2020-07-10T10:19:05-05:00 2019-06-30 990 2018-07-01 362177139 UNIVERSITY OF CHICAGO UNIV 7738345819 6054 S DREXEL AVENUE CHICAGO IL 60637 BRETT PADGETT ASSOC VICE PRESIDENT FINANCE 7738345819 2020-07-10 128.135.15.102 2020-07-10 10:16:09 CD P F835F14D8D910F83C9952CF7CFC7290C6AF9B969 F835F14D8D910F83C9952CF7CFC7290C6AF9B969 2018 2020-09-22 18:59:49Z ROBERT J ZIMMER 5801 S ELLIS AVENUE CHICAGO IL 60637 6571697216 0 X WWW.UCHICAGO.EDU X 1890 IL THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 51 46 25644 4672 9768816 0 1569030190 2445344205 1588031381 1597016834 467129348 383711063 74620456 64505748 3698811375 4490577850 470880188 505840723 0 0 1982326402 2068966429 544801 713255 70769408 1088973436 1244095218 3542724827 3819615625 156086548 670962225 11669737422 12698965590 4771174164 5035117793 6898563258 7663847797 X THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 0 0 1401583998 976775508 INSTRUCTION:IN 2018-2019, THE UNIVERSITY ENROLLED 17,100 STUDENTS, OF THAT TOTAL, 6,595 WERE UNDERGRADUATE STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE SCHOOL), 4,174 WERE GRADUATE STUDENTS, 5,715 WERE STUDENTS IN THE UNIVERSITY'S PROFESSIONAL SCHOOLS AND 616 WERE NON-DEGREE STUDENTS. 838339618 40318360 468075262 RESEARCH:UNIVERSITY OF CHICAGO FACULTY CROSS TRADITIONAL DISCIPLINARY BOUNDARIES TO TRANSFORM UNDERSTANDINGS IN BUSINESS, ECONOMICS, HISTORY, LAW, LITERATURE, RELIGION, PHYSICS, CHEMISTRY AND BIOLOGY AND MEDICINE, AMONG OTHER FIELDS. IN PURSUIT OF THESE RESEARCH ENDEAVORS, DURING FISCAL YEAR 2018-2019 THE UNIVERSITY WAS AWARDED A TOTAL OF $616 MILLION IN RESEARCH FUNDING FROM FEDERAL AGENCIES, NON-FEDERAL GOVERNMENT ENTITIES, CORPORATIONS, FOUNDATIONS AND OTHER SOURCES. THIS FISCAL YEAR $441 MILLION WAS EXPENDED FROM FEDERAL GOVERNMENT SPONSORS OF RESEARCH, WITH THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES AND THE NATIONAL SCIENCE FOUNDATION PROVIDING THE LARGEST AMOUNTS OF FUNDING. CORPORATE RESEARCH SPONSORSHIP AWARDS TOTALED $86.1 MILLION, FOLLOWED BY FOUNDATION RESEARCH SPONSORSHIP OF $73.2 MILLION. THE UNIVERSITY ALSO CONDUCTS SCIENTIFIC RESEARCH IN COLLABORATION WITH ARGONNE NATIONAL LABORATORY, OWNED BY THE UNITED STATES GOVERNMENT AND OPERATED BY THE UNIVERSITY THROUGH A DISREGARDED ENTITY, UNDER THE TERMS OF A COST REIMBURSEMENT CONTRACT WITH THE U.S. DEPARTMENT OF ENERGY. ARGONNE IS A MULTI-PURPOSE SCIENCE LABORATORY WITH A $797.6 MILLION ANNUAL BUDGET AND APPROXIMATELY 3600 EMPLOYEES. PROGRAM SERVICE RESEARCH EXPENDITURES WERE $463.3 MILLION AND ARE INCLUDED IN THE RESEARCH PROGRAM SERVICE EXPENSE AMOUNT, AS IS REQUIRED FOR A DISREGARDED ENTITY.IN ADDITION, FERMI RESEARCH ALLIANCE, LLC, AN ENTITY JOINTLY OWNED BY THE UNIVERSITY AND UNIVERSITIES RESEARCH ASSOCIATION INC., OPERATES FERMI NATIONAL ACCELERATOR LABORATORY ("FERMILAB") FOR THE U.S. DEPARTMENT OF ENERGY. FERMILAB IS THE NATION'S PREEMINENT CENTER FOR HIGH-ENERGY PHYSICS AND AN INTERNATIONAL CENTER FOR SCIENTIFIC RESEARCH IN ELEMENTARY PARTICLE PHYSICS AND ASTROPHYSICS. FERMILAB HAS A $461 MILLION ANNUAL BUDGET AND APPROXIMATELY 1850 EMPLOYEES. 464483201 464483201 SCHOLARSHIPS & FELLOWSHIPS:THE UNIVERSITY IS A NEED BLIND INSTITUTION WITH AN EXTENSIVE FINANCIAL AID PROGRAM WHICH IS DESIGNED TO ENABLE THE MOST QUALIFIED STUDENTS TO ATTEND THE UNIVERSITY REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. FOR THE 2018-2019 ACADEMIC YEAR, APPROXIMATELY 60 % OF ALL STUDENTS IN THE COLLEGE RECEIVED FINANCIAL AID IN THE FORM OF GRANTS AND SCHOLARSHIPS. UNIVERSITY-WIDE EXPENDITURES FOR SCHOLARSHIPS AND FELLOWSHIPS AMOUNTED TO $464.5 MILLION. OF THIS AMOUNT, APPROXIMATELY $355.2 MILLION WAS PROVIDED FROM UNRESTRICTED FUNDS; THE REMAINING $109.3 MILLION CAME FROM RESTRICTED SOURCES.APPROXIMATELY 20% OF STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE COLLEGE) CURRENTLY RECEIVE ODYSSEY SCHOLARSHIPS. THE ODYSSEY SCHOLARSHIPS PROVIDE INCREASED ACCESS BY PROVIDING SCHOLARSHIP SUPPORT FOR FIRST GENERATION STUDENTS AND STUDENTS WITH FAMILY INCOMES TYPICALLY BELOW $90,000. THE ODYSSEY SCHOLARSHIP ALSO PROVIDES FUNDS FOR OTHER EDUCATIONAL OPPORTUNITIES LIKE STUDY ABROAD, AND PROVIDING A PAID INTERNSHIP AFTER THE STUDENT'S FIRST YEAR IN THE COLLEGE.IN OCTOBER 2014, THE UNIVERSITY LAUNCHED THE NO BARRIERS PROGRAM TO ELIMINATE THE STUDENT LOAN REQUIREMENT FROM ALL UNDERGRADUATE, NEED-BASED FINANCIAL AID PACKAGES. THE LOANS WERE REPLACED BY THE UNIVERSITY WITH DIRECT GRANTS.BEGINNING WITH THE INCOMING CLASS OF 2019, THE UNIVERSITY'S EMPOWER INITIATIVE WILL PROVIDE A GRANT/SCHOLARSHIP AWARD GUARANTEED TO COVER FULL-TUITION FOR FAMILIES EARNING LESS THAN $125,000 AND FULL-TUITION, FEES AND ROOM AND BOARD FOR FAMILIES EARNING LESS THAN $60,000.THE UNIVERSITY EXPANDED ITS GRADUATE AID INITIATIVE, A PROGRAM THAT INVESTS APPROXIMATELY $310,000 IN THE EDUCATION OF EACH PH.D. STUDENT IN THE HUMANITIES, SOCIAL SCIENCES AND DIVINITY SCHOOL. THESE PROGRAMS ARE IN ADDITION TO THE UNIVERSITY'S LONGSTANDING COMMITMENT TO FINANCIAL ASSISTANCE FOR STUDENTS. 495500613 1039162 203625121 THE OTHER PROGRAM SERVICES THAT SUPPORT THE MISSION OF INSTRUCTION AND RESEARCH ARE:AUXILIARY ENTERPRISESLIBRARYOTHER STUDENT SERVICESINFORMATION SERVICESOPERATION AND MAINTENANCE OF PLANT 495500613 1039162 203625121 3199907430 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 0 0 1 1 1 1 0 0 1 1 1 1 1 0 1 X 24670 0 1 25644 1 1 1 1 BG BE BR CJ CH DA EG FI FR GM HK IN ID JA KS NL NO RP AU SN SP SW SZ TH UK 0 0 1 1 1 1 1 0 0 1 0 X 51 46 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MD KY OK WA X BRETT PADGETT 7738345819 6054 S DREXEL AVENUE CHICAGO IL 60637 ANDREW M ALPER TRUSTEE 2.00 X 0 0 0 FRANK A BAKER II TRUSTEE 2.00 X 0 0 0 DAVID G BOOTH TRUSTEE 2.00 X 0 0 0 DAVID B BROOKS TRUSTEE 2.00 X 0 0 0 DEBRA A CAFARO TRUSTEE 2.00 X 0 0 0 THOMAS A COLE TRUSTEE 2.00 X 0 0 0 JAMES S CROWN TRUSTEE 2.00 X 0 0 0 DANIEL L DOCTOROFF TRUSTEE 2.00 X 0 0 0 BRADY W DOUGAN TRUSTEE 2.00 X 0 0 0 CRAIG J DUCHOSSOIS TRUSTEE 2.00 X 0 0 0 JOHN A EDWARDSON TRUSTEE 2.00 X 0 0 0 JAMES S FRANK TRUSTEE 2.00 X 0 0 0 RODNEY L GOLDSTEIN TRUSTEE 2.00 X 0 0 0 MARY LOUISE GORNO VICE CHAIR OF THE BOARD 18.00 X 0 0 0 KENNETH C GRIFFIN TRUSTEE 2.00 X 0 0 0 SANFORD J GROSSMAN TRUSTEE 2.00 X 0 0 0 KENNETH M JACOBS TRUSTEE 2.00 X 0 0 0 ASHLEY D JOYCE TRUSTEE 2.00 X 0 0 0 KAREN L KATEN TRUSTEE 2.00 X 0 0 0 DENNIS J KELLER TRUSTEE 2.00 X 0 0 0 STEVEN A KERSTEN TRUSTEE 2.00 X 0 0 0 JAMES M KILTS TRUSTEE 2.00 X 0 0 0 MICHAEL J KLINGENSMITH TRUSTEE 2.00 X 0 0 0 RACHEL D KOHLER TRUSTEE 2.00 X 0 0 0 JOHN LIEW TRUSTEE 2.00 X 0 0 0 RIKA MANSUETO TRUSTEE 2.00 X 0 0 0 SATYA NADELLA TRUSTEE 2.00 X 0 0 0 JOSEPH NEUBAUER CHAIRMAN OF THE BOARD 18.00 X 0 0 0 EMILY NICKLIN TRUSTEE 2.00 X 0 0 0 BRIEN M O'BRIEN TRUSTEE 2.00 X 0 0 0 MICHAEL P POLSKY TRUSTEE 2.00 X 0 0 0 MYRTLE S POTTER TRUSTEE 2.00 X 0 0 0 THOMAS J PRITZKER TRUSTEE 2.00 X 0 0 0 GURU RAMAKRISHNAN TRUSTEE 2.00 X 0 0 0 JOHN W ROGERS JR TRUSTEE 2.00 X 0 0 0 EMMANUEL ROMAN TRUSTEE 2.00 X 0 0 0 ANDREW M ROSENFIELD TRUSTEE 2.00 X 0 0 0 DAVID M RUBENSTEIN TRUSTEE 2.00 X 0 0 0 TANDEAN RUSTANDY TRUSTEE 2.00 X 0 0 0 ALVARO J SAIEH TRUSTEE 2.00 X 0 0 0 NASSEF O SAWIRIS TRUSTEE 2.00 X 0 0 0 STEVE G STEVANOVICH TRUSTEE 2.00 X 0 0 0 MARY A TOLAN TRUSTEE 2.00 X 0 0 0 BRYON D TROTT TRUSTEE 2.00 X 0 0 0 GREGORY W WENDT TRUSTEE 2.00 X 0 0 0 DONALD R WILSON JR TRUSTEE 2.00 X 0 0 0 PAULA WOLFF TRUSTEE 2.00 X 0 0 0 PAUL G YOVOVICH TRUSTEE 2.00 X 0 0 0 FRANCIS TF YUEN TRUSTEE 2.00 X 0 0 0 ROBERT J ZIMMER PRESIDENT 40.00 16.00 X 5777302 0 1088533 ERIC ISAACS EVP RSCH, INNOV. NAT'L LABS 40.00 1.00 X 390624 0 64455 JUAN DE PABLO VP FOR NATIONAL LABORATORIES 40.00 4.00 X 501874 0 110072 DANIEL DIERMEIER PROVOST 40.00 4.00 X 997412 0 119175 DEREK DOUGLAS VP CIVIC ENGAGEMENT 40.00 9.00 X 628042 0 78339 DAVID B FITHIAN EXECUTIVE VICE PRESIDENT 40.00 7.00 X 767992 0 40418 KIMBERLY TAYLOR VP & GENERAL COUNSEL 40.00 14.00 X 756799 0 86393 SHARON MARINE VP ALUMNI RELATIONS & DEVL. 40.00 X 769134 0 37384 JAMES G NONDORF VP ENROLL. & STUDENT ADV. 40.00 X 716141 0 32490 KENNETH S POLONSKY EXEC. VP MEDICAL AFFAIRS 40.00 20.00 X 2631089 0 382615 PAUL RAND VP COMMUNICATIONS 40.00 X 553653 0 56382 MICHELE RASMUSSEN DEAN OF STUDENTS 40.00 X 343047 0 29622 DARREN REISBERG VP STRATEGIC INITIATIVES 40.00 5.00 X 437496 0 33515 MARK A SCHMID VP AND CHIEF INVEST. OFFICER 40.00 X 2353255 0 796283 IVAN SAMSTEIN VP & CFO 40.00 11.00 X 616230 0 71324 BALAJI SRINIVASAN VP GLOBAL ENGAGEMENT 40.00 2.00 X 577063 0 62992 CATHERINE CALLOW-WRIGHT VP & SECRETARY OF THE UNIVERSITY 40.00 6.00 X 394862 0 53562 MADHAV RAJAN DEAN BOOTH SCHOOL OF BUSINESS 40.00 X 1001350 0 22000 VALLUVAN JEEVANANDAM CHIEF CARDIAC & THORACIC SURG. 40.00 X 1341968 0 40390 DAVID BARCLAY CHIEF OPERATING OFFICER CRSP 40.00 X 1447311 0 44232 LUIGI ZINGALES PROF OF ENTREPRENEURSHIP & FINANCE 40.00 X 1342779 0 151172 JOHN FUNG PROF SURGERY & CHIEF OF TRANSPLANTATION 40.00 X 1346682 0 54923 PRADEEP CHINTAGUNTA PROF OF MARKETING 40.00 X 1423579 0 53481 JOHN R KROLL AVP FINANCE 40.00 2.00 X 400960 0 36073 27516644 0 3545825 4809 1 1 0 MORTENSON CONSTRUCTION 25 NORTHWEST POINT BLVD ELK GROVE VILLAGE IL 60007 CONSTRUCTION & RELATED SERVICES 42724237 BULLEY & ANDREWS LLC 1755 W ARMITAGE AVENUE CHICAGO IL 60622 CONSTRUCTION & RELATED SERVICES 34848312 BON APETIT MANAGEMENT CO 100 HAMILTON AVENUE SUITE 400 PALO ALTO CA 94301 FOOD SERVICES 15187689 AMERICAN BUILDING MAINTAINANCE 180 N LASALLE STREET CHICAGO IL 60601 FACILITY MAINTENANCE 14456838 TURNER CONSTRUCTION CO 55 E MONROE ST SUITE 1430 CHICAGO IL 60603 CONSTRUCTION & RELATED SERVICES 9904272 1062 879811 71750000 1127708938 1245005456 498611947 2445344205 TUITION AND FEES 611310 976775508 976775508 SALES & SERVICES EDU 611310 468075262 468075262 SALES & SERVICES AUX 611710 113740489 113740489 FEES FROM GOVT AGENCIE 900099 38425575 38425575 1597016834 97523668 2995410 94528258 210654 210654 10699380 4313237 6386143 2357586024 2071103253 506030 286482771 -506030 285976741 285976741 484619 879811 597387 -112768 -112768 48246006 8912696 39333310 39333310 ALL OTHER 900099 6319464 5294140 1025324 CONFERENCES AND CATERI 531120 5652850 5652850 ACTUARIAL ADJUSTMENT 900099 2518280 2518280 95232 95232 14585826 4490577850 1648475801 9768816 386989028 38055346 38055346 459947639 459947639 7837738 7837738 14586677 13825455 761222 1643603784 1343704871 259694315 40204598 111455997 88122110 20586502 2747385 203975278 163412472 35279220 5283586 95344693 75965354 16959649 2419690 39499525 33437826 4508619 1553080 9986064 27116 9958948 3179916 12675 3167241 61269 61269 713255 713255 9404688 9404688 155028907 90571453 64457454 11133322 11077504 55818 200071284 149724775 44492740 5853769 46143788 29146765 16096150 900873 5080278 4957469 122809 103083046 91964851 9341229 1776966 59102136 49392660 8142653 1566823 53818163 41253472 10981439 1583252 151311668 151311668 5483957 5483957 207572049 207562849 9200 12357673 11857863 481996 17814 EQUIPMENT RENTAL & MAIN 45552547 40484174 3587676 1480697 ALL OTHER: 38530907 34046025 1944500 2540382 SUPPORT SERVICES 37802336 23370051 13997500 434785 ALTERATIONS & REPAIRS 28796846 22163167 5702448 931231 21094849 21094849 3819615625 3199907430 548938787 70769408 4443704 59896183 188337859 138572694 651522851 1374104390 126533078 130202771 121792 1484785 35948232 34122246 3850937 2663385 63567958 69043048 5594317275 2389565304 3197254442 3204751971 2519521290 2983426668 4812644351 4649307947 65990928 51389502 11669737422 12698965590 645656464 649791425 155190290 208117211 2233356919 2211832306 47614888 45846347 1532014472 1716005594 157341131 203524910 4771174164 5035117793 X 1103340819 1016410889 5795222439 6647436908 6898563258 7663847797 11669737422 12698965590 670962225 95828968 -1506654 0 X 0 1 X 1 1 1 X 1524767840 1621056667 1667523784 1569030190 1516925595 7899304076 1524767840 1621056667 1667523784 1569030190 1516925595 7899304076 7899304076 97217706 84482512 107059684 88863114 100751306 478374322 1390683 3369159 4759842 51176430 42751921 44049807 49469843 47145820 234593821 8617032061 7369343770 0.91670 0.91430 X SECTION B LINE 10 OTHER INCOME OTHER INCOME IS COMPRISED OF NET INCOME FROM SALE OF INVENTORY, ACTUARIAL ADJUSTMENTS AND OTHER MISCELLANEOUS INCOME. SCHEDULE A PART II THE UNIVERSITY OF CHICAGO IS A SCHOOL; HOWEVER IN ORDER TO USE THE SPECIAL USE ON SCHEDULE B FOR A 501(C)(3) ORGANIZATION, IT IS NECESSARY TO COMPLETE SCHEDULE A, PART II TO DEMONSTRATE THAT THE UNIVERSITY MEETS THE 33 1/3% PUBLIC SUPPORT TEST. THEREFORE THE UNIVERSITY IS CLASSIFIED IN PART I LINE 7 AS AN ORGANIZATION THAT NORMALLY RECEIVES A SUBSTANTIAL PART OF ITS SUPPORT FROM A GOVERNMENT UNIT OR FROM THE GENERAL PUBLIC. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 262831 0 0 262831 0 FORM 990 SCH C, PART II-B, LINE 1, LOBBYING ACTIVITIES THE UNIVERSITY OF CHICAGO IS INVOLVED IN ISSUES THAT AFFECT HIGHER EDUCATION AND RESEARCH X X X X 0 6925641100 182817930 476958234 64583071 342442537 17103206 7161288450 6536945638 299641262 548201127 61410267 376046512 21690148 6925641100 6045003364 197328418 681260067 57769334 310974902 17901975 6536945638 6471558987 138940063 -134353584 52663062 360568009 17911031 6045003364 6460254214 159687348 252159701 48895668 334354230 17292379 6471558986 0.29000 0.30000 0.41000 0 0 82782990 82782990 4549614354 1671308239 2878306115 548332973 386301292 162031681 413586958 331955773 81631185 3204751971 REAL ESTATE 1025005867 F VENTURE CAPITAL 3624302080 F 4649307947 FUNDS HELD IN CUSTODY FOR OTHERS 203524910 203524910 X 3779776730 95828968 20191989 116020957 3663755773 9404688 817417389 826822077 4490577850 2844900730 -146368054 -146368054 2991268784 9404688 818942153 828346841 3819615625 PART X, LINE 2: THE UNIVERSITY OF CHICAGO IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, EXCEPT FOR UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL INCOME TAXES. THERE WAS NO PROVISION FOR INCOME TAXES DUE ON UNRELATED BUSINESS INCOME IN FISCAL YEARS 2019 AND 2018 AND THERE ARE NO UNCERTAIN TAX POSITIONS CONSIDERED TO BE MATERIAL. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF DISPOSED EQUIPMENT 7,722,343. COST OF GOODS SOLD 8,912,696. RELATED ORGANIZATIONS 3,556,950. PART XI, LINE 4B - OTHER ADJUSTMENTS: DISREGARDED ENTITY 817,417,389. PART XII, LINE 2D - OTHER ADJUSTMENTS: DISPOSAL OF EQUIPMENT 7,722,343. COST OF GOODS SOLD 8,912,696. RELATED ORGANIZATIONS -163,003,093. PART XII, LINE 4B - OTHER ADJUSTMENTS: DISREGARDED ENTITY 818,942,153. PART II LINE 4 THE UNIVERSITY OF CHICAGO HAS TWO MUSEUMS - THE DAVID AND ALFRED SMART MUSEUM OF ART (SMART MUSEUM) AND THE ORIENTAL INSTITUTE OF THE UNIVERSITY OF CHICAGO (ORIENTAL INSTITUTE MUSEUM). THE SMART MUSEUM PROMOTES THE UNDERSTANDING OF THE VISUAL ARTS AND THEIR IMPORTANCE TO CULTURAL AND INTELLECTUAL HISTORY THROUGH DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART AND THROUGH AN INTERDISCIPLINARY APPROACH TO ITS COLLECTIONS, EXHIBITIONS, PUBLICATIONS AND PROGRAMS. THE SCOPE OF ITS PERMANENT COLLECTIONS, SPECIAL EXHIBITIONS, FOCUS ON RESEARCH AND TEACHING BY THE UNIVERSITY OF CHICAGO SCHOLARS AND OUTREACH AND EDUCATIONAL PROGRAMS TO BOTH ADULTS AND SCHOOL AGE CHILDREN MAKE SMART MUSEUM ONE OF THE MIDWEST'S MOST DYNAMIC AND INNOVATIVE EDUCATIONAL INSTITUTIONS IN THE VISUAL ARTS. THE ORIENTAL INSTITUTE MUSEUM IS A WORLD RENOWNED SHOWCASE FOR THE HISTORY, ART AND ARCHAEOLOGY OF THE ANCIENT NEAR EAST. THE COLLECTIONS ARE USED EXTENSIVELY FOR RESEARCH, TEACHING AND EXHIBITIONS. ITS APPROACH TO INTEGRATE ARCHAEOLOGICAL, TEXTUAL AND ART HISTORICAL DATA TO UNDERSTAND THE DEVELOPMENT AND FUNCTIONS OF THE ANCIENT CIVILIZATIONS OF THE NEAR EAST MAKE IT AN EXCEPTIONAL RESOURCE FOR THE UNIVERSITY COMMUNITY AS WELL AS THE COMMUNITY AT LARGE. PART V, LINE 4 DESCRIBE IN PART XIV THE INTENDED USES OF THE ORGANIZATION'S ENDOWMENT FUNDS THE UNIVERSITY'S USE OF ENDOWMENT FUNDS IS INSEPARABLE FROM THE OVERALL ACADEMIC MISSION AS ONE OF THE WORLD'S LEADING RESEARCH UNIVERSITIES. ENDOWMENT FUNDS ARE USED TO SUPPORT INSTRUCTION AND RESEARCH PROGRAMS; SUPPORT PROFESSORSHIPS; SUPPORT FINANCIAL AID FOR UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS; SUPPORT THE ACQUISITION, RESTORATION AND PRESERVATION OF BOOKS AND OTHER MATERIALS IN THE LIBRARIES; AND SUPPORT THE ON-GOING OPERATIONS OF THE PHYSICAL PLANT, GROUNDS, AND EQUIPMENT. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 LINE 3 - EXPLANATION OF NONDISCRIMINATION POLICY THE UNIVERSITY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND AROUND THE WORLD, FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY, AS EMBODIED IN THE UNIVERSITY'S POLICY ON UNLAWFUL DISCRIMINATION AND HARASSMENT, AND INCLUDES A STATEMENT OF ITS NONDISCRIMINATORY POLICY ON ITS BROCHURES, CATALOGUES AND APPLICATION MATERIALS DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS. LINE 6 - EXPLANATION OF GOVERNMENT FINANCIAL AID: THE UNIVERSITY OF CHICAGO RECEIVES FUNDING FROM VARIOUS GOVERNMENTAL AGENCIES FOR STUDENT FINANCIAL AID. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 2 35 PROGRAM SERVICES INSTRUCTION 20023503 RUSSIA AND NEIGHBORING STATES PROGRAM SERVICES INSTRUCTION 85736 EAST ASIA AND THE PACIFIC 2 29 PROGRAM SERVICES INSTRUCTION 17541058 SOUTH ASIA PROGRAM SERVICES INSTRUCTION 91388 NORTH AMERICA PROGRAM SERVICES INSTRUCTION 107102 MIDDLE EAST AND NORTH AFRICA 1 2 PROGRAM SERVICES INSTRUCTION 346773 ANTARCTICA 6 PROGRAM SERVICES INSTRUCTION EUROPE (INCLUDING ICELAND & GREENLAND) 4 PROGRAM SERVICES RESEARCH 1035719 RUSSIA AND NEIGHBORING STATES 1 PROGRAM SERVICES RESEARCH 17772 EAST ASIA AND THE PACIFIC 2 6 PROGRAM SERVICES RESEARCH 1959939 SOUTH ASIA 2 120 PROGRAM SERVICES RESEARCH 4630008 NORTH AMERICA 1 PROGRAM SERVICES RESEARCH 58439 MIDDLE EAST AND NORTH AFRICA 4 PROGRAM SERVICES RESEARCH 1649156 SOUTH AMERICA PROGRAM SERVICES RESEARCH 1380000 ANTARCTICA PROGRAM SERVICES RESEARCH 469875 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SUBAWARDS 381123 SUB SAHARAN AFRICA PROGRAM SERVICES SUBAWARDS 201297 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SUBAWARDS 108260 SOUTH ASIA PROGRAM SERVICES SUBAWARDS 555705 NORTH AMERICA PROGRAM SERVICES SUBAWARDS 914676 SOUTH AMERICA PROGRAM SERVICES SUBAWARDS 90613 CENTRAL AMERICA PROGRAM SERVICES SUBAWARDS 11789 EUROPE (INCLUDING ICELAND & GREENLAND) FUNDRAISING 149246 EAST ASIA AND THE PACIFIC FUNDRAISING 164131 NORTH AMERICA FUNDRAISING 1706 SOUTH AMERICA FUNDRAISING 22986 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SCHOLARSHIP & STIPENDS 1362025 RUSSIA AND NEIGHBORING STATES PROGRAM SERVICES SCHOLARSHIP & STIPENDS 74028 SUB SAHARAN AFRICA PROGRAM SERVICES SCHOLARSHIP & STIPENDS 309483 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SCHOLARSHIP & STIPENDS 1637059 SOUTH ASIA PROGRAM SERVICES SCHOLARSHIP & STIPENDS 575573 NORTH AMERICA PROGRAM SERVICES SCHOLARSHIP & STIPENDS 546293 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES SCHOLARSHIP & STIPENDS 345661 SOUTH AMERICA PROGRAM SERVICES SCHOLARSHIP & STIPENDS 672172 CENTRAL AMERICA PROGRAM SERVICES SCHOLARSHIP & STIPENDS 52428 CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 2795134025 EAST ASIA AND THE PACIFIC INVESTMENTS 50718291 EUROPE (INCLUDING ICELAND & GREENLAND) INVESTMENTS 523893190 NORTH AMERICA INVESTMENTS 43603264 SUB-SAHARAN AFRICA INVESTMENTS 169995570 5 76 4 132 9 208 39231279 3601685783 3640917062 SOUTH ASIA SUBAWARD 90958 WIRE 0 SOUTH ASIA SUBAWARD 36180 WIRE 0 EUROPE SUBAWARD 150693 WIRE 0 SUB-SAHARAN AFRICA SUBAWARD 15000 WIRE 0 SUB-SAHARAN AFRICA SUBAWARD 43200 WIRE 0 EUROPE SUBAWARD 20544 WIRE 0 SOUTH ASIA SUBAWARD 36133 WIRE 0 SOUTH ASIA SUBAWARD 16378 WIRE 0 SOUTH ASIA SUBAWARD 118040 WIRE 0 EUROPE SUBAWARD 22532 WIRE 0 SUB-SAHARAN AFRICA SUBAWARD 18050 WIRE 0 SOUTH ASIA SUBAWARD 17104 WIRE 0 EUROPE SUBAWARD 13225 WIRE 0 SOUTH ASIA SUBAWARD 137329 WIRE 0 EUROPE SUBAWARD 17346 WIRE 0 SUB-SAHARAN AFRICA SUBAWARD 6000 WIRE 0 NORTH AMERICA SUBAWARD 290922 WIRE 0 NORTH AMERICA SUBAWARD 511237 WIRE 0 SOUTH ASIA SUBAWARD 103584 WIRE 0 EUROPE SUBAWARD 8072 WIRE 0 CENTRAL AMERICA AND THE CARRIBEAN SUBAWARD 11789 WIRE 0 NORTH AMERICA SUBAWARD 14629 WIRE 0 NORTH AMERICA SUBAWARD 5499 WIRE 0 EAST ASIA AND THE PACIFIC SUBAWARD 63847 WIRE 0 EUROPE SUBAWARD 4268 WIRE 0 SOUTH AMERICA SUBAWARD 34219 WIRE 0 EUROPE SUBAWARD 53987 WIRE 0 NORTH AMERICA SUBAWARD 1600 WIRE 0 EUROPE SUBAWARD 10000 WIRE 0 SOUTH AMERICA SUBAWARD 55944 WIRE 0 EUROPE SUBAWARD 22103 WIRE 0 EUROPE SUBAWARD 40642 WIRE 0 NORTH AMERICA SUBAWARD 87781 WIRE 0 SUB-SAHARAN AFRICA SUBAWARD 21000 WIRE 0 SUB-SAHARAN AFRICA SUBAWARD 6000 WIRE 0 SUB-SAHARAN AFRICA SUBAWARD 27756 WIRE 0 EAST ASIA AND THE PACIFIC SUBAWARD 44414 WIRE 0 NORTH AMERICA SUBAWARD 3008 WIRE 0 EUROPE SUBAWARD 17710 WIRE 0 SUB-SAHARAN AFRICA SUBAWARD 64291 WIRE 0 STUDENT AID CENTRAL AMERICA AND THE CARIBBEAN 1 11428 CHECK OR WIRE 0 STUDENT AID EAST ASIA AND THE PACIFIC 56 1121924 CHECK OR WIRE 0 STUDENT AID EUROPE (INCLUDING ICELAND & GREENLAND) 34 1157222 CHECK OR WIRE 0 STUDENT AID MIDDLE EAST AND NORTH AFRICA 8 261966 CHECK OR WIRE 0 STUDENT AID NORTH AMERICA 18 516543 CHECK OR WIRE 0 STUDENT AID RUSSIA AND NEIGHBORING STATES 5 74028 CHECK OR WIRE 0 STUDENT AID SOUTH AMERICA 14 651393 CHECK OR WIRE 0 STUDENT AID SOUTH ASIA 28 510573 CHECK OR WIRE 0 STUDENT AID SUB-SAHARAN AFRICA 6 230483 CHECK OR WIRE 0 SUMMER GRANTS CENTRAL AMERICA AND THE CARIBBEAN 9 41000 CHECK OR WIRE 0 SUMMER GRANTS EAST ASIA AND THE PACIFIC 180 515135 CHECK OR WIRE 0 SUMMER GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 77 204803 CHECK OR WIRE 0 SUMMER GRANTS MIDDLE EAST AND NORTH AFRICA 41 83695 CHECK OR WIRE 0 SUMMER GRANTS NORTH AMERICA 8 29750 CHECK OR WIRE 0 SUMMER GRANTS SOUTH AMERICA 10 20779 CHECK OR WIRE 0 SUMMER GRANTS SOUTH ASIA 18 65000 CHECK OR WIRE 0 SUMMER GRANTS SUB-SAHARAN AFRICA 18 79000 CHECK OR WIRE 0 1 0 1 1 1 0 PART I, LINE 2: THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. X X X X X 0 RUFFALO NOEL LEVITZ 1025 KIRKWOOD PARKWAY CEDAR RAPIDS IA 52404 TELEMARKETING 0 932298 713255 219044 932298 713255 219044 AL CA CT FL GA HI IL KS LA MN MS MO NJ NM ND OH OK PA RI TN UT VA WI AK CO KY MD WA COURT THEATRE 516105 276476 239629 107050 22322 39979 53174 20077 LAB SCHOOL 264325 200634 63691 2500 41817 29330 11989 19327 1 584000 402701 181299 66039 82733 1700 99350 1364430 879811 484619 109550 130178 152042 66863 138754 597387 -112768 SCHEDULE G, PART I, LINE2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: RUFFALO NOEL LEVITZ (I) ADDRESS OF FUNDRAISER: 1025 KIRKWOOD PARKWAY, CEDAR RAPIDS, IA 52404 PART I LINE 2B INSTALLMENTS $688,324.63 POSTAGE $8,805.00 MAILING $16,125.00 TOTAL $713,254.63 1 ACCESS COMMUNITY HEALTH NETWORK 1501 S CALIFORNIA AVENUE CHICAGO IL 60608 363317058 501 (C) (3) 21500 SUBAWARD ADVOCATE HEALTH AND HOSPITALS CORPORATION 3075 HIGHLAND PARKWAY SUITE 600 DOWNERS GROVE IL 60515 362169147 501 (C) (3) 78373 SUBAWARD ALABAMA STATE UNIVERSITY 915 SOUTH JACKSON STREET MONTGOMERY AL 36104 636001101 501 (C) (3) 94500 SUBAWARD ALBERT EINSTEIN COLLEGE OF MEDICINE 1300 MORRIS PARK AVENUE BRONX NY 104611975 131624225 501 (C) (3) 62699 SUBAWARD ALLIANCE OF CHICAGO COMMUNITY HEALTH SERVICES L3C 215 W OHIO STREET 4TH FLOOR CHICAGO IL 60654 364444309 112973 SUBAWARD AMANI INSTITUTE 1405 S FERN STREET 90212 ARLINGTON VA 22202 460576685 501 (C) (3) 21150 SUBAWARD ASIAN HUMAN SERVICES FAMILY HEALTH CENTER 2424 W PETERSON AVENUE CHICAGO IL 60659 010567661 501 (C) (3) 42511 SUBAWARD AUTONOMOUS THERAPEUTICS INC 63 FLUSHING AVENUE BUILDING 128 UNIT 241 BROOKLYN NY 112051059 118428 SUBAWARD BEHAVIORAL IDEAS LAB INC 242 W 30TH ST SUITE 1000 NEW YORK NY 10001 271678009 501 (C) (3) 38055 SUBAWARD BELOVED COMMUNITY FAMILY WELLNESS CENTER 6821 S HALSTED CHICAGO IL 606211833 043828358 501 (C) (3) 12500 SUBAWARD BETH ISRAEL DEACONESS MEDICAL CENTER 330 BROOKLINE AVENUE BOSTON MA 022155491 042103881 501 (C) (3) 49587 SUBAWARD BOARD OF EDUCATION OF THE CITY OF CHICAGO 42 WEST MADISON STREET CHICAGO IL 606024309 366005821 GOVT 25824 SUBAWARD BRIGHTSTAR COMMUNITY OUTREACH INC 4518 S COTTAGE GROVE AVENUE CHICAGO IL 606534395 262007088 501 (C) (3) 71907 SUBAWARD CALIFORNIA INSTITUTE OF TECHNOLOGY 1200 E CALIFORNIA BOULEVARD PASADENA CA 911250001 951643307 501 (C) (3) 71385 SUBAWARD CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 441067037 341018992 501 (C) (3) 27120 SUBAWARD CENTER FOR HEALTH CARE STRATEGIES INC 200 AMERICAN METRO BLVD SUITE 119 HAMILTON NH 08619 223375015 501 (C) (3) 50000 SUBAWARD CENTRAL DUPAGE HOSPITAL 25 N WINFIELD ROAD WINFIELD IL 60190 362513909 501 (C) (3) 336991 SUBAWARD CHARLES DREW UNIVERSITY 1731 E 120TH STREET LOS ANGELES CA 900593051 956151774 501 (C) (3) 53500 SUBAWARD CHICAGO DEPARTMENT OF PUBLIC HEALTH 333 S STATE STREET ROOM 200 CHICAGO IL 60604 366005820 GOVT 34298 SUBAWARD CHICAGO FAMILY HEALTH CENTER 9119 S EXCHANGE AVENUE CHICAGO IL 60617 362893854 501 (C) (3) 97065 SUBAWARD CHICAGO HOUSE AND SOCIAL SERVICE AGENCY 1925 N CLYBOURN SUITE 401 CHICAGO IL 60614 363376432 501 (C) (3) 20229 SUBAWARD CHICAGO HYDE PARK VILLAGE 5500 S WOODLAWN AVENUE CHICAGO IL 606371621 900798416 501 (C) (3) 44431 SUBAWARD CHILDREN'S HOSPITAL BOSTON 300 LONGWOOD AVENUE BOSTON MA 02115 042774441 501 (C) (3) 19408 SUBAWARD CHILDREN'S HOSPITAL MEDICAL CENTER (CINCINNATI) 3333 BURNETT AVENUE CINCINNATI OH 46202 310833936 501 (C) (3) 34084 SUBAWARD CHILDREN'S HOSPITAL OF PHILADELPHIA 3615 CIVIC CENTER BOULEVARD PHILADELPHIA PA 191044318 231352166 501 (C) (3) 89642 SUBAWARD COLORADO STATE UNIVERSITY 1872 CAMPUS DELIVERY FORT COLLINGS CO 805236003 237098397 GOVT 86115 SUBAWARD COLUMBIA UNIVERSITY 615 W 135TH STREET NEW YORK NY 10027 135598093 501 (C) (3) 108223 SUBAWARD COMMUNITY HEALTH 2611 WEST CHICAGO AVENUE CHICAGO IL 60622 363831793 501 (C) (3) 179083 SUBAWARD CORNELL UNIVERSITY 395 PINE TREE ROAD SUITE 302 ITHACA NY 14850 150532082 501 (C) (3) 349082 SUBAWARD DANA FARBER CANCER INSTITUTE 44 BINNEY STREET MS OS-385 BOSTON MA 02115 042263040 501 (C) (3) 34894 SUBAWARD DARTMOUTH COLLEGE 11 ROPE FERRY ROAD HANOVER MA 03755 020222111 501 (C) (3) 178441 SUBAWARD DAYLIGHT DESIGN LLC 375 ALABAMA ST STE 380 SAN FRANCISCO CA 94110 813298835 21655 SUBAWARD DE PAUL UNIVERSITY 1 EAST JACKSON BOULEVARD CHICAGO IL 60604 362167048 501 (C) (3) 275825 SUBAWARD DECATUR MEMORIAL HOSPITAL 2300 NORTH EDWARD STREET DECATUR IL 62526 370661199 501 (C) (3) 42274 SUBAWARD DREXEL UNIVERSITY 3201 ARCH STREET STE 400 PHILADELPHIA PA 19104 231352630 501 (C) (3) 24657 SUBAWARD DUKE UNIVERSITY 2200 WEST MAIN STREET SUITE 300 DURHAM NC 27705 560532129 501 (C) (3) 225818 SUBAWARD EDUCATION DEVELOPMENT CENTER INC 43 FOUNDRY AVENUE WALTHAM MA 02453 042241718 501 (C) (3) 102246 SUBAWARD EMORY UNIVERSITY 1599 CLIFTON ROAD 3RD FLOOR ATLANTA GA 30322 580566256 501 (C) (3) 110700 SUBAWARD FELLOWSHIP FOR INTERPRETATION OF GENOMES 15 W 155 81ST STREET BURR RIDGE IL 60527 141883085 501 (C) (3) 15787 SUBAWARD FORALL SYSTEMS INC 1426 S FEDERAL STREET UNIT D CHICAGO IL 606053061 37966 SUBAWARD FORT WAYNE MEDICAL ONCOLOGY & HEMATOLOGY INC 4402 E STATE BLVD FORT WAYNE IN 46815 351400631 7150 SUBAWARD FOX CHASE CANCER CENTER 333 COTTMAN AVE INSTITUTIONAL ADVANCEMENT PHILADELPHIA PA 19111 232003072 501 (C) (3) 23122 SUBAWARD FRAUNHOFER USA INC 5825 UNIVERSITY RESEARCH COURT STE 1300 COLLEGE PARK VA 20740 383203030 51628 SUBAWARD FRED HUTCHINSON CANCER RESEARCH CENTER 1100 FAIRVIEW AVENUE N PO BOX 19024 19024 SEATTLE WA 981091024 237156071 501 (C) (3) 166205 SUBAWARD FRIEND FAMILY HEALTH CENTER 800 E 55TH STREET CHICAGO IL 60615 364161801 501 (C) (3) 308768 SUBAWARD GE GLOBAL RESEARCH 1 RESEARCH CIRCLE NISKAYUNA NY 123091027 140689340 48969 SUBAWARD GEORGE MASON UNIVERSITY 4400 UNIVERSITY DRIVE UNIVERSITY HALL FAIRFAX VA 220304444 541603842 GOVT 196378 SUBAWARD GEORGE WASHINGTON UNIVERSITY 44983 KNOLL SQUARE BLDG II ASHBURN VA 20147 530196584 501 (C) (3) 6322 SUBAWARD H LEE MOFFITT CANCER CENTER AND RESEARCH INSTITUTE HOSPITAL 12902 MAGNOLIA DRIVE TAMPA FL 33612 593238636 501 (C) (3) 10000 SUBAWARD HARVARD UNIVERSITY 667 HUNTINGTON AVENUE BOSTON MA 02115 042103580 501 (C) (3) 476740 SUBAWARD HEALTH RESEARCH INC- ROSWELL PARK CANCER INSTITUTE RIVERVIEW CENTER 150 BROADWAY MENANDS NY 12204 141402155 501 (C) (3) 11100 SUBAWARD HEARTLAND HEALTH CENTERS 3048 N WILTON AVENUE CHICAGO IL 60657 363843377 501 (C) (3) 39361 SUBAWARD HEKTOEN INSTITUTE FOR MEDICAL RESEARCH 2240 W OGDEN AVENUE 2ND FLOOR CHICAGO IL 60612 362244897 501 (C) (3) 8000 SUBAWARD HOWARD BROWN HEALTH CENTER 4025 NORTH SHERIDAN ROAD CHICAGO IL 606132010 362894128 501 (C) (3) 79355 SUBAWARD IIT RESEARCH INSTITUTE 10 W 35TH STREET CHICAGO IL 606163799 362169122 501 (C) (3) OR GOV 73581 SUBAWARD ILLINOIS CANCER CARE 8940 N WOOD SAGE ROAD PEORIA IL 616157822 371409840 501 (C) (3) 234597 SUBAWARD ILLINOIS DEPARTMENT OF PUBLIC HEALTH 535 WEST JEFFERSON STREET SPRINGFIELD IL 62761 501 (C) (3) OR GOV 29612 SUBAWARD ILLINOIS INSTITUTE OF TECHNOLOGY 3300 S FEDERAL STREET MAIN BLDG RM 308 CHICAGO IL 606163793 362170136 501 (C) (3) 1909710 SUBAWARD INDIANA UNIVERSITY POPLARS 426 400 E 7TH ST BLOOMINGTON IN 47405 356001673 GOVT 1060974 SUBAWARD INNOVATIONS FOR POVERTY ACTION (IPA) 101 WHITNEY AVE NEW HAVEN CT 06510 061660068 501 (C) (3) 55203 SUBAWARD INSTITUTE FOR MEDICAID INNOVATION 1575 EYE ST NW STE 300 WASHINGTON DC 20005 311661234 501 (C) (3) 32604 SUBAWARD JOHNS HOPKINS UNIVERSITY 1101 E 33RD STREET BALTIMORE MD 21218 520595110 501 (C) (3) 1141361 SUBAWARD JUSTICE RESOURCE INSTITUTE INC 160 GOULD STREET SUITE 300 NEEDHAM MA 024942300 042536357 501 (C) (3) 109742 SUBAWARD KAISER FOUNDATION RESEARCH INSTITUTE 1800 HARRISON STREET 16TH FLOOR OAKLAND CA 946123433 941105628 501 (C) (3) OR GOV 404249 SUBAWARD KARAMANOS CANCER CENTER 4100 JOHN R MM00RA DETROIT MI 482012013 201649466 501 (C) (3) 20026 SUBAWARD LA RABIDA CHILDREN'S HOSPITAL 6501 S PROMONTORY DRIVE CHICAGO IL 60649 362170143 501 (C) (3) 202857 SUBAWARD LARKIN UNIVERSITY 18301 NORTH MIAMI AVENUE SUITE 1 MIAMI FL 33169 463670992 501 (C) (3) 162342 SUBAWARD LATINO POLICY FORUM 180 N MICHIGAN AVENUE STE 1250 CHICAGO IL 60601 363676873 501 (C) (3) 50000 SUBAWARD LAWNDALE CHRISTIAN HEALTH CENTER 3860 W OGDEN AVENUE CHICAGO IL 606232460 363308953 501 (C) (3) 11994 SUBAWARD LAWRENCE LIVERMORE NATIONAL SECURITY LLC 7000 EAST AVE MAIL STOP L174 LIVERMORE CA 94551 205624386 52737 SUBAWARD LEHIGH UNIVERSITY 526 BRODHEAD AVENUE 23B BETHLEHEM PA 180153008 240795445 501 (C) (3) 15022 SUBAWARD LOYOLA UNIVERSITY 820 N MICHIGAN AVENUE CHICAGO IL 60611 361408475 501 (C) (3) 105100 SUBAWARD LUDWIG INSTITUTE FOR CANCER 9500 GILMAN DRIVE MC0660 LA JOLLA CA 920930660 237121131 501 (C) (3) 9188 SUBAWARD LURIE CHILDREN'S HOSPITAL DBA CHILDREN'S MEMORIAL HOSPITAL 2300 CHILDRENS PLAZA BOX 268 CHICAGO IL 60614 362170833 501 (C) (3) 179857 SUBAWARD MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 021142696 042697983 501 (C) (3) 76864 SUBAWARD MASSACHUSETTS INSTITUTE OF TECHNOLOGY SUITE NE49-4161 CAMBRIDGE MA 02139 042103594 501 (C) (3) 222327 SUBAWARD MAYO CLINIC 200 FIRST STREET SW ROCHESTER NY 55905 416011702 501 (C) (3) 330250 SUBAWARD MEDICAL COLLEGE OF WISCONSIN 8701 WATERTOWN PLANK ROAD MILWAUKEE WI 532260509 390806261 501 (C) (3) 577244 SUBAWARD MEDICAL RESEARCH ANALYTICS AND INFORMATICS ALLIANCE 20 NORTH WACKER DRIVE - SUITE 1200 CHICAGO IL 60606 453007467 501 (C) (3) 55342 SUBAWARD MEDICAL UNIVERSITY OF SOUTH CAROLINA 18 BEE ST MSC 450 CHARLESTON SC 294258910 576028985 501 (C) 3 35777 SUBAWARD MEMORIAL SLOAN KETTERING CANCER CENTER 1275 YORK AVENUE NEW YORK NY 100656007 912154267 501 (C) 3 32743 SUBAWARD MICHIGAN TECHNOLOGICAL UNIVERSITY 1400 TOWNSEND DRIVE HOUGHTON MI 499311295 386005955 GOVT 28250 SUBAWARD MIDWEST CLINICIANS' NETWORK INC 321 W LAKE LANSING ROAD EAST LANSING MI 48823 383189461 501 (C) (3) 97064 SUBAWARD MONTEFIORE MEDICAL CENTER 111 EAST 210TH STREET BRONX NY 10467 131740114 501 (C) (3) 24327 SUBAWARD MOUNT SINAI HOSPITAL MEDICAL CENTER 1500 S CALIFORNIA AVENUE CHICAGO IL 606081797 351509000 501 (C) (3) 21776 SUBAWARD MOUNT SINAI SCHOOL OF MEDICINE ONE GUSTAVE L LEVY PLACE NEW YORK NY 100296574 136171197 501 (C) (3) 8609 SUBAWARD NATIONAL DEVELOPMENT AND RESEARCH INSTITUTES INC 71 WEST 23RD STREET 4TH FLOOR NEW YORK NY 100103571 237008089 501 (C) (3) 41853 SUBAWARD NATIONAL GIRLS COLLABORATIVE 4616 25TH AVENEU NE 248 SEATTLE WA 98105 471608990 501 (C) (3) 13286 SUBAWARD NATIONAL OPINION RESEARCH CENTER 55 EAST MONROE STREET CHICAGO IL 60603 362167808 501 (C) (3) 1315634 SUBAWARD NEIMAND COLLABORATIVE 1025 VERMONT AVENUE NW SUITE 830 WASHINGTON DC 20005 521806524 44523 SUBAWARD NEW YORK UNIVERSITY 726 BROADWAY NEW YORK NY 10003 135562308 501 (C) (3) 934612 SUBAWARD NEW YORK UNIVERSITY SCHOOL OF MEDICINE ONE PARK AVENUE 6TH FLOOR NEW YORK NY 100165800 135562309 501 (C) (3) 22561 SUBAWARD NORTHEASTERN ILLINOIS UNIVERSITY 5500 NORTH ST LOUIS AVENUE CHICAGO IL 60625 366009515 GOVT 13751 SUBAWARD NORTHERN ILLINOIS UNIVERSITY 301 LOWDEN HALL DE KALB IL 601152828 100064401 GOVT 8287 SUBAWARD NORTHSHORE UNIVERSITY HEALTH SYSTEM 2650 RIDGE AVENUE - G221 EVANSTON IL 60201 362167060 501 (C) (3) 1348299 SUBAWARD NORTHWEST LIPID METABOLISM AND DIABETES RESEARCH LABORATORIES 401 QUEEN ANNE AVE N SEATTLE WA 98109 916000537 501 (C) (3) 31442 SUBAWARD NORTHWESTERN UNIVERSITY 633 CLARK STREET SUITE G-547 EVANSTON IL 602081112 362167817 501 (C) (3) 2447359 SUBAWARD NOVA SOUTHEASTERN UNIVERSITY 3301 COLLEGE AVENUE FORT LAUDERDALE FL 333147721 591083502 501 (C) (3) 55727 SUBAWARD OHIO STATE UNIVERSITY 901 WOODY HAYES DRIVE COLUMBUS OH 432104016 316025986 GOVT 26012 SUBAWARD OREGON HEALTH & SCIENCE UNIVERSITY 3181 SW SAM JACKSON PARK ROAD PORTLAND OR 972393098 931176109 GOVT 14993 SUBAWARD OUNCE OF PREVENTION FUND 33 WEST MONROE STREET SUITE 2400 CHICAGO IL 606035400 363186328 501 (C) (3) 293910 SUBAWARD PENN STATE UNIVERSITY 513 JOAB L THOMAS BLDG UNIVERSITY PARK PA 16802 246000376 GOVT 8000 SUBAWARD PLANETARY SCIENCE INSTITUTE 1700 EAST FORT LOWELL ROAD SUITE 106 TUCSON AZ 857192395 330175263 501 (C) (3) 127207 SUBAWARD PLANNED PARENTHOOD GREAT PAINS 4401 W 109TH STREET SUITE 200 OVERLAND PARK KS 662111303 440565390 501 (C) (3) 206056 SUBAWARD PLANNED PARENTHOOD OF ILLINOIS 18 S MICHIGAN AVENUE 6TH FLOOR CHICAGO IL 60603 362170901 501 (C) (3) 15068 SUBAWARD PRINCETON UNIVERSITY 5 NEW SOUTH BUILDING PO BOX 5292 PRINCETON NJ 085445292 210634501 501 (C) (3) 245268 SUBAWARD PURDUE UNIVERSITY 302 WOOD STREET WEST LAFAYETTE IN 479072040 356002041 GOVT 507422 SUBAWARD RESEARCH FOUNDATION FOR SUNY 402 CROFTS HALL BUFFALO NY 142607016 141368361 501 (C) (3) 8674 SUBAWARD RESEARCH INSTITUTE AT NATIONWIDE CHILDREN'S HOSPITAL 700 CHILDRENS DRIVE COLUMBUS OH 432052664 316056230 501 (C) (3) 247010 SUBAWARD RICE UNIVERSITY 6100 MAIN STREET HOUSTON TX 77005 741109620 501 (C) (3) 40746 SUBAWARD RUSH UNIVERSITY MEDICAL CENTER 1700 WEST VAN BUREN STREET ROOM NO CHICAGO IL 60612 362174823 501 (C) (3) 618745 SUBAWARD RUTGERS UNIVERSITY 125 PATERSON STREET NEW BRUNSWICK NJ 089011962 226001086 GOVT 82864 SUBAWARD SAN DIEGO STATE UNIVERSITY 5250 CAMPANILE DRIVE SAN DIEGO CA 921821931 956042721 GOVT 9270 SUBAWARD SCHOOL OF THE ART INSTITUTE OF CHICAGO 37 S WABASH AVENUE CHICAGO IL 606033002 362167725 501 (C) (3) 84706 SUBAWARD SEATTLE CHILDREN'S RESEARCH INSTITUTE 1900 NINTH AVENUE MS C95-5 SEATTLE WA 98101 910564748 501 (C) (3) 32719 SUBAWARD SETI INSTITUTE 189 BERNARDO AVENUE MOUNTAIN VIEW CA 940435203 942951356 501 (C) (3) 15639 SUBAWARD SINAI HEALTH SYSTEM 1500 S CALIFORNIA AVENUE CHICAGO IL 606081797 363166895 501 (C) (3) 66127 SUBAWARD SOUTHERN ILLINOIS UNIVERSITY 801 N RUTLEDGE STREET PO BOX 19616 SPRINGFIELD IL 627949616 376005961 501 (C) (3) 404224 SUBAWARD ST BERNARD HOSPITAL 326 WEST 64TH STREET CHICAGO IL 60621 362264414 501 (C) (3) 38821 SUBAWARD ST JUDE CHILDREN'S RESEARCH HOSPITAL 262 DANNY THOMAS PLACE MEMPHIS TN 381053678 620646012 501 (C) (3) 242191 SUBAWARD STANFORD UNIVERSITY 340 PANAMA STREET STANFORD CA 94305 941156365 501 (C) (3) 330866 SUBAWARD STARWISE THERAPEUTICS LLC 505 S ROSA ROAD SUITE 27 MADISON WI 53719 814551521 14618 SUBAWARD SYMPHONY OF SOUTH SHORE 2425 E 71ST STREET CHICAGO IL 606492612 473964105 78679 SUBAWARD TCA HEALTH INC 1029 E 130TH STREET CHICAGO IL 60628 362743287 501 (C) (3) 7128 SUBAWARD THE BOULEVARD OF CHICAGO 3456 W FRANKLIN BLVD CHICAGO IL 60624 364075641 501 (C) (3) 8914 SUBAWARD THE COMMUNITY ACTION PLACE INC 502 N HORN STREET FRANKFORT IL 62896 475193214 501 (C) (3) 74342 SUBAWARD THE GENEVA FOUNDATION 917 PACIFIC AVENUE SUITE 600 TACOMA WA 984024447 911593913 501 (C) (3) 31847 SUBAWARD THE MIND RESEARCH NETWORK 1101 YALE BOULEVARD NE ALBUQUERQUE NM 871064188 850457562 501 (C) (3) 6333 SUBAWARD THE RESEARCH FOUNDATION FOR SUNY 750 E ADAMS ST SYRACUSE NY 132102306 141368361 501 (C) (3) 30369 SUBAWARD TUFTS UNIVERSITY 161 COLLEGE AVENUE MEDFORD MA 02155 042103634 501 (C) (3) 42607 SUBAWARD UMMA COMMUNITY CLINIC 711 W FLORENCE AVENUE LOS ANGELES CA 90044 954666712 501 (C) (3) 220133 SUBAWARD UNIVERSITY OF ALABAMA 1530 3RD AVENUE S AB 1170 BIRMINGHAM AL 35294 636005996 501 (C) (3) 104988 SUBAWARD UNIVERSITY OF ARIZONA 888 N EUCLID ROOM 510 TUCSON AZ 85722 742652689 GOVT 32969 SUBAWARD UNIVERSITY OF CALIFORNIA-BERKELEY 2150 SHATTUCK AVENUE SUITE 300 BERKELEY CA 947045940 946002123 GOVT 57959 SUBAWARD UNIVERSITY OF CALIFORNIA-DAVIS ONE SHIELDS AVENUE DAVIS CA 956168677 946036494 GOVT 276450 SUBAWARD UNIVERSITY OF CALIFORNIA-IRVINE 4255 CAMPUS DRIVE IRVINE CA 90024 952226406 GOVT 104426 SUBAWARD UNIVERSITY OF CALIFORNIA-LOS ANGELES 10920 WILSHIRE BOULEVARD SUITE 1200 1200 LOS ANGELES CA 900241406 956006143 GOVT 382638 SUBAWARD UNIVERSITY OF CALIFORNIA-SAN DIEGO 9500 GILMAN DRIVE - RM 3041 LA JOLLA CA 920930660 956006144 GOVT 720654 SUBAWARD UNIVERSITY OF CALIFORNIA-SAN FRANCISCO 3333 CALIFORNIA STREET SUITE 315 SAN FRANCISCO CA 94118 946036493 GOVT 426323 SUBAWARD UNIVERSITY OF CINCINNATI 51 GOODMAN DRIVE SUITE 530 CINCINNATI OH 452210222 316000989 501 (C) (3) 38692 SUBAWARD UNIVERSITY OF COLORADO 3100 MARINE STREET BOULDER CO 80309 391481425 GOVT 360127 SUBAWARD UNIVERSITY OF COLORADO DENVER ANSCHUTZ MEDICAL CAMPUS 13001 E 17TH PLACE AURORA CO 800452571 856000555 501 (C) (3) 82629 SUBAWARD UNIVERSITY OF CONNECTICUT 438 WHITNEY ROAD EXT UNIT 1133 STORRS CT 06269 060772160 GOVT 244466 SUBAWARD UNIVERSITY OF DENVER 2199 S UNIVERSITY BOULEVARD DENVER CO 802082121 840404231 GOVT 105812 SUBAWARD UNIVERSITY OF FLORIDA 219 GRINTER HALL PO BOX 1003628 GAINESVILLE FL 32611 590974739 GOVT 92531 SUBAWARD UNIVERSITY OF HAWAII 2440 CAMPUS ROAD BOX 268 HONOLULU HI 968222234 990085260 GOVT 72390 SUBAWARD UNIVERSITY OF ILLINOIS-CHAMPAIGNURBANA 1901 S FIRST ST SUITE A MC-685 CHAMPAIGN IL 618206242 376000511 GOVT 364199 SUBAWARD UNIVERSITY OF ILLINOIS-CHICAGO 809 SOUTH MARSHFIELD AVENUE CHICAGO IL 606127205 376000511 GOVT 2295118 SUBAWARD UNIVERSITY OF LOUISVILLE RESEARCH FOUNDATION INC 300 EAST MARKET STREET SUITE 300 LOUISVILLE KY 402021959 611029626 GOVT 791955 SUBAWARD UNIVERSITY OF MARYLAND 3300 METZEROTT ROAD ADELPHI MD 20783 526002033 GOVT 331607 SUBAWARD UNIVERSITY OF MICHIGAN 3003 S STATE STREET 3089 WOLVERINE TOWER ANN ARBOR MI 481091287 386006309 GOVT 268632 SUBAWARD UNIVERSITY OF MINNESOTA 200 OAK STREET SE MINNEAPOLIS MN 55455 416007513 GOVT 630291 SUBAWARD UNIVERSITY OF NEW MEXICO 1 UNIVERSITY OF NEW MEXICO ALBUQUERQUE NM 87131 856000642 501 (C) (3) OR GOVT 93184 SUBAWARD UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DRIVE CB1350 CHAPEL HILL NC 275991350 566001393 GOVT 98069 SUBAWARD UNIVERSITY OF NOTRE DAME 402 GRACE HALL NOTRE DAME IN 46556 350868188 501 (C) (3) 57627 SUBAWARD UNIVERSITY OF OREGON 5219 UNIVERSITY OF OREGON EUGENE OR 974035219 936015767 GOVT 754878 SUBAWARD UNIVERSITY OF PENNSLYVANIA 3451 WALNUT STREET 5TH FLOOR FRANKLIN BLDG PHILADELPHIA PA 191046205 231352685 501 (C) (3) 124539 SUBAWARD UNIVERSITY OF PENNSYLVANIA 3451 WALNUT STREET P-221 FRANKLIN BLDG PHILADELPHIA PA 191046205 231352685 501 (C) (3) 535905 SUBAWARD UNIVERSITY OF PITTSBURGH 3100 CATHEDRAL OF LEARNING PITTSBURGH PA 15260 250965591 501 (C) (3) 324064 SUBAWARD UNIVERSITY OF ROCHESTER 107 HARKNESS HALL ROCHESTER NY 14627 160743209 501 (C) (3) 45000 SUBAWARD UNIVERSITY OF SOUTH CAROLINA 1600 HAMPTON STREET SUITE 613 COLUMBIA SC 29208 576001153 GOVT 27903 SUBAWARD UNIVERSITY OF SOUTH FLORIDA 3702 SPECTRUM BLVD SUITE 165 TAMPA FL 336129445 593102112 GOVT 85536 SUBAWARD UNIVERSITY OF SOUTHERN CALIFORNIA UNIVERSITY PARK CAMPUS - STO 330 LOS ANGELES CA 900891147 951642394 501 (C) (3) 479407 SUBAWARD UNIVERSITY OF TAMPA 401 W KENNEDY BLVD BOX U EAST WALKER 103 TAMPA FL 33606 590624459 501 (C) (3) 86448 SUBAWARD UNIVERSITY OF TENNESEE UTHSC 62 S DUNLAP MEMPHIS TN 38163 626001636 GOVT 90276 SUBAWARD UNIVERSITY OF TEXAS HSC AT HOUSTON 7000 FANNIN UCT SUITE 2514 HOUSTON TX 770305401 741761309 GOVT 630023 SUBAWARD UNIVERSITY OF TEXAS MD ANDERSON CANCER CENTER P O BOX 7159 AUSTIN TX 78713 746001118 501 (C) (3) OR GOVT 59603 SUBAWARD UNIVERSITY OF TEXAS AUSTIN 101 E 27TH STE 5300 AUSTIN TX 787121500 079497681 GOVT 19353 SUBAWARD UNIVERSITY OF UTAH 201 PRESIDENTS CIRCLE SALT LAKE CITY UT 84112 876000525 GOVT 90762 SUBAWARD UNIVERSITY OF VIRGINIA P O BOX 400202 CHARLOTTESVILLE VA 22904 546001796 GOVT 20000 SUBAWARD UNIVERSITY OF WASHINGTON 4333 BROOKLYN AVE NE BOX 359472 SEATTLE WA 981959472 916001537 501 (C) (3) 575820 SUBAWARD UNIVERSITY OF WISCONSIN-MADISON 21 NORTH PARK STREET - SUITE 6401 MADISON WI 537151218 396006492 GOVT 475893 SUBAWARD URBAN INSTITUTE 2100 M STREET NW WASHINGTON DC 20037 520880375 501 (C) (3) 58614 SUBAWARD VANDERBILT UNIVERSITY 3319 WEST END AVENUE SUITE 800 NASHVILLE TN 372036876 620476822 501 (C) (3) 1247236 SUBAWARD VIRGINIA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY 300 TURNER STREET NW SUITE 4200 BLACKSBURG VA 24061 546001805 GOVT 188803 SUBAWARD WASHINGTON REGIONAL TRANSPLANT COMMUNITY 3190 FAIRVIEW PARK DRIVE 700 FALLS CHURCH VA 220428030 521528461 501 (C) (3) 54931 SUBAWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE BOX 1034 ST LOUIS MO 631121408 436053611 501 (C) (3) 504389 SUBAWARD WEST SIDE INSTITUTE FOR SCIENCE & EDUCATION 820 S DAMEN AVENUE 151 CHICAGO IL 606123728 363712391 501 (C) (3) 38803 SUBAWARD WESTED 730 HARRISON STREET SAN FRANCISCO CA 941071242 943233542 501 (C) (3) 156312 SUBAWARD YALE UNIVERSITY 155 WHITNEY AVE SUITE 230 PO BOX 208250 NEW HAVEN CT 06520 060646973 501 (C) (3) 577629 SUBAWARD UNDERGRADUATE STUDENT AID 6103 149808273 GRDUATE STUDENT AID 9021 310139365 PART I, LINE 2 THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. X X X X X 1 1 X X X X 0 1 0 0 0 0 0 1 0 ROBERT J ZIMMER PRESIDENT 1325536 0 4120316 0 331450 0 889200 0 199333 0 6865835 0 3036956 0 ERIC ISAACS EVP RSCH, INNOV. NAT'L LABS 347945 0 35500 0 7179 0 22000 0 42455 0 455079 0 0 0 JUAN DE PABLO VP FOR NATIONAL LABORATORIES 470994 0 0 0 30880 0 22000 0 88072 0 611946 0 0 0 DANIEL DIERMEIER PROVOST 840836 0 91000 0 65576 0 72000 0 47175 0 1116587 0 0 0 DEREK DOUGLAS VP CIVIC ENGAGEMENT 538983 0 85300 0 3759 0 22000 0 56339 0 706381 0 0 0 DAVID B FITHIAN EXECUTIVE VICE PRESIDENT 692925 0 67500 0 7567 0 22000 0 18418 0 808410 0 0 0 KIMBERLY TAYLOR VP & GENERAL COUNSEL 666548 0 65000 0 25251 0 22000 0 64393 0 843192 0 0 0 SHARON MARINE VP ALUMNI RELATIONS & DEVL. 704412 0 60000 0 4722 0 22000 0 15384 0 806518 0 0 0 JAMES G NONDORF VP ENROLL. & STUDENT ADV. 648061 0 62100 0 5980 0 22000 0 10490 0 748631 0 0 0 KENNETH S POLONSKY EXEC. VP MEDICAL AFFAIRS 1784506 0 500000 0 346583 0 22000 336750 23865 0 2676954 336750 0 0 PAUL RAND VP COMMUNICATIONS 434957 0 39875 0 78821 0 22000 0 34382 0 610035 0 0 0 MICHELE RASMUSSEN DEAN OF STUDENTS 311467 0 30000 0 1580 0 22000 0 7622 0 372669 0 0 0 DARREN REISBERG VP STRATEGIC INITIATIVES 389413 0 38000 0 10083 0 22000 0 11515 0 471011 0 0 0 MARK A SCHMID VP AND CHIEF INVEST. OFFICER 743556 0 1597624 0 12075 0 762000 0 34283 0 3149538 0 708448 0 IVAN SAMSTEIN VP & CFO 537926 0 76175 0 2129 0 22000 0 49324 0 687554 0 0 0 BALAJI SRINIVASAN VP GLOBAL ENGAGEMENT 511427 0 47500 0 18136 0 22000 0 40992 0 640055 0 0 0 CATHERINE CALLOW-WRIGHT VP & SECRETARY OF THE UNIVERSITY 357758 0 35000 0 2104 0 22000 0 31562 0 448424 0 0 0 MADHAV RAJAN DEAN BOOTH SCHOOL OF BUSINESS 794375 0 116250 0 90725 0 22000 0 0 0 1023350 0 0 0 VALLUVAN JEEVANANDAM CHIEF CARDIAC & THORACIC SURG. 1216968 0 125000 0 0 0 22000 0 18390 0 1382358 0 0 0 DAVID BARCLAY CHIEF OPERATING OFFICER CRSP 225290 0 1222021 0 0 0 9520 0 34712 0 1491543 0 0 0 LUIGI ZINGALES PROF OF ENTREPRENEURSHIP & FINANCE 778944 0 461678 0 102157 0 22000 0 129172 0 1493951 0 0 0 JOHN FUNG PROF SURGERY & CHIEF OF TRANSPLANTAT 988935 0 357747 0 0 0 22000 0 32923 0 1401605 0 0 0 PRADEEP CHINTAGUNTA PROF OF MARKETING 663126 0 674571 0 85882 0 22000 0 31481 0 1477060 0 0 0 JOHN R KROLL AVP FINANCE 363730 0 37230 0 0 0 22000 0 14073 0 437033 0 0 0 PART I, LINE 1A FIRST CLASS TRAVEL. UNDER WRITTEN UNIVERSITY POLICY, FIRST CLASS AIR TRAVEL IS ONLY ALLOWED WHEN APPROVED IN ADVANCE BY A DEAN, VICE-PRESIDENT OR THE PROVOST. FOUR OFFICERS WERE APPROVED FOR FIRST CLASS TRAVEL IN ACCORDANCE WITH THIS POLICY. NONE OF THE BUSINESS TRIPS WERE DEEMED TAXABLE COMPENSATION. TRAVEL FOR COMPANION. UNDER WRITTEN UNIVERSITY POLICY, TRAVEL FOR COMPANIONS MUST BE PRE-APPROVED BY THE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER AND WILL ONLY BE APPROVED WHEN THE COMPANION TRAVEL SERVES A BONA FIDE BUSINESS PURPOSE. ONE OFFICER HAS COMPANION TRAVEL APPROVED IN ACCORDANCE WITH THIS POLICY. THE COST OF THE COMPANION TRAVEL WAS NOT DEEMED TAXABLE COMPENSATION. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS. INDIVIDUALS MAY HAVE CERTAIN PAYMENTS GROSSED UP AT THE DISCRETION OF HEADS OF DEPARTMENTS, OFFICERS OR THE BOARD OF THE UNIVERSITY. HOUSING ALLOWANCE OR RESIDENT FOR PERSONAL USE. (PART 1A & 1B AND PART II, COLUMN D FOR ROBERT J. ZIMMER). HOUSING ALLOWANCES ARE ONLY PERMITTED IF PRE-APPROVED BY THE PROVOST'S OFFICE OR UNIVERSITY HUMAN RESOURCES. ONE OFFICER RECEIVED A HOUSING ALLOWANCE WHICH WAS INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. OF THE AMOUNT IN COLUMN D FOR ROBERT J. ZIMMER, $177,633 REPRESENTS THE VALUE OF THE UNIVERSITY-OWNED HOUSING PROVIDED TO THE PRESIDENT, WHICH IS NOT DEEMED A TAXABLE BENEFIT. SOCIAL AND HEALTH CLUB DUES. UNDER WRITTEN UNIVERSITY POLICY, SOCIAL AND HEALTH CLUB DUES ARE REIMBURSABLE ONLY IF THE BENEFITS OF THE MEMBERSHIP SUPPORT THE UNIVERSITY'S MISSION AND ONLY IF THE REIMBURSEMENT IS APPROVED BY A DEAN, VICE PRESIDENT, PROVOST OR PRESIDENT OF THE UNIVERSITY. ANY PORTION OF THE DUES NOT USED FOR BUSINESS PURPOSES IS CONSIDERED TAXABLE COMPENSATION. OFFICER OF THE UNIVERSITY MAINTAIN MEMBERSHIP IN THE QUADRANGLE CLUB, A RELATED ORGANIZATION THAT OPERATES A FACULTY CLUB ON THE CAMPUS OF THE UNIVERSITY FOR PURPOSES OF CONDUCTING MEETINGS AND OTHER UNIVERSITY BUSINESS. THE UNIVERSITY REIMBURSES OFFICERS FOR THESE DUES AND THE REIMBURSEMENT IS NOT DEEMED TAXABLE COMPENSATION. IN ADDITION THREE OFFICERS HAD SOCIAL CLUB DUES REIMBURSED BY THE UNIVERSITY FOR BUSINESS PURPOSES AND THE REIMBURSEMENT WAS NOT DEEMED TAXABLE COMPENSATION. PERSONAL SERVICES. THE UNIVERSITY PROVIDE FOR THE MAINTENANCE AND CLEANING OF THE UNIVERSITY OWNED HOUSE PROVIDED TO THE PRESIDENT. THESE SERVICES WERE NOT DEEMED A TAXABLE BENEFIT. PART I, LINE 4B ROBERT J. ZIMMER $ 867,200. KENNETH POLONSKY $ 336,750. PART I, LINE 7 INVESTMENT OFFICE PERSONNEL PARTICIPATE IN AN INCENTIVE COMPENSATION PROGRAM BASED ON PERFORMANCE AND QUALITATIVE MEASUREMENTS. A IEFA 50000000 ADJ RATE REV BONDS SERIES 2003B 521297563 4520017E4 2003-08-28 50000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA 100000000 REVENUE BONDS SERIES 2004B 861091967 45200BHH4 2004-11-10 100000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 80000000 ADJ RATE REV REFUND BONDS 2004C 861091967 45200BJG4 2004-11-30 80000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA XXX-XX-XXXX ADJ RATE DEMAND REV SERIES 2008 861091967 45200FEG0 2008-04-03 123604000 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 17018000 50141933 274223 49867710 2006 0 0 1 1 B 29926000 102437189 469999 101967190 2010 0 0 1 1 C 3015000 80000000 463838 79536162 2006 0 1 1 1 D 29490000 123604000 752575 122851425 2004 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00300 0.00000 0.00300 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 1 0.00040 0 1 A 0 0 1 1 1 0 0 0 1 B 0 0 1 1 1 0 0 0 1 C 0 1 1 0 1 1 MORGAN STANLEY CAP 35.000000000000 0 0 0 0 1 D 0 0 0 1 1 1 MERRIL LYNCH CAPITAL SERVICES 33.000000000000 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K, PART IV, ARBITRAGE, LINE 2C: (A) ISSUER NAME: IEFA 50,000,000 ADJ RATE REV BONDS,SERIES 2003B DATE THE REBATE COMPUTATION WAS PERFORMED: 04/02/2009 (A) ISSUER NAME: IFA 100,000,000 REVENUE BONDS, SERIES 2004B DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2009 (A) ISSUER NAME: IFA 80,000,000 ADJ RAT REV REFUNDING BONDS 2004C DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2011 (A) ISSUER NAME: IFA 123,604,000 ADJ RATE DEMAND REV SERIES 2008 DATE THE REBATE COMPUTATION WAS PERFORMED: 03/26/2013 (A) ISSUER NAME: IFA 369,570,000 REVENUE BONDS SERIES 2012A DATE THE REBATE COMPUTATION WAS PERFORMED: 01/31/2017 (A) ISSUER NAME: IFA 149,090,000 REVENUE BONDS SERIES 2013A DATE THE REBATE COMPUTATION WAS PERFORMED: 03/01/2018 PART II, LINE 3 SERIES 2003B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $141,933. SERIES 2004B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $2,437,189. SERIES 2012A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $8,068. SERIES 2013A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $4,887. SERIES 2014A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND THE TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $3,893. SERIES 2015A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND THE TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $248,055. SERIES 2018A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND THE TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $482,872. . PART II, LINE 11: SERIES 2004B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2012B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2013A: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2014A: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2015A: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2018A: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. PART I COLUMN F DESCRIPTION OF PURPOSE $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $369,570,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2012A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, THE MULTIPURPOSE ECONOMICS RESEARCH BUILDING, AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 1985A BONDS AND THE 2004A BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. $149,090,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2013A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE, AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, ADAPTIVE REUSE OF 5757 S. UNIVERSITY AVENUE AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 2001A BONDS, THE 2004A BONDS AND THE 2008B BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. $650,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2014A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, REFUND THE SERIES 2009 ISSUE, PAY CERTAIN COSTS RELATING TO THE ISSUE OF THE SERIES 2014A BONDS AND ADVANCED REFUNDING OF THE 2009 ISSUE. $415,825,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2015A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, REFUND THE SERIES 2007 ISSUE, PAY CERTAIN COSTS OF ISSUANCE. $114,705.000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2018A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE, AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, REFINANCING THE COMMERCIAL PAPER NOTES ISSUED TO REDEEM THE SERIES 2001B-3 ISSUE, AND PAY CERTAIN COSTS OF ISSUANCE. PART III, LINE 6, COLUMNS A,B,C, & D THE AMOUNT OF NON QUALIFIED USE FROM LEASES, MANAGEMENT CONTRACTS, AND/OR RESEARCH AGREEMENTS IS LESS THAN THE EQUITY CONTRIBUTION OF THE UNIVERSITY FOR THE IMPACTED PROJECTS AND THEREFORE RESULTS IN NO PRIVATE BUSINESS USE FOR THE ISSUE A IFA 369570000 REVENUE BONDS SERIES 2012A 861091967 45203HFF4 2012-02-02 421065981 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA 149090000 REVENUE BONDS SERIES 2013A 861091967 45203HRE4 2013-05-15 159766350 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 650000000 REVENUE BONDS SERIES 2014A 861091967 45203HB68 2014-08-12 644509246 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA XXX-XX-XXXX REVENUE BONDS SERIES 2015A 861091967 45203H3H3 2015-09-10 452070011 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 27665000 421074049 1982388 150009360 269082300 2013 0 1 1 1 B 2420000 159771237 1179561 100004887 58586789 2014 1 1 1 1 C 644513139 2131891 175008593 467372655 2015 0 1 1 1 D 2775000 452318067 1522422 200331641 250464004 2017 0 1 1 1 A 0 1 1 1 1 1 0.00200 0.00000 0.00200 0 1 0.00400 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 1 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 1 0 0 0 0 0 0 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 A IFA XXX-XX-XXXX REVENUE BONDS SERIES 2018A 861091967 45204ED70 2018-03-07 128797725 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 129280597 842147 56173450 72265000 2019 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 A 1 MADHAV RAJAN KEY EMPLOYEE X 1250000 1250000 0 1 1 JUAN DE PABLO OFFICER X 100000 40000 0 1 1 DAVID FITHIAN OFFICER X 136000 74785 0 1 1 KIMBERLY TAYLOR OFFICER X 100000 20000 0 1 1 JUAN DE PABLO OFFICER X 100000 100000 0 1 1 1484785 TISHMAN SPEYER CROWN EQUITIES SEE PART V 600506 SEE PART V 0 TRIAN PARTNERS SEE PART V 661018 SEE PART V 0 PIMCO SEE PART V 262242 SEE PART V 0 THE CARLYLE GROUP SEE PART V 251201 SEE PART V 0 LAKE CAPITAL PARTNERS SEE PART V 147688 SEE PART V 0 SHADI BARTSCH-ZIMMER SEE PART V 351234 SEE PART V 0 ARIELA LAZAR SEE PART V 41880 SEE PART V 0 TAMAR POLONSKY SEE PART V 288352 SEE PART V 0 PART IV JAMES S. CROWN, A TRUSTEE OF THE UNIVERSITY, AND HIS FAMILY OWN AN INDIRECT INTEREST IN TISHMAN SPEYER CROWN EQUITIES, LLC (TISHMAN SPEYER), WHICH THROUGH A SUBSIDIARY OWNS AN OFFICE BUILDING IN WASHINGTON D.C. IN WHICH THE UNIVERSITY OF CHICAGO LEASES OFFICE SPACE. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $226,455 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2019. THE UNIVERSITY ALSO LEASES OFFICE SPACE IN NEW YORK, NEW YORK FROM TISHMAN SPEYER. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $600,506 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2019.EMMANUEL ROMAN, A TRUSTEE OF THE UNIVERSITY, IS THE CHIEF EXECUTIVE OFFICER OF PIMCO, A FIXED INCOME INVESTMENT FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. PIMCO RECEIVED APPROXIMATELY $262,242 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2019.DAVID M. RUBENSTEIN, A TRUSTEE OF THE UNIVERSITY, IS A CO-FOUNDER AND CO-CEO OF THE CARLYLE GROUP, A PRIVATE EQUITY FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. THE CARLYLE GROUP RECEIVED APPROXIMATELY $251,201 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2019.PAUL YOVOVICH, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT, PRINCIPAL, AND CO-FOUNDER OF LAKE CAPITAL, A PRIVATE EQUITY FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. LAKE CAPITAL RECEIVED APPROXIMATELY $147,688 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2019.SHADI BARTSCH-ZIMMER, THE WIFE OF THE UNIVERSITY OF CHICAGO PRESIDENT ROBERT J. ZIMMER, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR OF CLASSICS. MS. BARTSCH-ZIMMER WAS PAID A GROSS SALARY OF $351,219 FOR THE CALENDAR YEAR 2018 IN CONNECTION WITH HER EMPLOYMENT.ARIELA LAZAR, THE WIFE OF THE UNIVERSITY OF CHICAGO PROVOST, DANIEL DIERMEIER, IS EMPLOYED BY THE UNIVERSITY AS A LECTURER IN THE UNIVERSITY'S DEPARTMENT OF PHILOSOPHY AND GRAHAM SCHOOL OF CONTINUING LIBERAL AND PROFESSIONAL STUDIES. MS. LAZAR WAS PAID $41,880 FOR THE CALENDAR YEAR 2018 IN CONNECTION WITH HER EMPLOYMENT.TAMAR POLONSKY, THE DAUGHTER OF KENNETH POLONSKY, DEAN AND EXECUTIVE VICE PRESIDENT FOR MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS AN ASSOCIATE PROFESSOR IN THE DEPARTMENT OF MEDICINE. DR. POLONSKY WAS PAID $256,436 FOR THE CALENDAR YEAR 2018 IN CONNECTION WITH HER EMPLOYMENT. X 9 X 2541730 OPINION OF EXPERTS X 333 63477777 COST/ELLLING PRICE X LIBRARY, NON-BOOK 0 5935 COST/SELLING PRICE X INSTRUMENTS 0 5224 COST/SELLING PRICE 25 0 1 1 PART I, LINE 32B: RELATED ORGANIZATIONS IN THE UK, FRANCE, SINGAPORE, HONG KONG AND INDIA SOLICIT CHARITABLE CONTRIBUTIONS FOR THE BENEFIT OF THE UNIVERSITY AND ITS PROGRAMS. THE UNIVERSITY USES AN OUTSIDE BROKER TO SELL GIFTS OF SECURITIES. PART I, LINE 33: THE UNIVERSITY OF CHICAGO DOES NOT RECORD GIFTS OF ART AS REVENUE AS PERMITTED UNDER SFAS 116. FORM 990, PART VI FORM 990, PART V LINE 16 AS OF JUNE 30, 2018 THE AGGREGATE FAIR MARKET VALUE OF ASSETS NOT USED DIRECTLY IN CARRYING OUT THE UNIVERSITY OF CHICAGO'S EXEMPT PURPOSE IS LESS THAN $500,000 PER STUDENT. AS SUCH, THE UNIVERSITY HAS DETERMINED IT IS NOT SUBJECT TO AN EXCISE TAX ON NET INVESTMENT INCOME. FORM 990, PART VI, SECTION A, LINE 2 ANDREW M. ALPER, KENNETH M. JACOBS AND TIMOTHY H. GEORGE, ALL TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. ANDREW M. ALPER AND JAMES S. CROWN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP CRAIG J. DUCHOSSOIS AND JAMES S. CROWN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP KENNETH C. GRIFFIN AND JAMES S. CROWN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP KENNETH C. GRIFFIN AND BRADY W. DOUGAN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP KENNETH C. GRIFFIN AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP KENNETH C. GRIFFIN, A TRUSTEE, AND MADHAV RAJAN, A KEY EMPLOYEE OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP BYRON D. TROTT AND THOMAS J. PRITZKER, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP CRAIG J. DUCHOSSOIS, ASHLEY D. JOYCE AND BYRON D. TROTT, ALL TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. JOSEPH NEUBAUER AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. JOHN W. ROGERS AND PAULA WOLFF, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11B PRIOR TO FILING THE FORM 990, MEMBERS OF THE EXECUTIVE COMMITTEE OF THE UNIVERSITY'S BOARD OF TRUSTEES WERE GIVEN AN OPPORTUNITY TO REVIEW PORTIONS OF THE FORM 990 RELEVANT TO THE THEIR AREAS OF OVERSIGHT. THESE PORTIONS OF THE FORM 990 WERE DISTRIBUTED TO COMMITTEE MEMBERS FOR CONVENED MEETINGS IN FEBRUARY 2020, AT WHICH TRUSTEES OF THESE COMMITTEES WERE GIVEN THE OPPORTUNITY TO DISCUSS THE RELEVANT SECTIONS OF THE FORM 990 AND ASK QUESTIONS. IN ADDITION, IN EARLY APRIL 2020, THE COMPLETED DRAFT FORM 990 (AND FORM 990-T), INCLUDING ALL SCHEDULES, WAS POSTED ON A SECURE WEBSITE ACCESSIBLE TO ALL TRUSTEES TO ALLOW THEM TO REVIEW THE FORM, PROVIDE COMMENTS, AND ASK ANY QUESTIONS. INFORMATION ABOUT ACCESSING THE WEBSITE WAS DISTRIBUTED IN ADVANCE TO ALL TRUSTEES. THE DRAFT FORM REMAINED AVAILABLE ON THE WEBSITE FOR APPROXIMATELY TWO WEEKS, AFTER WHICH ONLINE ACCESS ENDED TO ALLOW THE UNIVERSITY TIME TO FINALIZE THE FORM 990 AND FORM 990T FOR FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICIES ALL TRUSTEES, OFFICERS, FACULTY, SENIOR ADMINISTRATORS, AND OTHER EMPLOYEES OF THE UNIVERSITY ARE SUBJECT TO CONFLICT OF INTEREST POLICIES THAT, AMONG OTHER THINGS, DEFINE MATERIAL FINANCIAL CONFLICTS OF INTEREST, IDENTIFY THE CLASSES OF INDIVIDUALS COVERED BY THE POLICIES, FACILITATE DISCLOSURE OF INFORMATION, AND SPECIFY PROCEDURES TO BE FOLLOWED IN MANAGING THE CONFLICTS. THESE CONFLICT OF INTEREST POLICIES AND PROCEDURES INCLUDE: (1) THE UNIVERSITY OF CHICAGO CONFLICT OF INTEREST POLICY FOR TRUSTEES AND OFFICERS REQUIRES TRUSTEES AND OFFICERS TO ALERT THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP AND GOVERNANCE, OR THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL OF ANY POTENTIAL CONFLICT OF INTEREST, AND ABSTAIN FROM PARTICIPATING IN OR VOTING ON THE MATTER. THE POLICY ALSO REQUIRES TRUSTEES AND OFFICERS TO DISCLOSE ON AN ANNUAL BASIS, ACTUAL AND POTENTIAL CONFLICTS OF INTEREST BY COMPLETING A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ALL CONFLICT OF INTEREST DISCLOSURES AND RELATED DISCUSSIONS ARE SHARED WITH THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP AND GOVERNANCE, AND THE UNIVERSITY'S PRESIDENT, ITS GENERAL COUNSEL, AND ITS EXTERNAL AUDITORS. THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL, IN CONSULTATION WITH THE COMMITTEE ON TRUSTEESHIP AND GOVERNANCE AND SENIOR UNIVERSITY ADMINISTRATORS, COMPILES THE DISCLOSURES INTO A CONFIDENTIAL DATABASE. THE CHAIR OF THE BOARD ALSO REVIEWS ALL DISCLOSED POTENTIAL CONFLICTS OF INTEREST BEFORE MAKING BOARD COMMITTEE ASSIGNMENTS. (2) THE UNIVERSITY'S POLICY ON SERVICE TO OUTSIDE ORGANIZATIONS BY SENIOR ADMINISTRATORS REQUIRES OFFICER AND SENIOR ADMINISTRATORS TO DISCLOSE ALL OFFICER, DIRECTOR, OR TRUSTEE POSITIONS THEY HOLD OR INTEND TO HOLD IN OUTSIDE ORGANIZATIONS, INCLUDING BUT NOT LIMITED TO ORGANIZATIONS IN WHICH THEY HAVE A FINANCIAL INTEREST OR FROM WHICH THEY RECEIVE COMPENSATION. THE UNIVERSITY'S OFFICE OF LEGAL COUNSEL MONITORS SUCH POTENTIAL CONFLICTS BY CIRCULATING ANNUALLY A DISCLOSURE FORM THAT MUST BE UPDATED AS CIRCUMSTANCES CHANGE, AND SENIOR ADMINISTRATORS AND OFFICERS ARE ALSO REQUIRED TO DISCLOSE ALL SUCH RELATIONSHIPS IN ADVANCE TO THEIR IMMEDIATE SUPERVISOR. THIS INFORMATION MAY BE SHARED WITH THE UNIVERSITY'S TRUSTEES, PRESIDENT, PROVOST, VICE PRESIDENT AND GENERAL COUNSEL, AND OTHERS AS NECESSARY; COMPENSATED OUTSIDE SERVICE IS ALSO SUBJECT TO REVIEW BY THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. (3) ACADEMIC EMPLOYEES, INCLUDING THE PRESIDENT AND THE PROVOST, ARE SUBJECT TO THE UNIVERSITY'S CONFLICT OF INTEREST AND CONFLICT OF COMMITMENT POLICY FOR FACULTY AND OTHER ACADEMIC APPOINTEES. THE OFFICE OF THE PROVOST IS THE ADMINISTRATIVE OFFICE CHARGED WITH ASSURING COMPLIANCE WITH THE FACULTY CONFLICT OF INTEREST POLICY. THE PROVOST HAS DELEGATED OVERSIGHT OF THIS POLICY TO THE VICE PROVOST AS ITS CHAIR. THE PROVOST ALSO APPOINTS THE MEMBERS OF THE STANDING COMMITTEE ON INDIVIDUAL CONFLICTS OF INTEREST AND DESIGNATES THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST REPORTS PERIODICALLY TO THE STANDING COMMITTEE ON THE STATUS OF FACULTY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY; THE REPORT INCLUDES HOW RISKS HAVE BEEN ADDRESSED THROUGH MANAGEMENT PLANS OR OTHER PRACTICES INTENDED TO PROVIDE FOR THE REDUCTION, ELIMINATION OR MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS. THE VICE PROVOST SEEKS ASSESSMENTS OF THE RISKS AND RECOMMENDATIONS FOR RESPONSIBLE MANAGEMENT FROM DEPARTMENT CHAIRS AND DEANS AND OTHERS SUCH AS THE DIRECTOR OF UNIVERSITY RESEARCH ADMINISTRATION AND THE OFFICE OF LEGAL COUNSEL. (4) THE UNIVERSITY'S CONFLICT OF INTEREST POLICY REQUIRES ALL NON-ACADEMIC EMPLOYEES TO AVOID INVOLVEMENT IN ACTIVITIES WHICH MIGHT CONFLICT, OR MIGHT APPEAR TO CONFLICT, WITH THEIR INSTITUTIONAL RESPONSIBILITIES, INCLUDING, BUT NOT LIMITED TO BUSINESS OR FINANCIAL INTERESTS, TRANSACTIONS INVOLVING THE USE OF CONFIDENTIAL INFORMATION OR KNOWLEDGE GAINED AS A RESULT OF THE EMPLOYEE'S RELATIONSHIP WITH THE UNIVERSITY, THE USE OF UNIVERSITY RESOURCES FOR PERSONAL BENEFIT OR THE BENEFIT OF OTHERS, THE ACCEPTANCE OF GIFTS OF MORE THAN NOMINAL VALUE, AND NEPOTISM. CONFLICT OF INTEREST POLICY REQUIRES STAFF TO PROVIDE FULL DISCLOSURE OF ANY INTEREST THAT MIGHT INFLUENCE, OR APPEAR TO HAVE THE CAPACITY TO INFLUENCE, THE STAFF MEMBER'S OFFICIAL DECISIONS OR ACTIONS ON UNIVERSITY MATTERS. THE DISCLOSURES ARE TO BE IN WRITING, TENDERED TO THE EMPLOYEE'S IMMEDIATE SUPERVISOR, DEPARTMENT HEAD, OR THE APPROPRIATE VICE PRESIDENT OF THE UNIVERSITY. (5) THE UNIVERSITY'S POLICY ON BUSINESS CONDUCT AT THE UNIVERSITY OF CHICAGO REQUIRES ALL UNIVERSITY EMPLOYEES TO, AMONG OTHER THINGS, AVOID REAL OR PERCEIVED CONFLICTS OF INTEREST; USE UNIVERSITY RESOURCES ONLY FOR LEGITIMATE UNIVERSITY BUSINESS; AND REPORT POSSIBLE VIOLATIONS OF THE POLICY, OTHER UNIVERSITY POLICIES, OR APPLICABLE LAW. MEMBERS OF THE UNIVERSITY COMMUNITY ARE ENCOURAGED TO REPORT COMPLIANCE CONCERNS THROUGH NORMAL LINES OF COMMUNICATION INCLUDING DISCUSSIONS WITH SUPERVISORS OR ADVISORS AND, IF NECESSARY, THROUGH THE TOLL-FREE HOTLINE. FORM 990, PART VI, SECTION B, LINE 15 DURING THE TAX YEAR, THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES CONDUCTED ITS ANNUAL REVIEW OF COMPENSATION FOR THE UNIVERSITY'S PRESIDENT AND ALL OTHER UNIVERSITY OFFICERS, BASED ON A RECOMMENDATION FROM THE CHAIRMAN OF THE BOARD OF TRUSTEES IN THE CASE OF THE PRESIDENT'S COMPENSATION, AND RECOMMENDATIONS FROM THE PRESIDENT IN THE CASE OF OFFICER COMPENSATION. THE EXECUTIVE COMMITTEE REVIEWED THESE RECOMMENDATIONS, INCLUDING A REVIEW OF COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS, AND MADE FINAL DECISIONS REGARDING COMPENSATION. ALL DECISIONS OF THE EXECUTIVE COMMITTEE ARE DOCUMENTED IN MINUTES MAINTAINED BY THE UNIVERSITY. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, CONFLICT OF INTEREST POLICIES, AND MOST RECENT FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ON THE UNIVERSITY'S WEBSITE, WWW.UCHICAGO.EDU. UCHICAGO ARGONNE LLC 5801 S ELLIS AVENUE CHICAGO IL 60637 680628477 MANAGE LAB IL 797629495 UNIV OF CHICAGO UNIV OF CHICAGO FOUNDATION LTD 5TH FL ALDER CASTLE 10 NOBLE LONDON UK 980525557 FUNDRAISING UK 3284709 5915 UNIV OF CHICAGO THEORY AND COMPUTING SCIENCES 5801 S ELLIS AVENUE CHICAGO IL 60637 516596577 RESEARCH BUILDING IL 10475936 134517674 UNIV OF CHICAGO UCHICAGO TRADING 5801 S ELLIS AVENUE CHICAGO IL 60637 300517735 INVESTING CJ 906345 1607730 UNIV OF CHICAGO MAROON INVESTMENTS LLC 5801 S ELLIS AVENUE CHICAGO IL 60637 HOLDING COMPANY IL 0 0 UNIV OF CHICAGO UCHICAGO IMPACT LLC 1307 E 60TH STREET CHICAGO IL 60637 611682394 EDUCATION IL 7274096 6170972 UNIV OF CHICAGO HARPER COURT LLC 5801 S ELLIS AVENUE CHICAGO IL 60637 HOLDING COMPANY IL 3870356 1290065 UNIV OF CHICAGO LPA MANAGEMENT LLC 5801 S ELLIS AVENUE CHICAGO IL 60637 PROPERTY MANAGEMENT IL 110604 365772 UNIV OF CHICAGO ASIAN HEALTH COALITION 180 W WASHINGTON ST SUITE 1000 CHICAGO IL 60602 311607193 HEALTHCARE ACCESSIBILITY IL 501 (C) (3) LINE 10 UNIV OF CHICAGO 1 ARCH DEVELOPMENT CORPORATION 5555 S WOODLAWN AVENUE CHICAGO IL 60637 363485244 TECH TRANSFER IL 501 (C) (3) LINE 12A, I UNIV OF CHICAGO 1 CHAPIN HALL CENTER FOR CHILDREN 1313 E 60TH STREET CHICAGO IL 60637 362167012 POLICY RESEARCH CENTER IL 501 (C) (3) LINE 7 0 CHICAGO HOME FOR THE INCURABLES 5801 S ELLIS AVENUE CHICAGO IL 60637 362169138 SUPP RESEARCH IL 501 (C) (3) LINE 12A, I UNIV OF CHICAGO 1 CHICAGO TUMOR INSTITUTE 5801 S ELLIS AVENUE CHICAGO IL 60637 237136019 SUPP RESEARCH IL 501 (C) (3) LINE 12A, I UNIV OF CHICAGO 1 COURT THEATRE FUND 5535 S ELLIS AVENUE CHICAGO IL 60637 363203660 SUPP THE ARTS IL 501 (C) (3) LINE 12A, I UNIV OF CHICAGO 1 FERMI RESEARCH ALLIANCE LLC PO BOX 500 BATAVIA IL 60510 571239010 MANAGE LAB IL 501 (C) (3) LINE 7 N/A 0 HYMEN MILGROM SUPPORTING ORGANIZATION 33 NLASALLE ST SUITE 2131 CHICAGO IL 60602 466789522 SUPP EDUCATION RESEARCH VA 501 (C) (3) LINE 12D, III-O 0 LAKE PARK ASSOCIATES 5801 S ELLIS AVENUE CHICAGO IL 60637 366111317 PROPERTY HOLDING IL 501 (C) (2) UNIV OF CHICAGO 1 NATIONAL OPINION RESEARCH CENTER 55 E MONROE AVENUE CHICAGO IL 60603 362167808 SO SCI SURVEYS IL 501 (C) (3) LINE 7 N/A 1 THE JOHN CRERAR FOUNDATION 5730 S ELLIS AVENUE CHICAGO IL 60637 363155157 SUPPORT THE LIBRARY IL 501 (C) (3) LINE 12D, III-O 0 THE MARINE BIOLOGICAL LABORATORY 7 MBL STREET WOODS HOLE MA 02543 042104690 RESEARCH AND EDUCATION MA 501 (C) (3) LINE 7 UNIV OF CHICAGO 1 THE QUADRANGLE CLUB 5801 S ELLIS AVENUE CHICAGO IL 60637 361655190 SOCIAL CLUB IL 501 (C) (7) UNIV OF CHICAGO 1 UCHICAGO RESEARCH BANGLADESH LTD HSE 388 ROAD 24 NEW DOH DHAKA BG RESEARCH BG UCHGO RSCH INTL 1 UCHICAGO RESEARCH INTERNATIONAL LTD 5801 S ELLIS AVENUE CHICAGO IL 60637 262741573 RESEARCH IL 501 (C) (3) LINE 12A, I UNIV OF CHICAGO 1 UNIV OF CHGO BOOTH SCHL OF BUSINESS WOOLGATE EXCHANGE 25 BASINGHAL LONDON UK EDUCATION UK UNIV OF CHICAGO 1 UNIV OF CHGO BOOTH SCHL OF BUSINESS 101PENANG RD 238466 SINGAPORE SN EDUCATION SN UNIV OF CHICAGO 1 UNIV OF CHGO FOUNDATION IN HONG KONG LTD RM100 FAR EAST CTR C/O WM FAN CO HONG KONG HK FUNDRAISING HK UNIV OF CHICAGO 1 UNIV OF CHICAGO CHARTER SCHOOL CORP 5801 S ELLIS AVENUE CHICAGO IL 60637 364225812 EDUCATION IL 501 (C) (3) LINE 2 UNIV OF CHICAGO 1 UNIVERSITY OF CHICAGO CANCER RESEARCH FUND 5801 S ELLIS AVENUE CHICAGO IL 60637 366056201 SUPP RESEARCH IL 501 (C) (3) LINE 12A, I UNIV OF CHICAGO 1 UNIVERSITY OF CHICAGO CENTER IN PARIS 6 RUE THOMAS MANN 75013 PARIS FR EDUCATION FR UNIV OF CHICAGO 1 UNIVERSITY OF CHICAGO CLOISTERS CLUB 1212 E 59TH STREET CHICAGO IL 60637 SOCIAL CLUB IL UNIV OF CHICAGO 1 UNIVERSITY OF CHICAGO MEDICAL CTR 5841 S MARYLAND AVENUE CHICAGO IL 60637 363488183 HOSPITAL IL 501 (C) (3) LINE 3 UNIV OF CHICAGO 1 UNIVERSITY OF CHICAGO PROPERTY HOLDING CORP 5801 S ELLIS AVENUE CHICAGO IL 60637 366108743 PROPERTY HOLDING IL 501 (C) (2) UNIV OF CHICAGO 1 UNIVERSITY OF CHICAGO RETIREE MEDICAL TRUST 5801 S ELLIS AVENUE CHICAGO IL 60637 363999692 MEDICAL TRUST IL 501 (C) (3) LINE 12A, I UNIV OF CHICAGO 1 UNIVERSITY OF CHICAGO SELF INSURANCE TRUST 5801 S ELLIS AVENUE CHICAGO IL 60637 363020034 MALPRACTICE TRUST IL 501 (C) (3) LINE 12A, I UNIV OF CHICAGO 1 UNIVERSITY OF CHICAGO TRUST (INDIA) L-9 EAST WING RAHEJA TOWERS MG R BANGALORE KARNATAKA IN FUNDRAISING IN UNIV OF CHICAGO 1 UCM COMMUNITY HEALTH & HOSPITAL DIVISION INC 208 SOUTH LASALLE STREET CHICAGO IL 60604 363181170 PROMOTE HEALTHY COMMUNITIES & HEALTHCARE SERVICES IL 501 (C) (3) LINE 12B, II UNIV OF CHICAGO MEDICAL CENTER 1 UCHICAGO (BEIJING) CONSULTING COMPANY LTD CHINA UNIT 1-10 CULTURE PL OF REMMIN UNI BEIJING CH CONSULTING CH UNIVERSITY OF CHICAGO 1017853 3388372 1.00000 0 UCHICAGO CENTER IN INDIA PRIVATE LIMITED UNIT 5-10 GRD FL DLF CAPITAL POINT NEW DEHLI IN CONSULTING IN UNIVERSITY OF CHICAGO 1606713 1543705 0.51000 0 SC CURRICULUM INC 70 WEST MADISON ST CHICAGO IL 60602 SCIENCE CURRICULUM IL UNIVERSITY OF CHICAGO -19043 184920 1.00000 0 CHARITABLE REMAINDER TRUSTS (76) 5801 S ELLIS AVENUE CHICAGO IL 60637 CHARITABLE RMDR TRUST IL UNIVERSITY OF CHICAGO 0.94000 0 CHARITABLE LEAD TRUST (1) 5801 S ELLIS AVENUE CHICAGO IL 60637 CHARITABLE LEAD TRUST IL UNIVERSITY OF CHICAGO 1.00000 0 POOLED INCOME FUND (1) 5801 S ELLIS AVENUE CHICAGO IL 60637 POOLED INCOME FUND IL UNIVERSITY OF CHICAGO 1.00000 0 PHOENIX OVERLAY FUND LTD 401 N MICHIGAN AVE C/O INVST OFFICE CHICAGO IL 60611 INVESTMENT CJ UNIVERSITY OF CHICAGO -41491 207310 1.00000 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 1 1 1 1 UNIVERSITY OF CHICAGO MEDICAL CENTER A 203755 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER C 71750000 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER N 14806787 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER O 61403223 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER P 334071327 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER Q 217175501 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER S 22187628 CASH VALUE UNIVERSITY OF CHICAGO PROPERTY HOLDING CORPORATION O 4270 CASH VALUE UNIVERSITY OF CHICAGO PROPERTY HOLDING CORPORATION S 996815 CASH VALUE LAKE PARK ASSOCIATES A 80554 CASH VALUE LAKE PARK ASSOCIATES B 3029719 CASH VALUE LAKE PARK ASSOCIATES Q 1176694 CASH VALUE LAKE PARK ASSOCIATES S 432403 CASH VALUE UNIVERSITY OF CHICAGO CHARTER SCHOOL CORPORATION B 2020404 CASH VALUE UNIVERSITY OF CHICAGO CANCER RESEARCH FOUNDATION C 1726882 CASH VALUE UNIVERSITY OF CHICAGO CANCER RESEARCH FOUNDATION O 251779 CASH VALUE UNIVERSITY OF CHICAGO CANCER RESEARCH FOUNDATION P 465549 CASH VALUE UNIVERSITY OF CHICAGO SELF INSURANCE TRUST R 12139654 CASH VALUE UNIVERSITY OF CHICAGO RETIREE MEDICAL TRUST R 13904858 CASH VALUE NATIONAL OPINION RESEARCH CENTER A 942081 CASH VALUE THE QUADRANGLE CLUB P 80555 CASH VALUE FERMI RESEARCH ALLIANCE LLC S 895110 CASH VALUE UNIVERSITY OF CHICAGO CENTER IN PARIS R 1889891 CASH VALUE UNIVERSITY OF CHICAGO BOOTH SCHOOL OF BUSINESS LTD UK N 2500288 CASH VALUE UNIVERSITY OF CHICAGO BOOTH SCHOOL OF BUSINESS LTD UK O 1421588 CASH VALUE UNIVERSITY OF CHICAGO BOOTH SCHOOL OF BUSINESS LTD UK Q 2286521 CASH VALUE UNIVERSITY OF CHICAGO BOOTH SCHOOL OF BUSINESS LTD UK R 381646 CASH VALUE UNIVERSITY OF CHICAGO BOOTH SCHOOL OF BUSINESS LTD SINGAPORE Q 181689 CASH VALUE UNIVERSITY OF CHICAGO BOOTH SCHOOL OF BUSINESS LTD SINGAPORE R 399870 CASH VALUE UCHICAGO RESEARCH INTERNATIONAL LIMITED R 1955631 CASH VALUE UCHICAGO RESEARCH BANGLADESH LLC P 662203 CASH VALUE UCHICAGO CENTER IN INDIA PRIVATE LIMITED P 561290 CASH VALUE UCHICAGO CENTER IN INDIA PRIVATE LIMITED R 3551985 CASH VALUE THE UNIVERSITY OF CHICAGO FOUNDATION IN HONG KONG LTD O 1967432 CASH VALUE THE UNIVERSITY OF CHICAGO FOUNDATION IN HONG KONG LTD Q 4402750 CASH VALUE THE UNIVERSITY OF CHICAGO FOUNDATION IN HONG KONG LTD S 6988114 CASH VALUE HYMEN MILGROM SUPPORTING ORGANIZATION C 743264 CASH VALUE CHAPIN HALL CENTER FOR CHILDREN R 433583 CASH VALUE JOHN CRERAR FOUNDATION C 29000 CASH VALUE THE MARINE BIOLOGICAL LABORATORY R 13360078 CASH VALUE ASIAN HEALTH COALITION Q 511961 CASH VALUE CHICAGO HOME FOR THE INCURABLES C 877668 CASH VALUE PART I IDENTIFICATION OF DISREGRDED ENTITIES THEORY & COMPUTING SCIENCES BUILDING TRUST - THE UNIVERSITY IS THE 100% BENEFICIARY OF THE TRUST, BUT DOES NOT CONTROL THE TRUST. AS SUCH, THE INCOME AND ASSETS OF THE TRUST ARE NOT SHOWN ON THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS WHICH ARE THE BASIS FOR THE 990 PART VIII, LINE 12 AND PART X, LINE 16. THE END OF THE YEAR ASSET BALANCE IS $134,517,674 AND THE INCOME FOR THE PERIOD ENDING DECEMBER 31, 2018 IS $10,475,936. UCHICAGO ARGONNE LLC, A DISREGARDED ENTITY OF THE UNIVERSITY OF CHICAGO, MANAGES ARGONNE NATIONAL LABORATORY. UCHICAGO ARGONNE LLC EARNED A MANAGEMENT FEE OF $4,110,598 FOR THE TAX YEAR. THE TOTAL EXPENDITURES AT ARGONNE NATIONAL LABORATORY WERE APPROXIMATELY $ 797 MILLION FOR THE TAX YEAR. THE FUNDING AND THE EXPENDITURES OF ARGONNE HAVE BEEN INCLUDED IN PARTS III, VIII, AND IX OF THE FORM 990. FOR PURPOSES OF COMPLETENESS, PLEASE NOTE THE FOLLOWING: THE ENTITIES LISTED BELOW ARE DISREGARDED ENTITIES OF THE UNIVERSITY OF CHICAGO MEDICAL CENTER: UCMC COMMUNITY PHYSICIANS LLC, 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 38-3865637 PRIMARY ACTIVITY: PHYSICIAN SERVICES LEGAL DOMICILE: ILLINOIS UNIVERSITY OF CHICAGO MEDICINE CARE NETWORK LLC, 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 47-4222269 PRIMARY ACTIVITY: HEALTHCARE LEGAL DOMICILE: ILLINOIS UCM GLOBAL LLC, 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 32-0579811 PRIMARY ACTIVITY: INTERNATIONAL MEDICAL CONSULTING LEGAL DOMICILE: ILLINOIS ALSO NOTE: THE UNIVERSITY OF CHICAGO MEDICAL CENTER IS A LESS THAN 50% MEMBER IN A JOINT VENTURE WITH UCMC/SCH ONCOLOGY JV LLC, A TAX EXEMPT ENTITY, 1850 SILVER CROSS BLVD, NEW LENOX, IL 60451, EIN: 32-2436795 AND THE UNIVERSITY OF CHICAGO MEDICINE CARE NETWORK, LLC, A DISREGARDED ENTITY OF THE UNIVERSITY OF CHICAGO MEDICAL CENTER, IS THE SOLE MEMBER OF THE FOLLOWING RELATED ENTITIES: UCM CARE NETWORK MEDICAL GROUP INC. 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 47-4221241 PRIMARY ACTIVITY: HEALTHCARE LEGAL DOMICILE: ILLINOIS UNIVERSITY OF CHICAGO MEDICINE CARE NETWORK AFFILIATED PHYSICIANS LLC, 5841 S. MARYLAND, CHICAGO, IL 60637, EIN: 47-4233918 PRIMARY ACTIVITY: HEALTHCARE LEGAL DOMICILE: ILLINOIS THE FOLLOWING ENTITY IS A DISREGARDED ENTITY OF UCHICAGO RESEARCH INTERNATIONAL, A RELATED ENTITY: UCHICAGO RESEARCH BANGLADESH LLC, 5801 S. ELLIS AVENUE, CHICAGO, IL 60637 PRIMARY ACTIVITY: SUPPORT RESEARCH LEGAL DOMICILE: ILLINOIS