2016-05-16T14:08:23-05:00 2015-06-30 390859910 BAKER TILLY VIRCHOW KRAUSE LLP 1650 MARKET STREET 45TH FL PHILADELPHIA PA 19103 990 2014-07-01 231352635 FRANKLIN & MARSHALL COLLEGE FRAN 7173583925 PO BOX 3003 LANCASTER PA 176043003 DAVID PROULX PRESIDENT 7173583925 2016-05-16 JULIUS C GREEN CPA JD P00350393 2159720701 2014 2016-08-17 19:52:53Z DANIEL R PORTERFIELDPH PO BOX 3003 LANCASTER PA 176043003 208398105 0 X WWW.FANDM.EDU X 1787 PA A RESIDENTIAL COLLEGE DEDICATED TO EXCELLENCE IN UNDERGRADUATE LIBERAL ARTS EDUCATION. 35 34 2659 1427 1149831 0 18186152 21697785 132688568 136918745 26617890 47040987 1588368 2398880 179080978 208056397 39841564 44257636 0 0 66231918 72861383 0 0 7070581 53762706 53858615 159836188 170977634 19244790 37078763 679014857 678130332 139046824 148083670 539968033 530046662 X FRANKLIN & MARSHALL COLLEGE IS A RESIDENTIAL COLLEGE DEDICATED TO EXCELLENCE IN UNDERGRADUATE LIBERAL ARTS EDUCATION. ITS AIMS ARE TO INSPIRE IN YOUNG PEOPLE OF HIGH PROMISE AND DIVERSE BACKGROUNDS A GENUINE AND ENDURING LOVE FOR LEARNING, TO TEACH THEM TO READ, WRITE, AND THINK CRITICALLY, TO INSTILL IN THEM THE CAPACITY FOR BOTH INDEPENDENT AND COLLABORATIVE ACTION, AND TO EDUCATE THEM TO EXPLORE AND UNDERSTAND THE NATURAL, SOCIAL, AND CULTURAL WORLDS IN WHICH THEY LIVE. IN SO DOING, THE COLLEGE SEEKS TO FOSTER IN ITS STUDENTS QUALITIES OF INTELLECT, CREATIVITY, AND CHARACTER, THAT THEY MAY LIVE FULFILLING LIVES AND CONTRIBUTE MEANINGFULLY TO THEIR OCCUPATIONS, THEIR COMMUNITIES, AND THEIR WORLD. 0 0 46933845 11429 109284099 INSTRUCTION: THE COLLEGE GRANTS BACHELOR OF ARTS DEGREES. TOTAL FULL-TIME EQUIVALENT UNDERGRADUATE ENROLLMENT OF THE COLLEGE WAS APPROXIMATELY 2,188 STUDENTS. 553 STUDENTS GRADUATED IN MAY 2015. 40384592 43361225 69155 FINANCIAL AID: APPROXIMATELY 59% OF STUDENTS RECEIVED SOME FORM OF FINANCIAL AID DURING THE 2014-2015 SCHOOL YEAR. 17432606 0 0 STUDENT SERVICES: THE COLLEGE PROVIDES SERVICES SUCH AS AN INFIRMARY, COUNSELING, CAREER SERVICES, AND STUDENT ACTIVITIES TO EACH STUDENT. 12408634 0 23106990 AUXILIARY OPERATIONS: ACADEMIC SUPPORT, RESEARCH, PUBLIC SERVICE, AND INSTITUTIONAL SUPPORT. 6462119 4207 9138 ACADEMIC SUPPORT 3754388 549671 0 RESEARCH 1091287 910 0 PUBLIC SERVICE 1523922 330194 2655360 INSTITUTIONAL SUPPORT 25240350 884982 25771488 129991393 1 1 0 0 0 0 0 1 1 1 1 1 0 0 1 1 0 1 1 0 1 0 1 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 1 458 0 1 2659 1 1 1 1 UK 0 0 0 0 0 0 0 0 X 35 34 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AK CA CO DC KY MD MA MI NH NY OR PA WA X WENDY STARNER ASSOCIATE VICE PRESIDENT FOR FINANCE 7173583925 PO BOX 3003 LANCASTER PA 176043003 DANIEL R PORTERFIELD PRESIDENT 60.00 X X 488299 0 114669 MICHAEL T ARNOLD TRUSTEE 2.00 X 0 0 0 REED D AUERBACH TRUSTEE 2.00 X 0 0 0 LAWRENCE I BONCHEK TRUSTEE - CHAIR 14.00 X X 0 0 0 LAWRENCE G BRAITMAN TRUSTEE 2.00 X 0 0 0 STANLEY M BRAND ESQ TRUSTEE 3.00 X 0 0 0 ROBERT J BROOKS SR TRUSTEE 3.00 X 0 0 0 JOHN BURNESS TRUSTEE 3.00 X 0 0 0 MATTHEW N DESCHAMPS TRUSTEE 2.00 X 0 0 0 DOUGLAS H EVANS ESQ TRUSTEE 2.00 X 0 0 0 RICHARD M FULLER TRUSTEE 2.00 X 0 0 0 ELAIN TITTLE HANSEN TRUSTEE 2.00 X 0 0 0 BRIAN HARD TRUSTEE 3.00 X 0 0 0 PATRICIA E HARRIS TRUSTEE 2.00 X 0 0 0 BRETT S HARWOOD TRUSTEE 2.00 X 0 0 0 SUSAN KLINE KLEHR TRUSTEE 2.00 X 0 0 0 ANTHONY I KREISEL TRUSTEE 3.00 X 0 0 0 DAVID LEHMAN TRUSTEE 2.00 X 0 0 0 STANLEY L LEVIN TRUSTEE 3.00 X 0 0 0 DOUGLAS J MCCORMACK ESQ TRUSTEE 3.00 X 0 0 0 KENNETH B MEHLMAN TRUSTEE 2.00 X 0 0 0 ERIC W NOLL TRUSTEE 2.00 X 0 0 0 ERIC C RACKOW TRUSTEE 3.00 X 0 0 0 JOHN L ROSENTHAL TRUSTEE 3.00 X 0 0 0 RAYMOND A SANSEVERINO ESQ TRUSTEE 2.00 X 0 0 0 MARY L SCHAPIRO TRUSTEE 2.00 X 0 0 0 LAWRENCE A SHADEK TRUSTEE 2.00 X 0 0 0 ROBERT H SMITH TRUSTEE 2.00 X 0 0 0 BEVERLY R STEINMAN TRUSTEE 2.00 X 0 0 0 H ART TAYLOR ESQ TRUSTEE 2.00 X 0 0 0 SUSAN L WASHBURN TRUSTEE - VICE CHAIR 4.00 X X 0 0 0 COLLEEN R WEIS TRUSTEE 2.00 X 0 0 0 BENJAMIN J WINTER TRUSTEE - VICE CHAIR 4.00 X X 0 0 0 FRANCES D WOLF TRUSTEE - VICE CHAIR 4.00 X X 0 0 0 LINDA YARDEN ESQ TRUSTEE 3.00 X 0 0 0 CASUNDRA AMUNDSON TILL 32015 VP FOR COLLEGE COMMUNICATIONS 60.00 0.00 X 161675 0 37329 PIERCE BULLER GENERAL COUNSEL 60.00 0.20 X 190072 0 28058 KEVIN BURKE VP FOR COLLEGE COMMUNICATIONS 40.00 0.00 X 120962 0 22098 ALAN CANIGLIA VP FOR PLANNING AND VICE PROVOST 40.00 0.50 X 177976 0 38574 MATTHEW K EYNON VP FOR COLLEGE ADVANCEMENT 60.00 0.00 X 291724 0 63189 MARGARET L HAZLETT DEAN OF COLLEGE 60.00 0.00 X 197132 0 49794 J SAMUEL HOUSER VP FOR STRATEGIC INITITATIVES 60.00 0.50 X 177899 0 33321 JOEL W MARTIN PROVOST & DEAN OF FACULTY 40.00 0.00 X 122221 0 18112 ROBYN L PIGGOTT EXECUTIVE ASSISTANT TO PRES. 40.00 0.00 X 133896 0 27201 DAVID PROULX VP FOR FINANCE & ADMINISTRATION 60.00 0.50 X 306012 0 49085 JOSEPH J KARLESKY INTERIM PROVOST & DEAN OF FACULTY 60.00 0.20 X 181442 0 43315 DANIEL G LUGO VP & DEAN OF ADMISSIONS & FIN. AID 60.00 0.00 X 214584 0 42727 ANN STEINER FORMER PROVOST & DEAN OF FACULTY 60.00 0.00 X 193753 0 40118 BETH THRONE AVP STUDENT & POST-GRADUATE DEV. 40.00 0.00 X 176192 0 36317 STANELY MERTZMAN PROFESSOR OF GEOSCIENCES 60.00 0.00 X 169920 0 25782 3303759 0 669689 104 0 1 0 SODEXO INC & AFFILIATES 4880 PAYSHERE CIRCLE CHICAGO IL 60674 FOOD SERVICES MGMT. 4814042 IRWIN & LEIGHTON INC 1030 CONTINENTAL DRIVE KING OF PRUSSIA PA 19406 GENERAL CONTRACTORS 1531123 D H FUNK & SONS LLC 3995 CONTINENTAL DRIVE COLUMBIA PA 17512 GENERAL CONTRACTORS 1520805 COMM SOLUTIONS CO 140 QUAKER LANE MALVERN PA 19355 IT SERVICES 796447 RCM&D INC PO BOX 826365 PHILADELPHIA PA 19182 CONSULTING FIRM 655273 59 1933652 19764133 1011357 21697785 TUITION & FEES 900099 113126233 113126233 AUXILIARY OPERATIONS 721310 22340749 22056077 284672 SUMMER SCHOOL & FEES 900099 1382608 1382608 STUDENT LOAN INCOME 900099 69155 69155 136918745 17810284 735918 17074366 23783 23783 674167 341708 332459 332459 332459 29230703 0 29230703 29230703 29230703 RESEARCH INCOME 900099 766787 123277 643510 MISCELLANEOUS INCOME 900099 571054 1344 569710 ATHLETICS INCOME 900099 154441 4620 149821 550356 550356 2042638 208056397 136634073 1149831 48574708 319862 319862 36564581 36564581 7373193 7373193 3709619 754168 2095216 860235 50303427 36643036 10806268 2854123 5148074 3809575 1081096 257403 9884347 6603791 2649680 630876 3815916 2823778 801342 190796 537786 17410 520376 181894 4200 177694 1946101 1946101 10901528 7860926 2363736 676866 70196 41692 28155 349 3888864 2133390 1176527 578947 1634045 357391 1170550 106104 5778788 3017290 2735511 25987 2986908 2505679 267035 214194 277553 152469 105737 19347 3631614 3299514 327018 5082 8870190 6628883 1746871 494436 909089 419897 489192 REPAIRS & EQUIP. MAINTE 3441812 791174 2650438 200 OFF CAMPUS PROGRAMS 3282507 3282507 EQUIPMENT & BOOKS 2986155 2526413 446748 12994 ECONOMIC DEVELOPMENT EX 300271 300271 2233314 1760303 330369 142642 170977634 129991393 33915660 7070581 121861 633718 1489991 3219919 19043968 22564963 5944009 7974952 30456 0 1047710 1642381 327316325 100161646 219752456 227154679 172448978 231914708 235506671 161000633 13790536 14532623 9838221 7491756 679014857 678130332 4889784 7881815 4955787 3902975 81574217 79781717 3613091 3569184 4003181 44013945 48944798 139046824 148083670 X 285497363 273060961 142943294 139138138 111527376 117847563 539968033 530046662 679014857 678130332 X 37078763 -41444832 -5555302 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X X 0 0 1 X 300656053 4540306 2108191 4802404 9734186 890342 291877618 270558942 5259230 39241872 4508807 9228944 666240 300656053 253635767 3705238 27626220 4395457 9319987 692839 270558942 270079122 3438169 -5320904 13008640 721680 830300 253635767 235435090 2599447 47250523 4008962 9943305 1253671 270079122 0.40170 0.28160 0.31670 0 0 19652 12800210 12819862 673818 247686069 62422855 185937032 54094441 36191626 17902815 12042135 1547165 10494970 227154679 GLOBAL EQUITY 71691376 F DIVERSIFYING STRATEGIES 53943377 F REAL ESTATE 17430959 F BENEFICIAL INTEREST IN PERPETUAL TRUSTS 17934921 F 161000633 POSTRETIREMENT BENEFIT OBLIGATIONS 22879612 ANNUITY OBLIGATIONS 17582667 FIN 47 OBLIGATION 7988974 PURCHASE COMMITMENT 199280 MORTGAGE GUARANTEE 7500 ASE BANK LOAN 286765 48944798 X 116369000 -41444832 -50584273 -92029105 208398105 -341708 -341708 208056397 126449000 341708 341708 126107292 44870342 44870342 170977634 PART III, LINE 1A: COLLECTION ITEMS CONSISTS OF ARTWORKS, RARE BOOKS AND OTHER OBJECTS THAT HAVE COME TO THE COLLEGE AND MILLPORT CONSERVANCY PRINCIPALLY THROUGH GIFTS, ALTHOUGH SOME WERE PURCHASED AND CERTAIN OF THE COLLECTIONS WERE RECEIVED IN TRUST. THE COLLECTION IS HELD FOR PUBLIC EXHIBITION AND EDUCATION AND IS PROTECTED, KEPT UNENCUMBERED, CARED FOR AND PRESERVED. EACH OF THESE ITEMS IS CATALOGUED, AND ACTIVITIES VERIFYING THEIR EXISTENCE AND ASSESSING THEIR CONDITION ARE PERFORMED CONTINUOUSLY. THE COLLECTIONS' INSURANCE - APPRAISED VALUE IS APPROXIMATELY $7,486,000. THE COLLECTIONS ARE NOT RECOGNIZED AS ASSETS IN THE CONSOLIDATED STATEMENT OF FINANCIAL POSITION AS PERMITTED BY GAAP. PURCHASES OF COLLECTION ARE RECORDED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE YEAR IN WHICH THE ITEMS ARE ACQUIRED, OR AS REDUCTION IN TEMPORARILY OR PERMANENTLY RESTRICTED NET ASSETS IF THE NET ASSETS USED TO PURCHASE THE ITEMS ARE RESTRICTED BY DONORS. PROCEEDS FROM DEACCESSIONS ARE REFLECTED AS INCREASES IN THE APPROPRIATE NET ASSET CLASSES. PART III, LINE 4: THE COLLEGE'S COLLECTIONS CONTAIN REGIONAL AND INTERNATIONAL WORKS OF ART, RARE BOOKS, CULTURAL OBJECTS, AND HISTORICAL OBJECTS. THEY ADVANCE THE INSTRUCTIONAL, ACADEMIC SUPPORT, AND PUBLIC SERVICE PURPOSES OF THE COLLEGE BY EXHIBITION AND USE BY FACULTY, STUDENTS, AND THE COMMUNITY, VIA LOCAL AND ONLINE ACCESS. PART IV, LINE 2B: THESE FUNDS ARE DEPOSITS HELD IN CUSTODY FOR OTHERS WITH FRANKLIN & MARSHALL COLLEGE ACTING AS AGENT. PART V, LINE 4: OF THE TOTAL ENDOWMENT, 28% IS INTENDED FOR STUDENT AID, 21% FOR GENERAL UNRESTRICTED PURPOSES, 17% FOR OPERATIONS AND MAINTENANCE, 15% FOR INSTRUCTION, AND THE REMAINDER FOR MISCELLANEOUS RESTRICTED PURPOSES. PART X, LINE 2: UNDER PROVISIONS OF INTERNAL REVENUE CODE SECTION 501(C)(3) AND THE APPLICABLE INCOME TAX REGULATIONS OF PENNSYLVANIA, THE COLLEGE IS EXEMPT FROM TAXES ON INCOME OTHER THAN UNRELATED BUSINESS INCOME. SINCE THE COLLEGE HAD NO MATERIAL NET UNRELATED BUSINESS INCOME DURING THE YEARS ENDED JUNE 20, 2015 AND 2014, NO PROVISIONS FOR INCOME TAXES HAS BEEN MADE. THE COLLEGE DOES NOT BELIEVE THAT THERE ARE ANY MATERIAL UNRECOGNIZED TAX BENEFITS OR COSTS THAT SHOULD BE RECORDED. THE COLLEGE'S FEDERAL TAX RETURNS HAVE NOT BEEN EXAMINED FOR THE LAST SEVEN FISCAL YEARS. PART XI, LINE 2D - OTHER ADJUSTMENTS: POST-RETIREMENT BENEFIT CHANGES OTHER THAN NET PERIODIC COSTS -1,401,000. CHANGES IN ANNUITY OBLIGATIONS -5,808,034. CHANGES IN CASH SURRENDER VALUE 525,172. STUDENT FINANCIAL AID -43,245,000. INVESTMENT EXPENSES -885,000. MILLPORT ACTIVITY; ROUNDING 229,589. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES -341,708. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES 341,708. PART XII, LINE 4B - OTHER ADJUSTMENTS: STUDENT FINANCIAL AID 43,245,000. INVESTMENT FEES 885,000. ECONOMIC DEVELOPMENT EXPENSE 705,000. MILLPORT ACTIVITY; ROUNDING 35,342. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE COLLEGE COMPLIES WITH SECTION 4.03 BECAUSE A) STUDENTS ARE DRAWN FROM A LARGE DEMOGRAPHIC AREA, AND B) THE COLLEGE COMPLIES WITH SECTION 4.02 REQUIREMENTS. SCHEDULE E, PART I, LINE 6 THE COMMONWEALTH OF PENNSYLVANIA ANNUALLY PROVIDES AN INSTITUTIONAL ASSISTANCE GRANT TO THOSE INSTITUTIONS THAT DO NOT RECEIVE FUNDING FROM THE STATE VIA BUDGET APPROPRIATION. THIS GRANT IS BASED ON THE TOTAL NUMBER OF STUDENTS RECEIVING STATE HIGHER EDUCATION GRANTS. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES ADMISSIONS RECRUITMENT 7809 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES ADMISSIONS RECRUITMENT 37487 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES ADMISSIONS RECRUITMENT 26659 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES ADMISSIONS RECRUITMENT 1030 NORTH AMERICA 0 0 PROGRAM SERVICES ADMISSIONS RECRUITMENT 1250 SOUTH AMERICA 0 0 PROGRAM SERVICES ADMISSIONS RECRUITMENT 8874 SOUTH ASIA 0 0 PROGRAM SERVICES ADMISSIONS RECRUITMENT 4285 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES CONF/RESEARCH/TRAVEL 65574 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CONF/RESEARCH/TRAVEL 55692 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES CONF/RESEARCH/TRAVEL 1002479 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES CONF/RESEARCH/TRAVEL 34896 NORTH AMERICA 0 0 PROGRAM SERVICES CONF/RESEARCH/TRAVEL 44226 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES CONF/RESEARCH/TRAVEL 16676 SOUTH AMERICA 0 0 PROGRAM SERVICES CONF/RESEARCH/TRAVEL 28359 SOUTH ASIA 0 0 PROGRAM SERVICES CONF/RESEARCH/TRAVEL 6746 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES CONF/RESEARCH/TRAVEL 101868 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 51240 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 423005 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 2417138 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 104760 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 238673 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 17110 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 130980 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 102790997 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 331364 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 2750892 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 1060948 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 162832 NORTH AMERICA 0 0 GRANTMAKING 92738 RUSSIA AND NEIGHBORING STATES 0 0 GRANTMAKING 395802 SOUTH AMERICA 0 0 GRANTMAKING 354333 SOUTH ASIA 0 0 GRANTMAKING 1375425 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 717276 0 0 0 0 0 0 152968 114706455 114859423 STUDENT SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN 6 316364 REDUCTION TO TUITION AND FEES BOOK STUDENT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 73 2566656 REDUCTION TO TUITION AND FEES BOOK STUDENT SCHOLARSHIPS EUROPE (INCLUDING ICELAND & GREENLAND) 21 1005448 REDUCTION TO TUITION AND FEES BOOK STUDENT SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 3 156832 REDUCTION TO TUITION AND FEES BOOK STUDENT SCHOLARSHIPS NORTH AMERICA 2 86738 REDUCTION TO TUITION AND FEES BOOK STUDENT SCHOLARSHIPS RUSSIA AND NEIGHBORING STATES 8 374802 REDUCTION TO TUITION AND FEES BOOK STUDENT SCHOLARSHIPS SOUTH AMERICA 7 339333 REDUCTION TO TUITION AND FEES BOOK STUDENT SCHOLARSHIPS SOUTH ASIA 30 1290503 REDUCTION TO TUITION AND FEES BOOK STUDENT SCHOLARSHIPS SUB-SAHARAN AFRICA 15 681276 REDUCTION TO TUITION AND FEES BOOK STUDENT LOANS CENTRAL AMERICA AND THE CARIBBEAN 5 20340 REDUCTION TO TUITION AND FEES BOOK STUDENT LOANS EAST ASIA AND THE PACIFIC 63 184238 REDUCTION TO TUITION AND FEES BOOK STUDENT LOANS EUROPE (INCLUDING ICELAND & GREENLAND) 19 55500 REDUCTION TO TUITION AND FEES BOOK STUDENT LOANS MIDDLE EAST AND NORTH AFRICA 2 6000 REDUCTION TO TUITION AND FEES BOOK STUDENT LOANS NORTH AMERICA 2 6000 REDUCTION TO TUITION AND FEES BOOK STUDENT LOANS RUSSIA AND NEIGHBORING STATES 7 21000 REDUCTION TO TUITION AND FEES BOOK STUDENT LOANS SOUTH AMERICA 5 15000 REDUCTION TO TUITION AND FEES BOOK STUDENT LOANS SOUTH ASIA 27 84922 REDUCTION TO TUITION AND FEES BOOK STUDENT LOANS SUB-SAHARAN AFRICA 12 36000 REDUCTION TO TUITION AND FEES BOOK STUDENT RESEARCH AND TRAVEL GRANTS CENTRAL AMERICA AND THE CARIBBEAN 6 5998 CHECKS 3096 PAYMENTS TO VENDORS COST STUDENT RESEARCH AND TRAVEL GRANTS EAST ASIA AND THE PACIFIC 8 10711 CHECKS 3975 PAYMENT TO VENDORS COST STUDENT RESEARCH AND TRAVEL GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 77 52575 CHECKS 12906 PAYMENTS TO VENDORS COST STUDENT RESEARCH AND TRAVEL GRANTS MIDDLE EAST AND NORTH AFRICA 8 3572 CHECKS 0 STUDENT RESEARCH AND TRAVEL GRANTS NORTH AMERICA 8 7942 CHECKS 0 STUDENT RESEARCH AND TRAVEL GRANTS RUSSIA AND NEIGHBORING STATES 2 1964 CHECKS 0 STUDENT RESEARCH AND TRAVEL GRANTS SOUTH AMERICA 2 4661 CHECKS STUDENT RESEARCH AND TRAVEL GRANTS SOUTH ASIA 6 5318 CHECKS STUDENT RESEARCH AND TRAVEL GRANTS SUB-SAHARAN AFRICA 5 13523 CHECKS 1 0 0 0 0 0 PART I, LINE 2: STUDENT SCHOLARSHIPS AND LOANS ARE APPLIED DIRECTLY TO STUDENT ACCOUNTS. TRAVEL AND STUDENT RESEARCH GRANTS REQUIRE SUBSTANTIATION. PART I, LINE 3: EXPENDITURES ARE REPORTED BASED ON THE COLLEGE'S ACCRUAL METHOD OF ACCOUNTING. PART III, COL (C): THE NUMBER OF RECIPIENTS FOR STUDENT SCHOLARSHIPS AND STUDENT LOANS WAS BASED ON FINANCIAL AID RECORDS OF RECIPIENTS. THE NUMBER OF RECIPIENTS FOR STUDENT RESEARCH AND TRAVEL GRANTS WAS ESTIMATED BASED ON THE NUMBER OF PAYEES (CASH GRANTS) AND/OR THE NUMBER OF RESEARCH PROJECTS FUNDED (CASH AND NONCASH GRANTS). 1 FULTON THEATRE PO BOX 1865 LANCASTER PA 17608 231631733 501(C)(3) 12500 STAGE PRODUCTIONS LANCASTER GENERAL HEALTH FOUNDATION 609 N CHERRY STREET PO BOX 2555 LANCASTER PA 17604 205767147 501(C)(3) 20500 CANCER INSTITUTE SUPPORT MILLPORT CONSERVANCY 737 E MILLPORT RD LITITZ PA 17543 222436077 501(C)(3) 100000 GENERAL SUPPORT LANCASTER CITY ALLIANCE 354 N PRINCE STREET LANCASTER PA 17603 463353021 501(C)(3) 150000 TO SUPPORT LANCASTER CITY'S ECONOMIC DEVELOPMENT PLAN AMERICAN HEART ASSOCIATION 610 COMMUNITY WAY LANCASTER PA 17603 135613797 501(C)(3) 5000 2015 HEART BALL CITY OF LANCASTER 120 N DUKE STREET PO BOX 1599 LANCASTER PA 17608 236001904 GOVERNMENT ENTITY 6667 FIRST FRIDAY CRISPUS ATTUCKS COMMUNITY CENTER 407 HOWARD AVENUE LANCASTER PA 17602 232182995 501(C)(3) 11000 EVENT SPONSORSHIP 7 0 PRIZES AND AWARDS 207 128612 28455 COST NON-CASH PRIZES STUDENT RESEARCH AND TRAVEL GRANTS 197 90840 309378 COST SUPPLIES, TRAVEL EXPENSE STUDENT SCHOLARSHIPS 1200 36007296 COST TUITION REDUCTIONS PART I, LINE 2: STUDENT SCHOLARSHIPS ARE APPLIED DIRECTLY TO STUDENT ACCOUNTS. STUDENTS CAN APPLY FOR CERTAIN GRANTS AND CAN ALSO BE NOMINATED FOR GRANTS BY FACULTY. EACH STUDENT HAS INDIVIDUAL ACCOUNTS WITH THE AMOUNT OF THEIR GRANTS; REIMBURSEMENTS ARE APPROVED AND THEN GIVEN TO THE STUDENT. TRAVEL AND STUDENT RESEARCH GRANTS REQUIRE SUBSTANTIATION. PART III: ACCOUNTING FOR CASH AND NONCASH ASSISTANCE: PAYMENTS/REIMBURSEMENTS DIRECTLY TO RECIPIENTS ARE CONSIDERED CASH ASSISTANCE. PAYMENTS TO VENDORS TO BENEFIT RECIPIENTS, OR THE PURCHASE OF NONCASH ITEMS TO BE GIVEN TO RECIPIENTS, ARE CONSIDERED NONCASH ASSISTANCE. PART III, COLUMN B: NUMBER OF RECIPIENTS: THE NUMBER OF RECIPIENTS FOR STUDENT SCHOLARSHIPS IS BASED ON THE FINANCIAL AID RECORDS OF RECIPIENTS. THE NUMBER OF RECIPIENTS FOR PRIZES AND AWARDS IS ESTIMATED BASED ON THE NUMBER OF PAYEES (CASH PRIZES/AWARDS), AND THE NUMBER OF RECIPIENTS BENEFITTED BY THE NUMBER OF ITEMS PURCHASED (NONCASH PRIZES/AWARDS). THE NUMBER OF RECIPIENTS FOR STUDENT RESEARCH AND TRAVEL GRANTS IS ESTIMATED BASED ON THE NUMBER OF PAYEES (CASH GRANTS); AND/OR THE NUMBER OF RESEARCH PROJECTS FUNDED (CASH AND NONCASH GRANTS). X X X X 1 1 X X X 0 0 0 0 0 0 0 1 0 DANIEL R PORTERFIELD PRESIDENT 450483 0 31940 0 5876 0 31200 0 83469 0 602968 0 0 0 CASUNDRA AMUNDSON TILL 32015 VP FOR COLLEGE COMMUNICATIONS 160347 0 223 0 1105 0 19558 0 17771 0 199004 0 0 0 PIERCE BULLER GENERAL COUNSEL 174297 0 15000 0 775 0 13564 0 14494 0 218130 0 0 0 ALAN CANIGLIA VP FOR PLANNING AND VICE PROVOST 177923 0 53 0 0 0 27247 0 11327 0 216550 0 0 0 MATTHEW K EYNON VP FOR COLLEGE ADVANCEMENT 287496 0 750 0 3478 0 31200 0 31989 0 354913 0 0 0 MARGARET L HAZLETT DEAN OF COLLEGE 195642 0 87 0 1403 0 23009 0 26785 0 246926 0 0 0 J SAMUEL HOUSER VP FOR STRATEGIC INITITATIVES 170667 0 5217 0 2015 0 25780 0 7541 0 211220 0 0 0 ROBYN L PIGGOTT EXECUTIVE ASSISTANT TO PRES. 132696 0 0 0 1200 0 16214 0 10987 0 161097 0 0 0 DAVID PROULX VP FOR FINANCE & ADMINISTRATION 303587 0 650 0 1775 0 31200 0 17885 0 355097 0 0 0 JOSEPH J KARLESKY INTERIM PROVOST & DEAN OF FACULTY 179309 0 1413 0 720 0 27104 0 16211 0 224757 0 0 0 DANIEL G LUGO VP & DEAN OF ADMISSIONS & FIN. AID 200122 0 12848 0 1614 0 24462 0 18265 0 257311 0 0 0 ANN STEINER FORMER PROVOST & DEAN OF FACULTY 193591 0 162 0 0 0 29369 0 10749 0 233871 0 0 0 BETH THRONE AVP STUDENT & POST-GRADUATE DEV. 160592 0 15000 0 600 0 19534 0 16783 0 212509 0 0 0 STANELY MERTZMAN PROFESSOR OF GEOSCIENCES 169920 0 0 0 0 0 25488 0 294 0 195702 0 0 0 PART I, LINE 1A PRESIDENT - COLLEGE OWNED PROPERTY HOUSING IS PROVIDED FOR THE CONVENIENCE OF THE COLLEGE AND IS A CONDITION OF EMPLOYMENT. CUSTODIAL SERVICES ARE PROVIDED TO MAINTAIN AND REFRESH THE PROPERTY FOR COLLEGE EVENTS AND ACTIVITIES HELD AT THE RESIDENCE. THE HOUSING AND CUSTODIAL SERVICES ARE NOT INCLUDED IN TAXABLE COMPENSATION. THE COLLEGE, FOR COLLEGE BUSINESS PURPOSES, REIMBURSES HEALTH/SOCIAL CLUB DUES AND BUSINESS EXPENSES. THESE REIMBURSEMENTS ARE NOT INCLUDED IN TAXABLE COMPENSATION. TAXABLE COMPENSATION IS PAID TO ACCOUNT FOR TAXES ON ADDITIONAL LIFE AND LTD INSURANCE PREMIUMS. A COLLEGE LEASED VEHICLE IS PROVIDED FOR TRAVEL RELATED ACTIVITIES. PERSONAL USE OF THE VEHICLE IS INCLUDED IN TAXABLE COMPENSATION. VP OF FINANCE AND ADMINISTRATION - TAXABLE COMPENSATION IS PAID TO ACCOUNT FOR TAXES ON ADDITIONAL LIFE AND LTD INSURANCE PREMIUMS. THE COLLEGE, FOR COLLEGE BUSINESS PURPOSES, REMIBURSES HEALTH/SOCIAL CLUB DUES AND BUSINESS EXPENSES. THESE REIMBURSEMENTS ARE NOT INCLUDED IN TAXABLE COMPENSATION. VP FOR COLLEGE COMMUNICATIONS - TAXABLE COMPENSATION IS PAID TO ACCOUNT FOR TAXES ON ADDITIONAL LIFE AND LTD INSURANCE PREMIUMS. PROVOST & DEAN OF THE FACULTY - TAXABLE COMPENSATION IS PAID TO ACCOUNT FOR TAXES ON ADDITIONAL LIFE AND LTD INSURANCE PREMIUMS. VP OF COLLEGE ADVANCEMENT - THE COLLEGE, FOR COLLEGE BUSINESS PURPOSES, REIMBURSES HEALTH/SOCIAL CLUB DUES AND BUSINESS EXPENSES. THESE REIMBURSEMENTS ARE NOT INCLUDED IN TAXABLE COMPENSATION. TAXABLE COMPENSATION IS PAID TO ACCOUNT FOR TAXES ON ADDITIONAL LIFE AND LTD INSURANCE PREMIUMS. DEAN OF THE COLLEGE: TAXABLE COMPENSATION IS PAID TO ACCOUNT FOR TAXES ON ADDITIONAL LIFE AND LTD INSURANCE PREMIUMS. COLLEGE OWNED PROPERTY HOUSING IS PROVIDED FOR THE CONVENIENCE OF THE COLLEGE AND IS A CONDITION OF EMPLOYMENT. PERSONAL SERVICES FOR MAID/CLEANING SERVICES ARE PAID TO MAINTAIN AND REFRESH THE PROPERTY FOR COLLEGE EVENTS AND ACTIVITIES HELD AT THE PROPERTY. THE HOUSING AND CUSTODIAL SERVICES ARE NOT INCLUDED IN TAXABLE COMPENSATION. VP & DEAN OF ADMISSION & FINANCIAL AID - TAXABLE COMPENSATION IS PAID TO ACCOUNT FOR TAXES ON ADDITIONAL LIFE AND LTD INSURANCE PREMIUMS. CHIEF OF STAFF & SECRETARY OF THE COLLEGE - TAXABLE COMPENSATION IS PAID TO ACCOUNT FOR TAXES ON ADDITIONAL LIFE AND LTD INSURANCE PREMIUMS. PART I, LINE 7 THE COMPENSATION COMMITTEE, FOLLOWING THE RECOMMENDATION OF THE PRESIDENT, ESTABLISHES APPROPRIATE BONUS COMPENSATION, IF ANY, FOR SENIOR OFFICERS, FOLLOWING PERFORMANCE REVIEW, APPLICABLE EMPLOYMENT AGREEMENTS, AND OTHER FACTORS." A LANCASTER HIGH EDUCATION AUTHORITY 232224897 514328FY4 2006-05-01 56364018 REFUND 6/15/1997 ISSUE, LIFE SCIENCE BUILDING PROJECT, AND ARMSTRONG PROJECT 0 0 0 B LANCASTER HIGH EDUCATION AUTHORITY 232224897 514328CB3 2008-06-19 29891597 NEW RESIDENCE HALL, HARRIS CENTER, KLEHR CENTER, NORFOLK SOUTHERN PROJECT 0 0 0 A 5240000 57165704 33 598639 22802032 33765000 2007 1 0 1 1 B 30115043 671694 439501 29003846 2011 0 0 1 1 A 0 1 1 1 0 0.00000 0.00000 0 0 1 B 0 0 1 1 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 A 1 B 1 PART II, LINE 3 DIFFERENCE BETWEEN GROSS PROCEEDS AND ISSUE PRICE: BOND ISSUES A & B: THE DIFFERENCE BETWEEN THE GROSS PROCEEDS AND THE ISSUE PRICE IS DUE TO INVESTMENT EARNINGS. X 5 75283 APPRAISAL X 2525 COMPARABLE SALES X 315 THRIFT SHOP VALUE X 31 898188 NYSE X EVENT EXPENSES 25 12541 PURCHASE PRICE 1 0 1 1 PART I, COLUMN (B): THE NUMBER OF CONTRIBUTIONS IN COLUMN B IS EQUAL TO THE NUMBER OF ITEMS RECEIVED FOR LINES 1 AND 25. THE NUMBER IN COLUMN B FOR LINE 9 REPRESENTS THE NUMBER OF CONTRIBUTIONS. PART I, LINE 32B: A THIRD PARTY IS USED TO PROCESS AND SELL CONTRIBUTIONS OF SECURITIES. DURING ACCESSION AND DEACCESSION OF COLLECTION ITEMS, APPRAISERS AND AUCTION SERVICES MAY BE USED. FORM 990, PART VI, SECTION A, LINE 1 THE COLLEGE HAS AN EXECUTIVE COMMITTEE WHO IS AUTHORIZED TO ACT IN PLACE OF THE FULL BOARD AT ALL TIMES. THE COMMITTEE IS COMPOSED OF 11 MEMBERS OF THE BOARD, INCLUDING THE PRESIDENT, DURING THE FISCAL YEAR. FORM 990, PART VI, SECTION B, LINE 11 THE ORGANIZATION ENLISTS AN OUTSIDE PUBLIC ACCOUNTNG FIRM TO ASSIST IN ASSEMBLING AND REVIEWING THE FORM 990. AN INTERNAL REVIEW BY THE FINANCE ADMINISTRATION IS PERFORMED ONCE THE ACCOUNTING FIRM COMPLETES ITS WORK. THE AUDIT COMMITTEE NEXT REVIEWS THE RETURN, AND ALL COMMENTS ARE ADDRESSED TO AND ANSWERED BY BOTH THE PUBLIC ACCOUNTING FIRM AND INTERNAL PREPARERS. ONCE ALL EXTERNAL AND INTERNAL REVIEW IS COMPLETE, A COPY OF FORM 990 IS SUPPLIED TO ALL MEMBERS OF THE BOARD OF TRUSTEES PRIOR TO ITS FILING. FORM 990, PART VI, SECTION B, LINE 12C THE CONFLICT OF INTEREST POLICY IS CIRCULATED TO OFFICERS AND TRUSTEES ANNUALLY, REQUESTING A DECLARATION AND EXPLANATION OF POTENTIAL CONFLICTS WITH PROFESSIONAL AND OTHER DUTIES, INCLUDING MEMBERSHIP ON OTHER BOARDS. THE EXECUTIVE COMMITTEE OF THE BOARD MONITORS THE POLICY THROUGH THIS ANNUAL PROCESS. OFFICERS AND TRUSTEES CANNOT PARTICIPATE IN DELIBERATIONS OR ACTIONS BY THE COLLEGE WITH RESPECT TO ANY PROPOSED TRANSACTION OR RELATIONSHIP WITH RESPECT TO WHICH THE TRUSTEE OR OFFICER HAS A FINANCIAL INTEREST OR OTHER CONFLICT OF INTERESTS. FAMILY AND BUSINESS RELATIONSHIPS ARE EXPRESSLY MENTIONED IN THE CONFLICT OF INTEREST POLICY AS BEING POSSIBLE SOURCES OF CONFLICTS. FORM 990, PART VI, SECTION B, LINE 15 EACH YEAR, PERFORMANCE REVIEWS ARE CONDUCTED BETWEEN FEBRUARY AND MAY FOR SENIOR OFFICERS (PRESIDENT, VICE PRESIDENTS, PROVOST, AND DEAN OF THE COLLEGE). INDEPENDENTLY GATHERED COMPARISON COMPENSATION DATA IS REVIEWED BY THE COMPENSATION COMMITTEE, AND EXECUTIVE COMPENSATION DETERMINATIONS ARE MADE BY THE COMMITTEE BASED ON PERFORMANCE AND BENCHMARK DATA THAT MAINTAIN EXECUTIVE COMPENSATION WITHIN FAIR MARKET RANGE FOR HIGHER EDUCATION. COMPENSATION DECISIONS ARE CONTEMPORANEOUSLY DOCUMENTED IN THE COMMITTEE'S MEETING MINUTES. FORM 990, PART VI, SECTION C, LINE 19 THE COLLEGE'S FINANCIAL STATEMENTS, GOVERNING DOCUMENTS, AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: CHANGES IN ANNUITY OBLIGATIONS -5,808,014. INDIRECT COST RECOVERY 252,712. 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