D Employer identification number WESTERN CLIMATE INITIATIVE, INC. Number and street (or P.O. box if mail is not delivered to street address)

Transcription

1 Form Department of the Treasury Internal Revenue Servie A B I J K Ativities & Governane Revenue Expenses Net Assets or Fund Balanes For the 7 alendar year, or tax year eginning Chek if appliale: Address hange Name hange Initial return Final return/ terminated 99 Amended return Appliation pending Tax-exempt status: Wesite: u Form of organization: Part I C Name of organization F Doing usiness as Return of Organization Exempt From Inome Tax Under setion (), 7, or 97(a)() of the Internal Revenue Code (exept private foundations) u Do not enter soial seurity numers on this form as it may e made puli. u Go to for instrutions and the latest information. Numer and street (or P.O. ox if mail is not delivered to street address) City or town, state or provine, ountry, and ZIP or foreign postal ode Name and address of prinipal offier:, and ending () ( ) t (insert no.) 97(a)() or 7 Grants and similar amounts paid (Part I, olumn (A), lines ) Benefits paid to or for memers (Part I, olumn (A), line ) Salaries, other ompensation, employee enefits (Part I, olumn (A), lines ) a Professional fundraising fees (Part I, olumn (A), line e) Total fundraising expenses (Part I, olumn (D), line ) u Other expenses (Part I, olumn (A), lines a d, f e) Total expenses. Add lines 7 (must equal Part I, olumn (A), line ) Room/suite E Telephone numer G Gross reeipts $ OMB Open to Puli Inspetion D Employer identifiation numer H(a) Is this a group return for suordinates? H() Are all suordinates inluded? If "," attah a list. (see instrutions) H() Group exemption numer u Corporation Trust Assoiation Other u L Year of formation: M State of legal domiile: DE Summary Briefly desrie the organization's mission or most signifiant ativities: Chek this ox u if the organization disontinued its operations or disposed of more than % of its net assets. Numer of voting memers of the governing ody (Part VI, line a) Numer of independent voting memers of the governing ody (Part VI, line ) Total numer of individuals employed in alendar year 7 (Part V, line a) Total numer of volunteers (estimate if neessary) a Total unrelated usiness revenue from Part VIII, olumn (C), line Net unrelated usiness taxale inome from Form 99-T, line Prior Year TH STREET RM/STE WESTERN CLIMATE INITIATIVE, INC. SACRAMENTO CA 98 GREG TAMBLYN 98 9th Street RM/STe SACRAMENTO CA 98 ()() THE ORGANIZATION PROVIDES ADMINISTRATIVE AND TECHNICAL SUPPORT FOR THE DEVELOPMENT AND IMPLEMENTATION OF STATE AND PROVINCIAL GREENHOUSE GAS EMISSIONS TRADING PROGRAMS IN THE US AND CANADA. Contriutions and grants (Part VIII, line h) Program servie revenue (Part VIII, line g) Investment inome (Part VIII, olumn (A), lines,, and 7d) Other revenue (Part VIII, olumn (A), lines, d, 8, 9,, and e) Total revenue add lines 8 through (must equal Part VIII, olumn (A), line ) Revenue less expenses. Sutrat line 8 from line Total assets (Part, line ) Total liailities (Part, line ) Net assets or fund alanes. Sutrat line from line Part II Signature Blok 7a 7 Beginning of Current Year Current Year End of Year Under penalties of perjury, I delare that I have examined this return, inluding aompanying shedules and statements, and to the est of my knowledge and elief, it is true, orret, and omplete. Delaration of preparer (other than offier) is ased on all information of whih preparer has any knowledge ,,,,,98,,,8 -,899,78,7,8,,, 9,,8,,7,,,,79,9 9, -,,,,87,79 89,8 8,8,,,9,8 Sign Here Signature of offier GREG TAMBLYN Type or print name and title Print/Type preparer's name Preparer's signature Date Chek if PTIN Paid FRED CROOKS FRED CROOKS /7/8 self-employed P8 Preparer Firm's name } CPA CORPORATION Firm's EIN } Use Only ROCKY RIDGE DR STE Firm's address } ROSEVILLE, CA 9-8 Phone no May the IRS disuss this return with the preparer shown aove? (see instrutions) For Paperwork Redution At tie, see the separate instrutions. EEC. DIR. Date Form 99 (7)

2 Form 99 (7) Page Part III Statement of Program Servie Aomplishments Briefly desrie the organization's mission: Did the organization undertake any signifiant program servies during the year whih were not listed on the prior Form 99 or 99-EZ? If "," desrie these new servies on Shedule O. Did the organization ease onduting, or make signifiant hanges in how it onduts, any program servies? If "," desrie these hanges on Shedule O. Desrie the organization's program servie aomplishments for eah of its three largest program servies, as measured y expenses. Setion ()() and ()() organizations are required to report the amount of grants and alloations to others, the total expenses, and revenue, if any, for eah program servie reported. a (Code: ) (Expenses $ inluding grants of $ ) (Revenue $ ) ) $ (Revenue ) $ inluding grants of $ ) (Expenses (Code: (Code: $ inluding grants of $ ) ) (Expenses $ ) (Revenue. d Other program servies (Desrie in Shedule O.) (Revenue ) $ (Expenses ) $ inluding grants of $ e Total program servie expenses u Form 99 (7) Chek if Shedule O ontains a response or note to any line in this Part III THE ORGANIZATION PROVIDES ADMINISTRATIVE AND TECHNICAL SUPPORT FOR THE DEVELOPMENT AND IMPLEMENTATION OF STATE AND PROVINCIAL GREENHOUSE GAS EMISSIONS TRADING PROGRAMS IN THE US AND CANADA.,,9,98, THE ORGANIZATION PROVIDES ADMINISTRATIVE AND TECHNICAL SUPPORT FOR THE DEVELOPMENT AND IMPLEMENTATION OF STATE AND PROVINCIAL GREENHOUSE GAS EMISSIONS TRADING PROGRAMS IN THE US AND CANADA. PROGRAM SUPPORT INCLUDES DEVELOPING A COMPLIANCE TRACKING SYSTEM THAT TRACKS BOTH ALLOWANCES AND OFFSET CERTIFICATES, ADMINISTERING ALLOWANCE AUCTIONS, AND CONDUCTING MARKET MONITORING OF ALLOWANCE AUCTIONS AND ALLOWANCE AND OFFSET CERTIFICATE TRADING. CURRENTLY, THE BOARD OF DIRECTORS INCLUDES OFFICIALS FROM THE PROVINCES OF QUEBEC, ONTARIO AND BRITISH COLUMBIA, AND THE STATE OF CALIFORNIA. THE SUPPORT PROVIDED CAN BE EPANDED TO OTHER JURISDICTIONS THAT JOIN IN THE FUTURE.,,9 /7/8 : PM

3 Form 99 (7) a a Part IV a d e f Cheklist of Required Shedules Is the organization desried in setion ()() or 97(a)() (other than a private foundation)? If, omplete Shedule A Is the organization required to omplete Shedule B, Shedule of Contriutors (see instrutions)? Did the organization engage in diret or indiret politial ampaign ativities on ehalf of or in opposition to andidates for puli offie? If, omplete Shedule C, Part I Setion ()() organizations. Did the organization engage in loying ativities, or have a setion (h) eletion in effet during the tax year? If "," omplete Shedule C, Part II Is the organization a setion ()(), ()(), or ()() organization that reeives memership dues, assessments, or similar amounts as defined in Revenue Proedure 98-9? If "," omplete Shedule C, Part III Did the organization maintain any donor advised funds or any similar funds or aounts for whih donors have the right to provide advie on the distriution or investment of amounts in suh funds or aounts? If, omplete Shedule D, Part I Did the organization reeive or hold a onservation easement, inluding easements to preserve open spae, the environment, histori land areas, or histori strutures? If, omplete Shedule D, Part II Did the organization maintain olletions of works of art, historial treasures, or other similar assets? If, omplete Shedule D, Part III Did the organization report an amount in Part, line, for esrow or ustodial aount liaility, serve as a ustodian for amounts not listed in Part ; or provide redit ounseling, det management, redit repair, or det negotiation servies? If, omplete Shedule D, Part IV Did the organization, diretly or through a related organization, hold assets in temporarily restrited endowments, permanent endowments, or quasi-endowments? If, omplete Shedule D, Part V If the organization's answer to any of the following questions is, then omplete Shedule D, Parts VI, VII, VIII, I, or as appliale. Did the organization report an amount for land, uildings, and equipment in Part, line? If "," omplete Shedule D, Part VI Did the organization report an amount for investments other seurities in Part, line that is % or more of its total assets reported in Part, line? If "," omplete Shedule D, Part VII Did the organization report an amount for investments program related in Part, line that is % or more of its total assets reported in Part, line? If "," omplete Shedule D, Part VIII Did the organization report an amount for other assets in Part, line that is % or more of its total assets reported in Part, line? If "," omplete Shedule D, Part I Did the organization report an amount for other liailities in Part, line? If "," omplete Shedule D, Part Did the organization's separate or onsolidated finanial statements for the tax year inlude a footnote that addresses the organization's liaility for unertain tax positions under FIN 8 (ASC 7)? If "," omplete Shedule D, Part Did the organization otain separate, independent audited finanial statements for the tax year? If, omplete Shedule D, Parts I and II Was the organization inluded in onsolidated, independent audited finanial statements for the tax year? If "," and if the organization answered "" to line a, then ompleting Shedule D, Parts I and II is optional Is the organization a shool desried in setion 7()()(A)(ii)? If, omplete Shedule E Did the organization maintain an offie, employees, or agents outside of the United States? Did the organization have aggregate revenues or expenses of more than $, from grantmaking, fundraising, usiness, investment, and program servie ativities outside the United States, or aggregate foreign investments valued at $, or more? If, omplete Shedule F, Parts I and IV Did the organization report on Part I, olumn (A), line, more than $, of grants or other assistane to or for any foreign organization? If, omplete Shedule F, Parts II and IV Did the organization report on Part I, olumn (A), line, more than $, of aggregate grants or other assistane to or for foreign individuals? If, omplete Shedule F, Parts III and IV Did the organization report a total of more than $, of expenses for professional fundraising servies on Part I, olumn (A), lines and e? If, omplete Shedule G, Part I (see instrutions) Did the organization report more than $, total of fundraising event gross inome and ontriutions on Part VIII, lines and 8a? If "," omplete Shedule G, Part II Did the organization report more than $, of gross inome from gaming ativities on Part VIII, line 9a? If "," omplete Shedule G, Part III a d e f a a Page Form 99 (7)

4 Form 99 (7) Page a Part IV a a 7 a d a Cheklist of Required Shedules (ontinued) Did the organization operate one or more hospital failities? If, omplete Shedule H If to line a, did the organization attah a opy of its audited finanial statements to this return? Did the organization report more than $, of grants or other assistane to any domesti organization or domesti government on Part I, olumn (A), line? If, omplete Shedule I, Parts I and II Did the organization report more than $, of grants or other assistane to or for domesti individuals on Part I, olumn (A), line? If, omplete Shedule I, Parts I and III Did the organization answer to Part VII, Setion A, line,, or aout ompensation of the organization's urrent and former offiers, diretors, trustees, key employees, and highest ompensated employees? If "," omplete Shedule J Did the organization have a tax-exempt ond issue with an outstanding prinipal amount of more than $, as of the last day of the year, that was issued after Deemer,? If, answer lines through d and omplete Shedule K. If, go to line a Did the organization invest any proeeds of tax-exempt onds eyond a temporary period exeption? Did the organization maintain an esrow aount other than a refunding esrow at any time during the year to defease any tax-exempt onds? Did the organization at as an on ehalf of issuer for onds outstanding at any time during the year? Setion ()(), ()(), and ()(9) organizations. Did the organization engage in an exess enefit transation with a disqualified person during the year? If, omplete Shedule L, Part I Is the organization aware that it engaged in an exess enefit transation with a disqualified person in a prior year, and that the transation has not een reported on any of the organization's prior Forms 99 or 99-EZ? If "," omplete Shedule L, Part I Did the organization report any amount on Part, line,, or for reeivales from or payales to any urrent or former offiers, diretors, trustees, key employees, highest ompensated employees, or disqualified persons? If "," omplete Shedule L, Part II Did the organization provide a grant or other assistane to an offier, diretor, trustee, key employee, sustantial ontriutor or employee thereof, a grant seletion ommittee memer, or to a % ontrolled entity or family memer of any of these persons? If, omplete Shedule L, Part III Was the organization a party to a usiness transation with one of the following parties (see Shedule L, Part IV instrutions for appliale filing thresholds, onditions, and exeptions): A urrent or former offier, diretor, trustee, or key employee? If "," omplete Shedule L, Part IV A family memer of a urrent or former offier, diretor, trustee, or key employee? If "," omplete Shedule L, Part IV An entity of whih a urrent or former offier, diretor, trustee, or key employee (or a family memer thereof) was an offier, diretor, trustee, or diret or indiret owner? If, omplete Shedule L, Part IV Did the organization reeive more than $, in non-ash ontriutions? If, omplete Shedule M Did the organization reeive ontriutions of art, historial treasures, or other similar assets, or qualified onservation ontriutions? If, omplete Shedule M Did the organization liquidate, terminate, or dissolve and ease operations? If, omplete Shedule N, Part I Did the organization sell, exhange, dispose of, or transfer more than % of its net assets? If "," omplete Shedule N, Part II Did the organization own % of an entity disregarded as separate from the organization under Regulations setions.77- and.77-? If, omplete Shedule R, Part I Was the organization related to any tax-exempt or taxale entity? If, omplete Shedule R, Part II, III, or IV, and Part V, line Did the organization have a ontrolled entity within the meaning of setion ()()? If "" to line a, did the organization reeive any payment from or engage in any transation with a ontrolled entity within the meaning of setion ()()? If, omplete Shedule R, Part V, line Setion ()() organizations. Did the organization make any transfers to an exempt non-haritale related organization? If, omplete Shedule R, Part V, line Did the organization ondut more than % of its ativities through an entity that is not a related organization and that is treated as a partnership for federal inome tax purposes? If, omplete Shedule R, Part VI Did the organization omplete Shedule O and provide explanations in Shedule O for Part VI, lines and 9? te. All Form 99 filers are required to omplete Shedule O. a a d a 7 8a a 7 8 Form 99 (7)

5 Form 99 (7) Part V a a a a a a a d e f g h a a a a Statements Regarding Other IRS Filings and Tax Compliane Chek if Shedule O ontains a response or note to any line in this Part V Enter the numer reported in Box of Form 9. Enter -- if not appliale Enter the numer of Forms W-G inluded in line a. Enter -- if not appliale Did the organization omply with akup withholding rules for reportale payments to vendors and reportale gaming (gamling) winnings to prize winners? Enter the numer of employees reported on Form W-, Transmittal of Wage and Tax Statements, filed for the alendar year ending with or within the year overed y this return If at least one is reported on line a, did the organization file all required federal employment tax returns? te. If the sum of lines a and a is greater than, you may e required to e-file (see instrutions) Did the organization have unrelated usiness gross inome of $, or more during the year? If, has it filed a Form 99-T for this year? If to line, provide an explanation in Shedule O At any time during the alendar year, did the organization have an interest in, or a signature or other authority over, a finanial aount in a foreign ountry (suh as a ank aount, seurities aount, or other finanial aount)? If, enter the name of the foreign ountry: u See instrutions for filing requirements for FinCEN Form, Report of Foreign Bank and Finanial Aounts Was the organization a party to a prohiited tax shelter transation at any time during the tax year? Did any taxale party notify the organization that it was or is a party to a prohiited tax shelter transation? If to line a or, did the organization file Form 888-T? Does the organization have annual gross reeipts that are normally greater than $,, and did the organization soliit any ontriutions that were not tax dedutile as haritale ontriutions? If, did the organization inlude with every soliitation an express statement that suh ontriutions or gifts were not tax dedutile? Organizations that may reeive dedutile ontriutions under setion 7(). Did the organization reeive a payment in exess of $7 made partly as a ontriution and partly for goods and servies provided to the payor? If, did the organization notify the donor of the value of the goods or servies provided? Did the organization sell, exhange, or otherwise dispose of tangile personal property for whih it was required to file Form 88? If, indiate the numer of Forms 88 filed during the year d Did the organization reeive any funds, diretly or indiretly, to pay premiums on a personal enefit ontrat? Did the organization, during the year, pay premiums, diretly or indiretly, on a personal enefit ontrat? If the organization reeived a ontriution of qualified intelletual property, did the organization file Form 8899 as required? If the organization reeived a ontriution of ars, oats, airplanes, or other vehiles, did the organization file a Form 98-C? Sponsoring organizations maintaining donor advised funds. Did a donor advised fund maintained y the sponsoring organization have exess usiness holdings at any time during the year? Sponsoring organizations maintaining donor advised funds. Did the sponsoring organization make any taxale distriutions under setion 9? Did the sponsoring organization make a distriution to a donor, donor advisor, or related person? Setion ()(7) organizations. Enter: Initiation fees and apital ontriutions inluded on Part VIII, line Gross reeipts, inluded on Form 99, Part VIII, line, for puli use of lu failities Setion ()() organizations. Enter: Gross inome from memers or shareholders Gross inome from other soures (Do not net amounts due or paid to other soures against amounts due or reeived from them.) Setion 97(a)() non-exempt haritale trusts. Is the organization filing Form 99 in lieu of Form? If, enter the amount of tax-exempt interest reeived or arued during the year Setion ()(9) qualified nonprofit health insurane issuers. a (FBAR). Canada Is the organization liensed to issue qualified health plans in more than one state? te. See the instrutions for additional information the organization must report on Shedule O. Enter the amount of reserves the organization is required to maintain y the states in whih the organization is liensed to issue qualified health plans Enter the amount of reserves on hand a Did the organization reeive any payments for indoor tanning servies during the tax year? If "," has it filed a Form 7 to report these payments? If "," provide an explanation in Shedule O Form 99 (7) a a a a a a a a 7a 7 7 7e 7f 7g 7h 8 9a 9 a a a Page

6 Form 99 (7) Page Part VI Governane, Management, and Dislosure For eah "" response to lines through 7 elow, and for a "" response to line 8a, 8, or elow, desrie the irumstanes, proesses, or hanges in Shedule O. See instrutions. Chek if Shedule O ontains a response or note to any line in this Part VI Setion A. Governing Body and Management a 7a 8 9 a a Setion C. Dislosure Enter the numer of voting memers of the governing ody at the end of the tax year If there are material differenes in voting rights among memers of the governing ody, or Enter the numer of voting memers inluded in line a, aove, who are independent Did any offier, diretor, trustee, or key employee have a family relationship or a usiness relationship with any other offier, diretor, trustee, or key employee? Did the organization delegate ontrol over management duties ustomarily performed y or under the diret supervision of offiers, diretors, or trustees, or key employees to a management ompany or other person? Did the organization make any signifiant hanges to its governing douments sine the prior Form 99 was filed? Did the organization eome aware during the year of a signifiant diversion of the organization s assets? Did the organization have memers or stokholders? Did the organization have memers, stokholders, or other persons who had the power to elet or appoint one or more memers of the governing ody? Are any governane deisions of the organization reserved to (or sujet to approval y) memers, stokholders, or persons other than the governing ody? Did the organization ontemporaneously doument the meetings held or written ations undertaken during the year y the following: The governing ody? Eah ommittee with authority to at on ehalf of the governing ody? Is there any offier, diretor, trustee, or key employee listed in Part VII, Setion A, who annot e reahed at the organization s mailing address? If, provide the names and addresses in Shedule O Setion B. Poliies (This Setion B requests information aout poliies not required y the Internal Revenue Code.) Did the organization have loal hapters, ranhes, or affiliates? If, did the organization have written poliies and proedures governing the ativities of suh hapters, affiliates, and ranhes to ensure their operations are onsistent with the organization's exempt purposes? a Has the organization provided a omplete opy of this Form 99 to all memers of its governing ody efore filing the form? Desrie in Shedule O the proess, if any, used y the organization to review this Form 99. a a a if the governing ody delegated road authority to an exeutive ommittee or similar ommittee, explain in Shedule O. Did the organization have a written onflit of interest poliy? If, go to line Were offiers, diretors, or trustees, and key employees required to dislose annually interests that ould give rise to onflits? Did the organization regularly and onsistently monitor and enfore ompliane with the poliy? If, desrie in Shedule O how this was done Did the organization have a written whistlelower poliy? Did the organization have a written doument retention and destrution poliy? Did the proess for determining ompensation of the following persons inlude a review and approval y independent persons, omparaility data, and ontemporaneous sustantiation of the delieration and deision? The organization s CEO, Exeutive Diretor, or top management offiial Other offiers or key employees of the organization If to line a or, desrie the proess in Shedule O (see instrutions). Did the organization invest in, ontriute assets to, or partiipate in a joint venture or similar arrangement with a taxale entity during the year? If, did the organization follow a written poliy or proedure requiring the organization to evaluate its partiipation in joint venture arrangements under appliale federal tax law, and take steps to safeguard the organization s exempt status with respet to suh arrangements? List the states with whih a opy of this Form 99 is required to e filed u Setion requires an organization to make its Forms (or if appliale), 99, and 99-T (Setion ()()s only) availale for puli inspetion. Indiate how you made these availale. Chek all that apply. Own wesite Another's wesite Upon request Desrie in Shedule O whether (and if so, how) the organization made its governing douments, onflit of interest poliy, and finanial statements availale to the puli during the tax year. Other (explain in Shedule O) State the name, address, and telephone numer of the person who possesses the organization's ooks and reords: u a 7 7 7a 7 8a 8 a a a a a GREG TAMBLYN 98 9TH STREET, STE SACRAMENTO CA CA Form 99 (7)

7 Form 99 (7) Part VII Setion A. Compensation of Offiers, Diretors, Trustees, Key Employees, Highest Compensated Employees, and Independent Contrators Chek if Shedule O ontains a response or note to any line in this Part VII Offiers, Diretors, Trustees, Key Employees, and Highest Compensated Employees a Complete this tale for all persons required to e listed. Report ompensation for the alendar year ending with or within the organization's tax year. List all of the organization's urrent offiers, diretors, trustees (whether individuals or organizations), regardless of amount of ompensation. Enter -- in olumns (D), (E), and (F) if no ompensation was paid. List all of the organization's urrent key employees, if any. See instrutions for definition of "key employee." List the organization's five urrent highest ompensated employees (other than an offier, diretor, trustee, or key employee) who reeived reportale ompensation (Box of Form W- and/or Box 7 of Form 99-MISC) of more than $, from the organization and any related organizations. List all of the organization's former offiers, key employees, and highest ompensated employees who reeived more than $, of reportale ompensation from the organization and any related organizations. List all of the organization s former diretors or trustees that reeived, in the apaity as a former diretor or trustee of the organization, more than $, of reportale ompensation from the organization and any related organizations. List persons in the following order: individual trustees or diretors; institutional trustees; offiers; key employees; highest ompensated employees; and former suh persons. () Chek this ox if neither the organization nor any related organization ompensated any urrent offier, diretor, or trustee. (A) (B) (C) (D) (E) (F) Name and Title Average hours per week (list any hours for related organizations elow dotted line) Position (do not hek more than one ox, unless person is oth an offier and a diretor/trustee) Individual trustee or diretor Institutional trustee Offier Key employee Highest ompensated employee Former Reportale ompensation from the organization (W-/99-MISC) Reportale ompensation from related organizations (W-/99-MISC) Estimated amount of other ompensation from the organization and related organizations () MATT RODRIQUEZ CHAIR. () JAMES WHITESTONE VICE CHAIR. () ROBERT FLEMING (PARTIAL YEAR) VICE CHAIR. () MARY NICHOLS SECRETARY. () JEAN YVES BENOIT TREASURER. () TIM LESIUK DIRECTOR. (7) GENEVIEVE MOISAN (PARTIAL YEAR) DIRECTOR. (8) ALE WOOD DIRECTOR. (9) FRANCE DELISLE DIRECTOR. () GREG TAMBLYN EEC. DIR..,7,9 Page 7 Form 99 (7)

8 Form 99 (7) Page 8 Setion A. Offiers, Diretors, Trustees, Key Employees, and Highest Compensated Employees (ontinued) Part VII (A) Name and title (B) Average hours per week (list any hours for related organizations elow dotted line) Individual trustee or diretor Institutional trustee Offier (C) Position (do not hek more than one ox, unless person is oth an offier and a diretor/trustee) Key employee Highest ompensated employee Former (D) Reportale ompensation from the organization (W-/99-MISC) (E) Reportale ompensation from related organizations (W-/99-MISC) (F) Estimated amount of other ompensation from the organization and related organizations Su-total u Total from ontinuation sheets to Part VII, Setion A u d Total (add lines and ) u Total numer of individuals (inluding ut not limited to those listed aove) who reeived more than $, of reportale ompensation from the organization u Did the organization list any former offier, diretor, or trustee, key employee, or highest ompensated employee on line a? If, omplete Shedule J for suh individual For any individual listed on line a, is the sum of reportale ompensation and other ompensation from the organization and related organizations greater than $,? If, omplete Shedule J for suh individual Did any person listed on line a reeive or arue ompensation from any unrelated organization or individual for servies rendered to the organization? If, omplete Shedule J for suh person Setion B. Independent Contrators,7,9,7,9 Complete this tale for your five highest ompensated independent ontrators that reeived more than $, of ompensation from the organization. Report ompensation for the alendar year ending with or within the organization's tax year. (A) (B) Name and usiness address Desription of servies (C) Compensation SRA INTERNATIONAL FAIR LAKES COURT FAIRFA VA ALLOWANCE TRACKING AND AUCTION,,78 MARKIT GROUP, LTD 8TH AVENUE, TH FLOOR NEW YORK NY 8 AUCTION SERVICE,8,8 DEUTSCHE BANK TRUST CO AMERICAS 7 EAST ST ANDREW PLACE SANTA ANA CA 97 FINANCIAL MGMT 7,9 Total numer of independent ontrators (inluding ut not limited to those listed aove) who reeived more than $, of ompensation from the organization u Form 99 (7)

9 Form 99 (7) Page 9 Part VIII Contriutions, Gifts, Grants and Other Similar Amounts Program Servie Revenue Other Revenue a d e f g h a d e f g a Statement of Revenue Chek if Shedule O ontains a response or note to any line in this Part VIII Federated ampaigns Memership dues Fundraising events Related organizations Government grants (ontriutions).... All other ontriutions, gifts, grants, and similar amounts not inluded aove nash ontriutions inluded in lines a-f: Total. Add lines a f a d e All other program servie revenue f $ Total. Add lines a f Investment inome (inluding dividends, interest, and other similar amounts) Inome from investment of tax-exempt ond proeeds Royalties Gross rents Less: rental exps. Rental in. or (loss) (i) Real (ii) Personal d Net rental inome or (loss) a Gross amount from (i) Seurities (ii) Other sales of assets other than inventory Less: ost or other a a d e asis & sales exps. Gross sales of inventory, less returns and allowanes Less: ost of goods sold Net inome or (loss) from sales of inventory Total revenue. See instrutions a u Busn. Code u u u u Gain or (loss) d Net gain or (loss) u 8a Gross inome from fundraising events (not inluding $ of ontriutions reported on line ). See Part IV, line a Less: diret expenses Net inome or (loss) from fundraising events u 9a Gross inome from gaming ativities. See Part IV, line a Less: diret expenses Net inome or (loss) from gaming ativities u PARTICIPATION AGREEMENT PYMTS 999,98,,98, Misellaneous Revenue All other revenue Total. Add lines a d u u Busn. Code u u (A) (B) (C) (D) Total revenue Related or Unrelated Revenue exempt funtion revenue usiness revenue exluded from tax under setions -,98,,8,8 ECHANGE RATE GAIN 999 9,8 9,8 REFUND OF CANADIAN SALES TA 999,9,9,78,,,98,,98 Form 99 (7)

10 Form 99 (7) Part I Statement of Funtional Expenses Setion ()() and ()() organizations must omplete all olumns. All other organizations must omplete olumn (A). Chek if Shedule O ontains a response or note to any line in this Part I (A) (B) (C) (D) Do not inlude amounts reported on lines, Total expenses Program servie Management and Fundraising 7, 8, 9, and of Part VIII. expenses general expenses expenses Grants and other assistane to domesti organizations Page and domesti governments. See Part IV, line Grants and other assistane to domesti a d e f g a d e individuals. See Part IV, line Grants and other assistane to foreign organizations, foreign governments, and foreign individuals. See Part IV, lines and Benefits paid to or for memers Compensation of urrent offiers, diretors, trustees, and key employees Compensation not inluded aove, to disqualified persons (as defined under setion 98(f)()) and persons desried in setion 98()()(B) Other salaries and wages Pension plan aruals and ontriutions (inlude setion (k) and () employer ontriutions) Other employee enefits Payroll taxes Fees for servies (non-employees): Management Legal Aounting Loying Professional fundraising servies. See Part IV, line 7 Investment management fees Other. (If line g amount exeeds % of line, olumn (A) amount, list line g expenses on Shedule O.) Advertising and promotion Offie expenses Information tehnology Royalties Oupany Travel Payments of travel or entertainment expenses for any federal, state, or loal puli offiials Conferenes, onventions, and meetings.... Interest Payments to affiliates Depreiation, depletion, and amortization.... Insurane Other expenses. Itemize expenses not overed aove (List misellaneous expenses in line e. If line e amount exeeds % of line, olumn (A) amount, list line e expenses on Shedule O.) All other expenses Total funtional expenses. Add lines through e..... Joint osts. Complete this line only if the organization reported in olumn (B) joint osts from a omined eduational ampaign and fundraising soliitation. Chek here u if following SOP 98- (ASC 98-7) ,8,8 7,8,9 9,,88,,,8,, 7,8,7,7, 89,97,7 9,,77,7,7,7,98,,9,88,7,88,9,9 8,8,,,7,88,87,,,7,9,8,79,9,,9,7 Form 99 (7)

11 Form 99 (7) Page Assets Liailities Net Assets or Fund Balanes Part a Balane Sheet Chek if Shedule O ontains a response or note to any line in this Part (A) (B) Beginning of year End of year Cash non-interest earing Savings and temporary ash investments Pledges and grants reeivale, net Aounts reeivale, net Loans and other reeivales from urrent and former offiers, diretors, trustees, key employees, and highest ompensated employees. Complete Part II of Shedule L Loans and other reeivales from other disqualified persons (as defined under setion 98(f)()), persons desried in setion 98()()(B), and ontriuting employers and sponsoring organizations of setion ()(9) voluntary employees' enefiiary organizations (see instrutions). Complete Part II of Shedule L tes and loans reeivale, net Inventories for sale or use Prepaid expenses and deferred harges Land, uildings, and equipment: ost or other asis. Complete Part VI of Shedule D Less: aumulated depreiation Investments pulily traded seurities Investments other seurities. See Part IV, line Investments program-related. See Part IV, line Intangile assets Other assets. See Part IV, line Total assets. Add lines through (must equal line ) Aounts payale and arued expenses Grants payale Deferred revenue Tax-exempt ond liailities Esrow or ustodial aount liaility. Complete Part IV of Shedule D Loans and other payales to urrent and former offiers, diretors, trustees, key employees, highest ompensated employees, and disqualified persons. Complete Part II of Shedule L Seured mortgages and notes payale to unrelated third parties Unseured notes and loans payale to unrelated third parties Other liailities (inluding federal inome tax, payales to related third Total liailities. Add lines 7 through Organizations that follow SFAS 7 (ASC 98), hek here u and omplete lines 7 through 9, and lines and. Unrestrited net assets Temporarily restrited net assets Permanently restrited net assets Organizations that do not follow SFAS 7 (ASC 98), hek here u and omplete lines through. Capital stok or trust prinipal, or urrent funds Paid-in or apital surplus, or land, uilding, or equipment fund Retained earnings, endowment, aumulated inome, or other funds Total net assets or fund alanes Total liailities and net assets/fund alanes a parties, and other liailities not inluded on lines 7-). Complete Part of Shedule D ,9,9,,88,,,7,79 9, 89, , 8,7,,,87,79 89,8 7 8, ,8 8,8,, 7,9,8 8 9,,,9,8,,,87,79 Form 99 (7)

12 Form 99 (7) Part I Part II a Finanial Statements and Reporting Chek if Shedule O ontains a response or note to any line in this Part II Aounting method used to prepare the Form 99: Cash Arual a Were the organization's finanial statements ompiled or reviewed y an independent aountant? If "," hek a ox elow to indiate whether the finanial statements for the year were ompiled or Were the organization's finanial statements audited y an independent aountant? If "," hek a ox elow to indiate whether the finanial statements for the year were audited on a of the audit, review, or ompilation of its finanial statements and seletion of an independent aountant? If the organization hanged either its oversight proess or seletion proess during the tax year, explain in the Single Audit At and OMB Cirular A-? If, did the organization undergo the required audit or audits? If the organization did not undergo the Other If the organization hanged its method of aounting from a prior year or heked Other, explain in Shedule O. If to line a or, does the organization have a ommittee that assumes responsiility for oversight Shedule O. Reoniliation of Net Assets Chek if Shedule O ontains a response or note to any line in this Part I Total revenue (must equal Part VIII, olumn (A), line ) Total expenses (must equal Part I, olumn (A), line ) Revenue less expenses. Sutrat line from line Net assets or fund alanes at eginning of year (must equal Part, line, olumn (A)) Net unrealized gains (losses) on investments Donated servies and use of failities Investment expenses Prior period adjustments Other hanges in net assets or fund alanes (explain in Shedule O) Net assets or fund alanes at end of year. Comine lines through 9 (must equal Part, line, olumn (B)) reviewed on a separate asis, onsolidated asis, or oth: Separate asis Consolidated asis Both onsolidated and separate asis separate asis, onsolidated asis, or oth: Separate asis Consolidated asis As a result of a federal award, was the organization required to undergo an audit or audits as set forth in required audit or audits, explain why in Shedule O and desrie any steps taken to undergo suh audits Both onsolidated and separate asis a a Page,,,79,9 -,,,,9,8 Form 99 (7)