ROCKEFELLER UNIVERSITY: Form 990, tax year 2020
View the entire original 990 at ProPublica ↗
- Organization
- ROCKEFELLER UNIVERSITY (EIN 13-1624158)
- Tax period
- 2020-07-01 to 2021-06-30
- Filed
- 2022-02-16
- IRS object ID
- 202220479349300622
- Schema version
- 2020v4.2
- 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 D
- Schedule E
- Schedule F
- Schedule H
- Schedule I
- Schedule J
- Schedule K
- Schedule K
- Schedule L
- Schedule M
- Schedule O
- Schedule R
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2022-02-16T08:46:42-06:00 | ReturnTs |
| Tax Period End | 2021-06-30 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Firm EIN | 366055558 | PreparerFirmEIN |
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | Grant Thornton LLP | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 757 Third Avenue | AddressLine1Txt |
| City | New York | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 100172013 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990 | ReturnTypeCd |
| Tax Period Begin | 2020-07-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 131624158 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | THE ROCKEFELLER UNIVERSITY | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | ROCK | BusinessNameControlTxt |
| Phone | 2123278000 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 YORK AVENUE | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 100656307 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | JAMES H LAPPLE | PersonNm |
| Person Title | VP for Finance, Treasurer | PersonTitleTxt |
| Phone | 2123278301 | PhoneNum |
| Signature | 2022-02-16 | SignatureDt |
| Discuss With Paid Preparer | Yes (1) | DiscussWithPaidPreparerInd |
Signing Officer SigningOfficerGrp
Person Full Name PersonFullName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person First | JAMES | PersonFirstNm |
| Person Last | LAPPLE | PersonLastNm |
| Field | Value | IRS element (for citing) |
|---|---|---|
| SSN | 999009999 | SSN |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| PTIN | P00504182 | PTIN |
| Phone | 2125429609 | PhoneNum |
Additional Filer Information AdditionalFilerInformation
Trusted Customer TrustedCustomerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trusted Customer | 2 | TrustedCustomerCd |
| Authentication Assurance Level | AAL1 | AuthenticationAssuranceLevelCd |
| Identity Assurance Level | IAL1 | IdentityAssuranceLevelCd |
| 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 | Richard P Lifton | PrincipalOfficerNm |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 York Avenue | AddressLine1Txt |
| City | New York | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10065 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Receipts | $828,622,616 | GrossReceiptsAmt |
| Group Return For Affiliates | 0 | GroupReturnForAffiliatesInd |
| Organization501c3 | Yes (X) | Organization501c3Ind |
| Website Address | www.rockefeller.edu | WebsiteAddressTxt |
| Type Of Organization Corp | Yes (X) | TypeOfOrganizationCorpInd |
| Formation | 1901 | FormationYr |
| Legal Domicile State | NY | LegalDomicileStateCd |
| Activity Or Mission | The Rockefeller University (the University) is a world renowned center for research (see schedule O) and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The University's 82 laboratories conduct both clinical and basic research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in nine research areas covering a wide spectrum of disciplines in the life sciences, including neuroscience, immunology, genetics, structural biology and bioinformatics. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. | ActivityOrMissionDesc |
| Voting Members Governing Body | 40 | VotingMembersGoverningBodyCnt |
| Voting Members Independent | 38 | VotingMembersIndependentCnt |
| Total Employee | 1717 | TotalEmployeeCnt |
| Total Volunteers | 0 | TotalVolunteersCnt |
| Total Gross UBI | -$1,552,941 | TotalGrossUBIAmt |
| Net Unrelated Bus Txbl Incm | -$7,590,786 | NetUnrelatedBusTxblIncmAmt |
| PY Contributions Grants | $176,863,709 | PYContributionsGrantsAmt |
| CY Contributions Grants | $239,404,552 | CYContributionsGrantsAmt |
| PY Program Service Revenue | $32,531,806 | PYProgramServiceRevenueAmt |
| CY Program Service Revenue | $29,975,570 | CYProgramServiceRevenueAmt |
| PY Investment Income | $180,279,702 | PYInvestmentIncomeAmt |
| CY Investment Income | $230,010,867 | CYInvestmentIncomeAmt |
| PY Other Revenue | $65,772,034 | PYOtherRevenueAmt |
| CY Other Revenue | $30,954,711 | CYOtherRevenueAmt |
| PY Total Revenue | $455,447,251 | PYTotalRevenueAmt |
| CY Total Revenue | $530,345,700 | CYTotalRevenueAmt |
| PY Grants And Similar Paid | $11,681,244 | PYGrantsAndSimilarPaidAmt |
| CY Grants And Similar Paid | $11,549,858 | CYGrantsAndSimilarPaidAmt |
| PY Benefits Paid To Members | $0 | PYBenefitsPaidToMembersAmt |
| CY Benefits Paid To Members | $0 | CYBenefitsPaidToMembersAmt |
| PY Salaries Comp Emp Bnft Paid | $199,725,366 | PYSalariesCompEmpBnftPaidAmt |
| CY Salaries Comp Emp Bnft Paid | $191,030,276 | CYSalariesCompEmpBnftPaidAmt |
| PY Total Prof Fndrsng Expns | $0 | PYTotalProfFndrsngExpnsAmt |
| CY Total Prof Fndrsng Expns | $0 | CYTotalProfFndrsngExpnsAmt |
| CY Total Fundraising Expense | $9,246,153 | CYTotalFundraisingExpenseAmt |
| PY Other Expenses | $337,902,695 | PYOtherExpensesAmt |
| CY Other Expenses | $382,431,569 | CYOtherExpensesAmt |
| PY Total Expenses | $549,309,305 | PYTotalExpensesAmt |
| CY Total Expenses | $585,011,703 | CYTotalExpensesAmt |
| PY Revenues Less Expenses | -$93,862,054 | PYRevenuesLessExpensesAmt |
| CY Revenues Less Expenses | -$54,666,003 | CYRevenuesLessExpensesAmt |
| Total Assets BOY | $3,879,645,094 | TotalAssetsBOYAmt |
| Total Assets EOY | $4,529,661,441 | TotalAssetsEOYAmt |
| Total Liabilities BOY | $1,417,583,538 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $1,520,746,998 | TotalLiabilitiesEOYAmt |
| Net Assets Or Fund Balances BOY | $2,462,061,556 | NetAssetsOrFundBalancesBOYAmt |
| Net Assets Or Fund Balances EOY | $3,008,914,443 | NetAssetsOrFundBalancesEOYAmt |
| Info In Schedule O Part III | Yes (X) | InfoInScheduleOPartIIIInd |
| Mission | The Rockefeller University (the University) is a world renowned center for research and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The University's 70 laboratories conduct both clinical and basic research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in nine research areas covering a wide spectrum of disciplines in the life sciences, including neuroscience, immunology, genetics, structural biology and bioinformatics. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. | MissionDesc |
| Significant New Program Srvc | 0 | SignificantNewProgramSrvcInd |
| Significant Change | 0 | SignificantChangeInd |
| Expense | $305,770,492 | ExpenseAmt |
| Grant | $11,549,858 | GrantAmt |
| Desc | RESEARCH EDUCATION - 70 LABORATORIES (AND 19 EMERITUS LABORATORIES) INCLUDING 81 FACULTY MEMBERS, 280 POST-DOCTORAL SCHOLARS, 236 GRADUATE STUDENTS AND WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY MEDICAL STUDENTS. | Desc |
Prog Srvc Accom Acty2 ProgSrvcAccomActy2Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | $15,786,653 | ExpenseAmt |
| Desc | HOSPITAL - CONSISTS OF 40 BEDS AND SERVES AS A CLINICAL RESEARCH CENTER FOR OUTPATIENTS AND INPATIENTS. THE ROCKEFELLER UNIVERSITY HOSPITAL EXISTS SOLELY TO CONDUCT CLINICAL RESEARCH. THE SPECIALIZED PERSONNEL AND OTHER RESOURCES AVAILABLE AT THE HOSPITAL FACILITATE CLINICAL RESEARCH FOR BOTH THE INVESTIGATOR AND THE RESEARCH PARTICIPANT. | Desc |
Prog Srvc Accom Acty3 ProgSrvcAccomActy3Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | $2,665,808 | ExpenseAmt |
| Desc | LIBRARY CONTAINS 241,013 VOLUMES (OF WHICH 189,700 ARE ON-LINE) AND 7,206 ON-LINE SUBSCRIPTIONS AND IS MAINTAINED ON AN OPEN STOCK POLICY. THE LIBRARY STRIVES TO ADVANCE KNOWLEDGE BY SUPPORTING OUR UNIVERSITY'S WORLD CLASS RESEARCH COMMUNITY WITH TECHNOLOGY, INNOVATION, AND COLLABORATION IN THE FIELD OF SCIENCE INFORMATION AND COMMUNICATION. | Desc |
Prog Srvc Accom Acty Other ProgSrvcAccomActyOtherGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | $35,296,041 | ExpenseAmt |
| Revenue | $29,975,570 | RevenueAmt |
| Desc | Auxiliary Enterprises - housing on campus for single and married students; off campus housing for faculty and other University personnel; food service consists of cafeteria dining facilities; press includes Journal and subscriptions. | Desc |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Other Prog Srvc Expense | $35,296,041 | TotalOtherProgSrvcExpenseAmt |
| Total Other Prog Srvc Revenue | $29,975,570 | TotalOtherProgSrvcRevenueAmt |
| Total Program Service Expenses | $359,518,994 | TotalProgramServiceExpensesAmt |
| Described In Section501c3 | Yes (1) | DescribedInSection501c3Ind |
| Schedule B Required | Yes (1) | ScheduleBRequiredInd |
| Political Campaign Acty | 0 | PoliticalCampaignActyInd |
| Lobbying Activities | 0 | LobbyingActivitiesInd |
| Subject To Proxy Tax | 0 | SubjectToProxyTaxInd |
| Donor Advised Fund | 0 | DonorAdvisedFundInd |
| Conservation Easements | 0 | ConservationEasementsInd |
| Collections Of Art | Yes (1) | CollectionsOfArtInd |
| Credit Counseling | 0 | CreditCounselingInd |
| Donor Rstr Or Quasi Endowments | Yes (1) | DonorRstrOrQuasiEndowmentsInd |
| Report Land Building Equipment | Yes (1) | ReportLandBuildingEquipmentInd |
| Report Investments Other Sec | Yes (1) | ReportInvestmentsOtherSecInd |
| Report Program Related Invst | 0 | ReportProgramRelatedInvstInd |
| Report Other Assets | 0 | ReportOtherAssetsInd |
| Report Other Liabilities | Yes (1) | ReportOtherLiabilitiesInd |
| Include FIN48 Footnote | Yes (1) | IncludeFIN48FootnoteInd |
| Independent Audit Fincl Stmt | 0 | IndependentAuditFinclStmtInd |
| Consolidated Audit Fincl Stmt | Yes (1) | ConsolidatedAuditFinclStmtInd |
| School Operating | Yes (1) | SchoolOperatingInd |
| Foreign Office | 0 | ForeignOfficeInd |
| Foreign Activities | Yes (1) | ForeignActivitiesInd |
| More Than5000 K To Org | 0 | MoreThan5000KToOrgInd |
| More Than5000 K To Individuals | 0 | MoreThan5000KToIndividualsInd |
| Professional Fundraising | 0 | ProfessionalFundraisingInd |
| Fundraising Activities | 0 | FundraisingActivitiesInd |
| Gaming Activities | 0 | GamingActivitiesInd |
| Operate Hospital | Yes (1) | OperateHospitalInd |
| Audited Financial Stmt Att | Yes (1) | AuditedFinancialStmtAttInd |
| Grants To Organizations | 0 | GrantsToOrganizationsInd |
| Grants To Individuals | Yes (1) | GrantsToIndividualsInd |
| Schedule J Required | Yes (1) | ScheduleJRequiredInd |
| Tax Exempt Bonds | Yes (1) | TaxExemptBondsInd |
| Invest Tax Exempt Bonds | 0 | InvestTaxExemptBondsInd |
| Escrow Account | 0 | EscrowAccountInd |
| On Behalf Of Issuer | 0 | OnBehalfOfIssuerInd |
| Engaged In Excess Benefit Trans | 0 | EngagedInExcessBenefitTransInd |
| PY Excess Benefit Trans | 0 | PYExcessBenefitTransInd |
| Loan Outstanding | Yes (1) | LoanOutstandingInd |
| Grant To Related Person | 0 | GrantToRelatedPersonInd |
| Business Rln With Org Mem | Yes (1) | BusinessRlnWithOrgMemInd |
| Business Rln With Fam Mem | 0 | BusinessRlnWithFamMemInd |
| Business Rln With35 Ctrl Ent | 0 | BusinessRlnWith35CtrlEntInd |
| Deductible Non Cash Contri | Yes (1) | DeductibleNonCashContriInd |
| Deductible Art Contribution | 0 | DeductibleArtContributionInd |
| Terminate Operations | 0 | TerminateOperationsInd |
| Partial Liquidation | 0 | PartialLiquidationInd |
| Disregarded Entity | 0 | DisregardedEntityInd |
| Related Entity | Yes (1) | RelatedEntityInd |
| Related Organization Ctrl Ent | 0 | RelatedOrganizationCtrlEntInd |
| Trnsfr Exmpt Non Chrtbl Rltd Org | Yes (1) | TrnsfrExmptNonChrtblRltdOrgInd |
| Activities Conducted Prtshp | 0 | ActivitiesConductedPrtshpInd |
| Schedule O Required | Yes (1) | ScheduleORequiredInd |
| Info In Schedule O Part V | Yes (X) | InfoInScheduleOPartVInd |
| IRP Document | 522 | IRPDocumentCnt |
| IRP Document W2 G | 0 | IRPDocumentW2GCnt |
| Backup Wthld Compliance | Yes (1) | BackupWthldComplianceInd |
| Employee | 1717 | EmployeeCnt |
| Employment Tax Returns Filed | Yes (1) | EmploymentTaxReturnsFiledInd |
| Unrelated Bus Incm Over Limit | Yes (1) | UnrelatedBusIncmOverLimitInd |
| Form990 T Filed | Yes (1) | Form990TFiledInd |
| Foreign Financial Account | Yes (1) | ForeignFinancialAccountInd |
| Foreign Country | VI | ForeignCountryCd |
| Foreign Country | CJ | ForeignCountryCd |
| Foreign Country | UK | ForeignCountryCd |
| Foreign Country | CA | ForeignCountryCd |
| Foreign Country | JA | ForeignCountryCd |
| Foreign Country | LU | ForeignCountryCd |
| Foreign Country | EI | ForeignCountryCd |
| Prohibited Tax Shelter Trans | 0 | ProhibitedTaxShelterTransInd |
| Taxable Party Notification | 0 | TaxablePartyNotificationInd |
| Nondeductible Contributions | 0 | NondeductibleContributionsInd |
| Quid Pro Quo Contributions | 0 | QuidProQuoContributionsInd |
| Form8282 Property Disposed Of | 0 | Form8282PropertyDisposedOfInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | 0 | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | 0 | PayPremiumsPrsnlBnftCntrctInd |
| Indoor Tanning Services | 0 | IndoorTanningServicesInd |
| Subj To Tax Rmnrtn Ex Prcht Pymt | Yes (1) | SubjToTaxRmnrtnExPrchtPymtInd |
| Subject To Excs Tax Net Invst Inc | 0 | SubjectToExcsTaxNetInvstIncInd |
| Info In Schedule O Part VI | Yes (X) | InfoInScheduleOPartVIInd |
| Governing Body Voting Members | 40 | GoverningBodyVotingMembersCnt |
| Independent Voting Member | 38 | IndependentVotingMemberCnt |
| Family Or Business Rln | Yes (1) | FamilyOrBusinessRlnInd |
| Delegation Of Mgmt Duties | 0 | DelegationOfMgmtDutiesInd |
| Change To Org Documents | 0 | ChangeToOrgDocumentsInd |
| Material Diversion Or Misuse | 0 | MaterialDiversionOrMisuseInd |
| Members Or Stockholders | 0 | MembersOrStockholdersInd |
| Election Of Board Members | 0 | ElectionOfBoardMembersInd |
| Decisions Subject To Approva | 0 | DecisionsSubjectToApprovaInd |
| Minutes Of Governing Body | Yes (1) | MinutesOfGoverningBodyInd |
| Minutes Of Committees | Yes (1) | MinutesOfCommitteesInd |
| Officer Mailing Address | 0 | OfficerMailingAddressInd |
| Local Chapters | 0 | LocalChaptersInd |
| Form990 Provided To Gvrn Body | Yes (1) | Form990ProvidedToGvrnBodyInd |
| Conflict Of Interest Policy | Yes (1) | ConflictOfInterestPolicyInd |
| Annual Disclosure Covered Prsn | Yes (1) | AnnualDisclosureCoveredPrsnInd |
| Regular Monitoring Enfrc | Yes (1) | RegularMonitoringEnfrcInd |
| Whistleblower Policy | Yes (1) | WhistleblowerPolicyInd |
| Document Retention Policy | Yes (1) | DocumentRetentionPolicyInd |
| Compensation Process CEO | Yes (1) | CompensationProcessCEOInd |
| Compensation Process Other | Yes (1) | CompensationProcessOtherInd |
| Investment In Joint Venture | 0 | InvestmentInJointVentureInd |
| Upon Request | Yes (X) | UponRequestInd |
Books In Care Of Detail BooksInCareOfDetail
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | MICHAEL P VITALE | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 2123278704 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 YORK AVENUE | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 100656307 | ZIPCd |
Form990 Part VII Section A Form990PartVIISectionAGrp (66 entries)
| TitleTitleTxt | Average Hours Per WeekAverageHoursPerWeekRt | Individual Trustee Or DirectorIndividualTrusteeOrDirectorInd | Reportable Comp From OrgReportableCompFromOrgAmt | Reportable Comp From Rltd OrgReportableCompFromRltdOrgAmt | Other CompensationOtherCompensationAmt | OfficerOfficerInd | Highest Compensated EmployeeHighestCompensatedEmployeeInd |
|---|---|---|---|---|---|---|---|
| William A Ackman | |||||||
| Trustee (resigned 3/9/2021) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Miriam O Adelson MD | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Allen R Adler | |||||||
| Trustee (thru 6/2/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Karen Akinsanya | |||||||
| Trustee (effective 6/2/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Holly S Andersen MD | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Robert M Bass | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Edward J Benz Jr MD | |||||||
| Trustee (thru 6/2/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Scott KH Bessent | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Debra Black | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Eli Casdin | |||||||
| Trustee (effective 10/10/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Anna M Chapman MD | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Caroline Rivers Curry | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| James G Dinan | |||||||
| Trustee (effective 11/11/20) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Andreas C Dracopoulos | |||||||
| Trustee, Vice Chair | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Katherine Farley | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Michael D Fascitelli | |||||||
| Trustee, Vice Chair | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| William E Ford | |||||||
| Trustee, Chair | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Peter T Grauer | |||||||
| Trustee (thru 6/2/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Evan G Greenberg | |||||||
| Trustee (resigned 7/14/20) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Marlene Hess | |||||||
| Trustee, Vice Chair | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Michael B Hoffman | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Sandra J Horbach | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| William I Huyett Jr | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Weslie R Janeway | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Rebecca A John | |||||||
| Trustee (effective 3/10/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Joelle Kayden | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Michael M Kellen | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Pablo G Legorreta | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Karen M Levy | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Evelyn G Lipper MD | |||||||
| Trustee (thru 6/2/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Michael Lynton | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| D Scott Mackesy | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Diane Mathis | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Surya N Mohapatra PhD | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Jeremy Nathans MD PhD | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Jonathan M Nelson | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Robin Chemers Neustein | |||||||
| Trustee, Vice Chair | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Willard J Overlock Jr | |||||||
| Trustee (thru 6/2/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Daniel Pacthod | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Michael J Price | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Lewis A Sanders | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| John M Shapiro | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Robert K Steel | |||||||
| Trustee, Vice Chair | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Joan A Steitz PhD | |||||||
| Trustee (thru 6/2/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| David Sze | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Sandra Tamer | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Lulu C Wang | |||||||
| Trustee (thru 6/2/21) | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Huda Y Zoghbi MD | |||||||
| Trustee | 2.00 | Yes (X) | $0 | $0 | $0 | ||
| Richard P Lifton MD PhD | |||||||
| President | 50.00 | Yes (X) | $1,170,198 | $0 | $230,706 | Yes (X) | |
| Amy Falls Till 42021 | |||||||
| VP & CIO | 50.00 | $1,439,048 | $0 | $386,475 | Yes (X) | ||
| Barry Coller | |||||||
| VP & Physician-in-Chief | 50.00 | $667,106 | $0 | $90,179 | Yes (X) | ||
| Maren Imhoff | |||||||
| SVP, Development | 50.00 | $689,310 | $0 | $90,161 | Yes (X) | ||
| Michael Young | |||||||
| VP, Academic Affairs | 50.00 | $697,207 | $0 | $90,165 | Yes (X) | ||
| James Lapple | |||||||
| VP, Finance & Treasurer | 50.00 | $546,086 | $0 | $70,875 | Yes (X) | ||
| Sidney Strickland | |||||||
| VP, Education Affairs | 50.00 | $454,454 | $0 | $90,178 | Yes (X) | ||
| Virginia Huffman | |||||||
| VP, Human Resources | 50.00 | $513,695 | $0 | $90,122 | Yes (X) | ||
| Roberta Maloney Till 92020 | |||||||
| Asst. VP, Finance | 50.00 | $253,567 | $0 | $74,301 | Yes (X) | ||
| Theresa Desmond | |||||||
| Spec. Asst/Corp Secretary | 50.00 | $197,832 | $0 | $51,384 | Yes (X) | ||
| Timothy O'Connor | |||||||
| Executive Vice President | 50.00 | $627,776 | $0 | $90,206 | Yes (X) | ||
| Deborah Yeoh | |||||||
| VP & General Counsel | 50.00 | $526,021 | $0 | $60,438 | Yes (X) | ||
| Kretina Cook From 92020 | |||||||
| Asst. VP, Finance | 50.00 | $121,167 | $0 | $11,474 | Yes (X) | ||
| Robert Roeder | |||||||
| Professor, Head of Laborat | 50.00 | $587,612 | $0 | $100,897 | Yes (X) | ||
| Thomas Lenehan Till 122020 | |||||||
| Deputy CIO | 50.00 | $911,783 | $0 | $82,874 | Yes (X) | ||
| Charles M Rice | |||||||
| Professor, Head of Laborat | 50.00 | $517,249 | $0 | $70,916 | Yes (X) | ||
| Thomas Sakmar | |||||||
| Professor, Head of Laborat | 50.00 | $556,821 | $0 | $100,833 | Yes (X) | ||
| David Allis | |||||||
| Professor, Head of Laborat | 50.00 | $512,298 | $0 | $90,175 | Yes (X) | ||
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Reportable Comp From Org | $10,989,230 | TotalReportableCompFromOrgAmt |
| Tot Reportable Comp Rltd Org | $0 | TotReportableCompRltdOrgAmt |
| Total Other Compensation | $1,872,359 | TotalOtherCompensationAmt |
| Indiv Rcvd Greater Than100 K | 332 | IndivRcvdGreaterThan100KCnt |
| Former Ofcr Employees Listed | 0 | FormerOfcrEmployeesListedInd |
| Total Comp Greater Than150 K | Yes (1) | TotalCompGreaterThan150KInd |
| Compensation From Other Srcs | 0 | CompensationFromOtherSrcsInd |
Contractor Compensation ContractorCompensationGrp (5 entries)
| Address Line1ContractorAddress/USAddress/AddressLine1Txt | CityContractorAddress/USAddress/CityNm | State AbbreviationContractorAddress/USAddress/StateAbbreviationCd | ZIPContractorAddress/USAddress/ZIPCd | ServicesServicesDesc | CompensationCompensationAmt |
|---|---|---|---|---|---|
| COHEN & GRESSER LLP | |||||
| 800 THIRD AVENUE | NEW YORK | NY | 10022 | lEGAL SERVICES | $8,448,363 |
| TURNER CONSTRUCTION CO | |||||
| 375 HUDSON STREET | NEW YORK | NY | 10014 | CONSTRUCTION SERVICES | $7,735,624 |
| ROPES & GRAY LLP | |||||
| 800 BOYLSTON STREET | BOSTON | MA | 02199 | lEGAL SERVICES | $3,336,643 |
| CALDWELL & WALSH BUILDING CONST INC | |||||
| 12 WEST 27TH ST 7TH FLOOR | NEW YORK | NY | 10001 | CONSTRUCTION SERVICESS | $1,889,413 |
| GREAT PERFORMANCES | |||||
| 2417 THIRD AVENUE SUITE 300 | BRONX | NY | 10451 | FOOD SERVICES | $1,871,818 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cntrct Rcvd Greater Than100 K | 52 | CntrctRcvdGreaterThan100KCnt |
| Government Grants | $96,974,698 | GovernmentGrantsAmt |
| All Other Contributions | $142,429,854 | AllOtherContributionsAmt |
| Noncash Contributions | $73,189,539 | NoncashContributionsAmt |
| Total Contributions | $239,404,552 | TotalContributionsAmt |
Program Service Revenue ProgramServiceRevenueGrp (3 entries)
| DescDesc | BusinessBusinessCd | Total Revenue ColumnTotalRevenueColumnAmt | Related Or Exempt Func IncomeRelatedOrExemptFuncIncomeAmt |
|---|---|---|---|
| Housing | 532000 | $19,856,306 | $19,856,306 |
| Press Operations | 511120 | $9,296,678 | $9,296,678 |
| Food Service | 722210 | $822,586 | $822,586 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Program Service Revenue | $29,975,570 | TotalProgramServiceRevenueAmt |
Investment Income InvestmentIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $1,725,766 | TotalRevenueColumnAmt |
| Exclusion | $1,725,766 | ExclusionAmt |
Royalties Revenue RoyaltiesRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $21,975,808 | TotalRevenueColumnAmt |
| Exclusion | $21,975,808 | ExclusionAmt |
Gross Rents GrossRentsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | $7,273,573 | RealAmt |
Less Rental Expenses LessRentalExpensesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | $0 | RealAmt |
Rental Income Or Loss RentalIncomeOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | $7,273,573 | RealAmt |
Net Rental Income Or Loss NetRentalIncomeOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $7,273,573 | TotalRevenueColumnAmt |
| Exclusion | $7,273,573 | ExclusionAmt |
Gross Amount Sales Assets GrossAmountSalesAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | $526,562,017 | SecuritiesAmt |
Less Cost Oth Basis Sales Expnss LessCostOthBasisSalesExpnssGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | $298,276,916 | SecuritiesAmt |
Gain Or Loss GainOrLossGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | $228,285,101 | SecuritiesAmt |
Net Gain Or Loss Investments NetGainOrLossInvestmentsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $228,285,101 | TotalRevenueColumnAmt |
| Unrelated Business Revenue | -$1,552,941 | UnrelatedBusinessRevenueAmt |
| Exclusion | $229,838,042 | ExclusionAmt |
Other Revenue Misc OtherRevenueMiscGrp (3 entries)
| DescDesc | BusinessBusinessCd | Total Revenue ColumnTotalRevenueColumnAmt | ExclusionExclusionAmt |
|---|---|---|---|
| Institute for Advanced | 900099 | $633,405 | $633,405 |
| Other | 900099 | $396,917 | $396,917 |
| Reimbursement of Costs | 900099 | $230,064 | $230,064 |
Miscellaneous Revenue MiscellaneousRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $444,944 | TotalRevenueColumnAmt |
| Exclusion | $444,944 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Revenue Total | $1,705,330 | OtherRevenueTotalAmt |
Total Revenue TotalRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | $530,345,700 | TotalRevenueColumnAmt |
| Related Or Exempt Func Income | $29,975,570 | RelatedOrExemptFuncIncomeAmt |
| Unrelated Business Revenue | -$1,552,941 | UnrelatedBusinessRevenueAmt |
| Exclusion | $262,518,519 | ExclusionAmt |
Grants To Domestic Individuals GrantsToDomesticIndividualsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $11,549,858 | TotalAmt |
| Program Services | $11,549,858 | ProgramServicesAmt |
Comp Current Ofcr Directors CompCurrentOfcrDirectorsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $7,207,021 | TotalAmt |
| Program Services | $1,563,034 | ProgramServicesAmt |
| Management And General | $4,994,387 | ManagementAndGeneralAmt |
| Fundraising | $649,600 | FundraisingAmt |
Other Salaries And Wages OtherSalariesAndWagesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $124,446,704 | TotalAmt |
| Program Services | $106,337,761 | ProgramServicesAmt |
| Management And General | $14,015,151 | ManagementAndGeneralAmt |
| Fundraising | $4,093,792 | FundraisingAmt |
Pension Plan Contributions PensionPlanContributionsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $11,422,922 | TotalAmt |
| Program Services | $9,441,528 | ProgramServicesAmt |
| Management And General | $1,435,215 | ManagementAndGeneralAmt |
| Fundraising | $546,179 | FundraisingAmt |
Other Employee Benefits OtherEmployeeBenefitsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $39,518,592 | TotalAmt |
| Program Services | $32,206,220 | ProgramServicesAmt |
| Management And General | $5,915,937 | ManagementAndGeneralAmt |
| Fundraising | $1,396,435 | FundraisingAmt |
Payroll Taxes PayrollTaxesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $8,435,037 | TotalAmt |
| Program Services | $7,047,053 | ProgramServicesAmt |
| Management And General | $1,087,359 | ManagementAndGeneralAmt |
| Fundraising | $300,625 | FundraisingAmt |
Fees For Services Legal FeesForServicesLegalGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $1,159,274 | TotalAmt |
| Management And General | $1,159,274 | ManagementAndGeneralAmt |
Fees For Services Accounting FeesForServicesAccountingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $444,696 | TotalAmt |
| Program Services | $70,209 | ProgramServicesAmt |
| Management And General | $374,487 | ManagementAndGeneralAmt |
Fees For Srvc Invst Mgmnt Fees FeesForSrvcInvstMgmntFeesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $590,501 | TotalAmt |
| Management And General | $590,501 | ManagementAndGeneralAmt |
Fees For Services Other FeesForServicesOtherGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $24,538,483 | TotalAmt |
| Program Services | $22,415,297 | ProgramServicesAmt |
| Management And General | $2,026,990 | ManagementAndGeneralAmt |
| Fundraising | $96,196 | FundraisingAmt |
Advertising AdvertisingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $677,227 | TotalAmt |
| Program Services | $376,722 | ProgramServicesAmt |
| Management And General | $40,813 | ManagementAndGeneralAmt |
| Fundraising | $259,692 | FundraisingAmt |
Office Expenses OfficeExpensesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $50,365,419 | TotalAmt |
| Program Services | $48,780,379 | ProgramServicesAmt |
| Management And General | $1,492,002 | ManagementAndGeneralAmt |
| Fundraising | $93,038 | FundraisingAmt |
Information Technology InformationTechnologyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $2,821,743 | TotalAmt |
| Program Services | $2,345,755 | ProgramServicesAmt |
| Management And General | $983 | ManagementAndGeneralAmt |
| Fundraising | $475,005 | FundraisingAmt |
Royalties RoyaltiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $9,727,733 | TotalAmt |
| Program Services | $9,727,733 | ProgramServicesAmt |
Occupancy OccupancyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $10,210,351 | TotalAmt |
| Program Services | $9,647,191 | ProgramServicesAmt |
| Management And General | $449,753 | ManagementAndGeneralAmt |
| Fundraising | $113,407 | FundraisingAmt |
Travel TravelGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $82,101 | TotalAmt |
| Program Services | $70,565 | ProgramServicesAmt |
| Management And General | $11,387 | ManagementAndGeneralAmt |
| Fundraising | $149 | FundraisingAmt |
Conferences Meetings ConferencesMeetingsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $123,151 | TotalAmt |
| Program Services | $105,847 | ProgramServicesAmt |
| Management And General | $17,080 | ManagementAndGeneralAmt |
| Fundraising | $224 | FundraisingAmt |
Interest InterestGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $36,752,436 | TotalAmt |
| Program Services | $32,887,337 | ProgramServicesAmt |
| Management And General | $3,865,099 | ManagementAndGeneralAmt |
Depreciation Depletion DepreciationDepletionGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $56,162,321 | TotalAmt |
| Program Services | $51,169,316 | ProgramServicesAmt |
| Management And General | $3,771,194 | ManagementAndGeneralAmt |
| Fundraising | $1,221,811 | FundraisingAmt |
Insurance InsuranceGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $4,130,654 | TotalAmt |
| Program Services | $1,049,801 | ProgramServicesAmt |
| Management And General | $3,080,853 | ManagementAndGeneralAmt |
Other Expenses OtherExpensesGrp (2 entries)
| DescDesc | TotalTotalAmt | Management And GeneralManagementAndGeneralAmt | Program ServicesProgramServicesAmt |
|---|---|---|---|
| Litigation payments | $171,918,091 | $171,918,091 | |
| Subcontracts | $12,727,388 | $12,727,388 |
Total Functional Expenses TotalFunctionalExpensesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $585,011,703 | TotalAmt |
| Program Services | $359,518,994 | ProgramServicesAmt |
| Management And General | $216,246,556 | ManagementAndGeneralAmt |
| Fundraising | $9,246,153 | FundraisingAmt |
Cash Non Interest Bearing CashNonInterestBearingGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $38,433 | BOYAmt |
| EOY | $42,800 | EOYAmt |
Savings And Temp Cash Invst SavingsAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $82,573,981 | BOYAmt |
| EOY | $78,204,097 | EOYAmt |
Pledges And Grants Receivable PledgesAndGrantsReceivableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $213,249,491 | BOYAmt |
| EOY | $216,414,098 | EOYAmt |
Accounts Receivable AccountsReceivableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $8,789,670 | BOYAmt |
| EOY | $9,432,721 | EOYAmt |
Receivables From Officers Etc ReceivablesFromOfficersEtcGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $3,222,632 | BOYAmt |
| EOY | $3,959,604 | EOYAmt |
Oth Notes Loans Receivable Net OthNotesLoansReceivableNetGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $33,933,257 | BOYAmt |
| EOY | $39,341,368 | EOYAmt |
Inventories For Sale Or Use InventoriesForSaleOrUseGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,023,791 | BOYAmt |
| EOY | $1,323,678 | EOYAmt |
Prepaid Expenses Defrd Charges PrepaidExpensesDefrdChargesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $3,515,408 | BOYAmt |
| EOY | $3,912,098 | EOYAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Land Bldg Equip Cost Or Other Bss | $1,865,362,504 | LandBldgEquipCostOrOtherBssAmt |
| Land Bldg Equip Accum Deprec | $725,749,248 | LandBldgEquipAccumDeprecAmt |
Land Bldg Equip Basis Net LandBldgEquipBasisNetGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,171,360,181 | BOYAmt |
| EOY | $1,139,613,256 | EOYAmt |
Investments Pub Traded Sec InvestmentsPubTradedSecGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,142,058,651 | BOYAmt |
| EOY | $1,378,194,621 | EOYAmt |
Investments Other Securities InvestmentsOtherSecuritiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,195,688,985 | BOYAmt |
| EOY | $1,633,386,478 | EOYAmt |
Investments Program Related InvestmentsProgramRelatedGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $3,979,320 | BOYAmt |
| EOY | $3,973,926 | EOYAmt |
Other Assets Total OtherAssetsTotalGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $20,211,294 | BOYAmt |
| EOY | $21,862,696 | EOYAmt |
Total Assets TotalAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $3,879,645,094 | BOYAmt |
| EOY | $4,529,661,441 | EOYAmt |
Accounts Payable Accr Expnss AccountsPayableAccrExpnssGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $42,196,323 | BOYAmt |
| EOY | $53,952,567 | EOYAmt |
Deferred Revenue DeferredRevenueGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $14,912,836 | BOYAmt |
| EOY | $17,269,475 | EOYAmt |
Tax Exempt Bond Liabilities TaxExemptBondLiabilitiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $795,709,598 | BOYAmt |
| EOY | $793,451,478 | EOYAmt |
Mortg Notes Pybl Scrd Invst Prop MortgNotesPyblScrdInvstPropGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $100,345,000 | BOYAmt |
| EOY | $200,345,000 | EOYAmt |
Other Liabilities OtherLiabilitiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $464,419,781 | BOYAmt |
| EOY | $455,728,478 | EOYAmt |
Total Liabilities TotalLiabilitiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $1,417,583,538 | BOYAmt |
| EOY | $1,520,746,998 | 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 | $362,918,488 | BOYAmt |
| EOY | $342,100,568 | EOYAmt |
Donor Restriction Net Assets DonorRestrictionNetAssetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $2,099,143,068 | BOYAmt |
| EOY | $2,666,813,875 | EOYAmt |
Total Net Assets Fund Balance TotalNetAssetsFundBalanceGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $2,462,061,556 | BOYAmt |
| EOY | $3,008,914,443 | EOYAmt |
Tot Liab Net Assets Fund Balance TotLiabNetAssetsFundBalanceGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | $3,879,645,094 | BOYAmt |
| EOY | $4,529,661,441 | EOYAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part XI | Yes (X) | InfoInScheduleOPartXIInd |
| Reconcilation Revenue Expnss | -$54,666,003 | ReconcilationRevenueExpnssAmt |
| Net Unrlzd Gains Losses Invst | $546,657,360 | NetUnrlzdGainsLossesInvstAmt |
| Other Changes In Net Assets | $54,861,530 | OtherChangesInNetAssetsAmt |
| Method Of Accounting Accrual | Yes (X) | MethodOfAccountingAccrualInd |
| Accountant Compile Or Review | 0 | AccountantCompileOrReviewInd |
| FS Audited | Yes (1) | FSAuditedInd |
FS Audited Basis FSAuditedBasisGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Consolidated Basis Fincl Stmt | Yes (X) | ConsolidatedBasisFinclStmtInd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Audit Committee | Yes (1) | AuditCommitteeInd |
| Federal Grant Audit Required | Yes (1) | FederalGrantAuditRequiredInd |
| Federal Grant Audit Performed | Yes (1) | 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 | $206,848,072 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $298,548,226 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $206,273,540 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $176,863,709 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $239,404,552 | CurrentTaxYearAmt |
| Total | $1,127,938,099 | TotalAmt |
Total Calendar Year170 TotalCalendarYear170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $206,848,072 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $298,548,226 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $206,273,540 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $176,863,709 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $239,404,552 | CurrentTaxYearAmt |
| Total | $1,127,938,099 | TotalAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Substantial Contributors Tot | $31,633,729 | SubstantialContributorsTotAmt |
| Public Support Total170 | $1,096,304,370 | PublicSupportTotal170Amt |
Gross Investment Income170 GrossInvestmentIncome170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $55,723,012 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $44,986,965 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $54,593,283 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $64,654,661 | CurrentTaxYearMinus1YearAmt |
| Current Tax Year | $29,249,381 | CurrentTaxYearAmt |
| Total | $249,207,302 | TotalAmt |
Other Income170 OtherIncome170Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Current Tax Year Minus4 Years | $4,452,216 | CurrentTaxYearMinus4YearsAmt |
| Current Tax Year Minus3 Years | $3,919,731 | CurrentTaxYearMinus3YearsAmt |
| Current Tax Year Minus2 Years | $4,332,281 | CurrentTaxYearMinus2YearsAmt |
| Current Tax Year Minus1 Year | $2,222,893 | CurrentTaxYearMinus1YearAmt |
| Total | $14,927,121 | TotalAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Support | $1,392,072,522 | TotalSupportAmt |
| Gross Receipts Rltd Activities | $164,162,130 | GrossReceiptsRltdActivitiesAmt |
| Public Support CY170 | 0.78750 | PublicSupportCY170Pct |
| Public Support PY170 | 0.78890 | PublicSupportPY170Pct |
| Thirty Thr Pct Suprt Tests CY170 | Yes (X) | ThirtyThrPctSuprtTestsCY170Ind |
Form990 Schedule A Part VI Form990ScheduleAPartVIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Line Reference | Schedule A, Part II, Line 10, Explanation of Other Income: | FormAndLineReferenceDesc |
| Explanation | Tax Exempt Bond income / loss - 2016 Amount: $ 2,565. Fundraising events income - 2016 Amount: $ 4,449,651. 2017 Amount: $ 3,919,731. 2018 Amount: $ 4,332,281. 2019 Amount: $ 2,222,893. 2020 Amount: $ 0. | ExplanationTxt |
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 D IRS990ScheduleD
Art Public Exhibition Amounts ArtPublicExhibitionAmountsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Assets Included | $888,464 | AssetsIncludedAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Collection Used Pub Exhibition | Yes (X) | CollectionUsedPubExhibitionInd |
| Solicited Assets Sale | 0 | SolicitedAssetsSaleInd |
CY Endwmt Fund CYEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $2,184,690,526 | BeginningYearBalanceAmt |
| Contributions | $16,318,325 | ContributionsAmt |
| Investment Earnings Or Losses | $767,476,546 | InvestmentEarningsOrLossesAmt |
| Other Expenditures | $151,788,520 | OtherExpendituresAmt |
| End Year Balance | $2,816,696,877 | EndYearBalanceAmt |
CY Minus1 Yr Endwmt Fund CYMinus1YrEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $2,112,311,806 | BeginningYearBalanceAmt |
| Contributions | $9,513,481 | ContributionsAmt |
| Investment Earnings Or Losses | $207,297,121 | InvestmentEarningsOrLossesAmt |
| Other Expenditures | $144,431,882 | OtherExpendituresAmt |
| End Year Balance | $2,184,690,526 | EndYearBalanceAmt |
CY Minus2 Yr Endwmt Fund CYMinus2YrEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $2,045,998,544 | BeginningYearBalanceAmt |
| Contributions | $14,302,877 | ContributionsAmt |
| Investment Earnings Or Losses | $164,735,013 | InvestmentEarningsOrLossesAmt |
| Other Expenditures | $112,724,628 | OtherExpendituresAmt |
| End Year Balance | $2,112,311,806 | EndYearBalanceAmt |
CY Minus3 Yr Endwmt Fund CYMinus3YrEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $1,913,005,463 | BeginningYearBalanceAmt |
| Contributions | $24,492,167 | ContributionsAmt |
| Investment Earnings Or Losses | $208,529,824 | InvestmentEarningsOrLossesAmt |
| Other Expenditures | $100,028,910 | OtherExpendituresAmt |
| End Year Balance | $2,045,998,544 | EndYearBalanceAmt |
CY Minus4 Yr Endwmt Fund CYMinus4YrEndwmtFundGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Year Balance | $1,766,474,995 | BeginningYearBalanceAmt |
| Contributions | $6,779,012 | ContributionsAmt |
| Investment Earnings Or Losses | $225,832,477 | InvestmentEarningsOrLossesAmt |
| Other Expenditures | $86,081,021 | OtherExpendituresAmt |
| End Year Balance | $1,913,005,463 | EndYearBalanceAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Board Designated Balance EOY | 0.15800 | BoardDesignatedBalanceEOYPct |
| Prmnnt Endowment Balance EOY | 0.14400 | PrmnntEndowmentBalanceEOYPct |
| Term Endowment Balance EOY | 0.69800 | TermEndowmentBalanceEOYPct |
| Endowments Held Unrelated Org | 0 | EndowmentsHeldUnrelatedOrgInd |
| Endowments Held Related Org | 0 | EndowmentsHeldRelatedOrgInd |
Land LandGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $32,553,820 | OtherCostOrOtherBasisAmt |
| Book Value | $32,553,820 | BookValueAmt |
Buildings BuildingsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $1,711,674,259 | OtherCostOrOtherBasisAmt |
| Depreciation | $646,787,663 | DepreciationAmt |
| Book Value | $1,064,886,596 | BookValueAmt |
Leasehold Improvements LeaseholdImprovementsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $460,112 | OtherCostOrOtherBasisAmt |
| Depreciation | $427,681 | DepreciationAmt |
| Book Value | $32,431 | BookValueAmt |
Equipment EquipmentGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $119,030,612 | OtherCostOrOtherBasisAmt |
| Depreciation | $77,778,667 | DepreciationAmt |
| Book Value | $41,251,945 | BookValueAmt |
Other Land Buildings OtherLandBuildingsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | $1,643,701 | OtherCostOrOtherBasisAmt |
| Depreciation | $755,237 | DepreciationAmt |
| Book Value | $888,464 | BookValueAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Book Value Land Buildings | $1,139,613,256 | TotalBookValueLandBuildingsAmt |
Other Securities OtherSecuritiesGrp (5 entries)
| DescDesc | Book ValueBookValueAmt | Method ValuationMethodValuationCd |
|---|---|---|
| Alt Inv-Private-Buyout funds | $562,683,683 | F |
| Alt Inv-Private-Natural resources/other | $254,996,380 | F |
| Alt Inv-Private-Real estate funds | $75,611,845 | F |
| Alt Inv-Private-Venture capital funds | $532,019,450 | F |
| Cash Equivalents | $208,075,120 | F |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Book Value Securities | $1,633,386,478 | TotalBookValueSecuritiesAmt |
Other Liabilities Org OtherLiabilitiesOrgGrp (5 entries)
| DescDesc | AmtAmt |
|---|---|
| Amounts held for others | $173,072,819 |
| Conditional asset retirement obligation | $9,345,089 |
| Contingent Liabilities | $21,151,932 |
| Obligation under derivative instruments | $163,663,638 |
| Postretirement benefit obligation | $88,495,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Liability | $455,728,478 | TotalLiabilityAmt |
| Footnote Text | Yes (X) | FootnoteTextInd |
| Total Rev Etc Audited Fincl Stmt | $1,120,070,356 | TotalRevEtcAuditedFinclStmtAmt |
| Net Unrealized Gains Invst | $546,657,360 | NetUnrealizedGainsInvstAmt |
| Other Revenue | $53,385,530 | OtherRevenueAmt |
| Revenue Not Reported | $600,042,890 | RevenueNotReportedAmt |
| Revenue Subtotal | $520,027,466 | RevenueSubtotalAmt |
| Investment Expenses Not Incld | $590,501 | InvestmentExpensesNotIncldAmt |
| Other Revenues Not Included | $9,727,733 | OtherRevenuesNotIncludedAmt |
| Revenue Not Reported Fincl Stmt | $10,318,234 | RevenueNotReportedFinclStmtAmt |
| Total Revenue Per Form990 | $530,345,700 | TotalRevenuePerForm990Amt |
| Tot Expns Etc Audited Fincl Stmt | $573,368,773 | TotExpnsEtcAuditedFinclStmtAmt |
| Other Expenses Included | -$1,324,696 | OtherExpensesIncludedAmt |
| Expenses Not Reported | -$1,324,696 | ExpensesNotReportedAmt |
| Expenses Subtotal | $574,693,469 | ExpensesSubtotalAmt |
| Investment Expenses Not Incld2 | $590,501 | InvestmentExpensesNotIncld2Amt |
| Other Expenses Not Included | $9,727,733 | OtherExpensesNotIncludedAmt |
| Expenses Not Rpt Fincl Stmt | $10,318,234 | ExpensesNotRptFinclStmtAmt |
| Total Expenses Per Form990 | $585,011,703 | TotalExpensesPerForm990Amt |
Supplemental Information Detail SupplementalInformationDetail (7 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| Part III, Line 4: | Works of art are displayed in various locations throughout the campus. |
| Part V, Line 4: | The primary role of the endowment is to advance the research mission of the University through support of the annual operating budget. The Investment Committee of the Board of Trustees is responsible for overseeing the endowment. With the support of the Office of Investments, the Committee is responsible for establishing the endowments investment policy and asset allocation; retaining and overseeing external investment managers; and monitoring the implementation and performance of the investment program. The endowments assets are invested in marketable securities, including U.S. and non-U.S. equity and fixed income securities, and private investments, including venture capital, private equity and real assets. The assets are invested by external investment managers through separate accounts or through commingled vehicles, including funds, trusts and limited partnerships. |
| Part X, Line 2: | The University is exempt from federal income taxes under the provisions of Section 501(c)(3) of the Internal Revenue Code. The University follows the guidance of ASC Subtopic 740 10, Income Taxes - Overall, which addresses accounting for uncertainties in income taxes recognized in an enterprise's financial statements. The University utilizes a threshold of more likely than not for recognition and derecognition of tax positions taken or expected to be taken in a tax return. The University evaluates on an annual basis, the effect of any uncertain tax position on its financial statements. As of June 30, 2021, the University has not identified or provided for any such positions. |
| Part XI, Line 2d - Other Adjustments: | Unrealized Net Gain on Derivative Instruments - $53,385,530 |
| Part XI, Line 4b - Other Adjustments: | Royalty payments (netted in Financials) - $9,727,733 |
| Part XII, Line 2d - Other Adjustments: | RU Faculty & Students Club, Inc. - NET LOSS - $151,304 Postretirement related changes - $(1,476,000) |
| Part XII, Line 4b - Other Adjustments: | Royalty payments (netted in Financials) - $9,727,733 |
Schedule E IRS990ScheduleE
| Field | Value | IRS element (for citing) |
|---|---|---|
| Nondiscriminatory Policy Stmt | Yes (1) | NondiscriminatoryPolicyStmtInd |
| Policy Stmt In Brochures Etc | Yes (1) | PolicyStmtInBrochuresEtcInd |
| Plcy Pblczd Via Broadcast Media | Yes (1) | PlcyPblczdViaBroadcastMediaInd |
| Maintain Racial Comp Recs | Yes (1) | MaintainRacialCompRecsInd |
| Maintain Scholarships Recs | Yes (1) | MaintainScholarshipsRecsInd |
| Maintain Cpy Of Brochures Etc | Yes (1) | MaintainCpyOfBrochuresEtcInd |
| Maintain Cpy Of All Sol | Yes (1) | MaintainCpyOfAllSolInd |
| Discriminate Race Stdnts Rghts | 0 | DiscriminateRaceStdntsRghtsInd |
| Discriminate Race Admiss Plcy | 0 | DiscriminateRaceAdmissPlcyInd |
| Discriminate Race Emplm Fculty | 0 | DiscriminateRaceEmplmFcultyInd |
| Discriminate Race Schs | 0 | DiscriminateRaceSchsInd |
| Discriminate Race Educ Plcy | 0 | DiscriminateRaceEducPlcyInd |
| Discriminate Race Use Of Fclts | 0 | DiscriminateRaceUseOfFcltsInd |
| Discriminate Race Athlt Prog | 0 | DiscriminateRaceAthltProgInd |
| Discriminate Race Other Acty | 0 | DiscriminateRaceOtherActyInd |
| Government Financial Aid Rcvd | Yes (1) | GovernmentFinancialAidRcvdInd |
| Government Financial Aid Rvkd | 0 | GovernmentFinancialAidRvkdInd |
| Compliance With Rev Proc7550 | Yes (1) | ComplianceWithRevProc7550Ind |
Supplemental Information Detail SupplementalInformationDetail (2 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| Schedule E, Part I, Line 3 | It is the policy of The Rockefeller University to support equality of educational and employment opportunity. No individual shall be discriminated against with respect to admission, access, or employment in or to any University program or activity on the basis of race, color, national origin, religion, sex (including gender, gender identity, gender expression, pregnancy, and sexual harassment), disability, age, citizenship status, military status, marital or partnership status, sexual orientation, genetic information, or any other characteristic protected by law. The Rockefeller University is committed to the maintenance of affirmative action programs that will assure the continuation of such equality of opportunity. |
| Schedule E, Part I, Line 6 | The University receives financial assistance from the State of New York under the Bundy Aid Program. |
Schedule F IRS990ScheduleF
Account Activities Outside US AccountActivitiesOutsideUSGrp (12 entries)
| RegionRegionTxt | Type Of Activities ConductedTypeOfActivitiesConductedTxt | Region Total ExpendituresRegionTotalExpendituresAmt | Specific Services ProvidedSpecificServicesProvidedTxt |
|---|---|---|---|
| Europe (Including Iceland & Greenland) - | Investments | $125,127,131 | |
| Central America & Caribbean | Investments | $1,095,387,830 | |
| North America | Investments | $16,399,396 | |
| Central America & Caribbean | Program | $10,714 | Research related travel |
| East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, | Investments | $54,581,647 | |
| East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, | Program | $209,528 | Research related travel |
| Europe (Including Iceland & Greenland) - Albania, Andorra, Austria, Belgium | Program | $946,780 | Research related travel |
| Middle East and North Africa - Algeria, Bahrain, Djibouti, Egypt, | Program | $48,619 | Research related travel |
| North America - Canada and Mexico, but not the United States | Program | $72,589 | Research related travel |
| South America - Argentina, Bolivia, Brazil, Chile, Columbia, Ecuador, | Program | $29,167 | Research related travel |
| South Asia - Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, | Program | $15,152 | Research related travel |
| Sub-Saharan Africa - Angola, Benin, Botswana, Burkina Faso, | Program | $14,645 | Research related travel |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Subtotal Offices | 0 | SubtotalOfficesCnt |
| Subtotal Employees | 0 | SubtotalEmployeesCnt |
| Continuation Total Office | 0 | ContinuationTotalOfficeCnt |
| Continuation Total Employee | 0 | ContinuationTotalEmployeeCnt |
| Total Office | 0 | TotalOfficeCnt |
| Total Employee | 0 | TotalEmployeeCnt |
| Subtotal Spent | $1,292,711,645 | SubtotalSpentAmt |
| Continuation Spent | $131,553 | ContinuationSpentAmt |
| Total Spent | $1,292,843,198 | TotalSpentAmt |
| Transfer To Foreign Corp | Yes (1) | TransferToForeignCorpInd |
| Interest In Foreign Trust | 0 | InterestInForeignTrustInd |
| Foreign Corp Ownership | Yes (1) | ForeignCorpOwnershipInd |
| Passive Foreign Investmest Co | Yes (1) | PassiveForeignInvestmestCoInd |
| Foreign Partnership | Yes (1) | ForeignPartnershipInd |
| Boycott Countries | 0 | BoycottCountriesInd |
Supplemental Information Detail SupplementalInformationDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Line Reference | Part III Accounting Method: | FormAndLineReferenceDesc |
Schedule H IRS990ScheduleH
| Field | Value | IRS element (for citing) |
|---|---|---|
| Financial Assistance Policy | 0 | FinancialAssistancePolicyInd |
| Annual Community Bnft Report | Yes (1) | AnnualCommunityBnftReportInd |
| Report Publically Available | Yes (1) | ReportPublicallyAvailableInd |
Research ResearchGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Community Benefit Expns | $15,786,653 | TotalCommunityBenefitExpnsAmt |
| Direct Offsetting Revenue | $4,201,068 | DirectOffsettingRevenueAmt |
| Net Community Benefit Expns | $11,585,585 | NetCommunityBenefitExpnsAmt |
| Total Expense | 0.01980 | TotalExpensePct |
Total Other Benefits TotalOtherBenefitsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Community Benefit Expns | $15,786,653 | TotalCommunityBenefitExpnsAmt |
| Direct Offsetting Revenue | $4,201,068 | DirectOffsettingRevenueAmt |
| Net Community Benefit Expns | $11,585,585 | NetCommunityBenefitExpnsAmt |
| Total Expense | 0.01980 | TotalExpensePct |
Total Community Benefits TotalCommunityBenefitsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Community Benefit Expns | $15,786,653 | TotalCommunityBenefitExpnsAmt |
| Direct Offsetting Revenue | $4,201,068 | DirectOffsettingRevenueAmt |
| Net Community Benefit Expns | $11,585,585 | NetCommunityBenefitExpnsAmt |
| Total Expense | 0.01980 | TotalExpensePct |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bad Debt Expense Reported | 0 | BadDebtExpenseReportedInd |
| Written Debt Collection Policy | 0 | WrittenDebtCollectionPolicyInd |
| Hospital Facilities | 1 | HospitalFacilitiesCnt |
Hospital Facilities HospitalFacilitiesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Facility | 1 | FacilityNum |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | The Rockefeller University Hospital | BusinessNameLine1Txt |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 York Avenue | AddressLine1Txt |
| City | New York | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10065 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Website Address | www.rucares.org | WebsiteAddressTxt |
| Licensed Hospital | Yes (X) | LicensedHospitalInd |
| Research Facility | Yes (X) | ResearchFacilityInd |
| Other | New York State License # - 7002031H | OtherDesc |
Hospital Fclty Policies Prctc HospitalFcltyPoliciesPrctcGrp
Hospital Facility Name HospitalFacilityName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | The Rockefeller University Hospital | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Facility | 1 | FacilityNum |
| First Licensed CY Or PY | 0 | FirstLicensedCYOrPYInd |
| Tax Exempt Hospital CY Or PY | 0 | TaxExemptHospitalCYOrPYInd |
| CHNA Conducted | Yes (1) | CHNAConductedInd |
| Community Definition | Yes (X) | CommunityDefinitionInd |
| Community Demographics | Yes (X) | CommunityDemographicsInd |
| Existing Resources | Yes (X) | ExistingResourcesInd |
| How Data Obtained | Yes (X) | HowDataObtainedInd |
| Community Health Needs | Yes (X) | CommunityHealthNeedsInd |
| Other Health Issues | Yes (X) | OtherHealthIssuesInd |
| Community Hlth Needs Id Process | Yes (X) | CommunityHlthNeedsIdProcessInd |
| Consulting Process | Yes (X) | ConsultingProcessInd |
| Prior CHNA Impact | Yes (X) | PriorCHNAImpactInd |
| CHNA Conducted | 19 | CHNAConductedYr |
| Take Into Account Others Input | Yes (1) | TakeIntoAccountOthersInputInd |
| CHNA Conducted With Other Fclts | 0 | CHNAConductedWithOtherFcltsInd |
| CHNA Conducted With Non Fclts | 0 | CHNAConductedWithNonFcltsInd |
| CHNA Report Widely Available | Yes (1) | CHNAReportWidelyAvailableInd |
| Rpt Available On Own Website | Yes (X) | RptAvailableOnOwnWebsiteInd |
| Own Website URL | www.rucares.org | OwnWebsiteURLTxt |
| Paper Copy Public Inspection | Yes (X) | PaperCopyPublicInspectionInd |
| Implementation Strategy Adopt | Yes (1) | ImplementationStrategyAdoptInd |
| Implementation Strategy Adpt | 19 | ImplementationStrategyAdptYr |
| Strategy Posted Website | Yes (1) | StrategyPostedWebsiteInd |
| Strategy Website URL | www.rucares.org | StrategyWebsiteURLTxt |
| Organization Incur Excise Tax | 0 | OrganizationIncurExciseTaxInd |
| Elig Criteria Explained | 0 | EligCriteriaExplainedInd |
| Explained Basis | 0 | ExplainedBasisInd |
| App Financial Asst Expln | 0 | AppFinancialAsstExplnInd |
| Includes Publicity Measures | 0 | IncludesPublicityMeasuresInd |
| FAP Actions On Nonpayment | 0 | FAPActionsOnNonpaymentInd |
| Collection Activities | 0 | CollectionActivitiesInd |
| Nondis Emergency Care Policy | Yes (1) | NondisEmergencyCarePolicyInd |
| Amounts Generally Billed | 0 | AmountsGenerallyBilledInd |
| Gross Charges | 0 | GrossChargesInd |
Supplemental Information SupplementalInformationGrp (2 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| Part V, Section A: | The Rockefeller University Hospital exists solely to conduct clinical research. The specialized personnel and other resources available at the Hospital facilitate clinical research for both the investigator and the research participant. The Hospital's facilities include a licensed 40 bed inpatient unit (12 beds are active) which operates 24 hours a day, 365 days a year. All patient rooms are single occupancy, private accommodations. Specialized facilities include a four-room procedure suite, suitable for endoscopy and biopsy procedures; and an inpatient wireless telemetry system that can remotely monitor any 4 beds at a time. The Robert & Harriet Heilbrunn Outpatient Research Center opened in January 2003 and includes 9 exam rooms, 2 consultation rooms, and 2 phlebotomy rooms, as well as other patient and staff facilities. The Outpatient Research Center is open weekdays from 7AM to 5PM. The Rockefeller University Hospital and Center for Clinical and Translational Science is particularly suitable to conducting studies involving moderate and low acuity patients, as well as high-intensity, high-complexity protocols such as pharmacokinetics and metabolic studies. The Hospital's strengths include a specialized Research Bionutrition Department, Radiology Suite, an on-site Research Pharmacy, and facilities to support long-stay inpatient studies, including a recreation area which offers participants video and computer activities in a safe and comfortable environment. Full clinical laboratory services are provided via contract with Memorial-Sloan Kettering Cancer Center; Radiology and EKG interpretations are provided by arrangement with New York-Presbyterian Hospital; on-site apheresis services are provided by contract. The Hospital is licensed by the State of New York. |
| The Rockefeller University Hospital | Part V, Section B, Line 11: Part V, Section B, lines 5 and 11See Part VI for Community Building Activities |
Supplemental Information Detail SupplementalInformationDetail (7 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| Part II, Community Building Activities: | The Rockefeller University Hospital is located on the Upper East Side of Manhattan in Community District 8. The Rockefeller University Hospital is a unique institution. As an institution solely committed to conducting clinical research our community/service area is defined as the New York Metropolitan Area. The Rockefeller University Hospital has provided an array of clinical research and patient care services since its founding in 1910. The Rockefeller University Hospital community served/service area is determined based on research being conducted. Principal Investigators identify an area of interest and submit a protocol for review and approval by our institutional review board. If and when the protocol is approved, our recruitment office works with the investigator to develop and submit advertisements in local newspapers, magazines and online. Identification of lucrative places to advertise is determined by current trends in readership among local newspapers, magazines and visits to particular websites such as Craigslist and Facebook. Research participants are culled from all over New York City as well as through collaborations with neighboring hospitals, Universities, and clinics. As a result, our enrolled research participant demographics are similar to those of New York City overall. In calendar year 2020 18% of research participants identified as Hispanic, 33% identified as Black or African-American and 43% identified as white (RUH subject race and ethnicity report 2020), which is similar to the geographic makeup of New York City (42.7% white, 24.3% Black or African-American, and 29.1% Hispanic). Source: https://www.census.gov/quickfacts/fact/table/newyorkcitynewyork# |
| Part III, Line 9b: | THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT HAVE ANY NET PATIENT SERVICE REVENUE AS IT DOES NOT CHARGE ITS PATIENTS. THE PATIENTS ARE SUBJECT VOLUNTEERS WHO GET PAID A STIPEND FOR CERTAIN CLINICAL TRIALS THAT ARE PERFORMED ON A ROUTINE BASIS. |
| Part VI, Line 2: | Volunteers (patients) who consent to participate in research studies (protocols) are treated without charge. Unlike most hospitals, the Rockefeller University Hospital does not routinely provide standard diagnostic and treatment services. Admission is selective; research participants (patients) are enrolled in studies by hospital Licensed Independent Practitioners (LIP's) solely because they meet the inclusion criteria of the illness or condition being studied, or because they are healthy volunteers and are also needed for study. Thus, all research participants are volunteers, and as such are important partners in the research process. Without volunteers, significant advances in biomedical knowledge could not otherwise be achieved. |
| Part VI, Line 3: | The Rockefeller University Hospital conducts research funded primarily by a subsidy from The Rockefeller University. All research participants (patients) are voluntary research subjects who are not charged for their participation in clinical research studies at the Rockefeller University Hospital. In the process of performing patient-oriented research, the need for medically indicated and thus potentially reimbursable care could arise; however, the hospital does not bill patients or their insurance companies for such service. The Rockefeller University Hospital does not collect insurance information from research participants outside of the requesting the type of insurance they have. We only ask that they self-report if they are insured or uninsured. If a research participant (patient) needs access to social services, and any additional ancillary services not part of the research protocol the Rockefeller University Hospital provides access to social services to help research participants access care externally should the need arise. All research participants (patients) are aware and are told during the consent process when they agree to participate in a research protocol that there are no fees for services rendered. |
| Part VI, Line 4: | The Rockefeller University Hospital is located on the Upper East Side of Manhattan in Community District 8. The Rockefeller University Hospital is a unique institution. As an institution committed to conducting clinical research, our community/service area is defined as the New York Metropolitan Area. The Rockefeller University Hospital has provided an array of clinical research and patient care services since its founding in 1910. Research participants are culled from all over New York City through collaborations with neighboring hospitals, Universities, and clinics. Patients with rare disease that are being studied at Rockefeller come from all over the world. As an institution that provides services to volunteers who have agreed to participate in a research study our participant demographics generally follow those of New York City, which is 42.7% white, 24.3% Black or African-American, and 29% Hispanic (https://www.census.gov/quickfacts/fact/table/newyorkcitynewyork#). In calendar year 2020 18% of research participants identified as Hispanic, 33% identified as Black or African American and 43% identified as white (RUH subject race and ethnicity report 2020). The Rockefeller University Hospital is owned by the University and is licensed for 40 inpatient beds for clinical research. The Hospital provides researchers with an opportunity to conduct clinical studies and offers both normal volunteers and people with diseases under study the opportunity to stay in the hospital and help to contribute to important advances in science. The Hospital has an inpatient unit as well as an outpatient center where prospective patients are screened, and many outpatient studies are conducted. Medical services, surgical services, emergency care, specialized care and ambulatory care are provided by New York Presbyterian Hospital. In addition, cancer care, education and research are provided by Memorial Sloan-Kettering Cancer Center. Both institutions are located adjacent to Rockefeller University Hospital. The Rockefeller University Hospital does not generally provide medical care for research participants beyond that needed for participation in the research study. Should a research participant become acutely and severely ill, they are immediately transferred to New York Presbyterian Hospital since they are equipped to respond to the health needs of the community. The Hospital is staffed 24 hours a day with professional nurses and on-call physicians and has nutritional research services, social work, and a radiology suite, as well as a sophisticated research pharmacy. The staff Research Hospitalist provides additional medical support to the clinical research teams. Social service needs, primary and chronic disease needs, and health issues of uninsured, low-income, and minority group persons are assessed by an on-site social worker. The social worker then refers research participants based on needs to local institutions that can provide resources. In 2020 The Rockefeller University Hospital had approximately 105 inpatient days (18 admissions) and more than 1,800 outpatient visits. Five research studies were conducted in the hospital's inpatient unit and 38 studies were conducted in the outpatient research center. |
| Part VI, Line 5: | The Rockefeller University Hospital conducted a virtual community health needs assessment in the spring of 2019 to determine health concerns of research participants and New York City residents. We reviewed and analyzed data provided by the New York State Department of Health and The New York City Department of Health and Mental Hygiene community health profiles for New York City with an in-depth look at health needs of the community in District 8 where Rockefeller University Hospital is located. This allowed us to review key health trends among New York City residents, as well as residents located near our research hospital. New York City and Upper East Side residents identified the following health concerns: " Heart Disease" Cancer " Flu/pneumonia" Stroke" Rent Burden" Obesity The New York Metropolitan area has an array of health needs based on geographic location and socioeconomic status. According to the New York City Department of Health and Mental Hygiene, 22.2% of New York City adults considered themselves to be in fair or poor health (2014.https://a81healthpsi.nyc.gov/epiquery/CHS/CHSXIndex.html). Chronic diseases such as diabetes, hypertension, and obesity continue to severely affect the community we serve. Nearly 1.8 million adult New Yorkers reported having hypertension, an increase of approximately 11% of the total population since 2004, and more than 24 percent of New York City residents are identified as overweight or obese (Community Health Profiles-2016 Atlas. http://www1.nyc.gov/assets/doh/downloads/pdf/tcny/community-health-assessment-plan.pdf). More than 25 percent of research participants are uninsured and do not have a primary care physician to monitor their chronic diseases. Participants tend to seek care at the emergency room with no follow-up care to track disease progression. Although The Rockefeller University Hospital does not provide direct care to research participants outside of the research protocol, the health of our participants is our highest priority. In addition to providing care as per the protocols free of charge, we identify resources and services to ensure access to support services and medical facilities outside of our hospital to meet the health needs of our participant community. The Rockefeller University Hospital has a social worker on staff to conduct one-on-one consultations with, and assessments of, research participants to determine their needs and identify outside resources that can further assist them in receiving the care they require. As part of this service, The Rockefeller University Hospital maintains strong relationship with organizations in the New York Metropolitan area that can provide these ancillary services to expedite referrals. |
| Part VI, Line 6: | The Rockefeller University Hospital is not part of an affiliated health care system. |
Schedule I IRS990ScheduleI
| Field | Value | IRS element (for citing) |
|---|---|---|
| Grant Records Maintained | Yes (1) | GrantRecordsMaintainedInd |
Grants Other Asst To Indiv In US GrantsOtherAsstToIndivInUSGrp (2 entries)
| Grant TypeGrantTypeTxt | RecipientRecipientCnt | Cash GrantCashGrantAmt |
|---|---|---|
| FELLOWSHIPS | 101 | $3,914,355 |
| RESEARCH STIPENDS | 191 | $7,635,503 |
Supplemental Information Detail SupplementalInformationDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Line Reference | Part I, Line 2: | FormAndLineReferenceDesc |
| Explanation | Stipends and research fellowships are funds paid to offset living expenses for trainees while they further their education at Rockefeller. These amounts are not considered salary or wages given in consideration for specific job duties nor are they grants given in anticipation of specific scientific achievements on the individuals parts. There is no restriction on the use of the funds once they are received by the trainees. | ExplanationTxt |
Schedule J IRS990ScheduleJ
| Field | Value | IRS element (for citing) |
|---|---|---|
| Housing Allowance Or Residence | Yes (X) | HousingAllowanceOrResidenceInd |
| Written Policy Ref T And E Expnss | Yes (1) | WrittenPolicyRefTAndEExpnssInd |
| Substantiation Required | Yes (1) | SubstantiationRequiredInd |
| Compensation Committee | Yes (X) | CompensationCommitteeInd |
| Independent Consultant | Yes (X) | IndependentConsultantInd |
| Form990 Of Other Organizations | Yes (X) | Form990OfOtherOrganizationsInd |
| Compensation Survey | Yes (X) | CompensationSurveyInd |
| Board Or Committee Approval | Yes (X) | BoardOrCommitteeApprovalInd |
| Severance Payment | 0 | SeverancePaymentInd |
| Supplemental Nonqual Rtr Plan | Yes (1) | SupplementalNonqualRtrPlanInd |
| Equity Based Comp Arrngm | 0 | EquityBasedCompArrngmInd |
| Comp Based On Revenue Of Flng Org | Yes (1) | CompBasedOnRevenueOfFlngOrgInd |
| Comp Bsd On Rev Related Orgs | 0 | CompBsdOnRevRelatedOrgsInd |
| Comp Bsd Net Earns Flng Org | 0 | CompBsdNetEarnsFlngOrgInd |
| Comp Bsd Net Earns Rltd Orgs | 0 | CompBsdNetEarnsRltdOrgsInd |
| Any Non Fixed Payments | Yes (1) | AnyNonFixedPaymentsInd |
| Initial Contract Exception | 0 | InitialContractExceptionInd |
Rltd Org Officer Trst Key Empl RltdOrgOfficerTrstKeyEmplGrp (17 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Amy Falls Till 42021 | ||||||||||||||
| VP & CIO | $606,900 | $0 | $648,103 | $0 | $184,045 | $0 | $334,566 | $0 | $51,909 | $0 | $1,825,523 | $0 | $344,652 | $0 |
| Richard P Lifton MD PhD | ||||||||||||||
| President | $1,022,100 | $0 | $0 | $0 | $148,098 | $0 | $49,122 | $0 | $181,584 | $0 | $1,400,904 | $0 | $0 | $0 |
| Thomas Lenehan Till 122020 | ||||||||||||||
| Deputy CIO | $384,100 | $0 | $423,911 | $0 | $103,772 | $0 | $31,037 | $0 | $51,837 | $0 | $994,657 | $0 | $231,861 | $0 |
| Michael Young | ||||||||||||||
| VP, Academic Affairs | $610,000 | $0 | $0 | $0 | $87,207 | $0 | $49,053 | $0 | $41,112 | $0 | $787,372 | $0 | $0 | $0 |
| Maren Imhoff | ||||||||||||||
| SVP, Development | $624,600 | $0 | $0 | $0 | $64,710 | $0 | $49,049 | $0 | $41,112 | $0 | $779,471 | $0 | $0 | $0 |
| Barry Coller | ||||||||||||||
| VP & Physician-in-Chief | $601,510 | $0 | $0 | $0 | $65,596 | $0 | $49,067 | $0 | $41,112 | $0 | $757,285 | $0 | $0 | $0 |
| Timothy O'Connor | ||||||||||||||
| Executive Vice President | $573,700 | $0 | $0 | $0 | $54,076 | $0 | $49,094 | $0 | $41,112 | $0 | $717,982 | $0 | $0 | $0 |
| Robert Roeder | ||||||||||||||
| Professor, Head of Laborat | $496,890 | $0 | $0 | $0 | $90,722 | $0 | $48,988 | $0 | $51,909 | $0 | $688,509 | $0 | $0 | $0 |
| Thomas Sakmar | ||||||||||||||
| Professor, Head of Laborat | $411,500 | $0 | $75,000 | $0 | $70,321 | $0 | $48,924 | $0 | $51,909 | $0 | $657,654 | $0 | $0 | $0 |
| James Lapple | ||||||||||||||
| VP, Finance & Treasurer | $500,000 | $0 | $0 | $0 | $46,086 | $0 | $49,073 | $0 | $21,802 | $0 | $616,961 | $0 | $0 | $0 |
| Virginia Huffman | ||||||||||||||
| VP, Human Resources | $439,100 | $0 | $0 | $0 | $74,595 | $0 | $49,010 | $0 | $41,112 | $0 | $603,817 | $0 | $0 | $0 |
| David Allis | ||||||||||||||
| Professor, Head of Laborat | $475,000 | $0 | $0 | $0 | $37,298 | $0 | $49,063 | $0 | $41,112 | $0 | $602,473 | $0 | $0 | $0 |
| Charles M Rice | ||||||||||||||
| Professor, Head of Laborat | $475,000 | $0 | $0 | $0 | $42,249 | $0 | $49,114 | $0 | $21,802 | $0 | $588,165 | $0 | $0 | $0 |
| Deborah Yeoh | ||||||||||||||
| VP & General Counsel | $500,000 | $0 | $0 | $0 | $26,021 | $0 | $31,074 | $0 | $29,364 | $0 | $586,459 | $0 | $0 | $0 |
| Sidney Strickland | ||||||||||||||
| VP, Education Affairs | $421,500 | $0 | $0 | $0 | $32,954 | $0 | $49,066 | $0 | $41,112 | $0 | $544,632 | $0 | $0 | $0 |
| Roberta Maloney Till 92020 | ||||||||||||||
| Asst. VP, Finance | $258,594 | $0 | $0 | $0 | -$5,027 | $0 | $35,839 | $0 | $38,462 | $0 | $327,868 | $0 | $0 | $0 |
| Theresa Desmond | ||||||||||||||
| Spec. Asst/Corp Secretary | $200,000 | $0 | $0 | $0 | -$2,168 | $0 | $32,000 | $0 | $19,384 | $0 | $249,216 | $0 | $0 | $0 |
Supplemental Information Detail SupplementalInformationDetail (4 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| Part I, Line 1a | The University provides a residence for the President on campus. The residence is a condition of employment as stated in the President's appointment letter. The house is provided to enable the President to be on campus 24/7 in order to respond to emergent situations that may arise and for other business purposes. |
| Part I, Line 4b | The University maintains a 457(b) deferred compensation plan for executive level employees. This plan was developed consistent with the 2001 Economic Growth and Tax Relief Reconciliation Act (EGTRRA). The University does not contribute to the plan (employee contributions only). 2020 employee contributions (not included in column B): Virginia Huffman $19,500 Maren Imhoff $19,500 James Lapple $19,500 Richard Lifton $19,500 Roberta Maloney $14,625 Timothy O'Connor $19,500 Charles Rice $19,500 Robert Roeder $19,500 Sidney Strickland $19,500 Michael Young $19,500 Deborah Yeoh $19,500 David Allis $19,500 |
| Part I, Line 5 | The University maintains a bonus plan for the Chief Investment Officer and the Deputy Chief Investment Officer which is partially based upon the fiscal year return of the University's endowment in addition to other quantitative and qualitative measures. The plan was approved by the University's Compensation Committee of the Board of Trustees. The plan was developed using comparative data from similar institutions. For retention purposes, a portion of the annual bonus is deferred and paid in subsequent years. |
| Part I, Line 7 | The University maintains a policy to provide recruitment and retention supplements to faculty as necessary. The purpose of this supplement is to provide an incentive for a candidate to join the University and for incumbent faculty to make Rockefeller their professional home, recognizing the high cost of living in the New York metropolitan area over the course of a whole career. The decision whether to grant a supplement and its size will turn on the exceptional quality of the faculty member's research and the strategic needs of the University, and will be made by the President in the exercise of his discretion. Payments were made to nine interested persons in 2020. These amounts are included in Part II, Column B(iii). |
Schedule K IRS990ScheduleK
Tax Exempt Bonds Issues TaxExemptBondsIssuesGrp (4 entries)
| Bond ReferenceBondReferenceCd | Bond Issuer EINBondIssuerEIN | CUSIPCUSIPNum | Bond IssuedBondIssuedDt | Issue PriceIssuePriceAmt | PurposePurposeDesc | DefeasedDefeasedInd | On Behalf Of IssuerOnBehalfOfIssuerInd | Pool FinancingPoolFinancingInd |
|---|---|---|---|---|---|---|---|---|
| Dormitory Authority of the State of New York (issue date 013108) | ||||||||
| A | 146000293 | 649903YA3 | 2008-01-31 | $103,215,000 | Const. & renov. of campus | 0 | 0 | 0 |
| Dormitory Authority of the State of New York (issue date 030812) | ||||||||
| B | 146000293 | 649906RZ9 | 2012-03-08 | $30,018,979 | Current Refunding | 0 | 0 | 0 |
| Dormitory Authority of the State of New York (issue date 040412) | ||||||||
| C | 146000293 | 649906SB1 | 2012-04-04 | $56,441,595 | Current Refunding | 0 | 0 | 0 |
| Dormitory Authority of the State of New York (issue date 052015) | ||||||||
| D | 146000293 | 000000000 | 2015-05-20 | $163,190,000 | Current Refunding & const & renov of campus | 0 | 0 | 0 |
Tax Exempt Bonds Proceeds TaxExemptBondsProceedsGrp (4 entries)
| Bond ReferenceBondReferenceCd | Total ProceedsTotalProceedsAmt | Issuance Costs From ProceedsIssuanceCostsFromProceedsAmt | Capital ExpendituresCapitalExpendituresAmt | Substantial CompletionSubstantialCompletionYr | Refunding Tax Exempt BondsRefundingTaxExemptBondsInd | Refunding Taxable BondsRefundingTaxableBondsInd | Final Allocation MadeFinalAllocationMadeInd | Adequate Books And Rec MaintAdequateBooksAndRecMaintInd | Other Spent ProceedsOtherSpentProceedsAmt |
|---|---|---|---|---|---|---|---|---|---|
| A | $104,734,474 | $641,319 | $104,093,155 | 2012 | 0 | 0 | Yes (1) | Yes (1) | |
| B | $30,018,979 | $390,846 | $257,954 | 1998 | Yes (1) | 0 | Yes (1) | Yes (1) | $29,370,179 |
| C | $56,441,595 | $321,511 | $465,580 | 2002 | Yes (1) | 0 | Yes (1) | Yes (1) | $55,654,504 |
| D | $163,373,239 | $465,000 | $100,258,239 | 2015 | Yes (1) | 0 | Yes (1) | Yes (1) | $62,650,000 |
Tax Exempt Bonds Private Bus Use TaxExemptBondsPrivateBusUseGrp (4 entries)
| Bond ReferenceBondReferenceCd | Owning Bond Financed PropertyOwningBondFinancedPropertyInd | Any Lease ArrangementsAnyLeaseArrangementsInd | Mgmt Contract Bond Fincd PropMgmtContractBondFincdPropInd | Any Research AgreementsAnyResearchAgreementsInd | Engage Bond Counsel ResearchEngageBondCounselResearchInd | Private Bus Use By OthersPrivateBusUseByOthersPct | Private Bus Concerning UBIPrivateBusConcerningUBIPct | Total Private Business UseTotalPrivateBusinessUsePct | Bond Iss Meet Prvt Sec Pymt TestBondIssMeetPrvtSecPymtTestInd | Change In Use Bond Financed PropChangeInUseBondFinancedPropInd | Procs Nonqualified Bond RemdtdProcsNonqualifiedBondRemdtdInd |
|---|---|---|---|---|---|---|---|---|---|---|---|
| A | 0 | 0 | 0 | Yes (1) | Yes (1) | 0.00000 | 0.00000 | 0.00000 | 0 | 0 | Yes (1) |
| B | 0 | 0 | 0 | Yes (1) | Yes (1) | 0.00000 | 0.00000 | 0.00000 | 0 | 0 | Yes (1) |
| C | 0 | 0 | 0 | Yes (1) | Yes (1) | 0.00000 | 0.00000 | 0.00000 | 0 | 0 | Yes (1) |
| D | 0 | 0 | 0 | Yes (1) | Yes (1) | 0.00000 | 0.00000 | 0.00000 | 0 | 0 | Yes (1) |
Tax Exempt Bonds Arbitrage TaxExemptBondsArbitrageGrp (4 entries)
| Bond ReferenceBondReferenceCd | Form8038 T FiledForm8038TFiledInd | Rebate Not Due YetRebateNotDueYetInd | Exception To RebateExceptionToRebateInd | No Rebate DueNoRebateDueInd | Variable Rate IssueVariableRateIssueInd | Hedge Identified In Bks And RecHedgeIdentifiedInBksAndRecInd | Gross Proceeds Invested In GICGrossProceedsInvestedInGICInd | Gross Proceeds InvestedGrossProceedsInvestedInd | Written Proc To Monitor ReqsWrittenProcToMonitorReqsInd |
|---|---|---|---|---|---|---|---|---|---|
| A | 0 | 0 | Yes (1) | Yes (1) | Yes (1) | 0 | 0 | 0 | Yes (1) |
| B | 0 | Yes (1) | Yes (1) | Yes (1) | 0 | 0 | 0 | 0 | Yes (1) |
| C | 0 | Yes (1) | Yes (1) | Yes (1) | 0 | 0 | 0 | 0 | Yes (1) |
| D | 0 | Yes (1) | Yes (1) | Yes (1) | Yes (1) | 0 | 0 | 0 | Yes (1) |
Procedures Corrective Action ProceduresCorrectiveActionGrp (4 entries)
| Bond ReferenceBondReferenceCd | Procedures Corrective ActionProceduresCorrectiveActionInd |
|---|---|
| A | Yes (1) |
| B | Yes (1) |
| C | Yes (1) |
| D | Yes (1) |
Supplemental Information Detail SupplementalInformationDetail (5 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| Date Rebate Computation Performed | Issuer Name: Dormitory Authority of the State of New York (issue date 01/31 Date the Rebate Computation was Performed: 02/01/2011 Issuer Name: Dormitory Authority of the State of New York (issue date 03/08 Date the Rebate Computation was Performed: 09/27/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 04/04 Date the Rebate Computation was Performed: 09/27/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 05/20 Date the Rebate Computation was Performed: 05/20/2017 Issuer Name: dormitory Authority of the State of New York (issue date 08/3/ Date the Rebate Computation was Performed: 04/08/2019 Issuer Name: Dormitory Authority of the State of New York (issue date 12/11 Date the Rebate Computation was Performed: 11/13/2021 Issuer Name: Dormitory Authority of the State of New York (issue date 11/26 Date the Rebate Computation was Performed: 11/13/2021 Issuer Name: Dormitory Authority of the State of New York (issue date 04/30 Date the Rebate Computation was Performed: 11/13/2021 |
| Part II - line 3 - Total Proceeds (Issue date 1/31/2008) | Total Proceeds includes issue price ($103,215,000) + investment income ($1,519,474) |
| Part II - line 3 - Total Proceeds (Issue date 5/20/2015) | Total proceeds include issue price ($163,190,000) plus investment income ($183,239) |
| Part II - line 3 - Total Proceeds (Issue date 11/26/2019) | Total proceeds include issue price ($190,862,275) + investment income ($129,215) |
| Part II - line 3 - Total Proceeds (Issue date 4/30/2020) | Total proceeds include issue price ($50,966,897) + investment income ($6,091) |
Schedule K IRS990ScheduleK
Tax Exempt Bonds Issues TaxExemptBondsIssuesGrp (4 entries)
| Bond ReferenceBondReferenceCd | Bond Issuer EINBondIssuerEIN | CUSIPCUSIPNum | Bond IssuedBondIssuedDt | Issue PriceIssuePriceAmt | PurposePurposeDesc | DefeasedDefeasedInd | On Behalf Of IssuerOnBehalfOfIssuerInd | Pool FinancingPoolFinancingInd |
|---|---|---|---|---|---|---|---|---|
| dormitory Authority of the State of New York (issue date 08317) | ||||||||
| A | 146000293 | 000000000 | 2017-08-03 | $100,445,000 | Current Refunding | 0 | 0 | 0 |
| Dormitory Authority of the State of New York (issue date 121119) | ||||||||
| B | 146000293 | 64990GWX6 | 2019-12-11 | $59,618,654 | Current Refunding | 0 | 0 | 0 |
| Dormitory Authority of the State of New York (issue date 112619) | ||||||||
| C | 146000293 | 64990GVH2 | 2019-11-26 | $190,862,275 | Current Refunding & const & renov of campus | 0 | 0 | 0 |
| Dormitory Authority of the State of New York (issue date 043020) | ||||||||
| D | 146000293 | 64990GF21 | 2020-04-30 | $50,966,897 | Current Refunding | 0 | 0 | 0 |
Tax Exempt Bonds Proceeds TaxExemptBondsProceedsGrp (4 entries)
| Bond ReferenceBondReferenceCd | Total ProceedsTotalProceedsAmt | Issuance Costs From ProceedsIssuanceCostsFromProceedsAmt | Capital ExpendituresCapitalExpendituresAmt | Other Spent ProceedsOtherSpentProceedsAmt | Substantial CompletionSubstantialCompletionYr | Refunding Tax Exempt BondsRefundingTaxExemptBondsInd | Refunding Taxable BondsRefundingTaxableBondsInd | Final Allocation MadeFinalAllocationMadeInd | Adequate Books And Rec MaintAdequateBooksAndRecMaintInd |
|---|---|---|---|---|---|---|---|---|---|
| A | $100,445,000 | $320,000 | $125,000 | $100,000,000 | 2012 | Yes (1) | 0 | Yes (1) | Yes (1) |
| B | $59,618,654 | $297,306 | $29,047 | $59,292,301 | 1998 | Yes (1) | 0 | Yes (1) | Yes (1) |
| C | $190,991,490 | $897,959 | $90,095,953 | $99,997,578 | 2019 | Yes (1) | 0 | Yes (1) | Yes (1) |
| D | $50,972,988 | $425,789 | $125,000 | $50,422,199 | 2012 | Yes (1) | 0 | Yes (1) | Yes (1) |
Tax Exempt Bonds Private Bus Use TaxExemptBondsPrivateBusUseGrp (4 entries)
| Bond ReferenceBondReferenceCd | Owning Bond Financed PropertyOwningBondFinancedPropertyInd | Any Lease ArrangementsAnyLeaseArrangementsInd | Mgmt Contract Bond Fincd PropMgmtContractBondFincdPropInd | Any Research AgreementsAnyResearchAgreementsInd | Engage Bond Counsel ResearchEngageBondCounselResearchInd | Private Bus Use By OthersPrivateBusUseByOthersPct | Private Bus Concerning UBIPrivateBusConcerningUBIPct | Total Private Business UseTotalPrivateBusinessUsePct | Bond Iss Meet Prvt Sec Pymt TestBondIssMeetPrvtSecPymtTestInd | Change In Use Bond Financed PropChangeInUseBondFinancedPropInd | Procs Nonqualified Bond RemdtdProcsNonqualifiedBondRemdtdInd |
|---|---|---|---|---|---|---|---|---|---|---|---|
| A | 0 | 0 | 0 | Yes (1) | Yes (1) | 0.00000 | 0.00000 | 0.00000 | 0 | 0 | Yes (1) |
| B | 0 | 0 | 0 | Yes (1) | Yes (1) | 0.00000 | 0.00000 | 0.00000 | 0 | 0 | Yes (1) |
| C | 0 | 0 | 0 | Yes (1) | Yes (1) | 0.00000 | 0.00000 | 0.00000 | 0 | 0 | Yes (1) |
| D | 0 | 0 | 0 | Yes (1) | Yes (1) | 0.00000 | 0.00000 | 0.00000 | 0 | 0 | Yes (1) |
Tax Exempt Bonds Arbitrage TaxExemptBondsArbitrageGrp (4 entries)
| Bond ReferenceBondReferenceCd | Form8038 T FiledForm8038TFiledInd | Rebate Not Due YetRebateNotDueYetInd | Exception To RebateExceptionToRebateInd | No Rebate DueNoRebateDueInd | Variable Rate IssueVariableRateIssueInd | Hedge Identified In Bks And RecHedgeIdentifiedInBksAndRecInd | Gross Proceeds Invested In GICGrossProceedsInvestedInGICInd | Gross Proceeds InvestedGrossProceedsInvestedInd | Written Proc To Monitor ReqsWrittenProcToMonitorReqsInd |
|---|---|---|---|---|---|---|---|---|---|
| A | 0 | Yes (1) | Yes (1) | Yes (1) | Yes (1) | 0 | 0 | 0 | Yes (1) |
| B | 0 | Yes (1) | Yes (1) | Yes (1) | 0 | 0 | 0 | 0 | Yes (1) |
| C | 0 | Yes (1) | Yes (1) | Yes (1) | 0 | 0 | 0 | 0 | Yes (1) |
| D | 0 | Yes (1) | Yes (1) | Yes (1) | 0 | 0 | 0 | 0 | Yes (1) |
Procedures Corrective Action ProceduresCorrectiveActionGrp (4 entries)
| Bond ReferenceBondReferenceCd | Procedures Corrective ActionProceduresCorrectiveActionInd |
|---|---|
| A | Yes (1) |
| B | Yes (1) |
| C | Yes (1) |
| D | Yes (1) |
Schedule L IRS990ScheduleL
Loans Btwn Org Interested Prsn LoansBtwnOrgInterestedPrsnGrp (9 entries)
| Relationship With OrgRelationshipWithOrgTxt | Loan PurposeLoanPurposeTxt | Loan From OrganizationLoanFromOrganizationInd | Original PrincipalOriginalPrincipalAmt | Balance DueBalanceDueAmt | DefaultDefaultInd | Board Or Committee ApprovalBoardOrCommitteeApprovalInd | Written AgreementWrittenAgreementInd |
|---|---|---|---|---|---|---|---|
| Virginia Huffman | |||||||
| Officer | Mortgage Loan | Yes (X) | $234,000 | $200,399 | 0 | Yes (1) | Yes (1) |
| Maren I Imhoff | |||||||
| Officer | Mortgage Loan | Yes (X) | $300,000 | $92,008 | 0 | Yes (1) | Yes (1) |
| James Lapple | |||||||
| Officer | Mortgage Loan | Yes (X) | $1,100,000 | $1,025,864 | 0 | Yes (1) | Yes (1) |
| Roberta Maloney | |||||||
| Officer | Mortgage Loan | Yes (X) | $502,932 | $143,201 | 0 | Yes (1) | Yes (1) |
| Harriet Rabb | |||||||
| Officer | Mortgage Loan | Yes (X) | $300,000 | $160,870 | 0 | Yes (1) | Yes (1) |
| Sidney Strickland | |||||||
| Officer | Mortgage Loan | Yes (X) | $197,528 | $0 | 0 | Yes (1) | Yes (1) |
| Michael Young | |||||||
| Officer | Mortgage Loan | Yes (X) | $1,238,068 | $903,542 | 0 | Yes (1) | Yes (1) |
| Thomas Sakmar | |||||||
| Employee | Mortgage Loan | Yes (X) | $599,000 | $445,636 | 0 | Yes (1) | Yes (1) |
| Thomas Lenehan | |||||||
| Employee | Mortgage Loan | Yes (X) | $1,000,000 | $988,084 | 0 | Yes (1) | Yes (1) |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Balance Due | $3,959,604 | TotalBalanceDueAmt |
Bus Tr Involve Interested Prsn BusTrInvolveInterestedPrsnGrp
Name Of Interested NameOfInterested
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | David Sze | PersonNm |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Relationship Description | RU Trustee | RelationshipDescriptionTxt |
| Transaction | $283,851 | TransactionAmt |
| Transaction | The Rockefeller University's endowment is an investor in several partnerships where David Sze (RU Trustee) is General Partner or Member of the General Partner. David Sze is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. All transactions are conducted at arms length and at FMV. | TransactionDesc |
| Sharing Of Revenues | 0 | SharingOfRevenuesInd |
Schedule M IRS990ScheduleM
Securities Publicly Traded SecuritiesPubliclyTradedGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | Yes (X) | NonCashCheckboxInd |
| Contribution | 52 | ContributionCnt |
| Noncash Contributions Rpt F990 | $5,706,591 | NoncashContributionsRptF990Amt |
| Method Of Determining Revenues | Fair Market Value | MethodOfDeterminingRevenuesTxt |
Other Non Cash Contri Table OtherNonCashContriTableGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | Yes (X) | NonCashCheckboxInd |
| Desc | Pledges | Desc |
| Contribution | 39 | ContributionCnt |
| Noncash Contributions Rpt F990 | $67,482,948 | NoncashContributionsRptF990Amt |
| Method Of Determining Revenues | Net Present Value | MethodOfDeterminingRevenuesTxt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Any Property That Must Be Held | 0 | AnyPropertyThatMustBeHeldInd |
| Review Process Unusual NC Gifts | Yes (1) | ReviewProcessUnusualNCGiftsInd |
| Third Parties Used | Yes (1) | ThirdPartiesUsedInd |
Supplemental Information Detail SupplementalInformationDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Line Reference | Part I, Line 32b: | FormAndLineReferenceDesc |
| Explanation | The University utilizes a third party to sell gifts of stock that it receives during the fiscal year. | ExplanationTxt |
Schedule O IRS990ScheduleO
Supplemental Information Detail SupplementalInformationDetail (6 entries)
| Form And Line ReferenceFormAndLineReferenceDesc | ExplanationExplanationTxt |
|---|---|
| Form 990, Part VI, Section A, line 2 | Evan Greenberg resigned from the Board in light of his position with Chubb Limited - Chubb Group, an entity with which the University has a dispute. |
| Form 990, Part VI, Section B, line 11b | The Organization made available to the governing Board of Trustees the completed form 990 on a restricted website prior to submission. Any comments or questions pertaining to the form 990 were sent to the Vice President, Finance or a member of the Audit Committee of the Board of Trustees. The Audit Committee of the Board of Trustee reviewed and approved the form 990 prior to its submission. |
| Form 990, Part VI, Section B, line 12c | All members of the University community are covered by the applicable University conflict of interest policies. Trustees, Officers, and Key Employees are covered by the Policy on Business Conflict of Interest and Family/Business Relationships. All other members of the University community are covered by the Conflict of Interest Policy Governing Business Practices. (a) For trustees (including the President), the conflict of interest disclosure form is submitted to the Audit Committee of the Board of Trustees. The Audit Committee, with help from others it may designate, investigates any conflicts or potential conflicts of interest and implements management plans where conflicts or potential conflicts are found to exist. Trustees having made disclosures of current or potential conflict of interest situations may participate in the information-gathering stage of the Audit Committee's review of the disclosures, but will be asked to excuse themselves during the Audit Committee discussion, consideration and vote on the matters in question. (b) For officers and key employees, the conflict of interest disclosure form is submitted to the President. The President, with the help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (c) For heads of laboratory, the conflict of interest disclosure form is submitted to the Vice President for Academic Affairs. The Vice President for Academic Affairs, with help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (d) For all other members of the University community, the conflict of interest disclosure form is submitted to the Vice President for Human Resources. The Vice President for Human Resources, with help from others she may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. |
| Form 990, Part VI, Section B, line 15 | Compensation for the President and Officers is established and approved by the Compensation Committee of the Board of Trustees. Such compensation is established through review of comparability data and contemporaneous documentation of the deliberation and decision. The process includes use of an independent compensation consultant, compensation survey of peer institutions and review of other Form 990s. Specific reviews occur on an annual basis. |
| Form 990, Part VI, Section C, line 19 | Conflict of interest policy and financial statements are available to the public through the University's website. |
| Form 990, Part XI, line 9: | Unrealized Gain on Derivatives - $53,385,530 53,385,530. Postretirement related changes - $ 1,476,000 1,476,000. |
Schedule R IRS990ScheduleR
Id Related Tax Exempt Org IdRelatedTaxExemptOrgGrp
Disregarded Entity Name DisregardedEntityName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | The Rockefeller University Faculty & Students Club Inc | BusinessNameLine1Txt |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 York Avenue | AddressLine1Txt |
| City | New York | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10065 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 136066979 | EIN |
| Primary Activities | Social Club | PrimaryActivitiesTxt |
| Legal Domicile State | NY | LegalDomicileStateCd |
| Exempt Code Section | 501(c)(7) | ExemptCodeSectionTxt |
Direct Controlling Entity Name DirectControllingEntityName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | The Rockefeller University | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Controlled Organization | Yes (1) | ControlledOrganizationInd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Receipt Of Int Annts Rnts Rylts | 0 | ReceiptOfIntAnntsRntsRyltsInd |
| Gift Grnt Or Cap Contri To Oth Org | 0 | GiftGrntOrCapContriToOthOrgInd |
| Gift Grnt Cap Contri From Oth Org | 0 | GiftGrntCapContriFromOthOrgInd |
| Loans Or Guarantees To Other Org | 0 | LoansOrGuaranteesToOtherOrgInd |
| Loans Or Guarantees From Oth Org | 0 | LoansOrGuaranteesFromOthOrgInd |
| Div Related Organization | 0 | DivRelatedOrganizationInd |
| Asset Sale To Other Org | 0 | AssetSaleToOtherOrgInd |
| Asset Purchase From Other Org | 0 | AssetPurchaseFromOtherOrgInd |
| Asset Exchange | 0 | AssetExchangeInd |
| Rental Of Facilities To Oth Org | 0 | RentalOfFacilitiesToOthOrgInd |
| Rental Of Fclts From Oth Org | 0 | RentalOfFcltsFromOthOrgInd |
| Perform Of Services For Oth Org | 0 | PerformOfServicesForOthOrgInd |
| Perform Of Services By Other Org | Yes (1) | PerformOfServicesByOtherOrgInd |
| Sharing Of Facilities | Yes (1) | SharingOfFacilitiesInd |
| Paid Employees Sharing | Yes (1) | PaidEmployeesSharingInd |
| Reimbursement Paid To Other Org | 0 | ReimbursementPaidToOtherOrgInd |
| Reimbursement Paid By Other Org | 0 | ReimbursementPaidByOtherOrgInd |
| Transfer To Other Org | Yes (1) | TransferToOtherOrgInd |
| Transfer From Other Org | 0 | TransferFromOtherOrgInd |
Transactions Related Org TransactionsRelatedOrgGrp (3 entries)
| Transaction TypeTransactionTypeTxt | InvolvedInvolvedAmt | Method Of Amount DeterminationMethodOfAmountDeterminationTxt |
|---|---|---|
| THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC | ||
| M | $75,584 | Cash |
| THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC | ||
| N | $90,635 | Cash |
| THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC | ||
| R | -$14,915 | Cash |
Supplemental Information Detail SupplementalInformationDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Line Reference | Form 990, Schedule R, Part V, #2 | FormAndLineReferenceDesc |
| Explanation | The Rockefeller University Faculty and Students Club, Inc. (the Club) is a 501(c)(7) organization that operates a social Club on the campus of The Rockefeller University. The purpose of the Club is to encourage the friendly association of its members and their guests for scientific and other intellectual discourse, and/or pleasure and recreation. The books and records of the Club are maintained by the University. The University collects annual Club dues on behalf of the Club. The Club also relies on certain University systems in order to operate. The Club has a liability to the University which represents the University's subsidized portion of the Club's operations in the amount of $2,872,629 as of June 30, 2021. | ExplanationTxt |