2016-07-13T15:49:34-05:00 2015-08-31 990 2014-09-01 135562308 NEW YORK UNIVERSITY NEWY 2129982955 105 E 17TH STREET - 2ND FLOOR NEW YORK NY 100039580 MARTIN DORPH CFO 2129982955 2016-07-13 2014 2016-09-27 15:27:22Z MARTIN DORPH 105 E 17TH ST 4TH FL NEW YORK NY 100039580 7155256474 0 X WWW.NYU.EDU X 1831 NY NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 50,000 STUDENTS IN 18 SCHOOLS AND INSTITUTES. 62 54 39601 2743 6042645 -2837265 960468399 1019592114 3222870020 4062554380 229353193 133964438 180672651 112136028 4593364263 5328246960 396752355 548897557 0 0 2336976682 2888201400 737489 857263 44513777 1460085175 1982580586 4194551701 5420536806 398812562 -92289846 9297236020 10269220274 4425995211 5485560370 4871240809 4783659904 X NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 50,000 MATRICULATING STUDENTS IN 18 SCHOOLS AND INSTITUTES. NYU'S PRIMARY MISSIONS ARE EDUCATION, PATIENT CARE, RESEARCH AND SCHOLARSHIP. NYU IS RECOGNIZED BOTH NATIONALLY AND INTERNATIONALLY AS A LEADER IN SCHOLARSHIP 0 0 1913929776 545755265 2152315000 EDUCATION: FOUNDED IN 1831, NYU IS AMONG THE LARGEST PRIVATE NOT-FOR-PROFIT RESEARCH UNIVERSITIES IN THE U.S., WITH 18 SCHOOLS AND INSTITUTES, APPROXIMATELY 4,000 FULL-TIME FACULTY MEMBERS, AND APPROXIMATELY 50,000 MATRICULATING STUDENTS. NYU ANNUALLY CONFERS OVER 13,000 UNDERGRADUATE, GRADUATE AND PROFESSIONAL DEGREES, AND PROVIDES OVER $300 MILLION PER YEAR IN SCHOLARSHIP AID TO UNDERGRADUATES. NYU HAS AN UNPARALLELED INTERNATIONAL PRESENCE WITH THREE DEGREE-GRANTING LIBERAL ARTS RESEARCH UNIVERSITY CAMPUSES (IN NEW YORK, ABU DHABI, AND SHANGHAI); 11 GLOBAL ACADEMIC SITES (FOR STUDY ABROAD) ON SIX CONTINENTS; SENDS MORE STUDENTS TO STUDY ABROAD THAN ANY OTHER U.S. COLLEGE OR UNIVERSITY; AND ENROLLS MORE INTERNATIONAL STUDENTS THAN ANY OTHER U.S. UNIVERSITY. 1292221351 1316525000 PATIENT CARE: NYU'S MEDICAL ACADEMIC PROGRAMS ARE A MAJOR ELEMENT OF THE UNIVERSITY'S MISSION. THE NYU SCHOOL OF MEDICINE WAS ESTABLISHED IN 1841; FROM ITS EARLIEST YEARS, IT HAS BEEN AT THE FOREFRONT OF ADVANCING THE MEDICAL PROFESSION AND MEDICAL RESEARCH, INCLUDING PARTICIPATING IN THE PROCESS THAT LED TO THE ESTABLISHMENT OF NEW YORK CITY'S HEALTH DEPARTMENT, ESTABLISHING THE FIRST OUTPATIENT CLINIC, ESTABLISHING THE FIRST LABORATORY DEVOTED TO TEACHING AND RESEARCH IN BACTERIOLOGY AND PATHOLOGY, CREATING THE FIRST DEPARTMENT OF FORENSIC MEDICINE, CREATING THE FIRST DEPARTMENT OF PHYSICAL MEDICINE AND REHABILITATION IN THE U.S., AND ESTABLISHING ONE OF THE FIRST MD-PHD PROGRAMS. ITS FACULTY AND GRADUATES HAVE INCLUDED NOBEL LAUREATES, THE DISCOVERER OF THE MOSQUITO AS THE SOURCE OF TRANSMISSION OF YELLOW FEVER, BOTH CREATORS OF THE POLIO VACCINE, AND THE RESEARCHERS WHO FOUND THE LINKAGE BETWEEN KAPOSI'S SARCOMA AND IMMUNE DEFICIENCY IN A DISTINCT POPULATION OF GAY MEN (A KEY STEP IN IDENTIFYING AIDS), AMONG OTHER LEADERS IN MEDICINE. THROUGH AFFILIATION AGREEMENTS, THE DOCTORS AND STUDENTS AT NYU SCHOOL OF MEDICINE PLAY A CRUCIAL ROLE IN ENSURING TOP QUALITY CARE NOT ONLY AT THE NYU LANGONE MEDICAL CENTER, BUT ALSO AT THE MANHATTAN VA HOSPITAL AND BELLEVUE HOSPITAL (ARGUABLY THE FOREMOST PUBLIC HOSPITAL IN THE U.S.). THE NYU COLLEGE OF DENTISTRY, WHICH - AS THE LARGEST DENTAL SCHOOL IN THE U.S. AND MOST COMPREHENSIVE ORAL HEALTH CENTER IN THE WORLD - CARES FOR SOME 50,000 POOR AND LOW INCOME NEW YORKERS EACH YEAR AND OPERATES A MOBILE DENTAL CARE PROGRAM WHICH TRAVELS TO UNDERSERVED AREAS OF NEW YORK STATE. IN ADDITION, NYU HAS A COLLEGE OF GLOBAL PUBLIC HEALTH AND NYU'S RORY MEYERS COLLEGE OF NURSING PROVIDES UNDERGRADUATE AND GRADUATE EDUCATION FOR OVER 1,200 NURSING STUDENTS. 929780041 607107717 RESEARCH AND SCHOLARSHIP: NYU IS A MAJOR RESEARCH INSTITUTION, WITH SIGNIFICANT SUPPORT FROM NIH, NSF AND OTHER FUNDERS. THE RESEARCH AND CREATIVE OUTPUT OF NYU'S SCHOLARS HAVE LED TO THE RECEIPT OF NOBEL PRIZES, ABEL PRIZES, PULITZER PRIZES, GUGGENHEIMS, THE NATIONAL MEDAL OF THE ARTS, THE NATIONAL MEDAL OF SCIENCE, THE NATIONAL MEDAL OF TECHNOLOGY, NSF WATERMAN AWARDS, MAX PLANCK AWARDS, THE KAVLI PRIZE, MEMBERSHIP IN THE NATIONAL ACADEMY OF SCIENCES AND THE NATIONAL ACADEMY OF ENGINEERING, ACADEMY AWARDS, AND TONY AWARDS, AMONG MANY OTHER HONORS FOR THE UNIVERSITY'S FACULTY. NYU FACULTY FINDINGS ARE REGULARLY PUBLISHED IN TOP JOURNALS ACROSS A BROAD RANGE OF SCHOLARLY DISCIPLINES. NYU HAS LEADING PROGRAMS IN ECONOMICS, MATHEMATICS (AND PARTICULARLY APPLIED MATHEMATICS), NEUROSCIENCE, GENOMICS, SOFT CONDENSED MATTER PHYSICS, SOCIOLOGY, PHILOSOPHY, THE LAW, MEDICINE AND BIO-MEDICAL SCIENCES, THE CINEMATIC AND PERFORMING ARTS, AND BUSINESS AND FINANCE, AMONG MANY OTHER SCHOLARLY FIELDS. 725724170 3142292 593714381 STUDENT SERVICES; STUDENT AID; LIBRARY; AND OPERATION AND MAINTENANCE OF PLANT. 725724170 3142292 593714381 4861655338 1 1 0 1 0 0 1 1 0 1 1 1 0 0 1 0 0 1 1 1 1 0 1 1 1 0 0 1 1 1 1 1 0 0 0 0 1 1 1 1 1 1 1 0 0 0 1 1 1 1 0 1 X 47256 0 1 39601 1 1 1 1 AE AR AS BD CH CJ EI EZ FR GH GM IS IT MP PM SN SP UK VI AF CY 0 0 0 1 1 0 0 0 0 X 62 54 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 AK CO KY MD MA MI OH OK OR SC WA X KERRI TRICARICO 2129982913 105 E 17TH STREET 3RD FLOOR NEW YORK NY 100039345 RONALD D ABRAMSON TRUSTEE 2.00 X 0 0 0 KHALDOON KHALIFA AL MUBARAK TRUSTEE 2.00 X 0 0 0 RALPH ALEXANDER TRUSTEE 2.00 X 0 0 0 PHYLLIS PUTTER BARASCH TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 MARIA BARTIROMO TRUSTEE 2.00 X 0 0 0 MARC H BELL TRUSTEE 2.00 X 0 0 0 WILLIAM R BERKLEY TRUSTEE & CHAIR DESIGNEE 4.00 X X 0 0 0 CASEY BOX TRUSTEE 2.00 X 0 0 0 BILL BREWER TRUSTEE 2.00 X 0 0 0 SHARON CHANG TRUSTEE 2.00 X 0 0 0 EVAN R CHESLER TRUSTEE 2.00 X 0 0 0 STEVEN M COHEN TRUSTEE 2.00 X 0 0 0 WILLIAM T COMFORT III TRUSTEE 2.00 X 0 0 0 FLORENCE A DAVIS TRUSTEE 2.00 X 0 0 0 MICHAEL DENKENSOHN TRUSTEE 2.00 X 0 0 0 BARRY DILLER TRUSTEE 2.00 X 0 0 0 GALE DRUKIER TRUSTEE 2.00 X 0 0 0 JOEL S EHRENKRANZ TRUSTEE 2.00 X 0 0 0 LAURENCE D FINK TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 MARK FUNG TRUSTEE 2.00 X 0 0 0 JAY M FURMAN TRUSTEE (UNTIL: 1/4/15) 2.00 X 0 0 0 NATALIE HOLDER TRUSTEE 2.00 X 0 0 0 MITCHELL JACOBSON TRUSTEE 2.00 X 0 0 0 BORIS JORDAN TRUSTEE 2.00 X 0 0 0 CHARLES KLEIN TRUSTEE 2.00 X 0 0 0 ANDRE JL KOO TRUSTEE 2.00 X 0 0 0 MARK LESLIE TRUSTEE 2.00 X 0 0 0 BRIAN A LEVINE MD TRUSTEE 2.00 X 0 0 0 MARTIN LIPTON TRUSTEE & CHAIR 20.00 X X 0 0 0 JEFFREY H LYNFORD TRUSTEE 2.00 X 0 0 0 KELLY KENNEDY MACK TRUSTEE 2.00 X 0 0 0 MIMI MD MARZIANI TRUSTEE 2.00 X 0 0 0 HOWARD MEYERS TRUSTEE 2.00 X 0 0 0 STEVEN S MILLER TRUSTEE 2.00 X 0 0 0 CONSTANCE J MILSTEIN TRUSTEE 2.00 X 0 0 0 DAVID C OXMAN TRUSTEE 2.00 X 0 0 0 JOHN PAULSON TRUSTEE 2.00 X 0 0 0 CATHERINE B REYNOLDS TRUSTEE 2.00 X 0 0 0 BRETT B ROCHKIND TRUSTEE 2.00 X 0 0 0 WILLIAM C RUDIN TRUSTEE 2.00 X 0 0 0 CONSTANCE SILVER TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 LISA SILVERSTEIN TRUSTEE 2.00 X 0 0 0 JAY STEIN TRUSTEE 2.00 X 0 0 0 JOSEPH S STEINBERG TRUSTEE 2.00 X 0 0 0 JUDY STEINHARDT TRUSTEE 2.00 X 0 0 0 MICHAEL H STEINHARDT TRUSTEE 2.00 X 0 0 0 CHANDRIKA TANDON TRUSTEE 6.00 X 0 0 0 DANIEL R TISCH TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 JOHN L VOGELSTEIN TRUSTEE 2.00 X 0 0 0 CASEY WASSERMAN TRUSTEE 2.00 X 0 0 0 NINA WEISSBERG TRUSTEE 2.00 X 0 0 0 ANTHONY WELTERS TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 SHELBY WHITE TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 LEONARD A WILF TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 FRED WILSON TRUSTEE 2.00 X 0 0 0 TAMARA WINN TRUSTEE 2.00 X 0 0 0 CHARLES ZEGAR TRUSTEE 2.00 X 0 0 0 JOHN E SEXTON TRUSTEE, PRESIDENT & CHANCELLOR 70.00 X X 1383102 0 204783 JESSICA SWARTZ TRUSTEE (BEGIN: 10/7/14) 2.00 X 0 0 0 JONATHAN KIM TRUSTEE (BEGIN: 10/7/14) 2.00 X 0 0 0 LISA YOO HAHN TRUSTEE (BEGIN: 10/7/14) 2.00 X 0 0 0 LUIZ FRAGA TRUSTEE (BEGIN: 10/7/14) 2.00 X 0 0 0 CHARLES HINKATY TRUSTEE 2.00 X 0 0 0 H DALE HEMMERDINGER TRUSTEE 2.00 X 0 0 0 HEATHER CANNADY TRUSTEE 2.00 X 0 0 0 JONATHAN HERMAN TRUSTEE 2.00 X 0 0 0 SURESH SANI TRUSTEE 2.00 X 0 0 0 WENLIANG WANG TRUSTEE 2.00 X 0 0 0 DAVID W MCLAUGHLIN PROVOST 50.00 X 665857 0 39934 ROBERT BERNE EVP. FOR HEALTH 50.00 X 1396338 0 39934 BONNIE BRIER GEN.COUNSEL & SECR (UNTIL: 1/19/15) 50.00 X 620546 0 39934 MARTIN DORPH CFO 50.00 X 652261 0 45922 TERRANCE NOLAN GEN.COUNSEL & SECR (BEGIN: 1/20/15) 50.00 X 374730 0 45922 KENNETH G LANGONE VICE CHAIR 4.00 X 0 0 0 PIETRINA SCARAGLINO ASSOCIATE SECRETARY (START: 2/19/15) 50.00 X 0 0 0 THOMAS J CAREW DEAN OF FAS 50.00 X 546413 0 39934 ANDREW BROTMAN SVP. & VICE DEAN 30.00 30.00 X 1081849 1081849 26000 ROBERT GROSSMAN EX-OFFICIO, DEAN & CEO 30.00 30.00 X 2591633 2591633 702680 ALISON LEARY EVP. FOR OPERATIONS 50.00 X 570592 0 45022 STEPHANIE PIANKA TREASURER 50.00 X 363800 0 33466 TINA SURH CHIEF INV. OFFICER 50.00 X 642029 0 26146 DEBRA LAMORTE SVP. FOR DEVELOPMENT 50.00 X 660795 0 33466 LINDA MILLS VC. GLOBAL PROGRAMS 50.00 X 637457 0 45922 MARILYN MCMILLAN VP. FOR IT 50.00 X 384725 0 33466 ANTHONY K FREMPONG-BOADU DR. DIVISION OF SPINAL NEU 50.00 X 3179782 0 30152 JAMES A GRIFO MD PHD PROF. OF OBSTETRICS AND GY 50.00 X 2875424 0 27519 JOHN G GOLFINOS CHAIR OF NEUROSURGERY 45.00 5.00 X 2699464 0 32847 JOHN BENDO VICE CHAIR CLINICAL AFFAIR 50.00 X 3407368 0 28887 RONNIE HERSHMAN CLINICAL INSTRUCTOR DEPART 50.00 X 3652668 0 28799 MICHAEL ALFANO FORMER EXECUTIVE VP 50.00 X 491804 0 35530 JESS BENHABIB FORMER DEAN FAS 50.00 X 374352 0 39934 29252989 3673482 1626199 2117 1 1 0 TURNER CONSTRUCTION COMPANY CORP 375 HUDSON STREET NEW YORK NY 10014 CONSTRUCTION 91620727 COLLINS BUILDING SERVICES INC 1775 BROADWAY STE 1420 NEW YORK NY 10019 CLEANING SERVICE 73224085 ARAMARK EDUCATIONAL SERVICES LLC 11 WEST 42ND STREET 4TH FL NEW YORK NY 10036 FACILITY MANAGEMENT SERVICES 37662799 SKANSKA USA BUILDING INC 1633 LITTLETON ROAD PARSIPPANY NJ 07054 CONSTRUCTION 37364058 CALDWELL & WALSH BUILDING CONSTRUCTION 60 EAST 42ND STREET NEW YORK NY 10165 CONSTRUCTION 15194533 698 17303773 22323849 518949717 461014775 37307085 1019592114 TUITION & FEES 611600 2152315000 2152315000 PATIENT CARE 623990 1316525000 1316525000 OTHER PROGRAM SERVICES 611600 322169253 322169253 HOUSING & DINING 721310 271545127 271545127 4062554380 50518014 -2796517 53314531 81859270 65815609 16043661 16043661 1278984 14764677 1820561259 1737114835 83446424 83446424 83446424 1186691 17303773 1405648 -218957 -218957 33131304 22673422 10457882 1543107 8914775 MISCELLANEOUS 900099 55215000 55215000 OTHER AUX. ENTERPRISES 713940 20781449 6017071 14764378 NON-OPERATING OTHER 900099 9714765 9714765 142228 142228 85853442 5328246960 4062554380 6042645 240057821 3142318 3142318 413444452 413444452 132310787 132310787 24162526 8126857 10689045 5346624 5613560 5233508 324732 55320 2356575387 2214576937 123157194 18841256 149752149 141108384 7106401 1537364 223251180 216169297 4411092 2670791 128846598 120101191 7447226 1298181 1474725 -72075 1546800 12049385 9931583 1856592 261210 757670 636268 104668 16734 542315 446998 83561 11756 857263 857263 9915031 9915031 244685306 201566951 37800138 5318217 9929051 9503204 425793 54 111398148 106921926 4229276 246946 52765650 21995022 30718332 52296 1381321 1381321 146383195 142816049 3569858 -2712 126493255 117780558 3317037 5395660 6940568 4843987 1949079 147502 111112128 101605654 9506474 263994752 214153461 49841291 22001151 8134199 13866952 SERVICE CONTRACT FEES 141894932 140979921 915011 REPAIR AND MAINTENANCE 113524354 101214568 12309786 LOSS ON BOND DEFEASEMEN 77798000 77798000 CHANGES IN PENSION OBL. 67566000 67566000 459973649 278238012 179276322 2459315 5420536806 4861655338 514367691 44513777 727560415 916878396 86554000 41544000 464527561 438061528 535490296 531823243 1119675 552000 8091623 7991442 105411357 90507295 8397082 8346000 111672111 101630314 7419895167 2838955879 4030892374 4580939288 3191770482 3477815859 25749044 73130909 9297236020 10269220274 551848284 612410593 787789771 818459000 1905460383 2093863000 200252000 34596000 766492000 980644773 1159739777 4425995211 5485560370 X 1983460412 1761756596 1331872461 1280581372 1555907936 1741321936 4871240809 4783659904 9297236020 10269220274 X -92289846 -86711496 72630579 18789858 X 0 1 X 1 1 1 X 701545471 857257738 960468399 1192742941 1019592114 4731606663 701545471 857257738 960468399 1192742941 1019592114 4731606663 4731606663 92293291 81840395 113368707 108164764 132377284 528044441 6921721 12503649 10560753 8394454 6042645 44423222 110391554 84579057 251962414 408331015 120171437 975435477 6279509803 16790398815 0.75350 0.75080 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 0 1 250 0 1 2640 1 542315 1 26892 0 572097 0 PART 11-B LINE 1 NYU UTILIZES VOLUNTEERS AS PART OF NYU IN ALBANY DAY AND NYU IN WASHINGTON, DC DAY. NYU UTILIZES PAID EMPLOYEES TO HAVE MINIMAL CONTACT WITH ELECTED OFFICIALS. ADDITIONALLY, NYU HAS THREE PRINCIPAL LOBBYISTS ON RETAINER WHO HAVE DIRECT CONTACT WITH LEGISLATORS AND STAFF CONCERNING UNIVERSITY MATTERS. NYU SENDS LETTERS TO FEDERAL, STATE, AND LOCAL OFFICIALS ON PUBLIC POLICY. A SMALL PERCENTAGE OF MEMBERSHIP DUES THE UNIVERSITY PAYS TO THE FOLLOWING ASSOCIATIONS ARE REPORTED: AAU (ASSOCIATION OF AMERICAN UNIVERSITIES), NAICU (NATIONAL ASSOCIATION OF INDEPENDENT COLLEGES AND UNIVERSITIES) AND TSC (THE SCIENCE COALITION). X 1 0.29 1 1 1 0 1 X X X X 0 3398521211 178208969 42883564 32408574 140961222 6121069 3440122879 2942581087 259375964 383468572 27698757 149089238 10116417 3398521211 2765755897 150829000 246382088 23462909 185612121 11310868 2942581087 2690369662 177795800 72055356 22281071 149033859 3151990 2765753898 2375939165 142888000 301857827 18645572 105415479 6254279 2690369662 0.37000 0.50000 0.13000 1 0 166420000 166420000 5578308442 2278803981 3299504461 742644725 560151898 182492827 932522000 932522000 4580939288 EQUITY SECURITIES 1545253847 F FIXED INCOME SECURITIES 266797451 F OPPORTUNISTIC & CREDIT 200026467 F OTHER SHORT - TERM INVESTMENTS 2517000 F REAL ASSETS 103319611 F SPLIT INTEREST AGREEMENTS 7673000 F HEDGE FUNDS 816196649 F NATURAL RESOURCES 70823223 F PRIVATE EQUITY 355551840 F CASH & OTHER 109656771 F 3477815859 ACCRUED BENEFIT OBLIGATION 150141000 ACCRUED POSTRETIREMENT OBLIGATION 581623294 ASSET RETIREMENT OBLIGATION 187388000 FEDERAL GRANTS REFUNDABLE 80030000 OTHER LEASING OBLIGATIONS 146276767 DUE TO AFFILIATES 14280716 1159739777 PART III, LINE 1A: THE UNIVERSITY DOES NOT ASSIGN VALUES TO COLLECTION ITEMS. COLLECTION ITEMS ARE GENERALLY HELD FOR EDUCATIONAL PURPOSES AND ARE NOT DISPOSED OF FOR FINANCIAL GAIN OR OTHERWISE ENCUMBERED IN ANY MANNER. PART III, LINE 4: COLLECTIONS AT THE UNIVERSITY INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES, AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S GALLERIES, LIBRARIES, AND BUILDINGS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE AND, THEREFORE, ARE NOT RECOGNIZED AS ASSETS ON THE CONSOLIDATED BALANCE SHEET. COSTS ASSOCIATED WITH ACQUISITION AND MAINTENANCE OF THESE COLLECTIONS ARE RECORDED AS EXPENSES IN THE PERIOD IN WHICH THEY ARE INCURRED. PART V, LINE 4: NYU'S ENDOWMENT CONSISTS OF INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES SUCH AS: PROGRAM SUPPORT, FACULTY AND STAFF SALARIES, SCHOLARSHIPS AND FELLOWSHIPS, LIBRARY BOOKS, RESEARCH, BUILDINGS AND EQUIPMENT, AND STUDENT ASSISTANCE. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 ALL ADVERTISEMENTS AND MARKETING MATERIALS, INCLUDING ADVERTISEMENTS IN NEWSPAPERS, CONTAIN THE NYU NONDISCRIMINATION POLICY STATEMENT. ADDITIONALLY, THE UNIVERSITY'S WEB-SITE (WWW.NYU.EDU) PROMINENTLY FEATURES INSTITUTIONAL POLICIES ON NONDISCRIMINATION AND EQUAL OPPORTUNITY. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY RECEIVES FINANCIAL ASSISTANCE FROM VARIOUS FEDERAL, STATE & LOCAL AGENCIES. 0 CENTRAL AMERICA 1 0 EDUCATION/RESEARCH INSTRUCTION 342324 EAST ASIA AND THE PACIFIC 4 21 EDUCATION/RESEARCH INSTRUCTION 4829245 EUROPE 8 144 EDUCATION/RESEARCH INSTRUCTION 76740275 MIDDLE EAST AND NORTH AFRICA 5 376 EDUCATION/RESEARCH INSTRUCTION 176386897 SOUTH AMERICA 1 10 EDUCATION/RESEARCH INSTRUCTION 3017615 SUB-SAHARAN AFRICA 1 7 EDUCATION/RESEARCH INSTRUCTION 509246 CENTRAL AMERICA 0 0 INVESTMENTS 1176221034 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 141975662 EUROPE 0 0 INVESTMENTS 11171189 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 62843427 20 558 0 0 20 558 1580022298 74014616 1654036914 SCHOLARSHIPS, FELLOWSHIPS, GRANTS CENTRAL AMERICA AND THE CARIBBEAN 112 3683337 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EAST ASIA AND THE PACIFIC 1439 34869057 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EUROPE 605 21145820 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS MIDDLE EAST & NORTH AFRICA 303 12919785 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS NORTH AMERICA 270 7628589 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS RUSSIA-NEWLY INDEPENDENT 127 5251476 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SOUTH AMERICA 357 10794834 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS. GRANTS SOUTH ASIA 616 14332109 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SUB-SAHARAN AFRICA 133 5831881 CREDIT TO BURSAR ACCOUNTS 1 0 1 1 1 1 PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS OUTSIDE THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X X X X 1 RUFFALOCODY 65 KIRKWOOD N RD CEDAR RAPIDS IA 52406 PHONATHON 0 2176354 857263 1319091 2176354 857263 1319091 AL AK AR CA CO CT FL GA HI IL KS KY LA MA ME MD MI MN MO MS NC ND NH NJ NM NY OH OK OR PA RI SC TN UT VA WA WI WV DC VIOLET BALL 7349013 7106283 242730 544489 FACES GALA 4910970 4754970 156000 242777 24 6230480 5442520 787960 618381 18490463 17303773 1186690 1405647 1405647 -218957 1 UNITED WAY OF NEW YORK CITY 2 PARK AVENUE NEW YORK NY 10016 132617681 501(C)(3) 26728 SUPPORT NATIONAL CENTER ON PHILANTHROPY AND THE LAW 110 WEST 3RD STREET - DAGOSTINO HALL NEW YORK NY 10012 133954405 501(C)(3) 290000 SUPPORT THE NEW YORK FOUNDLING 590 AVENUE OF THE AMERICAS NEW YORK NY 10011 131624123 501(C)(3) 5000 SUPPORT 3 STUDENT FINANCIAL AID 14812 413444452 PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS IN THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X 1 1 X X X X X X 0 1 0 1 0 0 0 1 0 JOHN E SEXTON TRUSTEE, PRESIDENT & CHANCELLOR 1242948 0 0 0 140154 0 103200 0 101583 0 1587885 0 0 0 DAVID W MCLAUGHLIN PROVOST 665857 0 0 0 0 0 26000 0 13934 0 705791 0 0 0 ROBERT BERNE EVP. FOR HEALTH 1396338 0 0 0 0 0 26000 0 13934 0 1436272 0 0 0 BONNIE BRIER GEN.COUNSEL & SECR (UNTIL: 1/19/15) 620546 0 0 0 0 0 26000 0 13934 0 660480 0 0 0 MARTIN DORPH CFO 633405 0 0 0 18856 0 26000 0 19922 0 698183 0 0 0 TERRANCE NOLAN GEN.COUNSEL & SECR (BEGIN: 1/20/15) 374730 0 0 0 0 0 26000 0 19922 0 420652 0 0 0 THOMAS J CAREW DEAN OF FAS 546413 0 0 0 0 0 26000 0 13934 0 586347 0 0 0 ANDREW BROTMAN SVP. & VICE DEAN 575043 575043 500000 500000 6806 6806 13000 13000 0 0 1094849 1094849 0 0 ROBERT GROSSMAN EX-OFFICIO, DEAN & CEO 1142553 1142553 1000000 1000000 449080 449080 348537 348537 2803 2803 2942973 2942973 307826 307826 ALISON LEARY EVP. FOR OPERATIONS 570592 0 0 0 0 0 26000 0 19022 0 615614 0 0 0 STEPHANIE PIANKA TREASURER 346459 0 17341 0 0 0 26000 0 7466 0 397266 0 0 0 TINA SURH CHIEF INV. OFFICER 642029 0 0 0 0 0 26000 0 146 0 668175 0 0 0 DEBRA LAMORTE SVP. FOR DEVELOPMENT 571044 0 89751 0 0 0 26000 0 7466 0 694261 0 0 0 LINDA MILLS VC. GLOBAL PROGRAMS 637457 0 0 0 0 0 26000 0 19922 0 683379 0 0 0 MARILYN MCMILLAN VP. FOR IT 369947 0 14778 0 0 0 26000 0 7466 0 418191 0 0 0 ANTHONY K FREMPONG-BOADU DR. DIVISION OF SPINAL NEU 3169501 0 0 0 10281 0 26000 0 4152 0 3209934 0 0 0 JAMES A GRIFO MD PHD PROF. OF OBSTETRICS AND GY 1759706 0 1113169 0 2549 0 23172 0 4347 0 2902943 0 0 0 JOHN G GOLFINOS CHAIR OF NEUROSURGERY 2518454 0 160000 0 21010 0 26000 0 6847 0 2732311 0 0 0 JOHN BENDO VICE CHAIR CLINICAL AFFAIR 3394622 0 0 0 12746 0 22235 0 6652 0 3436255 0 0 0 RONNIE HERSHMAN CLINICAL INSTRUCTOR DEPART 3651212 0 0 0 1456 0 22147 0 6652 0 3681467 0 0 0 MICHAEL ALFANO FORMER EXECUTIVE VP 491804 0 0 0 0 0 25359 0 10171 0 527334 0 0 0 JESS BENHABIB FORMER DEAN FAS 356533 0 0 0 17819 0 26000 0 13934 0 414286 0 0 0 PART I, LINE 1A ONE OFFICER RECEIVED REIMBURSEMENT FOR ACCOUNTING, FINANCIAL PLANNING AND LEGAL EXPENSES. ONE OFFICER AND KEY EMPLOYEE TRAVELED FIRST CLASS. ONE OFFICER AND KEY EMPLOYEE RECEIVED A TAX GROSS-UP PAYMENT. ONE OFFICER AND ONE KEY EMPLOYEE RECEIVED UNIVERSITY HOUSING WITHOUT CHARGE. IN ONE CASE, THE HOUSING QUALIFIED FOR EXCLUSION FROM TAX UNDER IRC 119. IN THE OTHER, INCOME IN ITS ENTIRETY WAS IMPUTED. ONE KEY EMPLOYEE HAD A CAR AND DRIVER AVAILABLE FOR USE, AND INCOME WAS IMPUTED ON THE PERSONAL USE OF THE VEHICLE AND DRIVER. PART I, LINE 4B ROBERT GROSSMAN, MD - DEAN OF NYU SCHOOL OF MEDICINE- PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN (SERP) DURING CALENDAR YEAR 2014. THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $671,074 FOR CALENDAR YEAR 2014. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYU HOSPITALS CENTER AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL SERP CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN. PRESIDENT SEXTON IS ENTITLED TO RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15TH, 2015, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, EQUAL TO $77,200 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A FULL-TIME MEMBER OF THE NYU SCHOOL OF LAW (INCLUDING HIS SERVICES AS DEAN OF THE SCHOOL OF LAW AND AS PRESIDENT OF THE UNIVERSITY). THE $77,200 ALLOCABLE TO CALENDAR YEAR 2014 IS INCLUDED IN PART II, ABOVE, IN COLUMN C. IN ADDITION, COMMENCING ON SEPTEMBER 1, 2011, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, PRESIDENT SEXTON WILL BE ENTITLED TO RECEIVE PAYMENTS FOR THE REMAINDER OF HIS LIFE (THE "SERP ANNUAL PAYMENTS")EQUAL TO $800,000 PER YEAR, ADJUSTED BY THE LOCAL CONSUMER PRICE INDEX SINCE SEPTEMBER 1, 2008, REDUCED BY RETIREMENT BENEFITS OTHERWISE PROVIDED BY THE UNIVERSITY. THE OBLIGATION TO MAKE SERP ANNUAL PAYMENTS HAS BEEN PREVIOUSLY DESCRIBED ON THE UNIVERSITY'S FORMS 990. PRESIDENT SEXTON'S SALARY- WHILE PRESIDENT, AND THROUGH THE SABBATICAL FOLLOWING HIS PRESIDENCY- IS REDUCED BY THE SERP ANNUAL PAYMENTS. PART I, LINE 5 ONE HIGHEST COMPENSATED EMPLOYEE RECEIVED COMPENSATION OVER A BASE SALARY BASED ON THE SURPLUS OF REVENUES AFTER EXPENSES FOR THE FACULTY GROUP PRACTICE. PART I, LINE 7 TWO KEY EMPLOYEES RECEIVED COMPENSATION OVER BASE SALARY INCLUDING THE BONUS DETERMINED BY THE ORGANIZATION'S COMPENSATION COMMITTEE, DETERMINED AS REASONABLE. SCHEDULE J, PART II, COLUMN F DR. GROSSMAN'S OTHER REPORTABLE COMPENSATION (COL. (B)(III)) INCLUDES A SERP DISTRIBUTION PAYMENT OF $562,689 DURING CALENDAR YEAR 2014. THIS AMOUNT INCLUDES THE SERP CONTRIBUTION OF $615,652 THAT WAS REPORTED ON A PRIOR FORM 990 AS DEFERRED COMPENSATION, AND THE EARNINGS THEREON. THESE AMOUNTS ARE REPORTED AS A SHARED COST BETWEEN NYUHC AND NYU SCHOOL OF MEDICINE. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649903QP9) 146000293 649903QP9 2007-07-12 129995163 SEE SUPPLEMENTAL INFORMATION 1 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907X80) 146000293 649907X80 2008-07-18 616076776 SEE SUPPLEMENTAL INFORMATION 1 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905VF0) 146000293 649905VF0 2009-12-10 419957678 SEE SUPPLEMENTAL INFORMATION 0 0 0 D DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905WC6) 146000293 649905WC6 2009-12-10 65343341 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 98020000 138201000 13768830 1043964 970225 116684628 5732544 2011 0 0 1 1 B 33495000 515235000 618722218 28000894 98525000 3966386 484039615 4190323 2009 1 0 1 1 C 8715000 420557786 2518568 414446546 3389082 203591 2014 0 0 1 1 D 65339488 64400000 402576 536913 2009 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00000 0.00250 0.00250 0 1 0.00010 1 1 C 0 1 1 1 1 1 0.00010 0.00210 0.00220 0 0 1 D 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 1 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 1 1 D 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649903QP DATE THE REBATE COMPUTATION WAS PERFORMED: 04/30/2015 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907X8 DATE THE REBATE COMPUTATION WAS PERFORMED: 06/30/2016 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905VF DATE THE REBATE COMPUTATION WAS PERFORMED: 12/31/2014 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905WC DATE THE REBATE COMPUTATION WAS PERFORMED: 06/30/2016 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906TN DATE THE REBATE COMPUTATION WAS PERFORMED: 10/31/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906VS DATE THE REBATE COMPUTATION WAS PERFORMED: 11/30/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907WP DATE THE REBATE COMPUTATION WAS PERFORMED: 10/08/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 00000000 DATE THE REBATE COMPUTATION WAS PERFORMED: 10/28/2014 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990BFE DATE THE REBATE COMPUTATION WAS PERFORMED: 04/22/2015 SCHEDULE K, PART II, LINE 6: REFLECTS ORIGINAL REFUNDING BOND PROCEEDS DEPOSITED IN REFUNDING ESCROW. ESCROW BALANCE MAY BE LOWER AT PRESENT AS BONDS ARE CALLED/DEFEASED. SCHEDULE K, PART III LINE 8A-C: BOND GROUP #1, BOND (B), DASNY (CUSIP# 649907X80): NEW YORK UNIVERSITY HAS PARTICIPATED IN THE VOLUNTARY CLOSING AGREEMENT PROGRAM WITH RESPECT TO THE SERIES 2008 BONDS. THE CLOSING AGREEMENT WAS COMPLETED AS OF 10/27/2014. SCHEDULE K, PART II, LINE 13: YEAR OF SUBSTANTIAL COMPLETION REFERS TO THE CALENDAR YEAR. SCHEDULE K, PART I (F), DESCRIPTION OF PURPOSE: BOND SET #1 - NYU BOND (A) DASNY (CUSIP# 649903QP9) TO: (I) PAY THE COSTS OF THE SERIES 2007A PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO THE PROJECTS AT VARIOUS LOCATIONS OF THE UNIVERSITY CAMPUS; (II) PAY CAPITALIZED INTEREST AND CAPITALIZED BROKER DEALER FEES ON THE SERIES 2007A BONDS; AND (III) PAY COSTS OF ISSUANCE OF THE SERIES 2007A BONDS. BOND (B) DASNY ( CUSIP # 649907X80) TO: (I) PAY THE COSTS OF THE SERIES 2008 PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO THE PROJECTS AT VARIOUS LOCATIONS OF THE UNIVERSITY CAMPUS; (II) PAY CAPITALIZED INTEREST AND CAPITALIZED BROKER DEALER FEES ON THE SERIES 2008 BONDS; (III) REPAY A LINE OF CREDIT USED TO CURRENT REFUND THE DASNY SERIES 2004B1 & 2004B2 BONDS, ISSUED ON 09/09/2004; AND (IV) PAY COSTS OF ISSUANCE OF THE SERIES 2008 BONDS. BOND (C) DASNY ( CUSIP # 649905VF0) TO: (I) PAY THE COSTS OF THE SERIES 2009A PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO THE PROJECTS AT VARIOUS LOCATIONS OF THE UNIVERSITY CAMPUS; AND (II) PAY COSTS OF ISSUANCE OF THE SERIES 2009A BONDS. BOND (D) DASNY ( CUSIP #649905WC6) TO: (I) REPAY A LINE OF CREDIT USED TO REPAY TAXABLE INDEBTEDNESS INCURRED IN CONNECTION WITH A FACILITY FOR THE SCHOOL OF MEDICINE; AND (II) TO PAY THE COSTS OF ISSUANCE OF THE SERIES 2009B BONDS. BOND SET #2: BOND (A) DASNY (CUSIP# 649906TN4) TO: (I) PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF COSTS OF THE SERIES 2012A PROJECT WHICH CONSISTS OF RENOVATION, FURNISHING AND EQUIPPING OF AN ACADEMIC BUILDING TO BE USED BY THE NYU SCHOOL OF LAW AND THE ACQUISITION, RENOVATION, FURNISHING AND EQUIPPING OF A CONDOMINIUM UNIT TO BE USED FOR ADMINISTRATIVE OFFICES; (II) REFUND OR REIMBURSE THE UNIVERSITY FOR THE REFUNDING OF ALL OR A PORTION OF THE NEW YORK CITY INDUSTRIAL DEVELOPMENT AGENCY CIVIC FACILITY REVENUE BONDS, SERIES 2001 AND THE DASNY NEW YORK UNIVERSITY INSURED REVENUE BONDS, 2001 SERIES 2; AND (III) TO REPAY A LINE OF CREDIT USED TO PAY THE DASNY INSURED REVENUE BONDS, SERIES 2003B. BOND (B) DASNY ( CUSIP # 649906VS0) TO: PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF, COSTS OF THE SERIES 2012 PROJECT WHICH CONSISTS OF THE ACQUISITION, CONSTRUCTION, FURNISHING AND EQUIPPING OF THE UNIVERSITY'S PORTION OF A BUILDING LOCATED ON CAMPUS. BOND (C) DASNY ( CUSIP #649907WP3) TO: FINANCE OR REFINANCE THE COST OF THE ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2013A PROJECT WHICH INCLUDES MULTIPLE FACILITIES ON CAMPUS. BOND (D) DASNY (NO CUSIP - PRIVATE PLACEMENT, SERIES 2014A) TO REFUND THE DASNY INSURED REVENUE BONDS, SERIES 2004A. BOND SET #3 BOND (A) DASNY (CUSIP# 64990BFE8) TO (I) TO REFUND A PORTION OF THE DASNY SERIES 2007A, SERIES 2008A, SERIES 2008B AND SERIES 2008C BONDS; AND (II) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2015A PROJECT, WHICH COVERS MULTIPLE FACILITIES ON CAMPUS. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906TN4) 146000293 649906TN4 2012-04-26 232921461 SEE SUPPLEMENTAL INFORMATION 0 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906VS0) 146000293 649906VS0 2012-05-17 61224691 SEE SUPPLEMENTAL INFORMATION 0 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907WP3) 146000293 649907WP3 2013-10-08 135927356 SEE SUPPLEMENTAL INFORMATION 0 0 0 D DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 000000000) 146000293 000000000 2014-10-28 55000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 17120000 232923621 183180000 46144013 1731608 1867999 2015 1 0 1 1 B 61226336 60767589 458747 2013 0 0 1 1 C 3575000 135965086 135963320 1767 2015 0 0 1 1 D 55000000 55000000 2014 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 1 1 0.00040 0.00800 0.00840 0 0 1 D 0 1 1 1 1 1 0.00000 0.00170 0.00170 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 D 1 A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990BFE8) 146000293 64990BFE8 2015-04-22 785388019 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 785388034 680315991 105060855 11188 2015 1 1 0 1 A 0 1 1 1 1 1 0.00000 0.00200 0.00200 0 0 1 A 0 0 0 1 0 0 0 0 1 A 1 MARTIN DORPH OFFICER MORTGAGE X 200000 52000 0 1 1 RICHARD REVESZ EMPLOYEE MORTGAGE X 5525700 6548851 0 1 1 ANDREW BROTMAN EMPLOYEE MORTGAGE X 100000 100000 0 1 1 CAROL A MANDEL EMPLOYEE MORTGAGE X 100000 100000 0 1 1 MARY M BRABECK EMPLOYEE MORTGAGE X 500000 500000 0 1 1 PETER HENRY EMPLOYEE MORTGAGE X 150000 83332 0 1 1 JESS BENHABIB EMPLOYEE MORTGAGE X 400000 400000 0 1 1 TREVOR MORRISON EMPLOYEE RCMT X 1000000 759259 0 1 1 8543442 4500 SCHOLARSHIP EDUC. SUPPORT 40000 FELLOWSHIP EDUC. SUPPORT JOHN SAUNDERS SON IN LAW TRUSTEE B. BERKLEY 386948 EMPLOYEE 0 WILLIAM RUDIN TRUSTEE 1587836 LEASE SPACE 0 HARVEY DALE SPOUSE KEY EMP. D. LAMORTE 214877 EMPLOYEE 0 R SALK DAUGHTER IN LAW OFFICER R. BERNE 69511 EMPLOYEE 0 CONSTANCE MILSTEIN TRUSTEE 3471920 LEASE SPACE 0 LEONARD WILF TRUSTEE 423275 LEASE SPACE 0 DR MARCI LEVINE SISTER TRUSTEE B. LEVINE 236209 EMPLOYEE 0 MITCHELL JACOBSON TRUSTEE 126391 SUPPLIES 0 X 14 302504 SEE SCHEDULE O X 943286 SEE SCHEDULE O X 438163 SEE SCHEDULE O X 187 33285838 SEE SCHEDULE O X 1 329000 SEE SCHEDULE O X 1 466100 SEE SCHEDULE O X 1 12764 SEE SCHEDULE O X 247 801526 SEE SCHEDULE O X PERS PAPERS 18 402500 SEE SCHEDULE O X EVENT PASSES 1 315585 SEE SCHEDULE O X OTHER MISC. 20 9791 SEE SCHEDULE O X THEATER TKTS 14 28 SEE SCHEDULE O 8 0 1 0 FORM 990, PART VI, SECTION A, LINE 2 1) MICHAEL STEINHARDT (TRUSTEE) AND JUDY STEINHARDT (TRUSTEE) HAD A FAMILY RELATIONSHIP DURING THE YEAR ENDED AUGUST 31, 2015. 2) H. DALE HEMMERDINGER (TRUSTEE) AND SURESH SANI (TRUSTEE) HAD A BUSINESS RELATIONSHIP DURING THE YEAR ENDED AUGUST 31, 2015. 3) JAY FURMAN (TRUSTEE) AND JOHN SEXTON (TRUSTEE) HAD A BUSINESS RELATIONSHIP DURING THE YEAR ENDED AUGUST 31, 2015. FORM 990, PART VI, SECTION A, LINE 6 THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7A THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7B THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION B, LINE 11 THE FOLLOWING STEPS WERE TAKEN TO REVIEW THIS IRS FORM 990: 1. THE FORM 990 WAS REVIEWED AND APPROVED BY THE UNIVERSITY CONTROLLER. 2. THE FORM 990 WAS THEN REVIEWED AND APPROVED BY THE UNIVERSITY'S CHIEF FINANCIAL OFFICER AND OFFICE OF GENERAL COUNSEL. 3. THE FORM 990 WAS THEN PRESENTED TO THE UNIVERSITY'S AUDIT AND COMPLIANCE COMMITTEE FOR REVIEW. 4. THE FORM 990 WAS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES FOR REVIEW. 5. THE COMPENSATION COMMITTEE OF BOARD OF TRUSTEES REVIEWED THE COMPENSATION SECTIONS OF THE FORM 990. 6. FOLLOWING THE REVIEW PERIOD, THE FORM 990 WAS ELECTRONICALLY FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C THE OFFICE OF GENERAL COUNSEL ANNUALLY SENDS OUT CONFLICT OF INTEREST QUESTIONNAIRES TO OFFICERS, TRUSTEES AND KEY EMPLOYEES, REVIEWS COMPLETED QUESTIONNAIRES AND CONSULTS WITH THOSE COMPLETING FORMS AS APPROPRIATE. IN ADDITION, QUESTIONS ARISE PERIODICALLY THROUGHOUT THE YEAR AND ARE HANDLED BY THE OFFICE OF GENERAL COUNSEL AS APPROPRIATE. FORM 990, PART VI, SECTION B, LINE 15 THE PROPOSED COMPENSATION OF OFFICERS, TRUSTEES, KEY EMPLOYEES, DISQUALIFIED PERSONS AND CERTAIN OTHERS (EXCEPT THE PRESIDENT) IS REVIEWED ANNUALLY BY AN OUTSIDE CONSULTING FIRM AND THAT FIRM'S ANALYSIS IS PRESENTED TO THE COMPENSATION COMMITTEE OF THE BOARD FOR ITS REVIEW AND APPROVAL. WHEN IT IS PROPOSED TO CHANGE THE COMPENSATION OF THE PRESIDENT, THE BOARD CHAIRMAN ENGAGES A COMPENSATION CONSULTANT TO PREPARE A CUSTOM SURVEY FOR CONSIDERATION BY THE COMPENSATION COMMITTEE OF THE BOARD, WHICH THEN SETS HIS COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE ON ITS WEBSITE (WWW.NYU.EDU). FORM 990, PART XI, LINE 9: ADJUSTMENT TO BEGINNING OF YEAR NET ASSETS 18,789,858. FORM 990 PART III, LINE 1 - (CONTINUED FROM PAGE 2) AND IS A MEMBER OF THE DISTINGUISHED ASSOCIATION OF AMERICAN UNIVERSITIES. THE UNIVERSITY'S SCHOOLS AND INSTITUTES, EACH WITH ITS OWN TRADITIONS, PROGRAMS AND FACULTY, ARE (IN ORDER OF FOUNDING DATE): COLLEGE OF ARTS AND SCIENCE, SCHOOL OF LAW, SCHOOL OF MEDICINE, COLLEGE OF DENTISTRY, GRADUATE SCHOOL OF ARTS AND SCIENCE, STEINHARDT SCHOOL OF CULTURE EDUCATION AND HUMAN DEVELOPMENT, LEONARD N. STERN SCHOOL OF BUSINESS, COURANT INSTITUTE OF MATHEMATICAL SCIENCES, SCHOOL OF CONTINUING AND PROFESSIONAL STUDIES, INSTITUTE OF FINE ARTS, ROBERT F.WAGNER GRADUATE SCHOOL OF PUBLIC SERVICE, POST-GRADUATE MEDICAL SCHOOL, SILVER SCHOOL OF SOCIAL WORK, TISCH SCHOOL OF THE ARTS, GALLATIN SCHOOL OF INDIVIDUALIZED STUDY, COLLEGE OF NURSING, THE INSTITUTE FOR THE STUDY OF THE ANCIENT WORLD, AND THE TANDON SCHOOL OF ENGINEERING. IN ADDITION, AS PART OF ITS UNRIVALLED GLOBAL NETWORK OF ACADEMIC SITES AND RESEARCH PROGRAMS IN OTHER PARTS OF THE U.S. AND ABROAD, NYU OPERATES DEGREE-GRANTING RESEARCH UNIVERSITY CAMPUSES WITH SELECTIVE UNDERGRADUATE LIBERAL ARTS AND SCIENCES COLLEGES IN ABU DHABI - NYU ABU DHABI, AND IN CHINA - NYU SHANGHAI. FORM 990, PART XII, LINE 2C THE AUDIT AND COMPLIANCE COMMITTEE OF THE BOARD OF TRUSTEES HAS RESPONSIBILITY FOR OVERSIGHT OF NYU'S FINANCIAL STATEMENT AUDIT AND SELECTION OF ITS INDEPENDENT AUDITOR. THERE HAS BEEN NO CHANGE IN PROCESS SINCE PRIOR YEAR. SCHEDULE M-PART I COLUMN (D) THE VALUATION RECORDED IN THE UNIVERSITY'S FUNDRAISING SYSTEM IS USUALLY BASED UP ON THE PROFESSIONAL APPRAISAL SUBMITTED WITH THE GIFT. IN THE EVENT THERE IS NO APPRAISAL AND VALUATION CANNOT BE DETERMINED, A NOMINAL VALUE OF $2 IS RECORDED. INSTITUTE OF FINE ARTS FOUNDATION 1 EAST 78TH STREET NEW YORK NY 10021 237184242 SUPPORT NYU'S INSTITUTE OF FINE ARTS NY 501 (C) (3) LINE 11A, I NEW YORK UNIVERSITY 1 NATIONAL CENTER ON PHILANTHROPY AND THE LAW 139 MACDOUGAL STREET 1ST FLOOR NEW YORK NY 10012 133954405 STUDY, RESEARCH, EDUCATION ON PHILANTHROPY & THE LAW NY 501 (C) (3) LINE 11A, I NYU SCHOOL OF LAW FOUNDATION 1 NEW YORK UNIVERSITY REAL ESTATE CORPORATION 105 EAST 17TH STREET 2ND FL NEW YORK NY 10003 134141728 OWNS REAL PROPERTY NY 501 (C) (25) NEW YORK UNIVERSITY 1 NYU SCHOOL OF BUSINESS FOUNDATION INC C/O KAUFMAN MGMT CENTER-44 WEST 4TH NEW YORK NY 10022 134168015 SUPPORT NYU'S L.N. STERN SCHOOL OF BUSINESS NY 501 (C) (3) LINE 7 NEW YORK UNIVERSITY 1 NEW YORK UNIVERSITY SCHOOL OF LAW FOUNDATION 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 136161036 SUPPORT NYU'S SCHOOL OF LAW NY 501 (C) (3) LINE 9 NEW YORK UNIVERSITY 1 NYU IMAGING INC 545 FIRST AVENUE NEW YORK NY 10016 134000622 PERFORMS MEDICAL ACTIVITIES NY 501 (C) (3) LINE 11A, I NEW YORK UNIVERSITY 1 NYU SCHOOL OF LAW FACULTY RETENTION ASSISTANCE CORPORATION 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 134047911 SUPPORT NYU'S SCHOOL OF LAW NY 501 (C) (3) LINE 11A, I NYU'S SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF LAW HOUSING ASSISTANCE CORP 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 134043221 SUPPORT NYU'S SCHOOL OF LAW NY 501 (C) (3) LINE 11A, I NYU'S SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF LAW RECRUITMENT ASSISTANCE CORPORATION 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 134043182 SUPPORT NYU'S SCHOOL OF LAW NY 501 (C) (3) LINE 11A, I NYU'S SCHOOL OF LAW FOUNDATION 1 HAROLD ACTON TRUST 105 EAST 17TH STREET 2ND FL NEW YORK NY 10003 137050560 SUPPORT OF NYU'S CAMPUS IN FLORENCE, ITALY NY 501 (C) (3) LINE 11A, I NEW YORK UNIVERSITY 1 WASHINGTON SQUARE LEGAL SERVICES INC 110 WEST 3RD STREET 2ND FL NEW YORK NY 10012 237392120 CERTAIN PUBLIC INTEREST ACTIVITIES OF NYU'S SCHOOL OF LAW NY 501 (C) (3) LINE 11A, I NEW YORK UNIVERSITY 1 NYU IN ABU DHABI CORP C/O NYU - 105 EAST 17TH STREET 2ND NEW YORK ABU DHABI AE 10003 262652713 SUPPORTS NYU'S CAMPUS IN ABU DHABI NY 501 (C) (3) LINE 11A, I NEW YORK UNIVERSITY 1 HORTENSE ACTON TRUST PO BOX 1802 PROVIDENCE RI 029011802 367110976 SUPPORT NYU'S CAMPUS IN FLORENCE, ITALY IL 501 (C) (3) PF NEW YORK UNIVERSITY 1 NYU HOSPITALS CENTER 550 FIRST AVENUE NEW YORK NY 10016 133971298 OPERATES NYU'S HOSPITALS NY 501 (C) (3) LINE 3 NEW YORK UNIVERSITY 1 34TH STREET CANCER CENTER INC 160 EAST 34TH STREET NEW YORK NY 10016 300262470 CANCER CARE NY 501 (C) (3) LINE 11A, I NYU HOSPITALS CENTER 1 JURODIN FUND INC PO BOX 6089 NEWARK DE 197146089 136169166 DONOR FUNDS DE 501 (C) (3) PF NEW YORK UNIVERSITY 1 NYU IN LONDON 6 BEDFORD SQUARE LONDON UK WC1B 3RA 981074101 SUPPORT NYU'S PROGRAM IN LONDON UK NEW YORK UNIVERSITY 1 NYU TISCH SCHOOL OF ARTS ASIA LTD 3 KAY SIANG ROAD SN 248923 SUPPORTS NYU'S TSOA'S PROGRAM IN SINGAPORE SN NEW YORK UNIVERSITY 1 NYU IN TEL-AVIV LTD TUVAL 13 RAMAT GAN IS 52522 981058326 SUPPORT NYU'S PROGRAM IN TEL-AVIV IS NEW YORK UNIVERSITY 1 NEW YORK UNIVERSITY IN FRANCE 56 RUE DE PASSY PARIS FR 75016 981058568 SUPPORTS NYU'S PROGRAM IN FRANCE FR NEW YORK UNIVERSITY 1 NYU LANGONE HEALTH SYSTEM 550 FIRST AVENUE NEW YORK NY 10016 472613531 SUPPORTING ORGANIZATION NY 501 (C) (3) LINE 11B, II NEW YORK UNIVERSITY 1 NYU LUTHERAN MEDICAL CENTER 150 55TH STREET BROOKLYN NY 11220 111839567 HOSPITAL NY 501 (C) (3) LINE 3 NYU LANGONE HEALTH SYSTEM 1 NEW YORK UNIVERSITY IN AFGHANISTAN 150 MASJID E HAJI ABDURRAHIM STREE KABUL AF SUPPORTS NYU'S ACTIVITIES IN AFGHANISTAN AF NEW YORK UNIVERSITY 1 COMMUNITY CARE ORGANIZATION INC 246 55TH STREET BROOKLYN NY 11220 113001682 HOME HEALTH NY 501 (C) (3) LINE 9 NYU LUTHERAN MEDICAL CENTER 1 HARBOR HILL HOUSING DEVELOPMENT FUND CORPORATION 150 55TH STREET BROOKLYN NY 11220 113152691 HOUSING NY 501 (C) (3) LINE 9 NYU LUTHERAN MEDICAL CENTER 1 LMC HEALTH SYSTEM INC 150 55TH STREET BROOKLYN NY 11220 113589771 SUPPORTING ORGANIZATION NY 501 (C) (3) LINE 11A, I NYU LUTHERAN MEDICAL CENTER 1 LUTHERAN AUGUSTANA CENTER FOR EXTENDED CARE AND REHABILITIATION INC 5434 2ND AVE BROOKLYN NY 11220 112150953 EXTENDED CARE NY 501 (C) (3) LINE 9 NYU LUTHERAN MEDICAL CENTER 1 LUTHERAN CHHA INC 5407 SECOND AVENUE BROOKLYN NY 11220 462559181 HOME HEALTH AIDE AGENCY NY 501 (C) (3) LINE 9 NYU LUTHERAN MEDICAL CENTER 1 OHP PHSP INC 5800 3RD AVE BROOKLYN NY 11220 113245559 INSURANCE NY 501 (C) (4) NYU LUTHERAN MEDICAL CENTER 1 SHORE HILL HOUSING COMPANY INC 9000 SHORE RD BROOKLYN NY 11209 237405105 HOUSING NY 501 (C) (3) PF NYU LUTHERAN MEDICAL CENTER 1 SUNSET BAY COMMUNITY SERVICES INC 150 55TH STREET BROOKLYN NY 11220 112439925 DAY CARE & SENIOR SERVICES NY 501 (C) (3) LINE 7 NYU LUTHERAN MEDICAL CENTER 1 SUNSET GARDENS HOUSING DEVELOPMENT FUND CORPORATION C/O SHORE HILL HOUSING COMPANY INC BROOKLYN NY 11220 203461755 HOUSING NY 501 (C) (3) LINE 9 NYU LUTHERAN MEDICAL CENTER 1 CCC 550 INSURANCE SCC 550 FIRST AVENUE NEW YORK NY 10016 EXCESS PROF. LIAB. INSURANCE NY NYU HOSPITALS CENTER C 7782000 407952000 1.00000 1 INTERNATIONAL ART FUND C/O NYU105 E17TH STREET 2ND FL NEW YORK PM 10003 HOLDS STOCK IN LA PIETRA CORP PM NEW YORK UNIVERSITY C 118118 1.00000 1 LA PIETRA CORPORATION VIA BOLOGNESE 120 FIRENZE IT 50139 HOLDS PROPERTY COMPRISING NYU'S FLORENCE CAMPUS IT INTERNATIONAL ART FUND C 2125683 25577469 1.00000 1 NIU DA EDUCATIONAL INFORMATION CONSULTING (SHANGHAI) CO LTD 3663 ZHONG SHAN BEI RD SCIENCE BUI SHANGHAI CH 200062 SUPPORTS NYU'S PROGRAM IN CHINA CH NEW YORK UNIVERSITY C 12877 576455 1.00000 1 POOLED INCOME FUNDS (2) C/O NYU105 E17TH STREET 2ND FL NEW YORK NY 10003 NY NEW YORK UNIVERSITY T 0 CHARITABLE REMAINDER TRUSTS (5) C/O NYU105 E17TH STREET 2ND FL NEW YORK NY 10003 NY NEW YORK UNIVERSITY T 0 1 1 1 1 0 0 0 0 0 1 0 0 1 1 1 1 1 1 0 INSTITUTE OF FINE ARTS FOUNDATION C 552457 FAIR MARKET VALUE LA PIETRA CORPORATION D 2088483 FAIR MARKET VALUE LA PIETRA CORPORATION A 6568 FAIR MARKET VALUE LA PIETRA CORPORATION J 1136099 FAIR MARKET VALUE LA PIETRA CORPORATION M 620322 FAIR MARKET VALUE LA PIETRA CORPORATION N 279525 FAIR MARKET VALUE LA PIETRA CORPORATION P 239302 FAIR MARKET VALUE NATIONAL CENTER ON PHILANTHROPY AND THE LAW INC B 290000 FAIR MARKET VALUE NEW YORK UNIVERSITY SCHOOL OF LAW FOUNDATION Q 2486767 FAIR MARKET VALUE NYU HOSPITALS CENTER Q 382000000 FAIR MARKET VALUE NYU HOSPITALS CENTER P 4163662 FAIR MARKET VALUE NYU IN FRANCE R 9349345 FAIR MARKET VALUE NYU IN LONDON R 8357580 FAIR MARKET VALUE NYU IN TEL AVIV LTD Q 822885 FAIR MARKET VALUE NYU REAL ESTATE CORPORATION C 3297828 FAIR MARKET VALUE SIR HAROLD ACTON CHARITABLE TRUST C 922772 FAIR MARKET VALUE WASHINGTON SQUARE LEGAL SERVICES Q 1801871 FAIR MARKET VALUE HORTENSE ACTON CHARITABLE TRUST C 818302 FAIR MARKET VALUE NYU TISCH SCHOOL OF THE ARTS ASIALTD R 8201067 FAIR MARKET VALUE NYU HOSPITALS CENTER O 3429522 FAIR MARKET VALUE