2012-08-09T16:40:52-05:00 2011-09-30 PricewaterhouseCoopers LLP 125 High Street Boston MA 02110 990 2010-10-01 951643307 California Institute of Technology CALI 6263956744 1200 E California Blvd Pasadena CA 91125 MATTHEW BREWER 2012-08-09 6175305000 2010 2016-02-24 21:20:13Z JEAN-LOU A CHAMEAU 1200 E CALIFORNIA BLVD pasadena CA 91125 2811542000 false X www.caltech.edu X 1891 CA SEE SCHEDULE O 60 55 12389 327 -1679000 -5657720 398100000 411867000 1837834000 1734463000 114397000 84832000 37770000 26317000 2388101000 2257479000 64528000 70392000 0 0 1154734000 1208877000 0 0 8236000 1122776000 993081000 2342038000 2272350000 46063000 -14871000 3625352000 3552407000 1469581000 1509729000 2155771000 2042678000 X SEE SCHEDULE O false false 289576000 70317000 134927000 INSTRUCTION AND ACADEMIC SUPPORT AT THE CAMPUS. 304844000 0 18397000 ORGANIZED RESEARCH AT THE CAMPUS. 1567287000 0 1567287000 Sponsored research at the Jet Propulsion Laboratory. 21525000 75000 13852000 2183232000 true true false true false false true true true true true false false true true true false true true true false false false false false false true true true true false false false false false true true false true false true true false false true true true false false false true X 2629 0 true 12389 true true true true CI SZ false false false false false false false false X 60 55 true false false false false false false true true false false true true true true true true true true false CA IL X MATTHEW W BREWER 6263958818 1200 E CALIFORNIA BLVD pasadena CA 91125 X Gordon M Binder 1.0 X 0 0 0 Robert C Bonner 1.0 X 0 0 0 Brigitte M Bren 1.0 X 0 0 0 Harold Brown 1.0 X 0 0 0 John E Bryson 1.0 X 0 0 0 Milton M Chang 1.0 X 0 0 0 John S Chen 1.0 X 0 0 0 Robert B Chess 1.0 X 0 0 0 William H Davidow 1.0 X 0 0 0 Lounette M Dyer 1.0 X 0 0 0 Gilad I Elbaz 1.0 X 0 0 0 Thomas E Everhart 1.0 X 0 0 0 JOSHUA S FRIEDMAN 1.0 X 0 0 0 Arthur L Goldstein 1.0 X 0 0 0 William T Gross 1.0 X 0 0 0 NARENDRA K GUPTA 1.0 X 0 0 0 Frederick J Hameetman 1.0 X 0 0 0 Sidney Harman 1.0 X 0 0 0 Shirley M Hufstedler 1.0 X 0 0 0 Bobby R Inman 1.0 X 0 0 0 Robert T Jenkins 1.0 X 0 0 0 Peter D Kaufman 1.0 X 0 0 0 Jon Faiz Kayyem 1.0 X 0 0 0 Louise Kirkbride 1.0 X 0 0 0 Kent Kresa 1.0 X 0 0 0 Jon B Kutler 1.0 X 0 0 0 Louis J Lavigne Jr 1.0 X 0 0 0 David L Lee 1.0 X 0 0 0 York Liao 1.0 X 0 0 0 Alexander Lidow 1.0 X 0 0 0 Ronald K Linde 1.0 X 0 0 0 A Michael Lipper 1.0 X 0 0 0 Shirley M Malcom 1.0 X 0 0 0 Deborah D McWhinney 1.0 X 0 0 0 Richard N Merkin 1.0 X 0 0 0 Elon R Musk 1.0 X 0 0 0 Philip M Neches 1.0 X 0 0 0 Patrick H Nettles Jr 1.0 X 0 0 0 Peter Norton 1.0 X 0 0 0 Ronald L Olson 1.0 X 0 0 0 Stephen R Onderdonk 1.0 X 0 0 0 Pedro J Pizarro 1.0 X 0 0 0 Stanley R Rawn Jr 1.0 X 0 0 0 Stewart A Resnick 1.0 X 0 0 0 Sally K Ride 1.0 X 0 0 0 Nelson C Rising 1.0 X 0 0 0 Stephen A Ross 1.0 X 0 0 0 James F Rothenberg 1.0 X 0 0 0 Kevin W Sharer 1.0 X 0 0 0 Marc I Stern 1.0 X 0 0 0 Donald W Tang 1.0 X 0 0 0 Charles R Trimble 1.0 X 0 0 0 Lewis W van Amerongen 1.0 X 0 0 0 Walter L Weisman 1.0 X 0 0 0 Virginia V Weldon 1.0 X 0 0 0 Gayle E Wilson 1.0 X 0 0 0 Jay S Wintrob 1.0 X 0 0 0 RICHMOND A WOLF 1.0 X 0 0 0 Suzanne H Woolsey 1.0 X 0 0 0 JEAN-LOU A CHAMEAU 40.0 X X 739594 0 88206 MATTHEW W BREWER 40.0 X 183767 0 34296 DEAN CURRIE 40.0 X 518684 0 56183 PETER B DERVAN 40.0 X 268659 0 61566 CHARLES ELACHI 40.0 X 807365 0 50100 PETER D HERO 40.0 X 443005 0 54312 MADELINE WAY LEE 32.0 X 131286 0 32520 JENNIFER THERESA LUM 40.0 X 158498 0 42505 SHARON E PATTERSON 40.0 X 305315 0 37350 SCOTT H RICHLAND 40.0 X 120351 0 14811 ANNEILA I SARGENT 40.0 X 303197 0 56894 EDWARD M STOLPER 40.0 X 468000 0 52152 VICTORIA D STRATMAN 40.0 X 374572 0 55233 MARY L WEBSTER 40.0 X 207611 0 42565 Dale M Johnson 40.0 X 344939 0 45174 Firouz M Naderi 40.0 X 335144 0 47673 EUGENE L TATTINI 40.0 X 504923 0 43034 CHRISTOPHER E BRENNEN 40.0 X 664080 0 47542 SANDRA A ELL 40.0 X 902252 0 48781 SAMAD A HAYATI 40.0 X 499093 0 36092 JERROLD E MARSDEN 40.0 X 741956 0 31899 JAMES F WOODWARD 40.0 X 698302 0 50287 DAVID BALTIMORE 40.0 X 383543 0 59170 JOHN F HALL 40.0 X 166978 0 36772 ROBERT MCQUINN 40.0 X 176457 0 33809 ROBERT L O ROURKE 40.0 X 138444 0 40317 10586015 0 1199243 3785 true true false Lockheed Martin Corporation 2401 e el segundo blvd 6th EL SEGUNDO CA 902454655 Aerospace 175252210 itt corporation 5009 centennial blvd COLORADO SPRINGS CO 809162153 OPERATING DSN 57309373 blue cross of california 21555 oxnard street ac-106 WOODLAND HILLS CA 913674943 healthcare 69807108 lockheed martin integrated systems 7375 executive place SEABROOK MD 207062278 aerospace 33049208 TIAA 730 THIRD AVE NEW YORK NY 10017 BENEFITS/INSURANCE 150347753 853 319428000 92439000 7947717 411867000 JPL AND OTHER AWARDS 900099 1621590000 1621590000 STUDENT TUITION 611600 76834000 76834000 USE OF FACILITIES 900099 22187000 22187000 AUXILIARY ENTERPRISES 900099 13852000 10116000 3736000 1734463000 18151000 -5717000 23868000 0 13154000 13154000 249000 92000 157000 157000 157000 614925000 1292000 548165000 1371000 66760000 -79000 66681000 275000 66406000 0 0 17414000 4435000 12979000 12979000 ADVERTISING AND FILMING 900099 27000 27000 27000 2257479000 109137000 -1679000 1738154000 7575000 7575000 62817000 62817000 0 0 6933000 2690000 3544000 699000 4449000 3146000 1303000 951844000 916006000 31730000 4108000 88534000 84951000 2951000 632000 97933000 86395000 10240000 1298000 59184000 56789000 1973000 422000 0 10039000 5774000 4265000 907000 907000 200000 200000 0 5551000 5551000 15673000 12112000 3297000 264000 189000 153000 19000 17000 273491000 265466000 7688000 337000 2933000 615000 2277000 41000 159000 141000 18000 57407000 55717000 1657000 33000 46366000 45340000 756000 270000 0 1727000 1381000 318000 28000 8140000 7896000 235000 9000 0 59830000 58035000 1726000 69000 7855000 7619000 227000 9000 CONTRACT SERVICES 499197000 499197000 JPL POST EMPLYMNT OBLIGATION 3417000 3417000 2272350000 2183232000 80882000 8236000 363880000 196880000 131969000 72321000 208047000 206883000 350000 350000 1073859 1093083 556644000 588247000 1507218000 647845000 847206000 859373000 592368000 646692000 895075000 949970000 28739141 30597917 3625352000 3552407000 409800000 403924000 20032000 26805000 375307000 375518000 72980000 71682000 51830000 64130000 539632000 567670000 1469581000 1509729000 X 692704000 593331000 700740000 634874000 762327000 814473000 2155771000 2042678000 3625352000 3552407000 X -14871000 -98222000 X false true true X true true X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false true false false false true 200000 true 172000 false true 372000 false lobbying activity explanation schedule C, part II-B THE INSTITUTE RETAINS A CONSULTING FIRM TO MONITOR LEGISLATIVE DEVELOPMENTS AND TO COUNSEL IT ON GOVERNMENT RELATIONS MATTERS. THE CONSULTANT MAY ESTABLISH DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, AND LEGISLATIVE BODIES AND ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED COMMuNICATION WHICH ATTEMPTS TO INFLUENCE LEGISLATION. FURTHER, THE INSTITUTE'S STAFF IN THE COURSE OF NECESSARY COMMUNICATIONS WITH GOVERNMENT OFFICIALS AND INFORMATIONAL PUBLIC EDUCATION ACTIVITIES, MAY FROM TIME TO TIME ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED TO INFLUENCE LEGISLATION. TOTAL LOBBYING EXPENDITURES INCLUDE THE TOTAL OF ALL EXPENDITURES IN ALL ACCOUNTS THAT MAY POTENTIALLY HAVE ANY RELATIONSHIP TO LOBBYING. THIS AMOUNT INCLUDES THE ENTIRE EXPENDITURES OF THE INSTITUTE'S OFFICE OF GOVERNMENT RELATIONS, OF WHICH ONLY A FRACTION IS EXPENDED FOR LOBBYING ACTIVITIES. THE INSTITUTE IS A MEMBER OF CERTAIN PROFESSIONAL AND ACADEMIC ORGANIZATIONS THAT HAVE EMPLOYEES REGISTERED TO LOBBY ON BEHALF OF MEMBERSHIP. ALTHOUGH A SMALL PORTION OF THE INSTITUTE'S MEMBERSHIP DUES MAY BE USED FOR LOBBYING, THE AMOUNT IS IMMATERIAL. CALTECH'S MEMBERSHIP IN THESE ORGANIZATIONS IS FOR THE PURPOSE OF HAVING ACCESS TO THE MOST CURRENT INFORMATION ON GOVERNMENT AND BUSINESS DEVELOPMENTS AS THEY RELATE TO COLLEGES AND UNIVERSITIES AND NOT FOR ANY LOBBYING EFFORT. X X false false true 1631959000 106064000 -10788000 13767000 75029000 14108000 1624331000 1507019000 81279000 151556000 15015000 73401000 19479000 1631959000 1659458000 75041000 -125638000 19010000 82832000 1507019000 0.32300 0.65900 0.01800 false false 37738000 37738000 858145000 299871000 558274000 498776000 347974000 150802000 112559000 112559000 859373000 MARKETABLE ALTERNATIVES 529537000 F PRIVATE EQUITY 192822000 F REAL ASSETS 227611000 F 949970000 0 ACCUMULATED POST RET. BENEFIT 567670000 567670000 2257479000 2272350000 -14871000 -105719000 7497000 -98222000 -113093000 2104558000 -105719000 -51637000 -157356000 2261914000 -4435000 -4435000 2257479000 2225148000 8752000 8752000 2216396000 5551000 50403000 55954000 2272350000 FORM 990, SCHEDULE D, PART III, LINE 1a The Institute does not capitalize its collection items. Due to the immateriality of the effect of collections practices on its financial statements, the Institute does not disclose its collections policies. FORM 990, SCHEDULE D, PART III, LINE 4 CALTECH MAINTAINS A COLLECTION OF INSTITUTIONAL RECORDS, DOCUMENTs, ARTIFACTS, and SPECIMENS FOR HISTORICAL PRESERVATION, INSTRUCTION, AND SCHOLARLY RESEARCH. FORM 990, SCHEDULE D, PART IV, LINE 2B The Institute holds donor annuities and trust agreements and manages investment funds for others, such as related organizations. The Institute does not own the funds associated with these programs. FORM 990, SCHEDULE D, PART V, LINE 4 The Institute's endowment functions to provide income to support the Institute's mission of scientific research and education. Form 990, Schedule D, Part VII, Line 3(A) Marketable Alternatives include, but are not limited to, substantial holdings of securities that are illiquid and/or contain various redemption restrictions. FORM 990, SCHEDULE D, PART X, LINE 2 THE INSTITUTE IS GENERALLY EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF INTERNAL REVENUE CODE ("IRC") SECTION 501(C)(3). THE INSTITUTE IS ALSO GENERALLY EXEMPT FROM PAYMENT OF CALIFORNIA STATE INCOME, GIFT, ESTATE, AND INHERITANCE TAXES. THE INSTITUTE HAS NO UNCERTAIN TAX LIABILITIES. FORM 990, SCHEDULE D, PART XI, LINE 8 CHANGE IN POST EMPLOYMENT BENEFIT OBLIGATIONS $7,497,000 FORM 990, SCHEDULE D, PART XII, LINE 2D RECLASSify FINANCIAL AID NETTED WITH TUITION ($46,086,000) INVESTMENT EXPENSE ($5,551,000) TOTAL ($51,637,000) FORM 990, SCHEDULE D, PART XII, LINE 4B COST OF GOODS SOLD ($8,752,000) RECLASSification OF INTERNAL SALES $4,317,000 Total ($4,435,000) FORM 990, SCHEDULE D, PART XIII, LINE 2D COST OF GOODS SOLD $8,752,000 FORM 990, SCHEDULE D, PART XIII, LINE 4B RECLASSification of INTERNAL SALES $ 4,317,000 FINANCIAL AID EXPENSE $46,086,000 Total $50,403,000 true true true true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 THE INSTITUTE'S RACIALLY NONDISCRIMINATORY POLICY IS CONTAINED IN THE MINUTES OF THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES OF FEBRUARY 1976. THE STATEMENT OF THIS POLICY OR REFERENCE THERETO APPEARS IN ALL OF THE INSTITUTE'S CATALOGS, BROCHURES, AND OTHER WRITTEN COMMUNICATIONS WITH THE PUBLIC DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS. THE INSTITUTE SATISFIED THE PUBLICATIONS REQUIREMENT BY VIRTUE OF ITS COMPLIANCE WITH SECTION 4.02 AS PROVIDED IN SECTION 4.03-2(B). SCHEDULE E, LINE 6A THE INSTITUTE RECEIVES GRANTS AND ENTERS INTO CONTRACTS WITH VARIOUS AGENCIES OF THE U.S. GOVERNMENT, THE STATE OF CALIFORNIA, AND LOCAL GOVERNMENT UNITS FOR RESEARCH, TRAINING, AND STUDENT AID. Central America and the Caribbean 0 0 Program Services scientific research 0 North America 0 0 Program Services scientific research 0 North America 0 0 Investments 402253 Sub-Saharan Africa 0 0 Program Services SCIENTIFIC RESEARCH 0 Central America and the Caribbean 0 0 Investments 510306758 Europe (Including Iceland and Greenland) 1 10 Program Services SCI. RESEARCH & EDUC. 0 Europe (Including Iceland and Greenland) 0 0 Investments 1018067 Russia and the Newly Independent States 0 0 Program Services SCIENTIFIC RESEARCH 0 South America 1 1 Program Services SCI. RESEARCH & EDUC. 0 South Asia 0 0 Program Services SCIENTIFIC RESEARCH 0 East Asia and the Pacific 0 0 Program Services SCIENTIFIC RESEARCH 0 Middle East and North Africa 0 0 Program Services SCIENTIFIC RESEARCH 0 2 11 2 11 511727078 511727078 true false true true true true Form 990, schedule f, Part I, line 2 Grants or assistance to foreign individuals consists of financial aid provided to institute students who study in a foreign country. the institute offices that coordinate foreign study monitor the students' satisfactory academic progress. Form 990, schedule f, Part I, line 3(f) The Institute has reported activities in various regions based on a general understanding of its activities in those regions. Pursuant to an IRS FAQ document, the Institute's current accounting procedures do not track expenditures related to activities in other countries separately and therefore such expenditures have not been recorded in column (f). true CALTECH Y 1200 E CALIFORNIA BLVD PASADENA CA 91125 951684790 501(C)(3) 75000 ASSIST RELATED ORG. TMT OBSERVATORY CORPORATION 1111 S ARROYO PKWY PASADENA CA 91105 200988966 501(c)(3) 7500000 Scientific Collab. 2 0 student aid 1666 62817000 form 990, schedule i, part i, line 2 THE INSTITUTE'S GRANTS AND ASSISTANCE WITHIN THE UNITED STATES CONSISTS PRIMARILY OF SCHOLARSHIPS AND FELLOWSHIPS AWARDED TO STUDENTS. STUDENTS ARE SELECTED FOR SCHOLARSHIPS AND FELLOWSHIPS BASED ON ACADEMIC ACHIEVEMENT, FINANCIAL NEED, AND SIMILAR STANDARDS. VARIOUS INSTITUTE OFFICES MONITOR ELIGIBILITY AND SATISFACTORY ACADEMIC PROGRESS BY GRANTEES. THE INSTITUTE MAKES AN ANNUAL $75,000 GRANT TO THE CALTECH Y. IN ADDITION, THE INSTITUTE ALLOWS THE CALTECH Y THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH Y IS A RELATED ORGANIZATION WHOSE MISSION IS TO SUPPORT THE STUDENTS OF CALTECH THROUGH VARIOUS ACTIVITIES. THE INSTITUTE ALLOWS THE CALTECH ALUMNI ASSOCIATION THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH ALUMNI ASSOCIATION IS A RELATED ORGANIZATION WHOSE MISSION IS TO PROVIDE EDUCATIONAL AND OTHER PROGRAMS FOR CALTECH ALUMNI AND STUDENTS. TMT DEVELOPMENT CORPORATION COLLABORATES WITH THE INSTITUTE ON THE THIRTY METER TELESCOPE PROJECT. THE INSTIUTE ALLOWS THE CHILDREN'S CENTER AT CALTECH THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CHILDREN'S CENTER IS AN UNRELATED NONPROFIT ORGANIZATION WHOSE MISSION IS TO PROVIDE CHILD CARE SERVICES TO PARENTS THAT LIVE IN THE VICINITY OF CALTECH OR ARE EMPLOYED BY CALTECH. INSTITUTE OFFICES MONITOR THE GRANTEE'S PERFORMANCE ACCORDING TO THEIR RESPECTIVE PROGRAM SERVICES GOALS AND/OR PURSUANT TO OTHER AGREEMENTS. FORM 990, SCHEDULE I, PART III, COLIMN (C) CASH GRANTS REPRESENT CREDIT ON ACCOUNTS. X X X true true X X X false false false false false false false true true true JEAN-LOU A CHAMEAU 723094 0 0 0 16500 0 38012 0 50194 0 827800 0 0 0 MATTHEW W BREWER 173767 0 10000 0 0 0 19252 0 15044 0 218063 0 0 0 DEAN CURRIE 506594 0 0 0 12090 0 38012 0 18171 0 574867 0 0 0 PETER B DERVAN 260328 0 0 0 8331 0 38012 0 23554 0 330225 0 0 0 CHARLES ELACHI 479570 0 327795 0 0 0 38012 0 12088 0 857465 0 0 0 PETER D HERO 394054 0 0 0 48951 0 38012 0 16300 0 497317 0 0 0 MADELINE WAY LEE 131286 0 0 0 0 0 13423 0 19097 0 163806 0 0 0 JENNIFER THERESA LUM 158498 0 0 0 0 0 19296 0 23209 0 201003 0 0 0 SHARON E PATTERSON 268020 0 0 0 37295 0 28212 0 9138 0 342665 0 0 0 ANNEILA I SARGENT 303197 0 0 0 0 0 38012 0 18882 0 360091 0 0 0 EDWARD M STOLPER 451500 0 0 0 16500 0 38012 0 14140 0 520152 0 0 0 VICTORIA D STRATMAN 348614 0 0 0 25958 0 38012 0 17221 0 429805 0 0 0 MARY L WEBSTER 192011 0 0 0 15600 0 31757 0 10808 0 250176 0 0 0 Dale M Johnson 321404 0 3000 0 20535 0 28212 0 16962 0 390113 0 0 0 Firouz M Naderi 315644 0 3000 0 16500 0 38012 0 9661 0 382817 0 0 0 EUGENE L TATTINI 366378 0 122045 0 16500 0 38012 0 5022 0 547957 0 0 0 CHRISTOPHER E BRENNEN 36836 0 0 0 627244 0 38909 0 8633 0 711622 0 0 0 SANDRA A ELL 279756 0 0 0 622496 0 41175 0 7606 0 951033 0 0 0 SAMAD A HAYATI 152888 0 0 0 346205 0 32301 0 3791 0 535185 0 0 0 JERROLD E MARSDEN 150494 0 0 0 591462 0 23860 0 8039 0 773855 0 0 0 JAMES F WOODWARD 105994 0 0 0 592308 0 31683 0 18604 0 748589 0 0 0 DAVID BALTIMORE 339719 0 0 0 43824 0 38012 0 21158 0 442713 0 0 0 JOHN F HALL 160378 0 0 0 6600 0 24932 0 11840 0 203750 0 0 0 ROBERT MCQUINN 165377 0 0 0 11080 0 22262 0 11547 0 210266 0 0 0 ROBERT L O ROURKE 138444 0 0 0 0 0 20912 0 19405 0 178761 0 0 0 form 990, schedule j, part i, line 1a first class travel: Pursuant to a written policy, first class travel is permitted for certain senior officers for business purposes. Travel for business purposes is not included in taxable wages. Companion Travel: Pursuant to the individual's employment agreement and a written policy, spouses of certain senior officers are permitted to travel with the officer if a business purpose exists. Spousal travel for business purposes is not included in taxable wages. Housing Allowance: Housing allowances are provided to certain officers, former officers, and highest compensated employees as part of the Institute's Salary Supplement Housing Program, which is governed by a written policy. Payments under this program are included in taxable wages. The President occupies an Institute-owned residence on its campus as a condition of employment for the convenience of the Institute. The President's nontaxable benefits in Schedule J-1, Part I, Column (D) include $31,231 as an estimate of the value of the personal space occupied in that residence. Schedule J-1, Part I, column B(iii) includes compensation of $598,304 paid to Sandra A. Ell, $584,652 paid to Jerrold E. Marsden, $563,162 paid to James F. Woodward, $610,744 paid to Christopher E. Brennen, and $281,230 paid to Samad A. Hayati in 2010 under the Institute's early retirement plan for faculty and staff. form 990, schedule j, part i, line 7 Certain individuals listed in Part I of Schedule J-1 received bonuses in recognition of excellent job performance or as a negotiated payment at the beginning of an employment contract. Bonus recipients' names and amounts paid are shown in schedule J-1, part I, column (ii). form 990, schedule j, part i, line 8 & 9 Scott H. Richland - Chief Investment Officer Mr. Richland's initial employment contract describes his initial compensation and benefits. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130178EZ5 2006-07-12 165000000 CONSTRUCTION AND REFUNDING false false false CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 13018B9AA 2009-07-28 100000000 CONSTRUCTION false false false CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130178TE6 2009-07-28 80696800 CONSTRUCTION false false false 170500611 4879870 70451312 1340480 93471835 5236984 2010 false true true true 12400000 12400000 2010 false false false true 80796565 992698 79803867 2010 false false true true false true false true true 0.02000 0.00000 0.02000 true false true true true true 0.00000 0.00100 0.00100 true false true true true true 0.00000 0.00000 0.00000 true false true true BANK NEW YORK MELLON 30.3 false false true CITIGROUP GLOBAL TRA 2. true false true false true false false false true false false false false false true VARIANCE BETWEEN AMOUNTS SHOWN IN PART I, (E) AND PART II, 3 IS DUE TO INTEREST EARNED ON INVESTED PROCEEDS. THE ISSUE DATE OF THE BONDS REFUNDED BY THE SERIES 2006 BONDS IS 01/15/2003. ISSUE PRICE SHOWN IN PART I(E) FOR ISSUE "B" REPRESENTS THE MAXIMUM PRINCIPAL AMOUNT THAT CAN BE ISSUED UNDER COMMERCIAL PAPER REGULATIONS. AMOUNT SHOWN IN PART II, #3 REPRESENTS THE AMOUNT ACTUALLY ISSUED IN 2011 TAX YEAR. DEAN W CURRIE relocation loan X 350000 350000 false true true 350000 130278 SEE PART V ROBERT BONNER TRUSTEE 21655 FAMILY MEMBER EMPLOYED BY CIT false JEAN-LOU A CHAMEAU PRESIDENT 114477 FAMILY MEMBER EMPLOYED BY CIT false PETER DERVAN VP FOR DEV AND INST REL 377938 FAMILY MEMBER EMPLOYED BY CIT false DALE M JOHNSON ASSOC. DIR, CFO, DBO, JPL 151108 FAMILY MEMBER EMPLOYED BY CIT false STEVEN ONDERDONK TRUSTEE 148957 FAMILY MEMBER EMPLOYED BY CIT false PEDRO J PIZARRO TRUSTEE 59947 FAMILY MEMBER EMPLOYED BY CIT false ANNEILA I SARGENT VP FOR STUDENT AFFAIRS 244412 FAMILY MEMBER EMPLOYED BY CIT false EDWARD M STOLPER PROVOST 141691 FAMILY MEMBER EMPLOYED BY CIT false VICTORIA D STRATMAN GENERAL COUNSEL 62386 FAMILY MEMBER EMPLOYED BY CIT false MARY L WEBSTER SECRETARY 81993 FAMILY MEMBER EMPLOYED BY CIT false PART III, LINE 1 and 2 FAMILY MEMBERS OF INTERESTED PERSONS RECEIVING GRADUATE FELLOWSHIPS WHILE ATTENDING CALTECH. X 5 22804 APPRAISAL & PLACE MK X 308 RETAIL & PLACE MARK X 65 6044745 hi-lo avg X 1 1 PLACE MARK X 3 1729600 appraisal X 1 1 PLACE MARK X EQUIPMENT 4 146004 RETAIL X HOSTED DINNER 1 2236 retail value X CASES OF WINE 1 1 PLACE MARK X MISCELLANEOUS 4 2017 RETAIL 4 false true true FORM 990, SCHEDULE M, part i, column(B) amounts on this column reflect number of contributors. FORM 990, SCHEDULE M, LINE 25 ELECTRICAL COMPONENTS, SOUND EQUIPMENT, AND SOFTWARE FOR USE IN INSTRUCTION AND RESEARCH. FORM 990, SCHEDULE M, LINE 26 DONOR HOSTED DINNER FOR CALTECH ASSOCIATES. FORM 990, SCHEDULE M, LINE 27 DONATION OF 22 CASES OF WINE FOR USE AT CALTECH EVENTS. FORM 990, SCHEDULE M, LINE 28 MISCELLANEOUS EXPENSE FOR POSTAGE AND TRAVEL. FORM 990, SCHEDULE M, LINE 32A THE INSTITUTE MAY UTILIZE A THIRD PARTY BROKER TO SELL REAL ESTATE. FORM 990, PARTS I AND III, LINE 1 The mission of the California Institute of Technology is to expand human knowledge and benefit society through research integrated with education. We investigate the most challenging, fundamental problems in science and technology in a singularly collegial, interdisciplinary atmosphere, while educating outstanding students to become creative members of society. FORM 990, PART I, LINE 6 THE NUMBER IDENTIFIED IS BASED ON A REASONABLE ESTIMATE. form 990, part iii, line 4d AUXILIARY ENTERPRISES (EXPENSES $21,525,000) (REVENUE $13,852,000) AUXILIARY ENTERPRISES IN SUPPORT OF INSTITUTE'S MISSION CALTECH Y ALLOCATION (GRANTS $75,000) CASH ALLOCATION TO RELATED ORGANIZATION SUPPORTING INSTITUTE'S MISSION FORM 990, PART IV, LINE 6 THE INSTITUTE HAS NO SEPARATE FUNDS OR ACCOUNTS WHERE DONORS HAVE THE RIGHT EITHER TO PROVIDE ADVICE ON THE INVESTMENT OF AMOUNTS IN THE FUNDS OR TO PROVIDE ADVICE ON DISTRIBUTION OF SUCH FUNDS OUTSIDE THE INSTITUTE. FORM 990, Part VI, Line 2 Trustees Robert B. Chess and William H. Davidow - Business Relationship Trustees Thomas E. Everhart and Peter Norton - Business Relationship Trustees Kent Kresa and Marc I. Stern - Business Relationship Trustees James F. Rothenberg and Richmond A. Wolf - Business Relationship Chief Investment Officer Scott H. Richland and Trustee Jay S. Wintrob - Business Relationship FORM 990, PART VI, LINE 11a The Institute prepares Form 990 with the assistance of a paid preparer. A draft of the Form 990 is presented to the Audit and Compliance Committee for review and comment. A final copy of Form 990 is provided to each member of the Board of Trustees prior to filing with the IRS. An officer of the institute and its paid preparer, respectively, sign the final form 990. FORM 990, PART VI, LINE 12c Each trustee and officer is required to complete annually a conflict of interest questionnaire disclosing potential or actual conflicts. Key employees are required to disclose in writing potential and actual conflicts on an ongoing basis throughout the year. All conflicts are resolved in accordance with the Institute's written conflict of interest policies. FORM 990, PART VI, LINE 15a, 15b The Executive Compensation Committee of the Board of Trustees reviews on an annual basis the compensation of officers and key employees of the Institute. The Executive Compensation Committee reviews comparability data from relevant surveys. The deliberations are contemporaneously documented in the committee's minutes. FORM 990, PART VI, LINE 19 The Institute's governing documents, financial statements and conflict of interest policy are available upon request. FORM 990, PART VII THE INSTITUTE HAS ESTIMATED THAT TRUSTEES DEVOTE, ON AVERAGE, AT LEAST ONE HOUR OF TIME PER WEEK. CERTAIN BOARD MEMBERS' TIME DEVOTED TO INSTITUTE BUSINESS MAY SUBSTANTIALLY EXCEED THIS ESTIMATE ON A REGULAR BASIS. FORM 990, PART X, LINE 11 Investments- publicly traded securities include, but are not limited to, investments held directly or in funds and managed accounts for which the underlying securities are primarily publicly traded, although certain restrictions on the liquidity of some of these holdings may exist. Form 990, Part XI, Line 5 Other Changes in Net Assets or Fund Balances Unrealized Loss ($105,719,000) Changes in Postemployment Benefit Obligations 7,497,000 Total ($98,222,000) CIT MICROPROBE HOLDINGS LLC 1200 E CALIFORNIA BLVD PASADENA CA 91125 205217981 HOLDING CO. NV 451000 2143000 NA CALTECH Y 1201 E CALIFORNIA BLVD PASADENA CA 91125 951684790 recreation CA 501(c)(3) 11,3,fi NA false ALUMNI ASSOCIATION OF CALTECH 345 S HILL AVE PASADENA CA 91125 956047395 alumni CA 501(c)(3) 11,type 1 NA false TOM AND VALLEY KNUDSEN FDN C/O CALTECH GIFT PLANNING PASADENA CA 91125 956031188 support org CA 501(c)(3) 11,type 1 NA false CAHILL CALTECH CHARITABLE TRUST 16830 VENTURA BLVD STE 500 ENCINO CA 91436 576198664 SUPPORT ORG CA 501(c)(3) 11,3,other NA false CRAT (6) CHARITABLE TRUST CA CALTECH TRUST CRUT (114) CHARITABLE TRUST CA CALTECH TRUST false true true false false false false false true false false false true true false false false false SCHEDULE R, PART IV, LINE 2 TRUSTS ARE DOMICILED IN CALIFORNIA, CONNECTICUT, FLORIDA, AND WASHINGTON.