2011-04-13T11:14:08-07:00 2010-05-31 KPMG LLP 300 North Greene St Suite 400 Greensboro NC 27401 990 2009-06-01 111630830 St Johns University STJO 7189907671 8000 Utopia Parkway Queens NY 114390001 Jacqueline A Travisano 7189908328 2011-04-12 1 KPMG LLP 3362753394 2011-04-12 2009 2016-02-24 21:20:13Z Jacqueline A Travisano 8000 Utopia Parkway Queens NY 11439 604098347 0 X www.stjohns.edu X 1870 NY See Schedule O 28 28 6898 410 482480 0 35213535 43156240 531303736 555298999 -17720339 4303083 0 0 548796932 602758322 158431784 173657521 0 0 257251757 297902488 60000 378884 11033921 167436059 164472034 583179600 636410927 -34382668 -33652605 1000932906 1013669882 655833673 666618952 345099233 347050930 St. John's University is a Catholic, Vincentian, and metropolitan institution of higher education that strives to provide excellent education for all people; especially those lacking economic and social advantages. The Vincentian tradition at St. John's University is the foundation and the source of the core values its members strive to embody: truth, love, respect, opportunity, excellence and service. 0 0 321252333 168911307 490163640 Higher Education: (Instruction) - St. Johns University is a Catholic Vincentian Metropolitan non-profit institution of higher learning. Approximately 14,808 undergraduate and 5,544 graduate students are currently enrolled in courses. (20,352 Students) 57205128 0 0 Higher Education: (Academic Support) - St. Johns University is a Catholic Vincentian Metropolitan non-profit institution of higher learning. Approximately 14,808 undergraduate and 5,544 graduate students are currently enrolled in courses. (20,352 Students) 60560848 0 0 Higher Education: (Institutional) - St. Johns University is a Catholic Vincentian Metropolitan non-profit institution of higher learning. Approximately 14,808 undergraduate and 5,544 graduate students are currently enrolled in courses. (20,352 Students) 148098229 215829 65135359 Higher Education: (Other Program Services) - St. Johns University is a Catholic Vincentian Metropolitan non-profit institution of higher learning. Approximately 14,808 undergraduate and 5,544 graduate students are currently enrolled in courses. (20,352 Students) 148098229 215829 65135359 587116538 1 1 0 1 0 0 0 0 1 1 0 1 1 1 1 0 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 1 0 0 1 785 0 1 6898 1 1 1 1 CJ FR IT SP 0 0 0 1 1 0 0 0 28 28 1 0 0 1 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X Jacqueline A Travisano 7189908328 8000 Utopia Parkway Queens NY 11439 Rev Elmer Bauer III CM 0 X 0 0 0 Patricia A Castel Esq 0 X 0 0 0 Very Rev Michael J Carroll CM 0 X 0 0 0 Mr William Collins 0 X 0 0 0 Mr Peter P D'Angelo 0 X 0 0 0 Mr Paul J Evanson 0 X 0 0 0 Dr Margaret M Fitzpatrick SC 0 X 0 0 0 Mr James J Gaffney 0 X 0 0 0 Rev Msgr Otto L Garcia 0 X 0 0 0 Rev John W Gouldrick CM 0 X 0 0 0 Ms Suzanne M Halpin 0 X 0 0 0 Hon Theodore T Jones 0 X 0 0 0 Sr Carol Keehan DC 0 X 0 0 0 Mr Denis P Kelleher 0 X 0 0 0 Rev Gerard H Luttenberger CM 0 X 0 0 0 Teresa Mason Esq 0 X 0 0 0 Mr Thomas E McInerney 0 X 0 0 0 Arthur J Mirante II Esq 0 X 0 0 0 Very Rev David M O'Connell CM 0 X 0 0 0 Mr Joseph C O'Connor 0 X 0 0 0 Rev Hugh O'Donnell CM 0 X 0 0 0 Ms Linda S Sanford 0 X 0 0 0 Mr James J Schiro 0 X 0 0 0 Mr Joseph H Schwartz 0 X 0 0 0 Mr Brian T Shea 0 X 0 0 0 Mr James P Stuckey 0 X 0 0 0 Mrs Mary P Tobin 0 X 0 0 0 Rev Donald J Harrington CM 40 X X 0 0 0 Rev Patrick J Griffin CM 40 X 0 0 0 Dr Dorothy Habben 40 X 197635 0 27591 Thomas Nedell 40 X X 231622 0 40487 Joseph Oliva Esq 40 X 324000 0 48346 Dr James P Pellow 40 X 683895 0 61550 Jacqueline A Travisano 40 X 49813 0 9382 Sister Julia Upton RSM 40 X 0 0 0 Charles Biblowit 40 X 432413 0 23271 William Harrington 40 X 492279 0 23463 Norman P Roberts 40 X 1113390 0 42364 Patrick Rohan 40 X 551484 0 26913 Linda Ryan 40 X 419096 0 10731 4495627 0 314098 531 1 1 0 FJ Sciame Construction Co Inc 14 Wall St 2nd Fl New York NY 10005 Building Construction 43987336 Chartwells 91337 Collections Dr PO BOX 91337 Chicago IL 606931337 Food Services 14459664 Total Maintenance Solution LLC 184 Ardmore Ave Staten Island NY 10314 Maintenance Contractors 13903595 Constructomics LLC 45 West 21st Street New York NY 10010 Building Construction 6348814 Structure Tone Inc 770 Broadway New York NY 10003 Building Contractors 3075726 86 0 0 2986082 0 26341543 13828615 5764229 43156240 Tuition and Fees 900099 490163640 490163640 Auxiliary Enterprises 900099 55363547 54881067 482480 0 Other Revenue 900099 9771812 9771812 555298999 4636394 0 0 4636394 469965 0 0 469965 0 0 0 0 0 0 -803276 0 0 0 -803276 0 -803276 0 0 -803276 1340025 2986082 1340025 0 0 0 0 0 602758322 554816519 482480 4303083 215829 215829 168672017 168672017 4769675 4769675 0 0 1423801 502396 784343 137062 0 0 0 0 211147777 192884487 13623781 4639509 13395461 11900612 1131664 363185 57088452 51430732 4285502 1372218 14846997 13147220 1309513 390264 0 0 0 0 1685229 614019 911864 159346 270979 95616 149277 26086 0 0 0 0 378884 378884 882244 311305 486010 84929 0 0 0 0 1491865 846088 348811 296966 12095653 8938029 2612542 545082 2165998 1167081 850127 148790 0 0 0 0 23464386 22803373 500552 160461 6034584 5579168 370875 84541 0 0 0 0 258149 241208 14421 2520 15768764 13646360 1806689 315715 0 0 0 0 31460594 29077916 2028246 354432 2120712 794891 1128600 197221 Repairs and Maintenance 19244500 18497457 560662 186381 Meal Plan/Food Services cost 9302996 9301486 1285 225 Library periodicals/books/online resources 4930393 4929518 745 130 Professional Services 4129886 3110840 781435 237611 Special Events 3081213 2573856 408922 98435 26083889 21065359 4164602 853928 636410927 587116538 38260468 11033921 12198842 12957112 1532771 1583479 28683111 22953732 23921302 32648507 430000 60000 0 0 0 0 0 0 10075681 10743407 892857733 267388619 605130967 625469114 171228609 144720419 121725126 134179380 26006497 28354732 0 0 0 1000932906 1013669882 99928768 120355408 82612 326323 8807514 9109710 528539474 518504016 0 0 0 0 0 0 0 0 18475305 18323495 655833673 666618952 X 252922045 252430799 22582159 20103064 69595029 74517067 345099233 347050930 1000932906 1013669882 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 0 1 26 0 1 9436 1 29478 0 0 38940 0 SchC_P2B_S00_L01 Schedule C, Part II-B, Line 1 The St. John's University Office of Government Relations and the President are the primary liaisons to State and Federal government through their regular communication regarding the University's mission, goals and programs. The Office of Government Relations also apprises St. John's University officials about pertinent government activities to ensure the University is sufficiently informed. The primary focus of the University's effort is directed toward helping government representatives learn more about St. John's. The University's participation in the legislative process is primarily through its memberships in the Commission on Independent Colleges and Universities (CICU) and the National Association of Independent Colleges and Universities (NAICU). St. John's University does not have any other lobbying activities other than those listed on lines 1d, 1f and 1g. 233804007 9354993 33478209 2291744 11139766 1010656 262195043 329202441 12215135 -93185684 1235742 12275939 916204 233804007 0.712 0.268 0.02 1 0 0 43346732 43346732 0 515120641 114331649 400788992 0 7291995 790486 6501509 0 92781087 59801857 32979230 0 234317278 92464627 141852651 625469114 Alternative Investments 85503733 F International Investments 47990500 F Other Investments 685147 F 134179380 Student Loans Receivable 28354732 F 28354732 0 Present value of annuities payable 4216328 Refundable US government advances 14107167 18323495 602758322 636410927 -33652605 35604301 0 0 0 0 35604301 1951696 638820404 35604301 0 0 1340025 36944326 601876078 882244 0 882244 602758322 636868708 0 0 0 1340025 1340025 635528683 882244 0 882244 636410927 SchD_P05_S00_L04 Schedule D, Part V, Line 4 The University's endowment funds are invested for the long-term to generate investment income which is used to support operations, scholarships, professorships, chairs and other initiatives of the University related to its educational mission. SchD_P10_S00_L00 Schedule D, Part X The University recognizes the effects of income tax positions only if those positions are more likely than not of being sustained. No provision for income taxes has been made as the University has not reported any taxable unrelated business income. The University evaluates, on an annual basis the effects of any uncertain tax positions on its financial statements. SchD_P12_S00_L02d Schedule D, Part XII, Line 2d Gross revenue from fundraising revenue 721,198 SchD_P13_S00_L02d Schedule D, Part XIII, Line 2d Expenses related to fundraising events 1 1 1 See Schedule O 1 1 1 1 0 0 0 0 0 0 0 0 1 0 St. John's University consistently strives to place an outstanding higher education within the financial reach of all qualified applicants. The University awards millions of dollars in federal and state financial aid funds each year based upon a student's financial need. Additionally, the University provides financial aid funding via University grants-in-aid, scholarships and tuition remission. Grants-in-aid are awarded on the basis of demonstrated financial need assessed by the use of a standard financial aid application, currently the Free Application for Federal Student Aid (FAFSA), which analyzes the family income data provided on the FAFSA through the federally mandated Federal Methodology. All need-based financial aid must be awarded according to a student's calculated financial need. 1 1 Europe (including Iceland and Greenland) 4 42 Program Services Instruction 6777282 South America 0 3 Program Services Instruction 103868 East Asia and the Pacific 0 4 Program Services Instruction 84811 Middle East and North Africa 0 1 Program Services Instruction 26745 Central America and the Caribbean 0 1 Program Services Instruction 2472 4 51 6995178 Scholarships - Institutional Aid Europe (including Iceland and Greenland) 468 4400343 Scholarships - Institutional Aid East Asia and the Pacific 17 92253 Scholarships - Institutional Aid Central America and the Caribbean 10 70601 Scholarships - Institutional Aid South America 8 26482 Scholarships - Institutional Aid Middle East and North Africa 1 2934 Scholarships - Federal Aid Europe (including Iceland and Greenland) 90 119990 Scholarships - Endowment/Restricted Aid Europe (including Iceland and Greenland) 44 57072 SchF_P01_S00_L02 Schedule F, Part I, Line 2 The procedures for monitoring the use of grant funds outside the United States are consistent with the monitoring performed in the United States. See Schedule I Part IV for further detail. X X X X X X X 1 Lorelei Enterprises and Events Inc Event Planning & Solicitation Of the ILOTY Dinner 0 1512200 60000 1452200 Colwell & Salmon Communications Inc Phone solicitation for donations 0 161475 318884 -157409 1673675 378884 1294791 AL CA DE GA HI KS ND NJ NM NY PA Insurance Leader 1512200 939843 572357 0 611 8500 339860 1700 221686 President's Dinner 2002403 1573833 428570 0 2435 63240 321668 24585 16642 13 811504 472406 339098 0 35840 64214 127059 68515 43470 4326107 2986082 1340025 0 38886 135954 788587 94800 281798 1340025 0 1 The Risk Foundation 101 Murray Street New York NY 10007 760716547 501(c)(3) 215829 0 To support the study of risk management and insurance 1 0 Scholarships - Institutional Aid 17178 0 157420000 Scholarships - Federal Grant 6034 0 8539325 Scholarships - Endowment/Restricted Aid 539 0 2753077 SchI_P01_S00_L02 Schedule I, Part I, Line 2 St. John's University consistently strives to place an outstanding higher education within the financial reach of all qualified applicants. The University awards millions of dollars in federal and state financial aid funds each year based upon a student's financial need. Additionally, the University provides financial aid funding via University grants-in-aid, scholarships and tuition remission. Grants-in-aid are awarded on the basis of demonstrated financial need assessed by the use of a standard financial aid application, currently the Free Application for Federal Student Aid (FAFSA), which analyzes the family income data provided on the FAFSA through the federally mandated Federal Methodology. All need-based financial aid must be awarded according to a student's calculated financial need. Scholarship awards are primarily provided on scholastic achievement. University scholarships are highly competitive and available to students through a combination of academic acheivement and personal commitment, display of values, compassion and pursuit of excellence which embody the spirit and mission of the University. The University has many scholarships funded through special endowments and donations. In most instances, academic merit and financial need are considered along with the particular requirements of the scholarship selection process. Grants-in-aid are awarded to needy students and students who have special abilities or make significant contributions to the University. Additionally, various associations, corporations, foundations and unions provide scholarships for recipients whom they select. X 1 1 X X X X X 1 1 0 0 0 0 0 0 0 Dr Dorothy Habben 190486 0 5000 0 2149 0 0 0 27591 0 225226 0 0 Thomas Nedell 231487 0 0 0 135 0 5375 0 35112 0 272109 0 0 Joseph Oliva Esq 313820 0 10000 0 180 0 7875 0 40471 0 372346 0 0 Dr James P Pellow 448268 0 100000 0 135627 0 16500 0 45050 0 745445 0 0 Jacqueline A Travisano 49779 0 0 0 34 0 0 0 9382 0 59195 0 0 0 Charles Biblowit 416848 0 0 0 15565 0 0 0 23271 0 455684 0 0 0 William Harrington 476593 0 0 0 15686 0 0 0 23463 0 515742 0 0 0 Norman P Roberts 731320 0 0 0 382070 0 1963 0 40401 0 1155754 0 0 Patrick Rohan 543012 0 0 0 8472 0 0 0 26913 0 578397 0 0 0 Linda Ryan 407680 0 0 0 11416 0 0 0 10731 0 429827 0 0 0 SchJ_P01_S00_L01a Schedule J, Part I, Line 1a Dr. James P. Pellow - social club dues are taxable benefits. SchJ_P01_S00_L04 Schedule J, Part I, Line 4 Charles Biblowit, William Harrington, Norman Roberts, Patrick Rohan and Linda Ryan received severance payments. Dr. James P. Pellow received payment from a supplemental nonqualified retirement plan of $5,500. Dormitory Authority of the State of New York 146000293 649839BV8 1998-10-22 144273533 Series 1998 - Finance construction on Queens campus 0 0 Dormitory Authority of the State of New York 146000293 64983XZ16 2001-05-24 46010678 Series 2001A - Issued to advance refund Series 1998 Taxable Bonds. 0 0 Dormitory Authority of the State of New York 146000293 64983RFY8 2005-03-16 21557978 Series 2005A - Finance construction of various sites developments and campus improvements. 0 0 Dormitory Authority of the State of New York 146000293 649903EN7 2007-02-22 123473591 Series 2007A - Finance construction of various sites developments and campus improvements 0 0 Dormitory Authority of the State of New York 146000293 649903EN7 2007-02-22 138318912 Series 2007C - Advance refund portion of Series 1996, Series 1998 and Series 2001A Bonds. 0 0 144273532 0 23724271 0 1621035 0 118928226 2001 0 0 1 1 46070678 0 45103816 0 906861 0 0 2001 1 0 1 1 21977329 0 0 0 686257 0 21921071 2008 0 0 1 1 132302435 0 0 0 3263010 0 129039425 2009 0 0 1 1 138318912 0 135428076 0 2890835 0 0 2001 1 1 1 1 0 0 0 0 1 0 0 0 1 0 0 1 0 1 0 0 0 1 0 0 1 0 1 0.0009 0 0.0009 1 0 0 1 0 1 0.0114 0 0.0114 1 0 0 0 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Dormitory Authority of the State of New York 146000293 649903302 2008-09-24 191030000 Series 2008 - Issued to advance refund Series 2001B, 2005B, 2005C, and 2007B Auction Rate Bonds. 0 0 191146588 0 188193436 0 2953152 0 0 2009 1 0 1 1 0 0 1 0 1 0 0 1 0 1 1 NA 0 0 0 0 James P Pellow EVP COO Reloc/Other X 300000 60000 0 1 1 60000 X 24 5764229 See Part II 0 0 1 1 SchM_P01_S00_L00 Schedule M, Part I St. John's University determines the number of contributions reported in Scheudle M Part I(b) based upon the number of contributions by each donor. SchM_P01_S00_L09 Schedule M, Part I, Line 9 Average share price on date stock was received SchM_P01_S00_L32b Schedule M, Part I, Line 32b The University only uses stock brokers to sell stock that was donated to the University. There is no soliciting for non-cash donations involved in this process. F990_P01_S00_L01 Form 990, Part I, Line 1 St. John's University is a Catholic, Vincentian, and metropolitan institution of higher education that strives to provide excellent education for all people; especially those lacking economic and social advantages. The Vincentian tradition at St. John's University is the foundation and the source of the core values its members strive to embody: truth, love, respect, opportunity, excellence and service. F990_P06_S0A_L02 Form 990, Part VI, Section A, Line 2 Mr. Thomas E. McInerney, Chair of the Board of Trustees and Dr. James P. Pellow, Executive Vice President, Chief Operating Officer and Treasurer, serve as directors on one other board. F990_P06_S0A_L05 Form 990, Part VI, Section A, Line 5 In 2010, St. John's University contacted the Queens County District Attorney after an internal University investigation found indications of possible fraudulent activity by a University employee. As a result of that referral, the District Attorney's office initiated a criminal investigation that culminated in an indictment of the former employee for alleged embezzlement involving falsified credit card statements for non-work related items, and the diversion of funds that were intended to be donated to the University by a foreign charitable foundation. The falsified business expenses amounted to approximately $1 million over the period 2003-2009, and the amount diverted from the foreign charitable foundation was $250,000. It was internal audit procedures that led to an initial discovery of fraud concerns. Thereafter, the University undertook a comprehensive review of all policies and procedures in areas impacted by the loss to identify any weaknesses in internal controls. The University has implemented certain enhancements to internal controls that are designed to further mitigate the risk of future fraud. F990_P06_S0B_L11 Form 990, Part VI, Section B, Line 11 The Form 990 is reviewed by the Audit and Compensation Committee of the Board of Trustees and is made available to the entire Board of Trustees prior to filing. F990_P06_S0B_L12c Form 990, Part VI, Section B, Line 12c The University monitors and enforces compliance with its conflict of interest policy by obtaining signed and dated conflict of interest statements from all members of the Board of Trustees (including members of the Board committees who are not members of the Board). F990_P06_S0B_L15 Form 990, Part VI, Section B, Line 15 An external consultant is contracted to compile survey data from educational, not-for-profit and peer institutions as well as information on other Form 990s to establish comparable compensation ranges. The President's compensation is recommended by the consultant, reviewed by the Audit and Compensation Committee of the Board of Trustees and presented to the Board of Trustees for approval. Management's recommendations of officer compensation are reviewed and approved by the Audit and Compensation Committee. F990_P06_S0C_L19 Form 990, Part VI, Section C, Line 19 The University makes its governing documents, conflict of interest policy, and financial statements available to the public upon request. F990_P07_S0A_L01a Form 990, Part VII, Section A, Line 1a Pursuant to an agreement with the Congregation of the Mission of St. Vincent de Paul, compensation for Rev. Donald J. Harrington CM and Rev Patrick J. Griffin CM is paid directly to the Congregation of the Mission. Pursuant to an agreement with the Religious Sisters of Mercy, compensation for Sister Julia Upton RSM is paid directly to the Sisters of Mercy. During FY10, Thomas Nedell resigned as VP of Business Affairs and Treasurer. Signing capability was assumed by Jacqueline Travisano on September 29, 2009. As such, both Mr. Nedell and Ms. Travisano are considered current officers during the fiscal year. F990_P11_S00_L02b Form 990, Part XI, Line 2b The consolidated audited financial statements for the year ended May 31, 2010 have been prepared by St. John's University and include the University and its affiliate The Risk Foundation. The University's Audit and Compensation Committee assumes responsibility for oversight of the audit of the University's financial statements and selection of the University's independent auditors. SchE_P00_S00_L03 Schedule E, Line 3 Consistent with the University's mission as a Catholic, Vincentian, and metropolitan institution of higher education, the University abides by all applicable federal, state, and local laws which prohibit discrimination on the basis of race, religion, color, national or ethnic origin, age, sex (including sexual harassment), sexual orientation, marital status, citizenship status, disability, genetic predisposition or carrier status or status in the uniformed services of the United States in admitting students to its programs or in administering its educational policies, admissions policies, scholarships and loan programs, athletics and other institutionally administered programs or activities generally made available to students at the University. In accordance with these laws, the University also prohibits retaliation against anyone who has complained about discrimination or otherwise exercised rights guaranteed under these laws. SchG_P01_S00_L02bvi Schedule G, Part I, Line 2b(vi) Phone solicitation campaign expenses exceeded revenues during the fiscal year. Donors contacted through the program often donate through mail solicitations sent after the initial phone solicitation. Therefore, the donation is not recorded as a phone donation. Some donors become repeat donors after being contacted only once through phone solicitation. As such, the long-term value and residual effects of of a phone solicitation campaign should be considered when evaluating the expense of the campaign. SchG_P01_S00_L03 Schedule G, Part I, Line 3 Aside from NY, all of the other states that the University is registered or licensed to solicit funds in are those for which the University is automatically exempted from registration. SchK_P03_S00_L05 Schedule K, Part III, Line 5 The 2008 issue refunded the 2001B, 2005B, 2005C, and 2007B auction rate bond series. The 2005 and 2007 issues are reported for Part III Private Business Use Purposes. Following are the respective Private Business Use percentages required. The percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local goverment are: 2005B 0.11%; 2005C 0.07%; 2007B 1.23%. The Risk Foundation 101 Murray Street New York NY 10007 760716547 To foster and support the study of risk management and insurance NY 501(c)(3) 509(a)(3) Type I St Johns University St John's Bread & Life Program Inc 795 Lexington Avenue Brooklyn NY 11221 113174514 Helping those in need by providing free meals to the community NY 501(c)(3) 170(b)(1)(A)(vi) St Johns University LEON R DASILVA CRUT I 8000 UTOPIA PARKWAY JAMAICA NY 11439 116490383 N/A NY N/A T 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 0 The Risk Foundation q 215829 St John's Bread & Life Program Inc b 85255 An extension was filed, making the due date April 15, 2011.