2021-07-14T16:42:54-05:00 2020-08-31 PRICEWATERHOUSECOOPERS LLP 2001 MARKET STREET SUITE 1800 PHILADELPHIA PA 19103 990 2019-09-01 941156365 THE BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR UNIVERSITY % SUPRIYA S PAI BOAR 6504986259 485 BROADWAY MAIL CODE 8838 REDWOOD CITY CA 94063 ANNE SWEENEY-HOY SR. DIRECTOR, FC&O 6507253276 2021-07-08 true ROBERT W FRIZ P00438748 2673303000 2019 2022-09-23 18:48:47Z STANFORD UNIVERSITY MARC TESSIER-LAVIGNE BUILDING 10 STANFORD CA 94305 22886452895 false X WWW.STANFORD.EDU X 1885 CA STANFORD UNIVERSITY IS ONE OF A SELECT GROUP OF AMERICAN UNIVERSITIES THAT HAVE ACHIEVED EMINENCE IN BOTH UNDERGRADUATE AND GRADUATE EDUCATION AND RESEARCH - CONT'D SCH O. 32 30 40766 11000 -35060508 0 2249756512 2451185732 2986932561 2885722899 1415929033 1324414192 176480834 187591070 6829098940 6848913893 550486513 557072604 0 0 3768484119 3962386146 144821 77306 106046964 2137070677 1997076403 6456186130 6516612459 372912810 332301434 46370111200 49933605804 7869471864 9628223338 38500639336 40305382466 X STANFORD UNIVERSITY IS ONE OF A SELECT GROUP OF AMERICAN UNIVERSITIES THAT HAVE ACHIEVED EMINENCE IN BOTH UNDERGRADUATE AND GRADUATE EDUCATION AND RESEARCH - CONT'D SCH O. false false 2103502273 42083341 859922080 INSTRUCTION AND DEPARTMENTAL RESEARCH - SEE SCH O. 1301571739 24927619 209336386 ORGANIZED RESEARCH - REVENUE AMOUNT REPORTED ON LINE 4B EXCLUDES $1,257,759,681 IN GOVERNMENT RESEARCH SUPPORT, WHICH IS REPORTED AS CONTRIBUTION REVENUE ON LINE 1E OF PART VIII. CONT'D SCH O. 498295374 718578 1443520071 UNIVERSITY AUXILIARY ACTIVITIES - SEE SCH O. 1831625627 493263066 372944362 5734995013 true true false true false true false true false true true true false false true true false true true true true true true true true false false true true true true false false false false false true false false true false true true false false true true true true true false true X 34315 0 true 40766 true true true true false false false true true true 6 false false false false false false true true X 32 30 true false false false false false false true true false false true true true true true true true true false CA NY OK X X SUPRIYA S PAI 6504986259 485 BROADWAY MAIL CODE 8838 REDWOOD CITY CA 94063 X DAVID SHAW DIRECTOR OF FOOTBALL 50.0 0.0 X 8707965 0 216718 ROBERT F WALLACE CHIEF EXECUTIVE OFFICER, SMC 50.0 0.0 X 4083222 0 553657 FRANK HANLEY CHIEF, PED CARDIOTHORACIC 50.0 0.0 X 3626437 0 52995 GREG MILANI SR. MD, SMC, THROUGH 7/9/2019 50.0 0.0 X 3302491 0 40417 YIPING WOO PROF. & CHAIR, CARDIO SURGERY 50.0 5.6 X 2574169 0 102152 JOHN HENNESSY PROF SOE & FORMER PRESIDENT 50.0 0.0 X 2292468 0 68669 LLOYD B MINOR DEAN, SCHOOL OF MEDICINE 50.0 5.0 X 1933390 0 370937 MARTIN SHELL VP & CHIEF ERO 50.0 0.0 X 1601428 0 179870 MARC TESSIER-LAVIGNE PRESIDENT/TRUSTEE 50.0 0.0 X X 1247067 0 465766 JOHN ETCHEMENDY PROF H&S & FORMER PROVOST 50.0 0.0 X 1588752 0 57406 RANDALL LIVINGSTON VP BUS AFFAIRS/CFO 50.0 5.0 X 1264250 0 262437 ROBERT C REIDY VP LAND, BUILDINGS & REAL EST 50.0 0.0 X 939580 0 406706 PERSIS DRELL PROVOST 50.0 0.0 X 897544 0 433950 DEBRA ZUMWALT VP GENERAL COUNSEL 50.0 0.0 X 806070 0 346556 HOWARD WOLF PRES. OF STANFORD ALUM. ASSOC. 50.0 0.0 X 829569 0 152525 HARRY ELAM VP ARTS, THROUGH 6/30/2020 50.0 0.0 X 691561 0 45982 DAVID DEMAREST FORMER VP PUBLIC AFFAIRS 50.0 0.0 X 643497 0 41146 ELIZABETH ZACHARIAS VP HUMAN RESOURCES 50.0 0.0 X 512436 0 125962 RICHARD SALLER PROF & FORMER DEAN, SCH OF H&S 50.0 0.0 X 576111 0 45431 WILLIAM MADIA VP SLAC NAL, THROUGH 9/30/2019 38.0 0.0 X 569546 0 28842 JON DENNEY VP DEVELOPMENT 50.0 0.0 X 515435 0 66374 HOWARD B PEARSON INTERIM VP DEVT. THRU 4/1/19 50.0 0.0 X 518250 0 44008 FARNAZ KHADEM VP COMMUNICATIONS 50.0 0.0 X 409015 0 56916 BRADLEY HAYWARD INTERIM VP COMMUN.THRU 3/11/19 50.0 0.0 X 337303 0 67714 FELIX J BAKER TRUSTEE 2.0 0.0 X 0 0 0 MARY T BARRA TRUSTEE 2.0 0.0 X 0 0 0 ANEEL BHUSRI TRUSTEE 2.0 0.0 X 0 0 0 MICHAEL C CAMUNEZ TRUSTEE, APPOINTED 12/1/2019 2.0 0.0 X 0 0 0 MICHELLE R CLAYMAN TRUSTEE 2.0 0.0 X 0 0 0 BRET E COMOLLI TRUSTEE, THROUGH 3/31/2020 2.0 2.0 X 0 0 0 ROANN COSTIN TRUSTEE 2.0 0.0 X 0 0 0 DIPANJAN DJ DEB TRUSTEE 2.0 0.0 X 0 0 0 KATHERINE B DUHAMEL TRUSTEE, APPOINTED 6/1/2020 2.0 0.0 X 0 0 0 HENRY A FERNANDEZ TRUSTEE 2.0 0.0 X 0 0 0 ANGELA S FILO TRUSTEE 2.0 0.0 X 0 0 0 SAKURAKO D FISHER TRUSTEE 2.0 0.0 X 0 0 0 BRADLEY A GEIER TRUSTEE 2.0 3.0 X 0 0 0 JAMES D HALPER TRUSTEE 2.0 0.0 X 0 0 0 RONALD B JOHNSON TRUSTEE 2.0 0.0 X 0 0 0 MARC E JONES TRUSTEE 2.0 2.0 X 0 0 0 LATONIA G KARR TRUSTEE 2.0 3.0 X 0 0 0 SARAH H KETTERER TRUSTEE 2.0 0.0 X 0 0 0 CAROL C LAM TRUSTEE 2.0 0.0 X 0 0 0 CHRISTY O MACLEAR TRUSTEE 2.0 0.0 X 0 0 0 KENNETH E OLIVIER TRUSTEE 2.0 0.0 X 0 0 0 CARRIE W PENNER TRUSTEE 2.0 0.0 X 0 0 0 RUTH M PORAT TRUSTEE 2.0 0.0 X 0 0 0 LAURENE POWELL JOBS TRUSTEE 2.0 0.0 X 0 0 0 JEFFREY S RAIKES TRUSTEE 2.0 0.0 X 0 0 0 MINDY B ROGERS TRUSTEE 2.0 5.0 X 0 0 0 VICTORIA B ROGERS TRUSTEE 2.0 0.0 X 0 0 0 KAVITARK RAM SHRIRAM TRUSTEE, THROUGH 11/30/2019 2.0 2.0 X 0 0 0 RONALD P SPOGLI TRUSTEE, THROUGH 9/30/2019 2.0 0.0 X 0 0 0 SRINIJA SRINIVASAN TRUSTEE 2.0 0.0 X 0 0 0 JEFFREY E STONE TRUSTEE 2.0 0.0 X 0 0 0 GENE T SYKES TRUSTEE 2.0 0.0 X 0 0 0 JERRY YANG TRUSTEE 2.0 0.0 X 0 0 0 CHARLES D YOUNG TRUSTEE 2.0 0.0 X 0 0 0 40467556 0 4233136 8996 true true false VANCE BROWN INC 3197 PARK BOULEVARD PALO ALTO CA 94306 CONSTRUCTION 363443224 THE WHITING-TURNER CONTRACTING CO PO BOX 17596 BALTIMORE MD 21297 CONSTRUCTION 138810937 DEVCON CONSTRUCTION INC 690 GIBRALTAR DR MILPITAS CA 95035 CONSTRUCTION 125228265 LEVEL 10 CONSTRUCTION LP 1050 ENTERPRISE WAY STE 250 SUNNYVALE CA 94089 CONSTRUCTION 91766244 UG2 LLC 116 HUNTINGTON AVE 12TH FLOOR BOSTON MA 02116 FACILITY SERVICES 21498049 776 639773 1257759681 1192786278 163729389 2451185732 STUDENT INCOME 900099 940223366 940223366 GOVT.& NON GOVT.CONTRACT 900099 209336386 209336386 PATIENT CARE 900099 1278646079 1278646079 SPECIAL PROGRAMS 900099 456168062 453683523 DRIVING RANGE 713910 771694 771694 577312 3061851 2885722899 165257978 -56769138 222027116 660676 660676 7846228 7846228 202632503 24641816 177990687 0 177990687 177990687 17160824761 8002875 16002556392 7775706 1158268369 227169 1158495538 17875085 1140620453 95107 639773 523263 -428156 -428156 0 0 0 4224136 2041825 2182311 2182311 0 6848913893 2881889354 -35060508 1550899315 25758044 25758044 524380938 524380938 6933622 6933622 0 10752714 3763450 6129047 860217 3617231 2315028 1302203 3195731088 2902007792 227356413 66366883 208902156 178947963 24659160 5295033 369378528 316248086 43749939 9380503 174004429 148852441 20719743 4432245 4539213 4467010 72160 43 16376553 4306127 12043213 27213 2468679 376824 2087545 4310 87450 1245 86205 77306 77306 47577889 47577889 285566060 222963490 58495867 4106703 7236270 7027742 125156 83372 216228975 205963085 9446165 819725 41120324 22145489 18765395 209440 10306633 5590908 4711056 4669 273121326 239560611 31026577 2534138 68970741 59791740 8075342 1103659 3976 3976 7548948 7026895 473366 48687 129277241 111231510 16991224 1054507 0 437194323 376551903 56278827 4363593 10346478 7025081 3219882 101515 EQUIPMENT RENT & MAINTENANCE 30034105 26963817 2948784 121504 PRINTING & PUBLICATION 9962204 8008248 848312 1105644 SLAC CONSTRUCTION 195853201 195672019 172857 8325 RESEARCH SUBAWARDS 73462545 73462283 243 19 129793269 47651622 79506139 2635508 6516612459 5734995013 675570482 106046964 158209 149499 856394469 1153153844 1321656824 1369416525 348615074 245925607 10920827 9368246 0 0 838165661 865982990 4560302 4312828 136050856 97686596 13287490759 5601780782 7270282260 7685709977 8163631815 8238932202 27419674903 29589041732 0 0 0 0 0 673925758 46370111200 49933605804 1640195544 1558716255 0 0 1241914800 1386648735 2005553000 2005553000 0 0 0 0 2241781949 2997998662 0 0 740026571 1679306686 7869471864 9628223338 X 21653054898 22685294197 16847584438 17620088269 38500639336 40305382466 46370111200 49933605804 X 332301434 1284390105 188051591 X false true X true true true X 2586183439 2355413071 2244620385 2249756512 2451185732 11887159139 0 0 2586183439 2355413071 2244620385 2249756512 2451185732 11887159139 64062974 11823096165 382816462 409680538 410995420 420612042 433166523 2057270985 0 4299963 4224132 4855444 4766678 4319243 22465460 13966895584 13818477602 0.84651 0.84220 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED true true true 906 true 136244 true 47459 false true 442148 true 40854 true 17753 685364 false PART II-B - LOBBYING ACTIVITY EXPLANATION AN INSUBSTANTIAL PORTION OF STANFORD UNIVERSITY'S TOTAL ACTIVITIES INVOLVED LEGISLATIVE AND REGULATORY MATTERS OF DIRECT CONCERN TO HIGHER EDUCATION OR OF COMPELLING IMPORTANCE TO STANFORD IN PARTICULAR. INSTITUTIONAL EFFORTS WITH REGARD TO LEGISLATION AND REGULATION ARE DIRECTED BY THE OFFICE OF GOVERNMENT AFFAIRS. DURING FISCAL YEAR 2020, THE OFFICE CONSISTED OF SIX PROFESSIONAL STAFF MEMBERS AND FOUR SUPPORT STAFF. THE UNIVERSITY DOES NOT HAVE A LOBBYING OFFICE IN EITHER WASHINGTON, DC OR SACRAMENTO, CA. ACTIVITIES BY THE OFFICE OF GOVERNMENT AFFAIRS STAFF INCLUDE CONTACTS BY LETTERS, PHONE CALLS AND MEETINGS WITH LEGISLATORS, MEMBERS OF THEIR STAFFS, OR OTHER GOVERNMENT OFFICIALS, AND MEETINGS WITH LOCAL CITIZENS REGARDING STANFORD ISSUES WITH LOCAL GOVERNMENT. IN FISCAL YEAR 2020, LEGISLATIVE, EXECUTIVE AND LOCAL REGULATORY ISSUES HANDLED BY THE UNIVERSITY INCLUDED THE FOLLOWING: LOCAL ISSUES: ZONING AND LAND USES RELATED TO PROPERTY OWNED BY THE UNIVERSITY AND CONTIGUOUS TO THE UNIVERSITY'S ACADEMIC CAMPUS; OTHER LOCAL REGULATORY ACTIONS; BUSINESS TAX CONSIDERATION. STATE ISSUES: COLLEGE ATHLETICS, TITLE IX, RENEWABLE ENERGY, STUDENT AID AND ADMISSIONS, ANIMAL RESEARCH PROTOCOLS, AND GENETIC PRIVACY. FEDERAL ISSUES: STUDENT AID, EDUCATION, RESEARCH, HEALTH CARE, INTELLECTUAL PROPERTY, TAXATION, AND IMMIGRATION POLICY ISSUES; FUNDING LEVELS OF RESEARCH (E.G., NIH, DOE, NASA, DOD, NSF, NEH) AND FEDERAL STUDENT AID PROGRAMS; AND FUNDING FOR THE STANFORD LINEAR ACCELERATOR. THE TOTAL BUDGET EXPENDED BY THE OFFICE OF GOVERNMENT AFFAIRS WAS $2,021,783 AND INCLUDES SALARY AND BENEFITS FOR SIX PROFESSIONALS AND FOUR SUPPORT STAFF, AS WELL AS OTHER COMPENSATION. THE ESTIMATED TOTAL EXPENSES IN LOBBYING, INCLUDING DIRECT PREPARATION TIME BY THE OFFICE OF GOVERNMENT AFFAIRS EMPLOYEES, AS DEFINED IN SECTION 501(C) OF THE INTERNAL REVENUE CODE AND ITS REGULATIONS, AND PAYMENTS OF TRAVEL OR ENTERTAINMENT EXPENSES FOR FEDERAL OR LOCAL OFFICIALS, ARE ESTIMATED AS FOLLOWS: SALARIES, BENEFITS, OTHER COMPENSATION $368,283 GENERAL OFFICE OVERHEAD $211,749 PAID CONSULTANT, COALITION DUES $87,450 DUES TO MEMBER ORGANIZATIONS $12,268 TRAVEL $5,614 TOTAL $685,364 THE TOTAL AMOUNT SPENT BY STANFORD IN LOBBYING REPRESENTS AN INSIGNIFICANT PART OF THE UNIVERSITY'S TOTAL EXPENDITURES, EVEN MAKING THE MOST GENEROUS ALLOWANCE FOR THE LOBBYING ACTIVITIES OF STANFORD UNIVERSITY EMPLOYEES OUTSIDE THE OFFICE OF GOVERNMENT AFFAIRS WORKING ON BEHALF OF THE UNIVERSITY. AN INVESTMENT PARTNERSHIP IN WHICH THE UNIVERSITY HOLDS A NONCONTROLLING LIMITED PARTNERSHIP INTEREST MAY, FROM TIME TO TIME, INCUR A LOBBYING EXPENDITURE. THE UNIVERSITY'S SHARE OF SUCH PARTNERSHIP EXPENDITURES DURING THE TAX YEAR WAS $7,394. NEITHER STANFORD, NOR ANY TRUSTEE OR OFFICER OF STANFORD, ENGAGED IN THE ACTIVITY CONDUCTED BY THE INVESTMENT PARTNERSHIPS. 73 62 70302444 27066888 47066757 55783419 593415506 33326465 true true X X X X false 27699834000 491459000 2111876000 309759498 1045298502 28948111000 26464912000 212211000 2325746000 298183610 1004851390 27699834000 24784943000 532081000 2387634000 281036268 958709732 26464912000 22398130000 694190000 2859022000 268228571 898170429 24784943000 22222957000 376827000 930451000 257975598 874129402 22398130000 0.47350 0.25690 0.26960 false true true 120017383 120017383 9694122314 3523942233 6170180081 2056812460 1723281948 333530512 1416538602 354556601 1061982001 7685709977 CASH & CASH EQUIVALENTS 1957810680 F COLLATERAL FOR SECURITIES LOAN 453987 F DERIVATIVES -63415286 F FIXED INCOME 2427103426 F REAL ESTATE 8559128608 F NATURAL RESOURCES 1345083623 F PRIVATE EQUITIES 10811362138 F ABSOLUTE RETURNS 5719252569 F ASSETS HELD BY OTHER TRUSTEES 126349491 F OTHER INVESTMENTS 874321499 F ASSETS LIMITED TO USE 253391399 F HOSPITAL FUNDS IN MERGED POOL -2421800402 F 29589041732 0 SECURITY AGREEMENTS 453987 US GOVERNMENT REFUNDABLE LOAN 22668212 INCOME BENEFICIARY SHARE-SPLIT IN 610409496 LEASE LIABILITIES 683234274 CURRENT AND DEFERRED EXCISE TAX 84592302 DEBT FROM INVESTMENT ENTITY SECURIT 277948415 1679306686 X SCHEDULE D, PART I, COLUMN (B) COLUMN (B) REPRESENTS FUNDS CREATED TO MAKE GRANTS ONLY WITHIN THE UNIVERSITY. SCHEDULE D, PART I, LINE 2 INCLUDED IN AGGREGATE CONTRIBUTIONS TO FUNDS ARE NEW GIFTS AS WELL AS TRANSFERS FROM OTHER ACCOUNTS WITHIN THE UNIVERSITY. SCHEDULE D, PART III, LINE 1A WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS AND ARTIFACTS, WHICH ARE PRESERVED AND PROTECTED FOR EDUCATIONAL, RESEARCH AND PUBLIC EXHIBITION PURPOSES, ARE NOT CAPITALIZED. DONATIONS OF SUCH COLLECTIONS ARE NOT RECORDED FOR FINANCIAL STATEMENT PURPOSES. PURCHASES OF COLLECTION ITEMS ARE RECORDED AS OPERATING EXPENSES IN THE PERIOD IN WHICH THEY ARE ACQUIRED. PROCEEDS FROM SALES OF SUCH ITEMS ARE USED TO ACQUIRE OTHER ITEMS FOR THE COLLECTIONS. SCHEDULE D, PART III, LINE 4 THE CANTOR ARTS CENTER AT STANFORD UNIVERSITY IS A MUSEUM COMMITTED TO INTELLECTUAL EXPLORATION AND THE PURSUIT OF KNOWLEDGE, FOSTERING A SENSE OF DISCOVERY THROUGH DIRECT EXPERIENCES WITH WORKS OF ART. THE CENTER COLLECTS, PRESERVES, AND STUDIES ART FROM ALL CULTURES AND PERIODS, SERVING THE UNIVERSITY AND THE PUBLIC THROUGH EXHIBITIONS AND PROGRAMS THAT INSPIRE THE UNDERSTANDING AND ENJOYMENT OF ART. THE ANDERSON COLLECTION IS AN OUTSTANDING ASSEMBLAGE OF MODERN AND CONTEMPORARY AMERICAN ART. THE COLLECTION IS ANCHORED IN THE WORK OF THE NEW YORK SCHOOL AND KEY MODERN AND CONTEMPORARY ARTISTS COLLECTED IN DEPTH, ACROSS MEDIA. MAJOR MOVEMENTS REPRESENTED INCLUDE ABSTRACT EXPRESSIONISM, COLOR FIELD PAINTING, POST-MINIMALISM, CALIFORNIA FUNK ART, BAY AREA FIGURATIVE ART, LIGHT AND SPACE, AND CONTEMPORARY PAINTING AND SCULPTURE. THE 121-WORK COLLECTION FEATURES 86 ARTISTS, INCLUDING JACKSON POLLACK, HELEN FRANKENTHALER AND RICHARD DIEBENKORN. ADMISSION TO THE MUSEUM IS FREE. THE COLLECTION, BUILT OVER 50 YEARS, WAS DONATED TO STANFORD BY HARRY W. AND MARY MARGARET ANDERSON AND MARY PATRICIA ANDERSON PENCE. SCHEDULE D, PART V, LINES 1B & 1E "CONTRIBUTIONS" (LINE 1B) INCLUDE CERTAIN INVESTMENT INCOME, CURRENT YEAR GIFTS TO ENDOWMENT, MATURED LIVING TRUSTS DIRECTED TO ENDOWMENT, AND CERTAIN OTHER FUNDS TRANSFERRED INTO THE ENDOWMENT. INCLUDED IN "OTHER EXPENDITURES FOR FACILITIES AND PROGRAMS" (LINE 1E) ARE FUNDS DISTRIBUTED ANNUALLY FROM ENDOWMENT INVESTMENT RETURN TO SUPPORT FACULTY, INSTRUCTIONAL SUPPORT AND UNIVERSITY INFRASTUCTURE PRIMARILY BASED ON DONOR RESTRICTIONS. PLEASE SEE FURTHER DISCUSSION BELOW IN "INTENDED USES OF THE ENDOWMENT FUNDS". SCHEDULE D, PART V, LINE 2 BOARD DESIGNATED OR QUASI ENDOWMENT FUNDS ARE UNIVERSITY RESOURCES DESIGNATED BY THE BOARD AS ENDOWMENT AND ARE INVESTED FOR LONG-TERM APPRECIATION AND CURRENT INCOME. THESE ASSETS, HOWEVER, REMAIN AVAILABLE AND MAY BE SPENT AT THE BOARD'S DISCRETION. THE UNIVERSITY CLASSIFIES AS PERMANENT ENDOWMENT A) THE ORIGINAL VALUE OF GIFTS DONATED TO THE PERMANENT ENDOWMENT AND B) ACCUMULATIONS TO THE PERMANENT ENDOWMENT MADE IN ACCORDANCE WITH THE DIRECTION OF THE APPLICABLE DONOR GIFT INSTRUMENT AT THE TIME THE ACCUMULATION IS ADDED TO THE FUND. THE REMAINING PORTION OF THE DONOR-RESTRICTED ENDOWMENT FUND THAT IS NOT CLASSIFIED IN PERMANENT ENDOWMENT IS CLASSIFIED AS TEMPORARILY RESTRICTED ENDOWMENT UNTIL THOSE AMOUNTS ARE AUTHORIZED FOR EXPENDITURE. IN THE ABSENCE OF DONOR STIPULATIONS OR LAW TO THE CONTRARY, NET UNREALIZED LOSSES ON PERMANENTLY RESTRICTED ENDOWMENT FUNDS REDUCE RELATED APPRECIATION ON TEMPORARILY RESTRICTED NET ASSETS UNTIL SUCH TIME AS THE FAIR VALUE OF THE FUND EQUALS OR EXCEEDS HISTORIC VALUE. SCHEDULE D, PART V, LINE 3A(II) AND LINE 3B INCLUDED IN THE ENDOWMENT BALANCE ON LINE 1G ARE THE ASSETS OF SHR HOLDINGS, INC., A RELATED ORGANIZATION. SCHEDULE D, PART V, LINE 4 INTENDED USES OF THE ENDOWMENT FUNDS IN 1885, LELAND AND JANE LATHROP STANFORD SAID OF THEIR FOUNDING GRANT "IT SHALL CONSTITUTE THE FOUNDATION AND ENDOWMENT FOR THE UNIVERSITY HEREIN PROVIDED, AND UPON THE TRUST THAT THE PRINCIPAL THEREOF SHALL FOREVER REMAIN INTACT, AND THAT THE RENTS, ISSUES, AND PROFITS THEREOF SHALL BE DEVOTED TO THE FOUNDATION AND MAINTENANCE OF THE UNIVERSITY HEREBY FOUNDED AND ENDOWED, AND THE USES AND PURPOSES HEREIN MENTIONED." TODAY, STANFORD'S ENDOWMENT CONSISTS OF THOUSANDS OF INDIVIDUAL FUNDS, MANY OF WHICH ARE RESTRICTED TO PARTICULAR USES (E.G., SCHOLARSHIP FUNDS FOR UNDERGRADUATES, FELLOWSHIP FUNDS TO SUPPORT GRADUATE STUDENTS, RESEARCH FUNDS DIRECTED TO MANY DIFFERENT AREAS, PROGRAM SUPPORT FUNDS, FUNDS TO SUPPORT PROFESSORS, FUNDS TO SUPPORT LECTURES, FUNDS TO PROVIDE BUILDING AND GROUND MAINTENANCE, FUNDS TO SUPPORT THE UNIVERSITY'S MUSEUM, FUNDS TO SUPPORT THE ACQUISITION OF LIBRARY MATERIALS). THE FUNDS ARE INVESTED IN PERPETUITY FOR LONG TERM GROWTH AND THE PAYOUT IS USED FOR THE PURPOSE SET FORTH IN THE GIFT DOCUMENT. SOME ENDOWMENT FUNDS DO NOT HAVE PURPOSE RESTRICTIONS AND THE PAYOUT FROM THESE FUNDS IS USED TO SUPPORT THE GENERAL OPERATIONS AND INFRASTRUCTURE OF THE UNIVERSITY AS WELL AS MANY OTHER PARTS OF THE UNIVERSITY. ENDOWMENT PAYOUT IS A RELIABLE SOURCE OF CONTINUING SUPPORT AND IS CRITICAL TO THE FUNDING OF THE MANY LONG TERM COMMITMENTS THAT THE UNIVERSITY MUST MAKE. THE ENDOWMENT MAKES STANFORD LESS DEPENDENT ON OTHER MORE VARIABLE SOURCES OF INCOME. THE ENDOWMENT PAYOUT COVERS APPROXIMATELY 22% OF STANFORD'S TOTAL EXPENSES. STANFORD IS CURRENTLY DIRECTING CONSIDERABLE RESEARCH AND EDUCATION EFFORTS TOWARD ADDRESSING THE CHALLENGES CRITICAL TO THE WORLD. IN PARTICULAR, IT IS SEEKING SOLUTIONS TO SOME OF THE MOST CHALLENGING PROBLEMS IN HUMAN HEALTH, INTERNATIONAL PEACE AND SECURITY AND THE ENVIRONMENT AND SUSTAINABILITY. ONE OF THE UNIVERSITY'S HIGHEST PRIORITIES IS TO REMAIN AFFORDABLE AND ACCESSIBLE TO THE MOST TALENTED STUDENTS, REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. THE UNIVERSITY'S ADMISSION PROCESS FOR UNDERGRADUATE STUDENTS FROM THE UNITED STATES IS NEED-BLIND, WHICH MEANS THAT STUDENTS ARE ADMITTED IRRESPECTIVE OF THEIR ABILITY TO PAY; THE UNIVERSITY PROVIDES THE FINANCIAL AID NECESSARY TO MAKE STANFORD AFFORDABLE TO EVERY ADMITTED STUDENT. FOR INTERNATIONAL STUDENTS, THE UNIVERSITY IS NEED-AWARE: STANFORD ANALYZES THE NEED FOR AID AND AIMS TO MEET THE DETERMINED NEED. SINCE 2000, THE UNIVERSITY HAS CONTINUED TO ENHANCE ITS FINANCIAL AID PROGRAMS FOR BOTH ITS UNDERGRADUATE AND GRADUATE STUDENTS. CURRENTLY, FAMILIES OF UNDERGRADUATE STUDENTS FROM THE U.S. WITH INCOMES BELOW $150,000 AND ASSETS TYPICAL OF THAT INCOME LEVEL RECEIVE AT LEAST ENOUGH SCHOLARSHIP TO COVER THE COST OF TUITION. THOSE WITH INCOMES BELOW $75,000 AND TYPICAL ASSETS RECEIVE ENOUGH SCHOLARSHIP ASSISTANCE TO COVER TUITION, ROOM AND BOARD, AND OTHER EXPENSES. IN FY20, APPROXIMATELY 50% OF UNDERGRADUATES WERE AWARDED NEED-BASED FINANCIAL AID FROM STANFORD. GRADUATE STUDENT FINANCIAL AID AND OTHER SUPPORT IS AWARDED BASED ON ACADEMIC MERIT AND THE AVAILABILITY OF AID. IN THE FACE OF DIMINISHING FEDERAL SUPPORT, STANFORD HAS ASSUMED MORE OF THE FINANCIAL WEIGHT OF SUPPORTING ITS GRADUATE STUDENTS. IN FY20, APPROXIMATELY 83% OF GRADUATE STUDENTS RECEIVED FINANCIAL SUPPORT. FOR THE YEAR ENDED AUGUST 31, 2020, ENDOWMENT PAYOUT SUPPORT INCLUDED THE FOLLOWING BROAD FUNCTIONS OF THE UNIVERSITY: INSTRUCTION AND RESEARCH $389,679,792 STUDENT FINANCIAL AID $309,759,498 LIBRARIES $23,071,258 SCHEDULE D, PART X, LINE 2 ASC 740 LIABILITY - IN ACCORDANCE WITH THE GUIDANCE ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, MANAGEMENT REGULARLY EVALUATES ITS TAX POSITIONS AND DOES NOT BELIEVE THE UNIVERSITY HAS ANY UNCERTAIN TAX POSITIONS THAT REQUIRE DISCLOSURE OR ADJUSTMENT TO THE FINANCIAL STATEMENTS. true true false true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 STANFORD MEETS THE CRITERIA OF SECTION 4.03.2(B) OF REV. PROC. 75-50 THROUGH ADMISSION AND FINANCIAL AID OFFICES OUTREACH PROGRAMS WHICH PUBLICIZE STANFORD UNIVERSITY'S ACADEMIC OPPORTUNITIES AT SECONDARY AND POST-SECONDARY SCHOOLS THROUGHOUT THE UNITED STATES. SCHEDULE E, LINE 6A STANFORD UNIVERSITY RECEIVED RESEARCH AND INSTRUCTIONAL GRANTS AND CONTRACTS, FELLOWSHIP AND STUDENT AID AWARDS, LIBRARY GRANTS, AND CONSTRUCTION AND CONTRACTS FROM VARIOUS FEDERAL AGENCIES. true EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES TRAVEL STUDY 45735 EUROPE 0 0 PROGRAM SERVICES TRAVEL STUDY 41284 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES TRAVEL STUDY 859 SOUTH AMERICA 0 0 PROGRAM SERVICES TRAVEL STUDY 87 SOUTH ASIA 0 0 PROGRAM SERVICES TRAVEL STUDY 42566 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES TRAVEL STUDY 287 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY TOURS 2006069 EUROPE 0 0 PROGRAM SERVICES STUDY TOURS 2355399 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY TOURS 603614 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY TOURS 548033 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES STUDY TOURS 243847 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY TOURS 380376 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY TOURS 475468 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY TOURS 117219 EAST ASIA AND THE PACIFIC 1 15 PROGRAM SERVICES STUDY ABROAD 779264 EUROPE 5 186 PROGRAM SERVICES STUDY ABROAD 7602969 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 21744 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 5449 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES STUDY ABROAD 20950 SOUTH AMERICA 1 14 PROGRAM SERVICES STUDY ABROAD 656556 SUB-SAHARAN AFRICA 1 16 PROGRAM SERVICES STUDY ABROAD 80220 ANTARCTICA 0 0 PROGRAM SERVICES RESEARCH 2141 EAST ASIA AND THE PACIFIC 1 40 PROGRAM SERVICES RESEARCH 2578942 EUROPE 0 81 PROGRAM SERVICES RESEARCH 4875896 MIDDLE EAST AND NORTH AFRICA 0 7 PROGRAM SERVICES RESEARCH 796403 NORTH AMERICA 0 46 PROGRAM SERVICES RESEARCH 1694375 RUSSIA AND NEIGHBORING STATES 0 9 PROGRAM SERVICES RESEARCH 118034 SOUTH AMERICA 0 19 PROGRAM SERVICES RESEARCH 757290 SOUTH ASIA 0 22 PROGRAM SERVICES RESEARCH 779152 SUB-SAHARAN AFRICA 0 24 PROGRAM SERVICES RESEARCH 775871 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INV. ADMINISTRATION 264174 EUROPE 0 1 PROGRAM SERVICES INV. ADMINISTRATION 48959 NORTH AMERICA 0 0 PROGRAM SERVICES INV. ADMINISTRATION 22598 SOUTH ASIA 0 0 PROGRAM SERVICES INV. ADMINISTRATION 232 EAST ASIA AND THE PACIFIC 0 1 PROGRAM SERVICES FOREIGN TRAVEL 323189 EUROPE 0 2 PROGRAM SERVICES FOREIGN TRAVEL 849206 MIDDLE EAST AND NORTH AFRICA 0 1 PROGRAM SERVICES FOREIGN TRAVEL 17015 NORTH AMERICA 0 3 PROGRAM SERVICES FOREIGN TRAVEL 122758 SOUTH AMERICA 0 0 PROGRAM SERVICES FOREIGN TRAVEL 25473 SOUTH ASIA 0 3 PROGRAM SERVICES FOREIGN TRAVEL 21096 SUB-SAHARAN AFRICA 0 2 PROGRAM SERVICES FOREIGN TRAVEL 25369 EAST ASIA AND THE PACIFIC 1 0 PROGRAM SERVICES FOREIGN CENTER 1785109 EAST ASIA AND THE PACIFIC 0 23 PROGRAM SERVICES EDUCATION 759661 EUROPE 0 22 PROGRAM SERVICES EDUCATION 1706340 MIDDLE EAST AND NORTH AFRICA 0 2 PROGRAM SERVICES EDUCATION 221373 NORTH AMERICA 0 8 PROGRAM SERVICES EDUCATION 966641 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EDUCATION 55581 SOUTH AMERICA 0 1 PROGRAM SERVICES EDUCATION 203708 SOUTH ASIA 1 13 PROGRAM SERVICES EDUCATION 678641 SUB-SAHARAN AFRICA 2 22 PROGRAM SERVICES EDUCATION 3937880 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 2448754 EUROPE 0 7 PROGRAM SERVICES CONFERENCES & SEMINARS 5097852 MIDDLE EAST AND NORTH AFRICA 0 2 PROGRAM SERVICES CONFERENCES & SEMINARS 387969 NORTH AMERICA 0 3 PROGRAM SERVICES CONFERENCES & SEMINARS 976924 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 157984 SOUTH AMERICA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 235493 SOUTH ASIA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 374325 SUB-SAHARAN AFRICA 0 7 PROGRAM SERVICES CONFERENCES & SEMINARS 373523 CENTRAL AMERICA AND THE CARIBBEAN 0 1 INVESTMENTS 200827 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 12144107519 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 28177 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 88957 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 649934155 EUROPE 0 0 INVESTMENTS 650728102 MIDDLE EAST AND NORTH AFRICA 0 0 INVESTMENTS 7142 NORTH AMERICA 0 0 INVESTMENTS 206131244 SOUTH AMERICA 0 0 INVESTMENTS 127342022 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 526921420 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENT FEES 39562148 SOUTH AMERICA 0 0 INVESTMENT FEES 6962159 EAST ASIA AND THE PACIFIC 0 0 INV. OPERATING SUBS 160684 SOUTH ASIA 0 0 INV. OPERATING SUBS 468677 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INV. ADMINISTRATION 4349 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 228405 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 55321 EUROPE 0 0 GRANTMAKING 4290120 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 140589 NORTH AMERICA 0 0 GRANTMAKING 318124 SOUTH AMERICA 0 0 GRANTMAKING 243667 SOUTH ASIA 0 0 GRANTMAKING 659729 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 963604 EUROPE 0 0 GRANTMAKING 16063 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 18000 EAST ASIA AND THE PACIFIC 1 0 FUNDRAISING 88184 EUROPE 1 1 FUNDRAISING 96729 MIDDLE EAST AND NORTH AFRICA 0 0 FUNDRAISING 6116 NORTH AMERICA 0 0 FUNDRAISING 35856 SOUTH AMERICA 0 0 FUNDRAISING 46876 6 201 9 403 15 604 15264820 14395084071 14410348891 EAST ASIA AND THE PACIFIC RESEARCH SUB 55321 CHECK/WIRE EUROPE RESEARCH SUB 20460 CHECK/WIRE EUROPE RESEARCH SUB 169788 CHECK/WIRE EUROPE RESEARCH SUB 29000 CHECK/WIRE EUROPE RESEARCH SUB 131351 CHECK/WIRE EUROPE RESEARCH SUB 202104 CHECK/WIRE EUROPE RESEARCH SUB 116382 CHECK/WIRE EUROPE RESEARCH SUB 216016 CHECK/WIRE EUROPE RESEARCH SUB 42641 CHECK/WIRE EUROPE RESEARCH SUB 99184 CHECK/WIRE EUROPE RESEARCH SUB 110849 CHECK/WIRE EUROPE RESEARCH SUB 58605 CHECK/WIRE EUROPE RESEARCH SUB 58000 CHECK/WIRE EUROPE RESEARCH SUB 228198 CHECK/WIRE EUROPE RESEARCH SUB 63002 CHECK/WIRE EUROPE RESEARCH SUB 16200 CHECK/WIRE EUROPE RESEARCH SUB 1507219 CHECK/WIRE EUROPE RESEARCH SUB 417525 CHECK/WIRE EUROPE RESEARCH SUB 104907 CHECK/WIRE EUROPE RESEARCH SUB 54310 CHECK/WIRE EUROPE RESEARCH SUB 111409 CHECK/WIRE EUROPE RESEARCH SUB 112867 CHECK/WIRE EUROPE RESEARCH SUB 52048 CHECK/WIRE EUROPE RESEARCH SUB 15000 CHECK/WIRE EUROPE RESEARCH SUB 14923 CHECK/WIRE EUROPE RESEARCH SUB 54797 CHECK/WIRE EUROPE RESEARCH SUB 72810 CHECK/WIRE EUROPE RESEARCH SUB 136000 CHECK/WIRE EUROPE RESEARCH SUB 64380 CHECK/WIRE MIDDLE EAST AND NORTH AFRICA RESEARCH SUB 140589 CHECK/WIRE NORTH AMERICA RESEARCH SUB 27720 CHECK/WIRE NORTH AMERICA RESEARCH SUB 10503 CHECK/WIRE NORTH AMERICA RESEARCH SUB 53222 CHECK/WIRE NORTH AMERICA RESEARCH SUB 26500 CHECK/WIRE NORTH AMERICA RESEARCH SUB 22802 CHECK/WIRE NORTH AMERICA RESEARCH SUB 50000 CHECK/WIRE NORTH AMERICA RESEARCH SUB 127377 CHECK/WIRE SOUTH AMERICA RESEARCH SUB 108144 CHECK/WIRE SOUTH AMERICA RESEARCH SUB 32000 CHECK/WIRE SOUTH AMERICA RESEARCH SUB 6011 CHECK/WIRE SOUTH AMERICA RESEARCH SUB 95458 CHECK/WIRE SOUTH ASIA RESEARCH SUB 372122 CHECK/WIRE SOUTH ASIA RESEARCH SUB 23485 CHECK/WIRE SOUTH ASIA RESEARCH SUB 137932 CHECK/WIRE SOUTH ASIA RESEARCH SUB 126190 CHECK/WIRE SUB-SAHARAN AFRICA RESEARCH SUB 95298 CHECK/WIRE SUB-SAHARAN AFRICA RESEARCH SUB 256964 CHECK/WIRE SUB-SAHARAN AFRICA RESEARCH SUB 97047 CHECK/WIRE SUB-SAHARAN AFRICA RESEARCH SUB 366280 CHECK/WIRE SUB-SAHARAN AFRICA RESEARCH SUB 37800 CHECK/WIRE SUB-SAHARAN AFRICA RESEARCH SUB 110216 CHECK/WIRE 49 2 GRANTS EAST ASIA AND THE PACIFIC 15 18000 CHECK/EFT STIPENDS EUROPE 2 16063 CHECK/EFT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 29 228405 CHECK/EFT true true true true true true PART I: LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE OF THE UNITED STATES (US) ARE PRINCIPALLY GOVERNED BY THE PURPOSE FOR WHICH THE FUNDS WERE GRANTED. SUBAWARD GRANTS AND GRANTS PAID OUTSIDE OF THE US, OR FOR USE OUTSIDE THE US, FOR PROGRAMS WHICH HAVE A READILY IDENTIFIABLE FOREIGN COMPONENT AND ARE TRACKED SEPARATELY ARE REPORTED ON SCHEDULE F. (GRANTMAKING IS FURTHER DISCUSSED BELOW.) FINANCIAL AID: FINANCIAL AID AMOUNTS SUCH AS GRANTS, STIPENDS, FELLOWSHIPS AND SCHOLARSHIPS ARE PAID TO ENROLLED STUDENTS AND MAY BE USED FOR ACADEMIC ACTIVITIES ABROAD. STANFORD REQUIRES THAT STUDENTS WHO ARE RECEIVING FINANCIAL AID MAINTAIN THEIR REGISTRATION STATUS, AND BE ENROLLED FOR ACADEMIC CREDIT IN UNIVERSITY-APPROVED AND MONITORED PROGRAMS AND/OR RELATED ACADEMIC ACTIVITIES. ACCORDINGLY, THE UNIVERSITY DOES NOT CONSIDER FINANCIAL AID DISBURSEMENTS IN THE US TO ENROLLED STUDENTS AS "GRANTS TO FOREIGN INDIVIDUALS." DURING THE YEAR ENDED AUGUST 31, 2020, THE COVID PANDEMIC IMPACTED STUDENTS WORLDWIDE AND MANY INTERNATIONAL STUDENTS WERE NOT ABLE TO TRAVEL TO THE US EITHER DUE TO TRAVEL BANS, INABILITY TO SECURE VISAS OR HEALTH AND SAFETY CONCERNS. FINANCIAL AID WAS CONTINUED FOR THESE STUDENTS AND STANFORD DOES NOT CONSIDER THIS TEMPORARY SITUATION TO TRIGGER SCH F GRANTMAKING REPORTING OBLIGATIONS. SUBAWARDS: PROCEDURES FOR MONITORING SUBAWARDS (DISCUSSED FURTHER BELOW UNDER 3. GRANTMAKING) INCLUDE AN INITIAL RISK ASSESSMENT OF THE RECIPIENT TOGETHER WITH A REVIEW OF AUDIT/FINANCIALS. THIS ASSESSMENT DETERMINES THE SCOPE OF AGREEMENT TERMS TO ENSURE SAFE-HANDLING OF THE AWARD. IN ACCORDANCE WITH OFFICE OF MANAGEMENT AND BUDGET (OMB) UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS (UNIFORM GUIDANCE), SUB-RECIPIENTS WHO ARE NOT UNDER SINGLE AUDIT ARE REQUIRED TO ANNUALLY COMPLETE A QUESTIONNAIRE DESIGNED TO ASSESS CERTAIN ASPECTS OF THE SUB-RECIPIENT'S INTERNAL CONTROLS AND FINANCIAL STATUS. THIS INFORMATION IS COLLECTED AND REVIEWED BY UNIVERSITY SPONSORED RESEARCH SPECIALISTS. INVOICES SUBMITTED BY THE SUB-RECIPIENT TO THE UNIVERSITY ARE REVIEWED TO ENSURE THAT CHARGED EXPENSES MEET BOTH INTERNAL ACCOUNTING POLICIES, AS WELL AS FEDERAL STANDARDS. AWARDS ARE MONITORED ON AN ONGOING BASIS. PART I, LINE 3: DETAILS FOR EACH TYPE OF ACTIVITY (1. PROGRAM SERVICES, 2. INVESTMENTS, 3. GRANTMAKING, 4. FUNDRAISING) CONDUCTED IN EACH REGION AND THE METHOD USED TO ACCOUNT FOR EXPENDITURES ON PART I, COLUMN (F): AS A LEADING RESEARCH INSTITUTION, STANFORD UNIVERSITY CONDUCTS ACTIVITIES WORLDWIDE IN PURSUIT OF ITS ACADEMIC MISSION OF EDUCATION, RESEARCH AND PATIENT CARE. ITS STUDENTS, FACULTY AND ALUMNI COMMUNITIES ARE SIMILARLY INTERNATIONAL IN CHARACTER, AND SEEK TO COLLABORATE IN AN INTERDEPENDENT WORLD TO UNDERSTAND AND SOLVE GLOBAL CHALLENGES. THE UNIVERSITY HAS REPORTED ON SCHEDULE F EXPENDITURES RELATING TO FOREIGN ACTIVITIES THAT ARE TRACKED IN THE ACCOUNTING SYSTEM, IN ACCORDANCE WITH U.S. GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. 1.PROGRAM SERVICES: PROGRAM SERVICES INCLUDE ACTIVITIES RELATING TO THE CORE INSTITUTIONAL MISSION OF TEACHING, RESEARCH AND HEALTH CARE. FOR THE FISCAL YEAR ENDED AUGUST 31, 2020, AMOUNTS ASSOCIATED WITH PROGRAM SERVICES WERE SIGNIFICANTLY LOWER THAN IN PRIOR YEARS DUE TO THE CURTAILING IMPACT OF COVID ON NORMAL ACTIVITIES INVOLVING TRAVEL. -TRAVEL STUDY: TRAVEL STUDY INCLUDES EXPENSES INCURRED IN REGION FOR STUDENTS TO EXAMINE GLOBAL ISSUES IN A FACULTY LED GROUP-LEARNING ENVIRONMENT. -STUDY TOURS: STUDY TOURS INCLUDE EXPENSES INCURRED IN THE REGION FOR ALUMNI ASSOCIATION SPONSORED STUDY TRIPS. -STUDY ABROAD: STUDY ABROAD INCLUDES OPERATING EXPENSES INCURRED IN THE REGION FOR PREDOMINANTLY STANFORD-RUN UNDERGRADUATE FOREIGN STUDY PROGRAMS. CONSISTENT WITH FINANCIAL STATEMENT TREATMENT, WHERE SALARIES ARE INCURRED, A COST ALLOCATION FOR FRINGE BENEFITS IS ADDED TO SALARIES FOR REPORTING PURPOSES. -RESEARCH: RESEARCH INCLUDES CONTRACT PAYMENTS TO FOREIGN SUB-RECIPIENTS AND DIRECT COSTS INCURRED REGIONALLY FOR ACADEMIC RESEARCH PROJECTS, INCLUDING PAYMENTS FOR PROFESSIONAL SERVICES ENGAGED TO FURTHER THE RESEARCH PURPOSE. -FOREIGN TRAVEL: FOREIGN TRAVEL IS CATEGORIZED SEPARATELY IN THE ACCOUNTING SYSTEM TO MEET COST PRINCIPLES OF OMB REQUIREMENTS. -FOREIGN CENTER: REPRESENTS EXPENSES INCURRED FOR THE OPERATION, SUPPORT, MAINTENANCE, AND MANAGEMENT OF FACILITIES IN THE EAST ASIA/PACIFIC REGION TO HOUSE STANFORD FACULTY, STAFF, AND STUDENTS ENGAGED IN ACADEMIC ACTIVITIES. -EDUCATION: INCLUDES PROGRAM FUNDING FOR US FACULTY AND STUDENTS FOR ACADEMIC ACTIVITIES CONDUCTED INTERNATIONALLY. STANFORD ALSO OFFERS EDUCATIONAL PROGRAMS TO NON-MATRICULATED STUDENTS. -CONFERENCES AND SEMINARS: INCLUDE EXPENSES INCURRED FOR LODGING, TRANSPORTATION AND MEALS FOR FACULTY AND STUDENTS TO ATTEND AND PRESENT ACADEMIC AND RESEARCH FINDINGS. 2.INVESTMENTS: I) INVESTMENTS ARE REPORTED AS OF AUGUST 31, 2020 AT FAIR MARKET VALUE, DETERMINED IN ACCORDANCE WITH ACCOUNTING PRINCIPLES GENERALLY ACCEPTED IN THE U.S. INVESTMENT MANAGEMENT FEES ARE DIRECT FEES EXPENSED DURING FISCAL YEAR 2020. ON OCCASION THE UNIVERSITY WILL INVEST IN AN ENTITY THAT WILL REQUIRE A PREPAYMENT OF CERTAIN INVESTMENT MANAGEMENT RELATED FEES. THE UNIVERSITY INCLUES SUCH FEES AS PART OF THE INITIAL INVESTMENT FOR ACCOUNTING PUPOSES. IN ACCORDANCE WITH IRS SPECIFIC SCHEDULE F INSTRUCTIONS AND CONSISTENT WITH UNIVERSITY ACCOUNTING POLICY TO INCLUDE SUCH FEES AS PART OF THE INITIAL INVESTMENT BASIS, THE PREPAYMENT OF INVESTMENT MANAGEMENT FEES AND THE SUBSEQUENT AMORTIZATION THEREOF IS EXCLUDED FROM PART I REPORTING. THE REGION IN WHICH INVESTMENTS ARE REPORTED ON SCHEDULE F IS BASED ON THE INVESTMENT ENTITY'S LEGAL DOMICILE (I.E., COUNTRY WHOSE LAWS GOVERN THE ENTITY'S AFFAIRS) AND IS NOT INTENDED TO BE AN INDICATION OF WHERE THE INVESTMENT MANAGER DEPLOYS ASSETS. ACCORDINGLY, SUCH INFORMATION ON SCHEDULE F MAY NOT REFLECT THE REGIONS OF THE WORLD WHERE THE UNIVERSITY'S ASSETS ARE ACTUALLY INVESTED. STANFORD MANAGEMENT COMPANY ("SMC"), A DIVISION OF THE UNIVERSITY, ACTIVELY MANAGES THE UNIVERSITY'S MERGED POOL, WHICH COMPRISES THE SUBSTANTIAL MAJORITY OF STANFORD'S INVESTABLE ASSETS. THE PORTFOLIO IS CONSTRUCTED TO GENERATE ATTRACTIVE LONG-TERM RETURNS, ADJUSTED FOR RISK, SO THAT THE ENDOWMENT CAN PROVIDE MEANINGFUL ANNUAL SUPPORT TO THE OPERATING BUDGET OF THE UNIVERSITY WHILE PRESERVING PURCHASING POWER ACROSS GENERATIONS. STANFORD'S INVESTMENT PROGRAM IS CONSISTENT WITH ITS FIDUCIARY RESPONSIBILITIES UNDER THE CALIFORNIA UNIFORM PRUDENT INVESTOR ACT. TO EXECUTE ITS INVESTMENT STRATEGY, STANFORD INVESTS THROUGH ONSHORE AND OFFSHORE INVESTMENT VEHICLES. OFTEN, WHEN ACCESSING INTERNATIONAL OPPORTUNITIES, THERE IS NO ONSHORE OPTION. STANFORD REPORTS ITS HOLDINGS TO THE IRS AND OTHER TAX AUTHORITIES AND MAKES EVERY EFFORT TO BE FULLY COMPLIANT WITH ALL APPLICABLE DOMESTIC AND FOREIGN LAWS. OFFSHORE VEHICLES ARE STILL SUBJECT TO U.S. TAX PROVISIONS, SPECIFICALLY ON INCOME THAT IS EFFECTIVELY CONNECTED TO THEIR OPERATIONS IN THE U.S., AS WELL AS ON DIVIDENDS RECEIVED FROM OPERATIONS DOMICILED IN THE U.S. IN SUMMARY, THE UNIVERSITY'S LONG-TERM INVESTMENT STRATEGY RELIES ON A PORTFOLIO DIVERSIFIED BY ASSET CLASS AND GEOGRAPHY, CONTINUALLY REFINED TO ACHIEVE DESIRED OVERALL RISK AND RETURN CHARACTERISTICS. COMBINED WITH A DISCIPLINED PAYOUT POLICY, STANFORD'S TRUSTEES AIM TO PROVIDE ROBUST ANNUAL SUPPORT FOR THE CURRENT OPERATING ACTIVITIES AND TO PRESERVE THE PURCHASING POWER OF THE ENDOWMENT FOR FUTURE GENERATIONS OF STUDENTS AND SCHOLARS. II) ALSO REPORTED AS INVESTMENTS ARE STANFORD'S INVESTMENTS IN RELATED OPERATING SUBSIDIARIES THROUGH WHICH THE UNIVERSITY CONDUCTS ONGOING PROGRAM ACTIVITIES IN CERTAIN FOREIGN COUNTRIES. 3.GRANTMAKING: STANFORD UNIVERSITY IS NOT A "GRANT MAKER" PER SE IN THAT ITS FUNDAMENTAL MISSION, AND PURPOSE FOR TAX-EXEMPTION, RELATES TO TEACHING, RESEARCH AND HEALTH CARE ACTIVITIES. HOWEVER, IN THE COURSE OF THESE MISSION-BASED ACTIVITIES, THE UNIVERSITY DOES MAKE PAYMENTS THAT MEET THE CRITERIA FOR 'GRANTMAKING' AS DEFINED BY THE INSTRUCTIONS TO IRS 990 SCHEDULE F. ACCORDINGLY, THESE GRANTS ARE REPORTED ON SCHEDULE F, PART I, AND ALSO REPORTED ON PARTS II AND III AS REQUIRED BY THE INSTRUCTIONS. FOR MOST UNITED STATES INSTITUTIONS OF HIGHER EDUCATION, PROVISION OF FINANCIAL AID TO STUDENTS IS AN IMPORTANT ACTIVITY ENABLING QUALIFIED STUDENTS TO OBTAIN A COLLEGE EDUCATION AT THE UNDERGRADUATE, GRADUATE OR POSTDOCTORAL LEVEL. STANFORD IS COMMITTED TO A "NEED-BLIND" ADMISSION POLICY FOR U.S. CITIZENS AND PERMANENT RESIDENTS; IT ADMITS QUALIFIED STUDENTS WITHOUT REGARD TO THEIR ABILITY TO PAY, AND PROVIDES A COMPREHENSIVE FINANCIAL AID PROGRAM FOR ALL ADMITTED US UNDERGRADUATE STUDENTS WHO HAVE UNIVERSITY-COMPUTED NEED, AND WHO MEET STATED FINANCIAL AID ELIGIBILITY REQUIREMENTS. FOR THE FISCAL YEAR ENDED AUGUST 31, 2020 (FY 2020), 50% OF UNDERGRADUATE AND ABOUT 83% OF GRADUATE STUDENTS RECEIVED SOME FORM OF FINANCIAL AID, WITH A TOTAL OF $692 MILLION OF FINANCIAL AID DISBURSED TO ALL STANFORD STUDENTS. APPROXIMATELY 45% OF THIS AID TOOK THE FORM OF TRANSFERS FROM INTERNAL UNIVERSITY FUNDS (OFTEN IN ACCORDANCE WITH DONOR TERMS) TO OFFSET TUITION AND OTHER UNIVERSITY CHARGES THAT WOULD OTHERWISE HAVE BEEN RECEIVED BY THE UNIVERSITY. THE BALANCE OF $379 MILLION REPRESENTS DISBURSEMENTS, PRIMARILY TO GRADUATE STUDENTS, FOR STIPENDS, FELLOWSHIPS AND OTHER STUDENT AID IN SUPPORT OF ACADEMIC EFFORT. GRANTS TO ORGANIZATIONS ARE PRIMARILY IN THE FORM OF RESEARCH SUBAWARDS. SUBAWARDS ARE PAYMENTS TO THIRD PARTY RECIPIENTS FOR PERFORMING A PORTION OF A STANFORD RESEARCH PROGRAM, MOST OFTEN A SPONSORED-RESEARCH PROJECT. MANY SUBAWARDS ARE AGREEMENTS FOR CONTRACTUALLY DEFINED DELIVERABLES, USUALLY REQUIRING HIGHLY SPECIFIC EXPERTISE. AS SUCH THEY COULD BE DESCRIBED AS RESEARCH CONTRACTS. HOWEVER, CERTAIN SUBAWARDS ARE CATEGORIZED AS GRANTS, DEPENDING ON THE NATURE OF THE ORIGINATING PRIME FUNDING SOURCE, SINCE THE TERMS AND CONDITIONS OF THE ORIGINATING FUNDING SOURCE GENERALLY FLOW THROUGH TO THE SUBAWARD. ACCORDINGLY, GRANT-FUNDED SUBAWARDS ARE REPORTED IN PART II. CONTRACT-FUNDED SUBAWARDS TO FOREIGN RECIPIENTS ARE REPORTED IN PART I, LINE 3 AS PROGRAM SERVICES - RESEARCH. GRANTS REPORTED ON SCHEDULE F ARE DIRECTLY TRACKED AND SOURCED FROM THE ACCOUNTING SYSTEM. IT IS CURRENTLY NOT POSSIBLE TO REPORT EXHAUSTIVELY ALL GRANTS TO FOREIGN INDIVIDUALS OR ORGANIZATIONS OR TO DOMESTIC INDIVIDUALS OR ORGANIZATIONS WITH DESIGNATED FOREIGN BENEFICIARIES. SEE BELOW FOR FURTHER EXPLANATION OF THE METHOD USED TO ACCOUNT FOR GRANTS ON PART II AND III. 4.FUNDRAISING: FUNDRAISING INCLUDES EXPENSES DIRECTLY INCURRED IN THE REGION FOR FUNDRAISING ACTIVITIES. PART II: METHOD USED TO ACCOUNT FOR GRANTS TO ORGANIZATIONS SUBAWARDS ARE SEPARATELY TRACKED IN THE ACCOUNTING SYSTEM WITH THE IDENTIFICATION OF THE FUNDING SOURCE OF THE SUBAWARD (I.E. GRANT VS. CONTRACT)SEPARATELY TRACKED IN THE UNIVERSITY'S SPONSORED RESEARCH SYSTEM. INCLUDED IN PART II ARE DIRECT GRANTS AND OTHER ASSISTANCE TO ORGANIZATIONS OUTSIDE THE US. THE UNIVERSITY DOES NOT TRACK WHETHER GRANTS TO ORGANIZATIONS WITHIN THE U.S. ARE MADE FOR THE PURPOSE OF PROVIDING GRANTS TO FOREIGN ORGANIZATIONS. SUBAWARDS ARE SUBJECT TO THE MONITORING PROCEDURES DISCUSSED IN PART V WITH RESPECT TO PART I, LINE 2 REGARDLESS OF WHETHER THE RECIPIENT WILL FURTHER SUBAWARD FUNDS IN ORDER TO ACCOMPLISH THE PURPOSES OF THE AWARD. PART III: METHOD USED TO ACCOUNT FOR GRANTS TO INDIVIDUALS PAYMENTS TO INDIVIDUALS OUTSIDE OF THE US ARE TRACKED IN THE PAYABLES SUB-LEDGER OF THE ACCOUNTING SYSTEM. GRANT DISBURSEMENTS TO STUDENTS AND FACULTY ARE TRACKED AT A SUMMARY LEVEL IN THE ACCOUNTING SYSTEM. THE AWARDING AND MONITORING OF INDIVIDUAL GRANT FUNDS IS A DECENTRALIZED ACADEMIC PROGRAM LEVEL RESPONSIBILITY. THE NUMBER OF RECIPIENTS REPORTED IN PART III REFLECT IDENTIFIABLE ACTUAL RECIPIENTS OF THOSE PROGRAMS, OR OTHER IDENTIFIED STUDENT RECIPIENTS. X X X X X X X true THE STELTER COMPANY 10435 NEW YORK AVENUE DES MOINES IA 50322 BROCHURES false 0 26578 0 MJM PARTNERS JAYNE MORDELL 40 PALMER LANE PORTOLA VALLEY CA 94028 STRATEGY PLANNING false 0 21000 0 ROUMANI CONSULTING LLC 1459 18TH ST STE 363 SAN FRANCISCO CA 94107 MARKET RESEARCH false 0 29728 0 0 77306 0 CA NY RODIN MOONLIGHT 734880 639773 95107 46291 84689 92819 299464 0 0 0 0 0 0 0 0 0 0 734880 639773 95107 0 0 46291 84689 92819 299464 523263 -428156 true ALAMEDA ELEMENTARY SCHOOL 501 N DIXON PORTLAND OR 97227 936000830 STATE OF OR 24122 EQUIPMENT PURCHASE ALLIANCE FOR SCHOOL CHOICE INC 1020 19TH ST NW WASHINGTON DC 20036 522111508 501(C)(3) 50000 GENERAL SUPPORT AMERICAN ASSOCIATES BEN-GURION UNIV OF THE NEGEV 1001 AVE OF THE AMERICAS NEW YORK NY 10018 237270753 501(C)(3) 20000 SCHOLARSHIP SUPPORT AMERICAN CIVIL LIBERTIES UNION FDN INC 125 BROAD ST NEW YORK NY 10004 136213516 501(C)(3) 10000 GENERAL SUPPORT AMERICAN CIVIL LIBERTIES UNION FDN OF NRN CA 39 DRUMM ST SAN FRANCISCO CA 94111 940279770 501(C)(3) 10000 GENERAL SUPPORT AMERICAN FRIENDS OF BEIT HATFUTSOT 633 THIRD AVE 21ST FL NEW YORK NY 10017 132928469 501(C)(3) 500000 GENERAL SUPPORT AMERICAN FRIENDS OXFORD CNT HEBREW JEWISH CO 279 FRANKLIN ST NEWTON MA 02458 132943469 501(C)(3) 25000 SCHOLARSHIP SUPPORT AMERICAN MUSEUM OF NATURAL HISTORY 200 CENTRAL PARK W NEW YORK NY 10024 136162659 501(C)(3) 100000 RELIEF FUND SUPPORT AMERICAN NATIONAL RED CROSS 431 18TH ST WASHINGTON DC 20006 530196605 501(C)(3) 10000 GENERAL SUPPORT AMERICAN SOCIETY OF THE UNIV OF HAIFA 80 BROAD ST 2102 NEW YORK NY 10004 136220819 501(C)(3) 1000000 GENERAL SUPPORT AMERICANS UNITED FOR SEP OF CHURCH AND STATE 1310L ST NW STE 200 WASHINGTON DC 20005 530184647 501(C)(3) 20000 GENERAL SUPPORT AMERICA'S CHARITIES 14383 NEWBROOK DRIVE CHANTILLY VA 20151 541517707 501(C)(3) 150000 GENERAL SUPPORT ANTI-DEFAMATION LEAGUE 605 THIRD AVE NEW YORK NY 10158 131818723 501(C)(3) 50000 GENERAL SUPPORT AOPA FOUNDATION 421 AVIATION WAY FREDERICK MD 21701 208817225 501(C)(3) 20000 GENERAL SUPPORT APA FAMILY SUPPORT SERVICES 10 NOTTINGHAM PLACE SAN FRANCISCO CA 94133 943164091 501(C)(3) 20000 GENERAL SUPPORT ASIA SOCIETY 725 PARK AVE NEW YORK NY 10021 133234632 501(C)(3) 50000 EDIPLOMACY HUB SUPPORT ASIAN ART MUSEUM FOUNDATION OF SF 200 LARKIN ST SAN FRANCISCO CA 94102 941704765 501(C)(3) 120000 EVENT SUPPORT ASSOCIATED STUDETNS OF STANFORD UNIVERSITY 520 LASUEN MALL STE 103 STANFORD CA 94305 941279777 501(C)(3) 75000 TALISMAN SUPPORT ASSOCIATION OF GRADS OF THE US MILITARY ACAD 698 MILLS RD WEST POINT NY 10996 141260763 501(C)(3) 10000 FUND SUPPORT BELLARMINE COLLEGE PREPARATORY US CATHOLIC CONF 960 W HEDDING ST SAN JOSE CA 95126 941160938 501(C)(3) 14600 GREENHOUSE CONSTR. 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CHRIS CAMMISA TENNIS AND EDUCATION FDN 1007 VIA PALO LINDA FAIRFIELD CA 94534 473537715 501(C)(3) 8500 GENERAL SUPPORT COACHING CORPS 310 8TH ST STE 300 OAKLAND CA 94607 943310845 501(C)(3) 100000 GENERAL SUPPORT CODEORG 1501 4TH AVE STE 900 SEATTLE WA 98101 460858543 501(C)(3) 25000 GENERAL SUPPORT COLLEGESPRING 1333 BROADWAY OAKLAND CA 94612 270920698 501(C)(3) 90000 STUDENT AID COLLEGE TRACK 112 LINDEN ST OAKLAND CA 94607 943279613 501(C)(3) 90000 STUDENT AID COMFORT WOMEN JUSTICE COALITION PO BOX 27635 SAN FRANCISCO CA 94127 810768936 501(C)(3) 25000 PROJECT SUPPORT COMMONWEALTH CLUB OF CALIFORNIA 110 EMBARCADERO SAN FRANCISCO CA 94105 940399260 501(C)(3) 10000 EVENT SUPPORT COMMONWEALTH CLUB OF CALIFORNIA 110 EMBARCADERO SAN FRANCISCO CA 94105 940399260 501(C)(3) 10000 COVID-19 INITIATIVE COMPUTATIONAL THINKING ALLIANCE 1544 GRANVILLE AVE LOS ANGELES CA 90025 832020995 501(C)(3) 75000 GENERAL SUPPORT CONTEMPORARY JEWISH MUSEUM 736 MISSION ST SAN FRANCISCO CA 94103 470920831 501(C)(3) 25000 FUND SUPPORT CORNELL UNIVERSITY 130 E SENECA ST ITHACA NY 14850 150532082 501(C)(3) 200000 GENERAL SUPPORT COUNCIL ON FOREIGN RELATIONS 58 E 68TH ST NEW YORK NY 10065 131628168 501(C)(3) 150000 GENERAL SUPPORT CURIODYSSEY 1651 COYOTE POINT DR SAN MATEO CA 94401 941262434 501(C)(3) 50000 GENERAL SUPPORT DESTINATION COLLEGE ADVISING CORP BLDG C BERKELEY CA 94720 461192687 501(C)(3) 75000 STUDENT AID DUKE UNIVERSITY BOX 104132 DURHAM NC 27708 560532129 501(C)(3) 200000 GENERAL SUPPORT ECHOING GREEN INC 462 7TH AVE 13TH FL NEW YORK NY 10018 133424419 501(C)(3) 333334 GENERAL SUPPORT FEDERALIST SOCIETY FOR LAW & PUBLIC POLICY STUDIES 1776 I ST NW STE 300 WASHINGTON DC 20006 363235550 501(C)(3) 200000 GENERAL SUPPORT FIDELITY INVESTMENTS CHARITABLE GIFT FUND 200 SEAPORT BLVD BOSTON MA 02210 110303001 501(C)(3) 50000 GENERAL SUPPORT FORWARD ASSOC INC 125 MAIDEN LN 8TH FL NEW YORK NY 10038 130623590 501(C)(3) 25000 GENERAL SUPPORT FOUNDATION FOR A COLLEGE EDUCATION 2160 EUCLID 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CAMPAIGN HEAD ROYCE SCHOOL 4315 LINCOLN AVE OAKLAND CA 94602 941518656 501(C)(3) 10000 K-6 SUPPORT HILLEL THE FDN FOR JEWISH CAMPUS LIFE 800 EIGHTH ST NW WASHINGTON DC 20001 521844823 501(C)(3) 25000 EVENT SUPPORT HOUSING CONSORTIUM OF THE EAST BAY 410 7TH ST STE 203 OAKLAND CA 94607 943298156 501(C)(3) 250000 FUND SUPPORT HOWARD UNIVERSITY 2400 6TH ST NW STE 402 WASHINGTON DC 20059 530204707 501(C)(3) 200000 PROGRAM SUPPORT IRANIAN AMERICAN MEDICAL ASSOCIATION PO BOX 8218 HALEDON NJ 07538 521839683 501(C)(3) 100000 COVID-19 INITIATIVE IRANIAN SCHOLARSHIP FUND PO BOX 7531 MENLO PARK CA 94026 203100594 501(C)(3) 20000 EVENT SUPPORT J DAVID GLADSTONE INSTITUTES 1650 OWENS ST SAN FRANCISCO CA 94158 237203666 501(C)(3) 160000 DISEASE SPECIFIC FUND J DAVID GLADSTONE INSTITUTES 1650 OWENS ST SAN FRANCISCO CA 94158 237203666 501(C)(3) 122000 JOINT PROJECT JEWISH FAMILY AND CHILDREN'S SERVICES PO BOX 159004 SAN FRANCISCO CA 94115 941156528 501(C)(3) 50000 CA WILDFIRE DISASTER FUND JEWISH FAMILY AND CHILDREN'S SERVICES PO BOX 159004 SAN FRANCISCO CA 94115 941156528 501(C)(3) 1000000 OP AND EM FUND JEWISH FAMILY AND CHILDREN'S SERVICES PO BOX 159004 SAN FRANCISCO CA 94115 941156528 501(C)(3) 10000 CAP BAY AREA PROGRAM JEWISH THEOLOGICAL SEMINARY OF AMERICA 3080 BROADWAY NEW YORK NY 10027 130887640 501(C)(3) 25000 FUND SUPPORT KENNEBUNKPORT CONSERVATION TRUST PO BOX 7028 CAPE PORPOISE ME 04014 237271573 501(C)(3) 40000 GENERAL SUPPORT KHAN ACADEMY PO BOX 1630 MOUNTAIN VIEW CA 94042 261544963 501(C)(3) 15000 GENERAL SUPPORT KIEVE-WAVUS EDUCATION INC PO BOX 169 NOBLEBORO ME 04555 237352599 501(C)(3) 25000 GENERAL SUPPORT LUCILE PACKARD CHILDREN'S HOSPITAL 725 WELCH ROAD PALO ALTO CA 94304 770003859 501(C)(3) 100000 GENERAL SUPPORT LUCILE PACKARD CHILDREN'S HOSPITAL 725 WELCH ROAD PALO ALTO CA 94304 770003859 501(C)(3) 10000 CHILDREN'S ART FUND MAKE A WISH FDN OF AMERICA 4742 N 24TH ST STE 400 PHOENIX AZ 85016 860481941 501(C)(3) 12500 GENERAL SUPPORT MAKING WAVES FOUNDATION INC 3045 RESEARCH DRIVE RICHMOND CA 94806 680204312 501(C)(3) 200000 GENERAL SUPPORT MAKING WAVES FOUNDATION INC 3045 RESEARCH DRIVE RICHMOND CA 94806 680204312 501(C)(3) 225000 CAP BAY AREA PROGRAM MARYCREST MANOR 10664 ST JAMES DR CULVER CITY CA 90230 951708771 501(C)(3) 500000 GENERAL SUPPORT MAYO CLINIC ROCHESTER 200 FIRST ST SW ROCHESTER MN 55905 416011702 501(C)(3) 75000 GENERAL SUPPORT MENLO SCHOOL 50 VALPARAISO AVE ATHERTON CA 94027 943204137 501(C)(3) 2250000 FUND SUPPORT NATIONAL PARK FOUNDATION 1500 K ST NW STE 700 WASHINGTON DC 20005 521086761 501(C)(3) 25000 GENERAL SUPPORT NATIONAL PARK FOUNDATION 1500 K ST NW STE 700 WASHINGTON DC 20005 521086761 501(C)(3) 250000 BCG PROJECT SUPPORT NATIONAL WWII MUSEUM 945 MAGAZINE ST NEW ORLEANS LA 70130 721200790 501(C)(3) 200000 GENERAL SUPPORT NORTHERN LIGHT SCHOOL 3710 DORISA AVE STE 320 OAKLAND CA 94605 943097690 501(C)(3) 50000 GENERAL SUPPORT ONEGOAL BAY AREA PO BOX 3032 OAKLAND CA 94609 562369898 501(C)(3) 55000 STUDENT AID OUR 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PALO ALTO CA 94306 943226017 501(C)(3) 75000 STUDENT AID RAFIKI FOUNDATION INCORPORATED PO BOX 1988 EUSTIS FL 32727 742477089 501(C)(3) 12500 GENERAL SUPPORT REGENTS OF THE UC BERKELEY 121 NORTH GATE HALL BERKELEY CA 94720 946002123 STATE OF CA 50000 GENERAL SUPPORT RONALD MCDONALD HOUSE CHARITIES BAY AREA 520 SAND HILL RD PALO ALTO CA 94304 942538615 501(C)(3) 100000 GENERAL SUPPORT RONALD MCDONALD HOUSE CHARITIES BAY AREA 520 SAND HILL RD PALO ALTO CA 94304 942538615 501(C)(3) 10000 COVID-19 INITIATIVE SAINT JOHNS HOSPITAL & HEALTH CENTER FDN 2121 SANTA MONICA BLVD SANTA MONICA CA 90404 956100079 501(C)(3) 50000 GENERAL SUPPORT SAN FRANCISCO OPERA ASSOCIATION 301 VAN NESS AVE SAN FRANCISCO CA 94102 940836240 501(C)(3) 500000 FUND SUPPORT SAN FRANCISCO PARKS ALLIANCE 1663 MISSION ST SAN FRANCISCO CA 94103 237131784 501(C)(3) 2000000 PROJECT SUPPORT SAN FRANCISCO ZOOLOGICAL SOCIETY 1 ZOO RD SAN FRANCISCO CA 94132 941429538 501(C)(3) 100000 GENERAL SUPPORT SAN MATEO COUNTY HISTORICAL ASSOCIATION 2200 BROADWAY ST REDWOOD CITY CA 94063 237186194 501(C)(3) 2000000 BUILDING CONSTRUCTION SANTA FE JAZZ 2001 FORT UNION DR SANTA FE NM 87505 471314790 501(C)(3) 10000 GENERAL SUPPORT SANTA FE JEWISH CENTER-CHABAD 230 W MANHATTAN AVE SANTA FE NM 87501 850446049 501(C)(3) 25000 GENERAL SUPPORT SCHWAB CHARITABLE FUND 211 MAIN ST SAN FRANCISCO CA 94105 311640316 501(C)(3) 1000000 GENERAL SUPPORT SECOND HARVEST OF SILICON VALLEY 750 CURTNER AVE SAN JOSE CA 95125 942614101 501(C)(3) 25000 GENERAL SUPPORT SHARKS FOUNDATION 525 W SANTA CLARA ST SAN JOSE CA 95113 770374062 501(C)(3) 50000 KIDS SPONSORSHIP SHED NYC INC 545 WEST 30TH ST 5TH FL NEW YORK NY 10001 900884353 501(C)(3) 1000000 CAPITAL CAMPAIGN SILICON VALLEY COMMUNITY FDN 2440W EL CAMINO REAL MOUNTAIN VIEW CA 94040 205205488 501(C)(3) 200000 GENERAL SUPPORT SOUTHERN POVERTY LAW CENTER INC 400 WASHINGTON AVE MONTGOMERY AL 36104 630598743 501(C)(3) 25000 GENERAL SUPPORT ST JOHNS UNIVERSITY NEW YORK 8000 UTOPIA PKWY QUEENS NY 11439 111630830 501(C)(3) 33000 SCHOLARSHIP FUND STANFORD HEALTH CARE 300 PASTEUR DRIVE STANFORD CA 94305 946174066 501(C)(3) 20000 SHC CONSTRUCTION STANFORD HEALTH CARE 300 PASTEUR DRIVE STANFORD CA 94305 946174066 501(C)(3) 30000 HOSPITAL MUSIC FUND STANFORD HEALTH CARE 300 PASTEUR DRIVE STANFORD CA 94305 946174066 501(C)(3) 15000 HEALTH CARE PARTNERS STANFORD HEALTH CARE 300 PASTEUR DRIVE STANFORD CA 94305 946174066 501(C)(3) 20000 MAURICE WERDEGAR ART FUND STANFORD HEALTH CARE 300 PASTEUR DRIVE STANFORD CA 94305 946174066 501(C)(3) 2000000 COVID-19 FUND STONY BROOK FOUNDATION INC 230 ADMIN BLDG STONY BROOK NY 11794 116077945 501(C)(3) 50000 GENERAL SUPPORT STORM KING ART CENTER 1 MUSEUM RD NEW WINDSOR NY 12553 141457573 501(C)(3) 500000 GENERAL SUPPORT TAOS SPORTS ASSOCIATES INC PO BOX 3011 TAOS NM 87571 850241076 501(C)(3) 120000 GENERAL SUPPORT TEEN SUCCESS 508 VALLEY WAY MILPITAS CA 95035 450702884 501(C)(3) 55000 STUDENT AID THE AMERICAN FDN FOR THE UNIV OF BC 1030 15TH ST NW B1-STE155 WASHINGTON DC 20005 521559117 501(C)(3) 100000 AWARD SUPPORT THE BRIDGESPAN GROUP INC 2 COPLEY PLACE STE 3700B BOSTON MA 02116 311625487 501(C)(3) 500000 GLOBAL STRATEGY SUPPORT THE CCSF FOUNDATION PO BOX 40488 SAN FRANCISCO CA 94140 941682567 501(C)(3) 45800 GENERAL SUPPORT THE CENTER FOR JEWISH CAMPUS LIFE 565 MAYFIELD AVE STANFORD CA 94305 770492512 501(C)(3) 100000 GENERAL SUPPORT THE CENTER FOR JEWISH CAMPUS LIFE 565 MAYFIELD AVE STANFORD CA 94305 770492512 501(C)(3) 6000 EVENT SUPPORT THE CLEVELAND CLINIC FOUNDATION 9500 EUCLID AVE CLEVELAND OH 44195 340714585 501(C)(3) 25000 GENERAL SUPPORT THE PENINSULA BRIDGE PROGRAM 177 BOVET RD 120 SAN MATEO CA 94402 943226017 501(C)(3) 90000 STUDENT AID THE STATION FOUNDATION 1627 W MAIN ST STE 258 BOZEMAN MT 59715 452928042 501(C)(3) 25000 GENERAL SUPPORT THE TECH INTERACTIVE 201 S MARKET ST SAN JOSE CA 95113 942864660 501(C)(3) 50000 GENERAL SUPPORT THE UCLA FOUNDATION 10920 WILSHIRE BLVD LOS ANGELES CA 90024 952250801 501(C)(3) 80000 GENERAL SUPPORT THORN 1240 ROSECRANS AVE MANHATTAN BEACH CA 90266 270943677 501(C)(3) 33000 GENERAL SUPPORT TIDES CENTER PO BOX 399385 SAN FRANCISCO CA 94139 943213100 501(C)(3) 565978 PROJECT SUPPORT TIDES FOUNDATION PO BOX 399389 SAN FRANCISCO CA 94139 510198509 501(C)(3) 50000 PROJECT REDWOOD TIPPING POINT COMMUNITY 220 MONTGOMERY ST SAN FRANCISCO CA 94104 202121739 501(C)(3) 250000 GENERAL SUPPORT TIPPING POINT COMMUNITY 220 MONTGOMERY ST SAN FRANCISCO CA 94104 202121739 501(C)(3) 500000 COVID-19 EM FUND UASPIRE BAY AREA 180 GRAND AVE 180 OAKLAND CA 94612 461314848 501(C)(3) 75000 STUDENT AID UC SANTA CRUZ FOUNDATION 1156 HIGH ST SANTA CRUZ CA 95064 237394590 501(C)(3) 25000 PROGRAM SUPPORT UCSF FOUNDATION 220 MONTGOMERY ST SAN FRANCISCO CA 94104 942829914 501(C)(3) 1000000 GENERAL SUPPORT UNITED STATES ASSOCIATION FOR UNHCR 1310 L ST NW 450 WASHINGTON DC 20005 521662800 501(C)(3) 10000 GENERAL SUPPORT UNITED STATES OLYMPIC AND PARALYMPIC FDN 1 OLYMPIC PLAZA COLORADO SPRINGS CO 80909 800939841 501(C)(3) 75000 GENERAL SUPPORT UNIVERSITY OF OREGON FOUNDATION 1720 E 13TH AVENUE EUGENE OR 97403 936015767 501(C)(3) 2000000 GENERAL SUPPORT UNIVERSITY OF ROCHESTER 910 GENESSEE ST STE 200 ROCHESTER NY 14611 160743209 501(C)(3) 30000 SCHOLARSHIP SUPPORT UNIVERSITY OF SOUTHERN CALIFORNIA UNIVERSITY GARDENS 205 LOS ANGELES CA 90089 951642394 501(C)(3) 1500000 GENERAL SUPPORT UNIVERSITY OF SOUTHERN CALIFORNIA UNIVERSITY GARDENS 205 LOS ANGELES CA 90089 951642394 501(C)(3) 500000 FUND SUPPORT VILLANOVA UNIVERSITY 800 E LANCASTER AVE VILLANOVA PA 19085 231352688 501(C)(3) 80000 ENGINEERING FUND VOYAGEUR OUTWARD BOUND SCHOOL 1400 ENERGY PARK DR ST PAUL MN 55108 410877459 501(C)(3) 12500 GENERAL SUPPORT WOMENONE LTD 19 E 88TH ST NEW YORK NY 10128 263679243 501(C)(3) 60000 GENERAL SUPPORT WOMENS SPORTS FOUNDATION 247 W 30TH ST 5TH FL NEW YORK NY 10001 237380557 501(C)(3) 25000 GENERAL SUPPORT 149 FINANCIAL AID TO STUDENTS 12201 524380938 GRANTS AND ASSISTANCE PART I, LINE 2 ONE OF THE UNIVERSITY'S HIGHEST PRIORITIES IS TO REMAIN AFFORDABLE AND ACCESSIBLE TO THE MOST TALENTED STUDENTS, REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. THE UNIVERSITY'S ADMISSION PROCESS FOR UNDERGRADUATE STUDENTS FROM THE UNITED STATES IS NEED-BLIND, WHICH MEANS THAT STUDENTS ARE ADMITTED IRRESPECTIVE OF THEIR ABILITY TO PAY; THE UNIVERSITY PROVIDES THE FINANCIAL AID NECESSARY TO MAKE STANFORD AFFORDABLE TO EVERY ADMITTED STUDENT. FOR INTERNATIONAL STUDENTS, THE UNIVERSITY IS NEED-AWARE: STANFORD ANALYZES THE NEED FOR AID AND AIMS TO MEET THE DETERMINED NEED. SINCE 2000, THE UNIVERSITY HAS CONTINUED TO ENHANCE ITS FINANCIAL AID PROGRAMS FOR BOTH ITS UNDERGRADUATE AND GRADUATE STUDENTS. CURRENTLY, FAMILIES OF UNDERGRADUATE STUDENTS FROM THE U.S. WITH INCOMES BELOW $150,000 AND ASSETS TYPICAL OF THAT INCOME LEVEL RECEIVE AT LEAST ENOUGH SCHOLARSHIP TO COVER THE COST OF TUITION. THOSE WITH INCOMES BELOW $75,000 AND TYPICAL ASSETS RECEIVE ENOUGH SCHOLARSHIP ASSISTANCE TO COVER TUITION, ROOM AND BOARD, AND OTHER EXPENSES. IN FY20, APPROXIMATELY 50% OF UNDERGRADUATES WERE AWARDED NEED-BASED FINANCIAL AID FROM STANFORD. STANFORD PROVIDES VALUABLE FINANCIAL SUPPORT TO ELIGIBLE GRADUATE STUDENTS WHICH ENABLES THEM TO PURSUE THEIR ADVANCED STUDIES. FUNDING MAY TAKE DIFFERENT FORMS, SUCH AS FELLOWSHIPS AND ASSISTANTSHIPS, AND THESE IN TURN FURTHER THEIR GRADUATE PROFESSIONAL DEVELOPMENT AND PROGRESS TO DEGREE COMPLETION. IN THE CASE OF GRADUATE RESEARCH AND TEACHING ASSISTANTSHIPS AS WELL AS FELLOWSHIPS, THE FUNDING COVERS PART OF STANFORD'S TUITION (WHICH IS FREE OF INCOME TAX), IN ADDITION TO PROVIDING A STIPEND OR SALARY THAT HELPS STUDENTS WITH THEIR LIVING EXPENSES. BOTH COMPONENTS ARE ESSENTIAL FOR DOCTORAL STUDENTS IN PARTICULAR, AS IT TAKES SEVERAL YEARS TO GAIN THEIR MASTERY OF SPECIALIZED SKILLS AND CONTENT KNOWLEDGE IN THEIR CHOSEN FIELDS. GRADUATE STUDENT FINANCIAL AID AND OTHER SUPPORT IS AWARDED BASED ON ACADEMIC MERIT AND THE AVAILABILITY OF AID. STANFORD HAS ASSUMED MORE OF THE FINANCIAL WEIGHT OF SUPPORTING ITS GRADUATE STUDENTS. IN FY20, APPROXIMATELY 83% OF GRADUATE STUDENTS RECEIVED FINANCIAL SUPPORT. THE KNIGHT-HENNESSY SCHOLARS PROGRAM IS AN ADDITIONAL SOURCE OF GRADUATE STUDENT SUPPORT. THE PROGRAM PROVIDES FULL FUNDING FOR THREE YEARS TO ENABLE GRADUATE STUDENTS TO PURSUE ADVANCED DEGREES AND DEVELOP THE CAPACITY TO LEAD AND BRING ABOUT POSITIVE CHANGES IN THE WORLD. THE TOTAL FINANCIAL AID INCLUDES $320,051,655 IN MERIT AND NEED-BASED SCHOLARSHIPS AND FELLOWSHIPS. AN ADDITIONAL $194,591,751 REFLECTS AMOUNTS PAID FOR ADDITIONAL FINANCIAL SUPPORT TO STUDENTS, INCLUDING PAYMENTS FOR HEALTH INSURANCE, LIVING EXPENSES, AND SUPPORT OF POSTDOCTORAL FELLOWS. THESE AMOUNTS INCLUDE $244,468 IN GRANTS TO INDIVIDUALS OUTSIDE THE UNITED STATES. GRANTS LISTED IN PART II ARE PRIMARILY GRANTS MADE FROM DONOR ADVISED FUNDS (DAF). A DAF IS A GIVING ACCOUNT ESTABLISHED AT STANFORD WHICH ALLOWS DONORS TO MAKE A CHARITABLE CONTRIBUTION TO THE UNIVERSITY AS A PUBLIC CHARITY DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE, AND THEN RECOMMEND GRANTS TO OTHER CHARITIES FROM THE ACCOUNT OVER TIME. WHILE STANFORD HAS LEGAL CONTROL OVER THE FUNDS IN THE ACCOUNT, THE DONOR RETAINS ADVISORY PRIVILEDGES WITH RESPECT TO THE DISTRIBUTION OF FUNDS. ANY GRANTS MADE AT THE REQUEST OF THE DONOR ARE REVIEWED AND APPROVED BY SENIOR OFFICIALS IN THE UNIVERSITY OFFICE OF DEVELOPMENT PRIOR TO DISBURSEMENT. ONLY GRANTS MADE DURING THE TAX YEAR ARE REPORTED ON SCHEDULE I. SUB-GRANTS STANFORD OCCASIONALLY RECEIVES GRANT SUPPORT THAT IS DISBURSED TO OTHER INDIVIDUALS OR ENTITIES PER THE TERMS OF THE AWARD. IN MOST CASES, PRIOR TO THE GRANT TO STANFORD, THE UNIVERSITY WILL PROVIDE THE GRANTING ENTITY WITH A LIST OF SUCH CONTEMPLATED RECIPIENTS. GENERALLY, AS WORK ON THE GRANT PROGRESSES, CHANGES TO THESE RECIPIENTS MUST BE APPROVED BY THE GRANTING AGENCY. DUE TO THESE REVIEW REQUIREMENTS OF THE GRANTING AGENCY, STANFORD DOES NOT REPORT SUCH PAYMENTS ON FORM 990, SCHEDULE I. X X true true X X X X X true true false false false false false true false MARC TESSIER-LAVIGNE PRESIDENT/TRUSTEE 1238813 0 8254 0 0 0 279108 0 186658 0 1712833 0 0 0 JON DENNEY VP DEVELOPMENT 436596 0 73802 0 5037 0 30701 0 35673 0 581809 0 0 0 PERSIS DRELL PROVOST 897492 0 0 0 52 0 277880 0 156070 0 1331494 0 0 0 HARRY ELAM VP ARTS, THROUGH 6/30/2020 622367 0 30000 0 39194 0 28000 0 17982 0 737543 0 0 0 FARNAZ KHADEM VP COMMUNICATIONS 302765 0 80000 0 26250 0 29367 0 27549 0 465931 0 0 0 RANDALL LIVINGSTON VP BUS AFFAIRS/CFO 778503 0 485547 0 200 0 222667 0 39770 0 1526687 0 266667 0 WILLIAM MADIA VP SLAC NAL, THROUGH 9/30/2019 389511 0 100000 0 80035 0 28000 0 842 0 598388 0 0 0 ROBERT C REIDY VP LAND, BUILDINGS & REAL EST 576350 0 363230 0 0 0 388100 0 18606 0 1346286 0 0 0 MARTIN SHELL VP & CHIEF ERO 733778 0 424500 0 443150 0 122944 0 56926 0 1781298 0 0 0 HOWARD WOLF PRES. OF STANFORD ALUM. ASSOC. 469102 0 70000 0 290467 0 111333 0 41192 0 982094 0 155952 0 ELIZABETH ZACHARIAS VP HUMAN RESOURCES 410633 0 70000 0 31803 0 96009 0 29953 0 638398 0 0 0 DEBRA ZUMWALT VP GENERAL COUNSEL 788070 0 18000 0 0 0 332235 0 14321 0 1152626 0 0 0 LLOYD B MINOR DEAN, SCHOOL OF MEDICINE 1569971 0 250000 0 113419 0 328000 0 42937 0 2304327 0 0 0 ROBERT F WALLACE CHIEF EXECUTIVE OFFICER, SMC 988297 0 1835000 0 1259925 0 466296 0 87361 0 4636879 0 536611 0 FRANK HANLEY CHIEF, PED CARDIOTHORACIC 1706924 0 1850000 0 69513 0 28000 0 24995 0 3679432 0 0 0 JOHN HENNESSY PROF SOE & FORMER PRESIDENT 654723 0 0 0 1637745 0 28000 0 40669 0 2361137 0 486236 0 GREG MILANI SR. MD, SMC, THROUGH 7/9/2019 726397 0 1320111 0 1255983 0 22400 0 18017 0 3342908 0 370717 0 DAVID SHAW DIRECTOR OF FOOTBALL 6789191 0 1425000 0 493774 0 175152 0 41566 0 8924683 0 412500 0 YIPING WOO PROF. & CHAIR, CARDIO SURGERY 1482802 0 1090877 0 490 0 27298 0 74854 0 2676321 0 0 0 DAVID DEMAREST FORMER VP PUBLIC AFFAIRS 135765 0 15000 0 492732 0 12947 0 28199 0 684643 0 179992 0 JOHN ETCHEMENDY PROF H&S & FORMER PROVOST 422003 0 147139 0 1019610 0 28000 0 29406 0 1646158 0 700783 0 BRADLEY HAYWARD INTERIM VP COMMUN.THRU 3/11/19 249939 0 47850 0 39514 0 26111 0 41603 0 405017 0 0 0 HOWARD B PEARSON INTERIM VP DEVT. THRU 4/1/19 427990 0 64982 0 25278 0 28000 0 16008 0 562258 0 0 0 RICHARD SALLER PROF & FORMER DEAN, SCH OF H&S 575611 0 0 0 500 0 28375 0 17056 0 621542 0 0 0 PART I, LINE 1A FIRST-CLASS, COMPANION AND CHARTER TRAVEL STANFORD UNIVERSITY TRAVEL POLICY GENERALLY REQUIRES ALL EMPLOYEES, INCLUDING PERSONS LISTED ON FORM 990, PART VII, LINE 1A, TO USE THE MOST ECONOMICAL MODE OF TRANSPORTATION AVAILABLE CONSISTENT WITH THE AUTHORIZED BUSINESS PURPOSE OF THE TRAVEL. FIRST CLASS TRAVEL IS AUTHORIZED IN SOME INSTANCES, SUCH AS ON INTERNATIONAL FLIGHTS OVER A CERTAIN LENGTH, IF NO BUSINESS CLASS SERVICE IS AVAILABLE ON THE FLIGHT. FIRST CLASS TRAVEL IS ALSO AUTHORIZED IN CASE OF A MEDICAL NEED OR OTHER EXIGENCY APPROVED BY THE PROVOST. IN ADDITION, THE PRESIDENT HAS PERMISSION TO FLY FIRST CLASS ON CERTAIN DOMESTIC FLIGHTS DEPENDING ON LENGTH. OCCASIONALLY, THE UNIVERSITY MAY PURCHASE CHARTERED AIRCRAFT SERVICES WHEN DEEMED APPROPRIATE FOR THE CONDUCT OF UNIVERSITY BUSINESS AND PURSUANT TO UNIVERSITY POLICY RELATED TO CHARTER TRAVEL. IN COMPLIANCE WITH THE UNIVERSITY'S TRAVEL POLICY DESCRIBED ABOVE, NO INDIVIDUALS LISTED ON PART VII USED CHARTERED AIRCRAFT SERVICES OR FIRST CLASS TRAVEL SERVICES DURING CALENDAR YEAR 2019. IN GENERAL, COMPANION TRAVEL IS REIMBURSABLE ONLY IF THE ACCOMPANYING PERSON HAS A POSITION WITH THE UNIVERSITY AND IS TRAVELING TO MAKE A SIGNIFICANT CONTRIBUTION IN FURTHERANCE OF UNIVERSITY BUSINESS. EXCEPTIONS TO THIS POLICY ARE RARE AND MUST BE APPROVED IN ADVANCE OF TRAVEL BY THE PROVOST. NO INDIVIDUALS LISTED ON PART VII RECEIVED COMPANION TRAVEL DURING CALENDAR YEAR 2019 THAT WAS IN FURTHERANCE OF UNIVERSITY'S BUSINESS AND CONSIDERED NON-TAXABLE. PRESIDENT AND PROVOST HOUSING/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY, THE PRESIDENT IS REQUIRED TO LIVE IN THE LOU HENRY HOOVER HOUSE ON CAMPUS AND THE PROVOST IS REQUIRED TO LIVE IN THE MEYER-BUCK HOUSE ON CAMPUS. THESE RESIDENCES ARE USED FREQUENTLY FOR UNIVERSITY BUSINESS INCLUDING OFFICIAL GATHERINGS OF FACULTY, STAFF, STUDENTS, ALUMNI, DONORS AND THEIR FAMILIES. AS PART OF A PROGRAM OF APPROPRIATE AND REGULAR MAINTENANCE OF THESE HOUSES, THE UNIVERSITY PROVIDES CLEANING SERVICE FOR THE PUBLIC AND PRIVATE AREAS. FOR PRESIDENT MARC TESSIER-LAVIGNE, THE UNIVERSITY HAS INCLUDED AS NONTAXABLE COMPENSATION IN COLUMN D THE ESTIMATED RENTAL VALUE OF THE LOU HENRY HOOVER HOUSE RESERVED FOR THE PERSONAL USE OF THE PRESIDENT BASED UPON THE PREVAILING RENTAL RATES IN THE LOCAL AREA AND ACTUAL COSTS OF RELATED SERVICES, INCLUDING MAINTENANCE, CLEANING AND UTILITIES DURING CALENDAR YEAR 2019. FOR PROVOST PERSIS DRELL, THE UNIVERSITY HAS INCLUDED AS NONTAXABLE COMPENSATION IN COLUMN D THE ESTIMATED RENTAL VALUE OF THE MEYER-BUCK HOUSE RESERVED FOR THE PERSONAL USE OF THE PROVOST BASED UPON THE PREVAILING RENTAL RATES IN THE LOCAL AREA AND ACTUAL COSTS OF RELATED SERVICES, INCLUDING MAINTENANCE, CLEANING AND UTILITIES DURING CALENDAR YEAR 2019. THE FOLLOWING INDIVIDUALS RECEIVED TAXABLE HOUSING BENEFITS DURING CALENDAR YEAR 2019: HARRY ELAM, FARNAZ KHADEM, JOHN ETCHEMENDY, FRANK HANLEY, LLOYD B. MINOR, WILLIAM MADIA, DAVID SHAW, MARTIN SHELL, ROBERT F. WALLACE, BRADLEY HAYWARD AND ELIZABETH ZACHARIAS. THESE AMOUNTS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN (B)(III). PART I, LINE 4A SEVERANCE PLAN CERTAIN LISTED INDIVIDUALS ARE ELIGIBLE FOR THE UNIVERSITY-APPROVED SEVERANCE PLAN THAT PROVIDES FOR PAYMENT BASED ON THE INDIVIDUAL'S YEARS OF SERVICE. DURING CALENDAR YEAR 2019, DAVID DEMAREST RECEIVED SEVERANCE PAY IN THE AMOUNT OF $205,000. PART I, LINE 4B DEFERRED COMPENSATION PLAN PROVISIONS CERTAIN OFFICERS AND OTHERS LISTED IN PART VII, SECTION A, LINE 1A PARTICIPATE IN A DEFERRED COMPENSATION PLAN. AMOUNTS ARE CREDITED TO THE PLAN BASED ON PERFORMANCE AND CERTAIN OTHER FACTORS. PLAN BALANCES ARE SUBJECT TO FORFEITURE AND/OR PAYMENT IF CERTAIN CONDITIONS ARE MET. CERTAIN BONUS AMOUNTS MAY BE DEFERRED AND PAID IN A LATER YEAR SUBJECT TO IRC SECTION 457(F). IN GENERAL, PER THE INSTRUCTIONS FOR SCHEDULE J, PART II, COLUMN (C), DEFERRED COMPENSATION IS TREATED AS EARNED RATABLY OVER THE PERIOD OF SERVICE REQUIRED FOR VESTING. A MONTHLY CONVENTION HAS BEEN USED TO PRORATE AMOUNTS OVER THE APPLICABLE VESTING PERIOD. COLUMN (C) DOES NOT INCLUDE AMOUNTS DEFERRED IN A CALENDAR YEAR TO A DATE ON OR BEFORE MARCH 15TH OF THE FOLLOWING CALENDAR YEAR. THE NET EFFECT OF APPLYING THE FOREGOING RULES AND CONVENTIONS, AND DIFFERING VESTING SCHEDULES, IS THAT DEFERRED COMPENSATION REPORTED IN COLUMN (C) FOR AN INDIVIDUAL MAY VARY OVER TIME. DEFERRED COMPENSATION IS REPORTED IN SCHEDULE J, PART II, COLUMN (C), AS DESCRIBED ABOVE, AND IS REPORTED IN SCHEDULE J, PART II, COLUMN (B)(III) AND COLUMN (F) IN THE YEAR OF PAYMENT, IF APPLICABLE. FOR JOHN HENNESSY, THE AMOUNT REPORTED IN COLUMN F REPRESENTS ONE THIRD OF THE TOTAL AMOUNT REPORTED AS DEFERRED COMPENSATION ON PRIOR YEAR FORMS 990. FOR JOHN ETCHEMENDY, THE AMOUNT REPORTED IN COLUMN F REPRESENTS ONE THIRD OF THE TOTAL AMOUNT REPORTED AS DEFERRED COMPENSATION ON PRIOR YEAR FORMS 990. THE FOLLOWING INDIVIDUALS RECEIVED PAYMENT FROM THEIR DEFERRED COMPENSATION ACCOUNT DURING CALENDAR YEAR 2019: DAVID DEMAREST, $260,745; JOHN ETCHEMENDY, $978,228; JOHN HENNESSY, $1,637,745; RANDALL LIVINGSTON, $467,547; DAVID SHAW, $515,587; ROBERT WALLACE $1,235,917; HOWARD WOLF $290,007; GREG MILANI, $646,301. SUPPLEMENTAL EXECUTIVE RETIREMENT PLANS (SERPS) THE UNIVERSITY PROVIDES PRESIDENT MARC TESSIER-LAVIGNE WITH A SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (SERP) TO SUPPLEMENT HIS OTHER RETIREMENT BENEFITS. THE SERP WILL BE EARNED GRADUALLY OVER HIS TERM OF SERVICE AS PRESIDENT. BY CONTINUING TO SERVE AS PRESIDENT IN FY2020, THE PRESIDENT BECAME ELIGIBLE TO RECEIVE A BENEFIT EQUAL IN VALUE TO AN ANNUAL PAYMENT FOR LIFE OF 6% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY AS PRESIDENT. THIS SERP BENEFIT REMAINS SUBJECT TO FORFEITURE IF CERTAIN CONDITIONS ARE NOT MET. THE VALUE OF THE BENEFIT ACCRUED UNDER THE SERP FOR THE YEAR ENDED DECEMBER 31, 2019 WAS $259,508. THE UNIVERSITY ALSO PROVIDED FORMER PRESIDENT JOHN HENNESSY WITH TWO SUPPLEMENTAL EXECUTIVE RETIREMENT PLANS (SERPS) DURING HIS TERM OF SERVICE AS AN OFFICER TO SUPPLEMENT HIS SOCIAL SECURITY AND 403(B) RETIREMENT BENEFITS. BOTH SERPS WERE EARNED GRADUALLY OVER SPECIFIED PERIODS DURING HIS TERM OF SERVICE AS AN OFFICER. THE FIRST SERP WAS EARNED OVER THE 12 YEARS ENDING AUGUST 31, 2012. BY SERVING IN HIS POSITION THROUGH AUGUST 31, 2012, THE FORMER PRESIDENT BECAME ELIGIBLE TO RECEIVE A BENEFIT EQUAL IN VALUE TO AN ANNUAL PAYMENT FOR LIFE OF 35.5% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY DURING THE 12 YEAR PERIOD, OFFSET BY THE ANNUITY EQUIVALENT OF HIS ANTICIPATED SOCIAL SECURITY BENEFIT AND AMOUNTS CONTRIBUTED BY THE UNIVERSITY DIRECTLY TO HIS 403(B) DEFINED CONTRIBUTION RETIREMENT PLAN WHILE HE WAS AN OFFICER. THIS SERP WAS AMENDED ON FEBRUARY 28, 2017 TO PROVIDE FOR AN INCREASE IN VALUE TO REFLECT THE INCREASE IN THE FORMER PRESIDENT'S HIGHEST THREE YEAR AVERAGE BASE PAY THROUGH AUGUST 31, 2016. THE SECOND SERP PROVIDED THAT THE FORMER PRESIDENT WAS ELIGIBLE TO RECEIVE A BENEFIT EQUAL IN VALUE TO AN ANNUAL PAYMENT FOR LIFE OF 2% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY FOR EACH FISCAL YEAR FROM FY2013 THROUGH FY2018 DURING WHICH HE SERVED AS PRESIDENT. BY CONTINUING TO SERVE AS PRESIDENT IN FY2016, THE FORMER PRESIDENT BECAME ELIGIBLE TO RECEIVE A BENEFIT EQUAL IN VALUE TO AN ANNUAL PAYMENT FOR LIFE OF 8% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY. THE UNIVERSITY ALSO PROVIDED FORMER PROVOST JOHN ETCHEMENDY WITH A SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (SERP) TO SUPPLEMENT HIS SOCIAL SECURITY AND 403(B) RETIREMENT BENEFITS. THE SERP WAS EARNED GRADUALLY THROUGH HIS TERM OF SERVICE AS PROVOST. BY REMAINING IN HIS POSITION THROUGH AUGUST 31, 2015, THE FORMER PROVOST BECAME ELIGIBLE TO RECEIVE A BENEFIT EQUAL IN VALUE TO AN ANNUAL PAYMENT FOR LIFE OF 42% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY, OFFSET BY THE ANNUITY EQUIVALENT OF HIS ANTICIPATED SOCIAL SECURITY BENEFIT AND AMOUNTS CONTRIBUTED BY THE UNIVERSITY DIRECTLY TO HIS 403(B) DEFINED CONTRIBUTION RETIREMENT PLAN WHILE HE WAS AN OFFICER. THIS SERP WAS AMENDED ON APRIL 11, 2017 TO INCREASE THE 42% BENEFIT BY 3% FOR EACH OF FY2016 AND FY2017, BRINGING THE BENEFIT TO AN AMOUNT EQUAL IN VALUE TO AN ANNUAL PAYMENT FOR LIFE OF 48% OF HIGHEST THREE YEAR AVERAGE PAY. THIS SERP BENEFIT REMAINS SUBJECT TO FORFEITURE IF CERTAIN CONDITIONS ARE NOT MET. PART I, LINE 7 AND PART II, COLUMN (B) (II) VARIABLE COMPENSATION OF SCHOOL OF MEDICINE FACULTY TOTAL COMPENSATION FOR FACULTY IN THE SCHOOL OF MEDICINE IS MADE UP OF THE FOLLOWING INTEGRAL COMPONENTS: SALARY AND BENEFITS, ADMINISTRATIVE SUPPLEMENTS, AND BONUSES AWARDED UNDER DEPARTMENTAL PLANS. BASE SALARY IS BASED ON ACADEMIC RANK (E.G., PROFESSOR, ASSISTANT PROFESSOR). A VARIABLE COMPONENT OF SALARY IS DETERMINED BY THE CONTRIBUTION OF THE INDIVIDUAL TO THE DEPARTMENT/DIVISION AND THE CLINICAL SPECIALTY OF THE FACULTY MEMBER. OTHER SALARY SUPPLEMENTS ARE OCCASIONALLY USED TO PROVIDE FOR COMPENSATION GIVEN UP BY A FACULTY MEMBER WHEN ASSUMING A POSITION AT STANFORD. ADMINISTRATIVE SUPPLEMENTS ARE PAID TO FACULTY WHO TAKE ON DUTIES WHICH ARE OUTSIDE THEIR USUAL FACULTY RESPONSIBILITIES AND OUTSIDE NORMAL COMMITTEE WORK. INCENTIVE BONUSES ARE CONSIDERED A FUNDAMENTAL COMPONENT OF TOTAL COMPENSATION. THEY ARE PAID OUT BY THE DEPARTMENTS BASED ON THE DEPARTMENTS' INCENTIVE BONUS PLAN MEASURING THE FACULTY MEMBER'S EFFORTS IN ADMINISTRATIVE LEADERSHIP, CLINICAL, RESEARCH, AND/OR TEACHING AREAS AS DEFINED BY THE PLAN. IN ADDITION, THE DEAN HAS A BONUS PLAN FOR CLINICAL CHAIRS BASED ON ACHIEVEMENT OF LEADERSHIP GOALS. SOME DEPARTMENTS HAVE "ON-CALL"COVERAGE" BONUSES TO PROVIDE COMPENSATION FOR A FACULTY MEMBER'S PROVIDING OFF-HOURS COVERAGE. VARIABLE COMPENSATION OF INVESTMENT PROFESSIONALS A PORTION OF THE COMPENSATION PAID TO EACH LISTED INVESTMENT PROFESSIONAL AT STANFORD MANAGEMENT COMPANY (SMC) IS BASED ON A COMBINATION OF THREE FACTORS: MERGED POOL ANNUALIZED PERFORMANCE VERSUS A BENCHMARK PORTFOLIO, MERGED POOL ANNUALIZED PERFORMANCE VERSUS THE PERFORMANCE OF CERTAIN OTHER COLLEGE AND UNIVERSITY ENDOWMENT INVESTMENT POOLS IN THE UNITED STATES, AND INDIVIDUAL PERFORMANCE. VARIABLE COMPENSATION OF ATHLETICS PROFESSIONALS LISTED ATHLETICS PROFESSIONALS ARE ELIGIBLE TO RECEIVE BONUSES AND INCENTIVE COMPENSATION BASED ON FACTORS INCLUDING THE ACADEMIC PERFORMANCE OF THE STUDENT-ATHLETES, ATHLETIC PERFORMANCE, ATTENDANCE AT ATHLETIC EVENTS, AND/OR LEADERSHIP, AS PROVIDED IN THE PROFESSIONALS' COMPENSATION AGREEMENTS. VARIABLE COMPENSATION OF DEVELOPMENT PROFESSIONALS LISTED DEVELOPMENT PROFESSIONALS ARE ELIGIBLE TO RECEIVE BONUSES AND INCENTIVE COMPENSATION BASED ON PERFORMANCE AGAINST METRICS INCLUDING NEW DEVELOPMENT ACTIVITY, THREE-YEAR AVERAGE CASH RESULTS, AND ONE-YEAR CASH RESULTS. VARIABLE COMPENSATION OF OFFICERS AND OTHERS OFFICERS AND OTHERS ARE ELIGIBLE TO RECEIVE BONUSES AND INCENTIVE COMPENSATION BASED ON PERFORMANCE. CURRENT YEAR BONUS AMOUNTS ARE REPORTED IN SCHEDULE J, PART II, COLUMN B(II). CERTAIN BONUS AMOUNTS MAY BE DEFERRED AND PAID IN A LATER YEAR SUBJECT TO IRC SECTION 457(F). SUCH AMOUNTS ARE REPORTED IN SCHEDULE J, PART II, COLUMN (C) RATABLY OVER THE PERIOD OF TIME REQUIRED FOR VESTING AND REPORTED IN SCHEDULE J, PART II, COLUMN (B)(III) AND COLUMN (F) IN THE YEAR OF PAYMENT, IF APPLICABLE. PART II, COLUMN (B) (III) OTHER REPORTABLE COMPENSATION IN PART II, COLUMN (B)(III) INCLUDES HOUSING ASSISTANCE AND OTHER MISCELLANEOUS COMPENSATION. THIS DOES NOT INCLUDE VARIOUS ITEMS OF "LISTED PROPERTY" (E.G., COMPUTERS AND PERIPHERALS) THAT STANFORD HAS PROVIDED TO THE ABOVE LISTED EMPLOYEES PRINCIPALLY FOR THEIR BUSINESS USE AND NOT AS COMPENSATION. PART II, COLUMNS (C) AND (D) LISTED PERSONS ACCRUE FUTURE BENEFITS THAT ARE AVAILABLE TO ALL STANFORD EMPLOYEES, SUCH AS POST-RETIREMENT MEDICAL INSURANCE AND TUITION BENEFITS, AND LISTED PERSONS WHO ARE ALSO FACULTY OR OFFICERS ACCRUE FUTURE BENEFITS SUCH AS SABBATICAL. THESE BENEFITS ARE SUBJECT TO CERTAIN ELIGIBILITY REQUIREMENTS SUCH AS AGE, YEARS OF SERVICE, AND EMPLOYEE CLASSIFICATION. FOR SOME BENEFIT PLANS, THE UNIVERSITY RESERVES THE RIGHT TO CHANGE ELIGIBILITY REQUIREMENTS AND/OR THE NATURE AND EXTENT OF THE BENEFIT BEING PROMISED. THE VALUE OF THESE BENEFITS IS REPORTED FOR EACH LISTED PERSON IN THE YEAR, IF ANY, SUCH BENEFITS ARE RECEIVED. PART II, COLUMN (F) AMOUNTS APPEARING IN COLUMN (F) ARE DEFERRED COMPENSATION PAYMENTS REPORTED IN COLUMN (C) IN PRIOR YEARS AND THAT ARE REPORTED (A SECOND TIME) IN COLUMN (B)(III) IN THE CURRENT YEAR. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY CP 521705592 13018AXY1 2017-04-11 300000000 SEE SCHEDULE O false false false B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY S 521705592 130175P89 2004-06-24 181196530 SEE SCHEDULE O false false false C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-1&3 521705592 130178JD9 2007-06-19 153277097 SEE SCHEDULE O false false false D CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-5 521705592 130178TQ9 2009-08-04 59147724 SEE SCHEDULE O false false false A 0 0 300000000 0 0 0 0 0 0 0 0 0 false false false true B 9790000 0 182429497 0 1198734 0 992205 0 0 147790592 32447966 0 2006 true false true true C 0 0 156107342 0 595440 0 661216 0 0 64355560 90495126 0 2009 true false true true D 0 0 59148032 0 0 0 1644 0 0 0 59146388 0 2003 false true true true A false true true true true true 0.00000 0.00000 0.00000 false false false true B false true true true true true 0.00000 0.00000 0.00000 false false false true C false true true true true true 0.00000 0.00000 0.00000 false false false true D 0 A false true true false true false 0 false 0 false true B false false false true true false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true SCHEDULE K TAX-EXEMPT BONDS FOR MORE THAN 40 YEARS, STANFORD AND THE MANY COMMUNITIES AND CONSTITUENCIES IT SERVES HAVE BENEFITED FROM TAX-EXEMPT BORROWING THROUGH THE CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY. THE UNIVERSITY USES GENEROUS DONOR GIFTS, UNIVERSITY RESERVES AND TAXABLE DEBT, IN ADDITION TO PROCEEDS FROM TAX EXEMPT BORROWING, TO FUND THE CONSTRUCTION OF ACADEMIC BUILDINGS, RESEARCH SUPPORT FACILITIES, RESIDENCES AND OTHER CAMPUS HOUSING, ROADS AND INFRASTRUCTURE. THESE FACILITIES HAVE, IN TURN, ENABLED THE UNIVERSITY TO ATTRACT OUTSTANDING FACULTY AND STUDENTS AND TO MORE EFFECTIVELY PERFORM INTERDISCIPLINARY RESEARCH DESIGNED TO ADDRESS FUNDAMENTAL WORLD PROBLEMS. THE NEW FACILITIES PROVIDE THE STANFORD COMMUNITY WITH THE MOST ADVANCED TECHNOLOGY AND ENVIRONMENT FOR TEACHING, LEARNING AND RESEARCH. THE FUNDING ALSO HAS PLAYED A KEY ROLE IN ENABLING STANFORD TO MEET SEISMIC AND OTHER FEDERAL AND STATE BUILDING REQUIREMENTS. THE FOLLOWING ARE EXAMPLES OF BUILDINGS FUNDED IN PART THROUGH TAX-EXEMPT DEBT: I. THE YANG YAMAZAKI ENVIRONMENTAL AND ENERGY BUILDING (Y2E2) IS THE HUB OF STANFORD'S ENVIRONMENTAL SUSTAINABILITY TEACHING AND RESEARCH. IT IS A MODEL FOR SUSTAINABILITY BUILDING STANDARDS, USING 37 PERCENT LESS ENERGY AND 90 PERCENT LESS POTABLE WATER THAN A TRADITIONALLY CONSTRUCTED BUILDING OF ITS SIZE. Y2E2 WAS THE FIRST CAMPUS BUILDING TO ACHIEVE LEED-EBOM (EXISTING BUILDING: OPERATIONS AND MAINTENANCE) PLATINUM CERTIFICATION. II. THE LI KA SHING CENTER FOR LEARNING AND KNOWLEDGE BRINGS TOGETHER CUTTING-EDGE MEDICINE, MODERN EDUCATION AND ADVANCED TECHNOLOGY TO TRAIN THE PHYSICIANS OF TOMORROW. MEDICAL STUDENTS PRACTICE LIFE-SAVING SKILLS IN REALISTIC SIMULATIONS AND LEARN TO APPLY RESEARCH TO BEDSIDE TREATMENTS. THE CENTER IS A GATHERING PLACE FOR MEDICAL EXPERTS TO SHARE RESEARCH AND HEALTH CARE INSIGHTS AND TO BRING THEIR COMBINED EXPERTISE TO BEAR ON THE WORLD'S GREATEST HEALTH CHALLENGES. III. THE JAMES AND ANNA MARIE SPILKER ENGINEERING AND APPLIED SCIENCES BUILDING FOSTERS COLLABORATIVE DEVELOPMENT IN THE BURGEONING FIELD OF NANOTECHNOLOGY. RESEARCH ACTIVITIES SPAN A BROAD RANGE OF AREAS FROM PHOTONICS AND QUANTUM ENGINEERING TO SINGLE-MOLECULE BIOPHYSICS AND EXPLORATION OF NANOSCALE PROPERTIES AND DEVICES WITH POTENTIAL APPLICATIONS AS DIVERSE AS WATER PURIFICATION, ENERGY CONSERVATION, DRUG DELIVERY AND NATIONAL SECURITY. IV. THE HUANG ENGINEERING CENTER HOUSES THE SCHOOL OF ENGINEERING, WHOSE TIES TO THE HIGH-TECHNOLOGY INDUSTRY CONTINUE TO FUEL THE GROWTH AND ECONOMY OF SILICON VALLEY AND NORTHERN CALIFORNIA. THE SCHOOL OF ENGINEERING IS WORLD RENOWNED FOR PUSHING THE FRONTIERS OF MODERN SCIENCE AND ENGINEERING, ESPECIALLY IN THE FIELDS OF COMPUTER SCIENCE, BIOENGINEERING AND ENVIRONMENTAL SUSTAINABILITY. V. THE LORRY I. LOKEY STEM CELL RESEARCH BUILDING IS THE LARGEST DEDICATED STEM CELL RESEARCH BUILDING IN THE COUNTRY. THE BUILDING HOUSES THE STANFORD STEM CELL BIOLOGY AND REGENERATIVE MEDICINE INSTITUTE, WHICH INTEGRATES RESEARCHERS FROM CANCER, NEUROSCIENCE, CARDIOVASCULAR MEDICINE, TRANSPLANTATION, IMMUNOLOGY, BIOENGINEERING AND DEVELOPMENTAL BIOLOGY. ALL ARE FOCUSED ON MAKING DISCOVERIES IN STEM CELL RESEARCH AND QUICKLY TRANSLATING THEM INTO PRECLINICAL APPLICATIONS, INNOVATIVE THERAPIES AND TREATMENTS. VI. THE MUNGER GRADUATE RESIDENCE IS A FIVE-BUILDING, 358 UNIT RESIDENTIAL COMPLEX FOR APPROXIMATELY 600 STANFORD LAW AND OTHER GRADUATE STUDENTS. IT IS A SIGNIFICANT INVESTMENT BY STANFORD IN MITIGATING TRAFFIC AND OTHER ENVIRONMENTAL CONCERNS AS IT GREATLY REDUCES THE NUMBER OF PEOPLE DRIVING TO CAMPUS DAILY. VII. THE WILLIAM H. NEUKOM BUILDING, WHICH HOUSES THE CLINICS OF THE STANFORD LAW SCHOOL, OPENED IN 2011 AND WAS BUILT TO SATISFY THE EQUIVALENT OF A LEED GOLD CERTIFICATION FOR SUSTAINABILITY. THE BUILDING USES 30 PERCENT LESS ENERGY THAN REQUIRED BY CODE. THE BUILDING HOUSES THE MILLS LEGAL CLINIC, WHICH INCLUDES 11 CLINICS THAT TEACH THROUGH EXPERIENTIAL EDUCATION. LAW STUDENTS LEARN THE PRACTICE OF LAW BY REPRESENTING, FOR INSTANCE, LOW-INCOME OR INDIGENT PEOPLE IN CIVIL AND CRIMINAL LITIGATIONS, AND BY PROVIDING LEGAL COUNSEL ON ENVIRONMENTAL ISSUES, INTELLECTUAL PROPERTY, HUMAN RIGHTS, IMMIGRATION, NONPROFIT CORPORATE GOVERNANCE, EDUCATION, AND RELIGIOUS FREEDOM. VIII. STANFORD ENERGY SYSTEM INNOVATIONS (SESI) IS A STATE-OF-THE-ART ENERGY SYSTEM EMPLOYING HEAT RECOVERY, RENEWABLE ELECTRICITY, AND ADVANCED CONTROLS TO SERVE THE POWER, HEATING AND COOLING NEEDS OF THE UNIVERSITY. IT INCLUDES A CENTRAL ENERGY FACILITY AND ELECTRICAL SUBSTATION, ENERGY DISTRIBUTION INFRASTRUCTURE AND MARKET-BASED ENERGY PROCUREMENT PROGRAM. SESI REDUCES STANFORD'S GREENHOUSE GAS EMISSIONS BY 68% AND WATER USE BY 15%. SESI HAS RECEIVED THE HIGHEST HONORS AT THE REGIONAL, STATE AND NATIONAL LEVELS FOR ENERGY ECONOMICS, EFFICIENCY AND SUSTAINABILITY, INCLUDING THE STATE OF CALIFORNIA GOVERNOR'S ENVIRONMENT AND ECONOMIC LEADERSHIP AWARD AND THE ENERGY EFFICIENCY GLOBAL FORUM, ALLIANCE TO SAVE ENERGY: ENERGY EFFICIENCY VISIONARY AWARD, AMONG OTHERS. IX. THE SAPP CENTER FOR TEACHING AND LEARNING OFFERS ADAPTIVE CLASSROOMS FOR CHEMISTRY AND BIOLOGY, RECOGNIZING THEIR INEXTRICABLE LINK IN LIFE SCIENCES' RESEARCH AND IN MEDICINE. IT ALLOWS STUDENTS TO BUILD STRONG FOUNDATIONS IN THESE SCIENCES AND LEARN TO THINK CREATIVELY ACROSS DISCIPLINES. THE 60,000 SQUARE FOOT BUILDING INCLUDES A 300 SEAT AUDITORIUM, LABORATORY SPACE, A SCIENCE LIBRARY COMBINING THE UNIVERSITY'S BIOLOGY, CHEMISTRY, MATHEMATICS, STATISTICS AND CHEMICAL ENGINEERING COLLECTIONS AND AMPLE STUDY SPACE. X. STANFORD'S LARGEST-EVER HOUSING DEVELOPMENT, ESCONDIDO VILLAGE GRADUATE RESIDENCES (EVGR) HAVE FOUR BUILDINGS LOCATED ON THE EAST SIDE OF CAMPUS. THE COMPLEX WILL PROVIDE OVER 2,400 GRADUATE STUDENT BEDS. THIS WILL SIGNIFICANTLY HELP MEET THE DEMAND FOR SUBSIDIZED ON-CAMPUS HOUSING AS WELL AS REDUCE LOCAL TRAFFIC AND RELATED AIR POLLUTION. FORM 990, SCHEDULE K, PART I, COLUMN C CUSIP NUMBER CEFA TAX EXEMPT COMMERCIAL PAPER ("TECP") DATED 4/11/17 WAS ASSIGNED A UNIQUE BLOCK OF 900 CUSIP NUMBERS UPON ISSUANCE. A NEW CUSIP NUMBER IS ASSIGNED TO EACH TRANCHE OF TECP THAT IS ISSUED. THE CUSIP NUMBER LISTED IS THE FIRST CUSIP NUMBER IN THE SERIES AND WAS ASSIGNED AT THE ISSUANCE DATE, 4/11/17. FORM 990, SCHEDULE K, PART I, COLUMN F DESCRIPTION OF PURPOSE FOR TAX-EXEMPT BONDS A. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY CP - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES. B. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY S - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES. REFUND CEFA SERIES L-8 ISSUED 10/31/2000, REFUND CEFA SERIES L-9 ISSUED 10/31/2000, REFUND CEFA TAX EXEMPT COMMERCIAL PAPER REVENUE NOTES ISSUED 3/18/03. CONVERSION OF SERIES S BONDS ON MAY 15, 2013 FROM VARIABLE RATE TO FIXED RATE AND CANCELLATION OF $9,790,000 AGGREGATE PRINCIPAL AMOUNT OF THE BONDS. COSTS OF ISSUANCE. C. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-1 AND T-3 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. REFUND CEFA TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES. COSTS OF ISSUANCE. D. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-5 - ADVANCE REFUND $59,180,000 OF CEFA SERIES P REVENUE BONDS - ISSUED MARCH 30, 1999. E. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-1 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. REFUND CEFA TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES. COSTS OF ISSUANCE. F. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-2 - REFUND TAXABLE COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES THAT WERE USED TO REFUND CEFA SERIES Q ISSUED ON 5/3/2001. COSTS OF ISSUANCE. G. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-3 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. REFUND CEFA TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES. COSTS OF ISSUANCE. H. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-4 - ADVANCE REFUND CEFA SERIES P BONDS ISSUED ON 3/30/1999 AND PAY COSTS OF ISSUANCE. I. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-5 - REFUND TAXABLE COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES THAT WERE USED TO REFUND CEFA SERIES T-4 ISSUED ON MAY 15, 2008. J. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-6 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. REFUND TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES. K. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-7 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. L. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY V-1 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. REFUND TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES. REFUND PRIOR TAXABLE BOND. FORM 990, SCHEDULE K, PART II COMMERCIAL PAPER DEBT FOR CEFA CP, PART II, LINE 3 IS THE MAXIMUM AMOUNT OF COMMERCIAL PAPER THAT IS AUTHORIZED UNDER THAT ISSUE. ADDITIONAL AMOUNTS SPENT REPRESENT INVESTMENT EARNINGS. FORM 990, SCHEDULE K, PART II, LINE 3 TOTAL PROCEEDS THE DIFFERENCE BETWEEN LINE 3 AND SCHEDULE K, PART I, COLUMN (E) AMOUNTS REPRESENTS INVESTMENT EARNINGS. FORM 990, SCHEDULE K, PART III REFINANCING CEFA SERIES T-5, U-2, U-4 & U-5 PROCEEDS WERE USED TO REFINANCE DEBT ISSUED PRIOR TO JANUARY 1, 2003. ACCORDINGLY, PART III IS NOT COMPLETED FOR THESE ISSUES. FORM 990, SCHEDULE K, PART III, LINES 4-5 PRIVATE BUSINESS USE STANFORD UNIVERSITY FINANCES ITS FACILITIES WITH A COMBINATION OF TAX-EXEMPT DEBT, TAXABLE DEBT, GIFTS AND OTHER UNIVERSITY FUNDS. OCCASIONALLY, SOME OF THESE FACILITIES WILL HOUSE ACTIVITIES THAT MAY CONSTITUTE "PRIVATE BUSINESS USE", AS DEFINED IN IRC SECTION 141. FOR INSTANCE, STANFORD MAY RENT A SMALL PORTION OF A FACILITY TO A FOR-PROFIT OPERATOR OF CAFETERIAS (PRIMARILY FOR THE CONVENIENCE OF FACULTY, STAFF, STUDENTS AND THEIR GUESTS). IN OTHER SITUATIONS, STANFORD MAY RECEIVE A GENEROUS CORPORATE GIFT TO FUND A PORTION OF A BUILDING AND MAY CHOOSE TO ACKNOWLEDGE SUCH GENEROSITY BY NAMING A CLASSROOM, LIBRARY OR AUDITORIUM IN HONOR OF THE CORPORATE DONOR. IN SUCH CASES, STANFORD ELECTS THE "UNDIVIDED PORTION ALLOCATION METHOD" DESCRIBED IN TREASURY REGULATION SECTION 1.141-6, AND THUS ALLOCATES SUCH "PRIVATE BUSINESS USE" FIRST TO THAT PORTION OF THE FACILITY FUNDED BY TAXABLE DEBT, GIFTS OR OTHER UNIVERSITY FUNDS. ACCORDINGLY, STANFORD REPORTS 0% AS THE PERCENTAGE OF FINANCED PROPERTY USED IN PRIVATE BUSINESS USE (PART III, QUESTION 4). IN ADDITION TO THE CONSTRUCTION COST OF BUILDINGS, TAX-EXEMPT DEBT ALSO FUNDED A SIGNIFICANT PORTION OF THE UNIVERSITY'S INFRASTRUCTURE, INCLUDING ROADS AND UNDERGROUND UTILITIES. THE PORTION OF THE FUNDING OF THESE IMPROVEMENTS BY SOURCES OTHER THAN TAX-EXEMPT DEBT AS A PERCENTAGE OF TOTAL FUNDING WAS WELL IN EXCESS OF THE MEASURED AMOUNT OF PRIVATE BUSINESS USE TO TOTAL USE. ACCORDINGLY, THE AMOUNTS REPORTED ON PART III, LINES 4 AND 5, FOR THE PERCENTAGE OF FINANCED PROPERTY USED IN PRIVATE BUSINESS USE BY OTHER ENTITIES AND AS A RESULT OF AN UNRELATED TRADE OR BUSINESS ACTIVITY, RESPECTIVELY, ARE ZERO. BOND ISSUANCE COSTS (BIC) AS A PERCENTAGE OF THE TOTAL PROCEEDS BY BOND ISSUE ARE: ISSUE: BIC% CEFA CP 0.0000% CEFA SERIES S 0.5476% CEFA SERIES T-1 0.4314% CEFA SERIES T-5 0.0028% CEFA SERIES U-1 0.6483% CEFA SERIES U-2 0.5773% CEFA SERIES U-3 0.3551% CEFA SERIES U-4 0.3625% CEFA SERIES U-5 0.0015% CEFA SERIES U-6 0.0000% CEFA SERIES U-7 0.0000% CEFA SERIES V-1 0.0000% FORM 990, SCHEDULE K, PART IV FORM 8038-T: DURING THE PERIODS SINCE THESE BONDS WERE ISSUED, THE INTEREST COST ON THE BONDS HAS EXCEEDED THE INVESTMENT RETURN ON ANY UNSPENT PROCEEDS. ACCORDINGLY, NO FORM 8038-T HAS BEEN ISSUED. FORM 990, SCHEDULE K, PART IV, LINE 2(C) REBATE CALCULATIONS B. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES S HAD A REBATE CALCULATION PERFORMED ON DECEMBER 3, 2007. C. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES T-1 AND T-3 HAD A REBATE CALCULATION PERFORMED ON JULY 21, 2010. D. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES T-5 HAD A REBATE CALCULATION PERFORMED ON AUGUST 9, 2010. E. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES U-1 HAD A REBATE CALCULATION PERFORMED ON JUNE 21, 2013. F. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES U-2 HAD A REBATE CALCULATION PERFORMED ON JANUARY 19, 2016. G. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES U-3 HAD A REBATE CALCULATION PERFORMED ON JANUARY 19, 2016. H. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES U-4 HAD A REBATE CALCULATION PERFORMED ON JANUARY 19, 2016. I. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES U-5 HAD A REBATE CALCULATION PERFORMED ON JANUARY 11, 2019. J. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES U-6 HAD A REBATE CALCULATION PERFORMED ON JANUARY 11, 2019. K. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY SERIES U-7 HAD A REBATE CALCULATION PERFORMED ON JANUARY 11, 2019. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-1 521705592 130178VU7 2010-05-06 251631228 SEE SCHEDULE O false false false B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-2 521705592 130178M86 2012-04-17 99193766 SEE SCHEDULE O false false false C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-3 521705592 130178X76 2013-05-15 351795122 SEE SCHEDULE O false false false D CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-4 521705592 130178X84 2013-05-15 52773978 SEE SCHEDULE O false false false A 0 0 251878327 0 1310928 0 1631228 0 0 112489072 136447099 0 2012 true false true true B 0 0 99194474 0 0 0 572646 0 0 0 98621828 0 2003 true false true true C 0 0 351884550 0 7095560 0 1247028 0 0 337716685 5825277 0 2013 true false true true D 0 0 52773989 0 0 0 193613 0 0 0 52580376 0 2003 false true true true A false true true true true true 0.00000 0.00000 0.00000 false false false true B 0 C false true true true true true 0.00000 0.00000 0.00000 false false false true D 0 A false false false true false false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-5 521705592 1301783X2 2014-05-14 150450962 SEE SCHEDULE O false false false B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-6 521705592 1301783W4 2014-05-14 350002728 SEE SCHEDULE O false false false C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-7 521705592 130179GV0 2016-06-22 250000550 SEE SCHEDULE O false false false D CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY V-1 521705592 130179SD7 2019-04-04 599999105 SEE SCHEDULE O false false false A 0 0 150451764 0 0 0 2211 0 0 0 150449553 0 2002 true false true true B 0 0 350612045 0 4390142 0 0 0 0 342603940 3617963 0 true false true true C 0 0 252402872 0 6606403 0 0 0 0 243394147 2402322 0 false false true true D 0 0 602254637 0 11283625 0 0 0 0 338966293 252004719 0 true false false true A 0 B false true true true true true 0.00000 0.00000 0.00000 false false false true C false true true true true true 0.00000 0.00000 0.00000 false false false true D false true true true true true 0.00000 0.00000 0.00000 false false false true A false false false true false false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false true false false false false 0 false 0 false true A true B true C true D true HARRY ELAM OFFICER HOUSING X 600000 600000 false true true HARRY ELAM OFFICER HOUSING X 150000 150000 false true true HARRY ELAM OFFICER HOUSING X 235000 94000 false true true HARRY ELAM OFFICER HOUSING X 350000 350000 false true true JOHN ETCHEMENDY FORMER OFFICER HOUSING X 1710000 1710000 false true true LLOYD MINOR KEY EMPLOYEE HOUSING X 780534 780534 false true true LLOYD MINOR KEY EMPLOYEE HOUSING X 719466 205562 false true true RICHARD SALLER FORMER KEY EMPLOYEE HOUSING X 25000 25000 false true true MARTIN SHELL OFFICER HOUSING X 1000000 325000 false true true ROBERT WALLACE KEY EMPLOYEE HOUSING X 200000 200000 false true true ROBERT WALLACE KEY EMPLOYEE HOUSING X 100000 50000 false true true ROBERT WALLACE KEY EMPLOYEE HOUSING X 3000000 3000000 false true true ELIZABETH ZACHARIAS OFFICER HOUSING X 700000 700000 false true true ELIZABETH ZACHARIAS OFFICER HOUSING X 250000 250000 false true true ELIZABETH ZACHARIAS OFFICER HOUSING X 100000 100000 false true true ELIZABETH ZACHARIAS OFFICER HOUSING X 100000 60000 false true true FARNAZ KHADEM OFFICER HOUSING X 512100 512100 false true true FARNAZ KHADEM OFFICER HOUSING X 170700 170700 false true true FARNAZ KHADEM OFFICER HOUSING X 85350 85350 false true true 9368246 KEITH M BAKER SEE PART V 367192 COMPENSATION false JEANNE MARIE DAVILA SEE PART V 222292 COMPENSATION false MICHELE ELAM SEE PART V 277934 COMPENSATION false MARY HYNES SEE PART V 35137 COMPENSATION false TANYA LUHRMANN SEE PART V 253815 COMPENSATION false LISA PEARSON SEE PART V 63641 COMPENSATION false JAMES WELCH SEE PART V 198686 COMPENSATION false KATHERINE L WOLF SEE PART V 15300 COMPENSATION false SCHEDULE L, PART II LOANS TO/FROM INTERESTED PERSONS: IN A PROGRAM TO ATTRACT AND RETAIN EXCELLENT FACULTY AND SENIOR STAFF, THE UNIVERSITY PROVIDES HOME MORTGAGE FINANCING ASSISTANCE, PRIMARILY IN THE FORM OF SUBORDINATED LOANS, TYPICALLY IN CONJUNCTION WITH FIRST MORTGAGE LOANS PROVIDED BY PRIVATE LENDERS. THESE LOANS ARE COLLATERALIZED BY DEEDS OF TRUST ON PROPERTIES IN THE REGION SURROUNDING THE UNIVERSITY. DEPENDING ON CIRCUMSTANCES, THE BORROWER WILL RECEIVE A COMBINATION OF LOANS WITH VARYING INTEREST RATE AND PRINCIPAL PAYMENT TERMS. ELIGIBLE FACULTY AND SENIOR STAFF MAY ALSO RECEIVE A TAXABLE STIPEND TO ASSIST IN SERVICING THEIR MORTGAGE DEBT. FROM TIME TO TIME, CERTAIN OFFICERS AND KEY EMPLOYEES OF THE UNIVERSITY MAY BE ELIGIBLE FOR SUCH SUPPORT. EACH LOAN TO AN INTERESTED PERSON IS MADE FROM STANFORD TO THE INDIVIDUAL (COLUMN D). NONE OF THE LOANS IS IN DEFAULT (COLUMN G). ALL LOANS HAVE BEEN APPROVED BY THE BOARD OF TRUSTEES (COLUMN H). FOR EACH LOAN ISSUED, THERE EXISTS A WRITTEN AGREEMENT BETWEEN STANFORD AND THE BORROWER (COLUMN I). MORTGAGE TERMS GOVERN THE CALCULATION AND PAYMENT OF INTEREST WHICH APPROXIMATE MARKET RATES. SCHEDULE L, PART III GRANTS TO INTERESTED PERSONS: THE ONLY GRANT RELATED TRANSACTIONS ARE THOSE IN WHICH AN INTERESTED PERSON PAYS TUITION, ROOM AND/OR BOARD COSTS OR RECEIVES FINANCIAL AID, WORK/STUDY ASSISTANCE, AND/OR RESEARCH GRANTS FOR A STUDENT AT THE UNIVERSITY. SUCH AMOUNTS WOULD BE IN ACCORDANCE WITH FINANCIAL AID OR GRANT PRACTICES AT ARM'S LENGTH, AND ARE PROTECTED UNDER FERPA, THEREFORE, THEY CAN NOT BE DISCLOSED ON PART III. SCHEDULE L, PART IV BUSINESS TRANSACTIONS WITH INTERESTED PERSONS: CERTAIN STANFORD EMPLOYEES HAVE A FAMILY RELATIONSHIP WITH A LISTED PERSON. GENERALLY, SUCH EMPLOYEES WERE EITHER HIRED PRIOR TO THE LISTED PERSON'S EMPLOYMENT WITH STANFORD OR PRIOR TO THEIR APPOINTMENT AS AN OFFICER, TRUSTEE, OR KEY EMPLOYEE OF STANFORD. IN SOME INSTANCES, THE FAMILY MEMBER WAS HIRED CONCURRENTLY WITH THE LISTED PERSON'S EMPLOYMENT AT STANFORD, SUCH AS HIRING BOTH SPOUSES IN ONE RECRUITMENT. IN NO CASE WAS THE LISTED PERSON RESPONSIBLE FOR OR INVOLVED IN THE HIRING OF THE RELATED EMPLOYEE. NEITHER WERE THEY RESPONSIBLE FOR THE COMPENSATION, DIRECTION, EVALUATION OR CONTINUED EMPLOYMENT OF THE RELATED EMPLOYEE. (A) NAME OF THE INTERESTED PERSON: KEITH M. BAKER (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: FATHER OF TRUSTEE FELIX J. BAKER (C) AMOUNT OF TRANSACTION: $314,993 IN CASH COMPENSATION AND $52,200 IN BENEFITS DURING FISCAL YEAR 2020 EARNED IN HIS POSITION AS PROFESSOR OF HISTORY AT STANFORD. (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: JEANNE MARIE DAVILA (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: SISTER OF FORMER PROVOST JOHN ETCHEMENDY (C) AMOUNT OF TRANSACTION: $187,053 IN CASH COMPENSATION AND $35,239 IN BENEFITS DURING FISCAL YEAR 2020 EARNED IN HER FULL TIME STAFF POSITION AT STANFORD. (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: MICHELE ELAM (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: SPOUSE OF VP ARTS, HARRY ELAM (C) AMOUNT OF TRANSACTION: $237,255 IN CASH COMPENSATION AND $40,679 IN BENEFITS DURING FISCAL YEAR 2020 EARNED IN HER POSITION AS PROFESSOR OF ENGLISH AT STANFORD. (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: MARY HYNES (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: SPOUSE OF PRESIDENT AND TRUSTEE, MARC TESSIER-LAVIGNE (C) AMOUNT OF TRANSACTION: $35,137 IN CASH COMPENSATION DURING FISCAL YEAR 2020 EARNED IN HER POSITION AS ASSOCIATE PROFESSOR (RESEARCH) OF BIOLOGY AT STANFORD. (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: TANYA LUHRMANN (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: SPOUSE OF FORMER DEAN RICHARD SALLER (C) AMOUNT OF TRANSACTION: $219,195 IN CASH COMPENSATION AND $34,620 IN BENEFITS DURING FISCAL YEAR 2020 EARNED IN HER POSITION AS PROFESSOR OF ANTHROPOLOGY AT STANFORD. (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: LISA PEARSON (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: SPOUSE OF INTERIM OFFICER, HOWARD B. PEARSON (C) AMOUNT OF TRANSACTION: $48,080 IN CASH COMPENSATION AND $15,561 IN BENEFITS DURING FISCAL YEAR 2020 EARNED IN HER POSITION AS LECTURER AT LAW SCHOOL AT STANFORD. (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: JAMES WELCH (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: SPOUSE OF PROVOST, PERSIS DRELL (C) AMOUNT OF TRANSACTION: $180,416 IN CASH COMPENSATION AND $18,270 IN BENEFITS DURING FISCAL YEAR 2020 EARNED IN HIS POSITION AS PHYSICIST AT SLAC NATIONAL ACCELERATOR LABORATORY - STANFORD. (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: KATHERINE L. WOLF (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: SPOUSE OF PRESIDENT OF STANFORD ALUMNI ASSOCIATION HOWARD WOLF (C) AMOUNT OF TRANSACTION: $15,300 IN CASH COMPENSATION DURING FISCAL YEAR 2020 EARNED THROUGH HER BUSINESS KATALYST COACHING WITH STANFORD (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION'S REVENUES? NO X 44 N/A X 1250 132544075 FAIR MARKET VALUE X 1 8196670 FAIR VALUE X 14 13457563 FAIR VALUE X 4 3801000 APPRAISAL X 1 121875 APPRAISAL X 2 N/A X COMPUTERS AND ACCESSORIES 2 5098038 FAIR MARKET VALUE X OTHER EQUIPMENT 6 223511 FAIR MARKET VALUE X CAMERAS AND ACCESSORIES 1 941 FAIR MARKET VALUE X DIGITAL CURRENCY 4 285716 FAIR MARKET VALUE 45 false true true SCHEDULE M, PART I IN COLUMN B, STANFORD IS REPORTING THE NUMBER OF CONTRIBUTIONS. LINE 32A, USE OF THIRD-PARTY - STANFORD MAY, FROM TIME TO TIME, ENGAGE THIRD PARTIES (E.G., REAL ESTATE BROKERS) TO SELL CERTAIN NON-CASH CONTRIBUTIONS. LINE 33, NON-CASH CONTRIBUTIONS - WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS, ARTIFACTS, AND THE LIKE, WHICH ARE PRESERVED AND PROTECTED FOR EDUCATIONAL, RESEARCH AND PUBLIC EXHIBITION PURPOSES, ARE NOT CAPITALIZED. DONATIONS OF SUCH COLLECTIONS ARE NOT RECORDED FOR FINANCIAL STATEMENT PURPOSES. FORM 990, PAGE 1, LINE K FORM OF ORGANIZATION THE LELAND STANFORD JUNIOR UNIVERSITY WAS FOUNDED BY SENATOR AND MRS. LELAND STANFORD ON NOVEMBER 11, 1885, IN MEMORY OF THEIR ONLY CHILD, LELAND, JR. THE FOUNDING WAS ACCOMPLISHED BY A GRANT OF ENDOWMENT, KNOWN AS THE FOUNDING GRANT, WHICH CONVEYED IN TRUST TO A BOARD OF TRUSTEES CERTAIN PROPERTIES, DIRECTED THAT A UNIVERSITY BE ESTABLISHED AND OUTLINED THE OBJECTIVES AND GOVERNMENT OF THE UNIVERSITY. SUBSEQUENT LEGISLATION IN THE STATE OF CALIFORNIA GRANTED THE UNIVERSITY CORPORATE POWERS EFFECTIVE 1901. ACCORDINGLY, STANFORD HAS ELECTED TO BE TREATED AS A CORPORATION FOR THE PURPOSES OF THE ADMINISTRATION OF FEDERAL AND STATE INCOME TAX LAW. FORM 990, PART I, LINE 6 VOLUNTEERS THERE ARE THOUSANDS OF ALUMNI AND FRIENDS OF STANFORD UNIVERSITY WHO VOLUNTEERED THEIR SERVICES TO STANFORD OVER THE COURSE OF THE YEAR. EXAMPLES OF THE WIDE SPECTRUM OF VOLUNTEER SERVICES INCLUDE SERVING AS A MEMBER OF THE BOARD OF TRUSTEES OF THE UNIVERSITY, SERVING ON A FUNDRAISING COMMITTEE, AND SERVING ON AN ADVISORY BOARD OF AN INSTITUTE. WHILE STANFORD DOES NOT FORMALLY TRACK THE TOTAL NUMBER OF VOLUNTEERS, IT ESTIMATES THAT APPROXIMATELY 11,000 ALUMNI VOLUNTEERED DURING THE TAX YEAR. FORM 990, PARTS I AND III, LINE 1 ORGANIZATION'S MISSION - CONTINUED FROM PART I, LINE 1 & PART III, LINE 1 STANFORD IS INTERNATIONALLY RECOGNIZED FOR THE QUALITY OF ITS TEACHING AND RESEARCH, ITS DISTINGUISHED FACULTY, AND ITS OUTSTANDING STUDENT BODY. IN THE YEARS SINCE ITS FOUNDING IN 1885, STANFORD HAS GROWN TO OVER 2,279 FACULTY MEMBERS AND AN ENROLLMENT OF APPROXIMATELY 6,805 UNDERGRADUATE AND 9,844 GRADUATE STUDENTS. THE OBJECTIVE AND PURPOSES OF STANFORD UNIVERSITY, JANE AND LELAND STANFORD WROTE IN THEIR FOUNDING GRANT IN 1885, ARE "TO QUALIFY ITS STUDENTS FOR PERSONAL SUCCESS, AND DIRECT USEFULNESS IN LIFE; ... TO PROMOTE THE PUBLIC WELFARE BY EXERCISING AN INFLUENCE ON BEHALF OF HUMANITY AND CIVILIZATION, TEACHING THE BLESSINGS OF LIBERTY REGULATED BY LAW, AND INCULCATING LOVE AND REVERENCE FOR THE GREAT PRINCIPLES OF GOVERNMENT AS DERIVED FROM THE INALIENABLE RIGHTS OF MAN TO LIFE, LIBERTY, AND THE PURSUIT OF HAPPINESS." FORM 990, PART III, LINE 4A STATEMENT OF PROGRAM SERVICE ACCOMPLISHMENTS (EXPENSES $2,103,502,273 INCLUDING GRANTS OF $42,083,341; REVENUE $859,922,080) INSTRUCTION AND DEPARTMENTAL RESEARCH: INCLUDES THE SALARIES, FRINGE BENEFITS AND SUPPLIES NECESSARY TO TEACH 16,649 STUDENTS, INCLUDING 6,805 UNDERGRADUATE AND 9,844 GRADUATE AND PROFESSIONAL SCHOOL STUDENTS. STANFORD'S 2,279-PERSON FACULTY INCLUDES 34 NOBEL PRIZE WINNERS AND 4 PULITZER PRIZE WINNERS. STANFORD HAS SEVEN SCHOOLS: BUSINESS, EARTH, ENERGY & ENVIRONMENTAL SCIENCES, EDUCATION, ENGINEERING, HUMANITIES AND SCIENCES, LAW, AND MEDICINE. UNDERGRADUATES CHOOSE AMONG 69 MAJORS AND ARE ENCOURAGED TO LEARN CRITICAL THINKING SKILLS THROUGH RESEARCH. SEVEN SCHOOLS ON ONE CAMPUS OFFER STUDENTS BOUNDLESS OPPORTUNITIES TO PURSUE THEIR PASSIONS AND COLLABORATE ON SOLVING COMPLEX GLOBAL PROBLEMS. IN CLOSE INTERACTION WITH FACULTY, STANFORD STUDENTS CREATE AND APPLY KNOWLEDGE BY THINKING AND DOING, PREPARING FOR LEADERSHIP IN A RAPIDLY CHANGING WORLD. FORM 990, PART III, LINE 4B STATEMENT OF PROGRAM SERVICE ACCOMPLISHMENTS (EXPENSES $1,301,571,739 INCLUDING GRANTS OF $24,927,619; $209,336,386 REPORTED REVENUE EXCLUDES FEDERAL RESEARCH SUPPORT.) ORGANIZED RESEARCH: RESEARCH IS INTEGRAL TO THE EDUCATIONAL MISSION OF STANFORD AND INVOLVES FACULTY, GRADUATE STUDENTS, AND UNDERGRADUATES WHO SEEK NEW KNOWLEDGE IN SERVICE TO HUMANITY. STANFORD FACULTY MEMBERS HAVE CONTRIBUTED TO ADVANCEMENTS IN HIGH TECH, INCLUDING THE CREATION OF DIGITAL SUBSCRIBER LINES, IDENTITY-BASED ENCRYPTION, GLOBAL POSITIONING SYSTEMS AND THE REDUCED INSTRUCTION SET COMPUTER, AMONG OTHER DISCOVERIES; DISEASE IDENTIFICATION AND MANAGEMENT, INCLUDING PROGRAMS USED BY MORE THAN 500 ORGANIZATIONS WORLDWIDE CONCERNED WITH CHRONIC HEALTH PROBLEMS SUCH AS ARTHRITIS AND HIV/AIDS; AND GENOME SEQUENCING, INCLUDING DISCOVERIES THAT CREATED THE FIELD OF GENETIC ENGINEERING. TODAY'S STANFORD FACULTY MEMBERS ARE LEADERS IN NEUROSCIENCE, ENERGY, STEM CELL RESEARCH, ARTIFICIAL INTELLIGENCE, NANOTECHNOLOGY, BIOENGINEERING, COMPUTING TECHNOLOGY, REFORM OF OUR NATION'S SCHOOLS AND ENVIRONMENTAL SUSTAINABILITY. THROUGH BOTH BASIC AND APPLIED RESEARCH, STANFORD IS COMMITTED TO PROVIDING NEW KNOWLEDGE THAT FUELS OUR NATIONAL ECONOMY AND TO TRAINING GRADUATE STUDENTS WHO WILL BECOME TOMORROW'S TEACHERS AND RESEARCHERS. ENTREPRENEURIAL STANFORD FACULTY MEMBERS ARE KNOWN FOR THEIR ABILITY TO CROSS INTERDISCIPLINARY BOUNDARIES TO CREATE TEAMS OF RESEARCHERS ABLE TO PROVIDE NEW INSIGHTS TO COMPLEX, WORLDWIDE PROBLEMS. FORM 990, PART III, LINE 4C STATEMENT OF PROGRAM SERVICES ACCOMPLISHMENTS (EXPENSES $498,295,374 INCLUDING GRANTS OF $718,578; REVENUE $1,443,520,071.) UNIVERSITY AUXILIARY ACTIVITIES: INCLUDES AMONG OTHERS HEALTH CARE, RESIDENTIAL & DINING ENTERPRISES, AND INTER-COLLEGIATE ATHLETIC PROGRAMS. STANFORD SCHOOL OF MEDICINE FACULTY MEMBERS ARE HEALTH-CARE PRACTITIONERS AS WELL AS TEACHERS, COMBINING EXPERTISE HONED BY RESEARCH WITH THE MOST ADVANCED TECHNOLOGY TO TREAT PATIENTS AT STANFORD HEALTH CARE AND THE LUCILE PACKARD CHILDREN'S HOSPITAL. STANFORD FACULTY PROVIDE APPROXIMATELY 90 PERCENT OF THE PATIENT CARE AT STANFORD HEALTH CARE AND 95 PERCENT OF THE PEDIATRIC CARE AT LUCILE PACKARD CHILDREN'S HOSPITAL. RESIDENTIAL & DINING ENTERPRISES (R&DE) IS THE STEWARD OF 5 MILLION SQ FT OF PHYSICAL PLANT (APPROXIMATELY 1/3 OF CAMPUS) AND GENERATES REVENUE PRIMARILY THROUGH STUDENT ROOM AND BOARD. R&DE HOUSES 13,000 STUDENTS AND FAMILIES. R&DE COMPLEMENTS STANFORD'S ACADEMIC PROGRAMS WITH A ROBUST RESIDENTIAL LIVING AND LEARNING ENVIRONMENT. THE UNIVERSITY HAS BEEN INVESTING IN THE RESIDENTIAL EDUCATION PROGRAM TO FOSTER AN ENVIRONMENT OF INTELLECTUAL, EDUCATIONAL, AND COMMUNITY-BUILDING ACTIVITIES IN STUDENT RESIDENCES. FORM 990, PART III, LINE 4D OTHER PROGRAM SERVICES (EXPENSES $1,831,625,627 INCLUDING GRANTS OF $493,263,066; REVENUE $372,944,362.) ACADEMIC SUPPORT AND PUBLIC SERVICE $1,385,942,045 STUDENT FINANCIAL AID $330,051,655 SLAC NATIONAL ACCELERATOR LABORATORY CONSTRUCTION AND OTHER $115,631,927 --------------- TOTAL OTHER PROGRAM SERVICE EXPENSES $1,831,625,627 ACADEMIC SUPPORT AND PUBLIC SERVICE: STANFORD SUPPORTS 20 LIBRARIES. STANFORD LIBRARIES HAS MORE THAN 9.5 MILLION PHYSICAL VOLUMES IN ITS COLLECTION, AND MORE THAN ONE MILLION SCHOLARLY ITEMS AVAILABLE VIA THE STANFORD DIGITAL REPOSITORY THAT ARE PRODUCED BY STANFORD SCHOLARS OR COLLECTED BY LIBRARIANS. THE STANFORD UNIVERSITY INFORMATION TECHNOLOGY NETWORK AND INFRASTRUCTURE INCLUDES MORE THAN 258,400 ACTIVE DEVICES WITH ASSIGNED INTERNET PROTOCOL ADDRESSES. STANFORD UNIVERSITY NETWORK TRANSPORTS 100 TERABYTES OF INCOMING DATA AND 95 TERABYTES OF DATA OUTGOING BETWEEN STANFORD AND THE INTERNET EACH DAY. STUDENT SERVICES INCLUDE, AMONG OTHERS, THE DEAN OF STUDENT LIFE OFFICE, THE REGISTRAR, THE ADMISSIONS OFFICE, THE FINANCIAL AID OFFICE, AND THE OFFICE FOR RELIGIOUS LIFE. STUDENT FINANCIAL AID: INCLUDES MERIT AND NEED-BASED SCHOLARSHIPS AND FELLOWSHIPS. SLAC CONSTRUCTION AND OTHER: THE UNIVERSITY MANAGES AND OPERATES THE SLAC NATIONAL ACCELERATOR LABORATORY FOR THE U.S. DEPARTMENT OF ENERGY ("DOE") UNDER A MANAGEMENT AND OPERATING CONTRACT. REVENUES AND EXPENDITURES ARE INCLUDED IN STANFORD'S FINANCIAL STATEMENTS; ASSETS AND LIABILITIES ARE OWNED BY DOE AND THEREFORE EXCLUDED ON STANFORD'S BALANCE SHEET. ACCORDINGLY, CONSTRUCTION EXPENDITURES ARE RECORDED AS EXPENDITURES HEREIN. COVID-19 IMPACT THE 2020 FISCAL YEAR HAS BEEN A YEAR OF CHALLENGE, ADAPTATION AND PERSEVERANCE. AMID THE COVID-19 PANDEMIC, THE WILDFIRES THAT HAVE RAVAGED CALIFORNIA AND THE NATIONAL RECKONING WITH RACIAL INJUSTICE, STANFORD'S COMMUNITY HAS RALLIED, WITH RESOLVE AND DETERMINATION, TO ADVANCE THE UNIVERSITY'S MISSION. WHEN COVID-19 REACHED CALIFORNIA IN THE EARLY SPRING, IT QUICKLY BECAME CLEAR THAT THE DISRUPTION WOULD BE HISTORIC. THE UNIVERSITY RAPIDLY RESPONDED TO THE CRISIS ON A NUMBER OF FRONTS: SENDING UNDERGRADUATE STUDENTS HOME AND MOVING TEACHING ONLINE, CLOSING OUR CAMPUS TO ALL BUT ESSENTIAL WORKERS AND A SMALL NUMBER OF STUDENTS, PROVIDING ROUND-THE-CLOCK CLINICAL CARE TO PATIENTS FROM OUR SURROUNDING COMMUNITIES, AND IMPLEMENTING COST-SAVING MEASURES TO SUPPORT OUR CONTINUED FISCAL STABILITY. THROUGHOUT THE PANDEMIC, WE HAVE PRIORITIZED SUPPORTING OUR COMMUNITY, MAINTAINING OUR MISSIONS OF TEACHING, RESEARCH AND HEALTH CARE, AND CONTRIBUTING TO THE PANDEMIC RESPONSE THROUGH CLINICAL CARE AND DISCOVERY. TO SUPPORT OUR COMMUNITY, THE UNIVERSITY INCREASED FINANCIAL SUPPORT FOR OUR STUDENTS, CREATED A NEW GRANT PROGRAM FOR STANFORD EMPLOYEES FACING FINANCIAL HARDSHIPS, ENSURED PAY CONTINUATION FOR REGULAR EMPLOYEES, AND PROVIDED FINANCIAL AND OTHER SUPPORT TO OUR VENDORS. IN EDUCATION, THE UNIVERSITY INVESTED IN LEARNING TECHNOLOGY TO SUPPORT FACULTY IN THEIR EFFORTS TO DEVELOP CREATIVE FORMATS FOR ONLINE COURSEWORK AND MAINTAIN A FULFILLING AND ENRICHING EXPERIENCE FOR REMOTE LEARNERS IN ALL DISCIPLINES. OUR RESEARCH ENTERPRISE HAS PIVOTED, LAUNCHING HUNDREDS OF PROJECTS TO IMPROVE OUR UNDERSTANDING OF COVID-19 AND ITS EFFECTS ON SOCIETY. STANFORD MEDICINE DEVELOPED ONE OF THE FIRST FDA-APPROVED DIAGNOSTIC TESTS TO IDENTIFY THE VIRUS. OUR RESEARCHERS ARE COLLABORATING WITH THE UNIVERSITY OF CALIFORNIA, SAN FRANCISCO AND THE CHAN ZUCKERBERG INITIATIVE TO BETTER UNDERSTAND THE SPREAD OF COVID-19 AND SUPPORT POLICYMAKERS IN DETERMINING WHEN PEOPLE CAN RETURN SAFELY TO WORK, SCHOOL, AND OTHER CRITICAL ACTIVITIES. BEYOND STANFORD MEDICINE, RESEARCHERS HAVE BEEN WORKING TO MITIGATE OTHER SOCIETAL EFFECTS OF THE VIRUS, INCLUDING EFFORTS TO IMPROVE REMOTE K-12 EDUCATION AND REDUCE THE SPREAD OF THE VIRUS ACROSS INCARCERATED POPULATIONS, AMONG OTHERS. OUR HOSPITALS WERE AGILE IN THEIR RESPONSE, RAPIDLY INCREASING COVID-19 TESTING AND CAPACITY TO TREAT PATIENTS ACROSS THE BAY AREA AND THE STATE, USING TELEHEALTH TOOLS TO REDUCE IN-PERSON VISITS, AND DELAYING RENOVATIONS TO OLDER BUILDINGS IN ORDER TO ADDRESS A POTENTIAL SURGE IN PATIENTS. THE GENEROUS SUPPORT AND ENERGY OF OUR DONORS, ALUMNI AND COMMUNITY HAVE ALSO ENABLED US TO ADVANCE STANFORD'S LONG-RANGE VISION, INCLUDING CRITICAL UNIVERSITY-WIDE INITIATIVES FOCUSED ON SOCIAL JUSTICE, DIVERSITY AND INCLUSION, AND CLIMATE AND SUSTAINABILITY. IT IS CLEAR THAT THE EFFECTS OF THE VIRUS ON STANFORD'S FINANCES WILL NOT BE A TEMPORARY BUDGET BLIP, BUT AN ONGOING CHALLENGE. COVID-19 HAS FORCED US TO MAKE TOUGH CHOICES AS WE CONTEND WITH REDUCED OPERATING REVENUES AND MANAGE ADDITIONAL EXPENSES RELATED TO NEW MEASURES TO KEEP OUR COMMUNITY SAFE. WHILE THE CRISIS HAS FORCED THE UNIVERSITY TO ADJUST COURSE, IT HAS ALSO SHARPENED OUR FOCUS AND ILLUMINATED WHAT THIS COMMUNITY CAN ACHIEVE AND HOW ESSENTIAL OUR CORE ACTIVITIES OF TEACHING, RESEARCH, AND HEALTH CARE ARE TO THE WORLD. AS WE LOOK AHEAD, WE WILL CONTINUE TO TAKE THOUGHTFUL STEPS TO POSITION STANFORD FOR A STRONG RECOVERY AS WE SUPPORT THE HEALTH AND SAFETY OF OUR COMMUNITY. FORM 990 PART IV, LINES 12A AND 12B AUDIT OF FINANCIAL STATEMENTS STANFORD'S CONSOLIDATED FINANCIAL STATEMENTS AS OF AND FOR THE YEARS ENDED AUGUST 31, 2020 AND AUGUST 31, 2019 WERE AUDITED BY THE ACCOUNTING FIRM OF PRICEWATERHOUSECOOPERS ("PWC"). AS REQUIRED BY GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, THE UNIVERSITY'S FINANCIAL STATEMENTS ARE PREPARED ON A CONSOLIDATED BASIS AND REFLECT THE COMBINED FINANCIAL POSITION AND RESULTS OF THE UNIVERSITY, STANFORD HEALTH CARE AND LUCILE SALTER PACKARD CHILDREN'S HOSPITAL AT STANFORD, INCLUDING THEIR RESPECTIVE CONTROLLED AFFILIATES. IN ADDITION, THE FINANCIAL STATEMENTS PRESENT CONSOLIDATING STATEMENTS THAT DISCLOSE SEPARATELY THE ACCOUNTS OF THE UNIVERSITY AND ITS CONSOLIDATED SUBSIDIARIES. UNDER SEPARATE COVER, THE CONTROLLED AFFILIATES PROVIDE AUDITED FINANCIAL STATEMENTS OF THEIR OWN ACCOUNTS. PWC UTILIZES SEPARATE AUDIT TEAMS TO CONDUCT THE AUDIT ENGAGEMENTS OF STANFORD AND EACH OF THE CONSOLIDATED SUBSIDIARIES. EACH AUDIT IS CONDUCTED BY QUALIFIED PROFESSIONAL ACCOUNTANTS WITH AUDIT PLANS DESIGNED FROM THE SEPARATE ACCOUNTS FOR THE RESPECTIVE ENTITIES, IN ACCORDANCE WITH GENERALLY ACCEPTED AUDITING STANDARDS. FORM 990, PART V, LINE 4B STANFORD HAS AN INTEREST IN OR SIGNATURE AUTHORITY OVER BANK AND/OR INVESTMENT ACCOUNTS IN THE FOLLOWING COUNTRIES: CAYMAN ISLANDS; CHILE; CHINA; GERMANY; SPAIN; FRANCE; GHANA; HONG KONG; INDIA; ITALY; JAPAN; JERSEY; KENYA; MAURITIUS; SOUTH AFRICA; TURKEY; UNITED KINGDOM. FORM 990, PART VI, SECTION A, LINE 2 BUSINESS RELATIONSHIPS THE FOLLOWING INDIVIDUALS LISTED ON PART VII HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER: - ANEEL BHUSRI IS THE CEO OF WORKDAY, INC., WHERE JERRY YANG ALSO SERVES AS A BOARD MEMBER. - KAVITARK RAM SHRIRAM IS A DIRECTOR OF ALPHABET INC. AND GOOGLE INC., WHERE RUTH PORAT SERVES AS CHIEF FINANCIAL OFFICER. FORM 990, PART VI, SECTION B, LINES 11A & B REVIEW OF THE FORM 990 THE FORM 990 IS PREPARED BY THE UNIVERSITY'S TAX DEPARTMENT IN CONSULTATION WITH STAKEHOLDERS INTERNAL TO FINANCIAL MANAGEMENT SERVICES AND ACROSS THE UNIVERSITY INCLUDING OFFICE OF DEVELOPMENT, THE OFFICE OF GENERAL COUNSEL, STANFORD MANAGEMENT COMPANY AND UNIVERSITY HUMAN RESOURCES. THE RETURN IS REVIEWED BY EXTERNAL ACCOUNTANTS, OUTSIDE COUNSEL, AND INTERNALLY WITH SENIOR MANAGEMENT INCLUDING THE SENIOR ASSOCIATE VICE PRESIDENT FOR FINANCE, THE CONTROLLER, THE TREASURER AND STANFORD MANAGEMENT COMPANY. THE RETURN IS THEN DISTRIBUTED TO THE BOARD COMMITTEE ON AUDIT, COMPLIANCE AND RISK FOR THEIR REVIEW IN ADVANCE OF THE COMMITTEE MEETING. THE COMMITTEE IS OFFERED AN OPPORTUNITY TO ASK QUESTIONS BOTH AT THE MEETING AND ANYTIME THEREAFTER. SUBSEQUENT TO THE MEETING, A COMPLETE COPY OF THE FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST MEMBERS OF THE UNIVERSITY'S BOARD OF TRUSTEES ("TRUSTEES"), OFFICERS AND FACULTY MAY, FROM TIME TO TIME, BE ASSOCIATED, EITHER DIRECTLY OR INDIRECTLY, WITH ENTITIES DOING BUSINESS WITH THE UNIVERSITY. THE UNIVERSITY HAS CONFLICT OF INTEREST POLICIES THAT ARE STRICTLY ENFORCED TO ENSURE THAT ALL TRANSACTIONS WITH THESE PARTIES ARE ARM'S LENGTH, AND THERE IS NO FAVORABLE TREATMENT AS A RESULT OF THESE RELATIONSHIPS. CONFLICTS OF INTEREST ARE REGULARLY MONITORED, AND APPLICABLE POLICY IS CONSISTENTLY ENFORCED. UNIVERSITY-WIDE COMPLIANCE INITIATIVES INCLUDE TRAINING AND DOCUMENTATION, REQUIRED ANNUAL DISCLOSURE AND FOLLOW-UP; MANAGEMENT CONTROLS; ENTERPRISE RISK MANAGEMENT; REGULAR INTERNAL AND EXTERNAL AUDITS; WHISTLE-BLOWER PROVISIONS; SUPERVISION; AND REVIEW. PERCEIVED VIOLATIONS WOULD BE INVESTIGATED AND ADDRESSED AS APPROPRIATE THROUGH VARIOUS SANCTIONS, INCLUDING FINANCIAL PENALTIES AND TERMINATION, DEPENDING UPON THE NATURE AND DEGREE OF THE CONFLICT. FOR OFFICERS, THE UNIVERSITY REQUIRES ANNUAL DISCLOSURE OF SIGNIFICANT FINANCIAL INTERESTS IN EMPLOYMENT OR CONSULTING RELATIONSHIPS WITH ENTITIES DOING BUSINESS WITH THE UNIVERSITY. THESE ANNUAL DISCLOSURES COVER BOTH OFFICERS AND THEIR IMMEDIATE FAMILY. WHEN SUCH ASSOCIATIONS EXIST, MEASURES ARE TAKEN TO APPROPRIATELY MANAGE, IN THE BEST INTERESTS OF THE UNIVERSITY, ANY ACTUAL OR PERCEIVED CONFLICT. FACULTY MUST COMPLY WITH THE FACULTY CONFLICT OF INTEREST POLICY, WHICH REQUIRES ANNUAL CERTIFICATION OF COMPLIANCE WITH THE POLICY AND DISCLOSURE OF INTERESTS IN OUTSIDE ENTITIES THAT ARE SPONSORS OF THEIR TEACHING OR RESEARCH OR OTHER TRANSACTIONS WITH THE UNIVERSITY IN WHICH THEY ARE INVOLVED. ALL PERSONAL FINANCIAL INTERESTS RELATED TO STANFORD ACTIVITIES MUST BE REPORTED, REGARDLESS OF DOLLAR AMOUNT. FOR TRUSTEES, THE UNIVERSITY HAS A WRITTEN CONFLICT OF INTEREST POLICY THAT REQUIRES, AMONG OTHER THINGS, THAT NO MEMBER OF THE BOARD OF TRUSTEES IS PERMITTED TO PARTICIPATE IN ANY DECISION RELATING TO AN ENTITY IN WHICH HE OR SHE (OR AN IMMEDIATE FAMILY MEMBER) HAS A MATERIAL FINANCIAL INTEREST. THE CONFLICT OF INTEREST POLICY ALSO PRECLUDES THE UNIVERSITY FROM ENTERING INTO CERTAIN TRANSACTIONS WITH AN ENTITY IN WHICH A TRUSTEE HAS A MATERIAL FINANCIAL INTEREST UNLESS MEASURES ARE TAKEN TO MITIGATE ANY ACTUAL OR PERCEIVED CONFLICT. NAMELY, THE POLICY REQUIRES THAT SUCH TRANSACTIONS ARE CONDUCTED AT ARM'S LENGTH, FOR GOOD AND SUFFICIENT CONSIDERATION, BASED ON TERMS THAT ARE FAIR AND REASONABLE TO AND FOR THE BENEFIT OF THE UNIVERSITY, AND OTHERWISE IN ACCORDANCE WITH SOUND CONFLICT MANAGEMENT PRACTICES. THE CONFLICT OF INTEREST POLICY REQUIRES EACH TRUSTEE TO CERTIFY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY ON AN ANNUAL BASIS. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION DETERMINATION THE ANNUAL PROCESS FOR DETERMINING COMPENSATION OF BOTH THE TOP MANAGEMENT OFFICIAL (PRESIDENT OF THE UNIVERSITY) AND OF OTHER OFFICERS/KEY EMPLOYEES INCLUDES REVIEW AND APPROVAL BY INDEPENDENT PERSONS, USE OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF THE DELIBERATION AND DECISION. IN THE CASE OF THE UNIVERSITY'S PRESIDENT, THE VICE PRESIDENT FOR HUMAN RESOURCES, AT A PRELIMINARY MEETING WITH A SUBCOMMITTEE OF THE BOARD COMMITTEE ON COMPENSATION, INCLUDING NON-EMPLOYEE TRUSTEES, PRESENTS AN ANALYSIS OF CURRENT RELEVANT MARKET DATA, CONTAINING SALARY INFORMATION OF INDIVIDUALS SERVING IN A COMPARABLE POSITION, OBTAINED FROM AN INDEPENDENT HUMAN RESOURCE CONSULTING FIRM. THE SAME MATERIALS ARE SENT TO THE FULL COMMITTEE. AT THE MEETING OF THE FULL COMMITTEE AND IN THE ABSENCE OF THE PRESIDENT, DISCUSSION OCCURS PRIOR TO A VOTE. MINUTES OF ALL MEETINGS ARE ON FILE IN THE OFFICE OF THE VICE PRESIDENT FOR HUMAN RESOURCES. IN THE CASE OF OTHER OFFICERS/KEY EMPLOYEES, PER GUIDELINES IN THE COMMITTEE'S EXECUTIVE COMPENSATION POLICY AND PROCEDURES DOCUMENT, EACH YEAR THE VICE PRESIDENT FOR HUMAN RESOURCES PROVIDES CURRENT RELEVANT MARKET DATA AND THE HISTORICAL PAY INFORMATION RELATING TO THESE PERSONS TO THE PRESIDENT OR TO THE PROVOST BASED ON THE REPORTING STRUCTURE. THE PRESIDENT AND PROVOST PROPOSE CHANGES IN COMPENSATION BASED ON EACH INDIVIDUAL'S PERFORMANCE AND ON THE MARKET DATA. THE COMMITTEE ON COMPENSATION REVIEWS THE RECOMMENDATIONS AND, FOLLOWING DISCUSSION, APPROVES THE RECOMMENDATIONS AS SUBMITTED OR WITH MODIFICATIONS. MINUTES OF THE MEETING ARE ON FILE IN THE OFFICE OF THE VICE PRESIDENT FOR HUMAN RESOURCES. FORM 990, PART VI, SECTION C, LINE 19 STANFORD UNIVERSITY MAKES ITS FOUNDING GRANT, FACULTY AND STAFF CONFLICT OF INTEREST POLICIES, AND FINANCIAL STATEMENTS AVAILABLE TO THE GENERAL PUBLIC THROUGH STANFORD'S WEBSITE, AND UPON REQUEST TO THE OFFICE OF UNIVERSITY COMMUNICATIONS. FORM 990, PART VII, SECTION A, COLUMN B HOURS FOR RELATED ORGANIZATIONS IN CONNECTION WITH THEIR POSITIONS AT STANFORD, CERTAIN LISTED INDIVIDUALS MAY, FROM TIME TO TIME, PARTICIPATE IN ACTIVITIES OF A RELATED ORGANIZATION. WHERE THE LISTED INDIVIDUALS ARE TRUSTEES, DIRECTORS, OFFICERS, OR EMPLOYEES OF THE RELATED ORGANIZATION, THE TIME DEVOTED TO THE RELATED ORGANIZATION BY SUCH INDIVIDUALS IS GENERALLY REPORTED AS RELATED ORGANIZATION HOURS IN PART VII, SECTION A, LINE 1A, COLUMN (B), BELOW THE DOTTED LINE. IN ALL OTHER CASES, THE HOURS IN CONNECTION WITH SUCH PARTICIPATION ARE INCLUDED IN THE HOURS REPORTED FOR THE INDIVIDUALS' POSITIONS AT STANFORD UNIVERSITY IN PART VII, SECTION A, LINE 1A, COLUMN (B), ABOVE THE DOTTED LINE. FORM 990, PART VII, SECTION B INDEPENDENT CONTRACTORS IN THE PRESENTATION OF THE DATA APPEARING IN FORM 990, PART VII, SECTION B, STANFORD REPORTS DIRECT CASH COMPENSATION PAID TO PROFESSIONAL INDEPENDENT CONTRACTORS. COMMISSIONS, DISCOUNTS, AND MANAGEMENT FEES EMBEDDED IN AND/OR DEDUCTED FROM INVESTMENT RETURNS AND AMOUNTS PROVIDED TO VENTURE CAPITAL, PRIVATE EQUITY, AND HEDGE FUND GENERAL PARTNERS DUE TO THEIR "CARRIED INTEREST" IN PARTNERSHIPS IN WHICH STANFORD PARTICIPATES ARE NOT CONSIDERED IN THIS REPORTING. FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCES CHANGE IN POST RETIREMENT BENEFIT OBLIGATION $96,287,000 CHANGE IN VALUE OF SPLIT INTEREST (14,413,742) NET HOSPITAL TRANSFERS 135,339,236 CHANGE IN VALUE OF SWAP AGREEMENTS (8,314,208) CHANGE IN NON-CONTROLLING INTEREST (20,846,695) ------------------------- $188,051,591 200 GREGORY STREET LLC 415 BROADWAY REDWOOD CITY CA 94063 941156365 REAL ESTATE CO 0 0 STANFORD ANTS AT WORK LLC 485 BROADWAY MAILCODE 8838 REDWOOD CITY CA 94063 941156365 RESEARCH NM 0 0 STANFORD ARCOLA LLC 635 KNIGHT WAY STANFORD CA 94305 204222260 REAL ESTATE DE ARCOLA VENTU ARCOLA RESIDENTIAL DEVELOPMENT LLC 635 KNIGHT WAY STANFORD CA 94305 800804754 REAL ESTATE DE ARCOLA VENTU ARCOLA RETAIL DEVELOPMENT LLC 635 KNIGHT WAY STANFORD CA 94305 800804058 REAL ESTATE DE ARCOLA VENTU ATFIV DIRECT LLC 635 KNIGHT WAY STANFORD CA 94305 941156365 INVESTMENTS DE 0 0 STANFORD CYPRESS MARINA HEIGHTS AHU LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS CA CYPRESS CYPRESS MARINA PARTNERS LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS CA -206534 0 STANFORD G318 LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS CA 0 0 STANFORD GRE PROPERTIES II LLC 415 BROADWAY REDWOOD CITY CA 94063 941156365 REAL ESTATE DE -568 -1192 STANFORD GRE PROPERTIES LLC 485 BROADWAY MAILCODE 8838 REDWOOD CITY CA 94063 941156365 REAL ESTATE DE -421 -30064 STANFORD GREGORY STREET ACQUISITION LLC 415 BROADWAY REDWOOD CITY CA 94063 941156365 REAL ESTATE CO 74848 4168233 STANFORD HP OUTLAWS LLC 415 BROADWAY REDWOOD CITY CA 94063 941156365 REAL ESTATE DE 0 0 STANFORD JPS NO 1 LLC 415 BROADWAY REDWOOD CITY CA 94063 941156365 REAL ESTATE DE 0 0 STANFORD JPS NO 2 LLC 415 BROADWAY REDWOOD CITY CA 94063 941156365 REAL ESTATE DE 0 0 STANFORD Nymeria LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 18134342 STANFORD RED 238 LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 22293333 STANFORD RED ALPINE LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 1 STANFORD RED ALTA LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 110000000 STANFORD RED ALVARADO LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 13892306 STANFORD RED ARBORETUM LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 36839480 STANFORD RED ARDENWOOD LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 12816134 STANFORD RED BART LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 9480242 STANFORD RED BROADWAY LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 38787817 STANFORD RED CAMINO LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 938 2770284 STANFORD RED CLOSE UP LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 20508771 STANFORD RED DECOTO LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 12538882 STANFORD RED DISH LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 261479 STANFORD RED FOOTHILLS LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 70953639 STANFORD RED HILLSIDE LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 52909870 STANFORD RED LOMITA LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 14833395 STANFORD RED MARINA LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 6800000 STANFORD RED MARINER LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 36483 0 STANFORD RED MOTHERBOARD LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 1091840 STANFORD RED POPLAR LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 -12224 STANFORD RED RIDGE LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 29853162 STANFORD RED SANDHILL LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 15526 STANFORD RED SKYLINE LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 699889 STANFORD RED VELD LLC 635 KNIGHT WAY STANFORD CA 94305 INVESTMENTS DE 0 0 STANFORD ROCKY HILL PROPERTY LLC 485 BROADWAY MAILCODE 8838 REDWOOD CITY CA 94063 454672921 REAL ESTATE CA 0 0 STANFORD SAA SIERRA PROGRAMS LLC 485 BROADWAY MAILCODE 8838 REDWOOD CITY CA 94063 800313657 ALUM RELATION CA -2557203 10509972 STANFORD SAND HILL INVESTMENTS GP LLC 635 KNIGHT WAY STANFORD CA 94305 412262027 INVESTMENTS DE 0 0 STANFORD SAND HILL INVESTMENTS LP 635 KNIGHT WAY STANFORD CA 94305 371557441 INVESTMENTS DE SAND HILL IN SHOPS AT ARCOLA CENTER LLC 635 KNIGHT WAY STANFORD CA 94305 REAL ESTATE DE SHOPS AT ARC SHOPS AT ARCOLA MEMBER LLC 635 KNIGHT WAY STANFORD CA 94305 REAL ESTATE DE ARCOLA VENTU SHR HOTEL LLC 485 BROADWAY MAILCODE 8838 REDWOOD CITY CA 94063 412277925 REAL ESTATE CA -2725066 107845111 STANFORD SPECIALTY EVENTS LLC 485 BROADWAY MAILCODE 8838 REDWOOD CITY CA 94063 273665473 GEN. 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