2016-02-12T11:25:42-06:00 2015-06-30 990 2014-07-01 131624158 THE ROCKEFELLER UNIVERSITY ROCK 2123278000 1230 YORK AVENUE NEW YORK NY 100656307 JAMES H LAPPLE VP for Finance, Treasurer 2123278301 2016-02-12 1 2123278704 2014 2016-08-17 19:52:53Z Marc Tessier-Lavigne 1230 York Avenue New York NY 10065 1090974152 0 X www.rockefeller.edu X 1901 NY The Rockefeller University (the University) is a world renowned center for research (see schedule O) and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The University's 75 laboratories conduct both basic and clinical research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in six research areas, including biochemistry, structural biology, and chemistry; medical sciences and human genetics; molecular, cell, and developmental biology; immunology, virology, and microbiology; neuroscience; and physics and mathematical biology. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. 44 40 1767 0 -555812 0 197291706 455059063 32786633 32215416 166505633 167107604 30306206 39702782 426890178 694084865 9244466 10143001 0 0 157095082 163824026 0 0 7297254 184090244 194634733 350429792 368601760 76460386 325483105 3214164130 3614623413 953182278 1106323102 2260981852 2508300311 X The Rockefeller University (the University) is a world renowned center for research and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The University's 75 laboratories conduct both basic and clinical research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in six research areas, including biochemistry, structural biology, and chemistry; medical sciences and human genetics; molecular, cell, and developmental biology; immunology, virology, and microbiology; neuroscience; and physics and mathematical biology. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. 0 0 270341610 10143001 RESEARCH EDUCATION - 90 LABORATORIES (15 OF WHICH ARE EMERITI) INCLUDING 87 FACULTY MEMBERS, 299 POST-DOCTORAL SCHOLARS, 191 GRADUATE STUDENTS AND WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY MEDICAL STUDENTS. 15274672 HOSPITAL - CONSISTS OF 40 BEDS AND SERVES AS A CLINICAL RESEARCH CENTER FOR OUTPATIENTS AND INPATIENTS. 2705845 LIBRARY CONTAINS 63,098 VOLUMES (OF WHICH 18,199 ARE ON-LINE) AND 5,597 ON-LINE SUBSCRIPTIONS AND IS MAINTAINED ON AN OPEN STOCK POLICY. 34314064 9441362 AUXILIARY ENTERPRISES-HOUSING ON CAMPUS FOR SINGLE AND MARRIED STUDENTS;OFF CAMPUS HOUSING FOR FACULTY AND OTHER UNIVERSITY PERSONNEL; FOOD SERVICE CONSISTS OF CAFETERIA DINING FACILITIES; PRESS INCLUDES JOURNALS AND SUBSCRIPTIONS. 34314064 9441362 322636191 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 0 1 0 0 0 1 0 1 1 0 1 1 1 0 0 0 0 0 1 0 1 1 1 1 0 0 0 0 1 0 1 0 1 X 604 0 1 1767 1 1 1 1 VI CJ UK CA GM FR IT NL NO SW SZ 0 0 0 1 1 1 0 0 0 X 44 40 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MICHAEL P VITALE 2123278704 1230 YORK AVENUE NEW YORK NY 100656307 X Allen R Adler Trustee 1.00 X 0 0 0 Holly Andersen Trustee 1.00 X 0 0 0 Robert M Bass Trustee 1.00 X 0 0 0 Edward J Benz Jr MD Trustee 1.00 X 0 0 0 Judith Roth Berkowitz Trustee 1.00 X 0 0 0 Debra Black Trustee 1.00 X 0 0 0 David Botstein PhD Trustee 1.00 X 0 0 0 Russell L Carson Trustee, Chairman 1.00 X 0 0 0 Anna M Chapman MD Trustee 1.00 X 0 0 0 H Rodgin Cohen Trustee 1.00 X 0 0 0 Elizabeth R Curry Trustee 1.00 X 0 0 0 Andreas Dracopoulos Trustee 1.00 X 0 0 0 Anthony B Evnin PhD Trustee 1.00 X 0 0 0 Michael D Fascitelli Trustee 1.00 X 0 0 0 Peter A Flaherty Trustee 1.00 X 0 0 0 William E Ford Trustee, Vice Chair 1.00 X 0 0 0 Joseph L Goldstein Trustee 1.00 X 0 0 0 Peter T Grauer Trustee 1.00 X 0 0 0 Paul B Guenther Trustee 1.00 X 0 0 0 Marlene Hess Trustee 1.00 X 0 0 0 Michael B Hoffman Trustee 1.00 X 0 0 0 Sandra J Horbach Trustee 1.00 X 0 0 0 William I Huyett Jr Trustee 1.00 X 0 0 0 Ajit Jain Trustee 1.00 X 0 0 0 Welslie R Janeway Trustee 1.00 X 0 0 0 David H Koch Trustee 1.00 X 0 0 0 Henry R Kravis Trustee, Vice Chair 1.00 X 0 0 0 Karen M Levy Trustee 1.00 X 0 0 0 Evelyn G Lipper MD Trustee 1.00 X 0 0 0 Susan Lyne Trustee 1.00 X 0 0 0 Thomas Maniatis PhD Trustee 1.00 X 0 0 0 Surya Mohapatra Trustee 1.00 X 0 0 0 Jonathan Nelson Trustee 1.00 X 0 0 0 Robin Chemers Neustein Trustee, Vice Chair 1.00 X 0 0 0 Willard J Overlock Jr Trustee 1.00 X 0 0 0 Marnie S Pillsbury Trustee, Vice Chair 1.00 X 0 0 0 Michael J Price Trustee 1.00 X 0 0 0 Richard E Salomon Trustee, Vice Chair 1.00 X 0 0 0 Lewis A Sanders Trustee 1.00 X 0 0 0 John M Shapiro Trustee 1.00 X 0 0 0 Sydney R Shuman Trustee 1.00 X 0 0 0 James H Simons PhD Trustee 1.00 X 0 0 0 Dinakar Singh Trustee 1.00 X 0 0 0 Robert K Steel Trustee 1.00 X 0 0 0 Joan A Steitz Trustee 1.00 X 0 0 0 David Sze Trustee 1.00 X 0 0 0 Lulu C Wang Trustee 1.00 X 0 0 0 Marc Tessier-Lavigne PhD President 50.00 X X 1327925 0 177673 Amy Falls VP & CIO 50.00 X 970711 0 300926 Barry Coller VP & Physician-in-Chief 50.00 X 572197 0 75262 Harriet Rabb VP & General Counsel 50.00 X 478431 0 75211 Maren Imhoff VP, Development 50.00 X 531183 0 75239 Michael Young VP, Academic Affairs 50.00 X 493754 0 82917 James Lapple VP, Finance & Treasurer 50.00 X 430167 0 56119 Sidney Strickland VP, Education Affairs 50.00 X 369442 0 75244 Virginia Huffman VP, Human Resources 50.00 X 406955 0 75216 Jane Rendall Corporate Secretary, till 12/31/14 50.00 X 262113 0 75354 Roberta Maloney Asst. VP, Finance 50.00 X 252271 0 79069 Theresa Desmond Corporate Secretary, from 1/1/2015 50.00 X 146663 0 23497 Timothy O'Connor VP, University Strategy & 50.00 X 511581 0 58872 Jeffery V Ravetch Professor, Head of Laborat 50.00 X 442041 0 66565 Robert Roeder Professor, Head of Laborat 50.00 X 489964 0 82917 Thomas Lenehan Deputy CIO 50.00 X 686533 0 220500 Paul Greengard Professor, Head of Laborat 50.00 X 480394 0 75230 Stanislas Leibler Professor, Head of Laborat 50.00 X 398362 0 83204 9250687 0 1759015 206 1 1 0 NICHOLOSON & GALLOWAY INC 261 GLEN HEAD ROAD GLEN HEAD NY 11545 CONSTRUCTION SERVICES 4158265 RESTAURANT ASSOCIATES CORP 120 WEST 45TH STREET NEW YORK NY 10036 FOOD SERVICES 2903977 RAFAEL VINOLY ARCHITECTS PC 50 VANDAM STREET NEW YORK NY 10013 ARCHITECTURAL SERVICES 2345043 OWENS & ASSOCIATES CONSTRUCTION INC 9 CLIFTON AVENUE NEWARK NJ 07103 CONSTRUCTION SERVICES 1394799 TURNER CONSTRUCTION CO 375 HUDSON STREET NEW YORK NY 10014 CONSTRUCTION SERVICES 1207160 57 3091357 82555028 369412678 283196816 455059063 Housing 532000 19721471 19721471 Press operations 511120 9441362 9441362 Food Service 722210 3052583 3052583 32215416 4378066 4378066 -5512 -5512 29820703 29820703 5383294 0 5383294 5383294 5383294 559141371 396406321 162735050 162735050 -555812 163290862 118250 3091357 482966 -364716 -364716 Reimbursement of Costs 900099 3653576 3653576 Other 900099 906835 906835 Mortgage Interest 900099 303090 303090 4863501 694084865 9441362 -555812 230140252 10143001 10143001 6061540 1244593 4313947 503000 92000 92000 107727820 94361028 10257498 3109294 8824714 6856637 1568847 399230 33442065 28316139 4118066 1007860 7675887 6556119 878602 241166 453119 453119 351483 60900 290583 2549538 2549538 15691346 14638263 906876 146207 1048256 739873 154200 154183 59652822 56246161 3277107 129554 3248165 1365687 1531155 351323 15516971 15516971 13537607 12629516 807970 100121 1086695 1011252 42259 33184 1393032 1107294 63389 222349 30027093 26936886 3090207 40249212 36912058 2437371 899783 2581368 653787 1927581 Subcontracts 7248026 7248026 368601760 322636191 38668315 7297254 43635 47694 121634811 81424603 226590148 469332642 8534964 7981804 11080538 6813974 20974779 28023730 839897 677221 2413188 3468332 1256478944 493446161 751351159 763032783 1335962468 1424334181 701912344 701798867 4388104 4862350 28438095 122825232 3214164130 3614623413 42791230 46046025 5196817 5054823 617249968 710076112 25000000 287944263 320146142 953182278 1106323102 X 522210011 479301554 1475719623 1769997656 263052218 259001101 2260981852 2508300311 3214164130 3614623413 X 325483105 -53350025 -24814621 X 0 1 X 1 1 1 X 154402640 211148284 158956391 197291706 455059063 1176858084 154402640 211148284 158956391 197291706 455059063 1176858084 172223735 1004634349 20680925 17239941 44037926 31701357 39582063 153242212 898851 898851 9027575 1467967 2740888 2921222 3085845 19243497 1350242644 156726488 0.74400 0.81230 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 807839 X 0 1836421241 4128022 111496070 150114790 1801930543 1642492685 2774814 287158774 96005032 1836421241 1539214232 5351242 194327582 96400371 1642492685 1620400847 6402176 -6743511 80845280 1539214232 1451345077 5982193 266875779 103802202 1620400847 0.19400 0.13600 0.67000 0 0 19350702 19350702 1146754871 435695089 711059782 424726 424726 0 88375569 56591580 31783989 1573076 734766 838310 763032783 Alt Inv-Private-Buyout funds 171470424 F Alt Inv-Private-Natural resources/other 97162154 F Alt Inv-Private-Real estate funds 142967209 F Alt Inv-Private-Venture capital funds 216473830 F Cash Equivalents 73725250 F 701798867 Amounts held for others 110620786 Conditional asset retirement obligation 8554054 Obligation under derivative instruments 141125302 Postretirement benefit obligation 59846000 320146142 X 605191427 -53350025 -18225621 -71575646 676767073 2549538 14768254 17317792 694084865 357971829 7170828 7170828 350801001 2549538 15251220 17800758 368601759 Part III, Line 4: Works of art are displayed in various locations throughout the campus. Part V, Line 4: The primary role of the endowment is to advance the research mission of the University through support of the annual operating budget. The Investment Committee of the Board of Trustees is responsible for overseeing the endowment. With the support of the Office of Investments, the Committee is responsible for establishing the endowments investment policy and asset allocation; retaining and overseeing external investment managers; and monitoring the implementation and performance of the investment program. The endowments assets are invested in marketable securities, including U.S. and non-U.S. equity and fixed income securities, and private investments, including venture capital, private equity and real assets. The assets are invested by external investment managers through separate accounts or through commingled vehicles, including funds, trusts and limited partnerships. Part X, Line 2: The University is exempt from federal income taxes under the provisions of Section 501(c)(3) of the Internal Revenue Code. The University follows the guidance of ASC 740 10, Accounting for Income Taxes Overall, which addresses accounting for uncertainties in income taxes recognized in an enterprises financial statements. The University utilizes a threshold of more likely-than not for recognition and derecognition of tax positions taken or expected to be taken in a tax return. Part XI, Line 2d - Other Adjustments: Unrealized Net (loss) on Derivative Instruments - (18,225,621) Part XI, Line 4b - Other Adjustments: Fundraising expenses - 482,966 Royalty payments (net in Financials) - 15,251,220 Part XII, Line 2d - Other Adjustments: RU Faculty & Students Club, Inc. - NET LOSS - 98,861 Postretirement related changes - 6,589,000 Fundraising expenses - 482,966 Part XII, Line 4b - Other Adjustments: Royalty payments (net in Financials) - 15,251,220 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Schedule E, Part I, Line 3 It is the policy of The Rockefeller University to support equality of educational and employment opportunity. No individual shall be denied admission to the Graduate Program of the University or otherwise be discriminated against with respect to any program or in the administration of any policy of the University because of race, color, religion, sex, age, national or ethnic origin, citizenship, sexual orientation, veteran status or disability. The Rockefeller University is committed to the maintenance of affirmative action programs that will assure the continuation of such equality of opportunity. Schedule E, Part I, Line 6 The University receives financial assistance from the State of New York under the Bundy Aid Program. Europe (Including Iceland & Greenland) - Investments 52956714 Central America & Caribbean Investments 575537851 North America Investments 7800758 Central America & Caribbean Travel 3543 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, Travel 188205 Europe (Including Iceland & Greenland) Travel 745775 Middle East and North Africa Travel 62419 North America Travel 72033 Russia and Neighboring States Travel 207 South America Travel 17080 South Asia Travel 11614 Sub-Saharan Africa Travel 6131 0 0 0 0 0 0 637367298 35032 637402330 1 0 1 1 1 0 Women & Science Luncheon 1798257 1764507 33750 70819 47984 9350 Parents & Science Benefit 1276950 1208175 68775 119492 95656 14204 43307 1 134400 118675 15725 32436 18372 5051 26295 3209607 3091357 118250 222747 162012 19255 78952 482966 -364716 Form 990, Schedule G, Part II, Fundraising Events The Women & Science program is an important outreach and fundraising initiative of The Rockefeller University. Comprised of a wide circle of friends and benefactors, Women & Science provides support for education and career advancement of scientists in biomedical research and related fields. One component of this initiative is the annual Women & Science Lecture and Luncheon. Form 990, Schedule G, Part II, Fundraising Events The Parents & Science program is an important outreach and fundraising initiative of The Rockefeller University. Parents & Science sponsors events that feature distinguished Rockefeller University scientists and eminent guest speakers from such fields as psychology, medicine, education, and the social sciences. A major focus is emerging discoveries and biomedical breakthroughs that are improving the health and well-being of children. Two components of this initiative are the annual Celebrating Science Benefit and Science Saturday, a community building event which enables parents to bring their children to the University. 0 1 1 15274672 6916922 8357750 0.02270 15274672 6916922 8357750 0.02270 15274672 6916922 8357750 0.02270 0 0 0 1 1 The Rockefeller University Hospital 1230 York Avenue New York NY 10065 www.rucares.org X X The Rockefeller University Hospital 1 0 0 1 X X X X X X X X X 14 1 0 0 1 X www.rucares.org X 1 14 1 www.rucares.org 0 0 0 0 0 0 0 0 0 X 0 0 Part V, Section A: The Rockefeller University Hospital exists solely to conduct clinical research. The specialized personnel and other resources available at the Hospital facilitate clinical research for both the investigator and the research participant.The Hospital's facilities include a licensed 40 bed inpatient unit (14 beds are active) which operates 24 hours a day, 365 days a year. All patient rooms are single-occupancy, private accommodations. Specialized facilities include a four-room procedure suite, suitable for endoscopy and biopsy procedures; 2 hardwired cardiac monitored beds and 2 telemetry cardiac monitoring units; and a broad-band/narrow-band ultraviolet light box for psoriasis treatment. The Robert & Harriet Heilbrunn Outpatient Research Center opened in January 2003 and includes 9 exam rooms, 2 consultation rooms, and 2 phlebotomy rooms, as well as other patient and staff facilities. The Outpatient Research Center is open weekdays from 7AM to 5PM. A new, state-of-the-art digital radiology suite opened in Spring 2003. The Rockefeller University Hospital and Center for Clinical and Translational Science is particularly suitable to conducting studies involving moderate and low acuity patients, as well as high-intensity, high-complexity protocols such as pharmacokinetics and metabolic studies. The Hospital's strengths include a specialized Research Bionutrition Department, an on-site Research Pharmacy, and facilities to support long-stay inpatient studies, including a recreation area which offers participants video and computer activities in a safe and comfortable environment.Full clinical laboratory services are provided via contract with Memorial-Sloan Kettering Cancer Center; Radiology and EKG interpretations are provided by arrangement with New York-Presbyterian Hospital; on-site apheresis services are provided by contract. The Hospital is accredited by The Joint Commission (TJC) and licensed by the State of New York. The Rockefeller University Hospital Part V, Section B, Line 21d: See Part V, Section A Explanation Part II, Community Building Activities: The Rockefeller University Hospital is located on the Upper East Side of Manhattan in Community District 8. The Rockefeller University Hospital is a unique institution. As an institution solely committed to conducting clinical research our community/service area is defined as the New York Metropolitan Area. The Rockefeller University Hospital has provided an array of clinical research and patient care services since its founding in 1910. The Rockefeller University Hospital community served/service area is determined based on research being conducted. Principal Investigators identify an area of interest and submit a protocol for review and approval by our institutional review board. If and when the protocol is approved, our recruitment office works with the investigator to develop and submit advertisements in local newspapers, magazines and online. Identification of lucrative places to advertise is determined by current trends in readership among local newspapers, magazines and visits to particular websites such as Craigslist and Facebook. Research participants are culled from all over New York City as well as through collaborations with neighboring hospitals, Universities, and clinics. As a result, our enrolled research participant demographics follow those of New York City overall. In calendar year 2014 22% of research participants identified as Hispanic, 30% identified as Black or African-American and 44% identified as white (RUH subject race and ethnicity report 2014), which mirrors the geographic makeup of New York City (44% white, 25% Black or African-American, and 28% Hispanic) (www.census.gov 2010). Part III, Line 9b: THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT HAVE ANY NET PATIENT SERVICE REVENUE AS IT DOES NOT CHARGE ITS PATIENTS. THE PATIENTS ARE SUBJECT VOLUNTEERS WHO GET PAID A STIPEND FOR CERTAIN CLINICAL TRIALS THAT ARE PERFORMED ON A ROUTINE BASIS. Part VI, Line 2: Patients and volunteers who consent to participate in research studies (protocols) are treated without charge. Unlike most hospitals, the Rockefeller University Hospital does not routinely provide standard diagnostic and treatment services. Admission is selective;research participants (patients) are enrolled in studies by hospital Licensed Independent Practitioners (LIP's) solely because they meet the inclusion criteria of the illness or condition being studied, or because they are healthy volunteers and are also needed for study. Thus, all research participants are volunteers, and as such are important partners in the research process. Without volunteers and patients, significant advances in biomedical knowledge could not otherwise be achieved. Part VI, Line 3: See Part VI, Line 2 explanation Part VI, Line 5: The Rockefeller University Hospital exists solely to conduct clinical research, at no charge to the research participants. PART VI, LINE 7 NEW YORK 1 FELLOWSHIPS 142 4708882 RESEARCH STIPENDS 158 5434119 Part I, Line 2: Stipends and research fellowships are funds paid to offset living expenses for trainees while they further their education at Rockefeller. These amounts are not considered salary or wages given in consideration for specific job duties nor are they grants given in anticipation of specific scientific achievements on the individuals parts. There is no restriction on the use of the funds once they are received by the trainees. X 1 1 X X X X X 0 1 0 1 0 0 0 1 0 Marc Tessier-Lavigne PhD President 1087950 0 0 0 239975 0 28919 0 148754 0 1505598 0 0 0 Amy Falls VP & CIO 491000 0 374740 0 104971 0 263190 0 37736 0 1271637 0 135240 0 Barry Coller VP & Physician-in-Chief 520500 0 0 0 51697 0 45262 0 30000 0 647459 0 0 0 Harriet Rabb VP & General Counsel 438200 0 0 0 40231 0 45211 0 30000 0 553642 0 0 0 Maren Imhoff VP, Development 491000 0 0 0 40183 0 45239 0 30000 0 606422 0 0 0 Michael Young VP, Academic Affairs 448300 0 0 0 45454 0 45181 0 37736 0 576671 0 0 0 James Lapple VP, Finance & Treasurer 394050 0 0 0 36117 0 45312 0 10807 0 486286 0 0 0 Sidney Strickland VP, Education Affairs 348400 0 0 0 21042 0 45244 0 30000 0 444686 0 0 0 Virginia Huffman VP, Human Resources 351400 0 0 0 55555 0 45216 0 30000 0 482171 0 0 0 Jane Rendall Corporate Secretary, till 12/31/14 265950 0 0 0 -3837 0 45107 0 30247 0 337467 0 0 0 Roberta Maloney Asst. VP, Finance 242000 0 0 0 10271 0 41385 0 37684 0 331340 0 0 0 Theresa Desmond Corporate Secretary, from 1/1/2015 131773 0 20000 0 -5110 0 10406 0 13091 0 170160 0 0 0 Timothy O'Connor VP, University Strategy & 397500 0 100000 0 14081 0 28872 0 30000 0 570453 0 0 0 Jeffery V Ravetch Professor, Head of Laborat 355500 0 0 0 86541 0 28829 0 37736 0 508606 0 0 0 Robert Roeder Professor, Head of Laborat 422350 0 0 0 67614 0 45181 0 37736 0 572881 0 0 0 Thomas Lenehan Deputy CIO 323100 0 274839 0 88594 0 182764 0 37736 0 907033 0 115689 0 Paul Greengard Professor, Head of Laborat 449550 0 0 0 30844 0 45230 0 30000 0 555624 0 0 0 Stanislas Leibler Professor, Head of Laborat 348700 0 0 0 49662 0 45468 0 37736 0 481566 0 0 0 Part I, Line 1a The University provides a residence for the President on campus. The residence is a condition of employment as stated in the President's appointment letter. The house is provided to enable the President to be on campus 24/7 in order to respond to emergent situations that may arise and for other business purposes. Part I, Line 4b The University maintains a 457(b) deferred compensation plan for executive level employees. This plan was developed consistent with the 2001 Economic Growth and Tax Relief Reconciliation Act (EGTRRA). The University does not contribute to the plan (employee contributions only). 2014 employee contributions (not included in column B): Paul Greengard $17,500 Virginia Huffman $10,715 Maren Imhoff $17,500 James Lapple $17,500 Stanislas Leibler $17,500 Roberta Maloney $12,000 Harriet Rabb $17,500 Robert Roeder $17,500 Sidney Strickland $17,500 Michael Young $17,500 Part I, Line 5 The University maintains a bonus plan for the Chief Investment Officer and the Deputy Chief Investment Officer which is partially based upon the fiscal year return of the University's endowment in addition to other quantitative and qualitative measures. The plan was approved by the University's Compensation Committee of the Board of Trustees. The plan was developed using comparative data from similar institutions. For retention purposes, a portion of the annual bonus is deferred and paid in subsequent years. Part I, Line 7 The University maintains a policy to provide recruitment and retention supplements to faculty as necessary. The purpose of this supplement is to provide an incentive for a candidate to join the University and for incumbent faculty to make Rockefeller their professional home, recognizing the high cost of living in the New York metropolitan area over the course of a whole career. The decision whether to grant a supplement and its size will turn on the exceptional quality of the faculty member's research and the strategic needs of the University, and will be made by the President in the exercise of his discretion. Form 990, Part VII, Section A Theresa Desmond held the title of Special Assistant to the Chief of Staff during calendar year 2014 before assuming the title of Corporate Secretary on January 1, 2015. A Dormitory Authority of the State of New York (issue date 013108) 146000293 649903YA3 2008-01-31 103215000 Const. & renov. of campus 0 0 0 B Dormitory Authority of the State of New York (issue date 040809) 146000293 649905BE5 2009-04-08 62119152 Current Refunding 0 0 0 C Dormitory Authority of the State of New York (issue date 040809) 146000293 649905BF2 2009-04-08 100000000 Const. & renov. of campus 0 0 0 D Dormitory Authority of the State of New York (issue date 081209) 146000293 649905PN0 2009-08-12 101554000 Const. & renov. of campus 0 0 0 A 104734474 641319 104093155 2012 0 0 1 1 B 62119152 528854 440098 61150200 1998 1 0 1 1 C 100578341 527175 35000 100016166 2012 0 0 1 1 D 101954676 836150 101118526 2012 0 0 1 1 A 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 1 1 0 0 0 1 B 0 0 1 1 0 0 0 0 1 C 0 0 1 1 1 0 0 0 1 D 0 1 0 1 0 0 0 1 1 A 1 B 1 C 1 D 1 Date Rebate Computation Performed Issuer Name: Dormitory Authority of the State of New York (issue date 01/31 Date the Rebate Computation was Performed: 02/01/2011 Issuer Name: Dormitory Authority of the State of New York (issue date 04/08 Date the Rebate Computation was Performed: 09/27/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 04/08 Date the Rebate Computation was Performed: 02/01/2011 Issuer Name: Dormitory Authority of the State of New York (issue date 08/12 Date the Rebate Computation was Performed: 11/15/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 09/01 Date the Rebate Computation was Performed: 09/27/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 03/08 Date the Rebate Computation was Performed: 09/27/2013 Issuer Name: Dormitory Authority of the State of New York (issue date 04/04 Date the Rebate Computation was Performed: 09/27/2013 Part II - line 3 - Total Proceeds (Issue date 1/31/2008) Total Proceeds includes issue price ($103,215,000) + investment income ($1,519,474) Part II - line 3 - Total Proceeds (Issue date 4/8/2009) Total proceeds include issue price ($100,000,000) + investment income ($578,341). Part II - line 3 - Total Proceeds (Issue date 8/12/2009) Total proceeds include issue price ($101,554,000)+ investment income ($400,676) Part II - line 3 - Total Proceeds (Issue date 9/1/2010) Total proceeds consists of issue price ($53,818,500) + investment income ($185,048). Part II - line 3 - Total Proceeds (Issue date 5/20/2015) Total proceeds include issue price ($163,190,000) plus investment income ($2,451) A Dormitory Authority of the State of New York (issue date 090110) 146000293 6499053H7 2010-09-01 53818500 Const. & renov. of campus 0 0 0 B Dormitory Authority of the State of New York (issue date 030812) 146000293 649906RZ9 2012-03-08 30018979 Current Refunding 0 0 0 C Dormitory Authority of the State of New York (issue date 040412) 146000293 649906SB1 2012-04-04 56441595 Current Refunding 0 0 0 D Dormitory Authority of the State of New York (issue date 052015) 146000293 111111111 2015-05-20 163190000 Current Refunding & const & renov of campus 0 0 0 A 54003548 553621 53449927 2012 0 0 1 1 B 30018979 390846 257954 29370179 1998 1 0 1 1 C 56441595 321511 465580 55654504 2002 1 0 1 1 D 163192451 465000 75000 62650000 100002451 1 0 0 1 A 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 1 0 0 0 1 1 B 0 1 1 1 0 0 0 0 1 C 0 1 1 1 1 0 0 0 1 D 0 1 0 0 1 0 0 0 1 A 1 B 1 C 1 Virginia Huffman Mortgage Loan X 234000 229154 0 1 1 Maren I Imhoff Mortgage Loan X 300000 169361 0 1 1 James Lapple Mortgage Loan X 1579378 1409066 0 1 1 Thomas Lenehan Mortgage Loan X 1000000 951931 0 1 1 Roberta Maloney Mortgage Loan X 502932 295145 0 1 1 Harriet Rabb Mortgage Loan X 300000 200930 0 1 1 Sidney Strickland Mortgage Loan X 197528 160734 0 1 1 Marc Tessier-Lavigne Mortgage Loan X 2500000 2308007 0 1 1 Michael Young Mortgage Loan X 1238068 1089646 0 1 1 6813974 Anthony Evnin RU Trustee 248418 The Rockefeller University's endowment is an investor in several partnerships where Anthony Evnin (RU Trustee) is General Partner or Member of the General Partner. Anthony Evnin is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. All transactions are conducted at arms length and at FMV. 0 William J Overlock Jr RU Trustee 128340 The son-in-law of Willard J. Overlock, Jr. (RU Trustee) is employed by The Rockefeller University. The salary paid was $92,000 + fringe benefits at 39.5% of salary. 0 David Sze RU Trustee 81479 The Rockefeller University's endowment is an investor in several partnerships where David Sze (RU Trustee) is General Partner or Member of the General Partner. David Sze is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. All transactions are conducted at arms length and at FMV. 0 X 27 2948021 Fair Market Value X Contributions Receivable 55 274718913 Net Present Value X Private Gifts and Grants Receivable 79 5529883 Fair Market Value 0 1 1 Part I, Column (b): Contributions receivable are pledges made in the current fiscal year by donors where the cash has not been received as of June 30, 2015. Private gifts and grants receivable are grants made to the University where the cash has not been received as of June 30, 2015. Part I, Line 32b: The University utilizes a third party to sell gifts of stock that it receives during the fiscal year. Form 990, Part VI, Section A, line 2 William E. Ford (RU Trustee) has a business relationship in the ordinary course of business with Susan Lyne(RU Trustee). William E. Ford (RU Trustee) has a business relationship in the ordinary course of business with Andreas C. Dracopoulos (RU Trustee). William E. Ford (RU Trustee) has a business relationship in the ordinary course of business with Henry Kravis (RU Trustee). Andreas C. Dracopoulos (RU Trustee) has a business relationship in the ordinary course of business with William E. Ford(RU Trusee). Henry Kravis (RU Trustee) has a business relationship in the ordinary course of business with other William E. Ford (RU Trustee). Susan Lyne (RU Trustee) has a business relationship in the ordinary course of business with William E. Ford (RU Trustee). Form 990, Part VI, Section B, line 11 The Organization made available to the governing Board of Trustees the completed form 990 on a restricted website prior to submission. Any comments or questions pertaining to the form 990 were sent to the Vice President, Finance or a member of the Audit Committee of the Board of Trustees. The Audit Committee of the Board of Trustee reviewed and approved the form 990 prior to its submission. Form 990, Part VI, Section B, line 12c All members of the University community are covered by the applicable University conflict of interest policies. Trustees, Officers, and Key Employees are covered by the Policy on Business Conflict of Interest and Family/Business Relationships. All other members of the University community are covered by the Conflict of Interest Policy Governing Business Practices. (a) For trustees (including the President), the conflict of interest disclosure form is submitted to the Executive Committee of the Board of Trustees. The Executive Committee, with help from others it may designate, investigates any conflicts or potential conflicts of interest and implements management plans where conflicts or potential conflicts are found to exist. Trustees having made disclosures of current or potential conflict of interest situations may participate in the information-gathering stage of the Executive Committee's review of the disclosures, but will be asked to excuse themselves during the Executive Committee discussion, consideration and vote on the matters in question. (b) For officers and key employees, the conflict of interest disclosure form is submitted to the President. The President, with the help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (c) For heads of laboratory, the conflict of interest disclosure form is submitted to the Vice President for Academic Affairs. The Vice President for Academic Affairs, with help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (d) For all other members of the University community, the conflict of interest disclosure form is submitted to the Vice President for Human Resources. The Vice President for Human Resources, with help from others she may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. Form 990, Part VI, Section B, line 15 Compensation for the President and Officers is established and approved by the Compensation Committee of the Board of Trustees. Such compensation is established through review of comparability data and contemporaneous documentation of the deliberation and decision. The process includes use of an independent compensation consultant, compensation survey of peer institutions and review of other Form 990s. Specific reviews occur on an annual basis. Form 990, Part VI, Section C, line 19 Conflict of interest policy and financial statements are available to the public through the University's website. Form 990, Part XI, line 9: Unrealized Loss on Derivatives - $(18,225,621) -18,225,621. Postretirement related changes - $ (6,589,000) -6,589,000. The Rockefeller University Faculty & Students Club Inc 1230 York Avenue New York NY 10065 Social Club NY 501(c)(7) The Rockefeller University 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 0 THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC M 218239 Actual THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC N 71322 Actual THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC A -190700 Actual Form 990, Schedule R, Part V, #2 The Rockefeller University Faculty and Students Club, Inc. (the Club) is a 501(c)(7) organization that operates a social Club on the campus of The Rockefeller University. The purpose of the Club is to encourage the friendly association of its members and their guests for scientific and other intellectual discourse, and/or pleasure and recreation. The books and records of the Club are maintained by the University. The University collects annual Club dues on behalf of the Club. The Club also relies on certain University systems in order to operate. The Club has a liability to the University which represents the University's subsidized portion of the Club's operations in the amount of $2,033,920 as of June 30, 2015.