2012-03-05T15:21:32-06:00 2011-06-30 990 2010-07-01 131624158 THE ROCKEFELLER UNIVERSITY ROCK 2123278000 1230 YORK AVENUE NEW YORK NY 100656307 JAMES H LAPPLE 2123278371 2012-03-05 1 2123278704 2010 2016-02-24 21:20:13Z James H Lapple 1230 York Avenue New York NY 10065 653540070 0 X www.rockefeller.edu X 1901 NY 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. 41 38 1767 40 -1229824 -2958453 150559671 154402640 30526570 30476605 74930036 222023683 25598097 17892710 281614374 424795638 8774851 8014983 0 0 147274934 148691486 0 0 6727799 155704472 160237534 311754257 316944003 -30139883 107851635 2791046695 2980030530 910765749 915552810 1880280946 2064477720 X 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. 0 0 225678011 8014983 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. 16049596 HOSPITAL-CONSISTS OF 40 BEDS AND SERVES AS A CLINICAL RESEARCH CENTER FOR OUTPATIENTS AND FOR INPATIENTS. 2741059 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. 31230143 10035937 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. 31230143 10035937 275698809 1 1 0 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 0 1 0 0 0 1 0 1 1 0 1 1 1 0 0 0 0 0 1 0 1 1 1 1 1 0 0 0 1 0 0 0 0 1 X 758 0 1 1767 1 1 1 1 UK CA GM HK JA TU SW SN 0 0 0 1 1 0 0 0 0 X 41 38 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MICHAEL P VITALE 2123278704 1230 YORK AVENUE NEW YORK NY 100656307 Allen R Adler 0.00 X 0 0 0 Holly Andersen 0.00 X 0 0 0 Robert M Bass 0.00 X 0 0 0 Edward J Benz Jr MD 0.00 X 0 0 0 Judith Roth Berkowitz 0.00 X 0 0 0 Debra Black 0.00 X 0 0 0 David Botstein PhD 0.00 X 0 0 0 Russell L Carson 0.00 X 0 0 0 H Rodgin Cohen 0.00 X 0 0 0 Andreas Dracopoulos 0.00 X 0 0 0 Anthony B Evnin PhD 0.00 X 0 0 0 Michael D Fascitelli 0.00 X 0 0 0 Peter A Flaherty 0.00 X 0 0 0 William E Ford 0.00 X 0 0 0 Joseph L Goldstein 0.00 X 0 0 0 Neva R Goodwin 0.00 X 0 0 0 Peter T Grauer 0.00 X 0 0 0 Paul B Guenther 0.00 X 0 0 0 Marlene Hess 0.00 X 0 0 0 David I Hirsch PhD 0.00 X 0 0 0 Sandra J Horbach 0.00 X 0 0 0 William J Huyett Jr 0.00 X 0 0 0 Ajit Jain 0.00 X 0 0 0 David H Koch 0.00 X 0 0 0 Henry R Kravis 0.00 X 0 0 0 Karen M Levy 0.00 X 0 0 0 Evelyn G Lipper MD 0.00 X 0 0 0 Susan Lyne 0.00 X 0 0 0 Surya Mohapatra 0.00 X 0 0 0 Robin Chemers Neustein 0.00 X 0 0 0 Willard J Overlock Jr 0.00 X 0 0 0 Marnie S Pillsbury 0.00 X 0 0 0 Don Michael Randel PhD 0.00 X 0 0 0 Patricia Rosenwald 0.00 X 0 0 0 Richard E Salomon 0.00 X 0 0 0 Lewis A Sanders 0.00 X 0 0 0 John M Shapiro 0.00 X 0 0 0 Sydney R Shuman 0.00 X 0 0 0 James H Simons PhD 0.00 X 0 0 0 Dinakar Singh 0.00 X 0 0 0 Lulu C Wang 0.00 X 0 0 0 Marc Tessier-Lavigne PhD 35.00 X X 0 0 0 Paul Nurse 35.00 X X 940063 0 171388 Lisa Danzig 35.00 X 524738 0 59210 Amy Falls 35.00 X 0 0 0 Barry Coller 35.00 X 504621 0 73593 Harriet Rabb 35.00 X 418432 0 72874 Maren Imhoff 35.00 X 408084 0 68701 John Tooze 35.00 X 445227 0 79920 Michael Young 35.00 X 433555 0 79717 James Lapple 35.00 X 384220 0 53957 Sidney Strickland 35.00 X 325713 0 72174 Virginia Huffman 35.00 X 320832 0 78140 Jane Rendall 35.00 X 265228 0 69005 Roberta Maloney 35.00 X 218312 0 70636 Jean-Laurent Casanova 35.00 X 796623 0 78786 Jeffery Ravetch 35.00 X 369389 0 63575 Robert Roeder 35.00 X 430152 0 79836 Stanislas Leibler 35.00 X 359257 0 63222 Ralph Steinman 35.00 X 360450 0 72524 Thomas Sakmar 35.00 X 370752 0 67298 David Rockefeller 0.00 X 0 0 0 7875648 0 1374556 170 1 1 0 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 48 7959394 99385778 47057468 16664375 154402640 Housing 532000 17877024 17877024 Press operations 511120 10035937 10035937 Food Service 722210 2563644 2563644 30476605 4005503 4005503 1068181 1068181 10186902 10186902 6488520 6488520 6488520 6488520 421085207 24000000 213181326 14953882 207903881 9046118 216949999 -1229824 218179823 140750 7959394 609224 -468474 -468474 Mortgage Interest 900099 715950 715950 Reimbursement of Costs 900099 255108 255108 714704 714704 1685762 424795638 10035937 -1229824 261586885 8014983 8014983 5048079 529840 4146239 372000 97106492 86532041 8263419 2311032 7963583 6669160 1023181 271242 32042239 26791331 4374197 876711 6531093 5674717 689306 167070 395879 395879 434955 56525 378430 1407980 1407980 12324019 11607587 616299 100133 1701526 1418508 131817 151201 45817107 42663183 2961031 192893 2649521 1058133 1396644 194744 3465896 3465896 16035456 13484317 1427156 1123983 900619 838495 47995 14129 1292679 1020054 71992 200633 29147548 25833186 3314362 35452414 32814725 1885661 752028 2701241 715434 1985807 Subcontracts 6510694 6510694 316944003 275698809 34517395 6727799 30350 30350 134090825 154554528 199250782 176694404 8046557 7404167 6931829 6880195 15432609 17189057 785549 836546 5094457 2700184 1039904362 363968928 685020821 675935434 1154429627 1233989337 491579881 576532977 3080533 3583140 87272875 123700211 2791046695 2980030530 45720623 42177567 4144284 4317649 580326616 629566633 20000000 260574226 239490961 910765749 915552810 X 1309931799 523643298 323900761 1288971100 246448386 251863322 1880280946 2064477720 2791046695 2980030530 107851635 76345139 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 770239 X 0 1451345077 5982193 266875779 103802202 1620400847 1428894687 7123572 127372135 112045317 1451345077 1878613121 12472234 -353884925 108305743 1428894687 0.20600 0.14000 0.65400 0 0 13681660 13681660 935545705 296178352 639367353 424726 348471 76255 88726795 66768894 21957901 1525476 673211 852265 675935434 498269943 F Cash Equivalents 78263034 F 576532977 Amounts held for others 93739316 Conditional asset retirement obligation 7156044 Obligation under derivative instruments 90220601 Postretirement benefit obligation 48375000 239490961 424795638 316944003 107851635 59208305 17054790 76263095 184114730 495067705 59208305 24377980 83586285 411481420 1407980 11906238 13314218 424795638 310952975 -1113704 -1113704 312066679 1407980 3469344 4877324 316944003 Part III, Line 4: Works of art are displayed in various locations throughout the campus. Description of Intended Use of Endowment Funds: 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 Uncertain Tax Positions Under FIN 48: 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. Part XI, Line 8 - Other Adjustments: 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 XII, Line 2d - Other Adjustments: Unrealized Net Gain on Derivative Instruments - 24,377,980 Part XII, Line 4b - Other Adjustments: Fundraising expenses - (609,224) Royalty payments - 3,469,344 Gain on Sale of Fixed Assets - 9,046,118 Part XIII, Line 2d - 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 4b - Other Adjustments: Royalty payments - 3,469,344 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 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. Central America and the Caribbean Investments Europe (Including Iceland & Greenland) Investments East Asia and the Pacific Investments 0 0 0 0 0 0 1 0 0 0 1 0 Women & Science Luncheon 729442 671192 58250 36184 58250 8330 Hospital Centennial 7370702 7288202 82500 231979 98486 12000 163995 8100144 7959394 140750 268163 156736 12000 172325 609224 -468474 0 0 16049596 7836974 8212622 0.02590 16049596 7836974 8212622 0.02590 16049596 7836974 8212622 0.02590 0 0 0 1 1 The Rockefeller University Hospital

1230 York Avenue New York NY 10065

X X The Rockefeller University Hospital 1 0 0 0 0 0 0 0 0 0 0 0 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. 1 FELLOWSHIPS 136 3731152 RESEARCH STIPENDS 156 4283831 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: 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. X 1 1 X X X X X 0 1 0 1 0 0 0 1 0 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 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. 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 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 35000 100016166 2012 0 0 0 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 0 0 1 1 1 0.00000 0.00000 0.00000 1 0 0 0 0 1 0.00000 0.00000 0.00000 1 1 1 0 0 1 0 0 1 0 0 0 1 0 0 0 0 0 1 0 1 0 0 0 1 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). 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 102027221 836150 74212161 26978910 2012 0 0 0 1 53891587 553621 491501 52846464 2012 0 0 0 1 0 0 0 0 1 0.00000 0.00000 0.00000 1 0 0 0 0 1 0.00000 0.00000 0.00000 1 0 0 0 0 0 0 0 0 0 1 Frederick Bohen Mortgage Loan X 325000 208937 0 1 1 Emil Gotschlich Mortgage Loan X 322245 113380 0 1 1 Virginia Huffman Mortgage Loan X 150000 133984 0 1 1 Maren I Imhoff Mortgage Loan X 150000 79093 0 1 1 Alice Lustig Mortgage Loan X 630000 0 0 1 1 James Lapple Mortgage Loan X 1579378 1526181 0 1 1 Roberta Maloney Mortgage Loan X 502932 386567 0 1 1 Harriet Rabb Mortgage Loan X 300000 223985 0 1 1 Jane Rendall Mortgage Loan X 1353315 1295350 0 1 1 Thomas Sakmar Mortgage Loan X 599000 568500 0 1 1 Sidney Strickland Mortgage Loan X 197528 178183 0 1 1 John Tooze Mortgage Loan X 787500 177204 0 1 1 Michael Young Mortgage Loan X 1238068 1187764 0 1 1 Ralph Steinman Mortgage Loan X 996880 801067 0 1 1 6880195 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 X 4125 Appraisal X 1 1136735 Appraisal 0 1 0 Method for Determining Number of Contributors: Part I, Column (b): Collectibles - One donor contributed a coin collection to the University. 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. Form 990, Part VI, Section B, line 12c 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 15 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 C, line 19 Conflict of interest policy and financial statements are available to the public through the University's website. The Rockefeller University Faculty and Students Club, Inc. Form 990, Schedule R, Part V, #2 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. Women & Science Luncheon Form 990, Schedule G, Part II, Fundraising Events 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. Hospital Centennial Form 990, Schedule G, Part II, Fundraising Events 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, Part XI, line 5, Changes in Net Assets 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 The Rockefeller University Faculty & Students Club Inc 1230 York Avenue New York NY 10065 Social Club NY 501(c)(7) The Rockefeller University 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 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