2013-07-12T13:39:12-05:00 2012-08-31 134008324 PricewaterhouseCoopers LLP 1301 K Street NW Suite 800W Washington DC 20005 990 2011-09-01 362167817 Northwestern University NORT 8474913741 633 Clark St Evanston IL 60208 Eugene Sunshine 8474913741 2013-07-12 1 Travis L Patton P00369623 2124141000 2013-07-12 2011 2016-02-24 21:20:13Z Eugene Sunshine 633 Clark St Evanston IL 60208 3493558140 0 X www.northwestern.edu X 1851 IL Education and research 36 26 22517 152 -1317981 0 191440295 265414664 1545225391 1582568067 528461744 346027966 101051025 125525219 2366178455 2319535916 310452467 336067759 0 0 901697344 989249620 154958 155359 35902274 809001977 774600821 2021306746 2100073559 344871709 219462357 9335729608 9839073934 1527416817 1739966403 7808312791 8099107531 Northwestern's mission is to provide the highest-quality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises. 0 0 1379346954 265714493 982938531 Education of students: For the 2012 academic year, 8,494 undergraduates and 8,352 graduates and professional school students enrolled full-time at the University. The exempt purpose of Northwestern University is to provide educational services to its students. This includes superior undergraduate education for a diverse student body in a comprehensive range of academic and professional fields. At the graduate level, Northwestern's role encompasses offerings in the major academic and professional fields, closely related to research, creative activities, and clinical services. 425743000 70353266 527840580 Research activities: The research program at Northwestern University is a major component of University efforts, assuring institutional leadership in scientific discovery, intellectual inquiry, and creative performance. The character of this research shapes all areas of University endeavor, especially graduate education as well as undergraduate studies. 102521000 0 76507254 Auxilliary enterprises serve the educational mission by primarily providing residences and food services, and other various goods and services to support University student, faculty, and staff activities. 1907610954 1 1 0 1 0 1 0 0 0 1 1 1 0 0 1 1 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 1 0 0 0 1 1 1 1 0 1 23789 0 1 22517 1 1 1 1 NI QA UK 0 0 0 1 1 0 0 0 0 0 0 0 X 36 26 1 0 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 1 0 AK AZ KY MD MI NH NY OH OR SC X Karl Turro Controller 8474914722 619 Clark St Evanston IL 60208 X Peter J Barris 1.00 X 0 0 0 John A Canning Jr 1.00 X 0 0 0 Nicholas D Chabraja 1.00 X 0 0 0 A Steven Crown 1.00 X 0 0 0 Richard H Dean 1.00 X 0 0 0 Charles W Douglas 1.00 X 0 0 0 D Cameron Findlay 1.00 X 0 0 0 Dennis J FitzSimons 1.00 X 0 0 0 T Bondurant French 1.00 X 0 0 0 Christopher B Galvin 1.00 X 0 0 0 J Douglas 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CT 06880 Investment management 2306297 The Free Enterprise System Inc One Sodrel Drive Jeffersonville IN 47130 Transportation services 2060626 The Family Institute 618 Library Place Evanston IL 60201 Instruction services 1825231 Northwestern Memorial Hospital 251 East Huron Chicago IL 60611 Clinical services 1337626 356 1233749 7275755 256905160 23993322 265414664 Tuition and fees 900099 799143228 799143228 Research activities 900099 527840580 527840580 Educational activities 900099 122915380 122915380 Auxilliary enterprises 900099 76507254 76507254 Medical departments 900099 32353935 32353935 23807690 23807690 1582568067 78304309 4838036 73466273 122601732 122601732 5803205 1956198 3847007 3847007 3847007 531858045 907626942 520427833 651333497 11430212 256293445 267723657 -119738 267843395 303271 1233749 304696 -1425 -1425 Alumni affinity card 900099 395886 395886 Alumni travel study 561520 205860 205860 Investment in partners 523000 -1616427 -1616427 92586 92586 -922095 2319535916 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2231604654 844734074 1386870580 10469674 3860942 6608732 468493741 314337070 154156671 1576024652 1648806550 F Equity, fixed income, real assets,etc 4975324829 F 6624131379 Deposits payable,actuarial liability of annuities payable 113058314 Government advances for student loans 38738000 Asset retirement obligations 129841547 Taxable bonds - series 2012 200000000 481637861 Part III, Line 1a: The University does not capitalize collections. As stated in the University notes to the financial statements, the accounting policy for library collections is to expense all purchases. Museum purchases are accounted for similarly. Gifts of art and similar tangible personal property are accounted for as gifts-in-kind. Description of Intended Use of Endowment Funds: Part V, Line 4: The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction. Description of Uncertain Tax Positions Under FIN 48: Part X: The University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the "more likely than not" standard for sustainability on examination by tax authorities. Part X, line 25, Asset Retirement Obligations: The University records all known asset retirement obligations (ARO) for which the fair value of the liability can be reasonably estimated, including certain obligations relating to regulatory remediation. ARO covered include those for which an entity has a legal obligation to perform an asset retirement activity; however, the timing and/or method of settling the obligation are conditional on a future event that may or may not be within the control of the entity. 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 Policies are included in student, faculty, and staff handbooks. Policies are also periodically reprinted in school newspapers Explanation of Government Financial Assistance Schedule E, Part I, Line 6 The University receives financial support from agencies of the federal government for research purposes and for financial aid to students; additional financial aid support for students is received from agencies of the State of Illinois. Explanation of Racial Nondiscrimination Compliance Schedule E, Part I, Line 7 Northwestern University does not discriminate or permit discrimination by any member of its community against any individual on the basis of race, color, religion, national origin, sex, sexual orientation, gender identity, gender expression, parental status, marital status, age, disability, citizenship, or veteran status in matters of admissions, employment, housing, or services or in the educational programs or activities it operates. 1 Middle East and North Africa 1 112 Maintaining offices, employees or agents International campus in Doha, Qatar for students in journalism and communications. 39825326 East Asia and the Pacific Fundraising 125711 Europe (Including Iceland & Greenland) - Fundraising 114608 North America - Canada and Mexico, but Fundraising 4042 South America - Argentina, Bolivia, Fundraising 3059 South Asia - Afghanistan, Bangladesh, Fundraising 35218 Central America and the Caribbean Program Services Business travel abroad (includes travel to attend seminars and conferences) 114373 East Asia and the Pacific Program services Business travel abroad (includes travel to attend seminars and conferences) 924740 Europe Program services Business travel abroad (includes travel to attend seminars and conferences) 2099088 Middle East and North Africa Program services Business travel abroad (includes travel to attend seminars and conferences) 362732 North America Program services Business travel abroad (includes travel to attend seminars and conferences) 273444 Russia and the Newly Independent States Program services Business travel abroad (includes travel to attend seminars and conferences) 61845 South America Program services Business travel abroad (includes travel to attend seminars and conferences) 157031 South Asia Program services Business travel abroad (includes travel to attend seminars and conferences) 269380 Sub-Saharan Africa Program services Business travel abroad (includes travel to attend seminars and conferences) 221977 Central America and the Caribbean Program services Study abroad programs 750024 East Asia and the Pacific Program services Study abroad programs 2437054 Europe Program services Study abroad programs 2261506 Middle East and North Africa Program services Study abroad programs 1575966 South America Program services Study abroad programs 186511 South Asia Program services Study abroad programs 38488 Sub-Saharan Africa Program services Study abroad programs 423853 Central America and the Caribbean Unrelated trade or business 515 East Asia and the Pacific Unrelated trade or business 2340 Europe Unrelated trade or business 7624 South Asia Unrelated trade or business 5980 North America Unrelated trade or business 814 Russia and the Newly Independent States Unrelated trade or business 301 South America Unrelated trade or business 1649 Central America and the Caribbean Investments 160438833 Europe Investments 296154197 North America Investments 65340351 Sub-Saharan Africa Investments 40270137 Central America and the Caribbean Program services Research 500 East Asia and the Pacific Program services Research 16807 Europe Program services Research 2342715 Middle East and North Africa Program services Research 112258 North America Program services Research 2178284 South America Program services Research 3999 South Asia Program services Research 4997 Sub-Saharan Africa Program services Research 6120 East Asia and the Pacific Grantmaking 293787 Europe Grantmaking 3234225 Middle East and North Africa Grantmaking 154081 North America Grantmaking 1626643 South America Grantmaking 153915 Russia and the Newly Independent States Grantmaking 9996 Sub-Saharan Africa Grantmaking 68247 1 112 0 0 1 112 41147077 583548214 624695291 East Asia and the Pacific Grant subaward from sponsored research funds 12976 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 453073 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 173877 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 196239 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 47396 ACH direct deposit or Check Middle East and North Africa Grant subaward from sponsored research funds 98672 ACH direct deposit or Check North America Grant subaward from sponsored research funds 1409734 ACH direct deposit or Check North America Grant subaward from sponsored research funds 8764 ACH direct deposit or Check North America Grant subaward from sponsored research funds 49795 ACH direct deposit or Check North America Grant subaward from sponsored research funds 16194 ACH direct deposit or Check East Asia and the Pacific Grant subaward from sponsored research funds 15000 ACH direct deposit or Check Europe (Including Iceland & Greenland) Grant subaward from sponsored research funds 117600 ACH direct deposit or Check North America Grant subaward from sponsored research funds 105025 ACH direct deposit or Check Sub-Saharan Africa Grant subaward from sponsored research funds 22094 ACH direct deposit or Check Europe (Including Iceland & Greenland) Grant subaward from sponsored research funds 22241 ACH direct deposit or Check North America Grant subaward from sponsored research funds 37132 ACH direct deposit or Check Sub-Saharan Africa Charitable fundraising conducted by student organization 23000 Check 2 15 Grants disbursed during student's enrollment in international program East Asia and the Pacific 23 265811 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Europe 139 2223799 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Middle East and North Africa 2 55409 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South America 12 153915 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Russia 1 9996 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Sub-Saharan Africa 4 46153 Applied to student account; credits are refunded by check 1 0 1 1 1 1 Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Schedule F Schedule F, Part I: The program services listed in Part I reflect international educational programs in which the University had material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its student access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad international programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f) of Schedule F. Schedule F, Part I, column(f), line 3: Expenditures reported in the Form 990, Schedule F, Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f). Schedule F, Part II, line 1: In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, line 1. Schedule F, Part II, line 3: Foreign recipient organizations without 501(c)(3) designation are universities, colleges, or hospitals. Schedule F, Part III, method used to report cash grants and column (c): Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the dates of the applicable study abroad program. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c). X X X X X X X 1 RuffaloCODY 65 Kirkwood North Rd SW Cedar Rapids IA 52406 Phone solicitation 0 122725 42082 79452 Sheila Smith 2357 Colts Neck Rd Blacklick OH 43004 Campaign counseling 0 0 17500 0 R & R Newkirk 8695 S Archer 10 Willow Springs IL 60480 Gift planning marketing 0 0 33151 0 Robert Burdenski 2736 N Hampden Court 207 Chicago IL 60614 Fundraising consultant 0 0 42813 0 Mission Measurement LLC 2 N LaSalle St Chicago IL 60602 Fundraising consultant 0 0 8563 0 Target Analytics 1030 Massachusetts Ave Cambridge MA 02138 Fundraising data consultant 0 0 11250 0 122725 155359 79452 AZ AK AR CT GA IL KS NM NC ND PA RI TN TX UT WV WI AL CA FL HI KY MD ME MI MO MN NH MS NY OR OK OH SC WA VA Dance Marathon 839618 767573 72045 72027 26706 Brain Tumor Institute Fundraiser 412976 333836 79140 3208 9601 53570 6500 6261 5 284426 132340 152086 9000 86934 8440 22449 1537020 1233749 303271 3208 90628 140504 14940 55416 304696 -1425 Explanation of Fundraising Payments Schedule G, Part I, Line 2b, Column (v) The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed are reflected): RuffaloCODY ($1,191) in accordance with the agreement with professional fundraiser which permits reimbursement for direct expenses such as mailing and shipping; R & R Newkirk ($12,055) as agreed for postage and mailing; S. Smith ($2,861) as agreed for travel; and R. Burdenski ($230) as agreed for travel, printing and mailing. Schedule R, Part I, Line 3 No registration is required in Delaware, Idaho, Indiana, Iowa, Montana, Nebraska, Nevada, South Dakota, Vermont or Wyoming. University has requested confirmation of exemption from New Jersey. 1 Evanston Community Foundation Inc 1007 Church St Ste 108 Evanston IL 60201 363466802 501(c)(3) 130602 Charitable fundraising conducted by student org & support of charitable community organization McGaw YMCA 1420 Maple Ave Evanston IL 60201 362169194 501(c)(3) 19571 Support of charitable community organization Family Promise Chicago North Shore PO Box 484 Glencoe IL 60022 270288849 501(c)(3) 6694 Charitable fundraising conducted by student organization By The Hand Club for Kids 1000 N Sedgwick Chicago IL 60610 203144284 501(c)(3) 23000 Charitable fundraising conducted by student organization Teen Living Programs Inc 162 West Hubbard Chicago IL 60654 362867274 501(c)(3) 23000 Charitable fundraising conducted by student organization Andrew Mcdonough B Positive Foundation 101 Rockland Circle Wilmington DE 19803 421741037 501(c)(3) 661000 Charitable fundraising conducted by student organization Natural Resources Defense Council Inc 40 West 20th Street New York NY 10011 132654926 501(c)(3) 10000 Support of charitable organization Fabretto Children's Foundation 3124 North 10th Street Arlington VA 22201 363894824 501(c)(3) 24283 Charitable fundraising conducted by student organization Chicago Academy of Sciences 2430 N Cannon Dr Chicago IL 60614 360895575 501(c)(3) 25000 Support of charitable community organizations Chicago Botanic Garden(Chicago Horticultural Society) 1000 Lake Cook Rd Glencoe IL 60022 362225482 501(c)(3) 176000 Support of charitable community organizations Lyric Opera of Chicago 20 North Wacker Drive Ste 860 Chicago IL 60606 366008929 501(c)(3) 7500 Support of charitable community organizations The Art Institute of Chicago 111 S Michigan Ave Chicago IL 60603 362167725 501(c)(3) 10000 Support of charitable community organizations Ravinia Festival 418 Sheridan Road Highland Park IL 60035 366002273 501(c)(3) 12500 Support of charitable community organizations United Way of Metropolitan Chicago 560 W Lake St Chicago IL 60661 360200478 501(c)(3) 15000 Support of charitable community organizations Health for Humanity 415 Linden Ave Ste B Wilmette IL 60091 363820640 501(c)(3) 10000 Support of charitable community organizations Millennium Park Inc DT 111 S Wacker Drive Chicago IL 60602 364244167 501(c)(3) 10000 Support of charitable community organizations Northwestern University Settlement House 1400 West Augusta Blvd Chicago IL 60642 362167818 501(c)(3) 25000 Support of charitable community organizations Juvenile Protective Association 1707 N Halstead St Chicago IL 60614 362167765 501(c)(3) 25000 Support of charitable community organizations EVMark 1560 Sherman Ave Evanston IL 60201 363571291 501(c)(6) 21850 Support of charitable community organizations Evanston Public Library 1703 Orrington Ave Evanston IL 60201 363286198 501(c)(3) 10000 Support of charitable community organization Foundation 65 PO Box 750 Evanston IL 60204 364003165 501(c)(3) 40000 Support of charitable community organizations Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago IL 60611 363097297 501(c)(3) 8288894 Support of research activities Northeastern Illinois University 5500 N St Louis Ave Chicago IL 60625 366009515 115 90385 Support of research activities 12th Man Foundation Bernard C Richardson Zone at Kyle Field Suite 12 College Station TX 77841 741185725 501(c)(3) 15825 Support of research activities Access Community Health Network 222 N Canal St Chicago IL 60606 363317058 501(c)(3) 386600 Support of research activities Access DuPage 511 Thornhill Dr M Carol Stream IL 60188 364448208 501(c)(3) 406792 Support of research activities Advocate Hope Childrens Hospital 4440 W 95th St Oak Lawn IL 60453 362169147 501(c)(3) 11672 Support of research activities Advocate Lutheran General Hospital 1775 W Dempster St Park Ridge IL 60068 362169147 501(c)(3) 110682 Support of research activities AIDS Arms Inc 219 Sunset Ave Dallas TX 75208 752306145 501(c)(3) 404694 Support of research activities Albert Einstein College of Medicine 1300 Morris Park Avenue Bronx NY 10461 131624225 501(c)(3) 16830 Support of research activities Amarillo Heart Group 1901 Port Lane Amarillo TX 79106 830362959 501(c)(3) 5670 Support of research activities American Lung Association 1301 Pennsylvania Ave NW Suite 800 Washington DC 20004 131632524 501(c)(3) 291776 Support of research activities Baptist Hospital of Miami 8900 N Kendall Drive Miami FL 33176 590910342 501(c)(3) 10320 Support of research activities Beth Israel Deaconess Center 330 Brookline Ave Boston MA 02115 042103881 501(c)(3) 54444 Support of research activities Boston College 140 Commonwealth Ave Chestnut Hill MA 02467 042103545 501(c)(3) 16824 Support of research activities Boston Imaging Core Lab LLC 580 Harrison Avenue Boston MA 02118 261215497 195840 Support of research activities Boston Medical Center One Boston Medical Center Place Boston MA 02118 043314093 501(c)(3) 9190 Support of research activities Boys & Girls Clubs of Chicago 550 W Van Buren Street Suite 350 Chicago IL 60607 362166997 501(c)(3) 28553 Support of research activities Brigham and Women's Hospital 75 Francis St Boston MA 02115 042312909 501(c)(3) 9432 Support of research activities Cabot Security Materials Inc 325 E Middlefield Road Mountain View CA 94043 262158716 340487 Support of research activities Campbell-Kibler Associates Inc 80 Lakeside Dr Groton MA 01450 043297519 80747 Support of research activities Carleton College One North College St Northfield MN 55057 410694747 501(c)(3) 23290 Support of research activities Case Western Reserve University 10900 Euclid Ave Cleveland OH 44106 341018992 501(c)(3) 147408 Support of research activities Children's Memorial Hospital 2300 N Lincoln Ave Chicago IL 60614 362170833 501(c)(3) 3676228 Support of research activities Cleveland Clinic 9500 Euclid Ave Cleveland OH 44195 912153073 501(c)(3) 77436 Support of research activities Cold Spring Harbor Laboratory One Bungtown Road Cold Spring Harbor NY 11724 112013303 501(c)(3) 14625 Support of research activities College of American Pathologists 325 Waukegan Rd Northfield IL 60039 362118323 501(c)(3) 25858 Support of research activities Colorado State University 203 Administration Building Fort Collins CO 80523 846000546 115 25749 Support of research activities Columbia University 615 W 131st Street New York NY 10027 131624202 501(c)(3) 196658 Support of research activities Cornell University 222 Day Hall Ithaca NY 14853 150532082 501(c)(3) 352827 Support of research activities David Ostrow & Associates 5455 N Sheridan Road Suite 2503 Chicago IL 60640 205241516 69147 Support of research activities Duke University Chapel Dr Durham NC 27705 560532129 501(c)(3) 380786 Support of research activities East Bay Institute for Research and Education 150 Muir Road 151-I Martinez CA 64553 680177975 501(c)(3) 192291 Support of research activities Emory University 201 Dowman Dr Atlanta GA 30322 580566256 501(c)(3) 187647 Support of research activities George Washington University 2121 I Street NW Washington DC 20052 530196584 501(c)(3) 29086 Support of research activities H Lee Moffit Cancer Center & Research Institute 12902 Magnolia Ave Tampa FL 33612 592451713 501(c)(3) 36291 Support of research activities Harvard University Massachusetts Hall Cambridge MA 02138 042103580 501(c)(3) 1151802 Support of research activities Health Research Incorporated Roswell Park Cancer Institute Division Elm Carlton Sts Buffalo NY 14263 141402155 281710 Support of research activities Hektoen Institute for Medical Research 2240 W Ogden Ave Chicago IL 60612 362244897 501(c)(3) 712726 Support of research activities Horizon Research Inc 326 Cloister Ct Chapel Hill NC 27514 561550276 32102 Support of research activities Howard Brown Health Center 4025 N Sheridan Road Chicago IL 60613 362894128 501(c)(3) 382755 Support of research activities Indiana University 107 S Indiana Ave Bloomington IN 47405 356001673 115 782227 Support of research activities J Craig Venter Institute 9704 Medical Center Drive Rockville MD 20850 521842938 501(c)(3) 579703 Support of research activities James Madison University 800 S Main St Harrisonburg VA 22807 546001756 501(c)(3) 38888 Support of research activities Jasculca Terman and Associates Inc 730 N Franklin Street Suite 510 Chicago IL 60654 363136983 161578 Support of research activities Johns Hopkins University 1101 E 33rd St Baltimore MD 21218 520595110 501(c)(3) 593199 Support of research activities Louisiana State University 3848 W Lakeshore Dr Baton Rouge LA 70808 726087770 115 117362 Support of research activities Loyola University Chicago 1032 W Sheridan Rd Chicago IL 60660 361408475 501(c)(3) 146127 Support of research activities Massachusetts General Hospital 55 Fruit St Boston MA 02114 041564655 501(c)(3) 325920 Support of research activities Massachusetts Institute of Technology 77 Massachusetts Ave Cambridge MA 02142 042103594 501(c)(3) 105655 Support of research activities Materials & Electrochemical Research Corporation 7960 South Kolb Road Tucson AZ 85706 860530946 151812 Support of research activities Mayo Clinic Rochester 200 First St SW Rochester MN 55905 416011702 501(c)(3) 57450 Support of research activities Medical College of Wisconsin 8701 Watertown Plank Rd Milwaukee WI 53226 390806261 501(c)(3) 21603 Support of research activities Memorial Hospital of Rhode Island 111 Brewster St Pawtucket RI 02680 050259004 501(c)(3) 20556 Support of research activities Memorial Sloan-Kettering Cancer Center 1275 York Avenue New York NY 10065 131624182 501(c)(3) 46499 Support of research activities Methodist Hospital Research Institute 6670 Bertner St Houston TX 77030 870721923 501(c)(3) 24795 Support of research activities Michigan State University 113 Angell Bldg East Lansing MI 48824 386005984 115 137980 Support of research activities Mount Sinai Hospital One Gustave L Levy Pl New York NY 10029 131624096 501(c)(3) 62971 Support of research activities Nanosonix Inc 8025 Lamon Avenue Skokie IL 60077 262268972 70226 Support of research activities North Carolina State University Campus Box 7001 A Holladay Hall Raleigh NC 27695 566000756 115 17746 Support of research activities NorthShore University HealthSystem Research Institute 2650 Ridge Ave Evanston IL 60201 364191793 501(c)(3) 1619220 Support of research activities Northwestern Memorial Hospital 251 E Huron St Chicago IL 60611 370960170 501(c)(3) 2033394 Support of research activities NOVA Scripts Central Inc 6400 Arlington Blvd Falls Church VA 22042 651275162 142563 Support of research activities Ohio State University 154 W 12th Ave Columbus OH 43210 316025986 115 44284 Support of research activities Oregon Health & Science University 3181 Southwest Sam Jackson Park Rd Portland OR 97239 931176109 115 28727 Support of research activities Park Nicollet Institute 3800 Park Nicollet Blvd St Louis Park MN 55416 410961862 501(c)(3) 24572 Support of research activities Pennsylvania State University 308 Old Main University Park PA 16802 246000376 115 480684 Support of research activities Pinnacle Technology 681 Lawlins Road Wyckoff NJ 07481 742818617 104945 Support of research activities Princeton University Office of Administration Princeton NJ 08544 210634501 501(c)(3) 70037 Support of research activities Rehabilitation Institute Research Corporation 345 E Superior St Chicago IL 60611 363728711 501(c)(3) 304401 Support of research activities and support of charitable community organization Rensselaer Polytechnic Institute 110 8th St Troy NY 12180 141340095 501(c)(3) 116903 Support of research activities Rice University 6100 Main St Houston TX 77005 741109620 501(c)(3) 14441 Support of research activities Rockefeller University 1230 York Avenue New York NY 10065 131624158 501(c)(3) 499450 Support of research activities Rush University Medical Center 1653 W Congress Parkway Chicago IL 60612 362174823 501(c)(3) 1419263 Support of research activities Salk Institute 10010 North Torrey Pines Road La Jolla CA 92037 952160097 501(c)(3) 57463 Support of research activities Santa Fe Institute 1399 Hyde Park Rd Santa Fe NM 87501 850325494 501(c)(3) 20743 Support of research activities Scripps Research Institute 10550 North Torrey Pines Road La Jolla CA 92037 330435954 501(c)(3) 802615 Support of research activities Stanford University 295 Galvez St Stanford CA 94305 941156365 501(c)(3) 682277 Support of research activities United BioSource Corporation 7501 Wisconsin Ave Ste 705 Bethesda MD 20814 541759539 93228 Support of research activities University of Alabama at Birmingham 1530 3rd Ave South Birmingham AL 35294 636005396 115 128114 Support of research activities University of Arizona 617 N Santa Rita Ave Tucson AZ 85721 742652689 115 143737 Support of research activities University of California Berkeley 200 California Hall Berkeley CA 94720 946002123 115 191345 Support of research activities University of California Davis One Shields Ave Davis CA 95616 946036494 115 545456 Support of research activities University of California Irvine Office of Administration Irvine CA 92697 952226406 115 277121 Support of research activities University of California Los Angeles Hillgard Ave Los Angeles CA 90095 956006143 115 201838 Support of research activities University of California San Francisco 505 Parnassus Ave San Francisco CA 94143 566001393 115 322536 Support of research activities University of California Santa Cruz 1156 High St Santa Cruz CA 95064 770289144 115 193707 Support of research activities University of Chicago 5801 S Ellis Ave Chicago IL 60637 362177139 501(c)(3) 6785354 Support of research activities University of Delaware 210 S College Ave Newark DE 19716 516000297 115 18482 Support of research activities University of Florida 201 Criser Hall Gainesville FL 32611 596002052 115 194140 Support of research activities University of Illinois 801 S Morgan St Chicago IL 60607 376000511 115 4361010 Support of research activities University of Kentucky 100 Funkhouser Bldg Lexington KY 40506 616001218 115 186951 Support of research activities University of Maryland 2108 Mitchell Bldg College Park MD 20742 526002033 115 210832 Support of research activities University of Massachusetts Office of Administration Amherst MA 01003 043167352 115 103000 Support of research activities University of Miami 1252 Memorial Drive Coral Gables FL 33146 590624458 501(c)(3) 14214 Support of research activities University of Michigan 515 E Jefferson Ann Arbor MI 48109 386000134 115 583570 Support of research activities University of Minnesota 101 Pleasant St Minneapolis MN 55455 416007513 115 179234 Support of research activities University of New Mexico 1 University of New Mexico Albuquerque NM 87131 856000642 115 67057 Support of research activities University of North Carolina at Chappel Hill 9201 University City Blvd Charlotte NC 28223 566001393 115 396698 Support of research activities University of Notre Dame 317 Main Building Notre Dame IN 46556 350868188 501(c)(3) 7760 Support of research activities University of Oklahoma 660 Parrington Oval Norman OK 73019 736017987 115 153694 Support of research activities University of Pennsylvania 3451 Walnut Street Philadelphia PA 19104 231352685 501(c)(3) 244292 Support of research activities University of Pittsburgh 4227 Fifth Ave Pittsburgh PA 15260 250965591 501(c)(3) 734155 Support of research activities University of Rochester Office of Administration Rochester NY 14627 160743209 501(c)(3) 196807 Support of research activities University of Southern California 1540 Alcazar St Los Angeles CA 90089 951642394 501(c)(3) 516379 Support of research activities University of Tennessee Knoxville 527 Andy Holt Tower Knoxville TN 37996 626001636 115 260017 Support of research activities University of Texas at Austin 2100 San Jacinto Blvd Austin TX 78712 746000203 115 91839 Support of research activities University of Texas at San Antonio One UTSA Circle San Antonio TX 78249 741717115 115 526489 Support of research activities University of Texas M D Anderson Cancer Center 1515 Holcombe Blvd Houston TX 77030 760273984 115 97366 Support of research activities University of Texas Southwestern Med Ctr at Dallas 5323 Harry Hines Blvd Dallas TX 75390 756002868 115 299209 Support of research activities University of Virginia 1 College Park Wise VA 24293 546001796 115 713095 Support of research activities University of Washington 1410 NE Campus Parkway Seattle WA 98195 916001537 115 691002 Support of research activities University of Wisconsin-Madison 716 Langdon St Madison WI 53706 391805963 115 712026 Support of research activities Vanderbilt University Office of Administration Nashville TN 37240 620476822 501(c)(3) 173318 Support of research activities Washington University in St Louis One Brookings Dr St Louis MO 63130 430653611 501(c)(3) 566636 Support of research activities Wright State University 3640 Colonel Glenn Hwy Dayton OH 45435 310732831 147266 Support of research activities Yale University 140 Prospect St New Haven CT 06511 060646973 501(c)(3) 411527 Support of research activities Research Foundation SUNY 35 State Street Albany NY 12207 141368361 501(c)(3) 84053 Support of research activities Alliance of Chicago Community Health Service 215 W Ohio St 4th Floor Chicago IL 60654 364444309 440144 Support of research activities Boston University One Silber Way Boston MA 02215 042103547 501(c)(3) 172894 Support of research activities California Institute of Techonology 1200 East California Blvd Pasadena CA 91125 951643307 501(c)(3) 158563 Support of research activities Cambria Pharmaceuticals Inc 14 Cambridge Center Building 1 Cambridge MA 02142 262047755 138022 Support of research activities CANCER HELP INSTITUTE LTD 1000 Skokie Blvd Suite 100 Wilmette IL 60091 363801000 66497 Support of research activities Chicago Association for Research and Education in Science Building One Room C347 5000 S 5th Ave Hines IL 60141 363334177 501(c)(3) 9605 Support of research activities CHILDRENS HOSPITAL BOSTON 300 Longwood Ave Boston MA 02115 042774441 501(c)(3) 30613 Support of research activities FARR ASSOCIATES ARCHITECTURE & URBAN DESIGN 53 W Jackson Blvd Suite 650 Chicago IL 60604 364319943 20000 Support of research activities INQUIRE LEARNING LLC 2625 Weston Rd Weston FL 33331 260733745 69994 Support of research activities INSTITUTE FOR NEURODEGENERATIVE DISORDERS 60 Temple St 8th Floor New Haven CT 06510 061582206 501(c)(3) 7747 Support of research activities Justice Resource Institute Inc 545 Boylston St Suite 700 Boston MA 02116 042526357 501(c)(3) 30283 Support of research activities KINEA DESIGN LLC 1711-1 Darrow Ave Evanston IL 60201 743099129 10404 Support of research activities LA RABIDA CHILDRENS'S HOSPITAL 6501 South Promontory Dr Chicago IL 60649 362170143 501(c)(3) 9000 Support of research activities Lahey Clinic Foundation Inc 41 Mall Rd Burlington MA 01805 042704683 501(c)(3) 36492 Support of research activities Mayo Clinic Arizona 13400 East Shea Blvd Scottsdale AZ 85259 860800150 501(c)(3) 108388 Support of research activities NEW YORK UNIVERSITY 70 Washington Square South New York NY 10012 135562308 501(c)(3) 122186 Support of research activities PROVIDENCE HEALTH ALLIANCE 3rd Floor - Medical Plaza 6901 Medical Parkway Suite 301A Waco TX 76712 742696970 501(c)(3) 14030 Support of research activities RESEARCH SUPPORT SERVICES 906 Ridge Ave Evanston IL 60202 364289990 67015 Support of research activities RHODE ISLAND HOSPITAL 593 Eddy St Providence RI 02903 050258954 501(c)(3) 14235 Support of research activities SCRIPPS HEALTH 4275 Campus Point Ct San Diego CA 92121 951684089 501(c)(3) 26422 Support of research activities SEATTLE CHILDREN'S HOSPITAL 4800 Sand Point Way NE Seattle WA 98105 910564748 501(c)(3) 25898 Support of research activities Society for Research on Educational Effectiveness 2040 Sheridan Rd Evanston IL 60208 264739791 501(c)(3) 373802 Support of research activities THE RAND CORPORATION 1776 Main St PO Box 2138 Santa Monica CA 90407 951958142 501(c)(3) 85862 Support of research activities TUFTS UNIVERSITY 200 Boston Avenue Medford MA 02155 042103634 501(c)(3) 88278 Support of research activities UNIV OF WISCONSIN MILWAUKEE 2200 E Kenwood Blvd PO Box 413 Milwaukee WI 53201 391805963 115 86532 Support of research activities UNIVERSITY OF IOWA 100 Mossman Business Services Building Iowa City IA 52245 426004813 115 49182 Support of research activities UNIVERSITY OF NEBRASKA LINCOLN 1400 R Street Lincoln Lincoln NE 68588 470049123 115 1039510 Support of research activities Winthrop-University Hospital 259 First St Mineola NY 11501 111633486 501(c)(3) 15840 Support of research activities Best Practice Project Management Inc 7500 Old Georgetown Road Suite 601 Bethesda MD 20814 522337527 73333 Support of research activities Amedisys Inc 5959 S Sherwood Forest Blvd Baton Rouge LA 70816 113131700 26100 Support of research activities Arizona State University PO BOX 876011 Tempe AZ 85287 860196696 115 151865 Support of research activities Aurasense Therapuetics LLC 1801 Maple Ave Ste 4301 Evanston IL 60201 452638444 511942 Support of research activities Baptist Memorial Hospital 6025 Walnut Grove Rd Ste 500 Memphis TN 38120 620125540 6650 Support of research activities Beth Israel Medical Center First Ave at 16th St New York NY 10003 135564934 501(c)(3) 33750 Support of research activities Bloodcenter of Wisconsin Inc 638 N 18th St Milwaukee WI 53233 390807235 501(c)(3) 11327 Support of research activities Bridgeport Hospital Foundation Inc 267 Grant St Bridgeport CT 06610 222908698 501(c)(3) 13750 Support of research activities Brookings Institution 1775 Massachusetts Ave NW Washington DC 20036 530196577 501(c)(3) 76462 Support of research activities Carnegie Mellon University 5000 Forbes Ave Pittsburgh PA 15213 250969449 501(c)(3) 26490 Support of research activities Cedars-Sinai Medical Center 8700 Beverly Blvd Los Angeles CA 90048 951644600 501(c)(3) 1845 Support of research activities Centerstone Research Institute 565 S Park Ridge Rd 103 Bloomington IN 47401 262505456 501(c)(3) 13110 Support of research activities Chaddok 205 S 24th St Quincy IL 62301 370661191 23230 Support of research activities Community Action Project of Tulsa County 4606 S Garnett Ste 100 Tulsa OK 74146 731019247 20054 Support of research activities Delve LLC 11971 Westline Industrial Dr 200 St Louis MO 63146 200684635 1130325 Support of research activities Development Alternatives Inc 7600 Wisconsin Blvd Ste 200 Bethesda MD 20814 520904808 250000 Support of research activities Erie Family Health Center Inc 1701 W Superior ST Chicago IL 60622 363088628 501(c)(3) 1337900 Support of research activities Georgia State University Research Foundation Inc 30 Courtland St NE Ste 217 Atlanta GA 30303 581845423 501(c)(3) 64797 Support of research activities Georgia Tech Research Corporation 505 Tenth St Atlanta GA 30332 580603146 501(c)(3) 18085 Support of research activities Imagetrend 20855 KENSINGTON BLVD Lakeville MN 55044 411903871 70000 Support of research activities Magee Women's Research Institute and Foundation 3339 Ward St Pittsburgh PA 15132 251462312 501(c)(3) 34544 Support of research activities McGuckin Methods International Inc MMI 115 East Athens Ave Ardmore PA 19003 232642918 75000 Support of research activities Mental Health Cooperative Inc 275 Cumberland Bend Nashville TN 37228 582018687 501(c)(3) 21192 Support of research activities Missouri University of Science and Technology 300 W 12th St 202 Centennial Hall Rolla MO 65401 436003859 115 17193 Support of research activities National Kidney Foundation of Illinois 215 W Illinois St Ste 1C Chicago IL 60654 366009226 501(c)(3) 15148 Support of research activities Near North Health Service Corp 1276 N Clybourn Ave Chicago IL 60610 363197647 501(c)(3) 24221 Support of research activities North Country Healthcare Inc 2920 N Fourth St Flagstaff AZ 86004 860663432 501(c)(3) 24616 Support of research activities Northwestern Specialists in Plastic Surgery SC 676 N St Clair St Ste 1525A Chicago IL 60611 270491346 147447 Support of research activities Oklahoma State University 113 Student Union Stillwater OK 74078 736017987 115 23670 Support of research activities Research Triangle Institute 12 Davis Dr Research Triangle Park NC 27709 560686338 501(c)(3) 43134 Support of research activities Sage Bionetworks 1100 Fairview Ave North MI-C108 Seattle WA 98109 264489946 501(c)(3) 63768 Support of research activities Sanford-Burnham Medical Research Institute 10901 North Torrey Pines Rd La Jolla CA 92037 510197108 501(c)(3) 179272 Support of research activities Siena College 515 Loudon Rd Loudonville NY 12211 141338498 501(c)(3) 18414 Support of research activities Society of Hospital Medicine 1500 Spring Garden Ste 501 Philadelphia PA 19130 233057353 501(c)(3) 389718 Support of research activities South Carolina Research Foundation 901 Sumter St Byrnes Bldg Ste 511 Columbia SC 29208 570967350 501(c)(3) 50000 Support of research activities Texas A&M Research Foundation 400 Harvey Mitchell Pkwy South Ste 300 College Station TX 77845 741238434 501(c)(3) 28030 Support of research activities The Henry M Jackson Foundation for the Advancement of Military Medicine Inc 6720-A Rockledge Dr Bethesda MD 20817 521317896 501(c)(3) 119056 Support of research activities Tulane Educational Fund 6823 St Charles Ave New Orleans LA 70118 720423889 501(c)(3) 338213 Support of research activities University of Connecticut 438 Whitney Rd Ext Unit 1133 Storrs CT 06269 060772160 115 228073 Support of research activities University of Nevada Reno 1664 N Virginia St Reno NV 89557 866000024 22233 Support of research activities University of Utah 201 S 1460 E Salt Lake City UT 84112 876000525 115 54228 Support of research activities Virginia Commonwealth University PO BOX 843035 Richmond VA 23284 546001758 115 69540 Support of research activities Wayne State University PO Box 02759 Detroit MI 48202 386028429 115 7600 Support of research activities West Clinic 100 N Humphreys Blvd Memphis TN 38120 621526296 17450 Support of research activities WGBH Educational Foundation One Guest St Boston MA 02138 042104397 501(c)(3) 14795 Support of research activities YMCA of Greater Indianapolis 615 N Alabama St Ste 200 Indianapolis IN 46204 350868211 501(c)(3) 28139 Support of research activities 178 34 Student grants, scholarships, stipends, and fellowships are financial aid that can be used towards any type of educational related costs. 11017 246811702 Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 299 630138 Program-related investments: student loans 639 15304135 Other program-related investments 59 4713830 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Schedule I Part III: Prizes and awards reflect prizes and awards extended to non-employees in recognition of an accomplishment, activity, or event. Prizes and awards given to employees are included as compensation and reported on an employee's Form W-2. Program-related investments: Long term student-related loan balances as of 8/31/2012 were $14,799,967 which represent outstanding loan balances of 416 individuals. Total short term and emergency student loans issued for the tax year were $504,168 which represent loans issued to 223 individuals. Other program-related investments reflects certain investment portfolio balances as of 8/31/2012. Such investment portfolios are managed by students enrolled in an asset management practicum under the guidance of faculty. X X X X X X 1 1 X X X X 0 1 0 0 0 0 0 1 0 Morton O Schapiro 785170 0 60000 0 65454 0 274500 0 169938 0 1355062 0 0 0 Daniel I Linzer 489578 0 0 0 14654 0 174500 0 23377 0 702109 0 0 0 Eugene S Sunshine 741511 0 0 0 663595 0 124500 0 16751 0 1546357 0 500000 0 Thomas G Cline 416650 0 0 0 298284 0 124500 0 28476 0 867910 0 250000 0 Alan K Cubbage 239783 0 0 0 2232 0 23987 0 1237 0 267239 0 0 0 Marilyn McCoy 237945 0 0 0 18284 0 24500 0 16751 0 297480 0 0 0 William H McLean 596077 0 565306 0 162381 0 138272 0 49352 0 1511388 0 51535 0 Robert E McQuinn 397486 0 0 0 15822 0 24500 0 19717 0 457525 0 0 0 Eric G Neilson 199327 82080 0 100000 528 17107 7500 24000 107 5491 207462 228678 0 0 Sean Reynolds 238575 0 0 0 21645 0 23250 0 3609 0 287079 0 0 0 Patricia Telles-Irvin 153009 0 0 0 36569 0 6562 0 8603 0 204743 0 0 0 Joseph T Walsh Jr 282777 0 0 0 3672 0 24500 0 25563 0 336512 0 0 0 Ronald Nayler 296467 0 10000 0 18215 0 24500 0 12691 0 361873 0 0 0 Patrick M McCarthy 159160 1170080 0 640000 1032 18081 12954 29400 1060 16617 174206 1874178 0 0 H Huntington Batjer 114631 913529 0 100000 1584 19658 11463 29400 16916 23951 144594 1086538 0 0 Patrick W Fitzgerald II 1972041 0 82500 0 121041 0 24500 0 21071 0 2221153 0 0 0 Murad Alam 2333 345819 0 1077261 0 189 140 29400 16 8884 2489 1461553 0 0 Simon S Yoo 2333 337765 0 827362 0 170 233 29400 15 14387 2581 1209084 0 0 William J Banis 221718 0 0 0 6434 0 22501 0 14751 0 265404 0 0 0 Jeffrey Glassroth 265749 308500 0 708333 0 18005 13987 27458 14682 2439 294418 1064735 0 0 J Larry Jameson 371985 162230 0 0 516 8921 21582 18085 30465 11914 424548 201150 0 0 Sarah Risley Pearson 285070 0 0 0 258 0 24500 0 6255 0 316083 0 0 0 Patricia H Todus 238524 0 0 0 21890 0 24500 0 19594 0 304508 0 0 0 Morteza A Rahimi 158816 0 0 0 1854 0 16500 0 14256 0 191426 0 0 0 Lewis Landsberg 239354 52240 0 0 1854 5686 24200 7260 993 19724 266401 84910 0 0 Henry S Bienen 22420 0 0 0 87197 0 0 0 0 0 109617 0 0 0 Part I, Line 1a Charter travel: Charter airplane travel was provided to one listed person and was treated as a business expense and was not treated as taxable compensation. Travel for companions: Family members accompanied two listed person to the 2011 Meineke Car Care Bowl, where the University student football team competed, but such costs were reimbursed by the individuals or imputed as taxable income. Air travel was reimbursed by the University for one listed person and his spouse to attend the 2011 Meineke Care Care Bowl. Pursuant to written University policy, the benefit was treated as a business expense and was not treated as taxable compensation. The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. A spouse accompanied one listed person to an awards event for business purposes and such expenses were not treated as taxable compensation. Tax gross-up payments: Three officers received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation. Housing allowance or residence for personal use: The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Three interested persons were provided with housing allowances and the amounts were treated as taxable compensation. Three interested persons were provided temporary housing and the amounts were treated as taxable compensation. Health or social club dues or initiation fees: The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. Three individuals received reimbursement for social club initiation fees or dues and such amounts were treated as taxable compensation. Personal Services: In connection with the University provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit is apportioned between personal living quarters and public areas of the house, and the cleaning services associated with the personal living quarters are treated as taxable compensation. Part I, Line 4b The following participated in a 457(f) nonqualified retirement plan and the amounts are subject to substantial risk of forfeiture and vest after a number of years. Name Amount Contributed Morton O. Schapiro $250,000 Daniel I. Linzer $150,000 Eugene S. Sunshine $100,000 Thomas G. Cline $100,000 Name Amount Paid Eugene S. Sunshine $614,148 Thomas G. Cline $280,552 Henry S. Bienen $77,180 Part I, Line 7 The President and one key employee received a non-fixed payment related to a recognition bonus. Illinois Educational Facilities Authority 521297563 4520018K9 2003-10-29 183530698 Refund bonds issued 5/13/97; acquire,construct,or renovate univ.facilities 0 0 0 Illinois Finance Authority 861091967 45200BFC7 2004-09-09 135800000 Acquire, construct or renovate University facilities 0 0 0 Illinois Finance Authority 861091967 45200BH50 2006-10-03 150740726 Refund bonds issued 12/3/97 0 0 0 Illinois Finance Authority 861091967 45200FKZ1 2008-06-25 125000000 Acquire, construct or renovate University facilities 0 0 0 194022795 1092348 158297067 2008 1 0 1 1 144677217 1039400 143637817 2008 0 0 1 1 150740726 1514655 0 1 1 1 126815680 1250000 125565680 2011 0 0 1 1 0 1 1 0 1 0 0.00000 0.00000 0.00000 1 0 1 1 0 1 0 0.00000 0.00000 0.00000 1 0 1 1 0 1 0 0.00000 0.00000 0.00000 1 0 0 0 0 0.00000 0.00000 0.00000 1 0 0 0 0 0 0 1 1 1 Morgan Stanley and other banks 24.000000000000 0 0 0 1 0 0 0 0 0 0 0 0 1 1 Morgan Stanley and other banks 24.000000000000 0 0 0 0 0 X Part I, column (c) Bond issues, CUSIP # The following bond issuances are associated with additional Cusip numbers as noted: (B)IFA-Series 2004 CUSIP #45200BFD5; (D) IFA-Series 2008 CUSIP #45200FLA5 and #45200FLB3. Part II, line 3 Issue price and proceeds of bonds (A), (B), (D) The difference between issue price and proceeds of bonds (A), (B), and (D) are due to investment income earned on unspent proceeds of IEFA-Series 2003, IFA-Series 2004, and IFA-Series 2006 bonds, respectively. Part III, line 3b Private Business Use The University engages bond counsel and performs a review of management or services contracts at the time of any new bond issuances, generally every two years. At that time, all existing bond issuances and private use are re-examined and re-documented. The University monitors private use changes internally on an ongoing basis. Part III, line 3d Private business Use The University engages bond counsel and performs a review of research agreements at the time of any new bond issuances, generally every two years. At that time, all existing bond issuances and private use are re-examined and re-documented. The University monitors private use changes internally on an ongoing basis. Part III, line 4 Funding Sources and Private Usage The University finances acquisition, construction, or renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private use within the facilities partially funded by bonds; however, such usage was financed from other sources. Part IV, line 3b & 3c Arbitrage, name of provider and term of hedge Hedge providers and terms of hedges for bonds (B) IFA-Series 2004 and (D) IFA-Series 2008 are as follows: Morgan Stanley Capital Services, 2 years; Bank of America 2 years; and JP Morgan 2 years. Part IV, line 5 Gross proceeds investment period As disclosed on the Form 8038-T filed November 2009 for bond (B)IFA-Series 2006, gross proceeds were invested beyond an available temporary period and the University calculated and made a yield reduction payment in the amount of $310,118. Patrick Fitzgerald II Compensation package X 2500000 2567172 0 1 1 Robert McQuinn Compensation package X 130000 134825 0 1 1 Robert McQuinn Compensation package X 50000 51692 0 1 1 2753689 na n/a 5000 research grant na n/a 10000 research grant Northern Trust Nicholas D Chabraja,Trustee; was serving as a bank director 887343 Bank and investment transaction fees less interest earned from bank 0 Northern Trust Frederick H. Waddell, Trustee; was serving as a bank director 887343 Bank and investment transaction fees less interest earned from bank 0 Technology Crossover Ventures Jay C. Hoag, Trustee; partner w/ ownership interest over 5% 2442391 Investment in two venture capital funds: Technology Crossover Ventures VI and VIIA 0 Rndtable Hlthcare Ptnrs Lester B. Knight, Trustee; was serving as a director 3683940 Investment in three private equity funds: Roundtable Healthcare Partners, Roundtable Healthcare Partners II and III 0 Aon Corporation Lester B. Knight, Trustee; was serving as a director 1370868 Insurance broker 0 Thoma Cressey Fd Lee. M. Mitchell, Trustee; partner w/ ownership interest over 5% 3891264 Investment in five private equity funds: Thoma Cressey Fund VI, VII, and VIII, and Thoma Bravo Fund IX and X-A 0 Madison Dearborn John A. Canning, Jr., Trustee; partner w/ ownership interest over 5% 15805049 Investment in four private equity funds: Madison Dearborn III, IV, V and VI. 0 Madison Dearborn Timothy P. Sullivan, Trustee; was serving as managing director 15805049 Investment in four private equity funds: Madison Dearborn III, IV, V and VI. 0 New Enterprise Associates Peter J. Barris, Trustee; partner w/ ownership interest over 5% 4941147 Investment in seven venture capital funds: NEA VIII, VIIIA, IX, X, XI, XII, and XIV. 0 NanoInk Inc Ann Lurie, Trustee; direct and indirect ownership interest over 35% 464725 License of intellectual property 0 VWR International Inc Timothy P. Sullivan, Trustee; was serving as board member 6665603 Sale of labratory equipment 0 Charlotte Cubbage Family member of Alan K. Cubbage, Officer 72295 Employment 0 Jennifer Linzer Family member of Daniel I. Linzer, Officer 28474 Employment 0 Leigh Bienen Family member of Henry Bienen, Former Officer 54006 Employment 0 Schedule L, Part IV Amounts reflected with respect to the business transaction to Technology Crossover Ventures represent venture capital purchases less capital gains during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to Roundtable Healthcare Partners represent capital gains less fees, expenses, and private equity purchases during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to Thoma Cressey Funds represent return of capital, capital gains and income less expenses and private equity purchases during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to Madison Dearborn represent return of capital, capital gains less fees, expenses, and private equity purchases during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to New Enterprise Associates represent return of capital and capital gains less venture capital purchases during the tax year. Schedule L, Part IV Investment of University assets are monitored by an Investment Committee of the Board of Trustees and governed by an Investment Policy, which includes a conflict of interest policy. That policy establishes criteria under which any investments will be made. Among other things, affected Trustees must recuse themselves of any vote related to the investment. Schedule L, Part III Grants or assistance benefitting interested persons were given pursuant to objective criteria. X 9 86147 FMV on date of gift X 2321 FMV on date of gift X 1398 FMV on date of gift X 388 22144401 Proceeds from sale X 3 1087851 FMV on date of gift X 7 6892 FMV on date of gift X Event/tickets 72 228356 FMV on date of gift X Equip/softwre 14 435956 FMV on date of gift 2 0 1 0 Form 990, Part VI, Section A, line 1 Delegation of Authority to Executive Committee: Executive Committee of the Board of Trustees is comprised of 21 members of the governing body. The Executive Committee may exercise the power of the Board of Trustees between meetings with respect to ordinary business transactions. Form 990, Part VI, Section A, line 2 Business Relationships: Christopher B. Galvin and Patrick G. Ryan Christopher B. Galvin and Patrick G. Ryan Jr. Christopher B. Galvin and John A. Canning, Jr. John A. Canning, Jr. and Eugene S. Sunshine Eugene S. Sunshine and Timothy P. Sullivan Lester B. Knight and John A. Canning, Jr. Lester B. Knight and Patrick G. Ryan Lester B. Knight and William A. Osborn Lester B. Knight and T. Bondurant French Lester B. Knight and A. Steven Crown Lester B. Knight and M. Jude Reyes Lester B. Knight and D. Gidean Searle Lester B. Knight and Christopher B. Galvin Form 990, Part VI, Section A, line 2 Business Relationships continued: Edward M. Liddy and D. Gideon Searle Edward M. Liddy and Miles D. White William A. Osborn and Edward M. Liddy William A. Osborn and Nicholas D. Chabraja William A. Osborn and Miles D. White M. Jude Reyes and A. Steven Crown M. Jude Reyes and Patrick G. Ryan M. Jude Reyes and Frederick H. Waddell Frederick H. Waddell and Nicholas D. Chabraja Family Relationships: Patrick G. Ryan and Patrick G. Ryan, Jr. Form 990, Part VI, Section A, line 4 The University made the following changes to its governing documents since the prior Form 990 was filed: (i) Upon reaching the age 70, an individual is no longer a voting member of the governing body; (ii) Faculty, staff and students may not become members of the governing body, but uncompensated lecturers are not prohibited from becoming members of the governing body; (iii) The Bylaws formalize a current practice by the Committee on Audit, whereby the Bylaws now state that such committee shall periodically review, and if necessary, recommend any changes to, the University's internal controls and compliance procedures; (iv) Prior Bylaws provided that special committees may be appointed by the Chairman of the Board, and there has been a long standing practice of maintaining a Committee on Compensation. Current Bylaws specifically call for a Committee on Compensation, which is appointed by the Chairman of the Board, consisting of five or more members. Such members shall continue to advise the Board of Trustees regarding the evaluation of the performance and compensation of the President and shall review and approve the compensation of the President, officers, and other designated individuals of the University. Form 990, Part VI, Section B, line 11 A hard copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was reviewed by the Committee on Audit of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University. Form 990, Part VI, Section B, line 12c University ByLaws and Statutes, which have been adopted by the Board of Trustees, require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the Board of Trustees in writing. An Officer shall call any conflict of interest to the attention of the President. If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees or other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when the his/her knowledge of the subject will assist the Board or any of its committees. Potential conflicts of interest of Trustees and Officers are reviewed by the University's General Counsel. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed. Form 990, Part VI, Section B, line 15 The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the Compensation Committee of the Board relies on formal surveys and comparability data prepared and compiled by outside consultants who have expertise in the field of executive compensation assessment and benchmarking. The Compensation Committee of the Board met in June 2010 to review and approve fiscal year 2011 (September 1, 2010 to August 31, 2011) salaries and met in June 2011 to review and approve fiscal year 2012 (September 1, 2011 to August 31, 2012) salaries. Actions undertaken by the Compensation Committee of the Board are contemporaneously documented in the minutes of each meeting. Compensation Committee of the Board reviewed and approved compensation of all current officers listed in Part VII, Section A. Form 990, Part VI, Section C, line 19 Governing documents: The University maintains an Office for University Relations where information requests from the public are processed. The organizing document by which the University was created, its charter, is available upon request. Conflict of Interest Policies: The University's conflict of interest policies for faculty and staff are available on the University's website. Financial Statements: The University's annual audited consolidated financial statements are available on the University's website. Local chapters, branches, or affiliates Form 990, Part VI, Line 10 The University does not have local chapters, branches, lodges, units or similar affiliates. As described in Schedule F, the University has one international campus, located in Doha, Qatar. The University has a number of affiliation agreements and arrangements with other research and educational institutions but the University does not have authority to exercise supervision and control of such institutions. Whistleblower Form 990, Part VI, Line 13 The University's whistleblower policy has not been adopted by the Board of Trustees but is applicable to staff and faculty. Document Retention and Destruction Policy Form 990, Part VI, Line 14 The University's written document retention and destruction policy has not been adopted by the Board of Trustees but is applicable to staff and faculty. Joint Venture Arrangements Form 990, Part VI, Line 16b The University does not have a written policy regarding joint ventures in general. However, joint venture agreements are reviewed by the University's Office of General Counsel to evaluate whether the arrangement furthers the mission of the University and to ensure the safeguarding of University's assets. The University also has guidelines concerning joint ventures in its technology transfer and investment policies. Average hours per week devoted to related organizations Form 990, Part VII The following individuals listed in column A work an estimated average hours per week for duties at NMFF, which bases hours devoted to that organization on a 60-hour work week: James Larry Jameson: 30 hours Eric G Neilson: 30 hours Patrick M McCarthy: 55 hours H Huntington Batjer: 54 hours Murad Alam: 60 hours Simon S Yoo: 60 hours Lewis Landsberg: 12 hours Jeffrey Glassroth: 48 hours Changes in Net Assets or Fund Balances: Form 990, Part XI, line 5: Net unrealized gains on investments: 71332383. Rubicon Insurance Company 2020 Ridge Ave Evanston IL 60208 363694409 Providing medical malpractice coverage IL 501(c)(3) 11b Northwestern University 1 Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago IL 60611 363097297 Patient care, teaching IL 501(c)(3) 9 Northwestern University 1 Students Publishing Company 1999 Sheridan Rd Evanston IL 60208 366002654 Publishes student periodicals IL 501(c)(3) 11a 0 Mcgaw Medical Center of Northwestern University 420 E Superior St Chicago IL 60611 362656113 Coordination of medical residents IL 501(c)(3) 11a 0 Northwestern Global Health Foundation PO Box 1969 Evanston IL 60204 273159956 Developing medical devices for people in need in developing countries IL 501(c)(3) 9 Northwestern University 1 The Big Ten Conference Inc 1500 W Higgins Rd Park Ridge IL 60068 363640583 Facilitate quality intercollegiate athletic competition IL 501(c)(3) 11b 0 Northwestern University Employees Benefit Trust PO Box 803878 Northern Trust at Tru Chicago IL 60680 363180819 Providing health insurance benefits to current and former eligible employees IL 501(c)(9) Northwestern University 1 Northwestern University Employees Benefit Trust Dental PO Box 803878 Northern Trust at Tru Chicago IL 60680 363591834 Providing health insurance benefits to current and former eligible employees IL 501(c)(9) Northwestern University 1 Bensell US Feeder LP 50 Lothian Rd Festival Square Edinburgh UK EH3 9WJ 980492320 Investments UK Investment 12666731 0 0 0.56000 Charitable Remainder UniTrusts (120) IL T Charitable Remainder Annuity Trusts (23) IL T Conquest Managed Futures Select Fund III Ltd 45 Market Street Suite 3205 Camana Bay Grand Cayman CJ KYI-9003 Investment CJ Northwestern University C 50000000 1.00000 0 0 1 0 0 0 0 0 1 0 0 0 0 1 1 1 1 1 Rubicon Insurance Company P 1317741 cash Rubicon Insurance Company Q 4379435 cash Northwestern Medical Faculty Foundation P 8159583 cash Northwestern Medical Faculty Foundation Q 1814648 cash Northwestern Medical Faculty Foundation R 47080631 cash Northwestern Global Health Foundation Q 1320232 cash Northwestern University Employees Benefit Trust Health Q 32784694 cash Northwestern University Employees Benefit Trust Dental Q 2815805 cash Identification of Related Tax-Exempt Organizations Schedule R, Part II Northwestern Medical Faculty Foundation is included as a "related organization" because under its current bylaws, its clinical department chairs comprise a majority of its directors. These individuals are also employed as chairs of the corresponding academic departments within the Feinberg School of Medicine of Northwestern University. However, the two organizations do not stand in the roles of parent and subsidiary. They are separate legal entities, and Northwestern Medical Faculty Foundation is not subject to control by Northwestern University or vice-versa. Charitable Remainder Trusts Schedule R, Part IV The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois.