2016-05-13T11:59:59-05:00 2015-06-30 PricewaterhouseCoopers LLP 300 Madison Avenue New York NY 10017 990 2014-07-01 135598093 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK % JULIA SHANAHAN TRUS 2128544684 615 WEST 131ST STREET MC 8741 NEW YORK NY 100277922 BARBARA HOUGH CONTROLLER 6464713000 2016-05-09 true COLLEEN ADAMS P01349647 6464713000 2014 2016-08-17 19:52:53Z Lee C Bollinger 615 West 131st St MC 8741 New York NY 100277922 6873144922 false X www.columbia.edu X 1754 NY SEE ATTACHMENT 1 24 22 33092 25061 -31656745 -35277024 1234408267 1239104776 2440050978 2617833458 605881496 856912768 190686992 196855400 4471027733 4910706402 552653565 566214875 0 0 2284812951 2446841211 728275 1048938 113022057 1077840975 1125169322 3916035766 4139274346 554991967 771432056 15957288201 16779372320 2934430851 3188748283 13022857350 13590624037 X COLUMBIA UNIVERSITY IS ONE OF THE WORLD'S MOST IMPORTANT CENTERS OF RESEARCH AND AT THE SAME TIME A DISTINCTIVE AND DISTINGUISHED LEARNING ENVIRONMENT FOR UNDERGRADUATES AND GRADUATE STUDENTS IN MANY SCHOLARLY AND PROFESSIONAL FIELDS. THE UNIVERSITY RECOGNIZES THE IMPORTANCE OF ITS LOCATION IN NEW YORK CITY AND SEEKS TO LINK ITS RESEARCH AND TEACHING TO THE VAST RESOURCES OF A GREAT METROPOLIS. IT SEEKS TO ATTRACT A DIVERSE AND INTERNATIONAL FACULTY AND STUDENT BODY, TO SUPPORT RESEARCH AND TEACHING ON GLOBAL ISSUES, AND TO CREATE ACADEMIC RELATIONSHIPS WITH MANY COUNTRIES AND REGIONS. IT EXPECTS ALL AREAS OF THE UNIVERSITY TO ADVANCE KNOWLEDGE AND LEARNING AT THE HIGHEST LEVEL AND TO CONVEY THE PRODUCTS OF ITS EFFORTS TO THE WORLD. false false 1442711012 452575102 1285956661 COLUMBIA UNIVERSITY IS A PRIVATE, NONSECTARIAN, NONPROFIT INSTITUTION OF HIGHER EDUCATION WHOSE ACTIVITIES ARE CONCENTRATED AT TWO LOCATIONS IN NEW YORK CITY BUT EXTEND ACROSS THE GLOBE. THE UNIVERSITY PROVIDES INSTRUCTION THROUGH SIXTEEN UNDERGRADUATE, GRADUATE, AND PROFESSIONAL SCHOOLS. IT OPERATES A VARIETY OF RESEARCH INSTITUTES AND A LIBRARY SYSTEM TO SUPPORT ITS TEACHING AND LEARNING, BASIC AND APPLIED RESEARCH, PATIENT CARE, AND PUBLIC SERVICE ACTIVITIES. THE UNIVERSITY ENROLLS APPROXIMATELY 29,870 FULL-TIME AND PART-TIME STUDENTS AND EMPLOYS APPROXIMATELY 15,945 FULL-TIME EMPLOYEES, INCLUDING 6,086 FULL-TIME FACULTY MEMBERS AND RESEARCH STAFF. 806720330 4699949 1009281697 THE UNIVERSITY, THROUGH THE COLUMBIA UNIVERSITY MEDICAL CENTER AND ITS MEDICAL FACULTY PRACTICE PLAN, PROVIDES DIRECT PATIENT CARE AND OTHER CLINICAL AND EDUCATIONAL SERVICES TO HOSPITALS AND OTHER HEALTH CARE INSTITUTIONS THROUGH CONTRACTUAL AGREEMENTS FOR SERVICES. THE CLINICAL FACULTY HANDLED APPROXIMATELY 2.0 MILLION OUTPATIENT AND EMERGENCY ROOM VISITS AND PARTICIPATED IN INSTRUCTION AND SUPERVISION OF 648 UNIVERSITY MEDICAL STUDENTS AND 941 RESIDENTS AND FELLOWS AT NEW YORK PRESBYTERIAN HOSPITAL AND OTHER AFFILIATED HOSPITALS. 537663040 107248186 160976254 THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS AND CONTRACTS WITH AGENCIES OF THE FEDERAL GOVERNMENT AND OTHER SPONSORING ORGANIZATIONS. 65319047 0 0 LIBRARY 255957496 0 0 CAMPUS OPERATIONS 294829392 0 0 INSTITUTIONAL SUPPORT 110157402 0 157434287 AUXILIARY ENTERPRISES 138260173 1691638 4184559 OTHER SOURCES 864523510 1691638 161618846 3651617892 true true false true false true false true false true true true false false true false false true true true true true false true true false false true true true true false true false false false true false true true true true true false false true true true true false false true X 36717 0 true 33092 true true true true false false false true true false false false true false false false false X 24 22 true false false false false false false true true false false true true true true true true true true false CA X JULIA SHANAHAN 2128517348 615 WEST 131ST STREET MC 8741 New York NY 10027 X LEE C BOLLINGER PRESIDENT 60.0 0.0 X X 2045281 0 428401 KENNETH A FORDE TRUSTEE 4.0 0.0 X 789000 0 2592 ROLANDO T ACOSTA TRUSTEE 4.0 0.0 X 0 0 0 ARMEN A AVANESSIANS TRUSTEE 4.0 0.0 X 0 0 0 A'LELIA BUNDLES TRUSTEE 4.0 0.0 X 0 0 0 WILLIAM V CAMPBELL TRUSTEE 4.0 0.0 X 0 0 0 LISA CARNOY TRUSTEE 4.0 0.0 X 0 0 0 NOAM GOTTESMAN TRUSTEE 4.0 0.0 X 0 0 0 JOSEPH A GREENAWAY JR TRUSTEE 4.0 0.0 X 0 0 0 JAMES HARDEN TRUSTEE 4.0 0.0 X 0 0 0 BENJAMIN HOROWITZ TRUSTEE 4.0 0.0 X 0 0 0 ANN F KAPLAN TRUSTEE 4.0 0.0 X 0 0 0 MARK E KINGDON TRUSTEE 4.0 0.0 X 0 0 0 JONATHAN LAVINE TRUSTEE 4.0 0.0 X 0 0 0 CHARLES LI TRUSTEE 4.0 0.0 X 0 0 0 PAUL J MADDON TRUSTEE 4.0 0.0 X 0 0 0 VIKRAM PANDIT TRUSTEE 4.0 0.0 X 0 0 0 MICHAEL B ROTHFELD TRUSTEE 4.0 0.0 X 0 0 0 JONATHAN D SCHILLER TRUSTEE 4.0 0.0 X 0 0 0 ESTA STECHER TRUSTEE 4.0 0.0 X 0 0 0 KYRIAKOS TSAKOPOULOS TRUSTEE 4.0 0.0 X 0 0 0 FAYE WATTLETON TRUSTEE (THROUGH 9/1/2014) 4.0 0.0 X 0 0 0 CLAIRE SHIPMAN TRUSTEE 4.0 0.0 X 0 0 0 ANDREW BARTH TRUSTEE 4.0 0.0 X 0 0 0 MARC HOLLIDAY TRUSTEE (AS OF 9/2/2014) 4.0 0.0 X 0 0 0 JANE E BOOTH GENERAL COUNSEL 60.0 0.0 X 607619 0 37385 JOHN COATSWORTH PROVOST 60.0 0.0 X 711609 0 44609 JEROME DAVIS SECRETARY 60.0 0.0 X 370332 0 41105 ROBERT KASDIN SENIOR EXECUTIVE VP 60.0 0.0 X 807668 0 71889 DAVID MADIGAN EXEC VP - ARTS & SCIENCES 60.0 0.0 X 449419 0 76224 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE 60.0 0.0 X 576256 0 63642 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 60.0 0.0 X 1225692 0 502885 PETER HOLLAND EXEC VP OF INVESTMENT MGMT 60.0 0.0 X 3384081 0 3123803 JOSEPH A IENUSO EXEC VP OF FACILITIES 60.0 0.0 X 556413 0 52609 NIRMAL NARVEKAR PRESIDENT OF INVESTMENT MGMT 60.0 0.0 X 3765705 0 3455863 FREDERICK M VAN SICKLE EXEC VP-UNIV DEV&ALM(OUTGOING) 60.0 0.0 X 206510 0 28981 AMELIA ALVERSON EXEC VP-UNIV DEV&ALM(INCOMING) 60.0 0.0 X 767077 0 27926 DAVID N SILVERS CLINICAL PROFESSOR 60.0 0.0 X 4586928 0 46999 JEFFREY W MOSES PROFESSOR OF MEDICINE 60.0 0.0 X 2618521 0 54172 CRAIG R SMITH PROFESSOR OF SURGERY 60.0 0.0 X 2074569 0 59973 MARTIN B LEON PROFESSOR OF SURGERY 60.0 0.0 X 1856568 0 66436 GREGG STONE PROFESSOR OF SURGERY 60.0 0.0 X 1856568 0 88459 ALAN BRINKLEY PROVOST (FORMER) 0.0 0.0 X 441725 0 62213 SUSAN K FEAGIN EXEC VP-UNIV. DEV&ALUM(FORMER) 0.0 0.0 X 467923 0 37597 30165464 0 8373763 4880 true true false TURNER CONSTRUCTION CO 375 HUDSON STREET 6TH FL NEW YORK NY 10014 CONSTRUCTION 14905454 IRELL MANELLA LLP 1800 AVENUE OF THE STARS STE 900 LOS ANGELES CA 90067 LEGAL 13399105 FXFOWLE ARCHITECTS LLP 22 WEST 19TH STREET NEW YORK NY 10011 ARCHITECTURAL 9930368 IDEAL INTERIORS GROUP LLC 450 SEVENTH AVENUE STE 1605 NEW YORK NY 10123 CONSTRUCTION 8537035 DAVIS BRODY BOND LLP 315 HUDSON STREET NEW YORK NY 10013 ARCHITECTURAL 6641633 282 X 9579909 753365372 476159495 98094807 1239104776 TUITION & FEES 611600 1285956661 1285956661 OTHER EDUCATION & RESEARCH 541700 160976254 160976254 PATIENT CARE REVENUE 621110 1009281698 1009281698 AUXILIARY ENTERPRISES 900099 157434286 153277607 4156679 OTHER SOURCES 900099 1864928 1864928 2319631 2319631 2617833458 40093184 40093184 0 89463359 89463359 164005062 140557079 23447983 0 23447983 8594 23439389 2637180180 1820360596 816819584 816819584 816819584 1073360 9579909 1520845 -447485 -447485 0 0 PARTNERSHIP INCOME 900099 84391543 -35822018 120213561 84391543 4910706402 2613676779 -31656745 1089581592 X 77436266 77436266 452013138 452013138 36765471 36765471 0 16775124 1840008 14935116 1244948 98783 1146165 1976185727 1787307332 135361698 53516697 135675772 122708255 9293308 3674209 210553532 141267224 51992653 17293655 106406108 96236105 7288440 2881563 0 41882982 41882982 4230236 4230236 698356 698356 1048938 1048938 24392726 24392726 175066032 147959114 18987697 8119221 10208792 8797727 387369 1023696 195647344 177128976 13059863 5458505 25218950 13309253 10852783 1056914 0 195223469 188170271 5562971 1490227 66096643 58563704 5114042 2418897 0 46949959 35747322 4150277 7052360 43047300 41312494 1454999 279807 0 199482659 191443508 6742514 1296637 26124040 22039752 4084288 LIBRARY 26937330 26937330 EMPLOYEE EDUCATION 7491113 7392831 53369 44913 DUES & SUBSCRIPTIONS 9031984 6483612 2087322 461050 UNRELATED BUS INCOME TAX EXP 442567 442567 26996840 10659416 10432656 5904768 4139274346 3651617892 374634397 113022057 X 0 0 1258601185 1741511978 889890192 766698032 312486426 354005111 2132499 2137730 0 0 121900518 129844514 2400306 2353460 42001926 48006594 7351330649 2745326466 4210674635 4606004183 2736980511 2725183358 5898415577 5955138791 0 0 0 0 481804426 448488569 15957288201 16779372320 272628223 305201561 0 0 253035053 305986705 1183840000 1301576000 0 0 0 0 0 0 238884000 240179000 986043575 1035805017 2934430851 3188748283 X 5722651803 6017899879 4604012047 4719353717 2696193500 2853370441 13022857350 13590624037 15957288201 16779372320 X 771432056 -176205630 -27459739 X X false true X true true true X 1969196418 1419840375 1427694060 1234408267 1239104776 7290243896 0 0 1969196418 1419840375 1427694060 1234408267 1239104776 7290243896 47671342 7242572554 239533381 274663421 252902435 294632895 293561605 1355293737 0 65425604 72303940 58925715 102676428 120213561 419545248 9065082881 11508482210 0.79895 0.80862 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false true false false false true 23247 true 42109 false true 633000 698356 false SCHEDULE C, PART II-B LINE 1A - VOLUNTEERS: N/A LINE 1B - PAID STAFF OR MANAGEMENT: THE UNIVERSITY HAS OFFICES OF GOVERNMENT AND COMMUNITY AFFAIRS AT BOTH ITS MORNINGSIDE AND MEDICAL CENTER CAMPUSES WHOSE FUNCTION IS TO KEEP THE UNIVERSITY COMMUNITY INFORMED ABOUT NATIONAL, STATE AND LOCAL LEGISLATION AND POLICY THAT HAS AN IMPACT ON THE UNIVERSITY AND, WHEN APPROPRIATE, TO ADVOCATE FOR THE UNIVERSITY'S INTERESTS WITH RESPECT TO THIS POLICY. EMPLOYEES REGULARLY INVOLVED IN THESE ACTIVITIES INCLUDE BUT ARE NOT LIMITED TO: EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS, ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, DEPUTY VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, AND PROJECT COORDINATOR FOR GOVERNMENT AND COMMUNITY AFFAIRS. LINE 1C - MEDIA ADVERTISEMENTS: N/A LINE 1D - MAILINGS TO MEMBERS, LEGISLATORS OR THE PUBLIC: N/A LINE 1E - PUBLICATIONS, OR PUBLISHED OR BROADCAST STATEMENTS: N/A LINE 1F - GRANTS TO OTHER ORGANIZATIONS FOR LOBBYING PURPOSES: THE UNIVERSITY BELONGS TO CERTAIN HIGHER EDUCATION TRADE ASSOCIATIONS. A SMALL PORTION OF THE MEMBERSHIP FEES PAID TO CERTAIN OF THESE ORGANIZATIONS GOES TO SUPPORT LOBBYING-RELATED ACTIVITIES. THESE FEES ARE REGULARLY REPORTED ON THE UNIVERSITY'S LOBBYING DISCLOSURE FILINGS. LINE 1G - DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, OR A LEGISLATIVE BODY: THE PRESIDENT, THE SENIOR EXECUTIVE VICE PRESIDENT, THE EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, THE ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE ASSISTANT VICE PRESIDENT FOR PLANNING AND PROJECT COORDINATION, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, AMONG OTHER COLUMBIA UNIVERSITY EMPLOYEES, CONTACTED FEDERAL, STATE, AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES. THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCE, THE DEPUTY VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, AND OTHER COLUMBIA UNIVERSITY MEDICAL CENTER EMPLOYEES CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES, HEALTH SCIENCES ISSUES AND OTHER ISSUES AFFECTING ACADEMIC MEDICAL CENTERS. THE AMOUNTS SHOWN ON LINE 1G REFLECT PAID STAFF AND MANAGEMENT ACTIVITIES. LINE 1H - RALLIES, DEMONSTRATIONS, SEMINARS, CONVENTIONS, SPEECHES, LECTURES OR ANY OTHER MEANS: N/A LINE 1I - OTHER ACTIVITIES: DURING THE REPORTING PERIOD, THE UNIVERSITY RETAINED OUTSIDE FIRMS FOR CONSULTING AND ADVOCACY AT THE FEDERAL, STATE AND LOCAL LEVELS OF GOVERNMENT. THE AMOUNTS SHOWN ON LINE 1I INCLUDE AMOUNTS PAID TO SUCH OUTSIDE FIRMS FOR ALL ACTIVITIES CONDUCTED BY SUCH FIRMS, INCLUDING CERTAIN OF THE ACTIVITIES DESCRIBED ABOVE AND GENERAL ADVISORY SERVICES TO THE UNIVERSITY IN CONNECTION WITH ITS LOBBYING ACTIVITIES. 6 0 197500 45575923 true true X X X X true 9223047000 270192000 739892000 99309000 449275000 45481000 9639066000 8197880000 173837000 1424763060 92209000 440268000 40956060 9223047000 7654152000 165932000 871686632 81338000 374447000 38105632 8197880000 7789579000 183419000 161239000 84742000 363392000 31951000 7654152000 6516512000 202175000 1503257000 71786000 329582000 30998000 7789578000 0.37000 0.63000 0.00000 true false 455538000 455538000 5300611321 2195560625 3105050696 375826591 211332410 164494181 1219354737 338433431 880921306 4606004183 GLOBAL EQUITIES 706599488 F ABSOLUTE RETURN STRATEGIES 1470624032 F PRIVATE EQUITY 2267830493 F REAL ESTATE ASSETS 1510083584 F FIXED INCOME 1194 F 5955138791 0 LIABILITY FOR SECURITIES PURCH 14011323 CAPITAL LEASE OBLIGATIONS 122680103 COND'L ASSET RETIREMENT OBLIGA 117749632 ACCRUED EMPLOYEE BENEFIT LIAB. 178801753 FEDERAL STUDENT LOAN FUNDS 79794616 ACTUARIAL LIAB- SPLIT INT AGRM 53249075 OTHER LONG TERM LIABILITIES 469518515 1035805017 X DETAIL OF UNIVERSITY COLLECTIONS/TEXT OF AUDIT FOOTNOTE SCHEDULE D, PART III, LINES 1A, 2A & 4 COLLECTIONS AT THE UNIVERSITY INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES, AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S GALLERIES, LIBRARIES, AND BUILDINGS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE AND, THEREFORE, ARE NOT RECOGNIZED AS ASSETS ON THE CONSOLIDATED BALANCE SHEET. COSTS ASSOCIATED WITH PURCHASING ADDITIONS AND MAINTAINING THESE COLLECTIONS ARE RECORDED AS OPERATING EXPENSES IN THE PERIOD IN WHICH THE ITEMS ARE ACQUIRED. INTENDED USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 COLUMBIA UNIVERSITY'S ENDOWMENT FUNDS SUPPORT A RANGE OF PURPOSES IN ACCORDANCE WITH THE UNIVERSITY'S MISSION, INCLUDING: FINANCIAL AID; FACULTY SALARIES AND SUPPORT; RESEARCH; CAPITAL PROJECTS; GENERAL SUPPORT OF THE UNIVERSITY, SCHOOLS, DEPARTMENTS, INSTITUTES AND CENTERS. FIN 48 SCHEDULE D, PART X, LINE 2 THE UNIVERSITY BELIEVES THAT ITS TAX POSITIONS AS THEY RELATE TO THE IMPACT ON THE FINANCIAL STATEMENTS OF FIN 48 ARE HIGHLY CERTAIN. true true true true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 COLUMBIA UNIVERSITY CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND THE WORLD. ITS EDUCATIONAL PROGRAMS SEEK A BROAD CROSS-SECTION OF STUDENTS FROM THE METROPOLITAN AREA. IT FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY OF ADMISSION AND INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARDS STUDENTS IN ALL SCHOOL AND PROGRAM BULLETINS. IT ALSO REFERS TO THIS POLICY IN ALL WRITTEN ADVERTISING. IT THEREFORE MEETS THE CRITERIA UNDER REV. PROC. 75-50, SECTION 4.03-2(B)FOR EXEMPTION FROM THE PUBLICITY REQUIREMENTS OF SECTION 4.03-1. SCHEDULE E, LINE 6A COLUMBIA UNIVERSITY RECEIVES FEDERAL, STATE AND LOCAL GOVERNMENTAL FUNDING THAT SUPPORTS ITS CORE INSTRUCTIONAL AND RESEARCH PROGRAMS. true Antarctica 0 5 Program Services EDUC/RESEARCH/OUTREACH 7408 Central America and the Caribbean 2 328 Program Services EDUC/RESEARCH/OUTREACH 1123953 Central America and the Caribbean Grantmaking 154818 Central America and the Caribbean Fundraising 1845 Central America and the Caribbean Investments 4286228598 East Asia and the Pacific 9 1677 Program Services EDUC/RESEARCH/OUTREACH 9813838 East Asia and the Pacific Grantmaking 1537716 East Asia and the Pacific Fundraising 1920742 East Asia and the Pacific Investments 576605294 Europe (Including Iceland and Greenland) 15 3233 Program Services EDUC/RESEARCH/OUTREACH 18470962 Europe (Including Iceland and Greenland) Grantmaking 3119672 Europe (Including Iceland and Greenland) Fundraising 356108 Europe (Including Iceland and Greenland) Investments 311265125 Middle East and North Africa 2 445 Program Services EDUC/RESEARCH/OUTREACH 3669414 Middle East and North Africa Fundraising 91573 Middle East and North Africa Investments 91009 North America 4 619 Program Services EDUC/RESEARCH/OUTREACH 964052 North America Grantmaking 1091984 North America Fundraising 115786 North America Investments 17776470 Russia and the Newly Independent States 1 154 Program Services EDUC/RESEARCH/OUTREACH 788254 Russia and the Newly Independent States Grantmaking 134909 Russia and the Newly Independent States Fundraising 4527 South America 7 607 Program Services EDUC/RESEARCH/OUTREACH 2947067 South America Grantmaking 614733 South America Fundraising 84062 South Asia 4 480 Program Services EDUC/RESEARCH/OUTREACH 3526490 South Asia Grantmaking 927794 South Asia Fundraising 127954 Sub-Saharan Africa 43 1959 Program Services EDUC/RESEARCH/OUTREACH 82195441 Sub-Saharan Africa Grantmaking 29183845 Sub-Saharan Africa Fundraising 5891 Sub-Saharan Africa Investments 95316710 32 6307 55 3200 87 9507 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EDU/RESEARCH 17295 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 17295 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 17295 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 17295 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 17295 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 8648 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 105305 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 50771 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 28830 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 55412 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 6493 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 6493 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 6493 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 6493 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 6493 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 91332 FURNITURE BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 68202 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 172300 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 50849 EQUIPMENT BOOK VALUE Sub-Saharan Africa EDU/RESEARCH 39967 EQUIPMENT BOOK VALUE 134 0 true true true true true true SUPPLEMENTAL INFORMATION SCHEDULE F, PART I, LINE 2 ORGANIZATION'S PROCEDURES FOR MONITORING GRANT FUNDS THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF ALL SPONSORED PROJECT GRANT FUNDING. THIS POLICY IS CONTAINED IN THE "SPONSORED PROJECTS HANDBOOK". THE POLICY STATES THAT THE PRIMARY OBLIGATION FOR THE DAY-TO-DAY MANAGEMENT OF SPONSORED PROJECTS AND INSURING COMPLIANCE WITH FEDERAL AND OTHER SPONSOR REGULATIONS IS THE RESPONSIBILITY OF THE PRINCIPAL INVESTIGATOR SUPPORTED, AS NECESSARY, BY HIS OR HER ADMINISTRATIVE STAFF. ADDITIONALLY, THE POLICY SPECIFIES THE FOLLOWING MONITORING PROCEDURES: - MONTHLY ACCOUNT RECONCILIATION - REVIEW OF SALARY AND BENEFIT CHARGES - REVIEW OF VENDOR INVOICES - REVIEW OF CHARGES INITIATED BY SERVICE OR RECHARGE CENTERS - REVIEW OF FACILITIES AND ADMINISTRATIVE CHARGES - MONITORING OF SUB-AWARDS THROUGH REVIEW OF CHARGES AND TECHNICAL PERFORMANCE REPORTS, CONDUCTING PERIODIC ONSITE VISITS, AND INITIATING AUDITS/REVIEWS WHEN NECESSARY EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. MOST OF THE ACTIVITY RELATES TO U.S. GOVERNMENT FUNDED PROGRAM SERVICES. OTHER ACTIVITY INCLUDES FACULTY AND STAFF TRAVEL FOR EDUCATIONAL, RESEARCH, FUNDRAISING AND OTHER PROGRAM SERVICES. NOT ALL OF THE OVERSEAS EXPENDITURES ARE SEPARATELY TRACKED AS FOREIGN ACTIVITY. THE AMOUNTS REPRESENTED ON SCHEDULE F REPRESENT THE UNIVERSITY'S GOOD FAITH EFFORTS TO CAPTURE FOREIGN ACTIVITY. ----------------------------------------------------------------- FORM 990, SCHEDULE F, PART I, COLUMN (F) & PART II, LINE 1 COLUMBIA UNIVERSITY ACCOUNTS FOR ALL FOREIGN EXPENDITURES, INCLUDING CASH GRANTS AND NONCASH ASSISTANCE, ON THE ORGANIZATION'S FINANCIAL STATEMENTS IN ACCORDANCE WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES IN THE UNITED STATES. ---------------------------------------------------------------- FORM 990, SCHEDULE F, PART I THE AMOUNTS LISTED ON SCHEDULE F, PART I AS TOTAL EXPENDITURES FOR INVESTMENTS FOR CERTAIN REGIONS INCLUDES BOTH THE BOOK VALUE OF INVESTMENTS AND SEPARATELY TRACKED INVESTMENT EXPENDITURES IN THAT REGION. THE BREAKOUT OF THE AMOUNTS ARE AS FOLLOWS: 1) CENTRAL AMERICA AND THE CARIBBEAN - BOOK VALUE $4,286,228,598 2) EAST ASIA AND THE PACIFIC - BOOK VALUE $576,578,659 AND EXPENDITURES $26,635 3) EUROPE - BOOK VALUE $311,144,903 AND EXPENDITURES $120,222 4) MIDDLE EAST AND NORTH AFRICA - BOOK VALUE $91,009 4) NORTH AMERICA - BOOK VALUE $17,776,470 6) SUB-SAHARAN AFRICA - BOOK VALUE $95,316,710 ---------------------------------------------------------------- X X X X X X X true RUFFALO NOEL LEVITZ LLC 1025 KIRKWOOD PARKWAY SW CEDAR RAPIDS IA 52404 CONSULTING false 1574522 598382 976140 STORY WORLDWIDE LLC 87 WALL STREET SEATTLE WA 98121 CONSULTING false 3688308 344356 3343952 KIMBIA INC 1050 E 11TH ST SUITE 200 AUSTIN TX 78702 CONSULTING false 3688308 91700 3596608 LESLIE KELLY 40 WITCH LANE ROWAYTON CT 06853 CONSULTING false 3688308 14500 3673808 12639446 1048938 11590508 NY ANNUAL DINNER 2543260 2427944 115316 27 85564 240180 1600 21021 AWARDS DINNER 1295812 1214187 81625 2500 232343 61191 50 6814197 5937778 876419 876419 10653269 9579909 1073360 2527 317907 240180 1600 958631 1520845 -447485 Schedule G, Part I, Line 2b, Column V Payment of Fees and Expenses The amount reported for Story Worldwide LLC includes approximately $1,500 of travel costs and $5,000 of creative asset costs (e.g., photography, imagery, music). 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Queens Comprehensive Perinatal Council 112870422 501(C)(3) 5974 N/A N/A EDUC/RESEARCH MERCER UNIVERSITY 580566167 501(C)(3) 5948 N/A N/A EDUC/RESEARCH UNIV OF VERMONT &STATE AGRICULTURAL COLLEGE 030179440 501(C)(3) 5912 N/A N/A EDUC/RESEARCH MOUNTAIN STUDIES INSTITUTE 731644103 501(C)(3) 5455 N/A N/A EDUC/RESEARCH Dominican Womens Development Center 133593885 501(C)(3) 5400 N/A N/A EDUC/RESEARCH University of Kansas Medical Center 481108830 501(C)(3) 5086 N/A N/A EDUC/RESEARCH NYC DEPT OF HEALTH AND MENTAL HYGIENE 136400434 Government 180913 N/A N/A EDUC/RESEARCH DEPARTMENT OF COMMERCE 520821608 Government 103944 N/A N/A EDUC/RESEARCH NEW YORK CITY HOUSING AUTHORITY 136400571 Government 46575 N/A N/A EDUC/RESEARCH PUERTO RICO DEPARTMENT OF HEALTH 900002462 Government 41840 N/A N/A EDUC/RESEARCH WESTCHESTER COUNTY DEPARMENT OF HEALTH 136007353 Government 17500 N/A N/A EDUC/RESEARCH Adults & Children in TrustChildrens' Quest 131623934 501(C)(3) 12000 N/A N/A EDUC/RESEARCH Behind the Book Inc 320086097 501(C)(3) 6000 N/A N/A EDUC/RESEARCH Bloomingdale School of Music 132562192 501(C)(3) 6000 N/A N/A EDUC/RESEARCH Broadway Presbyterian Church Nursery School 131623916 501(C)(3) 10000 N/A N/A EDUC/RESEARCH Cathedral Community Cares -St John Dvne 131623934 501(C)(3) 10000 N/A N/A EDUC/RESEARCH Children's Learning Cntr Morningside Hghts 134111840 501(C)(3) 10000 N/A N/A EDUC/RESEARCH Community Impact Inc 133386904 501(C)(3) 10000 N/A N/A EDUC/RESEARCH Doing Art Together Inc 133363579 501(C)(3) 5500 N/A N/A RESEARCH Figure Skating In Harlem 133945168 501(C)(3) 6500 N/A N/A RESEARCH Friends of the Children NY 061597902 501(C)(3) 6000 N/A N/A RESEARCH Graham Windham-Beacon Ctr Youth Lit Program 132926426 501(C)(3) 8000 N/A N/A RESEARCH Harlem Academy 562454573 501(C)(3) 9000 N/A N/A RESEARCH Harlem Hospital - Adulth HIV Services 132655001 501(C)(3) 5500 N/A N/A RESEARCH Harlem Hospital Pulmonary Medicine 132655001 501(C)(3) 10000 N/A N/A RESEARCH Health Leads Inc 450484533 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TUITION GRANTS AND SCHOLARSHIPS 25836 452005638 N/A DESCRIPTION OF ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANTS FORM 990, SCHEDULE I THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF THE USE OF SPONSORED PROJECT GRANT FUNDING BY SUBRECIPIENTS. THE POLICY MANDATES MONITORING IN TWO AREAS: (A) SUBRECIPIENT INSTITUTION COMPLIANCE WITH THE AUDITING REQUIREMENTS OF OMB CIRCULAR A-133, AND (B) SUBRECIPIENT INSTITUTION'S APPROPRIATE MANAGEMENT OF SUBAWARD. THE UNIVERSITY'S SPONSORED PROJECTS FINANCE GROUP COLLECTS A-133 REPORTS FROM SUBRECIPIENT INSTITUTIONS, AND THE PRINCIPAL INVESTIGATORS CARRY OUT THE SECOND TYPE OF MONITORING, PRINCIPALLY BY: - ROUTINELY GATHERING AND REVIEWING TECHNICAL PERFORMANCE REPORTS; - ROUTINELY REVIEWING INVOICES AND EXPENSES RELATIVE TO BUDGET; - CONDUCTING PERIODIC ON-SITE VISITS, WHEN NECESSARY; AND - INITIATING AUDITS, WHEN NECESSARY. X X X X X true true X X X X X false false false true false false false true false LEE C BOLLINGER PRESIDENT 1298577 0 695000 0 51704 0 26650 0 401751 0 2473682 0 0 0 KENNETH A FORDE TRUSTEE 0 0 0 0 789000 0 0 0 2592 0 791592 0 0 0 JANE E BOOTH GENERAL COUNSEL 607619 0 0 0 0 0 26650 0 10735 0 645004 0 0 0 JOHN COATSWORTH PROVOST 670463 0 0 0 41146 0 26650 0 17959 0 756218 0 0 0 ALAN BRINKLEY PROVOST (FORMER) 400725 0 0 0 41000 0 39650 0 22563 0 503938 0 0 0 JEROME DAVIS SECRETARY 370332 0 0 0 0 0 26650 0 14455 0 411437 0 0 0 SUSAN K FEAGIN EXEC VP-UNIV. DEV&ALUM(FORMER) 467923 0 0 0 0 0 26650 0 10947 0 505520 0 0 0 ROBERT KASDIN SENIOR EXECUTIVE VP 807668 0 0 0 0 0 26650 0 45239 0 879557 0 0 0 DAVID MADIGAN EXEC VP - ARTS & SCIENCES 449409 0 0 0 10 0 26650 0 49574 0 525643 0 0 0 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE 576256 0 0 0 0 0 26650 0 36992 0 639898 0 0 0 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 911789 0 0 0 313903 0 494650 0 8235 0 1728577 0 0 0 PETER HOLLAND EXEC VP OF INVESTMENT MGMT 804002 0 2580079 0 0 0 3085272 0 38531 0 6507884 0 2084472 0 JOSEPH A IENUSO EXEC VP OF FACILITIES 545365 0 11000 0 48 0 26650 0 25959 0 609022 0 0 0 NIRMAL NARVEKAR PRESIDENT OF INVESTMENT MGMT 894918 0 2870787 0 0 0 3424340 0 31523 0 7221568 0 2320144 0 FREDERICK M VAN SICKLE EXEC VP-UNIV DEV&ALM(OUTGOING) 162385 0 0 0 44125 0 20359 0 8622 0 235491 0 0 0 AMELIA ALVERSON EXEC VP-UNIV DEV&ALM(INCOMING) 527489 0 10000 0 229588 0 20150 0 7776 0 795003 0 0 0 DAVID N SILVERS CLINICAL PROFESSOR 2995560 0 1591368 0 0 0 35488 0 11511 0 4633927 0 0 0 JEFFREY W MOSES PROFESSOR OF MEDICINE 1940688 0 677833 0 0 0 31249 0 22923 0 2672693 0 0 0 CRAIG R SMITH PROFESSOR OF SURGERY 2074569 0 0 0 0 0 36018 0 23955 0 2134542 0 0 0 MARTIN B LEON PROFESSOR OF SURGERY 1856568 0 0 0 0 0 31249 0 35187 0 1923004 0 0 0 GREGG STONE PROFESSOR OF SURGERY 1856568 0 0 0 0 0 31249 0 57210 0 1945027 0 0 0 SUPPLEMENTAL COMPENSATION INFORMATION NOTES TO PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN CERTAIN LIMITED CIRCUMSTANCES, CERTAIN INDIVIDUALS MAY TRAVEL FIRST CLASS WHEN THE TRAVEL IS SUBSTANTIATED AS A REASONABLE EXPENSE TO SUPPORT THE MISSION OF THE UNIVERSITY. ANY FIRST CLASS EXCEPTIONS TO THE UNIVERSITY'S POLICY ARE SUBJECT TO REVIEW AND APPROVAL. TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT OR OF ANOTHER KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS, AS WELL AS REPRESENTING THE UNIVERSITY AT AWARDS PRESENTATIONS OR OTHER CEREMONIES OR EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS AS APPROVED BY THE BOARD OF TRUSTEES, THE UNIVERSITY PAID CERTAIN MEDICAL, DENTAL AND DISABILITY INSURANCE PREMIUMS ON THE PRESIDENT'S BEHALF, INCLUDING A TAX GROSS-UP ON THOSE AMOUNTS. THE TOTAL AMOUNT FOR PREMIUMS, FEES AND THE TAXES THEREON $33,281 IS SHOWN IN COLUMN (B)(III) AS OTHER REPORTABLE COMPENSATION. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT IS REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. THE PRESIDENT'S HOUSING HAS BEEN VALUED AT $374,024 AND IS REPORTED AS A NON-TAXABLE BENEFIT. THE UNIVERSITY ALSO PROVIDES A CAR AND DRIVER TO BE USED BY THE PRESIDENT IN CONNECTION WITH HIS DUTIES. THE PRESIDENT IS RESPONSIBLE FOR ANY PERSONAL USE OF THE HOUSEHOLD STAFF OR CAR AND DRIVER AND OTHER PERSONAL EXPENSES. PERSONAL SERVICES OTHER REPORTABLE COMPENSATION INCLUDES $4,303 IMPUTED TO DR. GOLDMAN WITH RESPECT TO PERSONAL USE OF A CAR AND DRIVER PROVIDED BY THE UNIVERSITY (SEE PART I, COLUMN (B)(III)). NOTE TO PART I, LINE 5A DR. DAVID SILVERS' COMPENSATION IS COMPRISED OF BASE COMPENSATION AND INCENTIVE COMPENSATION DETERMINED FROM HIS PERFORMANCE OF, AND REVENUES FROM, CLINICAL DUTIES IN THE UNIVERSITY'S DERMATOPATHOLOGY PRACTICE WHERE HE IS THE DIRECTOR, AND IS SUBJECT TO A CAP FOR EACH ACADEMIC YEAR. NOTE TO PART I, LINE 7 NOTE TO N.P. NARVEKAR AND PETER HOLLAND'S COMPENSATION THE UNIVERSITY HAS IMPLEMENTED A BONUS PROGRAM UNDER WHICH MR. NARVEKAR AND MR. HOLLAND ARE AWARDED PERFORMANCE-BASED BONUSES, A PORTION OF WHICH IS PAID CURRENTLY AND A PORTION OF WHICH IS SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICE WITH THE UNIVERSITY. BONUS AMOUNTS AWARDED AND DEFERRED FROM PREVIOUS PERIODS WITH EARNINGS THEREON PAID DURING THE CALENDAR YEAR REPORTING PERIOD ARE INCLUDED AS BONUS AND INCENTIVE COMPENSATION IN COLUMN B(II). AMOUNTS AWARDED DURING THE CALENDAR YEAR REPORTING PERIOD BUT SUBJECT TO VESTING ARE INCLUDED AS DEFERRED COMPENSATION IN COLUMN C. THIS AMOUNT IS ALSO INCLUDED IN COLUMN (E), PART II. THEREFORE, THE NUMBER IN COLUMN E REPRESENTS SOME DOUBLE REPORTING. THE ACTUAL AMOUNT EARNED DURING THE CALENDAR YEAR REPORTING PERIOD (CALCULATED BY SUBTRACTING COLUMN F FROM COLUMN E) IS $4,901,424 FOR MR. NARVEKAR AND $4,423,412 FOR MR. HOLLAND. NOTE TO LEE BOLLINGER'S COMPENSATION AMOUNTS FOR PRESIDENT BOLLINGER IN COLUMN (B)(II) INCLUDE PAYMENTS UNDER A PERFORMANCE-BASED BONUS AWARD. NOTE TO PROVOST BRINKLEY'S COMPENSATION PROFESSOR BRINKLEY STEPPED DOWN AS PROVOST ON AUGUST 30, 2010. THE AMOUNT SHOWN REFLECTS COMPENSATION PAID TO HIM AS A CHAIRED PROFESSOR OF HISTORY. NOTE TO DR. GOLDMAN'S COMPENSATION THE UNIVERSITY HAS AGREED TO PROVIDE DR. GOLDMAN WITH SUPPLEMENTAL RETIREMENT INCOME BASED ON CUMULATIVE ANNUAL CREDITS INCLUDING AMOUNTS FOR ACHIEVING PERFORMANCE MEASURES, SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICES TO THE UNIVERSITY. CREDITS AWARDED FOR THE CALENDAR YEAR REPORTING PERIOD $468,000 ARE INCLUDED AS DEFERRED COMPENSATION. NOTE TO KENNETH FORDE'S COMPENSATION KENNETH FORDE'S REPORTED COMPENSATION WAS PAID FROM A DEFERRED COMPENSATION AGREEMENT IN EFFECT WHEN DR. FORDE WAS A PROFESSOR OF SURGERY AT THE UNIVERSITY AND THE REPORTED NON-TAXABLE BENEFITS REFLECT BENEFITS FROM PARTICIPATION IN A RETIREE BENEFITS PLAN. DR. FORDE IS RETIRED FROM HIS UNIVERSITY POSITION AND RECEIVES NO COMPENSATION OR OTHER BENEFITS FOR HIS DUTIES AS A TRUSTEE. NOTE TO DR. MOSES', DR. SMITH'S, DR. STONE'S, & DR. LEON'S COMPENSATION THE COMPENSATION OF DR. MOSES, DR. SMITH, DR. STONE, AND DR. LEON IS SUPPORTED BY THEIR CLINICAL ACTIVITIES, GRANTS, AND SUPPORT FROM THE UNIVERSITY'S HOSPITAL AFFILIATES. NOTE ON TRUSTEES TRUSTEES' TIME DEVOTED TO POSITION (4 HOURS PER WEEK) REPRESENTS AN AVERAGE FOR ALL TRUSTEES BASED ON ATTENDANCE AT QUARTERLY MEETINGS AND REGULARLY SCHEDULED TELEPHONIC CONFERENCES THROUGHOUT THE YEAR. BOARD OFFICERS, COMMITTEE CHAIRS AND OTHER TRUSTEES OFTEN DEVOTE SIGNIFICANTLY MORE TIME TO THE POSITION. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B 146000293 649901R49 2003-03-05 122696491 FUND NEW QUALIFIED PROJECTS true false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2004B&C 146000293 64983TZD8 2004-06-30 158627817 FUND NEW QUALIFIED PROJECTS true false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2006A 146000293 64983QUE7 2006-01-18 239661663 FUND NEW QUALIFIED PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2006B 146000293 64983QUE7 2006-01-18 167228781 REFUND 1998A, 2000A & 2002B BONDS false false false A 24665000 63120000 123718793 0 0 0 802880 0 0 122097219 818694 0 2004 false false true true B 40555000 61175000 159406375 0 0 0 1020611 0 0 157343063 1042701 0 2007 false false true true C 48250000 0 246367334 0 0 0 1516885 0 0 243286427 1564052 0 2009 false false true true D 60420000 0 167228781 0 0 0 1095577 0 0 0 166133203 0 false true true true A false true true true true true 0.00000 0.00000 0.00000 false false false true B false true true true true true 0.00000 0.00000 0.00000 false false false true C false true true true true true 0.00300 0.00170 0.00470 false false false true D 0 A false false false true true false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true SCHEDULE K, PART II, LINE 3 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED ON SCHEDULE K, PART II, LINE 11 REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE WITH THE EXCEPTION OF THE 2012A, 2015A, and 2015B BOND ISSUES. ------------------------------------------------------------- SCHEDULE K, PART II, LINE 13 YEAR OF SUBSTANTIAL COMPLETION, LINE 13, HAS BEEN LEFT BLANK FOR SERIES 2006B AND SERIES 2015B SINCE THESE WERE REFUNDING ISSUES AND, AS SUCH NO PROJECTS WERE ASSOCIATED WITH THESE BONDS. ------------------------------------------------------------- SCHEDULE K, PART III, LINES 4-5 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2004B&C, SERIES 2011A, SERIES 2012A, SERIES 2015A, AND SERIES 2015B ISSUES AND MINIMAL PRIVATE BUSINESS USE FOR THE REMAINING ISSUES ON SCHEDULE K. -------------------------------------------------------------- SCHEDULE K, PART I, COLUMN (G) COLUMN (G) OF PART I HAS BEEN ANSWERED YES FOR THE 2003A&B, 2004B&C, AND 2008A BOND ISSUES. THE 2003A AND 2004B BOND ISSUES WERE FULLY DEFEASED AND THE 2008A BOND ISSUE WAS PARTIALLY DEFEASED. -------------------------------------------------------------- SCHEDULE K, PART IV, LINE 2 THE LATEST ARBITRAGE COMPUTATION DATE FOR DASNY 2003A&B, 2004B&C, 2006A, 2006B, 2008A, 2009A, 2011A AND 2012A WAS DECEMBER 31, 2014. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2008A 146000293 649903ZN4 2008-04-23 293606826 FUND NEW QUALIFIED PROJECTS true false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A 146000293 649905DF0 2009-05-14 117000000 FUND NEW QUALIFIED PROJECTS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2011A 146000293 649906AV6 2011-02-16 312102192 FUND NEW QUALIFIED PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A 146000293 649906F33 2012-06-07 174118498 REFUNDING AND FUNDING NEW PROJECTS false false false A 0 82715000 295785662 0 0 0 1641578 0 0 292178836 1965248 0 2009 false false true true B 0 0 117067254 0 0 0 823388 0 0 115269253 974613 0 2009 false false true true C 0 0 312258932 0 0 0 1678394 0 0 308005900 2574008 0 false false true true D 0 0 174157898 0 0 0 738570 0 0 173344328 75000 0 false true true true A false true true true true true 0.00000 0.00040 0.00040 false false false true B false true true true true true 0.00000 0.00050 0.00050 false false false true C false true true true true true 0.00000 0.00000 0.00000 false false false true D false true true true true true 0.00000 0.00000 0.00000 false false false true A false false false true false false 0 false 0 false true B false false false true true false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true A DORMITORY AUTHORITY OF NEW YORK 2015A 146000293 6499077D8 2015-04-23 125006199 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF NEW YORK 2015B 146000293 64990BGH0 2015-04-23 56240112 REFUND DASNY 2004B BONDS false false false A 0 0 125006199 0 0 0 482921 0 0 84000338 49116 40473823 false false false true B 0 0 56240112 0 0 0 239228 0 0 0 56000884 0 true false true true A false true true true true true 0.00000 0.00000 0.00000 false false false true B false true true true true true 0.00000 0.00000 0.00000 false false false true A false true false false false false 0 false 0 false true B false true false false false false 0 false 0 false true A true B true JOHN COATSWORTH OFFICER HOUSING X 1475000 1777730 false true true DAVID MADIGAN OFFICER HOUSING X 400000 360000 false true true 2137730 JILL S GOLDMAN SPOUSE OF KEY EMPLOYEE 98783 EMPLOYMENT false NOTES TO SCHEDULE L ALL AMOUNTS SHOWN ON SCHEDULE L REPRESENT PAYMENTS BY THE UNIVERSITY TO THE INTERESTED PERSON. THE SPOUSE OF THE KEY EMPLOYEE LISTED IN SCHEDULE L WAS AN EMPLOYEE OF THE UNIVERSITY DURING THE REPORTING PERIOD. HER COMPENSATION REPORTED ON SCHEDULE L WAS DETERMINED IN ACCORDANCE WITH THE UNIVERSITY'S REGULAR COMPENSATION PRACTICES APPLICABLE TO SIMILARLY SITUATED EMPLOYEES. NO UNIVERSITY OFFICIAL WHO WAS ALSO AN OFFICER OR DIRECTOR OF AN INTERESTED PERSON PARTICIPATED IN OR INFLUENCED THE UNIVERSITY'S DECISION ABOUT ANY TRANSACTION. SCHEDULE L, PART II THE LOAN REPORTED FOR JOHN COATSWORTH IN PART II IS INTEREST BEARING AND SECURED BY AN INTEREST IN A PRIMARY RESIDENCE. THE LOAN REPORTED FOR DAVID MADIGAN IN PART II IS INTEREST BEARING AND WAS MADE IN CONNECTION WITH A PRIMARY RESIDENCE. X 13 0 X 1 0 X 605 98094807 COST/SALES PRICE X 1 0 X 11 0 X EQUIPMENT 8 0 0 X EVENT TICKETS & FEES 11 0 0 X BOOKS 9 0 0 X HOUSEHOLD GOODS 3 0 0 X SOFTWARE 3 0 0 X ARCHIVAL RECORDS 1 0 0 X CHILDREN'S TOYS 1 0 0 X GIFT CARDS 3 0 0 X MUSICAL INSTRUMENTS 3 0 0 23 false true true USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART I, LINE 32B THE UNIVERSITY USES THIRD PARTY INVESTMENT BROKERS TO SELL NON-CASH CONTRIBUTED SECURITIES. THIRD PARTIES ARE NOT USED TO SOLICIT OR PROCESS ANY CONTRIBUTIONS. DESCRIPTION OF CONTRIBUTED PROPERTY FOR WHICH REVENUES ARE NOT REPORTED SCHEDULE M, PART I, LINE 33 UNDER FAS 116, CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. BECAUSE THE UNIVERSITY UTILIZES CONTRIBUTIONS OF ART AND HISTORICAL TREASURES IN FURTHERANCE OF PUBLIC SERVICE, THESE CONTRIBUTIONS ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. IN ADDITION, MINOR GIFTS, SUCH AS FOOD OR SUPPLIES, ARE CONSIDERED DE MINIMUS. NUMBER OF CONTRIBUTIONS SCHEDULE M, PART I, COLUMN (B) THE FIGURES IN COLUMN (B) REPRESENT THE NUMBER OF CONTRIBUTIONS RECEIVED. SUPPLEMENTAL DISCLOSURES FORM 990, PART I, LINE 4 AND PART VI, LINE 1B DETAIL REGARDING THE NUMBER OF INDEPENDENT VOTING MEMBERS THE UNIVERSITY'S PRESIDENT, A VOTING MEMBER OF THE BOARD, IS NOT COUNTED AS INDEPENDENT BECAUSE HE IS AN EMPLOYEE OF THE UNIVERSITY. IN ACCORDANCE WITH THE FORM 990 REPORTING INSTRUCTIONS, THE UNIVERSITY HAS ALSO NOT COUNTED AS INDEPENDENT FOR THE PURPOSES OF THIS QUESTION THE TRUSTEE LISTED ON SCHEDULE J WHO IS RETIRED FROM THE UNIVERSITY AND RECEIVED PREVIOUSLY-ACCRUED COMPENSATION DURING THE REPORTING PERIOD BASED UPON HIS PRIOR UNIVERSITY EMPLOYMENT. ------------------------------------------------------------- FORM 990, PART I, LINE 6 DETAIL REGARDING THE NUMBER OF VOLUNTEERS THE NUMBER SHOWN IS AN ESTIMATE OF ALUMNI VOLUNTEERS WHO WORK WITH THE UNIVERSITY'S CENTRAL ALUMNI OFFICE. ADDITIONAL VOLUNTEERS WORK IN MANY OF THE UNIVERSITY'S SCHOOLS, CENTERS AND OTHER PROGRAMS. ------------------------------------------------------------- FORM 990, PART V, LINE 4B FOREIGN COUNTRY LIST BANGLADESH BRAZIL CHILE CHINA CONGO ETHIOPIA FRANCE GERMANY INDIA ITALY COTE D'IVOIRE (IVORY COAST) JAPAN JORDAN KAZAKHSTAN KENYA KYRGYZSTAN LESOTHO MALAWI MALI MOZAMBIQUE NIGERIA RWANDA SENEGAL SOUTH AFRICA SOUTH SUDAN SWAZILAND TAJIKISTAN TANZANIA TURKEY UNITED KINGDOM (ENGLAND, NORTHERN IRELAND, SCOTLAND, AND WALES) UGANDA ZAMBIA ------------------------------------------------------------- FORM 990, PART V, LINE 7G CONTRIBUTIONS OF CERTAIN TYPES OF PROPERTY DURING THE YEAR ENDED JUNE 30, 2015, THE UNIVERSITY DID NOT RECEIVE ANY CONTRIBUTIONS OF QUALIFIED INTELLECTUAL PROPERTY. AS A RESULT, THE UNIVERSITY WAS NOT REQUIRED TO FILE FORM 8899 TO REPORT SUCH CONTRIBUTIONS. ------------------------------------------------------------- FORM 990, PART VI, LINE 2 DETAIL OF FAMILY/BUSINESS RELATIONSHIPS ARMEN AVANESSIANS AND ESTA STECHER - BUSINESS RELATIONSHIP ANN KAPLAN AND ESTA STECHER - BUSINESS RELATIONSHIP ------------------------------------------------------------- FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW 990 A SUBCOMMITTEE COMPRISED OF MEMBERS OF THE TRUSTEES AUDIT COMMITTEE REVIEWED THE FORM 990. FOLLOWING THAT REVIEW, THE FORM 990 WAS MADE AVAILABLE TO ALL TRUSTEES VIA A SECURE WEBSITE AND THEN PRESENTED TO THE FULL BOARD OF TRUSTEES AT A MEETING ON MAY 5, 2016. CHANGES MADE SUBSEQUENT TO THE MAY 5, 2016 MEETING WERE REPORTED TO THE SUBCOMMITTEE, AND ALL TRUSTEES WERE NOTIFIED OF THE CHANGES VIA ELECTRONIC MAIL. THE REVISED FORM WAS POSTED ON THE SECURE WEBSITE FOR TRUSTEE REVIEW PRIOR TO FILING. ------------------------------------------------------------- FORM 990, PART VI, LINE 12C DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST ALL TRUSTEES ARE SUBJECT TO THE "STATEMENT OF CONFLICT OF INTEREST POLICY FOR THE TRUSTEES OF COLUMBIA UNIVERSITY." WHEN A TRUSTEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCES TO THE BOARD CHAIR OR OTHERS, AS APPROPRIATE, (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE TRUSTEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSIONS OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL TRUSTEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THE DISCLOSURES ARE REVIEWED FOR APPROPRIATE ACTION. ALL OFFICERS AND KEY EMPLOYEES ARE SUBJECT TO THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST." WHEN AN OFFICER OR KEY EMPLOYEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCE TO HIS OR HER SUPERVISOR, THE TRUSTEES OR OTHERS, AS APPROPRIATE; (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE OFFICER OR EMPLOYEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSION OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL OFFICERS AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THESE DISCLOSURES ARE REVIEWED AND ANY DISCLOSURES THAT COULD GIVE RISE TO CONFLICTS AS IDENTIFIED THROUGH SUCH REVIEW ARE REPORTED TO AN APPROPRIATE SENIOR OFFICER. ANY SUBSTANTIVE CONCERNS ARE ALSO REPORTED TO THE CHAIR OF THE BOARD OF TRUSTEES. ------------------------------------------------------------- FORM 990, PART VI, LINES 15A AND 15B COMPENSATION PROCESS THE UNIVERSITY FOLLOWS THE REVIEW PROCESS DESCRIBED BELOW FOR ALL OFFICERS AND KEY EMPLOYEES. THIS PROCESS HAS BEEN IN PLACE SINCE AT LEAST 2000. THE COMPENSATION FOR THE ORGANIZATION'S PRESIDENT IS REVIEWED BY A COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES AND APPROVED BY THE INDEPENDENT TRUSTEES ON THE FULL BOARD. THE COMPENSATION OF OTHER OFFICERS AND KEY EMPLOYEES IS REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES. IN CONNECTION WITH THE PRESIDENT'S COMPENSATION, THE COMPENSATION COMMITTEE AND THE BOARD REVIEW COMPARABILITY DATA AND MINUTES OF DELIBERATIONS ARE RECORDED CONTEMPORANEOUSLY WITH ANY ACTION. WITH RESPECT TO OTHER OFFICERS AND KEY EMPLOYEES, THE COMMITTEE FOLLOWS THE SAME PROCESS FOR REVIEW OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF ITS ACTIONS. IN THE CASE OF THE ORGANIZATION'S PRESIDENT AND CERTAIN OTHER OFFICERS AND KEY EMPLOYEES, THE COMPENSATION COMMITTEE HAS ALSO CONSULTED WITH INDEPENDENT COMPENSATION CONSULTANTS IN DETERMINING COMPENSATION. THE COMPENSATION OF THE PRESIDENT AND THE EXECUTIVE VICE PRESIDENT OF THE INVESTMENT MANAGEMENT COMPANY IS REVIEWED AND APPROVED BY A COMPENSATION COMMITTEE OF THE INVESTMENT MANAGEMENT COMPANY'S BOARD OF MANAGERS. SUCH COMPENSATION COMMITTEE IS COMPRISED OF INDEPENDENT MEMBERS OF THE BOARD MANAGERS. "INDEPENDENT TRUSTEE" OR "INDEPENDENT MEMBER" AS USED IN THIS FOOTNOTE MEANS WITHOUT A CONFLICT OF INTEREST WITHIN THE MEANING OF PARAGRAPH (c)(1)(iii) OF REGULATION 53.4958-6 OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE FORM 990 INSTRUCTIONS, PART VI, LINE 1B ABOVE USES A DIFFERENT DEFINITION. ------------------------------------------------------------- FORM 990, PART VI, LINE 19 DOCUMENTS AVAILABILITY TO PUBLIC THE ORGANIZATION'S CHARTER AND STATUTES, FINANCIAL STATEMENTS AND THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST" ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE AT WWW.COLUMBIA.EDU. ------------------------------------------------------------- FORM 990, PART VIII DETAIL REGARDING ROYALTY INCOME/EXPENSE THE UNIVERSITY PERIODICALLY FUNDS AND DEVELOPS PATENTS FOR CERTAIN TECHNOLOGIES, THEN LICENSES THE USAGE OF THESE PATENTS TO COMPANIES. THE REVENUE, NET OF PAYMENTS DUE TO THIRD PARTIES, IS RECORDED IN "REVENUE FROM OTHER EDUCATIONAL AND RESEARCH ACTIVITIES" IN THE CONSOLIDATED STATEMENT OF ACTIVITIES. COSTS INCURRED WITH DEVELOPING AND MAINTAINING THESE PATENTS ARE EXPENSED AS INCURRED SO THAT WHILE ROYALTIES ARE PAID TO FACULTY AND OTHERS IN CERTAIN CIRCUMSTANCES THESE AMOUNTS ARE NOT REFLECTED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART VIII, LINE 8 AND SCHEDULE G, PART II DESCRIPTION OF ACCOUNTING FOR FUNDRAISING EVENTS AMOUNTS REPORTED FOR FUNDRAISING EVENTS REPRESENT REVENUE AND EXPENSES THAT ARE SEPARATELY TRACKED. THE REVENUE AND EXPENSES FROM ADDITIONAL FUNDRAISING ACTIVITIES ARE NOT SEPARATELY TRACKED AND ARE INCLUDED WITHIN CONTRIBUTION REVENUE AND FUNDRAISING EXPENSES. ------------------------------------------------------------- FORM 990, PART IX, LINE 5 COMPENSATION PAID TO CURRENT OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES COMPENSATION AMOUNTS PRESENTED AS MANAGEMENT AND GENERAL EXPENSES ARE FOR CURRENT OFFICERS, DIRECTORS, TRUSTEES, AND KEY EMPLOYEES WHO ARE PART OF CENTRAL ADMINISTRATION. WHILE THESE OFFICERS AND KEY EMPLOYEES SPEND A PORTION OF THEIR TIME ON PROGRAMMATIC ACTIVITIES IN ADDITION TO THEIR MANAGEMENT RESPONSIBILITIES, THE UNIVERSITY HAS CHOSEN NOT TO ALLOCATE THE EXPENSES BETWEEN CATEGORIES GIVEN THE DIFFICULTY IN DOING SO. ------------------------------------------------------------- FORM 990, PART IX, LINE 11F INVESTMENT MANAGEMENT FEES THE INVESTMENT MANAGEMENT FEES REPORTED ON THE STATEMENT OF FUNCTIONAL EXPENSES REPRESENT FEES TO THIRD PARTY INVESTMENT MANAGERS AND INCLUDE MANAGEMENT FEE AND PERFORMANCE FEE EXPENSES ASSOCIATED WITH SEPARATELY MANAGED ACCOUNTS. INVESTMENT MANAGEMENT FEES ASSOCIATED WITH FUND INVESTMENTS ARE REPORTED NET AGAINST INVESTMENT INCOME AND THEREFORE ARE NOT INCLUDED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART IX FUNCTIONAL EXPENSES FORM 990, PART IX FUNCTIONAL EXPENSE TOTALS REFLECT THE ELIMINATION OF DEPARTMENTAL OVERHEAD RECOVERIES INCURRED BY PROGRAMMATIC BUSINESS UNITS. THE MAJORITY OF RECOVERED EXPENSES ARE SHOWN IN LINE 24F, OTHER EXPENSES. ------------------------------------------------------------- FORM 990, PART X, LINE 7 LOANS RECEIVABLE FROM STUDENTS TOTAL $104,087,000. LOANS RECEIVABLE FROM NON-KEY EMPLOYEES TOTAL $25,891,094. THE LOANS FROM NON-KEY EMPLOYEES HAVE VARIOUS INTEREST RATES RANGING FROM 0.41% TO 6.29%, WITH MATURITY DATES RANGING FROM 2015 THROUGH 2044. THE OUTSTANDING BALANCES RANGE FROM $50,000 TO $2,118,500 AND A PORTION OF WHICH ARE SECURED BY A PRINCIPAL RESIDENCE. LOANS RECEIVABLE FROM OTHER 501(C)(3) ORGANIZATIONS TOTAL $1,116,439. ------------------------------------------------------------------------ FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCE CHANGE IN FUNDS HELD BY OTHER IN PERPETUITY (3,905,114) PRESENT VALUE ADJUSTMENT TO SPLIT INTEREST AGREEMENTS (21,411,672) CHANGES IN PENSION AND POST-RETIREMENT OBLIGATIONS (2,142,953) -------------- TOTAL OTHER CHANGES IN NET ASSETS (27,459,739) ------------------------------------------------------------------------ FORM 990, PART XII, LINE 2 AUDIT OF THE UNIVERSITY'S FINANCIAL STATEMENTS THE CONSOLIDATED FINANCIAL STATEMENTS OF THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK ARE AUDITED BY PRICEWATERHOUSECOOPERS, AN INDEPENDENT AUDITOR. THE UNCONSOLIDATED FINANCIAL STATEMENTS REFLECTED IN THIS RETURN REPRESENT APPROXIMATELY 99% OF THE NET ASSETS OF THE CONSOLIDATED GROUP. THE UNIVERSITY'S BOARD OF TRUSTEES HAS AN AUDIT COMMITTEE, COMPRISED OF NON-EMPLOYEE TRUSTEES, WHICH IS RESPONSIBLE FOR OVERSIGHT OF THE AUDIT, REVIEW, AND COMPILATION OF THE FINANCIAL STATEMENTS AND SELECTION OF THE INDEPENDENT AUDITOR. 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RIO DE JANEIRO BR RESEARCH BR CGC LLC N/A 0 103732 1.00000 true UNIVERSITY WOMEN'S REALTY CORPORATION 408 LOW MEMORIAL LIBRARY MC 4336 NEW YORK NY 10025 132524803 REAL ESTATE NY COLUMBIA C-CORP 0 0 1.00000 true COLUMBIA DOCTORS OF BERGEN COUNTY 615 WEST 131ST STREET MC 8741 NEW YORK NY 10027 473568473 HEALTHCARE NJ COLUMBIA C-CORP 0 0 1.00000 true false true false false false false false false false true false false false false false false false false true AP MC FUND I LP S 257342 FMV AP RX FUND I LP S 9239909 FMV ASM HUDSON RIVER FUND S 19999927 FMV CALUNIUS LITIGATION RISK FUND 2 LP B 1835387 FMV CALUNIUS LITIGATION RISK FUND LP S 10228260 FMV CANAAN RESOURCE PARTNERS DRILLING FUND LP B 22500000 FMV GCM GROSVENOR BLUE LP B 17577391 FMV GCM GROSVENOR BLUE LP S 3350789 FMV FPCM INFLATION-LINKED OPPORTUNITIES LTD S 60000000 FMV HARBOUR LITIGATION INVSTMNT OFFSHORE FUND LP B 2074263 FMV HARBOUR LITIGATION INVSTMNT OFFSHORE FUND LP S 10296213 FMV HARBOUR OFFSHORE FUND II LP B 4682746 FMV MERIT ENERGY PARTNERS V LP S 17028000 FMV NCH INVESTORS FUND (CU) CORP S 156250 FMV COLUMBIAPATRON SCOTLAND LP B 299327 FMV COLUMBIAPATRON SCOTLAND LP S 650702 FMV TAILWATER E AND P OPPORTUNITY FUND II LP B 8000000 FMV VECTRA ENERGY DRILLING FUND I B 295204 FMV VECTRA ENERGY DRILLING FUND I-A B 3226365 FMV VECTRA ENERGY DRILLING FUND I-A S 593291 FMV WAYPOINT FUND I LP S 36611787 FMV REID HALL INC B 561964 FMV COLUMBIA UNIVERSITY HEALTH CARE INC B 4399245 FMV COLUMBIA UNIVERSITY PRESS B 1243000 FMV COLUMBIA DOCTORS OF NEW JERSEY B 304163 FMV SUPPLEMENTAL INFORMATION SCHEDULE R COLUMBIA UNIVERSITY OWNS AN 81.57% INTEREST IN 2700 BROADWAY CONDOMINIUM, WHICH IS TREATED AS A CONDOMINIUM ASSOCIATION UNDER NEW YORK STATE LAW. -------------------------------------------------------------- SCHEDULE R, PART I END-OF-YEAR ASSET REPORTING CERTAIN DISREGARDED ENTITIES LISTED IN SCHEDULE R, PART I MAY HOLD VEHICLES, OFFICE EQUIPMENT AND RELATED ITEMS, THE VALUE OF WHICH IS INCLUDED IN THE UNIVERSITY'S BALANCE SHEET IN PART X OF THIS FORM 990 BUT IS NOT REFLECTED IN COLUMN (E) END-OF-YEAR ASSETS. ------------------------------------------------------------------- SCHEDULE R, PART I INCOME/ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM I, LLC WHICH OWNS 100% OF THE SHARES ENTITLED TO THE INCOME AND ASSETS OF FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM I, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED AS REPORTED IN SCHEDULE R, PART IV. THE SHARES OWNED BY CIM I ARE NON-VOTING SHARES. --------------------------------------------------------------------- SCHEDULE R, PART I, COLUMNS (D) AND (E) INCOME AND ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM V, LLC, WHICH IS THE SOLE MEMBER OF CONQUEST MANAGED FUTURES SELECT FUND II, LLC. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM V, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CONQUEST MANAGED FUTURES SELECT FUND II, LLC, AS REPORTED IN SCHEDULE R, PART I. --------------------------------------------------------------------- SCHEDULE R, PART IV CONSISTENT WITH GAAP, THE UNIVERSITY DOES NOT CONSOLIDATE THE ENTITIES LISTED IN PART IV SCHEDULE R WHICH HAVE INVESTMENTS AS THEIR PRIMARY PURPOSE. THIS IS BECAUSE THE UNIVERSITY DOES NOT HAVE SUFFICIENT VOTING POWER WITH RESPECT TO THESE ENTITIES TO SATISFY THE CONTROL TEST FOR CONSOLIDATION UNDER GAAP. THE AMOUNTS SHOWN IN SCHEDULE R, PART IV, COLUMN (G) REFLECT THE UNIVERSITY'S SHARE OF THE NET ASSETS OF THESE ENTITIES FOR THE FISCAL YEAR REPORTING PERIOD WHICH, CONSISTENT WITH GAAP, IS REFLECTED ON LINE 16 OF THE BALANCE SHEET IN PART X OF THIS FORM 990. SIMILARLY, THE UNIVERSITY'S SHARE OF ANY CURRENT INCOME AND REALIZED GAINS FROM THESE ENTITIES IS REFLECTED IN COLUMN (F) OF SCHEDULE R, PART IV AND ON THE STATEMENT OF REVENUE IN PART VIII. THESE ENTITIES EACH OPERATE ON A CALENDAR-YEAR BASIS, AND THE UNIVERSITY'S SHARE OF THE GROSS INCOME AND TOTAL ASSETS FOR EACH OF THESE ENTITIES FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2014 IS SET FORTH BELOW: ASM HUDSON RIVER FUND SHARE OF TOTAL (GROSS) INCOME: $2,855,904 SHARE OF END-OF-YEAR (GROSS) ASSETS: $123,356,638 CALUNIUS LITIGATION RISK FUND LP SHARE OF TOTAL (GROSS) INCOME: $3,519,820 SHARE OF END-OF-YEAR (GROSS) ASSETS: $19,519,882 CALUNIUS LITIGATION RISK FUND 2 LP SHARE OF TOTAL (GROSS) INCOME: $3,015 SHARE OF END-OF-YEAR (GROSS) ASSETS: $1,563,727 COLUMBIA/PATRON SCOTLAND LP SHARE OF TOTAL (GROSS) LOSS: $(44,643) SHARE OF END-OF-YEAR (GROSS) ASSETS: $3,928,224 FPCM INFLATION-LINKED OPPORTUNITIES FUND, LTD SHARE OF TOTAL (GROSS) INCOME: $23,799,503 SHARE OF END-OF-YEAR (GROSS) ASSETS: $986,668,856 HARBOUR LITIGATION INVESTMENT OFFSHORE FUND SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $5,688,623 HARBOUR OFFSHORE FUND II LP SHARE OF TOTAL (GROSS) LOSS: $39,449 SHARE OF END-OF-YEAR (GROSS) ASSETS: $10,946,186 NCH INVESTORS FUND (CU) CORP SHARE OF TOTAL (GROSS) LOSS: $63,795 SHARE OF END-OF-YEAR (GROSS) ASSETS: $2,056,558 --------------------------------------------------------------------- SCHEDULE R, PART IV AS OF JUNE 30, 2015, THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK HELD MORE THAN A 50% BENEFICIAL INTEREST IN 57 CHARITABLE REMAINDER TRUSTS DOMICILED IN NEW YORK AND 3 POOLED INCOME FUNDS DOMICILED IN NEW YORK.