^t 4t Form 9 9 Q A For the 2017 calendar year, or tax year beginning , 2017, and ending P KOCH INSTITUTE 27-4967732 Doin 9 g business as Name change ,nhe,racvn Number and street (or P 0 box if mail is not delivered to street address) Final return/ terminated City or town, state or province , country , and ZIP or foreign postal code Amended return Application X ALES pending 1320 N. COURTHOUSE ROAD, ARLINGTON, STE 500 (703) STE 500 ARLINGTON, Tax-exempt status X 501 ( c)(3) J ) .4 (insert no) I I 501 ( c) ( Website : ^ WWr,.CHARLESKOCHINSTITUTE.ORG K Form of oraamzatton X Corporation Association VA 22201 4947 ( a)(1) or H( b) 527 riy 55, 014, 414. H(a) Is this a group return for subordinates? HOOKS 1r- 875-1658 J GGrossreceipts $ BRIAN COURTHOUSE ROAD, Trust 0 E Telephone number Room/suite VA 22201 F Name and address of principal officer . 1320 N. I a2017 , 20 D Employer identification number C Name of organization Address change N Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code ( except private foundations) ^ Do not enter social security numbers on this form as it may be made public. ^ Go to www. irs.gov/Form990 for instructions and the latest information. Department of the Treasury Internal Revenue Service B Checkilepplirabie OMB No 1545 - Ot Return of Organization Exempt From Income Tax H Yes X No Yes LJ No If "No,' attach a l i st (see i nstructions) Are allsubordlnatesIncluded? H(c) Group exemption number ^ L Year of formation Other ^ 2 011 M State of legal domicile DE Summary I Briefly describe the organization ' s mission or most significant activities - INSPIRED BY A RECOGNITION THAT FREE PEOPLE ARE CAPABLE OF EXTRAORDINARY THINGS, THE CHARLES KOCH INSTITUTE SUPPORTS EDUCATIONAL PROGRAMS AND DIALOGUE TO (SEE SCHEDULE 0) 2 Check this box ^ If the organization discontinued its operations or disposed of mo than 25% of its net assets Number of voting members of the governing body (Part VI, line 1a) 3 O> 1^o Number of independent voting members of the governing body ( Part Vl, line lb tfi^. , 4 Total number of individuals employed In calendar year 2017 (Part V, line ` O^p3 , 5 Total number of volunteers (estimate if necessary ),,,! c^ $ 6 Total unrelated business revenue from Part VIII , column (C), line 12 7a 7b N e t unre l a t e d b us i ness t axa bl e I ncome f rom F orm 990 - T , l ine 34 , r- 3 4 5 6 7a b c Q t' 8 Contributions and grants (Part VIII, line 1h ) ... . .... ... . .. 9 Program service revenue (Part VIII, line 2g) , $, 10 } 0. 2 , 047, 187. 1 , 757 , 630 . 52, 302, 300. OP, 0. 0. . 1, 829, 348. 62,872. 655, 201. 2,056,913. 16, 998, 220. 1, 212, 613. 55,014,414. 1,426, 996. 0. 15, 162, 878. 0. 0. 16, 182, 583. 0. 9, 477, 115. 25, 852, 606. -8, 854, 386. 10,224,168. 27,833,747. 27,180,667. . Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c , and 11e ),. ,. ., •, ., ,. ., ,. ,. Total revenue - add lines 8 throu g h 11 must eq ual Part Vlil, column (A) , line 12 ) . Grants and similar amounts paid (Part IX , column (A), lines 1 -3) . . . . . . . . . . . . Benefits paid to or for members (Part IX, column (A), line 4 ) . . . . . . .. . . . . . . 12 13 14 in 15 c 16a b X W 17 18 19 6. 1 . 207. Current Year 15 , 106, 000. . . Investment income (Part VIII, column ( A), lines 3,4, . and 7d ), 11 Prior Year Salaries , other compensation , employee benefits (Part IX, column (A), lines 5-10). Professional fundraising fees (Part IX, column (A), line 11 e) . . . . . . . . . 0 Total fundraising expenses ( Part IX , column ( D), line 25) 00. Other expenses ( Part IX , column ( A), lines 11a-11d , 1lf-24e ) . . . . . . . . . . Total expenses . Add lines 13-17 (must equal Part IX, column (A), line 25 ) . . . . Revenue less expenses . Subtract line 18 from line 12 . . . . . . . . . . . . . , . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Beginning of Current Year a A° 20 Total assets (Part X, line 16) , ^m 21 Total liabilities ( Part X , line 26 ), , , , , , , , , , , , , , , , , , , , , , , , , zLL 22 Net assets or fund balances Subtract line 21 from line 20 . Signature Block [Z. M End of Year 304 , 586 r 518. 336 666 , 388. 6, 213, 908. 298, 372, 610. 6,860,009. 329,806,379. Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it Is true, correct, and complete Declaration of preparer (other than officer) Is based on all information of which nrenarer has any knowledge Sign Ignature of officer "Here SUSAN I ' il^ MOTIFF ^ Type or print name and title Print/Type preparet's name Q Paid MICHAEL W Preparer Z Use Only I Firm's name Firm's address re argr slg ature J ENGLE NI JUG LLP WALNUT, SUITE 1700 KANSAS CITY, MO 64106- May the IRS discuss this return with the preparer shown above ? (see it CO For Paperwork Reduction Act Notice , see the separate instructions. JSA C) N %,Ct 1 < 27-4967732 CHARLES KOCH INSTITUTE lb Form 990 (2Q7) Page 2 Statement of Program Service Accomplishments 1 2 3 4 . Check if Schedule 0 contains a response or note to any line in this Part III Briefly describe the organization's mission SEE SCHEDULE 0 Did the organization undertake any significant program services during the year which were not listed on the prior Form 990 or 990-EZ? , , , , , , , , , , , , , , , . , , , , , , , , , , , , , , . , , . , , , . , , , , , , ❑ Yes If "Yes," describe these new services on Schedule 0 Did the organization cease conducting , or make significant changes in how it conducts , any program services? ......................................................... If "Yes," describe these changes on Schedule 0 ❑ Yes No No Describe the organization ' s program service accomplishments for each of its three largest program services, as measured by expenses Section 501 ( c)(3) and 501 ( c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses , and revenue , if any, for each program service reported 4a (Code 25,146, 677 including grants of $ 1, 426, 996 ) ( Revenue $ ) ( Expenses $ EDUCATE STUDENTS IN A CLASS ROOM REGARDING THE PRINCIPLES THAT ENABLE INDIVIDUALS TO LIVE THEIR BEST LIVES. 4b (Code ) ( Expenses $ including grants of $ ) (Revenue $ 4c (Code ) ( Expenses $ including grants of $ ) (Revenue $ 4d Other program services ( Describe in Schedule 0 ) (Expenses $ including grants of $ 25,146,677. 4e Total program service expenses ^ ) (Revenue $ E1 7 SA J 7 E 1020 1 000 5425DW K922 0 Form 990 (2017) 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 3 41 CHARLES KOCH 27-4967732 INSTITUTE Form 990 (2017) Page 3 Checklist of Required Schedules Yes Is the organization described in section 501 ( c)(3) or 4947(a)(1) (other than a private foundation )' If "Yes," complete Schedule A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Is the organization required to complete Schedule B, Schedule of Contributors ( see instructions)'. . . . . . . . . Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office ? If "Yes," complete Schedule C, Part I . . . . . . . . . . . . . . . . . . . . . . . . . . Section 501 ( c)(3) organizations. Did the organization engage in lobbying activities , or have a section 501(h) election in effect during the tax year's If "Yes, " complete Schedule C, Part ll . . . . . . . . . . . . . . . . . . . . . Is the organization a section 501 ( c)(4), 501 ( c)(5), or 501(c)(6) organization that receives membership dues, assessments , or similar amounts as defined in Revenue Procedure 98-19? If "Yes," complete Schedule C, I 2 3 4 5 6 7 8 . . 1 2 . 3 . 4 Part Ill ......................................................... Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts' If "Yes, " complete Schedule D, Part I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Did the organization receive or hold a conservation easement , including easements to preserve open space, the environment , historic land areas , or historic structures ' If "Yes," complete Schedule D, Partll. . . . . . . . . . Did the organization maintain collections of works of art , historical treasures , or other similar assets ' If "Yes," complete Schedule D, Part 111 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 X 6 X 7 X 8 X 9 X 10 X Did the organization report an amount in Part X , line 21, for escrow or custodial account liability, serve as a custodian for amounts not listed in Part X , or provide credit counseling , debt management, credit repair, or debt negotiation services '? If "Yes," complete Schedule D, Part IV . . . . . . . . . . . . . . . . . . . . . . . . . . . Did the organization , directly or through a related organization , hold assets in temporarily restricted endowments , permanent endowments , or quasi-endowments ' If "Yes," complete Schedule D, Part V. . . . . . . . If the organization ' s answer to any of the following questions is "Yes ," then complete Schedule D, Parts VI, 9 10 11 VII, VIII, IX, or X as applicable a Did the organization report an amount for land , buildings , and equipment in Part X, line 10? If "Yes," complete Schedule D, Part VI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b Did the organization report an amount for investments - other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X , line 16' If "Yes," complete Schedule D, Part VII . . . . . . . . . . . . . . . . c Did the organization report an amount for investments-program related in Part X , line 13 that is 5% or more of its total assets reported in Part X , line 16? If "Yes,"complete Schedule D, Part VIII . . . . . . . . . . . . . . . . d Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X , line 16? If "Yes, " complete Schedule D, Part IX . . . . . . . . . . . . . . . . . . . . . . . . . . e Did the organization report an amount for other liabilities in Part X, line 25' If 'Yes, " complete Schedule D, PartX . . . . . f X X X X . 11a X . 11b X . 11c X . 11d lle X X 11f X X Did the organization ' s separate or consolidated financial statements for the tax year include a footnote that addresses the organization ' s liability for uncertain tax positions under FIN 48 (ASC 740 ) 7 If 'Yes, " complete Schedule D, PartX . . . . . . 12a No Did the organization obtain separate , independent audited financial statements for the tax year? If 'Yes," complete Schedule D, Parts Xl and Xll . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b Was the organization included in consolidated , independent audited financial statements for the tax year's If "Yes,"and if the organization answered "No" to line 12a , then completing Schedule D, Parts XI and Xll is optional 13 Is the organization a school described in section 170 ( b)(1)(A)(u)? If "Yes," complete Schedule E. . . . . . . . . . 14a Did the organization maintain an office , employees , or agents outside of the United States '. . . . . . . . . . . . b Did the organization have aggregate revenues or expenses of more than $ 10,000 from grantmaking, fundraising , business , investment , and program service activities outside the United States, or aggregate foreign investments valued at $100 , 000 or more ' If "Yes, "complete Schedule F, Parts l and IV . . . . . . . . . . Did the organization report on Part IX , column (A), line 3 , more than $5 , 000 of grants or other assistance to or 15 . 12a . . 12b 13 14a . 14b X for any foreign organization ? If "Yes," complete Schedule F, Parts ll and IV . . . . . . . . . . . . . . . . . . . . . Did the organization report on Part IX , column (A), line 3 , more than $5 , 000 of aggregate grants or other assistance to or for foreign individuals ' If "Yes," complete Schedule F, Parts 111 and IV . . . . . . . . . . . . . . . Did the organization report a total of more than $ 15,000 of expenses for professional fundraising services on Part IX , column (A), lines 6 and 1 le? If "Yes,"complete Schedule G, Part 1(see instructions ) . . . . . . . . . . . . Did the organization report more than $15 , 000 total of fundraising event gross income and contributions on Part VIII, lines 1 c and 8a ? If "Yes," complete Schedule G, Part ll . . . . . . . . . . . . . . . . . . . . . . . . . . . Did the organization report more than $15 , 000 of gross income from gaming activities on Part VIII , line 9a? . 15 X . 16 X . 17 X . 18 X 19 X 16 17 18 19 If "Yes," complete Schedule G, Part 111 . X X X Form 990 (2017) JSA 7E1021 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 4 .6 CHARLES KOCH INSTITUTE 27-4967732 Form 990 (2017) Page 4 Checklist of Re q uired Schedules (continued) Yes 20a b 21 Did the organization operate one or more hospital facilities? If "Yes, " complete Schedule H . . . . . . . . . . . . . If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return'?. . . . . . 20a 20b No X Did the organization report more than $5,000 of grants or other assistance to any domestic organization or domestic government on Part IX, column (A), line 1'? If "Yes, " complete Schedule 1, Parts l and ll. . . . . . . . . . Did the organization report more than $5,000 of grants or other assistance to or for domestic individuals on Part IX, column (A), line 2? If "Yes, " complete Schedule 1, Parts l and lll . . . . . . . . . . . . . . . . . . . . . . . . Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the 22 23 24a organization's current and former officers, directors, trustees, key employees, and highest compensated employees' If "Yes," complete Schedule J . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If "Yes," answer lines 24b through 24d and complete Schedule K If'No,"go to line 25a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b c d 25a b Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception. . Did the organization maintain an escrow account other than a refunding escrow at any time during to defease any tax-exempt bonds' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year? . . . the . . . . 21 X 22 X 23 X 24a X . . . 24b year . . . 24c . . . 24d Section 501(c )( 3), 501 ( c)(4), and 501 ( c)(29) organizations . Did the organization engage in an excess benefit transaction with a disqualified person during the year's If "Yes,"complete Schedule L, Part I . . . . . . . . . . . . 25a Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior X year, and that the transaction has not been reported on any of the organization's prior, Forms 990 or 990-EZ? If "Yes, " complete Schedule L, Part I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 25b 27 28 a b c 29 30 31 32 33 current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons' If "Yes," complete Schedule L, Part// . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . 26 Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons' If "Yes, "complete Schedule L, PartIll . . . . . . . . . . . . . . . 27 Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions) A current or former officer, director, trustee, or key employee? If "Yes,"complete Schedule L, Part /V . . . . . . . 28a A family member of a current or former officer, director, trustee, or key employee? If "Yes," complete 28b Schedule L, Part IV. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes, " complete Schedule L, Part IV. . . . . . . . . 28c Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M. . . . Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions' If "Yes, " complete Schedule M . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Did the organization liquidate, terminate, or dissolve and cease operations' If "Yes," complete Schedule N, Partl ........................................................... Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets' If "Yes," complete Schedule N, Part 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X X X X X 30 X 31 X 32 X Did the organization own 100% of an entity disregarded as separate from the organization under Regulations 36 37 related organization? If "Yes, " complete Schedule R, Part V, line 2 . . . . . . . . . . . . . . . . . . . . . . . . . . Did the organization conduct more than 5% of its activities through an entity that is not a related organization 35a b X 29 sections 301 7701-2 and 301 7701-3? If "Yes, " complete Schedule R, Partl . . . . . . . . . . . . . . . . . . . . 33 Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part ll, Ill, or lV, and Part V, line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 Did the organization have a controlled entity within the meaning of section 512(b)(13)? . . . . . . . . . . . . . . 35a If "Yes" to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If "Yes, " complete Schedule R, Part V, line 2 . . . . . 35b Section 501(c)( 3) organizations . Did the organization make any transfers to an exempt non-charitable 34 and that is treated as a partnership for federal income tax purposes' if "Yes, " complete Schedule R, Part VI .......................................................... 38 X Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any Did the organization complete Schedule 0 and provide explanations in Schedule 0 for Part VI, lines 11 b and 19? Note. All Form 990 filers are re q uired to com p lete Schedule 0 X X X X 36 X 37 X 38 X Form 990 (2017) JSA 7E1030 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 5 CHARLES KOCH INSTITUTE 27-4967732 Form 990 (2017) Page 5 Statements Regarding Other IRS Filings and Tax Compliance Check if Schedule 0 contains a res p onse or note to an y line in this Part V .................... . ` Yes 118 1a 1 a Enter the number reported in Box 3 of Form 1096 Enter -0- if not applicable . . . . . . . . . . 0. b Enter the number of Forms W-2G included in line 1 a Enter -0- if not applicable. . . . . . . . . 1 b c Did the organization comply with backup withholding rules for reportable payments to vendors and 2a Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements, filed for the calendar year ending with or within the year covered by this return. . 2a I b If at least one is reported on line 2a, did the organization file all required federal employment tax Note . If the sum of lines 1 a and 2a is greater than 250, you may be required to e-file (see instructions) . . 3a Did the organization have unrelated business gross income of $1,000 or more during the year'. . . . . . b If "Yes," has it filed a Form 990-T for this year? If "No" to line 3b, provide an explanation In Schedule 0. . . __- 1c X returns? 2b X . . . . . . . . . . . . . . 3a 3b X X reportable gaming (gambling) winnings to prize winners? . . . . . . . . . . . . . . . . .. . . . . . . . . . No 207 4a At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)? ......................................................... b If "Yes," enter the name of the foreign country ^ 5a b c 6a b 7 6a X gifts were not tax deductible'. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6b Organizations that may receive deductible contributions under section 170(c). 7a 7b X 7c X 7e 7f X X 7 7h Sponsoring organizations maintaining donor advised funds . Did a donor advised fund maintained by the sponsoring organization have excess business holdings at any time during the year? . . . . . . . . . . . . . . . . . 8 Sponsoring organizations maintaining donor advised funds. a Did the sponsoring organization make any taxable distributions under section 49667. . . . . . . . . . . . . . . . . b Did the sponsoring organization make a distribution to a donor, donor advisor, or related person?. . . . . . . . . . 9a 9b Section 501(c )( 7) organizations . Enter a Initiation fees and capital contributions included on Part VIII, line 12 . . . . . . . . . . . . . b Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities. .. 11 X X h If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C'. . 10 5a 5b Sc c Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 82827 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7d d If "Yes," indicate the number of Forms 8282 filed during the year . . . . . . . . . . . . . . . e Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? f Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? . . . . . g If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required? 9 X See instructions for filing requirements for FinCEN Form 114, Report of Foreign Bank and Financial Accounts (FBAR) Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?. . . . . . . . . Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? If "Yes" to line 5a or 5b, did the organization file Form 8886-T7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible as charitable contributions?. . . . . . . . . . . If "Yes," did the organization include with every solicitation an express statement that such contributions or a Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b If "Yes," did the organization notify the donor of the value of the goods or services provided? . . . . . . . . . . . . 8 4a 10a 1 Ob Section 501(c )( 12) organizations. Enter a Gross income from members or shareholders . . . . . . . . . . . . . . . . . . . . . . . . . . . b Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them ) . . . . . . . . . . . . . . . . . . . . . . . . . . . 11a 11 b 12a Section 4947( a)(1) non - exempt charitable trusts . Is the organization filing Form 990 in lieu of Form 10417 12b b If "Yes," enter the amount of tax-exempt interest received or accrued during the year. . . . . 13 Section 501(c )( 29) qualified nonprofit health insurance issuers. a Is the organization licensed to issue qualified health plans in more than one state? . . . . . . . . . . . . . . . . . . Note . See the instructions for additional information the organization must report on Schedule 0 b Enter the amount of reserves the organization is required to maintain by the states in which 13b the organization is licensed to issue qualified health plans . . . . . . . . . . . . . . . . . . . 13c Enter the amount of reserves c on hand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12a 14a Did the organization receive any payments for indoor tanning services during the tax year's . . . . . . . . . . . . . b If "Yes , " has it filed a Form 720 to re p ort these pa yments? If "No, " rovide an explanation In Schedule 0 . 7E JSA 14a 14b 1 1 000 7 E 1040 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 13a Form 990 (2017) PAGE 6 '1 () CHARLES KOCH INSTITUTE Form 990 ( 207 ) 27-4 967732 Page 6 Governance , Management , and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" response to line 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule 0 See Instructions Check if Schedule 0 contains a response or note to any line in this Part VI . . . . . . . . . . . . . . . . . . . . . . . . n Section A . Governing Bod y and Manag ement Yes 1a b 2 Enter the number of voting members of the governing body at the end of the tax year . . . . . 1a If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee , explain in Schedule 0 Enter the number of voting members included in line 1a, above , who are independent . . . . . lb Did any officer , director , trustee , or key employee have a family relationship or a business relationship with any other officer , director , trustee , or key employee '? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 No -_ X 2 Did the organization delegate control over management duties customarily performed by or under the direct 4 5 6 7a b 8 supervision of officers, directors, or trustees , or key employees to a management company or other person? . . 3 X Did the organization make any significant changes to its governing documents since the prior Form 990 was filed?. . . . . . 4 X Did the organization become aware during the year of a significant diversion of the organization ' s assets'. . . . 5 X Did the organization have members or stockholders' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Did the organization have members , stockholders , or other persons who had the power to elect or appoint 6 X one or more members of the governing body's . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7a X Are any governance decisions of the organization reserved to (or sub j ect to approval by) members, stockholders , or persons other than the governing body's . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7b X Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following a The governing body ' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8a b Each committee with authority to act on behalf of the governing body ' . . . . . . . . . . . . . . . . . . . . . . . Is there any officer, director, trustee , or key employee listed in Part VII , Section A, who cannot be reached at the or g anization ' s mailin g address ? If "Yes," p rovide the names and addresses In Schedule 0 . 81b X 9 X 9 X Section B. Policies (This Section B requests information aboutpolicies not req uired by the Internal Revenue Code Yes Did the organization have local chapters , branches , or affiliates ' . . . . . . . . . . . . . . . . . . . . . . . . . . If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates , and branches to ensure their operations are consistent with the organization ' s exempt purposes' . . . 10a 11 a Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? . 11 a b 12a b Describe in Schedule 0 the process , if any, used by the organization to review this Form 990 Did the organization have a written conflict of interest policy ? If "No , "go to line 13 . . . . . . . . . . . . . . . . Were officers , directors , or trustees , and key employees required to disclose annually interests that could give rise to conflicts? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe in Schedule 0 how this was done . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . 10a b c 10b X 12a X 12b X 12c X 13 14 Did the organization have a written whistleblower policy' . . . . . . . . . . .. . . . .. . . . . . . . . . . . . . Did the organization have a written document retention and destruction policy' . . . . . . . . . . . . . . . . . . 13 14 X X 15 Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision? The organization 's CEO , Executive Director , or top management official . . . . . . . . . . . . . . . . . . . . . . Other officers or key employees of the organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . If "Yes" to line 15a or 15b , describe the process in Schedule 0 (see instructions) 15a X 15b X Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement - with a taxable entity during the year's . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . If "Yes ," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization ' s exempt status with respect to such arrangements 16a a b 16a b No X -. X 16b Section C . Disclosure 17 18 List the states with which a copy of this Form 990 is required to be filed ^ WI , Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable ), 990, and 990 -T (Section 501(c)(3) s only) available for public inspection Indicate how you made these available Check all that apply Another's website Upon request a Own website F ] Other (explain in Schedule 0) 19 Describe in Schedule 0 whether ( and if so , how) the organization made its governing documents , conflict of interest policy, and financial statements available to the public during the tax year 20 ooks and records ^ State th e naoet addreoss^ and u mber of the rsonAwhopossesses the oraaa3 telepphone nSTE 500 ARLI, Gpro 221 SUSAN FF 1 COURTHOUSE i$as°i6se JSA 7E1042 1 000 5425DN K922 Form 990 (20 7) 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 7 CHARLES KOCH INSTITUTE Form 990 (2017) Compensation of Officers , Directors , Trustees , Key Independent Contractors 27-4967732 Employees , Employees, Highest Compensated Page 7 and . . . . ❑ Check If Schedule 0 contains a response or note to any line in this Part VII . . .. . . . . . . . . . . Section A . Officers , Directors , Trustees , Key Employees , and Highest Compensated Employees 1a Complete this table for all persons required to be listed Report compensation for the calendar year ending with or within the organization's tax year • List all of the organization' s current officers, directors, trustees (whether individuals or organizations), regardless of amount of compensation Enter -0- in columns (D), (E), and (F) if no compensation was paid • List all of the organization' s current key employees, if any See instructions for definition of "key employee " • List the organization' s five current highest compensated employees (other than an officer, director, trustee, or key employee) who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the organization and any related organizations • List all of the organization' s former officers, key employees, and highest compensated employees who $100,000 of reportable compensation from the organization and any related organizations received more than • List all of the organization' s former directors or trustees that received, in the capacity as a former director or trustee of the organization, more than $10,000 of reportable compensation from the organization and any related organizations List persons in the following order individual compensated employees, and former such persons trustees or directors, institutional trustees, officers, key employees, highest ❑ Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee ( c) (A) (B) Position ( D) (E) (F) Name and Title Average ( do not check more than one Reportable Reportable Estimated hours per box, unless person is both an compensation compensation from amount of week ( list any officer and a director / trustee ) from related other the organizations compensation organization ( W-2/1099-MISC ) hours for o > > 0 related a a : 5 M _ 3,5 3 organizations below dotted °- line) N_ 2 ma rG N ^ °^ - -,1 3 CD from the (W-2/1099-MISC) organization o and related M organizations 7 N N CL (1)BRIAN HOOKS 35.00 PRESIDENT 11.00 X 1.00 0. 1.00 (2)CHARLES CHASE KOCH DIRECTOR (g)CHARLES G. KOCH CHAIRMAN (4)ELIZABETH B. KOCH DIRECTOR (5)RICHARD FINK VICE CHAIRMAN (6)DALE GIBBENS EXECUTIVE VICE PRESIDENT (7)ARIANNE MASSEY VICE PRESIDENT, TALENT DEV. (g)WILLIAM RUGER VICE PRESIDENT-RESEARCH/POLICY (9)BRIAN MENKES SECRETARY (10)ROBERT HEATON TREASURER (11)KATEY ROBERTS VICE PRESIDENT- CHIEF OF STAFF (12)DEREK JOHNSON DIRECTOR-EDUC. DEVELOPMENT (13)VIKRANT REDDY SENIOR RESEARCH FELLOW (14)ADAM SOHN VICE PRESIDENT X 563,565. 0. 31,368 X 0. 0. 0 1.00 1.00 X 0. 0. 0 1.00 X 0. 0. 0 X 0. 0. 0 X 0. 40,920. 0 X 0. 0. 0 X 328,813. 0. 30,662 X 0. 0. 0 X 0. 0. 0 X 261,356. 0. 16,460 X 251,789. 0. 31,368. X 202,000. 0. 8,631 263,313. O. 1.00 2.00 1.00 1.00 20.00 1.00 49.00 1.00 2.00 1.00 1.00 2.00 X 50.00 0. 50.00 0. 50.00 0. 50.00 0. - 1 -1 X F 23,418. Form 990 (2017) JSA 7E1041 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 8 • i 27-4967732 CHARLES KOCH INSTITUTE 1 Form 990 (2017) Page 8 Section A. Officers. Directors . Trustees . Key Emnlovees . and Hiahest Compensated Emolovees (continued) (A) Name and title (B) (C) (D) (E) (F) Average Position ( do not check more than one box, unless person is both an officer and a director/trustee Reportable Reportable Estimated compensation compensation from from related amount of other hours per week ( list any hours for related or gg anizations below dotted li ne ) ° > a 5 0 > O c m o ° ' 2 M ° ° _ 3,5 -1 o m, 3_ a M is Mv the organizations organization ( W-2/1099-MISC) (W-2/1099-MISC) compensation from the organization and related organizations " 3 v ° is 15) NANCY GRAHAM -------------------------------SENIOR DIRECTOR 'n ° 3 50.00 -----0. D a X 215,385. 15,838. 0. ---------------------------------- --------------------------------------- --------------------------------------- --------------------------------------- --------------------------------------- --------------------------------------- --------------------------------------- --------------------------------------- --------------------------------------- --------------------------------------- ------ ^ 1, 870, 836. 215, 385. 40,920. 0.1 141, 907. 15,838. ^ 2, 086, 221. 40, 920. 157, 745. ^ 1b Sub - total c Total from continuation sheets to Part VII, Section A . d Total ( add lines ib and 1c) . 2 Total number of individuals (including but not limited to those listed above) who received more than $100,000 of 7 reportable compensation from the organization ^ 3 Did the organization list any former officer, director, or trustee, key employee, or highest compensated employee on line la? If "Yes,"complete Schedule J for such individual . . . . . . . . . . . . . . . . . . . . . . . . . . 4 For any individual listed on line la, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000'? If "Yes," complete Schedule J for such individual ........................................................... No Did any person listed on line la receive or accrue compensation from any unrelated organization or individual for services rendered to the organization? If "Yes," complete Schedule J for such person Section B . Independent Contractors 5 I 3 X man 4 X 'MM 5 X Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization Report compensation for the calendar year ending with or within the organization's tax year ( A) Name and business address (B) Description of services (C) Compensation ATTACHMENT 1 2 Total number of independent contractors ( including but not limited to those listed above ) who received 9 more than $100 , 000 in compensati on from th e organization ^ JSA 7E1055 1 000 Form JJU (2017) 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 9 CHARLES KOCH INSTITUTE Form 990 ( 2017 ) - 27-4 967732 Page 9 Statement of Revenue Check If Schedule 0 contains a response or note to any line in this Part VIII . cc la Federated campaigns . . . . . . . . la b Membership dues . . . . . . . . . . 1b c Fundraising events . . . . . . . . . 1c d Related organizations . . . . . . . . 1d e Government grants (contributions) le f All E 0 a 49 1 6 2 oy other contributions, gifts, (D) Revenue excluded from tax under sections 512-514 52,302,300 1f c y 0 g Noncash contl included in lutes 1a-1f $ 1° h Total. Add lines 1a-1f . -. -_ -- •• •• ° 52, 302, 300 . ^ Bu;mr•;, Cndr > (C) Unrelated business revenue grants, and similar amounts not included above C 5 5 . . n (B) Related or exempt function revenue (A) Total revenue .... 2a b v C d E e IL f All other program service revenue . . . . . g Total. Add lines 2a-2f . 3 Investment .......... ..... . ^ ^ 655, 201 0 0 . . . . . . . . . . . . . . . 6a Gross rents . . . . . . . . b Less rental expenses . . . c Rental income or (loss) Net rental income or (loss) . ......... ..... . ^ 7a 0 (ii) Other (i) Securities Gross amount from sales of 655, 201 (n) Personal (i) Real d 0 interest, Income from investment of tax-exempt bond proceeds . ^ ............... ^ Royalties . . . . . . . . and other similar amounts) . 4 5 dividends, (including income assets other than inventory c Less cost or other basis and sales expenses . . . . Gain or (loss) . . . . . . . d Net gain or (loss) b w 8a p b c . . . . . . . . . . . . . , a b Less direct expenses . . . . . . . . . . b c Net income or (loss) from gaming activities. Gross less sales of inventory, returns and allowances . . . . . . . . . b Less cost of goods sold . . . . . . . . . b Net income or (loss) from sales of inventory , 0 , ^ 0 2,047,187 2,047,187 900099 - - d All other revenue e - - Business Code PARTNERSHIP INCOME C 12 -- . ^ a Miscellaneous Revenue 11a 0 Gross income from gaming activities . . . . . . . . . . . b c . ^ a Less direct expenses . . . . . . . . . . b Net income or (loss) from fundraising events. See Part IV, line 19 10a 0 Gross income from fundraising events (not including $ of contributions reported on line 1c) See Part IV , line 18 . . . . . . . . . . . 9a ^ . . . Total . Add lines 1la-1ld . . . . . . . . . . • • • • • . . • • • • • • • . . ^ . Total revenue . See instructions 9, 726 9, 726 900099 ^ 2, 056, 913 2, 047, 187 55, 014, 414 JSA 7E1051 1 000 5425DW K922 664, 927 Form 990 (2017) 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 10 CHARLES KOCH INSTITUTE Form 990 (2017) 27-4967732 Page 10 Statement of Functional Expenses Section 501(c)(3) and 501(c)(4) organizations must complete all columns All other organizations must complete column (A) Check If Schedule 0 contains a response or note to any line in this Part IX . • • . . . . . . . . . . . . . . . . . . . . . Do not include amounts reported on lines 6b, 7b, 8b, 9b, and 10b of Part VIIL 1 ( A) Total expenses (B) (C) (D) Program service exp enses Management and gene raIexpenses Fundraising expenses Grants and other assistance to domestic organizations and domestic governments See Part IV, line 21 . . . . 2 1,004, 925. 1,004, 925. 422, 071. 422,071. Grants and other assistance to domestic individuals See Part IV, line 22 . . . . . . . . . Grants and other assistance to foreign organizations , foreign governments , and foreign 3 4 5 individuals See Part IV, lines 15 and 16 • • 0 Benefits paid to or for members • 0 • Compensation • • • • of current officers, Compensation not included above, to I directors, 954, 408. trustees, and key employees • • • • . . • • • 6 W 858, 967. 95, 441. 11, 053, 264. 1, 228, 140. disqualified persons (as defined under section 4958 ( f)(1)) and • • • • 0 • Other salaries and wages • • • • • • • • • • • • 8 Pension plan accruals and contributions ( include . persons described in section 4958 ( c)(3)(B) • 7 12,281,404. 486, 442. 437, 798. 48, 644 . 1, 278,088 . 1, 182, 241. _1, 150, 279. 1, 064, 017. - 127, 809. 118, 224. 0 62,526. 77, 874. 48, 604. 13, 922. 77, 874 . sectlon401 ( k)and403 ( b)employer contributions ) 9 Other emploveebenefit$ • - - 10 Payroll taxes . . . . . . . . . . . . . . . . . 11 Fees for services ( non-employees) _ a Management Legal • , • • • , • • • • • • • • • • • , • b c Accounting • • • • • • • • • • • • • • • • d Lobbying 0. . . . . . . . . . . . . . . . . . . . e Professional fundraising services f Investment management fees See Part IV , line 17• 0 • 101, 828. • • • • • • • • 101, 828. 9 Other ( If l i ne 11g amount exceeds 10% of line 25 column ( A) amount list line 11gexpenses onSchedule 0 ). . . . 2, 702, 613. 2, 440, 021. 262, 592. 126, 204. 279, 577. 545 , 259. 113, 584. 251, 619. 490, 733. 12, 620. 27, 958. 54, 526. 292, 928. 191, 669. 12 Advertising and promotion • • • • • • • • • • • 13 Office expenses . . . . . . . . . . . . . . . . 14 Information technology . . . . Royalties . . . . . . . . . . . . . . . . . . . 0 . 16 Occupancy • . . • • . • • • • • • • • • • • 17 Travel , 2, 929, 284. 1, 916, 686. 2, 636, 356. 1, 725, 017. 0 1, 153,368 . 1, 153, 368. 15 18 Payments of travel or entertainment expenses 19 for any federal , state, or local public officials Conferences , conventions , and meetings • • • • 20 Interest 21 Payments to affiliates . . . . . . . . . . . . . 0 22 Depreciation , depletion , and amortization 0 . . • • • • • • • • • • • • • • • • 23 Insurance • • • • • • • • • • • • • • • • • • 24 Other expenses itemize expenses not 0 30, 618. 27,556. 3, 062. 245,899. 221,309. 25,563. 24,590. 2,840. covered above ( List miscellaneous expenses in line 24e If line 24e amount exceeds 10 % of line 25, column (A) amount, list line 24e expenses on Schedule 0) , PRINTING/PUBLISHING bA WARDS & INCENTIVES 28,403. c d 24, 029. 21, 626. 2,403. 27, 833, 747. 25, 146, 677. 2, 687, 070. e All other expenses 25 Total functional expenses Add lines 1 through 24e 26 Joint costs . Complete this line only if the organization reported in column ( B) joint costs from a combined educational campai gn and fundraising solicitation Check here lo. if following SOP 98 - 2 (ASC 958 -720) • 0.1 JJA 7E1052 1 000 5425DW K922 Form 990 (2017) 1/15/2019 1:29:1-1 PM V 17-7.10 094135 PAGE 11 ' CHARLES KOCH 27-4967732 INSTITUTE 11 Form 990 alance Sheet Check if Schedule 0 contains a response or note to any line in this Part X . . . . . . . . . . . . : . . . . . . . . ❑ (B) End of year (A) Beginning of year 1 2 3 153, 392. 64, 701, 301 . 1 2 3 4 Cash - non-interest- bearing , , , , , , , , , , , , , , , , , , , , , , , , , , , .156, 607. 570, 185. Savings and temporary cash investments , , , , Pledges and grants receivable , net 0. 71, 689. Accounts receivable , net 5 Loans and other receivables from current and former officers , directors, key employees , trustees , and highest compensated employees Complete Part II of Schedule L . 0. 6 Loans and other receivables from other disqualified persons ( as defined under section 4958 ( 0(1)), persons described in section 4958 ( c)(3)(B), and contributing employers and s p onsorin g or g anizations of section 501 ( c)(9) vol u ntar y em p l oy ees ' b e n e fi c iar y organizations ( see instructions ) Complete Part II of Schedule L 0 . 6 0 7 8 Notes and loans receivable net Inventories for sale or use 0 . 0 8 0 . 0 9 Prepaid expenses and deferred charges . . . . . 3. 9 3, 288, 609. 10a . 10a b Less accumulated depreciation . .. . . . . . . . 10b 67 , 7 67 67, 500 11 Investments - publicly traded securities 12 Investments - other securities See Part IV, line 11 13 Investments - program - related See Part IV, line 11 14 Intangible assets 15 Other assets See Part IV , line 11 16 17 Total assets . Add lines 1 throu g h 15 must a ual line 34 Accounts payable and accrued expenses . . . . . . . . . . . . . . . . . . . 18 19 0 - . . . . . . . . . . . Land , buildings , and equipment cost or other basis Complete Part VI of Schedule D 0 66, 761 . - 0. 10c -- 267 0 . 11 . . . . . . . . . . . . . . . . . . . . 0 12 268, 456, 058. , , , , , , , , , , , , , , 0. 13 0 . , , , , , , , , , , , , , , , , , 0 • 14 0. 0. 15 0. 304, 586, 518. 6, 213, 908. 16 17 336, 666, 388 . 6, 860, 009. Grants payable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0. 18 0. Deferred revenue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0. 19 0. 20 Tax- exempt bond liabilities 0. 20 0. 21 Escrow or custodial account liability Complete Part IV of Schedule D , , , , 0. 21 0. .0. 22 0 . 23 0 . 24 0. 0 0 w 22 . . . . . . . . . . . . . . . . . . . . . . . . . . Loans and other payables to current and former officers, directors, trustees , key employees , highest compensated employees , and ''- disqualified persons Complete Part II of Schedule L Secured mortgages and notes payable to unrelated third parties Unsecured notes and loans payable to unrelated third parties 23 24 Other liabilities ( including federal income parties , and other liabilities not included on of Schedule D . . . . . . . . . . . . . . . . Total liabilities . Add lines 17 throw h 25 . 25 tax , payables to related third lines 17 - 24) Complete Part X 0 . 25 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Organizations that follow SFAS 117 ( ASC 958 ), check here ^ X and complete lines 27 through 29, and lines 33 and 34. 26 C 27 Unrestricted net assets CIO 28 29 Temporarily restricted net assets Permanently restricted net assets . . . . . . . . . . . . . . . . . Organizations that do not follow SFAS 117 ( ASC 958 ), check here complete lines 30 through 34. 30 31 32 33 34 0. 26 6,860, 009. 298, 372, 610. 27 . 0. 28 329, 806, 379. 8. 0. 0. 0 . 29 . . and Capital stock or trust principal , or current funds Paid - in or capital surplus , or land , building , or equipment fund Retained earnings , endowment , accumulated income , or other funds Total net assets or fund balances Total liabilities and net assets/fund balances V 0. 8. 33 34 329, 806, 379. 336, 666, 388. Form 990 (2017) JSA 7E1053 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 12 27-4967732 CHARLES KOCH INSTITUTE Form 990 (2017) Page 12 Reconciliation of Net Assets Check if Schedule 0 contains a response or note to any line in this Part XI .................... ❑ 1 2 3 4 5 6 7 8 9 10 Total revenue ( must equal Part VIII, column (A), line 12) Total expenses ( must equal Part IX, column (A), line 25) Revenue less expenses Subtract line 2 from line 1 . . . Net assets or fund balances at beginning of year ( must Net unrealized gains ( losses ) on investments . . . . . . Donated services and use of facilities . . . . . . . . . Investment expenses . . . . . . . . . . . . . . . . . . Prior period adjustments . . . . . .. . . . . .. . . . Other changes in net assets or fund balances ( explain . . . . . . . . . equal . . . . . . . . . Part . . . . . . . . . . . . . . . X, line 33, . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . in Schedule 0) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . column (A)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Net assets or fund balances at end of year Combine lines 3 through 9 (must equal Part X, line 33 column ( B)) . . . . . . . . - . . .._ : Financial Statements and Reporting 55,014,414. 27,833,747. 27,180,667. 298,372,610. 6,378,863. 0. 0. -78,574. -2,047,187. 329, 806, 379. Check if Schedule 0 contains a response or note to any line in this Part XII .... . Yes I Accounting method used to prepare the Form 990 ❑ Cash Accrual No ❑ Other If the organization changed its method of accounting from a prior year or checked "Other," explain in Schedule 0 2a Were the organization ' s financial statements compiled or reviewed by an independent accountant '. . . . . . . If "Yes," check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis , or both ❑ Separate basis ❑ Consolidated basis ❑ Consolidated basis X 2b~ X ❑ Both consolidated and separate basis b Were the organization ' s financial statements audited by an independent accountant's . . . . . . . . . . . . . . If "Yes," check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis , or both ❑ Separate basis 2a ❑ Both consolidated and separate basis c If "Yes" to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit , review , or compilation of its financial statements and selection of an independent accountant's If the organization changed either its oversight process or selection process during the tax year, explain in Schedule 0 3a As a result of a federal award , was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-133 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b If "Yes," did the organization undergo the required audit or audits ' If the organization did not undergo the required audit or audits , explain why in Schedule 0 and describe any steps taken to undergo such audits 2c 3a X 3b Form 990 (2017) JSA 7E1054 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 13 '0 SCHEDULE A OMB No 1545-0047 Public Charity Status and Public Support (Form 990 or 990-EZ) I Complete if the organization is a section 501(c )( 3) organization or a section 4947( a)(1) nonexempt charitable trust. ^ Attach to Form 990 or Form 990-EZ ^ Go to www.irs.gov/Form990 for instructions and the latest information. Department of the Treasury Internal Revenue Service Employer identification number Name of the organization CHARLES KOCH 2017 27-4967732 INSTITUTE Reason for Public Charity Status (AlI organiza tions must complete this part ) See instructions The organization is not a private foundation because it is (For lines 1 through 12, check only one box ) 1 A church, convention of churches, or association of churches described in section 170 (b)(1)(A)(i). 2 X A school described in section 170 (b)(1)(A)(ii). (Attach Schedule E (Form 990 or 990-EZ) ) 3 A hospital or a cooperative hospital service organization described in section 170(b)(1)(A)(iii). 4 A medical research organization operated in conjunction with a hospital described in section 170(b )(1)(A)(iii). Enter the hospital's name, city, and state 5 ❑ An organization operated for the benefit of a college or university owned or operated by a governmental unit described in section 170 (b)(1)(A)(iv). (Complete Part II ) 6 A federal, state, or local government or governmental unit described in section 170 (b)(1)(A)(v). 7 An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in section 170 (b)(1)(A)(vi). (Complete Part II ) A community trust described in section 170 ( b)(1)(A)(vi ). (Complete Part II ) 8 An agricultural research organization described in section 170(b)(1)(A)(ix ) operated in conjunction with a land-grant college or university or a non-land-grant college of agriculture (see instructions) Enter the name, city, and state of the college or university 9 ❑ An organization that normally receives (1) more than 331/3 % of its support from contributions, membership fees, and gross receipts from activities related to its exempt functions - subject to certain exceptions, and (2) no more than 331/3 %of Its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses acquired by the organization after June 30, 1975 See section 509 (a)(2). (Complete Part III ) An organization organized and operated exclusively to test for public safety See section 509(a)(4). An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509 ( a)(1) or section 509 ( a)(2). See section 509(a)(3). Check the box in lines 12a through 12d that describes the type of supporting organization and complete lines 12e, 1 2f, and 1 2g 10 11 12 ❑ Type I A supporting organization operated, supervised, or controlled by its supported organization(s), typically by giving the supported organization(s) the power to regularly appoint or elect a majority of the directors or trustees of the supporting organization You must complete Part IV , Sections A and B. ❑ Type II A supporting organization supervised or controlled in connection with its supported organization(s), by having control or management of the supporting organization vested in the same persons that control or manage the supported organization( s) You must complete Part IV, Sections A and C. ❑ Type III functionally integrated . A supporting organization operated in connection with, and functionally integrated with, a b c its supported organization( s) (see instructions) You must complete Part IV, Sections A, D, and E. ❑ Type III non-functionally integrated . A supporting organization operated in connection with its supported organization(s) that is not functionally integrated The organization generally must satisfy a distribution requirement and an attentiveness requirement (see instructions) You must complete Part IV , Sections A and D, and Part V. ❑ Check this box if the organization received a written determination from the IRS that it is a Type I, Type II, Type III functionally integrated, or Type III non-functionally integrated supporting organization d e f Enter the number of supported organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0 g Provide the following information about the supported organization(s) (i) Name of supported organization (u) EIN (tit) Type of organization (described on lines 1-10 above (see instructions)) (tv) Is the organization listed in your governing documents Yes (v) Amount of monetary support (see instructions) (vt) Amount of other support (see instructions) No (A) (B) (C) (D) (E) Total Schedule A (Form 990 or 990-EZ) 2017 For Paperwork Reduction Act Notice , see the Instructions for Form 990 or 990-EZ. JSA 7E1210 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 14 27-4967732 CHARLES KOCH INSTITUTE Schedule A (Form 990 or 990-EZ) 2017 Page 2 Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170 (b)(1)(A)(vi) (Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III If the organization fails to qualify under the tests listed below, please complete Part III ) Section A. Public Sunoort Calendar year ( or fiscal year beginning in) ^ 1 (a) 2013 (b) 2014 (c) 2015 (d) 2016 (e) 2017 (f) Total (a) 2013 (b) 2014 (c) 2015 (d) 2016 (e) 2017 (f) Total Gifts, grants, contributions, and membership fees received (Do not include any "unusual grants ") . . . . . . 2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf . . . . . . . 3 The value of services or facilities furnished by a governmental unit to the 4 Total. Add lines 1 through 3 . . . . . . . 5 The portion organization without charge . . . . . . . of total each person governmental supported 6 contributions by (other unit or organization) than a publicly included on line 1 that exceeds 2% of the amount shown on line 11, column (f). . . . . . . Public support. Subtract line 5 from line 4 Section B. Total Support Calendar year ( or fiscal year beginning in) ^ 7 Amounts from line 4. . . . . . . . . . 8 Gross income from interest, dividends, payments received on securities loans, rents, royalties, and income from similar sources . . . . . . . . . . . . . 9 Net income from unrelated business activities, whether or not the business is regularly carried on . . . . . . . . . . 10 Other income Do not include gain or loss from the sale of capital assets (Explain in Part VI) . . . . . . . . . . . 11 Total support . Add lines 7 through 10 . . 12 Gross receipts from related activities, etc (see instructions) . . . . . . . . . . . . . . . . . . . . . . . . . 13 First five years . If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) ❑ organization, check this box and stop here . ^ 12 Section C. Computation of Public Support Percentage Public support percentage for 2017 (line 6, column (f) divided by line 1 1 , column ( f)). . . . . . . . . 14 Public support percentage from 2016 Schedule A, Part II, line 14 . . . . . . . . . . . . . . . . . . . 15 16a 331/3 % support test - 2017 . If the organization did not check the box on line 13, and line 14 is 331/3 %or more, check this box and stop here . The organization qualifies as a publicly supported organization . . . . . . . . . . . . . . . . . . . . . . ^ ❑ b 331/3 % support test - 2016 . If the organization did not check a box on line 13 or 16a, and line 15 is 331/3 %or more, check this box and stop here . The organization qualifies as a publicly supported organization . . . . . . . . . . . . . . . . . . . ^ ❑ 17a 10%- facts-and - circumstances test - 2017. If the organization did not check a box on line 13, 16a, or 16b, and line 14 is 14 15 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here . Explain in Part VI how the organization meets the "facts-and-circumstances" test The organization qualifies as a publicly supported ❑ organization ............................................................ ^ b 10%-facts - and-circumstances test - 2016 . If the organization did not check a box on line 13, 16a, 16b, or 17a, and line 15 is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here. Explain in Part VI how the organization meets the "facts-and-circumstances" test The organization qualifies as a publicly 18 supported organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Private foundation . If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see ^ ❑ ....... ^ ❑ instructions ................................................. Schedule A (Form 990 or 990-EZ) 2017 JSA 7E1220 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 15 f.1 27-4967732 CHARLES KOCH INSTITUTE Schedule A (Form 990 or 990-EZ) 2017 Page 3 Support Schedule for Organizations Described in Section 509(a)(2) (Complete only if you checked the box on line 10 of Part I or if the organization failed to qualify under Part II If the organization fails to qualify under the tests listed below, please complete Part II ) Section A. Public Suonort Calendar year ( or fiscal year beginning in ) ^ 1 (a) 2013 (b) 2014 (c) 2015 (d) 2016 (e) 2017 (f) Total (a) 2013 (b) 2014 (c) 2015 (d) 2016 (e) 2017 (f) Total Gifts, grants , contributions, and membership fees received (Do not include any "unusual grants ") 2 Gross receipts from admissions, merchandise sold or performed, services or facilities furnished in any activity that is related to the organization's tax-exempt purpose . 3 . . . . . Gross receipts from activities that are not an unrelated trade or business under section 513 Tax 4 revenues levied for the organization's benefit and either paid to or expended on its behalf . . . . . . . . The 5 value of services or facilities furnished by a governmental unit to the organization without charge . . . . . . . Total . Add lines 1 through 5 . . . . . . . 6 7a Amounts included on lines 1, 2, and 3 received from disqualified persons . . . , b Amounts included received from on lines 2 other than disqualified and 3 persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year c Add lines 7a and 7b. . . . . . . . . . . 8 Public support . (Subtract line 7c from line 6 Section B. Total Su pp ort Calendar year ( or fiscal year beginning in) ^ 9 10a Amounts from line 6. . . . . . . . . . . Gross income from interest, dividends, payments received on securities loans, rents, royalties, and income from similar sources . . . . . . . . . . . . . . . . . b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975 . . . . . . c Add lines 10a and 10b . . . . . . . . . 11 Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on . . . . . . . . . . . . . . . . 12 Other income loss from the Do not include gain or sale of capital (Explain in Part VI) assets . . . . . . . . . . . 13 Total support . (Add lines 9, 10c, 11, 14 First five years If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization, check this box and stop here . . ^ ❑ and 12) . . . . . . . . . . . . . . . . Section C. Com p utation of Public Su pp ort Percenta g e Public support percentage for 2017 (line 8, column (f) divided by line 13, column ( f)) . . . . . . . . . . . . . 15 Public support percentage from 2016 Schedule A, Part III, line 15 . 16 15 16 % % Section D. Com p utation of Investment Income Percenta g e 17 Investment income percentage for 2017 (line 1 Oc, column (f) divided by line 13, column (f)) . . . . . . . . . 17 % 18 Investment income percentage from 2016 Schedule A, Part III, line 17 18 % 19a 331/3 % support tests - 2017 . . . . . . . . . . . . . . . . . . . . . If the organization did not check the box on line 14, and line 15 is more than 331/3 %, and line 17 is not more than 331/3 %, check this box and stop here . The organization qualifies as a publicly supported organization . ^ ❑ b 331/3% support tests - 2016 . If the organization did not check a box on line 14 or line 19a, and line 16 is more than 331/3 %, and line 18 is not more than 331/3 %, check this box and stop here . The organization qualifies as a publicly supported organization 20 Private foundation . If the organization did not check a box on line 14, 19a, or 19b, JSA 7E1221 1 000 5425DW K922 ^ check this box and see instructions ^ Schedule A (Form 990 or 990 - EZ) 2017 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 16 CHARLES KOCH INSTITUTE 27-4967732 Schedule A (Form 990 or 990 -EZ) 2017 Page 4 Supporting Organizations (Complete only if you checked a box in line 12 on Part I If you checked 12a of Part I, complete Sections A and B If you checked 12b of Part I, complete Sections A and C If you checked 12c of Part I, complete Sections A, D, and E If you checked 12d of Part I, complete Sections A and D, and complete Part V) Section A. All Supporting Organizations Yes No 1 Are all of the organization's supported organizations listed by name in the organization's governing documents'? If "No," describe in Part VI how the supported organizations are designated If designated by class or purpose, describe the designation If historic and continuing relationship, explain 2 3a b Did the organization have any supported organization that does not have an IRS determination of status under section 509(a)(1) or (2)'? If "Yes," explain In Part VI how the organization determined that the supported organization was descnbed In section 509(a)(1) or (2) 2 Did the organization have a supported organization described in section 501(c)(4), (5), or (6)'? If "Yes," answer (b) and (c) below 3a ^_ Did the organization confirm that each supported organization qualified under section 501(c)(4), (5), or (6) and satisfied the public support tests under section 509(a)(2)9 If "Yes," describe in Part VI when and how the organization made the determination 3b Did the organization ensure that all support to such organizations was used exclusively for section 170(c)(2)(B) purposes' If "Yes, " explain in Part VI what controls the organization put In place to ensure such use 3c - Was any supported organization not organized in the United States ("foreign supported organization")? If "Yes,"and if you checked 12a or 12b in Part 1, answer (b) and (c) below 4a Did the organization have ultimate control and discretion in deciding whether to make grants to the foreign supported organization? If "Yes," describe In Part VI how the organization had such control and discretion despite being controlled or supervised by or in connection with its supported organizations 4b c Did the organization support any foreign supported organization that does not have an IRS determination under sections 501(c)(3) and 509(a)(1) or (2)? If "Yes," explain In Part VI what controls the organization used to ensure that all support to the foreign supported organization was used exclusively for section 170(c)(2)(B) purposes 4c 5a Did the organization add, substitute, or remove any supported organizations during the tax year's If "Yes," answer (b) and (c) below (if applicable) Also, provide detail in Part VI,, including (i) the names and EIN numbers of the supported organizations added, substituted, or removed, (u) the reasons for each such action, (n) the authority under the organization's organizing document authorizing such action, and (iv) how the action was accomplished (such as by amendment to the organizing document) 5a b Type I or Type 11 only. Was any added or substituted supported organization part of a class already c 4a b c - . designated in the organization's organizing document'? 5b Substitutions only. Was the substitution the result of an event beyond the organization's control? 5c _ - Did the organization provide support (whether in the form of grants or the provision of services or facilities) to 6 anyone other than (I) its supported organizations, (ii) individuals that are part of the charitable class benefited by one or more of its supported organizations, or (iii) other supporting organizations that also support or benefit one or more of the filing organization's supported organizations? If "Yes,"provide detail in Part Vl. 7 6 Did the organization provide a grant, loan, compensation, or other similar payment to a substantial contributor (defined in section 4958(c)(3)(C)), a family member of a substantial contributor, or a 35% controlled entity with regard to a substantial contributor? If "Yes," complete Part/ of Schedule L (Form 990 or 990-EZ) 7 8 Did the organization make a loan to a disqualified person (as defined in section 4958) not described in line 7? If "Yes," complete Part I of Schedule L (Form 990 or 990-EZ) 8 9a Was the organization controlled directly or indirectly at any time during the tax year by one or more disqualified persons as defined in section 4946 (other than foundation managers and organizations described in section 509(a)(1) or (2))? If "Yes, " provide detail in Part Vl. _ 9a b c 10a b _ Did one or more disqualified persons (as defined in line 9a) hold a controlling interest in any entity in which the supporting organization had an interest? If "Yes,"provide detail in Part V1. Did a disqualified person (as defined in line 9a) have an ownership interest in, or derive any personal benefit from, assets in which the supporting organization also had an interest? If "Yes, "provide detail in Part Vl. Was the organization subject to the excess business holdings rules of section 4943 because of section 4943(f) (regarding certain Type II supporting organizations, and all Type III non-functionally integrated supporting organizations)? If "Yes,"answer 10b below 10a Did the organization have any excess business holdings in the tax year? (Use Schedule C, Form 4720, to determine whether the organization had excess business holdings) 10b 9b 9c Schedule A (Form 990 or 990 -EZ) 2017 JSA 7E1229 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 17 27-4967732 CHARLES KOCH INSTITUTE • Page 5 Schedule A (Form 990 or 990-EZ) 2017 Supporting Organizations (continued) Yes Has the organization accepted a gift or contribution from any of the following persons? a A person who directly or indirectly controls, either alone or together with persons described in (b) and (c) below, the governing body of a supported organization'? b A family member of a person described in (a) above? c A 35% controlled entit y of a p erson described Ina orb above? If "Yes" to a, b, or c, provide detail In Part Vl. Section B. Type I Supporting Organizations No 11 11a 11b 11c YesI No Did the directors, trustees, or membership of one or more supported organizations have the power to regularly appoint or elect at least a majority of the organization's directors or trustees at all times during the tax year? If "No, " describe in Part VI how the supported organization(s) effectively operated, supervised, or controlled the organization's activities If the organization had more than one supported organization, describe how the powers to appoint and/or remove directors or trustees were allocated among the supported organizations and what conditions or restrictions, if any, applied to such powers during the tax year Did the organization operate for the benefit of any supported organization other than the supported organization(s) that operated, supervised, or controlled the supporting organization? If "Yes, " explain in Part 2 VI how providing such benefit carried out the purposes of the supported organization(s) that operated, supervised, or controlled the supporting organization 4 2 _ _ r Section C. Type II Supporting Organizations Yes No Were a majority of the organization's directors or trustees during the tax year also a majority of the directors or trustees of each of the organization's supported organization(s)? If "No,"describe in Part Vl how control or management of the supporting organization was vested in the same persons that controlled or managed the supported organization(s) Section D. All Type III Supporting Organizations Yes No Did the organization provide to each of its supported organizations , by the last day of the fifth month of the 2 organization ' s tax year, ( I) a written notice describing the type and amount of support provided during the prior tax year , ( ii) a copy of the Form 990 that was most recently filed as of the date of notification , and (iii) copies of the organization's governing documents in effect on the date of notification , to the extent not previously provided? 1+ Were any of the organization ' s officers, directors , or trustees either (I) appointed or elected by the supported organization ( s) or (ii) serving on the governing body of a supported organization? If "No, " explain in Part Vl how the organization maintained a close and continuous working relationship with the supported organization(s) 2 By reason of the relationship described in (2), did the organization ' s supported organizations have a 3 significant voice in the organization's investment policies and in directing the use of the organization's income or assets at all times during the tax year? If "Yes, " descnbe in Part VI the role the organization's supported organizations played in this regard 3 Section E . Type III Functionally Integrated Supporting Organizations 1 a b c Check the The The The box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions) organization satisfied the Activities Test Complete line 2 below organization is the parent of each of its supported organizations Complete line 3 below organization supported a governmental entity Descnbe in Part W how you supported a government entity (see Instructions Yes No Activities Test Answer (a) and (b) below. 2 a Did substantially all of the organization's activities during the tax year directly further the exempt purposes of the supported organization(s) to which the organization was responsive? If "Yes, " then in Part VI identify those supported organizations and explain how these activities directly furthered their exempt purposes, how the organization was responsive to those supported organizations, and how the organization determined that these activities constituted substantially all of its activities b 2a Did the activities described in (a) constitute activities that, but for the organization's involvement, one or more of the organization's supported organization(s) would have been engaged in? If "Yes, " explain in Part VI the reasons for the or g anization's p osition that its su pp orted org anization(s) would have engaged In these activities but for the organization's involvement 2b Parent of Supported Organizations Answer (a) and (b) below. 3 a b - ^^ Did the organization have the power to regularly appoint or elect a majority of the officers, directors, or trustees of each of the supported organizations? Provide details in Part VI. Did the organization exercise a substantial degree of direction over the policies , programs , and activities of each of its supported organizations? If "Yes, " describe In Part VI the role played by the organization in this regard 3a 3b Schedule A (Form 990 or 990 - EZ) 2017 JSA 7E1230 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 18 27-4967732 CHARLES KOCH INSTITUTE • Schedule A (Form 990 or 990-EZ) 2017 Page 6 Ty pe III Non - Functionally Integrated 509(a )( 3) Supporting Organizations 1 Check here if the organization satisfied the Integral Part Test as a qualifying trust on Nov 20, 1970 (explain in Part VI) See instructions . All other Tvoe III non-functionally integrated suooortlna oraanlzatlons must complete Sections A through E (B) Current Year Section A - Adjusted Net Income (A) Prior Year (optional) 1 Net short-term capital gain 1 2 Recoveries of prior- year distributions 2 3 Other gross income (see instructions) 4 Add lines 1 through 3 5'Depreciation and depletion 3 4 5 6 Portion of operating expenses paid or incurred for production or collection of gross income or for management, conservation, or maintenance of property held for production of income (see instructions) 6 7 Other expenses (see instructions) 8 Adjusted Net Income (subtract lines 5, 6, and 7 from line 4) 7 8 Section B - Minimum Asset Amount (A) Prior Year (B) Current Year (optional) 1 Aggregate fair market value of all non-exempt-use assets (see instructions for short tax year or assets held for part of year) a b c d Average monthl y value of securities Average monthly cash balances Fair market value of other non-exempt-use assets Total (add lines 1a, 1b, and 1c) 1a 1b 1c 1d e Discount claimed for blockage or other factors (e xplain in detail in Pa rt VI1 2 Acquisition indebtedness applicable to non-exem pt-use assets 2 3 Subtract line 2 from line ld 3 4 Cash deemed held for exempt use Enter 1-1/2% of line 3 (for greater amount, see instructions) 5 Net value of non-e xempt-use assets (subtract li ne 4 from line 3) ----------------- ------------------------6 Multiply line 5 by 035 7 Recoveries of prior-year distributions 8 Minimum Asset Amount ( add line 7 to line 6 ) 4 5 6 7 8 Current Year Section C - Distributable Amount 1 Adjus ted net income for prio r year from Section A, line 8 , Column A) 2 Enter 85% of line 1 1 2 3 Minimum asset amount for prior year (from Section B, line 8, Column A) 4 Enter greater of line 2 or line 3 3 4 5 Income tax imposed in prior year 5 6 Distributable Amount. Subtract line 5 from line 4, unless subject to emergency temporary reduction (see instructions) 6 7 U Check here if the current year is the organization ' s first as a non-functionally integrated Type III supporting organization (see instructions) Schedule A (Form 990 or 990-EZ) 2017 JSA 7E 1231 2 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 19 27-4967732 CHARLES KOCH INSTITUTE Schedule A (Form 990 or 990-EZ) 2017 1- .. . Page 7 TvDe III Non-Functionally Intearated 509(a)(3) Suooortina Oraanizations (continued) Current Year Section D - Distributions 1 2 Amounts paid to supported organizations to accomplish exempt purposes Amounts paid to perform activity that directly furthers exempt purposes of supported organizations , in excess of income from activity ` 3 4 Administrative expenses paid to accomplish exempt purposes of supported organizations Amounts paid to acquire exempt-use assets 5 Qualified set- aside amounts ( prior IRS approval required) 6 7 Other distributions ( describe in Part VI ) See Instructions Total annual distributions . Add lines 1 through 6 Distributions to attentive supported organizations to which the organization is responsive (provide details in Part VI ) See Instructions - 8 • ` - Distributable amount for 2017 from Section C, line 6 9 Line 8 amount divided by Line 9 amount 10 Section E - Distribution Allocations (see instructions ) 1 2 Distributable amount for 2017'from Section C , line 6. Underdistributions , if any, for years prior to 2017 (reasonable cause required -explain in Part VI ) See Instructions Excess distributions carryover if any, to 2017 3 y^"9q^t/^ pt v .^•^^w^Y ' i. ' ^ i" ;Y4%^;' 4Tw .'.T- t a 1 fYnY - - k" M";' •; ", ` •: ` ^ ti "^•^ `; ,` F r .^vrrifi ^'IM °'"^ W„ . .^i f-:,.=f5sa1. a u "Ir W e'(,A' » „"'s? p i•asi S"`•`•_` L^ a _ d Excess from 2016 . Excess from 2017 '`2"7N?g' ^ `^t ~112-^ ^ kiw mly-` ^`^• M1a ^. Y r' q Y ^:^ A•, .\:^^ t^ ,/^YY.x^^•j.`^., ,j^.' ;!^+^1< ` Ld {+ g r4Y. 'i^ L nm^osxu _`i 'cA^"' Kt^ ?L '^ ^^^^'.^a^;f ^' ^4"`s^"m,`.,^ .^:Npa ;:'`.^^'^^?°•'^'`^"^", 1.y^* 6 's7 i^rr ^-^Tt. _^, r^^ ^ •'^t( Section D , line 7 $ Applied to underdlstrlbutlons of prior years Applied to 2017 distributable amount 5 k'tt4' 4M_ " 2013 2014 2015 2016 A^ ,4 ^ ';J; ^• ^. N' I From From From From (iii) Distributable Amount for 2017 (li) Underdistributions ' Pre - 2017 Excess Distributions " `w' -19W .0 3 b c d e 4 - ~:'' s^X", .•r^,. b^ 1 .'.1: '• C^-`.'£ . Y^ ,. a:.fi ;` wl_ c ^r w t,z: -3 di '> t ^ • . so^' ate ," ^! '\11 01" 2' 4154 Schedule A (Form 990 or 990-EZ) 2017 JSA 7E1232 1 000 - 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 20 n 27-4967732 CHARLES KOCH INSTITUTE Schedule A (Form 990 or 990 - EZ) 2017 Page 8 Supplemental Information . Provide the explanations required by Part II, line 10, Part II, line 17a or 17b, Part III, line 12, Part IV, Section A, Ilnes 1, 2, 3b, 3c, 4b, 4c, 5a, 6, 9a, 9b, 9c, 11a, 11b, and 11c, Part IV, Section B, lines 1 and 2, Part IV, Section C, line 1, Part IV, Section D, lines 2 and 3, Part IV, Section E, lines 1c, 2a, 2b, 3a and 3b, Part V, line 1, Part V, Section B, line 1e , Part V, Section D, lines 5, 6, and 8, and Part V, Section E, lines 2, 5, and 6 Also complete this part for any additional information (See Instructions ) Schedule A (Form 990 or 990-EZ) 2017 JSA 7E1225 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 21 Political Campaign and Lobbying Activities SCHEDULE C OM B N o 154 5-0047 (Form 990 or 990-EZ) For Organizations Exempt From Income Tax Under section 501 ( c) and section 527 1 2017 ^ Attach to Form 990 or Form 990-EZ. ^ Complete if the organization is described below . ^ Go to www.rrs.gov/Form990 for instructions and the latest information. Department the t Treasury Internal Reve n u e Servi ce If the organization answered " Yes," on Form 990, Part IV, line 3, or Form 990-EZ , Part V , line 46 ( Political Campaign Activities), then • Section 501(c)(3) organizations Complete Parts I-A and B Do not complete Part I-C • Section 501(c) (other than section 501 (c)(3)) organizations Complete Parts I-A and C below Do not complete Part I-B • Section 527 organizations Complete Part I-A only If the organization answered " Yes," on Form 990, Part IV, line 4, or Form 990 - EZ, Part VI, line 47 ( Lobbying Activities), then • Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)) Complete Part II-A Do not complete Part II-B • Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)) Complete Part II-B Do not complete Part II-A If the organization answered "Yes," on Form 990, Part IV, line 5 (Proxy Tax) (see separate instructions ) or Form 990-EZ, Part V, line 35c (Proxy Tax) (see separate instructions), then • Section 501(c)(4), (5), or (6) organizations Complete Part III Employer identification number Name of organization CHARLES •i\ KOCH 27-4967732 INSTITUTE Complete if the orcianization is exempt under section 501(c) or is a section 527 orqanization. Provide a description of the organization's direct and indirect political campaign activities in Part IV ( see instructions for definition of "political campaign activities") 2 3 Political campaign activity expenditures (see instructions) . . . . . . . . . . . . . . . . . . . . $ Volunteer hours for p olitical cam p ai g n activities ( see instructions ) . ................. Complete if the organization is exempt under section 501(c)(3). Enter the amount of any excise tax incurred by the organization under section 4955. . . . . . ^ $ Enter the amount of any excise tax incurred by organization managers under section 4955 . . ^ $ 3 If the organization incurred a section 4955 tax, did it file Form 4720 for this year's . . . . . . . . . . . . . . . 4a Was a correction made' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b If "Yes," describe in Part IV Complete if the organization is exempt under section 501(c), except section 501(c)(3). I 2 1 No No Enter the amount directly expended by the filing organization for section 527 exempt function activities ............................................... 2 Yes Id Yes ^$ Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . ^ $ Total exempt function expenditures Add lines 1 and 2 Enter here and on Form 1120-POL, line 17b ............................................... . . . . . . . . . . . . . . . . . . . . L-1 Yes Did the filing organization file Form 1120-POL for this year '? . . Li No Enter the names, addresses and employer identification number ( EIN) of all section 527 political organizations to which the filing organization made payments For each organization listed, enter the amount paid from the filing organization's funds Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC) If additional space is needed , provide information in Part IV (b) Address (a) Name (c) EIN (d) Amount paid from filing organization's funds If none, enter -0- (e) Amount of political contributions received and promptly and directly delivered to a separate political organization If none, enter -0- ( 1) (2) (3) (4) ( 5) (6) Schedule C (Form 990 or 990-EZ) 2017 For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. JSA 7E1264 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 26 Schedule C ( Form 990 or990 -EZ) 2017 CHARLES KOCH 27-4 967732 INSTITUTE Page 2 Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 ( election under section 501(h)). A Check ^ X If the filing organization belongs to an affiliated group ( and list in Part IV each affiliated group member's name, address , EIN, expenses , and share of excess lobbying expenditures) B Check if the filing organization checked box A and " limited control " provisions apply Limits on Lobbying Expenditures (The term " expenditures " means amounts paid or incurred .) ( a) Filing organization's totals ( b) Affiliated group totals 1 a Total lobbying expenditures to influence public opinion ( grass roots lobbying) . . . . . b Total lobbying expenditures to influence a legislative body ( direct lobbying ) . . . c Total lobbying expenditures ( add lines la and 1b ) . . . . . . . . . . . . . . . . . . . . d Other exempt purpose expenditures . . . . . . . . . . . . . . . . . . . . . . . . . . e Total exempt purpose expenditures ( add lines 1c and 1d ) . . . . . . . . . . . . . . . f Lobbying nontaxable amount Enter the amount from the following table in both columns ---------------------- --------- -------..-•--If the amount on line le, column ( a) or (b ) is: The lobbying nontaxable amount is: Not over $500 , 000 20% of the amount on line le g h i j Over $500, 000 bL ' t not over $1 ,000,000 $100,000 plus 15% of the excess over $500,000 Ovcr $1 , 000,000 but not Pvgr $1 , 500,000 $ 1 75,000 Over $1,500 , 000 but riot over $17 , 000,000 $225 , 000 p lus 5% of the excess over $ 1,500,000 Over $ 17,000,000 $ 1,000,000 I s 10% of th e cxces 27, 833, 747. 27, 833, 747. 15, 507, 543. 15, 507, 543. 1, 0 00 , 00 0. 925,377. 1 over $1,000,000 250, 000. 231, 344 . Grassroots nontaxable amount ( enter 25% of line 1f) . . . . . . . . . . . . . . . . . 0. 0. Subtract line 1 g from line 1 a If zero or less, enter -0 - . . . . . . . . . . . . . . . . . 0. 0. Subtract line 1f from line 1c If zero or less, enter-0 - . . . . . . . . . . . .. . . . . . . If there is an amount other than zero on either line 1h or line 1 i, did the organization file Form 4720 n Yes F-1 No rer)ortlno section 4911 tax for this vear? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 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 separate instructions for lines 2a through 2f.) Lobbvincl Expenditures During 4-Year Averaoina Period Calendar year ( or fiscal year ( a) 2014 ( b) 2015 ( c) 2016 ( d) 2017 ( e) Total beginning in) 2a Lobbying nontaxable amount 1, 000, 0 00. 1,000, 000. b Lobbying ceiling amount (150% of line 2a, column (e)) 2,0 00, ------ . . 3,000,000. c Total lobbying expenditures d Grassroots nontaxable amount 250, 000. e Grassroots ceiling amount ( 150% of line 2d , column (e)) 250, 000. 500, 000. 750,000. f Grassroots lobbying expenditures Schedule C (Form 990 or 990-EZ) 2017 JSA 7E1265 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 27 27-4967732 CHARLES KOCH INSTITUTE Page 3 Schedule C (Form 990 or 990-EZ) 2017 Complete if the organization is exempt under section 501 (c)(3) and has NOT filed Form 5768 ( election under section 501(h)). (b) (a) For each " Yes, " response on lines description of the lobbying activity 1 1a through 1i below, provide in Part IV a detailed Yes b During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of Volunteers'? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Paid staff or management (include compensation in expenses reported on lines 1c through 11)?. c Media advertisements? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d e f Mailings to members , legislators , or the public? . . . . . . . . . . . . . . . . . . . . . . . . . . . Publications , or published or broadcast statements' . . . . . . . . . . . . . . . . . . . . . . . . Grants to other organizations for lobbying purposes? . . . . . . . . . . . . . . . . . . . . . . . . g Direct contact with legislators , their staffs , government officials , or a legislative body? . . . . . . h i j Rallies , demonstrations , seminars , conventions , speeches , lectures , or any similar means'. . . . Other activities? .......................................... . Total Add lines 1 c through 11 . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . 2a b c Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? If "Yes , " enter the amount of any tax incurred under section 4912 . . . . . . . . . . . . . . . . . If "Yes , " enter the amount of any tax incurred by organization managers under section 4912 a d 1 Amount No . If the filin g org anization incurred a section 4912 tax, did it file Form 4720 for this year? . . 0 11 n-, Complete if the organization is exempt under section 501 ( c)(4), section 501 (c)( 5), or section 501(c)(6 No Were substantially all (90% or more) dues received nondeductible by members' . . . . . . . . . . . . . . . . . . Did the organization make only in-house lobbying expenditures of $2,000 or less'. . . . . . . . . . Did the organization agree to carry over lobbying and political campaign activity expenditures from the prior year? 1 2 3 ' Complete if the organization is exempt under section 501 ( c)(4), section 501(c)(5), or section 501(c )( 6) and if either (a) BOTH Part III-A, lines I and 2 , are answered " No," OR ( b) Part III-A, line 3, is answered "Yes." 1 Dues, assessments and similar amounts from members . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Section a b c 1 2 3 162(e) nondeductible lobbying and political expenditures ( do not include amounts of political expenses for which the section 527 ( f) tax was paid). Current year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Carryover from last year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Total ........................................................ 1 - Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues. . . . . If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Taxable amount of lobb y in g and p olitical ex p enditures (see instructions ) 5 Supplemental Information Provide the descriptions required for Part I-A, line 1, Part I-B, line 4, Part I-C, line 5, Part II-A (affiliated group list), 2 (see instructions), and Part II-B, line 1 Also, complete this part for any additional information 3 2a 2b 2c 3 4 SEE PAGE 4 5 Part II-A, lines 1 and 4 Schedule C (Form 990 or 990-EZ) 2017 JSA 7E1266 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 28 27-4967732 CHARLES KOCH INSTITUTE Schedule C ( Form 990 or 990-EZ ) 2017 Page 4 Supplemental information (continued) SCHEDULE C, PART II-A AFFILIATED GROUP MEMBER NAME: STAND TOGETHER, ADDRESS: INC. 1320 N COURTHOUSE RD, LOBBYING EXPENSES: STE 220, ARLINGTON, VA 22201 NONE TOTAL EXPENSES: $15,507,543 STAND TOGETHER, INC. HAS NOT MADE A 501(H) ELECTION. Schedule C (Form 990 or 990 - EZ) 2017 SSA 7E1500 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 29 SCHEDULE D (Form 990). ^ Complete if the organization answered "Yes" on Form 990, Part IV, line 6, 7, 8, 9, 10, 1la, 11b, 11c, 11d, 11e, 11f, 12a, or 12b ^ Go to www.irs.gov/Form990 fo r instructions and the latest information. Employer identification number Name of the organization ILiMIM INSTITUTE 27 -4967732 Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" on Form 990, Part IV, line 6 (a) Donor advised funds 1 2 2017 ^ Attach to Form 990. Department of the Treasury Internal Revenue Service CHARLES KOCH OMB No 1545-0047 Supplemental Financial Statements (b) Funds and other accounts Total number at end of year . . . . . . . . . . . Aggregate value of contributions to (during year) Aggregate value of grants from ( during year) 3 4 5 Aggregate value at end of year. . . . . . . . . . Did the organization inform all donors and donor advisors in writing that the assets held in donor funds are the organization ' s property , subject to the organization ' s exclusive legal control '? . . . . . . Did the organization inform all grantees , donors , and donor advisors in writing that grant funds can only for charitable purposes and not for the benefit of the donor or donor advisor , or for any other conferrin g im p ermissible p rivate benefit' Conservation Easements. Complete if the organization answered " Yes" on Form 990, Part IV, line 7 Pur ose ( s) of conservation easements held by the organization ( check all that apply) 6 1 Preservation of land for public use (e g , recreation or education ) Protection of natural habitat Preservation of open space 2 H advised . . . . . ❑ Yes ❑ No be used purpose . ❑ Yes ❑ No Preservation of a historically important land area Preservation of a certified historic structure Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation Held at the End of the Tax Year easement on the last day of the tax year a b c d 3 4 5 2a Total number of conservation easements . . . . . . . . . . . . . . . . . . . . . . . . . . . 2b Total acreage restricted by conservation easements . . . . . . . . . . . . . . . . . . . . . Number of conservation easements on a certified historic structure included in (a) . . . . . 2c Number of conservation easements included in (c) acquired after 7/25/06 , and not on a 2d historic structure listed in the National Register . . . . . . . . . . . . . . . . . . . . . . . Number of conservation easements modified , transferred , released , extinguished , or terminated by the organization during the tax year ^ Number of states where property subject to conservation easement is located ^ Does the organization have a written policy regarding the periodic monitoring , inspection, handling of violations , and enforcement of the conservation easements it holds '? . . . . . . . . . . . . . . . . . . . . . . ❑ Yes ❑ No 6 Staff and volunteer hours devoted to monitoring , inspecting, handling of violations, and enforcing conservation easements during the year 7 1111. Amount of expenses incurred in monitoring , inspecting , handling of violations , and enforcing conservation easements during the year 8 Does each conservation easement reported on Ilne 2 ( d) above satisfy the requirements of section 170 ( h)(4)(B)(I) and section 170(h)(4)( B)(II)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ❑ Yes ❑ No In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet , and include, if applicable , the text of the footnote to the organization ' s financial statements that describes the organization ' s accounting for conservation easements 9 Organizations Maintaining Collections of Art, Historical Treasures , or Other Similar Assets. Complete if the organization answered " Yes" on Form 990, Part IV, line 8 1a If the organization elected , as permitted under SFAS 116 (ASC 958 ), not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition , education , or research in furtherance of public service , provide , in Part XIII, the text of the footnote to its financial statements that describes these items b If the organization elected, as permitted under SFAS 116 (ASC 958 ), to report in its revenue statement and balance sheet works of art, historical treasures , or other similar assets held for public exhibition , education, or research in furtherance of public service , provide the following amounts relating to these items (i) Revenue included on Form 990 , Part VIII, line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ^ $ (ii) Assets Included in Form 990 , Part X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ^ $ If the organization received or held works of art , historical treasures , or other similar assets for financial gain, provide the following amounts required to be reported under SFAS 116 (ASC 958 ) relating to these items Revenue included on Form 990, Part VIII, line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . ^ $ Assets Included in Form 990 , Part X . ^ $ 2 a b For Paperwork Reduction Act Notice , see the Instructions for Form 990. JSA 7E1268 2 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 Schedule D (Form 990) 2017 094135 PAGE 30 CHARLES KOCH INSTITUTE 27-4967732 Schedule D (Form 990) 2017 Page 2 Fg.TWIII Organizations Maintaining Collections of Art , Historical Treasures, or Other Similar Assets (continued) 3 'Using the organization ' s acquisition, accession , and other records, check any of the following that are a significant use of its collection items ( check all that apply) a Public exhibition Loan or exchange programs d b c 4 5 H Scholarly research Other e Preservation for future generations Provide a description of the organization's collections and explain how they further the organization ' s exempt purpose in Part XIII During the year, did the organization solicit or receive donations of art, historical treasures , or other similar assets to be sold to raise funds rather than to be maintained as part of the organization ' s collection? , , n Yes F--] No Escrow and Custodial Arrangements. Complete if the organization answered " Yes" on Form 990, Part IV , line 9, or reported an amount on Form 990, Part X , line 21 la b c d e f 2a b Is the organization an agent , trustee , custodian or other intermediary for contributions or other assets not included on Form 990 , Part X '? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . If "Yes ," explain the arrangement in Part XIII and complete the following table Amount Beginning balance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1c Additions during the year . . . . . . . . . . . . . .. . . . . . . . . . . . . . . 1d Distributions during the year . . . . . . . . . . . . .. . . . . . . . . . . . . . . le Ending balance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . if Did the organization include an amount on Form 990, Part X , line 21, for escrow or custodial account liability If "Yes," explain the arrangement in Part XIII Check here if the explanation has been provided on Part XIII , . Yes No Yes No Endowment Funds. Complete if the organization answered "Yes" on Form 990, Part IV , line 10 (a) Current year la b c d e f g 2 (b) Prior year (c) Two years back (d) Three years back (e) Four years back Beginning of year balance . . . . Contributions . . . . . . . . . . . Net investment earnings, gains, and losses . . . . . . . . . . . . . Grants or scholarships . . . . . . Other expenditures for facilities and programs . . . . . . . . . . . Administrative expenses . . . . . End of year balance. . . . . . . . Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as Board designated or quasi-endowment lo. % a anent endowment 0o. b Permanent Temporarily restricted endowment ^ % The percentages on lines 2a, 2b, and 2c should equal 100% 3a Are there endowment funds not in the possession of the organization that are held and administered for the b 4 organization by (i) unrelated organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (ii) related organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . If "Yes" on line 3a(ii), are the related organizations listed as required on Schedule R'? . . . . . . . . . . . . . . . . Describe in Part XIII the intended uses of the org anization's endowment funds Yes No 3a(i) 3a(ii) 3b Land, Buildin g s , and Equipment. ComDlete if the oraanlzation answered "Yes" on Form 990. Part IV. line 11a See Form 990. Part X. line 10 Description of property 1a b c d e ( a) Cost or other basis (investment ) (b) Cost or other basis (other) (c) Accumulated depreciation ( d) Book value Land Buildings , , , , , , , , , , , , , , , , , , Leasehold Improvements, , , , , , , , , , Equipment , , , , , , , , , , , , , , , Other 67, 767. Total . Add lines la through le (Column (d) must equal Form 990, Part X, column (B), line 10c) , 67,500 . , ^ 267. 267. Schedule D (Form 990) 2017 JSA 7 E 1269 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 31 CHARLES KOCH INSTITUTE 27-4967732 Schedule D (Form 990) 2017 Page 3 Investments - Other Securities. Complete if the organization answered "Yes" on Form 990, Part IV, line 11b See Form 990, Part X , line 12 (a) Description of security or category (Including name of security) ( b) Book value (c) Method of valuation Cost or end - of-year market value (1) Financial derivatives . . . . . . . . . . . . . . . . . (2) Closely - held equity interests . . . . . . . . . . . . . (3) Other (A)DOMESTIC PASSIVE INV. PTNRSHIP 268,456,058. FMV (B) (C) (D) (E) (F) (G) (H) Total . ( Column (b) must equal Form 990, Part X, col (B) line 12 ) ^ I 2 68, 4 5 6, 0 5 8 . Investments - Program Related. Complete if the organization answered "Yes" on Form 990, Part IV, line 11c See Form 990, Part X, line 13 ( a) Description of investment ( b) Book value ( c) Method of valuation Cost or end-of- year market value 1 ( 2) ( 3) (4) ( 5) ( 6) ( 7) ( 8) ( 9) Total (Column (b) must equal Form 990, Part X, col (B) line 13) ^ Other Assets. I Complete if the organization answered "Yes" on Form 990, Part IV, line 11d See Form 990, Part X, line 15 ( a) Description (b) Book value (1) ( 2) (3) (4) (5) (6) (7) (8) (9) Total . (Column (b) must equal Form 990, Part X, col (B) line 15 ) . . . . . . . . . . . . . . . . . . . . . . . . . . ^ Other Liabilities. Complete if the organization answered "Yes" on Form 990, Part IV, line 1le or 11f See Form 990, Part X, line 25 2. Liability for uncertain tax positions In Part XIII, provide the text of the footnote to the organization ' s financial statements that reports the organization's liability for uncertain tax positions unde r F IN 4 8 (ASC 740 ) Che c k h e re i f the text of the footnote has been provided in Part XIII JSA 7E1270 1 000 Schedule D (Form 990) 2017 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 32 27-4967732 CHARLES KOCH INSTITUTE Schedule D (Form 990) 2017 Page 4 Reconciliation of Revenue per Audited Financial Statements With Revenue per Return. Complete if the organization answered "Yes" on Form 990, Part IV, line 12a I 2 a b c d e 3 4 a b c 5 Total revenue, gains, and other support per audited financial statements Amounts included on line 1 but not on Form 990, Part VIII, line 12 Net unrealized gains (losses) on investments . . . . . . . . . . . . . . . Donated services and use of facilities . . . . . . .. . . . . . . . . . . . Recoveries of prior year grants . . . . . . . . . . . . . . . . . . . . . . . Other (Describe in Part XIII ) . . . . . . . . . . . . . . . . . . . . . . . . Add lines 2a through 2d . . . . . . . . . . . . . . . . . . . . . . . . . . Subtract line 2e from line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Amounts included on Form 990, Part VIII, line 12, but not on line 1 Investment expenses not included on Form 990, Part VIII, line 7b . . . . . . . Other (Describe in Part XIII ) . . . . . . . . . . .. . . . . . . . . . . . . . . . Add lines 4a and 4b . . . . . . . Total revenue Add lines 3 and 4c. This must e ual Form 990 Part I line 12 1 2a 2b 2c 2d . . . . . . . . . . . . . . . . . . . . . . 4a 4b 2e 3 _ 4c 5 Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete if the organization answered "Yes" on Form 990, Part IV, line 12a 1 2 a b c d e 3 4 a b c Total expenses and losses per audited financial statements . . . . . . . . . . . . . . . . . . . . . . . . Amounts included on line 1 but not on Form 990, Part IX, line 25 Donated services and use of facilities . . . . . .. . . . . . . . . . . . . . . . 2a Prior year adjustments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2b Other losses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2c 2d Other (Describe in Part XIII) ........................... Add lines 2a through 2d . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Subtract line 2e from line I . . . . . . . . . . . . . . . . . . . . . . . . . . Amounts included on Form 990, Part IX, line 25, but not on line 1 Investment expenses not included on Form 990, Part VIII, line 7b . . . . . . . 4a Other (Describe in Part XIII) . . . . . . . . . . . . . . . . . . . . . . . . . . . 4b 2e - 3 4c . . . . . . . . . . . . . . . Add lines 4a and 4b . . . . . . . . . . . . . . . . 5 Total exp enses Add lines 3 and 4c. This must e qual Form 990, Part/, line 18 Su pp lemental Information. Provide the descriptions required for Part II, lines 3, 5, and 9, Part III, lines la and 4, Part IV, lines lb and 2b, Part V, line 4, Part X, line 2, Part XI, lines 2d and 4b, and Part XII, lines 2d and 4b Also complete this part to provide any additional information 5 SCHEDULE D, PART X, LINE 2 MANAGEMENT HAS EVALUATED THE INCLUDED IN ASC'740. INCOME TAX POSITIONS BASED ON THEIR REVIEW, UNDER THE GUIDANCE MANAGEMENT HAS NOT IDENTIFIED ANY MATERIAL UNCERTAIN TAX POSITIONS TO BE RECORDED OR DISCLOSED IN THE FINANCIAL STATEMENTS. Schedule D (Form 990) 2017, JSA 7E1271 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 33 Schedule D (Form 990) 201Y CHARLES KOCH INSTITUTE 27-4967732 Page 5 CMMM_Supplemental Information (continued) Schedule D (Form 990) 2017 JSA 7E1226 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 34 SCHEDULE E OMB No 1545-0047 Schools (Form 990 pr 990-EZ ) ^ Complete if the organization answered " Yes" on Form 990, Part IV, line 13 , or Form 990-EZ , Part VI, line 48 Department of the Treasury Internal Revenue Service ^ Attach to Form 990 or Form 990-EZ. ^ Go to www.irs.gov/Form990 for the latest information. Name of the organization CHAR LES KOCH 20 17 Employer identification number I N STITUTE 27-4967732 YES 1 NO Does the organization have a racially nondiscriminatory policy toward students by statement in its charter, bylaws, other governing instrument, or in a resolution of its governing body? . . . . . . . . . . . . . . . . . . . . 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? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Has the organization publicized its racially nondiscriminatory policy through newspaper or broadcast media 2 3 1 X 2 X during the period of solicitation for students, or during the registration period if it has no solicitation program, In a way that makes the policy known to all parts of the general community it serves' If "Yes," please - describe If "No," please explain If you need more space, use Part II . . . . . . . . . . . . . . . . . . . . . . . . . . 3 X SEE SUPPLEMENTAL PAGE 4 Does the organization maintain the following? Records indicating the racial composition of the student body, faculty, and administrative staff?. . Records documenting that scholarships and other financial assistance are awarded nondiscriminatory basis? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Copies of all catalogues, brochures, announcements, and other written communications to the with student admissions, programs, and scholarships? . . . . . . . . . . . . . . . . . . . . . . . . Copies of all material used by the organization or on its behalf to solicit contributions? . . . . . . . 4a X 4b X 4c 4d X . . . . . . . . a Students' rights or privileges? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5a X b Admissions policies? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15b X c Employment of faculty or administrative staff' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5c X d Scholarships or other financial assistance? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5d X e Educational policies? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5e X f Use of facilities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5f X g Athletic programs' h Other extracurricular activities?. . . .. . . . . . . . . I 5h If you answered "Yes" to any of the above, please explain If you need more space, use Part II X 6a b Does the organization receive any financial aid or assistance from a governmental agency? . . . .. . . . . . . . . Has the organization's right to such aid ever been revoked or suspended? . . . . . . . . . . . . . . . . . . . . . If you answered "Yes" on either line 6a or line 6b, explain on Part II X X 7 Does the organization certify that it has complied with the applicable requirements of sections 4 01 through 4 05 of Rev Proc 75-50, 1975-2 C B 587, covering racial nondiscrimination? If "No," explain on Part II . . . . . . a b c d . . .. . . . . on a racially . . . . . . . . public dealing . . . . . . . . X If you answered "No" to any of the above, please explain If you need more space, use Part II SEE SUPPLEMENTAL PAGE 5 Does the organization discriminate by race in any way with respect to For Paperwork Reduction Act Notice, see the Instructions for Form 990 or Form 990-EZ. JSA 7E1273 1 000 5425DW K922 X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1/15/2019 1:29:11 PM V 17-7.10 6a 6b -7 X Schedule E (Form 990 or 990-EZ) 2017 094135 PAGE 35 27-4967732 CHARLES KOCH INSTITUTE Schedule E (Form 990 or 990-EZ ) ( 2017) Page 2 Supplemental Information . Provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable Also provide any other additional information (see instructions) SCHEDULE E, PART I, LINE 3 THE ORGANIZATION HAS PUBLISHED ITS RACIAL NONDISCRIMINATORY POLICY IN THE WASHINGTON TIMES. SCHEDULE E, PART I, LINE 4D THE ORGANIZATION DOES NOT SOLICIT CONTRIBUTIONS. Schedule E (Form 990 or 990 - EZ) (2017) JSA 7E1501 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 36 SCHEDULE I (Form 990) Grants and Other Assistance to Organizations, Governments, and Individuals in the United States internal Revenue Service Open to Public Inspection ^ Go to uwvw.irs.gov/Form990 for the latest information. Name of the organization Employer identification number CHARLES KOCH INSTITUTE 27-4967732 - General Information on G rants and Assistance MONT 2 0017 Complete if the organization answered "Yes" on Form 990, Part IV, line 21 or 22. 00, Attach to Form 990. Department of the Treasury 1 OMB No 1545-0047 Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0 Yes Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States No Grants and Other Assistance to Domestic Organizations and Domestic Governments . Complete if the organization answered "Yes" on Form 990, Part IV, line 21, for any recipient that received more than $5,000 Part II can be duplicated if additional space is needed 1 (a) Name and address of organization or government ( b) EIN (c ) IRC section (if applicable ) (d) Amount of cash grant -W, (e) Amount of noncash assistance (f) Method of valuation (book , FMV, appraisal, other (g) Description of noncash assistance (h) Purpose of grant or assistance ( 1 ) CATO INSTITUTE 1000 MASSACHUSETTS AVENUE, NW 23-7432162 501)C)(3) 98,000 EDUCATION 94-1623852 501(C)(3) 73,200 EDUCATION 95-3298239 501(C)(3) 65,000 EDUCATION 52-0140979 501(C)(3) 36,000 EDUCATION 20-3237801 501(C))3) 30,000 EDUCATION 48-0918408 501(C)(3) 27,000 EDUCATION 94-2763845 501(C))3) 26,000 EDUCATION 27-3567814 501(C)(3) 26,000 EDUCATION 31-0896583 501(C)(3) 24,000 EDUCATION 86-0597661 501(C)(3) 22,500 EDUCATION 45-3503672 501(C)(3) 22,000 EDUCATION 81-2593815 501(C)(3) 22,000 EDUCATION ( 2 ) INSTITUTE FOR HUMANE STUDIES 3301 N FAIRFAX DRIVE ARLINGTON, VA 22201 (3) REASON FOUNDATION 3415 S SEPULVEDA BLVD ( 4 ) AMERICAN LEGISLATIVE EXCHANGE COUNCIL 1101 VERMONT AVE NW WASHINGTON, DC 20005 ( 5 ) MOVING PICTURE INSTITUTE 375 GREENWICH ST NEW YORK, NY 10013 ( 6 ) CHARLES KOCH FOUNDATION 1515 N COURTHOUSE ROAD ARLINGTON, VA 22201 ( 7 ) ATLAS NETWORK 1201 L STREET NW WASHINGTON, DC 20005 ( 8 ) TECHFREEDOM 110 MARYLAND AVE NE WASHINGTON, DC 20002 ( 9 ) THE SATURDAY EVENING POST SOCIETY, 1100 WATERWAY BLVD INDIANAPOLIS, ( 10 ) BARRY GOLDWATER INSTITUTE 500 E CORONADO RD PHOENIX, INC IN 46202 FOR PUBLIC POLICY AZ 85004 ( 11 ) YOUNG AMERICANS FOR LIBERTY FOUNDATION 3030 CLARENDON BLVD ARLINGTON, VA 22201 ( 12 ) YOUNG VOICES 220 ALLISON ST NW WASHINGTON, 2 3 DC 20011 Enter total number of section 501(c)(3) and government organizations listed in the line 1 table . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ^ Enter total number of other organizations listed in the line 1 table . . ^ For Paperwork Reduction Act Notice , see the Instructions for Form 990. Schedule I (Form 990 ) (2017) JSA 7 E 1288 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 37 SCHEDULE I (Form 990) Grants and Other Assistance to Organizations, Governments, and Individuals in the United States ^ Go to www.irs.gov/Form990 for the latest information. Name of the organization 2 Employer identification number INSTITUTE 27-4967732 General Information on Grants and Assistance MIN 1 KOCH 2017 Complete if the organization answered "Yes" on Form 990, Part IV, line 21 or 22. ^ Attach to Form 990. Department of the Treasury Internal Revenue Service CHARLES OMB No 1545-0047 Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . El Yes Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States El No Grants and Other Assistance to Domestic Organizations and Domestic Governments . Complete if the organization answered "Yes" on Form 990, Part IV, line 21, for any recipient that received more than $5,000 Part II can be duplicated if additional space is needed 1 (a) Name and address of organization or government ( 1 ) INSTITUTE ( b) EIN (c ) IRC section ( if applicable ) ( d) Amount of cash grant ( e) Amount of noncash assistance (f) Method of valuation ( book, FMV, appraisal, other (g) Description of noncash assistance (h) Purpose of grant or assistance FOR ENERGY RESEARCH 1155 15TH STREET, NW #900 76-0149778 501(C)(3) 20,289 EDUCATION 45-2922471 501(C)(3) 20,000 E DUCATION 88-0276314 501(C)(3) 20,000 EDUCATION 94-3435899 501(C))3) 20,000 EDUCATION 52-1744337 501(C))3) 19,044 EDUCATION 26-3477125 501(C)(3) 18,000 EDUCATION 48-0891418 501(C)(3) 16,000 EDUCATION 52-1351785 501(C)(3) 16,000 EDUCATION 94-3008370 501(C)(3) 15,000 EDUCATION 57-0835744 501(C)(3) 15,000 EDUCATION 52-1527294 501(C)(3) 14,289 EDUCATION 20-3676886 501(C)(3) 14,000 EDUCATION ( 2 ) DAILY CALLER NEWS FOUNDATION 1050 17TH ST NW WASHINGTON, DC 20036 ( 3 ) NEVADA POLICY RESEARCH INSTITUTE 7130 PLACID STREET LAS VEGAS, NV 89119 ( 4 ) STUDENTS FOR LIBERTY 17TH STREET NW, 1101 ( 5 ) INSTITUTE 901 N SUITE 810 FOR JUSTICE VA 22203 GLEBE ROAD ARLINGTON, ( 6 ) R STREET INSTITUTE 1050 17TH STREET NW WASHINGTON, DC 20036 ( 7 ) BILL OF RIGHTS INSTITUTE 200 N GLEBE RD ARLINGTON, VA 22203 ( 8 ) COMPETITIVE ENTERPRISE INSTITUTE 1899 L STREET NW WASHINGTON, DC 20005 ( 9 ) INDEPENDENT INSTITUTE 100 SWAN WAY OAKLAND, CA 94621-1428 ( 10 ) SOUTH CAROLINA POLICY COUNCIL 1323 11 PENDLETON STREET COLUMBIA, SC 29201 AMERICANS FOR PROSPERITY FOUNDATION 1320 N COURTHOUSE RD ARLINGTON, VA 22201 ( 12 ) CENTER FOR COMPETITIVE POLITICS ' 2 3 124 SOUTH WEST STREET ALEXANDRIA, VA 22314 Enter total number of section 501(c)(3) and government organizations listed in the line 1 table . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ^ Enter total number of other organizations listed in the line 1 table . .......................... ... ............. . ^ For Paperwork Reduction Act Notice , see the Instructions for Form 990. Schedule I (Form 990 ) (2017) JSA 7E1288 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 38 SCHEDULE I (Form 990) Grants and Other Assistance to Organizations, Governments, and Individuals in the United States ^ Go to www.irs . gov/Form990 for the latest information. Name of the organization KOCH 00017 Complete if the organization answered " Yes" on Form 990, Part IV , line 21 or 22. ^ Attach to Form 990. Department of the Treasury Internal Revenue Service CHARLES OMB No 1545- 004 7 Employer identification number INSTITUTE 27-4967732 General Information on Grants and Assistance 1 2 Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance'? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0 Yes Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States No Grants and Other Assistance to Domestic Organizations and Domestic Governments . Complete if the organization answered "Yes" on Form 990, Part IV, line 21, for any recipient that received more than $5,000 Part II can be duplicated if additional space is needed 1 (a) Name and address of organization or government ( b) EIN (c ) IRC section ( if applicable ) (d) Amount of cash grant (e) Amount of noncash assistance (f) Method of valuation (book , FMV, appraisal, other (g) Description of noncash assistance (h) Purpose of grant or assistance ( 1 ) STRATA 255 S MAIN ST LOGAN, UT 84321 45-5339959 501(C)(3) 13,553 EDUCATION 45-2805977 501(C)(3) 12,000 EDUCATION 58-1943161 501(C)(3) 12,000 EDUCATION 47-3722575 501(C)(3) 10,000 E DUCATION 61-1701005 501(C)(3) 10,000 EDUCATION 52-1122683 501(C)(3) 10,000 EDUCATION 27-4827443 501(C)(3) 10,000 EDUCATION 27-4737588 501(C)(3) 10,000 EDUCATION 13-2912529 501(C)(3) 8,500 EDUCATION DC 20036 52-1870003 501(C)(3) 8,000 EDUCATION WY 82001 26-2828115 501(C)(3) 6,842 EDUCATION 6,000 EDUCATION ( 2 ) CAUSE OF ACTION INSTITUTE 1919 PENNSYLVANIA AVE NW ( 3 ) GEORGIA PUBLIC POLICY FOUNDATION 3200 COBB GALLERIA PARKWAY ( 4 ) CO2 COALITION 1621 N KENT ST ARLINGTON, VA 22209 ( 5 ) INSTITUTE TO REDUCE SPENDING, INC 919 PRINCE STREET ALEXANDRIA, VA 22314 ( 6 ) NATIONAL TAXPAYERS UNION FOUNDATION 108 NORTH ALFRED STREET ( 7 ) SPARK FREEDOM 605 LONG BRANCH ROAD LANCASTER, ( 8 ) TALIESIN NEXUS TN 38569 (A CALIFORNIA PUBLIC BENEFIT 619 SOUTH OLIVE STREET ( 9 ) MANHATTAN INSTITUTE FOR POLICY RESEARCH 52 VANDERBILT AVENUE NEW YORK, NY 10017 ( 10 ) AMERICAN COUNCIL OF TRUSTEES AND ALUMNI 1726 M STREET NW WASHINGTON, ( 11 ) WYOMING LIBERTY GROUP 1902 THOMAS AVENUE CHEYENNE, ( 12 ) AMERICAN SPECTATOR FOUNDATION 933 KENMORE STREET ARLINGTON, 2 3 VA 22201 23-7002632 501(C)(3) Enter total number of section 501(c)(3) and government organizations listed in the line 1 table . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ^ Enter total number of other organizations listed in the line 1 table . . ^ For Paperwork Reduction Act Notice , see the Instructions for Form 990 . Schedule I (Form 990) (2017) JSA 7E1288 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 39 SCHEDULE I (Form 990) Grants and Other Assistance to Organizations, Governments, and Individuals in the United States O MB No 1545-0047 2017 Complete if the organization answered "Yes" on Form 990, Part IV, line 21 or 22. ^ Attach to Form 990. Department of the Treasury Internal Revenue Service ^ Go to www.irs.gov/Form990 for the latest information. Name of the organization CHARLES 111112TRIIIII 1 2 KOCH Employer identification number INSTITUTE 27-4967732 General Information on Grants and Assistance Does the organization maintain records to substantiate the amount of the grants or assistance , the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance ? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E Yes Describe in Part IV the organization ' s procedures for monitoring the use of grant funds in the United States No Grants and Other Assistance to Domestic Organizations and Domestic Governments. Complete if the organization answered "Yes" on Form 990, Part IV, line 21, for any recipient that received more than $5 , 000 Part II can be duplicated if additional space is needed 1 (a) Name and address of organization or government ( b) EIN (c ) IRC section (if applicable ) ( d) Amount of cash grant ( e) Amount of noncash assistance (f) Method of valuation ( book, FMtheV,rappraisal, o (g) Description of noncash assistance (h) Purpose of grant or assistance ( 1 ) LADIES OF LIBERTY ALLIANCE 911 M STREET NW, SUITE A 27-1047673 501(C)(3) 6,000 EDUCATION 20-5178959 501(C)(3) 6,000 E DUCATION 27-2277658 501(C)(3) 6,000 EDUCATION 51-0235174 501(C)(3) 5,920 EDUCATION 38-2926822 501(C)(3) 5,526 EDUCATION 17,667 EDUCATION ( 2 ) NETWORK OF ENLIGHTENED WOMEN 1210 MASSACHUSETTS AVE NW ( 3 ) STUDENT FREE PRESS ASSOCIATION 4771 MECHANIC ROAD HILLSDALE, MI 49242 ( 4 ) LEADERSHIP INSTITUTE 1101 NORTH HIGHLAND STREET ( 5 ) ACTON INSTITUTE 161 OTTAWA AVENUE NW ( 6 ) EMERGENT ORDER, LLC 655 15TH STREET NW, 8TH FLOOR 7 ( 9) ( 10 ) ( 11 ) ( 12 ) 2 3 Enter total number of section 501(c)(3) and government organizations listed in the line 1 table . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ^ Enter total number of other organizations listed in the line 1 table . . ^ For Paperwork Reduction Act Notice , see the Instructions for Form 990 . 41. 1 . Schedule I ( Form 990) (2017) JSA 7E1288 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 40 CHARLES KOCH INSTITUTE 27-4967732 Schedule I (Form 990) (2017) Pag e 2 EMEF-G-rants and Other Assistance to Domestic Individuals . Complete if the organization answered "Yes" on Form 990, Part IV, line 22 Part III can be duplicated if additional space is needed (a) Type of grant or assistance ( b) Number of recipients EDUCATIONAL PROGRAMS (c) Amount of cash grant 405 (d) Amount of non-cash assistance ( e) Method of valuat i on (book, FMV, appraisal , other) - (f) Description of non-cash assistance 422,071 2 3 4 5 6 7 LL1 Supplemental Information . Provide the information required in Part I, line 2, Part III, column (b), and any other additional information SCHEDULE I, PART I, LINE 2 THE ORGANIZATION PROVIDED GRANTS TO THE ABOVE-MENTIONED ENTITIES TO ENABLE INDIVIDUALS WORKING AT (AND SELECTED BY) THE GRANTEES TO ATTEND THE ORGANIZATION'S CLASSROOM EDUCATIONAL PROGRAMS AS STUDENTS. AWARD LETTERS PROHIBIT THE GRANTEE FROM USING THE GRANT FUNDS LOBBYING AND POLITICAL PURPOSES, THE GRANT FOR AND MAY REQUIRE THE GRANTEE TO FURNISH A REPORT TO THE ORGANIZATION DESCRIBING THE CHARITABLE AND EDUCATIONAL ACTIVITIES IN CONNECTION WITH THE ORGANIZATION'S EDUCATIONAL PROGRAMS FULFILLED BY THE USE OF GRANT FUNDS. Schedule I (Form 990 ) (2017) JSA 7 E 1504 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 41 SCHEDULE J (Form 990) Department of the Treasury Internal Revenue Service Name of the organization CHARLES KOCH Compensation Information OMB No 1545-0047 For certain Officers , Directors , Trustees , Key Employees, and Highest Compensated Employees ^ Complete if the organization answered "Yes" on Form 990 , Part IV , line 23. ^ Attach to Form 990. ^ Go to www.irs.gov/Form990 for instructions and the latest information. 20017 Employer identification number INSTITUTE 27-4967732 Questions Regarding Compensation Yes I Ia Check the appropriate box(es) if the organization provided any of the following to or for a person listed on Form 990, Part VII, Section A, line 1 a Complete Part III to provide any relevant information regarding these items First-class or charter travel Housing allowance or residence for personal use Travel for companions Payments for business use of personal residence Tax indemnification and gross-up payments X Health or social club dues or initiation fees Discretionary spending account Personal services (such as, maid, chauffeur, chef) b If any of the boxes on line la are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain ......................................................... Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all 2 1b X 2 X No directors, trustees , and officers, including the CEO/Executive Director, regarding the items checked on line la? ........................................................... Indicate which, if any, of the following the filing organization used to establish the compensation of the organization's CEO/Executive Director Check all that apply Do not check any boxes for methods used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III 3 Compensation committee 4 a b c 5 a b 6 a b 7 8 Written employment contract Independent compensation consultant X Compensation survey or study Form 990 of other organizations X Approval by the board or compensation committee During the year, did any person listed on Form 990, Part VII, Section A, line 1 a, with respect organization or a related organization Receive a severance payment or change-of-control payment? . . . . . . . . . . . . . . . . . . Participate in, or receive payment from, a supplemental nonqualified retirement plan' . . . . . Participate in, or receive payment from, an equity-based compensation arrangement? . . . . . If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each to the filing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . item in Part III Only section 501(c )( 3), 501 ( c)(4), and 501 ( c)(29) organizations must complete lines 5-9. For persons listed on Form 990, Part VII, Section A, line 1 a, did the organization pay or accrue any compensation contingent on the revenues of The organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Any related organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . If "Yes" on line 5a or 5b, describe in Part III For persons listed on Form 990, Part VII, Section A, line la, did the organization pay or accrue any compensation contingent on the net earnings of The organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Any related organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . If "Yes" on line 6a or 6b, describe in Part III For persons listed on Form 990, Part VII, Section A, line la, did the organization provide any nonfixed payments not described on lines 5 and 6? If "Yes," describe in Part III . . . . . . . . . . . . . . . . . . . . . . . . Were any amounts reported on Form 990, Part VII, paid or accrued pursuant to a contract that was subject 4a 4b 4c X X X 5a 5b X X 6a 6b X X 7 X to the initial contract exception described in Regulations section 53 4958-4(a)(3)? If "Yes," describe 9 in Part Ill ......................................... ............... If "Yes" on line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53 4958-6(c)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 X I 9 Schedule J (Form 990) 2017 For Paperwork Reduction Act Notice, see the Instructions for Form 990 . JSA 7E1290 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 42 CHARLES KOCH INSTITUTE 27-4967732 Schedule J (Form 990) 2017 -Pa g e 2 Officers, Directors , Trustees , Key Employees , and Highest Compensated Employees . Use duplicate copies if additional space is needed For each individual whose compensation must be reported on Schedule J, report compensation from the organization on row (I) and from related organizations, described in the instructions, on row (II) Do not list any individuals that aren't listed on Form 990, Part VII Note : The sum of columns (B)(1)-(III) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual (B) Breakdown of W-2 and/or 1099 - MISC compensation (A) Name and Title BRIAN HOOKS 1PRESIDENT WILLIAM RUGER 2VICE PRESIDENT -RESEARCH/POLICY KATEY ROBERTS 3VICE PRESIDENT- CHIEF OF STAFF DEREK JOHNSON 4DIRECTOR -EDUC DEVELOPMENT VIKRANT REDDY SENIOR RESEARCH FELLOW S ADAM SOHN 6VICE PRESIDENT NANCY GRAHAM 7SENIOR DIRECTOR (I) Base compensation ( ii) Bonus & incentive compensation ( C) Retirement and other deferred compensation ( ni) Other reportable compensation (D ) Nontaxable benefits (E) Total of columns ( B)(i^(D) (1) 188,565. 375,000. 0. 16,200. 15,168. (il) 0. 0. 0. 0. 0. 0. (1) 243,813. 85,000. 0. 15,494. 15,168. 359,475. 594,933. (li) 0. 0. 0. 0 . 0. 0. (I) 141,356. 120,000. 0. 16,200. 260. 277,816. (II) 0. 0. 0. 0. 0. 0. 0) 136,789. 115,000. 0. 16,200. 15,168. 283,157. (li) 0. 0. 0. 0. 0. (,) 157,000. 45,000. 0. 8,388. 243. 210,631. (h) 0. 0. 0 0. 0. 0. 0) 263,313. 0. 0. 8,250. 15,168. 286,731. (ii) 0. 0. 0. 0. 0. 0. (i) 215,385. 0. 0. 6,750. 9,088. 231,223. (ii) (I) 0. 0. 0. 8 (ii) 9 (ii) 10 (ii) 11 (ii) 12 (ii) 13 (h) 14 (li) 15 (ii) 16 (H) (F) Compensation in column ( B) reported as deferred on poor Form 990 0. (l) (i) (i) (i) (l) (0 (I) (I) Schedule J (Form 990) 2017 JSA 7E1291 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 43 CHARLES KOCH INSTITUTE 27-4967732 Schedule J (Form 990) 2017 Pa g e 3 FOM Supplemental Information Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II Also complete this part for any additional information SCHEDULE J, PART I, THE ORGANIZATION LINE 1A PAID $52 PER MONTH IN SOCIAL CLUB DUES FOR AN EMPLOYEE SO THE ORGANIZATION COULD USE THE CLUB FOR EVENTS. THE DUES WERE NOT TREATED AS TAXABLE COMPENSATION BECAUSE THE CLUB IS USED EXCLUSIVELY BY THE ORGANIZATION SCHEDULE J, FOR EVENTS, PART I, AND THE EMPLOYEE DOES NOT USE THE CLUB. LINE 7 INCENTIVE COMPENSATION IS BASED ON EXTRAORDINARY EFFORTS AND SERVICES PROVIDED TO THE ORGANIZATION, NOT BASED ON FINANCIAL RESULTS OF THE INSTITUTE. IM Schedule J (Form 990) 2017 JSA 7E1505 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 44 SCHEDUL E L OMB No 1545-0047 Transactions With Interested Persons I 2017 (Form 990 or 990-EZ)l ^ Complete if the organization answered "Yes" on Form 990, Part IV, line 25a, 25b, 26 , 27, 28a, 28b, or 28c, or Form 990-EZ , Part V , line 38a or 40b. ^ Attach to Form 990 or Form 990-EZ. Department of the Treasury Internal Revenue Service ^ Go to www.irs.gov/Form990 for instructions and the latest information. Employer identification number Name of the organization CHARLES 17Mit KOCH Excess Benefit Transactions (section 501(c)(3), section 501(c)(4), and 501(c)(29) organizations only) Complete if the orqanization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b (a) Name of disqualified person I 27-4967732 INSTITUTE Idlca,'va, (b) Relationship between disqualified person and organization (c) Description of transaction Yes No (1) ( 2) (3) (4) (5) (6) 2 3 Enter the amount of tax incurred by the organization managers or disqualified persons during the year under section 4958 . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ^ $ Enter the amount of tax, if any, on line 2, above, reimbursed by the organization . . . . . . . . . . . . . . . ^ $ lj^ Loans to and/or From Interested Persons. Complete if the organization answered "Yes" on Form 990-EZ, Part V, line 38a or Form 990, Part IV, line 26, or if the organization reported an amount on Form 990, Part X, line 5, 6, or 22 (a) Name of interested person ( b) Relat i onship with organization (c) Purpose of loan (d) Loan to or from the organization? To (f) Balance due (e) Original principal amount (g ) In default's (h) Approved (I) Written by board or agreement'' committee Yes From No Yes No Yes No (1) (2) (3) (4) (5) (6) (7) (8) (9) (10) Total . ^ $ Grants or Assistance Benefiting Interested Persons. Complete if the oroanlzatlon answered "Yes" on Form 990, Part IV, line 27 (a) Name of interested person ( b) Relationship between interested person and the organization (c) Amount of assistance ( d) Type of assistance ( e) Purpose of assistance (1) ( 2) (3) (4) (5) (6) (7) (8) (9) (10) For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Schedule L (Form 990 or 990-EZ) 2017 JSA 7E1297 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 45 27-4967732 CHARLES KOCH INSTITUTE Schedule L (Form 990 or 990 -EZ) 2017 Page 2 Business Transactions Involving Interested Persons. Complete if the organization answered "Yes" on Form 990, Part IV, line 28a, 28b, or 28c (a) Name of interested person ( b) Relationship between interested person and the organization ( c) Amount of transaction ( d) Description of transaction (e) Sharing of organization's revenues' Yes SEE SCHEDULE L, 1 No PART V ( 2) ( 3) (4) ( 5) ( 6) ( 7) ( 8) ( 9) ( 10 ) j jj Supplemental Information Provide additional information for responses to questions on Schedule L (see instructions) SCHEDULE L, PART IV LINE 1 A. 1888 MANAGEMENT LLC B. CHARLES G. KOCH IS A DIRECTOR OF CKI AND 1888 MANAGEMENT LLC IS A 35% CONTROLLED ENTITY. C. $116,248 D. INVESTMENT MANAGEMENT E. NO FEES LINE 2 A. ARCH PROPERTIES COMPANY B. CHARLES G. KOCH IS A DIRECTOR OF CKI AND ARCH PROPERTIES COMPANY IS A 35% CONTROLLED ENTITY. C. $2,259,336 D. OFFICE SPACE RENTAL E. NO (AT COST) Schedule L (Form 990 or 990-EZ) 2017 SSA 7 E 1507 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 46 SCHEDULE 0 I Supplemental Information to Form 990 or 990-EZ OMB No 1545-0047 Complete to provide information for responses to specific questions on Form 990 or 990 - EZ or to provide any additional information. 2017 (Form 990 or 990-EZ) I ^ Attach to Form 990 or 990-EZ. Department of the Treasury Information about Schedule 0 (Form 990 or 990-EZ) and its instructions is at www.,rs.gov/form990 Internal Revenue Service Name of the organization CHAR LES KOCH FORM 990, Employer identification number INSTITUT E PART I, LINE 27-4967732 1 ADVANCE THESE PRINCIPLES, CHALLENGE CONVENTION, AND ELIMINATE BARRIERS THAT STIFLE CREATIVITY AND PROGRESS. FORM 990, PART III, LINE 1 INSPIRED BY A RECOGNITION THAT FREE PEOPLE ARE CAPABLE OF EXTRAORDINARY THINGS, THE CHARLES KOCH INSTITUTE SUPPORTS EDUCATIONAL PROGRAMS AND DIALOGUE TO ADVANCE THESE PRINCIPLES, CHALLENGE CONVENTION, AND ELIMINATE BARRIERS THAT STIFLE CREATIVITY AND PROGRESS. FORM 990, CHARLES G. PART VI, KOCH, RELATIONSHIP. SECTION A, LINE 2 ELIZABETH B. KOCH AND CHARLES CHASE KOCH HAVE A FAMILY VARIOUS OFFICERS AND DIRECTORS HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 8B THERE ARE NO SUCH COMMITTEES. FORM 990, PART VI, SECTION B, A COPY OF THE INSTITUTE'S INSTITUTE'S LEGAL COUNSEL, LINE 11B FORM 990 WAS SENT TO AND REVIEWED BY THE TREASURER, AND SECRETARY. IF TIME ALLOWS, THE FORM 990 AND ALL REQUIRED SCHEDULES WILL BE PROVIDED TO THE BOARD OF DIRECTORS PRIOR TO FILING. For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. JSA 7 E 122E 112a0O1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 Schedule 0 (Form 990 or 990-EZ) (2017) PAGE 47 Schedule 0 ( Form 990 or 990 - EZ) 2017 Page 2 Name of the organization CHARLES KOCH FORM 990, Employer identification number PART VI, IN SUMMARY, 27-4967732 INSTITUTE SECTION B, LINE 12C THE INSTITUTE'S CONFLICT OF INTEREST POLICY COVERS TRANSACTIONS WHERE INTERESTED PERSONS (I.E., PROPOSED BOARD MEMBERS AND OFFICERS) MAY HAVE A FINANCIAL INTEREST IN A TRANSACTION BEING CONSIDERED BY THE BOARD OF DIRECTORS OR A COMMITTEE THEREOF. THE BOARD OR COMMITTEE THEREOF HAS VARIOUS OPTIONS TO ADDRESS THE PROPOSED TRANSACTION AND WHETHER IT PRESENTS A CONFLICT OF INTEREST, TRANSACTION, WHETHER TO APPOINT A DISINTERESTED PERSON(S) EVALUATE THE TRANSACTION, FORM 990, INCLUDING EVALUATING THE FAIRNESS OF THE PART VI, CONSULTING LEGAL COUNSEL, SECTION B, OR COMMITTEE TO ETC. LINE 15A THE PRESIDENT'S COMPENSATION WAS DETERMINED AND APPROVED BY THE BOARD OF DIRECTORS BASED ON COMPARABLE AMOUNTS PAID BY COMPARABLE ORGANIZATIONS FOR COMPARABLE SERVICES. FORM 990, PART VI, SECTION B, LINE 15B WITH RESPECT TO COMPENSATION FOR THE ORGANIZATION'S OFFICERS, THE PRESIDENT, THE PRESIDENT AND HUMAN RESOURCES OTHER THAN DIRECTOR RECENTLY DETERMINED THE COMPENSATION LEVELS AND THOSE INDIVIDUALS WERE COMPENSATED BASED ON COMPARABLE AMOUNTS PAID BY COMPARABLE ORGANIZATIONS COMPARABLE SERVICES. FOR ALL COMPENSATION AMOUNTS ARE PROVIDED TO AND REVEIWED BY THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION C, LINE 19 THE INSTITUTE MAKES DOCUMENTS AVAILABLE IN ACCORDANCE WITH IRS RULES. FORM 990, PART XI, PARTNERSHIP LINE 9 INCOME $(2,047,187) Schedule 0 (Form 990 or 990-EZ) 2017 JSA 7E1228 1 000 5425DW K922 r 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 48 Schedule 0 ( Form 990 or 990-EZ ) 2017 Page 2 Employer identification number Name of the organization CHARLES KOCH 27-4967 732 INSTITUTE REASONS FOR AMENDING FORM 990 PART VII, LINE 15 WAS AMENDED TO ACCURATELY REFLECT THE CORRECT EMPLOYEE'S NAME. ATTACHMENT 990, PART VII- COMPENSATION OF THE FIVE HIGHEST PAID IND. NAME AND ADDRESS 1 CONTRACTORS DESCRIPTION OF SERVICES COMPENSATION 1888 MANAGEMENT LLC PO BOX 5004 WICHITA, KS 67201-5004 INVESTMENT MGMT 116,248. JFS PRODUCTIONS, INC. 250 W 57TH STREET SUITE 415 NEW YORK, NY 10107 CONSULTING 500,065. CAUSEUMENTARY INC MEDIA 181,379. CORNERSTONE OFFICE SYSTEMS 5609-J SANDY LEWIS DRIVE FAIRFAX, VA 22032 EQUIPMENT LEASE 123,158. SALESFORCE.ORG DEPARTMENT #34293, PO BOX 39000 SAN FRANSICO, CA 94139 DATABASE SERVICES 111,623. 655 15TH STREET, NW, WASHINGTON, DC 20005 8TH FLOOR r Schedule 0 (Form 990 or 990 - EZ) 2017 SSA 7 E 1228 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 49 CHARLES KOCH INSTITUTE 27-4967732 Schedule R (Form 990) 2017 . Page 2 Identification of Related Organizations Taxable as a Partnership . Complete if the organization answered "Yes" on Form 990, Part IV, line 34, because it had one or more related orcianlzatlons treated as a oartnershiD dunna the tax year (a) Name , address , and EIN of related organization (b) Primary activity (c) Legal domicile (d ) Direct controlling entity (state or foreign country) ( e) Predominant income ( related , cd exclluudeeddfr from tax under sections 512 - 514) (f) Share of total income (g) Share of end-ofyear assets (h ) M.,"W-W (1) Code V - UBI amount in box 20 of Schedule K-1 U) General or manag i ng pannen (k) Percentage ownership ( Form 1065) Yes No Yes No 1 ( 2) ( 3) ( 4) ( 5) ( 6) ( 7) Identification of Related Oraanizations Taxable as a Corporation or Trust _ Cmmnl ete if the nrnanl7attnn answererr " Yes" line 34, because it had one or more related organizations treated as a corporation or trust durina the tax year ( a) Name , address, and EIN of related organization (b) Primary activity (c) Legal dom i cile (state or foreign country) (d) Direct controlling entity (e) Type of entity (C Corp, S corp , or trust) on Fnrm 99n Part ft/ (f) Share of total income (g) Share of end-of-year assets (h) (4 Percentage Section 512(b)(13; ownership controlled entit Y es No 1 MBM CENTER, INC 81-4065996 1320 NORTH COURTHOUSE RD SUITE 500 ARLINGTON, VA 22201 CONSULTING DE CKI C CORP 266,642 169,163 100 0000, X ( 2) ( 3) ( 4) ( 5) ( 6) ( 7) JSA 7 E 1308 1 000 5425DW K922 Schedule R (Form 990) 2017 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 51 CHARLES KOCH INSTITUTE 27-4967732 Schedule R (Form 990 ) 2017 Page 3 Transactions With Related Organizations . Complete if the organization answered "Yes" on Form 990, Part IV , line 34 , 35b, or 36 Yes No Note : Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule 1 During the tax year, did the organization engage in any of the following transactions with one Receipt of ( i) interest , ( ii) annuities , ( iii) royalties , or (iv) rent from a controlled entity . .. . . . b Gift, grant , or capital contribution to related organization ( s) . . . . . . . . . . . . . . . . . . . c Gift, grant , or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . d Loans or loan guarantees to or for related organization ( s) . . . . . . . . . . . . . . . . . . . . e Loans or loan guarantees by related organization ( s) . . . . . . . . . . . . . . . . . . . . . . . a or more related organizations listed in Parts ll-IV? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . la lb 1c . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1d 1e X X if X 1 1h X X 1i 1- X I X X X I f Dividends from related organization ( s) . . . . . . . . . . . . . . . . . . . g Sale of assets to related organization ( s) . . . . . . . . . . . . . . . . . . h Purchase of assets from related organization(s) . . . . . . . . . . . . .. i Exchange of assets with related organization (s) . . . . . . . . . . . . . . j Lease of facilities , equipment , or other assets to related organization ( s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . k Lease of facilities , equipment , or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1k I Performance of services or membership or fundraising solicitations for related organization (s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 X X X m Performance of services or membership or fundraising solicitations by related organization ( s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . n Sharing of facilities , equipment , mailing lists, or other assets with related organization ( s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1m 1n X o Sharing of paid employees with related organization ( s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 X p Reimbursement paid to related organization ( s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . q Reimbursement paid by related organization ( s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1 X X 1r X _J r Other transfer of cash or property to related organization ( s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . s Other transfer of cash or p ro p ert y from related org anization ( s ). 1s if the answer to any of the above is "Yes," see the instructions for information on who must complete t his line, including covered relationships and transaction thresholds 2 (a) Name of related organization (1) MBM CENTER, (b) Transaction type (a-s) INC. B - (c) Amount involved X (d) Method of determining amount involved 200,000. FMV (2) (3) (4) (5) (6) Schedule R (Form 990) 2017 JSA 7E 1309 2 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 52 CHARLES KOCH INSTITUTE 27-4967732 Schedule R ( Form 990 ) 2017 Pag e 4 Unrelated Organizations Taxable as a Partnership . Complete if the organization answered "Yes" on Form 990, Part IV, line 37 1 Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization See instructions regarding exclusion for certain investment partnerships (a) Name , address , and EIN of entity (b) Primary activity (d) ( e) (9) (h) (r) 0) Legal domicile Predominant Are all partners Share of Share of Disproporlronate Code V - UBI General or (state or foreign income (related , section total income end-of-year allocatom' amount in box20 managing country) unrelated , excluded 501 ( c)(3) of Schedule K - 1 partner's from tax under organizations? (c) sections 512 -514) Yes (f) No assets (k) Percentage ownership ( Form 1065) Yes No Yes U No 1 r ( 2) ( 3) (4) ( 5) ( 6) ( 7) ( 8) ( 9) ( 10 ) 11 ( 12 ) ( 13 ) ( 14 ) ( 15 ) ( 16 ) JSA Schedule R (Form 990) 2017 e 7E1310 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 53 u CHARLES KOCH INSTITUTE 27-4967732 Schedule R (Form 990) 2017 Page 5 Supplemental Information Provide additional information for responses to questions on Schedule R See instructions Schedule R (Form 990) 2017 7E1510 1 000 5425DW K922 1/15/2019 1:29:11 PM V 17-7.10 094135 PAGE 54