2014-02-13T12:55:54-06:00 2013-06-30 990 2012-07-01 131624158 THE ROCKEFELLER UNIVERSITY ROCK 2123278000 1230 YORK AVENUE NEW YORK NY 100656307 JAMES H LAPPLE 2123278371 2014-02-13 1 2123278704 2012 2015-11-30 17:44:51Z James H Lapple 1230 York Avenue New York NY 10065 685391533 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 Universitys 71 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 41 1766 0 -316154 0 211148284 158956381 29971225 31276609 78501065 99020891 13272710 42627924 332893284 331881805 8473361 8184344 0 0 148774926 155149673 0 0 7594805 164482526 182132825 321730813 345466842 11162471 -13585037 2910477154 3007659283 1013083489 951103817 1897393665 2056555466 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 Universitys 71 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 252333454 8184344 RESEARCH EDUCATION - 87 LABORATORIES (16 OF WHICH ARE EMERITI) INCLUDING 88 FACULTY MEMBERS, 293 POST-DOCTORAL SCHOLARS, 177 GRADUATE STUDENTS AND WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY MEDICAL STUDENTS. 15295731 HOSPITAL-CONSISTS OF 40 BEDS AND SERVES AS A CLINICAL RESEARCH CENTER FOR OUTPATIENTS AND FOR INPATIENTS. 2938693 LIBRARY CONTAINS 62,266 VOLUMES (OF WHICH 17,841 ARE ON-LINE) AND 5,498 ON-LINE SUBSCRIPTIONS AND IS MAINTAINED ON AN OPEN STOCK POLICY. 32086280 10047539 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. 32086280 10047539 302654158 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 509 0 1 1766 1 1 1 1 VI CJ UK 0 0 0 1 1 0 0 0 0 X 44 41 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 Allen R Adler 0.00 X 0 0 0 Holly Andersen 0.00 X 0 0 0 Robert M Bass 0.00 X 0 0 0 Edward J Benz Jr MD 0.00 X 0 0 0 Judith Roth Berkowitz 0.00 X 0 0 0 Debra Black 0.00 X 0 0 0 David Botstein PhD 0.00 X 0 0 0 Russell L Carson 0.00 X 0 0 0 H Rodgin Cohen 0.00 X 0 0 0 Andreas Dracopoulos 0.00 X 0 0 0 Anthony B Evnin PhD 0.00 X 0 0 0 Michael D Fascitelli 0.00 X 0 0 0 Peter A Flaherty 0.00 X 0 0 0 William E Ford 0.00 X 0 0 0 Joseph L Goldstein 0.00 X 0 0 0 Neva R Goodwin 0.00 X 0 0 0 Peter T Grauer 0.00 X 0 0 0 Paul B Guenther 0.00 X 0 0 0 Marlene Hess 0.00 X 0 0 0 David I Hirsch PhD 0.00 X 0 0 0 Sandra J Horbach 0.00 X 0 0 0 William I Huyett Jr 0.00 X 0 0 0 Ajit Jain 0.00 X 0 0 0 David H Koch 0.00 X 0 0 0 Henry R Kravis 0.00 X 0 0 0 Karen M Levy 0.00 X 0 0 0 Evelyn G Lipper MD 0.00 X 0 0 0 Susan Lyne 0.00 X 0 0 0 Thomas Maniatis PhD 0.00 X 0 0 0 Surya Mohapatra 0.00 X 0 0 0 Robin Chemers Neustein 0.00 X 0 0 0 Willard J Overlock Jr 0.00 X 0 0 0 Marnie S Pillsbury 0.00 X 0 0 0 Don Michael Randel until 112012 0.00 X 0 0 0 Patricia Rosenwald 0.00 X 0 0 0 Richard E Salomon 0.00 X 0 0 0 Lewis A Sanders 0.00 X 0 0 0 John M Shapiro 0.00 X 0 0 0 Sydney R Shuman 0.00 X 0 0 0 James H Simons PhD 0.00 X 0 0 0 Dinakar Singh 0.00 X 0 0 0 David Sze 0.00 X 0 0 0 Lulu C Wang 0.00 X 0 0 0 Marc Tessier-Lavigne PhD 35.00 X X 1246444 0 162843 Amy Falls 35.00 X 647466 0 155151 Barry Coller 35.00 X 539420 0 69420 Harriet Rabb 35.00 X 441327 0 69389 Maren Imhoff 35.00 X 490686 0 69405 John Tooze 35.00 X 453353 0 73569 Michael Young 35.00 X 443830 0 75815 James Lapple 35.00 X 403344 0 53575 Sidney Strickland 35.00 X 344685 0 69431 Virginia Huffman 35.00 X 368218 0 75719 Jane Rendall 35.00 X 254254 0 69139 Roberta Maloney 35.00 X 230851 0 70004 Timothy O'Connor as of 62013 35.00 X 0 0 0 Jean-Laurent Casanova 35.00 X 479969 0 70488 Shai Shaham 35.00 X 474025 0 51239 Robert Roeder 35.00 X 459697 0 75781 Thomas Lenehan 35.00 X 495934 0 178424 Paul Greengard 35.00 X 437917 0 69407 Thomas Sakmar 35.00 X 314824 0 75747 8526244 0 1534546 177 1 1 0 TURNER CONSTRUCTION CO 375 HUDSON STREET NEW YORK NY 10014 CONSTRUCTION SERVICES 57240991 NICHOLOSON & GALLOWAY INC 261 GLEN HEAD ROAD GLEN HEAD NY 11545 CONSTRUCTION SERVICES 6738611 RESTAURANT ASSOCIATES CORP 120 WEST 45TH STREET NEW YORK NY 10036 FOOD SERVICES 2114067 RAFAEL VINOLY ARCHITECTS PC 50 VANDAM STREET NEW YORK NY 10013 ARCHITECTURAL SERVICES 1179533 MITCHELL GIRUGOLA ARCHITECTS 170 WEST 97TH STREET NEW YORK NY 10036 ARCHITECTURAL SERVICES 1143225 66 2734025 156222356 47393961 158956381 Housing 532000 18498722 18498722 Press operations 511120 10047539 10047539 Food Service 722210 2730348 2730348 31276609 2907476 2907476 6863 6863 33743387 33743387 7387063 0 7387063 7387063 7387063 449242990 353136438 96106552 96106552 -316154 96422706 123050 2734025 373290 -250240 -250240 Mortgage Interest 900099 285680 285680 Reimbursement of Costs 900099 225030 225030 1237004 1237004 1747714 331881805 10047539 -316154 163194039 X 8184344 8184344 5247100 147933 4634167 465000 39697 39697 102933908 91695405 8311397 2927106 8584052 6858406 1391299 334347 31054843 26184901 3879276 990666 7290073 6321355 756883 211835 299986 299986 434869 60900 373969 1757912 1757912 11710523 10963551 566954 180018 1269231 1054232 111446 103553 51228011 47522747 3543647 161617 2462629 1063006 1138527 261096 20187678 20187678 12343510 10160639 1110916 1071955 933628 860977 41188 31463 1211934 1141231 61782 8921 28865776 26027327 2838449 38942053 35622325 2472500 847228 2584518 656937 1927581 Subcontracts 7900567 7900567 345466842 302654158 35217879 7594805 30350 30350 140445663 133884764 218329411 193952239 9925874 8365883 8784092 12262955 22342079 20296138 763235 730167 2277761 2453112 1173955365 414971840 729261888 758983525 1130089673 1249713545 580935136 595659288 3547088 3826018 63744904 27501299 2910477154 3007659283 44036362 49130485 4348929 5201427 628207668 622841318 336490530 273930587 1013083489 951103817 X 395253067 497904189 1247921071 1302224416 254219527 256426861 1897393665 2056555466 2910477154 3007659283 X -13585037 96770796 75976042 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 770239 X 0 1539214232 5351242 194327582 96400371 1642492685 1620400847 6402176 -6743511 80845280 1539214232 1451345077 5982193 266875779 103802202 1620400847 1428894687 7123572 127372135 112045317 1451345077 1878613121 12472234 -353884925 108305743 1428894687 0.21400 0.14500 0.64100 0 0 17842744 17842744 1080986890 362927359 718059531 424726 411359 13367 73175529 50924194 22251335 1525476 708928 816548 758983525 Alt Inv-Private-Buyout funds 202436557 F Alt Inv-Private-Natural resources/other 67729919 F Alt Inv-Private-Real estate funds 151451692 F Alt Inv-Private-Venture capital funds 130695975 F Cash Equivalents 43345145 F 595659288 Amounts held for others 97265222 Conditional asset retirement obligation 7912805 Obligation under derivative instruments 121271560 Postretirement benefit obligation 47481000 273930587 X 466208494 96770796 58953042 155723838 310484656 1757912 19639237 21397149 331881805 307160477 -16535926 -16535926 323696403 1757912 20012527 21770439 345466842 Part III, Line 4: Works of art are displayed in various locations throughout the campus. Description of Intended Use of Endowment Funds: 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. Description of Uncertain Tax Positions Under FIN 48: 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 Gain on Derivative Instruments - 58,953,042 Part XI, Line 4b - Other Adjustments: Fundraising expenses - (373,290) Royalty payments - 20,012,527 Part XII, Line 2d - Other Adjustments: RU Faculty & Students Club, Inc. - NET LOSS - 113,784 Postretirement related changes - (17,023,000) Fundraising expenses - 373,290 Part XII, Line 4b - Other Adjustments: Royalty payments - 20,012,527 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 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. Explanation of Government Financial Assistance 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) - 0 0 Investments 30931296 Central America & Caribbean 0 0 Investments 571036866 North America 0 0 Investments 187223 0 0 0 0 0 0 602155385 0 602155385 1 0 1 1 1 0 Women & Science Luncheon 1682785 1638035 44750 64120 57332 8570 Parents & Science Luncheon 1174290 1095990 78300 50899 131176 5793 55400 2857075 2734025 123050 115019 188508 5793 63970 373290 -250240 Women & Science Luncheon 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. Parents & Science Luncheon Form 990, Schedule G, Part II, Fundraising Events The Parents & Science program in 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. One component of this initiative is the annual Celebrating Science Benefit. 0 1 1 15295730 7593875 7701855 0.02230 15295730 7593875 7701855 0.02230 15295730 7593875 7701855 0.02230 0 0 0 1 1 The Rockefeller University Hospital

1230 York Avenue New York NY 10065

X X The Rockefeller University Hospital 1 1 X X X X X X X X X 12 1 0 1 X X X X X X X 1 0 0 0 0 0 0 0 0 0 0 0 0 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 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 40 bed inpatient unit 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 an Art & Recreation Department, which offers participants pleasant and rewarding craft, 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 on Accreditation of Healthcare Organizations (JCAHO) and licensed by the State of New York. 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: patients are chosen by Hospital physicians solely because they have an 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 5: The Rockefeller University Hospital exists solely to conduct clinical research, at no charge to the research participants. LIST OF STATES RECEIVING COMMUNITY BENEFIT REPORT PART VI, LINE 7 NEW YORK 1 FELLOWSHIPS 124 3752758 RESEARCH STIPENDS 141 4431586 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, 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 X X 1 1 X X X X X 0 1 0 1 0 0 0 1 0 Marc Tessier-Lavigne PhD 1015000 0 0 0 231444 0 27946 0 134897 0 1409287 0 0 0 Amy Falls 457500 0 100000 0 89966 0 122896 0 32255 0 802617 0 0 0 Barry Coller 493200 0 0 0 46220 0 43636 0 25784 0 608840 0 0 0 Harriet Rabb 408900 0 0 0 32427 0 43605 0 25784 0 510716 0 0 0 Maren Imhoff 442500 0 0 0 48186 0 43621 0 25784 0 560091 0 0 0 John Tooze 399750 0 0 0 53603 0 43593 0 29976 0 526922 0 0 0 Michael Young 412800 0 0 0 31030 0 43560 0 32255 0 519645 0 0 0 James Lapple 365700 0 0 0 37644 0 43708 0 9867 0 456919 0 0 0 Sidney Strickland 325200 0 0 0 19485 0 43647 0 25784 0 414116 0 0 0 Virginia Huffman 326400 0 0 0 41818 0 43464 0 32255 0 443937 0 0 0 Jane Rendall 248200 0 0 0 6054 0 43143 0 25996 0 323393 0 0 0 Roberta Maloney 222500 0 0 0 8351 0 37927 0 32077 0 300855 0 0 0 Jean-Laurent Casanova 332600 0 0 0 147369 0 43626 0 26862 0 550457 0 0 0 Shai Shaham 190450 0 195730 0 87845 0 19484 0 31755 0 525264 0 0 0 Robert Roeder 398000 0 0 0 61697 0 43526 0 32255 0 535478 0 0 0 Thomas Lenehan 304500 0 125000 0 66434 0 147686 0 30738 0 674358 0 0 0 Paul Greengard 412500 0 0 0 25417 0 43623 0 25784 0 507324 0 0 0 Thomas Sakmar 307900 0 0 0 6924 0 43492 0 32255 0 390571 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). 2012 employee contributions (not included in column B): Harriet Rabb $17,000 James Lapple $17,000 Sidney Strickland $17,000 Maren Imhoff $17,000 Michael Young $17,000 Robert Roeder $17,000 Paul Greengard $17,000 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. 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. A Dormitory Authority of the State of New York 146000293 64983QEPO 2005-06-02 65000000 Const. & renov. of campus 0 0 0 B Dormitory Authority of the State of New York 146000293 649903YA3 2008-01-31 103215000 Const. & renov. of campus 0 0 0 C Dormitory Authority of the State of New York 146000293 649905BE5 2009-04-08 62119152 Current Refunding 0 0 0 D Dormitory Authority of the State of New York 146000293 649905BF2 2009-04-08 100000000 Const. & renov. of campus 0 0 0 A 68164712 494117 67897288 2008 0 0 1 1 B 104734474 641319 104093155 2012 0 0 1 1 C 62119152 528854 440097 1998 1 0 1 1 D 100578341 527175 35000 100016166 2012 0 0 1 1 A 0 0 0 1 1 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 1 1 0 0 1 1 B 0 0 1 0 1 0 0 0 1 C 0 0 1 0 0 0 0 0 1 D 0 0 1 0 1 0 0 0 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: 11/15/2013 Issuer Name: Dormitory Authority of the State of New York Date the Rebate Computation was Performed: 11/15/2013 Part II - line 3 - Total Proceeds Date issued 6/2/05 Total Proceeds include issue price ($65,000,000) + investment income ($3,391,405)- Rebate ($226,692.21). Part I, lineA. Pursuant to Treasury Reg. sections 1.145-2(a) and 1.141-12(e)(2), the bonds originally issued on 6/2/05 are treated as reissued under certain sections of the Internal Revenue Code, but not as a reissuance under other sections of the Code, in the amount of $13,743,577. Such amount, together with other amounts treated as disposition proceeds in the aggregate amount of $24,000,000, plus investment earnings thereon, have been applied to pay the cost of certain construction and renovation projects in accordance with Treas. Reg. section 1.141-12(e)(1). Part II - line 3 - Total Proceeds Date issued 1/31/08 Total Proceeds includes issue price ($103,215,000) + investment income ($1,519,474) Part II - line 3 - Total Proceeds Date issued 4/8/09 Total proceeds include issue price ($100,000,000) + investment income ($578,341). Part II - line 3 - Total Proceeds Date issued 8/12/09 Total proceeds include issue price ($101,554,000)+ investment income ($400,676) Part II - line 3 - Total Proceeds Date issued 9/1/10 Total proceeds consists of issue price ($53,818,500) + investment income ($121,743). A Dormitory Authority of the State of New York 146000293 649905PN0 2009-08-12 101554000 Const. & renov. of campus 0 0 0 B Dormitory Authority of the State of New York 146000293 6499053H7 2010-09-01 53818500 Const. & renov. of campus 0 0 0 C Dormitory Authority of the State of New York 146000293 649906RZ9 2012-03-08 30018979 Current Refunding 0 0 0 D Dormitory Authority of the State of New York 146000293 649906SB1 2012-04-04 56441595 Current Refunding 0 0 0 A 101954676 836150 101118526 2012 0 0 1 1 B 53949081 553621 53395460 2012 0 0 1 1 C 30018979 390846 257954 1998 1 0 1 1 D 56441595 321511 465580 2002 1 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 0 1 0 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 1 0 0 0 0 0 1 Jean-Laurent Casanova Mortgage Loan X 2540000 2447060 0 1 1 Virginia Huffman Mortgage Loan X 180000 156452 0 1 1 Maren I Imhoff Mortgage Loan X 300000 205027 0 1 1 James Lapple Mortgage Loan X 1579378 1471759 0 1 1 Thomas Lenehan Mortgage Loan X 1000000 989308 0 1 1 Roberta Maloney Mortgage Loan X 502932 342591 0 1 1 Harriet Rabb Mortgage Loan X 300000 213566 0 1 1 Jane Rendall Mortgage Loan X 1353315 1247916 0 1 1 Thomas Sakmar Mortgage Loan X 599000 546851 0 1 1 Shai Shaham Mortgage Loan X 1000000 896514 0 1 1 Ralph Steinman Mortgage Loan X 996880 0 0 1 1 Sidney Strickland Mortgage Loan X 197528 170032 0 1 1 Marc Tessier-Lavigne Mortgage Loan X 2500000 2433045 0 1 1 John Tooze Mortgage Loan X 787500 0 0 1 1 Michael Young Mortgage Loan X 1238068 1142834 0 1 1 12262955 Anthony Evnin RU Trustee 558533 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. 0 Howard Berkowitz Spouse of Judith Berkowitz (RU Trustee 0 The Rockefeller University's endowment is an investor in a partnership where the general partner is Howard Berkowitz (spouse of Judith Berkowitz, an RU Trustee). Judith Berkowitz is not and has never been a member of the Rockefeller University Investment Committee, which means that she does not participate in the University's investment decisions. 0 William J Overlock Jr RU Trustee 39697 The son-in-law of Willard J. Overlock, Jr. (RU Trustee) is employed by The Rockefeller University. 0 Marc Tessier-Lavigne RU Trustee and President 207550 Marc Tessier-Lavigne (RU Trustee and President) serves on a pharmaceutical company Board with another RU Trustee (Joeseph Goldstein). There is a management plan so that both Marc Tessier-Lavigne and Joeseph Goldstein recuse themselves from participating in any discussion/decision by the pharmaceutical company relating to The Rockefeller University. The reference pharmaceutical company recently concluded an agreement to fund in the amount of $207,550 research being done in a laboratory of an investigator at The Rockefeller University. 0 X 20 19530658 Fair Market Value X Contributions Receivable 36 21905257 Net Present Value X Government Grants Receivable 2 3404700 Fair Market Value X Private Gifts and Grants Receivable 105 2553346 Fair Market Value 0 1 1 Third Party Use: Part I, Line 32b: The University utilizes a thrid party to sell gifts of stock that it receives during the fiscal year. Form 990, Part VI, Section A, line 2 Michael Fascitelli (RU Trustee) has a business relationship in the ordinary course of business with another Rockefeller Trustee (Henry Kravis). William E. Ford (RU Trustee)has a business relationship in the ordinary course of business with Henry Kravis (RU Trustee). William E. Ford (RU Trustee)has a business relationship with Andreas C. Dracopoulos (RU Trustee). Andreas C. Dracopoulos (RU Trustee)has a business relationship with William E. Ford(RU Trusee). Henry Kravis (RU Trustee) has a business relationship in the ordinary course of business with other RU Trustees (Michael D. Fascitelli and William E. Ford). Thomas Maniatis (RU Trustee) has a business relationship in the ordinary course of business with another Rockefeller Trustee (Anthony Evnin). Anthony Evnin(RU Trustee) has a business relationship in the ordinary course of business with another Rockefeller Trustee (Thomas Maniatis). 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 substantiation 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. Other Fees Form 990, Part IX, line 11g Consultants/Temp Help: Program service expenses 10,963,551. Management and general expenses 566,954. Fundraising expenses 180,018. Total expenses 11,710,523. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 9: Unrealized Gain on Derivatives - 58,953,042 58,953,042. Postretirement related changes - 17,023,000 17,023,000. 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 197026 Actual THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC N 95782 Actual tHE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC R -179024 Actual The Rockefeller University Faculty and Students Club, Inc. 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 $1,816,525 as of June 30, 2013.