2021-05-13T11:16:59-05:00 2020-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2019-07-01 250969449 CARNEGIE MELLON UNIVERSITY CARN 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 ANGELA BLANTON VP FOR FINANCE & CFO 4122681358 2021-05-03 1 SUSAN M KIRSCH P00341397 4122613644 2019 2022-09-23 18:48:47Z FARNAM JAHANIAN 5000 FORBES AVENUE PITTSBURGH PA 15213 3836646684 0 X WWW.CMU.EDU X 1900 PA HIGHER EDUCATION AND RESEARCH. 46 41 15291 44 2104166 0 551949360 615553392 865464328 875395346 212301645 347888541 13647979 11294282 1643363312 1850131561 198602320 219013954 0 0 817571321 858436760 833648 657729 33432044 376865279 360380521 1393872568 1438488964 249490744 411642597 4402305882 4726328922 1004249252 1134442763 3398056630 3591886159 X TO CREATE A TRANSFORMATIVE EDUCATIONAL EXPERIENCE FOR STUDENTS FOCUSED ON DEEP DISCIPLINARY KNOWLEDGE; PROBLEM SOLVING; LEADERSHIP, COMMUNICATION, AND INTERPERSONAL SKILLS; AND PERSONAL HEALTH AND WELL-BEING.TO CULTIVATE A TRANSFORMATIVE UNIVERSITY COMMUNITY COMMITTED TO (A) ATTRACTING AND RETAINING DIVERSE, WORLD-CLASS TALENT; (B) CREATING A COLLABORATIVE ENVIRONMENT OPEN TO THE FREE EXCHANGE OF IDEAS, WHERE RESEARCH, CREATIVITY, INNOVATION, AND ENTREPRENEURSHIP CAN FLOURISH; AND (C) ENSURING INDIVIDUALS CAN ACHIEVE THEIR FULL POTENTIAL.TO IMPACT SOCIETY IN A TRANSFORMATIVE WAY - REGIONALLY, NATIONALLY, AND GLOBALLY - BY ENGAGING WITH PARTNERS OUTSIDE THE TRADITIONAL BORDERS OF THE UNIVERSITY CAMPUS. 0 0 737793689 185094620 809500958 INSTRUCTION:CARNEGIE MELLON IS A HYBRID OF A TECHNICAL INSTITUTE, FINE-ARTS CONSERVATORY AND TRADITIONAL RESEARCH UNIVERSITY, HAVING EVOLVED IN RESPONSE TO EMERGING SOCIAL NEEDS AND INTELLECTUAL DEVELOPMENT OF THE PAST CENTURY. UNITING TECHNOLOGY AND ARTS, FUSING THE PRACTICAL WITH THE IMAGINATIVE, MAINTAINING ITS EDUCATIONAL EMPHASIS ON DEVELOPING SKILLS TO SOLVE PROBLEMS.INCLUDES 7 COLLEGES AND SCHOOLS OFFERING DEGREE PROGRAMS AND MORE THAN 100 MAJORS AND MINORS TO APPROXIMATELY 14,800 UNDERGRADUATES, GRADUATES AND DOCTORAL STUDENTS. INSTRUCTION INCLUDES ACADEMIC SUPPORT AND STUDENT SERVICES.CARNEGIE MELLON HAS ITS MAIN CAMPUS IN PITTSBURGH, SATELLITE CAMPUSES IN SILICON VALLEY AND DOHA, QATAR, AND DEGREE-GRANTING PROGRAMS IN COORDINATION WITH GLOBAL PROGRAMS INCLUDING AUSTRALIA, JAPAN, PORTUGAL, RWANDA, SINGAPORE AND THAILAND.NATIONALLY AND GLOBALLY, CARNEGIE MELLON HAS BECOME A MAJOR VOICE OF CONNECTIVITY IN TECHNOLOGY, EXPANSION OF EDUCATIONAL OPPORTUNITY AND ECONOMIC DEVELOPMENT. 403961103 33919334 0 RESEARCH:CARNEGIE MELLON HOLDS A PROUD VISION OF ITSELF AS A DISTINCTIVE AND DIFFERENT KIND OF RESEARCH UNIVERSITY WHERE NATIONALLY RECOGNIZED PROGRAMS FROM ACROSS THE LEADING DISCIPLINES, FROM COMPUTING AND ENGINEERING TO FINE ARTS, INTERSECT. IT IS A DECENTRALIZED COMMUNITY OF SCIENTISTS AND INTELLECTUALS, ARTISTS AND POLICYMAKERS, BUSINESS EXPERTS AND POETS. THE DIVERSE AND DECENTRALIZED COMMUNITY THAT CHARACTERIZES CARNEGIE MELLON CULTURE RESTS ON A SET OF CORE UNDERPINNINGS AND A STRONG COMMITMENT TO REAL-WORLD PROBLEM SOLVING, INTERDISCIPLINARY COLLABORATION AND HARD WORK, COMBINED WITH JOIE DE VIVRE.EACH OF THESE REQUIRES CONNECTIONS AMONG ENGINEERING, SCIENCE, POLICY AND MANAGEMENT, AND THE ARTS. BASIC RESEARCH IS PERFORMED IN ALL 7 COLLEGES AND SCHOOLS AND THE SOFTWARE ENGINEERING INSTITUTE. CARNEGIE MELLON IS ALSO THE HOME OF NUMEROUS RESEARCH INSTITUTES AND CENTERS FOCUSING ON SOME OF THE WORLD'S GREATEST CHALLENGES.CARNEGIE MELLON'S RESEARCH-INTENSIVE ENVIRONMENT PROVIDES A RICH SETTING FOR THE UNIVERSITY'S EDUCATIONAL OFFERINGS AND ASPIRATIONS. THE SEARCH FOR NEW KNOWLEDGE AND A SPIRIT OF ONGOING CRITICAL INQUIRY ARE THE IDEALS THAT PERMEATE ITS APPROACH TO TEACHING AND ITS EXPECTATIONS FOR WHAT STUDENTS WILL ACHIEVE. 116149221 0 53358176 AUXILIARY SERVICES:SERVICES TO SUPPORT THE INSTRUCTION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. THESE SERVICES INCLUDE BUT ARE NOT LIMITED TO HOUSING, DINING SERVICES, PARKING, BOOKSTORE, PRINTING, TELECOMMUNICATIONS, AND OTHER SERVICES RELATED TO THE DELIVERY OF EDUCATION. 22818360 0 12536212 OTHER PROGRAM SERVICES:OTHER FEES AND MEMBERSHIPS, EXTERNAL SUPPORT AND SERVICES AND OTHER MISCELLANEOUS PROGRAM SERVICE REVENUE THAT SUPPORTS THE INSTRUCTION, RESEARCH, AND AUXILIARY FUNCTIONS OF THE UNIVERSITY. 22818360 0 12536212 1280722373 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 0 0 1 20691 0 1 15291 1 1 1 1 AS QA RW 0 0 0 1 1 0 0 0 0 1 0 X 46 41 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 PA X CARRIE NELSON 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 X EDWARD GREFENSTETTE VOTING TRUSTEE 1.00 50.00 X 0 1298587 1016454 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 50.00 1.00 X 938922 0 544339 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 50.00 3.00 X X 1314892 15000 72640 RODNEY MCCLENDON V.P. FOR OPERATIONS (EXITED 6/20) 50.00 0.00 X 483629 0 758049 MICHAEL TRICK DEAN, QATAR CAMPUS 50.00 0.00 X 996441 0 64492 SCOTT MORY VP FOR UNIV ADV INT VP FOR MARKET & COMM(AS OF 6/20) 50.00 0.00 X 723124 0 179079 VIJAYAKUMAR BHAGAVATULA DIRECTOR, CMU-AFRICA 50.00 0.00 X 666060 0 52642 RAMAMOORTHI RAVI ZOLTNERS PROF. OF OPERAT. RESEARCH 50.00 0.00 X 671043 0 40453 ROBERT DAMMON DEAN, PROFESSOR OF FINANCE 50.00 0.00 X 660709 0 39897 JAMES H GARRETT PROVOST & CAO 50.00 0.50 X 659795 0 38432 PAUL D NIELSEN DIRECTOR, SEI 50.00 0.00 X 660670 0 28437 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 50.00 0.00 X 635559 0 39826 J MICHAEL MCQUADE V.P. FOR RESEARCH 50.00 0.00 X 592559 0 41379 MARY JO DIVELY VP/GENERAL COUNSEL 50.00 0.20 X 577316 0 43076 SUBRA SURESH FORMER OFFICER/FORMER TRUSTEE 0.00 0.00 X 552003 0 0 ANGELA BLANTON VP OF FINANCE & CFO 50.00 0.10 X 431544 0 34368 MARTIAL HEBERT PROF DEAN SCHOOL OF COMP. SCI. (ENTERED 8/19) 50.00 0.00 X 406854 0 54101 TOM MITCHELL FOUNDERS UNIV. PROFESSOR (EXITED 8/19) 50.00 0.00 X 403550 0 40894 JONATHAN CAGAN PROFESSOR OF MECHANICAL ENGINEERING (EXITED 1/20) 50.00 0.00 X 309541 0 130924 PAMELA EAGER FORMER OFFICER/SR. ASSOC. FOR DEV. 50.00 0.50 X 344606 0 79747 DARYL WEINERT CHIEF OF STAFF V.P. FOR STRAT. INIT. 50.00 0.00 X 366041 0 56230 LAURIE WEINGART FORMER OFFICER/PROFESSOR 50.00 0.00 X 360304 0 41125 JOHN LEHOCZKY FORMER OFFICER/PROFESSOR 50.00 0.25 X 340076 0 44751 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 50.00 0.00 X 325827 0 50504 KEY NUTTALL VP FOR MARKETING & COMMUNICATIONS (EXITED 6/20) 50.00 0.00 X 276686 0 89320 RANDAL E BRYANT EX-OFFICIO TRUSTEE/PROFESSOR 50.00 0.00 X 321115 0 42282 CATHY A LIGHT SEC OF THE CORP. & ADVISOR TO THE PRESIDENT 50.00 0.00 X 309548 0 47513 CARRIE NELSON ASSISTANT TREASURER 50.00 1.10 X 268157 0 26195 JOHN DOLAN TREASURER 50.00 0.00 X 221794 0 37048 STEVE KLOEHN FORMER OFFICER 0.00 0.00 X 245158 0 0 JAMES E ROHR CHAIRMAN/VOTING TRUSTEE 5.00 0.00 X X 0 15000 0 PAULA KAUFFMAN WAGNER VOTING TRUSTEE/ADJUNCT INSTRUCTOR 1.00 0.00 X 3000 0 0 EDWARD H FRANK VICE CHAIRMAN/VOTING TRUSTEE 4.00 0.00 X X 0 0 0 TOD S JOHNSON VICE CHAIRMAN/VOTING TRUSTEE 2.00 0.00 X X 0 0 0 JOEL P ADAMS VOTING TRUSTEE 5.00 0.00 X 0 0 0 LANE M BESS VOTING TRUSTEE 1.00 0.00 X 0 0 0 RONALD BIANCHINI JR VOTING TRUSTEE 1.00 0.00 X 0 0 0 KEITH BLOCK VOTING TRUSTEE 1.25 0.25 X 0 0 0 FRANK BRUNCKHORST VOTING TRUSTEE 2.00 0.00 X 0 0 0 ERIC COOPER VOTING TRUSTEE 0.10 0.00 X 0 0 0 DAVID COULTER VOTING TRUSTEE 3.75 0.00 X 0 0 0 RUSSELL CROCKETT VOTING TRUSTEE 3.00 3.00 X 0 0 0 JEANNE CUNICELLI VOTING TRUSTEE 1.15 0.00 X 0 0 0 ERROLL B DAVIS JR VOTING TRUSTEE 1.00 0.00 X 0 0 0 SHRINIVAS V DEMPO VOTING TRUSTEE 0.36 0.36 X 0 0 0 GLEN DE VRIES VOTING TRUSTEE 1.00 0.00 X 0 0 0 LINDA A DICKERSON VOTING TRUSTEE 2.00 0.00 X 0 0 0 ALEX DICLAUDIO EX-OFFICIO TRUSTEE 1.00 0.00 X 0 0 0 FRANCISCO B D'SOUZA VOTING TRUSTEE 3.00 0.00 X 0 0 0 HOWARD L ELLIN VOTING TRUSTEE 5.00 5.00 X 0 0 0 YOSHIAKI FUJIMORI VOTING TRUSTEE 0.40 0.00 X 0 0 0 ERIC GILER VOTING TRUSTEE 1.50 0.00 X 0 0 0 IRA J GUMBERG VOTING TRUSTEE 1.00 0.00 X 0 0 0 JEFFREY HOUSENBOLD VOTING TRUSTEE 2.00 0.00 X 0 0 0 TORRENCE M HUNT JR VOTING TRUSTEE 1.50 0.00 X 0 0 0 LARRY E JENNINGS JR VOTING TRUSTEE 5.00 0.00 X 0 0 0 THERESA KAIL-SMITH EX-OFFICIO TRUSTEE (ENTERED 1/20) 0.00 0.00 X 0 0 0 BRUCE KRAUS EX-OFFICIO TRUSTEE (EXITED 12/19) 1.00 0.00 X 0 0 0 BRYON KRUG EX-OFFICIO TRUSTEE 2.00 0.00 X 0 0 0 RAYMOND J LANE VOTING TRUSTEE 1.20 0.50 X 0 0 0 BRUCE M MCWILLIAMS VOTING TRUSTEE 1.00 0.00 X 0 0 0 ANNE M MOLLOY VOTING TRUSTEE 2.80 0.00 X 0 0 0 MAYOR WILLIAM PEDUTO EX-OFFICIO TRUSTEE 0.50 0.00 X 0 0 0 DAVID L PORGES VOTING TRUSTEE 3.00 0.00 X 0 0 0 JONATHAN M ROTHBERG VOTING TRUSTEE 0.50 0.00 X 0 0 0 AJIT SHETTY VOTING TRUSTEE 2.00 0.00 X 0 0 0 J LEA HILLMAN SIMONDS VOTING TRUSTEE 1.00 0.00 X 0 0 0 MANOJ P SINGH VOTING TRUSTEE 3.00 0.00 X 0 0 0 LUKE SKURMAN VOTING TRUSTEE 2.00 0.00 X 0 0 0 LIP-BU TAN VOTING TRUSTEE 5.00 0.00 X 0 0 0 DAVID A TEPPER VOTING TRUSTEE 4.00 4.00 X 0 0 0 THOMAS TULL VOTING TRUSTEE 2.00 0.00 X 0 0 0 MARY ANN ULISHNEY VOTING TRUSTEE 1.40 0.00 X 0 0 0 MICHAEL ZAMAGIAS VOTING TRUSTEE 1.00 1.00 X 0 0 0 15066523 1328587 3734197 1764 1 1 0 MOSITES CONSTRUCTION 4839 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1885377148 58617910 142695818 18523816 62487829 4875484 2000803747 1718307698 62328699 185715245 17218702 59313091 4442701 1885377148 1304489016 294312444 187094434 16158853 48286429 3142904 1718307698 1336871754 44843541 -17973647 14655109 42662204 1935320 1304489015 0.20520 0.44950 0.34530 0 1 1 55456232 55456232 1514197052 701030940 813166112 35394952 20998980 14395972 320525133 226906945 93618188 218373165 72164282 146208883 1122845387 REAL ESTATE 110998172 F VENTURE CAP. & PRIV. EQ 677760444 F AGGRESSIVE, DISTRESSED & ARBITRAGE FIXED INCOME 27753954 F NATURAL RESOURCES 119226531 F HEDGE FUNDS 159230045 F LOCAL REGION 4835944 F EMERGING MARKET 180573178 F 1280378268 CONTRACT RETENTIONS 3937897 GATE STUDENT LOAN PROGRAM 243845 ASSET RETIREMENT OBLIGATION-FIN 47 5204312 FEDERAL LOAN PROGRAMS & STUDENT DEPOSITS 11021416 PRESENT VALUE OF ANNUITIES DUE 15869964 SWAP AGREEMENTS/CONTRACTS 39085640 FEDERAL, STATE, AND LOCAL TAXES PAYABLE 233920 MISC. OTHER LIABILITIES 134574 PV ANNUITIES FOR PROPERTY ACQS 1343799 RIGHT OF USE LIABILITY 77885117 154960484 X 1488070027 -202578299 14930170 5216036 -182432093 1670502120 179629441 179629441 1850131561 1293573851 14930170 19619337 34549507 1259024344 179464620 179464620 1438488964 PART III, LINE 4: CARNEGIE MELLON UNIVERSITY MAINTAINS VARIOUS COLLECTIONS INCLUDING COLLECTIONS OF ART, HISTORIC ARTIFACTS, AND OTHER SIMILAR ASSETS TO SUPPORT THE EDUCATION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. PART V, LINE 4: THE CARNEGIE MELLON ENDOWMENT IS A COLLECTION OF INDIVIDUAL FUNDS PRIMARILY ESTABLISHED BY DONORS AND MANAGED BY THE UNIVERSITY AS A POOLED SET OF ASSETS. IN ACCORDANCE WITH THE PENNSYLVANIA ACT 141 AND DONOR INTENT, THE UNIVERSITY SPENDS A PREDETERMINED PORTION OF THE ENDOWMENT INCOME EACH YEAR ON FACULTY SUPPORT, STUDENT SUPPORT, AND GENERAL UNIVERSITY SUPPORT. PART X, LINE 2: CARNEGIE MELLON UNIVERSITY IS A NONPROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE "CODE") AND IS GENERALLY EXEMPT FROM INCOME TAXES ON RELATED INCOME PURSUANT TO SECTION 501(A) OF THE CODE. THE UNIVERSITY ACCOUNTS FOR UNCERTAINTIES IN INCOME TAXES IN ACCORDANCE WITH AUTHORITATIVE GUIDANCE, WHICH PRESCRIBES A RECOGNITION THRESHOLD OF MORE-LIKELY-THAN-NOT TO BE SUSTAINED UPON EXAMINATION BY THE APPROPRIATE TAXING AUTHORITY. MEASUREMENT OF THE TAX UNCERTAINTY OCCURS IF THE RECOGNITION THRESHOLD HAS BEEN MET. MANAGEMENT DETERMINED THERE WERE NO TAX UNCERTAINTIES THAT MET THE RECOGNITION THRESHOLD AT JUNE 30, 2020 AND 2019. THE UNIVERSITY'S FEDERAL EXEMPT ORGANIZATION BUSINESS INCOME TAX RETURNS REMAIN SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE FOR THE YEARS SUBSEQUENT TO JUNE 30, 2016. THE UNIVERSITY'S POLICY IS TO RECOGNIZE INTEREST RELATED TO UNRECOGNIZED TAX BENEFITS IN INTEREST EXPENSE AND PENALTIES IN OPERATING EXPENSES. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 2,272,860. SUBSIDIARY REVENUE 17,520,491. RENTAL EXPENSE 552,186. CHANGE IN SWAP VALUE NET OF INTEREST EXP -12,014,158. TRANSLATION ADJUSTMENT & OTHER -165,266. LOSSES FROM ADJUSTMENTS OF PLEDGES RECEIVABLE -3,226,787. GAIN ON FORMER SUBSIDIARY 276,710. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 172,367,273. INVESTMENT MANAGER FEES 7,236,153. GAIN ON SALE OF ASSETS -27,365. NET LOSS FROM FUNDRAISING EVENTS -12,797. LAMME DISTRIBUTION 66,177. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 2,272,860. SUBSIDIARY EXPENSE 16,794,291. RENTAL EXPENSE 552,186. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 172,367,273. INVESTMENT MANAGER FEES 7,236,153. TRANSLATION ADJUSTMENT & OTHER 165,269. GAIN ON SALE OF ASSETS -27,365. GAIN ON FORMER SUBSIDIARY -276,710. PART XII: RECONCILIATION OF REVENUE PER AUDITED FINANCIAL STATEMENTS WITH REVENUE PER RETURN AND PART XIII - RECONCILIATION OF EXPENSES PER AUDITED FINANCIAL STATEMENTS WITH EXPENSES PER RETURN: LINE 1 OF EACH PART RESPECTIVELY CONSISTS OF CONSOLIDATED NUMBERS FROM THE AUDITED FINANCIAL STATEMENTS AND RECONCILES TO THE STAND-ALONE (SEPARATE BASIS) REVENUE AND EXPENSES AS REPORTED ON THE FORM 990, PART I, LINE 12. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE NON-DISCRIMINATORY POLICY AND STATEMENT OF ASSURANCE APPEARS ON PRINTED MATERIALS USED TO COMMUNICATE WITH PROSPECTIVE AND CURRENT STUDENTS AS WELL AS EMPLOYEES OF CARNEGIE MELLON UNIVERSITY. ADDITIONALLY, THE STATEMENT OF ASSURANCE CAN BE FOUND ON CMU'S WEBSITE. SCHEDULE E, PART I, LINE 6 MONETARY GRANTS WERE RECEIVED FROM FEDERAL AND STATE AGENCIES TO PROVIDE ASSISTANCE TO STUDENTS ATTENDING CARNEGIE MELLON UNIVERSITY. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 899104 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 7107008 SUB-SAHARAN AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 4708949 EAST ASIA AND THE PACIFIC 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 767595 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 306836 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 21730 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 21537 EAST ASIA AND THE PACIFIC 1 145 PROGRAM SERVICES EDUCATION 6018191 EUROPE (INCLUDING ICELAND & GREENLAND) 0 10 PROGRAM SERVICES EDUCATION 2538785 MIDDLE EAST AND NORTH AFRICA 1 373 PROGRAM SERVICES EDUCATION 54500358 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES EDUCATION 462876 RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES EDUCATION 29744 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 146328 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 228222 SUB-SAHARAN AFRICA 1 235 PROGRAM SERVICES EDUCATION 8449815 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PORTFOLIO INVESTMENTS 572627441 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PORTFOLIO INVESTMENTS 92722866 SUB-SAHARAN AFRICA 0 0 PORTFOLIO INVESTMENTS 18000447 EAST ASIA AND THE PACIFIC 0 0 PORTFOLIO INVESTMENTS 20144313 NORTH AMERICA 0 0 PORTFOLIO INVESTMENTS 6876241 1 145 2 618 3 763 19850950 776727436 796578386 EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACTS 399975 CASH; ELECTRONIC FUND TRANSFER N/A N/A MIDDLE EAST AND NORTH AFRICA SUBCONTRACTS 388063 CASH; ELECTRONIC FUND TRANSFER N/A N/A NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES SUBCONTRACTS 251249 CASH; ELECTRONIC FUND TRANSFER N/A N/A EAST ASIA AND THE PACIFIC SUBCONTRACTS 157448 CASH; ELECTRONIC FUND TRANSFER N/A N/A 16 4 STUDENT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 54 610147 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 285 6718945 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS SUB-SAHARAN AFRICA 388 4705805 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS EUROPE 39 487428 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 61 55587 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN 1 21730 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A 1 0 1 1 1 1 PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO STUDENTS AT ITS INTERNATIONAL LOCATIONS PURSUANT TO A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. THESE FUNDS ARE MONITORED BY THE OFFICE OF SPONSORED PROJECTS AND SPONSORED PROJECTS ACCOUNTING. 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EDUCATION/RESEARCH SUBCONTRACTS WAYNE STATE UNIVERSITY CASHIERS OFFICE PO BOX 02788 DETROIT MI 48202 383555142 501(C)(3) 18520 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WESLEYAN UNIVERSITY FINANCE/GRANTS ACCOUNTING 287 HIGH ST MIDDLETOWN CT 06459 060646959 501(C)(3) 43202 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WEST VIRGINIA UNIVERSITY RESEARCH CORP PO BOX 6002 MORGANTOWN WV 26506 550665758 501(C)(3) 55233 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WORCESTER POLYTECHNIC INSTITUTE 100 INSTITUTE RD WORCESTER MA 01609 042121659 501(C)(3) 55050 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS YOUTH FOR UNDERSTANDING USA INC 6856 EASTERN AVE NW SUITE 310 WASHINGTON DC 20012 020557010 501(C)(3) 15000 N/A N/A PROGRAM SERVICE 106 50 CMU SCHOLARSHIPS 7817 151962458 N/A N/A ENDOWED STUDENT SCHOLARSHIPS 2866 14518283 N/A N/A FEDERAL GRANT 716 2077676 N/A N/A EXTERNAL DONOR OR CORPORATE FUNDED SCHOLARSHIPS 308 2724981 N/A N/A PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO INDIVIDUALS AND ORGANIZATIONS IN THE U.S. BASED ON A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. FOR STUDENTS, SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. OTHER TYPES OF GRANTS AND ASSISTANCE MIGHT INCLUDE, FOR EXAMPLE, RECIPIENTS OF PRIZES AND AWARDS WHO HAVE MET THE SPECIFIC CRITERIA FOR THE PARTICULAR PRIZE OR AWARD TO BE SELECTED. IN THE CASE OF SCHOLARSHIPS AND FELLOWSHIPS, THE RECIPIENT IS OFTEN REQUIRED TO UTILIZE THE FUNDS IN FURTHERANCE OF THEIR EDUCATION AND RESEARCH AT CMU. GRANTS ARE ALSO MADE IN THE CONTEXT OF ACADEMIC OR RESEARCH PROGRAMS AND RECIPIENTS SPEND THEIR GRANT FUNDS UNDER THE SUPERVISION OF THE PROGRAM FOR THE USE OF THE FUNDS. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. FUNDS ARE SPENT UNDER THE SUPERVISION OF THE PRINCIPAL INVESTIGATORS AND ARE ACCOUNTABLE TO FEDERAL AND SPONSOR TERMS AND CONDITIONS. X X X X X X X 1 1 X X X X X X 1 1 0 0 0 0 0 1 0 EDWARD GREFENSTETTE VOTING TRUSTEE 0 540000 0 636000 0 122587 0 983638 0 32816 0 2315041 0 751687 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 584994 0 304322 0 49606 0 487941 0 56398 0 1483261 0 174019 0 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 968641 15000 200000 0 146251 0 22400 0 50240 0 1387532 15000 0 0 RODNEY MCCLENDON V.P. FOR OPERATIONS (EXITED 6/20) 463636 0 0 0 19993 0 746284 0 11765 0 1241678 0 0 0 MICHAEL TRICK DEAN, QATAR CAMPUS 422915 0 0 0 573526 0 22400 0 42092 0 1060933 0 0 0 SCOTT MORY VP FOR UNIV ADV INT VP FOR MARKET & COMM(AS OF 6/20) 532302 0 150000 0 40822 0 172400 0 6679 0 902203 0 0 0 VIJAYAKUMAR BHAGAVATULA DIRECTOR, CMU-AFRICA 315572 0 0 0 350488 0 22400 0 30242 0 718702 0 0 0 RAMAMOORTHI RAVI ZOLTNERS PROF. OF OPERAT. RESEARCH 354810 0 0 0 316233 0 27384 0 13069 0 711496 0 0 0 ROBERT DAMMON DEAN, PROFESSOR OF FINANCE 626558 0 0 0 34151 0 22400 0 17497 0 700606 0 0 0 JAMES H GARRETT PROVOST & CAO 607543 0 0 0 52252 0 22400 0 16032 0 698227 0 0 0 PAUL D NIELSEN DIRECTOR, SEI 581674 0 40000 0 38996 0 22400 0 6037 0 689107 0 0 0 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 589843 0 0 0 45716 0 27384 0 12442 0 675385 0 0 0 J MICHAEL MCQUADE V.P. FOR RESEARCH 521377 0 0 0 71182 0 22400 0 18979 0 633938 0 0 0 MARY JO DIVELY VP/GENERAL COUNSEL 528577 0 0 0 48739 0 22400 0 20676 0 620392 0 0 0 SUBRA SURESH FORMER OFFICER/FORMER TRUSTEE 0 0 0 0 552003 0 0 0 0 0 552003 0 552003 0 ANGELA BLANTON VP OF FINANCE & CFO 400409 0 0 0 31135 0 22400 0 11968 0 465912 0 0 0 MARTIAL HEBERT PROF DEAN SCHOOL OF COMP. SCI. (ENTERED 8/19) 389813 0 0 0 17041 0 27384 0 26717 0 460955 0 0 0 TOM MITCHELL FOUNDERS UNIV. PROFESSOR (EXITED 8/19) 377651 0 0 0 25899 0 27384 0 13510 0 444444 0 0 0 JONATHAN CAGAN PROFESSOR OF MECHANICAL ENGINEERING (EXITED 1/20) 297946 0 0 0 11595 0 23193 0 107731 0 440465 0 0 0 PAMELA EAGER FORMER OFFICER/SR. ASSOC. FOR DEV. 320176 0 5000 0 19430 0 22400 0 57347 0 424353 0 0 0 DARYL WEINERT CHIEF OF STAFF V.P. FOR STRAT. INIT. 331124 0 0 0 34917 0 22400 0 33830 0 422271 0 0 0 LAURIE WEINGART FORMER OFFICER/PROFESSOR 320607 0 0 0 39697 0 23695 0 17430 0 401429 0 0 0 JOHN LEHOCZKY FORMER OFFICER/PROFESSOR 290444 0 0 0 49632 0 23357 0 21394 0 384827 0 0 0 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 318857 0 0 0 6970 0 22400 0 28104 0 376331 0 0 0 KEY NUTTALL VP FOR MARKETING & COMMUNICATIONS (EXITED 6/20) 242584 0 0 0 34102 0 19500 0 69820 0 366006 0 0 0 RANDAL E BRYANT EX-OFFICIO TRUSTEE/PROFESSOR 316294 0 0 0 4821 0 26359 0 15923 0 363397 0 0 0 CATHY A LIGHT SEC OF THE CORP. & ADVISOR TO THE PRESIDENT 302232 0 0 0 7316 0 22400 0 25113 0 357061 0 0 0 CARRIE NELSON ASSISTANT TREASURER 263897 0 0 0 4260 0 21423 0 4772 0 294352 0 0 0 JOHN DOLAN TREASURER 221583 0 0 0 211 0 18581 0 18467 0 258842 0 0 0 STEVE KLOEHN FORMER OFFICER 0 0 0 0 245158 0 0 0 0 0 245158 0 25690 0 PART I, LINE 1A ALL ITEMS CHECKED IN LINE 1A ARE PROVIDED TO OR FOR A PERSON LISTED IN FORM 990, PART VII TO FURTHER THE BUSINESS, EDUCATIONAL, AND RESEARCH MISSION OF THE UNIVERSITY PURSUANT TO FEDERAL TAX REGULATIONS, IRS ACCOUNTABLE PLAN RULES, AND THE UNIVERSITY'S POLICIES AND PROCEDURES. NONTAXABLE BENEFITS DISCLOSED IN COLUMN D INCLUDE, FOR EXAMPLE, CONTRIBUTIONS TO EMPLOYER HEALTH AND WELFARE PLANS AND QUALIFIED TUITION BENEFITS. PART I, LINES 4A-B FARNAM JAHANIAN PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. THESE BENEFITS ARE REPORTED IN PART II, COLUMN (B). EFFECTIVE JULY 1, 2017, DR. SURESH WAS NO LONGER EMPLOYED BY THE UNIVERSITY. IN CONJUNCTION WITH HIS DEPARTURE, THE UNIVERSITY AND DR. SURESH NEGOTIATED SEVERANCE BENEFITS. DR. SURESH'S PAID SEVERANCE BENEFITS, TOTALING $432,003 ARE REPORTED IN PART II, COLUMN (B). EFFECTIVE JULY 1, 2018, STEVE KLOEHN WAS NO LONGER EMPLOYED BY THE UNIVERSITY. IN CONJUNCTION WITH HIS DEPARTURE, THE UNIVERSITY AND STEVE KLOEHN NEGOTIATED SEVERANCE BENEFITS. STEVE KLOEHN'S PAID SEVERANCE BENEFITS, TOTALING $245,158 ARE REPORTED IN PART II, COLUMN (B). EFFECTIVE JUNE 1, 2020, RODNEY MCCLENDON WAS NO LONGER EMPLOYED BY THE UNIVERSITY. IN CONJUNCTION WITH HIS DEPARTURE, THE UNIVERSITY AND RODNEY MCCLENDON NEGOTIATED SEVERANCE BENEFITS WHICH WERE ACCRUED AT JUNE 30, 2020 AND ARE INCLUDED IN PART II, COLUMN (C). PART I, LINE 7 ALL BONUSES PAID WERE AWARDED AS A RESULT OF PERFORMANCE AND WERE APPROVED BY THE COMPENSATION COMMITTEE. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RES4 2008-04-10 120820000 REFUNDING 2006A,B & 2007A. SEE PART VI FOR MORE DETAIL 0 0 0 B ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729EKY2 2013-02-14 60529980 REVENUE BONDS TO FINANCE NEW CONSTRUCTION. SEE PART VI FOR MORE DETAIL 0 0 0 C ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMP1 2017-07-19 77823681 REFUNDING 2009 BONDS & TAXABLE COMMERCIAL PAPER NOTES. SEE PART VI FOR MORE 0 0 0 D ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 NONEAVAIL 2017-12-27 50000000 REISSUANCE OF 2012B BONDS. SEE PART VI FOR MORE DETAIL 0 0 0 A 120821573 493831 120327742 1 0 1 1 B 60575582 36398 463813 60045471 29900 2016 0 0 1 1 C 77839863 341465 77498398 1 0 1 1 D 50000000 50000000 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 1 0 0 0 1 B 0 0 0 1 0 0 0 1 1 C 0 1 1 1 0 0 0 0 1 D 0 1 1 1 1 0 0 0 1 A 1 B 1 C 1 D 1 ENTITY 1: COLUMN A: PART I(F): BONDS CURRENT REFUNDED SERIES 2006AB BONDS (ISSUED DECEMBER 13, 2006) AND SERIES 2007 BONDS (ISSUED MARCH 1, 2007). COLUMN C: PART I(F): THE BONDS CURRENT REFUNDED PORTIONS OF THE SERIES 2009 BONDS (ISSUED AUGUST 20, 2009) AND TAXABLE COMMERCIAL PAPER NOTES (ISSUED FEBRUARY 24, 2015). COLUMN D: PART I(F): THE BONDS CURRENT REFUNDED THE OUTSTANDING SERIES 2012B BONDS (ISSUED MARCH 1, 2012). COLUMNS A, B C: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN D: PART III: BECAUSE PROCEEDS OF THE BONDS WERE USED TO REFUND BONDS ISSUED BEFORE JANUARY 1, 2003, THE ISSUER HAS NOT COMPLETED PART III WITH RESPECT TO THE BONDS. COLUMNS A, C, D: PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMNS A, B, C: PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMNS C, D: PART IV, LINE 2(B): THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN A: PART IV, LINE 2(C): THE MOST RECENT REBATE REPORT WAS PREPARED BY THE BORROWER AND DATED APRIL 26, 2013. COLUMN B: PART IV, LINE 2(C): THE MOST 5TH YEAR RECENT REBATE REPORT WAS PREPARED BY BLX ON FEBRUARY 13, 2018. COLUMNS C, D: PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. ENTITY 2: COLUMN A: PART I(F): 2009 BONDS WERE ISSUED ON AUGUST 20, 2009. COLUMN A, COLUMN B: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN A: PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN A, COLUMN B: PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN A: PART IV, LINE 2(B): THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN A: PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT AND; THEREFORE, NO COMPUTATION HAS BEEN, OR EVER WILL BE, PREPARED FOR THE BONDS. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMX4 2019-01-23 120435248 REFUNDING OF 2009 BONDS. SEE PART VI FOR MORE DETAIL 0 0 0 B ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RNC9 2020-02-05 60806037 REVENUE BONDS TO FINANCE NEW CONSTRUCTION. SEE PART VI FOR MORE DETAIL 0 0 0 A 120495354 418774 120076497 83 1 0 1 1 B 60927070 287910 7497313 53141847 0 0 0 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 1 1 1 1 0 0 0 1 B 0 1 0 0 0 0 0 0 1 A 1 B 1 L SMITH J. GARRETT - CMU OFFICER - BROTHER OF L. SMITH - CMU EMPLOYEE 84930 SEE PART V COMPENSATION FOR ASSOCIATE DIRECTOR OF STUDENT ACCOUNTS 0 L BHAGAVATULA V. BHAGAVATULA - CMU HCE - HUSBAND OF L. BHAGAVATULA 13681 SEE PART V COMPENSATION FOR PROGRAM AMBASSADOR - CMU AFRICA 0 X 4 490370 APPRAISAL X 4800 FAIR MARKET VALUE X 47901 FAIR MARKET VALUE X 191 17556984 FAIR MARKET VALUE X COMPUTER EQUIPMENT 15 670024 FAIR MARKET VALUE X SCIENTIFIC/MUSIC/FITNESS EQPT 4 48385 FAIR MARKET VALUE X TOOLS 2 20415 COST X ALUMNI EVENT 15 14285 COST 6 0 1 0 PART I, COLUMN (B): THE NUMBER SHOWN IN COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS CARNEGIE MELLON UNIVERSITY RECEIVED FOR EACH TYPE OF PROPERTY FOR THE YEAR ENDED JUNE 30, 2020. FORM 990, PART VI, SECTION A, LINE 2 JAMES ROHR, EDWARD GREFENSTETTE, AND FARNAM JAHANIAN HAVE A BUSINESS RELATIONSHIP. JOEL P. ADAMS AND EDWARD GREFENSTETTE HAVE A BUSINESS RELATIONSHIP. JOEL P. ADAMS AND JAMES ROHR HAVE A BUSINESS RELATIONSHIP. JOEL P. ADAMS AND DAVID COULTER HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 7A CARNEGIE MELLON HAS SIX EX-OFFICIO TRUSTEES WHO ARE MEMBERS OF THE BOARD OF TRUSTEES BY HOLDING THE FOLLOWING OFFICES: MAYOR OF THE CITY OF PITTSBURGH PRESIDENT OF COUNCIL OF THE CITY OF PITTSBURGH PRESIDENT OF CARNEGIE MELLON UNIVERSITY PRESIDENT OF CARNEGIE MELLON ALUMNI ASSOCIATION PRESIDENT OF THE ANDREW CARNEGIE SOCIETY OF CARNEGIE MELLON CHAIRMAN OF CARNEGIE MELLON FACULTY SENATE EX-OFFICIO TRUSTEES SHALL BE FULL VOTING MEMBERS OF THE BOARD OF TRUSTEES, WITH ALL RIGHTS AND RESPONSIBILITIES THERETO, EXCEPT AS FOLLOWS: THEY SHALL BE WELCOME AT ALL OPEN SESSIONS OF ALL FULL BOARD MEETINGS AND, IF REQUESTED BY THE CHAIR, AT CLOSED EXECUTIVE SESSIONS; AND THE PRESIDENT OF CARNEGIE MELLON UNIVERSITY SHALL HAVE NO VOTING RIGHTS WHEN SERVING AS A MEMBER OF THE AUDIT COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B CARNEGIE MELLON UNIVERSITY'S TAX DEPARTMENT IS RESPONSIBLE FOR GATHERING RELEVANT INFORMATION AND PREPARING THE ANNUAL FORM 990. ONCE THE FORM IS COMPLETE IN DRAFT STATUS, IT IS REVIEWED WITH CARNEGIE MELLON'S INDEPENDENT CERTIFIED PUBLIC ACCOUNTING (CPA) FIRM. UPON COMPLETION OF INDEPENDENT REVIEW BY THE CPA FIRM, THE FORM IS REVIEWED BY THE VICE PRESIDENT FOR FINANCE AND CHIEF FINANCIAL OFFICER, ASSOCIATE VICE PRESIDENT FOR FINANCE AND CONTROLLER, TAX DEPARTMENT AND THEN PROVIDED TO THE AUDIT COMMITTEE FOR APPROVAL. FINALLY, A COMPLETED COPY OF THE FORM IS PROVIDED TO THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO FILING FORM 990 WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CARNEGIE MELLON REQUIRES EACH TRUSTEE, OFFICER, AND MEMBER OF SENIOR MANAGEMENT TO DISCLOSE ANNUALLY THE EXISTENCE OF ANY CIRCUMSTANCES THAT MIGHT CONSTITUTE A CONFLICT OF INTEREST WITH THE INSTITUTION. THE PROCESS IS INITIATED EACH FISCAL YEAR BY THE OFFICE OF THE SECRETARY OF THE CORPORATION SENDING AN ELECTRONIC CONFLICT OF INTEREST QUESTIONNAIRE TO THE ABOVE NOTED INDIVIDUALS. COMPLETED QUESTIONNAIRES ARE RETURNED TO THE SECRETARY OF THE CORPORATION FOR EVALUATION OF ACTUAL OR PERCEIVED CONFLICTS BY THE INSTITUTION, REVIEWED BY THE OFFICE OF GENERAL COUNSEL, AND ANNUAL REPORTING IS PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. ALL OFFICERS AND MEMBERS OF THE BOARD ARE REQUIRED TO DISCLOSE CONFLICTS TO THE SECRETARY OF THE CORPORATION AS THEY ARISE THROUGHOUT THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE ANNUALLY REVIEWS AND RECOMMENDS TO THE EXECUTIVE COMMITTEE FOR APPROVAL THE PRESIDENT'S SALARY, COMPENSATION, AND BENEFIT PACKAGE (TOTAL COMPENSATION), AND REVIEWS AND APPROVES THE TOTAL COMPENSATION OF THE PROVOST, VICE PRESIDENTS, DEANS, OFFICERS AND KEY EMPLOYEES. THE COMMITTEE OBTAINS APPROPRIATE ANALYSES AND STUDIES PREPARED BY THE ADMINISTRATION AND INDEPENDENT EXTERNAL SOURCES WITH RESPECT TO COMPENSATION FOR SIMILAR POSITIONS IN SIMILAR ORGANIZATIONS TO AID IN EVALUATING COMPENSATION AND BENEFIT PLAN LEVELS, PRACTICES AND STRATEGIES TO ENSURE THAT THE UNIVERSITY'S COMPENSATION LEVELS AND PRACTICES ARE COMPARABLE TO SIMILAR ORGANIZATIONS AND APPROPRIATE TO ATTRACT, OBTAIN AND RETAIN QUALIFIED PERSONNEL. THIS INCLUDES REVIEWING SURVEY DATA FOR SIMILAR POSITIONS AMONG A SELECT GROUP OF PEER INSTITUTIONS. THE COMMITTEE SUBMITS ITS RECOMMENDATIONS FOR THE PRESIDENT'S TOTAL COMPENSATION PACKAGE TO THE EXECUTIVE COMMITTEE FOR REVIEW AND APPROVAL. THE EXECUTIVE COMMITTEE RECEIVES AN ANNUAL REPORT FROM THE UNIVERSITY'S COMPENSATION COMMITTEE INCLUDING SIGNIFICANT COMPENSATION AND BENEFIT PLAN POLICY CHANGES. IT REPORTS TO THE FULL BOARD ON THIS AND THE COMPETITIVENESS OF THE UNIVERSITY'S COMPENSATION LEVELS AND BENEFIT PLANS IN RELATION TO PEER INSTITUTIONS. FORM 990, PART VI, SECTION C, LINE 19 CARNEGIE MELLON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE FOR PUBLIC INSPECTION. THE DOCUMENTS ARE AVAILABLE UPON REQUEST OR CAN BE OBTAINED BY VISITING THE WEBSITE AT WWW.CMU.EDU. FORM 990, PART VII, SECTION A, LINE 1A: THE BOARD OF TRUSTEES MAY GRANT THE STATUS OF EMERITUS TRUSTEE TO THOSE MEMBERS WHO HAVE MADE DISTINGUISHED CONTRIBUTIONS TO THE UNIVERSITY AND WHO HAVE ATTAINED AT LEAST AGE 60 OR A MAXIMUM OF AGE 75. THE BOARD OF TRUSTEES MAY, AT ANY TIME OR FROM TIME TO TIME CHANGE THE AGE AT WHICH TRUSTEES MUST BE GRANTED EMERITUS/A STATUS, OR RESIGN FROM THE BOARD. EMERITUS/A TRUSTEES SHALL BE WELCOME AT ALL FULL BOARD MEETINGS; ALL MEETINGS OF THE ADVANCEMENT, EDUCATIONAL AFFAIRS AND ENROLLMENT, AND RESEARCH, INNOVATION AND ENTREPRENEURSHIP COMMITTEES OF THE BOARD OF TRUSTEES; SHALL RECEIVE ALL NOTICES, MINUTES AND REPORTS OF SAID MEETINGS, SHALL BE FREE TO PARTICIPATE IN DISCUSSIONS, BUT SHALL BE WITHOUT A VOTE ON ANY MATTER. EMERITUS TRUSTEES SHALL BE WELCOME AT ALL BOARD AND UNIVERSITY EVENTS. THE FOLLOWING INDIVIDUALS WERE EMERITUS LIFE TRUSTEES OF CARNEGIE MELLON'S BOARD OF TRUSTEES: JOHN BERTUCCI, CAROL R. BROWN, ROBERT M. BROWN III, W. LOGAN DICKERSON, PHILIP L. DOWD, DINA DUBLON, WILLIAM B. ELLIS, CYNTHIA FRIEDMAN, HENRY GAILLIOT, CLAIRE W. GARGALLI, RICHARD D. HAMILTON, TERESA HEINZ, T. JEROME HOLLERAN, W. LEE HOSKINS, JUSTIN M. JOHNSON, PATRICIA ASKWITH KENNER, DAVID M. KIRR, EDWARD E. LUCENTE, THOMAS A. MCCONOMY, JACK E. MCGRATH, REGINA GOUGER MILLER, ALESSANDRO OVI, E. KEARS POLLOCK, CHARLES J. QUEENAN, JR. ESQ, JOHN G. RANGOS, SR., VINCENT A. SARNI, JOYCE B. SCOTT, DAVID S. SHAPIRA, RAYMOND W. SMITH, W. LOWELL STEINBRENNER, DONALD E. STITZENBERG, JAMES M. WALTON, KONRAD M. WEIS. FORM 990, PART VII, SECTION A, COLUMN B: FOR EACH PERSON LISTED IN COLUMN A WHO IS AN EMPLOYEE OF CARNEGIE MELLON UNIVERSITY, THE AVERAGE NUMBER OF HOURS PER WEEK STATED IS 50 HOURS PER WEEK; HOWEVER, THE ACTUAL NUMBER OF HOURS WORKED VARIES BETWEEN 50-80 HOURS PER WEEK. FORM 990, PART XI, LINE 9: LAMME UNREALIZED GAINS/LOSS -6,594. CHANGE IN SWAP VALUE NET OF INTEREST EXPENSE & OTHER -12,014,185. NET LOSS FROM FUNDRAISING EVENTS 12,797. LOSSES FROM ADJUSTMENTS OF PLEDGES RECEIVABLE -3,226,787. FORM 990, PART XII, FINANCIAL STATEMENTS AND REPORTING: CARNEGIE MELLON HAS AN AUDIT COMMITTEE OF THE BOARD OF TRUSTEES THAT IS RESPONSIBLE FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND THE SELECTION OF A CERTIFIED INDEPENDENT ACCOUNTING FIRM THAT AUDITS THE FINANCIAL STATEMENTS. CARNEGIE MELLON'S FINANCIAL STATEMENTS ARE CONSOLIDATED. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. 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