2019-07-11T13:23:55-05:00 2018-08-31 990 2017-09-01 135562308 NEW YORK UNIVERSITY NEWY 2129982955 105 E 17TH STREET - 2ND FLOOR NEW YORK NY 100039580 MARTIN DORPH EXECUTIVE VICE PRESIDENT 2129982955 2019-07-11 128.122.29.141 2019-07-11 14:23:42 ED P C170FC8694F5D4650FB302DF252139FD104E902C C170FC8694F5D4650FB302DF252139FD104E902C 2017 2019-02-21 02:37:17Z MARTIN DORPH 105 E 17TH ST 4TH FL NEW YORK NY 100039580 9305255235 0 X WWW.NYU.EDU X 1831 NY NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 60,000 STUDENTS IN 19 SCHOOLS AND INSTITUTES. 67 60 44532 8027 1114320 0 1278965670 1238136656 5010701817 5458250242 212264426 289099001 295638207 308132516 6797570120 7293618415 653733836 682712274 0 0 3621383629 3831467461 843049 919700 42941856 2219665681 2381130742 6495626195 6896230177 301943925 397388238 12445235606 13490632029 7068933067 7652514502 5376302539 5838117527 X NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 60,000 MATRICULATING STUDENTS IN 19 SCHOOLS AND INSTITUTES. NYU'S PRIMARY MISSIONS ARE EDUCATION, RESEARCH AND SCHOLARSHIP, AND PATIENT CARE. (CONTINUED ON SCHEDULE O) 0 0 2331005569 671530344 2538000000 EDUCATION: FOUNDED IN 1831, NYU IS AMONG THE LARGEST PRIVATE NOT-FOR-PROFIT RESEARCH UNIVERSITIES IN THE U.S., WITH 19 SCHOOLS AND INSTITUTES, APPROXIMATELY 5,000 FULL-TIME FACULTY MEMBERS, AND APPROXIMATELY 60,000 MATRICULATING STUDENTS. NYU ANNUALLY CONFERS OVER 16,000 UNDERGRADUATE, GRADUATE AND PROFESSIONAL DEGREES, AND PROVIDES OVER $300 MILLION PER YEAR IN SCHOLARSHIP AID TO UNDERGRADUATES. NYU HAS AN UNPARALLELED INTERNATIONAL PRESENCE WITH THREE DEGREE-GRANTING LIBERAL ARTS RESEARCH UNIVERSITY CAMPUSES (IN NEW YORK, ABU DHABI, AND SHANGHAI) AND 11 GLOBAL ACADEMIC SITES (FOR STUDY ABROAD) ON SIX CONTINENTS; SENDS MORE STUDENTS TO STUDY ABROAD THAN ANY OTHER U.S. COLLEGE OR UNIVERSITY; AND ENROLLS MORE INTERNATIONAL STUDENTS THAN ANY OTHER U.S. UNIVERSITY. 2027888218 2159297000 PATIENT CARE AND THE HEALTHCARE MISSION: NYU'S MEDICAL ACADEMIC PROGRAMS ARE A MAJOR ELEMENT OF THE UNIVERSITY'S MISSION. THE NYU SCHOOL OF MEDICINE WAS ESTABLISHED IN 1841; FROM ITS EARLIEST YEARS, IT HAS BEEN AT THE FOREFRONT OF ADVANCING THE MEDICAL PROFESSION AND MEDICAL RESEARCH, INCLUDING PARTICIPATING IN THE PROCESS THAT LED TO THE ESTABLISHMENT OF NEW YORK CITY'S HEALTH DEPARTMENT, ESTABLISHING THE FIRST OUTPATIENT CLINIC, ESTABLISHING THE FIRST LABORATORY DEVOTED TO TEACHING AND RESEARCH IN BACTERIOLOGY AND PATHOLOGY, CREATING THE FIRST DEPARTMENT OF FORENSIC MEDICINE, CREATING THE FIRST DEPARTMENT OF PHYSICAL MEDICINE AND REHABILITATION IN THE U.S., AND ESTABLISHING ONE OF THE FIRST MD-PHD PROGRAMS. ITS FACULTY AND GRADUATES HAVE INCLUDED NOBEL LAUREATES, THE DISCOVERER OF THE MOSQUITO AS THE SOURCE OF TRANSMISSION OF YELLOW FEVER, BOTH CREATORS OF THE POLIO VACCINE, AND THE RESEARCHERS WHO FOUND THE LINKAGE BETWEEN KAPOSI'S SARCOMA AND IMMUNE DEFICIENCY IN A DISTINCT POPULATION OF GAY MEN (A KEY STEP IN IDENTIFYING AIDS), AMONG OTHER LEADERS IN MEDICINE. THROUGH AFFILIATION AGREEMENTS, THE DOCTORS AND STUDENTS AT NYU SCHOOL OF MEDICINE PLAY A CRUCIAL ROLE IN ENSURING TOP QUALITY CARE NOT ONLY AT NYU LANGONE HEALTH, BUT ALSO AT THE MANHATTAN VA HOSPITAL AND BELLEVUE HOSPITAL (ARGUABLY THE FOREMOST PUBLIC HOSPITAL IN THE U.S.). THE NYU COLLEGE OF DENTISTRY, THE LARGEST DENTAL SCHOOL IN THE U.S. AND MOST COMPREHENSIVE ORAL HEALTH CENTER IN THE WORLD, CARES FOR SOME 50,000 POOR AND LOW INCOME NEW YORKERS EACH YEAR, OPERATES A MOBILE DENTAL CARE PROGRAM WHICH TRAVELS TO UNDERSERVED AREAS OF NEW YORK STATE, AND HAS ESTABLISHED A PROFESSION-LEADING CENTER TO SERVE THE ORAL HEALTH NEEDS OF THOSE WITH DISABILITIES. IN ADDITION, NYU HAS A COLLEGE OF GLOBAL PUBLIC HEALTH, AND NYU'S RORY MEYERS COLLEGE OF NURSING PROVIDES UNDERGRADUATE AND GRADUATE EDUCATION FOR OVER 1,400 NURSING STUDENTS. 870528002 680084041 RESEARCH AND SCHOLARSHIP: NYU IS A MAJOR RESEARCH INSTITUTION, WITH SIGNIFICANT SUPPORT FROM NIH, NSF AND OTHER FUNDERS; IT IS A TOP 20 INSTITUTION IN THE NSF'S ANNUAL HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY. THE RESEARCH AND CREATIVE OUTPUT OF NYU'S SCHOLARS HAVE LED TO THE RECEIPT OF NOBEL PRIZES; ABEL PRIZES; PULITZER PRIZES; GUGGENHEIMS; THE NATIONAL MEDAL OF THE ARTS; THE NATIONAL MEDAL OF SCIENCE; THE NATIONAL MEDAL OF TECHNOLOGY; NSF WATERMAN AWARDS; MAX PLANCK AWARDS; THE KAVLI PRIZE; MEMBERSHIP FOR DOZENS OF FACULTY IN THE NATIONAL ACADEMIES OF SCIENCES, ENGINEERING, AND MEDICINE; ACADEMY AWARDS; TONY AWARDS; AND GRAMMY AWARDS, AMONG MANY OTHER HONORS FOR THE UNIVERSITY'S FACULTY. NYU FACULTY FINDINGS ARE REGULARLY PUBLISHED IN TOP JOURNALS ACROSS A BROAD RANGE OF SCHOLARLY DISCIPLINES. NYU HAS LEADING PROGRAMS IN ECONOMICS, MATHEMATICS (AND PARTICULARLY APPLIED MATHEMATICS), NEUROSCIENCE, GENOMICS, SOFT CONDENSED MATTER PHYSICS, SOCIOLOGY, PHILOSOPHY, THE LAW, MEDICINE AND BIO-MEDICAL SCIENCES, THE CINEMATIC AND PERFORMING ARTS, AND BUSINESS AND FINANCE, AMONG MANY OTHER SCHOLARLY FIELDS. 744171698 11181930 760953242 STUDENT SERVICES; STUDENT AID; LIBRARY; AND OPERATION AND MAINTENANCE OF PLANT. 744171698 11181930 760953242 5973593487 1 0 0 1 0 0 1 1 0 1 1 1 0 0 1 0 0 1 1 1 1 0 1 1 1 0 0 1 1 1 1 1 0 0 0 0 1 0 1 1 1 1 1 0 0 0 1 1 1 1 0 1 X 57864 0 1 44532 1 1 1 1 AE AR AS BD CH CJ EI EZ FR GH GM IS IT MP SP UK VI AF CY JE SN IR PM 0 0 0 1 1 0 0 0 0 X 67 60 1 0 0 1 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 AK CO KY MD MA MI OH OK OR WA ME NH X KERRI TRICARICO 2129982913 105 E 17TH STREET 3RD FLOOR NEW YORK NY 100039345 RONALD D ABRAMSON TRUSTEE 2.00 X 0 0 0 KHALDOON KHALIFA AL MUBARAK TRUSTEE 2.00 X 0 0 0 TAFFI AYODELE TRUSTEE 2.00 X 0 0 0 PHYLLIS PUTTER BARASCH TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 MARIA BARTIROMO TRUSTEE 2.00 X 0 0 0 MARC H BELL TRUSTEE 2.00 X 0 0 0 WILLIAM R BERKLEY TRUSTEE & CHAIR 8.00 X X 0 0 0 ANDREA C BONOMI TRUSTEE (BEGIN: 9/1/2017) 2.00 X 0 0 0 CASEY BOX TRUSTEE 2.00 X 0 0 0 SHARON CHANG TRUSTEE 2.00 X 0 0 0 EVAN R CHESLER TRUSTEE 2.00 X 0 0 0 STEVEN M COHEN TRUSTEE 2.00 X 0 0 0 STUYVIE COMFORT TRUSTEE 2.00 X 0 0 0 MICHAEL DENKENSOHN TRUSTEE 2.00 X 0 0 0 JINSONG DING TRUSTEE (BEGIN: 10/4/2017) 2.00 X 0 0 0 FIONA DRUCKENMILLER TRUSTEE 2.00 X 0 0 0 GALE DRUKIER TRUSTEE 2.00 X 0 0 0 JOEL S EHRENKRANZ TRUSTEE 2.00 X 0 0 0 LUN FENG TRUSTEE 2.00 X 0 0 0 LAURENCE D FINK TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 LUIZ FRAGA TRUSTEE 2.00 X 0 0 0 MARK FUNG TRUSTEE 2.00 X 0 0 0 JEFFREY GOULD TRUSTEE 2.00 X 0 0 0 LISA YOO HAHN TRUSTEE 2.00 X 0 0 0 NATALIE HOLDER TRUSTEE 2.00 X 0 0 0 BEVERLY HYMAN TRUSTEE 2.00 X 0 0 0 MITCHELL JACOBSON TRUSTEE 2.00 X 0 0 0 BORIS JORDAN TRUSTEE 2.00 X 0 0 0 DAVID A KATZ TRUSTEE (BEGIN: 9/1/2017) 2.00 X 0 0 0 JONATHAN C KIM TRUSTEE 2.00 X 0 0 0 ANDRE JL KOO TRUSTEE 2.00 X 0 0 0 JOSEPH LANDY TRUSTEE 2.00 X 0 0 0 KENNETH G LANGONE VICE CHAIR 4.00 X 0 0 0 MARK LESLIE TRUSTEE 2.00 X 0 0 0 BRIAN A LEVINE MD TRUSTEE 2.00 X 0 0 0 AMANDA LIPITZ TRUSTEE 2.00 X 0 0 0 MARTIN LIPTON TRUSTEE 2.00 X 0 0 0 KELLY KENNEDY MACK TRUSTEE 2.00 X 0 0 0 MIMI MD MARZIANI TRUSTEE 2.00 X 0 0 0 HOWARD MEYERS TRUSTEE 2.00 X 0 0 0 RUTHIE ANN MILES TRUSTEE (BEGIN: 10/4/2017) 2.00 X 0 0 0 CONSTANCE J MILSTEIN TRUSTEE 2.00 X 0 0 0 DAVID C OXMAN TRUSTEE 2.00 X 0 0 0 JOHN PAULSON TRUSTEE 2.00 X 0 0 0 DASHA RETTEW TRUSTEE (BEGIN: 9/1/2017) 2.00 X 0 0 0 CATHERINE B REYNOLDS TRUSTEE 2.00 X 0 0 0 BRETT B ROCHKIND TRUSTEE 2.00 X 0 0 0 WILLIAM C RUDIN TRUSTEE 2.00 X 0 0 0 CONSTANCE SILVER TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 LARRY A SILVERSTEIN TRUSTEE 2.00 X 0 0 0 LISA SILVERSTEIN TRUSTEE 2.00 X 0 0 0 JAY STEIN TRUSTEE 2.00 X 0 0 0 JOSEPH S STEINBERG TRUSTEE 2.00 X 0 0 0 JUDY STEINHARDT TRUSTEE 2.00 X 0 0 0 JESSICA SWARTZ TRUSTEE 2.00 X 0 0 0 CHANDRIKA TANDON TRUSTEE & VICE CHAIR 6.00 X X 0 0 0 DAVID A TANNER TRUSTEE (BEGIN: 2/21/2018) 2.00 X 0 0 0 ADAM TAKI TRUSTEE 2.00 X 0 0 0 DANIEL R TISCH TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 WENLIANG WANG TRUSTEE 2.00 X 0 0 0 NINA WEISSBERG TRUSTEE 2.00 X 0 0 0 ANTHONY WELTERS TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 SHELBY WHITE TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 LEONARD A WILF TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 TAMARA WINN TRUSTEE 2.00 X 0 0 0 SASCIA YUAN TRUSTEE 2.00 X 0 0 0 CHARLES ZEGAR TRUSTEE 2.00 X 0 0 0 ANDREW HAMILTON TRUSTEE & PRESIDENT 70.00 X X 1518650 0 462552 MARTIN DORPH EXECUTIVE VICE PRESIDENT 50.00 X 749579 0 50430 STEPHANIE PIANKA CFO 50.00 X 442566 0 35790 TERRANCE NOLAN GEN.COUNSEL & SECRETARY 50.00 X 665468 0 43398 PIETRINA SCARAGLINO ASSOCIATE SECRETARY 50.00 X 362247 0 47367 KATHERINE FLEMING PROVOST 50.00 X 912000 0 27138 THOMAS J CAREW DEAN OF FAS 50.00 X 535447 0 43398 ANDREW BROTMAN SVP. & VICE DEAN 30.00 30.00 X 2040310 2040310 27000 ROBERT GROSSMAN EX-OFFICIO, DEAN & CEO 30.00 30.00 X 3991137 3991137 2277966 LINDA MILLS VC. GLOBAL PROGRAMS 50.00 X 681072 0 50430 KATHLEEN JACOBS CHIEF INVESTMENT OFFICER 50.00 X 1514187 0 22950 SABRINA ELLIS VP OF HUMAN RESOURCES 50.00 X 383006 0 36030 LINDA CHIARELLI SNR. VP OF CAP PROJECTS & FACILITIES 50.00 X 710898 0 41814 JANINE WILCOX TREASURER 50.00 X 217172 0 23814 KEN MANOTTI SNR. VP FOR DEV & ALUMNI RELATIONS 50.00 X 269745 0 14017 ANTHONY K FREMPONG-BOADU DR. DIVISION OF SPINAL NEUROSURGERY 50.00 X 3241037 0 31571 JAMES A GRIFO MD PHD PROF. OF OBSTETRICS AND GYNECOLOGY 50.00 X 3563282 0 31705 JOHN BENDO VICE CHAIR CLINICAL AFFAIR 50.00 X 3135733 10066 33092 RONNIE HERSHMAN CLINICAL INSTRUCTOR DEPT OF MEDICINE 50.00 X 3378664 0 31572 RICHARD STEWART ACADEMIC DIRECTOR 50.00 X 8710077 0 50430 JOHN E SEXTON FORMER PRESIDENT 50.00 X 726892 0 35790 DAVID W MCLAUGHLIN FORMER PROVOST 50.00 X 415641 0 43398 ROBERT BERNE FORMER EVP. FOR HEALTH 50.00 X 1486223 0 43398 DEBRA LAMORTE FORMER SVP. FOR DEVELOPMENT 50.00 X 653766 0 35790 40304799 6041513 3540840 6881 1 1 0 TURNER CONSTRUCTION COMPANY CORP 375 HUDSON STREET 6TH FL NEW YORK NY 10014 CONSTRUCTION 81062236 COLLINS BUILDING SERVICES INC COURT SQUARE PLACE 24-01 44TH ROAD LONG ISLAND CITY NY 11101 JANITORIAL 79763755 SKANSKA USA BUILDING INC 389 INTERPACE PARKWAY 5TH FLOOR PARSIPPANY NJ 07054 CONSTRUCTION 59265192 ARAMARK EDUCATIONAL SERVICES LLC 131 SOUTH DEARBORN 6TH FLOOR CHICAGO IL 60603 FOOD SERVICE 47849227 BROSNA CONSTRUCTION CORP 838 MCCLEAN AVENUE YONKERS NY 10704 CONSTRUCTION 15753046 1150 9386187 924402 680084041 547742026 38876405 1238136656 TUITION & FEES 611600 2538000000 2538000000 PATIENT CARE 623990 2159297000 2159297000 OTHER PROGRAM SERVICES 611600 437977981 437977981 HOUSING & DINING 721310 322975261 322975261 5458250242 54269869 -5459285 59729154 1558107 1558107 80486872 54258363 26228509 26228509 26228509 2190640826 1955811694 234829132 234829132 234829132 1017473 9386187 642124 375349 375349 6187014 924639 5262375 5262375 CHANGE IN POST RET. 900099 105341000 105341000 OTHER AUX. ENTERPRISES 713940 16243512 6571840 9671672 153123664 1765 153121899 274708176 7293618415 5458250242 1114320 596117197 11181930 11181930 481756944 481756944 189773400 189773400 14015205 12963881 927057 124267 3118675686 2822884471 270378944 25412271 173893668 158573583 13874967 1445118 368310261 336750461 28187162 3372638 156572641 141416282 13896749 1259610 1652959 1652959 12320639 9474262 2690183 156194 1594438 1239358 334717 20363 622354 478950 135535 7869 919700 919700 7396684 7396684 304232090 234100062 66283074 3848954 30121314 28473741 1601685 45888 146111477 136556169 9450921 104387 63023519 34796453 27994638 232428 543265 543105 160 254827292 242887906 11939386 134996987 118049992 13496042 3450953 9337703 7037725 2191829 108149 159964000 135574085 24389915 362309130 248468083 113841047 27545247 2652094 24891725 1428 SERVICE CONTRACT FEES 226268807 209856696 16405765 6346 REPAIR AND MAINTENANCE 67043963 60255766 6723757 64440 UTILITIES 37605485 37009240 596245 PENSION & POST RET. 19577000 19577000 514036389 310838848 200836688 2360853 6896230177 5973593487 879694834 42941856 901892807 1076553952 272802108 463805100 453736827 488399316 453666755 431246601 120000 104000 0 80978849 84097250 1501000 1265000 117919308 111214657 9986287439 3745995852 5699127492 6240291587 2038155784 2040850287 2066092000 2242762000 31549000 359242676 278493279 12445235606 13490632029 880218435 987440373 887125000 872993000 2665653000 2953127000 311734000 300210000 1071266000 1354874000 1252936632 1183870129 7068933067 7652514502 X 2093583691 2379097870 1256033255 1289423712 2026685593 2169595945 5376302539 5838117527 12445235606 13490632029 X 397388238 35828142 28598608 X X 0 1 X 1 1 1 X 1192742941 1019592114 1044889535 1125243260 1238136656 5620604506 1192742941 1019592114 1044889535 1125243260 1238136656 5620604506 5620604506 108164764 132377284 107958668 128510326 134756741 611767783 8394454 6042645 7871518 3754460 1114320 27177397 408331015 120171437 188795194 294821089 160328151 1172446886 7431996572 22817642351 0.75630 0.74280 X PART II LINE 10 OTHER INCOME INCLUDES OTHER AUXILIARY ENTERPRISES, CHANGES IN POST RETIREMENT BENEFIT OBLIGATIONS AND OTHER MISCELLANEOUS INCOME. 1 1 0 1 250 0 1 7504 1 622354 0 1 5790 635898 0 PART 11-B LINE 1 NYU UTILIZES VOLUNTEERS AS PART OF NYU IN ALBANY DAY AND NYU IN WASHINGTON, DC DAY. NYU UTILIZES PAID EMPLOYEES TO HAVE MINIMAL CONTACT WITH ELECTED OFFICIALS. ADDITIONALLY, NYU HAS THREE PRINCIPAL LOBBYISTS ON RETAINER WHO HAVE DIRECT CONTACT WITH LEGISLATORS AND STAFF CONCERNING UNIVERSITY MATTERS. NYU SENDS LETTERS TO FEDERAL, STATE, AND LOCAL OFFICIALS ON PUBLIC POLICY. A SMALL PERCENTAGE OF MEMBERSHIP DUES THE UNIVERSITY PAYS TO THE FOLLOWING ASSOCIATIONS ARE REPORTED: NAICU (NATIONAL ASSOCIATION OF INDEPENDENT COLLEGES AND UNIVERSITIES) AND TSC (THE SCIENCE COALITION). X 1 0.28 1 1 1 0 0 X X X X 0 4039147077 178132991 318063963 45129982 301880923 5875679 4182457447 3551832192 231429703 453330554 39552001 155148796 2744575 4039147077 3440122879 169200278 125109083 36319292 141280466 5000290 3551832192 3398521211 178208969 42883564 32408574 140961222 6121069 3440122879 2942581087 259375964 383468572 27698757 149089238 10116417 3398521211 0.34000 0.50000 0.16000 1 0 181851000 181851000 7772290157 3053337254 4718952903 321252000 321252000 1037166282 692658598 344507684 673728000 673728000 6240291587 CASH & OTHER 4608056 F EQUITY SECURITIES 818614678 F FIXED INCOME SECURITIES 8351881 F HEDGE FUNDS 706318841 F NATURAL RESOURCES 72224106 F OPPORTUNISTIC & CREDIT 165953220 F PRIVATE EQUITY 261519033 F REAL ASSETS 167873185 F SPLIT INTEREST AGREEMENTS 37299000 F 2242762000 ACCRUED BENEFIT OBLIGATION 67983000 ACCRUED POST RETIREMENT OBLIGATION 606791462 ASSET RETIREMENT OBLIGATION 213816000 DUE TO AFFILIATES 35667 FUNDS HELD FOR OTHERS 295244000 1183870129 PART III, LINE 1A: THE UNIVERSITY DOES NOT ASSIGN VALUES TO COLLECTION ITEMS. COLLECTION ITEMS ARE GENERALLY HELD FOR EDUCATIONAL PURPOSES AND ARE NOT DISPOSED OF FOR FINANCIAL GAIN OR OTHERWISE ENCUMBERED IN ANY MANNER. PART III, LINE 4: COLLECTIONS AT THE UNIVERSITY INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES, AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S GALLERIES, LIBRARIES, AND BUILDINGS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE AND, THEREFORE, ARE NOT RECOGNIZED AS ASSETS ON THE CONSOLIDATED BALANCE SHEET. COSTS ASSOCIATED WITH ACQUISITION AND MAINTENANCE OF THESE COLLECTIONS ARE RECORDED AS EXPENSES IN THE PERIOD IN WHICH THEY ARE INCURRED. PART V, LINE 4: NYU'S ENDOWMENT CONSISTS OF INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES SUCH AS: PROGRAM SUPPORT, FACULTY AND STAFF SALARIES, SCHOLARSHIPS AND FELLOWSHIPS, LIBRARY BOOKS, RESEARCH, BUILDINGS AND EQUIPMENT, AND STUDENT ASSISTANCE. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 ALL ADVERTISEMENTS AND MARKETING MATERIALS, INCLUDING ADVERTISEMENTS IN NEWSPAPERS, CONTAIN THE NYU NONDISCRIMINATION POLICY STATEMENT. ADDITIONALLY, THE UNIVERSITY'S WEB-SITE (WWW.NYU.EDU) PROMINENTLY FEATURES INSTITUTIONAL POLICIES ON NONDISCRIMINATION AND EQUAL OPPORTUNITY. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY RECEIVES FINANCIAL ASSISTANCE FROM VARIOUS FEDERAL, STATE & LOCAL AGENCIES. 1 CENTRAL AMERICA 1 70 EDUCATION/RESEARCH INSTRUCTION 439024 EAST ASIA AND THE PACIFIC 2 50 EDUCATION/RESEARCH INSTRUCTION 4359952 EUROPE 8 227 EDUCATION/RESEARCH INSTRUCTION 64253692 MIDDLE EAST AND NORTH AFRICA 2 476 EDUCATION/RESEARCH INSTRUCTION 193220570 SOUTH AMERICA 1 21 EDUCATION/RESEARCH INSTRUCTION 3468519 SUB-SAHARAN AFRICA 3 23 EDUCATION/RESEARCH INSTRUCTION 2118932 SOUTH ASIA 1 27 EDUCATION/RESEARCH INSTRUCTION 939763 NORTH AMERICA 0 44 EDUCATION/RESEARCH INSTRUCTION 199133 RUSSIA AND NEIGHBORING STATES 0 11 EDUCATION/RESEARCH INSTRUCTION 28456 CENTRAL AMERICA 0 0 INVESTMENTS 598068788 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 39442341 EUROPE 0 0 INVESTMENTS 64705528 18 938 0 11 18 949 268999585 702245113 971244698 SCHOLARSHIPS, FELLOWSHIPS, GRANTS CENTRAL AMERICA AND THE CARIBBEAN 226 7220705 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EAST ASIA AND THE PACIFIC 2850 54734435 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EUROPE 925 30855222 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS MIDDLE EAST & NORTH AFRICA 498 23995304 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS NORTH AMERICA 413 10637558 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS RUSSIA-NEWLY INDEPENDENT 197 8276831 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SOUTH AMERICA 481 12336711 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS. GRANTS SOUTH ASIA 1207 28545452 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SUB-SAHARAN AFRICA 288 10388920 CREDIT TO BURSAR ACCOUNTS 1 0 1 1 1 1 PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS OUTSIDE THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X X X X 1 RUFFALO NOEL LEVITZ 1025 KIRKWOOD PKWY SW CEDAR RAPIDS IA 52404 PHONATHON 0 1975652 919700 1055952 1975652 919700 1055952 AL AK AR CA CO CT FL GA HI IL KS KY LA MA ME MD MI MN MO MS NC ND NH NJ NM NY OH OK OR PA RI SC TN UT VA WA WI WV DC VIOLET BALL 5908324 5770324 138000 252076 UROLOGY FUNDRAISER 1205289 1143414 61875 93944 22 3290047 2472449 817598 296104 10403660 9386187 1017473 642124 642124 375349 1 UNITED WAY OF NEW YORK CITY 2 PARK AVENUE NEW YORK NY 10016 132617681 501(C)(3) 32333 SUPPORT NATIONAL CENTER ON PHILANTHROPY AND THE LAW 110 WEST 3RD STREET - DAGOSTINO HALL NEW YORK NY 10012 133954405 501(C)(3) 290000 SUPPORT GREENWICH HOUSE INC 122 WEST 27TH STREET 6TH FLOOR NEW YORK NY 10001 135562204 501(C)(3) 14000 SUPPORT BOWERY RESIDENTS' COMMITTEE INC 131 WEST 25TH STREET NEW YORK NY 10001 132736659 501(C)(3) 15000 SUPPORT UNION SQUARE PARTNERSHIP 4 IRVING PLACE NO 751 NEW YORK NY 10003 133004730 501(C)(3) 13000 SUPPORT VILLAGE ALLIANCE 8 EAST 8TH STREET NEW YORK NY 10003 133743340 501(C)(3) 7500 SUPPORT NEW YORKER FOR PARKS 55 BROAD STREET 23RD FLOOR NEW YORK NY 10004 136167879 501(C)(3) 10000 SUPPORT UNIVERSITY SETTLEMENT 184 ELDRIDGE STREET NEW YORK NY 10002 135562374 501(C)(3) 5000 SUPPORT WASHINGTON SQUARE PARK CONSERVANCY WASHINGTON SQUARE PARK NEW YORK NY 10011 461406128 501(C)(3) 15000 SUPPORT BROOKLYN CHAMBER OF COMMERCE INC 335 ADAMS ST STE 2700 BROOKLYN NY 11201 110577070 501(C)(3) 7500 SUPPORT VILLAGECARE FOUNDATION 120 BROADWAY SUITE 2840 NEW YORK NY 10271 133471553 501(C)(3) 8000 SUPPORT CITY AND STATE NY 61 BROADWAY SUITE 2235 NEW YORK NY 10006 462209305 501(C)(3) 22000 SUPPORT BROOKLYN FRIENDS SCHOOL 375 PEARL ST BROOKLYN NY 11201 111630751 501(C)(3) 10000 SUPPORT FIGHT FOR SIGHT INC 200 CENTRAL PARK S APT 28C NEW YORK NY 10019 136195863 501(C)(3) 9000 SUPPORT BROOKLYN BOOK FESTIVAL 249 SMITH STREET PMB 106 BROOKLYN NY 11231 465328190 501(C)(3) 5000 SUPPORT NORTHSIDE MEDIA INC 1 METRO TECH CENTER SUITE 1803 BROOKLYN NY 11201 275169711 20000 SUPPORT SMART WORLD PRODUCTIONS 120 EAST 23RD STREET 5TH FLOOR NEW YORK NY 10010 813670256 15000 SUPPORT ISSUE PROJECT ROOM INC 100 FLATBUSH AVE 2ND FLOOR BROOKLYN NY 11217 200367608 501(C)(3) 10000 SUPPORT 18 2 STUDENT FINANCIAL AID 19610 481756944 PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS IN THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X X 1 1 X X X X X X 0 1 0 1 0 0 0 1 0 ANDREW HAMILTON TRUSTEE & PRESIDENT 1518650 0 0 0 0 0 287795 0 174757 0 1981202 0 0 0 MARTIN DORPH EXECUTIVE VICE PRESIDENT 692368 0 0 0 57211 0 27000 0 23430 0 800009 0 0 0 STEPHANIE PIANKA CFO 423892 0 18674 0 0 0 27000 0 8790 0 478356 0 0 0 TERRANCE NOLAN GEN.COUNSEL & SECRETARY 665468 0 0 0 0 0 27000 0 16398 0 708866 0 0 0 PIETRINA SCARAGLINO ASSOCIATE SECRETARY 362247 0 0 0 0 0 24225 0 23142 0 409614 0 0 0 KATHERINE FLEMING PROVOST 804000 0 0 0 108000 0 27000 0 138 0 939138 0 0 0 THOMAS J CAREW DEAN OF FAS 535447 0 0 0 0 0 27000 0 16398 0 578845 0 0 0 ANDREW BROTMAN SVP. & VICE DEAN 780109 780109 1255900 1255900 4301 4301 13500 13500 0 0 2053810 2053810 0 0 ROBERT GROSSMAN EX-OFFICIO, DEAN & CEO 1644325 1644325 2303922 2303922 42890 42890 1135342 1135342 3641 3641 5130120 5130120 0 0 LINDA MILLS VC. GLOBAL PROGRAMS 681072 0 0 0 0 0 27000 0 23430 0 731502 0 0 0 KATHLEEN JACOBS CHIEF INVESTMENT OFFICER 681187 0 833000 0 0 0 13500 0 9450 0 1537137 0 0 0 SABRINA ELLIS VP OF HUMAN RESOURCES 364556 0 18450 0 0 0 27000 0 9030 0 419036 0 0 0 LINDA CHIARELLI SNR. VP OF CAP PROJECTS & FACILITIES 660898 0 50000 0 0 0 27000 0 14814 0 752712 0 0 0 JANINE WILCOX TREASURER 207628 0 9544 0 0 0 15240 0 8574 0 240986 0 0 0 KEN MANOTTI SNR. VP FOR DEV & ALUMNI RELATIONS 197766 0 60000 0 11979 0 9918 0 4099 0 283762 0 0 0 ANTHONY K FREMPONG-BOADU DR. DIVISION OF SPINAL NEUROSURGERY 3240111 0 0 0 926 0 26501 0 5070 0 3272608 0 0 0 JAMES A GRIFO MD PHD PROF. OF OBSTETRICS AND GYNECOLOGY 3559823 0 0 0 3459 0 26635 0 5070 0 3594987 0 0 0 JOHN BENDO VICE CHAIR CLINICAL AFFAIR 3134663 10063 0 0 1070 3 25341 81 7645 25 3168719 10172 0 0 RONNIE HERSHMAN CLINICAL INSTRUCTOR DEPT OF MEDICINE 3376317 0 0 0 2347 0 26502 0 5070 0 3410236 0 0 0 RICHARD STEWART ACADEMIC DIRECTOR 407424 0 0 0 8302653 0 27000 0 23430 0 8760507 0 0 0 JOHN E SEXTON FORMER PRESIDENT 525431 0 0 0 201461 0 27000 0 8790 0 762682 0 0 0 DAVID W MCLAUGHLIN FORMER PROVOST 390641 0 0 0 25000 0 27000 0 16398 0 459039 0 0 0 ROBERT BERNE FORMER EVP. FOR HEALTH 1486223 0 0 0 0 0 27000 0 16398 0 1529621 0 0 0 DEBRA LAMORTE FORMER SVP. FOR DEVELOPMENT 561664 0 92102 0 0 0 27000 0 8790 0 689556 0 0 0 PART I, LINE 1A ONE FORMER OFFICER TRAVELED FIRST CLASS FOR BUSINESS TRAVEL WHICH WAS DETERMINED TO BE AN ORDINARY AND NECESSARY BUSINESS EXPENSE AND THEREFORE NOT TREATED AS TAXABLE INCOME. THE SPOUSE OF ONE OFFICER ON OCCASION ACCOMPANIED THE OFFICER ON UNIVERSITY BUSINESS. THE PRIMARY PURPOSE OF THE TRAVEL WAS TO CONDUCT UNIVERSITY BUSINESS INCLUDING SUPPORTING UNIVERSITY RELATIONS, CULTIVATING DONORS FOR THE PURPOSE OF LOCAL, NATIONAL, AND INTERNATIONAL FUNDRAISING, ASSISTING WITH OFFICIAL EVENTS FOR FACULTY, TRUSTEES, DONORS, ALUMNI, COMMUNITY AND REPRESENTING THE UNIVERSITY AT OFFICIAL FUNCTIONS. UNDER APPLICABLE RULES, THE COST OF THE TRAVEL WAS NOT REQUIRED TO BE REPORTED AS TAXABLE COMPENSATION TO THE OFFICER. ONE OFFICER RECEIVED UNIVERSITY HOUSING WITHOUT CHARGE. THE HOUSING QUALIFIED FOR EXCLUSION FROM TAX UNDER IRC 119. ONE KEY EMPLOYEE HAD A CAR AND DRIVER AVAILABLE FOR USE, AND INCOME WAS IMPUTED ON THE PERSONAL USE OF THE VEHICLE AND DRIVER. ONE FORMER OFFICER AND ONE OFFICER RECEIVED TAX GROSS-UP PAYMENTS WHICH WERE INCLUDED IN THEIR TAXABLE INCOMES. PART I, LINE 4B PRESIDENT EMERITUS SEXTON RECEIVED CERTAIN RETIREMENT PAYMENTS (THE "SERP ANNUAL PAYMENTS") REDUCED BY RETIREMENT PAYMENTS OTHERWISE OWED TO DR. SEXTON AND TAX PAYMENTS MADE ON HIS BEHALF THAT HAVE BEEN PREVIOUSLY DISCLOSED. PRESIDENT HAMILTON SHALL RECEIVE A PAYMENT OF TWO HUNDRED FIFTY THOUSAND DOLLARS IN DEFERRED COMPENSATION FOR EVERY YEAR OF COMPLETED SERVICE AS PRESIDENT SHOULD HE SERVE THE ENTIRE FIVE YEAR TERM. EACH ANNUAL INSTALLMENT SHALL BE CREDITED WITH EARNINGS AT A RATE AGREED UPON BETWEEN DR. HAMILTON AND THE UNIVERSITY. ROBERT GROSSMAN, MD - DEAN OF NYU SCHOOL OF MEDICINE- PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN (SERP) DURING CALENDAR YEAR 2017. THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $2,243,684 FOR CALENDAR YEAR 2017. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYU LANGONE HOSPITALS AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL SERP CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN. PART I, LINE 5 THREE OF THE HIGHEST PAID EMPLOYEES RECEIVED COMPENSATION OVER A BASE SALARY BASED ON THE SURPLUS OF REVENUE AFTER EXPENSES FOR THE FACULTY GROUP PRACTICE. PART I, LINE 7 PURSUANT TO A 1996 AGREEMENT BETWEEN A NEW YORK UNIVERSITY AFFILIATED ENTITY AND PROFESSOR RICHARD STEWART, PROFESSOR STEWART WAS PROVIDED WITH AN OPTION TO PURCHASE THE TOWNHOUSE OWNED BY THE AFFILIATED ENTITY IN WHICH HE RESIDED AND IN WHICH THE CENTER ON ENVIRONMENTAL AND LAND USE LAW OF WHICH HE WAS THE DIRECTOR WAS LOCATED, WITH THE PURCHASE PRICE ESTABLISHED ACCORDING TO A FORMULA IN THE AGREEMENT. IN 2002, THE TOWNHOUSE AND THE AGREEMENT WITH PROFESSOR STEWART SETTING THE PURCHASE PRICE FOR THE OPTION WERE TRANSFERRED BY THE AFFILIATED ENTITY TO THE UNIVERSITY. PROFESSOR STEWART RESIDED IN THE TOWNHOUSE AND RAN THE CENTER FROM THE TOWNHOUSE UNTIL 2017 WHEN HE ASSIGNED HIS OPTION TO A THIRD PARTY WHO PURCHASED THE TOWNHOUSE IN 2017. IN THAT SALE, THE UNIVERSITY RECEIVED THE AMOUNT ESTABLISHED UNDER THE AGREEMENT FORMULA, AND PROFESSOR STEWART RECEIVED THE BALANCE OF THE PROCEEDS OF THE SALE, WHICH WERE PAID TO HIM NET OF TAX WITHHOLDINGS. TWO KEY EMPLOYEES RECEIVED COMPENSATION OVER BASE SALARY INCLUDING THE BONUS DETERMINED BY THE ORGANIZATION'S COMPENSATION COMMITTEE, DETERMINED AS REASONABLE. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905VF0) 146000293 649905VF0 2009-12-10 419957678 SEE SUPPLEMENTAL INFORMATION 1 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905WC6) 146000293 649905WC6 2009-12-10 65343341 SEE SUPPLEMENTAL INFORMATION 1 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906TN4) 146000293 649906TN4 2012-04-26 232921461 SEE SUPPLEMENTAL INFORMATION 0 0 0 D DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906VS0) 146000293 649906VS0 2012-05-17 61224691 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 37115000 364875000 420557786 2518568 414446546 3592673 2014 0 0 1 1 B 64260000 65339488 64400000 402576 536913 2009 1 0 1 1 C 36190000 232945878 183180000 46144013 3624081 2015 1 0 1 1 D 61226336 60767589 458747 2013 0 0 1 1 A 0 1 1 1 1 1 0.00010 0.00100 0.00110 0 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 1 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905VF DATE THE REBATE COMPUTATION WAS PERFORMED: 12/31/2014 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905WC DATE THE REBATE COMPUTATION WAS PERFORMED: 06/30/2016 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906TN DATE THE REBATE COMPUTATION WAS PERFORMED: 10/31/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906VS DATE THE REBATE COMPUTATION WAS PERFORMED: 11/30/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907WP DATE THE REBATE COMPUTATION WAS PERFORMED: 10/08/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 00000000 DATE THE REBATE COMPUTATION WAS PERFORMED: 10/28/2014 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990BFE DATE THE REBATE COMPUTATION WAS PERFORMED: 04/22/2015 ALL BONDS: SCHEDULE K ALL BONDS: SCHEDULE K, PART II, LINE 6 REFLECTS ORIGINAL REFUNDING BOND PROCEEDS DEPOSITED IN REFUNDING ESCROWS. ESCROW BALANCE MAY BE LOWER AT PRESENT AS BONDS WERE CALLED/DEFEASED. ALL BONDS: SCHEDULE K, PART III, LINE 6: SUBTOTAL OF LINE 4 AND LINE 5 MAY NOT FOOT DUE TO ROUNDING. SCHEDULE K, PART II, LINE 13: YEAR OF SUBSTANTIAL COMPLETION REFERS TO THE CALENDAR YEAR. SCHEDULE K, PART I (F), DESCRIPTION OF PURPOSE: BOND SET #1 - NYU BOND (A) DASNY (CUSIP # 649905VF0) TO: (I) PAY THE COSTS OF THE SERIES 2009A PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO THE PROJECTS AT VARIOUS LOCATIONS OF THE UNIVERSITY CAMPUS; AND (II) PAY COSTS OF ISSUANCE OF THE SERIES 2009A BONDS. BOND (B) DASNY (CUSIP #649905WC6) TO: (I) REPAY A LINE OF CREDIT USED TO REPAY TAXABLE INDEBTEDNESS INCURRED IN CONNECTION WITH A FACILITY FOR THE SCHOOL OF MEDICINE; AND (II) TO PAY THE COSTS OF ISSUANCE OF THE SERIES 2009B BONDS. BOND (C) DASNY (CUSIP# 649906TN4) TO: (I) PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF COSTS OF THE SERIES 2012A PROJECT WHICH CONSISTS OF RENOVATION, FURNISHING AND EQUIPPING OF AN ACADEMIC BUILDING TO BE USED BY THE NYU SCHOOL OF LAW AND THE ACQUISITION, RENOVATION, FURNISHING AND EQUIPPING OF A CONDOMINIUM UNIT TO BE USED FOR ADMINISTRATIVE OFFICES; (II) REFUND OR REIMBURSE THE UNIVERSITY FOR THE REFUNDING OF ALL OR A PORTION OF THE NEW YORK CITY INDUSTRIAL DEVELOPMENT AGENCY CIVIC FACILITY REVENUE BONDS, SERIES 2001 AND THE DASNY NEW YORK UNIVERSITY INSURED REVENUE BONDS, 2001 SERIES 2; AND (III) TO REPAY A LINE OF CREDIT USED TO PAY THE DASNY INSURED REVENUE BONDS, SERIES 2003B. BOND (D) DASNY (CUSIP # 649906VS0) TO PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF, COSTS OF THE SERIES 2012 PROJECT WHICH CONSISTS OF THE ACQUISITION, CONSTRUCTION, FURNISHING AND EQUIPPING OF THE UNIVERSITY'S PORTION OF A BUILDING LOCATED ON CAMPUS. BOND SET #2: BOND (A) DASNY (CUSIP #649907WP3) TO FINANCE OR REFINANCE THE COST OF THE ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2013A PROJECT WHICH INCLUDES MULTIPLE FACILITIES ON CAMPUS. BOND (B) DASNY (NO CUSIP - PRIVATE PLACEMENT, SERIES 2014A) TO REFUND THE DASNY INSURED REVENUE BONDS, SERIES 2004A. BOND (C) DASNY (CUSIP# 64990BFE8) TO (I) TO REFUND A PORTION OF THE DASNY SERIES 2007A, SERIES 2008A, SERIES 2008B AND SERIES 2008C BONDS; AND (II) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2015A PROJECT, WHICH COVERS MULTIPLE FACILITIES ON CAMPUS. BOND (D) DASNY (CUSIP# 64990CEC1) TO (I) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2016 PROJECT, INCLUDING CAPITALIZED INTEREST THEREON AND (II) TO PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2016 BONDS. BOND SET #3: BOND (A) DASNY (CUSIP# 64990CC90) TO (I) FINANCE OR REFINANCE THE COST OF THE SERIES 2017 PROJECT (II) TO REFUND A PORTION OF THE DASNY REVENUE BONDS SERIES 2009A, 2009B, AND NYC IDA CIVIC FACILITY REFUNDING REVENUE BONDS (2007 POLYTECHNIC UNIVERSITY PROJECT) AND (III) TO PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2017A BONDS. BOND (B) DASNY (CUSIP# 64990C7S4) TO (I) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2018 PROJECT, INCLUDING CAPITALIZED INTEREST THEREON AND (II) TO PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2018 BONDS. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907WP3) 146000293 649907WP3 2013-10-08 135927356 SEE SUPPLEMENTAL INFORMATION 0 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 000000000) 146000293 000000000 2014-10-28 55000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990BFE8) 146000293 64990BFE8 2015-04-22 785388019 SEE SUPPLEMENTAL INFORMATION 0 0 0 D DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990CEC1) 146000293 64990CEC1 2016-06-14 687667333 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 10275000 135965086 135963320 1767 2015 0 0 1 1 B 1650000 55000000 55000000 2014 1 0 1 1 C 9900000 785388034 680315991 105060855 11188 2015 1 1 0 1 D 690983914 4937 625025046 65958868 2016 1 0 0 1 A 0 1 1 1 1 1 0.00040 0.01430 0.01470 0 0 1 B 0 1 1 1 1 1 0.00000 0.00060 0.00060 0 0 1 C 0 1 1 1 1 1 0.00360 0.00330 0.00690 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 0 0 1 0 0 0 0 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990CC90) 146000293 64990CC90 2017-06-01 522276122 SEE SUPPLEMENTAL INFORMATION 0 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990C7S4) 146000293 64990C7S4 2018-05-17 398392192 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 522276122 368455700 5381 153815041 2017 1 1 1 1 B 399329740 242928875 156400865 2021 1 0 0 1 A 0 1 1 1 1 1 0.00010 0.00060 0.00070 0 0 1 B 0 1 1 1 1 1 0.00270 0.00280 0.00550 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 A 1 B 1 MARTIN DORPH OFFICER MORTGAGE X 200000 4000 0 1 1 ANDREW BROTMAN EMPLOYEE MORTGAGE X 100000 100000 0 1 1 104000 JOHN SAUNDERS SON IN LAW TRUSTEE B. BERKLEY 394011 EMPLOYEE 0 R SALK DAUGHTER IN LAW FMR OFF R. BERNE 91836 EMPLOYEE 0 DR MARCI LEVINE SISTER TRUSTEE B. LEVINE 253329 EMPLOYEE 0 KATHERINE DORPH DAUGHTER OFF. MARTIN DORPH 40553 EMPLOYEE 0 L CHIARELLI SPOUSE KEY EMP L CHIARELLI 148934 EMPLOYEE 0 ZVI BEN DOR HUSBAND OFF. K. FLEMING 388945 EMPLOYEE 0 ELISABETH COHEN SPOUSE KEY EMP R. GROSSMAN 380189 EMPLOYEE 0 LAURIE BROTMAN SPOUSE KEY EMP A. BROTMAN 389285 EMPLOYEE 0 MAURA HOFSTADTER DTR KEY EMP T. CAREW 160427 EMPLOYEE 0 HARVEY DALE (SPOUSE) FMR KE D. LAMORTE 228588 EMPLOYEE 0 MARGARET HOFSTADTER GRANDDAUGHTER KEY EMP T. CAREW 36044 EMPLOYEE 0 OGDEN CAP PROPERTIES LLC (CONTROLLED CORP) TRUSTEE C. MILSTEIN 3573861 LEASE SPACE 0 MSC INDUSTRIAL DIRECT CO INC (CONTROLLED CORP) TRUSTEE M. JACOBSON 103234 SUPPLIES 0 32 SIXTH AVENUE COMPANY LLC TRUSTEE W. RUDIN 1806531 LEASE SPACE 0 X 103 1430330 SEE SCHEDULE O X 1449519 SEE SCHEDULE O X 300587 SEE SCHEDULE O X 433 35011477 SEE SCHEDULE O X 1 466100 SEE SCHEDULE O X 1 50000 SEE SCHEDULE O X 40 9136 SEE SCHEDULE O X 359 126325 SEE SCHEDULE O X OTHER MISC. 714 20862 SEE SCHEDULE O X GAMING ITEMS 532 6035 SEE SCHEDULE O X THEATER TKTS 1 3643 SEE SCHEDULE O X EVENT PASSES 12 2391 SEE SCHEDULE O 6 0 1 0 FORM 990, PART VI, SECTION A, LINE 2 1) LARRY SILVERSTEIN (TRUSTEE) AND LISA SILVERSTEIN (TRUSTEE) HAD A FAMILY RELATIONSHIP DURING THE YEAR ENDED AUGUST 31, 2018. FORM 990, PART VI, SECTION A, LINE 5 THE UNIVERSITY RECEIVED A FRAUDULENT INVOICE. PAYMENT OF $2,600,375 WAS MADE IN CONNECTION WITH THIS FRAUDULENT INVOICE AND IMMEDIATELY RECOVERED. ADDITIONAL CONTROLS WERE IMPLEMENTED TO PREVENT A RECURRENCE OF THIS ISSUE. FORM 990, PART VI, SECTION A, LINE 6 THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7A THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7B THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION B, LINE 11B THE FOLLOWING STEPS WERE TAKEN TO REVIEW THIS IRS FORM 990: 1. THE FORM 990 WAS REVIEWED AND APPROVED BY THE UNIVERSITY CONTROLLER. 2. THE FORM 990 WAS THEN REVIEWED AND APPROVED BY THE UNIVERSITY'S CHIEF FINANCIAL OFFICER, THE UNIVERSITY'S EXECUTIVE VICE PRESIDENT AND OFFICE OF GENERAL COUNSEL. 3. THE FORM 990 WAS THEN PRESENTED TO THE UNIVERSITY'S AUDIT AND COMPLIANCE COMMITTEE FOR REVIEW. 4. THE FORM 990 WAS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES FOR REVIEW. 5. THE COMPENSATION COMMITTEE OF BOARD OF TRUSTEES REVIEWED THE COMPENSATION SECTIONS OF THE FORM 990. 6. FOLLOWING THE REVIEW PERIOD, THE FORM 990 WAS ELECTRONICALLY FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C THE OFFICE OF GENERAL COUNSEL ANNUALLY SENDS OUT CONFLICT OF INTEREST QUESTIONNAIRES TO OFFICERS, TRUSTEES AND KEY EMPLOYEES, REVIEWS COMPLETED QUESTIONNAIRES AND CONSULTS WITH THOSE COMPLETING FORMS AS APPROPRIATE. IN ADDITION, QUESTIONS ARISE PERIODICALLY THROUGHOUT THE YEAR AND ARE HANDLED BY THE OFFICE OF GENERAL COUNSEL AS APPROPRIATE. FORM 990, PART VI, SECTION B, LINE 15 THE PROPOSED COMPENSATION OF OFFICERS, TRUSTEES, KEY EMPLOYEES, DISQUALIFIED PERSONS AND CERTAIN OTHERS (EXCEPT THE PRESIDENT) IS REVIEWED ANNUALLY BY AN OUTSIDE CONSULTING FIRM AND THAT FIRM'S ANALYSIS IS PRESENTED TO THE COMPENSATION COMMITTEE OF THE BOARD FOR ITS REVIEW AND APPROVAL. WHEN IT IS PROPOSED TO CHANGE THE COMPENSATION OF THE PRESIDENT, THE BOARD CHAIRMAN ENGAGES A COMPENSATION CONSULTANT TO PREPARE A CUSTOM SURVEY FOR CONSIDERATION BY THE COMPENSATION COMMITTEE OF THE BOARD, WHICH THEN SETS HIS COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE ON ITS WEBSITE (WWW.NYU.EDU). FORM 990, PART XI, LINE 9: OTHER CHANGE IN NET ASSETS 28,598,608. FORM 990, PART XII, LINE 2C THE AUDIT AND COMPLIANCE COMMITTEE OF THE BOARD OF TRUSTEES HAS RESPONSIBILITY FOR OVERSIGHT OF NYU'S FINANCIAL STATEMENT AUDIT AND SELECTION OF ITS INDEPENDENT AUDITOR. THERE HAS BEEN NO CHANGE IN PROCESS SINCE PRIOR YEAR. FORM 990 PART XI, LINE 9 - OTHER CHANGES IN NET ASSETS OR FUND BALANCES OTHER CHANGE IN NET ASSETS (LINE 9) AS REFLECTED ON PART XI, RECONCILIATION OF NET ASSETS, IS RELATED TO THE FACT THAT SEVERAL NYU AFFILIATES WERE DISSOLVED DURING FY18 AND THE NET ASSET BALANCES WERE TRANSFERRED TO NYU. FORM 990 PART III, LINE 1 - (CONTINUED FROM PAGE 2) NYU IS RECOGNIZED BOTH NATIONALLY AND INTERNATIONALLY AS A LEADER IN SCHOLARSHIP AND IS A MEMBER OF THE DISTINGUISHED ASSOCIATION OF AMERICAN UNIVERSITIES. THE UNIVERSITY'S SCHOOLS AND INSTITUTES, EACH WITH ITS OWN TRADITIONS, PROGRAMS AND FACULTY, ARE (IN ORDER OF FOUNDING DATE): COLLEGE OF ARTS AND SCIENCE, SCHOOL OF LAW, SCHOOL OF MEDICINE, COLLEGE OF DENTISTRY, GRADUATE SCHOOL OF ARTS AND SCIENCE, STEINHARDT SCHOOL OF CULTURE EDUCATION AND HUMAN DEVELOPMENT, LEONARD N. STERN SCHOOL OF BUSINESS, COURANT INSTITUTE OF MATHEMATICAL SCIENCES, SCHOOL OF PROFESSIONAL STUDIES, INSTITUTE OF FINE ARTS, ROBERT F.WAGNER GRADUATE SCHOOL OF PUBLIC SERVICE, SILVER SCHOOL OF SOCIAL WORK, TISCH SCHOOL OF THE ARTS, GALLATIN SCHOOL OF INDIVIDUALIZED STUDY, RORY MEYERS COLLEGE OF NURSING, THE INSTITUTE FOR THE STUDY OF THE ANCIENT WORLD, NYU ABU DHABI, THE TANDON SCHOOL OF ENGINEERING, AND THE COLLEGE OF GLOBAL PUBLIC HEALTH. THE UNIVERSITY ALSO OPERATES ACADEMIC PROGRAM SITES AND RESEARCH PROGRAMS IN OTHER PARTS OF THE UNITED STATES AND ABROAD. IN ADDITION TO THE COLLEGES AND DIVISIONS, NYU OPERATES NYU SHANGHAI, WHICH GRANTS NYU DEGREES, AS A JOINT VENTURE WITH EAST CHINA NORMAL UNIVERSITY. SCHEDULE M-PART I COLUMN (D) THE VALUATION RECORDED IN THE UNIVERSITY'S FUNDRAISING SYSTEM IS USUALLY BASED UPON THE PROFESSIONAL APPRAISAL SUBMITTED WITH THE GIFT. IN THE EVENT THERE IS NO APPRAISAL AND VALUATION CANNOT BE DETERMINED, A NOMINAL VALUE OF $2 IS RECORDED. PART VIII, LINE 12, COLUMN (C) TOTAL UNRELATED BUSINESS REVENUE PER PART VIII IS $2,135,025. TOTAL UNRELATED BUSINESS INCOME PER LINE 13 OF THE 990-T IS $12,695,333. THE DIFFERENCE OF $10,560,308 IS DUE TO THE QUALIFIED TRANSPORTATION FRINGE BENEFITS THAT IS NOT BEING INCLUDED IN REVENUE ON PART VIII. INSTITUTE OF FINE ARTS FOUNDATION 1 EAST 78TH STREET NEW YORK NY 10021 237184242 SUPPORT NYU'S INSTITUTE OF FINE ARTS NY 501(C)(3) LINE 12A, I NEW YORK UNIVERSITY 1 NATIONAL CENTER ON PHILANTHROPY AND THE LAW 139 MACDOUGAL STREET 1ST FLOOR NEW YORK NY 10012 133954405 STUDY, RESEARCH, EDUCATION ON PHILANTHROPY & THE LAW NY 501(C)(3) LINE 12A, I NYU SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF BUSINESS FOUNDATION INC C/O KAUFMAN MGMT CENTER-44 WEST 4TH NEW YORK NY 10022 134168015 SUPPORT NYU'S L.N. STERN SCHOOL OF BUSINESS NY 501(C)(3) LINE 7 NEW YORK UNIVERSITY 1 NEW YORK UNIVERSITY SCHOOL OF LAW FOUNDATION 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 136161036 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 10 NEW YORK UNIVERSITY 1 NYU IMAGING INC 545 FIRST AVENUE NEW YORK NY 10016 134000622 PERFORMS MEDICAL ACTIVITIES NY 501(C)(3) LINE 12A, I NEW YORK UNIVERSITY 1 NYU SCHOOL OF LAW FACULTY RETENTION ASSISTANCE CORPORATION 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 134047911 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 12A, I NYU'S SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF LAW HOUSING ASSISTANCE CORP 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 134043221 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 12A, I NYU'S SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF LAW RECRUITMENT ASSISTANCE CORPORATION 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 134043182 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 12A, I NYU'S SCHOOL OF LAW FOUNDATION 1 HAROLD ACTON TRUST 105 EAST 17TH STREET 2ND FL NEW YORK NY 10003 137050560 SUPPORT OF NYU'S CAMPUS IN FLORENCE, ITALY NY 501(C)(3) LINE 12C, III-FI NEW YORK UNIVERSITY 1 WASHINGTON SQUARE LEGAL SERVICES INC 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 237392120 CERTAIN PUBLIC INTEREST ACTIVITIES OF NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 12A, I NEW YORK UNIVERSITY 1 NYU IN ABU DHABI CORP C/O NYU - 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