2021-10-04T08:51:14-05:00 2021-03-31 366055558 GRANT THORNTON LLP 2001 MARKET STREET SUITE 700 PHILADELPHIA PA 19103 990 2020-04-01 232719985 ACCESSLEX INSTITUTE ACCE 4846533300 10 NORTH HIGH STREET STE 400 WEST CHESTER PA 19380 CHRISTOPHER CHAPMAN PRESIDENT & CEO 4846533300 2021-10-01 1 CHRISTOPHER CHAPMAN 999009999 ALYCIA SOLECKI P01272637 2155614200 3 AAL1 IAL1 2020 2022-09-23 18:48:47Z CHRISTOPHER CHAPMAN 10 NORTH HIGH STREET STE 400 WEST CHESTER PA 19380 287353569 0 X WWW. ACCESSLEX.ORG X 1993 DE PLEASE REFER TO SCHEDULE OACCESSLEX INSTITUTE IS AN ORGANIZATION UNDERPINNED BY A MEMBERSHIP COMPRISED OF APPROXIMATELY 200 AMERICAN BAR ASSOCIATION (ABA)-APPROVED NONPROFIT AND STATE-AFFILIATED LAW SCHOOLS AND IS DEDICATED TO IMPROVED EDUCATIONAL ACCESS FOR DIVERSE AND UNDERREPRESENTED STUDENTS, INCREASED AFFORDABILITY, AND ENHANCED AND LASTING VALUE IN LEGAL EDUCATION. THIS COMMITMENT IS ACTUALIZED THROUGH OUR RESEARCH, GRANTMAKING, POLICY ANALYSIS AND ADVOCACY, AND EDUCATIONAL SERVICES ACTIVITIES. THROUGHOUT ITS HISTORY, ACCESSLEX INSTITUTE HAS CONTINUALLY EVOLVED TO MEET THE EVER-CHANGING CHALLENGES AND NEEDS OF THE STUDENTS AND INSTITUTIONS OF HIGHER EDUCATION THAT WE SERVE. AS A STRONG AND LEADING VOICE IN EACH OF OUR FOCUS AREAS, WE ARE DRIVEN BY STRATEGIC INITIATIVES AND EXPANDED PROGRAMS DESIGNED TO MAINTAIN THE VIBRANCY AND DYNAMISM OF OUR MISSION. 12 11 111 11 60782 0 0 0 135356383 78135230 17575263 15431468 358859 2169787 153290505 95736485 2219295 2073460 0 0 12060639 11809171 0 0 0 117870758 69631197 132150692 83513828 21139813 12222657 3255011264 3025741930 2634504762 2159948110 620506502 865793820 X PLEASE REFER TO SCHEDULE OACCESSLEX INSTITUTE IS AN ORGANIZATION UNDERPINNED BY A MEMBERSHIP COMPRISED OF APPROXIMATELY 200 AMERICAN BAR ASSOCIATION (ABA)-APPROVED NONPROFIT AND STATE-AFFILIATED LAW SCHOOLS AND IS DEDICATED TO IMPROVED EDUCATIONAL ACCESS FOR DIVERSE AND UNDERREPRESENTED STUDENTS, INCREASED AFFORDABILITY, AND ENHANCED AND LASTING VALUE IN LEGAL EDUCATION. THIS COMMITMENT IS ACTUALIZED THROUGH OUR RESEARCH, GRANTMAKING, POLICY ANALYSIS AND ADVOCACY, AND EDUCATIONAL SERVICES ACTIVITIES. THROUGHOUT ITS HISTORY, ACCESSLEX INSTITUTE HAS CONTINUALLY EVOLVED TO MEET THE EVER-CHANGING CHALLENGES AND NEEDS OF THE STUDENTS AND INSTITUTIONS OF HIGHER EDUCATION THAT WE SERVE. AS A STRONG AND LEADING VOICE IN EACH OF OUR FOCUS AREAS, WE ARE DRIVEN BY STRATEGIC INITIATIVES AND EXPANDED PROGRAMS DESIGNED TO MAINTAIN THE VIBRANCY AND DYNAMISM OF OUR MISSION. 0 0 61102223 0 80232679 PLEASE REFER TO SCHEDULE OTHE ORGANIZATION SUPPORTS ITS STUDENT LOAN BORROWERS BY FACILITATING TIMELY REPAYMENT THROUGH INTEREST RATE REDUCTION INCENTIVES AND PROVIDING QUALITY CUSTOMER SERVICE, COUNSELING, ISSUE RESOLUTION, DEFAULT AVERSION AND POST DEFAULT MANAGEMENT. THE ORGANIZATION ALSO WORKS TO ENSURE THAT ITS STUDENT LOAN BORROWERS ARE PROVIDED WITH QUALITY AND EFFICIENT SERVICE THROUGHOUT THE DURATION OF THE REPAYMENT PERIOD. 15124892 2073460 0 PLEASE REFER TO SCHEDULE OTHE ORGANIZATION CONDUCTS AND SPONSORS RESEARCH, POLICY ANALYSIS, SERVICES AND PROJECTS THAT SEEK TO FURTHER ITS 2025 STRATEGIC PLAN TO ENHANCE ACCESS, AFFORDABILITY AND VALUE OF LEGAL EDUCATION. THE 2025 STRATEGIC PLAN ENUMERATES FOUR PRIMARY AREAS OF FOCUS TO ADVANCE THE ORGANIZATION'S MISSION: BAR EXAM SUCCESS: SUPPORTS DEVELOPMENT AND DISTRIBUTION OF INFORMATION, EDUCATION, DATA, INTERVENTIONS AND PROGRAMS TO ASSIST THE ORGANIZATION'S MEMBER LAW SCHOOLS AND THEIR STUDENTS IN IMPROVING BAR EXAM PREPARATION, READINESS AND ULTIMATE BAR PASSAGE SUCCESS.DIVERSITY: SUPPORTS DEVELOPMENT AND DISTRIBUTION OF INFORMATION, DATA, INTERVENTIONS AND PROGRAMS TO ASSIST THE ORGANIZATION'S MEMBER LAW SCHOOLS AND ASPIRING LAW STUDENTS FROM HISTORICALLY UNDERREPRESENTED RACIAL AND SOCIOECONOMIC BACKGROUNDS WITH INCREASING THE DIVERSITY OF LAW SCHOOLS' ADMITTED STUDENTS, MATRICULANTS, AND GRADUATES, WHILE ALSOSUPPORTING INCLUSION AND SUCCESS INITIATIVES.ACTIONABLE DATA: SUPPORTS EFFORTS TO ENCOURAGE THE COLLECTION, AGGREGATION AND SHARING OF RELEVANT DATA BY AND AMONG THOSE ENTITIES WHICH POSSESS DATA THAT CAN ADVANCE THE ORGANIZATION'S MISSION-BASED OBJECTIVES BY PROVIDING A MORE DATA-INFORMED BASIS FOR CRITICAL DECISION MAKING BY LAW SCHOOLS, LAW STUDENTS AND ASPIRING LAW STUDENTS. FINANCIAL EDUCATION: SUPPORTS DEVELOPMENT AND DISTRIBUTION OF INFORMATION, DATA, INTERVENTIONS AND PROGRAMS TO ASSIST THE ORGANIZATION'S MEMBER LAW SCHOOLS AND ASPIRING LAW STUDENTS WITH BRIDGING EXISTING FINANCIAL LITERACY GAPS AND INCREASING FINANCIAL CAPABILITY AND SUCCESS. 76227115 1 0 0 1 0 0 0 0 0 0 1 0 0 1 1 1 0 1 0 0 1 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 1 712 0 1 111 1 1 1 0 0 0 0 0 0 0 0 0 0 0 X 12 11 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X CHRISTOPHER CHAPMAN 4846533300 10 NORTH HIGHT STREET STE 400 WEST CHESTER PA 19380 CHRISTOPHER CHAPMAN PRESIDENT, CEO 50.00 5.00 X X 816177 0 141937 DEBRA SWARTZ SVP, GENERAL COUNSEL AND CCO 50.00 5.00 X 302790 0 74146 AARON TAYLOR SVP, EXEC. DIRECTOR FOR LEGAL ED 50.00 0.00 X 297127 0 37570 CYNTHIA A CASSITY SIBLEY SVP, EDUCATION AND STRATEGIC ENGT 50.00 0.00 X 275471 0 39238 DAVID RAMAGE VP, INVESTMENTS AND CORPORATE DEVEL 50.00 0.00 X 224954 0 52160 JAMES CASSITY VP, CORPORATE OPERATIONS 50.00 0.00 X 220191 0 37297 SAMUEL GREENHALGH JR VICE PRESIDENT & CONTROLLER 50.00 5.00 X 213379 0 53465 LYSSA THADEN MANAGING DIRECTOR, HELIX 0.00 50.00 X 171665 0 37063 ROBERT GREENAWALT MANAGING DIRECTOR, PORTFOLIO MGMT 50.00 0.00 X 168694 0 52404 TIFFANE COCHRAN MANAGING DIRECTOR, RESEARCH 50.00 0.00 X 160221 0 24693 JENNIFER SCHOTT MANAGING DIRECTOR, FINANCIAL EDU 50.00 0.00 X 145616 0 13204 VALERIE YOUNG MANAGING DIRECTOR, HUMAN RESOURCES 50.00 0.00 X 146132 0 47292 CHRISTOPHER CLEMENTS DIRECTOR, IT ARCHITECTURE 50.00 0.00 X 135899 0 49027 DEBORAH FABRYKA EXEC. ASST. AND ASST. SECRETARY 50.00 0.00 X 96525 0 20579 WH KNIGHT JR BOARD CHAIR 6.00 0.00 X X 0 0 0 ROBERT K RASMUSSEN BOARD VICE CHAIR 6.00 0.00 X X 0 0 0 MARY CROSSLEY BOARD SECRETARY/TREASURER 6.00 0.00 X X 0 0 0 DAVID A BRENNEN BOARD MEMBER 6.00 0.00 X 0 0 0 DANIELLE M CONWAY BOARD MEMBER (TERM START AUG 2020) 6.00 0.00 X 0 0 0 MARK C DAWKINS BOARD MEMBER 6.00 0.00 X 0 0 0 CHRIS GUTHRIE BOARD MEMBER 6.00 0.00 X 0 0 0 MAUREEN A O'ROURKE BOARD MEMBER 6.00 0.00 X 0 0 0 AUSTEN L PARRISH BOARD MEMBER 6.00 0.00 X 0 0 0 RALPH D SINSHEIMER BOARD MEMBER 6.00 0.00 X 0 0 0 WILLIAM KS WANG BOARD MEMBER 6.00 0.00 X 0 0 0 CLARINE NARDI RIDDLE BOARD MEMBER (TERM END JUNE 2020) 6.00 0.00 X 0 0 0 HANNAH ARTERIAN BOARD MEMBER (TERM END APRIL 2020) 6.00 0.00 X 0 0 0 3374841 0 680075 31 0 1 0 NELNET SERVICING INC 121 SOUTH 13TH STREET WF SUITE LINCOLN NE 68508 LOAN SERVICES 2673040 MONTICELLO ASSOCIATES 1800 LARIMER STREET SUITE 2100 DENVER CO 80202 INVESTMENT SERVICES 500000 FP 440 1ST STREET LLC 7600 WISCONSIN AVENUE 11TH FLOOR BETHESDA MD 20814 RENT 462124 D-TOWN ASSOCIATES 120 PENNSYLVANIA AVENUE MALVERN PA 19355 RENT 412602 ENGINE ROOM TECHNOLOGY 1818 MARKET STREET SUITE 3310 PHILADELPHIA PA 19103 WEB DEVELOPER 392788 24 STUDENT LOAN PROGRAM 522291 78131098 78058760 72338 REFUND OF GRANTS PAID 900099 4132 4132 78135230 7527026 -11556 7538582 199521526 191617084 7904442 7904442 7904442 MISCELLANEOUS REVENUE 900099 2169787 2169787 2169787 95736485 80232679 60782 15443024 X 1742638 1742638 330822 330822 2321302 819461 1501841 6669587 5283018 1386569 531437 137972 393465 1611275 1169454 441821 675570 248243 427327 2124066 1793125 330941 198667 198667 105018 105018 500000 500000 11271542 10531660 739882 933571 753427 180144 65017 49410 15607 1424558 1014192 410366 824296 493644 330652 407318 401623 5695 164491 163082 1409 45546163 45546163 829053 312099 516954 405373 405373 CONSOLIDATED LOAN REBAT 13337988 13337988 0 0 PROGRAM MATERIALS 75850 75850 0 0 PROVISION FOR LOAN LOSS -8581774 -8581774 0 0 83513828 76227115 7286713 0 283949 1020152 10161555 6846062 43549229 386952 2436215365 2067626355 30757717 875834 1820658 897664 1470435 922994 566317044 774903142 3350000 5500000 162905970 167660439 3255011264 3025741930 7343071 10183177 0 0 2625175018 2148271779 1986673 1493154 2634504762 2159948110 X 620506502 865793820 620506502 865793820 3255011264 3025741930 12222657 233064661 0 X 0 1 X 1 0 X 0 0 0 0 155855772 157328021 163564839 135280686 78058760 690088078 155855772 157328021 163564839 135280686 78058760 690088078 0 0 0 690088078 11774550 9783775 13060891 11939401 7538582 54097199 11774550 9783775 13060891 11939401 7538582 54097199 0 0 0 0 0 783165 1866850 303074 250097 2169787 5372973 168413487 168978646 176928804 147470184 87767129 749558250 0.92070 0.93120 0.07220 0.06350 X SCHEDULE A, PART III, LINE 12, EXPLANATION OF OTHER INCOME: MISCELLANEOUS REVENUE - 2016 AMOUNT: $ 783,165. 2017 AMOUNT: $ 1,866,850. 2018 AMOUNT: $ 303,074. 2019 AMOUNT: $ 250,097. 2020 AMOUNT: $ 2,169,787. 5819 0 109428 0 115247 0 76111868 0 76227115 0 1000000 0 250000 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 121420 122854 117708 115247 477229 250000 250000 250000 250000 1000000 1500000 6093 3418 3465 5819 18795 SCHEDULE C, PART II-A DEVELOP, EDUCATE AND SUPPORT LEGISLATION AND REGULATION THAT PROMOTE ACCESS, AFFORDABILITY AND VALUE AS IT RELATES TO LEGAL EDUCATION, AND OPPOSE LEGISLATION AND REGULATION THAT WOULD LESSEN THE SAME. 0 0 1820658 897664 922994 0 922994 RESTRICTED CASH AND CASH EQUIV. 167577665 DEFERRED GUARANTEE FEES 82774 167660439 PAYROLL RELATED LIABILITIES 1491943 MISCELLANEOUS 1211 1493154 X 341711787 233064662 -4132 31684293 264744823 76966964 18769521 18769521 95736485 66185529 1441222 1441222 64744307 18769521 18769521 83513828 PART X, LINE 2: LIABILITY FOR UNCERTAIN TAX POSITIONS - FIN 48 (ASC 740) THE COMPANY ACCOUNTS FOR UNCERTAINTIES IN INCOME TAXES BASED ON A THRESHOLD OF "MORE-LIKELY-THAN-NOT" FOR RECOGNITION AND DERECOGNITION OF TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. THE COMPANY HAS NO UNCERTAIN TAX POSITIONS MEETING THE THRESHOLD. THE COMPANY REMAINS SUBJECT TO FEDERAL, STATE AND LOCAL INCOME TAX EXAMINATIONS FOR THE YEAR ENDED MARCH 31, 2018 TO PRESENT. PART XI, LINE 2D - OTHER ADJUSTMENTS: LOAN RESERVE TRUST RECOVERIES 489,293. GAIN ON EXTINGUISHMENT OF BONDS PER GAAP, NOT TAX 31,420,000. ADD BACK INTERCO BOND INT INC ELIM PER GAAP -225,000. PART XI, LINE 4B - OTHER ADJUSTMENTS: CONSOLIDATED LOAN REBATE FEES 13,337,989. DECONSOLIDATED ENTITIES INTEREST INCOME 5,431,532. PART XII, LINE 2D - OTHER ADJUSTMENTS: LOAN RESERVE TRUST EXPENSES 17,500. HELIX EXPENSES 1,652,854. REFUNDED GRANTS -4,132. ADD BACK INTERCO BOND INT EXP ELIM PER GAAP -225,000. PART XII, LINE 4B - OTHER ADJUSTMENTS: CONSOLIDATED LOAN REBATE FEES 13,337,989. DECONSOLIDATED ENTITIES INTEREST INCOME 5,431,532. CENTRAL AMERICA AND THE CARIBBEAN 0 0 98811511 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 25210558 0 0 0 0 0 0 124022069 0 124022069 1 0 1 0 1 0 PART III ACCOUNTING METHOD: 1 THE STATE BAR OF CALIFORNIA - ATTORNEY JOB ANALYSIS STUDY FOR THE CALIFORNI 180 HOWARD STREET SAN FRANCISCO CA 94105 946001385 501 (C) (3) 128750 CASH PROGRAM SUPPORT/RESEARCH AMERICAN BAR ASSOCIATION FUND FOR JUSTICE AND EDUCATION - BAR EXAM STUDY - 321 N CLARK STREET CHICAGO IL 60654 360723150 501 (C) (3) 21333 CASH PROGRAM SUPPORT/RESEARCH COUNCIL ON LEGAL EDUCATION OPPORTUNITY INC (CLEO) 1101 MERCANTILE LANE LARGO MD 20774 454462410 501 (C) (3) 50000 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF CALIFORNIA HASTINGS FOUNDATION - NEVEDA BAR EXAM VALIDITY ST 200 MCALLISTER STREET SAN FRANCISCO CA 94102 942581680 501 (C) (3) 11660 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF TEXAS AT EL PASO 500 W UNIVERSITY AVENUE EL PASO TX 79968 746000813 STATE AGENCY 40317 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF DENVER COLORADO SEMINARY - LAWYER FOCUS GROUPS TO EXPLORE AND 2199 S UNIVERSITY BLVD DENVER CO 80210 840404231 C-CORP 5 41667 CASH PROGRAM SUPPORT/RESEARCH APPALACHIAN SCHOOL OF LAW - BAR SUCCESS 1169 EDGEWATERDRIVE GRUNDY VA 24614 541743079 501 (C) (3) 28333 CASH PROGRAM SUPPORT/RESEARCH ELON UNIVERSITY - ACADEMIC AND BAR SUPPORT PROGRAM EFFECTIVNESS STUDY 100 CAMPUS DRIVE ELON NC 27244 560532303 C-CORP 6485 CASH PROGRAM SUPPORT/RESEARCH THE LAW COLLEGE ASSOCIATION OF THE UNIVERSITY OF ARIZONA - EVALUATIO OF THE 1201 EAST SPEEDWAY BLVD TUSCON AZ 85721 866037148 501 (C) (3) 34966 CASH PROGRAM SUPPORT/RESEARCH AMERICAN BAR FOUNDATION (ABF) - CREATING MORE SUPPORTIVE LAW SCHOOL ENVIRON 750 NORTH LAKE SHORE DRIVE CHICAGO IL 60611 366110271 501 (C) (3) 28321 CASH PROGRAM SUPPORT/RESEARCH TRUSTEES UNIVERSITY OF PENNSYLVANIA 3451 WALNUT STREET ROOM P221 PHILADELPHA PA 19104 231352685 501 (C) (3) 10204 CASH PROGRAM SUPPORT/RESEARCH AMERICAN BAR FOUNDATION (ABF) 750 NORTH LAKE SHORE DRIVE CHICAGO IL 60611 366110271 501 (C) (3) 140521 CASH PROGRAM SUPPORT/RESEARCH THE ASSOCIATION OF AMERICAN LAW SCHOOLS (AALS) - SCHOLARSHIP GRANT 1614 20TH STREET NW WASHINGTON DC 20009 941450490 501 (C) (3) 25000 CASH PROGRAM SUPPORT/RESEARCH AALS - RESEARCH GRANT 1614 20TH STREET NW WASHINGTON DC 20009 941450490 501 (C) (3) 75000 CASH PROGRAM SUPPORT/RESEARCH THE ASSOCIATION OF AMERICAN LAW SCHOOLS (AALS) - CHALLENGE GRANT 1614 20TH STREET NW WASHINGTON DC 20009 941450490 501 (C) (3) 25000 CASH PROGRAM SUPPORT/RESEARCH ASSOCIATION FOR INSTITUTIONAL RESEARCH (AIR) SOW #5 1983 CENTRE POINTER BLVD 101 TALLAHASSEE FL 32308 366149972 501 (C) (3) 224506 CASH PROGRAM SUPPORT/RESEARCH SYRACUSE UNIVERSITY - SUMMER JUMP START PROGRAM 640 SKYTOP ROAD SYRACUSE NY 13244 150532081 501 (C) (3) 19267 CASH PROGRAM SUPPORT/RESEARCH ST JOHNS UNIVERSITY SCHOOL OF LAW 8000 UTOPIA PARKWAY QUEENS NY 11439 111630830 501 (C) (3) 56667 CASH PROGRAM SUPPORT/RESEARCH ROGER WILLIAMS UNIVERSITY ONE OLD FERRY ROAD BRISTOL RI 02809 050277222 501 (C) (3) 85000 CASH PROGRAM SUPPORT/RESEARCH TRUSTEES OF INDIANA UNIVERSITY DEPT 78867 PO BOX 78000 DETROIT MI 48278 356001673 501 (C) (3) 63750 CASH PROGRAM SUPPORT/RESEARCH HOFSTRA UNIVERSITY 128 HOFSTRA UNIVERSITY HEMPSTEAD NY 11549 111630906 C-CORP 63750 CASH PROGRAM SUPPORT/RESEARCH DILLARD UNIVERSITY - LEGAL EDUCATION ADVANCING DIVERSITY 2601 GENTILLY BOULEVARD NEW ORLEANS LA 70122 720408929 501 (C) (3) 130000 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF SAN DIEGO - COMPREHENSIVE BAR EXAM INTERVENTION FOR 3L UNDERR 5998 ALCALA PARK SAN DIEGO CA 92110 952544535 501 (C) (3) 17680 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF WISCONSIN MADISON - ASSESMENT OF CAMPUS FINANCIAL EDUCATION 21 N PARK STREET SUITE 6401 MADISON WI 53715 396006492 501 (C) (3) 16466 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF GEORGIA - AN EVALUATION OF FINANCIAL CAPABILITY 310 EAST CAMPUS ROAD ROOM 411 ATHENS GA 30602 581353149 501 (C) (3) 57956 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF SAN DIEGO CLOSING THE JUSTICE GAP DOES DIVERSITY OF THE ATT 5998 ALCALA PARK SAN DIEGO CA 92110 952544535 501 (C) (3) 7650 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF SAINT THOMAS 2115 SUMMIT AVENUE STPAUL MN 55105 410693970 503 (C) (3) 35340 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF SAINT THOMAS - UPDATED SURVERY OF LAW STUDENT WELL-BEING 2115 SUMMIT AVENUE STPAUL MN 55105 410693970 503 (C) (3) 68000 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY SYSTEM OF NEW HAMPSHIRE 51 COLLEGE ROAD ROOM 109 DURHAM NH 03824 026000937 503 (C) (3) 8614 CASH PROGRAM SUPPORT/RESEARCH MONTEREY COLLEGE OF LAW - EXAMINING THE CALIFORNIA CUT SCORE 100 COL DURHAM STREET SEASIDE CA 93955 942202421 503 (C) (3) 81000 CASH PROGRAM SUPPORT/RESEARCH ARIZONA JE ROGERS 1201 E SPEEDWAY 201H TUSCON AZ 85721 866037148 503 (C) (3) 19625 CASH PROGRAM SUPPORT/RESEARCH WASHINGTON UNIVERSITY - LAWYER CONDUCT AND DISCIPLINE 440 FIRST STREET NE SUITE 550 WASHINGTON DC 20001 430653611 503 (C) (3) 20460 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF ILLINOIS - LEGAL WRITING SKILLS AND INTERVENTION PROJECT AT U 25395 NETWORK PLACE CHICAGO IL 60673 376000511 503 (C) (3) 12500 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF HAWAII 2440 CAMPUS ROAD BOX 368 HONOLULU HI 96822 996000354 503 (C) (3) 13100 CASH PROGRAM SUPPORT/RESEARCH UC HASTINGS COLLEGE OF THE LAW - IDENTIFYING SUCCESS FACTORS 200 MCALLISTER STREET SAN FRANCISCO CA 94102 942581680 503 (C) (3) 30000 CASH PROGRAM SUPPORT/RESEARCH THE REGENTS OF THE UNIVERSITY OF CALIFORNIA BERKLEY 2195 HEARST AVE BERKELEY CA 94720 946002123 503 (C) (3) 18750 CASH PROGRAM SUPPORT/RESEARCH UNIVERSITY OF NORTH TEXAS - TRAIL 7400 UNIVERSITY HILLS BLVD DALLAS TX 75241 453072303 503 (C) (3) 25000 CASH PROGRAM SUPPORT/RESEARCH 37 MAX SCHOLARSHIPS 24 330822 PART I, LINE 2: GRANT APPLICANTS ARE REQUIRED TO SUBMIT APPLICATIONS/PROPOSALS AND PROPOSED BUDGETS FOR THE USE OF THE FUNDS TO THE ORGANIZATION. PROPOSALS AND BUDGETS ARE REVIEWED BY STAFF INTERNALLY TO ASSESS THEIR ALIGNMENT WITH THE ORGANIZATION'S PRIORITIES OF FURTHERING LAW SCHOOL ACCESS, AFFORDABILITY AND VALUE. DETAILED GUIDELINES FOR THE GRANT PROGRAMS ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE. THE SELECTED APPLICANTS MUST ENTER INTO A CONTRACT WITH THE ORGANIZATION THAT DETAILS THE GRANT DELIVERABLES, REPORTING AND PAYMENT SCHEDULES. GRANTEES MUST PROVIDE NARRATIVE AND BUDGET PROGRESS REPORTS IN ACCORDANCE WITH THEIR GRANT AGREEMENTS; SUBSEQUENT PAYMENTS ARE CONTINGENT UPON SATISFACTORY PROGRESS BEING MADE ON THE GRANT. THE ACCESSLEX INSTITUTE BOARD OF DIRECTORS RECEIVES QUARTERLY REPORTS ON ALL GRANT FUNDING DECISIONS. X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 CHRISTOPHER CHAPMAN PRESIDENT, CEO 607435 0 188000 0 20742 0 102514 0 39423 0 958114 0 0 0 DEBRA SWARTZ SVP, GENERAL COUNSEL AND CCO 235218 0 59250 0 8322 0 49083 0 25063 0 376936 0 0 0 AARON TAYLOR SVP, EXEC. DIRECTOR FOR LEGAL ED 217567 0 59250 0 20310 0 25160 0 12410 0 334697 0 0 0 CYNTHIA A CASSITY SIBLEY SVP, EDUCATION AND STRATEGIC ENGT 201149 0 52500 0 21822 0 24826 0 14412 0 314709 0 0 0 DAVID RAMAGE VP, INVESTMENTS AND CORPORATE DEVEL 185962 0 37750 0 1242 0 15476 0 36684 0 277114 0 0 0 JAMES CASSITY VP, CORPORATE OPERATIONS 183151 0 36500 0 540 0 14984 0 22313 0 257488 0 0 0 SAMUEL GREENHALGH JR VICE PRESIDENT & CONTROLLER 178893 0 34000 0 486 0 15062 0 38403 0 266844 0 0 0 LYSSA THADEN MANAGING DIRECTOR, HELIX 155886 0 15000 0 779 0 12877 0 24186 0 208728 0 0 0 ROBERT GREENAWALT MANAGING DIRECTOR, PORTFOLIO MGMT 151490 0 16000 0 1204 0 12970 0 39434 0 221098 0 0 0 TIFFANE COCHRAN MANAGING DIRECTOR, RESEARCH 145297 0 14500 0 424 0 11883 0 12810 0 184914 0 0 0 JENNIFER SCHOTT MANAGING DIRECTOR, FINANCIAL EDU 132194 0 13000 0 422 0 10977 0 2227 0 158820 0 0 0 VALERIE YOUNG MANAGING DIRECTOR, HUMAN RESOURCES 131961 0 13500 0 671 0 9606 0 37686 0 193424 0 0 0 CHRISTOPHER CLEMENTS DIRECTOR, IT ARCHITECTURE 132864 0 2000 0 1035 0 11340 0 37687 0 184926 0 0 0 PART I, LINE 1A THE ORGANIZATION WILL REIMBURSE MEMBERSHIP FEES TO HEALTH CLUBS FOR ALL EMPLOYEES UP TO A MAXIMUM OF $400 PER YEAR FOR ANY EMPLOYEE WHO PROVIDES SUFFICIENT SUBSTANTIATION AS REQUIRED UNDER THE ORGANIZATION'S POLICY RELATED THERETO. PART I, LINE 4B CHRISTOPHER CHAPMAN - $79,714 DEBRA SWARTZ - $29,714 CYNTHIA CASSITY - $6,857 AARON TAYLOR - $4,286 THE ORGANIZATION SPONSORS AN ELIGIBLE DEFERRED COMPENSATION PLAN DESCRIBED IN 457(B) OF THE INTERNAL REVENUE CODE WHICH IS AVAILABLE TO CERTAIN, ELIGIBLE SENIOR EXECUTIVES. UNDER THIS PLAN, ELIGIBLE EXECUTIVES MAY DEFER A PORTION OF THEIR CURRENT YEAR CASH COMPENSATION, SUBJECT TO THE LIMITS IMPOSED BY THE INTERNAL REVENUE CODE FOR SUCH DEFERRALS. THE DEFERRED AMOUNTS REMAIN SUBJECT TO ANY CLAIM OF THE ORGANIZATION'S GENERAL CREDITORS UNTIL DISBURSED PURSUANT TO THE TERMS AND CONDITIONS OF THE PLAN, AND SUBJECT TO ANY OTHER APPLICABLE LAW OR REGULATION. FOR THIS REPORTING PERIOD, CHRISTOPHER CHAPMAN, DEBRA SWARTZ, CYNTHIA CASSITY AND AARON TAYLOR WERE ELIGIBLE TO DEFER COMPENSATION UNDER THE PLAN. THE ORGANIZATION SPONSORS A NONQUALIFIED, SUPPLEMENTAL RETIREMENT PLAN DESCRIBED IN 457(F) OF THE INTERNAL REVENUE CODE WHICH IS AVAILABLE TO CERTAIN, ELIGIBLE SENIOR EXECUTIVES. THE PLAN IS UNFUNDED AND THE ASSETS REMAIN SUBJECT TO SUBSTANTIAL RISK OF FORFEITURE PRIOR TO VESTING AND DISTRIBUTION TO A PARTICIPANT PURSUANT TO THE TERMS AND CONDITIONS OF THE PLAN. FOR THIS REPORTING PERIOD, CHRISTOPHER CHAPMAN, DEBRA SWARTZ, CYNTHIA CASSITY AND AARON TAYLOR WERE EACH ELIGIBLE TO RECEIVE A CONTRIBUTION CREDIT. PART I, LINE 7 THE ORGANIZATION'S CORPORATE EMPLOYEE INCENTIVE PROGRAM (C-EIP) SEEKS (1) TO EMPHASIZE CERTAIN NEAR-TO-MEDIUM TERM ACTIVITIES THAT FURTHER THE COMPANY'S LONG-TERM MISSION, GOALS AND OBJECTIVES; AND (2) TO REWARD EMPLOYEES FOR ATTAINING CERTAIN PERFORMANCE LEVELS RELATING THERETO. EACH ELIGIBLE EMPLOYEE MAY BE AWARDED A BONUS PAYOUT SUBJECT TO THE TERMS AND CONDITIONS OF THIS C-EIP, INCLUDING APPROVAL BY THE COMPENSATION AND BENEFITS COMMITTEE OF THE BOARD OF DIRECTORS. ANY SUCH BONUS PAYOUT WILL BE DISBURSED AFTER ALL REQUIRED APPROVALS AND AFTER SUCH DATE AS MAY BE DETERMINED BY THE ORGANIZATION'S BOARD OF DIRECTORS OR CHIEF EXECUTIVE OFFICER, AS MAY BE APPROPRIATE; HOWEVER, BONUS PAYOUTS TRADITIONALLY HAVE BEEN DISBURSED WITHIN 120 DAYS OF THE FINAL DAY OF THE APPLICABLE FISCAL YEAR. BONUS PAYOUTS ARE DISBURSED PURSUANT TO THE ORGANIZATION'S PAYROLL PROCEDURES AND ARE SUBJECT TO ALL APPLICABLE WITHHOLDING TAXES AND OTHER REQUIRED OR OTHERWISE AUTHORIZED WITHHOLDING, IF ANY. FORM 990, PART VI, SECTION A, LINE 2 BUSINESS RELATIONSHIPS CYNTHIA CASSITY AND JAMES CASSITY HAVE A SPOUSAL RELATIONSHIP AND BOTH SERVE AS OFFICERS OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 6 MEMBERS OR STOCKHOLDERS ACCESSLEX INSTITUTE IS A DELAWARE NONPROFIT, NON-STOCK CORPORATION. IT IS A MEMBERSHIP ORGANIZATION WHOSE MEMBERS, AS MORE SPECIFICALLY DEFINED IN ITS BYLAWS, ARE STATE-OPERATED OR OTHERWISE FEDERALLY TAX-EXEMPT LAW SCHOOLS LOCATED IN THE UNITED STATES THAT ARE APPROVED BY THE COUNCIL ON LEGAL EDUCATION AND ADMISSIONS TO THE BAR OF THE AMERICAN BAR ASSOCIATION. FORM 990, PART VI, SECTION A, LINE 7A MEMBERS OR STOCKHOLDERS WHO MAY ELECT PURSUANT TO THE ORGANIZATION'S BYLAWS, THE BOARD OF DIRECTORS MAY CONSIST OF NOT MORE THAN THIRTEEN DIRECTORS. THE MEMBERS ELECT THE MINIMUM NUMBER OF DIRECTORS NECESSARY TO CONSTITUTE A MAJORITY OF THE TOTAL NUMBER OF DIRECTORS (THE "CLASS A DIRECTORS") THEN AUTHORIZED. THE REMAINING DIRECTORS (THE "CLASS B DIRECTORS") ARE ELECTED BY THE CLASS A DIRECTORS THEN SERVING. FORM 990, PART VI, SECTION A, LINE 7B DECISIONS SUBJECT TO APPROVAL THE ORGANIZATION'S BYLAWS PROVIDE THAT THE MEMBERS MUST APPROVE THE FOLLOWING ACTIONS OF THE BOARD OF DIRECTORS: THE REVOCATION, REPEAL, AMENDMENT, OR MODIFICATION OF CERTAIN PROVISIONS OF THE BYLAWS AND THE REVOCATION, REPEAL, AMENDMENT OR MODIFICATION OF ARTICLE X OF THE ORGANIZATION'S CERTIFICATE OF INCORPORATION, REGARDING DISTRIBUTIONS UPON LIQUIDATION OF THE ORGANIZATION. THE DELAWARE GENERAL CORPORATION LAW ALSO PROVIDES THAT CERTAIN ACTIONS BY THE BOARD OF DIRECTORS BE APPROVED BY THE MEMBERS. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCESS THIS IRS FORM 990 WAS PREPARED BY THE ORGANIZATION'S MANAGEMENT, IN CONSULTATION WITH THE ORGANIZATION'S EXTERNAL TAX ACCOUNTANTS AND ATTORNEYS. PURSUANT TO THE PROVISIONS OF ITS CHARTER, THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS REVIEWED A DRAFT OF THIS FORM 990 AT A MEETING PRIOR TO FILING. A COMPLETE COPY OF THIS FORM 990, INCLUDING ALL REQUIRED SCHEDULES, WAS MADE AVAILABLE TO EACH OF THE ORGANIZATION'S DIRECTORS PRIOR TO ITS FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY MONITORING & ENFORCEMENT THE ORGANIZATION'S CONFLICT OF INTEREST POLICY REQUIRES EACH INTERESTED PERSON (DEFINED AS THE ORGANIZATION'S DIRECTORS, OFFICERS, AND KEY EMPLOYEES) TO DISCLOSE ANY FINANCIAL INTEREST (CERTAIN OWNERSHIP INTEREST OR COMPENSATION ARRANGEMENTS) THEY MAY HAVE IN CONNECTION WITH A PROPOSED TRANSACTION BETWEEN THE ORGANIZATION AND A THIRD PARTY. THE BOARD OF DIRECTORS WILL DETERMINE IF SUCH FINANCIAL INTEREST CONSTITUTES A CONFLICT OF INTEREST AND WILL EMPLOY THE POLICY'S PROCEDURES FOR ADDRESSING ANY SUCH CONFLICT. ALL INTERESTED PERSONS PROVIDE A WRITTEN CERTIFICATION ANNUALLY AFFIRMING THAT THEY HAVE RECEIVED AND UNDERSTAND THE POLICY AND AGREE TO COMPLY WITH IT, AND LISTING ANY CONFLICTS, BUSINESS RELATIONSHIPS OR FAMILY RELATIONSHIPS THAT MAY GIVE RISE TO A CONFLICT. THE AUDIT COMMITTEE OF THE BOARD CONSIDERS ALL DISCLOSED ISSUES AND MANAGEMENT MONITORS AND REPORTS ANY ACTUAL OR POTENTIAL CONFLICTS. FORM 990, PART VI, SECTION B, LINE 15 PROCESS FOR DETERMINING COMPENSATION OF THE PRESIDENT AND CEO THE PROCESS FOR DETERMINING THE COMPENSATION OF THE PRESIDENT AND CEO OF THE ORGANIZATION IS DELEGATED BY THE BOARD OF DIRECTORS TO ITS COMPENSATION AND BENEFITS COMMITTEE, WITH SUCH COMMITTEE COMPRISED OF OUTSIDE, INDEPENDENT DIRECTORS. IT IS THE PRACTICE OF THE COMPENSATION AND BENEFITS COMMITTEE TO REVIEW THE PERFORMANCE OF THE ORGANIZATION'S PRESIDENT AND CEO PERIODICALLY (GENERALLY ON AN ANNUAL BASIS) AND TO PERIODICALLY ENGAGE A THIRD-PARTY, INDEPENDENT COMPENSATION CONSULTANT TO ESTABLISH THE MARKET COMPENSATION RANGE FOR THE POSITION. THIS CONSULTANT GENERALLY ESTABLISHES THIS RANGE BY IDENTIFYING THE COMPENSATION OF A PARALLEL POSITION AT COMPARABLE ORGANIZATIONS AND TAKING VARIOUS FACTORS INTO ACCOUNT, INCLUDING BUT NOT LIMITED TO EACH APPLICABLE ORGANIZATION'S INDUSTRY, GEOGRAPHIC REGION, COMPLEXITY, SIZE, AND TAX STATUS. THE COMPENSATION AND BENEFITS COMMITTEE REVIEWS THE INFORMATION FROM ITS COMPENSATION CONSULTANT AND ANY OTHER RELEVANT INFORMATION, DISCUSSES SUCH INFORMATION OUTSIDE OF THE PRESENCE OF THE PRESIDENT AND CEO, AND AUTHORIZES, ON THE RECORD, ANY CHANGES TO SUCH OFFICER'S COMPENSATION. PROCESS FOR DETERMINING COMPENSATION OF OTHER OFFICERS THE PROCESS FOR DETERMINING THE COMPENSATION OF OTHER OFFICERS OF THE ORGANIZATION GENERALLY FOLLOWS THE PROCESS USED FOR ALL EMPLOYEES, EXCEPT FOR THE CEO AS DESCRIBED IN THE ANSWER TO PART VI, LINE 15B HEREIN. GENERALLY, THE CEO, OR SUCH OTHER PERSON AS MAY BE APPROPRIATE BASED ON MANAGEMENT REPORTING LINES AND OTHER RELEVANT FACTORS, CONDUCTS AN ANNUAL PERFORMANCE REVIEW OF ALL OTHER OFFICERS AND KEY EMPLOYEES, AND COMMUNICATES THE RESULTS OF SUCH REVIEW TO THE REVIEWED OFFICER OR KEY EMPLOYEE. IN ADDITION, THE ORGANIZATION PERIODICALLY ENGAGES A THIRD-PARTY, INDEPENDENT COMPENSATION CONSULTANT TO ESTABLISH THE MARKET COMPENSATION RANGE FOR THE APPLICABLE POSITIONS. THIS CONSULTANT GENERALLY ESTABLISHES THIS RANGE BY IDENTIFYING THE COMPENSATION OF A PARALLEL POSITION AT COMPARABLE ORGANIZATIONS AND TAKING VARIOUS FACTORS INTO ACCOUNT, INCLUDING BUT NOT LIMITED TO EACH APPLICABLE ORGANIZATION'S INDUSTRY, GEOGRAPHIC REGION, COMPLEXITY, SIZE, AND TAX STATUS. THE CEO, GENERALLY IN CONSULTATION WITH THE HUMAN RESOURCES DIVISION, APPROVES THE ESTABLISHMENT OF COMPENSATION LEVELS FOR OFFICERS OR KEY EMPLOYEES AS FOLLOWS: (1) DIRECTLY FOR HIS/HER DIRECT REPORTS, (2) IN CONSULTATION WITH APPLICABLE OFFICERS, FOR OFFICERS AND KEY EMPLOYEES WHO DO NOT DIRECTLY REPORT TO HIM/HER, EXCEPT THAT ANY CHANGES TO THE COMPENSATION OF THE VICE PRESIDENT AND CONTROLLER (AS TOP FINANCIAL EXECUTIVE) AND THE SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER (AS TOP INTERNAL AUDIT EXECUTIVE) ARE SUBJECT TO THE APPROVAL OF THE COMPENSATION AND BENEFIT COMMITTEE. FORM 990, PART VI, SECTION C, LINE 19 HOW DOCUMENTS ARE MADE AVAILABLE TO THE PUBLIC THE ORGANIZATION'S CERTIFICATE OF INCORPORATION IS A PUBLIC DOCUMENT ON FILE WITH THE DELAWARE SECRETARY OF STATE. THE ORGANIZATION DOES NOT MAKE ITS BYLAWS AND CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC. ITS AUDITED FINANCIAL STATEMENTS FOR THE MOST RECENT THREE YEARS ARE FREELY AVAILABLE ON ITS WEBSITE. FORM 990, PART IX, LINE 11G OTHER FEES: PROGRAM SERVICE EXPENSES 10,531,660. MANAGEMENT AND GENERAL EXPENSES 739,882. TOTAL EXPENSES 11,271,542. 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