2020-02-06T07:10:26-06:00 2019-06-30 366055558 Grant Thornton LLP 757 Third Avenue New York NY 100172013 990 2018-07-01 131624158 THE ROCKEFELLER UNIVERSITY ROCK 2123278000 1230 YORK AVENUE NEW YORK NY 100656307 JAMES H LAPPLE VP for Finance, Treasurer 2123278301 2020-02-06 1 P00504182 2125429609 129.85.194.205 2020-02-06 07:57:12 ES P EF06564EDD3382ABD685F47D6348893FAE1777F7 679B0D9C40198846D78DE5F990547A0CAE5C7039 2018 2020-09-23 17:36:50Z Richard P Lifton 1230 York Avenue New York NY 10065 633677343 0 X www.rockefeller.edu X 1901 NY The Rockefeller University (the University) is a world renowned center for research (see schedule O) and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The University's 82 laboratories conduct both clinical and basic research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in nine research areas covering a wide spectrum of disciplines in the life sciences, including neuroscience, immunology, genetics, structural biology and bioinformatics. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. 44 41 1842 0 -6034102 -14822467 298548226 206273540 34861373 33258211 120679734 169023416 42337968 51666548 496427301 460221715 11768166 12027771 0 0 180923713 187601553 0 0 8680286 213057404 382495600 405749283 582124924 90678018 -121903209 3908917821 3904497928 1158350452 1319160976 2750567369 2585336952 X The Rockefeller University (the University) is a world renowned center for research and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The University's 78 laboratories conduct both clinical and basic research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in nine research areas covering a wide spectrum of disciplines in the life sciences, including neuroscience, immunology, genetics, structural biology and bioinformatics. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. 0 0 311159778 12027771 RESEARCH EDUCATION - 78 LABORATORIES INCLUDING 90 FACULTY MEMBERS, 238 POST-DOCTORAL SCHOLARS, 218 GRADUATE STUDENTS AND WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY MEDICAL STUDENTS. 17240400 HOSPITAL - CONSISTS OF 40 BEDS AND SERVES AS A CLINICAL RESEARCH CENTER FOR OUTPATIENTS AND INPATIENTS. THE ROCKEFELLER UNIVERSITY HOSPITAL EXISTS SOLELY TO CONDUCT CLINICAL RESEARCH. THE SPECIALIZED PERSONNEL AND OTHER RESOURCES AVAILABLE AT THE HOSPITAL FACILITATE CLINICAL RESEARCH FOR BOTH THE INVESTIGATOR AND THE RESEARCH PARTICIPANT. 2856694 LIBRARY CONTAINS 240,948 VOLUMES (OF WHICH 189,696 ARE ON-LINE) AND 7,203 ON-LINE SUBSCRIPTIONS AND IS MAINTAINED ON AN OPEN STOCK POLICY. THE LIBRARY STRIVES TO ADVANCE KNOWLEDGE BY SUPPORTING OUR UNIVERSITY'S WORLD CLASS RESEARCH COMMUNITY WITH TECHNOLOGY, INNOVATION, AND COLLABORATION IN THE FIELD OF SCIENCE INFORMATION AND COMMUNICATION. 38885968 9036972 AUXILIARY ENTERPRISES-HOUSING ON CAMPUS FOR SINGLE AND MARRIED STUDENTS;OFF CAMPUS HOUSING FOR FACULTY AND OTHER UNIVERSITY PERSONNEL; FOOD SERVICE CONSISTS OF CAFETERIA DINING FACILITIES; PRESS INCLUDES JOURNALS AND SUBSCRIPTIONS. 38885968 9036972 370142840 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 0 1 0 0 0 1 0 1 1 0 1 1 1 0 0 0 0 0 1 0 1 1 1 1 0 0 0 0 1 0 1 0 1 X 571 0 1 1842 1 1 1 1 VI CJ UK CA JA 0 0 0 0 0 0 0 0 1 0 X 44 41 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MICHAEL P VITALE 2123278704 1230 YORK AVENUE NEW YORK NY 100656307 William A Ackman Trustee 2.00 X 0 0 0 Miriam O Adelson MD Trustee 2.00 X 0 0 0 Allen R Adler Trustee 2.00 X 0 0 0 Holly S Andersen MD Trustee 2.00 X 0 0 0 Robert M Bass Trustee 2.00 X 0 0 0 Edward J Benz Jr MD Trustee 2.00 X 0 0 0 Scott KH Bessent Trustee 2.00 X 0 0 0 Debra Black Trustee 2.00 X 0 0 0 Russell L Carson Trustee, Chair Emeritus 2.00 X 0 0 0 Anna M Chapman MD Trustee 2.00 X 0 0 0 Caroline Rivers Curry Trustee 2.00 X 0 0 0 H Rodgin Cohen Esq Trustee 2.00 X 0 0 0 Andreas C Dracopoulos Trustee, Vice Chair 2.00 X 0 0 0 Katherine Farley Trustee 2.00 X 0 0 0 Michael D Fascitelli Trustee 2.00 X 0 0 0 Peter A Flaherty Trustee 2.00 X 0 0 0 William E Ford Trustee, Chair 2.00 X 0 0 0 Peter T Grauer Trustee 2.00 X 0 0 0 Evan G Greenberg Trustee 2.00 X 0 0 0 Marlene Hess Trustee, Vice Chair 2.00 X 0 0 0 Michael B Hoffman Trustee 2.00 X 0 0 0 Sandra J Horbach Trustee 2.00 X 0 0 0 William I Huyett Jr Trustee 2.00 X 0 0 0 Ajit Jain Trustee 2.00 X 0 0 0 Weslie R Janeway Trustee 2.00 X 0 0 0 Joelle Kayden Trustee 2.00 X 0 0 0 Michael M Kellen Trustee 2.00 X 0 0 0 Henry R Kravis Trustee 2.00 X 0 0 0 Pablo G Legorreta Trustee 2.00 X 0 0 0 Karen M Levy Trustee 2.00 X 0 0 0 Evelyn G Lipper MD Trustee 2.00 X 0 0 0 Linda R Macaulay Trustee 2.00 X 0 0 0 D Scott Mackesy Trustee 2.00 X 0 0 0 Diane Mathis Trustee 2.00 X 0 0 0 Surya N Mohapatra PhD Trustee 2.00 X 0 0 0 Kathryn Murdoch Trustee 2.00 X 0 0 0 Jeremy Nathans MD PhD Trustee 2.00 X 0 0 0 Jonathan M Nelson Trustee 2.00 X 0 0 0 Robin Chemers Neustein Trustee, Vice Chair 2.00 X 0 0 0 Willard J Overlock Jr Trustee 2.00 X 0 0 0 Marnie S Pillsbury Trustee 2.00 X 0 0 0 Michael J Price Trustee 2.00 X 0 0 0 Lewis A Sanders Trustee 2.00 X 0 0 0 John M Shapiro Trustee 2.00 X 0 0 0 Robert K Steel Trustee 2.00 X 0 0 0 Joan A Steitz PhD Trustee 2.00 X 0 0 0 David Sze Trustee 2.00 X 0 0 0 Sandra Tamer Trustee 2.00 X 0 0 0 Lulu C Wang Trustee 2.00 X 0 0 0 Huda Y Zoghbi MD Trustee 2.00 X 0 0 0 Richard P Lifton MD PhD President 50.00 X X 1127080 0 220115 Amy Falls VP & CIO 50.00 X 1326422 0 357344 Barry Coller VP & Physician-in-Chief 50.00 X 643352 0 82295 Maren Imhoff SVP, Development 50.00 X 649585 0 82276 Michael Young VP, Academic Affairs 50.00 X 613737 0 82235 James Lapple VP, Finance & Treasurer 50.00 X 515907 0 65321 Sidney Strickland VP, Education Affairs 50.00 X 435475 0 82296 Virginia Huffman VP, Human Resources 50.00 X 489858 0 82247 Roberta Maloney Asst. VP, Finance 50.00 X 288621 0 91145 Theresa Desmond Spec. Asst/Corp Secretary 50.00 X 183870 0 41227 Timothy O'Connor Executive Vice President 50.00 X 578435 0 64990 Deborah Yeoh VP & General Counsel 50.00 X 466534 0 56375 Robert Roeder Professor, Head of Laborat 50.00 X 561009 0 91341 Thomas Lenehan Deputy CIO 50.00 X 845369 0 253372 Paul Greengard Professor, Head of Laborat 50.00 X 544109 0 82258 Charles M Rice Professor, Head of Laborat 50.00 X 461051 0 65917 Thomas Sakmar Professor, Head of Laborat 50.00 X 463480 0 91261 10193894 0 1892015 327 0 1 0 TURNER CONSTRUCTION CO 375 HUDSON STREET NEW YORK NY 10014 CONSTRUCTION SERVICES 113491387 RAFAEL VINOLY ARCHITECTS PC 50 VANDAM STREET NEW YORK NY 10013 ARCHITECTURAL SERVICES 3940375 RESTURANT ASSOCIATES CORP 120 WEST 45TH STREET NEW YORK NY 10036 FOOD SERVICES 2361010 DANIG CONSTRUCTION INC 82 PARK AVE UNIT 201 GLEN RIDGE NJ 07028 CONSTRUCTION SERVICES 1252537 CTE INCORPORATED 450 WESTBURY AVE CARLE PLACE NY 11514 CLEANING SERVICES 1195573 61 4332281 85072260 116868999 51605512 206273540 Housing 532000 19158123 19158123 Press Operations 511120 9036972 9036972 Food Service 722210 5063116 5063116 33258211 5407595 5407595 43137534 43137534 6048154 0 6048154 6048154 6048154 336516807 172900986 163615821 163615821 -6034102 169649923 179075 4332281 554642 -375567 -375567 Other 900099 1744562 1744562 Reimbursement of Costs 900099 603017 603017 Mortgage Interest 900099 332736 332736 176112 176112 2856427 460221715 9036972 -6034102 250945305 12027771 12027771 6737198 1495929 4634869 606400 125479195 108154560 13446535 3878100 11308761 9498451 1338872 471438 35776146 29453911 5135854 1186381 8300253 7061404 957845 281004 4507478 3057 4504421 403255 71495 331760 67912 67912 1672146 1672146 22462659 21829675 419411 213573 1143822 441997 401736 300089 55097546 54354621 433458 309467 3230955 2369048 422555 439352 25222205 25222205 10564878 9984017 557743 23118 1407584 1262785 135933 8866 2111375 1894177 203899 13299 29060519 28582386 478133 46834878 42831563 3054116 949199 2952253 717752 2234501 Litigation payments 162870099 162870099 Subcontracts 12886036 12886036 582124924 370142840 203301798 8680286 38695 33230 69757641 72839187 430476366 243701417 6229130 6802748 3453827 3605887 29620951 33833780 795899 756195 3117671 3254069 1861549244 655692857 1129349352 1205856387 1285686835 1279900855 919378856 1026023689 4584480 3985948 26428118 23904536 3908917821 3904497928 73094969 55110334 3636226 6710849 709782645 704232262 25000000 25000000 36242943 5115000 310593669 522992531 1158350452 1319160976 X 545177982 635867644 1871794949 1949469308 333594438 0 2750567369 2585336952 3908917821 3904497928 X -121903209 225607 -43552815 X 0 1 X 1 1 1 X 455059063 227522929 206848072 298548226 206273540 1394251830 455059063 227522929 206848072 298548226 206273540 1394251830 147311029 1246940801 39582063 34602350 55723012 44986965 54593283 229487673 3085845 3953251 4452216 3919731 4332281 19743324 1643482827 165774373 0.75870 0.78160 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 67912 0 0 67912 0 Part II-B, Line 1: Lobbying relating to statutes of limitations for certain civil liabilities. 888464 X 0 2045998544 14302877 164735013 112724628 2112311806 1913005463 24492167 208529824 100028910 2045998544 1766474995 6779012 225832477 86081021 1913005463 1801930543 12189791 -13109097 34536242 1766474995 1836421241 4128022 111496070 150114790 1801930543 0.21400 0.17700 0.60900 0 0 32141074 32141074 1721067093 585200450 1135866643 424726 424726 0 106272650 69312444 36960206 1643701 755237 888464 1205856387 Alt Inv-Private-Buyout funds 274549565 F Alt Inv-Private-Natural resources/other 266087443 F Alt Inv-Private-Real estate funds 47875043 F Alt Inv-Private-Venture capital funds 300615150 F Cash Equivalents 136896488 F 1026023689 Amounts held for others 126856510 Conditional asset retirement obligation 8638858 Contingent Liabilities 155691635 Obligation under derivative instruments 153110528 Postretirement benefit obligation 78695000 522992531 X 398631798 225607 -35475815 -35250208 433882006 1672146 24667563 26339709 460221715 564009268 8778695 8778695 555230573 1672146 25222205 26894351 582124924 Part III, Line 4: Works of art are displayed in various locations throughout the campus. Part V, Line 4: The primary role of the endowment is to advance the research mission of the University through support of the annual operating budget. The Investment Committee of the Board of Trustees is responsible for overseeing the endowment. With the support of the Office of Investments, the Committee is responsible for establishing the endowments investment policy and asset allocation; retaining and overseeing external investment managers; and monitoring the implementation and performance of the investment program. The endowments assets are invested in marketable securities, including U.S. and non-U.S. equity and fixed income securities, and private investments, including venture capital, private equity and real assets. The assets are invested by external investment managers through separate accounts or through commingled vehicles, including funds, trusts and limited partnerships. Part X, Line 2: The University is exempt from federal income taxes under the provisions of Section 501(c)(3) of the Internal Revenue Code. The University follows the guidance of ASC 740 10, Accounting for Income Taxes Overall, which addresses accounting for uncertainties in income taxes recognized in an enterprises financial statements. The University utilizes a threshold of more likely-than not for recognition and derecognition of tax positions taken or expected to be taken in a tax return. Part XI, Line 2d - Other Adjustments: Unrealized Net Loss on Derivative Instruments - $(35,475,815) Part XI, Line 4b - Other Adjustments: Fundraising expenses - $(554,642) Royalty payments (netted in Financials) - $25,222,205 Part XII, Line 2d - Other Adjustments: RU Faculty & Students Club, Inc. - NET LOSS - $147,053 Postretirement related changes - $8,077,000 Fundraising expenses - $554,642 Part XII, Line 4b - Other Adjustments: Royalty payments (netted in Financials) - $25,222,205 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Schedule E, Part I, Line 3 It is the policy of The Rockefeller University to support equality of educational and employment opportunity. No individual shall be discriminated against with respect to admission, access, or employment in or to any University program or activity on the basis of race, color, national origin, religion, sex (including gender, gender identity, gender expression, pregnancy, and sexual harassment), disability, age, citizenship status, military status, marital or partnership status, sexual orientation, genetic information, or any other characteristic protected by law. The Rockefeller University is committed to the maintenance of affirmative action programs that will assure the continuation of such equality of opportunity. Schedule E, Part I, Line 6 The University receives financial assistance from the State of New York under the Bundy Aid Program. Europe (Including Iceland & Greenland) - Investments 30066684 Central America & Caribbean Investments 869689040 North America Investments 15418638 Central America & Caribbean Travel 10714 east Asia and the Pacific - Australia, Brunei, Burma, Cambodia, Investments 28453302 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, Travel 209528 Europe (Including Iceland & Greenland) - Albania, Andorra, Austria, Belgium Travel 946780 Middle East and North Africa - Algeria, Bahrain, Djibouti, Egypt, Travel 48619 North America - Canada and Mexico, but not the United States Travel 72589 South America - Argentina, Bolivia, Brazil, Chile, Columbia, Ecuador, Travel 29167 South Asia - Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, Travel 15152 Sub-Saharan Africa - Angola, Benin, Botswana, Burkina Faso, Travel 14645 0 0 0 0 0 0 944843305 131553 944974858 1 0 1 1 1 0 Women & Science Luncheon 1709474 1673599 35875 79847 38156 10694 Parents & Science Benefit 2610007 2485932 124075 146176 96175 58235 1 191875 172750 19125 53953 41047 30359 4511356 4332281 179075 279976 175378 99288 554642 -375567 Form 990, Schedule G, Part II, Fundraising Events The Women & Science program is an important outreach and fundraising initiative of The Rockefeller University. Comprised of a wide circle of friends and benefactors, Women & Science provides support for education and career advancement of scientists in biomedical research and related fields. One component of this initiative is the annual Women & Science Lecture and Luncheon. Form 990, Schedule G, Part II, Fundraising Events The Parents & Science program is an important outreach and fundraising initiative of The Rockefeller University. Parents & Science sponsors events that feature distinguished Rockefeller University scientists and eminent guest speakers from such fields as psychology, medicine, education, and the social sciences. A major focus is emerging discoveries and biomedical breakthroughs that are improving the health and well-being of children. Two components of this initiative are the annual Celebrating Science Benefit and Science Saturday, a community building event which enables parents to bring their children to the University. The "Other Events" listed in Column C in Part II is the Parents and Science Saturday program. 0 1 1 17240400 4611824 12628576 0.02170 17240400 4611824 12628576 0.02170 17240400 4611824 12628576 0.02170 0 0 1 1 The Rockefeller University Hospital 1230 York Avenue New York NY 10065 www.rucares.org X X The Rockefeller University Hospital 1 0 0 1 X X X X X X X X X 18 1 0 0 1 X www.rucares.org X 1 18 1 www.rucares.org 0 0 0 0 0 0 0 0 X 0 0 Part V, Section A: The Rockefeller University Hospital exists solely to conduct clinical research. The specialized personnel and other resources available at the Hospital facilitate clinical research for both the investigator and the research participant. The Hospital's facilities include a licensed 40 bed inpatient unit (14 beds are active) which operates 24 hours a day, 365 days a year. All patient rooms are single occupancy, private accommodations. Specialized facilities include a four-room procedure suite, suitable for endoscopy and biopsy procedures; and an inpatient wireless telemetry system that can remotely monitor any 4 beds at a time. The Robert & Harriet Heilbrunn Outpatient Research Center opened in January 2003 and includes 9 exam rooms, 2 consultation rooms, and 2 phlebotomy rooms, as well as other patient and staff facilities. The Outpatient Research Center is open weekdays from 7AM to 5PM. The Rockefeller University Hospital and Center for Clinical and Translational Science is particularly suitable to conducting studies involving moderate and low acuity patients, as well as high-intensity, high-complexity protocols such as pharmacokinetics and metabolic studies. The Hospital's strengths include a specialized Research Bionutrition Department, Radiology Suite, an on-site Research Pharmacy, and facilities to support long-stay inpatient studies, including a recreation area which offers participants video and computer activities in a safe and comfortable environment. Full clinical laboratory services are provided via contract with Memorial-Sloan Kettering Cancer Center; Radiology and EKG interpretations are provided by arrangement with New York-Presbyterian Hospital; on-site apheresis services are provided by contract. The Hospital is licensed by the State of New York. The Rockefeller University Hospital Part V, Section B, Line 11: Part V, Section B, lines 5 and 11, see Part VI for Community Building Activities. The Rockefeller University Hospital Part V, Section B, Line 21d: See Part V, Section A Explanation Part II, Community Building Activities: The Rockefeller University Hospital is located on the Upper East Side of Manhattan in Community District 8. The Rockefeller University Hospital is a unique institution. As an institution solely committed to conducting clinical research our community/service area is defined as the New York Metropolitan Area. The Rockefeller University Hospital has provided an array of clinical research and patient care services since its founding in 1910. The Rockefeller University Hospital community served/service area is determined based on research being conducted. Principal Investigators identify an area of interest and submit a protocol for review and approval by our institutional review board. If and when the protocol is approved, our recruitment office works with the investigator to develop and submit advertisements in local newspapers, magazines and online. Identification of lucrative places to advertise is determined by current trends in readership among local newspapers, magazines and visits to particular websites such as Craigslist and Facebook. Research participants are culled from all over New York City as well as through collaborations with neighboring hospitals, Universities, and clinics. As a result, our enrolled research participant demographics are similar to those of New York City overall. In calendar year 2018 15% of research participants identified as Hispanic, 33% identified as Black or African-American and 41% identified as white (RUH subject race and ethnicity report 2018), which is similar to the geographic makeup of New York City (42.8% white, 24.3% Black or African-American, and 29.1% Hispanic) https://www.census.gov/quickfacts/fact/table/newyorkcitynewyork,US/PST045218. Part III, Line 9b: THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT HAVE ANY NET PATIENT SERVICE REVENUE AS IT DOES NOT CHARGE ITS PATIENTS. THE PATIENTS ARE SUBJECT VOLUNTEERS WHO GET PAID A STIPEND FOR CERTAIN CLINICAL TRIALS THAT ARE PERFORMED ON A ROUTINE BASIS. Part VI, Line 2: Volunteers (patients) who consent to participate in research studies (protocols) are treated without charge. Unlike most hospitals, the Rockefeller University Hospital does not routinely provide standard diagnostic and treatment services. Admission is selective; research participants (patients) are enrolled in studies by hospital Licensed Independent Practitioners (LIP's) solely because they meet the inclusion criteria of the illness or condition being studied, or because they are healthy volunteers and are also needed for study. Thus, all research participants are volunteers, and as such are important partners in the research process. Without volunteers, significant advances in biomedical knowledge could not otherwise be achieved. Part VI, Line 3: See Part VI, Line 2 explanation Part VI, Line 5: The Rockefeller University Hospital exists solely to conduct clinical research, at no charge to the research participants. 1 FELLOWSHIPS 134 5372624 RESEARCH STIPENDS 181 6655147 Part I, Line 2: Stipends and research fellowships are funds paid to offset living expenses for trainees while they further their education at Rockefeller. These amounts are not considered salary or wages given in consideration for specific job duties nor are they grants given in anticipation of specific scientific achievements on the individuals parts. There is no restriction on the use of the funds once they are received by the trainees. X 1 1 X X X X X 0 1 0 1 0 0 0 1 0 Richard P Lifton MD PhD President 968650 0 0 0 158430 0 47644 0 172471 0 1347195 0 0 0 Amy Falls VP & CIO 577850 0 598847 0 149725 0 313534 0 43810 0 1683766 0 315596 0 Barry Coller VP & Physician-in-Chief 579585 0 0 0 63767 0 47603 0 34692 0 725647 0 0 0 Maren Imhoff SVP, Development 591950 0 0 0 57635 0 47584 0 34692 0 731861 0 0 0 Michael Young VP, Academic Affairs 542170 0 0 0 71567 0 47543 0 34692 0 695972 0 0 0 James Lapple VP, Finance & Treasurer 473050 0 0 0 42857 0 47591 0 17730 0 581228 0 0 0 Sidney Strickland VP, Education Affairs 403200 0 0 0 32275 0 47604 0 34692 0 517771 0 0 0 Virginia Huffman VP, Human Resources 420050 0 0 0 69808 0 47555 0 34692 0 572105 0 0 0 Roberta Maloney Asst. VP, Finance 278150 0 0 0 10471 0 47335 0 43810 0 379766 0 0 0 Theresa Desmond Spec. Asst/Corp Secretary 186600 0 0 0 -2730 0 25039 0 16188 0 225097 0 0 0 Timothy O'Connor Executive Vice President 543600 0 0 0 34835 0 30298 0 34692 0 643425 0 0 0 Deborah Yeoh VP & General Counsel 410000 0 0 0 56534 0 30231 0 26144 0 522909 0 0 0 Robert Roeder Professor, Head of Laborat 475380 0 0 0 85629 0 47531 0 43810 0 652350 0 0 0 Thomas Lenehan Deputy CIO 365700 0 384041 0 95628 0 209562 0 43810 0 1098741 0 204790 0 Paul Greengard Professor, Head of Laborat 505990 0 0 0 38119 0 47566 0 34692 0 626367 0 0 0 Charles M Rice Professor, Head of Laborat 426300 0 0 0 34751 0 47647 0 18270 0 526968 0 0 0 Thomas Sakmar Professor, Head of Laborat 393435 0 0 0 70045 0 47451 0 43810 0 554741 0 0 0 Part I, Line 1a The University provides a residence for the President on campus. The residence is a condition of employment as stated in the President's appointment letter. The house is provided to enable the President to be on campus 24/7 in order to respond to emergent situations that may arise and for other business purposes. Part I, Line 4b The University maintains a 457(b) deferred compensation plan for executive level employees. This plan was developed consistent with the 2001 Economic Growth and Tax Relief Reconciliation Act (EGTRRA). The University does not contribute to the plan (employee contributions only). 2018 employee contributions (not included in column B): Virginia Huffman $18,500 Maren Imhoff $18,500 James Lapple $18,500 Richard Lifton $18,500 Roberta Maloney $24,500 Timothy O'Connor $18,500 Charles Rice $18,500 Robert Roeder $18,500 Sidney Strickland $18,500 Michael Young $18,500 Deborah Yeoh $18,500 Part I, Line 5 The University maintains a bonus plan for the Chief Investment Officer and the Deputy Chief Investment Officer which is partially based upon the fiscal year return of the University's endowment in addition to other quantitative and qualitative measures. The plan was approved by the University's Compensation Committee of the Board of Trustees. The plan was developed using comparative data from similar institutions. For retention purposes, a portion of the annual bonus is deferred and paid in subsequent years. Part I, Line 7 The University maintains a policy to provide recruitment and retention supplements to faculty as necessary. The purpose of this supplement is to provide an incentive for a candidate to join the University and for incumbent faculty to make Rockefeller their professional home, recognizing the high cost of living in the New York metropolitan area over the course of a whole career. The decision whether to grant a supplement and its size will turn on the exceptional quality of the faculty member's research and the strategic needs of the University, and will be made by the President in the exercise of his discretion. No such payments were made to interested persons in 2018. A Dormitory Authority of the State of New York (issue date 013108) 146000293 649903YA3 2008-01-31 103215000 Const. & renov. of campus 0 0 0 B Dormitory Authority of the State of New York (issue date 040809) 146000293 649905BE5 2009-04-08 62119152 Current Refunding 0 0 0 C Dormitory Authority of the State of New York (issue date 081209) 146000293 649905PN0 2009-08-12 101554000 Const. & renov. of campus 0 0 0 D Dormitory Authority of the State of New York (issue date 090110) 146000293 6499053H7 2010-09-01 53818500 Const. & renov. of campus 0 0 0 A 104734474 641319 104093155 2012 0 0 1 1 B 62119152 528854 440098 61150200 1998 1 0 1 1 C 101954676 836150 101118526 2012 0 0 1 1 D 53949167 553621 53395546 2012 0 0 1 1 A 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 1 1 0 0 0 1 B 0 0 1 1 0 0 0 0 1 C 0 0 0 1 0 0 0 1 1 D 0 0 0 1 0 0 0 1 1 A 1 B 1 C 1 D 1 Date Rebate Computation Performed Issuer Name: Dormitory Authority of the State of New York (issue date 01/31 Date the Rebate Computation was Performed: 02/01/2011 Issuer Name: Dormitory Authority of the State of New York (issue date 04/08 Date the Rebate Computation was Performed: 09/27/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 08/12 Date the Rebate Computation was Performed: 11/15/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 09/01 Date the Rebate Computation was Performed: 11/15/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 03/08 Date the Rebate Computation was Performed: 09/27/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 04/04 Date the Rebate Computation was Performed: 09/27/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 05/20 Date the Rebate Computation was Performed: 02/28/2017 Issuer Name: dormitory Authority of the State of New York (issue date 08/3/ Date the Rebate Computation was Performed: 04/08/2019 Part II - line 3 - Total Proceeds (Issue date 1/31/2008) Total Proceeds includes issue price ($103,215,000) + investment income ($1,519,474) Part II - line 3 - Total Proceeds (Issue date 8/12/2009) Total proceeds include issue price ($101,554,000)+ investment income ($400,676) Part II - line 3 - Total Proceeds (Issue date 9/1/2010) Total proceeds consists of issue price ($53,818,500) + investment income ($130,667). Part II - line 3 - Total Proceeds (Issue date 5/20/2015) Total proceeds include issue price ($163,190,000) plus investment income ($183,239) A Dormitory Authority of the State of New York (issue date 030812) 146000293 649906RZ9 2012-03-08 30018979 Current Refunding 0 0 0 B Dormitory Authority of the State of New York (issue date 040412) 146000293 649906SB1 2012-04-04 56441595 Current Refunding 0 0 0 C Dormitory Authority of the State of New York (issue date 052015) 146000293 000000000 2015-05-20 163190000 Current Refunding & const & renov of campus 0 0 0 D dormitory Authority of the State of New York (issue date 08317) 146000293 000000000 2017-08-03 100445000 Current Refunding 0 0 0 A 30018979 390846 257954 29370179 1998 1 0 1 1 B 56441595 321511 465580 55654504 2002 1 0 1 1 C 163373239 445000 100258239 62650000 1 0 0 1 D 100445000 320000 125000 100000000 2012 1 0 1 1 A 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 1 1 0 0 0 0 1 B 0 1 1 1 0 0 0 0 1 C 0 1 1 1 1 0 0 0 1 D 0 1 1 1 1 0 0 0 1 A 1 B 1 C 1 D 1 Virginia Huffman Officer Mortgage Loan X 234000 211178 0 1 1 Maren I Imhoff Officer Mortgage Loan X 300000 106679 0 1 1 James Lapple Officer Mortgage Loan X 1100000 1068730 0 1 1 Roberta Maloney Officer Mortgage Loan X 502932 195503 0 1 1 Harriet Rabb Officer Mortgage Loan X 300000 174592 0 1 1 Sidney Strickland Officer Mortgage Loan X 197528 141206 0 1 1 Michael Young Officer Mortgage Loan X 1238068 1238068 0 1 1 Thomas Sakmar Employee Mortgage Loan X 599000 469931 0 1 1 3605887 Anthony Evnin RU Trustee 504292 The Rockefeller University's endowment is an investor in several partnerships where Anthony Evnin (RU Trustee) is General Partner or Member of the General Partner. Anthony Evnin is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. All transactions are conducted at arms length and at FMV. 0 David Sze RU Trustee 199123 The Rockefeller University's endowment is an investor in several partnerships where David Sze (RU Trustee) is General Partner or Member of the General Partner. David Sze is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. All transactions are conducted at arms length and at FMV. 0 Katherine Farley RU Trustee 7217367 Rockefeller University has a busniess relationship with Turner Construction -- which serves as a general contractor for major capital building projects. Ms. Farley's brother-in-law is President and CEO of Turner Construction. Ms. Farley did not participate in the selection of Turner Construction nor has input into its ongoing fees/compensation. Fees paid to Turner construction in FY 2019 is $7.217.367. 0 X 2 10625 Fair Market Value X 48 6138262 Fair Market Value X Pledges 29 45456625 Net Present Value 0 1 1 Part I, Column (b): Contributions receivable are pledges made in the current fiscal year by donors where the cash has not been received as of June 30, 2019. Part I, Line 32b: The University utilizes a third party to sell gifts of stock that it receives during the fiscal year. Form 990, Part VI, Section B, line 11b The Organization made available to the governing Board of Trustees the completed form 990 on a restricted website prior to submission. Any comments or questions pertaining to the form 990 were sent to the Vice President, Finance or a member of the Audit Committee of the Board of Trustees. The Audit Committee of the Board of Trustee reviewed and approved the form 990 prior to its submission. Form 990, Part VI, Section B, line 12c All members of the University community are covered by the applicable University conflict of interest policies. Trustees, Officers, and Key Employees are covered by the Policy on Business Conflict of Interest and Family/Business Relationships. All other members of the University community are covered by the Conflict of Interest Policy Governing Business Practices. (a) For trustees (including the President), the conflict of interest disclosure form is submitted to the Executive Committee of the Board of Trustees. The Executive Committee, with help from others it may designate, investigates any conflicts or potential conflicts of interest and implements management plans where conflicts or potential conflicts are found to exist. Trustees having made disclosures of current or potential conflict of interest situations may participate in the information-gathering stage of the Executive Committee's review of the disclosures, but will be asked to excuse themselves during the Executive Committee discussion, consideration and vote on the matters in question. (b) For officers and key employees, the conflict of interest disclosure form is submitted to the President. The President, with the help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (c) For heads of laboratory, the conflict of interest disclosure form is submitted to the Vice President for Academic Affairs. The Vice President for Academic Affairs, with help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (d) For all other members of the University community, the conflict of interest disclosure form is submitted to the Vice President for Human Resources. The Vice President for Human Resources, with help from others she may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. Form 990, Part VI, Section B, line 15 Compensation for the President and Officers is established and approved by the Compensation Committee of the Board of Trustees. Such compensation is established through review of comparability data and contemporaneous documentation of the deliberation and decision. The process includes use of an independent compensation consultant, compensation survey of peer institutions and review of other Form 990s. Specific reviews occur on an annual basis. Form 990, Part VI, Section C, line 19 Conflict of interest policy and financial statements are available to the public through the University's website. Form 990, Part XI, line 9: Unrealized Loss on Derivatives - $(35,475,815) -35,475,815. Postretirement related changes - $ (8,077,000) -8,077,000. The Rockefeller University Faculty & Students Club Inc 1230 York Avenue New York NY 10065 Social Club NY 501(c)(7) The Rockefeller University 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 0 THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC M 268360 Actual THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC N 114572 Actual THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC A -235879 Actual Form 990, Schedule R, Part V, #2 The Rockefeller University Faculty and Students Club, Inc. (the Club) is a 501(c)(7) organization that operates a social Club on the campus of The Rockefeller University. The purpose of the Club is to encourage the friendly association of its members and their guests for scientific and other intellectual discourse, and/or pleasure and recreation. The books and records of the Club are maintained by the University. The University collects annual Club dues on behalf of the Club. The Club also relies on certain University systems in order to operate. The Club has a liability to the University which represents the University's subsidized portion of the Club's operations in the amount of $2,576,381 as of June 30, 2019.