ROCKEFELLER UNIVERSITY: Form 990, tax year 2010
View the entire original 990 at ProPublica ↗
- Organization
- ROCKEFELLER UNIVERSITY (EIN 13-1624158)
- Tax period
- 2010-07-01 to 2011-06-30
- Filed
- 2012-03-05
- IRS object ID
- 201210659349300706
- Schema version
- 2010v3.4
- 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 D
- Schedule E
- Schedule F
- Schedule G
- Schedule H
- Schedule I
- Schedule J
- Schedule K
- Schedule K
- Schedule L
- Schedule M
- Schedule O
- Schedule R
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Timestamp | 2012-03-05T15:21:32-06:00 | Timestamp |
| Tax Period End Date | 2011-06-30 | TaxPeriodEndDate |
| Return Type | 990 | ReturnType |
| Tax Period Begin Date | 2010-07-01 | TaxPeriodBeginDate |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 131624158 | EIN |
Name Name
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | THE ROCKEFELLER UNIVERSITY | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Control | ROCK | NameControl |
| Phone | 2123278000 | Phone |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 YORK AVENUE | AddressLine1 |
| City | NEW YORK | City |
| State | NY | State |
| ZIP Code | 100656307 | ZIPCode |
Officer Officer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | JAMES H LAPPLE | Name |
| Title | Vice President for Finance | Title |
| Phone | 2123278371 | Phone |
| Date Signed | 2012-03-05 | DateSigned |
| Authorize Third Party | 1 | AuthorizeThirdParty |
Preparer Preparer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 2123278704 | Phone |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax Year | 2010 | TaxYear |
| Build TS | 2016-02-24 21:20:13Z | BuildTS |
Form 990 IRS990
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Of Principal Officer Person | James H Lapple | NameOfPrincipalOfficerPerson |
Address Principal Officer US AddressPrincipalOfficerUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 York Avenue | AddressLine1 |
| City | New York | City |
| State | NY | State |
| ZIP Code | 10065 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Receipts | 653540070 | GrossReceipts |
| Group Return For Affiliates | 0 | GroupReturnForAffiliates |
| Organization501c3 | X | Organization501c3 |
| Web Site | www.rockefeller.edu | WebSite |
| Type Of Organization Corporation | X | TypeOfOrganizationCorporation |
| Year Formation | 1901 | YearFormation |
| State Legal Domicile | NY | StateLegalDomicile |
| Activity Or Mission Description | The Rockefeller University (the University) is a world renowned center for research (see schedule O) and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The Universitys 74 laboratories conduct both basic and clinical research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in six research areas, including biochemistry, structural biology, and chemistry; medical sciences and human genetics; molecular, cell, and developmental biology; immunology, virology, and microbiology; neuroscience; and physics and mathematical biology. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. | ActivityOrMissionDescription |
| Nbr Voting Members Governing Body | 41 | NbrVotingMembersGoverningBody |
| Nbr Independent Voting Members | 38 | NbrIndependentVotingMembers |
| Total Nbr Employees | 1767 | TotalNbrEmployees |
| Total Nbr Volunteers | 40 | TotalNbrVolunteers |
| Total Gross UBI | -1229824 | TotalGrossUBI |
| Net Unrelated Business Txbl Income | -2958453 | NetUnrelatedBusinessTxblIncome |
| Contributions Grants Prior Year | 150559671 | ContributionsGrantsPriorYear |
| Contributions Grants Current Year | 154402640 | ContributionsGrantsCurrentYear |
| Program Service Revenue Prior Year | 30526570 | ProgramServiceRevenuePriorYear |
| Program Service Revenue CY | 30476605 | ProgramServiceRevenueCY |
| Investment Income Prior Year | 74930036 | InvestmentIncomePriorYear |
| Investment Income Current Year | 222023683 | InvestmentIncomeCurrentYear |
| Other Revenue Prior Year | 25598097 | OtherRevenuePriorYear |
| Other Revenue Current Year | 17892710 | OtherRevenueCurrentYear |
| Total Revenue Prior Year | 281614374 | TotalRevenuePriorYear |
| Total Revenue Current Year | 424795638 | TotalRevenueCurrentYear |
| Grants And Similar Amnts Prior Year | 8774851 | GrantsAndSimilarAmntsPriorYear |
| Grants And Similar Amnts CY | 8014983 | GrantsAndSimilarAmntsCY |
| Benefits Paid To Members Prior Year | 0 | BenefitsPaidToMembersPriorYear |
| Benefits Paid To Members CY | 0 | BenefitsPaidToMembersCY |
| Salaries Etc Prior Year | 147274934 | SalariesEtcPriorYear |
| Salaries Etc Current Year | 148691486 | SalariesEtcCurrentYear |
| Total Prof Fundrsng Exp Prior Year | 0 | TotalProfFundrsngExpPriorYear |
| Total Prof Fundrsng Exp CY | 0 | TotalProfFundrsngExpCY |
| Total Fundrsng Exp Current Year | 6727799 | TotalFundrsngExpCurrentYear |
| Other Expense Prior Year | 155704472 | OtherExpensePriorYear |
| Other Expenses Current Year | 160237534 | OtherExpensesCurrentYear |
| Total Expenses Prior Year | 311754257 | TotalExpensesPriorYear |
| Total Expenses Current Year | 316944003 | TotalExpensesCurrentYear |
| Revenues Less Expenses Prior Year | -30139883 | RevenuesLessExpensesPriorYear |
| Revenues Less Expenses CY | 107851635 | RevenuesLessExpensesCY |
| Total Assets BOY | 2791046695 | TotalAssetsBOY |
| Total Assets EOY | 2980030530 | TotalAssetsEOY |
| Total Liabilities BOY | 910765749 | TotalLiabilitiesBOY |
| Total Liabilities EOY | 915552810 | TotalLiabilitiesEOY |
| Net Assets Or Fund Balances BOY | 1880280946 | NetAssetsOrFundBalancesBOY |
| Net Assets Or Fund Balances EOY | 2064477720 | NetAssetsOrFundBalancesEOY |
| Info In Schedule O Part III | X | InfoInScheduleOPartIII |
| Mission Description | The Rockefeller University (the University) is a world renowned center for research and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The Universitys 74 laboratories conduct both basic and clinical research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in six research areas, including biochemistry, structural biology, and chemistry; medical sciences and human genetics; molecular, cell, and developmental biology; immunology, virology, and microbiology; neuroscience; and physics and mathematical biology. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. | MissionDescription |
| Significant New Program Services | 0 | SignificantNewProgramServices |
| Significant Change | 0 | SignificantChange |
| Expense | 225678011 | Expense |
| Grants | 8014983 | Grants |
| Description | RESEARCH EDUCATION -90 LABORATORIES (16 OF WHICH ARE EMERITI) INCLUDING 81 FACULTY MEMBERS, 296 POST-DOCTORAL SCHOLARS, 182 GRADUATE STUDENTS AND WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY MEDICAL STUDENTS. | Description |
Activity2 Activity2
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | 16049596 | Expense |
| Description | HOSPITAL-CONSISTS OF 40 BEDS AND SERVES AS A CLINICAL RESEARCH CENTER FOR OUTPATIENTS AND FOR INPATIENTS. | Description |
Activity3 Activity3
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | 2741059 | Expense |
| Description | LIBRARY CONTAINS 56,339 VOLUMES (OF WHICH 11,806 ARE ON-LINE) AND 5,335 ON-LINE SUBSCRIPTIONS AND IS MAINTAINED ON AN OPEN STOCK POLICY. | Description |
Activity Other ActivityOther
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expense | 31230143 | Expense |
| Revenue | 10035937 | Revenue |
| Description | AUXILIARY ENTERPRISES-HOUSING ON CAMPUS FOR SINGLE AND MARRIED STUDENTS;OFF CAMPUS HOUSING FOR FACULTY AND OTHER UNIVERSITY PERSONNEL; FOOD SERVICE CONSISTS OF CAFETERIA DINING FACILITIES; PRESS INCLUDES JOURNALS AND SUBSCRIPTIONS. | Description |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Other Program Service Exp | 31230143 | TotalOfOtherProgramServiceExp |
| Total Of Other Program Service Rev | 10035937 | TotalOfOtherProgramServiceRev |
| Total Program Service Expense | 275698809 | TotalProgramServiceExpense |
| Described In501 C3 | 1 | DescribedIn501C3 |
| Schedule B Required | 1 | ScheduleBRequired |
| Political Activities | 0 | PoliticalActivities |
| Lobbying Activities | 0 | LobbyingActivities |
| Donor Advised Funds | 0 | DonorAdvisedFunds |
| Conservation Easements | 0 | ConservationEasements |
| Collections Of Art | 1 | CollectionsOfArt |
| Credit Counseling | 0 | CreditCounseling |
| Term Or Permanent Endowments | 1 | TermOrPermanentEndowments |
| Report Land Bldg Equip | 1 | ReportLandBldgEquip |
| Report Invest Oth Securities | 1 | ReportInvestOthSecurities |
| Report Prog Rel Invest | 0 | ReportProgRelInvest |
| Report Other Assets | 0 | ReportOtherAssets |
| Report Other Liabilities | 1 | ReportOtherLiabilities |
| Report Fin48 Footnote | 1 | ReportFin48Footnote |
| Independent Audit Financial Stmt | 0 | IndependentAuditFinancialStmt |
| Consolidated Audit Financial Stmt | 1 | ConsolidatedAuditFinancialStmt |
| School | 1 | School |
| Foreign Office | 0 | ForeignOffice |
| Foreign Activities | 1 | ForeignActivities |
| More Than5000 K To Organizations | 0 | MoreThan5000KToOrganizations |
| More Than5000 K To Individuals | 0 | MoreThan5000KToIndividuals |
| Professional Fundraising | 0 | ProfessionalFundraising |
| Fundraising Activities | 1 | FundraisingActivities |
| Gaming | 0 | Gaming |
| Hospital | 1 | Hospital |
| Financial Stmt Attached | 1 | FinancialStmtAttached |
| Grants To Organizations | 0 | GrantsToOrganizations |
| Grants To Individuals | 1 | GrantsToIndividuals |
| Schedule J Required | 1 | ScheduleJRequired |
| Tax Exempt Bonds | 1 | TaxExemptBonds |
| Invest Tax Exempt Bonds | 0 | InvestTaxExemptBonds |
| Escrow Account | 0 | EscrowAccount |
| On Behalf Of Issuer | 0 | OnBehalfOfIssuer |
| Excess Benefit Transaction | 0 | ExcessBenefitTransaction |
| Prior Excess Benefit Transaction | 0 | PriorExcessBenefitTransaction |
| Loan To Officer Or DQP | 1 | LoanToOfficerOrDQP |
| Grant To Related Person | 0 | GrantToRelatedPerson |
| Bsnss Rltnshp With Organization | 1 | BsnssRltnshpWithOrganization |
| Bsnss Rltnshp Thru Family Member | 1 | BsnssRltnshpThruFamilyMember |
| Officer Entity With Bsnss Rltnshp | 1 | OfficerEntityWithBsnssRltnshp |
| Deductible Non Cash Contributions | 1 | DeductibleNonCashContributions |
| Deductible Contributions Of Art | 1 | DeductibleContributionsOfArt |
| Terminated | 0 | Terminated |
| Partial Liquidation | 0 | PartialLiquidation |
| Disregarded Entity | 0 | DisregardedEntity |
| Related Entity | 1 | RelatedEntity |
| Related Org Controlled Entity | 0 | RelatedOrgControlledEntity |
| Transaction Related Entity | 0 | TransactionRelatedEntity |
| Transfers To Exempt Non Chrtbl Org | 0 | TransfersToExemptNonChrtblOrg |
| Activities Conducted Partnership | 0 | ActivitiesConductedPartnership |
| Schedule O Required | 1 | ScheduleORequired |
| Info In Schedule O Part V | X | InfoInScheduleOPartV |
| Number Forms Transmitted With1096 | 758 | NumberFormsTransmittedWith1096 |
| Number W2 G Included | 0 | NumberW2GIncluded |
| Compliance With Backup Witholding | 1 | ComplianceWithBackupWitholding |
| Number Of Employees | 1767 | NumberOfEmployees |
| Employment Tax Returns Filed | 1 | EmploymentTaxReturnsFiled |
| Unrelated Business Income | 1 | UnrelatedBusinessIncome |
| Form990-T Filed | 1 | Form990-TFiled |
| Foreign Financial Account | 1 | ForeignFinancialAccount |
| Name Of Foreign Country | UK | NameOfForeignCountry |
| Name Of Foreign Country | CA | NameOfForeignCountry |
| Name Of Foreign Country | GM | NameOfForeignCountry |
| Name Of Foreign Country | HK | NameOfForeignCountry |
| Name Of Foreign Country | JA | NameOfForeignCountry |
| Name Of Foreign Country | TU | NameOfForeignCountry |
| Name Of Foreign Country | SW | NameOfForeignCountry |
| Name Of Foreign Country | SN | NameOfForeignCountry |
| Prohibited Tax Shelter Trans | 0 | ProhibitedTaxShelterTrans |
| Taxable Party Notification | 0 | TaxablePartyNotification |
| Non Deductible Contributions | 0 | NonDeductibleContributions |
| Quid Pro Quo Contributions | 1 | QuidProQuoContributions |
| Quid Pro Quo Disclosure | 1 | QuidProQuoDisclosure |
| Form8282 Property Disposed Of | 0 | Form8282PropertyDisposedOf |
| Funds To Pay Premiums | 0 | FundsToPayPremiums |
| Premiums Paid | 0 | PremiumsPaid |
| Indoor Tanning Services | 0 | IndoorTanningServices |
| Info In Schedule O Part VI | X | InfoInScheduleOPartVI |
| Nbr Voting Governing Body Members | 41 | NbrVotingGoverningBodyMembers |
| Number Independent Voting Members | 38 | NumberIndependentVotingMembers |
| Family Or Business Relationship | 1 | FamilyOrBusinessRelationship |
| Delegation Of Management Duties | 0 | DelegationOfManagementDuties |
| Changes To Organizing Docs | 0 | ChangesToOrganizingDocs |
| Material Diversion Or Misuse | 0 | MaterialDiversionOrMisuse |
| Members Or Stockholders | 0 | MembersOrStockholders |
| Election Of Board Members | 0 | ElectionOfBoardMembers |
| Decisions Subject To Approval | 0 | DecisionsSubjectToApproval |
| Minutes Of Governing Body | 1 | MinutesOfGoverningBody |
| Minutes Of Committees | 1 | MinutesOfCommittees |
| Officer Mailing Address | 0 | OfficerMailingAddress |
| Local Chapters | 0 | LocalChapters |
| Form990 Provided To Governing Body | 1 | Form990ProvidedToGoverningBody |
| Conflict Of Interest Policy | 1 | ConflictOfInterestPolicy |
| Annual Disclosure Covered Persons | 1 | AnnualDisclosureCoveredPersons |
| Regular Monitoring Enforcement | 1 | RegularMonitoringEnforcement |
| Whistleblower Policy | 1 | WhistleblowerPolicy |
| Document Retention Policy | 1 | DocumentRetentionPolicy |
| Compensation Process CEO | 1 | CompensationProcessCEO |
| Compensation Process Other | 1 | CompensationProcessOther |
| Investment In Joint Venture | 0 | InvestmentInJointVenture |
| Upon Request | X | UponRequest |
The Books Are In Care Of TheBooksAreInCareOf
Name Business NameBusiness
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | MICHAEL P VITALE | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Telephone Number | 2123278704 | TelephoneNumber |
Address US AddressUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 YORK AVENUE | AddressLine1 |
| City | NEW YORK | City |
| State | NY | State |
| ZIP Code | 100656307 | ZIPCode |
Form990 Part VII Section A Form990PartVIISectionA (62 entries)
| TitleTitle | Average Hours Per WeekAverageHoursPerWeek | Individual Trustee Or DirectorIndividualTrusteeOrDirector | Reportable Comp From OrganizationReportableCompFromOrganization | Reportable Comp From Related OrgsReportableCompFromRelatedOrgs | Other CompensationOtherCompensation | OfficerOfficer | Highest Compensated EmployeeHighestCompensatedEmployee | FormerFormer |
|---|---|---|---|---|---|---|---|---|
| Allen R Adler | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Holly Andersen | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Robert M Bass | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Edward J Benz Jr MD | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Judith Roth Berkowitz | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Debra Black | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| David Botstein PhD | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Russell L Carson | ||||||||
| Trustee, Chairman | 0.00 | X | 0 | 0 | 0 | |||
| H Rodgin Cohen | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Andreas Dracopoulos | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Anthony B Evnin PhD | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Michael D Fascitelli | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Peter A Flaherty | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| William E Ford | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Joseph L Goldstein | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Neva R Goodwin | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Peter T Grauer | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Paul B Guenther | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Marlene Hess | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| David I Hirsch PhD | ||||||||
| Trustee, Vice Chair | 0.00 | X | 0 | 0 | 0 | |||
| Sandra J Horbach | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| William J Huyett Jr | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Ajit Jain | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| David H Koch | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Henry R Kravis | ||||||||
| Trustee, Vice Chair | 0.00 | X | 0 | 0 | 0 | |||
| Karen M Levy | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Evelyn G Lipper MD | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Susan Lyne | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Surya Mohapatra | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Robin Chemers Neustein | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Willard J Overlock Jr | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Marnie S Pillsbury | ||||||||
| Trustee, Vice Chair | 0.00 | X | 0 | 0 | 0 | |||
| Don Michael Randel PhD | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Patricia Rosenwald | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Richard E Salomon | ||||||||
| Trustee, Vice Chair | 0.00 | X | 0 | 0 | 0 | |||
| Lewis A Sanders | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| John M Shapiro | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Sydney R Shuman | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| James H Simons PhD | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Dinakar Singh | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Lulu C Wang | ||||||||
| Trustee | 0.00 | X | 0 | 0 | 0 | |||
| Marc Tessier-Lavigne PhD | ||||||||
| President (effective 4/2011) | 35.00 | X | 0 | 0 | 0 | X | ||
| Paul Nurse | ||||||||
| President (departs 4/2011) | 35.00 | X | 940063 | 0 | 171388 | X | ||
| Lisa Danzig | ||||||||
| VP & CIO (departs 4/2011) | 35.00 | 524738 | 0 | 59210 | X | |||
| Amy Falls | ||||||||
| VP & CIO (effective 4/2011) | 35.00 | 0 | 0 | 0 | X | |||
| Barry Coller | ||||||||
| VP & Physician-in-Chief | 35.00 | 504621 | 0 | 73593 | X | |||
| Harriet Rabb | ||||||||
| VP & General Counsel | 35.00 | 418432 | 0 | 72874 | X | |||
| Maren Imhoff | ||||||||
| VP, Development | 35.00 | 408084 | 0 | 68701 | X | |||
| John Tooze | ||||||||
| VP, Facilities & Scientifi | 35.00 | 445227 | 0 | 79920 | X | |||
| Michael Young | ||||||||
| VP, Academic Affairs | 35.00 | 433555 | 0 | 79717 | X | |||
| James Lapple | ||||||||
| VP, Finance & Treasurer | 35.00 | 384220 | 0 | 53957 | X | |||
| Sidney Strickland | ||||||||
| VP, Education Affairs | 35.00 | 325713 | 0 | 72174 | X | |||
| Virginia Huffman | ||||||||
| VP, Human Resources | 35.00 | 320832 | 0 | 78140 | X | |||
| Jane Rendall | ||||||||
| Corporate Secretary | 35.00 | 265228 | 0 | 69005 | X | |||
| Roberta Maloney | ||||||||
| Asst. VP, Finance | 35.00 | 218312 | 0 | 70636 | X | |||
| Jean-Laurent Casanova | ||||||||
| Professor, Head of Laborat | 35.00 | 796623 | 0 | 78786 | X | |||
| Jeffery Ravetch | ||||||||
| Professor, Head of Laborat | 35.00 | 369389 | 0 | 63575 | X | |||
| Robert Roeder | ||||||||
| Professor, Head of Laborat | 35.00 | 430152 | 0 | 79836 | X | |||
| Stanislas Leibler | ||||||||
| Professor, Head of Laborat | 35.00 | 359257 | 0 | 63222 | X | |||
| Ralph Steinman | ||||||||
| Professor, Head of Laborat | 35.00 | 360450 | 0 | 72524 | X | |||
| Thomas Sakmar | ||||||||
| Professor, Head of Laborat | 35.00 | 370752 | 0 | 67298 | X | |||
| David Rockefeller | ||||||||
| Life Trustee | 0.00 | 0 | 0 | 0 | X | |||
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Reportable Comp From Org | 7875648 | TotalReportableCompFromOrg |
| Total Reportable Comp Frm Rltd Orgs | 0 | TotalReportableCompFrmRltdOrgs |
| Total Other Compensation | 1374556 | TotalOtherCompensation |
| Number Individuals GT100 K | 170 | NumberIndividualsGT100K |
| Formers Listed | 1 | FormersListed |
| Total Comp GT150 K | 1 | TotalCompGT150K |
| Compensation From Other Sources | 0 | CompensationFromOtherSources |
Contractor Compensation ContractorCompensation (5 entries)
| Address Line1AddressOfContractor/AddressUS/AddressLine1 | CityAddressOfContractor/AddressUS/City | StateAddressOfContractor/AddressUS/State | ZIP CodeAddressOfContractor/AddressUS/ZIPCode | Description Of ServicesDescriptionOfServices | CompensationCompensation |
|---|---|---|---|---|---|
| TURNER CONSTRUCTION CO | |||||
| 375 HUDSON STREET | NEW YORK | NY | 10014 | CONSTRUCTION SERVICES | 57034121 |
| MITCHELL GIRUGOLA ARCHITECTS LLP | |||||
| 170 WEST 97TH STREET | NEW YORK | NY | 10036 | ARCHITECHURAL SERVICES | 1799848 |
| RESTAURANT ASSOCIATES CORP | |||||
| 120 WEST 45TH STREET | NEW YORK | NY | 10036 | FOOD SERVICE | 1584041 |
| THE SHERIDAN PRESS | |||||
| 450 FAME AVENUE | HANOVER | PA | 17331 | PRINTING & PUBLICATIONS FOR JOURNALS | 1364833 |
| GENEWIZ INC | |||||
| 675 US HIGHWAY 1 SOUTH | NORTH BRUNSWICK | NJ | 08902 | DNA SEQUENCING | 1218210 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Number Of Contractors GT100 K | 48 | NumberOfContractorsGT100K |
| Fundraising Events | 7959394 | FundraisingEvents |
| Government Grants | 99385778 | GovernmentGrants |
| All Other Contributions | 47057468 | AllOtherContributions |
| Noncash Contributions | 16664375 | NoncashContributions |
| Total Contributions | 154402640 | TotalContributions |
Program Service Revenue ProgramServiceRevenue (3 entries)
| DescriptionDescription | Business CodeBusinessCode | Total Revenue ColumnTotalRevenueColumn | ExclusionExclusionAmount | Related Or Exempt Function IncomeRelatedOrExemptFunctionIncome |
|---|---|---|---|---|
| Housing | 532000 | 17877024 | $17,877,024 | |
| Press operations | 511120 | 10035937 | 10035937 | |
| Food Service | 722210 | 2563644 | $2,563,644 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Program Service Revenue | 30476605 | TotalProgramServiceRevenue |
Investment Income InvestmentIncome
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 4005503 | TotalRevenueColumn |
| Exclusion | $4,005,503 | ExclusionAmount |
Income From Invest Bond Proceeds IncomeFromInvestBondProceeds
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 1068181 | TotalRevenueColumn |
| Exclusion | $1,068,181 | ExclusionAmount |
Royalties Revenue RoyaltiesRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 10186902 | TotalRevenueColumn |
| Exclusion | $10,186,902 | ExclusionAmount |
Gross Rents GrossRents
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | 6488520 | Real |
Rental Income Or Loss RentalIncomeOrLoss
| Field | Value | IRS element (for citing) |
|---|---|---|
| Real | 6488520 | Real |
Net Rental Income Or Loss NetRentalIncomeOrLoss
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 6488520 | TotalRevenueColumn |
| Exclusion | $6,488,520 | ExclusionAmount |
Gross Amount Sales Assets GrossAmountSalesAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | 421085207 | Securities |
| Other | 24000000 | Other |
Less Cost Oth Basis Sales Expenses LessCostOthBasisSalesExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | 213181326 | Securities |
| Other | 14953882 | Other |
Gain Or Loss GainOrLoss
| Field | Value | IRS element (for citing) |
|---|---|---|
| Securities | 207903881 | Securities |
| Other | 9046118 | Other |
Net Gain Or Loss Investments NetGainOrLossInvestments
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 216949999 | TotalRevenueColumn |
| Unrelated Business Revenue | -1229824 | UnrelatedBusinessRevenue |
| Exclusion | $218,179,823 | ExclusionAmount |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Income Fundraising Events | 140750 | GrossIncomeFundraisingEvents |
| Cntrbtns Rprtd Fundraising Events | 7959394 | CntrbtnsRprtdFundraisingEvents |
| Fundraising Direct Expenses | 609224 | FundraisingDirectExpenses |
Net Income From Fundraising Events NetIncomeFromFundraisingEvents
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | -468474 | TotalRevenueColumn |
| Exclusion | -$468,474 | ExclusionAmount |
Other Revenue Misc OtherRevenueMisc (2 entries)
| DescriptionDescription | Business CodeBusinessCode | Total Revenue ColumnTotalRevenueColumn | ExclusionExclusionAmount |
|---|---|---|---|
| Mortgage Interest | 900099 | 715950 | $715,950 |
| Reimbursement of Costs | 900099 | 255108 | $255,108 |
Miscellaneous Revenue MiscellaneousRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 714704 | TotalRevenueColumn |
| Exclusion | $714,704 | ExclusionAmount |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Other Revenue | 1685762 | TotalOtherRevenue |
Total Revenue TotalRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 424795638 | TotalRevenueColumn |
| Related Or Exempt Function Income | 10035937 | RelatedOrExemptFunctionIncome |
| Unrelated Business Revenue | -1229824 | UnrelatedBusinessRevenue |
| Exclusion | $261,586,885 | ExclusionAmount |
Grants To Domestic Individuals GrantsToDomesticIndividuals
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 8014983 | Total |
| Program Services | 8014983 | ProgramServices |
Comp Current Officers Directors CompCurrentOfficersDirectors
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 5048079 | Total |
| Program Services | 529840 | ProgramServices |
| Management And General | 4146239 | ManagementAndGeneral |
| Fundraising | 372000 | Fundraising |
Other Salaries And Wages OtherSalariesAndWages
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 97106492 | Total |
| Program Services | 86532041 | ProgramServices |
| Management And General | 8263419 | ManagementAndGeneral |
| Fundraising | 2311032 | Fundraising |
Pension Plan Contributions PensionPlanContributions
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 7963583 | Total |
| Program Services | 6669160 | ProgramServices |
| Management And General | 1023181 | ManagementAndGeneral |
| Fundraising | 271242 | Fundraising |
Other Employee Benefits OtherEmployeeBenefits
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 32042239 | Total |
| Program Services | 26791331 | ProgramServices |
| Management And General | 4374197 | ManagementAndGeneral |
| Fundraising | 876711 | Fundraising |
Payroll Taxes PayrollTaxes
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 6531093 | Total |
| Program Services | 5674717 | ProgramServices |
| Management And General | 689306 | ManagementAndGeneral |
| Fundraising | 167070 | Fundraising |
Fees For Services Legal FeesForServicesLegal
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 395879 | Total |
| Management And General | 395879 | ManagementAndGeneral |
Fees For Services Accounting FeesForServicesAccounting
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 434955 | Total |
| Program Services | 56525 | ProgramServices |
| Management And General | 378430 | ManagementAndGeneral |
Fees For Services Invst Mgmnt Fees FeesForServicesInvstMgmntFees
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 1407980 | Total |
| Management And General | 1407980 | ManagementAndGeneral |
Fees For Services Other FeesForServicesOther
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 12324019 | Total |
| Program Services | 11607587 | ProgramServices |
| Management And General | 616299 | ManagementAndGeneral |
| Fundraising | 100133 | Fundraising |
Advertising Advertising
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 1701526 | Total |
| Program Services | 1418508 | ProgramServices |
| Management And General | 131817 | ManagementAndGeneral |
| Fundraising | 151201 | Fundraising |
Office Expenses OfficeExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 45817107 | Total |
| Program Services | 42663183 | ProgramServices |
| Management And General | 2961031 | ManagementAndGeneral |
| Fundraising | 192893 | Fundraising |
Information Technology InformationTechnology
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 2649521 | Total |
| Program Services | 1058133 | ProgramServices |
| Management And General | 1396644 | ManagementAndGeneral |
| Fundraising | 194744 | Fundraising |
Royalties Royalties
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 3465896 | Total |
| Program Services | 3465896 | ProgramServices |
Occupancy Occupancy
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 16035456 | Total |
| Program Services | 13484317 | ProgramServices |
| Management And General | 1427156 | ManagementAndGeneral |
| Fundraising | 1123983 | Fundraising |
Travel Travel
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 900619 | Total |
| Program Services | 838495 | ProgramServices |
| Management And General | 47995 | ManagementAndGeneral |
| Fundraising | 14129 | Fundraising |
Conferences Meetings ConferencesMeetings
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 1292679 | Total |
| Program Services | 1020054 | ProgramServices |
| Management And General | 71992 | ManagementAndGeneral |
| Fundraising | 200633 | Fundraising |
Interest Interest
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 29147548 | Total |
| Program Services | 25833186 | ProgramServices |
| Management And General | 3314362 | ManagementAndGeneral |
Depreciation Depletion DepreciationDepletion
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 35452414 | Total |
| Program Services | 32814725 | ProgramServices |
| Management And General | 1885661 | ManagementAndGeneral |
| Fundraising | 752028 | Fundraising |
Insurance Insurance
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 2701241 | Total |
| Program Services | 715434 | ProgramServices |
| Management And General | 1985807 | ManagementAndGeneral |
Other Expenses OtherExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | Subcontracts | Description |
| Total | 6510694 | Total |
| Program Services | 6510694 | ProgramServices |
Total Functional Expenses TotalFunctionalExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 316944003 | Total |
| Program Services | 275698809 | ProgramServices |
| Management And General | 34517395 | ManagementAndGeneral |
| Fundraising | 6727799 | Fundraising |
Cash Non Interest Bearing CashNonInterestBearing
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 30350 | BOY |
| EOY | 30350 | EOY |
Savings And Temp Cash Investments SavingsAndTempCashInvestments
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 134090825 | BOY |
| EOY | 154554528 | EOY |
Pledges And Grants Receivable PledgesAndGrantsReceivable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 199250782 | BOY |
| EOY | 176694404 | EOY |
Accounts Receivable AccountsReceivable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 8046557 | BOY |
| EOY | 7404167 | EOY |
Receivables From Officers Etc ReceivablesFromOfficersEtc
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 6931829 | BOY |
| EOY | 6880195 | EOY |
Other Notes Loans Receivable Net OtherNotesLoansReceivableNet
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 15432609 | BOY |
| EOY | 17189057 | EOY |
Inventories For Sale Or Use InventoriesForSaleOrUse
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 785549 | BOY |
| EOY | 836546 | EOY |
Prepaid Expenses Deferred Charges PrepaidExpensesDeferredCharges
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 5094457 | BOY |
| EOY | 2700184 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Land Buildings Equipment Basis | 1039904362 | LandBuildingsEquipmentBasis |
| Land Bldg Equipment Accum Deprec | 363968928 | LandBldgEquipmentAccumDeprec |
Land Buildings Equipment Basis Net LandBuildingsEquipmentBasisNet
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 685020821 | BOY |
| EOY | 675935434 | EOY |
Investments Pub Traded Securities InvestmentsPubTradedSecurities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 1154429627 | BOY |
| EOY | 1233989337 | EOY |
Investments Other Securities InvestmentsOtherSecurities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 491579881 | BOY |
| EOY | 576532977 | EOY |
Investments Program Related InvestmentsProgramRelated
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 3080533 | BOY |
| EOY | 3583140 | EOY |
Other Assets Total OtherAssetsTotal
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 87272875 | BOY |
| EOY | 123700211 | EOY |
Total Assets TotalAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 2791046695 | BOY |
| EOY | 2980030530 | EOY |
Accounts Payable Accrued Expenses AccountsPayableAccruedExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 45720623 | BOY |
| EOY | 42177567 | EOY |
Deferred Revenue DeferredRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 4144284 | BOY |
| EOY | 4317649 | EOY |
Tax Exempt Bond Liabilities TaxExemptBondLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 580326616 | BOY |
| EOY | 629566633 | EOY |
Mort Notes Pybl Secured Invest Prop MortNotesPyblSecuredInvestProp
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 20000000 | BOY |
Other Liabilities OtherLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 260574226 | BOY |
| EOY | 239490961 | EOY |
Total Liabilities TotalLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 910765749 | BOY |
| EOY | 915552810 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Follow SFAS117 | X | FollowSFAS117 |
Unrestricted Net Assets UnrestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 1309931799 | BOY |
| EOY | 523643298 | EOY |
Temporarily Restricted Net Assets TemporarilyRestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 323900761 | BOY |
| EOY | 1288971100 | EOY |
Permanently Restricted Net Assets PermanentlyRestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 246448386 | BOY |
| EOY | 251863322 | EOY |
Total Net Assets Fund Balances TotalNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 1880280946 | BOY |
| EOY | 2064477720 | EOY |
Total Liab Net Assets Fund Balances TotalLiabNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 2791046695 | BOY |
| EOY | 2980030530 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Reconcilation Revenue Expenses | 107851635 | ReconcilationRevenueExpenses |
| Reconcilation Other Changes | 76345139 | ReconcilationOtherChanges |
| Method Of Accounting Accrual | X | MethodOfAccountingAccrual |
| Accountant Compile Or Review | 0 | AccountantCompileOrReview |
| FS Audited | 1 | FSAudited |
| Audit Committee | 1 | AuditCommittee |
| Financial Statement Consolidated | X | FinancialStatementConsolidated |
| Federal Grant Audit Required | 1 | FederalGrantAuditRequired |
| Federal Grant Audit Performed | 1 | 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 D IRS990ScheduleD
Art Public Exhibition Amts ArtPublicExhibitionAmts
| Field | Value | IRS element (for citing) |
|---|---|---|
| Assets In Part X | 770239 | AssetsInPartX |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Collect Used For Public Exhibition | X | CollectUsedForPublicExhibition |
| Solicited Assets For Sale | 0 | SolicitedAssetsForSale |
Current Year CurrentYear
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Of Year Balance | 1451345077 | BeginningOfYearBalance |
| Contributions | 5982193 | Contributions |
| Investment Earnings Or Losses | 266875779 | InvestmentEarningsOrLosses |
| Other Expenditures | 103802202 | OtherExpenditures |
| End Of Year Balance | 1620400847 | EndOfYearBalance |
Current Year Minus1 Year CurrentYearMinus1Year
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Of Year Balance | 1428894687 | BeginningOfYearBalance |
| Contributions | 7123572 | Contributions |
| Investment Earnings Or Losses | 127372135 | InvestmentEarningsOrLosses |
| Other Expenditures | 112045317 | OtherExpenditures |
| End Of Year Balance | 1451345077 | EndOfYearBalance |
Current Year Minus2 Years CurrentYearMinus2Years
| Field | Value | IRS element (for citing) |
|---|---|---|
| Beginning Of Year Balance | 1878613121 | BeginningOfYearBalance |
| Contributions | 12472234 | Contributions |
| Investment Earnings Or Losses | -353884925 | InvestmentEarningsOrLosses |
| Other Expenditures | 108305743 | OtherExpenditures |
| End Of Year Balance | 1428894687 | EndOfYearBalance |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Board Designated EOY Balance | 0.20600 | BoardDesignatedEOYBalance |
| Permanent Endowment EOY Balance | 0.14000 | PermanentEndowmentEOYBalance |
| Term Endowment EOY Balance | 0.65400 | TermEndowmentEOYBalance |
| Endowments Held By Unrelated Orgs | 0 | EndowmentsHeldByUnrelatedOrgs |
| Endowments Held By Related Orgs | 0 | EndowmentsHeldByRelatedOrgs |
Land Land
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 13681660 | OtherCostOrOtherBasis |
| Book Value | 13681660 | BookValue |
Buildings Buildings
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 935545705 | OtherCostOrOtherBasis |
| Depreciation | 296178352 | Depreciation |
| Book Value | 639367353 | BookValue |
Leasehold Improvements LeaseholdImprovements
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 424726 | OtherCostOrOtherBasis |
| Depreciation | 348471 | Depreciation |
| Book Value | 76255 | BookValue |
Equipment Equipment
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 88726795 | OtherCostOrOtherBasis |
| Depreciation | 66768894 | Depreciation |
| Book Value | 21957901 | BookValue |
Other Land Buildings OtherLandBuildings
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 1525476 | OtherCostOrOtherBasis |
| Depreciation | 673211 | Depreciation |
| Book Value | 852265 | BookValue |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Book Value Land Buildings | 675935434 | TotalOfBookValueLandBuildings |
Closely Held Equity Interests CloselyHeldEquityInterests
| Field | Value | IRS element (for citing) |
|---|---|---|
| Book Value | 498269943 | BookValue |
| Method Of Valuation | F | MethodOfValuation |
Other Securities OtherSecurities
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | Cash Equivalents | Description |
| Book Value | 78263034 | BookValue |
| Method Of Valuation | F | MethodOfValuation |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Book Value Securities | 576532977 | TotalOfBookValueSecurities |
Other Liabilities OtherLiabilities (4 entries)
| DescriptionDescription | AmountAmount |
|---|---|
| Amounts held for others | $93,739,316 |
| Conditional asset retirement obligation | $7,156,044 |
| Obligation under derivative instruments | $90,220,601 |
| Postretirement benefit obligation | $48,375,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Amounts | 239490961 | TotalOfAmounts |
| Total Revenue | 424795638 | TotalRevenue |
| Total Expenses | 316944003 | TotalExpenses |
| Excess Or Deficit For Year | 107851635 | ExcessOrDeficitForYear |
| Net Unrealized GL On Investments | 59208305 | NetUnrealizedGLOnInvestments |
| Other | $17,054,790 | OtherAmount |
| Total Adjustments | 76263095 | TotalAdjustments |
| Excess Or Deficit Per FS | 184114730 | ExcessOrDeficitPerFS |
| Tot Revenue Etc Audited Fincl Stmt | 495067705 | TotRevenueEtcAuditedFinclStmt |
| Net Unrealized Gains Investments | 59208305 | NetUnrealizedGainsInvestments |
| Other Revenues | 24377980 | OtherRevenues |
| Revenue Not Rptd F990 | 83586285 | RevenueNotRptdF990 |
| Revenue Subtotal | 411481420 | RevenueSubtotal |
| Investment Expenses Not Included | 1407980 | InvestmentExpensesNotIncluded |
| Other Revenues Not Included | 11906238 | OtherRevenuesNotIncluded |
| Revenue Not Rptd On Fin Stmt | 13314218 | RevenueNotRptdOnFinStmt |
| Total Revenue Per Form990 | 424795638 | TotalRevenuePerForm990 |
| Tot Expenses Etc Audited Fincl Stmt | 310952975 | TotExpensesEtcAuditedFinclStmt |
| Other Expenses Included | -1113704 | OtherExpensesIncluded |
| Expenses Not Rptd F990 | -1113704 | ExpensesNotRptdF990 |
| Expenses Subtotal | 312066679 | ExpensesSubtotal |
| Investment Expenses Not Included2 | 1407980 | InvestmentExpensesNotIncluded2 |
| Other Expenses Not Included | 3469344 | OtherExpensesNotIncluded |
| Expenses Not Rptd On Fin Stmt | 4877324 | ExpensesNotRptdOnFinStmt |
| Total Expenses Per Form990 | 316944003 | TotalExpensesPerForm990 |
Form990 Schedule D Part XIV Form990ScheduleDPartXIV (8 entries)
| Return ReferenceReturnReference | ExplanationExplanation | IdentifierIdentifier |
|---|---|---|
| Part III, Line 4: | Works of art are displayed in various locations throughout the campus. | |
| Part V, Line 4: | The primary role of the endowment is to advance the research mission of the University through support of the annual operating budget. The Investment Committee of the Board of Trustees is responsible for overseeing the endowment. With the support of the Office of Investments, the Committee is responsible for establishing the endowments investment policy and asset allocation; retaining and overseeing external investment managers; and monitoring the implementation and performance of the investment program. The endowments assets are invested in marketable securities, including U.S. and non-U.S. equity and fixed income securities, and private investments, including venture capital, private equity and real assets. The assets are invested by external investment managers through separate accounts or through commingled vehicles, including funds, trusts and limited partnerships. | Description of Intended Use of Endowment Funds: |
| Part X: | The University is exempt from federal income taxes under the provisions of Section 501(c)(3) of the Internal Revenue Code. The University follows the guidance of ASC 740 10, Accounting for Income Taxes Overall, which addresses accounting for uncertainties in income taxes recognized in an enterprises financial statements. The University utilizes a threshold of more likely-than not for recognition and derecognition of tax positions taken or expected to be taken in a tax return. | Description of Uncertain Tax Positions Under FIN 48: |
| Unrealized Gains on Derivatives - 24,377,980 Postretirement related changes - 8,731,000 RU Faculty & Students Club, Inc. - NET LOSS - (82,044) Write-off of fixed assets - (13,050,083) Write-off of uncollectable pledges receivable - (2,922,063) | Part XI, Line 8 - Other Adjustments: | |
| Unrealized Net Gain on Derivative Instruments - 24,377,980 | Part XII, Line 2d - Other Adjustments: | |
| Fundraising expenses - (609,224) Royalty payments - 3,469,344 Gain on Sale of Fixed Assets - 9,046,118 | Part XII, Line 4b - Other Adjustments: | |
| RU Faculty & Students Club, Inc. - NET LOSS - 82,044 Postretirement related changes - (8,731,000) Provision for uncollectable pledges - 2,922,063 Flexner Write-off - 13,050,083 Fundraising expenses - 609,224 Gain on Sale of Fixed Assets - (9,046,118) | Part XIII, Line 2d - Other Adjustments: | |
| Royalty payments - 3,469,344 | Part XIII, Line 4b - Other Adjustments: |
Schedule E IRS990ScheduleE
| Field | Value | IRS element (for citing) |
|---|---|---|
| Nondiscriminatory Policy Stmt | 1 | NondiscriminatoryPolicyStmt |
| Policy Statement In Brochures Etc | 1 | PolicyStatementInBrochuresEtc |
| Policy Publ Via Broadcast Media | 1 | PolicyPublViaBroadcastMedia |
| Maint Racial Composition Records | 1 | MaintRacialCompositionRecords |
| Maint Scholarships Records | 1 | MaintScholarshipsRecords |
| Maint Copies Of Brochures Etc | 1 | MaintCopiesOfBrochuresEtc |
| Maint Copies Of All Solicitations | 1 | MaintCopiesOfAllSolicitations |
| Discriminate Race Students Rights | 0 | DiscriminateRaceStudentsRights |
| Discriminate Race Admiss Policies | 0 | DiscriminateRaceAdmissPolicies |
| Discriminate Race Emplmn Faculty | 0 | DiscriminateRaceEmplmnFaculty |
| Discriminate Race Scholarships | 0 | DiscriminateRaceScholarships |
| Discriminate Race Educ Policies | 0 | DiscriminateRaceEducPolicies |
| Discriminate Race Use Of Fclts | 0 | DiscriminateRaceUseOfFclts |
| Discriminate Race Athletic Prog | 0 | DiscriminateRaceAthleticProg |
| Discriminate Race Other Acty | 0 | DiscriminateRaceOtherActy |
| Government Financial Aid Received | 1 | GovernmentFinancialAidReceived |
| Government Financial Aid Revoked | 0 | GovernmentFinancialAidRevoked |
| Compliance With Rev Proc7550 | 1 | ComplianceWithRevProc7550 |
Form990 Schedule E Part II Form990ScheduleEPartII (2 entries)
| IdentifierIdentifier | Return ReferenceReturnReference | ExplanationExplanation |
|---|---|---|
| Explanation of Nondiscriminatory Policy Publication | Schedule E, Part I, Line 3 | It is the policy of The Rockefeller University to support equality of educational and employment opportunity. No individual shall be denied admission to the Graduate Program of the University or otherwise be discriminated against with respect to any program or in the administration of any policy of the University because of race, color, religion, sex, age, national or ethnic origin, citizenship, sexual orientation, veteran status, or disability. The Rockefeller University is committed to the maintenance of affirmative action programs that will assure the continuation of such equality of opportunity. |
| Explanation of Government Financial Assistance | Schedule E, Part I, Line 6 | The University receives financial assistance from the State of New York under the Bundy Aid Program. |
Schedule F IRS990ScheduleF
Accts Actvs Out US Table AcctsActvsOutUSTable (3 entries)
| RegionRegion | Type Of Activities ConductedTypeOfActivitiesConducted |
|---|---|
| Central America and the Caribbean | Investments |
| Europe (Including Iceland & Greenland) | Investments |
| East Asia and the Pacific | Investments |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Subtotal Number Of Employees | 0 | SubtotalNumberOfEmployees |
| Cont Number Of Employees | 0 | ContNumberOfEmployees |
| Total Number Of Employees | 0 | TotalNumberOfEmployees |
| Subtotal Amount Spent | 0 | SubtotalAmountSpent |
| Cont Amount Spent | 0 | ContAmountSpent |
| Total Amount Spent | 0 | TotalAmountSpent |
| Transfer To Foreign Corp | 1 | TransferToForeignCorp |
| Interest In Foreign Trust | 0 | InterestInForeignTrust |
| Own Foreign Corp | 0 | OwnForeignCorp |
| Passive Foreign Invest Co | 0 | PassiveForeignInvestCo |
| Foreign Partnership | 1 | ForeignPartnership |
| Boycott Countries | 0 | BoycottCountries |
Schedule G IRS990ScheduleG
Events Information EventsInformation
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Of Event1 | Women & Science Luncheon | NameOfEvent1 |
| Gross Receipts Event1 | 729442 | GrossReceiptsEvent1 |
| Charitable Contributions Event1 | 671192 | CharitableContributionsEvent1 |
| Gross Revenue Event1 | 58250 | GrossRevenueEvent1 |
| Rent Facility Costs Event1 | 36184 | RentFacilityCostsEvent1 |
| Food And Beverage Event1 | 58250 | FoodAndBeverageEvent1 |
| Other Direct Expenses Event1 | 8330 | OtherDirectExpensesEvent1 |
| Name Of Event2 | Hospital Centennial | NameOfEvent2 |
| Gross Receipts Event2 | 7370702 | GrossReceiptsEvent2 |
| Charitable Contributions Event2 | 7288202 | CharitableContributionsEvent2 |
| Gross Revenue Event2 | 82500 | GrossRevenueEvent2 |
| Rent Facility Costs Event2 | 231979 | RentFacilityCostsEvent2 |
| Food And Beverage Event2 | 98486 | FoodAndBeverageEvent2 |
| Entertainment Event2 | 12000 | EntertainmentEvent2 |
| Other Direct Expenses Event2 | 163995 | OtherDirectExpensesEvent2 |
| Gross Receipts Total | 8100144 | GrossReceiptsTotal |
| Charitable Contributions Total | 7959394 | CharitableContributionsTotal |
| Gross Revenue Total Events | 140750 | GrossRevenueTotalEvents |
| Rent Facility Costs Total Events | 268163 | RentFacilityCostsTotalEvents |
| Food And Beverage Total Events | 156736 | FoodAndBeverageTotalEvents |
| Entertainment Total Events | 12000 | EntertainmentTotalEvents |
| Other Direct Expenses Total Events | 172325 | OtherDirectExpensesTotalEvents |
| Direct Expense Summary Events | 609224 | DirectExpenseSummaryEvents |
| Net Income Summary | -468474 | NetIncomeSummary |
Schedule H IRS990ScheduleH
| Field | Value | IRS element (for citing) |
|---|---|---|
| Charity Care Policy | 0 | CharityCarePolicy |
| Annual Community Benefit Report | 0 | AnnualCommunityBenefitReport |
Research Research
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Community Benefit Expense | 16049596 | TotalCommunityBenefitExpense |
| Direct Offsetting Revenue | 7836974 | DirectOffsettingRevenue |
| Net Community Benefit Expense | 8212622 | NetCommunityBenefitExpense |
| Percent Of Total Expense | 0.02590 | PercentOfTotalExpense |
Total Other Benefits TotalOtherBenefits
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Community Benefit Expense | 16049596 | TotalCommunityBenefitExpense |
| Direct Offsetting Revenue | 7836974 | DirectOffsettingRevenue |
| Net Community Benefit Expense | 8212622 | NetCommunityBenefitExpense |
| Percent Of Total Expense | 0.02590 | PercentOfTotalExpense |
Total Community Benefits TotalCommunityBenefits
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Community Benefit Expense | 16049596 | TotalCommunityBenefitExpense |
| Direct Offsetting Revenue | 7836974 | DirectOffsettingRevenue |
| Net Community Benefit Expense | 8212622 | NetCommunityBenefitExpense |
| Percent Of Total Expense | 0.02590 | PercentOfTotalExpense |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bad Debt Expense Reported | 0 | BadDebtExpenseReported |
| Amount Reimbursed By Medicare | 0 | AmountReimbursedByMedicare |
| Written Debt Collection Policy | 0 | WrittenDebtCollectionPolicy |
| Number Of Hospital Facilities | 1 | NumberOfHospitalFacilities |
Form990 Schedule H Part V Section A Form990ScheduleHPartVSectionA
| Field | Value | IRS element (for citing) |
|---|---|---|
| Facility Number | 1 | FacilityNumber |
Name Name
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | The Rockefeller University Hospital | BusinessNameLine1 |
Address Address
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 York Avenue | AddressLine1 |
| City | New York | City |
| State | NY | State |
| ZIP Code | 10065 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Licensed Hospital | X | LicensedHospital |
| Research Facility | X | ResearchFacility |
Form990 Schedule H Part V Section B Form990ScheduleHPartVSectionB
Hospital Facility Name HospitalFacilityName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | The Rockefeller University Hospital | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Hospital Facility Number | 1 | HospitalFacilityNumber |
| Eligibility Criteria Explained | 0 | EligibilityCriteriaExplained |
| Uses FPG Free | 0 | UsesFPGFree |
| Uses FPG Discounted | 0 | UsesFPGDiscounted |
| Explains Basis | 0 | ExplainsBasis |
| Explains Application Method | 0 | ExplainsApplicationMethod |
| Includes Publicity Measures | 0 | IncludesPublicityMeasures |
| Actions On Nonpayment | 0 | ActionsOnNonpayment |
| Collection Activities | 0 | CollectionActivities |
| Nondiscrim Emergency Care Policy | 0 | NondiscrimEmergencyCarePolicy |
| Amounts Generally Billed | 0 | AmountsGenerallyBilled |
| Gross Charges | 0 | GrossCharges |
Form990 Schedule H Part VI Form990ScheduleHPartVI (4 entries)
| ExplanationExplanation |
|---|
| Part III, Line 9b: THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT HAVE ANY NET PATIENT SERVICE REVENUE AS IT DOES NOT CHARGE ITS PATIENTS. THE PATIENTS ARE SUBJECT VOLUNTEERS WHO GET PAID A STIPEND FOR CERTAIN CLINICAL TRIALS THAT ARE PERFORMED ON A ROUTINE BASIS. |
| Part V, Section A: The Rockefeller University Hospital exists solely to conduct clinical research. The specialized personnel and other resources available at the Hospital facilitate clinical research for both the investigator and the research participant.The Hospital's facilities include a 20 bed inpatient unit which operates 24 hours a day, 365 days a year. All patient rooms are single-occupancy, private accommodations. Specialized facilities include a four-room procedure suite, suitable for endoscopy and biopsy procedures; 2 hardwired cardiac monitored beds and 2 telemetry cardiac monitoring units; and a broad-band/narrow-band ultraviolet light box for psoriasis treatment. The Robert & Harriet Heilbrunn Outpatient Research Center opened in January 2003 and includes 9 exam rooms, 2 consultation rooms, and 2 phlebotomy rooms, as well as other patient and staff facilities. The Outpatient Research Center is open weekdays from 7AM to 5PM. A new, state-of-the-art digital radiology suite opened in Spring 2003. The Rockefeller University Hospital and Center for Clinical and Translational Science is particularly suitable to conducting studies involving moderate and low acuity patients, as well as high-intensity, high-complexity protocols such as pharmacokinetics and metabolic studies. The Hospital's strengths include a specialized Research Bionutrition Department, an on-site Research Pharmacy, and facilities to support long-stay inpatient studies, including an Art & Recreation Department, which offers participants pleasant and rewarding craft, video and computer activities in a safe and comfortable environment. Full clinical laboratory services are provided via contract with Memorial-Sloan Kettering Cancer Center; Radiology and EKG interpretations are provided by arrangement with New York-Presbyterian Hospital; on-site apheresis services are provided by contract. The Hospital is accredited by the Joint Commission on Accreditation of Healthcare Organizations (JCAHO) and licensed by the State of New York. |
| Part VI, Line 2: Patients and volunteers who consent to participate in research studies (protocols) are treated without charge. Unlike most hospitals, the Rockefeller University Hospital does not routinely provide standard diagnostic and treatment services. Admission is selective: patients are chosen by Hospital physicians solely because they have an illness or condition being studied, or because they are healthy volunteers and are also needed for study. Thus, all research participants are volunteers, and as such are important partners in the research process. Without volunteers and patients, significant advances in biomedical knowledge could not otherwise be achieved. |
| Part VI, Line 6: The Rockefeller University Hospital exists solely to conduct clinical research, at no charge to the research participants. |
Schedule I IRS990ScheduleI
| Field | Value | IRS element (for citing) |
|---|---|---|
| Records Maintained | 1 | RecordsMaintained |
Form990 Schedule I Part III Form990ScheduleIPartIII (2 entries)
| Type Of GrantTypeOfGrant | Number Of RecipientsNumberOfRecipients | Amount Of Cash GrantAmountOfCashGrant |
|---|---|---|
| FELLOWSHIPS | 136 | 3731152 |
| RESEARCH STIPENDS | 156 | 4283831 |
Form990 Schedule I Part IV Form990ScheduleIPartIV
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | Procedure for Monitoring Grants in the U.S.: | Identifier |
| Return Reference | Part I, Line 2: | ReturnReference |
| Explanation | Schedule I, Part I, Line 2: Stipends and research fellowships are funds paid to offset living expenses for trainees while they further their education at Rockefeller. These amounts are not considered salary or wages given in consideration for specific job duties nor are they grants given in anticipation of specific scientific achievements on the individuals parts. There is no restriction on the use of the funds once they are received by the trainees. | Explanation |
Schedule J IRS990ScheduleJ
| Field | Value | IRS element (for citing) |
|---|---|---|
| Housing Allowance Or Residence | X | HousingAllowanceOrResidence |
| Written Policy Re T And E Expenses | 1 | WrittenPolicyReTAndEExpenses |
| Substantiation Required | 1 | SubstantiationRequired |
| Compensation Committee | X | CompensationCommittee |
| Independent Consultant | X | IndependentConsultant |
| Form990 Of Other Organizations | X | Form990OfOtherOrganizations |
| Compensation Survey | X | CompensationSurvey |
| Board Or Committee Approval | X | BoardOrCommitteeApproval |
| Severance Payment | 0 | SeverancePayment |
| Supplemental Nonqual Retire Plan | 1 | SupplementalNonqualRetirePlan |
| Equity Based Comp Arrangement | 0 | EquityBasedCompArrangement |
| Comp Based On Revenue Of Filing Org | 1 | CompBasedOnRevenueOfFilingOrg |
| Comp Based On Revenue Related Orgs | 0 | CompBasedOnRevenueRelatedOrgs |
| Comp Based Net Earnings Filing Org | 0 | CompBasedNetEarningsFilingOrg |
| Comp Based Net Earnings Relate Orgs | 0 | CompBasedNetEarningsRelateOrgs |
| Any Non Fixed Payments | 1 | AnyNonFixedPayments |
| Initial Contract Exception | 0 | InitialContractException |
Form990 Schedule J Part II Form990ScheduleJPartII (18 entries)
| Base Compensation Filing OrgBaseCompensationFilingOrg | Comp Based On Related OrgsCompBasedOnRelatedOrgs | Bonus Filing OrgBonusFilingOrg | Bonus Related OrgsBonusRelatedOrgs | Other Compensation Filing OrgOtherCompensationFilingOrg | Other Compensation Related OrgsOtherCompensationRelatedOrgs | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Paul Nurse | |||||||||||||
| 765000 | 0 | 0 | 0 | 175063 | 0 | 42876 | 0 | 128512 | 0 | 1111451 | 0 | 0 | 0 |
| Lisa Danzig | |||||||||||||
| 347000 | 0 | 85071 | 0 | 92667 | 0 | 22417 | 0 | 36793 | 0 | 583948 | 0 | 85071 | 0 |
| Barry Coller | |||||||||||||
| 463000 | 0 | 0 | 0 | 41621 | 0 | 42828 | 0 | 30765 | 0 | 578214 | 0 | 0 | 0 |
| Harriet Rabb | |||||||||||||
| 391000 | 0 | 0 | 0 | 27432 | 0 | 42788 | 0 | 30086 | 0 | 491306 | 0 | 0 | 0 |
| Maren Imhoff | |||||||||||||
| 372000 | 0 | 0 | 0 | 36084 | 0 | 42844 | 0 | 25857 | 0 | 476785 | 0 | 0 | 0 |
| John Tooze | |||||||||||||
| 382000 | 0 | 0 | 0 | 63227 | 0 | 42797 | 0 | 37123 | 0 | 525147 | 0 | 0 | 0 |
| Michael Young | |||||||||||||
| 366000 | 0 | 0 | 0 | 67555 | 0 | 42745 | 0 | 36972 | 0 | 513272 | 0 | 0 | 0 |
| James Lapple | |||||||||||||
| 346000 | 0 | 0 | 0 | 38220 | 0 | 42897 | 0 | 11060 | 0 | 438177 | 0 | 0 | 0 |
| Sidney Strickland | |||||||||||||
| 311000 | 0 | 0 | 0 | 14713 | 0 | 42843 | 0 | 29331 | 0 | 397887 | 0 | 0 | 0 |
| Virginia Huffman | |||||||||||||
| 292008 | 0 | 0 | 0 | 28824 | 0 | 42694 | 0 | 35446 | 0 | 398972 | 0 | 0 | 0 |
| Jane Rendall | |||||||||||||
| 235000 | 0 | 0 | 0 | 30228 | 0 | 40695 | 0 | 28310 | 0 | 334233 | 0 | 0 | 0 |
| Roberta Maloney | |||||||||||||
| 209100 | 0 | 0 | 0 | 9212 | 0 | 35416 | 0 | 35220 | 0 | 288948 | 0 | 0 | 0 |
| Jean-Laurent Casanova | |||||||||||||
| 306000 | 0 | 406175 | 0 | 84448 | 0 | 43094 | 0 | 35692 | 0 | 875409 | 0 | 0 | 0 |
| Jeffery Ravetch | |||||||||||||
| 283600 | 0 | 0 | 0 | 85789 | 0 | 27381 | 0 | 36194 | 0 | 432964 | 0 | 0 | 0 |
| Robert Roeder | |||||||||||||
| 380600 | 0 | 0 | 0 | 49552 | 0 | 42726 | 0 | 37110 | 0 | 509988 | 0 | 0 | 0 |
| Stanislas Leibler | |||||||||||||
| 314100 | 0 | 0 | 0 | 45157 | 0 | 27568 | 0 | 35654 | 0 | 422479 | 0 | 0 | 0 |
| Ralph Steinman | |||||||||||||
| 316000 | 0 | 0 | 0 | 44450 | 0 | 43145 | 0 | 29379 | 0 | 432974 | 0 | 0 | 0 |
| Thomas Sakmar | |||||||||||||
| 295300 | 0 | 0 | 0 | 75452 | 0 | 31820 | 0 | 35478 | 0 | 438050 | 0 | 0 | 0 |
Form990 Schedule J Part III Form990ScheduleJPartIII (4 entries)
| Return ReferenceReturnReference | ExplanationExplanation |
|---|---|
| Part I, Line 1a | The University provides a residence for the President on campus. The residence is a condition of employment as stated in the President's appointment letter. The house is provided to enable the President to be on campus 24/7 in order to respond to emergent situations that may arise and for other business purposes. |
| Part I, Line 4b | The University maintains a 457(b) deferred compensation plan for executive level employees. This plan was developed consistent with the 2001 Economic Growth and Tax Relief Reconciliation Act (EGTRRA). The University does not contribute to the plan (employee contributions only). 2010 employee contributions (included in column B): Paul Nurse $16,500 Lisa Danzig $16,500 Harriet Rabb $16,500 James Lapple $12,000 Sidney Strickland $16,500 Maren Imhoff $16,500 Robert Roeder $16,500 Stanislas Leibler $16,500 Ralph Steinman $16,500 |
| Part I, Line 5 | The University maintains a bonus plan for the Chief Investment Officer which is based upon the fiscal year return of the University's endowment. The plan was approved by the University's Compensation Committee of the Board of Trustees. The plan was developed using comparative data from similar institutions. |
| Part I, Line 7 | The University maintains a policy to provide recruitment and retention supplements to faculty as necessary. The purpose of this supplement is to provide an incentive for a candidate to join the University and for incumbent faculty to make Rockefeller their professional home, recognizing the high cost of living in the New York metropolitan area over the course of a whole career. The decision whether to grant a supplement and its size will turn on the exceptional quality of the faculty member's research and the strategic needs of the University, and will be made by the President in the exercise of his discretion. |
Schedule K IRS990ScheduleK
Form990 Schedule K Part I Form990ScheduleKPartI (4 entries)
| Issuer EINIssuerEIN | CUSIP NumberCUSIPNumber | Date IssuedDateIssued | Issue PriceIssuePrice | Description Of PurposeDescriptionOfPurpose | DefeasedDefeased | On Behalf Of IssuerOnBehalfOfIssuer | Pool FinancingPoolFinancing |
|---|---|---|---|---|---|---|---|
| Dormitory Authority of the State of New York | |||||||
| 146000293 | 64983QEPO | 2005-06-02 | 65000000 | Const. & renov. of campus | 0 | 0 | 0 |
| Dormitory Authority of the State of New York | |||||||
| 146000293 | 649903YA3 | 2008-01-31 | 103215000 | Const. & renov. of campus | 0 | 0 | 0 |
| Dormitory Authority of the State of New York | |||||||
| 146000293 | 649905BE5 | 2009-04-08 | 62119152 | Current Refunding | 0 | 0 | 0 |
| Dormitory Authority of the State of New York | |||||||
| 146000293 | 649905BF2 | 2009-04-08 | 100000000 | Const. & renov. of campus | 0 | 0 | 0 |
Form990 Schedule K Part II Form990ScheduleKPartII (4 entries)
| Total ProceedsTotalProceeds | Issuance Costs From ProceedsIssuanceCostsFromProceeds | Capital ExpendituresCapitalExpenditures | Year Of Subst CompletionYearOfSubstCompletion | Current RefundingCurrentRefunding | Advance RefundingAdvanceRefunding | Final Allocation MadeFinalAllocationMade | Adequate Books And Recds MaintaindAdequateBooksAndRecdsMaintaind | Credit EnhancementCreditEnhancement |
|---|---|---|---|---|---|---|---|---|
| 68164712 | 494117 | 67897288 | 2008 | 0 | 0 | 1 | 1 | |
| 104734474 | 641319 | 104093155 | 2012 | 0 | 0 | 0 | 1 | |
| 62119152 | 528854 | 440097 | 2009 | 1 | 0 | 1 | 1 | |
| 100578341 | 527175 | 100016166 | 2012 | 0 | 0 | 0 | 1 | 35000 |
Form990 Schedule K Part III Form990ScheduleKPartIII (4 entries)
| Owning Bond Financed PropertyOwningBondFinancedProperty | Any Lease ArrangementsAnyLeaseArrangements | Mngment Cntrct Bond Financd PrprtyMngmentCntrctBondFinancdPrprty | Any Research AgreementsAnyResearchAgreements | Bond Counsel Routinely EngagedBondCounselRoutinelyEngaged | Prcntge Prvt Business Use By OthersPrcntgePrvtBusinessUseByOthers | Percentage Of Prvt Business Re UBIPercentageOfPrvtBusinessReUBI | Total Private Business UseTotalPrivateBusinessUse | Post Issuance Compliance ProcdrsPostIssuanceComplianceProcdrs |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 1 | 1 | 1 | 0.00000 | 0.00000 | 0.00000 | 1 |
| 0 | 0 | 0 | 0 | 1 | 0.00000 | 0.00000 | 0.00000 | 1 |
| 0 | 0 | 1 | 1 | 1 | 0.00000 | 0.00000 | 0.00000 | 1 |
| 0 | 0 | 0 | 0 | 1 | 0.00000 | 0.00000 | 0.00000 | 1 |
Form990 Schedule K Part IV Form990ScheduleKPartIV (4 entries)
| Form8038 T FiledForm8038TFiled | Variable Rate IssueVariableRateIssue | Hedge Identified In Books And RecdsHedgeIdentifiedInBooksAndRecds | Gross Proceeds Invested In GICGrossProceedsInvestedInGIC | Gross Proceeds InvestedGrossProceedsInvested | Exception To RebateExceptionToRebate |
|---|---|---|---|---|---|
| 1 | 1 | 0 | 0 | 1 | 0 |
| 0 | 1 | 0 | 0 | 0 | 1 |
| 0 | 0 | 0 | 0 | 0 | 1 |
| 0 | 1 | 0 | 0 | 0 | 1 |
Form990 Schedule K Part V Form990ScheduleKPartV (5 entries)
| IdentifierIdentifier | Return ReferenceReturnReference | ExplanationExplanation |
|---|---|---|
| Part II - line 3 - Total Proceeds | Date issued 6/2/05 | Total Proceeds include issue price ($65,000,000) + investment income ($3,391,405)- Rebate ($226,692.21). Part I, lineA. Pursuant to Treaury Reg. sections 1.145-2(a) and 1.141-12(e)(2), the bonds originally issued on 6/2/05 are treated as reissued under certain sections of the Internal Revenue Code, but not as a reissuance under other sections of the Code, in the amount of $13,743,577. Such amount, together with other amounts treated as disposition proceeds in the aggregate amount of $24,000,000, plus investment earnings thereon, will be applied to pay the cost of certain construction and renovation projects in accordance with Tres. Reg. section 1.141-12(e)(1). |
| Part II - line 3 - Total Proceeds | Date issued 1/31/08 | Total Proceeds includes issue price ($103,215,000) + investment income ($1,519,474) |
| Part II - line 3 - Total Proceeds | Date issued 4/8/09 | Total proceeds include issue price ($100,000,000) + investment income ($578,341). |
| Part II - line 3 - Total Proceeds | Date issued 8/12/09 | Total proceeds include issue price ($101,554,000)+ investment income ($473,221) |
| Part II - line 3 - Total Proceeds | Date issued 9/1/10 | Total proceeds consists of issue proced ($53,818,500) + investment income ($73,087). |
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 |
|---|---|---|---|---|---|---|---|
| Dormitory Authority of the State of New York | |||||||
| 146000293 | 649905PN0 | 2009-08-12 | 101554000 | Const. & renov. of campus | 0 | 0 | 0 |
| Dormitory Authority of the State of New York | |||||||
| 146000293 | 6499053H7 | 2010-09-01 | 53818500 | Const. & renov. of campus | 0 | 0 | 0 |
Form990 Schedule K Part II Form990ScheduleKPartII (2 entries)
| Total ProceedsTotalProceeds | Issuance Costs From ProceedsIssuanceCostsFromProceeds | Capital ExpendituresCapitalExpenditures | Amount UnspentAmountUnspent | Year Of Subst CompletionYearOfSubstCompletion | Current RefundingCurrentRefunding | Advance RefundingAdvanceRefunding | Final Allocation MadeFinalAllocationMade | Adequate Books And Recds MaintaindAdequateBooksAndRecdsMaintaind |
|---|---|---|---|---|---|---|---|---|
| 102027221 | 836150 | 74212161 | 26978910 | 2012 | 0 | 0 | 0 | 1 |
| 53891587 | 553621 | 491501 | 52846464 | 2012 | 0 | 0 | 0 | 1 |
Form990 Schedule K Part III Form990ScheduleKPartIII (2 entries)
| Owning Bond Financed PropertyOwningBondFinancedProperty | Any Lease ArrangementsAnyLeaseArrangements | Mngment Cntrct Bond Financd PrprtyMngmentCntrctBondFinancdPrprty | Any Research AgreementsAnyResearchAgreements | Bond Counsel Routinely EngagedBondCounselRoutinelyEngaged | Prcntge Prvt Business Use By OthersPrcntgePrvtBusinessUseByOthers | Percentage Of Prvt Business Re UBIPercentageOfPrvtBusinessReUBI | Total Private Business UseTotalPrivateBusinessUse | Post Issuance Compliance ProcdrsPostIssuanceComplianceProcdrs |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0 | 1 | 0.00000 | 0.00000 | 0.00000 | 1 |
| 0 | 0 | 0 | 0 | 1 | 0.00000 | 0.00000 | 0.00000 | 1 |
Form990 Schedule K Part IV Form990ScheduleKPartIV (2 entries)
| Form8038 T FiledForm8038TFiled | Variable Rate IssueVariableRateIssue | Hedge Identified In Books And RecdsHedgeIdentifiedInBooksAndRecds | Gross Proceeds Invested In GICGrossProceedsInvestedInGIC | Exception To RebateExceptionToRebate |
|---|---|---|---|---|
| 0 | 0 | 0 | 0 | 0 |
| 0 | 0 | 0 | 0 | 1 |
Schedule L IRS990ScheduleL
Loan Table LoanTable (14 entries)
| Purpose Of LoanPurposeOfLoan | Loan From OrganizationLoanFromOrganization | Original PrincipalOriginalPrincipalAmount | Balance DueBalanceDue | DefaultDefault | Approved By BoardApprovedByBoard | Written AgreementWrittenAgreement |
|---|---|---|---|---|---|---|
| Frederick Bohen | ||||||
| Mortgage Loan | X | $325,000 | 208937 | 0 | 1 | 1 |
| Emil Gotschlich | ||||||
| Mortgage Loan | X | $322,245 | 113380 | 0 | 1 | 1 |
| Virginia Huffman | ||||||
| Mortgage Loan | X | $150,000 | 133984 | 0 | 1 | 1 |
| Maren I Imhoff | ||||||
| Mortgage Loan | X | $150,000 | 79093 | 0 | 1 | 1 |
| Alice Lustig | ||||||
| Mortgage Loan | X | $630,000 | 0 | 0 | 1 | 1 |
| James Lapple | ||||||
| Mortgage Loan | X | $1,579,378 | 1526181 | 0 | 1 | 1 |
| Roberta Maloney | ||||||
| Mortgage Loan | X | $502,932 | 386567 | 0 | 1 | 1 |
| Harriet Rabb | ||||||
| Mortgage Loan | X | $300,000 | 223985 | 0 | 1 | 1 |
| Jane Rendall | ||||||
| Mortgage Loan | X | $1,353,315 | 1295350 | 0 | 1 | 1 |
| Thomas Sakmar | ||||||
| Mortgage Loan | X | $599,000 | 568500 | 0 | 1 | 1 |
| Sidney Strickland | ||||||
| Mortgage Loan | X | $197,528 | 178183 | 0 | 1 | 1 |
| John Tooze | ||||||
| Mortgage Loan | X | $787,500 | 177204 | 0 | 1 | 1 |
| Michael Young | ||||||
| Mortgage Loan | X | $1,238,068 | 1187764 | 0 | 1 | 1 |
| Ralph Steinman | ||||||
| Mortgage Loan | X | $996,880 | 801067 | 0 | 1 | 1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Balance Due | 6880195 | TotalBalanceDue |
Form990 Schedule L Part IV Form990ScheduleLPartIV (2 entries)
| RelationshipRelationship | Amount Of TransactionAmountOfTransaction | Description Of TransactionDescriptionOfTransaction | Sharing Of RevenuesSharingOfRevenues |
|---|---|---|---|
| Anthony Evnin | |||
| RU Trustee | 569000 | The Rockefeller University endowment is an investor in several partnerships where Anthony Evnin (RU Trustee) is General Partner or Member of the General Partner. Anthony Evnin is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. | 0 |
| Howard Berkowitz | |||
| Spouse of Judith Berkowitz (RU Trsteee) | 615000 | The Rockefeller University's endowment is an investor in a partnership where the general partner is Howard Berkowitz (spouse of Judith Berkowitz, an RU Trustee). Judith Berkowitz is not and has never been a member of the Rockefeller University Investment Committee, which means that she does not participate in the University's investment decisions. | 0 |
Schedule M IRS990ScheduleM
Books And Publications BooksAndPublications
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | X | NonCashCheckbox |
| Noncash Contribs Rptd F990 | 4125 | NoncashContribsRptdF990 |
| Method Of Determining Revenues | Appraisal | MethodOfDeterminingRevenues |
Collectibles Collectibles
| Field | Value | IRS element (for citing) |
|---|---|---|
| Non Cash Checkbox | X | NonCashCheckbox |
| Number Of Contributions | 1 | NumberOfContributions |
| Noncash Contribs Rptd F990 | 1136735 | NoncashContribsRptdF990 |
| Method Of Determining Revenues | Appraisal | MethodOfDeterminingRevenues |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Any Property That Must Be Held | 0 | AnyPropertyThatMustBeHeld |
| Review Process Unusual NC Gifts | 1 | ReviewProcessUnusualNCGifts |
| Third Parties Used | 0 | ThirdPartiesUsed |
Form990 Schedule M Part II Form990ScheduleMPartII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Identifier | Method for Determining Number of Contributors: | Identifier |
| Return Reference | Part I, Column (b): | ReturnReference |
| Explanation | Collectibles - One donor contributed a coin collection to the University. | Explanation |
Schedule O IRS990ScheduleO
General Explanation GeneralExplanation (9 entries)
| IdentifierIdentifier | ExplanationExplanation | Return ReferenceReturnReference |
|---|---|---|
| Form 990, Part VI, Section A, line 2 | Russell Carson (RU Trustee - Chairman) has a business relationship with Henry Kravis (RU Trustee, Vice Chair) -- serve on another board together. | |
| Form 990, Part VI, Section B, line 11 | The Organization made available to the governing Board of Trustees the completed form 990 on a restricted website prior to submission. Any comments or questions pertaining to the form 990 were sent to the Vice President, Finance or a member of the Audit Committee of the Board of Trustees. The Audit Committee of the Board of Trustee reviewed and approved the form 990 prior to its submission. | |
| All members of the University community are covered by the applicable University conflict of interest policies. Trustees, Officers, and Key Employees are covered by the Policy on Business Conflict of Interest and Family/Business Relationships. All other members of the University community are covered by the Conflict of Interest Policy Governing Business Practices. (a) For trustees (including the President), the conflict of interest disclosure form is submitted to the Executive Committee of the Board of Trustees. The Executive Committee, with help from others it may designate, investigates any conflicts or potential conflicts of interest and implements management plans where conflicts or potential conflicts are found to exist. Trustees having made disclosures of current or potential conflict of interest situations may participate in the information-gathering stage of the Executive Committee's review of the disclosures, but will be asked to excuse themselves during the Executive Committee discussion, consideration and vote on the matters in question. (b) For officers and key employees, the conflict of interest disclosure form is submitted to the President. The President, with the help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (c) For heads of laboratory, the conflict of interest disclosure form is submitted to the Vice President for Academic Affairs. The Vice President for Academic Affairs, with help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (d) For all other members of the University community, the conflict of interest disclosure form is submitted to the Vice President for Human Resources. The Vice President for Human Resources, with help from others she may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. | Form 990, Part VI, Section B, line 12c | |
| Compensation for the President and Officers is established and approved by the Compensation Committee of the Board of Trustees. Such compensation is established through review of comparability data and contemporaneous subtstantiation of the deliberation and decision. Specific reviews occur on an annual basis. | Form 990, Part VI, Section B, line 15 | |
| Conflict of interest policy and financial statements are available to the public through the University's website. | Form 990, Part VI, Section C, line 19 | |
| The Rockefeller University Faculty and Students Club, Inc. | The Rockefeller University Faculty and Students Club, Inc. (the Club) is a 501(c)(7) organization that operates a social Club on the campus of The Rockefeller University. The purpose of the Club is to encourage the friendly association of its members and their guests for scientific and other intellectual discourse, and/or pleasure and recreation. The books and records of the Club are maintained by the University. The University collects annual Club dues on behalf of the Club. The Club also relies on certain University systems in order to operate. The Club has a liability to the University which represents the University's subsidized portion of the Club's operations in the amount of $1,599,341 as of June 30, 2011. | Form 990, Schedule R, Part V, #2 |
| Women & Science Luncheon | The Women & Science program in an important outreach and fundraising initiative of The Rockefeller University. Comprised of a wide circle of friends and benefactors, Women & Science provides support for education and career advancement of scientists in biomedical research and related fields. One component of this initiative is the annual Women & Science Lecture and Luncheon. | Form 990, Schedule G, Part II, Fundraising Events |
| Hospital Centennial | The Rockefeller University celebrated the centennial anniversary of its research hospital in 2010. The Rockefeller Hospital was the countrys first clinical research facility, as well as the birthplace of clinical research in the United States. A fund-raising campaign for the Hospitals second century was launched in 2009. The centennial was celebrated with events throughout 2010, including a dinner on October 7, 2010 to which all major donors to the Hospital were invited, based on their lifetime support and their gifts to the Hospital Campaign. Physician-scientists and staff of the Hospital, and the Universitys top administrators, were also included in the dinner. A modest number of tickets to the dinner were sold. | Form 990, Schedule G, Part II, Fundraising Events |
| Net Unrealized gains on investments - 59,208,305 Unrealized Gains on Derivatives - 24,377,980 Postretirement related changes - 8,731,000 Write-off of fixed assets - (13,050,083) Write-off of uncollectable pledges receivable - (2,922,063) Total to Form 990, Part XI, Line 5 76,345,139 | Form 990, Part XI, line 5, Changes in Net Assets |
Schedule R IRS990ScheduleR
Form990 Schedule R Part II Form990ScheduleRPartII
Name Of Disregarded Entity NameOfDisregardedEntity
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | The Rockefeller University Faculty & Students Club Inc | BusinessNameLine1 |
Address US AddressUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1230 York Avenue | AddressLine1 |
| City | New York | City |
| State | NY | State |
| ZIP Code | 10065 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Primary Activities | Social Club | PrimaryActivities |
| Legal Domicile State | NY | LegalDomicileState |
| Exempt Code Section | 501(c)(7) | ExemptCodeSection |
Direct Controlling Entity Name DirectControllingEntityName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | The Rockefeller University | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Controlled Org | 0 | ControlledOrg |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Receipt Of Int Ann Rents Royalties | 0 | ReceiptOfIntAnnRentsRoyalties |
| Gift Grant Or Cap Contr To Other Org | 0 | GiftGrantOrCapContrToOtherOrg |
| Gift Grant Or Cap Contr Fr Other Org | 0 | GiftGrantOrCapContrFrOtherOrg |
| Loans Or Guarantees To Other Org | 0 | LoansOrGuaranteesToOtherOrg |
| Loans Or Guarantees From Other Org | 0 | LoansOrGuaranteesFromOtherOrg |
| Sale Of Assets To Other Org | 0 | SaleOfAssetsToOtherOrg |
| Purchase Of Assets From Other Org | 0 | PurchaseOfAssetsFromOtherOrg |
| Exchange Of Assets | 0 | ExchangeOfAssets |
| Rental Of Facilities To Other Orgs | 0 | RentalOfFacilitiesToOtherOrgs |
| Rental Of Facilities Fr Other Orgs | 0 | RentalOfFacilitiesFrOtherOrgs |
| Perform Of Services For Other Orgs | 0 | PerformOfServicesForOtherOrgs |
| Perform Of Services By Other Orgs | 0 | PerformOfServicesByOtherOrgs |
| Sharing Of Facilities | 1 | SharingOfFacilities |
| Sharing Of Paid Employees | 1 | SharingOfPaidEmployees |
| Reimbursement Paid To Other Org | 0 | ReimbursementPaidToOtherOrg |
| Reimbursement Paid By Other Org | 0 | ReimbursementPaidByOtherOrg |
| Other Transfer To Other Org | 0 | OtherTransferToOtherOrg |
| Other Transfer From Other Org | 0 | OtherTransferFromOtherOrg |
Transactions Related Orgs Table TransactionsRelatedOrgsTable (3 entries)
| Transaction TypeTransactionType | Amount InvolvedAmountInvolved | Method Of Amt DeterminationMethodOfAmtDetermination |
|---|---|---|
| THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC | ||
| M | 156439 | Actual |
| THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC | ||
| N | 88348 | Actual |
| tHE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC | ||
| P | -162743 | Actual |