t form 990 q no 154s 0047 2001

. .t Q No 154S 0047

2001 DDepartment a( the Treasury Internal Revenue Service " The organization may have to use a copy of this return to saUSly state reporting requirements

D Employer iaon6lcaUan number

04-2105850

E Telephone number

508 457-2000 k� .̂ .n .~

.a Gsh X Accrvel iw+r+= I-- City or town, state or country and ZIP " 4

M and I are no! applicable to section 577 organizations

H(a) Is this a group return for aKliaies? ~ Yes O No

H(b) If'Yes'enter number daBiliales " N A

H(c) Are ail affiliates included? Yes No

(If 'No," attach a lisp Sae irtstnictimsg`J/lt,

H(d) b his a aeDani. nmm rise q en ~~ ~~ , I I Yes I X I No

is Section 501(c)(3) organizations and 4947(a)(1) nonexempt charitable trusts must attach a completed Schedule A (Form 990 or 990-EZ)

G Webslta 1

K Check here 11" u if the organizaiims gross receipts are normally not more than $25000 The

oryarnulim need not rile a return wish Me IRS but J the organization recerveC a Form 990 Package

in the mail it should flea return wthwl financial data Soma states require a complete return

M CheGk * L

to attach Sch B 1 L Gross receipts Add tin's 6b Bb 9b and 10b'

16 11 Revenue Expenses and Changes in Net Assets or Fund Balances See S p ecific Instructionson 1 Contributions, gifts, grants, and similar amounts received

a Direct public support 1 a 30 , 124 , 760

b Indirect public support 1 b

c Government contributions (grants) 1 c

d Totai(eaaPries i,InmLynm) (m,ns 16,099,760 rim.ns 14,025,000 )

2 Program service revenue including government tees and contracts (from Part VII, line 93)

3 Membership dues and assessments

4 Interest on savings and temporary cash investments

5 Dividends and interest from securities

6 a Gross rents 6a 681 , 800

b Less rental expenses 16 b

c Net rental income or (loss) (subtract line 6b from line 6a)

7 Other investment income (describe 11" STMT 1

8 a Gross amount tram sales of assets other (W Securities (B) Other

than inventory ~ 197,143,639 ~8a!

b Less cost or other basis and sales expenses 195 , 908 , 73 4 jib

c Gain or (loss)(attachschedule)Jlm, i A - 1,234 905 8c

d Net pain or (loss) (combine line 8c, columns (A) and (B))

9 Special events and activities (attach schedule)

a Gross revenue (not including $ of

contributions reported on line 1a) h Less direct expenses other than fundraising expenses I9bl

c Net income or (loss) from special events (subtract line 9b from line 9a)

10a Gross sales of inventory, less returns and allowances oa b Less cost of goods sold on c Gross profit or (loss) from sales of inventory (attach schedule) (subtract line tOb from line 10a)

11 Other revenue (from Part VII, line 103)

1d

a

a rc

W e

W `)

a column (B))

)m line 44, column (C))

imn (D))

schedule)

5

1 L U2S;pL(d"~ ~~-`~-----~^-= ire r (subtract tine 77 from line 12) a " t NOlsSDEN; d~IT~nces t beginning of year (from line 73, column (A))

2 r fund balances (attach explanation) 5= 2 $~21T 3 e 21 Net assets or fund balances at end of year (combine lines 18 . 19 and 20)

For Paperwork Reduction Act Notice, see the separate instructions JSA tEtOtO ]000

Form990(2001) _~

V

Form 990 Return of Organization Exempt From Income Tax . a Under section 501(c), 527, or 4947(a)(7) of the Internal Revenue Code (except black lung

benefit trust or private foundation)

A For the 20 B ~~k, u . ..t..~.

m .~n . .o.

. . . . , ..�

Am .,a.e

q ::oi1c. , .� .�

pi.. I C Name of organization

Number and street (or P O box if mail is not delivered to street address) I Room/suite

hips s..

no) I 9947(a)(11 or

d the organization s not required

Fmn 990 990 -E.7 or 990-PF)

Q N

c

1 3 Program services

J .

" Form 990 (2001) 04-2105850

LEM ~Btement of All organizations must complete column (A) Columns (B) (C) and (D) am required for seclirn 501(c)(3) and (4) organi :zlions

Functiona l Expenses anOSecIion4947(a)(1)nonezemplchant able trusts buioptimal forothers (SeeSpecific lnsiruclimsmpage 2l)

Do not include amounts reported pn one (t) Total (B) Program (C) Management (D) Fundraising 66, 86, 96, f06, d 16 d Part 1

seances and general

22 Grants and allocations (attach schedule) (m,ns 5,144,017 na,,msns ) 22 5 , 144 , 017 5 , 144 017 S12SP~4'` ,.

23 Specific assistance to indmduals (anew schedule) 23

24 Benefits paid ta ar for members (aflacn schedule) 24 T's ` '

25 Compensation of officers, directors, etc 25 548 , 625 548 , 625 26 Other salaries and wages _L6- 32 , 677 , 454 677 954 31 938 503 63 , 247 675 , 704 27 Pension plan contributions 27 28 Other employee benefits 28 7 , 250 , 010 6 , 818 , 335 196 , 575 235 , 100 29 Payroll taxes 29 95 , 463 NONE 95 , 463 NON]

30 Professional fundraising fees 30 31 Accounting fees , _ 31

32 Legal fees 32 33 Supplies 33 13 , 650 , 140 12 , 812 , 104 638 , 410 199 , 626 34 Telephone 34 211 , 359 182 653 19 , 359 9 , 347 35 Postage and shipping 35 1 , 038 . 323 1 , 008 , 841 13 .246 16 , 236 36 Occupancy 36 201 , 752 95 , 973 105 , 779 NON]

37 Equipment rental and maintenance 37 4 , 497 , 959 4 , 459 , 685 27 , 429 . 10 , 845 38 Printing and publications 38 363 , 963 281 739 33 , 606 98 618

39 Travel 39 3 , 126 , 567 2 957 127 1-0-9 , 41-5-5 59 , 985 40 Conferences, conventions, and meetings 40

41 Interest 41 42 Dapronai~on depletion eic (anacnche)4A 42 3 683 710 3 244 571 435 961 3 , 178 43 om.. .w"~ ...nam..r.a .ea..p1.ma.)STM'P 5 43a 32 , 972 , 298 29 , 655 , 384 2 , 791 , 600 525 , 314

b 4 3t a l 43c

d 3d a 7e

44 Total functional exponsu(eeaiinunmiwynas) Orpaniravaus canPl~bnp columns (H){D), carry these t otals t l ines f)75 44 1-0-5 , 46-1- 6-40 I 98 , 598 , 932 5 07 8 755 I 1,783,953_

Joint Costs ChecK 1 i( you are following SOP 98-2 Are any point costs from a combined educational campaign and fundraising solicitation reported in (B) Program services " a Yes ~X No

If 'Yes; enter (I) the aggregate amount of these joint costs S , (ii) the amount allocated to Program sernces E

u,the amount allocated to Management and general S and rv the amount allocated to Fundraising S

Statement of Program Service Accomplishments See Specific Instructions on a e 24 What is the organization's pnmary exempt purpose? " STMT 5

Program s~ tea EPo

sAll orqantzaUOns must describe them exempt purpose achievements in a cleat and concise manner State the number (Requved1or507(c)(J)and (<)or9s anaa9a7la)(s)

of clients served, publications issued, etc Discuss achievements that are not measurable (Section 501(c)(7) and (4) trusts, but op0maltor organizatIons and 4947(a)(7) nonexempt charitable trusts must also enter the amount of grants and allocations to others ) others )

a STMT-7 _____'___________'___--__"'_°__-________°-_-_________'_____'___"_

--------------------------------------------------------------------------- ---------------------------------------------------------------------------

Grants and allocations $ 4 , 783 . 936 ) 91 , 958 , 658 b STMT-7 ---------------------------------------------------------'----------

--------------------------------------------------------------------------- ---------------------------------------------------------------------------

Grants and allocations $ 360 0811 6 , 640 , 274

--------------------------------------------------------------------------- ---------------------------------------------------------------------------

Grants and allocations $

d --------------------------------------------------------------------------- ---------------------------------------------------------------------------

Grants and allocations $

e Other program services attach schedule Grants and allocations $

f Total of Program Service Expanses (should equal line 44 column (B) Program services) " 98,598 , 932 ~y Form 990 10011

' Farm 990 (20011 04-2105850 ' `

'Balance Sheets (See Specific Instructions on page 24 )

(B) End of year

27 , 407 , 027 NONE

7 , 312 , 496

1 , 837 , 433

1 , 338 , 200 14 , 293 , 412

255 , 533 , 434

34,693,988 31,988,805

374,404,795 16,217,012

9,693,785

(A) Beginning of year

66 Total liabilities add lines 60 through 65 Organ¢ations that follow SFAS 177, check here " U and complete lines

67 through 69 and lines 73 and 74 67 Unrestricted m 68 Temporarily restricted 69 Permanently restricted

m y organizations that do not follow SFAS 117, check here "~ and

complete lines 70 through 74 70 Capital stock, trust principal, or current funds o

w 71 Paid-in or capital surplus, or land, building, and equipment fund 72 Retained earnings, endowment, accumulated income, or other funds

Q 73 Total net assets or fund balances (add lines 67 through 69 OR lines 70 through 72, column (A) must equal line 19, and column (B) must equal line 21)

Forth 990 is available for public inspection and, for some people, serves as the primary or sole source of information about a particular organization How the public perceives an organization in such cases may be determined by the information presented on its return Therefore, please make sure the return is complete and accurate and fully describes, in Part III, the organization', programs and accomplishments

JSA i E1030 2 000

Note Where required, attached schedules and amounts vnfhin the descnphon

45 Cash - non-interest-bearing 46 Savings and temporary cash investments

47a Accounts receivable b Less allowance (or doubtful accounts

48a Pledges receivable 48a ~V 1 , 837 , 43--b ~~Less allowance for doubtful accounts 1 4813 1

49 Grams receivable 50 Receivables from officers, directors, trustees, and key employees

(attach schedule) St e Other notes and loans receivable (attach

schedule) 51a m b Less allowance for doubtful accounts 51 b Q w

52 Inventories for sale or use 53 Prepaid expenses and deferred charges STMT 8 54 Investments - securities (attach schedule) gy= 9 " __1Cost Z]FNN SSa Investments - land, buildings, and

equipment basis 55a b Less accumulated depreciation (attach

schedule) 556 56 Investments - other (attach schedule) 57a Land, buildings, and equipment basis StPI"f 57a 76 , 005 , 563

b Less accumulated depreciation (attach schedule) , 57b 41 , 311 , 575

58 Other assets (describe " STMT 10

60 Accounts payable and accrued expenses 61 Grants payable 62 Deferred revenue . . STMT 11 63 Loans from officers, directors, trustees, and key employees (attach

schedule) 64a Tax-exempt band liabilities (attach schedule)

b Mortgages and other notes payable (attach schedule) gTKT 12 65 Other liabilities (descnbe " STMT 13 )

SSc 56

33 , 532 , 417 57c 4 , 944 , 808 58

73 , 951 , 564 59 13 .998 .812 60

1

Reconciliation of Expenses per Audited Financial Statements with Expenses per

Reconciliation of Revenue per Audited Financial Statements with Revenue per Return (See Soecific Instructions . oaoe 26

S Add amounts on lines (1) and (2) " d

e Total revenue per line 12, Form 990 lime c plus line c!) 33

List of Officers, Directors, Trustees, a

Add amounts on lines (1) and (2) I e Total expenses per line 17, Farm 990

le c plus line d) P-I 9 I lU--) , 4b :

(List each one even d not compensated, see Specific

75 Did any officer, director, trustee, or key employee receive aggregate compensation of mare than $700,000 from your

organization and all related organizations, o! which more than $10,000 was provided by we related organizations? . O Yes NN o

If 'Yes' attach schedule - see Specific Instructions m pope 27

Form ̀ JJU (2001)

JSA fEtoa02000

a Total revenue, gains, and other support per audited financial statements " a 10

b Amounts included on line a but not on line 72 . Form 990

(1) Net unrealized gains ` ' on investments S-32,429,182

(2) Donated services

and use of facilities $

(3) Recoveries of prior

year grants $

(4) Other (specify)

S Add amounts on lines (1) through (4) " 1 b I -

c Line a minus line b " c d Amounts included on line 12,

Form 990 but not on line a (1) Investment expenses

not included on line

6b, Form 990 S

(2) Other (specify)

a Total expenses and losses per audited financial statements " a

b Amounts included on line a but not on line 17, Form 990

(1) Donated services and use of facilities S

(2) Prior year adjustments

reported on line 20,

Form 990 S

(3) Losses reported on

line 20, Form 990 S

(4) Other (specify)

429 182 S

Add amounts on lines (1) through (d) 11.

709 096 c Line a minus line b

d Amounts included on line 17,

Form 990 but not on line a

(1) Investment expenses

not included on line

6b Form 990 $

(2) Other (specify)

ucner mrormation aee a ecnic Instructions on p age I i res NO 76 Did the organization engage in any activity no( previously reported to the IRS If 'Yes; attach a detailed description of each activity 76 X 77 Were any changes made in the organizing or governing documents but not reported to the IRS? 77 X

If 'Yes 'attach a conformed copy of the changes 78a Did the organization have unrelated business gross income of $1,000 or more during the year covered by this return? , 78a X

b If 'Yes,' has it fled a tax return on Form 990-T for this year? 78b N

79 Was there a liquidation dissolution, termination, or substantial contraction during the year? If "Yes," attach a statement 79 X

80 a Is the organization related (other than by association with a statewide or nationwide organization) through common

membership governing bodies, trustees officers, etc , to any other exempt or nonexempt organization? BOa X

b If 'Yes,' enter tie name of the organization 1 . S-1 to-l- t C1 and check whether it is X exempt OR nonexempt

81 a Enter direct or indirect political expenditure See line 87 instructions 81 a NONE

b Did the organization rile Form 1'120"POL for this years , , , , , , 81 b X

82a Did the organization receive donated services or the use of materials, equipment, or facilities at no charge

or at substantially less than fair rental value? B2a X

b If 'Yes,' you may indicate the value of these items here Do not include this amount

as revenue in Part I or as an expense in Part II (See instructions in Part III ) 82b N A

83a Did the organization comply with the public inspection requirements for returns and exemption applications? 83e X

b Did the organization comply with the disclosure requirements relaying to quid pro quo contributions? 83b X

84a Did the organization solicit any contributions or gifts that were not tax deducOblO B4e N

b If 'Yes," did the organization include with every salutation an express statement that such contributions

or gills were not lax deductible? 84b N

85 501/cJ(4), (5), or (6) organizations e Were substantially all dues nondeductible by members? BSa N

b Did the organization make only in-house lobbying expenditures of E2,000 or less 856 N It "Yes" was answered to either 85a or 85b, do not complete BSc through BSh below unless the organization

received a waiver far proxy lax owed for the prior year

c Dues, assessments, and similar amounts from members 85c N/A

d Section 162(e) lobbying and political expenditures 85d N/A

e Aggregate nondeductible amount of section 6033(e)(1)(A) dues notices 85e N A

f Taxable amount al lobbying and political expenditures (line BSd less 85e) 85f N A

g Does the organization elect to pay the section 6033(e) tax on the amount in 85f? 85 N

h If section 6033(e)(1 )(A) dues notices were send, does we organization agree to add the amount in 85f to its reasonable

estimate of dues allocable to nondeductible lobbying and political expenditures for the following tax year? 85h NI AL

86 507(c)(7) orgs Enter a Initiation fees and capital contributions included on line 12 B6e N/A b Gross receipts, included on line 12, !or public use of club facilities 86b N/A

87 501(c)(72) ergs Enter e Gross income from members or shareholders 87e N/A b Grass income from other sources (Do not net amounts due or pad to other

sources against amounts due a received from them ) 87b N/A

BE At any time during the year, did the organization own a 50°h or greater interest in a taxable corporation or

partnership, or an entity disregarded as separate from the organization under Regulations sections

307 7701 .2 and 301 77013 II'Ves,"complete Part IX BB 89a 501(c)(9) organizations Enter Amount o! tax imposed on the organization during we year under

section 4911 " NONE , section 4912 " NONE , section 4955 . O , ,

b 507(c)(3) and 507(c)(4) orgs Did the organization engage in any section 4958 excess benefit transaction

during the year or did it become aware o! an excess benefit transaction from a prior year'! If -Yes,' attach a statement explaining each transaction , , , , , , e9b X

c Enter Amount of tax imposed on the organization managers or disqualified persons during the year under

sections 4912, 4955, and 4958 " NONE

d Enter Amount of tax on line 89c, above, reimbursed by the organization , " NONE

90 a List the slates with which a copy of this return is filed jf~ MA, NY

b Number of employees employed in the pay period that includes March 12, 2001 (See instructions) 90b 1923

91 The books are in care of " STACEY L MEDEIROS CONTROLLER Telephone no " (508) 457-2000

Located at J~ WOODS HOLE, MA ZIP +4 p. 02543

92 Section 4947(a)(1) nonexempt charitable vests filing Farm 990 m Ireu of Form 1041 -Check here ~ u

and enter the amount of tax-exempt interest received w accrued during the tax year " ~ 92 ~ N/A

Fam990 (2001)

JSA I E1041 2 000

cluded b section 512 513, or 514 (E) Related or

ccSusion Amount exempt function code ~nl-

Note Enter gross amounts unless otherwlse I Unrelated business inc

indicated (A) (B) Business Amount 97 Program sernce revenue code

a RESEARCH

b EDUCATION

c

d

e

f Med¢are/Medicaid payments

g Fees and tonlmcts from governmant agencies

94 Membership dues and assessments

95 interest an sax,,

96 Dividends and interest from secunties 97 Net rental income or (loss) from real estate

e deb(-financed property

b not debt-financed property

98 Net rent .l .n.... .(I.P.P.reonal napery 99 Other investment income 525990 -139

100 Gain or (imp) train sales of asseu am.. than inventor, 101 Net income or (loss) from special events

102 Gross profit or (loss) Iron sales of inventory -101 Other revenue e

b LICENSING FEES

c INFO CENTER INCOME

d OTHER

a

104 Subtotal (add columns (B), (D), and (E)) I -139

105 Total (add line 104 columns (8), (D) and (E)) Note Line 705 plus line ld Part I, should equal the amount on line 12 Part I

t 103,584,336

20

(B) I (C) P"~^'°'"1 Nature of activities Name, address and EIN of

benefit convact9 I I Yes I x I No

J5,` IE10502000

Line No I Explain how each activity for which income is reported in column (E) of Part VII contributed importantly to the accomplishment

(a) Did the organization during the year, receive any funds, directly or ij (b) Did the organization, during the year, pay premiums, directly

unaer epenalties of perjury i as

and b rt is true correct, ar

Please ` Sign I

S,

nature of officer Here ' (~,p_pL4~ (fir

Type or pool name and title

Proparefs'

Paid signature

Pf0paf0f'S F,rm"sname (oryours Use Only if sell~emplvied), ~ ~ON

address and LP " a _ _

(D) Total income

OM8 No 15 .15-004i

X001 SCNEDULEA Organization Exempt Under Section 501(c)(3) (Form 990 6r 990"EZ) (Except Private Foundation) and Section 501(e), 501(n, 501(k),

501(n), or Soction 4947(a)(1) Nonexempt Charitable Trust

Oepanmant N tie Supplementary Information - (See separate instructions )

Treasury internal Revenue Service " MUST be completed b the above organizations and attached to their Form 990 or 990 Name of the organization

WOODS HOLE OCEANOGRAPHIC INSTITUTION

ees Other Than Officers, Directors, and Trustees are none, enter "None ")

(a) Caninbuums is (e) E)pense (c) Compensation employee benefit plats 8 account and other

Total number of other employees paid over

100 . 401 Compensation of the Five Highest Paid Independent Contractors for Professional Services (See page 2 of the instructions List each one (whether individuals or firms) If there are none, enter "None

(a) Name and address of each independent contractor paid more than $50 000 (b) Type of sernce (c) Compensalim

JFC SCANLAN COMPANY-,-INC

HILL S KNOWLTON

WILLIAM M MERCER INC

Schedule A (Forth 990 or 990FZ) 2001

~ F 1770 7 AAA

Compensation of the Five Highest Paid Emplo (See page 1 of the instructions List each one If then

(a) Name and address a each employee paid more (b) 7,(le and average

than $50,000 hours perxeek

ne, .~r~a r . . -n-

JAMES LUYTEN _____________ ISR ASSOC

569 WOODS HOLE ROAD, MS 14

STANLEY HART _______________ ISR SCIENTIST 569 WOODS HOLE ROAD, MS 14

JOHN FIAYES ------------------------ I9R SCIENTIST 569 WOODS HOLE ROAD, MS 14

JOFIIi FARR.INGTON ------------------- rJP ACADEMICS 569 WOODS HOLE ROAD, MS 19 1

RICHARD PITTENGER ----------------- JJPMAAINE 569 WOODS HOLE ROAD . MS 14

ELLENZWEIG ASSOCIATES INC

MARINE BIOLOGICAL LABORATORY

Total number of others receiving over $50,000 for I professional services

For Paperwork Reduction Act Notice, see the Instructions (or Form 990 end Farm 990-EL

I= 1 Statements About Activities (See page 2 of the instructions ) No

3 Does the organization make grants for scholarships fellowships student loans, etc 7 (See Note below 4 Do you have a section 403(b) annuity plan for your employees

Note Attach a statement to explain how the organization determines that individuals w organizations receiving grants STMT 29

The or anizahon is not a private foundation because it is (Please check only ONE applicable box) 5 A church convention of churches or association of churches SecOOn 170(b)(1 )(A)(1) 6 A school Section 170(6)(1)(A)(u) (Also complete Part V 7 A hospital or a cooperative hospital service organna4on Section 170(b)(1)(A)(ni) 8 A Federal stale, or local government or governmental unit Section 770(b)(1)(A)(v) 9 ~ A medical research organization operated in conjunction with a hospital SecUOn 170(b)(1)(A)(ni) Enter the hospital's name, city .

end state 1___

7 0 D An organization operated for the benefit of a college or university owned or operated by a governmental unit Secum 170(b)(1)(A)(rv)

(Also complete we Support Schedule in Part IV-A ) 11 a X An organization that normally receives a substantial part of its support from a governmental unit or from the general public

Section 170(b)(1)(A)(vi) (Also complete the Support Schedule in Part IV-A ) 11 b B A community trust Section 170(b)(i)(A)(h) (Also complete the Support Schedule in Part IV-A )

72 An organization that normally receives (1) more than 37 1/3Y. of its support from contributions, membership fees, and gross receipts from activities related to its charitable, etc , functions- subject to certain exceptions, end (2) no more then 33 1/3% of its support from gross investment income and unrelated business taxable income (less section 511 lax) from businesses acquired by the organization after June 30, 1975 See section 509(a)(2) (Also complete the Support Schedule in Part IV-A )

13

F_~

An organization that is not controlled by any disqualified persons (other than (ounda0on managers) and supports aganizahons described in (1) lines 5 through 12 above, or (2) section 501(c)(4), (5), or (6), if they meet the test of secUon 509(a)(2) (See section 509(a)(3) )

(b) Line number from above

(a) Name(s) of supported organization(s)

14f ~ An organization organized and operated [o test !or public safety Section 509la1(4) (SK pane 6 of the instructions )

J5A Schedule A (Farm 990 or 990 3007

1E1220 2 000

1 During the year, has the organization attempted to influence national, state or local legislation, including any attempt to influence public opinion on legislative matter or referendum' II 'Yes,' enter the total expenses paid or incurred in connection with the lobbying activities " $ 372,625 (Must equal amount on line 38, Part VI-A or line I a Part VI-8 ) 5111 1 a~. Organizations that made an election under section 501(h) by filing Form 5768 must complete Part VI-A Other organizabons checking Yes,' must complete Part VI-B AND attach a statement giving a detailed description of the lobbying activities

2 During the year, has the organization, either directly or indirectly, engaged in any of the following acts with any substantial contributors trustees, directors, officers, creators key employees, or members of their families, or with any taxable organization with which any such person is affiliated as an officer, director, trustee, majority owner or principal beneficiary? (it the answer to any question is 'Yes,' attach a detailed statement explaining the transactions) STMT 2

a Sale, exchange, or leasing o! property!

b Lending of money or other extension o! credit? _ STrVI1 ,yaV

oW' c Furnishing of goods, services, or facilities? SZjYt~ n -4

STMT 23 d Payment of compensation (or payment or reimbursement of expenses i( more wan $1000)?

e Transfer of any part of its income or assets

Reason for Non-Private Foundation Status (See pages 3 through 6 of the instructions )

Scneawe .+lForm990u950~Z1200' 04-2105850 Page 3 $UpPOrt SchedUIO (Complete only if you checked a box on line 10, 11, or 12 ) Use rash method of accounting

19 Net income from unrelated business

activities not included in line 18

20 Tax revenues levied for the organizations

benefit and either paid to it or expended on

21 The value of services or facilities furnished to

the organizaUon by a governmental unit

without charge Do not include the value of

services or facilities generally furnished to the

22 Other income Attach a schedule Do not STMT 25 Include gain or (lass) (nom sale of capital assets 947 S

26 Organizations described on lines 10 or 11 a Enter 2% of amount in column (e) line 24

b Prepare a list for your records to show the name of and amount contributed 6y each person (other wan a

governmental unit or publicly supported organization) whose total gills for 1997 through 2000 exceeded the

amount shown in line 26a Do not file this list with your return Enter the total of all these excess amounts

c Total support for section 509(a)(1) test Enter line 24, column (e)

d Add Amounts from column (e) for lines 18 14 , 828 , 640 19

22 458,025 26b 5 .072,447 s Public support (Ire 26c minus line 26d total)

1

(2000) ________________ (1999) ___________________ (1998) ___NOT APPLICABLE-_ (1997) ___.______-___

Far any amount included in line 17 that was received from each person (other than 'disqualified persons'), prepare a list for your records to show the name of and amount received for each year, that was mare than the larger o! (1) the amount on line 25 for the year or (2) E5,000 (Include in the list organizations described in lines 5 through 11, as well as individuals ) Do not file this list with your return After computing the difference between the amount received and the larger amount described in (1) or (2), enter the sum of these differences (the excess amounts) for each year

(2000) ________________ (1999) ___________________ (7998) ___________________ (1997)_______________

c Add Amounts from column (e) for lines 1 5 16

77 20 .1

d Add Line 27a total and line 27b total

e Public support (line 27c total minus line 27d total)

f Total support for section 509(a)(2) test Enter amount on line 23, column (e) )11~ I 27t I

g Public support percentage (line 270 (numerator) divided by line 27f (denominator))

or JSA

15 Gifts, grants and conUibubons received (Do

17 Grams receipts from admissions merchandise

sold or services performed, or furnishing of

facilities in any activity that is related to the

18 Gross income from interest, dividends.

amounts received from payments on secunhes

loans (section 572(a)(5)), rents royalties, and

unrelated business taxable income (less

section 511 tames) tram businesses acquired

27 Organizations described on line 12 a Far amounts included in lines 15, 16, and 17 that were received from a 'disqualified person,' prepare a list (or your records to show the name o(, and total amounts received in each year from, each 'disqualified person' Do not file this list with your return Enter the sum of such amounts fw each year

28 Unusual Grants For an organization described in line 10 11 or 12 that received any unusual grants during 1997 through 2000, prepare a list tar your records to show, for each year, the name of the contributor, the dale and amount of the grant, and a brie/ description of the nature of the grant Do not file this list with your return Do not include these grants in line 15

t .a

If you answered "Yes" to any of the above, please explain (If you need more space, attach a separate statement )

----------------------------------

34a Does the organization receive any (financial aid or assistance from a governmental agency

b Has the organization's right to such aid ever been revoked or suspended I! you answered "Yes" to either 34a or b, please explain using an attached statement

35 Does the organization certify that it has complied with the applicable requirements of sections 4 Ot through 4 05 of Rav Prnr 75_50 7975) C R SA7 r-nvcnno raawl nondiscnminahnn7lf "Nn' affarh an emlanahon

Schedule A (Form 990 or 990EZ) 2001 JSA

oa-zzosaso

Schedule A (Form 990 or990-EZ) 2001 NOT APPLICABLE Page 4 Private School Questionnaire (See page 7 of the instructions ) (To be completed ONLY by schools that checked the box on line 6 in Part N)

29 Does the organization have a racially nondiscriminatory policy toward students by statement in its charter, bylaws, Yes No other governing instrument, or in a resolution of its governing body 29

30 Does the organization include a statement of its racially nondiscriminatory policy toward students in all its brochures, catalogues, and other written communications with the public dealing with student admissions, programs and scholarships 30

31 Has the organization publicized its racially nondiscriminatory policy through newspaper or broadcast media during the period of solicitation for students, or during the registration period d it has no solicitation program, m a way that makes the policy known to all pans of the general community it serves 31 If "Yes ." please describe, if "No," please explain (If you need more space, attach a separate statement )

----------------------------------------------------------------------------- ----------------------------------------------------------------------------- ----------------------------------------------------------------------------- -----------------------------------------------------------------------------

32 Does the organization maintain the following a Records indicating the racial composition of the student body, faculty, and administrative staff? b Records documenting that scholarships and other financial assistance are awarded on a racially nondiscriminatory

basis c Copies of all catalogues, brochures, announcements, and other written communications to the public dealing

with student admissions, programs, and scholarships d Copies of all material used by the organization or on its behalf to solicit contnbutions2

If you answered "No" to any of the above, please explain (If you need more space, attach a separate statement )

----------------------------------------------------------------------------- -----------------------------------------------------------------------------

33 Does the organization discriminate by race in any way with respect to

a Students' rights or privileges?

b Admissions policies?

c Employment of faculty or administrative staff?

d Scholarships or other financial assistance?

e Educational policies?

f Use of facilities

g Athletic programs

h Other extracurricular activities'?

------------------------------

Schedule A !Form 990 or 990-EZ) 2001 04-2105850 Page S ~~ Lobbying Expenditures by Electing Public Charities (See page 9 of the instructions )

(To be completed ONLY b an eligible organization that filed Form 5768) NOT APPLICABLE Check t a II~ 1if the organization belongs to an affiliated group Check " b ~ ~ if you checked "a" and "limited control" provisions apply

Limits on Lobbying Expenditures

(The term "expenditures" means amounts paid or incurred )

36 Total lobbrng expenditures to influence public opinion (grassroots lobbying) 37 Total lobbying expenditures to influence a legislative body (direct lobbying) 38 Total lobbying expenditures (add lines 36 and 37) 39 Other exempt purpose expenditures 40 Total exempt purpose expenditures (add lines 38 and 39) 41 Lobbying nontaxable amount Enter the amount from the following table -

If the amount on line 40 is - The lobbying nontaxable amount is - Not aver $500,000 20% of the amount m line <0 Over $500,000 but nod over $1 000 000 $100 000 plus 15% d the excess over $500,000 Over 51 000 000 but not over $1,500 000 $175 000 plus 10% of the excess over $7,000 000 Over 51,500,000 but not me, $17 000 000 $225,000 plus 5% of one excess over El 500 000 Over $17 000,000 $1 000 000

42 Grassroots nontaxable amount (enter 25% of line 41) 43 Subtract line 42 from line 36 Enter -0- if line 42 is more than line 36 44 Subtract line 41 from line 38 Enter -0- if line 41 is more than line 38

Lobbying Expenditures During 4-Year Averaging Period

(d) (c) (b) (e)

Grassrools lobbying

hanties

During the year, did the organization attempt to influence national, scale or local legislation, including any attempt to Influence public opinion on a legislative matter or referendum, through the use of Yes No Amount

a Volunteers X ,' b Paid stall or management (Include compensation in expenses reported on lines e through h ) X c Media advertisements X d Mailings to members, legislators, or the public X 62 , 104 e Publications, or published or broadcast statements X f Grants to other organizations for lobbying purposes X g Direct contact with legislators, their staffs, government officials, or a legislative body Sjl11jX 0 , 522 h Rallies, demonstrations, seminars, conventions, speeches, lectures, or any other means X i Total lobbying expenditures (add lines c through h ) ~ ~ 372 , 625

If "Yes" to any of the above, also attach a statement arving a detailed description of the lobbing achvdies Schedule A (FOrtn 990 or 990 2007

Jsn 1 Eliap 2 000

.a

Affiliated group To be completed totals for ALL elecOnp

organizations

4-Year Averaging Period Under Section 501(h) (Some organizations that made a section 501(h) election do not have to complete all of the five columns below

See the instructions for fines 45 through 50 on pane 11 of the instructions )

Calendar year (or fiscal I (a)

Lobbying nontaxable

Lobbying ceiling amount

Grassroots nontaxable

Grassroots ceiling amount ~ " '"

Schedule A Form 990 or 990-EZ 2007 09-2105850 Page 6 Information Regarding Transfers To and Transactions and Relationships With Nonchantable Exempt Organizations (See page 12 of the instructions )

51 Did the reporting organization directly or indirectly engage in any of the following with any other organization described in section 501(c) of the Code (other than section 501(c)(3) organiza(ions) or in section 527, relating to political organizahons7

a Transfers from the reporting organization to a noncharitable exempt organization of - Yes No

() Sales or exchanges of assets with a noncharitable exempt organization (n) Purchases of assets from a noncharitable exempt organization

(iii) Rental of facilities, equipment, or other assets (iv) Reimbursement arrangements (v) Loans or loan guarantees (v) Performance of services or membership or fundraising solicitations Sharing of facilities, equipment, mailing lists, other assets, or paid employees If the answer to any of the above is 'Yes,' complete the following schedule Column (b) should always show we fair market value of the

goods, other assets, or services given by the reporting organization If the organization received less than fair market value in any

52a Is the organization directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described it section 501(c) of the Code ;other then section 501(c)(3)) or in section 527 " 0Yes EENo

Jyt Schedule A (Form 990 or 990-EZ) 2001 7 E 1250 2 000

() Cash () Other assets Other transactions

~++.~nc-~ ~1-i-r nn /, 1 /nnnn 7 l . 7A - 77 tT111 -7

WOODS HOLE OCEANOGRAPHIC INSTITUTION 04-2105850 .,

FORM 990, PART I - OTHER INVESTMENT INCOME

DESCRIPTION AMOUNT ----------- ------

CHANGE IN SPLIT INTEREST AGREEMENTS 438,737 . PARTNERSHIP INVESTMENTS -139,183 .

------------ TOTAL 299,554 .

STATEMENT 1

STATEMENT 1A

Woods Hole Oceanographic Institution EIN 04-2105850 FYE 12/31/01

Gain/Loss on Sale of Assets other than Inventory Form 990, page 1, line 8 (c )

Description Proceeds Cost Gain/Loss

Various Securities 196,762,576 195,908,734 853,842

Capital Gain Dividends 381,063 381,063

197,143,639 195,908,734 1,234,905

04-2105850 "

DESCRIPTION

------ ---- --


FORM 990, PART I - OTHER INCREASES IN FUND BALANCES

CHANGE IN PREPAID PENSION COST

AMOUNT

2,566,409 . ------------

TOTAL 2,566,409 .

STATEMENT 2

04-2105850 "

DESCRIPTION

OTHER NON OPERATING EXPENSES UNREALIZED LOSSES

STATEMENT 3

..-l,nc, -,l^r-i no /, ~ /7nn7 1 1 -'Zn " Z'7 llnl _7


FORM 990, PART I - OTHER DECREASES IN FUND BALANCES -- - -- - ---------

AMOUNT

204,956 . 32,429,182 . ------------

TOTAL 32,634,138 .

04-2105850

9I8053 7377 08/13/2002 11 34 33 V01-7 STATEMENT 4


FORM 990, PART II - GRANTS AND ALLOCATIONS PAID DURING THE YEAR

RECIPIENT NAME AM ADDRESS --------------------------

GpANT9 PAID

FELLOWSHIPS/SCHOLARSHIPS

MOUNT

5,144,017

------------

TOTAL CONTRIBUTIONS PAID 5,144,017

Cost or Method of Accumulated Net Book Asset Description Other Basis Depreication Deprecation Value

Land, building and improvements 58,416,408 S/L 32,191,071 26,225,337

8,716,836 3,971,134

1,714,908 - 76,005,563

3,683,710 Depreciation Expense

STATEMENT 4A

2001 Depreciation and Amortization Detail

Form 990, page 2, line 42

Vessels and dock facilities

Lab and other equipment

Work in Process

3,186,277 S/L

12,687,970 S/L

403,668 2,782,609

- 1,714,908 41,311,575 34,693,988

PROGRAM SERVICES

9,219,639 . 234,473 .

56,752 . 2,649 .

139,360 . 20002511 .

29655384 .

MANAGEMENT AND GENERAL

785,029 . 12,702 .

1,184,920 . 727,143 . 72,739 9,067 . NONE

2,791,600 .

FUNDRAISING

435,205 . 15,274 . 37,858 . 36,977 .

NONE NONE NONE

525,314 .

TOTAL

10439873 . 262,449 .

1,222,778 . 820,872 . 75,388 .

148,427 . 20002511 .

32972298

SI8053 7377 08/13/2002 11 :34 :33 VO1-7 STATEMENT 5


FORM 990, PART II - OTHER EXPENSES

DESCRIPTION

OTHER ADMINISTRATIVE EXPENSES CONTRACT SERVICES MISCELLANEOUS CONSULTING UTILITIES INSURANCE SHIP USEAGE

TOTALS

04-2105850

..r .~~r-, 'rn-r-r no /I ~ /nnnn 7 7 .7A -77 "Tl1l -7

WOODS HOLE OCEANOGRAPHIC INSTITUTION 04-2105850

FORM 990, PART III - ORGANIZATION'S PRIMARY EXEMPT PURPOSE

OCEANOGRAPHIC RESEARCH AND EDUCATION

STATEMENT 6


4,783,936 . 91,958,658

360,081 . 6,690,274 .

SI8053 7377 08/13/2002 15 :09 :03 VO1-7 STATEMENT 7

FORM 990, PART III - STATEMENT OF PROGRAM SERVICE ACCOMPLISHMENTS

DESCRIPTION

SPONSORED AND INSTITUTIONAL RESEARCH IN OCEANOGRAPHY AND RELATED FIELDS SPONSORED RESEARCH INVOLVED 449 AWARDS FROM 21 FEDERAL, AGENCIES AND 226 FROM 120 OTHER CLIENTS . INSTITUTION RESEARCH INVOLVED 60 PROJECTS FROM UNRESTRICTED FUNDS .

EDUCATION JOINT GRADUATE PROGRAM WITH M.I T . IN THE MARINE SCIENCES . ENROLLED FOR THE 00-01 ACADEMIC YEAR ; 119 STUDENTS ADDITIONAL PROGRAMS IN SUPPORT OF 49 POSTDOCTORAL SCHOLARS, 22 SUMMER STUDENTS, AND 58 GUEST STUDENTS .

TOTAL

GRANTS AND ALLOCATIONS EXPENSES ----------- --------

------------ ------------5,144,017 . 98,598,932 .

04-2105850

FORM 990, PART IV - PREPAID EXPENSES AND DEFERRED CHARGES

TOTALS

STATEMENT 8


DESCRIPTION

DEFERRED CHARGES AND PREPAID EXPENSES SUPPLEMENTAL RETIREMENT PREPAID PENSION

ENDING BOOK VALUE ----------

632,799-6,464,586 . 7,196,027 .

---------------19,293,412 .

------ ---- --


FORM 990, PART IV - INVESTMENTS - SECURITIES

ENDING DESCRIPTION BOOK VALUE ----------- ----------

CORPORATE BONDS 39,797,540 . SECURITIES 6 MUTUAL FUNDS 108,384,925 . OTHER SECURITIES 46,321,316 . PUBLICLY TRADED SECURITIES 50,372,975 . US GOVERNMENT SECURITIES 10,706,678 .

---------------

TOTALS 255,533,434 .

STATEMENT 9

TOTALS

STATEMENT 10

----- ---- -- --


FORM 990, PART IV - OTHER ASSETS

DESCRIPTION

REMAINDER TRUSTS CONTRIBUTED ASSETS ANNUITY INVESTMENTS AT MARKET CONTRIBUTED SECURITIES SHORT TERM INVESTMENTS

04-2105850

ENDING BOOK VALUE

10,819,303 . 3,910,445 .

842,067 . 2,947 .

16,914,043 . ---------------

31,988,805 .


FORM 990, PART IV - DEFERRED REVENUE

ENDING DESCRIPTION BOOK VALUE ----------- ----------

DEFERRED REVENUE 7,497,139 . DEFERRED FIXED RATE VARIANCE 2,196,646 .

---------------

TOTALS 9,693,785 .

STATEMENT 11

oa-2iosaso

LENDER : MASSACHUSETTS HEALTH b EDUCATIONAL AUTH . ORIGINAL AMOUNT : 2,999,214 . INTEREST RATE : 3 .750000 DATE OF NOTE : 05/27/1999 MATURITY DATE : 06/01/2010 PURPOSE OF LOAN : CAPITAL PROJECTS

- - - - - - - - - - - -

WOODS HOI.S OCEANOGRAPHIC INSTITUTION

FORM 990, PART IV - MORTGAGES AND OTHER NOTES PAYABLE

BEGINNING BALANCE DUE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3,921,516 . ENDING BALANCE DUE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5,067,952 .

---------------

TOTAL BEGINNING MORTGAGES AND OTHER NOTES PAYABLE 3,921,516 .

TOTAL ENDING MORTGAGES AND OTHER NOTES PAYABLE 5,067,952 .

STATEMENT 12

6,464,586 . ---------------

6,464,586 .

STATEMENT 13


FORM 990, PART IV - OTHER LIABILITIES

DESCRIPTION

SUPPLEMENT RETIREMENT RESERVE

TOTALS

04-2105850

ENDING BOOK VALUE


FORM 990, PART V - LIST OF OFFICERS, DIRECTORS, AND TRUSTEES

CONTRIBUTIONS EXPENSE ACCT TITLE AND TIhIE TO EMPLOYEE AND OTHER'

DEVOTED TO POSITION COMPENSATION BENEFIT PLANS ALLOWANCES ------------------- ------------ ------------- ----------

CHAIRMAN NONE NONE NONE 5

NAME AND ADDRESS ----------------

JAMES E . MOLTZ 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

JAMES M. CLARK 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

ROBERT B . GAGOSIAN 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

PETER H . MCCORMICK 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

EDWIN H HIAM 569 WOODS HOLE ROAD, MS 19 WOODS HOLE, MA 02543

CAROLYN BUNKER 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

ARTHUR YORKE ALLEN 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

RODNEY B . BERENS 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

NONE CHAIRMAN 5

DIRECTOR 6 PRESIDENT 325,220 40

NONE TRUSTEE 5

SI8053 7377 00/13/2002 15 :09 :03 VO1-7 STATEMENT 14

TREASURER 5

ASSISTANT TREASURER 5

CLERK09/23-12/31/01) 40

TRUSTEE 5

NONE

NONE

72,554

NONE

NONE NONE

60,070 . NONE

NONE NONE

NONE NONE

19,541 . NONE

NONE NONE

NONE NONE

SI8053 7377 08/13/2002 11 :34 :33 V01-7 STATEMENT 15



CONTRIBUTIONS EXPENSE ACCT TITLE AND TIME TO EMPLOYEE AND OTHER*

NAME AND ADDRESS DEVOTED TO POSITION COMPENSATION BENEFIT PLANS ALLOWANCES ---------------- ------------------- ------------ ------------- ----------

PERCY CHUBB, III TRUSTEE NONE NONE NONE 569 WOODS HOLE ROAD, MS 14 5 WOODS HOLE, MA 02543

WILLIAM C . COX, JR TRUSTEE NONE NONE NONE 569 WOODS HOLE ROAD, MS 14 5 WOODS HOLE, MA 02543

ROBERT A. DAY TRUSTEE NONE NONE NONE 569 WOODS HOLE ROAD, MS 14 5 WOODS HOLE, MA 02593

GAIL E . DEEGAN TRUSTEE NONE NONE NONE 569 WOODS HOLE ROAD, MS 14 5 WOODS HOLE, MA 02543

SYLVIA A . EARLE TRUSTEE NONE NONE NONE 569 WOODS HOLE ROAD, MS 14 5 WOODS HOLE, MA 02543

H . DAVID GREENWAY TRUSTEE NONE NONE NONE 569 WOODS HOLE ROAD, MS 14 5 WOODS HOLE, MA 02543

ROBERT D . HP.RRINGTON, JR TRUSTEE NONE NONE NONE 569 WOODS HOLE ROAD, MS 14 5 WOODS HOLE, MA 02593

JOSEPH W . HILL, II TRUSTEE NONE NONE NONE 569 WOODS HOLE ROAD, MS 14 5 WOODS HOLE, MA 02543



CONTRIBUTIONS EXPENSE ACCT TO EMPLOYEE AND OTHER .

BENEFIT PLANS ALLOWANCES ------------- ----------

NONE NONE

TITLE AND TIME DEVOTED TO POSITION COMPENSATION ------------------- ------------

TRUSTEE NONE 5


ROBERT F . HOERLE 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

JAMES B . HURLOCK 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

ROBERT L . JAMES 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02593

ERIC H . JOSTROM 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

WILLIAM J . KEALY 569 WOODS BOLE ROAD, MS 14 WOODS HOLE, MA 02543

PAUL J. KEELER 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

WALTER E . MASSEY 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

NEWTON P . S . MERRILL 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

TRUSTEE NONE NONE NONE 5

STATEMENT 16 SI8053 7377 08/13/2002 11 :34 :33 VO1-7









CONTRIBUTIONS EXPENSE ACCT TO EMPLOYEE AND OTHER .

BENEFIT PLANS ALLOWANCES ------------- ----------

NONE NONE

TITLE AND TIME DEVOTED TO POSITION COMPENSATION ------------------- ------------

TRUSTEE NONE 5


WILLIAM C . MORRIS 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

RICHARD S . MORSE JR . 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

DAVID G . MUGAR 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

THOMAS D . MULLINS 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

GEORGE F . RUSSELL 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

HARDWICK SIMMONS 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

JOHN M . STEWART 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

RICHARD F . SYRON 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

TRUSTEE 5

STATEMENT 17 SI8053 7377 08/13/2002 11 :34 :33 VO1-7

TRUSTEE 5

TRUSTEE 5

TRUSTEE 5

TRUSTEE 5

TRUSTEE 5

TRUSTEE 5

NONE NONE NONE

NONE NONE NONE

NONE NONE NONE

NONE NONE NONE

NONE NONE NONE

NONE NONE NONE

NONE NONE NONE

04-2105850


CONTRIBUTIONS EXPENSE ACCT TITLE AND TIME TO EMPLOYEE AND OTHER

DEVOTED TO POSITION COMPENSATION BENEFIT PLANS ALLOWANCES ------------------- ------------ ------------- ----------

STEPHEN E . TAYLOR 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

THOMAS J . TIERNEY 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

J. CRAIG \7ENTER 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

THOMAS B . WHEELER 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

JOHN J . WISE 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

ARTHUR ZEIKEL 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

PAUL CLEMENTE 569 WOODS HOLE ROAD, MS 14 WOODS HOLE, MA 02543

NONE TRUSTEE 5

CLERK(O1/01-09/23/01) 150,851 90

110,254 . 548,625 .

SI8053 7377 08/13/2002 11 :34 :33 VO1-7 STATEMENT 18



TRUSTEE 5

TRUSTEE 5

TRUSTEE 5

TRUSTEE 5

TRUSTEE 5

NONE

NONE

NONE

NONE

NONE

GRAND TOTALS

NONE

NONE

NONE

NONE

NONE

NONE

30,693 .

NONE

NONE

NONE

NONE

NONE

NONE

NONE

NONE

- - - - - - - - - - - - I . - I - - I ~ I ~ . I I I ~~ I I


FORM 990, PART VI - NAMES OF RELATED ORGANIZATIONS

THE WHOI POST RETIREMENT M[EDIC.A.L BENEFIT PLAN -EXF-m-V-j QUISSETT DEVELOPINfENT CORPORATION - N6,w

STATEMENT 19

STATEMENT 20


FORM 990, PART VIII - ACCOMPLISHMENT OF EXEMPT PURPOSES

EXPLANATION OF HOW EACH ACTIVITY FOR WHICH INCOM[E LINE IS REPORTED IN COLUMN (E) OF PART VII CONTRIBUTED NO . IMPORTANTLY TO THE ACCOMPLISHMENT OF EXEMPT PURPOSES --- ----------------------------------------------------

93B REVENUE FROM JOINT GRADUATE PROGRAM WITH M .I .T . IN THE MARINE SCIENCES . THIS FURTHERS OUR EXEMPT PURPOSE BY ENSURING QUALITY EDUCATION AND TRAINING FOR SCIENTISTS AND ENGINEERS WHO WILL PARTICIPATE IN FUTURE OCEANOGRAPHIC PROCESSES .

103C,C) REVENUE GENERATED FROM THE SALE OF SCIENTIFIC BOOKS AND SOUVENIRS WHICH CONTRIBUTE TO THE ACHIEVEMENT OF THE INSTITUTION'S EXEMPT SCIENTIFIC AND EDUCATIONAL PURPOSES BY STIMULATING AND ENHANCING PUBLIC AWARENESS, INTEREST, AND APPRECIATION OF OCEANOGRAPHY .

S,L3ssv fmiaNa

-------- ------------------------------J'salmialLNI IdSeMN NOILVDIgjlNa(II 'daAO'IdWS dIHSUEMMO ssaH(Icrv (INV 3NVN MVINMUZd

----------

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STATEMENT 22

Woods Hole Oceanographic Institute Fiscal Year Ended December 31, 2001 Employer Identification Number 04-2105850 Schedule A, Part III

Line I During the year, has the organization attempted to influence national, state, or local legislation, including any attempt to influence public opinion on a legislative matter or referendum?

The Woods Hole Oceanographic Institution did not participate or intervene in any political campaigns The amount reported represents payments to consultants whose primary activities consist of educating and communicating with legislators and the general public regarding environmental and ocean science issues In addition, the consultants report back to Woods Hole Oceanographic Institution on developments and issues of interest to, and/or, facing the institution

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ju~m .y ... ip" I. . . . .,

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tC-

Aggregrate Date Amount Repaid Repayment Balance

Name Type of Loan of Loan Borrowed in 2001 through 2001 Due

Robert Gagosian Education Loan 1 8/112000 $9,81800 $1,96378 $2,71908 $7,09892 Robert Gagosian Education Loan 2 8/31/2001 10,36600 63792 63792 9,728 08

Paul Clemente Computer Loan 11/27/2000 1,57993 1,51673 1,579 93 000 Paul Clemente Education Loan 1 8/3/1999 4,55000 3,29000 4,55000 000 Paul Clemente Education Loan 2 11129/1999 4,55000 3,60500 4,55000 000 Paul Clemente Education Loan 3 7/27/2000 4,18200 3,86030 4,18200 000 Paul Clemente Education Loan 4 12/14t2OOO 3,22500 3,22500 3,22500 000

D

MT

SEE PART V, FORM 990

STATEMENT 23


SCHEDULE A, PART III - EXPLANATION FOR LINE 2D - - ---------

04-2105850

STATEM~ENT 24

WOODS HQLE OCEANOGRAPHIC INSTITUTION 04-2105850

SCHEDULE A, PART III - EXPLANATION FOR LINE 4

DISBURSEMENTS IN FURTHERANCE OF THE INSTITUTION'S EXEMPT PROGRAMS ARE MADE IN ACCORDANCE WITH PROCEDURES, OR SUBJECT TO CONDITIONS, ESTABLISHED BY THE INSTITUTION'S GOVERNING BOARD . SUCH PROCEDURES AND CONDITIONS ARE DESIGNED TO ASSURE THAT INDIVIDUALS AND ORGANIZATIONS RECEIVING DISBURSENENTS ARE QUALIFYING RECIPIENTS . STUDENTS RECEIVING SCHOLARSHIPS AND FELLOWSHIPS ARE JUDGED ON THE BASIS OF ACADEMIC ACHIEVEM[ENT, FINACIAL NEED, AND OTHER SIMILAR STANDARDS

L-TOA CE :VE :TT ZOOZ/ET/80 LLEL ESOBIS SZ IN33421VIS

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-----------NOI,LdIEDSM

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S31M33 NOIIVW803NI saNiHovw omiaNaA

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aWOONI NEHIO - V-AI IUVd 'V aMORHOS

STATEMENT A

WOODS HOLE OCEANOGRAPHIC INSTITUTION 04-2105850 FOR YEAR END 12/31/2001

FORM 990, EXPLANATION FOR LINE B :

THE ONLY CHANGE MADE TO THIS TAX RETURN FOR THE YEAR ENDED 12/31/2001, IS THE ATTACHMENT OF FORM 8865, RETURN OF U .S .

PERSONS WITH RESPECT TO CERTAIN FOREIGN PARTNERSHIPS .

OMB No 1545-1668

2001 Attachment SexhienceNo 118

Return of U.S . Persons With Respect to Certain Foreign Partnerships

ll~ Attach to your tax return See separate instructions Information furnished for the foreign partnership's tax year

tions) beginning 11/07 2001, and ending 12/3 DeOanrneint of the Tmwy Internal R,wenue S"ce

C Filer's share of liabilibes Nonrecourse $ NONE Qualified nonrecourse financing $ NONE Other $ NONE D If filer is a member of a consolidated group but not the parent . enter the following information about the parent N/A

EIN

(1) Narne (2) Address (3) Identifying number I-, "-- -,-, Category I Category 2 ConstruaNe owrer

F1 Name and address of foreign partnership 2 EIN (if any) THOMAS H LEE (ALTERNATIVE) FUND V, LP 98-0361587 C/O THOMAS H LEE PARTNERS, L.P Country under whose lavs organized 75 STATE STREET, BOSTON, MA 02109 CAYMAN ISLANDS

4 Date of organization 5 Finncipal place of business 6 Principal business activity 7 Principalbusinessacbvity, 8 Funcbonal currency and I I code number I I exchange rate (see instr

INVESTMENTS 07/2001 ICAYMAN I tax

I Name, address, and identifying number of agent (it any) in the 2 L;necK 0 the foragn partnernrip must we United States E]Fornn 1042 Ej Form 8804 []Form 1065 or 1065-B

I Service Center where Form 1065 or 1065-B is filed

Name and address of person(s) win custody of the books and records of the foreign partnership, and the location of such books and records, if different

C/O CHARLES HOLDEN THOMAS H . LEE PARTNERS, L P .

3 Name and address of foreign partnership's agent in country organization, if any

WALKERS SPV LIMITED, WALKERS HOUSE MARY STREET, P 0 BOX 256GT

5 Were any special allocations made by the foreign partnership? iii, Yes FX] NO 6 Number of foreign disregarded entibes owned by the partnership (attach ist) 7 How is this partnership classified under the law of the country in which it is organizedl 1.

8 Did the partnership own my separate units within the meaning of Regulations section 1 1503-2(c)(3) or (4)? Yes [j] No 9 Does this partnership meet both of the folowing requirements?

" The partnerships total receipts fix the tax year were less Man $25QOOO and " The value of the partnership's total assets at the end of the tax year was less than $600,000 Yes FX] No If 'Yes * do not complete Schedules L, M-1, and Iv-2 I

Sign Hilm Only Under penalbee; of perrury I declare that I have examined this return including accompanying schedules and statements and to the best Of my kromiledge If Y. An, and bel ief It is true correct and complete Declaration of preparer (other than general partner oi~ limited lalbility com pany member) Is Wed on all pling ni. inform of which preparer h"y knowledge Fairin S."nittilly linill Neit with Ym, T. itirsi. Signature o(ge66ral partnuir limited lialpilitycop)parry member

Paid Preparer s

Preparer's signature y)) Firm s name (or

Use Only you,, 11 self-employed) ECOOPE

olpilow-SkTTEOE-CU-ss SQUARE

For Paperwork Reduction Act Notice, see the separate instructions ISA STFFED9051F I

Phoneno 617-478-5000 Form 8865 pooi)

Form8865

Important . All information must be in English All amounts must be in U S dollars unless otherwise indicated Name of person, filing this return Filerjs Identifying number

WOODS HOLE OCEANOGRAPHIC INSTITUTION 104-2105850 Filer s address (it you are not filing this form with your tax return) A Category of filer (see Categories of Fliers in the instructions and check aPPlicable box(es)) 569 WOODS HOLE ROAD, MS 14 1 [] 2 [:] 3 [Z 40

WOODS HOLE MA 02543 B Filer's tax year beginning 01/01 20 01 andending 12/31 20 01

Address

7 L -1 lo 3 Date

I PretiarersSSNorforl"IN Check .f self-employed 1~ E]

Form 8865 (2001) Page 2 Schedule A Constructive Ownership of Partnership Interest. Check the boxes that apply to the filer If you

check box lb, enter the name, address, and U S taxpayer identifying number (if any) of the person(s) whose interest you constructively own See instructions

Does the partnership have any other foreign person as a direct partner? L] Yes L] No Schedule A-2 Affiliation Schedule. List all partnerships (foreign or domestic) in which the foreign partnership owns

a direct interest or indirectiv owns a 10% interest EIN Total ordinary Check if

(if any) income or loss L foreign ~.-h

Address Name

I Schedule 8 1 Income Statement - Trade or Business Incoi Caution : Include oniv trade or business income and expenses on lines la 22 below Seethe instructions for more intonnation

8 Total income (loss) Combine lines 3 through 7 9 Salaries and wages (other than to partners) (less employment credits)

10 Guaranteed payments to partners 11 Repairs and maintenance 12 Bad debts 13 Rent 14 Taxes and licenses 15 Interest 16a Depreciation (if required, attach Form 4562) b Less depreciation reported on Schedule A and elsewhere on return

17 Depletion (Do not deduct oil and gas depletion 18 Retirement plans, etc 0 19 Employee benefit programs 20 Other deductions (attach schedule) V

21 Total deductions . Add the amounts shown in the far naht column for

8

20

22 business activities Subtract line 21 from line 8 122 Form 8865 (2ool)

STF FED9G51F 2

I a Gross receipts or sales II! b Less returns and allowances lb

2 Cost of goods sold 3 Gross profit Subtract line 2 from line 1c

0 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule) .E 5 Net farm profit (loss) (attach Schedule F (Form 1040))

6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)

I Form 8865 3

STF FED9051 F 3

Short-Term Capital Gains and Losses - Assets Held One Year or Less (a) Des;nplion of property

(eg 100shares (b) Date acquired (C) Date Sold (d) Sales price (a) Cost or other basis (f) Gain or (loss) of 7, Co ) I (month, day year) I (month day year) I (See instructions) I (see instructions) I ((d) mmus (a))

2 Short-term capital gain from installment sales from Form 6252, line 26 or 37

3 Short-term capital gain (loss) from like-kind exchanges from Form 8824

4 Partnership's share of net short-term capital gain (loss), including specially allocated short-term capital gains (losses), from other partnerships, estates, and trusts

5 Net short-term capital gain or (loss) Combine lines 1 through 4 in column (f) Enter here and on Form 8865, Schedule K, line 4d or 7 1 5

Long-Term Capital Gains and Losses - Assets Held More Than One Year (a) Description of property Ile) Cost or other basis MGainor(loss) (g) 28% rate gain

(eg 100shares (b) Date acquired (c) Date sold (d) Sales price or (loss) of MzP Co ) I (month day year) (month day year) (see instructions) (0 '(Seemstr W.)

6

7 Long-term capital gain from installment sales from Form 6252, line 26 or 37

8 Long-term capital gain (loss) from like-kind exchanges from Form 8824

9 Partnership's share of net long-term capital gain (loss), including specially allocated long-term capital gains (losses), from other partnerships, estates, and trus 1 9

10 Capital gain distributions

11 Combine lines 6 through 10 in column (g) Enter here and on Schedule K, line 4e(2) or 7

12 Net long-term capital gain or (loss) Combine lines 6 through 10 in column (f) Enter here and on Form 8865, Schedule K, line 4e(l) or 7 1 12

*28% rate gain or (loss) includes all 'collectibles gains and losses* (as defined in the instructions)

Form 8865 (2ool)

Forrn 8865

chpidule K Partners' Shares of Income, Credits, Deductions, etc

(a) Distributive share iterris

1 Ordinary income (loss) from trade or business activities (enter from Schedule B, line 22) 2 Net income (loss) from rental real estate activities (attach Form 6825) 3a Gross income from other rental activities 3a b Expenses from other rental activities (attach schedule) 3b c Net income (loss) from other rental activities Subtract line 3b from line 3a

4 Portfolio income (loss)

0 a Interest income Z:~ b Ordinary dividends 4) E C Royalty income 0

d Net short-term capital gain (loss) e (1) Net long-term capital gain (loss)

(2) 28% rate gain (loss) ji~ (3) Qualified 5-year gain p~ f Other portfolio income (loss) (attach schedule)

5 Guaranteed payments to partners 6 Net section 1231 gain (loss) (other than due to casualty or theft) (attach Form 4797)

(b) Total arriount

1 2

4b

M

Form 8865 (201)

STF FED9051 F 4

8 Charitable coninbutions (attach schedule) 9 Section 179 expense deduction

4) 0 10 Deductions related to portfolio income (itemize) 11 Other deductions (attach schedule) 12a Low-income housing credit

(1) From partnerships to which section 420)(5) applies (2) Other than on line 12a(l)

lo Qualified rehabilitation expenditures related to rental real estate activities (attach Form 3468)

U c Credits (other than credits shown on lines 12a and 12b) related to rental real estate activities

d Credits related to other rental activities 13 Other credits 14a Interest expense on investment debts

> b (1) Investment income included on lines 4a, 4b, 4c, and V above .S E S (2) Investment expenses included on line 10 above

:~. 15a Net earnings (loss) from self-employment 0 .L 7&15 lo Gross farming or fishing income Z E 0 ch uJ E c Gross nonfarm income

(D 16a Depreciation adjustment on property placed in service after 1986 b Adjusted gain or loss

2 E c Depletion (other than oil and gas) d (11) Gross income from oil, gas, and geothermal properties a .

0 X :9 r (2) Deductions ailocable to oil, gas, and geothermal properties

< -

e Other achustments and tax oreference items (attach schedule)

(b) Total arnount

17bl

Fo~

(a) Distributive sham itenis

17a Name of foreign country or U S possession ji~ b Gross income from all sources c Gross income sourced at partner level d Foreign gross income sourced at partnership level

(1) Passive (2) Listed categories (attach schedule)

X (3) General limitation

P e Deductions allocated and apportioned at partner level r (1) Interest expense

0 (2) Other U. f Deductions allocated and apportioned at partnership level to foreign source income

(1) Passive (2) Listed categories (attach schedule) (3) General limitation

g Total foreign taxes (check one) Ili Paid n Accrued It Reduction in taxes available for credit (affach schedule)

18 Section 59(e)(2) expenditures a Type 1~ b Amount li~ 19 Tax-exempt interest income 20 Other tax-exempt income 21 Nondeductible expenses 22 Distributions of money (cash and marketable securities) 23 Distributions of property other than money 24 Other items and amounts required to be reported separately to partners (attach

1 . is End of

Fom 8866 (2ooi) STF FED905, F 5

Assets

1 Cash 2a Trade notes and accounts receivable b Less allowance for bad debts

3 Inventories 4 U S government obligations 5 Tax-exempt securities 6 Other current assets (attach schedule) 7 Mortgage and real estate loans 8 Other investments (attach schedule) 9a Buildings and other depreciable assets b Less accumulated depreciation

10a Depletable assets b Less accumulated depletion

11 Land (net of any amortization) 12a Intangible assets (amortizable only) b Less accumulated amortization

13 Other assets (attach schedule) 14 Total assets

Liabilities and Capital 15 Accounts payable 16 Mortgages, notes, bonds payable in less than 1 year 17 Other current liabilities (attach schedule) 18 All nonrecourse loans 19 Mortgages, notes, bonds payable in 1 year or more 20 Other liabilities (attach schedule) 21 Partners' capital accounts 22 Total liabilities and caDital

. . , , -1

Page 6

(a) Beginning of

tax year I Total U S assets 2 Total foreign assets a Passive income category b Listed categories (attach schedule) c General limitation income category I

-- Reconciliation of Income (Loss) per Books With Income (Loss) per Return Schedule M-~l Question G9, page 1, is answered "Yes ")

(b) End of tax veai

6 Income recorded on books this year not included on Schedule K, lines 1 through 7 (itemize)

a Tax-exempt interest S

is answered "Yes

8 Add lines 6 and 7 9 Balance at end of year Subtract

Form t5ftb (2001)

STF FED9D51 F 6

Form 8865 (2001)

1 Schedule i

I Net income (loss) per books 2 Income included on Schedule K,

lines 1 through 4, 6, and 7, not recorded on books this year (itemize)

3 Guaranteed payments (other than health insurance)

4 Expenses recorded on books this year not included on Schedule K, lines 1 through 11, 14a, 17g, and 18b (itemize)

a Depreciation $ b Travel and entertainment S

5 Add lines 1 through 4

1 Balance at beginning of year 2 Capital contributed during year 3 Net income (loss) per books 4 Other incRises (itemize)


7 Deductions included on Schedule K, lines 1 through 11, 14a, 17g, and 18b, not charged against book income this year (itemize)

a Depreciation $

8 Add lines 6 and 7 9 Income (loss) Subtract line 8

from line 5

6 Distributions a Cash b Property

7 Other decreases (itemize) -

Form 8865 (2001) Page 7

Schipiclule N Transactions Between Controlled Foreign Partnership and Partners or Other Related Entities

Important Complete a separate Form 8865 and Schedule N for each controlled foreign partnership Enter the totals for each type of" transaction that occurred between the foreign partnership and the persons listed in columns (a) through (d)

(b) Any domestic (c) Any other foreign (d) Any U S person with a Transactions [3) U S person corporation or partnership corporation or partnership 10% or more direct interest

Of filing this return controlling or controlled controlling or controlled in the controlled foreign foreign partnership by the U S person filing by the U S person filing partnership (other than the

this return this return U S person filing this return)

1 Sales of inventory 2 Sales of property rights

(patents, trademarks, etc

3 Compensation received for technical, managerial, engineering, construction, of like seninces

4 Commissions received 5 Rents, royalties, and license

fees received

6 Distributions received

7 Interest received

8 Other


10 Purchases of inventory

11 Purchases of tangible property other than inventory

12 Purchases of property rights (patents, trademarks, etc ) - 1

13 Compensation paid for technical, managerial, engineering, construction, or like services

18 Other

19 Add lines 10 through 18 20 Amounts borrowed (enter the

maximum loan balance during the year) - see instructions

21 Amounts loaned (enter the maximum loan balance during the year) - see instructions

Form 8865 (2ool)

STF FED9051 F 7

14 Commissions paid 15 Rents, royalties, and license

fees paid 16 Distributions paid 17 Interest paid

Name of foreign partnership

THOMAS H LEE (ALTERNATIVE) FUND V, LP

piii-ii Transfers Reportable Under Section 6038B

(a) (b) (c) (d) (a) M (g) Type of Date of Numberof Fair market Cost or other Section 704(c) Gain Percentage interest property tra ns ter items value on date basis allocation recognized on in partnership after

transferred of transfer method transfer transfer

Cash ok 7

(a) (b) fc) (d) (0) Depreciation Type of Date of Date of Manner of Gain recapture property onginal disposiboin disposition recognized by recognized (f)

transfer partnership try partrershig

(9) jh) Gain allocated Depreciation

to partner recapture allocated to partner

ISA STF FED9053F

SCHEDULE 0 Transfer of Property to a Foreign Partnership Dive No 1545-1668 (Form 8865) (under section 6038B) Depart;rierit of the Treasury 2001 Internal R~ue S~m 11~ Attach to Form 8865 See Instructions for Foffn 8865

Name of transferor Filer's Identifying number


Marketable secunhes

Inventory

Tangible property used in trade or busir-ims

Intangible property

Other property

Supplemental Information Required To Be Reported (see instructions)

Dispositions Reportable Under Section 6038B

I Part III Is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or section 904(f)(5)(F)2 ii. E] Yes R] No

For laape~rk Reduction Act Notice, see the Instructions for Fortin 8865 Schedule 0 Forrin 8865) 2001

I .

" If you are filing for an Automatic 3-Month Extension, complete only Part I ano check this box 0. Fx~ " If you are filing for an Additional (not automatic) 3-Month Extension, complete only Part 11 (on page 2 of this form) Note Do not complete Part 11 unless you have already been granted an automatic 3-month extension on a previously filled Form 8868 Part I I Automatic 3-Month Extension of Time - Only submit original (no copies needed) Note Form 990-T corporations requesting an automatic 6-month extension - check this box and complete Part / only 0-0 All other corporations (including Form 990-C fifers) must use Form 7004 to request an extension of time to file income tax returns Partnerships, REMICs and trusts must use Form 8736 to request an extension of time to file Form 1065, 1066, or 1041

number Type or print File by the due date for Ming your return See instructions

WOODS HOLE OCEANOGRAPHIC INSTITUTION Number. str~~ and rcomorsuiteno lfaPO box, seeinstructions 569 OYSTER POND ROAD

04-2105850

uity, town or post office, state and zjt~ cope t-oratoeign atiaress, seemsulrclions

I request an automatic 3-month (6-month, for 990-T corporation) extension of time until Aucnlqt- 1-i .20 02 to file the exempt organization return for the organization named above The extension is for the organization's return for b., FX1 calendar year 20 0 1 or ll~ F-1 tax year beginning - 20 -, and ending 20 -

2 if this tax year is for less than 12 months, check reason [] Initial return 0 Final return [:] Change in accounting Denied

3a If this application is for Form 990-BL, 990-PF, 990-T, 4720, or 6069, enter the tentative tax, less any nonrefundable credits See instructions $ NONE

b If this application is for Form 990-PF or 990-T, enter any refundable credits and estimated tax payments made Include any prior year overpayment allowed as a credit S NONE

c Balance Due Subtract line 31b from line 3a Include your payment with this form, or, if required, deposit with F`TD coupon or, if required, by using EFTPS (Electronic Federal Tax Payment System) See instructions $ 0 00

Signature and Verification Under penalties of periury~ I declare that I ha~ examined this form including accompanying schedules and statements and to the best of my knowledge and belief, it is true correct, and complete and tiliFit I am authorized to prepare this form

Date Title

Form 8868 (12-2000) see

ISA STF~[)9056F I

Form8868 Application for Extension of Time To File an (December 2000) Exempt Organization Return OMS No 1545-1709 Depari-ent of the Treasury li~ File a separate alpNication for each return bimad Ra~nue S~,.. I

Name

Check type of return to be filed (file a separate application tor each return) f -1 Form 990 -] Form 990 x F -T (corporation) Form 4720 `-~ Form 990-BL 0 Form 990-T (see 401 (a) or 406(a) trust) Form 5227 Fj Form 990-EZ F-1 Form 990-T (trust other than above) Form 6069 0 Form 990-PF 0 Form 1041 -A Form 8870 " If the organization does not have an office or place of business in the United States, check this box " If this is for a Group Return, enter the organization's four digit Group Exemption Number (GEN) If this is for the whole group, check this box il~ 0 If it is for part of the group, check this box li~ Drid attach a list with the names and EINs of all members the extension will cover

For Paperwork

t form 990 q no 154s 0047 2001

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