2017-07-13T15:00:08-05:00 2016-08-31 134008324 PricewaterhouseCoopers 600 13th Street NW Suite 1000 Washington DC 20005 990 2015-09-01 362167817 Northwestern University NORT 8474913741 633 Clark St Evanston IL 60208 Ingrid S Stafford Vice President Financial Operations 2017-07-13 true Travis L Patton P00369623 2024141000 2015 2021-01-29 14:40:06Z Ingrid S Stafford 633 Clark St Evanston IL 60208 4648577548 false X www.northwestern.edu X 1851 IL Education and research 36 33 24035 150 -25846120 -27168333 501895829 457650977 1716432570 1795316441 596154305 558698662 109954202 21494425 2924436906 2833160505 445034378 462173913 0 1147812227 1242279705 268012 558826 54824123 839284990 876458559 2432399607 2581471003 492037299 251689502 13433515174 13658756847 2636970550 2638371858 10796544624 11020384989 Northwestern's mission is to provide the highest-quality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises. false false 1780475755 354705125 1153230295 EDUCATION OF STUDENTS: FOR THE 2016 ACADEMIC YEAR, 8,311 UNDERGRADUATES AND 9,180 GRADUATES AND PROFESSIONAL SCHOOL STUDENTS ENROLLED FULL-TIME AT THE UNIVERSITY. THE EXEMPT PURPOSE OF NORTHWESTERN UNIVERSITY IS TO PROVIDE EDUCATIONAL SERVICES TO ITS STUDENTS. THIS INCLUDES SUPERIOR UNDERGRADUATE EDUCATION FOR A DIVERSE STUDENT BODY IN A COMPREHENSIVE RANGE OF ACADEMIC AND PROFESSIONAL FIELDS. AT THE GRADUATE LEVEL, NORTHWESTERN'S ROLE ENCOMPASSES OFFERINGS IN THE MAJOR ACADEMIC AND PROFESSIONAL FIELDS, CLOSELY RELATED TO RESEARCH, CREATIVE ACTIVITIES, AND CLINICAL SERVICES. 463049000 107468788 568983497 RESEARCH ACTIVITIES: THE RESEARCH PROGRAM AT NORTHWESTERN UNIVERSITY IS A MAJOR COMPONENT OF UNIVERSITY EFFORTS, ASSURING INSTITUTIONAL LEADERSHIP IN SCIENTIFIC DISCOVERY, INTELLECTUAL INQUIRY, AND CREATIVE PERFORMANCE. THE CHARACTER OF THIS RESEARCH SHAPES ALL AREAS OF UNIVERSITY ENDEAVOR, ESPECIALLY GRADUATE EDUCATION AS WELL AS UNDERGRADUATE STUDIES. 107849000 79035658 AUXILIARY ENTERPRISES SERVE THE EDUCATIONAL MISSION BY PRIMARILY PROVIDING RESIDENCES AND FOOD SERVICES, AND OTHER VARIOUS GOODS AND SERVICES TO SUPPORT UNIVERSITY STUDENT, FACULTY, AND STAFF ACTIVITIES. 2351373755 true true false true false true false false false true true true false false true true false true true true true true true true true false false true true true true false false false false false true false false true true true true false false true true true true true false true 22428 0 true 24035 true true true true QA UK false false false true true false false false false false false false X 36 33 true false false false false false false true true false false true true true true true true true true true false AK CA CO KY NH OH OR MD MI MT MA NV ND OK SC WA X Nicole Van Laan Controller 8474914722 619 Clark St Evanston IL 60208 Peter J Barris Trustee 1.0 X 0 0 0 Christopher B Combe Trustee 1.0 X 0 0 0 A Steven Crown Trustee 1.0 X 0 0 0 Richard H Dean Trustee 1.0 X 0 0 0 Deborah L DeHaas Trustee 1.0 X 0 0 0 Charles W Douglas Trustee 1.0 X 0 0 0 D Cameron Findlay Trustee 1.0 X 0 0 0 Dennis J FitzSimons Trustee 1.0 X 0 0 0 T Bondurant French Trustee 1.0 X 0 0 0 Christopher B Galvin Trustee 1.0 X 0 0 0 Philip L Harris Trustee 1.0 X 0 0 0 Jay C Hoag Trustee 1.0 X 0 0 0 Nancy Trienens Kaehler Trustee 1.0 X 0 0 0 Ellen Philips Katz Trustee 1.0 X 0 0 0 Lester B Knight Trustee 1.0 X 0 0 0 Timothy K Krauskopf Trustee 1.0 X 0 0 0 Edward M Liddy Trustee 1.0 X 0 0 0 J Landis Martin Trustee 1.0 X 0 0 0 Wendy M Nelson Trustee 1.0 X 0 0 0 William A Osborn Trustee 1.0 X 0 0 0 Jane DiRenzo Pigott Trustee 1.0 X 0 0 0 JB Pritzker Trustee 1.0 X 0 0 0 M Jude Reyes Trustee 1.0 X 0 0 0 Patrick G Ryan Jr Trustee 1.0 X 0 0 0 David A Sachs Trustee 1.0 X 0 0 0 Muneer A Satter Trustee 1.0 X 0 0 0 D Gideon Searle Trustee 1.0 X 0 0 0 Andrew E Senyei MD Trustee 1.0 X 0 0 0 Benjamin W Slivka Trustee 1.0 X 0 0 0 Timothy P Sullivan Trustee 1.0 X 0 0 0 Charles A Tribbett III Trustee 1.0 X 0 0 0 Jeffrey W Ubben Trustee 1.0 X 0 0 0 Frederick H Waddell Trustee 1.0 X 0 0 0 David B Weinberg Trustee 1.0 X 0 0 0 Miles D White Trustee 1.0 X 0 0 0 Stephen R Wilson Trustee 1.0 X 0 0 0 Morton O Schapiro President 40.0 X 1339506 0 377667 Daniel I Linzer Provost 40.0 X 838565 0 196582 Nimalan Chinniah Executive Vice President 40.0 X 867101 0 64546 Mary L Baglivo VP Global Marketing 40.0 X 445599 0 37130 Pamela S Beemer VP for Human Resources 40.0 X 418068 0 28582 Thomas G Cline VP and General Counsel 40.0 X 1795928 0 150384 Alan K Cubbage VP University Relations 40.0 X 293756 0 24910 John L D'Angelo VP for Facilities Management 40.0 X 444508 0 13928 Devora Grynspan VP International Relations 40.0 X 207937 0 30105 Philip L Harris VP and General Counsel 0.0 X 0 0 0 James M Hurley VP for Budget and Planning 40.0 X 429410 0 116511 Marilyn McCoy VP for Administration 40.0 X 364339 0 43101 William H McLean VP and Chief Investment Officer 40.0 X 3349297 0 1175201 Robert E McQuinn VP for Development 40.0 X 878739 0 146533 Eric G Neilson VP Medical Affairs 30.0 X 545464 0 9692 James J Phillips VP Athletics 40.0 X 1483766 0 108659 Sean Reynolds VP and Chief Information Officer 40.0 X 520280 0 20126 Ingrid S Stafford VP for Financial Operations 40.0 X 335948 0 24314 Patricia Telles-Irvin VP Student Affairs 40.0 X 419259 0 37132 Joseph T Walsh Jr VP for Research 40.0 X 408124 0 51585 Patrick W Fitzgerald II Head Coach 40.0 X 3260314 0 45504 John A Capelli Investment Manager 40.0 X 1564024 0 45648 Christopher R Collins Head Coach 40.0 X 1338837 0 95888 Peter A Belytschko Managing Director, Investments 40.0 X 1208583 0 421305 Harisha Koneru Haigh Managing Director, Investments 40.0 X 1106687 0 389802 Ronald Nayler Former VP Facilities Mgmnt 0.0 X 540957 0 35104 24404996 0 3689939 2243 true true true The Family Institute 618 Library Pl Evanston IL 60201 Instruction services 4618745 NORTHWESTERN MEMORIAL HOSPITAL 251 EAST HURON CHICAGO IL 60611 Clinical SERVICES 4206903 FREE ENTERPRISE SYSTEM ONE SODREL DRIVE JEFFERSONVILLE IN 47130 TRANSPORTATION SERVICES 2687930 Sidley Austin LLP One South Dearborn Chicago IL 60603 Legal services 2114268 Wellington Management Company LLP 280 Congress St Boston MA 02210 Investment management 1716381 447 X 2557541 27790034 427303402 66040974 457650977 Tuition and fees 611310 963001013 963001013 Research activities 611310 568983497 568983497 Educational activities 611310 145127203 145127203 Auxilliary enterprises 611310 79035658 79035658 Medical departments 611310 31344865 31344865 7824205 7824205 0 0 1795316441 90856367 5933009 84923358 43591280 43591280 5145963 1760934 3385029 0 3385029 20615 3364414 1766940527 513572163 1469034354 343636041 297906173 169936122 467842295 467842295 1370565 2557541 985714 384851 384851 Alumni travel study 561520 184578 184578 Scientific services/rental 541990 363189 363189 Investment in partners 523920 -27977136 -27977136 1562634 0 1562634 0 -25866735 2833160505 1801249450 -25846120 600106198 75816266 75816266 379308000 379308000 7049647 7049647 0 0 28094935 9161428 17908235 1025272 0 0 0 0 983066341 920981240 32392532 29692569 70278040 65058156 2821859 2398025 96672259 89492129 3881564 3298566 64168130 59403120 2575955 2189055 0 0 0 0 8771676 8771676 790249 790249 481451 481451 558826 558826 39297851 39297851 169364295 160694637 7158405 1511253 25238004 15744595 2389750 7103659 160384244 153275083 3753214 3355947 19067187 16961182 2058915 47090 41277605 41271331 6274 124743089 123544574 469079 729436 51538647 49233910 1085735 1219002 0 0 0 0 31702992 30792100 253111 657781 40248140 40248140 0 0 123224680 116735543 5451495 1037642 0 0 Revenue refunds 22962940 22962940 Other 17365509 13887874 3477635 0 0 0 0 2581471003 2351373755 175273125 54824123 0 0 754516141 368190340 169018000 263423000 282925586 326446270 1272582 880000 0 0 145487585 155547520 2863990 2602398 13446405 14408317 3901112657 1532514661 2043447297 2368597996 2409687539 2271951600 7608428796 7886595146 0 0 0 2421253 114260 13433515174 13658756847 217634794 258582992 0 0 270961990 289082652 405651550 404487371 0 0 0 0 180000000 230000000 0 0 1562722216 1456218843 2636970550 2638371858 X 6826530624 6992900989 2555415000 2472172000 1414599000 1555312000 0 0 0 0 0 0 10796544624 11020384989 13433515174 13658756847 X 251689502 -96965000 69115863 X false true X true true true X 265414664 331106325 625656043 501895829 457650977 2181723838 0 0 265414664 331106325 625656043 501895829 457650977 2181723838 0 2181723838 467285874 864474845 788554989 686844013 591284260 3398443981 14524514 27897331 0 42421845 699157 720126 416499 549545 1370565 3755892 5626345556 8395339135 0.3878 0.3677 X Schedule A, Part II, Line 10 Other Income DESCRIPTION - , COLUMN A - 699157.0, COLUMN B - 720126.0, COLUMN C - 416499.0, COLUMN D - 549545.0, COLUMN E - 1370565.0, COLUMN F - 3755892.0; RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 693210 0 693210 0 2582712689 0 2583405899 0 1000000 0 250000 0 0 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 829965 863962 778346 693210 3165483 250000 250000 250000 250000 1000000 1500000 0 0 0 0 0 1 919364 1387050 13053876 true true 7588029000 210532000 75343000 54569108 341167892 7478167000 7501116000 269199000 157310000 53907452 285688548 0 7588029000 6283130000 516836000 1075117000 48218677 325748323 0 7501116000 5574319000 393797000 594849000 59645003 220189997 0 6283130000 5474935000 210535000 204262000 41493408 273919592 0 5574319000 0.51 0.19 0.3 false false 29088668 29088668 3296389179 1121399299 2174989880 23152940 10286844 12866096 552481870 400828518 151653352 2368597996 2029168935 F Equity, fixed income, real assets, etc 5857426211 F 7886595146 Deposits payable, actuarial liability of annuities payable 140835843 Government advances for student loans 37766000 Asset retirement obligations 2940000 Taxable bonds - series 2012 200000000 Taxable bonds - series 2013 575311000 Taxable bonds - series 2015 499366000 1456218843 X Schedule D, Part III, Line 1a ART COLLECTIONS EXPLANATION: THE UNIVERSITY DOES NOT CAPITALIZE COLLECTIONS. AS STATED IN THE UNIVERSITY NOTES TO THE FINANCIAL STATEMENTS, THE ACCOUNTING POLICY FOR LIBRARY COLLECTIONS IS TO EXPENSE ALL PURCHASES. MUSEUM PURCHASES ARE ACCOUNTED FOR SIMILARLY. GIFTS OF ART AND SIMILAR TANGIBLE PERSONAL PROPERTY ARE ACCOUNTED FOR AS GIFTS-IN-KIND. Schedule D, Part X LINE 4 - ASSET RETIREMENT OBLIGATIONS THE UNIVERSITY RECORDS ALL KNOWN ASSET RETIREMENT OBLIGATIONS (ARO) FOR WHICH THE FAIR VALUE OF THE LIABILITY CAN BE REASONABLY ESTIMATED, INCLUDING CERTAIN OBLIGATIONS RELATING TO REGULATORY REMEDIATION. ARO COVERED INCLUDE THOSE FOR WHICH AN ENTITY HAS A LEGAL OBLIGATION TO PERFORM AN ASSET RETIREMENT ACTIVITY; HOWEVER, THE TIMING AND/OR METHOD OF SETTLING THE OBLIGATION ARE CONDITIONAL ON A FUTURE EVENT THAT MAY OR MAY NOT BE WITHIN THE CONTROL OF THE ENTITY. Schedule D, Part V, Line 4 Intended uses of endowment funds The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction. Schedule D, Part X, Line 2 FIN 48 (ASC 740) footnote The University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the "more likely than not" standard for sustainability on examination by tax authorities. true true true true true true true false false false false false false false false true false true Schedule E, Part I, Line 3 RACIALLY NONDISCRIMINATORY POLICY Policies are included in student, faculty, and staff handbooks and the student course catalog, and annually printed in the school newspaper. Policies are posted on University websites, posted throughout campus including student centers and the admissions office, and distributed to undergraduate students. Schedule E, Part I, Line 6(a) FINANCIAL AID OR ASSISTANCE FROM A GOVERNMENT The University receives financial support from agencies of the federal and state government for research and instructional purposes, including for financial aid to students. Schedule E, Part I, Line 7 RACIAL NONDISCRIMINATION COMPLIANCE NORTHWESTERN UNIVERSITY DOES NOT DISCRIMINATE OR PERMIT DISCRIMINATION BY ANY MEMBER OF ITS COMMUNITY AGAINST ANY INDIVIDUAL ON THE BASIS OF RACE, COLOR, RELIGION, NATIONAL ORIGIN, SEX, PREGNANCY, SEXUAL ORIENTATION, GENDER IDENTITY, GENDER EXPRESSION, PARENTAL STATUS, MARITAL STATUS, AGE, DISABILITY, CITIZENSHIP STATUS, OR VETERAN STATUS, OR GENETIC INFORMATION, OR ANY OTHER CLASSIFICATION PROTECTED BY LAW IN MATTERS OF ADMISSIONS, EMPLOYMENT, HOUSING, OR SERVICES OR IN THE EDUCATIONAL PROGRAMS OR ACTIVITIES IT OPERATES. true Middle East and North Africa 1 288 ,Maintaining offices, employees, or agents International campus in Doha, Qatar for students in journalism and communication 38939489 Central America and the Caribbean 0 0 Investments 2266320000 Europe (Including Iceland and Greenland) 0 0 Investments 342980000 North America (Canada & Mexico only) 0 0 Investments 73320000 Sub-Saharan Africa 0 0 Investments 122060000 Central America and the Caribbean 0 0 Grantmaking 136996 East Asia and the Pacific 0 0 Grantmaking 643204 Europe (Including Iceland and Greenland) 0 0 Grantmaking 3477140 Middle East and North Africa 0 0 Grantmaking 450736 North America (Canada & Mexico only) 0 0 Grantmaking 1546069 Russia and Neighboring States 0 0 Grantmaking 1834 South America 0 0 Grantmaking 120742 South Asia 0 0 Grantmaking 151703 Sub-Saharan Africa 0 0 Grantmaking 526635 Europe (Including Iceland and Greenland) 0 0 ,Program-related investments 20128 Central America and the Caribbean 0 0 Unrelated Business Activities 16425 East Asia and the Pacific 0 0 Unrelated Business Activities 245 Europe (Including Iceland and Greenland) 0 0 Unrelated Business Activities 17922 North America (Canada & Mexico only) 0 0 Unrelated Business Activities 2466 South America 0 0 Unrelated Business Activities 2371 Sub-Saharan Africa 0 0 Unrelated Business Activities 258 Central America and the Caribbean 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 140375 East Asia and the Pacific 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 1908883 Europe (Including Iceland and Greenland) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 3611285 Middle East and North Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 700088 North America (Canada & Mexico only) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 481406 Russia and Neighboring States 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 46017 South America 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 309749 South Asia 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 194441 Sub-Saharan Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 433770 Central America and the Caribbean 0 0 Program Services Study abroad programs and courses abroad 218543 East Asia and the Pacific 0 0 Program Services Study abroad programs and courses abroad 4523660 Europe (Including Iceland and Greenland) 0 0 Program Services Study abroad programs and courses abroad 3698558 Middle East and North Africa 0 0 Program Services Study abroad programs and courses abroad 1570440 North America (Canada & Mexico only) 0 0 Program Services Study abroad programs and courses abroad 2264918 South America 0 0 Program Services Study abroad programs and courses abroad 545851 South Asia 0 0 Program Services Study abroad programs and courses abroad 512511 Sub-Saharan Africa 0 0 Program Services Study abroad programs and courses abroad 698011 East Asia and the Pacific 0 0 Fundraising 48172 Europe (Including Iceland and Greenland) 0 0 Fundraising 114757 Middle East and North Africa 0 0 Fundraising 36421 North America (Canada & Mexico only) 0 0 Fundraising 5234 South America 0 0 Fundraising 15770 Sub-Saharan Africa 0 0 Fundraising 65935 1 288 0 0 1 288 2850711101 22168057 2872879158 Middle East and North Africa Support of research activities 35447 ACH Direct Deposit or Check Middle East and North Africa Support of research activities 259204 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 23155 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 39410 ACH Direct Deposit or Check South Asia Support of research activities 117705 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 118531 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 129808 ACH Direct Deposit or Check East Asia and the Pacific Support of research activities 159738 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 29134 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 36724 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 418620 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 50424 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 74719 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 95542 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 23290 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 12866 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 24682 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 25900 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 54461 ACH Direct Deposit or Check East Asia and the Pacific Support of research activities 121514 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 307510 ACH Direct Deposit or Check South Asia Support of charitable organization 17000 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 284817 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 8345 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 51131 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 25360 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 16473 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 73450 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 36600 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 6000 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 89522 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 226832 ACH Direct Deposit or Check East Asia and the Pacific Support of research activities 46769 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 64488 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 8901 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 10187 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 182944 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 27703 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 224029 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 49682 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 12000 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 12000 ACH Direct Deposit or Check Central America and the Caribbean Support of research activities 117639 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 518062 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 18829 ACH Direct Deposit or Check South Asia Support of research activities 5292 ACH Direct Deposit or Check 1 45 Grants disbursed during student's enrollment in international program Central America and the Caribbean 2 19357 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program East Asia and the Pacific 32 315183 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Europe (Including Iceland and Greenland) 168 2066329 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Middle East and North Africa 14 156085 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Russia and Neighboring States 1 1834 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South America 19 120742 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Sub-Saharan Africa 10 77678 Applied to student account; credits are refunded by check true false true true true true Schedule F, Part I, Line 2 Procedures for monitoring use of grant funds Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Schedule F, Part II, Line 1 Method used to account for cash grants In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, Line 1. Of the 46 organizations that received grants in Part II, 37 are universities, colleges, and hospitals; 6 are research centers; one is a healthcare NGO; and one is a section 501(c)(3) organization. Schedule F, Part III(c) Estimated number of recipients Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the date of the applicable study abroad program. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c). Schedule F, Part I, Line 1 Program Services The program services listed in Part I reflect international educational programs in which the University has material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its student's access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f). Schedule F, Part I, Line 3(f) Method used to account for expenditures Expenditures reported in Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f) X X X X X X X true Helen Brown Group 48 Summer Street Watertown MA 02472 Fundraising campaign consultant false 29250 -29250 Alexander Ross Group 2406 Prairie Ave Evanston IL 60201 Fundraising campaign consultant false 324790 -324790 Stelter 10435 New York Ave Des Moines IA 50322 Fundraising marketing consultant false 18724 -18724 Linda Meadow 576 East Channel Rd Santa Monica CA 90402 Fundraising campaign consultant false 28600 -28600 Syndio Social 800 W Huron St Suite 200 Chicago IL 60642 Fundraising marketing consultant false 8000 -8000 Ruffalo Noel Levitz PO Box 718 Des Moines IA 50303 Phone solicitation consultant false 5535 -5535 Meeting Achievements Inc 232 E 500 N Valparaiso IN 46383 Symposium sponsorship solicitor true 519800 123927 395873 Comella Consulting LLC 211 Cedarbend Court Powell OH 43065 Fundraising marketing consultant false 20000 -20000 519800 558826 -39026 AK CO AL AR CA CT DC FL GA HI IL KS KY LA ME MD MA MI MN MS MO NH NJ NM NY NC ND OH OK OR PW PA RI SC TN UT VA WA WV WI NV Dance Marathon 1492332 1033934 458398 0 0 77195 0 16365 368392 Cancer Benefit 791100 784500 6600 0 0 0 0 0 55000 15 1644674 739107 905567 0 0 2750 272428 35355 158229 3928106 2557541 1370565 0 0 79945 272428 51720 581621 985714 384851 Schedule G, Part I, Line 3 State Solicitation Registrations No registration is required in Arizona, Delaware, Idaho, Indiana, Iowa, Nebraska, South Dakota, Texas, Vermont, and Wyoming. Schedule G, Part I, Line 2b(v) Reimbursement of Expenses The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed as reflected): Linda Meadow ($1,138), Meeting Achievements ($5,641), Stelter ($11,100), and Alexander Ross Group ($17,996), all in accordance with written agreements specifying reimbursement of expenses. Schedule G, Part I, Line 2b(iii) Custody of funds Meeting Achievements received $177,500 of funds on behalf of the University and remitted the entire amount to the University. Schedule G, Part I, Line 2b(ii) Describe the custody or control arrangement. MEETING ACHIEVEMENTS INC.-MEETING ACHIEVEMENTS RECEIVED $177,500 OF FUNDS ON BEHALF OF THE UNIVERSITY AND REMITTED THE ENTIRE AMOUNT TO THE UNIVERSITY.; Schedule G, Part I, Line 2b(v) payment of fees or payment of expenses ALEXANDER ROSS GROUP-ALEXANDER ROSS GROUP RECEIVED $16,240 FOR EXPENSES AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.;STELTER-STELTER RECEIVED REIMBURSEMENTS FOR EXPENSES OF $11,100 AS AGREED FOR PRINTING AND POSTAGE IN ASSOCIATION WITH SERVICES PROVIDED TO THE UNIVERSITY.;LINDA MEADOW-LINDA MEADOW RECEIVED REIMBURSEMENTS OF $1,138 FOR TRAVEL EXPENSES AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.;MEETING ACHIEVEMENTS INC.-MEETING ACHIEVEMENTS RECEIVED REIMBURSEMENTS FOR EXPENSES OF $5,641 AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.; true Academy for Urban Leadership 3400 N Austin Ave Chicago IL 60634 364447457 501(c)(3) 12962 Support of charitable community organization Access Community Health Network 222 N Canal St Chicago IL 60606 363317058 501(c)(3) 305617 support of research activities Adler Planetarium & Astronomy Museum 1300 South Lake Shore Drive Chicago IL 60605 366210902 501(c)(3) 79801 support of research activities Advocate Health Care 3075 Highland Parkway Suite 600 Downers Grove IL 60515 362169147 501(c)(3) 37708 support of research activities Aging & In-Home Services of Northeast Indiana Inc 2927 Lake Ave Fort Wayne IN 46805 351341437 501(c)(3) 104610 support of research activities AHS Hospital Corporation 475 South Street Morristown NJ 07962 521958352 66875 support of research activities AIDS Arms Inc 219 Sunset Ave Dallas TX 75208 752306145 501(c)(3) 269745 support of research activities AIDS Foundation of Chicago 200 W Jackson Blvd Suite 2100 Chicago IL 60606 363412054 501(c)(3) 17367 support of research activities Albany Medical College 47 New Scotland Ave MC70 Albany NY 12208 141338310 501(c)(3) 56530 support of research activities Alliance of Chicago Community Health Services LLC 215 W Ohio St 4th Floor Chicago IL 60654 364444309 897294 support of research activities American Institutes for Research 1000 Thomas Jefferson St NW Washington DC 20007 250965219 501(c)(3) 234770 support of research activities American Medical Association 515 N State Street Chicago IL 60654 366080517 501(c)(3) 265507 support of research activities Ann & Robert H Lurie Children's Hospital of Chicago 225 E Chicago Avenue Chicago IL 60611 362170833 501(c)(3) 3374424 support of research activities Applied Communication Sciences 150 Mount Airy Road Basking Ridge NJ 07920 452826612 6273 support of research activities Arizona State University Office of Research and Spon Proj PO BOX 876011 Tempe AZ 85287 860196696 501(c)(3) 443108 support of research activities Asian Human Services Inc 4753 N Broadway Ste 700 Chicago IL 60640 363005889 501(c)(3) 22595 support of research activities AuraSense Therapeutics LLC 8045 Lamon Avenue Suite 410 Skokie IL 60077 452638444 1833337 support of research 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support of research activities University of Kansas Medical Center Research Institute 3901 Rainbow Boulevard MSN 1039 Kansas City KS 66160 481108830 501(c)(3) 141767 support of research activities University of Kentucky 100 Funkhouser Bldg Lexington KY 40506 616001218 115 161908 support of research activities University of Louisville 2301 South Third Street Jouett Hall 2nd floor Louisville KY 40292 611014882 115 16457 support of research activities University of Maryland 2108 Mitchell Bldg College Park MD 20742 526002033 115 237329 support of research activities University of Massachusetts Amherst 70 Butterfield Terrace Amherst MA 01003 043167352 115 146540 support of research activities University of Miami 1252 Memorial Dr Coral Gables FL 33146 590624458 501(c)(3) 292225 support of research activities University of Michigan 515 E Jefferson Ann Arbor MI 48109 386000134 115 1255901 support of research activities University of Minnesota 101 Pleasant St Minneapolis MN 55455 416007513 115 473970 support of research activities University of Nebraska Medical Center 987835 Nebraska Medical Center Omaha NE 68198 470491233 115 63118 support of research activities University of Nebraska-Lincoln 3835 Holdrege St Lincoln NE 68583 470049123 115 33875 support of research activities University of Nevada Reno Office of Sponsored Projects 1664 N Virginia St 204 Ross Hall Reno NV 89557 886000024 115 69585 support of research activities University of North Carolina at Chapel Hill 9201 University City Blvd Charlotte NC 28223 566000642 115 428985 support of research activities University of Notre Dame 317 Main Building Notre Dame IN 46556 350868188 501(c)(3) 120458 support of research activities University of Oklahoma 660 Parrington Oval Norman OK 73019 736017987 115 55225 support of research activities University of Pennsylvania 3451 Walnut St Philadelphia PA 19104 231352685 501(c)(3) 1050707 support of research activities University of Pittsburgh 4227 Fifth Ave Pittsburgh PA 15260 250965591 501(c)(3) 597898 support of research activities University of Rochester 518 Hylan Building Rochester NY 14627 160743209 501(c)(3) 90260 support of research activities University of South Florida - Tampa 4202 E Fowler Ave Tampa FL 33620 593102112 115 71288 support of research activities University of Southern California 1540 Alcazar St Los Angeles CA 90089 951642394 501(c)(3) 453096 support of research activities University of Texas at Arlington 701 S Nedderman Drive Arlington TX 76019 756000121 115 251736 support of research activities University of Texas at Austin 2100 San Jacinto Blvd Austin TX 78712 746000203 115 577837 support of research activities University of Texas at El Paso 500 W University Ave El Paso TX 79968 746000813 115 45400 support of research activities University of Texas at San Antonio One UTSA Circle San Antonio TX 78249 741717115 115 226174 support of research activities University of Texas Health Science Center at Houston 7000 Fannin UCT 1006 Houston TX 77030 741761309 115 41658 support of research activities University of Texas M D Anderson Cancer Center 1515 Holcombe Blvd Houston TX 77030 760273984 115 154747 support of research activities University of Texas Southwestern Med Ctr at Dallas 5323 Harry Hines Blvd Dallas TX 75390 756002868 115 449078 support of research activities University of Utah 201 S 1460 E Salt Lake City UT 84112 876000121 115 794908 support of research activities University of Virginia 1 College Park Wise VA 24293 546001796 115 1147719 support of research activities University of Washington 1410 NE Campus Parkway Seattle WA 98195 916001537 115 875889 support of research activities University of Wisconsin 716 Langdon St Madison WI 53706 391805963 115 1161490 Support of community organization Vanderbilt University 2201 West End Ave Nashville TN 37235 620476822 501(c)(3) 893570 support of research activities Veterans Medical Research Foundation of San Diego 3350 La Jolla Village Dr San Diego CA 92161 330189397 501(c)(3) 67125 support of research activities Wake Forest University Health Sciences 1834 Wake Forest Rd WinstonSalem NC 27106 900222618 501(c)(3) 41663 support of research activities Walgreen Co 108 Wilmot Rd Deerfield IL 60015 361924025 66180 support of research activities Washington University in St Louis One Brookings Dr St Louis MO 63130 430653611 501(c)(3) 470510 support of research activities Wayne State University PO Box 02759 Detroit MI 48202 383555142 501(c)(3) 63242 support of research activities Weill Cornell Medical College 445 E 69th Street New York NY 10021 131623978 501(c)(3) 69853 support of research activities West Virginia University Research Corporation 886 Chestnut Ridge Rd Suite 302 Morgantown WV 26506 550665758 501(c)(3) 6500 support of research activities World Business Chicago 177 N State St Ste 500 Chicago IL 60601 364313685 501(c)(3) 50000 Support of charitable community organization Wright State University 3640 Colonel Glenn Hwy Dayton OH 45435 310732831 115 61390 support of research activities Yale University 140 Prospect St New Haven CT 06511 060646973 501(c)(3) 530914 support of research activities YMCA of Metropolitan Chicago 824 N Hamlin Chicago IL 60651 362179782 501(c)(3) 26771 support of research activities YMCA of the USA 101 N Wacker Drive Suite 1600 Chicago IL 60606 363258696 501(c)(3) 23376 support of research activities 272 40 Student grants, scholarships, and fellowships are financial aid that can be used towards educational related costs. 15677 361973210 13456 Estimated FMV Coats and computers Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 306 352600 Schedule I, Part III PRIZES AND AWARDS PRIZES AND AWARDS REFLECT PRIZES AND AWARDS EXTENDED TO NON-EMPLOYEES IN RECOGNITION OF AN ACCOMPLISHMENT, ACTIVITY, OR EVENT. PRIZES AND AWARDS GIVEN TO EMPLOYEES ARE INCLUDED AS COMPENSATION AND REPORTED ON AN EMPLOYEE'S FORM W-2. Schedule I, Part I, Line 2 Procedures for monitoring use of grant funds. Explanation: Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. X X X X X X true true X X X X true true false true false false false true false Morton O Schapiro President 956614 0 150000 0 232892 0 189179 0 188488 0 1717173 0 100000 0 Daniel I Linzer Provost 650962 0 75000 0 112603 0 174000 0 22582 0 1035147 0 0 0 Nimalan Chinniah Executive Vice President 738083 0 75000 0 54018 0 48000 0 16546 0 931647 0 0 0 Mary L Baglivo VP Global Marketing 426567 0 0 0 19032 0 13250 0 23880 0 482729 0 0 0 Pamela S Beemer VP for Human Resources 351701 0 5000 0 61367 0 24000 0 4582 0 446650 0 0 0 Thomas G Cline VP and General Counsel 533946 0 1158634 0 103348 0 110666 0 39718 0 1946312 0 0 0 Alan K Cubbage VP University Relations 268572 0 0 0 25184 0 24000 0 910 0 318666 0 0 0 John L D'Angelo VP for Facilities Management 334879 0 60000 0 49629 0 13250 0 678 0 458436 0 0 0 Devora Grynspan VP International Relations 206353 0 0 0 1584 0 21229 0 8876 0 238042 0 0 0 James M Hurley VP for Budget and Planning 382788 0 0 0 46622 0 107333 0 9178 0 545921 0 0 0 Marilyn McCoy VP for Administration 346124 0 0 0 18215 0 23000 0 20101 0 407440 0 0 0 William H McLean VP and Chief Investment Officer 792425 0 2243087 0 313785 0 1146837 0 28364 0 4524498 0 1089267 0 Robert E McQuinn VP for Development 498220 0 75000 0 305519 0 115667 0 30866 0 1025272 0 0 0 Eric G Neilson VP Medical Affairs 536964 0 0 0 8500 0 6975 0 2717 0 555156 0 0 0 James J Phillips VP Athletics 941594 0 232500 0 309672 0 87500 0 21159 0 1592425 0 0 0 Sean Reynolds VP and Chief Information Officer 418547 0 0 0 101733 0 13250 0 6876 0 540406 0 0 0 Ingrid S Stafford VP for Financial Operations 315664 0 0 0 20284 0 23500 0 814 0 360262 0 0 0 Patricia Telles-Irvin VP Student Affairs 364675 0 35000 0 19584 0 13250 0 23882 0 456391 0 0 0 Joseph T Walsh Jr VP for Research 334854 0 0 0 73270 0 24000 0 27585 0 459709 0 0 0 Patrick W Fitzgerald II Head Coach 3041700 0 0 0 218614 0 17390 0 28114 0 3305818 0 0 0 John A Capelli Investment Manager 344178 0 1199423 0 20423 0 24000 0 21648 0 1609672 0 343925 0 Christopher R Collins Head Coach 1305422 0 0 0 33415 0 68000 0 27888 0 1434725 0 0 0 Peter A Belytschko Managing Director, Investments 385385 0 804838 0 18360 0 414253 0 7052 0 1629888 0 397210 0 Harisha Koneru Haigh Managing Director, Investments 358366 0 725081 0 23240 0 369150 0 20652 0 1496489 0 208618 0 Ronald Nayler Former VP Facilities Mgmnt 500933 0 0 0 40024 0 24000 0 11104 0 576061 0 0 0 Schedule J, Part I, Line 1a SCHEDULE J SUPPLEMENTAL INFORMATION Schedule J, Part I, Line 1a First-class or charter travel Charter airplane travel was provided to seven listed persons and was treated as a business expense and was not treated as taxable compensation. The President has traveled first class and was treated as a business expense and not treated as taxable compensation. Schedule J, Part I, Line 1a Travel for companions The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Six listed persons received companion travel. Companion travel was treated as taxable compensation for three listed persons. Schedule J, Part I, Line 1a Tax indemnification and gross-up payments Four listed persons received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation. Schedule J, Part I, Line 1a Housing allowance or residence for personal use The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Six listed persons were provided with housing or a housing allowance and the amounts were treated as taxable compensation. Schedule J, Part I, Line 1a Health or social club dues or initiation fees The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. Six listed persons received reimbursement for social club initiation fees and/or dues. The club initiation fees were treated as taxable compensation for one listed person. The club dues were treated as taxable compensation for three listed persons. One listed person received an airline club membership that was treated as taxable compensation. Schedule J, Part I, Line 1a Personal services In connection with the University-provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit for cleaning services associated with the personal living quarters is treated as taxable compensation. Nominal chauffeur services were provided to the President and the value of the benefit is treated as taxable compensation. Schedule J, Part I, Line 4a Severance or change-of-control payment John Capelli received a payment in the amount of $1,391. In connection with his retirement from Northwestern University, Thomas Cline received a one-time payment in the amount of $583,000, which is included in Part II, column B(ii). Schedule J, Part I, Line 4b Supplemental nonqualified retirement plan The following participated in a 457(f) nonqualified retirement plan and the amounts are subject to substantial risk of forfeiture and vest after a number of years Name and amount contributed: Morton O. Schapiro ($165,179), Daniel I. Linzer ($150,000), Nimalan Chinniah ($30,000), Thomas G. Cline ($86,667), James M. Hurley ($83,333),Robert E. McQuinn ($91,667), James J. Phillips ($70,000). William H. McLean ($1,122,857), Peter A. Belytschko ($396,253), Harisha Koneru Haigh ($351,150) Name and amount paid: Morton O. Schapiro ($140,938), William H. McLean ($1,148,103), Peter A. Belytschko ($418,659), John A. Capelli ($525,369), Harisha Koneru Haigh ($383,705), James J. Phillips ($345,430) Schedule J, Part I, Line 5a Compensation contingent on revenues of the organization The Chief Investment Officer, Investment Manager and Managing Directors of Investments received incentive compensation which was in part calculated contingent on the performance of the University's long term investments. A ILLINOIS FINANCE AUTHORITY 861091967 45203HYZ0 2004-09-09 135800000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES & Equipment false false false B ILLINOIS FINANCE AUTHORITY 861091967 45203HPQ9 2008-06-25 125000000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES false false false C Illinois Finance Authority 861091967 45203HZ21 2015-06-04 146017057 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES false false false A 144677217 1039400 143637817 2008 false false true true B 126815680 1250000 125565680 2011 false false true true C 146081419 886268 129097996 16097155 false false false true A false true true false true false 0.0 0.0001 0.0001 false false true B false false false false 0.0 0.0 0.0 false false true C false false false false 0.0 0.0 0.0 false false true A false false false true true false false false true B false false false true true true See Part VI 7.0 false false false false true C false true false false false false false false true A true B true C true Schedule K, Part I, Column (c) Bond Issue B: IFA - Series 2008 Additional CUSIP: 45203HYX4 Schedule K, Part I, Column (c) Bond Issue C: IFA - Series 2015 Additional CUSIPs: 45203HZ39, 45203HZ47, 45203HZ54, 45203HZ62, 45203HZ88, 45203HZ70, 45203HZ96, 45203H2A9, 45203H2B7 Schedule K, Part IV, Line 4b Bond Issue B: IFA - Series 2008 Morgan Stanley Capital Services LLC; Bank of America, NA; JP Morgan Schedule K, Part II, Line 3 Total proceeds of issue The difference between issue prices and proceeds of bonds are a result of investment income earned. Schedule K, Part III, Line 3b Reviews by Bond Counsel The University engages bond counsel and performs a review of management or services contracts at the time of any new bond issuances, generally every two years. At that time all existing bond issuances and private use are re-examined and re-documented. The University monitors changes in private use on an ongoing basis internally. Schedule K, Part III, Line 4 Private Business Use The University finances acquisition, construction and renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private business use within the facilities partially funded by bonds; however, such usage was financed from other sources. Schedule K, Part I, Column (f) Purposes In addition to the purposes listed in Part I, Column (f), bonds were also issued to pay costs of issuance. Schedule K, Part IV, Line 2c COLUMN A Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 09/09/2009 Schedule K, Part IV, Line 2c COLUMN B Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 06/25/2013 James Phillips EMPLOYEE COMPENSATION X 1100000 580000 false true true James Phillips EMPLOYEE COMPENSATION X 300000 300000 false true true 880000 Kristen Novelline Family member of William A. Osborn, Trustee 80385 Employment false Charlotte Cubbage Family member of Alan K. Cubbage, Officer 80278 Employment false Jennifer Burke Family member of Joseph T. Walsh, Officer 57542 Employment false RCPI Landmark Properties LLC A. Steven Crown, Trustee, ownership interest over 35% 422500 Lease of office space false Great Lake Coca-Cola M. Jude Reyes, Trustee, ownership interest over 35% 728009 Softdrink purchases and vending commissions false Related to substantial contributor Substantial contributor, ownership interest over 35% 1012515 Investment manager fees false Schedule L, Part II SCHEDULE L SUPPLEMENTAL INFORMATION X 33 6135364 Market value X 7959998 Market value X 15723 Market value X 652 49918903 Market value X 24 3350 Market value X equipment 9 66218 Market value X Events, tickets 236 1941418 Market value 12 false true false Form 990, Part VI, Line 10a LOCAL CHAPTERS, BRANCHES THE UNIVERSITY DOES NOT HAVE LOCAL CHAPTERS, BRANCHES, LODGES, UNITS OR SIMILAR AFFILIATES. AS DESCRIBED IN SCHEDULE F, THE UNIVERSITY HAS ONE INTERNATIONAL CAMPUS, LOCATED IN DOHA, QATAR. THE UNIVERSITY HAS A NUMBER OF AFFILIATION AGREEMENTS AND ARRANGEMENTS WITH OTHER RESEARCH AND EDUCATIONAL INSTITUTIONS BUT THE UNIVERSITY DOES NOT HAVE AUTHORITY TO EXERCISE SUPERVISION AND CONTROL OF SUCH INSTITUTIONS. Form 990, Part VI, Line 16b JOINT VENTURES THE UNIVERSITY DOES NOT HAVE A WRITTEN POLICY REGARDING JOINT VENTURES IN GENERAL. HOWEVER, JOINT VENTURE AGREEMENTS ARE REVIEWED BY THE UNIVERSITY'S OFFICE OF GENERAL COUNSEL TO EVALUATE WHETHER THE AGREEMENT FURTHERS THE MISSION OF THE UNIVERSITY AND TO ENSURE THE SAFEGUARDING OF UNIVERSITY'S ASSETS. THE UNIVERSITY ALSO HAS GUIDELINES CONCERNING JOINT VENTURES IN ITS TECHNOLOGY TRANSFER AND INVESTMENT POLICIES. Form 990, Part VI, Line 1a Delegate broad authority to a committee Executive Committee of the Board of Trustees is comprised of 18 members of the governing body. The Executive Committee may exercise the power of the Board of Trustees between meetings with respect to ordinary business transactions. Form 990, Part VI, Line 2 Family/business relationships amongst interested persons Jay C. Hoag and M. Jude Reyes - Business relationship, Jay C. Hoag and Patrick G. Ryan Jr. - Business relationship, Lester B. Knight and D. Gideon Searle - Business relationship, Lester B. Knight and A. Steven Crown - Business relationship, Lester B. Knight and T. Bondurant French - Business relationship, Lester B. Knight and William A. Osborn - Business relationship, Lester B. Knight and M. Jude Reyes - Business relationship, Lester B. Knight and Christopher B. Galvin - Business relationship, Lester B. Knight and Frederick H. Waddell - Business relationship, Edward M. Liddy and D. Cameron Findlay - Business relationship, Edward M. Liddy and D. Gideon Searle - Business relationship, Edward M. Liddy and Miles D. White - Business relationship, M. Jude Reyes and A. Steven Crown - Business relationship, M. Jude Reyes and Patrick Ryan Jr. - Business relationship, M. Jude Reyes and Frederick H. Waddell - Business relationship, David B. Weinberg and M. Jude Reyes - Business relationship, Miles D. White and William A. Osborn - Business relationship, William A. Osborn and Edward M. Liddy - Business relationship, Charles A. Tribbett III and Frederick H. Waddell - Business relationship, Frederick H. Waddell and Edward M. Liddy - Business relationship, Muneer A. Satter and William A. Osborn - Business relationship, Muneer A. Satter and Patrick Ryan Jr. - Business relationship, Muneer A. Satter and Christopher B. Galvin - Business relationship Form 990, Part VI, Line 11b Review of form 990 by governing body An electronic copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was provided for review to the Audit, Risk, and Compliance Committee of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University. Form 990, Part VI, Line 12c Conflict of interest policy University Bylaws and Statutes require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the Board of Trustees in writing. An Officer shall call any conflict of interest to the attention of the President. If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees of other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when his/her knowledge of the subject will assist the Board or any of its committees. In addition, Trustees are subject to a Conflict of Interest Policy, which has been adopted by the Board of Trustees, and disclosures are reviewed annually. Potential conflicts of interest of Trustees and Officers are reviewed by the University's General Counsel. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed. Form 990, Part VI, Line 15a Process to establish compensation of top management official The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the Compensation Committee of the Board relies on formal survey and comparability data prepared and compiled by outside consultants who have expertise in the field of executive compensation assessment and benchmarking. The compensation committee of the board met in June 2014 to review and approve fiscal year 2015 (September 1, 2014 to August 31, 2015) salaries and met in June 2015 to review and approve fiscal year 2015 (September 1, 2015 to August 31, 2016) salaries. Actions undertaken by the compensation committee of the board are contemporaneously documented in the minutes of each meeting. Form 990, Part VI, Line 15b Process to establish compensation of other employees Compensation Committee of the Board reviewed and approved compensation of all current officers listed in Part VII, Section A. Form 990, Part VI, Line 19 Required documents available to the public Governing documents: The University maintains an Office for University Relations where information requests from the public are processed. The organizing document by which the University was created, its charter, is available upon request. Form 990, Part VIII, Line 2f Other Program Service Revenue plant - Total Revenue: 7824205, Related or Exempt Function Revenue: 7824205, Unrelated Business Revenue: , Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Form 990, Part VIII, Line 11d Other Miscellaneous Revenue Parking garage - Total Revenue: 1525570, Related or Exempt Function Revenue: , Unrelated Business Revenue: 1525570, Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Magazine advertising - Total Revenue: 32698, Related or Exempt Function Revenue: , Unrelated Business Revenue: 32698, Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Transportation - Total Revenue: 4366, Related or Exempt Function Revenue: , Unrelated Business Revenue: 4366, Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Form 990, Part XI, Line 9 Other changes in net assets or fund balances Change in value of derivative instruments - -1557000; Change in value of nonoperating items - 70672863; Schedule F, Part I, Line 3 Program-related Investments Program-related investments represent student loans disbursed during student's enrollment in international program. Schedule F, Part I, Line 2 PROCEDURES FOR MONITORING USE OF GRANT FUNDS Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Schedule J, Part I, Line 7 Non-fixed payments The President and nine interested persons received a non-fixed payment related to a recognition bonus. One officer was offered non-fixed payment related to travel, domestic services, apparel and tickets. Triad WIS NWU LLC 550 N Green Bay Rd Lake Forest IL 60045 473504918 Investment IL -1779 5048221 Northwestern University RUBICON INSURANCE COMPANY 2020 RIDGE AVENUE EVANSTON IL 60208 363694409 PROVIDING MEDICAL MALPRACTICE COVERAGE IL 501(c)(3 Type II NORTHWESTERN UNIVERSITY true STUDENTS PUBLISHING COMPANY 1999 SHERIDAN RD EVANSTON IL 60208 366002654 PUBLISHES STUDENT PERIODICALS IL 501(c)(3 Type II N/A false MCGAW MEDICAL CENTER OF NORTHWESTERN UNIVERSITY 420 E SUPERIOR ST CHICAGO IL 60611 362656113 COORDINATION OF MEDICAL RESIDENTS IL 501(c)(3 Type I N/A false NORTHWESTERN GLOBAL HEALTH FOUNDATION PO BOX 1969 EVANSTON IL 60204 273159956 DEVELOPING MEDICAL DEVICES FOR PEOPLE IN NEED IN DEVELOPING COUNTRIES IL 501(c)(3 9 NORTHWESTERN UNIVERSITY true THE BIG TEN CONFERENCE INC 1500 W HIGGINS RD PARK RIDGE IL 60068 363640583 FACILITATE QUALITY INTERCOLLEGIATE ATHLETIC COMPETITION IL 501(c)(3 Type II N/A false NORTHWESTERN UNIVERSITY EMPLOYEES BENEFIT TRUST PO BOX 803878 CHICAGO IL 60680 363180819 PROVIDING HEALTH INSURANCE BENEFITS TO CURRENT AND FORMER ELIGIBLE EMPLOYEES IL 501(c)(9 NORTHWESTERN UNIVERSITY true NORTHWESTERN UNIVERSITY EMPLOYEES BENEFIT TRUST DENTAL PO BOX 803878 CHICAGO IL 60680 363591834 PROVIDING HEALTH INSURANCE BENEFITS TO CURRENT AND FORMER ELIGIBLE EMPLOYEES IL 501(c)(9 NORTHWESTERN UNIVERSITY true NORTHWESTERN UNIVERSITY DISABILITY TRUST 135 S LASALLE ST CHICAGO IL 60603 366784987 PROVIDING DISABILITY BENEFITS TO CURRENT AND FORMER ELIGIBLE EMPLOYEES IL 501(c)(9 NORTHWESTERN UNIVERSITY true SON CONSORTIUM INC CAMPUS BOX 1058 ONE BROOKINGS DR ST LOUIS MO 63130 462932954 FACILITATE DELIVERY OF EDUCATION OF ITS MEMBER INSTITUTIONS DE 501(c)(3 N/A false COMMITTEE ON INSTITUTIONAL COOPERATION 1819 S NEIL ST CHAMPAIGN IL 61820 463254996 ACADEMIC CONSORTIUM TO ADVANCE MISSION OF MEMBER INSTITUTIONS IL 501(c)(3 Type III-FI N/A false WOMANS EDUCATIONAL AID ASSOC 804 OAKTON ST 1E EVANSTON IL 60202 363049387 PROVIDING FINANCIAL AID TO STUDENTS IL 501(c)(3 Type II N/A false CHARITABLE REMAINDER UNITRUSTS (111) IL N/A Trust false Charitable Remainder Annuity Trusts (16) IL N/A Trust false Bensell US Feeder LP 50 Lothian Rd Festival Square Edinburgh UK EH39WJ 980492320 Investments UK Northwestern University C Corporation 824754 4568090 0.566 true Conquest Managed Futures Select Fund III Ltd 45 Market Street Suite 3205 Camana Bay Grand Cayman CJ KYI9003 Investments CJ Northwestern University C Corporation 51381 58223124 1 true false false true false false false false false false true false false false true true true true true true rubicon insurance company Q 762140 cash rubicon insurance company R 3417570 cash northwestern global health foundation S 809854 cash northwestern university employees benefit trust - health R 57800499 cash northwestern university employees benefit trust - dental R 3574510 cash Bensell US Feeder LP S 962315 Cash Schedule R, Part IV, Column (c) The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois