2015-08-17T14:28:13-05:00 2014-09-26 990 2013-09-28 741070544 Southwest Research Institute SOUT 2106845111 PO Drawer 28510 San Antonio TX 782280510 Beth Ann Rafferty CFO & Vice President, Finance 2106845111 2015-08-17 2013 2016-03-07 17:11:31Z Beth Ann Rafferty PO Drawer 28510 San Antonio TX 782280510 529095142 0 X www.swri.org X 1966 TX Benefiting government, industry & the public through innovative science & technology. 13 11 3273 0 66298086 -2321172 802062 926776 567957802 526628215 442625 1034679 436106 442740 569638595 529032410 360182 403177 0 0 177353451 278064947 0 0 0 362023866 247965577 539737499 526433701 29901096 2598709 644855953 651171673 162448030 163458713 482407923 487712960 X SwRI exists to benefit government, industry & the public by conducting innovative applied & basic research; developing/transferring technology; establishing, maintaining & operating research facilities; & providing a challenging and rewarding work environment to fulfill its scientific, charitable, testing for public safety, literary and educational purposes. 0 0 450754695 403177 460330129 Southwest Research Institute exists to benefit government, industry and the public by conducting innovative applied and basic research developing/transferring technology; establishing, maintaining and operating research facilities; and providing a challenging and rewarding work environment to fulfill its scientific, charitable, testing for public safety, literary and educational purposes.Scientific Research and Development directly related services are described at our website: www.swri.org. Additional information regarding federal government technical programs is available at http://harvester.census.gov/sac/ 450754695 1 1 0 1 0 0 0 0 0 0 1 0 0 1 1 1 0 1 0 1 1 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 1 0 1 0 0 0 1 1 1 1 1 0 1 671 0 3273 1 1 1 1 CH 0 0 0 0 0 0 0 0 X 13 11 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 OK X Beth Ann Rafferty 2106845111 6220 Culebra Road San Antonio TX 78228 Wayne S Alexander Director 1.00 0.10 X 32000 0 0 Eugene L Ames Director 1.00 0.10 X 31000 0 0 Richard W Calvert Director 1.00 0.10 X 28500 0 0 A Baker Duncan Director 1.00 0.10 X 29000 0 0 Roger R Hemminghaus Director 1.00 0.10 X 34000 0 0 Milton B Lee II Director 1.00 0.10 X 31000 0 0 Phillip J Pfeiffer Chairman 1.00 0.10 X 48250 0 0 Mary Ann Rankin Director 1.00 0.10 X 32000 0 0 John B Roberts Director 1.00 0.10 X 30500 0 0 Ricardo Romo Vice Chairman 1.00 0.10 X 28250 0 0 Curtis Vaughan Jr Director 1.00 0.10 X 2500 0 0 David S Zachry Director 1.00 0.10 X 0 0 0 John C Korbell Director 1.00 0.10 X 0 0 0 J Dan Bates President 40.00 0.10 X X 1147634 0 134864 Walter D Downing Jr Executive Vice President 40.00 0.10 X X 692022 0 44463 Beth Ann Rafferty Chief Financial Officer 40.00 X 362779 0 51268 Amos E Holt Vice President 40.00 X 104434 0 4014 John W McLeod V.P. & General Counsel 40.00 X 388928 0 45963 Robert P Griffith Jr Vice President 40.00 X 271829 0 26934 Richard D Somers Vice President 40.00 X 417099 0 50827 Edward D Moore Vice President 40.00 X 331696 0 42053 Bob Keys Vice President 40.00 X 240711 0 14574 Susan B Crumrine Vice President 40.00 X 329247 0 49756 Michael MacNaughton Vice President 40.00 X 459866 0 28784 Bruce B Bykowski Vice President 40.00 X 323649 0 45739 Steven D Marty Vice President 40.00 X 281743 0 42466 Wesley C Patrick Vice President 40.00 X 431392 0 41953 Danny M Deffenbaugh Vice President 40.00 X 336546 0 41882 C Nils Smith Vice President 40.00 X 252389 0 49556 James L Burch Vice President 40.00 X 536874 0 45522 Linda Boehme Treasurer 40.00 X 176280 0 32850 Paul Easley Vice President 40.00 X 217482 0 44728 Mary Massey Vice President 40.00 X 273949 0 35505 Scott J Bolton Associate Vice President 40.00 X 345145 0 51887 David J McComas Asst. Vice President 40.00 X 346330 0 54102 Sol A Stern Associate Vice President 40.00 X 370522 0 52435 Adam Hamilton President-Related Organization 1.00 40.00 X 0 355795 7650 William M Thompson V.P.- Related Organization 1.00 40.00 X 0 292815 7650 Katharine C Golas Vice President 24.00 X 233304 0 2069 9198850 648610 1049494 528 1 1 0 University of New Hamphire 51 College Road Durham NH 03824 R&D Services 6587464 Johns Hopkins University 111000 John Hopkins Laurel MD 20723 R&D Services 4641530 University of Colorado Campus Box 572 Boulder CO 80309 R&D Services 2897467 Sierra Nevada 444 Salomon Circle Sparks NV 89436 R&D Services 2783939 Surrey Satellite 345 Inverness Dr Englewood CO 80112 R&D Services 2310875 53 677133 249643 249643 926776 Research & Development 541700 526578040 460279954 66298086 Signature Science 541700 50175 50175 526628215 1034679 1034679 363051 363051 142421 62732 79689 79689 79689 529032410 460330129 66298086 1477419 403177 403177 7842189 4185808 3656381 205694522 175182970 30511552 18361278 15314964 3046314 31423679 25005053 6418626 14743279 12380442 2362837 1506694 1506694 102576 102576 231590 231590 14375978 11362288 3013690 2344523 1752894 591629 13833559 8768449 5065110 5323271 4667819 655452 454633 454633 523539 523539 26404930 10472346 15932584 1857553 1857553 Project cost-non labor 163569436 163569436 Purchased Services 13528907 14117886 -588979 Equipment Rental 2094104 1835656 258448 Internal Research 1196046 1196046 618238 539461 78777 526433701 450754695 75679006 0 13762 96702211 100771370 10000000 111484514 107256198 5976989 8681761 10356343 11534334 607376316 313377639 290056636 293998677 130265498 118929333 644855953 651171673 95370820 102476783 20000000 10000000 47077210 50981930 162448030 163458713 X 482407923 487712960 482407923 487712960 644855953 651171673 X 2598709 2706328 X 0 1 X 1 1 1 X 911712 961058 1031183 802062 926776 4632791 483247992 514842243 505230767 511070928 526578040 2540969970 100000 100000 100000 100000 100000 500000 484259704 515903301 506361950 511972990 527604816 2546102761 911712 959089 864621 752257 677133 4164812 159201390 185799517 155457882 140455195 115879029 756793013 160113102 186758606 156322503 141207452 116556162 760957825 1785144936 3134675 -203364 1032212 878731 1477419 6319673 3682663 1646375 2102248 636383 8067669 6817338 1443011 3134460 1515114 1477419 14387342 491077042 517346312 509496410 513488104 529082235 2560490103 0.69720 0.67210 0.00560 0.00610 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 231590 231590 450523105 450754695 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 442690 489200 357424 231590 1520904 250000 250000 250000 250000 1000000 1500000 8746796 8746796 420323182 174010001 246313181 1151264 916392 234872 160265455 124093510 36171945 16889619 14357736 2531883 293998677 Tianjin SwARC Investment 1512096 Investment in Signature Science 7462257 Post Retirement Medical Fund 56245228 Bond Redemption Fund 10000000 Deferred Tax Asset 2525641 Other Assets 7140175 Long Term Investments 34043936 118929333 Post Retirement Medical Benefits Obligation 43092646 Pension Obligations 749109 Deferred Compensation Obligation 7140175 50981930 X Part X, Line 2: Southwest Research Institute does not have any uncertain tax positions under ASC 740 "Income Taxes". East Asia and the Pacific 1 4 Program Services Marketing and project coordination for SwRI's Research and Development efforts. 560864 1 4 0 0 1 4 560864 0 560864 0 0 1 0 0 0 Part I, line 3: Accrual Method 1 ESSAR Recreation Association 6220 Culebra Road San Antonio TX 78228 741490851 501(c)(4) 34670 General Support University of Texas at Austin 1 University Drive Austin TX 78712 746000203 501(c)(3) 17600 General Support University of Texas at San Antonio 6900 N Loop 1604 San Antonio TX 78249 741717115 501(c)(3) 10000 General Support United Way of San Antonio 700 South Alamo San Antonio TX 78293 741272381 501(c)(3) 182350 General Support Haven for Hope of Bexar County P O Box 781609 San Antonio TX 78278 208075412 501(c)(3) 5000 General Support St Mary's University of San Antonio 1 Camino Santa Maria San Antonio TX 78228 741143128 501(c)(3) 5000 General Support Junior Achielvement of South Texas 403 East Ramsey Suite 201 San Antonio TX 78216 742061852 501(c)(3) 20000 General Support Trinity University One Trinity Place 49 San Antonio TX 782127200 741109633 501(c)(3) 5000 General Support Good Samaritan Community 1600 Saltillo St San Antonio TX 78207 741117340 501(c)(3) 5000 General Support 8 1 Part I, Line 2: The assistance amounts listed are provided to the entities as donations in accordance with the applicable stated purposes of Southwest Research Institute. X X X 1 1 X X X X X 1 1 0 0 0 0 0 0 0 J Dan Bates President 890599 0 123104 0 133931 0 118161 0 16703 0 1282498 0 0 0 Walter D Downing Jr Executive Vice President 540785 0 76428 0 74809 0 25776 0 18687 0 736485 0 0 0 Beth Ann Rafferty Chief Financial Officer 286729 0 45279 0 30771 0 25776 0 25492 0 414047 0 0 0 John W McLeod V.P. & General Counsel 321525 0 43436 0 23967 0 25776 0 20187 0 434891 0 0 0 Robert P Griffith Jr Vice President 146784 0 40657 0 84388 0 17161 0 9773 0 298763 0 0 0 Richard D Somers Vice President 329060 0 46876 0 41163 0 25776 0 25051 0 467926 0 0 0 Edward D Moore Vice President 269831 0 33860 0 28005 0 25776 0 16277 0 373749 0 0 0 Bob Keys Vice President 135813 0 53700 0 51198 0 13836 0 738 0 255285 0 0 0 Susan B Crumrine Vice President 256256 0 45332 0 27659 0 25776 0 23980 0 379003 0 0 0 Michael MacNaughton Vice President 347939 0 57273 0 54654 0 25776 0 3008 0 488650 0 0 0 Bruce B Bykowski Vice President 256978 0 37398 0 29273 0 25776 0 19963 0 369388 0 0 0 Steven D Marty Vice President 230977 0 28906 0 21860 0 25776 0 16690 0 324209 0 0 0 Wesley C Patrick Vice President 342748 0 45757 0 42887 0 25776 0 16177 0 473345 0 0 0 Danny M Deffenbaugh Vice President 278125 0 45488 0 12933 0 25776 0 16106 0 378428 0 0 0 C Nils Smith Vice President 234704 0 12928 0 4757 0 24639 0 24917 0 301945 0 0 0 James L Burch Vice President 370515 0 43212 0 123147 0 25776 0 19746 0 582396 0 0 0 Linda Boehme Treasurer 171751 0 0 0 4529 0 17220 0 15630 0 209130 0 0 0 Paul Easley Vice President 208000 0 0 0 9482 0 21473 0 23255 0 262210 0 0 0 Mary Massey Vice President 249817 0 0 0 24132 0 25776 0 9729 0 309454 0 0 0 Scott J Bolton Associate Vice President 338062 0 0 0 7083 0 25776 0 26111 0 397032 0 0 0 David J McComas Asst. Vice President 321649 0 0 0 24681 0 25776 0 28326 0 400432 0 0 0 Sol A Stern Associate Vice President 353658 0 0 0 16864 0 25776 0 26659 0 422957 0 0 0 Adam Hamilton President-Related Organization 0 276598 0 66000 0 13197 0 7650 0 0 0 363445 0 0 William M Thompson V.P.- Related Organization 0 231712 0 53000 0 8103 0 7650 0 0 0 300465 0 0 Katharine C Golas Vice President 0 0 0 0 233304 0 1308 0 761 0 235373 0 0 0 Part I, Line 1a The Institute's travel policy generally does not permit first class travel. There are a small number of exceptions for approved medical conditions or other business required special circumstances. Tax indemnification and gross-up payments: SwRI provided additional cash compensation (reported on the W-2 and Schedule J) to partially offset the economic impact of a grandfathered taxable benefit to one officer. This represents less than .1% of total officer compensation. Health or social club dues/fees: SwRI pays the membership cost for two officers at two social clubs. These memberships are used primarily for business meetings. Any personal charges are paid by the officers. Part I, Lines 4a-b The Institute had a funded noncontributory defined benefit pension plan (Group Annuity Plan). The Institute's Group Annuity Plan was granted to Institute officers that were employed as of March 30, 1981. Remaining Plan member: J. Dan Bates, $92,385. A City of Tatum Industrial Development Corp 752841079 2005-06-17 10000000 CONSTRUCTION OF BUILDING 238- LABORATORY AND OFFICE SPACE 0 0 0 B City of Tatum Industrial Development Corp 752841079 2006-01-17 10000000 CONSTRUCTION OF BUILDING 238- LABORATORY AND OFFICE SPACE 0 0 0 A 10000000 10000000 2006 0 0 1 1 B 10000000 10000000 2006 0 0 1 1 A 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 A 0 0 0 0 1 1 Bank of America N A 10.000000000000 0 0 0 0 0 B 0 0 0 0 1 1 Bank of America N A 10.000000000000 0 0 0 0 0 A 0 B 0 Heather Bates Family member of Dan Bates,President 90950 Employment 0 Deborah Deffenbaugh Family member of Danny M. Deffenbaugh, Vice President 78519 Employment 0 Julia Fey Family member of Walter D. Downing Jr., Executive Vice President 42788 Employment 0 0 James Keys Family member of Bob Keys, Vice President 205950 Employment 0 David O'Neal Family member of Bruce B. Bykowski, Vice President 47924 Employment 0 William Rafferty Family member of Beth Ann Rafferty, Chief Fiancial Officer 133082 Employment 0 Paul Easley II Family member of Paul Easley, Vice President 43298 Employment 0 X R&D EQUIPMENT 1 125823 FAIR MARKET VALUE X R&D EQUIPMENT 1 60577 FAIR MARKET VALUE X R&D EQUIPMENT 1 23000 FAIR MARKET VALUE X R&D EQUIPMENT 1 23000 FAIR MARKET VALUE X R&D EQUIPMENT 1 17243 FAIR MARKET VALUE 0 1 0 Form 990, Part VI, Section B, line 11 A summary of Form 990 was reviewed with the Audit Committee of the Board of Directors. Schedule J compensation data was reviewed with the Compensation Committee. A copy of the completed Form 990, including all schedules, was electronically provided to all board members prior to filing. Form 990, Part VI, Section B, line 12c Directors of the organization are obligated under the conflict of interest policy to report all conflicts, to disclose all interests that could arise to conflicts, and all covered family and business relationships when completing the required annual disclosure questionnaire. Form 990, Part VI, Section B, line 15 Determination of Compensation: SwRI's strategy is to provide compensation that is fair, reasonable, and consistent with compensation paid for similar work in relevant labor areas and with compensation paid by Institute competitors in the markets for scientific research and development (R&D) and other technical services. The principal compensation authority is vested with the Board of Directors; however, the President of the Institute retains the authority to determine how various programs will be structured and administered subject to the oversight of the Compensation Committee of the Board of Directors. The Committee uses reputable compensation survey data, gathered annually, to compare the compensation of Officers to peer groups, within the relevant market segments, targeting an appropriate percentile corresponding to performance both for the year in question, and considering longer-term performance trends for total compensation. This review shall include comparative analysis of compensation paid by the Institute to compensation paid by local, sector, and national applied research and development organizations of similar size, both for profit and nonprofit organizations. The Committee engages the services of an external compensation advisor when conducting such comparability studies. Compensation Committee Review and Approval: The Board of Director delegates to the Committee the responsibility, in consultation with the President to review, approve and inform the Board of Directors of the changes in annual compensation and benefits for all Officers, except the President and Executive Vice President. The Committe will review the performance of the President and Executive Vice President and make a recommendation to the Board of Director for the total compensation for both of these officers. Adequate documentation is created contemporaneously and maintained to substantiate the basis for the Committee's and the Board of Directors' determination of total compensation for the President and all other Officers. Form 990, Part VI, Section C, line 19 The organization's governing documents, conflict of interest policy and financial statements are available to the public upon written request to the organization's Treasurer. Form 990, Part XI, line 9: NET GAIN ON DERIVATIVE INSTRUMENT 559,857. DECREASE OBLIGATION FOR GROUP ANNUITY(NET) 63,270. INCREASED OBLIGATION FOR PMBP (NET) -2,406,013. NET UNREALIZED GAIN OF PRMB 4,212,666. FIT credit 1,335,310. Aquisition of remaining portion of Signature Science, LLC -1,058,762. Signature Science LLC 8329 N Mopac Blvd Austin TX 78759 900041499 Scientific Research and Development TX 50175 1512096 Southwest Research Institute ESSAR Recreation Association 6220 Culebra Road San Antonio TX 78228 741490851 Improve the morale and welfare of members TX 501(c)(4) 0 Tom Slick Memorial Trust for SwRI 6220 Culebra Road San Antonio TX 78228 237225476 Support for Southwest Research Institute's scientific & educational purposes TX 501(c)(3) 11a 0 Signature Science LLC 8329 N Mopac Blvd Austin TX 78759 900041499 Scientific Research and Development TX Southwest Research Institute Related Income -28185 8545854 0 1 0.86470 0 1 1 0 0 0 0 0 0 0 0 1 1 1 0 0 0 1 0 ESSAR Recreation Association B 34670 GL Transaction Amt Tom Slick Memorial Trust for SwRI C 677133 GL Transaction Amt ESSAR Recreation Association N 5592801 Asset Book Value ESSAR Recreation Association R 43614 GL Transaction Amt Signature Science LLC L 1809968 GL Transaction Amt Signature Science LLC M 3674572 GL Transaction Amt