0MB No. 1545-0047 

Form Return of Organization Exempt From Income Tax

Under section 501{c), 527, or 4947{a)(1) of the Internal RevenueCode {except private foundations) 

► Do not enter social security numbers on this form as it may be made public. Depru1mentof the Treasury 

Internal Revenue Service ► Go to www.irs.gov/Form990for instructions and the latest information. 

A For the 2019 calendar year, or tax year beginning 10/01 , 2019, and ending 09/30 , 20 20 

B Check if applicable; C Name of organization SMITHSONIAN INSTITUTION D Employer identification number 

Doing business as 53-0206027 

0 Name change 

0 Address change 

Number and street (or P.O. box ifmail is not delivered to street address) IRoom/suite E Telephone number 

D Initial return 1000 JEFFERSON DRIVE S W (202) 633-1000 

0 Final return/terminated City or town, state or province, country, and ZIP orforeign postal code 

0 Amended return WASHINGTON, DC 20560 G Gross receipts$ 2,139,722,840 

D Application pending F Name and address of principal officer: LONNIE G. BUNCH Ill H(a} Is thisagroupreturnforsubordinates?D Yes f21No 

SAME AS C ABOVE H(b) Are all subordinates included? 0 Yes O No 

If "No," attach a list (see instructions) 

J Website: ► WWW.SI.EDU 

I Tax,exernpt status: @501(c)(3) O501(c)( )◄ (insert no.) 0 4947(a)(1)or D 527 

H(c} Group exemption number ► 

K Formof organization:0 Corporation @ Trust D Association O Other ► I L Year of formation: 1846 M State of legal domicile: 

Summary 

1 Briefly describe the organization's mission or most significant activities: "INCREASE AND DIFFUSION OF KNOWLEDGE" 

2s IS THEMISSION SETFORTH BYJAMES SMITHSON. C 

ro 

E 

Q) 2 Check this box ► D if the organization discontinued its operations or disposed of more than 25% of its net assets. >

0 3 Number of voting members of the governing body (Part VI, line 1a) . 3 17 C, 

00 4 Number of independent voting members of the governing body (Part VI, line 1b) 4 17 (I) 

ID 5 Total number of individuals employed in calendar year 2019 (Part V, line 2a) 5 7;219 

~ .6 Total number of volunteers {estimate if necessary) 6 36,774 J 7a Total unrelated business revenue from Part VIII, column (C), line 12 7a 10,909,825 

b Net unrelated business taxable income from Form 990-T, line 39 7b 0 

Prior Year Current Year 

ID 8 Contributions and grants (Part VIII, line 1h) . 1,292,933,360 1,308,610,079 

C = 9 Program service revenue (Part VIII, line 2g) 102, 158,984 70,900,273

~ Q) 10 Investment income (Part VIII, column (A}, lines 3, 4, and ?d) 145,117,341 138,930,823 a: 11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) . 60,914,541 43,158,810 

12 Total revenue-add lines 8 through i 1 (must equal Part VIII,column (A), line 12) 1,601,124,226 1,561,599,985 

13 Grants and similar amounts paid (Part IX, column (A), lines 1-3) . 19,838,829 15,999,050 

14 Benefits paid to or for members (Part IX, column (A), line 4) . . . . . • 

th 15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-1 0) 720,516,048 740,009,927 Q) 

fl) 16a Professional fundraising fees (Part IX, column (A), line 11e) 2,163,545 2,351,761 C 

(U 

Q. b Total fundraising expenses (Part IX, column (D), line 25) ► 38,189,281 \?</ :'> ,,c:'>f/i'"' '> ••

Jj 17 Other expenses (Part IX, column (A), lines 11 a-11 d, 1i f-24e) 675,509,990 635,654,155 

18 Total expenses. Add lines 13-17 (must equal Part IX, column (A), line 25) 1.418,028,412 1,394,014,893 

19 Revenue less expenses. Subtract line 18 from line 12 183,095,814 167,585,092 

._ti> 

0 Beginningof Current Year End of Year (1) 

~.~ 20 Total assets (Part X, line 16) 5,420,805,051 6,053,364,633 !i 

...,"C 21 Total liabilities (Part X, line 26) 1,086,522,866 1,416,385,130 (1)1: Zil: 22 Net assets or fund balances. Subtract line 21 from line 20 4,334,282,185 4,636,979,503 

Signature Block 

Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best ofmy knowledge and belief, it is 

true, correct, and complete. Declaration 01preparer (other than officer) is based on all information of which preparer hasany knowledge. 

Sign 

Here ~ JANICE LAMBERT, CHIEF FINANCIAL OFFICER 

, Type or print name and title 

Print/Type preparer's name Paid 

Preparer RAYMONDLY 

Use Only Firm's name ► KPMG LLP 

Firm'saddress ► 8350 BROAD ST., MCLEAN, VA22102 

Date Check □ if PTlN 

8-4-2021 self-employed P01205643 

Firm'sEIN ► 13-5565207 

Phone no. 703 286-8000 

May the IRS discuss this return with the preparer shown above? (see instructions) @YesONo 

For Paperwork Reduction Act Notice, see the separate instructions. Cat. No. 11282Y Form 990 (2019) 

Smithsonian Institution 

53-0206027 

PUBLIC DISCLOSURE COPY
0MB No. 1545-0047 

Form Return of Organization Exempt From Income Tax

Under section 501{c), 527, or 4947{a)(1) of the Internal RevenueCode {except private foundations) 

► Do not enter social security numbers on this form as it may be made public. Depru1mentof the Treasury 

Internal Revenue Service ► Go to www.irs.gov/Form990for instructions and the latest information. 

A For the 2019 calendar year, or tax year beginning 10/01 , 2019, and ending 09/30 , 20 20 

B Check if applicable; C Name of organization SMITHSONIAN INSTITUTION D Employer identification number 

Doing business as 53-0206027 

0 Name change 

0 Address change 

Number and street (or P.O. box ifmail is not delivered to street address) IRoom/suite E Telephone number 

D Initial return 1000 JEFFERSON DRIVE S W (202) 633-1000 

0 Final return/terminated City or town, state or province, country, and ZIP orforeign postal code 

0 Amended return WASHINGTON, DC 20560 G Gross receipts$ 2,139,722,840 

D Application pending F Name and address of principal officer: LONNIE G. BUNCH Ill H(a} Is thisagroupreturnforsubordinates?D Yes f21No 

SAME AS C ABOVE H(b) Are all subordinates included? 0 Yes O No 

If "No," attach a list (see instructions) 

J Website: ► WWW.SI.EDU 

I Tax,exernpt status: @501(c)(3) O501(c)( )◄ (insert no.) 0 4947(a)(1)or D 527 

H(c} Group exemption number ► 

K Formof organization:0 Corporation @ Trust D Association O Other ► I L Year of formation: 1846 M State of legal domicile: 

Summary 

1 Briefly describe the organization's mission or most significant activities: "INCREASE AND DIFFUSION OF KNOWLEDGE" 

2s IS THEMISSION SETFORTH BYJAMES SMITHSON. C 

ro 

E 

Q) 2 Check this box ► D if the organization discontinued its operations or disposed of more than 25% of its net assets. >

0 3 Number of voting members of the governing body (Part VI, line 1a) . 3 17 C, 

00 4 Number of independent voting members of the governing body (Part VI, line 1b) 4 17 (I) 

ID 5 Total number of individuals employed in calendar year 2019 (Part V, line 2a) 5 7;219 

~ .6 Total number of volunteers {estimate if necessary) 6 36,774 J 7a Total unrelated business revenue from Part VIII, column (C), line 12 7a 10,909,825 

b Net unrelated business taxable income from Form 990-T, line 39 7b 0 

Prior Year Current Year 

ID 8 Contributions and grants (Part VIII, line 1h) . 1,292,933,360 1,308,610,079 

C = 9 Program service revenue (Part VIII, line 2g) 102, 158,984 70,900,273

~ Q) 10 Investment income (Part VIII, column (A}, lines 3, 4, and ?d) 145,117,341 138,930,823 a: 11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) . 60,914,541 43,158,810 

12 Total revenue-add lines 8 through i 1 (must equal Part VIII,column (A), line 12) 1,601,124,226 1,561,599,985 

13 Grants and similar amounts paid (Part IX, column (A), lines 1-3) . 19,838,829 15,999,050 

14 Benefits paid to or for members (Part IX, column (A), line 4) . . . . . • 

th 15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-1 0) 720,516,048 740,009,927 Q) 

fl) 16a Professional fundraising fees (Part IX, column (A), line 11e) 2,163,545 2,351,761 C 

(U 

Q. b Total fundraising expenses (Part IX, column (D), line 25) ► 38,189,281 \?</ :'> ,,c:'>f/i'"' '> ••

Jj 17 Other expenses (Part IX, column (A), lines 11 a-11 d, 1i f-24e) 675,509,990 635,654,155 

18 Total expenses. Add lines 13-17 (must equal Part IX, column (A), line 25) 1.418,028,412 1,394,014,893 

19 Revenue less expenses. Subtract line 18 from line 12 183,095,814 167,585,092 

._ti> 

0 Beginningof Current Year End of Year (1) 

~.~ 20 Total assets (Part X, line 16) 5,420,805,051 6,053,364,633 !i 

...,"C 21 Total liabilities (Part X, line 26) 1,086,522,866 1,416,385,130 (1)1: Zil: 22 Net assets or fund balances. Subtract line 21 from line 20 4,334,282,185 4,636,979,503 

Signature Block 

Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best ofmy knowledge and belief, it is 

true, correct, and complete. Declaration 01preparer (other than officer) is based on all information of which preparer hasany knowledge. 

Sign 

Here ~ JANICE LAMBERT, CHIEF FINANCIAL OFFICER 

, Type or print name and title 

Print/Type preparer's name Paid 

Preparer RAYMONDLY 

Use Only Firm's name ► KPMG LLP 

Firm'saddress ► 8350 BROAD ST., MCLEAN, VA22102 

Date Check □ if PTlN 

8-4-2021 self-employed P01205643 

Firm'sEIN ► 13-5565207 

Phone no. 703 286-8000 

May the IRS discuss this return with the preparer shown above? (see instructions) @YesONo 

For Paperwork Reduction Act Notice, see the separate instructions. Cat. No. 11282Y Form 990 (2019) 

Smithsonian Institution 

53-0206027 
0MB No. 1545-0047 

Form 

Exempt Organization Declaration and Signature for 53-EO Electronic Filing 

For calendar year 2019, or tax year beginning _____}_~~g_t, ____ 2019, and ending _____ .Q~!~Q, ______ 20 __20 __ 

Department of the Treasury For use with Forms 990, 990-EZ, 990-PF, 1120-POL., and 8868 Internal Revenue Service 

Nameof exempt organization Employer identification number 

SMITHSONIAN INSTITUTION 53~0206027 

Type of Return and Return Information (Whole Dollars Only) 

Check the box for the type of return being filed with Form 8453-EO and enter the applicable amount, if any, from the return. If you 

check the box on line 1a, 2a, 3a, 4a, or Sa below and the amount on that line of the return being filed with this form was blank, then 

leave line 1 bf 2b, 3b, 4b, or 5b, whichever is applicable, blank (do not enter -0-). If you entered -0- on the return, then enter -0- on the 

applicable line below. Do not complete more than one line in Part l. 

1a Form 990 check here ► 0 b Total revenue, ifany (Form 990, Part VIII, column (A),line 12} . 1b 1,561,599,985 

2a Form 990-EZ check here ► 0 b Total revenue, if any (Form 990~EZ, line 9) . . . . . . 2b _____ _ 

3a Form 1120~POL check here ► 0 b Total tax (Form 1120-POL, line 22) . . . . . . . . . 3b _____ _ 

4a Form 990-PF check here ► 0 b Tax based on investment income (Form 990-PF, Part VI, line 5) . 4b _____ _ 

5a Form 8868 check here ► 0 b Balance due (Form 8868, line 3c) . . . . . . . , • . . 5b _____ _ 

Deolaration of Officer 

6 0 I authorize the U.S. Treasury and its designated Financial Agent to initiate an Automated Clearing House (ACH) electronic funds 

withdrawal (direct debit) entry to the financial institution account indicated in the tax preparation software for payment of the 

organization's federal taxes owed on this return, and the financial institution to debit the entry to this account. To revoke a payment, 

I must contact the U.S. Treasury Financial Agent at i --888-353-4537 no later than 2 business days prior to the payment (settlement) 

date. I also authorize the financial institutions Involved in the processing of the electronic payment of taxes to receive confidential 

information necessary to answer inquiries and resolve issues related to the payment. 

O If a copy of this return is being filed with a state agency(ies) regulating charities as part of the IRS Fed/State program, I certify that I 

executed the electronic disclosure consent contained within this return allowing disclosure by the IRS of this Form 990/990-EZ/ 

990-PF (as specifically identified in Part I above) to the selected state agency{ies). 

Under penalties of perjury, I declare that I am an officer of the above named organization and that I have examined a copy of the 

organization's 2019 electronic return and accompanying schedules and statements, and, to the best of my knowledge and belief, they are 

true, correct, and complete. I further declare th!3t the amount in Part I above is the amount shown on the copy of the organization's electronic 

return. I consent to allow my intermediate service provider, transmitter, or electronic return originator (ERO)to send the organization's return 

to the IRS and to receive from the IRS (a} an acknowledgement of receipt or reason for rejection of the transmission, (b) the reason for any 

delay in processing the return or refund, and (c) the date of any refund. 

CHIEF FINANCIAL OFFICER 

Here Sign ure of officer Dafe • Title Sign r1.1Lld-:Lv«J.a~+ Iiq/{t/uzt ► 

Declaration of Electronic Return Originator {ERO} and Paid Preparer (see instructions) 

I declare that I have reviewed the above organization's return and that the entries on Form 8453-EO are complete and correct to the best of 

my knowledge. If I amonly a collector, I am not responsible for reviewing the return and only declare that this form accurately reflects the data 

on the return. The organization officer will have signed this form before I submit the return. I will give the officer a copy of all forms and 

information to be filed with the IRS, and have followed all other requirements in Pub. 4163, Modernized e-File (MeF) Information for Authorized 

IRS e-flle Providers for Business Returns. If I am also the Paid Preparer, under penalties of perjury I declare that I have examined the above 

organization's return and accompanying schedules and statements, and, to the best of my knowledge and belief, they are true, correct, and 

complete. This Paid Preparer declaration is based on all information of which I have any knowledge. 

► ~ ERO's SSN orPTIN

~ ~~□ ~~ff

ERO's_si_gn_a_tu_re______________ ....._ ______ ....,_P_re_p_ar_e_r --'----~-'-------------

Use Firm'sname (or ► yoursifself-employed), -------------------------------------- Only address,and ZIP code 

Under penalties of perjury, I declare that I have examined the above return and accompanying schedules and statements, and, to the best of my knowledge 

and belief, they are true, correct, and complete. Declaration of prepareris based on all information of which the preparer has any knowledge. 

Use Only 

Print/Type preparer's name 

RAYMOND LY 

Firm's name ► KPMG LLP 

Firm'saddress ► 8350 BROADST., MCLEAN, VA 22102 

Date 

8-4-2021 

Check if 

self- D 

employed 

PTIN 

P01205643 

Firm's EIN ► 13-5565207 

Phone no. (703) 286-8000 

For Privacy Act and Paperwork Reduction Act Notice, see back of form. Cat. No. 36606Q Form8453-EO (2019) 
________________________________________________________________________

.0 

1 

Form 990 (2019) Page2 

Statement of Program Service Accomplishments 

Check if Schedule O contains a response or note to any line in this Part Ill 

Briefly describe the organization's mission: 

"INCREASE AND DIFFUSION OF KNOWLEDGE" IS THE MISSION SET FORTH BY JAMES SMITHSON. THE SMITHSONIAN 

_ENDEAVORS TO SHAPE THE_FUTURE BY PRESERVING OUR HERITAGE, DISCOVERING_NEW KNOWLEDGE, AND SHARING_OUR ______ 

RESOURCESWITH THE WORLD. 

2 Did the organization undertake any significant program services during the year which were not listed on the 

prior Form 990 or 990-EZ? . . . . . . . . . . . . . . . . . . . . . . . . . . . D Yes 0 No 

If "Yes," describe these new services on Schedule 0. 

3 Did the organization cease conducting, or make significant changes in how it conducts, any program 

services? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D Yes 0 No 

If "Yes," describe these changes on Schedule 0. 

4 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: _) (Expenses $ ______________ -------~~Q'..~?_?~?Q~_ including grants of $ --------------~-~~.!~~!..) (Revenue$ __________ 24,493,545)

_EDUCATION, PUBLIC PROGRAMS AND EXHIBITIONS _(SEE SCHEDULE O) _ 

(CONTINUED ON SCHEDULE 0) 

4b (Code: _) (Expenses $ ______________ ______ 428,883,929 including grants of $ __________ (Revenue$ 15,459,183) __________ 29,215,400) 

RESEARCH AND COLLECTIONS 

(CONTINUED ON SCHEDULE 0) 

4c (Code: _________________. ________71,317,537_including grants of $ _______________________ __) (Revenue$ __________ 45,591,417) 

MEMBERSHIP 

(CONTINUED ON SCHEDULE 0) 

4d Other program services (Describe on Schedule 0.) 

(Expenses $ including grants of$ ) (Revenue$ 

4e Total program service expenses ► 980,263,675 

Form 990 (2019) 

Smithsonian Institution 2 8/4/2021 1 :49:57 PM 

53-0206027 
Form 990 (2019) Page3

---,,-,---,,-~-~,-----,,--...,,...,~,---,--~---------------------------- Check Iist of Required Schedules 

No 

1 Is the organization described in section 501 (c)(3) or 4947(a){1) (other than a private foundation)? If "Yes," 

complete Schedule A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

Yes 

1 v'

2 Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? 2 v'

3 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 . . . . . . . . . . . 3 v'

4 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? If "Yes," complete Schedule C, Part II . . . . . . . . . . . 4 v'

5 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, Part Ill 5 v'

6 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 . . . . . . . . . . . . . . . . . . . . . . . . 6 v'

7 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, 11 complete Schedule D, Part II 7 ....

8 Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes," 

complete Schedule D, Part Ill . . . . . . . . . . . . . . . . . . . . . . . . . . 8 ....

9 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 . . . . . . . . . . . . . . 9 ....

10 Did the organization, directly or through a related organization, hold assets in donor-restricted endowments 

or in quasi endowments? If "Yes," complete Schedule D, Part V . . . . . . . . . . . . . . . 10 ....

11 If the organization's answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, 

VII, VIII, IX, or X as applicable. 

a Did the organization report an amount for land, buildings, and equipment in Part X, line 1 0? If "Yes," 

complete Schedule D, Part VI . . . . . . . . . . . . . . . . . . . . . . . . . . 11a ....

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 . . . . . . . . 11b v'

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 . . . . . . . . 11c ....

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 . . . . . . . . . . . . . . 11d .... e Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part X 11e ....

f 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 7 40)? If "Yes," complete Schedule D, Part X 11f ....

12a Did the organization obtain separate, independent audited financial statements for the tax year? If "Yes," complete 

Schedule D, Parts XI and XII . . . . . . . . . . . . . . . . . . . . . . . . . . . 12a v'

b Was the organization included in consolidated, independent audited financial statements for the tax year? If 

"Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional 12b .... 13 Is the organization a school described in section 170(b)(1)(A)(ii)?If "Yes," complete Schedule E . . . . 13 .... 14a Did the organization maintain an office, employees, or agents outside of the United States? 14a ....

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 I and IV. . . . . 14b ....

15 Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or 

for any foreign organization? If "Yes," complete Schedule F, Parts II and IV . . . . . . . . . . . 15 ....

16 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 Ill and IV. . . . . . . . 16 ....

17 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 11 e? If "Yes," complete Schedule G, Part I (see instructions) . . . . . 17 ....

18 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 II . . . . . . . . . . . . . . . 18 v'

19 Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? 

If "Yes," complete Schedule G, Part Ill . . . . . . . . . . . . . . . . . . . . 19 .... 20a Did the organization operate one or more hospital facilities? If "Yes, 20a .... 11 complete Schedule H . . . . . . 

b If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return? 20b 

21 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 I, Parts I and II . . . . 21 .... Form 990 (2019) 

Smithsonian Institution 3 8/4/2021 1:49:57 PM 

53-0206027 
------------------------------------------- Form 990 (2019) 

Check Iist of Required Schedules (continued) 

22 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 I, Parts I and Ill . . . . . . . . . . . . 

23 Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the 

organization's current and former officers, directors, trustees, key employees, and highest compensated 

employees? If "Yes," complete Schedule J . . . . . . . . . . . . . . . . . . . . . . 

24a 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 Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? . . 

c Did the organization maintain an escrow account other than a refunding escrow at any time during the year 

to defease any tax-exempt bonds? . . . . . . . . . . . . . . . . . . 

d Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year? . . 

25a 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? If "Yes," complete Schedule L, Part I . . . . . 

b Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior 

year, and that the transaction has not been reported on any of the organization's prior Forms 990 or 990-EZ? 

If "Yes," complete Schedule L, Part I . . . . . . . . . . . . . . . . . . . . . . . . 

26 Did the organization report any amount on Part X, line 5 or 22, for receivables from or payables to any current 

or former officer, director, trustee, key employee, creator or founder, substantial contributor, or 35% 

controlled entity or family member of any of these persons? If "Yes," complete Schedule L, Part II 

27 Did the organization provide a grant or other assistance to any current or former officer, director, trustee, key 

employee, creator or founder, substantial contributor or employee thereof, a grant selection committee 

member, or to a 35% controlled entity (including an employee thereof) or family member of any of these 

persons? If "Yes," complete Schedule L, Part /II . . . . . . . . . . . . . . . . . . . . 

28 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 A current or former officer, director, trustee, key employee, creator or founder, or substantial contributor? If 

"Yes," complete Schedule L, Part IV . . . . . . . . . . . . . . . . . . . . . . . . 

b A family member of any individual described in line 28a? If "Yes," complete Schedule L, Part IV . . . . 

c A 35% controlled entity of one or more individuals and/or organizations described in lines 28a or 28b? If 

"Yes," complete Schedule L, Part IV . . . . . . . . . . . . . . . . . . . . . . . . 

29 Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M 

30 Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified 

conservation contributions? If "Yes," complete Schedule M . . . . . . . . . . . . . . . . 

31 Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N, Part I 

32 Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," 

complete Schedule N, Part II . . . . . . . . . . . . . . . . . . . . . . . . . . 

33 Did the organization own 100% of an entity disregarded as separate from the organization under Regulations 

sections 301. 7701-2 and 301. 7701-3? If "Yes," complete Schedule R, Part I . . . . . . . . . . . 

34 Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part II, Ill, 

or IV, and Part V, line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

35a Did the organization have a controlled entity within the meaning of section 512{b)(13)? . . . . . . . 

b 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 \I, line 2 . . 

36 Section 501(c}(3} organizations. Did the organization make any transfers to an exempt non-charitable 

related organization? If "Yes," complete Schedule R, Part \I, line 2 . . . . . . . . . . . . . . 

37 Did the organization conduct more than 5% of its activities through an entity that is not a related organization 

and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VI 

38 Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11 b and 

19? Note: All Form 990 filers are required to complete Schedule 0. 

Statements Regarding Other IRS Filings and Tax Compliance 

Check if Schedule O contains a response or note to any line in this Part V 

Page4 

Yes No 

22 V

23 V

24a V 

24b V 

24c V

24d V 

25a V 

28a V 

28b V 

28c V 

29 V 

30 V 

31 V 

32 V 

33 

34 

35a 

35b 

36 V

37 V

38 V 

1a Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable 1a 3,423 

b Enter the number of Forms W-2G included in line 1 a. Enter -0- if not applicable . 1b

c Did the organization comply with backup withholding rules for reportable 

reportable gaming (gambling) winnings to prize winners? . . . . 

payments to vendors and 

□ 

Form 990 (2019) 

Smithsonian Institution 4 8/4/2021 1 :49:57 PM 

53-0206027 

V 

V 

V 

V 
Form 990 (2019) Page5

--------------------------------------------- St ate men ts Regarding Other IRS Filings and Tax Compliance (continued) 

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 7,219 

b If at least one is reported on line 2a, did the organization file all required federal employment tax returns? 

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 on Schedule 0 

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 ► _AM, GB,_PM ----------------------------------------------------------------­

See instructions for filing requirements for FinCEN Form 114, Report of Foreign Bank and Financial Accounts (FBAR). 

5a Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? . . . 

b Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? 

c If "Yes" to line 5a or 5b, did the organization file Form 8886-T? . . . . . . . . . . . . 

6a 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? . . . . . 

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

gifts were not tax deductible? . . . . . . . . . . . . . . . . . . . . . . . 

7 Organizations that may receive deductible contributions under section 170(c). 

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 payor? . . . . . . . . . . . . . . . . . . . . . 

b If "Yes," did the organization notify the donor of the value of the goods or services provided? . . . . . 

c Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was 

required to file Form 8282? . . . . . . . . . . . . . . . . . . . . . . . . . . . 

d If "Yes," indicate the number of Forms 8282 filed during the year . . . . . . '---7d____,____ _ 

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? 

h If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C? 

8 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? . . . . . 

9 Sponsoring organizations maintaining donor advised funds. 

a Did the sponsoring organization make any taxable distributions under section 4966? . . . . . 

b Did the sponsoring organization make a distribution to a donor, donor advisor, or related person? 

10 Section 501(c)(7) organizations. Enter: 

a Initiation fees and capital contributions included on Part VIII, line 12 . . . . . ,-1_0_a---+-----

b Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities ~1_0_b---+-___ _ 

11 Section 501(c)(12) organizations. Enter: 

a Gross income from members or shareholders . . . . . 11a 

b Gross income from other sources (Do not net amounts due or paid to other sources 

against amounts due or received from them.) . . . . . . . . . ~1_1_b---+-----

12a Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041? 

b If "Yes," enter the amount of tax-exempt interest received or accrued during the year. ~1_2_b---+-___ _ 

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 

the organization is licensed to issue qualified health plans . . . . . . . . 1-1_3_b-+------

c Enter the amount of reserves on hand . . . . . . . . . . . . . . . . . 13c '-------"'-------

14a Did the organization receive any payments for indoor tanning services during the tax year? 

b If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation on Schedule O . 

15 Is the organization subject to the section 4960 tax on payment(s) of more than $1,000,000 in remuneration or 

excess parachute payment(s) during the year? . . . . . . . . . . . . . . . . . . . . 

If "Yes," see instructions and file Form 4720, Schedule N. 

16 Is the organization an educational institution subject to the section 4968 excise tax on net investment income? 

If "Yes," complete Form 4720, Schedule 0. 

Smithsonian Institution 

53-0206027 

5 8/4/2021 1 :49:57 PM 

Form 990 (2019) 
0 

Form 990 (2019) Page 6 

Governance, Management, and Disclosure For each "Yes" response to lines 2 throughlb below, and for a "No" 

response to line Ba, 8b, or 1 Ob below, describe the circumstances, processes,or changes on Schedule 0. See instructions. 

Check if Schedule O contains a response or note to any line in this Part VI . . . . . . . . . . . 

Section A. Governing Body and Management 

1a Enter the number of voting members of the governing body at the end of the tax year. 1a 17

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 on Schedule 0. 

b Enter the number of voting members included on line 1 a, above, who are independent 1b 17

2 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 Did the organization delegate control over management duties customarily performed by or under the direct 

supervision of officers, directors, trustees, or key employees to a management company or other person? . 

4 Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? 

5 Did the organization become aware during the year of a significant diversion of the organization's assets? . 

6 Did the organization have members or stockholders? 

7a Did the organization have members, stockholders, or other persons who had the power to elect or appoint 

one or more members of the governing body? 

b Are any governance decisions of the organization reserved to (or subject to approval by) members, 

stockholders, or persons other than the governing body? 

8 Did the organization contemporaneously document the meetings held or written actions undertaken during 

2 V 

3 

4 

5 

6 

V 

V 

V 

V 

7a V 

7b V 

the year by the following: 

a The governing body? Ba V

b Each committee with authority to act on behalf of the governing body? 8b V

9 Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at 

the organization's mailing address? If "Yes," provide the names and addresses on Schedule O . . . . 9 v 

Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.) 

10a Did the organization have local chapters, branches, or affiliates? . . . . . 

b 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? 

11 a Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? 

b Describe in Schedule O the process, if any, used by the organization to review this Form 990. 

12a Did the organization have a written conflict of interest policy? If "No," go to line 13 . . . . . 

b Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? 

c Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," 

describe in Schedule O how this was done . . . . . . . . . . . . . 

13 Did the organization have a written whistleblower policy? . . . . . . . . . 

14 Did the organization have a written document retention and destruction policy? 

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? 

a The organization's CEO, Executive Director, or top management official . . . 

b Other officers or key employees of the organization . . . . . . . . . . . . . . . . . . . 

If "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions). 

16a Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement 

with a taxable entity during the year? . . . . . . . . . . . . . . . . . . . . . 

b 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? . . . . . . . . . . 

Yes 

10a 

10b 

11a V 

12a V 

12b V 

12c V 

13 V 

14 V 

No 

V 

Section C. Disclosure 

17 List the states with which a copy of this Form 990 is required to be filed ► _!'!2!'!~--------------------------------------------------------------

18 Section 6104 requires an organization to make its Forms 1023 (1024 or 1024-A, 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. 

0 Own website D Another's website 0 Upon request D Other (explain on Schedule OJ 

19 Describe on Schedule O 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 State the name, address, and telephone number of the person who possesses the organization's books and records ► 

OFFICE OF FINANCE & ACCOUNTING, PO BOX 37012, WASHINGTON, DC 20013-7012, (202) 633-7167, FAX: (202) 312-1992 

Form 990 (2019) 

Smithsonian Institution 6 8/4/2021 1 :49:57 PM 

53-0206027 
Form 990 (2019) Page 7 

Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated Employees, and 

Independent Contractors 

Check if Schedule O contains a response or note to any line in this Part VII . . . . D 

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 received more than 

$100,000 of reportable compensation from the organization and any related organizations. 

• 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. 

See instructions for the order in which to list the persons above. 

D Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee. 

(A) 

Name and title 

_(1}___MR _LONNIE G BUNCH, Ill _________________________ 

SECRETARY OF THE SMITHSONIAN 

_(2}___AMY CHEN-------------------------------------------

CHIEF INVESTMENT OFFICER 

_(3}___MICHAEL CARUSO _________________________________ 

EDITOR IN CHIEF - SMITHSONIAN MAGAZINE 

_(4)___JEFFREY SMITH------------------------------------

INVESTMENT OFFICER 

_(5}___JOHN_ DAVIS-----------------------------------------

PROVOST 

__(6}___CAROL_ LEBLANC ___________________________________ 

PRESIDENT SMITHSONIAN ENTERPRISES 

_(7}___DAVID_ SKORTON -----------------------------------

FORMER SECRETARY 

_(8}___MELISSA CHIU--------------------------------------

DIRECTOR - HIRSHHORN MUSEUM 

(9) ROBERT SPILLER 

ASSISTANT SECRETARY FOR ADVANCEMENT 

(1 O) ___CHASE_ ROBINSON _________________________________ 

DIRECTOR OF SACKLER GALLERY/FREER GALLERY 

(1 i} MICHAEL GIOVENCO 

INVESTMENT OFFICER 

(12) __RICHARD _KURIN ____________________________________ 

FORMER ACTING PROVOST/UNDER SECRETARY FOR MUSEUM AND RESEARCH 

(13) __MICHAEL MCCARTHY _____________________________ 

UNDER SECRETARY FINANCE & ADMINISTRATION/CFO 

(14)___CHARLES ALCOCK --------------------------------

DIRECTOR, HARVARD SMITHSONIAN CENTER FOR ASROPHYSICS 

(B) 

Average 

hours 

per week 

(list any 

hours for 

related 

organizations 

below 

dotted line) 

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

50.0 -------------

(C) 

Position (D) (E) (F) (do not check more than one 

box, unless person is both an Reportable Reportable Estimated amount 

officer and a director/trustee) compensation compensation of other 

;[ 5" Q ~ (D :c 71 from the from related compensation 

~ i<g:0 organization organizations from the :::!! 

:::;·:::. 0 (D 3 (W-2/1099-MISC) (W-2/1099-MISC) organization and (D a. s. ~ 0 (D 

0 C 3 '< f!l. related organizations 6" !l!.. ,r -0 :::, iE8 0 -, - ~ 2 di 3 

:e. C (D 16 (D f!l. :::, (D en (D 

(D (t) 

Q. 

v' 857,930 0 63,046 

v' 662,776 0 41,326 

v' 532,152 0 62,181 

v' 479,016 0 62,715 

v' 454,242 0 61,510 

v' 448,874 0 76,645 

v' 439,281 0 53,123 

v' 417,838 0 74,468 

v' 400,821 0 77,115 

v' 422,746 0 52,544 

v' 404,477 0 34,625 

v' 355,922 0 62,789 

v' 305,320 0 77,603 

v' 337,854 0 23,421 

Form 990 (2019) 

Smithsonian Institution 7 8/4/2021 1 :49:57 PM 

53-0206027 
Form 990 (2019) Page8 

(C} 

(A} (B} Position (D} (E} (F} (do not check more than one Name and title Average box, unless person is both an Reportable Reportable Estimated amount 

hours officer and a director/trustee) compensation compensation of other 

per week ;[ :J ~ :;,:; (1) ::r: .,, from the from related compensation 

(list any !:!l. (1) 3 -- 0 organization organizations from the 

hours for =r :5. ;::;: 0 '< -0 <g. (1) oro ~ (YJ-2/1099-MISC) (YJ-2/1099-MISC) organization and (1) 0. s. 9l 3 '< ~ ~ related Q_C a· related organizations 0 e1.. -0 

organizations 

*8 :l ---c .... 0 e1.. 2 '< 3 below 2 (1) -0 ~ (1) (1) 

dotted line) (1) !:!l. :l (1) en (1) 

(1) 

0. 

(15)___JULISSA MARENCO _______________________________ 50.0 ------------- ASSISTANT SECRETARY FOR COMMUNICATIONS AND EXTERNAL AFFAIRS v' 238,875 0 60,476 

(16) __JUDITH LEONARD __________________________________ 50.0 -------------

GENERAL COUNSEL v' 245,253 0 47,905 

(17)___PA TRICIA BARTLETT ______________________________50.0 ------------- FORMER ASSOCIATE PROVOST FOR EDUCATION & ACCESS v' 246,504 0 35,862 

(18) __ZULL Y DORR---------------------------------------- 50.0 ------------- FORMER ACTING DIRECTOR FOR ADVANCEMENT v' 220,743 0 53,838 

(19)___DERON BURBA _____________________________________50.0 ------------- CHIEF INFORMATION OFFICER v' 207,862 0 58,753 

(20) __JOHN_ LAPIANA------------------------------------- 50.0 ------------- FORMER ACTING ASSISTANT SECRETARY -COMMUNICATION & EXTERNAL AFFAIRS v' 209,355 0 41,046 

(21)___JEAN GARVIN--------------------------------------- 50.0 ------------- FORMER DIRECTOR - FINANCE & ACCOUNTING v' 199,267 0 50,045 

(22) __NANCY BECHTOL---------------------------------- 50.0 ------------- DIRECTOR-SMITHSONIAN FACILITIES v' 210,521 0 30,570 

(23)___ERA MARSHALL------------------------------------ 50.0 ------------- DIRECTOR - EQUAL EMPLOYMENT & MINORITY AFFAIRS v' 218,837 0 19,470 

(24) __CATHY_ HELM --------------------------------------- 50.0 -------------

INSPECTOR GENERAL v' 215,588 0 22,040 

(25)___(SEE STATEMENT) _________________________________ -------------

1b Subtotal ► 8,732,054 0 1,243,116 

C Total from continuation sheets to Part VII, Section A ► 792,268 0 111,305 

d Total (add lines 1b and 1c) . ► 9,524,322 0 1,354,421 

2 Total number of individuals (including but not limited to those listed above) who received more than $100,000 of 

reportable compensation from the organization ► 1,705 

Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued) 

3 Did the organization list any former officer, director, trustee, key employee, or highest compensated 

employee on line 1 a? If "Yes," complete Schedule J for such individual 

4 For any individual listed on line 1 a, 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 . 

5 Did any person listed on line 1 a 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 

1 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. 

w Name and business address ~ 

Description of services 

~ 

Compensation 

CLARK/SMOOT/CONSIGLI, A JOINT VENTURE, 7500 OLD GEORGETOWN RD., BETHESDA, MD 20814 CONSTRUCTION 85,221,586 

GRUNLEY CONSTRUCTION COMPANY, INC, 888 17TH STREET NW, SUITE 500, WASHINGTON, DC 20006 CONSTRUCTION 28,912,445 

UNIVERSAL PROTECTION SERVICE, 1551 N. TUSTIN AVE, SUITE 650, SANTAANA, CA 92705-8664 SECURITY 22,084,832 

OCEAN VIEW DEVELOPMENT COMPANY, 2200 PENNSYLVANIA AVE., N.W., SUITE 200W, WASHINGTON, DC 20037-1701 CONSTRUCTION 19,153,209 

MEL TECH CORPORATION INC, 3321 75TH AVE, STE. G, LANDOVER, MD 20785-1519 CONSTRUCTION 11,306,250 

2 Total number of independent contractors (including but not limited to those listed above) who 

received more than $100,000 of compensation from the organization ► 535 

Form 990 (2019) 

Smithsonian Institution 8 8/4/2021 1 :49:57 PM 

53-0206027 
__________________________________ 

_____ 

__ _____ 

____ 

Form 990 (2019) Page 9 ---,,St,,_-a-te_m_e_n_t_o_f"""R=-e-v_e_n_u_e _ 

Check if Schedule O contains a response or note to any line in this Part VIII . .□ 

1---------+--------+------+-------

(A) (B) (C) (D)

Revenue excluded 

function revenue 

Total revenue Related or exempt Unrelated 

business revenue from tax under 

sections 512-514 

1a Federated campaigns 1a 35,403 J!l.f!3 C: C: m ::s b Membership dues 1b 24,197,323 I.. 0 

C Fundraising events . 1c 3,928,524 ~~ 396,910 ·- m ¢:'! I.. d Related organizations 1d

CJ = e Government grants (contributions) 1e 1,104,235,438

(I) .5 f All other contributions, gifts, grants, .2.... ~ Q) and similar amounts not included above 1f 175,816,481 ::s.c: .c .... g Noncash contributions included in '.E0 C: "C lines 1 a-1f . 1g $ 19,616,502 0 C: 

Om h Total. Add lines 1a-1f . ► Business Code 

Q) 2a VISITORS/MEMBERS/EMPLOYEES 900099 33,213,446 23,272,336 9,941,110

'f 

(,) 

Q) b SUBSCRIPTIONS-MAGAZINES 511120 28,077,146 28,077,146 Q) ::s -----------------------------------------------------· t----------+-------+-------+--------1------ enc: c TOURS/CLASSES 900099 5,795,965 5,753,879 42,086 -----------------------------------------------------· t----------+-------+-------+--------t------ E ~ d THEATER INCOME 512131 2,148,419 2,122,186 26,233 ctl Q) -----------------------------------------------------· -------+--------+------~------+------ s,a: e TRAVELING EXHIBITIONS 712110 1,565,297 1,565,297

e -----------------------------------------------------~ 900099 100,000 0 100,000 0

g Total. Add lines 2a-2f . . . 

a. f All other program service revenue . .

► 3 Investment income (including dividends, interest, and 

other similar amounts) . . . . . . . ► 

4 Income from investment of tax-exempt bond proceeds ► 1---------+--------+------+-------

5 Royalties . . . . . ► 

(i) Real (ii) Personal 

6a Gross rents 6a 4,209,900 1-----1------+------

b Less: rental expenses _6_b---+-------+------

c Rental income or (loss) ~6_c~ __ 4_,_20_9_,9_0_0~ o 

d Net rental incomeo ...... r_,__(lo_s_,sr'--)------,------

(i)Securities 0i) Other 7a Gross amount from 

sales of assets 689,

776,288 613,400 

other than inventory i---7_a--+-------+-----­ Q) b Less: cost or other basis ::s 

C: and sales expenses ,__7_b__,_5_63_,_59_5_,4_5_o _ Q) 

> Q) c Gain or (loss) . ~7c~ __ 12_6_, ___ 1_8_0_,8_38~ 6_1_3_,4_0_0

a: d Net gain or (loss) I.. 

5 

Q) 

8a Gross income from fundraising 

events (not including$ ____3,928,524 

of contributions reported on line 

1 c). See Part IV, line 18 Sa 729,033 1-----1------

b Less: direct expenses ~8_b~ __ 2_,7_1_2_,0_9_5 

c Net income or (loss) from fundraisin-g_e_v~en_t_s ►_ 

9a Gross income from gaming 

activities. See Part IV, line 19 _9_a---+------

b Less: direct expenses ~9_b~-----

c Net income or (loss) from gaming act_iv_it_,ie_s ...... _____ ►_

10a Gross sales of inventory, less 

returns and allowances 10a 28,280,312 1-----1'------

b Less: cost of goods sold ~1_0_b~__ 1_1_,8_15_,3_1_0 

c Net income or (loss) from sales of inventory . ► 

(/) Business Code ::s 

0 Q) 11a MAGAZINE/WEBSITE ADVERTISING 541800 Q) ::s C: C: b .! Q) 

- > Q) Q) C 

ga: d All other revenue . . . . . i e Total. Add lines 11 a-11 d . . . ► 12 Total revenue. See instructions 

Smithsonian Institution 

53-0206027 
------------------------------------------- Form 990 (2019) Page 10 

St ate men t 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 O contains a response or note to any line in this Part IX . . . . . . □ Do not include amounts reported on lines 6b, 7b, (A) (B) Total expenses Program service Bb, 9b, and 10b of Part VIII. expenses 

1 Grants and other assistance to domestic organizations 

and domestic governments. See Part IV, line 21 373,369 373,369 

2 Grants and other assistance to domestic 

individuals. See Part IV, line 22 . . . . . 10,796,566 10,796,566 

3 Grants and other assistance to foreign 

organizations, foreign governments, and 

foreign individuals. See Part IV, lines 15 and 16 4,829,115 4,829,115 t-----'------'----t------'-...c_-----, 

4 Benefits paid to or for members 

5 Compensation of current officers, directors, 

trustees, and key employees . . . . . 5,238,154 1,270,453 3,716,485 251,216 

6 Compensation not included above to disqualified 

persons (as defined under section 4958m(1 )) and 

persons described in section 4958(c)(3)(B) . . 3,251,556 2,766,046 485,510 

7 Other salaries and wages . . . . . . 560,012,694 292,312,009 246,193,708 21,506,977 

8 Pension plan accruals and contributions (include 

section 401 (k) and 403(b) employer contributions) 1------8_2,_34_1...:....,5_4_4-+ ___ - 5_9_;_,6_6_;_0,_04_5---+ ___ 19-'-,7_6_2_;_,9_09--1-------'2,_9_18...;_,5_9_0 -

9 Other employee benefits . . . . 50,957,381 47,976,705 434,713 2,545,963 

10 Payroll taxes . . . . . . . . 38,208,598 27,409,515 8,947,457 1,851,626 

11 Fees for services (nonemployees): 

a Management 

b Legal . . 870,200 260,442 606,234 3,524 

c Accounting . 1,046,210 1,042,996 3,214 

d Lobbying . . 

e Professional fundraising services. See Part IV, line 17 1----------'2,_35_1...:....,7_6_1_== 2,351,761 

a PROGRAM PRODUCTION 

b RESEARCH/SUBCONTRACT --------------------------------------------------------------- c COLLECTIONS/EQUIPMENT

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

d OVERHEAD COST RECOVERY ON GRANTS 

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 campaign and 

fundraising solicitation. Check here ► D if 

following SOP 98-2 (ASC 958-720) 

28,740,698 

29,182,216 

26,098,920 

(884,778) 

0 

1,394,014,893 

30,727,363 (2,123,157) 136,492 

29,182,216 

23,303,756 2,344,521 450,643 

21,381,693 (22,266,471) 

0 0 0 

980,263,675 375,561,937 38,189,281 

2,236,898 

111,217,358 

3,451,800 

42,664,800 

57,706,379 

242,908 

120,395,914 

6,390,076 

2,765,315 

3,114,275 

198,403,751 

2,011,215 

2,236,898 

90,764,350 18,312,917 2,140,091 

2,543,780 514,904 393,116 

28,908,288 12,959,295 797,217 

19,243,389 37,652,984 810,006 

242,753 155 

135,202,843 (15,947,609) 1,140,680 

4,935,878 870,540 583,658 

1,989,272 714,600 61,443 

3,114,275 

140,397,694 57,763,191 242,866 

671,860 1,339,312 43 

f Investment management fees . . . . . 

g Other. (If line 11 g amount exceeds 10% of line 25, column 

(A)amount, list line 11 g expenses on Schedule 0.) 

12 Advertising and promotion 

13 Office expenses 

14 Information technology 

15 Royalties . 

16 Occupancy . . . . 

17 Travel . . . . . . 

18 Payments of travel or entertainment expenses 

for any federal, state, or local public officials 

19 Conferences, conventions, and meetings 

20 Interest . . . . . . . . . . . 

21 Payments to affiliates . . . . . . . 

22 Depreciation, depletion, and amortization 

23 Insurance . . . . . . . . . . . 

24 Other expenses. Itemize expenses not covered 

above (List miscellaneous expenses on line 24e. If 

line 24e amount exceeds 10% of line 25, column 

(A)amount, list line 24e expenses on Schedule 0.) 

Form 990 (2019) 

Smithsonian Institution 10 8/4/2021 1 :49:57 PM 

53-0206027 
Form 990 (2019) Page 11 

Balance Sheet 

Check if Schedule O contains a response or note to any line in this Part X □ 

1 Cash- non-interest-bearing 

2 Savings and temporary cash investments 

3 Pledges and grants receivable, net 

4 Accounts receivable, net 

5 Loans and other receivables from any current or former officer, director, 

trustee, key employee, creator or founder, substantial contributor, or 35% 

controlled entity or family member of any of these persons 

6 Loans and other receivables from other disqualified persons (as defined 

under section 4958(f)(1 )), and persons described in section 4958(c)(3)(8) 

Cl) 7 Notes and loans receivable, net 1i> 

Cl) 8 Inventories for sale or use Cl) 

<( 9 Prepaid expenses and deferred charges 

10a Land, buildings, and equipment: cost or other 

basis. Complete Part VI of Schedule D 10a 5,366,611,165 

b Less: accumulated depreciation 10b 2,625,838,220 

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 Total assets. Add lines 1 through 15 (must equal line 33) 

17 Accounts payable and accrued expenses 

18 Grants payable . 

19 Deferred revenue 

20 Tax-exempt bond liabilities . 

21 Escrow or custodial account liability. Complete Part IV of Schedule D . 

Cl) 22 Loans and other payables to any current or former officer, director, (I) 

;g trustee, key employee, creator or founder, substantial contributor, or 35% 

:s controlled entity or family member of any of these persons co 

::i 23 Secured mortgages and notes payable to unrelated third parties 

24 Unsecured notes and loans payable to unrelated third parties 

25 Other liabilities (including federal income tax, payables to related third 

parties, and other liabilities not included on lines 17-24). Complete Part X 

of Schedule D 

26 Total liabilities. Add lines 17 through 25 

Cl) Organizations that follow FASB ASC 958, check here ► [a (I) 

0 and complete lines 27, 28, 32, and 33. c:: 

co 27 Net assets without donor restrictions «i 

ca 28 Net assets with donor restrictions "O 

c::

::s Organizations that do not follow FASB ASC 958, check here ► D LL and complete lines 29 through 33. I.. 

0 29 Capital stock or trust principal, or current funds J/3 

(I) 30 Paid-in or capital surplus, or land, building, or equipment fund Cl) 

31 Retained earnings, endowment, accumulated income, or other funds :t

... 32 Total net assets or fund balances . (I)

:z 33 Total liabilities and net assets/fund balances 

(A) 

Beginning of year 

785,278,263 1 

102,505,316 2 

167,269,340 3 

41,524,908 4 

2,440,904,708 10c 

355,316,881 11 

1,488,449, 184 12 

0 13 

14 

17,843,602 15 

5,420,805,051 16 

338,075,552 17 

18 

590,595,329 19 

96,409,381 20 

21 

0 22 

23 

24 

61,442,604 25 

29 

30 

31 

4,334,282,185 32 

5,420,805,051 33 

(B) 

End of year 

886,734,458 

132,486,826 

174,700,566 

35,118,164 

0 

12,284,919 

2,740,772,945 

296,159,722 

1,751,236,768 

0 

16,042,720 

6,053,364,633 

295,826,945 

677,540,432 

94,604,197 

0 

296,744,908 

51,668,648 

4,636,979,503 

6,053,364,633 

Form 990 (2019) 

Smithsonian Institution 11 8/4/2021 1 :49:57 PM 

53-0206027 
_______________________________ 

--------- 1 

Form 990 (2019) Page 12 ---=R=-e_c_o_n_c~m=-a-t~io_n_o-=f-=N~e-t-A-:--s-s-e-ts _ 

Check if Schedule O contains a response or note to any line in this Part XI .. 0 

1 Total revenue (must equal Part VIII, column (A), line 12) . 

2 Total expenses (must equal Part IX, column (A), line 25) 2 

3 Revenue less expenses. Subtract line 2 from line 1 . . 3 

4 Net assets or fund balances at beginning of year (must equal Part X, line 32, column (A)) . 4 

5 Net unrealized gains (losses) on investments 5 

6 Donated services and use of facilities 6 

7 

8 

9 

10 

Investment expenses . . . . . . 

Prior period adjustments . . . . . 

Other changes in net assets or fund balances (explain on Schedule 0) . 

Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 

32, column (B)) . . . . . . . . . . . . . . . . . . . . . . . . . . . 

7 

8 

9 

10 

Schedule 0. 

1,561,599,985 

1,394,014,893 

167,585,092 

4,334,282,185 

132,998,401 

2,113,825 

4,636,979,503 

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 0MB Circular A-133? . . . . . . . . . . . . . . . . . . . . . 3a v 

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 on Schedule O and describe any steps taken to undergo such audits . 3b v 

Financial Statements and Reporting 

Check if Schedule O contains a response or note to any line in this Part XII 

Accounting method used to prepare the Form 990: D Cash 0 Accrual 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: 

D Separate basis D Consolidated basis D Both consolidated and separate basis 

b Were the organization's financial statements audited by an independent accountant? . . . . . . . 

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: 

D Separate basis D Consolidated basis 0 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? . 

If the organization changed either its oversight process or selection process during the tax year, explain on 

Form 990 (2019) 

Smithsonian Institution 12 8/4/2021 1 :49:57 PM 

53-0206027 
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued) 

(A) Name and Title (B) Average hours 

per week 

(list any hours for related 

organizations below 

dotted line) 

(C) Position 

(Check all that apply) 

(D) Reportable 

compensation 

from the 

or~anization 

CN-/1099-MISC) 

(E) Reportable 

compensation 

from related 

organizations 

0/V-2/1099-MISC) 

(F) Estimated 

amount of other 

compensation 

from the 

organization and 

related 

organizations 

i 

g 

Qe. 

i

(1) 

0 

~ 

!!l 

;;,:; 

~ 

(1) 

3 

" i 

(1) 

I 

~ (1) 

so. 

8 

~ 

~ <ii 

0. 

(1) 

~ 

f 

(1) 

"Tl 

0 

I 

(25) CAROLYN MARTIN 

FORMER ACTING ASSISTANT 

SECRETARY - COMMUNICATION & 

EXTERNAL AFFAIRS 

50.0 

✓ 161,556 0 46,471 

(26) DAVID VOYLES 

FORMER DIRECTOR - PLANNING, 

MANAGEMENT & BUDGET 

50.0 

✓ 190,751 0 16,937 

(27) ALBERT HORVATH 

FORMER UNDER SECRETARY 

FINANCE &ADMINISTRATION/CFO 

50.0 

----------- ✓ 188,954 0 9,428 

(28) PORTER WILKINSON 50.0 

✓ 136,638 0 20,509 

CHIEF OF STAFF - REGENTS 

(29) W. JOHN KRESS 

FORMER INTERIM UNDER 

SECRETARY FOR SCIENCE 

50.0 

✓ 114,369 0 17,960 

(30) MEROE PARK 

DEPUTY SECRETARY AND CHIEF 

OPERATING OFFICER 

50.0 

✓ 0 0 0 

(31) HONORABLE JOHN G. 

ROBERTS, JR. 

REGENT 

0.5 

✓ 0 0 0 

(32) HONORABLE MICHAEL R. 

PENCE 

REGENT 

0.5 

✓ 0 0 0 

(33) HONORABLE PATRICK J. LEAHY 2.0 

✓ 0 0 0 

REGENT 

(34) HONORABLE DORIS MATSUI 2.0 

✓ 0 0 0 

REGENT 

(35) HONORABLE DAVID PERDUE 2.0 

✓ 0 0 0 

REGENT 

(36) HONORABLE JOHN BOOZMAN 2.0 

✓ 0 0 0 

REGENT 

(37) HONORABLE JOHN SHIMKUS 2.0 

--- 0 0 0 

REGENT --------

(38) HONORABLE LUCILLE ROYBALALLARD 

REGENT 

2.0 

------------------------ ✓ - 0 0 0 

(39) MR STEVE CASE 10.0 

- 0 0 0 

REGENT 

----------

(40) DR RISA J. LAVIZZO-MOUREY 2.0 

✓ 0 0 0 

REGENT 

(41) MR JOHN FAHEY 2.0 

- 0 0 0 

REGENT 

----------

(42) MR ROGER W. FERGUSON, JR. 2.0 

- 0 0 0 

REGENT 

----------

Smithsonian Institution 13 8/4/2021 1 :49:57 PM 

53-0206027 
(A) Name and Title (B) Average hours 

per week 

(list any hours for related 

organizations below 

dotted line) 

(C) Position 

(Check all that apply) 

(D) Reportable 

compensation 

from the 

or~anization 

tyv- 1099-MISC) 

(E) Reportable 

compensation 

from related 

organizations 

tyv-2/1099-MISC) 

(F) Estimated 

amount of other 

compensation 

from the 

organization and 

related 

organizations 

[ 

~ 

[ 

~ ro 

Cl) 

0 

r ;,;: 

~ 

Cl) 

~ 

f 

Cl) 

I 

1 

!!\. 

8 

~ 

~ ill 

ro 

0.. 

3 

-0 

I 

"Tl 

0 

3 

~ 

(43) MR MICHAEL GOVAN 2.0 

✓ 0 0 0 

REGENT 

(44) MR MICHAEL M. L YNTON 2.0 

✓ 0 0 0 

REGENT 

(45) MR DAVID M. RUBENSTEIN 7.0 ✓ 0 0 0 

REGENT 

(46) MS DENISE M. O'LEARY 2.0 ✓ 0 0 0 

REGENT 

(47) HONORABLE BARBARA 

BARRETT 

REGENT (STEPDOWN 10/17/2019) 

2.0 ----------- 0 0 0 

(48) HONORABLE JOHN W 

MCCARTER 

REGENT (CONCLUDED 03/14/2020) 

2.0 ✓ 0 0 0 

Smithsonian Institution 14 8/4/2021 1 :49:57 PM 

53-0206027 
0MB No. 1545-0047 SCHEDULE A Public Charity Status and Public Support (Form 990 or 990-EZ} Completeif the organization isa section 501(c)(3)organizationor a section 4947(a)(1)nonexemptcharitabletrust. 

Department of the Treasury ► Attach to Form 990 or Form 990-EZ. Open to Rublic

Internal Revenue Service Goto www.irs.gov/Form990for instructions and the latest information. Inspection 

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Reason for Rublic Charity Status (All organizations 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 DA church, convention of churches, or association of churches described in section 170(b)(1}(A)(i). 

2 DA school described in section 170(b)(1)(A)(ii). {Attach Schedule E (Form 990 or 990-EZ).) 

3 D A hospital or a cooperative hospital service organization described in section 170(b)(1 )(A)(iii). 

4 DA 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 D 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 11.) 

6 DA 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 11.) 

8 DA community trust described in section 170(b)(1)(A)(vi). (Complete Part II.) 

9 D 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: 

10 D An organization that normaffirece1ves:(fJ more than-331i3% of its support from contributions,-membersh1p fees, and gross ____ 

receipts from activities related to its exempt functions-subject to certain exceptions, and (2) no more than 33113% 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 111.) 

11 An organization organized and operated exclusively to test for public safety. See section 509(a)(4). 

12 D 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, 12f, and 12g. 

a D 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. 

b D 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. 

c D Type Ill functionally integrated. A supporting organization operated in connection with, and functionally integrated with, 

its supported organization(s) (see instructions). You must complete Part IV, Sections A, D, and E. 

d D Type Ill 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. 

e D Check this box if the organization received a written determination from the IRS that it is a Type I, Type II, Type Ill 

functionally integrated, or Type Ill non-functionally integrated supporting organization. 

f Enter the number of supported organizations . . . . . . . . . . . . . . 

g Provide the following information about the supported organization(s). 

(A) 

(i) Name of supported organization (ii) EIN (iiijType of organization 

(described on lines 1-10 

above (see instructions)) 

(iv) Is the organization 

listed in your governing 

document? 

Yes No 

(v) Amount of monetary 

support (see 

instructions) 

(vi) Amount of 

other support (see 

instructions) 

(B) 

(C) 

(D) 

(E) 

Total 

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Cat. No. 11285F Schedule A (Fonn 990 or 990-EZ) 2019 

Smithsonian Institution 15 8/4/2021 1 :49:57 PM 

53-0206027 
__ 

Schedule A (Form 990 or 990-EZ) 2019 Page 2 

j:.ffllllSupport 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 Ill. If the organization fails to qualify under the tests listed below, please complete Part 111.) 

Section A. Public Support 

Calendar year (or fiscal year beginning in) ► _ __,_(a_,__)_2_01_5 __ ___ _,_(b__,)_2_0_1_6 2_0_1_7_+--__,_(d....,__)_2_0_18_-1--__,(-'e)'-2_0_1_9 (,_c-<--) ..,_(f),_T_o_ta_l_ 

1 Gifts, grants, contributions, and 

membership fees received. (Do not 

include any "unusual grants.") . . 1,221,449,061 1,174,926,626 1,192,108,664 1,292,933,360 1,308,610,079 6,190,027,790 

2 Tax revenues levied for the 

organization's benefit and either paid 

to or expended on its behalf o 

3 The value of services or facilities 

furnished by a governmental unit to the 

organization without charge . . . o 

4 Total.Add lines 1 through 3. . . 1,221,449,061 1,174,926,626 1,192,108,664 1,292,933,360 1,308,610,079 6,190,027,790 

5 The portion of total contributions by 

each person (other than a 

governmental unit or publicly 

supported organization) included on 

line 1 that exceeds 2% of the amount 

shown on line 11, column (f) . . . . o 

6 Public support. Subtract line 5 from line 4 6,190,027,790 

Section B. Total Support 

Calendar year (or fiscal year beginning in) ► t--_,_(a...,_) _20_1_5_+--_,_(b_,_)_2_0_1 2_0_1_7_+--_,_(d--<-)_2_01_8_-+-_,_(e_,)'--2_0_1 _6--+--'(,_c-<--) _9--+--'--'(f),_T_o_ta_l_ 

7 Amounts from line 4 . . . . 1,221,449,061 1,174,926,626 1,192,108,664 1,292,933,360 1,308,610,079 6,190,027,790 

8 Gross income from interest, dividends, 

payments received on securities loans, 

rents, royalties, and income from 

similar sources . . . . 28,671,980 36,693,083 40,028,926 40,511,011 33,186,345 179,091,345 

9 Net income from unrelated business 

activities, whether or not the business 

is regularly carried on . . . . 0 0 0 0 0 0 

10 Other income. Do not include gain or 

loss from the sale of capital assets 

(Explain in Part VI.) . . . . . . . 0 0 0 0 0 0 

11 Total support. Add lines 7 through 10 6,369,119,135 

12 Gross receipts from related activities, etc. (see instructions) 798,009,874 

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 . . . . . . . . . . . . . . . . . . ► □ 

Section C. Computation of Public Support Percentage 

14 Public support percentage for 2019 (line 6, column (f)divided by line 11, column (f)) 14 97.19 % 

15 Public support percentage from 2018 Schedule A, Part 11, line 14 . . . . . . 15 97.20 % 

16a 33113% support test-2019. If the organization did not check the box on line 13, and line 14 is 33113% or more, check this 

box and stop here. The organization qualifies as a publicly supported organization . . . . . . . . . . . . ► 0 

b 33113% support test-2018. If the organization did not check a box on line 13 or 16a, and line 15 is 33 113% or more, check 

this box and stop here. The organization qualifies as a publicly supported organization . . . . . . . . . . . ► □ 

17a 10%-facts-and-circumstances test-2019. If the organization did not check a box on line 13, 16a, or 16b, and line 14 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 supported 

organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ► □ 

b 10%-facts-and-circumstances test-2018. 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 

supported organization . . . . . . . . . . . . . . . . . . . . . . . . . . ► □ 

18 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) 2019 

Smithsonian Institution 16 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule A (Form 990 or 990-EZ) 2019 Page 3 

l@llil 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 Support 

Calendar year (or fiscal year beginning in) ► 1--_,_(a...,_)_2_01_5_-t--_,_(b-")_2_0_1_6--+_(,_c-<-) 2_0_1_7_+--_,_(d~)_2_0_18_+-_,(e.....,)'--2_0_1_9--+-.!--'(f)'---T_o_ta_l_ 

1 Gifts, grants, contributions, and membership fees 

received. (Do not include any "unusual grants.") 

2 Gross receipts from admissions, merchandise 

sold or services performed, 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 

4 Tax revenues levied for the 

organization's benefit and either paid to 

or expended on its behalf 

5 The value of services or facilities 

furnished by a governmental unit to the 

organization without charge . 

6 Total. Add lines 1 through 5 . . . . 

7a Amounts included on lines 1, 2, and 3 

received from disqualified persons 

b Amounts included on lines 2 and 3 

received from other than disqualified 

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 Support 

Calendar year (or fiscal year beginning in) ► 

9 Amounts from line 6 

10a 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 1 0a and 1 Ob 

11 Net income from unrelated business 

activities not included in line 1 Ob, whether 

or not the business is regularly carried on 

12 Other income. Do not include gain or 

loss from the sale of capital assets 

(Explain in Part VI.) . 

13 Total support. (Add lines 9, 1 0c, 11, 

and 12.) 

(a) 2015 (b) 2016 (c) 2017 (d) 2018 (e) 2019 (f) Total 

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 . . . . . . . . . ► □ 

Section C. Computation of Public Support Percentage 

15 Public support percentage for 2019 (line 8, column (f),divided by line 13, column (f)) 15 % 

16 Public support percentage from 2018 Schedule A, Part 111,line 15 16 % 

Section D. Computation of Investment Income Percentage 

17 Investment income percentage for 2019 (line 10c, column (f), divided by line 13, column (f)) . 17 % 

18 Investment income percentage from 2018 Schedule A, Part Ill, line 17 . . 18 % 

19a 33113% support tests-2019. If the organization did not check the box on line 14, and line 15 is more than 33113%, and line 

17 is not more than 331

13%, check this box and stop here. The organization qualifies as a publicly supported organization ► □ 

b 33113% support tests-2018. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 113%, and 

line 18 is not more than 33113%, 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, check this box and see instructions ► D 

Schedule A (Form 990 or 990-EZ) 2019 

Smithsonian Institution 17 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule A (Form 990 or 990-EZ) 2019 Page 4 

i@li*J 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 

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 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 described in section 509(a)(1) or (2). 

3a Did the organization have a supported organization described in section 501 {c)(4), (5), or (6)? If "Yes," answer 

(b) and (c) below. 

b 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)? If "Yes," describe in Part VI when and how the 

organization made the determination. 

c 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. 

4a Was any supported organization not organized in the United States ("foreign supported organization")? If 

"Yes," and if you checked 12a or 12b in Part I, answer (b) and (c) below. 

b 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 supeNised by or in connection with its supported organizations. 

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. 

Sa Did the organization add, substitute, or remove any supported organizations during the tax year? 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; (iij the reasons for each such action; 

(iiij 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). 

b Type I or Type II only. Was any added or substituted supported organization part of a class already 

designated in the organization's organizing document? 

c Substitutions only. Was the substitution the result of an event beyond the organization's control? 

6 Did the organization provide support (whether in the form of grants or the provision of services or facilities) to 

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 VI. 

7 Did the organization provide a grant, loan, compensation, or other similar payment to a substantial contributor 

(as 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 I of Schedule L (Form 990 or 990-EZ). 

8 Did the organization make a loan to a disqualified person (as defined in section 4958) not described in line 7? 

If "Yes,11 complete Part I of Schedule L (Form 990 or 990-EZ). 

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 VI. 

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, 11 provide detail in Part VI. 

c 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, 11 provide detail in Part VI. 

10a 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 Ill non-functionally integrated 

supporting organizations)? If "Yes," answer 1 Ob below. 

b 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.) 

Schedule A (Fonn 990 or 990-EZ) 2019 

Smithsonian Institution 18 8/4/2021 1 :49:57 PM 

53-0206027 
1 

Schedule A (Form 990 or 990-EZ) 2019 Page5 

Supporting Organizations (continued) 

11 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 entity of a person described in (a) or (b) above? If "Yes" to a, b, or c, provide detail in Part VI. 

Section B. Type I Supporting Organizations 

1 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. 

2 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 

VI how providing such benefit carried out the purposes of the supported organization(s) that operated, 

supervised, or controlled the supporting organization. 

Section C. Type II Supporting Organizations 

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 VI 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 Ill Supporting Organizations 

1 Did the organization provide to each of its supported organizations, by the last day of the fifth month of the 

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? 

2 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 VI how 

the organization maintained a close and continuous working relationship with the supported organization(s). 

3 By reason of the relationship described in (2), did the organization's supported organizations have a 

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," describe in Part VI the role the organization's 

supported organizations played in this regard. 

Section E. Type Ill Functionally Integrated Supporting Organizations 

1 Check the box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions). 

a D The organization satisfied the Activities Test. Complete line 2 below. 

b D The organization is the parent of each of its supported organizations. Complete line 3 below. 

c D The organization supported a governmental entity. Describe in Part VI how you supported a government entity (see instructions). 

2 Activities Test. Answer (a) and (b) below. Yes No 

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 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 organization's position that its supported organization(s) would have engaged in these 

activities but for the organization's involvement. 

3 Parent of Supported Organizations. Answer (a) and (b) below. 

a 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. 

b 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. 

Schedule A (Fonn 990 or 990-EZ) 2019 

Smithsonian Institution 19 8/4/2021 1 :49:57 PM 

53-0206027 
1 

Schedule A (Form 990 or 990-EZ) 2019 Page 6 

Type Ill Non-Functionally Integrated 509(a)(3) Supporting Organizations 

D 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 Type Ill non-functionally integrated supporting organizations must complete Sections A through E. 

2 Acquisition indebtedness applicable to non-exempt-use assets 

3 Subtract line 2 from line 1 d. 

4 Cash deemed held for exempt use. Enter 1-1/2% of line 3 (for greater amount, 

see instructions). 

5 Net value of non-exempt-use assets (subtract line 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) 

2 

3 

4 

5 

6 

7 

8 

Section A-Adjusted Net Income (~ Prior Year (B) Current Year (optional) 

1 Net short-term capital gain 

2 Recoveries of prior-year distributions 

3 Other gross income (see instructions) 

4 Add lines 1 through 3. 

5 Depreciation and depletion 

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) 

7 Other expenses (see instructions) 

8 Adjusted Net Income (subtract lines 5, 6, and 7 from line 4) 

Section B-Minimum Asset Amount 

2 

3 

4 

5 

6 

7 

8 

(~ 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 Average monthly value of securities 

b Average monthly cash balances 

c Fair market value of other non-exempt-use assets 

d Total (add lines 1 a, 1 b, and 1 c) 

e Discount claimed for blockage or other 

factors {explain in detail in Part VI): 

Section C-Distributable Amount Current Year 

1 Adjusted net income for prior year (from Section A, line 8, Column A) 

2 Enter 85% of line 1. 

3 Minimum asset amount for prior year {from Section B, line 8, Column A) 

4 Enter greater of line 2 or line 3. 

1 

2 

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 D Check here if the current year is the organization's first as a non-functionally integrated Type Ill supporting organization (see 

instructions). 

Schedule A (Fo1111990 or 990-EZ) 2019 

Smithsonian Institution 20 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule A (Form 990 or 990-EZ) 2019 Page 7 

Type Ill Non-Functionally Integrated 509(a)(3) Supporting Organizations (continued) 

Section D-Distributions 

1 Amounts paid to supported organizations to accomplish exempt purposes 

2 Amounts paid to perform activity that directly furthers exempt purposes of supported 

organizations, in excess of income from activity 

3 Administrative expenses paid to accomplish exempt purposes of supported organizations 

4 Amounts paid to acquire exempt-use assets 

5 Qualified set-aside amounts (prior IRS approval required) 

6 Other distributions (describe in Part VI). See instructions. 

7 Total annual distributions. Add lines 1 through 6. 

8 Distributions to attentive supported organizations to which the organization is responsive 

(provide details in Part VI). See instructions. 

9 Distributable amount for 2019 from Section C, line 6 

10 Line 8 amount divided by line 9 amount 

Section E-Distribution Allocations (see instructions) 

1 Distributable amount for 2019 from Section C, line 6 

(i} 

Excess Distributions 

(ii} 

Underdistributions 

Pre-2019 

Current Year 

(iii} 

Distributable 

Amount for 2019 

2 Underdistributions, if any, for years prior to 2019 

(reasonable cause required-explain in Part VI). See 

instructions. 

3 Excess distributions carryover, if any, to 2019 

a From 2014 

b From 2015 

c From 2016 

d From 2017 

e From 2018 

f Total of lines 3a through e 

g Applied to underdistributions of prior years 

h Applied to 2019 distributable amount 

Carryover from 2014 not applied (see instructions) 

j Remainder. Subtract lines 3g, 3h, and 3i from 3f. 

4 Distributions for 2019 from 

Section D, line 7: $ 

a Applied to underdistributions of prior years 

b Applied to 2019 distributable amount 

c Remainder. Subtract lines 4a and 4b from 4. 

5 Remaining underdistributions for years prior to 2019, if 

any. Subtract lines 3g and 4a from line 2. For result 

greater than zero, explain in Part VI. See instructions. 

6 Remaining underdistributions for 2019. Subtract lines 3h 

and 4b from line 1. For result greater than zero, explain i 

Part VI. See instructions. 

7 Excess distributions carryover to 2020. Add lines 3j 

and 4c. 

8 Breakdown of line 7: 

a Excess from 2015 

b Excess from 2016 

c Excess from 2017 

d Excess from 2018 

e Excess from 2019 

Schedule A (Fonn 990 or 990-EZ) 2019 

Smithsonian Institution 21 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule B 0MB No. 1545-0047 Schedule of Contributors (Form 990, 990-EZ, 

or 990-PF) ► Attach to Form 990, Form 990-EZ, or Form 990-PF. Department of the Treasury 

Internal Revenue Service Goto www.irs.gov/Form990 for the latest information. 

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Organization type (check one): 

Filers of: Section: 

Form 990 or 990-EZ El 501 (c)( 3 ) (enter number) organization 

D 4947(a)(1) nonexempt charitable trust not treated as a private foundation 

D 527 political organization 

Form 990-PF D 501 (c)(3) exempt private foundation 

D 4947(a)(1) nonexempt charitable trust treated as a private foundation 

D 501 (c)(3) taxable private foundation 

Check if your organization is covered by the General Rule or a Special Rule. 

Note: Only a section 501 (c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See 

instructions. 

General Rule 

D For an organization filing Form 990, 990-EZ, or 990-PF that received, during the year, contributions totaling $5,000 

or more (in money or property) from any one contributor. Complete Parts I and II. See instructions for determining a 

contributor's total contributions. 

Special Rules 

El For an organization described in section 501 (c)(3) filing Form 990 or 990-EZ that met the 331/3% support test of the 

regulations under sections 509(a)(1) and 170{b){1 )(A)(vi), that checked Schedule A (Form 990 or 990-EZ), Part 11, line 

13, 16a, or 16b, and that received from any one contributor, during the year, total contributions of the greater of (1) 

$5,000; or (2) 2% of the amount on (i) Form 990, Part VIII, line 1 h; or (ii) Form 990-EZ, line 1. Complete Parts I and II. 

D For an organization described in section 501 (c)(7), (8), or (10) filing Form 990 or 990-EZ that received from any one 

contributor, during the year, total contributions of more than $1,000 exclusively for religious, charitable, scientific, 

literary, or educational purposes, or for the prevention of cruelty to children or animals. Complete Parts I, 11, and Ill. 

D For an organization described in section 501 (c)(7), (8), or (10) filing Form 990 or 990-EZ that received from any one 

contributor, during the year, contributions exclusively for religious, charitable, etc., purposes, but no such 

contributions totaled more than $1,000. If this box is checked, enter here the total contributions that were received 

during the year for an exclusively religious, charitable, etc., purpose. Don't complete any of the parts unless the 

General Rule applies to this organization because it received nonexclusively religious, charitable, etc., contributions 

totaling $5,000 or more during the year . . . . . . . . . . . . ► $ ---------------------------------· 

Caution: An organization that isn't covered by the General Rule and/or the Special Rules doesn't file Schedule B (Form 990, 

990-EZ, or 990-PF), but it must answer "No" on Part IV, line 2, of its Form 990; or check the box on line H of its Form 990-EZ or on its 

Form 990-PF, Part I, line 2, to certify that it doesn't meet the filing requirements of Schedule B (Form 990, 990-EZ, or 990-PF). 

For Paperwork Reduction Act Notice, see the instructions for Form 990, 990-EZ, or 990-PF. Cat. No. 30613X Schedule B (Form 990, 990-EZ, or 990-PF) (2019) 

Smithsonian Institution 22 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule B(Form 990, 990-EZ, or 990-PF) (2019) Page 2

Name of organization

SMITHSONIAN INSTITUTION

Employer identification number

53-0206027

Parti Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.

(a) (b) (c) (d)

No. Name, address, and ZIP + 4 Total contributions Type of contribution

0

: 1 Person

Payroll

Noncash

(Complete Part II for

noncash contributions.)

$ 963,234,187

(a) (b) (c) (d)

No. Name, address, and ZIP + 4 Total contributions Type of contribution

Person

Payroll

Noncash

(Complete Part II for

noncash contributions.)

$.

(a) (b) (c) (d)

No. Name, address, and ZIP + 4 Total contributions Type of contribution

Person

Payroll

Noncash

(Complete Part II for

noncash contributions.)

;

$

(a) (b) (c) (d)

No. Name, address, and ZIP + 4 Total contributions Type of contribution

Person

Payroll

Noncash

(Complete Part II for

noncash contributions.)

S

$

(a) (b) (c) (d)

No. Name, address, and ZIP + 4 Total contributions Type of contribution

Person

Payroll

Noncash

(Complete Part II for

noncash contributions.)

$

(a) (b) (c) (d)

No. Name, address, and ZIP + 4 Total contributions Type of contribution

Person

Payroll

Noncash

(Complete Part II for

noncash contributions.)

$

Schedule B (Form 990, 990-EZ, or 990-PF) (2019)

Smithsonian Institution 8/4/2021 1:49:57 PM

53-0206027

23
Schedule B (Form 990, 990-EZ, or 990-PF) (2019) Page3 

Name of organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Ulffllli Noncash Property (see instructions). Use duplicate copies of Part II if additional space is needed. 

(a} No. 

from 

Part I 

(b} 

Description of noncash property given 

(c) 

FMV (or estimate} 

(See instructions.) 

(d) 

Date received 

(a) No. 

from 

Part I 

(b) 

Description of noncash property given 

(c) 

FMV (or estimate) 

(See instructions.) 

(d} 

Date received 

$ ----------------------------

(a) No. 

from 

Part I 

(b) 

Description of noncash property given 

(c) 

FMV (or estimate} 

(See instructions.) 

(d} 

Date received 

$ ----------------------------

(a} No. 

from 

Part I 

(b} 

Description of noncash property given 

(c} 

FMV (or estimate) 

(See instructions.) 

(d} 

Date received 

(a} No. 

from 

Part I 

(b} 

Description of noncash property given 

(c} 

FMV (or estimate} 

(See instructions.) 

(d} 

Date received 

$ ----------------------------

(a} No. 

from 

Part I 

(b) 

Description of noncash property given 

(c} 

FMV (or estimate} 

(See instructions.) 

(d} 

Date received 

$ ----------------------------

Schedule B (Fonn 990, 990-EZ, or 990-PF) (2019) 

Smithsonian Institution 24 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule B (Form 990, 990-EZ, or 990-PF) (2019) Page4 

Name of organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Exclusively religious, charitable, etc., contributions to organizations described in section 501(c)(7), (8), or 

(1O)that total more than $1,000 for the year from any one contributor. Complete columns (a) through (e) and 

the following line entry. For organizations completing Part Ill, enter the total of exclusively religious, charitable, etc., 

contributions of $1,000 or less for the year. (Enter this information once. See instructions.) ► $ 

Use duplicate copies of Part Ill if additional space is needed. 

(a)No. 

from 

Part I 

(b) Purpose of gift (c) Use of gift (d) Description of how gift is held 

Transferee's name, address, and ZIP + 4 

(e) Transfer of gift 

Relationship of transferor to transferee 

(a) No. 

from 

Part I 

(b) Purpose of gift (c) Use of gift (d) Description of how gift is held 

Transferee's name, address, and ZIP + 4 

(e) Transfer of gift 

Relationship of transferor to transferee 

(a)No.

from 

Part I 

(b) Purpose of gift (c) Use of gift (d) Description of how gift is held 

Transferee's name, address, and ZIP + 4 

(e) Transfer of gift 

Relationship of transferor to transferee 

(a) No. 

from 

Part I 

(b) Purpose of gift (c) Use of gift (d) Description of how gift is held 

Transferee's name, address, and ZIP + 4 

(e) Transfer of gift 

Relationship of transferor to transferee 

Schedule B (Fonn 990, 990-EZ, or 990-PF) (2019) 

Smithsonian Institution 25 8/4/2021 1 :49:57 PM 

53-0206027 
_____________________ 

SCHEDULED 0MB No. 1545-0047 Supplemental Financial Statements (Form 990) ► Complete if the organization answered "Yes" on Form 990, 

Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b. 

► Attach to Form 990. Open to Ruolic 

Internal Revenue Service 

Department of the Treasury 

Goto www.irs.gov/Form990 for instructions and the latest information. Inspection 

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. 

Complete if the organization answered "Yes" on Form 990, Part IV, line 6. 

1 Total number at end of year . 

(a) Donor advised funds (b) Funds and other accounts 

2 Aggregate value of contributions to (during year) 

3 Aggregate value of grants from (during year) 

4 Aggregate value at end of year . 

5 Did the organization inform all donors and donor advisors in writing that the assets held in donor advised 

funds are the organization's property, subject to the organization's exclusive legal control? . D Yes D No 

6 Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used 

only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose 

conferring impermissible private benefit? D Yes D No 

Conservation Easements. 

Complete if the organization answered "Yes" on Form 990, Part IV, line 7. 

1 Purpose(s) of conservation easements held by the organization (check all that apply). 

D Preservation of land for public use (for example, recreation or education) D Preservation of a historically important land area 

0 Protection of natural habitat Preservation of a certified historic structure 

D Preservation of open space 

2 Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation 

easement on the last day of the tax year. Held at the End of the Tax Year 

a Total number of conservation easements 2a 1---1----------- D Total acreage restricted by conservation easements. 1--2_1:> 8_8_.2_5 _ _____ ___

c Number of conservation easements on a certified historic structure included in (a) 1--2_c_________ _ 

d Number of conservation easements included in (c) acquired after 7/25/06, and not on a 

historic structure listed in the National Register 2d 

~-~--------- 0 

3 Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the 

tax year ► _____________ g____________ _ 

4 Number of states where property subject to conservation easement is located ► _ 5 Does the organization have a written policy regarding the periodic monitoring, inspection, handling of 

violations, and enforcement of the conservation easements it holds? . D Yes 0 No 

6 Staff and volunteer hours devoted to monitoring, inspecting, handling of violations, and enforcing conservation easements during the year 

► 7 Amount of expenses incurred in monitoring, inspecting, handling of violations, and enforcing conservation easements during the year 

$ 

8 Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(S)(i) 

and section 170(h)(4)(S)(ii)? . D Yes D No 

9 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. 

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 FASS 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. 

I:> If the organization elected, as permitted under FASS 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 FASS ASC 958 relating to these items: 

a Revenue included on Form 990, Part VIII, line 1 ► $ ____________________________ _ 

I:> Assets included in Form 990, Part X . ► $ 

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 52283D Schedule D (Form 990) 2019 

Smithsonian Institution 26 8/4/2021 1 :49:57 PM 

53-0206027 

2 
Schedule D (Form 990) 2019 Page 2 

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 make significant use of its 

collection items (check all that apply): 

a 0 Public exhibition d 0 Loan or exchange program 

b 

c 

0 Scholarly research 

0 Preservation for future generations e D Other ----------------------------------------------------------------

4 Provide a description of the organization's collections and explain how they further the organization's exempt purpose in Part 

XIII. 

5 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? 0 Yes D No 

l@l\+j 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. 

1a Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not 

included on Form 990, Part X? . . . . . . . . . . . . . . . . . . . . . . . D Yes D No 

b If "Yes," explain the arrangement in Part XIII and complete the following table: 

c Beginning balance . . . 

d Additions during the year 

e Distributions during the year 

f Ending balance . . . . . 

Amount 

1c 

1d 

1e 

1f 

2a Did the organization include an amount on Form 990, Part X, line 21, for escrow or custodial account liability? D Yes D No 

b If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided on Part XIII . . . . D 

Endowment Funds. 

Complete if the organization answered "Yes" on Form 990, Part IV, line 10. 

1a 

b 

C 

d 

e 

f 

g 

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 

(a) Current year (b) Prior year (c) Two years back (d) Three years back (e) Four years back 

1,713,248,540 1,645,269,208 1,502,159,340 1,368,754,997 1,288,235,067 

35,816,167 36,000,996 52,445,032 42,062,815 52,940,072 

270,503,159 113,052,434 167,085,531 166,875,266 99,512,052 

76,885,815 75,789,588 72,853,244 71,427,379 67,486,808 

4,927,370 5,284,510 3,567,451 4,106,359 4,445,386 

1,937,754,681 1,713,248,540 1,645,269,208 1,502,159,340 1,368,754,997 

2 Provide the estimated percentage of the current year end balance {line 1 g, column (a)) held as: 

a Board designated or quasi-endowment ► ___________ i!:~~% - b Permanent endowment ► 28.89 % ------------- ------

c Term endowment ► 29.58 % - - --- ----- - ---- - - - M 

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 

organization by: 

(i) Unrelated organizations . . . . . . . . . . . . . . . . . . . 

(ii) Related organizations . . . . . . . . . . . 

b If "Yes" on line 3a(ii), are the related organizations listed as required on Schedule R? 

Yes No 

3a(i) V

3a(ii) V

3b 

4 Describe in Part XIII the intended uses of the organization's endowment funds. 

Land, Buildings, and Equipment. 

Complete if the organization answered "Yes" on Form 990, Part IV, line 11 a. See Form 990, Part X, line 10. 

Description of property (a) Cost or other basis (b) Cost or other basis (c) Accumulated 

(investment) (other) depreciation 

1a Land . . . . . 32,341,229 

b Buildings . 4,263,367,611 2,187,729,184 

c Leasehold improvements 131,632,539 87,627,125 

d Equipment 440,149,468 350,481,911 

e Other . 499,120,318 

(d) Book value 

32,341,229 

2,075,638,427 

44,005,414 

89,667,557 

499,120,318 

Total. Add lines 1 a through 1 e. (Column (d) must equal Form 990, Part X, column (8), line 1 Oc.) . . ► 2,740,772,945 

Schedule D (Form 990) 2019 

Smithsonian Institution 27 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule D (Form 990) 2019 Page 3 

Investments- Other Securities. 

Complete if the organization answered "Yes" on Form 990, Part IV, line 11 b. See Form 990, Part X, line 12. 

(a) Description of security or category 

(including name of security) 

(1) Financial derivatives 

(2) Closely held equity interests . . . . . . 

(b) Book value (c) Method of valuation: 

Cost or end-of-year market value 

(3) Other------------------------------------------------------------------------------------------------------

___(A)_ GLOBAL & EMERGINGMARKETS--------------------------------------------- 424,748,733 END OF YEAR MARKET VALUE 

___(B) _ MARKETABLEALTERNATIVES_________________________________________________355,300,512 END OF YEAR MARKET VALUE 

___(C) _ PRIVATE_EQUITY& VENTURE CAPITAL------------------------------------- 733,669,131 END OF YEAR MARKET VALUE 

___(D)_NATURAL_RESOURCES--------------------------------------------------------- 79,674,790 END OF YEAR MARKET VALUE 

___(E) _ REAL ESTATE--------------------------------------------------------------------- 135,791,840 END OF YEAR MARKET VALUE 

___(F)_FIXED INCOME____________________________________________________________________ 22,051,762 END OF YEAR MARKET VALUE 

--- (G)_________________________________________________________________________________________ f-- _____ _._ _____________ _ 

(H) 

Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.) . ► 1,751,236,768 

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. 

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 11 e or 11 f. See Form 990, Part X, 

line 25. 

1. (a) Description of liability (b) Book value 

(1) Federal income taxes 

(2) ENVIRONMENTALREMEDIATIONOBLIGATION 51,668,648 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

Total. (Column (b) must equal Form 990, Part X, col. (B) line 25.) .► 51,668,648 

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 under FASB ASC 7 40. Check here if the text of the footnote has been provided in Part XIII . 0 

Schedule D (Form 990) 2019 

Smithsonian Institution 28 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule D (Form 990) 2019 Page4 

i@f+ I Reconciliation of Revenue per Audited Financial Statements With Revenue per Return. 

Complete if the organization answered "Yes" on Form 990, Part IV, line 12a. 

1 Total revenue, gains, and other support per audited financial statements 

2 Amounts included on line 1 but not on Form 990, Part VIII, line 12: 

a Net unrealized gains (losses) on investments 

b Donated services and use of facilities 

c Recoveries of prior year grants . 

d Other (Describe in Part XIII.) . 

e Add lines 2a through 2d . . . 

3 Subtract line 2e from line 1 . . 

4 Amounts included on Form 990, Part VI 11,line 12, but not on line 1 : 

2a 132,998,401 

2b 9,886,641 

2c 

2d 89,318,738 

a Investment expenses not included on Form 990, Part VIII, line 7b 4a 2,236,898 

b Other (Describe in Part XIII.) . . . . . . . . . . . . . . 4b (14,527,405) 

1,806,094,272 

232,203,780 

1,573,890,492 

c Add lines 4a and 4b . . . . . . . . . . . . . . . . . . . . {12,290,507) 

5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) . . . . 1,561,599,985 

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 Total expenses and losses per audited financial statements . . 

2 Amounts included on line 1 but not on Form 990, Part IX, line 25: 

a Donated services and use of facilities 

b Prior year adjustments 

c Other losses . . . . . . 

d Other (Describe in Part XIII.) . 

e Add lines 2a through 2d . . 

3 Subtract line 2e from line 1 . 

4 Amounts included on Form 990, Part IX, line 25, but not on line 1: 

2a 

2b 

2c 

2d 

9,886,641 

0 

a Investment expenses not included on Form 990, Part VIII, line 7b _4a_____ 2_,2_3_6_,8_9_8 

b Other (Describe in Part XIII.) . . . . . . . . . . . . . .___4b___.__ ---'-(1_0_1.;._,7_32_,_31_8-=--) 

c Add lines 4a and 4b . . . . . . . . . . . . . . . 

5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) . 

Supplemental Information. 

1,503,396,954 

9,886,641 

1,493,510,313 

(99,495,420) 

1,394,014,893 

Provide the descriptions required for Part II, lines 3, 5, and 9; Part 111,lines 1 a and 4; Part IV, lines 1 band 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. 

SEE STATEMENT 

Schedule D (Form 990) 2019 

Smithsonian Institution 29 8/4/2021 1 :49:57 PM 

53-0206027 
990 

~art XIII 

Return Reference - Identifier 

SCHEDULED, PART XI, LINE 

2(0) - OTHER REVENUES IN 

AUDITED FINANCIAL 

STATEMENTS NOT IN FORM 

SCHEDULE D, PART XI, LINE 

4(8) - OTHER REVENUE 

SCHEDULE D, PART XII, LINE 

4(8) - OTHER EXPENSES 

FNDRAISING EXP - 2,712,095

COST OF GOODS SOLD - 11,815,310

ROUNDING 25

Smithsonian Institution 

53-0206027 

Provide the descriptions required for Part II, lines 3, 5, and 9; Part Ill, lines 1a and 4; Part IV, lines 1b 

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. 

FEDERAL IMPUTED COST 

30 8/4/2021 1 :49:57 PM 
Supplemental Information. Provide the descriptions required for Part II, lines 3, 5, and 9; Part Ill, !%art*Ill lines 1a and 4; Part IV, lines 1b 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. 

Return Reference - Identifier Explanation 

SCHEDULE D, PART II, 

LINE 3 - CONSERVATION 

EASEMENTS 

SMITHSONIAN INSTITUTION DID NOT MODIFY, TRANSFER, RELEASE, EXTINGUISH OR TERMINATE ANY 

CONSERVATION EASEMENTS DURING THE YEAR. 

SCHEDULED, PART II, THE SMITHSONIAN ENVIRONMENTAL RESEARCH CENTER (SERC) IS LOCATED ON 2,650 ACRES OF LAND ON 

LINE 6 - CONSERVATION THE CHESAPEAKE BAY IN SOUTHERN MARYLAND SPANNING FORESTS, WETLANDS, MARSHES, AND 12 

MONITORING POLICIES MILES OF PROTECTED SHORELINE. THE SITE SERVES AS A NATURAL LABORATORY FOR LONG-TERM AND 

CUTTING-EDGE ECOLOGICAL RESEARCH. THE SMITHSONIAN HAS A CONSERVATION EASEMENT 

ASSOCIATED WITH PROPERTY THAT IS IMMEDIATELY ADJACENT TO SERC LAND OWNED BY THE 

INSTITUTION. FACILITIES AND SECURITY STAFF VISIT THE AREA REGULARLY, AND ARE THUS ABLE TO 

REPORT ANY UNUSUAL ACTIVITY ON THE LAND SUBJECT TO THE EASEMENT. THE ORGANIZATION DOES 

NOT SEPARATELY TRACK THE HOURS AND EXPENSES ASSOCIATED WITH MONITORING THE PROPERTY 

RELATED TO THE EASEMENT. 

SCHEDULE D, PART II, THE SMITHSONIAN INSTITUTION'S CONSERVATION EASEMENT DOES NOT APPEAR IN THE INSTITUTION'S 

LINE 9 - CONSERVATION AUDITED FINANCIAL STATEMENTS. 

EASEMENTS FINANCIAL 

REPORTING 

SCHEDULE D, PART Ill, IN CONFORMITY WITH THE PRACTICE GENERALLY FOLLOWED BY MUSEUMS, NO VALUE IS ASSIGNED TO 

LINE 1A - COLLECTIONS THE COLLECTIONS IN THE STATEMENT OF FINANCIAL POSITION. 

OF ART - FINANCIAL 

STATEMENT FOOTNOTE PURCHASES OF COLLECTION ITEMS ARE RECOGNIZED AS REDUCTIONS IN UNRESTRICTED NET ASSETS IN 

THE PERIOD OF ACQUISITION. 

PROCEEDS FROM DEACCESSIONS OR INSURANCE RECOVERIES FOR LOST OR DESTROYED COLLECTION 

ITEMS ARE RECOGNIZED AS INCREASES IN THE APPROPRIATE NET ASSET CLASS AND ARE DESIGNATED 

FOR FUTURE COLLECTION ACQUISITIONS. 

SCHEDULE D, PART 111, 

LINE 4 - COLLECTIONS OF 

ART - DESCRIPTION OF 

COLLECTIONS 

THE ACQUISITION, PRESERVATION, MANAGEMENT, AND STUDY OF COLLECTIONS ARE FUNDAMENTAL TO 

THE SMITHSONIAN'S MISSION TO INCREASE AND DIFFUSE KNOWLEDGE AND HAVE BEEN THE FOUNDATION 

UPON WHICH IT RESTS. 

SMITHSONIAN COLLECTIONS ARE A NATIONAL AND GLOBAL RESOURCE ACCESSED EACH YEAR BY 

MILLIONS OF VISITORS AND RESEARCHERS WHO USE TRADITIONAL METHODS AND CUTTING-EDGE 

TECHNOLOGIES TO EXPLORE SUBJECTS FROM AERONAUTICS TO ZOOLOGY. 

THROUGH ITS COLLECTIONS, THE SMITHSONIAN PRESENTS THE ASTONISHING RECORD OF AMERICAN AND 

INTERNATIONAL ARTISTIC, HISTORICAL, CULTURAL, AND SCIENTIFIC ACHIEVEMENT, WITH A SCOPE AND 

DEPTH NO OTHER INSTITUTION IN THE WORLD CAN MATCH. 

SMITHSONIAN COLLECTIONS CONTRIBUTE TO POPULATION RECOVERY OF ENDANGERED SPECIES, 

ADVANCES IN REPRODUCTIVE BIOLOGY, GENOME RESOURCE BANKING, MEDICAL RESEARCH, FORENSIC 

ANALYSIS, BIO-SECURITY, AND CONSERVATION POLICY WORLDWIDE. 

ASSEMBLED OVER MORE THAN 165 YEARS, THE COLLECTIONS ARE CENTRAL TO THE CORE ACTIVITIES 

AND TO THE VITALITY AND SIGNIFICANCE OF THE SMITHSONIAN. 

SCHEDULE D, PART V, THE ENDOWMENT INCLUDES APPROXIMATELY 600 INDIVIDUAL ENDOWMENT FUNDS. THE ENDOWMENT 

LINE 4 - INTENDED USES PROVIDES STABLE FINANCIAL SUPPORT FOR SCHOLARSHIP, RESEARCH ACTIVITIES, OTHER PROGRAMS, 

OF ENDOWMENT FUNDS ACQUISITIONS OF COLLECTIONS AND OTHER INSTITUTIONAL ACTIVITIES. 

IT PLAYS A CRITICAL ROLE IN ENABLING THE INSTITUTION TO ACHIEVE ITS MISSION - "THE INCREASE AND 

DIFFUSION OF KNOWLEDGE." 

THE ENDOWMENT INCLUDES BOTH DONOR-RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY 

THE BOARD OF REGENTS TO FUNCTION AS ENDOWMENTS. CLASSIFICATION AND REPORTING OF NET 

ASSETS ASSOCIATED WITH THE ENDOWMENT REFLECT DONOR-IMPOSED RESTRICTIONS. 

SCHEDULE D, PART X, 

LINE 2 - FIN 48 (ASC 740) 

FOOTNOTE 

THE SMITHSONIAN RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE 

MORE LIKELY THAN NOT OF BEING SUSTAINED. THE SMITHSONIAN DOES NOT BELIEVE ITS FINANCIAL 

STATEMENTS INCLUDE ANY UNCERTAIN TAX POSITIONS. 

Smithsonian Institution 31 8/4/2021 1 :49:57 PM 

53-0206027 
SCHEDULE F 0MB No. 1545-0047 Statement of Activities Outside the United States (Form 990) 

► Complete if the organization answered "Yes" on Form 990, Part IV, line 14b, 15, or 16. 

► Attach to Form 990. 

Department of the Treasury 0Ren to Buolio Goto www.irs.gov/Form990 for instructions and the latest information. Internal Revenue Service lnss:>,eotion

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

General Information on Activities 0utside the United States. Complete if the organization answered "Yes" on 

Form 990, Part IV, line 14b. 

1 For grantmakers. Does the organization maintain records to substantiate the amount of its grants and 

other assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to 

award the grants or assistance? 0 Yes D No 

2 For grantmakers. Describe in Part V the organization's procedures for monitoring the use of its grants and other assistance 

outside the United States. 

3 Activities per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.) 

(a) Region 

CENTRAL AMERICA AND THE 

(

1) CARIBBEAN 

EAST ASIA AND THE PACIFIC 

(2) 

EUROPE (INCLUDING 

(

3} ICELAND AND GREENLAND) 

NORTH AMERICA (CANADA & 

(

4) MEXICO ONLY) 

RUSSIA AND NEIGHBORING 

(

5) STATES 

SOUTH AMERICA 

(6) 

SOUTH ASIA 

(7) 

SUB-SAHARAN AFRICA 

(8) 

CENTRAL AMERICA AND THE 

(9) CARIBBEAN 

EUROPE (INCLUDING 

(10) ICELAND AND GREENLAND) 

NORTH AMERICA (CANADA & 

(n) MEXICO ONLY) 

SUB-SAHARAN AFRICA 

(12) 

CENTRAL AMERICA AND THE 

(

13) CARIBBEAN 

EAST ASIA AND THE PACIFIC 

(14) 

EUROPE (INCLUDING 

(15) ICELAND AND GREENLAND) 

MIDDLE EAST AND NORTH 

(

16) AFRICA 

(SEE ST AT EM ENT) 

(17) 

3a Subtotal 

b Total from continuation 

sheets to Part I 

c Totals (add lines 3a and 3b) 

(b) Number 

of offices in 

the region 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

12 

12 

(c) Number of 

employees, 

agents, and 

independent 

contractors 

in the region 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

607 

607 

(d) Activities conducted in the 

region (by type) (such as, 

fundraising, program services, 

investments, grants to recipients 

located in the region) 

ACADEMIC APPOINTMENT 

STIPENDS 

ACADEMIC APPOINTMENT 

STIPENDS 

ACADEMIC APPOINTMENT 

STIPENDS 

ACADEMIC APPOINTMENT 

STIPENDS 

ACADEMIC APPOINTMENT 

STIPENDS 

ACADEMIC APPOINTMENT 

STIPENDS 

ACADEMIC APPOINTMENT 

STIPENDS 

ACADEMIC APPOINTMENT 

STIPENDS 

INVESTMENTS 

INVESTMENTS 

INVESTMENTS 

INVESTMENTS 

PROGRAM SERVICES 

PROGRAM SERVICES 

PROGRAM SERVICES 

PROGRAM SERVICES 

(e) If activity listed in {d) is 

a program service, 

describe specific type of 

service(s) in the region 

TRAVEL RELATED TO 

RESEARCH.CONFERENCES 

AND TRAINING 

TRAVEL RELATED TO 

RESEARCH.CONFERENCES 

AND TRAINING 

TRAVEL RELATED TO 

RESEARCH.CONFERENCES 

AND TRAINING 

TRAVEL RELATED TO 

RESEARCH.CONFERENCES 

AND TRAINING 

(f)Total 

expenditures for 

and investments 

in the region 

2,230,635 

756,937 

567,131 

401,087 

53,900 

650,523 

75,502 

93,400 

1,007,296,257 

104,320,507 

4,616,082 

26,600,228 

321,399 

683,767 

1,294,802 

137,915 

1,150,100,072 

30,522,666 

1,180,622,738 

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50082W Schedule F (Form 990) 2019 

Smithsonian Institution 32 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule F (Form 990) 2019 Page 2 

Ufffl1jlGrants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" on Form 990, 

Part IV, line 15, for any recipient who received more than $5,000. Part II can be duplicated if additional space is needed. 

(a) Name of (c) Region (h) Description

organization 

(b) IRS code 

section and EIN 

(if applicable) 

(d) Purpose of 

grant 

(e) Amount of 

cash grant 

(f) Manner of 

cash 

disbursement 

(g) Amount of 

noncash 

assistance 

of noncash assistance 

(i) Method of 

valuation 

(book, FMV, 

appraisal, other) 

2 Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt 

by the IRS, or for which the grantee or counsel has provided a section 501 (c)(3) equivalency letter ► 

3 Enter total number of other organizations or entities . ► 

Schedule F (Form 990) 2019 

Smithsonian Institution 33 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule F (Form 990) 2019 Page 3 

Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" on Form 990, Part IV, line 16. 

Part Ill can be duplicated if additional space is needed. 

(a) Type of grant or assistance (b) Region (c) Number of 

recipients 

(d) Amount of 

cash grant 

(e) Manner of 

cash 

disbursement 

(f) Amount of 

noncash 

assistance 

(g) Description 

of noncash assistance 

(h) Method of 

valuation 

(book, FMV, 

appraisal, other) 

(1) 

ACADEMIC APPOINTMENT 

STIPENDS 

CENTRAL AMERICA AND THE 

CARIBBEAN 

217 2,230,635 

DIRECT DEPOSIT AND 

CHECK 

(2) 

(3) 

ACADEMIC APPOINTMENT 

STIPENDS 

ACADEMIC APPOINTMENT 

STIPENDS 

EAST ASIA AND THE 

PACIFIC 

EUROPE (INCLUDING !CELANO 

AND GREENLAND) 

29 

31 

756,937 

567,131 

DIRECT DEPOSIT AND 

CHECK 

DIRECT DEPOSIT AND 

CHECK 

(4) 

ACADEMIC APPOINTMENT 

STIPENDS 

NORTH AMERICA (CANADA & 

MEXICO ONLY) 

13 401,087 

DIRECT DEPOSIT AND 

CHECK 

(5) 

ACADEMIC APPOINTMENT 

STIPENDS 

RUSSIA AND NEIGHBORING 

STATES 

2 53,900 

DIRECT DEPOSIT AND 

CHECK 

(6} 

(7) 

ACADEMIC APPOINTMENT 

STIPENDS 

ACADEMIC APPOINTMENT 

STIPENDS 

SOUTH AMERICA 

SOUTH ASIA 

26 

5 

650,523 

75,502 

DIRECT DEPOSIT AND 

CHECK 

DIRECT DEPOSIT AND 

CHECK 

(8) 

ACADEMIC APPOINTMENT 

STIPENDS 

SUB-SAHARAN AFRICA 

2 93,400 

DIRECT DEPOSIT AND 

CHECK 

(9) 

(10) 

(11) 

(12) 

(13) 

(14) 

(15) 

(16) 

(17) 

(18) 

Schedule F (Form 990) 2019 

Smithsonian Institution 34 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule F (Form 990) 2019 Page 4 

Foreign Forms 

1 Was the organization a U.S. transferor of property to a foreign corporation during the tax year? If "Yes," 

the organization may be required to file Form 926, Return by a U.S. Transferor of Property to a Foreign 

Corporation (see Instructions for Form 926) . [a Yes D No 

2 Did the organization have an interest in a foreign trust during the tax year? If "Yes," the organization may 

be required to separately file Form 3520, Annual Return To Report Transactions With Foreign Trusts and 

Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust With a 

U.S. Owner (see Instructions for Forms 3520 and 3520-A; don't file with Form 990) [a Yes D No 

3 Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," 

the organization may be required to file Form 5471, Information Return of U.S. Persons With Respect to 

Certain Foreign Corporations (see Instructions for Form 5471) [a Yes D No 

4 Was the organization a direct or indirect shareholder of a passive foreign investment company or a 

qualified electing fund during the tax year? If "Yes," the organization may be required to file Form 8621, 

Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing 

Fund (see Instructions for Form 8621) [a Yes D No 

5 Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," 

the organization may be required to file Form 8865, Return of U.S. Persons With Respect to Certain 

Foreign Partnerships (see Instructions for Form 8865) [a Yes D No 

6 Did the organization have any operations in or related to any boycotting countries during the tax year? If 

"Yes," the organization may be required to separately file Form 5713, International Boycott Report (see 

Instructions for Form 5713; don't file with Form 990). . [a Yes D No 

Schedule F (Form 990) 2019 

Smithsonian Institution 35 8/4/2021 1 :49:57 PM 

53-0206027 
Activities per Region (continued) 

(a) 

Region 

(b) 

Number of offices in 

the region 

(c) 

Number of 

employees, agents, 

and independent 

contractors in region 

(d) 

Activities conducted 

in region (by type) 

(e.g., fundraising, program 

services, investments, 

grants to recipients located 

in the region) 

(e) 

If activity listed in (d) 

is a program 

service, describe 

specific type of 

service(s) in region 

(f) 

Total expenditures 

for and investments 

in region 

(17) NORTH AMERICA (CANADA & 

MEXICO ONLY) 0 0 PROGRAM SERVICES 

TRAVEL RELATED 

TO RESEARCH, 

CONFERENCES 

AND TRAINING 

183,145 

(18) RUSSIA AND NEIGHBORING 

STATES 0 Q PROGRAM SERVICES 

TRAVEL RELATED 

TO RESEARCH, 

CONFERENCES 

AND TRAINING 

50,520 

(19) SOUTH AMERICA 0 Q PROGRAM SERVICES 

TRAVEL RELATED 

TO RESEARCH, 

CONFERENCES 

AND TRAINING 

268,311 

(20) SOUTH ASIA 0 Q PROGRAM SERVICES 

TRAVEL RELATED 

TO RESEARCH, 

CONFERENCES 

AND TRAINING 

94,115 

(21) SUB-SAHARAN AFRICA 0 Q PROGRAM SERVICES 

TRAVEL RELATED 

TO RESEARCH, 

CONFERENCES 

AND TRAINING 

291,462 

(22) CENTRAL AMERICA AND THE 

CARIBBEAN 8 571 PROGRAM SERVICES RESEARCH 

FACILITIES 28,271,947 

(23) EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES 

TROPICAL 

RESEARCH; 

FOREST AND 

WILDLIFE 

200,456 

(24) EUROPE (INCLUDING ICELAND 

AND GREENLAND) 1 5 PROGRAM SERVICES SCIENTIFIC 

RESEARCH 97,077 

(25) RUSSIA AND NEIGHBORING 

STATES 1 15 PROGRAM SERVICES 

JOINT PROGRAM 

WITH USAID FOR 

COMMUNITY 

BASED TOURISM 

DEVELOPMENT IN 

ARMENIA 

449,596 

(26) SOUTH AMERICA 1 11 PROGRAM SERVICES 

TROPICAL 

RESEARCH; 

FOREST AND 

WILDLIFE 

240,157 

(27) SUB-SAHARAN AFRICA 1 5 PROGRAM SERVICES 

TROPICAL 

RESEARCH, 

FOREST AND 

WILDLIFE 

375,880 

Smithsonian Institution 36 8/4/2021 1 :49:57 PM 

53-0206027 
Supplemental lnfonnation. Provide the information required by Part I, line 2 (monitoring of funds); 

Part I, line 3, column (f) (accounting method;amounts of investments vs. expenditures per region); Part 

II, line 1 (accounting method); Part Ill (accounting method); andPart Ill, column (c) (estimated number 

of recipients), as applicable. Also complete this part to provide any additional information (see 

instructions). 

Return Reference - Identifier Explanation 

SCHEDULE F, PART I, LINE 

2 - PROCEDURES FOR 

MONITORING USE OF 

GRANT FUNDS 

THE OFFICE OF FELLOWSHIPS HAS CENTRAL MANAGEMENT AND ADMINISTRATIVE RESPONSIBILITY FOR 

THE SMITHSONIAN PROGRAMS OF RESEARCH FELLOWSHIPS AND OTHER ACADEMIC APPOINTMENTS FOR 

UNDERGRADUATE, GRADUATE STUDENTS, POSTDOCTORAL AND SENIOR SCHOLARS. 

THE SMITHSONIAN INSTITUTION FELLOWSHIP PROGRAM IS A COMPETITIVE FELLOWSHIP PROGRAM FOR 

GRADUATE AND POSTDOCTORAL FELLOWS, WHO APPLY TO CONDUCT RESEARCH AT THE INSTITUTION 

WITH RESEARCH STAFF SERVING AS ADVISORS. THE REVIEW PROCESS IS MADE UP OF DISCIPLINARY 

COMMITTEES COMPRISED OF THE INSTITUTION'S STAFF WHO EVALUATE THE CANDIDATES AND THEN 

SELECT THE FELLOWS. THERE ARE OTHER COMPETITIVE AND NON-COMPETITIVE FELLOWSHIPS FOR 

VISITING SCHOLAR AND STUDENT APPOINTEES SELECTED THROUGH THE SMITHSONIAN UNITS THAT GO 

THROUGH A VARIETY OF OTHER SELECTION PROCESSES BEFORE AN AWARD IS MADE. AN OFFICIAL 

LETTER/AGREEMENT IS PROVIDED TO EACH AWARD RECIPIENT IDENTIFYING THE AWARD TITLE, DATES OF 

TENURE, STIPEND ALLOWANCES, AND REQUIRED RESPONSIBILITIES FOR HOLDING THIS POSITION. 

ALL RECIPIENTS EITHER WILL IDENTIFY A FINANCIAL INSTITUTION FOR RECEIPT OF THEIR MONETARY 

AWARD OR THEY WILL RECEIVE US TREASURY CHECKS. DEPENDING ON THE TENURE OF THE 

APPOINTMENT, PAYMENTS CAN RANGE FROM ONE LUMP SUM, BIWEEKLY PAYMENTS OR MONTHLY 

PAYMENTS. MOST FELLOWSHIP APPOINTMENTS ARE AWARDED FOR ONE TO TWO YEARS. ON OCCASION, 

THE SMITHSONIAN INSTITUTION HAS VISITING SCHOLARS OR FELLOWS WHO ARE CONDUCTING RESEARCH 

IN ANOTHER COUNTRY. PAYMENTS ARE USUALLY SUBMITTED AS STATED ABOVE, HOWEVER, ON 

OCCASION, THERE MAY BE ONE OR TWO WHO REQUEST THAT THEIR PAYMENTS BE SENT TO THE 

COUNTRY OF THEIR RESEARCH. AT THE END OF TENURE, A FINAL REPORT OF THEIR RESEARCH 

ACCOMPLISHMENTS IS PROVIDED FOR OUR RECORDS. 

SMITHSONIAN RESEARCH STAFF WHO SERVE AS ADVISORS TO THESE FELLOWS, STUDENTS AND 

SCHOLARS ARE USUALLY IN THE FIELD DURING THEIR TENURE. THE EIGHT SMITHSONIAN RESEARCH 

CENTERS LOCATED IN THE UNITED STATES AND ONE LOCATED IN PANAMA MONITOR THE PROGRESS OF 

THEIR FELLOWS ESPECIALLY THOSE FELLOWS IN OTHER COUNTRIES, AND THE ADMINISTRATIVE 

MANAGEMENT OF FUNDS IS MANAGED THROUGH THE INSTITUTION'S CENTRAL ADMINISTRATION FOR 

ACCOUNTABILITY. 

SCHEDULE F, PART I, LINE PER FORM 990 INSTRUCTIONS, STIPENDS ARE REPORTED ON SCHEDULE F IF THE 

3-ACADEMIC PERSON RECEIVING THE STIPEND IS LIVING OR RESIDING OUTSIDE THE UNITED 

APPOINTMENTS STATES AT THE TIME THE STIPEND IS PAID OR DISTRIBUTED. HOWEVER, MANY OF 

(STIPENDS) THESE STIPEND RECIPIENTS LATER TRAVELED TO THE SMITHSONIAN IN THE UNITED 

STATES TO PERFORM THEIR RESEARCH. 

SCHEDULE F, PART I, LINE PROGRAM SERVICES FOR TRAVEL RELATED TO RESEARCH, CONFERENCES AND TRAINING 

3 - FOREIGN TRAVELER IS FOR TRAVEL BY SI EMPLOYEES, RESEARCH ASSOCIATES, OR INVITATIONAL 

TRAVELERS (I.E., INDIVIDUALS WHO ARE NOT SI EMPLOYEES). ONLY TRAVEL 

ESSENTIAL TO THE PERFORMANCE OF OFFICIAL SMITHSONIAN BUSINESS AND FOR 

WHICH TRAVEL-RELATED EXPENSES ARE TO BE PAID BY THE SMITHSONIAN, CAN BE 

APPROVED, AUTHORIZED, AND REIMBURSED. 

SCHEDULE F, PART I, LINE 

3 - INVESTMENTS 

INVESTMENTS IN REGIONS INCLUDE INVESTMENTS IN FOREIGN PARTNERSHIPS AND 

FOREIGN CORPORATIONS. THE FOREIGN REGION IS DETERMINED BY THE COUNTRY 

WHOSE LAWS GOVERN THE INVESTMENT ENTITY. THE VALUE REPORTED REPRESENTS 

THE FAIR MARKET VALUE OF THE INVESTMENT AT THE END OF THE FISCAL YEAR. 

SCHEDULE F, PART I, LINE 

3 - METHOD TO ACCOUNT 

FOR EXPENDITURES ON 

ORG'S FINANCIAL 

STATEMENTS 

CENTRAL AMERICA AND THE CARIBBEAN: ACCRUAL 

EAST ASIA AND THE PACIFIC: ACCRUAL 

EUROPE (INCLUDING ICELAND AND GREENLAND): ACCRUAL 

MIDDLE EAST AND NORTH AFRICA: ACCRUAL 

NORTH AMERICA (CANADA & MEXICO ONLY): ACCRUAL 

RUSSIA AND NEIGHBORING STATES: ACCRUAL 

SOUTH AMERICA: ACCRUAL 

SOUTH ASIA: ACCRUAL 

SUB-SAHARAN AFRICA: ACCRUAL 

SCHEDULE F, PART Ill - CENTRAL AMERICA AND THE CARIBBEAN: ACCRUAL 

METHOD TO ACCOUNT EAST ASIA AND THE PACIFIC: ACCRUAL 

FOR EXPENDITURES EUROPE (INCLUDING ICELAND AND GREENLAND): ACCRUAL 

NORTH AMERICA (CANADA & MEXICO ONLY): ACCRUAL 

RUSSIA: ACCRUAL 

SOUTH AMERICA: ACCRUAL 

SOUTH ASIA: ACCRUAL 

SUB-SAHARAN AFRICA: ACCRUAL 

Smithsonian Institution 37 8/4/2021 1 :49:57 PM 

53-0206027 
SCHEDULEG Supplemental Information Regarding Fundraising or Gaming Activities 0MB No. 1545-0047 

(Form 990 or 990-EZ} Complete if the organization answered "Yes" on Form 990, Part IV, line 17, 18, or 19, or if the 

organization entered more than $15,000 on Form 990-EZ, line 6a. 

► Attach to Form 990 or Form 990-EZ. 

Internal Revenue Service 

Department of the Treasury 

► Go to www.irs.gov/Form990 for instructions and the latest information. 

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Fundraising Activities. Complete if the organization answered "Yes" on Form 990, Part IV, line 17. 

Form 990-EZ filers are not required to complete this part. 

1 Indicate whether the organization raised funds through any of the following activities. Check all that apply. 

a 0 Mail solicitations e 0 Solicitation of non-government grants 

b 0 Internet and email solicitations f 0 Solicitation of government grants 

c 0 Phone solicitations g 0 Special fundraising events 

d 0 In-person solicitations 

2a Did the organization have a written or oral agreement with any individual (including officers, directors, trustees, 

or key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services? 0 Yes D No 

b If "Yes," list the 10 highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is to be 

compensated at least $5,000 by the organization. 

(i) Name and address of individual 

or entity (fundraiser) (ii)Activity 

(iii) Did fundraiser have 

custody or control of 

contributions? 

(iv) Gross receipts 

from activity 

(v)Amount paid to 

(or retained by) 

fundraiser listed in 

col. 0) 

(vi)Amount paid to 

(or retained by) 

organization 

AVALON CONSUL TING GROUP, INC., 805 

1 15TH STREET NW, WASHINGTON, DC 20005 

DIRECT 

MKTG/CONSULTANT 

Yes No 

1,450,658 v 

2 ~g:rl~~~\~i BLVD, r::t~E~~NDO, CA 

90245-4515 

TELEMARKETING 

SERVICES v 63,027 

BLACKBAUD, INC, PO BOX 930256, 3 ATLANTA, GA 31193-0256 

FUNDRAISING 

CONSULTANT v 307,748 

PUBLIC IN I t:Kt:v 1 '""""' ,~,,,:A 11vN, 1N1..,, 

4 7700 LEESBURG PIKE, STE 416, FALLS 

CHURCH, VA 22043 

TELEMARKETING 

SERVICES v 31,878 

5 200 SOUTH·M~C~~~:N& A~:~~:;~ ;~o~:1..,., 

CHICAGO, IL 60604-2473 

(SEE 

STATEMENT) v 244,681 

UINI vt"'nt:1"'11.:, ll'lv., "L.7"L.7ALLt:N t-'AKKWAy'

6 SUITE 1650, HOUSTON, TX 77019-2125 

FUNDRAISING 

CONSULTANT v 84,464 

t:lt:N IL WHALl::Y 1-Ll::SSNl::K, l'::/UU i\t:t'\At:.:, 

7 AVENUES, SUITE 980, BLOOMINGTON, MN 

55431 

S JOHN BROWN LIMITED, INC., 4916 

CRESTWOOD DRIVE, WACO, TX 76710 

FUNDRAISING 

CONSULTANT 

FUNDRAISING 

CONSULTANT 

v 

v 

52,725 

28,100 

AK Iv MANAut:K LLC, ·1.:iuu t-'t:NNvY .VANIA 

9 AVE NW, SUITE 410, WASHINGTON, DC 

20004-3010 

FUNDRAISING 

CONSULTANT v 75,000 

10 

Total ► 0 2,338,281 0 

3 List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from 

registration or licensing. 

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Cat. No. 50083H Schedule G (Form 990 or 990-EZ) 2019 

Smithsonian Institution 38 8/4/2021 1 :49:57 PM 

53-0206027 
________________________________________________________________________________________________________

Schedule G (Form 990 or 990-EZ) 2019 Page 2 

Fundraising Events. Complete if the organization answered "Yes" on Form 990, Part IV, line 18, or reported more 

than $15,000 of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. List events with 

gross receipts greater than $5,000. 

Q) 

::::i 

C 

Q) 

> 

Q) 

cc 

Cf) 

Q) 

Cf) 

C 

Q) 

Q_ 

>< UJ 

t5 

e 

0 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

(a) Event #1 (b) Event #2 (c) Other events (d) Total events 

NPG GALA HMSG FUNDRAISING 15 (add col. (a) through 

(event type) (event type) (total number) col. (c)) 

Gross receipts 1,941,910 1,133,801 1,581,847 4,657,558 

Less: Contributions 1,753,825 1,044,361 1,130,339 3,928,525 

Gross income (line 1 minus 

line 2) . 188,085 89,440 451,508 729,033 

Cash prizes 0 

Noncash prizes 0 

Rent/facility costs 17,554 44,724 62,278 

Food and beverages 575,132 13,118 241,185 829,435 

Entertainment 34 36,972 37,006 

Other direct expenses 883,152 320,630 579,594 1,783,376 

Direct expense summary. Add lines 4 through 9 in column (d) ► 2,712,095 

Net income summary. Subtract line 10 from line 3, column (d) ► (1,983,062) 

Gaming. Complete if the organization answered "Yes" on Form 990, Part IV, line 19, or reported more than 

$15,000 on Form 990-EZ, line 6a. 

<D (b) Pull tabs/instant (d) Total gaming (add (a) Bingo (c) Other gaming ::::i bingo/progressive bingo col. (a) through col. (c)) C 

<D 

>

Q) 

cc 1 Gross revenue 

Cf) 2 Cash prizes . Q) 

Cf) 

C 

<D 

Q_ 

>< 3 Noncash prizes UJ 

t5 

~ 4 Rent/facility costs

0 

5 Other direct expenses 

D Yes ____________ % D Yes ____________% D Yes %

6 Volunteer labor . □ No □ No □ No 

7 Direct expense summary. Add lines 2 through 5 in column (d) 

8 Net gaming income summary. Subtract line 7 from line 1, column (d) 

Enter the state(s) in which the organization conducts gaming activities:------------·----------·----------------·----------·----------------·----------·-----

a Is the organization licensed to conduct gaming activities in each of these states? No 

b If "No," explain: __________________________________________________________________________________________________________ 

10a Were any of the organization's gaming licenses revoked, suspended, or terminated during the tax year? No 

b If "Yes," explain: _ 

Schedule G (Form 990 or 990-EZ) 2019 

Smithsonian Institution 39 8/4/2021 1 :49:57 PM 

53-0206027 

9 
___________________ 

__________________________ 

Schedule G (Form 990 or 990-EZ) 2019 Page3 

11 Does the organization conduct gaming activities with nonmembers? . . . . . . . . . . . Yes No 

12 Is the organization a grantor, beneficiary or trustee of a trust, or a member of a partnership or other entity 

formed to administer charitable gaming? . . . . . . . . . . . . . . . . . . . . Yes No 

13 Indicate the percentage of gaming activity conducted in: 

a The organization's facility . . . . . . . . . . % 

b An outside facility . . . . . . . . . . % 

14 Enter the name and address of the person who prepares the organization's gaming/special events books and 

records: 

Name ► 

Address ► 

15a Does the organization have a contract with a third party from whom the organization receives gaming 

revenue? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes 0No 

b If "Yes," enter the amount of gaming revenue received by the organization ► $ ___________________ and the 

amount of gaming revenue retained by the third party ► $ _ 

c If "Yes," enter name and address of the third party: 

Name ► 

Address ► 

16 Gaming manager information: 

Name ► 

Gaming manager compensation ► $ _ 

Description of services provided ► -------------------------------------------------------------------------

D Director/officer Employee D Independent contractor 

17 Mandatory distributions: 

a Is the organization required under state law to make charitable distributions from the gaming proceeds to 

retain the state gaming license? . . . . . . . . . . . . . . . . . . . D Yes D No 

b Enter the amount of distributions required under state law to be distributed to other exempt organizations or 

spent in the organization's own exempt activities during the tax year ► $ 

i@l~I Supplemental Information. Provide the explanations required by Part I, line 2b, columns (iii) and (v); and 

Part Ill, lines 9, 9b, 1 Ob, 15b, 15c, 16, and 17b, as applicable. Also provide any additional information. 

See instructions. 

SEE NEXT PAGE 

Schedule G (Form 990 or 990-EZ) 2019 

Smithsonian Institution 40 8/4/2021 1 :49:57 PM 

53-0206027 
Supplemental lnfonnation. Provide the explanations required by Part I, line 2b, columns (iii) and (v), 

and Part 111,lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also provide any additional 

information (see instructions). 

ffiart I~ 

Return Reference - Identifier Explanation

SI IS A TRUST INSTRUMENTALITY OF THE U.S. AND AS SUCH IS EXEMPT FROM STATE REGULATIONS 

PURSUANT TO THE SUPREMACY CLAUSE OF THE U.S. CONSTITUTION. ALL STATES THAT HAVE INQUIRED 

ABOUT SI FUNDRAISING SOLICITATION REGISTRATION HAVE ACKNOWLEDGED THIS EXEMPTION. 

SCHEDULE G, PART I -

SI ENGAGED MULTIPLE FUNDRAISING SERVICES AND MANY WORK ON THE SAME CAMPAIGNS. IT IS NOT 

LINE 2B -

SCHEDULE G, PART I, 

POSSIBLE TO ACCURATELY REPORT THE EXACT AMOUNT OF REVENUE ASSOCIATED WITH EACH 

FUNDRAISER. NONE OF THESE FUNDRAISERS HAD CONTROL OF CONTRIBUTIONS; ALL WERE PAID UNDER 

THE TERMS OF NEGOTIATED CONTRACTS. 

SI CLOSELY MONITORS FUNDRAISING PERFORMANCE AGAINST ESTABLISHED CAMPAIGN GOALS FOR ITS 

CONTRACTORS, AND RESULTS ARE TAKEN INTO CONSIDERATION IN FUTURE CONTRACT NEGOTIATIONS. 

MARKETING/FUNDRAISING CONSUL TANT 

LINE 2B(II) - LINE 2B 

COLUMN (II) ACTIVITY 5 

SCHEDULE G, PART I, 

Smithsonian Institution 41 8/4/2021 1 :49:57 PM 

53-0206027 
SCHEDULE I Grants and Other Assistance to Organizations, 0MB No. 1545-0047

(Form 990) Governments, and Individuals in the United States 

Complete if the organization answered "Yes" on Form 990, Part IV, line 21 or 22. ~@19 ► Attach to Form 990. Open to Public Department of the Treasury 

Internal Revenue Service Goto www.irs.gov/Form990 for the latest information. Inspection 

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

General Information on Grants and Assistance 

1 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 No 

2 Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States. 

1:tffjii1Grants 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. 

.► 14

.► 0

1 (a) Name and address of organization 

or government 

__(1) __AMERICAN _UNIVERSITY _________ 

4400 MASS AVE, N.W., WASH, DC 20016-8001 

__(2) __INDIANA UNIVERSITY ____________ 

400 E 77TH ST, BLOOMINGTON, IN 47405-3024 

(3) NEWYORK UNIVERSITY 

(b) EIN 

53-0196549 

35-6001673 

665 BROADWAY, NEW YORK, NY 10012-2331 I 13-5562308 

(4) NORTHWESTERN UNIVERSITY 

633 CLARK ST, EVANSTON, IL 60208 I 36-2167817 

(5) PRES & FELLOWS OF HARVARD COLLEGE 

1033 MASS AVE, CAMBRIDGE, MA 02138 I 04-2103580 

(6) TEMPLE UNIVERSITY 

2450W. HUNTING PARKAVE, PHIL, PA 19129 I 23-1365971 

(7) UNIVERSITY OF MARYLAND AT COLLEGE PARK 

2119 MAIN ADMIN BLDG, COLLEGE PARK, MD 20742 j 52-6002033 

(8) UNIVERSITY OF UTAH 

257 S 1400 E., SALT LAKE CITY, UT 84112-0840 I 87-6000525 

(9) UNIVERSITY OF WISCONSIN - MADISON 

21 N. PARK ST, MADISON, WI 53715 I 39-6006492 

(10) YALE UNIVERSITY 

PO BOX 208229, NEW HAVEN, CT 06520-8229 I 06-0646973 

(11) REGENTS OF THE UNIVERSITY OF MINNESOTA 

169 FRASER HALL, MINNEAPOLIS, MN 55455 I 41-6007513 

(12)__(SEE STATEMENT) ________________ 

(c) IRC section (d) Amount of cash (e) Amount of non- (f) Method of valuation 

Of applicable) grant cash assistance (book, FMV, appraisal, 

other) 

501(C)(3) 17,500 

115 10,000 

501(C)(3) 100,000 

501(C)(3) 9,300 

501(C)(3) 17,170 

501 (C)(3) 10,000 

115 47,931 

115 8,000 

115 28,500 

501(C)(3) 19,900 

115 33,468 

2 Enter total number of section 501 (c)(3) and government organizations listed in the line 1 table 

3 Enter total number of other organizations listed in the line 1 table 

(g) Description of 

noncash assistance 

(h) Purpose of grant 

or assistance 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

ACADEMIC APPT. STIPEND 

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 5OO55P Schedule I (Form 990) (2019) 

Smithsonian Institution 42 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule I (Fonn 990) (2019) Page2

hfflHIIIGrants and Other Assistance to Domestic Individuals. Complete if the organization answered "Yes" on Form 990, Part IV, line 22. 

Part Ill can be duplicated if additional space is needed. 

(a) Type of grant or assistance (b) Number of 

recipients 

(c) Amount of 

cash grant 

(d) Amount of 

noncash assistance 

(e) Method of valuation (book, 

FMV, appraisal, other) 

(f) Description of noncash assistance 

1 ACADEMIC APPOINTMENT STIPENDS 846 10,796,566 

2 

3 

4 

5 

6 

7 

.. 

_(SEE_ST A TEM ENT) ________________________________________________________________________________________________________________________________________________________________. 

Supplemental Information. Provide the information required in Part I, line 2; Part 111, column (b); and any other additional information . 

Schedule I (Form 990) (2019) 

Smithsonian Institution 43 8/4/2021 1 :49:57 PM 

53-0206027 
Grants and Other Assistance to Governments and Or~anizations in the United States (continued 

(a) 

Name and address of organization or 

government 

(b) 

EIN 

(c) 

IRC section if 

applicable 

(d) 

Amount of 

cash grant 

(e) 

Amount of 

non-cash 

assistance 

(f) 

Method of 

valuation 

(book, FMV, 

appraisal, other) 

(g) 

Description of non-cash 

assistance 

(h) 

Purpose of grant or assistance 

(12) CHICAGO HISTORICAL SOCIETY 

1601 N CLARK STREET, CHICAGO, IL 60614-

6038 

36-2167004 501(C)(3) 9,150 ACADEMIC APPT. STIPEND 

(13) THE PENNSYLVANIA STATE 

UNIVERSITY 

138 SPARKS BUILDING, UNIVERSITY PARK, 

PA 16802 

24-6000376 115 20,750 ACADEMIC APPT. STIPEND 

(14) WEST AFRICAN RESEARCH ASSOCIAT 

BOSTON UNIVERSITY AFRICAN STUDIES 

CENTER, BOSTON, MA 02215-1403 

52-1690509 501(C)(3) 21,000 ACADEMIC APPT. STIPEND 

Smithsonian Institution 44 8/4/2021 1 :49:57 PM 

53-0206027 
Supplemental Information. Provide the information required in Part I, line 2, Part Ill, column (b), and 

any other additional information. 

~art I~ 

Return Reference - Identifier Exolanation 

SCHEDULE I, PART I, LINE 

2 - PROCEDURES FOR 

MONITORING USE OF 

GRANT FUNDS. 

THE OFFICE OF FELLOWSHIPS HAS CENTRAL MANAGEMENT AND ADMINISTRATIVE RESPONSIBILITY FOR 

THE SMITHSONIAN PROGRAMS OF RESEARCH FELLOWSHIPS AND OTHER ACADEMIC APPOINTMENTS FOR 

UNDERGRADUATE, GRADUATE STUDENTS, POSTDOCTORAL AND SENIOR SCHOLARS. THE SMITHSONIAN 

INSTITUTION FELLOWSHIP PROGRAM IS A COMPETITIVE FELLOWSHIP PROGRAM FOR GRADUATE AND 

POSTDOCTORAL FELLOWS, WHO APPLY TO CONDUCT RESEARCH AT THE INSTITUTION WITH RESEARCH 

STAFF SERVING AS ADVISORS. 

THE REVIEW PROCESS IS MADE UP OF DISCIPLINARY COMMITTEES COMPRISED OF THE INSTITUTION'S 

RESEARCH STAFF WHO EVALUATE THE CANDIDATES AND THEN SELECT THE FELLOWS. THERE ARE OTHER 

COMPETITIVE AND NON-COMPETITIVE FELLOWSHIPS FOR VISITING SCHOLAR AND STUDENT APPOINTEES 

SELECTED THROUGH THE SMITHSONIAN UNITS THAT GO THROUGH A VARIETY OF OTHER SELECTIONS 

PROCESSES BEFORE AN AWARD IS MADE. AN OFFICIAL LETTER/AGREEMENT IS PROVIDED TO EACH 

AWARD RECIPIENT IDENTIFYING THE AWARD TITLE, DATES OF TENURE, STIPEND ALLOWANCES, AND 

REQUIRED RESPONSIBILITIES FOR HOLDING THIS POSITION. ALL RECIPIENTS EITHER WILL IDENTIFY A 

FINANCIAL INSTITUTION FOR RECEIPT OF THEIR MONETARY AWARD OR THEY WILL RECEIVE US TREASURY 

CHECKS. DEPENDING ON THE TENURE OF THE APPOINTMENT, PAYMENTS MAY BE MADE IN A LUMP SUM OR 

IN PERIODIC PAYMENTS. 

MOST FELLOWSHIP APPOINTMENTS ARE AWARDED FOR ONE TO TWO YEARS. AT THE END OF TENURE, A 

FINAL REPORT OF THEIR RESEARCH ACCOMPLISHMENTS IS PROVIDED FOR OUR RECORDS. SMITHSONIAN 

RESEARCH STAFF WHO SERVE AS ADVISORS TO THESE FELLOWS, STUDENTS AND SCHOLARS ARE 

USUALLY IN THE FIELD DURING THEIR TENURE. 

THE INDIVIDUAL SMITHSONIAN RESEARCH CENTERS MONITOR THE PROGRESS OF THEIR FELLOWS, AND 

THE FUNDS ARE MANAGED THROUGH THE INSTITUTION'S CENTRAL ADMINISTRATION TO ENSURE 

ACCOUNTABILITY. SIMILAR PROCESSES ARE FOLLOWED FOR AWARDS MADE TO ORGANIZATIONS WHOSE 

ACADEMIC STAFF PERFORM THE RELATED RESEARCH. 

Smithsonian Institution 45 8/4/2021 1 :49:57 PM 

53-0206027 
SCHEDULEJ 0MB No. 1545-0047 Compensation Information (Form 990) For certain Officers, Directors, Trustees, Key Employees, and Highest 

Compensated Employees 

► Complete if the organization answered "Yes" on Form 990, Part IV, line 23. ©pen to Rublic Department of the Treasury ► Attach to Form 990. 

Internal Revenue Service ► Go to www.irs.gov/Form990 for instructions and the latest information. Inspection

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Questions Regarding Compensation 

1a 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 1a. Complete Part Ill to provide any relevant information regarding these items. 

0 First-class or charter travel D Housing allowance or residence for personal use 

D Travel for companions D Payments for business use of personal residence 

D Tax indemnification and gross-up payments D Health or social club dues or initiation fees 

D Discretionary spending account D Personal services (such as maid, chauffeur, chef) 

b If any of the boxes on line 1 a 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 Ill to 

explain. 

2 Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all 

directors, trustees, and officers, including the CEO/Executive Director, regarding the items checked on line 

1a? . . 

3 Indicate which, if any, of the following the 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 Ill. 

0 Compensation committee D Written employment contract 

0 Independent compensation consultant 0 Compensation survey or study 

D Form 990 of other organizations 0 Approval by the board or compensation committee 

4 During the year, did any person listed on Form 990, Part VII, Section A, line 1 a, with respect to the filing 

organization or a related organization: 

a Receive a severance payment or change-of-control payment? 

b Participate in, or receive payment from, a supplemental nonqualified retirement plan? 

c 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 item in Part Ill. 

Only section 501 (c)(3), 501 (c)(4), and 501 (c)(29) organizations must complete lines 5-9. 

5 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: 

a The organization? . 

b Any related organization? 

If "Yes" on line 5a or 5b, describe in Part Ill. 

6 For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any 

compensation contingent on the net earnings of: 

a The organization? . 

b Any related organization? 

If "Yes" on line 6a or 6b, describe in Part Ill. 

7 For persons listed on Form 990, Part VII, Section A, line 1 a, did the organization provide any nonfixed 

payments not described on lines 5 and 6? If "Yes," describe in Part Ill . 

8 Were any amounts reported on Form 990, Part VII, paid or accrued pursuant to a contract that was subject 

to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe 

in Part Ill . 

9 If "Yes" on line 8, did the organization also follow the rebuttable presumption procedure described in 

Regulations section 53.4958-6(c)? 9 

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50053T Schedule J (Form 990) 2019 

Smithsonian Institution 46 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule J (Form 990) 2019 Page 2

UlffllliOfficers-,-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)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1 a, applicable column (D) and (E) amounts for that individual. 

(B) Breakdown of W-2 and/or 1099-MISC compensation -

(A) Name and Title 

MR LONNIE G BUNCH, Ill 

1SECRETARY OF THE SMITHSONIAN 

AMY CHEN 

2CHIEF INVESTMENT OFFICER 

MICHAEL CARUSO 

3EDITOR IN CHIEF - SMITHSONIAN MAGAZINE 

JEFFREY SMITH 

4INVESTMENT OFFICER 

JOHN DAVIS 

5PROVOST 

CAROL LEBLANC 

6PRESIDENT SMITHSONIAN ENTERPRISES 

DAVID SKORTON 

7FORMER SECRETARY 

MELISSA CHIU 

aDIRECTOR - HIRSHHORN MUSEUM 

RO BERT SPILLER 

gASSISTANT SECRETARY FOR ADVANCEMENT 

CHASE ROBINSON 

1

QDIRECTOR OF SACKLER GALLERY/FREER GALLERY 

MICHAEL GIOVENCO 

11INVESTMENT OFFICER 

RICHARD KURIN 

12~~~~B:~~~~~::i:g~T/UNDER SECRETARY FOR 

MICHAEL MCCARTHY 

13~g~~~S~~~~J:C~6'1NANCE & 

CHARLES ALCOCK 

14~~RR~:~Y~l~RVARD SMITHSONIAN CENTER FOR 

JULISSA MARENCO 

15~~~~;:LT ;F~~~:: ARY FOR COMMUNICATIONS AND 

(SEE STATEMENT) 

16 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) Base 

compensation 

847,964 - ------- ---- 0 

279,824 

-cs 

(ii) Bonus & incentive 

compensation 

(iii) Other 

reportable 

compensation 

(C) Retirement and 

other deferred 

compensation 

(D) Nontaxable 

benefits 

(E) Total of columns 

(B)(i)-(0) 

(F) Compensation 

in column (8) reported 

as deferred on prior 

Form 990 

5,00~ (--------------- 4,96~ t---------------- 40,95~ t---------------- 22,09~ t-------------- 920,97~ t----------------------- ~ _ 381,117 1,835 39,796 1,530 704,102 0 

0 0 0 0 0 -b 

181,26~ t---------------- 7 4, 94~ t-------------- 275, 94~ t---------------- 25,61~ 36,511 I 594,333 I o 

------------or---------------------- or----------------------- o -

------------- 194, 94~ t-------------- 283, 79~ t-------------------- 28~ t---------------- 29,81~ t---------------- 32,90~ t-------------- 541, 73 ~ t----------------------- ~ _ 

-------------- 437,43~ t---------------- 15, 00~ t __________________ 1,80~ t---------------- 40, 95~ t---------------- 20,55~ t-------------- 515, 75~ t----------------------- ~ _ 358,251 I 89,773 I 850 I 40,955 I 35,690 I 525,519 I o o I - o I o I b-1 ----o, ----- --------bT___------------------0-

-------------- 414, 95~ t---------------- 20, 00~ t----------------- 4,32~ f---------------- 40, 95~ f---------------- 12, 16~ f-------------- 492,40~ f----------------------- ~ _ 

417, 15~ f----------------------- ~ f-------------------- 68~ t---------------- 40,95~ f---------------- 33,51~ f-------------- 492,30~ t----------------------- ~ _ 391,515 ---- ------ ---- 0 ----------------- 7,50~ f------------------1,80~ t---------------- 40, 95~ f---------------- 36, 16~ t-------------- 477,93~ f-----------------------~_ 

420,940 o I 1,806 I 40,955 I 11,589 I 475,290 I o 

-0 oI oI _o_l_______________________ bT______________________ ciI -o 

169,68~ t-------------- 234, 57~ t-------------------- 22~ t---------------- 23, 72~ f---------------- 10,89~ t-------------- 439, 10~ f----------------------- ~ _ 

____________331,52~ f---------------- 20, 00~ f----------------- 4,40~ f---------------- 47,21~ t---------------- 15,57~ f-------------- 418, 71 ~ f----------------------- ~ _ 

301,582 

0 3, 00~ f-------------------- 73~ f---------------- 41, 7 4~ f---------------- 35,85~ f---------------382,92~ f-----------------------

_ 

333,073 3,000 1,781 22,674 747 361,275 0 

-0 0 0 0 -b -0 0 

231,137 

~----------------------- 0 t-----------------------0

7,500 

23~ f---------------- 36, 77~ f---------------- 23,69~ f---------------299,35 ~ f----------------------- ~ _ 

Schedule J (Form 990) 2019 

Smithsonian Institution 47 8/4/2021 1 :49:57 PM 

53-0206027 
Officers, Directors, Trustees, Key Employees and Highest Compensated Employees (continued) 

(a) 

Name 

(16) JUDITH LEONARD 

GENERAL COUNSEL 

(17) PATRICIA BARTLETT 

FORMER ASSOCIATE PROVOST FOR EDUCATION & 

ACCESS 

(18) ZULLY DORR 

FORMER ACTING DIRECTOR FOR ADVANCEMENT 

(19) DERON BURBA 

CHIEF INFORMATION OFFICER 

(20) JOHN LAPIANA 

FORMER ACTING ASSISTANT SECRETARYCOMMUNICATION & EXTERNAL AFFAIRS 

(21) JEAN GARVIN 

FORMER DI RECTOR - FINANCE &ACCOUNTING 

(22) NANCY BECHTOL 

DIRECTOR - SMITHSONIAN FACILITIES 

(23) ERA MARSHALL 

DIRECTOR - EQUAL EMPLOYMENT & MINORITY 

AFFAIRS 

(24) CATHY HELM 

INSPECTOR GENERAL 

(25) CAROLYN MARTIN 

FORMER ACTING ASSISTANT SECRETARYCOMMUNICATION & EXTERNAL AFFAIRS 

(26) DAVID VOYLES 

FORMER DIRECTOR - PLANNING, MANAGEMENT & 

BUDGET 

(27) ALBERT HORVATH 

FORMER UNDER SECRETARY FINANCE & 

ADMINISTRATION/CFO 

(28) PORTER WILKINSON 

CHIEF OF STAFF - REGENTS 

(29) W. JOHN KRESS 

FORMER INTERIM UNDER SECRETARY FOR 

SCIENCE 

(i) 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(i) 

{ii) 

(i) 

(ii) 

(i) 

(ii\ 

(i) 

(ii) 

(i) 

(ii) 

(i) ' 

(ii) 

(i) 

(ii) 

(i), 

(ii) 

(i) ... 

(ii) 

(i) 

(ii) 

(i) 

(ii) 

(b) 

Breakdown of W-2 and/or 1099-MISC compensation 

(i) Base (ii) Bonus & (iii) Other 

Compensation incentive reportable 

compensation compensation 

242,230 0 3,023 

0 0 0 

239,536 5,000 1,968 

0 0 0 

215,743 5,000 0 

0 0 0 

202,413 5,000 449 

0 0 0 

205,535 3,000 820 

0 0 0 

194,438 2,500 2,329 

0 0 0 

206,271 .... 3,0001 1..,25.0 

0 0 0 

208,837: ..... .10,0001··· 0 

0 0 0 

215,588 0 ,.. 0 

0 0 0 

1.55.,.630... 5,000 .. ·• 926 

0 0 0 

185,751 5,000 0 

0 0 0 

168,721 20,000 233 

0 0 0 

126,462 10,000 176 

0 0 0 

113,869 500 0 

0 0 0 

(c) (d) (e) (f) 

Retirement and Nontaxable Total of columns Compensation 

other deferred benefits (b)(i)-(d) reported in prior 

compensation Form 990 or Form 

990-EZ 

36 777 11,128 293,158 0 

0 0 0 0 

23,365 12,497 282,366 0 

0 0 0 0 

32 703 21,135 274,581 0 

0 0 0 0 

30,728 28,025 266,615 0 

0 0 0 0 

30 062 10,984,. 250,401 0 

0 0 0 0 

28,958 21,087 249,312 0 

0 0 0 0 

29 732 838., ..... . 241,091 ...... 0 

0 0 0 0 

0 19,470. 238,307 0 

0 0 0 0 

0 22,040 237,628 ...... 0 

0 0 0 0 

22 620 23,851 .. . 208,027' . 0 

0 0 0 0 

7 486 9,451, 20.7.,6.88.., ... 0

0 0 0 0 

6 075 3,353 198,382, 0 

0 0 0 0 

16,864 3,645 157,147 0 

0 0 0 0 

5 700 12,260 132,329 0 

0 0 0 0 

Smithsonian Institution 48 8/4/2021 1 :49:57 PM 

53-0206027 
Compensation from an unrelated organization or individual 

Return Reference - Identifier Explanation 

SCHEDULE J, PART II - Name Compensation frorn .•Unrelated Type···ofCompensation COMPENSATION FROM Orqanization AN UNRELATED 

ORGANIZATION OR CHARLES ALCOCK 1661881 IHARVARD UNIVERSITY 

INDIVIDUAL 

Smithsonian Institution 49 8/4/2021 1 :49:57 PM 

53-0206027 
Supplemental lnfonnation. 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. 

~art Ill 

Return Reference - Identifier Explanation 

SCHEDULEJ, PART I, LINE CHARTERED TRAVEL FOR BONA-FIDE BUSINESS PURPOSES WAS AUTHORIZED FOR TWO KEY EMPLOYEES 

1A- FIRST CLASS TRAVEL WHEN THE CIRCUMSTANCES OF THEIR TRAVEL MET THE REQUIREMENTS OF THE SMITHSONIAN'S POLICY 

FOR SUCH TRAVEL. CHARTERED CLASS TRAVEL WAS APPROVED IN EACH INSTANCE BY THAT INDIVIDUAL'S 

DESIGNATED "APPROVING OFFICIAL" FOR TRAVEL. 

THE SMITHSONIAN'S TRAVEL POLICY IS GUIDED BY THE FEDERAL TRAVEL REGULATIONS AS 

SUPPLEMENTED BY THE SMITHSONIAN'S TRAVEL HANDBOOK. THE ACCOUNTABLE PLAN FOR TRAVEL 

REIMBURSEMENTS MAINTAINED BY THE SMITHSONIAN MEETS IRS REQUIREMENTS, THEREFORE NO 

PORTION OF THIS TRAVEL WAS TREATED AS TAXABLE COMPENSATION. 

SCHEDULEJ, PART I, LINE MICHAEL CARUSO RECEIVED A SEVERANCE PAYMENT IN THE AMOUNT OF $141,291 DURING THE 2019 

4A - SEVERANCE OR 

CHANGE-OF-CONTROL 

PAYMENT 

CALENDAR YEAR. 

Smithsonian Institution 50 8/4/2021 1 :49:57 PM 

53-0206027 
SCHEDULE K 0MB No. 1545-0047 Supplemental Information on Tax-Exempt Bonds (Form 990) ► Complete if the organization answered "Yes" on Form 990, Part IV, line 24a. Provide descriptions, ~©19 

explanations, and any additional information in Part VI. 

► Attach to Form 990. Open to Pu6Iic Department of the Treasury 

Internal Revenue Service ► Go to www.irs.gov/Form990 for instructions and the latest information. Inspection 

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Bond Issues 

(a} Issuer name (b} Issuer EIN (c) CUSIP # I (d) Date issued (e) Issue price (f}Description of purpose (g)DefeaseId (h) On 

behalf of 

issuer 

I(i) Pooled 

financing 

A 

FAIRFAX COUNTY ECONOMIC 

DEVELOPMENT AUTHORITY 

54-0787833 30382ECZ5 I 12/03/2003 77,545,000 I NEW CONSTRUCTION Yesl Nol

v 

Yesl Nol

v 

Yesl No 

v 

B 

DISTRICT OF COLUMBIA 53-6001131 2548397S6 I 04/29/2010 33,825,749 I REFUNDING OF 1997 BONDS 

v v v 

C 

D 

Proceeds 

A B I C I D 

1 Amount of bonds retired 0 16,766,552 1 

2 Amount of bonds legally defeased 0 0 

3 Total proceeds of issue . 77,545,000 33,825,749 

4 Gross proceeds in reserve funds . 0 0 

5 Capitalized interest from proceeds 0 0 

6 Proceeds in refunding escrows . 0 0 

7 Issuance costs from proceeds . 530,475 612,994 

8 Credit enhancement from proceeds 6,161 0 

9 Working capital expenditures from proceeds 0 0 

10 Capital expenditures from proceeds 77,008,364 0 

11 Other spent proceeds . 0 33,212,755 

12 Other unspent proceeds . 0 0 

13 Year of substantial completion 2003 2010 

Yes I No Yes I No I Yes I No I Yes I No 

14 Were the bonds issued as part of a refunding issue of tax-exempt bonds (or, I I I I I v v if issued prior to 2018, a current refunding issue)? 

15 Were the bonds issued as part of a refunding issue of taxable bonds (or, if v v issued prior to 2018, an advance refunding issue)? . 

16 Has the final allocation of proceeds been made? . v v 

17 Does the organization maintain adequate books and records to support the v v final allocation of proceeds? 

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50193E Schedule K (Form990) 2019 

Smithsonian Institution 51 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule K (Form 990) 2019 Page 2 

m Private Business Use 

1 Was the organization a partner in a partnership, or a member of an LLC, 

which owned property financed by tax-exempt bonds? . 

A B C D 

Yes No Yes No Yes No Yes No 

v' v' 

2 

3a 

Are there any lease arrangements that may result in private business use of 

bond-financed property? . 

Are there any management or service contracts that may result in private 

business use of bond-financed property? 

v' v' 

v' v' 

b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside 

counsel to review any management or service contracts relating to the financed property? v' 

C Are there any research agreements that may result in private business use of 

bond-financed property? . v' v' 

d If "Yes" to line 3c, does the organization routinely engage bond counsel or other 

outside counsel to review any research agreements relating to the financed property? 

4 Enter the percentage of financed property used in a private business use by entities 

other than a section 501 (c)(3) organization or a state or local government . . ► 0.00% 0.00% % % 

5 Enter the percentage of financed property used in a private business use as a 

result of unrelated trade or business activity carried on by your organization, 

another section 501 (c)(3) organization, or a state or local government .► 0.00% 1.94 % % % 

6 Total of lines 4 and 5 0.00% 1.94 % % % 

7 Does the bond issue meet the private security or payment test? . . \ v' v' 

8a Has there been a sale or disposition of any of the bond-financed property to a 

nongovernmental person other than a 501 (c}(3} organization since the bonds were issued? v' v' 

b If "Yes" to line 8a, enter the percentage of bond-financed property sold or 

disposed of % % % % 

C If "Yes" to line 8a, was any remedial action taken pursuant to Regulations 

sections 1.141-12 and 1.145-2? 

9 Has the organization established written procedures to ensure that all 

nonqualified bonds of the issue are remediated in accordance with the 

requirements under Regulations sections 1.141-12 and 1.145-2? v' v' 

Arbitrage 

1 Has the issuer filed Form 8038-T, Arbitrage Rebate, Yield Reduction and 

Penalty in Lieu of Arbitrage Rebate? 

A B C D 

Yes No Yes No Yes No Yes No 

v' v' 

2 If "No" to line 1, did the following apply? 

a Rebate not due yet? v' v' 

b Exception to rebate? v' v' 

C No rebate due? . v' v' 

If "Yes" to line 2c, provide in Part VI the date the rebate computation was 

performed 

3 Is the bond issue a variable rate issue? v' v' 

.. 

Schedule K (Fonn 990) 2019 

Smithsonian Institution 52 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule K (Form 990) 2019 Page 3 

~ Arbitrage (continued) 

4a Has the organization or the governmental issuer entered into a qualified 

hedge with respect to the bond issue? 

A B C D 

Yes No 

v" 

Yes No 

v" 

Yes No Yes No 

b 

C 

Name of provider 

Term of hedge 

d Was the hedge superintegrated? 

e Was the hedge terminated? . 

5a Were gross proceeds invested in a guaranteed investment contract (GIC)? v' v" 

b Name of provider 

C Term of GIC . 

d 

6 

Was the regulatory safe harbor for establishing the fair market value of the GICsatisfied? 

Were any gross proceeds invested beyond an available temporary period? v' v" 

7 Has the organization established written procedures to monitor the 

requirements of section 148? v' v' 

. Procedures To Undertake Corrective Action 

Has the organization established written procedures to ensure that violations 

A 

Yes No 

B 

Yes No 

C 

Yes No 

D 

Yes No 

of federal tax requirements are timely identified and corrected through the 

voluntary closing agreement program if self-remediation isn't available under 

applicable regulations? v' v' 

mim Supplemental Information. Provide additional information for responses to questions on Schedule K. See instructions 

(SEE STATEMENT} 

Schedule K (Form 990) 2019 

Smithsonian Institution 53 8/4/2021 1 :49:57 PM 

53-0206027 
Supplemental Information. Supplemental Information Complete this part to provide additional 

information for responses to questions on Schedule K (see instructions). 

Return Reference - Identifier Explanation 

SCHEDULE K, PART Ill, 

LINE 5 - PRIVATE 

BUSINESS USE, COLUMN 

B 

THE PERCENTAGE OF FINANCED PROPERTY USED IN PRIVATE BUSINESS USE AS A RESULT OF UNRELATED 

TRADE OR BUSINESS ACTIVITY IS BASED ON THE PERCENTAGE OF UNRELATED REVENUE IN THE GIFT 

SHOP WITHIN THE SPACE FINANCED BY THIS BOND ISSUE. 

THE PRIVATE BUSINESS USE FOR THE CURRENT WAS LESS THAN 5%. THE PRIVATE BUSINESS IS BEING 

MONITORED AND WILL REMAIN UNDER 5% FOR THE ENTIRE MEASUREMENT PERIOD (1998-2028). 

Smithsonian Institution 54 8/4/2021 1 :49:57 PM 

53-0206027 
SCHEDULE L Transactions With Interested Persons 0MB No. 1545-0047

(Form 990 or 990-EZ) ► 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. 

Department of the Treasury ► Attach to Form 990 or Form 990-EZ. 

Internal Revenue Service Goto www.irs.gov/Form990for instructions and the latest infonnation. 

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Excess Benefit Transactions (section 501 (c)(3), section 501 (c)(4), and section 501 (c)(29) organizations only). 

Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b. 

1 (a) Name of disqualified person (b) Relationship between disqualified person and 

organization (c) Description of transaction (d} Corrected? 

Yes No 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

2 Enter the amount of tax incurred by the organization managers or disqualified persons during the year 

under section 4958 . ► $___ _ 

3 Enter the amount of tax, if any, on line 2, above, reimbursed by the organization $_____ _ 

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 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

(10) 

(b) Relationship 

with organization 

(c) Purpose of 

loan 

(d) Loan to or 

from the 

organization? 

To From 

(e) Original 

principal amount 

(f) Balance due (g) In default? (h)Approved (i)Written 

by board or agreement? 

committee? 

Yes No Yes No Yes No 

Total .► $

Grants or Assistance Benefiting Interested Persons. . . Complete 1f the organization 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. Cat. No. 50056A Schedule L (Form 990 or 990-EZ) 2019 

Smithsonian Institution 55 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule L (Form 990 or 990-EZ) 2019 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 No 

(1) (SEE STATEMENT) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

(10) 

.. Supplemental Information . 

Provide additional information for responses to questions on Schedule L (see instructions). 

Schedule L (Form 990 or 990-EZ) 2019 

Smithsonian Institution 56 8/4/2021 1 :49:57 PM 

53-0206027 
Business Transactions Involving Interested Persons (continued) 

(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 No 

(1) MARIA MARABLE-BUNCH 

WIFE OF LONNIE BUNCH, 

SECRET ARY OF THE SMITHSONIAN 

INSTITUTION 

$224,563 ANNUAL COMPENSATION ✓ 

Smithsonian Institution 57 8/4/2021 1 :49:57 PM 

53-0206027 
SCHEDULE M 0MB No. 1545-0047 Noncash Contributions (Form 990) 

► Complete if the organizations answered "Yes" on Form 990, Part IV, lines 29 or 30. 

► Attach to Form 990. Open to Ruolic Department of the Treasury 

Internal Revenue Service Goto www.irs.gov/Form990 for instructions and the latest information. Inspection 

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

Types of Property 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 

26 

27 

28 

(a) (b) (c) (d) 

Check if Number of contributions or 

applicable items contributed 

Noncash contribution 

amounts reported on 

Form 990, Part VIII, line 1 g 

Method of determining 

noncash contribution amounts 

Art-Works of art 

Art-Historical treasures 

Art-Fractional interests 

Books and publications 

Clothing and household 

goods . 

Cars and other vehicles 

Boats and planes . 

Intellectual property 

Securities-Publicly traded 

Securities-Closely held stock 

Securities-Partnership, LLC, 

or trust interests 

Securities-Miscellaneous 

Qualified conservation 

contribution -Historic 

structures . 

Qualified conservation 

contribution -Other 

Real estate-Residential 

Real estate-Commercial 

Real estate-Other. 

Collectibles . 

Food inventory . 

Drugs and medical supplies . 

Taxidermy 

Historical artifacts . 

Scientific specimens 

Archeological artifacts 

Other ► (GOODS ) 

Other ► (ARCHIVAL_CF/LF _) 

Other ► {ARCHIVAL ITEMS_) 

Other ► (ARCHIVAL GB ) 

v' 

v' 

v' 

v' 

v' 

v' 

v' 

v' 

2,209 NONE 

223 18,221,322 MARKETVALUE 

3,843 NONE 

2,114 NONE 

32,429 NONE 

0 NONE 

32 1,395,180 MARKET VALUE 

1,118 NONE 

36,924 NONE 

2,243 NONE 

29 Number of Forms 8283 received by the organization during the tax year for contributions for 

which the organization completed Form 8283, Part IV, Donee Acknowledgement . '--2_9___,______ 6_1,___,,...--

30a During the year, did the organization receive by contribution any property reported in Part I, lines 1 through 

28, that it must hold for at least three years from the date of the initial contribution, and which isn't required 

to be used for exempt purposes for the entire holding period? . 

6 If "Yes," describe the arrangement in Part II. 

31 Does the organization have a gift acceptance policy that requires the review of any nonstandard 

contributions? 

32a Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash 

contributions? 

6 If "Yes," describe in Part II. 

33 If the organization didn't report an amount in column (c) for a type of property for which column (a) is checked, 

describe in Part 11. 

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 51227J Schedule M (Form 990) 2019 

Smithsonian Institution 58 8/4/2021 1 :49:57 PM 

53-0206027 
Supplemental Information. Provide the information required by Part I, lines 30b, 32b, and 33, and 

whether the organization is reporting in Part I, column (b ), the number of contributions, the number of 

items received, or a combination of both. Also complete this part for any additional information. 

Return Reference - Identifier Explanation 

SCHEDULE M, PART I, 

LINE 32B - THIRD PARTIES 

USED TO SOLICIT, 

PROCESS, OR SELL 

NONCASH 

CONTRIBUTIONS 

ITEMS ARE SOLD THROUGH COMMERCIAL GALLERIES AND AUCTIONS HOUSES. INDIVIDUALS AND FIRMS 

ARE HIRED ON A CONTRACTUAL BASIS TO PROCESS ACQUISITIONS. 

AL THOUGH THE SMITHSONIAN ACQUIRES COLLECTION ITEMS AND OBJECTS Vv1TH THE GOOD FAITH 

INTENTION OF RETAINING THEM FOR AN INDEFINITE PERIOD OF TIME, PRUDENT COLLECTIONS 

MANAGEMENT INCLUDES JUDICIOUS CONSIDERATION OF APPROPRIATE DEACCESSIONING AND DISPOSAL 

TO REFINE AND IMPROVE THE QUALITY AND RELEVANCE OF THE COLLECTIONS Vv1TH RESPECT TO THE 

SMITHSONIAN'S MISSION AND PURPOSE. WHEN OBJECTS ARE DEACCESSIONED FOR DISPOSAL BY SALE, 

THE SMITHSONIAN CONTRACTS Vv1TH COMMERCIAL GALLERIES OR AUCTION HOUSES TO SELL THE 

OBJECTS IN ORDER TO ASSURE THE BEST RETURN FROM THE SALE. 

SCHEDULE M, PART I, 

LINE 33 - IN ACCORDANCE Vv1TH PROFESSIONAL PRACTICE, AS ALLOWED BY SFAS 116, THE SMITHSONIAN DOES NOT 

ASSIGN VALUE TO COLLECTION ITEMS ACQUIRED BY DONATION. 

Smithsonian Institution 59 8/4/2021 1 :49:57 PM 

53-0206027 
SCHEDULE 0 SupRlemental Information to Form 990 or 990-EZ 0MB No. 1545-0047 

(Form 990 or 990-EZ) 

Department of Treasury Internal 

Complete to provide information for responses to specific questions on 

Form 990 or 990-EZ or to provide any additional information. 

► Attach to Form 990 or 990-EZ. 2019 Revenue Service ► Go to www.irs.gov/Form990 for the latest information. 

Name of the Organization Employer Identification Number 

SMITHSONIAN INSTITUTION 53-0206027 

Return Reference - Identifier Exolanation 

FORM 990 - PAGE 1, LINE K THE SMITHSONIAN INSTITUTION IS A TRUST INSTRUMENTALITY OF THE U.S., CREATED BY 

CONGRESS; ORGANIZED PURSUANT TO 20 U.S.C. SEC. 41 ET SEQ. 

FORM 990 - PAGE 1, LINE M STATE OF LEGAL DOMICILE: 

AS A TRUST INSTRUMENTALITY OF THE UNITED STATES, THE SMITHSONIAN INSTITUTION IS A 

FEDERAL ENTITY THAT IS NOT DOMICILED IN ANY STATE. 

FORM 990, PART Ill, LINE 4A -

PROGRAM SERVICE 

DESCRIPTION 

EDUCATION, PUBLIC PROGRAMS AND EXHIBITIONS: 

THE SMITHSONIAN CLOSED ITS MUSEUMS IN MARCH 2020 DUE TO THE COVID-19 PANDEMIC. A FEW 

MUSEUMS RE-OPENED TO THE PUBLIC BETWEEN JULY AND SEPTEMBER, WITH LIMITED VISITATION 

NUMBERS. BETWEEN MARCH AND SEPTEMBER, THE SMITHSONIAN TOOK A DIGITAL-FIRST 

APPROACH TO EDUCATION, PUBLIC PROGRAMS AND EXHIBITIONS. 

IN RESPONSE TO COVID-19, THE SMITHSONIAN CREATED AN EDUCATION RESPONSE TEAM TO 

QUICKLY DEVELOP AND CURATE THE EDUCATIONAL RESOURCES STUDENTS, TEACHERS AND 

CAREGIVERS NEEDED TO TRANSITION TO DISTANCE LEARNING. SMITHSONIAN EDUCATORS 

FOCUSED ON PROVIDING CLASSROOM-READY RESOURCES ALIGNED TO NATIONAL LEARNING 

STANDARDS, AND ON DEVELOPING LOW AND NO-TECH RESOURCES AND BILINGUAL RESOURCES 

TO MAKE CONTENT ACCESSIBLE TO WIDE AUDIENCES. 

IN APRIL 2020, THE SMITHSONIAN HOSTED THE TWO-DAY EARTH OPTIMISM DIGITAL SUMMIT TO 

MARK THE 50TH ANNIVERSARY OF EARTH DAY. THE VIRTUAL EVENT BROUGHT TOGETHER OVER 

100 SCIENTISTS, THOUGHT LEADERS, ENTREPRENEURS, ARTISTS AND EXPERTS TO ENCOURAGE A 

GLOBAL, PUBLIC DIALOGUE ABOUT CONSERVATION AND SUSTAINABILITY. TOPICS RANGED FROM 

CONSERVATION, CLIMATE CHANGE, SPECIES LOSS AND FOOD SUSTAINABILITY TO YOUTH 

MOVEMENTS AND UNDERREPRESENTED COMMUNITIES. 

THE SMITHSONIAN AMERICAN ART MUSEUM OPENED ALEXANDER VON HUMBOLDT AND THE 

UNITED STATES: ART, NATURE, AND CULTURE IN SEPT. 2020. IT IS THE FIRST EXHIBITION TO 

EXAMINE HUMBOLDrs IMPACT ON FIVE SPHERES OF AMERICAN CULTURAL DEVELOPMENT: THE 

VISUAL ARTS, SCIENCES, LITERATURE, POLITICS AND EXPLORATION, BETWEEN 1804 AND 1903. THE 

EXHIBITION INCLUDES MORE THAN 100 PAINTINGS, SCULPTURES, MAPS, AND ARTIFACTS TO 

EXPLORE THE BREADTH OF THE RENOWNED HISTORICAL FIGURE'S IMPACT. THE EXHIBIT WILL 

REOPEN IN 2021. 

THE NATIONAL MUSEUM OF AFRICAN AMERICAN HISTORY AND CULTURE LAUNCHED TALKING 

ABOUT RACE, AN ONLINE PORTAL THAT PROVIDES EDUCATIONAL RESOURCES TO HELP 

INDIVIDUALS, FAMILIES AND COMMUNITIES TALK ABOUT RACISM AND RACIAL IDENTITY. THE 

PORTAL WAS RELEASED IN JUNE 2020 AS SEVERAL RACIALLY CHARGED INCIDENTS PROMPTED 

NATIONWIDE PROTESTS. THROUGH DIGITAL TOOLS, ONLINE EXERCISES, VIDEO INSTRUCTIONS, 

SCHOLARLY ARTICLES AND MORE THAN 100 MULTI-MEDIA RESOURCES, THE PORTAL 

ENCOURAGES CONSTRUCTIVE CONVERSATION ABOUT RACISM AND ITS IMPACT ON EVERY FACET 

OF SOCIETY. 

Smithsonian Institution 60 8/4/2021 1:49:57 PM 

53-0206027 
Return Reference - Identifier Explanation 

FORM 990, PART Ill, LINE 4B -

PROGRAM SERVICE 

DESCRIPTION 

RESEARCH AND COLLECTIONS: 

THE SMITHSONIAN'S COLLECTIONS OF NEARLY 155 MILLION OBJECTS (ART, ARTIFACTS AND 

SCIENTIFIC SPECIMENS) ARE THE HEART OF THE INSTITUTION. RESEARCH, PUBLIC PROGRAMS 

AND EXHIBITIONS ARE BASED ON THESE COLLECTIONS, WHICH ADDITIONALLY INCLUDE MORE 

THAN 33 MILLION DIGITAL RECORDS OF ONLINE MATERIAL. CARE OF THE COLLECTIONS INVOLVES 

THE WORK OF REGISTRARS, CONSERVATORS, MUSEUM SPECIALISTS, DESIGNERS, CURATORS 

AND EDITORS. APPROXIMATELY 146 MILLION OBJECTS AND SPECIMENS ARE PART OF THE 

NATIONAL MUSEUM OF NATURAL HISTORY COLLECTIONS AND ARE PRIMARILY USED FOR 

RESEARCH BY BOTH SMITHSONIAN SCIENTISTS AND RESEARCHERS FROM AROUND THE WORLD. 

IN SOME CASES, THE MUSEUM HAS THE DEFINITIVE, IRREPLACEABLE COLLECTION OF A CERTAIN 

SPECIES WHICH IS ESSENTIAL FOR COMPARATIVE STUDIES. 

GIANT PANDA CUB, XIAO QI JI, WAS BORN AT THE NATIONAL ZOO IN AUGUST 2020. MADE POSSIBLE 

BY REPRODUCTIVE SCIENTISTS FROM THE SMITHSONIAN CONSERVATION BIOLOGY INSTITUTE 

(SCBI) AND ZOO VETERINARIANS, XIAO QI Jl'S BIRTH MARKS THE FIRST TIME A U.S. ZOO 

EXPERIENCED A SUCCESSFUL PREGNANCY VIA ARTIFICIAL INSEMINATION USING ONLY FROZEN 

SEMEN. AT 22 YEARS OLD, MEI XIANG IS THE OLDEST PANDA IN THE U.S. AND THE SECOND OLDEST 

DOCUMENTED IN THE WORLD TO GIVE BIRTH. 

A TEAM OF RESEARCHERS LED BY THE NATIONAL MUSEUM OF NATURAL HISTORY DISCOVERED 

HOW THE SKIN OF DEEP-SEA, ULTRA-BLACK FISH ABSORBS MORE THAN 99.5% OF LIGHT. THE TEAM 

IDENTIFIED 16 SPECIES OF FISH THAT USE A UNIQUE ARRANGEMENT OF HIGHLY PIGMENTED 

GRANULES TO DISGUISE THEMSELVES IN THEIR PITCH-BLACK ENVIRONMENT. THE DISCOVERY 

COULD IMPROVE HOW SCIENTISTS MANUFACTURE ULTRA-BLACK MATERIALS, ADVANCING HIGHTECH OPTICAL AND CAMOUFLAGE TECHNOLOGY. 

SCIENTISTS AT THE SMITHSONIAN TROPICAL RESEARCH INSTITUTE DISCOVERED THAT MAXIMUM 

DAILY TEMPERATURES ABOVE 32.2 DEGREES CELSIUS (ABOUT 90 DEGREES FAHRENHEIT) CAUSE 

TROPICAL FORESTS TO LOSE STORED CARBON MORE QUICKLY. THE STUDY EXPLORED THE 

IMPLICATIONS OF THERMAL CONDITIONS AND USED THE FINDINGS TO RECOMMEND STRATEGIES 

FOR TROPICAL FOREST CONSERVATION AND CLIMATE STABILIZATION. 

SMITHSONIAN OPEN ACCESS LAUNCHED IN FEB. 2020, GIVING THE PUBLIC THE ABILITY TO REUSE, 

TRANSFORM AND SHARE 2.8 MILLION DIGITAL ITEMS FROM SMITHSONIAN COLLECTIONS, FREE OF 

COPYRIGHT RESTRICTIONS. 

FORM 990, PART Ill, LINE 4C -

PROGRAM SERVICE 

DESCRIPTION 

MEMBERSHIP: 

THE NATIONAL ASSOCIATE PROGRAM IS THE INSTITUTION'S LARGEST AND MOST BASIC 

MEMBERSHIP PROGRAM. THE PROGRAM PROVIDES MEMBERS WITH SMITHSONIAN MAGAZINE, 

WHICH IS PUBLISHED 11 TIMES A YEAR. 

THE PRINT AND ONLINE PUBLICATION PROVIDES IN-DEPTH COVERAGE OF HISTORY, SCIENCE, 

NATURE, THE ART AND WORLD CUL TURES. SMITHSONIAN MAGAZINE ALSO HOSTS THE ANNUAL 

INGENUITY AWARDS, HONORING THE BEST AND BRIGHTEST INNOVATORS WHO ARE MAKING A 

DIFFERENCE IN THE WORLD ACROSS A VARIETY OF FIELDS. 

"FRIENDS OF THE SMITHSONIAN" IS A HIGHER LEVEL MEMBERSHIP PROGRAM FOR PEOPLE 

INTERESTED IN A DEEP PHILANTHROPIC CONNECTION TO THE SMITHSONIAN. FRIENDS RECEIVE 

SMITHSONIAN MAGAZINE, PLUS THEY ARE INVITED TO VARIOUS EVENTS AND ARE GIVEN THE 

OPPORTUNITY TO LEARN ABOUT AND SUPPORT THE INSTITUTION'S EXHIBITIONS AND RESEARCH. 

THE SMITHSONIAN ASSOCIATES IS A MEMBERSHIP PROGRAM WHICH OFFERS UNPARALLELED 

ACCESS TO THE SMITHSONIAN'S WORLD OF KNOWLEDGE THROUGH INNOVATIVE AND ENGAGING 

PROGRAMMING THAT PROMOTES LEARNING, ENRICHMENT, AND CREATIVITY FOR PEOPLE OF ALL 

AGES. THE LARGEST MUSEUM-BASED EDUCATIONAL PROGRAM IN THE WORLD, SMITHSONIAN 

ASSOCIATES ANNUALLY OFFERS MORE THAN 750 SEMINARS, PERFORMANCES LECTURES, STUDIO 

ART CLASSES AND LOCAL AND REGIONAL STUDY TOURS. PERFORMANCES AT DISCOVERY 

THEATER AND MORE THAN 90 EDUCATIONALLY FOCUSED SUMMER CAMPS ARE AMONG THE 

PROGRAMS THAT FOSTER THE JOYS OF LEARNING FOR YOUNG PEOPLE AND THEIR FAMILIES. 

DURING THE PANDEMIC OF 2020/21, SMITHSONIAN ASSOCIATES CONVERTED ALL IN-PERSON 

PROGRAMS TO THE STREAMING PLATFORM AND EXPANDED ITS REACH NATIONALLY AND 

INTERNATIONALLY. 

FORM 990, PART IV - LINE 128 

AUDITED FINANCIAL 

STATEMENTS 

THE SMITHSONIAN'S AUDITED FINANCIAL STATEMENTS ARE INCLUDED IN THE UNITED STATES 

GOVERNMENT'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS. 

FORM 990, PART VI, LINE 1A -

DELEGATE BROAD AUTHORITY 

TO A COMMITTEE 

THE BYLAWS OF THE ORGANIZATION DELEGATE AUTHORITY TO THE EXECUTIVE COMMITTEE TO 

ACT ON BEHALF OF THE BOARD OF REGENTS WHEN THE BOARD OF REGENTS IS NOT IN SESSION. 

THE BOARD OF REGENTS ELECTS FROM ITS MEMBERS AN EXECUTIVE COMMITTEE CONSISTING OF 

THREE MEMBERS. 

THE EXECUTIVE COMMITTEE HAS AND MAY EXERCISE ALL POWERS OF THE BOARD OF REGENTS 

WHEN THE BOARD OF REGENTS IS NOT IN SESSION, EXCEPT THOSE EXPRESSLY RESERVED TO 

ITSELF BY THE BOARD OF REGENTS, PROVIDED THAT ALL SUCH PROCEEDINGS ARE REPORTED TO 

THE GOVERNANCE AND NOMINATING COMMITTEE AND THE BOARD OF REGENTS ON A REGULAR 

BASIS. 

THE CHAIR OF THE BOARD SERVES AS CHAIR OF THE EXECUTIVE COMMITTEE. THE VICE CHAIR OF 

THE BOARD SERVES AS A MEMBER OF THE EXECUTIVE COMMITTEE. 

FORM 990, PART VI, LINE 2 - DAVID RUBENSTEIN HAS BUSINESS RELATIONSHIP WITH STEVE CASE AND A BUSINESS 

RELATIONSHIP WITH MICHAEL LYNTON. 

Smithsonian Institution 61 8/4/2021 1 :49:57 PM 

53-0206027 
Return Reference - Identifier Exolanation 

FORM 990, PART VI, LINE 2 - FAMILY/BUSINESS 

RELATIONSHIPS AMONGST 

INTERESTED PERSONS 

STEVE CASE- BUSINESS RELATIONSHIP 

DAVID RUBENSTEIN - BUSINESS RELATIONSHIP 

MICHAEL L YNTON - BUSINESS RELATIONSHIP 

FORM 990, PART VI, LINE 7A - MEMBERS OR STOCKHOLDERS 

ELECTING MEMBERS OF 

GOVERNING BODY 

PURSUANT TO FEDERAL STATUTE, THE BOARD OF REGENTS CONSISTS OF THE VICE PRESIDENT 

OF THE UNITED STATES, THE CHIEF JUSTICE OF THE UNITED STATES, THREE MEMBERS OF THE 

U.S. SENATE, THREE MEMBERS OF THE U.S. HOUSE OF REPRESENTATIVES, AND NINE ADDITIONAL 

CITIZEN REGENTS. 

THE THREE SENATORS ARE APPOINTED BY THE PRESIDENT PRO TEMPORE OF THE U.S. SENATE, 

AND THE THREE MEMBERS OF THE HOUSE OF REPRESENTATIVES ARE APPOINTED BY THE 

SPEAKER OF THE HOUSE OF REPRESENTATIVES. THEIR APPOINTMENT TERMS COINCIDE \MTH THE 

TERMS FOR WHICH THEY ARE ELECTED, AND THEY MAY BE REAPPOINTED IF RE-ELECTED. 

THE CITIZEN REGENTS ARE NOMINATED BY THE BOARD OF REGENTS, AND APPOINTED BY A JOINT 

RESOLUTION OF CONGRESS WHICH IS SIGNED BY THE PRESIDENT OF THE UNITED STATES. 

FORM 990, PART VI, LINE 118 - REVIEW OF FORM 990 BY 

GOVERNING BODY 

THE FORM 990 RETURN IS REVIEWED BY THE DIRECTOR OF FINANCE AND ACCOUNTING, THE 

OFFICE OF GENERAL COUNSEL, CHIEF OPERATING OFFICER AND THE SECRETARY OF THE 

SMITHSONIAN. THE RETURN IS ALSO REVIEWED BY AN INDEPENDENT ACCOUNTING FIRM. 

AFTER THIS REVIEW PROCESS, THE 990 IS MADE AVAILABLE TO THE FULL BOARD FOR ITS REVIEW 

AND COMMENT. 

THE AUDIT & REVIEW COMMITTEE CONDUCTS A FINAL REVIEW OF THE RETURN AT A REGULARLY 

SCHEDULED COMMITTEE MEETING PRIOR TO ITS FILING. 

FORM 990, PART VI, LINE 12C -

CONFLICT OF INTEREST 

POLICY 

ALL OFFICERS, KEY EMPLOYEES, AND CERTAIN OTHER EMPLOYEES ARE REQUIRED TO COMPLETE 

AND FILE ANNUALLY A CONFIDENTIAL FINANCIAL DISCLOSURE REPORT. 

THESE REPORTS - WHICH REQUIRE DISCLOSURE OF CERTAIN ASSETS, EARNED INCOME, 

LIABILITIES, OUTSIDE POSITIONS, OUTSIDE CONTRACTS AND AGREEMENTS, GIFTS, 

HOSPITALITY, REIMBURSEMENTS, AND OTHER INTERESTS RELATED TO THE EMPLOYEE'S 

SMITHSONIAN POSITION - ARE REVIEWED BY THE INSTITUTION'S OFFICE OF GENERAL 

COUNSEL FOR COMPLIANCE WITH APPLICABLE CONFLICT OF INTEREST POLICIES AND LAWS. 

IN ADDITION TO THIS REQUIRED REPORTING, ALL KEY EMPLOYEES ARE REQUIRED TO COMPLY 

WITH THE INSTITUTION'S STANDARDS OF CONDUCT, WHICH, AMONG OTHER THINGS, REQUIRES 

THAT EMPLOYEES NOT ENGAGE IN PRIVATE OR PERSONAL ACTIVITIES THAT MIGHT CONFLICT OR 

APPEAR TO CONFLICT WITH SMITHSONIAN INTERESTS, REQUIRES THAT EMPLOYEES OBTAIN 

OFFICE OF GENERAL COUNSEL APPROVAL BEFORE ENGAGING IN AN OUTSIDE ACTIVITY FOR 

COMPENSATION, AND REQUIRES EMPLOYEES TO CONSULT WITH THE OFFICE OF GENERAL 

COUNSEL WHENEVER A DOUBT EXISTS AS TO WHETHER AN ACTIVITY OR PLANNED ACTIVITY 

VIOLATES THE STANDARDS. 

ALL MEMBERS OF THE SMITHSONIAN'S GOVERNING BODY ARE REQUIRED TO COMPLETE AND FILE 

ANNUALLY THE BOARD OF REGENTS ANNUAL DISCLOSURE STATEMENT. THESE STATEMENTS- WHICH REQUIRE REPORTING BY MEMBERS (INCLUDING ANY REPORTABLE INTERESTS HELD BY 

IMMEDIATE FAMILY OF MEMBERS) ON OUTSIDE POSITIONS AND SUBSTANTIAL SHAREHOLDING IN 

FOR-PROFIT BUSINESS ENTITIES, OUTSIDE POSITIONS IN NON-PROFIT ENTITIES, AND INTERESTS 

AND AFFILIATIONS OF THE MEMBER THAT HAVE OR SOUGHT TO HAVE A RELATIONSHIP TO THE 

SMITHSONIAN - ARE REVIEWED BY THE INSTITUTION'S GENERAL COUNSEL FOR COMPLIANCE WITH 

APPLICABLE CONFLICT OF INTEREST POLICIES AND LAWS. 

IN ADDITION TO THIS REQUIRED REPORTING, ALL MEMBERS OF THE SMITHSONIAN'S GOVERNING 

BODY ARE REQUIRED TO COMPLY WITH THE BOARD OF REGENTS ETHICS GUIDELINES, WHICH, 

AMONG OTHER THINGS, DEFINE CONFLICTS OF INTEREST AND ESTABLISH PROCEDURES FOR 

DISCLOSING AND REPORTING OF CONFLICTS AND RECUSAL FROM DECISION-MAKING. 

FORM 990, PART VI, LINE 15A- THE SMITHSONIAN ENSURES THAT COMPENSATION PAID TO OFFICERS AND OTHER KEY 

PROCESS TO ESTABLISH EMPLOYEES IS REASONABLE AND COMPARABLE TO SIMILAR ORGANIZATIONS. EMPLOYEES OF THE 

COMPENSATION OF TOP SMITHSONIAN MAY BE PAID WITH FEDERALLY APPROPRIATED FUNDS OR WITH NONFEDERAL 

MANAGEMENT OFFICIAL ("TRUST") FUNDS. MOST TRUST FUNDED (NONFEDERAL) OFFICER AND KEY EMPLOYEE POSITIONS 

ARE SUBJECT TO MARKET-BASED COMPENSATION, AND THE BOARD OF REGENT'S COMMITTEE ON 

COMPENSATION AND HUMAN RESOURCES ENGAGES AN INDEPENDENT CONSULTANT TO DEVELOP 

AND ASSEMBLE COMPARABILITY DATA FOR ITS CONSIDERATION AND TO INFORM ITS DECISIONS. 

THE COMMITTEE'S ANNUAL DELIBERATIONS AND DECISIONS ARE DOCUMENTED AS PART OF THE 

FINAL RECOMMENDATION MATERIALS SUBMITTED TO THE BOARD OF REGENTS. SALARIES FOR 

FEDERAL EMPLOYEES ARE DETERMINED BY STATUTORILY ESTABLISHED PAY RANGES FOR CIVIL 

SERVICE EMPLOYEES. 

AS A MATTER OF POLICY, THE SMITHSONIAN HAS ESTABLISHED SIMILAR RANGES FOR CERTAIN 

TRUST FUNDED OFFICER AND KEY EMPLOYEE POSITIONS AND MAINTAINS THOSE RANGES IN 

PROPORTION TO THE APPROPRIATE FEDERAL PAY RANGES. 

FORM 990, PART VI, LINE 158 - PROCESS TO ESTABLISH 

COMP EN SA TION OF OTHER 

OFFICERS OR KEY EMPLOYEES 

SEE EXPLANATION FOR PART VI, LINE 15A 

FORM 990, PART VI, LINE 19 - THE SMITHSONIAN MAKES ITS GOVERNING DOCUMENTS, STATEMENT OF VALUES AND CODE OF 

REQUIRED DOCUMENTS ETHICS, AND AUDITED FINANCIAL STATEMENTS AVAILABLE ON ITS PUBLIC WEBSITE (WWW.SI.EDU). 

AVAILABLE TO THE PUBLIC DOCUMENTS MAY ALSO BE VIEWED AT THE OFFICE OF FINANCE AND 

ACCOUNTING OR MAILED. 

Smithsonian Institution 62 8/4/2021 1 :49:57 PM 

53-0206027 
Return Reference - Identifier 

FORM 990, PART XI, LINE 9 -

OTHER CHANGES IN NET 

ASSETS OR FUND BALANCES DEFERRED GAIN ON VICTOR BUILDING 

CHANGE IN RELATED PARTY NET ASSETS - 1,794,788 

ROUNDING 25 

FORM 990, PART XII, LINE 2B - THE SMITHSONIAN INSTITUTION IS SEPARATELY AUDITED. THE SMITHSONIAN INSTITUTION'S 

AUDITED FINANCIAL STATEMENTS ARE INCLUDED IN THE UNITED STATES GOVERNMENT'S 

CONSOLIDATED AUDITED FINANCIAL STATEMENTS. 

Smithsonian Institution 63 8/4/2021 1 :49:57 PM 

53-0206027 
0MB No. 1545-0047 

SCHEDULER Related Organizations and Unrelated Partnerships 

(Form 990) ► Complete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37. ~@19 ► Attach to Form 990. ()pen to Public Department of the Treasury 

Internal Revenue Service ► Go to www.irs.gov/Form990 for instructions and the latest information. Inspection 

Name of the organization Employer identification number 

SMITHSONIAN INSTITUTION 53-0206027 

IWHI Identification of Disregarded Entities. Complete if the organization answered "Yes" on Form 990, Part IV, line 33. 

(a) 

Name, address, and EIN (if applicable) of disregarded entity 

(b) 

Primary activity 

(c) 

Legal domicile (state 

or foreign country) 

(d) 

Total income 

(e) 

End-of-year assets 

(f) 

Direct controlling 

entity 

(1) 

(2) 

(3) 

(4) 

-_(5)__------- ------ ------ ------- ------- ----- ------- ------ ------ ------ ------- ------ ------- ----- ------- -

(6) 

i=EfflliIdentification of Related Tax-Exempt C>rganizations.Complete if the organization answered "Yes" on Form 990, Part IV, line 34, because it had 

one or more related tax-exempt organizations_ during the tax year. 

(a) 

Name, address, and EIN of related organization 

(b) 

Primary activity 

(c) 

Legal domicile (state 

or foreign country) 

(d) 

Exempt Code section 

(e) 

Public charity status 

(if section 501 (c)(3)) 

(f) 

Direct controlling 

entity 

(g) 

Section 512(b)(13) 

controlled 

entity? 

Yes No 

__(1)CLAY FELLOWSHIPS CHARITABLE TRUST (04-3560268) _________

10 MEMORIAL BOULEVARD, PROVIDENCE, RI 02903 

SUPPORT OF SMITHSONIAN ____ ASTROPHYSICAL 

OBSERVATORY 

MA 501(C)(3) 12 TYPE 111-0 NIA V 

(2) SMITHSONIAN UK CHARITABLE TRUST 

C/O WITHER LLP, 16 OLD BAILEY, LONDON, EC4M 7EG, UK 

ADVANCE THE WORK OF 

THE SMITHSONIAN 

INSTITUTION WORLDWIDE 

NORTHERN IRELAND' SCOTLAND' 

AND WALES) 501(C)(3) SMITHSONIAN 

INSTITUTION 

V 

(3) 

-_(4)__------- ------ ------------- ------ ------ ------ ------ -------- ----------------- -------

--( 5)---------------------------- ------------ ------ ------- ------ ------------ -------- -----

-_(6)___------ ------------------- ------ ------ -------------- ----- ------ ------- ------- -----

-_(7)__------- ------------------- ------ ------ ------ ------- ------ ------ ----- -------- ------

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50135Y Schedule R (Form 990) 2019 

Smithsonian Institution 64 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule R (Form 990) 2019 Page 2 

hffflllilIdentification 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 organizations treated as a partnership during the tax year. 

(a) 

Name, address, and EIN of 

related organization 

(b) 

Primary activity 

(c) 

Legal 

domicile 

(state or 

foreign 

country) 

(d) 

Direct controlling 

entity 

(e) 

Predominant 

income (related, 

unrelated, 

excluded from 

tax under 

sections 512-514) 

(f) 

Share of total 

income 

(g) 

Share of end-ofyear assets 

(h) 

Disproportiona

allocations? 

(i) 

te Code V-UBI 

amount in box 20 

of Schedule K-1 

(Form 1065) 

0) 

General or 

managing 

partner? 

(k) 

Percentage 

ownership 

Yes No Yes No 

__(1) (SEE STATEMENT) _____________ 

- (2)_____---- --------- ----------- ---------

__(3)___________________________--------- __ 

__(4)___________________________----_______ 

__(5)____------ ----------------------------

__(6)___------------- ------- ---------------

__(7)___________________________-------- ___ 

hENU'IIdentification of Related Organizations Taxable as a Corporation or Trust. Complete if the organization answered "Yes" on Form 990, Part IV, 

• line 34, because it had one or more related organizations treated as a corporation or trust during the tax year. 

(a) Name, address, and EIN of related organization (b) Primary activity I {c) I 

Legal domicile 

(state or foreign country} 

(d) Direct controlling 

entity 

I (e) Type of entity 

(C corp, S corp, or trust} 

I (f) Share of total 

income 

(g) 

Share of 

end-of-year assets 

(h) Percentage 

ownership 

I (i) Section 512(b}(13) 

controlled 

entity? 

Yes No 

__(1)(SEE STATEMENT)-------------------------------------

--(3) --------- ------ ------ -------- ----------- ------------------- ---

(4) 

-_( 5) __------- ------ ------- ------ ------------ ------ ------- ------ ---

-_ (6) ___ ------------- ------------------ ------- ------------------ ---

_(7} 

Schedule R (Form 990) 2019 

Smithsonian Institution 65 8/4/2021 1 :49:57 PM 

53-0206027 
2 

Schedule R (Form 990) 2019 Page3 

hfffll'ITransactions With Related Organizations. Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35b, or 36. 

Note: Complete line 1 if any entity is listed in Parts II, 111,or IV of this schedule. 

1 During the tax year, did the organization engage in any of the following transactions with one or more related organizations listed in Parts II-IV? 

a 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) 

f Dividends from related organization(s) 

g Sale of assets to related organization(s) 

h Purchase of assets from related organization(s) 

Exchange of assets with related organization(s) 

Lease of facilities, equipment, or other assets to related organization(s) 

k Lease of facilities, equipment, or other assets from related organization(s) 

Performance of services or membership or fundraising solicitations for related organization(s) 

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) 

o Sharing of paid employees with related organization(s) . 

p Reimbursement paid to related organization(s) for expenses 

q Reimbursement paid by related organization(s) for expenses 

r Other transfer of cash or property to related organization(s) 

s Other transfer of cash or property from related organization(s) 

1k v 

11 v 

1m v 

1n v 

10 v 

1a 

1b ,___ -

1c v 

1d 

1e 

1f 

1g 

1h 

Iv 

·v 

v 

v 

v 

v 

v 

v 

v 

If the answer to ant of the above is "Yes,_"_see the instructions for information on who must complete this line, including covered relationships and transaction thresholds 

(a) (b) (c) (d) 

Name of related organization Transaction Amount involved Method of determining amount involved 

type (a-s) 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

Schedule R (Form 990) 2019 

Smithsonian Institution 66 8/4/2021 1 :49:57 PM 

53-0206027 
Schedule R (Form 990) 2019 Page4 

hfffll91Unrelated Organizations Taxable as a Partnership. Complete if the organization answered "Yes" on Form 990, Part IV, line 37. 

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) I (b) I (c) I (d) (e) I (t} I (g) Name, address, and EIN of entity Primary activity Legal domicile Predominant Are all partners Share of Share of 

(state or foreign income (related, section total income end-of-year 

country) unrelated, excluded 501 (c)(3) assets 

(1) 

-_ (2}----------------------------- ----- ------------------

(3) - ---------------- ------ ------------- ----- -------

(4) 

(5)

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

(6) -------------------------- ------------

(7) ---------------------------------------------

@ 

(9)

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

(1 O) ___________________________________________________ _ 

(11) - --- -----------------------------------------

(12)__--------------------- ------- ----------------------

(13)___________-----------------------------------------

(14) - --------------- ------------------- ------------

(15}_____---____ -----_ --_ --_ ----------_------__---___ ---

(16}___-------------------------------------------------

from tax under organizations? 

sections 512-514) 1---~-~ 

Yes No 

(h) 

Disproportionate 

allocations? 

Yes I No 

(i) 

CodeV-UBI 

amount in box 20 

of Schedule K-1 

(Form 1065) 

0) 

General or 

managing 

partner? 

Yesl No 

(k) 

Percentage 

ownership 

Schedule R (Form 990) 2019 

Smithsonian Institution 67 8/4/2021 1 :49:57 PM

53-0206027 
Identification of Related Organizations Taxable as a Partnership (continued) 

(a) Name, address and EIN of related organization (b) Primary Activity (c) Legal 

domicile 

(state or foreign 

country) 

(d) Direct 

controlling 

entity 

(e) Predominant 

income 

related, unrelated, 

excluded from tax 

under sections 512-

514 

(f) Share of 

total income 

(g) Share of 

end-of-year 

assets 

(h) 

Dispropor 

tionate 

allocation 

s? 

Yes No 

(i) Code VUBI amount 

in box 20 of 

Schedule K1 (Form 

1065) 

0) 

General 

or 

managing 

partner? 

Yes No 

(k) 

Percentage 

ownership 

(1) BLACKBIRD 1846 ENERGY FUND, LP (47-

3887280) 

10000 MEMORIAL DRIVE, SUITE 550, 

HOUSTON, TX 77024 

INVESTMENTS DE 

BLACKBIR 

D 1846 

ENERGY 

FUND GP, 

LP 

EXCLUDED 320,773 10,668,653 ✓ (1,140,915) ✓ 

100.00 

Smithsonian Institution 68 8/4/2021 1 :49:57 PM 

53-0206027 
Identification of Related Organizations Taxable as a Corporation or Trust (continued) 

(a) Name, address and EIN of related organization (b) Primary 

activity 

(c) Legal 

domicile (state or 

foreign country) 

(d) Direct 

controlling 

entity 

(e) Type of entity 

(C-corp, S-corp or 

trust) 

(f) Share of 

total income 

(g) Share of 

end-of-year 

assets 

(h) Percentage 

ownership 

(i) Section 

512(b)(13) 

controlled 

entitv? 

Yes No 

(1) CHARITABLE REMANDER TRUSTS (2) 

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560 

CHARITABLE 

REMAINDER 

TRUST DC N/A TRUST N/A ✓ 

(2) CHARITABLE REMAINDER TRUSTS (2) 

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560 

CHARITABLE 

REMAINDER 

TRUST MA N/A TRUST N/A ✓ 

(3) CHARITABLE REMIANDER TRUSTS (1) 

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560 

CHRITABLE 

REMAINDER 

TRUST Ml N/A TRUST N/A ✓ 

(4) CHARITABLE REMAINDER TRUSTS (5) 

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560 

CHARITABLE 

REMAINDER 

TRUST NY NIA TRUST N/A ✓ 

(5) CHARITABLE REMAINDER TRUSTS (3) 

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560 

CHARITABLE 

REMAINDER 

TRUST VA N/A TRUST N/A ✓ 

(6) REVETAS SIV I LP 

1 ROYAL PLAZA, ROYAL AVENUE, ST. PETER PORT, GY1 

2HL, GK 

INVESTMENTS GUERNSEY REVETAS GP 

II LIMITED C CORPORATION 324,926 2,660,303 100.00 ✓ 

(7) FOUNDATION CREDIT OPPORTUNITIES OFFSHORE 

LTD. 

PO BOX 309, UGLAND HOUSE, GRAND CAYMAN, KY1-

1104, CJ 

INVESTMENTS CAYMAN 

ISLANDS NA C CORPORATION 3,122,105 23,889,565 65.99 ✓ 

Smithsonian Institution 69 8/4/2021 1 :49:57 PM 

53-0206027