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Return of Organization Exempt from Income Tax OMB No ** PUBLIC DISCLOSURE COPY ** Return of Organization Exempt From Income Tax OMB No. 1545-0047 Form 990 Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except private foundations) (Rev. January 2020) | Do not enter social security numbers on this form as it may be made public. 2019 Department of the Treasury Open to Public Internal Revenue Service | Go to www.irs.gov/Form990 for instructions and the latest information. Inspection A For the 2019 calendar year, or tax year beginning JUL 1, 2019 and ending JUN 30, 2020 B Check if C Name of organization D Employer identification number applicable: Address change ROCKY MOUNTAIN INSTITUTE Name change Doing business as 74-2244146 Initial return Number and street (or P.O. box if mail is not delivered to street address) Room/suite E Telephone number Final return/ 2490 JUNCTION PLACE, SUITE 200 303-245-1003 termin- ated City or town, state or province, country, and ZIP or foreign postal code G Gross receipts $ 61,864,266. Amended return BOULDER, CO 80301 H(a) Is this a group return Applica- tion F Name and address of principal officer: JULES KORTENHORST for subordinates? ~~ Yes X No pending SAME AS C ABOVE H(b) Are all subordinates included? Yes No I Tax-exempt status: X 501(c)(3) 501(c) ( )§ (insert no.) 4947(a)(1) or 527 If "No," attach a list. (see instructions) J Website: | WWW.RMI.ORG H(c) Group exemption number | K Form of organization: X Corporation Trust Association Other | L Year of formation: 1982 M State of legal domicile: CO Part I Summary 1 Briefly describe the organization's mission or most significant activities: OUR MISSION IS TO TRANSFORM GLOBAL ENERGY USE TO CREATE A CLEAN, PROSPEROUS, AND SECURE 2 Check this box | if the organization discontinued its operations or disposed of more than 25% of its net assets. 3 Number of voting members of the governing body (Part VI, line 1a) ~~~~~~~~~~~~~~~~~~~~ 3 20 4 Number of independent voting members of the governing body (Part VI, line 1b) ~~~~~~~~~~~~~~ 4 17 5 Total number of individuals employed in calendar year 2019 (Part V, line 2a) ~~~~~~~~~~~~~~~~ 5 261 6 Total number of volunteers (estimate if necessary) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 6 17 7 a Total unrelated business revenue from Part VIII, column (C), line 12 ~~~~~~~~~~~~~~~~~~~~ 7a 0. Activities & Governance b Net unrelated business taxable income from Form 990-T, line 39 7b 0. Prior Year Current Year 8 Contributions and grants (Part VIII, line 1h) ~~~~~~~~~~~~~~~~~~~~~ 44,756,600. 51,847,182. 9 Program service revenue (Part VIII, line 2g) ~~~~~~~~~~~~~~~~~~~~~ 8,711,812. 9,921,955. 10 Investment income (Part VIII, column (A), lines 3, 4, and 7d) ~~~~~~~~~~~~~ -17,570. 53,134. Revenue 11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) ~~~~~~~~ 51,239. 41,995. 12 Total revenue - add lines 8 through 11 (must equal Part VIII, column (A), line 12) 53,502,081. 61,864,266. 13 Grants and similar amounts paid (Part IX, column (A), lines 1-3) ~~~~~~~~~~~ 0. 600,000. 14 Benefits paid to or for members (Part IX, column (A), line 4) ~~~~~~~~~~~~~ 0. 0. 15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-10) ~~~ 26,176,572. 32,375,176. 16a Professional fundraising fees (Part IX, column (A), line 11e) ~~~~~~~~~~~~~~ 75,000. 0. b Total fundraising expenses (Part IX, column (D), line 25) | 2,439,437. Expenses 17 Other expenses (Part IX, column (A), lines 11a-11d, 11f-24e) ~~~~~~~~~~~~~ 18,693,443. 19,644,557. 18 Total expenses. Add lines 13-17 (must equal Part IX, column (A), line 25) ~~~~~~~ 44,945,015. 52,619,733. 19 Revenue less expenses. Subtract line 18 from line 12 8,557,066. 9,244,533. Beginning of Current Year End of Year 20 Total assets (Part X, line 16) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 47,374,815. 59,543,794. 21 Total liabilities (Part X, line 26) ~~~~~~~~~~~~~~~~~~~~~~~~~~~ 12,131,611. 15,357,565. Net Assets or 22 Net assets or fund balances. Subtract line 21 from line 20 35,243,204. 44,186,229. Fund Balances Part II Signature Block Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge. March 30, 2021 Sign = Signature of officer Date Here JULES KORTENHORST, CEO = Type or print name and title Print/Type preparer's name Preparer's signature Date Check PTIN if Paid LU ANN TRAPP LU ANN TRAPP 03/25/21 self-employed P01506476 Preparer Firm's name 9 PLANTE & MORAN, PLLC Firm's EIN 9 38-1357951 Use Only Firm's address 9 10 S. RIVERSIDE PLAZA, 9TH FLOOR CHICAGO, IL 60606 Phone no.(312) 207-1040 May the IRS discuss this return with the preparer shown above? (see instructions) X Yes No 932001 01-20-20 LHA For Paperwork Reduction Act Notice, see the separate instructions. Form 990 (2019) SEE SCHEDULE O FOR ORGANIZATION MISSION STATEMENT CONTINUATION Form 990 (2019) ROCKY MOUNTAIN INSTITUTE 74-2244146 Page 2 Part III Statement of Program Service Accomplishments Check if Schedule O contains a response or note to any line in this Part III X 1 Briefly describe the organization's mission: OUR MISSION IS TO TRANSFORM GLOBAL ENERGY USE TO CREATE A CLEAN, PROSPEROUS, AND SECURE LOW-CARBON FUTURE. 2 Did the organization undertake any significant program services during the year which were not listed on the prior Form 990 or 990-EZ? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes X No If "Yes," describe these new services on Schedule O. 3 Did the organization cease conducting, or make significant changes in how it conducts, any program services? ~~~~~~ Yes X No If "Yes," describe these changes on Schedule O. 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 $ 6,588,663. including grants of $ ) (Revenue $ 1,349,472. ) EMPOWERING CLEAN ECONOMIES - SUPPORTING LOW AND MIDDLE-INCOME COUNTRIES CAN HELP MEET AMBITIOUS CLIMATE TARGETS ESTABLISHED AS PART OF THE PARIS AGREEMENT, WHILE ALSO PROVIDING RELIABLE, AFFORDABLE ENERGY ACCESS TO PEOPLE WHOSE HEALTH AND LIVELIHOODS DEPEND ON IT, BY EMBRACING AND MAXIMIZING THE CONTRIBUTIONS OF CLEAN ENERGY SOLUTIONS IN THEIR NATIONAL SETTINGS. SUPPORTING INITIATIVES INCLUDE: 1) SUSTAINABLE ENERGY FOR ECONOMIC DEVELOPMENT - SPEEDING UP ACCESS TO CLEAN ELECTRICITY IN SUB-SAHARAN AFRICA AS A MEANS TO IMPROVE QUALITY OF LIFE AND UNDERPIN ECONOMIC DEVELOPMENT. 2) ISLANDS ENERGY PROGRAM - ADVANCING THE TRANSITION OF ISLAND 4b (Code: ) (Expenses $ 6,031,563. including grants of $ ) (Revenue $ 1,865,444. ) ELECTRICITY CREATING A CLEAN, RESILIENT, AND AFFORDABLE ELECTRICITY SYSTEM THAT PRODUCES LESS POLLUTION AND CLIMATE-ALTERING CO2. SUPPORTING INITIATIVES INCLUDE: 1) REGULATORY AND BUSINESS MODEL REFORM WORKING WITH UTILITIES AND STATE REGULATORY COMMISSIONS TO EVOLVE BUSINESS AND REGULATORY MODELS AND ADVANCE MORE MODERN ELECTRICITY RATE STRUCTURES. WE AIM TO SUPPORT THREE TO FIVE STATES THAT ARE COMMITTED TO REGULATORY AND BUSINESS MODEL REFORM THAT WILL DRIVE A RENEWABLY POWERED ELECTRICITY SYSTEM BY 2020. 2) ELECTRICITY INNOVATION LAB (E-LAB) CONVENING INDUSTRY PLAYERS TO 4c (Code: ) (Expenses $ 5,958,098. including grants of $ ) (Revenue $ 1,914,270. ) INDUSTRY - WE ARE WORKING ON A CRITICAL PIECE OF THE CLIMATE PUZZLE: DECARBONIZING THE WORLD'S GOODS AND SERVICES, INCLUDING HOW THEY ARE DESIGNED, SOURCED, PRODUCED, AND DELIVERED. OUR PLANET IS DROWNING IN EMISSIONS FROM THE PRODUCTION OF GOODS AND THE SERVICES WE USE TO TRANSPORT THEM, AND IT'S CRITICAL WE ADDRESS THIS CRUCIAL SECTOR. OUR WORK INCLUDES: 1. MATERIAL VALUE CHAINS - DECARBONIZING THE MATERIALS THAT GO INTO OUR EVERYDAY GOODS, INCLUDING METALS AND MINERALS, STEEL, AND CEMENT. 2. ENERGY INPUTS - REDUCING THE CARBON INTENSITY OF THE FUELS 4d Other program services (Describe on Schedule O.) (Expenses $ 25,234,775. including grants of $ 600,000. ) (Revenue $ 4,793,494. ) 4e Total program service expenses | 43,813,099. Form 990 (2019) 932002 01-20-20 SEE SCHEDULE O FOR CONTINUATION(S) 2 15320325 147228 114495 2019.05080 ROCKY MOUNTAIN INSTITUTE 114495_2 Form 990 (2019) ROCKY MOUNTAIN INSTITUTE 74-2244146 Page 3 Part IV Checklist of Required Schedules Yes 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 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1 X 2 Is the organization required to complete Schedule B, Schedule of Contributors? ~~~~~~~~~~~~~~~~~~~~~~ 2 X 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 X 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 X 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 III ~~~~~~~~~~~~~~ 5 X 6 Did the organization maintain any donor advised funds
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