAI'XAIS FIRST NATIONS, THE CANADIAN DEPARTMENT OF FISHERIES AND OCEANS, AND OTHER RESPECTED RESEARCH PARTNERS. THE FJORDS WERE TARGETED BECAUSE OF THEIR HIGH CONSERVATION VALUE FOR DEPLETED FISH POPULATIONS, AND STRONG FIRST NATIONS SUPPORT FOR PROTECTION. ON JUNE 20, 2018 BILL C-68 (AMENDMENTS TO THE FISHERIES ACT), WAS PASSED BY THE HOUSE OF COMMONS AND INTRODUCED INTO THE SENATE. FOR THE FIRST TIME SINCE THE ACT WAS CREATED 150 YEARS AGO, BILL C-68 REQUIRES THE MINISTER TO MANAGE STOCKS "SUSTAINABLY AND REQUIRES REBUILDING PLANS FOR DEPLETED STOCKS IN THE CRITICAL ZONE. TOGETHER, THESE REQUIREMENTS SET THE EXPECTATION THAT STOCKS WILL BE MANAGED TO HEALTHY LEVELS AND WILL BE RETURNED TO A HEALTHY STATE IF THEY ARE DEPLETED. STOP SEAFOOD FRAUD IN CANADA: BUILDING ON OUR SUCCESS IN FOCUSING PUBLIC ATTENTION ON THE PREVALENCE OF SEAFOOD FRAUD AND MISLABELING, WE COMPLETED SEAFOOD FRAUD TESTING IN VANCOUVER AND VICTORIA, BRITISH COLUMBIA, AND FOUND THAT 30 PERCENT OF SAMPLES WERE MISLABELLED. IN TORONTO, WE FOUND AN ASTOUNDING 58 PERCENT OF SAMPLES WERE MISLABELLED. FORM 990, PART III, LINE 4A, PROGRAM SERVICE ACCOMPLISHMENTS, CON'T: CHILE HABITAT PROTECTION: THE NEW MINISTER OF FOREIGN AFFAIRS PUBLICLY ANNOUNCED THAT THE PINERA ADMINISTRATION WILL CARRY THROUGH ON BANNING BOTTOM TRAWLING IN 98 PERCENT OF CHILE'S WATERS. IN 2017, WE ANNOUNCED THIS VICTORY DURING FORMER PRESIDENT BACHELET'S ADMINISTRATION. HOWEVER, THE OFFICIAL RESOLUTION WAS NEVER PUBLISHED, AND THE NEW PINERA ADMINISTRATION DECIDED TO REVIEW ALL RESOLUTIONS ENACTED IN THE LAST MONTH OF THE FORMER GOVERNMENT. THUS, OCEANA STARTED OVER WITH A FOCUS ON EDUCATING PINERA'S FISHERIES UNDERSECRETARY. OUR PERSISTENCE PAID OFF AND, AFTER MANY MEETINGS, HE ASSURED US HE WOULD BE (RE)PUBLISHING THE MEASURE. THIS COMMITMENT WAS MADE PUBLIC WHEN IT WAS ANNOUNCED BY MINISTER OF FOREIGN AFFAIRS, ROBERTO AMPUERO AT THE OUR OCEANS CONFERENCE 2018. IN ADDITION, THE FISHERIES UNDERSECRETARY HAS STATED THAT THE PINERA GOVERNMENT WILL GO EVEN FURTHER THAN THE 98 PERCENT AND WILL CONTINUE REDUCTION OF BOTTOM TRAWLING UNTIL IT IS 100 PERCENT BANNED. THE FINAL DECREES FOR THE CREATION OF THE JUAN FERNANDEZ MPA AND THE TORTEL MPA WERE ISSUED WITHOUT CHANGES IN OCTOBER AND ARE NOW LAW. WE CONTINUE TO PUSH THE GOVERNMENT TO ALLOCATE A BUDGET TO OVERSEE THE MPAS AND TO DEVELOP MANAGEMENT PLANS FOR MPAS AND PROTECTED AREAS, WHICH COVER 44 PERCENT OF CHILE'S EEZ. FISHERIES MANAGEMENT: OCEANA IS SEEKING TO IMPROVE FISHERIES MANAGEMENT IN CHILE WITH A FOCUS ON THE RECOVERY OF THE COMMON HAKE, JACK MACKEREL AND ANCHOVETA FISHERIES, AND CONTROLLING ILLEGAL, UNREPORTED, AND UNREGULATED FISHING. FOLLOWING YEARS OF STRONG ADVOCACY AND IRREFUTABLE SCIENCE, TWO CRUCIAL FISHERIES HAVE OBTAINED SUSTAINABLE STATUS. TRANSPARENCY: OCEANA'S ADVOCACY PERSUADED CONGRESS TO PASS A LAW COMBATTING ILLEGAL FISHING AND STRENGTHENING FISHERIES TRANSPARENCY. OUR CAMPAIGN BEGAN IN 2015 WHEN WE RECOGNIZED THAT AN UNINTENDED CONSEQUENCE OF STRONGER FISHING QUOTAS WAS AN INCREASE IN UNDERREPORTING AND ILLEGAL FISHING. THIS SURGE IN IUU WAS OF CONCERN TO THE GOVERNMENT MONITORING AGENCY AND TOGETHER WE CREATED A PLAN TO COMBAT IUU FISHING. THE RESULT IS LEGISLATION APPROVED UNANIMOUSLY BY A JOINT COMMITTEE OF BOTH LEGISLATIVE HOUSES THAT: -REQUIRES TRACEABILITY FOR ALL FISHERIES FROM THE BOAT TO THE PLATE TO COMBAT ILLEGAL FISHING FOR THE ARTISANAL FLEET AND UNDERREPORTING OF THE INDUSTRIAL FLEET; -MAKES ILLEGAL FISHING A FELONY; -PROVIDES FOR CONFISCATION AND FORFEITURE OF ASSETS USED IN ILLEGAL FISHING (E.G., TRUCKS INVOLVED IN THE TRANSPORT OF ILLEGALLY-CAUGHT FISH); -EXTENDS CRIMINAL LIABILITY TO MIDDLEMEN IN THE ILLEGAL SUPPLY CHAIN; -REQUIRES THAT VMS DATA BE PUBLIC AND THAT IT BE INCLUDED IN GLOBAL FISHING WATCH; -SPECIFIES THAT VMS EVIDENCE IS SUFFICIENT TO PROVE ILLEGAL FISHING; AND -STRENGTHENS THE FISHERIES MONITORING AGENCY BY ADDING MORE PUBLIC FINANCIAL RESOURCES THAT WOULD ALLOW INCREASING THE STAFF BY THREE-FOLD. OCEANA'S ADVOCACY WAS ESPECIALLY IMPORTANT WHEN THE DIRECTOR OF THE FISHERIES MONITORING AGENCY WAS REMOVED IN EARLY APRIL AND NO ONE FROM GOVERNMENT SEEMED TO BE PUSHING FOR THE BILL'S APPROVAL. WE ALSO MADE THIS THE MOST IMPORTANT TOPIC FOR THE NEW FISHERIES UNDERSECRETARY AND MET WITH HIM ON MANY OCCASIONS. OCEANA PUSHED, AMONG OTHER THINGS, FOR A FIRST-IN-THE-WORLD PROVISION MANDATING THAT THE FISHERIES SERVICE PUBLISH MONTHLY THE VMS OF EACH VESSEL LOCATED IN THE CHILEAN EEZ IN OTHER WORDS, PERMANENT VMS TRANSPARENCY. WE ALSO GENERATED A LIST OF UNAUTHORIZED REFRIGERATED CARGO VESSELS TRANSSHIPPING IN THE SOUTH PACIFIC REGIONAL FISHERY MANAGEMENT ORGANIZATION (SPRFMO) OR INTER-AMERICAN TROPICAL TUNA COMMISSION (IATTC) REGIONS. OUR CHILEAN TEAM PRESENTED THESE DATA AT THE SPRFMO MEETING IN JANUARY 2018. WE SUBSEQUENTLY INVESTIGATED THE FLEET OF CHILEAN JACK MACKEREL VESSELS AND BLACKLISTED VESSELS OPERATING IN THE REGION TO HELP OCEANA CHILE ADVOCATE FOR STRONGER ENFORCEMENT AND REGULATION AGAINST UNAUTHORIZED TRANSHIPPERS AND IUU VESSELS. SALMON FARMING: THIS YEAR THE SALMON AQUACULTURE INDUSTRY DECREASED ITS ANTIBIOTIC USE 12.5 PERCENT ACHIEVING THE 2018 GOAL, MOSTLY PUSHED BY TIGHTER DENSITY REGULATION IMPOSED BY THE GOVERNMENT, WHICH DRIVES THE INDUSTRY TO PRODUCE LESS WHEN DISEASE PREVALENCE IS HIGH. EUROPE TRANSPARENCY: OCEANA AIMS TO IMPROVE TRANSPARENCY AND ACCOUNTABILITY IN THE FISHERIES SECTOR IN EUROPE. WE USED GFW DATA AND ANALYSES TO PROVIDE EVIDENCE OF BOTTOM TRAWLING IN PROTECTED MARINE HABITATS IN THE BALEARIC ISLANDS, SPAIN. OCEANA EUROPE SENT TWO LETTERS HIGHLIGHTING CASES OF POTENTIAL NON-COMPLIANCE TO LOCAL AND NATIONAL FISHERIES ADMINISTRATIONS OF THE BALEARIC ISLANDS AND SPAIN FOR FURTHER INVESTIGATION. WORKING WITH OUR EUROPEAN TEAM, WE ANALYZED THE 2017 FISHING BEHAVIOR OF TRAWLERS AND DREDGERS ENTERING 28 DESIGNATED HARBORS IN THE WESTERN MEDITERRANEAN. WE ALSO CREATED MAPS SHOWING THE FISHING FOOTPRINT FOR THESE HARBORS TO HELP ESTIMATE THE IMPACTS OF FUTURE SPATIAL RESTRICTIONS. OCEANA EUROPE WILL USE THESE DATA TO ADVOCATE FOR EXPANDING THE BAN ON BOTTOM TRAWLING WITHIN THE WESTERN MEDITERRANEAN MULTIANNUAL MANAGEMENT PLAN. IN JULY, OCEANA EUROPE RELEASED A REPORT EXPOSING 41 POTENTIAL CASES OF ILLEGAL FISHING IN THE MEDITERRANEAN SEA, SHOWING MORE THAN 20 ITALIAN BOTTOM-TRAWLERS FISHING IN A CLOSED AREA AND UNCOVERING POSSIBLE ILLEGAL INTRUSIONS OF FOREIGN VESSELS INTO THE WATERS OF SEVEN MEDITERRANEAN COUNTRIES. THE FINDINGS WERE SHARED AT THE GENERAL FISHERIES COMMISSION FOR THE MEDITERRANEAN (GFCM). RESTORING FISHERIES: THE ANNUAL DECISIONS ON TOTAL ALLOWABLE CATCHES (TACS) FOR 2018 LOWERED THE RATE OF OVERFISHING IN EUROPEAN WATERS. WE ARE LOOKING FORWARD TO SEEING THIS TREND CONTINUE IN 2019. THE EU CATCHES 16 PERCENT OF ITS TOTAL LANDINGS IN THE BALTIC (AROUND 0.6MT) AND 84 PERCENT OF ITS LANDINGS (AROUND 3 MT) IN THE NE ATLANTIC (EXCLUDING BALTIC). EIGHTY PERCENT OF THE FISH STOCKS IN THE BALTIC SEA ARE NOW FISHED FOLLOWING THE SCIENTIFIC RECOMMENDATIONS FROM ICES, AN INCREASE OF 20 PERCENT OVER LAST YEAR. IN TOTAL FOR 2019, 94 PERCENT OF THE CATCHES IN THE BALTIC WILL BE TAKEN FROM STOCKS SUSTAINABLY EXPLOITED. THIS IS IMPORTANT PROGRESS TOWARDS THE ACHIEVEMENT OF OUR LONG-TERM GOAL OF 100 PERCENT. IN DECEMBER 2018, EU MINISTERS INCREASED THE NUMBER OF SUSTAINABLE TOTAL CATCHES (TACS) FROM 53 IN 2017 TO 59. PARLIAMENT VOTED FOR A MULTIANNUAL MANAGEMENT PLAN FOR THE NORTH SEA THAT INCLUDED ALL OF OCEANA'S RECOMMENDATIONS, INCLUDING PROTECTING ESSENTIAL FISH HABITATS BY ESTABLISHING FISH STOCK RECOVERY AREAS. HABITAT CAMPAIGN: WE HELPED TO STRENGTHEN THE MALTESE NETWORK OF MPAS BY SUPPORTING THE GOVERNMENT OF MALTA IN EXTENDING EXISTING MPAS AND DESIGNATING NEW MPAS UNDER THE NATURA 2000 NETWORK. THE FOUR-YEAR EU-FUNDED LIFE BAAR FOR N2K (NATURA 2000) PROJECT CONCLUDED IN JUNE, AND ON JUNE 5 THE MALTESE GOVERNMENT ANNOUNCED THE DESIGNATION OF EIGHT NEW MPAS TO PROTECT REEF AND CAVE HABITATS. WITH THE ADDITION OF THESE MPAS, MALTA HAS NOW PROTECTED MORE THAN 35 PERCENT OF ITS WATERS. ALL AREAS PROPOSED FOR PROTECTION BY OCEANA WERE APPROVED AND INCLUDED IN THE FINAL AREAS THAT WILL BE OFFICIALLY DESIGNATED FOLLOWING THEIR APPROVAL BY THE EUROPEAN COMMISSION. THIS VICTORY IS THE RESULT OF OCEANA EFFORTS THAT BEGAN IN 2013, AND THE PROTECTIONS ARE BASED ON THE FINDINGS OF TWO OCEANA EXPEDITIONS (2015 AND 2016 LIFE BAAR EXPEDITIONS). FORM 990, PART III, LINE 4A, PROGRAM SERVICE ACCOMPLISHMENTS, CON'T: MEXICO OCEANA'S LONG-TERM GOALS IN MEXICO ARE TO STRENGTHEN THE MARINE ECOSYSTEMS AND REBUILD OCEAN ABUNDANCE BY ACHIEVING KEY POLICY CHANGES THAT WILL RESTORE PRODUCTIVE AND SUSTAINABLE FISHERIES ACROSS THE COUNTRY, WITH A FOCUS ON REGIONS THAT ARE CURRENTLY UNPROTECTED AND SPECIES THAT PROVIDE FOOD AND JOBS. OCEANA WILL FILL A NICHE IN THE NGO LANDSCAPE FOR MEXICO, BRINGING OUR EXPERTISE AND FOCUS ON NATIONAL-LEVEL POLICY REFORMS AND OUR STRONG SCIENTIFIC CAPACITY. WE ARE HAPPY TO REPORT THAT OCEANA MEXICO WAS FORMALLY ESTABLISHED IN THE FIRST QUARTER OF 2018 WITH THE HIRING OF A VICE PRESIDENT AND THE OPENING OF AN OFFICE IN MEXICO CITY. WE HAVE SINCE HIRED A DIRECTOR OF FINANCE AND ADMINISTRATION, A TRANSPARENCY CAMPAIGN DIRECTOR, A FISHERIES REBUILDING CAMPAIGN DIRECTOR AND A DIRECTOR OF COMMUNICATIONS. WE COLLABORATED WITH OTHER NGOS IN MEXICO TO DEVELOP A BROAD POLICY AGENDA THAT WILL GUIDE OUR INDIVIDUAL AND COLLECTIVE EFFORTS TO STRENGTHEN POLICY AND REGULATIONS FOR SUSTAINABLE FISHERIES IN MEXICO. THE AGENDA INCLUDES A GENERAL STRATEGY, POLICY PRIORITIES, A SUITE OF NEEDED REFORMS AND AN ESTIMATED BUDGET, AND WAS DEVELOPED TOGETHER WITH EDF AND WITH INPUT FROM OTHER MEMBERS OF THE COLLECTIVE IMPACT INITIATIVE PUBLIC POLICY WORKING GROUP. TRANSPARENCY: OCEANA GAINED ACCESS TO MEXICO'S VESSEL MONITORING SYSTEMS (VMS) DATA THROUGH JULY 2018, WINNING ITS APPEAL OF THE GOVERNMENT/CONAPESCA'S DECISION TO DENY OCEANA ACCESS. THE DATA IS NOW BEING UPLOADED INTO GLOBAL FISHING WATCH, AS PART OF THE TRANSPARENCY CAMPAIGN, AND OCEANA IS PURSUING A PERMANENT AGREEMENT WITH THE GOVERNMENT TO MAKE THE DATA AVAILABLE ON A DAILY BASIS. WE RECEIVED VERBAL SUPPORT FOR THIS GOAL IN A MEETING WITH THE NEW ADMINISTRATION. PERU TRANSPARENCY: OCEANA ANALYSTS DEVELOPED AN AUTOMATED ALERT SYSTEM FOR PERU THAT SENDS A REPORT TO THE NATIONAL GOVERNMENT WHEN A FOREIGN-FLAGGED VESSEL ENTERS PERUVIAN WATERS. DATA ON THE VESSEL'S ACTIVITY (I.E., FISHING, RENDEZVOUS, AIS GAPS, PORT VISITS) ARE SHARED, INCLUDING A MAP AND TABLE OF EVENTS. WE DEVELOPED THE ALERT TO HELP THE GOVERNMENT FIGHT IUU FISHING AND WE PLAN TO MAKE SIMILAR ALERTS AVAILABLE TO OTHER GOVERNMENTS FOR OCEANA COUNTRY OFFICES. PERU MADE ALL ITS NATIONAL VESSEL MONITORING SYSTEM (VMS) TRACKING DATA PUBLICLY AVAILABLE THROUGH GLOBAL FISHING WATCH AT THE END OF OCTOBER 2018. THE ANNOUNCEMENT WAS MADE BY THE PERUVIAN GOVERNMENT AT THE OUR OCEANS 2018 CONFERENCE, A LITTLE MORE THAN A YEAR AFTER IT MADE THE ORIGINAL COMMITMENT IN 2017. PRODUCE IS ALSO PROVIDING PUBLIC ACCESS TO THEIR VMS INFORMATION THROUGH THEIR OWN ONLINE PLATFORM, TRASAT, WITH A 10-DAY DELAY. OCEANA CONDUCTED AN ASSESSMENT OF THE MAGNITUDE AND EXTENT OF ILLEGAL FISHMEAL PROCESSING PLANTS THROUGHOUT THE COUNTRY. WE ALREADY KNOW THAT THE INCREASE IN THE VOLUME OF ILLEGALLY PROCESSED FISHMEAL IS A SIGNIFICANT COMPONENT OF THE RISE IN ILLEGAL FISHING. WE ARE NOW USING THIS ANALYSIS TO PUSH THE GOVERNMENT AND THE PRIVATE SECTOR TO IDENTIFY WAYS TO PROVIDE ADDITIONAL RESOURCES FOR INTERDICTION MEASURES TO SHUT DOWN ILLEGAL PLANTS AND ALSO TO INCREASE TRANSPARENCY IN THE SECTOR. HABITAT PROTECTION: IMPROVED CONTROL OF TOURISM AND ILLEGAL FISHING IN THE WATERS OF ALL OF PERU'S MPAS HAS BEGUN. OCEANA HAS BEEN WORKING FOR OVER A YEAR TO DEVELOP THE FIRST SHARED PROTOCOLS FOR MONITORING AND ENFORCEMENT IN PERU'S MPAS AMONG THE MANY RESPONSIBLE GOVERNMENT AGENCIES AND DEPARTMENTS. THE PROTOCOLS ARE NOW COMPLETE, A BOOKLET HAS BEEN PUBLISHED BY THE PERUVIAN PROTECTED AREA SERVICE (SERNANP) AND PRESENTED TO THE MINISTRY OF ENVIRONMENT AND A LAMINATED ONE-PAGER HAS BEEN CREATED AND PATROLS ARE STARTING TO USE IT. PLASTIC POLLUTION: A PROPOSAL TO LIMIT SYTROFOAM AND OTHER PLASTICS HAS BEEN APPROVED BY CONGRESS. OCEANA WORKED CLOSELY WITH MEMBERS OF CONGRESS ON THIS LEGISLATION-- INDEED OCEANA DRAFTED PORTIONS OF IT. THE NEW LAW STILL HAS AMPLE ROOM FOR IMPROVEMENT BUT IT IS GREAT STARTING POINT TO EDUCATE THE FINAL CONSUMERS ABOUT THE SUBJECT AND AS A CRITICAL LEVERAGE TO INTERACT WITH THE PRIVATE SECTOR. PHILIPPINES END COMMERCIAL FISHING IN TANON STRAIT: OUR EFFORTS TO PROTECT TANON STRAIT FROM ILLEGAL COMMERCIAL FISHING HAVE BEEN LARGELY SUCCESSFUL. AS A RESULT OF OCEANA'S CAMPAIGN, THE SITUATION IN TANON IS DRAMATICALLY DIFFERENT THAN IT WAS WHEN OCEANA LAUNCHED ITS CAMPAIGN IN 2015. SPECIFIC CHANGES IN THE REGION, WHICH GIVE US CONFIDENCE THAT OUR POLICY VICTORIES WILL BE DURABLE, INCLUDE: A FUNCTIONAL MANAGEMENT BODY AND SMALL MANAGEMENT UNITS TO IMPLEMENT THE MANAGEMENT PLAN, A CLEAR RECOGNITION BY BOTH NATIONAL AGENCIES AND THE LOCAL AUTHORITIES FOR CO-MANAGEMENT IN TANON STRAIT TO PROTECT ITS FISHERIES, RESOURCES AND LIVELIHOODS OF THE PEOPLE. JOINT ENFORCEMENT COLLABORATION AMONG NATIONAL AND LOCAL ENFORCEMENT AGENCIES, WHICH CONTINUE TO PERFORM SEA-BORNE PATROL OPERATIONS DESPITE POLITICAL PRESSURE. FORMAL FEDERATION OF THE ARTISANAL FISHERFOLKS IN THE THREE PROVINCES IN TANON STRAIT AS ENGAGED FRONTLINE ADVOCATES FIGHTING COMMERCIAL FISHING IN THEIR MUNICIPAL WATERS. THE COMMITMENT TO ENFORCE THE LAW BY THE CEBU PROVINCIAL GOVERNMENT, WHICH REJECTED THE ORDINANCE ALLOWING COMMERCIAL FISHING IN TANON STRAIT BY ONE OF ITS COMPONENT LOCAL GOVERNMENTS. A NETWORK OF CIVIL SOCIETY ORGANIZATION, WHICH HAS FORMED TO PROTECT TANON STRAIT, LED BY THE ARCHDIOCESE OF CEBU, THE INTEGRATED BAR OF THE PHILIPPINES, FOUNDATION FOR PHILIPPINE ENVIRONMENT AND NGOS. PROTECT BENHAM RISE SEAFLOOR HABITAT: ON MAY 15TH, 2018, OCEANA DECLARED VICTORY IN OUR CAMPAIGN TO PROTECT THE BENHAM BANK SEAFLOOR HABITAT WHEN PRESIDENT RODRIGO DUTERTE SIGNED PROCLAMATION NO. 489, DECLARING 50,000 HECTARES OF THE PHILIPPINE RISE, INCLUDING BENHAM BANK, AS A MARINE RESERVE WITH RESEARCH BEING THE ONLY ACTIVITY ALLOWED. A TOTAL OF 300,000 HECTARES OF THE RISE WERE DECLARED A FISHERIES MANAGEMENT AREA, WHERE FISHING USING ACTIVE GEAR IS PROHIBITED. THIS IS THE MOST SIGNIFICANT POLICY VICTORY FOR OCEANA SINCE OUR INCEPTION IN THE COUNTRY AND WAS THE CULMINATION OF OUR MULTI-FACETED APPROACH TO THIS CAMPAIGN INVOLVING BOTH PUBLIC AND GOVERNMENT-FACING ACTIVITIES. BAN BOTTOM TRAWLING: OCEANA DECLARED VICTORY IN ITS CAMPAIGN TO BAN BOTTOM TRAWLING AFTER THE DEPARTMENT OF INTERIOR AND LOCAL GOVERNMENT (DILG) AND THE DEPARTMENT OF AGRICULTURE (DA) SIGNED THE JOINT MEMORANDUM CIRCULAR BANNING BOTTOM TRAWLING WITHIN MUNICIPAL WATERS NATIONWIDE ON NOVEMBER 28TH. THIS MEANS PROTECTION FOR 226,000 SQUARE KILOMETERS OF THE OCEAN FROM THE DESTRUCTIVE IMPACTS OF THIS FISHING GEAR ON THE SEABED, MARINE HABITATS, AND LIVELIHOODS OF ARTISANAL FISHERFOLKS. OCEANA INITIATED AND FACILITATED THE DRAFTING OF THIS POLICY, WHICH SEEKS TO ENSURE FOOD SECURITY AND SUSTAINABILITY WITHIN MUNICIPAL WATERS. FORM 990, PART VI, SECTION A, LINE 2 BOARD MEMBERS, SUSAN ROCKEFELLER AND DAVID ROCKEFELLER, JR., HAVE A FAMILY RELATIONSHIP. BOARD MEMBERS HERBERT M. BEDOLFE, III AND SARA LOWELL BOTH SERVE AS EMPLOYEES AND OFFICERS OF THE MARISLA FOUNDATION. HERBERT SERVES AS THE EXECUTIVE DIRECTOR AND SARA SERVES AS THE SECRETARY/MARINE PROGRAM DIRECTOR. FORM 990, PART VI, SECTION B, LINE 11B INFORMATION FOR THE FEDERAL FORM 990 COMES LARGELY FROM OCEANA'S INDEPENDENTLY AUDITED FINANCIAL STATEMENTS, WHICH CONSOLIDATES OCEANA'S ACTIVITIES ACROSS NATIONAL BOUNDARIES. THE ACCOUNTING DEPARTMENT COLLECTS THIS AND OTHER INFORMATION NEEDED FOR THE FEDERAL FORM 990, WHICH IS REVIEWED AND PRESENTED IN DRAFT FORM BY A TAX ACCOUNTING FIRM. AFTER APPROVAL BY SENIOR MANAGEMENT, THE FINAL DRAFT OF THE 990 IS PRESENTED TO THE BOARD FOR REVIEW BEFORE IT IS SUBMITTED TO THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C EVERY YEAR, OCEANA'S OFFICERS, DIRECTORS, AND KEY EMPLOYEES FILL OUT A DISCLOSURE REPORT ASKING THEM TO DISCLOSE ANY FAMILY OR BUSINESS RELATIONSHIPS THEY MAY HAVE WITH OTHER OCEANA OFFICERS, DIRECTORS, OR KEY EMPLOYEES, AS WELL AS ANY FINANCIAL CONFLICTS OF INTEREST THEY MAY HAVE. IN ADDITION, OCEANA'S CONFLICT OF INTEREST POLICY REQUIRES ANY DIRECTOR OR OFFICER WHO IS AN INTERESTED PERSON WITH RESPECT TO A TRANSACTION OR ARRANGEMENT UNDER CONSIDERATION BY THE CORPORATION TO PROMPTLY DISCLOSE TO THE BOARD OF DIRECTORS OR THE BOARD'S DESIGNATE THE EXISTENCE AND NATURE OF HIS OR HER FINANCIAL INTEREST IN THE TRANSACTION OR ARRANGEMENT. CONFLICTS OF INTEREST REPORTING: ANY ACTUAL OR POTENTIAL CONFLICT OF INTEREST MUST BE DISCLOSED TO THE CEO; PRESIDENT AND GENERAL COUNSEL; CFO; OR GLOBAL DIRECTOR OF HUMAN RESOURCES, THE EXECUTIVE COMMITTEE MEMBER IN CHARGE OF THE COUNTRY OFFICE OR DEPARTMENT; OR THE OFFICE ADMINISTRATOR FOR THE COUNTRY OFFICE. THIS INCLUDES ACTUAL OR POTENTIAL CONFLICTS INVOLVING BUSINESS OR FINANCIAL INTEREST, FAMILY RELATIONSHIPS, OR SEXUAL/ROMANTIC RELATIONSHIPS. THE CFO WILL DETERMINE WHETHER ANY STEPS MUST BE TAKEN TO AVOID AN APPEARANCE OR EXISTENCE OF A CONFLICT OF INTEREST OR THE CREATION OF AN ENVIRONMENT THAT OTHERS IN THE WORKPLACE MIGHT REASONABLY FIND TO BE UNPROFESSIONAL OR INAPPROPRIATE. SUCH STEPS MIGHT INCLUDE, BUT ARE NOT LIMITED TO, DIVESTITURE OF ADVERSE INTERESTS, RECUSAL FROM CERTAIN DECISIONS, TRANSFER OF ONE OF THE EMPLOYEES TO ANOTHER DEPARTMENT (IF A POSITION IS AVAILABLE), CHANGING THE MANAGER FOR ONE OF THE EMPLOYEES, OR, WHEN OTHER OPTIONS ARE NOT FEASIBLE, THE TERMINATION OF EMPLOYMENT OF ONE OF THE EMPLOYEES. EMPLOYEES WHO WISH TO PROVIDE SERVICES TO OR FOR THE BENEFIT OF ANY ENTITY OUTSIDE OCEANA MUST DISCLOSE SUCH PROPOSED ACTIVITY TO OCEANA, WHICH WILL MAKE APPROPRIATE DETERMINATIONS IN ACCORDANCE WITH THIS CODE. FAMILY RELATIONSHIPS (NEPOTISM): OCEANA WILL NOT ALLOW A SUPERVISOR/SUBORDINATE RELATIONSHIP TO EXIST BETWEEN FAMILY RELATIVES. SEXUAL/ROMANTIC RELATIONSHIPS: ROMANTIC RELATIONSHIPS BETWEEN EMPLOYEES THAT CONSTITUTE AN ACTUAL OR REASONABLY-PERCEIVED CONFLICT OF INTEREST ARE PROHIBITED. SUCH RELATIONSHIPS WILL BE ADDRESSED BY OCEANA AS DESCRIBED BELOW (SEE "ROMANCE AT WORK"). WHISTLEBLOWING AND REPORTING VIOLATIONS: OCEANA NEEDS AND EXPECTS THE SUPPORT AND COOPERATION OF ITS EMPLOYEES TO ENFORCE ITS POLICIES. EMPLOYEES WHO HAVE EXPERIENCED, OBSERVED, OR LEARNED ABOUT CONDUCT THEY BELIEVE IS CONTRARY TO OCEANA'S POLICES OR CODE OF ETHICS MUST REPORT SUCH VIOLATIONS (OR POTENTIAL OR SUSPECTED VIOLATIONS). OCEANA PROVIDES TWO WAYS TO REPORT VIOLATIONS. FIRST, VIOLATIONS MAY BE REPORTED THROUGH A REPORTING SYSTEM THAT OCEANA HAS SET UP THROUGH AN ONLINE WEBSITE OR BY CALLING THE PHONE NUMBER LISTED FOR EACH COUNTRY ON THAT WEBSITE. THE SITE IS CONFIDENTIAL, EASY TO USE, AND ALWAYS AVAILABLE. EMPLOYEES HAVE THE OPTION TO DISCLOSE THEIR IDENTITY OR MAKE A REPORT ANONYMOUSLY; HOWEVER, DISCLOSING IDENTITY IS STONGLY ENCOURAGED TO ENABLE OCEANA TO CONDUCT A THOROUGH INVESTIGATION, ESPECIALLY IN THE CASE OF A POLICY THAT PROTECTS INDIVIDUALS (FOR EXAMPLE, CONCERNING SEXUAL HARASSMENT OR DISCRIMINATION). ANY REPORT THAT IMPLICATES THE CEO; PRESIDENT AND GENERAL COUNSEL; OR CFO WILL BE FORWARDED BY THE THIRD PARTY ADMINISTRATOR OF THE WEBSITE TO THE CHAIR, VICE CHAIR AND TREASURER OF OCEANA'S BOARD OF DIRECTORS. SECOND, VIOLATIONS MAY BE REPORTED TO THE APPROPRIATE STAFF PERSON, AS FOLLOWS. THE VIOLATION MUST BE REPORTED TO THE CEO; PRESIDENT AND GENERAL COUNSEL; CFO; OR GLOBAL DIRECTOR OF HUMAN RESOURCES, IF THE VIOLATION INVOLVES ONE OF THE FOLLOWING ISSUES: -SEXUAL OR OTHER HARASSMENT -UNLAWFUL DISCRIMINATION -FINANCIAL MISCONDUCT OR MISREPORTING -BRIBERY OR CORRUPTION -RETALIATION FOR REPORTING ANY VIOLATION OF THIS CODE IF THE VIOLATION INVOLVES ANY OTHER ISSUE, THE REPORT MUST BE MADE TO ANY OF THE FOLLOWING: CEO; PRESIDENT AND GENERAL COUNSEL; CFO; OR GLOBAL DIRECTOR OF HUMAN RESOURCES; THE EXECUTIVE COMMITTEE MEMBER IN CHARGE OF THE COUNTRY OFFICE OR DEPARTMENT; OR THE OFFICE ADMINISTRATOR FOR THE COUNTRY OFFICE. INVESTIGATION: WHEN AN EMPLOYEE REPORTS A VIOLATION OF THIS CODE, OCEANA WILL INVESTIGATE AND TAKE CORRECTIVE ACTION AS WARRANTED UNDER THE CIRCUMSTANCES. THE STEPS TO BE TAKEN DURING THE INVESTIGATION ARE NOT FIXED IN ADVANCE (EXCEPT AS REQUIRED BY APPLICABLE LAW), BUT INSTEAD WILL VARY DEPENDING UPON THE NATURE OF THE ALLEGATIONS. SUCH INVESTIGATION WILL REMAIN CONFIDENTIAL TO THE EXTENT CONSISTENT WITH EFFECTIVELY UNDERSTANDING THE FACTS AND TAKING CORRECTIVE MEASURES. RESOLVING THE MATTER: IF OCEANA DETERMINES THAT A VIOLATION HAS OCCURRED, THE COMPANY WILL TAKE APPROPRIATE REMEDIAL ACTION TO CORRECT THE SITUATION. ANY EMPLOYEE DETERMINED BY OCEANA TO BE RESPONSIBLE FOR A VIOLATION OF THIS CODE WILL BE SUBJECT TO APPROPRIATE DISCIPLINARY ACTION, SUBJECT TO APPLICABLE LAW, UP TO AND INCLUDING TERMINATION. IT IS A CONDITION OF EMPLOYMENT THAT EMPLOYEES COOPERATE WITH ALL OCEANA INVESTIGATIONS. IN ADDITION, OCEANA MAY CHOOSE TO TAKE ACTION EVEN IF IT CONCLUDES THAT THE ALLEGED CONDUCT NEITHER VIOLATES THIS POLICY NOR THE LAW, BUT SUCH CONDUCT WAS IMPERMISSIBLY INTERFERING WITH THE WORK ENVIRONMENT. NO RETALIATION: IT IS A VIOLATION OF THIS CODE TO RETALIATE AGAINST AN INDIVIDUAL WHO REPORTS INCIDENTS THAT HE OR SHE BELIEVES TO BE VIOLATIONS OF THIS CODE, OR WHO COOPERATES IN AN INVESTIGATION OF A VIOLATION OF THIS CODE. RETALIATION IS A SERIOUS VIOLATION OF THIS CODE AND SHOULD BE REPORTED IMMEDIATELY. THE REPORT AND INVESTIGATION OF ALLEGATIONS OF RETALIATION WILL FOLLOW THE PROCEDURES SET FORTH IN THIS CODE. ANY PERSON FOUND TO HAVE RETALIATED AGAINST AN INDIVIDUAL FOR REPORTING DISCRIMINATORY HARASSMENT OR PARTICIPATING IN AN INVESTIGATION OF ALLEGATIONS OF SUCH CONDUCT WILL BE SUBJECT TO APPROPRIATE DISCIPLINARY ACTION. FORM 990, PART VI, SECTION B, LINE 15 OCEANA'S PROCESS FOR DETERMINING COMPENSATION OF ITS CEO, OFFICERS, AND KEY EMPLOYEES IS AS FOLLOWS: ANNUALLY, OCEANA PROVIDES THE BOARD DIRECTORS WITH DATA FROM MULTIPLE SOURCES ON COMPARABLE SALARIES AND BENEFITS IN OTHER NONPROFIT ORGANIZATIONS, ESPECIALLY BUT NOT LIMITED TO THOSE IN THE CONSERVATION FIELD, FOR OCEANA'S CEO. THE BOARD REVIEWS AND DISCUSSES THE COMPENSATION DATA AS WELL AS THE CEO'S ACHIEVEMENTS FOR THE PRIOR YEAR AS WELL AS HIS PROPOSED GOALS FOR THE NEXT YEAR BEFORE TAKING A DECISION ON ANY ADJUSTMENTS TO THE CEO COMPENSATION OF BENEFITS. OCEANA PROVIDES THE FINANCE AND AUDIT COMMITTEE OF THE BOARD DIRECTORS WITH DATA FROM MULTIPLE SOURCES ON COMPARABLE SALARIES AND BENEFITS IN OTHER NONPROFIT ORGANIZATIONS, ESPECIALLY BUT NOT LIMITED TO THOSE IN THE CONSERVATION FIELD, FOR OCEANA'S OFFICERS, TOP MANAGEMENT, AND KEY EMPLOYEES ("THE EXECUTIVE TEAM", OR "EC). THE COMMITTEE DISCUSSES EACH OF THE EC MEMBER'S ACHIEVEMENTS FOR THE PRIOR YEAR AS WELL AS HER/HIS PROPOSED GOALS FOR THE NEXT YEAR. THE COMMITTEE REVIEWS THESE DATA TO DETERMINE IF THE COMPENSATION IS REASONABLE AND THAT OCEANA HAS NOT ENGAGED IN AN EXCESS BENEFIT TRANSACTION WITH ANY INDIVIDUAL IN A POSITION TO SUBSTANTIALLY INFLUENCE THE ORGANIZATION'S AFFAIRS. THE BOARD OF DIRECTORS AND AUDIT AND FINANCE COMMITTEE DISCUSSIONS ARE DOCUMENTED IN THE MINUTES OF THE RESPECTIVE BODIES. OCEANA REGULARLY CONDUCTS COMPENSATION REVIEWS, MOST RECENTLY IN DECEMBER 2018. FORM 990, PART VI, SECTION C, LINE 19 OCEANA POSTS ANNUAL REPORTS, ITS AUDITED FINANCIAL STATEMENTS, AND THE PUBLIC DISCLOSURE COPY OF ITS IRS FORM 990 ON ITS WEBSITE, WWW.OCEANA.ORG. IT ALSO SHARES RELEVANT INFORMATION WITH INDEPENDENT "WATCHDOG ORGANIZATIONS SUCH AS GUIDESTAR, CHARITY NAVIGATOR AND THE BETTER BUSINESS BUREAU TO ALLOW THESE ORGANIZATIONS INDEPENDENT ASSESSMENT OF OCEANA'S ACCOUNTABILITY AND TRANSPARENCY. OCEANA'S ARTICLES OF INCORPORATION, BY-LAWS AND FORM 1023 ARE AVAILABLE ON OCEANA'S WEBSITE AND TO MEMBERS OF THE PUBLIC UPON WRITTEN REQUEST. OCEANA'S ARTICLES OF INCORPORATION, AS WELL AS A CERTIFICATE OF GOOD STANDING, ARE ALSO INDEPENDENTLY AVAILABLE THROUGH THE DEPARTMENT OF CONSUMER AND REGULATORY AFFAIRS FOR THE DISTRICT OF COLUMBIA (WHERE OCEANA, INC. IS INCORPORATED), THOUGH THERE IS A FEE FOR THIS SERVICE. FORM 990 THIS RETURN PRESENTS CONSOLIDATED FINANCIAL STATEMENTS FOR OCEANA, INC. AND ITS NON-U.S. AFFILIATES. OCEANA HAS FIELD OFFICES IN SPAIN, BRAZIL, DENMARK, BELGIUM, MEXICO, PHILIPPINES, BELIZE, CHILE AND PERU FOR THE PURPOSE OF BUILDING AN INTERNATIONAL MOVEMENT TO SAVE THE OCEAN THROUGH PUBLIC POLICY ADVOCACY, SCIENCE AND ECONOMICS, LEGAL ACTION, GRASSROOTS MOBILIZATION, AND PUBLIC EDUCATION. THE OPERATIONS IN SPAIN, BELIZE, BRAZIL, MEXICO, AND THE UNITED KINGDOM FOLLOW THE HOST COUNTRY'S REGULATIONS AND, AS A RESULT, WERE INCORPORATED AS INDEPENDENT ENTITIES. HOWEVER, THESE ENTITIES ARE DEPENDENT ON OCEANA FOR FUNDING, PARTICIPATE IN OCEANA ACTIVITIES AND DECISION-MAKING, AND CARRY OUT THE GENERAL MISSION AND INTERNATIONAL ACTIVITIES OF OCEANA. OCEANA ADVOCACY RESOURCES INC 1025 CONNECTICUT AVENUE NW 200 WASHINGTON DC 20036 311814181 LOBBYING DC 501(C)(4) N/A OCEANA INC 1 FUNDACION OCEANA GRAN VIA 59 9TH FLOOR MADRID SP 28013 PROTECTING THE WORLD'S OCEANS TO SUSTAIN THE CIRCLE OF LIFE. SP N/A N/A OCEANA INC 1 OCEANA UK 2-6 CANNON STREET EC4M 6YH LONDON UK EC4M 6YH PROTECTING THE WORLD'S OCEANS TO SUSTAIN THE CIRCLE OF LIFE. UK N/A N/A OCEANA INC 1 OCEANA IN BELIZE 2385 HIBISCUS STREET BELMOPAN BH PROTECTING THE WORLD'S OCEANS TO SUSTAIN THE CIRCLE OF LIFE. BH N/A N/A OCEANA INC 1 FRIENDS OF OCEANA 58 AVENUE LOUIS-CASI CASE POSTALE GENEVA SZ PROTECTING THE WORLD'S OCEANS TO SUSTAIN THE CIRCLE OF LIFE. SZ N/A N/A OCEANA INC 1 OCEANA BRASIL 1025 CONNECTICUT AVENUE NW 200 WASHINGTON DC 20036 PROTECTING THE WORLD'S OCEANS TO SUSTAIN THE CIRCLE OF LIFE BR N/A N/A OCEANA INC 1 OCEANA MEXICO POSEIDON 39 COL CRDITO CONSTRUCTO MX 3940 PROTECTING THE WORLD'S OCEANS TO SUSTAIN THE CIRCLE OF LIFE. MX N/A N/A OCEANA INC 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 FUNDACION OCEANA B 3888296 COST OCEANA BRASIL B 2253496 COST OCEANA IN BELIZE B 593422 COST OCEANA MEXICO B 427484 COST