2014-07-10T09:21:36-05:00 2013-08-31 990 2012-09-01 135562308 NEW YORK UNIVERSITY NEWY 2129982955 105 E 17TH STREET - 4TH FLOOR NEW YORK NY 100039580 MARTIN DORPH 2129982955 2014-07-10 2012 2016-02-25 16:41:14Z MARTIN DORPH 105 E 17TH ST 4TH FL NEW YORK NY 100039580 5674037323 0 X WWW.NYU.EDU X 1831 NY NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 44,000 STUDENTS IN 18 SCHOOLS AND INSTITUTES. 69 62 34781 9239 10560753 413066 857257738 960468399 3040158613 3222870020 81063770 229353193 38494278 180672651 4016974399 4593364263 361444188 396752355 0 0 2340608572 2336976682 753341 737489 41259978 1260520854 1460085175 3963326955 4194551701 53647444 398812562 8038275299 8618608466 4267766192 4422213569 3770509107 4196394897 X NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 44,000 MATRICULATING STUDENTS IN 18 SCHOOLS AND INSTITUTES. NYU'S PRIMARY MISSIONS ARE EDUCATION, PATIENT CARE, RESEARCH AND SCHOLARSHIP. NYU IS RECOGNIZED BOTH NATIONALLY AND INTERNATIONALLY AS A LEADER IN SCHOLARSHIP 0 0 1654222138 396752355 1834527000 EDUCATION: FOUNDED IN 1831, NYU IS THE LARGEST PRIVATE RESEARCH UNIVERSITY IN THE U.S., WITH 18 SCHOOLS AND INSTITUTES; AND APPROXIMATELY 4,000 FULL-TIME FACULTY MEMBERS AND 44,000 MATRICULATING STUDENTS. NYU ANNUALLY CONFERS OVER 13,000 UNDERGRADUATE, GRADUATE AND PROFESSIONAL DEGREES; AND PROVIDES OVER $190 MILLION PER YEAR IN INSTITUTIONAL GRANT AID TO UNDERGRADUATES. THE WORLD'S FIRST "GLOBAL NETWORK UNIVERSITY," NYU HAS AN UNPARALLELED INTERNATIONAL PRESENCE WITH DEGREE-GRANTING LIBERAL ARTS RESEARCH UNIVERSITY CAMPUSES (IN NEW YORK, ABU DHABI, AND SHANGHAI); 11 GLOBAL ACADEMIC SITES (FOR STUDY ABROAD) ON SIX CONTINENTS; SENDS MORE STUDENT TO STUDY ABROAD THAN ANY OTHER U.S. COLLEGE OR UNIVERSITY; AND IS ONE OF THE LEADING U.S. UNIVERSITIES IN ATTRACTING INTERNATIONAL STUDENTS. 887840417 904599000 PATIENT CARE: NYU'S MEDICAL ACADEMIC PROGRAMS ARE A MAJOR ELEMENT OF THE UNIVERSITY'S MISSION. THE NYU SCHOOL OF MEDICINE WAS ESTABLISHED IN 1841; FROM ITS EARLIEST YEARS, IT HAS BEEN AT THE FOREFRONT OF ADVANCING THE MEDICAL PROFESSION AND MEDICAL RESEARCH, INCLUDING PARTICIPATING IN THE PROCESS THAT LED TO THE ESTABLISHMENT OF NEW YORK CITY'S HEALTH DEPARTMENT, ESTABLISHING THE FIRST OUTPATIENT CLINIC, ESTABLISHING THE FIRST LABORATORY DEVOTED TO TEACHING AND RESEARCH IN BACTERIOLOGY AND PATHOLOGY, CREATING THE FIRST DEPARTMENT OF FORENSIC MEDICINE, CREATING THE FIRST DEPARTMENT OF PHYSICAL MEDICINE AND REHABILITATION IN THE U.S., AND ESTABLISHING ONE OF THE FIRST MD-PHD PROGRAMS. ITS FACULTY AND GRADUATES HAVE INCLUDED NOBEL LAUREATES, THE DISCOVERER OF THE MOSQUITO AS THE SOURCE OF TRANSMISSION OF YELLOW FEVER, BOTH CREATORS OF THE POLIO VACCINE, AND THE RESEARCHERS WHO FOUND THE LINKAGE BETWEEN KAPOSI'S SARCOMA AND IMMUNE DEFICIENCY IN A DISTINCT POPULATION OF GAY MEN (A KEY STEP IN IDENTIFYING AIDS), AMONG OTHER LEADERS IN MEDICINE. THROUGH AFFILIATION AGREEMENTS, THE DOCTORS AND STUDENTS AT NYU SCHOOL OF MEDICINE PLAY A CRUCIAL ROLE IN ENSURING TOP QUALITY CARE NOT ONLY AT THE NYU LANGONE MEDICAL CENTER, BUT ALSO AT THE MANHATTAN VA HOSPITAL AND BELLEVUE HOSPITAL (ARGUABLY THE FOREMOST PUBLIC HOSPITAL IN THE U.S.). THE NYU COLLEGE OF DENTISTRY, WHICH AS THE LARGEST DENTAL SCHOOL IN THE U.S. AND MOST COMPREHENSIVE ORAL HEALTH CENTER IN THE WORLD, CARES FOR SOME 50,000 POOR AND LOW INCOME NEW YORKERS EACH YEAR AND OPERATES A MOBILE DENTAL CARE PROGRAM WHICH TRAVELS TO UNDERSERVED AREAS OF NEW YORK STATE. IN ADDITION, NYU OFFERS MASTERS DEGREES IN PUBLIC HEALTH AND PROVIDES UNDERGRADUATE AND GRADUATE EDUCATION FOR OVER 1,200 NURSING STUDENTS. 633475860 619063399 RESEARCH AND SCHOLARSHIP: NYU IS A MAJOR RESEARCH INSTITUTION, WITH SIGNIFICANT SUPPORT FROM NIH, NSF AND OTHER FUNDERS. THE RESEARCH AND CREATIVE OUTPUT OF NYU'S SCHOLARS HAVE LED TO THE RECEIPT OF NOBEL PRIZES, ABEL PRIZES, PULITZER PRIZES, GUGGENHEIMS, THE NATIONAL MEDAL OF THE ARTS, THE NATIONAL MEDAL OF SCIENCE, THE NATIONAL MEDAL OF TECHNOLOGY, NSF WATERMAN AWARDS, MAX PLANCK AWARDS, THE KAVLI PRIZE, MEMBERSHIP IN THE NATIONAL ACADEMY OF SCIENCES, ACADEMY AWARDS, AND TONY AWARDS, AMONG MANY OTHER HONORS FOR THE UNIVERSITY'S FACULTY. NYU FACULTY FINDINGS ARE REGULARLY PUBLISHED IN TOP JOURNALS ACROSS A BROAD RANGE OF SCHOLARLY DISCIPLINES. NYU HAS LEADING PROGRAMS IN ECONOMICS, MATHEMATICS (AND PARTICULARLY APPLIED MATHEMATICS), NEUROSCIENCE, GENOMICS, SOFT CONDENSED MATTER PHYSICS, SOCIOLOGY, AND PHILOSOPHY, AMONG MANY OTHER SCHOLARLY FIELDS. 489433000 483744020 STUDENT SERVICES; STUDENT AID; LIBRARY; AND OPERATION AND MAINTENANCE OF PLANT. 489433000 483744020 3664971415 1 1 0 1 0 0 1 1 0 1 1 1 0 0 1 0 0 1 1 1 1 0 1 1 1 0 0 1 1 1 1 1 0 0 0 0 1 0 1 1 1 1 1 0 0 0 1 1 1 1 0 1 X 8724 0 34781 1 1 1 1 AE AR AS BD CH CJ EI EZ FR GH GM IS IT MP PM SN SP UK VI 0 0 0 1 1 0 0 0 0 X 69 62 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 AK AZ CO KY MD MA MI OH OK OR SC WA X KERRI TRICARICO 2129982913 105 E 17TH STREET 3RD FLOOR NEW YORK NY 100039345 RONALD D ABRAMSON 2.00 X 0 0 0 KHALDOON KHALIFA AL MUBARAK 2.00 X 0 0 0 RALPH ALEXANDER 2.00 X 0 0 0 PHYLLIS PUTTER BARASCH 2.00 X 0 0 0 MARIA BARTIROMO 2.00 X 0 0 0 MARC H BELL 2.00 X 0 0 0 WILLIAM R BERKLEY 4.00 X X 0 0 0 CASEY BOX 2.00 X 0 0 0 BILL BREWER 2.00 X 0 0 0 DANIEL J BRODSKY 2.00 X 0 0 0 HEATHER CANNADY 2.00 X 0 0 0 SHARON CHANG 2.00 X 0 0 0 EVAN R CHESLER 2.00 X 0 0 0 STEVEN M COHEN 2.00 X 0 0 0 WILLIAM T COMFORT III 2.00 X 0 0 0 MICHAEL R CUNNINGHAM 2.00 X 0 0 0 FLORENCE A DAVIS 2.00 X 0 0 0 MICHAEL DENKENSOHN 2.00 X 0 0 0 BARRY DILLER 2.00 X 0 0 0 GALE DRUKIER 2.00 X 0 0 0 JOEL S EHRENKRANZ 2.00 X 0 0 0 LAURENCE D FINK 4.00 X X 0 0 0 MARK FUNG 2.00 X 0 0 0 JAY M FURMAN 2.00 X 0 0 0 H DALE HEMMERDINGER 2.00 X 0 0 0 JONATHAN L HERMAN 2.00 X 0 0 0 CHARLES J HINKATY 2.00 X 0 0 0 NATALIE HOLDER-WINFIELD 2.00 X 0 0 0 MITCHELL JACOBSON 2.00 X 0 0 0 BORIS JORDAN 2.00 X 0 0 0 CHARLES KLEIN 2.00 X 0 0 0 ANDRE JL KOO 2.00 X 0 0 0 KENNETH G LANGONE 4.00 X X 0 0 0 MARK LESLIE 2.00 X 0 0 0 BRIAN A LEVINE MD 2.00 X 0 0 0 MARTIN LIPTON 20.00 X X 0 0 0 JEFFREY H LYNFORD 2.00 X 0 0 0 KELLY KENNEDY MACK 2.00 X 0 0 0 MIMI MD MARZIANI 2.00 X 0 0 0 HOWARD MEYERS 2.00 X 0 0 0 STEVEN S MILLER 2.00 X 0 0 0 CONSTANCE J MILSTEIN 2.00 X 0 0 0 DAVID C OXMAN 2.00 X 0 0 0 JOHN PAULSON 2.00 X 0 0 0 LESTER POLLACK 2.00 X 0 0 0 CATHERINE B REYNOLDS 2.00 X 0 0 0 BRETT B ROCHKIND 2.00 X 0 0 0 WILLIAM C RUDIN 2.00 X 0 0 0 SURESH SANI 2.00 X 0 0 0 CONSTANCE SILVER 2.00 X 0 0 0 LISA SILVERSTEIN 2.00 X 0 0 0 JAY STEIN 2.00 X 0 0 0 JOSEPH S STEINBERG 2.00 X 0 0 0 JUDY STEINHARDT 2.00 X 0 0 0 MICHAEL H STEINHARDT 2.00 X 0 0 0 CHANDRIKA TANDON 2.00 X 0 0 0 DANIEL R TISCH 2.00 X 0 0 0 JOHN L VOGELSTEIN 2.00 X 0 0 0 WENLIANG WANG 2.00 X 0 0 0 CASEY WASSERMAN 2.00 X 0 0 0 NINA WEISSBERG 2.00 X 0 0 0 ANTHONY WELTERS 4.00 X X 0 0 0 SHELBY WHITE 2.00 X 0 0 0 LEONARD A WILF 4.00 X X 0 0 0 FRED WILSON 2.00 X 0 0 0 TAMARA WINN 2.00 X 0 0 0 CHARLES ZEGAR 2.00 X 0 0 0 JOHN E SEXTON 70.00 X X 1303719 0 202965 DAVID W MCLAUGHLIN 50.00 X 598619 0 37601 MICHAEL ALFANO 50.00 X 493537 0 48229 ROBERT BERNE 50.00 X 1255196 0 37601 BONNIE BRIER 50.00 X 690617 0 37601 MARTIN DORPH 50.00 X 668009 0 42257 THOMAS J CAREW 50.00 X 502939 0 37601 ANDREW BROTMAN 30.00 30.00 X 722131 722131 25000 ROBERT GROSSMAN 30.00 30.00 X 1872104 1872104 653502 ALISON LEARY 50.00 X 423604 0 42209 STEPHANIE PIANKA 50.00 X 164337 0 3379 TINA SURH 50.00 X 1648465 0 25133 DEBRA LAMORTE 50.00 X 608688 0 33309 LINDA MILLS 50.00 X 619274 0 43025 MARILYN MCMILLAN 50.00 X 348156 0 31757 ANTHONY K FREMPONG-BOADU 50.00 X 3511991 0 37069 JAMES A GRIFO MD PHD 50.00 X 3378699 0 36126 JOHN G GOLFINOS 45.00 5.00 X 2626413 225284 42778 FREDERICK L LICCIARDI 50.00 X 2331213 0 38610 NICOLE NOYES 50.00 X 2290334 0 40422 JESS BENHABIB 50.00 X 436506 0 37601 26494551 2819519 1533775 1968 1 1 0 COLLINS BUILDING SERVICES INC 1775 BROADWAY STE 1420 NEW YORK NY 10019 CLEANING SERVICE 44555507 TURNER CONSTRUCTION COMPANY CORP 375 HUDSON STREET NEW YORK NY 10014 CONSTRUCTION 36556593 STRUCTURE TONE INC 770 BROADWAY-9TH FL NEW YORK NY 10003 CONSTRUCTION 32724861 TISHMAN CONSTRUCTION CORP OF NY 100 PARK AVE 5TH FL NEW YORK NY 10017 CONSTRUCTION 32247223 ARAMARK EDUCATIONAL SERVICES LLC 11 WEST 42ND STREET 4TH FL NEW YORK NY 10036 FACILITY MANAGEMENT SERVICES 30615615 653 309355 12245724 619063399 328849921 33560573 960468399 TUITION & FEES 611600 1834527000 1834527000 PATIENT CARE 623990 904599000 904599000 OTHER PROGRAM SERVICES 611600 244160188 244160188 HOUSING & DINING 721310 239583832 239583832 3222870020 42783715 -2715128 45498843 70584992 106502853 -35917861 -35917861 5796000 -41713861 1134325790 947756312 186569478 186569478 186569478 3287717 12245724 1388666 1899051 1899051 32325000 25025229 7299771 1331557 5968214 OTHER NON OPERATING 900099 169967294 5025 169962269 OTHER AUX. ENTERPRISES 713940 19009265 6143299 12865966 INTERNAL INCOME 900099 18415131 18415131 207391690 4593364263 3222870020 10560753 399465091 579355 579355 339619112 339619112 56553888 56553888 10296283 10296283 10047936 10047936 1853070422 1693845584 135226844 23997994 128659619 119757945 7018823 1882851 229650337 215062345 11092694 3495298 105252085 97962037 5753285 1536763 9281032 9281032 1424302 1424302 722002 722002 737489 737489 7539943 7539943 191126380 157142060 33176413 807907 6638956 6351628 128315 159013 149990224 137507413 10555860 1926951 40605159 13229259 26943326 432574 225000 225000 98957111 95973017 2958216 25878 97708180 89839650 7410818 457712 4515950 1221922 149632 3144396 98230933 88042933 10188000 217660959 174092630 43568329 16945882 5439962 11505920 REPAIR AND MAINTENANCE 100860606 96248606 4612000 RENOVATION 94173000 4057000 90116000 SERVICE CONTRACT 77547120 75847120 1700000 RENTAL OF EQUIPMENT 65792325 17593325 48199000 180140111 147008069 30476890 2655152 4194551701 3664971415 488320308 41259978 878963850 900101876 103439747 85183717 379828845 359193547 215312946 326026172 1161633 1139527 7154668 8211226 91370966 99596121 9642000 9645105 94072071 91840847 5929422070 2251427837 3401137282 3677994233 2827092391 2999784993 29098900 59891102 8038275299 8618608466 464138338 544511234 811579000 805803000 1912900000 1878142000 94551000 255888000 984597854 937869335 4267766192 4422213569 X 1746004971 1983991677 647459841 744086180 1377044295 1468317040 3770509107 4196394897 8038275299 8618608466 398812562 15368401 11704827 0 X X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 0 1 250 0 1 3347 1 686626 1 31779 0 722002 0 X 1 0.29 1 1 1 0 1 X X X X 0 2765755897 150829000 246382088 23462909 185612121 11310868 2942581087 2690369662 177795800 72055356 22281071 149033859 3151990 2765753898 2375939165 142888000 301857827 18645572 105415479 6254279 2690369662 2134635606 160162000 172386687 14219178 81135377 3040411 2368789327 2394484490 102440000 -258404408 21727000 78727904 3429572 2134635606 0.40000 0.60000 0.00000 0 0 156621428 156621428 4697002110 1778851175 2918150935 637487532 472576662 164910870 438311000 438311000 3677994233 COLLATERAL FOR SECURITIES LOANED 2605199 F EQUITY SECURITIES 1486450407 F FIXED INCOME SECURITIES 318638716 F OPPORTUNISTIC & CREDIT 779833730 F OTHER LONG - TERM INVESTMENTS 34311263 F OTHER SHORT - TERM INVESTMENTS 22284552 F REAL ASSETS 355661126 F 2999784993 ACCRUED BENEFIT OBLIGATION 77103391 ACCRUED POSTRETIREMENT OBLIGATION 418401653 ASSET RETIREMENT OBLIGATION 133176572 FEDERAL GRANTS REFUNDABLE 71189397 SECURITY LOAN AGREEMENTS PAYABLE 2536220 TAXABLE BONDS 151701375 OTHER LEASING OBLIGATIONS 83760727 937869335 PART III, LINE 1A: THE UNIVERSITY DOES NOT ASSIGN VALUES TO COLLECTION ITEMS. COLLECTION ITEMS ARE GENERALLY HELD FOR EDUCATIONAL PURPOSES AND ARE NOT DISPOSED OF FOR FINANCIAL GAIN OR OTHERWISE ENCUMBERED IN ANY MANNER. PART III, LINE 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 ACQUISITION AND MAINTENANCE OF THESE COLLECTIONS ARE RECORDED AS EXPENSES IN THE PERIOD IN WHICH THEY ARE INCURRED. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: NYU'S ENDOWMENT CONSISTS OF INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES SUCH AS: PROGRAM SUPPORT, FACULTY AND STAFF SALARIES, SCHOLARSHIPS AND FELLOWSHIPS, LIBRARY BOOKS, RESEARCH, BUILDINGS AND EQUIPMENT, AND STUDENT LOANS. 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 ALL ADVERTISEMENTS AND MARKETING MATERIALS, INCLUDING ADVERTISEMENTS IN NEWSPAPERS, CONTAIN THE NYU NONDISCRIMINATORY POLICY STATEMENT. ADDITIONALLY, THE UNIVERSITY'S WEB-SITE (WWW.NYU.EDU) PROMINENTLY FEATURES INSTITUTIONAL POLICIES ON NONDISCRIMINATION AND EQUAL OPPORTUNITY. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE UNIVERSITY RECEIVES FINANCIAL ASSISTANCE FROM VARIOUS FEDERAL, STATE & LOCAL AGENCIES. 1 CENTRAL AMERICA 1 1 EDUCATION/RESEARCH INSTRUCTION 311639 EAST ASIA AND THE PACIFIC 5 68 EDUCATION/RESEARCH INSTRUCTION 16311489 EUROPE 7 147 EDUCATION/RESEARCH INSTRUCTION 56303538 MIDDLE EAST AND NORTH AFRICA 4 508 EDUCATION/RESEARCH INSTRUCTION 85807485 SOUTH AMERICA 1 7 EDUCATION/RESEARCH INSTRUCTION 2635294 SUB-SAHARAN AFRICA 1 10 EDUCATION/RESEARCH INSTRUCTION 2211777 SOUTH ASIA 1 0 EDUCATION/RESEARCH INSTRUCTION 816 CENTRAL AMERICA 0 0 INVESTMENTS 1011829033 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 82256490 EUROPE 0 0 INVESTMENTS 21145519 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 26388036 20 741 0 0 20 741 1175411071 129790045 1305201116 SCHOLARSHIPS, FELLOWSHIPS, GRANTS CENTRAL AMERICA AND THE CARIBBEAN 26 886429 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EAST ASIA AND THE PACIFIC 478 17243299 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EUROPE 373 13694255 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS MIDDLE EAST & NORTH AFRICA 126 6695923 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS NORTH AMERICA 176 5262129 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS RUSSIA-NEWLY INDEPENDENT 39 2212922 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SOUTH AMERICA 90 3183669 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS. GRANTS SOUTH ASIA 142 5026172 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SUB-SAHARAN AFRICA 47 2349090 CREDIT TO BURSAR ACCOUNTS 1 0 1 0 1 1 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS OUTSIDE THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X X X X 1 RUFFALOCODY 65 KIRKWOOD N RD CEDAR RAPIDS IA 52406 PHONATHON 0 1546642 737489 809153 1546642 737489 809153 AL AK AZ AR CA CO CT FL GA HI IL KS KY LA MA ME MD MI MN MO MS NC ND NH NJ NM NY OH OK OR PA RI SC TN UT VA WA WI WV DC VIOLET BALL 5441851 5225351 216500 333877 FACES GALA 4708585 4567385 141200 292028 24 5383005 2452988 2930017 762761 15533441 12245724 3287717 1388666 1388666 1899051 1 UNITED WAY OF NEW YORK CITY 2 PARK AVENUE NEW YORK NY 10016 132617681 501(C)(3) 25660 SUPPORT NATIONAL CENTER ON PHILANTHROPY AND THE LAW 110 WEST 3RD STREET - DAGOSTINO HALL NEW YORK NY 10012 133954405 501(C)(3) 270000 SUPPORT GREENWICH HOUSE INC 224 WEST 30TH STREET SUITE 302 NEW YORK NY 10001 135562204 501(C)(3) 17300 SUPPORT AND COMMUNITY GALA UNIVERSITY SETTLEMENT ANNUAL FUND 184 ELRIDGE STREET NEW YORK NY 10002 135562374 501(C)(3) 15000 SUPPORT BOWERY RESIDENTS' COMMITTEE INC 131 WEST 25TH STREET 12TH FLOOR NEW YORK NY 10001 132736659 501(C)(3) 12500 SUPPORT UNION SQUARE PARTNERSHIP 4 IRVING PLACE NEW YORK NY 10003 133004730 501(C)(3) 12500 HARVEST IN THE SQUARE / SUMMER IN THE SQUARE LOWER EAST SIDE GIRLS CLUB OF NY 56 EAST 1ST STREET NEW YORK NY 10003 133942063 501(C)(3) 12000 SUPPORT ANNUAL GALA NEW YORK BUILDING CONGRESS 44 WEST 28TH STREET NEW YORK NY 10001 131097030 501(C)(3) 10425 LEADERSHIP AWARDS LUNCHEON, RECOGNITION BUILDING AND CONSTRUCTION SPONSORSHIP. PROJECT RENEWAL 200 VARICK STREET 9TH FLOOR NEW YORK NY 10014 132602882 501(C)(3) 5000 SUPPORT INNOVATIVE MOBILE MEDICAL PROGRAM FOR HOMELESS MEN AND WOMEN. NEW YORKER FOR PARKS 55 BROAD STREET NEW YORK NY 10004 136167879 501(C)(3) 15000 SUPPORT ANNUAL GALA 10 0 STUDENT FINANCIAL AID 16653 339619112 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS IN THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X 1 1 X X X X X X 0 1 0 1 0 0 0 1 0 JOHN E SEXTON 1240614 0 0 0 63105 0 102200 0 100765 0 1506684 0 0 0 DAVID W MCLAUGHLIN 598619 0 0 0 0 0 25000 0 12601 0 636220 0 0 0 MICHAEL ALFANO 493537 0 0 0 0 0 36000 0 12229 0 541766 0 0 0 ROBERT BERNE 1255196 0 0 0 0 0 25000 0 12601 0 1292797 0 0 0 BONNIE BRIER 584624 0 105993 0 0 0 25000 0 12601 0 728218 0 0 0 MARTIN DORPH 535996 0 111563 0 20450 0 25000 0 17257 0 710266 0 0 0 THOMAS J CAREW 469656 0 0 0 33283 0 25000 0 12601 0 540540 0 0 0 ANDREW BROTMAN 482126 482126 237500 237500 2505 2505 12500 12500 0 0 734631 734631 0 0 ROBERT GROSSMAN 1071051 1071051 400000 400000 401053 401053 320326 320326 6425 6425 2198855 2198855 238392 238392 ALISON LEARY 353904 0 69700 0 0 0 25000 0 17209 0 465813 0 0 0 STEPHANIE PIANKA 164337 0 0 0 0 0 0 0 3379 0 167716 0 0 0 TINA SURH 474114 0 0 0 1174351 0 25000 0 133 0 1673598 0 0 0 DEBRA LAMORTE 510735 0 92593 0 5360 0 25000 0 8309 0 641997 0 0 0 LINDA MILLS 556319 0 60955 0 2000 0 25000 0 18025 0 662299 0 0 0 MARILYN MCMILLAN 321995 0 26161 0 0 0 25000 0 6757 0 379913 0 0 0 ANTHONY K FREMPONG-BOADU 231663 0 3280328 0 0 0 23792 0 13277 0 3549060 0 0 0 JAMES A GRIFO MD PHD 221441 0 3157258 0 0 0 22849 0 13277 0 3414825 0 0 0 JOHN G GOLFINOS 393472 33751 2232941 191533 0 0 22565 1936 16833 1444 2665811 228664 0 0 FREDERICK L LICCIARDI 217325 0 2113888 0 0 0 22833 0 15777 0 2369823 0 0 0 NICOLE NOYES 218397 0 2071937 0 0 0 22834 0 17588 0 2330756 0 0 0 JESS BENHABIB 419106 0 0 0 17400 0 25000 0 12601 0 474107 0 0 0 PART I, LINE 1A ONE OFFICER RECEIVED REIMBURSEMENT FOR ACCOUNTING, FINANCIAL PLANNING AND LEGAL EXPENSES. ONE OFFICER TRAVELED FIRST CLASS. ONE OFFICER AND KEY EMPLOYEE RECEIVED A TAX GROSS-UP PAYMENT. ONE OFFICER AND ONE KEY EMPLOYEE RECEIVED UNIVERSITY HOUSING WITHOUT CHARGE. IN ONE CASE, THE HOUSING QUALIFIED FOR EXCLUSION FROM TAX UNDER IRC 119. IN THE OTHER, INCOME IN ITS ENTIRETY, WAS IMPUTED. ONE KEY EMPLOYEE HAD A CAR AND DRIVER AVAILABLE FOR USE, AND INCOME WAS IMPUTED ON THE PERSONAL USE OF THE VEHICLE AND DRIVER. PART I, LINE 4B ROBERT GROSSMAN, MD - DEAN OF NYU SCHOOL OF MEDICINE- PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN (SERP) DURING CALENDAR YEAR 2012. THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $615,652 FOR CALENDAR YEAR 2012. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYU HOSPITALS CENTER AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL SERP CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN. PRESIDENT SEXTON IS ENTITLED TO RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15TH, 2015, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, EQUAL TO $77,200 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A FULL-TIME MEMBER OF THE NYU SCHOOL OF LAW (INCLUDING HIS SERVICES AS DEAN OF THE SCHOOL OF LAW AND AS PRESIDENT OF THE UNIVERSITY). THE $77,200 ALLOCABLE TO CALENDAR YEAR 2012 IS INCLUDED IN PART II, ABOVE, IN COLUMN C. IN ADDITION, COMMENCING ON SEPTEMBER 1, 2011, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, PRESIDENT SEXTON WILL BE ENTITLED TO RECEIVE PAYMENTS FOR THE REMAINDER OF HIS LIFE (THE "SERP ANNUAL PAYMENTS") EQUAL TO $800,000 PER YEAR, ADJUSTED BY THE LOCAL CONSUMER PRICE INDEX SINCE SEPTEMBER 1, 2008, REDUCED BY RETIREMENT BENEFITS OTHERWISE PROVIDED BY THE UNIVERSITY. THE OBLIGATION TO MAKE SERP ANNUAL PAYMENTS HAS BEEN PREVIOUSLY DESCRIBED ON THE UNIVERSITY'S FORMS 990. PRESIDENT SEXTON'S SALARY- WHILE PRESIDENT OR IN ANY POST-PRESIDENT EMPLOYMENT WITH NYU- IS REDUCED BY THE SERP ANNUAL PAYMENTS. FOR EXAMPLE, SO LONG AS PRESIDENT SEXTON REMAINS AS PRESIDENT, HE WILL NOT RECEIVE ANY ECONOMIC BENEFIT FROM THE SERP ANNUAL PAYMENTS BECAUSE EVERY DOLLAR FROM THE SERP ANNUAL PAYMENTS WILL REDUCE HIS SALARY AS PRESIDENT. EXECUTIVE VICE PRESIDENT ALFANO IS ENTITLED TO RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15, 2014, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, EQUAL TO $11,000 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A FULL-TIME MEMBER OF THE NYU COLLEGE OF DENTISTRY (INCLUDING HIS SERVICES AS DEAN OF THE NYU COLLEGE OF DENTISTRY, A MEMBER OF THE FACULTY OF THE NYU COLLEGE OF DENTISTRY, AND/OR EVP OF NYU). THE $11,000 ALLOCABLE TO CALENDAR YEAR 2012 IS INCLUDED IN PART II, ABOVE, IN COLUMN C. PART I, LINE 5 ONE HIGHEST COMPENSATED EMPLOYEE RECEIVED COMPENSATION OVER A BASE SALARY BASED ON THE SURPLUS OF REVENUES AFTER EXPENSES FOR THE IVF FACULTY PRACTICE GROUP. PART I, LINE 7 TWO KEY EMPLOYEES RECEIVED COMPENSATION OVER BASE SALARY INCLUDING THE BONUS DETERMINED BY THE ORGANIZATION'S COMPENSATION COMMITTEE, DETERMINED AS REASONABLE. SUPPLEMENTAL INFORMATION PART III FORM 990, SCHEDULE J, PART II, COL. (F): DR. GROSSMAN'S OTHER REPORTABLE COMPENSATION (COL. (B)(III)) INCLUDES A SERP DISTRIBUTION PAYMENT OF $482,272 DURING CALENDER YEAR 2012. THIS AMOUNT INCLUDES THE SERP CONTRIBUTION OF $476,784 THAT WAS REPORTED ON A PRIOR FORM 990 AS DEFERRED COMPENSATION, AND THE EARNINGS THEREON. THESE AMOUNTS ARE REPORTED AS A SHARED COST BETWEEN NYUHC AND NYU SCHOOL OF MEDICINE. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 64983TF24 2004-09-09 154646150 SEE SUPPLEMENTAL INFORMATION 0 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649903QP9 2007-07-12 129995163 SEE SUPPLEMENTAL INFORMATION 0 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649903U66 2008-07-18 616076776 SEE SUPPLEMENTAL INFORMATION 0 0 0 D DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649905VF0 2009-12-10 419957678 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 98525000 172937356 13075261 1126137 1604166 155744844 1386949 2010 0 0 1 1 B 138200204 13768830 1043964 970225 116684628 977182 4755374 2010 0 0 0 1 C 17570000 618722218 28000894 98525000 3966386 484039612 4190326 2009 1 0 1 1 D 420550212 2518568 364668794 3356478 50006372 0 0 0 1 A 0 1 1 1 1 0 0.00010 0.00830 0.00840 0 1 0.00040 0 1 B 0 1 1 1 1 0 0.02860 0.01440 0.04300 0 0 1 C 0 1 1 1 1 0 0.01960 0.00380 0.02340 0 0 1 D 0 1 1 1 1 0 0.00350 0.00000 0.00350 0 0 1 A 0 0 0 1 1 0 0 1 1 B 0 0 0 1 0 0 0 1 1 C 0 0 1 0 0 0 0 0 1 D 0 0 0 1 0 0 0 1 1 A 1 B 1 C 1 D 1 SCHEDULE K PART IV, ARBITRAGE, LINE 2C DATE REBATE COMPUTATION PERFORMED ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DATE THE REBATE COMPUTATION WAS PERFORMED: 09/09/2012 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DATE THE REBATE COMPUTATION WAS PERFORMED: 08/31/2010 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DATE THE REBATE COMPUTATION WAS PERFORMED: 06/30/2011 PART I (F) - DESCRIPTION OF PURPOSE BOND NUMBER 1 (CUSIP # 64983TF24): TO: (I) PAY THE COSTS OF THE 2004 PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY, (II) PAY CAPITALIZED INTEREST AND CAPITALIZED BROKER-DEALER FEES ON THE SERIES 2004 BONDS AND (III) PAY THE COSTS OF ISSUANCE OF THE SERIES 2004 BONDS. BOND NUMBER 2 (CUSIP # 649903QP9): TO: (I) PAY THE COSTS OF THE 2007A PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY, (II) PAY CAPITALIZED INTEREST ON THE SERIES 2007A BONDS, AND (III) PAY THE COSTS OF ISSUANCE OF THE SERIES 2007A BONDS. BOND NUMBER 3 (CUSIP # 649903U66): TO: (I) PAY THE COSTS OF THE 2008 PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY (II) REPAY A LINE OF CREDIT USED TO CURRENT REFUND THE DORMITORY AUTHORITY OF THE STATE OF NEW YORK, NEW YORK UNIVERSITY INSURED REVENUE BONDS, SERIES 2004B1 AND SERIES 2004B2 ISSUED ON 9/9/2004 (III) PAY CAPITALIZED INTEREST ON THE SERIES 2008 BONDS AND (IV) PAY THE COSTS OF ISSUANCE OF THE SERIES 2008 BONDS. BOND NUMBER 4 (CUSIP # 649905VF0): TO (I) PAY THE COSTS OF THE 2009 PROJECT, CONSISTING OF THE FINANCING, REIMBURSEMENT OF THE COSTS OF CONSTRUCTION, ACQUISITION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY AND (II) PAY THE COSTS OF ISSUANCE OF THE SERIES 2009A BONDS. BOND NUMBER 5 (CUSIP # 649905WC6): TO (I) REPAY A LINE OF CREDIT USED TO REPAY TAXABLE INDEBTEDNESS INCURRED IN CONNECTION WITH A FACILITY FOR THE SCHOOL OF MEDICINE, AND (II) PAY THE COST OF ISSUANCE OF THE 2009B BONDS. BOND NUMBER 6 (CUSIP # 649906TN4): TO (I) PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF, COSTS OF THE 2012A PROJECT, (II) REFUND OR REIMBURSE THE UNIVERSITY FOR THE REFUNDING OF ALL OR A PORTION OF THE NEW YORK CITY INDUSTRIAL DEVELOPMENT AGENCY CIVIC FACILITY REVENUE BONDS, SERIES 2001 AND THE AUTHORITY'S NEW YORK UNIVERSITY INSURED REVENUE BONDS, 2001 SERIES 2, (III) REPAY A LINE OF CREDIT THAT WAS USED TO PAY THE AUTHORITY'S NEW YORK UNIVERSITY INSURED REVENUE BONDS, SERIES 2003B, AND (IV) PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2012A BONDS. BOND NUMBER 7 (CUSIP # 649906VS0): TO (I) FINANCE OR REFINANCE THE COST OF THE ACQUISITION, CONSTRUCTION, FURNISHING AND EQUIPPING OF THE SERIES 2012 PROJECT AND (II) TO PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2012 BONDS. PART III - "PRIVATE BUSINESS USE;" BONDS NUMBER 1, 2, 3, 4, 5 & 6; LINE 3C: NEW YORK UNIVERSITY (THE "UNIVERSITY") OBTAINED A PRIVATE LETTER RULING IN 2001 REGARDING RESEARCH AGREEMENTS AND USES THE GUIDANCE IT OBTAINED TO MEASURE THE PERCENTAGE OF FINANCED PROPERTY TREATED AS USED IN A PRIVATE BUSINESS USE. THE UNIVERSITY IS ALLOCATING EQUITY ON A PRO-RATA BASIS FOR PURPOSES OF THIS TAX YEAR'S FORM 990, BUT THIS ALLOCATION DOES NOT PRECLUDE THE UNIVERSITY'S ABILITY TO USE OTHER EQUITY ALLOCATION METHODS IN THE FUTURE. PART IV - "ARBITRAGE;" BONDS NUMBER 1 & 3; LINE 2: THE SERIES 2004 BONDS ISSUED IN VARIABLE RATE FORM WERE REPAID WITH FUNDS DRAWN UNDER A LINE OF CREDIT IN 2008 AND THE LINE OF CREDIT WAS THEN REFINANCED BY THE 2008 SERIES BONDS. THE SERIES 2004 BONDS ISSUED IN FIXED RATE FORM WERE NOT REFINANCED AND ARE CURRENTLY OUTSTANDING. PART III, PRIVATE BUSINESS USE, LINE 8A, LINE 8C BOND NUMBER 1 (CUSIP # 64983TF24): A REQUEST FOR RELIEF WAS FILED WITH THE SERVICE THROUGH THE VOLUNTARY CLOSING AGREEMENT PROGRAM (VCAP) ON JUNE 20, 2014 WITH RESPECT TO THE DISPOSITION OF THE BOND-FINANCED PROPERTY. BOND NUMBER 3 (CUSIP # 649903U66): THE 2008 BONDS WERE ISSUED, IN PART, TO CURRENT REFUND THE 2004 BONDS. A PORTION OF THE 2004 BONDS WAS ALLOCATED TO A PROJECT THAT WAS LATER SOLD. THE PORTION OF THE 2008 BONDS ALLOCABLE TO THE DISPOSED BOND-FINANCED PROPERTY IS 0.00614%. A REQUEST FOR RELIEF WAS FILED WITH THE SERVICE THROUGH THE VOLUNTARY CLOSING AGREEMENT PROGRAM (VCAP) ON JUNE 20, 2014 WITH RESPECT TO THE DISPOSITION OF THE BOND-FINANCED PROPERTY. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649905WC6 2009-12-10 65343341 SEE SUPPLEMENTAL INFORMATION 0 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649906TN4 2012-04-26 232921461 SEE SUPPLEMENTAL INFORMATION 0 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649906VS0 2012-05-17 61224691 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 65339488 64400000 402575 536913 2009 1 0 1 1 B 5585000 232922638 183180000 46144013 1732798 1865827 2012 1 0 0 1 C 61226336 60766248 458747 1340 2012 0 0 0 1 A 0 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 1 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 0 1 0 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 C 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 JOHN E SEXTON OFFICER MORTGAGE X 549020 550194 0 1 1 MARTIN DORPH OFFICER MORTGAGE X 200000 89333 0 1 1 RICHARD REVESZ EMPLOYEE MORTGAGE X 5525670 6494560 0 1 1 ANDREW BROTMAN EMPLOYEE MORTGAGE X 100000 100000 0 1 1 CAROL A MANDEL EMPLOYEE MORTGAGE X 100000 100000 0 1 1 MARY M BRABECK EMPLOYEE MORTGAGE X 500000 500000 0 1 1 PETER HENRY EMPLOYEE MORTGAGE X 150000 116666 0 1 1 JESS BENHABIB EMPLOYEE MORTGAGE X 400000 400000 0 1 1 TREVOR MORRISON EMPLOYEE RCMT X 1000000 1000000 0 1 1 9350753 LAURENCE D FINK TRUSTEE 284783 INV. MGT. 0 JOHN SAUNDERS SON IN LAW TRUSTEE B. BERKLEY 213868 EMPLOYEE 0 WILLIAM RUDIN TRUSTEE 1507195 LEASE SPACE 0 HARVEY DALE SPOUSE KEY EMP. D. LAMORTE 205023 EMPLOYEE 0 R SALK DAUGHTER IN LAW OFFICER R. BERNE 55166 EMPLOYEE 0 CONSTANCE MILSTEIN TRUSTEE 2601952 LEASE SPACE 0 LEONARD WILF TRUSTEE 380000 LEASE SPACE 0 DR MARCI LEVINE SISTER TRUSTEE B. LEVINE 264356 EMPLOYEE 0 X 12 531006 SEE SCHEDULE O X 405084 SEE SCHEDULE O X 504382 SEE SCHEDULE O X 368 22245833 SEE SCHEDULE O X 2 3703770 SEE SCHEDULE O X 3 15102 SEE SCHEDULE O X 23 5934295 SEE SCHEDULE O X CERTIFICATES 14 221101 SEE SCHEDULE O 15 0 1 0 FORM 990, PART VI, SECTION A, LINE 2 1) MICHAEL STEINHARDT (TRUSTEE) AND JUDY STEINHARDT (TRUSTEE) HAD A FAMILY RELATIONSHIP DURING THE YEAR ENDED AUGUST 31, 2013. 2) H. DALE HEMMERDINGER (TRUSTEE) AND SURESH SANI (TRUSTEE) HAD A BUSINESS RELATIONSHIP DURING THE YEAR ENDED AUGUST 31, 2013. 3) JAY FURMAN (TRUSTEE) AND JOHN SEXTON (TRUSTEE) HAD A BUSINESS RELATIONSHIP DURING THE YEAR ENDED AUGUST 31, 2013. FORM 990, PART VI, SECTION A, LINE 6 THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO DECLARE OR APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7A THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO DECLARE OR APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7B THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO DECLARE OR APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION B, LINE 11 THE FOLLOWING STEPS WERE TAKEN TO REVIEW THIS IRS FORM 990: 1. THE FORM 990 WAS REVIEWED AND APPROVED BY THE UNIVERSITY CONTROLLER. 2. THE FORM 990 WAS THEN REVIEWED AND APPROVED BY THE UNIVERSITY'S CHIEF FINANCIAL OFFICER AND NYU OFFICE OF GENERAL COUNSEL. 3. THE FORM 990 WAS THEN PRESENTED TO THE UNIVERSITY'S AUDIT COMMITTEE FOR REVIEW. 4. THE FORM 990 WAS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES FOR REVIEW. 5. THE COMPENSATION COMMITTEE OF BOARD OF TRUSTEES REVIEWED THE COMPENSATION SECTIONS OF THE FORM 990. 6. FOLLOWING THE REVIEW PERIOD, THE FORM 990 WAS ELECTRONICALLY FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C THE OFFICE OF GENERAL COUNSEL ANNUALLY SENDS OUT CONFLICT OF INTEREST QUESTIONNAIRES TO OFFICERS, TRUSTEES AND KEY EMPLOYEES, REVIEWS COMPLETED QUESTIONNAIRES AND CONSULTS WITH THOSE COMPLETING FORMS AS APPROPRIATE. IN ADDITION, QUESTIONS ARISE PERIODICALLY THROUGHOUT THE YEAR AND ARE HANDLED BY THE OFFICE OF GENERAL COUNSEL AS APPROPRIATE. FORM 990, PART VI, SECTION B, LINE 15 THE PROPOSED COMPENSATION OF OFFICERS, TRUSTEES, KEY EMPLOYEES, DISQUALIFIED PERSONS AND CERTAIN OTHERS (EXCEPT THE PRESIDENT) IS REVIEWED ANNUALLY BY AN OUTSIDE CONSULTING FIRM AND THAT FIRM'S ANALYSIS IS PRESENTED TO THE COMPENSATION COMMITTEE OF THE BOARD FOR ITS REVIEW AND APPROVAL. WHEN IT IS PROPOSED TO CHANGE THE COMPENSATION OF THE PRESIDENT, THE BOARD CHAIRMAN ENGAGES A COMPENSATION CONSULTANT TO PREPARE A CUSTOM SURVEY FOR CONSIDERATION BY THE COMPENSATION COMMITTEE OF THE BOARD, WHICH THEN SETS HIS COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE ON NYU'S WEBSITE (WWW.NYU.EDU). FORM 990, PART XI, LINE 2C, THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES HAS RESPONSIBILITY FOR OVERSIGHT OF NYU'S FINANCIAL STATEMENT AUDIT AND SELECTION OF ITS INDEPENDENT AUDITOR. THERE HAS BEEN NO CHANGE IN PROCESS SINCE PRIOR YEAR. FORM 990 PART III, LINE 1 - (CONTINUED FROM PAGE 2) AND IS A MEMBER OF THE DISTINGUISHED ASSOCIATION OF AMERICAN UNIVERSITIES. THE UNIVERSITY'S SCHOOLS AND INSTITUTES, EACH WITH ITS OWN TRADITIONS, PROGRAMS AND FACULTY, ARE IN ORDER OF FOUNDING DATE: COLLEGE OF ARTS AND SCIENCE, SCHOOL OF LAW, SCHOOL OF MEDICINE, COLLEGE OF DENTISTRY, GRADUATE SCHOOL OF ARTS AND SCIENCE, STEINHARDT SCHOOL OF CULTURE EDUCATION AND HUMAN DEVELOPMENT, LEONARD N. STERN SCHOOL OF BUSINESS, COURANT INSTITUTE OF MATHEMATICAL SCIENCES, SCHOOL OF CONTINUING AND PROFESSIONAL STUDIES, INSTITUTE OF FINE ARTS, ROBERT F.WAGNER GRADUATE SCHOOL OF PUBLIC SERVICE, POST-GRADUATE MEDICAL SCHOOL, SILVER SCHOOL OF SOCIAL WORK, TISCH SCHOOL OF THE ARTS, GALLATIN SCHOOL OF INDIVIDUALIZED STUDY, COLLEGE OF NURSING, THE INSTITUTE FOR THE STUDY OF THE ANCIENT WORLD, AND THE NYU POLYTECHNIC SCHOOL OF ENGINEERING. IN ADDITION, NYU OPERATES A DEGREE-GRANTING RESEARCH UNIVERSITY WITH A HIGHLY SELECTIVE UNDERGRADUATE LIBERAL ARTS AND SCIENCES COLLEGE IN ABU DHABI - NYU ABU DHABI, AND ALSO A DEGREE-GRANTING RESEARCH UNIVERSITY IN CHINA - NYU SHANGHAI AS PART OF ITS GLOBAL NETWORK OF ACADEMIC PROGRAM SITES AND RESEARCH PROGRAMS IN OTHER PARTS OF THE U.S. AND ABROAD. METHOD OF DETERMINING REVENUES SCHEDULE M-PART I COLUMN (D) THE VALUATION RECORDED IN THE UNIVERSITY'S FUNDRAISING SYSTEM IS USUALLY BASED UP ON THE PROFESSIONAL APPRAISAL SUBMITTED WITH THE GIFT. IN THE EVENT THERE IS NO APPRAISAL AND VALUATION CANNOT BE DETERMINED, A NOMINAL VALUE OF $1 IS RECORDED. 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