CALIFORNIA INSTITUTE OF TECHNOLOGY: Form 990, tax year 2020
View the entire original 990 at ProPublica ↗
- Organization
- CALIFORNIA INSTITUTE OF TECHNOLOGY (EIN 95-1643307)
- Tax period
- 2020-10-01 to 2021-09-30
- Filed
- 2022-08-15
- IRS object ID
- 202212279349302721
- Schema version
- 2020v4.1
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
- Return header
- Form 990
- Schedule A
- Schedule B
- Schedule C
- Schedule D
- Schedule E
- Schedule F
- Schedule I
- Schedule J
- Schedule K
- Schedule L
- Schedule M
- Schedule O
- Schedule R
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2022-08-15T10:58:40-05:00 | ReturnTs |
| Tax Period End | 2021-09-30 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | PricewaterhouseCoopers LLP | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 101 SEAPORT BLVD SUITE 500 | AddressLine1Txt |
| City | BOSTON | CityNm |
| State Abbreviation | MA | StateAbbreviationCd |
| ZIP | 02210 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990 | ReturnTypeCd |
| Tax Period Begin | 2020-10-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 951643307 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CALIFORNIA INSTITUTE OF TECHNOLOGY | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| In Care Of | % MATTHEW W BREWER | InCareOfNm |
| Business Name Control | CALI | BusinessNameControlTxt |
| Phone | 6263956744 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1200 EAST CALIFORNIA BLVD 234-6 | AddressLine1Txt |
| City | PASADENA | CityNm |
| State Abbreviation | CA | StateAbbreviationCd |
| ZIP | 91125 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | MATTHEW W BREWER | PersonNm |
| Person Title | CONTROLLER | PersonTitleTxt |
| Phone | 6263956744 | PhoneNum |
| Signature | 2022-08-11 | SignatureDt |
| Discuss With Paid Preparer | Yes (true) | DiscussWithPaidPreparerInd |
Signing Officer SigningOfficerGrp
Person Full Name PersonFullName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person First | MATTHEW W | PersonFirstNm |
| Person Last | BREWER | PersonLastNm |
| Field | Value | IRS element (for citing) |
|---|---|---|
| SSN | 999009999 | SSN |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | PAUL TANIS | PreparerPersonNm |
| PTIN | P01441612 | PTIN |
| Phone | 6175305000 | PhoneNum |
| Preparation | 2022-08-10 | PreparationDt |
Additional Filer Information AdditionalFilerInformation
Trusted Customer TrustedCustomerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trusted Customer | 2 | TrustedCustomerCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2020 | TaxYr |
| Build TS | 2022-09-23 18:48:47Z | BuildTS |
Form 990 IRS990
| Field | Value | IRS element (for citing) |
|---|---|---|
| Principal Officer | DR THOMAS F ROSENBAUM | PrincipalOfficerNm |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1200 EAST CALIFORNIA BLVD | AddressLine1Txt |
| City | PASADENA | CityNm |
| State Abbreviation | CA | StateAbbreviationCd |
| ZIP | 91125 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Receipts | $4,348,860,000 | GrossReceiptsAmt |
| Group Return For Affiliates | false | GroupReturnForAffiliatesInd |
| Organization501c3 | Yes (X) | Organization501c3Ind |
| Website Address | www.caltech.edu | WebsiteAddressTxt |
| Type Of Organization Corp | Yes (X) | TypeOfOrganizationCorpInd |
| Formation | 1891 | FormationYr |
| Legal Domicile State | CA | LegalDomicileStateCd |
| Activity Or Mission | SEE SCHEDULE O | ActivityOrMissionDesc |
| Voting Members Governing Body | 68 | VotingMembersGoverningBodyCnt |
| Voting Members Independent | 58 | VotingMembersIndependentCnt |
| Total Employee | 11841 | TotalEmployeeCnt |
| Total Volunteers | 671 | TotalVolunteersCnt |
| Total Gross UBI | $25,290,000 | TotalGrossUBIAmt |
| PY Contributions Grants | $454,711,000 | PYContributionsGrantsAmt |
| CY Contributions Grants | $554,641,000 | CYContributionsGrantsAmt |
| PY Program Service Revenue | $2,903,819,000 | PYProgramServiceRevenueAmt |
| CY Program Service Revenue | $2,680,968,000 | CYProgramServiceRevenueAmt |
| PY Investment Income | $159,239,000 | PYInvestmentIncomeAmt |
| CY Investment Income | $284,798,000 | CYInvestmentIncomeAmt |
| PY Other Revenue | $4,240,000 | PYOtherRevenueAmt |
| CY Other Revenue | $3,210,000 | CYOtherRevenueAmt |
| PY Total Revenue | $3,522,009,000 | PYTotalRevenueAmt |
| CY Total Revenue | $3,523,617,000 | CYTotalRevenueAmt |
| PY Grants And Similar Paid | $97,584,000 | PYGrantsAndSimilarPaidAmt |
| CY Grants And Similar Paid | $104,400,000 | CYGrantsAndSimilarPaidAmt |
| PY Benefits Paid To Members | $0 | PYBenefitsPaidToMembersAmt |
| CY Benefits Paid To Members | $0 | CYBenefitsPaidToMembersAmt |
| PY Salaries Comp Emp Bnft Paid | $1,652,611,300 | PYSalariesCompEmpBnftPaidAmt |
| CY Salaries Comp Emp Bnft Paid | $1,720,264,000 | CYSalariesCompEmpBnftPaidAmt |
| PY Total Prof Fndrsng Expns | $0 | PYTotalProfFndrsngExpnsAmt |
| CY Total Prof Fndrsng Expns | $0 | CYTotalProfFndrsngExpnsAmt |
| CY Total Fundraising Expense | $7,668,000 | CYTotalFundraisingExpenseAmt |
| PY Other Expenses | $1,716,907,700 | PYOtherExpensesAmt |
| CY Other Expenses | $1,451,348,000 | CYOtherExpensesAmt |
| PY Total Expenses | $3,467,103,000 | PYTotalExpensesAmt |
| CY Total Expenses | $3,276,012,000 | CYTotalExpensesAmt |
| PY Revenues Less Expenses | $54,906,000 | PYRevenuesLessExpensesAmt |
| CY Revenues Less Expenses | $247,605,000 | CYRevenuesLessExpensesAmt |
| Total Assets BOY | $6,252,584,000 | TotalAssetsBOYAmt |
| Total Assets EOY | $7,236,565,000 | TotalAssetsEOYAmt |
| Total Liabilities BOY | $2,975,027,000 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $2,856,058,000 | TotalLiabilitiesEOYAmt |
| Net Assets Or Fund Balances BOY | $3,277,557,000 | NetAssetsOrFundBalancesBOYAmt |
| Net Assets Or Fund Balances EOY | $4,380,507,000 | NetAssetsOrFundBalancesEOYAmt |
| Info In Schedule O Part III | Yes (X) | InfoInScheduleOPartIIIInd |
| Mission | SEE SCHEDULE O | MissionDesc |
| Significant New Program Srvc | false | SignificantNewProgramSrvcInd |
| Significant Change | false | SignificantChangeInd |
| Expense | $429,811,000 | ExpenseAmt |
| Grant | $104,275,000 | GrantAmt |
| Revenue | $189,826,000 | RevenueAmt |
| Desc | INSTRUCTION, SCHOLARSHIPS, FELLOWSHIPS, AND OTHER STUDENT AID | Desc |
Prog Srvc Accom Acty2 ProgSrvcAccomActy2Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | $340,028,000 | ExpenseAmt |
| Grant | $0 | GrantAmt |
| Revenue | $75,455,000 | RevenueAmt |
| Desc | ORGANIZED RESEARCH AT THE CAMPUS. | Desc |
Prog Srvc Accom Acty3 ProgSrvcAccomActy3Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | $2,361,658,000 | ExpenseAmt |
| Grant | $0 | GrantAmt |
| Revenue | $2,361,658,000 | RevenueAmt |
| Desc | SPONSORED RESEARCH AT THE JET PROPULSION LABORATORY. | Desc |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Other Prog Srvc Expense | $29,550,000 | TotalOtherProgSrvcExpenseAmt |
| Total Other Prog Srvc Grant | $125,000 | TotalOtherProgSrvcGrantAmt |
| Total Other Prog Srvc Revenue | $54,029,000 | TotalOtherProgSrvcRevenueAmt |
| Total Program Service Expenses | $3,161,047,000 | TotalProgramServiceExpensesAmt |
| Described In Section501c3 | Yes (true) | DescribedInSection501c3Ind |
| Schedule B Required | Yes (true) | ScheduleBRequiredInd |
| Political Campaign Acty | false | PoliticalCampaignActyInd |
| Lobbying Activities | Yes (true) | LobbyingActivitiesInd |
| Subject To Proxy Tax | false | SubjectToProxyTaxInd |
| Donor Advised Fund | false | DonorAdvisedFundInd |
| Conservation Easements | false | ConservationEasementsInd |
| Collections Of Art | Yes (true) | CollectionsOfArtInd |
| Credit Counseling | Yes (true) | CreditCounselingInd |
| Donor Rstr Or Quasi Endowments | Yes (true) | DonorRstrOrQuasiEndowmentsInd |
| Report Land Building Equipment | Yes (true) | ReportLandBuildingEquipmentInd |
| Report Investments Other Sec | Yes (true) | ReportInvestmentsOtherSecInd |
| Report Program Related Invst | false | ReportProgramRelatedInvstInd |
| Report Other Assets | false | ReportOtherAssetsInd |
| Report Other Liabilities | Yes (true) | ReportOtherLiabilitiesInd |
| Include FIN48 Footnote | Yes (true) | IncludeFIN48FootnoteInd |
| Independent Audit Fincl Stmt | Yes (true) | IndependentAuditFinclStmtInd |
| Consolidated Audit Fincl Stmt | false | ConsolidatedAuditFinclStmtInd |
| School Operating | Yes (true) | SchoolOperatingInd |
| Foreign Office | Yes (true) | ForeignOfficeInd |
| Foreign Activities | Yes (true) | ForeignActivitiesInd |
| More Than5000 K To Org | false | MoreThan5000KToOrgInd |
| More Than5000 K To Individuals | Yes (true) | MoreThan5000KToIndividualsInd |
| Professional Fundraising | false | ProfessionalFundraisingInd |
| Fundraising Activities | false | FundraisingActivitiesInd |
| Gaming Activities | false | GamingActivitiesInd |
| Operate Hospital | false | OperateHospitalInd |
| Grants To Organizations | Yes (true) | GrantsToOrganizationsInd |
| Grants To Individuals | Yes (true) | GrantsToIndividualsInd |
| Schedule J Required | Yes (true) | ScheduleJRequiredInd |
| Tax Exempt Bonds | Yes (true) | TaxExemptBondsInd |
| Invest Tax Exempt Bonds | false | InvestTaxExemptBondsInd |
| Escrow Account | false | EscrowAccountInd |
| On Behalf Of Issuer | false | OnBehalfOfIssuerInd |
| Engaged In Excess Benefit Trans | false | EngagedInExcessBenefitTransInd |
| PY Excess Benefit Trans | false | PYExcessBenefitTransInd |
| Loan Outstanding | false | LoanOutstandingInd |
| Grant To Related Person | Yes (true) | GrantToRelatedPersonInd |
| Business Rln With Org Mem | false | BusinessRlnWithOrgMemInd |
| Business Rln With Fam Mem | Yes (true) | BusinessRlnWithFamMemInd |
| Business Rln With35 Ctrl Ent | Yes (true) | BusinessRlnWith35CtrlEntInd |
| Deductible Non Cash Contri | Yes (true) | DeductibleNonCashContriInd |
| Deductible Art Contribution | false | DeductibleArtContributionInd |
| Terminate Operations | false | TerminateOperationsInd |
| Partial Liquidation | false | PartialLiquidationInd |
| Disregarded Entity | Yes (true) | DisregardedEntityInd |
| Related Entity | Yes (true) | RelatedEntityInd |
| Related Organization Ctrl Ent | Yes (true) | RelatedOrganizationCtrlEntInd |
| Transaction With Control Ent | Yes (true) | TransactionWithControlEntInd |
| Trnsfr Exmpt Non Chrtbl Rltd Org | false | TrnsfrExmptNonChrtblRltdOrgInd |
| Activities Conducted Prtshp | false | ActivitiesConductedPrtshpInd |
| Schedule O Required | Yes (true) | ScheduleORequiredInd |
| IRP Document | 1713 | IRPDocumentCnt |
| IRP Document W2 G | 0 | IRPDocumentW2GCnt |
| Backup Wthld Compliance | Yes (true) | BackupWthldComplianceInd |
| Employee | 11841 | EmployeeCnt |
| Employment Tax Returns Filed | Yes (true) | EmploymentTaxReturnsFiledInd |
| Unrelated Bus Incm Over Limit | Yes (true) | UnrelatedBusIncmOverLimitInd |
| Form990 T Filed | Yes (true) | Form990TFiledInd |
| Foreign Financial Account | Yes (true) | ForeignFinancialAccountInd |
| Foreign Country | CI | ForeignCountryCd |
| Prohibited Tax Shelter Trans | false | ProhibitedTaxShelterTransInd |
| Taxable Party Notification | false | TaxablePartyNotificationInd |
| Nondeductible Contributions | false | NondeductibleContributionsInd |
| Quid Pro Quo Contributions | false | QuidProQuoContributionsInd |
| Form8282 Property Disposed Of | false | Form8282PropertyDisposedOfInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | false | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | false | PayPremiumsPrsnlBnftCntrctInd |
| Indoor Tanning Services | false | IndoorTanningServicesInd |
| Subj To Tax Rmnrtn Ex Prcht Pymt | Yes (true) | SubjToTaxRmnrtnExPrchtPymtInd |
| Subject To Excs Tax Net Invst Inc | Yes (true) | SubjectToExcsTaxNetInvstIncInd |
| Info In Schedule O Part VI | Yes (X) | InfoInScheduleOPartVIInd |
| Governing Body Voting Members | 68 | GoverningBodyVotingMembersCnt |
| Independent Voting Member | 58 | IndependentVotingMemberCnt |
| Family Or Business Rln | Yes (true) | FamilyOrBusinessRlnInd |
| Delegation Of Mgmt Duties | false | DelegationOfMgmtDutiesInd |
| Change To Org Documents | false | ChangeToOrgDocumentsInd |
| Material Diversion Or Misuse | false | MaterialDiversionOrMisuseInd |
| Members Or Stockholders | false | MembersOrStockholdersInd |
| Election Of Board Members | false | ElectionOfBoardMembersInd |
| Decisions Subject To Approva | false | DecisionsSubjectToApprovaInd |
| Minutes Of Governing Body | Yes (true) | MinutesOfGoverningBodyInd |
| Minutes Of Committees | Yes (true) | MinutesOfCommitteesInd |
| Officer Mailing Address | false | OfficerMailingAddressInd |
| Local Chapters | false | LocalChaptersInd |
| Form990 Provided To Gvrn Body | Yes (true) | Form990ProvidedToGvrnBodyInd |
| Conflict Of Interest Policy | Yes (true) | ConflictOfInterestPolicyInd |
| Annual Disclosure Covered Prsn | Yes (true) | AnnualDisclosureCoveredPrsnInd |
| Regular Monitoring Enfrc | Yes (true) | RegularMonitoringEnfrcInd |
| Whistleblower Policy | Yes (true) | WhistleblowerPolicyInd |
| Document Retention Policy | Yes (true) | DocumentRetentionPolicyInd |
| Compensation Process CEO | Yes (true) | CompensationProcessCEOInd |
| Compensation Process Other | Yes (true) | CompensationProcessOtherInd |
| Investment In Joint Venture | false | InvestmentInJointVentureInd |
| States Where Copy Of Return Is Fld | CA | StatesWhereCopyOfReturnIsFldCd |
| States Where Copy Of Return Is Fld | IL | StatesWhereCopyOfReturnIsFldCd |
| Upon Request | Yes (X) | UponRequestInd |
Books In Care Of Detail BooksInCareOfDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | MATTHEW W BREWER | PersonNm |
| Phone | 6263958818 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1200 EAST CALIFORNIA BLVD 234-6 | AddressLine1Txt |
| City | pasadena | CityNm |
| State Abbreviation | CA | StateAbbreviationCd |
| ZIP | 91125 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part VII | Yes (X) | InfoInScheduleOPartVIIInd |
Form990 Part VII Section A Form990PartVIISectionAGrp (99 entries)
| TitleTitleTxt | Average Hours Per WeekAverageHoursPerWeekRt | Average Hours Per Week Rltd OrgAverageHoursPerWeekRltdOrgRt | Individual Trustee Or DirectorIndividualTrusteeOrDirectorInd | OfficerOfficerInd | Reportable Comp From OrgReportableCompFromOrgAmt | Reportable Comp From Rltd OrgReportableCompFromRltdOrgAmt | Other CompensationOtherCompensationAmt | Highest Compensated EmployeeHighestCompensatedEmployeeInd | Former Ofcr Director TrusteeFormerOfcrDirectorTrusteeInd | Key EmployeeKeyEmployeeInd |
|---|---|---|---|---|---|---|---|---|---|---|
| THOMAS F ROSENBAUM | ||||||||||
| PRESIDENT/TRUSTEE | 40.0 | 0.0 | Yes (X) | Yes (X) | $1,394,670 | $0 | $115,561 | |||
| SCOTT H RICHLAND | ||||||||||
| CHIEF INVESTMENT OFFICER | 40.0 | 0.0 | Yes (X) | $1,300,922 | $0 | $80,004 | ||||
| PASY ISABELLA WANG | ||||||||||
| SR MG DIR OF INVESTMENTS | 40.0 | 0.0 | $796,694 | $0 | $290,792 | Yes (X) | ||||
| MICHAEL M WATKINS | ||||||||||
| VP & DIR, JPL | 40.0 | 0.0 | Yes (X) | $839,068 | $0 | $58,605 | ||||
| MARGARET A STEURBAUT | ||||||||||
| VP ADMIN & CFO | 40.0 | 0.0 | Yes (X) | $738,491 | $0 | $59,757 | ||||
| DOUGLAS N MACBEAN | ||||||||||
| MANAGING DIR., INVESTMENTS | 40.0 | 0.0 | $586,772 | $0 | $201,902 | Yes (X) | ||||
| DEXTER A BAILEY | ||||||||||
| VP ADV & ALUMNI REL | 40.0 | 0.0 | Yes (X) | $710,061 | $0 | $62,605 | ||||
| DAVID A TIRRELL | ||||||||||
| PROVOST | 40.0 | 0.0 | Yes (X) | $695,872 | $0 | $56,754 | ||||
| JENNIFER T LUM | ||||||||||
| GENERAL COUNSEL | 40.0 | 0.0 | Yes (X) | $609,140 | $0 | $100,995 | ||||
| ROBERT BRAUN | ||||||||||
| DIR. PLANETARY SCIENCE, JPL | 40.0 | 0.0 | $639,102 | $0 | $64,408 | Yes (X) | ||||
| LARRY DEAN JAMES | ||||||||||
| DEPUTY DIRECTOR OF JPL | 40.0 | 0.0 | Yes (X) | $623,902 | $0 | $45,354 | ||||
| EDWARD C STONE | ||||||||||
| PROFESSOR, VICE PROVOST | 40.0 | 0.0 | $488,691 | $0 | $64,723 | Yes (X) | ||||
| KIRK KAWASAWA | ||||||||||
| SR MG DIR OF INVESTMENTS | 40.0 | 0.0 | $485,927 | $0 | $57,022 | Yes (X) | ||||
| EDWARD M STOLPER | ||||||||||
| PROFESSOR, FORMER PROVOST | 40.0 | 0.0 | $478,393 | $0 | $58,537 | Yes (X) | ||||
| DIANA JERGOVIC | ||||||||||
| VP STRATEGY IMPLEMENTATION | 40.0 | 0.0 | Yes (X) | $429,203 | $0 | $47,645 | ||||
| SHARON E PATTERSON | ||||||||||
| ASSOC. VP FOR FIN. & TREAS. | 40.0 | 0.0 | Yes (X) | $409,775 | $0 | $56,324 | ||||
| SAMMY KAYALI | ||||||||||
| CFO/MGR LAB OPS AS OF 7/20 | 40.0 | 0.0 | $380,586 | $0 | $72,881 | Yes (X) | ||||
| JOSEPH E SHEPHERD | ||||||||||
| FRMR VP STUDENT AFF. | 40.0 | 0.0 | $353,126 | $0 | $74,313 | Yes (X) | ||||
| MARC J GOETTEL | ||||||||||
| DIR. BUS OPS, JPL UNTIL 7/20 | 40.0 | 0.0 | $336,987 | $0 | $68,638 | Yes (X) | ||||
| MATTHEW W BREWER | ||||||||||
| CONTROLLER | 40.0 | 0.0 | Yes (X) | $291,907 | $0 | $67,500 | ||||
| RENE FRADET | ||||||||||
| FRMR CFO, JPL UNTIL 7/20 | 40.0 | 0.0 | $277,541 | $0 | $56,799 | Yes (X) | ||||
| KEVIN M GILMARTIN | ||||||||||
| VP STUDENT AFF. | 40.0 | 0.0 | Yes (X) | $241,488 | $0 | $64,067 | ||||
| CAROL J SCHUIL | ||||||||||
| EA TO PRES/ASST. SEC. | 32.0 | 0.0 | Yes (X) | $243,635 | $0 | $54,888 | ||||
| ARTURO AGUAYO | ||||||||||
| ASSISTANT TREASURER | 40.0 | 0.0 | Yes (X) | $186,271 | $0 | $46,564 | ||||
| CHARLES ELACHI | ||||||||||
| DIRECTOR JPL, EMERITUS | 40.0 | 0.0 | $174,930 | $0 | $0 | Yes (X) | ||||
| SPENCER ABRAHAM | ||||||||||
| TRUSTEE UNTIL 6/21 | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| WILLIAM A AHMANSON | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| SEAN BAILEY | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| BARBARA M BARRETT | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| REBECKA BELLDEGRUN | ||||||||||
| TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| SABEER BHATIA | ||||||||||
| TRUSTEE UNTIL 6/21 | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| GORDON M BINDER | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| ROBERT C BONNER | ||||||||||
| SENIOR TRUSTEE | 6.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| LYNN A BOOTH | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| BRIGITTE M BREN | ||||||||||
| TRUSTEE | 5.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| JANET C CAMPAGNA | ||||||||||
| TRUSTEE | 12.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| MILTON M CHANG | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| DAVID E CHAVEZ | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| JOHN S CHEN | ||||||||||
| TRUSTEE | 1.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| WENCHI CHEN | ||||||||||
| TRUSTEE UNTIL 6/21 | 3.5 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| PEGGY T CHERNG | ||||||||||
| SENIOR TRUSTEE | 1.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| ROBERT B CHESS | ||||||||||
| TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| FRANCE A CORDOVA | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| WILLIAM H DAVIDOW | ||||||||||
| SENIOR TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| DAVID T DREIER | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| LOUNETTE M DYER | ||||||||||
| TRUSTEE | 3.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| THOMAS E EVERHART | ||||||||||
| SENIOR TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| JOSHUA S FRIEDMAN | ||||||||||
| TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| WILLIAM T GROSS | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| NARENDRA K GUPTA | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| B KIPLING HAGOPIAN | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| FREDERICK J HAMEETMAN | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| DAVID D HO | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| MARIA D HUMMER-TUTTLE | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| BOBBY R INMAN | ||||||||||
| SENIOR TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| ROBERT T JENKINS | ||||||||||
| SENIOR TRUSTEE | 3.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| ANN S JOHNSON | ||||||||||
| TRUSTEE UNTIL 6/21 | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| G BRADFORD JONES | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| PETER D KAUFMAN | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| MASSI JOSEPH E KIANI | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| LOUISE KIRKBRIDE | ||||||||||
| TRUSTEE | 5.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| WALTER G KORTSCHAK | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| KENT KRESA | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| JON B KUTLER | ||||||||||
| TRUSTEE | 7.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| TAYLOR W LAWRENCE | ||||||||||
| TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| DAVID LI LEE | ||||||||||
| CHAIR/TRUSTEE | 10.0 | 0.0 | Yes (X) | Yes (X) | $0 | $0 | $0 | |||
| ALEXANDER LIDOW | ||||||||||
| TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| RONALD K LINDE | ||||||||||
| VICE CHAIR/SENIOR TRUSTEE | 25.0 | 0.0 | Yes (X) | Yes (X) | $0 | $0 | $0 | |||
| A MICHAEL LIPPER | ||||||||||
| SENIOR TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| LI LU | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| SHIRLEY M MALCOM | ||||||||||
| SENIOR TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| FARIBORZ MASEEH | ||||||||||
| TRUSTEE | 3.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| MICH J MATHEWS-SPRADLIN | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| DEBORAH D MCWHINNEY | ||||||||||
| TRUSTEE | 8.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| ALEXANDER R MEHRAN SR | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| RICHARD N MERKIN | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| KENNETH G MOORE | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| MICHAEL G MULLEN | ||||||||||
| SENIOR TRUSTEE | 20.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| PHILIP M NECHES | ||||||||||
| TRUSTEE | 8.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| PATRICK H NETTLES JR | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| PETER NORTON | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| RONALD L OLSON | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| STEPHEN R ONDERDONK | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| PEDRO J PIZARRO | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| DAVID E I PYOTT | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| EDUARDO A REPETTO | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| STEWART A RESNICK | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| RICHARD H SCHELLER | ||||||||||
| TRUSTEE | 1.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| TIMOTHY J SLOAN | ||||||||||
| TRUSTEE | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| MASON SMITH | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| DONALD W TANG | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| KEVIN M TAWEEL | ||||||||||
| TRUSTEE UNTIL 6/21 | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| DAVID W THOMPSON | ||||||||||
| TRUSTEE | 10.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| CHARLES R TRIMBLE | ||||||||||
| SENIOR TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| LEWIS W VAN AMERONGEN | ||||||||||
| SENIOR TRUSTEE | 1.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| WALTER L WEISMAN | ||||||||||
| SENIOR TRUSTEE UNTIL 6/21 | 4.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| RICHMOND A WOLF | ||||||||||
| TRUSTEE | 2.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| SUZANNE H WOOLSEY | ||||||||||
| SENIOR TRUSTEE | 8.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| CATHY LIGHT | ||||||||||
| SEC, BOARD OF TTEE AS OF 1/21 | 40.0 | 0.0 | Yes (X) | $0 | $0 | $0 | ||||
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Reportable Comp From Org | $13,713,154 | TotalReportableCompFromOrgAmt |
| Tot Reportable Comp Rltd Org | $0 | TotReportableCompRltdOrgAmt |
| Total Other Compensation | $1,926,638 | TotalOtherCompensationAmt |
| Indiv Rcvd Greater Than100 K | 6061 | IndivRcvdGreaterThan100KCnt |
| Former Ofcr Employees Listed | Yes (true) | FormerOfcrEmployeesListedInd |
| Total Comp Greater Than150 K | Yes (true) | TotalCompGreaterThan150KInd |
| Compensation From Other Srcs | false | CompensationFromOtherSrcsInd |
Contractor Compensation ContractorCompensationGrp (5 entries)
| Address Line1ContractorAddress/USAddress/AddressLine1Txt | CityContractorAddress/USAddress/CityNm | State AbbreviationContractorAddress/USAddress/StateAbbreviationCd | ZIPContractorAddress/USAddress/ZIPCd | ServicesServicesDesc | CompensationCompensationAmt |
|---|---|---|---|---|---|
| APPLIED PHYSICS LABORATORY | |||||
| 11100 JOHNS HOPKINS ROAD | LAUREL | MD | 207236099 | RESEARCH & DEVELOP | $150,871,968 |
| HENSEL PHELPS CONSTRUCTION CO | |||||
| 420 6TH AVENUE | GREELEY | CO | 80631 | CONSTRUCTION | $69,095,361 |
| COLUMBUS TECHNOLOGIES AND SERVICES | |||||
| 1960 EAST GRAND AVE STE 100 | EL SEGUNDO | CA | 90245 | INFORMATION TECH | $59,797,435 |
| MANTECH ADVANCED SYSTEMS | |||||
| 12015 LEE JACKSON HIGHWAY | FAIRFAX | VA | 220333300 | INFORMATION TECH | $58,462,603 |
| BALL AEROSPACE TECHNOLOGIES CORP | |||||
| 33306 COLLECTION CENTER DRIVE | CHICAGO | IL | 609930333 | AEROSPACE | $56,566,399 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cntrct Rcvd Greater Than100 K | 1064 | CntrctRcvdGreaterThan100KCnt |
| Government Grants | $305,753,000 | GovernmentGrantsAmt |
| All Other Contributions | $248,888,000 | AllOtherContributionsAmt |
| Noncash Contributions | $65,456,402 | NoncashContributionsAmt |
| Total Contributions | $554,641,000 | TotalContributionsAmt |
Program Service Revenue ProgramServiceRevenueGrp (4 entries)
| DescDesc | BusinessBusinessCd | Total Revenue ColumnTotalRevenueColumnAmt | Related Or Exempt Func IncomeRelatedOrExemptFuncIncomeAmt | Unrelated Business RevenueUnrelatedBusinessRevenueAmt | ExclusionExclusionAmt |
|---|---|---|---|---|---|
| JPL AND OTHER AWARDS | 900099 | $2,497,882,000 | $2,497,882,000 | ||
| STUDENT TUITION | 611600 | $123,208,000 | $123,208,000 | ||
| USE OF FACILITIES | 900099 | $15,849,000 | $15,849,000 | ||
| SALES AND SERVICES | 900099 | $44,029,000 | $38,084,000 | $1,417,000 | $4,528,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Program Service Revenue | $2,680,968,000 | TotalProgramServiceRevenueAmt |
Investment Income InvestmentIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $66,955,000 | TotalRevenueColumnAmt |
| Unrelated Business Revenue | $23,802,000 | UnrelatedBusinessRevenueAmt |
| Exclusion | $43,153,000 | ExclusionAmt |
Incm From Invest Bond Proceeds IncmFromInvestBondProceedsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $0 | TotalRevenueColumnAmt |
Royalties Revenue RoyaltiesRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $3,002,000 | TotalRevenueColumnAmt |
| Exclusion | $3,002,000 | ExclusionAmt |
Gross Rents GrossRentsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | $142,000 | RealAmt |
Less Rental Expenses LessRentalExpensesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | $5,000 | RealAmt |
Rental Income Or Loss RentalIncomeOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | $137,000 | RealAmt |
| Personal | $0 | PersonalAmt |
Net Rental Income Or Loss NetRentalIncomeOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $137,000 | TotalRevenueColumnAmt |
| Exclusion | $137,000 | ExclusionAmt |
Gross Amount Sales Assets GrossAmountSalesAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | $1,042,889,000 | SecuritiesAmt |
| Other | $192,000 | OtherAmt |
Less Cost Oth Basis Sales Expnss LessCostOthBasisSalesExpnssGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | $825,006,000 | SecuritiesAmt |
| Other | $232,000 | OtherAmt |
Gain Or Loss GainOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | $217,883,000 | SecuritiesAmt |
| Other | -$40,000 | OtherAmt |
Net Gain Or Loss Investments NetGainOrLossInvestmentsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $217,843,000 | TotalRevenueColumnAmt |
| Exclusion | $217,843,000 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Fundraising Gross Income | $0 | FundraisingGrossIncomeAmt |
| Fundraising Direct Expenses | $0 | FundraisingDirectExpensesAmt |
Net Incm From Fundraising Evt NetIncmFromFundraisingEvtGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $0 | TotalRevenueColumnAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gaming Gross Income | $0 | GamingGrossIncomeAmt |
| Gaming Direct Expenses | $0 | GamingDirectExpensesAmt |
Net Income From Gaming NetIncomeFromGamingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $0 | TotalRevenueColumnAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Sales Of Inventory | $0 | GrossSalesOfInventoryAmt |
| Cost Of Goods Sold | $0 | CostOfGoodsSoldAmt |
Net Income Or Loss NetIncomeOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $0 | TotalRevenueColumnAmt |
Other Revenue Misc OtherRevenueMiscGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | ADVERTISING & FILMING | Desc |
| Business | 900099 | BusinessCd |
| Total Revenue Column | $71,000 | TotalRevenueColumnAmt |
| Unrelated Business Revenue | $71,000 | UnrelatedBusinessRevenueAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Revenue Total | $71,000 | OtherRevenueTotalAmt |
Total Revenue TotalRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $3,523,617,000 | TotalRevenueColumnAmt |
| Related Or Exempt Func Income | $2,675,023,000 | RelatedOrExemptFuncIncomeAmt |
| Unrelated Business Revenue | $25,290,000 | UnrelatedBusinessRevenueAmt |
| Exclusion | $268,663,000 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part IX | Yes (X) | InfoInScheduleOPartIXInd |
Grants To Domestic Orgs GrantsToDomesticOrgsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $125,000 | TotalAmt |
| Program Services | $125,000 | ProgramServicesAmt |
Grants To Domestic Individuals GrantsToDomesticIndividualsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $104,213,000 | TotalAmt |
| Program Services | $104,213,000 | ProgramServicesAmt |
Foreign Grants ForeignGrantsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $62,000 | TotalAmt |
| Program Services | $62,000 | ProgramServicesAmt |
Benefits To Members BenefitsToMembersGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
| Program Services | $0 | ProgramServicesAmt |
Comp Current Ofcr Directors CompCurrentOfcrDirectorsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $12,091,000 | TotalAmt |
| Program Services | $3,801,000 | ProgramServicesAmt |
| Management And General | $7,516,000 | ManagementAndGeneralAmt |
| Fundraising | $774,000 | FundraisingAmt |
Comp Disqual Persons CompDisqualPersonsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $2,855,000 | TotalAmt |
| Program Services | $2,394,000 | ProgramServicesAmt |
| Management And General | $312,000 | ManagementAndGeneralAmt |
| Fundraising | $149,000 | FundraisingAmt |
Other Salaries And Wages OtherSalariesAndWagesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $1,357,945,000 | TotalAmt |
| Program Services | $1,312,339,000 | ProgramServicesAmt |
| Management And General | $36,654,000 | ManagementAndGeneralAmt |
| Fundraising | $8,952,000 | FundraisingAmt |
Pension Plan Contributions PensionPlanContributionsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $129,715,000 | TotalAmt |
| Program Services | $125,587,000 | ProgramServicesAmt |
| Management And General | $3,317,000 | ManagementAndGeneralAmt |
| Fundraising | $811,000 | FundraisingAmt |
Other Employee Benefits OtherEmployeeBenefitsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $131,257,000 | TotalAmt |
| Program Services | $117,744,000 | ProgramServicesAmt |
| Management And General | $10,909,000 | ManagementAndGeneralAmt |
| Fundraising | $2,604,000 | FundraisingAmt |
Payroll Taxes PayrollTaxesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $86,401,000 | TotalAmt |
| Program Services | $83,654,000 | ProgramServicesAmt |
| Management And General | $2,177,000 | ManagementAndGeneralAmt |
| Fundraising | $570,000 | FundraisingAmt |
Fees For Services Management FeesForServicesManagementGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Fees For Services Legal FeesForServicesLegalGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $10,149,000 | TotalAmt |
| Program Services | $4,449,000 | ProgramServicesAmt |
| Management And General | $5,700,000 | ManagementAndGeneralAmt |
| Fundraising | $0 | FundraisingAmt |
Fees For Services Accounting FeesForServicesAccountingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $1,075,000 | TotalAmt |
| Program Services | $0 | ProgramServicesAmt |
| Management And General | $1,075,000 | ManagementAndGeneralAmt |
| Fundraising | $0 | FundraisingAmt |
Fees For Services Lobbying FeesForServicesLobbyingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $357,000 | TotalAmt |
| Program Services | $0 | ProgramServicesAmt |
| Management And General | $357,000 | ManagementAndGeneralAmt |
| Fundraising | $0 | FundraisingAmt |
Fees For Services Prof Fundraising FeesForServicesProfFundraising
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Fees For Srvc Invst Mgmnt Fees FeesForSrvcInvstMgmntFeesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $16,003,000 | TotalAmt |
| Program Services | $0 | ProgramServicesAmt |
| Management And General | $16,003,000 | ManagementAndGeneralAmt |
| Fundraising | $0 | FundraisingAmt |
Fees For Services Other FeesForServicesOtherGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $21,905,000 | TotalAmt |
| Program Services | $16,246,000 | ProgramServicesAmt |
| Management And General | $4,193,000 | ManagementAndGeneralAmt |
| Fundraising | $1,466,000 | FundraisingAmt |
Advertising AdvertisingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $377,000 | TotalAmt |
| Program Services | $199,000 | ProgramServicesAmt |
| Management And General | $108,000 | ManagementAndGeneralAmt |
| Fundraising | $70,000 | FundraisingAmt |
Office Expenses OfficeExpensesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $387,632,000 | TotalAmt |
| Program Services | $379,275,000 | ProgramServicesAmt |
| Management And General | $6,730,000 | ManagementAndGeneralAmt |
| Fundraising | $1,627,000 | FundraisingAmt |
Information Technology InformationTechnologyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $6,827,000 | TotalAmt |
| Program Services | $5,806,000 | ProgramServicesAmt |
| Management And General | $1,014,000 | ManagementAndGeneralAmt |
| Fundraising | $7,000 | FundraisingAmt |
Royalties RoyaltiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $484,000 | TotalAmt |
| Program Services | $478,000 | ProgramServicesAmt |
| Management And General | $6,000 | ManagementAndGeneralAmt |
| Fundraising | $0 | FundraisingAmt |
Occupancy OccupancyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $56,366,000 | TotalAmt |
| Program Services | $48,660,000 | ProgramServicesAmt |
| Management And General | $7,484,000 | ManagementAndGeneralAmt |
| Fundraising | $222,000 | FundraisingAmt |
Travel TravelGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $7,189,000 | TotalAmt |
| Program Services | $7,099,000 | ProgramServicesAmt |
| Management And General | $38,000 | ManagementAndGeneralAmt |
| Fundraising | $52,000 | FundraisingAmt |
Pymt Travel Entrtnmnt Pub Ofcl PymtTravelEntrtnmntPubOfclGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Conferences Meetings ConferencesMeetingsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $1,012,000 | TotalAmt |
| Program Services | $859,000 | ProgramServicesAmt |
| Management And General | $128,000 | ManagementAndGeneralAmt |
| Fundraising | $25,000 | FundraisingAmt |
Interest InterestGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $56,082,000 | TotalAmt |
| Program Services | $55,145,000 | ProgramServicesAmt |
| Management And General | $863,000 | ManagementAndGeneralAmt |
| Fundraising | $74,000 | FundraisingAmt |
Payments To Affiliates PaymentsToAffiliatesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Depreciation Depletion DepreciationDepletionGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $90,319,000 | TotalAmt |
| Program Services | $87,437,000 | ProgramServicesAmt |
| Management And General | $2,654,000 | ManagementAndGeneralAmt |
| Fundraising | $228,000 | FundraisingAmt |
Insurance InsuranceGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $4,882,000 | TotalAmt |
| Program Services | $4,823,000 | ProgramServicesAmt |
| Management And General | $59,000 | ManagementAndGeneralAmt |
Other Expenses OtherExpensesGrp (3 entries)
| DescDesc | TotalTotalAmt | Program ServicesProgramServicesAmt | FundraisingFundraisingAmt |
|---|---|---|---|
| CONTRACT SERVICES | $823,159,000 | $823,159,000 | |
| JPL POST EMPLYMNT OBLIGATION | -$22,507,000 | -$22,507,000 | |
| ENDOWMENT RECOVERY | -$9,963,000 | -$9,963,000 |
Total Functional Expenses TotalFunctionalExpensesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $3,276,012,000 | TotalAmt |
| Program Services | $3,161,047,000 | ProgramServicesAmt |
| Management And General | $107,297,000 | ManagementAndGeneralAmt |
| Fundraising | $7,668,000 | FundraisingAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part X | Yes (X) | InfoInScheduleOPartXInd |
Cash Non Interest Bearing CashNonInterestBearingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Savings And Temp Cash Invst SavingsAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $341,945,000 | BOYAmt |
| EOY | $367,268,000 | EOYAmt |
Pledges And Grants Receivable PledgesAndGrantsReceivableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $159,458,000 | BOYAmt |
| EOY | $192,234,000 | EOYAmt |
Accounts Receivable AccountsReceivableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $295,957,000 | BOYAmt |
| EOY | $279,495,000 | EOYAmt |
Receivables From Officers Etc ReceivablesFromOfficersEtcGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Rcvbl From Disqualified Prsn RcvblFromDisqualifiedPrsnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Oth Notes Loans Receivable Net OthNotesLoansReceivableNetGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,582,865 | BOYAmt |
| EOY | $425,938 | EOYAmt |
Inventories For Sale Or Use InventoriesForSaleOrUseGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Prepaid Expenses Defrd Charges PrepaidExpensesDefrdChargesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $610,364,000 | BOYAmt |
| EOY | $598,285,000 | EOYAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Land Bldg Equip Cost Or Other Bss | $2,380,426,000 | LandBldgEquipCostOrOtherBssAmt |
| Land Bldg Equip Accum Deprec | $1,221,273,000 | LandBldgEquipAccumDeprecAmt |
Land Bldg Equip Basis Net LandBldgEquipBasisNetGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,168,276,000 | BOYAmt |
| EOY | $1,159,153,000 | EOYAmt |
Investments Pub Traded Sec InvestmentsPubTradedSecGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,793,323,000 | BOYAmt |
| EOY | $2,076,150,000 | EOYAmt |
Investments Other Securities InvestmentsOtherSecuritiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,881,678,135 | BOYAmt |
| EOY | $2,563,554,062 | EOYAmt |
Investments Program Related InvestmentsProgramRelatedGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Intangible Assets IntangibleAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Other Assets Total OtherAssetsTotalGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Total Assets TotalAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $6,252,584,000 | BOYAmt |
| EOY | $7,236,565,000 | EOYAmt |
Accounts Payable Accr Expnss AccountsPayableAccrExpnssGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $708,340,000 | BOYAmt |
| EOY | $650,734,000 | EOYAmt |
Grants Payable GrantsPayableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Deferred Revenue DeferredRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $54,121,000 | BOYAmt |
| EOY | $70,331,000 | EOYAmt |
Tax Exempt Bond Liabilities TaxExemptBondLiabilitiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $195,000,000 | BOYAmt |
| EOY | $195,000,000 | EOYAmt |
Escrow Account Liability EscrowAccountLiabilityGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $89,498,000 | BOYAmt |
| EOY | $107,903,000 | EOYAmt |
Loans From Officers Directors LoansFromOfficersDirectorsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Mortg Notes Pybl Scrd Invst Prop MortgNotesPyblScrdInvstPropGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $0 | BOYAmt |
| EOY | $0 | EOYAmt |
Unsecured Notes Loans Payable UnsecuredNotesLoansPayableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,473,052,000 | BOYAmt |
| EOY | $1,429,307,000 | EOYAmt |
Other Liabilities OtherLiabilitiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $455,016,000 | BOYAmt |
| EOY | $402,783,000 | EOYAmt |
Total Liabilities TotalLiabilitiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $2,975,027,000 | BOYAmt |
| EOY | $2,856,058,000 | EOYAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization Follows FASB117 | Yes (X) | OrganizationFollowsFASB117Ind |
No Donor Restriction Net Assets NoDonorRestrictionNetAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $430,676,000 | BOYAmt |
| EOY | $702,037,000 | EOYAmt |
Donor Restriction Net Assets DonorRestrictionNetAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $2,846,881,000 | BOYAmt |
| EOY | $3,678,470,000 | EOYAmt |
Total Net Assets Fund Balance TotalNetAssetsFundBalanceGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $3,277,557,000 | BOYAmt |
| EOY | $4,380,507,000 | EOYAmt |
Tot Liab Net Assets Fund Balance TotLiabNetAssetsFundBalanceGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $6,252,584,000 | BOYAmt |
| EOY | $7,236,565,000 | EOYAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part XI | Yes (X) | InfoInScheduleOPartXIInd |
| Reconcilation Revenue Expnss | $247,605,000 | ReconcilationRevenueExpnssAmt |
| Net Unrlzd Gains Losses Invst | $862,818,000 | NetUnrlzdGainsLossesInvstAmt |
| Other Changes In Net Assets | -$7,473,000 | OtherChangesInNetAssetsAmt |
| Info In Schedule O Part XII | Yes (X) | InfoInScheduleOPartXIIInd |
| Method Of Accounting Accrual | Yes (X) | MethodOfAccountingAccrualInd |
| Accountant Compile Or Review | false | AccountantCompileOrReviewInd |
| FS Audited | Yes (true) | FSAuditedInd |
FS Audited Basis FSAuditedBasisGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Separate Basis Fincl Stmt | Yes (X) | SeparateBasisFinclStmtInd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Audit Committee | Yes (true) | AuditCommitteeInd |
| Federal Grant Audit Required | Yes (true) | FederalGrantAuditRequiredInd |
| Federal Grant Audit Performed | Yes (true) | FederalGrantAuditPerformedInd |
Schedule A IRS990ScheduleA
| Field | Value | IRS element (for citing) |
|---|---|---|
| School | Yes (X) | SchoolInd |
Gifts Grants Contri Rcvd170 GiftsGrantsContriRcvd170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $509,166,000 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $378,769,000 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $398,568,000 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $454,711,000 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $554,641,000 | CurrentTaxYearAmt |
| Total | $2,295,855,000 | TotalAmt |
Tax Rev Levied Orgnztnl Bnft170 TaxRevLeviedOrgnztnlBnft170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Govt Furn Srvc Fclts Vl170 GovtFurnSrvcFcltsVl170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Total Calendar Year170 TotalCalendarYear170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $509,166,000 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $378,769,000 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $398,568,000 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $454,711,000 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $554,641,000 | CurrentTaxYearAmt |
| Total | $2,295,855,000 | TotalAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Substantial Contributors Tot | $93,607,453 | SubstantialContributorsTotAmt |
| Public Support Total170 | $2,202,247,547 | PublicSupportTotal170Amt |
Gross Investment Income170 GrossInvestmentIncome170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $46,462,000 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $5,728,000 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $62,359,000 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $31,611,000 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $46,297,000 | CurrentTaxYearAmt |
| Total | $192,457,000 | TotalAmt |
Unrelated Business Net Incm170 UnrelatedBusinessNetIncm170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Other Income170 OtherIncome170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Support | $2,488,312,000 | TotalSupportAmt |
| Gross Receipts Rltd Activities | $14,044,377,000 | GrossReceiptsRltdActivitiesAmt |
| Public Support CY170 | 0.88504 | PublicSupportCY170Pct |
| Public Support PY170 | 0.86102 | PublicSupportPY170Pct |
| Thirty Thr Pct Suprt Tests CY170 | Yes (X) | ThirtyThrPctSuprtTestsCY170Ind |
Schedule B IRS990ScheduleB
Contributor Information ContributorInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributor | RESTRICTED | ContributorNum |
Contributor Business Name ContributorBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | RESTRICTED | BusinessNameLine1 |
Contributor US Address ContributorUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | RESTRICTED | AddressLine1 |
| Address Line2 | RESTRICTED | AddressLine2 |
| City | RESTRICTED | City |
| State | RESTRICTED | State |
| ZIP Code | RESTRICTED | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Contributions | RESTRICTED | TotalContributionsAmt |
Schedule C IRS990ScheduleC
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grassroots Lobbying | TotalGrassrootsLobbyingGrp | |
| Total Direct Lobbying | TotalDirectLobbyingGrp | |
| Total Lobbying Expend | TotalLobbyingExpendGrp | |
| Other Exempt Purpose Expend | OtherExemptPurposeExpendGrp | |
| Total Exempt Purpose Expend | TotalExemptPurposeExpendGrp | |
| Lobbying Nontaxable Amount | LobbyingNontaxableAmountGrp | |
| Grassroots Nontaxable | GrassrootsNontaxableGrp | |
| Tot Lbbyng Grassroot Mns Non Tx | TotLbbyngGrassrootMnsNonTxGrp | |
| Tot Lbby Expend Mns Lbbyng Non Tx | TotLbbyExpendMnsLbbyngNonTxGrp | |
| Volunteers | false | VolunteersInd |
| Paid Staff Or Management | Yes (true) | PaidStaffOrManagementInd |
| Media Advertisements | false | MediaAdvertisementsInd |
| Mailings Members | false | MailingsMembersInd |
| Publications Or Broadcast | false | PublicationsOrBroadcastInd |
| Grants Other Organizations | false | GrantsOtherOrganizationsInd |
| Direct Contact Legislators | Yes (true) | DirectContactLegislatorsInd |
| Direct Contact Legislators | $399,441 | DirectContactLegislatorsAmt |
| Rallies Demonstrations | false | RalliesDemonstrationsInd |
| Other Activities | false | OtherActivitiesInd |
| Total Lobbying Expenditures | $399,441 | TotalLobbyingExpendituresAmt |
| Not Described Section501c3 | false | NotDescribedSection501c3Ind |
Supplemental Information Detail SupplementalInformationDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Line Reference | LOBBYING ACTIVITY EXPLANATION | FormAndLineReferenceDesc |
| Explanation | SCHEDULE C, PART II-B THE INSTITUTE RETAINS A CONSULTING FIRM TO MONITOR LEGISLATIVE DEVELOPMENTS AND TO COUNSEL IT ON GOVERNMENT RELATIONS MATTERS. THE CONSULTANT MAY ESTABLISH DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, AND LEGISLATIVE BODIES AND ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED COMMUNICATION WHICH ATTEMPTS TO INFLUENCE LEGISLATION. FURTHER, THE INSTITUTE'S STAFF IN THE COURSE OF NECESSARY COMMUNICATIONS WITH GOVERNMENT OFFICIALS AND INFORMATIONAL PUBLIC EDUCATION ACTIVITIES, MAY FROM TIME TO TIME ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED TO INFLUENCE LEGISLATION. TOTAL LOBBYING EXPENDITURES INCLUDE THE TOTAL OF ALL EXPENDITURES IN ALL ACCOUNTS THAT THE INSTITUTE BELIEVES MAY POTENTIALLY HAVE ANY RELATIONSHIP TO LOBBYING. THIS AMOUNT INCLUDES ALL OFFICE BUDGET EXPENDITURES OF THE INSTITUTE'S OFFICE OF EXTERNAL RELATIONS THAT ARE EXPENDED FOR LOBBYING ACTIVITIES. THE INSTITUTE IS A MEMBER OF CERTAIN PROFESSIONAL AND ACADEMIC ORGANIZATIONS THAT HAVE REGISTERED TO LOBBY ON BEHALF OF MEMBERSHIP. ALTHOUGH A SMALL PORTION OF THE INSTITUTE'S MEMBERSHIP DUES MAY BE USED FOR LOBBYING, THE AMOUNT IS IMMATERIAL. CALTECH'S MEMBERSHIP IN THESE ORGANIZATIONS IS FOR THE PURPOSE OF HAVING ACCESS TO THE MOST CURRENT INFORMATION ON GOVERNMENT AND BUSINESS DEVELOPMENTS AS THEY RELATE TO COLLEGES AND UNIVERSITIES AND NOT FOR ANY LOBBYING EFFORT. | ExplanationTxt |
Schedule D IRS990ScheduleD
| Field | Value | IRS element (for citing) |
|---|---|---|
| Art Public Exhibition Amounts | ArtPublicExhibitionAmountsGrp | |
| Held Works Art | HeldWorksArtGrp | |
| Coll Used Scholarly Rsrch | Yes (X) | CollUsedScholarlyRsrchInd |
| Collection Used Preservation | Yes (X) | CollectionUsedPreservationInd |
| Solicited Assets Sale | false | SolicitedAssetsSaleInd |
| Agent Trustee Etc | false | AgentTrusteeEtcInd |
| Incl Escrow Custodial Acct Liab | Yes (true) | InclEscrowCustodialAcctLiabInd |
| Explanation Provided | Yes (X) | ExplanationProvidedInd |
CY Endwmt Fund CYEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $3,100,590,000 | BeginningYearBalanceAmt |
| Contributions | $111,502,000 | ContributionsAmt |
| Investment Earnings Or Losses | $1,003,390,000 | InvestmentEarningsOrLossesAmt |
| Grants Or Scholarships | $30,026,000 | GrantsOrScholarshipsAmt |
| Other Expenditures | $110,022,000 | OtherExpendituresAmt |
| Administrative Expenses | $33,868,000 | AdministrativeExpensesAmt |
| End Year Balance | $4,041,566,000 | EndYearBalanceAmt |
CY Minus1 Yr Endwmt Fund CYMinus1YrEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $2,986,660,000 | BeginningYearBalanceAmt |
| Contributions | $70,073,000 | ContributionsAmt |
| Investment Earnings Or Losses | $213,522,000 | InvestmentEarningsOrLossesAmt |
| Grants Or Scholarships | $29,172,000 | GrantsOrScholarshipsAmt |
| Other Expenditures | $109,185,000 | OtherExpendituresAmt |
| Administrative Expenses | $31,308,000 | AdministrativeExpensesAmt |
| End Year Balance | $3,100,590,000 | EndYearBalanceAmt |
CY Minus2 Yr Endwmt Fund CYMinus2YrEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $2,906,200,000 | BeginningYearBalanceAmt |
| Contributions | $91,270,000 | ContributionsAmt |
| Investment Earnings Or Losses | $149,358,000 | InvestmentEarningsOrLossesAmt |
| Grants Or Scholarships | $27,576,000 | GrantsOrScholarshipsAmt |
| Other Expenditures | $103,105,000 | OtherExpendituresAmt |
| Administrative Expenses | $29,487,000 | AdministrativeExpensesAmt |
| End Year Balance | $2,986,660,000 | EndYearBalanceAmt |
CY Minus3 Yr Endwmt Fund CYMinus3YrEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $2,638,177,000 | BeginningYearBalanceAmt |
| Contributions | $160,741,000 | ContributionsAmt |
| Investment Earnings Or Losses | $257,370,000 | InvestmentEarningsOrLossesAmt |
| Grants Or Scholarships | $26,548,000 | GrantsOrScholarshipsAmt |
| Other Expenditures | $95,656,000 | OtherExpendituresAmt |
| Administrative Expenses | $27,884,000 | AdministrativeExpensesAmt |
| End Year Balance | $2,906,200,000 | EndYearBalanceAmt |
CY Minus4 Yr Endwmt Fund CYMinus4YrEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $2,251,420,000 | BeginningYearBalanceAmt |
| Contributions | $184,834,000 | ContributionsAmt |
| Investment Earnings Or Losses | $343,179,000 | InvestmentEarningsOrLossesAmt |
| Grants Or Scholarships | $25,990,000 | GrantsOrScholarshipsAmt |
| Other Expenditures | $92,264,000 | OtherExpendituresAmt |
| Administrative Expenses | $23,002,000 | AdministrativeExpensesAmt |
| End Year Balance | $2,638,177,000 | EndYearBalanceAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Board Designated Balance EOY | 0.21110 | BoardDesignatedBalanceEOYPct |
| Prmnnt Endowment Balance EOY | 0.78540 | PrmnntEndowmentBalanceEOYPct |
| Term Endowment Balance EOY | 0.00350 | TermEndowmentBalanceEOYPct |
| Endowments Held Unrelated Org | false | EndowmentsHeldUnrelatedOrgInd |
| Endowments Held Related Org | false | EndowmentsHeldRelatedOrgInd |
Land LandGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Cost Or Other Basis | $0 | InvestmentCostOrOtherBasisAmt |
| Other Cost Or Other Basis | $48,134,000 | OtherCostOrOtherBasisAmt |
| Book Value | $48,134,000 | BookValueAmt |
Buildings BuildingsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $1,590,249,000 | OtherCostOrOtherBasisAmt |
| Depreciation | $697,468,000 | DepreciationAmt |
| Book Value | $892,781,000 | BookValueAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Leasehold Improvements | LeaseholdImprovementsGrp |
Equipment EquipmentGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $672,363,000 | OtherCostOrOtherBasisAmt |
| Depreciation | $523,805,000 | DepreciationAmt |
| Book Value | $148,558,000 | BookValueAmt |
Other Land Buildings OtherLandBuildingsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Cost Or Other Basis | $0 | InvestmentCostOrOtherBasisAmt |
| Other Cost Or Other Basis | $69,680,000 | OtherCostOrOtherBasisAmt |
| Book Value | $69,680,000 | BookValueAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Book Value Land Buildings | $1,159,153,000 | TotalBookValueLandBuildingsAmt |
| Financial Derivatives | FinancialDerivativesGrp | |
| Closely Held Equity Interests | CloselyHeldEquityInterestsGrp |
Other Securities OtherSecuritiesGrp (3 entries)
| DescDesc | Book ValueBookValueAmt | Method ValuationMethodValuationCd |
|---|---|---|
| ALTERNATIVE SECURITIES | $1,163,674,000 | F |
| PRIVATE EQUITY | $961,839,000 | F |
| REAL ASSETS | $438,041,062 | F |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Book Value Securities | $2,563,554,062 | TotalBookValueSecuritiesAmt |
| Federal Income Tax Liability | $0 | FederalIncomeTaxLiabilityAmt |
Other Liabilities Org OtherLiabilitiesOrgGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | ACCUMULATED POST RET. BENEFIT | Desc |
| Amt | $402,783,000 | Amt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Liability | $402,783,000 | TotalLiabilityAmt |
| Footnote Text | Yes (X) | FootnoteTextInd |
| Total Rev Etc Audited Fincl Stmt | $4,287,878,000 | TotalRevEtcAuditedFinclStmtAmt |
| Net Unrealized Gains Invst | $862,818,000 | NetUnrealizedGainsInvstAmt |
| Other Revenue | -$98,557,000 | OtherRevenueAmt |
| Revenue Not Reported | $764,261,000 | RevenueNotReportedAmt |
| Revenue Subtotal | $3,523,617,000 | RevenueSubtotalAmt |
| Total Revenue Per Form990 | $3,523,617,000 | TotalRevenuePerForm990Amt |
| Tot Expns Etc Audited Fincl Stmt | $3,167,670,000 | TotExpnsEtcAuditedFinclStmtAmt |
| Expenses Subtotal | $3,167,670,000 | ExpensesSubtotalAmt |
| Investment Expenses Not Incld2 | $16,003,000 | InvestmentExpensesNotIncld2Amt |
| Other Expenses Not Included | $92,339,000 | OtherExpensesNotIncludedAmt |
| Expenses Not Rpt Fincl Stmt | $108,342,000 | ExpensesNotRptFinclStmtAmt |
| Total Expenses Per Form990 | $3,276,012,000 | TotalExpensesPerForm990Amt |
Supplemental Information Detail SupplementalInformationDetail (8 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| SCHEDULE D, PART III, LINE 1A | THE INSTITUTE DOES NOT CAPITALIZE ITS COLLECTION ITEMS. DUE TO THE IMMATERIALITY OF THE EFFECT OF COLLECTIONS PRACTICES ON ITS FINANCIAL STATEMENTS, THE INSTITUTE DOES NOT DISCLOSE ITS COLLECTIONS POLICIES. |
| SCHEDULE D, PART III, LINE 4 | CALTECH MAINTAINS A COLLECTION OF INSTITUTIONAL RECORDS, DOCUMENTS, ARTIFACTS, AND SPECIMENS FOR HISTORICAL PRESERVATION, INSTRUCTION, AND SCHOLARLY RESEARCH. |
| SCHEDULE D, PART IV, LINE 2B | THE INSTITUTE IS THE TRUSTEE OF DONOR ANNUITIES AND TRUST AGREEMENTS AND MANAGES CERTAIN INVESTMENT FUNDS FOR OTHERS, SUCH AS RELATED ORGANIZATIONS. |
| SCHEDULE D, PART V, LINE 4 | THE INSTITUTE'S ENDOWMENT IS COMPRISED OF DONOR-RESTRICTED AND BOARD-DESIGNATED FUNDS HELD FOR LONG-TERM INVESTMENT. THROUGH AN ANNUAL SPENDING ALLOCATION, THE ENDOWMENT SUPPORTS THE MISSION OF EDUCATION AND RESEARCH AND GENERAL OPERATING ACTIVITIES OF THE INSTITUTE. THE INSTITUTE'S ENDOWMENT SPENDING POLICY INCLUDES A BOARD OF TRUSTEES-APPROVED ENDOWMENT SPENDING FORMULA WHICH TAKES INTO CONSIDERATION THE PRIOR YEAR'S SPENDING, INFLATION FACTORS, AND ENDOWMENT GROWTH. THE INSTITUTE INVESTS ENDOWMENT ASSETS TARGETED TO EARN AN AVERAGE ANNUAL TOTAL RETURN THAT EXCEEDS INFLATION BY AT LEAST THE AMOUNT REQUIRED TO SUPPORT THE ENDOWMENT SPENDING. ALL ENDOWMENT ASSETS ARE HELD IN THE INVESTMENT POOL UNLESS SPECIAL CONSIDERATIONS OR DONOR STIPULATIONS REQUIRE THAT THEY BE INVESTED SEPARATELY. TOTAL RETURN INCLUDES BOTH CAPITAL APPRECIATION/DEPRECIATION (REALIZED AND UNREALIZED GAINS/LOSSES) AND INVESTMENT INCOME (INCLUDING INTEREST, DIVIDENDS, AND ROYALTIES). THE INSTITUTE TARGETS A DIVERSIFIED ASSET ALLOCATION, INCLUDING INVESTMENTS IN BOTH PUBLIC MARKETS AND IN ALTERNATIVE INVESTMENTS, WITHIN RISK CONSTRAINTS DEEMED TO BE PRUDENT. |
| SCHEDULE D, PART VII, LINE 3A | ALTERNATIVE SECURITIES INCLUDE, BUT ARE NOT LIMITED TO, SUBSTANTIAL INVESTMENT HOLDINGS THAT ARE ILLIQUID AND/OR CONTAIN VARIOUS REDEMPTION RESTRICTIONS. |
| SCHEDULE D, PART X, LINE 2 | THE INSTITUTE IS GENERALLY EXEMPT FROM FEDERAL TAXES ON INCOME RELATED TO ITS CHARITABLE PURPOSE UNDER THE PROVISIONS OF IRC SECTION 501(C)(3) AND FROM CALIFORNIA AND OTHER STATE INCOME TAXES UNDER CORRESPONDING STATE LAWS. THE INSTITUTE IS SUBJECT TO BOTH FEDERAL AND STATE INCOME TAXES ON INCOME FROM CERTAIN ACTIVITIES NOT SUBSTANTIALLY RELATED TO ITS EXEMPT PURPOSE. AT SEPTEMBER 30, 2021 AND 2020, THE INSTITUTE MAINTAINED A FULL VALUATION ALLOWANCE ON ITS DEFERRED TAX ASSETS. THE VALUATION ALLOWANCE REDUCED NET DEFERRED TAX ASSETS, WHICH ARE PRIMARILY DUE TO TAX LOSSES FROM CERTAIN INVESTMENT ACTIVITIES, TO A VALUE OF $0. BASED ON ITS ANALYSIS OF THE UNCERTAINTIES SURROUNDING BOTH THE TIMING AND AMOUNTS OF POTENTIAL FUTURE NET TAXABLE INCOME, THE INSTITUTE HAS ASSUMED THAT IT IS MORE LIKELY THAN NOT THAT THE INSTITUTE WILL NOT REALIZE THE DEFERRED TAX ASSETS. THE INSTITUTE HAS NOT PROVIDED FOR ANY UNCERTAIN TAX POSITIONS AT SEPTEMBER 30, 2021 AND 2020. THE FEDERAL TAX CUTS AND JOBS ACT ("TCJA") OF 2017 INCLUDES SEVERAL PROVISIONS THAT IMPACT THE INSTITUTE, INCLUDING AN EXCISE TAX ON NET INVESTMENT INCOME AND REVISED METHODS FOR CALCULATING UNRELATED BUSINESS INCOME. AT SEPTEMBER 30, 2021 AND 2020, THE INSTITUTE RECORDED $15,715 AND $0, RESPECTIVELY, IN DEFERRED TAX LIABILITIES RELATED TO THE EXCISE TAX ON NET INVESTMENT INCOME. |
| SCHEDULE D, PART XI, LINE 2D | RECLASSIFY FINANCIAL AID NETTED WITH TUITION (92,339,000) CHANGES IN FAIR VALUE OF INTEREST RATE SWAP 19,748,000 ENDOWMENT RECOVERY (9,963,000) INVESTMENT MANAGEMENT FEES (16,003,000) -------------- TOTAL (98,557,000) ============== |
| SCHEDULE D, PART XII, LINE 4B | FINANCIAL AID EXPENSES 92,339,000 ------------ TOTAL 92,339,000 ============ |
Schedule E IRS990ScheduleE
| Field | Value | IRS element (for citing) |
|---|---|---|
| Nondiscriminatory Policy Stmt | Yes (true) | NondiscriminatoryPolicyStmtInd |
| Policy Stmt In Brochures Etc | Yes (true) | PolicyStmtInBrochuresEtcInd |
| Plcy Pblczd Via Broadcast Media | false | PlcyPblczdViaBroadcastMediaInd |
| Maintain Racial Comp Recs | Yes (true) | MaintainRacialCompRecsInd |
| Maintain Scholarships Recs | Yes (true) | MaintainScholarshipsRecsInd |
| Maintain Cpy Of Brochures Etc | Yes (true) | MaintainCpyOfBrochuresEtcInd |
| Maintain Cpy Of All Sol | Yes (true) | MaintainCpyOfAllSolInd |
| Discriminate Race Stdnts Rghts | false | DiscriminateRaceStdntsRghtsInd |
| Discriminate Race Admiss Plcy | false | DiscriminateRaceAdmissPlcyInd |
| Discriminate Race Emplm Fculty | false | DiscriminateRaceEmplmFcultyInd |
| Discriminate Race Schs | false | DiscriminateRaceSchsInd |
| Discriminate Race Educ Plcy | false | DiscriminateRaceEducPlcyInd |
| Discriminate Race Use Of Fclts | false | DiscriminateRaceUseOfFcltsInd |
| Discriminate Race Athlt Prog | false | DiscriminateRaceAthltProgInd |
| Discriminate Race Other Acty | false | DiscriminateRaceOtherActyInd |
| Government Financial Aid Rcvd | Yes (true) | GovernmentFinancialAidRcvdInd |
| Government Financial Aid Rvkd | false | GovernmentFinancialAidRvkdInd |
| Compliance With Rev Proc7550 | Yes (true) | ComplianceWithRevProc7550Ind |
Supplemental Information Detail SupplementalInformationDetail (2 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| SCHEDULE E, LINE 3 | THE INSTITUTE CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS ON A NATIONWIDE AND WORLDWIDE BASIS AND FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY. THE INSTITUTE INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY IN ITS BROCHURES AND CATALOGUES DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS. THEREFORE, CALTECH IS IN COMPLIANCE WITH SECTIONS 4.02 AND 4.03 OF IRS REVENUE PROCEDURE 75-50. |
| SCHEDULE E, LINE 6A | THE INSTITUTE RECEIVES GRANTS AND ENTERS INTO CONTRACTS WITH VARIOUS AGENCIES OF THE U.S. GOVERNMENT, THE STATE OF CALIFORNIA, AND LOCAL GOVERNMENT UNITS FOR RESEARCH, TRAINING, AND STUDENT AID. |
Schedule F IRS990ScheduleF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Grant Records Maintained | Yes (true) | GrantRecordsMaintainedInd |
Account Activities Outside US AccountActivitiesOutsideUSGrp (18 entries)
| RegionRegionTxt | Type Of Activities ConductedTypeOfActivitiesConductedTxt | Region Total ExpendituresRegionTotalExpendituresAmt | Specific Services ProvidedSpecificServicesProvidedTxt | OfficesOfficesCnt | EmployeeEmployeeCnt |
|---|---|---|---|---|---|
| Central America and the Caribbean | Investments | $1,474,602,575 | |||
| Central America and the Caribbean | Program Services | $72,423 | Scientific Research | ||
| East Asia and the Pacific | Investments | $11,919,873 | |||
| East Asia and the Pacific | Program Services | $1,208,811 | Scientific Research | ||
| Europe | Investments | $161,652,320 | |||
| Europe | Program Services | $37,332,071 | Scientific Research | 4 | 23 |
| Middle East and North Africa | Investments | $7,026,471 | |||
| Middle East and North Africa | Program Services | $247,586 | Scientific Research | ||
| North America | Investments | $2,823,045 | |||
| North America | Program Services | $8,347,100 | Scientific Research | ||
| Russia/Independent States | Investments | $1,862,057 | |||
| Russia/Independent States | Program Services | $2,354 | Scientific Research | ||
| South America | Investments | $3,979,592 | |||
| South America | Program Services | $24,097 | Scientific Research | ||
| South Asia | Investments | $656,618 | |||
| South Asia | Program Services | $97,802 | Scientific Research | ||
| Sub-Saharan Africa | Investments | $4,176,625 | |||
| Sub-Saharan Africa | Program Services | $61,810 | Scientific Research |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Subtotal Offices | 4 | SubtotalOfficesCnt |
| Subtotal Employees | 23 | SubtotalEmployeesCnt |
| Total Office | 4 | TotalOfficeCnt |
| Total Employee | 23 | TotalEmployeeCnt |
| Subtotal Spent | $1,716,031,420 | SubtotalSpentAmt |
| Continuation Spent | $61,810 | ContinuationSpentAmt |
| Total Spent | $1,716,093,230 | TotalSpentAmt |
Foreign Individuals Grants ForeignIndividualsGrantsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Type Of Assistance | STUDY ABROAD | TypeOfAssistanceTxt |
| Region | Europe (Including Iceland and Greenland) | RegionTxt |
| Recipient | 9 | RecipientCnt |
| Cash Grant | $62,109 | CashGrantAmt |
| Manner Of Cash Disbursement | WIRE TRANSFE | MannerOfCashDisbursementTxt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Transfer To Foreign Corp | Yes (true) | TransferToForeignCorpInd |
| Interest In Foreign Trust | false | InterestInForeignTrustInd |
| Foreign Corp Ownership | Yes (true) | ForeignCorpOwnershipInd |
| Passive Foreign Investmest Co | Yes (true) | PassiveForeignInvestmestCoInd |
| Foreign Partnership | Yes (true) | ForeignPartnershipInd |
| Boycott Countries | Yes (true) | BoycottCountriesInd |
Supplemental Information Detail SupplementalInformationDetail (3 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| SCHEDULE F, PART I, LINES 1 AND 2 | RECORDS FOR THE INSTITUTE'S STUDY ABROAD PROGRAM ARE MAINTAINED BY THE OFFICE OF FELLOWSHIPS ADVISING AND STUDY ABROAD. THIS OFFICE IS RESPONSIBLE FOR MONITORING THE USE OF FUNDS UNDER ESTABLISHED GUIDELINES. |
| SCHEDULE F, PART I, LINE 3 | THE ORGANIZATION IS ABLE TO IDENTIFY EXPENDITURES THROUGH ITS BOOKS AND RECORDS. EXPENDITURES FOR ALL PROGRAM SERVICES ARE MADE AT FAIR VALUE WITH THE OBJECTIVE OF OBTAINING THE BEST RATES AVAILABLE. THE INSTITUTE'S INVESTMENT OFFICE IS RESPONSIBLE FOR ALL FOREIGN AND DOMESTIC INVESTMENTS. ALL INVESTMENTS ARE MADE AT FAIR MARKET VALUE (FMV). |
| SCHEDULE F, PARTS I & III | EXPENDITURES PER REGION ARE REPORTED ON AN ACCRUAL BASIS, WHICH IS THE METHOD USED TO ACCOUNT FOR THEM IN THE ORGANIZATION'S BOOKS AND RECORDS. |
Schedule I IRS990ScheduleI
| Field | Value | IRS element (for citing) |
|---|---|---|
| Grant Records Maintained | Yes (true) | GrantRecordsMaintainedInd |
Recipient Table RecipientTable (2 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | Recipient EINRecipientEIN | IRC SectionIRCSectionDesc | Cash GrantCashGrantAmt | Purpose Of GrantPurposeOfGrantTxt |
|---|---|---|---|---|---|---|---|
| CALTECH Y | |||||||
| 1200 E CALIFORNIA BLVD | PASADENA | CA | 91125 | 951684790 | 501(C)(3) | $75,000 | ASSIST RELATED ORG. |
| UNITED WAY GREATER LOS ANGELES | |||||||
| 1150 S OLIVE ST | LOS ANGELES | CA | 90015 | 952274801 | 501(C)(3) | $50,000 | DESIGNATED ASSISTANCE |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total501c3 Org | 2 | Total501c3OrgCnt |
Grants Other Asst To Indiv In US GrantsOtherAsstToIndivInUSGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Grant Type | STUDENT AID | GrantTypeTxt |
| Recipient | 1768 | RecipientCnt |
| Cash Grant | $104,213,000 | CashGrantAmt |
Supplemental Information Detail SupplementalInformationDetail (2 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| SCHEDULE I, PART I, LINE 2 | THE INSTITUTE'S GRANTS AND ASSISTANCE WITHIN THE UNITED STATES CONSISTS PRIMARILY OF SCHOLARSHIPS AND FELLOWSHIPS AWARDED TO STUDENTS. STUDENTS ARE SELECTED FOR SCHOLARSHIPS AND FELLOWSHIPS BASED ON ACADEMIC ACHIEVEMENT, FINANCIAL NEEDS, AND SIMILAR STANDARDS. VARIOUS INSTITUTE OFFICES MONITOR ELIGIBILITY AND SATISFACTORY ACADEMIC PROGRESS BY GRANTEES. THE INSTITUTE MAKES AN ANNUAL $75,000 GRANT TO THE CALTECH Y. IN ADDITION, THE INSTITUTE ALLOWS THE CALTECH Y THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH Y IS A RELATED ORGANIZATION WHOSE MISSION IS TO SUPPORT THE STUDENTS OF CALTECH THROUGH VARIOUS ACTIVITIES. THE INSTITUTE MAKES AN ANNUAL DONATION (DESIGNATED ASSISTANCE) TO THE UNITED WAY OF GREATER LOS ANGELES. INSTITUTE OFFICES MONITOR THE GRANTEES' PERFORMANCE ACCORDING TO THEIR RESPECTIVE PROGRAM SERVICES GOALS AND/OR PURSUANT TO OTHER AGREEMENTS. |
| SCHEDULE I, PART III | COLUMN (C) CASH GRANTS REPRESENT CREDIT ON ACCOUNTS. |
Schedule J IRS990ScheduleJ
| Field | Value | IRS element (for citing) |
|---|---|---|
| First Class Or Charter Travel | Yes (X) | FirstClassOrCharterTravelInd |
| Idemnification Gross Up Pmts | Yes (X) | IdemnificationGrossUpPmtsInd |
| Housing Allowance Or Residence | Yes (X) | HousingAllowanceOrResidenceInd |
| Written Policy Ref T And E Expnss | Yes (true) | WrittenPolicyRefTAndEExpnssInd |
| Substantiation Required | Yes (true) | SubstantiationRequiredInd |
| Compensation Committee | Yes (X) | CompensationCommitteeInd |
| Compensation Survey | Yes (X) | CompensationSurveyInd |
| Board Or Committee Approval | Yes (X) | BoardOrCommitteeApprovalInd |
| Severance Payment | false | SeverancePaymentInd |
| Supplemental Nonqual Rtr Plan | Yes (true) | SupplementalNonqualRtrPlanInd |
| Equity Based Comp Arrngm | false | EquityBasedCompArrngmInd |
| Comp Based On Revenue Of Flng Org | false | CompBasedOnRevenueOfFlngOrgInd |
| Comp Bsd On Rev Related Orgs | false | CompBsdOnRevRelatedOrgsInd |
| Comp Bsd Net Earns Flng Org | false | CompBsdNetEarnsFlngOrgInd |
| Comp Bsd Net Earns Rltd Orgs | false | CompBsdNetEarnsRltdOrgsInd |
| Any Non Fixed Payments | Yes (true) | AnyNonFixedPaymentsInd |
| Initial Contract Exception | false | InitialContractExceptionInd |
Rltd Org Officer Trst Key Empl RltdOrgOfficerTrstKeyEmplGrp (25 entries)
| TitleTitleTxt | Base Compensation Filing OrgBaseCompensationFilingOrgAmt | Compensation Based On Rltd OrgsCompensationBasedOnRltdOrgsAmt | Bonus Filing OrganizationBonusFilingOrganizationAmount | Bonus Related OrganizationsBonusRelatedOrganizationsAmt | Other Compensation Filing OrgOtherCompensationFilingOrgAmt | Other Compensation Rltd OrgsOtherCompensationRltdOrgsAmt | Deferred Compensation Flng OrgDeferredCompensationFlngOrgAmt | Deferred Comp Rltd OrgsDeferredCompRltdOrgsAmt | Nontaxable Benefits Filing OrgNontaxableBenefitsFilingOrgAmt | Nontaxable Benefits Rltd OrgsNontaxableBenefitsRltdOrgsAmt | Total Compensation Filing OrgTotalCompensationFilingOrgAmt | Total Compensation Rltd OrgsTotalCompensationRltdOrgsAmt | Comp Report Prior990 Filing OrgCompReportPrior990FilingOrgAmt | Comp Report Prior990 Rltd OrgsCompReportPrior990RltdOrgsAmt |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| SHARON E PATTERSON | ||||||||||||||
| ASSOC. VP FOR FIN. & TREAS. | $397,775 | $0 | $0 | $0 | $12,000 | $0 | $38,701 | $0 | $17,623 | $0 | $466,099 | $0 | $0 | $0 |
| ARTURO AGUAYO | ||||||||||||||
| ASSISTANT TREASURER | $185,906 | $0 | $0 | $0 | $365 | $0 | $19,451 | $0 | $27,113 | $0 | $232,835 | $0 | $0 | $0 |
| SAMMY KAYALI | ||||||||||||||
| CFO/MGR LAB OPS AS OF 7/20 | $341,388 | $0 | $20,000 | $0 | $19,198 | $0 | $43,451 | $0 | $29,430 | $0 | $453,467 | $0 | $0 | $0 |
| SCOTT H RICHLAND | ||||||||||||||
| CHIEF INVESTMENT OFFICER | $538,401 | $0 | $743,021 | $0 | $19,500 | $0 | $43,451 | $0 | $36,553 | $0 | $1,380,926 | $0 | $689,475 | $0 |
| MATTHEW W BREWER | ||||||||||||||
| CONTROLLER | $291,424 | $0 | $0 | $0 | $483 | $0 | $32,051 | $0 | $35,449 | $0 | $359,407 | $0 | $0 | $0 |
| LARRY DEAN JAMES | ||||||||||||||
| DEPUTY DIRECTOR OF JPL | $482,737 | $0 | $119,385 | $0 | $21,780 | $0 | $43,451 | $0 | $1,903 | $0 | $669,256 | $0 | $0 | $0 |
| MARC J GOETTEL | ||||||||||||||
| DIR. BUS OPS, JPL UNTIL 7/20 | $309,987 | $0 | $7,500 | $0 | $19,500 | $0 | $43,451 | $0 | $25,187 | $0 | $405,625 | $0 | $0 | $0 |
| ROBERT BRAUN | ||||||||||||||
| DIR. PLANETARY SCIENCE, JPL | $410,257 | $0 | $7,500 | $0 | $221,345 | $0 | $31,339 | $0 | $33,069 | $0 | $703,510 | $0 | $0 | $0 |
| CAROL J SCHUIL | ||||||||||||||
| EA TO PRES/ASST. SEC. | $243,218 | $0 | $0 | $0 | $417 | $0 | $32,291 | $0 | $22,597 | $0 | $298,523 | $0 | $0 | $0 |
| CHARLES ELACHI | ||||||||||||||
| DIRECTOR JPL, EMERITUS | $174,930 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $174,930 | $0 | $0 | $0 |
| RENE FRADET | ||||||||||||||
| FRMR CFO, JPL UNTIL 7/20 | $262,003 | $0 | $0 | $0 | $15,538 | $0 | $27,167 | $0 | $29,632 | $0 | $334,340 | $0 | $0 | $0 |
| JOSEPH E SHEPHERD | ||||||||||||||
| FRMR VP STUDENT AFF. | $352,552 | $0 | $0 | $0 | $574 | $0 | $43,451 | $0 | $30,862 | $0 | $427,439 | $0 | $0 | $0 |
| JENNIFER T LUM | ||||||||||||||
| GENERAL COUNSEL | $588,985 | $0 | $0 | $0 | $20,155 | $0 | $43,451 | $0 | $57,544 | $0 | $710,135 | $0 | $0 | $0 |
| DOUGLAS N MACBEAN | ||||||||||||||
| MANAGING DIR., INVESTMENTS | $290,099 | $0 | $280,236 | $0 | $16,437 | $0 | $172,051 | $0 | $29,851 | $0 | $788,674 | $0 | $0 | $0 |
| EDWARD M STOLPER | ||||||||||||||
| PROFESSOR, FORMER PROVOST | $458,893 | $0 | $0 | $0 | $19,500 | $0 | $43,451 | $0 | $15,086 | $0 | $536,930 | $0 | $0 | $0 |
| EDWARD C STONE | ||||||||||||||
| PROFESSOR, VICE PROVOST | $361,420 | $0 | $0 | $0 | $127,271 | $0 | $43,451 | $0 | $21,272 | $0 | $553,414 | $0 | $0 | $0 |
| DAVID A TIRRELL | ||||||||||||||
| PROVOST | $695,872 | $0 | $0 | $0 | $0 | $0 | $43,451 | $0 | $13,303 | $0 | $752,626 | $0 | $0 | $0 |
| PASY ISABELLA WANG | ||||||||||||||
| SR MG DIR OF INVESTMENTS | $356,072 | $0 | $420,468 | $0 | $20,154 | $0 | $249,551 | $0 | $41,241 | $0 | $1,087,486 | $0 | $387,417 | $0 |
| KIRK KAWASAWA | ||||||||||||||
| SR MG DIR OF INVESTMENTS | $277,299 | $0 | $208,088 | $0 | $540 | $0 | $32,051 | $0 | $24,971 | $0 | $542,949 | $0 | $0 | $0 |
| THOMAS F ROSENBAUM | ||||||||||||||
| PRESIDENT/TRUSTEE | $1,394,094 | $0 | $0 | $576 | $0 | $43,451 | $0 | $72,110 | $0 | $1,510,231 | $0 | $0 | $0 | |
| MICHAEL M WATKINS | ||||||||||||||
| VP & DIR, JPL | $582,067 | $0 | $236,925 | $0 | $20,076 | $0 | $43,451 | $0 | $15,154 | $0 | $897,673 | $0 | $0 | $0 |
| MARGARET A STEURBAUT | ||||||||||||||
| VP ADMIN & CFO | $718,415 | $0 | $0 | $0 | $20,076 | $0 | $43,451 | $0 | $16,306 | $0 | $798,248 | $0 | $0 | $0 |
| DEXTER A BAILEY | ||||||||||||||
| VP ADV & ALUMNI REL | $619,212 | $0 | $0 | $0 | $90,849 | $0 | $32,051 | $0 | $30,554 | $0 | $772,666 | $0 | $0 | $0 |
| DIANA JERGOVIC | ||||||||||||||
| VP STRATEGY IMPLEMENTATION | $428,627 | $0 | $0 | $0 | $576 | $0 | $32,051 | $0 | $15,594 | $0 | $476,848 | $0 | $0 | $0 |
| KEVIN M GILMARTIN | ||||||||||||||
| VP STUDENT AFF. | $241,027 | $0 | $0 | $0 | $461 | $0 | $36,349 | $0 | $27,718 | $0 | $305,555 | $0 | $0 | $0 |
Supplemental Information Detail SupplementalInformationDetail (3 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| SCHEDULE J, PART I, LINE 1A | FIRST CLASS TRAVEL: PURSUANT TO A WRITTEN POLICY, FIRST CLASS OR BUSINESS TRAVEL IS PERMITTED FOR CERTAIN EMPLOYEES UNDER CERTAIN CIRCUMSTANCES FOR BUSINESS PURPOSES. DURING CALENDAR YEAR 2020, TWO OFFICERS AND ONE HIGHLY COMPENSATED INDIVIDUAL RECEIVED FIRST CLASS OR CHARTER TRAVEL BENEFITS. TRAVEL FOR BUSINESS PURPOSES IS NOT INCLUDED IN TAXABLE WAGES. TAX INDEMNIFICATION AND GROSS UP PAYMENTS: DURING CALENDAR YEAR 2020, ONE HIGHEST COMPENSATED EMPLOYEE RECEIVED TAX INDEMNIFICATION AND GROSS-UP PAYMENTS. HOUSING ALLOWANCE: HOUSING ALLOWANCES ARE PROVIDED TO CERTAIN OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES AS PART OF THE INSTITUTE'S SALARY SUPPLEMENT HOUSING PROGRAM, WHICH IS GOVERNED BY A WRITTEN POLICY. DURING CALENDAR YEAR 2020, TWO OFFICERS AND ONE HIGHEST COMPENSATED EMPLOYEE RECEIVED HOUSING ALLOWANCE BENEFITS. PAYMENTS UNDER THIS PROGRAM ARE INCLUDED IN TAXABLE WAGES. THE PRESIDENT OCCUPIES AN INSTITUTE-OWNED RESIDENCE ON ITS CAMPUS AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE INSTITUTE. THE PRESIDENT'S NONTAXABLE BENEFITS IN SCHEDULE J, PART II, COLUMN (D) INCLUDE $57,068, AN ESTIMATE OF THE ANNUAL RENTAL VALUE OF THE PERSONAL SPACE OCCUPIED IN THAT RESIDENCE. |
| SCHEDULE J, PART I, LINE 4B | TERMS AND CONDITIONS OF DEFERRED PERFORMANCE COMPENSATION PLANS FOR INVESTMENT PROFESSIONALS: IN 2011, THE INSTITUTE ESTABLISHED A PERFORMANCE COMPENSATION PLAN ("PLAN") TO ASSIST WITH RECRUITMENT AND RETENTION FOR ITS INVESTMENT OFFICE. UNDER THE TERMS OF THE PLAN, PARTICIPANTS ARE ELIGIBLE FOR CERTAIN AWARDS BASED ON THE PERFORMANCE OF THE INSTITUTE'S INVESTMENT OFFICE EACH CALENDAR YEAR, AS MEASURED BY CERTAIN QUANTITATIVE AND QUALITATIVE FACTORS. IN 2017, THE PLAN WAS SPLIT INTO TWO SEPARATE PERFORMANCE COMPENSATION PLANS, ONE FOR THE CHIEF INVESTMENT OFFICER AND ONE FOR THE INVESTMENT OFFICE STAFF. DURING CALENDAR YEAR 2020, FOUR INDIVIDUALS REPORTED IN SCHEDULE J - SCOTT RICHLAND, PASY WANG, DOUGLAS MACBEAN, AND KIRK KAWASAWA, RECEIVED SUCH COMPENSATION. SCOTT RICHLAND PARTICIPATES IN THE CHIEF INVESTMENT OFFICER PERFORMANCE COMPENSATION PLAN, WHILE PASY WANG, DOUGLAS MACBEAN AND KIRK KAWASAWA PARTICIPATE IN THE INVESTMENT OFFICE STAFF PERFORMANCE COMPENSATION PLAN. UNDER BOTH PLANS, 50% OF THE AWARDS ARE PAID AFTER THE CONCLUSION OF THE PLAN YEAR (WHICH COINCIDES WITH THE CALENDAR YEAR), WHILE THE REMAINING 50% OF EACH YEAR'S AWARD IS DEFERRED, VESTS AND IS PAID IN THREE ANNUAL INSTALLMENTS, AS ADJUSTED BY THE POSITIVE OR NEGATIVE PERFORMANCE OF THE ENDOWMENT EACH YEAR. IN ADDITION, UNDER CERTAIN CIRCUMSTANCES, SUBJECT TO A MINIMUM NUMBER OF YEARS OF PARTICIPATION IN THE PLAN, PREVIOUSLY DEFERRED, BUT UNVESTED AMOUNTS MAY BE PAID TO THE PARTICIPANT BASED UPON THEIR AGE AND LENGTH OF SERVICE ("SPECIAL VESTING"). NO SPECIAL VESTING OCCURRED FOR ANY PARTICIPANTS DURING CALENDAR YEAR 2020. SCOTT RICHLAND'S, PASY WANG'S, DOUGLAS MACBEAN'S, AND KIRK KAWASAWA'S INDIVIDUAL AMOUNTS IN COLUMN B(II), "BONUS AND INCENTIVE COMPENSATION," COMPRISE PLAN CASH AMOUNTS PAID PURSUANT TO THE PLANS DURING CALENDAR YEAR 2020 AND REPRESENT THE AGGREGATE OF 50% OF EACH EMPLOYEES' RESPECTIVE AWARD FROM CALENDAR YEAR 2019 AND INSTALLMENTS FROM AMOUNTS DEFERRED FROM PLAN YEARS 2016-2018. AMOUNTS IN COLUMN C (RETIREMENT AND OTHER DEFERRED COMPENSATION) INCLUDE DEFERRED INCENTIVE COMPENSATION AWARDS EARNED IN CALENDAR YEAR 2020 AND ARE SUBJECT TO FORFEITURE UNDER CERTAIN CIRCUMSTANCES. SUCH AMOUNTS WOULD BE PAID IN INSTALLMENTS, ALONG WITH PRIOR YEARS' DEFERRALS, IN CALENDAR YEAR 2021 AND BEYOND. |
| SCHEDULE J, PART I, LINE 7 | CERTAIN INDIVIDUALS LISTED IN PART I OF SCHEDULE J RECEIVED BONUSES IN RECOGNITION OF EXCELLENT JOB PERFORMANCE OR AS A NEGOTIATED PAYMENT AT THE BEGINNING OF AN EMPLOYMENT ARRANGEMENT. BONUS RECIPIENTS' NAMES AND AMOUNTS PAID ARE SHOWN IN SCHEDULE J, PART II, COLUMN B(II). SCOTT RICHLAND (CHIEF INVESTMENT OFFICER), PASY WANG (SENIOR MANAGING DIRECTOR, INVESTMENTS), DOUGLAS MACBEAN (MANAGING DIRECTOR, INVESTMENTS), AND KIRK KAWASAWA (SENIOR MANAGING DIRECTOR, INVESTMENTS): THE INSTITUTE OFFERS PERFORMANCE-BASED COMPENSATION TO CERTAIN INVESTMENT PROFESSIONALS BASED UPON THE INSTITUTE'S INVESTMENT PERFORMANCE AND OTHER FACTORS. SEE RESPONSE TO QUESTION 4B ABOVE. |
Schedule K IRS990ScheduleK
Tax Exempt Bonds Issues TaxExemptBondsIssuesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond Reference | A | BondReferenceCd |
Issuer Name IssuerName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond Issuer EIN | 521705592 | BondIssuerEIN |
| CUSIP | 130178EZ5 | CUSIPNum |
| Bond Issued | 2006-07-12 | BondIssuedDt |
| Issue Price | $165,000,000 | IssuePriceAmt |
| Purpose | FIN VAR CAP PROJECTS REFUND SER 03 | PurposeDesc |
| Defeased | false | DefeasedInd |
| On Behalf Of Issuer | false | OnBehalfOfIssuerInd |
| Pool Financing | false | PoolFinancingInd |
Tax Exempt Bonds Proceeds TaxExemptBondsProceedsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond Reference | A | BondReferenceCd |
| Retired | $0 | RetiredAmt |
| Bond Defeased | $0 | BondDefeasedAmt |
| Total Proceeds | $184,062,305 | TotalProceedsAmt |
| In Reserve Fund | $0 | InReserveFundAmt |
| Capitalized Interest | $0 | CapitalizedInterestAmt |
| Refunding Escrow | $0 | RefundingEscrowAmt |
| Issuance Costs From Proceeds | $1,340,471 | IssuanceCostsFromProceedsAmt |
| Credit Enhancement | $0 | CreditEnhancementAmt |
| Working Capital Expenditures | $0 | WorkingCapitalExpendituresAmt |
| Capital Expenditures | $93,471,835 | CapitalExpendituresAmt |
| Other Spent Proceeds | $89,250,000 | OtherSpentProceedsAmt |
| Unspent | $0 | UnspentAmt |
| Substantial Completion | 2010 | SubstantialCompletionYr |
| Refunding Tax Exempt Bonds | false | RefundingTaxExemptBondsInd |
| Refunding Taxable Bonds | Yes (true) | RefundingTaxableBondsInd |
| Final Allocation Made | Yes (true) | FinalAllocationMadeInd |
| Adequate Books And Rec Maint | Yes (true) | AdequateBooksAndRecMaintInd |
Tax Exempt Bonds Private Bus Use TaxExemptBondsPrivateBusUseGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond Reference | A | BondReferenceCd |
| Owning Bond Financed Property | false | OwningBondFinancedPropertyInd |
| Any Lease Arrangements | Yes (true) | AnyLeaseArrangementsInd |
| Mgmt Contract Bond Fincd Prop | false | MgmtContractBondFincdPropInd |
| Any Research Agreements | Yes (true) | AnyResearchAgreementsInd |
| Engage Bond Counsel Research | Yes (true) | EngageBondCounselResearchInd |
| Private Bus Use By Others | 0.00900 | PrivateBusUseByOthersPct |
| Total Private Business Use | 0.00900 | TotalPrivateBusinessUsePct |
| Change In Use Bond Financed Prop | false | ChangeInUseBondFinancedPropInd |
| Remedial Action Taken | false | RemedialActionTakenInd |
| Procs Nonqualified Bond Remdtd | Yes (true) | ProcsNonqualifiedBondRemdtdInd |
Tax Exempt Bonds Arbitrage TaxExemptBondsArbitrageGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond Reference | A | BondReferenceCd |
| Form8038 T Filed | false | Form8038TFiledInd |
| Rebate Not Due Yet | false | RebateNotDueYetInd |
| Exception To Rebate | Yes (true) | ExceptionToRebateInd |
| No Rebate Due | Yes (true) | NoRebateDueInd |
| Variable Rate Issue | Yes (true) | VariableRateIssueInd |
| Hedge Identified In Bks And Rec | Yes (true) | HedgeIdentifiedInBksAndRecInd |
Hedge Provider Name HedgeProviderName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | BANK OF NY MELLOn | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Term Of Hedge | 30.3 | TermOfHedgePct |
| Superintegrated Hedge | false | SuperintegratedHedgeInd |
| Hedge Terminated | false | HedgeTerminatedInd |
| Gross Proceeds Invested In GIC | Yes (true) | GrossProceedsInvestedInGICInd |
GIC Provider Name GICProviderName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CITIGROUP GLOBAL TRA | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Term Of GIC | 2. | TermOfGICPct |
| Regulatory Safe Harbor Stsfd | Yes (true) | RegulatorySafeHarborStsfdInd |
| Gross Proceeds Invested | false | GrossProceedsInvestedInd |
| Written Proc To Monitor Reqs | Yes (true) | WrittenProcToMonitorReqsInd |
Procedures Corrective Action ProceduresCorrectiveActionGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond Reference | A | BondReferenceCd |
| Procedures Corrective Action | Yes (true) | ProceduresCorrectiveActionInd |
Supplemental Information Detail SupplementalInformationDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Line Reference | COLUMN A: | FormAndLineReferenceDesc |
| Explanation | DIFFERENCE BETWEEN AMOUNT IN PART I(E) AND PART II, lINE 3 IS DUE TO INTEREST EARNED ON INVESTED PROCEEDS. PART I (F) - THE ISSUE DATE OF THE SERIES 2003 BONDS IS 01/15/2003. PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. PART IV, LINE 2C - THE REBATE COMPUTATION WAS PERFORMED ON AUGUST 20, 2012, FOR THE COMPUTATION PERIOD ENDING ON JULY 1, 2012. | ExplanationTxt |
Schedule L IRS990ScheduleL
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Balance Due | $0 | TotalBalanceDueAmt |
Grnt Asst Bnft Interested Prsn GrntAsstBnftInterestedPrsnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cash Grant | $154,239 | CashGrantAmt |
| Type Of Assistance | SCHOLARSHIPS | TypeOfAssistanceTxt |
| Assistance Purpose | EDUCATION | AssistancePurposeTxt |
Bus Tr Involve Interested Prsn BusTrInvolveInterestedPrsnGrp (10 entries)
| Relationship DescriptionRelationshipDescriptionTxt | TransactionTransactionAmt | TransactionTransactionDesc | Sharing Of RevenuesSharingOfRevenuesInd |
|---|---|---|---|
| PEDRO J PIZARRO | |||
| TRUSTEE | $154,732 | FAM. MEMBER(S) EMPLOYED BY CIT | false |
| THOMAS F ROSENBAUM | |||
| PRESIDENT/TRUSTEE | $323,087 | FAM. MEMBER(S) EMPLOYED BY CIT | false |
| SHIRLEY M MALCOM | |||
| TRUSTEE | $414,594 | FAM. MEMBER(S) EMPLOYED BY CIT | false |
| STEPHEN ONDERDONK | |||
| TRUSTEE | $424,492 | FAM. MEMBER(S) EMPLOYED BY CIT | false |
| EDWARD M STOLPER | |||
| FORMER PROVOST | $168,656 | FAM. MEMBER(S) EMPLOYED BY CIT | false |
| CAROL SCHUIL | |||
| EA TO PRES/ASST SEC | $36,561 | FAM. MEMBER(S) EMPLOYED BY CIT | false |
| GLENAIR INC | |||
| SEE PART V | $1,078,021 | SEE PART V | false |
| CANYON CAPITAL ADVISORS LLC | |||
| SEE PART V | $764,261 | SEE PART V | false |
| HIMALAYA CAPITAL MANAGEMENT | |||
| SEE PART V | $6,202,418 | SEE PART V | false |
| VIDA VENTURES LLC | |||
| SEE PART V | $201,986 | SEE PART V | false |
Supplemental Information Detail SupplementalInformationDetail (2 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| SCHEDULE L, PART III | PER THE IRS INSTRUCTIONS FOR SCHEDULE L AND DUE TO STUDENT PRIVACY CONSIDERATIONS, INTERESTED PERSONS AND THEIR FAMILY MEMBERS TO WHOM THE INSTITUTE PROVIDES SCHOLARSHIPS, FELLOWSHIPS, AND SIMILAR FINANCIAL ASSISTANCE ARE NOT IDENTIFIED. |
| SCHEDULE L, PART IV | NAME OF PERSON: GLENAIR, INC. ("GLENAIR") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GLENAIR IS A 35% OR-GREATER CONTROLLED ENTITY OF PETER D. KAUFMAN, WHO IS CHAIRMAN AND CEO OF GLENAIR AS WELL AS A TRUSTEE OF THE INSTITUTE. AMOUNT OF TRANSACTION: AGGREGATE $1,078,021 FOR THE YEAR ENDED SEPTEMBER 30, 2021. DESCRIPTION OF TRANSACTION: GLENAIR IS A U.S.-BASED COMPANY THAT SPECIALIZES IN THE MANUFACTURING OF ELECTRONIC COMPONENTS. THE INSTITUTE HAS PROCURED COMPONENTS FROM GLENAIR IN THE NORMAL COURSE OF BUSINESS, AT ARM'S LENGTH, AND IN ACCORDANCE WITH INSTITUTE PROCUREMENT POLICIES AND PROCEDURES. MR. KAUFMAN DID NOT PARTICIPATE IN, AND WAS EXCLUDED FROM, THE INSTITUTE'S DECISIONS WITH RESPECT TO THESE PROCUREMENTS. NAME OF PERSON: CANYON CAPITAL ADVISORS, LLC ("CANYON") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: CANYON IS A 35%-OR-GREATER CONTROLLED ENTITY OF JOSHUA S. FRIEDMAN, WHO IS A FOUNDING PARTNER, CO-CHAIRMAN AND CO-CEO OF CANYON AS WELL AS A TRUSTEE OF THE INSTITUTE. AMOUNT OF TRANSACTION: MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES OF $764,261 FOR THE YEAR ENDED SEPTEMBER 30, 2021. DESCRIPTION OF TRANSACTION: THE INSTITUTE IS AN INVESTOR IN TWO FUNDS MANAGED BY CANYON. THE INVESTMENT WITH CANYON ("THE TRANSACTION") WAS MADE DURING THE INSTITUTE'S FISCAL YEAR 2012. THE TRANSACTION WAS ENTERED INTO AT ARM'S LENGTH AFTER AN INDEPENDENT COMMITTEE OF TRUSTEES CONSIDERED THE TRANSACTION IN ACCORDANCE WITH INSTITUTE POLICY AND DETERMINED THAT: THE TRANSACTION WAS FAIR AND REASONABLE AS TO THE INSTITUTE; THE ECONOMIC BENEFIT PROVIDED BY THE INSTITUTE DID NOT EXCEED THE FAIR MARKET VALUE OF THE CONSIDERATION RECEIVED BY THE INSTITUTE; AND THE INSTITUTE COULD NOT HAVE OBTAINED A MORE ADVANTAGEOUS ARRANGEMENT WITH REASONABLE EFFORT UNDER THE CIRCUMSTANCES. DURING THE YEAR ENDED SEPTEMBER 30, 2021, THE INSTITUTE'S INVESTMENTS IN CANYON FUNDS INCURRED $764,261 IN MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES. AS OF SEPTEMBER 30, 2021, ACCRUED AND UNPAID MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES TOTALED $179,319. AS OF SEPTEMBER 30, 2021, CANYON HAD TOTAL ASSETS UNDER MANAGEMENT OF APPROXIMATELY $27.5 BILLION. NAME OF PERSON: HIMALAYA CAPITAL MANAGEMENT, LLC ("HIMALAYA") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: HIMALAYA IS A 35%-OR-GREATER CONTROLLED ENTITY OF LI LU, WHO IS FOUNDER AND CHAIRMAN OF HIMALAYA AS WELL AS A TRUSTEE OF THE INSTITUTE. AMOUNT OF TRANSACTION: MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES OF $6,202,418 FOR THE YEAR ENDED SEPTEMBER 30, 2021. DESCRIPTION OF TRANSACTION: THE INSTITUTE IS AN INVESTOR IN ONE FUND MANAGED BY HIMALAYA. THE INVESTMENT WITH HIMALAYA ("THE TRANSACTION") WAS ENTERED INTO AT ARM'S LENGTH DURING THE INSTITUTE'S FISCAL YEAR 2014. MR. LI LU DID NOT JOIN THE INSTITUTE'S BOARD OF TRUSTEES UNTIL JULY 2018 AND THE INVESTMENT WAS ENTERED INTO SOLELY FOR THE BENEFIT OF THE INSTITUTE WITHOUT REGARD TO ANY POSSIBILITY OF MR. LI LU JOINING THE BOARD IN THE FUTURE. AN INDEPENDENT COMMITTEE OF TRUSTEES CONSIDERED THE TRANSACTION IN ACCORDANCE WITH INSTITUTE POLICY AND DETERMINED THAT: THE TRANSACTION WAS FAIR AND REASONABLE AS TO THE INSTITUTE; THE ECONOMIC BENEFIT PROVIDED BY THE INSTITUTE DID NOT EXCEED THE FAIR MARKET VALUE OF THE CONSIDERATION RECEIVED BY THE INSTITUTE; AND THE INSTITUTE COULD NOT HAVE OBTAINED A MORE ADVANTAGEOUS ARRANGEMENT WITH REASONABLE EFFORT UNDER THE CIRCUMSTANCES. DURING THE YEAR ENDING SEPTEMBER 30, 2021, THE INSTITUTE'S INVESTMENTS IN HIMALAYA INCURRED $6,202,418 IN MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES. AS OF SEPTEMBER 30, 2021, ACCRUED AND UNPAID MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES TOTALED $0. AS OF SEPTEMBER 30, 2021, HIMALAYA HAD TOTAL ASSETS UNDER MANAGEMENT OF APPROXIMATELY $18.06 BILLION. NAME OF PERSON: VIDA VENTURES, LLC ("VIDA") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: VIDA IS A 35%-OR-GREATER CONTROLLED ENTITY OF ARIE BELLDEGRUN, WHO IS A CO-FOUNDER AND SENIOR MANAGING DIRECTOR OF VIDA, AS WELL AS THE SPOUSE OF REBECKA BELLDEGRUN, A TRUSTEE OF THE INSTITUTE. AMOUNT OF TRANSACTION: MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES OF $201,986 FOR THE YEAR ENDED SEPTEMBER 30, 2021. DESCRIPTION OF TRANSACTION: THE INSTITUTE IS AN INVESTOR IN ONE FUND MANAGED BY VIDA. THE INVESTMENT WITH VIDA ("THE TRANSACTION") WAS MADE DURING THE INSTITUTE'S FISCAL YEAR 2019. THIS TRANSACTION WAS ENTERED INTO AT ARM'S LENGTH AFTER AN INDEPENDENT COMMITTEE OF TRUSTEES CONSIDERED THE TRANSACTION IN ACCORDANCE WITH INSTITUTE POLICY AND DETERMINED THAT: THE TRANSACTION WAS FAIR AND REASONABLE AS TO THE INSTITUTE; THE ECONOMIC BENEFIT PROVIDED BY THE INSTITUTE DID NOT EXCEED THE FAIR MARKET VALUE OF THE CONSIDERATION RECEIVED BY THE INSTITUTE; AND THE INSTITUTE COULD NOT HAVE OBTAINED A MORE ADVANTAGEOUS ARRANGEMENT WITH REASONABLE EFFORT UNDER THE CIRCUMSTANCES. DURING THE YEAR ENDING SEPTEMBER 30, 2021, THE INSTITUTE'S INVESTMENTS IN VIDA INCURRED $201,986 IN MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES. AS OF SEPTEMBER 30, 2021, ACCRUED AND UNPAID MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES TOTALED $117,928. AS OF SEPTEMBER 30, 2021, VIDA HAD TOTAL ASSETS UNDER MANAGEMENT OF APPROXIMATELY $656.3 MILLION. |
Schedule M IRS990ScheduleM
| Field | Value | IRS element (for citing) |
|---|---|---|
| Works Of Art | WorksOfArtGrp | |
| Art Historical Treasures | ArtHistoricalTreasuresGrp | |
| Art Fractional Interest | ArtFractionalInterestGrp | |
| Books And Publications | BooksAndPublicationsGrp | |
| Clothing And Household Goods | ClothingAndHouseholdGoodsGrp | |
| Cars And Other Vehicles | CarsAndOtherVehiclesGrp | |
| Boats And Planes | BoatsAndPlanesGrp | |
| Intellectual Property | IntellectualPropertyGrp |
Securities Publicly Traded SecuritiesPubliclyTradedGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | Yes (X) | NonCashCheckboxInd |
| Contribution | 80 | ContributionCnt |
| Noncash Contributions Rpt F990 | $54,992,273 | NoncashContributionsRptF990Amt |
| Method Of Determining Revenues | HI-LO AVERAGE | MethodOfDeterminingRevenuesTxt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities Closely Held Stock | SecuritiesCloselyHeldStockGrp | |
| Secur Prtnrshp Trust Intrsts | SecurPrtnrshpTrustIntrstsGrp | |
| Securities Miscellaneous | SecuritiesMiscellaneousGrp | |
| Qualified Contrib Hist Struct | QualifiedContribHistStructGrp | |
| Qualified Contrib Other | QualifiedContribOtherGrp |
Real Estate Residential RealEstateResidentialGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | Yes (X) | NonCashCheckboxInd |
| Contribution | 3 | ContributionCnt |
| Noncash Contributions Rpt F990 | $8,800,001 | NoncashContributionsRptF990Amt |
| Method Of Determining Revenues | APPRAISAL | MethodOfDeterminingRevenuesTxt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real Estate Commercial | RealEstateCommercialGrp | |
| Real Estate Other | RealEstateOtherGrp | |
| Collectibles | CollectiblesGrp | |
| Food Inventory | FoodInventoryGrp | |
| Drugs And Medical Supplies | DrugsAndMedicalSuppliesGrp | |
| Taxidermy | TaxidermyGrp | |
| Historical Artifacts | HistoricalArtifactsGrp | |
| Scientific Specimens | ScientificSpecimensGrp | |
| Archaeological Artifacts | ArchaeologicalArtifactsGrp |
Other Non Cash Contri Table OtherNonCashContriTableGrp (2 entries)
| Non Cash CheckboxNonCashCheckboxInd | DescDesc | ContributionContributionCnt | Noncash Contributions Rpt F990NoncashContributionsRptF990Amt | Method Of Determining RevenuesMethodOfDeterminingRevenuesTxt |
|---|---|---|---|---|
| Yes (X) | EQUIPMENT | 6 | $1,614,927 | INVENTORY&PLACE MARK |
| Yes (X) | MISCELLANEOUS | 3 | $49,201 | Retail & Place Mark |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form8283 Received | 3 | Form8283ReceivedCnt |
| Any Property That Must Be Held | false | AnyPropertyThatMustBeHeldInd |
| Review Process Unusual NC Gifts | Yes (true) | ReviewProcessUnusualNCGiftsInd |
| Third Parties Used | Yes (true) | ThirdPartiesUsedInd |
Supplemental Information Detail SupplementalInformationDetail (5 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| SCHEDULE M, PART I | CONTRIBUTION AMOUNTS ARE PRESENTED ON THE ACCRUAL BASIS CONSISTENT WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, AND THEREFORE MAY PRODUCE DIFFERENT RESULTS FROM COMPUTATIONS USING IRS-REQUIRED METHODOLOGY APPLICABLE TO DONORS. |
| SCHEDULE M, PART I, COLUMN (B) | AMOUNTS IN THIS COLUMN REFLECT THE NUMBER OF CONTRIBUTORS. |
| SCHEDULE M, PART I, LINE 25 | EQUIPMENT DONATED FOR RESEARCH AND INSTRUCTION. |
| SCHEDULE M, PART I, LINE 26 | MISCELLANEOUS ITEMS INCLUDED MACHINERY, A MANUSCRIPT AND ARTWORK. |
| SCHEDULE M, PART I, LINE 32B | THE INSTITUTE MAY UTILIZE THIRD PARTY BROKERS TO SELL SECURITIES AND REAL ESTATE. |
Schedule O IRS990ScheduleO
Supplemental Information Detail SupplementalInformationDetail (14 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| FORM 990, PART I AND III, LINE 1 | THE MISSION OF THE CALIFORNIA INSTITUTE OF TECHNOLOGY ("THE INSTITUTE"CALTECH") IS TO EXPAND HUMAN KNOWLEDGE AND BENEFIT SOCIETY THROUGH RESEARCH INTEGRATED WITH EDUCATION. WE INVESTIGATE THE MOST CHALLENGING, FUNDAMENTAL PROBLEMS IN SCIENCE AND TECHNOLOGY IN A SINGULARLY COLLEGIAL, INTERDISCIPLINARY ATMOSPHERE, WHILE EDUCATING OUTSTANDING STUDENTS TO BECOME CREATIVE MEMBERS OF SOCIETY. |
| FORM 990, PART I, LINE 6 | THE NUMBER IDENTIFIED IS BASED ON A REASONABLE ESTIMATE. |
| FORM 990, PART III, LINE 4D | AUXILIARY ENTERPRISES (EXPENSES $29,550,000 AND REVENUE $54,029,000) AUXILIARY ENTERPRISES IN SUPPORT OF THE INSTITUTE'S MISSION (CALTECH Y ALLOCATION) - GRANTS $75,000 CASH ALLOCATION TO RELATED ORGANIZATION SUPPORTING INSTITUTE'S MISSION (UNITED WAY GREATER LOS ANGELES) TO MATCH EMPLOYEE CONTRIBUTIONS TO UNITED WAY - GRANTS $50,000 |
| FORM 990, PART IV, LINE 6 | THE INSTITUTE HAS NO SEPARATE FUNDS OR ACCOUNTS WHERE DONORS HAVE THE RIGHT EITHER TO PROVIDE ADVICE ON THE INVESTMENT OF AMOUNTS IN THE FUNDS OR TO PROVIDE ADVICE ON DISTRIBUTION OF SUCH FUNDS OUTSIDE THE INSTITUTE. |
| FORM 990, PART VI, LINE 2 | TRUSTEES THOMAS E. EVERHART AND PETER NORTON - BUSINESS RELATIONSHIP TRUSTEES JOSHUA S. FRIEDMAN AND DR. REBECKA BELLDEGRUN - BUSINESS RELATIONSHIP TRUSTEES JOSHUA S. FRIEDMAN AND RICHARD N. MERKIN - BUSINESS RELATIONSHIP TRUSTEES JOSHUA S. FRIEDMAN AND B. KIPLING HAGOPIAN - BUSINESS RELATIONSHIP TRUSTEES JOSHUA S. FRIEDMAN AND WALTER G. KORTSCHAK - BUSINESS RELATIONSHIP TRUSTEES LI LU AND WALTER G. KORTSCHAK - BUSINESS RELATIONSHIP TRUSTEES LYNN A. BOOTH AND KENT KRESA - FAMILY RELATIONSHIP TRUSTEES JOSEPH KIANI AND DAVID PYOTT - BUSINESS RELATIONSHIP |
| FORM 990, PART VI, LINE 11B | THE INSTITUTE PREPARED FORM 990 WITH THE ASSISTANCE OF A PAID PREPARER. A DRAFT OF THE FORM 990 IS PRESENTED TO THE AUDIT AND COMPLIANCE COMMITTEE FOR REVIEW AND COMMENT. A FINAL COPY OF THE FORM 990 IS PROVIDED TO EACH MEMBER OF THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS. AN OFFICER OF THE INSTITUTE AND ITS PAID PREPARER, RESPECTIVELY, SIGN THE FINAL FORM 990. |
| FORM 990, PART VI, LINE 12C | EACH TRUSTEE AND OFFICER IS REQUIRED TO COMPLETE ANNUALLY A CONFLICT OF INTEREST QUESTIONNAIRE DISCLOSING POTENTIAL OR ACTUAL CONFLICTS. TRUSTEES, OFFICERS AND KEY EMPLOYEES ARE ALSO REQUIRED TO DISCLOSE IN WRITING POTENTIAL AND ACTUAL CONFLICTS ON AN ONGOING BASIS THROUGHOUT THE YEAR. ALL CONFLICTS ARE RESOLVED IN ACCORDANCE WITH THE INSTITUTE'S WRITTEN CONFLICT OF INTEREST POLICIES. |
| FORM 990, PART VI, LINE 15A, 15B | THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES NORMALLY REVIEWS AT LEAST ANNUALLY THE COMPENSATION OF OFFICERS AND CERTAIN EMPLOYEES, INCLUDING KEY EMPLOYEES OF THE INSTITUTE. THE EXECUTIVE COMPENSATION COMMITTEE REVIEWS COMPARABILITY DATA FROM RELEVANT SURVEYS. THE DELIBERATIONS ARE CONTEMPORANEOUSLY DOCUMENTED IN THE COMMITTEE'S MINUTES. |
| FORM 990, PART VI, LINE 19 | THE INSTITUTE'S GOVERNING DOCUMENTS, FINANCIAL STATEMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE UPON REQUEST. |
| FORM 990, PART VII, COLUMN B | ESTIMATES OF TRUSTEES' TIME DEVOTED TO INSTITUTE BUSINESS ARE BASED ON FIGURES PROVIDED BY TRUSTEES THEMSELVES OR GENERAL INSTITUTE ESTIMATES BASED ON TRUSTEES' COMMITTEE ASSIGNMENTS. TIME DEVOTED TO INSTITUTE BUSINESS BY OFFICERS, KEY EMPLOYEES AND HIGHEST COMPENSATED EMPLOYEES MAY SUBSTANTIALLY EXCEED THE ESTIMATES PROVIDED ON A REGULAR BASIS. |
| FORM 990, PART IX, LINE 24C | THE INSTITUTE RECOVERS FROM ITS ENDOWMENT INVESTMENT POOL A PORTION OF THE COSTS OF RAISING AND STEWARDING ENDOWMENTS. ENDOWMENT RECOVERY REPRESENTS AMOUNTS FROM THE ENDOWMENT INVESTMENT POOL APPLIED AGAINST CURRENT FUNDRAISING COSTS. THE RESULTING REDUCTION IN ENDOWMENT NET ASSETS IS REFLECTED IN OTHER CHANGES IN NET ASSETS OR FUND BALANCES ON FORM 990, PART XI, LINE 9. |
| FORM 990, PART X, LINE 11 | INVESTMENTS - PUBLICLY TRADED SECURITIES INCLUDE, BUT ARE NOT LIMITED TO, INVESTMENTS HELD DIRECTLY OR IN FUNDS AND MANAGED ACCOUNTS FOR WHICH THE UNDERLYING SECURITIES ARE PRIMARILY PUBLICLY TRADED, ALTHOUGH CERTAIN RESTRICTIONS ON THE LIQUIDITY OF SOME OF THESE HOLDINGS MAY EXIST. |
| FORM 990, PART XI, LINE 9 | OTHER CHANGES IN NET ASSETS OR FUND BALANCES CHANGES IN POSTEMPLOYMENT BENEFIT OBLIGATIONS $ 936,000 ENDOWMENT RECOVERY ($ 9,963,000) LOSS ON DISPOSAL OF PROPERTY ($ 2,479,000) CHANGES IN FAIR VALUE OF INTEREST RATE SWAP $ 19,748,000 EXCISE TAX ($ 15,715,000) ---------------- TOTAL ($ 7,473,000) ================ |
| FORM 990, PART XII, LINE 1 | IN ACCORDANCE WITH IRS INSTRUCTIONS, FORM 990 AND ALL SCHEDULES THEREIN (WITH THE EXCEPTION OF REQUIRED CALENDAR-YEAR REPORTING FOR COMPENSATION), HAVE BEEN COMPLETED ON THE ACCRUAL BASIS CONSISTENT WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. |
Schedule R IRS990ScheduleR
Id Disregarded Entities IdDisregardedEntitiesGrp (3 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | EINEIN | Primary ActivitiesPrimaryActivitiesTxt | Legal Domicile StateLegalDomicileStateCd | Total IncomeTotalIncomeAmt | End Of Year AssetsEndOfYearAssetsAmt | Business Name Line1DirectControllingEntityName/BusinessNameLine1Txt |
|---|---|---|---|---|---|---|---|---|---|
| WILSON AVENUE INVESTMENTS LLC | |||||||||
| 1200 EAST CALIFORNIA BLVD | PASADENA | CA | 91125 | 461712999 | HOLDING CO. | DE | $0 | $0 | CIT |
| WILSON HEC LLC | |||||||||
| 551 S WILSON AVE MAILCODE 2-42 | PASADENA | CA | 91125 | 364849057 | HOLDING CO. | CA | $0 | $0 | CIT |
| CIT MICROPROBE HOLDINGS LLC | |||||||||
| 1200 EAST CALIFORNIA BLVD | PASADENA | CA | 91125 | 205217981 | HOLDING CO | NV | $0 | $1,394,260 | CIT |
Id Related Tax Exempt Org IdRelatedTaxExemptOrgGrp (3 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | EINEIN | Primary ActivitiesPrimaryActivitiesTxt | Legal Domicile StateLegalDomicileStateCd | Exempt Code SectionExemptCodeSectionTxt | Public Charity StatusPublicCharityStatusTxt | Business Name Line1DirectControllingEntityName/BusinessNameLine1Txt | Controlled OrganizationControlledOrganizationInd |
|---|---|---|---|---|---|---|---|---|---|---|
| CALTECH Y | ||||||||||
| 1201 E CALIFORNIA BLVD | PASADENA | CA | 91125 | 951684790 | RECREATION | CA | 501(C)(3) | 12d, III-FI | NA | false |
| ALUMNI ASSOCIATION OF CALTECH | ||||||||||
| 345 S HILL AVE | PASADENA | CA | 91125 | 956047395 | ALUMNI | CA | 501(C)(3) | 12a, I | CALTECH | Yes (true) |
| TOM AND VALLEY KNUDSEN FDN | ||||||||||
| C/O CALTECH GIFT PLANNING | PASADENA | CA | 91125 | 956031188 | SUPPORT ORG | CA | 501(C)(3) | 12a, I | NA | Yes (true) |
Id Related Org Txbl Partnership IdRelatedOrgTxblPartnershipGrp
Related Organization Name RelatedOrganizationName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | VARAGON FUND I LP | BusinessNameLine1Txt |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 301 COMMERCE ST | AddressLine1Txt |
| City | FORT WORTH | CityNm |
| State Abbreviation | TX | StateAbbreviationCd |
| ZIP | 76102 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 811640281 | EIN |
| Primary Activities | INVESTMENTS | PrimaryActivitiesTxt |
| Legal Domicile State | TX | LegalDomicileStateCd |
Direct Controlling Entity Name DirectControllingEntityName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CALTECH | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Predominant Income Type | UNRELATED | PredominantIncomeTypeTxt |
| Share Of Total Income | $9,776,556 | ShareOfTotalIncomeAmt |
| Share Of EOY Assets | $358,306,367 | ShareOfEOYAssetsAmt |
| Disproportionate Allocations | false | DisproportionateAllocationsInd |
| UBI Code V | $7,595,903 | UBICodeVAmt |
| General Or Managing Partner | false | GeneralOrManagingPartnerInd |
| Ownership | 0.64390 | OwnershipPct |
Id Related Org Txbl Corp Tr IdRelatedOrgTxblCorpTrGrp (2 entries)
| Primary ActivitiesPrimaryActivitiesTxt | Legal Domicile StateLegalDomicileStateCd | Business Name Line1DirectControllingEntityName/BusinessNameLine1Txt | Entity TypeEntityTypeTxt | Controlled OrganizationControlledOrganizationInd |
|---|---|---|---|---|
| CRAT (1) | ||||
| CHARITABLE TR | CA | CALTECH | TRUST | Yes (true) |
| CRUT (112) | ||||
| CHARITABLE TR | CA | CALTECH | TRUST | Yes (true) |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Receipt Of Int Annts Rnts Rylts | Yes (true) | ReceiptOfIntAnntsRntsRyltsInd |
| Gift Grnt Or Cap Contri To Oth Org | Yes (true) | GiftGrntOrCapContriToOthOrgInd |
| Gift Grnt Cap Contri From Oth Org | Yes (true) | GiftGrntCapContriFromOthOrgInd |
| Loans Or Guarantees To Other Org | false | LoansOrGuaranteesToOtherOrgInd |
| Loans Or Guarantees From Oth Org | false | LoansOrGuaranteesFromOthOrgInd |
| Div Related Organization | false | DivRelatedOrganizationInd |
| Asset Sale To Other Org | false | AssetSaleToOtherOrgInd |
| Asset Purchase From Other Org | false | AssetPurchaseFromOtherOrgInd |
| Asset Exchange | false | AssetExchangeInd |
| Rental Of Facilities To Oth Org | false | RentalOfFacilitiesToOthOrgInd |
| Rental Of Fclts From Oth Org | false | RentalOfFcltsFromOthOrgInd |
| Perform Of Services For Oth Org | Yes (true) | PerformOfServicesForOthOrgInd |
| Perform Of Services By Other Org | false | PerformOfServicesByOtherOrgInd |
| Sharing Of Facilities | Yes (true) | SharingOfFacilitiesInd |
| Paid Employees Sharing | Yes (true) | PaidEmployeesSharingInd |
| Reimbursement Paid To Other Org | false | ReimbursementPaidToOtherOrgInd |
| Reimbursement Paid By Other Org | false | ReimbursementPaidByOtherOrgInd |
| Transfer To Other Org | false | TransferToOtherOrgInd |
| Transfer From Other Org | Yes (true) | TransferFromOtherOrgInd |
Transactions Related Org TransactionsRelatedOrgGrp (3 entries)
| Transaction TypeTransactionTypeTxt | InvolvedInvolvedAmt | Method Of Amount DeterminationMethodOfAmountDeterminationTxt |
|---|---|---|
| CRUT | ||
| A | $137,749 | FMV |
| VARAGON FUND I LP | ||
| B | $9,857,796 | FMV |
| VARAGON FUND I LP | ||
| S | $5,346,186 | FMV |
Supplemental Information Detail SupplementalInformationDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Line Reference | SCHEDULE R, PART V, LINE 1L, 1N, AND 1O | FormAndLineReferenceDesc |
| Explanation | THE INSTITUTE ALLOWS THE CALTECH ALUMNI ASSOCIATION THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH ALUMNI ASSOCIATION IS A RELATED ORGANIZATION WHOSE MISSION IS TO PROVIDE EDUCATIONAL AND OTHER PROGRAMS FOR CALTECH ALUMNI AND STUDENTS. ADDITIONALLY, THE INSTITUTE PROVIDES DIRECT ADMINISTRATIVE SUPPORT, FREE OF CHARGE, TO THE TOM AND VALLEY KNUDSEN FOUNDATION, A RELATED PHILANTHROPIC FOUNDATION. | ExplanationTxt |