2013-05-15T11:11:33-05:00 2012-06-30 990 2011-07-01 060646973 YALE UNIVERSITY YALE 2034325530 PO BOX 208239 NEW HAVEN CT 065208239 SHAUNA R KING 2034321096 2013-05-10 2011 2016-02-24 21:20:13Z RICHARD C LEVIN PO BOX 208229 NEW HAVEN CT 065208229 7434338871 0 X WWW.YALE.EDU X 1701 CT TO CREATE, PRESERVE, AND DISSEMINATE KNOWLEDGE 19 15 27432 7000 -86928240 -91124356 1239645403 863987731 1143599732 1249450501 1018069842 1435830296 87390717 77755209 3488705694 3627023737 359156038 395914925 0 0 1668607142 1752054113 0 0 37557169 938894415 962509661 2966657595 3110478699 522048099 516545038 27801734697 28321347357 7198628984 8255409586 20603105713 20065937771 X SEE SCHEDULE O 0 0 1254780887 1292817 1032297933 INSTRUCTION: INCLUDES SALARIES, FRINGE BENEFITS AND SUPPLIES OF TEACHING OVER 11,000 STUDENTS INCLUDING 5,322 UNDERGRADUATES, 2,788 GRADUATE STUDENTS AND 3,738 PROFESSIONAL SCHOOL STUDENTS. A FACULTY OF MORE THAN 3,900 TEACH AND ADMINISTER PROGRAMS ACROSS A RANGE OF DISCIPLINES IN THE SCIENCES AND ENGINEERING, THE SOCIAL SCIENCES, THE HUMANITIES, AND THE VARIOUS LEARNED PROFESSIONS. MORE THAN 80 MAJORS ARE AVAILABLE IN THE UNDERGRADUATE COLLEGE AND 38 DIFFERENT DEGREE PROGRAMS ARE OFFERED BY THE UNIVERSITY. IN ADDITION TO THE GRADUATE SCHOOL OF ARTS AND SCIENCES, THE UNIVERSITY HAS PROFESSIONAL SCHOOLS INCLUDING ARCHITECTURE, ART, DIVINITY, DRAMA, ENGINEERING AND APPLIED SCIENCE, FORESTRY AND ENVIRONMENTAL STUDIES, LAW, MANAGEMENT, MEDICINE, MUSIC, NURSING AND PUBLIC HEALTH. 508920000 53679519 56503739 RESEARCH: THE UNIVERSITY ENGAGES IN EXTENSIVE RESEARCH IN MEDICINE, THE PHYSICAL SCIENCES, THE SOCIAL SCIENCES AND HUMANITIES. THE UNIVERSITY'S RESEARCH ACTIVITIES ARE AIMED AT THE ADVANCEMENT OF KNOWLEDGE AS WELL AS TRAINING STUDENTS IN THE RESEARCH PROCESS. INCLUDED AMONG THE UNIVERSITY'S OUTSTANDING RESEARCH FACILITIES ARE LABORATORIES AND OTHER FACILITIES DEVOTED TO RESEARCH IN GEOLOGY, CHEMISTRY, BIOLOGY, ENGINEERING AND APPLIED SCIENCE, ANTHROPOLOGY, PALEONTOLOGY, MOLECULAR AND STRUCTURAL BIOLOGY, NUCLEAR STRUCTURE, CHILD DEVELOPMENT, SOCIAL POLICY, BIOSPHERIC STUDIES AND NUMEROUS BIOMEDICAL SCIENCES, TO NAME BUT A FEW. 605242470 331175425 67973441 STUDENT AID AND SERVICES: YALE COLLEGE ADMITS STUDENTS FOR THEIR ACADEMIC AND PERSONAL PROMISE WITHOUT REGARD TO THEIR ABILITY TO PAY. YALE IS COMMITTED TO A NEED-BLIND ADMISSIONS POLICY AND MEETS 100% OF DEMONSTRATED NEED FOR ALL STUDENTS REGARDLESS OF CITIZENSHIP. BY COMMITTING TO AN ADMISSIONS POLICY THAT DOES NOT CONSIDER A STUDENT'S ABILITY TO PAY, AND BY MEETING THE FULL FINANCIAL NEED OF ALL ADMITTED STUDENTS, YALE ENSURES THAT IT IS ACCESSIBLE TO THE MOST TALENTED STUDENTS FROM AROUND THE WORLD, REGARDLESS OF THEIR FAMILY'S INCOME. WITH THIS POLICY, YALE STRIVES TO CREATE A LEARNING ENVIRONMENT THAT INCORPORATES THE WIDEST POSSIBLE RANGE OF STUDENT BACKGROUNDS. -- CONTINUED ON SCHEDULE OIN FY2012, 3,053, OR 57%, OF UNDERGRADUATES RECEIVED NEED-BASED SCHOLARSHIPS OR GRANTS FROM YALE SOURCES OF $38,170 ON AVERAGE. THIS CATEGORY OF EXPENDITURES ALSO INCLUDES: THE OPERATION OF DINING HALLS THAT PROVIDED 2,798,173 MEALS TO STUDENTS, FACULTY AND STAFF; MAINTENANCE OF DORMITORIES HOUSING 4,689 UNDERGRADUATES AND 1,095 GRADUATE AND PROFESSIONAL SCHOOL STUDENTS; OPERATION AND MAINTENANCE OF ATHLETIC FACILITIES FOR THE 35 INTERCOLLEGIATE SPORTS, OVER 35 INTRAMURAL SPORTS, AND 50 CLUB SPORT TEAMS OFFERED AT YALE AS WELL AS MORE THAN 75 SECTIONS OF PHYSICAL EDUCATION INSTRUCTION, PARKING FACILITIES, LAUNDRY FACILITIES, STUDENT CENTERS, AND OTHER FACILITIES AND PROGRAMS (INCLUDING EXTRACURRICULAR ACTIVITIES AND STUDENT HEALTH SERVICES) THAT PROVIDE SUPPORT, SERVICES AND ACADEMIC/CULTURAL ENRICHMENT TO THE UNIVERSITY'S STUDENTS.FORM 990, PART III, LINE 4DOTHER PROGRAM SERVICES INCLUDE ACADEMIC SUPPORT, PUBLIC SERVICE AND OTHER INSTITUTIONAL SUPPORT. 405961973 9767164 119028899 405961973 9767164 119028899 2774905330 1 1 0 1 0 1 0 1 1 1 1 1 0 0 1 0 0 1 1 1 1 1 1 0 1 1 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 1 0 0 1 1 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9 7457150 5566578 33978366 1 1 X X X X 0 0 1 19630896000 137655000 877883000 152900000 819118000 67937000 19606479000 16863612000 303444000 3465103000 146778000 788353000 66132000 19630896000 16493386000 84878000 1370842000 163872000 853772000 67850000 16863612000 22980906000 166058000 -5533211000 174611000 886584000 59172000 16493386000 0.15870 0.15400 0.68730 0 0 113648409 113648409 62129801 5457215875 1622678171 3896667505 523359 321648 201711 533451295 380819602 152631693 4163149318 BONDS 51722105 F COMMON STOCK 149926551 F EQUITY INVESTMENTS 17685173268 F OTHER INVESTMENTS 112552686 F 17999374610 EMPLOYEE BENEFIT OBLIGATIONS 979160427 COMPENSATED ABSENCES 65705909 FINANCIAL AID GRANT OBLIGATIONS 43213000 ASSET RETIREMENT OBLIGATIONS 38000000 CAPITAL LEASE OBLIGATIONS 57522599 LIABILITIES UNDER SPLIT-INTEREST AGREEMENTS 87612104 ADVANCES FROM FEDERAL GOV'T FOR STUDENT LOANS 33489949 SECURITIES SOLD NOT YET PURCHASED 1086477347 DUE TO INSTITUTIONS 944070858 OTHER LIABILITIES 543284424 3878536617 3627023737 3110478699 516545038 -897365849 -156347131 -1053712980 -537167942 2309955000 -897365849 -109271601 -1006637450 3316592450 71691838 238739449 310431287 3627023737 2816781146 16733734 16733734 2800047412 71691838 238739449 310431287 3110478699 PART III, LINE 1A: PART III, LINE 1A: YALE UNIVERSITY FINANCIAL STATEMENTS - COLLECTIONS FOOTNOTE: COLLECTIONS AT YALE INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S MUSEUMS AND LIBRARIES. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH AND THE FURTHERANCE OF PUBLIC SERVICE. COLLECTIONS ARE NOT CAPITALIZED; PURCHASES OF COLLECTION ITEMS ARE RECORDED AS OPERATING EXPENSES IN THE UNIVERSITY'S CONSOLIDATED FINANCIAL STATEMENTS IN THE PERIOD IN WHICH THE ITEMS ARE ACQUIRED. PART III, LINE 4: PART III, LINE 4: TEACHING AND RESEARCH ARE SUPPORTED BY THE UNIVERSITY'S EXTENSIVE COLLECTIONS-THE YALE UNIVERSITY ART GALLERY, THE YALE CENTER FOR BRITISH ART, THE PEABODY MUSEUM OF NATURAL HISTORY, AND THE COLLECTION OF MUSICAL INSTRUMENTS. ALL THE COLLECTIONS ARE OPEN TO THE PUBLIC. THE YALE UNIVERSITY ART GALLERY: THE YALE UNIVERSITY ART GALLERY, FOUNDED IN 1832, HOUSES A COLLECTION THAT RANKS WITH THOSE OF THE MAJOR PUBLIC ART MUSEUMS IN THE UNITED STATES. ITS BUILDINGS HOUSE ANCIENT, MEDIEVAL, AND RENAISSANCE ART, NEAR AND FAR EASTERN ART, ARCHAEOLOGICAL MATERIAL, PRE-COLUMBIAN AND AFRICAN ART, WORKS OF EUROPEAN AND AMERICAN MASTERS FROM VIRTUALLY EVERY PERIOD, AND A RICH COLLECTION OF MODERN ART. THE MISSION OF THE YALE UNIVERSITY ART GALLERY IS TO ENCOURAGE APPRECIATION AND UNDERSTANDING OF ART AND ITS ROLE IN SOCIETY THROUGH DIRECT ENGAGEMENT WITH ORIGINAL WORKS OF ART. THE GALLERY STIMULATES ACTIVE LEARNING ABOUT ART AND THE CREATIVE PROCESS THROUGH RESEARCH, TEACHING, AND DIALOGUE AMONG COMMUNITIES OF YALE STUDENTS, FACULTY, ARTISTS, SCHOLARS, ALUMNI, AND THE WIDER PUBLIC. THE GALLERY ORGANIZES EXHIBITIONS AND EDUCATIONAL PROGRAMS TO OFFER ENJOYMENT AND ENCOURAGE INQUIRY, WHILE BUILDING AND MAINTAINING ITS COLLECTIONS IN TRUST FOR FUTURE GENERATIONS. THE YALE CENTER FOR BRITISH ART: THE YALE CENTER FOR BRITISH ART IS A PUBLIC ART MUSEUM AND RESEARCH INSTITUTE FOR THE STUDY OF BRITISH ART AND CULTURE. THE YALE CENTER FOR BRITISH ART, WHICH OPENED IN 1977, HOUSES THE LARGEST COLLECTION OF BRITISH ART OUTSIDE THE UNITED KINGDOM. THE COLLECTION OF PAINTINGS, SCULPTURE, PRINTS, DRAWINGS, RARE BOOKS, AND MANUSCRIPTS REFLECTS THE DEVELOPMENT OF BRITISH ART AND LIFE FROM THE ELIZABETHAN PERIOD ONWARD. THE CENTER OFFERS A YEAR-ROUND SCHEDULE OF EXHIBITIONS AND PROGRAMS, INCLUDING FILMS, CONCERTS, LECTURES, TOURS, AND SPECIAL EVENTS. THE YALE CENTER FOR BRITISH ART OVERSEES AN ACTIVE RESEARCH PROGRAM THROUGH WHICH IT PROMOTES AND FOSTERS THE SCHOLARSHIP OF ALL ASPECTS OF BRITISH ART AND MATERIAL CULTURE. ACADEMIC RESOURCES OF THE CENTER INCLUDE THE REFERENCE LIBRARY AND ARCHIVE, CONSERVATION LABORATORIES, A STUDY ROOM FOR EXAMINING WORKS ON PAPER AS WELL AS RARE BOOKS AND MANUSCRIPTS FROM THE COLLECTION, AND AN ONLINE CATALOGUE OF THE COLLECTIONS. PEABODY MUSEUM: YALE'S PEABODY MUSEUM OF NATURAL HISTORY, FOUNDED IN 1866, CONTAINS ONE OF THE GREAT SCIENTIFIC COLLECTIONS IN NORTH AMERICA (NUMBERING OVER 12.8 MILLION SPECIMENS). AMONG ITS HOLDINGS ARE THE UNIVERSITY'S COMPREHENSIVE MINERALOGICAL AND ORNITHOLOGICAL COLLECTIONS, THE SECOND-LARGEST REPOSITORY OF DINOSAUR ARTIFACTS IN THE UNITED STATES, AND THE LARGEST INTACT APATOSAURUS (BRONTOSAURUS) IN THE WORLD. THE PEABODY IS A WORKING MUSEUM, WHERE PUBLIC EXHIBITION, RESEARCH, CONSERVATION, TEACHING, AND LEARNING INTERSECT. ITS MISSION IS TO SERVE THE UNIVERSITY BY ADVANCING OUR UNDERSTANDING OF EARTH'S HISTORY THROUGH GEOLOGICAL, BIOLOGICAL, AND ANTHROPOLOGICAL RESEARCH, AND BY COMMUNICATING THE RESULTS OF THIS RESEARCH TO THE WIDEST POSSIBLE AUDIENCE THROUGH PUBLICATION, EXHIBITION, AND EDUCATIONAL PROGRAMS. FUNDAMENTAL TO THIS MISSION IS STEWARDSHIP OF THE MUSEUM'S RICH COLLECTIONS, WHICH PROVIDE A REMARKABLE RECORD OF THE HISTORY OF THE EARTH, ITS LIFE, AND ITS CULTURES. CONSERVATION, AUGMENTATION AND USE OF THESE COLLECTIONS ARE INCREASINGLY URGENT AS MODERN THREATS TO THE DIVERSITY OF LIFE AND CULTURE CONTINUE TO INTENSIFY. ITS COLLECTIONS ARE AVAILABLE TO LEGITIMATE RESEARCHERS FOR SCHOLARLY USE. COLLECTION OF MUSICAL INSTRUMENTS: ESTABLISHED IN 1900, THE COLLECTION TODAY COMPRISES NEARLY ONE THOUSAND INSTRUMENTS, THE MAJORITY DOCUMENTING THE HISTORY OF WESTERN ART MUSIC. IT IS COMMITTED TO FOSTERING THE UNDERSTANDING AND APPRECIATION OF MUSICAL INSTRUMENTS FROM ALL CULTURES. ONE OF THE FOREMOST INSTITUTIONS OF ITS KIND, THE COLLECTION ACQUIRES, PRESERVES, AND EXHIBITS MUSICAL INSTRUMENTS FROM ANTIQUITY TO THE PRESENT, FEATURING RESTORED EXAMPLES IN DEMONSTRATION AND LIVE PERFORMANCE. IT PROVIDES ACCESS TO AND DISSEMINATES INFORMATION ABOUT ITS HOLDINGS TO YALE STUDENTS, FACULTY, AND STAFF; TO SCHOLARS, MUSICIANS, AND INSTRUMENT MAKERS; AND TO THE BROADER PUBLIC. AN IMPORTANT RESOURCE FOR THE MUSIC CURRICULA OF THE UNIVERSITY, THE COLLECTION SERVES AS A LABORATORY FOR COURSES IN THE HISTORY OF MUSICAL INSTRUMENTS AND AS A SUPPLEMENTAL ARCHIVE FOR COURSES TAUGHT IN THE ARTS AND SCIENCES. THE COLLECTION MAINTAINS REGULAR PUBLIC VISITING HOURS AND PRESENTS AN ANNUAL SERIES OF CONCERTS AS WELL AS LECTURES, DEMONSTRATIONS, GALLERY TALKS, AND OTHER SPECIAL EVENTS. EXHIBITIONS ARE ALSO FREQUENTLY MOUNTED AT THE FOLLOWING VENUES ON CAMPUS: ART & ARCHITECTURE GALLERY (SCHOOL OF ARCHITECTURE), BEINECKE RARE BOOK AND MANUSCRIPT LIBRARY, GREEN HALL GALLERY (SCHOOL OF ART), AND STERLING MEMORIAL LIBRARY, AS WELL AS AT OTHER NON-YALE LOCATIONS AND INSTITUTIONS THROUGH UNIVERSITY LOAN OR EXCHANGE PROGRAMS. YALE UNIVERSITY LIBRARY: THE YALE UNIVERSITY LIBRARY, AS ONE OF THE WORLD'S LEADING RESEARCH LIBRARIES, COLLECTS, ORGANIZES, PRESERVES, AND PROVIDES ACCESS TO AND SERVICES FOR A RICH AND UNIQUE RECORD OF HUMAN THOUGHT AND CREATIVITY. IT FOSTERS INTELLECTUAL GROWTH AND SUPPORTS THE TEACHING AND RESEARCH MISSIONS OF YALE UNIVERSITY AND SCHOLARLY COMMUNITIES WORLDWIDE. A DISTINCTIVE STRENGTH IS ITS RICH SPECTRUM OF RESOURCES, INCLUDING APPROXIMATELY THIRTEEN MILLION VOLUMES AND INFORMATION IN ALL MEDIA, RANGING FROM ANCIENT PAPYRI TO EARLY PRINTED BOOKS TO ELECTRONIC DATABASES. THE LIBRARY IS ENGAGING IN NUMEROUS PROJECTS TO EXPAND ACCESS TO ITS PHYSICAL AND DIGITAL COLLECTIONS. IT IS HOUSED IN EIGHTEEN BUILDINGS INCLUDING THE STERLING MEMORIAL LIBRARY, THE BEINECKE RARE BOOK AND MANUSCRIPT LIBRARY, AND THE BASS LIBRARY. PART IV, LINE 2B: PART IV, LINE 2B: THE AMOUNT REPORTED ON FORM 990, PART X, LINE 21, ESCROW ACCOUNT LIABILITY, REPRESENTS SECURITY DEPOSITS RELATED TO LEASE AGREEMENTS. PART V, LINE 1: ENDOWMENT FUNDS INCLUDE THE VALUE OF THE ENDOWMENT AND UNEXPENDED ENDOWMENT INCOME AT JUNE 30, 2012. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: PART V, LINE 4: THE ENDOWMENT PROVIDES THE LARGEST SOURCE OF OPERATING REVENUE FOR THE UNIVERSITY. ENDOWMENT DISTRIBUTIONS TO THE OPERATING BUDGET GREW DURING THE LAST DECADE FROM $409 MILLION TO $994 MILLION, AN ANNUAL GROWTH RATE OF APPROXIMATELY 9%. YALE'S SPENDING AND INVESTMENT POLICIES PROVIDED SUBSTANTIAL LEVELS OF CASH FLOW TO THE OPERATING BUDGET FOR CURRENT SCHOLARS WHILE PRESERVING ENDOWMENT PURCHASING POWER FOR FUTURE GENERATIONS. THE YALE ENDOWMENT CONTAINS THOUSANDS OF FUNDS WITH A VARIETY OF DESIGNATED PURPOSES AND RESTRICTIONS. APPROXIMATELY THREE-QUARTERS OF FUNDS CONSTITUTE TRUE ENDOWMENT, GIFTS RESTRICTED BY DONORS TO PROVIDE LONG-TERM FUNDING FOR DESIGNATED PURPOSES. THE REMAINING ONE-QUARTER REPRESENT QUASI-ENDOWMENT, MONIES THAT THE YALE CORPORATION CHOOSES TO INVEST AND TREAT AS ENDOWMENT. DONORS FREQUENTLY SPECIFY A PARTICULAR PURPOSE FOR GIFTS, CREATING ENDOWMENTS TO FUND PROFESSORSHIPS, TEACHING, AND LECTURESHIPS (24%), SCHOLARSHIPS, FELLOWSHIPS, AND PRIZES (17%), MAINTENANCE (4%), BOOKS (3%), AND MISCELLANEOUS SPECIFIC PURPOSES (27%). TWENTY-FIVE PERCENT OF FUNDS ARE UNRESTRICTED. TWENTY-FIVE PERCENT OF THE ENDOWMENT BENEFITS THE OVERALL UNIVERSITY, WITH REMAINING FUNDS FOCUSED ON SPECIFIC UNITS, INCLUDING THE FACULTY OF ARTS AND SCIENCES (35%), THE PROFESSIONAL SCHOOLS (26%), THE LIBRARY (7%), AND OTHER ENTITIES (7%). PART X, LINE 2: THE UNIVERSITY WAS NOT REQUIRED TO INCLUDE A FIN 48 (ASC 740), ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, FOOTNOTE IN ITS FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2012. PART XI, LINE 8 - OTHER ADJUSTMENTS: CHANGE IN FUNDING STATUS OF DEFINED BENEFIT PLANS -160,162,074. ACTUARIAL ADJUSTMENTS FOR SPLIT INTEREST LIABILITY 3,815,322. ROUNDING -379. TOTAL TO SCHEDULE D, PART XI, LINE 8: -156,347,131. PART XI, LINE 10: THE CHANGE IN NET ASSETS IS BEING RECONCILED TO THE FORM 990, PART X AND NOT TO THE AUDITED FINANCIAL STATEMENTS BECAUSE YALE IS INCLUDED IN CONSOLIDATED, INDEPENDENT AUDITED FINANCIAL STATEMENTS AND DID NOT RECEIVE SEPARATE, INDEPENDENT AUDITED FINANCIAL STATEMENTS FOR THE TAX YEAR. PART XII, LINE 2D - OTHER ADJUSTMENTS: AFFILIATED ORGANIZATION INCOME(LOSS)*: 15,088,151 CHANGE IN FUNDING STATUS OF DEFINED BENEFIT PLANS: (160,162,074) ACTUARIAL ADJUSTMENT FOR SPLIT INTEREST LIABILITY: 3,815,322 NON-CONTROLLING INTEREST: 31,987,000 TOTAL: (109,271,601) PART XII, LINE 4B - OTHER ADJUSTMENTS: EXPENSES NOT INCLUDED IN INCOME ON THE AUDITED FINANCIAL STATEMENTS, BUT REPORTED ON LINES 6B, 8B AND 9B, PART VIII OF FORM 990 PURSUANT TO FORM INSTRUCTIONS: (11,013,653) TUITION DISCOUNTS WHICH WERE NETTED WITH STUDENT INCOME ON THE AUDITED FINANCIAL STATEMENTS: 243,020,470 EXPENSES WHICH WERE NETTED WITH REVENUE ON THE AUDITED FINANCIAL STATEMENTS: 6,732,632 TOTAL: 238,739,449 PART XIII, LINE 2D: AFFILIATED ORGANIZATION EXPENSE*: 16,733,734 * THIS AMOUNT IS REPORTED (IF REQUIRED) ON THE FORMS 990 OF THE AFFILIATED ORGANIZATIONS. PART XIII, LINE 4B - OTHER ADJUSTMENTS: EXPENSES WHICH WERE NETTED WITH REVENUE ON THE AUDITED FINANCIAL STATEMENTS BUT REPORTED ON LINES 6B, 8B AND 9B, PART VIII OF FORM 990 PURSUANT TO THE FORM INSTRUCTIONS: (11,013,653) TUITION DISCOUNTS WHICH WERE NETTED WITH STUDENT INCOME ON THE AUDITED FINANCIAL STATEMENTS: 243,020,470 ROYALTY EXPENSES WHICH WERE NETTED WITH REVENUE ON THE AUDITED FINANCIAL STATEMENTS: 6,732,632 TOTAL: 238,739,449 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 SEE SCHEDULE E PAGE 2 EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE UNIVERSITY HAS RECEIVED AND CONTINUES TO RECEIVE STUDENT FINANCIAL AID AND GRANTS FROM GOVERNMENTAL AGENCIES. SCHEDULE E, LINE 3 YALE UNIVERSITY'S EQUAL OPPORTUNITY STATEMENT: THE UNIVERSITY IS COMMITTED TO BASING JUDGMENTS CONCERNING THE ADMISSION, EDUCATION, AND EMPLOYMENT OF INDIVIDUALS UPON THEIR QUALIFICATIONS AND ABILITIES AND AFFIRMATIVELY SEEKS TO ATTRACT TO ITS FACULTY, STAFF, AND STUDENT BODY QUALIFIED PERSONS OF DIVERSE BACKGROUNDS. IN ACCORDANCE WITH THIS POLICY AND AS DELINEATED BY FEDERAL AND CONNECTICUT LAW, YALE DOES NOT DISCRIMINATE IN ADMISSIONS, EDUCATIONAL PROGRAMS, OR EMPLOYMENT AGAINST ANY INDIVIDUAL ON ACCOUNT OF THAT INDIVIDUAL'S SEX, RACE, COLOR, RELIGION, AGE, DISABILITY, STATUS AS A SPECIAL DISABLED VETERAN, VETERAN OF THE VIETNAM ERA OR OTHER COVERED VETERAN, OR NATIONAL OR ETHNIC ORIGIN; NOR DOES YALE DISCRIMINATE ON THE BASIS OF SEXUAL ORIENTATION OR GENDER IDENTITY OR EXPRESSION. UNIVERSITY POLICY IS COMMITTED TO AFFIRMATIVE ACTION UNDER LAW IN EMPLOYMENT OF WOMEN, MINORITY GROUP MEMBERS, INDIVIDUALS WITH DISABILITIES, AND SPECIAL DISABLED VETERANS, VETERANS OF THE VIETNAM ERA OR OTHER COVERED VETERANS. THE UNIVERSITY'S EQUAL OPPORTUNITY STATEMENT IS MADE KNOWN TO ALL SEGMENTS OF THE GENERAL COMMUNITY SERVICED BY THE UNIVERSITY. IT IS INCLUDED IN CATALOGUES AND BROCHURES DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS OF THE UNIVERSITY AS WELL AS ON ITS WEBSITE WHICH ARE ALL AVAILABLE TO THE GENERAL PUBLIC. 1 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES ACADEMIC COLLABORATIONS 5889 CENTRAL AMERICA AND THE CARIBBEAN 1 PROGRAM SERVICES ALUMNI RELATIONS 84558 CENTRAL AMERICA AND THE CARIBBEAN 1 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 92818 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES CULTURAL EXCHANGE 8050 CENTRAL AMERICA AND THE CARIBBEAN 1 PROGRAM SERVICES INSTRUCTION/ TEACHING 67746 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 22660 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES RESEARCH 168778 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 51152 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES STUDENT RECRUITMENT 3399 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 907 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 45887 CENTRAL AMERICA AND THE CARIBBEAN FUNDRAISING 3023 CENTRAL AMERICA AND THE CARIBBEAN GRANTMAKING 218999 CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 1633868665 EAST ASIA AND THE PACIFIC 1 6 PROGRAM SERVICES ACADEMIC COLLABORATIONS 1557324 EAST ASIA AND THE PACIFIC 1 PROGRAM SERVICES ALUMNI RELATIONS 66196 EAST ASIA AND THE PACIFIC PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 316651 EAST ASIA AND THE PACIFIC PROGRAM SERVICES CULTURAL EXCHANGE 15971 EAST ASIA AND THE PACIFIC 1 PROGRAM SERVICES INSTRUCTION/ TEACHING 318955 EAST ASIA AND THE PACIFIC 1 8 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 791619 EAST ASIA AND THE PACIFIC 23 PROGRAM SERVICES RESEARCH 984189 EAST ASIA AND THE PACIFIC 2 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 948515 EAST ASIA AND THE PACIFIC PROGRAM SERVICES STUDENT RECRUITMENT 79598 EAST ASIA AND THE PACIFIC 1 3 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 654651 EAST ASIA AND THE PACIFIC PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 53989 EAST ASIA AND THE PACIFIC FUNDRAISING 207531 EAST ASIA AND THE PACIFIC GRANTMAKING 6081494 EAST ASIA AND THE PACIFIC INVESTMENTS 140808 EUROPE (INCLUDING ICELAND & GREENLAND) 15 PROGRAM SERVICES ACADEMIC COLLABORATIONS 615725 EUROPE (INCLUDING ICELAND & GREENLAND) 1 PROGRAM SERVICES ALUMNI RELATIONS 204508 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 1041932 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES CULTURAL EXCHANGE 116973 EUROPE (INCLUDING ICELAND & GREENLAND) 1 PROGRAM SERVICES INSTRUCTION/ TEACHING 149814 EUROPE (INCLUDING ICELAND & GREENLAND) 32 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 7150967 EUROPE (INCLUDING ICELAND & GREENLAND) 36 PROGRAM SERVICES RESEARCH 2938888 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 1872108 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES STUDENT RECRUITMENT 47016 EUROPE (INCLUDING ICELAND & GREENLAND) 6 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 1482712 EUROPE (INCLUDING ICELAND & GREENLAND) 1 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 37417 EUROPE (INCLUDING ICELAND & GREENLAND) 1 FUNDRAISING 123788 EUROPE (INCLUDING ICELAND & GREENLAND) GRANTMAKING 7247592 EUROPE (INCLUDING ICELAND & GREENLAND) INVESTMENTS 267777342 MIDDLE EAST AND NORTH AFRICA 5 PROGRAM SERVICES ACADEMIC COLLABORATIONS 65688 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES ALUMNI RELATIONS 12611 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 15528 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES CULTURAL EXCHANGE 11041 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES INSTRUCTION/ TEACHING 2281 MIDDLE EAST AND NORTH AFRICA 1 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 84420 MIDDLE EAST AND NORTH AFRICA 1 8 PROGRAM SERVICES RESEARCH 823078 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 87845 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES STUDENT RECRUITMENT 7549 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 24429 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 11926 MIDDLE EAST AND NORTH AFRICA FUNDRAISING 24478 MIDDLE EAST AND NORTH AFRICA GRANTMAKING 441937 NORTH AMERICA 2 PROGRAM SERVICES ACADEMIC COLLABORATIONS 32884 NORTH AMERICA 1 PROGRAM SERVICES ALUMNI RELATIONS 102796 NORTH AMERICA PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 376873 NORTH AMERICA 1 PROGRAM SERVICES CULTURAL EXCHANGE 7223 NORTH AMERICA PROGRAM SERVICES INSTRUCTION/ TEACHING 13487 NORTH AMERICA 9 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 101411 NORTH AMERICA 5 PROGRAM SERVICES RESEARCH 124226 NORTH AMERICA PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 495663 NORTH AMERICA PROGRAM SERVICES STUDENT RECRUITMENT 53761 NORTH AMERICA PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 7181 NORTH AMERICA PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 4680 NORTH AMERICA FUNDRAISING 2961 NORTH AMERICA GRANTMAKING 1480763 NORTH AMERICA INVESTMENTS 35274444 RUSSIA AND THE NEWLY INDEPENDENT STATES PROGRAM SERVICES ACADEMIC COLLABORATIONS 18591 RUSSIA AND THE NEWLY INDEPENDENT STATES PROGRAM SERVICES ALUMNI RELATIONS 1566 RUSSIA AND THE NEWLY INDEPENDENT STATES PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 12172 RUSSIA AND THE NEWLY INDEPENDENT STATES PROGRAM SERVICES CULTURAL EXCHANGE 764 RUSSIA AND THE NEWLY INDEPENDENT STATES PROGRAM SERVICES INSTRUCTION/ TEACHING 17040 RUSSIA AND THE NEWLY INDEPENDENT STATES PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 10534 RUSSIA AND THE NEWLY INDEPENDENT STATES 1 PROGRAM SERVICES RESEARCH 199733 RUSSIA AND THE NEWLY INDEPENDENT STATES PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 12584 RUSSIA AND THE NEWLY INDEPENDENT STATES PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 88898 RUSSIA AND THE NEWLY INDEPENDENT STATES PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 444 RUSSIA AND THE NEWLY INDEPENDENT STATES FUNDRAISING 15422 RUSSIA AND THE NEWLY INDEPENDENT STATES GRANTMAKING 575900 SOUTH AMERICA 1 PROGRAM SERVICES ACADEMIC COLLABORATIONS 47740 SOUTH AMERICA PROGRAM SERVICES ALUMNI RELATIONS 9301 SOUTH AMERICA PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 45119 SOUTH AMERICA PROGRAM SERVICES CULTURAL EXCHANGE 19102 SOUTH AMERICA 1 PROGRAM SERVICES INSTRUCTION/ TEACHING 71744 SOUTH AMERICA PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 88600 SOUTH AMERICA 3 PROGRAM SERVICES RESEARCH 492391 SOUTH AMERICA PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 94804 SOUTH AMERICA PROGRAM SERVICES STUDENT RECRUITMENT 13142 SOUTH AMERICA PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 258573 SOUTH AMERICA PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 7768 SOUTH AMERICA FUNDRAISING 8328 SOUTH AMERICA GRANTMAKING 1672613 SOUTH AMERICA INVESTMENTS 368006 SOUTH ASIA 1 PROGRAM SERVICES ACADEMIC COLLABORATIONS 214188 SOUTH ASIA PROGRAM SERVICES ALUMNI RELATIONS 14023 SOUTH ASIA PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 54800 SOUTH ASIA PROGRAM SERVICES CULTURAL EXCHANGE 17770 SOUTH ASIA PROGRAM SERVICES INSTRUCTION/ TEACHING 19016 SOUTH ASIA PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 54299 SOUTH ASIA 7 PROGRAM SERVICES RESEARCH 467359 SOUTH ASIA 1 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 138386 SOUTH ASIA PROGRAM SERVICES STUDENT RECRUITMENT 18346 SOUTH ASIA PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 74491 SOUTH ASIA FUNDRAISING 30598 SOUTH ASIA GRANTMAKING 419314 SOUTH ASIA INVESTMENTS 58105 SUB-SAHARAN AFRICA 5 PROGRAM SERVICES ACADEMIC COLLABORATIONS 172298 SUB-SAHARAN AFRICA PROGRAM SERVICES ALUMNI RELATIONS 18784 SUB-SAHARAN AFRICA PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 90856 SUB-SAHARAN AFRICA PROGRAM SERVICES CULTURAL EXCHANGE 29843 SUB-SAHARAN AFRICA PROGRAM SERVICES INSTRUCTION/ TEACHING 30334 SUB-SAHARAN AFRICA PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 12296 SUB-SAHARAN AFRICA 5 PROGRAM SERVICES RESEARCH 743040 SUB-SAHARAN AFRICA 1 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 106033 SUB-SAHARAN AFRICA PROGRAM SERVICES STUDENT RECRUITMENT 4867 SUB-SAHARAN AFRICA 2 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 180625 SUB-SAHARAN AFRICA 4 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 180174 SUB-SAHARAN AFRICA GRANTMAKING 1236618 SUB-SAHARAN AFRICA INVESTMENTS 88834569 0 3 4 201 4 204 501651 2074228228 2074729879 X CENTRAL AMERICA AND THE CARIBBEAN SUBAWARD - SPONSORED RESEARCH 71089 CHECK CENTRAL AMERICA AND THE CARIBBEAN SUBAWARD - SPONSORED RESEARCH 44727 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 16554 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 80000 ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 25152 ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 41857 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 645700 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 19118 ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 40300 ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 37433 ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 18753 ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 6282 ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 44964 ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 33835 CHECK, ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 321702 ELECTRONIC FUND OR WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 93597 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 50996 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 57563 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 78567 CHECK EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 21973 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 19310 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5229 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 15738 CHECK EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 29766 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 11797 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 15000 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 11940 CHECK EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 17230 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 14408 CHECK EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 14879 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 27747 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 17187 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 19444 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6676 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 71981 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 19305 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 122379 CHECK, ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 15484 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 11398 CHECK EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 24099 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 20629 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 11687 CHECK, ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 44296 CHECK EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 144694 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8944 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 17136 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 33423 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 50177 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 15187 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5158 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 14614 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 13195 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 47968 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5523 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 24527 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 24628 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 48319 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 13933 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 65285 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 35128 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 10628 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 10221 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6821 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 9581 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 23564 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 161098 CHECK EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 12170 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 28441 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 9461 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 57367 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 481583 CHECK EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 18307 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 34003 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 117124 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 109277 CHECK EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 30103 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 18920 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 14042 ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 156439 CHECK, ELECTRONIC FUND OR WIRE TRANSFER EUROPE (INCLUDING ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5103 ELECTRONIC FUND OR WIRE TRANSFER MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 5910 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 5766 ELECTRONIC FUND OR WIRE TRANSFER MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 22172 ELECTRONIC FUND OR WIRE TRANSFER MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 10142 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 20135 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 60802 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 46989 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 32333 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 119476 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 55308 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 69251 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 96653 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 91938 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 17707 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 427163 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 186442 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 61868 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 6206 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 61210 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 6634 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 29078 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 74398 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 57301 CHECK RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 53806 ELECTRONIC FUND OR WIRE TRANSFER RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 141261 CHECK, ELECTRONIC FUND OR WIRE TRANSFER RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 16438 ELECTRONIC FUND OR WIRE TRANSFER RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 97883 CHECK, ELECTRONIC FUND OR WIRE TRANSFER RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 84451 ELECTRONIC FUND OR WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 339838 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 40817 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 302549 ELECTRONIC FUND OR WIRE TRANSFER SOUTH ASIA SUBAWARD - SPONSORED RESEARCH 82364 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 15910 ELECTRONIC FUND OR WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 56825 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 119413 ELECTRONIC FUND OR WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 16578 ELECTRONIC FUND OR WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 20281 ELECTRONIC FUND OR WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 415157 ELECTRONIC FUND OR WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 70671 CHECK, ELECTRONIC FUND OR WIRE TRANSFER 99 20 FELLOWSHIPS CENTRAL AMERICA AND THE CARIBBEAN 12 56943 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS EAST ASIA AND THE PACIFIC 359 3842988 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS EUROPE (INCLUDING ICELAND AND GREENLAND) 112 423283 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS MIDDLE EAST AND NORTH AFRICA 25 96066 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS NORTH AMERICA 14 38139 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS RUSSIA AND THE NEWLY INDEPENDENT STATES 3 15000 CHECK FELLOWSHIPS SOUTH AMERICA 58 254880 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SOUTH ASIA 45 174422 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SUB-SAHARAN AFRICA 50 293302 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS CENTRAL AMERICA AND THE CARIBBEAN 3 3686 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS EAST ASIA AND THE PACIFIC 33 260266 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS EUROPE (INCLUDING ICELAND AND GREENLAND) 61 643151 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS MIDDLE EAST AND NORTH AFRICA 6 57053 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS NORTH AMERICA 3 57438 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS RUSSIA AND THE NEWLY INDEPENDENT STATES 5 57491 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SOUTH AMERICA 29 183738 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SOUTH ASIA 10 76802 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SUB-SAHARAN AFRICA 23 126972 ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN 6 42554 CHECK SCHOLARSHIPS EAST ASIA AND THE PACIFIC 48 383836 CHECK SCHOLARSHIPS EUROPE (INCLUDING ICELAND AND GREENLAND) 376 3539661 CHECK SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 12 78402 CHECK SCHOLARSHIPS NORTH AMERICA 3 23790 CHECK SCHOLARSHIPS RUSSIA AND THE NEWLY INDEPENDENT STATES 12 105004 CHECK SCHOLARSHIPS SOUTH AMERICA 58 535572 CHECK SCHOLARSHIPS SOUTH ASIA 8 75072 CHECK SCHOLARSHIPS SUB-SAHARAN AFRICA 19 83643 CHECK GRANTS - OTHER BENEFITS EAST ASIA AND THE PACIFIC 56 60599 CHECK GRANTS - OTHER BENEFITS EUROPE (INCLUDING ICELAND AND GREENLAND) 52 91256 CHECK GRANTS - OTHER BENEFITS MIDDLE EAST AND NORTH AFRICA 3 6166 CHECK GRANTS - OTHER BENEFITS NORTH AMERICA 1 761 CHECK GRANTS - OTHER BENEFITS RUSSIA AND THE NEWLY INDEPENDENT STATES 3 4566 CHECK GRANTS - OTHER BENEFITS SOUTH AMERICA 10 15220 CHECK GRANTS - OTHER BENEFITS SOUTH ASIA 7 10654 CHECK GRANTS - OTHER BENEFITS SUB-SAHARAN AFRICA 12 17865 CHECK 1 1 1 1 1 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: WITH RESPECT TO SPONSORED PROJECT ACTIVITY SUBCONTRACTED TO OTHER ENTITIES, THE UNIVERSITY'S POLICIES AND PROCEDURES FOR MONITORING GRANTS ARE INTENDED TO ESTABLISH APPROPRIATE AND EFFECTIVE MECHANISMS TO PROMOTE COMPLIANCE WITH FEDERAL AND NON-FEDERAL REQUIREMENTS AND ENSURE THAT THE UNIVERSITY AND ITS SPONSORS RECEIVE VALUE FOR FUNDS EXPENDED. THE PROCEDURES INCLUDE A FORMAL APPROVAL PROCESS FOR SUBAWARDS, PRE-AWARD AND POST-AWARD MONITORING OF SUB RECIPIENTS TO REVIEW THE FINANCIAL STATUS AND MANAGEMENT CONTROLS, COMPLIANCE CERTIFICATIONS RELATIVE TO THE USE OF HUMAN SUBJECTS AND ANIMALS, AND REQUIRED DISCLOSURE OF ANY CONFLICT OF INTEREST WITH A SUB RECIPIENT ENTITY AND A REVIEW OF PERTINENT OTHER ORGANIZATION INFORMATION. IN ACCORDANCE WITH THESE PROCEDURES, THE UNIVERSITY REVIEWS THE SUB RECIPIENT'S ADMINISTRATION, BILLINGS AND SCIENTIFIC PROGRESS OF AN ACTIVE SUBAWARD AND CONDUCTS ON-GOING RISK ASSESSMENTS AS WELL AS QUARTERLY QUALITY ASSURANCE REVIEWS ON RANDOMLY SELECTED SUBAWARDS. THESE PROCEDURES SERVE TO ENSURE THAT THE SUBAWARDS ARE USED FOR PROPER PURPOSES AND NOT DIVERTED FROM THEIR INTENDED USE. THE UNIVERSITY PROVIDES STUDENTS WITH MANY FELLOWSHIP OPPORTUNITIES TO FUND RESEARCH, INDEPENDENT PROJECTS, INTERNSHIPS, VOLUNTEER WORK, COMMUNITY SERVICE, AND STUDY ABROAD. RECIPIENTS ARE SELECTED BASED ON AN APPLICATION, INCLUDING A PROPOSAL, ESSAYS, BUDGET, ACADEMIC RECORD, AND INTERVIEW, AS APPLICABLE. IN MOST CASES, THE TERMS OF THE AWARD REQUIRE THAT THE RECIPIENT PREPARE AND PRESENT A REPORT OF THE FELLOWSHIP ACTIVITY. FURTHER, CERTAIN FELLOWSHIP RECIPIENTS ARE REQUIRED TO DOCUMENT EXPENSES TO VERIFY THAT THE FELLOWSHIP WAS USED FOR THE PURPOSE INTENDED. SUCH DOCUMENTATION MAY INCLUDE COPIES OF PLANE TICKETS AND BOARDING PASSES, COPIES OF VISAS, RECEIPTS FOR TUITION, LETTERS FROM ORGANIZATIONS VERIFYING THE INTERNSHIP AND DATES, ETC., AS APPROPRIATE. SCHEDULE F, PART I, LINE 3: PURSUANT TO THE FORM INSTRUCTIONS, THE FOLLOWING IS A BREAKOUT OF AMOUNTS PROVIDED AS INVESTMENTS: INVESTMENTS EXPENDITURES CENTRAL AMERICA AND THE CARIBBEAN 1,630,745,105 3,123,560 EAST ASIA AND THE PACIFIC 0 140,808 EUROPE (INCLUDING ICELAND & GREENLAND) 264,791,067 2,986,275 NORTH AMERICA 35,245,679 28,765 SOUTH AMERICA 0 368,006 SOUTH ASIA 0 58,105 SUB-SAHARAN AFRICA 88,834,569 0 SCHEDULE F, PART II, LINE 2: THE TOTAL NUMBER REPORTED ON LINE 2 INCLUDES THE NUMBER OF TAX EXEMPT ORGANIZATIONS AND PUBLIC INSTITUTIONS. SCHEDULE F, PART II A SUBAWARD IS AN AWARD FROM THE UNIVERSITY TO A QUALIFIED THIRD PARTY PRIMARILY TO PERFORM RESEARCH AND OTHER RELATED PROGRAMMATIC EFFORTS UNDER A SPONSORED RESEARCH PROJECT. EXPLANATION FOR ESTIMATED NUMBER OF RECIPIENTS: SCHEDULE F, PART III, COL (C): (D): THE AMOUNTS REPORTED IN COLUMNS (C) AND (D) REPRESENT AN ESTIMATE OF TOTAL AWARDS FOR THE FISCAL YEAR ENDED JUNE 30, 2012 BASED ON INFORMATION PROVIDED BY THE UNIVERSITY'S UNDERGRADUATE, GRADUATE AND PROFESSIONAL SCHOOLS. SOME STUDENTS RECEIVED MORE THAN ONE AWARD DURING THE FISCAL YEAR ENDED JUNE 30, 2012. SCHEDULE F, PART IV, LINE 6: THE UNIVERSITY DOES NOT BELIEVE THAT IT HAS "OPERATIONS" IN OR RELATED TO BOYCOTTING COUNTRIES, HOWEVER, AS A PROTECTIVE MEASURE, THE UNIVERSITY DOES FILE FORM 5713. 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SPONSORED RESEARCH WAYNE STATE UNIVERSITY 60 W HANCOCK DETROIT MI 48201 386028429 501(C )(3) 663812 SUBAWARD - SPONSORED RESEARCH WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 575 LEXINGTON AVE 9TH FLR NEW YORK NY 10022 131623978 501(C )(3) 53922 SUBAWARD - SPONSORED RESEARCH WESLEYAN UNIVERSITY 237 HIGH ST MIDDLETOWN CT 06459 060646959 501(C )(3) 73576 SUBAWARD - SPONSORED RESEARCH WESTAT CORPORATION PO BOX 1004 ROCKVILLE MD 20850 840529566 132177 SUBAWARD - SPONSORED RESEARCH WILLIAMS COLLEGE 880 MAIN STREET WILLIAMSTOWN MA 01267 042104847 501(C )(3) 56730 SUBAWARD - SPONSORED RESEARCH WINIFRED MAST BURKE REHAB HOSP INC 785 MAMARONECK AVE ROOM G-31A WHITE PLAINS NY 10605 131739937 501(C )(3) 15358 SUBAWARD - SPONSORED RESEARCH WOMEN AND INFANTS HOSPITAL OF RHODE ISLAND 300 RICHMOND ST PROVIDENCE RI 02905 050258937 501(C )(3) 34089 SUBAWARD - SPONSORED RESEARCH NEW HAVEN COMMUNITY MEDICAL GROUP INC 1224 MAIN STREET LOCKWORKS SQUARE BRANFORD CT 06405 061201412 19788 SUBAWARD - SPONSORED RESEARCH YALE NEW HAVEN HEALTH SYSTEM ONE CHURCH STREET 5TH FLOOR NEW HAVEN CT 06510 222529464 501(C )(3) 26040 SUBAWARD - SPONSORED RESEARCH CITY OF NEW HAVEN - VOLUNTARY PAYMENT 200 ORANGE STREET NEW HAVEN CT 06510 066001876 170(B)(1)(A)(V) 8119165 CONTRIBUTION CITY OF WEST HAVEN - VOLUNTARY PAYMENT 355 MAIN STREET WEST HAVEN CT 06516 066002126 170(B)(1)(A)(V) 501827 CONTRIBUTION DWIGHT HALL 67 HIGH STREET NEW HAVEN CT 06510 060653140 501(C)(3) 40531 CONTRIBUTION INTERNATIONAL FESTIVAL OF ARTS AND IDEAS 195 CHURCH STREET NEW HAVEN CT 06510 061444222 501(C)(3) 100000 CONTRIBUTION TOWN GREEN SPECIAL SERVICES DISTRICT 171 ORANGE STREET NEW HAVEN CT 06510 061467274 170(B)(1)(A)(V) 49856 CONTRIBUTION TOWN OF ORANGE - VOLUNTARY PAYMENT 617 ORANGE CENTER ROAD ORANGE CT 06477 066002060 170(B)(1)(A)(V) 125457 CONTRIBUTION UNITED WAY OF GREATER NEW HAVEN INC 370 JAMES STREET NEW HAVEN CT 06513 060646761 501(C)(3) 100000 CONTRIBUTION UNITED JEWISH APPEAL FEDERATION OF NEW YORK INC 130 EAST 59TH STREET NEW YORK NY 100221302 510172429 501(C )(3) 50000 DAF DISTRIBUTION JCC NURSERY SCHOOL OF MID WESTCHESTER INC 999 WILMOT ROAD SCARSDALE NY 10583 133666347 501(C )(3) 50000 DAF DISTRIBUTION DOROT INC 171 WEST 85TH STREET NEW YORK NY 10024 133264005 501(C )(3) 50000 DAF DISTRIBUTION ABILIS COMMUNITY FOUNDATION INC 50 GLENVILLE STREET GREENWICH CT 06831 061331293 501(C )(3) 50000 DAF DISTRIBUTION DONORS TRUST INC 109 NORTH HENRY STREET ALEXANDRIA VA 22314 522166327 501(C )(3) 200000 DAF DISTRIBUTION DOCTORS WITHOUT BORDERS USA INC 333 SEVENTH AVENUE NO 2ND FL NEW YORK NY 100015004 133433452 501(C )(3) 6000 DAF DISTRIBUTION 240 33 STIPENDS 3859 64102254 SCHOLARSHIPS 7714 0 240255094 COST TUITION REDUCTION HEALTH PREMIUM AWARDS 2355 0 8363613 COST HEALTHCARE FELLOWSHIPS 743 4784784 0 PRIZES AND AWARDS 1250 2240494 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: WITH RESPECT TO SPONSORED PROJECT ACTIVITY SUBCONTRACTED TO OTHER ENTITIES, THE UNIVERSITY'S POLICY AND PROCEDURES FOR MONITORING GRANTS ARE INTENDED TO ESTABLISH APPROPRIATE AND EFFECTIVE MECHANISMS TO PROMOTE COMPLIANCE WITH FEDERAL AND NON-FEDERAL REQUIREMENTS AND ENSURE THAT THE UNIVERSITY AND ITS SPONSORS RECEIVE VALUE FOR FUNDS EXPENDED. THESE PROCEDURES INCLUDE A FORMAL APPROVAL PROCESS FOR SUBAWARDS, PRE-AWARD AND POST-AWARD MONITORING OF SUB RECIPIENTS TO REVIEW THE FINANCIAL STATUS AND MANAGEMENT CONTROLS, COMPLIANCE CERTIFICATIONS RELATIVE TO THE USE OF HUMAN SUBJECTS AND ANIMALS, AND REQUIRED DISCLOSURE OF ANY CONFLICT OF INTEREST WITH A SUB RECIPIENT ENTITY AND A REVIEW OF PERTINENT OTHER ORGANIZATION INFORMATION. IN ACCORDANCE WITH THESE PROCEDURES, THE UNIVERSITY REVIEWS THE SUB RECIPIENT'S ADMINISTRATION, BILLINGS AND SCIENTIFIC PROGRESS OF AN ACTIVE SUBAWARD AND CONDUCTS ON-GOING RISK ASSESSMENTS AS WELL AS QUARTERLY QUALITY ASSURANCE REVIEWS ON RANDOMLY SELECTED SUBAWARDS. THE PROCEDURES SERVE TO ENSURE THAT THE SUBAWARDS ARE USED FOR PROPER PURPOSES AND NOT DIVERTED FROM THEIR INTENDED USE. THE UNIVERSITY PROVIDES STUDENTS WITH MANY FELLOWSHIP OPPORTUNITIES TO FUND RESEARCH, INDEPENDENT PROJECTS, INTERNSHIPS, VOLUNTEER WORK, COMMUNITY SERVICE, AND STUDY ABROAD. AWARD RECIPIENTS ARE SELECTED BASED ON AN APPLICATION, INCLUDING A PROPOSAL, ESSAYS, BUDGET, ACADEMIC RECORD, AND INTERVIEW, AS APPLICABLE. IN MOST CASES, THE TERMS OF THE AWARD REQUIRE THAT THE RECIPIENT PREPARE AND PRESENT A REPORT OF THE FELLOWSHIP ACTIVITY. FURTHER, CERTAIN FELLOWSHIP RECIPIENTS ARE REQUIRED TO DOCUMENT EXPENSES TO VERIFY THAT THE FELLOWSHIP WAS USED FOR THE PURPOSE INTENDED. SUCH DOCUMENTATION MAY INCLUDE COPIES OF PLANE TICKETS AND BOARDING PASSES, COPIES OF VISAS, RECEIPTS FOR TUITION, LETTERS FROM ORGANIZATIONS VERIFYING THE INTERNSHIP AND DATES, ETC., AS APPROPRIATE. SCHEDULE I, PART II A SUBAWARD IS AN AWARD FROM THE UNIVERSITY TO A QUALIFIED THIRD PARTY PRIMARILY TO PERFORM RESEARCH AND OTHER RELATED PROGRAMMATIC EFFORTS UNDER A SPONSORED RESEARCH PROJECT. SCHEDULE I, PART III THE AMOUNTS REPORTED IN PART III REPRESENT AN ESTIMATE OF TOTAL AWARDS FOR THE FISCAL YEAR ENDED JUNE 30, 2012 BASED ON INFORMATION PROVIDED BY THE UNIVERSITY'S UNDERGRADUATE, GRADUATE AND PROFESSIONAL SCHOOLS. SOME STUDENTS RECEIVED MORE THAN ONE AWARD DURING THE FISCAL YEAR ENDED JUNE 30, 2012. X X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 1 1 RICHARD C LEVIN 1051008 0 0 0 160331 0 424505 0 16699 0 1652543 0 0 0 BRUCE D ALEXANDER 439208 0 0 0 48436 0 28892 0 16743 0 533279 0 0 0 SHAUNA R KING 492652 0 0 0 27285 0 27955 0 7110 0 555002 0 0 0 LINDA K LORIMER 502325 0 25000 0 16500 0 125449 0 25382 0 694656 0 0 0 MICHAEL A PEEL 441602 0 0 0 61028 0 28892 0 17577 0 549099 0 0 0 INGEBORG T REICHENBACH 432772 0 50000 0 116496 0 28893 0 13115 0 641276 0 0 0 DOROTHY K ROBINSON 489622 0 0 0 16500 0 100321 0 8843 0 615286 0 0 0 PETER SALOVEY 513629 0 0 0 16500 0 27955 0 14078 0 572162 0 0 0 ROBERT J ALPERN 746302 0 0 0 16500 0 27955 0 18001 0 808758 0 0 0 JOHN H BOLLIER 331004 0 0 0 0 0 28372 0 19230 0 378606 0 0 0 SCOTT A STROBEL 337941 0 0 0 16500 0 35042 0 26765 0 416248 0 0 0 DAVID F SWENSEN 764177 0 1508096 0 243225 0 425072 0 31210 0 2971780 0 0 0 DEAN J TAKAHASHI 581969 0 1131072 0 176700 0 200811 0 17334 0 2107886 0 0 0 KHALID M ABBED 233390 0 982373 0 0 0 27955 0 26523 0 1270241 0 0 0 JOHN A ELEFTERIADES 490917 0 544346 0 0 0 27955 0 25942 0 1089160 0 0 0 SUKRU H EMRE 629501 0 363708 0 16500 0 27955 0 30157 0 1067821 0 0 0 DAVID J LEFFELL 724824 0 685852 0 16500 0 27955 0 24664 0 1479795 0 0 0 THOMAS J RUTHERFORD 254914 0 975800 0 0 0 29381 0 10623 0 1270718 0 0 0 SUSAN L CARNEY 106268 0 0 0 8250 0 15000 0 25762 0 155280 0 0 0 MICHAEL J DONOGHUE 275185 0 0 0 16500 0 27955 0 22016 0 341656 0 0 0 PART I, LINE 1A PART I, LINE 1A: EACH ONE OF THE BENEFITS THAT WAS CHECKED WAS PROVIDED PURSUANT TO A WRITTEN POLICY. FIRST-CLASS OR CHARTER TRAVEL: ON OCCASION DURING THE CALENDAR YEAR 2011, THE UNIVERSITY CHARTERED PRIVATE AIRCRAFT WHEN DEEMED NECESSARY FOR THE CONDUCT OF UNIVERSITY BUSINESS, PURSUANT TO A CORPORATION POLICY. CERTAIN OFFICERS AND ONE SPOUSE TRAVELLED ON SUCH FLIGHTS IN 2011 IN ACCORDANCE WITH THE POLICY. IN ADDITION, ONE HIGHLY COMPENSATED EMPLOYEE TRAVELLED ON TWO FIRST CLASS FLIGHTS DURING 2011 DUE TO SPECIAL CIRCUMSTANCES AND AS PERMITTED PURSUANT TO UNIVERSITY POLICY. UNDER APPLICABLE RULES, AMOUNTS FOR SUCH TRAVEL WERE NOT REPORTED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. TRAVEL FOR COMPANIONS: THE SPOUSE OF ONE OFFICER ON ONE OCCASION ACCOMPANIED THE OFFICER ON UNIVERSITY BUSINESS. THE PRIMARY PURPOSE OF THE TRAVEL WAS TO CONDUCT UNIVERSITY BUSINESS BY REPRESENTING THE UNIVERSITY AT OFFICIAL FUNCTIONS. UNDER APPLICABLE RULES, THE COST OF TRAVEL WAS NOT REQUIRED TO BE REPORTED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUAL. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: THREE OFFICERS RECEIVED TAX GROSS-UP PAYMENTS DURING THE CALENDAR YEAR 2011 FOR CERTAIN LIMITED TAXABLE BENEFITS BASED ON THEIR ESTIMATED RELATED TAX OBLIGATIONS. THESE PAYMENTS WERE TREATED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE: TWO OFFICERS WERE PROVIDED UNIVERSITY RESIDENCES FOR PERSONAL USE DURING THE CALENDAR YEAR 2011. THE VALUES OF THE RESIDENCES WERE DETERMINED PURSUANT TO IRC SECTION 119(D), AS REQUIRED, AND TREATED AS TAXABLE COMPENSATION. HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES: THE UNIVERSITY PAID ANNUAL CLUB DUES FOR ONE OFFICER. THE AMOUNT WAS TREATED AS TAXABLE COMPENSATION. PART I, LINE 4B PART I, LINE 4B: CERTAIN LISTED PERSONS PARTICIPATED IN SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS DURING THE CALENDAR YEAR 2011 AS DESCRIBED BELOW: THE UNIVERSITY HAS AGREED TO SUPPLEMENT THE PRESIDENT'S RETIREMENT INCOME BY PROVIDING AN ADDITIONAL RETIREMENT BENEFIT EQUAL IN VALUE TO 75% OF HIS FINAL SALARY AS PRESIDENT FOR A POST-RETIREMENT TERM OF 20 YEARS MINUS THE ANNUITY VALUE OF OTHER EMPLOYER-PROVIDED RETIREMENT BENEFITS, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY. THE UNIVERSITY HAS ALSO AGREED TO SUPPLEMENT THE RETIREMENT INCOME FOR TWO KEY EMPLOYEES IN THE INVESTMENTS OFFICE AND TWO SENIOR OFFICERS BY PROVIDING AN ADDITIONAL RETIREMENT BENEFIT EQUAL IN VALUE TO UP TO 30% OF SALARY IN THE CASE OF THE TWO KEY EMPLOYEES IN THE INVESTMENTS OFFICE, AND UP TO 25% IN THE CASE OF THE TWO SENIOR OFFICERS, AT VESTING FOR A TERM OF 20 YEARS, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY. AN ANNUAL ACCRUAL FOR THESE BENEFITS, PREVIOUSLY APPROVED BY THE UNIVERSITY BASED UPON SERVICE OF THE INDIVIDUALS, IS INCLUDED IN SCHEDULE J, PART II, COLUMN (C). IN ADDITION, THE UNIVERSITY AWARDED BONUSES TO TWO KEY EMPLOYEES TAXED IN 2011, SUBJECT TO DEFERRED PAYMENT WITH ADJUSTMENTS UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE ENDOWMENT. THE BONUSES FOR 2011 ARE INCLUDED IN SCHEDULE J, PART II, COLUMN (B)(III). SCHEDULE J, PART I, LINE 7: THE UNIVERSITY PAID TWO KEY EMPLOYEES IN THE INVESTMENTS OFFICE BONUSES AWARDED UNDER A LONG TERM INCENTIVE COMPENSATION PLAN WHICH PROVIDES FOR PAYMENTS WHICH ARE BASED ON QUALITATIVE AND QUANTITATIVE PERFORMANCE FACTORS. THE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). THE UNIVERSITY ALSO PAID FIVE HIGHLY COMPENSATED EMPLOYEES ADDITIONAL COMPENSATION PURSUANT TO CLINICAL INCENTIVE PLANS. THE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). IN ADDITION, TWO OFFICERS OF THE UNIVERSITY RECEIVED DISCRETIONARY PERFORMANCE BONUSES APPROVED IN ACCORDANCE WITH THE PROCEDURE DESCRIBED IN SCHEDULE O, PART VI, SECTION B, LINE 15. THESE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). SCHEDULE J, PART I, LINE 8: THERE WERE THREE OFFICERS AND TWO CURRENT OR FORMER KEY EMPLOYEES WITH RESPECT TO WHOM AMOUNTS WERE REPORTED IN PART VII WHERE THOSE AMOUNTS WERE PAID OR ACCRUED PURSUANT TO A CONTRACT THAT WAS SUBJECT TO THE INITIAL CONTRACT EXCEPTION DESCRIBED IN REGS. SECTION 53.4958-4(A)(3). IN EACH INSTANCE, THE COMPENSATION WAS ALSO APPROVED PURSUANT TO PROCESSES CONSISTENT WITH THE REBUTTABLE PRESUMPTION PROCEDURE DESCRIBED IN REGS. SECTION 53.4958-6(C). SUPPLEMENTAL INFORMATION PART III SCHEDULE J, PART II (GENERAL NOTES): COLUMN (D): IN ADDITION TO THE EMPLOYER COST OF HEALTH, DENTAL AND OTHER NONTAXABLE BENEFITS AVAILABLE ON A NONDISCRIMINATORY BASIS, COLUMN (D) INCLUDES AMOUNTS AWARDED AS SCHOLARSHIP GRANTS TO CHILDREN OF EMPLOYEES UNDER THE UNIVERSITY'S NONDISCRIMINATORY QUALIFIED TUITION REDUCTION PLAN COVERING ALL ELIGIBLE FACULTY AND STAFF WITH SIX OR MORE YEARS OF SERVICE. STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774LYY5 2003-01-08 100000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774LZC2 2003-01-08 250000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774L6B6 2005-10-05 211030000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774L6C4 2005-10-05 100000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 101210745 101210745 2007 0 0 1 1 252221323 252221323 2009 0 0 1 1 219949777 219949777 2012 0 0 1 1 104887356 104887356 2012 0 0 1 1 0 1 1 1 1 0 0.00000 0.00000 0.00000 1 0 1 1 1 1 0 0.00100 0.00000 0.00100 1 0 1 1 1 1 0 0.00100 0.00000 0.00100 1 0 1 1 1 1 0 0.00000 0.00100 0.00100 1 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 0 0 1 0 1 0 0 0 1 X SCHEDULE K, PART I, BOND ISSUE: CHEFA BONDS ISSUED 2/24/2010 (CUSIP# 20774UU60) - AND TO DEFEASE CHEFA SERIES W BONDS ISSUED 4/2002. SCHEDULE K, PART II, LINE 3: TOTAL PROCEEDS OF ISSUE REPRESENT THE ISSUE PRICE (PART I, COLUMN (E)) PLUS ANY INVESTMENT EARNINGS. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 3D: DURING THE 12-MONTH PERIOD USED TO REPORT ON THE BOND ISSUES, THE ORGANIZATION ROUTINELY REVIEWED RESEARCH AGREEMENTS RELATING TO THE FINANCED PROPERTY FOR PRIVATE BUSINESS USE, USING EITHER IN-HOUSE COUNSEL, OUTSIDE COUNSEL, OR PROFESSIONAL CONTRACT REVIEWERS TRAINED BY COUNSEL. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 4-5: IN CERTAIN CASES, A BOND ISSUE WITH AN ENTRY OF .00% MAY HAVE FINANCED PROPERTY WITH SOME PRIVATE BUSINESS USE. IN EACH OF THESE CASES, THE PRIVATE BUSINESS USE PERCENTAGE OF THE BOND ISSUE WAS LESS THAN 0.05% AS THE AMOUNTS ARE ROUNDED TO THE NEAREST TENTH OF A PERCENTAGE POINT, PURSUANT TO THE INSTRUCTIONS. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 4-6, BOND C, SECOND PAGE - CHEFA BONDS ISSUED 02/24/10 (CUSIP# 20774UU60): A PORTION OF THE BOND ISSUE WAS A CURRENT REFUNDING OF A PRE-2003 ISSUE, ONLY THE PRIVATE BUSINESS USE PERTAINING TO THE NEW MONEY PORTION OF THE 02/24/10 ISSUE IS REPORTED. SCHEDULE K, PART IV, ARBITRAGE, QUESITON 2, BOND B, SECOND PAGE - CHEFA BOND ISSUDED 10/04/07 (CUSIP# 20774UPQ2): PURSUANT TO THE INSTRUCTIONS FOR PART IV, QUESTION 2, A VARIABLE RATE ISSUE IS AN ISSUE CONTAINING A BOND WITH A YIELD NOT FIXED AND DETERMINABLE ON THE ISSUE DATE. THE BOND ISSUE WAS CONVERTED TO A FIXED RATE IN 2008. SCHEDULE K, PART IV, ARBITRAGE, QUESTION 6, BOND A, FIRST PAGE - CHEFA BONDS ISSUED 01/08/03 (CUSIP# 20774LYY5): A PORTION OF THE BOND ISSUE RELATING TO THE CONSTRUCTION FUND IS SUBJECT TO REBATE. THE REBATE LIABILITY COMPUTED AT THE FIRST COMPUTATION DATE OF JANUARY 7, 2008 WAS NEGATIVE. IT IS NOT ANTICIPATED THAT THERE WILL BE POSITIVE LIABILITIES IN THE FUTURE. SCHEDULE K, PART IV, ARBITRAGE, QUESTION 6, BOND C, SECOND PAGE - CHEFA BONDS ISSUED 02/24/10(CUSIP# 20774UU60): A PORTION OF THE BOND ISSUE RELATING TO THE CONSTRUCTION FUND IS SUBJECT TO REBATE. THE REBATE LIABILITY COMPUTED THROUGH JUNE 30, 2012 WAS NEGATIVE. STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UPP4 2007-10-04 414292000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UPQ2 2007-10-04 200000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UU60 2010-02-24 579984034 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 424106796 424106796 2012 0 0 1 1 204478448 204478448 2012 0 0 1 1 580159909 89516817 466033898 24609194 1 0 0 1 0 1 1 1 1 0 0.00000 0.00000 0.00000 1 0 1 1 1 1 0 0.00100 0.00000 0.00100 1 0 1 1 1 1 0 0.00800 0.00000 0.00800 1 0 0 0 0 0 1 0 1 0 0 0 1 0 1 0 0 0 0 ROBERT BLOCKER HOUSING X 200000 58334 0 0 1 MARK LAFONTAINE HOUSING X 150000 85515 0 0 1 T KYLE VANDERLICK HOUSING X 100000 100000 0 0 1 T KYLE VANDERLICK HOUSING X 300000 30000 0 0 1 ROBERT POST HOUSING X 250000 196720 0 0 1 ROBERT POST HOUSING X 250000 250000 0 0 1 720569 SCHOLARSHIP GRANTS 37205 ABBOTT LABORATORIES (SEE PART V) ROBERT ALPERN, A KEY EMPLOYEE, IS A DIRECTOR 271543 (SEE PART V) PURCHASE OF LABORATORY SUPPLIES IN THE ORDINARY COURSE OF BUSINESS SHOWN. IN ADDITION, THE UNIVERSITY RECEIVED SPONSORED RESEARCH REVENUE, CLINICAL TRIAL INCOME, AND ROYALTY INCOME OF $1,306,525. 0 AMERICAN EXPRESS (SEE PART V) PRESIDENT LEVIN IS A DIRECTOR 1870468 (SEE PART V) PURCHASE OF TRAVELERS CHECKS AND TRAVEL SERVICE FEES PAID IN THE ORDINARY COURSE OF BUSINESS. 0 ASSET VALUE INVESTORS (SEE PART V) DAVID SWENSEN, A KEY EMPLOYEE, IS A DIRECTOR 2734352 (SEE PART V) MANAGEMENT AND INCENTIVE FEES PAID IN THE ORDINARY COURSE OF BUSINESS. 0 GENERAL ELECTRIC COMPANY (SEE PART V) DOUGLAS WARNER III, A TRUSTEE, IS A DIRECTOR 495502 (SEE PART V) SPONSORED RESEARCH REVENUE RECEIVED BY THE UNIVERSITY SHOWN. IN ADDITION, THE UNIVERSITY PAID $3,691,151 FOR SYSTEM MAINTENANCE AND SUPPORT FEES AND OTHER GOODS AND SERVICES IN THE ORDINARY COURSE OF BUSINESS. 0 PEPSICO (SEE PART V) INDRA NOOYI, A TRUSTEE, IS CHAIRMAN AND CEO 396318 (SEE PART V) FOOD AND BEVERAGE PURCHASES FROM PEPSICO AND ITS DIVISIONS IN THE ORDINARY COURSE OF BUSINESS. 0 SUTTER HILL VENTURES LP (SEE PART V) G. LEONARD BAKER, JR., A TRUSTEE, IS A PARTNER 5957724 (SEE PART V) CAPITAL CONTRIBUTIONS SHOWN. IN ADDITION, THE UNIVERSITY PAID $25,865 IN MANAGEMENT FEES AND RECEIVED DISTRIBUTIONS OF $36,583,379. 0 THE MCGRAW-HILL COMPANIES (SEE PART V) LINDA LORIMER, AN OFFICER, IS A DIRECTOR 271247 (SEE PART V) S&P RATINGS AND PUBLICATION PURCHASES IN THE ORDINARY COURSE OF BUSINESS. 0 RACHELLE ALPERN (SEE PART V) FAMILY MEMBER OF ROBERT ALPERN, A KEY EMPLOYEE 54270 (SEE PART V) COMPENSATION AND BENEFITS, COORDINATOR, SCHOOL OF PUBLIC HEALTH. 0 JANE LEVIN (SEE PART V) SPOUSE OF PRESIDENT LEVIN 141215 (SEE PART V) COMPENSATION AND BENEFITS, INCLUDING FACULTY SERVICES AS SENIOR LECTURER. 0 PATRICIA PREISIG (SEE PART V) SPOUSE OF ROBERT ALPERN, A KEY EMPLOYEE 179015 (SEE PART V) COMPENSATION AND BENEFITS, PROFESSOR, MEDICINE (NEPHROLOGY) AND CELLULAR AND MOLECULAR PHYSIOLOGY. 0 WENDY SHARP (SEE PART V) SPOUSE OF DEAN TAKAHASHI, A KEY EMPLOYEE 89452 (SEE PART V) COMPENSATION AND BENEFITS, DIRECTOR OF CHAMBER MUSIC, LECTURER SCHOOL OF MUSIC. 0 ALEX SWENSEN (SEE PART V) FAMILY MEMBER OF DAVID SWENSEN, A KEY EMPLOYEE 8000 (SEE PART V) PAYMENT FOR PROFESSIONAL SERVICES. 0 SCHEDULE L, PART II LOANS TO AND/OR FROM INTERESTED PERSONS: ALL LOANS REPORTED ON SCHEDULE L, PART II WERE MADE AND APPROVED PURSUANT TO UNIVERSITY COMPENSATION POLICIES. SCHEDULE L, PART III GRANTS OR ASSISTANCE BENEFITING INTERESTED PERSONS: THE SCHOLARSHIP GRANTS REPRESENT AMOUNTS AWARDED TO CHILDREN OF INTERESTED PERSONS UNDER THE UNIVERSITY'S NONDISCRIMINATORY QUALIFIED TUITION REDUCTION PLAN COVERING ALL ELIGIBLE FACULTY AND STAFF WITH SIX OR MORE YEARS OF SERVICE. SCHEDULE L, PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: TRANSACTIONS WITH ENTITIES WHOLLY OWNED, DIRECTLY OR INDIRECTLY, AND LISTED ON SCHEDULE R ARE NOT REPORTED ALTHOUGH YALE OFFICERS OR KEY EMPLOYEES MAY SERVE (WITHOUT COMPENSATION) AS OFFICERS OR DIRECTORS OF SUCH ENTITIES. X 111 0 X 829 63795709 FAIR VALUE X 3 3986291 SALE OF COMP. PROPERTY X 1 0 X 2 0 X 20 0 X EQUIPMENT 4 0 X MUSICAL INSTRUMENTS AND EQUIPMENT 4 0 110 0 1 1 METHOD FOR DETERMINING NUMBER OF CONTRIBUTORS: PART I, COLUMN (B): AMOUNTS REPRESENT THE NUMBER OF NON-CASH CONTRIBUTIONS RECEIVED AND RECORDED IN THE CENTRAL CONTRIBUTION DATABASE OF THE UNIVERSITY. THIRD PARTY USE: PART I, LINE 32B: OCCASIONALLY, THE UNIVERSITY ENGAGES THIRD PARTIES (E.G., REAL ESTATE BROKERS, AUCTION HOUSES, ETC.) TO SELL CERTAIN NON-CASH CONTRIBUTIONS. RELATED ORGANIZATIONS IN THE UNITED KINGDOM AND HONG KONG SOLICIT CONTRIBUTIONS FOR THE BENEFIT OF THE UNIVERSITY AND ITS PROGRAMS. NON REPORTING OF REVENUE: PART I, LINE 33: PURSUANT TO ACCOUNTING STANDARDS CODIFICATION 958 (ASC 958), THE UNIVERSITY DOES NOT CAPITALIZE ITS COLLECTIONS, INCLUDING WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES AND ARTIFACTS THAT ARE MAINTAINED IN ITS MUSEUMS AND LIBRARIES. NON-CASH CONTRIBUTIONS OF THIS NATURE ARE, THEREFORE, NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH AND THE FURTHERANCE OF PUBLIC SERVICE. OTHER NON-CASH CONTRIBUTIONS WITH NO READILY ASCERTAINABLE FAIR VALUE OR WHICH ARE DEEMED IMMATERIAL ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. DESCRIPTION OF ORGANIZATION MISSION: FORM 990, PART III, LINE 1 YALE HAS A TRIPARTITE MISSION: TO CREATE, PRESERVE, AND DISSEMINATE KNOWLEDGE. YALE AIMS TO CARRY OUT EACH PART OF ITS MISSION AT THE HIGHEST LEVEL OF EXCELLENCE, ON PAR WITH THE BEST INSTITUTIONS IN THE WORLD. YALE SEEKS TO ATTRACT A DIVERSE GROUP OF EXCEPTIONALLY TALENTED MEN AND WOMEN FROM ACROSS THE NATION AND AROUND THE WORLD AND TO EDUCATE THEM FOR LEADERSHIP IN SCHOLARSHIP, THE PROFESSIONS, AND SOCIETY. FORM 990, PART VI, SECTION A, LINE 1 THERE ARE TWO EX-OFFICIO TRUSTEES, THE GOVERNOR OF CONNECTICUT AND THE LIEUTENANT GOVERNOR OF CONNECTICUT. HISTORICALLY, THESE INDIVIDUALS DO NOT PARTICIPATE IN GOVERNANCE ACTIVITIES AT THE UNIVERSITY, AND THEY ARE REPORTED AS INDEPENDENT. FORM 990, PART VI, SECTION A, LINE 2 DOROTHY K. ROBINSON AND DAVID F. SWENSEN WERE TRUSTEES OF TIAA, WHICH IS A VENDOR TO SEVERAL YALE UNIVERSITY EMPLOYEE BENEFIT PLANS. FORM 990, PART VI, SECTION A, LINE 4 DURING THE FISCAL YEAR ENDED 6/30/12, THE CORPORATION BY-LAWS WERE AMENDED TO ESTABLISH THE POSITION OF VICE PRESIDENT OF THE UNIVERSITY, AND TO REALIGN CERTAIN RESPONSIBILITIES AMONG THE OFFICERS. FORM 990, PART VI, SECTION A, LINE 7A THE GOVERNING BODY INCLUDES SIX ALUMNI TRUSTEES WHO ARE ELECTED BY THE ALUMNI. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 WAS REVIEWED BY SENIOR MANAGEMENT. IN ADDITION, THE CORPORATION AUDIT COMMITTEE, COMPRISED OF FOUR MEMBERS OF THE UNIVERSITY'S GOVERNING BODY, MET WITH MEMBERS OF SENIOR MANAGEMENT AND THE SENIOR DIRECTOR TAX AND INTERNATIONAL COMPLIANCE TO REVIEW THE FORM 990 PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE YALE UNIVERSITY CONFLICT OF INTEREST POLICY OBLIGATES EACH OFFICER, TRUSTEE, AND KEY EMPLOYEE TO PROMPTLY DISCLOSE ANY ACTUAL OR POTENTIAL CONFLICT OF INTEREST AS DEFINED IN THE POLICY. EACH SUCH PERSON MUST SIGN A STATEMENT ANNUALLY AFFIRMING THAT HE OR SHE HAS RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY, HAS READ AND UNDERSTANDS THE POLICY, AGREES TO COMPLY WITH THE POLICY, AND UNDERSTANDS THAT THE CORPORATION IS CHARITABLE AND IN ORDER TO MAINTAIN ITS EXEMPTION IT MUST ENGAGE PRIMARILY IN ACTIVITIES WHICH ACCOMPLISH ONE OR MORE OF ITS TAX-EXEMPT PURPOSES. IN CONNECTION WITH ANY ACTUAL OR POSSIBLE CONFLICT OF INTEREST, AN INTERESTED PERSON MUST DISCLOSE THE EXISTENCE OF HIS OR HER FINANCIAL INTEREST AND BE GIVEN THE OPPORTUNITY TO DISCLOSE ALL MATERIAL FACTS TO THE DIRECTOR AND MEMBERS OF THE COMMITTEE WITH GOVERNING BOARD DELEGATED POWERS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. AFTER DISCLOSURE OF A POTENTIAL CONFLICT OF INTEREST, THE INTERESTED PERSON IS EXCUSED FROM THE GOVERNING BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS MADE, AND IS RECUSED FROM PARTICIPATING IN ANY VOTE ON THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS FOR DETERMINING THE COMPENSATION OF THE PRESIDENT INCLUDED INITIAL REVIEW BY THE COMMITTEE ON COMPENSATION (THE COMPENSATION COMMITTEE) OF THE YALE CORPORATION (YALE UNIVERSITY'S GOVERNING BOARD), A RECOMMENDATION VOTED BY THE COMMITTEE TO THE YALE CORPORATION, AND FULL REVIEW AND VOTE BY THE YALE CORPORATION. BOTH REVIEWS INCLUDED REVIEW OF THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT OTHER UNIVERSITIES, AS COMPILED BY A PROFESSIONAL COMPENSATION CONSULTANT RETAINED BY THE COMPENSATION COMMITTEE FOR THE PURPOSE, AND REVIEW OF INFORMATION ON SUCH COMPARABLE POSITIONS FROM IRS FORMS 990 FOR SIMILAR ORGANIZATIONS; BOTH REVIEWS CONSIDERED SUCH DATA IN LIGHT OF THE PERFORMANCE OF THE PRESIDENT, WHICH WAS REVIEWED BY THE COMPENSATION COMMITTEE AND BY THE YALE CORPORATION. THE PROCEEDINGS OF THE COMPENSATION COMMITTEE, AND THE PROCEEDINGS OF THE YALE CORPORATION, EACH WERE DOCUMENTED IN MINUTES OF THE RESPECTIVE BODY, CONTEMPORANEOUSLY ADOPTED AND RETAINED IN THE RECORDS OF THE RESPECTIVE BODY, ALONG WITH THE DATA ON COMPARABLE COMPENSATION THAT WAS RELIED UPON. THE PROCESS FOR DETERMINING COMPENSATION OF THE OFFICERS CONSISTED OF REVIEW BY THE COMPENSATION COMMITTEE OF THE RECOMMENDATIONS MADE BY THE PRESIDENT, CONSIDERING THE PERFORMANCE OF EACH OFFICER, AND REVIEW OF DATA ON COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT SIMILAR ORGANIZATIONS, AS COLLECTED BY A PROFESSIONAL COMPENSATION CONSULTANT THROUGH SURVEYS; THE COMPENSATION COMMITTEE VOTED RECOMMENDATIONS ON COMPENSATION OF SUCH INDIVIDUALS TO THE YALE CORPORATION. THE YALE CORPORATION RECEIVED THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE, AND DISCUSSED THESE WITH THE PRESIDENT, WHO REVIEWED THE PERFORMANCE OF EACH OFFICER WITH THE YALE CORPORATION, AND ALSO THE COMPARABLE COMPENSATION INFORMATION. THE YALE CORPORATION THEN VOTED ON THE COMPENSATION OF EACH OFFICER. THE PROCEEDINGS OF THE COMPENSATION COMMITTEE AND OF THE CORPORATION EACH WERE DOCUMENTED IN MINUTES CONTEMPORANEOUSLY ADOPTED AND RETAINED IN THE RECORDS OF THE RESPECTIVE BODY, ALONG WITH THE DATA ON COMPARABLE COMPENSATION THAT WAS RELIED UPON. OF THE KEY EMPLOYEES, THE COMPENSATION OF THE DEAN, SCHOOL OF MEDICINE WAS RECOMMENDED BY THE PRESIDENT TO THE COMPENSATION COMMITTEE, AND REVIEWED BY THAT COMMITTEE IN CONJUNCTION WITH ITS REVIEW OF THE PERFORMANCE OF THE DEAN AND CONSIDERATION OF DATA ON THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT OTHER INSTITUTIONS COMPILED BY AN INDEPENDENT COMPENSATION CONSULTANT. THE COMPENSATION COMMITTEE VOTED TO APPROVE THE COMPENSATION, AND CONTEMPORANEOUSLY DOCUMENTED ITS PROCEEDINGS IN MINUTES RETAINED IN ITS RECORDS ALONG WITH THE COMPENSATION DATA RELIED UPON. WITH RESPECT TO THE CHIEF INVESTMENTS OFFICER AND SENIOR DIRECTOR OF INVESTMENTS, THE COMPENSATION COMMITTEE VOTED TO APPROVE THE COMPENSATION AFTER CONSIDERATION OF THE RECOMMENDATIONS OF THE PRESIDENT AND OF THE FOLLOWING: REVIEW OF THE PERFORMANCE OF EACH, INVESTMENT PERFORMANCE OF THE YALE ENDOWMENT OVER DESIGNATED PERIODS, OTHER PERFORMANCE-RELATED INFORMATION, AND AN ANALYSIS OF THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT TAXABLE AND TAX-EXEMPT ORGANIZATIONS PREPARED BY AN INDEPENDENT COMPENSATION CONSULTANT RETAINED FOR THE PURPOSE. THE COMPENSATION COMMITTEE CONTEMPORANEOUSLY DOCUMENTED ITS PROCEEDINGS IN MINUTES RETAINED IN ITS RECORDS ALONG WITH THE COMPENSATION DATA RELIED UPON. IN THE CASE OF OTHER KEY EMPLOYEES, COMPENSATION DECISIONS WERE MADE BY THE EMPLOYEE'S SUPERVISOR IN ACCORDANCE WITH UNIVERSITY POLICIES AND PROCEDURES. NO MEMBER OF THE YALE CORPORATION WHO HAD A CONFLICT OF INTEREST WITH RESPECT TO A COMPENSATION ARRANGEMENT DESCRIBED ABOVE (I.E., BY VIRTUE OF A FAMILY OR BUSINESS RELATIONSHIP) PARTICIPATED IN THE COMPENSATION COMMITTEE REVIEW OR THE VOTE OF THE YALE CORPORATION WITH RESPECT TO SUCH COMPENSATION ARRANGEMENT. FORM 990, PART VI, SECTION C, LINE 19 FORM 990, PART VI, SECTION C, LINE 19: THE UNIVERSITY'S GOVERNING DOCUMENTS, INCLUDING ANY AMENDMENTS, FINANCIAL STATEMENTS AND STANDARDS OF BUSINESS CONDUCT ARE AVAILABLE ON THE UNIVERSITY'S WEBSITE OR UPON REQUEST. FORM 990, PART VII, SECTION A: COMPENSATION AND HOURS FOR FORMER OFFICER AND KEY EMPLOYEE RELATE TO CONTINUING SERVICE IN NON-OFFICER AND NON-KEY EMPLOYEE POSITIONS. FORM 990, PART VII, SECTION A, COLUMN (A): CONTINUATION OF TITLES FOR EACH LISTED PERSON: BRUCE D. ALEXANDER: VP FOR CAMPUS DEVELOPMENT LINDA K. LORIMER: VP OF THE UNIVERSITY (TITLE CHANGE EFFECTIVE DECEMBER 10, 2011) PETER SALOVEY: CHRIS ARGYRIS PROFESSOR OF PSYCHOLOGY AND SCHOOL OF MANAGEMENT AND INST. SOC. POL. STUDIES, PROF. EPID/PUBLIC HEALTH ROBERT J. ALPERN: ENSIGN PROFESSOR OF MEDICINE SCOTT A. STROBEL: PROFESSOR OF CHEMISTRY, HENRY FORD II PROFESSOR MOLECULAR BIOPHYSICS AND BIOCHEMISTRY KHALID M. ABBED: ASSISTANT PROFESSOR NEUROSURGERY; DIRECTOR, MINIMALLY INVASIVE SPINE SURGERY & SPINE TUMOR SURGERY JOHN A. ELEFTERIADES: WILLIAM W.L. GLENN PROFESSOR OF CARDIOTHORACIC SURGERY SUKRU H. EMRE: PROFESSOR OF PEDIATRICS; SECTION CHIEF, TRANSPLANTATION SURGERY DAVID J. LEFFELL: DAVID P. SMITH PROFESSOR OF DERMATOLOGY AND PROFESSOR OF SURGERY; SECTION CHIEF, DERMATOLOGIC SURGERY AND CUTANEOUS ONCOLOGY THOMAS J. RUTHERFORD: SECTION CHIEF GYNECOLOGIC ONCOLOGY SUSAN L. CARNEY: DEPUTY GENERAL COUNSEL MICHAEL J. DONOGHUE: STERLING PROFESSOR OF ECOLOGY AND EVOLUTIONARY BIOLOGY, PROFESSOR SCHOOL OF FORESTRY AND ENVIRONMENTAL STUDIES AND GEOLOGY AND GEOPHYSICS FORM 990, PART VII, SECTION A, COLUMN (B): THE NUMBER OF HOURS REPORTED FOR EACH LISTED PERSON IS AN ESTIMATE. THE ESTIMATE FOR TRUSTEES INCLUDES MEETING TIME AND PREPARATION, AS WELL AS ATTENDANCE AT CERTAIN OFFICIAL UNIVERSITY FUNCTIONS DURING THE YEAR, BUT DOES NOT INCLUDE TRAVEL TIME OR ATTENDANCE AT OTHER EVENTS AS TRUSTEES. THE LIST BELOW PROVIDES THE ESTIMATED AVERAGE HOURS PER WEEK THAT INDIVIDUALS LISTED ON PART VII, LINE 1A DEVOTED TO RELATED ORGANIZATIONS. THESE INDIVIDUALS WERE NOT COMPENSATED BY THE RELATED ORGANIZATIONS. RICHARD C. LEVIN 2.2 HOURS SHAUNA R. KING 1.2 HOURS LINDA K. LORIMER 3.0 HOURS INGEBORG T. REICHENBACH 0.4 HOURS DOROTHY K. ROBINSON 0.4 HOURS PETER SALOVEY 0.2 HOURS DAVID F. SWENSEN 3.4 HOURS DEAN J. TAKAHASHI 2.0 HOURS FORM 990, PART VII, SECTION B, COLUMN (C): THE AMOUNT REPORTED REPRESENTS DIRECT CASH PAYMENTS MADE DURING THE CALENDAR YEAR 2011 TO INDEPENDENT CONTRACTORS FOR SERVICES. FOR CONSTRUCTION SERVICES, THE FEES REPRESENT THE ENTIRE CONTRACT COST. FORM 990, PART IX, LINE 24: MISCELLANEOUS EXPENSES INCLUDE $665,707 OF STATE UNRELATED BUSINESS INCOME TAX. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -897,365,849. CHANGE IN FUNDING STATUS OF DEFINED BENEFIT PLANS -160,162,074. ACTUARIAL ADJUSTMENTS FOR SPLIT INTEREST LIABILITY 3,815,322. ROUNDING -379. TOTAL TO FORM 990, PART XI, LINE 5: -1,053,712,980. 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SCHEDULE R, PART II: GENERAL NOTE: THERE IS NO REQUIREMENT THAT A SUPPORTING ORGANIZATION OTHER THAN A TYPE III SUPPORTING ORGANIZATION NOTIFY THE ORGANIZATION IT SUPPORTS OF THE SUPPORTING ORGANIZATION'S EXISTENCE. PART II INCLUDES THOSE IRC SECTION 509(A)(3) SUPPORTING ORGANIZATIONS OF YALE UNIVERSITY OF WHICH THE UNIVERSITY IS AWARE. SCHEDULE R, PART III: GENERAL NOTE: DISPROPORTIONATE ALLOCATIONS INDICATED IN COLUMN (H) OF PART III GENERALLY RELATE TO I.) A GENERAL PARTNER'S TYPICAL CARRIED INTEREST WITH RESPECT TO PRIVATE FUND INVESTMENTS OR II.) ALLOCATIONS AMONG 501(C)(3) ORGANIZATIONS THAT ARE PARTNERS OR MEMBERS IN AN INVESTMENT ENTITY. SCHEDULE R, PART IV: AS OF JUNE 30, 2012, YALE UNIVERSITY HELD MORE THAN 50% OF THE BENEFICIAL INTERESTS IN 54 CHARITABLE REMAINDER TRUSTS OF WHICH 50 WERE DOMICILED IN CONNECTICUT AND THE REMAINDER WERE DOMICILED IN TENNESSEE, PENNSYLVANIA, MASSACHUSETTS, AND NEW JERSEY. SCHEDULE R, PART V: GENERAL NOTE: THIS SCHEDULE REFLECTS ALL TRANSFERS BY YALE UNIVERSITY TO CORPORATIONS, PARTNERSHIPS, OR OTHER ENTITIES CONTROLLED BY YALE AS DEFINED IN IRC SECTION 512(B)(13) AND RELATED TAX EXEMPT ORGANIZATIONS NOT DESCRIBED IN IRC SECTION 501(C)(3). IN SOME INSTANCES, THESE ENTITIES MADE FURTHER TRANSFERS TO OTHER ENTITIES CONTROLLED BY THEM OR YALE UNIVERSITY. IN ADDITION, THIS SCHEDULE REFLECTS ALL TRANSFERS TO YALE UNIVERSITY BY CORPORATIONS, PARTNERSHIPS, OR OTHER ENTITIES CONTROLLED BY YALE AS DEFINED IN IRC SECTION 512(B)(13) AND RELATED TAX EXEMPT ORGANIZATIONS NOT DESCRIBED IN IRC SECTION 501(C)(3). IN SOME INSTANCES, THESE ENTITIES RECEIVED TRANSFERS FROM OTHER ENTITIES CONTROLLED BY THEM OR YALE UNIVERSITY. PWEB, LLC LOAN GUARANTEE: THE BORROWER IN WHOSE FAVOR YALE UNIVERSITY ENTERED INTO A LOAN GUARANTEE AGREEMENT DURING THE CURRENT TAX YEAR IS A DISREGARDED ENTITY. THE TRANSACTION IS REPORTED WITH RESPECT TO PWEB, LLC WHICH IS THE SOLE MEMBER OF THE BORROWER. 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