2020-07-15T09:35:24-05:00 2019-08-31 135565207 KPMG LLP 200 EAST RANDOLPH STREET Chicago IL 60601 990 2018-09-01 362167817 Northwestern University NORT 8474913741 633 Clark St Evanston IL 60208 Craig Johnson Senior VP, Business and Finance 2020-07-15 true Tara D'Agostino P01245482 3126651000 2018 2021-01-29 14:40:06Z Craig Johnson 633 Clark St Evanston IL 60208 4633263568 false X www.northwestern.edu X 1851 IL Education and research 39 37 25447 153 -49705471 0 373724245 351726297 2001064987 2132184338 774539687 659790279 -5541174 -35403806 3143787745 3108297108 528829620 562929667 0 1420530610 1439158601 424469 319916 59734000 1007862169 1026748410 2957646868 3029156594 186140877 79140514 15469351745 15193337485 3227581845 3165414208 12241769900 12027923277 Northwestern's mission is to provide the highest-quality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises. false false 2069408589 446888000 1376725682 EDUCATION OF STUDENTS: FOR THE 2019 ACADEMIC YEAR, 8,247 UNDERGRADUATES AND 9,944 GRADUATES AND PROFESSIONAL SCHOOL STUDENTS ENROLLED FULL-TIME AT THE UNIVERSITY. THE EXEMPT PURPOSE OF NORTHWESTERN UNIVERSITY IS TO PROVIDE EDUCATIONAL SERVICES TO ITS STUDENTS. THIS INCLUDES SUPERIOR UNDERGRADUATE EDUCATION FOR A DIVERSE STUDENT BODY IN A COMPREHENSIVE RANGE OF ACADEMIC AND PROFESSIONAL FIELDS. AT THE GRADUATE LEVEL, NORTHWESTERN'S ROLE ENCOMPASSES OFFERINGS IN THE MAJOR ACADEMIC AND PROFESSIONAL FIELDS, CLOSELY RELATED TO RESEARCH, CREATIVE ACTIVITIES, AND CLINICAL SERVICES. 512180000 116041667 666907082 RESEARCH ACTIVITIES: THE RESEARCH PROGRAM AT NORTHWESTERN UNIVERSITY IS A MAJOR COMPONENT OF UNIVERSITY EFFORTS, ASSURING INSTITUTIONAL LEADERSHIP IN SCIENTIFIC DISCOVERY, INTELLECTUAL INQUIRY, AND CREATIVE PERFORMANCE. THE CHARACTER OF THIS RESEARCH SHAPES ALL AREAS OF UNIVERSITY ENDEAVOR, ESPECIALLY GRADUATE EDUCATION AS WELL AS UNDERGRADUATE STUDIES. 153283000 92131498 AUXILIARY ENTERPRISES SERVE THE EDUCATIONAL MISSION BY PRIMARILY PROVIDING RESIDENCES AND FOOD SERVICES, AND OTHER VARIOUS GOODS AND SERVICES TO SUPPORT UNIVERSITY STUDENT, FACULTY, AND STAFF ACTIVITIES. 2734871589 true true false true true false true true true true true false false true true false true true true true true true true true false false true true true true false false false false false true true false true true true true false false true true true true false false true X 24430 0 true 25447 true true true true QA UK false false false true true true false false false false false false true true X 39 37 true true true false false false false true true false false true true true true true true true true true false CA CO MD MA MI NH OK OR SC X Nicole Van Laan Controller 8474914722 619 Clark St Evanston IL 60208 Peter J Barris Trustee 1.0 X 0 0 0 Carol L Bernick Trustee 1.0 X 0 0 0 Christine E Brennan Trustee 1.0 X 0 0 0 A Steven Crown Trustee 1.0 X 0 0 0 Deborah L DeHaas Trustee 1.0 X 0 0 0 D Cameron Findlay Trustee 1.0 X 0 0 0 Dennis J FitzSimons Trustee 1.0 X 0 0 0 T Bondurant French Trustee 1.0 X 0 0 0 Christopher B Galvin Trustee 1.0 X 0 0 0 H Patrick Hackett Jr Trustee 1.0 X 0 0 0 Jay C Hoag Trustee 1.0 X 0 0 0 Nancy Trienens Kaehler Trustee 1.0 X 0 0 0 Adam Karr Trustee 1.0 X 0 0 0 Harreld N Kirkpatrick III Trustee 1.0 X 0 0 0 Ellen Kullman Trustee 1.0 X 0 0 0 J Landis Martin Trustee 1.0 X 0 0 0 Wendy M Nelson Trustee 1.0 X 0 0 0 William A Osborn Trustee 1.0 X 0 0 0 Jane DiRenzo Pigott Trustee 1.0 X 0 0 0 JB Pritzker Trustee 1.0 X 0 0 0 Kimberly Querrey Trustee 1.0 X 0 0 0 M Jude Reyes Trustee 1.0 X 0 0 0 Patrick G Ryan Jr Trustee 1.0 X 0 0 0 David A Sachs Trustee 1.0 X 0 0 0 E Scott Santi Trustee 1.0 X 0 0 0 Muneer A Satter Trustee 1.0 X 0 0 0 Andrew E Senyei MD Trustee 1.0 X 0 0 0 Michael S Shannon Trustee 1.0 X 0 0 0 Gwenn E Shotwell Trustee 1.0 X 0 0 0 Timothy P Sullivan Trustee 1.0 X 0 0 0 Charles A Tribbett III Trustee 1.0 X 0 0 0 Jeffrey W Ubben Trustee 1.0 X 0 0 0 Frederick H Waddell Trustee 1.0 X 0 0 0 David B Weinberg Trustee 1.0 X 0 0 0 Miles D White Trustee 1.0 X 0 0 0 Stephen R Wilson Trustee 1.0 X 0 0 0 Steven Cahillane Trustee 1.0 X 0 0 0 Paula Pretlow Trustee 1.0 X 0 0 0 Virginia Rometty Trustee 1.0 X 0 0 0 Morton O Schapiro President 40.0 X 1657209 0 532387 Jonathan Holloway Provost 40.0 X 839607 0 80168 Pamela S Beemer VP for Human Resources 40.0 X 429236 0 32200 Paul Castellucci VP Budget and Planning 40.0 X 431879 0 28241 Alex Darragh VP for Facilities Management 40.0 X 241891 0 0 Stephanie Graham VP General Counsel 40.0 X 477332 0 116783 Devora Grynspan VP International Relations 40.0 X 245546 0 35185 Philip L Harris VP General Counsel 40.0 X 844252 0 96883 Craig A Johnson Senior Vice President 40.0 X 844062 0 147041 Marilyn McCoy VP Administration & Planning 40.0 X 475165 0 51754 William H McLean VP and Chief Investment Officer 40.0 X 1477223 0 448787 Robert E McQuinn VP for Development 40.0 X 934186 0 261267 Eric G Neilson VP Medical Affairs 30.0 X 601415 0 23081 Julie Payne-Kirchmeier VP for Student Affairs 40.0 X 252907 0 26346 James J Phillips VP Athletics 40.0 X 2142413 0 185260 Sean Reynolds VP and Chief Information Officer 40.0 X 536972 0 35506 Patricia Telles-Irvin VP Student Affairs 40.0 X 527031 0 54738 Joseph T Walsh Jr VP for Research 40.0 X 402812 0 85313 Jeri Ward VP Global Marketing 40.0 X 117091 0 1165 Patrick W Fitzgerald II Head Coach 40.0 X 5158681 0 59977 Christopher R Collins Head Coach 40.0 X 2801920 0 90491 Maciej S Lesniak Professor Neurological Surgery 40.0 X 1455773 0 26190 Florian Zettelmeyer Professor, Kellogg 40.0 X 1289497 0 35506 Eric T Anderson Professor, Kellogg 40.0 X 1262825 0 85464 Daniel I Linzer Former Provost 0.0 X 1042101 0 51660 Ingrid S Stafford Former VP for Financial Operations 40.0 X 366994 0 31448 Alan Cubbage Former VP University Relations 0.0 X 364712 0 42834 Nimalan Chinniah Former Executive Vice President 0.0 X 688255 0 31566 John L D'Angelo Former VP for Facilities Management 0.0 X 822498 0 40220 28731485 0 2737461 3447 true true true The Family Institute 618 Library Pl Evanston IL 60201 Instruction services 17299667 NORTHWESTERN MEMORIAL HOSPITAL 251 EAST HURON CHICAGO IL 60611 Clinical services 4741676 Jenner & Block LLP 353 North Clark Street Chicago IL 60654 Legal services 4132651 The Free Enterprise System Inc One Sodrel Drive Jeffersonville IN 47130 transportation services 3515979 Allied Universal Security Services 161 Washington St Conshohocken PA 19428 security services 2807116 457 X 2640882 30641685 318443730 26143681 351726297 Tuition and fees 611310 1124214912 1124214912 Research activities 611310 666907082 666907082 Educational activities 611310 192976079 192976079 Auxiliary enterprises 611310 92131498 92131498 Medical activities 611310 41795397 41795397 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549545 1370565 1386550 789898 579376 4675934 2705522630 9548484640 0.5614 0.385 X Schedule A, Part II, Line 10 Other Income DESCRIPTION - FUNDRAISING, COLUMN A - 549545.0, COLUMN B - 1370565.0, COLUMN C - 1386550.0, COLUMN D - 789898.0, COLUMN E - 579376.0, COLUMN F - 4675934.0; RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 628789 628789 3028241168 3028869957 1000000 0 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 693210 545895 672552 628789 2540446 250000 250000 250000 250000 1000000 1500000 0 0 0 0 0 2 1 459502 0 267550 0 7032363 2981918 true true X X X X false false true X 8386918000 81883000 144332000 62062353 306252647 8244818000 7947574000 142330000 666151000 59278629 309858371 8386918000 7478167000 137388000 699060000 57423395 309617605 7947574000 7588029000 210532000 75343000 54569108 341167892 7478167000 7501116000 269199000 157310000 53907452 285688548 0 7588029000 0.5 0.5 0.0 false false 31036168 31036168 4532394665 1452112560 3080282105 40560689 22650383 17910306 663544078 472410091 191133987 3320362566 2849942955 F Equity, fixed income, real assets, etc 6501107125 F 9351050080 5000000 Deposits payable, actuarial liability of annuities payable 129753419 Government advances for student loans 19063615 Asset retirement obligations 3508088 Taxable bonds - series 2012 199116850 Taxable bonds - series 2013 558666239 Taxable bonds - series 2015 497427198 Taxable bonds - series 2017 497541995 Other debt payable - lines of credit 85000000 1995077404 X Schedule D, Part III, Line 1a ART COLLECTIONS EXPLANATION: THE UNIVERSITY DOES NOT CAPITALIZE COLLECTIONS. AS STATED IN THE UNIVERSITY NOTES TO THE FINANCIAL STATEMENTS, THE ACCOUNTING POLICY FOR LIBRARY COLLECTIONS IS TO EXPENSE ALL PURCHASES. MUSEUM PURCHASES ARE ACCOUNTED FOR SIMILARLY. GIFTS OF ART AND SIMILAR TANGIBLE PERSONAL PROPERTY ARE ACCOUNTED FOR AS GIFTS-IN-KIND. Schedule D, Part X LINE 1(4) - ASSET RETIREMENT OBLIGATIONS THE UNIVERSITY RECORDS ALL KNOWN ASSET RETIREMENT OBLIGATIONS (ARO) FOR WHICH THE FAIR VALUE OF THE LIABILITY CAN BE REASONABLY ESTIMATED, INCLUDING CERTAIN OBLIGATIONS RELATING TO REGULATORY REMEDIATION. ARO COVERED INCLUDE THOSE FOR WHICH AN ENTITY HAS A LEGAL OBLIGATION TO PERFORM AN ASSET RETIREMENT ACTIVITY; HOWEVER, THE TIMING AND/OR METHOD OF SETTLING THE OBLIGATION ARE CONDITIONAL ON A FUTURE EVENT THAT MAY OR MAY NOT BE WITHIN THE CONTROL OF THE ENTITY. Schedule D, Part III, Line 4 Collections of art - description of collections The Mary and Leigh Block Museum of Art, Northwestern University is committed to the development of a focused collection of works on paper with particular emphasis upon historical and contemporary prints and photographs. The Mary and Leigh Block Museum of Art enriches teaching and learning on the campuses of Northwestern University and in the communities of their surrounding regions by: Presenting art across time, cultures, and media; Convening interdisciplinary discussions in which art is a springboard for exploring issues and ideas; Collecting art that supports the Northwestern University curriculum. Schedule D, Part IV, Line 2b Explanation of escrow agreement The University maintains certain agency funds which it holds as a custodian for student and /or external organizations as an accommodation to those entities. The organizations are then allowed to utilize University systems and resources to process transactions against those funds. Schedule D, Part V, Line 4 Intended uses of endowment funds The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction. Schedule D, Part X, Line 2 FIN 48 (ASC 740) footnote The University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the "more likely than not" standard for sustainability on examination by tax authorities. true true true true true true true false false false false false false false false true false true Schedule E, Part I, Line 3 RACIALLY NONDISCRIMINATORY POLICY Policies are included in student, faculty, and staff handbooks, the student course catalog and annually printed in the school newspaper. Policies are posted on University websites, posted throughout campus including student centers and the admissions office, and distributed to undergraduate students. Schedule E, Part I, Line 6(a) FINANCIAL AID OR ASSISTANCE FROM A GOVERNMENT The University receives financial support from agencies of the federal and state government for research and instructional purposes, including for financial aid to students. Schedule E, Part I, Line 7 RACIAL NONDISCRIMINATION COMPLIANCE NORTHWESTERN UNIVERSITY DOES NOT DISCRIMINATE OR PERMIT DISCRIMINATION BY ANY MEMBER OF ITS COMMUNITY AGAINST ANY INDIVIDUAL ON THE BASIS OF RACE, COLOR, RELIGION, NATIONAL ORIGIN, SEX, PREGNANCY, SEXUAL ORIENTATION, GENDER IDENTITY, GENDER EXPRESSION, PARENTAL STATUS, MARITAL STATUS, AGE, DISABILITY, CITIZENSHIP STATUS, OR VETERAN STATUS, OR GENETIC INFORMATION, OR ANY OTHER CLASSIFICATION PROTECTED BY LAW IN MATTERS OF ADMISSIONS, EMPLOYMENT, HOUSING, OR SERVICES OR IN THE EDUCATIONAL PROGRAMS OR ACTIVITIES IT OPERATES. true Middle East and North Africa 1 275 ,Maintaining offices, employees, or agents International campus in Doha, Qatar for students in journalism and communication 55442400 East Asia and the Pacific 0 0 Grantmaking 608486 Europe (Including Iceland and Greenland) 0 0 Grantmaking 2899348 Middle East and North Africa 0 0 Grantmaking 136746 North America (Canada & Mexico only) 0 0 Grantmaking 841637 Russia and Neighboring States 0 0 Grantmaking 35099 South America 0 0 Grantmaking 56374 South Asia 0 0 Grantmaking 49942 Sub-Saharan Africa 0 0 Grantmaking 2022767 Europe (Including Iceland and Greenland) 0 0 ,Program-Related Investments 48668 Central America and the Caribbean 0 0 Unrelated Business Activities 418 East Asia and the Pacific 0 0 Unrelated Business Activities 327 Europe (Including Iceland and Greenland) 0 0 Unrelated Business Activities 19233 Middle East and North Africa 0 0 Unrelated Business Activities 1459 North America (Canada & Mexico only) 0 0 Unrelated Business Activities 2201 South America 0 0 Unrelated Business Activities 1954 Sub-Saharan Africa 0 0 Unrelated Business Activities 3195 Antarctica 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 403 Central America and the Caribbean 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 58559 East Asia and the Pacific 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 1962021 Europe (Including Iceland and Greenland) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 3791904 Middle East and North Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 790754 North America (Canada & Mexico only) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 483612 Russia and Neighboring States 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 33830 South America 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 264680 South Asia 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 167051 Sub-Saharan Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 475920 Central America and the Caribbean 0 0 Program Services Study abroad programs and courses abroad 253929 East Asia and the Pacific 0 0 Program Services Study abroad programs and courses abroad 3418318 Europe (Including Iceland and Greenland) 0 0 Program Services Study abroad programs and courses abroad 3422038 Middle East and North Africa 0 0 Program Services Study abroad programs and courses abroad 729607 North America (Canada & Mexico only) 0 0 Program Services Study abroad programs and courses abroad 729918 South America 0 0 Program Services Study abroad programs and courses abroad 407858 South Asia 0 0 Program Services Study abroad programs and courses abroad 49802 Sub-Saharan Africa 0 0 Program Services Study abroad programs and courses abroad 862793 East Asia and the Pacific 0 0 Fundraising 237472 Europe (Including Iceland and Greenland) 0 0 Fundraising 90409 Middle East and North Africa 0 0 Fundraising 14200 North America (Canada & Mexico only) 0 0 Fundraising 3507 Central America and the Caribbean 0 0 Investments 2695060000 Europe (Including Iceland and Greenland) 0 0 Investments 354330000 North America (Canada & Mexico only) 0 0 Investments 87080000 Sub-Saharan Africa 0 0 Investments 144010000 1 275 0 0 1 275 62167059 3298731780 3360898839 North America (Canada & Mexico only) Support of research activities 15975 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 19455 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 296289 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 42174 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 321876 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 38837 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 14727 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 28081 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 149777 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 10065 ACH Direct Deposit or Check Middle East and North Africa Support of research activities 81186 ACH Direct Deposit or Check South Asia Support of charitable organization 18000 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 75651 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 53574 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 147747 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 17329 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 160188 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 11640 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 27178 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 95170 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 5285 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 16112 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 476836 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 373501 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 509347 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 40014 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 144959 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 290567 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 24437 ACH Direct Deposit or Check East Asia and the Pacific Support of research activities 60544 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 14761 ACH Direct Deposit or Check 3 28 Grants disbursed during student's enrollment in international program East Asia and the Pacific 40 547942 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Europe (Including Iceland and Greenland) 155 2316631 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Middle East and North Africa 8 55560 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program North America (Canada & Mexico only) 2 18902 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Russia and Neighboring States 2 35099 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South America 15 56374 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South Asia 2 31942 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Sub-Saharan Africa 7 6667 Applied to student account; credits are refunded by check true false true true true true Schedule F, Part I, Line 2 Procedures for monitoring use of grant funds Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. Schedule F, Part II, Line 1 Method used to account for cash grants In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, Line 1. Of the 31 organizations that received grants in Part II, 23 are universities, colleges, and hospitals; 4 are research centers; and 3 are section 501(c)(3) organizations. Schedule F, Part III(c) Estimated number of recipients Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the date of the applicable study abroad program. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c). Schedule F, Part I, Line 1 Program Services The program services listed in Part I reflect international educational programs in which the University has material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its students' access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f). Schedule F, Part I, Line 3(f) Method used to account for expenditures Expenditures reported in Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f) X X X X X X X true Alexander Ross Group 2406 Prairie Ave Evanston IL 60201 Fundraising campaign consultant false 175000 -175000 Stelter 10435 New York Ave Des Moines IA 50322 Fundraising marketing consultant false 74265 -74265 Meeting Achievements 232 E 500 N Valparaiso IN 463838384 Symposium sponsorship solicitor true 857578 70651 786927 857578 319916 537662 CA CO CT DE DC FL GA AL HI ID IL IN IA KS KY LA ME AK MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA AZ RI SC SD TN TX UT VT VA WA WV WI WY Dance Marathon 1012979 954104 58875 95440 3000 12019 Global Health Benefit 1128305 1102235 26070 66657 925 11718 14 1078974 584543 494431 133492 70824 2049 87177 3220258 2640882 579376 228932 137481 5974 110914 483301 96075 Schedule G, Part I, Line 3 State Solicitation Registrations No registration is required in Arizona, Delaware, Idaho, Indiana, Nebraska, South Dakota, Texas, Vermont, and Wyoming. Schedule G, Part I, Line 2b(v) Reimbursement of Expenses The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed as reflected): Alexander Ross Group ($8,750), Stelter ($6,900), and Meeting Achievements ($4,306) all in accordance with written agreements specifying reimbursement of expenses. Schedule G, Part I, Line 2b(ii) Describe the custody or control arrangement. MEETING ACHIEVEMENTS-MEETING ACHIEVEMENTS RECEIVED $282,703 OF FUNDS ON BEHALF OF THE UNIVERSITY AND REMITTED THE ENTIRE AMOUNT TO THE UNIVERSITY.; Schedule G, Part I, Line 2b(v) payment of fees or payment of expenses ALEXANDER ROSS GROUP-ALEXANDER ROSS GROUP RECEIVED $8,750 FOR EXPENSES AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.;STELTER-STELTER RECEIVED REIMBURSEMENTS FOR EXPENSES OF $6,900 AS AGREED FOR PRINTING AND POSTAGE IN ASSOCIATION WITH THE SERVICES PROVIDED TO THE UNIVERSITY.;MEETING ACHIEVEMENTS-MEETING ACHIEVEMENTS RECEIVED REIMBURSEMENTS FOR EXPENSES OF $4,306 AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.; true Access Community Health Network 222 N Canal St Chicago IL 60606 363317058 501(c)(3) 75885 Support of research activities Actualize Therapy LLC 222 W Merchandise Mart Plz Ste 1230 Chicago IL 60654 833893883 25705 Support of research activities Adventist Health SystemSunbelt Inc 601 E Rollins St Orlando FL 32803 591479658 501(c)(3) 15142 Support of research activities Aging & In-Home Services of Northeast Indiana Inc 2927 Lake Avenue Fort Wayne IN 46805 351341437 501(c)(3) 7310 Support of research activities AHS Hospital Corp 475 South Street Morristown NJ 07962 521958352 13905 Support of research activities AIDS Arms Inc 219 Sunset Ave Dallas TX 75208 752306145 501(c)(3) 276415 Support of research activities Albany Medical College 47 New Scotland Ave MC70 Albany NY 12208 141338310 501(c)(3) 50914 Support of research activities Albert Einstein College of Medicine Inc 1300 Morris Park Avenue Bronx NY 10461 472209056 501(c)(3) 61818 Support of research activities Alliance of Chicago Community Health Services LLC 215 W Ohio St 4th Floor Chicago IL 60654 364444309 1630925 Support of research activities American Enterprise Institute for Public Policy Research 1789 Massachusetts Avenue NW Washington DC 20036 530218495 92963 Support of research activities American Institutes for Research 1000 Thomas Jefferson St NW Washington DC 20007 250965219 501(c)(3) 27521 Support of research activities AnitaBorg 1301 Shoreway Road Ste 425 Belmont CA 94002 770480427 501(c)(3) 7000 Support of community organization Ann & Robert H Lurie Children's Hospital of Chicago 225 E Chicago Avenue Chicago IL 60611 362170833 501(c)(3) 4882404 Support of research activities Ascend Justice 555 W Harrison St 1900 Chicago IL 60607 363647731 501(c)(3) 55442 Support of community organization ASM International 9639 Kinsman Road Materials Park OH 44073 346541397 501(c)(3) 138000 Support of research activities Banner Health 10515 W Santa Fe Drive Sun City AZ 85351 450233470 501(c)(3) 9145 Support of research activities Baylor College of Medicine 1 Baylor Plaza Houston TX 77030 741613878 501(c)(3) 184494 Support of research activities Beckman Research Institute of the City of Hope 1500 East Duarte Road Duarte CA 91010 953432210 501(c)(3) 46371 Support of research activities Beth Israel Deaconess Medical Center 330 Brookline Avenue E/ES-214 Boston MA 022155399 042103881 501(c)(3) 70314 Support of research activities Blessings in a Backpack 4121 Shelbyville Road Louisville KY 40207 261964620 501(c)(3) 37439 Support of community organization Boston Medical Center One Boston Medical Center Pl Boston MA 02118 043314093 501(c)(3) 1018496 Support of research activities Boston University One Silber Way Boston MA 02115 042103547 501(c)(3) 494132 Support of research activities Boys & Girls Clubs of Chicago 550 W Van Buren Street Chicago IL 60607 362166997 501(c)(3) 55913 Support of research activities BrainUp PO Box 244 Frankfort IL 60423 475516802 501(c)(3) 10000 Support of community organization Brigham and Women's Hospital 75 Francis St Boston MA 02115 042312909 501(c)(3) 283436 Support of research activities Brigham Young University A-285 ASB Provo UT 846021231 870217280 501(c)(3) 5609 Support of research activities Broad Institute Inc 7 Cambridge Center Cambridge MA 021421401 263428781 501(c)(3) 224715 Support of research 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activities University of Pittsburgh 4227 Fifth Ave Pittsburgh PA 15260 250965591 501(c)(3) 727074 Support of research activities University of Puerto Rico Medical Sciences Campus P O Box 365067 San Juan PR 009365067 660433760 186189 Support of research activities University of Rochester 518 Hylan Building Rochester NY 14627 160743209 501(c)(3) 1888995 Support of research activities University of South Florida - Tampa 4202 E Fowler Ave Tampa FL 33620 593102112 115 81660 Support of research activities University of Southern California 1540 Alcazar St Los Angeles CA 90089 951642394 501(c)(3) 467341 Support of research activities University of Tennessee Health Science Center 62 S Dunlap Memphis TN 381630001 626001636 115 16393 Support of research activities University of Texas at Austin 2100 San Jacinto Blvd Austin TX 78712 746000203 115 892386 Support of research activities University of Texas at San Antonio One UTSA Circle San Antonio TX 78249 741717115 115 18000 Support of research activities University of Texas Health Science Center at Houston 7000 Fannin UCT 1006 Houston TX 77030 741761309 115 6930 Support of research activities University of Texas Medical Branch at Galveston 301 University Boulevard Galveston TX 775550657 746000949 501(c)(3) 16068 Support of research activities University of Texas Southwestern Med Ctr at Dallas 5323 Harry Hines Blvd Dallas TX 75390 756002868 115 305826 Support of research activities University of Utah 201 S 1460 E Salt Lake City UT 84112 876000121 115 547408 Support of research activities University of Virginia 1 College Park Wise VA 24293 546001796 115 857935 Support of research activities University of Washington 1410 NE Campus Parkway Seattle WA 98195 916001537 115 659620 Support of research activities University of Wisconsin-Madison 750 University Avenue 4th Floor Madison WI 537061490 391805963 501(c)(3) 763655 Support of research activities Van Andel Research Institute 333 Bostwick Ave NE Grand Rapids MI 49503 522000823 501(c)(3) 78656 Support of research activities Vanderbilt University 2201 West End Ave Nashville TN 37235 620476822 501(c)(3) 1070193 Support of research activities Village of Skokie Health Department 5127 Oakton Street Skokie IL 60077 366006103 115 144271 Support of research activities Virginia Commonwealth University PO Box 980568 Richmond VA 232980568 546001758 501(c)(3) 12459 Support of research activities Virginia Polytechnic Institute and State University Office of Sponsored Programs Blacksburg VA 24061 546001805 501(c)(3) 135653 Support of research activities Wake Forest University Health Sciences 1834 Wake Forest Rd WinstonSalem NC 27106 900222618 501(c)(3) 15818 Support of research activities Washington University in St Louis One Brookings Dr St Louis MO 63130 430653611 501(c)(3) 876474 Support of research activities Wayne State University PO Box 02759 Detroit MI 48202 383555142 501(c)(3) 70942 Support of research activities Weill Cornell Medical College 445 E 69th Street New York NY 10021 131623978 501(c)(3) 367873 Support of research activities Wesley Neurology Clinic PC 8000 Centerview Parkway Cordova TN 38018 621499155 43507 Support of research activities WestEd 730 Harrison Street San Francisco CA 94107 943233542 115 23409 Support of research activities Westside Institute for Science and Education 820 S Damen Avenue Chicago IL 60612 363712391 501(c)(3) 160684 Support of research activities Yale University 140 Prospect St New Haven CT 06511 060646973 501(c)(3) 329177 Support of research activities YMCA of the USA 101 North Wacker Drive Chicago IL 60606 363258696 501(c)(3) 19428 Support of research activities 248 41 Student grants, scholarships, and fellowships are financial aid that can be used towards educational related costs. 17243 415082544 176870 Book Winter gear and computers Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 254 1411447 Schedule I, Part III PRIZES AND AWARDS PRIZES AND AWARDS REFLECT PRIZES AND AWARDS EXTENDED TO NON-EMPLOYEES IN RECOGNITION OF AN ACCOMPLISHMENT, ACTIVITY, OR EVENT. PRIZES AND AWARDS GIVEN TO EMPLOYEES ARE INCLUDED AS COMPENSATION AND REPORTED ON AN EMPLOYEE'S FORM W-2. Schedule I, Part I, Line 2 Procedures for monitoring use of grant funds. Explanation: Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. X X X X X X true true X X X X true true false true false false false true false Morton O Schapiro President 1169980 0 250000 0 237229 0 269762 0 262625 0 2189596 0 104167 0 Jonathan Holloway Provost 638958 0 50000 0 150649 0 39167 0 41001 0 919775 0 0 0 Pamela S Beemer VP for Human Resources 399021 0 10000 0 20215 0 27500 0 4700 0 461436 0 0 0 Paul Castellucci VP Budget and Planning 396639 0 35000 0 240 0 27500 0 741 0 460120 0 0 0 Alex Darragh VP for Facilities Management 241891 0 0 0 0 0 0 0 0 0 241891 0 0 0 Stephanie Graham VP General Counsel 430530 0 15000 0 31802 0 47500 0 69283 0 594115 0 0 0 Devora Grynspan VP International Relations 243831 0 0 0 1715 0 24968 0 10217 0 280731 0 0 0 Philip L Harris VP General Counsel 628543 0 100000 0 115709 0 77500 0 19383 0 941135 0 0 0 Craig A Johnson Senior Vice President 721509 0 92700 0 29853 0 139167 0 7874 0 991103 0 0 0 Marilyn McCoy VP Administration & Planning 456247 0 0 0 18918 0 27500 0 24254 0 526919 0 0 0 William H McLean VP and Chief Investment Officer 891582 0 565557 0 20084 0 426741 0 22046 0 1926010 0 312007 0 Robert E McQuinn VP for Development 624040 0 125000 0 185146 0 225833 0 35434 0 1195453 0 86667 0 Eric G Neilson VP Medical Affairs 593266 0 0 0 8149 0 19833 0 3248 0 624496 0 0 0 Julie Payne-Kirchmeier VP for Student Affairs 218547 0 10000 0 24360 0 21986 0 4360 0 279253 0 0 0 James J Phillips VP Athletics 1204465 0 580000 0 357948 0 147500 0 37760 0 2327673 0 0 0 Sean Reynolds VP and Chief Information Officer 479745 0 0 0 57227 0 27500 0 8006 0 572478 0 0 0 Patricia Telles-Irvin VP Student Affairs 409647 0 50000 0 67384 0 27500 0 27238 0 581769 0 0 0 Joseph T Walsh Jr VP for Research 383280 0 0 0 19532 0 25796 0 59517 0 488125 0 0 0 Patrick W Fitzgerald II Head Coach 4063896 0 410000 0 684785 0 27500 0 32477 0 5218658 0 0 0 Christopher R Collins Head Coach 2755120 0 0 0 46800 0 77500 0 12991 0 2892411 0 0 0 Maciej S Lesniak Professor Neurological Surgery 1455413 0 0 0 360 0 25444 0 746 0 1481963 0 0 0 Florian Zettelmeyer Professor, Kellogg 374489 0 0 0 915008 0 27500 0 8006 0 1325003 0 0 0 Eric T Anderson Professor, Kellogg 380665 0 0 0 882160 0 27500 0 57964 0 1348289 0 0 0 Daniel I Linzer Former Provost 0 0 0 0 1042101 0 25000 0 26660 0 1093761 0 225000 0 Ingrid S Stafford Former VP for Financial Operations 346080 0 0 0 20914 0 27500 0 3948 0 398442 0 0 0 Alan Cubbage Former VP University Relations 173729 0 0 0 190983 0 27000 0 15834 0 407546 0 0 0 Nimalan Chinniah Former Executive Vice President 294430 0 0 0 393825 0 27250 0 4316 0 719821 0 90000 0 John L D'Angelo Former VP for Facilities Management 251076 0 0 0 571422 0 25848 0 14372 0 862718 0 0 0 Schedule J, Part I, Line 1a SCHEDULE J SUPPLEMENTAL INFORMATION Schedule J, Part III Part VII, line 5 Alex Darragh's services as Vice President for Facilities Management were contracted for from an unrelated party, CBRE Group, Inc. $241,891 fees were payable to the third party for such services. Schedule J, Part I, Line 1a First-class or charter travel Charter airplane travel to the University's annual Bowl game was provided to two listed persons and their family members and was not treated as taxable compensation under the excess seating capacity exception. Seven interested persons were provided charter travel and was treated as a business expense. The President is permitted to travel first class. One other officer was provided non-routine first class travel. The first class travel was treated as a business expense and not treated as taxable compensation. Schedule J, Part I, Line 1a Travel for companions The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Four listed persons received companion travel. Companion travel for family members of two interested persons qualified under the excess seating capacity exception for charter travel, and companion travel for two interested persons were treated as a business expense. Schedule J, Part I, Line 1a Tax indemnification and gross-up payments Six listed persons received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation. Schedule J, Part I, Line 1a Housing allowance or residence for personal use The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Eight other listed persons were provided with housing or a housing allowance and the amounts were treated as taxable compensation. Schedule J, Part I, Line 1a Health or social club dues or initiation fees The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. Five listed persons received reimbursement for social club dues, which were treated as taxable compensation. Schedule J, Part I, Line 1a Personal services In connection with the University-provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit for cleaning services associated with the personal living quarters is treated as taxable compensation. Nominal chauffeur services were provided to the President and the value of the benefit is treated as taxable compensation. Personal services related to housing was extended to one other interested person and was treated as taxable compensation. Schedule J, Part I, Line 4a Severance or change-of-control payment IN CONNECTION WITH SEPARATION OR RETIREMENT FROM NORTHWESTERN UNIVERSITY, THE FOLLOWING RECEIVED COMPENSATION IN THE AMOUNTS DESCRIBED, WHICH WERE INCLUDED IN PART II, COLUMN B (III). JOHN D'ANGELO: $543,100 ALAN CUBBAGE: $164,768 DANIEL LINZER: $700,000 PHILIP HARRIS: $95,625 Schedule J, Part I, Line 4b Supplemental nonqualified retirement plan The following participated in a 457(f) nonqualified retirement plan and the amounts are subject to substantial risk of forfeiture and vest after a number of years Name and amount contributed: Morton Schapiro ($242.263), Jonathan Holloway ($11,667), Craig Johnson ($111,667), Philip Harris ($50,000), Robert McQuinn ($198,333), James Phillips ($120,000). William McLean ($399,241), Christopher Collins ($50,000), Stephanie Graham ($20,000) Name and amount paid: Morton Schapiro ($153,732), William McLean ($312,007), Robert McQuinn ($143,151), Daniel Linzer ($341,845), Nimalan Chinniah ($336,527) A ILLINOIS FINANCE AUTHORITY 861091967 45200BFC7 2004-09-09 135800000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES & Equipment false false false B ILLINOIS FINANCE AUTHORITY 861091967 45200FKZ1 2008-06-25 125000000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES false false false C Illinois Finance Authority 861091967 45203H2A9 2015-06-04 146017057 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES false false false A 144677217 1039400 143637817 2008 false false true true B 126815680 1250000 125565680 2011 false false true true C 146081419 886268 145195151 2017 false false true true A false true true false true false 0.0025 0.0025 false false true B false true true false true false 0.0037 0.0037 false false true C false false true false false 0.0156 0.0156 false false true A false false false true true false false false true B false false false true true true See Part VI 4.0 false false false false true C false true false false false false false false true A true B true C true Schedule K, Part I, Column (c) Bond Issue B: IFA - Series 2008 Additional CUSIPs: 45200F LA5, 45200F LB3 Schedule K, Part IV, Line 4b Bond Issue B: IFA - Series 2008 Morgan Stanley Capital Services LLC; Bank of America, NA; JP Morgan Schedule K, Part II, Line 3 Total proceeds of issue The difference between issue prices and proceeds of bonds are a result of investment income earned. Schedule K, Part III, Line 3b Reviews by Bond Counsel The University engages bond counsel and performs a review of management or services contracts at the time of any new bond issuances, generally every two years. At that time all existing bond issuances and private use are re-examined and re-documented. The University monitors changes in private use on an ongoing basis internally. Schedule K, Part III, Line 4 Private Business Use The University finances acquisition, construction and renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private business use within the facilities partially funded by bonds; however, such usage was financed from other sources. Schedule K, Part I, Column (f) Purposes In addition to the purposes listed in Part I, Column (f), bonds were also issued to pay costs of issuance. Schedule K, Part I, Column (c) Bond Issue A: IFA-Series 2004 Additional CUSIP: 45200B FD5 Schedule K, Part IV, Line 2c COLUMN A Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 09/09/2009 Schedule K, Part IV, Line 2c COLUMN B Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 06/25/2018 James Phillips EMPLOYEE COMPENSATION X 300000 300000 false true true 300000 8049 Scholarship Educational Scholarship Jennifer Burke Family member of Joseph T. Walsh, Officer 61042 Employment false Great Lakes Coca-Cola M. Jude Reyes, Trustee, ownership interest over 35% 1096593 Soft drink purchases and vending commissions false SQ Advisors LLC Kimberly Querrey, Trustee, ownership interest over 35% 1142512 Investment manager fees false Constadina Castellucci Family member of Paul Castellucci, Officer 63621 Employment false Alissa Schapiro Family member of Morton Schapiro, Officer 24147 Graduate Assistant Employment false Linda Darragh Family member to Alex Darragh, Officer 261182 Employment false X 22 1063274 Market value X 271771 Market value X 10598 Market value X 709 21836064 Market value X 3 278700 Market value X 14 74126 Market value X equipment, software 24 1860712 Market value X Events, tickets 529 748436 Market value 8 false true false Schedule M, Part I Column (b) The University is reporting the number of contributions received. Form 990, Part VI, Line 10a LOCAL CHAPTERS, BRANCHES THE UNIVERSITY DOES NOT HAVE LOCAL CHAPTERS, BRANCHES, LODGES, UNITS OR SIMILAR AFFILIATES. AS DESCRIBED IN SCHEDULE F, THE UNIVERSITY HAS ONE INTERNATIONAL CAMPUS, LOCATED IN DOHA, QATAR. THE UNIVERSITY HAS A NUMBER OF AFFILIATION AGREEMENTS AND ARRANGEMENTS WITH OTHER RESEARCH AND EDUCATIONAL INSTITUTIONS BUT THE UNIVERSITY DOES NOT HAVE AUTHORITY TO EXERCISE SUPERVISION AND CONTROL OF SUCH INSTITUTIONS. Form 990, Part VI, Line 16b JOINT VENTURES THE UNIVERSITY DOES NOT HAVE A WRITTEN POLICY REGARDING JOINT VENTURES IN GENERAL. HOWEVER, JOINT VENTURE AGREEMENTS ARE REVIEWED BY THE UNIVERSITY'S OFFICE OF GENERAL COUNSEL TO EVALUATE WHETHER THE AGREEMENT FURTHERS THE MISSION OF THE UNIVERSITY AND TO ENSURE THE SAFEGUARDING OF UNIVERSITY'S ASSETS. THE UNIVERSITY ALSO HAS GUIDELINES CONCERNING JOINT VENTURES IN ITS TECHNOLOGY TRANSFER AND INVESTMENT POLICIES. Form 990, Part VI, Line 1a Delegate broad authority to a committee Executive Committee of the Board of Trustees is comprised of 24 members of the governing body. The Executive Committee may exercise the power of the Board of Trustees between meetings with respect to ordinary business transactions. Form 990, Part VI, Line 2 Family/business relationships amongst interested persons Jay C. Hoag and Patrick G. Ryan Jr. - Business relationship, M. Jude Reyes and A. Steven Crown - Business relationship, M. Jude Reyes and Patrick Ryan Jr. - Business relationship, M. Jude Reyes and Frederick H. Waddell - Business relationship, David B. Weinberg and M. Jude Reyes - Business relationship, Miles D. White and William A. Osborn - Business relationship, Muneer A. Satter and Patrick Ryan Jr. - Business relationship, Frederick H. Waddell and William A. Osborn - Business relationship, Frederick H. Waddell and Virginia Rometty - Business relationship, Frederick H. Waddell and Charles A. Tribett III - Business relationship Form 990, Part VI, Line 3 Delegation of management duties ALEX DARRAGH'S SERVICES AS VICE PRESIDENT FOR FACILITIES MANAGEMENT WERE CONTRACTED FOR FROM AN UNRELATED PARTY, CBRE GROUP, INC. Form 990, Part VI, Line 4 Significant changes to organizational documents The following changes were implemented to the Bylaws of the University during the tax year. The Executive Committee has a minimum of thirteen members, which was increased from eleven. The term of the Chair of the Board may be extended by one-year period by majority vote of the Board. The Chair of the Board may be self-appointed on any Board Committee. Subcommittees of the Board may be appointed and execute such responsibilities as a Committee of the Board. By majority vote of the Committee of the Board, individuals of the age of 70 may continue to serve on the Board. Board conflicts of interest are first disclosed to the University instead of the Board of Trustees. The Board may delegate responsibilities of the Treasurer to certain Officers of the University and delegate authority to such Officers to open and operate bank accounts in the University's name. Form 990, Part VI, Line 11b Review of form 990 by governing body An electronic copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was provided for review to the Audit, Risk, and Compliance Committee of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University. Form 990, Part VI, Line 12c Conflict of interest policy University Bylaws and Statutes require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the University in writing. An Officer shall call any conflict of interest to the attention of the President (unless the conflict is on the part of the President, in which case it shall be called to the attention of the Vice President and General Counsel and the Chair of the Board of Trustees). If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees of other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when his/her knowledge of the subject will assist the Board or any of its committees. In addition, Trustees are subject to a Conflict of Interest Policy, which has been adopted by the Board of Trustees. Potential conflicts of interest are further scrutinized under a University investment policy governing Trustee Relationship Investments whereby, among other things, affected trustees must recuse themselves from any discussion and vote related to the investment. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed. Form 990, Part VI, Line 15a Process to establish compensation of top management official The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the compensation committee of the Board relies on (i) formal survey and comparability data prepared and compiled by an outside consultant who has expertise in the field of executive compensation assessment and benchmarking and (ii) compensation recommendations from the President and Provost for their direct reports. The Compensation Committee of the Board meets every June for the purpose of reviewing and approving executive compensation recommendations for the next fiscal year. After review and the approval, the Committee's decisions are documented with internal communications to executive leadership except that the President's compensation is communicated solely to the Vice President & General Counsel. The offices of the President, Provost and Executive Vice President separately then send the final compensation decisions to the payroll department and the Vice President of Human Resources for implementation and processing other than the compensation information of the President, which is provided by the Vice President & General Counsel to the Vice President of Human Resources. Form 990, Part VI, Line 15b Process to establish compensation of other employees Compensation Committee of the Board reviewed and approved compensation of all current officers listed in Part VII, Section who received compensation in calendar year 2018. Form 990, Part VI, Line 19 Required documents available to the public Governing documents: The University maintains an Office for Global Marketing and Communication where information requests from the public are processed. The organizing document by which the University was created, its charter, is available upon request. The University's employee conflict of interest policy and financial statements are available on the University website. Form 990, Part VII, Section A Compensation Alex Darragh's services as Vice President for Facilities Management were contracted for from an unrelated party, CBRE Group, Inc. $241,891 fees invoiced by the third party for such services. Form 990, Part VIII, Line 2f Other Program Service Revenue Plant - Total Revenue: 14159370, Related or Exempt Function Revenue: 14159370, Unrelated Business Revenue: , Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Form 990, Part VIII, Line 11d Other Miscellaneous Revenue - Total Revenue: 224645, Related or Exempt Function Revenue: , Unrelated Business Revenue: 224645, Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Form 990, Part XI, Line 9 Other changes in net assets or fund balances Change in value of derivative instruments - -3071967; Schedule F, Part I, Line 3 Program-related Investments Program-related investments represent student loans disbursed during students' enrollment in international programs. Schedule F, Part I, Line 2 PROCEDURES FOR MONITORING USE OF GRANT FUNDS Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. Schedule J, Part I, Line 5a Compensation contingent on revenues of the organization The Chief Investment Officer received incentive compensation which was in part calculated contingent on the performance of the University's long term investments. Prior to becoming an officer, Craig Johnson received a bonus of which a nominal percentage was tied to revenue. Schedule J, Part I, Line 7 Non-fixed payments The President and nine interested persons received a non-fixed payment related to a recognition bonus. One officer was offered non-fixed payment related to apparel and tickets. Triad WIS NWU LLC 550 N Green Bay Rd Lake Forest IL 60045 473504918 Investment IL 0 5041655 Northwestern University Northwestern University USA Foundation Limited 21 Holborn Viaduct London England UK EC1A2DY 981458225 Fundraising UK 231431 58034 Northwestern University RUBICON INSURANCE COMPANY 2020 RIDGE AVENUE EVANSTON IL 60208 363694409 PROVIDING MEDICAL MALPRACTICE COVERAGE IL 501(c)(3) Type II NORTHWESTERN UNIVERSITY true STUDENTS PUBLISHING COMPANY 1999 SHERIDAN RD EVANSTON IL 60208 366002654 PUBLISHES STUDENT PERIODICALS IL 501(c)(3) Type II N/A false MCGAW MEDICAL CENTER OF NORTHWESTERN UNIVERSITY 420 E SUPERIOR ST CHICAGO IL 60611 362656113 COORDINATION OF MEDICAL RESIDENTS IL 501(c)(3) Type I Northwestern University true THE BIG TEN CONFERENCE INC 1500 W HIGGINS RD PARK RIDGE IL 60068 363640583 FACILITATE QUALITY INTERCOLLEGIATE ATHLETIC COMPETITION IL 501(c)(3) Type II N/A false COMMITTEE ON INSTITUTIONAL COOPERATION 1819 S NEIL ST CHAMPAIGN IL 61820 463254996 ACADEMIC CONSORTIUM TO ADVANCE MISSION OF MEMBER INSTITUTIONS IL 501(c)(3) Type III-FI N/A false Kuramo Africa Opportunity Fund II LP 500 5th Ave 44th Fl New York NY 10110 473117325 Investment NY Northwestern University Excluded 475219 7892466 false false 0.99 KCG 64 CI-1 LP 7121 Fairway Dr Ste 410 Palm Beach Gardens FL 33418 823391115 Investment FL Northwestern University Excluded 849021 19545871 false false 1 CHARITABLE REMAINDER UNITRUSTSAnnuity TrustsPIF (65 6 3 respectively) IL N/A Trust true Bensell US Feeder LP 980492320 Investments UK Northwestern University C Corporation 46477 2498565 0.566 true Conquest Managed Futures Select Fund III Ltd 45 Market Street Suite 3205 Camana Bay Grand Cayman CJ KYI9003 Investments CJ Northwestern University C Corporation 473313 64581953 1 true Gotham Neutral Strategies Ltd Corporate Services Cayman Limited 190 Elgin Ave George Town Grand Cayman CJ KT19005 Investment CJ Northwestern University C Corporation 6460855 144165956 0.707 true false true true false false false false false false true false true true true true true true true true Rubicon Insurance Company Q 2068228 cash Rubicon Insurance Company R 7193069 cash McGaw Medical Center Q 158179 Cash McGaw Medical Center M 9952333 Cash McGaw Medical Center N 550000 Cash McGaw Medical Center O 157955 Cash McGaw Medical Center P 178580 Cash McGaw Medical Center J 159015 Cash Bensell US Feeder LP S 361307 Cash Conquest Managed Futures Select Fund III Ltd R 54423808 Cash KCG 64 CI-1 LP R 1428760 Cash Kuramo Africa Opportunity Fund II LP R 1756873 Cash Schedule R, Part IV, Column (c) The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois