2022-02-16T08:46:42-06:00 2021-06-30 366055558 Grant Thornton LLP 757 Third Avenue New York NY 100172013 990 2020-07-01 131624158 THE ROCKEFELLER UNIVERSITY ROCK 2123278000 1230 YORK AVENUE NEW YORK NY 100656307 JAMES H LAPPLE VP for Finance, Treasurer 2123278301 2022-02-16 1 JAMES LAPPLE 999009999 P00504182 2125429609 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z Richard P Lifton 1230 York Avenue New York NY 10065 828622616 0 X www.rockefeller.edu X 1901 NY 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. 40 38 1717 0 -1552941 -7590786 176863709 239404552 32531806 29975570 180279702 230010867 65772034 30954711 455447251 530345700 11681244 11549858 0 0 199725366 191030276 0 0 9246153 337902695 382431569 549309305 585011703 -93862054 -54666003 3879645094 4529661441 1417583538 1520746998 2462061556 3008914443 X 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. 0 0 305770492 11549858 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. 15786653 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. 2665808 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. 35296041 29975570 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. 35296041 29975570 359518994 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 0 1 0 0 0 0 0 1 1 0 1 1 1 0 0 0 0 0 1 0 1 0 0 1 0 0 0 0 1 0 1 0 1 X 522 0 1 1717 1 1 1 1 VI CJ UK CA JA LU EI 0 0 0 0 0 0 0 0 1 0 X 40 38 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MICHAEL P VITALE 2123278704 1230 YORK AVENUE NEW YORK NY 100656307 William A Ackman Trustee (resigned 3/9/2021) 2.00 X 0 0 0 Miriam O Adelson MD Trustee 2.00 X 0 0 0 Allen R Adler Trustee (thru 6/2/21) 2.00 X 0 0 0 Karen Akinsanya Trustee (effective 6/2/21) 2.00 X 0 0 0 Holly S Andersen MD Trustee 2.00 X 0 0 0 Robert M Bass Trustee 2.00 X 0 0 0 Edward J Benz Jr MD Trustee (thru 6/2/21) 2.00 X 0 0 0 Scott KH Bessent Trustee 2.00 X 0 0 0 Debra Black Trustee 2.00 X 0 0 0 Eli Casdin Trustee (effective 10/10/21) 2.00 X 0 0 0 Anna M Chapman MD Trustee 2.00 X 0 0 0 Caroline Rivers Curry Trustee 2.00 X 0 0 0 James G Dinan Trustee (effective 11/11/20) 2.00 X 0 0 0 Andreas C Dracopoulos Trustee, Vice Chair 2.00 X 0 0 0 Katherine Farley Trustee 2.00 X 0 0 0 Michael D Fascitelli Trustee, Vice Chair 2.00 X 0 0 0 William E Ford Trustee, Chair 2.00 X 0 0 0 Peter T Grauer Trustee (thru 6/2/21) 2.00 X 0 0 0 Evan G Greenberg Trustee (resigned 7/14/20) 2.00 X 0 0 0 Marlene Hess Trustee, Vice Chair 2.00 X 0 0 0 Michael B Hoffman Trustee 2.00 X 0 0 0 Sandra J Horbach Trustee 2.00 X 0 0 0 William I Huyett Jr Trustee 2.00 X 0 0 0 Weslie R Janeway Trustee 2.00 X 0 0 0 Rebecca A John Trustee (effective 3/10/21) 2.00 X 0 0 0 Joelle Kayden Trustee 2.00 X 0 0 0 Michael M Kellen Trustee 2.00 X 0 0 0 Pablo G Legorreta Trustee 2.00 X 0 0 0 Karen M Levy Trustee 2.00 X 0 0 0 Evelyn G Lipper MD Trustee (thru 6/2/21) 2.00 X 0 0 0 Michael Lynton Trustee 2.00 X 0 0 0 D Scott Mackesy Trustee 2.00 X 0 0 0 Diane Mathis Trustee 2.00 X 0 0 0 Surya N Mohapatra PhD Trustee 2.00 X 0 0 0 Jeremy Nathans MD PhD Trustee 2.00 X 0 0 0 Jonathan M Nelson Trustee 2.00 X 0 0 0 Robin Chemers Neustein Trustee, Vice Chair 2.00 X 0 0 0 Willard J Overlock Jr Trustee (thru 6/2/21) 2.00 X 0 0 0 Daniel Pacthod Trustee 2.00 X 0 0 0 Michael J Price Trustee 2.00 X 0 0 0 Lewis A Sanders Trustee 2.00 X 0 0 0 John M Shapiro Trustee 2.00 X 0 0 0 Robert K Steel Trustee, Vice Chair 2.00 X 0 0 0 Joan A Steitz PhD Trustee (thru 6/2/21) 2.00 X 0 0 0 David Sze Trustee 2.00 X 0 0 0 Sandra Tamer Trustee 2.00 X 0 0 0 Lulu C Wang Trustee (thru 6/2/21) 2.00 X 0 0 0 Huda Y Zoghbi MD Trustee 2.00 X 0 0 0 Richard P Lifton MD PhD President 50.00 X X 1170198 0 230706 Amy Falls Till 42021 VP & CIO 50.00 X 1439048 0 386475 Barry Coller VP & Physician-in-Chief 50.00 X 667106 0 90179 Maren Imhoff SVP, Development 50.00 X 689310 0 90161 Michael Young VP, Academic Affairs 50.00 X 697207 0 90165 James Lapple VP, Finance & Treasurer 50.00 X 546086 0 70875 Sidney Strickland VP, Education Affairs 50.00 X 454454 0 90178 Virginia Huffman VP, Human Resources 50.00 X 513695 0 90122 Roberta Maloney Till 92020 Asst. VP, Finance 50.00 X 253567 0 74301 Theresa Desmond Spec. Asst/Corp Secretary 50.00 X 197832 0 51384 Timothy O'Connor Executive Vice President 50.00 X 627776 0 90206 Deborah Yeoh VP & General Counsel 50.00 X 526021 0 60438 Kretina Cook From 92020 Asst. VP, Finance 50.00 X 121167 0 11474 Robert Roeder Professor, Head of Laborat 50.00 X 587612 0 100897 Thomas Lenehan Till 122020 Deputy CIO 50.00 X 911783 0 82874 Charles M Rice Professor, Head of Laborat 50.00 X 517249 0 70916 Thomas Sakmar Professor, Head of Laborat 50.00 X 556821 0 100833 David Allis Professor, Head of Laborat 50.00 X 512298 0 90175 10989230 0 1872359 332 0 1 0 COHEN & GRESSER LLP 800 THIRD AVENUE NEW YORK NY 10022 lEGAL SERVICES 8448363 TURNER CONSTRUCTION CO 375 HUDSON STREET NEW YORK NY 10014 CONSTRUCTION SERVICES 7735624 ROPES & GRAY LLP 800 BOYLSTON STREET BOSTON MA 02199 lEGAL SERVICES 3336643 CALDWELL & WALSH BUILDING CONST INC 12 WEST 27TH ST 7TH FLOOR NEW YORK NY 10001 CONSTRUCTION SERVICESS 1889413 GREAT PERFORMANCES 2417 THIRD AVENUE SUITE 300 BRONX NY 10451 FOOD SERVICES 1871818 52 96974698 142429854 73189539 239404552 Housing 532000 19856306 19856306 Press Operations 511120 9296678 9296678 Food Service 722210 822586 822586 29975570 1725766 1725766 21975808 21975808 7273573 0 7273573 7273573 7273573 526562017 298276916 228285101 228285101 -1552941 229838042 Institute for Advanced 900099 633405 633405 Other 900099 396917 396917 Reimbursement of Costs 900099 230064 230064 444944 444944 1705330 530345700 29975570 -1552941 262518519 11549858 11549858 7207021 1563034 4994387 649600 124446704 106337761 14015151 4093792 11422922 9441528 1435215 546179 39518592 32206220 5915937 1396435 8435037 7047053 1087359 300625 1159274 1159274 444696 70209 374487 590501 590501 24538483 22415297 2026990 96196 677227 376722 40813 259692 50365419 48780379 1492002 93038 2821743 2345755 983 475005 9727733 9727733 10210351 9647191 449753 113407 82101 70565 11387 149 123151 105847 17080 224 36752436 32887337 3865099 56162321 51169316 3771194 1221811 4130654 1049801 3080853 Litigation payments 171918091 171918091 Subcontracts 12727388 12727388 585011703 359518994 216246556 9246153 38433 42800 82573981 78204097 213249491 216414098 8789670 9432721 3222632 3959604 33933257 39341368 1023791 1323678 3515408 3912098 1865362504 725749248 1171360181 1139613256 1142058651 1378194621 1195688985 1633386478 3979320 3973926 20211294 21862696 3879645094 4529661441 42196323 53952567 14912836 17269475 795709598 793451478 100345000 200345000 464419781 455728478 1417583538 1520746998 X 362918488 342100568 2099143068 2666813875 2462061556 3008914443 3879645094 4529661441 X -54666003 546657360 54861530 X 0 1 X 1 1 1 X 206848072 298548226 206273540 176863709 239404552 1127938099 206848072 298548226 206273540 176863709 239404552 1127938099 31633729 1096304370 55723012 44986965 54593283 64654661 29249381 249207302 4452216 3919731 4332281 2222893 14927121 1392072522 164162130 0.78750 0.78890 X Schedule A, Part II, Line 10, Explanation of Other Income: 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. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 888464 X 0 2184690526 16318325 767476546 151788520 2816696877 2112311806 9513481 207297121 144431882 2184690526 2045998544 14302877 164735013 112724628 2112311806 1913005463 24492167 208529824 100028910 2045998544 1766474995 6779012 225832477 86081021 1913005463 0.15800 0.14400 0.69800 0 0 32553820 32553820 1711674259 646787663 1064886596 460112 427681 32431 119030612 77778667 41251945 1643701 755237 888464 1139613256 Alt Inv-Private-Buyout funds 562683683 F Alt Inv-Private-Natural resources/other 254996380 F Alt Inv-Private-Real estate funds 75611845 F Alt Inv-Private-Venture capital funds 532019450 F Cash Equivalents 208075120 F 1633386478 Amounts held for others 173072819 Conditional asset retirement obligation 9345089 Contingent Liabilities 21151932 Obligation under derivative instruments 163663638 Postretirement benefit obligation 88495000 455728478 X 1120070356 546657360 53385530 600042890 520027466 590501 9727733 10318234 530345700 573368773 -1324696 -1324696 574693469 590501 9727733 10318234 585011703 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 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 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. Europe (Including Iceland & Greenland) - Investments 125127131 Central America & Caribbean Investments 1095387830 North America Investments 16399396 Central America & Caribbean Program Research related travel 10714 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, Investments 54581647 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, Program Research related travel 209528 Europe (Including Iceland & Greenland) - Albania, Andorra, Austria, Belgium Program Research related travel 946780 Middle East and North Africa - Algeria, Bahrain, Djibouti, Egypt, Program Research related travel 48619 North America - Canada and Mexico, but not the United States Program Research related travel 72589 South America - Argentina, Bolivia, Brazil, Chile, Columbia, Ecuador, Program Research related travel 29167 South Asia - Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, Program Research related travel 15152 Sub-Saharan Africa - Angola, Benin, Botswana, Burkina Faso, Program Research related travel 14645 0 0 0 0 0 0 1292711645 131553 1292843198 1 0 1 1 1 0 Part III Accounting Method: 0 1 1 15786653 4201068 11585585 0.01980 15786653 4201068 11585585 0.01980 15786653 4201068 11585585 0.01980 0 0 1 1 The Rockefeller University Hospital 1230 York Avenue New York NY 10065 www.rucares.org X X New York State License # - 7002031H The Rockefeller University Hospital 1 0 0 1 X X X X X X X X X 19 1 0 0 1 X www.rucares.org X 1 19 1 www.rucares.org 0 0 0 0 0 0 0 1 0 0 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 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. 1 FELLOWSHIPS 101 3914355 RESEARCH STIPENDS 191 7635503 Part I, Line 2: 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. X 1 1 X X X X X 0 1 0 1 0 0 0 1 0 Amy Falls Till 42021 VP & CIO 606900 0 648103 0 184045 0 334566 0 51909 0 1825523 0 344652 0 Richard P Lifton MD PhD President 1022100 0 0 0 148098 0 49122 0 181584 0 1400904 0 0 0 Thomas Lenehan Till 122020 Deputy CIO 384100 0 423911 0 103772 0 31037 0 51837 0 994657 0 231861 0 Michael Young VP, Academic Affairs 610000 0 0 0 87207 0 49053 0 41112 0 787372 0 0 0 Maren Imhoff SVP, Development 624600 0 0 0 64710 0 49049 0 41112 0 779471 0 0 0 Barry Coller VP & Physician-in-Chief 601510 0 0 0 65596 0 49067 0 41112 0 757285 0 0 0 Timothy O'Connor Executive Vice President 573700 0 0 0 54076 0 49094 0 41112 0 717982 0 0 0 Robert Roeder Professor, Head of Laborat 496890 0 0 0 90722 0 48988 0 51909 0 688509 0 0 0 Thomas Sakmar Professor, Head of Laborat 411500 0 75000 0 70321 0 48924 0 51909 0 657654 0 0 0 James Lapple VP, Finance & Treasurer 500000 0 0 0 46086 0 49073 0 21802 0 616961 0 0 0 Virginia Huffman VP, Human Resources 439100 0 0 0 74595 0 49010 0 41112 0 603817 0 0 0 David Allis Professor, Head of Laborat 475000 0 0 0 37298 0 49063 0 41112 0 602473 0 0 0 Charles M Rice Professor, Head of Laborat 475000 0 0 0 42249 0 49114 0 21802 0 588165 0 0 0 Deborah Yeoh VP & General Counsel 500000 0 0 0 26021 0 31074 0 29364 0 586459 0 0 0 Sidney Strickland VP, Education Affairs 421500 0 0 0 32954 0 49066 0 41112 0 544632 0 0 0 Roberta Maloney Till 92020 Asst. VP, Finance 258594 0 0 0 -5027 0 35839 0 38462 0 327868 0 0 0 Theresa Desmond Spec. Asst/Corp Secretary 200000 0 0 0 -2168 0 32000 0 19384 0 249216 0 0 0 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). A Dormitory Authority of the State of New York (issue date 013108) 146000293 649903YA3 2008-01-31 103215000 Const. & renov. of campus 0 0 0 B Dormitory Authority of the State of New York (issue date 030812) 146000293 649906RZ9 2012-03-08 30018979 Current Refunding 0 0 0 C Dormitory Authority of the State of New York (issue date 040412) 146000293 649906SB1 2012-04-04 56441595 Current Refunding 0 0 0 D Dormitory Authority of the State of New York (issue date 052015) 146000293 000000000 2015-05-20 163190000 Current Refunding & const & renov of campus 0 0 0 A 104734474 641319 104093155 2012 0 0 1 1 B 30018979 390846 257954 29370179 1998 1 0 1 1 C 56441595 321511 465580 55654504 2002 1 0 1 1 D 163373239 465000 100258239 62650000 2015 1 0 1 1 A 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 1 1 0 0 0 1 B 0 1 1 1 0 0 0 0 1 C 0 1 1 1 0 0 0 0 1 D 0 1 1 1 1 0 0 0 1 A 1 B 1 C 1 D 1 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) A dormitory Authority of the State of New York (issue date 08317) 146000293 000000000 2017-08-03 100445000 Current Refunding 0 0 0 B Dormitory Authority of the State of New York (issue date 121119) 146000293 64990GWX6 2019-12-11 59618654 Current Refunding 0 0 0 C Dormitory Authority of the State of New York (issue date 112619) 146000293 64990GVH2 2019-11-26 190862275 Current Refunding & const & renov of campus 0 0 0 D Dormitory Authority of the State of New York (issue date 043020) 146000293 64990GF21 2020-04-30 50966897 Current Refunding 0 0 0 A 100445000 320000 125000 100000000 2012 1 0 1 1 B 59618654 297306 29047 59292301 1998 1 0 1 1 C 190991490 897959 90095953 99997578 2019 1 0 1 1 D 50972988 425789 125000 50422199 2012 1 0 1 1 A 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 1 1 1 0 0 0 1 B 0 1 1 1 0 0 0 0 1 C 0 1 1 1 0 0 0 0 1 D 0 1 1 1 0 0 0 0 1 A 1 B 1 C 1 D 1 Virginia Huffman Officer Mortgage Loan X 234000 200399 0 1 1 Maren I Imhoff Officer Mortgage Loan X 300000 92008 0 1 1 James Lapple Officer Mortgage Loan X 1100000 1025864 0 1 1 Roberta Maloney Officer Mortgage Loan X 502932 143201 0 1 1 Harriet Rabb Officer Mortgage Loan X 300000 160870 0 1 1 Sidney Strickland Officer Mortgage Loan X 197528 0 0 1 1 Michael Young Officer Mortgage Loan X 1238068 903542 0 1 1 Thomas Sakmar Employee Mortgage Loan X 599000 445636 0 1 1 Thomas Lenehan Employee Mortgage Loan X 1000000 988084 0 1 1 3959604 David Sze RU Trustee 283851 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. 0 X 52 5706591 Fair Market Value X Pledges 39 67482948 Net Present Value 0 1 1 Part I, Line 32b: The University utilizes a third party to sell gifts of stock that it receives during the fiscal year. 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. The Rockefeller University Faculty & Students Club Inc 1230 York Avenue New York NY 10065 136066979 Social Club NY 501(c)(7) The Rockefeller University 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 0 THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC M 75584 Cash THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC N 90635 Cash THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC R -14915 Cash Form 990, Schedule R, Part V, #2 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.