2016-05-16T11:17:08-05:00 2015-06-30 990 2014-07-01 060646973 YALE UNIVERSITY YALE 2034325530 PO BOX 208239 NEW HAVEN CT 065208239 STEPHEN C MURPHY VP FOR FINANCE AND CFO 2034321096 2016-05-10 2014 2016-08-17 19:52:53Z PETER SALOVEY PO BOX 208229 NEW HAVEN CT 065208229 11199355037 0 X WWW.YALE.EDU X 1701 CT TO CREATE, PRESERVE, AND DISSEMINATE KNOWLEDGE 19 18 28141 7300 3819630 -6349246 878354797 910761374 1463978643 1614941369 2061253109 2862573168 74047019 73396614 4477633568 5461672525 400582698 414401358 0 0 1954127182 2043522950 0 0 42473951 1068907359 1055874554 3423617239 3513798862 1054016329 1947873663 32031841267 34133509535 6911189027 7451141173 25120652240 26682368362 X SEE SCHEDULE O 0 0 1599895635 3458376 1373723816 INSTRUCTION: THE PROGRAM SERVICE COSTS INCLUDE SALARIES, FRINGE BENEFITS AND SUPPLIES OF TEACHING APPROXIMATELY 12,300 STUDENTS INCLUDING 5,453 UNDERGRADUATES, 2,926 GRADUATE STUDENTS AND 3,933 PROFESSIONAL SCHOOL STUDENTS. A FACULTY OF MORE THAN 4,400 TEACH AND ADMINISTER PROGRAMS ACROSS A RANGE OF DISCIPLINES IN THE SCIENCES AND ENGINEERING, THE SOCIAL SCIENCES, THE HUMANITIES, AND THE VARIOUS LEARNED PROFESSIONS. MORE THAN 80 MAJORS ARE AVAILABLE IN THE UNDERGRADUATE COLLEGE AND MORE THAN 35 DIFFERENT DEGREE PROGRAMS ARE OFFERED BY THE UNIVERSITY. - CONTINUED ON SCHEDULE O. 494588000 57608385 72491114 RESEARCH: THE UNIVERSITY ENGAGES IN EXTENSIVE RESEARCH IN MEDICINE, THE PHYSICAL SCIENCES, THE SOCIAL SCIENCES AND HUMANITIES. THE UNIVERSITY'S RESEARCH ACTIVITIES ARE AIMED AT THE ADVANCEMENT OF KNOWLEDGE AS WELL AS TRAINING STUDENTS IN THE RESEARCH PROCESS. INCLUDED AMONG THE UNIVERSITY'S OUTSTANDING RESEARCH FACILITIES ARE LABORATORIES AND OTHER FACILITIES DEVOTED TO RESEARCH IN GEOLOGY, CHEMISTRY, BIOLOGY, ENGINEERING AND APPLIED SCIENCE, ANTHROPOLOGY, PALEONTOLOGY, PSYCHOLOGY, MOLECULAR AND STRUCTURAL BIOLOGY, NUCLEAR STRUCTURE, CHILD DEVELOPMENT, SOCIAL POLICY, BIOSPHERIC STUDIES AND NUMEROUS BIOMEDICAL SCIENCES, TO NAME BUT A FEW. 662482649 350603596 78082859 STUDENT FINANCIAL AID AND SERVICES: YALE COLLEGE ADMITS STUDENTS FOR THEIR ACADEMIC AND PERSONAL PROMISE WITHOUT REGARD TO THEIR ABILITY TO PAY. YALE IS COMMITTED TO A NEED-BLIND ADMISSIONS POLICY AND MEETS 100% OF DEMONSTRATED NEED FOR ALL STUDENTS REGARDLESS OF CITIZENSHIP. BY COMMITTING TO AN ADMISSIONS POLICY THAT DOES NOT CONSIDER A STUDENT'S ABILITY TO PAY, AND BY MEETING THE FULL FINANCIAL NEED OF ALL ADMITTED STUDENTS (WITH NO LOANS REQUIRED), YALE ENSURES THAT IT IS ACCESSIBLE TO THE MOST TALENTED STUDENTS FROM AROUND THE WORLD, REGARDLESS OF THEIR FAMILY'S INCOME. WITH THIS POLICY, YALE STRIVES TO CREATE A LEARNING ENVIRONMENT THAT INCORPORATES THE WIDEST POSSIBLE RANGE OF STUDENT BACKGROUNDS. - CONTINUED ON SCHEDULE O. 416175995 2731001 114604918 416175995 2731001 114604918 3173142279 1 1 0 1 0 1 0 1 1 1 1 1 0 0 1 0 0 1 1 1 1 1 1 0 1 1 0 1 1 1 1 0 0 0 0 0 1 1 0 1 0 1 1 0 0 1 1 1 1 0 0 1 X 24332 0 1 28141 1 1 1 1 CA CJ CH HK IN EI JE LU MP MJ NL PL SN SZ UK IM 0 0 0 1 1 1 1 0 0 0 0 0 0 X 19 18 0 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 X STEPHEN C MURPHY VP FOR FINANCE A 2034364488 25 SCIENCE PARK 150 MUNSON STREET NEW HAVEN CT 06511 X PETER SALOVEY TRUSTEE & PRESIDENT 50.00 2.20 X X 951712 0 235082 JOSHUA BEKENSTEIN TRUSTEE 5.00 0.00 X 0 0 0 JEFFREY L BEWKES TRUSTEE 5.00 0.00 X 0 0 0 MAUREEN C CHIQUET TRUSTEE 5.00 0.00 X 0 0 0 FRANCISCO G CIGARROA TRUSTEE 5.00 0.00 X 0 0 0 PETER B DERVAN TRUSTEE 5.00 0.00 X 0 0 0 DONNA L DUBINSKY TRUSTEE 5.00 0.00 X 0 0 0 CHARLES W GOODYEAR IV TRUSTEE 5.00 0.00 X 0 0 0 CATHARINE B HILL TRUSTEE 5.00 0.00 X 0 0 0 PAUL L JOSKOW TRUSTEE 5.00 0.00 X 0 0 0 WILLIAM E KENNARD TRUSTEE 5.00 0.00 X 0 0 0 NEAL L KENY-GUYER TRUSTEE 5.00 0.00 X 0 0 0 DANNEL P MALLOY TRUSTEE (EX-OFFICIO) 0.00 0.00 X 0 0 0 MARGARET H MARSHALL TRUSTEE 5.00 0.00 X 0 0 0 GINA M RAIMONDO TRUSTEE 5.00 0.00 X 0 0 0 E JOHN RICE JR TRUSTEE 5.00 0.00 X 0 0 0 KEVIN P RYAN TRUSTEE 5.00 0.00 X 0 0 0 DOUGLAS A WARNER III TRUSTEE 5.00 0.00 X 0 0 0 NANCY WYMAN TRUSTEE (EX-OFFICIO) 0.00 0.00 X 0 0 0 BRUCE D ALEXANDER VP FOR NEW HAVEN & STATE AFFAIRS 50.00 0.00 X 546511 0 42270 ALEXANDER E DREIER VP & GENERAL COUNSEL 50.00 0.00 X 0 0 0 KIMBERLY M GOFF-CREWS SECRETARY & VP FOR STUDENT LIFE 50.00 1.00 X 381802 0 38318 SHAUNA R KING VP FOR FINANCE & BUSINESS OPERATIONS 50.00 1.20 X 567290 0 43251 LINDA K LORIMER VP FOR GLOBAL & STRAT. INITIATIVES 50.00 1.50 X 550305 0 46839 JOAN E O'NEILL VP FOR DEVELOPMENT 50.00 0.40 X 459561 0 67717 MICHAEL A PEEL VP FOR HR & ADMINISTRATION 50.00 0.00 X 570543 0 50420 BENJAMIN POLAK PROVOST 50.00 0.20 X 567440 0 30416 DOROTHY K ROBINSON VP & GENERAL COUNSEL 50.00 0.20 X 565701 0 39419 SCOTT A STROBEL VP FOR WEST CAMPUS PLANNING 50.00 0.00 X 420283 0 56096 ROBERT J ALPERN DEAN SCHOOL OF MEDICINE 50.00 0.00 X 852651 0 32705 JOHN H BOLLIER AVP FOR FACILITIES 50.00 0.00 X 370490 0 67135 RICHARD C LEVIN PRESIDENT EMERITUS 50.00 0.00 X 213789 0 4452 DAVID F SWENSEN CHIEF INVESTMENT OFFICER 50.00 3.60 X 4888288 0 247437 DEAN J TAKAHASHI SR DIRECTOR INVESTMENTS 50.00 2.00 X 2728813 0 220081 KHALID M ABBED CHIEF, NEUROSURGERY SPINE 50.00 0.00 X 1259648 0 60106 DAVID MULLIGAN PROFESSOR OF SURGERY (TRANSPLANT) 50.00 0.00 X 1258751 0 55096 THOMAS J RUTHERFORD PROFESSOR, OB/GYN 50.00 0.00 X 1404621 0 40497 TIMOTHY R SULLIVAN DIRECTOR INVESTMENTS 50.00 0.00 X 1196723 0 477771 DAVID D YUH PROFESSOR OF CARDIAC SURGERY 50.00 0.00 X 1228380 0 60541 MICHAEL J DONOGHUE FORMER VP FOR WEST CAMPUS PLANNING 50.00 0.00 X 261017 0 64920 21244319 0 1980569 3390 1 1 0 DIMEO CONSTRUCTION COMPANY 75 CHAPMAN STREET PROVIDENCE RI 02905 CONSTRUCTION & RELATED SERVICES 54100724 THE WHITING-TURNER CONTRACTING COMPANY 300 EAST JOPPA ROAD BALTIMORE MD 21286 CONSTRUCTION & RELATED SERVICES 28277851 HILLHOUSE CAPITAL ADVISORS LTD 190 ELGIN AVENUE GEORGE TOWN CJ INVESTMENT MANAGEMENT 24668102 FRANK LILL AND SON INC 785 OLD DUTCH ROAD VICTOR NY 14564 CONSTRUCTION & RELATED SERVICES 18537848 STANDARD BUILDERS INC 52 HOLMES ROAD NEWINGTON CT 06111 CONSTRUCTION & RELATED SERVICES 15460196 431 77097 299427 450111 436086210 473848529 54111474 910761374 MEDICAL SERVICE INCOME 541900 786541197 782063164 4478033 STUDENT INCOME 611310 577724178 577724178 CONTRACT INCOME-GOV'T 541700 103967845 103967845 CONTRACT INC-NON-GOV'T 541700 60542602 60542602 PUBLICATIONS INCOME 511130 20873250 20873250 65292297 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STATEMENTS - COLLECTIONS FOOTNOTE: COLLECTIONS AT YALE INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S MUSEUMS AND LIBRARIES. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH AND THE FURTHERANCE OF PUBLIC SERVICE. COLLECTIONS ARE NOT CAPITALIZED; PURCHASES OF COLLECTION ITEMS ARE RECORDED AS OPERATING EXPENSES IN THE UNIVERSITY'S CONSOLIDATED FINANCIAL STATEMENTS IN THE PERIOD IN WHICH THE ITEMS ARE ACQUIRED. PART III, LINE 4: YALE UNIVERSITY COLLECTIONS ARE AN INTEGRAL PART OF TEACHING AND LEARNING ACROSS THE UNIVERSITY AND INCLUDE THE YALE UNIVERSITY ART GALLERY, THE YALE CENTER FOR BRITISH ART, THE PEABODY MUSEUM OF NATURAL HISTORY, AND THE COLLECTION OF MUSICAL INSTRUMENTS. ALL THE COLLECTIONS ARE OPEN TO THE PUBLIC. THE YALE UNIVERSITY ART GALLERY: THE YALE UNIVERSITY ART GALLERY, FOUNDED IN 1832, IS THE OLDEST U.S. COLLEGE ART MUSEUM. THE GALLERY HOUSES MORE THAN 200,000 OBJECTS REPRESENTING EASTERN AND WESTERN CULTURES AND RANGING IN DATE FROM ANCIENT TIMES TO THE PRESENT DAY. THE COLLECTION INCLUDES ANCIENT, MEDIEVAL AND RENAISSANCE ART, NEAR AND FAR EASTERN ART, ARCHAEOLOGICAL MATERIAL, PRE-COLOMBIAN AND AFRICAN ART, WORKS OF EUROPEAN AND AMERICAN MASTERS FROM VIRTUALLY EVERY PERIOD, AND A RICH COLLECTION OF MODERN AND CONTEMPORARY ART. THE MISSION OF THE YALE UNIVERSITY ART GALLERY IS TO ENCOURAGE APPRECIATION AND UNDERSTANDING OF ART AND ITS ROLE IN SOCIETY THROUGH DIRECT ENGAGEMENT WITH ORIGINAL WORKS OF ART. THE GALLERY STIMULATES ACTIVE LEARNING ABOUT ART AND THE CREATIVE PROCESS THROUGH RESEARCH, TEACHING, AND DIALOGUE AMONG COMMUNITIES OF YALE STUDENTS, FACULTY, ARTISTS, SCHOLARS, ALUMNI, AND THE WIDER PUBLIC. THE GALLERY ORGANIZES EXHIBITIONS AND EDUCATIONAL PROGRAMS TO OFFER ENJOYMENT AND ENCOURAGE INQUIRY, WHILE BUILDING AND MAINTAINING ITS COLLECTIONS IN TRUST FOR FUTURE GENERATIONS. THE YALE CENTER FOR BRITISH ART: THE YALE CENTER FOR BRITISH ART IS A PUBLIC ART MUSEUM AND RESEARCH INSTITUTE FOR THE STUDY OF BRITISH ART AND CULTURE. THE YALE CENTER FOR BRITISH ART, WHICH OPENED IN 1977, HOUSES THE LARGEST COLLECTION OF BRITISH ART OUTSIDE THE UNITED KINGDOM. THE COLLECTION OF PAINTINGS, SCULPTURE, PRINTS, DRAWINGS, RARE BOOKS, AND MANUSCRIPTS REFLECTS THE DEVELOPMENT OF BRITISH ART AND LIFE FROM THE ELIZABETHAN PERIOD ONWARD. THE CENTER OFFERS A YEAR-ROUND SCHEDULE OF EXHIBITIONS AND PROGRAMS, INCLUDING LECTURES, CONFERENCES, FILMS, CONCERTS, AND PERFORMANCES. THE YALE CENTER FOR BRITISH ART OVERSEES AN ACTIVE RESEARCH PROGRAM THROUGH WHICH IT PROMOTES AND FOSTERS THE SCHOLARSHIP OF ALL ASPECTS OF BRITISH ART AND MATERIAL CULTURE. ACADEMIC RESOURCES OF THE CENTER INCLUDE THE REFERENCE LIBRARY AND ARCHIVE, CONSERVATION LABORATORIES, A STUDY ROOM FOR EXAMINING WORKS ON PAPER AS WELL AS RARE BOOKS AND MANUSCRIPTS FROM THE COLLECTION, AND AN ONLINE CATALOGUE OF THE COLLECTIONS. PEABODY MUSEUM: YALE'S PEABODY MUSEUM OF NATURAL HISTORY, FOUNDED IN 1866, IS ONE OF THE OLDEST AND LARGEST UNIVERSITY-BASED NATURAL HISTORY MUSEUMS, WITH MORE THAN 13 MILLION OBJECTS HOUSED IN 10 DIFFERENT DIVISIONS AND REPRESENTING MORE THAN 4 BILLION YEARS OF GEOLOGICAL, BIOLOGICAL, AND HUMAN HISTORY. THESE COLLECTIONS ARE HISTORICALLY IMPORTANT, AND ALL ARE IN ACTIVE USE BY SCHOLARS FROM YALE AND ELSEWHERE. MUSEUMS AND THE EXPERTISE THAT SURROUNDS THEM ARE VIBRANT ELEMENTS OF YALE'S CULTURE OF SCHOLARSHIP AND TEACHING. THE PEABODY IS A WORKING MUSEUM, WHERE PUBLIC EXHIBITION, RESEARCH, CONSERVATION, TEACHING, AND LEARNING INTERSECT. ITS MISSION IS TO SERVE THE UNIVERSITY BY ADVANCING THE UNDERSTANDING OF EARTH'S HISTORY THROUGH GEOLOGICAL, BIOLOGICAL, AND ANTHROPOLOGICAL RESEARCH, AND BY COMMUNICATING THE RESULTS OF THIS RESEARCH TO THE WIDEST POSSIBLE AUDIENCE THROUGH PUBLICATION, EXHIBITION, AND EDUCATIONAL PROGRAMS. FUNDAMENTAL TO THIS MISSION IS STEWARDSHIP OF THE MUSEUM'S RICH COLLECTIONS, WHICH PROVIDE A REMARKABLE RECORD OF THE HISTORY OF THE EARTH, ITS LIFE, AND ITS CULTURES. CONSERVATION, AUGMENTATION AND USE OF THESE COLLECTIONS ARE INCREASINGLY URGENT AS MODERN THREATS TO THE DIVERSITY OF LIFE AND CULTURE CONTINUE TO INTENSIFY. THE COLLECTIONS OF THE YALE PEABODY MUSEUM OF NATURAL HISTORY PROVIDE MATERIAL SUPPORT FOR UNDERGRADUATE RESEARCH AT YALE UNIVERSITY. THE MUSEUM'S CURATORIAL DIVISIONS MAINTAIN TEACHING COLLECTIONS FOR USE IN A WIDE RANGE OF UNDERGRADUATE CLASSROOM AND LABORATORY COURSES, FROM FORENSIC ANTHROPOLOGY TO EVOLUTIONARY BIOLOGY. THESE COLLECTIONS ARE ACTIVELY USED FOR SENIOR THESIS RESEARCH. IN ADDITION, EACH YEAR THE YALE PEABODY MUSEUM PROVIDES EDUCATIONAL PROGRAMS ON BIOLOGY, PALEONTOLOGY, GEOLOGY, ANCIENT CIVILIZATIONS, SOCIAL STUDIES AND ART TO MORE THAN 25,000 VISITORS FROM THROUGHOUT THE NORTHEAST, INCLUDING ELEMENTARY THROUGH COLLEGE STUDENTS AND OTHER PRIVATE AND COMMUNITY-BASED GROUPS. ALL PROGRAMS DRAW ON THE MUSEUM'S EXHIBITS TO MEET THE INCREASINGLY SOPHISTICATED NEEDS OF SCIENCE AND SOCIAL STUDIES EDUCATION AND MOST CAN BE ADAPTED TO ACCOMMODATE SPECIFIC GROUP NEEDS AS REQUESTED. THE MUSEUM'S COLLECTIONS ARE AVAILABLE TO LEGITIMATE RESEARCHERS AT ESTABLISHED INSTITUTIONS FOR SCHOLARLY USE. COLLECTION OF MUSICAL INSTRUMENTS: ESTABLISHED IN 1900, THE COLLECTION OF MUSICAL INSTRUMENTS TODAY COMPRISES NEARLY ONE THOUSAND INSTRUMENTS, THE MAJORITY DOCUMENTING THE HISTORY OF WESTERN ART MUSIC. IT IS COMMITTED TO FOSTERING THE UNDERSTANDING AND APPRECIATION OF MUSICAL INSTRUMENTS FROM ALL CULTURES AND PERIODS. ONE OF THE FOREMOST INSTITUTIONS OF ITS KIND, THE COLLECTION ACQUIRES, PRESERVES, AND EXHIBITS MUSICAL INSTRUMENTS FROM ANTIQUITY TO THE PRESENT, FEATURING RESTORED EXAMPLES IN DEMONSTRATION AND LIVE PERFORMANCE. IT PROVIDES ACCESS TO AND DISSEMINATES INFORMATION ABOUT ITS HOLDINGS TO YALE STUDENTS, FACULTY, AND STAFF; TO SCHOLARS, MUSICIANS, AND INSTRUMENT MAKERS; AND TO THE BROADER PUBLIC. AN IMPORTANT RESOURCE FOR THE MUSIC CURRICULA OF THE UNIVERSITY, THE COLLECTION SERVES AS A LABORATORY FOR COURSES IN THE HISTORY OF MUSICAL INSTRUMENTS AND AS A SUPPLEMENTAL ARCHIVE FOR COURSES TAUGHT IN THE ARTS AND SCIENCES. THE COLLECTION MAINTAINS REGULAR PUBLIC VISITING HOURS, MOUNTS EXHIBITS, AND PRESENTS AN ANNUAL SERIES OF CONCERTS. LECTURES, TOURS, AND SPECIAL CONCERTS ARE OFFERED THROUGHOUT THE YEAR. EXHIBITIONS ARE ALSO FREQUENTLY MOUNTED AT THE FOLLOWING VENUES ON CAMPUS: YALE SCHOOL OF ARCHITECTURE GALLEY, BEINECKE RARE BOOK AND MANUSCRIPT LIBRARY, GREEN HALL GALLERY (SCHOOL OF ART), 32 EDGEWOOD GALLERY (SCHOOL OF ART), GALLERY AT WHITNEY, AND STERLING MEMORIAL LIBRARY, AS WELL AS AT OTHER NON-YALE LOCATIONS AND INSTITUTIONS THROUGH UNIVERSITY LOAN OR EXCHANGE PROGRAMS. YALE UNIVERSITY LIBRARY: IN ADDITION TO ITS MUSEUMS, THE YALE UNIVERSITY LIBRARY SERVES TEACHING, LEARNING AND RESEARCH AT YALE AND FOR THE WORLD-WIDE SCHOLARLY COMMUNITY THROUGH OUR STAFF, COLLECTIONS, LIBRARY SPACES, AND SYSTEMS. THE COLLECTION OF NEARLY 15 MILLION PRINT AND ELECTRONIC VOLUMES IS HOUSED IN 15 LIBRARIES, INCLUDING STERLING MEMORIAL, BEINECKE, AND BASS LIBRARIES, THE CENTER FOR SCIENCE AND SOCIAL SCIENCE INFORMATION, AS WELL AS MANY OTHER SCHOOL AND DEPARTMENTAL LIBRARIES. COLLECTIONS RANGE FROM ANCIENT PAPYRI AND EARLY PRINTED BOOKS TO DIGITAL COLLECTIONS AND ELECTRONIC DATABASES; AND THEY TRANSCEND A WIDE ARRAY OF FORMATS INCLUDING TEXT, PHOTOGRAPHS, VIDEO, AUDIO, DATA, MAPS, AND EPHEMERA. IN BUILDING THE MAGNIFICENT COLLECTIONS OVER THE LAST THREE CENTURIES, YALE MADE A STEWARDSHIP COMMITMENT TO ASSIST IN THE PRESERVATION OF HUMAN KNOWLEDGE. THE LIBRARY ALSO HAS A RESPONSIBILITY TO BRING DIGITAL RESOURCES TO THE YALE COMMUNITY AND TO ADDRESS THE INTIMIDATING CHALLENGES OF DIGITAL PRESERVATION. PART IV, LINE 2B: THE AMOUNT REPORTED ON FORM 990, PART X, LINE 21, ESCROW ACCOUNT LIABILITY, CONSISTS OF SECURITY DEPOSITS RELATED TO LEASE AGREEMENTS AND OTHER DEPOSITS. PART V, LINE 1: ENDOWMENT FUNDS INCLUDE THE VALUE OF THE ENDOWMENT AND UNEXPENDED ENDOWMENT INCOME AT JUNE 30, 2015. PART V, LINE 4: THE ENDOWMENT PROVIDES THE LARGEST SOURCE OF SUPPORT FOR THE ACADEMIC PROGRAMS OF THE UNIVERSITY. SPENDING FROM THE ENDOWMENT GREW DURING THE LAST DECADE FROM $567 MILLION TO $1.1 BILLION, AN ANNUAL GROWTH RATE OF 6.7%. YALE'S SPENDING AND INVESTMENT POLICIES PROVIDED SUBSTANTIAL LEVELS OF CASH FLOW TO THE OPERATING BUDGET FOR CURRENT SCHOLARS WHILE PRESERVING ENDOWMENT PURCHASING POWER FOR FUTURE GENERATIONS. THE YALE ENDOWMENT CONTAINS THOUSANDS OF FUNDS WITH VARIOUS PURPOSES AND RESTRICTIONS. APPROXIMATELY 84% OF FUNDS CONSTITUTE TRUE ENDOWMENT, GIFTS RESTRICTED BY DONORS TO PROVIDE LONG-TERM FUNDING FOR DESIGNATED PURPOSES. THE REMAINING FUNDS REPRESENT QUASI-ENDOWMENT, MONIES THAT THE YALE CORPORATION CHOOSES TO INVEST AND TREAT AS ENDOWMENT. DONORS FREQUENTLY SPECIFY A PARTICULAR PURPOSE FOR GIFTS, CREATING ENDOWMENTS TO FUND PROFESSORSHIPS, TEACHING, AND LECTURESHIPS (24%); SCHOLARSHIPS, FELLOWSHIPS, AND PRIZES (17%); MAINTENANCE (4%); BOOKS (3%); AND MISCELLANEOUS SPECIFIC PURPOSES (27%). TWENTY-FIVE PERCENT OF FUNDS ARE UNRESTRICTED. TWENTY-THREE PERCENT OF THE ENDOWMENT BENEFITS THE OVERALL UNIVERSITY, WITH REMAINING FUNDS FOCUSED ON SPECIFIC UNITS, INCLUDING THE FACULTY OF ARTS AND SCIENCES (37%), THE PROFESSIONAL SCHOOLS (26%), THE LIBRARY (7%), AND OTHER ENTITIES (7%). PART X, LINE 2: THE UNIVERSITY WAS NOT REQUIRED TO INCLUDE A FIN 48 (ASC 740), ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, FOOTNOTE IN ITS FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2015. PART XI, LINE 2D - OTHER ADJUSTMENTS: AFFILIATED ORGANIZATION INCOME(LOSS): 35,367,791 CHANGE IN FUNDING STATUS OF DEFINED BENEFIT PLANS: (119,262,000) ACTUARIAL ADJUSTMENT FOR SPLIT INTEREST LIABILITY: 14,940,070 NON-CONTROLLING INTEREST: (1,726,000) TOTAL: (70,680,139) PART XI, LINE 4B - OTHER ADJUSTMENTS: EXPENSES ON THE AUDITED FINANCIAL STATEMENTS THAT ARE RECLASSIFIED FOR FORM 990 PURPOSES AND REPORTED ON PART VIII, LINES 6B, 8B, AND 9B PURSUANT TO FORM INSTRUCTIONS: (12,851,501) TUITION DISCOUNTS WHICH WERE NETTED WITH STUDENT INCOME ON THE AUDITED FINANCIAL STATEMENTS: 261,952,648 TOTAL: 249,101,147 PART XII, LINE 2D - OTHER ADJUSTMENTS: AFFILIATED ORGANIZATION EXPENSE: 11,010,351 PART XII, LINE 4B - OTHER ADJUSTMENTS: EXPENSES ON THE AUDITED FINANCIAL STATEMENTS THAT ARE RECLASSIFIED FOR FORM 990 PURPOSES AND REPORTED ON PART VIII, LINES 6B, 8B, AND 9B PURSUANT TO FORM INSTRUCTIONS: (12,851,501) TUITION DISCOUNTS WHICH WERE NETTED WITH STUDENT INCOME ON THE AUDITED FINANCIAL STATEMENTS: 261,952,648 TOTAL: 249,101,147 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 SEE SCHEDULE E PAGE 2 SCHEDULE E, LINE 3 YALE UNIVERSITY'S EQUAL OPPORTUNITY STATEMENT: THE UNIVERSITY IS COMMITTED TO BASING JUDGMENTS CONCERNING THE ADMISSION, EDUCATION, AND EMPLOYMENT OF INDIVIDUALS UPON THEIR QUALIFICATIONS AND ABILITIES AND AFFIRMATIVELY SEEKS TO ATTRACT TO ITS FACULTY, STAFF, AND STUDENT BODY QUALIFIED PERSONS OF DIVERSE BACKGROUNDS. IN ACCORDANCE WITH THIS POLICY AND AS DELINEATED BY FEDERAL AND CONNECTICUT LAW, YALE DOES NOT DISCRIMINATE IN ADMISSIONS, EDUCATIONAL PROGRAMS, OR EMPLOYMENT AGAINST ANY INDIVIDUAL ON ACCOUNT OF THAT INDIVIDUAL'S SEX, RACE, COLOR, RELIGION, AGE, DISABILITY, STATUS AS A SPECIAL DISABLED VETERAN, VETERAN OF THE VIETNAM ERA OR OTHER COVERED VETERAN, OR NATIONAL OR ETHNIC ORIGIN; NOR DOES YALE DISCRIMINATE ON THE BASIS OF SEXUAL ORIENTATION OR GENDER IDENTITY OR EXPRESSION. UNIVERSITY POLICY IS COMMITTED TO AFFIRMATIVE ACTION UNDER LAW IN EMPLOYMENT OF WOMEN, MINORITY GROUP MEMBERS, INDIVIDUALS WITH DISABILITIES, SPECIAL DISABLED VETERANS, VETERANS OF THE VIETNAM ERA, AND OTHER COVERED VETERANS. THE UNIVERSITY'S EQUAL OPPORTUNITY STATEMENT IS MADE KNOWN TO ALL SEGMENTS OF THE GENERAL COMMUNITY SERVICED BY THE UNIVERSITY. IT IS INCLUDED IN CATALOGUES AND BROCHURES DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS OF THE UNIVERSITY AS WELL AS ON ITS WEBSITE WHICH ARE ALL AVAILABLE TO THE GENERAL PUBLIC. SCHEDULE E, LINE 6 THE UNIVERSITY HAS RECEIVED AND CONTINUES TO RECEIVE STUDENT FINANCIAL AID AND GRANTS FROM GOVERNMENTAL AGENCIES. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 15697 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES ALUMNI RELATIONS 28922 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 90391 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 1143 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 29544 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 25315 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 205784 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 28217 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 33567 CENTRAL AMERICA AND THE CARIBBEAN 0 0 FUNDRAISING 2392 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 509869 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 2272539815 EAST ASIA AND THE PACIFIC 1 16 PROGRAM SERVICES ACADEMIC COLLABORATIONS 2775518 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES ALUMNI RELATIONS 46218 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 1241316 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 41409 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 123080 EAST ASIA AND THE PACIFIC 2 12 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 1870749 EAST ASIA AND THE PACIFIC 0 5 PROGRAM SERVICES RESEARCH 550728 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 132789 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 282014 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 32927 EAST ASIA AND THE PACIFIC 0 0 FUNDRAISING 96853 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 3366076 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 1431416 EUROPE (INCLUDING ICELAND & GREENLAND) 0 5 PROGRAM SERVICES ACADEMIC COLLABORATIONS 727008 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES ALUMNI RELATIONS 111044 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 3310098 EUROPE (INCLUDING ICELAND & GREENLAND) 0 1 PROGRAM SERVICES CULTURAL EXCHANGE 102060 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 104200 EUROPE (INCLUDING ICELAND & GREENLAND) 0 20 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 11307335 EUROPE (INCLUDING ICELAND & GREENLAND) 0 8 PROGRAM SERVICES RESEARCH 1415717 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 81833 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 695976 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 49563 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 FUNDRAISING 118532 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 6150128 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 193689321 MIDDLE EAST AND NORTH AFRICA 0 1 PROGRAM SERVICES ACADEMIC COLLABORATIONS 72184 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 142869 MIDDLE EAST AND NORTH AFRICA 0 1 PROGRAM SERVICES INSTRUCTION/ TEACHING 29221 MIDDLE EAST AND NORTH AFRICA 0 4 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 58041 MIDDLE EAST AND NORTH AFRICA 1 8 PROGRAM SERVICES RESEARCH 259661 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 19483 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 26251 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 9098 MIDDLE EAST AND NORTH AFRICA 0 0 FUNDRAISING 7671 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 644844 NORTH AMERICA 0 1 PROGRAM SERVICES ACADEMIC COLLABORATIONS 46057 NORTH AMERICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 67970 NORTH AMERICA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 811870 NORTH AMERICA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 25296 NORTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 2803 NORTH AMERICA 0 10 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 75453 NORTH AMERICA 0 3 PROGRAM SERVICES RESEARCH 54860 NORTH AMERICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 55027 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 14730 NORTH AMERICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 7114 NORTH AMERICA 0 0 FUNDRAISING 13309 NORTH AMERICA 0 0 GRANTMAKING 904171 NORTH AMERICA 0 0 INVESTMENTS 20656374 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 2 PROGRAM SERVICES ACADEMIC COLLABORATIONS 47754 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 33026 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 1 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 8684 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES RESEARCH 87376 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 4498 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 17402 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 GRANTMAKING 845318 SOUTH AMERICA 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 107618 SOUTH AMERICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 11192 SOUTH AMERICA 0 1 PROGRAM SERVICES CONFERENCES & SEMINARS 365266 SOUTH AMERICA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 7941 SOUTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 55674 SOUTH AMERICA 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 87715 SOUTH AMERICA 0 2 PROGRAM SERVICES RESEARCH 314260 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 56026 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 197255 SOUTH AMERICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 6017 SOUTH AMERICA 0 0 FUNDRAISING 9629 SOUTH AMERICA 0 0 GRANTMAKING 1705487 SOUTH AMERICA 0 0 INVESTMENTS 2684259 SOUTH ASIA 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 48040 SOUTH ASIA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 13894 SOUTH ASIA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 98671 SOUTH ASIA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 21245 SOUTH ASIA 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 12277 SOUTH ASIA 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 30267 SOUTH ASIA 0 2 PROGRAM SERVICES RESEARCH 159312 SOUTH ASIA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 52327 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 11818 SOUTH ASIA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 2432 SOUTH ASIA 0 0 FUNDRAISING 9661 SOUTH ASIA 0 0 GRANTMAKING 992962 SOUTH ASIA 0 0 INVESTMENTS 32618 SUB-SAHARAN AFRICA 0 3 PROGRAM SERVICES ACADEMIC COLLABORATIONS 132884 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 7455 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 128448 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 1984 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 157054 SUB-SAHARAN AFRICA 0 1 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 78399 SUB-SAHARAN AFRICA 0 15 PROGRAM SERVICES RESEARCH 1503002 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 4658 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 90816 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 196538 SUB-SAHARAN AFRICA 0 0 FUNDRAISING 2299 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 1217182 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 228686270 0 0 4 122 4 122 425013 2767288818 2767713831 CENTRAL AMERICA AND THE CARIBBEAN SUBAWARD - SPONSORED RESEARCH 352576 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 15000 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 5000 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 57027 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 71905 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 59433 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 11190 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 30230 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 7997 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 25977 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 149257 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 12457 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 78354 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 6500 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 190458 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5675 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 116512 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 7986 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 9299 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 138515 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6400 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 9276 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 40780 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 9376 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 16994 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 9300 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6945 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5687 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8877 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 59763 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 21120 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 20746 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 7319 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 126107 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 38042 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 26477 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8411 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6144 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 56803 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 22161 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 12286 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8099 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 24219 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5861 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 18271 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 13031 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5150 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 116484 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5009 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 14961 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 7601 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 337629 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8783 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 16702 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 88000 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 12164 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 495164 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 70943 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 9897 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 23655 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 24175 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8281 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6434 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 37267 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6977 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 62000 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 18278 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 6200 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 5587 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 21680 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 6793 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 15374 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 9474 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 64021 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 22499 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 31404 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 16843 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 35428 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 176600 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 110782 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 6089 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 63979 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 113354 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 19711 WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 24961 WIRE RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 129265 WIRE RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 276099 WIRE RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 58008 WIRE RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 28973 WIRE RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 20871 WIRE SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 339444 WIRE SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 208595 WIRE SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 37694 WIRE SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 188943 WIRE SOUTH ASIA SUBAWARD - SPONSORED RESEARCH 28678 WIRE SOUTH ASIA SUBAWARD - SPONSORED RESEARCH 380980 WIRE SOUTH ASIA SUBAWARD - SPONSORED RESEARCH 75828 WIRE SOUTH ASIA SUBAWARD - SPONSORED RESEARCH 43375 WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 21259 WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 129063 WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 130450 WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 60427 WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 16803 WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 142329 WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 37680 WIRE 22 83 FELLOWSHIPS CENTRAL AMERICA AND THE CARIBBEAN 19 58900 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS EAST ASIA AND THE PACIFIC 209 1857730 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS EUROPE (INCLUDING ICELAND AND GREENLAND) 100 390709 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS MIDDLE EAST AND NORTH AFRICA 55 185148 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS NORTH AMERICA 28 81765 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS RUSSIA AND THE NEWLY INDEPENDENT STATES 11 201483 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SOUTH AMERICA 52 328076 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SOUTH ASIA 19 249068 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SUB-SAHARAN AFRICA 56 336827 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS CENTRAL AMERICA AND THE CARIBBEAN 14 44437 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS EAST ASIA AND THE PACIFIC 48 297380 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS EUROPE (INCLUDING ICELAND AND GREENLAND) 74 653349 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS MIDDLE EAST AND NORTH AFRICA 5 16866 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS NORTH AMERICA 10 82516 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS RUSSIA AND THE NEWLY INDEPENDENT STATES 4 39980 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SOUTH AMERICA 41 167993 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SOUTH ASIA 17 161265 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SUB-SAHARAN AFRICA 29 163000 ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN 6 53956 CHECK SCHOLARSHIPS EAST ASIA AND THE PACIFIC 40 399025 CHECK SCHOLARSHIPS EUROPE (INCLUDING ICELAND AND GREENLAND) 293 2853927 CHECK SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 35 293240 CHECK SCHOLARSHIPS NORTH AMERICA 7 34787 CHECK SCHOLARSHIPS RUSSIA AND THE NEWLY INDEPENDENT STATES 10 83283 CHECK SCHOLARSHIPS SOUTH AMERICA 56 411106 CHECK SCHOLARSHIPS SOUTH ASIA 10 38003 CHECK SCHOLARSHIPS SUB-SAHARAN AFRICA 14 166879 CHECK OTHER ASSISTANCE - HEALTH FEES EAST ASIA AND THE PACIFIC 59 91157 CHECK OTHER ASSISTANCE - HEALTH FEES EUROPE (INCLUDING ICELAND AND GREENLAND) 86 90386 CHECK OTHER ASSISTANCE - HEALTH FEES MIDDLE EAST AND NORTH AFRICA 4 4204 CHECK OTHER ASSISTANCE - HEALTH FEES NORTH AMERICA 8 19432 CHECK OTHER ASSISTANCE - HEALTH FEES RUSSIA AND THE NEWLY INDEPENDENT STATES 7 7357 CHECK OTHER ASSISTANCE - HEALTH FEES SOUTH AMERICA 12 23636 CHECK OTHER ASSISTANCE - HEALTH FEES SOUTH ASIA 15 15765 CHECK OTHER ASSISTANCE - HEALTH FEES SUB-SAHARAN AFRICA 11 12466 CHECK 1 1 1 1 1 1 SCHEDULE F, PART I, LINE 2: WITH RESPECT TO SPONSORED PROJECT ACTIVITY SUBCONTRACTED TO OTHER ENTITIES, THE UNIVERSITY'S POLICY AND PROCEDURES FOR MONITORING SUB RECIPIENT AWARDS ("SUBWARDS") ARE INTENDED TO ESTABLISH APPROPRIATE AND EFFECTIVE MECHANISMS TO PROMOTE COMPLIANCE WITH FEDERAL AND NON-FEDERAL REQUIREMENTS AND CONTRACTUAL ARRANGEMENTS, INCLUDING THE PROPER MONITORING AND STEWARDSHIP OF AWARDED FUNDS. PROPER MONITORING OF A SUBAWARD ENSURES THAT AWARDED FUNDS ARE USED FOR AUTHORIZED PURPOSES, PERFORMANCE GOALS ARE MET AND THE SUB RECIPIENT IS IN COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE SUB RECIPIENT AGREEMENT. SUB RECIPIENT MONITORING PROCEDURES INCLUDE BUT ARE NOT LIMITED TO THE FOLLOWING ACTIVITIES: A FORMAL PRE-QUALIFICATION PROCESS FOR SUB RECIPIENTS, PRE-AWARD AND POST-AWARD MONITORING OF SUB RECIPIENTS TO REVIEW THE FINANCIAL STATUS AND MANAGEMENT CONTROLS, COMPLIANCE CERTIFICATIONS, REVIEW OF COMPLIANCE WITH REGULATIONS RELATIVE TO THE USE OF HUMAN SUBJECTS AND ANIMALS, IDENTIFICATION AND MANAGEMENT OF ANY CONFLICT OF INTEREST WITH A SUB RECIPIENT ENTITY, AND A REVIEW OF PERTINENT OTHER ORGANIZATION INFORMATION. IN ACCORDANCE WITH THESE PROCEDURES, THE UNIVERSITY REVIEWS THE SUB RECIPIENT'S ADMINISTRATION, FINANCIAL STATEMENTS, BILLINGS, SCIENTIFIC PROGRESS, TECHNICAL REPORTS AND DELIVERABLES OF AN ACTIVE SUBAWARD REGULARLY AND CONDUCTS ON-GOING RISK ASSESSMENTS AS WELL AS QUARTERLY QUALITY ASSURANCE REVIEWS ON RANDOMLY SELECTED SUBAWARDS. IN ADDITION TO A MONTHLY DEPARTMENTAL REVIEW, THE UNIVERSITY MONITORS A SUB RECIPIENT'S COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE SUBAWARD ANNUALLY AND UPON CLOSEOUT OF THE SUB RECIPIENT AGREEMENT. IF ANY OF THESE MONITORING PROCEDURES RESULT IN FINDINGS, THE UNIVERSITY WILL TAKE CORRECTIVE ACTION AS NECESSARY. THE PROCEDURES SERVE TO ENSURE THAT THE SUBAWARDS ARE USED FOR PROPER PURPOSES AND NOT DIVERTED FROM THEIR INTENDED USE. SCHEDULE F, PART I, LINE 3: PURSUANT TO THE FORM INSTRUCTIONS, THE FOLLOWING IS A BREAKOUT OF AMOUNTS PROVIDED AS INVESTMENTS: INVESTMENTS EXPENDITURES CENTRAL AMERICA AND THE CARIBBEAN 2,263,705,970 8,833,845 EAST ASIA AND THE PACIFIC 1,194,402 237,014 EUROPE (INCLUDING ICELAND & GREENLAND) 193,313,005 376,316 NORTH AMERICA 20,638,030 18,344 SOUTH AMERICA 0 2,684,259 SOUTH ASIA 0 32,618 SUB-SAHARAN AFRICA 228,686,270 0 SCHEDULE F, PART II, LINE 3: THE TOTAL NUMBER REPORTED ON LINE 3 INCLUDES TAX EXEMPT ORGANIZATIONS AND PUBLIC INSTITUTIONS. MOST OF THE SUBAWARD RECIPIENTS ARE UNIVERSITIES, HOSPITALS, AND RESEARCH INSTITUTIONS. SCHEDULE F, PART II: A SUBAWARD IS AN AWARD OF FINANCIAL SUPPORT FROM THE UNIVERSITY TO A QUALIFIED THIRD PARTY PRIMARILY TO PERFORM RESEARCH AND OTHER RELATED PROGRAMMATIC EFFORTS UNDER A SPONSORED RESEARCH PROJECT. SCHEDULE F, PART III, COLUMNS (C) AND (D): THE AMOUNTS REPORTED IN COLUMNS (C) AND (D) REPRESENT AN ESTIMATE OF TOTAL AWARDS FOR THE FISCAL YEAR ENDED JUNE 30, 2015 BASED ON INFORMATION PROVIDED BY THE UNIVERSITY'S UNDERGRADUATE, GRADUATE AND PROFESSIONAL SCHOOLS. SOME STUDENTS RECEIVED MORE THAN ONE AWARD DURING THE FISCAL YEAR ENDED JUNE 30, 2015. GOLF OUTING 132210 113357 18853 4551 4500 21260 GOLF OUTING 66951 37725 29226 3690 6885 20141 11 484985 148345 336640 14069 13854 210364 684146 299427 384719 22310 25239 251765 299314 85405 21829 4700 319 0 21829 4700 319 5019 16810 CT 0 THE UNIVERSITY CONDUCTED OCCASIONAL RAFFLES FOR WHICH A CONNECTICUT LICENSE WAS NOT REQUIRED. 0 0 0 1.00000 DIRECTOR OF ACCOUNTING AND FIN SERVICES ATHLETICS PO BOX 208216 NEW HAVEN CT 065208216 0 NA 0 1 ABT SRBI INC 275 SEVENTH AVENUE SUITE 2700 NEW YORK NY 10001 133077900 50000 SUBAWARD - SPONSORED RESEARCH ADVANCED NEUROLOGY SPECIALISTS 400 15TH AVENUE SOUTH SUITE 206 GREAT FALLS MT 59405 201821484 12928 SUBAWARD - SPONSORED RESEARCH ADVENTIST HEALTH SYSTEM-SUNBELT INC 601 E ROLLINS STREET ORLANDO FL 32803 590724459 501(C)(3) 37643 SUBAWARD - SPONSORED RESEARCH AGILENT TECHNOLOGIES INC 4187 COLLECTIONS CENTER DRIVE CHICAGO IL 60693 770518772 314281 SUBAWARD - SPONSORED RESEARCH AIDS PROJECT NEW HAVEN INC 1302 CHAPEL STREET NEW HAVEN CT 06511 222506184 501(C)(3) 360789 SUBAWARD - SPONSORED RESEARCH ALERE WELLBEING INC 999 THIRD AVENUE SUITE 2700 SEATTLE WA 98104 200231080 42883 SUBAWARD - SPONSORED RESEARCH ALLEGHENY-SINGER RESEARCH INSTITUTE 2 ALLEGHENY CENTER 11TH FLOOR PITTSBURGH PA 152124746 251320493 501(C)(3) 22945 SUBAWARD - SPONSORED RESEARCH ALTRU HEALTH SYSTEM 1200 SOUTH COLUMBIA ROAD GRAND FORKS ND 58201 450310462 501(C)(3) 9845 SUBAWARD - SPONSORED RESEARCH AMERICAN COLLEGE OF CARDIOLOGY FOUNDATION 2400 N STREET NW WASHINGTON DC 20037 135641985 501(C)(3) 9365 SUBAWARD - SPONSORED RESEARCH AMERICAN PSYCHOSOCIAL ONCOLOGY SOCIETY 154 HANSEN ROAD SUITE 201 CHARLOTTESVILLE VA 22911 043720121 501(C)(3) 83492 SUBAWARD - SPONSORED RESEARCH AMERICAN NATIONAL RED CROSS & ITS CONSTITUENT CHAPTERS AND BRANCHES 2025 E STREET NW WASHINGTON DC 200065009 530196605 501(C)(3) 961249 SUBAWARD - SPONSORED RESEARCH APT FOUNDATION INC ONE LONG WHARF DRIVE SUITE 321 NEW HAVEN CT 06511 237061218 501(C)(3) 789549 SUBAWARD - SPONSORED RESEARCH ATLANTA RESEARCH & EDUCATION FOUNDATION INC 1902 CLAIRMONT ROAD DECATUR GA 30033 581857346 501(C)(3) 85286 SUBAWARD - SPONSORED RESEARCH BALTIMORE RESEARCH & EDUCATION FOUNDATION INC 10 NORTH GREENE STREET BALTIMORE MD 21201 521705976 501(C)(3) 91263 SUBAWARD - SPONSORED RESEARCH BANNER HEALTH 901 E WILLETTA STREET PHOENIX AZ 85006 450233470 501(C)(3) 60748 SUBAWARD - SPONSORED RESEARCH BARKER BI-COASTAL HEALTH CONSULTATIONS INC 3556 ELM DRIVE CALABASAS CA 91302 208139387 18785 SUBAWARD - SPONSORED RESEARCH BAYLOR COLLEGE OF MEDICINE ONE BAYLOR PLAZA HOUSTON TX 770303498 741613878 501(C)(3) 291360 SUBAWARD - SPONSORED RESEARCH BAYLOR UNIVERSITY ONE BEAR PLACE 97041 WACO TX 767987041 741159753 501(C)(3) 347801 SUBAWARD - SPONSORED RESEARCH BAYSTATE MEDICAL CENTER INC 759 CHESTNUT STREET SPRINGFIELD MA 01199 042790311 501(C)(3) 225751 SUBAWARD - SPONSORED RESEARCH BECKMAN RESEARCH INSTITUTE OF THE CITY OF HOPE 1500 E DUARTE ROAD DUARTE CA 910103000 953432210 501(C)(3) 18439 SUBAWARD - SPONSORED RESEARCH BENAROYA RESEARCH INSTITUTE AT VIRGINIA MASON 1201 NINTH AVENUE SEATTLE WA 981012795 910653422 501(C)(3) 8438 SUBAWARD - SPONSORED RESEARCH BETH ISRAEL DEACONESS MEDICAL CENTER 330 BROOKLINE AVENUE BOSTON MA 02215 042103881 501(C)(3) 282179 SUBAWARD - SPONSORED RESEARCH BHCARE INC 127 WASHINGTON AVENUE 3RD FLOOR NORTH HAVEN CT 06473 222598799 501(C)(3) 7812 SUBAWARD - SPONSORED RESEARCH BOARD OF REGENTS NEVADA SYSTEM OF HIGHER EDUCATION 4505 MARYLAND PARKWAY LAS VEGAS NV 89154 886000024 501(C)(3) 49531 SUBAWARD - SPONSORED RESEARCH BOSTON MEDICAL CENTER 660 HARRISON AVENUE BOSTON MA 02118 043314093 501(C)(3) 18593 SUBAWARD - SPONSORED RESEARCH BOSTON UNIVERSITY 881 COMMONWEALTH AVENUE BOSTON MA 022151303 042103547 501(C)(3) 249878 SUBAWARD - SPONSORED RESEARCH BOSTON VA RESEARCH INSTITUTE INC 150 SOUTH HUNTINGTON AVENUE BOSTON MA 02130 043081524 501(C)(3) 13497 SUBAWARD - SPONSORED RESEARCH BOYCE THOMPSON INSTITUTE FOR PLANT RESEARCH INC 533 TOWER ROAD ITHACA NY 14853 131739923 501(C)(3) 70278 SUBAWARD - SPONSORED RESEARCH BRANDEIS UNIVERSITY 415 SOUTH STREET WALTHAM MA 024549110 042103552 501(C)(3) 45784 SUBAWARD - SPONSORED RESEARCH BRENTWOOD BIOMEDICAL RESEARCH INSTITUTE INC PO BOX 25027 LOS ANGELES CA 90025 954183712 501(C)(3) 35035 SUBAWARD - SPONSORED RESEARCH BRIDGEPORT BOARD OF EDUCATION 45 LYON TERRACE BRIDGEPORT CT 06604 066001865 CITY-BRIDGEPORT 348735 SUBAWARD - SPONSORED RESEARCH BRIDGEPORT HOSPITAL 267 GRANT STREET BRIDGEPORT CT 06610 060646554 501(C)(3) 89249 SUBAWARD - SPONSORED RESEARCH BRIGHAM & WOMEN'S HOSPITAL 101 HUNTINGTON AVENUE SUITE 210 BOSTON MA 02199 042312909 501(C)(3) 773373 SUBAWARD - SPONSORED RESEARCH BROWN UNIVERSITY PO BOX 1911 PROVIDENCE RI 02912 050258809 501(C)(3) 677193 SUBAWARD - SPONSORED RESEARCH CALIFORNIA CENTER FOR PUBLIC HEALTH ADVOCACY PO BOX 2309 DAVIS CA 95617 954723901 501(C)(3) 75837 SUBAWARD - SPONSORED RESEARCH CARNEGIE MELLON UNIVERSITY PO BOX 371032 PITTSBURGH PA 152507032 250969449 501(C)(3) 99487 SUBAWARD - SPONSORED RESEARCH CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 441067006 341018992 501(C)(3) 10353 SUBAWARD - SPONSORED RESEARCH CEDARS-SINAI MEDICAL CENTER 8700 BEVERLY BOULEVARD LOS ANGELES CA 90048 951644600 501(C)(3) 18549 SUBAWARD - SPONSORED RESEARCH CENTER FOR SCIENCE IN THE PUBLIC INTEREST 1220 L STREET NW SUITE 300 WASHINGTON DC 200054053 237122879 501(C)(3) 9705 SUBAWARD - SPONSORED RESEARCH CENTRAL CONNECTICUT STATE UNIVERSITY 1615 STANLEY STREET NEW BRITAIN CT 060532439 061303381 STATE OF CT 23921 SUBAWARD - SPONSORED RESEARCH CHILDREN'S HOSPITAL CORPORATION PO BOX 414413 BOSTON MA 022414413 042774441 501(C)(3) 595160 SUBAWARD - SPONSORED RESEARCH CHILDREN'S HOSPITAL LOS ANGELES 4650 SUNSET BOULEVARD LOS ANGELES CA 90027 951690977 501(C)(3) 67860 SUBAWARD - SPONSORED RESEARCH CHILDREN'S HOSPITAL MEDICAL CENTER 3333 BURNET AVENUE CINCINNATI OH 452293039 310833936 501(C)(3) 72281 SUBAWARD - SPONSORED RESEARCH CHILDREN'S HOSPITAL OF PHILADELPHIA PO BOX 8500 PHILADELPHIA PA 19178 231352166 501(C)(3) 98309 SUBAWARD - SPONSORED RESEARCH CHILDREN'S RESEARCH INSTITUTE 111 MICHIGAN AVENUE NW WASHINGTON DC 200102970 521654453 501(C)(3) 57501 SUBAWARD - SPONSORED RESEARCH CITY OF NEW HAVEN 54 MEADOW STREET NEW HAVEN CT 06519 066001876 CITY-NEW HAVEN 68281 SUBAWARD - SPONSORED RESEARCH CLIFFORD W BEERS GUIDANCE CLINIC INC 93 EDWARDS STREET NEW HAVEN CT 06511 060646757 501(C)(3) 59137 SUBAWARD - SPONSORED RESEARCH COLORADO SCHOOL OF MINES PO BOX 911911 DENVER CO 802911911 846000551 STATE OF CO 368470 SUBAWARD - SPONSORED RESEARCH COLORADO STATE UNIVERSITY 2002 CAMPUS DELIVERY FORT COLLINS CO 805232002 846000545 STATE OF CO 47831 SUBAWARD - SPONSORED RESEARCH COLUMBIA UNIVERSITY PO BOX 29789 NEW YORK NY 100879789 135598093 501(C)(3) 507773 SUBAWARD - SPONSORED RESEARCH COMMUNITY HEALTH CENTER 635 MAIN STREET MIDDLETOWN CT 06457 060897105 501(C)(3) 99853 SUBAWARD - SPONSORED RESEARCH CORNELL SCOTT-HILL HEALTH CORPORATION 400 COLUMBUS AVENUE 2ND FLOOR NEW HAVEN CT 06519 060870990 501(C)(3) 208397 SUBAWARD - SPONSORED RESEARCH CORNELL UNIVERSITY PO BOX 22 ITHACA NY 148510022 150532082 501(C)(3) 1513905 SUBAWARD - SPONSORED RESEARCH DALLAS VA RESEARCH CORPORATION PO BOX 516 LANCASTER TX 75146 752329831 501(C)(3) 65429 SUBAWARD - SPONSORED RESEARCH DANA-FARBER CANCER INSTITUTE INC 450 BROOKLINE AVENUE BOSTON MA 02215 042263040 501(C)(3) 68427 SUBAWARD - SPONSORED RESEARCH DARTMOUTH COLLEGE 11 ROPE FERRY ROAD HANOVER NH 037551404 020222111 501(C)(3) 116164 SUBAWARD - SPONSORED RESEARCH DJ CASE & ASSOCIATES INC 317 E JEFFERSON BLVD MISHAWAKA IN 46545 200509735 80000 SUBAWARD - SPONSORED RESEARCH DONALD DANFORTH PLANT SCIENCE CENTER 975 NORTH WATSON ROAD ST LOUIS MO 63132 311584621 501(C)(3) 740378 SUBAWARD - SPONSORED RESEARCH DUKE UNIVERSITY 324 BLACKWELL STREET DURHAM NC 27701 560532129 501(C)(3) 433913 SUBAWARD - SPONSORED RESEARCH EAST CAROLINA UNIVERSITY 2200 S CHARLES BLVD GREENVILLE NC 278584353 566000403 STATE OF NC 23105 SUBAWARD - SPONSORED RESEARCH EDUCATION DEVELOPMENT CENTER INC 43 FOUNDRY AVENUE WALTHAM MA 024538313 042241718 501(C)(3) 23100 SUBAWARD - SPONSORED RESEARCH EMORY UNIVERSITY 1599 CLIFTON ROAD ATLANTA GA 30322 580566256 501(C)(3) 351437 SUBAWARD - SPONSORED RESEARCH FAIR HAVEN COMMUNITY HEALTH CLINIC INC 374 GRAND AVENUE NEW HAVEN CT 06513 060883545 501(C)(3) 267839 SUBAWARD - SPONSORED RESEARCH FLORIDA NEUROVASCULAR INSTITUTE 5 TAMPA GENERAL CIRCLE TAMPA FL 33606 593458987 5655 SUBAWARD - SPONSORED RESEARCH FOUNDATION FOR APPLIED MOLECULAR EVOLUTION INC 13709 PROGRESS BLVD ALACHUA FL 32615 593471957 501(C)(3) 268536 SUBAWARD - SPONSORED RESEARCH GEISINGER CLINIC 100 NORTH ACADEMY AVENUE DANVILLE PA 178222602 236291113 501(C)(3) 36152 SUBAWARD - SPONSORED RESEARCH GEORGE MASON UNIVERSITY 4400 UNIVERSITY DRIVE FAIRFAX VA 22030 540836354 STATE OF VA 325262 SUBAWARD - SPONSORED RESEARCH GRIFFIN HOSPITAL 130 DIVISION STREET DERBY CT 06418 060647014 501(C)(3) 536688 SUBAWARD - SPONSORED RESEARCH GROUP HEALTH COOPERATIVE PO BOX 34587 SEATTLE WA 981249990 910511770 501(C)(3) 25138 SUBAWARD - SPONSORED RESEARCH GUILFORD NEUROLOGIC ASSOCIATES 912 THIRD STREET SUITE 101 GREENSBORO NC 27405 560963466 91431 SUBAWARD - SPONSORED RESEARCH H LEE MOFFITT CANCER CENTER AND RESEARCH INSTITUTE HOSPITAL INC 12902 MAGNOLIA DRIVE TAMPA FL 33612 593238634 501(C)(3) 11163 SUBAWARD - SPONSORED RESEARCH HAMILL ASSOCIATES INC 1200 HIGH RIDGE ROAD STAMFORD CT 06905 133804354 56700 SUBAWARD - SPONSORED RESEARCH HARTFORD HOSPITAL 80 SEYMOUR STREET HARTFORD CT 061025037 060646668 501(C)(3) 474996 SUBAWARD - SPONSORED RESEARCH HEALTH FIRST PHYSICIANS INC 1223 GATEWAY DRIVE MELBOURNE FL 32901 593346397 7097 SUBAWARD - SPONSORED RESEARCH HENRY M JACKSON FOUNDATION FOR THE ADVANCEMENT OF MILITARY MEDICINE 6720A ROCKLEDGE DRIVE SUITE 100 BETHESDA MD 20817 521317896 501(C)(3) 41835 SUBAWARD - SPONSORED RESEARCH HISPANIC HEALTH COUNCIL INC 175 MAIN STREET HARTFORD CT 06106 061018979 501(C)(3) 64424 SUBAWARD - SPONSORED RESEARCH HUGO W MOSER RESEARCH INSTITUTE AT KENNEDY KRIEGER INC 707 NORTH BROADWAY BALTIMORE MD 212051832 521524967 501(C)(3) 36340 SUBAWARD - SPONSORED RESEARCH ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI 1 GUSTAVE L LEVY PLACE NEW YORK NY 100296574 136171197 501(C)(3) 49246 SUBAWARD - SPONSORED RESEARCH ILLINOIS INSTITUTE OF TECHNOLOGY 3300 SOUTH FEDERAL STREET CHICAGO IL 60616 362170136 501(C)(3) 7853 SUBAWARD - SPONSORED RESEARCH INDIANA MEDICAL RESEARCH LLC 303 SOUTH NAPPANEE STREET ELKHART IN 46514 260303059 16339 SUBAWARD - SPONSORED RESEARCH INDIANA UNIVERSITY 400 EAST 7TH STREET BLOOMINGTON IN 474053024 356001673 501(C)(3) 59318 SUBAWARD - SPONSORED RESEARCH INNOVATIONS FOR POVERTY ACTION 101 WHITNEY AVENUE NEW HAVEN CT 06510 061660068 501(C)(3) 1784525 SUBAWARD - SPONSORED RESEARCH INSTITUTE FOR CLINICAL RESEARCH INC PO BOX 29545 WASHINGTON DC 200170745 521336656 501(C)(3) 87589 SUBAWARD - SPONSORED RESEARCH INSTITUTE FOR COMMUNITY RESEARCH INC 2 HARTFORD SQUARE WEST SUITE 100 HARTFORD CT 061065128 060653116 501(C)(3) 71750 SUBAWARD - SPONSORED RESEARCH IOWA NEUROLOGY RESEARCH INC PO BOX 65433 WEST DES MOINES IA 50265 920179923 8899 SUBAWARD - SPONSORED RESEARCH IOWA STATE UNIVERSITY OF SCIENCE AND TECHNOLOGY 3609 ADMINISTRATIVE SVCS BLDG AMES IA 500113609 426004224 STATE OF IOWA 80837 SUBAWARD - SPONSORED RESEARCH J CRAIG VENTER INSTITUTE 9704 MEDICAL CENTER DRIVE ROCKVILLE MD 20850 521842938 501(C)(3) 158352 SUBAWARD - SPONSORED RESEARCH JOHNS HOPKINS UNIVERSITY 3910 KESWICK ROAD BALTIMORE MD 21211 520595110 501(C)(3) 326156 SUBAWARD - SPONSORED RESEARCH JUNTA FOR PROGRESSIVE ACTION INC 169 GRAND AVENUE NEW HAVEN CT 06513 237066862 501(C)(3) 90346 SUBAWARD - SPONSORED RESEARCH KALEIDA HEALTH 100 HIGH STREET BUFFALO NY 14203 161533232 501(C)(3) 12671 SUBAWARD - SPONSORED RESEARCH KESSLER FOUNDATION INC 300 EXECUTIVE DRIVE SUITE 70 WEST ORANGE NJ 070521424 311562134 501(C)(3) 28640 SUBAWARD - SPONSORED RESEARCH L2 DIAGNOSTICS LLC PO BOX 8175 NEW HAVEN CT 065300175 061509946 191824 SUBAWARD - SPONSORED RESEARCH LANKENAU INSTITUTE FOR MEDICAL RESEARCH 100 LANCASTER AVENUE WYNNEWOOD PA 19096 232175659 501(C)(3) 16464 SUBAWARD - SPONSORED RESEARCH LIBERTY COMMUNITY SERVICES 129 CHURCH STREET 2ND FLOOR NEW HAVEN CT 06510 222849124 501(C)(3) 211670 SUBAWARD - SPONSORED RESEARCH LOUISIANA STATE UNIVERSITY AND AGRICULTURAL & MECHANICAL COLLEGE 6400 PERKINS ROAD BATON ROUGE LA 70808 726000848 501(C)(3) 20869 SUBAWARD - SPONSORED RESEARCH LOVELACE BIOMEDICAL AND ENVIRONMENTAL INSTITUTE 2425 RIDGECREST DRIVE SE ALBUQUERQUE NM 87108 510154068 501(C)(3) 7434 SUBAWARD - SPONSORED RESEARCH LOYOLA UNIVERSITY OF CHICAGO 820 N MICHIGAN AVENUE CHICAGO IL 606112147 361408475 501(C)(3) 10032 SUBAWARD - SPONSORED RESEARCH MASSACHUSETTS GENERAL HOSPITAL PO BOX 3829 BOSTON MA 022413829 042697983 501(C)(3) 787729 SUBAWARD - SPONSORED RESEARCH MASSACHUSETTS INSTITUTE OF TECHNOLOGY 77 MASSACHUSETTS AVENUE CAMBRIDGE MA 021394307 042103594 501(C)(3) 825592 SUBAWARD - SPONSORED RESEARCH MAYO CLINIC PO BOX 4006 ROCHESTER MN 559034006 416011702 501(C)(3) 161392 SUBAWARD - SPONSORED RESEARCH MEDICAL UNIVERSITY OF SOUTH CAROLINA 19 HAGOOD AVENUE CHARLESTON SC 294258040 576000722 STATE OF SC 22732 SUBAWARD - SPONSORED RESEARCH MEMORIAL SLOAN-KETTERING CANCER CENTER PO BOX 26338 NEW YORK NY 10087 131924236 501(C)(3) 390019 SUBAWARD - SPONSORED RESEARCH METROHEALTH SYSTEM PO BOX 73308 CLEVELAND OH 44193 346004382 CUYAHOGA COUNTY 7529 SUBAWARD - SPONSORED RESEARCH MIDWESTERN CONNECTICUT COUNCIL ON ALCOHOLISM INC 38 OLD RIDGEBURY ROAD DANBURY CT 06810 060890278 501(C)(3) 36750 SUBAWARD - SPONSORED RESEARCH MINNEAPOLIS CLINIC OF NEUROLOGY LTD 4225 GOLDEN VALLEY ROAD GOLDEN VALLEY MN 55422 410999094 12303 SUBAWARD - SPONSORED RESEARCH MONTCLAIR STATE UNIVERSITY 1 NORMAL AVENUE MONTCLAIR NJ 07043 222912682 STATE OF NJ 11571 SUBAWARD - SPONSORED RESEARCH MORGAN STATE UNIVERSITY 1700 EAST COLD SPRING LANE BALTIMORE MD 21251 526002033 STATE OF MD 138180 SUBAWARD - SPONSORED RESEARCH NARROWS INSTITUTE FOR BIOMEDICAL RESEARCH 800 POLY PLACE BROOKLYN NY 11209 113059470 501(C)(3) 253311 SUBAWARD - SPONSORED RESEARCH NATIONAL DIAPER BANK NETWORK INC 129 CHURCH ST STE 611 NEW HAVEN CT 06510 452823935 501(C)(3) 6892 SUBAWARD - SPONSORED RESEARCH NATIONAL JEWISH HEALTH 1400 JACKSON STREET DENVER CO 80206 742044647 501(C)(3) 148433 SUBAWARD - SPONSORED RESEARCH NEW HAVEN DIAPER BANK INCORPORATED PO BOX 9017 NEW HAVEN CT 06532 201179912 501(C)(3) 10929 SUBAWARD - SPONSORED RESEARCH NEW HAVEN FAMILY ALLIANCE INC 370 JAMES STREET SUITE 201 NEW HAVEN CT 06513 061324343 501(C)(3) 252136 SUBAWARD - SPONSORED RESEARCH NEW REACH INC 153 EAST STREET NEW HAVEN CT 06511 223037451 501(C)(3) 54212 SUBAWARD - SPONSORED RESEARCH NEW YORK UNIVERSITY 105 E 17TH STREET NEW YORK NY 100039580 135562308 501(C)(3) 630487 SUBAWARD - SPONSORED RESEARCH NORTH CAROLINA STATE UNIVERSITY CAMPUS BOX 7203 RALEIGH NC 276957203 566000756 STATE OF NC 211029 SUBAWARD - SPONSORED RESEARCH NORTHEAST IOWA MEDICAL EDUCATION FOUNDATION INC 2055 KIMBALL AVENUE WATERLOO IA 50702 421058745 501(C)(3) 5461 SUBAWARD - SPONSORED RESEARCH NORTHERN CALIFORNIA INSTITUTE FOR RESEARCH AND EDUCATION INC 4150 CLEMENT STREET SAN FRANCISCO CA 94121 943084159 501(C)(3) 68646 SUBAWARD - SPONSORED RESEARCH NORTHWESTERN UNIVERSITY 633 CLARK STREET EVANSTON IL 602081112 362167817 501(C)(3) 1737994 SUBAWARD - SPONSORED RESEARCH OAKLAND UNIVERSITY 529 WILSON HALL ROCHESTER MI 483094401 381714400 STATE OF MI 110296 SUBAWARD - SPONSORED RESEARCH OCEAN STATE RESEARCH INSTITUTE INC 830 CHALKSTONE AVENUE PROVIDENCE RI 029084734 050440574 501(C)(3) 67124 SUBAWARD - SPONSORED RESEARCH OHIO STATE UNIVERSITY 1960 KENNY ROAD COLUMBUS OH 43210 316025986 STATE OF OH 32809 SUBAWARD - SPONSORED RESEARCH OHIO STATE UNIVERSITY RESEARCH FOUNDATION 1960 KENNY ROAD 4TH FLOOR COLUMBUS OH 432101063 316401599 501(C)(3) 12231 SUBAWARD - SPONSORED RESEARCH OKLAHOMA MEDICAL RESEARCH FOUNDATION 825 NORTHEAST 13TH STREET OKLAHOMA CITY OK 73104 730580274 501(C)(3) 19043 SUBAWARD - SPONSORED RESEARCH OREGON HEALTH & SCIENCE UNIVERSITY 2525 SW FIRST AVENUE SUITE 220 PORTLAND OR 97201 931176109 STATE OF OR 102477 SUBAWARD - SPONSORED RESEARCH OREGON STATE UNIVERSITY PO BOX 1086 CORVALLIS OR 973391086 481278540 STATE OF OR 122725 SUBAWARD - SPONSORED RESEARCH PENNSYLVANIA STATE UNIVERSITY 500 UNIVERSITY DRIVE HERSHEY PA 17033 246000376 STATE OF PA 27476 SUBAWARD - SPONSORED RESEARCH PHARMASEQ INC 11 DEER PARK DRIVE SUITE 104 MONMOUTH JUNCTION NJ 08852 510439937 74589 SUBAWARD - SPONSORED RESEARCH PHOTON ACQUISITION CORPORATION DBA SOLAERO TECHNOLOGIES CORP 10420 RESEARCH ROAD SE ALBUQUERQUE NM 87123 471941203 104938 SUBAWARD - SPONSORED RESEARCH PORIFERA INC 3502 BREAKWATER COURT HAYWARD CA 94545 262704998 106045 SUBAWARD - SPONSORED RESEARCH PPG INDUSTRIES INC DBA PPG COATINGS & RESINS R&D 4325 ROSANNA DRIVE ALLISON PARK PA 15101 250730780 29809 SUBAWARD - 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SPONSORED RESEARCH REGENTS OF THE UNIVERSITY OF CALIFORNIA AT SAN DIEGO 9500 GILMAN DRIVE LA JOLLA CA 920930009 956006144 501(C)(3) 912666 SUBAWARD - SPONSORED RESEARCH REGENTS OF THE UNIVERSITY OF CALIFORNIA DAVIS 4860 Y STREET SUITE 3700 SACRAMENTO CA 95817 946036494 501(C)(3) 83151 SUBAWARD - SPONSORED RESEARCH REGENTS UNIVERSITY OF CALIFORNIA LOS ANGELES 405 HILGARD AVENUE LOS ANGELES CA 900959000 956006143 501(C)(3) 1515055 SUBAWARD - SPONSORED RESEARCH REGENTS OF THE UNIVERSITY OF CALIFORNIA SAN FRANCISCO 1855 FOLSOM STREET SAN FRANCISCO CA 94143 946036493 501(C)(3) 988382 SUBAWARD - SPONSORED RESEARCH REGENTS OF THE UNIVERSITY OF COLORADO PO BOX 238 DENVER CO 802910238 846000555 STATE OF CO 450546 SUBAWARD - SPONSORED RESEARCH REGENTS OF THE UNIVERSITY OF MICHIGAN 3003 S STATE STREET ANN ARBOR MI 481091287 386006309 501(C)(3) 511789 SUBAWARD - SPONSORED RESEARCH REGENTS OF THE UNIVERSITY OF MINNESOTA PO BOX 1450 MINNEAPOLIS MN 554855957 416007513 STATE OF MN 225413 SUBAWARD - SPONSORED RESEARCH RESEARCH FOUNDATION OF THE CITY UNIVERSITY OF NEW YORK 230 WEST 41ST STREET NEW YORK NY 10036 131988190 501(C)(3) 279697 SUBAWARD - SPONSORED RESEARCH RHODE ISLAND HOSPITAL 593 EDDY STREET PROVIDENCE RI 02903 050258954 501(C)(3) 47305 SUBAWARD - SPONSORED RESEARCH RTI INTERNATIONAL PO BOX 12194 RESEARCH TRIANGLE PARK NC 277092194 560686338 501(C)(3) 5959 SUBAWARD - SPONSORED RESEARCH RUSH UNIVERSITY MEDICAL CENTER 1725 WEST HARRISON STREET CHICAGO IL 60612 362174823 501(C)(3) 8053 SUBAWARD - SPONSORED RESEARCH RUTGERS THE STATE UNIVERSITY 3 RUTGERS PLAZA NEW BRUNSWICK NJ 08901 226001086 501(C)(3) 252837 SUBAWARD - SPONSORED RESEARCH SAINT FRANCIS MEDICAL CENTER 530 NE GLEN OAK AVENUE PEORIA IL 61637 370662569 501(C)(3) 35953 SUBAWARD - SPONSORED RESEARCH SAGE ANALYTICA 4915 ST ELMO AVENUE SUITE 205 BETHESDA MD 20814 260603861 213939 SUBAWARD - SPONSORED RESEARCH SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE 10901 NORTH TORREY PINES ROAD LA JOLLA CA 92037 510197108 501(C)(3) 264725 SUBAWARD - SPONSORED RESEARCH SCRIPPS HEALTH 11025 N TORREY PINES ROAD SUITE 200 200 LA JOLLA CA 92037 951684089 501(C)(3) 5768 SUBAWARD - SPONSORED RESEARCH SEATTLE BIOMEDICAL RESEARCH INSTITUTE 307 WESTLAKE AVENUE SUITE 500 SEATTLE WA 981095219 910961784 501(C)(3) 92724 SUBAWARD - SPONSORED RESEARCH SEATTLE CHILDREN'S HOSPITAL PO BOX 24728 SEATTLE WA 981240728 910564748 501(C)(3) 285608 SUBAWARD - SPONSORED RESEARCH SENTARA MEDICAL GROUP 835 GLENROCK ROAD NORFOLK VA 23502 541217184 501(C)(3) 12003 SUBAWARD - SPONSORED RESEARCH SEPULVEDA RESEARCH CORPORATION 16111 PLUMMER STREET BLDG 200 NORTH HILLS CA 91343 954246275 501(C)(3) 32295 SUBAWARD - SPONSORED RESEARCH SMART POWER INC 1120 CONNECTICUT AVENUE NW SUITE 1040 WASHINGTON DC 20036 030375454 501(C)(3) 337221 SUBAWARD - SPONSORED RESEARCH SMITHSONIAN INSTITUTION PO BOX 37012 WASHINGTON DC 200137012 530206027 501(C)(3) 354642 SUBAWARD - SPONSORED RESEARCH SOCIAL SCIENCE RESEARCH COUNCIL ONE PIERREPONT PLAZA BROOKLYN NY 11201 131325070 501(C)(3) 165507 SUBAWARD - SPONSORED RESEARCH SOUTH CAROLINA RESEARCH FOUNDATION 901 SUMTER STREET 5TH FL COLUMBIA SC 29208 570967350 501(C)(3) 37093 SUBAWARD - SPONSORED RESEARCH SOUTHERN CONNECTICUT STATE UNIVERSITY 501 CRESCENT STREET NEW HAVEN CT 065151355 061363115 STATE OF CT 270549 SUBAWARD - SPONSORED RESEARCH SOUTHTOWN NEUROLOGY OF WNY PC 3775 SENECA STREET WEST SENECA NY 14224 161556670 7332 SUBAWARD - SPONSORED RESEARCH SRI INTERNATIONAL PO BOX 2767 MENLO PARK CA 940252767 941160950 501(C)(3) 28299 SUBAWARD - SPONSORED RESEARCH STANFORD UNIVERSITY 1215 WELCH ROAD STANFORD CA 943055401 941156365 501(C)(3) 128152 SUBAWARD - SPONSORED RESEARCH STATE OF CONNECTICUT 24 WOLCOTT HILL ROAD WETHERSFIELD CT 061091152 066000798 STATE OF CT 130296 SUBAWARD - SPONSORED RESEARCH TEMPLE UNIVERSITY 3401 N BROAD STREET PHILADELPHIA PA 19140 231365971 501(C)(3) 105739 SUBAWARD - SPONSORED RESEARCH TEXAS A&M UNIVERSITY 401 GEORGE BUSH DRIVE COLLEGE STATION TX 77840 746000531 501(C)(3) 11578 SUBAWARD - SPONSORED RESEARCH THE BOARD OF TRUSTEES OF THE UNIVERSITY OF ILLINOIS 912 S WOOD STREET CHICAGO IL 60612 376000511 501(C)(3) 456832 SUBAWARD - SPONSORED RESEARCH THE BROAD INSTITUTE INC 7 CAMBRIDGE CENTER CAMBRIDGE MA 02142 263428781 501(C)(3) 248727 SUBAWARD - SPONSORED RESEARCH THE BRONX VETERANS MEDICAL RESEARCH FOUNDATION INC 130 WEST KINGSBRIDGE ROAD BRONX NY 10468 133699250 501(C)(3) 113284 SUBAWARD - SPONSORED RESEARCH THE CHILDREN'S COMMUNITY PROGRAMS OF CT INC 446-A BLAKE STREET NEW HAVEN CT 06515 061579606 501(C)(3) 11985 SUBAWARD - SPONSORED RESEARCH THE CLEVELAND CLINIC FOUNDATION PO BOX 931562 CLEVELAND OH 441935012 340714585 501(C)(3) 30254 SUBAWARD - SPONSORED RESEARCH THE COLLEGE OF NEW JERSEY PO BOX 7718 ASB 201 EWING NJ 086280718 222797398 STATE OF NJ 21362 SUBAWARD - SPONSORED RESEARCH THE FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH 350 COMMUNITY DRIVE MANHASSET NY 11030 112673595 501(C)(3) 12500 SUBAWARD - SPONSORED RESEARCH THE GEORGE WASHINGTON UNIVERSITY 45155 RESEARCH PLACE SUITE 160 ASHBURN VA 20147 530196584 501(C)(3) 128796 SUBAWARD - SPONSORED RESEARCH THE HEBREW HOME FOR THE AGED AT RIVERDALE 5901 PALISADE AVENUE BRONX NY 10471 131739971 501(C)(3) 66641 SUBAWARD - SPONSORED RESEARCH THE HEKTOEN INSTITUTE OF MEDICINE 2240 WEST OGDEN AVENUE 2ND FLOOR CHICAGO IL 60612 362244897 501(C)(3) 37705 SUBAWARD - SPONSORED RESEARCH THE HOSPITAL FOR SPECIAL SURGERY FUND INC 535 EAST 70TH STREET NEW YORK NY 10021 136714749 501(C)(3) 13582 SUBAWARD - SPONSORED RESEARCH THE HOWARD UNIVERSITY 525 BRYANT STREET NW SUITE 137 WASHINGTON DC 20059 530204707 501(C)(3) 109821 SUBAWARD - SPONSORED RESEARCH THE INGALLS MEMORIAL HOSPITAL ONE INGALLS DRIVE HARVEY IL 60426 362170866 501(C)(3) 16525 SUBAWARD - SPONSORED RESEARCH THE JACKSON LABORATORY 610 MAIN STREET BAR HARBOR ME 046091500 010211513 501(C)(3) 11882 SUBAWARD - SPONSORED RESEARCH THE JOHN B PIERCE LABORATORY INC 290 CONGRESS AVENUE NEW HAVEN CT 06519 060646780 501(C)(3) 223579 SUBAWARD - SPONSORED RESEARCH THE CORPORATION OF MERCER UNIVERSITY 1501 MERCER UNIVERSITY DRIVE MACON GA 312070001 580566167 501(C)(3) 5833 SUBAWARD - SPONSORED RESEARCH THE METHODIST HOSPITAL RESEARCH INSTITUTE 6565 FANNIN SUITE 802 HOUSTON TX 77030 870721923 501(C)(3) 8936 SUBAWARD - SPONSORED RESEARCH THE NEBRASKA MEDICAL CENTER 985100 NEBRASKA MEDICAL CENTER OMAHA NE 681985100 911858433 501(C)(3) 27986 SUBAWARD - 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SPONSORED RESEARCH UNIVERSITY OF FLORIDA 123 GRINTER HALL PO BOX 113001 GAINESVILLE FL 32611 596002052 STATE OF FL 110229 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF GEORGIA RESEARCH FOUNDATION 240A RIVERBEND ROAD BOX 5333 ATHENS GA 306025333 581353149 501(C)(3) 18354 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF HAWAII 2600 CAMPUS ROAD HONOLULU HI 96822 996000354 STATE OF HI 118344 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF IOWA 105 JESSUP HALL IOWA CITY IA 52242 426004813 STATE OF IA 493338 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF KANSAS MEDICAL CENTER RESEARCH INSTITUTE 3901 RAINBOW BLVD MAIL STOP 1039 KANSAS CITY KS 66160 481108830 501(C)(3) 14326 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF KENTUCKY RESEARCH FOUNDATION 301 PETERSON SERVICE BUILDING LEXINGTON KY 405060005 616033693 501(C)(3) 16347 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF LOUISVILLE RESEARCH FOUNDATION STEVENSON HALL/BELKNAP CAMPUS LOUISVILLE KY 40292 611029626 501(C)(3) 111842 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF MAINE SYSTEM INC 5717 CORBETT HALL ORONO ME 044695717 016000769 501(C)(3) 67583 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF MARYLAND MEDICAL SYSTEM CORP PO BOX 41428 BALTIMORE MD 212036428 521362793 501(C)(3) 16220 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF MASSACHUSETTS 405 GOODELL BLDG 140 HICKS WAY AMHERST MA 010039272 043167352 STATE OF MA 628344 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF MIAMI PO BOX 248106 CORAL GABLES FL 331242912 590624458 501(C)(3) 55359 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF MISSOURI PO BOX 805111 KANSAS CITY MO 641805111 436003859 501(C)(3) 22542 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF NEW MEXICO 1 UNIVERSITY OF NEW MEXICO ALBUQUERQUE NM 871310001 856000642 501(C)(3) 6231 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL 103 SOUTH BUILDING CHAPEL HILL NC 27599 566001393 501(C)(3) 65330 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF NOTRE DAME 836A GRACE HALL NOTRE DAME IN 465565612 350868188 501(C)(3) 49807 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF OKLAHOMA PO BOX 26901 OKLAHOMA CITY OK 731260901 736017987 STATE OF OK 11831 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF PITTSBURGH PO BOX 371220 PITTSBURGH PA 152517220 250965591 501(C)(3) 541521 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF PUERTO RICO PO BOX 365067 ROOM B622 SAN JUAN PR 009365067 660433760 PUERTO RICO 151925 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF RHODE ISLAND 70 LOWER COLLEGE ROAD KINGSTON RI 028810811 056000522 STATE OF RI 361612 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF ROCHESTER 601 ELMWOOD AVENUE BOX 673 ROCHESTER NY 146428670 160743209 501(C)(3) 105121 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF SOUTH CAROLINA 1600 HAMPTON STREET SUITE 613 COLUMBIA SC 29208 576001153 STATE OF SC 56815 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF SOUTH FLORIDA 4202 E FOWLER AVENUE TAMPA FL 33620 593102112 STATE OF FL 17881 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF SOUTHERN CALIFORNIA 1540 ALCAZAR STREET SUITE 216 LOS ANGELES CA 90033 951642394 501(C)(3) 527512 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF TEXAS PO BOX 4390 HOUSTON TX 772104390 746000203 STATE OF TX 642578 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF TEXAS MEDICAL BRANCH 301 UNIVERSITY BLVD GALVESTON TX 77555 746000949 STATE OF TX 40700 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF TEXAS HEALTH SCIENCE CENTER AT SAN ANTONIO PO BOX 1898 SAN ANTONIO TX 782971898 741586031 501(C)(3) 373425 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF TEXAS SOUTHWESTERN MEDICAL CENTER 5323 HARRY HINES BLVD DALLAS TX 753908897 756002868 STATE OF TX 5976 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF THE VIRGIN ISLANDS 2 JOHN BREWERS BAY ST THOMAS VI 008029990 660432514 501(C)(3) 248896 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF UTAH 201 S PRESIDENTS CIRCLE SALT LAKE CITY UT 841129020 876000525 501(C)(3) 17150 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF VERMONT AND STATE AGRICULTURAL COLLEGE 106 CARRIGAN DRIVE BURLINGTON VT 054050160 030179440 501(C)(3) 1092902 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF VIRGINIA PO BOX 400195 CHARLOTTESVILLE VA 229044195 546001796 501(C)(3) 373686 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF WASHINGTON PO BOX 94224 SEATTLE WA 981246524 916001537 STATE OF WA 973288 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF WISCONSIN SYSTEM 750 HIGHLAND AVENUE MADISON WI 53705 391805963 STATE OF WI 128797 SUBAWARD - SPONSORED RESEARCH US CIVILLIAN RESEARCH AND DEVELOPMENT FOUNDATION 1776 WILSON BLVD 3RD FLOOR ARLINGTON VA 22209 541773406 501(C)(3) 178140 SUBAWARD - SPONSORED RESEARCH UTAH STATE UNIVERSITY 2400 OLD MAIN HILL LOGAN UT 843222400 876000528 501(C)(3) 14874 SUBAWARD - SPONSORED RESEARCH VANDERBILT UNIVERSITY 3319 WEST END AVENUE SUITE 700 NASHVILLE TN 372036840 620476822 501(C)(3) 318792 SUBAWARD - SPONSORED RESEARCH VETERANS MEDICAL RESEARCH FOUNDATION OF SAN DIEGO 3350 LA JOLLA VILLAGE DRIVE SAN DIEGO CA 921610001 330189397 501(C)(3) 190475 SUBAWARD - SPONSORED RESEARCH VIA CHRISTI HOSPITALS WICHITA INC 1100 N SAINT FRANCIS WICHITA KS 67214 481172106 501(C)(3) 24359 SUBAWARD - SPONSORED RESEARCH WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE BOX 1034 SAINT LOUIS MO 631121408 430653611 501(C)(3) 104601 SUBAWARD - SPONSORED RESEARCH WAYNE STATE UNIVERSITY PO BOX 02788 DETROIT MI 48202 386028429 501(C)(3) 99858 SUBAWARD - SPONSORED RESEARCH WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 575 LEXINGTON AVENUE 9TH FLOOR NEW YORK NY 10022 131623978 501(C)(3) 177125 SUBAWARD - SPONSORED RESEARCH ABILIS COMMUNITY FOUNDATION INC 50 GLENVILLE STREET GREENWICH CT 06831 061331293 501(C)(3) 100000 DAF DISTRIBUTIONS DONORS TRUST INC 109 N HENRY STREET ALEXANDRIA VA 22314 522166327 501(C)(3) 200000 DAF DISTRIBUTIONS DOROT INC 171 WEST 85TH STREET NEW YORK NY 10024 133264005 501(C)(3) 50000 DAF DISTRIBUTIONS THE UNIVERSITY OF CONNECTICUT FOUNDATION INC 2390 ALUMNI DRIVE STORRS CT 06269 066070722 501(C)(3) 200000 DAF DISTRIBUTIONS UNITED JEWISH APPEAL FEDERATION OF JEWISH PHILANTHROPIES OF NEW YORK INC 130 EAST 59TH STREET NEW YORK NY 100221302 510172429 501(C)(3) 50000 DAF DISTRIBUTIONS UNIVERSITY OF CHICAGO 5801 S ELLIS AVENUE CHICAGO IL 60637 362177139 501(C)(3) 50000 DAF DISTRIBUTIONS AMISTAD ACADEMY INC 403 JAMES STREET NEW HAVEN CT 06513 061546695 501(C)(3) 100000 CHARITABLE CONTRIBUTION BEULAH LAND DEVELOPMENT CORP 782 ORCHARD STREET NEW HAVEN CT 065113306 061419774 501(C)(3) 7500 CHARITABLE CONTRIBUTION CITY OF NEW HAVEN 200 ORANGE STREET NEW HAVEN CT 06510 066001876 CITY-NEW HAVEN 1500 CHARITABLE CONTRIBUTION CONNECTICUT ASSOCIATION FOR THE PERFORMING ARTS 55 E STATE STREET COLUMBUS OH 43215 061625278 501(C)(3) 1500 CHARITABLE CONTRIBUTION LEADERSHIP EDUCATION & ATHLETIC IN PARTNERSHIP INC 31 JEFFERSON STREET NEW HAVEN CT 06511 222906547 501(C)(3) 2500 CHARITABLE CONTRIBUTION MUSIC HAVEN INC 117 WHALLEY AVENUE NEW HAVEN CT 06511 010870395 501(C)(3) 15500 CHARITABLE CONTRIBUTION NEW HAVEN INTERNATIONAL FESTIVAL OF ARTS AND IDEAS INC 195 CHURCH STREET 12TH FLOOR NEW HAVEN CT 06511 061444222 501(C)(3) 2500 CHARITABLE CONTRIBUTION TEACH FOR AMERICA INC 315 WEST 36TH STREET 8TH FLOOR NEW YORK NY 10018 133541913 501(C)(3) 100000 CHARITABLE CONTRIBUTION ULYSSES S GRANT FOUNDATION PO BOX 200082 YALE STATION NEW HAVEN CT 06520 066071625 501(C)(3) 10000 CHARITABLE CONTRIBUTION UNITED WAY OF GREATER NEW HAVEN INC 370 JAMES STREET NEW HAVEN CT 06513 060646761 501(C)(3) 106000 CHARITABLE CONTRIBUTION ARTSPACE INC 50 ORANGE STREET NEW HAVEN CT 06510 222533535 501(C)(3) 11800 COMMUNITY SUPPORT CHAPEL HAVEN INC 1040 WHALLEY AVENUE NEW HAVEN CT 06515 060925031 501(C)(3) 10000 COMMUNITY SUPPORT CITY OF NEW HAVEN 200 ORANGE STREET NEW HAVEN CT 06510 066001876 CITY-NEW HAVEN 27250 COMMUNITY SUPPORT CONNECTICUT ASSOCIATION FOR THE PERFORMING ARTS 55 E STATE STREET COLUMBUS OH 43215 061625278 501(C)(3) 126500 COMMUNITY SUPPORT CONSTRUCTION WORKFACT INITIATIVE 2 INC PO BOX 624 NEW HAVEN CT 06510 743227736 501(C)(3) 10000 COMMUNITY SUPPORT DWIGHT HALL AT YALE PO BOX 209008 NEW HAVEN CT 06520 060653140 501(C)(3) 50531 COMMUNITY SUPPORT LEADERSHIP EDUCATION AND ATHLETIC IN PARTNERSHIP INC 31 JEFFERSON STREET NEW HAVEN CT 06511 222906547 501(C)(3) 15000 COMMUNITY SUPPORT MARKET NEW HAVEN INC 900 CHAPEL STREET NEW HAVEN CT 06510 061578847 501(C)(6) 262500 COMMUNITY SUPPORT NEW HAVEN INTERNATIONAL FESTIVAL OF ARTS AND IDEAS INC 195 CHURCH STREET 12TH FLOOR NEW HAVEN CT 06510 061444222 501(C)(3) 120000 COMMUNITY SUPPORT NEW HAVEN WORKS INC 205 WHITNEY AVENUE NO 106 NEW HAVEN CT 06511 462662124 501(C)(3) 50000 COMMUNITY SUPPORT NEW HAVEN YOUTH TENNIS & EDUCATION 80 SEAVIEW TERRACE ROOM SUITE 37 GUILFORD CT 06437 270772846 501(C)(3) 30000 COMMUNITY SUPPORT READ TO GROW INC 53 SCHOOL GROUND ROAD UNIT 3 BRANFORD CT 06405 061572185 501(C)(3) 10500 COMMUNITY SUPPORT SQUASH HAVEN INC 70 TOWER PARKWAY NEW HAVEN CT 06520 205500876 501(C)(3) 63000 COMMUNITY SUPPORT THE GREATER NEW HAVEN CHAMBER OF COMMERCE INC 900 CHAPEL STREET NEW HAVEN CT 06510 060468900 501(C)(6) 66000 COMMUNITY SUPPORT THE TENNIS FOUNDATION OF CONNECTICUT INC 900 CHAPEL STREET SUITE 622 NEW HAVEN CT 06510 061287098 501(C)(3) 300000 COMMUNITY SUPPORT ULYSSES S GRANT FOUNDATION PO BOX 200082 YALE STATION NEW HAVEN CT 06520 066071625 501(C)(3) 5000 COMMUNITY SUPPORT WALTER CAMP FOOTBALL FOUNDATION PO BOX 1663 NEW HAVEN CT 06507 066099383 501(C)(4) 10000 COMMUNITY SUPPORT WOMEN MAKE MOVIES INC 115 WEST 29TH STREET NEW YORK NY 10001 132740460 501(C)(3) 15000 COMMUNITY SUPPORT THE COMMUNITY FOUNDATION FOR GREATER NEW HAVEN 70 AUDUBON STREET NEW HAVEN CT 06510 066032106 501(C)(3) 1200920 SCHOLARSHIPS 247 25 STUDENT STIPENDS 3867 68455585 SCHOLARSHIPS 7876 257618443 COST TUITION REDUCTION HEALTH PREMIUM AWARDS 2756 10384828 COST HEALTHCARE FELLOWSHIPS 1102 6898815 PRIZES AND AWARDS 1363 3466914 SCHEDULE I, PART I, LINE 2: WITH RESPECT TO SPONSORED PROJECT ACTIVITY SUBCONTRACTED TO OTHER ENTITIES, THE UNIVERSITY'S POLICY AND PROCEDURES FOR MONITORING SUB RECIPIENT AWARDS ("SUBWARDS") ARE INTENDED TO ESTABLISH APPROPRIATE AND EFFECTIVE MECHANISMS TO PROMOTE COMPLIANCE WITH FEDERAL AND NON-FEDERAL REQUIREMENTS AND CONTRACTUAL ARRANGEMENTS, INCLUDING THE PROPER MONITORING AND STEWARDSHIP OF AWARDED FUNDS. PROPER MONITORING OF A SUBAWARD ENSURES THAT AWARDED FUNDS ARE USED FOR AUTHORIZED PURPOSES, PERFORMANCE GOALS ARE MET AND THE SUB RECIPIENT IS IN COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE SUB RECIPIENT AGREEMENT. SUB RECIPIENT MONITORING PROCEDURES INCLUDE BUT ARE NOT LIMITED TO THE FOLLOWING ACTIVITIES: A FORMAL PRE-QUALIFICATION PROCESS FOR SUB RECIPIENTS, PRE-AWARD AND POST-AWARD MONITORING OF SUB RECIPIENTS TO REVIEW THE FINANCIAL STATUS AND MANAGEMENT CONTROLS, COMPLIANCE CERTIFICATIONS, REVIEW OF COMPLIANCE WITH REGULATIONS RELATIVE TO THE USE OF HUMAN SUBJECTS AND ANIMALS, IDENTIFICATION AND MANAGEMENT OF ANY CONFLICT OF INTEREST WITH A SUB RECIPIENT ENTITY, AND A REVIEW OF PERTINENT OTHER ORGANIZATION INFORMATION. IN ACCORDANCE WITH THESE PROCEDURES, THE UNIVERSITY REVIEWS THE SUB RECIPIENT'S ADMINISTRATION, FINANCIAL STATEMENTS, BILLINGS, SCIENTIFIC PROGRESS, TECHNICAL REPORTS AND DELIVERABLES OF AN ACTIVE SUBAWARD REGULARLY AND CONDUCTS ON-GOING RISK ASSESSMENTS AS WELL AS QUARTERLY QUALITY ASSURANCE REVIEWS ON RANDOMLY SELECTED SUBAWARDS. IN ADDITION TO A MONTHLY DEPARTMENTAL REVIEW, THE UNIVERSITY MONITORS A SUB RECIPIENT'S COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE SUBAWARD ANNUALLY AND UPON CLOSEOUT OF THE SUB RECIPIENT AGREEMENT. IF ANY OF THESE MONITORING PROCEDURES RESULT IN FINDINGS, THE UNIVERSITY WILL TAKE CORRECTIVE ACTION AS NECESSARY. THE PROCEDURES SERVE TO ENSURE THAT THE SUBAWARDS ARE USED FOR PROPER PURPOSES AND NOT DIVERTED FROM THEIR INTENDED USE. SCHEDULE I, PART II: A SUBAWARD IS AN AWARD OF FINANCIAL SUPPORT FROM THE UNIVERSITY TO A QUALIFIED THIRD PARTY PRIMARILY TO PERFORM RESEARCH AND OTHER RELATED PROGRAMMATIC EFFORTS UNDER A SPONSORED RESEARCH PROJECT. SCHEDULE I, PART III: THE AMOUNTS REPORTED IN PART III REPRESENT AN ESTIMATE OF TOTAL AWARDS FOR THE FISCAL YEAR ENDED JUNE 30, 2015 BASED ON INFORMATION PROVIDED BY THE UNIVERSITY'S UNDERGRADUATE, GRADUATE AND PROFESSIONAL SCHOOLS. SOME STUDENTS RECEIVED MORE THAN ONE AWARD DURING THE FISCAL YEAR ENDED JUNE 30, 2015. X X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 PETER SALOVEY TRUSTEE & PRESIDENT 845240 0 0 0 106472 0 209575 0 25507 0 1186794 0 0 0 BRUCE D ALEXANDER VP FOR NEW HAVEN & STATE AFFAIRS 493919 0 0 0 52592 0 30200 0 12070 0 588781 0 0 0 KIMBERLY M GOFF-CREWS SECRETARY & VP FOR STUDENT LIFE 364302 0 0 0 17500 0 29575 0 8743 0 420120 0 0 0 SHAUNA R KING VP FOR FINANCE & BUSINESS OPERATIONS 549790 0 0 0 17500 0 29575 0 13676 0 610541 0 0 0 LINDA K LORIMER VP FOR GLOBAL & STRAT. INITIATIVES 520076 0 0 0 30229 0 28950 0 17889 0 597144 0 0 0 JOAN E O'NEILL VP FOR DEVELOPMENT 408664 0 0 0 50897 0 29888 0 37829 0 527278 0 0 0 MICHAEL A PEEL VP FOR HR & ADMINISTRATION 493030 0 0 0 77513 0 30200 0 20220 0 620963 0 0 0 BENJAMIN POLAK PROVOST 549940 0 0 0 17500 0 29575 0 841 0 597856 0 0 0 DOROTHY K ROBINSON VP & GENERAL COUNSEL 548201 0 0 0 17500 0 29575 0 9844 0 605120 0 0 0 SCOTT A STROBEL VP FOR WEST CAMPUS PLANNING 391814 0 0 0 28469 0 31762 0 24334 0 476379 0 0 0 ROBERT J ALPERN DEAN SCHOOL OF MEDICINE 835151 0 0 0 17500 0 29575 0 3130 0 885356 0 0 0 JOHN H BOLLIER AVP FOR FACILITIES 370490 0 0 0 0 0 29887 0 37248 0 437625 0 0 0 RICHARD C LEVIN PRESIDENT EMERITUS 209414 0 0 0 4375 0 0 0 4452 0 218241 0 0 0 DAVID F SWENSEN CHIEF INVESTMENT OFFICER 774665 0 2307309 0 1806314 0 217932 0 29505 0 5135725 0 867438 0 DEAN J TAKAHASHI SR DIRECTOR INVESTMENTS 580831 0 1730482 0 417500 0 202431 0 17650 0 2948894 0 0 0 KHALID M ABBED CHIEF, NEUROSURGERY SPINE 246294 0 1013354 0 0 0 29262 0 30844 0 1319754 0 0 0 DAVID MULLIGAN PROFESSOR OF SURGERY (TRANSPLANT) 790751 0 468000 0 0 0 29575 0 25521 0 1313847 0 0 0 THOMAS J RUTHERFORD PROFESSOR, OB/GYN 252661 0 1138391 0 13569 0 28950 0 11547 0 1445118 0 0 0 TIMOTHY R SULLIVAN DIRECTOR INVESTMENTS 570431 0 608792 0 17500 0 432908 0 44863 0 1674494 0 191667 0 DAVID D YUH PROFESSOR OF CARDIAC SURGERY 842755 0 368125 0 17500 0 29575 0 30966 0 1288921 0 0 0 MICHAEL J DONOGHUE FORMER VP FOR WEST CAMPUS PLANNING 243517 0 0 0 17500 0 29200 0 35720 0 325937 0 0 0 PART I, LINE 1A EACH ONE OF THE BENEFITS THAT WAS CHECKED WAS PROVIDED PURSUANT TO A WRITTEN POLICY. FIRST-CLASS OR CHARTER TRAVEL: ON OCCASION DURING THE CALENDAR YEAR 2014, THE UNIVERSITY CHARTERED PRIVATE AIRCRAFT WHEN DEEMED NECESSARY FOR THE CONDUCT OF UNIVERSITY BUSINESS, PURSUANT TO A CORPORATION POLICY. TWO OFFICERS TRAVELLED ON SUCH FLIGHTS IN 2014 IN ACCORDANCE WITH THE POLICY. UNDER APPLICABLE RULES, AMOUNTS FOR SUCH TRAVEL WERE NOT REPORTED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. TRAVEL FOR COMPANIONS: THE SPOUSE OF ONE OFFICER ON OCCASION ACCOMPANIED THE OFFICER ON UNIVERSITY BUSINESS. THE PRIMARY PURPOSE OF THE TRAVEL WAS TO CONDUCT UNIVERSITY BUSINESS BY REPRESENTING THE UNIVERSITY AT OFFICIAL FUNCTIONS. UNDER APPLICABLE RULES, THE COST OF TRAVEL WAS NOT REQUIRED TO BE REPORTED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUAL. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: THREE OFFICERS RECEIVED TAX GROSS-UP PAYMENTS DURING THE CALENDAR YEAR 2014 FOR CERTAIN LIMITED TAXABLE BENEFITS BASED ON THEIR ESTIMATED RELATED TAX OBLIGATIONS. THESE PAYMENTS WERE TREATED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE: AS A CONDITION OF HIS EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY, THE PRESIDENT IS REQUIRED TO LIVE ON CAMPUS IN AN APARTMENT (COMPLETED IN AUGUST 2014) WITHIN THE PRESIDENT'S HOUSE. THE ESTIMATED FAIR MARKET RENTAL VALUE OF THIS HOUSING IS INCLUDED AS A NONTAXABLE BENEFIT IN SCHEDULE J, PART II, COLUMN (D). IN ADDITION, TWO OFFICERS WERE PROVIDED UNIVERSITY RESIDENCES FOR PERSONAL USE DURING THE CALENDAR YEAR 2014. THE VALUES OF THE RESIDENCES WERE DETERMINED PURSUANT TO IRC SECTION 119(D), AS REQUIRED, AND TREATED AS TAXABLE COMPENSATION. IN ADDITION, ONE OFFICER RECEIVED A HOUSING ALLOWANCE WHICH WAS TREATED AS TAXABLE COMPENSATION TO THE INDIVIDUAL DURING CALENDAR YEAR 2014. PERSONAL SERVICES: IN CONNECTION WITH UNIVERSITY BUSINESS ACTIVITY, ONE OFFICER RECEIVED SUPPORT FROM A SERVICE ASSISTANT; THE COST OF PERSONAL SERVICES RENDERED BY THAT ASSISTANT WAS TREATED AS TAXABLE COMPENSATION. PART I, LINE 4B CERTAIN LISTED PERSONS PARTICIPATED IN SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS DURING THE CALENDAR YEAR 2014 AS DESCRIBED BELOW: THE UNIVERSITY AGREED TO SUPPLEMENT THE PRESIDENT'S RETIREMENT INCOME BY MAKING AN ANNUAL CONTRIBUTION TO A NONQUALIFIED DEFERRED COMPENSATION PLAN, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY AND ADJUSTED FOR EARNINGS BASED ON POSITIVE PERFORMANCE OF THE ENDOWMENT. THE CURRENT YEAR ACCRUAL OF COMPENSATION ASSOCIATED WITH THIS PLAN IS INCLUDED IN SCHEDULE J, PART II, COLUMN (C). THE UNIVERSITY PREVIOUSLY AGREED TO SUPPLEMENT THE RETIREMENT INCOME FOR TWO KEY EMPLOYEES IN THE INVESTMENTS OFFICE BY PROVIDING AN ADDITIONAL RETIREMENT BENEFIT EQUAL IN VALUE TO A PERCENTAGE OF SALARY AT VESTING, FOR A TERM OF 20 YEARS, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY. AN ANNUAL ACCRUAL FOR THE ADDITIONAL RETIREMENT BENEFITS IS INCLUDED IN SCHEDULE J, PART II, COLUMN (C). FOR ONE KEY EMPLOYEE, A PORTION OF THIS ADDITIONAL BENEFIT WAS VESTED AND PAID IN 2014 AND IS REFLECTED IN SCHEDULE J, PART II, COLUMN (B)(III). IN ADDITION, THE UNIVERSITY AWARDED BONUSES TO THE TWO PREVIOUSLY MENTIONED EMPLOYEES IN THE INVESTMENTS OFFICE THAT WERE TAXED IN 2014 AND SUBJECT TO DEFERRED PAYMENT WITH ADJUSTMENTS UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE ENDOWMENT. THESE BONUSES FOR 2014 ARE INCLUDED IN SCHEDULE J, PART II, COLUMN B(III). SCHEDULE J, PART I, LINE 7: THE UNIVERSITY PAID TWO KEY EMPLOYEES IN THE INVESTMENTS OFFICE BONUSES AWARDED UNDER A LONG TERM INCENTIVE COMPENSATION PLAN WHICH PROVIDES FOR PAYMENTS WHICH ARE BASED ON QUALITATIVE AND QUANTITATIVE PERFORMANCE FACTORS. THE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). THE UNIVERSITY PAID A HIGHLY COMPENSATED EMPLOYEE A BONUS UNDER A LONG TERM INCENTIVE COMPENSATION PLAN WHICH PROVIDES FOR DEFERRED VESTING CONTINGENT ON THE PERFORMANCE OF FUTURE SERVICES AND MAY CHANGE UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE ENDOWMENT PRIOR TO VESTING AND PAYMENT. THE CURRENT YEAR PAYMENT THAT WAS AWARDED IN PREVIOUS YEARS IS REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). THE AMOUNT AWARDED IN THE CURRENT YEAR BUT SUBJECT TO DEFERRED VESTING IS INCLUDED AS DEFERRED COMPENSATION ON SCHEDULE J, PART II, COLUMN (C). THE UNIVERSITY ALSO PAID FOUR HIGHLY COMPENSATED EMPLOYEES ADDITIONAL COMPENSATION PURSUANT TO CLINICAL INCENTIVE PLANS. IN ADDITION, ONE HIGHLY COMPENSATED INDIVIDUAL RECEIVED A SIGNING BONUS WHICH WAS APPROVED IN ACCORDANCE WITH UNIVERSITY POLICIES. THE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). SCHEDULE J, PART II (GENERAL NOTES): COLUMN (D): IN ADDITION TO THE EMPLOYER COST OF HEALTH, DENTAL AND OTHER NONTAXABLE BENEFITS AVAILABLE ON A NONDISCRIMINATORY BASIS, COLUMN (D) INCLUDES AMOUNTS AWARDED AS SCHOLARSHIP GRANTS TO CHILDREN OF EMPLOYEES UNDER THE UNIVERSITY'S NONDISCRIMINATORY QUALIFIED TUITION REDUCTION PLAN COVERING ALL ELIGIBLE FACULTY AND STAFF WITH SIX OR MORE YEARS OF SERVICE. COLUMN (F): COMPENSATION REPORTED IN PRIOR FORM 990: THIS AMOUNT IS ALSO INCLUDED IN COLUMN (E). IT IS, THEREFORE, DOUBLE REPORTED IN PART II AND DOES NOT REPRESENT ADDITIONAL COMPENSATION. A STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774LZC2 2003-01-08 250000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 B STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774L6B6 2005-10-05 211030000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 C STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774L6C4 2005-10-05 100000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 D STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UPP4 2007-10-04 414292000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 A 252221323 252221323 2009 0 0 1 1 B 219949777 219949777 2012 0 0 1 1 C 104887356 104887356 2012 0 0 1 1 D 424106796 424106796 2012 0 0 1 1 A 0 1 1 0 1 0 0.00000 0.00100 0.00100 0 0 1 B 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 D 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 0 1 0 1 0 0 0 1 D 0 0 1 0 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORI DATE THE REBATE COMPUTATION WAS PERFORMED: 02/24/2015 SCHEDULE K, PART I, BOND ISSUE, COLUMN (F): CHEFA BONDS ISSUED 2/24/2010 (CUSIP# 20774UU60) - AND TO DEFEASE CHEFA SERIES W BONDS ISSUED 4/2002. SCHEDULE K, PART II, PROCEEDS, QUESTION 3: TOTAL PROCEEDS OF ISSUE REPRESENT THE ISSUE PRICE (PART I, COLUMN (E)) PLUS ANY INVESTMENT EARNINGS. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTION 3B: DURING THE 12-MONTH PERIOD USED TO REPORT ON THE BOND ISSUES, THE ORGANIZATION ROUTINELY REVIEWED ANY MANAGEMENT OR SERVICE CONTRACTS RELATING TO THE FINANCED PROPERTY FOR PRIVATE BUSINESS USE, USING EITHER IN-HOUSE COUNSEL, OUTSIDE COUNSEL, OR PROFESSIONAL CONTRACT REVIEWERS TRAINED BY COUNSEL. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTION 3D: DURING THE 12-MONTH PERIOD USED TO REPORT ON THE BOND ISSUES, THE ORGANIZATION ROUTINELY REVIEWED RESEARCH AGREEMENTS RELATING TO THE FINANCED PROPERTY FOR PRIVATE BUSINESS USE, USING EITHER IN-HOUSE COUNSEL, OUTSIDE COUNSEL, OR PROFESSIONAL CONTRACT REVIEWERS TRAINED BY COUNSEL. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 4-5: IN CERTAIN CASES, A BOND ISSUE WITH AN ENTRY OF .00% MAY HAVE FINANCED PROPERTY WITH SOME PRIVATE BUSINESS USE. IN EACH OF THESE CASES, THE PRIVATE BUSINESS USE PERCENTAGE OF THE BOND ISSUE WAS LESS THAN 0.05% AS THE AMOUNTS ARE ROUNDED TO THE NEAREST TENTH OF A PERCENTAGE POINT, PURSUANT TO THE INSTRUCTIONS. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 4-6, BOND B, SECOND PAGE - CHEFA BONDS ISSUED 02/24/10 (CUSIP# 20774UU60): A PORTION OF THE BOND ISSUE WAS A CURRENT REFUNDING OF A PRE-2003 ISSUE, ONLY THE PRIVATE BUSINESS USE PERTAINING TO THE NEW MONEY PORTION OF THE 02/24/10 ISSUE IS REPORTED. SCHEDULE K, PART IV, ARBITRAGE, QUESTION 2C, BOND B, SECOND PAGE - CHEFA BONDS ISSUED 02/24/10 (CUSIP# 20774UU60): A PORTION OF THE BOND ISSUE RELATING TO THE CONSTRUCTION FUND IS SUBJECT TO REBATE. THE REBATE LIABILITY COMPUTED AT FEBRUARY 24, 2015 WAS NEGATIVE. SCHEDULE K, PART IV, ARBITRAGE, QUESTION 3, BOND A, SECOND PAGE - CHEFA BOND ISSUED 10/04/07 (CUSIP# 20774UPQ2): PURSUANT TO THE INSTRUCTIONS FOR PART IV, QUESTION 3, A VARIABLE RATE ISSUE IS AN ISSUE CONTAINING A BOND WITH A YIELD NOT FIXED AND DETERMINABLE ON THE ISSUE DATE. THE BOND ISSUE WAS CONVERTED TO A FIXED RATE IN 2008. A STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UPQ2 2007-10-04 200000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 B STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UU60 2010-02-24 579984034 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 C STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774YPD3 2013-07-02 100000000 TO FULLY REDEEM CHEFA SERIES X1 BONDS ISSUED 1/2003 0 0 0 D STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774YRW9 2014-07-23 250000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 A 204478448 204478448 2012 0 0 1 1 B 580160339 490643522 89516817 2012 1 0 1 1 C 100000000 100000000 2013 1 0 1 1 D 250018753 142495407 107523346 0 0 0 1 A 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 D 0 0 1 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 0 1 1 0 0 0 1 C 0 0 1 0 1 0 0 0 1 D 0 1 0 0 1 0 0 0 1 A 1 B 1 C 1 D 1 SCOTT STROBEL OFFICER HOUSING X 100000 89572 0 0 1 SCOTT STROBEL OFFICER HOUSING X 100000 100000 0 0 1 189572 73581 SCHOLARSHIPS (SEE PART V) STEFANIE MARKOVITS (SEE PART V) SPOUSE OF BENJAMIN POLAK, AN OFFICER 148228 (SEE PART V) COMPENSATION AND BENEFITS, PROFESSOR OF ENGLISH. 0 MARTA MORET (SEE PART V) SPOUSE OF PETER SALOVEY, AN OFFICER 62996 (SEE PART V) COMPENSATION AND BENEFITS, ASSOCIATE. 0 PATRICIA PREISIG (SEE PART V) SPOUSE OF ROBERT ALPERN, A KEY EMPLOYEE 184287 (SEE PART V) COMPENSATION AND BENEFITS, PROFESSOR, MEDICINE (NEPHROLOGY) AND CELLULAR AND MOLECULAR PHYSIOLOGY. 0 WENDY SHARP (SEE PART V) SPOUSE OF DEAN TAKAHASHI, A KEY EMPLOYEE 99631 (SEE PART V) COMPENSATION AND BENEFITS, DIRECTOR OF CHAMBER MUSIC, LECTURER SCHOOL OF MUSIC. 0 SCHEDULE L, PART II ALL LOANS REPORTED ON SCHEDULE L, PART II WERE MADE AND APPROVED PURSUANT TO UNIVERSITY COMPENSATION POLICIES. SCHEDULE L, PART III THE SCHOLARSHIP GRANTS REPRESENT AMOUNTS AWARDED TO INTERESTED PERSONS UNDER THE UNIVERSITY'S NONDISCRIMINATORY QUALIFIED TUITION REDUCTION PLAN COVERING ALL ELIGIBLE FACULTY AND STAFF WITH SIX OR MORE YEARS OF SERVICE. X 88 0 X 1093 52729440 FAIR VALUE X 1 497034 SALE OF COMP. PROPERTY X 1 0 X 1 885000 SALE OF COMP. PROPERTY X 17 0 X EQUIPMENT 3 0 X MUSICAL INSTRUMENTS 4 0 112 0 1 1 PART I, COLUMN (B): AMOUNTS REPRESENT THE NUMBER OF NON-CASH CONTRIBUTIONS RECEIVED AND RECORDED IN THE CENTRAL CONTRIBUTION DATABASE OF THE UNIVERSITY. PART I, LINE 32B: OCCASIONALLY, THE UNIVERSITY ENGAGES THIRD PARTIES (E.G., REAL ESTATE BROKERS, AUCTION HOUSES, INVESTMENT BROKERS, ETC.) TO SELL CERTAIN NON-CASH CONTRIBUTIONS. PART I, LINE 33: PURSUANT TO ACCOUNTING STANDARDS CODIFICATION 958 (ASC 958), THE UNIVERSITY DOES NOT CAPITALIZE ITS COLLECTIONS, INCLUDING WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES AND ARTIFACTS THAT ARE MAINTAINED IN ITS MUSEUMS AND LIBRARIES. NON-CASH CONTRIBUTIONS OF THIS NATURE ARE, THEREFORE, NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH AND THE FURTHERANCE OF PUBLIC SERVICE. OTHER NON-CASH CONTRIBUTIONS WITH NO READILY ASCERTAINABLE FAIR VALUE OR WHICH ARE DEEMED IMMATERIAL ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. FORM 990, PART I, LINE 6: TOTAL NUMBER OF VOLUNTEERS: VOLUNTEERS SUPPORT AND BENEFIT THE UNIVERSITY IN A WIDE VARIETY OF ACTIVITIES, PROGRAMS, AND SERVICES. WHILE YALE UNIVERSITY DOES NOT TRACK THE NUMBER OF ITS VOLUNTEERS, THE UNIVERSITY ESTIMATES THAT THE NUMBER OF VOLUNTEERS WAS APPROXIMATELY 7,300 DURING FYE 6/30/15. FORM 990, PART III, LINE 1: DESCRIPTION OF ORGANIZATION MISSION: LIKE ALL GREAT RESEARCH UNIVERSITIES, YALE HAS A TRIPARTITE MISSION: TO CREATE, PRESERVE, AND DISSEMINATE KNOWLEDGE. YALE AIMS TO CARRY OUT EACH PART OF ITS MISSION AT THE HIGHEST LEVEL OF EXCELLENCE, ON PAR WITH THE BEST INSTITUTIONS IN THE WORLD. YALE SEEKS TO ATTRACT A DIVERSE GROUP OF EXCEPTIONALLY TALENTED MEN AND WOMEN FROM ACROSS THE NATION AND AROUND THE WORLD AND TO EDUCATE THEM FOR LEADERSHIP IN SCHOLARSHIP, THE PROFESSIONS, AND SOCIETY. FORM 990, PART III, LINE 4A, PROGRAM SERVICE ACCOMPLISHMENTS: IN ADDITION TO THE GRADUATE SCHOOL OF ARTS AND SCIENCES, THE UNIVERSITY HAS PROFESSIONAL SCHOOLS INCLUDING ARCHITECTURE, ART, DIVINITY, DRAMA, ENGINEERING AND APPLIED SCIENCE, FORESTRY AND ENVIRONMENTAL STUDIES, LAW, MANAGEMENT, MEDICINE, MUSIC, NURSING AND PUBLIC HEALTH. FORM 990, PART III, LINE 4C, PROGRAM SERVICE ACCOMPLISHMENTS: IN FY2015, 2,734 OR 50%, OF UNDERGRADUATES RECEIVED NEED-BASED SCHOLARSHIPS OR GRANTS FROM YALE SOURCES OF $43,285 ON AVERAGE. YALE'S GRADUATE AND PROFESSIONAL SCHOOLS ALSO PROVIDE FINANCIAL AID TO THEIR STUDENTS, RANGING FROM THE MERIT-BASED FUNDING FOR PHD STUDENTS TO THE NEED-BASED AID OFFERED AT THE LAW AND MEDICAL SCHOOLS. ALL OF YALE'S GRADUATE AND PROFESSIONAL SCHOOLS PROVIDE FINANCIAL AID TO THEIR STUDENTS BASED ON THEIR INDIVIDUAL POLICIES AND PROCEDURES. THIS CATEGORY OF EXPENDITURES ALSO INCLUDES: THE OPERATION OF DINING HALLS THAT PROVIDED 2,843,536 MEALS TO STUDENTS, FACULTY AND STAFF; MAINTENANCE OF DORMITORIES HOUSING 4,688 UNDERGRADUATES AND 989 GRADUATE AND PROFESSIONAL SCHOOL STUDENTS; OPERATION AND MAINTENANCE OF ATHLETIC FACILITIES FOR THE 35 INTERCOLLEGIATE SPORTS, OVER 30 INTRAMURAL SPORTS, AND 50 CLUB SPORTS TEAMS OFFERED AT YALE. ALSO INCLUDED ARE PHYSICAL EDUCATION INSTRUCTION, PARKING FACILITIES, LAUNDRY FACILITIES, STUDENT CENTERS, AND OTHER FACILITIES AND PROGRAMS (INCLUDING EXTRACURRICULAR ACTIVITIES AND STUDENT HEALTH SERVICES) THAT PROVIDE SUPPORT, SERVICES, AND ACADEMIC/CULTURAL ENRICHMENT TO THE UNIVERSITY'S STUDENTS. FORM 990, PART III, LINE 4D OTHER PROGRAM SERVICES INCLUDE ACADEMIC SUPPORT, PUBLIC SERVICE, AND OTHER INSTITUTIONAL SUPPORT. FORM 990, PART VI, SECTION A, LINE 1 THERE ARE TWO EX-OFFICIO TRUSTEES, THE GOVERNOR OF CONNECTICUT AND THE LIEUTENANT GOVERNOR OF CONNECTICUT. HISTORICALLY, THESE INDIVIDUALS DO NOT PARTICIPATE IN GOVERNANCE ACTIVITIES AT THE UNIVERSITY AND THEY ARE REPORTED AS INDEPENDENT. FORM 990, PART VI, SECTION A, LINE 4 DURING FYE 6/30/15, THE YALE CORPORATION BY-LAWS WERE AMENDED TO ENHANCE ADMINISTRATIVE FLEXIBILITY BY MOVING FROM THE BY-LAWS TO A CORPORATION RESOLUTION SPECIFICATIONS OF THE RESPONSIBILITIES OF CERTAIN VICE PRESIDENTS. IN ADDITION, THE BY-LAWS WERE AMENDED TO MODIFY THE TITLE OF ONE VICE PRESIDENT, REVISE OPERATING PROCEDURES FOR CERTAIN CORPORATION COMMITTEES, INTRODUCE AND DESCRIBE THE RESPONSIBILITIES OF THE DEAN OF THE FACULTY OF ARTS AND SCIENCES, DEFINE THE COMPOSITION AND ROLE OF THE BOARD OF PERMANENT OFFICERS OF THE FACULTY OF ARTS AND SCIENCES, AMEND THE NOTIFICATION PROCESS FOR NOMINATIONS OF PROFESSORS ON PERMANENT APPOINTMENT AND DEANS, AND CLARIFY THE GOVERNANCE OF THE COUNCIL OF MASTERS AND OF THE BOARD OF GOVERNORS OF THE YALE UNIVERSITY PRESS. FORM 990, PART VI, SECTION A, LINE 7A THE GOVERNING BODY INCLUDES SIX ALUMNI TRUSTEES WHO ARE ELECTED BY THE ALUMNI. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 WAS REVIEWED BY SENIOR MANAGEMENT. IN ADDITION, THE UNIVERSITY DISTRIBUTED A DRAFT COPY OF FORM 990 TO THE CORPORATION AUDIT COMMITTEE, COMPRISED OF FOUR MEMBERS OF THE UNIVERSITY'S GOVERNING BODY. MEMBERS OF SENIOR MANAGEMENT MET WITH CERTAIN UNIVERSITY OFFICERS AND THE CORPORATION AUDIT COMMITTEE TO DISCUSS THE DRAFT FORM 990 AND ANSWER ANY QUESTIONS PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE YALE UNIVERSITY CONFLICT OF INTEREST POLICY OBLIGATES EACH OFFICER, TRUSTEE, AND KEY EMPLOYEE TO PROMPTLY DISCLOSE ANY ACTUAL OR POTENTIAL CONFLICT OF INTEREST AS DEFINED IN THE POLICY. EACH SUCH PERSON MUST SIGN A STATEMENT ANNUALLY AFFIRMING THAT HE OR SHE HAS RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY, HAS READ AND UNDERSTANDS THE POLICY, AGREES TO COMPLY WITH THE POLICY, AND UNDERSTANDS THAT THE CORPORATION IS CHARITABLE AND IN ORDER TO MAINTAIN ITS EXEMPTION IT MUST ENGAGE PRIMARILY IN ACTIVITIES WHICH ACCOMPLISH ONE OR MORE OF ITS TAX-EXEMPT PURPOSES. IN CONNECTION WITH ANY ACTUAL OR POSSIBLE CONFLICT OF INTEREST, AN INTERESTED PERSON MUST DISCLOSE THE EXISTENCE OF HIS OR HER FINANCIAL INTEREST AND BE GIVEN THE OPPORTUNITY TO DISCLOSE ALL MATERIAL FACTS TO THE DIRECTOR AND MEMBERS OF THE COMMITTEE WITH GOVERNING BOARD DELEGATED POWERS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. AFTER DISCLOSURE OF A POTENTIAL CONFLICT OF INTEREST, THE INTERESTED PERSON IS EXCUSED FROM THE GOVERNING BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS MADE, AND IS RECUSED FROM PARTICIPATING IN ANY VOTE ON THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS FOR DETERMINING THE COMPENSATION OF THE PRESIDENT INCLUDED INITIAL REVIEW BY THE COMMITTEE ON COMPENSATION (THE COMPENSATION COMMITTEE) OF THE YALE CORPORATION (YALE UNIVERSITY'S GOVERNING BOARD), A RECOMMENDATION VOTED BY THE COMMITTEE TO THE YALE CORPORATION, AND FULL REVIEW AND VOTE BY THE YALE CORPORATION. BOTH REVIEWS INCLUDED REVIEW OF THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT OTHER UNIVERSITIES, AS COMPILED BY A PROFESSIONAL COMPENSATION CONSULTANT RETAINED BY THE COMPENSATION COMMITTEE FOR THE PURPOSE, AND REVIEW OF INFORMATION ON SUCH COMPARABLE POSITIONS FROM IRS FORMS 990 FOR SIMILAR ORGANIZATIONS; BOTH REVIEWS CONSIDERED SUCH DATA IN LIGHT OF THE PERFORMANCE OF THE PRESIDENT, WHICH WAS REVIEWED BY THE COMPENSATION COMMITTEE AND BY THE YALE CORPORATION. THE PROCEEDINGS OF THE COMPENSATION COMMITTEE, AND THE PROCEEDINGS OF THE YALE CORPORATION, EACH WERE DOCUMENTED IN MINUTES OF THE RESPECTIVE BODY, CONTEMPORANEOUSLY ADOPTED AND RETAINED IN THE RECORDS OF THE RESPECTIVE BODY, ALONG WITH THE DATA ON COMPARABLE COMPENSATION THAT WAS RELIED UPON. ARRANGEMENTS FOR THE PRESIDENT EMERITUS SIMILARLY WERE REVIEWED BY THE COMPENSATION COMMITTEE AND APPROVED BY THE CORPORATION. THE PROCESS FOR DETERMINING COMPENSATION OF THE OFFICERS CONSISTED OF REVIEW BY THE COMPENSATION COMMITTEE OF THE RECOMMENDATIONS MADE BY THE PRESIDENT, CONSIDERING THE PERFORMANCE OF EACH OFFICER, AND REVIEW OF DATA ON COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT SIMILAR ORGANIZATIONS, AS COLLECTED BY A PROFESSIONAL COMPENSATION CONSULTANT THROUGH SURVEYS; THE COMPENSATION COMMITTEE VOTED RECOMMENDATIONS ON COMPENSATION OF SUCH INDIVIDUALS TO THE YALE CORPORATION. THE YALE CORPORATION RECEIVED THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE, AND DISCUSSED THESE WITH THE PRESIDENT, WHO REVIEWED THE PERFORMANCE OF EACH OFFICER WITH THE YALE CORPORATION, AND ALSO THE COMPARABLE COMPENSATION INFORMATION. THE YALE CORPORATION THEN VOTED ON THE COMPENSATION OF EACH OFFICER. THE PROCEEDINGS OF THE COMPENSATION COMMITTEE AND OF THE CORPORATION EACH WERE DOCUMENTED IN MINUTES CONTEMPORANEOUSLY ADOPTED AND RETAINED IN THE RECORDS OF THE RESPECTIVE BODY, ALONG WITH THE DATA ON COMPARABLE COMPENSATION THAT WAS RELIED UPON. OF THE KEY EMPLOYEES, THE COMPENSATION OF THE DEAN, SCHOOL OF MEDICINE WAS RECOMMENDED BY THE PRESIDENT TO THE COMPENSATION COMMITTEE, AND REVIEWED BY THAT COMMITTEE IN CONJUNCTION WITH ITS REVIEW OF THE PERFORMANCE OF THE DEAN AND CONSIDERATION OF DATA ON THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT OTHER INSTITUTIONS COMPILED BY AN INDEPENDENT COMPENSATION CONSULTANT. THE COMPENSATION COMMITTEE VOTED TO APPROVE THE COMPENSATION, AND CONTEMPORANEOUSLY DOCUMENTED ITS PROCEEDINGS IN MINUTES RETAINED IN ITS RECORDS ALONG WITH THE COMPENSATION DATA RELIED UPON. WITH RESPECT TO THE CHIEF INVESTMENTS OFFICER AND SENIOR DIRECTOR OF INVESTMENTS, THE COMPENSATION COMMITTEE VOTED TO APPROVE THE COMPENSATION AFTER CONSIDERATION OF THE RECOMMENDATIONS OF THE PRESIDENT AND OF THE FOLLOWING: REVIEW OF THE PERFORMANCE OF EACH, INVESTMENT PERFORMANCE OF THE YALE ENDOWMENT OVER DESIGNATED PERIODS, OTHER PERFORMANCE-RELATED INFORMATION, AND AN ANALYSIS OF THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT TAXABLE AND TAX-EXEMPT ORGANIZATIONS PREPARED BY AN INDEPENDENT COMPENSATION CONSULTANT RETAINED FOR THE PURPOSE. THE COMPENSATION COMMITTEE CONTEMPORANEOUSLY DOCUMENTED ITS PROCEEDINGS IN MINUTES RETAINED IN ITS RECORDS ALONG WITH THE COMPENSATION DATA RELIED UPON. EXCEPT AS NOTED ABOVE, COMPENSATION DECISIONS FOR KEY EMPLOYEES WERE MADE BY THE EMPLOYEE'S SUPERVISOR IN ACCORDANCE WITH UNIVERSITY POLICIES AND PROCEDURES. NO MEMBER OF THE YALE CORPORATION WHO HAD A CONFLICT OF INTEREST WITH RESPECT TO A COMPENSATION ARRANGEMENT DESCRIBED ABOVE (I.E., BY VIRTUE OF A FAMILY OR BUSINESS RELATIONSHIP) PARTICIPATED IN THE COMPENSATION COMMITTEE REVIEW OR THE VOTE OF THE YALE CORPORATION WITH RESPECT TO SUCH COMPENSATION ARRANGEMENT. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S GOVERNING DOCUMENTS, INCLUDING ANY AMENDMENTS, FINANCIAL STATEMENTS AND STANDARDS OF BUSINESS CONDUCT ARE AVAILABLE ON THE UNIVERSITY'S WEBSITE OR UPON REQUEST. FORM 990, PART VII, SECTION A: COMPENSATION AND HOURS FOR A FORMER KEY EMPLOYEE RELATE TO CONTINUING SERVICE IN A NON-KEY EMPLOYEE POSITION. FORM 990, PART VII, SECTION A, COLUMN (A): CONTINUATION OF TITLES FOR EACH LISTED PERSON: PETER SALOVEY: PROFESSOR OF PSYCHOLOGY BRUCE D. ALEXANDER: & CAMPUS DEVELOPMENT ALEXANDER E. DREIER: VP & GENERAL COUNSEL EFFECTIVE 3/23/15 LINDA K. LORIMER: VP FOR GLOBAL & STRATEGIC INITIATIVES THROUGH 4/5/15; SENIOR COUNSELOR TO THE PRESIDENT & PROVOST EFFECTIVE 4/6/15 JOAN O'NEILL: VP FOR DEVELOPMENT THROUGH 5/18/15; VP FOR ALUMNI AFFAIRS & DEVELOPMENT EFFECTIVE 5/19/15 BENJAMIN POLAK: PROFESSOR OF ECONOMICS; PROFESSOR SCHOOL OF MANAGEMENT DOROTHY K. ROBINSON: VP & GENERAL COUNSEL THROUGH 9/30/14; SENIOR COUNSELOR TO THE PRESIDENT EFFECTIVE 10/1/14 SCOTT A. STROBEL: & PROGRAM DEVELOPMENT; PROFESSOR OF MOLECULAR BIOPHYSICS AND BIOCHEMISTRY; PROFESSOR OF CHEMISTRY; HOWARD HUGHES MEDICAL INSTITUTE PROFESSOR ROBERT J. ALPERN: PROFESSOR OF MEDICINE (NEPHROLOGY) RICHARD C. LEVIN: SENIOR RESEARCH SCHOLAR, JACKSON INSTITUTE; PROFESSOR EMERITUS SCHOOL OF MANAGEMENT; PROFESSOR EMERITUS ECONOMICS KHALID M. ABBED: ASSOCIATE PROFESSOR OF NEUROSURGERY; DIRECTOR, MINIMALLY INVASIVE SPINE SURGERY & SPINE TUMOR SURGERY DAVID MULLIGAN: SECTION CHIEF, TRANSPLANTATION SURGERY AND IMMUNOLOGY THOMAS J. RUTHERFORD: SECTION CHIEF, GYNECOLOGIC ONCOLOGY; FELLOWSHIP DIRECTOR, GYNECOLOGIC ONCOLOGY DAVID D. YUH: SECTION CHIEF MICHAEL J. DONOGHUE: & PROGRAM DEVELOPMENT; PROFESSOR OF ECOLOGY & EVOLUTIONARY BIOLOGY FORM 990, PART VII, SECTION A, COLUMN (B): THE NUMBER OF HOURS REPORTED FOR EACH LISTED PERSON IS AN ESTIMATE. THE ESTIMATE FOR TRUSTEES INCLUDES MEETING TIME AND PREPARATION, AS WELL AS ATTENDANCE AT CERTAIN OFFICIAL UNIVERSITY FUNCTIONS DURING THE YEAR, BUT DOES NOT INCLUDE TRAVEL TIME OR ATTENDANCE AT OTHER EVENTS AS TRUSTEES. IN MANY CASES, THE ACTUAL AVERAGE HOURS PER WEEK FOR LISTED PERSONS, OTHER THAN TRUSTEES, EXCEEDED 50 HOURS. FORM 990, PART VII, SECTION B, COLUMN (C): THE AMOUNT REPORTED REPRESENTS DIRECT CASH PAYMENTS MADE DURING THE CALENDAR YEAR 2014 TO INDEPENDENT CONTRACTORS FOR SERVICES. FOR CONSTRUCTION SERVICES, THE FEES REPRESENT THE ENTIRE CONTRACT COST. FORM 990, PART IX, LINE 24: OTHER EXPENSES INCLUDE $1,068,091 OF STATE UNRELATED BUSINESS INCOME TAX. FORM 990, PART XI, LINE 9: CHANGE IN FUNDING STATUS OF DEFINED BENEFIT PLANS -119,262,000. ACTUARIAL ADJUSTMENTS FOR SPLIT INTEREST LIABILITY 14,940,070. ROUNDING 7,562. FORM 990, SCHEDULE B, PART I CONTRIBUTOR NO. 1 AND 2: THESE CONTRIBUTIONS REPRESENT PLEDGES. IT IS UNKNOWN AT THIS TIME WHETHER THE PLEDGES WILL BE SATISIFIED WITH CASH OR NON-CASH PROPERTY. 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SCHEDULE R, PART III: GENERAL NOTE: DISPROPORTIONATE ALLOCATIONS INDICATED IN COLUMN (H) OF PART III GENERALLY RELATE TO I.) A GENERAL PARTNER'S TYPICAL CARRIED INTEREST WITH RESPECT TO PRIVATE FUND INVESTMENTS OR II.) ALLOCATIONS AMONG 501(C)(3) ORGANIZATIONS THAT ARE PARTNERS OR MEMBERS IN AN INVESTMENT ENTITY. SCHEDULE R, PART IV: AS OF JUNE 30, 2015, YALE UNIVERSITY HELD MORE THAN 50% OF THE BENEFICIAL INTERESTS IN 47 CHARITABLE REMAINDER TRUSTS OF WHICH 42 WERE DOMICILED IN CONNECTICUT AND THE REMAINDER WERE DOMICILED IN TENNESSEE, PENNSYLVANIA, MASSACHUSETTS, AND NEW JERSEY. SCHEDULE R, PART V: GENERAL NOTE: THIS SCHEDULE REFLECTS ALL TRANSFERS BY YALE UNIVERSITY TO CORPORATIONS, PARTNERSHIPS, OR OTHER ENTITIES CONTROLLED BY YALE AS DEFINED IN IRC SECTION 512(B)(13) AND RELATED TAX EXEMPT ORGANIZATIONS NOT DESCRIBED IN IRC SECTION 501(C)(3). IN SOME INSTANCES, THESE ENTITIES MADE FURTHER TRANSFERS TO OTHER ENTITIES CONTROLLED BY THEM OR YALE UNIVERSITY. IN ADDITION, THIS SCHEDULE REFLECTS ALL TRANSFERS TO YALE UNIVERSITY BY CORPORATIONS, PARTNERSHIPS, OR OTHER ENTITIES CONTROLLED BY YALE AS DEFINED IN IRC SECTION 512(B)(13) AND RELATED TAX EXEMPT ORGANIZATIONS NOT DESCRIBED IN IRC SECTION 501(C)(3). IN SOME INSTANCES, THESE ENTITIES RECEIVED TRANSFERS FROM OTHER ENTITIES CONTROLLED BY THEM OR YALE UNIVERSITY. 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