2023-02-07T11:17:13-06:00 2022-06-30 PRICEWATERHOUSECOOPERS LLP 2001 MARKET STREET SUITE 1800 PHILADELPHIA PA 19103 990 2021-07-01 237314834 UC SANTA BARBARA FOUNDATION % MELODIE LEE UCSB FDN UCSA 8058935274 UNIVERSITY OF CALIFORNIA SANTA BARBARA CA 931061130 CHRISTIAN TREITLER CFO 8058938585 2023-02-01 true CHRISTIAN TREITLER 999009999 ERICA R MCREYNOLDS P00977806 2673303000 2023-01-26 2 2021 2023-03-07 01:45:13Z Christian Treitler 4219A CHEADLE HALL UC SANTA BARBARA CA 931062011 55990448 false X WWW.IA.UCSB.EDU/UCSB-FOUNDATION X 1973 CA THE UC SANTA BARBARA FOUNDATION IS A NON -PROFIT, PUBLIC-BENEFIT CORPORATION ORGANIZED TO RAISE, ACCEPT, AND ADMINISTER PRIVATE GIFTS AND GRANTS TO UC SANTA BARBARA. 94 87 0 94 0 0 36136221 32126877 0 0 2406177 1656506 127730 292 38670128 33783675 21936911 26563184 0 0 0 0 0 0 378759 606483 713626 22543394 27276810 16126734 6506865 437897761 415056414 29419380 28135652 408478381 386920762 X THE UC SANTA BARBARA FOUNDATION ACTIVELY WORKS TO FURTHER THE GOALS OF THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA. THE FOUNDATION SEEKS TO MAINTAIN AND NURTURE THE UNIVERSITY'S QUALITY AND DISTINCTION. ON BEHALF OF THE CAMPUS, THE FOUNDATION RAISES AND ADMINISTERS FUNDS THAT SUPPORT UCSB'S OBJECTIVES OF TEACHING, RESEARCH, AND PUBLIC SERVICE. THE FOUNDATION ALSO PROVIDES COUNSEL AND GENERAL ASSISTANCE TO THE CAMPUS, ITS STUDENTS, FACULTY, AND STAFF. false false 19084542 19084542 0 UNIVERSITY PROGRAMS/OTHER DISBURSEMENTS. FUNDS ARE PROVIDED TO THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA WHICH ASSUMES FIDUCIARY RESPONSIBILITY FOR ACTUAL DISBURSEMENT FOR DEPARTMENT SUPPORT, INSTRUCTORS, RESEARCH AND SPECIAL PROJECTS. 4353893 4353893 0 SCHOLARSHIPS AND AWARDS MONIES WERE TRANSFERRED FROM THE UC SANTA BARBARA FOUNDATION TO THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA IN SUPPORT OF SCHOLARSHIPS AND AWARDS. THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA ASSUMES FIDUCIARY RESPONSIBILITY FOR AWARDING AND ADMINISTERING THE FUNDS. 3124749 3124749 0 THE FOUNDATION RAISES, RECORDS AND MANAGES GIFTS FROM INDIVIDUALS, CORPORATIONS, ORGANIZATIONS AND FOUNDATIONS FOR THE SOLE BENEFIT OF UC SANTA BARBARA IN ACCORDANCE WITH DONORS' WISHES. THE FOUNDATION PAYS A PERCENTAGE OF AWARDS RECEIVED, REFERRED TO AS GIFT FEES, AND A PERCENTAGE OF ENDOWMENT EARNINGS, KNOWN AS ENDOWMENT FEES, TO UC SANTA BARBARA TO REIMBURSE FOR PERSONNEL SERVICES AND USE OF FACILITIES PROVIDED TO THE FOUNDATION. 26563184 true true false false false false false false false true false true false false true false true false false false false false false false false false false true false true false false false false false false false false true false false false false true false false false true 2 0 true 0 true true false false false false false false false false false false false X 94 87 false false false false false false false true true false false true true true true true true false false false CA X X MELODIE LEE UCSB FDN 8058935274 1115 PHELPS HALL UC SANTA BARBARA CA 931061130 Dr Henry T Yang TRUSTEE 2.0 38.0 X 0 436991 79044 Susannah Scott TRUSTEE 2.0 38.0 X 0 448898 48016 Dr David Marshall TRUSTEE 2.0 38.0 X 0 394704 24453 Rene Weber Trustee 2.0 38.0 X 0 298431 29398 Cristina Marchetti Trustee 2.0 38.0 X 0 260221 21664 Christian Treitler CFO 8.0 32.0 X X 0 180846 32110 Samantha Putnam Trustee 2.0 38.0 X 0 136153 28186 Dr Duncan A Mellichamp TRUSTEE 2.0 0.0 X 0 0 0 David G Adishian TRUSTEE 2.0 0.0 X 0 0 0 Janet A Alpert TRUSTEE 2.0 0.0 X 0 0 0 Sarah Argyropoulos TRUSTEE 2.0 0.0 X 0 0 0 Richard A Auhll TRUSTEE 2.0 0.0 X 0 0 0 Dr Robert D Ballard TRUSTEE 2.0 0.0 X 0 0 0 Laurie J Bentson Kauth TRUSTEE 2.0 0.0 X 0 0 0 Mark A Bertelsen TRUSTEE 2.0 0.0 X 0 0 0 Dr Edward E Birch TRUSTEE 2.0 0.0 X 0 0 0 Gwendolyn A Brown TRUSTEE 2.0 0.0 X 0 0 0 Dr Paula Y Bruice VC DEVELOPMENT 5.0 0.0 X X 0 0 0 Daniel P Burnham TRUSTEE 2.0 0.0 X 0 0 0 Stephen E Cooper TRUSTEE 2.0 0.0 X 0 0 0 Ann Cady Cooper TRUSTEE 2.0 0.0 X 0 0 0 Leonard DeBenedictis TRUSTEE 2.0 0.0 X 0 0 0 James GP Dehlsen TRUSTEE 2.0 0.0 X 0 0 0 William A Dinsmore III TRUSTEE 2.0 0.0 X 0 0 0 Tunc Doluca TRUSTEE 2.0 0.0 X 0 0 0 Diandra de Morrell Douglas TRUSTEE 2.0 0.0 X 0 0 0 Robert W Duggan TRUSTEE 2.0 0.0 X 0 0 0 Glenn E Duval TRUSTEE 2.0 0.0 X 0 0 0 Betty Elings Wells CHAIR 5.0 0.0 X X 0 0 0 Gary E Erickson VC DONOR RELATIONS 5.0 0.0 X X 0 0 0 Elizabeth Gabler TRUSTEE 2.0 0.0 X 0 0 0 John E Gerngross TRUSTEE 2.0 0.0 X 0 0 0 Frederick W Gluck TRUSTEE 2.0 0.0 X 0 0 0 Marc Grossman TRUSTEE 2.0 0.0 X 0 0 0 John A Gurley TRUSTEE 2.0 0.0 X 0 0 0 Norman N Habermann TRUSTEE 2.0 0.0 X 0 0 0 Eva Haller TRUSTEE 2.0 0.0 X 0 0 0 Roy C Hardiman TRUSTEE 2.0 0.0 X 0 0 0 Thomas J Harriman TRUSTEE 2.0 0.0 X 0 0 0 W Roger Haughton TRUSTEE 2.0 0.0 X 0 0 0 David R Henke TRUSTEE 2.0 0.0 X 0 0 0 George W Holbrook Jr TRUSTEE 2.0 0.0 X 0 0 0 Judith L Hopkinson TRUSTEE 2.0 0.0 X 0 0 0 M Blair Hull Jr TRUSTEE 2.0 0.0 X 0 0 0 Peter C Jordano TRUSTEE 2.0 0.0 X 0 0 0 Dr R Michael Koch TRUSTEE 2.0 0.0 X 0 0 0 Jack W Krouskup TRUSTEE 2.0 0.0 X 0 0 0 Linda La Kretz Duttenhaver TRUSTEE 2.0 0.0 X 0 0 0 R Marilyn Lee TRUSTEE 2.0 0.0 X 0 0 0 Lillian P Lovelace TRUSTEE 2.0 0.0 X 0 0 0 John W Marren TRUSTEE 2.0 0.0 X 0 0 0 Kathryn D McKee TRUSTEE 2.0 0.0 X 0 0 0 Pamela Meyer Lopker TRUSTEE 2.0 0.0 X 0 0 0 Louise A Pahl TRUSTEE 2.0 0.0 X 0 0 0 Alex N Pananides TRUSTEE 2.0 0.0 X 0 0 0 Ceil Pulitzer TRUSTEE 2.0 0.0 X 0 0 0 Conner D Rehage TRUSTEE 2.0 0.0 X 0 0 0 Lady Leslie Ridley-Tree TRUSTEE 2.0 0.0 X 0 0 0 Dr Richard KN Ryu TRUSTEE 2.0 0.0 X 0 0 0 Mark J Schwartz TRUSTEE 2.0 0.0 X 0 0 0 Kenneth P Slaught TRUSTEE 2.0 0.0 X 0 0 0 Phillip L Spector TRUSTEE 2.0 0.0 X 0 0 0 Judith C Stapelmann TRUSTEE 2.0 0.0 X 0 0 0 Michael P Stewart TRUSTEE 2.0 0.0 X 0 0 0 Susan S Tai TRUSTEE 2.0 0.0 X 0 0 0 James S Taylor TRUSTEE 2.0 0.0 X 0 0 0 Anne Smith Towbes TRUSTEE 2.0 0.0 X 0 0 0 Claudia L Webster TRUSTEE 2.0 0.0 X 0 0 0 Howard J Wenger TRUSTEE 2.0 0.0 X 0 0 0 Philip H White TRUSTEE 2.0 0.0 X 0 0 0 Bruce G Wilcox TRUSTEE 2.0 0.0 X 0 0 0 Marie J Williams TRUSTEE 2.0 0.0 X 0 0 0 Susan L Worster TRUSTEE 2.0 0.0 X 0 0 0 Jeffrey M Worthe Jr TRUSTEE 2.0 0.0 X 0 0 0 Charles Zegar TRUSTEE 2.0 0.0 X 0 0 0 Michael B Citron Trustee 2.0 0.0 X 0 0 0 Rafael Costas Jr Trustee 2.0 0.0 X 0 0 0 Dr Alexander Fang TRUSTEE 2.0 0.0 X 0 0 0 Lori Konsker Trustee 2.0 0.0 X 0 0 0 Fumihiro Kozato Trustee 2.0 0.0 X 0 0 0 Joel S Raznick Trustee 2.0 0.0 X 0 0 0 Huican Zhu Trustee 2.0 0.0 X 0 0 0 JOHN P ARNHOLD VICE CHAIR, INVESTMENTS & TREA 5.0 0.0 X X 0 0 0 RICHARD L BREAUX PAST CHAIR & NOMINATIONS CHAIR 5.0 0.0 X X 0 0 0 MARCY L CARSEY TRUSTEE 2.0 0.0 X 0 0 0 KAREN BEDROSIAN COYNE TRUSTEE 2.0 0.0 X 0 0 0 STEVEN C MENDELL SECRETARY 5.0 0.0 X X 0 0 0 Michael J Byron Trustee 2.0 0.0 X 0 0 0 Yuval Cohen Trustee 2.0 0.0 X 0 0 0 Pedro Craveiro Trustee 2.0 0.0 X 0 0 0 Diane E Doodha TRUSTEE 2.0 0.0 X 0 0 0 Tina Hansen McEnroe Trustee 2.0 0.0 X 0 0 0 Felicity Stone-Richards Trustee 2.0 0.0 X 0 0 0 Susan M Wilcox trustee 2.0 0.0 X 0 0 0 0 2156244 262871 7 false true false 0 32126877 8001957 32126877 0 1644511 1644511 0 292 292 0 0 0 22218768 22206773 11995 11995 11995 0 0 0 0 0 0 0 0 0 0 33783675 1656798 26563184 26563184 0 0 0 0 0 0 0 0 0 0 0 22925 22925 0 0 132390 132390 0 0 26624 26624 20203 20203 0 0 0 0 130000 130000 0 0 0 0 DEVELOPMENT OFFICE 370704 370704 ANNUAL FUND 8055 8055 MISCELLANEOUS 2725 2725 27276810 26563184 334867 378759 93711 22785 1532984 1219936 8257014 11326209 802102 164975 0 0 0 0 0 0 0 0 0 0 0 0 0 0 392420005 366570363 34791941 35752142 0 0 0 0 4 4 437897761 415056414 543751 466981 0 0 11853178 11710600 0 0 0 0 0 0 0 0 0 0 17022451 15958071 29419380 28135652 X 0 0 0 0 408478381 386920762 408478381 386920762 437897761 415056414 6506865 -28064484 X false true X true false X 24028088 39420333 40138919 36136221 32126877 171850438 0 0 24028088 39420333 40138919 36136221 32126877 171850438 24798537 147051901 1410695 1407097 1683550 2446144 1644804 8592290 0 253395 118083 35325 127410 0 534213 180976941 0.81254 0.72463 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 377817408 13558064 -28258055 1929331 8015714 796387 352375985 278285263 19153707 89346082 1716090 6408365 843189 377817408 251550485 24155466 11553378 1569576 6464273 940217 278285263 214006163 27904929 16961788 1734058 4575507 1012830 251550485 193293388 11721055 16662388 1511173 5606081 553414 214006163 0.22000 0.56000 0.22000 false true true HEDGE FUNDS 81773 F PRIVATE EQUITY 3926099 F UC REGENTS STIP 27625939 F CHARIT RMDR TRUST INVST HELD 4118331 F 35752142 0 CHARITABLE REMAINDER TRUST 4118330 ANNUITY TRUST LIABILITY 11839741 15958071 5586801 -28064484 -28064484 33651285 132390 132390 33783675 27144420 27144420 132390 132390 27276810 ENDOWMENT FUNDS DETAIL SCHEDULE D, PART V, LINES 3A & 4 THE INTENDED USE OF THE ENDOWMENT FUNDS IS TO FURTHER THE GOALS OF THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA BY PROVIDING FUNDING FOR SCHOLARSHIPS, ACADEMIC RESEARCH AND OTHER PROGRAMS OF THE UNIVERSITY. FIN 48 (ASC 740) SCHEDULE D, PART X, LINE 2 THE FOUNDATION PREPARES ITS FINANCIAL STATEMENTS IN ACCORDANCE WITH GASB; THEREFORE THERE IS NO FOOTNOTE THAT ADDRESSES ASC 740. IT IS ONLY REQUIRED BY FASB. true UNIVERSITY OF CALIFORNIA SANTA BARBARA 3201 SAASB SANTA BARBARA CA 931062040 956006145 501(C)(3) 26563184 N/A N/A SCHOLARSHIPS & UNIV PROGRAM SUPPORT 1 MONITORING USE OF GRANT FUNDS SCHEDULE I, PART 1, LINE 2 THE FOUNDATION TRANSFERS MONIES TO THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA, WHICH ASSUMES FIDUCIARY RESPONSIBILITY FOR ACTUAL DISBURSEMENT. CRITERIA FOR SELECTION OF RECIPIENTS ARE BASED ON BOUNDARIES SET BY THE ESTABLISHMENT OF THE SCHOLARSHIP. false false false false false false false false false Dr David Marshall TRUSTEE 0 394704 0 0 0 0 0 24453 0 0 0 419157 0 0 Dr Henry T Yang TRUSTEE 0 436991 0 0 0 0 0 35183 0 43861 0 516035 0 0 Christian Treitler CFO 0 180846 0 0 0 0 0 17371 0 14739 0 212956 0 0 Susannah Scott TRUSTEE 0 448898 0 0 0 0 0 24979 0 23037 0 496914 0 0 Cristina Marchetti Trustee 0 260221 0 0 0 0 0 10806 0 10858 0 281885 0 0 Samantha Putnam Trustee 0 136153 0 0 0 0 0 11656 0 16530 0 164339 0 0 Rene Weber Trustee 0 298431 0 0 0 0 0 21114 0 8284 0 327829 0 0 PROCESS OF DETERMINING CEO AND OTHER OFFICER COMPENSATION SCHEUDLE J, PART III NONE OF THE LISTED INDIVIDUALS RECEIVED ANY COMPENSATION FROM THE FILING ORGANIZATION. DURING FY22, EACH WAS AN EMPLOYEE OF THE UC SANTA BARBARA, A RELATED ORGANIZATION. INDIVIDUALS WERE COMPENSATED PRIMARILY FOR SERVICES TO THE UC SANTA BARBARA. COMPENSATION INFORMATION REFLECTS ALL COMPENSATION RECEIVED DURING CALENDAR YEAR 2021. ESTABLISHING COMPENSATION OF THE EXECUTIVE DIRECTOR SCHEDULE J, PART I, LINE 3 COMPENSATION PRACTICES FOR THE RELATED ORGANIZATION IN DETERMINING COMPENSATION FOR ITS TOP MANAGEMENT OFFICIALS INCLUDE: A COMPENSATION COMMITTEE, COMPENSATION SURVEY OR STUDY, AND APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE. X 56 7633191 HIGH LOW AVG ON GIFT X 1 368766 provided by broker false true false NUMBER OF CONTRIBUTIONS SCHEDULE M, PART I, COLUMN B THE NUMBER OF CONTRIBUTIONS IS BASED ON THE NUMBER OF DONATIONS RECEIVED FROM CONTRIBUTORS. PROCESS OF REVIEW FORM 990, PART VI, LINE 11B THE FORM 990 IS REVIEWED AND APPROVED BY THE AUDIT COMMITTEE. A COMPLETE COPY IS DISTRIBUTED TO THE FULL BOARD AFTER THE AUDIT COMMITTEE APPROVAL AND BEFORE THE FORM IS FILED WITH THE IRS. MONITORING & ENFORCING COMPLIANCE OF CONFLICT OF INTEREST POLICY FORM 990, PART VI, LINE 12C IN CONNECTION WITH ANY ACTUAL OR POSSIBLE CONFLICTS, AN INTERESTED PERSON (E.G. BOARD MEMBER, OFFICER OR KEY EMPLOYEE), MUST DISCLOSE, AT LEAST ANUALLY, THE EXISTENCE OF HIS OR HER FINANCIAL INTEREST AND ALL MATERIAL FACTS TO THE BOARD OF TRUSTEES AND MEMBERS OF COMMITTEES WITH BOARD-DELEGATED POWERS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. TO FACILITATE CONFLICT OF INTEREST DISCLOSURE, THE FOUNDATION ANNUALLY DISTRIBUTES CONFLICT OF INTEREST QUESTIONNAIRES TO ALL INTERESTED PERSONS. COMPLETED QUESTIONNAIRES ARE REVIEWED BY THE FOUNDATION'S ASSISTANT DIRECTOR FOR ANY POTENTIAL DISCLOSED OR UNDISCLOSED CONFLICTS. IF A CONFLICT IS DISCLOSED,THE ASSISTANT DIRECTOR REVIEWS THE FINDING WITH THE CFO (DIRECTOR). IF THE CONFLICT IS CONFIRMED,THE CFO NOTIFIES THE BOARD CHAIR AND THE POLICY REGARDING A CONFLICT OF INTEREST IS INVOKED. AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS, AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, HE OR SHE SHALL LEAVE THE BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS DISCUSSED AND VOTED UPON. THE REMAINING BOARD OR COMMITTEE MEMBERS SHALL DECIDE IF A CONFLICT OF INTEREST EXISTS. IF THE BOARD OR COMMITTEE HAS REASONABLE CAUSE TO BELIEVE THAT AN INTERESTED PERSON HAS FAILED TO DISCLOSE ACTUAL OR POSSIBLE CONFLICTS OF INTEREST, IT SHALL INFORM THE TRUSTEE OR OFFICER OF THE BASIS FOR SUCH BELIEF AND AFFORD THE INTERESTED PERSON AN OPPORTUNITY TO EXPLAIN THE ALLEGED FAILURE TO DISCLOSE. IF, AFTER HEARING THE RESPONSE OF THE INTERESTED PERSON AND MAKING SUCH FURTHER INVESTIGATION AS MAY BE WARRANTED IN THE CIRCUMSTANCES, THE BOARD OR COMMITTEE DETERMINES THAT THE INTERESTED PERSON HAS IN FACT FAILED TO DISCLOSE AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, IT SHALL TAKE APPROPRIATE DISCIPLINARY AND CORRECTIVE ACTION. PROCESS OF DETERMINING COMPENSATION OF THE CEO AND OTHER OFFICERS FORM 990, PART VI, LINES 15A & 15B THE FOUNDATION DOES NOT HAVE ANY EMPLOYEES AND NO OFFICERS OR OTHER EMPLOYEES RECEIVED ANY COMPENSATION FROM THE FILING ORGANIZATION (E.G., THE FOUNDATION). DURING FYE 6/30/2022, ALL ARE EMPLOYEES OF THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA, A RELATED ORGANIZATION, AND ARE COMPENSATED BY THAT RELATED ORGANIZATION. SENIOR MANAGEMENT, INCLUDING THE CHANCELLOR, ARE COMPENSATED IN ACCORDANCE WITH UNIVERSITY OF CALIFORNIA REGENTS POLICY 7701. A NUMBER OF FACTORS ARE CONSIDERED TO DETERMINE FAIR AND REASONABLE COMPENSATION INCLUDING: PERFORMANCE, PEER COMPARABILITY, EXTERNAL MARKET COMPARABILITY, SCOPE AND BREADTH OF EXPERIENCE AND RESPONSIBILITIES. COMPENSATION OF THE CHANCELLOR IS APPROVED BY THE REGENTS. AVAILABILITY OF GOVERNING DOCUMENTS AND POLICIES FORM 990, PART VI, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. UNIVERSITY OF CALIFORNIA SANTA BARBARA UNIVERSITY OF CALIFORNIA SANTA BARBARA CA 93106 956006145 EDUC/RESEARCH CA 501(C)(3) 6 STATE OF CA false REGENTS OF THE UNIVERSITY OF CALIFORNIA 1111 FRANKLIN STREET OAKLAND CA 94607 943067788 EDUCATION CA STATE OF CA false CHARITABLE REMAINDER UNITRUST (5) FUNDRAISING CA NA TRUST true CHARITABLE REMAINDER ANNUITY TRUST FUNDRAISING CA NA TRUST true false true false false false false false false false false false false true true true true false false false RELATED ORGANIZATIONS SCHEDULE R, PART VII - RELATED ORGANIZATIONS DUE TO THE INCREASINGLY COMPLEX ORGANIZATION STRUCTURE OF THE REGENTS OF THE UNIVERSITY OF CALIFORNIA AND AFFILIATES, UC SANTA BARBARA FOUNDATION HAS ELECTED TO REPORT ALL ORGANIZATIONS WITHIN THE REGENTS OF THE UNIVERSITY OF CALIFORNIA AS RELATED, REGARDLESS OF OWNERSHIP INTEREST OR "CONTROL" AS DEFINED BY THE INSTRUCTIONS TO SCHEDULE R. THE INTENT OF THIS REPORTING IS TO PROMOTE TRANSPARENCY AND INCREASE CONSISTENCY ACROSS THE NUMEROUS FORM 990 SUBMISSIONS BY THE REGENTS OF THE UNIVERSTIY OF CALIFORNIA.