2018-05-14T19:50:49-05:00 2017-06-30 910189318 Moss Adams LLP 3121 W March Ln Ste 200 Stockton CA 952192367 990 2016-07-01 951667177 Occidental College OCCI 3232591417 1600 Campus Road Los Angeles CA 90041 AMOS R HIMMELSTEIN Vice President and COO 3232591417 2018-05-14 1 Tracy S Paglia P00366884 2099556100 2018-05-14 2016 2022-09-23 18:48:47Z Jonathan Veitch 1600 Campus Road Los Angeles CA 90041 409557968 0 X www.oxy.edu X 1887 CA TO PROVIDE STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY. 43 40 2660 521 -748826 -1508746 20725038 24799375 130797266 132887937 10771079 26780820 0 0 162293383 184468132 43871836 45083947 0 0 69216780 70576396 89504 15000 7546757 56799770 46435998 169977890 162111341 -7684507 22356791 674652603 721228960 140833577 135387750 533819026 585841210 X See Schedule OTHE MISSION OF OCCIDENTAL COLLEGE IS TO PROVIDE A GIFTED AND DIVERSE GROUP OF STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY - ONE THAT PREPARES THEM FOR LEADERSHIP IN AN INCREASINGLY COMPLEX, INTERDEPENDENT AND PLURALISTIC WORLD. THE DISTINCTIVE INTERDISCIPLINARY AND MULTICULTURAL FOCUS OF THE COLLEGE'S ACADEMIC PROGRAM SEEKS TO FOSTER BOTH THE FULFILLMENT OF INDIVIDUAL ASPIRATIONS AND A DEEPLY ROOTED COMMITMENT TO THE PUBLIC GOOD. THIS MISSION IS ANCHORED BY FOUR CORNERSTONES: EXCELLENCE, EQUITY, COMMUNITY AND SERVICE. THESE BUILDING BLOCKS, IN ONE FORM OR ANOTHER, HAVE LONG BEEN THE BASIS FOR THE COLLEGE'S COMMITMENT TO PROVIDING RESPONSIBLE LEADERS AND CITIZENS FOR OUR DEMOCRATIC SOCIETY. CHOOSING THEM TO SUPPORT THE FUTURE HELPS TO ENSURE THAT THE COLLEGE REMAINS TRUE TO ITS MISSION WHILE ADAPTING TO A CHANGING WORLD. 0 0 98545977 44487050 105678496 SEE SCHEDULE OACADEMIC PROGRAM: Founded in 1887, Occidental College was one of the first liberal arts colleges in California and today is one of the country's few liberal arts colleges in an urban setting. Occidental offers undergraduate degrees in a wide range of disciplines and a master's degree in marine biology. Its 2,055 students, drawn from around the world, choose from 43 majors and minors taught by 188 full-time and 89 part-time faculty. Course work is integrated with opportunities for independent study, one of the country's top undergraduate research programs, study in dozens of foreign countries, the country's only Campaign Semester and residential United Nations programs for undergraduates. Occidental has exchange, joint degree, or cross-registration programs with Caltech, Art Center College of Design, Columbia University, and Keck Graduate Institute. Since winning its first Rhodes Scholarship in 1907, Occidental has consistently won national and international recognition for academic achievement.Dedicated to excellence and equity, Occidental also is one of the country's most economically diverse campuses, according to the New York Times. Some 71 percent of Oxy students receive some form of financial aid; 20 percent are Pell Grant recipients; and 15 percent are the first in their family to attend college. 37616132 217474 26582161 See Schedule OCO-CURRICULAR PROGRAM: Occidental offers a wide range of co-curricular programs, from the student-run Blyth Fund, which oversees a six-figure investment fund that makes up part of the College's endowment, to the internships offered through the recently renovated and expanded Hameetman Career Center. There are more than 100 student clubs and organizations, as well as an online radio station, award-winning weekly newspaper, and literary magazine. As one of the founders of intercollegiate athletics in Southern California, Occidental offers 21 varsity sports for men and women, as well as six club sports and five intramural programs for men and women. 4732075 379422 627280 See Schedule OPublic Service: Occidental is recognized as a community engagement institution by the Carnegie Foundation for the Advancement of Teaching and has repeatedly been named to the President's Higher Education Community Service Honor Roll for its exemplary service efforts. Occidental's tradition of community outreach dates back to 1963, when the college's Community Literacy Center was founded to provide one-on-one reading and writing instruction for local K-6 children. It also is home to one of California's oldest and largest Upward Bound programs for disadvantaged high school youth. Occidental has integrated community engagement into its curriculum, taking advantage of its location in Los Angeles. Three linked programs the Office for Community Engagement, the Center for Community Based Learning, and the Urban & Environmental Policy Institute connect curriculum, co-curricular activities, and research and community-based efforts. 140894184 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 0 1 0 0 1 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 0 0 0 1 1 1 0 0 0 1 2949 0 1 2660 1 1 1 0 0 0 0 1 1 0 0 0 0 1 0 X 43 40 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 CA WA X Barbara Valiente 3232591417 1600 Campus Road Los Angeles CA 90041 Jonathan Veitch President/Ex-Officio 50.00 X X 603898 0 235871 Dave Berkus VICE-CHAIR 2.50 X X 0 0 0 Ronald Hahn VICE-CHAIR 2.50 X X 0 0 0 Susan Mallory CHAIR 3.00 X X 0 0 0 Reid Samuelson VICE-CHAIR 2.50 X X 0 0 0 Leslie Trim VICE-CHAIR 2.50 X X 0 0 0 Patricia Alireza Trustee 1.50 X 0 0 0 David Anderson Trustee 2.50 X 0 0 0 Carl Ballton Trustee 2.50 X 0 0 0 Coit Chip Blacker Trustee 2.00 X 0 0 0 John Branca Trustee 1.50 X 0 0 0 Eileen Brown Trustee 1.50 X 0 0 0 David Burcham Trustee 2.00 X 0 0 0 Christopher C Calkins Trustee 2.00 X 0 0 0 Anne Cannon Trustee 2.50 X 0 0 0 Dennis Collins Trustee 1.50 X 0 0 0 Bill Davis Trustee 2.00 X 0 0 0 Hector De La Torre Trustee 2.50 X 0 0 0 Susan DiMarco Trustee 2.00 X 0 0 0 Gloria Duffy Trustee 2.50 X 0 0 0 Louise Edgerton Trustee 1.50 X 0 0 0 John Farmer Trustee 2.00 X 0 0 0 Alan Freeman Trustee 1.50 X 0 0 0 Fred Hameetman Trustee 1.50 X 0 0 0 Octavio V Herrera Trustee 1.50 X 0 0 0 Asad Jumabhoy Trustee 1.50 X 0 0 0 Giles Gil Kemp Trustee 1.50 X 0 0 0 Naomi Kurata Trustee 1.50 X 0 0 0 Lisa H Link Trustee 1.50 X 0 0 0 Gordon MacInnes Trustee 1.50 X 0 0 0 Greta Mandell Trustee 1.50 X 0 0 0 Eric B Moore Trustee 1.50 X 0 0 0 Steven J Olson Trustee 1.50 X 0 0 0 Vincent Padua Trustee 1.50 X 0 0 0 John Power Trustee 2.50 X 0 0 0 Steven Robinson Trustee 1.50 X 0 0 0 Stephen Rountree Trustee 1.50 X 0 0 0 Richard Rick Rugani Trustee 2.50 X 0 0 0 Janette Sadik-Khan Trustee 1.50 X 0 0 0 Catherine Young Selleck Trustee 1.50 X 0 0 0 Soroosh Shambayati Trustee 1.50 X 0 0 0 Christopher Chris Varelas Trustee 2.50 X 0 0 0 Charles McClintock EX-Officio 2.50 X 0 0 0 Joan A Payden Thru 9116 Trustee 1.50 X 0 0 0 William Schutte Thru 93016 trustee 1.50 X 0 0 0 Erica O'Neal Howard Interim Dean of Students 50.00 X 174311 0 26237 Amos Himmelstein Vice President and COO 50.00 X 277101 0 121305 Vincent Cuseo VP and Dean of Admission and Financial Aid 50.00 X 214025 0 22230 Leora Freedman Secretary of the College and General Counsel 50.00 X 196284 0 61052 Kerry Thompson Interim VP of academic Affairs 50.00 X 171090 0 38369 Charlie Cardillo VP of Institutional Advancement 50.00 X 156378 0 22085 Rhonda Brown VP for Equity and Inclusion/Chief Diversity Office 50.00 X 170333 0 29439 Elizabeth Kennedy Interim VP of Institutional Advancement 50.00 X 231797 0 26144 Derek Shearer Professor 50.00 X 212149 0 37909 Peter Dreier Professor 50.00 X 189645 0 41782 John Swift Professor 50.00 X 182527 0 34954 Eric Frank Professor 50.00 X 171571 0 38712 James Uhrich Associate VP and Chief Information Officer 50.00 X 175242 0 26078 Jorge Gonzalez thru 06302016 VP of Academic Affairs and Dean of th 50.00 X 134911 0 56165 3261262 0 818332 80 1 1 0 Vancrest Construction Corporation 7171 N Figueroa St Los Angeles CA 90042 construction and project management 979151 Mesa Energy Systems 2 Cromwell Irvine CA 92618 commercial HVAC contractors 709241 Cambridge Associates LLC 125 High Street Boston MA 02110 investment consulting 593047 Diversified Litho Services 4462 E Airport Dr Ontario CA 91761 advertising and printing services 574753 Bertin Brothers Construction Inc 1380 E Altadena Drive Altadena CA 91001 construction and project management 338637 24 3835114 20964261 9053932 24799375 Tuition and Fees 900099 104021105 104021105 Room and Board 900099 23032875 23032875 Conferences and events 900099 2148323 1379750 768573 Bookstore 900099 921553 921553 Food Service 900099 221793 221793 2542288 2542288 132887937 9009801 -1517399 10527200 242860855 225089836 17771019 17771019 17771019 184468132 132119364 -748826 28298219 89921 89921 44994026 44994026 2819324 719923 1736435 362966 442212 415915 26297 51302863 43388544 4017193 3897126 3903959 3304977 281347 317635 8409072 6797731 934004 677337 3698966 2938807 461782 298377 395277 395277 137541 137541 15000 15000 1460094 1460094 4132701 3119718 715672 297311 127787 60152 26341 41294 4854014 3590399 370303 893312 1876791 1593474 265029 18288 3658863 3104571 554292 1927524 1653477 99765 174282 582218 503675 59383 19160 3942636 3629948 312688 8159409 7714654 334101 110654 618725 96890 521835 Cost of Sales 4959208 4959208 International Programs 3612329 3612329 5990881 4605845 961021 424015 162111341 140894184 13670400 7546757 3472554 1730317 74803361 96720421 6596123 7194896 441610 497937 643919 619792 567973 238225 278024042 110755605 172015055 167268437 312725770 340513732 69306265 74671205 23216567 22513273 10863406 9260725 674652603 721228960 13471093 11417245 5872559 5199870 88375000 86105000 4167674 4262957 547056 515099 28400195 27887579 140833577 135387750 X 175486267 191887591 187745957 217582516 170586802 176371103 533819026 585841210 674652603 721228960 X 22356791 28849376 816017 X 0 1 X 1 1 1 X 20584866 23215543 29189014 20725038 24799375 118513836 20584866 23215543 29189014 20725038 24799375 118513836 8850046 109663790 10392293 8499708 9601430 8848000 10527200 47868631 166382467 628746786 0.65910 0.68190 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 X X X 0 371680490 9765465 52844846 9582333 10630098 648506 413429864 392166640 13935888 -14473295 9038596 10166252 743895 371680490 406096354 8406887 -3685398 8532879 9436437 681887 392166640 356767066 6409801 61690736 8611065 9588959 571225 406096354 330719886 6251016 38696460 8743489 9719783 437024 356767066 0.19000 0.37000 0.44000 0 0 1058071 1481532 2539603 239111322 94583935 144527387 8671273 3987037 4684236 17425917 12184633 5241284 10275927 10275927 167268437 Private Equity & Venture Capital 74671205 F 74671205 Annuities Payable 14391567 Bonds Premium, Net 10933461 Asset Retirement Obligation 2562551 27887579 X 169018314 28849376 28849376 140168938 1460094 42839100 44299194 184468132 116996130 0 116996130 1460094 43655117 45115211 162111341 Part III, Line 1a: COLLECTIONS, SUCH AS RARE BOOKS AND WORKS OF ART, WHICH WERE ACQUIRED THROUGH PURCHASES AND CONTRIBUTIONS SINCE THE COLLEGE'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS. THESE COLLECTIONS ARE HELD SOLELY FOR THEIR POTENTIAL EDUCATIONAL VALUE OR HISTORICAL SIGNIFICANCE. MANAGEMENT HAS DETERMINED THAT THE COST TO ESTABLISH THE CURRENT MARKET VALUE IS DEEMED TO EXCEED THE BENEFIT AND THEREFORE THE COLLECTIONS WERE NOT ASSIGNED A VALUE FOR THE PURPOSE OF CAPITALIZATION. PURCHASES OF COLLECTION ITEMS ARE RECORDED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE YEAR IN WHICH THE ITEMS ARE ACQUIRED OR AS TEMPORARILY OR PERMANENTLY RESTRICTED NET ASSETS IF THE ASSETS USED TO PURCHASE THE ITEMS HAVE BEEN RESTRICTED BY DONORS. Part III, Line 4: THE COLLEGE MAINTAINS COLLECTIONS OF ART FOR DISPLAY AND EDUCATIONAL PURPOSES. Part V, Line 4: The college's endowment functions to support student scholarships, professorships, student and faculty research, academic programs, the library, visiting speakers, and other general college activity. Part X, Line 2: As required by GAAP, the College and Otway have identified and evaluated their significant tax positions and have determined that there are no material unrecognized benefit or liability to be recorded. There are no uncertain tax positions for the years ended June 30, 2017 or June 30, 2016. There have been no related tax penalties or interest, which would be classified as a tax expense in the consolidated statements of activities. Part XI, Line 4b - Other Adjustments: Change in Fair Value of Assets Held in Trust by Others -312,408. Annuities Adjustment 1,013,790. FINANCIAL AID 43,655,117. Net Income from K-1's -1,517,399. Part XII, Line 4b - Other Adjustments: Financial Aid 43,655,117. 1 1 1 1 1 1 1 0 0 0 1 0 0 0 0 1 0 1 Schedule E, Part I, Line 3 The College advertises the policy in brochures to potential students and on the College's website. Schedule E, Part I, Line 5 Generally, OCCIDENTAL COLLEGE awards scholarships and other financial assistance in a way to affirm our mission, "To provide a gifted and diverse group of students with a total educational experience of the highest quality -- one that prepares them for leadership in an increasingly complex, interdependent and pluralistic world." In particular, the Achievement and opportunity grant is used to ensure that our student population maintains as ethnically diverse population as possible, and in this case, the award might be used to make it possible to increase the attendance of students of color. Schedule E, Part I, Line 6 OCCIDENTAL COLLEGE PARTICIPATES IN THE FEDERAL PELL GRANT, CAMPUS-BASED PROGRAMS (FEDERAL SUPPLEMENTAL OPPORTUNITY GRANT, FEDERAL WORK STUDY AND FEDERAL PERKINS LOAN PROGRAM) AND FEDERAL DIRECT LOAN AND PLUS LOAN PROGRAMS. IN ADDITION WE RECEIVE GRANTS FROM VARIOUS STATE GOVERNMENTS. Central America and the Caribbean 0 0 Investments 64476162 Europe (including Iceland and Greenland) 0 0 Investments 6385924 North America (Canada and Mexico) 0 0 Investments 295723 0 0 0 0 0 0 71157809 0 71157809 1 0 1 1 1 0 X X X X X X X 1 DCH Advisors 1218 9th St Ste 2 Santa Monica CA 904011845 consulting 0 0 7500 -7500 Montlake Group 16639 W Sunset Blvd Pacific Palisades CA 902723202 consulting 0 0 7500 -7500 15000 -15000 AK CA CT GA IA ID IL MO NC NM NV OH TX WA 1 Clean Water Fund 198 Brighton Avenue Long Branch NJ 07740 521043444 501(c)(3) 15000 To serve as a regional lead and to be the point person for organizations in a particular region, provide written and verbal updates to the national moving forward network staff and other representatives in the network, help facilitate activities and programs at the regional level to build capacity of local and regional groups, and coordinate regional meetings, among other tasks. Diesel Health Project Inc 714 Mississippi Street Lawrence KS 66044 471193993 501(c)(3) 13333 Liaison between the work happening and the region, and Network. Gather information from the regions about campaigns and projects of the network members. Analyze the projects, their status, impacts. Provide technical assistance, written and verbal updates, convene regional meetings. Identify regional resources for training materials, analyses, legal briefs, environmental studies received through FOIA or other state open record act requests. Esperanza Community Housing Corp 3655 S Grand Ave 280 Los Angeles CA 90007 954230354 501(c)(3) 14000 To assist in the Community Health Engagement program as a community partner by developing and disseminating an appropriate internship description to community health workers, to share recommendations with the college on qualified candidates and to identify one representative to liaise with Occidental Staff throughout the term of this project. Magana Associates 801 Pennsylvania Ave NW Suite1010 Washington DC 20004 522328079 501(c)(3) 10000 This consultant served as a strategic political advisor to MFN's Zero Campaign. The tasks included cultivating relationship with congressional signatories to sign on to a letter of support for the Campaign. Sustainable Economic Enterprises of Los Angeles 6255 Sunset Blve Suite714 Los Angeles CA 90028 954597000 501(c)(3) 7500 The consultant collects baseline data at 2 pilot markets, provide all data on a monthly basis, participate and facilitate research, attend project planning meetings, launch pilot by actively using and distributing co-marketing promotional materials and implementing "market re-design" recommendations, participate in pilot evaluation including surveys, focus groups, and interviews, coordinate participation of market managers, vendors and customers in pilot evaluation, contribute to development of Market Together Resource Guide based on pilot findings, assist with recruitment of Los Angeles market operators for Market Operator Training, assist with development of Market Operator Training Curriculum based on Resource Guide and help to plan and conduct two training sessions for operators representing 30 markets. Texas Environmental Justice Advocacy 6731 Harrisburg Blvd Houston TX 77011 020749601 501(c)(3) 14000 To serve as a Regional Lead and to be the resource point person for organizations in a particular region, provide written and verbal updates to the national Moving Forward Network staff and other representatives in the network, help facilitate activities and programs at the regional level to build capacity of local and regional groups, and coordinate regional meetings, among other tasks. 6 0 SCHOLARSHIPS 1397 43655117 STUDY GRANTS 478 923240 STIPENDS 161 389984 Prizes and Awards 61 25685 Part I, Line 2: All Grant and Contract activity is monitored to assure that it is in compliance with all applicable regulations. All expenditures are reviewed on a weekly basis for allowability. X X X X 1 1 X X X X 0 1 0 0 0 0 0 0 0 Jonathan Veitch President/Ex-Officio 520757 0 0 0 83141 0 101500 0 134371 0 839769 0 0 0 Erica O'Neal Howard Interim Dean of Students 174311 0 0 0 0 0 17606 0 8631 0 200548 0 0 0 Amos Himmelstein Vice President and COO 277101 0 0 0 0 0 66500 0 54805 0 398406 0 0 0 Vincent Cuseo VP and Dean of Admission and Financi 199025 0 0 0 15000 0 19944 0 2286 0 236255 0 0 0 Leora Freedman Secretary of the College and General 196284 0 0 0 0 0 20750 0 40302 0 257336 0 0 0 Kerry Thompson Interim VP of academic Affairs 171090 0 0 0 0 0 17667 0 20702 0 209459 0 0 0 Charlie Cardillo VP of Institutional Advancement 156378 0 0 0 0 0 13167 0 8918 0 178463 0 0 0 Rhonda Brown VP for Equity and Inclusion/Chief Di 170333 0 0 0 0 0 14583 0 14856 0 199772 0 0 0 Elizabeth Kennedy Interim VP of Institutional Advancem 231797 0 0 0 0 0 23333 0 2811 0 257941 0 0 0 Derek Shearer Professor 212149 0 0 0 0 0 21582 0 16327 0 250058 0 0 0 Peter Dreier Professor 171536 0 0 0 18109 0 17966 0 23816 0 231427 0 0 0 John Swift Professor 182527 0 0 0 0 0 18686 0 16268 0 217481 0 0 0 Eric Frank Professor 171571 0 0 0 0 0 17512 0 21200 0 210283 0 0 0 James Uhrich Associate VP and Chief Information O 175242 0 0 0 0 0 17675 0 8403 0 201320 0 0 0 Jorge Gonzalez thru 06302016 VP of Academic Affairs and Dean of 123270 0 0 0 11641 0 12281 0 43884 0 191076 0 0 0 Part I, Line 1a THE PRESIDENT'S WIFE TRAVELED WITH HIM AND HER TRAVEL IS CONSIDERED OCCIDENTAL COLLEGE BUSINESS. HOUSING IS PROVIDED FOR CERTAIN INDIVIDUALS LISTED IN PART VII AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE COLLEGE. SOCIAL CLUB DUES ARE PROVIDED TO ONE OFFICER AS A CONDITION OF EMPLOYMENT AND ARE NOT INCLUDED IN TAXABLE WAGES. USE OF THE SOCIAL CLUB IS FOR BUSINESS PURPOSES ONLY. PERSONAL SERVICES ARE PROVIDED TO AN OFFICER AND ARE INCLUDED IN TAXABLE WAGES. Part I, Line 4b Part I line 4b: A 457(f)plan was approved for the Vice President and COO, Amos Himmelstein, on July 1, 2016. A 457(F) PLAN WAS APPROVED FOR THE PRESIDENT IN JUNE 2015. Schedule J, Part II, Column D: Nontaxable benefits include the value of on-campus housing provided to Jonathan Veitch, President, Jorge Gonzales, Vice President of Academic Affairs and Dean of the College, and Amos R. Himmelstein, Vice President and Chief Operating Officer, as a condition of employment for the convenience of the college. A CEFA series 2013A 521705592 1301782f2 2013-06-05 55981744 sEE SUPPLEMENTAL INFORMATION 0 0 0 B CEFA SERIES 2015 521705592 130179EU4 2016-01-07 39056582 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 1065000 55994785 527675 11363228 43454069 649813 0 1 0 1 B 1955000 39059410 18531760 409047 761263 15106582 4241565 1 1 0 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 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 A 1 B 1 Date Rebate Computation Performed Issuer Name: CEFA series 2013A Date the Rebate Computation was Performed: 06/05/2017 Issuer Name: CEFA SERIES 2015 Date the Rebate Computation was Performed: 01/07/2017 PART I, LINE A, COLUMN F: To refund a portion of the outstanding 2005 bonds and to provide funds for certain capital projects. PART I, LINE B, COLUMN F: a) defease the Authority's outstanding Revenue Bonds (Occidental College), Series 2005A and Series 2005B (the "2005 Bonds") and defease the Authority's outstanding Revenue Bonds (Occidental College), Series 2008 (the "2008 Bonds"); (b) financing the construction, renovation, rehabilitation, installation, expansion, furnishing and equipping of certain educational facilities (the "New Money Project") and (c) paying costs related to the sale and issuance of the Bonds. The capital improvements that were financed or refinanced with the proceeds of the 2005 Bonds and the 2008 Bonds and are being refinanced with the proceeds of the Bonds are referred to herein as the "Prior Project." PART II, LINE 3: THE DIFFERENCE BETWEEN THE PROCEEDS AMOUNT ON LINE 3 AND THE ISSUE PRICE IN PART I REPRESENTS INTEREST EARNED and/or difference of the actual issuance cost from the Form 8038 issuance costs that reduced the bond proceeds. Matthew Calkins Family member of Christopher Calkins, Board of Trustee 144935 Employment 0 Andrew Shtulman Family member of Stephen Rountree, Board of Trustee 143508 Employment 0 Tamara Himmelstein Family Member of Amos Himmelstein, VP & COO 127678 Employment 0 Sarah Veitch Family Member of Jonathan Veitch, President 28126 Employment 0 Lucie Suchomelova Family member of KERRY THOMPSON, Interim VP of Academic Affairs 25836 Employment 0 X 2 FMV X 4211 FMV X 2 2801 donor receipts/FMV X 68 9036767 Hi/Lo/Mean Price X 5 4001 donor receipts/FMV X branding guidelines brochure/finished art 1 4000 donor receipts/FMV X aquarium 1 1500 donor receipts/FMV X violin 1 500 donor receipts/FMV X concert tickets 1 150 donor receipts/FMV 0 1 1 Part I, Column (b): The number listed in column (b) represents the number of donors of a specific item Part I, Line 32b: Occidental used 3rd party to sell donated vehicle. Form 990, Part VI, Section B, line 11b The College provides the Form 990 information to the independent tax preparer. Once they have completed the Form 990, they return a draft to the College. The Associate Vice President for Finance and Vice President and Chief Operating Officer perform a thorough review of the draft return. All necessary corrections are made to the Form 990. The Audit Committee reviews the draft public disclosure copy of the Form 990 (Schedule B does not include donor names and addresses). The full draft Form 990 is reviewed by the Audit Committee Chair. The Independent tax preparer presents the draft public disclosure copy of the return to the Audit Committee and allows for questions and discussion. Any changes that are identified by the Audit Committee are made to the Form 990. AT THAT POINT, THE public inspection copy of the Form 990 IS MADE AVAILABLE TO THE FULL BOARD OF TRUSTEES. The Form 990 is signed by the Independent tax preparer and submitted to the Internal Revenue Service by the due date. Form 990, Part VI, Section B, line 12c Every year the College sends the conflict of interest questionnaire to appropriate persons. Responses are followed up on to ensure we receive 100% of all questionnaires. Responses are reviewed by the office of the Vice President and Chief Operating Officer. Any conflicts that have not been brought to the Audit Committee previously are brought to the Audit Committee to discuss. If a conflict exists, the individual will recuse himself/herself from involvement in the matter. Form 990, Part VI, Section B, line 15 The College's process in fiscal year 2016 for determining officer compensation is 1) Obtaining comparison data. 2) Comparison Data is considered when compensation is determined 3) Compensation is approved by the Executive Compensation Committee 4) THE EXECUTIVE COMPENSATION COMMITTEE'S DELIBERATION AND DECISION MAKING PROCESS REGARDING OFFICER COMPENSATION IS CONTEMPORANEOUSLY SUBSTANTIATED. Form 990, Part VI, Section C, line 19 The College makes its financial statements available to the public on the College's website which is accessible to the public. The governing documents and conflict of interest policy are not available for public inspection. Form 990, Part XI, line 9: Change in Fair Value of Assets Held in Trust by Others 312,408. Annuities Adjustment -1,013,790. Net Income From K-1's 1,517,399. Otway Properties LLC 7435 North Figueroa Street Los Angeles CA 90041 813103529 Real Properties CA 0 0 Occidental College Charitable Remainder Trust (30) 1600 Campus Drive Los Angeles CA 90041 Fundraising CA N/A 1 Charitable Lead Trust (1) 1600 Campus Drive Los Angeles CA 90041 Fundraising CA N/A 1 Pooled Income Fund (2) 1600 Campus Drive Los Angeles CA 90041 Fundraising CA N/A 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1