2023-05-15T09:34:01-05:00 2022-06-30 PricewaterhouseCoopers LLP 300 Madison Avenue New York NY 10017 990 2021-07-01 135598093 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK % JULIA SHANAHAN TRUS 2128544684 615 WEST 131ST STREET MC 8741 NEW YORK NY 100277922 MARK HAWKINS VP,FIN & CONTROLLER 2128541004 2023-05-08 true MARK HAWKINS 999009999 ERIC M MCNEIL P00460263 6464713000 2023-05-05 2 2021 2023-04-26 12:10:37Z Lee C Bollinger 615 West 131st St MC 8741 New York NY 100277922 9620810462 false X www.columbia.edu X 1754 NY SEE ATTACHMENT 1 22 21 37144 18619 20007543 1820200959 1954178309 3376188473 3871261461 1343490351 1161210042 87850986 122881134 6627730769 7109530946 795565646 816202353 0 0 3365970169 3588011473 1061058 924075 121191571 1364907318 1563179912 5527504191 5968317813 1100226578 1141213133 24655584077 23190224660 5064654796 4788218298 19590929281 18402006362 X COLUMBIA UNIVERSITY IS ONE OF THE WORLD'S MOST IMPORTANT CENTERS OF RESEARCH AND AT THE SAME TIME A DISTINCTIVE AND DISTINGUISHED LEARNING ENVIRONMENT FOR UNDERGRADUATES AND GRADUATE STUDENTS IN MANY SCHOLARLY AND PROFESSIONAL FIELDS. THE UNIVERSITY RECOGNIZES THE IMPORTANCE OF ITS LOCATION IN NEW YORK CITY AND SEEKS TO LINK ITS RESEARCH AND TEACHING TO THE VAST RESOURCES OF A GREAT METROPOLIS. IT SEEKS TO ATTRACT A DIVERSE AND INTERNATIONAL FACULTY AND STUDENT BODY, TO SUPPORT RESEARCH AND TEACHING ON GLOBAL ISSUES, AND TO CREATE ACADEMIC RELATIONSHIPS WITH MANY COUNTRIES AND REGIONS. IT EXPECTS ALL AREAS OF THE UNIVERSITY TO ADVANCE KNOWLEDGE AND LEARNING AT THE HIGHEST LEVEL AND TO CONVEY THE PRODUCTS OF ITS EFFORTS TO THE WORLD. false false 2087861938 675109331 1993875675 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK IS A PRIVATE, NONSECTARIAN, NONPROFIT INSTITUTION OF HIGHER EDUCATION WHOSE ACTIVITIES ARE CONCENTRATED AT THREE LOCATIONS IN NEW YORK CITY AND EXTEND AROUND THE GLOBE. THE UNIVERSITY PROVIDES INSTRUCTION THROUGH SEVENTEEN UNDERGRADUATE, GRADUATE, AND PROFESSIONAL SCHOOLS. IT OPERATES A VARIETY OF RESEARCH INSTITUTES AND A LIBRARY SYSTEM TO SUPPORT ITS TEACHING, LEARNING, AND RESEARCH ACTIVITIES. THE UNIVERSITY ENROLLS APPROXIMATELY 35,345 FULL-TIME AND PART-TIME STUDENTS AND EMPLOYS APPROXIMATELY 18,622 FULL-TIME EMPLOYEES, INCLUDING 7,016 FULL-TIME FACULTY MEMBERS AND RESEARCH STAFF. 1282833020 5754105 1477542326 THE UNIVERSITY, THROUGH THE COLUMBIA UNIVERSITY IRVING MEDICAL CENTER AND ITS MEDICAL FACULTY PRACTICE PLAN, PROVIDES DIRECT PATIENT CARE AND OTHER CLINICAL AND EDUCATIONAL SERVICES TO HOSPITALS AND OTHER HEALTH CARE INSTITUTIONS THROUGH CONTRACTUAL AGREEMENTS FOR SERVICES. THE CLINICAL FACULTY HANDLED APPROXIMATELY 2.3 MILLION OUTPATIENT AND EMERGENCY ROOM VISITS AND PARTICIPATED IN INSTRUCTION AND SUPERVISION OF 597 UNIVERSITY MEDICAL STUDENTS AND 1,031 RESIDENTS AND FELLOWS AT NEW YORK PRESBYTERIAN HOSPITAL. 812624062 128679207 197999876 THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS AND CONTRACTS WITH AGENCIES OF THE FEDERAL GOVERNMENT AND OTHER SPONSORING ORGANIZATIONS. 322252388 CAMPUS OPERATIONS 360298909 INSTITUTIONAL SUPPORT 184637560 200108527 AUXILIARY ENTERPRISES 379366764 6659710 1735057 OTHER SOURCES 1246555621 6659710 201843584 5429874641 true false false true false true false true false true true true false false true false false true true true true true true true true false false true true true true false true false false false true false false true false true true false false true true true true false false true X 31730 0 true 37144 true true true true false false false true true false false false false false false false true false X 22 21 false false false false false false false true true false false true true true true true true true true false AK CA CO MD MA MI NH OH OK OR SC WA X JULIA SHANAHAN 2128517348 615 WEST 131ST STREET MC 8741 New York NY 10027 X LAWRENCE GERALD LENKE PROFESSOR OF SURGERY 60.0 0.0 X 6468953 0 65230 DAVID N SILVERS CLINICAL PROFESSOR 60.0 0.0 X 3936699 0 58311 LEE C BOLLINGER PRESIDENT 59.9 0.1 X X 3375804 0 504000 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 60.0 0.0 X 3486735 0 69898 Craig Smith PROFESSOR OF SURGERY 60.0 0.0 X 2943037 0 58689 EMILE BACHA Professor of Surgery 60.0 0.0 X 2749171 0 105760 PETER HOLLAND CEO/EVP IMC (FORMER) 60.0 0.0 X 2659520 0 29284 KIM LEW CEO of IMC 60.0 0.0 X 2547798 0 40668 LEE GOLDMAN EVP HEALTH SCIENCES (FORMER) 60.0 0.0 X 1240685 0 29692 ANIL RUSTGI INT EVP SCI (Through 2/28/22) 60.0 0.0 X 1075093 0 17958 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 59.9 0.1 X 898078 0 40132 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 59.8 0.2 X 850431 0 34324 MARY BOYCE PROVOST (As of 7/1/21) 59.9 0.1 X 826536 0 37828 JANE E BOOTH GENERAL COUNSEL 60.0 0.0 X 834256 0 26548 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 60.0 0.0 X 818879 0 26102 IRA KATZNELSON Int PROVOST (through 6/30/21) 59.9 0.1 X 784803 0 38008 JOHN COATSWORTH PROVOST (FORMER) 59.9 0.1 X 767553 0 38008 AMY HUNGERFORD EXEC VP-A&S 59.9 0.1 X 698081 0 51520 DAVID GREENBERG EXEC VP FACILITIES 60.0 0.0 X 563056 0 59603 JEROME DAVIS SECRETARY 60.0 0.0 X 472242 0 31226 ROLANDO T ACOSTA TRUSTEE 4.0 0.0 X 0 0 0 ANDREW BARTH TRUSTEE 4.0 0.0 X 0 0 0 LISA CARNOY TRUSTEE 4.0 0.0 X 0 0 0 DEAN DAKOLIAS TRUSTEE 4.0 0.0 X 0 0 0 ABIGAIL ELBAUM TRUSTEE 4.0 0.0 X 0 0 0 MARK GALLOGLY TRUSTEE (AS OF 10/2/21) 4.0 0.0 X 0 0 0 NOAM GOTTESMAN TRUSTEE (Through 9/3/21) 4.0 0.0 X 0 0 0 JOSEPH A GREENAWAY JR TRUSTEE 4.0 0.0 X 0 0 0 DAVID GREENWALD TRUSTEE 4.0 0.0 X 0 0 0 JAMES HARDEN TRUSTEE (Through 9/3/21) 4.0 0.0 X 0 0 0 WANDA HOLLAND GREENE TRUSTEE 4.0 0.0 X 0 0 0 JEH JOHNSON TRUSTEE 4.0 0.0 X 0 0 0 JONATHAN LAVINE TRUSTEE 4.0 0.0 X 0 0 0 LU LI TRUSTEE 4.0 0.0 X 0 0 0 VICTOR MENDELSON TRUSTEE 4.0 0.0 X 0 0 0 JULIE MENIN TRUSTEE (Through 9/3/21) 4.0 0.0 X 0 0 0 JONATHAN ROSAND TRUSTEE 4.0 0.0 X 0 0 0 CLAIRE SHIPMAN TRUSTEE 4.0 0.0 X 0 0 0 KATHY SURACE-SMITH TRUSTEE 4.0 0.0 X 0 0 0 FERMI WANG TRUSTEE 4.0 0.0 X 0 0 0 SHIRLEY WANG TRUSTEE 4.0 0.0 X 0 0 0 DREW DUCHESNE Trustee (As of 9/7/21) 4.0 0.0 X 0 0 0 KEITH GOGGIN Trustee (As of 11/1/21) 4.0 0.0 X 0 0 0 ADAM PRITZKER Trustee 4.0 0.0 X 0 0 0 SHEENA WRIGHT Trustee (Through 1/1/22) 4.0 0.0 X 0 0 0 37997410 0 1362789 7117 true true false TURNER CONSTRUCTION CO 375 HUDSON STREET 6TH FLOOR NEW YORK NY 10014 CONSTRUCTION SRVCS 150176807 Pavarini McGovern LLC 330 West 34th Street NEW YORK NY 10001 CONSTRUCTION SRVCS 16739448 HUDSON HEART MANAGEMENT LLC 26 Indian Rock SUFFERN NY 10901 MEDICAL SERVICES 7461756 Universal Protection Service LP Eight Tower Bridge 161 Washington CONSHOHOCKEN PA 19103 Security SERVICES 6694658 AlliedBarton Security Services PO Box 828854 MOORESTOWN NJ 08057 Security Services 5965382 298 X 1034453 1212635389 740508467 58858735 1954178309 TUITION & FEES 611600 1993875675 1993875675 OTHER EDUCATION & RESEARCH 541700 197999876 197999876 PATIENT CARE REVENUE 621110 1477542326 1477542326 AUXILIARY ENTERPRISES 900099 200108527 198447016 1661511 OTHER SOURCES 900099 799949 799949 935108 935108 3871261461 31717040 31717040 0 16983767 16983767 184987722 157101489 27886233 0 27886233 27886233 3483285331 2353792329 1129493002 1129493002 1129493002 201490 1034453 385698 -184208 -184208 0 0 0 0 0 0 PARTNERSHIP INCOME 900099 78195342 18346032 59849310 78195342 7109530946 3869599950 20007543 1265745144 X 122457741 122457741 675062023 675062023 18682589 18682589 0 20720647 1107683 19612964 8343389 6400706 1942683 2871820376 2655761712 150812912 65245752 203402283 188099506 10681619 4621158 329579863 263238296 45825061 20516506 154144915 142547969 8094881 3502065 0 35808997 35808997 2010338 2010338 528000 528000 924075 924075 3817325 3817325 361032088 312556920 40625997 7849171 9418989 8005538 378894 1034557 268127090 251301137 12008983 4816970 39835516 23090826 15234003 1510687 0 238701806 223053404 13608617 2039785 45727090 40969576 4463491 294023 0 51408008 44514610 2641802 4251596 58038685 53494256 3964042 580387 0 328710405 302972380 22450921 3287104 38893186 26193013 12700173 LIBRARY 30103617 30103617 DUES & SUBSCRIPTIONS 10509303 8417279 1803745 288279 BANK AND CREDIT CARD FEES 6711745 5339236 1361734 10775 UNRELATED BUS INCOME TAX EXP 152931 152931 33644793 26504624 6721488 418681 5968317813 5429874641 417251601 121191571 X 0 0 1898438772 1559576853 743472486 709641119 423769978 458905226 2964114 9340194 0 160000 95394097 88418435 2196171 2080955 55231719 62739413 10918990970 4850013089 5946631270 6068977881 1147639364 784331933 13345071881 12608152082 0 0 0 0 994774225 837900569 24655584077 23190224660 420046035 422608863 0 0 400153444 412073645 1657975746 1537091146 0 0 0 0 0 0 830894290 779456920 1755585281 1636987724 5064654796 4788218298 X 8260072376 8308092943 11330856905 10093913419 19590929281 18402006362 24655584077 23190224660 X 1141213133 -2276384728 0 -53751324 X X false true X true true true X 1909794420 1626034525 1795585528 1820200959 1954178309 9105793741 0 0 1909794420 1626034525 1795585528 1820200959 1954178309 9105793741 82827239 9022966502 262611265 295302324 262129223 206771230 233688529 1260502571 16756528 16756528 77186230 108427118 143690985 102136227 59849310 491289870 10874342710 17161640015 0.82975 0.81742 X false true false false false true 14846 true 25543 false true 528000 568389 false SCHEDULE C, PART II-B LINE 1A - VOLUNTEERS: N/A LINE 1B - PAID STAFF OR MANAGEMENT: THE UNIVERSITY HAS OFFICES OF GOVERNMENT AND COMMUNITY AFFAIRS AT BOTH ITS MORNINGSIDE AND MEDICAL CENTER CAMPUSES WHOSE FUNCTION IS TO KEEP THE UNIVERSITY COMMUNITY INFORMED ABOUT NATIONAL, STATE AND LOCAL LEGISLATION AND POLICY THAT HAS AN IMPACT ON THE UNIVERSITY AND, WHEN APPROPRIATE, TO ADVOCATE FOR THE UNIVERSITY'S INTERESTS WITH RESPECT TO THIS POLICY. EMPLOYEES REGULARLY INVOLVED IN THESE ACTIVITIES INCLUDE BUT ARE NOT LIMITED TO: EXECUTIVE VICE PRESIDENT FOR PUBLIC AFFAIRS; ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS; ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS; THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCES; VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY IRVING MEDICAL CENTER; ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY IRVING MEDICAL CENTER; DIRECTOR OF GOVERNMENT AFFAIRS; AND THE ASSISTANT DIRECTOR FOR GOVERNMENT AFFAIRS. LINE 1C - MEDIA ADVERTISEMENTS: N/A LINE 1D - MAILINGS TO MEMBERS, LEGISLATORS OR THE PUBLIC: N/A LINE 1E - PUBLICATIONS, OR PUBLISHED OR BROADCAST STATEMENTS: N/A LINE 1F - GRANTS TO OTHER ORGANIZATIONS FOR LOBBYING PURPOSES: THE UNIVERSITY BELONGS TO CERTAIN HIGHER EDUCATION TRADE ASSOCIATIONS. A SMALL PORTION OF THE MEMBERSHIP FEES PAID TO CERTAIN OF THESE ORGANIZATIONS GOES TO SUPPORT LOBBYING-RELATED ACTIVITIES. THESE FEES ARE REGULARLY REPORTED ON THE UNIVERSITY'S LOBBYING DISCLOSURE FILINGS. LINE 1G - DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, OR A LEGISLATIVE BODY: THE PRESIDENT, THE EXECUTIVE VICE PRESIDENT FOR PUBLIC AFFAIRS, THE ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE DIRECTOR OF GOVERNMENT AFFAIRS, THE ASSISTANT DIRECTOR FOR GOVERNMENT AFFAIRS, AMONG OTHER COLUMBIA UNIVERSITY EMPLOYEES, CONTACTED FEDERAL, STATE, AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES. THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCE; THE VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY IRVING MEDICAL CENTER; THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY IRVING MEDICAL CENTER; AND OTHER COLUMBIA UNIVERSITY IRVING MEDICAL CENTER EMPLOYEES CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES, HEALTH SCIENCES ISSUES AND OTHER ISSUES AFFECTING ACADEMIC MEDICAL CENTERS. THE AMOUNTS SHOWN ON LINE 1G REFLECT PAID STAFF AND MANAGEMENT ACTIVITIES. LINE 1H - RALLIES, DEMONSTRATIONS, SEMINARS, CONVENTIONS, SPEECHES, LECTURES OR ANY OTHER MEANS: N/A LINE 1I - OTHER ACTIVITIES: DURING THE REPORTING PERIOD, THE UNIVERSITY RETAINED OUTSIDE FIRMS FOR CONSULTING AND ADVOCACY AT THE FEDERAL, STATE AND LOCAL LEVELS OF GOVERNMENT. THE AMOUNTS SHOWN ON LINE 1I INCLUDE AMOUNTS PAID TO SUCH OUTSIDE FIRMS FOR ALL ACTIVITIES CONDUCTED BY SUCH FIRMS, INCLUDING CERTAIN OF THE ACTIVITIES DESCRIBED ABOVE AND GENERAL ADVISORY SERVICES TO THE UNIVERSITY IN CONNECTION WITH ITS LOBBYING AND GOVERNMENTAL RELATIONS ACTIVITIES. 17 18027946 26221324 36606405 true true X X X X true 14349970000 588591000 -997276000 143170000 469279000 48990000 13279846000 11257021000 366226000 3364720000 138726000 454306000 44965000 14349970000 10950738000 400986000 562702000 141393000 472489000 43523000 11257021000 10869245000 307537000 418416000 137178000 468970000 38312000 10950738000 9996596000 640042000 862139000 120019000 469411000 40102000 10869245000 0.32510 0.32050 0.35440 true false 523294422 523294422 8057067972 3763508678 4293559294 743846807 516142241 227704566 1594781769 570362170 1024419599 6068977881 GLOBAL EQUITIES 2602195671 F ABSOLUTE RETURN STRATEGIES 4049783740 F PRIVATE EQUITY 3286292409 F REAL ESTATE ASSETS 2226638911 F FIXED INCOME 68852507 F CASH & CASH EQUIVALENTS 374388844 F 12608152082 0 LIABILITY FOR SECURITIES PURCH 0 CAPITAL LEASE OBLIGATIONS 136045120 COND'L ASSET RETIREMENT OBLIGA 130397564 ACCRUED EMPLOYEE BENEFIT LIAB. 451741890 FEDERAL STUDENT LOAN FUNDS 43748802 ACTUARIAL LIAB- SPLIT INT AGRM 61734889 OTHER LONG TERM LIABILITIES 813319459 1636987724 DETAIL OF UNIVERSITY COLLECTIONS/TEXT OF AUDIT FOOTNOTE SCHEDULE D, PART III, LINES 1A, 2A & 4 The University's collections include works of art, literary works, historical treasures and artifacts maintained in the University's libraries and museums. These collections are protected and preserved for public exhibition, education, research, and the furtherance of public service. Proceeds realized from deaccessioning collection items are to be used for the acquisition of new items for the University's collection and/or enhancing the life, usefulness or quality of the existing collection through long-term direct care and preservation, which includes conservation care, cataloging and documenting and proper access and use of the collection. Accordingly, such collections are not capitalized and contributed items are not recognized as revenue for financial statement purposes. INTENDED USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 COLUMBIA UNIVERSITY'S ENDOWMENT FUNDS SUPPORT A RANGE OF PURPOSES IN ACCORDANCE WITH THE UNIVERSITY'S MISSION, INCLUDING: FINANCIAL AID; FACULTY SALARIES AND SUPPORT; RESEARCH; CAPITAL PROJECTS; GENERAL SUPPORT OF THE UNIVERSITY, SCHOOLS, DEPARTMENTS, INSTITUTES AND CENTERS. FIN 48 SCHEDULE D, PART X, LINE 2 THE UNIVERSITY DOES NOT INCLUDE A LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 (ASC 740) IN ITS FINANCIAL STATEMENTS AS IT IS IMMATERIAL AND DOES NOT HAVE AN IMPACT ON THE STATEMENTS. THE UNIVERSITY BELIEVES THAT ITS TAX POSITIONS OF FIN 48 ARE HIGHLY CERTAIN. true true true true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 COLUMBIA UNIVERSITY CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND THE WORLD. ITS EDUCATIONAL PROGRAMS SEEK A BROAD CROSS-SECTION OF STUDENTS FROM THE METROPOLITAN AREA. IT FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY OF ADMISSION AND INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARDS STUDENTS IN ALL SCHOOL AND PROGRAM BULLETINS. IT ALSO REFERS TO THIS POLICY IN ALL WRITTEN ADVERTISING. IT THEREFORE MEETS THE CRITERIA UNDER REV. PROC. 75-50, SECTION 4.03-2(B)FOR EXEMPTION FROM THE PUBLICITY REQUIREMENTS OF SECTION 4.03-1. SCHEDULE E, LINE 6A COLUMBIA UNIVERSITY RECEIVES FEDERAL, STATE AND LOCAL GOVERNMENTAL FUNDING THAT SUPPORTS ITS CORE INSTRUCTIONAL AND RESEARCH PROGRAMS. true Central America and the Caribbean 45 Program Services EDUC/RESEARCH/OUTREACH 3404763 Central America and the Caribbean Grantmaking 786157 Central America and the Caribbean Investments 6096839039 East Asia and the Pacific 8 220 Program Services EDUC/RESEARCH/OUTREACH 4877099 East Asia and the Pacific Grantmaking 892862 East Asia and the Pacific Fundraising 44878 East Asia and the Pacific Investments 6143490 Europe (Including Iceland and Greenland) 13 1276 Program Services EDUC/RESEARCH/OUTREACH 12260044 Europe (Including Iceland and Greenland) Grantmaking 5495017 Europe (Including Iceland and Greenland) Fundraising 56285 Europe (Including Iceland and Greenland) Investments 599167486 Middle East and North Africa 3 263 Program Services EDUC/RESEARCH/OUTREACH 2473337 Middle East and North Africa Grantmaking 190285 Middle East and North Africa Fundraising 550 Middle East and North Africa Investments 967719 North America 249 Program Services EDUC/RESEARCH/OUTREACH 867026 North America Grantmaking 1271473 North America Investments 85671811 Russia and the Newly Independent States 4 127 Program Services EDUC/RESEARCH/OUTREACH 3145012 Russia and the Newly Independent States Grantmaking 212972 South America 3 150 Program Services EDUC/RESEARCH/OUTREACH 3739566 South America Grantmaking 611334 South Asia 3 96 Program Services EDUC/RESEARCH/OUTREACH 1315338 South Asia Grantmaking 824098 South Asia Fundraising 4954 Sub-Saharan Africa 61 2903 Program Services EDUC/RESEARCH/OUTREACH 167282732 Sub-Saharan Africa Grantmaking 8469868 Sub-Saharan Africa Investments 4531208 24 2053 71 3276 95 5329 6735737510 275808893 7011546403 Sub-Saharan Africa Edu/Research 5227 Equipment Book Value Europe (Including Iceland and Greenland) Research 5479 Check/Wire Europe (Including Iceland and Greenland) Edu/Research 5557 Check/Wire Central America and the Caribbean Edu/Research 6767 Equipment Book Value Central America and the Caribbean Edu/Research 6767 Equipment Book Value North America Research 7227 Check/Wire Sub-Saharan Africa Research 8423 Check/Wire Europe (Including Iceland and Greenland) Research 8545 Check/Wire Sub-Saharan Africa Edu/Research 8597 Equipment Book Value Sub-Saharan Africa Edu/Research 9036 Equipment Book Value North America Research 9602 Check/Wire North America Research 9900 Check/Wire South America Research 10200 Check/Wire Europe (Including Iceland and Greenland) Research 10575 Check/Wire Sub-Saharan Africa Research 12056 Check/Wire Middle East and North Africa Research 12627 Check/Wire Central America and the Caribbean Edu/Research 13533 Equipment Book Value Sub-Saharan Africa Research 13597 Check/Wire Sub-Saharan Africa Edu/Research 14167 Equipment Book Value Europe (Including Iceland and Greenland) Research 16249 Check/Wire Sub-Saharan Africa Research 16295 Check/Wire Central America and the Caribbean Edu/Research 18471 Equipment Book Value Sub-Saharan Africa Edu/Research 19350 Equipment Book Value Europe (Including Iceland and Greenland) Research 19667 Check/Wire East Asia and the Pacific Research 20000 Check/Wire South America Research 20000 Check/Wire East Asia and the Pacific Research 21100 Check/Wire South America Research 22855 Check/Wire Europe (Including Iceland and Greenland) Research 22999 Check/Wire Sub-Saharan Africa Edu/Research 23154 Equipment Book Value Europe (Including Iceland and Greenland) Research 23976 Check/Wire Europe (Including Iceland and Greenland) Research 26421 Check/Wire East Asia and the Pacific Research 27000 Check/Wire Europe (Including Iceland and Greenland) Research 29848 Check/Wire Europe (Including Iceland and Greenland) Research 30061 Check/Wire Sub-Saharan Africa Research 30124 Check/Wire Europe (Including Iceland and Greenland) Research 30404 Check/Wire Central America and the Caribbean Edu/Research 32986 Equipment Book Value Europe (Including Iceland and Greenland) Research 33851 Check/Wire Europe (Including Iceland and Greenland) Research 34123 Check/Wire North America Research 34753 Check/Wire North America Research 35158 Check/Wire North America Research 35614 Check/Wire Sub-Saharan Africa Research 37971 Check/Wire Sub-Saharan Africa Edu/Research 38691 Equipment Book Value Europe (Including Iceland and Greenland) Research 39228 Check/Wire Europe (Including Iceland and Greenland) Research 39550 Check/Wire South Asia Research 40536 Check/Wire South Asia Research 41229 Check/Wire North America Research 42324 Check/Wire Europe (Including Iceland and Greenland) Research 43530 Check/Wire Europe (Including Iceland and Greenland) Research 43999 Check/Wire Europe (Including Iceland and Greenland) Research 45481 Check/Wire Middle East and North Africa Research 45948 Check/Wire Central America and the Caribbean Edu/Research 49875 Equipment Book Value South Asia Research 51278 Check/Wire Europe (Including Iceland and Greenland) Research 51878 Check/Wire East Asia and the Pacific Research 54000 Check/Wire Europe (Including Iceland and Greenland) Research 54216 Check/Wire East Asia and the Pacific Research 55278 Check/Wire Europe (Including Iceland and Greenland) Research 56349 Check/Wire Europe (Including Iceland and Greenland) Research 57543 Check/Wire Europe (Including Iceland and Greenland) Research 59226 Check/Wire Sub-Saharan Africa Research 59243 Check/Wire Sub-Saharan Africa Edu/Research 59467 Equipment Book Value Sub-Saharan Africa Edu/Research 60129 Equipment Book Value North America Research 62929 Check/Wire Sub-Saharan Africa Research 65368 Check/Wire South Asia Research 68533 Check/Wire Sub-Saharan Africa Research 70092 Check/Wire Sub-Saharan Africa Research 78715 Check/Wire Sub-Saharan Africa Research 91404 Check/Wire East Asia and the Pacific Research 98490 Check/Wire Sub-Saharan Africa Research 100403 Check/Wire Europe (Including Iceland and Greenland) Research 101040 Check/Wire Europe (Including Iceland and Greenland) Research 107480 Check/Wire Europe (Including Iceland and Greenland) Research 109332 Check/Wire South America Research 114251 Check/Wire Sub-Saharan Africa Edu/Research 116100 Equipment Book Value Sub-Saharan Africa Edu/Research 116100 Equipment Book Value Sub-Saharan Africa Research 118574 Check/Wire Europe (Including Iceland and Greenland) Research 119477 Check/Wire Sub-Saharan Africa Edu/Research 120143 Equipment Book Value Sub-Saharan Africa Edu/Research 122426 Equipment Book Value Sub-Saharan Africa Edu/Research 127666 Equipment Book Value Middle East and North Africa Research 131710 Check/Wire Europe (Including Iceland and Greenland) Research 131820 Check/Wire Europe (Including Iceland and Greenland) Research 137964 Check/Wire Sub-Saharan Africa Research 155118 Check/Wire Sub-Saharan Africa Research 156497 Check/Wire Central America and the Caribbean Edu/Research 159600 Equipment Book Value East Asia and the Pacific Research 164857 Check/Wire Central America and the Caribbean Edu/Research 167085 Equipment Book Value Europe (Including Iceland and Greenland) Research 177555 Check/Wire Europe (Including Iceland and Greenland) Research 177988 Check/Wire Europe (Including Iceland and Greenland) Research 198156 Check/Wire North America Research 216053 Check/Wire Europe (Including Iceland and Greenland) Research 217669 Check/Wire North America Research 226697 Check/Wire Sub-Saharan Africa Edu/Research 242788 Equipment Book Value Europe (Including Iceland and Greenland) Research 249993 Check/Wire North America Research 251286 Check/Wire Europe (Including Iceland and Greenland) Research 272196 Check/Wire Europe (Including Iceland and Greenland) Research 311688 Check/Wire East Asia and the Pacific Research 316915 Check/Wire North America Research 327930 Check/Wire Sub-Saharan Africa Research 342380 Check/Wire Europe (Including Iceland and Greenland) Research 370586 Check/Wire Europe (Including Iceland and Greenland) Research 419925 Check/Wire Europe (Including Iceland and Greenland) Research 425682 Check/Wire South Asia Research 622522 Check/Wire Sub-Saharan Africa Research 653894 Check/Wire Europe (Including Iceland and Greenland) Research 1149514 Check/Wire South America Edu/Research 84923 Check/Wire Sub-Saharan Africa Edu/Research 94188 Check/Wire Sub-Saharan Africa Edu/Research 103830 Check/Wire Sub-Saharan Africa Edu/Research 129829 Check/Wire East Asia and the Pacific Edu/Research 133556 Check/Wire Sub-Saharan Africa Edu/Research 201092 Check/Wire Russia and the Newly Independent States Edu/Research 212972 Check/Wire Central America and the Caribbean Edu/Research 326872 Check/Wire Sub-Saharan Africa Edu/Research 329540 Check/Wire South America Edu/Research 359104 Check/Wire Sub-Saharan Africa Edu/Research 424013 Check/Wire Sub-Saharan Africa Edu/Research 510187 Check/Wire Sub-Saharan Africa Edu/Research 701388 Check/Wire Sub-Saharan Africa Edu/Research 779134 Check/Wire Sub-Saharan Africa Edu/Research 863012 Check/Wire Sub-Saharan Africa Edu/Research 1337039 Check/Wire Europe (Including Iceland and Greenland) EDU/Research 55000 Check/Wire 130 0 Prizes and Award- Maria Moors Cabot Prizes North America 2 10000 Check/Wire Lukas Prizes and Award Europe (Including Iceland and Greenland) 1 10000 Check/Wire true true true true true true SUPPLEMENTAL INFORMATION SCHEDULE F, PART I, LINE 2 ORGANIZATION'S PROCEDURES FOR MONITORING GRANT FUNDS THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF ALL SPONSORED PROJECT GRANT FUNDING. THIS POLICY IS CONTAINED IN THE SPONSORED PROJECTS HANDBOOK. THE POLICY STATES THAT THE PRIMARY OBLIGATION FOR THE DAY-TO-DAY MANAGEMENT OF SPONSORED PROJECTS AND INSURING COMPLIANCE WITH FEDERAL AND OTHER SPONSOR REGULATIONS IS THE RESPONSIBILITY OF THE PRINCIPAL INVESTIGATOR SUPPORTED, AS NECESSARY, BY HIS OR HER ADMINISTRATIVE STAFF. ADDITIONALLY, THE POLICY SPECIFIES THE FOLLOWING MONITORING PROCEDURES: - MONTHLY ACCOUNT RECONCILIATION - REVIEW OF SALARY AND BENEFIT CHARGES - REVIEW OF VENDOR INVOICES - REVIEW OF CHARGES INITIATED BY SERVICE OR RECHARGE CENTERS - REVIEW OF FACILITIES AND ADMINISTRATIVE CHARGES - MONITORING OF SUB-AWARDS THROUGH REVIEW OF CHARGES AND TECHNICAL PERFORMANCE REPORTS, CONDUCTING PERIODIC ONSITE VISITS, AND INITIATING AUDITS/REVIEWS WHEN NECESSARY. EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. MOST OF THE ACTIVITY RELATES TO U.S. GOVERNMENT FUNDED PROGRAM SERVICES. OTHER ACTIVITY INCLUDES FACULTY AND STAFF TRAVEL FOR EDUCATIONAL, RESEARCH, FUNDRAISING AND OTHER PROGRAM SERVICES. NOT ALL OF THE OVERSEAS EXPENDITURES ARE SEPARATELY TRACKED AS FOREIGN ACTIVITY. THE AMOUNTS REPRESENTED ON SCHEDULE F REPRESENT THE UNIVERSITY'S GOOD FAITH EFFORTS TO CAPTURE AND CATEGORIZE FOREIGN ACTIVITY. ----------------------------------------------------------------- FORM 990, SCHEDULE F, PART I, COLUMN (F) & PART II, LINE 1 COLUMBIA UNIVERSITY ACCOUNTS FOR ALL FOREIGN EXPENDITURES, INCLUDING CASH GRANTS AND NONCASH ASSISTANCE, ON THE ORGANIZATION'S FINANCIAL STATEMENTS IN ACCORDANCE WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES IN THE UNITED STATES. ---------------------------------------------------------------- FORM 990, SCHEDULE F, PART I, LINE 3 ACTIVITIES PER REGION Schedule F reports $3.36 million expended for program services and grantmaking in "Russia and the newly independent states", a geographic designation defined in the Form 990 instructions to include Armenia, Azerbaijan, Belarus, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Russia, Tajikistan, Turkmenistan, Ukraine, and Uzbekistan. The majority of this amount reflects activities in Kazakhstan, Kyrgyzstan, and Tajikistan. A minor amount, approximately $48,000, represents funds expended within Russia in connection with research / academic programs and travel during the period ending June 30, 2022. 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947201103 946002123 501(C)(3) 1494165 Research MASSACHUSETTS GENERAL HOSPITAL 55 Fruit St BOSTON MA 022413829 042697983 501(C)(3) 1504658 Research UNIVERSITY OF CHICAGO 6054 S DREXEL AVE CHICAGO IL 60637 362177139 501(C)(3) 1596571 Research RESEARCH FOUNDATION OF THE STATE PO BOX 9 ALBANY NY 122010009 141368361 501(C)(3) 1607728 Research UNIVERSITY OF MIAMI PO BOX 405803 ATLANTA GA 303845803 590624458 501(C)(3) 1673462 Research UNIVERSITY OF PENNSYLVANIA PO BOX 785541 PHILADELPHIA PA 191785541 231352685 501(C)(3) 1754009 Research MASSACHUSETTS INSTITUTE OF TECHNOLOGY 77 MASSACHUSETTS AVE CAMBRIDGE MA 021394307 042103594 501(C)(3) 1814651 Research THE REGENTS OF UNIVERSITY OF CALIFORNIA CGABOX 0897 SAN FRANCISCO CA 94143 946036493 501(C)(3) 1889918 Research UNIVERSITY OF WASHINGTON 3903 BROOKLYN AVENUE SEATTLE WA 98105 916001537 501(C)(3) 1960084 Research JOHNS HOPKINS UNIVERSITY 12529 COLLECTIONS CTR DR CHICAGO IL 60693 520595110 501(C)(3) 2053494 Research MEMORIAL SLOAN-KETTERING CANCER CENTER P O BOX 27084 NEW YORK NY 10087 131924236 501(C)(3) 2074811 Research/Programs UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 3RD AVE AB-1230 BIRMINGHAM AL 352940109 636005396 501(C)(3) 2352181 Research RESEARCH FOUNDATION OF THE CITY 230 WEST 41ST STREET NEW YORK NY 10036 131988190 501(C)(3) 2384585 Research ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 136171197 501(C)(3) 3674023 Research RESEARCH FOUNDATION FOR MENTAL 150 BROADWAY MENANDS NY 12204 141410842 501(C)(3) 4840599 Research CORNELL UNIVERSITY MEDICAL COLLEGE PO BOX 22371 NEW YORK NY 100872371 131623978 501(C)(3) 6274388 Research KNIGHT FIRST AMENDMENT INSTITUTE AT COLUMBIA 615 W 131st St NEW YORK NY 100277922 814759386 501(C)(3) 2733638 CAPITAL CONTRIBUTION REID HALL INC 615 W 131st St NEW YORK NY 100277922 131611126 501(C)(3) 47309 CAPITAL CONTRIBUTION COLUMBIA UNIVERSITY HEALTH CARE INC 615 W 131st St NEW YORK NY 100277922 133948652 501(C)(3) 5754105 CAPITAL CONTRIBUTION 392 0 STUDENT TUITION AND SCHOLARSHIPS 15701 675062023 N/A N/A DESCRIPTION OF ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANTS FORM 990, SCHEDULE I, PART I, LINE 2 THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF THE USE OF SPONSORED PROJECT GRANT FUNDING BY SUBRECIPIENTS. THE POLICY MANDATES MONITORING IN TWO AREAS: (A) SUBRECIPIENT INSTITUTION COMPLIANCE WITH THE AUDITING REQUIREMENTS OF OMB CIRCULAR A-133, AND (B)SUBRECIPIENT INSTITUTION'S APPROPRIATE MANAGEMENT OF SUBAWARD. THE UNIVERSITY'S SPONSORED PROJECTS FINANCE GROUP COLLECTS A-133 REPORTS FROM SUBRECIPIENT INSTITUTIONS, AND THE PRINCIPAL INVESTIGATORS CARRY OUT THE SECOND TYPE OF MONITORING, PRINCIPALLY BY: - ROUTINELY GATHERING AND REVIEWING TECHNICAL PERFORMANCE REPORTS; - ROUTINELY REVIEWING INVOICES AND EXPENSES RELATIVE TO BUDGET; - CONDUCTING PERIODIC ON-SITE VISITS, WHEN NECESSARY; AND - INITIATING AUDITS, WHEN NECESSARY. X X X X true true X X X X X false false false true false false false true false LAWRENCE GERALD LENKE PROFESSOR OF SURGERY 5488953 0 980000 0 0 0 32146 0 33084 0 6534183 0 0 0 DAVID N SILVERS CLINICAL PROFESSOR 2990208 0 946491 0 0 0 35249 0 23062 0 3995010 0 0 0 LEE C BOLLINGER PRESIDENT 1625998 0 700000 0 1049806 0 14500 0 489500 0 3879804 0 0 0 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 3486735 0 0 0 0 0 32432 0 37466 0 3556633 0 0 0 Craig Smith PROFESSOR OF SURGERY 2943037 0 0 0 0 0 34773 0 23916 0 3001726 0 0 0 EMILE BACHA Professor of Surgery 2749171 0 0 0 0 0 32862 0 72898 0 2854931 0 0 0 PETER HOLLAND CEO/EVP IMC (FORMER) 0 0 2659520 0 0 0 0 0 29284 0 2688804 0 1903305 0 KIM LEW CEO of IMC 997798 0 1500000 0 50000 0 14500 0 26168 0 2588466 0 0 0 LEE GOLDMAN EVP HEALTH SCIENCES (FORMER) 1226093 0 0 0 14592 0 14500 0 15192 0 1270377 0 0 0 ANIL RUSTGI INT EVP SCI (Through 2/28/22) 491393 0 29678 0 554022 0 14500 0 3458 0 1093051 0 0 0 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 898078 0 0 0 0 0 14500 0 25632 0 938210 0 0 0 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 849339 0 0 0 1092 0 14500 0 19824 0 884755 0 0 0 MARY BOYCE PROVOST (As of 7/1/21) 762696 0 0 0 63840 0 14500 0 23328 0 864364 0 0 0 JANE E BOOTH GENERAL COUNSEL 834256 0 0 0 0 0 14500 0 12048 0 860804 0 0 0 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 818879 0 0 0 0 0 14500 0 11602 0 844981 0 0 0 IRA KATZNELSON Int PROVOST (through 6/30/21) 596223 0 0 0 188580 0 14500 0 23508 0 822811 0 0 0 JOHN COATSWORTH PROVOST (FORMER) 714779 0 0 0 52774 0 14500 0 23508 0 805561 0 0 0 AMY HUNGERFORD EXEC VP-A&S 539358 0 0 0 158723 0 14500 0 37020 0 749601 0 0 0 DAVID GREENBERG EXEC VP FACILITIES 561916 0 0 0 1140 0 14500 0 45103 0 622659 0 0 0 JEROME DAVIS SECRETARY 472242 0 0 0 0 0 15794 0 15432 0 503468 0 0 0 SUPPLEMENTAL COMPENSATION INFORMATION Notes to Part I, Line 1a First class or charter travel In limited circumstances, certain individuals may travel first class when the travel is substantiated as a reasonable expense to support the mission of the University. This is not considered taxable income to any individual. Any exceptions to the university's policy are subject to review and approval. Travel for companions In certain circumstances, the spouse of the president or of another officer or key employee may travel for University purposes. Examples of such travel include attendance at fundraising or alumni events, as well as representing the University at awards presentations or other ceremonies or events. In accordance with applicable legal standards, the University will pay for spousal travel as a regular business expense if the spousal travel serves a "bona fide business purpose" of the University. Housing allowance or residence for personal use/personal services As a condition of employment, the President is required to live in a home on the University's campus which is furnished and maintained at the university's expense. The President's housing has been valued at $460,002 and is reported as a non-taxable benefit. The University also provides a car and driver to be used by the President in connection with his duties. The President is responsible for any personal use of the household staff or car and driver and other personal expenses. Personal services Other reportable compensation includes $5,654 imputed to Dr. Rustgi with respect to personal use of a car and driver provided by the university (see Part I, Column (B)(iii)). Note to Part I, Line 5a Dr. David Silvers' compensation is comprised of base compensation and incentive compensation determined from his performance of, and revenues from, clinical duties in the university's dermatopathology practice where he is the director, and is subject to a cap for each academic year. Note to Part I, Line 7 Note to Peter Holland's compensation The actual amount earned during the reporting period was $785,499 for Mr. Holland. The larger compensation figure shown in column (e) includes double-reporting of previously reported deferred compensation which vested and was paid during the reporting period. The actual amount earned by Mr. Holland is calculated by subtracting column (f) from column (e). Note to Lee Bollinger's Compensation Amounts for President Bollinger in column (B)(ii) include payments under a performance-based bonus award. The amount shown in column (b)(Iii) as "other reportable compensation" reflects payment of accrued benefits and leave. Note to Dr. Lenke's, Dr. Lehman's, Dr. Smith's, and Dr. Bacha's compensation The compensation of Dr. Lenke, Dr. Lehman, Dr. Smith, and Dr. Bacha is supported by their clinical activities, grants, and support from the University's hospital affiliates. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B 146000293 649901R49 2003-03-05 122696491 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A 146000293 649905DF0 2009-05-14 117000000 FUND NEW QUALIFIED PROJECTS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A 146000293 649906F33 2012-06-07 174118498 REFUND 2008A & FUND NEW PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2015A 146000293 6499077D8 2015-04-23 125006199 FUND NEW QUALIFIED PROJECTS false false false A 87775000 0 123718793 0 0 0 802880 0 0 122097219 818694 0 2004 false false true true B 0 0 117067254 0 0 0 823388 0 0 115269253 974613 0 2009 false false true true C 85930000 0 174157898 0 0 0 738570 0 0 85039400 88379928 0 2013 false true true true D 0 0 125006199 0 0 0 482921 0 0 124474161 49116 0 2015 false false true true A false true true true true true 0 false false false true B false true true true true true 0 false false false true C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false false true true false 0 false 0 false true B false false false true true false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true SCHEDULE K, PART II, LINE 3 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE. ------------------------------------------------------------- SCHEDULE K, PART III, LINES 4-5 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2009A, SERIES 2012A, SERIES 2015A, SERIES 2015B, SERIES 2016A&B, SERIES 2017A&B, SERIES 2018A&B, AND 2020A ISSUES ON SCHEDULE K. ------------------------------------------------------------- SCHEDULE K, PART IV, LINE 2 FOR ALL SERIES EXCEPT THE 2015A, 2015B, AND 2020A THE BOND PROCEEDS ARE SLIGHTLY EXCEEDED BY THE TOTAL USES DUE TO EARNINGS IN THE CONSTRUCTION FUND HELD AT THE TRUSTEE. THE LATEST ARBITRAGE COMPUTATION FOR DASNY 2003A&B, 2009A, 2012A, 2015A, 2015B, 2016A&B, 2017A&B, AND 2018A&B WAS DECEMBER 31, 2021. ------------------------------------------------------------- A DORMITORY AUTHORITY OF NEW YORK 2015B 146000293 64990BGH0 2015-04-23 56240112 REFUND DASNY 2004B BONDS false false false B DORMITORY AUTHORITY OF NEW YORK 2016A&B 146000293 64990BZK2 2016-04-27 491547535 REFUND 2006AB AND FUND NEW PROJECT false false false C DORMITORY AUTHORITY OF NEW YORK 2017A&B 146000293 64990CQE4 2017-03-01 240921142 REFUND 2004C AND FUND NEW PROJECTS false false false D DORMITORY AUTHORITY OF NEW YORK 2018A&B 146000293 64990C6P1 2018-05-16 396803509 REFUND 2008A AND FUND NEW PROJECTS false false false A 32255000 0 56240112 0 0 0 239228 0 0 0 56000884 0 2015 true false true true B 103820000 0 491760973 0 0 0 1304805 0 0 239038664 251417504 0 2017 true false true true C 0 0 241400663 0 0 0 879101 0 0 191140597 49380966 0 2018 true false true true D 0 0 399034697 0 0 0 1296723 0 0 193167811 204570163 0 2019 true false true true A false true true true true true 0 false false false true B false true true true true true 0 false false false true C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false false true false false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false true false false false false 0 false 0 false true A true B true C true D true A DORMITORY AUTHORITY OF STATE OF NEW YORK 2020A 146000293 64990GA85 2020-03-19 247210500 Fund New Projects false false false A 0 0 247210500 0 0 0 747279 0 0 246338221 125000 0 2020 false false true true A false true true true true true 0 false false false true A false true false false false false 0 false 0 false true A true JOHN COATSWORTH FRMR OFFICER HOUSING X 1475000 2129194 false true true JOHN COATSWORTH FRMR OFFICER HOUSING X 525000 607974 false true true AMY HUNGERFORD KEY EMP HOUSING X 171710 103026 false true true LEE GOLDMAN FRMR KEY EMP HOUSING X 500000 500000 false true true LEE BOLLINGER OFFICER HOUSING X 6000000 6000000 false true true 9340194 JILL S GOLDMAN SPOUSE OF KEY EMPLOYEE 140848 EMPLOYMENT false NOTES TO SCHEDULE L ALL AMOUNTS SHOWN ON SCHEDULE L REPRESENT PAYMENTS BY THE UNIVERSITY TO THE INTERESTED PERSON. THE SPOUSE OF THE KEY EMPLOYEE LISTED IN SCHEDULE L WAS AN EMPLOYEE OF THE UNIVERSITY DURING THE REPORTING PERIOD. HER COMPENSATION REPORTED ON SCHEDULE L WAS DETERMINED IN ACCORDANCE WITH THE UNIVERSITY'S REGULAR COMPENSATION PRACTICES APPLICABLE TO SIMILARLY SITUATED EMPLOYEES. NO UNIVERSITY OFFICIAL WHO WAS ALSO AN OFFICER OR DIRECTOR OF AN INTERESTED PERSON PARTICIPATED IN OR INFLUENCED THE UNIVERSITY'S DECISION ABOUT ANY TRANSACTION. SCHEDULE L, PART II THE LOANS REPORTED FOR JOHN COATSWORTH AND LEE BOLLINGER IN PART II ARE INTEREST BEARING AND SECURED BY AN INTEREST IN A PRIMARY RESIDENCE. THE LOANS REPORTED FOR AMY HUNGERFORD AND LEE GOLDMAN IN PART II ARE INTEREST BEARING AND WERE MADE IN CONNECTION WITH A PRIMARY RESIDENCE. X 2 0 X 568 58358735 COST/SALES PRICE X 1 500000 COST/SALES PRICE X 2 0 X 1 0 X EQUIPMENT 3 0 0 8 false true true USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART I, LINE 32B THE UNIVERSITY USES THIRD PARTY INVESTMENT BROKERS TO SELL NONCASH CONTRIBUTED SECURITIES. THIRD PARTIES ARE NOT USED TO SOLICIT OR PROCESS NONCASH CONTRIBUTIONS. DESCRIPTION OF CONTRIBUTED PROPERTY FOR WHICH REVENUES ARE NOT REPORTED SCHEDULE M, PART I, LINE 33 UNDER GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. BECAUSE THE UNIVERSITY UTILIZES CONTRIBUTIONS OF ART AND HISTORICAL TREASURES IN FURTHERANCE OF PUBLIC SERVICE, THESE CONTRIBUTIONS ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. IN ADDITION, MINOR GIFTS, SUCH AS FOOD OR SUPPLIES, ARE CONSIDERED DE MINIMIS. NUMBER OF CONTRIBUTIONS SCHEDULE M, PART I, COLUMN (B) THE FIGURES IN COLUMN (B) REPRESENT THE NUMBER OF CONTRIBUTIONS RECEIVED. SUPPLEMENTAL DISCLOSURES FORM 990, PART I, LINE 4 AND PART VI, LINE 1B DETAIL REGARDING THE NUMBER OF INDEPENDENT VOTING MEMBERS THE UNIVERSITY'S PRESIDENT, A VOTING MEMBER OF THE BOARD, IS NOT COUNTED AS INDEPENDENT BECAUSE HE IS AN EMPLOYEE OF THE UNIVERSITY. ---------------------------------------------------------------- FORM 990, PART I, LINE 6 DETAIL REGARDING THE NUMBER OF VOLUNTEERS THE NUMBER SHOWN IS AN ESTIMATE OF ALUMNI VOLUNTEERS WHO WORK WITH THE UNIVERSITY'S CENTRAL ALUMNI OFFICE. ADDITIONAL VOLUNTEERS WORK IN MANY OF THE UNIVERSITY'S SCHOOLS, CENTERS AND OTHER PROGRAMS. --------------------------------------------------------------------- FORM 990, PART V, LINE 4B FOREIGN COUNTRY LIST ANGOLA BANGLADESH BRAZIL BURUNDI CAMEROON CHILE CHINA ETHIOPIA FRANCE GERMANY HAITI INDIA ITALY COTE D'IVOIRE (IVORY COAST) JAPAN JORDAN KAZAKHSTAN KENYA KYRGYZSTAN LESOTHO MALAWI MOZAMBIQUE MYANMAR NIGERIA REPUBLIC OF THE CONGO RWANDA SIERRA LEONE SOUTH AFRICA SOUTH SUDAN SWAZILAND TAJIKISTAN TANZANIA TUNISIA TURKEY UNITED KINGDOM (ENGLAND, NORTHERN IRELAND, SCOTLAND, AND WALES) UGANDA ZAMBIA ZIMBABWE ----------------------------------------------------------- FORM 990, PART V, LINES 7G AND 7H CONTRIBUTIONS OF CERTAIN TYPES OF PROPERTY DURING THE YEAR ENDED JUNE 30, 2022, THE UNIVERSITY DID NOT RECEIVE ANY CONTRIBUTIONS OF QUALIFIED INTELLECTUAL PROPERTY, CARS, BOATS, AIRPLANES, OR OTHER VEHICLES. AS A RESULT, THE UNIVERSITY WAS NOT REQUIRED TO FILE FORMS 8899 OR 1098-C TO REPORT SUCH CONTRIBUTIONS. ----------------------------------------------------------- FORM 990, PART V, LINES 15 & 16 EXCISE TAXES PER SECTION 4960 OF THE IRC AND IRS FINAL REGULATIONS (TD 9938), EXCESS REMUNERATION IS CALCULATED BASED ON THE AMOUNTS PAID DURING THE CALENDAR YEAR ENDING WITH OR WITHIN THE TAXABLE YEAR OF THE EMPLOYER. DURING THE 2021 CALENDAR YEAR, SEVEN EMPLOYEES RECEIVED COMPENSATION OVER $1 MILLION tHAT IS SUBJECT TO THE EXCISE TAX ON EXCESS REMUNERATION. THE UNIVERSITY HAS ANSWERED THIS QUESTION "YESHAS COMPLETED AND FILED FORM 4720 IN ACCORDANCE WITH IRS INSTRUCTIONS. THE UNIVERSITY HAS REVIEWED SECTION 4968 OF THE IRC AND IRS FINAL REGULATIONS (TD 9917) TO DETERMINE IF IT IS SUBJECT TO THE EXCISE TAX ON NET INVESTMENT INCOME. BASED ON THIS GUIDANCE, THE UNIVERSITY DETERMINED IT DOES NOT HAVE APPLICABLE ASSETS IN EXCESS OF $500,000 PER STUDENT (ON A FULL-TIME EQUIVALENT BASIS). THEREFORE, THE UNIVERSITY HAS ANSWERED "NO" AS IT IS NOT SUBJECT TO THIS TAX. ----------------------------------------------------------- FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW 990 A SUBCOMMITTEE COMPRISED OF MEMBERS OF THE TRUSTEES' AUDIT COMMITTEE REVIEWED THE FORM 990. FOLLOWING THAT REVIEW, THE FORM 990 WAS MADE AVAILABLE TO ALL TRUSTEES VIA A SECURE WEBSITE AND THEN PRESENTED TO THE FULL BOARD OF TRUSTEES AT A MEETING ON MAY 3, 2023. THE FINAL FORM WAS POSTED ON THE SECURE WEBSITE PRIOR TO FILING. ----------------------------------------------------------- FORM 990, PART VI, LINE 12C DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST ALL TRUSTEES ARE SUBJECT TO THE "STATEMENT OF CONFLICT OF INTEREST POLICY FOR THE TRUSTEES OF COLUMBIA UNIVERSITY." WHEN A TRUSTEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCES TO THE BOARD CHAIR OR OTHERS, AS APPROPRIATE, (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE TRUSTEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSIONS OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL TRUSTEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THE DISCLOSURES ARE REVIEWED FOR APPROPRIATE ACTION. ALL OFFICERS AND KEY EMPLOYEES ARE SUBJECT TO THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST." WHEN AN OFFICER OR KEY EMPLOYEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCE TO HIS OR HER SUPERVISOR, THE TRUSTEES OR OTHERS, AS APPROPRIATE; (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE OFFICER OR EMPLOYEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSION OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL OFFICERS AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THESE DISCLOSURES ARE REVIEWED AND ANY DISCLOSURES THAT COULD GIVE RISE TO CONFLICTS AS IDENTIFIED THROUGH SUCH REVIEW ARE REPORTED TO AN APPROPRIATE SENIOR OFFICER. ANY SUBSTANTIVE CONCERNS ARE ALSO REPORTED TO THE CHAIR OF THE BOARD OF TRUSTEES. -------------------------------------------------------------------------- FORM 990, PART VI, LINES 15A AND 15B COMPENSATION PROCESS THE UNIVERSITY FOLLOWS THE REVIEW PROCESS DESCRIBED BELOW FOR ALL OFFICERS AND KEY EMPLOYEES. THIS PROCESS HAS BEEN IN PLACE SINCE AT LEAST 2000. THE COMPENSATION FOR THE ORGANIZATION'S PRESIDENT IS REVIEWED BY A COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES AND APPROVED BY THE INDEPENDENT TRUSTEES ON THE FULL BOARD. THE COMPENSATION OF OTHER OFFICERS AND KEY EMPLOYEES IS REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES. IN CONNECTION WITH THE PRESIDENT'S COMPENSATION, THE COMPENSATION COMMITTEE AND THE BOARD REVIEW COMPARABILITY DATA AND MINUTES OF DELIBERATIONS ARE RECORDED CONTEMPORANEOUSLY WITH ANY ACTION. WITH RESPECT TO OTHER OFFICERS AND KEY EMPLOYEES, THE COMMITTEE FOLLOWS THE SAME PROCESS FOR REVIEW OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF ITS ACTIONS. IN THE CASE OF THE ORGANIZATION'S PRESIDENT AND CERTAIN OTHER OFFICERS AND KEY EMPLOYEES, THE COMPENSATION COMMITTEE HAS ALSO CONSULTED WITH INDEPENDENT COMPENSATION CONSULTANTS IN DETERMINING COMPENSATION. THE COMPENSATION OF THE PRESIDENT AND THE CHIEF EXECUTIVE OFFICER OF THE INVESTMENT MANAGEMENT COMPANY IS REVIEWED AND APPROVED BY A COMPENSATION COMMITTEE OF THE INVESTMENT MANAGEMENT COMPANY'S BOARD OF MANAGERS. SUCH COMPENSATION COMMITTEE IS COMPRISED OF INDEPENDENT MEMBERS OF THE BOARD MANAGERS. "INDEPENDENT TRUSTEE"INDEPENDENT MEMBER" AS USED IN THIS FOOTNOTE MEANS WITHOUT A CONFLICT OF INTEREST WITHIN THE MEANING OF PARAGRAPH (C)(1)(III) OF REGULATION 53.4958-6 OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE FORM 990 INSTRUCTIONS, PART VI, LINE 1B ABOVE USES A DIFFERENT DEFINITION. ---------------------------------------------------------------- FORM 990, PART VI, LINE 19 DOCUMENTS AVAILABILITY TO PUBLIC THE ORGANIZATION'S CHARTER AND STATUTES, FINANCIAL STATEMENTS AND THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST" ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE AT WWW.COLUMBIA.EDU. ---------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON TRUSTEES TRUSTEES' TIME DEVOTED TO POSITION (4 HOURS PER WEEK) REPRESENTS AN AVERAGE FOR ALL TRUSTEES BASED ON ATTENDANCE AT QUARTERLY MEETINGS AND REGULARLY SCHEDULED TELEPHONIC CONFERENCES THROUGHOUT THE YEAR. BOARD OFFICERS, COMMITTEE CHAIRS AND OTHER TRUSTEES OFTEN DEVOTE SIGNIFICANTLY MORE TIME TO THE POSITION. ---------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON RELATED HOURS INDIVIDUALS WITH LISTED HOURS FOR A RELATED ORGANIZATION SIT ON THE BOARD OF COLUMBIA CONTROLLED AFFILIATES AS PART OF THEIR OVERALL COLUMBIA DUTIES, WHEN AND AS NEEDED BY THE AFFILIATES AND THAT MAY NOT BE ON A REGULAR OR WEEKLY BASIS. ---------------------------------------------------------------- FORM 990, PART VIII DETAIL REGARDING ROYALTY INCOME/EXPENSE THE UNIVERSITY PERIODICALLY FUNDS AND DEVELOPS PATENTS FOR CERTAIN TECHNOLOGIES, THEN LICENSES THE USAGE OF THESE PATENTS TO COMPANIES. THE REVENUE, NET OF PAYMENTS DUE TO THIRD PARTIES, IS RECORDED IN REVENUE FROM OTHER EDUCATIONAL AND RESEARCH ACTIVITIES" IN THE CONSOLIDATED STATEMENT OF ACTIVITIES. COSTS INCURRED WITH DEVELOPING AND MAINTAINING THESE PATENTS ARE EXPENSED AS INCURRED SO THAT WHILE ROYALTIES ARE PAID TO FACULTY AND OTHERS IN CERTAIN CIRCUMSTANCES THESE AMOUNTS ARE NOT REFLECTED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ---------------------------------------------------------------- FORM 990, PART VIII, LINE 8 AND SCHEDULE G, PART II DESCRIPTION OF ACCOUNTING FOR FUNDRAISING EVENTS AMOUNTS REPORTED FOR FUNDRAISING EVENTS REPRESENT REVENUE AND EXPENSES THAT ARE SEPARATELY TRACKED. THE REVENUE AND EXPENSES FROM ADDITIONAL FUNDRAISING ACTIVITIES ARE NOT SEPARATELY TRACKED AND ARE INCLUDED WITHIN CONTRIBUTION REVENUE AND FUNDRAISING EXPENSES. ---------------------------------------------------------------- FORM 990, PART IX, LINE 5 COMPENSATION PAID TO CURRENT OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES COMPENSATION AMOUNTS PRESENTED AS MANAGEMENT AND GENERAL EXPENSES ARE FOR CURRENT OFFICERS, DIRECTORS, TRUSTEES, AND KEY EMPLOYEES WHO ARE PART OF CENTRAL ADMINISTRATION. WHILE THESE OFFICERS AND KEY EMPLOYEES SPEND A PORTION OF THEIR TIME ON PROGRAM SERVICES AND/OR FUNDRAISING ACTIVITIES IN ADDITION TO THEIR MANAGEMENT RESPONSIBILITIES, THE UNIVERSITY HAS CHOSEN NOT TO ALLOCATE THE EXPENSES BETWEEN CATEGORIES. ---------------------------------------------------------------- FORM 990, PART IX, LINE 11F INVESTMENT MANAGEMENT FEES THE INVESTMENT MANAGEMENT FEES REPORTED ON THE STATEMENT OF FUNCTIONAL EXPENSES REPRESENT FEES TO THIRD PARTY INVESTMENT MANAGERS AND INCLUDE MANAGEMENT FEE AND PERFORMANCE FEE EXPENSES ASSOCIATED WITH SEPARATELY MANAGED ACCOUNTS. INVESTMENT MANAGEMENT FEES ASSOCIATED WITH FUND INVESTMENTS ARE REPORTED NET AGAINST INVESTMENT INCOME AND THEREFORE ARE NOT INCLUDED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ---------------------------------------------------------------- FORM 990, PART X, LINE 7 LOAN INFORMATION LOANS RECEIVABLE FROM STUDENTS TOTAL $60,386,000. LOANS RECEIVABLE FROM NON-KEY EMPLOYEES TOTAL $30,476,875. THE LOANS FROM NON-KEY EMPLOYEES HAVE VARIOUS INTEREST RATES RANGING FROM 0.00% TO 15.00%, WITH MATURITY DATES RANGING FROM 2022 THROUGH 2052. THE OUTSTANDING BALANCES RANGE FROM $10,000 TO $6,000,000, AND A PORTION OF WHICH ARE SECURED BY A PRINCIPAL RESIDENCE. --------------------------------------------------------------------- FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCE CHANGE IN FUNDS HELD BY OTHER IN PERPETUITY -33,829,836 PRESENT VALUE ADJUSTMENT TO SPLIT INTEREST AGREEMENTS -40,218,581 NET PERIOD BENEFIT COST 16,084,625 CHANGES IN PENSION AND POST-RETIREMENT OBLIGATIONS -3,348,389 OTHER NON-OPERATING ADJUSTMENTS 7,560,857 TOTAL OTHER CHANGES IN NET ASSETS -53,751,324 --------------------------------------------------------------------- FORM 990, PART XII, LINE 2 AUDIT OF THE UNIVERSITY'S FINANCIAL STATEMENTS THE CONSOLIDATED FINANCIAL STATEMENTS OF THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK ARE AUDITED BY PRICEWATERHOUSECOOPERS, AN INDEPENDENT AUDITOR. THE UNCONSOLIDATED FINANCIAL STATEMENTS REFLECTED IN THIS RETURN REPRESENT APPROXIMATELY 99% OF THE NET ASSETS OF THE CONSOLIDATED GROUP. THE UNIVERSITY'S BOARD OF TRUSTEES HAS AN AUDIT COMMITTEE, COMPRISED OF INDEPENDENT TRUSTEES, WHICH IS RESPONSIBLE FOR OVERSIGHT OF THE AUDIT, REVIEW, AND COMPILATION OF THE FINANCIAL STATEMENTS AND SELECTION OF THE INDEPENDENT AUDITOR. --------------------------------------------------------------------- COLUMBIA INVESTMENT MGT COMPANY LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 135598093 INVEST MGMT NY 0 0 COLUMBIA CIM I LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901851 INVEST HOLDNG DE 173914510 0 COLUMBIA CIM II LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901854 INVEST HOLDNG DE 0 0 COLUMBIA CIM III LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901855 INVEST HOLDNG DE -9037 4369879 COLUMBIA CIM IV LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901856 INVEST HOLDNG DE 213728 14843300 COLUMBIA CIM V LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901861 INVEST HOLDNG DE 0 1000007 COLUMBIA CIM VI LLC 615 WEST 131ST STREET MC8741 NEW 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LP PO BOX 309 GRAND CAYMAN CJ KY1-1104 CJ 981458232 INVESTMENTS CJ COLUMBIA FOREIGN CORP 0 7830000 0.83333 true Star Asia Capital Corp Ltd 89 Nexus Way CAYMAN BAY GRAND CAYMAN CJ 980525454 INVESTMENTS CJ STAR ASIA III FOREIGN CORP 0 118351208 0.79012 true CIM (CAYMAN) LLC PO BOX 309 UGLAND HOUSE GRAND CAYMAN CJ KY1-1104 INVESTMENTS CJ COLUMBIA FOREIGN CORP 0 0 1.00000 true Japan-Up Limited Partnership II 6/F MO BLDG HIGASHI SHIBUYA-KU, TOKYO JA 150-0011 981434666 INVESTMENTS CJ COLUMBIA FOREIGN CORP 0 72400272 0.84450 true false true false false false false false false false true false false false false false false false false true ASM HUDSON RIVER FUND S 16529605 FMV CANAAN RESOURCE PARTNERS DRILLING FUND LP B 10000000 FMV CANAAN RESOURCE PARTNERS DRILLING FUND LP s 142105600 FMV MERIT ENERGY PARTNERS V LP S 2475000 FMV CALUNIUS LITIGATION RISK FUND 3 LP B 5242734 FMV KNIGHT FIRST AMDMT INST AT COLUMBIA B 2733638 FMV COLUMBIA UNIVERSITY HEALTH CARE INC B 5754105 FMV GCM GROSVENOR BLUE LP B 126298 FMV GCM GROSVENOR BLUE LP S 8975856 FMV HARBOUR LITIGATION INVESTMENT OFFSHORE FUND B 1835537 FMV SUPPLEMENTAL INFORMATION SCHEDULE R COLUMBIA UNIVERSITY OWNS AN 81.57 INTEREST IN 2700 BROADWAY CONDOMINIUM, WHICH IS TREATED AS A CONDOMINIUM ASSOCIATION UNDER NEW YORK STATE LAW. -------------------------------------------------------------------- SCHEDULE R, PART I END-OF-YEAR ASSET REPORTING CERTAIN DISREGARDED ENTITIES LISTED IN SCHEDULE R, PART I MAY HOLD VEHICLES, OFFICE EQUIPMENT AND RELATED ITEMS, THE VALUE OF WHICH IS INCLUDED IN THE UNIVERSITY'S BALANCE SHEET IN PART X OF THIS FORM 990 BUT IS NOT REFLECTED IN COLUMN (E) END-OF-YEAR ASSETS. -------------------------------------------------------------------- SCHEDULE R, PART I, COLUMNS (D) AND (E) INCOME/ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM I, LLC WHICH OWN 100 OF THE SHARES ENTITLED TO THE INCOME AND ASSETS OF FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM I, LLC REPRESENT A 100 SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED AS REPORTED IN SCHEDULE R, PART IV. THE SHARES OWNED BY CIM I ARE NON-VOTING SHARES. -------------------------------------------------------------------- SCHEDULE R, PART IV CONSISTENT WITH GAAP, THE UNIVERSITY DOES NOT CONSOLIDATE THE ENTITIES LISTED IN PART IV SCHEDULE R WHICH HAVE INVESTMENTS AS THEIR PRIMARY PURPOSE. THIS IS BECAUSE THE UNIVERSITY DOES NOT HAVE SUFFICIENT VOTING POWER WITH RESPECT TO THESE ENTITIES TO SATISFY THE CONTROL TEST FOR CONSOLIDATION UNDER GAAP. THE AMOUNTS SHOWN IN SCHEDULE R, PART IV, COLUMN (G) REFLECT THE UNIVERSITY'S SHARE OF THE NET ASSETS OF THESE ENTITIES FOR THE FISCAL YEAR REPORTING PERIOD WHICH, CONSISTENT WITH GAAP, IS REFLECTED ON LINE 16 OF THE BALANCE SHEET IN PART X OF THIS FORM 990. SIMILARLY, THE UNIVERSITY'S SHARE OF ANY CURRENT INCOME AND REALIZED GAINS FROM THESE ENTITIES IS REFLECTED IN COLUMN (F) OF SCHEDULE R, PART IV AND ON THE STATEMENT OF REVENUE IN PART VIII. THESE ENTITIES EACH OPERATE ON A CALENDAR-YEAR BASIS, AND THE UNIVERSITY'S SHARE OF THE GROSS INCOME AND TOTAL ASSETS FOR EACH OF THESE ENTITIES FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2021 IS SET FORTH BELOW: ASM HUDSON RIVER FUND SHARE OF TOTAL (GROSS) INCOME: $997,515 SHARE OF END-OF-YEAR (GROSS) ASSETS: $3,225,201 COLUMBIA/PATRON SCOTLAND LP SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $0 FPCM INFLATION-LINKED OPPORTUNITIES FUND, LTD SHARE OF TOTAL (GROSS) INCOME: $23,051,077 SHARE OF END-OF-YEAR (GROSS) ASSETS: $290,124,926 HARBOUR LITIGATION INVESTMENT OFFSHORE SHARE OF TOTAL (GROSS) INCOME: $(683,637) SHARE OF END-OF-YEAR (GROSS) ASSETS: $4,127,635 BLC ENERGY FUND B LP SHARE OF TOTAL (GROSS) INCOME: $84,745 SHARE OF END-OF-YEAR (GROSS) ASSETS: $6,219,143 STAR ASIA CAPITAL CORP, LTD. SHARE OF TOTAL (GROSS) INCOME: $1,988,024 SHARE OF END-OF-YEAR (GROSS) ASSETS: $100,479,339 JAPAN-UP LIMITED PARTNERSHIP II SHARE OF TOTAL (GROSS) INCOME: $13,941,745 SHARE OF END-OF-YEAR (GROSS) ASSETS: $97,767,510 CIM (CAYMAN) SHARE OF TOTAL (GROSS) INCOME: $13,628,883 SHARE OF END-OF-YEAR (GROSS) ASSETS: $81,614,813 -------------------------------------------------------------------- SCHEDULE R, PART IV AS OF JUNE 30, 2022, THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK HELD MORE THAN A 50% BENEFICIAL INTEREST IN 58 CHARITABLE REMAINDER TRUSTS DOMICILED IN NEW YORK AND 2 POOLED INCOME FUNDS DOMICILED IN NEW YORK.