2024-11-15T19:58:10-06:00 2023-12-31 910189318 MOSS ADAMS LLP 4747 EXECUTIVE DR SUITE 1300 SAN DIEGO CA 92121 990 2023-01-01 871702255 REDWOOD RESEARCH GROUP INC REDW 6197803839 2150 SHATTUCK AVE SUITE 1200 BERKELEY CA 94704 MICHAEL SHLEGERIS CEO 6197803839 2024-11-15 1 1 PATRICIA J MAYER P00188643 8586271400 2023 2024-10-15 13:58:12Z MICHAEL SHLEGERIS 2150 SHATTUCK AVE SUITE 1200 BERKELEY CA 94704 10374669 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. THIS PROGRAM WAS GRANTED TO CONSTELLATION RESEARCH CENTER DURING 2023. 3 1 34 3 0 0 11974000 9398000 0 343734 0 1250 75894 293363 12049894 10036347 0 5097655 0 0 5498396 3709667 0 0 0 7260795 3783512 12759191 12590834 -709297 -2554487 14026098 11984181 3172716 3685286 10853382 8298895 X 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 1 10938362 5097655 343734 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. 553702 MLAB - REDWOOD RESEARCH PREPARED FOR MLAB - MACHINE LEARNING FOR ALIGNMENT BOOTCAMP, ITS 1 MONTH TRAINING PROGRAM FOR UP AND COMING AI RESEARCHERS. 11492064 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 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 52 0 1 34 1 0 0 0 0 0 0 0 0 0 0 0 0 X 3 1 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X DAVID ESPIRITU 5102008195 2150 SHATTUCK AVE SUITE 1200 BERKELEY CA 94704 MICHAEL SHLEGERIS CEO, DIRECTOR 40.00 0.00 X X 272175 0 10247 NATHANIEL THOMAS DIRECTOR, BOARD CHAIR 40.00 40.00 X X 183333 91091 8317 AJEYA COTRA DIRECTOR 2.00 0.00 X 0 0 0 PAUL CHRISTIANO DIRECTOR (THRU 6/23) 2.00 0.00 X 0 0 0 HOLDEN KARNOFSKY DIRECTOR (THRU 11/23) 2.00 0.00 X 0 0 0 JAMES BREGAN CFO, SECRETARY 40.00 40.00 X 145833 103953 30943 WILLIAM ZITO COO 40.00 40.00 X 78138 50341 7891 RYAN GREENBLATT MEMBER OF TECHNICAL STAFF 40.00 0.00 X 314931 0 6908 EVGENIA NITISHINSKAYA MEMBER OF TECH. 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STAFF (THRU 6/23) 40.00 0.00 X 171449 0 7239 1714929 245385 97508 12 0 1 0 SERVICELEADER LLC 15444 BRUNSWICK CIRCLE SAN LEANDRO CA 94579 PORTER SERVICES 272854 ZACHARY CHARBONNEAU 2493 POWDERHORN LANE BOULDER CO 80305 AI RESEARCH 123000 2 9398000 9398000 MEMBERSHIP FEES 900099 336961 336961 RENTAL FEES 532000 6773 6773 343734 339572 338322 1250 1250 1250 OVERPAYMENT REFUNDS 900099 225482 225482 REWARD REDEMPTIONS 900099 47112 47112 REIMBURSEMENTS 900099 19538 19538 1231 1231 293363 10036347 343734 0 294613 5095655 5095655 2000 2000 678604 550594 128010 2642259 1982074 660185 148966 148966 239838 199085 40753 39233 39233 112355 112355 967560 967560 750217 729685 20532 342864 307185 35679 1339301 1339301 126618 119256 7362 1830 1830 60511 60511 15656 761 14895 MEMBERSHIP DUES 16386 16386 COVID RELATED SUPPLIES 7359 7359 TAX AND LICENSING 650 650 EXCHANGE LOSSES 91 91 2881 1429 1452 12590834 11492064 1098770 0 10044554 5632335 15801 75586 168868 221499 138800 46653 566095 92147 3230780 5962614 14026098 11984181 48692 18573 3124024 3666713 3172716 3685286 X 10853382 8298895 10853382 8298895 14026098 11984181 -2554487 0 X 0 1 X 1 0 X 13900000 11974000 9398000 35272000 13900000 11974000 9398000 35272000 13276770 21995230 6773 6773 4248 75894 293363 373505 35652278 336961 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2021 AMOUNT: $ 4,248. 2022 AMOUNT: $ 75,894. 2023 AMOUNT: $ 293,363. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 138800 46653 92147 92147 SECURITY DEPOSIT 1144262 OPERATING LEASE RIGHT-OF-USE ASSETS 4818352 5962614 OPERATING LEASE LIABILITY 4891909 DUE TO/FROM CONSTELLATION -1225196 3666713 X 10036347 0 10036347 0 10036347 12590834 0 12590834 0 12590834 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 - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 1 PROGRAM SERVICES TECHNICAL CONSULTING 118860 0 1 0 0 0 1 118860 0 118860 0 0 0 0 0 0 0 FIDELITY INVESTMENTS CHARITABLE GIFT FUND 245 SUMMER STREET MZ NM43A BOSTON MA 02210 110303001 501(C)(3) 200000 0 GENERAL SUPPORT CONSTELLATION RESEARCH CENTER INC 2150 SHATTUCK AVE STE 1200 BERKELEY CA 94704 932465256 501(C)(3) 4341360 554295 FMV HARDWARE, FURNITURE, AND LEASEHOLD IMPROVEMENTS TRANSFER OF $4,341,360 GRANT TO REDWOOD RESTRICTED FOR USE FOR CONSTELLATION, AND OTHER ASSETS DEEMED TO BELONG TO NEW CONSTELLATION ENTITY AS PART OF THE GRANT OF THE CONSTELLATION PROGRAM FROM REDWOOD. 2 0 X X 0 0 0 0 0 0 0 0 0 RYAN GREENBLATT MEMBER OF TECHNICAL STAFF 314931 0 0 0 0 0 0 0 6908 0 321839 0 0 0 NATHANIEL THOMAS DIRECTOR, BOARD CHAIR 183333 91091 0 0 0 0 0 400 7917 0 191250 91491 0 0 MICHAEL SHLEGERIS CEO, DIRECTOR 272175 0 0 0 0 0 2750 0 7497 0 282422 0 0 0 JAMES BREGAN CFO, SECRETARY 145833 103953 0 0 0 0 0 0 22615 8328 168448 112281 0 0 EVGENIA NITISHINSKAYA MEMBER OF TECH. STAFF (THRU 7/23) 197187 0 0 0 0 0 3533 0 5856 0 206576 0 0 0 DANIEL ZIEGLER MEMBER OF TECH. STAFF (THRU 6/23) 178673 0 0 0 0 0 7545 0 0 0 186218 0 0 0 KSHITIJ SACHAN MEMBER OF TECH. STAFF (THRU 11/23) 173210 0 0 0 0 0 7604 0 1425 0 182239 0 0 0 NICHOLAS GOLDOWSKY-DILL MEMBER OF TECH. STAFF (THRU 6/23) 171449 0 0 0 0 0 3920 0 3319 0 178688 0 0 0 FORM 990, PART III, LINE 3 DURING THE YEAR REDWOOD RESEARCH GROUP, INC. (REDWOOD) FOUNDED 501(C)(3) CONSTELLATION RESEARCH CENTER, INC. (CRC) TO TAKE OVER REDWOOD'S CONSTELLATION PROGRAM WHICH HAD PROVIDED CO-WORKING SPACES, EQUIPMENT AND RELATED RESOURCES TO FACILITATE COLLABORATIVE RESEARCH AMONG MISSION-ALIGNED ENTITIES. THE CONSTELLATION PROGRAM WAS GRANTED TO CRC IN 2023. THE RESTRUCTURE OVERALL ALLOWS BOTH ORGANIZATIONS TO INCREASE CAPACITIES TO CARRY OUT THEIR RESPECTIVE ACTIVITIES AND MORE EFFECTIVELY PURSUE THEIR SHARED MISSION. 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. OTHER INFORMATION DUE TO THE COMPLEXITIES OF GRANTING THE CONSTELLATION PROGRAM TO CRC, REDWOOD RESEARCH GROUP, INC. (REDWOOD) IS IN THE PROCESS OF COMPLETING ITS GAAP AUDIT OF THE FINANCIAL STATEMENTS. UPON COMPLETION OF THE GAAP AUDIT, REDWOOD WILL BE FILING AN AMENDED FORM 990. ALL INFORMATION CONTAINED IN THIS SUBMISSION WAS BASED ON THE BEST INFORMATION AVAILABLE AT THE TIME OF FILING. CONSTELLATION RESEARCH CENTER INC 2150 SHATTUCK AVE STE 1200 BERKELEY CA 94704 932465256 OPERATE CO-WORKING SPACE CA 501(C)(3) LINE 10 N/A 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0