2012-07-12T11:18:32-05:00 2011-08-31 PricewaterhouseCoopers LLP 1301 K Street NW Suite 800W Washington DC 20005 990 2010-09-01 362167817 Northwestern University NORT 8474913741 633 Clark St Evanston IL 60208 Eugene Sunshine 8474913741 2012-07-12 2124141000 2010 2016-02-24 21:20:13Z Eugene Sunshine 633 Clark St Evanston IL 60208 3585229624 0 X www.northwestern.edu X 1851 IL Education and research 36 26 22142 0 -9177342 0 200683218 191440295 1454577011 1545225391 353410782 528461744 87667763 101051025 2096338774 2366178455 279867991 310452467 0 0 849525993 901697344 196264 154958 31730985 853608939 809001977 1983199187 2021306746 113139587 344871709 8362828437 9335729608 1578804468 1527416817 6784023969 7808312791 Northwestern's mission is to provide the highest-quality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises. 0 0 1206573126 246828794 945790230 Education of students: For the 2011 academic year, 8,547 undergraduates and 8,422 graduates and professional school students enrolled full-time at the University. The exempt purpose of Northwestern University is to provide educational services to its students. This includes superior undergraduate education for a diverse student body in a comprehensive range of academic and professional fields. At the graduate level, Northwestern's role encompasses offerings in the major academic and professional fields, closely related to research, creative activities, and clinical services. 475626000 63623673 528848442 Research activities: The research program at Northwestern University is a major component of University efforts, assuring institutional leadership in scientific discovery, intellectual inquiry, and creative performance. The character of this research shapes all areas of University endeavor, especially graduate education as well as undergraduate studies. 109812000 75186601 Auxilliary enterprises serve the educational mission by primarily providing residences and food services, and other various goods and services to support University student, faculty, and staff activities. 1792011126 1 1 0 1 1 0 0 0 1 1 1 0 0 1 1 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 0 0 0 0 1 1 1 1 0 1 26920 0 1 22142 1 1 1 1 NI QA UK 0 0 0 1 1 0 0 0 0 0 0 0 X 36 26 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 1 0 AK AZ KY ME MD MI NH NY OH OR SC WA X Karl Turro Controller 8474914722 619 Clark St Evanston IL 60208 X Peter J Barris 1.00 X 0 0 0 Judith S Block 1.00 X 0 0 0 John A Canning Jr 1.00 X 0 0 0 Nicholas D Chabraja 1.00 X 0 0 0 A Steven Crown 1.00 X 0 0 0 Richard H Dean 1.00 X 0 0 0 Charles W Douglas 1.00 X 0 0 0 D Cameron Findlay 1.00 X 0 0 0 Dennis J FitzSimons 1.00 X 0 0 0 T Bondurant French 1.00 X 0 0 0 Christopher B Galvin 1.00 X 0 0 0 J Douglas Gray 1.00 X 0 0 3300 Philip L Harris 1.00 X 0 0 0 Jay C Hoag 1.00 X 0 0 0 Ellen Philips Katz 1.00 X 0 0 0 Lester B Knight 1.00 X 0 0 0 Timothy K Krauskopf 1.00 X 0 0 0 Edward M Liddy 1.00 X 0 0 0 Ann Lurie 1.00 X 0 0 0 J Landis Martin 1.00 X 0 0 0 Lee M Mitchell 1.00 X 0 0 0 William A Osborn 1.00 X 0 0 0 Jane DiRenzo Pigott 1.00 X 0 0 0 JB Pritzker 1.00 X 0 0 0 M Jude Reyes 1.00 X 0 0 0 Patrick G Ryan 1.00 X 0 0 0 Patrick G Ryan Jr 1.00 X 0 0 0 Paul L Sagan 1.00 X 0 0 0 William E Sagan 1.00 X 0 0 0 D Gideon Searle 1.00 X 0 0 0 Andrew E Senyei MD 1.00 X 0 0 0 Benjamin W Slivka 1.00 X 0 0 0 Timothy P Sullivan 1.00 X 0 0 0 David B Weinberg 1.00 X 0 0 0 Miles D White 1.00 X 0 0 0 William Wrigley Jr 1.00 X 0 0 0 Morton O Schapiro 40.00 X 909426 0 346227 Daniel I Linzer 40.00 X 453951 0 47697 Eugene S Sunshine 40.00 X 777842 0 39527 William J Banis 40.00 X 216670 0 37513 Thomas G Cline 40.00 X 422576 0 41245 Alan K Cubbage 40.00 X 234159 0 24371 Jeffrey Glassroth 5.00 X 80097 836504 57509 J Larry Jameson 30.00 X 735261 727845 83305 Marilyn McCoy 40.00 X 247943 0 41497 William H McLean 40.00 X 1070918 0 153583 Robert E McQuinn 40.00 X 97364 0 16555 Sarah Risley Pearson 40.00 X 359884 0 48423 Sean Reynolds 0.00 X 0 0 0 Patricia Telles-Irvin 0.00 X 0 0 0 Patricia H Todus 40.00 X 246212 0 48404 Joseph T Walsh Jr 40.00 X 263785 0 83351 Jeffrey C Miller 40.00 X 721602 0 31708 Ronald Nayler 40.00 X 306229 0 43171 Patrick M McCarthy 6.00 X 188096 1796058 60535 H Huntington Batjer 6.00 X 125592 1123501 65328 Patrick W Fitzgerald II 40.00 X 1234566 0 46185 Murad Alam 0.20 X 3000 1180111 38198 Steven T Rosen 50.00 X 963349 202158 63666 Morteza A Rahimi 40.00 X 489147 0 39289 Lewis Landsberg 48.00 X 237510 58786 50578 10385179 5924963 1511165 1624 1 1 0 LBR Consolidated Services 440 Bonner Rd Wauconda IL 60084 Custodial services 8453633 Encap Energy Fund 11100 Louisiana Ste 3150 Houston TX 77002 Investment management 3823335 Carmichael Lynch Inc 110 North Fifth St Minneapolis MN 55403 Media services 3286085 Bridgewater Associates One Glendinning Place Westport CT 06880 Investment management 2703774 Family Institute 618 Library Place Evanston IL 60608 Instruction services 1812213 438 1506145 10046347 179887803 27878314 191440295 Tuition and fees 900099 767939280 767939280 Research activities 900099 528848442 528848442 Educational activities 900099 119558651 119558651 Auxilliary enterprises 900099 75186601 75186601 Medical departments 900099 29371569 29371569 24320848 24320848 1545225391 144214536 4599882 139614654 105496887 105496887 6548028 2195902 4352126 4352126 4352126 764440736 836367866 637079881 579481513 127360855 256886353 384247208 384247208 283360 1506145 293873 -10513 -10513 Alumni affinity card 900099 389867 389867 Alumni travel study 561520 293576 293576 Investment in partners 523000 -9554739 -9554739 83821 83821 -8787475 2366178455 1549825273 -9177342 634090229 53599147 53599147 252760886 252760886 4092434 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loans 38968000 Asset retirement obligations 121091170 237946182 Part III, Line 1a: The University does not capitalize collections. As stated in the University notes to the financial statements, the accounting policy for library collections is to expense all purchases. Museum purchases are accounted for similarly. Gifts of art and similar tangible personal property are accounted for as gifts-in-kind. Description of Intended Use of Endowment Funds: Part V, Line 4: The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction. Description of Uncertain Tax Positions Under FIN 48: Part X: The University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the "more likely than not" standard for sustainability on examination by tax authorities. Part X, line 25, Asset Retirement Obligations: The University records all known asset retirement obligations (ARO) for which the fair value of the liability can be reasonably estimated, including certain obligations relating to regulatory remediation. ARO covered include those for which an entity has a legal obligation to perform an asset retirement activity; however, the timing and/or method of settling the obligation are conditional on a future event that may or may not be within the control of the entity. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Explanation of Nondiscriminatory Policy Publication Schedule E, Part I, Line 3 Policies are included in student, faculty, and staff handbooks. Policies are also periodically reprinted in school newspapers Explanation of Government Financial Assistance Schedule E, Part I, Line 6 The University receives financial support from agencies of the federal government for research purposes and for financial aid to students; additional financial aid support for students is received from agencies of the State of Illinois. Explanation of Racial Nondiscrimination Compliance Schedule E, Part I, Line 7 Northwestern University does not discriminate or permit discrimination by any member of its community against any individual on the basis of race, color, religion, national origin, sex, sexual orientation, gender identity, gender expression, parental status, marital status, age, disability, citizenship, or veteran status in matters of admissions, employment, housing, or services or in the educational programs or activities it operates. 1 Middle East and North Africa 1 119 Maintaining offices, employees or agents International campus in Doha, Qatar for students in journalism and communications. 31616103 East Asia and the Pacific Fundraising 96726 Europe (Including Iceland & Greenland) Fundraising 73107 Middle East and North Africa Fundraising 8483 North America Fundraising 1929 South America Fundraising 3117 South Asia Fundraising 6703 Central America and the Caribbean Program Services Business travel abroad (includes travel to attend seminars and conferences) 73199 East Asia and the Pacific Program services Business travel abroad (includes travel to attend seminars and conferences) 950338 Europe Program services Business travel abroad (includes travel to attend seminars and conferences) 2395121 Middle East and North Africa Program services Business travel abroad (includes travel to attend seminars and conferences) 473712 North America Program services Business travel abroad (includes travel to attend seminars and conferences) 380517 Russia and the Newly Independent States Program services Business travel abroad (includes travel to attend seminars and conferences) 38096 South America Program services Business travel abroad (includes travel to attend seminars and conferences) 246891 South Asia Program services Business travel abroad (includes travel to attend seminars and conferences) 127671 Sub-Saharan Africa Program services Business travel abroad (includes travel to attend seminars and conferences) 377913 Central America and the Caribbean Program services Study abroad programs 130490 East Asia and the Pacific Program services Study abroad programs 1222688 Europe Program services Study abroad programs 2051110 Middle East and North Africa Program services Study abroad programs 1025475 South America Program services Study abroad programs 334560 South Asia Program services Study abroad programs 171807 Sub-Saharan Africa Program services Study abroad programs 610726 Central America and the Caribbean Unrelated trade or business 289 East Asia and the Pacific Unrelated trade or business 354 Europe Unrelated trade or business 10130 Middle East and North Africa Unrelated trade or business 665 North America Unrelated trade or business 164 Russia and the Newly Independent States Unrelated trade or business 239 South America Unrelated trade or business 333 Central America and the Caribbean Investments 1614043000 Europe Investments 286120000 North America Investments 60711000 Sub-Saharan Africa Investments 34892000 Central America and the Caribbean Program services Research 761 East Asia and the Pacific Program services Research 136791 Europe Program services Research 1581737 Middle East and North Africa Program services Research 169745 North America Program services Research 1647181 Russia and the Newly Independent States Program services Research 280 South America Program services Research 10647 South Asia Program services Research 246 Sub-Saharan Africa Program services Research 10991 Central America and the Caribbean Grantmaking 15217 East Asia and the Pacific Grantmaking 229229 Europe Grantmaking 2269821 Middle East and North Africa Grantmaking 143248 North America Grantmaking 1117416 South America Grantmaking 151595 South Asia Grantmaking 61443 Sub-Saharan Africa Grantmaking 104465 119 0 119 31879367 2013966102 2045845469 East Asia and the Pacific Grant subaward from sponsored research funds 87165 ACH direct deposit or Check East Asia and the Pacific Grant subaward from sponsored research funds 33028 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 976392 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 165758 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 123039 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 44650 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 12240 ACH direct deposit or Check Middle East and North Africa Grant subaward from sponsored research funds 121926 ACH direct deposit or Check North America Grant subaward from sponsored research funds 988066 ACH direct deposit or Check North America Grant subaward from sponsored research funds 66837 ACH direct deposit or Check North America Grant subaward from sponsored research funds 20845 ACH direct deposit or Check North America Grant subaward from sponsored research funds 14168 ACH direct deposit or Check North America Grant subaward from sponsored research funds 27500 ACH direct deposit or Check Sub-Saharan Africa Grant subaward from sponsored research funds 39562 ACH direct deposit or Check South Asia Charitable support 23209 Check 2 13 Grants disbursed during student's enrollment in international program Central America and the Caribbean 2 15217 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program East Asia and the Pacific 22 109036 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Europe 102 947742 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Middle East and North Africa 3 21322 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South America 26 151595 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South Asia 4 38234 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Sub-Saharan Africa 8 64903 Applied to student account; credits are refunded by check 1 0 1 1 1 1 Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants given to support charitable organizations are extended for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Other Information Schedule F, Part V Schedule F, Part I: The program services listed in Part I reflect international educational programs in which the University had material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its student access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad international programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f) of Schedule F. Schedule F, Part I, column(f), line 3: Expenditures reported in the Form 990, Schedule F, Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f). Schedule F, Part II, line 1: In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, line 1. Schedule F, Part II, line 3: Foreign recipient organizations are universities, colleges, or hospitals. Schedule F, Part III, method used to report cash grants and column (c): Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the dates of the applicable study abroad program. Similarly, grants disbursed to certain professional graduate students are reviewed to assess overlap with participation in international programming. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c). X X X X X X X 1 RuffaloCODY 65 Kirkwood North Rd SW Cedar Rapids IA 52406 Phone solicitation 0 314207 93657 220550 Sheila Smith 2357 Colts Neck Rd Blacklick OH 43004 Campaign counseling 0 0 5539 0 R & R Newkirk 8695 S Archer 10 Willow Springs IL 60480 Gift planning marketing 0 0 37762 0 MindFrame 2831 W Wilshire Blvd Oklahoma City OK 73119 Communication consultant 0 0 18000 0 314207 154958 220550 AZ AK AR CT GA IL KS NM NC ND PA RI TN TX UT WV WI AL CA FL HI KY MD ME MI MO MN NH MS NY OR OK OH SC WA VA Dance Marathon 830722 761197 69525 66572 14208 Brain Tumor Institute Fundraiser 530195 456218 73977 500 62777 4500 41846 7 428588 288730 139858 9181 67672 4555 22062 1789505 1506145 283360 500 75753 130449 9055 78116 293873 -10513 Explanation of Fundraising Payments Schedule G, Part I, Line 2b, Column (v) The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed are reflected): RuffaloCODY ($10,526) in accordance with the agreement with the professional fundraiser which permits reimbursement for direct expenses such as printing, mailing, and shipping, and Sheila Smith ($539) as agreed for transportation and lodging. Schedule G, Part I, line 3 No registration is required in Delaware, Idaho, Indiana, Iowa, Montana, Nebraska, Nevada, South Dakota, Vermont or Wyoming. The University has requested confirmation of exemption from New Jersey. 1 Evanston Community Foundation Inc 1007 Church St Ste 108 Evanston IL 60201 363466802 501(c)(3) 107639 Charitable fundraising conducted by student org & support of charitable community organization Children's Heart Foundation PO Box 244 Lincolnshire IL 60069 364077528 501(c)(3) 642503 Charitable fundraising conducted by student organization Family Promise Chicago North Shore PO Box 484 Glencoe IL 60022 270288849 501(c)(3) 5699 Charitable fundraising conducted by student organization Good News Partners 1600 Jonquil Terrace Chicago IL 60626 363107283 501(c)(3) 33650 Charitable fundraising conducted by student organization Wings Program Inc PO Box 95615 Palatine IL 60095 363456061 501(c)(3) 19000 Charitable fundraising conducted by student organization Working in the School 27 E Monroe Chicago IL 60603 363891846 501(c)(3) 19000 Charitable fundraising conducted by student organization One Acre Fund 1954 First St 183 Highland Park IL 60035 203668110 501(c)(3) 19000 Charitable fundraising conducted by student organization Fabretto Children's Foundation 3124 North 10th Street Arlington VA 22201 363894824 501(c)(3) 14131 Charitable fundraising conducted by student organization American Red Cross 2200 W Harrison St Chicago IL 60612 530196605 501(c)(3) 5387 Charitable fundraising conducted by student organization Chicago Academy of Sciences 2430 N Cannon Dr Chicago IL 60614 360895575 501(c)(3) 30000 Support of charitable community organizations Chicago Botanic Garden(Chicago Horticultural Society) 1000 Lake Cook Rd Glencoe IL 60022 362225482 501(c)(3) 115000 Support of charitable community organizations Lyric Opera of Chicago 20 North Wacker Drive Ste 860 Chicago IL 60606 366008929 501(c)(3) 22500 Support of charitable community organizations The Art Institute of Chicago 111 S Michigan Ave Chicago IL 60603 362167725 501(c)(3) 10000 Support of charitable community organizations Ravinia Festival 418 Sheridan Road Highland Park IL 60035 366002273 501(c)(3) 6000 Support of charitable community organizations United Way of Metropolitan Chicago 560 W Lake St Chicago IL 60661 360200478 501(c)(3) 15000 Support of charitable community organizations Health for Humanity 415 Linden Ave Ste B Wilmette IL 60091 363820640 501(c)(3) 10000 Support of charitable community organizations Millennium Park Inc DT 111 S Wacker Drive Chicago IL 60602 364244167 501(c)(3) 10000 Support of charitable community organizations Northwestern University Settlement House 1400 West Augusta Blvd Chicago IL 60642 362167818 501(c)(3) 25000 Support of charitable community organizations Juvenile Protective Association 1707 N Halstead St Chicago IL 60614 362167765 501(c)(3) 20000 Support of charitable community organizations EVMark 1560 Sherman Ave Evanston IL 60201 363571291 501(c)(6) 25900 Support of charitable community organizations Chicago's North Shore Convention & Visitors' Bureau 8001 Lincoln Ave Ste715 Skokie IL 60077 364449110 501(c)(6) 25000 Support of charitable community organizations Evanston Public Library 1703 Orrington Ave Evanston IL 60201 363286198 501(c)(3) 10000 Support of charitable community organization Foundation 65 PO Box 750 Evanston IL 60204 364003165 501(c)(3) 76666 Support of charitable community organizations City of Evanston 2100 Ridge Ave Evanston IL 60201 366005870 115 253549 Support of local governmental organization Chicago CARES 2 N Riverside Ste 2200 Chicago IL 60606 363777709 501(c)(3) 8000 Support of charitable community organizations Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago IL 60611 363097297 501(c)(3) 5531758 Support of research activities Northeastern Illinois University 5500 N St Louis Ave Chicago IL 60625 366009515 115 24664 Support of research activities 12th Man Foundation Bernard C Richardson Zone at Kyle Field Suite 12 College Station TX 77841 741185725 501(c)(3) 33405 Support of research activities Access Community Health Network 222 N Canal St Chicago IL 60606 363317058 501(c)(3) 176991 Support of research activities Access DuPage 511 Thornhill Dr M Carol Stream IL 60188 364448208 501(c)(3) 220471 Support of research activities Adler Planetarium & Astronomy Museum 1300 S Lake Shore Dr Chicago IL 60605 366210902 501(c)(3) 17327 Support of research activities Advocate Hope Childrens Hospital 4440 W 95th St Oak Lawn IL 60453 362169147 501(c)(3) 23986 Support of research activities Advocate Lutheran General Hospital 1775 W Dempster St Park Ridge IL 60068 362169147 501(c)(3) 23986 Support of research activities AIDS Arms Inc 219 Sunset Ave Dallas TX 75208 752306145 501(c)(3) 215017 Support of research activities Alaska Cardiovascular Research Foundation 3841 Piper St Anchorage AK 99508 743076026 501(c)(3) 19925 Support of research activities Albert Einstein College of Medicine 1300 Morris Park Avenue Bronx NY 10461 131624225 501(c)(3) 50667 Support of research activities Amarillo Heart Group 1901 Port Lane Amarillo TX 79106 830362959 501(c)(3) 12445 Support of research activities American Cancer Society Illinois Division Inc 225 N Michigan Ste 1200 Chicago IL 60601 237040934 501(c)(3) 6031 Support of research activities American Institutes for Research 1000 Thomas Jefferson St NW Washington DC 20007 250965219 501(c)(3) 59590 Support of research activities American Lung Association 1301 Pennsylvania Ave NW Suite 800 Washington DC 20004 131632524 501(c)(3) 231616 Support of research activities Baptist Hospital of Miami 8900 N Kendall Drive Miami FL 33176 590910342 501(c)(3) 27180 Support of research activities Beth Israel Deaconess Center 330 Brookline Ave Boston MA 02115 042103881 501(c)(3) 29664 Support of research activities Boston College 140 Commonwealth Ave Chestnut Hill MA 02467 042103545 501(c)(3) 39957 Support of research activities Boston Imaging Core Lab LLC 580 Harrison Avenue Boston MA 02118 261215497 70720 Support of research activities Boston Medical Center One Boston Medical Center Place Boston MA 02118 043314093 501(c)(3) 20954 Support of research activities Boys & Girls Clubs of Chicago 550 W Van Buren Street Suite 350 Chicago IL 60607 362166997 501(c)(3) 23656 Support of research activities Brigham and Women's Hospital 75 Francis St Boston MA 02115 042312909 501(c)(3) 143301 Support of research activities Cabot Security Materials Inc 325 E Middlefield Road Mountain View CA 94043 262158716 173157 Support of research activities California Cancer Care Inc 1350 S Eliseo Dr Greenbrae CA 94904 942765776 8500 Support of research activities Campbell-Kibler Associates Inc 80 Lakeside Dr Groton MA 01450 043297519 115605 Support of research activities Cardiology PC 801 Princeton Ave SW Birmingham AL 35211 630710054 7786 Support of research activities Carleton College One North College St Northfield MN 55057 410694747 501(c)(3) 38781 Support of research activities Case Western Reserve University 10900 Euclid Ave Cleveland OH 44106 341018992 501(c)(3) 52886 Support of research activities Children's Memorial Hospital 2300 N Lincoln Ave Chicago IL 60614 362170833 501(c)(3) 3676361 Support of research activities Cleveland Clinic 9500 Euclid Ave Cleveland OH 44195 912153073 501(c)(3) 7997 Support of research activities Cold Spring Harbor Laboratory One Bungtown Road Cold Spring Harbor NY 11724 112013303 501(c)(3) 41666 Support of research activities College of American Pathologists 325 Waukegan Rd Northfield IL 60039 362118323 501(c)(3) 15605 Support of research activities Colorado State University 203 Administration Building Fort Collins CO 80523 846000546 115 12677 Support of research activities Columbia University 615 W 131st Street New York NY 10027 131624202 501(c)(3) 107544 Support of research activities Cornell University 222 Day Hall Ithaca NY 14853 150532082 501(c)(3) 410357 Support of research activities Dartmouth College 420 Lexington Ave New York NY 10170 020222111 501(c)(3) 25898 Support of research activities David Ostrow & Associates 5455 N Sheridan Road Suite 2503 Chicago IL 60640 205241516 51615 Support of research activities Duke University Chapel Dr Durham NC 27705 560532129 501(c)(3) 102868 Support of research activities East Bay Institute for Research and Education 150 Muir Road 151-I Martinez CA 64553 680177975 501(c)(3) 238254 Support of research activities Emory University 201 Dowman Dr Atlanta GA 30322 580566256 501(c)(3) 182677 Support of research activities Family Care Health Centers 401 Holly Hills Ave St Louis MO 63111 237076112 44614 Support of research activities Florida State University 600 W College Ave Tallahassee FL 32306 591961248 115 158333 Support of research activities GeoEngineers Inc 600 Stewart St Ste 1700 Seattle WA 98101 916237984 15702 Support of research activities George Washington University 2121 I Street NW Washington DC 20052 530196584 501(c)(3) 35292 Support of research activities H Lee Moffit Cancer Center & Research Institute 12902 Magnolia Ave Tampa FL 33612 592451713 501(c)(3) 27676 Support of research activities Harvard University Massachusetts Hall Cambridge MA 02138 042103580 501(c)(3) 476740 Support of research activities Health Research Incorporated Roswell Park Cancer Institute Division Elm Carlton Sts Buffalo NY 14263 141402155 159538 Support of research activities Hektoen Institute for Medical Research 2240 W Ogden Ave Chicago IL 60612 362244897 501(c)(3) 760836 Support of research activities Henry Ford Health System 14500 Hall Rd Sterling Heights MI 48313 381357020 501(c)(3) 6580 Support of research activities Horizon Research Inc 326 Cloister Ct Chapel Hill NC 27514 561550276 25722 Support of research activities Howard Brown Health Center 4025 N Sheridan Road Chicago IL 60613 362894128 501(c)(3) 520060 Support of research activities Indiana University 107 S Indiana Ave Bloomington IN 47405 356001673 115 388699 Support of research activities J Craig Venter Institute 9704 Medical Center Drive Rockville MD 20850 521842938 501(c)(3) 421293 Support of research activities James Madison University 800 S Main St Harrisonburg VA 22807 546001756 501(c)(3) 7043 Support of research activities Jasculca Terman and Associates Inc 730 N Franklin Street Suite 510 Chicago IL 60654 363136983 150214 Support of research activities Johns Hopkins University 1101 E 33rd St Baltimore MD 21218 520595110 501(c)(3) 388211 Support of research activities Kaiser Foundation Research Institute PO Box 378066 Denver CO 80237 941105628 501(c)(3) 45797 Support of research activities Louisiana State University 3848 W Lakeshore Dr Baton Rouge LA 70808 726087770 115 103491 Support of research activities Loyola University Chicago 1032 W Sheridan Rd Chicago IL 60660 361408475 501(c)(3) 57980 Support of research activities Lutheran Medical Group LLC 7916 W Jefferson Blvd Fort Wayne IN 46804 264213839 12100 Support of research activities Massachusetts General Hospital 55 Fruit St Boston MA 02114 041564655 501(c)(3) 108439 Support of research activities Massachusetts Institute of Technology 77 Massachusetts Ave Cambridge MA 02142 042103594 501(c)(3) 202334 Support of research activities Materials & Electrochemical Research Corporation 7960 South Kolb Road Tucson AZ 85706 860530946 133685 Support of research activities Mayo Clinic Rochester 200 First St SW Rochester MN 55905 416011702 501(c)(3) 160176 Support of research activities Medical College of Wisconsin 8701 Watertown Plank Rd Milwaukee WI 53226 390806261 501(c)(3) 11219 Support of research activities Medical University of South Carolina 179 Ashley Avenue Charleston SC 29425 576000722 115 8311 Support of research activities Memorial Hospital of Rhode Island 111 Brewster St Pawtucket RI 02680 050259004 501(c)(3) 22385 Support of research activities Memorial Sloan-Kettering Cancer Center 1275 York Avenue New York NY 10065 131624182 501(c)(3) 324971 Support of research activities Methodist Hospital Research Institute 6670 Bertner St Houston TX 77030 870721923 501(c)(3) 116285 Support of research activities Metropolitan Cardiology Consultants LLC 4040 Coon Rapids Blvd Coon Rapids MN 55433 411787141 7550 Support of research activities Michigan State University 113 Angell Bldg East Lansing MI 48824 386005984 115 234523 Support of research activities Mount Sinai Hospital One Gustave L Levy Pl New York NY 10029 131624096 501(c)(3) 28555 Support of research activities Nanosonix Inc 8025 Lamon Avenue Skokie IL 60077 262268972 374932 Support of research activities National Geographic Society 1145 17th St NW Washington DC 20036 530193519 501(c)(3) 40157 Support of research activities North Carolina State University Campus Box 7001 A Holladay Hall Raleigh NC 27695 566000756 115 39162 Support of research activities NorthShore University HealthSystem Research Institute 2650 Ridge Ave Evanston IL 60201 364191793 501(c)(3) 1959285 Support of research activities Northwestern Memorial Hospital 251 E Huron St Chicago IL 60611 370960170 501(c)(3) 1867287 Support of research activities NOVA Scripts Central Inc 6400 Arlington Blvd Falls Church VA 22042 651275162 143505 Support of research activities Ohio State University 154 W 12th Ave Columbus OH 43210 316025986 115 45614 Support of research activities OhioHealth Research and Innovation Institute 3545 Olentangy River Road Columbus OH 43214 316059784 501(c)(3) 5810 Support of research activities Oregon Health & Science University 3181 Southwest Sam Jackson Park Rd Portland OR 97239 931176109 115 76642 Support of research activities Orlando Regional Medical Center 1414 Kuhl Avenue Orlando FL 32806 591726273 501(c)(3) 43045 Support of research activities Pacific Health Research & Education Institute 3375 Koapaka Street Suite I-540 Honolulu HI 96819 990303308 501(c)(3) 13944 Support of research activities Park Nicollet Institute 3800 Park Nicollet Blvd St Louis Park MN 55416 410961862 501(c)(3) 33824 Support of research activities Parkinson's Institute and Clinical Center 675 Almanor Avenue Sunnyvale CA 94085 943061594 501(c)(3) 21037 Support of research activities Pennsylvania State University 308 Old Main University Park PA 16802 246000376 115 130184 Support of research activities Pinnacle Technology 681 Lawlins Road Wyckoff NJ 07481 742818617 489303 Support of research activities Princeton University Office of Administration Princeton NJ 08544 210634501 501(c)(3) 65477 Support of research activities Purdue University Office of Administration West Lafayette IN 47906 356002041 115 67287 Support of research activities Quest Clinical Research 2300 Sutter Street Suite 202 San Francisco CA 94115 943307206 6115 Support of research activities Rehabilitation Institute Research Corporation 345 E Superior St Chicago IL 60611 363728711 501(c)(3) 380701 Support of research activities and support of charitable community organization Rensselaer Polytechnic Institute 110 8th St Troy NY 12180 141340095 501(c)(3) 64384 Support of research activities Rice University 6100 Main St Houston TX 77005 741109620 501(c)(3) 14928 Support of research activities Rockefeller University 1230 York Avenue New York NY 10065 131624158 501(c)(3) 416598 Support of research activities Rocky Mountain Heart Associaties PC 3655 Lutheran Pkqy Ste 201 Wheat Ridge CO 80033 840644785 6550 Support of research activities Rush University Medical Center 1653 W Congress Parkway Chicago IL 60612 362174823 501(c)(3) 1684665 Support of research activities Saint Francis Hospital and Medical Center 114 Woodland St Hartford CT 06105 470376601 501(c)(3) 23378 Support of research activities Saint Thomas Research Institute 4230 Harding Rd Ste 105 Nashville TN 37205 208018726 6450 Support of research activities Salk Institute 10010 North Torrey Pines Road La Jolla CA 92037 952160097 501(c)(3) 387808 Support of research activities Santa Fe Institute 1399 Hyde Park Rd Santa Fe NM 87501 850325494 501(c)(3) 18361 Support of research activities Scott & White Memorial Hospital 2401 S 31st Street Temple TX 76508 741166904 501(c)(3) 16445 Support of research activities Scripps Research Institute 10550 North Torrey Pines Road La Jolla CA 92037 330435954 501(c)(3) 461166 Support of research activities SemanticBits LLC 13921 Park Center Rd Ste 420 Herndon VA 20171 200446789 242558 Support of research activities SRI International 201 Washington Road Princeton NJ 08540 941160950 501(c)(3) 26262 Support of research activities St Jude Children's Research Hospital 4619 N Ravenswood Ave Chicago IL 60640 620646012 501(c)(3) 5992 Support of research activities Stanford University 295 Galvez St Stanford CA 94305 941156365 501(c)(3) 568569 Support of research activities Tech-Synergy Inc 6789 Quail Hill Parkway Irvine CA 92603 954857456 5350 Support of research activities Thomas Jefferson University 1020 Walnut St Philadelphia PA 19107 231352651 501(c)(3) 47675 Support of research activities United BioSource Corporation 7501 Wisconsin Ave Ste 705 Bethesda MD 20814 541759539 76052 Support of research activities University of Alabama at Birmingham 1530 3rd Ave South Birmingham AL 35294 636005396 115 45487 Support of research activities University of Arizona 617 N Santa Rita Ave Tucson AZ 85721 742652689 115 139846 Support of research activities University of California Berkeley 200 California Hall Berkeley CA 94720 946002123 115 72508 Support of research activities University of California Davis One Shields Ave Davis CA 95616 946036494 115 85750 Support of research activities University of California Irvine Office of Administration Irvine CA 92697 952226406 115 273533 Support of research activities University of California Los Angeles Hillgard Ave Los Angeles CA 90095 956006143 115 613350 Support of research activities University of California San Diego 9500 Gilman Dr La Jolla CA 92093 956006144 115 24535 Support of research activities University of California San Francisco 505 Parnassus Ave San Francisco CA 94143 566001393 115 470561 Support of research activities University of California Santa Cruz 1156 High St Santa Cruz CA 95064 770289144 115 114571 Support of research activities University of Chicago 5801 S Ellis Ave Chicago IL 60637 362177139 501(c)(3) 8194770 Support of research activities University of Cincinnati 2600 Clifton Ave Cincinnati OH 45221 316000989 115 34984 Support of research activities University of Delaware 210 S College Ave Newark DE 19716 516000297 115 55740 Support of research activities University of Florida 201 Criser Hall Gainesville FL 32611 596002052 115 119596 Support of research activities University of Illinois 801 S Morgan St Chicago IL 60607 376000511 115 4172673 Support of research activities University of Kentucky 100 Funkhouser Bldg Lexington KY 40506 616001218 115 84845 Support of research activities University of Maryland 2108 Mitchell Bldg College Park MD 20742 526002033 115 467609 Support of research activities University of Massachusetts Amherst Office of Administration Amherst MA 01003 043167352 115 66076 Support of research activities University of Medicine and Dentistry of New Jersey 150 Bergen St Newark NJ 07103 221775306 43443 Support of research activities University of Miami 1252 Memorial Drive Coral Gables FL 33146 590624458 501(c)(3) 56000 Support of research activities University of Michigan 515 E Jefferson Ann Arbor MI 48109 386000134 115 1100299 Support of research activities University of Minnesota 101 Pleasant St Minneapolis MN 55455 416007513 115 73699 Support of research activities University of Missouri-Columbia 105 Jesse Hall Columbia MO 65211 436003859 115 89118 Support of research activities University of Nebraska Medical Center 984230 Nebraska Medical Center Omaha NE 68198 470491233 115 12050 Support of research activities University of New Mexico 1 University of New Mexico Albuquerque NM 87131 856000642 115 71401 Support of research activities University of North Carolina at Chappel Hill 9201 University City Blvd Charlotte NC 28223 566001393 115 94855 Support of research activities University of Notre Dame 317 Main Building Notre Dame IN 46556 350868188 501(c)(3) 46467 Support of research activities University of Oklahoma 660 Parrington Oval Norman OK 73019 736017987 115 68734 Support of research activities University of Pennsylvania 3451 Walnut Street Philadelphia PA 19104 231352685 501(c)(3) 89956 Support of research activities University of Pittsburgh 4227 Fifth Ave Pittsburgh PA 15260 250965591 501(c)(3) 614627 Support of research activities University of Rochester Office of Administration Rochester NY 14627 160743209 501(c)(3) 581956 Support of research activities University of Southern California 1540 Alcazar St Los Angeles CA 90089 951642394 501(c)(3) 91095 Support of research activities University of Tennessee Knoxville 527 Andy Holt Tower Knoxville TN 37996 626001636 115 230084 Support of research activities University of Texas at Austin 2100 San Jacinto Blvd Austin TX 78712 746000203 115 43692 Support of research activities University of Texas at San Antonio One UTSA Circle San Antonio TX 78249 741717115 115 372700 Support of research activities University of Texas M D Anderson Cancer Center 1515 Holcombe Blvd Houston TX 77030 760273984 115 67878 Support of research activities University of Texas Southwestern Med Ctr at Dallas 5323 Harry Hines Blvd Dallas TX 75390 756002868 115 510622 Support of research activities University of Vermont Waterman Bldg Burlington VT 05405 030179440 115 25015 Support of research activities University of Virginia 1 College Park Wise VA 24293 546001796 115 790443 Support of research activities University of Washington 1410 NE Campus Parkway Seattle WA 98195 916001537 115 160068 Support of research activities University of Wisconsin-Madison 716 Langdon St Madison WI 53706 391805963 115 292262 Support of research activities Vanderbilt University Office of Administration Nashville TN 37240 620476822 501(c)(3) 83529 Support of research activities Voices for Illinois Children 208 S La Salle Street Suite 1490 Chicago IL 60604 363480909 501(c)(3) 22500 Support of research activities Washington University in St Louis One Brookings Dr St Louis MO 63130 430653611 501(c)(3) 550159 Support of research activities Westat Inc 1600 Research Blvd Rockville MD 20850 840529566 37978 Support of research activities Wing Tech Inc 9916 Newhall Road Potomac MD 20854 251736195 170692 Support of research activities Wright State University 3640 Colonel Glenn Hwy Dayton OH 45435 310732831 36604 Support of research activities Yale University 140 Prospect St New Haven CT 06511 060646973 501(c)(3) 301758 Support of research activities Research Foundation SUNY 35 State Street Albany NY 12207 141368361 501(c)(3) 149353 Support of research activities Alliance of Chicago Community Health Service 215 W Ohio St 4th Floor Chicago IL 60654 364444309 100557 Support of research activities Argonne National Labratory 9700 S Cass Ave Lemont IL 60439 680628477 115 69788 Support of research activities Austin Heart PLLC 3801 N Lamar Suite 300 Austin TX 78756 742082653 19310 Support of research activities Boston University One Silber Way Boston MA 02215 042103547 501(c)(3) 250612 Support of research activities Sanford-Burnham Medical Research Institute 10901 North Torrey Pines Rd La Jolla CA 92037 510197108 501(c)(3) 35346 Support of research activities California Institute of Techonology 1200 East California Blvd Pasadena CA 91125 951643307 501(c)(3) 331080 Support of research activities Cambria Pharmaceuticals Inc 14 Cambridge Center Building 1 Cambridge MA 02142 262047755 192755 Support of research activities CANCER HELP INSTITUTE LTD 1000 Skokie Blvd Suite 100 Wilmette IL 60091 363801000 175776 Support of research activities National Colorectal Cancer Research Alliance 1201 West 5th St Suite T-700 Los Angeles CA 90017 205224621 501(c)(3) 23402 Support of research activities Chicago Association for Research and Education in Science Building One Room C347 5000 S 5th Ave Hines IL 60141 363334177 501(c)(3) 76669 Support of research activities CHILDRENS HOSPITAL BOSTON 300 Longwood Ave Boston MA 02115 042774441 501(c)(3) 13399 Support of research activities FARR ASSOCIATES ARCHITECTURE & URBAN DESIGN 53 W Jackson Blvd Suite 650 Chicago IL 60604 364319943 80000 Support of research activities INQUIRE LEARNING LLC 2625 Weston Rd Weston FL 33331 260733745 41558 Support of research activities INSTITUTE FOR NEURODEGENERATIVE DISORDERS 60 Temple St 8th Floor New Haven CT 06510 061582206 501(c)(3) 16233 Support of research activities Justice Resource Institute Inc 545 Boylston St Suite 700 Boston MA 02116 042526357 501(c)(3) 38553 Support of research activities JUSTIN ZUBROD & COMPANY LLC 560 Green Bay Rd Winnetka IL 60093 270297962 32500 Support of research activities KINEA DESIGN LLC 1711-1 Darrow Ave Evanston IL 60201 743099129 14810 Support of research activities LA RABIDA CHILDRENS'S HOSPITAL 6501 South Promontory Dr Chicago IL 60649 362170143 501(c)(3) 10800 Support of research activities Lahey Clinic Foundation Inc 41 Mall Rd Burlington MA 01805 042704683 501(c)(3) 31732 Support of research activities LANCASTER HEART & STROKE FOUNDATION 131 East Frederick St Lancaster PA 17602 232714178 11750 Support of research activities Comprehensive Cardiology Consultants St Clare Medical Office Building Suite 320 1203 Langhorne-Newtown Rd Langhorne PA 19047 592874324 5050 Support of research activities LITTLE ROCK CARDIOLOGY CLINIC PA 7 Shackleford West Blvd Little Rock AR 72211 710470243 16990 Support of research activities MAIMONIDES MEDICAL CENTER 4802 Tenth Ave Brooklyn NY 11219 111635081 501(c)(3) 25820 Support of research activities Mayo Clinic Arizona 13400 East Shea Blvd Scottsdale AZ 85259 860800150 501(c)(3) 37316 Support of research activities Mayo Clinic Florida 4500 San Pablo Rd Jacksonville FL 32224 593337028 501(c)(3) 6463 Support of research activities NATIONWIDE CHILDRENS HOSPITAL 700 Childrens Dr Columbus OH 43201 311036372 501(c)(3) 6359 Support of research activities NEW YORK UNIVERSITY 70 Washington Square South New York NY 10012 135562308 501(c)(3) 69477 Support of research activities NORTH CASCADE CARDIOLOGY PLLC 2979 Squalicum Parkway Suite 101 Bellingham WA 98225 911747914 9350 Support of research activities Northeast Missouri Health Council 1416 Crown Dr Kirksville MO 63501 431606173 501(c)(3) 19878 Support of research activities NORTHEASTERN ILLINOIS UNIVERSITY 5500 North St Louis Ave Chicago IL 60625 237034689 115 36264 Support of research activities PROVIDENCE HEALTH ALLIANCE 3rd Floor - Medical Plaza 6901 Medical Parkway Suite 301A Waco TX 76712 742696970 501(c)(3) 26200 Support of research activities RESEARCH SUPPORT SERVICES 906 Ridge Ave Evanston IL 60202 364289990 19392 Support of research activities RHODE ISLAND HOSPITAL 593 Eddy St Providence RI 02903 050258954 501(c)(3) 14590 Support of research activities SCRIPPS HEALTH 4275 Campus Point Ct San Diego CA 92121 951684089 501(c)(3) 7642 Support of research activities SEATTLE CHILDREN'S HOSPITAL 4800 Sand Point Way NE Seattle WA 98105 910564748 501(c)(3) 12281 Support of research activities Society for Research on Educational Effectiveness 2040 Sheridan Rd Evanston IL 60208 264739791 501(c)(3) 173906 Support of research activities STERN CARDIOVASCULAR FOUNDATION INC 8060 Wolf River Blvd Germantown TN 38138 274396698 15050 Support of research activities THE METROHEALTH SYSTEM 2500 MetroHealth Dr Cleveland OH 44109 346607695 501(c)(3) 5100 Support of research activities THE RAND CORPORATION 1776 Main St PO Box 2138 Santa Monica CA 90407 951958142 501(c)(3) 32525 Support of research activities TUFTS UNIVERSITY 200 Boston Avenue Medford MA 02155 042103634 501(c)(3) 33201 Support of research activities UNIV OF WISCONSIN MILWAUKEE 2200 E Kenwood Blvd PO Box 413 Milwaukee WI 53201 391805963 115 10284 Support of research activities UNIVERSITY HOSPITALS OF CLEVELAND 11100 Euclid Ave Cleveland OH 44106 341567805 9657 Support of research activities UNIVERSITY OF CONNECTICUT HEALTH CENTER 263 Farmington Ave Farmington CT 06030 366009515 115 16628 Support of research activities UNIVERSITY OF IOWA 100 Mossman Business Services Building Iowa City IA 52245 426004813 115 16096 Support of research activities UNIVERSITY OF NEBRASKA LINCOLN 1400 R Street Lincoln Lincoln NE 68588 470049123 115 589085 Support of research activities WILLIAM BEAUMONT HOSPITAL 3601 W Thirteen Mile Rd Royal Oak MI 48073 381459362 501(c)(3) 6400 Support of research activities Winthrop-University Hospital 259 First St Mineola NY 11501 111633486 501(c)(3) 16360 Support of research activities Best Practice Project Management Inc 7500 Old Georgetown Road Suite 601 Bethesda MD 20814 522337527 36657 Support of research activities 185 45 Student grants, scholarships, stipends, and fellowships are financial aid that can be used towards any type of educational related costs. 10431 194475820 Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 281 386624 Program-related investments: student loans 479 3173006 Other program-related investments 64 4090008 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Other Information: Part IV: Part III: Prizes and awards reflect prizes and awards extended to non-employees in recognition of an accomplishment, activity, or event. Prizes and awards given to employees are included as compensation and reported on an employee's Form W-2. Program-related investments: Long term student loan balances as of 8/31/2011 were $2,539,041 which represent outstanding loan balances of 204 individuals. Total short term and emergency student loans issued for the tax year were $633,965 which represent loans issued to 275 individuals. Other program-related investments reflects certain investment portfolio balances as of 8/31/2011. Such investment portfolios are managed by students enrolled in an asset management practicum under the guidance of faculty. X X X X X X 1 1 X X X X 0 0 0 0 0 0 0 1 0 Morton O Schapiro 738131 0 0 0 171295 0 174500 0 171727 0 1255653 0 0 0 Daniel I Linzer 439803 0 0 0 14148 0 24500 0 23197 0 501648 0 0 0 Eugene S Sunshine 698126 0 0 0 79716 0 24500 0 15027 0 817369 0 0 0 William J Banis 214931 0 0 0 1739 0 22540 0 14973 0 254183 0 0 0 Thomas G Cline 405214 0 0 0 17362 0 24500 0 16745 0 463821 0 0 0 Alan K Cubbage 232293 0 0 0 1866 0 23238 0 1133 0 258530 0 0 0 Jeffrey Glassroth 80097 818500 0 0 0 18004 9000 29400 16670 2439 105767 868343 0 0 J Larry Jameson 734427 710003 0 0 834 17842 15925 29400 15502 22478 766688 779723 0 107503 Marilyn McCoy 230759 0 0 0 17184 0 24500 0 16997 0 289440 0 0 0 William H McLean 544575 0 367154 0 159189 0 127571 0 26012 0 1224501 0 0 0 Sarah Risley Pearson 340972 0 0 0 18912 0 24500 0 23923 0 408307 0 0 0 Patricia H Todus 227873 0 0 0 18339 0 24500 0 23904 0 294616 0 0 0 Joseph T Walsh Jr 262243 0 0 0 1542 0 24500 0 58851 0 347136 0 0 0 Jeffrey C Miller 704870 0 0 0 16732 0 24334 0 7374 0 753310 0 0 0 Ronald Nayler 284265 0 5000 0 16964 0 27000 0 16171 0 349400 0 0 0 Patrick M McCarthy 187167 1777933 0 0 929 18125 14342 29400 936 15857 203374 1841315 0 0 H Huntington Batjer 125000 1104588 0 0 592 18913 12500 29400 682 22746 138774 1175647 0 0 Patrick W Fitzgerald II 1071692 0 110000 0 52874 0 24500 0 21685 0 1280751 0 0 0 Murad Alam 3000 1179922 0 0 0 189 180 29400 16 8602 3196 1218113 0 0 Steven T Rosen 762683 200868 200000 0 666 1290 20997 18856 1067 22746 985413 243760 0 0 Morteza A Rahimi 489006 0 0 0 141 0 24500 0 14789 0 528436 0 0 0 Lewis Landsberg 237369 53100 0 0 141 5686 24000 7200 905 18473 262415 84459 0 0 Part I, Line 1a Charter travel: Charter airplane travel was provided to six listed persons as a one-time round-trip travel service to attend the 2010 Outback Bowl in Tampa, Florida, where the University student football team competed. Pursuant to written University policy, the benefit was treated as a business expense and was not treated as taxable compensation. Travel for companions: Family members accompanied five listed persons to the Outback Bowl. Such costs were paid for directly by the individuals or imputed as taxable income. The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Tax gross-up payments: Four officers received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation. Housing allowance or residence for personal use: The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Three listed persons were provided with housing allowances and the amounts were treated as taxable compensation, and one listed person was provided temporary housing. Health or social club dues or initiation fees: The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. Two listed persons received reimbursements for social club initiation fees or dues and such amounts were treated as taxable compensation. Personal Services: In connection with the University provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit is apportioned between personal living quarters and public areas of the house, and the cleaning services associated with the personal living quarters are treated as taxable compensation. Part I, Line 7 One key employee received a non-fixed payment related to a recognition bonus. Illinois Educational Facilities Authority 521297563 4520018K9 2003-10-29 183530698 Refund bonds issued 5/13/97; acquire,construct,or renovate univ.facilities 0 0 0 Illinois Finance Authority 861091967 45200BFC7 2004-09-09 135800000 Acquire, construct or renovate University facilities 0 0 0 Illinois Finance Authority 861091967 45200BH50 2006-10-03 150740726 Refund bonds issued 12/3/97 0 0 0 Illinois Finance Authority 861091967 45200FKZ1 2008-06-25 125000000 Acquire, construct or renovate University facilities 0 0 0 194022795 1092348 158297067 2008 1 0 1 1 144677217 1039400 143637817 2008 0 0 1 1 150740726 1514655 0 1 1 1 126815680 1250000 125565680 2011 0 0 1 1 0 1 1 1 0 0.00000 0.00000 0.00000 1 0 1 1 1 0 0.00000 0.00000 0.00000 1 0 1 1 1 0 0.00000 0.00000 0.00000 1 0 0 0 0 0.00000 0.00000 0.00000 1 0 0 0 0 0 0 1 1 1 Morgan Stanley and other banks 24.000000000000 0 0 0 1 0 0 0 0 0 0 0 0 1 1 Morgan Stanley and other banks 24.000000000000 0 0 0 0 0 Part I, column (c) Bond issues; CUSIP # The following bond issuances are associated with additional CUSIP numbers as noted: (B) IFA-Series 2004 CUSIP #45200BFD5; (D) IFA-Series 2008 CUSIP #45200FLA5, and #45200FLB3. Part III, line 3c Private Business Use The University engages bond counsel and performs a review of management or services contracts and research agreements at the time of any new bond issuances, generally every two years. At that time, all existing bond issuances and private use are re-examined and re-documented. The University monitors private use changes internally on an ongoing basis. Part IV, line 3 Arbitrage; name of provider and term of hedge Hedge providers and terms of hedges for bonds (B) IFA-Series 2004 and (D) IFA-Series 2008 are as follows: Morgan Stanley Capital Services, 4 and 24 years; Bank of America, 4 and 24 years; JP Morgan, 4 and 24 years. Part II, line 9 Bond (A) Form 8038 Bond (A) IEFA-Series 2003 bond proceeds were used in part to refund 1993 bonds on December 1, 2003, and therefore represent a current refunding of the 1993 bonds. Form 8038 line 27 states that it is a current refunding; however, there is a typographical error on line 35 indicating a final 1993 bond call date of December 1, 2013. The correct date is December 1, 2003; the issuer filed an amended Form 8038 in November, 2011,to correct this error. Part II, line 9 Bond (C) Form 8038 Bond (C) IFA-Series 2006 bonds were issued to refund bonds issued December 3, 1997. Form 8038 incorrectly identified the costs of issuance on line 30 as non-refunding proceeds of the issue; these proceeds should be reflected on line 24. There were no non-refunding proceeds of the 2006 issue; the issuer filed an amended Form 8038 in November, 2011, to correct this error. Part III, line 4 Funding sources and private usage The University finances acquisition, construction, or renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private use within the facilities partially financed by bonds, however such usage was financed from other sources. Part IV, line 5 Gross proceeds investment period As disclosed on the Form 8038-T filed November 2009 for Bond (B) IFA-Series 2006, gross proceeds were invested beyond an available temporary period and the University calculated and made a yield reduction payment in the amount of $310,118. Part II, line 3 Issue price and proceeds of Bonds (A), (B), (D) The difference between issue price and proceeds of Bonds (A), (B), and (D) are due to investment income earned on unspent proceeds of IEFA-Series 2003, IFA-Series 2004 and IFA-Series 2006 bonds, respectively. Patrick Fitzgerald II Compensation package X 2500000 2500000 0 1 1 Robert McQuinn Compensation package X 130000 131752 0 1 1 Robert McQuinn Compensation package X 50000 50700 0 1 1 2682452 na n/a 1333 merit-based scholarship na n/a 60004 research grant Northern Trust Nicholas D Chabraja,Trustee; was serving as a bank director 972096 Bank and investment transaction fees less interest earned from bank 0 Technology Crossover Ventures Jay C. Hoag, Trustee; partner w/ ownership interest over 5% 266348 Investment in two venture capital funds: Technology Crossover Ventures VI and VIIA 0 Rndtable Hlthcare Ptnrs Lester B. Knight, Trustee; was serving as a director 5499657 Investment in three private equity funds: Roundtable Healthcare Partners, Roundtable Healthcare Partners II and III 0 Aon Corporation Lester B. Knight, Trustee; was serving as a director 400205 Insurance broker 0 Thoma Cressey Fd Lee. M. Mitchell, Trustee; partner w/ ownership interest over 5% 10859510 Investment in four private equity funds: Thoma Cressey Fund VI, VII, and VIII, and Thoma Bravo Fund IX 0 Madison Dearborn John A. Canning, Jr., Trustee; partner w/ ownership interest over 5% 13894191 Investment in four private equity funds: Madison Dearborn III, IV, V and VI. 0 Madison Dearborn Timothy P. Sullivan, Trustee; was serving as managing director 13894191 Investment in four private equity funds: Madison Dearborn III, IV, V and VI. 0 New Enterprise Associates Peter J. Barris, Trustee; partner w/ ownership interest over 5% 1623834 Investment in six venture capital funds: NEA VIII, VIIIA, IX, X, XI, and XII. 0 NanoInk Inc Ann Lurie, Trustee; direct and indirect ownership interest over 35% 136795 License of intellectual property 0 Charlotte Cubbage Family member of Alan K. Cubbage, Officer 70240 Employment 0 Jennifer Linzer Family member of Daniel I. Linzer, Officer 37627 Employment 0 Jennifer Cline Family member of Thomas G. Cline, Officer 18450 Employment 0 Schedule L, Part IV Amounts reflected with respect to the business transaction to Technology Crossover Ventures represent capital gains less venture capital purchases during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to Roundtable Healthcare Partners represent capital gains less fees, expenses, and private equity purchases during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to Thoma Cressey Funds represent capital gains and income less expenses and private equity purchases during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to Madison Dearborn represent capital gains and income less fees, expenses, and private equity purchases during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to New Enterprise Associates represent capital gains less venture capital purchases during the tax year. Schedule L, Part IV Investment of University assets are monitored by an Investment Committee of the Board of Trustees and governed by an Investment Policy, which includes a conflict of interest policy. That policy establishes criteria under which any investments will be made. Among other things, affected Trustees must recuse themselves of any vote related to the investment. Schedule L, Part III Grants or assistance benefitting interest persons weere given pursuant to objective criteria. X 12 111744 FMV on date of gift X 215801 FMV on date of gift X 2307 FMV on date of gift X 409 26999947 Proceeds from sale X 7 9821 FMV on date of gift X Event/tickets 32 79018 FMV on date of gift X Equip/softwre 25 459676 FMV on date of gift 1 0 1 0 Method for Determining Number of Contributors: Part I, Column (b): The amounts reported represent the number of contributions received; each contribution may represent one or more items. Form 990, Part VI, Section A, line 2 Business Relationships: John A. Canning, Jr. and T. Bondurant French John A. Canning, Jr. and Lester B. Knight John A. Canning, Jr. and Timothy P. Sullivan John A. Canning, Jr. and Eugene Sunshine Lester B. Knight and Patrick G. Ryan Lester B. Knight and William A. Osborn Lester B. Knight and T. Bondurant French Lester B. Knight and A. Steven Crown Lester B. Knight and M. Jude Reyes Lester B. Knight and William Wrigley, Jr. Form 990, Part VI, Section A, line 2 Business Relationships continued: Edward M. Liddy and D. Gidean Searle Edward M. Liddy and Miles D. White William A. Osborn and Edward M. Liddy William A. Osborn and Nicholas D. Chabraja William A. Osborn and Miles D. White M. Jude Reyes and A. Steven Crown Family Relationships: Patrick G. Ryan and Patrick G. Ryan, Jr. Form 990, Part VI, Section B, line 11 A hard copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was reviewed by the Committee on Audit of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University. Form 990, Part VI, Section B, line 12c University ByLaws and Statutes, which have been adopted by the Board of Trustees, require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the Board of Trustees in writing. An Officer shall call any conflict of interest to the attention of the President. If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees or other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when the his/her knowledge of the subject will assist the Board or any of its committees. Potential conflicts of interest of Trustees and Officers are reviewed by the University's General Counsel. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed. Form 990, Part VI, Section B, line 15 The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the Compensation Committee of the Board relies on formal surveys and comparability data prepared and compiled by outside consultants who have expertise in the field of executive compensation assessment and benchmarking. The Compensation Committee of the Board met in June 2009 to review and approve fiscal year 2010 (September 1, 2009 to August 31, 2010) salaries and met in June 2010 to review and approve fiscal year 2011 (September 1, 2010 to August 31, 2011) salaries. Actions undertaken by the Compensation Committee of the Board are contemporaneously documented in the minutes of each meeting. Compensation Committee of the Board reviewed and approved compensation of all current officers listed in Part VII, Section A with the exception of Jeffrey Glassroth. Mr. Glassroth served as interim Vice President for Medical Affairs from July 1, 2011 to August 31, 2011. The Committee reviewed and approved compensation of all current key employees listed in Part VII, Section A with the exception of Jeffrey Miller, who served as Vice Dean and Chief Operating Officer of Feinberg School of Medicine in 2010. 2010 compensation for Mr. Glassroth and Mr. Miller were reviewed and approved by the Vice President for Medical Affairs and Dean of the Feinberg School of Medicine. Form 990, Part VI, Section C, line 19 Governing documents: The University maintains an Office for University Relations where information requests from the public are processed. Conflict of Interest Policies: The University's conflict of interest policy for faculty and staff is posted on the University's website. Additional detail policies, including the trustee policy, are available upon request. Financial Statements: The University's annual audited consolidated financial statements are available as pdf documents to be downloaded on demand from the University website. Local chapters, branches, or affiliates Form 990, Part VI, Line 10 The University does not have local chapters, branches, lodges, units or similar affiliates. As described in Schedule F, the University has one international campus located in Doha, Qatar. The University has a number of affiliation agreements and arrangements with other research and educational institutions but the University does not have authority to exercise supervision and control of such institutions. Whistleblower Policy Form 990, Part VI, Line 13 The University's whistleblower policy has not been adopted by the Board of Trustees but is applicable to staff and faculty. Document Retention and Destruction Policy Form 990, Part VI, Line 14 The University's written document retention and detruction policy has not been adopted by the Board of Trustees but is applicable to staff and faculty. Joint Venture Arrangements Form 990, Part VI, Line 16b The University does not have a written policy regarding joint ventures in general. However, joint ventures are reviewed by the University's Office of General Counsel to evaluate whether the arrangement furthers the mission of the University and to ensure the safeguarding of University's assets. The University also has guidelines concerning joint ventures in its technology transfer and investments policies. Average hours per week devoted to related organizations Part VII The following individuals listed in column A work an estimated average hours per week for duties at Northwestern Medical Faculty Foundation, which bases hours devoted to that organization on a 60-hour work week: J. Larry Jameson, 30 hours Patrick M. McCarthy, 54 hours Huntington H. Batjer, 54 hours Murad Alam, 60 hour Steven T. Rosen, 10 hours Lewis Landsberg, 12 hours Jeffrey Glassroth, 55 hours Reconciliation of net assets Part XI, line 5 Other changes in net assets reflects unrealized net gains (losses) on investments. Rubicon Insurance Company 2020 Ridge Ave Evanston IL 60208 363694409 Providing medical malpractice coverage IL 501(c)(3) 11b Northwestern University 1 Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago IL 60611 363097297 Patient care, teaching IL 501(c)(3) 9 Northwestern University 1 Students Publishing Company 1999 Sheridan Rd Evanston IL 60208 366002654 Publishes student periodicals IL 501(c)(3) 11a 0 Mcgaw Medical Center of Northwestern University 420 E Superior St Chicago IL 60611 362656113 Coordination of medical residents IL 501(c)(3) 11a 0 Northwestern Global Health Foundation PO Box 1969 Evanston IL 60204 273159956 Developing medical devices for people in need in developing countries IL 501(c)(3) Line 9 Northwestern University 1 The Big Ten Conference Inc 1500 W Higgins Rd Park Ridge IL 60068 363640583 Facilitate quality intercollegiate athletic competition IL 501(c)(3) 11b 0 Northwestern University Employees Benefit Trust PO Box 803878 Northern Trust at Tru Chicago IL 60680 363180819 Providing health insurance benefits to current and former eligible employees IL 501(c)(9) Northwestern University 1 Northwestern University Employees Benefit Trust Dental PO Box 803878 Northern Trust at Tru Chicago IL 60680 363591834 Providing health insurance benefits to current and former eligible employees IL 501(c)(9) Northwestern University 1 Bensell US Feeder LP 50 Lothian Rd Festival Square Edinburgh UK EH3 9WJ 980492320 Investments UK investment 682543 12584762 0 0 0.56000 125 Charitable Remainder UniTrusts IL T 23 Charitable Remainder Annuity Trusts IL T 0 0 1 0 0 0 0 0 1 0 0 0 0 1 1 1 1 1 Rubicon Insurance Company P 130752 Rubicon Insurance Company Q 5402509 Northwestern Medical Faculty Foundation P 6839264 Northwestern Medical Faculty Foundation Q 2004235 Northwestern Medical Faculty Foundation R 45630628 Northwestern Global Health Foundation Q 1322589 Northwestern University Employees Benefit Trust Q 33455772 Northwestern University Employees Benefit Trust Dental Q 2485655 Identification of Related Tax-Exempt Organizations Schedule R, Part II Northwestern Medical Faculty Foundation is included as a "related organization" because under its current bylaws, its clinical department chairs comprise a majority of its directors. These individuals are also employed as chairs of the corresponding academic departments within the Feinberg School of Medicine of Northwestern University. However, the two organizations do not stand in the roles of parent and subsidiary. They are separate legal entities, and Northwestern Medical Faculty Foundation is not subject to control by Northwestern University or vice-versa. Charitable Remainder Trusts Schedule R, Part IV The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois.