2020-03-27T23:54:28-05:00 2019-06-30 346565596 ERNST & YOUNG US LLP 101 E WASHINGTON STREET STE 910 PHOENIX AZ 85004 990 2018-07-01 866050388 UNIVERSITY OF ARIZONA FOUNDATION UNIV 5206213340 1111 NORTH CHERRY AVENUE TUCSON AZ 85721 J CRAIG BARKER SVP, FINANCIAL SVCS 5206213340 2020-03-27 1 PATRICK SHIELDS P01508556 6023223000 70.162.82.4 2020-03-27 23:54:23 MS P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 6C9B1A35775087DBDB8A6D25ECA509C7F6C27838 2018 2020-09-23 17:36:50Z JOHN-PAUL ROCZNIAK 1111 NORTH CHERRY AVENUE TUCSON AZ 85721 332048049 0 X WWW.UAFOUNDATION.ORG X 1958 AZ THE UNIVERSITY OF ARIZONA FOUNDATION IS COMMITTED TO SUPPORTING AND ENHANCING THE VISION, MISSION AND VALUES OF THE UNIVERSITY OF ARIZONA THROUGH THE DEVELOPMENT AND MANAGEMENT OF PRIVATE SUPPORT. 30 29 109 128 593168 0 169484025 155704497 8320038 9952549 32463196 40781625 -1250557 609681 209016702 207048352 69025385 86069054 0 0 8196189 8593357 0 0 8615784 22239363 23264283 99460937 117926694 109555765 89121658 1050898744 1156389462 223187423 230767696 827711321 925621766 THE UNIVERSITY OF ARIZONA FOUNDATION IS COMMITTED TO SUPPORTING AND ENHANCING THE VISION, MISSION AND VALUES OF THE UNIVERSITY OF ARIZONA THROUGH THE DEVELOPMENT AND MANAGEMENT OF PRIVATE SUPPORT. 0 0 91812721 86069054 9952549 THE UNIVERSITY OF ARIZONA FOUNDATION IS COMMITTED TO SUPPORTING AND ENHANCING THE VISION, MISSION AND VALUES OF THE UNIVERSITY OF ARIZONA THROUGH THE DEVELOPMENT AND MANAGEMENT OF PRIVATE SUPPORT. INCORPORATED IN 1958, THE UNIVERSITY OF ARIZONA FOUNDATION PROVIDES ASSISTANCE TO THE UNIVERSITY OF ARIZONA IN TWO MAIN AREAS: FUND-RAISING AND ASSET MANAGEMENT. 91812721 1 1 0 1 0 1 0 1 0 1 1 1 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 1 474 0 1 109 1 1 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 X 30 29 0 0 0 0 0 0 0 1 1 0 1 1 0 1 1 1 1 1 1 1 0 CA X RITA WILLIAMS 5206213027 1111 NORTH CHERRY AVENUE TUCSON AZ 82721 JOHN-PAUL ROCZNIAK PRESIDENT & CEO 40.00 0.00 X X 429298 0 33354 DON A AIRPOLI DIRECTOR 2.00 0.00 X 0 0 0 PATRICIA A BARTLETT SECRETARY 6.00 0.00 X X 0 0 0 BETSEY E BAYLESS DIRECTOR 2.00 0.00 X 0 0 0 CARMEN BERMUDEZ DIRECTOR 2.00 0.00 X 0 0 0 JOHN F CHAVEZ DIRECTOR 2.00 0.00 X 0 0 0 GILBERT Q DAVIDSON DIRECTOR 2.00 0.00 X 0 0 0 ROBERT L DAVIS DIRECTOR 2.00 0.00 X 0 0 0 PATRICIA A ENGELS DIRECTOR 2.00 0.00 X 0 0 0 PETER A FASSEAS DIRECTOR 2.00 0.00 X 0 0 0 BRIAN H FRANKE DIRECTOR 2.00 0.00 X 0 0 0 MICHAEL F HANNLEY TREASURER 6.00 0.00 X X 0 0 0 MAXINE G HENIG DIRECTOR 2.00 0.00 X 0 0 0 TED H HINDERAKER CHAIR 6.00 0.00 X X 0 0 0 DAVID G HUTCHENS DIRECTOR 2.00 0.00 X 0 0 0 ROY A JUDELSON DIRECTOR 2.00 0.00 X 0 0 0 HEATHER LENKIN DIRECTOR 2.00 0.00 X 0 0 0 STEVEN W LYNN VICE CHAIR 6.00 0.00 X X 0 0 0 JOHN J MARIETTI DIRECTOR 2.00 0.00 X 0 0 0 LEA P MARQUEZ PETERSON DIRECTOR 2.00 0.00 X 0 0 0 HARVEY J MASON JR DIRECTOR 2.00 0.00 X 0 0 0 KELLIE TERHUNE NEELY DIRECTOR 2.00 0.00 X 0 0 0 JOHN F PAYNE DIRECTOR 2.00 0.00 X 0 0 0 ROBERT C ROBBINS DIRECTOR 2.00 0.00 X 0 0 0 LINDA B ROBIN DIRECTOR 2.00 0.00 X 0 0 0 JOEY RODOLFO DIRECTOR 2.00 0.00 X 0 0 0 RICHARD H SILVERMAN PAST CHAIR 6.00 0.00 X X 0 0 0 DAVID P SKINNER JR DIRECTOR 2.00 0.00 X 0 0 0 SARAH SMALLHOUSE DIRECTOR 2.00 0.00 X 0 0 0 JON O UNDERWOOD DIRECTOR 2.00 0.00 X 0 0 0 J CRAIG BARKER SR VP, FINANCIAL SERVICES 40.00 0.00 X 295045 0 33301 VICKI B FLEISCHER SR VP, DEVELOPMENT 40.00 0.00 X 224689 0 30527 JENNY R FLYNN SR VP, DEVELOPMENT SERVICE 40.00 0.00 X 220005 0 38887 ANDREA L MILLER SR VP, LEADERSHIP GIVING 40.00 0.00 X 219735 0 22100 RITA M WILLIAMS VP, FINANCIAL SERVICES 40.00 0.00 X 181498 0 29371 JAMES J KROGMEIER ASSOC VP, GIFT PLANNING 40.00 0.00 X 154918 0 34935 EMILY E WALSH ASSOC VP, DEVELOP RESEARCH 40.00 0.00 X 155298 0 27809 LAURIE J CARLIN SR DIR, HR & TALENT 40.00 0.00 X 128293 0 27769 ELIZABETH WARREN-PEDERSON ASST VP MARKETING 40.00 0.00 X 113555 0 7112 CHRISTOPHER F FRAKER SR DIRECTOR PLANNED GIVING 40.00 0.00 X 112852 0 8856 2235186 0 294021 11 0 1 0 BLACKBAUD INC PO BOX 930256 ATLANTA GA 311930256 SOFTWARE CONSULTANTS 746241 JACOBSON CONSULTING APPLICATIONS INC 575 8TH AVE 12TH FL NEW YORK NY 10018 APPLICATION CONSULTING 610832 ION JETS LLC 15220 N 75TH STREET SCOTTSDALE AZ 852602495 TRANSPORTATION SERVICES 413012 FUND EVALUATION GROUP LLC PO BOX 639176 CINCINNATI OH 45263 INVESTMENT SERVICES 396856 KASPICK & COMPANY LLC 203 REDWOOD SHORES PARKWAY REDWOOD CITY CA 94065 ADMIN/ADVISORY SERVICES 290878 15 155704497 4678499 155704497 OTHER PROF SERVICES 541900 5100000 5100000 CONFERENCES & SEMINARS 611710 4852549 4852549 9952549 31608215 31608215 16513 16513 134173107 124999697 9173410 9173410 9173410 K-1 PASS THROUGH 523900 593168 593168 593168 207048352 9952549 593168 40798138 86069054 86069054 2580023 733868 1846155 4569305 2203356 2365949 231167 117297 113870 732164 299489 432675 480698 219968 260730 52907 52907 250349 250349 9000 9000 10367226 10367226 3361590 1528819 1053140 779631 502314 123222 171147 207945 1954715 468796 1366631 119288 1577527 1059395 19839 498293 4449915 2553910 3035 1892970 142722 142722 86470 86470 FEES AND CHARGES 345402 247124 98278 REAL PROP HOLDING COSTS 164146 525 163621 117926694 91812721 17498189 8615784 39566352 98471321 40845939 65734942 5419796 3127734 3346224 2292062 371825805 378172558 592616160 608108719 1694 2696570 3609860 1050898744 1156389462 3841852 7060798 219345571 223706898 223187423 230767696 X 15811730 20517064 139504794 141418733 672394797 763685969 827711321 925621766 1050898744 1156389462 X 89121658 9381955 -593168 X 0 1 X 1 0 X 123673307 75829110 80968962 169484025 155704497 605659901 123673307 75829110 80968962 169484025 155704497 605659901 102839679 502820222 29541904 21019743 20544730 30271659 31624728 133002764 738662665 34273280 0.68070 0.68100 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 9000 9000 117917694 117926694 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 79200 61800 12000 9000 162000 250000 250000 250000 250000 1000000 1500000 SCHEDULE C, PART II-A, LINE 1 THE FOUNDATION ENGAGED DURING FISCAL 2019 ONE PROFESSIONAL SERVICES FIRM TO REPRESENT THE UNIVERSITY OF ARIZONA IN FEDERAL, STATE, AND LOCAL GOVERNMENT AREAS. A PORTION OF THESE SERVICES CONSTITUTE LOBBYING EXPENSES UNDER SECTION 501(H). 1 13929135 2056306 37027538 1 1 X X X X 0 865837700 61970742 26219339 5899815 20111227 928016739 741778420 92253837 55591347 5781096 18004808 865837700 660664491 48338379 55323466 5135624 17412292 741778420 673312944 32655979 -23844092 5133014 16327326 660664491 665399504 27280676 1014055 3984489 16396802 673312944 0.02800 0.97200 0 0 495898 495898 3393328 1950224 1443104 1530570 1177510 353060 2292062 ABSOLUTE RETURN LP & FUNDS 299501177 F PRIV CAPITAL LP 126064305 F COMMODITIES/NATURAL RES LP 109076922 F REIT FUND REAL ESTATE PTSH 73466315 F 608108719 TRUST LIABILITIES 23111021 FMV OF ENDOWMENT MANAGED FOR UNIV 200595877 223706898 X 205491462 9381955 9381955 196109507 10345677 593168 10938845 207048352 107581017 0 107581017 10345677 10345677 117926694 PART III, LINE 4: THE CENTER FOR CREATIVE PHOTOGRAPHY IS AN ARCHIVE AND RESEARCH CENTER LOCATED ON THE UNIVERSITY OF ARIZONA CAMPUS. THE CENTER PROMOTES RESEARCH INTO AND APPRECIATION OF THE PHOTOGRAPHIC MEDIUM WHILE SAFEGUARDING ORIGINAL OBJECTS FOR POSTERITY. PART V, LINE 4: THE PAYOUT FROM THE FOUNDATION ENDOWMENT PROVIDES SCHOLARSHIP, RESEARCH, PROGRAM AND OTHER SUPPORT TO THE UNIVERSITY OF ARIZONA. PART X, LINE 2: ACCOUNTING STANDARDS CODIFICATION (ASC) TOPIC 740, INCOME TAXES, ADDRESSES HOW UNCERTAIN TAX POSITIONS SHOULD BE RECOGNIZED, MEASURED, PRESENTED, AND DISCLOSED IN THE FINANCIAL STATEMENTS. THE GUIDANCE REQUIRES THE ACCOUNTING AND DISCLOSURE OF TAX POSITIONS TAKEN, OR EXPECTED TO BE TAKEN, IN THE COURSE OF PREPARING THE FOUNDATION'S TAX RETURNS TO DETERMINE WHETHER THE TAX POSITIONS ARE MORE-LIKELY-THAN-NOT OF BEING SUSTAINED BY THE APPLICABLE TAX AUTHORITY. MANAGEMENT OF THE FOUNDATION IS REQUIRED TO ANALYZE ALL OPEN TAX YEARS, AS DEFINED BY THE STATUTE OF LIMITATIONS, FOR ALL MAJOR JURISDICTIONS, WHICH INCLUDE THE FEDERAL AND CERTAIN STATES. THE FOUNDATION HAS HAD NO EXAMINATIONS IN PROGRESS AND NON ARE EXPECTED AT THIS TIME. AS OF JUNE 30, 2019, MANAGEMENT OF THE FOUNDATION HAS REVIEWED ALL OPEN TAX YEARS AND MAJOR JURISDICTIONS AND CONCLUDED THERE IS NO TAX LIABILITY RESULTING FROM UNRECOGNIZED TAX BENEFITS RELATING TO UNCERTAIN INCOME TAX POSITIONS TAKEN, OR EXPECTED TO BE TAKEN, IN FUTURE TAX RETURNS. PART XI, LINE 4B - OTHER ADJUSTMENTS: K-1 FLOW THROUGH OF UNRELATED BUSINESS INCOME 593,168 CENTRAL AMERICA/CARIBBEAN 0 0 INVESTMENTS 365421409 EUROPE 0 0 INVESTMENTS 16622307 0 0 0 0 0 0 382043716 0 382043716 1 0 1 1 1 0 1 UNIVERSITY OF ARIZONA 1111 N CHERRY AVENUE TUCSON AZ 85721 742652689 GOVERNMENT 85298762 UNIV. SUPPORT ARIZONA INITIATIVE FOR PUBLIC SERVICE LAW 6700 N ORACLE ROAD TUCSON AZ 85701 831914667 501 (C) 3 297153 GENERAL SUPPORT EXPECT MORE ARIZONA 2415 E CAMELBACK ROAD SUITE 500 PHOENIX AZ 85016 453681012 501 (C) 3 75000 GENERAL SUPPORT NAU FOUNDATION 624 S KNOLES FLAGSTAFF AZ 86011 860193726 501 (C) 3 65833 GENERAL SUPPORT YWCA SOUTHERN ARIZONA 525 N BONITA AVENUE TUCSON AZ 85745 860098937 501 (C) 3 56212 GENERAL SUPPORT YMCA SOUTHERN ARIZONA 525 N BONITA AVENUE TUCSON AZ 85745 860101237 501 (C) 3 49894 GENERAL SUPPORT SOUTHWEST FOLKLIFE ALLIANCE PO BOX 42044 TUCSON AZ 85733 510195434 501 (C) 3 31000 GENERAL SUPPORT THE DUNBAR COALITION INC PO BOX 86132 TUCSON AZ 85705 860776891 501 (C) 3 30330 GENERAL SUPPORT ARIZONA WESTERN COLLEGE PO BOX 0929 YUMA AZ 85366 866051919 GOVERNMENT 28501 GENERAL SUPPORT SISTER JOSE WOMEN'S CENTER PO BOX 1028 TUCSON AZ 85702 461290517 501 (C) 3 27764 GENERAL SUPPORT STEP UP TO JUSTICE 320 N COMMERCE PARK LOOP SUITE 100 TUCSON AZ 85745 813776452 501 (C) 3 24025 GENERAL SUPPORT DINE COLLEGE PO BOX C12 TSAILLE AZ 86556 860215931 GOVERNMENT 21013 GENERAL SUPPORT ISKASHITAA REFUGEE NETWORK 1406 E GRANT ROAD BUILDING 2 TUCSON AZ 85719 455067244 501 (C) 3 10681 GENERAL SUPPORT THE STAR SCHOOL 145 LUEPP ROAD FLAGSTAFF AZ 86004 860710679 501 (C) 3 10000 GENERAL SUPPORT HABITAT FOR HUMANITY 3501 N MOUNTAIN AVENUE TUCSON AZ 85719 942725100 501 (C) 3 9959 GENERAL SUPPORT AYUDA INC PO BOX 2017 SAN ELIZARIO TX 79849 742696297 501 (C) 3 7850 GENERAL SUPPORT EL RIO HEALTH CENTER 839 W CONGRESS STREET TUCSON AZ 85745 860816675 501 (C) 3 6676 GENERAL SUPPORT ALLIANCE FOR GLOBAL JUSTICE 225 E 26TH STREET SUITE 1 TUCSON AZ 85713 522094677 501 (C) 3 6400 GENERAL SUPPORT RED FEATHER DEVELOPMENT GROUP PO BOX 907 BOZEMAN MT 59771 911632134 501 (C) 3 6000 GENERAL SUPPORT THE JACK MARTIN FUND INC C/O UBS FIN SVCS 1285 AVENUE OF THE AMERICAS 17 FL NEW YORK NY 10019 116036408 501 (C) 3 6000 GENERAL SUPPORT 20 0 PART I, LINE 2: FUNDS ARE DEPOSITED IN PURPOSE SPECIFIC ACCOUNTS. WE RELY ON THE EXTENSIVE INTERNAL CONTROL SYSTEM OF THE UNIVERSITY OF ARIZONA FINANCIAL SERVICES OFFICE TO ENSURE CORRECT APPLICATION OF FUNDS ONCE TRANSFERRED TO THE UNIVERSITY. OTHER GRANTS: FUNDS ARE AWARDED SUBJECT TO GRANT AGREEMENTS WHICH REQUIRE PERIODIC REPORTING BACK TO THE FOUNDATION AS TO THE SUCCESSFUL ATTAINMENT/COMPLETION OF THE GOALS AND OBJECTIVES AND THE PROPER USE OF GRANT FUNDS. X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 JOHN-PAUL ROCZNIAK PRESIDENT & CEO 427858 0 0 0 1440 0 14780 0 18574 0 462652 0 0 0 J CRAIG BARKER SR VP, FINANCIAL SERVICES 283605 0 10000 0 1440 0 16159 0 17142 0 328346 0 0 0 VICKI B FLEISCHER SR VP, DEVELOPMENT 213249 0 10000 0 1440 0 12676 0 17851 0 255216 0 0 0 JENNY R FLYNN SR VP, DEVELOPMENT SERVICE 211065 0 7500 0 1440 0 12574 0 26313 0 258892 0 0 0 ANDREA L MILLER SR VP, LEADERSHIP GIVING 210795 0 7500 0 1440 0 12574 0 9526 0 241835 0 0 0 RITA M WILLIAMS VP, FINANCIAL SERVICES 180058 0 0 0 1440 0 10797 0 18574 0 210869 0 0 0 JAMES J KROGMEIER ASSOC VP, GIFT PLANNING 153478 0 0 0 1440 0 8622 0 26313 0 189853 0 0 0 EMILY E WALSH ASSOC VP, DEVELOP RESEARCH 153858 0 0 0 1440 0 9235 0 18574 0 183107 0 0 0 LAURIE J CARLIN SR DIR, HR & TALENT 120853 0 6000 0 1440 0 7700 0 20069 0 156062 0 0 0 PART I, LINE 1A SCHEDULE J, PART I, LINE 1A MEMBERSHIP AT A LOCAL COUNTRY CLUB PROVIDES IMPORTANT INTERACTION WITH DONORS AND KEY CONSTITUENTS. AS A RESULT, THE FOUNDATION PAID FOR DUES AND BUSINESS RELATED EXPENSES FOR THE FOLLOWING OFFICER: JOHN-PAUL ROCZNIAK. X 148 4643499 FMV X 1 35000 FMV 0 1 0 PART I, COLUMN (B): COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS RECEIVED. FORM 990, PART VI, SECTION A, LINE 1 THE BOARD OF TRUSTEES HAS APPOINTED AN EXECUTIVE COMMITTEE WHICH IS COMPRISED OF THE CHAIR OF THE BOARD, THE VICE CHAIR, THE PRESIDENT OF THE CORPORATION AND THE UNIVERSITY OF ARIZONA, THE SENIOR VICE PRESIDENT OF FINANCE OF THE CORPORATION AND UNIVERSITY OF ARIZONA, THE SECRETARY AND THE TREASURER. IN ADDITION, THE BOARD OF TRUSTEES MAY DESIGNATE ONE OR MORE AT-LARGE EXECUTIVE COMMITTEE MEMBERS. TO THE EXTENT PROVIDED IN THE EXECUTIVE COMMITTEE CHARTER, THE EXECUTIVE COMMITTEE SHALL HAVE AND EXERCISE THE AUTHORITY OF THE BOARD OF TRUSTEES. THE EXECUTIVE COMMITTEE REPORTS TO THE BOARD OF TRUSTEES AT EACH OF ITS MEETINGS ON THE ACTIONS TAKEN SINCE THE LAST MEETING OF THE BOARD OF TRUSTEES AND PROVIDES THE BOARD OF TRUSTEES WITH ALL INFORMATION NECESSARY FOR THE BOARD OF TRUSTEES TO CARRY OUT ITS GENERAL DUTY OF OVERSIGHT. FORM 990, PART VI, SECTION B, LINE 11B MANAGEMENT PREPARED THE FORM 990. WE ENGAGED AN INTERNATIONAL PUBLIC ACCOUNTING FIRM TO REVIEW OUR INTERNALLY-PREPARED FORM 990. AFTER THE INTERNATIONAL PUBLIC ACCOUNTING FIRM COMPLETED THEIR REVIEW, MANAGEMENT REVIEWED THE FINAL DRAFT, WHICH WAS THEN SUBMITTED FOR REVIEW BY OUR AUDIT COMMITTEE BEFORE THE FORM WAS FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C EACH MEMBER OF THE BOARD OF TRUSTEES AND EACH OFFICER-EMPLOYEE OF THE FOUNDATION IS ANNUALLY PROVIDED WITH A CONFLICT OF INTEREST ACKNOWLEDGMENT AND DISCLOSURE STATEMENT. SUCH INDIVIDUALS ARE REQUIRED TO REVIEW THESE DOCUMENTS, COMPLETE THEM, AND RETURN THEM TO OUR LEGAL COUNSEL FOR REVIEW. ANY CONFLICTS WHICH PRESENT THEMSELVES DURING THE YEAR ARE REVIEWED BY MANAGEMENT AND SUBMITTED TO THE BOARD FOR RESOLUTION. FORM 990, PART VI, SECTION B, LINE 15 THE FOUNDATION HAS A COMPENSATION COMMITTEE COMPRISED ONLY OF INDEPENDENT TRUSTEES; CONTEMPORANEOUS MINUTES ARE KEPT OF THEIR MEETINGS AND DECISIONS. THE COMMITTEE ENGAGES A COMPENSATION CONSULTANT TO PROVIDE COMPARABILITY DATA AND OTHER GUIDANCE. THE PROCESS WAS LAST COMPLETED JUNE 6, 2019. FORM 990, PART VI, SECTION C, LINE 19 THE FOUNDATION DOES NOT MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY OR AUDITED FINANCIAL STATEMENTS PUBLICLY AVAILABLE. FORM 990, PART XI, LINE 9: K-1 FLOW THROUGH OF UNRELATED BUSINESS INCOME -593,168. UAF REALTY LLC 1111 N CHERRY AVENUE TUCSON AZ 85721 866050388 REAL ESTATE AZ 0 0 UNIVERSITY OF ARIZONA FOUNDATION UAF ELLER DEVELOPMENT LLC 1111 N CHERRY AVENUE TUCSON AZ 85721 866050388 RAISE FUNDS AZ 0 0 UNIVERSITY OF ARIZONA FOUNDATION UAF TECHNOLOGIES AND RESEARCH LLC 1111 N CHERRY AVENUE TUCSON AZ 85721 866050388 TECH TRANSFER AZ 0 0 UNIVERSITY OF ARIZONA FOUNDATION FOUNDATION OF ARIZONA UNIVERSITIES 1111 N CHERRY AVENUE TUCSON AZ 85721 260077306 SUPPORT AZ 501(C)(3) LINE 12A, I N/A 0 CHARITABLE REMAINDER TRUSTS (68) TRUST AZ UNIVERSITY OF ARIZONA FOUNDATION 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0