2011-05-13T12:43:15-05:00 2010-06-30 RSM MCGLADREY INC ONE SOUTH WACKER DRIVE SUITE 800 CHICAGO IL 606063392 990 2009-07-01 237361259 HARVARD MANAGEMENT COMPANY INC HARV 6177206859 600 ATLANTIC AVENUE BOSTON MA 022102203 Robert A Ettl 6177206859 2011-05-13 0 3126343400 2009 2016-02-24 21:20:13Z Jane L Mendillo 600 ATLANTIC AVENUE BOSTON MA 022102203 100017599 0 X WWW.HMC.HARVARD.EDU X 1974 MA Provide investment management services to Harvard University. 11 3 273 0 0 0 0 108530915 100017599 545 0 0 108531460 100017599 0 0 75088449 63505459 0 0 33443011 36512140 108531460 100017599 0 0 66091640 53036966 66091640 53036966 0 0 Provide investment management services to Harvard University. 0 0 96312751 100017599 The Harvard Management Company, Inc. was established to promote the educational purposes of President and Fellows of Harvard College, a nonprofit institution for higher education, by providing investment research, advice, counsel and management to and for the benefit of President and Fellows of Harvard College and such organizations affiliated therewith or related thereto as they may designate, provided that such organizations further the educational purposes of President and Fellows of Harvard College. The President and Fellows of Harvard College makes a payment to Harvard Management Company, Inc. to fund the expenses incurred in carrying out its exempt purpose. 96312751 1 0 0 0 0 0 0 0 0 1 1 1 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 1 26 0 1 273 1 0 0 0 0 0 0 0 0 0 11 3 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 MA X Jeffrey J Dean 6177206643 600 Atlantic Avenue Boston MA 022102203 Jane L Mendillo 40.00 X X 3498269 0 1256114 James F Rothenberg 1.00 X 0 0 0 John Y Campbell 1.00 X 0 328000 54680 Drew Gilpin Faust 1.00 X 0 714197 160362 Edward C Forst 1.00 X 0 509095 48285 Jacob Goldfield 1.00 X 0 0 0 William W Helman 1.00 X 0 0 0 Glenn H Hutchins 1.00 X 0 0 0 Robert S Kaplan 1.00 X 0 232529 49819 Katherine N Lapp 1.00 X 0 183045 13934 Martin L Leibowitz 1.00 X 0 0 0 Jay O Light 1.00 X 0 494451 55780 Peter A Nadosy 1.00 X 0 0 0 Hilda Ochoa-Brillembourg 1.00 X 0 0 0 Daniel Shore 1.00 X 0 278577 52339 Robert A Ettl 40.00 X 1685712 0 23564 Kathryn I Murtagh 40.00 X 843151 0 31933 Stephen Blyth 40.00 X 8443253 0 42512 Andrew G Wiltshire 40.00 X 1600869 0 43064 Steven A Alperin 40.00 X 6848872 0 42632 Peter F Dolan 40.00 X 1599340 0 42632 Graig A Fantuzzi 40.00 X 2725215 0 37363 Apoorva K Koticha 40.00 X 4467157 0 47373 Marc P Seidner 40.00 X 2904927 0 21181 Daniel V Kelly 0.00 X 747849 0 34065 35364614 2739894 2057632 120 1 1 0 Ropes & Gray LLP Prudential Tower 800 Boylston Stre Boston MA 021993600 Legal Services 6648926 Bloomberg PO Box 302444 Hartford CT 061500244 Information Services 2927189 Sungard Data Systems Inc 680 East Swedesford Road Wayne PA 190871586 Information Services 1680129 Pricewaterhousecoopers LLP 125 High Street Boston MA 02110 Auditors 1306802 Maple Risk Consulting One Gateway Center Suite 2600 Newark NJ 07102 IT Consulting 1137500 23 Pymts from affiliates 551112 100017599 100017599 100017599 100017599 100017599 0 0 16132054 16132054 39987838 38098296 1889542 1567937 1556916 11021 4069361 3820956 248405 1748269 1639178 109091 2627644 2472038 155606 1132836 1016836 116000 1384512 1384512 3757519 3259041 498478 814265 517948 296317 6410083 6231990 178093 2706967 2673959 33008 1265036 1236933 28103 129714 100062 29652 831828 831828 5580305 5580305 109551 109551 Information Services 7009325 7009325 Recruiting 1999165 1940500 58665 Employee Related 753390 700523 52867 100017599 96312751 3704848 0 1525775 1604579 45324410 37980131 2103037 2331231 20683779 9562754 17138418 11121025 66091640 53036966 45063396 39251547 17056418 10358119 3971826 3427300 66091640 53036966 X 0 0 0 0 0 0 0 0 66091640 53036966 X 0 1 1 X 0 X X X 0 0 0 President and Fellows of Harvard College 042103580 2 1 1 1 0 1 0 Schedule A, Part IV, Supplemental Information: Schedule A, Part I, Line 11H, Column VII: See Form 990, Part III, Line 4A for description of exempt purpose of the organization. 1560274 369413 1190861 18513604 8719310 9794294 609901 474031 135870 11121025 Deferred compensation 3020832 Deferred rent 406468 3427300 100017599 100017599 0 0 0 100017599 0 100017599 0 100017599 100017599 0 100017599 0 100017599 The organization's separately stated financial statements do not include a FIN 48 footnote. Central America and the Caribbean Program service Investment management travel 8330 East Asia and the Pacific Program service Investment management travel 251874 Europe (including Iceland and Greenland) Program service Investment management travel 277374 Middle East and North Africa Program service Investment management travel 41733 North America Program service Investment management travel 33535 South America Program service Investment management travel 112667 South Asia Program service Investment management travel 47136 Sub-Saharan Africa Program Service Investment Management Travel 29575 0 0 802224 Method Used to Acccount for Expenditures: Schedule F, Part I, Line 3: The expenditures listed in column F are actual expenditures incurred for travel to/from regions listed. They are being reported on the accrual basis which is consistent with the financial statement presentation for fiscal year 2010. X X 1 1 X X X X 0 0 0 0 0 0 0 1 0 Jane L Mendillo 993886 0 2500000 0 4383 0 1237250 0 18864 0 4754383 0 1155000 0 John Y Campbell 0 294412 0 0 0 33588 0 31410 0 23270 0 382680 0 0 Drew Gilpin Faust 0 705991 0 0 0 8206 0 31410 0 128952 0 874559 0 0 Edward C Forst 0 370012 0 0 0 139083 0 31410 0 16875 0 557380 0 0 Robert S Kaplan 0 222156 0 10000 0 373 0 30660 0 19159 0 282348 0 0 Katherine N Lapp 0 115496 0 40290 0 27259 0 12112 0 1822 0 196979 0 0 Jay O Light 0 477712 0 0 0 16739 0 31410 0 24370 0 550231 0 0 Daniel Shore 0 277735 0 0 0 842 0 22795 0 29544 0 330916 0 0 Robert A Ettl 476951 0 1000000 0 208761 0 0 0 23564 0 1709276 0 227000 0 Kathryn I Murtagh 480328 0 344000 0 18823 0 24500 0 7433 0 875084 0 0 0 Stephen Blyth 494840 0 7945996 0 2417 0 24500 0 18012 0 8485765 0 0 0 Andrew G Wiltshire 498452 0 1100000 0 2417 0 24500 0 18564 0 1643933 0 0 0 Steven A Alperin 266613 0 6580362 0 1897 0 24500 0 18132 0 6891504 0 0 0 Peter F Dolan 312043 0 1285136 0 2161 0 24500 0 18132 0 1641972 0 0 0 Graig A Fantuzzi 180919 0 2542533 0 1763 0 18375 0 18988 0 2762578 0 0 0 Apoorva K Koticha 265394 0 4200000 0 1763 0 24500 0 22873 0 4514530 0 0 0 Marc P Seidner 150469 0 2753249 0 1209 0 12250 0 8931 0 2926108 0 0 0 Daniel V Kelly 408661 0 325000 0 14188 0 18375 0 15690 0 781914 0 0 0 Part I, Line 1a Part I, Line 1a: Tax indemnification and gross-up payments: The organization provided a gross-up payment to one officer during the year relating to the payment of moving expenses that were taxable. The full value of the moving expenses along with the gross-up payment were properly included in the 2009 Form W-2. Health or social club dues or initiation fees: The organization provided payment for one officer during the year relating to membership in clubs affiliated with Harvard University, utilized for Harvard Management Company, Inc. business. Part I, Line 7 Under the Harvard Management Company compensation plan, compensation is determined using multi-year conditions and calculations that measure investment performance against certain benchmarks. The plan provides for contingent incentive amounts that may be paid in respect of future fiscal years, subject to plan terms, which provide for elimination or reduction due to investment underperformance in those years. The amount of bonus paid in respect of a fiscal year, and the amount of contingent incentive for that year, is limited to the maximum incentive amount established for each investment professional at the beginning of the year, with any excess bonus or contingent incentive amount to be taken into account in determining bonuses for subsequent years including possible elimination or reduction. In addition, certain employees of Harvard Management Company are eligible for discretionary, non-fixed bonuses which are limited to a percentage of salary and paid in accordance with performance and comparability standards. Sungard Data Systems Inc HMC Director is Chairman of the Sungard Board of Directors 1680129 Technical Services provided by Sungard to HMC, the size of which is immaterial in terms of total revenue for Sungard. The HMC Director did not participate in related contract deliberations for the disclosed transaction. 0 Form 990, Part VI, Section A, line 2 Drew Gilpin Faust and James F. Rothenberg serve as the President and Treasurer, respectively, of President and Fellows of Harvard College. The following board members are employees of President and Fellows of Harvard College: John Y. Campbell Edward C. Forst Robert S. Kaplan Katherine N. Lapp Jay O. Light Form 990, Part VI, Section A, line 6 The organization's members are those persons who constitute the members of The Harvard Corporation (called The President and Fellows of Harvard College). Form 990, Part VI, Section A, line 7a The organization's members are those persons who constitute the members of The Harvard Corporation (called The President and Fellows of Harvard College). Directors are elected by the members. Form 990, Part VI, Section A, line 7b The members have such powers and rights as are vested in them by Massachusetts General Laws, and, pursuant to the organization's by-laws, have such other rights and powers as the members may determine. Form 990, Part VI, Section B, line 11 A draft version of the Form 990 is provided to the board and outside advisors for review and comment. The board of directors is provided with a copy of the final Form 990 before it is filed. Form 990, Part VI, Section B, line 12c The organization regularly and consistently monitors and enforces compliance with its conflict of interest policies, which apply to all members of the board of directors and to all employees. Procedures are in place to identify conflicts of both directors and employees. Director conflicts are handled by board deliberation and board vote from which the interested director is excluded. Employee conflicts are handled by the compliance department and in certain instances may require separate board action. The board is provided with quarterly compliance reports regarding conflicts of interest. Form 990, Part VI, Section B, line 15 With respect to the president & chief executive officer of the organization, key senior management, and many investment professionals, the organization follows a compensation approval procedure annually that involves approval of proposed and final compensation arrangements by the organization's compensation committee and full board of directors using comparability data, as well as contemporaneous documentation of compensation decisions in minutes. Form 990, Part VI, Section C, line 19 Audited financial statements and governing documents are available to the general public through the Commonwealth of Massachusetts Office of the Attorney General and the Office of the Secretary of State of the Commonwealth of Massachusetts. Part VII, Section A, Line 1a, Column A: Daniel V. Kelly ceased to be the Clerk of the organization as of June 30, 2009. He remained employed by the organization as Managing Director/Chief Risk Officer through October 1, 2009 and received compensation from the organization for serving in that capacity. Part VII, Section A, Line 1a, Column B: The organization's directors who receive compensation from a related organization are employees of President and Fellows of Harvard College, a related organization. These individuals are compensated by President and Fellows of Harvard College for services performed as employees of that organization and work an average of 40 to 60 hours per week. Form 990, Part X, Column A: Certain prior year accounts have been reclassified to conform to current year presentation. President and Fellows of Harvard College 1350 Massachusetts Avenue Cambridge MA 02138 042103580 Education & Research MA 501(C)(3) 2 Harvard Private Capital Realty Inc 600 Atlantic Avenue Boston MA 02210 223138409 Support Organization MA 501(C)(3) 11, Type I President & Fellows of Harvard College Harvard Private Capital Holdings Inc 600 Atlantic Avenue Boston MA 02210 043070519 Support Organization MA 501(C)(3) 11, Type I President & Fellows of Harvard College Phemus Corp 600 Atlantic Avenue Boston MA 02210 042997367 Support Organization MA 501(C)(3) 11, Type I President & Fellows of Harvard College Harvard Management Private Equity Corp 600 Atlantic Avenue Boston MA 02210 043070522 Support Organization MA 501(C)(3) 11, Type I President & Fellows of Harvard College Blue Marble Holdings Corp 600 Atlantic Avenue Boston MA 02210 237014581 Support Organization MA 501(C)(3) 11, Type I President & Fellows of Harvard College Demeter Holdings Corp 600 Atlantic Avenue Boston MA 02210 043044742 Support Organization MA 501(C)(3) 11, Type I President & Fellows of Harvard College Shipping Venture Corporation 600 Atlantic Avenue Boston MA 02210 043263656 Support Organization MA 501(C)(3) 11, Type I President & Fellows of Harvard College American Repertory Theatre Company Inc 62 Brattle Street Cambridge MA 02138 042665867 Performing arts MA 501(c)(3) 9 N/A Associacao David Rockefeller Center de Universidade de Harvard 1730 Cambridge Street Cambridge MA 02138 Education BR Exempt N/A N/A Dubai Harvard Foundation for Medical Research Inc 25 Shattuck Street Boston MA 02115 522446955 Education and research MA Foreign Entity 509(a 11, Type III N/A Endowment for Research in Human Biology Inc 25 Shattuck Street Boston MA 02115 042702030 Research MA 501(c)(3) 11, Type III N/A FUNDACION CENTRO DE INVESTIGACIoN DE LA ESCUELA DE ADMINISTRACIoN DE EMPRES Soldiers Field Road Boston MA 02163 Research support AR Foreign/Exempt Entit N/A N/A Giovanni Armenise-Harvard Foundation for Scientific 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N/A N/A 0 0 Greenfield Blr Partners Lp 50 North Water Street South Norwalk CT 06854 201221910 Investments DE N/A N/A 0 0 HARVARD COMMINGLED ACCOUNT C/O HARVard management Co 600 atlan BOston MA 02210 043344621 INvestments MA N/A N/A 0 0 Harvard Investment Associates 600 Atlantic Avenue Boston MA 02210 043507407 Investments DE N/A N/A 0 0 Hb Institutional Lp 10 St James Avenue Ste 1700 Boston MA 02116 043425685 Investments MA N/A N/A 0 0 Helios Royalty Partners I Lp 5910 North Central Expressway Suite Dallas TX 75206 200260138 Investments DE N/A N/A 0 0 Iron Point Real Estate Partners - Te (H) Lp 201 Main Street Fort Worth TX 76102 260526961 Investments TX N/A N/A 0 0 Joshua Timberlands Llc CO Phemus Corp 600 Atlantic Avenue 15Th Floor Boston MA 02210 640914686 Investments MS N/A N/A 0 0 Kleiner Perkins Caufield & Byers VI Lp 2750 Sand Hill Road Menlo Park CA 94025 943157816 Investments CA N/A N/A 0 0 Liquid Realty Partners IV (Pf1) Lp 44 Montgomery Street Ste 3701 San Francisco CA 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