2020-03-23T08:25:33-05:00 2019-06-30 410746749 CLIFTONLARSONALLEN LLP 220 SOUTH SIXTH STREET SUITE 300 MINNEAPOLIS MN 55402 990 2018-07-01 410694747 CARLETON COLLEGE CARL 5072224000 ONE NORTH COLLEGE STREET NORTHFIELD MN 55057 FREDERICK A ROGERS VP & TREASURER 5072224000 2020-03-12 1 KAREN GRIES P00078514 6123764500 2020-03-09 67.137.57.251 2020-03-12 09:52:30 CD P D96076016A1D85786C0DD27C05D232F375DC2AFE 3E2BB42D0F6BDD0D6290097EBAA362A2911B321E 2018 2020-09-23 17:36:50Z STEVEN G POSKANZER ONE NORTH COLLEGE STREET NORTHFIELD MN 55057 264282236 0 X WWW.CARLETON.EDU X 1866 MN TO PROVIDE AN EXCEPTIONAL UNDERGRADUATE LIBERAL ARTS EDUCATION. 31 30 3002 3360 129118 0 53399185 45784488 132486089 136446773 60918827 53031615 2703570 3938693 249507671 239201569 42270832 44235080 0 0 83788288 85165844 0 0 6545891 64334250 66982365 190393370 196383289 59114301 42818280 1412434433 1437200057 194960095 189893468 1217474338 1247306589 X SEE SCHEDULE O.CARLETON COLLEGE IS A PRIVATE LIBERAL ARTS COLLEGE, LOCATED IN NORTHFIELD, MINNESOTA, BEST KNOWN FOR ITS ACADEMIC EXCELLENCE AND WARM, WELCOMING CAMPUS COMMUNITY. CARLETON OFFERS 33 MAJORS AND 37 MINORS IN THE ARTS, HUMANITIES, NATURAL SCIENCES, MATHEMATICS, AND SOCIAL SCIENCES.THE CARLETON COLLEGE MISSION IS TO PROVIDE AN EXCEPTIONAL UNDERGRADUATE LIBERAL ARTS EDUCATION. THE COLLEGE IS DEVOTED TO ACADEMIC EXCELLENCE, DISTINGUISHED BY THE CREATIVE INTERPLAY OF TEACHING, LEARNING, AND SCHOLARSHIP AND IS DEDICATED TO A DIVERSE RESIDENTIAL COMMUNITY AND EXTENSIVE INTERNATIONAL ENGAGEMENTS. 0 0 106649176 43777652 111100045 CARLETON COLLEGE EXISTS TO PROVIDE AN EXCEPTIONAL LIBERAL ARTS EDUCATION FOR STUDENTS, PREPARING FOR LEADERSHIP IN THEIR COMMUNITIES, COUNTRIES AND THE WORLD (2,005 STUDENTS). A STUDENT-FACULTY RATIO OF 9:1 SUPPORTS CLASSROOM, LABORATORY, OFF-CAMPUS STUDY AND RESEARCH OPPORTUNITIES. AVERAGE CLASS SIZE IS 16. 75% OF GRADUATES STUDY OFF-CAMPUS, DOMESTICALLY OR INTERTNATIONALLY. STUDENT FINANCIAL AID PROGRAMS - CARLETON MEETS 100% OF THE DEMONSTRATED FINANCIAL NEED OF ALL ADMITTED STUDENTS (1,801 STUDENTS). 20484713 0 0 ACADEMIC SUPPORT - PROGRAMS TO ENHANCE THE CARLETON LIBERAL ARTS EXPERIENCE WITH LIBRARY AND INFORMATION TECHNOLOGY RESOURCES (2,005 STUDENTS). 18395649 0 23983218 AUXILIARY ENTERPRISES: CARLETON COLLEGE MAINTAINS A RURAL RESIDENTIAL CAMPUS TO ENHANCE THE EDUCATIONAL EXPERIENCE OF THE STUDENT BODY WITH ROOM AND BOARD PROGRAMS DESIGNED TO ENCOURAGE A SPIRIT OF COLLEGIALITY AND CONVERSATION BEYOND THE CLASSROOM AND LABORATORY (1,807 STUDENTS). 16997052 78000 0 STUDENT SERVICES: PROGRAMS DESIGNED TO SUPPORT THE CARLETON COLLEGE STUDENT LIFE EXPERIENCE INCLUDING CO-CURRICULAR AND RECREATIONAL OPPORTUNITIES (2,005 STUDENTS). 4067010 243523 0 RESEARCH - FACULTY AND STUDENT RESEARCH TO ENHANCE THE ACADEMIC INSTRUCTIONAL EXPERIENCE. 1142037 135905 1363510 SUMMER LIBERAL ACADEMIC PROGRAMS - PROGRAMS FOR HIGH SCHOOL STUDENTS AND WORKSHOPS FOR TEACHERS OF ADVANCED PLACEMENT ENRICHED OR ACCELERATED CLASSES IN GRADES 7-12 TO DEVELOP SKILLS FOR RIGOROUS ACADEMIC PROGRAMS (1,057 ATTENDEES). 22206099 457428 1363510 167735637 1 1 0 1 0 0 0 1 1 1 1 1 0 0 1 1 1 0 1 1 1 0 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 1 X 517 0 3002 1 1 1 1 FR NZ SP IN ET 0 0 0 0 0 0 0 0 0 0 X 31 30 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA MN NH WA X X FREDERICK A ROGERS 5072224000 ONE NORTH COLLEGE STREET NORTHFIELD MN 55057 WALLACE R WEITZ CHAIR 8.00 X X 0 0 0 CAROL BARNETT VICE CHAIR 8.00 X X 0 0 0 CATHY PAGLIA VICE CHAIR 8.00 X X 0 0 0 STEVEN G POSKANZER PRESIDENT 60.00 X X 482057 0 109598 MARK S APPLEBAUM TRUSTEE 5.00 X 0 0 0 MCKAY BARRA TRUSTEE 5.00 X 0 0 0 ALAN BAUER TRUSTEE 5.00 X 0 0 0 LILA CONLEE TRUSTEE 5.00 X 0 0 0 BILL CRAINE TRUSTEE 5.00 X 0 0 0 STEPHEN DAVIS TRUSTEE 5.00 X 0 0 0 ARNOLD DONALD TRUSTEE 5.00 X 0 0 0 HERBERT FRITCH TRUSTEE 5.00 X 0 0 0 LIA GORE TRUSTEE 5.00 X 0 0 0 MICHAEL HASENSTAB TRUSTEE 5.00 X 0 0 0 RICHARD R KRACUM TRUSTEE 5.00 X 0 0 0 KARL KWOK TRUSTEE 5.00 X 0 0 0 LARNZELL MARTIN TRUSTEE 5.00 X 0 0 0 TRACE MCCREARY TRUSTEE 5.00 X 0 0 0 LAIRD MCCULLOCH TRUSTEE 5.00 X 0 0 0 JENINNE MCGEE TRUSTEE 5.00 X 0 0 0 STEVEN PARRISH TRUSTEE 5.00 X 0 0 0 ROLF PETERS TRUSTEE 5.00 X 0 0 0 NICK PUZAK TRUSTEE 5.00 X 0 0 0 LISE REVERS TRUSTEE 5.00 X 0 0 0 FRANCES SPANGLER TRUSTEE 5.00 X 0 0 0 WILLIAM STERLING TRUSTEE 5.00 X 0 0 0 ALISON VON KLEMPERER TRUSTEE 5.00 X 0 0 0 JUSTIN B WENDER TRUSTEE 5.00 X 0 0 0 BONNIE M WHEATON TRUSTEE 5.00 X 0 0 0 CANDACE WILLIAMS TRUSTEE 5.00 X 0 0 0 JOHN YOUNGBLOOD TRUSTEE 5.00 X 0 0 0 THOMAS BONNER VP FOR EXTERNAL RELATIONS 60.00 X 383083 0 56628 FREDERICK A ROGERS VP AND TREASURER 60.00 X 339939 0 47547 BEVERLY NAGEL DEAN OF THE COLLEGE 60.00 X 312288 0 38959 PAUL THIBOUTOT VP AND DEAN OF ADMISSIONS 60.00 X 211103 0 38873 CAROLYN H LIVINGSTON VP FOR STUDENT DEVELOPMENT 60.00 X 188917 0 55745 KELSEY DESHLER CHIEF INVESTMENT OFFICER 60.00 X 387257 0 53014 JULIE J NEIWORTH PROFESSOR OF NATURAL SCIENCES AND PSYCHOLOGY 40.00 X 186884 0 32756 STEVEN K SPEHN DIRECTOR OF FACILITIES AND CAPITAL PLANNING 40.00 X 184074 0 41551 CATHY YANDELL PROFESSOR OF FRENCH LITERATURE, LANGUAGE & CULTURE 40.00 X 182150 0 34230 DEBORAH APPLEMAN PROFESSOR OF EDUCATIONAL STUDIES 40.00 X 180341 0 25205 3038093 0 534106 155 0 1 0 MCGOUGH CONSTRUCTION CO 2737 FAIRVIEW AVENUE NORTH ST PAUL MN 55113 GENERAL CONTRACTOR 32661410 BON APPETIT 100 HAMILTON AVENUE STE 400 PALO ALTO CA 94301 DINING SERVICES 9612772 PCL CONSTRUCTION SERVICES 12200 NICOLLET AVENUE S BURNSVILLE MN 55337 GENERAL CONTRACTOR 3508255 TERRA GENERALCONTRACTORS LLC 21025 COMMERCE BLVD ROGERS MN 55374 GENERAL CONTRACTOR 2614388 RIVER CITY BUILDERS PO BOX 7 NERSTRAND MN 55053 GENERAL CONTRACTOR 1334863 43 4825116 40959372 9594404 45784488 TUITION AND FEES 611710 111098733 111098733 ROOM AND BOARD 611710 23984530 23984530 SUMMER TEACHING INSTIT 611310 1363510 1363510 136446773 14867189 14867189 273454 273454 363687 663490 -299803 -299803 -299803 62476353 105250 24232698 184479 38243655 -79229 38164426 38164426 OTHER REVENUE 900099 2594045 2594045 INSURANCE RECOVERIES 900099 1241879 1241879 WIND TURBINE 221000 129118 129118 3965042 239201569 136446773 129118 56841190 321523 321523 43913557 43913557 1878422 158488 1254945 464989 62682879 53603554 5664672 3414653 5757091 4781563 594670 380858 10502829 8993589 769475 739765 4344623 3660319 424396 259908 103814 103814 118302 118302 8169379 8169379 3221683 2125062 650140 446481 95650 3766 90157 1727 7357296 6670715 416263 270318 1488644 1465549 19645 3450 5433546 5433546 8519953 7886450 260037 373466 1820537 865307 818699 136531 5660601 5660601 11245675 11001847 243828 1029000 585262 443738 STUDENT DINING SERVICES 8012494 8012494 MISCELLANEOUS EXPENSES 3081440 1619384 1431683 30373 MEMBERSHIP FEES 1624351 973061 627918 23372 196383289 167735637 22101761 6545891 104426554 169442154 27426358 23832652 4063857 2222260 543834 572421 1056993 2501593 501304957 187078329 260948457 314226628 386657066 341820664 571575337 563987108 6253135 4956665 49482842 13637912 1412434433 1437200057 19456060 19958426 4227338 4594208 144337492 138619834 3528259 3592920 23410946 23128080 194960095 189893468 X 536269419 556232598 428578685 424831732 252626234 266242259 1217474338 1247306589 1412434433 1437200057 X 42818280 -11260131 -1725898 X 0 1 X 1 1 1 X 34152153 40592157 59994718 53399185 45784488 233922701 34152153 40592157 59994718 53399185 45784488 233922701 22722054 211200647 13241809 8823217 10080664 11224665 15504330 58874685 2725350 2594045 5319395 298116781 525662314 0.70840 0.72280 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER REVENUE - 2017 AMOUNT: $ 2,725,350. 2018 AMOUNT: $ 2,594,045. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 1 0 0 1 1 1 103594 1 1 500 0 104094 0 PART II-B, LINE 1: COLLEGE RELATIONS OCCASIONALLY CONTACT LEGISLATORS TO EXPRESS THE COLLEGE'S VIEWS ON PENDING LEGISLATION WHICH WOULD AFFECT THE COLLEGE. COSTS INCURRED IN CONNECTION WITH THESE ACTIVITIES ARE INSIGNIFICANT AND NO SEPARATE ACCOUNT IS MADE FOR THESE COSTS. IN ADDITION, STUDENTS PARTICIPATE IN A VOLUNTEER ACTIVITY SPONSORED BY THE MINNESOTA PRIVATE COUNCIL (MPCC) CALLED "DAY AT THE CAPITAL" TO DISCUSS THE IMPORTANCE OF THE STATE GRANT PROGRAM WITH REPRESENTATIVES. COSTS INCURRED BY THE COLLEGE TO SUPPORT THIS PROGRAM ARE DE MINIMUS. CARLETON COLLEGE IS A MEMBER OF MINNESOTA PRIVATE COLLEGE COUNCIL (MPCC), AN ORGANIZATION DESCRIBED IN SECTION 501(C)(4) OF THE INTERNAL REVENUE CODE. MPCC IS AN ASSOCIATION OF PRIVATE NONPROFIT INSTITUTIONS OF HIGHER EDUCATION THAT SERVES A VARIETY OF ITS MEMBERS' SHARED NEEDS, INCLUDED, BUT NOT ONLY, NONPARTISAN AND NON-ELECTORAL ADVOCACY FOR PUBLIC POLICY THAT MEETS STUDENTS' NEEDS AND ADVANCES THE INTEREST OF PRIVATE HIGHER EDUCATION. CARLETON COLLEGE PAID MEMBER DUES TO MPCC IN THE AMOUNT OF $128,385 DURING THE TAXABLE YEAR. MPCC HAD DIVIDED ITS EXPENSES FOR ITS TAXABLE YEAR ENDING JUNE 30, 2019 INTO TWO GROUPS. GROUP 1 CONSISTS OF THOSE EXPENSES THAT DID NOT IN ANY WAY SUPPORT ATTEMPTS TO INFLUENCE LEGISLATION WITHIN THE MEANING OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE ("LOBBYING"), AND GROUP 2 CONSISTS OF ALL OTHER EXPENSES. GROUP 2 INCLUDES MANY EXPENSES SUCH AS PERSONNEL COSTS THAT SUPPORT BOTH LOBBYING AND NONLOBBYING ACTIVITIES. MPCC DID NOT ATTEMPT TO ALLOCATE THE GROUP 2 EXPENSES BETWEEN LOBBYING AND NONLOBBYING ACTIVITIES. MPCC HAD DETERMINED THAT THE AMOUNT OF THE GROUP 2 EXPENSES REPRESENTS 80.68% OF THE AMOUNT OF DUES THAT MPCC COLLECTED IN THE SAME TAXABLE YEAR. ASSUMING THAT ALL GROUP 2 EXPENSES WERE PAID FROM MEMBER DUES, AND ALLOCATING THOSE EXPENSES PRO RATA BASED ON THE DUES PAID BY EACH MEMBER, $103,594 OF CARLETON COLLEGE'S DUES WERE USED TO PAY GROUP 2 EXPENSES. THE AMOUNT OF LOBBYING EXPENSES PAID FROM CARLETON COLLEGE'S DUES WAS SIGNIFICANTLY LESS THAN THAT AMOUNT. 1137985 1137985 X X X 0 0 1 X 894233503 29076410 32053614 10756962 30048391 7282121 907276053 837308012 29763471 72580595 9673465 29310035 6435075 894233503 739622548 30968061 110876006 9133556 27960493 7064554 837308012 784690360 7573357 -9371797 9135660 27138149 6995563 739622548 794308177 10255124 21539635 8294492 26339602 6778482 784690360 0.34810 0.28120 0.37070 1 0 4628469 4628469 304995384 108659273 196336111 91207529 78419056 12788473 100473575 100473575 314226628 PRIVATE EQUITY 151141739 F HEDGE FUNDS 225884994 F REAL ASSETS 126836499 F PLANNED GIFT AGREEMENTS AND OTHER 60123876 F 563987108 ANNUITIES PAYABLE 20765853 ASSET RETIREMENT OBLIGATION 2227509 FAIR VALUE OF INTEREST RATE SWAP 134718 23128080 X 174796094 -11260131 -1062408 -12322539 187118633 8169379 43913557 52082936 239201569 144963843 663490 663490 144300353 8169379 43913557 52082936 196383289 PART III, LINE 4: CARLETON'S ART COLLECTION IS FOR STUDENT RESEARCH AND STUDY INCLUDING COLLEGE ARCHIVES OF INSTITUTIONALLY SIGNIFICANT TREASURES AND LIBRARY COLLECTIONS. PART IV, LINE 2B: THE COLLEGE REPORTS ON FORM 990, PART X, LINE 21 AMOUNTS HELD FOR THE PERKINS LOAN PROGRAM THAT ARE REFUNDABLE TO THE GOVERNMENT AND REPORTED AS A LIABILITY ON THE COLLEGE'S FINANCIAL STATEMENTS. PART V, LINE 4: ENDOWMENT FUNDS ARE TO SUPPORT GRANTS TO STUDENTS AND THE PROGRAM SERVICES OF THE COLLEGE. PART X, LINE 2: THE COLLEGE QUALIFIES AS A TAX-EXEMPT NONPROFIT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND SIMILAR STATUTES OF MINNESOTA LAW. THE COLLEGE IS SUBJECT TO FEDERAL INCOME TAX ONLY ON NET UNRELATED BUSINESS INCOME UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. THE COLLEGE HAS EVALUATED ITS TAX POSITIONS AND DETERMINED IT HAS NO UNCERTAIN TAX POSITIONS AND HAS RECORDED NO OBLIGATION FOR UNRELATED BUSINESS INCOME TAX. NO PROVISIONS FOR FEDERAL OR STATE INCOME TAXES ARE REQUIRED AS OF JUNE 30, 2019. PART XI, LINE 2D - OTHER ADJUSTMENTS: UNREALIZED GAIN ON INTEREST RATE SWAP 65,984. NET CHANGE IN ANNUITY & LIFE INCOME FUNDS -1,791,882. RENTAL EXPENSES 663,490. PART XI, LINE 4B - OTHER ADJUSTMENTS: GRANTS TO STUDENTS 43,913,557. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES 663,490. PART XII, LINE 4B - OTHER ADJUSTMENTS: GRANTS TO STUDENTS 43,913,557. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE COLLEGE USES PAPER AND BROADCAST MEDIA IN SOLICITATION OF STUDENTS. WE PUBLICIZE OUR NONDISCRIMINATORY POLICY IN ALL PRINTED BROCHURES, MAGAZINES, APPLICATION MATERIAL AND WEBSITE INFORMATION. SCHEDULE E, PART I, LINE 6 CARLETON COLLEGE PARTICIPATES IN THE FEDERAL STUDENT FINANCIAL AID PROGRAM ADMINISTERED THROUGH THE U.S. DEPARTMENT OF EDUCATION. CARLETON STUDENTS RECEIVE FUNDING FROM CAMPUS-BASED PROGRAMS (PERKINS, SEOG, AND FEDERAL WORK STUDY) AS WELL AS FEDERAL PELL GRANTS AND FEDERAL STUDENT LOANS. IN ADDITION, CARLETON STUDENTS RECEIVE FUNDING FROM THE MINNESOTA STATE GRANT, WORK-STUDY AND SELF LOAN PROGRAMS ADMINISTERED THROUGH THE MINNESOTA OFFICE OF HIGHER EDUCATION. CENTRAL AMERICA & CARIBBEAN 0 0 INVESTMENTS N/A 201716020 SUB-SAHARAN AFRICA 0 0 INVESTMENTS N/A 3173289 NORTH AMERICA 0 0 INVESTMENTS N/A 6517369 EUROPE 0 0 INVESTMENTS N/A 25046696 EAST ASIA & THE PACIFIC 0 0 PROGRAM SERVICES OCS - ART-AUSTRALIA: STUDIO ART IN THE SOUTH PACIFIC 438936 SOUTH ASIA 0 0 PROGRAM SERVICES OCS - BUDDHIST STUDIES IN BODH GAYA 434866 EUROPE 0 0 PROGRAM SERVICES OCS - ROME: HISTORY, RELIGION, & URBAN CHANGE IN MEDIEVAL AND RENAISSANCE ROME 411739 EUROPE 0 0 PROGRAM SERVICES OCS - CINEMA & MEDIA STUDIES IN EUROPE 345084 EUROPE 0 0 PROGRAM SERVICES OCS - ECONOMICS IN CAMBRIDGE 327358 EUROPE 0 0 PROGRAM SERVICES OCS -CROSS-CULTURAL PSYCHOLOGY IN PRAGUE 325743 SOUTH ASIA 0 0 PROGRAM SERVICES OCS - INDIA: GLOBALIZATION AND LOCAL RESPONSES 290597 EUROPE 0 0 PROGRAM SERVICES OCS - FRENCH STUDIES IN PARIS 278337 EAST ASIA & THE PACIFIC 0 0 PROGRAM SERVICES OCS - RELIGION IN JAPAN 215094 EUROPE 0 0 PROGRAM SERVICES OCS - ENGLISH THEATER AND LITERATURE IN LONDON 214777 EUROPE 0 0 PROGRAM SERVICES OCS - COMPARATIVE WOMEN'S & GENDER STUDIES IN EUROPE 188182 EUROPE 0 0 PROGRAM SERVICES OCS - SPANISH STUDIES IN MADRID 173013 RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES OCS - RUSSIAN LANGUAGE AND CULTURE IN MOSCOW 100312 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES OCS - WINTER BREAK: FRENCH AND FRANCOPHONE STUDIES IN SENEGAL 32068 EAST ASIA & THE PACIFIC 0 0 PROGRAM SERVICES OCS - WINTER BREAK: GEOLOGY AND NATURAL HISTORY IN TASMANIA 27498 SOUTH ASIA 0 0 PROGRAM SERVICES OCS - WINTER BREAK: SUSTAINABLE ENERGY PRINCIPLES & PRACTICE IN INDIA 26776 0 0 0 0 0 0 238083999 2199755 240283754 1 0 0 1 1 0 PART I, LINE 3: THE COLLEGE USES THE ACCRUAL METHOD OF ACCOUNTING TO REPORT EXPENDITURES ON PART I. 1 CITY OF NORTHFIELD 801 WASHINGTON STREET NORTHFIELD MN 55057 416005424 GOVT ENTITY 78000 N/A N/A COMMUNITY ENGAGEMENT CENTRAL WASHINGTON UNIVERSITY 400 UNIVERSITY WAY ELLENSBURG WA 98926 916000618 501(C)(3) 27858 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV COLUMBIA UNIVERSITY 2960 BROADWAY NEW YORK NY 10027 135598093 501(C)(3) 93224 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV FLORIDA A & M UNIVERSITY 1700 LEE HALL DR RM 201 TALLAHASSEE FL 32307 590977035 501(C)(3) 28740 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV NATIONAL COUNCIL FOR SCIENCE AND THE ENVIRONMENT 1101 17TH ST NW STE 250 WASHINGTON DC 20036 521700932 501(C)(3) 7219 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV PASADENA CITY COLLEGE 1570 E COLORADO BLVD PASADENA CA 91106 952505000 501(C)(3) 13861 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY OF NEBRASKA 151 WHITTIER RESEARCH CTR 220 VINE ST LINCOLN NE 68583 470049123 501(C)(3) 8122 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY OF WASHINGTON PO BOX 50096 SEATTLE WA 981455096 916001537 501(C)(3) 29538 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV WILLIAMS COLLEGE 880 MAIN STREET HOPKINS HALL WILLIAMSTOWN MA 01267 042104847 501(C)(3) 18814 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY ENTERPRISES CORP 5500 UNIVRSITY PARKWAY SAN BERNARDINO CA 92407 956067343 501(C)(3) 9975 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV 10 0 STUDENT SCHOLARSHIPS 1801 43913557 0 N/A N/A PART I, LINE 2: GRANTS TO ORGANIZATIONS REQUIRE QUARTERLY PROGRAM REPORTING INCLUDING A NARRATIVE AND FINANCIAL SUMMARY THAT IS REVIEWED BY THE PROGRAM DIRECTOR. SCHOLARSHIPS AND GRANTS FOR STUDENTS ARE APPLIED DIRECTLY TO A STUDENT'S COLLEGE ACCOUNT AND APPLIED TO TUITION, FEES, ROOM AND BOARD. ALL FINANCIAL AID IS SUBJECT TO REVISION BASED ON AVAILABILITY, CHANGES IN FAMILY CONTRIBUTION AND/OR CREDIT LOAD. SATISFACTORY ACADEMIC PROGRESS MUST BE MAINTAINED ACCORDING TO STANDARDS PRESCRIBED BY THE COLLEGE. ANNUAL RENEWAL OF FINANCIAL AID IS CONTINUOUS IF INSTITUTIONAL FINANCIAL NEED REMAINS, ALL REQUIRED DOCUMENTS ARE COMPLETED BY THE PUBLISHED DEADLINE AND SATISFACTORY ACADEMIC PROGRESS IS MAINTAINED CONSISTENT WITH THE COLLEGE'S POLICY. SCHEDULE I, PART II, COLUMN (H): NSF SUBAWARD - STEP CENTER/INTEGRATE: INTERDISCIPLINARY TEACHING OF GEOSCIENCE FOR A SUSTAINABLE FUTURE X X X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 STEVEN G POSKANZER PRESIDENT 459479 0 0 0 22578 0 27500 0 82098 0 591655 0 0 0 THOMAS BONNER VP FOR EXTERNAL RELATIONS 327787 0 0 0 55296 0 27500 0 29128 0 439711 0 0 0 FREDERICK A ROGERS VP AND TREASURER 304121 0 0 0 35818 0 27500 0 20047 0 387486 0 0 0 BEVERLY NAGEL DEAN OF THE COLLEGE 305684 0 0 0 6604 0 27500 0 11459 0 351247 0 0 0 PAUL THIBOUTOT VP AND DEAN OF ADMISSIONS 209381 0 0 0 1722 0 21402 0 17471 0 249976 0 0 0 CAROLYN H LIVINGSTON VP FOR STUDENT DEVELOPMENT 188677 0 0 0 240 0 20501 0 35244 0 244662 0 0 0 KELSEY DESHLER CHIEF INVESTMENT OFFICER 261212 0 100000 0 26045 0 26250 0 26764 0 440271 0 0 0 JULIE J NEIWORTH PROFESSOR OF NATURAL SCIENCES AND PS 151585 0 0 0 35299 0 15600 0 17156 0 219640 0 0 0 STEVEN K SPEHN DIRECTOR OF FACILITIES AND CAPITAL P 182490 0 0 0 1584 0 19027 0 22524 0 225625 0 0 0 CATHY YANDELL PROFESSOR OF FRENCH LITERATURE, LANG 173652 0 0 0 8498 0 17968 0 16262 0 216380 0 0 0 DEBORAH APPLEMAN PROFESSOR OF EDUCATIONAL STUDIES 168919 0 0 0 11422 0 17073 0 8132 0 205546 0 0 0 PART I, LINE 1A STEVEN POSKANZER: RESIDENCE FOR PERSONAL USE AND HOUSE CLEANING SERVICE, NOT INCLUDED IN TAXABLE INCOME AS THE HOUSING ASSIGNMENT IS REQUIRED BY THE COLLEGE AS A CONDITION OF EMPLOYMENT. STEVEN POSKANZER: SOCIAL CLUB DUES AND GROSS UP OF LEGAL REIMBURSEMENT, INCLUDED IN TAXABLE COMPENSATION. FREDERICK A. ROGERS: HOUSING ALLOWANCE, INCLUDED IN TAXABLE COMPENSATION. PART II COMPENSATION EXPLANATION KELSEY DESHLER: REPORTING PARTIAL YEAR COMPENSATION A MN HIGHER EDUCATION FACILITIES AUTHORITY SERIES 6D 410988525 60416HENO 2005-04-13 31460000 SEE PART VI 0 0 0 B MN HIGHER EDUCATION FACILITIES AUTHORITY SERIES 2017 410988525 60416H3W2 2017-05-24 124900000 SEE PART VI 1 0 0 A 25245000 31460000 336501 3000000 28123498 2008 0 1 1 1 B 19795300 139670300 756612 70000000 45913688 1 1 0 1 A 0 0 1 1 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 0 A 0 0 1 0 1 1 MORGAN STANLEY CAPITAL 7.000000000000 0 0 0 0 1 B 0 0 1 1 0 0 0 0 1 A 1 B 1 SCHEDULE K, PART I, BOND ISSUES, COLUMN (F) (A) DESCRIPTION OF PURPOSE: RETIRE SERIES 3L1 AND SERIES 4N, NEW STUDENT HOUSING (B) DESCRIPTION OF PURPOSE: WEITZ CENTER MUSIC ADDITION, SCIENCE COMPLEX CONSTRUCTION, UTILITY INFRASTRUCTURE IMPROVEMENTS & ADDITIONS X 2 1137985 APPRAISAL X 228 8456419 FMV 2 0 1 1 PART I, COLUMN (B): THE COLLEGE REPORTS THE NUMBER OF CONTRIBUTORS ON PART I, COLUMN (B). PART I, LINE 32B: THE COLLEGE WILL RETAIN AN ATTORNEY FOR NON CASH REAL ESTATE GIFTS AND A BROKER FOR PUBLICLY TRADED SECURITIES, AS NEEDED. FORM 990, PART VI, SECTION A, LINE 1 THE COLLEGE'S EXECUTIVE COMMITTEE INCLUDES THE CHAIR OF EACH BOARD COMMITTEE AND THE PRESIDENT. BETWEEN MEETINGS OF THE BOARD OF TRUSTEES, THE EXECUTIVE COMMITTEE SHALL HAVE GENERAL SUPERVISION OF THE ADMINISTRATION AND PROPERTY OF THE COLLEGE EXCEPT THAT UNLESS SPECIFICALLY EMPOWERED BY THE BOARD OF TRUSTEES TO DO SO, IT MAY NOT TAKE ANY ACTION INCONSISTENT WITH A PRIOR ACT OF THE BOARD OF TRUSTEES, ALTER BYLAWS, REMOVE OR APPOINT THE PRESIDENT OF THE COLLEGE, OR TAKE ANY ACTION WHICH HAS BEEN RESERVED FOR THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B MANAGEMENT PRESENTED THE FORM IN ITS ENTIRETY TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO SUBMITTING IT TO THE IRS. THE FORM 990 IS ALSO INCLUDED ON THE BOARD OF TRUSTEES' WEBSITE AND PROVIDED WITH THE BOARD MATERIALS FOR ALL BOARD MEMBERS TO REFERENCE. FORM 990, PART VI, SECTION B, LINE 12C OFFICERS, TRUSTEES, AND KEY EMPLOYEES ARE REQUIRED TO ANNUALLY DISCLOSE INTERESTS THAT COULD GIVE RISE TO CONFLICTS. SUCH INTERESTS INCLUDE A LIST OF FAMILY MEMBERS, SUBSTANTIAL BUSINESS OR INVESTMENT HOLDINGS AND OTHER TRANSACTIONS OR AFFILIATIONS WITH BUSINESSES OR OTHER ORGANIZATIONS. TRANSACTIONS WITH PARTIES WITH WHOM A CONFLICTING INTEREST EXISTS MAY BE UNDERTAKEN ONLY IF ALL OF THE FOLLOWING ARE OBSERVED: 1) THE CONFLICTING INTEREST IS FULLY DISCLOSED; 2) THE PERSON WITH THE CONFLICT OF INTEREST IS EXCLUDED FROM THE DISCUSSION AND APPROVAL OF SUCH TRANSACTIONS; 3) A COMPETITIVE BID FOR COMPARABLE VALUATION EXISTS; AND 4) THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES HAS DETERMINED THAT THE TRANSACTION IS IN THE BEST INTEREST OF THE ORGANIZATION. INDIVIDUALS WITH AN IDENTIFIED CONFLICT OF INTEREST ARE RESTRICTED IN HOW THEY ARE ALLOWED TO PROCEED WITH THE TRANSACTION. THE INDIVIDUALS ARE ALLOWED TO PARTICIPATE IN THE DISCUSSION, BUT NOT ALLOWED TO VOTE ON THE TRANSACTION. FORM 990, PART VI, SECTION B, LINE 15 THE PRESIDENT'S COMPENSATION IS DETERMINED ANNUALLY BY THE HUMAN RESOURCES SUBCOMMITTEE OF THE BOARD OF TRUSTEES. THE REVIEW COMPARES DATA FROM 25 OF THE COLLEGE'S PEER INSTITUTIONS, AS WELL AS UTILIZING VARIOUS SALARY SURVEYS. THE COLLEGE USES THE PROCESS TO REVIEW THE FOLLOWING POSITIONS: VICE PRESIDENT AND TREASURER, VICE PRESIDENT OF EXTERNAL RELATIONS, DEAN OF THE COLLEGE, VICE PRESIDENT AND DEAN OF ADMISSIONS, VICE PRESIDENT AND DEAN OF STUDENTS, CHIEF OF STAFF AND DIRECTOR OF INVESTMENTS. THE PRESIDENT SUBMITS HIS SALARY RECOMMENDATIONS FOR THESE POSITIONS TO BOTH THE HUMAN RESOURCES SUBCOMMITTEE AND THE EXECUTIVE COMMITTEE FOR APPROVAL. A FORMAL REVIEW OF COMPENSATION IS CONDUCTED ANNUALLY. THE LAST REVIEW OF ALL EXECUTIVE POSITIONS LAST TOOK PLACE IN JUNE 2018. FORM 990, PART VI, SECTION C, LINE 19 CARLETON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE ON THE COLLEGE'S WEBSITE AND ARE AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: UNREALIZED GAIN ON INTEREST RATE SWAP 65,984. NET CHANGE IN ANNUITY & LIFE INCOME FUNDS -1,791,882. PATRICIA V DAMON SCHOLARSHIP FUND 230 FRONT ST N LACROSSE WI 54601 686229419 TRUST WI 501(C)(3) LINE 12B, II CARLETON COLLEGE 1 S EUGENE BAILEY SCHOLARSHIP TRUST PO BOX 64713 ST PAUL MN 55164 416439914 TRUST MN 501(C)(3) PF CARLETON COLLEGE 1 CHARITABLE REMAINDER TRUSTS (55) CHARITABLE REMAINDER TRUSTS MN CARLETON COLLEGE T 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 CHARITABLE REMAINDER TRUSTS S 757030 FMV AT DATE OF DEATH S EUGENE BAILEY SCHOLARSHIP TRUST S 237811 FMV PATRICIA V DAMON SCHOLARSHIP FUND S 95367 FMV