IThe organization may have to use a copy of this return to satisfy state reporting requirements. Inspection

Transcription

1 For ½½ Return of Organization Exept Fro ncoe Tax Under section 51(c), 527, or 4947(a)(1) of the nternal Revenue Code (except black lung benefit trust or private foundation) OMB No À¾µµ Open to Public Departent of the Treasury nternal Revenue Service The organization ay have to use a copy of this return to satisfy state reporting requireents. nspection A For the 211 calendar year, or tax year beginning B Check if applicable: J Address change Nae change nitial return C Nae of organization Doing Business As Nuber and street (or P.O. box if ail is not delivered to street address) 7/1, 211, and ending 6/3, 2 12 D Eployer identification nuber Roo/suite E Telephone nuber Terinated City or town, state or country, and ZP + 4 Aended return NEW YORK, NY G Gross receipts $ 35,111,468. Application F Nae and address of principal officer: H(a) s this a group return for Yes No pending THOMAS NAGORSK affiliates? 725 PARK AVENUE NEW YORK, NY 121 H(b) Are all affiliates included? Yes No Tax-exept status: 51(c)(3) 51(c) ( ) (insert no.) 4947(a)(1) or 527 f "No," attach a list. (see instructions) J Website: H(c) Group exeption nuber K For of organization: Corporation Trust Association Other L Year of foration: M State of legal doicile: Suary Part Activities & Governance Revenue Expenses Net Assets or Fund Balances 1 Briefly describe the organization's ission or ost significant activities: a b b Part THE ASA SOCETY Check this box if the organization discontinued its operations or disposed of ore than 25% of its net assets. Nuber of voting ebers of the governing body (Part V, line 1a) 3 Nuber of independent voting ebers of the governing body (Part V, line 1b) 4 Total nuber of individuals eployed in calendar year 211 (Part V, line 2a) 5 Total nuber of volunteers (estiate if necessary) 6 Total gross unrelated business revenue fro Part V, colun (C), line 12 7a Net unrelated business taxable incoe fro For 99-T, line 34 7b Prior Year Contributions and grants (Part V, line 1h) COPY FOR Progra service revenue (Part V, line 2g) PUBLC NSPECTON nvestent incoe (Part V, colun (A), lines 3, 4, and 7d) Other revenue (Part V, colun (A), lines 5, 6d, 8c, 9c, 1c, and 11e) Total revenue - add lines 8 through 11 (ust equal Part V, colun (A), line 12) Grants and siilar aounts paid (Part, colun (A), lines 1-3) Benefits paid to or for ebers (Part, colun (A), line 4) Salaries, other copensation, eployee benefits (Part, colun (A), lines 5-1) a Professional fundraising fees (Part, colun (A), line 11e) Total fundraising expenses (Part, colun (D), line 25) Other expenses (Part, colun (A), lines 11a-11d, 11f-24f) Total expenses. Add lines (ust equal Part, colun (A), line 25) Revenue less expenses. Subtract line 18 fro line 12 Total assets (Part, line 16) Total liabilities (Part, line 26) 3,59,16. Beginning of Current Year PARK AVENUE (212) NY THE SOCETY S AN NTERNATONAL, NONPROFT, NONPARTSAN ORGANZATON DEDCATED TO STRENGTHENNG RELATONSHPS AND DEEPENNG UNDERSTANDNG AMONG THE PEOPLES OF ASA AND THE UNTED STATES. Current Year End of Year ,739. 4,84. 15,22,21. 17,872,845. 1,176,39. 2,95,616. 1,825,977. 2,162,555. 1,175,893. 1,345, ,397,93. 24,331, ,597. 2,122, ,885, ,381,67. 35, ,123, ,26,38. 25,85,94. 3,745, ,452, ,414,21. 17,735, ,33,24. 23,362, ,528, ,372, ,774,72. Net assets or fund balances. Subtract line 21 fro line 2 Signature Block Under penalties of perjury, declare that have exained this return, including accopanying schedules and stateents, and to the best of y knowledge and belief, it is true, correct, and coplete. Declaration of preparer (other than officer) is based on all inforation of which preparer has any knowledge. Sign Here M Signature of officer Date Paid M Type or print nae and title Print/Type preparer's nae Preparer's signature Date Check if selfeployed Preparer Fir's nae KPMG LLP EN Use Only Fir's address Phone no. 345 PARK AVENUE NEW YORK, NY May the RS discuss this return with the preparer shown above? (see instructions) Yes No For Paperwork Reduction Act Notice, see the separate instructions. For 99 (21) 1E PTN P N 2231 V PAGE 2

2 For 8868 Application for Extension of Tie To File an (Rev. January 212) Exept Organization Return OMB No Departent of the Treasury nternal Revenue Service File a separate application for each return. f you are filing for an Autoatic 3-Month Extension, coplete only Part and check this box % f you are filing for an Additional (Not Autoatic) 3-Month Extension, coplete only Part (on page 2 of this for). Do not coplete Part unless you have already been granted an autoatic 3-onth extension on a previously filed For Electronic filing (e-file). You can electronically file For 8868 if you need a 3-onth autoatic extension of tie to file (6 onths for a corporation required to file For 99-T), or an additional (not autoatic) 3-onth extension of tie. You can electronically file For 8868 to request an extension of tie to file any of the fors listed in Part or Part with the exception of For 887, nforation Return for Transfers Associated With Certain Personal Benefit Contracts, which ust be sent to the RS in paper forat (see instructions). For ore details on the electronic filing of this for, visit and click on e-file for Charities & Nonprofits. Part Autoatic 3-Month Extension of Tie. Only subit original (no copies needed). A corporation required to file For 99-T and requesting an autoatic 6-onth extension - check this box and coplete Part only All other corporations (including 112-C filers), partnerships, REMCs, and trusts ust use For 74 to request an extension of tie to file incoe tax returns. Enter filer's identifying nuber, see instructions Nae of exept organization or other filer, see instructions. Eployer identification nuber (EN) or Type or print THE ASA SOCETY File by the Nuber, street, and roo or suite no. f a P.O. box, see instructions. Social security nuber (SSN) due date for filing your 725 PARK AVENUE return. See City, town or post office, state, and ZP code. For a foreign address, see instructions. instructions. NEW YORK,NY 121 Enter the Return code for the return that this application is for (file a separate application for each return) 1 Application s For For 99 For 99-BL For 99-EZ For 99-PF For 99-T (sec. 41(a) or 48(a) trust) For 99-T (trust other than above) % The books are in the care of Telephone No. Return Code Application s For For 99-T (corporation) For 141-A For 472 For 5227 For 669 For 887 Return Code FA No. f the organization does not have an office or place of business in the United States, check this box % f this is for a Group Return, enter the organization's four digit Group Exeption Nuber (GEN). f this is for the whole group, check this box. f it is for part of the group, check this box and attach a list with the naes and ENs of all ebers the extension is for. 1 request an autoatic 3-onth (6 onths for a corporation required to file For 99-T) extension of tie until 2/15, 2 13, to file the exept organization return for the organization naed above. The extension is for the organization's return for: calendar year 2 or tax year beginning 7/1, 2 11, and ending 6/3, DON NAGLE 2 f the tax year entered in line 1 is for less than 12 onths, check reason: nitial return Final return Change in accounting period 3a f this application is for For 99-BL, 99-PF, 99-T, 472, or 669, enter the tentative tax, less any nonrefundable credits. See instructions. 3a $ b f this application is for For 99-PF, 99-T, 472, or 669, enter any refundable credits and estiated tax payents ade. nclude any prior year overpayent allowed as a credit. 3b $ c Balance due. Subtract line 3b fro line 3a. nclude your payent with this for, if required, by using EFTPS (Electronic Federal Tax Payent Syste). See instructions. 3c $ Caution. f you are going to ake an electronic fund withdrawal with this For 8868, see For 8453-EO and For 8879-EO for payent instructions. For Privacy Act and Paperwork Reduction Act Notice, see nstructions. For 8868 (Rev ) 1F

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4 THE ASA SOCETY For 99 (211) Page 2 Part Stateent of Progra Service Accoplishents Check if Schedule O contains a response to any question in this Part 1 Briefly describe the organization's ission: THE SOCETY S AN NTERNATONAL, NONPROFT, NONPARTSAN ORGANZATON DEDCATED TO STRENGTHENNG RELATONSHPS AND DEEPENNG UNDERSTANDNG AMONG THE PEOPLES OF ASA AND THE UNTED STATES. 2 Did the organization undertake any significant progra services during the year which were not listed on the prior For 99 or 99-EZ? Yes No f "Yes," describe these new services on Schedule O. 3 Did the organization cease conducting, or ake significant changes in how it conducts, any progra services? Yes No f "Yes," describe these changes on Schedule O. 4 Describe the organization's progra service accoplishents for each of its three largest progra services, as easured by expenses. Section 51(c)(3) and 51(c)(4) organizations and section 4947(a)(1) trusts are required to report the aount of grants and allocations to others, the total expenses, and revenue, if any, for each progra service reported. 4a (Code: ) (Expenses $ 6,611,25. including grants of $ 5,. ) (Revenue $ 58,843. ) ART AND CULTURAL PROGRAMS DVSON - THE SOCETY'S ART AND CULTURAL PROGRAMS DVSON, WHCH OPERATES FROM THE NEW YORK CTY HEADQUARTERS, EPLORES THE VTAL EPRESSONS OF DVERSE ASAN CULTURES THROUGH EHBTONS, PERFORMANCES, FLMS, LECTURES AND SYMPOSA. FOR MORE NFORMATON, SEE SCHEDULE O. 4b (Code: ) (Expenses $ 5,27,234. including grants of $ ) (Revenue $ 686,29. ) POLCY AND BUSNESS PROGRAMS DVSON - THE SOCETY'S POLCY AND BUSNESS PROGRAMS DVSON, WHCH OPERATES FROM THE NEW YORK HEADQUARTERS, ORGANZES TMELY AND NSGHTFUL PROGRAMS THROUGHOUT THE U.S. AND ASA N ORDER TO BROADEN UNDERSTANDNG OF ASA'S DYNAMC POLTCAL, SOCAL AND BUSNESS ENVRONMENT. FOR MORE NFORMATON, SEE SCHEDULE O. 4c (Code: ) (Expenses $ 7,556,66. including grants of $ 1,799,69. ) (Revenue $ 1,582,878. ) EDUCATON DVSON - THE MSSON OF ASA SOCETY'S EDUCATON DVSON S TO DEVELOP YOUTH TO BE GLOBALLY COMPETENT CTZENS, WORKERS AND LEADERS BY EQUPPNG THEM WTH THE KNOWLEDGE AND SKLLS NEEDED FOR SUCCESS N AN NTERDEPENDENT WORLD. THE DVSON DOES THS BY NCREASNG BOTH THE DEMAND AND THE SUPPLY FOR GLOBAL COMPETENCE AND KNOWLEDGE ABOUT ASA, WHLE PROMOTNG EQUTY AND ECELLENCE N EDUCATON. FOR MORE NFORMATON, SEE SCHEDULE O. 4d Other progra services (Describe in Schedule O.) (Expenses $ 3,37,867. including grants of $ 318,144. ) (Revenue $ 1,65. ) 4e Total progra service expenses 22,746,11. 1E12 1. ATTACHMENT 1 For 99 (211) 16121N 2231 V PAGE 3

5 THE ASA SOCETY For 99 (211) Page 3 Part V Checklist of Required Schedules s the organization described in section 51(c)(3) or 4947(a)(1) (other than a private foundation)? f "Yes," coplete Schedule A 1 s the organization required to coplete Schedule B, Schedule of Contributors (see instructions)? 2 Did the organization engage in direct or indirect political capaign activities on behalf of or in opposition to candidates for public office? f "Yes," coplete Schedule C, Part 3 Section 51(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 51(h) election in effect during the tax year? f "Yes," coplete Schedule C, Part 4 s the organization a section 51(c)(4), 51(c)(5), or 51(c)(6) organization that receives ebership dues, assessents, or siilar aounts as defined in Revenue Procedure 98-19? f "Yes," coplete Schedule C, Part 5 Did the organization aintain any donor advised funds or any siilar funds or accounts for which donors have the right to provide advice on the distribution or investent of aounts in such funds or accounts? f "Yes," coplete Schedule D, Part 6 Did the organization receive or hold a conservation easeent, including easeents to preserve open space, the environent, historic land areas, or historic structures? f "Yes," coplete Schedule D, Part 7 Did the organization aintain collections of works of art, historical treasures, or other siilar assets? f "Yes," coplete Schedule D, Part 8 Did the organization report an aount in Part, line 21; serve as a custodian for aounts not listed in Part ; or provide credit counseling, debt anageent, credit repair, or debt negotiation services? f "Yes," coplete Schedule D, Part V 9 Did the organization, directly or through a related organization, hold assets in teporarily restricted endowents, peranent endowents, or quasi-endowents? f "Yes," coplete Schedule D, Part V 1 11 f the organization s answer to any of the following questions is "Yes," then coplete Schedule D, Parts V, V, V,, or as applicable. a Did the organization report an aount for land, buildings, and equipent in Part, line 1? f "Yes," coplete Schedule D, Part V 11a b Did the organization report an aount for investents other securities in Part, line 12 that is 5% or ore of its total assets reported in Part, line 16? f "Yes," coplete Schedule D, Part V 11b c Did the organization report an aount for investents-progra related in Part, line 13 that is 5% or ore of its total assets reported in Part, line 16? f "Yes," coplete Schedule D, Part V 11c d Did the organization report an aount for other assets in Part, line 15 that is 5% or ore of its total assets reported in Part, line 16? f "Yes," coplete Schedule D, Part 11d e Did the organization report an aount for other liabilities in Part, line 25? f "Yes," coplete Schedule D, Part 11e f Did the organization s separate or consolidated financial stateents for the tax year include a footnote that addresses the organization's liability for uncertain tax positions under FN 48 (ASC 74)? f "Yes," coplete Schedule D, Part 11f 12 a Did the organization obtain separate, independent audited financial stateents for the tax year? f "Yes," coplete Schedule D, Parts,, and 12a b Was the organization included in consolidated, independent audited financial stateents for the tax year? f "Yes," and if the organization answered "No" to line 12a, then copleting Schedule D, Parts,, and is optional 12b 13 s the organization a school described in section 17(b)(1)(A)(ii)? f "Yes," coplete Schedule E a Did the organization aintain an office, eployees, or agents outside of the United States? 14a b a b 1E Did the organization have aggregate revenues or expenses of ore than $1, fro grantaking, fundraising, business, investent, and progra service activities outside the United States, or aggregate foreign investents valued at $1, or ore? f "Yes," coplete Schedule F, Parts and V 14b Did the organization report on Part, colun (A), line 3, ore than $5, of grants or assistance to any organization or entity located outside the United States? f "Yes," coplete Schedule F, Parts and V 15 Did the organization report on Part, colun (A), line 3, ore than $5, of aggregate grants or assistance to individuals located outside the United States? f "Yes," coplete Schedule F, Parts and V 16 Did the organization report a total of ore than $15, of expenses for professional fundraising services on Part, colun (A), lines 6 and 11e? f "Yes," coplete Schedule G, Part (see instructions) 17 Did the organization report ore than $15, total of fundraising event gross incoe and contributions on Part V, lines 1c and 8a? f "Yes," coplete Schedule G, Part 18 Did the organization report ore than $15, of gross incoe fro gaing activities on Part V, line 9a? f "Yes," coplete Schedule G, Part 19 Did the organization operate one or ore hospital facilities? f "Yes," coplete Schedule H 2a f "Yes" to line 2a, did the organization attach a copy of its audited financial stateents to this return? 2b Yes No For 99 (211) 16121N 2231 V PAGE 4

6 THE ASA SOCETY For 99 (211) Page 4 Part V Checklist of Required Schedules (continued) 21 Did the organization report ore than $5, of grants and other assistance to any governent or organization in the United States on Part, colun (A), line 1? f "Yes," coplete Schedule, Parts and Did the organization report ore than $5, of grants and other assistance to individuals in the United States on Part, colun (A), line 2? f "Yes," coplete Schedule, Parts and Did the organization answer "Yes" to Part V, Section A, line 3, 4, or 5 about copensation of the organization's current and forer officers, directors, trustees, key eployees, and highest copensated eployees? f "Yes," coplete Schedule J a Did the organization have a tax-exept bond issue with an outstanding principal aount of ore than $1, as of the last day of the year, that was issued after Deceber 31, 22? f "Yes," answer lines 24b through 24d and coplete Schedule K. f No, go to line a b Did the organization invest any proceeds of tax-exept bonds beyond a teporary period exception? 24b c Did the organization aintain an escrow account other than a refunding escrow at any tie during the year to defease any tax-exept bonds? 24c d Did the organization act as an "on behalf of" issuer for bonds outstanding at any tie during the year? 24d 25 a Section 51(c)(3) and 51(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? f "Yes," coplete Schedule L, Part 25a b s the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization's prior Fors 99 or 99-EZ? f "Yes," coplete Schedule L, Part 25b 26 Was a loan to or by a current or forer officer, director, trustee, key eployee, highly copensated eployee, or disqualified person outstanding as of the end of the organization's tax year? f "Yes," coplete Schedule L, Part Did the organization provide a grant or other assistance to an officer, director, trustee, key eployee, substantial contributor or eployee thereof, a grant selection coittee eber, or to a 35% controlled entity or faily eber of any of these persons? f "Yes," coplete Schedule L, Part Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part V instructions for applicable filing thresholds, conditions, and exceptions): a A current or forer officer, director, trustee, or key eployee? f "Yes," coplete Schedule L, Part V 28a b A faily eber of a current or forer officer, director, trustee, or key eployee? f "Yes," coplete Schedule L, Part V 28b c An entity of which a current or forer officer, director, trustee, or key eployee (or a faily eber thereof) was an officer, director, trustee, or direct or indirect owner? f "Yes," coplete Schedule L, Part V 28c 29 Did the organization receive ore than $25, in non-cash contributions? f "Yes," coplete Schedule M 29 3 Did the organization receive contributions of art, historical treasures, or other siilar assets, or qualified conservation contributions? f "Yes," coplete Schedule M 3 31 Did the organization liquidate, terinate, or dissolve and cease operations? f "Yes," coplete Schedule N, Part Did the organization sell, exchange, dispose of, or transfer ore than 25% of its net assets? f "Yes," coplete Schedule N, Part Did the organization own 1% of an entity disregarded as separate fro the organization under Regulations sections and ? f "Yes," coplete Schedule R, Part Was the organization related to any tax-exept or taxable entity? f "Yes," coplete Schedule R, Parts,, V, and V, line a Did the organization have a controlled entity within the eaning of section 512(b)(13)? 35a b Did the organization receive any payent fro or engage in any transaction with a controlled entity within the eaning of section 512(b)(13)? f "Yes," coplete Schedule R, Part V, line 2 35b 36 Section 51(c)(3) organizations. Did the organization ake any transfers to an exept non-charitable related organization? f "Yes," coplete Schedule R, Part V, line Did the organization conduct ore than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal incoe tax purposes? f "Yes," coplete Schedule R, Part V Did the organization coplete Schedule O and provide explanations in Schedule O for Part V, lines 11 and 19? Note. All For 99 filers are required to coplete Schedule O. 38 For 99 (211) Yes No 1E N 2231 V PAGE 5

7 For 99 (211) Page 5 Part V 1 a b c Stateents Regarding Other RS Filings and Tax Copliance Check if Schedule O contains a response to any question in this Part V Enter the nuber reported in Box 3 of For 196. Enter -- if not applicable 1a Enter the nuber of Fors W-2G included in line 1a. Enter -- if not applicable 1b Did the organization coply with backup withholding rules for reportable payents to vendors and reportable gaing (gabling) winnings to prize winners? 1c 2a Enter the nuber of eployees reported on For W-3, Transittal of Wage and Tax Stateents, filed for the calendar year ending with or within the year covered by this return 2a 215 b f at least one is reported on line 2a, did the organization file all required federal eployent tax returns? 2b Note. f the su of lines 1a and 2a is greater than 25, you ay be required to e-file (see instructions) 3a Did the organization have unrelated business gross incoe of $1, or ore during the year? 3a b f "Yes," has it filed a For 99-T for this year? f "No," provide an explanation in Schedule O 3b 4a At any tie during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)? 4a b f Yes, enter the nae of the foreign country: See instructions for filing requireents for For TD F , Report of Foreign Bank and Financial Accounts. 5a Was the organization a party to a prohibited tax shelter transaction at any tie during the tax year? 5a b Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? 5b c f "Yes" to line 5a or 5b, did the organization file For 8886-T? 5c 6a Does the organization have annual gross receipts that are norally greater than $1,, and did the organization solicit any contributions that were not tax deductible? 6a b f "Yes," did the organization include with every solicitation an express stateent that such contributions or gifts were not tax deductible? 6b 7 Organizations that ay receive deductible contributions under section 17(c). a Did the organization receive a payent in excess of $75 ade partly as a contribution and partly for goods and services provided to the payor? 7a b f "Yes," did the organization notify the donor of the value of the goods or services provided? 7b c Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file For 8282? 7c d f "Yes," indicate the nuber of Fors 8282 filed during the year 7d e Did the organization receive any funds, directly or indirectly, to pay preius on a personal benefit contract? 7e f Did the organization, during the year, pay preius, directly or indirectly, on a personal benefit contract? 7f g f the organization received a contribution of qualified intellectual property, did the organization file For 8899 as required? 7g h f the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a For 198-C? 7h 8 Sponsoring organizations aintaining donor advised funds and section 59(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund aintained by a sponsoring organization, have excess business holdings at any tie during the year? 8 9 Sponsoring organizations aintaining donor advised funds. a Did the organization ake any taxable distributions under section 4966? 9a b Did the organization ake a distribution to a donor, donor advisor, or related person? 9b 1 Section 51(c)(7) organizations. Enter: a nitiation fees and capital contributions included on Part V, line 12 1a b Gross receipts, included on For 99, Part V, line 12, for public use of club facilities 1b 11 Section 51(c)(12) organizations. Enter: a Gross incoe fro ebers or shareholders 11a b Gross incoe fro other sources (Do not net aounts due or paid to other sources against aounts due or received fro the.) 11b 12a Section 4947(a)(1) non-exept charitable trusts. s the organization filing For 99 in lieu of For 141? 12a b f "Yes," enter the aount of tax-exept interest received or accrued during the year 12b 13 Section 51(c)(29) qualified nonprofit health insurance issuers. a s the organization licensed to issue qualified health plans in ore than one state? 13a Note. See the instructions for additional inforation the organization ust report on Schedule O. b Enter the aount of reserves the organization is required to aintain by the states in which the organization is licensed to issue qualified health plans 13b c Enter the aount of reserves on hand 13c 14a Did the organization receive any payents for indoor tanning services during the tax year? 14a b f "Yes," has it filed a For 72 to report these payents? f "No," provide an explanation in Schedule O 14b For 99 (211) 16121N 2231 V PAGE 6 1E14 1. THE ASA SOCETY Yes No

8 THE ASA SOCETY Governance, Manageent, and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" response to line 8a, 8b, or 1b below, describe the circustances, processes, or changes in Schedule O. See instructions. For 99 (211) Page 6 Part V Check if Schedule O contains a response to any question in this Part V Section A. Governing Body and Manageent 1a Enter the nuber of voting ebers of the governing body at the end of the tax year. f there are aterial differences in voting rights aong ebers of the governing body, or if the governing body delegated broad authority to an executive coittee or siilar coittee, explain in Schedule O. b Enter the nuber of voting ebers included in line 1a, above, who are independent 1b 44 2 Did any officer, director, trustee, or key eployee have a faily relationship or a business relationship with any other officer, director, trustee, or key eployee? 2 3 Did the organization delegate control over anageent duties custoarily perfored by or under the direct supervision of officers, directors, or trustees, or key eployees to a anageent copany or other person? 3 4 Did the organization ake any significant changes to its governing docuents since the prior For 99 was filed? 4 5 Did the organization becoe aware during the year of a significant diversion of the organization's assets? 5 6 Did the organization have ebers or stockholders? 6 7a Did the organization have ebers, stockholders, or other persons who had the power to elect or appoint one or ore ebers of the governing body? 7a b Are any governance decisions of the organization reserved to (or subject to approval by) ebers, stockholders, or persons other than the governing body? 7b 8 Did the organization conteporaneously docuent the eetings held or written actions undertaken during the year by the following: a The governing body? 8a b Each coittee with authority to act on behalf of the governing body? 8b 9 s there any officer, director, trustee, or key eployee listed in Part V, Section A, who cannot be reached at the organization's ailing address? f "Yes," provide the naes and addresses in Schedule O 9 Section B. Policies (This Section B requests inforation about policies not required by the nternal Revenue Code.) Yes 1a Did the organization have local chapters, branches, or affiliates? 1a b f "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exept purposes? 1b 11a Has the organization provided a coplete copy of this For 99 to all ebers of its governing body before filing the for? 11a b Describe in Schedule O the process, if any, used by the organization to review this For a Did the organization have a written conflict of interest policy? f "No," go to line 13 12a b Were officers, directors, or trustees, and key eployees required to disclose annually interests that could give rise to conflicts? 12b c Did the organization regularly and consistently onitor and enforce copliance with the policy? f "Yes," describe in Schedule O how this was done 12c 13 Did the organization have a written whistleblower policy? Did the organization have a written docuent retention and destruction policy? Did the process for deterining copensation of the following persons include a review and approval by independent persons, coparability data, and conteporaneous substantiation of the deliberation and decision? a b 16a b The organization's CEO, Executive Director, or top anageent official 15a Other officers or key eployees of the organization 15b f "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions.) Did the organization invest in, contribute assets to, or participate in a joint venture or siilar arrangeent with a taxable entity during the year? 16a f "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangeents under applicable federal tax law, and take steps to safeguard the organization's exept status with respect to such arrangeents? 16b Section C. Disclosure 17 List the states with which a copy of this For 99 is required to be filed CA,NJ,NY, 18 Section 614 requires an organization to ake its Fors 123 (or 124 if applicable), 99, and 99-T (Section 51(c)(3)s only) available for public inspection. ndicate how you ade these available. Check all that apply. Own website Another's website Upon request 19 Describe in Schedule O whether (and if so, how), the organization ade its governing docuents, conflict of interest policy, and financial stateents available to the public during the tax year. 2 State the nae, physical address, and telephone nuber of the person who possesses the books and records of the organization: DONALD L. NAGLE, 725 PARK AVENUE NEW YORK, NY For 99 (211) 1E N 2231 V PAGE 7 1a 45 Yes No No

9 THE ASA SOCETY Copensation of Officers, Directors, Trustees, Key Eployees, Highest Copensated Eployees, and ndependent Contractors Check if Schedule O contains a response to any question in this Part V Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees For 99 (211) Page 7 Part V Section A. 1a Coplete this table for all persons required to be listed. Report copensation for the calendar year ending with or within the organization's tax year. % % List all of the organization's current officers, directors, trustees (whether individuals or organizations), regardless of aount of copensation. Enter -- in coluns (D), (E), and (F) if no copensation was paid. List all of the organization's current key eployees, if any. See instructions for definition of "key eployee." List the organization's five current highest copensated eployees (other than an officer, director, trustee, or key eployee) who received reportable copensation (Box 5 of For W-2 and/or Box 7 of For 199-MSC) of ore than $1, fro the organization and any related organizations. % % List all of the organization's forer officers, key eployees, and highest copensated eployees who received ore than $1, of reportable copensation fro the organization and any related organizations. List all of the organization's forer directors or trustees that received, in the capacity as a forer director or trustee of the organization, ore than $1, of reportable copensation fro the organization and any related organizations. List persons in the following order: individual trustees or directors; institutional trustees; officers; key eployees; highest copensated eployees; and forer such persons. Check this box if neither the organization nor any related organization copensated any current officer, director, or trustee. (A) (B) (C) (D) (E) (F) Nae and Title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) ndividual trustee or director nstitutional trustee Officer Key eployee Highest copensated eployee Forer Reportable copensation fro the organization (W-2/199-MSC) Reportable copensation fro related organizations (W-2/199-MSC) Estiated aount of other copensation fro the organization and related organizations (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) 1E VSHAKHA N. DESA TRUSTEE, PRESDENT ,435. 2,94. HAMD BGLAR TRUSTEE 1. J FRANK BROWN TRUSTEE EFFECTVE 6/ J. MCHAEL EVANS TRUSTEE EFFECTVE 1/ FRANK GAONNG NNG TRUSTEE EFFECTVE 2/ JON A. ANDA TRUSTEE THROUGH 1/ HUSHANG ANSARY TRUSTEE THROUGH 1/ AJAY BANGA TRUSTEE THROUGH 1/ MA BERRY TRUSTEE 1. JAMES E. ROGERS TRUSTEE EFFECTVE 1/ RONNE C. CHAN TRUSTEE, CO-CHAR 3. PURNENDU CHATTERJEE TRUSTEE 1. BETSY Z. COHEN TRUSTEE,VCE CHAR & SECRETARY 1. HENRETTA HOLSMAN FORE TRUSTEE, CO-CHAR 3. For 99 (211) 16121N 2231 V PAGE 8

10 THE ASA SOCETY For 99 (211) Page 8 Part V Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) ndividual trustee or director nstitutional trustee Officer Key eployee Highest copensated eployee Forer Reportable copensation fro the organization (W-2/199-MSC) Reportable copensation fro related organizations (W-2/199-MSC) 1b Sub-total c Total fro continuation sheets to Part V, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization 18 3 Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? f "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? f Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? f Yes, coplete Schedule J for such person 5 Section B. ndependent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Estiated aount of other copensation fro the organization and related organizations ( 15) CHARLES C. FOSTER TRUSTEE 1. ( 16) STEPHANE FOSTER TRUSTEE 1. ( 17) THOMAS E. FRESTON TRUSTEE 1. ( 18) TOYOO GYOHTEN TRUSTEE 1. ( 19) WAHD HAMD TRUSTEE, TREASURER 1. ( 2) DORS MAGSAYSAY HO TRUSTEE 1. ( 21) OMAR SHRAK TRUSTEE 1. ( 22) LEWS B. KADEN TRUSTEE, VCE CHAR 1. ( 23) SONNY KALS TRUSTEE 1. ( 24) CHARLES R. KAYE TRUSTEE 1. ( 25) CHONG-MOON LEE TRUSTEE ,435. 2,94. 2,185, ,226. 2,736, ,166. Yes No ATTACHMENT 2 (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization 1 1E For 99 (211) 16121N 2231 V PAGE 9

11 THE ASA SOCETY For 99 (211) Page 8 Part V Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) ndividual trustee or director nstitutional trustee Officer Key eployee Highest copensated eployee Forer Reportable copensation fro the organization (W-2/199-MSC) Reportable copensation fro related organizations (W-2/199-MSC) 1b Sub-total c Total fro continuation sheets to Part V, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization 18 3 Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? f "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? f Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? f Yes, coplete Schedule J for such person 5 Section B. ndependent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Estiated aount of other copensation fro the organization and related organizations ( 26) LEE HONG-KOO TRUSTEE 1. ( 27) JOHN J. MACK TRUSTEE THROUGH 6/14/ ( 28) ANAND G. MAHNDRA TRUSTEE THROUGH 6/14/ ( 29) ROHANA MAHMOOD TRUSTEE 1. ( 3) CLAUDNE B. MALONE TRUSTEE 1. ( 31) HAROLD MCGRAW TRUSTEE, VCE CHAR 1. ( 32) THOMAS E. MCLAN TRUSTEE 1. ( 33) THOMAS K. MONTAG TRUSTEE 1. ( 34) SD MYER TRUSTEE 1. ( 35) JOHN D. NEGROPONTE TRUSTEE 1. ( 36) HAROLD J. NEWMAN TRUSTEE 1. Yes No (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization 1E For 99 (211) 16121N 2231 V PAGE 1

12 THE ASA SOCETY For 99 (211) Page 8 Part V Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) ndividual trustee or director nstitutional trustee Officer Key eployee Highest copensated eployee Forer Reportable copensation fro the organization (W-2/199-MSC) Reportable copensation fro related organizations (W-2/199-MSC) 1b Sub-total c Total fro continuation sheets to Part V, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization 18 3 Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? f "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? f Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? f Yes, coplete Schedule J for such person 5 Section B. ndependent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Estiated aount of other copensation fro the organization and related organizations ( 37) RCHARD PLEPLER TRUSTEE 1. ( 38) WLLAM R. RHODES TRUSTEE 1. ( 39) CHARLES PERCY ROCKEFELLER TRUSTEE 1. ( 4) JOHN D. ROCKEFELLER V TRUSTEE 1. ( 41) COURTNEY S. ROSS TRUSTEE 1. ( 42) STEPHEN SCHWARZMAN TRUSTEE 1. ( 43) JERRY. SPEYER TRUSTEE 1. ( 44) MRANDA WONG TANG TRUSTEE 1. ( 45) ZUBN TARAPOREVALA TRUSTEE 1. ( 46) LULU WANG TRUSTEE 1. ( 47) JAMES D. WOLFENSOHN TRUSTEE THROUGH 2/ Yes No (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization 1E For 99 (211) 16121N 2231 V PAGE 11

13 THE ASA SOCETY For 99 (211) Page 8 Part V Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) ndividual trustee or director nstitutional trustee Officer Key eployee Highest copensated eployee Forer Reportable copensation fro the organization (W-2/199-MSC) Reportable copensation fro related organizations (W-2/199-MSC) 1b Sub-total c Total fro continuation sheets to Part V, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization 18 3 Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? f "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? f Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? f Yes, coplete Schedule J for such person 5 Section B. ndependent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Estiated aount of other copensation fro the organization and related organizations ( 48) TRACY R. WOLSTENCROFT TRUSTEE THROUGH 6/14/ ( 49) SHN DONG BN TRUSTEE EFFECTVE 2/ ( 5) WARWCK L. SMTH TRUSTEE EFFECTVE 2/ ( 51) JOHN S. WADSWORTH JR. TRUSTEE, VCE CHAR 1. ( 52) DENSE SAUL TRUSTEE EFFECTVE 6/ ( 53) ANTHONY JACKSON VP, EDUCATON , ,834. ( 54) DONALD L. NAGLE CFO & VP OPERATONS , ,951. ( 55) MELSSA CHU SVP, GLOBAL ARTS & CULT PGMS 4. 2, ,2. ( 56) SUZANNE DMAGGO VP, GLOBAL POLCY , ,566. ( 57) GEOFFREY SPENCER VP,COMMUNCATONS THRU 5/ ,625. 1,39. ( 58) JAME METZL EECUTVE VP THRU 11/ ,61. 13,675. Yes No (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization 1E For 99 (211) 16121N 2231 V PAGE 12

14 THE ASA SOCETY For 99 (211) Page 8 Part V Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) ndividual trustee or director nstitutional trustee Officer Key eployee Highest copensated eployee Forer Reportable copensation fro the organization (W-2/199-MSC) Reportable copensation fro related organizations (W-2/199-MSC) Estiated aount of other copensation fro the organization and related organizations ( 59) SHAYNE DOTY VP, ETERNAL AFFARS 4. 21,872. 8,329. ( 6) ANNE GODSHALL CHEF MERCHANDSNG , ,89. ( 61) ORVLLE SCHELL A ROSS DR, CTR US-CHNA REL , ,2. ( 62) GEORGE PAPAMCHAEL DRECTOR, BULDNG OPERATONS , ,237. ( 63) MCHAEL ROBERTS EEC DRECTOR, NY PUBLC PGRMS ,12. 4,417. ( 64) KM WOODWARD EECUTVE DRECTOR , ,897. 1b Sub-total c Total fro continuation sheets to Part V, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization 18 3 Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? f "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? f Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? f Yes, coplete Schedule J for such person 5 Section B. ndependent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Yes No (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization 1E For 99 (211) 16121N 2231 V PAGE 13

15 THE ASA SOCETY Stateent of Revenue For 99 (211) Page 9 Part V Contributions, Gifts, Grants and Other Siilar Aounts Progra Service Revenue Other Revenue 1a b c d e f g h 2a b c d e f g 6a b c d 7a b and sales expenses 9,698,28. c Gain or (loss) 1,528,86. d Net gain or (loss) 8a b c 9a b c 1a b c 11a b c Federated capaigns Mebership dues Fundraising events Related organizations Governent grants (contributions) All other contributions, gifts, grants, and siilar aounts not included above 1f 13,634,368. Noncash contributions included in lines 1a-1f: $ 73,869. Total. Add lines 1a-1f Business Code d All other revenue e Total. Add lines 11a-11d 12 Total revenue. See instructions 1E a 1b 1c 1d 1e (A) Total revenue (B) Related or exept function revenue PROGRAM ADMSSON FEES , ,943. TOUR FEES 44,44. 44,44. All other progra service revenue , ,568. Total. Add lines 2a-2f 2,95,616. nvestent incoe (including dividends, interest, and other siilar aounts) ncoe fro investent of tax-exept bond proceeds Royalties Gross rents (i) Real (ii) Personal Less: rental expenses 15,756. Rental incoe or (loss) 46,118. Net rental incoe or (loss) Gross aount fro sales of (i) Securities (ii) Other assets other than inventory 11,227,68. Less: cost or other basis Gross incoe fro fundraising events (not including $ of contributions reported on line 1c). See Part V, line 18 a 78,61. Less: direct expenses b 547,753. Net incoe or (loss) fro fundraising events Gross incoe fro gaing activities. See Part V, line 19 a Less: direct expenses b Net incoe or (loss) fro gaing activities Gross sales of inventory, less returns and allowances a 1,151,639. Less: cost of goods sold b 518,157. Net incoe or (loss) fro sales of inventory Miscellaneous Revenue Business Code 1,863,97. 1,91, , ,872,845. CO-SPONSOR FEES ,4. 246,4. EDUCATONAL PROGRAM REVENUE 999 1,499,138. 1,499,138. REVENUE FROM MUSEUMS FOR EHBTONS , ,523. 1,91, ,874. (C) Unrelated business revenue (D) Revenue excluded fro tax under sections 512, 513, or , , , , , ,118. 1,528,86. 1,528,86. 16, , , ,482. NCOME FROM NVESTMENT N LMTED 6,739. 6,739. PARTNERSHPS (SEE SCH O) , ,331,594. 2,95,616. 6,739. 3,51,394. For 99 (211) 16121N 2231 V PAGE 14

16 For 99 (211) THE ASA SOCETY Page 1 Part Stateent of Functional Expenses Section 51(c)(3) and 51(c)(4) organizations ust coplete all coluns. All other organizations ust coplete colun (A) but are not required to coplete coluns (B), (C), and (D). Check if Schedule O contains a response to any question in this Part Do not include aounts reported on lines 6b, (A) (B) (C) (D) Total expenses Progra service Manageent and Fundraising 7b, 8b, 9b, and 1b of Part V. expenses general expenses expenses 1 2 Grants and other assistance to governents and organizations in the United States. See Part V, line 2 1 Grants and other assistance to individuals in the United States. See Part V, line Grants and other assistance to governents, organizations, and individuals outside the United States. See Part V, lines 15 and Benefits paid to or for ebers 5 Copensation of current officers, directors, trustees, and key eployees 6 Copensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) 7 Other salaries and wages 8 Pension plan accruals and contributions (include section 41(k) and 43(b) eployer contributions) 9 Other eployee benefits a b c d e f g a b c d e Payroll taxes Fees for services (non-eployees): Manageent Legal Accounting Lobbying Professional fundraising services. See Part V, line 1 7 nvestent anageent fees Other Advertising and prootion Office expenses nforation technology Royalties Occupancy Travel Payents of travel or entertainent expenses for any federal, state, or local public officials Conferences, conventions, and eetings nterest Payents to affiliates Depreciation, depletion, and aortization nsurance Other expenses. teize expenses not covered above (List iscellaneous expenses in line 24e. f line 24e aount exceeds 1% of line 25, colun (A) aount, list line 24e expenses on Schedule O.) All other expenses 1,84,69. 1,84, Total functional expenses. Add lines 1 through 24e 26 Joint costs. Coplete this line only if the organization reported in colun (B) joint costs fro a cobined educational capaign and fundraising solicitation. Check here if following SOP 98-2 (ASC ) 1E For 99 (211) 318, ,144. 2,33, , , ,298. 8,359,311. 5,39,137. 1,671,712. 1,378, , , , , , , , , , , , ,26. 78,29. 9, ,224. 2, , , , , , ,574. 4,77,797. 3,787, , , , ,673. 2,644,677. 2,1, , , , , , , , , , ,367. 2,519,413. 2,291,84. 67, ,264. 1,284,695. 1,282,312. 1,313. 1,7. 923, , , ,767. 1,429,61. 1,79, ,. 17, , , ,328. PRNTNG & PUBLCATONS 484, , , ,695. EQUPMENT RENTAL & MANTENAN 42, , , ,348. ACQUSTON OF COLLECTONS 15,. 15,. 3,745, ,746,11. 4,94,444. 3,59, N 2231 V PAGE 15