2018-04-16T16:44:04-05:00 2017-05-31 135565207 KPMG LLP 300 North Greene Street Suite 400 Greensboro NC 27401 990 2016-06-01 590624458 University of Miami UNIV 3052844877 PO Box 248106 Coral Gables FL 331242912 Brandon Gilliland Vice President & CFO 3052842258 2018-04-13 0 David Stark P00892024 3362753394 129.171.249.145 2018-04-16 17:42:31 ED P C59DC8B6CAC147B7F75EFBDAFB529DC1A601FCAE B057DB09EA6B67EA8D43F1A285CD4129FADCD985 2016 2021-01-29 14:40:06Z Julio Frenk 1252 Memorial Dr Rm 230 CG FL 33146 4302945919 0 X WWW.MIAMI.EDU X 1925 FL The University of Miami's mission is to educate and nurture students, to create knowledge through its comprehensive research programs, and to provide patient care services to our community and beyond. 69 58 25550 683 5231453 -325797 684757248 800273551 2580444930 2689424253 32449953 94060692 19122691 13071423 3316774822 3596829919 434283744 452892983 0 0 1695850606 1783808870 538246 557078 23574078 1113539345 1187168451 3244211941 3424427382 72562881 172402537 3805344338 3989960318 2064502313 1987160169 1740842025 2002800149 X See Form 990, Part I, Line 1, Description of Organization Mission. 0 0 1062994653 393253744 768650254 See Schedule OInstruction, academic support, student services:The University of Miami (UM) is a private not-for-profit institution with more than 16,000 students. The University's 11 colleges and schools offer the following degree options: 133 bachelors, 139 masters, and 68 doctoral (64 research/scholarship and 4 professional practice).The School of Architecture, founded in 1983, offers accredited professional undergraduate and graduate degrees in architecture and several post-professional graduate degrees. Programs include the professional Bachelor of Architecture (B.Arch) and the Master of Architecture (M.Arch); the post-professional Master of Science in Architecture (M.S.Arch) with 2 possible tracks- Architectural Design and Architectural Studies; the Master of Urban Design (M.U.D); and the Master of Real Estate Development and Urbanism (M.R.E.D.U.), an interdisciplinary one-year graduate program that draws on the real-life experience of Developers-in-Residence and faculty support from the Schools of Business Administration and Law as well as Architecture. The College of Arts and Sciences enrolls over 4,200 undergraduate and 600 graduate students in 20 departments and 10 interdisciplinary programs. Sixteen departments offer graduate degrees in the fine arts, natural sciences, humanities, and social sciences.The College of Engineering comprises five departments that offer degrees in aerospace, architectural, biomedical, civil, computer, electrical, environmental, industrial, and mechanical engineering, as well as engineering science. The College of Engineering offers five-year B.S./M.S. degree programs for our undergraduates, as well as traditional master's and doctoral degrees in a number of disciplines, with several specializations in each field of study. Consistent with the tradition of collaboration among the University of Miami schools and colleges, engineering students participate in a number of interdisciplinary programs as well as joint research projects with other faculty and academic units at UM. Consisting of over 1,000 undergraduate students and over 200 graduate students, the College boasts an impressively diverse student body, consisting of students from 45 different countries. At the undergraduate level, 23% of the student population is Hispanic and 9% is Black. Females represent 31% of the students (compared to an 18% national average, according to the most recent statistics from the American Society for Engineering Education).The School of Law presently enrolls around 1,192 candidates for either J.D., LL.M. or dual degrees, and has over 20,000 alumni worldwide. The J.D. program enrolls approximately 1,026 students from more than 113 colleges and universities throughout the United States. Of the entering J.D. students, approximately 49% are women, 47% are members of minority groups, and 35% are from outside Florida. 60% speak one or more foreign language. The School offers graduate programs in International Law (specializations in Inter-American Law, General International Law, and U.S. and Transnational Law for Foreign Lawyers), International Arbitration, Maritime Law, Entertainment, Art and Sports, Taxation, Taxation of Cross Border Investments, Estate Planning, and Real Property Development, the latter 2 offer courses online as well as on-campus. The graduate program in International Law includes three different specializations. The School also offers several joint degree programs. It is the only law school to offer a J.D./Master's in Music Business, J.D./M.A. in Arts Presenting, and J.D/M.A. in Latin American Studies. In addition, the School offers a J.D./M.B.A., J.D./M.P.S. in Marine Affairs, J.D./M.P.H. in Public Health, J.D./M.S. Ed. in Law, Community and Social Change, J.D./PH.D. in Law and Environmental Policy, J.D./M.D., J.D./M.P.A. in Public Administration, J.D./LL.M. in Tax, International Law, Maritime Law, Estate Planning or Real Property Development, and a J.D./M.B.A./LL.M. in Tax, Real Property Development or Estate Planning. The School is regularly ranked among the top law schools by U.S. News and World Report for Tax Programs, and its alumni are regularly featured in Super Lawyers Magazine.The Leonard M. Miller School of Medicine has grown rapidly in both size and reputation, earning international acclaim for research, clinical care, and biomedical innovations. Our 800 medical students are joined by 1,200 residents, 580 graduate students and over 190 postdoctoral fellows, and we have one of the largest graduate medical education systems in the country. Along with the M.D. degree, the school offers a combined M.D./Ph.D. program, a 5-year M.D./M.B.A. program, a 4-year and a 5-year M.D./M.P.H. program and 4-year M.D./M.S. in Genomic Medicine, a six-year M.D./J.D. program, graduate degrees in ten areas, postdoctoral programs, and continuing medical education courses. 383442494 36883499 98431015 See Schedule OResearch and Public Service:UM has been classified by the Carnegie Commission as a Doctoral University with Highest Research Activity. The School of Architecture's areas of focus include Urban Design, Planning & Real Estate Development, Construction Management, Technology and Computation, Coastal Resilience, Health and the Built Environment, Historical Preservation and Adaptive Use, Classical and Traditional Design, Housing and Hospitality Design, Building in the Caribbean, Latin America and the Tropical World, Architectural History, and Theory. Faculty and students are actively engaged in interdisciplinary research with numerous schools including the Miller School of Medicine, The Leonard and Jayne Abess Center for Ecosystem Science and Policy and the Center for Computational Science. The College of Arts and Sciences provides numerous community outreach activities, including student musical theatre productions at the Jerry Herman Ring Theatre and Alvin Sherman Family Stage; student, faculty, and visiting artist exhibitions in the Project Space in the design district of downtown Miami; faculty curated exhibitions at the Lowe Art Museum; lectures and other educational programs sponsored by the Center for the Humanities; volunteer activities in the public schools, hospitals and community clinics for developmentally disabled children; technology workshops for Miami-Dade public school teachers sponsored by the Department of Modern Languages Laboratory; and a series of programs, hosted by several departments and funded by various federal agencies and private foundations, to enhance the diversity of students pursuing scientific careers through research opportunities for pre-college and undergraduate students; and career development opportunities for high-school and community-college faculty.The School of Law offers externship programs and foreign exchange programs in Argentina, Belgium, Brazil, China, Colombia, France, Germany, India, Ireland, Israel, Spain, Switzerland, and Vietnam. The School's award-winning clinics, focusing on different areas of the law, offer exceptional training grounds and give students practical, hands-on lawyering while also helping needy and underrepresented individuals. The School is also home to LawWithoutWalls (LWOW), an innovative academic model that brings together students, faculty, practitioners, and entrepreneurs from around the country and the world to explore innovation in legal education and practice.The Rosenstiel School of Marine & Atmospheric Science is one of the leading oceanographic research and education institutions in the nation. Known originally as the University's marine laboratory, it was founded in 1943. It evolved into the Institute for Marine Science in 1961, and eight years later became the Rosenstiel School of Marine & Atmospheric Science (RSMAS) within the University of Miami. The Virginia Key campus has grown to include modern research and teaching facilities, a dedicated academic library, and an internationally recognized Marine Invertebrate Museum. RSMAS also operates a state-of-the-art 96-foot catamaran research vessel, the F.G. Walton Smith. The latest addition to RSMAS research and education infrastructure is the Helicopter Observation Platform (HOP), a flying scientific laboratory equipped with state-of-the-art technology and scientific instrumentation, which provides scientists with a unique capability to obtain vital information on environmental processes and mechanisms that affect our climate and impact human health. CSTARS (Center for Southeastern Tropical Advanced Remote Sensing), located on the Richmond campus in south Miami-Dade county was launched in 2003, and conducts research with remotely sensed data received from earth-orbiting satellite systems. This state-of-the-art real-time reception and analysis facility provides data for environmental monitoring. The predictive power concentrated on this 78-acre campus is helping to provide vital, life-saving information regarding earthquakes, hurricanes, typhoons, freak waves and other natural and manmade disasters, including monitoring of the earthquakes in Haiti and Chile, and oil spills.The Leonard M. Miller School of Medicine has been designated a Center for AIDS Research (CFAR) in Florida, and is leading the University's prestigious Clinical and Translational Science Institute (CTSI), awarded by the NIH. Other clinical and research programs include the John P. Hussman Institute for Human Genomics, the Interdisciplinary Stem Cell Institute, the Dr. John T. Macdonald Foundation Biomedical Nanotechnology Institute, the Miami Transplant Institute, The Miami Project to Cure Paralysis, the Diabetes Research Institute, the Mailman Center for Child Development, and many more. 1278183708 26370 1687264325 See Schedule OHealth Care:Located north of downtown Miami near the Civic Center in the Miami Health District, the Leonard M. Miller School of Medicine's campus consists of approximately 72-acres of owned and leased land within the 153-acre University of Miami/Jackson Memorial Hospital complex. Each year the University of Miami Health System's nearly 1,400 physicians represent more than 100 specialties and subspecialties and have more than two million scheduled patient encounters with outcomes that are among the best in the nation. The health system is comprised of Sylvester/UMHC, Bascom Palmer Eye Institute, and University of Miami Hospital. Bascom Palmer has been recognized as the number one eye hospital in the country for 16 years by U.S. News & World Report in its annual "America's Best Hospitals" issue. In addition to the three University-owned hospitals, there are also three primary hospitals affiliated with UHealth: Jackson Memorial Hospital, the primary teaching hospital for the medical school; Holtz Children's Hospital; and the Bruce W. Carter VA Medical Center. There are also about three dozen outpatient clinics across Miami-Dade, Broward, Palm Beach, and Collier counties. The Lennar Foundation Medical Center, the new Coral Gables campus location of UHealth, opened in 2016. The 200,000-square-foot diagnostic and treatment center provides the local community more convenient access to world-class medical care provided by UM physicians and specialists. 512384254 22729369 135078659 Expenses primarily represent auxiliary enterprises, including intercollegiate athletics, parking, student housing and student dining. Other program services revenues primarily represent auxiliary enterprises revenue, investment income, and investment losses. 512384254 22729369 135078659 3237005109 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 1 1 1 1 0 1 1 1 1 1 1 1 0 0 0 0 0 1 0 1 0 1 1 0 0 1 1 1 1 0 0 1 24346 0 1 25550 1 1 1 1 BD 0 0 0 1 1 0 0 0 0 X 69 58 1 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 FL X Gabriel G Eszterhas Associate VP & Controller 3052844877 1320 S Dixie Highway Suite 150 Coral Gables FL 331462912 X Leonard Abess Trustee 20.00 X 0 0 0 Michael I Abrams Trustee 1.00 X 0 0 0 Betty G Amos Trustee 3.00 X 0 0 0 Jose P Bared Trustee 4.00 X 0 0 0 Hilarie Bass Trustee & Vice Chair 6.00 X 0 0 0 Jon Batchelor Trustee 2.00 X 0 0 0 Brenda Yester Baty Trustee 2.00 X 0 0 0 Doyle Beneby Trustee 3.00 X 0 0 0 Fred Berens Trustee 1.00 X 0 0 0 Tracey Berkowitz Trustee 5.00 X 0 0 0 Joaquin F Blaya Trustee 6.00 X 0 0 0 Marc Buoniconti Trustee/Senior Director 10.00 X 174504 0 3611 Nicholas A Buoniconti Trustee 10.00 X 0 0 0 M Anthony Burns Trustee 5.00 X 0 0 0 John E Calles Trustee 1.00 X 0 0 0 Alfred R Camner Trustee 3.00 X 0 0 0 Wayne E Chaplin Trustee 2.00 X 0 0 0 Adriana Cisneros Trustee 3.00 X 0 0 0 Charles E Cobb Trustee 3.00 X 0 0 0 Edward A Dauer Trustee / Faculty Member 40.00 X 96347 0 27848 Carlos M de la Cruz Sr Trustee 3.00 X 0 0 0 Paul J DiMare Trustee 4.00 X 0 0 0 Joseph Echevarria Trustee 6.00 X 0 0 0 David L Epstein Trustee 2.00 X 0 0 0 Richard D Fain Trustee & Chair 20.00 X 0 0 0 George Feldenkreis Trustee 2.00 X 0 0 0 Miguel B Fernandez Trustee 2.00 X 0 0 0 Phillip Frost Trustee 2.00 X 0 0 0 Angel Vicente Gallinal Trustee 1.50 X 0 0 0 Phillip T George Rose Trustee 3.00 X 0 0 0 Kourtney Gibson Trustee 2.00 X 0 0 0 Thelma VA Gibson Trustee 1.00 X 0 0 0 Steven J Green Trustee 1.00 X 0 0 0 Rose Ellen Greene Trustee 2.00 X 0 0 0 Carlos M Gutierrez Trustee 2.00 X 0 0 0 Barbara Hecht Havenick Trustee 5.00 X 0 0 0 Allan M Herbert Trustee 10.00 X 0 0 0 Marilyn J Holifield Trustee 5.00 X 0 0 0 Frank R Jimenez Trustee 3.00 X 0 0 0 Noor Joudi Trustee 1.00 X 0 0 0 Manuel Kadre Trustee 5.00 X 0 0 0 Bernard J Kosar Jr Trustee 10.00 X 0 0 0 David Kraslow Trustee 1.00 X 0 0 0 Marus Lemonis Trustee 1.00 X 0 0 0 Susan Lytle Lipton Trustee 1.00 X 0 0 0 Daniela Lorenzo Trustee 2.00 X 0 0 0 Jayne Sylvester Malfitano Trustee 4.00 X 0 0 0 Robert A Mann Trustee 12.00 X 0 0 0 Stuart A Miller Trustee 13.00 X 0 0 0 William L Morrison Trustee 2.00 X 0 0 0 Judi Prokop Newman Trustee 0.50 X 0 0 0 Arva Moore Parks Trustee 2.00 X 0 0 0 Jorge M Perez Trustee 3.00 X 0 0 0 Thomas E Pfeiffer Trustee 3.00 X 0 0 0 Michael Piechoski Trustee 4.00 X 0 0 0 Aaron S Podhurst Trustee 5.00 X 0 0 0 Lois Pope Trustee 2.00 X 0 0 0 Alex E Rodriguez Trustee 2.00 X 0 0 0 Steven J Saiontz Trustee 5.00 X 0 0 0 Alessandra San Roman Trustee 10.00 X 0 0 0 Marvin R Shanken Trustee 1.00 X 0 0 0 Laurie S Silvers Trustee 2.00 X 0 0 0 HT Smith Jr Trustee & Vice Chair 7.00 X 0 0 0 Jacquelyn R Soffer Trustee 2.00 X 0 0 0 Steven Sonberg Trustee 1.00 X 0 0 0 E Roe Stamps IV Trustee 2.00 X 0 0 0 Ronald G Stone Trustee 10.00 X 0 0 0 Johnny C Taylor Jr Trustee 3.00 X 0 0 0 Patricia W Toppel Trustee 2.00 X 0 0 0 Ana VeigaMilton Trustee 2.00 X 0 0 0 Alejandro F Vicencio Trustee 5.00 X 0 0 0 Jonathan Vilma Trustee 5.00 X 0 0 0 David R Weaver Trustee 5.00 X 0 0 0 Geisha Jimenez Williams Trustee 5.00 X 0 0 0 G Ed Williamson II Trustee 2.00 X 0 0 0 Thomas D Wood Sr Trustee 1.00 X 0 0 0 Julio Frenk President 80.00 X X 1345611 0 535536 Thomas J LeBlanc Executive VP & Provost 55.00 X 948008 0 50050 Joseph T Natoli Sr VP Business & Finance and CFO 70.00 X 2654361 0 47916 Aileen M Ugalde Secretary of the University 60.00 X 617787 0 55647 Steven Mark Altschuler Sr. VP & CEO of Uhealth 80.00 X 1716195 0 20284 Nestor de la Cruz-Munoz Associate Professor Dept of Surgery 60.00 X 1784677 0 43185 Lee D Kaplan Professor, Orthopaedics 75.00 X 1491706 0 49588 James J Larranaga Head Coach, Basketball 72.00 X 2004084 0 43436 Dipen J Parekh Professor, Urology 80.00 X 1258826 0 47049 Mark Richt Head Coach, Football 80.00 X 4036993 0 21068 Richard Ballard CEO, UMHC (former) 48.00 X 554394 0 48004 Steven Falcone Chief Exec, UHealth Clinic (fmr) 70.00 X 859876 0 51527 Michael Gittelman CEO, ABLEH (former) 60.00 X 538972 0 46237 Alan S Livingstone MD Chief Exec, UHealth Clinic (fmr) 90.00 X 923059 0 48519 Donna E Shalala President (former) 80.00 X 739806 0 7901 John Sory Chief Exec,UHealth Rgnl Alliance(fmr) 62.00 X 530698 0 47246 22275904 0 1194652 2955 1 1 0 Arellano Construction Co 7255 NW 19 St Suite B Miami FL 33126 Construction Services 44150911 GCA Education Services Inc 4702 Western Ave Suite 101 Knoxville TN 37921 Maintenance & Repair Services 19860186 Florida Lemark Corp 2040 NW 94TH Avenue Doral FL 33172 Construction Services 7698337 OneBlood Inc 1700 North State Rd 7 Lauderhill FL 33313 Testing/Lab Services 6448086 BDC Advisors LLC 1221 Brickell Ave Ste 1470 Miami FL 33131 Consulting Services 6369346 506 1237494 1510227 463250358 334275472 11261095 800273551 Hospitals and Clinics 900099 1228775014 1228775014 Tuition and Fees 900099 739674703 739674703 Medical Prof Practice 900099 389113633 388578703 534930 Local Grants and Contr 900099 167806693 167806693 Auxiliary Enterprises 900099 135224556 54771923 4690787 75761846 28829654 28443473 386181 2689424253 26622996 26622996 342670 342670 9745160 9745160 8215461 570 4438202 377 3777259 193 3777452 193 3777259 767648866 274340 699688861 1139319 67960005 -864979 67095026 -467342 67562368 310086 1510227 847979 -537893 -537893 2999 1262 1737 1737 Advertising 523000 49967 49967 Coach Appearances 541800 35000 35000 84967 3596829919 2608050509 5231453 183274406 32961441 32961441 414658658 414658658 5272884 5272884 15594480 3843240 10772155 979085 1361818053 1298607443 52182969 11027641 124757017 112979991 9841586 1935440 198860445 187128089 8696258 3036098 82778875 74992147 6575992 1210736 8608744 2206392 6402352 955005 146216 808789 256934 256934 557078 557078 6215553 6215553 212449991 182626487 28492747 1330757 17327033 15734058 871691 721284 58163032 55538056 2141391 483585 26310076 20143384 6166692 126528262 120767342 5485167 275753 26526697 25455725 662256 408716 22366167 19632364 1620007 1113796 43254964 41424922 1830042 139530872 132666719 6864153 39416472 33122786 6293686 Medical Supplies 414954849 414954849 Miscellaneous 44296446 35926363 7875974 494109 UBIT Income Tax 7354 7354 3424427382 3237005109 163848195 23574078 35616726 34035005 457841007 294403081 190548046 331140359 338150894 362338529 55913025 49458604 26568328 31443406 35541735 45187884 3414904605 1623226928 1721800017 1791677677 75984419 569700679 806616769 418201144 1127000 1127000 59636372 61246950 3805344338 3989960318 222224508 240540000 100656135 101425805 911263234 896812166 240395536 231705139 589962900 516677059 2064502313 1987160169 X 778990003 827957321 462090218 612492522 499761804 562350306 1740842025 2002800149 3805344338 3989960318 X 172402537 33552525 56003062 X 0 1 X 1 1 1 X 665082826 645431640 695504873 684757248 800273551 3491050138 665082826 645431640 695504873 684757248 800273551 3491050138 3491050138 67787860 70328911 118800048 47068647 107512560 411498026 1555052 1151702 1574344 608176 -325797 4563477 3907111641 9501594514 0.89350 0.90000 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 256934 256934 3418606236 3418863170 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 273233 263184 261239 256934 1054590 250000 250000 250000 250000 1000000 1500000 2393365 57464042 X X X X X public ed & outreach programs 0 0 844642514 39933556 107091993 -9017823 -34071010 948579230 887329315 35880046 -37379832 -7908234 -33278781 844642514 865434666 32562542 26787748 -6981057 -30474584 887329315 777946842 25884017 96424339 -6545053 -28275479 865434666 678694294 22091982 109828176 -6177708 -26489902 777946842 0.19050 0.50880 0.30070 0 0 90095398 90095398 2070931419 961472830 1109458589 58176758 40706779 17469979 789292876 508437966 280854910 406408154 112609353 293798801 1791677677 -3813375 F Limited Partnerships 387440019 F Mutual Funds 9164791 F Other 25409709 F 418201144 Medical Self-Insurance Reserves 85591341 Refundable Deposits 364230 Accrued Postretirement Benefit Cost 174085248 Annuities Payable 6703821 Refundable Federal Student Loans 23529464 Other Liabilities 226402955 516677059 X 3214846801 33552525 -47008 33505517 3181341284 6215553 409273083 415488636 3596829920 3008938746 0 3008938746 6215553 409273083 415488636 3424427382 Part III, Line 4: Part III, Line 4: Art Collection: The mission of the Lowe Art Museum, the art museum of the University of Miami, is to serve the University, the Greater South Florida communities, and national and international visitors as a teaching and exhibiting resource through its permanent and borrowed collections. The Museum: collects original, quality works of art primarily from Asia, Africa, Europe and the Americas; exhibits and preserves the permanent collection according to the highest professional standards; researches the permanent collection and publishes new findings in exhibition catalogues and articles; organizes traveling exhibitions and loans of individual works from the permanent collection to expand knowledge and appreciation of art both regionally and nationally; enhances the appreciation of the permanent collection through borrowed and organized traveling exhibitions and loans of individual works; and, supports, extends and enriches the mission of the University of Miami for students, faculty, scholars, residents, and visitors to South Florida to appreciate and more fully comprehend art and its history. More information on the Museum can be found on its website at www.miami.edu/lowe. Part V, Line 4: Part V, Line 4: Endowment Funds: The University's endowment is used to support the University's mission which is to educate and nurture students, to create knowledge through its comprehensive research programs, and to provide patient care services to its community and beyond. Distributions from the University's endowment are mainly used for student scholarships and fellowships, endowed chairs, research, school/college support, academic program support, library support, and general University support. Part X, Line 2: Fin 48 Footnote: The University is exempt from federal income taxes under section 501(c)(3) of the Internal Revenue Code. Accordingly, no provision for income taxes is made in the financial statements. At May 31, 2017, there were no uncertain tax positions. The University files tax returns with U.S. federal and other tax authorities for which the statute of limitations may go back to the year ended May 31, 2013. Part XI, Line 2d - Other Adjustments: Refunds of Program service Rev. - Hospitals.& Clinics - 0 Refunds of Contributions - $47,008 Part XI, Line 4b - Other Adjustments: Amounts represent: tuition discounting, certain grants, expenses netted from revenues for GAAP purposes. Part XII, Line 4b - Other Adjustments: Same as above Part XI and XII, Line 4b: Other Revenue and Expense Reconciling Items: Tuition discounting $247,790,504, grants and contracts pass-through transactions from sponsoring agencies $166,781,006. Less: non-program related rental expenses $4,438,405; Ubit adjustment of $12,043; and direct expenses related to fundraising events $847,979. 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 University publishes its Equal Opportunity Policy and Non-discrimination Policy Statement in the following publications: * Workplace Equity & Performance Web site * All UM web sites state our Non-discrimination policy under a link for "Privacy Statement and Legal Notices" * Students Rights and Responsibilities Handbook * Academic Bulletin * Student Handbook distributed at Orientation * Faculty Manual * Employee Handbook * Various public bulletin boards located throughout the various campuses, in contracts with other vendors, during University employee orientation, University Career Website, etc. Schedule E, Part I, Line 6 The University provides financial assistance in the form of grants to award scholarships and fellowships to students attending the University. In addition, government agencies award grants to the University for research. 1 Central America & the Caribbean Program Services Grants to Recipients 755619 East Asia & the Pacific Program Services Grants to Recipients 302108 Europe Program Services Grants to Recipients 729797 Middle East & North Africa Program Services Grants to Recipients 295597 North America Program Services Grants to Recipients 227265 South America Program Services Grants to Recipients 558842 South Asia Program Services Grants to Recipients 61432 Sub-Saharan Africa Program Services Grants to Recipients 1588290 Central American and the Caribbean Program Services Travel - Institutional Research and Education 217602 East Asia & the Pacific Program Services Travel - Institutional Research and Education 517309 Europe Program Services Travel - Institutional Research and Education 1244133 Middle East & North Africa Program Services Travel - Institutional Research and Education 73591 North America Program Services Travel - Institutional Research and Education 280825 Russia and Neighboring States Program Services Travel - Institutional Research and Education 8791 South America Program Services Travel - Institutional Research and Education 408096 South Asia Program Services Travel - Institutional Research and Education 94092 Sub-Saharan Africa Program Services Travel - Institutional Research and Education 109275 Central America and the Caribbean Investments N/A 117413700 Central America and the Caribbean 4 Program Services Independent Contractors-Institutional Research and Education 10017 East Asia and the Pacific 7 Program Services Independent Contractors-Institutional Research and Education 16346 Europe 38 Program Services Independent Contractors-Institutional Research and Education 774912 Middle East and North Africa 2 Program Services Independent Contractors-Institutional Research and Education 76355 North America 15 Program Services Independent Contractors-Institutional Research and Education 229916 South America 2 Program Services Independent Contractors-Institutional Research and Education 2230 South Asia 1 Program Services Independent Contractors-Institutional Research and Education 853 0 0 0 69 0 69 4518950 121478043 125996993 Central America & the Caribbean Research 5744 Wire Transfer N/A N/A Central America & the Caribbean Research 236103 Check N/A N/A Central America & the Caribbean Research 451605 Wire Transfer N/A N/A Central America & the Caribbean Research 62167 Wire Transfer N/A N/A East Asia & the Pacific Research 77084 Check N/A N/A East Asia & the Pacific Research 56702 Check N/A N/A East Asia & the Pacific Research 66070 Wire Transfer N/A N/A East Asia & the Pacific Research 102251 Wire Transfer N/A N/A Europe Research 8088 Check N/A N/A Europe Research 56634 Check N/A N/A Europe Research 144342 Check N/A N/A Europe Research 12049 Check N/A N/A Europe Research 38500 Check N/A N/A Europe Research 35348 Check N/A N/A Europe Research 20000 Check N/A N/A Europe General Support 53560 Wire Transfer N/A N/A Europe Research 44230 Wire Transfer N/A N/A Europe Research 120333 Wire Transfer N/A N/A Europe Research 30908 Wire Transfer N/A N/A Europe Research 13581 Wire Transfer N/A N/A Europe Research 59068 Wire Transfer N/A N/A Europe Research 60564 Wire Transfer N/A N/A Europe Research 32592 Wire Transfer N/A N/A Middle East & North Africa Research 27458 Check N/A N/A Middle East & North Africa Research 81000 Check N/A N/A Middle East & North Africa Research 187139 Wire Transfer N/A N/A North America Research 71787 Check N/A N/A North America Research 79297 Check N/A N/A North America Research 76180 Check N/A N/A South America Research 28570 Check N/A N/A South America Research 26595 Wire Transfer N/A N/A South America Research 44691 Wire Transfer N/A N/A South America Research 263756 Wire Transfer N/A N/A South America Research 45230 Wire Transfer N/A N/A South America Research 150000 Wire Transfer N/A N/A South Asia Research 61432 Wire Transfer N/A N/A Sub-Saharan Africa Research 22737 Check N/A N/A Sub-Saharan Africa Research 187542 Wire Transfer N/A N/A Sub-Saharan Africa Research 147854 Wire Transfer N/A N/A Sub-Saharan Africa Research 376649 Wire Transfer N/A N/A Sub-Saharan Africa Research 357510 Wire Transfer N/A N/A Sub-Saharan Africa Research 495997 Wire Transfer N/A N/A 5 33 Scholarships, Fellowship Grants Central America and the Caribbean 1 8506 Check N/A N/A Scholarships, Fellowship Grants East Asia and the Pacific 28 339227 Check N/A N/A Scholarships, Fellowship Grants Europe 19 157431 Check N/A N/A Scholarships, Fellowship Grants Middle East and North Africa 2 28117 Check N/A N/A Scholarships, Fellowship Grants North America 5 35427 Check N/A N/A Scholarships, Fellowship Grants South America 7 48437 Check N/A N/A Scholarships, Fellowship Grants South Asia 10 115154 Check N/A N/A Scholarships, Fellowship Grants Sub-Saharan Africa 4 21636 Check N/A N/A 1 0 1 1 1 1 Part I, Line 2: Procedures for Monitoring Grants Outside the United States: The University awards grants as subcontracts to foreign organizations for the purpose of conducting research and research training. Prior to the University awarding the subcontract, the organization is required to submit the proposed scope of work and a budget. Once reviewed and approved, a formal subcontract is issued with the terms and conditions of the award. To comply with terms and conditions of the subcontract, the foreign organization must submit an invoice together with supporting documentation. Upon receipt of the invoice, the faculty member at the University responsible for the grant or his/her designee approves the invoice for payment. In addition, monitoring of the science is conducted by the University faculty member responsible for the grant via site visits, correspondence, phone calls, etc. Reports required under the terms and conditions of the subcontract are submitted by the grantee. Part I, line 3: Activity Expenditures: Expenditures are recorded based on the accrual method of accounting and are recorded when incurred. X 1 Ruffalo Noel Levitz 1025 Kirkwood Pkw CedarRapids IA 52404 Campaign Management 0 876628 557078 319550 876628 557078 319550 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA PR RI SC SD TN TX VI UT VT VA WA WV WI WY Dinner Gala 593924 571961 21963 0 0 47379 260693 38346 59589 Dinner Gala 368483 304199 64284 0 89 0 18010 17498 20725 8 857906 634067 223839 3841 4153 276927 45973 54756 1820313 1510227 310086 3930 51532 555630 101817 135070 847979 -537893 1 1 X 1 X 1 X 1 1 0 0 8996000 8996000 0.00260 124876330 90736987 34139342 0.01000 0 0 133872330 90736987 43135342 0.01260 2863445 2550034 313411 0.00010 20513991 3484065 17029926 0.00500 1494720 1494720 205984086 197289819 8694268 0.00250 108021 100000 8021 0.00000 230964263 204918638 26045626 0.00760 364836593 295655625 69180968 0.02020 1737664 1596012 141651 0.00000 1737664 1596012 141651 0.00000 1 69375678 245037733 292619012 -47581279 X 1 1 3 1 University of Miami Hospital 1400 NW 12 Avenue Miami FL 33136 umiamihospital.com #4109 X X X X 2 University of Miami Hospital & Clinics 1475 NW 12 Avenue Miami FL 33136 sylvester.org #4074 X X X Cancer Hospital (PPS exempt) 3 Anne Bates Leach Eye Hospital 900 NW 17 Street Miami FL 33136 bascompalmer.org #4040 X X X X Eye Hospital University of Miami Hospital 1 0 0 1 X X X X X X X X X 15 1 0 0 1 X umiamihospital.com X 1 16 0 1 0 1 X 200.000000000000 400.000000000000 X X X X X 1 1 X X X 1 X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X X X X X X 1 X 0 X X X X 1 X 0 0 University of Miami Hospital & Clinics 2 0 0 1 X X X X X X X X X 15 1 0 0 1 X sylvester.org X 1 16 0 1 0 1 X 200.000000000000 400.000000000000 X X X X 1 1 X X X 1 X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X X X X X X 1 X 0 X X X X 0 X X 0 0 Anne Bates Leach Eye Hospital 3 0 0 1 X X X X X X X X X 15 1 0 0 1 X bascompalmer.org X 1 16 0 1 0 1 X 200.000000000000 400.000000000000 X X X X 1 1 X X X 1 X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X X X X X X 1 X 0 X X X X 1 X 0 0 University of Miami Hospital Part V, Section B, Line 5: As a part of the Community Health Needs Assessment in 2016, both external and internal consumers were surveyed, and various focus groups were developed to get opinions on leading health issues. A telephone interview methodology was conducted of 2,701 individuals/healthcare consumers throughout Miami-Dade County, ages 18 and above by Professional Research Consultants, Inc. (PRC) Unite for Dignity, a non-profit organization, conducted a 4-week community health needs survey in the top 5 PSAs for UMH, distributed online and in paper format. The paper format was available in English, Spanish, and Creole. This survey focused on union members of 1199SEIU and community members within the target zip codes. Press Ganey surveys were used in 2015-2016 to internally survey patients at UMH following treatment. UMH contracted with Healthcare Council of South Florida (HCSF) to develop focus groups of health system leadership (in early 2016) and to consolidate the data of the community resident surveys and hospital data sets. University of Miami Hospital & Clinics Part V, Section B, Line 5: As a part of the Community Health Needs Assessment in 2016, both external and internal consumers were surveyed, and various focus groups were developed to get opinions on leading health issues. A telephone interview methodology was conducted of 2,701 individuals/healthcare consumers throughout Miami-Dade County, ages 18 and above, by Professional Research Consultants, Inc. (PRC). Press Ganey surveys were used in 2015-2016 to internally survey patients at UMHC following treatment. UMHC contracted with Healthcare Council of South Florida (HCSF) to develop focus groups of health system leadership (in early 2016) and to consolidate the data of the community resident surveys and hospital data sets. Anne Bates Leach Eye Hospital Part V, Section B, Line 5: As a part of the Community Health Needs Assessment in 2016, both external and internal consumers were surveyed, and various focus groups were developed to get opinions on leading health issues. A telephone interview methodology was conducted of 2,701 individuals/healthcare consumers throughout Miami-Dade County, ages 18 and above by Professional Research Consultants, Inc. (PRC). Press Ganey surveys were used in 2015-2016 to internally survey patients at ABLEH following treatment. ABLEH contracted with Healthcare Council of South Florida (HCSF) to develop focus groups of health system leadership (in early 2016) and to consolidate the data of the community resident surveys and hospital data sets. University of Miami Hospital Part V, Section B, Line 11: The hospital completed an Implementation Plan during 2017, which addresses the needs identified in the CHNA. Priority needs include: Availability of Primary Care and Prevention; Cancer Incidence, Mortality, and Screening; Chronic Disease Management; Neurology; and Elder Care/Geriatrics. As indicated in the Implementation Plan, all 5 of these priority needs have been addressed in the Implementation Strategy. University of Miami Hospital & Clinics Part V, Section B, Line 11: The hospital completed an Implementation Plan during 2017, which addresses the needs identified in the CHNA. Priority needs include:Cancer Prevention and Treatment; Availability of Primary Care and Prevention; Access to Care (for uninsured); Healthy Life Styles: Exercise/Nutrition; and Chronic Disease Management. As indicated in the Implementation Plan, all 5 of these priority needs have been addressed in the Implementation Strategy. Anne Bates Leach Eye Hospital Part V, Section B, Line 11: The hospital completed an Implementation Plan during 2017, which addresses the needs identified in the CHNA. Priority needs include: Access to Care; Chronic Disease Management; Availability of Primary Care and Prevention; Healthy Lifestyles: Exercise and Nutrition; and Elder Care/Geriatrics. As indicated in the Implementation Plan, all 5 of these priority needs have been addressed in the Implementation Strategy. Part I, Line 3c: Although each of the organization's three hospitals determine eligibility for discounted care differently (as seen in Schedule H's Part V section B) we have answered the question in Part I line 3b using the organization's largest bed hospital's policy (UMH). Part I, Line 6a: The organization did not prepare a community benefit report during the tax year. Part I, Line 7: The Medicare cost report was used, except for 7b (Medicaid and other means-tested government programs). For 7b, a cost-to-charge ratio was used. The cost to charge ratio used for Medicaid cost calculation is based on the actual cost of Traditional Medicaid Fee-for-Service claims as reported on the Medicare Cost Report. These calculated costs (Inpatient Routine, Inpatient Ancillary, and Outpatient) are compared to the charges for these services reported on the same cost report. This ratio is used as the Medicaid cost-to-charge ratio to be applied to total gross Medicaid charges (both Traditional Fee for Service and Managed Care) as reported on the AHCA FUHRS report. Part II, Community Building Activities: Community building activities include child abuse protection programs Part III, Line 2: Total bad debt expense is determined using the hospital's patient accounting records. Part III, Line 3: Patients who render sufficient financial information to make a determination of eligibility under the hospitals' financial assistance policy are either treated as charity care (if they qualify) or given a "self- pay" discount (if they do not qualify as charity care). Part III, Line 4: The hospitals' financial statements do not contain a footnote concerning bad debt. The University's financial statements account for bad debt as a reduction of revenue. Part III, Line 8: The source of this information is the Medicare Cost Report data, which uses a "cost to charge" ratio methodology. The University of Miami Hospital and Anne Bates Leach Eye Hospital are reimbursed under the Medicare Prospective Payment System (PPS). For inpatient services, the reimbursement methodology is the Inpatient Prospective Payment System (IPPS), which uses the Diagnostic Related Groups (DRGS) methodology to reimburse the hospital. The DRG amounts are updated by the Medicare program annually by an updating factor. However, the amount of the updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. Thus, the hospital does not receive full reimbursement of its cost for inpatient services. For outpatient services, the reimbursement methodology is the Outpatient Prospective Payment System (OPPS), which uses ambulatory payment classifications (APCS) to reimburse the hospital. The APC amounts are updated by the Medicare program annually by an updating factor. However, the amount of the updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. Thus, the hospital does not receive full reimbursement for its cost for outpatient services. The University of Miami Hospital and Clinics is a cancer specialty hospital and, as such, is cost based reimbursed for both inpatient and outpatient services. For inpatient services, the limit is the TEFRA target limit. The hospital, on occasion, exceeds the target rate and does not receive full cost reimbursement. The TEFRA target amount is updated by the Medicare program annually by the TEFRA updating factor. However, the amount of the TEFRA updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. For outpatient services, the limit is the payment to cost ratio (PCR). The PCR was established using a base year, which was 1996, at a rate of 85.5% of cost. The PCR for all exempt cancer centers was 92% through 12/31/16, and then 91% from 1/1/17 to 5/31/17; therefore, the hospital currently does not receive payment for a range of 8% to 9% of its outpatient cost. Part III, Line 9b: Note 3 of the financial statements reads in-part as follows: "the hospital provides care to patients who are financially unable to pay for the healthcare services they receive, and because the Hospital does not pursue collection of amounts determined to qualify as charity care, they are not reported in revenue." Part VI, Line 2: Needs assessment: The communities' healthcare needs are assessed by the organization in collaboration with the Miami-Dade County Public Health Trust (PHT). Part VI, Line 3: Patient education of eligibility for assistance: The organization informs and educates patients through public service announcements, advertising, and development activities. Further, patients are assisted with qualifying for Medicaid and other state programs. Part VI, Line 4: Community information: The community served by the organization is Miami-Dade County, Broward County, Collier County and the Palm Beaches, which are large urban areas. Since these South Florida counties have a large immigration population, many patients are uninsured, under-insured, or Medicaid recipients. Part VI, Line 5: Promotion of community health: (1) A majority of the Hospital's governing body is comprised of persons who reside in the Hospital's primary service area who are neither employees nor contractors of the Hospital, nor family members thereof. (2) The Hospital extends medical staff privileges to all qualified physicians in its community for some or all of its departments. (3) In order to improve patient care and access to the specialized healthcare services, the organization applies a significant portion of any surplus to capital budget for new technology, new medical equipment, building renovations, and other betterments & improvements. Part VI, Line 6: Affiliated health care system: The organization has an affiliation agreement with Miami-Dade County's Public Health Trust (PHT) to provide teaching physicians who supervise PHT's interns and residents at Jackson Memorial Hospital. 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522340031 501(c )4 53000 N/A N/A GENERAL SUPPORT AMERICAN REAL ESTATE & URBAN PO BOX 3061110 TALLAHASSEE FL 32306 237119584 501(c )3 7500 N/A N/A GENERAL SUPPORT AMERICAN RED CROSS PO BOX 37839 BOONE IA 50037 530196605 501(c )3 50000 N/A N/A GENERAL SUPPORT AMERICAN SOCIETY FOR ENGINEERING PO BOX 222822 CHANTILLY VA 20153 370730118 501(c )3 25000 N/A N/A GENERAL SUPPORT BROWARD COUNTY MEDICAL ASSOCIATION 5101 NW NW 21ST AVE STE 450 FT LAUDERDALE FL 33309 590834012 501(c )6 9700 N/A N/A GENERAL SUPPORT CAMP KESEM NATIONAL 1300 MILLER DR CORALGABLES FL 33146 510454157 501(c )3 6500 N/A N/A GENERAL SUPPORT CROHNS & COLITIS FDN OF AMERICA CCFA-FLORIDA CHAPTER BOCA RATON FL 33433 136193105 501(c )3 17500 N/A N/A GENERAL SUPPORT EL HERALDO DE BROWARD INC PO BOX 70577 OAKLAND PARK FL 33307 592013604 10000 N/A N/A GENERAL SUPPORT LEUKEMIA & LYMPHOMA SOCIETY 200 S PARK RD STE 140 HOLLYWOOD FL 33021 135644916 501(c )3 25000 N/A N/A GENERAL SUPPORT NORTH CAROLINA STATE UNIV CAMPUS BOX 7533 RALEIGH NC 27695 566000756 State of NC 40000 N/A N/A GENERAL SUPPORT PANCREATIC CANCER ACTION NETWORK 1500 ROSECRANS AVE MANHATTAN BCH CA 90266 330841281 501(c )3 10000 N/A N/A GENERAL SUPPORT SHARSHERET INC 1086 TEANECK RD TEANECK NJ 07666 134198529 501(c )3 15000 N/A N/A GENERAL SUPPORT SOCIETY FOR INTEGRATIVE ONCOLOGY 136 EVERETT ROAD ALBANY NY 12205 331071221 501(c )3 10000 N/A N/A GENERAL SUPPORT SUSAN G KOMEN MIAMI FT LAUDERDALE 1333 S UNIVERSITY DR STE 206 PLANTATION FL 33324 752844638 501(c )3 42000 N/A N/A GENERAL SUPPORT THE ALS RECOVERY FUND ONE GROVE ISLE DRIVE UNIT 1602 COCONUT GROVE FL 33133 650265802 501(c )3 10000 N/A N/A GENERAL SUPPORT THE BUONICONTI FUND TO CURE PARALYSIS 1095 NW 14TH TERRACE MIAMI FL 33136 650244316 501(c )3 8500 N/A N/A GENERAL SUPPORT 149 18 Scholarships for tuition housing meals and books 13492 414638608 N/A N/A Grants and Other Assistance - Research 2 20050 N/A N/A Part I, Line 2: Procedure for Monitoring Grants: Grants to organizations and individuals awarded for the purpose of conducting research are monitored as follows: Subcontracts are issued with a defined scope of work and a budget and include other terms and conditions such as frequency of required reporting. The faculty member at the University of Miami responsible for the grant monitors the scientific progress via site visits, correspondence, reports, etc. Invoices submitted for payments by the outside organization or by an individual are approved by the University of Miami Faculty member responsible for the grant. Schedule I, Part III: Assistance to the University students in the form of scholarships are awarded for the purpose of aiding with the cost of attending the University (i.e., for tuition, housing and meals). Scholarships are based on need and academic achievement. Total scholarships, grants and loans cannot exceed the total cost of attendance. The University publishes criteria for the eligibility requirements needed to award a scholarship. The amount of aid awarded is based on a need analysis formula developed by the federal government and includes verification of the information submitted by the student. X X X X X 1 1 X X 1 0 0 0 0 1 0 1 0 Marc Buoniconti Trustee/Senior Director 174366 0 0 0 138 0 2917 0 694 0 178115 0 0 0 Julio Frenk President 1123370 0 150000 0 72241 0 19988 0 515548 0 1881147 0 0 0 Thomas J LeBlanc Executive VP & Provost 765657 0 100000 0 82351 0 29150 0 20900 0 998058 0 0 0 Joseph T Natoli Sr VP Business & Finance and CFO 989337 0 500000 0 1165024 0 26500 0 21416 0 2702277 0 0 0 Aileen M Ugalde Secretary of the University 569786 0 0 0 48001 0 31683 0 23964 0 673434 0 0 0 Steven Mark Altschuler Sr. VP & CEO of Uhealth 1096151 0 458333 0 161711 0 0 0 20284 0 1736479 0 0 0 Nestor de la Cruz-Munoz Associate Professor Dept of Surgery 902717 0 419839 0 462121 0 26500 0 16685 0 1827862 0 0 0 Lee D Kaplan Professor, Orthopaedics 667924 0 296005 0 527777 0 26500 0 23088 0 1541294 0 0 0 James J Larranaga Head Coach, Basketball 245875 0 120000 0 1638209 0 26500 0 16936 0 2047520 0 0 0 Dipen J Parekh Professor, Urology 857223 0 146250 0 255353 0 26500 0 20549 0 1305875 0 0 0 Mark Richt Head Coach, Football 244407 0 0 0 3792586 0 0 0 21068 0 4058061 0 0 0 Richard Ballard CEO, UMHC (former) 429855 0 88368 0 36171 0 26500 0 21504 0 602398 0 0 0 Steven Falcone Chief Exec, UHealth Clinic (fmr) 563759 0 122265 0 173852 0 29150 0 22377 0 911403 0 0 0 Michael Gittelman CEO, ABLEH (former) 390494 0 78367 0 70111 0 26500 0 19737 0 585209 0 0 0 Alan S Livingstone MD Chief Exec, UHealth Clinic (fmr) 789071 0 58331 0 75657 0 29150 0 19369 0 971578 0 0 0 Donna E Shalala President (former) 0 0 0 0 739806 0 7590 0 311 0 747707 0 0 0 John Sory Chief Exec,UHealth Rgnl Alliance(fmr 456645 0 73915 0 138 0 26500 0 20746 0 577944 0 0 0 Part I, Line 1a First Class Travel: First class travel was provided to President Julio Frenk, Steven Altschuler, and James J. Larranaga. The amounts were not included in taxable income. House and Household Assistance: A house and household assistance is provided to the President Julio Frenk at the convenience of the employer as a condition of employment. Certain amounts were included in taxable income for President Julio Frenk. Club Dues: Club dues were provided for Thomas J. Leblanc, Julio Frenk, James J. Larranaga, and Mark Richt. The amounts were included in taxable income. Social Club Dues: Social club dues were provided for Julio Frenk. The amounts were not included in taxable income. Tax Gross-Up Payments: Tax Gross-Up Payments were provided to President Julio Frenk. Part I, Question 4a, Severance Payments: Severance payments were provided to Donna E. Shalala of $666,000; Joseph T. Natoli of $1,000,000. Part I, Line 6 Hospital & Clinic may provide incentives to certain officers, and highly compensated individuals. Incentive payment are based on productivity / efficiency measures, as well as certain financial targets. Part I, Line 7 Certain officers received sign-on bonuses, and one time payments for assuming duties outside of their job requirements / description A Miami-Dade Co Educ Fac Authority 596000573 59333AFW6 2007-04-26 473302568 See Schedule K, Part VI 1 0 0 B Miami-Dade Co Educ Fac Authority 596000573 59333ALR0 2012-12-12 106138985 See Schedule K, Part VI 0 0 0 C Miami-Dade Co Educ Fac Authority 596000573 59333AMB4 2015-10-07 432889335 See Schedule K, Part VI 0 0 0 A 79995000 155070000 480088974 17381191 303488136 3097405 3351958 152770285 2009 1 1 1 1 B 106148878 1362336 929658 25082031 78681201 93652 2014 1 0 0 1 C 433409770 9393455 221307671 2151674 171609748 28947222 2017 1 1 0 1 A 0 1 1 1 1 1 0.00280 0.00660 0.00940 0 0 1 B 0 1 1 1 1 1 0.00100 0.00100 0 0 1 C 0 1 1 1 1 1 0.00580 0.00580 0 0 1 A 1 0 0 1 Bayerische Landesbank 2.100000000000 1 1 1 B 0 1 0 1 0 0 0 1 1 C 0 1 0 1 0 0 0 1 1 A 1 B 1 C 1 Schedule K, Part I - Line A, Column F: Acquire, construct, equip and renovate University facilities and refunding of prior issues: Series 1993- Issue Date January 5, 1994; Series 1996A- Issue Date March 13, 1996; Series 1996B - Issue Date October 1, 1996; Series 1997A - Issue Date January 10, 1997; Series 1997B - Issue Date April 1, 1997; Series 2000A - Issue Date December 7, 1999; Series 2000B - Issue Date February 3, 2000; Series 2004A - Issue Date January 16, 2004. Schedule K, Part I - Line B, Column F: Finance or refinance the acquisition, construction, renovation and equipping of University facilities. Schedule K, Part I - Line C, Column F: Finance or refinance the costs of the acquisition, construction, renovation and equipping of University facilities and refunding of prior issues: Series 2007A - Issue date April 26, 2007 Series 2008A - Issue date May 8, 2008 Schedule K, Part I - Line C, Column C: CUSIP #59333AMB4,59333AMA6 Schedule K, Part II - Line 3, Column A: Variance of $6,786,406 when compared to Part I - Line A, Column (e) is due primarily to interest earnings. Schedule K, Part II - Line 3, Column B: Variance of $9,893 when compared to Part I - Line B, Column (e) is due primarily to interest earnings and unspent issuance cost. Schedule K, Part II - Line 3, Column C: Variance of $520,436 when compared to Part I - Line C, Column (e) is due primarily to interest earnings. Schedule K, Part III - Line 7, Column A, B, & C: Analysis of the private security and payment test results that the bond issues do not meet the test. Schedule K, Part IV - Line 1, Column A: Form 8038-T filed on 6/28/2016 for the Series 2007. Schedule K, Part IV - Line 2c, Column B and C: Rebate computation date of 5/31/17. In addition, no rebate due and no filing required on the 2012A and 2015A series. 75924 Disct Tuition Tuition Asst 23000 Scholarship Educ Assist 7600 Stipend Educ Assist Rosemarie Ugalde See Part V 126072 See Part V 0 Susan Dandes See Part V 110800 See Part V 0 Eric Winter See Part V 106614 See Part V 0 Gino DiMare See Part V 162247 See Part V 0 Ryan Dandes See Part V 65675 See Part V 0 Jeanette Gonzalez-Calles See Part V 23897 See Part V 0 George Williamson III See Part V 32500 See Part V 0 Marc Buoniconti See Part V 175000 See Part V 0 Felicia Knaul See Part V 361889 See Part V 0 Carolyn Rubenstein See Part V 21007 See Part V 0 Brian Leblanc See Part V 65000 See Part V 0 Schedule L, Part IV - Lines 2-10 Col B Family member of trustee. Schedule L, Part IV - Lines 1,9,11 Col B Family member of officer. Schedule L, Part IV - Lines 1-11, Col D Family member employment. X 836 2393365 Fair Market Value X 199 8828419 Fair Market Value X Equipment 4 39311 Fair Market Value X Auction Items 406 0 See Part II 10 0 1 1 Part I, Line 32b: Third Party or Related Organizations Utilized: The University utilizes external brokers to sell securities when the donated securities are not deemed to fit into the University's investment portfolio. Part I, Line 33: Items Included On Schedule M Not In Revenue: b. Part I, Line 26 - Auction items: Columns B and C include items donated for sale at fundraising event auctions (such as gift certificates, etc.) which are subsequently sold at fundraising event auctions but which are not included on form 990, Part VIII, Line 1(g). Form 990, Part VI, Section A, line 2 Family and Business Relationships: Stuart Miller - Trustee, and Steven Saiontz - Trustee - Business Relationship; Charles Cobb-Trustee, Jorge Perez - Trustee - Business Relationship; Phillip T. Frost - Trustee, Phillip T. George - Trustee - Business Relationship; Marc Buoniconti - Trustee, Nicolas Buoniconti - Trustee, Paul DiMare - Trustee, - Business Relationship; Marc Buoniconti - Trustee, Nicolas Buoniconti - Trustee - Family Relationship Form 990, Part VI, Section B, line 11b Board Review of Form 990: Process by which the governing body was provided a copy of form 990 prior to filing: Form 990 is prepared by the University's Office of the Controller and reviewed by KPMG, LLP. Due to schedule constraints of committee chairs and members, the meeting dates for the Audit and Compliance Committee fluctuate from year to year. The University provides Form 990 to the Committee prior to filing. If the Committee's meeting dates do not coincide with the availability of the return, it is provided to the Committee electronically with time provided for questions and comments. Subsequent to the Committee's review a copy of the final return is shared with all voting members of the Board prior to filing. Form 990, Part VI, Section B, line 12c Monitoring and Compliance with Conflict of Interest Policy: The Office of the Secretary of the Board of Trustees sends an annual conflict of interest questionnaire together with the policy adopted by the Board to all trustees, officers and key employees. Once replies are received, they are reviewed by the Vice President and Chief Compliance Officer and the Chair of The Conflict of Interest Sub-Committee. When apparent conflicts arise, the Sub-Committee reviews and makes recommendations to the Executive Committee for management or denial of the relationship or proposal creating the conflict. Form 990, Part VI, Section B, line 15 Process for Review of Compensation of Officers and Key Employees: The Compensation Review Sub-Committee of the Executive Committee reviews a summary of proposed compensation and survey data for any offer to a new officer or key employee of the University, including the President and trustees who are employees of the University. Once the compensation is approved, it is provided to the payroll office as a record of the committee's approval. Minutes of the meeting of the Compensation Review Sub-Committee of the Executive Committee are recorded by the Office of the Secretary. The following process is performed annually, typically at the April/May meeting of the Compensation Review Sub-Committee of the Executive Committee to approve compensation for the President, Executive Vice President and Provost, Senior Vice Presidents, the Vice President, General Counsel and Secretary, Vice President and Chief Compliance Officer, the Intercollegiate Athletic Director, and employees who are current trustees and former trustees for up to 5 years following conclusion of their service on the board: each officer's supervisor completes a written performance review and proposes a salary increase, prior to the meeting. The University participates in an annual comprehensive compensation survey compiled by an actuarial firm. The actuarial firm produces a survey of universities across the United States and, separately, data from for-profit corporations for positions that have a for-profit equivalent. The Compensation Review Sub-Committee of the Executive Committee receives the performance appraisals for each officer, key employee and trustee/employee, the completed survey prepared by the actuary, and the current and proposed salaries and other cash compensation for each officer and key employee, including the President and trustees who are employees of the University. After review and discussion, the Compensation Review Sub-Committee of the Executive Committee approves the compensation for those officers listed above, including the President, who is excused while deliberation about his/her compensation is discussed, and trustees who are employees of the University. Once the compensation is approved, it is provided to the payroll office as a record of the committee's approval. Minutes of the meeting of the Compensation Review Sub-Committee of the Executive Committee are recorded by the Office of the Secretary. The sub-committee reviews executive compensation in April/May as described above. Form 990, Part VI, Section C, line 19 Governing Documents, Conflict of Interest Policy and Financial Statements Made Available to the General Public: The State of Florida, Department of State, Division of Corporations requires an annual registration filing, including any changes to Charter. Once filed, the Charter can be viewed on the State of Florida web site. Financial statements of the university are made available on the University's website. The University's financial statements are also made available to the general public on the federal government's census bureau website. The University's Bylaws and the Board's Conflict of Interest Policy are not made available to the public. Form 990, Part VII, Section A, Officers, Directors, Trustees: Edward A. Dauer is a Trustee and also serves as Research Associate Professor in the College of Engineering. Average hours per week estimate of 40 hours is based on a full time teaching load. Marc Buoniconti is a Trustee and also Senior Director - Advocacy and Donor Relations at the Miami Project to Cure Paralysis. Average hours per week estimate of 40 hours minimum is based on his being a full time, exempt employee. Form 990, Part XI, line 9: Various Other Adjustments 668,846. Other Pension Related Gains / Losses 55,381,224. Refunds of Contributions -47,008. Biscayne View Properties LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 590624458 Real Estate FL University of Miami Crestre LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 9110 656431 Biscayne View Properties LLC 1509 Venture LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 1798585 Biscayne View Properties LLC East Urban LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 31567 1084117 Biscayne View Properties LLC Tripop LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 4310996 Biscayne View Properties LLC 7th Avenue Market LLC 1320 South Dixie Hwy Suite 705 Coral Gables FL 33146 202458426 Real Estate FL 3018772 Biscayne View Properties LLC Equi Terra LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 590624458 Real Estate FL University of Miami Ten Bor LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 273025289 Real Estate FL Equi Terra LLC PT Property Holding LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 273025289 Real Estate FL Equi Terra LLC University of Miami Preservation LLC 1252 Memorial Drive Room 230 Coral Gables FL 33146 590624458 Hold UM Designated Easement FL University of Miami Boston House LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 590624458 Real Estate FL University of Miami WVUM Inc PO Box 248191 Coral Gables FL 33124 591729614 Edu Radio FL 501(C)(3) Line 7 N/A 1 University Rathskeller Inc 1330 Miller Drive Coral Gables FL 33146 591410632 Student Food & Beverage FL 501(C)(3) Line 5 N/A 1 Ophthalmology Research Foundation Inc PO Box 015869 Miami FL 33101 237081974 Fundraising FL 501(C)(3) Line 12c, III-FI N/A 0 The Buoniconti Fund to Cure Paralysis 1095 NW 14th Terrace Miami FL 33136 650244316 Fundraising FL 501(C)(3) Line 7 N/A 0 Florida Lions Eye Bank Inc 900 NW 17th Street 3rd Floor Miami FL 33136 590967012 Fundraising/Donation FL 501(C)(3) Line 10 N/A 0 CRUT (8) Charitable Remainder Unitrust FL N/A 0 Perpetual (2) Perpetual Trust FL N/A 0 University of Miami Insurance Co Ltd Clarendon House 2 Church St HM 11 BD Insurance BD UM C 98376 1.00000 1 1 0 0 1 0 0 0 0 0 0 0 1 0 0 1 1 0 0 1 1 WVUM Inc R 130297 See Part VII Form 990 - Schedule, R, Part V, Line 2 Method used to determine the transaction amounts with controlled organizations is based on cash provided to, or received from each controlled organization.