2014-05-14T16:15:48-05:00 2013-06-30 PricewaterhouseCoopers LLP 125 High Street Boston MA 02110 990 2012-07-01 041679980 NORTHEASTERN UNIVERSITY % THOMAS NEDELL NORT 6173735947 360 HUNTINGTON AVENUE Suite BOSTON MA 02115 THOMAS NEDELL 6173735947 2014-05-13 true 6175305000 2012 2015-11-30 17:44:51Z Joseph E Aoun 360 Huntington Ave Boston MA 02115 1346492553 false X www.neu.edu X 1898 MA SEE SCHEDULE O. 28 22 14943 986 8662312 -3190585 165358991 136157007 958218544 1016136628 27298808 46181491 13201710 13104145 1164078053 1211579271 230900624 244795654 0 0 448490035 482964534 464252 472919 19130453 356729385 376280815 1036584296 1104513922 127493757 107065349 2101287079 2226464071 1063558111 1031390832 1037728968 1195073239 X SEE SCHEDULE O. false false 344357000 0 895287628 Instruction NORTHEASTERN ENABLES 31,891 STUDENTS TO FULFILL THEIR EDUCATIONAL GOALS BY PROVIDING TEACHING AND ADVISING THAT RESULT IN THE GRANTING OF ASSOCIATE, BACHELOR, MASTER AND DOCTORAL DEGREES IN A VARIETY OF ACADEMIC DISCIPLINES. THE UNIVERSITYS ACADEMIC AREA CONSISTS OF THE BOUVE COLLEGE OF HEALTH SCIENCE, COLLEGE OF ARTS, MEDIA AND DESIGN, D'AMORE-MCKIM SCHOOL OF BUSINESS, COLLEGE OF COMPUTER AND INFORMATION SCIENCE, COLLEGE OF ENGINEERING, COLLEGE OF PROFESSIONAL STUDIES, COLLEGE OF SCIENCE, COLLEGE OF SOCIAL SCIENCES AND HUMANITIES, AND SCHOOL OF LAW. 229079707 229079707 0 Student financial aid Northeastern awards grants and scholarships to students from several sources: federal and state governments, institutionally-funded and endowment/donor funded. The Office of Student Financial Services administers financial aid and is committed to working with students to identify financial aid options that can help make a Northeastern education affordable. 104139000 0 120849000 Auxiliary enterprises Northeastern provides student housing in 30 residential buildings and operates conference centers mainly use for University events. 333474468 15715947 0 1011050175 true true false true false false false false false true true true false false true false false true true false true true false true true false false true true true true false false false false false true true false true true true true false false true true true true false false true 47616 0 true 14943 true true true false false false false true true false false false false X 28 22 true false false false false true true true true false false true true true true true true true true false MA X THOMAS NEDELL 6173735374 360 HUNTINGTON AVE BOSTON MA 02115 X JOSEPH E AOUN 40.0 X X 1045906 0 185390 PETER B CAMERON 1.0 X CHAD GIFFORD 1.0 X WILLIAM J COTTER 1.0 X EDMOND J ENGLISH 2.0 X WILLIAM S HOWARD 2.0 X KATHERINE S MCHUGH 2.0 X HENRY J NASELLA 5.0 X KATHRYN M NICHOLSON 1.0 X RONALD L ROSSETTI 1.0 X CAROLE J SHAPAZIAN 2.0 X ROBERT J SHILLMAN 1.0 X SEYMOUR STERNBERG 1.0 X MICHAEL J ZAMKOW 2.0 X MARGOT BOTSFORD 1.0 X NONNIE S BURNES 1.0 X VENETIA G KONTOGOURIS 1.0 X BARBARA C ALLEYNE 1.0 X Richard A D'Amore 2.0 X Edward G Galante 2.0 X ANTHONY R MANGANARO 1.0 X ALAN S MCKIM 1.0 X RONALD L SARGENT 1.0 X Joseph M Tucci 1.0 X WILLIAM J CONLEY 1.0 X DAVID HOUSE 1.0 X JOHN PULICHINO 1.0 X ARTHUR ZAFIROPOULO 1.0 X PHILOMENA V MANTELLA 40.0 X 437929 0 59293 SAMUEL B SOLOMON 40.0 X 185118 0 45994 DIANE N MACGILLIVRAY 40.0 X 420517 0 93056 MICHAEL A ARMINI 40.0 X 310849 0 51141 STEPHEN W DIRECTOR 40.0 X 613469 0 61560 RALPH C MARTIN II 40.0 X 560021 0 10735 THOMAS NEDELL 40.0 X 402148 0 53832 STEVE KADISH 40.0 X 108271 0 3822 NANCY MAY 40.0 X 202232 0 33225 ALLEN SOYSTER 40.0 X 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The University also pays membership dues to membership organizations which may engage in lobbying activities. Lobbying activities are focused on the interests of Northeastern University (including scientific research & student aid), its students and the higher education industry. During Fiscal Year 2013, payments for these services totaled $507,304. 618924000 13438000 66081290 21862000 3426000 1445290 671710000 611478000 34072000 -280000 22502000 2353000 1491000 618924000 532487000 11705000 93060000 23780000 601000 1393000 611478000 507346000 5376000 30370000 7808000 1767000 1030000 532487000 676987000 5271000 -156021000 17982000 909000 507346000 0.61980 0.35860 0.02160 true false 0 26206000 26206000 0 1286869000 365835000 921034000 338195000 226184000 112011000 1059251000 CASH AND CASH EQUIVALENTS 20598000 F PRIVATE EQUITY 125763000 F HEDGE FUNDS 165031000 F OTHER ALTERNATIVE INVESTMENTS 28925000 F OTHER INVESTMENTS 29784000 F 370101000 0 CAPITAL LEASE 30125000 INTEREST RATE SWAP AGREEMENTS 44920000 FEDERALLY FUNDED LOANS 28926000 103971000 SCHEDULE D, PART V, LINE 4 SPENDING POLICY INCOME FROM QUASI ENDOWMENT FUNDS ARE TO BE USED AS DESIGNATED BY THE BOARD OF TRUSTEES FOR OPERATIONS. TERM ENDOWMENTS ARE TO BE USED AS PER THE DONOR WISHES UPON TERMINATION OF THE CONTRACT. SPENDING POLICY INCOME FROM TRUE ENDOWMENT FUNDS ARE TO BE USED AS SET FORTH BY THE DONOR. CURRENTLY THESE FUNDS PRIMARILY SUPPORT SCHOLARSHIPS AND PROFESSORSHIPS. true true true true true true true false false false false false false false false true false true RACIALLY NONDISCRIMINATORY POLICY SCHEDULE E, LINE 3 THE UNIVERSITY PUBLISHES ITS RACIALLY NONDISCRIMINATORY POLICY IN THE LEGAL NOTICE SECTION OF LOCAL NEWSPAPERS AND IN ALL UNIVERSITY PUBLICATIONS AND ADVERTISEMENTS. GOVERNMENTAL AID OR ASSISTANCE SCHEDULE E, LINE 6A THE UNIVERSITY RECEIVES FINANCIAL ASSISTANCE FOR ITS FINANCIAL AID PROGRAMS FROM VARIOUS PROGRAMS OF THE DEPARTMENT OF EDUCATION AND THE DEPARTMENT OF HEALTH AND HUMAN SERVICES. true Central America and the Caribbean Program Services CONFERENCE 2968 Central America and the Caribbean Program Services Research 3312 Central America and the Caribbean Program Services STUDY ABROAD 504953 East Asia and the Pacific Program Services Advancement 3356 East Asia and the Pacific Program Services Alumni Relations 4366 East Asia and the Pacific Program Services Conference 141344 East Asia and the Pacific Program Services Research 22233 East Asia and the Pacific Program Services RECRUITING 138245 East Asia and the Pacific Program Services Study Abroad 4150615 Europe (Including Iceland and Greenland) Program Services Advancement 51097 Europe (Including Iceland and Greenland) Program Services Alumni Relations 45113 Europe (Including Iceland and Greenland) Program Services Conference 272533 Europe (Including Iceland and Greenland) Program Services Program Development 9958 Europe (Including Iceland and Greenland) Program Services Recruiting 92163 Europe (Including Iceland and Greenland) Program Services Research 107168 Europe (Including Iceland and Greenland) Program Services Study Abroad 7669755 Middle East and North Africa Program Services Alumni Relations 15516 Middle East and North Africa Program Services Conference 27702 Middle East and North Africa Program Services Recruiting 35454 Middle East and North Africa Program Services Research 26827 Middle East and North Africa Program Services STUDY ABROAD 172064 North America Program Services Alumni Relations 223 North America Program Services Conference 20263 North America Program Services Research 10981 North America Program Services Recruiting 11543 North America Program Services Study Abroad 226126 North America Program Services Team Travel 37592 Russia and the Newly Independent States Program Services Conference 9838 South America Program Services Conference 20973 South America Program Services Recruiting 35355 South America Program Services Study Abroad 221552 South Asia Program Services Alumni Relations 287 South Asia Program Services Conference 24484 South Asia Program Services Co-op Job Development 190 South Asia Program Services RESEARCH 2864 South Asia Program Services Recruiting 54765 South Asia Program Services Study Abroad 54494 Sub-Saharan Africa Program Services Conference 8808 Sub-Saharan Africa Program Services Study Abroad 673320 Sub-Saharan Africa Program Services Recruiting 1183 Europe (Including Iceland and Greenland) Investments 78492536 East Asia and the Pacific Investments 766317 Central America and the Caribbean Investments 45975659 13234695 126911400 140146095 North America SUB-AWARD 9424 Check Europe (Including Iceland and Greenland) SUB-AWARD 32400 CHECK Europe (Including Iceland and Greenland) Sub-Award 16919 Check 1 2 true false true true true false SCHEDULE F, PART I, LINE 2 NORTHEASTERN UNIVERSITY (NU) HAS A FULL TIME EMPLOYEE TO MONITOR SUBAWARDS AND NU FOLLOWS FEDERAL REGULATIONS AS PART OF THE SUBRECIPIENT MONITORING UNDER A-133. NU REVIEWS THE FEDERAL AUDIT CLEARINGHOUSE AND INSTITUTION'S A-133 REPORTS. DESK REVIEWS ARE PERFORMED AND PRINCIPAL INVESTIGATORS APPROVE ALL INVOICES. 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542071158 181310 Sub-Award 91 23 STUDENT FINANCIAL AID 15812 229079707 COST TUITION OFFSET SCHEDULE I, PART I, LINE 2 GRANT FUNDING IS AWARDED TO STUDENTS BY STUDENT FINANCIAL SERVICES WITHIN ESTABLISHED BUDGET LEVELS BASED ON UNIVERSITY POLICIES. GRANT FUNDS ARE CREDITED TO INDIVIDUAL STUDENT ACCOUNTS ELECTRONICALLY. STUDENT FINANCIAL SERVICES WORKS WITH ADVANCEMENT STAFF TO ENSURE THAT RESTRICTED FUNDS ARE AWARDED WITHIN ESTABLISHED CRITERIA, AND WITH FINANCE STAFF TO DETERMINE AVAILABILITY OF FUNDS. STUDENT FINANCIAL SERVICES MAINTAINS INTERNAL POLICIES AND PROCEDURES FOR THE CORRECT AWARDING AND ADJUSTING OF INSTITUTIONAL FUNDS. ANNUAL AUDITS ARE CONDUCTED TO ASSURE COMPLIANCE WITH ALL POLICIES AND PROCEDURES. NORTHEASTERN UNIVERSITY (NU) HAS A FULL TIME EMPLOYEE TO MONITOR SUBAWARDS. - NU FOLLOWS FEDERAL REGULATIONS AS PART OF THE SUBRECIPIENT MONITORING UNDER A-133. - NU REVIEWS THE FEDERAL AUDIT CLEARINGHOUSE AND INSTITUTION'S A-133 REPORTS. - DESK REVIEWS ARE PERFORMED, AND PRINCIPAL INVESTIGATOR'S APPROVE ALL INVOICES. X X X X true true X X X X X false true false false false false false true true true JOSEPH E AOUN 700364 0 85000 260542 60445 0 124945 0 1231296 0 -168930 0 JOHN H MCCARTHY 364725 0 55000 21323 25000 0 8680 0 474728 0 0 0 PHILOMENA V MANTELLA 370457 0 36400 31072 56250 0 3043 0 497222 0 0 0 SAMUEL B SOLOMON 176701 0 7500 917 19400 0 26594 0 231112 0 0 0 DIANE N MACGILLIVRAY 366743 0 36774 17000 66667 0 26389 0 513573 0 0 0 MICHAEL A ARMINI 275877 0 27851 7121 25000 0 26141 0 361990 0 0 0 STEPHEN W DIRECTOR 475982 0 57000 80487 25000 0 36560 0 675029 0 0 0 RALPH C MARTIN II 457457 0 45000 57564 0 0 10735 0 570756 0 0 0 THOMAS NEDELL 364525 0 21912 15711 25000 0 28832 0 455980 0 0 0 NANCY MAY 189429 0 11000 1803 20600 0 12625 0 235457 0 0 0 DAVID LUZZI 312199 0 8800 25000 0 30980 0 376979 0 0 0 MARC H MEYER 245623 0 344570 25000 0 23291 0 638484 0 0 0 ALEXANDROS MAKRIYANNIS 335362 0 163683 25000 0 1727 0 525772 0 0 0 Albert-Laszlo Barabasi 295649 0 189837 25000 0 25923 0 536409 0 0 0 HARRY LANE 240117 0 35914 25000 0 27498 0 328529 0 0 0 ALLEN SOYSTER 254538 0 5088 25000 0 27892 0 312518 0 0 0 GEORGES VAN DEN ABEELE 262545 0 3817 25000 0 9394 0 300756 0 0 0 JANE BROWN 267002 0 5000 6734 25000 0 23419 0 327155 0 0 0 WILLIAM COEN 408834 0 17470 25000 0 9728 0 461032 0 0 0 STEPHEN ZOLOTH 294821 0 9761 25000 0 28238 0 357820 0 0 0 NADINE AUBRY 122435 0 100311 10938 0 8684 0 242368 0 0 0 HUGH COURTNEY 164304 0 15338 12750 0 13951 0 206343 0 0 0 TERRY FULMER 332088 0 33072 25000 0 2906 0 393066 0 0 0 ROBERT P GITTENS 203293 0 2907 21077 0 22576 0 249853 0 0 0 VINCENT J LEMBO 248700 0 4272 25000 0 27498 0 305470 0 0 0 JACK MOYNIHAN 225900 0 4000 734 23738 0 22688 0 277060 0 0 KATHERINE N PENDERGAST 213574 0 11000 3499 22625 0 1925 0 252623 0 0 0 SCHEDULE J, PART I, LINE 1 THE UNIVERSITY WILL APPROVE BUSINESS CLASS AIR TRAVEL (OR FIRST CLASS IF BUSINESS CLASS IS NOT AVAILABLE) FOR THE PRESIDENT AS APPROPRIATE. TRAVEL FOR BUSINESS PURPOSES IS NOT INCLUDED IN TAXABLE WAGES. THE PRESIDENT HAS AUTHORITY TO APPROVE BUSINESS OR FIRST CLASS TRAVEL IF NECESSARY IN CERTAIN CIRCUMSTANCES FOR INDIVIDUALS LISTED IN SCHEDULE J, PART II. THE PRESIDENT'S SPOUSE TRAVELS ON OCCASION WITH THE PRESIDENT WHEN NECESSARY FOR BUSINESS PURPOSES AND UPON APPROVAL OF THE CHAIRMAN OF THE BOARD. TRAVEL FOR BUSINESS PURPOSES IS NOT INCLUDED IN TAXABLE WAGES. HOUSING IS PROVIDED FOR THE PRESIDENT AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE EMPLOYER AND IS NOT INCLUDED IN TAXABLE WAGES. A HOUSING ALLOWANCE IS PROVIDED TO THE PROVOST AND IS INCLUDED IN TAXABLE WAGES. HOUSING ALLOWANCES ARE PROVIDED TO DEAN COURTNEY AND DEAN FULMER AND ARE INCLUDED IN TAXABLE WAGES. SOCIAL CLUB DUES ARE PROVIDED FOR THE PRESIDENT UPON APPROVAL OF THE COMPENSATION COMMITTEE OF THE BOARD. USE OF THE SOCIAL CLUB IS FOR BUSINESS PURPOSES ONLY AND DUES ARE NOT INCLUDED IN TAXABLE WAGES. SCHEDULE J, PART I, LINE 4B CERTAIN INDIVIDUALS PARTICIPATED IN LONG TERM INCENTIVE PLANS UNDER WHICH A DEFERRED PAYMENT IS AWARDED CONTINGENT ON CONTINUED EMPLOYMENT FOR THREE YEARS AND/OR ACHIEVEMENT OF CERTAIN CRITICAL UNIVERSITY GOALS. INDIVIDUALS WHO RECEIVED PAYMENTS UNDER LONG TERM INCENTIVE PLANS ARE LISTED BELOW. A PORTION OF EACH PAYMENT REFLECTED BELOW WAS REPORTED ON PRIOR YEARS' FORMS 990, SCHEDULE J, PART II COLUMN C AS DEFERRED COMPENSATION. JOSEPH E AOUN $201,180 Schedule J, Part I, Line 7 Payments which are part of a Variable pay plan are included in the SECTION ON BONUS AND INCENTIVE COMPENSATION. THIS PLAN IS BASED ON ACHIEVEMENT OF PRE-ESTABLISHED GOALS. IT IS APPROVED BY THE BOARD OF TRUSTEES FOR THE PRESIDENT AND OTHER OFFICERS. OTHER EMPLOYEES HAVE RECEIVED BONUSES WHICH ARE AWARDED TO A LIMITED NUMBER OF EMPLOYEES FOR EXCEPTIONAL CONTRIBUTIONS. Schedule J, Part I, Line 8 THE PROVOST HAS A LONG TERM CONTRACT. Schedule J, Part II STEVEN ZOLOTH, FORMER DEAN - BOUVE' COLLEGE, IS CURRENTLY SERVING AS DEAN OF ACADEMIC AFFAIRS FOR EXTERNAL PROGRAMS AND VICE PROVOST FOR HEALTH RESEARCH. DAVID LUZZI, FORMER DEAN - ENGINEERING, IS CURRENTLY SERVING AS PROFESSOR AND EXECUTIVE DIRECTOR, STRATEGIC SECURITY INITIATIVE MECHANICAL AND INDUSTRIAL ENGINEERING. AS OF 7/1/2009, THE BY-LAWS OF NORTHEASTERN UNIVERSITY WERE AMENDED SUCH THAT THE VICE PRESIDENTS ARE NO LONGER CONSIDERED OFFICERS OF THE UNIVERSITY. THEREFORE, THEY ARE DISCLOSED, AS APPLICABLE, AS FORMER OFFICERS. A MHEFA SERIES R 042456011 57586C2Z7 2008-05-22 92267988 REFUND SERIES N BONDS false false false B MHEFA SERIES T 042456011 57586CZ57 2008-05-22 210795125 REFUND SERIES P BONDS false false false C MHEFA SERIES Y 042456011 57586EFE6 2009-02-05 64431595 NEW PROJECT/REFUND SERIES F,H,K, false false false D MHEFA SERIES 2010A 042456011 57584ETH4 2010-03-18 266921019 REFUND SERIES I,Q,U,W false false false A 9320256 0 92267998 0 0 0 396997 0 3771000 0 88110000 0 true false true true B 742335 0 225893991 0 8470410 0 1078308 0 0 0 209716817 0 true false true true C 14965827 0 66093741 0 1517334 0 536194 0 0 38000000 25895401 0 2010 true false true true D 26284136 0 266921019 0 0 0 1281074 0 34652829 0 230987116 0 true false true true A 0 B false true true true false 0.04210 0.04210 false false false true C false true true true false 0.02860 0.00170 0.03030 false false false true D 0 A false false true true false false 0 false false false 0 false true B false false true true true false 0 false false false 0 false true C false true true true false false 0 false false false 0 false true D false true true true false false 0 false false false 0 false true A true B true C true D true A MDFA SERIES 2012 012456011 57583USRO 2012-09-13 58405024 REFUND SERIES S false false false A 144053 0 58405024 0 0 0 430024 0 0 0 57975000 0 true false true true A false false false false 0 false false false true A false true true true false 0 false false false 0 false true A true SCHEDULE K, PART VI 0 PART I, LINE C, COLUMN (E) IN APRIL 2012, SERIES T-2 BONDS FOR $70,000,000 WERE CONVERTED TO FULLY REGISTERED FIXED RATE BONDS IN THE AGGREGATE PRINCIPAL AMOUNT OF $66,315,000 WITH A FINAL MATURITY DATE IN OCTOBER 2037. THE BALANCE OF THE INITIAL AGGREGATE PRINCIPAL AMOUNT OF THE SERIES T-2 BONDS IN THE AMOUNT OF $3,685,000 WAS CANCELLED IN APRIL 2012. BOND ISSUANCE COSTS OF $395,335 ARE RECORDED IN PREPAID EXPENSES AND OTHER ASSETS AND WILL BE AMORTIZED OVER THE LIFE OF THE RESPECTIVE BONDS. THE SERIES T-2 BONDS WERE REMARKETED WITH A PREMIUM TOTALING $4,080,335 WHICH IS RECORDED IN LONG-TERM DEBT. THE PREMIUM WILL BE AMORTIZED USING THE EFFECTIVE INTEREST METHOD OVER THE LIFE OF THE RESPECTIVE BONDS. IN FEBRUARY 2012, SERIES T-1 BONDS FOR $70,000,000 WERE CONVERTED TO FULLY REGISTERED FIXED RATE BONDS IN THE AGGREGATE PRINCIPAL AMOUNT OF $63,260,000 WITH A FINAL MATURITY DATE IN OCTOBER 2037. THE BALANCE OF THE INITIAL AGGREGATE PRINCIPAL AMOUNT OF THE SERIES T-1 BONDS IN THE AMOUNT OF $6,740,000 WAS CANCELLED IN FEBRUARY 2012. BOND ISSUANCE COSTS OF $399,790 ARE RECORDED IN PREPAID EXPENSES AND OTHER ASSETS AND WILL BE AMORTIZED OVER THE LIFE OF THE RESPECTIVE BONDS. THE SERIES T-1 BONDS WERE REMARKETED WITH A PREMIUM TOTALING $7,139,790 WHICH IS RECORDED IN LONG-TERM DEBT. THE PREMIUM WILL BE AMORTIZED USING THE EFFECTIVE INTEREST METHOD OVER THE LIFE OF THE RESPECTIVE BONDS. PART I, LINE A, COLUMN (F) MHEFA SERIES R REFUNDED SERIES N BONDS WHICH WERE ISSUED JANUARY 23, 2003. PART I, LINE B, COLUMN (F) MHEFA SERIES T REFUNDED SERIES P BONDS WHICH WERE ISSUED JULY 18, 2007. PART I, LINE C, COLUMN (F) MHEFA SERIES Y (I) FINANCED THE CONSTRUCTION OF A DORMITORY, RENOVATIONS TO VARIOUS ACADEMIC AND ATHLETIC FACILITIES, AND MISCELLANEOUS FURNITURE AND EQUIPMENT ACQUISITIONS, AND (II) REFUNDED SERIES F, H, AND K BONDS WHICH WERE ISSUED JULY 6, 1999, JULY 9, 1998, AND JULY 11, 2000, RESPECTIVELY. PART I, LINE D, COLUMN (F) 0 MHEFA SERIES 2010(A) REFUNDED SERIES I, Q, U, AND W. * SERIES I BONDS WERE ISSUED MAY 26, 1999 TO FINANCE VARIOUS CAPITAL PROJECTS. * SERIES Q BONDS WERE ISSUED MAY 28, 2008 FOR THE PURPOSE OF REFUNDING THE SERIES L BONDS WHICH WERE ISSUED JANUARY 25, 2001 TO FINANCE VARIOUS CAPITAL PROJECTS. * SERIES U BONDS WERE ISSUED JULY 31, 2008 FOR THE PURPOSE OF REFUNDING THE SERIES M BONDS WHICH WERE ISSUED JULY 3, 2002. SERIES M BONDS WERE ISSUED FOR THE PURPOSE OF REFUNDING THE SERIES E BONDS WHICH WERE ISSUED APRIL 1992. * SERIES W BONDS WERE ISSUED DECEMBER 17, 2008 FOR THE PURPOSE OF REFUNDING THE SERIES G BONDS WHICH WERE ISSUED APRIL 1998 TO FINANCE VARIOUS CAPITAL PROJECTS. PART I, LINE A, COLUMN (F) MHEFA SERIES 2012 REFUNDED SERIES S BONDS WHICH WERE ISSUED MAY 22, 2008. PART II, LINE 3 - TOTAL PROCEEDS OF ISSUE MHEFA SERIES T - PROCEEDS REPORTED ON LINE 3 INCLUDES $8,470,410 OF CAPITALIZED INTEREST AND $6,628,457 OF INVESTMENT EARNINGS. ACTUAL PROCEEDS OF ISSUE IS $210,000,000. MHEFA SERIES Y - PROCEEDS REPORTED ON LINE 3 INCLUDES $1,517,334 OF CAPITALIZED INTEREST AND $144,812 OF INVESTMENT EARNINGS. ACTUAL PROCEEDS OF ISSUE IS $64,431,595. PART II, LINE 9 - WORKING CAPITAL WORKING CAPITAL CONSISTS OF BOND PROCEEDS USED TO FINANCE TERMINATION PAYMENTS DUE TO SWAP COUNTERPARTIES. PART IV, LINE 2C, COLUMN (A) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES R - JULY 26, 2013 PART IV, LINE 2C, COLUMN (B) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES T - JULY 26, 2013 PART IV, LINE 2C, COLUMN (C) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES Y - JULY 18, 2013 PART IV, LINE 2C, COLUMN (D) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES 2010A - JULY 18, 2013 PART IV, LINE 2C, COLUMN (A) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES 2012 - APRIL 15, 2013 PART IV, LINE 3 - HEDGE THE UNIVERSITY HAS ENTERED INTO AN INTEREST RATE SWAP AGREEMENT WITH AIG FOR BOND ISSUE MHEFA SERIES T TO MANAGE THE INTEREST COST AND VARIABLE RATE RISK ASSOCIATED WITH ITS OUTSTANDING DEBT. THE INTEREST RATE SWAP AGREEMENT WAS NOT IDENTIFIED ON THE BOOKS AND RECORDS OF THE ISSUER OR THE INSTITUTION AND WERE NOT IDENTIFIED TO BE TREATED AS A "QUALIFYING HEDGE" WITH RESPECT TO THE SERIES T BONDS. THE INTEREST RATE SWAP AGREEMENT WAS NOT ENTERED INTO FOR TRADING OR SPECULATIVE PURPOSES. UNDER THE TERMS OF THE AGREEMENT, THE UNIVERSITY PAYS A FIXED RATE, DETERMINED AT INCEPTION, TO A THIRD PARTY WHO IN TURN PAYS THE UNIVERSITY A VARIABLE RATE ON THESE RESPECTIVE NOTIONAL PRINCIPAL AMOUNTS. THERE IS NO COLLATERAL POSTING REQUIREMENT FOR THE UNIVERSITY RELATED to the swap with aig. Stephen W Director Officer Home Loan X 2000000 1840000 false true true 1840000 Peter Lembo BROTHER OF NU FMR OFFICER 92563 NU Employee false Ruffalo Cody TRUSTEE RICHARD D'AMORE 493159 Professional Fundraising Fees false Sally Solomon SISTER OF NU OFFICER 58440 NU Employee false CLEAN HARBORS TRUSTEES GALANTE & MCKIM 138275 CLEANING SERVICES false Blue Cross Blue Shield OFFICER RALPH MARTIN 55659109 Health Insurance false Staples TRUSTEE RONALD SARGENT 760528 Provision of Goods false Geoffrey Trussell TRUSTEE CHAD GIFFORD 199284 NU EMPLOYEE false X 45 1240750 MARKET VALUE X 1 325000 APPRAISAL X EQUIPMENT 6 427932 MARKET VALUE 0 false true false SCHEDULE M, PART I, COLUMN (B) NORTHEASTERN UNIVERSITY REPORTED THE NUMBER OF CONTRIBUTIONS. SCHEDULE M, PART I, LINE 33 NORTHEASTERN UNIVERSITY'S ACCOUNTING POLICY STATES THAT NO REVENUE IS TO BE RECOGNIZED FOR GIFTS IN KIND UNLESS THERE IS AN IDENTIFIABLE USEFUL LIFE OR DETERMINABLE MARKET VALUE. ALL GIFTS IN KIND ARE REVIEWED TO DETERMINE IF THEY MEET EITHER CRITERIA. Mission Statement Form 990, Parts I and III, line 1 To educate students for a life of fulfillment and accomplishment. To create and translate knowledge to meet global and societal needs. This mission statement will inspire members of the University in whatever they do-as scholars, as teachers, as mentors, and as members of the Northeastern community. Northeastern's commitment to excellence, distinctiveness, and innovation led to the identification of five strategic themes that characterize the University's uniqueness: Experiential Learning, Interdisciplinary and Translational Research, Intellectual Life and Creative Expression, Urban Engagement, Global Opportunities. By concentrating efforts on these initiatives the University is better positioned to set priorities, make decisions, and focus resources that allow the institution to achieve its ambitions. Form 990, Part III, Line 4d Other program services consist of: Research, academic support, student services, and cooperative education. Form 990, Part VI, Line 1a PURSUANT TO THE BYLAWS, THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES IS AUTHORIZED TO ACT WITH THE FULL AUTHORITY OF THE BOARD OF TRUSTEES IN THE MONTHS IN WHICH THE FULL BOARD DOES NOT MEET. All members of the Board of Trustees who are not appointed to serve on the Executive Committee shall be authorized to serve as alternates to the Executive Committee with full voting authority. The Secretary shall be authorized to select an alternatE whenever a member notifies the Secretary of his or her inability to attend any regular or special meeting of the Executive Committe. A majority of the members of the Executive Committee, including any alternate(s), shall constitute a quorum for any meeting of the Executive Committee. Form 990, Part VI, Line 2 Edward G. Galante Alan S. McKim Business Relationship Form 990, Part VI, Line 7a Members of the Corporation have the responsibility of electing members of the Corporation and the Board of Trustees. THE CHAIRMAN OF THE BOARD OF TRUSTEES HAS THE AUTHORITY TO APPOINT ONE EMERITUS/MEMBER ON AN ANNUAL BASIS TO SERVE AS A VOTING TRUSTEE. Form 990, Part VI, Line 11B The University's Form 990 review process is a collaborative effort. The core Form 990 and related schedules were reviewed by four committees of the Board of Trustees, senior management, an independent compensation consultant and a paid tax preparer. All feedback from the above parties was incorporated in the form. The Form 990 as filed is provided to the full board prior to filing with the IRS. Form 990, Part VI, Line 12c The Conflict of Interest Policy For Trustees, Overseers, Officers and Other Institutional Decision-Makers applies to all voting, lifetime and honorary members of the Board of Trustees; certain members of the Corporation; all officers; and all other Institutional Decision-Makers of Northeastern University. The policy requires that all Trustees, Officers and other Governing Board Members who serve on standing committees are required to adhere to a policy which requires disclosure in advance of any conflict; non-participation in decisions regarding the potential conflict; and an annual reporting of any conflicts for personal or third party involvement. The Secretary to the Board reviews the disclosures to determine whether any disclosures are sufficiently material that they should be brought to the attention of a sub-committee of the Trusteeship Committee. The sub-committee of the Trusteeship Committee shall determine whether any disclosed matter is of such significance that it merits reporting to the Board of Trustees or the Executive Committee. If so, the sub-committee shall recommend whether the disclosure requires approval or other action by the Board of Trustees or the Executive Committee. It shall be sole prerogative of the Board of Trustees or Executive Committee to approve or take other action related to a conflicts disclosure, including determining whether or not a transaction related to a disclosure should be permitted (if the transaction has not been finalized) or continued (if the transaction has already begun). Persons covered by this policy are required to refrain from making any decision about, and from participating in any consideration of, any transaction or other matter within the letter or spirit of this policy, except that he or she may respond to requests for information by the President or any disinterested Trustee concerning the matter. The Conflict of Interest and Commitment Policy in the Faculty Handbook applies to all members of Northeastern's faculty and research staff including faculty members serving as University officers (collectively referred to as 'the Faculty.') Annually, Faculty are required to submit a Conflict of Interest and Commitment Disclosure statement that requires disclosure of any relationships that would present the appearance of a conflict. These disclosure forms are reviewed by the Director of Institutional Audit, Compliance & Risk Services to determine whether any disclosures are sufficiently material that they should be brought to the attention of the appropriate College Dean for review. The policy provides College Deans with the primary responsibility for ensuring implementation of this policy and authority to review and approve exceptions to the policy. All employees are required to submit a Conflict of Interest and Commitment Disclosure statement that requires disclosure of any significant financial interest relationship as defined and disclosure of any gift over $100 from a single third party seeking benefit from the University. These disclosure forms are reviewed by the Director of Institutional Audit, Compliance & Risk Services to determine whether any disclosures are sufficiently material that they should be brought to the attention of the appropriate unit Dean, Vice-President or Director for review. The unit Dean, Vice-President or Director are responsible for reviewing the identified conflict and for resolving those conflicts appropriately. Form 990, Part VI, Lines 15a & 15b NORTHEASTERN UNIVERSITY FOLLOWS A CAREFULLY DEFINED PROCESS FOR REVIEWING SENIOR EXECUTIVE COMPENSATION LEVELS. THE POSITIONS INCLUDED IN THIS PROCESS DURING 2012 ARE THE PRESIDENT, SENIOR VICE PRESIDENT FOR ACADEMIC AFFAIRS AND PROVOST, SENIOR VICE PRESIDENT FOR UNIVERSITY ADVANCEMENT, SENIOR VICE PRESIDENT FOR ENROLLMENT MANAGEMENT AND STUDENT LIFE, SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT FOR EXTERNAL AFFAIRS, THE DIRECTOR OF FINANCE & TREASURER, AND SENIOR VICE PRESIDENT & GENERAL COUNSEL. OTHER POSITIONS INCLUDING, BUT NOT LIMITED TO, DEANS MAY BE INCLUDED EACH YEAR. THIS PROCESS EMBRACES THE BEST PRACTICES UTILIZED IN THE HIGHER EDUCATION INDUSTRY. IN 2012, A COMPETITIVE PAY ASSESSMENT WAS CONDUCTED BY A THIRD PARTY INDEPENDENT COMPENSATION CONSULTING FIRM, USING MULTIPLE MARKET REFERENCES, INCLUDING SURVEYS REPRESENTING SIMILAR UNIVERSITIES AND OTHER RELEVANT LABOR MARKETS (AS APPLICABLE FOR CERTAIN POSITIONS). THE ASSESSMENT IS BASED ON PEER REFERENCES THAT REFLECT OTHER UNIVERSITIES OF SIMILAR SIZE AND PROMINENCE WITH WHICH NORTHEASTERN COMPETES FOR EXECUTIVE TALENT. THE INDEPENDENT CONSULTANT ALSO PROVIDED ADDITIONAL PROPRIETARY COMPENSATION MARKET DATA AND AN ASSESSMENT OF THE REASONABLENESS OF THE DATA. THE COMPENSATION COMMITTEE CONSISTS OF THE CHAIRMAN OF THE BOARD OF TRUSTEES, ALSO SERVING AS THE CHAIR, ALONG WITH FIVE OTHER INDEPENDENT TRUSTEE MEMBERS. THIS COMMITTEE HAS CONTINUED TO ENGAGE TOWERS WATSON AS ITS INDEPENDENT COMPENSATION CONSULTANT, WITH THE EXPECTATION THAT ITS PROCESSES AND PROCEDURES WOULD CONTINUE TO EVOLVE TO REFLECT EMERGING BEST PRACTICES. THE COMPETITIVE PAY ASSESSMENT AND INDEPENDENT CONSULTANT REVIEW WERE PROVIDED TO THE PRESIDENT FOR HIS USE IN MAKING SALARY AND BONUS RECOMMENDATIONS TO THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES FOR THE POSITIONS INCLUDED IN THE PROCESS, EXCLUDING HIS OWN. THE PRESIDENT'S RECOMMENDATIONS TO THE COMPENSATION COMMITTEE TAKE INTO CONSIDERATION THE MARKET INFORMATION, AS WELL AS THE RESULTS OF A FORMAL ANNUAL PERFORMANCE ASSESSMENT PROCESS BASED ON PRE-DETERMINED GOALS AND OBJECTIVES. THE COMPENSATION COMMITTEE REVIEWED THE COMPETITIVE INFORMATION AND THE RESULTS OF THE PERFORMANCE ASSESSMENT PROCESS PRESENTED BY THE PRESIDENT, DISCUSSED POTENTIAL CHANGES, AND VOTED TO APPROVE THE FINAL RECOMMENDATIONS, WHICH WERE THEN PRESENTED TO THE FULL BOARD OF TRUSTEES. THE BOARD ALSO VOTED TO APPROVE THE RECOMMENDATIONS. THESE DISCUSSIONS AND RESULTING APPROVALS ARE DOCUMENTED IN THE MINUTES OF EACH MEETING. IN DETERMINING THE PRESIDENT'S COMPENSATION, THE INDEPENDENT CONSULTANT PROVIDED THE RESULTS OF THE MARKET PAY ASSESSMENT FOR THE PRESIDENT DIRECTLY TO THE COMMITTEE. THE COMMITTEE ALSO CONDUCTED A FORMAL PERFORMANCE ASSESSMENT OF THE PRESIDENT, UTILIZING PRE-DETERMINED GOALS AND OBJECTIVES. THE COMMITTEE THEN DISCUSSED POTENTIAL CHANGES TO THE PRESIDENT'S COMPENSATION BASED ON THE MARKET DATA AND THE RESULTS OF THE PERFORMANCE ASSESSMENT, AND PRESENTED ITS RECOMMENDATIONS TO THE FULL BOARD OF TRUSTEES FOR THEIR APPROVAL. THE BOARD VOTED TO APPROVE THE RECOMMENDATIONS. THESE DISCUSSIONS AND RESULTING APPROVALS ARE DOCUMENTED IN THE MINUTES OF EACH MEETING. Form 990, Part VI, Line 19 Original hard copy Financial Statements and Governing documents are available upon request. The Conflict of interest policy and the annual financial statements are available via the internet at www.NEU.EDU. FORM 990, PART VII, COLUMN (A) STEPHEN ZOLOTH, FORMER DEAN - BOUVE COLLEGE, IS CURRENTLY SERVING AS DEAN OF ACADEMIC AFFAIRS FOR EXTERNAL PROGRAMS AND VICE PROVOST FOR HEALTH RESEARCH. DAVID LUZZI, FORMER DEAN - ENGINEERING, IS CURRENTLY SERVING AS PROFESSOR AND EXECUTIVE DIRECTOR, STRATEGIC SECURITY INITIATIVE MECHANICAL AND INDUSTRIAL ENGINEERING. Form 990, Part VII, Column (B) 40 hours constitutes a full-time equivalent employee at Northeastern University. Form 990, Part XI, Line 9 SWAP ADJUSTMENT $17,556,381 Rounding Variance ($805) ___________ $17,555,576 Renaissance Park Garage LLC 1209 Orange St Wilmington DE 19801 043480384 Parking svcs DE 1827277 18096358 NORTHEASTERN NU Research LLC 360 Huntington Ave Boston MA 02115 170388661 Research Ctr MA 83 NORTHEASTERN NU Innovation LLC 360 Huntington Ave Boston MA 02115 270388561 Research Ctr MA 83 NORTHEASTERN NU Housing Corporation c/o NU 716 Columbus Ave Boston MA 02120 260874402 Real Estate MA 501(C)(3) 9 NORTHEASTERN true The Mass Green High Perf Computing Ctr 77 Mass Ave Cambridge MA 02139 273014805 Research Ctr MA 501(C)(3) 11A-I NA false MGHPCC Holyoke Inc 77 Mass Ave CAMBRIDGE MA 02139 452257442 RESEARCH CTR MA 501(C)(3) 11A-I NA false Azland Inc c/o NU 360 Huntington Avenue Boston MA 02115 042454917 real estate DE NORTHEASTERN c corp 25459 221099 1.00000 true Charitable Remainder Trust (1) INVESTING CA NORTHEASTERN TRUST true Charitable Remainder Trust (1) Investing ME NORTHEASTERN TRUST true Charitable Remainder Trusts (9) INVESTING MA NORTHEASTERN TRUST true Charitable Remainder Trust (3) INVESTING NH NORTHEASTERN TRUST true Pooled Income Trust (1) INVESTING MA NORTHEASTERN TRUST true Perpetual Trust (1) INVESTING MA NORTHEASTERN TRUST true Perpetual Trust (1) INVESTING ME NORTHEASTERN TRUST true false false false false false false false false false false false false false false false false false true false NU Housing Corporation R 1600000 FMV