2021-01-24T16:27:25-06:00 2020-06-30 381357951 PLANTE & MORAN PLLC 8181 E TUFTS AVE SUITE 600 DENVER CO 80237 990 2019-07-01 840509064 COLORADO SCHOOL OF MINES FOUNDATION COLO 3032733143 PO BOX 4005 GOLDEN CO 80401 STEVE KREIDLER VP, FINANCE/CFO 3032733143 2021-01-15 1 DORI J EGGETT P00645252 3037409400 2021-01-15 2019 2022-09-23 18:48:47Z STEVE KREIDLER PO BOX 4005 GOLDEN CO 80401 175772704 0 X N/A X 1951 CO TO PROVIDE FINANCIAL RESOURCE DEVELOPMENT AND SUPPORT TO THE COLORADO SCHOOL OF MINES. 10 10 71 296 80917 -417254 21635704 60108602 2311233 3075256 7024384 6239231 -1980910 763285 28990411 70186374 27432170 26976081 0 0 5726521 6060091 0 0 6017449 3236814 2780546 36395505 35816718 -7405094 34369656 360742945 387126774 47193179 41499146 313549766 345627628 X TO SUPPORT THE UNIVERSITY, ITS ACADEMIC PROGRAMS, AND ITS STUDENTS, AND TO FOSTER ALUMNI RELATIONS. SEE SCHEDULE O. 0 0 27091711 26976081 3075256 PROVIDE FINANCIAL SUPPORT TO THE COLORADO SCHOOL OF MINESAND ITS VARIOUS DEPARTMENTS. 27091711 1 1 0 1 0 0 0 0 0 1 1 1 0 1 1 1 1 0 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 1 29 0 1 71 1 1 1 0 0 0 0 0 0 0 0 0 0 0 X 10 10 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 AK CA FL MD MA MI MN NH NJ NY OH PA SC TN UT WA WV GA WI ME ND DC X STEVE KREIDLER CO CSMF 3032733143 PO BOX 4005 GOLDEN CO 80401 BRIAN WINKELBAUER PRESIDENT/CEO 40.00 X 351363 0 36413 DOUG MAYO VP, ADVANCEMENT 40.00 X 205639 0 28494 STEVE KREIDLER VP, FINANCE & CFO 40.00 1.00 X 204484 0 14045 LINDA LANDRUM RETIRED 73119 EVP FINANCE & ADMINISTRATION 40.00 X 178601 0 18152 RICHARD GRAW SR. DIRECTOR, LEADERSHIP GIVING 40.00 X 134907 0 24731 MARIANNE BARKER ASSISTANT VP, GIFT PLANNING 40.00 X 141556 0 15245 DEAN LAATT ASSOCIATE VP, DEVELOPMENT 40.00 X 136295 0 14186 REBECCA LEEWAYE AVP, FINANCE & TREASURER 40.00 1.00 X 123973 0 24104 MICHAEL OBER SENIOR INFORMATION OFFICER 40.00 X 128184 0 19186 GERALD W GRANDEY CHAIRMAN 1.00 X X 0 0 0 CHARLES E SHULTZ VICE CHAIR 1.00 X X 0 0 0 STEVEN R ENGER AT LARGE 1.00 X 0 0 0 BRUCE E GREWCOCK AT LARGE 1.00 X 0 0 0 HOWARD E JANZEN AT LARGE 1.00 X 0 0 0 NANCY A KEEGAN AT LARGE 1.00 X 0 0 0 ANDREW P SWIGER AT LARGE 1.00 X 0 0 0 TERRANCE G TSCHATSCHULA AT LARGE 1.00 X 0 0 0 FRANCES M VALLEJO AT LARGE 1.00 X 0 0 0 WILLIAM M ZISCH ATLARGE 1.00 X 0 0 0 1605002 0 194556 13 0 1 0 MONTICELLO ASSOCIATES 1800 LARIMER ST SUITE 2100 DENVER CO 80202 INVESTMENT CONSULTING 250000 ELLUCIAN COMPANY LP 62578 COLLECTIONS CENTER DRIVE CHICAGO IL 60693 SOFTWARE SERVICES 181548 COLORADO LEGISLATIVE SERVICES 1410 GRANT ST D110 DENVER CO 80203 LOBBY SERVICES 115058 3 777546 59331056 1308731 60108602 DEVELOPMENT FEE 900099 1900000 1900000 CSM SERVICE FEE 900099 756780 756780 ALUMNI RELATIONS 900099 418476 418476 3075256 1789914 1789914 17719 17719 110035647 105586330 4449317 4449317 4449317 ADMINISTRATION FEES 523000 588802 588802 UNRELATED BUS. INCOME 523000 80917 80917 OTHER INCOME/LOSS 900099 75847 75847 745566 70186374 3739905 80917 6256950 26976081 26976081 649051 338022 311029 4470198 759814 3710384 216496 38385 178111 369912 64720 305192 354434 66980 287454 63645 58845 4800 15002 8436 6566 53250 53250 115630 115630 1182576 1182576 78430 78430 219105 219105 170027 29325 140702 318380 41253 277127 122785 890 121895 38909 38909 EVENTS 246125 246125 PROFESSIONAL DEV. 82851 19383 63468 PREMIUMS 25424 25424 RESEARCH MATERIAL 19689 17 19672 28718 6753 21965 35816718 27091711 2707558 6017449 1796496 9924182 4177966 4563372 17075000 44783000 141964 116930 1741754 50000 1741754 240560006 228435237 63234262 64261287 1797521 1703406 31909730 31597606 360742945 387126774 5831905 2430598 41361274 39068548 47193179 41499146 X 29098634 27725214 284451132 317902414 313549766 345627628 360742945 387126774 X 34369656 -1986302 -305492 X 0 1 X 1 0 X 14533653 15519233 15489315 21635704 60108602 127286507 14533653 15519233 15489315 21635704 60108602 127286507 31136360 96150147 1637168 1476534 1950944 2231487 1807633 9103766 674333 513570 503337 647857 664649 3003746 139394019 11739994 0.68980 0.85550 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2015 AMOUNT: $ 147,155. 2016 AMOUNT: $ 37,362. 2017 AMOUNT: $ 36,933. 2018 AMOUNT: $ 66,870. 2019 AMOUNT: $ 75,847. ADMINISTRATION FEES - 2015 AMOUNT: $ 527,178. 2016 AMOUNT: $ 476,208. 2017 AMOUNT: $ 466,404. 2018 AMOUNT: $ 580,987. 2019 AMOUNT: $ 588,802. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 115630 115630 28501060 28616690 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 268229 113351 114485 115630 611695 250000 250000 250000 250000 1000000 1500000 245261227 10665023 2401692 15424708 242903234 251722534 7455202 683704 14600213 245261227 239819147 4355213 18580476 11032302 251722534 205966741 5539996 35685884 7373474 239819147 227854251 2495892 -10653236 13730166 205966741 0.14050 0.72660 0.13290 1 0 1741754 1741754 1741754 PARTNERSHIPS INVESTMENTS 64261287 F 64261287 TRUST CONTRIBUTIONS RECEIVABLE 3488063 SPLIT INTEREST AGREEMENTS 16395508 INTEREST IN ENDOWMENT 11286526 INTEREST IN LONG-TERM TRUSTS 186198 PMC NET ASSETS 65113 OTHER ASSETS 285 INVESTMENT IN COLORADO SCHOOL OF MINES TECHNOLOGY 84725 CASH HELD ON BEHALF OF THIRD PARTIES 90000 TRAVEL PROGRAM 1188 31597606 SPLIT INTEREST OBLIGATIONS 3245767 GIFT ANNUITY OBLIGATIONS 3396057 ASSETS HELD IN TRUST 32336724 REFUNDABLE ADVANCES 90000 39068548 X 67135044 -1986302 122098 -1864204 68999248 1187126 1187126 70186374 35057182 427590 427590 34629592 1187126 1187126 35816718 PART V, LINE 4: SUPPORT FOR THE BENEFIT OF COLORADO SCHOOL OF MINES. PART X, LINE 2: THE FOUNDATION IS A NOT-FOR-PROFIT CORPORATION AND IS EXEMPT FROM TAX UNDER THE PROVISIONS OF INTERNAL REVENUE CODE SECTION 501(C)(3). ACCOUNTING PRINCIPLES GENERALLY ACCEPTED IN THE UNITED STATES OF AMERICA REQUIRE MANAGEMENT TO EVALUATE TAX POSITIONS TAKEN BY THE FOUNDATION AND RECOGNIZE A TAX LIABILITY IF THE FOUNDATION HAS TAKEN AN UNCERTAIN POSITION THAT MORE LIKELY THAN NOT WOULD NOT BE SUSTAINED UPON EXAMINATION BY THE IRS OR OTHER APPLICABLE TAXING AUTHORITIES. MANAGEMENT HAS ANALYZED THE TAX POSITIONS TAKEN BY THE FOUNDATION AND HAS CONCLUDED THAT, AS OF JUNE 30, 2020 AND 2019, THERE ARE NO UNCERTAIN POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OF A LIABILITY OR DISCLOSURE IN THE FINANCIAL STATEMENTS. THE FOUNDATION IS SUBJECT TO ROUTINE AUDITS BY TAXING JURISDICTIONS; HOWEVER, THERE ARE CURRENTLY NO AUDITS FOR ANY TAX PERIODS IN PROGRESS. PART XI, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN NET PRESENT VALUE OF SPLIT INTEREST AGREEMENTS 206,489. CHANGE IN INTEREST IN NET ASSETS OF PROPERTY MANAGEMENT CORP. -3,474. UNRELATED BUSINESS GAIN ON PASS-THROUGH ENTITIES -80,917. PART XII, LINE 2D - OTHER ADJUSTMENTS: UNCOLLECTIBLE PLEDGES 427,590. CENTRAL AMERICA/CARIBBEAN INVESTMENTS 18075640 0 0 0 0 0 0 18075640 0 18075640 1 0 0 1 1 0 PART III ACCOUNTING METHOD: 1 COLORADO SCHOOL OF MINES 1500 ILLINOIS STREET GOLDEN CO 80401 846000551 STATE OF CO 26976081 GENERAL 1 0 PART I, LINE 2: ALL GRANTS ARE MADE TO COLORADO SCHOOL OF MINES AND ITS VARIOUS DEPARTMENTS. X X X X 0 0 0 0 0 0 0 1 0 BRIAN WINKELBAUER PRESIDENT/CEO 326363 0 25000 0 0 0 20067 0 16346 0 387776 0 0 0 DOUG MAYO VP, ADVANCEMENT 195639 0 10000 0 0 0 12148 0 16346 0 234133 0 0 0 STEVE KREIDLER VP, FINANCE & CFO 196984 0 7500 0 0 0 3675 0 10370 0 218529 0 0 0 LINDA LANDRUM RETIRED 73119 EVP FINANCE & ADMINISTRATION 178601 0 0 0 0 0 10911 0 7241 0 196753 0 0 0 RICHARD GRAW SR. DIRECTOR, LEADERSHIP GIVING 132907 0 2000 0 0 0 8385 0 16346 0 159638 0 0 0 MARIANNE BARKER ASSISTANT VP, GIFT PLANNING 137556 0 4000 0 0 0 8565 0 6680 0 156801 0 0 0 DEAN LAATT ASSOCIATE VP, DEVELOPMENT 132295 0 4000 0 0 0 8076 0 6110 0 150481 0 0 0 PART I, LINE 7 EMPLOYEE BONUSES DESCRIBED IN SCHEDULE J, PART II (OTHER THAN THE CEO BONUS) ARE DETERMINED BY THE SENIOR LEADERSHIP TEAM OF THE FOUNDATION USING EMPLOYEE ANNUAL EVALUATIONS, WHICH ARE COMPLETED IN JULY OF EACH YEAR. USING BASE SALARIES AND A SCORING SYSTEM BUILT INTO THE ANNUAL EVALUATION, THE SENIOR LEADERSHIP TEAM ASSIGNS BONUSES BASED ON THOSE SCORES. HIGHER SCORES WARRANT A LARGER BONUS RATE PER THE BASE SALARY AND SCORES BELOW A SET LEVEL DO NOT WARRANT ANY BONUS. THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES DETERMINE THE BONUS FOR THE CEO BASED ON SURVEY WORK CONDUCTED BY THE CHAIRMAN AND HR CHAIRMAN. X 40 1308731 AVERAGE HIGH/LOW 0 1 0 FORM 990, PART III, LINE 1: THE FOUNDATION IS OPERATED INDEPENDENTLY OF THE UNIVERSITY FOR THE EXCLUSIVE PURPOSE OF SUPPORTING THE UNIVERSITY, ITS ACADEMIC PROGRAMS, AND ITS STUDENTS, AND FOSTERING ALUMNI RELATIONS. THE FOUNDATION EXISTS TO PROVIDE OPPORTUNITIES FOR STUDENTS AND A MARGIN OF INSTITUTIONAL EXCELLENCE UNAVAILABLE WITH STATE FUNDS ALONE. THE FOUNDATION RAISES AND RECEIVES CHARITABLE CONTRIBUTIONS FROM FRIENDS AND ALUMNI OF THE UNIVERSITY AND FROM THE GENERAL PUBLIC, MANAGES AND INVESTS THE CONTRIBUTED PROPERTY AND FUNDS, AND MAKES DISTRIBUTIONS TO THE UNIVERSITY IN SUPPORT OF THE UNIVERSITY'S MISSION AND PRIORITIES. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS REVIEWED IN DETAIL BY THE VP OF FINANCE/CFO AND ASST. VP OF FINANCE/ASST. TREASURER AND IS PROVIDED TO ALL BOARD MEMBERS BEFORE THE RETURN IS FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION REQUIRES AN ANNUAL AFFIRMATION FROM MEMBERS OF THE EXECUTIVE COMMITTEE, INVESTMENT COMMITTEE, AUDIT COMMITTEE, GIFT ACCEPTANCE COMMITTEE AND TO APPOINTED OFFICERS OF THE FOUNDATION. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMMITTEE OF THE BOARD OF GOVERNORS ACTS AS THE FOUNDATION'S COMPENSATION COMMITTEE AND USES COMPARABILITY DATA, INCLUDING FORM 990 OF OTHER ORGANIZATIONS, COMPENSATION SURVEYS AND OTHER MARKET REVIEWS, TO DETERMINE AND APPROVE COMPENSATION FOR SENIOR MANAGEMENT POSITIONS. THE DELIBERATION AND DECISION IS DOCUMENTED BY THE HUMAN RESOURCES DIRECTOR. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. FINANCIAL STATEMENT ARE POSTED ON THE FOUNDATION WEBSITE. FORM 990, PART XI, LINE 9: CHANGE IN NET PRESENT VALUE OF SPLIT INTEREST AGREEMENTS 206,489. CHANGE IN NET ASSETS OF PROPERTY MANAGEMENT CORP -3,474. UNRELATED BUSINESS LOSS ON PASS-THROUGH ENTITIES -80,917. UNCOLLECTIBLE PLEDGES -427,590. CSMF PROPERTY MANAGEMENT CORP 1812 ILLINOIS STREET GOLDEN CO 80401 841266930 RE GIFTS CO 501(C)(3) LINE 12A, I N/A 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0