2019-05-15T16:07:50-05:00 2018-06-30 135565207 KPMG LLP 300 NORTH GREENE STREET SUITE 400 GREENSBORO NC 27401 990 2017-07-01 561776668 GOTHIC CORPORATION GOTH 9196686829 280 S MANGUM STREET NO 210 DURHAM NC 27701 JANNINE M LALL TREASURER 9196686829 2019-05-13 1 SHAWN M HUTCHINSON P01048557 3362753394 152.3.34.51 2019-05-15 16:10:05 ED P C6DE77DF7EAFCE64E84CE20962AB172FB6FF0A8D AB8BD5A88D4BA927D2DA994192B6818756100B67 2017 2019-02-21 02:37:17Z NEAL F TRIPLETT 280 S MANGUM ST STE 210 DURHAM NC 27701 2127176067 0 X N/A X 1992 NC SEE SCHEDULE O FOR ORGANIZATION'S MISSION STATEMENT 4 0 0 0 1796640 -37813338 1468434577 1262693491 0 0 494613052 855065280 3508011 9417296 1966555640 2127176067 1782172382 1631106318 0 0 0 0 0 0 0 201877186 257315821 1984049568 1888422139 -17493928 238753928 6882017584 7552285033 0 0 6882017584 7552285033 X SEE SCHEDULE O FOR ORGANIZATION'S MISSION STATEMENT. 0 0 1888422139 1631106318 GOTHIC CORPORATION WAS FORMED TO SUPPORT THE EXEMPT PURPOSES OF DUKE UNIVERSITY. A PORTION OF THE EXPENSES INCURRED ARE RELATED TO THE MANAGEMENT OF ASSETS MAINTAINED FOR THE SUPPORT OF DUKE UNIVERSITY. ALLOCATIONS TOTALING $1,631,106,318 WERE MADE TO DUKE UNIVERSITY IN SUPPORT OF ITS TAX EXEMPT PURPOSES. 1888422139 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 X 0 0 1 0 1 1 1 BR CI GR CO EZ DA EG HU ID EI JA MY NI NO PE PL PO KS SW TU UK 0 0 0 0 0 0 0 0 X 4 0 1 0 0 0 0 1 1 1 1 0 0 1 0 0 0 0 0 1 0 CA X X JANNINE M LALL 9196686829 280 S MANGUM STREET SUITE 210 DURHAM NC 27701 GREGORY A HUDGINS DIRECTOR 1.00 43.00 X 0 171845 36198 JANNINE M LALL DIRECTOR/TREASURER 1.70 43.30 X X 0 128760 25955 DAVID R SHUMATE DIRECTOR 5.00 40.00 X 0 1054786 127306 NEAL F TRIPLETT DIRECTOR/PRESIDENT 0.10 50.30 X X 0 3549646 373537 JENNIFER DIMITRI SECRETARY 1.70 43.30 X 0 125383 30364 ROBERT E MCGRAIL FORMER OFFICER 0.00 40.10 X 0 362682 58017 0 5393102 651377 0 1 1 0 0 X 1262693491 1262693491 191982754 -5131057 197113811 9417296 9417296 623579718 39502808 0 0 623579718 39502808 663082526 6927697 656154829 2127176067 0 1796640 862685936 1631106318 1631106318 11562288 11562288 957815 957815 PARTNERSHIP DEDUCTIONS 244268482 244268482 MISCELLANEOUS EXPENSES 527236 527236 1888422139 1888422139 0 0 427939604 485244670 6415487247 6979338201 38590733 87702162 6882017584 7552285033 0 0 X 0 0 0 0 6882017584 7552285033 6882017584 7552285033 6882017584 7552285033 X 238753928 431513521 X X 0 1 X 0 0 X X 1 DUKE UNIVERSITY 560532129 2 1 1631106318 0 1 1631106318 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 FIXED INCOME SECURITIES 220723990 F EQUITIES 1413082394 F PARTNERSHIP INVESTMENTS 5345531817 C 6979338201 X PART X, LINE 2: ASC 740 (FIN 48) DISCLOSURE: THE FOLLOWING FIN 48 DISCLOSURE COMES FROM THE AUDITED FINANACIAL STATEMENTS OF DUKE UNIVERSITY, WITHIN WHOSE FINANCIAL STATEMENTS THE ACTIVITES OF GOTHIC CORPORATION ARE CONSOLIDATED. DUKE IS A TAX-EXEMPT ORGANIZATION AS DESCRIBED IN SECTIN 501(C)(3) OF THE INTERNAL REVENUE CODE OF 1986, AS AMENDED (THE CODE). AS SUCH, DUKE IS EXEMPT FROM FEDERAL INCOME TAXES TO THE EXTENT PROVIDED UNDER SECTON 501 OF THE CODE. ACCORDINGLY, NO PROVISION FOR INCOME TAXES IS MADE IN THE CONSOLIDATED FINANCIAL STATEMENTS. AS OF JUNE 30, 2018, THERE WERE NO MATERIAL UNCERTAIN TAX POSITIONS. SCHEDULE D, PARTS XI - XII FINANCIAL STATEMENTS AUDIT GOTHIC HSP CORPORATION IS INCLUDED IN THE CONSOLIDATED ANNUAL FINANCIAL STATEMENTS OF DUKE UNIVERSITY, WHICH ARE PREPARED IN ACCORDANCE WITH GAAP AND REVIEWED BY AN INDEPENDENT AUDITOR. PURSUANT TO THE 2017 FORM 990 INSTRUCTIONS, GOTHIC HSP CORPORATION HAS ELECTED NOT TO COMPLETE PARTS XI-XII OF SCHEDULE D. CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 INVESTMENTS 1933797000 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 INVESTMENTS 439299000 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 INVESTMENTS 525946000 MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 0 0 INVESTMENTS 15523000 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 INVESTMENTS 82585000 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 0 0 INVESTMENTS 59861000 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, 0 0 INVESTMENTS 110659000 SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, 0 0 INVESTMENTS 120492000 0 0 0 0 0 0 3288162000 0 3288162000 1 0 1 1 1 1 1 DUKE UNIVERSITY 324 BLACKWELL STREET SUTIE 850 DURHAM NC 27701 560532129 501(C)(3) 1631106318 FMV SUPPORT 1 0 PART I, LINE 2: GOTHIC CORPORATION WAS FORMED SPECIFICALLY AS A SUPPORTING ORGANIZATION OF DUKE UNIVERSITY. IN FUTHERANCE OF ITS SUPPORT TO DUKE UNIVERSITY, GOTHIC CORPORATION PROVIDES SUPPORT AND GRANTS FUNDING TO DUKE UNIVERSITY, AN IRC SECTION 501(C)(3) ENTITY ORGANIZED AS A SCHOOL DESCRIBED UNDER IRC SECTION 170(B)(1)(A)(II). DUKE UNIVERSITY MAINTAINS DOCUMENTATION OF ALL EXPENDITURES IN THE ORDINARY COURSE OF BUSINESS. 0 1 0 0 0 0 0 0 0 GREGORY A HUDGINS DIRECTOR 0 171845 0 0 0 0 0 20977 0 15731 0 208553 0 0 JANNINE M LALL DIRECTOR/TREASURER 0 128760 0 0 0 0 0 15160 0 13211 0 157131 0 0 DAVID R SHUMATE DIRECTOR 0 252252 0 655384 0 147150 0 97135 0 30943 0 1182864 0 129150 NEAL F TRIPLETT DIRECTOR/PRESIDENT 0 634492 0 2305217 0 609937 0 357167 0 18431 0 3925244 0 591937 JENNIFER DIMITRI SECRETARY 0 125383 0 0 0 0 0 14830 0 17428 0 157641 0 0 ROBERT E MCGRAIL FORMER OFFICER 0 192339 0 152343 0 18000 0 44070 0 18611 0 425363 0 0 PART I, LINE 3 METHODS USED TO ESTABLISH THE COMPENSATION OF THE TOP MANAGEMENT OFFICIAL: GOTHIC CORPORATION RELIED ON DUMAC, INC., A RELATED TAX-EXEMPT ORGANIZATION, TO ESTABLISH THE COMPENSATION OF THE TOP MANAGEMENT OFFICIAL. DUMAC, INC. USED VARIOUS METHODS TO ESTABLISH THE TOP MANAGEMENT OFFICIAL'S COMPENSATION SUCH AS INFORMATION ABOUT COMPENSATION PAID BY SIMILARLY SITUATED TAXABLE OR TAX-EXEMPT ORGANIZATIONS FOR SIMILAR SERVICES, OR CURRENT COMPENSATION SURVEYS. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN: THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $591,937, AND DAVID R. SHUMATE $129,150. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). FORM 990, PART I & PART III LINE 1: DESCRIPTION OF ORGANIZATION'S MISSION GOTHIC CORPORATION WAS FORMED TO OWN AND INVEST ASSETS EXCLUSIVELY FOR THE BENEFIT OF DUKE UNIVERSITY AND TO SUPPORT ITS EXEMPT PURPOSES. FORM 990, PART VI, SECTION A, LINE 2 NEAL F. TRIPLETT IS A KEY EMPLOYEE OF DUKE UNIVERSITY. THE FOLLOWING DIRECTORS AND OFFICERS OF GOTHIC CORPORATION ARE ALSO EMPLOYEES OF DUKE UNIVERSITY: DAVID R. SHUMATE, GREGORY A. HUDGINS, JANNINE M. LALL AND JENNIFER DIMITRI. FORM 990, PART VI, SECTION A, LINE 7A THE MEMBERS OF THE BOARD OF GOTHIC CORPORATION SHALL BE APPOINTED BY THE EXECUTIVE COMMITTEE OF THE DUKE UNIVERSITY BOARD OF TRUSTEES. THE MEMBERS OF THE BOARD OF DIRECTORS OF DUMAC, INC. SHALL BE APPOINTED BY THE EXECUTIVE COMMITTEE OF THE DUKE UNIVERSITY BOARD OF TRUSTEES AND CONFIRMED BY DUKE UNIVERSITY'S BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B DUMAC, INC. MANAGES THE INVESTMENTS OF GOTHIC CORPORATION. PURSUANT TO AUTHORIZATION PROVIDED BY DUKE UNIVERSITY, OFFICERS OF DUMAC, INC. ACT AS THE AUTHORIZED AGENT FOR GOTHIC CORPORATION IN APPROVING INVESTMENTS OF GOTHIC CORPORATION ASSETS AND ENTERING INTO AGREEMENTS AND OTHER TRANSACTIONS RELATED TO SUCH INVESTMENTS. CERTAIN DECISIONS OF THE GOVERNING BODY ARE SUBJECT TO APPROVAL BY THE BOARD OF TRUSTEES OF DUKE UNIVERSITY. FORM 990, PART VI, SECTION B, LINE 11B GOTHIC CORPORATION PROVIDES THE MEMBERS OF THE GOVERNING BODY WITH A DRAFT OF FORM 990 FOR INDIVIDUAL REVIEW PRIOR TO FILING. FORM 990, PART VI, LINE 12A CONFLICT OF INTEREST POLICY: GOTHIC CORPORATION DOES NOT HAVE A WRITTEN CONFLICT OF INTEREST POLICY, BUT ALL BOARD MEMBERS ARE SUBJECT TO COMPLIANCE WITH DUMAC INC.'S WRITTEN CONFLICT OF INTEREST POLICY AND MUST DISCLOSE ANY CONFLICTS ANNUALLY. FORM 990, PART VI, LINE 13 WHISTLEBLOWER POLICY: GOTHIC CORPORATION DOES NOT HAVE A WRITTEN WHISTLEBLOWER POLICY, BUT ALL BOARD MEMBERS ARE SUBJECT TO COMPLIANCE WITH DUMAC, INC.'S WRITTEN WHISTLEBLOWER POLICY. FORM 990, PART VI, LINE 14 DOCUMENT RETENTION AND DESTRUCTION: GOTHIC CORPORATION DOES NOT HAVE A WRITTEN DOCUMENT RETENTION AND DESTRUCTION POLICY, BUT FOLLOWS DUMAC, INC.'S WRITTEN DOCUMENT RETENTION AND DESTRUCTION POLICY. FORM 990, PART VI, LINE 16B JOINT VENTURES: GOTHIC CORPORATION HAS ENACTED ADEQUATE SAFEGUARDS FOR ITS PARTNERSHIP INVESTMENTS TO ENSURE THAT THESE ACTIVITIES DO NOT JEOPARDIZE THE ORGANIZATION'S TAX EXEMPT STATUS. FORM 990, PART VI, SECTION C, LINE 18 GOTHIC CORPORATION'S FORM 990 IS AVAILABLE TO THE PUBLIC ON WWW.GUIDESTAR.ORG. GUIDESTAR INDEPENDENTLY POSTS TAX-EXEMPT ORGANIZATIONS' FORM 990'S ON THEIR WEBSITE, OBTAINED FROM THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION C, LINE 19 GOTHIC CORPORATION'S GOVERNING DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. THE ORGANIZATION DOES NOT HAVE A SEPARATE CONFLICT OF INTEREST POLICY BUT FOLLOWS DUMAC INC.'S CONFLICT OF INTEREST POLICY. GOTHIC CORPORATION IS INCLUDED IN THE CONSOLIDATED, INDEPENDENTLY AUDITED FINANCIAL STATEMENTS OF DUKE UNIVERSITY, WHICH ARE AVAILABLE AT HTTPS://FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS2017-18 (ALL LOWERCASE). FORM 990, PART VIII, LINE 7: GAIN OR (LOSS) ON SECURITIES & OTHER ASSETS: DUKE UNIVERSITY (AND THEREFORE GOTHIC CORPORATION), MANAGES ITS INVESTMENT FUNDS IN ACCORDANCE WITH THE UNIFORM PRUDENT MANAGEMENT OF INSTITUTIONAL FUNDS ACT OF NORTH CAROLINA. AS PERMITTED BY THE ACT, DUKE UNIVERSITY (AND THEREFORE GOTHIC CORPORATION), UTILIZES AN INVESTMENT POOL TO INVEST ITS FUNDS AND THIS FUND OPERATES ON A TOTAL RETURN CONCEPT. IT IS THEREFORE NOT PRACTICAL TO SEPARATE EARNINGS AS SET FORTH ON LINES 3, 4, AND 7; EARNINGS ARE COMBINED AND REPORTED ON LINE 7. FORM 990, PART XI, LINE 9: THE RECONCILIATION AMOUNT ON LINE 9 IS THE CURRENT YEAR BOOK/TAX INCOME DIFFERENCES FROM THE ORGANIZATION'S PARTNERSHIP INVESTMENTS. 431,513,521. FORM 990, PART XII, LINE 1: METHOD OF ACCOUNTING GOTHIC CORPORATION UTILIZES THE ACCRUAL ACCOUNTING METHOD IN ACCORDANCE WITH GAAP FOR ALL ITEMS OTHER THAN REPORTING OF ITS PARTNERSHIP INVESTMENTS. PARTNERSHIP INVESTMENTS ARE REPORTED ON A TAX BASIS. 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IT HOLDS DIRECT OWNERSHIP. 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