2017-03-16T10:31:25-05:00 2016-06-30 593204548 JAMES MOORE & CO PL 5931 NW 1ST PLACE GAINESVILLE FL 326072063 990 2015-07-01 201226494 UNIVERSITY OF FLORIDA INVESTMENT CORPORATION UNIV 3523921693 4510 NW 6TH PLACE 2ND FLOOR GAINESVILLE FL 326076111 OFFICER COO, VICE PRESIDENT 3523921693 2017-03-09 1 ANDREA L NEWMAN P01212004 3523781331 2017-03-09 2015 2021-01-29 14:40:06Z EDWARD KELLY 4510 NW 6TH PLACE 2ND FLOOR GAINESVILLE FL 326076111 3903815 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. 14 9 14 0 0 0 0 0 3358769 3903396 0 419 0 0 3358769 3903815 0 0 0 0 2960730 3675680 0 0 0 507253 378638 3467983 4054318 -109214 -150503 2289537 2796302 1764097 2421365 525440 374937 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 3554814 3903396 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 $2,633,038,638 FOR THESE ORGANIZATIONS. 3554814 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 14 9 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 S ANDREW BANKS CHAIRMAN 1.00 X 0 0 0 DAVID T BROWN BOARD MEMBER 1.00 40.00 X 0 223050 19348 ROBERT GIDEL BOARD MEMBER 1.00 X 0 0 0 ALEX SMITH BOARD MEMBER 1.00 X 0 0 0 REBECCA PATTERSON BOARD MEMBER 1.00 X 0 0 0 ERIC MANDELBLATT BOARD MEMBER 1.00 X 0 0 0 WINFRED PHILLIPS BOARD MEMBER 1.00 40.00 X 0 423206 100843 DOUG FREE BOARD MEMBER 1.00 X 0 0 0 AL PAREIRA 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 JIM KELLY BOARD MEMBER 1.00 40.00 X 0 507757 26512 MIKE MCKEE BOARD MEMBER 1.00 40.00 X 0 302532 49966 THOMAS MITCHELL BOARD MEMBER 1.00 40.00 X 0 645883 34796 PETER LANDAUER EXECUTIVE VICE PRESIDENT 40.00 X 345178 0 104199 EDWARD KELLY COO, VICE PRESIDENT 40.00 X 276952 0 109272 WILLIAM REESER CIO, PRESIDENT 40.00 X 723136 0 111798 RAKESH DAHIYA HIGHEST COMPENSATED EMPLOYEE 40.00 X 354922 0 115411 1700188 2102428 672145 4 0 1 0 0 MANAGEMENT FEES 541900 3903396 3903396 3903396 419 419 3903815 3903396 0 419 1735896 1493106 242790 1449227 1304304 144923 352856 325854 27002 137701 123931 13770 21000 21000 4062 4062 743 743 18262 16436 1826 25 25 177274 159547 17727 119642 119642 7164 7164 719 719 24189 24189 MEALS & ENTERTAINMENT 2360 2360 MEMBERSHIPS & DUES 1930 1930 SUBSCRIPTIONS 1095 1095 AWARDS AND COMMENDATION 153 153 20 20 4054318 3554814 499504 0 696938 1076506 87503 89044 13577 13577 172524 171326 1917 1198 1489602 1615977 2289537 2796302 999495 1230388 764602 1190977 1764097 2421365 X 525440 374937 525440 374937 2289537 2796302 -150503 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 120349 1198 1198 DEFERRED COMPENSATION - 457(B) PLAN 298379 MANAGEMENT FEES RECEIVABLE 892598 DUE FROM UNIVERSITY OF FLORIDA 425000 1615977 DEFERRED COMPENSATION 892598 DEFERRED COMPENSATION - 457(B) PLAN 298379 1190977 X 3903815 0 3903815 0 3903815 4054318 0 4054318 0 4054318 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 THAN 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 172000 0 50000 0 1050 0 13313 0 6035 0 242398 0 0 WINFRED PHILLIPS BOARD MEMBER 0 407433 0 0 0 15773 0 85903 0 14940 0 524049 0 0 JIM KELLY BOARD MEMBER 0 356111 0 90585 0 61061 0 15900 0 10612 0 534269 0 0 MIKE MCKEE BOARD MEMBER 0 293034 0 0 0 9498 0 37177 0 12789 0 352498 0 0 THOMAS MITCHELL BOARD MEMBER 0 424099 0 0 0 221784 0 22271 0 12525 0 680679 0 0 PETER LANDAUER EXECUTIVE VICE PRESIDENT 264704 0 80474 0 0 0 89251 0 14948 0 449377 0 0 0 EDWARD KELLY COO, VICE PRESIDENT 225452 0 51500 0 0 0 90113 0 19159 0 386224 0 0 0 WILLIAM REESER CIO, PRESIDENT 509094 0 214042 0 0 0 91783 0 20015 0 834934 0 0 0 RAKESH DAHIYA HIGHEST COMPENSATED EMPLOYEE 270072 0 84850 0 0 0 97013 0 18398 0 470333 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 11 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 9 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 923758 FAIR MARKET VALUE