2020-07-15T15:06:40-05:00 2019-06-30 990 2018-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL ST WASHIN BLDG NO 850 DURHAM NC 27701 TIMOTHY W WALSH TREASURER 9196842006 2020-07-14 152.3.43.43 2020-07-15 14:57:07 ED P BB12664BE1E3D4BC08488640412F20C0F7A39D48 3825398A354F77A4FC8C6AFB894E9699CCCE251B 2018 2021-01-29 14:40:06Z VINCENT E PRICE 324 BLACKWELL STREET DURHAM NC 27701 14182469062 0 X WWW.DUKE.EDU X 1841 NC TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH 36 33 32679 3374 0 -298 1476290488 1480705479 1144558705 1180280930 682324859 564653435 77297402 77187147 3380471454 3302826991 368877688 394092121 0 0 1691039639 1771859485 540112 735467 53398965 1146924537 1188099602 3207381976 3354786675 173089478 -51959684 14655049117 14959910895 3270096500 3478627162 11384952617 11481283733 X SEE SCHEDULE O 0 0 1686835539 350753062 923811792 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 5,658 STUDENTS ANNUALLY 1002719064 42615244 1189392203 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS 323108320 723815 136359960 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY 3012662923 1 1 0 1 0 0 1 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 0 0 1 X 10494 0 1 32679 1 1 1 1 SP UK TZ CH SN MA IN KE SW DA NO MY PL PO GR EI 0 0 0 1 1 0 0 0 1 0 1 1 X 36 33 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MD MA MI NH NJ NY OR SC X X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST STE 850 DURHAM NC 27701 UZOMA AYOGU TRUSTEE 2.00 0.00 X 0 0 0 LISA M BORDERS TRUSTEE 2.00 0.00 X 0 0 0 JACK O BOVENDER JR TRUSTEE 8.00 3.10 X 0 0 0 JACK W BOYD TRUSTEE 2.00 0.10 X 0 0 0 TIMOTHY D COOK TRUSTEE 2.00 0.00 X 0 0 0 ANN PELHAM CULLEN TRUSTEE 2.00 0.00 X 0 0 0 ALLYSON K DUNCAN TRUSTEE 4.00 0.00 X 0 0 0 RALPH EADS TRUSTEE 2.00 0.00 X 0 0 0 PAUL E FARMER TRUSTEE 2.00 0.00 X 0 0 0 XIQING GAO TRUSTEE 2.00 0.00 X 0 0 0 EDWARD A GILHULY TRUSTEE 4.00 2.00 X 0 0 0 GERALD HASSELL TRUSTEE 4.00 0.00 X 0 0 0 WILLIAM HAWKINS TRUSTEE 6.00 8.00 X 0 0 0 JANET HILL TRUSTEE 2.00 0.00 X 0 0 0 BETSY D HOLDEN TRUSTEE 4.00 0.00 X 0 0 0 KATHRYN A HOLLISTER TRUSTEE 4.00 0.00 X 0 0 0 PETER J KAHN TRUSTEE 2.00 0.00 X 0 0 0 ELIZABETH KISS TRUSTEE 4.00 0.00 X 0 0 0 MICHAEL MARSICANO TRUSTEE 4.00 1.00 X 0 0 0 MARTHA MONSERRATE TRUSTEE 4.00 0.10 X 0 0 0 ERIKA MOORE TRUSTEE 2.00 0.00 X 0 0 0 PATRICIA RODERICK MORTON TRUSTEE 2.00 0.00 X 0 0 0 STEPHEN G PAGLIUCA TRUSTEE 2.00 0.00 X 0 0 0 CHRISTOPHER JOHN PAUL TRUSTEE 2.00 0.00 X 0 0 0 ROBERT PENN TRUSTEE 4.00 0.00 X 0 0 0 VINCENT E PRICE PRESIDENT/TRUSTEE 40.00 3.20 X X 1339428 0 50100 JAY R PRITZKER TRUSTEE 1.00 0.00 X 0 0 0 CARMICHAEL ROBERTS TRUSTEE 1.00 1.00 X 0 0 0 NANCY M SCHLICHTING TRUSTEE 2.00 6.00 X 0 0 0 STEVEN M SCOTT MD TRUSTEE 2.00 4.00 X 0 0 0 ADAM SILVER TRUSTEE 2.00 0.00 X 0 0 0 LAURENE M SPERLING TRUSTEE 6.00 0.00 X 0 0 0 ASHLEY CROWDER STANLEY TRUSTEE 2.00 0.00 X 0 0 0 L FREDERICK SUTHERLAND TRUSTEE 2.00 0.00 X 0 0 0 JEFFREY W UBBEN TRUSTEE 2.00 0.00 X 0 0 0 HOPE MORGAN WARD TRUSTEE 2.00 0.00 X 0 0 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 45.00 15.30 X 610131 0 52072 SALLY KORNBLUTH PROVOST 70.00 0.40 X 720319 0 44379 RICHARD RIDDELL VP & UNIVERSITY SECRETARY 50.00 0.00 X 482537 0 43511 TALLMAN TRASK III EXECUTIVE VICE PRESIDENT 45.00 1.50 X 887300 0 49728 TIMOTHY W WALSH VP OF FINANCE & TREASURER 41.00 10.00 X 471812 0 46456 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 33.00 33.20 X 2610797 0 146391 VALERIE ASHBY DEAN, COLLEGE OF A & S 40.00 0.00 X 483115 0 39519 MARK CORIGLIANO INVESTMENT MANAGER 50.00 0.00 X 648797 0 106649 JENNIFER FRANCIS EXECUTIVE VICE PROVOST FIN & ADMIN 40.00 0.00 X 583534 0 44577 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN., SOM 55.00 0.50 X 750481 0 55631 EVAN L JONES INVESTMENT MANAGER 40.00 0.00 X 1022897 0 218767 MARY E KLOTMAN MD KEY EMPLOYEE 40.00 25.50 X 1065975 0 47861 JUSTIN B NIXON INVESTMENT MANAGER 50.00 0.00 X 873745 0 156412 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 55.00 0.00 X 398104 0 117622 JAMES S ROBERTS EXEC VICE-PROVOST FIN & ADMIN 50.00 0.20 X 379476 0 40933 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 50.00 0.40 X 3274215 0 50272 DAVID N CUTCLIFFE COACH 40.00 0.00 X 2698846 0 78289 MICHAEL W KRZYZEWSKI COACH 40.00 0.00 X 6128532 0 915675 JOANNE MCCALLIE COACH 40.00 0.00 X 1297335 0 64941 RALPH SNYDERMAN CHANCELLOR EMERITUS & CHIEF OF RHEUMATOLOGY 40.00 0.00 X 1254480 0 49130 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 40.00 0.00 X 1270328 0 364117 PETER LANGE FORMER OFFICER 40.00 1.00 X 143476 47000 21103 RICHARD BRODHEAD FORMER OFFICER 40.00 0.00 X 1036952 0 54028 ROBERT M CALIFF MD FORMER KEY EMPLOYEE 40.00 0.00 X 334806 0 48130 ERIC D PETERSON FORMER KEY EMPLOYEE 20.00 0.00 X 587808 0 68246 NANCY C ANDREWS MD FORMER KEY EMPLOYEE 40.00 0.00 X 809021 0 76418 ALICE GOULD FORMER KEY EMPLOYEE 40.00 0.00 X 638188 0 36201 32802435 47000 3087158 3822 1 1 0 SKANSKA USA BUILDING INC 4309 EMPEROR BLVD SUITE 200 DURHAM NC 27703 CONSTRUCTION SERVICE 83429451 LECHASE CONSTRUCTION SERVICES LLC 324 BLACKWELL ST 130 DURHAM NC 27701 CONSTRUCTION SERVICE 58103524 BALFOUR BEATTY CONSTRUCTION 406 S MCDOWELL ST STE 200 RALEIGH NC 27601 CONSTRUCTION SERVICE 29884941 MID-ATLANTIC INFRASTRUCTURE SYSTEMS 975 PINEBROOK KNOLLS DRIVE WINSTON SALEM NC 27105 CONSTRUCTION SERVICE 25651981 DPR CONSTRUCTION 2000 AERIAL CENTER PKWY STE 118 MORRISVILLE NC 27560 CONSTRUCTION SERVICE 24142545 748 6003262 120304279 736037985 618359953 11582296 1480705479 TUITION & FEES 611600 864627307 864627307 ANCILLARY STUDENT SVCS 611600 136359960 136359960 CONTINUING EDUCATION 611600 52483515 52483515 CONFERENCE FEES 611600 6700970 6700970 ACADEMIC MED. RESEARCH 611600 2913764 2913764 117195414 117195414 1180280930 163889209 163889209 51766 51766 37567952 37567952 7798151 5576830 2221321 2221321 2221321 11273567703 23866 10872060000 819109 401507703 -795243 400712460 400712460 393449 6003262 1186132 -792683 -792683 MISC. SALES 900099 15558954 15558954 STUDENT DUES 900099 3464652 3464652 VARIOUS FEES AND FINES 900099 1183658 1183658 17983293 17983293 38190557 3302826991 1218471487 0 603650025 29833670 29833670 364079784 364079784 178667 178667 17937594 456766 16446736 1034092 3849303 3849303 1413269456 1219250459 162885382 31133615 106433246 90923242 13393000 2117004 131702784 117149785 10590105 3962894 98667102 83867037 12826723 1973342 25089522 6457669 18604245 27608 683567 17922 665645 735467 735467 27653081 27653081 159219561 123823182 33367661 2028718 6482483 4965566 879088 637829 104422715 102252736 697311 1472668 33528593 23799341 9170557 558695 58853819 33453229 25400590 85781163 68108172 17321388 351603 61707479 56148447 3106375 2452657 44701526 34295019 7141937 3264570 80535733 53312777 27222857 99 258694311 253003036 5691275 3363127 3487911 -134439 9655 SUBRECIPIENT PAYMENTS 167100421 167100421 0 0 EQUIP RENTAL & MAINTENA 67643960 63107168 4275716 261076 COST OF GOODS SOLD 22493255 19099852 3381127 12276 PRINTING & PUBLICATIONS 6846857 4670047 1456350 720460 -26701571 85971715 -113317923 644637 3354786675 3012662923 288724787 53398965 373406497 176592876 500049772 432462025 127072008 184033198 33418182 28459846 18324619 20143244 51838656 39097354 6170696632 3365761903 2635283189 2804934729 2502787750 2467629683 7541902733 7923076721 870965711 883481219 14655049117 14959910895 384540910 441226857 212257193 206778752 1001575000 993575000 4215114 3920837 1122731048 1123426962 544777235 709698754 3270096500 3478627162 X 5110600191 5011817373 3150379321 3242794639 3123973105 3226671721 11384952617 11481283733 14655049117 14959910895 X -51959684 268870587 -120579787 X 0 1 X 1 1 1 X 1426168238 1401457511 1508458854 1476290488 1480705479 7293080570 1426168238 1401457511 1508458854 1476290488 1480705479 7293080570 2035811094 5257269476 134279038 136205095 168862789 169049549 203730248 812126719 508305278 238458694 413002024 592044767 439296466 2191107229 10296314518 5363540435 0.51060 0.50810 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 395297 0 1 28488 423785 0 FORM 990, SCHEDULE C, PART II-B DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES HAVE AND SOME SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. X 1 0.21 0 0 0 1 1 6.00 180 1 2274925 41483554 X X X X 1 8497566118 177375334 398470450 91566848 380223513 20865132 8580756409 7886329071 117860979 908790366 89041660 305957313 20415325 8497566118 6816799085 720600842 758983475 86753679 303634618 19666034 7886329071 7272129904 137175368 -229083475 82073571 264809551 16539590 6816799085 7012623559 288397235 276821181 78414785 227297286 7272129904 0.59560 0.30120 0.10320 1 1 1 30607847 30607847 4085648380 2111776138 1973872242 289514095 174243121 115270974 820925803 620217306 200708497 944000507 459525338 484475169 2804934729 SHORT TERM INVESTMENTS 90299797 F US GOVERNMENT SECURITIES 2956747 F REAL ASSETS 1547143205 F PRIVATE CAPITAL 3142142745 F HEDGED STRATEGIES 2463673286 F OTHER INVESTMENTS -4231299 F FIXED INCOME 107061997 F EQUITIES 574030243 F 7923076721 DEPOSITS WITH BOND TRUSTEE 5298 INTEREST IN PERPETUAL TRUST HELD BY OTHERS 883475921 883481219 ANNUITY AND SPLIT INTEREST OBLIGATIONS 61082413 POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 397272619 FUNDS HELD FOR OTHERS 85405268 REFUNDABLE FEDERAL STUDENT LOANS 29927341 CONDITIONAL ASSET RETIREMENT 34652207 INTERNATIONAL LOAN RESERVE 6623048 GENERAL INSURANCE IBNR 6736000 OTHER 87999858 709698754 PART II, LINE 5: DUKE FOREST, A DEPARTMENT WITHIN DUKE UNIVERSITY, IS COMMITTED TO PROTECTING THE PURPOSE OF THE CONSERVATION EASEMENT. ACCORDINGLY, A WRITTEN MONITORING PROGRAM WAS DEVELOPED TO MAINTAIN AND PROTECT 12 SIGNIFICANT NATURAL HERITAGE AREAS WITHIN NORTH CAROLINA, INCLUDING THE CONSERVATION EASEMENT NOTED ON SCHEDULE D, PART II. THE POLICY INCLUDES DETAILS ABOUT CONDUCTING AN ONSITE INSPECTION, DOCUMENTING ALL FINDINGS ACCORDING TO A SITE-SPECIFIC MONITORING CHECKLIST. A POST-MONITORING REPORT AND OTHER DOCUMENTATION IS COMPLETED AS NECESSARY. DUKE FOREST STAFF (AND OTHER EXPERTS AS NECESSARY) ARE CONSULTED TO DETERMINE IF STEWARDSHIP EFFORTS ARE NECESSARY TO ENSURE THE PURPOSE OF THE CONSERVATION EASEMENT. WHILE NOT IN THE WRITTEN DOCUMENT, THE INITIAL STEP TAKEN BY DUKE FOREST WOULD BE TO CONTACT THE RESPONSIBLE PARTY TO REQUEST REMEDY OF THE INFRACTION. SUBSEQUENT STEPS WOULD INCLUDE, BUT ARE NOT LIMITED TO CONSULTING WITH UNIVERSITY COUNSEL. THE EASEMENT DOCUMENTS DO NOT INCLUDE THE POLICY AS THE EASEMENT DOCUMENTS WERE CREATED BEFORE THE POLICY DOCUMENT. PART II, LINE 9: THE CONSERVATION EASEMENT REPORTED ABOVE WAS NOT INCLUDED IN DUKE UNIVERSITY'S STATEMENT OF ACTIVITIES, BALANCE SHEET, NOR FOOTNOTES TO THE FINANCIAL STATEMENTS. SCHEDULE D, PART III, LINE 4 ART COLLECTION DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCE WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING. SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. SCHEDULE D, PART X LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FIN 48 (ASC 740) AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FIN 48 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FIN 48 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2019. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 FORM 990, SCHEDULE E, LINE 3 EQUAL OPPORTUNITY AND NON DISCRIMINATION STATEMENT DUKE IS COMMITTED TO ENCOURAGING AND SUSTAINING A LEARNING AND WORK COMMUNITY THAT IS FREE FROM PROHIBITED DISCRIMINATION AND HARASSMENT. THE INSTITUTION PROHIBITS DISCRIMINATION ON THE BASIS OF AGE, COLOR, DISABILITY, GENDER, GENDER IDENTITY, GENDER EXPRESSION, GENETIC INFORMATION, NATIONAL ORIGIN, RACE, RELIGION, SEX, SEXUAL ORIENTATION, OR VETERAN STATUS, IN THE ADMINISTRATION OF ITS EDUCATIONAL POLICIES, ADMISSION POLICIES, FINANCIAL AID, EMPLOYMENT, OR ANY OTHER INSTITUTION PROGRAM OR ACTIVITY. IT ADMITS QUALIFIED STUDENTS TO ALL THE RIGHTS, PRIVILEGES, PROGRAMS, AND ACTIVITIES GENERALLY ACCORDED OR MADE AVAILABLE TO STUDENTS. SEXUAL HARASSMENT AND SEXUAL MISCONDUCT ARE FORMS OF SEX DISCRIMINATION AND PROHIBITED BY THE INSTITUTION. DUKE HAS DESIGNATED THE VICE PRESIDENT FOR INSTITUTIONAL EQUITY AND CHIEF DIVERSITY OFFICER AS THE INDIVIDUAL RESPONSIBLE FOR THE COORDINATION AND ADMINISTRATION OF ITS NONDISCRIMINATION AND HARASSMENT POLICIES. THE OFFICE FOR INSTITUTIONAL EQUITY IS LOCATED IN SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708. QUESTIONS OR COMMENTS ABOUT HARASSMENT OR DISCRIMINATION CAN BE DIRECTED TO ONE OF THE FOLLOWING ADMINISTRATORS: DISCRIMINATION IN EMPLOYMENT, EDUCATIONAL PROGRAMS & ACTIVITIES CYNTHIA CLINTON, AVP HARASSMENT & DISCRIMINATION PREVENTION AND COMPLIANCE OFFICE FOR INSTITUTIONAL EQUITY 114 S. BUCHANAN BLVD., BAY 8 DURHAM, NC 27708 919-668-6214 SEX DISCRIMINATION IN EDUCATIONAL PROGRAMS & ACTIVITIES JAYNE GRANDES AVP FOR TITLE IX COMPLIANCE OFFICE FOR INSTITUTIONAL EQUITY 114 S. BUCHANAN BLVD., BAY 8 DURHAM, NC 27708 919-660-5766 ADDITIONAL INFORMATION, INCLUDING THE COMPLETE TEXT OF THE HARASSMENT POLICY AND APPROPRIATE COMPLAINT PROCEDURES, MAY BE FOUND BY VISITING THE OFFICE FOR INSTITUTIONAL EQUITY'S WEBSITE AT: HTTPS://OIE.DUKE.EDU/. FOR FURTHER INFORMATION ON NOTICE OF NONDISCRIMINATION, YOU CAN CONTACT THE UNIVERSITY OFFICE NOTED ABOVE, OR VISIT HTTPS://WWW.2.ED.GOV/ABOUT/OFFICES/LIST/OCR/INDEX.HTML, FOR THE ADDRESS AND PHONE NUMBER OF THE OFFICE FOR CIVIL RIGHTS, U.S. DEPARTMENT OF EDUCATION, OFFICE THAT SERVES YOUR AREA, OR CALL 1-800-421-3481. DISSEMINATION THE EQUAL EMPLOYMENT OPPORTUNITY POLICY IS DISTRIBUTED TO ALL MEMBERS OF THE DUKE COMMUNITY. POLICY INFORMATION IS PROVIDED TO NEW EMPLOYEES AT ORIENTATION SESSIONS AND TO UNION OFFICIALS REPRESENTING DUKE EMPLOYEES. THE EQUAL EMPLOYMENT OPPORTUNITY STATEMENT IS PUBLISHED IN FACULTY AND STAFF MANUALS AND IS POSTED ON BULLETIN BOARDS THROUGHOUT DUKE. THE POLICY IS DISCUSSED IN MANAGEMENT TRAINING PROGRAMS AND IS DESCRIBED IN VARIOUS LITERATURE DISTRIBUTED BY DUKE. NONDISCRIMINATION CLAUSES ARE INCLUDED IN ALL UNION AGREEMENTS AND ALL SUCH CONTRACTUAL PROVISIONS ARE REVIEWED TO ENSURE THAT THEY ARE NONDISCRIMINATORY [41 CFR 60-300.44(F)(G) & 41 CFR 60-741.44(F)(G)]. RECRUITING ADVERTISEMENTS STATE THAT DUKE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. PURSUANT TO REGULATIONS, ALL DUKE PURCHASE ORDERS, LEASES, AND CONTRACTS INCORPORATE THE FOLLOWING EQUAL OPPORTUNITY CLAUSE SETTING FORTH THE DUKE'S EXPECTATIONS. PUBLICATIONS AND OTHER DUKE MATERIALS REPRESENT ALL INDIVIDUALS, REGARDLESS OF DEMOGRAPHIC PROFILE AND INCLUDE SPECIAL CONSIDERATION OF PERSONS THAT CLAIM DISABILITY OR VETERAN STATUS. RECRUITING ADVERTISEMENTS STATE THAT DUKE IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. AN EXPANDED STATEMENT TO CONVEY DUKE'S COMMITMENT TO DIVERSITY AND INCLUSION IS INCLUDED IN DOCUMENTS AND POSITION. FORM 990, SCHEDULE E, LINE 6 EXPLANATION OF GOVERNMENT FINANCIAL AID IN FUTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSITY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, MEDICAL PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS. 0 ANTARCTICA 0 0 PROGRAM SERVICES RESEARCH 3000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 193000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 43000 CENTRAL AMERICA AND THE CARIBBEAN 0 4 PROGRAM SERVICES STUDY ABROAD 152000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEMINAR 72000 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 75000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 1265000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 6882000 EAST ASIA AND THE PACIFIC 0 10 PROGRAM SERVICES STUDY ABROAD 822000 EAST ASIA AND THE PACIFIC 0 0 SEMINAR 1742000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 82000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES EDUCATION 1583000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES RESEARCH 6558000 EUROPE (INCLUDING ICELAND & GREENLAND) 2 33 PROGRAM SERVICES STUDY ABROAD 2707000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 SEMINAR 4869000 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 1000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATION 188000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 98000 MIDDLE EAST AND NORTH AFRICA 0 4 PROGRAM SERVICES STUDY ABROAD 32000 MIDDLE EAST AND NORTH AFRICA 0 0 SEMINAR 258000 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 270000 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 5585000 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 3000 NORTH AMERICA 0 0 SEMINAR 582000 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EDUCATION 55000 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES RESEARCH 8000 RUSSIA AND NEIGHBORING STATES 0 3 PROGRAM SERVICES STUDY ABROAD 14000 RUSSIA AND NEIGHBORING STATES 0 0 SEMINAR 27000 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 140000 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 513000 SOUTH AMERICA 0 5 PROGRAM SERVICES STUDY ABROAD 822000 SOUTH AMERICA 0 0 SEMINAR 288000 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 334000 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 765000 SOUTH ASIA 0 3 PROGRAM SERVICES STUDY ABROAD 606000 SOUTH ASIA 0 0 SEMINAR 228000 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 20000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 525000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 3117000 SUB-SAHARAN AFRICA 0 17 PROGRAM SERVICES STUDY ABROAD 240000 SUB-SAHARAN AFRICA 0 0 SEMINAR 393000 0 4 2 75 2 79 8685000 33475000 42160000 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, GENERAL SUPPORT 74799 WIRE SUB-SAHARAN AFRICA GRANT FOR MEDICAL EQUIPMENT 17309 WIRE 0 2 FELLOWSHIP EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIU 1 55000 WIRE FELLOWSHIP MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 1 1400 WIRE INTERNSHIP EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIU 1 348 CHECK SUMMER TUITION EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIU 2 25709 CHECK 1 0 1 0 0 1 SCHEDULE F, PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO SEVERAL ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. X X X X X X X 1 COPPER REEF ENTERPRISES SEE PART IV FOR ADDRESS CARLSBAD CA 92009 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 155348 0 REVERED SEE PART IV FOR ADDRESS RALEIGH NC 27617 FUNDRAISING RELATED DIGITAL COMMUNICATIONS 0 0 93000 0 CHARLES M MENG SEE PART IV FOR ADDRESS TORRANCE CA 90503 FUNDRAISING RELATED WEBSITE DEVELOPMENT 0 0 86434 0 HORIZON VIDEO PRODUCTION INC SEE PART IV FOR ADDRESS DURHAM NC 27703 FUNDRAISING RELATED VIDEO SHOOT 0 0 74550 0 WEALTH-X LLC SEE PART IV FOR ADDRESS NEW YORK NY 10018 FUNDRAISING RELATED STRATEGIC PLANNING 0 0 56750 0 GRENZEBACH GLIER & ASSOCIATES SEE PART IV FOR ADDRESS CHICAGO IL 60611 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 51897 0 RIVERS AGENCY LLC SEE PART IV FOR ADDRESS CHAPEL HILL NC 27515 FUNDRAISING RELATED DIGITAL COMMUNICATIONS 0 0 40075 0 HUSTLE INC SEE PART IV FOR ADDRESS SAN FRANCISCO CA 94108 FUNDRAISING RELATED DIGITAL COMMUNICATIONS 0 0 36000 0 JOHN B FORD SEE PART IV FOR ADDRESS SAINT HELENA CA 94574 FUNDRAISING RELATED DIGITAL COMMUNICATIONS 0 0 27681 0 TEBO LLC SEE PART IV FOR ADDRESS RALEIGH NC 27616 FUNDRAISING RELATED VIDEO SHOOT 0 0 25529 0 647264 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI CMN 2720850 2711965 8885 0 0 0 21854 0 572278 ANGELS AMONG US 2379217 2240973 138244 0 2069 0 1509 3374 150777 11 1296644 1050324 246320 2700 73366 2869 49265 7373 298698 6396711 6003262 393449 2700 75435 2869 72628 10747 1021753 1186132 -792683 SCHEDULE G, PART I, LINE 2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: COPPER REEF ENTERPRISES (I) ADDRESS OF FUNDRAISER: 6965 EL CAMINO REAL, CARLSBAD, CA 92009 (I) NAME OF FUNDRAISER: REVERED (I) ADDRESS OF FUNDRAISER: 8801 FAST PARK DR, RALEIGH, NC 27617 (I) NAME OF FUNDRAISER: CHARLES M. MENG (I) ADDRESS OF FUNDRAISER: 3868 CARSON ST, TORRANCE, CA 90503 (I) NAME OF FUNDRAISER: HORIZON VIDEO PRODUCTIONS, INC. (I) ADDRESS OF FUNDRAISER: 4222 EMPEROR BLVD, DURHAM, NC 27703 (I) NAME OF FUNDRAISER: WEALTH-X, LLC. (I) ADDRESS OF FUNDRAISER: 142 W 36TH ST, NEW YORK, NY 10018 (I) NAME OF FUNDRAISER: GRENZEBACH GLIER & ASSOCIATES (I) ADDRESS OF FUNDRAISER: 401 N. MICHIGAN AVE, CHICAGO, IL 60611 (I) NAME OF FUNDRAISER: RIVERS AGENCY, LLC. (I) ADDRESS OF FUNDRAISER: PO BOX 9796, CHAPEL HILL, NC 27515 (I) NAME OF FUNDRAISER: HUSTLE, INC. (I) ADDRESS OF FUNDRAISER: 251 KEARNY ST, SAN FRANCISCO, CA 94108 (I) NAME OF FUNDRAISER: JOHN B. FORD (I) ADDRESS OF FUNDRAISER: 1177 STARR AVE, SAINT HELENA, CA 94574 (I) NAME OF FUNDRAISER: TEBO, LLC. (I) ADDRESS OF FUNDRAISER: 2609 DISCOVERY DR, RALEIGH, NC 27616 SCHEDULE G, LINE 2(B), COLUMN (V) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMNS (I-V). THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED. THERE ARE NO AGREEMENTS THAT PROVIDE EXCLUSIVELY FOR EXPENSES, BUT NOT FOR PROFESSIONAL FUNDRAISING SERVICES. 1 ACTS ONE EIGHT MISSIONS 4717 GARDENIA CIRCLE ROCKY MOUNT NC 27804 823417491 501(C)(3) 6750 GENERAL SUPPORT ALCOHOL DRUG COUNCIL OF NC PO BOX 25111 DURHAM NC 27702 560771084 501(C)(3) 13261 FMV FURNITURE/ OFFICE SUPPLIES GENERAL SUPPORT AMER SOC FOR CLINICAL INVESTIG PO BOX 7226 ANN ARBOR MI 48107 520847477 501(C)(3) 10000 GENERAL SUPPORT AMERICAN CANCER SOCIETY 8300 HEALTHPARK SUITE 10 RALEIGH NC 27615 522340031 501(C)(4) 22500 GENERAL SUPPORT AMERICAN DANCE FESTIVAL INC BOX 90772 DURHAM NC 277080772 060932294 501(C)(3) 10506 GENERAL SUPPORT AMERICAN MATHEMATICAL SOCIETY PO BOX 6248 PROVIDENCE RI 029042213 050264797 501(C)(3) 6105 GENERAL SUPPORT ARTIST IN CHRISTIAN TESTIMONY PO BOX 1649 BRENTWOOD TN 372041649 953660821 501(C)(3) 10000 GENERAL SUPPORT ARVO FOUNDATION FOR EYE RESEAR 1801 ROCKVILLE PIKE SUITE 400 ROCKVILLE MD 20852 522322462 501(C)(3) 6250 GENERAL SUPPORT BAPTIST GENERAL CONVENTION OF 7557 RAMBLER PARK RD SUITE 120 DALLAS TX 752312388 756044885 501(C)(3) 10000 GENERAL SUPPORT BIRCHWOOD LEARNING CENTER 416 WALTON ST DURHAM NC 27703 562062834 501(C)(3) 5509 FMV FURNITURE/ OFFICE SUPPLIES GENERAL SUPPORT BOOK HARVEST 2501 UNIVERSITY DR DURHAM NC 27707 452610533 501(C)(3) 9500 GENERAL SUPPORT CAMP KESEM NATIONAL PO BOX 452 CULVER CITY CA 90232 510454157 501(C)(3) 5833 GENERAL SUPPORT CAMPAIGN 4 CHANGE PO BOX 3355 DURHAM NC 27702 260096724 501(C)(3) 5250 GENERAL SUPPORT CANAAN COMMUNITY CHURCH 1701 W GARFIELD BLVD CHICAGO IL 60636 364347166 501(C)(3) 10000 GENERAL SUPPORT CARING HOUSE INC 2625 PICKETT RD DURHAM NC 277055603 561647154 501(C)(3) 21500 GENERAL SUPPORT CAROLINA BALLET INC 3401-131 ATLANTIC AVE RALEIGH NC 27604 561445383 501(C)(3) 10000 GENERAL SUPPORT CHANGING A GENERATION WITH FACE PO BOX 11587 DURHAM NC 27703 562158704 501(C)(3) 14384 FMV FURNITURE/ COMPUTER/ OFFICE SUPPLIES GENERAL SUPPORT CITY OF JESUS 1321 HUMPHREY ST DURHAM NC 27701 463800893 501(C)(3) 9449 FMV FURNITURE/ COMPUTER/ OFFICE SUPPLIES GENERAL SUPPORT COMMUNITY HEALTH COALITION INC PO BOX 15176 DURHAM NC 277042755 562269385 501(C)(3) 6500 GENERAL SUPPORT CONETOE FAMILY LIFE CENTER INC 204 NORTH RAILROAD STREET CONETOE NC 27819 562373189 501(C)(3) 20000 GENERAL SUPPORT CREST STREET COMMUNITY COUNCIL 7 ZELKO CT DURHAM NC 27705 581399286 501(C)(4) 5450 GENERAL SUPPORT DONT EVER GIVE UP INC 14600 WESTON PARKWAY CARY NC 27513 475304184 501(C)(3) 25000 GENERAL SUPPORT DURHAM COMMUNITY LAND TRUSTEES 1208 W CHAPEL HILL ST DURHAM NC 27701 561203878 501(C)(3) 250350 GENERAL SUPPORT DURHAM LITERACY CENTER PO BOX 52209 DURHAM NC 27707 561479534 501(C)(3) 10650 GENERAL SUPPORT DURHAM PUBLIC SCHOOLS 2520 VESSON AVE DURHAM NC 27707 566001021 GOV'T ENTITY 162385 9128 FMV FURNITURE/ OFFICE SUPPLIES GENERAL SUPPORT DURHAM RESCUE MISSION PO BOX 11858 DURHAM NC 27703 581482590 501(C)(3) 102021 FMV FURNITURE GENERAL SUPPORT DURHAM STRIDERS YOUTH ASSN PO BOX 15758 DURHAM NC 27704 581475666 501(C)(3) 23000 GENERAL SUPPORT DURHAM TECHNICAL COMMUNITY COL 1637 LAWSON ST DURHAM NC 27703 561423848 501(C)(3) 25250 GENERAL SUPPORT EASTERN ALAMNCE COMMUNITY ATHLETIC FIELD HOUSE 4040 MEBANE ROGERS RD MEBANE NC 27703 473597754 501(C)(3) 7134 FMV FURNITURE/ OFFICE SUPPLIES GENERAL SUPPORT EL FUTURO INC 2020 E CHAPEL HILL ROAD SUITE DURHAM NC 27707 800122334 501(C)(3) 8300 GENERAL SUPPORT EMILY KRZYZEWSKI FAMILY LIFE C 904 W CHAPEL HILL ST DURHAM NC 27701 562230469 501(C)(3) 215400 100 FMV FURNITURE GENERAL SUPPORT EMMANUEL GOSPEL CENTER INC 2 SAN JUAN ST PO BOX 180245 BOSTON MA 02118 042282717 501(C)(3) 10000 GENERAL SUPPORT FAITHACTION INTERNATIONAL HOUS 705 N GREENE ST GREENSBORO NC 27401 561993490 501(C)(3) 10000 GENERAL SUPPORT FAMILIES MOVING FORWARD 400 N QUEEN STREET DURHAM NC 27701 561633998 501(C)(3) 12700 1444 FMV FURNITURE GENERAL SUPPORT FAMILY HEALTH MINISTRIES INC PO BOX 16783 CHAPEL HILL NC 27516 562206165 501(C)(3) 6500 GENERAL SUPPORT FASHION X PROJECT 201 W MAIN STR STE 100 DURHAM NC 27701 831400756 6000 GENERAL SUPPORT FUND FOR RECONCILIATION TOLERA 22457 VENIDO RD WOODLAND HILLS CA 91364 270955844 501(C)(3) 900000 GENERAL SUPPORT GLOBAL GENOMIC MEDICINE COLLAB 101 SCIENCE DR CIEMAS RM 2111 DURHAM NC 27708 813079744 501(C)(3) 10000 GENERAL SUPPORT GOD 1ST PEOPLE 2ND 953 E MAIN ST DURHAM NC 27701 201412180 501(C)(3) 220776 FMV FURNITURE/ COMPUTER/ OFFICE SUPPLIES GENERAL SUPPORT GORDON RESEARCH CONFERENCES 512 LIBERTY LANE WEST KINGSTON RI 02892 260150662 501(C)(3) 8000 GENERAL SUPPORT GRADUATE CHEMISTRY COUNCIL 124 SCIENCE DR BOX 90354 DURHAM NC 27708 465754212 7500 GENERAL SUPPORT GREATER RALEIGH CHAMBER OF COM PO BOX 2978 RALEIGH NC 276022978 560370850 501(C)(6) 5500 GENERAL SUPPORT GREEN CHAIR PROJECT THE PO BOX 12761 RALEIGH NC 27605 272323103 501(C)(3) 66985 FMV FURNITURE GENERAL SUPPORT HABITAT FOR HUMANITY OF DURHAM 215 N CHURCH ST DURHAM NC 27701 581674794 501(C)(3) 300000 657 FMV FURNITURE GENERAL SUPPORT HOUSING FOR NEW HOPE INC 18 W COLONY PLACE SUITE 250 DURHAM NC 27705 582089068 501(C)(3) 5350 75 FMV FURNITURE GENERAL SUPPORT IN-VIDEO IMPRESSIONS INC 2211 HILLSBOROUGH RD APT 1101 DURHAM NC 27705 822401522 7000 GENERAL SUPPORT KENAN-FLAGLER BUSINESS SCHOOL 300 KENAN DRIVE CHAPEL HILL NC 275993490 566001393 501(C)(3) 8930 GENERAL SUPPORT KRAMDEN INSTITUTE INC 4915 PROSPECTUS DRIVE SUITE J DURHAM NC 27705 743108814 501(C)(3) 7500 221100 FMV COMPUTERS GENERAL SUPPORT LAUNCHBIO INC 10210 CAMPUS POINT DR 150 SAN DIEGO CA 92121 474851964 501(C)(3) 10000 GENERAL SUPPORT LEGAL AID OF NORTH CAROLINA INC PO BOX 26087 RALEIGH NC 27611 311784161 501(C)(3) 6296 FMV FURNITURE GENERAL SUPPORT MAGNOLIA HOUSE FOUNDATION PO BOX 36504 GREENSBORO NC 27416 311613173 501(C)(3) 10000 FMV FURNITURE GENERAL SUPPORT MARCH OF DIMES FOUNDATION 6504 FALLS OF NEUSE RD STE 100 RALEIGH NC 27615 131846366 501(C)(3) 5533 GENERAL SUPPORT MATRYOSHKA HAUS US 280 THOMPSON DR KERRVILLE TX 780285901 743004446 501(C)(3) 10000 GENERAL SUPPORT MICHAEL J FOX FOUNDATION FOR 111 W 33RD ST 10TH FLOOR NEW YORK NY 10120 134141945 501(C)(3) 11949 GENERAL SUPPORT MUSEUM OF DURHAM HISTORY PO BOX 362 DURHAM NC 27702 943455685 501(C)(3) 60250 GENERAL SUPPORT NC ALBERT SCHWEITZER FELLOWSHI PO BOX 1636 DAVIDSON NC 28036 822682491 501(C)(3) 22000 GENERAL SUPPORT NC SCHOOL OF SCIENCE & MATH 1219 BROAD ST DURHAM NC 27705 561425643 GOV'T ENTITY 91980 FMV FURNITURE GENERAL SUPPORT NORTH CAROLINA STATE UNIV FOUN CAMPUS BOX 7701 RALEIGH NC 276957207 566049503 501(C)(3) 15000 GENERAL SUPPORT NORTH CAROLINA STATE UNIVERSIT CAMPUS BOX 7401 RALEIGH NC 27695 566000756 GOV'T ENTITY 28000 GENERAL SUPPORT OCCONEECHEE COUNCIL BOY SCOUTS 3231 ATLANTIC AVE RALEIGH NC 27604 560529984 501(C)(3) 10000 GENERAL SUPPORT PARISH COLLECTIVE 4741 26TH AVE SW SEATTLE WA 98106 461044900 501(C)(3) 10000 GENERAL SUPPORT PARTNERS FOR YOUTH OPPORTUNITY 1309 HALLEY ST DURHAM NC 27707 352206640 501(C)(3) 20076 GENERAL SUPPORT PRETTY IN PINK FOUNDATION INC 6500 CREEDMOOR RD 106 RALEIGH NC 27613 201162702 501(C)(3) 10000 GENERAL SUPPORT REALITY MINISTRIES INC PO BOX 242 DURHAM NC 27702 261514118 501(C)(3) 114050 GENERAL SUPPORT SAINT AUGUSTINE'S UNIVERSITY 1315 OAKWOOD AVE RALEIGH NC 27610 560547478 501(C)(3) 193530 FMV FURNITURE/ OFFICE SUPPLIES GENERAL SUPPORT SECOND CHANCE OUTREACH EQUIPPING CENTER 300 LAKESIDE DR APT C HILLSBOROUGH NC 27278 263511708 501(C)(3) 14180 FMV FURNITURE/ COMPUTER/ OFFICE SUPPLIES GENERAL SUPPORT SELF-HELP VENTURES FUND PO BOX 3619 DURHAM NC 277023619 581562750 501(C)(3) 2500000 GENERAL SUPPORT SEMILLAS 311 FLORIDA ST SAN ANTONIO TX 78210 833275683 10000 GENERAL SUPPORT SENIOR PHARMASSIST INC 406 RIGSBEE AVE STE 201 DURHAM NC 277012186 562084639 501(C)(3) 6000 GENERAL SUPPORT SOUTHEASTERN EFFORTS DEVELOPIN 706 GILBERT ST DURHAM NC 27701 561876445 501(C)(3) 5600 GENERAL SUPPORT TROSA INC 1820 JAMES ST DURHAM NC 277072024 561861158 501(C)(3) 6500 158736 FMV FURNITURE GENERAL SUPPORT UNGRADED PRODUCE LLC 605 W CHAPEL HILL ST APT 327 DURHAM NC 27701 812168459 16667 GENERAL SUPPORT UNION BAPTIST CHURCH 904 N ROXBORO ST DURHAM NC 27701 560929296 501(C)(3) 25358 FMV FURNITURE/ COMPUTER/ OFFICE SUPPLIES GENERAL SUPPORT UNITED METHODIST COMMITTEE PO BOX 9068 NEW YORK NY 10116 135562279 501(C)(3) 6755 GENERAL SUPPORT UNITED WAY 20312 MAIL SERVICE CTR RALEIGH NC 27699 560564547 501(C)(3) 40883 GENERAL SUPPORT UNITING NC 201 W MAIN ST STE 100 PMB003 DURHAM NC 27701 263275886 501(C)(3) 5000 524 FMV FURNITURE/ OFFICE SUPPLIES GENERAL SUPPORT UNIVERSITY OF NORTH CAROLINA 3025 FEDEX GLBL ED BLDG CB7582 CHAPEL HILL NC 27599 566001393 GOV'T ENTITY 950 52585 FMV GENERAL SUPPORT WALLTOWN CHILDRENS THEATRE 1225 BERKLEY ST DURHAM NC 27705 562214825 501(C)(3) 17326 GENERAL SUPPORT WEST END COMMUNITY FOUNDATION PO BOX 51398 DURHAM NC 277171398 561858174 501(C)(3) 15826 10 FMV OFFICE SUPPLIES GENERAL SUPPORT YMCA OF THE TRIANGLE AREA INC 801 CORPORATE CENTER DR STE 20 RALEIGH NC 27606 560591307 501(C)(3) 20000 GENERAL SUPPORT 72 9 POSTER AWARD 14 3075 RESEARCH AWARD 13 18500 STUDENT AWARD 306 281263 TEACHING AWARD 7 3750 UNDERGRADUATE INSTITUTIONAL AWARDS 211 2985200 INTERNSHIP STIPENDS 400 1246957 GRADUATE STIPENDS 2019 30473783 POSTDOCTORAL STIPENDS 44 783453 PREDOCTORAL STIPENDS 6 99011 UNDERGRADUATE STIPENDS 1163 4090743 GRADUATE ATHLETIC SCHOLARSHIPS 19 973004 UNDERGRADUATE ATHLETIC SCHOLARSHIPS 547 28875289 UNDERGRADUATE SCHOLARSHIPS & STIPENDS 3534 147919016 GRADUATE SCHOLARSHIPS & STIPENDS 3731 96904951 PRE-DOCTORAL SCHOLARSHIPS & STIPENDS 2860 49351289 POST-DOCTORAL SCHOLARSHIPS & STIPENDS 32 70500 SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE, A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT. X X X X X X 1 1 X X X X X X 0 1 0 0 0 0 0 0 0 VINCENT E PRICE PRESIDENT/TRUSTEE 1320928 0 0 0 18500 0 33548 0 20870 0 1393846 0 0 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 591631 0 0 0 18500 0 33548 0 20421 0 664100 0 0 0 SALLY KORNBLUTH PROVOST 701819 0 0 0 18500 0 33548 0 13094 0 766961 0 0 0 RICHARD RIDDELL VP & UNIVERSITY SECRETARY 464037 0 0 0 18500 0 30500 0 14566 0 527603 0 0 0 TALLMAN TRASK III EXECUTIVE VICE PRESIDENT 868800 0 0 0 18500 0 33548 0 18997 0 939845 0 0 0 TIMOTHY W WALSH VP OF FINANCE & TREASURER 471812 0 0 0 0 0 33548 0 18337 0 523697 0 0 0 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 1271705 0 1320592 0 18500 0 133548 0 16998 0 2761343 0 0 0 VALERIE ASHBY DEAN, COLLEGE OF A & S 483115 0 0 0 0 0 33548 0 7517 0 524180 0 0 0 MARK CORIGLIANO INVESTMENT MANAGER 249491 0 380806 0 18500 0 91058 0 16372 0 756227 0 0 0 JENNIFER FRANCIS EXECUTIVE VICE PROVOST FIN & ADMIN 525721 0 57813 0 0 0 33548 0 12707 0 629789 0 0 0 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN., SOM 430359 0 301622 0 18500 0 33548 0 23444 0 807473 0 0 0 EVAN L JONES INVESTMENT MANAGER 347711 0 656686 0 18500 0 161348 0 58506 0 1242751 0 163800 0 MARY E KLOTMAN MD KEY EMPLOYEE 702795 0 344680 0 18500 0 33548 0 16579 0 1116102 0 0 0 JUSTIN B NIXON INVESTMENT MANAGER 342711 0 531034 0 0 0 140048 0 17492 0 1031285 0 122850 0 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 379084 0 1020 0 18000 0 33548 0 85265 0 516917 0 0 0 JAMES S ROBERTS EXEC VICE-PROVOST FIN & ADMIN 379293 0 0 0 183 0 33548 0 8577 0 421601 0 0 0 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 683851 0 2571864 0 18500 0 33548 0 18947 0 3326710 0 648375 0 DAVID N CUTCLIFFE COACH 2319720 0 350250 0 28876 0 33548 0 52375 0 2784769 0 0 0 MICHAEL W KRZYZEWSKI COACH 3072227 0 2985000 0 71305 0 886136 0 29553 0 7044221 0 1238334 0 JOANNE MCCALLIE COACH 1195585 0 75000 0 26750 0 33548 0 35295 0 1366178 0 0 0 RALPH SNYDERMAN CHANCELLOR EMERITUS & CHIEF OF RHEUM 1239460 0 0 0 15020 0 33548 0 19630 0 1307658 0 0 0 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 1238953 0 0 0 31375 0 350215 0 17948 0 1638491 0 0 0 PETER LANGE FORMER OFFICER 124976 47000 0 0 18500 0 17863 0 3588 0 164927 47000 0 0 RICHARD BRODHEAD FORMER OFFICER 1018452 0 0 0 18500 0 33548 0 23794 0 1094294 0 0 0 ROBERT M CALIFF MD FORMER KEY EMPLOYEE 333205 0 1601 0 0 0 33548 0 15637 0 383991 0 0 0 ERIC D PETERSON FORMER KEY EMPLOYEE 464232 0 105076 0 18500 0 33548 0 36172 0 657528 0 0 0 NANCY C ANDREWS MD FORMER KEY EMPLOYEE 666892 0 123629 0 18500 0 33548 0 45017 0 887586 0 0 0 ALICE GOULD FORMER KEY EMPLOYEE 52024 0 567664 0 18500 0 33548 0 2750 0 674486 0 0 0 PART I, LINE 1A CHARTER TRAVEL MICHAEL W. KRZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. VINCENT E. PRICE, A. EUGENE WASHINGTON, MD, TALLMAN TRASK III , RICHARD RIDDELL, SALLY KORNBLUTH AND RALPH SNYDERMAN USED FIRST CLASS OR CHARTER TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS COMPANIONS HAVE TRAVELED WITH VINCENT E. PRICE, MICHAEL W. KRZYZEWSKI, AND A. EUGENE WASHINGTON, MD. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. TAX INDEMNIFICATION JAMES S. ROBERTS RECEIVED A BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. RESIDENCE FOR PERSONAL USE VINCENT E. PRICE AND A. EUGENE WASHINGTON, MD WERE PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITIES USED BY THE UNIVERSITY'S PRESIDENT AND CHANCELLOR. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THE FACILITIES ARE USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. CLUB DUES DAVID N. CUTCLIFFE, RICHARD RIDDELL AND JAMES SCOTT GIBSON WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $648,375, EVAN L. JONES $163,800, JUSTIN B. NIXON $122,850 AND MICHAEL W. KRZYZEWSKI $1,610,000. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GJQ2 2014-10-23 260825252 SEE PART VI 0 0 0 B NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GKX5 2015-11-18 416079767 SEE PART VI 0 0 0 C NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GLE6 2016-11-03 380642978 SEE PART VI 0 0 0 D NC CAPITAL FACILITIES FINANCE AGENCY 561592154 99VARIOUS 2018-06-27 472535000 SEE PART VI 0 0 0 A 260867558 236825000 994215 23048343 2016 1 0 0 1 B 416678750 1744007 274219243 2173484 138541418 598 2019 1 0 0 1 C 380642978 378939046 1703932 2008 1 0 1 1 D 33860000 33860000 2015 1 0 0 1 A 0 0 1 1 1 1 0.00050 0.00000 0.00050 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 1 1 1 1 0.00110 0.00000 0.00110 0 0 1 D 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 0 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND BOND ISSUE (D): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 6/27/2018 AND CUSIPS 65818WHC1, 65818WHD9, 65818X4F6 WERE OUTSTANDING AS OF 6/30/2019 UNDER THE NEW ISSUE. FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (D): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($472,535,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($33,860,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. FORM 990, SCHEDULE K, PART 1(F) DESCRIPTION OF PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND A PORTION OF THE 2005A BONDS ISSUED 06/24/2005, (2) REFUND A PORTION OF THE 2006A BONDS ISSUED 11/02/2006, (3) REFUND A PORTION OF THE 2006B BONDS ISSUED 01/09/2007, (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2014A-C PROJECTS. BOND ISSUE (D): COMMERCIAL PAPER PROGRAM, THE PURPOSES OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 7/16/2014, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY. BOND ISSUE (B): TO (1) REFUND THE REMAINING PORTION OF THE 2005A BONDS ISSUED 06/24/2005, (2) REFUND $185,101,000 AGGREGATE PRINCIPAL AMOUNT OF TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED 11/18/2015 TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 13 PROJECTS LOCATED ON THE WEST AND EST CAMPUS OF DUKE UNIVERSITY (2015B PROJECTS), (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2015B PROJECTS. BOND ISSUE (C): TO (1) REFUND A PORTION OF THE 2006A BONDS ISSUED 11/02/2006, (2) REFUND A PORTION OF THE 2006B BONDS ISSUED 01/09/2007. FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2 BOND ISSUE (D): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED. BOND ISSUE (A) - 9/30/2018 BOND ISSUE (B) - 11/1/2018 BOND ISSUE (C) - 11/1/2018 DEBORAH JAKUBS SEE PART V 337650 SEE PART V 0 BERNARD MATHEY-PREVOT SEE PART V 141419 SEE PART V 0 MOLLY M WALSH SEE PART V 25000 SEE PART V 0 JAMES MATTHEW GIBSON SEE PART V 54448 SEE PART V 0 TREVOR PRICE SEE PART V 59752 SEE PART V 0 SHARON E CALIFF SEE PART V 106359 SEE PART V 0 RYAN T MILLER SEE PART V 48024 SEE PART V 0 DANIEL LEW SEE PART V 216962 SEE PART V 0 LAURA STANLEY PIETROSIMONE SEE PART V 105000 SEE PART V 0 SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF INTERESTED PERSON: DEBORAH JAKUBS(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DEBORAH JAKUBS IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $337,650(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: BERNARD MATHEY-PREVOT(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: BERNARD MATHEY-PREVOT IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $141,419(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: MOLLY M WALSH(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: MOLLY M WALSH IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $25,000(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: JAMES MATTHEW GIBSON(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JAMES MATTHEW GIBSON IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $54,448(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: TREVOR PRICE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: TREVOR PRICE IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $59,752(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: SHARON E. CALIFF(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: SHARON E. CALIFF IS A FAMILY MEMBER OF A DUKE UNIVERSITY FORMER KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $106,359(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: RYAN T. MILLER(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: RYAN T. MILLER IS A FAMILY MEMBER OF A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $48,024(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON:DANIEL LEW(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DANIEL LEW IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $216,962(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: LAURA STANLEY PIETROSIMONE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: LAURA STANLEY PIETROSIMONE IS A FAMILY MEMBER OF A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $105,000(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO X 25 2735761 VARIOUS X 324729 VARIOUS X 15205 FMV X 584 7493817 MARKET QUOTE X EVENT TICKETS 2786 606732 FMV/FACE VALUE X MISCELLANEOUS 95 351050 VARIOUS X EQUIPMENT 4 55003 VARIOUS 22 0 1 1 PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION "JAMES B. DUKE'S FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION; AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO." FORM 990, PART VI, SECTION A, LINE 7A GRADUATES OF DUKE UNIVERSITY HAVE THE RIGHT TO ELECT TWELVE TRUSTEES TO SERVE ON THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT, RISK & COMPLIANCE COMMITTEE OF THE UNIVERSITY TRUSTEES. AT THE MEETING, THE DUKE UNIVERSITY TAX SENIOR DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, IS AVAILABLE FOR QUESTIONS FROM THE COMMITTEE. NOT ONLY IS THE COMMITTEE OFFERED AN OPPORTUNITY TO ASK QUESTIONS AT THE MEETING, BUT ALSO ANYTIME THEREAFTER BY CONTACTING THE TAX SENIOR DIRECTOR OR DUKE UNIVERSITY'S TAX ATTORNEY, WHO IS ALSO INVOLVED WITH THE PREPARATION OF DUKE UNIVERSITY'S FORM 990. SUBSEQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX SENIOR DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER. FORM 990, PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY. FORM 990, PART VI, SECTION B, LINE 15 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING. FORM 990, PART VI, SECTION C, LINE 18 DUKE UNIVERSITY'S FORM 990 IS AVAILABLE TO THE PUBLIC ON WWW.GUIDESTAR.ORG. GUIDESTAR INDEPENDENTLY POSTS TAX-EXEMPT ORGANIZATION'S FORM 990'S ON THEIR WEBSITE, OBTAINED FROM THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS ORGANIZING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://RESOURCES.FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS2018-19. PDF (WEBLINK MUST BE INPUT IN ALL LOWER CASE LETTERS). FORM 990, PART XI, LINE 9: CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS 13,796,341. TRANSFER FROM DUHS 89,017,636. NONPERIODIC CHANGE -113,067,205. OTHER CHANGES -110,326,559. DUKE UK TRUST LIMITED 19 NORCOTT ROAD LONDON UK N167EJ 980555714 DEVELOPMENT UK 558737 48950 DUKE UNIVERSITY AMER ASSOC FOR GIFTED CHILDREN - 56-1686219 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 ANGIER B DUKE MEMORIAL INC 100 NORTH TRYON STREET CHARLOTTE NC 28202 136113895 SCHOLARSHIPS NC 501(C)(3) 12 TYPE III-O DUKE ENDOWMENT 0 ASSOCIATED HEALTH SVCS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561845329 HEALTHCARE NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 ATLANTIC COAST CONFERENCE PO DRAWER ACC GREENSBORO NC 27417 560599082 ATHLETIC NC 501(C)(3) 12 TYPE 1 N/A 0 C A CANNON CHAR TRUST NO 3 1525 W WT HARRIS BLVD D1114 CHARLOTTE NC 28288 581360259 SUPPORT NC 501(C)(3) 12 TYPE III-O N/A 0 DAVID H MURDOCK RESEARCH INSTITUTE 150 RESEARCH CAMPUS DR KANNAPOLIS NC 28081 208730759 RESEARCH NC 501(C)(3) 12 TYPE 1 N/A 0 DU SPECIAL VENTURES FUND INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 561465177 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE ALUMNI ASSOCIATION INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561594088 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE CORPORATE EDUCATION 310 BLACKWELL ST DURHAM NC 27701 421672476 EDUCATION NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE GIFT PROPERTIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211078 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE GLOBAL INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 611588319 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE HOSPITAL AUXILIARY INC PO BOX 2895 DURHAM NC 27710 561825604 SUPPORT NC 501(C)(3) 12 TYPE III-O N/A 0 DUKE MEDICINE GLOBAL SUPP CORP- 61-1593721 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE SCHOLARLY EXHIBITS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561701245 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV AFFILIATED PHYSICIANS 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561902501 HEALTHCARE NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE UNIV PHILANTHROPIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211099 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV SCH OF MED RESEARCH FDN 56-2247203 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIVERSITY HEALTH SYSTEM INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 562070036 HEALTHCARE NC 501(C)(3) LINE 3 DUKE UNIVERSITY 1 DUMAC INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 900754895 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DURHAM ASSET MGMT COMPANY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561757238 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DURHAM REALTY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917936 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 GOTHIC CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 561776668 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 GOTHIC HSP CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 271325761 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 HIGH POINT REALTY ASSOCIATES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917939 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 INNOVATIONS IN HEALTHCARE INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 320358709 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 KATHRINE R EVERETT CHARITABLE PO BOX 3001 DURHAM NC 27715 566473809 SUPPORT NC 501(C)(3) 12 TYPE 1 N/A 0 NANALINE H DUKE TRUST 100 NORTH TRYON STREET CHARLOTTE NC 28202 237270511 MED. SUPPORT NY 501(C)(3) 12 TYPE III-O DUKE ENDOWMENT 0 RESEARCH TRIANGLE INSTITUTE PO BOX 12194 RTP NC 27709 560686338 RESEARCH NC 501(C)(3) 12 TYPE III-O N/A 0 RUTH K BROAD BIOMED RES FDN 324 BLACKWELL STREET STE 850 DURHAM NC 27701 650045051 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 SMITHSHAVER LAW SCHOOL SCHOLARSHIP FUND ONE WEST FOURTH ST STE 1200 WINSTONSALEM NC 27101 202749954 SCHOLARSHIPS NC 501(C)(3) 12 TYPE 1 N/A 0 THE CTR FOR DOCUMENTARY STUDIES 1317 PETTIGREW STREET DURHAM NC 27705 561655039 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 THE LORD FDN OF NORTH CAROLINA 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561415423 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE INTEGRATED NETWORK INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 463129771 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE QUALITY NETWORK INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 461340679 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE JANJUN SERVICES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 471150667 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE JULDEC SERVICES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 471143245 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE ALLMO SERVICES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 471133466 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE INVESTMENT EDUCATION INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 475555092 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 FSB REALTY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 811309454 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE AFFILIATIONS NETWORK INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 812623775 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 TRIANGLE FIBER GROUP 310 BLACKWELL STREET 4TH FLOOR DURHAM NC 27701 815328550 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV FED CRED UNION 2200 WEST MAIN STREET DURHAM NC 27705 561632379 BANKING NC 501(C)(1) N/A 0 WATTS COLLEGE OF NURSING INC 324 BLACKWELL STEET STE 850 DURHAM NC 27701 833076664 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 BLACKWELL PARTNERS LLC - SERIES A - 20-8075455 280 S MANGUM ST STE 210 DURHAM NC 27701 INVESTMENTS DE N/A N/A 0 0 CANYON BLUE INV FD 27-0186996 AVE OF STARS LA CA 90067 INVESTMENTS DE N/A N/A 0 0 CD FUND LP - 27-0130641 MCKINNEY AVE DALLAS TX 75201 INVESTMENTS TX N/A N/A 0 0 LIQUID REALTY PTR 05-0537755 LINDA MESA DANVILLE CA 94526 INVESTMENTS DE N/A N/A 0 0 LYRICAL BLUE RL PT 27-2994514 32 N DEAN ST ENGLEWOOD NJ 07631 INVESTMENTS DE N/A N/A 0 0 LYRICAL-BLUE RGNT 45-3626577 32 N DEAN ST ENGLEWOOD NJ 07631 INVESTMENTS DE N/A N/A 0 0 SBER LUCKY STRIKE 20-3891303 310 BLACKWELL ST DURHAM NC 27701 REAL ESTATE NC N/A N/A 0 0 MANGUM II LLC - 46-5135858 280 S MANGUM STREET STE 210 DURHAM NC 27701 INVESTMENTS NC N/A N/A 0 0 LS INVESTOR LLC 20-3891381 310 BLACKWELL ST DURHAM NC 27701 REAL ESTATE NC N/A N/A 0 0 DILWEG BLUE PF LP 47-1225569 5310 S ALSTON AVE STE 210 DURHAM NC 27713 INVESTMENTS DE N/A N/A 0 0 LYRICAL BLUE RL PT IV 47-2172270 32 N DEAN ST ENGLEWOOD NJ 07631 INVESTMENTS DE N/A N/A 0 0 LYRICAL BLUE CHP PT 35-2503856 32 N DEAN ST ENGLEWOOD NJ 07631 INVESTMENTS DE N/A N/A 0 0 BLACKWELL PARTNERS LLC - SERIES C - 81-1264533 280 S MANGUM ST STE 210 DURHAM NC 27701 INVESTMENTS DE N/A N/A 0 0 GPE HOLDCO LLC - 47-5652832 2000 AVE OF THE STARS 11TH FL LOS ANGELES CA 90067 INVESTMENTS DE N/A N/A 0 0 LIQUID RLT PTR II TE - 20-4362819 10 MARKET ST 769 CAMANA BAY GRAND CAYMAN CJ KY1-9006 INVESTMENTS DE N/A N/A 0 0 STRATUS CAPITAL PARTNERS C LP 50 LOTHIAN ROAD FESTIVAL SQUARE EDINBURGH UK EH3 9WJ INVESTMENTS UK N/A N/A 0 0 ALTOS HYBRID D LLC - 47-3996176 2882 SAND HILL ROAD SUITE 100 MENLO PARK CA 94025 INVESTMENTS DE N/A N/A 0 0 BLACKWELL PARTNERS LLC - SERIES B - 47-2530719 280 S MANGUM ST STE 210 DURHAM NC 27701 INVESTMENTS DE N/A N/A 0 0 BLACKWELL PARTNERS LLC - SERIES D - 81-3385353 280 S MANGUM ST STE 210 DURHAM NC 27701 INVESTMENTS DE N/A N/A 0 0 BLACKWELL PARTNERS LLC - SERIES E - 81-1511048 280 S MANGUM ST STE 210 DURHAM NC 27701 INVESTMENTS DE N/A N/A 0 0 ALTOS HYBRID 2D LLC - 81-5176567 2882 SAND HILL ROAD SUITE 100 MENLO PARK CA 94025 INVESTMENTS DE N/A N/A 0 0 GILEAD CAPITAL PARTNERS LP 157 COLUMBUS AVE SUITE 403 NEW YORK NY 10023 320520146 INVESTMENTS DE N/A N/A 0 0 TOWER VIEW LIMITED 89 NEXUS WAY CAMANA BAY GRAND CAYMAN CJ KY1-9007 INVESTMENTS CJ N/A N/A 0 0 ENIAC SPECIAL GAMMA LLC 604 MISSION STREET 10TH FL SAN FRANCSICO CA 94105 855033123 INVESTMENTS DE N/A N/A 0 0 FOURPOINT HOLDINGS LLC 100 ST PAUL STREET STE 400 DENVER CO 80206 464275257 INVESTMENTS DE N/A N/A 0 0 LYRICAL-BLUE 100 KINGSHIGHWAY PARTNERS LP 32 N DEAN ST ENGLEWOOD NJ 07631 823708328 INVESTMENTS DE N/A N/A 0 0 LYRICAL-BLUE SOTP PARTNERS LP 32 N DEAN ST ENGLEWOOD NJ 07631 814468378 INVESTMENTS DE N/A N/A 0 0 WASHINGTON GOTHIC LP 593 WASHINGTON STREET WELLESLEY MA 02482 834516893 INVESTMENTS DE N/A N/A 0 0 DUKE TRIANGLE ENDOSCOPY CENTER LLC 1A BURTON HILLS BLVD NASHVILLE TN 37215 204257024 HEALTHCARE NC N/A N/A 0 0 COLONY INVESTORS III LP 515 S FLOWER ST 44TH FL LOS ANGELES CA 90071 954665622 INVESTMENTS DE N/A N/A 0 0 DWELLWORKS CO-INVESTMENT LLC 7 TIMES SQUARE STE 4307 NEW YORK NY 10036 832165945 INVESTMENTS DE N/A N/A 0 0 BEP LEGACY 1C LLC 1001 FANNIN ST STE 800 HOUSTON TX 77002 273871932 INVESTMENTS DE N/A N/A 0 0 WELLINGTON TRUST CO NA - CTF OPP FIXED INC ALLOC II POR 280 CONGRESS STREET BOSTON MA 02210 831264831 INVESTMENTS DE N/A N/A 0 0 INNOVEX CO-INVEST FUND LP 1221 MCKINNEY ST STE 4100 HOUSTON TX 77010 841799796 INVESTMENTS DE N/A N/A 0 0 DUKE CE LS INC 310 BLACKWELL STREET DURHAM NC 27701 202004016 REAL ESTATE NC N/A C 0 DUKE CORP EDU INDIA PRIVATE ACADEMIC BLOCK NEW CAMPUS VASTRAPUR AHMEDABAD IN 380015 421672476 CONSULTING IN N/A C 0 DUKE CORPORATE EDUCATION LIM 165 FLEET STREET LONDON UK EC4A 2DY 421672476 EDU CONSULT UK N/A C 0 DUKE CORPORATE EDUCATION RSA GROUND FLOOR TWICKEHNHAM BLDG BRYANSTON JOHANNESBURG SF 02021 421672476 CONSULTING SF N/A C 0 DUKE GLOBAL CONSULTING (KUNSHAN) 1666 WEI CHEN NAN RD KUNSHAN PR KUNSHAN CH 215300 CONSULTING CH N/A C 0 DUKE MEDICAL STRATEGIES INC 2200 WEST MAIN STREET STE 920 DURHAM NC 27705 561993799 HEALTHCARE NC DUKE UNIVERSITY C 5445 1.00000 1 DUKE MEDICINE ASIA PTE LTD 5 SHENTON WAY 07-00 UIC BLD SING SN 0688 MEDICAL RESEARCH SN N/A C 0 DUKE UNIV QUADRANGLE FUND PO BOX 185 PITTSBURGH PA 152300185 566218971 INVESTMENTS PA N/A T 0 DUKE UNIVERSITY TOWER FUND PO BOX 185 PITTSBURGH PA 152300185 566147362 INVESTMENTS PA N/A T 0 DURHAM CASUALTY COMPANY LTD AON HOUSE 30 WOODBOURNE AVE PEMBROKE BD HM 08 980113277 INSURANCE BD N/A C 0 DUSVF EUROPEAN LP 7 CAVENDISH SQUARE LONDON UK W1G 0PE 980346042 INVESTMENTS UK N/A C 0 GOTHIC INTERNATIONAL LTD 113 S CHURCH STREET QUEENSGATE HOU GRAND CAYMAN CJ KY1-1108 INVESTMENTS CJ N/A C 0 JOHN & PATRICIA KOSKINEN CLUT PO BOX 185 PITTSBURGH PA 152300185 566532340 INVESTMENTS PA N/A T 0 MARATHON BLUE CAYMAN FUND 89 NEXUS WAY PO BOX 31106 GRAND CAYMAN CJ KY1-1205 INVESTMENTS CJ N/A C 0 GHI HOLDINGS MAURITIUS 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 GHI ERP LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 GHI HSP LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 GHI JBD LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 GHI LTP LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 DUKE CE (SEA) PRIVATE LIMITED 1 RAFFLES PLACE TOWER 2 SINGAPORE SN 048616 SUPPORT SN N/A C 0 MCP PRIVATE CAPITAL (FEEDER) FUND I LP 6 RUE GABRIEL LIPPMANN LUXEMBOURG LU L-5365 INVESTMENTS LU N/A C 0 DUKE INDIA SERVICES PRIVATE LIMITED 302 PRIDE ELITE 10 MUSEUM ROAD BANGALORE KARNATAKA IN 560001 MEDICAL RESEARCH IN N/A C 0 HEALTH SYSTEM MEDICAL STRATEGIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 562222444 HEALTHCARE NC DUHS INC C 1 CPP OFFICE PORTFOLIO (FEEDER) LP 50 LOTHIAN ROAD FESTIVAL SQUARE EDINBURGH UK EH3 9WJ 981152490 REAL ESTATE UK N/A C 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 DUKE ALUMNI ASSOCIATION INC B 910000 FMV DURHAM ASSET MANAGEMENT COMPANY C 4340307 FMV DURHAM ASSET MANAGEMENT COMPANY B 1878065 FMV DUKE GLOBAL INC C 3002934 FMV DUKE GLOBAL INC B 2831389 FMV DUKE GIFT PROPERTIES INC C 132334 FMV DUKE MEDICINE GLOBAL SUPPORT CORPORATION C 808724 FMV DUKE MEDICINE GLOBAL SUPPORT CORPORATION B 280560 FMV DURHAM REALTY INC B 3869422 FMV THE DUKE UNIVERSITY SCHOOL OF MEDICINE RESEARCH FOUNDATION C 64381 FMV DUKE JULDEC SERVICES INC C 120793 FMV DUKE UNIVERSITY PHILANTHROPIES INC C 861866 FMV HIGH POINT REALTY INC C 2717000 FMV INNOVATIONS IN HEALTHCARE INC B 514336 FMV RUTH K BROAD BIOMEDICAL RESEARCH FOUNDATION C 376734 FMV LORD FOUNDATION INC C 1423805 FMV GOTHIC CORPORATION R 1285619509 FMV GOTHIC CORPORATION S 1732661058 FMV DUKE UNIVERITY SPECIAL VENTURES FUND INC S 324650 FMV DUKE UNIVERSITY HEALTH SYSTEM INC S 96556000 FMV DUMAC INC R 13560385 FMV DUKE SCHOLARLY EXHIBITS INC B 100000 FMV