2023-11-15T09:09:16-06:00 2022-12-31 910189318 MOSS ADAMS LLP 4747 EXECUTIVE DR SUITE 1300 SAN DIEGO CA 92121 990 2022-01-01 871702255 REDWOOD RESEARCH GROUP INC REDW 6197803839 2150 SHATTUCK AVE SUITE 1200 BERKELEY CA 94704 JAMES BREGAN TREASURER/CFO 6197803839 2023-11-14 1 JAMES BREGAN 999009999 1 PATRICIA J MAYER P00188643 8586271400 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z NATHANIEL THOMAS 1510 OXFORD ST BERKELEY CA 94709 12049894 0 X REDWOODRESEARCH.ORG X 2021 DE REDWOOD RESEARCH RESEARCHES TECHNIQUES FOR ALIGNING SUPERHUMAN MACHINE INTELLIGENCE. ADDITIONALLY, REDWOOD RESEARCH OPERATES A CO-WORKING SPACE, CONSTELLATION, FOR SIMILARLY MOTIVATED ORGANIZATIONS AND INDIVIDUALS. 3 2 38 2 0 0 13900000 11974000 0 0 0 0 4248 75894 13904248 12049894 0 0 0 0 725540 5498396 0 0 0 1616029 7260795 2341569 12759191 11562679 -709297 14523608 14026098 2960929 3172716 11562679 10853382 REDWOOD RESEARCH RESEARCHES TECHNIQUES FOR ALIGNING SUPERHUMAN MACHINE INTELLIGENCE AND ENGAGES IN RESEARCH AND OTHER ACTIVITIES, ESPECIALLY ON THE TOPIC OF EMERGING TECHNOLOGIES, AIMED AT INCREASING THE LONG-TERM WELFARE OF HUMANS AND OTHER SENTIENT BEINGS. 0 0 5239721 CONSTELLATION - REDWOOD RESEARCH SETUP OUR PHYSICAL OFFICE SPACE KNOWN AS "CONSTELLATION". WE HOSTED A HANDFUL OF ORGANIZATIONS AND INDIVIDUALS WHO CO-WORKED AND COLLABORATED WITH REDWOOD RESEARCH STAFF. ADDITIONALLY, WE HOSTED COMMUNITY EVENTS, TALKS, AND MEALS FOR OUR CO-WORKING GROUPS. 5143797 AI RESEARCH - REDWOOD RESEARCH CONDUCTED RESEARCH ON AI INTERPRETABILITY AND ADVERSARIAL TRAINING TECHNIQUES. AS PART OF THE RESEARCH, WE PUBLISHED BLOG POSTS AND LAID THE FOUNDATION FOR RESEARCH PROJECTS. 723386 MLAB - REDWOOD RESEARCH PREPARED FOR MLAB - MACHINE LEARNING FOR ALIGNMENT BOOTCAMP, ITS 1 MONTH TRAINING PROGRAM FOR UP AND COMING AI RESEARCHERS. 11106904 1 1 0 0 0 0 0 0 0 0 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 43 0 1 38 1 0 0 0 0 0 1 1 0 0 0 0 0 0 X 3 2 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X DAVID ESPIRITU 6128048248 2150 SHATTUCK AVE SUITE 1200 BERKELEY CA 94704 NATHANIEL THOMAS CHAIRPERSON/PRESIDENT 40.00 X X 274361 0 7989 HOLDEN KARNOFSKY TREASURER/CFO 2.00 X X 0 0 0 PAUL CHRISTIANO SECRETARY 2.00 X X 0 0 0 MICHAEL SHLEGERIS CTO 40.00 X 273567 0 9112 WILLIAM ZITO COO 40.00 X 274370 0 7399 JAMES BREGAN HEAD OF CONSTELLATION OPERATIONS 40.00 X 234234 0 24295 DANIEL ZIEGLER MEMBER OF TECHNICAL STAFF 40.00 X 384872 0 14001 TAO LIN MEMBER OF TECHNICAL STAFF 40.00 X 295571 0 2400 RYAN GREENBLATT MEMBER OF TECHNICAL STAFF 40.00 X 292284 0 1828 TIMOTHY BAUMAN MEMBER OF TECHNICAL STAFF 40.00 X 267761 0 11056 EVGENIA NITISHINSKAYA MEMBER OF TECHNICAL STAFF 40.00 X 212252 0 4571 2509272 0 82651 20 0 1 0 0 11974000 11974000 75894 75894 75894 12049894 0 0 75894 1105325 1105325 3955442 3172343 783099 116133 81086 35047 321496 266868 54628 156236 6049 150187 56577 56577 1260055 1145402 114653 1189449 1179218 10231 1385692 1241493 144199 2069711 2069711 601682 566698 34984 666 666 53533 53533 13125 638 12487 COVID RELATED SUPPLIES 266301 266301 BAD DEBT 200000 200000 TAX AND LICENSING 441 441 BANK FEES 197 197 7130 5106 2024 12759191 11106904 1652287 0 11135278 10044554 210536 15801 168868 623601 57506 281567 566095 2896227 3230780 14523608 14026098 286901 48692 2674028 3124024 2960929 3172716 X 11352323 10853382 210356 0 11562679 10853382 14523608 14026098 -709297 0 X 0 1 X 1 0 X 13900000 11974000 25874000 13900000 11974000 25874000 10759502 15114498 4248 75894 80142 25954142 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2021 AMOUNT: $ 4,248. 2022 AMOUNT: $ 75,894. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 362477 24155 338322 261124 33351 227773 566095 SECURITY DEPOSIT 144262 OPERATING LEASE RIGHT-OF-USE ASSETS 3086518 3230780 OPERATING LEASE LIABILITY 3124024 3124024 X 12049894 0 12049894 0 12049894 12759191 0 12759191 0 12759191 PART X, LINE 2: THE ORGANIZATION IS A NONPROFIT CORPORATION EXEMPT FROM FEDERAL INCOME TAXES UNDER INTERNAL REVENUE CODE SECTION 501(C)(3) AND FROM STATE OF CALIFORNIA INCOME TAXES, EXCEPT ON UNRELATED BUSINESS INCOME. THEREFORE, THESE FINANCIAL STATEMENTS CONTAIN NO PROVISION FOR SUCH TAXES. INFORMATIONAL RETURNS ARE FILED ANNUALLY WITH FEDERAL AND STATE TAXING AUTHORITIES. THE ORGANIZATION IS NOT AWARE OF ANY TRANSACTIONS THAT WOULD AFFECT ITS TAX-EXEMPT STATUS. NORTH AMERICA 0 1 PROGRAM SERVICES IMMIGRATION LEGAL SERVICES 22813 NORTH AMERICA 0 1 PROGRAM SERVICES AI ALIGNMENT RESEARCH 18111 EUROPE (INCLUDING ICELAND & GREENLAND) 0 1 PROGRAM SERVICES CURRICULUM DEVELOPMENT 3900 0 3 0 0 0 3 44824 0 44824 0 0 0 0 0 0 PART III ACCOUNTING METHOD: X X 0 0 0 0 0 0 0 0 0 DANIEL ZIEGLER MEMBER OF TECHNICAL STAFF 333091 0 51781 0 0 0 6917 0 7084 0 398873 0 0 0 TAO LIN MEMBER OF TECHNICAL STAFF 262489 0 33082 0 0 0 1313 0 1087 0 297971 0 0 0 RYAN GREENBLATT MEMBER OF TECHNICAL STAFF 240503 0 51781 0 0 0 131 0 1697 0 294112 0 0 0 MICHAEL SHLEGERIS CTO 233293 0 40274 0 0 0 1146 0 7966 0 282679 0 0 0 NATHANIEL THOMAS CHAIRPERSON/PRESIDENT 234087 0 40274 0 0 0 0 0 7989 0 282350 0 0 0 WILLIAM ZITO COO 234096 0 40274 0 0 0 345 0 7054 0 281769 0 0 0 TIMOTHY BAUMAN MEMBER OF TECHNICAL STAFF 251734 0 16027 0 0 0 5250 0 5806 0 278817 0 0 0 JAMES BREGAN HEAD OF CONSTELLATION OPERATIONS 193459 0 40775 0 0 0 0 0 24295 0 258529 0 0 0 EVGENIA NITISHINSKAYA MEMBER OF TECHNICAL STAFF 202252 0 10000 0 0 0 3423 0 1148 0 216823 0 0 0 FORM 990, PART VI, SECTION B, LINE 11B FORM 990 WAS REVIEWED BY THE HEAD OF FINANCE AND ACCOUNTING AND THE COO. A COPY OF THE 990 IS PROVIDED TO BOARD MEMBERS PRIOR TO SUBMISSION TO THE IRS. FORM 990, PART VI, SECTION B, LINE 12C A CONTRACT OR TRANSACTION IN WHICH A DIRECTOR OR OFFICER HAS FINANCIAL INTEREST, SHALL ONLY BE AUTHORIZED BY THE BOARD OF THE DIRECTORS OR THE COMMITTEE THEREOF UNDER THE FOLLOWING CONDITIONS: A) THE MATERIAL FACTS OF THE RELATIONSHIP OR INTEREST AS TO THE CONTRACT OR TRANSACTION ARE FULLY DISCLOSED TO THE BOARD OF DIRECTORS OR COMMITTEE WHO AUTHORIZES THE CONTRACT OR TRANSACTION BY THE AFFIRMATIVE VOTE OF A MAJORITY OF THE DISINTERESTED DIRECTORS AND OFFICERS B) THE CONTRACT OR TRANSACTION IS FAIR AS TO THE CORPORATION AS OF THE TIME IT IS AUTHORIZED, APPROVED OR RATIFIED BY THE BOARD OF DIRECTORS. AT A MEETING OF THE BOARD OF DIRECTORS IN WHICH THE AUTHORIZATION OF A CONTRACT OR TRANSACTION IS IN QUESTION, THE COMMON OR INTERESTED DIRECTORS MAY BE COUNTED IN DETERMINING THE PRESCENCE OF A QUORUM. FORM 990, PART VI, SECTION B, LINE 15 APPROVED COMPENSATION PACKAGE FOR CEO WAS BASED ON COMPENSATION STUDY PREPARED BY A THIRD PARTY. IN ADDITION OTHER OFFICER'S COMPENSATION WAS BASED ON REVIEWING COMPARABLE DATA FROM SIMILAR FIRMS AND REPORTED SALARIES FOR MACHINE LEARNING ENGINEERS IN THE BAY AREA, AND AGGREGATED DATA FROM PAYFACTORS FOR POSITIONS IN OPERATIONS AND MANAGEMENT. THE ORGANIZATION ALSO CONSIDERED OFFER LETTERS RECEIVED BY INDIVIDUALS ON THE STAFF FROM OTHER ORGANIZATIONS, AS WELL AS PUBLICLY AVAILABLE NONPROFIT REPORTED SALARIES FROM SIMILAR ORGANIZATIONS SUCH AS OPENAI. THE PROCESS IS DOCUMENTED. THE ORGANIZATION CONSIDERED ALL OF THE DATA, AND THE RESPONSIBILITIES AND EXPERTISE REQUIRED OF THE VARIOUS POSITIONS TO DETERMINE DIFFERENT SALARY AMOUNTS FOR DIFFERENT POSITIONS AND LEVELS WITHIN THOSE POSITIONS. FURTHERMORE, THE ORGANIZATION HIRED A LAW FIRM TO PROVIDE AND INDEPENDENT REVIEW AND RECOMMENDATION FOR THE COMPENSATION POLICY. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC UPON REQUEST.