2017-05-08T09:25:28-05:00 2016-06-30 134008324 PricewaterhouseCoopers LLP 101 Seaport Boulevard Boston MA 02210 990 2015-07-01 620476822 Vanderbilt University VAND 6153436601 PMB 406310 2301 Vanderbilt Place Nashville TN 372406310 Brett Sweet CFO 6153436601 2017-05-05 1 Gwen Spencer P00641463 6175305000 2015 2021-01-29 14:40:06Z Nicholas S Zeppos 211 Kirkland 2201 WestEnd Nashville TN 37240 9100252528 0 X WWW.VANDERBILT.EDU X 1873 TN and Form 990, Part III, Line 1, Description of Organization Mission:Vanderbilt University is a center for scholarly research, informed and creative teaching, and service to the community and society at large. Vanderbilt will uphold the highest standards and be a leader in the quest for new knowledge through scholarship, dissemination of knowledge through teaching and outreach, and creative experimentation of ideas and concepts. In pursuit of these goals, Vanderbilt values most highly the intellectual freedom that supports open inquiry and equality, compassion and excellence in all endeavors. 26 23 37165 8900 -41359 -13774203 469664344 326470970 3702754889 951962483 290022695 14515423 41688469 32888658 4504130397 1325837534 359294345 332911063 0 0 2331689301 640516918 758550 845453 32789780 1497891914 487048468 4189634110 1461321902 314496287 -135484368 8260062487 6342629407 2293108845 945758654 5966953642 5396870753 X See Schedule O 0 1 1024904330 289461336 922657759 See Schedule O - EducationEducation: Vanderbilt University ("Vanderbilt") offers undergraduate programs in the liberal arts and science, engineering, music, education and human development, as well as a full range of graduate and professional degrees. Vanderbilt's ten schools and colleges include: College of Arts and Science, Blair School of Music, Divinity School, School of Engineering, Graduate School, Law School, School of Medicine, School of Nursing, Owen Graduate School of Management, and Peabody College (of education and human development). Vanderbilt has approximately 6,900 undergraduate students, 5,700 graduate and professional students, and more than 4,300 faculty members including Vanderbilt University Medical Center faculty (Vanderbilt University Medical Center faculty are appointed by Vanderbilt but are employed by Vanderbilt University Medical Center). Vanderbilt ranked 15th among the nation's best universities in an annual survey conducted by U.S. News & World Report. Vanderbilt's Peabody College of education and human development was named the No. 5 graduate school of education in the nation by U.S. News & World Report. Peabody programs also received top ten rankings in administration and supervision, special education, education policy, elementary education, curriculum and instruction, higher education administration, educational psychology and secondary education. The administration and supervision program ranked No. 1 and the special education program ranked second. Vanderbilt's School of Nursing ranked 13th among the nation's top graduate nursing schools. Nursing programs ranking in the top 10 in their respective fields include: informatics, adult/gerontology acute and primary care, psychiatric and mental health care, pediatric primary care, and family care. Additionally Audiology and Speech-language pathology ranked No. 1 in two health discipline categories which are not ranked every year. Vanderbilt's School of Medicine ranked 14th for research schools of medicine in the nation, the Law School ranked 16th, the Vanderbilt School of Engineering ranked 36th, and the Owen Graduate School of Management ranked 22nd for graduate business schools.Espenses $1,024,904,330, including grants of $289,461,336. Revenue $922,657,759.For more information regarding education at Vanderbilt, visit http://www.vanderbilt.edu. 175340721 43449727 29304724 See Schedule O - Academic and Scientific ResearchAcademic and Scientific Research: Vanderbilt University ("Vanderbilt") is an internationally recognized research university. A majority of Vanderbilt's research funding is received from the federal government. Funding is also received from foundations, associations, corporations, and other sources. Vanderbilt's researchers are at the forefront of posing innovative solutions to some of the most challenging questions facing the world today.Expenses $175,340,721, including grants of $43,449,727. Revenue $29,304,724.For more information regarding research at Vanderbilt University, visit: http://research.vanderbilt.edu 1200245051 1 1 0 1 0 0 0 1 1 1 1 1 0 0 1 0 0 1 1 1 1 1 0 1 1 0 1 1 1 1 1 1 0 1 0 0 0 0 1 0 1 1 1 1 0 0 1 1 1 1 1 0 1 X 15989 0 1 37165 1 1 1 1 AS BC BE BR CH DA FR GH GM ID IN IT JA KE KS LU MY MP MZ PL NI SP RP SF SW TH TW TZ UG AE UK ZA 0 0 0 1 1 0 0 0 1 0 X 26 23 1 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 X Dalana Robertson 6153436601 110 21st Avenue South Ste 900 Nashville TN 37203 X M Chandler Anthony Trustee 1.00 X 0 0 0 Lee M Bass Trustee 1.00 X 0 0 0 Adolpho A Birch III Trustee 1.00 X 0 0 0 Shirley M Collado Trustee 1.00 X 0 0 0 Daniel M Crown Trustee 1.00 X 0 0 0 Mark F Dalton Chairman 1.00 X 0 0 0 Claiborne P Deming Trustee 1.00 X 0 0 0 Charles H Esserman Trustee 1.00 X 0 0 0 Bruce R Evans Trustee 1.00 X 0 0 0 David W Head Trustee 1.00 X 0 0 0 John J Hindle Trustee 1.00 X 0 0 0 Jay C Hoag Trustee 1.00 X 0 0 0 John R Ingram Trustee 1.00 X 0 0 0 Carrol E Kimball Trustee 1.00 X 0 0 0 Mark P Mays Trustee 1.00 X 0 0 0 Jackson W Moore Vice-Chairman 1.00 X 0 0 0 Courtney C Pastrick Trustee 1.00 X 0 0 0 David W Patterson MD Trustee 1.00 X 0 0 0 H Ross Perot Jr Trustee 1.00 X 0 0 0 Jeffrey J Rothschild Trustee 1.00 X 0 0 0 Sidanth Sapru Trustee 1.00 X 0 0 0 Robert C Schiff Jr MD Trustee 1.00 X 0 0 0 Alexander C Taylor Trustee 1.00 X 0 0 0 J Stephen Turner Trustee 1.00 X 0 0 0 Jon Winkelried Vice-Chairman 1.00 X 0 0 0 Nicholas S Zeppos JD See Schedule O 50.00 X X 1357322 0 223777 Audrey Jane Anderson JD See Schedule O 50.00 0.10 X 701593 0 91526 Jeffrey R Balser MD PHD See Schedule O 50.00 X 1880679 0 87127 Beth A Fortune MA See Schedule O 50.00 X 414910 0 40098 Anders W Hall MBA See Schedule O 50.00 6.60 X 1099741 0 721825 George C Hill PhD See Schedule O 50.00 X 23761 0 1480 Eric C Kopstain MBA See Schedule O 50.00 1.00 X 461714 0 35664 John M Lutz AB See Schedule O 50.00 X 866292 0 130723 Susie S Stalcup BBA CFP See Schedule O 50.00 X 584588 0 20772 Brett C Sweet MBA See Schedule O 50.00 10.00 X 1024567 0 168626 Susan Wente PhD See Schedule O 50.00 0.40 X 722192 0 64493 David Williams II MA MBA JD LLM See Schedule O 50.00 0.30 X 985482 0 77211 Mitchell Edgeworth MBA See Schedule O 50.00 1.00 X 594089 0 36718 Charles L Gregory MA MBA MHA See Schedule O 50.00 X 673231 0 56493 John F Manning Jr PhD MBA See Schedule O 50.00 0.10 X 890782 0 51670 Charles W Pinson MD MBA See Schedule O 50.00 10.00 X 1574247 0 44214 David R Posch See Schedule O 30.00 20.75 X 829784 0 28353 Derek Mason BS See Schedule O 50.00 X 2582026 0 139808 Michael J McNamara MD See Schedule O 50.00 X 1475495 0 81426 Kevin E Stallings MS See Schedule O 50.00 X 2207142 0 54619 Paul A Thomas MD See Schedule O 50.00 X 1903381 0 35924 Todd R Wurth MD See Schedule O 50.00 X 1376343 0 36674 Richard C McCarty MS PHD See Schedule O 50.00 X 591541 0 48565 24820902 0 2277786 3721 1 1 0 Clark Parent a Joint Venture 7500 Old Georgetown Road Bethesda MD 20814 Construction 26278753 The Boston Consulting Group Inc One Beacon St Boston MA 02108 Consulting 21389440 Dell Marketing LP One Dell Way Roundrock TX 78682 Managed IT Services 11622640 Turner Universal Construction Company 5300 Virginia Way Brentwood TN 37027 Construction 10059991 Hogan Lovells US LLP 555 Thirteenth Street NW Washington DC 20004 Legal Services 8874054 320 113086 7819 193941397 132408668 25753519 326470970 Tuition and Fees 611310 499936374 499936374 Affilliated Entity Rev 611310 262523410 262523410 Room, Board & Auxiliar 611310 143628042 141169842 2458200 Research & Other Contr 611310 29304724 29304724 Other Auxiliary 611310 8495810 8457747 38063 8074123 8074123 951962483 11624246 -1020136 12644382 116 116 22290916 22290916 14336107 3750806 10585301 10585301 10585301 7773473937 7770582876 2891061 2891061 -1517486 4408547 93753 113086 81312 12441 12441 1325837534 949466220 -41359 49941703 X 42242751 42242751 289461336 289461336 1206976 1206976 16853053 2216751 13126440 1509862 1539019 1402377 136642 511046339 434603143 59233521 17209675 27260837 23448211 3734842 77784 50743391 39750330 6712681 4280380 33074279 28450820 4529132 94327 366709 366709 8269273 8269273 738585 738585 19000 19000 845453 845453 17530517 17530517 30792199 24605456 5899589 287154 7049684 6696433 314514 38737 66438386 60668275 3982428 1787683 52541173 47574317 4466790 500066 2367831 40440 2327391 53945539 51247472 828945 1869122 24000121 20909087 2296094 794940 5669448 4989452 576486 103510 14329753 13819991 509762 76499629 62832358 11950739 1716532 3197284 2973241 223501 542 Other Defeasance 76598908 76598908 Other Programs 19736206 17491002 1357752 887452 Other Library 13509467 13509467 Other Auxilliary 7685420 4342029 2556830 786561 5763336 5763336 1461321902 1200245051 228287071 32789780 27579392 260060121 1263412990 701177557 140607122 116496785 345136110 103532230 12482674 110661280 58972211 471866 29615079 20075014 1873243578 946684113 1730674421 926559465 2537695347 2306288381 2063071114 1766518028 46880371 30762134 3935656 26546 8260062487 6342629407 420259685 156297022 3260565 3143764 98019356 45733076 811415249 223754711 1610422 1957958 423453938 84530422 535089630 430341701 2293108845 945758654 X 3270600596 2889169250 1461162045 1224133704 1235191001 1283567799 5966953642 5396870753 8260062487 6342629407 X -135484368 -236100053 -198498468 X 0 1 X 1 1 1 X 476594262 484681246 494500126 469664344 488603616 2414043594 476594262 484681246 494500126 469664344 488603616 2414043594 2414043594 65659926 196756446 138255832 19467670 49440058 469579932 26648887 36202593 4535825 30824998 404224 98616527 2982240053 17061856018 0.80950 0.78650 X Part II, Section B, Line 10 The total amounts reported on Line 10 columns (a) through (e) include gross fundraising revenue and other miscellaneous operating revenue. Schedule A, Part II: General In addition to the amounts reported on Core Form Part VIII, Schedule A also includes all relevant VUMC pre-Transaction amounts. For additional information, see the Core Form Part III, Line 3 disclosure in Schedule O. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 458726 458726 4207025303 4207484029 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 382544 388622 357019 458726 1586911 250000 250000 250000 250000 1000000 1500000 Schedule C, Part II-A, Line 1b and 1d In addition to the amounts reported on Core Form Part IX, Schedule C also includes all relevant VUMC pre-Transaction amounts. For additional information, see Core Form Part III, Line 3 disclosure in Schedule O. 15000 5117522 X X X X X Education 1 0 1 X 4093386484 154345834 -172420504 103887979 162527753 13311681 3795584401 4046250379 75832665 148787412 75365887 89465646 12652439 4093386484 3635343038 88751983 491337590 69952281 87607660 11622291 4046250379 3360035514 116470228 319370422 60864586 89692275 9976265 3635343038 3375152628 88007709 52851982 58847982 89046970 8081853 3360035514 0.39160 0.31050 0.29790 0 0 67173560 67173560 1321937325 700442561 621494764 14892214 2258523 12633691 327415162 243983029 83432133 141825317 141825317 926559465 Limited Partnerships 1462912131 F Int in Trusts Held by Others 26600568 F Other Investments & Securities 191581022 F Closely-held Equity Interests 2368221 C Allocable to Minority Int 83056086 F 1766518028 Actuarial Liab-Self Insurance 9002269 Gov Adv for Student Loans 23421439 Actuarial liab-Annuities Payable 30813953 FV of Int Rate Exchg Agreement 115168875 State Taxes Payable 80246 FV of Securities Sold Short 251854919 430341701 Part III, Line 4: - Description of Collections: Vanderbilt University maintains various collections of art, historical treasures, and other similar assets in departments across the University. Such collections include, but are not limited to, historical drawings; historical scientific instruments; historical furniture; paintings; photography; book collections; and other similar items and artifacts. All such collections further Vanderbilt's exempt purpose by providing historical materials for students and researchers, and by providing cultural, historical, and educational opportunities to Vanderbilt University students and the community at large through exhibits, displays, and loan or exchange programs. Part III, line 5: - Solicitation of Art, etc.: Vanderbilt University solicited works of art to be sold at fundraising events in silent auctions. The fair market value of these items can range in value, and in FY16 the fair market value of these items did not meet the thresholds required for Form 8282 to be filed. Part IV, Line 2b: - Agency funds: Agency funds are held by Vanderbilt University, which serves as a custodian or fiscal agent for student groups and other university related organizations. Part V, Line 4: - Endowment funds: Vanderbilt University's endowment funds, as related to Part V, are intended to be used for scholarships, fellowships, endowed academic chair support, and capital and operational support. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Schedule E, Part I, Line 3 Vanderbilt University's nondiscrimination policy is widely disseminated through newspapers or broadcast media, various university-related websites, online application portals, orientation sessions, publication in catalogs, application materials and handbooks. - See Part II for additional detail. Schedule E, line 3, Summary of Nondiscrimination Policy: In compliance with federal law, including the provisions of Title VII of the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, Sections 503 and 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act (ADA) of 1990, the ADA Amendments Act of 2008, Executive Order 11246, and the Uniformed Services Employment and Reemployment Rights Act, as amended, and the Genetic Information Nondiscrimination Act of 2008, Vanderbilt University does not discriminate against individuals on the basis of their race, sex, religion, color, national or ethnic origin, age, disability, or military service, or genetic information in its administration of educational policies, programs, or activities, admissions policies, scholarship and loan programs, athletic or other university-administered programs, or employment. In addition, the university does not discriminate against individuals on the basis of their sexual orientation, gender identity, or gender expression consistent with the university's nondiscrimination policy. Schedule E, line 6, Explanation of Government Financial Aid: Vanderbilt University participates in the following programs: Federal Pell Grants, Federal Supplemental Educational Opportunity Grants (FSEOG), Federal Direct Stafford Subsidized/Unsubsidized Loans, Federal Perkins Loans, Federal Direct Graduate Plus Loans, Federal Direct Parent Loan for Undergraduate Students (PLUS Loans), Federal Work Study Program, Tennessee Student Assistance Awards, and the Tennessee Education Lottery Scholarship Program. Vanderbilt University also receives various federal and state grants and contracts for academic and scientific research. 1 Central America and the Caribbean 0 0 Fundraising N/A 5330 East Asia and the Pacific 0 0 Fundraising N/A 67566 Europe (Including Iceland and Greenland) 0 0 Fundraising N/A 8049 North America 0 0 Fundraising N/A 476 Russia and Neighboring States 0 0 Fundraising N/A 356 South America 0 0 Fundraising N/A 32 Sub-Saharan Africa 0 0 Fundraising N/A 646 Central America and the Caribbean 0 3 Grantmaking N/A 281965 East Asia and the Pacific 0 8 Grantmaking N/A 402027 Europe (Including Iceland and Greenland) 0 9 Grantmaking N/A 695127 North America 0 6 Grantmaking N/A 502207 South America 0 8 Grantmaking N/A 1888356 South Asia 0 1 Grantmaking N/A 7501 Sub-Saharan Africa 0 31 Grantmaking N/A 14311084 Central America and the Caribbean 0 0 Investments N/A 525603403 East Asia and the Pacific 0 0 Investments N/A 119147277 Europe (Including Iceland and Greenland) 0 0 Investments N/A 165759194 Middle East and North Africa 0 0 Investments N/A 78 North America 0 0 Investments N/A 21157130 South America 0 0 Investments N/A 1757850 Sub-Saharan Africa 0 0 Investments N/A 29137620 Central America/Caribbean 1 43 Program Services Education, Health-Care, Research 492906 East Asia and the Pacific 1 1 Program Services Education, Health-Care, Research 994350 Europe 5 9 Program Services Education, Health-Care, Research 2077328 Middle East and North Africa 0 0 Program Services Education, Health-Care, Research 802778 North America 0 2 Program Services Education, Health-Care, Research 241011 Russia and Neighboring States 0 1 Program Services Education, Health-Care, Research 36590 South America 0 17 Program Services Education, Health-Care, Research 413819 South Asia 0 25 Program Services Education, Health-Care, Research 189332 Sub-Saharan Africa 3 714 Program Services Education, Health-Care, Research 13903471 Central America/Caribbean 0 0 Send Agents to Seminar N/A 22723 East Asia and the Pacific 0 0 Send Agents to Seminar N/A 258284 Europe 0 0 Send Agents to Seminar N/A 786355 Middle East and North Africa 0 0 Send Agents to Seminar N/A 48344 North America 0 0 Send Agents to Seminar N/A 212807 Russia and Neighboring States 0 0 Send Agents to Seminar N/A 18665 South America 0 0 Send Agents to Seminar N/A 56137 South Asia 0 0 Send Agents to Seminar N/A 56314 Sub-Saharan Africa 0 0 Send Agents to Seminar N/A 38533 0 3 10 875 10 878 364420 901018601 901383021 Central America and the Caribbean Subcontracts-Research 179895 Wire N/A N/A Central America and the Caribbean Subcontracts-Research 25171 Wire N/A N/A East Asia and the Pacific Subcontracts-Research 18037 Wire N/A N/A East Asia and the Pacific Subcontracts-Research 51136 Wire N/A N/A East Asia and the Pacific Subcontracts-Research 65112 Wire N/A N/A East Asia and the Pacific Subcontracts-Instruction 10411 Wire N/A N/A Europe (Including Iceland and Greenland) Subcontracts-Research 62084 Wire N/A N/A Europe (Including Iceland and Greenland) Subcontracts-Research 287556 Wire N/A N/A Europe (Including Iceland and Greenland) Subcontracts-Research 74535 Wire N/A N/A Europe (Including Iceland and Greenland) Subcontracts-Research 97657 Wire N/A N/A North America Subcontracts-Research 160835 Check N/A N/A North America Subcontracts-Research 32659 Check N/A N/A South America Subcontracts-Research 7578 Wire N/A N/A South America Subcontracts-Research 117738 Wire N/A N/A Sub-Saharan Africa Subcontracts-Instruction 16571 Wire N/A N/A Central America and the Caribbean Subcontracts-Research 76899 Wire N/A N/A East Asia and the Pacific Subcontracts-Research 121118 Wire N/A N/A East Asia and the Pacific Subcontracts-Research 33480 Wire N/A N/A East Asia and the Pacific Subcontracts-Research 52088 Wire N/A N/A East Asia and the Pacific Subcontracts-Research 50645 Wire N/A N/A Europe (Including Iceland and Greenland) Subcontracts-Research 89897 Check N/A N/A Europe (Including Iceland and Greenland) Subcontracts-Research 14700 Wire N/A N/A Europe (Including Iceland and Greenland) Subcontracts-Research 6710 Wire N/A N/A Europe (Including Iceland and Greenland) Subcontracts-Research 27840 Check N/A N/A Europe (Including Iceland and Greenland) Subcontracts-Research 34148 Wire N/A N/A North America Subcontracts-Research 54841 Wire N/A N/A North America Subcontracts-Research 154561 Wire N/A N/A North America Subcontracts-Research 71428 Wire N/A N/A North America Subcontracts-Research 27883 Check N/A N/A South America Subcontracts-Research 356379 Wire N/A N/A South America Subcontracts-Research 229500 Wire N/A N/A South America Subcontracts-Research 814512 Wire N/A N/A South America Subcontracts-Research 20098 Wire N/A N/A South America Subcontracts-Research 273956 Wire N/A N/A South America Subcontracts-Research 68596 Wire N/A N/A South Asia Subcontracts-Research 7501 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 30606 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 58704 Wire N/A N/A Sub-Saharan Africa Subcontracts-Research 107592 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 16980 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 13648 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 56847 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 16818 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 11878 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 53174 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 122984 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 10520 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 6744 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 18303 Wire N/A N/A Sub-Saharan Africa Subcontracts-Instruction 69875 Wire N/A N/A Sub-Saharan Africa Subcontracts-Research and Patient Care 13192778 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 103754 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 38347 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 26814 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 25586 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 13831 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 89658 Wire N/A N/A Sub-Saharan Africa Subcontracts-Research 5294 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 21082 Wire N/A N/A Sub-Saharan Africa Subcontracts-Research 70449 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 40472 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 15051 Wire N/A N/A Sub-Saharan Africa Subcontracts-General 13963 Wire N/A N/A Sub-Saharan Africa Subcontracts-Research 7374 Wire N/A N/A Sub-Saharan Africa Subcontracts-Instruction 10000 Wire N/A N/A Sub-Saharan Africa Subcontracts-Instruction 25386 Wire N/A N/A 36 30 1 0 1 1 1 1 Part I, Line 2 -Monitoring Use of Grant Funds: Vanderbilt University maintains a formal policy defining its procedures for monitoring the use of sponsored funds by subrecipients located outside the United States who are performing a portion of a sponsored project externally awarded to Vanderbilt. The policy provides guidance to ensure that subrecipients conduct their portions of the sponsored projects in compliance with laws, regulations, and terms and conditions of awards, and subawards and that reimbursed costs incurred by subrecipients are allowed. The policy addresses the roles and responsibilities of the central offices and academic departments of the university and describes the monitoring procedures for each area. The full text of Vanderbilt's Subrecipient Monitoring Guidelines is available online at the following web address: http://www.vanderbilt.edu/ocga/docs/vupolicies/subrecipient/ VU_Subrecipient_Monitoring_Guidelines_Effective_Dec_26_2014.pdf Part I, Line 3 and Part II, Line 1 -Accounting Method for Reporting Expenses: Expenses reported in Schedule F, Part I, Line 3 and Part II, Line 1 are derived from Vanderbilt's books and records, which are maintained on an accrual basis. Part I and Part III, General In addition to the amounts reported on Core Form Part IX, Schedule F also includes all relevant VUMC pre-Transaction amounts. For more information, see the Core Form Part III, Line 3 disclosure in Schedule O. X X X X X X X 1 RuffaloCody LLC 65 Kirkwood North Road SW Cedar Rapids IA 52404 Call Center 0 1198100 502810 695290 Grenzebach Glier and Associates 401 N Michigan Avenue Suite 2800 Chicago IL 60611 Consultant 0 0 255143 0 Archer Malmo 65 Union Avenue Suite 500 Memphis TN 38103 Consultant 0 0 87500 0 1198100 845453 695290 Rascal Flatts BTM 360576 309126 51450 41700 19380 8698 1509 Dance Marathon 264055 204391 59664 750 1721 32030 11 724016 430907 293109 55271 6500 53569 33173 75692 1348647 944424 404223 55271 48950 72949 43592 109231 329993 74230 Schedule G, Part I, Line 2b, Column (v) - RuffaloCody: The total amount paid to RuffaloCody for Fiscal Year 2015 was $513,655 which includes professional fundraising fees of $502,810 and fundraising expenses of $10,845. The contract between Vanderbilt University and RuffaloCody calls for the reimbursement of fundraising expenses incurred by RuffaloCody, such as printing and postage, which are invoiced separately from telemarketing services fees. Schedule G, Part I, Line 2b, Column (v): - Grenzebach Glier and Associates: The total amount paid to Grenzebach Glier and Associates for Fiscal Year 2016 was $308,982, which includes professional fundraising fees of $255,143 and expenses of $53,839. The contract between Vanderbilt University and Grenzebach Glier and Associates calls for the reimbursement of travel related fundraising expenses incurred by Grenzebach Glier and Associates, such as airfare and hotel, which are invoiced as incurred. Grenzebach Glier and Associates provide consulting services for Vanderbilt University's overall fundraising program. They do not raise funds for Vanderbilt or help raise funds for a specific purpose. Schedule G, Part I, Line 2b, Column (v): - Archer Malmo: The total amount paid to Archer Malmo for Fiscal Year 2016 was $93,411, which includes professional fundraising fees of $87,500 and expenses of $5,911. The contract between Vanderbilt University and Archer Malmo calls for the reimbursement of fundraising expenses incurred by Archer Malmo, such as printing and postage, which are invoiced separate from professional fundraising fees. Schedule G, Part II, General In addition to the amounts reported on Core Form Part VIII and IX, Schedule G includes all relevant pre-Transaction VUMC amounts. For additional information, see the Core Form Part III, Line 3 disclosure in Schedule O. 1 1 X 1 X 1 X 1 1 0 1 1 73324651 73324651 0.01730 391905768 305573428 86332340 0.02040 465230419 305573428 159656991 0.03770 6361524 1170736 5190788 0.00120 116826161 28017174 88808987 0.02090 421303936 304605827 116698109 0.02750 544491621 333793737 210697884 0.04960 1009722040 639367165 370354875 0.08730 1 17131048 388489 310031318 389231669 -79200351 X 1 1 1 Ambulatory Surgery Center of Cool Springs LLC Ambulatory Surgery Center 0.51020 0.00000 0.13260 2 Vanderbilt Imaging Services LLC Radiology Services 0.66670 0.00000 0.33330 3 New Light Imaging LLC Outpatient Diagnostic Imaging 0.66670 0.00000 0.33330 4 One Hundred Oaks Imaging LLC Outpatient Diagnostic Imaging 0.80000 0.00000 0.20000 5 Williamson Imaging LLC Outpatient Diagnostic Imaging 0.53340 0.00000 0.26660 6 VIP Midsouth LLC Pediatric Clinics 0.45180 0.00000 0.54820 7 Springfield VIP Realty LLC Own Real Estate Used as Medical Facility 0.49000 0.00000 0.51000 2 1 Vanderbilt University Hospitals 1211 22nd Avenue South Nashville TN 37212 www.vanderbilthealth.com 0000000027 X X X X X X 2 Vanderbilt Stallworth Rehab Hospital 2201 Childrens Way Nashville TN 37212 www.vanderbiltstallworthrehab.com 0000000141 X Vanderbilt University Hospitals 1 0 0 0 0 1 X 200.000000000000 250.000000000000 X X X 1 1 X X X 1 X http://www.vanderbilthealth.com/financialassistance/46618 X http://www.vanderbilthealth.com/financialassistance/46619 X http://www.vanderbilthealth.com/financialassistance/46618 X X X X X X 1 X 0 X X X 1 X 0 0 Vanderbilt Stallworth Rehab Hospital 2 0 0 0 0 1 X 200.000000000000 400.000000000000 X X 1 1 X X X 1 X X X X X 1 X 0 X X X 1 X 0 0 Vanderbilt University Hospitals Part V, Section B, Line 16i: Facility 1: Patients are notified of potential assistance under Federal, State or local government programs or under the organization's charity care policy via signage posted in the patient care registration points including hospitals, emergency departments, and hospital based clinics; brochures available at registration points; and language included on all statements mailed to patients advising them we have a financial assistance program if they need help paying their medical bills. Pre-Admitting, Registration, or Billing personnel may refer uninsured or low income patients to financial counseling personnel to discuss qualifications for free or discounted care. Vanderbilt Stallworth Rehab. Hospital Part V, Section B, Line 16i: Facility 2: Patients are notified of potential assistance under Federal, State or local government programs or under Stallworth's charity care policy via signage in the main elevator to the patient care units. In addition, pre-admitting, registration, or billing personnel may refer uninsured or low income patients to financial personnel to discuss qualifications for free or discounted care. Vanderbilt University Hospitals Part V, Section B, Line 22d: Charges to Individuals Eligible for Assistance Under the FAP: Facility 1:Vanderbilt calculated amounts generally billed (AGB) percentage of 64% using the lookback method. Individuals without insurance are extended a 64% discount off gross charges as required by Tennessee Code Annotated 68-11-262 - Limit of Amount of Charges for Services to an Uninsured Patient. In addition, based on income level, a discount is offered to individuals who meet eligibility criteria for financial assistance. Gross charges are reduced by 100%, 80% or 70% depending on the individual's income level as a percent of the federal poverty guidelines. Vanderbilt Stallworth Rehab. Hospital Part V, Section B, Line 22d: Charges to Individuals Eligible for Assistance Under the FAP: Facility 2:Individuals without insurance are extended a 40% discount off gross charges which extends the discount required by Tennessee Code Annotated 68-11-262 - Limit of Amount of Charges for Services to an Uninsured Patient. In addition, based on income level, a discount is offered to individuals who meet eligibility criteria for financial assistance. Gross charges are reduced by 100%, 75% or 50% depending on the individual's income level. Form 990, Schedule H, Part V, Line 3, Facility 1: Community Health Needs Assessment:On April 30, 2016, the assets and operations of Vanderbilt University Hospitals (State license 0000000027), previously operated as a unit of Vanderbilt University, were acquired by Vanderbilt University Medical Center (EIN: 35-2528741), a separate not-for-profit corporation. Because Vanderbilt University transferred ownership of the hospital facility before the end of its fiscal year, Vanderbilt University is not required to meet the requirements of IRC 501(r)(3) with respect to Vanderbilt University Hospitals for fiscal year ended June 30, 2016 (tax year 2015). Accordingly, a CHNA is not required for the current tax year for the Vanderbilt University Hospitals facility. Form 990, Schedule H, Part V, Line 3, Facility 2: Community Health Needs Assessment:On April 30, 2016, 50% ownership of Vanderbilt Stallworth Rehabilitation Hospital (State license 0000000141) was acquired by Vanderbilt University Medical Center (EIN: 35-2528741), a separate not-for-profit corporation. Because Vanderbilt University transferred its ownership of the hospital facility before the end of its fiscal year, Vanderbilt University is not required to meet the requirements of IRC 501(r)(3) with respect to Vanderbilt Stallworth Rehabilitation Hospital for fiscal year ended June 30, 2016 (tax year 2015). Accordingly, a CHNA is not required for the current tax year for the Vanderbilt Stallworth Rehabilitation Hospital facility. 12 1 - Ambulatory Surgery Ctr of Cool Springs 2009 Mallory Lane Suite 100 Franklin TN 37067 Ambulatory Surgery Treatment Center 2 - Vanderbilt-Maury Radiation Oncology 1003 Reserve Boulevard Spring Hill TN 37174 Oncology Services 3 - One Hundred Oaks Imaging 719 Thompson Lane Nashville TN 37204 Outpatient Diagnostic Center 4 - Vanderbilt Health & Williamson Medical C 134 Pewitt Drive Brentwood TN 37027 Ambulatory Clinic 5 - Spring Hill Imaging Center 5421 Main Street Spring Hill TN 37174 Outpatient Diagnostic Center 6 - Cool Springs Imaging 2009 Mallory Lane Suite 150 Franklin TN 37067 Outpatient Diagnostic Center 7 - Vanderbilt Health & Williamson Medical C 919 Murfreesboro Pike Franklin TN 37064 Ambulatory Clinic 8 - Vanderbilt Gateway Cancer Center 375 Alfred Thun Road Clarksville TN 37040 Oncology Services 9 - Vanderbilt Imaging Belle Meade 4525 Harding Road Suite 102 Nashville TN 37232 Outpatient Diagnostic Center 10 - Vanderbilt Imaging Services 1909 Acklen Avenue Nashville TN 37212 Outpatient Diagnostic Center 11 - Vanderbilt Health & Williamson Medical C 1834 West McEwen Dr Suite B Franklin TN 37067 Ambulatory Clinic 12 - Vanderbilt Health & Williamson Medical C 3098 Campbell Station Pkwy Spring Hill TN 37174 Ambulatory Clinic Part I, Line 7: Costing Methodology - Charity Care:The costing methodology used to calculate Charity Care and certain other community benefit costs reported was based on an overall cost-to-charge ratio for all patient populations. The cost to charge ratio was calculated using IRS worksheet 2. Form 990, Schedule H, Part I, Line 7(k), Column (f) Community Benefit Expense:In addition to the amounts reported in Part IX, the percentage of total expense is calculated using all relevant VUMC pre-Transaction amounts. For additional details, see the Core Form Part III, Line 3 disclosure in Schedule O.The total community benefit expense using Part I, Line 7, Column (c) (before direct offsetting revenue) as a percentage of total expenses is 23.81%. Part III, Line 2: Costing Methodology - Bad Debt Expense: Lines 2 & 3:The costing methodology used to calculate bad debt expense reported in Part III, Lines 2 and 3 was based on an overall cost-to-charge ratio for all patient populations. Discounts and payments on accounts considered as bad debt offset the total bad debt expense recorded. Process to determine amount of bad debt attributable to individuals eligible for financial assistance - The accounts that have not been paid are first reviewed under a presumptive charity policy. For those accounts that do not meet presumptive eligibility criteria, it is estimated that 3% of the balances are attributable to individuals who would qualify for financial assistance. This estimate is based on experience of patient accounting management as well as a methodical review of outstanding patient accounts. Part III, Line 4: Audited Financial Statements:Because Vanderbilt's medical center operations were held for sale and were reported as discontinued operations in Vanderbilt's audited financial statements, health care related bad debts are not disclosed as a separate footnote in Vanderbilt's audited financial statements. See Core Form, Part III, Line 3 disclosure in Schedule O for additional details. Part III, Line 8: Costing Methodology - Medicare Allowable Costs:The methodology for determining Medicare allowable costs consisted of applying an overall hospital cost-to-charge ratio to gross Medicare charges from the hospital billing system. The resulting shortfall is entirely deemed as community benefit because the cost of providing related care consistently exceeds reimbursement from Medicare. The hospital accepts all Medicare patients with the knowledge that there may be shortfalls and operates to promote the health of the community. The organization believes the Medicare shortfall should be treated as a community benefit because Medicare does not fully compensate hospitals for the cost of providing hospital care to Medicare beneficiaries.In FY16, such shortfalls amounted to $79,200,351. Part III, Line 9b: Collection Practices:Although Vanderbilt University's policies do not contain provisions on the collection practices to be followed for patients who are known to qualify for financial assistance, in practice, if a patient qualifies for a 100% charity care write off, the account is closed and no further collection efforts are made. If a patient qualifies for a partial charity care write off, the account is reduced for the applicable charity discount and normal collection efforts are made. The extraordinary collection actions that may be taken, after reasonable efforts are made to ensure a patient is not eligible for financial assistance on the remaining balance, include: - Attachment or seizure of a bank account or other personal property - Commencement of a civil action against an individual - Wage garnishment Form 990, Schedule H, Part VI, Line 2: Needs Assessment:Vanderbilt continually assesses the healthcare needs of the communities it serves. The Vanderbilt Patient and Family Advisory Council is made up of community volunteers which partners with Vanderbilt's health care team and leadership to assess needs and evaluate services and programs. The Council serves as a vital link between the hospital and the community. Vanderbilt and Vanderbilt Stallworth Rehabilitation Hospital have also formed the Community Health Improvement Working Group, an internal committee of program managers which meets regularly and makes recommendations to the CHNA Advisory Committee. The CHNA Advisory Committee is made up of Vanderbilt and Vanderbilt Stallworth Rehabilitation Hospital senior leaders which meets to continually assess the needs of the community and drive improvements in care and processes for the communities they serve. Vanderbilt further assesses the health care needs of the communities it serves by playing an active role in groups such as the Healthy Nashville Leadership Council, Williamson County Health Council, and the Rutherford County Wellness Council. Vanderbilt carefully reviews the many health care needs assessments published by these local groups (Alignment Nashville, Saint Thomas Health, Nashville Area Chamber of Commerce, Metro Social Services, Healthy Nashville, and the TN Department of Health, among others) to help gauge the needs and resources within the community. In addition, Vanderbilt has developed partnerships with the state department of health to stay abreast of important community health care needs. Form 990, Schedule H, Part VI, Line 3, Facility 1: Patient Education of Eligibility for Assistance:Patients are notified of potential assistance under Federal, State or local government programs or under the organization's charity care policy via signage posted in the patient care registration points including hospitals, emergency departments, and hospital based clinics; brochures available at registration points; and language included on all statements mailed to patients advising them of Vanderbilt's financial assistance program if they need help paying their medical bills. Pre-admitting, registration, or billing personnel may refer uninsured or low income patients to financial counseling personnel to discuss qualifications for free or discounted care.Form 990, Schedule H, Part VI, Line 3 Facility 2:Patient Education of Eligibility for Assistance:Patients are notified of potential assistance under Federal, State or local government programs or under Stallworth's charity care policy via signage in the main elevator to the patient care units. In addition, pre-admitting, registration, or billing personnel may refer uninsured or low income patients to financial personnel to discuss qualifications for free or discounted care. Form 990, Schedule H, Part VI, Line 4, Facility 1: Community Information:The Vanderbilt University Hospitals, located in Nashville, Tennessee, serves primarily Tennessee, northern Alabama and southern Kentucky. Vanderbilt owns the Vanderbilt University Hospital, the Monroe Carell Jr. Children's Hospital at Vanderbilt, and Vanderbilt Psychiatric Hospital. These facilities operate under one hospital license as The Vanderbilt University Hospitals. Annually, Vanderbilt University Hospitals (excludes Vanderbilt Health Services, LLC and subsidiaries) have approximately 59,000 discharges. Annually, Vanderbilt University Hospitals also provides approximately 2.1 million outpatient visits, including 124,000 to the emergency departments of the three hospitals. Vanderbilt University Hospitals provide critical and often unique health care resources to the community and provide broad access to care. The majority of Vanderbilt's patients live in four Tennessee counties: Davidson, Williamson, Rutherford and Montgomery. Form 990, Schedule H, Part VI, Line 4, Facility 2: Community Information:The Vanderbilt Stallworth Rehabilitation Hospital (Stallworth), located in Nashville, Tennessee, serves middle Tennessee, southern Kentucky and the northern parts of Mississippi, Alabama and Georgia. This 80-bed hospital is a joint venture between Vanderbilt University and HealthSouth and offers comprehensive acute rehabilitation services. Annually, Stallworth has approximately 1,500 discharges. The majority of Stallworth's patients live in four Tennessee counties Davidson, Montgomery, Rutherford and Williamson. Form 990, Schedule H, Part VI, Line 5: Promotion of Community Health:For information on how Vanderbilt promotes the health of the community please see:"Vanderbilt University Medical Center Facts 2016-2017" as found at https://www.vanderbilthealth.com/main/39107"Vanderbilt in Tennessee: County by County" as found at http://www.vanderbilt.edu/cngr/map/"Vanderbilt University Vital Stats 2015" as found at http://www.vanderbilt.edu/vitalstats/2015/ Form 990, Schedule H, Part VI, Line 6: Affiliated Health Care System:Vanderbilt University owns the Vanderbilt University Hospital, the Monroe Carell Jr. Children's Hospital at Vanderbilt, and Vanderbilt Psychiatric Hospital. These facilities operate under one hospital license as The Vanderbilt University Hospitals. Vanderbilt also has ownership interest in several affiliated entities, which provide clinical services. Vanderbilt's hospitals, clinics, and affiliated entities provide the following healthcare services to the communities it serves: emergency care, inpatient hospital care, outpatient treatment, diagnostic testing, ancillary care, primary care services, and home health care. Vanderbilt provides a number of clinical services unique to its region including: a Level 1 Trauma Center, a Level 1 Pediatric Trauma Center, a comprehensive Regional Burn Center, a Level 4 Neonatal Intensive Care Unit, Tennessee's only comprehensive solid organ transplant center, the Vanderbilt-Eskind Diabetes Center, and the Vanderbilt-Ingram Cancer Center, the only National Cancer Institute-designated comprehensive cancer center in Tennessee to treat both adult and pediatric cancer patients. In addition, Vanderbilt's health care system includes the Vanderbilt Health Affiliated Network, an affiliated network of doctors, regional health systems and other health care providers that collaborate to provide coordinated and cost-effective health care services to the communities served. These are contractual affiliate relationships only with no ownership interest in the facilities or physician practices. Vanderbilt also collaborates with other hospital systems in the region, providing health care and/or research and academic support.For a list of all organizations related to Vanderbilt University and the primary activity of each, please refer to IRS Form 990, Schedule R. 1 ABT Associates Inc 4550 Montgomery Avenue Suite 800N Bethesda MD 208145341 042347643 N/A 117208 Not applicable Not applicable Research Albert Einstein College of Medicine 1300 Morris Park Ave Bronx NY 10461 131624225 501(c)(3) 117031 Not applicable Not applicable Research Allegheny Singer Research Inst 30 Isabella Street Suite 300 Pittsburgh PA 15212 251320493 501(c)(3) 72109 Not applicable Not applicable Research American Cancer Society 2000 Charlotte Avenue Nashville TN 37203 131788491 501(c)(3) 12158 Not applicable Not applicable Contribution American Heart Association 1101 Northchase Parkway Suite 1 Marietta GA 30067 135613797 501(c)(3) 118750 Not applicable Not applicable Contribution Ann and Robert H Lurie Children's Hospital 225 E Chicago Ave Chicago IL 60611 362170833 501(c)(3) 10000 Not applicable Not applicable Research AREVA Federal Services LLC PO Box 533359 Charlotte NC 28209 205605520 N/A 41947 Not applicable Not applicable Research Arizona State University Box 873503 Tempe AZ 852873503 860196696 GOVT 130828 Not applicable Not applicable Research Atlanta Research and Education 1902 Clairmont Road Decatur GA 30033 581857346 501(c)(3) 13443 Not applicable Not applicable Research Auburn University 208 M White Smith Hall Auburn University AL 368495110 636000724 501(c)(3) 53579 Not applicable Not applicable Research Aurora Health Care Inc PO Box 341880 Milwaukee WI 532341881 391442285 501(c)(3) 79770 Not applicable Not applicable Research B G I Americas Corporation One Broadway Cambridge MA 02142 272445508 N/A 114540 Not applicable Not applicable Research Baptist Cancer Center 80 Humphreys Suite 340 Memphis TN 38120 621113167 501(c)(3) 24000 Not applicable Not applicable Research Base 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Not applicable Not applicable Research Dana Farber Cancer Institute Inc 450 Brookline Avenue Boston MA 022155450 042263040 501(c)(3) 69939 Not applicable Not applicable Research Dartmouth College 11 Rope Ferry Rd Hanover NH 037551404 020222111 501(c)(3) 132605 Not applicable Not applicable Research David Lipscomb University One University Park Drive Nashville TN 37204 620485733 501(c)(3) 63217 Not applicable Not applicable Research Denver Health and Hospital Authority Post Office Box 17093 Denver CO 802170093 841343242 GOVT 50353 Not applicable Not applicable Research Dimagi Inc 585 Massachusetts Ave Cambridge MA 02139 830343298 N/A 20239 Not applicable Not applicable Public Service Duke University OSP Box 104135 Durham NC 277080077 560532129 501(c)(3) 316096 Not applicable Not applicable Research Dynamic Object Language Labs Inc 2 Parsonage Hill Road Haverhill MA 01832 100142007 N/A 264115 Not applicable Not applicable Research East Tennessee University ORSP Box 70565 Johnson City TN 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Assoc 828 North Pkwy Jackson TN 38305 620555660 N/A 10000 Not applicable Not applicable Research Jackson Laboratory 610 Main Street Bar Harbor ME 04609 010211513 501(c)(3) 7050 Not applicable Not applicable Research Johns Hopkins University 3400 N Charles Street Baltimore MD 21218 520595110 501(c)(3) 462516 Not applicable Not applicable Public Service, Research Joslin Diabetes Center One Joslin Place Boston MA 02215 042203836 501(c)(3) 24563 Not applicable Not applicable Research Junior League of Nashville 2202 Crestmoor Road Nashville TN 37215 620476815 501(c)(3) 15000 Not applicable Not applicable Contribution Juvenile Diabetes Research Foundation 105 Westpark Drive Suite 415 Brentwood TN 37027 231907729 501(c)(3) 20000 Not applicable Not applicable Contribution Kaiser Foundation Research Inst 1800 Harrison Street Oakland CA 946123433 941105628 501(c)(3) 93637 Not applicable Not applicable Research Lipscomb University One University Park Drive Nashville TN 372043951 620485733 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Not applicable Not applicable Research Pulmonary Associates 1725 East Boulder Street 204 Colorado Springs CO 80909 841241414 N/A 15029 Not applicable Not applicable Research Purdue University 302 Wood Street West Lafayette IN 479072040 356002041 501(c)(3) 289635 Not applicable Not applicable Research Rambiss LLC 14407 Lusty Ridge Road Accokeek MD 20607 201240325 N/A 17904 Not applicable Not applicable Research Rand Corporation 1776 Main Street PO Box 2138 Santa Monica CA 904072138 951958142 501(c)(3) 109590 Not applicable Not applicable Research Regents of the Univ of Minnesota 200 Oak Street Suite 450 Minneapolis MN 554552070 416007513 GOVT 808798 Not applicable Not applicable Research, Instruction Regents of the University of California Berkeley 2150 Shattuck Ave Ste 313 Berkeley CA 947045940 946002123 501(c)(3) 408314 Not applicable Not applicable Research Regents of the University of California-Davis 1850 Research Park Drive Ste 300 Davis CA 95618 946036494 501(c)(3) 210556 Not applicable Not applicable Research Regents of the University of Colorado Boulder SPA 3100 Marine Street 4th Floor Boulder CO 80309 846000555 501(c)(3) 173937 Not applicable Not applicable Research Research Foundation for Mental Hygiene Inc 150 Broadway Albany NY 12204 141410842 501(c)(3) 503078 Not applicable Not applicable Research Research Institute at Nationwide Children's Research 700 Childrens Drive Columbus OH 43205 316056230 N/A 224142 Not applicable Not applicable Research Rhode Island Hospital 593 Eddy Street Providence RI 02903 050258954 501(c)(3) 22916 Not applicable Not applicable Research Risk Assessment Corporation 417 Till Road Neeses SC 29107 570701628 501(c)(3) 13887 Not applicable Not applicable Research Roane State Community College 276 Patton Lane Harriman TN 377488615 620819102 GOVT 38174 Not applicable Not applicable Public Service Ronald McDonald House Charities of Nashville 2144 Fairfax Ave Nashville TN 37212 621310717 501(c)(3) 8200 Not applicable Not applicable Contribution Rush University Medical Center 1653 West Congress Parkway Chicago IL 60612 362174823 501(c)(3) 289412 Not applicable Not applicable Research Rutgers University 65 Davidson Rd Room 306 Piscataway NJ 088545602 226001086 501(c)(3) 830522 Not applicable Not applicable Research Sandia National Laboratories PO Box 26806 Albuquerque NM 87125 850097942 N/A 75000 Not applicable Not applicable Research Scripps Research Institute 10550 North Torrey Pines Road La Jolla CA 920371000 330435954 501(c)(3) 1259521 Not applicable Not applicable Research Seattle Children's Hospital P O Box 24728 Seattle WA 981240728 910564748 501(c)(3) 67385 Not applicable Not applicable Research Securboration Inc 1050 West NASA Blvd Suite 155 Melbourne FL 32901 593729686 N/A 95652 Not applicable Not applicable Research Select Physicians Alliance PL 5 Tampa General Cir Tampa FL 33606 273337174 N/A 41244 Not applicable Not applicable Research Sensory Processing Disorder Fdn 5420 S Quebec Street Suite 135 Greenwood Village CO 80111 742490763 N/A 7400 Not applicable Not applicable Research Sickle Cell Fdn of Tennessee PO Box 242056 Memphis TN 38125 263954703 501(c)(3) 35037 Not applicable Not applicable Research Sloan Kettering Institute for Cancer Research 633 Third Avenue 3rd Floor New York NY 10017 131624182 N/A 224426 Not applicable Not applicable Research South Dakota State University 323 Administration Building Brookings SD 57007 466000364 501(c)(3) 46614 Not applicable Not applicable Research Southern California Institute for Research and Education 5901 ESeventh Street Long Beach CA 90822 330331855 501(c)(3) 16124 Not applicable Not applicable Research Southern Methodist University PO Box 750259 Dallas TX 752750259 750800689 501(c)(3) 305590 Not applicable Not applicable Research, Instruction St Judes Childrens Research Hospital P O Box 1000 Memphis TN 38148 620646012 501(c)(3) 28878 Not applicable Not applicable Research St Lukes Roosevelt Hospital 150 East 42nd Street New York NY 10017 132997301 501(c)(3) 14837 Not applicable Not applicable Research Stanford University PO Box 44253 San Francisco CA 941444253 941156365 501(c)(3) 444530 Not applicable Not applicable Research Syracuse University Bursar Operations Syracuse NY 132441140 150532081 501(c)(3) 244498 Not applicable Not applicable Research Syriac Institute 954 River Road Piscataway NJ 08854 223785056 501(c)(3) 10000 Not applicable Not applicable Research T J Martell Foundation 15 Music Square West Suite C Nashville TN 37203 510180178 501(c)(3) 50000 Not applicable Not applicable Contribution Tampa VA Research and Education Foundation 5620 E Fowler Ave Temple Terrace FL 336172373 593444354 501(c)(3) 10515 Not applicable Not applicable Research TEDxNashville Inc 612 Roanoke Place Franklin TN 37065 272013937 501(c)(3) 30000 Not applicable Not applicable Contribution Temple University 1852 N 10th Street 083-11 Philadelphia PA 19122 231365971 501(c)(3) 16011 Not applicable Not applicable Research Tennessee Academy of Family Physicians 212 Overlook Circle Brentwood TN 37207 621397653 501(c)(3) 11000 Not applicable Not applicable Contribution Tennessee American Academy of Pediatrics PO Box 159201 Nashville TN 37215 621150503 501(c)(3) 5325 Not applicable Not applicable Contribution Tennessee Disability Coalition 995 Woodland Street Nashville TN 37206 621447320 501(c)(3) 10994 Not applicable Not applicable Instruction Tennessee Emergency Medical Services for Children 2007 Terrace Pl Nashville TN 37203 202802786 501(c)(3) 10000 Not applicable Not applicable Contribution Tennessee Medical Foundation 216 Centerview Drive Suite 304 Brentwood TN 37027 620541813 501(c)(3) 7500 Not applicable Not applicable Contribution Tennessee Performing Arts Center 505 Deadrick St Nashville TN 37243 581320590 501(c)(3) 15000 Not applicable Not applicable Contribution Tennessee State University 3500 John Merritt Blvd Nashville TN 372091561 620786119 501(c)(3) 305784 Not applicable Not applicable Research, Instruction Tennessee Technological University ORGS Box 5012 Cookeville TN 385050001 620646806 501(c)(3) 33020 Not applicable Not applicable Instruction Texas A&M AgriLife Research 400 Harvey Mitchell Pkwy S College Station TX 77845 746000541 501(c)(3) 34152 Not applicable Not applicable Research Texas Health Research and Education Inst 612 E Lamar Blvd Arlington TX 76011 752562191 501(c)(3) 15300 Not applicable Not applicable Research The Board of Trustees of the Leland PO Box 44253 San Francisco CA 941444253 941156365 501(c)(3) 16573 Not applicable Not applicable Research The Conservancy For The Parthenon And Centennial Park PO Box 196340 Nashville TN 37219 581609026 501(c)(3) 10000 Not applicable Not applicable Contribution TN Full Motion Inc 4121 Clarksville Pike Suite 5 Nashville TN 37218 203543271 501(c)(3) 9250 Not applicable Not applicable Instruction Tougaloo College 500 West County Line Road Tougaloo MS 39174 640303093 501(c)(3) 137500 Not applicable Not applicable Research Translational Genomics Research Inst 445 North Fifth Street Phoenix AZ 85004 753065445 501(c)(3) 159739 Not applicable Not applicable Research U C Regents UCLA Administrative Main Cashier Los Angeles CA 900959000 330833316 501(c)(3) 16278 Not applicable Not applicable Research United States Treasury Comptroller Silver Spring MD 209107500 530197030 GOVT 16519 Not applicable Not applicable Research Univ of California - Riverside 200 University Office Building Riverside CA 92521 956006142 501(c)(3) 140645 Not applicable Not applicable Research Univ of Mississippi Medical Ctr Attn Office of Sponsored Programs Jackson MS 39216 646008520 501(c)(3) 69012 Not applicable Not applicable Research University of Alabama Box 870104 Tuscaloosa AL 358470104 636001138 501(c)(3) 77754 Not applicable Not applicable Research Univ of Alabama at Birmingham 1530 3rd Avenue South AB 1170 Birmingham AL 352940011 636005396 501(c)(3) 74351 Not applicable Not applicable Research, Instruction University of Arizona P O Box 3308 Tucson AZ 857223308 866004791 501(c)(3) 170400 Not applicable Not applicable Research Univ of California - Los Angeles Box 951406 Los Angeles CA 90095 956006143 501(c)(3) 79591 Not applicable Not applicable Research Univ of California - San Francisco 3333 California Street Suite 315 San Francisco CA 941430962 946036493 501(c)(3) 409313 Not applicable Not applicable Research University of California - Santa Barbara 3227 Cheadle Hall Santa Barbara CA 931062050 956006145 501(c)(3) 148896 Not applicable Not applicable Research University of California Irvine Biological Sciences 3 Suite 1400 Irvine CA 926971050 952226406 501(c)(3) 18920 Not applicable Not applicable Research University of California San Diego 9500 Gilman Drive La Jolla CA 920930910 956006144 501(c)(3) 193024 Not applicable Not applicable Research University of Chicago 1225 East 60th Street Chicago IL 606372801 362177139 501(c)(3) 215625 Not applicable Not applicable Research University of Cincinnati PO Box 932641 Cleveland OH 44193 316000989 501(c)(3) 35802 Not applicable Not applicable Research University of Colorado-Denver PO Box 173364 Denver CO 802173364 846000555 501(c)(3) 36114 Not applicable Not applicable Research University of Florida PO Box 115500 219 Grinter Hall Gainesville FL 326115500 596002052 501(c)(3) 241381 Not applicable Not applicable Research, Instruction University of Hawaii 2440 Campus Road Box 368 Honolulu HI 96822 996000354 GOVT 179892 Not applicable Not applicable Research University of Illinois at Chicago 506 S Wright St 209 Hab Mc 339 Urbana IL 61801 376000511 501(c)(3) 305420 Not applicable Not applicable Research University of Iowa Attn Grant Accounting Iowa City IA 52242 426004813 501(c)(3) 6753 Not applicable Not applicable Research University of Kentucky Research P O Box 931113 Cleveland OH 44193 616033693 501(c)(3) 98406 Not applicable Not applicable Research University of Louisville Research 300 East Market St Suite 300 Louisville KY 402021959 611029626 501(c)(3) 17598 Not applicable Not applicable Research University of Maryland OCGA 4101 Chesapeake Building College Park MD 207423141 526002033 501(c)(3) 973003 Not applicable Not applicable Research University of Massachusetts 55 Lake Avenue North Worcester MA 01655 043167352 501(c)(3) 248232 Not applicable Not applicable Research University of Memphis Administration Bldg Room 315 Memphis TN 38152 620648618 501(c)(3) 9527 Not applicable Not applicable Instruction, Research University of Miami 1320 South Dixie Highway Coral Gables FL 33146 590624458 501(c)(3) 376838 Not applicable Not applicable Research University of Michigan 3003 South State Street Ann Arbor MI 481091287 386006309 501(c)(3) 271902 Not applicable Not applicable Research University of Missouri-Columbia 310 Jesse Hall Columbia MO 65211 436003859 501(c)(3) 90461 Not applicable Not applicable Research University of Norte Dame Office of Research Notre Dame IN 46556 350868188 501(c)(3) 128515 Not applicable Not applicable Research Univ of North Carolina Charlotte 9201 University City Blvd Charlotte NC 28223 560791228 501(c)(3) 121655 Not applicable Not applicable Instruction Univ of North Carolina-Chapel Hill 104 Airport Dr Ste 2200 Chapel Hill NC 27599 566001393 501(c)(3) 1387557 Not applicable Not applicable Research University of North Dakota 264 Centennial Drive Grand Forks ND 582027306 456002491 501(c)(3) 21018 Not applicable Not applicable Research University of North Florida 1 UNF Drive Jacksonville FL 32224 592976169 GOVT 61571 Not applicable Not applicable Research University of Pennsylvania 3440 Market Street Suite 560 Philadelphia PA 191043325 231352685 501(c)(3) 196791 Not applicable Not applicable Research University of Pittsburgh P O Box 371220 Pittsburgh PA 152517220 250965591 501(c)(3) 1641201 Not applicable Not applicable Research University of South Carolina Grant and Contract Accounting Columbia SC 29208 576001153 501(c)(3) 93917 2500 Cost Water and Generators Research, Contributions University of South Florida 4202 E Fowler Ave BEH 253 Tampa FL 336209951 596001874 GOVT 156270 Not applicable Not applicable Research University of Southern California CA-Sponsored Projects Los Angeles CA 900742095 951642394 501(c)(3) 76008 Not applicable Not applicable Research University of Tennessee Controllers Office 201 Andy Holt Tower Knoxville TN 379960100 626001636 501(c)(3) 513619 Not applicable Not applicable Research, Instruction University of Texas Contracts and Grant Accounting Richardson TX 75080 746001118 501(c)(3) 17606 Not applicable Not applicable Research University of Texas at Austin PO Box 7159 Austin TX 787137159 746000203 501(c)(3) 161896 Not applicable Not applicable Research, Instruction Public Service University of Texas Dallas 800 W Campbell Road Richardson TX 750803021 751305566 501(c)(3) 75909 Not applicable Not applicable Research University of Texas Health Science Center at San Antonio 7703 Floyd Curl Drive MSC 7828 San Antonio TX 782293900 741586031 501(c)(3) 70115 Not applicable Not applicable Research University of Texas Medical Branch PO Box 660120 Dallas TX 75266 746000949 501(c)(3) 344644 Not applicable Not applicable Research University of Texas Southwestern Medical PO Box 841765 Dallas TX 752841765 756002868 501(c)(3) 214025 Not applicable Not applicable Research University of Utah 201 S Presidents Cir Salt Lake City UT 841129020 876000525 501(c)(3) 57813 Not applicable Not applicable Research University of Vermont PO Box 1389 Williston VT 054951389 376047339 501(c)(3) 551751 Not applicable Not applicable Research University of Virginia OSP P O Box 400195 Charlottesville VA 229044195 546001796 501(c)(3) 54956 Not applicable Not applicable Research University of Washington OSP Box 359472 Seattle WA 98195 916001537 501(c)(3) 1061333 Not applicable Not applicable Research University of Wisconsin-Madison 21 North Park Street Suite 6401 Madison WI 53715 396006492 501(c)(3) 571359 Not applicable Not applicable Research Urban Housing Solutions Inc 822 Woodland Street Nashville TN 37206 621466422 501(c)(3) 9880 Not applicable Not applicable Research Vanderbilt University Medical Center 1161 21st Avenue South Nashville TN 37232 352528741 501(c)(3) 3000355 Not applicable Not applicable Research, Instruction Virginia Commonwealth University 730 East Broad Street Richmond VA 23284 546001758 501(c)(3) 117330 Not applicable Not applicable Research, Instruction Virginia Polytechnic Institute 460 Turner Street Suite 360 Blacksburg VA 24060 546001805 501(c)(3) 54785 Not applicable Not applicable Research Wake Forest University Health Sciences Medical Center Blvd Winston Salem NC 27157 560532138 501(c)(3) 141618 Not applicable Not applicable Research Washington University 700 Rosedale Ave Saint Louis MO 631121408 430653611 501(c)(3) 998266 Not applicable Not applicable Research Weill Medical College 575 Lexington Avenue New York NY 10022 131623978 501(c)(3) 573400 Not applicable Not applicable Research William Beaumont Research Institution 3811 W 113 Mile Rd Suite 501 Royal Oak MI 48073 381459362 501(c)(3) 34318 Not applicable Not applicable Research Williamson County Fair Association Inc 1007 Mooreland Blvd Brentwood TN 37027 810644815 501(c)(3) 8000 Not applicable Not applicable Contribution Williamson Medical Center 4321 Carothers Parkway Franklin TN 37067 621501534 501(c)(3) 41349 Not applicable Not applicable Research Williamson Inc 5005 Meridian Boulevard Franklin TN 37067 202574549 501(c)(3) 14500 Not applicable Not applicable Contribution Y M C A Of Middle Tennessee 1000 Church Street Nashville TN 37203 620476243 501(c)(3) 33750 Not applicable Not applicable Instruction Yale University 47 College Street Suite 203 New Haven CT 065208047 060646973 501(c)(3) 481591 Not applicable Not applicable Research York County Community College 112 College Drive Wells ME 04073 010416015 501(c)(3) 15613 Not applicable Not applicable Instruction 230 31 Patient Assistance 106 143358 0 N/A N/A Patient Assistance 362 0 58469 FMV Healthcare, medical supplies, medicine Patient Assistance 300 0 96442 FMV Outreach Programs Patient Assistance 450 0 18600 FMV Car Seats, Home Safety Kits, Pack and Plays Patient Assistance 21250 0 6421000 FMV Pharmaceuticals Patient Assistance 23029 575725 FMV Influenza Vaccines Patient Assistance 596 2246455 FMV Post Acute Care Reading Program 1578 50508 FMV Books Awards 28 30900 0 N/A N/A Student Financial Assistance 6669 289379927 0 N/A N/A Part I, Line 2: Subrecipient grants - Vanderbilt University maintains a formal policy defining its procedures for monitoring the use of sponsored funds by subrecipients who are performing a portion of a sponsored project externally awarded to Vanderbilt. The policy provides guidance to ensure that subrecipients conduct their portions of sponsored projects in compliance with laws, regulations, terms and conditions of awards and subawards, and that reimbursed costs incurred by subrecipients are allowed. The policy addresses the roles and responsibilities of central offices and academic departments of the University and describes the monitoring procedures for each area. The full text of Vanderbilt's subrecipient policy is available online at the following web address: http://www.vanderbilt.edu/ocga/vupolicies/subrecipient /SubrecipientMonitoringGuidelinesfinal.pdf Other Assistance - Assistance offered from institutional funds by Vanderbilt to our students is awarded on the basis of merit and/or financial need. Such assistance helps students and their families support the cost of attendance which includes tuition, mandatory fees, room & board, books, other course materials/supplies, and allowances for personal/miscellaneous and travel expenses. Merit-based awards are competitively awarded in recognition of academic achievement, leadership, commitment to community service, contributions to society, and other forms of accomplishment. Need-based assistance is awarded on the basis of documented financial need, resulting from a need analysis evaluation accomplished in accordance with relevant and applicable federal, state, and/or institutional programs, policies, and eligibility requirements. Financial Aid - The units responsible for administering student financial aid at Vanderbilt regularly initiate system-generated reviews, as well as other cross-checks on an ad hoc basis. Results from these reviews, along with recurring management reports, are regularly evaluated. Subsequently, follow-up corrective actions are taken when appropriate and potentially include award revisions or cancellations. These provisions are designed to help ensure that student assistance funds are awarded to eligible recipients, in accordance with applicable federal, state, institutional, and other program legislation, as well as relevant internal University policies and operational guidelines/criteria. Schedule I, Parts II and III, General In addition to the amounts reported on Core Form Part IX, Schedule I includes all relevant pre-Transaction VUMC amounts. For additional information, see the Core Form Part III, Line 3 disclosure in Schedule O. X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 1 1 Nicholas S Zeppos JD See Schedule O 1004492 0 320027 0 32803 0 196114 0 27663 0 1581099 0 0 0 Audrey Jane Anderson JD See Schedule O 612254 0 77408 0 11931 0 65093 0 26433 0 793119 0 0 0 Jeffrey R Balser MD PHD See Schedule O 1508819 0 357504 0 14356 0 31091 0 56036 0 1967806 0 0 0 Beth A Fortune MA See Schedule O 369119 0 34209 0 11582 0 29591 0 10507 0 455008 0 0 0 Anders W Hall MBA See Schedule O 721825 0 366667 0 11249 0 708125 0 13700 0 1821566 0 0 0 Eric C Kopstain MBA See Schedule O 428806 0 21500 0 11408 0 13091 0 22573 0 497378 0 0 0 John M Lutz AB See Schedule O 722644 0 131697 0 11951 0 109865 0 20858 0 997015 0 0 0 Susie S Stalcup BBA CFP See Schedule O 558939 0 11396 0 14253 0 13091 0 7681 0 605360 0 0 0 Brett C Sweet MBA See Schedule O 810060 0 203258 0 11249 0 140452 0 28174 0 1193193 0 0 0 Susan Wente PhD See Schedule O 603221 0 107040 0 11931 0 31091 0 33402 0 786685 0 0 0 David Williams II MA MBA JD LLM See Schedule O 842831 0 124992 0 17659 0 30843 0 46368 0 1062693 0 0 0 Mitchell Edgeworth MBA See Schedule O 463811 0 119289 0 10989 0 13091 0 23627 0 630807 0 0 0 Charles L Gregory MA MBA MHA See Schedule O 499983 0 160440 0 12808 0 31091 0 25402 0 729724 0 0 0 John F Manning Jr PhD MBA See Schedule O 639915 0 238045 0 12822 0 31091 0 20579 0 942452 0 0 0 Charles W Pinson MD MBA See Schedule O 1219435 0 340748 0 14064 0 30907 0 13307 0 1618461 0 0 0 David R Posch See Schedule O 623079 0 192641 0 14064 0 13091 0 15262 0 858137 0 0 0 Derek Mason BS See Schedule O 2498216 0 72500 0 11310 0 113091 0 26717 0 2721834 0 0 0 Michael J McNamara MD See Schedule O 967518 0 495155 0 12822 0 12907 0 68519 0 1556921 0 0 0 Kevin E Stallings MS See Schedule O 2020368 0 174595 0 12179 0 13091 0 41528 0 2261761 0 0 0 Paul A Thomas MD See Schedule O 1659345 0 229972 0 14064 0 12907 0 23017 0 1939305 0 0 0 Todd R Wurth MD See Schedule O 893836 0 471467 0 11040 0 12907 0 23767 0 1413017 0 0 0 Richard C McCarty MS PHD See Schedule O 576698 0 0 0 14843 0 31091 0 17474 0 640106 0 0 0 Part I, Line 1a Vanderbilt excludes the benefits from taxable income when a documented business purpose is served. First-class or charter travel - Travelers should fly via commercial airline and work to obtain the lowest fare possible. If an airline provides business class or first class seating and the length of an individual flight segment is more than four hours, the traveler may petition his/her vice Chancellor and with this written approval purchase a business or first class ticket. In cases where it is not possible to fly commercial due to scheduling commitments, and the travel is of the highest importance, travelers may request that the Chancellor approve a charter flight, after weighing the benefits of the trip against the cost of the charter. The Board of trust has approved the first class travel or charter for the Chancellor when necessitated by his schedule. Per Vanderbilt's athletics travel policy, the Vice Chancellor for University Affairs and Athletics can approve non-student travel on team charter flights, when there are extra seats, without requiring reimbursement to the university since the charter fee is not determined by the number of actual passengers. 5 officers, 2 highest compensated employees and 1 trustee were provided first-class or charter travel that was not included in taxable compensation. Travel for companion - 1 highest compensated employee was provided companion travel that was not included in taxable compensation, and 1 officer was provided companion travel that was included in taxable compensation. Health or social club dues or initiation fees - 1 officer and 1 key employee were provided health or social club dues or initiation fees that were not included in taxable compensation. Part I, Line 4b Certain individuals listed in Form 990, Schedule J, Part II, participate in nonqualified deferred compensation plans. Amounts contributed to the plans include fixed %s of annual bonus payments, and fixed dollar amounts. Contributions to the plan vest when individuals complete their contract term or continue employment to a designated date. Current year accruals of compensation associated with these plans are included in the amounts reported for such individuals in Schedule J, Part II, Column (C). The payout of these amounts in future years will be included in the amounts reported in Schedule J, Part II, Column (B)(iii) for such individuals. Amounts accrued in prior years and previously reported in Schedule J, Part II, Column (C) will be reported in Schedule J, Part II, Column (F). No payouts were made under these plans to participating individuals in 2015. Part I, Line 7 Certain individuals listed in Schedule J, Part II received variable incentive compensation based on the achievement of pre-established goals where judgement was determined either by the Board of Trust or the Chancellor. Incentive payments are shown in Schedule J, Part II, Column B(ii). Part I, Line 8 Explanation: Certain individuals are, from time to time, serving under the provisions of their initial contract to serve as officers of the university, which principally establishes their compensation, responsibilities and duties. A HEFB Vanderbilt Univ Series 2012D&E 626139016 592041UV7 2012-11-29 169603023 See Part VI 1 0 0 B HEFB Vanderbilt Univ Series 2012AB&C 626139016 592041XA0 2012-03-29 180230953 See Part VI 1 0 0 C HEFB Vanderbilt Univ Series 2009A&B 626139016 592041WY9 2009-04-01 328850840 See Part VI 1 0 0 A 17855000 27370000 169603023 169603023 1 0 1 1 B 91360000 50725000 180231110 180231110 1 0 1 1 C 10000000 246010000 328896899 2245733 100365419 226285747 2011 1 0 1 1 A 0 1 0 1 1 0.00000 0.00000 0.00000 0 1 0.00000 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 1 0.00000 0 1 C 0 0 0 1 1 0.00000 0.00000 0.00000 0 1 0.00000 0 1 A 0 1 1 0 0 0 0 0 1 B 0 1 1 0 1 0 0 0 1 C 0 0 1 0 0 0 0 0 1 A 1 B 1 C 1 Form 990, Schedule K - General Disclosure As part of the Medical Center reorganization, see Part III, Line 3, disclosure in Schedule O, remedial actions were taken with regard to outstanding bonds and the associated debt financed property such that the portion of the pre-legal separation tax-exempt debt allocable to the financing of pre-legal separation Medical Center assets was redeemed or defeased concurrently with the transfer of Medical Center assets. After completion of the remedial action and concurrent transfer of Medical Center assets, the University is responsible for post issuance compliance requirements only with respect to the bond financed University assets. As such, the 2015 Form 990, Schedule K reflects those requirements. Form 990, Schedule K, Part I, Column (a), All Rows Full Issuer Name: The Health and Educational Facilities Board of Metropolitan Government of Nashville and Davidson County, TN (HEFB). Form 990, Schedule K, Part I, Column (f) Description of Purpose: Row A - To refund a portion of series 2000A bonds (issued on January 20, 2005); a portion of the series 2005A bonds (issued on January 20, 2005); and a portion of tax-exempt commercial paper. Row B - To refund series 2000B bonds (issued on May 16, 2000); series 2003A bonds (issued on May 29, 2003); a portion of the series 2005A bonds (issued on January 20, 2005); and the series 2001A&B bonds (both issued January 1, 2001). Row C - To refund tax-exempt commercial paper (issued on June 28, 2007) used to finance various capital projects; refund series 2005 B-1 & B-2 bonds (both issued on January 20, 2005); finance various capital improvements; to pay for costs associated with issuance of bonds. Form 990, Schedule K, Part II, Line 3, Proceeds: Differences between Part I, Column (e) and Part II, Line 3 is investment earnings. Form 990, Schedule K, Part III, Lines 4, 5, & 6 Private Business Use: Vanderbilt University is reporting private business use percentages on a net basis. Reporting on a net basis means that private business use has been allocated to the equity portion of any debt-financed buildings and equipment where private business use has occurred. In Vanderbilt's case, equity has substantially exceeded relatively minor private business use, resulting in zero reported amounts on a net basis. Form 990, Schedule K, Part III, Line 8a - 8c Sale or Disposition of Bond-Financed Property: Vanderbilt University calculates the percentage of sale or disposition of bond-financed property by using all disposed property in the numerator without considering if the property was sold to a private organization or disposed of in the regular course of business. This provides for a more conservative calculation. The assets that have been disposed of consist of small equipment. No bond-financed buildings or large equipment have been sold. It is not Vanderbilt's policy to sell any bond-financed assets to a nongovernmental person other than a 501(c)(3) organization. Form 990, Schedule K, Part III, Line 8b Percentage of Bond-Financed Property: Column A - Since a portion of series 2012D&E bonds refinanced series 2005A&B bonds, the portion of series 2005A&B bonds that have been disposed of is allocated to series 2012D&E bonds. Column B - Since a portion of series 2012A,B&C bonds refinanced series 2005A&B bonds, the portion of series 2005A&B bonds that have been disposed of is allocated to series 2012A,B&C bonds. Column C - Since a portion of series 2009A&B bonds refinanced series 2005A&B bonds, the portion of series 2005A&B bonds that have been disposed of is allocated to series 2009A&B bonds. See Part V See Part V 0 Schedule L, Part III (a) Name of interested person:Education assistance provided to four interested persons(b) Relationship between interested person and the organization:Employees, dependents, family members(c) Amount of assistance:$94,013(d) Type of assistance:Merit-based and need-based scholarships and awards(e) Purpose of assistance:Scholarships and awards to assist individuals fund education costs(a) Name interested person:Tuition assistance provided to three interested persons(b) Relationship between interested person and the organization:Employees and qualifying dependents of eligible employees(c) Amount of assistance:$117,653(d)Type of assistance:Tuition assistance(e) Purpose of assistance:Tuition to assist individuals fund education costs Schedule L, Part IV (a) Name of Person: Andrea Birch(b)Relationship between interested person and Organization: Family member of trustee Adolpho A. Birch, III(c) Amount of transaction: $425,416(d) Description of transaction: Employment at Vanderbilt(e) Sharing of Organization revenues? = No(a) Name of Person: Gary Robert Kimball III(b)Relationship between interested person and Organization: Family member of trustee Carroll E. Kimball(c) Amount of transaction: $165,812(d) Description of transaction: Employment at Vanderbilt(e) Sharing of Organization revenues? = No(a) Name of Person: Stacey McCarty(b) Relationship between interested person and Organization: Family member of former officer Richard McCarty(c) Amount of transaction: $59,529(d) Description of transaction: Employment at Vanderbilt(e) Sharing of Organization revenues? = No(a) Name of Person: Gail P. Carr-Williams, JD(b) Relationship between interested person and Organization: Family member of current officer David Williams, II(c) Amount of transaction: $136,642(d) Description of transaction: Employment at Vanderbilt(e) Sharing of Organization revenues? = No X 28 203491 FMV X 85738 Various X 16908 Selling Price X 1 8900 Opinion of Expert X 367 21473101 Market Quote X 94 15962 Various X 69 11914 Cost X 27 54059 Cost X Software 1 3107493 FMV X Archival Record 1 744975 Opinion of Expert X Other & Auction 153 30978 FMV 11 0 1 0 Part I, Column (b): Explanation: Number of contributions or items contributed: Vanderbilt University reports the number of contributions received throughout the year for each type of property listed. Schedule M, Part I, Line 26: - Types of property, other: This line includes written works, both published and unpublished by John L. Sigenthaler. Schedule M, Part I, Line 27: - Types of property, other: This line includes other donations and silent auction items for various fundraising events such as gift cards and tickets to performances and athletic events. Form 990, Part III, line 3 In accordance with the oversight and approval of applicable federal, state and local regulatory agencies, including the Office of the Tennessee Attorney General, On April 29, 2016, Vanderbilt University ("Vanderbilt") and Vanderbilt University Medical Center ("VUMC") became two separate legal entities. Vanderbilt transferred clinical services operations, post-graduate training programs, and clinical department research activities, along with the related assets and liabilities, to VUMC (EIN: 35-2528741), as a newly incorporated Tennessee non-profit corporation that is also federally exempt under IRC 501(c)(3) as a charitable medical facility described in IRC 170(b)(1)(A)(iii), effective on March 18, 2015, in an IRS ruling dated May 19, 2015 (the "Transaction"). Vanderbilt retained the medical educational and academic activities and remains the degree-granting institution for the Vanderbilt's School of Medicine, School of Nursing and clinical master's programs. Vanderbilt retains control of faculty affairs, graduate school PhD programs in the biomedical sciences, and research in basic science departments and related centers. As a separate legal entity, VUMC is not and will not be under common governance with or controlled by Vanderbilt nor will Vanderbilt be financially responsible for VUMC indebtedness. Following the Transaction, Vanderbilt will have an ongoing economic relationship with VUMC in the form of an Academic Affiliation Agreement, a Trademark Licensing Agreement, a Ground Lease, and a Master Service Agreement. Vanderbilt and VUMC maintain, and will at all times continue to maintain, a strong and close affiliation, reflecting the substantial degree to which each is dependent upon the other to perform its exempt functions and achieve its mission. This affiliation is embedded in the purpose clause of VUMC's Charter and is reflected in the ongoing relationship embodied in the Academic Affiliation Agreement, Trademark Licensing Agreement, Ground Lease, and Master Service Agreement between Vanderbilt and VUMC. Pursuant to the Transaction and for purposes of preparing Vanderbilt's audited financial statements, Vanderbilt classified the fiscal year 2016 VUMC assets and liabilities as held for sale and classified VUMC operating results to discontinued operations consistent with Accounting Standards Update 2014-08 (April 2008), Reporting Discontinued Operations and Disclosures of Disposals of Components of an Entity. Therefore, Vanderbilt's Financial Statements only present line item details for Vanderbilt's remaining activities and VUMC's pre-Transaction operating results are presented as a line item separate from revenues and expenses. Vanderbilt's Form 990 Core Form Parts VIII, IX, X, and XI, along with Schedule D ("Form 990 Financial Statements") are presented in a manner consistent with the Statement of Financial Position, Statement of Activities, and Statement of Cash Flows in Vanderbilt's audited financial statements. Therefore, Vanderbilt's Form 990 Financial Statements only present Vanderbilt's remaining activities and VUMC's pre-Transaction operating results are presented in Part XI as a component of "other changes in net assets or fund balances". Although Vanderbilt's Form 990 Financial Statements present only Vanderbilt's results of operations, Vanderbilt's Separate Form 990 Schedules (Schedules A - R, other than Schedule D) include all relevant VUMC pre-Transaction activities as noted in the supplemental information in the relevant schedules. The following table sets forth the components of discontinued operations: (in millions) Revenue: Health care services $2,543,322 Other $ 375,449 Total Revenue $2,918,771 Expenses: Salaries & benefits $1,550,915 Supplies & Other $1,136,550 Depreciation $ 37,711 Interest $ 28,904 Non-operating $ 17,435 Total Expense $2,771,515 Net from disc. ops. $ 147,256 Loss on disposal $ (317,856) Change in net assets $ (170,600) Form 990, Part VI, Section A, line 2 Brett Sweet, MBA, and David Williams, II, JD, LLM, MBA, are current officers of Vanderbilt University and both serve as Directors of Vanderbilt Legends Club, Inc. a wholly owned subsidiary of Vanderbilt Univeristy. Form 990, Part VI, Section A, line 4 - Eliminated all language pertaining to the Medical Center Affairs Committee - Modified language pertaining to provisions necessary to amend the organization's bylaws Form 990, Part VI, Section B, line 11 - Complete Copy of Form 990 to Governing Body: The Form 990 is prepared by Vanderbilt University and provided to PricewaterhouseCoopers, Vanderbilt University's independent accounting firm for review. After review by PricewaterhouseCoopers, Vanderbilt University provides a draft copy of the Form 990 and all required schedules for review to all General Officers, which includes the Chancellor and Chief Financial Officer. Once this review process is complete, all trustees are provided electronic access to the draft Form 990 and all required schedules for review. The final Form 990 and all required schedules are made available to the full Board of Trust for review via Boardbooks prior to the filing of the return. Form 990, Part VI, Section B, line 12c - Conflict of Interest: Vanderbilt University requires that for any faculty or staff member disclosing a potential conflict of interest, the conflict be reviewed by the individual's manager, as well as by the conflict of interest and commitment management office or Vanderbilt University Medical Center faculty affairs office, and the reported conflict be managed, reduced, or eliminated. The manager is required to respond that any recommended management plan has been implemented or that the reported conflict no longer exists. For those conflicts in which Vanderbilt may have an institutional interest, those in which human subject research is performed, or those deemed unmanageable, the University Conflicts Committee reviews and determines appropriate actions. The University Conflicts Committee members are appointed by the chancellor and are made up of a faculty member representing each of the university schools, the vice chancellor for administration, the director of technology transfer, the director of the institutional review board, the assistant vice chancellor of internal audit, and the heads of research for both the university and medical center. The University Conflicts Committee is chaired by the vice chancellor for university affairs and athletics, general counsel, and secretary of the university. The University Conflicts Committee reports bi-annually to the Audit Committee of the Board of Trust the matters brought before the committee and the resulting actions. Board of Trust members and senior executive management of the university also must complete annual conflict of interest disclosures and management plans are developed to manage, reduce, or eliminate any potential conflicts of interest. Trustees are notified of their plans and the plans are thoroughly discussed with them to ensure compliance. Those with disclosed potential conflict of interest are presented to the Audit Committee of the board of trust, along with their respective management action plans, where applicable. Management plans may include restrictions on members such as recusing themselves during deliberations and decisions in which a potential conflict may exist, with the minutes of the meeting reflecting their recusal. Additionally, all members of the Vanderbilt community are required to disclose potential conflicts as they arise throughout the year. The same process noted above occurs for these disclosures. Form 990, Part VI, Section B, line 15 - Determining Compensation: - To ensure that Vanderbilt is paying reasonable total compensation, is not violating the private inurement prohibition, which requires that none of the organization's income or assets unreasonably benefit any of its trustees, officers, or key employees, and is in compliance with intermediate sanctions provisions with respect to the general officers, Vanderbilt's Board of Trust has designated a Compensation Committee made up of outside, independent, board members to review and recommend to the Executive Committee of the Board of Trust the total compensation annually for the general officers. The committee utilizes appropriate, nationally-recognized consulting firms to conduct market compensation analyses, provide expert information, and issue reasonableness opinions regarding comparative compensation norms, and to ensure compliance with all Internal Revenue Service rules concerning executive compensation, including the Internal Revenue Code provision related to intermediate sanctions, deferred compensation, and private inurement. The Compensation Committee reviews the executive compensation philosophy and affirms that it is in line with the Board's expectations. The compensation of the general officers is disclosed in the annual Form 990, which is available to the public in accordance with regulations section 301.6104(d)-1 through 3. Each year, the total compensation review and recommendations are recorded in the minutes of the Compensation Committee meetings. The approval of the recommendations is recorded in the Executive Committee meetings. The full Board is informed annually of the total compensation of the general officers during private session. Form 990, Part VI, Section C, line 19 - Policies Available to Public: - Vanderbilt University makes its governing documents available to the public through its Board of Trust website located at: http://www.vanderbilt.edu/boardoftrust. - Vanderbilt University makes its conflict of interest policy available to the public through its Compliance Program website located at: http://www.vanderbilt.edu/compliance. - Vanderbilt University makes its financial statements available to the public through its website located at: http://finance.vanderbilt.edu/report/. Form 990, Part VII, Section A, Column (A) Continuation of Titles - Nicholas S. Zeppos, JD - Chancellor - Audrey Jane Anderson, JD - Vice Chancellor, General Counsel and University Secretary - Jeffrey R. Balser, MD, PHD - Vice Chancellor for Health Affairs; Dean, School of Medicine - Beth A. Fortune, MA - Vice Chancellor for Public Affairs - Anders W. Hall, MBA - Vice Chancellor for Investments and Chief Investment Officer - George C. Hill, PhD - Chief Diversity Officer and Vice Chancellor for Diversity, Equity and Inclusion (effective December 1, 2015) - Eric C. Kopstain, MBA - Vice Chancellor for Administration - John M. Lutz, AB - Vice Chancellor for Information Technology - Susie S. Stalcup, BBA, CFP - Vice Chancellor for Development and Alumni Relations - Brett C. Sweet, MBA - Vice Chancellor for Finance and Chief Financial Officer - Susan Wente, PhD - Provost and Vice Chancellor for Academic Affairs, Professor of Cell and Development Biology - David Williams, II, MA, MBA, JD, LLM - Vice Chancellor for Athletics and University Affairs and Athletics Director - Mitchell Edgeworth, MBA - CEO, Vanderbilt University Adult Hospital and Clinics (effective July 1, 2015) - Charles L. Gregory, MA, MBA, MHA - Assistant Vice Chancellor and CEO, Monroe Carell, Jr. Children's Hospital at Vanderbilt; Chief Business Development Officer - John F. Manning, Jr., PhD, MBA - Associate Vice Chancellor for Health Affairs and Chief Administrative Officer, Vanderbilt University Medical Center; Senior Associate Dean for Operations and Administration, School of Medicine - Charles W. Pinson, MD, MBA - Deputy Vice Chancellor for Health Affairs; Senior Associate Dean for Clinical Affairs - David Posch - Former Officer (CEO, Vanderbilt University Hospital); Terminated status as an officer effective June 30, 2015; Current Executive Vice President, Population Health - Derek Mason, BS - Head Football Coach - Michael J. McNamara, MD - Associate Professor of Clinical Orthopaedic Surgery and Rehabilitation - Kevin E. Stallings, MS - Head Men's Basketball Coach - Paul A. Thomas, MD - Associate Professor of Clinical Orthopaedic Surgery - Todd R. Wurth, MD - Assistant Professor of Clinical Orthaepedic Surgery - Richard C. McCarty, MS, PhD - Former Officer (Provost and Vice Chancellor for Academic Affairs); Terminated status as an officer effective July 1, 2014; Current Professor of Psychology Form 990, Part IX, Line 24e, All Other Functional Expenses: Bad Debts: Program service expenses 190,198 Management and general expenses 0 Fundraising expenses 0 Total expenses 190,198 Total Other Expenses of Form 990, Part IX, Line 24e Col A 190,198 Form 990, Part XI, line 9: Change in net assets from discontinued operations -170,600,338. Change in net assets related to noncontrolling interests -27,898,130. Dore Capital LLC 2100 West End Ave Suite 1000 Nashville TN 37203 264337602 Investment DE 0 0 VU Dore Capital Real Estate LLC 2100 West End Ave Suite 1000 Nashville TN 37203 264581498 Investment DE 0 0 VU Vanderbilt Global Holdings LLC 2100 West End Ave Suite 750 Nashville TN 37203 463504785 Holding Company TN 287 243645 VU Vanderbilt Health Services LLC 2100 West End Ave Suite 750 Nashville TN 37203 621176354 Holding Company TN 745780 0 VU Friends in Global Health LLC 2100 West End Ave Suite 750 Nashville TN 37203 260170070 Public Health TN 13193707 0 VHS Vanderbilt-Wilson Radiation Oncology LLC 2100 West End Ave Suite 750 Nashville TN 37203 261241612 Inactive TN 0 0 VHS Vanderbilt Health Affiliated Network LLC 2100 West End Ave Suite 750 Nashville TN 37203 461571024 Clinical Network TN 8255865 0 VHS Star V Partners LLC 2100 West End Ave Suite 1000 Nashville TN 37203 Investment TN -4394813 458401965 VU Vanderbilt Student Communications Inc 2301 Vanderbilt Place Nashville TN 37235 237030713 Support Org TN 501(c)(3) 11-A-I VU 1 Ingram Charitable Fund Inc 4400 Harding Road 9th Floor Nashville TN 37203 581916504 Support Org TN 501(c)(3) 11D-III-O N/A 0 Vanderbilt Home Care Services Inc 2120 Belcourt Avenue Nashville TN 37212 621404948 Home Health TN 501(c)(3) 9 VHS 1 Vanderbilt Global Inc 2100 West End Ste 750 Nashville TN 37203 460888454 Support Org DE 501(c)(3) 11-A-I VGH 1 Dore Capital LP 2100 West End Ste 1000 Nashville TN 37203 264337679 Investments DE VU Excluded 24509240 109128786 1 1 0.60000 Dore Capital Real Estate LP 2100 West End Ste 1000 Nashville TN 37203 264581574 Investments DE VU Unrelated 13952956 66181010 1 1 0.69460 Ambulatory Surgery Center of Cool Springs LLC 40 Burton Hills Blvd Ste 500 Nashville TN 37215 621809227 Ambulatory Surgery TN VHS Related 777038 0 0 0.51020 New Light Imaging LLC 4525 Harding Road Suite 102 Nashville TN 37205 141895171 Management Services TN VHS Related 325835 0 0 0.66670 One Hundred Oaks Imaging LLC 4525 Harding Road Suite 102 Nashville TN 37205 263762022 Diagnostic Imaging TN VIS Related 493966 0 0 0.80000 Springfield VIP Realty LLC 3319 West End Ave Ste 700 Nashville TN 37203 261237360 Real Estate TN VU Excluded 12441 438330 0 1 0.49000 Vanderbilt Gateway Cancer Center GP 3319 West End Ave Ste 700 Nashville TN 37203 203844791 Oncology Services DE VHS Related 464812 0 1 0.50000 Vanderbilt Imaging Services LLC (VIS) 1909 Acklen Avenue Nashville TN 37212 621787098 Radiology Services TN VHS Related 2142350 0 0 0.66670 Vanderbilt Stallworth Rehabilitation Hospital LP 3660 Grandview Parkway Ste 200 Birmingham AL 35243 631077470 Rehab Services TN VHS Related -649933 0 0 0.50000 VIP MidSouth LLC 3319 West End Ave Ste 700 Nashville TN 37203 621654580 Practices TN VIP Related 213310 0 0 0.45180 Williamson Imaging LLC 2009 Mallory Lane Suite 150 Franklin TN 37067 621855535 Diag. Imaging TN VIS Related 1051442 0 0 0.53340 Vanderbilt - Maury Radiation Oncology LLC 1031 22nd Ave South Suite B-1034 Nashville TN 37232 460757412 Oncology Services TN VHS Related 52885 0 1 0.40000 Vanderbilt Health and Williamson Medical Center Clinics and Services 3319 West End Ave Ste 700 Nashville TN 37203 621864145 Walk-in Clinics TN VHS Related 733167 0 0 0.51000 Vanderbilt Legends Club Inc 1500 Legends Club Lane Franklin TN 37069 621429615 Golf Club TN VU C 7086782 18834146 1.00000 1 Commodore Scottish Patron II LP 50 Lothian Road Festival Square Edinburgh Scotland UK Investments UK VU C -666 8057913 1.00000 1 Emergent Pro Alia Fund Sub Fund Emergent African Land Fund 20 Boulevard Emmanuel Servais LU L-2535 980600835 Investments LU VU C 0.79600 1 Vanderbilt Integrated Providers (VIP) 3319 West End Ave Suite 700 Nashville TN 37203 621650124 Practices TN VHS C -192933 1.00000 1 Pacific Harbor Special Holdings Ltd PO Box 957 Offshore Incorporations Tortola British Virgin Is VI Investments VI VU C -66567 70391475 1.00000 1 Vision Borda Da Serra Fund Intertrust Corporate Svcs Cayman George Town CJ KY1-9005 Investments CJ VU C 0.65250 1 Vision Sao Domingos Fund Intertrust Corporate Svcs Cayman George Town CJ KY1-9005 Investments CJ VU C 0.52230 1 0 Charitable Remainder Trust (84) Charitable Trust TN VU T 1 Perpetual Trusts (5) Charitable Trust TN VU T 1 Charitable Lead Trusts (1) Charitable Trust TN VU T 1 1 1 1 1 0 0 0 0 0 1 1 1 1 0 1 1 1 1 1 One Hundred Oaks Imaging LLC A 352026 Fair Market Value Vanderbilt Health and Williamson Medical Center Clinics and Services LLC A 282413 Fair Market Value Vanderbilt Legends Club Inc A 910073 Fair Market Value Vanderbilt Stallworth Rehabilitation Hospital LP A 112500 Fair Market Value Vanderbilt Student Communications Inc A 54787 Fair Market Value Vanderbilt Maury Radiation Oncology LLC B 300000 Fair Market Value Lead Trust (1) C 87400 Fair Market Value Vanderbilt Legends Club Inc C 103196 Fair Market Value Vanderbilt Legends Club Inc D 7448131 Fair Market Value Vanderbilt Home Care Services Inc J 97536 Fair Market Value Vanderbilt Stallworth Rehabilitation Hospital LP K 330897 Fair Market Value Vanderbilt Gateway Cancer Center GP L 627562 Fair Market Value Vanderbilt Integrated Providers L 53028 Fair Market Value Vanderbilt Global Inc L 140000 Fair Market Value Vanderbilt Home Care Services Inc L 392405 Fair Market Value Vanderbilt Maury Radiation Oncology LLC L 244053 Fair Market Value Vanderbilt Home Care Services Inc M 2439149 Fair Market Value New Light Imaging LLC O 118136 Fair Market Value Vanderbilt Home Care Services Inc O 59935 Fair Market Value Vanderbilt Health and Williamson Medical Center Clinics and Services LLC O 6787416 Fair Market Value Vanderbilt Imaging Services LLC O 320851 Fair Market Value Vanderbilt Maury Radiation Oncology LLC O 52661 Fair Market Value Vanderbilt Legends Club Inc P 111879 Fair Market Value Ambulatory Surgery Center of Cool Springs LLC Q 93825 Fair Market Value VIP Midsouth LLC Q 384092 New Light Imaging LLC Q 134078 Fair Market Value One Hundred Oaks Imaging LLC Q 196759 Fair Market Value Vanderbilt Maury Radiation Oncology LLC Q 133511 Fair Market Value Vanderbilt Gateway Cancer Center GP Q 175400 Fair Market Value Vanderbilt Health and Williamson Medical Center Clinics and Services LLC Q 1989880 Fair Market Value Vanderbilt Imaging Services LLC Q 92704 Fair Market Value Vanderbilt Stallworth Rehabilitation Hospital LP Q 1785455 Fair Market Value Dore Capital LP R 1665000 Fair Market Value Dore Capital LP S 43602000 Fair Market Value Dore Capital Real Estate LP S 11850000 Fair Market Value Charitable Remainder Trust (6) S 2386866 Fair Market Value Perpetual Trusts (6) S 591181 Fair Market Value New Light Imaging LLC S 768870 Fair Market Value One Hundred Oaks Imaging LLC S 917942 Fair Market Value Vanderbilt Home Care Services Inc S 2079227 Fair Market Value Vanderbilt Imaging Services LLC S 5094368 Fair Market Value Vanderbilt Stallworth Rehabilitation Hospital LP S 568290 Fair Market Value Vanderbilt Global Inc S 1250000 Fair Market Value Form 990, Schedule R, Part V, Column C The amounts reported are derived from the books and records of Vanderbilt University, which are maintained on an accrual basis in accordance with U.S. Generally Accepted Accounting Principles. Valuation of the amounts reported in Schedule R, Part V, Column C is consistent with the valuation reflected in the University's consolidated audited financial statements.