2014-02-13T12:46:32-06:00 2013-06-30 910189318 MOSS ADAMS LLP 3121 WEST MARCH LANE SUITE 100 STOCKTON CA 952192303 990 2012-07-01 941156617 PRESIDENT-BOARD OF TRUSTEES SANTA CLARA COLLEGE PRES 4085544398 500 EL CAMINO REAL SANTA CLARA CA 95053 HARRY FONG 4085544398 2014-02-12 1 TRACY S PAGLIA P00366884 2099556100 2012 2015-11-30 17:44:51Z SANTA CLARA UNIVERSITY MICHAEL ENGH SJ 500 EL CAMINO REAL SANTA CLARA CA 95053 603203225 0 X WWW.SCU.EDU X 1851 CA SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. 46 41 5017 825 -1114326 -1714363 27106347 37638440 326173084 335757279 -40799452 20389270 -373410 -171050 312106569 393613939 68619498 72275746 0 0 170216799 178226188 0 0 7277959 111628910 114078674 350465207 364580608 -38358638 29033331 1559314829 1649345241 382731127 380820990 1176583702 1268524251 SEE SCHEDULE O 0 0 315214535 72259166 335240554 SANTA CLARA UNIVERSITY IS AN INSTITUTION OF HIGHER EDUCATION OFFERING DEGREES AT THE UNDERGRADUATE AND GRADUATE LEVEL AND LAW DEGREES. THE UNIVERSITY CONSISTS OF THE COLLEGE OF ARTS AND SCIENCES, THE SCHOOL OF ENGINEERING, THE LEAVEY SCHOOL OF BUSINESS, THE SCHOOL OF EDUCATION AND COUNSELING PSYCHOLOGY, THE SCHOOL OF LAW, AND THE JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA UNIVERSITY. CURRENT ENROLLMENT IS 8,356 STUDENTS CONSISTING OF 5,250 UNDERGRADUATE, 2,171 GRADUATE AND 935 LAW STUDENTS. IN 2013, THE UNIVERSITY AWARDED 2,473 DEGREES AT ALL ACADEMIC LEVELS. 315214535 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 0 0 1 1 1 1 1 0 0 1 0 0 0 1 1 1 0 0 0 0 0 1 1 0 1 1 1 0 0 0 0 1 1 1 0 0 1 1125 0 1 5017 1 1 1 1 ES UK 0 0 0 1 1 1 4 0 0 0 X 46 41 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 0 1 0 0 CA X HARRY M FONG 4085544397 500 EL CAMINO REAL SANTA CLARA CA 95053 MARGARET PEGGY BRADSHAW 4.00 X X 0 0 0 MICHAEL J CAREY 4.00 X 0 0 0 WILLIAM S CARTER 4.00 X 0 0 0 LOUIS M CASTRUCCIO 2.00 3.00 X 0 0 0 GERALD T COBB SJ 4.00 X 0 0 0 WILLIAM T COLEMAN III 2.00 X 0 0 0 ROBERT J FINOCCHIO JR 13.00 X X 0 0 0 REV JAMES P FLAHERTY SJ 2.00 X 0 0 0 PAUL F GENTZKOW 4.00 X 0 0 0 REBECCA GUERRA 2.00 X 0 0 0 SALVADOR GUTIERREZ 4.00 X 0 0 0 ELLEN MARIE HANCOCK 4.00 X 0 0 0 RICHARD J JUSTICE 2.00 X 0 0 0 JOHN P KOEPLIN SJ 4.00 X 0 0 0 TIMOTHY R LANNON SJ 2.00 X 0 0 0 WILLIAM P LEAHY SJ 2.00 X 0 0 0 HEIDI LEBARON LEUPP 4.00 X 0 0 0 JOHN JACK C LEWIS 4.00 X X 0 0 0 DONALD L LUCAS 2.00 X 0 0 0 REGIS MCKENNA 2.00 X 0 0 0 JOSEPH M MCSHANE SJ 2.00 X 0 0 0 KAPIL NANDA 4.00 X 0 0 0 JOHN OCAMPO 4.00 X 0 0 0 EDWARD A PANELLI 2.00 X 0 0 0 STEPHEN SCHOTT 2.00 X 0 0 0 ROBERT H SMITH 2.00 X 0 0 0 JOHN A SOBRATO 4.00 X 0 0 0 LARRY W SONSINI 2.00 X X 0 0 0 MICHAEL H SPLINTER 2.00 X 0 0 0 SCOTT SANTOROSA SJ 2.00 X 0 0 0 GILBERT SUNGHERA SJ 2.00 X 0 0 0 WILLIAM E TERRY 2.00 X 0 0 0 CHARMAINE WARMENHOVEN 2.00 X 0 0 0 AGNIESZKA WINKLER 4.00 X 0 0 0 AUSTIN WOODY 2.00 X 0 0 0 JOHN M SOBRATO 2.00 X 0 0 0 KRISTI M BOWERS 2.00 X 0 0 0 HOWARD S CHARNEY 2.00 X 0 0 0 MARY MATHEWS-STEVENS 2.00 X 0 0 0 JEFFREY A MILLER 2.00 X 0 0 0 BETSY S RAFAEL 2.00 X 0 0 0 JON R ABOITIZ 2.00 X 0 0 0 RICHARD D HAUGHEY 2.00 X 0 0 0 RACHEL MANFRE 2.00 X 0 0 0 STEVE SORDELLO 2.00 X 0 0 0 KIRK SYME 2.00 X 0 0 0 MICHAEL ENGH SJ 40.00 3.00 X 0 0 0 ROBERT WARREN 40.00 X 295331 0 34400 HARRY FONG 40.00 3.00 X 225784 0 33338 JOHN OTTOBONI 40.00 3.00 X 273484 0 41270 MOLLY MCDONALD 40.00 X 199362 0 40749 ROBERT GUNSALUS 40.00 3.00 X 341981 0 45831 ATOM YEE 40.00 X 217855 0 43630 S ANDREW STARBIRD 40.00 X 275516 0 49201 GODFREY MUNGAL 40.00 X 211378 0 42752 DONALD POLDEN 40.00 X 274137 0 49129 JOHN KERRIGAN 40.00 X 304948 0 42925 MIKE SEXTON 40.00 X 259824 0 37606 DENNIS JACOBS 40.00 X 320269 0 46050 NARENDA AGARWAL 40.00 X 287753 0 39656 KERRY KEATING 40.00 X 380062 0 46484 SUSAN PARKER 40.00 X 277101 0 34155 SUZANNE LUTTMAN 40.00 X 259194 0 27669 MICHAEL EAMES 40.00 X 274929 0 32718 JAMES PURCELL 32.00 3.00 X 159233 0 31891 LUCIA GILBERT 40.00 X 153541 0 27873 4991682 0 747327 344 1 1 0 BON APPETIT 301 MARKET STREET SANTA CLARA CA 95053 FOOD SERVICES 14267077 HALLMARK CONSTRUCTION INCORPORATED 3360 DE LA CRUZ BLVD SANTA CLARA CA 95054 CONSTRUCTION 9083322 DEVCON CONSTRUCTION INC 690 GIBRALTAR DRIVE MILPITAS CA 95035 CONSTRUCTION 4914512 SI 23 LLC 10600 N DE ANZA BLVD SUITE 200 CUPERTINO CA 95014 CONSTRUCTION 3499992 SUMMERS & SONS ELECTRIC INC 808 S MAIN STREET MILPITAS CA 95035 CONSTRUCTION 2333349 45 193320 1394685 331136 35719299 8747229 37638440 TUITION FEES 525990 286197472 286197472 AUXILIARY ACTIVITIES 611710 32609317 32609317 PROGRAM FEES 611710 6125353 6125353 FED GRANTS & CONTRACTS 900099 5953172 5953172 PROGRAM SALES INCOME 453000 1361915 1361915 3510050 2993325 516725 335757279 4569021 -1631051 6200072 43887 43887 224202758 208201821 180688 16000937 -180688 15820249 15820249 991840 1394685 1206777 -214937 -214937 393613939 335240554 -1114326 21849271 72259166 72259166 16580 16580 3838402 3385239 453163 131710401 114961806 12485754 4262841 11338785 9461039 1430713 447033 21514780 17224730 3590762 699288 9823820 8057294 1424119 342407 822129 55996 766133 408750 408750 2578 2578 2862782 2862782 23229276 19465560 2993113 770603 813343 759234 43971 10138 9903178 8274547 1628631 848727 441338 407389 6874470 4904429 1969488 553 5117967 4928914 35701 153352 6945537 5411961 1467581 65995 10938502 10804544 133958 30496577 25435724 5060853 3601371 3595406 5965 REPAIR & MAINTENANCE 6177888 4588144 1587357 2387 LIBRARY ACQUISITIONS 2370260 2367273 2987 MEMBERSHIP DUES 659150 412627 236622 9901 SPONSORED PROJECTS 381708 381708 1624481 1406515 163633 54333 364580608 315214535 42088114 7277959 54961983 53698906 40489433 28175235 17934104 17135798 2871682 3849347 1334890 675000 632441 626114 937568489 264083253 660220997 673485236 294799655 329321179 457733389 514375738 8003153 8058256 20333102 19944432 1559314829 1649345241 43820890 43191933 17684055 17401762 198233095 191196879 122993087 129030416 382731127 380820990 X 627197237 652788760 298700226 360852555 250686239 254882936 1176583702 1268524251 1559314829 1649345241 X 29033331 62406447 -781436 1282207 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 2578 2578 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: SCU PAYS ANNUAL DUES TO MEMBERSHIP ORGANIZATIONS; A PORTION OF THE ANNUAL DUES ARE USED BY THE ORGANIZATIONS FOR LOBBYING ACTIVITIES. 0 0 X X X 0 666356803 15143023 83256248 10576694 14725831 4532516 734921033 690647247 17605995 -10915566 10164755 15394203 5421915 666356803 601595259 8180820 115279995 10199873 17775547 6433407 690647247 545428010 9135249 72388000 7947048 11741952 5667000 601595259 695270605 12256712 -135277307 8917013 14690987 3214000 545428010 0.18710 0.81290 0.00000 1 0 9515999 49055779 58571778 4661277 597631618 149450848 452842047 76151252 34996082 41155170 116680099 76343380 40336719 7116 83865349 3292943 80579522 673485236 VENTURE CAPITAL & PRIVATE EQUITY 156364498 F OTHER ALTERNATIVE INVESTMENTS 101206122 F HEDGE FUNDS 201293141 F NOTES RECEIVABLE 2338303 F PENDING TRADES 53173674 F 514375738 AMOUNTS HELD ON BEHALF OF OTHERS 70395315 ANNUITY OBLIGATIONS 5419174 REFUNDABLE ADVANCES - US GOVERNMENT 7288262 ASSET RETIREMENT OBLIGATION 3165474 OBLIGATIONS UNDER CAPITALIZED LEASE 42762191 129030416 X PART III, LINE 1A: THE UNIVERSITY'S COLLECTIONS ARE MADE UP OF ARTIFACTS OF HISTORICAL SIGNIFICANCE AND ART OBJECTS THAT ARE HELD FOR EDUCATIONAL, RESEARCH, AND CURATORIAL PURPOSES. THE COLLECTIONS, WHICH HAVE BEEN ACQUIRED THROUGH CONTRIBUTIONS SINCE THE UNIVERSITY'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS IN THE ACCOMPANYING CONSOLIDATED STATEMENT OF FINANCIAL POSITION. PART III, LINE 4: THE UNIVERSITY MAINTAINS THE DE SAISSET MUSEUM FOR STUDENTS WHICH IS ALSO OPEN TO THE PUBLIC. THE DE SAISSET MUSEUM SUPPORTS SANTA CLARA UNIVERSITY'S GOAL OF EDUCATING THE WHOLE PERSON THROUGH A DIVERSE AND ACCESSIBLE RANGE OF EXHIBITIONS, COLLECTIONS, AND EDUCATIONAL PROGRAMS THAT HIGHLIGHT THE ART AND HISTORY OF THE SAN FRANCISCO BAY AREA AND THE LOCAL SANTA CLARA VALLEY. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: ENDOWED GIFTS ARE MEANT TO EXIST IN PERPETUITY, AND ARE INVESTED FOR LONG-TERM GROWTH. EACH YEAR, A PORTION OF THE FUND'S EARNINGS IS MADE AVAILABLE IN THE FORM OF AN ALLOCATION TO SUPPORT STUDENT SCHOLARSHIPS, FACULTY CHAIRS, AND OTHER ENDOWED PROGRAMS THAT FURTHER THE UNIVERSITY'S STRATEGIC PRIORITIES. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE UNIVERSITY DOES NOT HAVE A FOOTNOTE FOR ASC TOPIC 740 (FORMERLY FIN 48) IN THE AUDITED FINANCIAL STATEMENTS. THE UNIVERSITY HAS CONSIDERED THE POTENTIAL IMPACT OF ASC TOPIC 740, INCOME TAXES, AND AFTER REVIEW OF THE POTENTIAL IMPACT OF VARIOUS TAX POSITION, IT WAS DETERMINED THAT NO POTENTIAL LIABILITY EXISTED FOR THOSE POSITIONS. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 EXPLANATION OF NONDISCRIMINATORY POLICY PUBLICATION SCHEDULE E, PART I, LINE 3 THE UNIVERSITY'S STUDENT NON-DISCRIMINATION POLICY IS STATED IN THE UNIVERSITY ENROLLMENT APPLICATIONS, UNDERGRADUATE AND GRADUATE BULLETINS, STUDENT HANDBOOKS AND ITS WEB-SITE. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 FINANCIAL AID OR ASSISTANCE FROM GOVERNMENTAL AGENCIES CONSISTS OF STUDENT FINANCIAL AID RECEIVED FROM SUCH AGENCIES. 1 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 426032 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 2378031 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 350927 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 62974 CENTRAL AMERICA AND THE CARIBBEAN 1 2 PROGRAM SERVICES STUDY ABROAD 714236 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 9080 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES OUTREACH 101119 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 212302518 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 2576906 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 7500 1 2 0 0 1 2 216344917 2584406 218929323 CENTRAL AMERICA AND THE CARIBBEAN SOCIAL OUTREACH 7000 CHECK 1 0 1 0 0 1 1 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: THE UNIVERSITY GRANTS FUNDS TO JESUIT ORGANIZATIONS AND INDIVIDUALS IN THE CENTRAL AMERICAN REGION PRIMARILY TO ASSIST STUDENTS WITH LOCAL LIVING AND EDUCATIONAL EXPENSES. IN SOME CASES (NATIONAL DISASTERS) FUNDS ARE GIVEN TO COMMUNITIES TO PROVIDE EMERGENCY RELIEF. THE GRANTS ARE STRICTLY NEED BASED AND THEIR USE IS MONITORED THROUGH FREQUENT CONTACT WITH THESE STUDENTS/COMMUNITIES ON A REGULAR BASIS. GOLDEN CIRCLE 1063154 794189 268965 308124 420505 NCIP EVENT 452407 187941 264466 54563 25137 18 870964 412555 458409 235271 163177 2386525 1394685 991840 597958 608819 1206777 -214937 1 FINANCIAL AID 4899 72229166 AWARD FOR WORK IN HUMAN INTEREST - FROM LAW SCHOOL TO CHEN GUANGCHENG 1 30000 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE UNIVERSITY PROVIDES GRANTS FOR SCHOLARSHIPS, FELLOWSHIPS, AND STUDENT LOANS USING GUIDELINES ESTABLISHED BY THE ORGANIZATION'S BOARD OF TRUSTEES TO ENSURE THEY ARE MADE BASED ON NEED AND OR MERIT. SCU MAKES FINANCIAL AID GRANTS TO STUDENT ACCOUNT TO OFFSET AMOUNTS THAT STUDENTS OWE THE UNIVERSITY FOR TUITION AND FEES. X X X X 0 0 0 0 0 0 0 1 0 ROBERT WARREN 294019 0 0 0 1312 0 24500 0 9900 0 329731 0 0 0 HARRY FONG 225609 0 0 0 175 0 22809 0 10529 0 259122 0 0 0 JOHN OTTOBONI 270163 0 0 0 3321 0 24500 0 16770 0 314754 0 0 0 MOLLY MCDONALD 190962 0 0 0 8400 0 19841 0 20908 0 240111 0 0 0 ROBERT GUNSALUS 341981 0 0 0 0 0 24500 0 21331 0 387812 0 0 0 ATOM YEE 217855 0 0 0 0 0 20097 0 23533 0 261485 0 0 0 S ANDREW STARBIRD 275516 0 0 0 0 0 24500 0 24701 0 324717 0 0 0 GODFREY MUNGAL 211378 0 0 0 0 0 21902 0 20850 0 254130 0 0 0 DONALD POLDEN 268809 0 0 0 5328 0 24500 0 24629 0 323266 0 0 0 JOHN KERRIGAN 303635 0 0 0 1313 0 24500 0 18425 0 347873 0 0 0 MIKE SEXTON 233001 0 22405 0 4418 0 23624 0 13982 0 297430 0 0 0 DENNIS JACOBS 273955 0 0 0 46314 0 24500 0 21550 0 366319 0 0 0 NARENDA AGARWAL 175103 0 0 0 112650 0 18062 0 21594 0 327409 0 0 0 KERRY KEATING 371662 0 0 0 8400 0 24500 0 21984 0 426546 0 0 0 SUSAN PARKER 164497 0 0 0 112604 0 16744 0 17411 0 311256 0 0 0 SUZANNE LUTTMAN 150936 0 0 0 108258 0 15189 0 12480 0 286863 0 0 0 MICHAEL EAMES 155004 0 0 0 119925 0 15745 0 16973 0 307647 0 0 0 JAMES PURCELL 158303 0 0 0 930 0 16304 0 15587 0 191124 0 0 0 LUCIA GILBERT 153541 0 0 0 0 0 15755 0 12118 0 181414 0 0 0 PART I, LINE 7 MIKE SEXTON RECEIVED A BONUS PAYMENT FOR HIS CONTINUING APPOINTMENT. SUPPLEMENTAL INFORMATION PART III PRESIDENT'S COMPENSATION: THE PRESIDENT OF THE UNIVERSITY IS A MEMBER OF A RELIGIOUS CONGREGATION AND IS SUBJECT TO A VOW OF POVERTY. THE FAIR MARKET VALUE OF THE PRESIDENT'S COMPENSATION FOR HIS SERVICES IS PAID TO THE RELIGIOUS CONGREGATION OF WHICH HE IS A MEMBER. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130178RMO 2008-12-11 71636711 CONSTRUCTION AND RENOVATION OF FACILITIES, PAY OFF TAXABLE LOAN 0 0 0 B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130175N32 2003-07-03 23812204 ACQUISITION, CONSTRUCTION & IMPROVEMENT OF DORMS; REFUND 1995 & 1993 BONDS 0 0 0 C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130178WV4 2010-09-15 54289973 IMPROVEMENT & EXPANSION OF FACILITIES, REFUND 2002A BONDS 0 0 0 A 8115000 71685297 846711 17048587 53790000 2011 1 0 1 1 B 14195000 24229716 421246 198395 5831201 17778875 2004 1 1 1 1 C 2010000 54316853 587481 35026881 18702492 2010 0 1 1 1 A 0 0 1 1 0 0.00200 0.00000 0.00200 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 0 0 1 0 0 1 AEGON INSURANCE 1.500000000000 1 0 1 C 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 DIFFERENCE BETWEEN PART I(E) AND PART II QUESTION 3 IS DUE TO INTEREST EARNED FROM THE PROJECT FUND. PART IV, LINE 2C, BOND B THE REBATE COMPUTATION WAS PERFORMED ON JULY 30, 2007 AND ALL BOND PROCEEDS WERE EXPENDED AS OF THAT DATE. NO ADDITIONAL PROCEEDS HAVE ARISEN SINCE JULY 30, 2007. PART III, LINE 7 AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B). THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. MICHAEL SEXTON KEY EMPLOYEE SHARED EQUITY X 375000 375000 0 0 1 DENNIS JACOBS KEY EMPLOYEE SHARED EQUITY X 300000 300000 0 0 1 675000 NA N/A 20050 FINANCIAL AID EDUCATION ELIZABETH L CARTER FAMILY MEMBER OF WILLIAM S. CARTER, TRUSTEE 46441 EMPLOYMENT 0 WSG&R ENTITY WHERE LARRY SONSINI, OFFICER, SERVES AS OFFICER 110196 LEGAL FEES 0 SI 23 LLC ENTITY WHERE JOHN A AND JOHN M SOBRATO, TRUSTEES HAVE MORE THAN 5% INTEREST 3499992 LONG-TERM LEASE 0 MELISSA GILBERT FAMILY MEMBER OF LUCIA GILBERT, FORMER PROVOST 76270 EMPLOYMENT 0 JOHN GILBERT FAMILY MEMBER OF LUCIA GILBERT, FORMER PROVOST 140944 EMPLOYMENT 0 X 82 6467115 AVERAGE MKT VALUE X 4 1803839 APPRAISAL X 1 360000 APPRAISAL X MISC SUPPLIES 51 116275 SELLING PRICE 2 0 1 1 THIRD PARTY USE: PART I, LINE 32B: THE UNIVERSITY USES STOCK BROKERS TO SELL DONATED SECURITIES AND REAL ESTATE BROKERS TO SELL DONATED REAL ESTATE. FORM 990, PART III, LINE 1: SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. STUDENT LEARNING TAKES PLACE AT THE UNDERGRADUATE AND GRADUATE LEVEL IN AN EDUCATIONAL ENVIRONMENT THAT INTEGRATES RIGOROUS INQUIRY AND SCHOLARSHIP, CREATIVE IMAGINATION, REFLECTIVE ENGAGEMENT WITH SOCIETY, AND A COMMITMENT TO FASHIONING A MORE HUMANE AND JUST WORLD. AS AN ACADEMIC COMMUNITY, WE EXPAND THE BOUNDARIES OF KNOWLEDGE AND INSIGHT THROUGH TEACHING, RESEARCH, ARTISTIC EXPRESSION, AND OTHER FORMS OF SCHOLARSHIP. IT IS PRIMARILY THROUGH DISCOVERING,COMMUNICATING, AND APPLYING KNOWLEDGE THAT WE EXERCISE OUR INSTITUTIONAL RESPONSIBILITY AS A VOICE OF REASON AND CONSCIENCE IN SOCIETY, WE OFFER CHALLENGING ACADEMIC PROGRAMS AND DEMONSTRATE A COMMITMENT TO THE DEVELOPMENT OF: 1) UNDERGRADUATE STUDENTS WHO SEEK AN EDUCATION WITH A STRONG HUMANISTIC ORIENTATION IN A PRIMARILY RESIDENTIAL SETTING. 2) GRADUATE STUDENTS, MANY OF THEM WORKING PROFESSIONALS IN SILICON VALLEY,WHO SEEK ADVANCED DEGREE PROGRAMS THAT PREPARE THEM TO MAKE SIGNIFICANT CONTRIBUTIONS TO THEIR FIELDS. IN ADDITION TO THESE CORE PROGRAMS, WE ALSO PROVIDE A VARIETY OF CONTINUING EDUCATION AND PROFESSIONAL DEVELOPMENT OPPORTUNITIES FOR NON-MATRICULATED STUDENTS. FORM 990, PART VI, SECTION A, LINE 2 - LARRY W. SONSINI, ROBERT J. FINOCCHIO, AND BILL COLEMAN HAVE A BUSINESS RELATIONSHIP. - JOHN A. SOBRATO AND JOHN M. SOBRATO HAVE A FAMILY AND BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 THE BOARD OF TRUSTEES HAS DELEGATED THE REVIEW OF THE FORM 990 TO THE AUDIT COMMITTEE. THE ORGANIZATION'S CONTROLLER DEPARTMENT WORKED CLOSELY WITH THE OUTSIDE ACCOUNTING FIRM IT ENGAGED TO PREPARE THE RETURN. THE FINAL DRAFT OF FORM 990 WAS ALSO REVIEWED BY THE ASSISTANT TREASURER PRIOR TO PROVIDING THE DRAFT TO THE AUDIT COMMITTEE. INFORMATION FOR THE RETURN WAS ALSO OBTAINED THROUGH DISCUSSIONS WITH SENIOR ADMINISTRATION AND THE GENERAL COUNSEL. THE AUDIT COMMITTEE ALSO MET WITH THE ACCOUNTING FIRM HIRED TO PREPARE THE FORM 990. SUBSEQUENT TO ITS REVIEW, THE AUDIT COMMITTEE REPORTED BACK TO THE BOARD REGARDING ITS OVERSIGHT OF THE FORM 990 AND THE FINAL DRAFT WAS PROVIDED TO THE ENTIRE VOTING BOARD BEFORE THE RETURN WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF TRUSTEES HAS A CONFLICT OF INTEREST POLICY AS PART OF THE BYLAWS. THE ASSISTANT TREASURER IS RESPONSIBLE FOR MONITORING POTENTIAL CONFLICT OF INTEREST. ANNUALLY, A QUESTIONNAIRE IS SENT TO THE BOARD OF TRUSTEES, OFFICERS AND KEY EMPLOYEES ASKING FOR ANY POSSIBLE BUSINESS OR PERSONAL CONNECTION TO THE ORGANIZATION THAT MAY CAUSE A POTENTIAL CONFLICT. THE PROCEDURES FOR ADDRESSING ANY CONFLICT OF INTEREST INCLUDES, BUT IS NOT LIMITED TO, THE FOLLOWING: (1) THE CONFLICTING INTEREST IS FULLY DISCLOSED TO THE PRESIDENT AND BOARD; (2) THE INTERESTED PERSON RESPONDS TO FACTUAL QUESTIONS RELATED TO THE SUBSTANCE OF THE TRANSACTION OR ARRANGEMENT BEING CONSIDERED, AFTER WHICH HE/SHE SHALL LEAVE THE MEETING; (3) THE PERSON WITH THE CONFLICT OF INTEREST IS EXCLUDED FROM THE DISCUSSION AND APPROVAL OF SUCH TRANSACTION; (4) ALTERNATIVES TO THE PROPOSED TRANSACTION ARE INVESTIGATED, COMPETITIVE BIDS OR COMPARABLE VALUATIONS ARE OBTAINED; (5) THE TRANSACTION OR ACTION MUST BE APPROVED BY A MAJORITY OF DISINTERESTED PERSONS. FORM 990, PART VI, SECTION B, LINE 14: THE UNIVERSITY IS IN THE PROCESS OF ADOPTING A WRITTEN DOCUMENT RETENTION AND DESTRUCTION POLICY. FORM 990, PART VI, SECTION B, LINE 15A THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES HAS THE AUTHORITY TO REVIEW AND DETERMINE THE PRESIDENT'S COMPENSATION. DISCUSSIONS OF THE PRESIDENT'S COMPENSATION WERE DOCUMENTED IN THE MINUTES OF MEETINGS OF THE EXECUTIVE COMMITTEE. THE COMPENSATION OF THE PROVOST AND VICE PRESIDENTS ARE DETERMINED BY THE PRESIDENT. OTHER KEY EMPLOYEES' COMPENSATION IS DETERMINED BY THE RESPECTIVE VICE PRESIDENT OR PROVOST. IN ALL CASES, COMPARABLE DATA FROM SIMILAR ORGANIZATIONS AND POSITIONS WERE USED TO DETERMINE COMPENSATION LEVELS. THIS INFORMATION COMES FROM INDEPENDENT SURVEY DATA. EACH EMPLOYEE'S COMPENSATION IS DOCUMENTED IN THEIR RESPECTIVE PERSONNEL FILES AND THEY ARE PERSONALLY NOTIFIED OF ANY CHANGES IN COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 WHILE FEDERAL TAX LAWS DO NOT MANDATE THAT THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS BE MADE AVAILABLE FOR PUBLIC INSPECTION, THE ORGANIZATION MAKES ITS CONFLICT OF INTEREST POLICY AVAILABLE UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: JST COMPENSATION EXPENSES PAID BY SCU 1,282,207. BRONCO BENCH FOUNDATION SANTA CLARA UNIVERSITY SANTA CLARA CA 95053 946121957 FUNDRAISING CA 501(C)(3) LINE 11B, II PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA 1735 LE ROY AVE BERKELEY CA 94709 941156462 EDUCATION CA 501(C)(3) LINE 1 PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 CHARITABLE REMAINDER TRUST (15) HOLDINGS CA N/A T 0 0 0 1 1 0 0 0 0 0 0 0 1 1 1 1 1 1 0 0 BRONCO BENCH FOUNDATION C 1260836 FMV JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA D 7257838 FMV