2017-05-11T13:49:57-05:00 2016-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2015-07-01 250969449 CARNEGIE MELLON UNIVERSITY CARN 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 ANGELA BLANTON VP FOR FINANCE & CFO 4122681358 2017-05-02 1 SUSAN M KIRSCH P00341397 4122613644 2015 2021-01-29 14:40:06Z DR SUBRA SURESH 5000 FORBES AVENUE PITTSBURGH PA 15213 2416249454 0 X WWW.CMU.EDU X 1900 PA HIGHER EDUCATION AND RESEARCH. 57 52 13520 66 1681325 -1171857 508112330 576147639 714050010 743612548 113924593 92039292 9597307 16862252 1345684240 1428661731 165926766 170618483 0 0 682025902 699189834 447813 843540 19040995 325695737 332913650 1174096218 1203565507 171588022 225096224 3042995825 3905199493 810351770 1569130406 2232644055 2336069087 X TO CREATE AND DISSEMINATE KNOWLEDGE AND ART THROUGH RESEARCH AND CREATIVE INQUIRY, TEACHING, AND LEARNING AND TO TRANSFER OUR INTELLECTUAL AND ARTISTIC PRODUCT TO ENHANCE SOCIETY IN MEANINGFUL AND SUSTAINABLE WAYS.TO SERVE OUR STUDENTS BY TEACHING THEM PROBLEM SOLVING, LEADERSHIP AND TEAMWORK SKILLS, AND THE VALUE OF COMMITMENT TO QUALITY, ETHICAL BEHAVIOR, AND RESPECT FOR OTHERS.TO ACHIEVE THESE ENDS BY PURSUING THE ADVANTAGES OF A DIVERSE AND RELATIVELY SMALL UNIVERSITY COMMUNITY, OPEN TO THE EXCHANGE OF IDEAS WHERE DISCOVERY, CREATIVITY, AND PERSONAL AND PROFESSIONAL DEVELOPMENT FLOURISH. 0 0 618516398 139502944 672193969 INSTRUCTION:CARNEGIE MELLON IS A HYBRID OF A TECHNICAL INSTITUTE, FINE-ARTS CONSERVATORY AND TRADITIONAL RESEARCH UNIVERSITY, HAVING EVOLVED IN RESPONSE TO EMERGING SOCIAL NEEDS AND INTELLECTUAL DEVELOPMENT OF THE PAST CENTURY. UNITING TECHNOLOGY AND ARTS, FUSING THE PRACTICAL WITH THE IMAGINATIVE, MAINTAINING ITS EDUCATIONAL EMPHASIS ON DEVELOPING SKILLS TO SOLVE PROBLEMS.INCLUDES 7 COLLEGES AND SCHOOLS OFFERING DEGREE PROGRAMS AND MORE THAN 100 MAJORS AND MINORS TO APPROXIMATELY 13,600 UNDERGRADUATES, GRADUATES AND DOCTORAL STUDENTS. INSTRUCTION INCLUDES ACADEMIC SUPPORT AND STUDENT SERVICES.CARNEGIE MELLON HAS ITS MAIN CAMPUS IN PITTSBURGH, SATELLITE CAMPUSES IN SILICON VALLEY AND DOHA, QATAR, AND DEGREE-GRANTING PROGRAMS IN COORDINATION WITH GLOBAL PROGRAMS INCLUDING AUSTRALIA, JAPAN, PORTUGAL, RWANDA AND CHINA.NATIONALLY AND GLOBALLY, CARNEGIE MELLON HAS BECOME A MAJOR VOICE OF CONNECTIVITY IN TECHNOLOGY, EXPANSION OF EDUCATIONAL OPPORTUNITY AND ECONOMIC DEVELOPMENT. 345584082 31115539 0 RESEARCH:CARNEGIE MELLON HOLDS A PROUD VISION OF ITSELF AS A DISTINCTIVE AND DIFFERENT KIND OF RESEARCH UNIVERSITY WHERE NATIONALLY RECOGNIZED PROGRAMS FROM ACROSS THE LEADING DISCIPLINES, FROM COMPUTING AND ENGINEERING TO FINE ARTS, INTERSECT. IT IS A DECENTRALIZED COMMUNITY OF SCIENTISTS AND INTELLECTUALS, ARTISTS AND POLICYMAKERS, BUSINESS EXPERTS AND POETS. THE DIVERSE AND DECENTRALIZED COMMUNITY THAT CHARACTERIZES CARNEGIE MELLON CULTURE RESTS ON A SET OF CORE UNDERPINNINGS AND A STRONG COMMITMENT TO REAL-WORLD PROBLEM SOLVING, INTERDISCIPLINARY COLLABORATION AND HARD WORK, COMBINED WITH JOIE DE VIVRE.EACH OF THESE REQUIRES CONNECTIONS AMONG ENGINEERING, SCIENCE, POLICY AND MANAGEMENT, AND THE ARTS. BASIC RESEARCH IS PERFORMED IN ALL 7 COLLEGES AND SCHOOLS AND THE SOFTWARE ENGINEERING INSTITUTE. CARNEGIE MELLON IS ALSO THE HOME OF NUMEROUS RESEARCH INSTITUTES AND CENTERS FOCUSING ON SOME OF THE WORLD'S GREATEST CHALLENGES.CARNEGIE MELLON'S RESEARCH-INTENSIVE ENVIRONMENT PROVIDES A RICH SETTING FOR THE UNIVERSITY'S EDUCATIONAL OFFERINGS AND ASPIRATIONS. THE SEARCH FOR NEW KNOWLEDGE AND A SPIRIT OF ONGOING CRITICAL INQUIRY ARE THE IDEALS THAT PERMEATE ITS APPROACH TO TEACHING AND ITS EXPECTATIONS FOR WHAT STUDENTS WILL ACHIEVE. 102491067 0 57885448 AUXILIARY SERVICES:SERVICES TO SUPPORT THE INSTRUCTION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. THESE SERVICES INCLUDE BUT ARE NOT LIMITED TO HOUSING, DINING SERVICES, PARKING, BOOKSTORE, PRINTING, TELECOMMUNICATIONS, AND OTHER SERVICES RELATED TO THE DELIVERY OF EDUCATION. 19129372 0 13533131 OTHER PROGRAM SERVICES:OTHER FEES AND MEMBERSHIPS, EXTERNAL SUPPORT AND SERVICES AND OTHER MISCELLANEOUS PROGRAM SERVICE REVENUE THAT SUPPORTS THE INSTRUCTION, RESEARCH, AND AUXILIARY FUNCTIONS OF THE UNIVERSITY. 19129372 0 13533131 1085720919 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 1 1 1 0 0 1 19813 0 1 13520 1 1 1 1 AS GM QA RW 0 0 0 1 1 0 0 0 0 0 0 X 57 52 1 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 PA X CARRIE NELSON 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 X JOEL P ADAMS LIFE TRUSTEE 4.00 0.00 X 0 0 0 JOHN R BERTUCCI LIFE TRUSTEE 1.00 0.00 X 0 0 0 FRANK BRUNCKHORST LIFE TRUSTEE 5.00 0.00 X 0 0 0 ERROLL B DAVIS JR LIFE TRUSTEE 2.00 0.00 X 0 0 0 LINDA A DICKERSON LIFE TRUSTEE 1.00 0.00 X 0 0 0 PHILIP L DOWD LIFE TRUSTEE 2.00 0.00 X 0 0 0 FRANCISCO B D'SOUZA LIFE TRUSTEE 5.00 0.00 X 0 0 0 HOWARD L ELLIN LIFE TRUSTEE 3.00 0.00 X 0 0 0 YOSHIAKI FUJIMORI LIFE TRUSTEE 0.50 0.00 X 0 0 0 IRA J GUMBERG LIFE TRUSTEE 1.00 0.00 X 0 0 0 TORRENCE M HUNT JR LIFE TRUSTEE 3.00 0.00 X 0 0 0 LARRY E JENNINGS JR LIFE TRUSTEE 2.00 1.30 X 0 0 0 RAYMOND J LANE LIFE TRUSTEE 1.00 0.00 X 0 0 0 BRUCE M MCWILLIAMS LIFE TRUSTEE 1.00 0.00 X 0 0 0 AMBAR PAUL LIFE TRUSTEE 0.25 0.00 X 0 0 0 JONATHAN M ROTHBERG LIFE TRUSTEE 1.00 0.00 X 0 0 0 DAVID S SHAPIRA LIFE TRUSTEE 1.00 0.00 X 0 0 0 J LEA HILLMAN SIMONDS LIFE TRUSTEE 1.00 1.00 X 0 0 0 MANOJ P SINGH LIFE TRUSTEE 1.00 0.00 X 0 0 0 DONALD E STITZENBERG LIFE TRUSTEE 1.00 0.00 X 0 0 0 DAVID A TEPPER LIFE TRUSTEE 2.00 0.00 X 0 0 0 MARY ANN ULISHNEY LIFE TRUSTEE 1.50 0.00 X 0 0 0 SUNIL WADHWANI LIFE TRUSTEE 2.00 0.00 X 0 0 0 PAULA KAUFFMAN WAGNER LIFE TRUSTEE 1.10 0.00 X 0 0 0 LUIS H BALL TERM TRUSTEE 2018 0.50 0.00 X 0 0 0 J MICHAEL MCQUADE TERM TRUSTEE 2018 0.50 0.00 X 0 0 0 ANNE M MOLLOY TERM TRUSTEE 2018 1.30 0.00 X 0 0 0 DAVID L PORGES TERM TRUSTEE 2018 1.00 0.00 X 0 0 0 LUKE SKURMAN TERM TRUSTEE 2018 10.00 1.00 X 0 0 0 CAROL A WILLIAMS TERM TRUSTEE 2018 0.70 0.00 X 0 0 0 RONALD BIANCHINI TERM TRUSTEE 2016 1.00 0.00 X 0 0 0 ARISTIDES S CANDRIS TERM TRUSTEE 2016 1.50 0.00 X 0 0 0 ERIC COOPER TERM TRUSTEE 2016 1.00 0.00 X 0 0 0 DAVID COULTER TERM TRUSTEE 2016 2.50 0.00 X 0 0 0 RUSSELL CROCKETT TERM TRUSTEE 2016 1.00 0.00 X 0 0 0 DIRK GATES TERM TRUSTEE 2016 1.25 0.00 X 0 0 0 ERIC GILER TERM TRUSTEE 2016 3.00 0.00 X 0 0 0 EDWARD GREFENSTETTE TERM TRUSTEE 2016 1.00 60.00 X 0 796068 547822 JEFFREY HOUSENBOLD TERM TRUSTEE 2016 0.87 0.00 X 0 0 0 MANU NARAYAN TERM TRUSTEE 2016 3.00 0.00 X 0 0 0 JOHN ANDERSON TERM TRUSTEE 2017 0.75 0.00 X 0 0 0 KEITH BLOCK TERM TRUSTEE 2017 0.75 0.75 X 0 0 0 JEANNE CUNICELLI TERM TRUSTEE 2017 0.75 0.00 X 0 0 0 JAMES GIANOPULOS TERM TRUSTEE 2017 0.30 0.50 X 0 0 0 WILLIAM L MEANEY TERM TRUSTEE 2017 1.00 0.00 X 0 0 0 AJIT SHETTY TERM TRUSTEE 2017 1.50 0.00 X 0 0 0 LIP-BU TAN TERM TRUSTEE 2017 3.00 3.00 X 0 0 0 THOMAS TULL TERM TRUSTEE 2017 2.00 0.00 X 0 0 0 BRUCE KRAUS EX-OFFICIO TRUSTEE 1.00 0.00 X 0 0 0 MAYOR WILLIAM PEDUTO EX-OFFICIO TRUSTEE 0.30 0.30 X 0 0 0 TODD PRZYBYCIEN EX-OFFICIO TRUSTEE 50.00 0.00 X 184385 0 57163 KRISTEN KURLAND EX-OFFICIO TRUSTEE 50.00 0.00 X 152416 0 11620 REBECCA ALLISON EX-OFFICIO TRUSTEE 5.00 0.00 X 0 0 0 JAMES E ROHR CHAIRMAN/LIFE TRUSTEE 8.00 0.10 X X 0 15000 0 TOD S JOHNSON VICE CHAIRMAN/LIFE TRUSTEE 1.00 0.00 X X 0 0 0 EDWARD H FRANK VICE CHAIRMAN/LIFE TRUSTEE 1.50 0.00 X X 0 0 0 SUBRA SURESH PRESIDENT/EX-OFFICIO TRUSTEE 50.00 2.00 X X 1130100 15000 201411 MARY JO DIVELY VP/GENERAL COUNSEL 50.00 0.00 X 453458 0 188669 AMIR RAHNAMAY-AZAR V.P. OF FINANCE/CFO (EXIT MAY 2016) 50.00 0.10 X 427593 0 41135 ELIZABETH A MILAVEC ASST. TREASURER 50.00 2.00 X 256671 0 41388 JAY S CALHOUN TREASURER 50.00 0.00 X 232410 0 65445 CHERYL M HAYS SECRETARY 50.00 0.00 X 296294 0 31185 STEVE KLOEHN V.P. FOR MARKETING AND COMMUNICATIONS 50.00 0.00 X 225775 0 43277 SCOTT MORY VP FOR UNIV. ADVANCEMENT (START OCT. 2015) 50.00 0.00 X 140629 0 10786 FARNAM JAHANIAN PROVOST 50.00 2.00 X 512793 0 71958 KAREN T KHAN ASSISTANT SECRETARY 50.00 0.00 X 118038 0 19121 MICHAEL C MURPHY VP FOR CAMPUS AFFAIRS 50.00 0.00 X 428330 0 37290 ANGELA BLANTON INTERIM VP OF FINANCE/CFO(START MAY 2016) 50.00 0.00 X 7609 0 0 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 50.00 15.00 X 453502 0 158350 ANDREW MOORE DEAN, SCHOOL OF COMPUTER SCIENCE 50.00 1.00 X 545678 0 40657 PAUL D NIELSEN CEO/DIRECTOR SEI 50.00 0.00 X 544041 0 26523 JAMES H GARRETT DEAN CARNEGIE INSTITUTE OF TECHNOLOGY 50.00 0.25 X 376255 0 36625 MARK S KAMLET UNIV. PROF. OF ECON. & PUBLIC POLICY 50.00 0.00 X 778291 0 33290 ILKER BAYBARS DEAN/ QATAR CAMPUS 50.00 0.00 X 1164643 0 59681 RICHARD MUNDY CHIEF OPERATING OFFICER-QA 50.00 0.00 X 546178 0 60699 ROBERT DAMMON DEAN/ TEPPER SCHOOL OF BUSINESS 50.00 0.00 X 537030 0 35114 TRIDAS MUKHOPADHYAY DELOITTE CONSULTING PROFESSOR 50.00 0.00 X 673355 0 53712 JARED L COHON FORMER OFFICER/TRUSTEE 50.00 0.00 X 272343 0 40371 NATHAN URBAN FORMER OFFICER 50.00 1.00 X 220618 0 28925 JOHN LEHOCZKY FORMER OFFICER 50.00 5.00 X 394832 0 38969 PAMELA EAGER FORMER OFFICER 50.00 0.00 X 298839 0 43337 ROBBEE B KOSAK FORMER OFFICER 0.00 0.00 X 316612 0 0 RANDAL E BRYANT FORMER KE 50.00 0.00 X 300673 0 42725 11989391 826068 2067248 1288 1 1 0 JENDOCO CONSTRUCTION CORP 2000 LINCOLN RD PITTSBURGH PA 15235 CONSTRUCTION 33124786 MOSITES CONSTRUCTION 4839 CAMPBELLS RUN ROAD PITTSBURGH PA 15205 CONSTRUCTION 13415502 CULINART INC 175 SUNNYSIDE BLVD PLAINVIEW NY 11803 DINING SERVICES 12064769 MASCARO CONSTRUCTION CO LP 1720 METROPOLITAN STREET PITTSBURGH PA 15233 CONSTRUCTION 8588772 DELTA RISK LLC 2804 N SEMINARY AVE CHICAGO IL 60657 CONSULTING 4537409 150 460506 5126451 344720703 225839979 11238919 576147639 TUITION 900099 672193969 672193969 AUXILIARY SERVICES 611710 57885448 56934562 950886 OTHER PROGRAM SERVICES 900099 13533131 13533131 743612548 20925482 306269 20619213 12612213 12612213 1405106 18785 469194 0 935912 18785 954697 21625 933072 1055205583 983033166 1058607 72172417 -1058607 71113810 71113810 54220 460506 136377 -82157 -82157 6267878 2890379 3377499 402545 2974954 1428661731 742661662 1681325 108171105 31115539 31115539 127308196 127308196 12194748 12194748 7868811 1267915 5654976 945920 2597002 571685 1710006 315311 566051411 519178035 36261786 10611590 34001399 29769917 3401152 830330 58333994 54867574 1888978 1577442 30337217 26258206 3295793 783218 3596690 2270415 1313693 12582 1631694 78035 1553659 498166 498166 843540 843540 5417945 5417945 23012382 13817720 8035425 1159237 3198424 2244248 935680 18496 23546054 19944247 3178779 423028 23333200 15764805 7212905 355490 4671460 4671460 54906549 48245449 6659597 1503 32188844 26386278 4898201 904365 12325712 11217197 910359 198156 9267413 9130453 136960 61295556 57530154 3765402 2968861 2608560 360301 FOOD SERVICE OPERATIONS 19040340 18908859 131481 INFORMATION RESOURCES 9418095 9287392 70811 59892 NON-CAPITAL EQUIPMENT 7860384 5941693 1917796 895 FABRICATED EQUIPMENT 1889600 1882158 7442 32846281 32761815 84466 1203565507 1085720919 98803593 19040995 48187 51152 182754928 907701874 125161805 167522272 39679514 36005973 9372929 5840276 2509468 2287525 15450375 15310954 1596541898 779149987 747413536 817391911 983367391 1072572445 869034436 835086955 68203256 45428156 3042995825 3905199493 127788495 138418923 110822073 857441009 444704523 442346954 48793127 42875155 78243552 88048365 810351770 1569130406 X 870146288 934547299 699814136 690121246 662683631 711400542 2232644055 2336069087 3042995825 3905199493 X 225096224 -104535735 -17135457 X X 0 1 X 1 1 1 X 515160121 519400189 504944253 508112330 576147639 2623764532 515160121 519400189 504944253 508112330 576147639 2623764532 2623764532 28186745 25785689 20770582 27122710 34961586 136827312 1770890 1770890 2762362734 3416071685 0.94980 0.95120 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 498166 498166 498166 498166 1203067341 1203767409 1203565507 1204265575 1000000 1000000 250000 250000 0 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 454992 465342 491648 498166 1910148 250000 250000 250000 250000 1000000 1500000 0 4794026 X X 0 1336871754 44843541 -17973647 14655109 42662204 1935320 1304489015 1249218977 54373142 87372305 12834311 39323039 1935320 1336871754 1074468210 35015698 189493030 10989003 37261560 1507398 1249218977 985941144 38204270 96048173 10321487 33981202 1422688 1074468210 1016165364 21673502 -5097016 10587113 34925046 1288547 985941144 0.16880 0.50470 0.32650 0 1 1 48361456 48361456 1140254362 543782661 596471701 19755339 14655137 5100202 256713460 162295984 94417476 131457281 58416205 73041076 817391911 REAL ESTATE 75270558 F VENTURE CAP. & PRIV. EQ 318348165 F AGGRESSIVE, DISTRESSED & ARBITRAGE FIXED INCOME 25174363 F NATURAL RESOURCES 99232014 F HEDGE FUNDS 180380903 F LOCAL REGION 2933559 F EMERGING MARKET 133747393 F 835086955 CONTRACT RETENTIONS 4167404 GATE STUDENT LOAN PROGRAM 795438 ASSET RETIREMENT OBLIGATION-FIN 47 5190378 FEDERAL LOAN PROGRAMS & STUDENT DEPOSITS 14743563 PRESENT VALUE OF ANNUITIES DUE 13854076 SWAP AGREEMENTS/CONTRACTS 46965854 FEDERAL, STATE, AND LOCAL TAXES PAYABLE 315820 MISC. OTHER LIABILITIES 150196 AGENCY FUNDING 35258 PV ANNUITIES FOR PROPERTY ACQS 1830378 88048365 1203770224 -104535735 10810694 8320202 -85404839 1289175063 139486668 139486668 1428661731 1089107792 10810694 12606328 23417022 1065690770 137874737 137874737 1203565507 PART III, LINE 4: CARNEGIE MELLON MAINTAINS VARIOUS ITEMS INCLUDING COLLECTIONS OF ART, HISTORIC ARTIFACTS AND OTHER SIMILAR ASSETS TO SUPPORT THE EDUCATION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. PART V, LINE 4: THE CARNEGIE MELLON ENDOWMENT IS A COLLECTION OF INDIVIDUAL FUNDS PRIMARILY ESTABLISHED BY DONORS AND MANAGED BY THE UNIVERSITY AS A POOLED SET OF ASSETS. IN ACCORDANCE WITH THE PENNSYLVANIA ACT 141 AND DONOR INTENT, THE UNIVERSITY SPENDS A PREDETERMINED PORTION OF THE ENDOWMENT INCOME EACH YEAR ON FACULTY SUPPORT, STUDENT SUPPORT, AND GENERAL UNIVERSITY SUPPORT. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 2,890,379. SUBSIDIARY REVENUE 20,998,575. RENTAL EXPENSE 469,194. CHANGE IN SWAP VALUE NET OF INTEREST EXP -15,603,454. TRANSLATION ADJUSTMENT & OTHER -434,492. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 132,781,412. INVESTMENT MANAGER FEES 5,417,945. LOSS ON SALE OF ASSETS -756,762. UNCOLLECTIBLE PLEDGE WRITE OFFS 2,069,699. NET LOSS FROM FUNDRAISING EVENTS -82,157. LAMME DISTRIBUTION 57,938. MPC ACCRUAL -1,407. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 2,890,379. SUBSIDIARY EXPENSE 9,246,755. RENTAL EXPENSE 469,194. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 132,781,412. INVESTMENT MANAGER FEES 5,417,945. TRANSLATION ADJUSTMENT & OTHER 432,142. LOSS ON SALE OF ASSETS -756,762. PART XII: RECONCILIATION OF REVENUE PER AUDITED FINANCIAL STATEMENTS WITH REVENUE PER RETURN AND PART XIII - RECONCILIATION OF EXPENSES PER AUDITED FINANCIAL STATEMENTS WITH EXPENSES PER RETURN: LINE 1 OF EACH PART RESPECTIVELY CONSISTS OF CONSOLIDATED NUMBERS FROM THE AUDITED FINANCIAL STATEMENTS AND RECONCILES TO THE STAND-ALONE (SEPARATE BASIS) REVENUE AND EXPENSES AS REPORTED ON THE FORM 990, PART I, LINE 12. PART X, LINE 2: ALTHOUGH THERE IS NO FOOTNOTE ON THE AUDITED FINANCIAL STATEMENTS REGARDING FIN 48 (ASC 740), CARNEGIE MELLON DOES PERFORM AN ANNUAL FIN 48 (ASC 740) REVIEW TO ANALYZE ALL TAX POSITIONS AS REQUIRED. FOR THE FISCAL YEAR ENDED JUNE 30, 2016 CARNEGIE MELLON HAS ASSESSED ALL UNCERTAIN TAX POSITIONS AND HAS DETERMINED THEM TO BE IMMATERIAL. THE UNIVERSITY'S STATEMENTS OF FINANCIAL POSITION DO NOT INCLUDE ANY LIABILITIES ASSOCIATED WITH UNCERTAIN TAX POSITIONS. 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 NON-DISCRIMINATORY POLICY AND STATEMENT OF ASSURANCE APPEARS ON PRINTED MATERIALS USED TO COMMUNICATE WITH PROSPECTIVE AND CURRENT STUDENTS AS WELL AS EMPLOYEES OF CARNEGIE MELLON UNIVERSITY. SCHEDULE E, PART I, LINE 6 MONETARY GRANTS WERE RECEIVED FROM FEDERAL AND STATE AGENCIES TO PROVIDE ASSISTANCE TO STUDENTS ATTENDING CARNEGIE MELLON UNIVERSITY. 1 EUROPE (INCLUDING ICELAND & GREENLAND) GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 489543 MIDDLE EAST AND NORTH AFRICA GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES/PROGRAM SUPPORT 98605 SUB-SAHARAN AFRICA GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 3362264 EAST ASIA AND THE PACIFIC GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 2402669 MIDDLE EAST AND NORTH AFRICA GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 5750643 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 91024 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES EDUCATION 35639 EAST ASIA AND THE PACIFIC 2 45 PROGRAM SERVICES EDUCATION 6032672 EUROPE (INCLUDING ICELAND & GREENLAND) 6 PROGRAM SERVICES EDUCATION 3435252 MIDDLE EAST AND NORTH AFRICA 1 189 PROGRAM SERVICES EDUCATION 58735878 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 5 PROGRAM SERVICES EDUCATION 517330 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES EDUCATION 28675 SOUTH AMERICA PROGRAM SERVICES EDUCATION 204735 SOUTH ASIA PROGRAM SERVICES EDUCATION 155636 SUB-SAHARAN AFRICA 1 40 PROGRAM SERVICES EDUCATION 5058787 EAST ASIA AND THE PACIFIC UNRELATED BUSINESS UBI EXPENSES 25870 CENTRAL AMERICA AND THE CARIBBEAN PORTFOLIO INVESTMENTS 367137542 EUROPE (INCLUDING ICELAND & GREENLAND) PORTFOLIO INVESTMENTS 76238699 SUB-SAHARAN AFRICA PORTFOLIO INVESTMENTS 8452015 EAST ASIA AND THE PACIFIC PORTFOLIO INVESTMENTS 5725409 NORTH AMERICA PORTFOLIO INVESTMENTS 271432 2 45 2 240 4 285 18263059 525987260 544250319 EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACTS 489543 CASH; ELECTRONIC FUND TRANSFER N/A N/A MIDDLE EAST AND NORTH AFRICA SUBCONTRACTS 98605 CASH; ELECTRONIC FUND TRANSFER N/A N/A NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES SUBCONTRACTS 91024 CASH; ELECTRONIC FUND TRANSFER N/A N/A SUB-SAHARAN AFRICA PROGRAM SUPPORT 75000 CASH; ELECTRONIC FUND TRANSFER N/A N/A EAST ASIA AND THE PACIFIC SUBCONTRACTS 169098 CASH; ELECTRONIC FUND TRANSFER N/A N/A 15 2 STUDENT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 33 2233571 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 216 5750643 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS SUB-SAHARAN AFRICA 200 3287264 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A 1 0 1 1 1 1 PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO STUDENTS AT ITS INTERNATIONAL LOCATIONS PURSUANT TO A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, NON-ACADEMIC TALENTS AND ABILITIES, AS WELL AS FINANCIAL NEED. SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. THESE FUNDS ARE MONITORED BY THE OFFICE OF SPONSORED PROJECTS AND SPONSORED PROJECTS ACCOUNTING. X X X X X X X 1 RUFFALO CODY 65 KIRKWOOD N ROAD SW CEDAR RAPIDS IA 52406 TELEMARKETING SERVICES 0 661336 346243 315093 GGA 401 N MICHIGAN AVENUE CHICAGO IL 60611 PLANNED GIVING CONSULTING 0 0 497297 -497297 661336 843540 -182204 PA CMU NIGHT AT THE BREAKERS 477906 460506 17400 14717 50066 17835 ATHLETICS FOOTBALL GOLF OUTING 28570 28570 5577 11244 4734 2483 1 8250 8250 1576 12322 15823 514726 460506 54220 5577 27537 67122 36141 136377 -82157 SCHEDULE G, PART I, LINE 2B, COLUMN (V) THE PROFESSIONAL FUNDRAISING SERVICES REPORTED ON LINE 2B ACTIVITY 2 IS FOR CONSULTING SERVICES FOR GENERAL FUNDRAISING ACTIVITIES. 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LIBERTY UNIVERSITY FOUNDATION INC 208 UNIVERSITY DR WEST LIBERTY WV 26074 550480299 501(C)(3) 38250 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WEST VIRGINIA UNIVERSITY RESEARCH CORP PO BOX 6002 MORGANTOWN WV 26506 550665758 501(C)(3) 265847 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WOODS HOLE OCEANOGRAPHIC INSTITUTION 569 WOODS HOLE RD WOODS HOLE MA 02543 042105850 501(C)(3) 11768 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WRIGHT STATE UNIVERSITY 3640 COLONEL GLENN HIGHWAY DAYTON OH 45435 310732831 501(C)(3) 14474 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS ZAYO GROUP HOLDINGS INC 400 CENTENNIAL PARKWAY SUITE 200 LOUISVILLE CO 80027 261398293 36737 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS EDUCATION/RESEARCH SUBCONTRACTS 108 49 CMU SCHOLARSHIPS 7326 113033102 N/A N/A ENDOWED STUDENT SCHOLARSHIPS 1158 9808674 N/A N/A FEDERAL GRANT 759 2077676 N/A N/A EXTERNAL DONOR OR CORPORATE FUNDED SCHOLARSHIPS 330 2388744 N/A N/A PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO INDIVIDUALS AND ORGANIZATIONS IN THE U.S. BASED ON A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, NON-ACADEMIC TALENTS AND ABILITIES, AS WELL AS FINANCIAL NEED. FOR STUDENTS, SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. OTHER TYPES OF GRANTS AND ASSISTANCE MIGHT INCLUDE, FOR EXAMPLE, RECIPIENTS OF PRIZES AND AWARDS WHO HAVE MET THE SPECIFIC CRITERIA FOR THE PARTICULAR PRIZE OR AWARD TO BE SELECTED. IN THE CASE OF SCHOLARSHIPS AND FELLOWSHIPS, THE RECIPIENT IS OFTEN REQUIRED TO UTILIZE THE FUNDS IN FURTHERANCE OF THEIR EDUCATION AND RESEARCH AT CMU. GRANTS ARE ALSO MADE IN THE CONTEXT OF ACADEMIC OR RESEARCH PROGRAMS AND RECIPIENTS SPEND THEIR GRANT FUNDS UNDER THE SUPERVISION OF THE PROGRAM FOR THE USE OF THE FUNDS. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. FUNDS ARE SPENT UNDER THE SUPERVISION OF THE PRINCIPAL INVESTIGATORS AND ARE ACCOUNTABLE TO FEDERAL AND SPONSOR TERMS AND CONDITIONS. X X X X X X X 1 1 X X X X X X 1 1 0 0 0 0 0 1 0 EDWARD GREFENSTETTE TERM TRUSTEE 2016 0 470000 0 320000 0 6068 0 536805 0 11017 0 1343890 0 0 TODD PRZYBYCIEN EX-OFFICIO TRUSTEE 165977 0 0 0 18408 0 15989 0 41174 0 241548 0 0 0 KRISTEN KURLAND EX-OFFICIO TRUSTEE 151623 0 0 0 793 0 11620 0 0 0 164036 0 0 0 SUBRA SURESH PRESIDENT/EX-OFFICIO TRUSTEE 775507 0 0 0 354593 15000 141200 0 60211 0 1331511 15000 240000 0 MARY JO DIVELY VP/GENERAL COUNSEL 415814 0 0 0 37644 0 21200 0 167469 0 642127 0 0 0 AMIR RAHNAMAY-AZAR V.P. OF FINANCE/CFO (EXIT MAY 2016) 411557 0 0 0 16036 0 21200 0 19935 0 468728 0 0 0 ELIZABETH A MILAVEC ASST. TREASURER 254190 0 0 0 2481 0 21200 0 20188 0 298059 0 0 0 JAY S CALHOUN TREASURER 229770 0 0 0 2640 0 19246 0 46199 0 297855 0 0 0 CHERYL M HAYS SECRETARY 274719 0 0 0 21575 0 21200 0 9985 0 327479 0 0 0 STEVE KLOEHN V.P. FOR MARKETING AND COMMUNICATION 214228 0 10000 0 1547 0 16000 0 27277 0 269052 0 0 0 SCOTT MORY VP FOR UNIV. ADVANCEMENT (START OCT. 2015) 93864 0 25000 0 21765 0 9000 0 1786 0 151415 0 0 0 FARNAM JAHANIAN PROVOST 477824 0 0 0 34969 0 21200 0 50758 0 584751 0 0 0 MICHAEL C MURPHY VP FOR CAMPUS AFFAIRS 393674 0 0 0 34656 0 21200 0 16090 0 465620 0 0 0 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 295155 0 132611 0 25736 0 135998 0 22352 0 611852 0 39431 0 ANDREW MOORE DEAN, SCHOOL OF COMPUTER SCIENCE 523006 0 0 0 22672 0 21200 0 19457 0 586335 0 0 0 PAUL D NIELSEN CEO/DIRECTOR SEI 515751 0 0 0 28290 0 21200 0 5323 0 570564 0 0 0 JAMES H GARRETT DEAN CARNEGIE INSTITUTE OF TECHNOLOGY 346534 0 0 0 29721 0 21200 0 15425 0 412880 0 0 0 MARK S KAMLET UNIV. PROF. OF ECON. & PUBLIC POLICY 479927 0 250000 0 48364 0 21200 0 12090 0 811581 0 0 0 ILKER BAYBARS DEAN/ QATAR CAMPUS 499659 0 0 0 664984 0 21200 0 38481 0 1224324 0 0 0 RICHARD MUNDY CHIEF OPERATING OFFICER-QA 162687 0 0 0 383491 0 14679 0 46020 0 606877 0 0 0 ROBERT DAMMON DEAN/ TEPPER SCHOOL OF BUSINESS 512496 0 0 0 24534 0 21200 0 13914 0 572144 0 0 0 TRIDAS MUKHOPADHYAY DELOITTE CONSULTING PROFESSOR 284059 0 0 0 389296 0 23165 0 30547 0 727067 0 0 0 JARED L COHON FORMER OFFICER/TRUSTEE 249303 0 0 0 23040 0 24157 0 16214 0 312714 0 0 0 NATHAN URBAN FORMER OFFICER 219472 0 0 0 1146 0 18000 0 10925 0 249543 0 0 0 JOHN LEHOCZKY FORMER OFFICER 367194 0 0 0 27638 0 22357 0 16612 0 433801 0 0 0 PAMELA EAGER FORMER OFFICER 285606 0 0 0 13233 0 21200 0 22137 0 342176 0 0 0 ROBBEE B KOSAK FORMER OFFICER 0 0 0 0 316612 0 0 0 0 0 316612 0 0 0 RANDAL E BRYANT FORMER KE 295913 0 0 0 4760 0 24207 0 18518 0 343398 0 0 0 PART I, LINE 1A ALL ITEMS CHECKED IN LINE 1A ARE PROVIDED TO OR FOR A PERSON LISTED IN FORM 990, PART VII TO FURTHER THE BUSINESS, EDUCATIONAL, AND RESEARCH MISSION OF THE UNIVERSITY PURSUANT TO FEDERAL TAX REGULATIONS, IRS ACCOUNTABLE PLAN RULES, AND THE INSTITUTION'S POLICIES AND PROCEDURES. NONTAXABLE BENEFITS DISCLOSED IN COLUMN D INCLUDE, FOR EXAMPLE, CONTRIBUTIONS TO EMPLOYER HEALTH AND WELFARE PLANS, AND EMPLOYER PROVIDED HOUSING. PART I, LINES 4A-B DR. SUBRA SURESH PARTICIPATES IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. THESE BENEFITS TOTALING $120,000 WERE REPORTED IN PART II COLUMN C. ROBBEE KOSAK LEFT THE UNIVERSITY NOVEMBER 2014. SEVERANCE BENEFITS TOTALING $316,612 WERE REPORTED IN PART II COLUMN B. PART I, LINE 7 THE BONUSES THAT WERE PAID AND REPORTED IN PART II, COLUMN B(II) WERE FOR RETENTION, RELOCATION AND/OR PERFORMANCE RELATED. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RES4 2008-04-10 120820000 REFUNDING 2006A,B & 2007A. SEE PART VI FOR MORE DETAIL 0 0 0 B PENNSYLVANIA HIGHER EDUCATION FACILITIES AUTHORITY 232243852 70917RXJ9 2009-08-20 183259641 REFUNDING 1995 A-D & CAPITAL PROJECTS. SEE PART VI FOR MORE DETAIL 0 0 0 C ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729EKV8 2012-03-01 118276655 REFUNDING 1998 & 2002. SEE PART VI FOR MORE DETAIL 0 0 0 D ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729EKY2 2013-02-14 60529980 REVENUE BONDS TO FINANCE NEW CONSTRUCTION. SEE PART VI FOR MORE DETAIL 0 0 0 A 120820000 493831 120326169 1 0 1 1 B 183272585 12991 1247008 15012697 166999889 2011 1 0 1 1 C 25280000 118276655 548445 117728211 1 0 1 1 D 60573339 36398 463813 60043228 29900 0 0 0 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 1 0 0 0 1 B 0 0 1 1 0 0 0 0 1 C 0 1 1 0 1 0 0 0 1 D 0 1 0 0 0 0 0 1 1 A 1 B 1 C 1 D 1 COLUMN A PART I(F): BONDS CURRENT REFUNDED SERIES 2006AB BONDS (ISSUED DECEMBER 13,2006) AND SERIES 2007 BONDS (ISSUED MARCH 1, 2007) PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENTS TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. PART IV, LINE 2(C): AS SET FORTH IN THE FIFTH YEAR REBATE REPORT PREPARED BY THE BORROWER AND DATED APRIL 26,2013. COLUMN B DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. PART I(F): THE REFUNDING PORTION OF THE BONDS CURRENT REFUNDED SERIES 1995ABCD BONDS (ISSUED OCTOBER 26, 1995) PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENTS TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. PART IV, LINE 2(B): THE REFUNDING AND NEW MONEY PORTIONS OF THE BONDS HAVE MET THE 6-MONTH AND 18-MONTH EXPENDITURE EXCEPTIONS TO THE REBATE REQUIREMENT, RESPECTIVELY. PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT AND; THEREFORE, NO COMPUTATION HAS BEEN, OR EVER WILL BE, PREPARED FOR THE BONDS. COLUMN C PART I(F): THE BONDS CURRENT REFUNDED PORTIONS OF THE OUTSTANDING SERIES 1998 BONDS (ISSUED 12/30/1998) AND SERIES 2002 BONDS ( ISSUED MARCH 27, 2002). PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. PART III: BECAUSE PROCEEDS OF THE BONDS WERE USED TO REFUND BONDS ISSUED BEFORE JANUARY 1, 2003, THE ISSUER HAS NOT COMPLETED PART III WITH RESPECT TO THE BONDS. PART IV, LINE 2(B): BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT AND; THEREFORE, NO COMPUTATION HAS BEEN, OR EVER WILL BE, PREPARED FOR THE BONDS. COLUMN D THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BONDS PROCEEDS. PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENTS TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. C BRODSKY M. KAMLET- CMU HCE- HUSBAND OF C. BRODSKY- CMU EMPLOYEE 122644 SEE PART V COMPENSATION FOR PROFESSOR OF COLLEGE OF FINE ARTS 0 L SMITH J. GARRETT- CMU KEY EMPLOYEE- BROTHER OF L. SMITH- CMU EMPLOYEE 69910 SEE PART V COMPENSATION FOR ASSISTANT DIRECTOR OF STUDENT ACCOUNTS 0 R EAGER P. EAGER- CMU FORMER OFFICER- WIFE OF R. EAGER- CMU EMPLOYEE 129111 SEE PART V COMPENSATION FOR ASSOCIATE DIRECTOR, CIT 0 R BLANTON A. BLANTON- CMU OFFICER- WIFE OF R. BLANTON- CMU EMPLOYEE 246989 SEE PART V COMPENSATION FOR PROFESSOR OF ELECTRICAL & COMPUTER ENGINEERING 0 X 1 0 X 192 10544175 FAIR MARKET VALUE X COMPUTER EQPT 6 497672 FAIR MARKET VALUE X ALUMNI EVENT 106 84849 COST X MISCELLANEOUS EQPT 8 84523 FAIR MARKET VALUE X MUSIC EQPT 4 27700 APPRAISAL 6 0 1 0 PART I, COLUMN (B): THE NUMBER SHOWN IN COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS CARNEGIE MELLON UNIVERSITY RECEIVED FOR EACH TYPE OF PROPERTY FOR YEAR ENDED JUNE 30, 2016. FORM 990, PART VI, SECTION A, LINE 2 IRA J. GUMBERG AND DAVID S. SHAPIRA ARE TRUSTEES OF CARNEGIE MELLON AND HAVE A BUSINESS RELATIONSHIP. MARK KAMLET AND EVAN FRAZIER HAVE A BUSINESS RELATIONSHIP. LIP-BU TAN AND EDWARD FRANK HAVE A BUSINESS RELATIONSHIP. JAMES ROHR, SUBRA SURESH AND EDWARD GREFENSTETTE HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 4 CARNEGIE MELLON UNIVERSITY UPDATED THEIR BYLAWS IN MAY 2016 TO IMPLEMENT NEW PROCEDURES REGARDING GRANTING EMERITUS TRUSTEE STATUS AND MEETINGS AVAILABLE FOR ATTENDANCE BY EX-OFFICIO AND EMERITUS TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7A CARNEGIE MELLON HAS SIX EX-OFFICIO TRUSTEES WHO ARE MEMBERS OF THE BOARD OF TRUSTEES BY HOLDING THE FOLLOWING OFFICES: MAYOR OF THE CITY OF PITTSBURGH PRESIDENT OF COUNCIL OF THE CITY OF PITTSBURGH PRESIDENT OF CARNEGIE MELLON UNIVERSITY PRESIDENT OF CARNEGIE MELLON ALUMNI ASSOCIATION PRESIDENT OF THE ANDREW CARNEGIE SOCIETY OF CARNEGIE MELLON CHAIRMAN OF CARNEGIE MELLON FACULTY SENATE EX-OFFICIO TRUSTEES SHALL BE FULL VOTING MEMBERS OF THE BOARD OF TRUSTEES,WITH ALL RIGHTS AND RESPONSIBILITES THERETO, EXCEPT AS FOLLOWS: THEY SHALL BE WELCOME AT ALL OPEN SESSIONS OF ALL FULL BOARD MEETINGS AND, IF REQUESTED BY THE CHAIR, AT CLOSED EXECUTIVE SESSIONS; AND THE PRESIDENT OF CARNEGIE MELLON UNIVERSITY SHALL HAVE NO VOTING RIGHTS WHEN SERVING AS A MEMBER OF THE AUDIT COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11 CARNEGIE MELLON'S TAX DEPARTMENT IS RESPONSIBLE FOR GATHERING RELEVANT INFORMATION AND PREPARING THE ANNUAL FORM 990. ONCE THE FORM IS COMPLETE IN DRAFT STATUS, IT IS REVIEWED WITH CARNEGIE MELLON'S INDEPENDENT CERTIFIED PUBLIC ACCOUNTING (CPA) FIRM. UPON COMPLETION OF INDEPENDENT REVIEW BY THE CPA FIRM, THE FORM IS REVIEWED BY THE VICE PRESIDENT FOR FINANCE AND CHIEF FINANCIAL OFFICER, INTERIM ASSOCIATE VICE PRESIDENT FOR FINANCE AND CONTROLLER, PRESIDENT, TAX DEPARTMENT AND THEN PRESENTED TO AND REVIEWED WITH THE AUDIT COMMITTEE. FINALLY, A COMPLETED COPY OF THE FORM IS PROVIDED TO THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO FILING FORM 990 WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CARNEGIE MELLON REQUIRES EACH TRUSTEE, OFFICER, AND MEMBER OF SENIOR MANAGEMENT TO DISCLOSE ANNUALLY THE EXISTENCE OF ANY CIRCUMSTANCES THAT MIGHT CONSTITUTE A CONFLICT OF INTEREST WITH THE INSTITUTION. THE PROCESS IS INITIATED EACH FISCAL YEAR BY THE OFFICE OF THE SECRETARY OF THE CORPORATION SENDING AN ELECTRONIC CONFLICT OF INTEREST QUESTIONNAIRE TO THE ABOVE NOTED INDIVIDUALS. COMPLETED QUESTIONNAIRES ARE RETURNED TO THE SECRETARY OF THE CORPORATION FOR EVALUATION OF ACTUAL OR PERCEIVED CONFLICTS BY THE INSTITUTION, REVIEWED BY THE OFFICE OF GENERAL COUNSEL, AND ANNUAL REPORTING IS PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. ALL OFFICERS AND MEMBERS OF THE BOARD ARE REQUIRED TO DISCLOSE CONFLICTS TO THE SECRETARY AS THEY ARISE THROUGHOUT THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE ANNUALLY REVIEWS AND RECOMMENDS TO THE EXECUTIVE COMMITTEE FOR APPROVAL THE PRESIDENT'S SALARY, COMPENSATION, AND BENEFIT PACKAGE (TOTAL COMPENSATION) AND REVIEWS AND APPROVES THE TOTAL COMPENSATION OF THE PROVOST, VICE PRESIDENTS, DEANS, OFFICERS AND KEY EMPLOYEES. THE COMMITTEE OBTAINS APPROPRIATE ANALYSES AND STUDIES PREPARED BY THE ADMINISTRATION AND INDEPENDENT EXTERNAL SOURCES WITH RESPECT TO COMPENSATION FOR SIMILAR POSITIONS IN SIMILAR ORGANIZATIONS TO AID IN EVALUATING COMPENSATION AND BENEFIT PLAN LEVELS, PRACTICES AND STRATEGIES TO ENSURE THAT THE UNIVERSITY'S COMPENSATION LEVELS AND PRACTICES ARE COMPARABLE TO SIMILAR ORGANIZATIONS AND APPROPRIATE TO ATTRACT, OBTAIN AND RETAIN QUALIFIED PERSONNEL. THIS INCLUDES REVIEWING SURVEY DATA FOR SIMILAR POSITIONS AMONG A SELECT GROUP OF PEER INSTITUTIONS. THE COMMITTEE SUBMITS ITS RECOMMENDATIONS FOR THE PRESIDENT'S TOTAL COMPENSATION PACKAGE TO THE EXECUTIVE COMMITTEE FOR REVIEW AND APPROVAL. THE EXECUTIVE COMMITTEE RECEIVES AN ANNUAL REPORT FROM THE UNIVERSITY'S COMPENSATION COMMITTEE INCLUDING SIGNIFICANT COMPENSATION AND BENEFIT PLAN POLICY CHANGES. IT REPORTS TO THE FULL BOARD ON THIS AND THE COMPETITIVENESS OF THE UNIVERSITY'S COMPENSATION LEVELS AND BENEFIT PLANS IN RELATION TO PEER INSTITUTIONS. FORM 990, PART VI, SECTION C, LINE 19 CARNEGIE MELLON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE FOR PUBLIC INSPECTION. THE DOCUMENTS ARE AVAILABLE UPON REQUEST OR CAN BE OBTAINED BY VISITING THE WEBSITE AT WWW.CMU.EDU. FORM 990, PART VII, SECTION A, LINE 1A: THE BOARD OF TRUSTEES MAY GRANT THE STATUS OF EMERITUS TRUSTEE TO THOSE MEMBERS WHO HAVE MADE DISTINGUISHED CONTRIBUTIONS TO THE UNIVERSITY AND WHO HAVE ATTAINED AT LEAST AGE 60 OR A MAXIMUM OF AGE 75. THE BOARD OF TRUSTEES MAY, AT ANY TIME OR FROM TIME TO TIME CHANGE THE AGE AT WHICH TRUSTEES MUST BE GRANTED EMERITUS, A STATUS, OR RESIGN FROM THE BOARD. EMERITUS A TRUSTEES SHALL BE WELCOME AT ALL FULL BOARD MEETINGS; ALL MEETINGS OF THE ADVANCEMENT, EDUCATIONAL AFFAIRS AND ENROLLMENT, AND RESEARCH, INNOVATION AND ENTREPRENEURSHIP COMMITTEES OF THE BOARD OF TRUSTEES; SHALL RECEIVE ALL NOTICES, MINUTES AND REPORTS OF SAID MEETINGS, SHALL BE FREE TO PARTICIPATE IN DISCUSSIONS, BUT SHALL BE WITHOUT A VOTE ON ANY MATTER. EMERITUS TRUSTEES SHALL BE WELCOME AT ALL BOARD AND UNIVERSITY EVENTS. THE FOLLOWING INDIVIDUALS WERE EMERITUS LIFE TRUSTEES OF CARNEGIE MELLON'S BOARD OF TRUSTEES: PAUL A. ALLAIRE, ARTHUR H. ARONSON, JOHN BERTUCCI, CAROL R. BROWN, ROBERT M. BROWN III, FRANK V. CAHOUET, W. LOGAN DICKERSON, EDWARD DONLEY, WILLIAM B. ELLIS, CYNTHIA FRIEDMAN, HENRY GAILLOT, CLAIRE W. GARGALLI, RICHARD D. HAMILTON, WILTON A. HAWKINS, TERESA HEINZ, ORION L. HOCH, T. JEROME HOLLERAN, W. LEE HOSKINS, JUSTIN M. JOHNSON, PATRICIA ASKWITH KENNER, DAVID M. KIRR, HANS W. LANGE, EDWARD E. LUCENTE, THOMAS A. MCCONOMY, JACK E. MCGRATH, REGINA GOUGER MILLER, LINDSAY J. MORGENTHALER, ALESSANDRO OVI, NORMAN F. PARKER, E. KEARS POLLOCK, CHARLES J. QUEENAN, JR. ESQ, JOHN G. RANGOS, SR., DAVID RODERICK, VINCENT A. SARNI, JOYCE B. SCOTT, RAYMOND W. SMITH, JAMES C. STADLER, W. LOWELL STEINBRENNER, JAMES M. WALTON, KONRAD M. WEIS. FORM 990, PART VII, SECTION A, COLUMN B: FOR EACH PERSON LISTED IN COLUMN A WHO IS AN EMPLOYEE OF CARNEGIE MELLON UNIVERSITY, THE AVERAGE NUMBER OF HOURS PER WEEK STATED IS 50 HOURS PER WEEK; HOWEVER, THE ACTUAL NUMBER OF HOURS WORKED VARIES BETWEEN 50-80 HOURS PER WEEK. FORM 990, PART XI, LINE 9: LAMME UNREALIZED GAINS/LOSS 75,469. CHANGE IN SWAP VALUE NET OF INTEREST EXPENSE & OTHER -15,603,453. NET LOSS FROM FUNDRAISING EVENTS 82,157. UNCOLLECTIBLE PLEDGE WRITE OFFS -2,069,699. MPC ACCRUAL 1,407. SEI GMBH LIQUIDATION 378,662. FORM 990, PART XII, FINANCIAL STATEMENTS AND REPORTING: CARNEGIE MELLON HAS AN AUDIT COMMITTEE OF THE BOARD OF TRUSTEES THAT IS RESPONSIBLE FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND THE SELECTION OF A CERTIFIED INDEPENDENT ACCOUNTING FIRM THAT AUDITS THE FINANCIAL STATEMENTS. CARNEGIE MELLON'S FINANCIAL STATEMENTS ARE CONSOLIDATED. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. 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