2019-06-14T11:08:03-05:00 2018-07-31 910189318 MOSS ADAMS LLP 3121 W MARCH LN STE 200 STOCKTON CA 952192367 990 2017-08-01 951644037 PEPPERDINE UNIVERSITY PEPP 8187021350 24255 PACIFIC COAST HWY MALIBU CA 902634497 JOAN SINGLETON CFO 8187021350 2019-06-14 1 TRACY S PAGLIA P00366884 2099556100 2019-06-13 12.129.7.100 2019-06-14 10:44:16 PD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 590998BD83A1AFC8298AB8E54118062D6841B7FE 2017 2019-02-21 02:37:17Z ANDREW K BENTON 24255 PACIFIC COAST HWY MALIBU CA 902634497 682717863 0 X WWW.PEPPERDINE.EDU X 1937 CA SEE SCHEDULE O 39 37 5006 40 4368319 0 30223377 39372267 400243433 408610103 71044314 61857274 -690814 10466898 500820310 520306542 109138172 113354543 0 0 189311417 197233680 301341 99513 7841409 146507426 161508763 445258356 472196499 55561954 48110043 1712036762 1897654028 414571486 528669890 1297465276 1368984138 X PEPPERDINE UNIVERSITY IS AN INDEPENDENT, PRIVATE CHRISTIAN UNIVERSITY COMMITTED TO THE HIGHEST STANDARDS OF EXCELLENCE AND CHRISTIAN VALUES, WHERE STUDENTS ARE STRENGTHENED FOR LIVES OF PURPOSE, SERVICE, AND LEADERSHIP. THE UNIVERSITY ENROLLS APPROXIMATELY 7,600 STUDENTS IN ITS FIVE COLLEGES AND SCHOOLS. SEAVER COLLEGE, THE UNIVERSITY'S UNDERGRADUATE LIBERAL ARTS COLLEGE, THE SCHOOL OF LAW, AND THE SCHOOL OF PUBLIC POLICY ARE HEADQUARTERED ON 830 ACRES IN THE SANTA MONICA MOUNTAINS OVERLOOKING THE PACIFIC OCEAN IN MALIBU, CALIFORNIA. THE GRADUATE SCHOOL OF EDUCATION AND PSYCHOLOGY AND THE GEORGE L. GRAZIADIO SCHOOL OF BUSINESS AND MANAGEMENT ARE HEADQUARTERED AT THE UNIVERSITY'S WEST LOS ANGELES, CALIFORNIA GRADUATE CAMPUS. 0 0 175450792 113094650 46660054 STUDENT SERVICES, INCLUDING SCHOLARSHIPS TO ENROLLED STUDENTS - THERE ARE MANY AUXILIARY SERVICES OFFERED TO THE STUDENTS TO PROMOTE THEIR INTELLECTUAL, EMOTIONAL, AND SPIRITUAL DEVELOPMENT. PEPPERDINE UNIVERSITY MAINTAINS MULTIPLE DINING AND HOUSING FACILITIES, A BOOKSTORE, BANKING SERVICES, PARKING FACILITIES LOCATED ALL OVER CAMPUS, TRANSPORTATION SERVICES, RECREATIONAL FIELDS, AND MAIL SERVICES. IN ADDITION TO THESE FACILITIES, PEPPERDINE OFFERS 87% OF ITS STUDENT BODY FINANCIAL AID IN THE FORM OF VARIOUS SCHOLARSHIPS, GRANTS, AND LOANS. 98373865 164576 357995107 INSTRUCTION & RESEARCH - PEPPERDINE UNIVERSITY, A TOP CHRISTIAN INSTITUTION FOR HIGHER EDUCATION, SERVES APPROXIMATELY 3,600 UNDERGRADUATE STUDENTS AND 4,000 GRADUATE STUDENTS. IN ADDITION TO OUR CAMPUSES IN CALIFORNIA, PEPPERDINE MAINTAINS SEVEN STUDENT LEARNING PROGRAMS IN LOCATIONS SUCH AS EUROPE, ASIA, SOUTH AMERICA AND WASHINGTON D.C. PEPPERDINE BELIEVES IN A LOWER STUDENT-FACULTY RATIO (14:1) WITH AN AVERAGE CLASS SIZE OF 19. THE UNIVERSITY OFFERS 45 MAJORS THAT UNDERGRADUATES CAN PURSUE, AS WELL AS 16 GRADUATE DEGREES. 68396140 62142 3227467 ACADEMIC SUPPORT - PEPPERDINE UNIVERSITY EQUIPS STUDENTS WITH ACADEMIC SUPPORT TO ENSURE STUDENTS REACH THEIR EDUCATIONAL GOALS. UNIVERSITY SERVICES SUCH AS THE LIBRARY, TECH CENTRAL, PEPPERDINE COUNSELING CENTER, THE HEALTH CENTER, AND ONE STOP, THE PRIMARY ACADEMIC ADVISING CENTER, ASSIST IN THE WELL-BEING AND ACADEMIC PROGRESS OF OUR STUDENTS. 17833372 33175 727475 PUBLIC SERVICE - THE UNIVERSITY OFFERS NUMEROUS SERVICES TO THE GENERAL PUBLIC, INCLUDING ART EXHIBITS, CONCERTS, PRODUCTIONS, AND OTHER PUBLIC BENEFIT ACTIVITIES. 17833372 33175 727475 360054169 1 1 0 1 0 1 0 1 1 1 1 1 0 1 1 0 0 1 1 1 1 0 1 1 1 0 0 1 1 1 1 0 1 0 0 0 1 0 0 1 0 1 1 0 0 1 1 1 1 0 0 1 X 11239 0 1 5006 1 1 1 1 AR GM IT SZ UK CH 0 0 0 1 1 0 0 0 0 0 0 0 X 39 37 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA OR X X JOAN SINGLETON 8187021350 24255 PACIFIC COAST HIGHWAY MALIBU CA 902634497 ANDREW K BENTON PRESIDENT AND CEO 40.00 3.00 X X 574154 0 360326 EDWIN BIGGERS CHAIRMAN 1.00 X X 0 0 0 BRETT BIGGS REGENT 1.00 X 0 0 0 SHEILA BOST REGENT 1.00 X 0 0 0 CHARLES BRANCH JR REGENT 1.00 X 0 0 0 DALE BROWN REGENT 1.00 X 0 0 0 JANICE BROWN REGENT 1.00 X 0 0 0 JOSE COLLAZO REGENT 1.00 X 0 0 0 NANCY DE LIBAN REGENT 1.00 X 0 0 0 SHELLE ENSIO REGENT 1.00 X 0 0 0 TERRY GILES REGENT 1.00 X 0 0 0 SETH HAYE REGENT 1.00 X 0 0 0 MICHELLE HIEPLER REGENT 1.00 X 0 0 0 GLEN HOLDEN REGENT 1.00 X 0 0 0 GAIL HOPKINS REGENT 1.00 X 0 0 0 PETER JAMES JOHNSON JR REGENT 1.00 X 0 0 0 JOHN KATCH REGENT 1.00 X 0 0 0 DENNIS LEWIS REGENT 1.00 X 0 0 0 JOHN T LEWIS REGENT 1.00 X 0 0 0 KIMBERLY LINDLEY REGENT 1.00 X 0 0 0 FAYE MCCLURE REGENT 1.00 X 0 0 0 MICHAEL OKABAYASHI REGENT 1.00 X 0 0 0 DANNY PHILLIPS REGENT 1.00 X 0 0 0 TIMOTHY PHILLIPS REGENT 1.00 X 0 0 0 JOHN PLUEGER REGENT 1.00 X 0 0 0 JAMES PORTER VICE CHAIRMAN 1.00 2.00 X X 0 0 0 SUSAN RICE SECRETARY 1.00 X X 0 0 0 CAROL RICHARDS REGENT 1.00 X 0 0 0 FREDERICK RICKER ASSISTANT SECRETARY 1.00 X X 0 0 0 B JOSEPH ROKUS REGENT 1.00 1.00 X 0 0 0 BUI SIMON REGENT (THRU 6/18) 1.00 X 0 0 0 HAROLD SMETHILLS REGENT 1.00 3.00 X 0 0 0 DEE ANNA SMITH REGENT 1.00 X 0 0 0 ROSA MERCADO SPIVEY REGENT 1.00 X 0 0 0 WILLIAM STEVENS REGENT 1.00 X 0 0 0 STEPHEN STEWART REGENT 1.00 X 0 0 0 AUGUSTUS TAGLIAFERRI REGENT 1.00 X 0 0 0 MARTA TOOMA REGENT 1.00 X 0 0 0 ROBERT WALKER REGENT 1.00 X 0 0 0 MARYLYN WARREN REGENT (THRU 6/18) 1.00 X 0 0 0 JAY S WELKER REGENT 1.00 X 0 0 0 GARY HANSON EXECUTIVE VP AND COO 40.00 X 344500 0 225154 SAMUEL HINKLE SVP FOR ADVANCEMENT 40.00 1.00 X 253848 0 199992 PAUL LASITER VICE PRESIDENT AND CFO (THRU 7/18) 40.00 3.00 X 240435 0 183577 CHARLES PIPPIN SENIOR VP INVESTMENTS & CIO 40.00 3.00 X 440447 0 141578 MICHAEL ADAMS CHANCELLOR 40.00 3.00 X 428409 0 236701 RICK MARRS PROVOST AND CHIEF ACADEMIC OFFICER 40.00 X 410535 0 289723 JOAN K SINGLETON CFO 40.00 X 0 0 0 LANCE BRIDGESMITH ASSOCIATE VP FOR PLANNING OPERATIONS 40.00 X 191526 0 50157 PAUL CARON DEAN, SCHOOL OF LAW 40.00 X 221553 0 160612 LEE KATS VICE PROVOST FOR RESEARCH 40.00 X 254898 0 40662 SARA COSENTINO CHIEF HUMAN RESOURCES OFFICER 40.00 X 160375 0 60734 MICHAEL FELTNER DEAN, SEAVER COLLEGE 40.00 X 259382 0 70289 FAYE E HOLTON DIRECTOR OF INVESTMENTS 35.00 5.00 X 204856 0 33233 DERYCK JANSE VAN RENSBURG DEAN, GSBM 40.00 X 436114 0 10761 MICHAEL NICKS DIRECTOR OF INVESTMENTS 40.00 X 179439 0 55977 PHIL PHILLIPS VICE PRESIDENT FOR ADMINISTRATION 40.00 X 232582 0 106660 EDNA POWELL CHIEF BUSINESS OFFICER 40.00 X 218308 0 42807 JEFFREY ROHDE MANAGING DIRECTOR OF INVESTMENTS 40.00 X 243079 0 32518 JONATHAN SEE CHIEF INFORMATION OFFICER 40.00 X 242632 0 33911 HELEN E WILLIAMS DEAN, GSEP 40.00 X 178408 0 107725 EDWARD LARSON DARLING PROFESSOR OF LAW 40.00 X 327395 0 67525 LAMAR WILSON HEAD BASKETBALL COACH 40.00 X 402634 0 70923 MARC GOODMAN GENERAL COUNSEL 40.00 X 267761 0 42444 ROBERT J PUSHAW JR PROFESSOR OF LAW 40.00 X 263732 0 53990 DEANELL TACHA DEAN EMERITA, SCHOOL OF LAW 40.00 X 376969 0 30300 DAVID SMITH ASSOC PROF ECON, ASSOC PROV ONLINE LEARNING 40.00 X 208390 0 61933 7562361 0 2770212 383 1 1 0 SUNDT CONSTRUCTION INC 2865 GATEWAY DR 300 SACRAMENTO CA 95833 CONSTRUCTION 17301448 SWINERTON BUILDERS 865 S FIGUEROA ST 3000 LOS ANGELES CA 90017 CONSTRUCTION 15337152 SODEXO INC & AFFILIATES PO BOX 360170 PITTSBURGH PA 152516170 CATERING & CUSTODIAL 6397889 NCS PEARSON INC 13036 COLLECTION CTR DR CHICAGO IL 60693 E-LEARNING 4035051 DPR CONSTRUCTION 4665 MACARTHUR CT 100 NEWPORT BEACH CA 92660 CONSTRUCTION 2830773 70 750921 2000000 3411203 33210143 2261496 39372267 STUDENT TUITION AND FEES 611710 362807555 362807555 ROOM AND BOARD 611710 38579591 38579591 OTHER REVENUE 611710 6051216 6051216 SALES AND SERVICES 611710 1171741 1171741 408610103 16318714 1582455 14736259 867293 0 867293 867293 867293 206922220 4200 161318160 69700 45604060 -65500 45538560 45538560 433508 750921 1023461 -589953 -589953 SALES AND SERVICES 611710 5459840 2785864 2673976 4729718 4729718 10189558 520306542 408610103 4368319 67955853 33175 33175 103451566 103451566 9869802 9869802 8119342 2361592 4676668 1081082 1245659 788746 235977 220936 142806432 106393856 32523114 3889462 10095886 7143202 2641551 311133 25176877 19784985 4617145 774747 9789484 6826137 2694711 268636 170810 75348 95462 651699 2372 644205 5122 99513 99513 6439822 6439822 24747562 15716690 8808249 222623 7147001 5069896 1913448 163657 9955756 5379671 4370595 205490 7544363 3293895 4245217 5251 24621322 12146075 12467180 8067 10234216 7355007 2705551 173658 4050363 2836685 1192432 21246 11898711 9733145 2117971 47595 23599873 19294026 4211500 94347 5566315 82668 5483647 CONSTRUCTION & EQUIPMEN 5988667 3618306 2370361 EQUIPMENT RENTAL & MAIN 3813962 1194883 2605376 13703 LOSS ON EXTINGUISHMENT 14574 14574 15063747 17602441 -2773835 235141 472196499 360054169 104300921 7841409 118945803 135731228 31908561 38121580 7542949 8745154 200000 870000 4125868 4862666 680447303 235938510 389653781 444508793 298096519 316370835 578828881 667883200 20620831 19516369 262113569 261044203 1712036762 1897654028 39451850 43298616 13851501 10020188 305938948 425988895 39834103 36173829 15495084 13188362 414571486 528669890 X 799070675 829663976 115569319 129423474 382825282 409896688 1297465276 1368984138 1712036762 1897654028 X 48110043 -23231079 880127 45759771 X 0 1 X 1 1 1 X 33939405 30180908 25472417 30223377 39372267 159188374 33939405 30180908 25472417 30223377 39372267 159188374 3528874 155659500 19637575 17144685 11144981 10336144 15603552 73866937 815733 1182857 995539 2994129 7403694 7403694 243453134 1881743696 0.63940 0.63200 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: CONFERENCE SERVICES OTHER INCOME 0 0 0 0 0 0 0 0 1 13544 13544 0 PART II-B, LINE 1: THE ORGANIZATION HIRED A LOBBYING FIRM IN CONNECTION LAND USE ISSUES. 6 0 100000 0 540790 0 1192909 0 1 1 0 4552351 0 0 X X X 0 0 1 X 860333000 13743769 69227350 39160863 904143256 781341000 4519000 112756000 38283000 860333000 785767000 5754000 31352000 41532000 781341000 783508000 10122000 32859000 40722000 785767000 709256000 8987000 100395000 35130000 783508000 0.51210 0.40420 0.08370 1 1 1 28613150 28613150 600068554 215026201 385042353 38574138 20912309 17661829 13191461 13191461 444508793 ALTERNATIVE INVESTMENTS 665851054 F LIMITED PARTNERSHIPS 1125280 F CASH & CASH EQUIVALENT 751216 F OTHER 155650 F 667883200 ASSETS HELD AS TRUSTEE 165822562 INVESTMENTS IN SUBSIDIARIES 55573279 INVESTMENTS - REAL ESTATE 31688239 INVESTMENTS - NOTES RECEIVABLE 5459421 HELD UNDER AGENCY AGREEMENTS 1971989 OTHER INVESTMENTS 528713 261044203 US GOVERNMENT FUNDED STUDENT LOANS 13188362 13188362 PART III, LINE 4: COLLECTIONS CONSIST OF ITEMS ACQUIRED BY THE UNIVERSITY'S LIBRARY THAT REQUIRE SPECIAL HANDLING DUE TO THEIR RARITY, VALUE, AND/OR PHYSICAL CONDITION. THE UNIVERSITY ALSO MAINTAINS AN ARCHIVAL COLLECTION OF OFFICIAL DOCUMENTS, PAPERS, PUBLICATIONS, AND ARTIFACTS OF PEPPERDINE AND PERSONS CONNECTED WITH THE UNIVERSITY. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR EDUCATION, RESEARCH, AND PUBLIC EXHIBITION. PART IV, LINE 2B: THE UNIVERSITY RECORDS A CUSTODIAL LIABILITY FOR CHARITABLE GIFT ANNUITIES, CHARITABLE REMAINDER TRUSTS AND LIFE ESTATES THAT ARE SUBJECT TO LIFE INTERESTS OF THE BENEFICIARIES. NO SIGNIFICANT FINANCIAL BENEFIT CAN BE REALIZED UNTIL THE CONTRACTUAL OBLIGATIONS ARE RELEASED. THE UNIVERSITY ACTS AS THE FISCAL AGENT FOR FUNDS RELATED TO UNIVERSITY SPONSORED AND/OR AFFILIATED PROGRAMS AS WELL AS STUDENT GROUPS. THE UNIVERSITY DOES NOT OWN THE FUNDS ASSOCIATED WITH THESE PROGRAMS. PART V, LINE 4: THE INTENT OF THE UNIVERSITY'S ENDOWMENT FUND IS TO GENERATE REVENUES NECESSARY TO SUPPORT THE UNIVERSITY'S EXEMPT PURPOSE, INCLUDING EDUCATION, RESEARCH, AND SCHOLARSHIP. PART X, LINE 2 PEPPERDINE UNIVERSITY DOES NOT HAVE AN ASC 740 FOOTNOTE REPORTED IN ITS FINANCIAL STATEMENTS. 1 1 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 A DESCRIPTION OF THE UNIVERSITY NON-DISCRIMINATORY POLICY IS PUBLISHED IN THE UNIVERSITY'S ACADEMIC CATALOGS AND THE EMPLOYMENT OPPORTUNITIES PAGE OF THE HUMAN RESOURCES WEBSITE. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY PARTICIPATES IN THE FOLLOWING FEDERAL PROGRAMS: PELL GRANT, SEOG GRANT, AC GRANT, SMART GRANT, TEACH GRANT, YELLOW RIBBON, PERKINS LOANS, LOANS (SUBSIDIZED AND UNSUBSIDIZED), PLUS LOANS, AND FEDERAL WORK STUDY. 1 CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 INVESTMENTS 209752828 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 INVESTMENTS 32424342 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 0 0 INVESTMENTS 924627 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 1 15 PROGRAM SERVICES EDUCATIONAL PROGRAMS 2934842 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 4 65 PROGRAM SERVICES EDUCATIONAL PROGRAMS 14886958 MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 0 0 PROGRAM SERVICES EDUCATIONAL PROGRAMS 71529 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 1 20 PROGRAM SERVICES EDUCATIONAL PROGRAMS 4351494 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, 0 0 PROGRAM SERVICES EDUCATIONAL PROGRAMS 210 6 100 0 0 6 100 265346830 0 265346830 SCHOLARSHIPS/ FINANCIAL ASSISTANCE EAST ASIA AND THE PACIFIC 91 902680 CREDIT TO STUDENT ACCOUNT FMV SCHOLARSHIPS/ FINANCIAL ASSISTANCE EUROPE (INCLUDING ICELAND & GREENLAND) 420 6987191 CREDIT TO STUDENT ACCOUNT FMV SCHOLARSHIPS/ FINANCIAL ASSISTANCE SOUTH AMERICA 103 1926609 CREDIT TO STUDENT ACCOUNT FMV SCHOLARSHIPS/ FINANCIAL ASSISTANCE MIDDLE EAST AND NORTH AFRICA 10 53322 CREDIT TO STUDENT ACCOUNT FMV 1 0 1 1 1 0 PART I, LINE 2: THE UNIVERSITY MAINTAINS AN OFFICE OF RESEARCH AND SPONSORED PROGRAMS THAT OVERSEES THE ADMINISTRATION OF ALL GRANTS, DOMESTIC AND INTERNATIONAL, TO ENSURE COMPLIANCE WITH GRANT REQUIREMENTS AS WELL AS WITH LAWS AND REGULATIONS. FURTHER OVERSIGHT IS PROVIDED BY THE UNIVERSITY FINANCE OFFICE. PART I, LINE 3: EXPENSES IDENTIFIED IN COLUMN (F) ARE THE EXPENSES INCURRED IN THE REGION PER THE ORGANIZATION'S GENERAL LEDGER. X X X X X X X 1 MICHAEL WARDER (DBA THE WARDER CONSULTANCY LLC) 2172 MALATI CIRCLE UPLAND CA 91784 PROGRAM FUNDRAISING 0 646070 99513 546557 646070 99513 546557 CA OR GOLF TOURNAMENT 392382 223567 168815 3006 250029 PEPPERDINE ASSOCIATES DINNER 294310 225600 68710 14138 9435 154787 100914 8 497737 301754 195983 4991 3893 268629 17333 196306 1184429 750921 433508 19129 13328 426422 17333 547249 1023461 -589953 1 THOMAS AQUINAS COLLEGE 10000 OJAI ROAD SANTA PAULA CA 93060 941698615 501(C)(3) 30659 TEMPORARY RESTRICTED: SANTA PAULA 1 0 SCHOLARSHIPS/ FINANCIAL AID PAID 6185 103451566 PART I, LINE 2: GRANTS ARE PROVIDED ON THE BASIS OF VERIFIED FINANCIAL NEED OR MERIT AND THE UNIVERSITY DOES NOT UNLAWFULLY DISCRIMINATE ON THE BASIS OF RACE, COLOR, NATIONAL OR ETHNIC ORIGIN, RELIGION, AGE, SEX, DISABILITY OR PRIOR MILITARY SERVICE. FINANCIAL ASSISTANCE IS MONITORED SO THAT IT IS IN COMPLIANCE WITH AWARDING TERMS AND CONDITIONS. EXPENDITURES ARE REVIEWED FOR ALLOWABILITY AND COMPLIANCE. STUDENTS ARE REQUIRED TO SUBMIT APPROPRIATE DOCUMENTS PRIOR TO APPROVAL. PART III: CASH GRANTS ARE CREDITS TO STUDENT ACCOUNTS AND THE NUMBER OF RECIPIENTS REPRESENTS ONLY THE NUMBERS OF STUDENTS RECEIVING INSTITUTIONAL FUNDING. OUTSIDE GRANTS, OR APPLICATIONS OF FUNDS PROVIDED BY OUTSIDE AGENCIES (E.G., FEDERAL LOAN PROGRAMS), ARE NOT INCLUDED. X X X X X X 1 1 X X X X 0 1 0 0 0 0 0 1 0 ANDREW K BENTON PRESIDENT AND CEO 450820 0 0 0 123334 0 249952 0 110374 0 934480 0 102120 0 GARY HANSON EXECUTIVE VP AND COO 339405 0 0 0 5095 0 110787 0 114367 0 569654 0 0 0 SAMUEL HINKLE SVP FOR ADVANCEMENT 174326 0 0 0 79522 0 92788 0 107204 0 453840 0 61527 0 PAUL LASITER VICE PRESIDENT AND CFO (THRU 7/18) 157517 0 0 0 82918 0 69000 0 114577 0 424012 0 63276 0 CHARLES PIPPIN SENIOR VP INVESTMENTS & CIO 378041 0 0 0 62406 0 113428 0 28150 0 582025 0 53703 0 MICHAEL ADAMS CHANCELLOR 406412 0 0 0 21997 0 27000 0 209701 0 665110 0 0 0 RICK MARRS PROVOST AND CHIEF ACADEMIC OFFICER 291833 0 20000 0 98702 0 135446 0 154277 0 700258 0 74129 0 LANCE BRIDGESMITH ASSOCIATE VP FOR PLANNING OPERATIONS 180594 0 10500 0 432 0 14436 0 35721 0 241683 0 0 0 PAUL CARON DEAN, SCHOOL OF LAW 189926 0 12000 0 19627 0 45085 0 115527 0 382165 0 0 0 LEE KATS VICE PROVOST FOR RESEARCH 239481 0 7500 0 7917 0 24454 0 16208 0 295560 0 0 0 SARA COSENTINO CHIEF HUMAN RESOURCES OFFICER 159468 0 0 0 907 0 17402 0 43332 0 221109 0 0 0 MICHAEL FELTNER DEAN, SEAVER COLLEGE 245385 0 7500 0 6497 0 26479 0 43810 0 329671 0 0 0 FAYE E HOLTON DIRECTOR OF INVESTMENTS 184078 0 17658 0 3120 0 18827 0 14406 0 238089 0 0 0 DERYCK JANSE VAN RENSBURG DEAN, GSBM 429518 0 2500 0 4096 0 2187 0 8574 0 446875 0 0 0 MICHAEL NICKS DIRECTOR OF INVESTMENTS 161896 0 16600 0 943 0 17328 0 38649 0 235416 0 0 0 PHIL PHILLIPS VICE PRESIDENT FOR ADMINISTRATION 200558 0 15000 0 17024 0 20296 0 86364 0 339242 0 0 0 EDNA POWELL CHIEF BUSINESS OFFICER 203921 0 3000 0 11387 0 21618 0 21189 0 261115 0 0 0 JEFFREY ROHDE MANAGING DIRECTOR OF INVESTMENTS 222535 0 20196 0 348 0 22381 0 10137 0 275597 0 0 0 JONATHAN SEE CHIEF INFORMATION OFFICER 207067 0 3500 0 32065 0 20921 0 12990 0 276543 0 0 0 HELEN E WILLIAMS DEAN, GSEP 155205 0 2500 0 20703 0 26304 0 81421 0 286133 0 0 0 EDWARD LARSON DARLING PROFESSOR OF LAW 293108 0 5000 0 29287 0 27000 0 40525 0 394920 0 0 0 LAMAR WILSON HEAD BASKETBALL COACH 357348 0 25000 0 20286 0 27000 0 43923 0 473557 0 0 0 MARC GOODMAN GENERAL COUNSEL 242022 0 15000 0 10739 0 24825 0 17619 0 310205 0 0 0 ROBERT J PUSHAW JR PROFESSOR OF LAW 256267 0 2493 0 4972 0 25237 0 28753 0 317722 0 0 0 DEANELL TACHA DEAN EMERITA, SCHOOL OF LAW 363370 0 10849 0 2750 0 27000 0 3300 0 407269 0 0 0 DAVID SMITH ASSOC PROF ECON, ASSOC PROV ONLINE L 206807 0 0 0 1583 0 21083 0 40850 0 270323 0 0 0 PART I, LINE 1A FIRST CLASS TRAVEL: PURSUANT TO A WRITTEN POLICY AND APPROPRIATE APPROVAL, FIRST CLASS TRAVEL IS PERMITTED TO CERTAIN OFFICERS AND KEY EMPLOYEES FOR BUSINESS PURPOSES. TRAVEL FOR BUSINESS PURPOSES IS NOT INCLUDED IN TAXABLE WAGES. FIVE OFFICERS AND ONE HIGHEST COMPENSATED EMPLOYEE LISTED IN FORM 990, PART VII FLEW FIRST CLASS DURING CALENDAR YEAR 2017. TRAVEL FOR COMPANIONS: PURSUANT TO A WRITTEN POLICY, CERTAIN OFFICERS AND KEY EMPLOYEES' SPOUSES ARE PERMITTED TO TRAVEL ON OCCASION WHEN NECESSARY FOR BUSINESS PURPOSE. TRAVEL FOR BUSINESS PURPOSE IS NOT INCLUDED IN TAXABLE WAGES. SIX OFFICERS AND ONE HIGHEST COMPENSATED EMPLOYEE LISTED IN FORM 990, PART VII WERE PROVIDED WITH COMPANION TRAVEL FOR BUSINESS PURPOSES DURING CALENDAR YEAR 2017. GROSS-UP PAYMENT: PEPPERDINE UNIVERSITY PROVIDES GROSS-UP PAYMENTS TO EMPLOYEES THAT PROVIDE LATE SUBSTANTIATION OF EXPENSES UNDER ACCOUNTABLE PLAN RULES FOR ORDINARY AND NECESSARY BUSINESS EXPENSES. AS PART OF THE MINISTERIAL HOUSING PROGRAM, PEPPERDINE PROVIDED ADDITIONAL COMPENSATION TO PARTICIPANTS FOR WAGE WITHHOLDING IN AN AMOUNT EQUAL TO THE EMPLOYER'S SHARE OF THE PARTICIPANTS' SELF-EMPLOYMENT TAX. THE INDIVIDUALS LISTED IN FORM 990, PART VII THAT WERE PROVIDED WITH GROSS-UP PAYMENTS DURING CALENDAR YEAR 2017 INCLUDE THREE OFFICERS, FOUR KEY EMPLOYEES AND ONE HIGHEST COMPENSATED EMPLOYEE. HOUSING: INCLUDED IN NON-TAXABLE BENEFITS OF EMPLOYEES WHO ARE MINISTERS IS THE VALUE OF A HOUSING ALLOWANCE PROVIDED BY PEPPERDINE UNIVERSITY TO MINISTERS. THE PROVISION OF MINISTERIAL HOUSING IS SUBJECT TO EXECUTIVE APPROVAL. THE INDIVIDUALS LISTED IN FORM 990, PART VII WHO WERE PROVIDED WITH MINISTERIAL HOUSING DURING CALENDAR YEAR 2017 INCLUDE THREE OFFICERS AND THREE KEY EMPLOYEES. HOUSING IS PROVIDED FOR FOUR OFFICERS DURING CALENDAR YEAR 2017 AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE EMPLOYER AND IS NOT INCLUDED IN TAXABLE WAGES. HEALTH OR SOCIAL CLUBS: THREE OFFICERS LISTED IN FORM 990, PART VII RECEIVED REIMBURSEMENTS FOR EXPENDITURES ASSOCIATED WITH HEALTH OR SOCIAL CLUB MEMBERSHIPS. ALL EXPENDITURES ARE FOR BUSINESS PURPOSES AND ARE APPROVED PURSUANT TO THE UNIVERSITY'S REIMBURSEMENT POLICIES. PERSONAL SERVICE: DURING CALENDAR YEAR 2017, ONE OFFICER WAS PROVIDED CERTAIN HOUSE CLEANING SERVICES AND ONE OFFICER WAS PROVIDED APPLIANCE REPAIR SERVICES IN CONNECTION WITH THEIR OCCUPANCY OF ON-CAMPUS HOUSING. THREE OFFICERS AND ONE KEY EMPLOYEE WERE PROVIDED CHAUFFEUR / CAR SERVICES FOR BUSINESS RELATED TRANSPORTATION. THE PROVISION OF SUCH SERVICES IS NOT INCLUDED AS TAXABLE WAGES. PART I, LINE 4B PEPPERDINE UNIVERSITY HAS AN INCENTIVE COMPENSATION PLAN FOR CERTAIN KEY EXECUTIVES. UNDER THE PLAN, UPON ACHIEVEMENT OF CERTAIN EXPECTATIONS AND GOALS AND AT THE DISCRETION OF THE BOARD OF DIRECTORS, THE PARTICIPANT WILL RECEIVE A UNIVERSITY CONTRIBUTION TO THE PLAN FOR THAT PLAN YEAR. UNIVERSITY CONTRIBUTIONS TO THE PLAN BECOME GRADUALLY VESTED BEGINNING WITH THE LAST DAY OF THE 3RD PLAN YEAR FOLLOWING THE CONTRIBUTION AND VEST 100% AT THE COMPLETION OF THE 7TH PLAN YEAR FOLLOWING THE AWARD. WHEN THE EMPLOYEE HAS ATTAINED AGE 62, THE ACCOUNT FULLY VESTS AND 100% IS PAID OUT TO THE EMPLOYEE. THE VESTING SCHEDULE IS THEN ACCELERATED SUCH THAT THE EMPLOYEE IS FULLY VESTED AFTER AGE 62. THE FOLLOWING AMOUNTS WERE AWARDED IN CALENDAR YEAR 2017: ANDREW K. BENTON - $105,536 GARY HANSON - $83,787 SAMUEL HINKLE - $47,788 RICK MARRS - $80,438 CHARLES PIPPIN - $86,428 THE FOLLOWING AMOUNTS WERE VESTED AND INCLUDED IN THE EMPLOYEE'S COMPENSATION IN 2017: ANDREW K. BENTON - $102,120 PAUL B. LASITER - $63,276 SAMUEL HINKLE - $61,527 RICK MARRS - $74,129 CHARLES PIPPIN - $53,703 UNDER A NONQUALIFIED SUPPLEMENTAL RETIREMENT PLAN, SUBJECT TO THE PERFORMANCE OF FUTURE SERVICES AND OTHER CONDITIONS, PRESIDENT BENTON IS ENTITLED TO RECEIVE COMPENSATION OF APPROXIMATELY ONE YEAR'S SALARY AS THE RESULT OF THE COMPLETION OF FOUR YEARS OF SERVICE IN HIS EMPLOYMENT AS PRESIDENT OF PEPPERDINE IN 2019. PART I, LINE 7 DISCRETIONARY BONUSES MAY BE AWARDED UPON THE ACHIEVEMENT OF CERTAIN GOALS. FORM 990, SCHEDULE J, PART II, COLUMN (F) CERTAIN AMOUNTS INCLUDED IN SCHEDULE J, PART II, COLUMN B(III), WERE PREVIOUSLY REPORTED ON THE PRIOR YEAR'S FORM 990, AS AMOUNTS AWARDED UNDER THE INCENTIVE COMPENSATION PLAN DISCLOSED IN RESPONSE TO SCHEDULE J, PART I, LINE 4B. A CEFA SERIES 2012 521705592 000000000 2012-06-05 58548544 REFUND 2003A BONDS AND CAPITAL IMPROVEMENTS 1 0 0 B CEFA SERIES 2014 521705592 000000000 2014-12-24 55734722 REFUND CEFA 2005A AND B BONDS, CONSTRUCTION, EQUIPMENT, AND FACILITIES 0 0 0 C CEFA SERIES 2015 521705592 130179AX2 2015-09-03 87786387 REFUND CEFA 2005A AND B BONDS 0 0 0 D CEFA SERIES 2016 521705592 130179FV1 2016-03-17 117753105 REFUND CEFA 2010 BONDS, CONSTRUCTION AND FACILITIES 0 0 0 A 7960000 21505000 58548544 618936 11812381 46117227 2013 1 0 1 1 B 860000 55734722 824034 30001580 24909108 0 1 1 1 C 2480000 87786387 717742 87068645 1 1 1 1 D 117753105 16240467 868673 99395549 1538264 1 1 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 1 0 0 0 0 0 1 D 0 0 0 1 0 0 0 0 1 A 0 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: CEFA SERIES 2012 DATE THE REBATE COMPUTATION WAS PERFORMED: 06/05/2017 ISSUER NAME: CEFA SERIES 2014 DATE THE REBATE COMPUTATION WAS PERFORMED: 12/24/2017 ISSUER NAME: CEFA SERIES 2016 DATE THE REBATE COMPUTATION WAS PERFORMED: 03/17/2018 A CEFA SERIES 2017B 521705592 130179LU6 2017-12-21 24514680 REFUND CEFA 2012 BONDS 0 0 0 A 24514680 23545714 298224 670742 0 1 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 0 0 0 0 1 A 1 HELEN WILLIAMS KEY EMPLOYEE CONTINGENT INTEREST LOAN X 200000 200000 0 0 1 MICHAEL NICKS KEY EMPLOYEE CONTINGENT INTEREST LOAN X 320000 320000 0 0 1 JEFFREY ROHDE KEY EMPLOYEE CONTINGENT INTEREST LOAN X 350000 350000 0 0 1 870000 JEREMY MARRS SON OF OFFICER 141776 EMPLOYMENT 0 NICOLE MARRS DAUGHTER-IN-LAW OF OFFICER 134903 EMPLOYMENT 0 JENNIFER AKAMINE PHILLIPS DAUGHTER-IN-LAW OF REGENT 59271 EMPLOYMENT 0 LANDON PHILLIPS SON OF REGENT 77717 EMPLOYMENT 0 RONALD PHILLIPS FATHER OF KEY EMPLOYEE 321296 EMPLOYMENT 0 SHANNON PHILLIPS SISTER-IN-LAW OF KEY EMPLOYEE 172074 EMPLOYMENT 0 X 2 1 FMV X 9 FMV X 7723 FMV X 24 2163352 FMV X 1 5900 FMV X 2 255 FMV X OTHER 121 84256 FMV 2 0 1 0 PART I, COLUMN (B): NUMBER OF CONTRIBUTIONS FORM 990, PART I, LINE 5 AND PART V, LINE 2A: THE NUMBER OF EMPLOYEES INCLUDES STUDENT WORKERS. FORM 990, PART I, LINE 6: THERE ARE A NUMBER OF STUDENTS AND ALUMNI THAT VOLUNTEER THEIR TIME FOR VARIOUS PURPOSES AT THE UNIVERSITY. THESE VOLUNTEERS, HOWEVER, ARE NOT FORMALLY TRACKED BY THE UNIVERSITY. THE NUMBER OF VOLUNTEERS REPRESENTS THE NUMBER OF VOLUNTEER BOARD MEMBERS. FORM 990, PART VI, SECTION A, LINE 1 THE BOARD OF REGENTS OF PEPPERDINE UNIVERSITY HAS AN EXECUTIVE COMMITTEE WHICH MAY ACT FOR AND IN PLACE OF THE BOARD OF REGENTS BETWEEN REGULAR BOARD MEETINGS AND DURING ANY RECESS. ONLY REGENTS CAN BE MEMBERS OF THE EXECUTIVE COMMITTEE. THE EXECUTIVE COMMITTEE HAS THE POWER TO TRANSACT BUSINESS ON BEHALF OF THE BOARD IN BETWEEN MEETINGS OF THE BOARD OF REGENTS, SUBJECT TO ANY LIMITATIONS IMPOSED BY THE BOARD OF REGENTS, THE BYLAWS, OR APPLICABLE LAW. FORM 990, PART VI, SECTION B, LINE 11B INFORMATION IS SUPPLIED BY THE UNIVERSITY TO THE PAID PREPARER TO PREPARE THE RETURN. A DRAFT VERSION OF THE FORM 990 IS PROVIDED TO SENIOR MANAGEMENT AND THE AUDIT COMMITTEE FOR REVIEW. CHANGES/COMMENTS ARE SUBMITTED TO MANAGEMENT AND ANY NECESSARY CHANGES ARE MADE PRIOR TO THE FINAL REVIEW AND SIGNING OF THE TAX RETURN BY THE UNIVERSITY'S TAX CONSULTANTS. A FULL COPY OF THE 990 IS PROVIDED TO THE BOARD PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C EACH OFFICER, REGENT, AND KEY EMPLOYEE IS REQUIRED TO DISCLOSE ANNUALLY, IN WRITING, ANY FINANCIAL OR BUSINESS RELATIONSHIPS THAT HE OR SHE, OR ANY FAMILY MEMBER HAS WITH PEPPERDINE UNIVERSITY. THESE REGENT AND OFFICER DISCLOSURES ARE REVIEWED BY THE BOARD OF REGENTS. ALL OTHER EMPLOYEE DISCLOSURES ARE REVIEWED BY GENERAL COUNSEL AND THE EXECUTIVE VICE PRESIDENT. ALL CONFLICT SITUATIONS ARE RESOLVED AT THIS REVIEW IN ACCORDANCE WITH THE UNIVERSITY'S CONFLICT OF INTEREST POLICY. IF A CONFLICT OF IS FOUND FOR A REGENT, THE REGENT IS ASKED TO RECUSE HIM OR HERSELF FROM THE MATTER. RESOLUTION OF CONFLICTS FOR OFFICERS AND OTHER EMPLOYEES ARE OVERSEEN BY GENERAL COUNSEL. FORM 990, PART VI, SECTION B, LINE 15A PEPPERDINE UNIVERSITY'S BOARD OF REGENTS' COMPENSATION COMMITTEE REVIEWS THE COMPENSATION OF THE PRESIDENT, PROVOST, EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, VICE PRESIDENT FOR ADVANCEMENT, AND CHIEF FINANCIAL OFFICER ON AN ANNUAL BASIS, MOST RECENTLY IN JUNE 2019. THE COMPENSATION COMMITTEE CONSIDERS MARKET DATA AND ANALYSIS ASSEMBLED BY INDEPENDENT COMPENSATION CONSULTANTS. THE MOST RECENT INDEPENDENT COMPENSATION ANALYSIS WAS PERFORMED IN 2013; HOWEVER, THE UNIVERSITY PROVIDES ANNUAL UPDATES AND CURRENT COMPARABILITY DATA TO THE COMPENSATION COMMITTEE. THE DELIBERATIONS ARE REFLECTED IN A TRANSACTION REPORT THAT SUMMARIZES THE DECISIONS MADE BY THE COMMITTEE. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S FINANCIAL STATEMENTS ARE MADE AVAILABLE VIA THE UNIVERSITY'S WEBSITE. THE UNIVERSITY DOES NOT MAKE ITS CONFLICT OF INTEREST POLICIES AND GOVERNING DOCUMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: ADJUSTMENT OF ACTUARIAL LIABILITY 6,262,938. UBI FROM ALTERNATIVE INVESTMENTS -1,582,455. LOSS ON VALUATION ON BENEFIT INTEREST TRUST 494,069. ENDOWMENT SUPPORT 40,585,219. WAVE VENTURES LLC 24255 PACIFIC COAST HIGHWAY MAILBU CA 90263 464526544 SUPPORT PEPPERDINE UNIVERSITY CA 0 858810 PEPPERDINE UNIVERSITY WAVE ENTERPRISES INC 24255 PACIFIC COAST HIGHWAY MALIBU CA 90263 954274572 SUPPORT PEPPERDINE UNIVERSITY CA 501(C)(3) LINE 12A, I PEPPERDINE UNIVERSITY 1 WAVE SERVICES INC 24255 PACIFIC COAST HIGHWAY MALIBU CA 90263 954315778 SUPPORT PEPPERDINE UNIVERSITY CA 501(C)(3) LINE 12A, I PEPPERDINE UNIVERSITY 1 WAVE PROPERTY INC 24255 PACIFIC COAST HIGHWAY MALIBU CA 90263 954297104 SUPPORT PEPPERDINE UNIVERSITY CA 501(C)(3) LINE 12A, I PEPPERDINE UNIVERSITY 1 PEPPERDINE UNIVERSITY (USA) IN LONDON UK 56 PRINCES GATE LONDON UK SW7 2PG EDUCATION UK PEPPERDINE UNIVERSITY 1 PEPPERDINE ARGENTINA SRL 11 DE SEPTIEMBRE 955 BUENOS AIRES AR 1426 CAP F EDUCATION AR PEPPERDINE UNIVERSITY 1 PEPPERDINE UNIVERSITY (USA) IN SWITZERLAND AV MARC DUFOUR 15 LAUSANNE SZ CH-1007 EDUCATION SZ PEPPERDINE UNIVERSITY 1 CINDERELLA IMMOBILIARE SRL VIALE MILTON 41 FLORENCE IT 50129 EDUCATION IT PEPPERDINE UNIVERSITY 1 FUNDACION PEPPERDINE UNIVERSITY PARA AMERICA LATINA 11 DE SEPTIEMBRE 955 BUENOS AIRES AR 1426 CAP F EDUCATION AR PEPPERDINE UNIVERSITY 1 PEPPERDINE (SHANGHAI) CONSULTING CO LTD NR 66 LANE 532 YU YUAN ROAD SHANGHAI CH 200040 EDUCATION CH WAVE VENTURES LLC 1 ANDURIL HOLDINGS LLC 310 ALDER ROAD PO BOX 841 DOVER DE 19904 010935824 INVESTMENTS DE PEPPERDINE UNIVERSITY EXCLUDED 35835 1125278 0 0 0.99000 CHARITABLE REMAINDER UNITRUSTS (3) INVESTING CA PEPPERDINE UNIVERSITY 1 NET INCOME WITH MAKEUP CHARITABLE REMAINDER UNITRUST (1) INVESTING CA PEPPERDINE UNIVERSITY 1 CHARITABLE REMAINDER TRUSTS (60) - WAVE SERVICES INVESTING CA WAVE SERVICES INC 1 NET INCOME WITH MAKEUP CHARITABLE REMAINDER UNITRUSTS (4) - WAVE SERVICES INVESTING CA WAVE SERVICES INC 1 CHARITABLE REMAINDER ANNUITY TRUSTS (3) - WAVE SERVICES INVESTING CA WAVE SERVICES INC 1 0 0 1 0 0 0 0 0 0 0 1 0 0 1 1 1 1 1 1 WAVE SERVICES INC S 9175875 FMV WAVE SERVICES INC C 2000000 FMV WAVE ENTERPRISES INC R 74170 FMV WAVE PROPERTY INC R 512149 FMV PEPPERDINE UNIVERSITY (USA) IN LONDON UK R 1475519 FMV FUNDACION PEPPERDINE UNIVERSITY PARA AMERICA LATINA R 1559973 FMV PEPPERDINE UNIVERSITY (USA) IN SWITZERLAND R 2540669 FMV CINDERELLA IMMOBLIARE SRL R 1662496 FMV PEPPERDINE (SHANGHAI) CONSULTING CO LTD R 1225000 FMV