2018-03-16T16:30:17-05:00 2017-06-30 461497033 EKS&H LLLP 8181 E TUFTS AVENUE SUITE 600 DENVER CO 802372579 990 2016-07-01 742244146 ROCKY MOUNTAIN INSTITUTE ROCK 3032451003 2490 JUNCTION PLACE SUITE 200 BOULDER CO 80301 JULES KORTENHORST CEO 3032451003 2018-03-15 1 DORI J EGGETT P00645252 3037409400 208.42.238.132 2018-03-16 16:29:40 MD P 3219C133BAC39E5E3E55A8AEB9925CDB4F54441C B3ABEF65864C4DD5EC29E7308F18CBC97055EB59 2016 2021-01-29 14:40:06Z X JULES KORTENHORST 2490 JUNCTION PLACE SUITE 200 BOULDER CO 80301 36398047 0 X WWW.RMI.ORG X 1982 CO OUR MISSION IS TO DRIVE THE EFFICIENT AND RESTORATIVE USE OF RESOURCES. 20 17 170 20 0 0 25775229 30681267 3749489 5597532 -53441 8089 5823 103106 29477100 36389994 0 0 0 0 17894210 19883414 0 122022 2580304 11418710 13397385 29312920 33402821 164180 2987173 32947222 34190347 9478518 9833700 23468704 24356647 X WE ENVISON A WORLD THRIVING, VERDANT, AND SECURE, FOR ALL, FOR EVER. TO THAT END, OUR MISSION IS TO DRIVE THE EFFICIENT AND RESTORATIVE USE OF RESOURCES. 0 0 7534084 306232 GLOBAL ENERGY TRANSITIONS-HELPING THE PEOPLE OF EMERGING ECONOMIES TO LEAPFROG STRAIGHT TO THE CLEAN ENERGY REVOLUTION.CHINA PROGRAM-SUPPORTING CHINA IN REDUCING ITS EMISSIONS AND FOLLOWING A CLEAN ENERGY PATHWAY. WE AIM TO HELP CHINA PEAK CARBON EMISSIONS BY 2030 AND, WITH GOVERNMENT AND OTHER PARTNERS, SUPPORT CHINA AS IT REDUCES ITS CARBON INTENSITY 60% BY 2030.CONTINUED ON SCHEDULE O:ISLANDS ENERGY PROGRAM-ACCELERATING THE TRANSITION OF ISLAND ECONOMICS FROM A HEAVY DEPENDENCE ON FOSSIL FUELS TO EFFICIENCY AND RENEWABLES. WE AIM TO ACCELERATE THE TRANSITION TO RENEWABLES IN 13 ISLAND CARIBBEAN COUNTRIES, INSTALL 95 MEGAWATTS OF RENEWABLE ENERGY, AND LEVERAGE $300 MILLION IN FINANCING FOR ISLAND ENERGY PROJECTS BY 2020.SUSTAINABLE ENERGY FOR ECONOMIC DEVELOPMENT (SEED)-HELPING GOVERNMENTS IN SUB-SAHARAN AFRICA EXPAND ACCESS TO CLEAN, RELIABLE ELECTRICITY. WE AIM TO HELP SIX AFRICAN COUNTRIES EXPAND ELECTRICITY ACCESS WITH CLEAN TECHNOLOGIES BY 2020.SHINE: COMMUNITY-SCALE SOLAR-MAKING SOLAR ENERGY AFFORDABLE AND ACCESSIBLE TO ALL BY UNLOCKING THE COMMUNITY-SCALE SOLAR MARKET. WE AIM TO HELP COMMUNITY-SCALE SOLAR REACH ITS 30-GIGAWATT MARKET POTENTIAL. 7366172 4331098 ELECTRICITY-CREATING A CLEAN, RESILIENT, AND AFFORDABLE ELECTRICITY SYSTEM THAT PRODUCES LESS POLLUTION AND CLIMATE-ALTERING CO2.REGULATORY AND BUSINESS MODEL REFORM- WORKING WITH UTILITIES AND STATE REGULATORY COMMISSIONS TO EVOLVE BUSINESS AND REGULATORY MODELS AND ADVANCE MORE SOPHISTICATED ELECTRICITY RATE STRUCTURES. WE AIM TO SUPPORT THREE TO FIVE STATES THAT ARE COMMITTED TO COMPREHENSIVE REGULATORY AND BUSINESS MODEL REFORM TO DRIVE A RENEWABLY POWERED ELECTRICITY SYSTEM BY 2020.CONTINUED ON SCHEDULE O:DISRUPTIVE TECHNOLOGIES- RAISING AWARENESS OF AND SUPPORT FOR EMERGING DISRUPTIVE TECHNOLOGIES THAT PROMISE TO DELIVER MORE TRANSPARENCY AND EFFICIENCY, AND LOWER OPERATING COSTS TO CUSTOMERS AND THE ELECTRICITY GRID AS A WHOLE. WE AIM TO UNLOCK THE POTENTIAL OF DISRUPTIVE TECHNOLOGIES THAT ARE EMERGING TO MAKE THE ENERGY GRID MORE TRANSPARENT, EFFICIENT, AND COST-EFFECTIVE.ELECTRICITY INNOVATION LAB (E-LAB)- CONVENING CRITICAL INDUSTRY PLAYERS TO IDENTIFY PROMISING REFORM APPROACHES AND STRATEGIZE ON HOW TO SCALE THEM EFFECTIVELY TO TRANSFORM THE ELECTRICITY SYSTEM FROM THE INSIDE OUT. WE PROVIDE A GROUNDBREAKING CHANGE LAB TO SUPPORT INNOVATION, COLLABORATION, AND THE ACCELERATION OF THE IDEAS THAT WILL TRANSFORM THE ELECTRICITY SYSTEM FROM THE INSIDE OUT.SUNSHINE FOR MINES - RAPIDLY ACCELERATING ON-SITE RENEWABLE ENERGY AT MINING OPERATIONS AROUND THE GLOBE.BUSINESS RENEWABLES CENTER (BRC)- STREAMLINING AND ACCELERATING CORPORATE PURCHASING OF LARGE-SCALE WIND AND SOLAR ENERGY. WE AIM TO HELP CORPORATIONS PROCURE 60 GIGAWATTS OF RENEWABLE ENERGY BY 2030. 3713507 244344 TRANSPORTATION-CHANGING THE WAY WE MOVE PEOPLE AND GOODS TO SAVE MONEY AND THE ENVIRONMENT.MOBILITY TRANSFORMATION-IMPLEMENTING COST-EFFECTIVE OIL- AND EMISSIONS-FREE MOBILITY TO SAVE MONEY AND OIL, AND DRASTICALLY REDUCE CARBON EMISSIONS. WE ARE ACCELERATING THE ADOPTION OF ELECTRIFIED, AUTONOMOUS MOBILITY SERVICES IN FOUR TO SIX U.S. CITIES BY 2020, TO EVENTUALLY SAVE $1 TRILLION ANNUALLY.CONTINUED ON SCHEDULE O:TRUCKING EFFICIENCY-DRIVING DOWN THE CARBON FOOTPRINT OF GETTING PEOPLE THEIR EVERYDAY PRODUCTS BY INCREASING EFFICIENCY IN THE TRUCKING INDUSTRY. WE ARE GETTING 30% OF LARGE FLEETS AND SMALL OWNER-OPERATORS TO DEMAND FUEL-EFFICIENT TRUCKS BY 2018.SHIPPING EFFICIENCY-INCREASING THE DEMAND FOR FUEL-EFFICIENT VESSELS. WE AIM TO DRIVE A 25% IMPROVEMENT IN THE FUEL EFFICIENCY AND CARBON FOOTPRINT OF GLOBAL COMMERCIAL SHIPPING FLEETS BY 2025.SUSTAINABLE AVIATION-REDUCING THE AVIATION INDUSTRY'S CARBON FOOTPRINT THROUGH THE USE OF SUSTAINABLE AVIATION FUELS. WE AIM TO HELP 10% OF THE NORTH AMERICAN AND EUROPEAN COMMERCIAL AVIATION AND JET FUEL MARKET SWITCH TO SUSTAINABLE AVIATION FUEL BY 2025. 2807766 505716 BUILDINGS-DRIVING MASSIVE MARKET GROWTH FOR HEALTHY AND EFFICIENT HOMES, OFFICES, AND GATHERING PLACES.PORTFOLIO ENERGY OPTIMIZATION- DEVELOPING AND SCALING A NEW, INNOVATIVE, AND COST-EFFECTIVE RETROFIT APPROACH TO REDUCE ENERGY USE IN COMMERCIAL BUILDINGS.PATHWAYS TO ZERO- DRIVING THE ADOPTION OF SUPEREFFICIENT AND NET-ZERO ENERGY BUILDINGS IN NEW AND EXISTING BUILDING PORTFOLIOS AND AT THE DISTRICT LEVEL. WE AIM TO CATALYZE THE MARKET FOR SUPEREFFICIENT AND NET-ZERO ENERGY BUILDINGS AND DISTRICTS TO SAVE 50 MILLION TONS OF CARBON OVER FIVE YEARS.RESIDENTIAL ENERGY+- UNLOCKING U.S. HOMEOWNER INVESTMENTS IN ENERGY EFFICIENCY AND RENEWABLE ENERGY TO CREATE BETTER HOMES FOR OUR FAMILIES, OUR POCKETBOOKS, AND THE ENVIRONMENT. WE AIM TO UNLOCK U.S. HOMEOWNER INVESTMENT IN ENERGY EFFICIENCY AND RENEWABLE ENERGY TO CREATE BETTER HOMES FOR OUR FAMILIES, OUR POCKETBOOKS, AND THE ENVIRONMENT, PREVENTING 23 MILLION METRIC TONS OF CARBON EMISSIONS AND IMPROVING QUALITY OF LIFE. GENERATION Z SCHOOLS- CREATING THRIVING ZERO-CARBON COMMUNITIES BY UNLOCKING INVESTMENT IN STUDENTS AND SCHOOLS ACROSS THE WORLD, CREATING BETTER AND MORE EQUITABLE LEARNING ENVIRONMENTS, IMPROVING COMMUNITIES, AND SCALING SOLUTIONS FROM THE GROUND UP. 411986 ZERO METHANE EMISSIONS-ELIMINATING FUGITIVE METHANE EMISSIONS FROM OIL AND GAS. WE AIM TO REDUCE CLIMATE-CHANGE CAUSING METHANE IMPACTS OF THE OIL AND GAS INDUSTRY BY 5.6 BILLION METRIC TONS OF CO2 EQUIVALENT EMISSIONS. 866740 1500 SUSTAINABLE FINANCE- ENSURING THAT THE APPLICATION OF FINANCE IN RMI'S RESEARCH AND PROGRAMS IS AS RIGOROUS AND INNOVATIVE AS POSSIBLE. WE AIM TO ALIGN GLOBAL INVESTMENT GOALS WITH OUR CLEAN ENERGY GOALS, AND ENGAGE FINANCIAL INSTITUTIONS TO SUPPORT A LOW-CARBON FUTURE. 1808340 208642 OFFICE OF THE CHIEF SCIENTIST (OCS): SUSTAINING RMI'S GLOBAL THOUGHT LEADERSHIP ACROSS ALL FOUR ENERGY-USING SECTORS OF THE ECONOMY-BUILDINGS, TRANSPORTATION, INDUSTRY, AND ELECTRICITY. WE AIM TO BUILD TOMORROW'S ENERGY FUTURE THROUGH UNTRAMMELED IDEATION, INCUBATION, AND INTEGRATION THAT APPLY DEEP AND BROAD KNOWLEDGE WITH A VISION ACROSS BOUNDARIES.INDIA MOBILITY TRANSFORMATION- COLLABORATING WITH THE GOVERNMENT OF INDIA TO DESIGN A RAPID TRANSITION TO CLEAN, COST-EFFECTIVE MOBILITY FOR ALL.FACTOR 10 ENGINEERING (10XE)- AN EXPLORATORY EFFORT THAT'S TESTING WAYS TO SCALE, LEVERAGE, AND SPREAD RMI'S PROVEN DESIGN TECHNIQUES THAT LET ENGINEERS, ARCHITECTS, AND CLIENTS ACHIEVE RADICAL ENERGY EFFICIENCY AT LOWER COST BY DESIGNING BUILDINGS, FACTORIES, AND VEHICLES AS WHOLE SYSTEMS.REINVENTING FIRE: U.S.- A ROADMAP FOR RUNNING A 2.6-FOLD LARGER U.S. ECONOMY IN 2050 WITHOUT OIL, COAL, OR NUCLEAR ENERGY; EMITTING 82%-86% LESS CARBON; AND COSTING $5 TRILLION LESS THAN BUSINESS AS USUAL. THIS RIGOROUS FRAMEWORK GUIDES OUR ENERGY EFFORTS. 1544876 COMMUNICATIONS:THE COMMS TEAM UTILIZES PURPOSEFUL AND COMPELLING COMMUNICATIONS TO AMPLIFY RMI'S WORK AND IMPACT. OUR OBJECTIVES ARE TO PROVIDE A STRATEGIC COMMUNICATIONS LENS TO PROGRAMS IN ORDER TO SET PROGRAM DIRECTION, AND REACH SHORT AND LONG-TERM IMPACTS, OUTCOMES, AND OUTPUTS THAT ACHIEVE THE DESIRED IMPACT; AND TO PROVIDE COORDINATED TACTICAL SUPPORT TO PROGRAMS WITH HIGH QUALITY MEDIA, SOCIAL MEDIA, EDITORIAL, AND DESIGN SUPPORT. 7439708 715858 26053471 1 1 0 0 0 0 0 0 0 1 1 0 0 0 1 1 0 1 0 1 1 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 1 0 0 1 92 0 1 170 1 0 1 CO CH 0 0 0 0 0 0 0 0 X 20 17 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NV NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X X HEATHER MCCREERY 3032451003 2490 JUNCTION PLACE SUITE 200 BOULDER CO 80301 TED WHITE CHAIRMAN 1.00 1.00 X X 0 0 0 TOM DINWOODIE LEAD TRUSTEE 1.00 X X 0 0 0 DAVID ALLEN TRUSTEE 1.00 X 0 0 0 ROY BEDLOW TRUSTEE 1.00 X 0 0 0 PETER BOYER TRUSTEE 1.00 X 0 0 0 SUZANNE FARVER TRUSTEE 1.00 X 0 0 0 MARK FERRON TRUSTEE 1.00 X 0 0 0 ARJUN GUPTA TRUSTEE 1.00 X 0 0 0 MICHAEL HAAS TRUSTEE 1.00 X 0 0 0 JOSE MARIA FIGUERES TRUSTEE 1.00 1.00 X 0 0 0 REUBEN MUNGER TRUSTEE 1.00 X 0 0 0 JEAN OELWANG TRUSTEE 1.00 X 0 0 0 GEORGE POLK TRUSTEE 1.00 X 0 0 0 MARY POWELL TRUSTEE 1.00 X 0 0 0 ELIZABETH SALL TRUSTEE 1.00 X 0 0 0 TODD STERN TRUSTEE 1.00 X 0 0 0 MARIA VAN DER HOEVEN TRUSTEE 1.00 X 0 0 0 JULES KORTENHORST CEO 40.00 1.00 X X 598722 0 42481 AMORY LOVINS CHAIRMAN EMERITUS/CHIEF SCIENTIST 40.00 X X 348933 0 32162 MARTHA PICKETT GENERAL COUNSEL-SECRETARY 40.00 1.00 X X 318391 0 33737 HEATHER MCCREERY CFO 40.00 1.00 X 48224 0 9351 IAIN CAMPBELL MANAGING DIRECTOR 40.00 X 247751 0 36365 JON CREYTS MANAGING DIRECTOR 40.00 X 313017 0 36173 STEPHEN DOIG MANAGING DIRECTOR 40.00 X 313069 0 32686 MARK GRUNDY MANAGING DIRECTOR 40.00 X 185761 0 18635 LENA HANSEN MANAGING DIRECTOR 40.00 X 199538 0 18578 EDWARD HARVEY MANAGING DIRECTOR 40.00 X 307861 0 18303 KEELY HENDERSON MANAGING DIRECTOR 40.00 X 249811 0 17827 BRAD MUSHOVIC MANAGING DIRECTOR 40.00 X 209142 0 30217 CAROL NASTA MANAGING DIRECTOR 40.00 X 209915 0 24217 JAMES NEWCOMB MANAGING DIRECTOR 40.00 X 266341 0 32672 CURTIS PROBST MANAGING DIRECTOR 40.00 X 298313 0 28893 HERVE TOUATI MANAGING DIRECTOR 40.00 X 314441 0 32676 JERULD WEILAND MANAGING DIRECTOR 40.00 X 311277 0 25668 NUSHIN KORMI PRINCIPAL 40.00 X 203825 0 26217 JUSTIN LOCKE DIRECTOR 40.00 X 177765 0 15156 VICTOR OLGYAY PRINCIPAL 40.00 X 168356 0 22928 JEFF WALLER PRINCIPAL 40.00 X 162172 0 15092 JAMES MANDEL PRINCIPAL 40.00 X 158664 0 26938 5611289 0 576972 39 0 1 0 JE DUNN 2000 S COLORADO BLVD SUITE 12000 DENVER CO 80222 CONSTRUCTION 983816 DNV KEMA RENEWABLES DEPT CH 19586 PALATINE IL 60055 CONSULTING 617377 CNI SERVICES 7000 S YOSEMITE STREET SUITE 125 CENTENNIAL CO 80112 IT SERVICES 397003 REOS NORTH AMERICA ONE BROADWAY 14TH FLOOR CAMBRIDGE MA 02142 CONSULTING 381304 ZIMMER GUNSUL FRANSCA ARCHITECTS LLP 1223 SW WASHINGTON ST 200 PORTLAND OR 97205 ARCHITECTS 309700 16 4105 30677162 711661 30681267 CONSULTING FEES 541610 3028925 3028925 PROGRAM MEMBERSHIP FEE 541900 2022551 2022551 PROJECT REVENUE 541900 546056 546056 5597532 16142 16142 8869 8869 62970 0 62970 62970 62970 8053 -8053 -8053 -8053 E-LABS EVENT REVENUE 900099 20856 20856 OTHER INCOME 900099 8374 8374 RELATED RENTAL 531120 2037 2037 31267 36389994 5620425 0 88302 4542960 3314832 651545 576583 12592896 9931362 1523400 1138134 439002 311788 68346 58868 1288595 946195 254989 87411 1019961 761159 167691 91111 294119 75517 218602 115107 115107 122022 122022 4389 4389 671316 659790 10496 1030 1287957 962207 233173 92577 628284 329972 243568 54744 1007797 786923 145099 75775 3093860 2706501 327313 60046 56056 56056 767561 617183 92577 57801 95275 75798 12642 6835 CONSULTANTS AND SUBCONT 4416181 4109178 273355 33648 PRINTING 136925 90917 7414 38594 DUES AND SUBSCRIPTIONS 113704 58755 53647 1302 708854 315394 309637 83823 33402821 26053471 4769046 2580304 881864 4238927 2675656 0 9731582 9275331 1237267 1788180 3268 0 2485 0 334330 175946 20186493 3459357 16923875 16727136 483389 513986 92818 270220 580688 1200621 32947222 34190347 3259314 3555049 1172001 1211071 4695885 4760648 351318 306932 9478518 9833700 X 11932089 12049414 11219045 11427013 317570 880220 23468704 24356647 32947222 34190347 X 2987173 13889 -2113119 X 0 1 X 1 0 X 13905792 16217886 23324546 25775229 30681267 109904720 13905792 16217886 23324546 25775229 30681267 109904720 45345045 64559675 208499 662022 60609 43879 87981 1062990 963 963 5933 5129 246 8374 19682 110988355 15647754 0.58170 0.59920 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2012 AMOUNT: $ 5,933. 2013 AMOUNT: $ 5,129. 2015 AMOUNT: $ 246. 2016 AMOUNT: $ 8,374. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 884692 6650 78141 35926 10866 922691 986528 8000 -9811 100025 884692 980930 35890 -30291 609285 377244 875987 23315 89825 8197 980930 710719 125365 52732 12829 875987 0.95400 0.04600 1 0 16010010 588828 15421182 741066 557125 183941 2155311 1792435 362876 1280106 520969 759137 16727136 CAPITAL LEASE OBLIGATIONS 200954 DEFERRED RENT 105978 306932 X 36511144 13889 48427 63223 125539 36385605 4389 4389 36389994 34295218 48427 848359 896786 33398432 4389 4389 33402821 PART V, LINE 4: ENDOWMENT FUNDS ARE USED TO PROVIDE RMI SUMMER RESEARCH INTERNSHIPS OPPORTUNITIES. PART X, LINE 2: RMI APPLIES A MORE-LIKELY-THAN-NOT MEASUREMENT METHODOLOGY TO REFLECT THE FINANCIAL STATEMENT IMPACT OF UNCERTAIN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. AFTER EVAULUATING THE TAX POSITIONS TAKEN, NONE ARE CONSIDERED TO BE UNCERTAIN; THEREFORE, NO AMOUNTS HAVE BEEN RECOGNIZED AS OF JUNE 30, 2017. PART XI, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN NET ASSETS HELD AT THE DENVER FOUNDATION 63,223. PART XII, LINE 2D - OTHER ADJUSTMENTS: WRITE-OFF OF PLEDGES RECEIVABLE 848,359. SCH D, PART V DURING 2017, RMI BECAME AWARE OF INFORMATION THAT INDICATED THAT NET ASSETS RELATED TO ROCKY MOUNTAIN INSTITUTE INNOVATION CENTER ENDOWMENT FUND WERE MISCLASSIFIED IN THE 2016 CONSOLIDATED FINANCIAL STATEMENTS. THE 2016 FINANCIAL STATEMENTS HAVE BEEN RESTATED TO RECLASSIFY NET ASSET BALANCES. EAST ASIA AND THE PACIFIC 2 13 PROGRAM SERVICES CHINA 1723266 EUROPE 7 PROGRAM SERVICES COMMUNICATIONS, METHANE, SEED, SHIPPING EFFICIENCY, ISLANDS ENERGY PROGRAM, EWF 599852 CENTRAL AMERICA AND THE CARIBBEAN 4 PROGRAM SERVICES ISLANDS ENERGY PROGRAM 438690 SOUTH AMERICA 1 PROGRAM SERVICES ISLANDS ENERGY PROGRAM 52104 SUB-SAHARAN AFRICA 2 PROGRAM SERVICES OFFICE OF CHIEF SCIENTIST, SEED, SUNSHINE FOR MINES 567888 NORTH AMERICA 2 PROGRAM SERVICES SUNSHINE FOR MINES, SHIPPING EFFICIENCY, ISLANDS ENERGY PROGRAM, BRC 245520 SOUTH ASIA 1 PROGRAM SERVICES INDIA 69600 2 30 0 0 2 30 3696920 0 3696920 0 0 0 0 1 0 X X X X X X 1 REDSTONE STRATEGY GROUP LLC 3223 ARAPAHOE AVE BOULDER CO 80303 GENERAL FUNDRAISING 0 0 122022 0 122022 AL AK AR CA CO CT FL GA HI IL KS KY ME MI MS MD MN NE NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI MA X X 1 1 X X X X 0 0 0 0 0 0 0 1 0 JULES KORTENHORST CEO 298722 0 200000 0 100000 0 15635 0 26846 0 641203 0 0 0 AMORY LOVINS CHAIRMAN EMERITUS/CHIEF SCIENTIST 283933 0 65000 0 0 0 14958 0 17204 0 381095 0 0 0 MARTHA PICKETT GENERAL COUNSEL-SECRETARY 249641 0 68750 0 0 0 13031 0 20706 0 352128 0 0 0 IAIN CAMPBELL MANAGING DIRECTOR 247751 0 0 0 0 0 13021 0 23344 0 284116 0 0 0 JON CREYTS MANAGING DIRECTOR 244267 0 68750 0 0 0 13031 0 23142 0 349190 0 0 0 STEPHEN DOIG MANAGING DIRECTOR 250569 0 62500 0 0 0 13031 0 19655 0 345755 0 0 0 MARK GRUNDY MANAGING DIRECTOR 175336 0 10425 0 0 0 9115 0 9520 0 204396 0 0 0 LENA HANSEN MANAGING DIRECTOR 199538 0 0 0 0 0 9583 0 8995 0 218116 0 0 0 EDWARD HARVEY MANAGING DIRECTOR 251611 0 56250 0 0 0 13031 0 5272 0 326164 0 0 0 KEELY HENDERSON MANAGING DIRECTOR 249811 0 0 0 0 0 0 0 17827 0 267638 0 0 0 BRAD MUSHOVIC MANAGING DIRECTOR 169767 0 39375 0 0 0 9125 0 21092 0 239359 0 0 0 CAROL NASTA MANAGING DIRECTOR 169415 0 40500 0 0 0 9375 0 14842 0 234132 0 0 0 JAMES NEWCOMB MANAGING DIRECTOR 247591 0 18750 0 0 0 13031 0 19641 0 299013 0 0 0 CURTIS PROBST MANAGING DIRECTOR 242063 0 56250 0 0 0 5208 0 23685 0 327206 0 0 0 HERVE TOUATI MANAGING DIRECTOR 251941 0 62500 0 0 0 13021 0 19655 0 347117 0 0 0 JERULD WEILAND MANAGING DIRECTOR 255027 0 56250 0 0 0 13031 0 12637 0 336945 0 0 0 NUSHIN KORMI PRINCIPAL 162575 0 41250 0 0 0 8769 0 17448 0 230042 0 0 0 JUSTIN LOCKE DIRECTOR 142240 0 35525 0 0 0 7543 0 7613 0 192921 0 0 0 VICTOR OLGYAY PRINCIPAL 139516 0 28840 0 0 0 7583 0 15345 0 191284 0 0 0 JEFF WALLER PRINCIPAL 138839 0 23333 0 0 0 6788 0 8304 0 177264 0 0 0 JAMES MANDEL PRINCIPAL 126164 0 32500 0 0 0 6901 0 20037 0 185602 0 0 0 PART I, LINE 1A BUSINESS USE OF PERSONAL RESIDENCE - AMORY LOVINS RENTS APPROXIMATELY 1200 SQ FT OF HIS HOUSE, PLUS SHARED SPACE TO RMI AS OFFICE SPACE UNDER A 1-YEAR WRITTEN LEASE ENDING DECEMBER 31, 2017. THE RENT IS $1,000 PER MONTH. PART I, LINE 7 NON-FIXED PAYMENTS - SOME EMPLOYEES WERE PAID PERFORMANCE BONUSES AT THE DISCRETION OF MANAGEMENT. X 19 771661 FMV 0 0 0 FORM 990, PART VI, SECTION B, LINE 11B RMI'S REVIEW PROCESS FOR THE 990 FORM BEGINS WITH A FORMAL REVIEW BY MANAGEMENT. AFTER MANAGEMENT REVIEW, A SECOND REVIEW IS PERFORMED BY THE BOARD OF TRUSTEES AUDIT COMMITTEE. THE 990 REVIEW AND APPROVAL OF THE AUDIT COMMITTEE WILL BE REPORTED TO THE BOARD OF TRUSTEES AT THE NEXT QUARTERLY MEETING. FORM 990, PART VI, SECTION B, LINE 12C TRUSTEES ARE PROVIDED A CONFLICT OF INTEREST POLICY ON AN ANNUAL BASIS TO DISCLOSE OF ANY INTERESTS. THE POLICY IS DISTRIBUTED ANNUALLY AND SIGNED BY ALL TRUSTEES. FORM 990, PART VI, SECTION B, LINE 15 FOR THE PAST SEVERAL YEARS, RMI HAS ENGAGED AN OUTSIDE COMPENSATION FIRM TO REVIEW COMPENSATION AT ALL LEVELS AND HELP THE ORGANIZATION TO ENSURE COMPENSATION LEVELS ARE APPROPRIATELY COMPETITIVE WITHIN THE MARKET. RMI REGULARLY ENSURES NEW AND MODIFIED POSITIONS OF ALL LEVELS ARE APPROPRIATELY PRICED WITH REGARD TO SALARY AND BONUS, INCLUDING SENIOR LEVEL POSITIONS. ADDITIONALLY, THE BOARD OF TRUSTEES FORMED A COMPENSATION COMMITTEE IN 2013 TO ENSURE APPROPRIATE COMPENSATION PRACTICES ARE IN PLACE FOR THE EXECUTIVE LEVEL. THIS COMPENSATION COMMITTEE ALSO APPROVES COMPENSATION ACTIONS REGARDING SENIOR TEAM MEMBERS AND RMI'S CEO. FORM 990, PART VI, SECTION C, LINE 19 RMI'S ARTICLES OF INCORPORATION ARE OF PUBLIC RECORD WITH THE COLORADO SECRETARY OF STATE. ANNUAL REPORTS, IRS FORM 990, AND AUDITED FINANCIAL STATEMENTS ARE AVAILABLE ON THE RMI WEBSITE (WWW.RMI.ORG). COPIES OF ANY POLICY, INCLUDING BYLAWS, ARE AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: CHANGE IN NET ASSETS OF SUBSIDIARIES -90,478. CONSOLIDATION WITH SUBSIDIARY 37,495. WRITE-OFF OF PLEDGES RECEIVABLE -848,359. CAPITAL CONTRIBUTION TO SUBSIDIARY -1,275,000. CHANGE IN NET ASSETS HELD AT THE DENVER FOUNDATION 63,223. RMI INNOVATION CENTER LLC 2490 JUNCTION PLACE SUITE 200 BOULDER CO 80301 742244146 OWNERSHIP & MGMT OF ROCKY MOUNTAIN INSTITUTE INNOVATION CENTER IN BASALT, CO CO ROCKY MOUNTAIN INSTITUTE ROCKY MOUNTAIN INSTITUTE-INTERNATIONAL 2490 JUNCTION PLACE SUITE 200 BOULDER CO 80301 QIAHAI RMI RESEARCH CENTER CO 501(C)(3) LINE 12A, I ROCKY MOUNTAIN INSTITUTE 1 BLACK BEAR ENERGY 1216 PEARL ST BOULDER CO 80302 SOLAR PHOTOVOLTAIC PLACEMENT DE N/A C -562602 0.37500 0 0 1 0 1 0 0 0 0 0 0 0 1 0 0 1 0 0 0 0 ROCKY MOUNTAIN INSTITUTE INTERNATIONAL B 1275000