2021-11-11T15:35:20-06:00 2021-06-30 381357951 PLANTE & MORAN PLLC 8181 E TUFTS AVE SUITE 600 DENVER CO 80237 990 2020-07-01 840509064 COLORADO SCHOOL OF MINES FOUNDATION COLO 3032733143 PO BOX 4005 GOLDEN CO 80401 STEVE KREIDLER VP, FINANCE/CFO 3032733143 2021-11-10 1 STEVE KREIDLER 999009999 DORI J EGGETT P00645252 3037409400 2021-11-08 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z STEVE KREIDLER PO BOX 4005 GOLDEN CO 80401 121398019 0 X N/A X 1951 CO TO PROVIDE FINANCIAL RESOURCE DEVELOPMENT AND SUPPORT TO THE COLORADO SCHOOL OF MINES. 10 10 68 301 -1202005 0 60108602 31995271 3075256 2210503 6239231 17571618 763285 -547028 70186374 51230364 26976081 30119406 0 0 6060091 6177306 0 0 6121124 2780546 2842703 35816718 39139415 34369656 12090949 387126774 498116396 41499146 49631264 345627628 448485132 X TO SUPPORT THE UNIVERSITY, ITS ACADEMIC PROGRAMS, AND ITS STUDENTS, AND TO FOSTER ALUMNI RELATIONS. SEE SCHEDULE O. 1 0 30236192 30119406 2210503 PROVIDE FINANCIAL SUPPORT TO THE COLORADO SCHOOL OF MINESAND ITS VARIOUS DEPARTMENTS. 30236192 1 1 0 1 0 0 0 0 0 1 1 1 0 1 1 1 0 1 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 19 0 1 68 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 CA CO GA MD MA MI MN NH NJ NY PA SC WV WI X STEVE KREIDLER CO CSMF 3032733143 PO BOX 4005 GOLDEN CO 80401 BRIAN WINKELBAUER PRESIDENT/CEO 40.00 X 365782 0 37556 STEVE KREIDLER VP FINANCE, CFO 40.00 1.00 X 225325 0 23471 DOUG MAYO VP ADVANCEMENT 40.00 X 218100 0 29625 MARIANNE BARKER AVP GIFT PLANNING - RETIRED JANUARY 2021 40.00 X 150787 0 15375 DEAN LAATT AVP DEVELOPMENT 40.00 X 146944 0 19773 RCHARD GRAW SR. DIRECTOR LEADERSHIP GIVING 40.00 X 139256 0 25835 REBECCA LEEWAYE AVP FINANCE, TREASURER 40.00 X 139004 0 20483 MICHAEL OBER SR. INFORMATION OFFICER 40.00 X 132334 0 20036 GERALD W GRANDEY CHAIR 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 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 AT LARGE 1.00 X 0 0 0 SANDRA M STASH AT LARGE 1.00 X 0 0 0 1517532 0 192154 15 0 1 0 MONTICELLO ASSOCIATES 1800 LARIMER ST SUITE 2100 DENVER CO 80202 INVESTMENT CONSULTING 250000 COLORADO LEGISLATIVE SERVICES 1410 GRANT ST D110 DENVER CO 80203 LOBBY SERVICES 116208 2 31995271 7821245 31995271 DEVELOPMENT FEE 900099 2200000 2200000 ALUMNI RELATIONS 900099 10503 10503 2210503 943325 943325 9903 9903 86795948 70167655 16628293 16628293 16628293 ADMINISTRATION FEES 523000 572462 572462 OTHER INCOME/LOSS 900099 72612 72612 UNRELATED BUS. INCOME 523000 -1202005 -1202005 -556931 51230364 2855577 -1202005 17581521 30119406 30119406 929074 251813 677261 4322411 839555 3482856 215696 39333 176363 364942 68515 296427 345183 69411 275772 52781 52781 5084 2156 2928 114419 103491 10928 116786 116786 1189536 1189536 134839 134839 228671 228671 281966 43819 238147 217301 36969 180332 32061 404 31657 46626 43778 2848 EVENTS 221357 221357 PREMIUMS 94706 94706 PROFESSIONAL DEV. 72220 40323 31897 RESEARCH MATERIAL 17037 17037 17313 215 17098 39139415 30236192 2782099 6121124 9924182 11570435 4563372 7285888 44783000 40833000 116930 85853 100000 1741754 100000 228435237 308898395 64261287 98380471 1703406 1464960 31597606 29497394 387126774 498116396 2430598 3721038 39068548 45910226 41499146 49631264 X 27725214 45753922 317902414 402731210 345627628 448485132 387126774 498116396 X 12090949 89447867 1318688 X 0 1 X 1 0 X 15519233 15489315 21635704 60108602 31995271 144748125 15519233 15489315 21635704 60108602 31995271 144748125 36764067 107984058 1476534 1950944 2231487 1807633 953228 8419826 513570 503337 647857 664649 645074 2974487 156142438 12050497 0.69160 0.68980 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2016 AMOUNT: $ 37,362. 2017 AMOUNT: $ 36,933. 2018 AMOUNT: $ 66,870. 2019 AMOUNT: $ 75,847. 2020 AMOUNT: $ 72,612. ADMINISTRATION FEES - 2016 AMOUNT: $ 476,208. 2017 AMOUNT: $ 466,404. 2018 AMOUNT: $ 580,987. 2019 AMOUNT: $ 588,802. 2020 AMOUNT: $ 572,462. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 116786 116786 31711967 31828753 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 113351 114485 115630 116786 460252 250000 250000 250000 250000 1000000 1500000 242903234 28104365 86782652 14429835 343360416 245261227 10665023 2401692 15424708 242903234 251722534 7455202 683704 14600213 245261227 239819147 4355213 18580476 11032302 251722534 205966741 5539996 35685884 7373474 239819147 0.15260 0.70920 0.13820 1 0 100000 100000 100000 PARTNERSHIPS INVESTMENTS 98380471 F 98380471 TRUST CONTRIBUTIONS RECEIVABLE 5345656 SPLIT INTEREST AGREEMENTS 9997567 INTEREST IN ENDOWMENT 13805090 INTEREST IN LONG-TERM TRUSTS 230263 PMC NET ASSETS 61564 OTHER ASSETS 2161 INVESTMENT IN COLORADO SCHOOL OF MINES TECHNOLOGY 55093 29497394 SPLIT INTEREST OBLIGATIONS 1490261 GIFT ANNUITY OBLIGATIONS 3297954 ASSETS HELD IN TRUST 41122011 45910226 X 140926833 89447867 1438138 90886005 50040828 1189536 1189536 51230364 38069329 119450 119450 37949879 1189536 1189536 39139415 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, 2021 AND 2020, 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 239,682. CHANGE IN INTEREST IN NET ASSETS OF PROPERTY MANAGEMENT CORP. -3,549. UNRELATED BUSINESS GAIN ON PASS-THROUGH ENTITIES 1,202,005. PART XII, LINE 2D - OTHER ADJUSTMENTS: UNCOLLECTIBLE PLEDGES 119,450. CENTRAL AMERICA/CARIBBEAN INVESTMENTS 14661453 0 0 0 0 0 0 14661453 0 14661453 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 30119406 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 335782 0 30000 0 0 0 20270 0 17286 0 403338 0 0 0 STEVE KREIDLER VP FINANCE, CFO 205325 0 20000 0 0 0 12609 0 10862 0 248796 0 0 0 DOUG MAYO VP ADVANCEMENT 198100 0 20000 0 0 0 12339 0 17286 0 247725 0 0 0 MARIANNE BARKER AVP GIFT PLANNING - RETIRED JANUARY 149287 0 1500 0 0 0 8847 0 6528 0 166162 0 0 0 DEAN LAATT AVP DEVELOPMENT 145444 0 1500 0 0 0 8615 0 11158 0 166717 0 0 0 RCHARD GRAW SR. DIRECTOR LEADERSHIP GIVING 137756 0 1500 0 0 0 8549 0 17286 0 165091 0 0 0 REBECCA LEEWAYE AVP FINANCE, TREASURER 137504 0 1500 0 0 0 8222 0 12261 0 159487 0 0 0 MICHAEL OBER SR. INFORMATION OFFICER 129684 0 2650 0 0 0 7972 0 12064 0 152370 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 GOVERNORS DETERMINE THE BONUS FOR THE CEO BASED ON SURVEY WORK CONDUCTED BY THE CHAIRMAN AND HR CHAIRMAN. X 107 7821245 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 III, LINE 2 IN FY21 THE FOUNDATION TOOK OVER THE FINANCIAL AND BUDGET CONTROL FUNCTIONS FOR THE CSM ALUMNI FOUNDATION, INC. (CSMAF) WHILE RETAINING THEIR 501C3 STATUS, THE CSMAF GIFTED ALL OF THEIR FUNDS TO THE FOUNDATION FOR IMPLEMENTATION AND TO PROVIDE ALUMNI ENGAGEMENT SERVICES. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS REVIEWED IN DETAIL BY THE CHIEF BUSINESS OFFICER, ASSISTANT VP OF FINANCE, AND THE SENIOR ACCOUNTANT. PRIOR TO THE 990 BEING FILED WITH THE IRS A COPY IS PROVIDED TO THE EXECUTIVE COMMITTEE FOR REVIEW WITH THE EXCEPTION OF SCHEDULE B INFORMATION WHICH IS KEPT CONFIDENTIAL. 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 THE GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. THE FINANCIAL STATEMENTS ARE POSTED ON THE FOUNDATION'S WEBSITE. FORM 990, PART XI, LINE 9: CHANGE IN NET PRESENT VALUE OF SPLIT INTEREST AGREEMENTS 239,682. CHANGE IN NET ASSETS OF PROPERTY MANAGEMENT CORP -3,549. UNRELATED BUSINESS LOSS ON PASS-THROUGH ENTITIES 1,202,005. CANCELLATION OF PLEDGES -119,450. CSMF PROPERTY MANAGEMENT CORP 1812 ILLINOIS STREET GOLDEN CO 80401 841266930 RE GIFTS CO 501(C)(3) LINE 12A, I N/A 0 CSM ALUMNI FOUNDATION INC PO BOX 1410 GOLDEN CO 80402 840363288 TO BENEFIT CO SCHOOL OF MINES CO 501(C)(3) LINE 5 N/A 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0