CALIFORNIA INSTITUTE OF TECHNOLOGY: Form 990, tax year 2011
View the entire original 990 at ProPublica ↗
- Organization
- CALIFORNIA INSTITUTE OF TECHNOLOGY (EIN 95-1643307)
- Tax period
- 2011-10-01 to 2012-09-30
- Filed
- 2013-08-12
- IRS object ID
- 201312249349302761
- Schema version
- 2011v1.5
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
- Return header
- Form 990
- Schedule A
- Schedule B
- Schedule C
- Schedule D
- Schedule E
- Schedule F
- Schedule I
- Schedule J
- Schedule K
- Schedule L
- Schedule M
- Schedule O
- Schedule R
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Timestamp | 2013-08-12T16:54:06-05:00 | Timestamp |
| Tax Period End Date | 2012-09-30 | TaxPeriodEndDate |
Preparer Firm PreparerFirm
Preparer Firm Business Name PreparerFirmBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | PricewaterhouseCoopers LLP | BusinessNameLine1 |
Preparer Firm US Address PreparerFirmUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 125 High Street | AddressLine1 |
| City | Boston | City |
| State | MA | State |
| ZIP Code | 02110 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990 | ReturnType |
| Tax Period Begin Date | 2011-10-01 | TaxPeriodBeginDate |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 951643307 | EIN |
Name Name
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | California Institute of Technology | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| In Care Of Name | % MATTHEW W BREWER | InCareOfName |
| Name Control | CALI | NameControl |
| Phone | 6263956744 | Phone |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1200 E California Blvd | AddressLine1 |
| City | Pasadena | City |
| State | CA | State |
| ZIP Code | 91125 | ZIPCode |
Officer Officer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | MATTHEW W BREWER | Name |
| Title | CONTROLLER | Title |
| Date Signed | 2013-08-12 | DateSigned |
| Authorize Third Party | true | AuthorizeThirdParty |
Preparer Preparer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | PRICEWATERHOUSECOOPERS LLP | Name |
| Phone | 6175305000 | Phone |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax Year | 2011 | TaxYear |
| Build TS | 2016-02-24 21:20:13Z | BuildTS |
Form 990 IRS990
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Of Principal Officer Person | EDWARD M STOLPER | NameOfPrincipalOfficerPerson |
Address Principal Officer US AddressPrincipalOfficerUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1200 E CALIFORNIA BLVD | AddressLine1 |
| City | pasadena | City |
| State | CA | State |
| ZIP Code | 91125 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Receipts | 2824734000 | GrossReceipts |
| Group Return For Affiliates | false | GroupReturnForAffiliates |
| Organization501c3 | X | Organization501c3 |
| Web Site | www.caltech.edu | WebSite |
| Type Of Organization Corporation | X | TypeOfOrganizationCorporation |
| Year Formation | 1891 | YearFormation |
| State Legal Domicile | CA | StateLegalDomicile |
| Activity Or Mission Description | SEE SCHEDULE O | ActivityOrMissionDescription |
| Nbr Voting Members Governing Body | 60 | NbrVotingMembersGoverningBody |
| Nbr Independent Voting Members | 54 | NbrIndependentVotingMembers |
| Total Nbr Employees | 10262 | TotalNbrEmployees |
| Total Nbr Volunteers | 475 | TotalNbrVolunteers |
| Total Gross UBI | 3567000 | TotalGrossUBI |
| Net Unrelated Business Txbl Income | -8971481 | NetUnrelatedBusinessTxblIncome |
| Contributions Grants Prior Year | 411867000 | ContributionsGrantsPriorYear |
| Contributions Grants Current Year | 415694000 | ContributionsGrantsCurrentYear |
| Program Service Revenue Prior Year | 1734463000 | ProgramServiceRevenuePriorYear |
| Program Service Revenue CY | 1720747000 | ProgramServiceRevenueCY |
| Investment Income Prior Year | 84832000 | InvestmentIncomePriorYear |
| Investment Income Current Year | 93092000 | InvestmentIncomeCurrentYear |
| Other Revenue Prior Year | 26317000 | OtherRevenuePriorYear |
| Other Revenue Current Year | 21235000 | OtherRevenueCurrentYear |
| Total Revenue Prior Year | 2257479000 | TotalRevenuePriorYear |
| Total Revenue Current Year | 2250768000 | TotalRevenueCurrentYear |
| Grants And Similar Amnts Prior Year | 70392000 | GrantsAndSimilarAmntsPriorYear |
| Grants And Similar Amnts CY | 73520000 | GrantsAndSimilarAmntsCY |
| Benefits Paid To Members Prior Year | 0 | BenefitsPaidToMembersPriorYear |
| Benefits Paid To Members CY | 0 | BenefitsPaidToMembersCY |
| Salaries Etc Prior Year | 1208877000 | SalariesEtcPriorYear |
| Salaries Etc Current Year | 1165658000 | SalariesEtcCurrentYear |
| Total Prof Fundrsng Exp Prior Year | 0 | TotalProfFundrsngExpPriorYear |
| Total Prof Fundrsng Exp CY | 0 | TotalProfFundrsngExpCY |
| Total Fundrsng Exp Current Year | 8803000 | TotalFundrsngExpCurrentYear |
| Other Expense Prior Year | 993081000 | OtherExpensePriorYear |
| Other Expenses Current Year | 1005864000 | OtherExpensesCurrentYear |
| Total Expenses Prior Year | 2272350000 | TotalExpensesPriorYear |
| Total Expenses Current Year | 2245042000 | TotalExpensesCurrentYear |
| Revenues Less Expenses Prior Year | -14871000 | RevenuesLessExpensesPriorYear |
| Revenues Less Expenses CY | 5726000 | RevenuesLessExpensesCY |
| Total Assets BOY | 3552407000 | TotalAssetsBOY |
| Total Assets EOY | 4115199000 | TotalAssetsEOY |
| Total Liabilities BOY | 1509729000 | TotalLiabilitiesBOY |
| Total Liabilities EOY | 1934760000 | TotalLiabilitiesEOY |
| Net Assets Or Fund Balances BOY | 2042678000 | NetAssetsOrFundBalancesBOY |
| Net Assets Or Fund Balances EOY | 2180439000 | NetAssetsOrFundBalancesEOY |
| Info In Schedule O Part III | X | InfoInScheduleOPartIII |
| Mission Description | SEE SCHEDULE O | MissionDescription |
| Significant New Program Services | false | SignificantNewProgramServices |
| Significant Change | false | SignificantChange |
| Expense | 308473000 | Expense |
| Grants | 73445000 | Grants |
| Revenue | 148578000 | Revenue |
| Description | INSTRUCTION AND ACADEMIC SUPPORT AT THE CAMPUS. | Description |
Activity2 Activity2
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | 281032000 | Expense |
| Grants | 0 | Grants |
| Revenue | 17168000 | Revenue |
| Description | ORGANIZED RESEARCH AT THE CAMPUS. | Description |
Activity3 Activity3
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | 1541968000 | Expense |
| Grants | 0 | Grants |
| Revenue | 1541968000 | Revenue |
| Description | Sponsored research at the Jet Propulsion Laboratory. | Description |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Other Program Service Exp | 23495000 | TotalOfOtherProgramServiceExp |
| Total Of Other Program Service Grnt | 75000 | TotalOfOtherProgramServiceGrnt |
| Total Of Other Program Service Rev | 13033000 | TotalOfOtherProgramServiceRev |
| Total Program Service Expense | 2154968000 | TotalProgramServiceExpense |
| Described In501 C3 | true | DescribedIn501C3 |
| Schedule B Required | true | ScheduleBRequired |
| Political Activities | false | PoliticalActivities |
| Lobbying Activities | true | LobbyingActivities |
| Subject To Proxy Tax | false | SubjectToProxyTax |
| Donor Advised Funds | false | DonorAdvisedFunds |
| Conservation Easements | false | ConservationEasements |
| Collections Of Art | true | CollectionsOfArt |
| Credit Counseling | true | CreditCounseling |
| Term Or Permanent Endowments | true | TermOrPermanentEndowments |
| Report Land Bldg Equip | true | ReportLandBldgEquip |
| Report Invest Oth Securities | true | ReportInvestOthSecurities |
| Report Prog Rel Invest | false | ReportProgRelInvest |
| Report Other Assets | false | ReportOtherAssets |
| Report Other Liabilities | true | ReportOtherLiabilities |
| Report Fin48 Footnote | true | ReportFin48Footnote |
| Independent Audit Financial Stmt | true | IndependentAuditFinancialStmt |
| Consolidated Audit Financial Stmt | false | ConsolidatedAuditFinancialStmt |
| School | true | School |
| Foreign Office | true | ForeignOffice |
| Foreign Activities | true | ForeignActivities |
| More Than5000 K To Organizations | false | MoreThan5000KToOrganizations |
| More Than5000 K To Individuals | true | MoreThan5000KToIndividuals |
| Professional Fundraising | false | ProfessionalFundraising |
| Fundraising Activities | false | FundraisingActivities |
| Gaming | false | Gaming |
| Hospital | false | Hospital |
| Grants To Organizations | true | GrantsToOrganizations |
| Grants To Individuals | true | GrantsToIndividuals |
| Schedule J Required | true | ScheduleJRequired |
| Tax Exempt Bonds | true | TaxExemptBonds |
| Invest Tax Exempt Bonds | false | InvestTaxExemptBonds |
| Escrow Account | false | EscrowAccount |
| On Behalf Of Issuer | false | OnBehalfOfIssuer |
| Excess Benefit Transaction | false | ExcessBenefitTransaction |
| Prior Excess Benefit Transaction | false | PriorExcessBenefitTransaction |
| Loan To Officer Or DQP | true | LoanToOfficerOrDQP |
| Grant To Related Person | true | GrantToRelatedPerson |
| Bsnss Rltnshp With Organization | false | BsnssRltnshpWithOrganization |
| Bsnss Rltnshp Thru Family Member | true | BsnssRltnshpThruFamilyMember |
| Officer Entity With Bsnss Rltnshp | true | OfficerEntityWithBsnssRltnshp |
| Deductible Non Cash Contributions | true | DeductibleNonCashContributions |
| Deductible Contributions Of Art | false | DeductibleContributionsOfArt |
| Terminated | false | Terminated |
| Partial Liquidation | false | PartialLiquidation |
| Disregarded Entity | true | DisregardedEntity |
| Related Entity | true | RelatedEntity |
| Related Org Controlled Entity | true | RelatedOrgControlledEntity |
| Transaction Related Entity | false | TransactionRelatedEntity |
| Transfers To Exempt Non Chrtbl Org | false | TransfersToExemptNonChrtblOrg |
| Activities Conducted Partnership | false | ActivitiesConductedPartnership |
| Schedule O Required | true | ScheduleORequired |
| Info In Schedule O Part V | X | InfoInScheduleOPartV |
| Number Forms Transmitted With1096 | 2551 | NumberFormsTransmittedWith1096 |
| Number W2 G Included | 0 | NumberW2GIncluded |
| Compliance With Backup Witholding | true | ComplianceWithBackupWitholding |
| Number Of Employees | 10262 | NumberOfEmployees |
| Employment Tax Returns Filed | true | EmploymentTaxReturnsFiled |
| Unrelated Business Income | true | UnrelatedBusinessIncome |
| Form990-T Filed | true | Form990-TFiled |
| Foreign Financial Account | true | ForeignFinancialAccount |
| Name Of Foreign Country | CI | NameOfForeignCountry |
| Name Of Foreign Country | SZ | NameOfForeignCountry |
| Prohibited Tax Shelter Trans | false | ProhibitedTaxShelterTrans |
| Taxable Party Notification | false | TaxablePartyNotification |
| Non Deductible Contributions | false | NonDeductibleContributions |
| Quid Pro Quo Contributions | false | QuidProQuoContributions |
| Form8282 Property Disposed Of | false | Form8282PropertyDisposedOf |
| Funds To Pay Premiums | false | FundsToPayPremiums |
| Premiums Paid | false | PremiumsPaid |
| Indoor Tanning Services | false | IndoorTanningServices |
| Info In Schedule O Part VI | X | InfoInScheduleOPartVI |
| Nbr Voting Governing Body Members | 60 | NbrVotingGoverningBodyMembers |
| Number Independent Voting Members | 54 | NumberIndependentVotingMembers |
| Family Or Business Relationship | true | FamilyOrBusinessRelationship |
| Delegation Of Management Duties | false | DelegationOfManagementDuties |
| Changes To Organizing Docs | false | ChangesToOrganizingDocs |
| Material Diversion Or Misuse | false | MaterialDiversionOrMisuse |
| Members Or Stockholders | false | MembersOrStockholders |
| Election Of Board Members | false | ElectionOfBoardMembers |
| Decisions Subject To Approval | false | DecisionsSubjectToApproval |
| Minutes Of Governing Body | true | MinutesOfGoverningBody |
| Minutes Of Committees | true | MinutesOfCommittees |
| Officer Mailing Address | false | OfficerMailingAddress |
| Local Chapters | false | LocalChapters |
| Form990 Provided To Governing Body | true | Form990ProvidedToGoverningBody |
| Conflict Of Interest Policy | true | ConflictOfInterestPolicy |
| Annual Disclosure Covered Persons | true | AnnualDisclosureCoveredPersons |
| Regular Monitoring Enforcement | true | RegularMonitoringEnforcement |
| Whistleblower Policy | true | WhistleblowerPolicy |
| Document Retention Policy | true | DocumentRetentionPolicy |
| Compensation Process CEO | true | CompensationProcessCEO |
| Compensation Process Other | true | CompensationProcessOther |
| Investment In Joint Venture | false | InvestmentInJointVenture |
| States Where Copy Of Return Is Filed | CA | StatesWhereCopyOfReturnIsFiled |
| States Where Copy Of Return Is Filed | IL | StatesWhereCopyOfReturnIsFiled |
| Upon Request | X | UponRequest |
The Books Are In Care Of TheBooksAreInCareOf
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Person | MATTHEW W BREWER | NamePerson |
| Telephone Number | 6263958818 | TelephoneNumber |
Address US AddressUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1200 E CALIFORNIA BLVD | AddressLine1 |
| City | pasadena | City |
| State | CA | State |
| ZIP Code | 91125 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part VII | X | InfoInScheduleOPartVII |
Form990 Part VII Section A Form990PartVIISectionA (84 entries)
| TitleTitle | Average Hours Per WeekAverageHoursPerWeek | Individual Trustee Or DirectorIndividualTrusteeOrDirector | OfficerOfficer | Reportable Comp From OrganizationReportableCompFromOrganization | Other CompensationOtherCompensation | Reportable Comp From Related OrgsReportableCompFromRelatedOrgs | Key EmployeeKeyEmployee | Highest Compensated EmployeeHighestCompensatedEmployee | FormerFormer |
|---|---|---|---|---|---|---|---|---|---|
| Gordon M Binder | |||||||||
| Trustee | 1.0 | X | |||||||
| Robert C Bonner | |||||||||
| Trustee | 1.0 | X | |||||||
| LYNN A BOOTH | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| Brigitte M Bren | |||||||||
| Trustee | 1.0 | X | |||||||
| John E Bryson | |||||||||
| Trustee | 1.0 | X | |||||||
| Milton M Chang | |||||||||
| Trustee | 1.0 | X | |||||||
| John S Chen | |||||||||
| Trustee | 1.0 | X | |||||||
| WENCHI CHEN | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| PEGGY T CHERNG | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| Robert B Chess | |||||||||
| Trustee | 1.0 | X | |||||||
| William H Davidow | |||||||||
| Trustee | 1.0 | X | |||||||
| Lounette M Dyer | |||||||||
| Trustee | 1.0 | X | |||||||
| Gilad I Elbaz | |||||||||
| Trustee | 1.0 | X | |||||||
| Thomas E Everhart | |||||||||
| Trustee | 1.0 | X | |||||||
| JOSHUA S FRIEDMAN | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| Arthur L Goldstein | |||||||||
| Trustee | 1.0 | X | |||||||
| William T Gross | |||||||||
| Trustee | 1.0 | X | |||||||
| NARENDRA K GUPTA | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| B KIPLING HAGOPIAN | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| Frederick J Hameetman | |||||||||
| Trustee | 1.0 | X | |||||||
| Shirley M Hufstedler | |||||||||
| Trustee | 1.0 | X | |||||||
| MARIA D HUMMER-TUTTLE | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| Bobby R Inman | |||||||||
| Trustee | 1.0 | X | |||||||
| Robert T Jenkins | |||||||||
| Trustee | 1.0 | X | |||||||
| Peter D Kaufman | |||||||||
| Trustee | 1.0 | X | |||||||
| Louise Kirkbride | |||||||||
| Trustee | 1.0 | X | |||||||
| WALTER G KORTSCHAK | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| Kent Kresa | |||||||||
| Trustee | 1.0 | X | |||||||
| Jon B Kutler | |||||||||
| Trustee | 1.0 | X | |||||||
| Louis J Lavigne Jr | |||||||||
| Trustee | 1.0 | X | |||||||
| David L Lee | |||||||||
| Trustee | 1.0 | X | |||||||
| York Liao | |||||||||
| Trustee | 1.0 | X | |||||||
| Alexander Lidow | |||||||||
| Trustee | 1.0 | X | |||||||
| Ronald K Linde | |||||||||
| Trustee | 1.0 | X | |||||||
| A Michael Lipper | |||||||||
| Trustee | 1.0 | X | |||||||
| Shirley M Malcom | |||||||||
| Trustee | 1.0 | X | |||||||
| Deborah D McWhinney | |||||||||
| Trustee | 1.0 | X | |||||||
| Richard N Merkin | |||||||||
| Trustee | 1.0 | X | |||||||
| Philip M Neches | |||||||||
| Trustee | 1.0 | X | |||||||
| Patrick H Nettles Jr | |||||||||
| Trustee | 1.0 | X | |||||||
| Peter Norton | |||||||||
| Trustee | 1.0 | X | |||||||
| Ronald L Olson | |||||||||
| Trustee | 1.0 | X | |||||||
| Stephen R Onderdonk | |||||||||
| Trustee | 1.0 | X | |||||||
| Pedro J Pizarro | |||||||||
| Trustee | 1.0 | X | |||||||
| Stewart A Resnick | |||||||||
| Trustee | 1.0 | X | |||||||
| Nelson C Rising | |||||||||
| Trustee | 1.0 | X | |||||||
| Stephen A Ross | |||||||||
| Trustee | 1.0 | X | |||||||
| James F Rothenberg | |||||||||
| Trustee | 1.0 | X | |||||||
| Marc I Stern | |||||||||
| Trustee | 1.0 | X | |||||||
| Donald W Tang | |||||||||
| Trustee | 1.0 | X | |||||||
| KEVIN M TAWEEL | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| DAVID W THOMPSON | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| Charles R Trimble | |||||||||
| Trustee | 1.0 | X | |||||||
| Lewis W van Amerongen | |||||||||
| Trustee | 1.0 | X | |||||||
| Walter L Weisman | |||||||||
| Trustee | 1.0 | X | |||||||
| Gayle E Wilson | |||||||||
| Trustee | 1.0 | X | |||||||
| Jay S Wintrob | |||||||||
| Trustee | 1.0 | X | |||||||
| RICHMOND A WOLF | |||||||||
| TRUSTEE | 1.0 | X | |||||||
| Suzanne H Woolsey | |||||||||
| Trustee | 1.0 | X | |||||||
| JEAN-LOU A CHAMEAU | |||||||||
| PRESIDENT/TRUSTEE | 40.0 | X | X | 796191 | 96692 | ||||
| MATTHEW W BREWER | |||||||||
| Controller | 40.0 | X | 180440 | 35911 | 0 | ||||
| DEAN CURRIE | |||||||||
| VP for Business and Finance | 40.0 | X | 529695 | 62788 | |||||
| PETER B DERVAN | |||||||||
| VP for Dev & IR (UNTIL 3/2012) | 40.0 | X | 324991 | 64314 | |||||
| CHARLES ELACHI | |||||||||
| VP & Director, Jet Prop Lab | 40.0 | X | 677147 | 50230 | |||||
| MADELINE WAY LEE | |||||||||
| Assistant Treasurer | 32.0 | X | 149709 | 33845 | |||||
| JENNIFER THERESA LUM | |||||||||
| DEPUTY GENERAL COUNSEL | 40.0 | X | 213515 | 60326 | |||||
| SHARON E PATTERSON | |||||||||
| Assoc. VP for fin. & treas. | 40.0 | X | 316732 | 37868 | |||||
| SCOTT H RICHLAND | |||||||||
| Chief Investment Officer | 40.0 | X | 388931 | 202899 | |||||
| ANNEILA I SARGENT | |||||||||
| vp for Student Affairs | 40.0 | X | 306127 | 60753 | |||||
| EDWARD M STOLPER | |||||||||
| Provost | 40.0 | X | 490416 | 51026 | |||||
| VICTORIA D STRATMAN | |||||||||
| General Counsel | 40.0 | X | 380456 | 56825 | |||||
| MARY L WEBSTER | |||||||||
| Secretary of board of trustees | 40.0 | X | 217764 | 43640 | |||||
| BRIAN K LEE | |||||||||
| VP for Dev & IR (FROM 4/2012) | 40.0 | X | 0 | ||||||
| EUGENE L TATTINI | |||||||||
| Deputy Dir, Jet Prop Lab | 40.0 | 456371 | 45570 | X | |||||
| CHRIS JONES | |||||||||
| ASSOC DIR FLT PRO & Miss Succe | 40.0 | 315256 | 53429 | X | |||||
| JAKOB VAN ZYL | |||||||||
| FAC ASSOC. & ASSOC DIR JPL | 40.0 | 312392 | 38370 | X | |||||
| DAVID BALTIMORE | |||||||||
| President Emeritus, Prof Bio | 40.0 | 387223 | 59841 | X | |||||
| EDWARD STONE | |||||||||
| PROF OF PHYSICS & VP SPEC PROJ | 40.0 | 403369 | 59541 | X | |||||
| DEBORAH GOODMAN | |||||||||
| FMR INVESTMENT OFFICE MANAGER | 40.0 | 355315 | 39973 | X | |||||
| COLIN CAMERER | |||||||||
| PROFESSOR OF BEHAVIORAL ECON | 40.0 | 346438 | 35107 | X | |||||
| JEAN-LAURENT ROSENTHAL | |||||||||
| PROF OF BUS ECON & EO SOC SCI | 40.0 | 342807 | 44651 | 0 | X | ||||
| PETER D HERO | |||||||||
| FMR VP for Dev & Inst. Relat. | 40.0 | 188077 | 21803 | X | |||||
| JOHN F HALL | |||||||||
| Prof Civ Eng & FMR VP STUD AFF | 40.0 | 129313 | 33165 | X | |||||
| Firouz M Naderi | |||||||||
| Director, Sol Sys Exploration | 40.0 | 339072 | 48534 | X | |||||
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Reportable Comp From Org | 8547747 | TotalReportableCompFromOrg |
| Total Reportable Comp Frm Rltd Orgs | 0 | TotalReportableCompFrmRltdOrgs |
| Total Other Compensation | 1337101 | TotalOtherCompensation |
| Number Individuals GT100 K | 3858 | NumberIndividualsGT100K |
| Formers Listed | true | FormersListed |
| Total Comp GT150 K | true | TotalCompGT150K |
| Compensation From Other Sources | false | CompensationFromOtherSources |
Contractor Compensation ContractorCompensation (5 entries)
| Address Line1AddressOfContractor/AddressUS/AddressLine1 | CityAddressOfContractor/AddressUS/City | StateAddressOfContractor/AddressUS/State | ZIP CodeAddressOfContractor/AddressUS/ZIPCode | Description Of ServicesDescriptionOfServices | CompensationCompensation |
|---|---|---|---|---|---|
| TEACHERS INSURANCE ANNUITY ASSOCI | |||||
| 730 THIRD AVENUE | NEW YORK | NY | 10017 | BENEFITS/INSURANCE | 155525903 |
| LOCKHEED MARTIN CORPORATION | |||||
| 2401 e el segundo blvd 6th | EL SEGUNDO | CA | 902454655 | Aerospace | 90925022 |
| BLUE CROSS OF CALIFORNIA | |||||
| 21555 OXNARD STREET AC-106 | WOODLAND HILLS | CA | 913674943 | HEALTHCARE | 76443141 |
| ITT CORPORATION | |||||
| 5009 centennial blvd | COLORADO SPRINGS | CO | 809162153 | OPERATING DSN | 56858741 |
| LOCKHEED MARTIN INTEGRATED SYSTEMS | |||||
| 7375 executive place | SEABROOK | MD | 207062278 | aerospace | 31647452 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Number Of Contractors GT100 K | 889 | NumberOfContractorsGT100K |
| Government Grants | 296027000 | GovernmentGrants |
| All Other Contributions | 119667000 | AllOtherContributions |
| Noncash Contributions | 5426651 | NoncashContributions |
| Total Contributions | 415694000 | TotalContributions |
Program Service Revenue ProgramServiceRevenue (4 entries)
| DescriptionDescription | Business CodeBusinessCode | Total Revenue ColumnTotalRevenueColumn | ExclusionExclusionAmount | Related Or Exempt Function IncomeRelatedOrExemptFunctionIncome | Unrelated Business RevenueUnrelatedBusinessRevenue |
|---|---|---|---|---|---|
| JPL AND OTHER AWARDS | 900099 | 1603309000 | $1,603,309,000 | ||
| STUDENT TUITION | 611600 | 82268000 | 82268000 | ||
| USE OF FACILITIES | 900099 | 22137000 | 22137000 | ||
| AUXILIARY ENTERPRISES | 900099 | 13033000 | 8945000 | 4088000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Program Service Revenue | 1720747000 | TotalProgramServiceRevenue |
Investment Income InvestmentIncome
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 19635000 | TotalRevenueColumn |
| Unrelated Business Revenue | -581000 | UnrelatedBusinessRevenue |
| Exclusion | $20,216,000 | ExclusionAmount |
Income From Invest Bond Proceeds IncomeFromInvestBondProceeds
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 0 | TotalRevenueColumn |
Royalties Revenue RoyaltiesRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 7107000 | TotalRevenueColumn |
| Exclusion | $7,107,000 | ExclusionAmount |
Gross Rents GrossRents
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | 98000 | Real |
Less Rental Expenses LessRentalExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | 4000 | Real |
Rental Income Or Loss RentalIncomeOrLoss
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | 94000 | Real |
Net Rental Income Or Loss NetRentalIncomeOrLoss
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 94000 | TotalRevenueColumn |
| Exclusion | $94,000 | ExclusionAmount |
Gross Amount Sales Assets GrossAmountSalesAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | 642886000 | Securities |
| Other | 398000 | Other |
Less Cost Oth Basis Sales Expenses LessCostOthBasisSalesExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | 569468000 | Securities |
| Other | 359000 | Other |
Gain Or Loss GainOrLoss
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | 73418000 | Securities |
| Other | 39000 | Other |
Net Gain Or Loss Investments NetGainOrLossInvestments
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 73457000 | TotalRevenueColumn |
| Exclusion | $73,457,000 | ExclusionAmount |
Net Income From Fundraising Events NetIncomeFromFundraisingEvents
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 0 | TotalRevenueColumn |
Net Income From Gaming NetIncomeFromGaming
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 0 | TotalRevenueColumn |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Sales Of Inventory | 18109000 | GrossSalesOfInventory |
| Cost Of Goods Sold | 4135000 | CostOfGoodsSold |
Net Income Or Loss NetIncomeOrLoss
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 13974000 | TotalRevenueColumn |
| Exclusion | $13,974,000 | ExclusionAmount |
Other Revenue Misc OtherRevenueMisc
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | ADVERTISING AND FILMING | Description |
| Business Code | 900099 | BusinessCode |
| Total Revenue Column | 60000 | TotalRevenueColumn |
| Unrelated Business Revenue | 60000 | UnrelatedBusinessRevenue |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Other Revenue | 60000 | TotalOtherRevenue |
Total Revenue TotalRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 2250768000 | TotalRevenueColumn |
| Related Or Exempt Function Income | 113350000 | RelatedOrExemptFunctionIncome |
| Unrelated Business Revenue | 3567000 | UnrelatedBusinessRevenue |
| Exclusion | $1,718,157,000 | ExclusionAmount |
Grants To Domestic Orgs GrantsToDomesticOrgs
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 7575000 | Total |
| Program Services | 7575000 | ProgramServices |
Grants To Domestic Individuals GrantsToDomesticIndividuals
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 65767000 | Total |
| Program Services | 65767000 | ProgramServices |
Foreign Grants ForeignGrants
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 178000 | Total |
| Program Services | 178000 | ProgramServices |
Benefits To Members BenefitsToMembers
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Comp Current Officers Directors CompCurrentOfficersDirectors
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 7614000 | Total |
| Program Services | 2827000 | ProgramServices |
| Management And General | 3801000 | ManagementAndGeneral |
| Fundraising | 986000 | Fundraising |
Comp Disqual Persons CompDisqualPersons
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 5304000 | Total |
| Program Services | 4470000 | ProgramServices |
| Management And General | 834000 | ManagementAndGeneral |
Other Salaries And Wages OtherSalariesAndWages
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 890161000 | Total |
| Program Services | 855176000 | ProgramServices |
| Management And General | 30798000 | ManagementAndGeneral |
| Fundraising | 4187000 | Fundraising |
Pension Plan Contributions PensionPlanContributions
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 86378000 | Total |
| Program Services | 82983000 | ProgramServices |
| Management And General | 2989000 | ManagementAndGeneral |
| Fundraising | 406000 | Fundraising |
Other Employee Benefits OtherEmployeeBenefits
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 116835000 | Total |
| Program Services | 97961000 | ProgramServices |
| Management And General | 18191000 | ManagementAndGeneral |
| Fundraising | 683000 | Fundraising |
Payroll Taxes PayrollTaxes
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 59366000 | Total |
| Program Services | 57033000 | ProgramServices |
| Management And General | 2054000 | ManagementAndGeneral |
| Fundraising | 279000 | Fundraising |
Fees For Services Management FeesForServicesManagement
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Fees For Services Legal FeesForServicesLegal
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 12243000 | Total |
| Program Services | 5328000 | ProgramServices |
| Management And General | 6915000 | ManagementAndGeneral |
Fees For Services Accounting FeesForServicesAccounting
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 862000 | Total |
| Management And General | 862000 | ManagementAndGeneral |
Fees For Services Lobbying FeesForServicesLobbying
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 450000 | Total |
| Management And General | 450000 | ManagementAndGeneral |
Fees For Services Prof Fundraising FeesForServicesProfFundraising
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Fees For Services Invst Mgmnt Fees FeesForServicesInvstMgmntFees
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 4976000 | Total |
| Management And General | 4976000 | ManagementAndGeneral |
Fees For Services Other FeesForServicesOther
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 18204000 | Total |
| Program Services | 14775000 | ProgramServices |
| Management And General | 3095000 | ManagementAndGeneral |
| Fundraising | 334000 | Fundraising |
Advertising Advertising
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 233000 | Total |
| Program Services | 75000 | ProgramServices |
| Management And General | 126000 | ManagementAndGeneral |
| Fundraising | 32000 | Fundraising |
Office Expenses OfficeExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 278691000 | Total |
| Program Services | 275170000 | ProgramServices |
| Management And General | 2012000 | ManagementAndGeneral |
| Fundraising | 1509000 | Fundraising |
Information Technology InformationTechnology
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 4942000 | Total |
| Program Services | 3321000 | ProgramServices |
| Management And General | 1619000 | ManagementAndGeneral |
| Fundraising | 2000 | Fundraising |
Royalties Royalties
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 170000 | Total |
| Program Services | 162000 | ProgramServices |
| Management And General | 8000 | ManagementAndGeneral |
Occupancy Occupancy
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 56816000 | Total |
| Program Services | 56237000 | ProgramServices |
| Management And General | 566000 | ManagementAndGeneral |
| Fundraising | 13000 | Fundraising |
Travel Travel
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 31617000 | Total |
| Program Services | 30527000 | ProgramServices |
| Management And General | 775000 | ManagementAndGeneral |
| Fundraising | 315000 | Fundraising |
Travel Entrtnmnt Public Officials TravelEntrtnmntPublicOfficials
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Conferences Meetings ConferencesMeetings
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 11146000 | Total |
| Program Services | 10842000 | ProgramServices |
| Management And General | 269000 | ManagementAndGeneral |
| Fundraising | 35000 | Fundraising |
Interest Interest
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 21399000 | Total |
| Program Services | 21181000 | ProgramServices |
| Management And General | 213000 | ManagementAndGeneral |
| Fundraising | 5000 | Fundraising |
Payments To Affiliates PaymentsToAffiliates
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Depreciation Depletion DepreciationDepletion
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 64105000 | Total |
| Program Services | 63451000 | ProgramServices |
| Management And General | 639000 | ManagementAndGeneral |
| Fundraising | 15000 | Fundraising |
Insurance Insurance
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 7880000 | Total |
| Program Services | 7799000 | ProgramServices |
| Management And General | 79000 | ManagementAndGeneral |
| Fundraising | 2000 | Fundraising |
Other Expenses OtherExpenses (2 entries)
| DescriptionDescription | TotalTotal | Program ServicesProgramServices |
|---|---|---|
| CONTRACT SERVICES | 448867000 | 448867000 |
| JPL POST EMPLYMNT OBLIGATION | 43263000 | 43263000 |
Total Functional Expenses TotalFunctionalExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 2245042000 | Total |
| Program Services | 2154968000 | ProgramServices |
| Management And General | 81271000 | ManagementAndGeneral |
| Fundraising | 8803000 | Fundraising |
Cash Non Interest Bearing CashNonInterestBearing
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Savings And Temp Cash Investments SavingsAndTempCashInvestments
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 196880000 | BOY |
| EOY | 145422000 | EOY |
Pledges And Grants Receivable PledgesAndGrantsReceivable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 72321000 | BOY |
| EOY | 83602000 | EOY |
Accounts Receivable AccountsReceivable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 206883000 | BOY |
| EOY | 221076000 | EOY |
Receivables From Officers Etc ReceivablesFromOfficersEtc
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 350000 | BOY |
| EOY | 350000 | EOY |
Receivables From Disqual Persons ReceivablesFromDisqualPersons
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Other Notes Loans Receivable Net OtherNotesLoansReceivableNet
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 1093083 | BOY |
| EOY | 559052 | EOY |
Inventories For Sale Or Use InventoriesForSaleOrUse
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Prepaid Expenses Deferred Charges PrepaidExpensesDeferredCharges
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 588247000 | BOY |
| EOY | 674039000 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Land Buildings Equipment Basis | 1570256000 | LandBuildingsEquipmentBasis |
| Land Bldg Equipment Accum Deprec | 696488000 | LandBldgEquipmentAccumDeprec |
Land Buildings Equipment Basis Net LandBuildingsEquipmentBasisNet
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 859373000 | BOY |
| EOY | 873768000 | EOY |
Investments Pub Traded Securities InvestmentsPubTradedSecurities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 646692000 | BOY |
| EOY | 884598000 | EOY |
Investments Other Securities InvestmentsOtherSecurities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 949970000 | BOY |
| EOY | 1200908000 | EOY |
Investments Program Related InvestmentsProgramRelated
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Intangible Assets IntangibleAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Other Assets Total OtherAssetsTotal
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 30597917 | BOY |
| EOY | 30876948 | EOY |
Total Assets TotalAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 3552407000 | BOY |
| EOY | 4115199000 | EOY |
Accounts Payable Accrued Expenses AccountsPayableAccruedExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 403924000 | BOY |
| EOY | 452452000 | EOY |
Grants Payable GrantsPayable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Deferred Revenue DeferredRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 26805000 | BOY |
| EOY | 30328000 | EOY |
Tax Exempt Bond Liabilities TaxExemptBondLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 375518000 | BOY |
| EOY | 275621000 | EOY |
Escrow Account Liability EscrowAccountLiability
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 71682000 | BOY |
| EOY | 79505000 | EOY |
Loans From Officers Directors LoansFromOfficersDirectors
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Mort Notes Pybl Secured Invest Prop MortNotesPyblSecuredInvestProp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Unsecured Notes Loans Payable UnsecuredNotesLoansPayable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 64130000 | BOY |
| EOY | 433950000 | EOY |
Other Liabilities OtherLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 567670000 | BOY |
| EOY | 662904000 | EOY |
Total Liabilities TotalLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 1509729000 | BOY |
| EOY | 1934760000 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Follow SFAS117 | X | FollowSFAS117 |
Unrestricted Net Assets UnrestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 593331000 | BOY |
| EOY | 589949000 | EOY |
Temporarily Restricted Net Assets TemporarilyRestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 634874000 | BOY |
| EOY | 686637000 | EOY |
Permanently Restricted Net Assets PermanentlyRestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 814473000 | BOY |
| EOY | 903853000 | EOY |
Total Net Assets Fund Balances TotalNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 2042678000 | BOY |
| EOY | 2180439000 | EOY |
Total Liab Net Assets Fund Balances TotalLiabNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 3552407000 | BOY |
| EOY | 4115199000 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part XI | X | InfoInScheduleOPartXI |
| Reconcilation Revenue Expenses | 5726000 | ReconcilationRevenueExpenses |
| Reconcilation Other Changes | 132035000 | ReconcilationOtherChanges |
| Method Of Accounting Accrual | X | MethodOfAccountingAccrual |
| Accountant Compile Or Review | false | AccountantCompileOrReview |
| FS Audited | true | FSAudited |
| Audit Committee | true | AuditCommittee |
| Financial Statement Separate | X | FinancialStatementSeparate |
| Federal Grant Audit Required | true | FederalGrantAuditRequired |
| Federal Grant Audit Performed | true | FederalGrantAuditPerformed |
Schedule A IRS990ScheduleA
| Field | Value | IRS element (for citing) |
|---|---|---|
| School170b1 Aii | X | School170b1Aii |
Schedule B IRS990ScheduleB
Contributor Info ContributorInfo
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributor Number | RESTRICTED | ContributorNumber |
Contributor Name Business ContributorNameBusiness
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | RESTRICTED | BusinessNameLine1 |
Contributor Address US ContributorAddressUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | RESTRICTED | AddressLine1 |
| Address Line2 | RESTRICTED | AddressLine2 |
| City | RESTRICTED | City |
| State | RESTRICTED | State |
| ZIP Code | RESTRICTED | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Aggregate Contributions | RESTRICTED | AggregateContributions |
Schedule C IRS990ScheduleC
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grassroots Lobbying | TotalGrassrootsLobbying | |
| Total Direct Lobbying | TotalDirectLobbying | |
| Total Lobbying Expenditures | TotalLobbyingExpenditures | |
| Other Exempt Purpose Expenditures | OtherExemptPurposeExpenditures | |
| Total Exempt Purpose Expenditures | TotalExemptPurposeExpenditures | |
| Lobbying Nontaxable | LobbyingNontaxableAmount | |
| Grassroots Nontaxable | GrassrootsNontaxableAmount | |
| Tot Lobbying Grassroot Minus Non Tx | TotLobbyingGrassrootMinusNonTx | |
| Tot Lobby Expend Mns Lobbying Nontx | TotLobbyExpendMnsLobbyingNontx | |
| Volunteers | false | Volunteers |
| Paid Staff Or Management | true | PaidStaffOrManagement |
| Media Advertisements | false | MediaAdvertisements |
| Mailings Members | false | MailingsMembers |
| Publications Or Broadcast | false | PublicationsOrBroadcast |
| Grants Other Organizations | true | GrantsOtherOrganizations |
| Grants Other Organizations | $450,000 | GrantsOtherOrganizationsAmount |
| Direct Contact Legislators | true | DirectContactLegislators |
| Direct Contact Legislators | $165,000 | DirectContactLegislatorsAmount |
| Rallies Demonstrations | false | RalliesDemonstrations |
| Other Activities | true | OtherActivities |
| Total Lobbying Expenditures IIB | 615000 | TotalLobbyingExpendituresIIB |
| Not Described In501c3 | false | NotDescribedIn501c3 |
Form990 Schedule C Part IV Form990ScheduleCPartIV
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | lobbying activity explanation | Identifier |
| Return Reference | schedule C, part II-B | ReturnReference |
| Explanation | THE INSTITUTE RETAINS A CONSULTING FIRM TO MONITOR LEGISLATIVE DEVELOPMENTS AND TO COUNSEL IT ON GOVERNMENT RELATIONS MATTERS. THE CONSULTANT MAY ESTABLISH DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, AND LEGISLATIVE BODIES AND ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED COMMuNICATION WHICH ATTEMPTS TO INFLUENCE LEGISLATION. FURTHER, THE INSTITUTE'S STAFF IN THE COURSE OF NECESSARY COMMUNICATIONS WITH GOVERNMENT OFFICIALS AND INFORMATIONAL PUBLIC EDUCATION ACTIVITIES, MAY FROM TIME TO TIME ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED TO INFLUENCE LEGISLATION. TOTAL LOBBYING EXPENDITURES INCLUDE THE TOTAL OF ALL EXPENDITURES IN ALL ACCOUNTS THAT MAY POTENTIALLY HAVE ANY RELATIONSHIP TO LOBBYING. THIS AMOUNT INCLUDES ALL OFFICE BUDGET EXPENDITURES OF THE INSTITUTE'S OFFICE OF GOVERNMENT RELATIONS, OF WHICH ONLY A FRACTION IS EXPENDED FOR LOBBYING ACTIVITIES. THE INSTITUTE IS A MEMBER OF CERTAIN PROFESSIONAL AND ACADEMIC ORGANIZATIONS THAT HAVE EMPLOYEES REGISTERED TO LOBBY ON BEHALF OF MEMBERSHIP. ALTHOUGH A SMALL PORTION OF THE INSTITUTE'S MEMBERSHIP DUES MAY BE USED FOR LOBBYING, THE AMOUNT IS IMMATERIAL. CALTECH'S MEMBERSHIP IN THESE ORGANIZATIONS IS FOR THE PURPOSE OF HAVING ACCESS TO THE MOST CURRENT INFORMATION ON GOVERNMENT AND BUSINESS DEVELOPMENTS AS THEY RELATE TO COLLEGES AND UNIVERSITIES AND NOT FOR ANY LOBBYING EFFORT. | Explanation |
Schedule D IRS990ScheduleD
| Field | Value | IRS element (for citing) |
|---|---|---|
| Art Public Exhibition Amts | ArtPublicExhibitionAmts | |
| Held Works Of Art Amts | HeldWorksOfArtAmts | |
| Collect Used For Scholar Research | X | CollectUsedForScholarResearch |
| Collect Used For Preservation | X | CollectUsedForPreservation |
| Solicited Assets For Sale | false | SolicitedAssetsForSale |
| Agent Trustee Etc | false | AgentTrusteeEtc |
| Included On FS | true | IncludedOnFS |
Current Year CurrentYear
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Of Year Balance | 1624331000 | BeginningOfYearBalance |
| Contributions | 48421000 | Contributions |
| Investment Earnings Or Losses | 247221000 | InvestmentEarningsOrLosses |
| Grants Or Scholarships | 15692000 | GrantsOrScholarships |
| Other Expenditures | 77320000 | OtherExpenditures |
| Administrative Expenses | 15464000 | AdministrativeExpenses |
| End Of Year Balance | 1811497000 | EndOfYearBalance |
Current Year Minus1 Year CurrentYearMinus1Year
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Of Year Balance | 1631959000 | BeginningOfYearBalance |
| Contributions | 106064000 | Contributions |
| Investment Earnings Or Losses | -10788000 | InvestmentEarningsOrLosses |
| Grants Or Scholarships | 13767000 | GrantsOrScholarships |
| Other Expenditures | 75029000 | OtherExpenditures |
| Administrative Expenses | 14108000 | AdministrativeExpenses |
| End Of Year Balance | 1624331000 | EndOfYearBalance |
Current Year Minus2 Years CurrentYearMinus2Years
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Of Year Balance | 1507019000 | BeginningOfYearBalance |
| Contributions | 81279000 | Contributions |
| Investment Earnings Or Losses | 151556000 | InvestmentEarningsOrLosses |
| Grants Or Scholarships | 15015000 | GrantsOrScholarships |
| Other Expenditures | 73401000 | OtherExpenditures |
| Administrative Expenses | 19479000 | AdministrativeExpenses |
| End Of Year Balance | 1631959000 | EndOfYearBalance |
Current Year Minus3 Years CurrentYearMinus3Years
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Of Year Balance | 1659458000 | BeginningOfYearBalance |
| Contributions | 75041000 | Contributions |
| Investment Earnings Or Losses | -125638000 | InvestmentEarningsOrLosses |
| Grants Or Scholarships | 19010000 | GrantsOrScholarships |
| Other Expenditures | 82832000 | OtherExpenditures |
| End Of Year Balance | 1507019000 | EndOfYearBalance |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Board Designated EOY Balance | 0.31200 | BoardDesignatedEOYBalance |
| Permanent Endowment EOY Balance | 0.67200 | PermanentEndowmentEOYBalance |
| Term Endowment EOY Balance | 0.01600 | TermEndowmentEOYBalance |
| Endowments Held By Unrelated Orgs | false | EndowmentsHeldByUnrelatedOrgs |
| Endowments Held By Related Orgs | false | EndowmentsHeldByRelatedOrgs |
Land Land
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 37738000 | OtherCostOrOtherBasis |
| Book Value | 37738000 | BookValue |
Buildings Buildings
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 951350000 | OtherCostOrOtherBasis |
| Depreciation | 329446000 | Depreciation |
| Book Value | 621904000 | BookValue |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Leasehold Improvements | LeaseholdImprovements |
Equipment Equipment
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 513595000 | OtherCostOrOtherBasis |
| Depreciation | 367042000 | Depreciation |
| Book Value | 146553000 | BookValue |
Other Land Buildings OtherLandBuildings
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 67573000 | OtherCostOrOtherBasis |
| Depreciation | 0 | Depreciation |
| Book Value | 67573000 | BookValue |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Book Value Land Buildings | 873768000 | TotalOfBookValueLandBuildings |
| Financial Derivatives | FinancialDerivatives | |
| Closely Held Equity Interests | CloselyHeldEquityInterests |
Other Securities OtherSecurities (3 entries)
| DescriptionDescription | Book ValueBookValue | Method Of ValuationMethodOfValuation |
|---|---|---|
| ALTERNATIVE SECURITIES | 712110000 | F |
| PRIVATE EQUITY | 194384000 | F |
| REAL ASSETS | 294414000 | F |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Book Value Securities | 1200908000 | TotalOfBookValueSecurities |
| Federal Income Tax Liability | 0 | FederalIncomeTaxLiability |
Other Liabilities OtherLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | ACCUMULATED POST RET. BENEFIT | Description |
| Amount | $662,904,000 | Amount |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Amounts | 662904000 | TotalOfAmounts |
| Total Revenue | 2250768000 | TotalRevenue |
| Total Expenses | 2245042000 | TotalExpenses |
| Excess Or Deficit For Year | 5726000 | ExcessOrDeficitForYear |
| Net Unrealized GL On Investments | 160506000 | NetUnrealizedGLOnInvestments |
| Other | -$28,471,000 | OtherAmount |
| Total Adjustments | 132035000 | TotalAdjustments |
| Excess Or Deficit Per FS | 137761000 | ExcessOrDeficitPerFS |
| Tot Revenue Etc Audited Fincl Stmt | 2362295000 | TotRevenueEtcAuditedFinclStmt |
| Net Unrealized Gains Investments | 160506000 | NetUnrealizedGainsInvestments |
| Other Revenues | -53114000 | OtherRevenues |
| Revenue Not Rptd F990 | 107392000 | RevenueNotRptdF990 |
| Revenue Subtotal | 2254903000 | RevenueSubtotal |
| Other Revenues Not Included | -4135000 | OtherRevenuesNotIncluded |
| Revenue Not Rptd On Fin Stmt | -4135000 | RevenueNotRptdOnFinStmt |
| Total Revenue Per Form990 | 2250768000 | TotalRevenuePerForm990 |
| Tot Expenses Etc Audited Fincl Stmt | 2196063000 | TotExpensesEtcAuditedFinclStmt |
| Other Expenses Included | 8598000 | OtherExpensesIncluded |
| Expenses Not Rptd F990 | 8598000 | ExpensesNotRptdF990 |
| Expenses Subtotal | 2187465000 | ExpensesSubtotal |
| Investment Expenses Not Included2 | 4976000 | InvestmentExpensesNotIncluded2 |
| Other Expenses Not Included | 52601000 | OtherExpensesNotIncluded |
| Expenses Not Rptd On Fin Stmt | 57577000 | ExpensesNotRptdOnFinStmt |
| Total Expenses Per Form990 | 2245042000 | TotalExpensesPerForm990 |
Form990 Schedule D Part XIV Form990ScheduleDPartXIV
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | FORM 990, SCHEDULE D, PART III, LINE 1a | Identifier |
| Return Reference | The Institute does not capitalize its collection items. Due to the | ReturnReference |
| Explanation | immateriality of the effect of collections practices on its financial statements, the Institute does not disclose its collections policies. FORM 990, SCHEDULE D, PART III, LINE 4 CALTECH MAINTAINS A COLLECTION OF INSTITUTIONAL RECORDS, DOCUMENTs, ARTIFACTS, and SPECIMENS FOR HISTORICAL PRESERVATION, INSTRUCTION, AND SCHOLARLY RESEARCH. FORM 990, SCHEDULE D, PART IV, LINE 2B The Institute IS THE TRUSTEE OF donor annuities and trust agreements and manages CERTAIN investment funds for others, such as related organizations. FORM 990, SCHEDULE D, PART V, LINE 4 The Institute's endowment functions to provide income to support the Institute's mission of scientific research and education. Form 990, Schedule D, Part VII, Line 3(A) Alternative Securities include, but are not limited to, substantial INVESTMENT holdings that are illiquid and/or contain various redemption restrictions. FORM 990, SCHEDULE D, PART X, LINE 2 THE INSTITUTE IS GENERALLY EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF INTERNAL REVENUE CODE ("IRC") SECTION 501(C)(3). THE INSTITUTE IS ALSO GENERALLY EXEMPT FROM PAYMENT OF CALIFORNIA STATE INCOME, GIFT, ESTATE, AND INHERITANCE TAXES. THE INSTITUTE HAS NO REPORTING REQUIREMENTS FOR UNCERTAIN TAX POSITIONS FOR THE YEARS ENDED SEPTEMBER 30, 2012 AND 2011. FORM 990, SCHEDULE D, PART XI, LINE 8 LOSS ON DISPOSAL OF PROPERTY ($4,407,000) CHANGES IN POST EMPLOYMENT BENEFIT OBLIGATIONS ($19,429,000) LOSS ON RETIREMENT OF BONDS ($4,635,000) TOTAL ($28,471,000) FORM 990, SCHEDULE D, PART XII, LINE 2D RECLASSify FINANCIAL AID NETTED WITH TUITION ($48,138,000) INVESTMENT EXPENSE ($4,976,000) TOTAL ($53,114,000) FORM 990, SCHEDULE D, PART XII, LINE 4B COST OF GOODS SOLD ($8,598,000) RECLASSification OF INTERNAL SALES $4,463,000 Total ($4,135,000) FORM 990, SCHEDULE D, PART XIII, LINE 2D COST OF GOODS SOLD $8,598,000 FORM 990, SCHEDULE D, PART XIII, LINE 4B RECLASSification of INTERNAL SALES $4,463,000 FINANCIAL AID EXPENSE $48,138,000 Total $52,601,000 | Explanation |
Schedule E IRS990ScheduleE
| Field | Value | IRS element (for citing) |
|---|---|---|
| Nondiscriminatory Policy Stmt | true | NondiscriminatoryPolicyStmt |
| Policy Statement In Brochures Etc | true | PolicyStatementInBrochuresEtc |
| Policy Publ Via Broadcast Media | true | PolicyPublViaBroadcastMedia |
| Maint Racial Composition Records | true | MaintRacialCompositionRecords |
| Maint Scholarships Records | true | MaintScholarshipsRecords |
| Maint Copies Of Brochures Etc | true | MaintCopiesOfBrochuresEtc |
| Maint Copies Of All Solicitations | true | MaintCopiesOfAllSolicitations |
| Discriminate Race Students Rights | false | DiscriminateRaceStudentsRights |
| Discriminate Race Admiss Policies | false | DiscriminateRaceAdmissPolicies |
| Discriminate Race Emplmn Faculty | false | DiscriminateRaceEmplmnFaculty |
| Discriminate Race Scholarships | false | DiscriminateRaceScholarships |
| Discriminate Race Educ Policies | false | DiscriminateRaceEducPolicies |
| Discriminate Race Use Of Fclts | false | DiscriminateRaceUseOfFclts |
| Discriminate Race Athletic Prog | false | DiscriminateRaceAthleticProg |
| Discriminate Race Other Acty | false | DiscriminateRaceOtherActy |
| Government Financial Aid Received | true | GovernmentFinancialAidReceived |
| Government Financial Aid Revoked | false | GovernmentFinancialAidRevoked |
| Compliance With Rev Proc7550 | true | ComplianceWithRevProc7550 |
Form990 Schedule E Part II Form990ScheduleEPartII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | SCHEDULE E, LINE 3 | Identifier |
| Return Reference | THE INSTITUTE'S RACIALLY NONDISCRIMINATORY POLICY IS CONTAINED IN THE | ReturnReference |
| Explanation | MINUTES OF THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES OF FEBRUARY 1976. THE STATEMENT OF THIS POLICY OR REFERENCE THERETO APPEARS IN ALL OF THE INSTITUTE'S CATALOGS, BROCHURES, AND OTHER WRITTEN COMMUNICATIONS WITH THE PUBLIC DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS. THE INSTITUTE SATISFIED THE PUBLICATIONS REQUIREMENT BY VIRTUE OF ITS COMPLIANCE WITH SECTION 4.02 AS PROVIDED IN SECTION 4.03-2(B). SCHEDULE E, LINE 6A THE INSTITUTE RECEIVES GRANTS AND ENTERS INTO CONTRACTS WITH VARIOUS AGENCIES OF THE U.S. GOVERNMENT, THE STATE OF CALIFORNIA, AND LOCAL GOVERNMENT UNITS FOR RESEARCH, TRAINING, AND STUDENT AID. | Explanation |
Schedule F IRS990ScheduleF
Accts Actvs Out US Table AcctsActvsOutUSTable (17 entries)
| RegionRegion | Number Of OfficesNumberOfOffices | Number Of EmployeesNumberOfEmployees | Type Of Activities ConductedTypeOfActivitiesConducted | Total ExpendituresTotalExpenditures | Specific Services ProvidedSpecificServicesProvided |
|---|---|---|---|---|---|
| Central America and the Caribbean | 0 | 0 | Investments | 526384802 | |
| Central America and the Caribbean | 0 | 0 | Program Services | 16315 | SCIENTIFIC RESEARCH |
| East Asia and the Pacific | 0 | 0 | Investments | 1984441 | |
| East Asia and the Pacific | 0 | 0 | Program Services | 3236731 | SCIENTIFIC RES & EDU |
| Europe (Including Iceland and Greenland) | 0 | 0 | Investments | 88746449 | |
| Europe (Including Iceland and Greenland) | 4 | 17 | Program Services | 14904853 | SCIENTIFIC RES & EDU |
| Middle East and North Africa | 0 | 0 | Investments | 1271040 | |
| Middle East and North Africa | 0 | 0 | Program Services | 154725 | SCIENTIFIC RESEARCH |
| North America | 0 | 0 | Investments | 18253179 | |
| North America | 0 | 0 | Program Services | 2492029 | SCIENTIFIC RESEARCH |
| Russia and the Newly Independent States | 0 | 0 | Investments | 2533059 | |
| Russia and the Newly Independent States | 0 | 0 | Program Services | 198830 | SCIENTIFIC RESEARCH |
| South America | 0 | 0 | Investments | 13233380 | |
| South America | 0 | 0 | Program Services | 451843 | SCIENTIFIC RESEARCH |
| Sub-Saharan Africa | 0 | 0 | Investments | 227825 | |
| Sub-Saharan Africa | 0 | 0 | Program Services | 92647 | SCIENTIFIC RESEARCH |
| South Asia | 0 | 0 | Program Services | 428282 | SCIENTIFIC RESEARCH |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Subtotal Number Of Offices | 4 | SubtotalNumberOfOffices |
| Subtotal Number Of Employees | 17 | SubtotalNumberOfEmployees |
| Total Number Of Offices | 4 | TotalNumberOfOffices |
| Total Number Of Employees | 17 | TotalNumberOfEmployees |
| Subtotal Amount Spent | 674610430 | SubtotalAmountSpent |
| Total Amount Spent | 674610430 | TotalAmountSpent |
Grants To Ind Outside US GrantsToIndOutsideUS (2 entries)
| Type Of AssistanceTypeOfAssistance | RegionRegion | Number Of RecipientsNumberOfRecipients | Amount Of Cash GrantAmountOfCashGrant | Manner Of Cash DisbursementMannerOfCashDisbursement | Amount Of Non Cash AssistanceAmountOfNonCashAssistance |
|---|---|---|---|---|---|
| STUDY ABROAD | East Asia/Pacific | 1 | 11500 | WIRE TRANS | 0 |
| STUDY ABROAD | Europe/Iceland/Greenland | 22 | 166500 | WIRE TRANS | 0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Transfer To Foreign Corp | true | TransferToForeignCorp |
| Interest In Foreign Trust | false | InterestInForeignTrust |
| Own Foreign Corp | true | OwnForeignCorp |
| Passive Foreign Invest Co | true | PassiveForeignInvestCo |
| Foreign Partnership | true | ForeignPartnership |
| Boycott Countries | true | BoycottCountries |
Form990 Schedule F Part V Form990ScheduleFPartV
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | Form 990, schedule f, Part I, LINES 1 AND 2 | Identifier |
| Return Reference | RECORDS FOR THE INSTITUTE'S STUDY ABROAD PROGRAM ARE MAINTAINED BY THE | ReturnReference |
| Explanation | OFFICE OF FELLOWSHIPS ADVISING AND STUDY ABROAD. THIS OFFICE IS RESPONSIBLE FOR MONITORING THE USE OF FUNDS UNDER ESTABLISHED GUIDELINES. FORM 990, SCHEDULE F, PART I, LINE 3 THE ORGANIZATION IS ABLE TO IDENTIFY EXPENDITURES THROUGH ITS BOOKS AND RECORDS. EXPENDITURES FOR ALL PROGRAM SERVICES ARE MADE AT FAIR VALUE WITH THE OBJECTIVE OF OBTAINING THE BEST RATES AVAILABLE. THE INSTITUTE'S INVESTMENT OFFICE IS RESPONSIBLE FOR ALL FOREIGN AND DOMESTIC INVESTMENTS. ALL INVESTMENTS ARE MADE AT FAIR MARKET VALUE (FMV). | Explanation |
Schedule I IRS990ScheduleI
| Field | Value | IRS element (for citing) |
|---|---|---|
| Records Maintained | true | RecordsMaintained |
Recipient Table RecipientTable (2 entries)
| Address Line1AddressUS/AddressLine1 | CityAddressUS/City | StateAddressUS/State | ZIP CodeAddressUS/ZIPCode | EIN Of RecipientEINOfRecipient | IRC SectionIRCSection | Amount Of Cash GrantAmountOfCashGrant | Purpose Of GrantPurposeOfGrant |
|---|---|---|---|---|---|---|---|
| CALTECH Y | |||||||
| 1200 E CALIFORNIA BLVD | PASADENA | CA | 91125 | 951684790 | 501(C)(3) | 75000 | ASSIST RELATED ORG. |
| TMT OBSERVATORY CORPORATION | |||||||
| 1111 S ARROYO PKWY | PASADENA | CA | 91105 | 200988966 | 501(c)(3) | 7500000 | Scientific Collab. |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Nbr Of501 C3 And Govt Grants | 2 | TotalNbrOf501C3AndGovtGrants |
Form990 Schedule I Part III Form990ScheduleIPartIII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Type Of Grant | student aid | TypeOfGrant |
| Number Of Recipients | 1702 | NumberOfRecipients |
| Amount Of Cash Grant | 65767000 | AmountOfCashGrant |
Form990 Schedule I Part IV Form990ScheduleIPartIV
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | form 990, schedule i, part i, line 2 | Identifier |
| Explanation | THE INSTITUTE'S GRANTS AND ASSISTANCE WITHIN THE UNITED STATES CONSISTS PRIMARILY OF SCHOLARSHIPS AND FELLOWSHIPS AWARDED TO STUDENTS. STUDENTS ARE SELECTED FOR SCHOLARSHIPS AND FELLOWSHIPS BASED ON ACADEMIC ACHIEVEMENT, FINANCIAL NEED, AND SIMILAR STANDARDS. VARIOUS INSTITUTE OFFICES MONITOR ELIGIBILITY AND SATISFACTORY ACADEMIC PROGRESS BY GRANTEES. THE INSTITUTE MAKES AN ANNUAL $75,000 GRANT TO THE CALTECH Y. IN ADDITION, THE INSTITUTE ALLOWS THE CALTECH Y THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH Y IS A RELATED ORGANIZATION WHOSE MISSION IS TO SUPPORT THE STUDENTS OF CALTECH THROUGH VARIOUS ACTIVITIES. THE INSTITUTE ALLOWS THE CALTECH ALUMNI ASSOCIATION THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH ALUMNI ASSOCIATION IS A RELATED ORGANIZATION WHOSE MISSION IS TO PROVIDE EDUCATIONAL AND OTHER PROGRAMS FOR CALTECH ALUMNI AND STUDENTS. TMT DEVELOPMENT CORPORATION COLLABORATES WITH THE INSTITUTE ON THE THIRTY METER TELESCOPE PROJECT. THE INSTIUTE ALLOWS THE CHILDREN'S CENTER AT CALTECH THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CHILDREN'S CENTER IS AN UNRELATED NONPROFIT ORGANIZATION WHOSE MISSION IS TO PROVIDE CHILD CARE SERVICES TO PARENTS THAT LIVE IN THE VICINITY OF CALTECH OR ARE EMPLOYED BY CALTECH. INSTITUTE OFFICES MONITOR THE GRANTEE'S PERFORMANCE ACCORDING TO THEIR RESPECTIVE PROGRAM SERVICES GOALS AND/OR PURSUANT TO OTHER AGREEMENTS. FORM 990, SCHEDULE I, PART III, COLUMN (C) CASH GRANTS REPRESENT CREDIT ON ACCOUNTS. | Explanation |
Schedule J IRS990ScheduleJ
| Field | Value | IRS element (for citing) |
|---|---|---|
| First Class Or Charter Travel | X | FirstClassOrCharterTravel |
| Travel For Companions | X | TravelForCompanions |
| Housing Allowance Or Residence | X | HousingAllowanceOrResidence |
| Written Policy Re T And E Expenses | true | WrittenPolicyReTAndEExpenses |
| Substantiation Required | true | SubstantiationRequired |
| Compensation Committee | X | CompensationCommittee |
| Compensation Survey | X | CompensationSurvey |
| Board Or Committee Approval | X | BoardOrCommitteeApproval |
| Severance Payment | true | SeverancePayment |
| Supplemental Nonqual Retire Plan | true | SupplementalNonqualRetirePlan |
| Equity Based Comp Arrangement | false | EquityBasedCompArrangement |
| Comp Based On Revenue Of Filing Org | false | CompBasedOnRevenueOfFilingOrg |
| Comp Based On Revenue Related Orgs | false | CompBasedOnRevenueRelatedOrgs |
| Comp Based Net Earnings Filing Org | false | CompBasedNetEarningsFilingOrg |
| Comp Based Net Earnings Relate Orgs | false | CompBasedNetEarningsRelateOrgs |
| Any Non Fixed Payments | true | AnyNonFixedPayments |
| Initial Contract Exception | false | InitialContractException |
Form990 Schedule J Part II Form990ScheduleJPartII (24 entries)
| Base Compensation Filing OrgBaseCompensationFilingOrg | Bonus Filing OrgBonusFilingOrg | Other Compensation Filing OrgOtherCompensationFilingOrg | Deferred Comp Filing OrgDeferredCompFilingOrg | Deferred Comp Related OrgsDeferredCompRelatedOrgs | Nontaxable Benefits Filing OrgNontaxableBenefitsFilingOrg | Nontaxable Benefits Related OrgsNontaxableBenefitsRelatedOrgs | Total Compensation Filing OrgTotalCompensationFilingOrg | Total Compensation Related OrgsTotalCompensationRelatedOrgs | Comp Report Prior990 Filing OrgCompReportPrior990FilingOrg | Comp Report Prior990 Related OrgsCompReportPrior990RelatedOrgs | Comp Based On Related OrgsCompBasedOnRelatedOrgs | Bonus Related OrgsBonusRelatedOrgs | Other Compensation Related OrgsOtherCompensationRelatedOrgs |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| JEAN-LOU A CHAMEAU | |||||||||||||
| 779691 | 0 | 16500 | 38012 | 0 | 58680 | 0 | 892883 | 0 | 0 | 0 | |||
| MATTHEW W BREWER | |||||||||||||
| 180440 | 0 | 0 | 20233 | 0 | 15678 | 0 | 216351 | 0 | 0 | 0 | 0 | 0 | 0 |
| DEAN CURRIE | |||||||||||||
| 511274 | 10000 | 8421 | 38012 | 0 | 24776 | 0 | 592483 | 0 | 0 | 0 | |||
| PETER B DERVAN | |||||||||||||
| 324991 | 0 | 0 | 38012 | 0 | 26302 | 0 | 389305 | 0 | 0 | 0 | |||
| CHARLES ELACHI | |||||||||||||
| 490524 | 186623 | 0 | 38012 | 0 | 12218 | 0 | 727377 | 0 | 0 | 0 | |||
| PETER D HERO | |||||||||||||
| 133161 | 0 | 54916 | 15839 | 0 | 5964 | 0 | 209880 | 0 | 0 | 0 | |||
| MADELINE WAY LEE | |||||||||||||
| 133916 | 15793 | 0 | 13813 | 0 | 20032 | 0 | 183554 | 0 | 0 | 0 | |||
| JENNIFER THERESA LUM | |||||||||||||
| 211936 | 1579 | 0 | 26560 | 0 | 33766 | 0 | 273841 | 0 | 0 | 0 | |||
| SHARON E PATTERSON | |||||||||||||
| 274686 | 7000 | 35046 | 28212 | 0 | 9656 | 0 | 354600 | 0 | 0 | 0 | |||
| SCOTT H RICHLAND | |||||||||||||
| 364828 | 0 | 24103 | 172058 | 0 | 30841 | 0 | 591830 | 0 | 0 | 0 | |||
| ANNEILA I SARGENT | |||||||||||||
| 306127 | 0 | 0 | 38012 | 0 | 22741 | 0 | 366880 | 0 | 0 | 0 | |||
| EDWARD M STOLPER | |||||||||||||
| 463916 | 10000 | 16500 | 38012 | 0 | 13014 | 0 | 541442 | 0 | 0 | 0 | |||
| VICTORIA D STRATMAN | |||||||||||||
| 352926 | 3000 | 24530 | 38012 | 0 | 18813 | 0 | 437281 | 0 | 0 | 0 | |||
| MARY L WEBSTER | |||||||||||||
| 197164 | 5000 | 15600 | 32702 | 0 | 10938 | 0 | 261404 | 0 | 0 | 0 | |||
| Firouz M Naderi | |||||||||||||
| 322572 | 0 | 16500 | 38012 | 0 | 10522 | 0 | 387606 | 0 | 0 | 0 | |||
| EUGENE L TATTINI | |||||||||||||
| 371078 | 68793 | 16500 | 38012 | 0 | 7558 | 0 | 501941 | 0 | 0 | 0 | |||
| DAVID BALTIMORE | |||||||||||||
| 345399 | 0 | 41824 | 38012 | 0 | 21829 | 0 | 447064 | 0 | 0 | 0 | |||
| JOHN F HALL | |||||||||||||
| 129313 | 0 | 0 | 18048 | 0 | 15117 | 0 | 162478 | 0 | 0 | 0 | |||
| CHRIS JONES | |||||||||||||
| 295756 | 3000 | 16500 | 38012 | 0 | 15417 | 0 | 368685 | 0 | 0 | 0 | |||
| JAKOB VAN ZYL | |||||||||||||
| 290892 | 5000 | 16500 | 28212 | 0 | 10158 | 0 | 350762 | 0 | 0 | 0 | |||
| EDWARD STONE | |||||||||||||
| 300984 | 0 | 102385 | 38012 | 0 | 21529 | 0 | 462910 | 0 | 0 | 0 | |||
| DEBORAH GOODMAN | |||||||||||||
| 19953 | 0 | 335362 | 38012 | 0 | 1961 | 0 | 395288 | 0 | 0 | 0 | |||
| COLIN CAMERER | |||||||||||||
| 329938 | 0 | 16500 | 28212 | 0 | 6895 | 0 | 381545 | 0 | 0 | 0 | |||
| JEAN-LAURENT ROSENTHAL | |||||||||||||
| 286115 | 0 | 56692 | 28212 | 0 | 16439 | 0 | 387458 | 0 | 0 | 0 | 0 | 0 | 0 |
Form990 Schedule J Part III Form990ScheduleJPartIII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | form 990, schedule j, part i, line 1a | Identifier |
| Return Reference | first class travel: | ReturnReference |
| Explanation | Pursuant to a written policy, first class travel is permitted for certain senior officers for business purposes. Travel for business purposes is not included in taxable wages. Companion Travel: Pursuant to the individual's employment agreement and a written policy, spouses of certain senior officers are permitted to travel with the officer if a business purpose exists. Spousal travel for business purposes is not included in taxable wages. Housing Allowance: Housing allowances are provided to certain officers, former officers, and highest compensated employees as part of the Institute's Salary Supplement Housing Program, which is governed by a written policy. Payments under this program are included in taxable wages. The President occupies an Institute-owned residence on its campus as a condition of employment for the convenience of the Institute. The President's nontaxable benefits in Schedule J, Part I, Column (D) include $38,897 as an estimate of the value of the personal space occupied in that residence. FORM 990, SCHEDULE J, PART I, LINE 4A Schedule J, Part I, column B(iii) includes A SEPARATION PAYMENT MADE IN 2011 TO DEBORAH GOODMAN TOTALING $269,515. THIS PAYMENT MEETS THE IRS DEFINITION OF SEVERANCE AS PER SCHEDULE J INSTRUCTIONS. FORM 990, SCHEDULE J, PART I, LINE 4B TERMS AND CONDITIONS OF DEFERRED PERFORMANCE COMPENSATION PLAN FOR INVESTMENT PROFESSIONALS: IN 2011 THE INSTITUTE ESTABLISHED A PERFORMANCE COMPENSATION PLAN TO ASSIST WITH RECRUITMENT AND RETENTION FOR ITS INVESTMENT OFFICE. UNDER THE TERMS OF THE PLAN PARTICIPANTS ARE ELIGIBLE FOR CERTAIN AWARDS BASED ON THE PERFORMANCE OF THE INSTITUTE'S INVESTMENTS AS MEASURED BY CERTAIN QUALITATIVE AND QUANTITATIVE FACTORS. THE DEFERRED AMOUNTS ARE SUBJECT TO RISK OF FORFEITURE IF THE INDIVIDUAL IS NOT EMPLOYED BY THE INSTITUTE AS OF THE DATE OF PAYMENT. form 990, schedule j, part II, line 7 Certain individuals listed in Part I of Schedule J received bonuses in recognition of excellent job performance or as a negotiated payment at the beginning of an employment contract. Bonus recipients' names and amounts paid are shown in schedule J, part II, column (ii). SCOTT H. RICHLAND - CHIEF INVESTMENT OFFICER: THE INSTITUTE OFFERS INCENTIVE COMPENSATION TO CERTAIN INVESTMENT PROFESSIONALS BASED UPON THE INSTITUTE'S INVESTMENT PERFORMANCE. SEE RESPONSE TO QUESTION 4B ABOVE. | Explanation |
Schedule K IRS990ScheduleK
Form990 Schedule K Part I Form990ScheduleKPartI (2 entries)
| Issuer EINIssuerEIN | CUSIP NumberCUSIPNumber | Date IssuedDateIssued | Issue PriceIssuePrice | Description Of PurposeDescriptionOfPurpose | DefeasedDefeased | On Behalf Of IssuerOnBehalfOfIssuer | Pool FinancingPoolFinancing |
|---|---|---|---|---|---|---|---|
| CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY | |||||||
| 521705592 | 130178EZ5 | 2006-07-12 | 165000000 | CONSTRUCTION AND REFUNDING | false | false | false |
| CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY | |||||||
| 521705592 | 130178TE6 | 2009-07-28 | 80696800 | CONSTRUCTION | false | false | false |
Form990 Schedule K Part II Form990ScheduleKPartII (2 entries)
| Amount RetiredAmountRetired | Amount Bond DefeasedAmountBondDefeased | Total ProceedsTotalProceeds | Amount In Reserve FundAmountInReserveFund | Capitalized InterestCapitalizedInterest | Refunding EscrowRefundingEscrow | Issuance Costs From ProceedsIssuanceCostsFromProceeds | Credit EnhancementCreditEnhancement | Working Capital ExpendituresWorkingCapitalExpenditures | Capital ExpendituresCapitalExpenditures | Other Spent ProceedsOtherSpentProceeds | Amount UnspentAmountUnspent | Year Of Subst CompletionYearOfSubstCompletion | Current RefundingCurrentRefunding | Advance RefundingAdvanceRefunding | Final Allocation MadeFinalAllocationMade | Adequate Books And Recds MaintaindAdequateBooksAndRecdsMaintaind |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 184062305 | 0 | 0 | 0 | 1340480 | 0 | 0 | 93471825 | 89250000 | 0 | 2010 | false | true | true | true |
| 0 | 0 | 80796565 | 0 | 0 | 0 | 992698 | 0 | 0 | 79803867 | 0 | 0 | 2010 | false | false | true | true |
Form990 Schedule K Part III Form990ScheduleKPartIII (2 entries)
| Owning Bond Financed PropertyOwningBondFinancedProperty | Any Lease ArrangementsAnyLeaseArrangements | Mngment Cntrct Bond Financd PrprtyMngmentCntrctBondFinancdPrprty | Any Research AgreementsAnyResearchAgreements | Engage Bond Counsel ResearchEngageBondCounselResearch | Prcntge Prvt Business Use By OthersPrcntgePrvtBusinessUseByOthers | Percentage Of Prvt Business Re UBIPercentageOfPrvtBusinessReUBI | Total Private Business UseTotalPrivateBusinessUse | Post Issuance Compliance ProcdrsPostIssuanceComplianceProcdrs | Engage Bond Counsel ContractsEngageBondCounselContracts |
|---|---|---|---|---|---|---|---|---|---|
| false | true | false | true | true | 0.01700 | 0.00100 | 0.01800 | true | |
| false | true | true | true | true | 0.00000 | 0.00000 | 0.00000 | true | true |
Form990 Schedule K Part IV Form990ScheduleKPartIV (2 entries)
| Form8038 T FiledForm8038TFiled | Variable Rate IssueVariableRateIssue | Hedge Identified In Books And RecdsHedgeIdentifiedInBooksAndRecds | Term Of HedgeTermOfHedge | Superintegrated HedgeSuperintegratedHedge | Hedge TerminatedHedgeTerminated | Gross Proceeds Invested In GICGrossProceedsInvestedInGIC | Business Name Line1NameOfGICProvider/BusinessNameLine1 | Term Of GICTermOfGIC | Regulatory Safe Harbor SatisfiedRegulatorySafeHarborSatisfied | Gross Proceeds InvestedGrossProceedsInvested | Exception To RebateExceptionToRebate |
|---|---|---|---|---|---|---|---|---|---|---|---|
| BANK OF NY MELLON | |||||||||||
| false | true | true | 30.3 | false | false | true | CITIGRP GLOBAL TRADE | 2. | true | false | true |
| 0 | |||||||||||
| false | false | false | false | false | false | 0 | false | true | |||
| Field | Value | IRS element (for citing) |
|---|---|---|
| Fed Tax Requirements Compliance | X | FedTaxRequirementsCompliance |
Form990 Schedule K Part VI Form990ScheduleKPartVI (2 entries)
| IdentifierIdentifier | Return ReferenceReturnReference | ExplanationExplanation |
|---|---|---|
| DIFFERENCE BETWEEN AMOUNT IN PART I, (E) AND PART II, 3 IS DUE TO INTEREST | 0 | EARNED ON INVESTED PROCEEDS. |
| THE ISSUE DATE OF THE BONDS REFUNDED BY THE SERIES 2006 BONDS IS | 0 |
Schedule L IRS990ScheduleL
Loan Table LoanTable
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Person | DEAN W CURRIE | NamePerson |
| Purpose Of Loan | relocation loan | PurposeOfLoan |
| Loan From Organization | X | LoanFromOrganization |
| Original Principal | $350,000 | OriginalPrincipalAmount |
| Balance Due | 350000 | BalanceDue |
| Default | false | Default |
| Approved By Board | true | ApprovedByBoard |
| Written Agreement | true | WrittenAgreement |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Balance Due | 350000 | TotalBalanceDue |
Form990 Schedule L Part III Form990ScheduleLPartIII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Amount Of Grant | 67563 | AmountOfGrant |
| Type Of Assistance | SEE PART V | TypeOfAssistance |
Form990 Schedule L Part IV Form990ScheduleLPartIV (11 entries)
| RelationshipRelationship | Amount Of TransactionAmountOfTransaction | Description Of TransactionDescriptionOfTransaction | Sharing Of RevenuesSharingOfRevenues |
|---|---|---|---|
| ROBERT BONNER | |||
| TRUSTEE | 31304 | FAMILY MEMBER EMPLOYED BY CIT | false |
| JEAN-LOU A CHAMEAU | |||
| PRESIDENT | 118562 | FAMILY MEMBER EMPLOYED BY CIT | false |
| PETER DERVAN | |||
| VP FOR DEV AND INST REL | 387731 | FAMILY MEMBER EMPLOYED BY CIT | false |
| STEVEN ONDERDONK | |||
| TRUSTEE | 144431 | FAMILY MEMBER EMPLOYED BY CIT | false |
| PEDRO J PIZARRO | |||
| TRUSTEE | 109534 | FAMILY MEMBER EMPLOYED BY CIT | false |
| ANNEILA I SARGENT | |||
| VP FOR STUDENT AFFAIRS | 247820 | FAMILY MEMBER EMPLOYED BY CIT | false |
| EDWARD M STOLPER | |||
| PROVOST | 140908 | FAMILY MEMBER EMPLOYED BY CIT | false |
| VICTORIA D STRATMAN | |||
| GENERAL COUNSEL | 62130 | FAMILY MEMBER EMPLOYED BY CIT | false |
| MARY L WEBSTER | |||
| SECRETARY | 87723 | FAMILY MEMBER EMPLOYED BY CIT | false |
| CANYON CAPITAL ADVISORS LLC | |||
| SEE PART V | 40000000 | SEE PART V | false |
| ORBITAL SCIENCES CORPORATION | |||
| SEE PART V | 20759675 | SEE PART V | false |
Form990 Schedule L Part V Form990ScheduleLPartV (2 entries)
| IdentifierIdentifier | ExplanationExplanation | Return ReferenceReturnReference |
|---|---|---|
| PART III, LINE 1 | FAMILY MEMBER OF INTERESTED PERSON RECEIVING GRADUATE FELLOWSHIP WHILE ATTENDING CALTECH. | |
| PART IV | A. Name of Person: Canyon Capital Advisors LLC ("Canyon") B. Relationship between Interested Person and Organization: Joshua S. Friedman, a trustee of the Institute, is also a Founding Partner, Co-Chairman and Co-CEO of Canyon. C. Amount of Transaction: cost - $40,000,000; market value as of 9/30/2012 - $46,972,071 D. Description of Transaction: The Institute invested in a fund managed by Canyon after an independent committee of trustees considered the transaction in accordance with Caltech policy and determined that: The transaction was fair and reasonable as to the Institute and the economic benefit provided by the Institute did not exceed the fair market value of the consideration received by the Institute; the transaction was entered into solely for the benefit of the Institute; and the Institute could not have obtained a more advantageous arrangement with reasonable effort under the circumstances. The recommendation of the committee to proceed with the transaction was approved by the full Board of Trustees. Mr. Friedman did not participate in and was excluded from the Institute's deliberations and decisions with respect to this transaction. Total fees and expenses paid for the Institute's investment in the Canyon Structured Assets Fund between 10/24/2011 and 9/30/2012 equal $654,874.31. In addition, the account has accrued (but not yet finalized and paid) $1,735,335.32 in incentive fees over the same period. As of September 30, 2012, Canyon had assets under management of approximately $15 billion. A. Name of Person: Orbital Sciences Corporation ("Orbital") B. Relationship between Interested Person and Organization: David W. Thompson, a trustee of The Institute is also Chairman, CEO and President of Orbital. C. Amount of Transaction: aggregate $20,759,675 for the year ended September 30, 2012 D. Description of Transaction: Orbital is a U.S. based company that specializes in the manufacturing and launch of satellites and is an industry leader in small and medium class space and rocket systems. In connection with certain space missions managed by the Institute for which NASA provides funding, the Institute has procured space hardware from Orbital in the normal course of business, at arm's length and in accordance with Institute procurement policies and procedures. Mr. Thompson did not participate in and was excluded from the Institute's deliberations and decisions with respect to these procurements. | BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS |
Schedule M IRS990ScheduleM
| Field | Value | IRS element (for citing) |
|---|---|---|
| Works Of Art | WorksOfArt | |
| Art Historical Treasures | ArtHistoricalTreasures | |
| Art Fractional Interest | ArtFractionalInterest | |
| Books And Publications | BooksAndPublications |
Clothing And Household Goods ClothingAndHouseholdGoods
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | X | NonCashCheckbox |
| Noncash Contribs Rptd F990 | 1101 | NoncashContribsRptdF990 |
| Method Of Determining Revenues | RETAIL & PLACE MARK | MethodOfDeterminingRevenues |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cars And Other Vehicles | CarsAndOtherVehicles | |
| Boats And Planes | BoatsAndPlanes | |
| Intellectual Property | IntellectualProperty |
Securities Publicly Traded SecuritiesPubliclyTraded
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | X | NonCashCheckbox |
| Number Of Contributions | 51 | NumberOfContributions |
| Noncash Contribs Rptd F990 | 1489094 | NoncashContribsRptdF990 |
| Method Of Determining Revenues | hi-lo avg | MethodOfDeterminingRevenues |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities Closely Held Stock | SecuritiesCloselyHeldStock | |
| Securities Prtnrshp Trust Intrsts | SecuritiesPrtnrshpTrustIntrsts | |
| Securities Miscellaneous | SecuritiesMiscellaneous | |
| Qualified Contrib Hist Struct | QualifiedContribHistStruct | |
| Qualified Contrib Other | QualifiedContribOther |
Real Estate Residential RealEstateResidential
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | X | NonCashCheckbox |
| Number Of Contributions | 1 | NumberOfContributions |
| Noncash Contribs Rptd F990 | 220000 | NoncashContribsRptdF990 |
| Method Of Determining Revenues | APPRAISAL | MethodOfDeterminingRevenues |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real Estate Commercial | RealEstateCommercial | |
| Real Estate Other | RealEstateOther |
Collectibles Collectibles
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | X | NonCashCheckbox |
| Number Of Contributions | 1 | NumberOfContributions |
| Noncash Contribs Rptd F990 | 1 | NoncashContribsRptdF990 |
| Method Of Determining Revenues | PLACE MARK | MethodOfDeterminingRevenues |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Food Inventory | FoodInventory | |
| Drugs And Medical Supplies | DrugsAndMedicalSupplies | |
| Taxidermy | Taxidermy | |
| Historical Artifacts | HistoricalArtifacts | |
| Scientific Specimens | ScientificSpecimens | |
| Archaeological Artifacts | ArchaeologicalArtifacts |
Other Non Cash Contributions Table OtherNonCashContributionsTable (3 entries)
| Non Cash CheckboxNonCashCheckbox | DescriptionDescription | Number Of ContributionsNumberOfContributions | Noncash Contribs Rptd F990NoncashContribsRptdF990 | Method Of Determining RevenuesMethodOfDeterminingRevenues |
|---|---|---|---|---|
| X | EQUIPMENT | 4 | 173085 | INVENTORY&PLACE MARK |
| X | PROMISSORY NOTE | 1 | 3541237 | BALANCE OF NOTE |
| X | MISCELLANEOUS | 5 | 2133 | RETAIL&PLACE MARK |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Number Of8283 Received | 1 | NumberOf8283Received |
| Any Property That Must Be Held | false | AnyPropertyThatMustBeHeld |
| Review Process Unusual NC Gifts | true | ReviewProcessUnusualNCGifts |
| Third Parties Used | true | ThirdPartiesUsed |
Form990 Schedule M Part II Form990ScheduleMPartII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | FORM 990, SCHEDULE M, part i, column(B) | Identifier |
| Return Reference | amounts In this column reflect THE number of contributors. | ReturnReference |
| Explanation | FORM 990, SCHEDULE M, LINE 25 EQUIPMENT DONATED FOR RESEARCH AND INSTRUCTION FORM 990, SCHEDULE M, LINE 27 MISCELLANEOUS EXPENSE: POSTAGE, TRAVEL, PRINTING, OTHER FORM 990, SCHEDULE M, LINE 32A THE INSTITUTE MAY UTILIZE THIRD PARTY BROKERS TO SELL SECURITIES AND REAL ESTATE | Explanation |
Schedule O IRS990ScheduleO
General Explanation GeneralExplanation
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | FORM 990, PARTS I AND III, LINE 1 | Identifier |
| Return Reference | The mission of the California Institute of Technology is to expand human | ReturnReference |
| Explanation | knowledge and benefit society through research integrated with education. We investigate the most challenging, fundamental problems in science and technology in a singularly collegial, interdisciplinary atmosphere, while educating outstanding students to become creative members of society. FORM 990, PART I, LINE 6 THE NUMBER IDENTIFIED IS BASED ON A REASONABLE ESTIMATE. form 990, part iii, line 4d AUXILIARY ENTERPRISES (EXPENSES $23,495,000) (REVENUE $13,033,000) AUXILIARY ENTERPRISES IN SUPPORT OF INSTITUTE'S MISSION CALTECH Y ALLOCATION (GRANTS $75,000) CASH ALLOCATION TO RELATED ORGANIZATION SUPPORTING INSTITUTE'S MISSION FORM 990, PART IV, LINE 6 THE INSTITUTE HAS NO SEPARATE FUNDS OR ACCOUNTS WHERE DONORS HAVE THE RIGHT EITHER TO PROVIDE ADVICE ON THE INVESTMENT OF AMOUNTS IN THE FUNDS OR TO PROVIDE ADVICE ON DISTRIBUTION OF SUCH FUNDS OUTSIDE THE INSTITUTE. FORM 990, Part VI, Line 2 Trustees Robert B. Chess and William H. Davidow - Business Relationship TRUSTEES NARENDRA K. GUPTA AND WILLIAM H. DAVIDOW - BUSINESS RELATIONSHIP Trustees Thomas E. Everhart and Peter Norton - Business Relationship TRUSTEES JOSHUA S. FRIEDMAN AND B. KIPLING HAGOPIAN - BUSINESS RELATIONSHIP Trustees Kent Kresa and SUZANNE H. WOOLSEY - Business Relationship Trustees James F. Rothenberg and Richmond A. Wolf - Business Relationship TRUSTEES DONALD W. TANG AND DAVID L. LEE - BUSINESS RELATIONSHIP Chief Investment Officer Scott H. Richland and Trustee Jay S. Wintrob - Business Relationship FORM 990, PART VI, LINE 11a The Institute prepares Form 990 with the assistance of a paid preparer. A draft of the Form 990 is presented to the Audit and Compliance Committee for review and comment. A final copy of Form 990 is provided to each member of the Board of Trustees prior to filing with the IRS. An officer of the institute and its paid preparer, respectively, sign the final form 990. FORM 990, PART VI, LINE 12c Each trustee and officer is required to complete annually a conflict of interest questionnaire disclosing potential or actual conflicts. Key employees are required to disclose in writing potential and actual conflicts on an ongoing basis throughout the year. All conflicts are resolved in accordance with the Institute's written conflict of interest policies. FORM 990, PART VI, LINE 15a, 15b The Executive Compensation Committee of the Board of Trustees NORMALLY reviews on an annual basis the compensation of officers and key employees of the Institute. The Executive Compensation Committee reviews comparability data from relevant surveys. The deliberations are contemporaneously documented in the committee's minutes. FORM 990, PART VI, LINE 19 The Institute's governing documents, financial statements and conflict of interest policy are available upon request. FORM 990, PART VII, COLUMN B THE INSTITUTE HAS ESTIMATED THAT TRUSTEES DEVOTE, ON AVERAGE, AT LEAST ONE HOUR OF TIME PER WEEK. CERTAIN BOARD MEMBERS' TIME DEVOTED TO INSTITUTE BUSINESS MAY SUBSTANTIALLY EXCEED THIS ESTIMATE ON A REGULAR BASIS. FORM 990, PART X, LINE 11 Investments- publicly traded securities include, but are not limited to, investments held directly or in funds and managed accounts for which the underlying securities are primarily publicly traded, although certain restrictions on the liquidity of some of these holdings may exist. Form 990, Part XI, Line 5 Other Changes in Net Assets or Fund Balances Unrealized GAIN $160,506,000 Changes in Postemployment Benefit Obligations ($19,429,000) LOSS ON RETIREMENT OF BONDS ($4,635,000) LOSS ON DISPOSAL OF PROPERTY ($4,407,000) TOTAL $132,035,000 | Explanation |
Schedule R IRS990ScheduleR
Form990 Schedule R Part I Form990ScheduleRPartI
Name Of Disregarded Entity NameOfDisregardedEntity
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CIT MICROPROBE HOLDINGS LLC | BusinessNameLine1 |
Address US AddressUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1200 E CALIFORNIA BLVD | AddressLine1 |
| City | PASADENA | City |
| State | CA | State |
| ZIP Code | 91125 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 205217981 | EIN |
| Primary Activities | HOLDING CO. | PrimaryActivities |
| Legal Domicile State | NV | LegalDomicileState |
| Total Income | -523000 | TotalIncome |
| EOY Assets | 1620000 | EOYAssets |
Direct Controlling Entity Name DirectControllingEntityName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CIT | BusinessNameLine1 |
Form990 Schedule R Part II Form990ScheduleRPartII (4 entries)
| Address Line1AddressUS/AddressLine1 | CityAddressUS/City | StateAddressUS/State | ZIP CodeAddressUS/ZIPCode | EINEIN | Primary ActivitiesPrimaryActivities | Legal Domicile StateLegalDomicileState | Exempt Code SectionExemptCodeSection | Public Charity StatusPublicCharityStatus | Business Name Line1DirectControllingEntityName/BusinessNameLine1 | Controlled OrgControlledOrg |
|---|---|---|---|---|---|---|---|---|---|---|
| CALTECH Y | ||||||||||
| 1201 E CALIFORNIA BLVD | PASADENA | CA | 91125 | 951684790 | recreation | CA | 501(C)(3) | 11,3,fi | NA | false |
| ALUMNI ASSOCIATION OF CALTECH | ||||||||||
| 345 S HILL AVE | PASADENA | CA | 91125 | 956047395 | alumni | CA | 501(C)(3) | 11,type 1 | NA | false |
| TOM AND VALLEY KNUDSEN FDN | ||||||||||
| C/O CALTECH GIFT PLANNING | PASADENA | CA | 91125 | 956031188 | support org | CA | 501(C)(3) | 11,type 1 | NA | false |
| CAHILL CALTECH CHARITABLE TRUST | ||||||||||
| 16830 VENTURA BLVD STE 500 | ENCINO | CA | 91436 | 576198664 | SUPPORT ORG | CA | 501(C)(3) | 11,3,other | NA | false |
Form990 Schedule R Part IV Form990ScheduleRPartIV (2 entries)
| Primary ActivityPrimaryActivity | Legal Domicile StateLegalDomicileState | Business Name Line1DirectControllingEntityName/BusinessNameLine1 | Type Of EntityTypeOfEntity | Share Of Total IncomeShareOfTotalIncome | Share Of EOY AssetsShareOfEOYAssets | Percentage OwnershipPercentageOwnership |
|---|---|---|---|---|---|---|
| CRAT (6) | ||||||
| CHARITABLE TR | CA | CALTECH | TRUST | 0 | 0 | 0.00000 |
| CRUT (112) | ||||||
| CHARITABLE TR | CA | CALTECH | TRUST | 0 | 0 | 0.00000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Receipt Of Int Ann Rents Royalties | false | ReceiptOfIntAnnRentsRoyalties |
| Gift Grant Or Cap Contr To Other Org | true | GiftGrantOrCapContrToOtherOrg |
| Gift Grant Or Cap Contr Fr Other Org | true | GiftGrantOrCapContrFrOtherOrg |
| Loans Or Guarantees To Other Org | false | LoansOrGuaranteesToOtherOrg |
| Loans Or Guarantees From Other Org | false | LoansOrGuaranteesFromOtherOrg |
| Sale Of Assets To Other Org | false | SaleOfAssetsToOtherOrg |
| Purchase Of Assets From Other Org | false | PurchaseOfAssetsFromOtherOrg |
| Exchange Of Assets | false | ExchangeOfAssets |
| Rental Of Facilities To Other Orgs | true | RentalOfFacilitiesToOtherOrgs |
| Rental Of Facilities Fr Other Orgs | false | RentalOfFacilitiesFrOtherOrgs |
| Perform Of Services For Other Orgs | false | PerformOfServicesForOtherOrgs |
| Perform Of Services By Other Orgs | false | PerformOfServicesByOtherOrgs |
| Sharing Of Facilities | true | SharingOfFacilities |
| Sharing Of Paid Employees | true | SharingOfPaidEmployees |
| Reimbursement Paid To Other Org | false | ReimbursementPaidToOtherOrg |
| Reimbursement Paid By Other Org | false | ReimbursementPaidByOtherOrg |
| Other Transfer To Other Org | false | OtherTransferToOtherOrg |
| Other Transfer From Other Org | false | OtherTransferFromOtherOrg |
Form990 Schedule R Part VII Form990ScheduleRPartVII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | SCHEDULE R, PART IV, LINE 2 | Identifier |
| Explanation | TRUSTS ARE DOMICILED IN CALIFORNIA, CONNECTICUT, FLORIDA, AND WASHINGTON. | Explanation |