2017-05-12T17:10:39-05:00 2016-06-30 910189318 MOSS ADAMS LLP 3121 W MARCH LN STE 200 STOCKTON CA 952192367 990 2015-07-01 951667177 OCCIDENTAL COLLEGE OCCI 3232591417 1600 CAMPUS ROAD LOS ANGELES CA 90041 AMOS R HIMMELSTEIN VP AND COO 3232591417 2017-05-10 1 TRACY S PAGLIA P00366884 2099556100 2017-05-10 2015 2021-01-29 14:40:06Z JONATHAN VEITCH 1600 CAMPUS ROAD LOS ANGELES CA 90041 381904943 0 X WWW.OXY.EDU X 1887 CA TO PROVIDE STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY. 47 44 2652 616 -696259 -1606660 29189014 20725038 127022092 130797266 26425182 10771079 0 0 182636288 162293383 41932946 43871836 0 0 66108862 69216780 0 89504 7882380 48560332 56799770 156602140 169977890 26034148 -7684507 699558723 674652603 138125858 140833577 561432865 533819026 X SEE SCHEDULE OTHE MISSION OF OCCIDENTAL COLLEGE IS TO PROVIDE A GIFTED AND DIVERSE GROUP OF STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY - ONE THAT PREPARES THEM FOR LEADERSHIP IN AN INCREASINGLY COMPLEX, INTERDEPENDENT AND PLURALISTIC WORLD. THE DISTINCTIVE INTERDISCIPLINARY AND MULTICULTURAL FOCUS OF THE COLLEGE'S ACADEMIC PROGRAM SEEKS TO FOSTER BOTH THE FULFILLMENT OF INDIVIDUAL ASPIRATIONS AND A DEEPLY ROOTED COMMITMENT TO THE PUBLIC GOOD. THIS MISSION IS ANCHORED BY FOUR CORNERSTONES: EXCELLENCE, EQUITY, COMMUNITY AND SERVICE. THESE BUILDING BLOCKS, IN ONE FORM OR ANOTHER, HAVE LONG BEEN THE BASIS FOR THE COLLEGE'S COMMITMENT TO PROVIDING RESPONSIBLE LEADERS AND CITIZENS FOR OUR DEMOCRATIC SOCIETY. CHOOSING THEM TO SUPPORT THE FUTURE HELPS TO ENSURE THAT THE COLLEGE REMAINS TRUE TO ITS MISSION WHILE ADAPTING TO A CHANGING WORLD. 0 0 96235237 43081164 103206366 SEE SCHEDULE OACADEMIC PROGRAM: FOUNDED IN 1887, OCCIDENTAL COLLEGE WAS ONE OF THE FIRST LIBERAL ARTS COLLEGES IN CALIFORNIA AND TODAY IS ONE OF THE COUNTRY'S FEW LIBERAL ARTS COLLEGES IN AN URBAN SETTING. OCCIDENTAL OFFERS UNDERGRADUATE DEGREES IN A WIDE RANGE OF DISCIPLINES AND A MASTER'S DEGREE IN MARINE BIOLOGY. ITS 2,062 STUDENTS, DRAWN FROM AROUND THE WORLD, CHOOSE FROM 43 MAJORS AND MINORS TAUGHT BY 179 FULL-TIME AND 97 PART-TIME FACULTY. COURSE WORK IS INTEGRATED WITH OPPORTUNITIES FOR INDEPENDENT STUDY, ONE OF THE COUNTRY'S TOP UNDERGRADUATE RESEARCH PROGRAMS, STUDY IN DOZENS OF FOREIGN COUNTRIES, AND PARTICIPATION IN ONE OF THE COUNTRY'S FEW UNITED NATIONS PROGRAMS FOR UNDERGRADUATES. OCCIDENTAL HAS EXCHANGE, JOINT DEGREE, OR CROSS-REGISTRATION PROGRAMS WITH CALTECH, ART CENTER COLLEGE OF DESIGN, COLUMBIA UNIVERSITY, AND KECK GRADUATE INSTITUTE. SINCE WINNING ITS FIRST RHODES SCHOLARSHIP IN 1907, OCCIDENTAL HAS CONSISTENTLY WON NATIONAL AND INTERNATIONAL RECOGNITION FOR ACADEMIC ACHIEVEMENT.DEDICATED TO EXCELLENCE AND EQUITY, OCCIDENTAL ALSO IS ONE OF THECOUNTRY'S MOST ECONOMICALLY DIVERSE CAMPUSES, ACCORDING TO THENEW YORK TIMES. SOME 70 PERCENT OF OXY STUDENTS RECEIVE SOMEFORM OF FINANCIAL AID; 20 PERCENT ARE PELL GRANT RECIPIENTS; AND 15PERCENT ARE THE FIRST IN THEIR FAMILY TO ATTEND COLLEGE. 43923599 284573 26106242 SEE SCHEDULE OCO-CURRICULAR PROGRAM: OCCIDENTAL OFFERS A WIDE RANGE OF CO-CURRICULAR PROGRAMS, FROM THE STUDENT-RUN BLYTH FUND, WHICH OVERSEES A SIX-FIGURE INVESTMENT FUND THAT MAKES UP PART OF THE COLLEGE'S ENDOWMENT, TO THE OXYPRENEURSHIP PROGRAM, WHICH IS NOW IN THE PROCESS OF ORGANIZING OCCIDENTAL'S SECOND TEDX CONFERENCE. THERE ARE MORE THAN 100 STUDENT CLUBS AND ORGANIZATIONS, AS WELL AS AN ONLINE RADIO STATION, WEEKLY NEWSPAPER AND LITERARY MAGAZINE. AS ONE OF THE FOUNDERS OF INTERCOLLEGIATE ATHLETICS IN SOUTHERN CALIFORNIA, OCCIDENTAL OFFERS 21 VARSITY SPORTS FOR MEN AND WOMEN, AS WELL AS SIX CLUB SPORTS AND FIVE INTRAMURAL PROGRAMS FOR MEN AND WOMEN. 4904276 506099 536928 SEE SCHEDULE OPUBLIC SERVICE: OCCIDENTAL IS RECOGNIZED AS A COMMUNITY ENGAGEMENT INSTITUTION BY THE CARNEGIE FOUNDATION FOR THE ADVANCEMENT OF TEACHING AND HAS REPEATEDLY BEEN NAMED TO THE PRESIDENT'S HIGHER EDUCATION COMMUNITY SERVICE HONOR ROLL FOR ITS EXEMPLARY SERVICE EFFORTS. OCCIDENTAL'S TRADITION OF COMMUNITY OUTREACH DATES BACK TO 1963, WHEN THE COLLEGE'S COMMUNITY LITERACY CENTER WAS FOUNDED TO PROVIDE ONE-ON-ONE READING AND WRITING INSTRUCTION FOR LOCAL K-6 CHILDREN. IT ALSO IS HOME TO ONE OF CALIFORNIA'S OLDEST AND LARGEST UPWARD BOUND PROGRAMS FOR DISADVANTAGED HIGH SCHOOL YOUTH. OCCIDENTAL HAS INTEGRATED COMMUNITY ENGAGEMENT INTO ITS CURRICULUM, TAKING ADVANTAGE OF ITS LOCATION IN LOS ANGELES. THREE LINKED PROGRAMS - THE OFFICE FOR COMMUNITY ENGAGEMENT, THE CENTER FOR COMMUNITY BASED LEARNING, AND UEPI - CONNECT CURRICULUM, CO-CURRICULAR ACTIVITIES, AND RESEARCH AND COMMUNITY-BASED EFFORTS. 145063112 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 0 0 1 0 0 0 1 1 1 1 1 0 0 0 0 0 0 0 1 0 1 0 0 0 1 1 1 0 0 0 1 3020 0 1 2652 1 1 1 0 0 0 0 1 1 0 0 0 0 0 X 47 44 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 CA X BARBARA VALIENTE 3232591417 1600 CAMPUS ROAD LOS ANGELES CA 90041 JONATHAN VEITCH PRESIDENT 50.00 X X 610183 0 301065 PATRICIA LEBRE ALIREZA TRUSTEE 1.50 X 0 0 0 DAVID H ANDERSON TRUSTEE 2.50 X 0 0 0 CARL A BALLTON TRUSTEE 1.50 X 0 0 0 DAVID W BERKUS VICE CHAIR 2.50 X X 0 0 0 COIT BLACKER TRUSTEE 2.50 X 0 0 0 JOHN G BRANCA TRUSTEE 1.50 X 0 0 0 EILEEN ANISGARTEN BROWN TRUSTEE 1.50 X 0 0 0 CHRISTOPHER C CALKINS CHAIR 3.00 X X 0 0 0 ANNE CANNON TRUSTEE 2.50 X 0 0 0 JENNIFER CROSTHWAITE TRUSTEE (THRU 6/30/16) 1.50 X 0 0 0 BILL DAVIS TRUSTEE 2.00 X 0 0 0 HECTOR DE LA TORRE TRUSTEE 2.50 X 0 0 0 SUSAN DIMARCO TRUSTEE 1.50 X 0 0 0 GLORIA C DUFFY TRUSTEE 2.50 X 0 0 0 LOUISE EDGERTON TRUSTEE 1.50 X 0 0 0 JOHN R FARMER TRUSTEE 2.00 X 0 0 0 ALAN FREEMAN TRUSTEE 1.50 X 0 0 0 CHARLES GOLD TRUSTEE (THRU 6/30/16) 1.50 X 0 0 0 DANIELLE GORDON EX-OFFICIO (THRU 6/30/16) 1.50 X 0 0 0 RONALD R HAHN VICE CHAIR 2.50 X X 0 0 0 FRED HAMEETMAN TRUSTEE 1.50 X 0 0 0 STEPHEN F HINCHLIFFE VICE CHAIR (THRU 6/30/16) 2.50 X X 0 0 0 ASAD JUMABHOY TRUSTEE 1.50 X 0 0 0 GILES KEMP TRUSTEE 1.50 X 0 0 0 NAOMI KURATA TRUSTEE 1.50 X 0 0 0 CHARLENE CONRAD LIEBAU TRUSTEE (THRU 6/30/16) 1.50 X 0 0 0 GORDON MACINNES TRUSTEE 1.50 X 0 0 0 SUSAN MALLORY VICE CHAIR 2.50 X X 0 0 0 STEVEN OLSON TRUSTEE 2.00 X 0 0 0 VINCENT PADUA TRUSTEE 1.50 X 0 0 0 JOAN A PAYDEN TRUSTEE 1.50 X 0 0 0 ADAM PORTNOY TRUSTEE (THRU 6/30/16) 1.50 X 0 0 0 JOHN B POWER TRUSTEE 2.50 X 0 0 0 STEVEN R ROBINSON TRUSTEE 1.50 X 0 0 0 STEPHEN D ROUNTREE VICE CHAIR 2.50 X X 0 0 0 RICHARD RUGANI TRUSTEE 2.50 X 0 0 0 JANETTE SADIK-KHAN TRUSTEE 1.50 X 0 0 0 REID SAMUELSON TRUSTEE 2.00 X 0 0 0 WILLIAM SCHUTTE TRUSTEE 1.50 X 0 0 0 CATHERINE YOUNG SELLECK TRUSTEE 1.50 X 0 0 0 LESLIE TRIM TRUSTEE 1.50 X 0 0 0 CHRISTOPHER VARELAS TRUSTEE 2.50 X 0 0 0 DAVID BURCHAM TRUSTEE 1.50 X 0 0 0 GRETA MANDELL TRUSTEE 1.50 X 0 0 0 SOROOSH SHAMBAYATI TRUSTEE 1.50 X 0 0 0 DENNIS COLLINS TRUSTEE 1.50 X 0 0 0 JORGE GONZALEZ VP OF ACADEMIC AFFAIRS/DEAN 50.00 X 246755 0 107493 BARBARA AVERY THRU 102015 VP OF STUDENT AFFAIRS/DEAN 50.00 X 341286 0 65227 AMOS R HIMMELSTEIN VP & COO FINANCE, PLANNING AND OPS 50.00 X 271797 0 75717 SHELBY RADCLIFFE VP OF INSTITUTIONAL ADVANCEMENT 50.00 X 208151 0 34131 ROZITA AFAR THRU 102015 SECRETARY OF THE BOARD 50.00 X 173779 0 37001 VINCENT CUSEO VP & DEAN OF ADMISS. & FIN AID 50.00 X 212070 0 21884 LEORA FREEDMAN GEN COUNSEL & SECRETARY TO THE BOARD 50.00 X 176955 0 58918 ERICA O'NEAL INTERIM DEAN OF STUDENTS 50.00 X 156259 0 24271 PETER DREIER PROFESSOR 50.00 X 173180 0 39176 JOHN SWIFT PROFESSOR 50.00 X 177760 0 40330 DEREK SHEARER PROFESSOR 50.00 X 205442 0 36954 ERIC FRANK PROFESSOR 50.00 X 171878 0 40210 SANJEEV KHAGRAM PROFESSOR 50.00 X 169047 0 36358 3294542 0 918735 102 0 1 0 MESA ENERGY SYSTEMS 2 CROMWELL IRVINE CA 92618 COMMERCIAL HVAC CONTRACTORS 5661501 WE O'NEIL CONSTRUCTION CO FO CA 9485 HAVEN AVE RANCHO CUCAMONGA CA 91730 CONSTRUCTION & PROJECT MANAGEMENT 2270676 VANCREST CONSTRUCTION CORPORATION 7171 N FIGUEROA ST LOS ANGELES CA 90042 CONSTRUCTION AND PROJECT MANAGEMENT 1744680 MOULE & POLYZOIDES 180 E CALIFORNIA BLVD PASADENA CA 91105 ARCHITECTS AND URBANISTS 879093 CAMBRIDGE ASSOCIATES LLC 125 HIGH STREET BOSTON CA 02110 INVESTMENT CONSULTING 799016 31 4348958 16376080 4865454 20725038 TUITION AND FEES 900099 102287527 102287527 ROOM AND BOARD 900099 22592434 22592434 CONFERENCES AND EVENTS 900099 2203820 1270674 933146 BOOKSTORE 900099 1118694 1118694 FOOD SERVICE 900099 264640 264640 2330151 2315567 14584 130797266 7204011 -1643989 8848000 223178628 219611560 3567068 3567068 3567068 162293383 129849536 -696259 12415068 252494 252494 43619342 43619342 2917975 1018747 1465863 433365 519473 343649 25252 150572 50067401 42438521 4180502 3448378 3875172 3242653 347101 285418 8249613 6682994 930229 636390 3587146 2857547 444588 285011 591862 118629 473233 135030 135030 89504 89504 5054048 5054048 5806779 3927647 767902 1111230 124902 70627 44507 9768 4119949 3358149 216881 544919 2001174 1787452 188586 25136 3372965 2837654 535311 1742575 1418723 131791 192061 323993 207935 63406 52652 4021864 3674994 346870 8329050 7861579 356817 110654 551177 99842 451335 COST OF SALES 5033417 5033417 LOSS ON ASSETS HELD IN 4084221 4084221 INTERNATIONAL PROGRAMS 3568418 3568418 LOSS ON BOND DEFEASANCE 2472055 2472055 5466291 4085823 873146 507322 169977890 145063112 17032398 7882380 9854023 3472554 61661711 74803361 14433000 6596123 289215 441610 678236 643919 398120 567973 276919026 104903971 167841302 172015055 345305037 312725770 62323401 69306265 22690752 23216567 14083926 10863406 699558723 674652603 14448915 13471093 5074490 5872559 88005000 88375000 4167567 4167674 577762 547056 25852124 28400195 138125858 140833577 X 180119740 175486267 217434830 187745957 163878295 170586802 561432865 533819026 699558723 674652603 X -7684507 -22742553 2813221 X 0 1 X 1 1 1 X 20676161 20584866 23215543 29189014 20725038 114390622 20676161 20584866 23215543 29189014 20725038 114390622 5965996 108424626 7270000 10392293 8499708 9601430 8848000 44611431 159002053 608973228 0.68190 0.67980 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 X X X 0 392166640 13935888 -14473295 9038596 10166252 743895 371680490 406096354 8406887 -3685398 8532879 9436437 681887 392166640 356767066 6409801 61690736 8611065 9588959 571225 406096354 330719886 6251016 38696460 8743489 9719783 437024 356767066 342393345 9543320 -2860378 8444692 9437903 473806 330719886 0.18020 0.40050 0.41930 0 0 1058071 1481532 2539603 238033030 88004031 150028999 8645051 3556073 5088978 18916654 13343867 5572787 8784688 8784688 172015055 PRIVATE EQUITY & VENTURE CAPITAL 69306265 F 69306265 ANNUITIES PAYABLE 14527526 BONDS PREMIUM, NET 11340056 ASSET RETIREMENT OBLIGATION 2532613 28400195 X 88492730 -22742553 -6556276 -29298829 117791559 5054048 39447776 44501824 162293383 116106569 0 116106569 5054048 48817273 53871321 169977890 PART III, LINE 1A: COLLECTIONS, SUCH AS RARE BOOKS AND WORKS OF ART, WHICH WERE ACQUIRED THROUGH PURCHASES AND CONTRIBUTIONS SINCE THE COLLEGE'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS. THESE COLLECTIONS ARE HELD SOLELY FOR THEIR POTENTIAL EDUCATIONAL VALUE OR HISTORICAL SIGNIFICANCE. MANAGEMENT HAS DETERMINED THAT THE COST TO ESTABLISH THE CURRENT MARKET VALUE IS DEEMED TO EXCEED THE BENEFIT AND THEREFORE THE COLLECTIONS WERE NOT ASSIGNED A VALUE FOR THE PURPOSE OF CAPITALIZATION. PURCHASES OF COLLECTION ITEMS ARE RECORDED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE YEAR IN WHICH THE ITEMS ARE ACQUIRED OR AS TEMPORARILY OR PERMANENTLY RESTRICTED NET ASSETS IF THE ASSETS USED TO PURCHASE THE ITEMS HAVE BEEN RESTRICTED BY DONORS. PART III, LINE 4: THE COLLEGE RECEIVED A SHELL COLLECTION TO BE USED FOR RESEARCH. THE COLLEGE MAINTAINS COLLECTIONS OF ART FOR DISPLAY AND EDUCATIONAL PURPOSES. PART V, LINE 4: THE COLLEGE'S ENDOWMENT FUNCTIONS TO SUPPORT STUDENT SCHOLARSHIPS, PROFESSORSHIPS, THE LIBRARY, VISITING SPEAKERS, AND OTHER GENERAL COLLEGE ACTIVITY. PART X, LINE 2: AS REQUIRED BY GAAP, THE COLLEGE HAS IDENTIFIED AND EVALUATED ITS SIGNIFICANT TAX POSITIONS AND HAS DETERMINED THAT THERE IS NO MATERIAL UNRECOGNIZED BENEFIT OR LIABILITY TO BE RECORDED. THERE ARE NO UNCERTAIN TAX POSITIONS FOR THE YEARS ENDED JUNE 30, 2016 OR JUNE 30, 2015. THERE HAVE BEEN NO RELATED TAX PENALTIES OR INTEREST, WHICH WOULD BE CLASSIFIED AS A TAX EXPENSE IN THE STATEMENTS OF ACTIVITIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: LOSS ON BOND DEFEASANCE -2,472,055. LOSS ON ASSETS HELD IN TRUST BY OTHERS -4,084,221. PART XI, LINE 4B - OTHER ADJUSTMENTS: CHANGE IN FAIR VALUE OF ASSETS HELD IN TRUST BY OTHERS 354,386. ANNUITIES ADJUSTMENT -138,389. FINANCIAL AID 42,260,997. CHANGE IN STUDENT NOTES RECEIVABLE VALUE -1,385,229. NET INCOME FROM K-1'S -1,643,989. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 42,260,997. LOSS ON BOND DEFEASANCE 2,472,055. LOSS ON ASSETS HELD IN TRUST BY OTHERS 4,084,221. 1 1 1 1 1 1 1 0 0 0 1 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE COLLEGE ADVERTISES THE POLICY IN BROCHURES TO POTENTIAL STUDENTS AND ON THE COLLEGE'S WEBSITE. SCHEDULE E, PART I, LINE 5 GENERALLY, OCCIDENTAL COLLEGE AWARDS SCHOLARSHIPS AND OTHER FINANCIAL ASSISTANCE IN A WAY TO AFFIRM OUR MISSION, "TO PROVIDE A GIFTED AND DIVERSE GROUP OF STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY -- ONE THAT PREPARES THEM FOR LEADERSHIP IN AN INCREASINGLY COMPLEX, INTERDEPENDENT AND PLURALISTIC WORLD." IN PARTICULAR, THE ACHIEVEMENT AND OPPORTUNITY GRANT IS USED TO ENSURE THAT OUR STUDENT POPULATION MAINTAINS AS ETHNICALLY DIVERSE POPULATION AS POSSIBLE, AND IN THIS CASE, THE AWARD MIGHT BE USED TO MAKE IT POSSIBLE TO INCREASE THE ATTENDANCE OF STUDENTS OF COLOR. SCHEDULE E, PART I, LINE 6 OCCIDENTAL COLLEGE PARTICIPATES IN THE FEDERAL PELL GRANT, CAMPUS-BASED PROGRAMS (FEDERAL SUPPLEMENTAL OPPORTUNITY GRANT, FEDERAL WORK STUDY AND FEDERAL PERKINS LOAN PROGRAM) AND FEDERAL DIRECT LOAN AND PLUS LOAN PROGRAMS. IN ADDITION WE RECEIVE GRANTS FROM VARIOUS STATE GOVERNMENTS. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 67088331 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 INVESTMENTS 5755941 NORTH AMERICA (CANADA AND MEXICO) 0 0 INVESTMENTS 14473 0 0 0 0 0 0 72858745 0 72858745 1 0 1 1 1 0 X X X X X X X 1 WEST WIND CONSULTING 120 BRINDLEY ST SUITE 7 ITHACA NY 14850 IA CONSULTING 0 0 84266 -84266 ROBERT WEINER 591/2 MANCHESTER STREET SAN FRANCISCO CA 94110 IA CONSULTING 0 0 5238 -5238 89504 -89504 1 CALIFORNIA FOOD POLICY ADVOCATES 205 S BROADWAY STREET SUITE 402 LOS ANGELES CA 90012 943163142 501(C)(3) 36908 TO SUPPORT THE TRAINING OF LOCAL AGENCIES AND ORGANIZATIONS TO BUILD HEALTHY COMMUNITY SCHOOLS. TO AID IN IMPROVING THE DIVERSITY OF NUTRITIOUS FOODS WHILE REDUCING FAST FOOD ENTREES. TO ALSO IMPROVE THE EATING ENVIRONMENTS IN SCHOOLS IN THE LOS ANGELES, AND LONG BEACH AREA, BY ENGAGING PARENTS AND STUDENTS IN ADVOCACY EFFORTS, SHARING BEST PRACTICES AND EDUCATING DECISION-MAKERS. COMMUNITY PARTNERS FOR LOS ANGELES FOOD POLICY COUNCIL 200 N SPRING STREET SUITE 1725 LOS ANGELES CA 90012 954302067 501(C)(3) 15000 TO ASSIST IN DISTRIBUTING CONFERENCE INFORMATION, SEND OUT REMINDERS AND FOLLOW-UP OUTREACH TO INVITEES AND PRESENTERS. HANDLE THE REGISTRATION OF CONFERENCES, MANAGE THE INVITE LISTS, SEND CONFIRMATIONS, FOLLOW-UP ON INQUIRIES AND COMPILE THE MASTER LIST. CLEAN WATER FUND 198 BRIGHTON AVENUE LONG BRANCH NJ 07740 521043444 501(C)(3) 23500 TO SERVE AS A REGIONAL LEAD AND TO BE THE POINT PERSON FOR ORGANIZATIONS IN A PARTICULAR REGION, PROVIDE WRITTEN AND VERBAL UPDATES TO THE NATIONAL MOVING FORWARD NETWORK STAFF AND OTHER REPRESENTATIVES IN THE NETWORK, HELP FACILITATE ACTIVITIES AND PROGRAMS AT THE REGIONAL LEVEL TO BUILD CAPACITY OF LOCAL AND REGIONAL GROUPS, AND COORDINATE REGIONAL MEETINGS, AMONG OTHER TASKS. DIESEL HEALTH PROJECT LLC 714 MISSISSIPPI STREET LAWRENCE KS 66044 471193993 501(C)(3) 26666 LIAISON BETWEEN THE WORK HAPPENING AND THE REGION, AND NETWORK. GATHER INFORMATION FROM THE REGIONS ABOUT CAMPAIGNS AND PROJECTS OF THE NETWORK MEMBERS. ANALYZE THE PROJECTS, THEIR STATUS, IMPACTS. PROVIDE TECHNICAL ASSISTANCE, WRITTEN AND VERBAL UPDATES, CONVENE REGIONAL MEETINGS. IDENTIFY REGIONAL RESOURCES FOR TRAINING MATERIALS, ANALYSES, LEGAL BRIEFS, ENVIRONMENTAL STUDIES RECEIVED THROUGH FOIA OR OTHER STATE OPEN RECORD ACT REQUESTS. ITSM USA LLC 714 MISSISSIPPI STREET LAWRENCE KS 66044 454535398 39000 SET UP THE CAMPAIGN WEBSITE, INTERNAL AND EXTERNAL SYSTEMS AND PROCESSES. MAINTAIN THE MFN WEBSITE, BLOG, AND INTERNAL RESOURCE SHARING SITES. PARTICIPATE IN ALL NETWORK CALLS AND EVENTS. PROVIDE TECHNICAL ASSISTANCE WITH ALL NETWORKS MEMBERS. TEXAS ENVIRONMENTAL JUSTICE ADVOCACY 6731 HARRISBURG BLVD HOUSTON TX 77011 020749601 501(C)(3) 26000 TO SERVE AS A REGIONAL LEAD AND TO BE THE RESOURCE POINT PERSON FOR ORGANIZATIONS IN A PARTICULAR REGION, PROVIDE WRITTEN AND VERBAL UPDATES TO THE NATIONAL MOVING FORWARD NETWORK STAFF AND OTHER REPRESENTATIVES IN THE NETWORK, HELP FACILITATE ACTIVITIES AND PROGRAMS AT THE REGIONAL LEVEL TO BUILD CAPACITY OF LOCAL AND REGIONAL GROUPS, AND COORDINATE REGIONAL MEETINGS, AMONG OTHER TASKS. ZAMLER PRODUCTIONS 845 BALRA DRIVE EL CERRITO CA 94530 014608443 11950 ASSIST IN IDENTIFYING DIGITAL RESOURCES, WORK WITH COMMUNICATIONS CONSULTANT, PROJECT STAFF, AND NETWORK MEMBERS TO CREATE AN ONLINE INTERACTIVE SITE THAT FEATURES VISUAL COMMUNITY STORIES. PROVIDE STORIES TO BE INTEGRATED WITH THE REPORTS, ARTICLES, AND REFERENCE MATERIALS TO BE USED BY THE NETWORK MEMBERS, POLICY MAKERS, FUNDERS, AND THE PUBLIC. ASSIST IN COMMUNICATION STRATEGIES FOR EXPANDING THE MOVEMENT AND HELPING SHAPE PUBLIC KNOWLEDGE ABOUT THE COMMUNITY, HEALTH, AND ENVIRONMENTAL IMPACTS FROM GLOBAL TRADE AND FREIGHT TRAFFIC. WEST OAKLAND ENVIRONMENTAL INDICATOR PROJECT 349 MANDELA PARKWAY OAKLAND CA 94607 202384563 501(C)(3) 10000 TO PROVIDE WRITTEN AND VERBAL UPDATES TO THE NATIONAL STAFF AND OTHER REPRESENTATIVES IN THE NETWORK. IDENTIFY REGIONAL AND LOCAL INFORMATION NEEDS ADDRESSED BY THE MFN. PROVIDE TRAINING MATERIALS, ANALYSES, LEGAL BRIEFS, MODEL LEGISLATION, ENVIRONMENTAL STUDIES, AND DOCUMENTS RECEIVED THROUGH FOIA AND STATE OPEN RECORDS FOR THE REGION. ESPERANZA COMMUNITY HOUSING CORP 3655 S GRAND AVE 280 LOS ANGELES CA 90007 954230354 501(C)(3) 18250 TO ASSIST IN THE COMMUNITY HEALTH ENGAGEMENT PROGRAM AS A COMMUNITY PARTNER BY DEVELOPING AND DISSEMINATING AN APPROPRIATE INTERNSHIP DESCRIPTION TO COMMUNITY HEALTH WORKERS, TO SHARE RECCOMENDATIONS WITH THE COLLEGE ON QUALIFIED CANDIDATES AND TO IDENTIFY ONE REPRESENTATIVE TO LIASE WITH OCCIDENTAL STAFF THROUGHOUT THE TERM OF THIS PROJECT. 7 2 SCHOLARSHIPS 1530 42260997 STUDY GRANTS 488 958629 STIPENDS 158 379815 PRIZES AND AWARDS 61 19900 PART I, LINE 2: ALL GRANT AND CONTRACT ACTIVITY IS MONITORED TO ASSURE THAT IT IS IN COMPLIANCE WITH ALL APPLICABLE REGULATIONS. ALL EXPENDITURES ARE REVIEWED ON A WEEKLY BASIS FOR ALLOWABILITY. X X X X 1 1 X X X X 1 1 0 0 0 0 0 0 0 JONATHAN VEITCH PRESIDENT 547847 0 0 0 62336 0 171500 0 129565 0 911248 0 0 0 JORGE GONZALEZ VP OF ACADEMIC AFFAIRS/DEAN 221900 0 0 0 24855 0 22242 0 85251 0 354248 0 0 0 BARBARA AVERY THRU 102015 VP OF STUDENT AFFAIRS/DEAN 162231 0 0 0 179055 0 19485 0 45742 0 406513 0 0 0 AMOS R HIMMELSTEIN VP & COO FINANCE, PLANNING AND OPS 271797 0 0 0 0 0 26500 0 49217 0 347514 0 0 0 SHELBY RADCLIFFE VP OF INSTITUTIONAL ADVANCEMENT 202332 0 0 0 5819 0 20503 0 13628 0 242282 0 0 0 ROZITA AFAR THRU 102015 SECRETARY OF THE BOARD 87328 0 0 0 86451 0 11394 0 25607 0 210780 0 0 0 VINCENT CUSEO VP & DEAN OF ADMISS. & FIN AID 197070 0 0 0 15000 0 19748 0 2136 0 233954 0 0 0 LEORA FREEDMAN GEN COUNSEL & SECRETARY TO THE BOARD 176955 0 0 0 0 0 19000 0 39918 0 235873 0 0 0 ERICA O'NEAL INTERIM DEAN OF STUDENTS 156259 0 0 0 0 0 15800 0 8471 0 180530 0 0 0 PETER DREIER PROFESSOR 173180 0 0 0 0 0 17604 0 21572 0 212356 0 0 0 JOHN SWIFT PROFESSOR 177760 0 0 0 0 0 18203 0 22127 0 218090 0 0 0 DEREK SHEARER PROFESSOR 205442 0 0 0 0 0 20972 0 15982 0 242396 0 0 0 ERIC FRANK PROFESSOR 171878 0 0 0 0 0 17839 0 22371 0 212088 0 0 0 SANJEEV KHAGRAM PROFESSOR 169047 0 0 0 0 0 17063 0 19295 0 205405 0 0 0 PART I, LINE 1A THE PRESIDENT'S WIFE TRAVELED WITH HIM AND HER TRAVEL IS CONSIDERED OCCIDENTAL COLLEGE BUSINESS. HOUSING IS PROVIDED FOR CERTAIN INDIVIDUALS LISTED IN PART VII AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE COLLEGE. SOCIAL CLUB DUES ARE PROVIDED TO ONE OFFICER AS A CONDITION OF EMPLOYMENT AND ARE NOT INCLUDED IN TAXABLE WAGES. USE OF THE SOCIAL CLUB IS FOR BUSINESS PURPOSES ONLY. PERSONAL SERVICES ARE PROVIDED TO AN OFFICER AND ARE INCLUDED IN TAXABLE WAGES. PART I, LINES 4A-B PART I LINE 4A: TWO OFFICERS, ROZITA AFAR AND BARBARA AVERY, RECEIVED SEVERANCE PAYMENTS AS PART OF THEIR TERMINATION PACKAGE. AGREEMENTS TERMS AND CONDITIONS ARE AVAILABLE TO THE IRS UPON REQUEST. PART I LINE 4B: A 457(F) PLAN WAS APPROVED FOR THE PRESIDENT IN JUNE 2015. A $20,000 CONTRIBUTION WAS ALLOCATED ON 3/11/15 AND A $125,000 CONTRIBUTION WAS ALLOCATED ON 7/1/15. SCHEDULE J, PART II, COLUMN D: NONTAXABLE BENEFITS INCLUDE THE VALUE OF ON-CAMPUS HOUSING PROVIDED TO JONATHAN VEITCH, PRESIDENT, BARBARA AVERY, VICE PRESIDENT OF STUDENT AFFAIRS AND DEAN OF STUDENTS, JORGE GONZALES, VICE PRESIDENT OF ACADEMIC AFFAIRS AND DEAN OF THE COLLEGE, AND AMOS R. HIMMELSTEIN, VICE PRESIDENT AND CHIEF OPERATING OFFICER FOR FINANCE, PLANNING AND OPERATIONS, AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE COLLEGE. A CEFA SERIES 2013A 521705592 1301782F2 2013-06-05 55981744 SEE SUPPLEMENTAL INFORMATION 0 0 0 B CEFA SERIES 2015 521705592 130179EU4 2016-01-07 39056582 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 1065000 55991351 43454069 527675 10916182 1083818 0 1 0 1 B 39047389 33638342 409047 5000000 1 1 0 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 A 1 B 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: CEFA SERIES 2013A DATE THE REBATE COMPUTATION WAS PERFORMED: 06/16/2016 PART I, LINE A, COLUMN F: TO REFUND A PORTION OF THE OUTSTANDING 2005 BONDS AND TO PROVIDE FUNDS FOR CERTAIN CAPITAL PROJECTS. PART I, LINE B, COLUMN F: A) DEFEASE THE AUTHORITY'S OUTSTANDING REVENUE BONDS (OCCIDENTAL COLLEGE), SERIES 2005A AND SERIES 2005B (THE "2005 BONDS") AND DEFEASE THE AUTHORITY'S OUTSTANDING REVENUE BONDS (OCCIDENTAL COLLEGE), SERIES 2008 (THE "2008 BONDS"); (B) FINANCING THE CONSTRUCTION, RENOVATION, REHABILITATION, INSTALLATION, EXPANSION, FURNISHING AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES (THE "NEW MONEY PROJECT") AND (C) PAYING COSTS RELATED TO THE SALE AND ISSUANCE OF THE BONDS. THE CAPITAL IMPROVEMENTS THAT WERE FINANCED OR REFINANCED WITH THE PROCEEDS OF THE 2005 BONDS AND THE 2008 BONDS AND ARE BEING REFINANCED WITH THE PROCEEDS OF THE BONDS ARE REFERRED TO HEREIN AS THE "PRIOR PROJECT." PART II, LINE 3: THE DIFFERENCE BETWEEN THE PROCEEDS AMOUNT ON LINE 3 AND THE ISSUE PRICE IN PART I REPRESENTS INTEREST EARNED AND/OR DIFFERENCE OF THE ACTUAL ISSUANCE COST FROM THE FORM 8038 ISSUANCE COSTS THAT REDUCED THE BOND PROCEEDS. MATTHEW CALKINS FAMILY MEMBER OF CHRISTOPHER CALKINS, CHAIR 124921 EMPLOYMENT 0 ANDREW SHTULMAN FAMILY MEMBER OF STEPHEN ROUNTREE, VICE CHAIR 109857 EMPLOYMENT 0 JOSEPH ARREDONDO FAMILY MEMBER OF STEPHEN ROUNTREE, VICE CHAIR 67369 EMPLOYMENT 0 TAMARA HIMMELSTEIN FAMILY MEMBER OF AMOS HIMMELSTEIN, VP & COO OF FINANCE, PLANNING & OPS 108873 EMPLOYMENT 0 SARAH VEITCH FAMILY MEMBER OF JONATHAN VEITCH, PRESIDENT 25251 EMPLOYMENT 0 DEBORAH AFAR FAMILY MEMBER OF ROZITA AFAR, SECRETARY TO THE BOARD 83202 EMPLOYMENT 0 X 2 DONOR RECEIPTS/FMV X 40 DONOR RECEIPTS/FMV X 50 4849765 HI/LO/MEAN PRICE X 4 1590 DONOR RECEIPTS/FMV X MISCELLANEOUS ITEMS 6 11061 DONOR RECEIPTS/FMV X GIFT CARDS/CERTIFICATES/TICKETS 9 2246 DONOR RECEIPTS/FMV X SPORTS MEMORABILIA 4 750 DONOR RECEIPTS/FMV 0 0 1 1 PART I, LINE 32B: AS A GENERAL RULE, IF THE COLLEGE RECEIVES A NONCASH CONTRIBUTION OF A SPECIALTY NATURE, WE WOULD HIRE A SPECIALTY ORGANIZATION TO SELL THE ITEMS. NO ITEMS WERE SOLD IN FY16 . FORM 990, PART VI, SECTION B, LINE 11 THE COLLEGE PROVIDES THE FORM 990 INFORMATION TO THE INDEPENDENT TAX PREPARER. ONCE THEY HAVE COMPLETED THE FORM 990, THEY RETURN A DRAFT TO THE COLLEGE. THE ASSOCIATE VICE PRESIDENT FOR FINANCE AND VICE PRESIDENT AND CHIEF OPERATING OFFICER FOR FINANCE, PLANNING AND OPERATIONS PERFORM A THOROUGH REVIEW OF THE DRAFT RETURN. ALL NECESSARY CORRECTIONS ARE MADE TO THE FORM 990. THE AUDIT COMMITTEE REVIEWS THE DRAFT PUBLIC DISCLOSURE COPY OF THE FORM 990 (SCHEDULE B DOES NOT INCLUDE DONOR NAMES AND ADDRESSES). THE FULL DRAFT FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE CHAIR. THE INDEPENDENT TAX PREPARER PRESENTS THE DRAFT PUBLIC DISCLOSURE COPY OF THE RETURN TO THE AUDIT COMMITTEE AND ALLOWS FOR QUESTIONS AND DISCUSSION. ANY CHANGES THAT ARE IDENTIFIED BY THE AUDIT COMMITTEE ARE MADE TO THE FORM 990. AT THAT POINT, THE PUBLIC INSPECTION COPY OF THE FORM 990 IS MADE AVAILABLE TO THE FULL BOARD OF TRUSTEES. THE FORM 990 IS SIGNED BY THE INDEPENDENT TAX PREPARER AND SUBMITTED TO THE INTERNAL REVENUE SERVICE BY THE DUE DATE. FORM 990, PART VI, SECTION B, LINE 12C EVERY YEAR THE COLLEGE SENDS THE CONFLICT OF INTEREST QUESTIONNAIRE TO APPROPRIATE PERSONS. RESPONSES ARE FOLLOWED UP ON TO ENSURE WE RECEIVE 100% OF ALL QUESTIONNAIRES. RESPONSES ARE REVIEWED BY THE OFFICE OF THE VICE PRESIDENT AND CHIEF OPERATING OFFICER FOR FINANCE, PLANNING AND OPERATIONS. ANY CONFLICTS THAT HAVE NOT BEEN BROUGHT TO THE AUDIT COMMITTEE PREVIOUSLY ARE BROUGHT TO THE AUDIT COMMITTEE TO DISCUSS. IF A CONFLICT EXISTS, THE INDIVIDUAL WILL RECUSE HIMSELF/HERSELF FROM INVOLVEMENT IN THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 THE COLLEGE'S PROCESS IN FISCAL YEAR 2016 FOR DETERMINING OFFICER COMPENSATION IS 1) OBTAINING COMPARISON DATA. 2) COMPARISON DATA IS CONSIDERED WHEN COMPENSATION IS DETERMINED 3) COMPENSATION IS APPROVED BY THE EXECUTIVE COMPENSATION COMMITTEE 4) THE EXECUTIVE COMPENSATION COMMITTEE'S DELIBERATION AND DECISION MAKING PROCESS REGARDING OFFICER COMPENSATION IS CONTEMPORANEOUSLY SUBSTANTIATED. FORM 990, PART VI, SECTION C, LINE 19 THE COLLEGE MAKES ITS FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON THE COLLEGE'S WEBSITE WHICH IS ACCESSIBLE TO THE PUBLIC. THE GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE NOT AVAILABLE FOR PUBLIC INSPECTION. FORM 990, PART XI, LINE 9: CHANGE IN FAIR VALUE OF ASSETS HELD IN TRUST BY OTHERS -354,386. ANNUITIES ADJUSTMENT 138,389. NET INCOME FROM K-1'S 1,643,989. CHANGE IN STUDENT NOTES RECEIVABLE VALUE 1,385,229. OTWAY PROPERTIES LLC 7435 NORTH FIGUEROA STREET LOS ANGELES CA 90041 813103529 REAL PROPERTIES CA 0 0 OCCIDENTAL COLLEGE CHARITABLE REMAINDER TRUSTS (31) FUNDRAISING CA N/A 1 POOLED INCOME FUND (2) FUNDRAISING CA N/A 1 CHARITABLE LEAD TRUST (1) FUNDRAISING CA N/A 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1