2018-10-22T16:02:03-05:00 2018-05-31 410746749 CLIFTONLARSONALLEN LLP 220 SOUTH SIXTH STREET SUITE 300 MINNEAPOLIS MN 55402 990 2017-06-01 410694721 AUGSBURG UNIVERSITY AUGS 6123301000 2211 RIVERSIDE AVENUE MINNEAPOLIS MN 554541351 BETH REISSENWEBER VP FOR FINANCE AND ADMIN, CFO 6123301000 2018-10-11 1 KAREN GRIES P00078514 6123764500 67.137.57.251 2018-10-11 12:59:52 CD P 8930F06402091CE01DE01F5E1C46450EDDF6C8AB 9E4ACA9A3A5583693B49D79FC84C6D308F7C5743 2017 2018-06-14 16:35:46Z PAUL PRIBBENOW 2211 RIVERSIDE AVENUE MINNEAPOLIS MN 554541351 123635354 0 X WWW.AUGSBURG.EDU X 1872 MN A PRIVATE LUTHERAN FOUR-YEAR UNIVERSITY LOCATED IN DOWNTOWN MINNEAPOLIS. 35 34 1948 35 230410 0 12419724 11714004 103379612 104995569 1618873 1692097 -178693 81696 117239516 118483366 38191232 40174459 0 0 46815317 48060950 10699 0 2730932 26593010 28446084 111610258 116681493 5629258 1801873 216659242 214469857 94067233 86629281 122592009 127840576 X AUGSBURG UNIVERSITY EDUCATES STUDENTS TO BE INFORMED CITIZENS, THOUGHTFUL STEWARDS, CRITICAL THINKERS, AND RESPONSIBLE LEADERS.THE AUGSBURG EXPERIENCE IS SUPPORTED BY AN ENGAGED COMMUNITY THAT IS COMMITTED TO INTENTIONAL DIVERSITY IN ITS LIFE AND WORK. AN AUGSBURG EDUCATION IS DEFINED BY EXCELLENCE IN THE LIBERAL ARTS AND PROFESSIONAL STUDIES, GUIDED BY THE FAITH AND VALUES OF THE LUTHERAN CHURCH, AND SHAPED BY ITS URBAN AND GLOBAL SETTINGS. 0 0 74685692 40174459 93503390 POSTSECONDARY EDUCATIONSET IN A VIBRANT NEIGHBORHOOD AT THE HEART OF THE TWIN CITIES, AUGSBURG UNIVERSITY OFFERS MORE THAN 50 UNDERGRADUATE MAJORS AND NINE GRADUATE DEGREES TO NEARLY 3,500 STUDENTS OF DIVERSE BACKGROUNDS. THE TRADEMARKS OF AN AUGSBURG EDUCATION ARE AN EMPHASIS UPON DIRECT, PERSONAL EXPERIENCE AND OUR DEEP COMMITMENT TO EDUCATING STUDENTS AT THE INTERSECTIONS OF FAITH, LEARNING, AND SERVICE. AUGSBURG IS RECOGNIZED AS ONE OF THE COUNTRY'S LEADING INSTITUTIONS FOR COMMUNITY ENGAGEMENT BY THE PRESIDENT'S HIGHER EDUCATION COMMUNITY SERVICE HONOR ROLL. IN ADDITION, THE UNIVERSITY WAS AWARDED THE 2012 WILLIAM M. BURKE PRESIDENTIAL AWARD FOR EXCELLENCE IN EXPERIENTIAL EDUCATION BY THE NATIONAL SOCIETY FOR EXPERIENTIAL EDUCATION. AUGSBURG RANKS AMONG THE TOP PRODUCERS OF NATIONAL AND INTERNATIONAL STUDENT FELLOWSHIP AWARDEES. OUR PASSION FOR ACCESS AND EXCELLENCE IN THE LIBERAL ARTS AND PROFESSIONAL STUDIES IS GUIDED BY THE FAITH AND VALUES OF THE LUTHERAN CHURCH, WHICH CALL THE UNIVERSITY TO EDUCATE STUDENTS TO BE INFORMED CITIZENS, THOUGHTFUL STEWARDS, CRITICAL THINKERS, AND RESPONSIBLE LEADERS. 22483501 0 2033336 ACADEMIC SUPPORT AND STUDENT SERVICESAUGSBURG UNIVERSITY PROVIDES INNOVATIVE PROGRAMMING AND SUPPORT SERVICES TO A DIVERSE COMMUNITY OF NEARLY 3,500 UNDERGRADUATE AND GRADUATE LEARNERS. THE GAGE CENTER FOR STUDENT SUCCESS PROVIDES ADVISING, TUTORING, AND OTHER ACADEMIC SUPPORT SERVICES TO ALL UNDERGRADUATE AND GRADUATE STUDENTS. THE GAGE CENTER INCLUDES CENTER FOR LEARNING AND ACCESSIBLE STUDENT SERVICES (CLASS) ACADEMIC SPECIALISTS WHO PROVIDE INDIVIDUALIZED ACCOMMODATIONS FOR STUDENTS WITH COGNITIVE, LEARNING, AND PHYSICAL DISABILITIES. THE GAGE CENTER ALSO OFFERS SUPPORT PROGRAMS FOR FIRST-GENERATION AND LOW-INCOME STUDENTS. IN ADDITION, STEPUP--AUGSBURG'S INNOVATIVE, NATIONALLY RECOGNIZED RESIDENTIAL COLLEGE RECOVERY PROGRAM--SUPPORTS 100 STUDENTS EACH YEAR WITH COUNSELING, SUBSTANCE-FREE HOUSING, AND LEADERSHIP DEVELOPMENT. FINALLY, THROUGH THE INTEGRATED SERVICES OF THE ENROLLMENT CENTER, STUDENTS AND FAMILIES CAN RECEIVE COUNSELING AND SUPPORT WITH TUITION PAYMENT PLANS, SCHOLARSHIPS, FINANCIAL AID, AND REGISTRATION. 7501933 0 9378477 AUXILIARY SERVICESAUGSBURG UNIVERSITY'S RESIDENCE LIFE PROGRAM SEEKS TO DEVELOP RESIDENTS WHO ARE BOTH STUDENTS AND NEIGHBORS IN AN URBAN COLLEGIATE SETTING. THE UNIVERSITY HAS FIVE RESIDENCE HALLS AND THREE DINING VENUES. DURING THE FALL OF 2017, AUGSBURG WAS HOME TO 875 STUDENTS, WITH MORE THAN 700 PARTICIPATING IN STUDENT MEAL PLANS. A'VIANDS DINING SERVICE STRIVES TO PROVIDE A WIDE VARIETY OF MEALS THAT MEET NUTRITIONAL AND CULTURAL REQUIREMENTS AND EDUCATE STUDENTS ABOUT NUTRITION AND SUSTAINABLE FOOD PRACTICES. A CAMPUS BOOKSTORE OFFERS A VARIETY OF FAIR TRADE GOODS FOR STUDENTS, FACULTY, STAFF, AND THE GENERAL PUBLIC. 104671126 1 1 0 1 0 0 0 0 1 1 1 1 0 0 1 1 1 0 1 1 1 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 1 0 0 0 1 X 447 0 1948 1 1 1 1 MX GT ES NU WA 0 0 0 1 1 0 0 0 0 X 35 34 0 0 0 0 1 1 1 1 1 0 0 0 1 1 1 1 1 1 0 0 MA MN X BETH REISSENWEBER 6123301000 2211 RIVERSIDE AVENUE MINNEAPOLIS MN 554541351 PAUL PRIBBENOW PRESIDENT 40.00 X X 334333 0 34921 JEFFERY NODLAND CHAIR 2.00 X X 0 0 0 DAVID TIEDE VICE CHAIR 2.00 X X 0 0 0 MARK EUSTIS TREASURER 2.00 X X 0 0 0 KAREN DURANT SECRETARY 2.00 X X 0 0 0 ANDRA ADOLFSON BOARD MEMBER 2.00 X 0 0 0 ANN ASHTON-PIPER BOARD MEMBER 2.00 X 0 0 0 STEVEN DELZER BOARD MEMBER 2.00 X 0 0 0 MATT ENTENZA BOARD MEMBER 2.00 X 0 0 0 NICHOLAS GANGESTAD BOARD MEMBER 2.00 X 0 0 0 AMIT GHOSH BOARD MEMBER 2.00 X 0 0 0 ALEXANDER GONZALEZ BOARD MEMBER 2.00 X 0 0 0 NORMAN HAGFORS BOARD MEMBER 2.00 X 0 0 0 JODI HARPSTEAD BOARD MEMBER 2.00 X 0 0 0 MARLENE WHITERABBIT HELGEMO BOARD MEMBER 2.00 X 0 0 0 BISHOP RICK HOYME BOARD MEMBER 2.00 X 0 0 0 DIANE JACOBSON BOARD MEMBER 2.00 X 0 0 0 ROLF JACOBSON BOARD MEMBER 2.00 X 0 0 0 WAYNE JORGENSON BOARD MEMBER 2.00 X 0 0 0 ERIC JOLLY BOARD MEMBER 2.00 X 0 0 0 CYNTHIA JONES BOARD MEMBER 2.00 X 0 0 0 DEAN KENNEDY BOARD MEMBER 2.00 X 0 0 0 TOBY LABELLE BOARD MEMBER 2.00 X 0 0 0 LAJUNE LANGE BOARD MEMBER 2.00 X 0 0 0 STEVE LARSON BOARD MEMBER 2.00 X 0 0 0 KAROLYNN LESTRUD BOARD MEMBER 2.00 X 0 0 0 ANDRE LEWIS BOARD MEMBER 2.00 X 0 0 0 PATRICIA LULL BOARD MEMBER 2.00 X 0 0 0 DENNIS MEYER BOARD MEMBER 2.00 X 0 0 0 PAM MOKSNES BOARD MEMBER 2.00 X 0 0 0 PAUL MUELLER BOARD MEMBER 2.00 X 0 0 0 LISA NOVOTNY BOARD MEMBER 2.00 X 0 0 0 RACHEL PRINGNITZ BOARD MEMBER 2.00 X 0 0 0 EARL SETHRE BOARD MEMBER 2.00 X 0 0 0 DEAN SUNDQUIST BOARD MEMBER 2.00 X 0 0 0 BISHOP ANN SVENNUNGSEN BOARD MEMBER 2.00 X 0 0 0 JILL THOMAS BOARD MEMBER 2.00 X 0 0 0 VICKI TURNQUIST BOARD MEMBER 2.00 X 0 0 0 NORMAN WAHL BOARD MEMBER 2.00 X 0 0 0 MARK WILHELM BOARD MEMBER 2.00 X 0 0 0 NOYA WOODRICH BOARD MEMBER 2.00 X 0 0 0 KAREN KAIVOLA PROVOST/CHIEF ACADEMIC OFFICER 40.00 X 218387 0 16559 BETH REISSENWEBER VP FOR FINANCE ADMIN/CFO 40.00 X 215249 0 22450 HEATHER RIDDLE VP-INSTITUTIONAL ADVANCEMENT 40.00 X 163730 0 11002 THOMAS MORGAN PROFESSOR 40.00 X 133938 0 13581 LEIF ANDERSON VP/CHIEF STRATEGY OFFICER 40.00 X 151326 0 22182 REBECCA JOHN VP OF MARKETING 40.00 X 143863 0 16217 ANN GARVEY VP OF STUDENT AFFAIRS 40.00 X 134866 0 14536 1495692 0 151448 25 0 1 0 MCGOUGH CONSTRUCTION INC NW 5970 PO BOX 1450 MINNEAPOLIS MN 55485 CONSTRUCTION 36290918 A'VIANDS 1751 W CTY RD B SUITE 300 ROSEVILLE MN 55113 FOOD SERVICES 2686384 BARNES & NOBLE COLLEGE 120 MOUNTAINVIEW BLVD BASKING RIDGE NJ 07920 BOOKSTORE PROVIDER 809963 METROPOLITAN MECHANICAL CONTRACTOR 7450 FLYING CLOUD DRIVE EDEN PRAIRIE MN 55344 MECHANICAL CONTRACTOR 548592 UNIT4 EDUCATION SOLUTIONS BURLINGTON WOODS SUITE 201 BURLINGTON MA 01801 ERP 485135 34 498698 3601522 7613784 778572 11714004 TUITION AND FEES 611710 93503390 93503390 AUXILIARY ENTERPRISES 711210 9378477 9378477 OTHER STUDENT SERVICES 900099 1844385 1764019 80366 EDUCATIONAL ACTIVITIES 611710 269317 269317 104995569 1125008 111 1124897 828374 678441 149933 149933 149933 4878216 4283821 27306 594395 -27306 567089 567089 94183 498698 162420 -68237 -68237 118483366 104915203 230410 1623749 40174459 40174459 1627417 531826 798678 296913 39240156 34756721 3254953 1228482 1832084 1651665 88148 92271 2806662 2463294 198995 144373 2554631 2238138 183960 132533 202098 202098 111983 111983 202067 202067 5879936 4607119 916221 356596 480705 277147 199913 3645 2236923 2073957 183001 -20035 1549690 1383677 148968 17045 3897236 3641883 255328 25 2606913 2110679 298115 198119 2023091 1352071 409051 261969 1695096 1567740 127356 4373342 4024304 346839 2199 715000 662368 52632 DUES AND FEES 1210639 622815 556178 31646 MISCELLANEOUS EXPENSES 666235 45089 638777 -17631 REFERENCE MATERIALS 482860 473671 6566 2623 EMPLOYEE TRAINING/RECRT 112270 12503 99608 159 116681493 104671126 9279435 2730932 8443227 5800226 18631575 14846899 2965233 3817275 5807974 4778634 383305 402671 5893738 6040754 20997 34439 600920 1171381 183913651 60458775 103402667 123454876 30055658 31997504 16104225 16649266 24349723 5475932 216659242 214469857 14639610 8753569 4381231 4415083 69091605 65879489 175474 1020901 5779313 6560239 94067233 86629281 X 73881840 74393399 14422423 16312829 34287746 37134348 122592009 127840576 216659242 214469857 X 1801873 3269129 177565 X 0 1 X 1 1 1 X 12244396 12098785 28456184 12419724 11714004 76933093 12244396 12098785 28456184 12419724 11714004 76933093 14303120 62629973 480167 484371 265671 1225499 1125008 3580716 80513809 492662511 0.77790 0.75720 X 0 0 0 0 0 0 0 0 0 0 0 0 1 141832 141832 0 PART II-B, LINE 1: AUGSBURG UNIVERSITY IS A MEMBER OF THE MINNESOTA PRIVATE COLLEGE COUNCIL (MPCC). ACTIVITIES CONDUCTED BY THE MPCC INCLUDE ALL PUBLIC RELATIONS AND ADVOCACY WORK, LEGISLATIVE LOBBYING, SERVING AS A FISCAL AGENT IN LIMITED CIRCUMSTANCES, CONDUCTING RESEARCH, AND PROVIDING A VEHICLE FOR COLLABORATION OF MEMBER INSTITUTIONS. ADDITIONAL ACTIVITIES PROVIDED FOR BY THE ORGANIZATION INCLUDE HANDLING ALL SHARED FUNDRAISING FOR THE BENEFIT OF THE MEMBERS, RECEIVING GRANTS FOR AND CARRYING OUT SPECIAL PROJECTS, AND PROVIDING A VEHICLE FOR COLLABORATION AMONG THE MEMBER INSTITUTIONS. A PORTION OF THIS AMOUNT, BUT NOT ALL OF IT, SUPPORTED ATTEMPTS TO INFLUENCE LEGISLATION WITHIN THE MEANING OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE ("LOBBYING"). THE AMOUNT OF LOBBYING EXPENSES PAID FROM AUGSBURG UNIVERSITY'S DUES WAS SIGNIFICANTLY LESS THAN THAT AMOUNT. 0 1 X 43878362 2153730 4227658 1586233 128803 324983 48219731 39412669 1360310 4641966 1661460 -124877 43878362 40463556 1639418 -1307331 1364011 137241 -118278 39412669 38330460 1057082 2296454 1129614 118542 -27716 40463556 34552630 1042234 3700984 1078547 113713 -226872 38330460 0.00900 0.74160 0.24950 1 0 3960439 3960439 130041977 32184330 97857647 31351139 19494904 11856235 15369798 7968734 7401064 3190298 810807 2379491 123454876 311810 C ALTERNATIVE INVESTMENTS 16253807 F CSV LIFE INSURANCE 83649 F 16649266 ANNUITIES PAYABLE 758557 U.S. GOVERNMENT GRANTS REFUNDABLE 4959883 PV CAPITAL LEASE OBLIGATIONS 258930 ENVIROMENTAL REMEDIATION 582869 6560239 X 75856102 3269129 854046 4123175 71732927 202067 46548372 46750439 118483366 77145828 840861 840861 76304967 202067 40174459 40376526 116681493 PART IV, LINE 2B: FUNDS HELD IN CUSTODY FOR OTHERS RELATES TO AGENCY FUNDS THAT AUGSBURG UNIVERSITY HELPS TO ADMINISTER. THERE ARE APPROXIMATELY 11 AGENCIES THAT AUGSBURG UNIVERSITY CURRENTLY WORKS WITH IN THIS TYPE OF RELATIONSHIP. PART V, LINE 4: THE UNIVERSITY ENDOWMENT CONSISTS OF APPROXIMATELY 350 INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES BASED ON DONOR RESTRICTIONS AND BOARD DESIGNATIONS. PART X, LINE 2: THE UNIVERSITY HAS RECEIVED A DETERMINATION LETTER FROM THE INTERNAL REVENUE SERVICE INDICATING IT IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND IS SUBJECT TO FEDERAL AND STATE INCOME TAX ONLY ON NET UNRELATED BUSINESS INCOME. THE UNIVERSITY ENGAGES IN ACTIVITIES THAT ARE CONSIDERED UNRELATED TO ITS EXEMPT PURPOSE. THESE ACTIVITIES ARE SUBJECT TO FEDERAL AND STATE INCOME TAXES. SUCH ACTIVITIES GENERATED A LOSS POSITION IN FISCAL 2018 AND A LOSS POSITION IN FISCAL 2017. FURTHER, THE UNIVERSITY HAS A NET OPERATING LOSS CARRY-FORWARD AVAILABLE TO OFFSET ANY TAXABLE INCOME FROM THESE UNRELATED ACTIVITIES. ACCORDINGLY, NO FEDERAL OR STATE TAX PROVISION IS REQUIRED. THE NET OPERATING LOSSES BEGIN TO EXPIRE IN 2034. THE UNIVERSITY ADOPTED ACCOUNTING STANDARDS FOR CONTINGENCIES IN EVALUATING UNCERTAIN TAX POSITIONS AND FILES AS A TAX-EXEMPT ORGANIZATION. NO ADJUSTMENTS TO THE FINANCIAL STATEMENTS WERE REQUIRED AS A RESULT OF THE IMPLEMENTATION OF THIS STANDARD. THE UNIVERSITY HAS NO CURRENT OBLIGATION FOR UNRELATED BUSINESS INCOME TAX. THE UNIVERSITY TAX RETURNS ARE SUBJECT TO REVIEW AND EXAMINATION BY FEDERAL AUTHORITIES. SHOULD THAT STATUS BE CHALLENGED IN THE FUTURE, THE TAX RETURNS FOR THE YEARS 2014 THROUGH 2017 ARE SUBJECT TO REVIEW BY FEDERAL AUTHORITIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN ALLOWANCE FOR UNCOLLECTIBLE PLEDGES -14,121. SPECIAL EVENT EXPENSES 162,420. RENTAL EXPENSES 678,441. LOSS ON DISPOSAL OF FIXED ASSETS 27,306. PART XI, LINE 4B - OTHER ADJUSTMENTS: SCHOLARSHIPS AND GRANTS 40,174,459. NON-OPERATING INVESTMENT INCOME 2,622,941. NON-OPERATING GIFTS AND GRANTS 3,750,972. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 162,420. RENTAL EXPENSES 678,441. PART XII, LINE 4B - OTHER ADJUSTMENTS: SCHOLARSHIPS AND GRANTS 40,174,459. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE STATEMENT IS PUBLISHED AT VARIOUS TIMES THROUGHOUT THE YEAR IN REGIONAL NEWSPAPERS ANNOUNCING REGISTRATION DATES AND PROGRAMS OFFERED. THE UNIVERSITY FOLLOWS A NONDISCRIMINATORY POLICY REGARDING ALL PROGRAMS. ENROLLMENT OF STUDENTS IS WITHOUT DISCRIMINATION AS TO RACE, RELIGION, SEX, COLOR OR NATIONAL ORIGIN. RECRUITMENT PROCEDURES ARE DESIGNED AND CARRIED OUT TO REACH STUDENTS OF ALL RACIAL SEGMENTS IN THE GEOGRAPHICAL AREA SERVED. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY RECEIVES SUPPORT FROM THE STATE OF MINNESOTA AND FROM THE UNITED STATES GOVERNMENT IN CONNECTION WITH STUDENT AID PROGRAMS SUCH AS FEDERAL AND MINNESOTA COLLEGE WORK-STUDY PROGRAMS, PELL GRANTS, SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS AND PERKINS LOAN FUNDS. THE UNIVERSITY ALSO RECEIVES VARIOUS OTHER FEDERAL AND STATE EDUCATIONAL AND RESEARCH GRANTS OR SUBSIDIES. 1 CENTRAL AMERICA & CARIBBEAN 3 9 PROGRAM SERVICES INSTRUCTION 1651990 CENTRAL AMERICA & CARIBBEAN 0 0 INVESTMENTS N/A 123753 EAST ASIA & THE PACIFIC 0 0 PROGRAM SERVICES INSTRUCTION 10336 EAST ASIA & THE PACIFIC 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 123 EAST ASIA & THE PACIFIC 0 0 PROGRAM SERVICES STUDENT SERVICES 7319 EUROPE 0 0 PROGRAM SERVICES INSTRUCTION 260051 EUROPE 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 7767 EUROPE 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 915 EUROPE 0 0 PROGRAM SERVICES STUDENT SERVICES 288832 NORTH AMERICA 1 9 PROGRAM SERVICES INSTRUCTION 840896 NORTH AMERICA 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 32245 NORTH AMERICA 0 0 PROGRAM SERVICES STUDENT SERVICES 547 MIDDLE EAST & NORTH AFRICA 0 0 PROGRAM SERVICES INSTRUCTION 225 MIDDLE EAST & NORTH AFRICA 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 27750 MIDDLE EAST & NORTH AFRICA 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 2355 SUB-SAHARAN AFRICA 1 8 PROGRAM SERVICES INSTRUCTION 917557 3 9 2 17 5 26 2062254 2110407 4172661 1 0 1 1 0 0 PART I, LINE 2: THE MAJORITY OF EXPENDITURES RELATE TO WIRE TRANSFERS MADE TO FOREIGN OFFICES TO COVER PAYMENTS MADE DIRECTLY OUT OF THESE OFFICES FOR EXPENDITURES INCURRED FOR INSTRUCTION OF STUDENTS WHILE ATTENDING COURSES AT THESE LOCATIONS. REMAINING EXPENDITURES RELATE TO PAYMENTS MADE DIRECTLY TO VENDORS FOR SERVICES PROVIDED TO THE UNIVERSITY BY FOREIGN VENDORS. ALL REQUESTS FOR PAYMENTS/WIRES ARE REVIEWED AND APPROVED BY APPROPRIATE SUPERVISORS OF THE RELATED DEPARTMENT. AUGSBURG UNIVERSITY OFFERS SCHOLARSHIPS AND GRANTS TO QUALIFIED STUDENTS TO HELP REDUCE THEIR OUT-OF-POCKET TUITION COSTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE OF THIS FORM MUST MEET SPECIFIC CRITERIA SUCH AS ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS WHETHER PUT IN PLACE BY THE UNIVERSITY OR BY DONORS. PART I, LINE 3: THE UNIVERSITY USES THE ACCRUAL METHOD TO REPORT EXPENDITURES ON SCHEDULE F. STEPUP GALA 516244 457883 58361 28510 104691 A-CLUB GOLF 56430 32250 24180 1600 5016 3170 7520 2330 2 20207 8565 11642 156 4534 2748 2145 592881 498698 94183 1756 9550 34428 7520 109166 162420 -68237 1 TUITION ASSISTANCE AND SCHOLARSHIPS 3022 40174459 0 N/A N/A PART I, LINE 2: AUGSBURG UNIVERSITY OFFERS SCHOLARSHIPS AND GRANTS TO QUALIFIED STUDENTS TO HELP REDUCE THEIR OUT-OF-POCKET TUITION COSTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE OF THIS FORM MUST MEET SPECIFIC CRITERIA SUCH AS ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS WHETHER PUT IN PLACE BY THE UNIVERSITY OR BY DONORS OF RESTRICTED FUNDS. X X 1 1 X X X X 0 0 0 0 0 0 0 0 0 PAUL PRIBBENOW PRESIDENT 330696 0 0 0 3637 0 20778 0 14143 0 369254 0 0 0 KAREN KAIVOLA PROVOST/CHIEF ACADEMIC OFFICER 216852 0 0 0 1535 0 14255 0 2304 0 234946 0 0 0 BETH REISSENWEBER VP FOR FINANCE ADMIN/CFO 214547 0 0 0 702 0 11286 0 11164 0 237699 0 0 0 HEATHER RIDDLE VP-INSTITUTIONAL ADVANCEMENT 163534 0 0 0 196 0 0 0 11002 0 174732 0 0 0 LEIF ANDERSON VP/CHIEF STRATEGY OFFICER 150755 0 0 0 571 0 12798 0 9384 0 173508 0 0 0 REBECCA JOHN VP OF MARKETING 143798 0 0 0 65 0 11538 0 4679 0 160080 0 0 0 PART I, LINE 1A PAUL PRIBBENOW - RESIDENCE FOR PERSONAL USE AND HEALTH OR SOCIAL CLUB DUES - NOT INCLUDIBLE IN TAXABLE INCOME A MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 60416HHS6 2006-07-27 5000000 MULTIPLE FACILITIES 0 0 0 B MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 60416HUF9 2010-10-13 8936602 REFINANCE SERIES 4-Y BONDS 0 0 0 C MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 60416HE42 2014-07-30 6705000 REFINANCE SERIES 6-C BONDS 0 0 0 D MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 2015-04-15 12400000 REFINANCE SERIES 6-J1 BONDS 0 0 0 A 3400000 5000000 99000 26500 4874500 2008 0 0 1 1 B 5801602 8936602 172187 8764415 2010 1 0 1 1 C 2120000 6705000 505928 134100 6064972 2014 1 0 1 1 D 1175000 12400000 90613 12309387 2015 1 0 1 1 A 0 1 1 1 0 0.01060 0.00000 0.01060 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 1 1 1 0 0.02620 0.00000 0.02620 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 1 0 0 0 0 0 0 1 D 0 1 0 0 1 0 0 0 1 A 1 B 1 C 1 D 1 A MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 2016-12-01 32240000 CSBR FINANCING 0 0 0 B MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 60416H2T0 2016-12-01 13680000 CSBR FINANCING 0 0 0 A 33836864 2611717 1328839 366737 29529571 2017 0 0 1 1 B 1305000 13584240 1108197 155614 12320429 2017 0 0 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 A 0 0 0 0 1 0 0 0 1 B 0 0 0 0 1 0 0 0 1 A 1 B 1 WILLIAM FRAME FORMER OFFICER LOAN AGAINST LIFE INSURANCE POLICY X 194965 402671 0 1 1 402671 X 30 730593 STOCK MARKET QUOTES X AUCTION ITEMS 194 47979 ESTIMATED FMV 0 0 1 0 PART I, COLUMN (B): COLUMN (B) REPORTS THE NUMBER OF CONTRIBUTORS FOR PUBLICLY TRADED SECURITIES AND NUMBER OF ITEMS CONTRIBUTED FOR SPECIAL EVENT AUCTION ITEMS. FORM 990, PART VI, SECTION A, LINE 1 THE EXECUTIVE COMMITTEE CONSISTS OF THE CHAIR AND OTHER OFFICERS, PLUS AT LEAST FOUR OTHER MEMBERS ELECTED BY THE BOARD OF REGENTS. THE EXECUTIVE COMMITTEE HAS THE AUTHORITY OF THE BOARD OF REGENTS IN THE MANAGEMENT OF THE BUSINESS OF THE UNIVERSITY IN THE INTERVAL BETWEEN MEETINGS OF THE BOARD OF REGENTS, AND THE EXECUTIVE COMMITTEE IS AT ALL TIMES SUBJECT TO THE CONTROL AND DIRECTION OF THE BOARD OF REGENTS. FORM 990, PART VI, SECTION A, LINE 6 THE VOTING MEMBERS OF THE UNIVERSITY ARE THE GOVERNING MEMBERS. THE GOVERNING MEMBERSHIP CONSISTS OF: (1) SEVENTY-SIX MEMBERS FROM THE FOLLOWING SYNODS OF THE EVANGELICAL LUTHERAN CHURCH IN AMERICA: MINNEAPOLIS AREA SYNOD, SAINT PAUL AREA SYNOD, SOUTHEASTERN MINNESOTA SYNOD, AND NORTHWEST SYNOD OF WISCONSIN. EACH SUCH SYNOD SHALL HAVE REPRESENTATION WHICH SHALL BE PROPORTIONATE TO ITS COMPARATIVE BAPTIZED MEMBERSHIP; (2) THE BISHOP, OR THE BISHOP'S DESIGNEE, FROM EACH SUCH SYNOD; (3) TEN MEMBERS FROM THE BOARD OF REGENTS; (4) FOUR MEMBERS FROM THE FACULTY: THE CHAIR OF THE FACULTY SENATE AND THE CHAIRS OF AUGSBURG UNIVERSITY'S THREE DIVISIONS-FINE ARTS AND HUMANITIES, NATURAL AND SOCIAL SCIENCES, AND PROFESSIONAL STUDIES; (5) THREE MEMBERS OF THE UNIVERSITY ADMINISTRATION DETERMINED IN THE DISCRETION OF THE PRESIDENT; AND (6) TWO CURRENT STUDENTS HOLDING ELECTED SEATS AS MEMBERS OF THE STUDENT GOVERNMENT. MEMBERS FROM EACH CONSTITUENT GROUP SHALL BE SELECTED BY PROCEDURES DETERMINED BY THEIR PARTICULAR BODY UNLESS OTHERWISE SPECIFIED IN THESE BYLAWS. FORM 990, PART VI, SECTION A, LINE 7A THE GOVERNING MEMBERSHIP ELECTS THE MEMBERS OF THE UNIVERSITY'S BOARD OF REGENTS AND THE NOMINATING COMMITTEE. THE GOVERNING MEMBERSHIP ALSO ESTABLISHES AND ELECTS MEMBERS TO SUCH OTHER COMMITTEES IT DEEMS NECESSARY TO CONDUCT ITS BUSINESS. FORM 990, PART VI, SECTION A, LINE 7B THE GOVERNING MEMBERSHIP MUST APPROVE AMENDMENTS TO THE ARTICLES OF INCORPORATION OR BYLAWS OF THE UNIVERSITY, TO MERGE OR CONSOLIDATE WITH ANOTHER CORPORATION, TO DISPOSE OF ALL OR SUBSTANTIALLY ALL THE ASSETS OF THIS UNIVERSITY, OR TO DISSOLVE THE UNIVERSITY. THE GOVERNING MEMBERSHIP RECEIVES REPORTS FROM THE BOARD OF REGENTS AND ADMINISTRATION OF THE UNIVERSITY AND GENERALLY ACQUAINTS ITSELF WITH THE PROGRESS AND NEEDS OF THE UNIVERSITY. ITS OBJECTIVES ARE TO STRENGTHEN THE UNIVERSITY SPIRITUALLY AND ACADEMICALLY, TO PROMOTE THE UNIVERSITY IN APPROPRIATE FORUMS, AND TO PROVIDE WHATEVER OTHER FORMS OF ASSISTANCE IT MAY FIND FEASIBLE AND APPROPRIATE. IT MAY MAKE RECOMMENDATIONS TO THE BOARD OF REGENTS AS IT DEEMS ADVISABLE. FORM 990, PART VI, SECTION B, LINE 11B AN INDEPENDENT PUBLIC ACCOUNTING FIRM PREPARES THE FORM 990 BASED ON DATA SUPPLIED BY MANAGEMENT OF THE UNIVERSITY. THE DRAFT OF THE FORM 990 IS REVIEWED BY MANAGEMENT WITH ANY CORRECTIONS AND CHANGES BEING INCORPORATED INTO THE DOCUMENT. THE UPDATED DRAFT OF THE FORM 990 IS PROVIDED TO THE AUDIT COMMITTEE FOR THEIR REVIEW AND APPROVAL FOR SUBMISSION. A PUBLIC INSPECTION COPY OF THE FORM 990 IS MADE AVAILABLE TO THE BOARD OF REGENTS PRIOR TO SUBMISSION. FORM 990, PART VI, SECTION B, LINE 12C AUGSBURG UNIVERSITY HAS BOTH A CONFLICT OF INTEREST POLICY SPECIFIC TO ITS BOARD OF REGENTS AND EMPLOYEES TO PROTECT AND SAFEGUARD THE INTERESTS OF AUGSBURG UNIVERSITY. EACH YEAR, THE BOARD OF REGENTS ARE REQUIRED TO DISCLOSE ANY POTENTIAL OR ACTUAL CONFLICTS OF INTEREST IN THEIR SERVICE TO AUGSBURG UNIVERSITY. SUCH FORMS ARE REVIEWED BY THE BOARD CHAIR, OR HIS/HER DESIGNEE, WITH APPROPRIATE ACTION TAKEN. REGENTS ARE REQUIRED TO DISCLOSE ANY CONFLICT PRIOR TO DISCUSSION AT MEETINGS AND TO RECUSE THEMSELVES FROM VOTING, AS RECORDED IN THE MINUTES. AUGSBURG UNIVERSITY ALSO SEEKS TO AVOID CONFLICTS BETWEEN THE PERSONAL INTERESTS OF EMPLOYEES AND THE INTERESTS OF THE UNIVERSITY. IN THE EVENT AN EMPLOYEE OR THEIR FAMILY MEMBER MAY HAVE A FINANCIAL, PERSONAL, OR PROFESSIONAL INTEREST THAT COULD POTENTIALLY CREATE AN ADVERSE CONFLICT OF INTEREST INVOLVING THE UNIVERSITY, THE EMPLOYEE IS REQUIRED TO PROVIDE WRITTEN DISCLOSURE TO THE APPROPRIATE VICE PRESIDENT. THE EMPLOYEE IS THEN REQUIRED TO REFRAIN FROM PARTICIPATING IN THE UNIVERSITY'S CONSIDERATION OR PROCESSING OF THE TRANSACTION TO AVOID ANY INFLUENCE UPON SUCH TRANSACTION. FORM 990, PART VI, SECTION B, LINE 15A THE PRESIDENT'S COMPENSATION IS REVIEWED, AND ADJUSTED IF NECESSARY, ANNUALLY BY THE BOARD OF REGENTS EXECUTIVE COMMITTEE. IN YEARS WHERE AN EXTERNAL FIRM IS NOT ENGAGED, HUMAN RESOURCES PROVIDES SURVEY DATA FROM THE COLLEGE AND UNIVERSITY PROFESSIONAL ASSOCIATION FOR HUMAN RESOURCES (CUPA-HR). THIS INFORMATION IS BASED ON OVER 150 SCHOOLS THAT COMPARE TO AUGSBURG REGARDING ENROLLMENT SIZE, ACADEMIC PROGRAMS, BUDGET SIZE, AS WELL AS OTHER ELCA COLLEGES. THIS INFORMATION IS SENT TO THE EXECUTIVE COMMITTEE EACH SUMMER AND THEN THE REVIEW OCCURS DURING THE NEXT FEW MONTHS BEFORE BEING COMMUNICATED TO THE PRESIDENT IN FALL BY THE BOARD CHAIR. IF A SALARY INCREASE IS APPROVED BY THE BOARD, A PERSONNEL ACTION REQUEST FORM IS SUBMITTED. THE INDEPENDENT REVIEW PROCESS WAS UNDERTAKEN FOR THE PRESIDENT IN 2017, WITH THE RESULTS BEING PRESENTED TO THE BOARD. THE INDEPENDENT REVIEW OF SALARY AND BENEFITS WAS CONDUCTED BY AN EXTERNAL FIRM. THE REPORT WAS SUBMITTED TO THE BOARD OF REGENTS FOR THEIR REVIEW; THE BOARD DETERMINED THE SALARY CHANGE. THE PRESIDENT ANNUALLY REVIEWS THE COMPENSATION FOR ALL MEMBERS OF THE PRESIDENT'S LEADERSHIP TEAM (PLT). HE DETERMINES THE COMPENSATION FOR HIS DIRECT REPORTS, BUT LEAVES THE FINAL DECISION TO THE APPROPRIATE VICE PRESIDENT FOR EMPLOYEES THAT DO NOT REPORT DIRECTLY TO HIM. HUMAN RESOURCES PROVIDES SURVEY DATA FROM THE COLLEGE AND UNIVERSITY PROFESSIONAL ASSOCIATION FOR HUMAN RESOURCES (CUPA-HR), AS WELL AS INDUSTRY SPECIFIC COMPENSATION INFORMATION FOR CERTAIN POSITIONS. THE CUPA-HR SALARY INFORMATION IS BASED ON APPROXIMATELY 150 COLLEGES BOTH NATIONALLY AND ACROSS THE MIDWEST AND INCLUDES INSTITUTIONS WITH SIMILAR STUDENT ENROLLMENT AND BUDGET SIZE, AS WELL AS OTHER ELCA COLLEGES. HUMAN RESOURCES PROVIDES THIS INFORMATION TO THE PRESIDENT EACH SPRING/SUMMER, AND THE REVIEW OCCURS DURING THE NEXT FEW MONTHS. THE PRESIDENT COMMUNICATES THE COMPENSATION INCREASE TO THE PLT MEMBER AND HUMAN RESOURCES ENSURES A PERSONNEL ACTION REQUEST FORM IS COMPLETED. AN INDEPENDENT REVIEW BY AN EXTERNAL VENDOR FOR VARIOUS MEMBERS OF THE PRESIDENT'S LEADERSHIP TEAM WAS LAST CONDUCTED IN SPRING 2013. IN MAY 2017, AN INTERNAL REVIEW OF SALARY USING CUPA-HR DATA WAS CONDUCTED. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: ADJUSTMENT OF ACTUARIAL LIABILITY -65,441. CHANGE IN ALLOWANCE FOR UNCOLLECTIBLE PLEDGES 243,006. ZEBRA INVESTMENTS SIX LIMITED FIVE SIMPSON STREET WINDHOEK WEST WA FOREIGN CAMPUS WA AUGSBURG UNIVERSITY C 311810 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0