2018-04-02T14:18:53-05:00 2017-06-30 593204548 JAMES MOORE & CO PL 5931 NW 1ST PLACE GAINESVILLE FL 326072063 990 2016-07-01 201226494 UNIVERSITY OF FLORIDA INVESTMENT CORPORATION UNIV 3523921693 4510 NW 6TH PLACE 2ND FLOOR GAINESVILLE FL 326076111 EDWARD KELLY COO, VICE PRESIDENT 3523921693 2018-03-28 1 ANDREA L NEWMAN P01212004 3523781331 2018-03-28 71.16.127.2 2018-03-28 11:01:04 ED P 711887D289D84E3E4BA270452AE2D66951778DD7 BB53E511994732371DD84FCEC4B6477C5F5F0704 2016 2021-01-29 14:40:06Z EDWARD KELLY 4510 NW 6TH PLACE 2ND FLOOR GAINESVILLE FL 326076111 3647424 0 X WWW.UFICO.UFL.EDU X 2004 FL THE PURPOSE OF THIS CORPORATION IS TO PROMOTE THE EDUCATIONAL PURPOSES OF THE UNIVERSITY OF FLORIDA BY PROVIDING INVESTMENT RESEARCH, ADVICE, COUNSEL AND MANAGEMENT TO AND FOR THE UNIVERSITY OF FLORIDA BOARD OF TRUSTEES, A PUBLIC BODY CORPORATE, AND SUCH AFFILIATED CORPORATIONS AS THE BOARD OF TRUSTEES OF THE UNIVERSITY OF FLORIDA MAY DESIGNATE, PROVIDED THAT SUCH ORGANIZATIONS FURTHER THE EDUCATIONAL PURPOSES OF THE UNIVERSITY OF FLORIDA AND ARE ORGANIZATIONS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE OF 1986, AS NOW IN FORCE OR HEREAFTER AMENDED. 12 7 14 0 0 0 0 0 3903396 3643079 419 4345 0 0 3903815 3647424 0 0 0 0 3675680 3126322 0 0 0 378638 361179 4054318 3487501 -150503 159923 2796302 3085791 2421365 2550931 374937 534860 X THE PURPOSE OF THIS CORPORATION IS TO PROMOTE THE EDUCATIONAL PURPOSES OF THE UNIVERSITY OF FLORIDA BY PROVIDING INVESTMENT RESEARCH, ADVICE, COUNSEL AND MANAGEMENT TO AND FOR THE UNIVERSITY OF FLORIDA BOARD OF TRUSTEES, A PUBLIC BODY CORPORATE, AND SUCH AFFILIATED CORPORATIONS AS THE BOARD OF TRUSTEES OF THE UNIVERSITY OF FLORIDA MAY DESIGNATE, PROVIDED THAT SUCH ORGANIZATIONS FURTHER THE EDUCATIONAL PURPOSES OF THE UNIVERSITY OF FLORIDA AND ARE ORGANIZATIONS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE OF 1986, AS NOW IN FORCE OR HEREAFTER AMENDED. 0 0 3033834 3643079 THE ORGANIZATION PROVIDED INVESTMENT RESEARCH, ADVICE, COUNSEL AND MANAGEMENT TO THE UNIVERSITY OF FLORIDA AND FOUR OTHER AFFILIATE ORGANIZATIONS RELATED TO THE UNIVERSITY OF FLORIDA. DURING THE YEAR, THE ORGANIZATION MANAGED ASSETS OF $2,912,357,496 FOR THESE ORGANIZATIONS. 3033834 1 0 0 0 0 0 0 0 0 0 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 0 0 14 1 0 0 0 0 0 0 0 0 0 0 X 12 7 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X JIMMY HUMPHRIES 3522731479 4510 NW 6TH PLACE 2ND FLOOR GAINESVILLE FL 32607 DAVID T BROWN BOARD MEMBER 1.00 50.00 X 0 248260 25160 ROBERT H GIDEL BOARD MEMBER 1.00 X 0 0 0 ALEX C SMITH BOARD MEMBER 1.00 X 0 0 0 REBECCA S PATTERSON CHAIR 1.00 X 0 0 0 ERIC W MANDELBLATT BOARD MEMBER 1.00 X 0 0 0 WINFRED M PHILLIPS BOARD MEMBER 1.00 50.00 X 0 439466 92100 DOUGLAS J FREE BOARD MEMBER 1.00 X 0 0 0 JAMES W HEAVENER BOARD MEMBER 1.00 X 0 0 0 ROBERT J COUSIN BOARD MEMBER 1.00 X 0 0 0 JAMES J KELLY BOARD MEMBER 1.00 50.00 X 0 668936 27392 MICHAEL V MCKEE BOARD MEMBER 1.00 50.00 X 0 317943 148093 THOMAS J MITCHELL BOARD MEMBER 1.00 50.00 X 0 583184 44717 EDWARD KELLY COO, VICE PRESIDENT/TREASURER 50.00 X 314126 0 109272 WILLIAM REESER CIO, PRESIDENT 50.00 X 833394 0 111798 BRIAN MAWDSLEY DIRECTOR OF INVESTMENTS 50.00 X 326755 0 129114 JAMES HUMPHRIES CONTROLLER 50.00 X 113490 0 29471 ADAM SINGLETON INVESTMENT MANAGER 50.00 X 153334 0 29801 WILLIAM TWIBLE INVESTMENT MANAGER 50.00 X 186468 0 58660 1927567 2257789 805578 6 0 1 0 0 MANAGEMENT FEES 541900 3643079 3643079 3643079 4165 4165 180 0 180 180 180 3647424 3643079 0 4345 1460946 1246975 213971 1309450 1178505 130945 255929 244643 11286 99997 89997 10000 556 556 21750 21750 3558 3558 11167 10050 1117 550 550 163776 147398 16378 104138 104138 8020 8020 719 719 28894 28894 MISC OPERATING EXPENSE 10441 10441 MEMBERSHIPS & DUES 3521 3521 MEALS & ENTERTAINMENT 2853 2853 SUBSCRIPTIONS 1153 1153 83 83 3487501 3033834 453667 0 1076506 1663001 89044 226608 13577 13577 172524 172045 1198 479 1615977 1182126 2796302 3085791 1230388 1543805 1190977 1007126 2421365 2550931 X 374937 534860 374937 534860 2796302 3085791 159923 0 X X 0 1 X 1 0 X X X 1 UNIVERSITY OF FLORIDA 596002052 2 1 0 0 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 50977 50977 0 121547 121068 479 479 DEFERRED COMPENSATION - 457(B) PLAN 124215 MANAGEMENT FEES RECEIVABLE 882911 DUE FROM UNIVERSITY OF FLORIDA 175000 1182126 DEFERRED COMPENSATION 882911 DEFERRED COMPENSATION - 457(B) PLAN 124215 1007126 X 3647424 0 3647424 0 3647424 3487501 0 3487501 0 3487501 PART X, LINE 2: MANAGEMENT CONSIDERS THE LIKELIHOOD OF CHANGES BY TAXING AUTHORITIES IN ITS FILED INCOME TAX RETURNS AND RECOGNIZES A LIABILITY FOR OR DISCLOSES POTENTIAL SIGNIFICANT CHANGES THAT MANAGEMENT BELIEVES ARE MORE LIKELY THAN NOT TO OCCUR, INCLUDING CHANGES TO UFICO'S STATUS AS A NOT-FOR-PROFIT ENTITY. MANAGEMENT BELIEVES THE ORGANIZATION MET THE REQUIREMENTS TO MAINTAIN ITS TAX-EXEMPT STATUS AND HAS NO INCOME SUBJECT TO UNRELATED BUSINESS INCOME TAX, THEREFORE NO PROVISION FOR INCOME TAXES HAS BEEN PROVIDED IN THESE FINANCIAL STATEMENTS. X 1 1 X X X X X 0 0 0 0 0 0 0 1 0 DAVID T BROWN BOARD MEMBER 0 172185 0 50000 0 26075 0 13785 0 11375 0 273420 0 0 WINFRED M PHILLIPS BOARD MEMBER 0 416411 0 0 0 23055 0 82593 0 9507 0 531566 0 0 JAMES J KELLY BOARD MEMBER 0 469566 0 134000 0 65370 0 15900 0 11492 0 696328 0 0 MICHAEL V MCKEE BOARD MEMBER 0 303449 0 0 0 14494 0 126815 0 21278 0 466036 0 0 THOMAS J MITCHELL BOARD MEMBER 0 465805 0 0 0 117379 0 22449 0 22268 0 627901 0 0 EDWARD KELLY COO, VICE PRESIDENT/TREASURER 251626 0 62500 0 0 0 90113 0 19159 0 423398 0 0 0 WILLIAM REESER CIO, PRESIDENT 519223 0 314171 0 0 0 91783 0 20015 0 945192 0 0 0 BRIAN MAWDSLEY DIRECTOR OF INVESTMENTS 243263 0 83492 0 0 0 111105 0 18009 0 455869 0 0 0 ADAM SINGLETON INVESTMENT MANAGER 153334 0 0 0 0 0 15977 0 13824 0 183135 0 0 0 WILLIAM TWIBLE INVESTMENT MANAGER 153400 0 33068 0 0 0 52498 0 6162 0 245128 0 0 0 PART I, LINE 1A BUSINESS CLASS TRAVEL ON A THREE CLASS FLIGHT OR FIRST CLASS ON A TWO CLASS FIGHT WILL BE ACCEPTABLE FOR INTERNATIONAL FLIGHTS INVOLVING 8 OR MORE HOURS OF TRAVEL TIME AND WHERE PRODUCTIVITY WILL BE IMPACTED. PART I, LINE 7 THE ORGANIZATION HAS A DEFERRED COMPENSATION BONUS PLAN WHICH COVERS CERTAIN EMPLOYEES. UNDER THIS PLAN, A DEFERRED BONUS IS PAID WHICH INCLUDES A DISCRETIONARY COMPONENT. FORM 990, PART VI, SECTION B, LINE 11B THE ORGANIZATION'S CHIEF OPERATING OFFICER AND CONTROLLER WILL REVIEW THE FORM 990. ADDITIONALLY, THE AUDIT COMMITTEE OF THE ORGANIZATION WILL RECEIVE, REVIEW AND APPROVE THE FORM 990 AT A MEETING OF THE AUDIT COMMITTEE. THE FORM 990 IS PRESENTED TO THE ENTIRE BOARD FOR REVIEW. FORM 990, PART VI, SECTION B, LINE 12C ALL EMPLOYEES DISCLOSE QUARTERLY TO THE CHIEF OPERATING OFFICER ANY POTENTIAL CONFLICTS OF INTEREST THROUGH SIGNED STATEMENTS. ALL BOARD MEMBERS DISCLOSE ANNUALLY TO THE CHIEF OPERATING OFFICER ANY POTENTIAL CONFLICTS OF INTEREST THROUGH SIGNED STATEMENTS. THE CHIEF OPERATING OFFICER REVIEWS THESE STATEMENTS AND ADDRESSES THEM APPROPRIATELY. THE CHIEF OPERATING OFFICER REPORTS ANY POTENTIAL CONFLICTS OF INTEREST TO THE CONTROLLER AND CONTROLLER ADDRESSES THEM APPROPRIATELY. FORM 990, PART VI, SECTION B, LINE 15 A COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS APPROVES SALARIES FOR ALL EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 FEDERAL LAW DOES NOT REQUIRE THAT SUCH DOCUMENTS BE MADE PUBLICLY AVAILABLE UNLESS THEY WERE INCLUDED ON A FORM THAT IS PUBLICLY AVAILABLE (SUCH AS FORM 1023 OR 1024). WE DO NOT MAKE OUR GOVERNING DOCUMENTS, POLICIES, OR FINANCIAL STATEMENTS DIRECTLY AVAILABLE TO THE PUBLIC. FORM 990, PART XI, LINE 2C: THE PROCESS FOR THE SELECTION AND SUPERVISION OF THE ORGANIZATION'S INDEPENDENT AUDITOR HAS REMAINED CONSISTENT WITH THE PRIOR YEAR. UFICO LLC 4510 NW 6TH PLACE 2ND FLOOR GAINESVILLE FL 32607 GENERAL PARTNER/MANAGING PARTNER FL N/A UNIVERSITY OF FLORIDA 24 TIGERT HALL GAINESVILLE FL 32611 596002052 UNIVERSITY FL 115 N/A 0 UNIVERSITY OF FLORIDA FOUNDATION INC PO BOX 14425 GAINESVILLE FL 32604 590974739 FUNDRAISING FL 501(C)(3) LINE 7 UNIVERSITY OF FLORIDA 0 UNIVERSITY ATHLETIC ASSOCIATION INC PO BOX 14485 GAINESVILLE FL 32604 596002050 COLLEGIATE ATHLETIC ASSOCIATION FL 501(C)(3) LINE 5 UNIVERSITY OF FLORIDA 0 SHANDS TEACHING HOSPITAL AND CLINICS INC PO BOX 100362 GAINESVILLE FL 32610 591493502 HOSPITAL FL 501(C)(3) LINE 3 UNIVERSITY OF FLORIDA 0 FLORIDA PROTON THERAPY INSTITUTE INC 2015 JEFFERSON STREET JACKSONVILLE FL 32206 010554709 CANCER TREATMENT AND RESEARCH FL 501(C)(3) LINE 10 UNIVERSITY OF FLORIDA 0 FLORIDA PRIVATE INVESTMENTS FUND LP 4510 NW 6TH PLACE GAINESVILLE FL 32607 270277240 INVESTMENT FUNDS DE UFICO LLC RELATED 0 1 FLORIDA LONG TERM POOL FUND LP 4510 NW 6TH PLACE GAINESVILLE FL 32607 270277090 INVESTMENT FUNDS DE UFICO LLC RELATED 0 1 FLORIDA SHORT-TERM FUND LP 4510 NW 6TH PLACE GAINESVILLE FL 32607 270276790 INVESTMENT FUNDS DE UFICO LLC RELATED 0 1 FLORIDA GLOBAL EQUITY FUND LLC 4510 NW 6TH PLACE GAINESVILLE FL 32607 270276884 INVESTMENT FUNDS DE UFICO LLC RELATED 0 1 FLORIDA GLOBAL FIXED INCOME FUND LLC 4510 NW 6TH PLACE GAINESVILLE FL 32607 270277004 INVESTMENT FUNDS DE UFICO LLC RELATED 0 1 FLORIDA HEDGED STRATEGIES FUND LLC 4510 NW 6TH PLACE GAINESVILLE FL 32607 270277727 INVESTMENT FUNDS DE UFICO LLC RELATED 0 1 FLORIDA OPPORTUNISTIC FUND LLC 4510 NW 6TH PLACE GAINESVILLE FL 32607 270277160 INVESTMENT FUNDS DE UFICO LLC RELATED 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 UNIVERSITY OF FLORIDA L 1034244 FAIR MARKET VALUE