2021-05-03T11:20:23-05:00 2020-09-30 454084437 WARREN AVERETT LLC 3815 INTERSTATE CT MONTGOMERY AL 36109 990 2019-10-01 636022422 AUBURN UNIVERSITY FOUNDATION AUBU 3348447048 317 SOUTH COLLEGE STREET AUBURN AL 368495170 WILLIAM B HUGHES ASSISTANT TREASURER 3348447048 2021-04-27 1 D CLYNTON HART JR CPA P00191509 3342712200 2021-04-27 2019 2022-09-23 18:48:47Z DR CHRISTOPHER ROBERTS 317 SOUTH COLLEGE STREET AUBURN AL 368495170 326039695 0 X WWW.AUBURNUNIVERSITYFOUNDATION.ORG X 1960 AL THE ORGANIZATION OPERATES FOR THE EXCLUSIVE BENEFIT OF AUBURN UNIVERSITY, AN EDUCATIONAL, LAND-GRANT INSTITUTION WHICH IS TAX EXEMPT UNDER IRC SECTION 115. 24 24 0 2864 0 0 54251609 47772436 170202 175530 12320270 20036438 2585417 2474327 69327498 70458731 46605835 47681628 0 0 0 0 0 0 2081362 9383031 6809477 55988866 54491105 13338632 15967626 681507810 710019152 33476421 33682144 648031389 676337008 THE ORGANIZATION OPERATES FOR THE EXCLUSIVE BENEFIT OF AUBURN UNIVERSITY, AN EDUCATIONAL, LAND GRANT INSTITUTION. 0 0 47549628 47549628 2405362 GRANTS TO AUBURN UNIVERSITY (AU) FOR ACADEMIC, OUTREACH AND RESEARCH MISSIONS AND ITS SUPPORTING/RELATED ORGANIZATIONS IN SUPPORT OF THEIR ORGANIZATION'S PRIMARY PURPOSES, OUTREACH AND INTERCOLLEGIATE ATHLETICS, IN SUPPORT OF AU. 2666909 0 175530 EXPENDITURES MADE BY AUBURN UNIVERSITY FOUNDATION (AUF) ON BEHALF OF AU IN SUPPORT OF ITS ACADEMIC, OUTREACH AND RESEARCH MISSIONS. 132000 132000 0 GRANTS FOR OPERATIONS TO AUBURN UNIVERSITY REAL ESTATE FOUNDATION, INC.(AUREF), FOR OPERATIONS AND THE TRANSFER OF REAL PROPERTIES TO AU FOR PERPETUAL MANAGEMENT. 50348537 1 1 0 0 0 0 0 0 0 1 1 1 0 0 1 1 0 1 0 0 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 1 0 1 129 0 1 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 X 24 24 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 0 0 0 FL KY MA MD MI MN NH NJ NY ND OH OR PA SC UT WA X X WILLIAM B HUGHES 3348447048 317 SOUTH COLLEGE STREET AUBURN AL 368495170 X BENNY M LARUSSA CHAIR 1.40 X X 0 0 0 CHERYL LYNN CASEY VICE CHAIR 1.40 X X 0 0 0 WALTON T CONN JR TREASURER 1.10 X X 0 0 0 OLIVIA OWEN DIRECTOR 0.40 X 0 0 0 DOTTIE KENADY BLAIR DIRECTOR 0.40 X 0 0 0 PAUL JACOBSON DIRECTOR 0.80 X 0 0 0 KATH CARTER DIRECTOR 0.90 X 0 0 0 GREG HESTON DIRECTOR 0.50 X 0 0 0 JAMES M HOSKINS DIRECTOR 0.20 X 0 0 0 BETH STUKES DIRECTOR 0.90 X 0 0 0 JOHN A JERNIGAN DIRECTOR 0.40 X 0 0 0 LESLEE BELLUCHIE DIRECTOR 0.60 X 0 0 0 MELISSA B HERKT DIRECTOR 0.50 X 0 0 0 RONALD M DYKES DIRECTOR 0.50 X 0 0 0 SHARLENE EVANS DIRECTOR 1.20 X 0 0 0 STEVEN R SPENCER DIRECTOR 1.10 X 0 0 0 KERRY BRADLEY DIRECTOR 1.10 X 0 0 0 THOMAS R CAMPBELL DIRECTOR 1.20 X 0 0 0 WALTER S WOLTOSZ DIRECTOR 0.90 X 0 0 0 STEVE CATES DIRECTOR 1.00 X 0 0 0 BRUCE DONNELLAN DIRECTOR 1.10 X 0 0 0 JAVIER GOIZUETA DIRECTOR 0.80 X 0 0 0 MARK FORCHETTE DIRECTOR 0.90 X 0 0 0 JOHN STEIN DIRECTOR 1.10 X 0 0 0 JANE DIFOLCO PARKER FORMER PRESIDENT 4.00 X 0 0 0 CHRISTOPHER ROBERTS INTERIM PRESIDENT 4.00 X 0 0 0 SHAUNA MONROE ASSISTANT TREASURER 10.00 X 0 0 0 REGINA B ISBELL ASSISTANT TREASURER 19.00 X 0 0 0 MARK R THOMSON FORMER ASSISTANT TREASURER 24.00 X 0 0 0 WILLIAM B HUGHES ASSISTANT TREASURER 24.00 X 0 0 0 WANDA M SPEROW SECRETARY 36.00 X 0 0 0 LAUREL HENDRIX ASSISTANT SECRETARY 20.00 X 0 0 0 KRISTIN LUDWIG FORMER OPERATIONS OFFICER 3.60 X 0 0 0 JAMIE DANIEL INFORMATION SECURITY OFFICER 2.00 X 0 0 0 0 0 0 0 0 0 0 TERRA COTTA CATERING CO 415 E MAGNOLIA AVE AUBURN AL 36830 CATERING 505056 IDEAS UNITED LLC 200 ARIZONA AVE NE 104 ATLANTA GA 30307 EVENT PLANNING 298500 BLACKBAUD INC 2000 DANIEL ISLAND DRIVE CHARLESTON SC 29492 FUNDRAISING SUPPORT 228852 EVERTRUE INC 330 CONGRESS STREET 2ND FLOOR BOSTON MA 02210 FUNDRAISING SUPPORT 192000 AUBURN TAILGATE GUYS LLC PO BOX 3885 AUBURN AL 36831 HOSPITALITY 170218 12 40262 47732174 8906176 47772436 N/D PORTION OF CONTRIBUTION 900099 95106 95106 PROG SRVC REGISTRATION 611710 70059 70059 10365 10365 175530 3537758 3537758 68965 68965 272079644 255580964 16498680 16498680 16498680 ADMIN COST RECOVERY 561000 2401287 2401287 MISCELLANEOUS 900099 4075 4075 2405362 70458731 2580892 0 20105403 47681628 47681628 1863109 972846 890263 51513 6125 31413 13975 106000 2000 104000 176301 72609 44069 59623 223081 116732 1947 104402 819801 530069 137431 152301 237579 26212 173246 38121 215405 101957 113448 260255 54962 23673 181620 59169 26099 13480 19590 35338 35338 OFFICIAL GUESTS AND ENT 2202666 1520736 118906 563024 OTHER NONPROFESSIONAL O 316266 153269 105094 57903 ADMINISTRATIVE COSTS 242994 56139 186315 540 54491105 50348537 2061206 2081362 X 37654412 48110325 85014804 71526426 1128169 305016 833098 823153 209759449 227376045 335552610 349020966 12693437 13162237 681507810 710019152 516041 186921 32960380 33495223 33476421 33682144 X 30503857 33852524 617527532 642484484 648031389 676337008 681507810 710019152 X 15967626 11809760 528233 X X 0 1 X 1 0 X 72026204 66341403 40566440 54251609 47779204 280964860 72026204 66341403 40566440 54251609 47779204 280964860 46096418 234868442 1833157 2548250 3799223 3530155 3606723 15317508 2199529 2268927 2538153 2667461 2574124 12248194 308530562 0.76120 0.78000 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 544691937 23841137 30944185 18111703 4893301 576472255 533333931 24037765 8364870 16473062 4571567 544691937 509166848 11330984 32621221 15558917 4226205 533333931 461954124 15107452 49622032 13643380 3873380 509166848 423066201 21580124 33329980 12471005 3551176 461954124 0.03520 0.76040 0.20440 0 1 1 649519 170150 819669 308500 305016 3484 823153 ADAGE LARGE CAP FUND, LP 76022949 F AEW GLOBAL PROPERTY SECURITIES 17420027 F AG CORE PLUS REALTY IV 5012672 F AG REALTY VALUE FUND X 2424414 F AG REALTY VIII 1252210 F AMERICAN SECURITIES PARTNERS VI 2862683 F AMERICAN SECURITIES PARTNERS VII 2425526 F AMERICAN SECURITIES PARTNERS VIII 1896668 F ANCHORAGE CAPITAL PARTNERS OFFSHORE 5576406 F BAIN CAPITAL FUND IX, LP 193965 F CABOT INDUSTRIAL VALUE FUND VI 176919 F CANYON VALUE REALIZATION FD LTD 12702705 F CLOPTON STRUCTURED NOTES 47469 F DAVIDSON KEMPNER LTDO II 1943733 F DAVIDSON KEMPNER LTDO IV 4538888 F DAVIDSON KEMPNER LTDO INTL V 701819 F DEEDED MINERAL RIGHTS 420000 F DENHAM COMMODITIES PTRS VI 2517348 F EMG III 1421297 F EMINENCE FUND LTD. 11090070 F ENCAP ENERGY CAPITAL FUND XI 914762 F ENCAP ENERGY CAPITAL IX 480785 F ENCAP ENERGY CAPITAL X 1131431 F ENCAP FLATROCK MIDSTREAM IV 1900382 F EQT INFRASTRUCTURE IV 4190511 F ETON PARK OVERSEAS FUND 12842 F FARALLON PARTNERS 15687971 F FRONTIER FUND V 3156283 F GEM REALTY FUND VI 2211127 F GREENSPRING GLOBAL PARTNERS IX 2316230 F GREENSPRING GLOBAL PARTNERS V 4648753 F GREENSPRING GLOBAL PARTNERS VI 6063662 F GREENSPRING GLOBAL PARTNERS VII 4629776 F GREENSPRING GLOBAL PARTNERS VIII 2585062 F GREENSPRING GLOBAL PARTNERS X 250000 F GREYCROFT GROWTH III 574752 F GREYCROFT PARTNERS VI 153967 F HIGHFIELDS CAPITAL LTD 237000 F HIGHLINE CAPITAL INTL LTD 482093 F LANDMARK EQUITY PARTNERS XV 1668336 F LEXINGTON PARTNERS, LP 309392 F MARATHON LONDON INTERNATIONAL 20104070 F MERIT ENERGY G 2916748 F MERIT ENERGY H 2925409 F NATURAL GAS PARTNERS IX, LP 88053 F NATURAL GAS PARTNERS X, LP 790918 F OCM OPPORTUNITY FUND IV, LP 22665 F OCM OPPORTUNITY FUND VII-B, LP 3828 F OCM OPPORTUNITY FUND VIII, LP 47830 F OTHER INTERMEDIATE INVESTMENTS 2439854 F SEG PARTNERS OFFSHORE LTD 10894261 F SILCHESTER INT VAL 26100608 F SIRE PARTNERS, LP 72772 F STEADFAST INTERNATIONAL LTD 13759104 F SUMMIT PARTNERS GROWTH EQUITY IX 7020408 F SUMMIT PARTNERS GROWTH EQUITY X 674083 F SUN CAPITAL PARTNERS FUND VII 1210071 F TACONIC OPPORTUNITY OFFSHORE FD 8093283 F VARDE INVESTMENT PARTNERS LTD 12854608 F WALTON STREET REAL ESTATE V, LP 139533 F WARBURG PINCUS GLOBAL GROWTH 2394513 F WARBURG PINCUS XII 6721317 F WELLINGTON EMERGING MARKETS FUND 16040500 F WELSH CAROSN XIII 1355861 F WELSH CARSON ANDERSON & STOWE FUND XI, LP 632486 F WELSH CARSON XII 3594561 F WHEELOCK ST REAL ESTATE FUND V 3914531 F WHEELOCK ST REAL ESTATE FUND VI -43794 F 349020966 ANNUITIES PAYABLE 11354029 DUE TO AUBURN ALUMNI ASSOCIATION 9011379 DUE TO TIGERS UNLIMITED FOUNDATION 9320341 RETAINED LIFE COMMITMENT 17684 DUE TO OTHER RELATED ORGANIZATIONS 1263340 DEFERRED REVENUE 88596 DUE TO OUTSIDE BENEFICIARIES 2439854 33495223 X 83350649 11809760 1082158 12891918 70458731 0 70458731 55597605 1106500 1106500 54491105 0 54491105 PART V, LINE 4: ACADEMIC UNIT SUPPORT $128,929,831 FACULTY SUPPORT $148,671,093 STUDENT AID $244,630,903 PROGRAM SUPPORT $17,413,850 RESEARCH SUPPORT $15,930,333 OUTREACH AND PUBLIC SERVICE SUPPORT $4,035,735 CAPITAL AND PLANT SUPPORT $3,276,637 ADMINISTRATIVE SUPPORT $13,583,873 PART X, LINE 2: THE AU FOUNDATION AND THE REAL ESTATE FOUNDATION HAVE RECEIVED LETTERS FROM THE INTERNAL REVENUE SERVICE RECOGNIZING THE AU FOUNDATION AND THE REAL ESTATE FOUNDATION AS TAX-EXEMPT ORGANIZATIONS UNDER SECTION 501(C)(3) OF THE CODE. HOWEVER CERTAIN TYPES OF INCOME MAY BE SUBJECT TO TAX FROM UNRELATED BUSINESS INCOME AS DEFINED BY THE TAX CODE. THE AU FOUNDATION AND THE REAL ESTATE FOUNDATION HAVE DETERMINED THAT NO TAX IS DUE FOR EITHER THE 2020 OR 2019 YEAR. ACCORDINGLY, NO PROVISION FOR INCOME TAXES HAS BEEN MADE IN THE ACCOMPANYING CONSOLIDATED FINANCIAL STATEMENTS. THE AU FOUNDATION AND THE REAL ESTATE FOUNDATION FOLLOW THE ACCOUNTING GUIDANCE FOR UNCERTAINTY IN INCOME TAXES USING THE PROVISIONS OF FASB ACCOUNTING STANDARDS CODIFICATION (ASC) 740, INCOME TAXES. AS OF SEPTEMBER 30, 2020 AND 2019, THE AU FOUNDATION AND THE REAL ESTATE FOUNDATION HAVE NO UNCERTAIN TAX POSITIONS THAT QUALIFY FOR RECOGNITION OR DISCLOSURE IN THE CONSOLIDATED FINANCIAL STATEMENTS AND NO INTEREST AND PENALTIES RELATED TO INCOME TAXES. PART XI, LINE 2D - OTHER ADJUSTMENTS: NET REVENUE FOR AU REAL ESTATE FOUNDATION REPORTED ON SEPARATE RETURN 554,074. CHANGE IN VALUE OF SPLIT-INTEREST AGREEMENTS 528,233. INCOME/EXPENSE RECLASSIFICATION -149. PART XII, LINE 2D - OTHER ADJUSTMENTS: NET EXPENSES FOR AU REAL ESTATE FOUNDATION REPORTED ON SEPARATE RETURN 1,106,649. INCOME/EXPENSE RECLASSIFICATION -149. 1 EUROPE 0 1 FUNDRAISING 3208 0 1 0 0 0 1 3208 0 3208 0 0 0 0 0 0 PART III ACCOUNTING METHOD: 1 AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 11858300 ACADEMIC SUPPORT AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 2509218 RESEARCH SUPPORT AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 2514690 OUTREACH SERVICE AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 444436 NONACADEMIC SUPPORT AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 5120491 FACULTY SUPPORT AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 456384 STUDENT SERVICES AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 40220 INTERCOLLEGIATE ATHLETICS AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 231374 LIBRARY AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 3852 INSTITUTIONAL ADMINISTRATION AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 11435251 CAPITAL SUPPORT AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 11692629 STUDENT FINANCIAL AID AUBURN UNIVERSITY 107 SAMFORD HALL AUBURN AL 36849 630000724 115 1171923 OTHER PROGRAM SUPPORT AUBURN ALUMNI ASSOCIATION 317 S COLLEGE STREET AUBURN AL 36849 630439459 501(C)(3) 55683 ALUMNI RELATIONS AUBURN UNIVERSITY REAL ESTATE FOUNDATION INC 317 S COLLEGE STREET AUBURN AL 36849 562535892 501(C)(3) 132000 CAPITAL SUPPORT TIGERS UNLIMITED FOUNDATION 392 S DONAHUE DR AUBURN AL 36849 364538203 501(C)(3) 15177 INTERCOLLEGIATE ATHLETICS 4 0 PART I, LINE 2: THE GRANTEE, AUBURN UNIVERSITY (AU), IS A SECTION 115 ENTITY. AS A LAND-GRANT INSTITUTION OF HIGHER EDUCATION, ITS MAJOR SOURCE OF FUNDS ARE FEDERAL AND STATE APPROPRIATIONS. ITS DISBURSEMENTS ARE GOVERNED BY FEDERAL LAW AND THE STATE OF ALABAMA LAW. ITS TRANSACTIONS ARE SUBJECT TO PUBLIC DISCLOSURE. GRANTS DESIGNATED FOR A SPECIFIC PURPOSE ARE CREDITED TO A FUND ESTABLISHED SPECIFICALLY FOR THAT PURPOSE. AU'S OFFICE OF PROCUREMENT AND PAYMENT SERVICES ENSURES COMPLIANCE WITH RESTRICTIONS SUBJECT TO ANY APPLICABLE LAWS. SCHEDULE I, PART II, LINE 2: THE GRANTEE, AUBURN ALUMNI ASSOCIATION (AAA), IS A SECTION 501(C)(3) ENTITY. ITS PRIMARY PURPOSE IS THE CREATION, NURTURING AND STRENGTHENING OF THE TIES BETWEEN AU AND ITS ALUMNI AND FRIENDS THROUGH THE SPONSORSHIP OF PROGRAMS TO ENCOURAGE IDENTIFICATION WITH AND ALLEGIANCE TO THE INTEREST IN AU'S SUCCESS. THE MANAGEMENT OF AAA IS RESPONSIBLE FOR THE EXPENDITURES OF AAA AND REPORTS TO AN ACTIVE BOARD OF DIRECTORS. SCHEDULE I, PART II, LINE 2: THE GRANTEE, AUBURN UNIVERSITY REAL ESTATE FOUNDATION, INC (AUREF) IS A SECTION 501(C)(3) ENTITY. ITS PRIMARY PURPOSE IS TO SUPPORT AUBURN UNIVERSITY FOUNDATION (AUF) WHICH IS THE SOLE MEMBER OF THE AUREF. AS THE CONTROLLING ENTITY, AUF HAS THE AUTHORITY TO REVIEW AUREF'S FINANCIAL RECORDS. EACH ENTITY HAS AN ACTIVE BOARD OF DIRECTORS TO WHICH MANAGEMENT IS RESPONSIBLE. SCHEDULE I, PART II, LINE 2 THE GRANTEE, TIGERS UNLIMITED FOUNDATION (TUF), IS A SECTION 501(C)(3) ENTITY. ITS PRIMARY PURPOSE IS THE SUPPORT OF AU'S INTERCOLLEGIATE ATHLETICS. TUF'S MANAGEMENT IS RESPONSIBLE FOR ITS EXPENDITURES AND REPORTS TO AN ACTIVE BOARD OF DIRECTORS. X 121 8486436 FMV X 2 35000 APPRAISAL X LIVESTOCK 1 300000 APPRAISAL X INSURANCE 36 84740 COST 0 1 1 PART I, LINE 32B: IN ADDITION TO GENERAL OPERATION SERVICES, AUBURN UNIVERSITY EMPLOYEES PERFORMED FUND RAISING SERVICES SUCH AS SOLICITING, PROCESSING AND DISPOSING OF NONCASH CONTRIBUTIONS SINCE THE AU FOUNDATION HAS NO EMPLOYEES. FORM 990, PART VI, SECTION B, LINE 11B THE RETURN WAS REVIEWED BY THE AUDIT COMMITTEE AND RECOMMENDED TO THE FULL BOARD OF DIRECTORS FOR A REVIEW PERIOD PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C A "CONFLICT OF INTEREST AND SELF-DEALING STATEMENT" WAS PRESENTED TO ALL NEW MEMBERS AND ANNUALLY TO RETURNING BOARD MEMBERS BY POLICY. THE STATEMENT INCLUDED THE POLICY AND AN AFFIRMATION SECTION THAT DOCUMENTED ANY POTENTIAL CONFLICT AND WAS SIGNED BY EACH BOARD MEMBER. THIS SIGNED STATEMENT WAS COLLECTED BY THE BOARD SECRETARY AND THE RESULTS WERE REPORTED TO THE CHAIR OF THE BOARD FOR ANY NECESSARY FOLLOW-UP. FORM 990, PART VI, SECTION C, LINE 19 THE FOUNDATION MAKES THE FOLLOWING GOVERNING DOCUMENTS AVAILABLE ON ITS WEBSITE AT WWW.AUBURNUNIVERSITYFOUNDATION.ORG: FORM 1023, FORM 990, AND DETERMINATION LETTER. THE AUDITED FINANCIAL STATEMENTS WERE INCLUDED IN AUBURN UNIVERSITY'S AUDITED FINANCIAL STATEMENTS WHICH ARE PUBLIC DOCUMENTS. THE FOUNDATION'S AUDITED FINANCIAL STATEMENTS ARE AVAILABLE UPON WRITTEN REQUEST TO THE FOUNDATION'S SECRETARY. FORM 990, PART XI, LINE 9: CHANGE IN VALUE OF SPLIT-INTEREST AGREEMENTS 528,233. FORM 990, PART XII, LINE 2C: PROCESS HAS NOT CHANGED FROM PRIOR YEAR. AUBURN UNIVERSITY REAL ESTATE FOUNDATION INC 317 S COLLEGE STREET AUBURN AL 36849 562535892 SUPPORT AUBURN UNIVERSITY FOUNDATION AL 501(C)(3) 170(B)(1)(A) (VI) AUBURN UNIVERSITY FOUNDATION 0 HERBERT C RYDING PHYSICS FELLOWSHIP 317 S COLLEGE STREET AUBURN AL 36849 636019732 PHYSICS FELLOWSHIP AL AUBURN UNIVERSITY FOUNDATION T 2776 55318 1.00000 0 0 1 1 0 0 0 0 0 0 0 0 1 1 1 1 0 1 0 0 AUBURN UNIVERSITY REAL ESTATE FOUNDATION INC B 132000 COST