2019-05-13T11:56:02-05:00 2018-06-30 410746749 CLIFTONLARSONALLEN LLP 220 SOUTH SIXTH STREET SUITE 300 MINNEAPOLIS MN 55402 990 2017-07-01 410711610 UNIVERSITY OF NORTHWESTERN - ST PAUL UNIV 6516315100 3003 SNELLING AVENUE NORTH ST PAUL MN 55113 BRYON D KRUEGER VP FOR FINANCE & OPERATIONS/CF 6516315100 2019-04-26 1 KAREN GRIES P00078514 6123764500 67.137.57.251 2019-04-26 14:50:11 CD P D58F7A891376973A2C688259087F0D91BA8942CB 912999D8D5E4D9097136BAD3000543774677FD22 2017 2019-02-21 02:37:17Z DR ALAN CURETON 3003 SNELLING AVENUE NORTH ST PAUL MN 55113 105744980 0 X WWW.UNWSP.EDU X 1902 MN TO ENCOURAGE SPIRITUAL & INTELLECTUAL GROWTH IN A NONDENOMINATIONAL CHRISTIAN UNIVERSITY. 18 17 1955 939 1248118 47710 19536445 20024411 75271755 78751942 1090668 1233693 189799 132002 96088667 100142048 18705123 20065548 0 0 38437164 41906858 918041 844897 4325439 34680506 35037958 92740834 97855261 3347833 2286787 133103783 134424847 40969502 39300738 92134281 95124109 X SEE SCHEDULE O. FOUNDED IN 1902, UNIVERSITY OF NORTHWESTERN - ST. PAUL IS A NONDENOMINATIONAL CHRISTIAN UNIVERSITY THAT INTEGRATES THE EDUCATIONAL PHILOSOPHY OF "FAITH, LEARNING AND LIVING" THROUGH TWO FOCUSES: HIGHER EDUCATION AND MEDIA. THE MISSION OF THE UNIVERSITY IS TO EQUIP BELIEVERS TO GROW INTELLECTUALLY AND SPIRITUALLY, TO SERVE EFFECTIVELY IN THEIR PROFESSIONS, AND TO GIVE GOD-HONORING LEADERSHIP IN THE HOME, CHURCH, COMMUNITY AND WORLD. 0 0 54357635 19972263 72130962 SEE SCHEDULE O.UNIVERSITY OF NORTHWESTERN ST. PAUL:THE HIGHER EDUCATION FOCUS OFFERS A VAST ARRAY OF OPPORTUNITIES WITHIN A STRONG ACADEMIC PROGRAM. NORTHWESTERN OFFERS MORE THAN 70 AREAS OF STUDY THROUGH TRADITIONAL UNDERGRADUATE, GRADUATE, ADULT DEGREE-COMPLETION, AND POST-SECONDARY EDUCATIONAL OPPORTUNITIES. THE CORE COMPONENT IS THE TRADITIONAL UNDERGRADUATE PROGRAM, WHICH ENROLLS OVER 1,580 STUDENTS. THE COLLEGE OF ADULT & GRADUATE STUDIES, WHICH SERVES AN ADDITIONAL 325 STUDENTS, INCLUDES THE FOCUS ADULT UNDERGRADUATE PROGRAM AND GRADUATE STUDIES. UNDERGRADUATE PATHWAYS, INCLUDING PSEO/EARLY COLLEGE, COLLEGE IN THE SCHOOLS, AND ONLINE LEARNING TOGETHER SERVE APPROXIMATELY 1,450, BRINGING TOTAL ENROLLMENT TO OVER 3,355 STUDENTS ACROSS ALL VENUES. NORTHWESTERN'S 107-ACRE LAKESIDE CAMPUS IN SUBURBAN SAINT PAUL, MINNESOTA HAS 15 ACADEMIC AND RESIDENTIAL BUILDINGS. NORTHWESTERN IS A COMMUNITY IN WHICH ALL LEARNING IS FRAMED WITHIN THE CONTEXT OF A BIBLICAL WORLDVIEW. STUDENTS WHO ENROLL AS FRESHMEN ARE REQUIRED TO COMPLETE 30 CREDITS OF BIBLE COURSES AS PART OF THEIR CORE CURRICULUM, THEREBY MAKING THEM ELIGIBLE FOR A SECOND MAJOR IN BIBLE FROM THE DEPARTMENT OF BIBLICAL AND THEOLOGICAL STUDIES. DAILY CHAPEL IS AN INTEGRAL PART OF THE TRADITIONAL PROGRAM WHERE STUDENTS HEAR WORLD-RENOWNED SPEAKERS AND PARTICIPATE IN PRAISE AND WORSHIP. NORTHWESTERN'S 35,000-PLUS ALUMNI POSITIVELY IMPACT SOCIETY THROUGH CAREERS IN LAW, EDUCATION, MEDICINE, GOVERNMENT, COMPUTER TECHNOLOGY AND FORTUNE 500 BUSINESSES, AS WELL AS IN MISSIONS, CHURCHES AND PARACHURCH MINISTRIES. 14350794 93285 6620980 SEE SCHEDULE O.NORTHWESTERN MEDIA:NORTHWESTERN'S MEDIA FOCUS BEGAN IN 1949 WHEN TWIN CITIES' RADIO STATION KTIS WENT ON THE AIR THANKS TO $44,000 GENERATED BY STUDENTS. FORMER NORTHWESTERN PRESIDENT WILLIAM F. "BILLY" GRAHAM GAVE THE FIRST ON-AIR PRAYER. TODAY, NORTHWESTERN OWNS AND OPERATES 17 NONCOMMERCIAL LISTENER-SUPPORTED CHRISTIAN RADIO STATIONS AND 23 TRANSLATORS, COVERING 10 MARKETS IN MINNESOTA, NORTH AND SOUTH DAKOTA, IOWA, WISCONSIN, MISSOURI, AND CONNECTICUT WITH A CONSOLIDATED AUDIENCE OF MORE THAN ONE MILLION LISTENERS A WEEK. NORTHWESTERN MEDIA EXISTS TO LEAD PEOPLE TO CHRIST AND TO NURTURE BELIEVERS IN THEIR SPIRITUAL GROWTH THROUGH CHRIST-CENTERED MEDIA. NORTHWESTERN'S MEDIA MINISTRY REACHES BEYOND THE UNITED STATES THROUGH FINANCIAL AND TECHNOLOGICAL PARTNERSHIPS WITH CHRISTIAN RADIO STATIONS IN BELIZE, ECUADOR, KENYA, GUAM, INDONESIA, MONGOLIA, AND THAILAND. 68708429 1 1 0 1 0 0 0 1 0 1 1 0 0 0 1 1 0 1 1 0 1 0 0 1 1 0 0 1 1 1 1 0 0 0 0 0 1 0 0 1 0 1 1 0 0 1 1 1 1 0 0 1 234 0 1955 1 1 1 0 0 0 0 1 1 0 0 0 0 X 18 17 0 1 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 AK CO DC MA MD MI MN NH OH OK OR SC WA X BRYON D KRUEGER 6516315100 3003 SNELLING AVENUE NORTH ST PAUL MN 55113 X DR ALAN CURETON PRESIDENT 45.00 2.00 X X 358757 0 42010 DAN STOLTZ CHAIR 2.00 2.00 X X 0 0 0 DR BILL HAMEL VICE CHAIR 2.00 0.00 X X 0 0 0 DR SARA A ROBERTSON SECRETARY 2.00 0.00 X X 0 0 0 THOR BECKEN TRUSTEE 2.00 0.00 X 0 0 0 DR MEGAN DOYLE - PARTIAL YEAR TRUSTEE 2.00 0.00 X 0 0 0 MARY EDWARDS TRUSTEE 2.00 0.00 X 0 0 0 STAN ERICKSON TRUSTEE 2.00 2.00 X 0 0 0 GINGER EWING TRUSTEE 2.00 2.00 X 0 0 0 THOMAS GAGE TRUSTEE 2.00 0.00 X 0 0 0 RONALD HALVERSON TRUSTEE 2.00 2.00 X 0 0 0 DEBORAH HEDLUND TRUSTEE 2.00 0.00 X 6150 0 0 DR GEORGE KENWORTHY TRUSTEE 2.00 0.00 X 0 0 0 LAUREN LIBBY - PARTIAL YEAR TRUSTEE 2.00 0.00 X 0 0 0 ARNOLD LINDSTRAND TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL MELOCH TRUSTEE 2.00 0.00 X 0 0 0 RUSS REYNOLDS - PARTIAL YEAR TRUSTEE 2.00 0.00 X 0 0 0 GROVER SAYRE TRUSTEE 2.00 2.00 X 0 0 0 POLLY SCHOEN TRUSTEE 2.00 0.00 X 0 0 0 STEWART VAN DUZER TRUSTEE 2.00 0.00 X 0 0 0 DAVID VENBERG TRUSTEE 2.00 0.00 X 0 0 0 DOUGLAS R SCHROEDER - PARTIAL YEAR VP OF BUSINESS/CFO/TREASURER 45.00 2.00 X 155726 0 21914 BRYON D KRUEGER VP FOR FINANCE & OPERATIONS/CFO 45.00 2.00 X 95709 0 22384 DR JANET SOMMERS SR. VP FOR ACADEMIC AFFAIRS 45.00 0.00 X 148813 0 25558 JASON SHARP SR. VP FOR MEDIA 45.00 0.00 X 140009 0 24775 JAMES JOHNSON VP INSTITUTIONAL ADVANCEMENT 45.00 0.00 X 137666 0 24148 RICHARD WHITWORTH ASSISTANT VP FOR MEDIA/HOME OFFICE 45.00 0.00 X 126906 0 20770 ANN SORENSON PROFESSOR OF COMMUNICATION 45.00 0.00 X 124538 0 9754 1294274 0 191313 20 0 1 0 BON APPETIT MANAGEMENT COMPANY 1701 AMERICAN BLVD E 8 BLOOMINGTON MN 55425 FOOD SERVICE 3286030 ELLUCIAN COMPANY LP 4375 FAIR LAKES CT FAIRFAX VA 22033 TECHNOLOGY MANAGEMENT SERVICES 1556410 PCL CONSTRUCTION SERVICES INC 12200 NICOLLET AVENUE SOUTH BURNSVILLE MN 55337 CONSTRUCTION SERVICES 1490224 REACH COMMUNICATIONS 8900 109TH AVE N 900 CHAMPLIN MN 55316 SOUND AND LIGHTING SERVICES 757680 BWBR ARCHITECTS INC 380 ST PETER STREET SUITE 600 SAINT PAUL MN 55102 ARCHITECT SERVICES 452913 45 55321 285934 19683156 634783 20024411 TUITION AND FEES 611600 55642118 55642118 MEDIA AND AUXILIARY 722320 7843659 6732735 1110924 STUDENT RESIDENT HOUS. 531110 6055016 6055016 SERVICE FEES 611710 5333974 5333974 FOOD SERVICE 611710 3350708 3350708 526467 526467 78751942 770046 770046 217402 80208 137194 137194 137194 5963150 5499503 463647 463647 463647 18029 55321 23221 -5192 -5192 100142048 62374853 1248118 16494666 935346 935346 19130202 19130202 638966 7700 631266 22134 22134 33278741 24622144 6804955 1851642 1257867 922311 249146 86410 4339323 2891862 1419462 27999 2369827 1746834 491426 131567 489711 178581 310427 703 69793 69793 44141 44141 844897 844897 56815 56815 6504901 4453076 1616304 435521 1284506 782530 312071 189905 2249382 1251911 822474 174997 1668730 361172 1216166 91392 3412413 1718847 1680993 12573 1676763 1464318 107087 105358 276882 206542 56538 13802 1147278 17368 1129763 147 5440211 5368355 71856 1154921 537715 612875 4331 FOOD & MEALS 4119803 3944615 60390 114798 SUPPLIES 1259027 783698 446969 28360 TUITION REIMBURSEMENTS 1132305 85230 964553 82522 REPAIRS & MAINTENANCE 999899 766199 214860 18840 2050477 1900228 112430 37819 97855261 68708429 24821393 4325439 X 3641738 3453375 0 188363 4418440 1019967 15331516 20167406 1102053 784641 2696307 2674055 86000 44000 209495 189958 436587 568686 161693056 80011247 82979115 81681809 14442021 15207424 2650073 2741614 7524664 7739156 1227512 1606131 133103783 134424847 6035050 6792007 1522719 1607080 29066926 26950843 502513 442427 3842294 3508381 40969502 39300738 X 77163016 79862480 4525401 4685013 10445864 10576616 92134281 95124109 133103783 134424847 X 2286787 132921 570120 X 0 1 X 1 1 1 X 24177247 20406344 20097311 19536445 20024411 104241758 24177247 20406344 20097311 19536445 20024411 104241758 2742373 101499385 432889 564431 644659 620209 770046 3032234 107273992 368556155 0.94620 0.94080 X 0 0 0 0 0 0 0 0 0 0 0 0 1 45141 45141 0 PART II-B, LINE 1: THE UNIVERSITY ENGAGED THE SERVICES OF A LAW FIRM TO ASSIST IN GAINING CLARIFICATION OF LEGISLATION REGARDING A CLAIM INVOLVING THE UNIVERSITY. ADDITIONALLY THE UNIVERSITY ENGAGED THE SERVICES OF A LAW FIRM TO ASSIST IN SEEKING AN AMENDMENT TO A PUD (PLANNED UNIT DEVELOPMENT) TO ALIGN WITH DESIRED USE OF ONE OF THEIR BUILDINGS. THE UNIVERSITY PAID MEMBERSHIP DUES TO ORGANIZATIONS WHERE THE DUES COVERED A PORTION OF LOBBYING EXPENSES. 0 1192638 X X X 0 16977427 516050 1145350 774284 17864543 16121628 180052 1422669 746922 16977427 16496616 517480 91786 732378 251876 16121628 16067895 949029 226696 747004 16496616 14830139 214201 1652748 629193 16067895 0.17380 0.67420 0.15200 0 1 1 6566191 6566191 123467192 54750339 68716853 549646 549646 0 27424750 24711262 2713488 3685277 3685277 81681809 TRUST AND ANNUITY OBLIGATIONS 157718 REFUNDABLE US GOV'T STUDENT LOAN FUNDS 2307235 ASSET RETIREMENT OBLIGATION 838738 INTEREST RATE SWAP LIABILITY 131319 OTHER LIABILITIES 73371 3508381 X PART III, LINE 4: THE UNIVERSITY HOLDS AN ART COLLECTION, WHICH FURTHERS OUR EDUCATIONAL EXEMPT PURPOSE BY PROVIDING ART STUDENTS WITH VARIOUS EXAMPLES OF ARTWORK FOR SCHOLARLY RESEARCH. PART V, LINE 4: ENDOWMENT FUNDS ARE USED TO PROVIDE SCHOLARSHIPS AND OTHER FINANCIAL ASSISTANCE FOR STUDENTS. PART X, LINE 2: THE UNIVERSITY QUALIFIES AS A TAX-EXEMPT NONPROFIT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND SIMILAR STATUTES OF MINNESOTA LAW. HOWEVER, ANY UNRELATED BUSINESS INCOME MAY BE SUBJECT TO TAXATION. THE MOST SIGNIFICANT AREAS THAT SUBJECT THE UNIVERSITY TO UNRELATED BUSINESS INCOME TAX (UBIT) INCLUDE RADIO TOWER LEASES, CONFERENCES AND EVENTS, FACILITY RENTALS AND PRIVATE MUSIC LESSONS. 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 POLICY IS CONTAINED IN ALL REGISTRATION AND PROMOTIONAL MATERIALS. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY ADMINISTERS GOVERNMENT PROGRAMS SUCH AS WORK STUDY, PERKINS LOANS, PELL GRANTS, SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS, AND THE FEDERAL DIRECT LOAN PROGRAM THAT PROVIDE FINANCIAL ASSISTANCE TO ITS STUDENTS. EUROPE 0 0 PROGRAM SERVICES STUDY ABROAD 489000 MIDDLE EAST & NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 131000 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD/SHORT TERM MISSIONS TRIP 154000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES SHORT TERM MISSIONS TRIP 4000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD/SHORT TERM MISSIONS TRIP 12000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 69000 0 0 0 0 0 0 859000 0 859000 0 0 0 0 0 0 PART I, LINE 3: THE UNIVERSITY USES THE ACCRUAL METHOD TO ACCOUNT FOR EXPENDITURES OUTSIDE OF THE UNITED STATES. X X X X X X 1 TODD DEXTER & ASSOCIATES LLC 17950 PRESTON RD 340 DALLAS TX 75252 MARKETING 0 2374472 794339 1580133 MDS COMMUNICATIONS CORPORATION 545 W JUANITA AVE MESA AZ 85210 TELEPHONE FUNDRAISING SERVICES 0 138572 50558 88014 2513044 844897 1668147 AK AL AR CA CO CT CT DE DC FL GA HI ID IL IN IA KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV WY GOLF CLASSIC EVENT 73350 55321 18029 12991 3414 6816 73350 55321 18029 12991 3414 6816 23221 -5192 1 NORTHWESTERN FOUNDATION 3003 SNELLING AVENUE NORTH ST PAUL MN 55113 411878924 501(C)(3) 773162 N/A N/A GENERAL OPERATING SUPPORT REACH BEYOND 1065 GARDEN OF THE GODS ROAD COLORADO SPRINGS CO 80907 590939206 501(C)(3) 80000 N/A N/A ASIA PACIFIC VOICE AND HANDS TRANS WORLD RADIO 300 GREGSON DRIVE CARY NC 27511 221690564 501(C)(3) 21000 N/A N/A GENERAL OPERATING SUPPORT 3 0 SCHOLARSHIPS & TUITION ASSISTANCE 1745 19130202 0 N/A N/A PART I, LINE 2: THE UNIVERSITY MAKES CONTRIBUTIONS TO NORTHWESTERN FOUNDATION, A RELATED ORGANIZATION UNDER COMMON MANAGEMENT. FOR THE GRANTS TO UNRELATED ORGANIZATIONS, SENIOR MANAGEMENT GENERALLY MONITORS RECIPIENT SPENDING VIA COMMUNICATION WITH THE ORGANIZATIONS TO SEE HOW OPERATIONS ARE RUNNING. A SITE VISIT BY SENIOR MANAGEMENT MAY ALSO BE CONDUCTED TO CHECK THE STATUS OF THE ORGANIZATION AND/OR MONITOR THE PROGRESS OF THE INTENDED PROJECT. SCHOLARSHIPS AND GRANTS FOR STUDENTS ARE APPLIED DIRECTLY TO A STUDENT'S UNIVERSITY 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 UNIVERSITY. 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 UNIVERSITY'S POLICY. X X X X 1 1 X X X 0 1 0 0 0 0 0 1 0 DR ALAN CURETON PRESIDENT 265148 0 27141 0 66468 0 28846 0 13164 0 400767 0 0 0 DOUGLAS R SCHROEDER - PARTIAL YEAR VP OF BUSINESS/CFO/TREASURER 152046 0 1000 0 2680 0 9161 0 12753 0 177640 0 0 0 DR JANET SOMMERS SR. VP FOR ACADEMIC AFFAIRS 146696 0 1000 0 1117 0 9165 0 16393 0 174371 0 0 0 JASON SHARP SR. VP FOR MEDIA 138214 0 1000 0 795 0 8432 0 16343 0 164784 0 0 0 JAMES JOHNSON VP INSTITUTIONAL ADVANCEMENT 135933 0 1000 0 733 0 7845 0 16303 0 161814 0 0 0 PART I, LINE 1A TAX GROSS-UP PAYMENTS: DR. CURETON - TAX GROSS UP PAYMENTS- INCLUDED IN TAXABLE COMPENSATION. HOUSING ALLOWANCES: DR. CURETON - HOUSING ALLOWANCES - INCLUDED IN TAXABLE COMPENSATION. SOCIAL CLUB DUES: DR. CURETON - NOT INCLUDIBLE IN TAXABLE COMPENSATION SINCE USED FOR BUSINESS PURPOSES. PERSONAL SERVICES: DR. CURETON - FOR BUSINESS USE OF PERSONAL RESIDENCE - NOT INCLUDIBLE IN TAXABLE COMPENSATION. PART I, LINE 4B EMPLOYER CONTRIBUTION TO 457(F) PLAN: DR. CURETON - PAYMENT OF $12,646 TO 457(F) PLAN ON BEHALF OF DR. CURETON, NOT TAXABLE UNTIL VESTED. PART I, LINE 7 BONUSES ARE GIVEN OUT AS A WAY TO RECOGNIZE AND REWARD EXCEPTIONAL EMPLOYEE ACCOMPLISHMENTS/PERFORMANCE AND ALSO AS AN EXPRESSION OF APPRECIATION FOR UNIQUE AND SPECIAL CIRCUMSTANCES. BONUS PAYMENTS REQUIRE APPROVAL FROM SENIOR LEADERSHIP (I.E. VP, SVP, PRESIDENT OR BOARD). A PUBLIC FINANCE AUTHORITY 273866124 2014-07-01 25320000 SEE PART IV 0 0 0 A 6244000 25320000 6200000 19120000 2014 1 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 1 1 BMO HARRIS BANK NA 9.000000000000 0 0 0 0 1 A 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: PUBLIC FINANCE AUTHORITY DATE THE REBATE COMPUTATION WAS PERFORMED: 07/15/2014 SCHEDULE K, PART I, COLUMN (F): DEBT CONSOLIDATION, ATHLETIC COMPLEX RENOVATION, STUDENT HOUSING ACQUISITION DR ALAN CURETON PRESIDENT LOAN FOR MORTGAGE X 350000 44000 0 1 1 44000 GAYLE CURETON SPOUSE OF PRESIDENT, DR. ALAN CURETON 22134 EMPLOYMENT COMPENSATION 0 LEONARD O'BRIEN SPENCER GALE & SAYRE LTD SEE PART V 152393 LEGAL SERVICES 0 SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF PERSON: LEONARD, O'BRIEN, SPENCER, GALE & SAYRE, LTD.(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GROVER SAYRE IS A PARTNER AT LEONARD, O'BRIEN, SPENCER, GALE & SAYRE, LTD., WHICH PROVIDES LEGAL SERVICES TO THE UNIVERSITY. X 4664 ESTIMATED VALUE X 45 416249 STOCK MARKET QUOTES X KLBF RADIO STATION ACQUISITION 1 164492 ESTIMATED VALUE X GRAIN 19 23900 ESTIMATED VALUE X EQUIPMENT 3 21674 ESTIMATED VALUE X EVENT GOODS 5 3421 ESTIMATED VALUE X TICKETS/GIFT CARDS 7 383 ESTIMATED VALUE 43 0 1 0 PART I, COLUMN (B): COLUMN (B) REPORTS THE NUMBER OF CONTRIBUTORS. FORM 990, PART VI, SECTION A, LINE 1 UNIVERSITY OF NORTHWESTERN - ST. PAUL HAS AN EXECUTIVE COMMITTEE, CONSISTING OF THE CHAIR, VICE-CHAIR AND SECRETARY OF THE BOARD OF TRUSTEES, THE PRESIDENT OF THE UNIVERSITY, AND THE CHAIR OF EACH OF THE STANDING COMMITTEES OF THE BOARD OF TRUSTEES. THE EXECUTIVE COMMITTEE HAS THE AUTHORITY TO ACT ON BEHALF OF THE BOARD OF TRUSTEES ON ALL MATTERS EXCEPT FOR THE FOLLOWING, WHICH ARE RESERVED FOR THE FULL BOARD OF TRUSTEES: PRESIDENTIAL SELECTION AND TERMINATION, TRUSTEE AND BOARD OFFICER SELECTION, CHARTER AND BYLAW AMENDMENT, CHANGING THE INSTITUTION'S MISSION, INCURRING CORPORATE INDEBTEDNESS BEYOND WHAT THE BOARD OF TRUSTEES HAS AUTHORIZED BY RESOLUTION, APPROVAL OF THE ANNUAL BUDGET, AND CONFERRAL OF DEGREES. FORM 990, PART VI, SECTION A, LINE 3 THE UNIVERSITY OF NORTHWESTERN - ST. PAUL DELEGATES ITS DUTIES OF ENROLLMENT MANAGEMENT AND FINANCIAL AID TO AN INDEPENDENT CONTRACTOR. THE CONTRACTOR PERFORMS CONSULTING SERVICES AS THE VP OF ENROLLMENT MANAGEMENT AND REPORTS DIRECTLY TO THE PRESIDENT OF THE UNIVERSITY. FORM 990, PART VI, SECTION B, LINE 11B A DRAFT OF THE FORM 990 WAS PROVIDED TO THE UNIVERSITY'S VP OF FINANCE & OPERATIONS / CFO AND CONTROLLER FOR A DETAIL REVIEW AFTER ALL CHANGES WERE MADE AND QUESTIONS ANSWERED. A FINAL COPY OF THE FORM 990 WAS THEN REVIEWED AND APPROVED BY THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS FORM 990, PART VI, SECTION B, LINE 12C THE UNIVERSITY'S CONFLICT OF INTEREST POLICY APPLIES TO ITS BOARD OF TRUSTEES, OFFICERS AND MANAGEMENT EMPLOYEES. THE BOARD OF TRUSTEES SIGN A CONFLICT OF INTEREST POLICY ON AN ANNUAL BASIS. IT IS THE RESPONSIBILITY OF ALL INTERESTED PERSONS TO DISCLOSE ANY POTENTIAL CONFLICTS OF INTEREST AS SOON AS THEY BECOME AWARE OF THEM. DISCLOSURES ARE MADE TO THE PRESIDENT OF THE UNIVERSITY OR THE CHAIR OF THE BOARD OF TRUSTEES, AS APPROPRIATE, WHO BRING THE MATTER TO THE ATTENTION OF THE ENTIRE BOARD OF TRUSTEES. THE BOARD THEN DETERMINES IF A CONFLICT EXISTS, WHETHER IT IS MATERIAL, AND WHETHER IT IS JUST, FAIR AND REASONABLE TO UNIVERSITY OF NORTHWESTERN - ST. PAUL. THE INTERESTED PERSON LEAVES THE ROOM FOR DISCUSSIONS INVOLVING, AND MAY NOT VOTE ON, THE RELEVANT CONTRACT OR TRANSACTION. WHEN THERE IS A CONFLICT OF INTEREST DURING A BOARD MEETING DISCUSSION, IT IS DOCUMENTED IN THE BOARD MINUTES THAT THE PERSON(S) WITH THE CONFLICT LEFT THE ROOM FOR THE COURSE OF THE DISCUSSION. FORM 990, PART VI, SECTION B, LINE 15A PRESIDENT OF UNIVERSITY OF NORTHWESTERN - ST. PAUL: NORTHWESTERN RECEIVES COMPARISON DATA FROM THREE MAIN SOURCES: (1) COUNCIL FOR CHRISTIAN COLLEGES AND UNIVERSITIES, (2) CUPA AND (3) YAFFE & CO. ALL THREE OF THESE SOURCES TARGET HIGHER EDUCATION COMPENSATION. THE OFFICE OF HUMAN RESOURCES IS RESPONSIBLE FOR REVIEWING THE SURVEYS RELATED TO TOP MANAGEMENT AS WELL AS ALL EMPLOYEES AND ENSURE THAT WAGES ARE WITHIN AN APPROPRIATE RANGE. THE PRESIDENT'S SALARY WAS OFFICIALLY REVIEWED BY THE BOARD OF TRUSTEES. THE LAST REVIEW WAS COMPLETED IN 2018 FOR PRESIDENT, A. CURETON. OTHER OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES: UNIVERSITY OF NORTHWESTERN - ST. PAUL HAS A FORMAL SALARY PROGRAM WITH SALARY GRADES AND SALARY RANGES FOR POSITIONS. UNIVERSITY OF NORTHWESTERN - ST. PAUL ANNUALLY PARTICIPATES IN MULTIPLE SALARY SURVEYS AND ALSO REVIEWS LOCAL SALARY DATA TO DETERMINE SALARY GRADE RANGES. ANNUALLY, THE PROCESS IS REVIEWED BY HUMAN RESOURCES AND SALARY GRADE INCREASES ARE MADE TO THE MINIMUM, MIDPOINT AND MAXIMUM OF THE PAY RANGE. ANNUALLY, VICE PRESIDENT SALARIES ARE REVIEWED BY THE PRESIDENT. THE PRESIDENT HAS ACCESS TO SALARY SURVEY DATA AND FROM THERE A REQUEST FOR SALARY CHANGE IS MADE BY THE PRESIDENT AND PRESENTED TO HUMAN RESOURCES FOR REVIEW AND PROCESSING. THE LAST REVIEW INCLUDED COMPARABILITY DATA AND CONTEMPORANEOUS SUBSTANTIATION WAS IN 2018 FOR VP OF FINANCE, B. KRUEGER AND OTHER VICE PRESIDENTS. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY MAKES ITS FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. IT DOES NOT MAKE ITS GOVERNING DOCUMENTS OR CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC. FORM 990, PART VII, SECTION A, LINE 12: DEBORAH HEDLUND RECEIVED COMPENSATION FOR SERVICES RENDERED AS AN ADJUNCT FACULTY MEMBER OF THE UNIVERSITY. FORM 990, PART XI, LINE 9: CHANGE IN VALUE OF ANNUITIES, TRUSTS -13,907. CHANGE IN VALUE OF INTEREST RATE SWAP 584,027. LINCOLN DRIVE PROPERTIES LLC 3003 SNELLING AVENUE NORTH ST PAUL MN 55113 205476148 REAL ESTATE MN 12000 3050530 UNIVERSITY OF NORTHWESTERN - ST PAUL UNW STUDENT HOUSING LLC 3003 SNELLING AVENUE NORTH ST PAUL MN 55113 411930409 STUDENT HOUSING MN 129714 7867700 UNIVERSITY OF NORTHWESTERN - ST PAUL CENTRE POINTE DRIVE LLC 3003 SNELLING AVENUE NORTH ST PAUL MN 55113 813221057 REAL ESTATE MN 0 8954050 UNIVERSITY OF NORTHWESTERN - ST PAUL UNW MEDIA HOLDINGS LLC 3003 SNELLING AVENUE NORTH ST PAUL MN 55113 824870186 RADIO STATION MN 0 0 UNIVERSITY OF NORTHWESTERN - ST PAUL NORTHWESTERN FOUNDATION 3003 SNELLING AVENUE NORTH ST PAUL MN 55113 411878924 EDUCATION FOUNDATION MN 501(C)(3) LINE 7 UNIVERSITY OF NORTHWESTERN - ST PAUL 1 CHARITABLE REMAINDER TRUSTS (5) TRUSTS MN UNIVERSITY OF NORTHWESTERN - ST PAUL T 1 0 1 1 0 0 0 0 0 0 1 0 1 0 1 1 1 1 0 0 NORTHWESTERN FOUNDATION B 773162 FMV NORTHWESTERN FOUNDATION C 285934 FMV NORTHWESTERN FOUNDATION L 143000 FMV NORTHWESTERN FOUNDATION M 74685 FMV