2023-03-29T21:34:59-05:00 2022-06-30 346565596 ERNST & YOUNG US LLP 2323 VICTORY AVENUE SUITE 2000 DALLAS TX 75219 990 2021-07-01 866050388 UNIVERSITY OF ARIZONA FOUNDATION UNIV 5206213340 1111 NORTH CHERRY AVENUE TUCSON AZ 85721 J CRAIG BARKER SVP, FINANCIAL SVCS 5206213339 2023-03-29 1 J CRAIG BARKER 999009999 PATRICK SHIELDS P01508556 2149698000 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z JOHN-PAUL ROCZNIAK 1111 NORTH CHERRY AVENUE TUCSON AZ 85721 528713676 0 X WWW.UAFOUNDATION.ORG X 1958 AZ THE UNIVERSITY OF ARIZONA FOUNDATION IS COMMITTED TO SUPPORTING AND ENHANCING THE VISION, MISSION AND VALUES OF THE UNIVERSITY OF ARIZONA THROUGH THE DEVELOPMENT AND MANAGEMENT OF PRIVATE SUPPORT. 35 33 116 130 3748116 258671 142249114 167665686 12799800 6235747 98832493 101433808 -1202082 3775913 252679325 279111154 96383074 106685865 0 0 9017302 9666939 0 0 8629029 20474675 32587014 125875051 148939818 126804274 130171336 1433016381 1402381950 254925224 239276937 1178091157 1163105013 THE UNIVERSITY OF ARIZONA FOUNDATION IS COMMITTED TO SUPPORTING AND ENHANCING THE VISION, MISSION AND VALUES OF THE UNIVERSITY OF ARIZONA THROUGH THE DEVELOPMENT AND MANAGEMENT OF PRIVATE SUPPORT. 0 0 118751850 106685865 6235747 THE UNIVERSITY OF ARIZONA FOUNDATION IS COMMITTED TO SUPPORTING AND ENHANCING THE VISION, MISSION AND VALUES OF THE UNIVERSITY OF ARIZONA THROUGH THE DEVELOPMENT AND MANAGEMENT OF PRIVATE SUPPORT. INCORPORATED IN 1958, THE UNIVERSITY OF ARIZONA FOUNDATION PROVIDES ASSISTANCE TO THE UNIVERSITY OF ARIZONA IN TWO MAIN AREAS: FUND-RAISING AND ASSET MANAGEMENT. 118751850 1 1 0 1 0 1 0 1 0 1 1 1 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 1 283 0 1 116 1 1 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 X 35 33 0 0 0 0 0 0 0 1 1 0 1 1 0 1 1 1 1 1 1 1 0 AR CA CO DC KY LA ME MD MA MI MN NH NJ NY OR UT WI X RITA WILLIAMS 5206213027 1111 NORTH CHERRY AVENUE TUCSON AZ 82721 JOHN-PAUL ROCZNIAK PRESIDENT & CEO 40.00 0.00 X X 462846 0 39298 VICKI B FLEISCHER SR VP, DEVELOPMENT 40.00 0.00 X 250303 0 27813 J CRAIG BARKER SR VP, FINANCIAL SERVICES & CFO 40.00 0.00 X 246244 0 27151 ANDREA L MILLER SR VP, CONSTITUENT RELATIONS 40.00 0.00 X 222615 0 25200 RITA M WILLIAMS VP, FINANCIAL SERVICES 40.00 0.00 X 201093 0 33285 TILGHMAN H MOYER EXEC DIRECTOR DEVELOPMENT 40.00 0.00 X 169310 0 38782 BRAD D TERRY VP & GENERAL COUNSEL 40.00 0.00 X 160685 0 38096 JENNY R FLYNN SR VP, DEVELOPMENT SVC (THRU 7/21) 40.00 0.00 X 163454 0 26046 JAMES J KROGMEIER ASSOC VP, GIFT PLANNING 40.00 0.00 X 157153 0 37949 MARIA A VEGA ASST VP, CHIEF INFORMATION OFFICER 40.00 0.00 X 152148 0 19344 EMILY E WALSH VP, STRATEGIC INFO SVCS (THRU 9/21) 40.00 0.00 X 145105 0 24750 ELIZABETH A WARREN-PEDERSON ASSOC VP, MARKETING & COMMUNICATION 40.00 0.00 X 138667 0 10683 FRANCISCO AGUILAR DIRECTOR 2.00 0.00 X 0 0 0 DON A ARIPOLI DIRECTOR 2.00 0.00 X 0 0 0 PATRICIA A BARTLETT SECRETARY 6.00 0.00 X X 0 0 0 BETSEY E BAYLESS DIRECTOR 2.00 0.00 X 0 0 0 CHAD BECKER DIRECTOR 2.00 0.00 X 0 0 0 NANCY C BERGE VICE CHAIR 6.00 0.00 X X 0 0 0 CARMEN BERMUDEZ DIRECTOR 2.00 0.00 X 0 0 0 BRADLEY BUTLER DIRECTOR 2.00 0.00 X 0 0 0 GINNY L CLEMENTS DIRECTOR 2.00 0.00 X 0 0 0 ROBERT L DAVIS DIRECTOR 2.00 0.00 X 0 0 0 SCOTT O DOUGLAS DIRECTOR 2.00 0.00 X 0 0 0 JOAN STEVIE ELLER DIRECTOR 2.00 0.00 X 0 0 0 BRIAN H FRANKE DIRECTOR 2.00 0.00 X 0 0 0 MICHAEL F HANNLEY TREASURER 6.00 0.00 X X 0 0 0 TED H HINDERAKER PAST CHAIR 6.00 0.00 X X 0 0 0 SHELLEY HUFF DIRECTOR 2.00 0.00 X 0 0 0 DAISY M JENKINS DIRECTOR 2.00 0.00 X 10200 0 0 GAIN S JUE DIRECTOR 2.00 0.00 X 0 0 0 CYNTHIA L KLINGBERG DIRECTOR 2.00 0.00 X 0 0 0 MICHAEL S LEE DIRECTOR 2.00 0.00 X 0 0 0 HEATHER LENKIN DIRECTOR 2.00 0.00 X 0 0 0 STEVEN W LYNN CHAIR 6.00 0.00 X X 0 0 0 MARIANNE CRACCHIOLO MAGO DIRECTOR 2.00 0.00 X 0 0 0 LEA P MARQUEZ PETERSON DIRECTOR 2.00 0.00 X 0 0 0 JOHN MUSIL DIRECTOR 2.00 0.00 X 0 0 0 JOHN H PAYNE DIRECTOR 2.00 0.00 X 0 0 0 DONALD POWELL DIRECTOR 2.00 0.00 X 0 0 0 LINDA B ROBIN DIRECTOR 2.00 0.00 X 0 0 0 ROBERT C ROBBINS DIRECTOR 2.00 0.00 X 0 0 0 JOEY RODOLFO DIRECTOR 2.00 0.00 X 0 0 0 RICHARD H SILVERMAN DIRECTOR 2.00 0.00 X 0 0 0 ALAN STEIN DIRECTOR 2.00 0.00 X 0 0 0 JOAN SWEENEY DIRECTOR 2.00 0.00 X 0 0 0 KELLIE TERHUNE NEELY DIRECTOR 2.00 0.00 X 0 0 0 2479823 0 348397 21 1 1 0 FUND EVALUATION GROUP LLC PO BOX 639176 CINCINNATI OH 452639176 INVESTMENT CONSULTING 920782 JACOBSON CONSULTING APPLICATIONS INC 575 8TH AVE 12TH FL NEW YORK NY 100183011 APPLICATION CONSULTING 625126 ONE SIXTY OVER NINETY LLC 510 WALNUT ST 19TH FL PHILADELPHIA PA 191063613 MEDIA CONSULTING/SERVICES 548181 RUFFALOCODY HOLDINGS LLC PO BOX 718 DES MOINES IA 503030718 TELEPHONE OUTREACH CONSULTING 506888 GEO & ASSOCIATES INC 10645 N ORACLE RD 121-312 TUCSON AZ 857379387 FACILITIES RENOVATION 479879 25 167665686 6352963 167665686 CONFERENCES & SEMINARS 611710 3135747 3135747 OTHER PROFESSIONAL SVC 541900 3100000 3100000 6235747 56354711 56354711 27797 27797 294681619 249602522 45079097 45079097 45079097 K-1 PASSTHROUGH 523000 3748116 3748116 3748116 279111154 6235747 3748116 101461605 106685865 106685865 1754561 733621 1020940 6156859 3275227 2881632 344461 173496 170965 879598 462158 417440 531460 270957 260503 70697 70697 226539 226539 25000 25000 12992325 12992325 3047351 1953638 198474 895239 596404 105824 303606 186974 4743260 2518567 2046811 177882 1524252 1170757 3522 349973 8118853 5987378 1632 2129843 270887 270887 224487 224487 REAL PROP HOLDING COSTS 382372 304821 77551 FEES AND CHARGES 263302 226949 36353 101285 101285 148939818 118751850 21558939 8629029 99367333 8953926 140742791 59161309 35692960 4349030 2765098 4987819 1583932 403238065 352562622 865115773 861521329 1146082 1324390 1433016381 1402381950 3579155 7156526 251346069 232120411 254925224 239276937 X 28148776 25398000 1149942381 1137707013 1178091157 1163105013 1433016381 1402381950 X 130171336 -141409364 -3748116 X 0 1 X 1 0 X 169484025 155704497 100548000 142249114 167665686 735651322 169484025 155704497 100548000 142249114 167665686 735651322 67960187 667691135 30271659 31624728 30236485 33369090 56382508 181884470 917535792 45784122 0.72770 0.70660 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 25000 25000 148914818 148939818 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 9000 0 0 25000 34000 250000 250000 250000 250000 1000000 1500000 SCHEDULE C, PART II-A, LINE 1 THE FOUNDATION PROVIDED $25,000 TO "YES ON 411-TUCSONANS FOR BETTER, SAFER STREETS", A CITY OF TUCSON POLITICAL ACTION COMMITTEE. THIS CITY OF TUCSON INITIATIVE WAS ON THE BALLOT ON MAY 17, 2022. THIS PROPOSITION, WHICH WAS APPROVED BY THE VOTERS OF THE CITY OF TUCSON, WAS SUPPORTIVE OF THE OVERALL SAFETY AND WELFARE OF THE UNIVERSITY'S STUDENTS AND EMPLOYEES. 1 0 1650005 41429491 1 1 X X X X 0 1133803500 91828175 -72405451 8195192 42050409 1102980623 866834838 70880287 240968804 6647553 38232876 1133803500 928016739 67141213 -52009727 6629732 69683655 866834838 865837700 61970742 26219339 5899815 20111227 928016739 741778420 92253837 55591347 5781096 18004808 865837700 0.00000 1.00000 0 0 357898 357898 3273328 2378389 894939 717804 386709 331095 1583932 PRIVATE CAPITAL LIMITED PARTNERSHIPS 244050193 F NATURAL RESOURCES LP 110388529 F US FIXED INCOME FUNDS 102179200 F MULTI-STRATEGY HEDGE FUNDS 100509589 F EQUITY LONG-ONLY HEDGE FUNDS 81683688 F EQUITY LONG-ONLY FUNDS 81062508 F EQUITY LONG/SHORT HEDGE FUNDS 61711815 F PRIVATE CREDIT LIMITED PARTNERSHIPS 39613934 F PRIVATE REAL ESTATE LIMITED PARTNERSHIPS 39220546 F FIXED INCOME HEDGE FUNDS 1101327 F 861521329 TRUST LIABILITIES 17904842 FMV OF ENDOWMENT MANAGED FOR UNIV 214215569 232120411 X 120735104 -141409364 -141409364 262144468 13218570 3748116 16966686 279111154 135721248 0 135721248 13218570 13218570 148939818 PART III, LINE 4: THE CENTER FOR CREATIVE PHOTOGRAPHY IS AN ARCHIVE AND RESEARCH CENTER LOCATED ON THE UNIVERSITY OF ARIZONA CAMPUS. THE CENTER PROMOTES RESEARCH INTO AND APPRECTAION OF THE PHOTOGRAPHIC MEDIUM WHILE SAFEGUARDING ORIGINAL OBJECTS FOR POSTERITY. PART V, LINE 4: THE PAYOUT FROM THE FOUNDATION ENDOWMENT PROVIDES SCHOLARSHIP, RESEARCH, PROGRAM AND OTHER SUPPORT TO THE UNIVERSITY OF ARIZONA. PART X, LINE 2: ACCOUNTING STANDARDS CODIFICATION (ASC) TOPIC 740, INCOME TAXES, ADDRESSES HOW UNCERTAIN TAX POSITIONS SHOULD BE RECOGNIZED, MEASURED, PRESENTED, AND DISCLOSED IN THE FINANCIAL STATEMENTS. THE GUIDANCE REQUIRES THE ACCOUNTING AND DISCLOSURE OF TAX POSITIONS TAKEN, OR EXPECTED TO BE TAKEN, IN THE COURSE OF PREPARING THE FOUNDATION'S TAX RETURNS TO DETERMINE WHETHER THE TAX POSITIONS ARE MORE-LIKELY-THAN-NOT OF BEING SUSTAINED BY THE APPLICABLE TAX AUTHORITY. MANAGEMENT OF THE FOUNDATION IS REQUIRED TO ANALYZE ALL OPEN TAX YEARS, AS DEFINED BY THE STATUTE OF LIMITATIONS, FOR ALL MAJOR JURISDICTIONS, WHICH INCLUDE THE FEDERAL AND CERTAIN STATES. THE FOUNDATION HAS HAD NO EXAMINATIONS IN PROGRESS AND NON ARE EXPECTED AT THIS TIME. AS OF JUNE 30, 2022, MANAGEMENT OF THE FOUNDATION HAS REVIEWED ALL OPEN TAX YEARS AND MAJOR JURISDICTIONS AND CONCLUDED THERE IS NO TAX LIABILITY RESULTING FROM UNRECOGNIZED TAX BENEFITS RELATING TO UNCERTAIN INCOME TAX POSITIONS TAKEN, OR EXPECTED TO BE TAKEN, IN FUTURE TAX RETURNS. PART XI, LINE 4B - OTHER ADJUSTMENTS: K-1 FLOW THROUGH OF UNRELATED BUSINESS INCOME EUROPE 0 0 INVESTMENTS 59918842 CENTRAL AMERICA/CARIBBEAN 0 0 INVESTMENTS 247215820 0 0 0 0 0 0 307134662 0 307134662 1 0 1 1 1 0 PART III ACCOUNTING METHOD: 1 UNIVERSITY OF ARIZONA 1111 N CHERRY AVE TUCSON AZ 85721 742652689 GOVERNMENT 106538995 0 UNIV. SUPPORT TOHONO O'ODHAM COMMUNITY COLLEGE PO BOX 3129 SELLS AZ 85634 860931108 GOVERNMENT 105701 0 GENERAL SUPPORT ARIZONA STATE UNIVERSITY FOUNDATION 501 EAST TYLER MALL TEMPE AZ 85281 866051042 501 (C) 3 15000 0 GENERAL SUPPORT TUSD TUCSON UNIFIED SCHOOL DISTRICT 1302 SOUTH AVENIDA VEGA TUCSON AZ 85710 866000551 GOVERNMENT 26169 0 GENERAL SUPPORT 4 0 PART I, LINE 2 FUNDS ARE DEPOSITED IN PURPOSE SPECIFIC ACCOUNTS, WE RELY ON THE EXTENSIVE INTERNAL CONTROL SYSTEM OF THE UNIVERSITY OF ARIZONA FINANCIAL SERVICES OFFICE TO ENSURE CORRECT APPLICATION OF FUNDS ONCE TRANSFERRED TO THE UNIVERSITY. OTHER GRANTS: FUNDS ARE AWARDED SUBJECT TO GRANT AGREEMENTS WHICH REQUIRE PERIODIC REPORTING BACK TO THE FOUNDATION AS TO THE SUCCESSFUL ATTAINMENT/COMPLETION OF THE GOALS AND OBJECTIVES AND THE PROPER USE OF GRANTS FUNDED. X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 JOHN-PAUL ROCZNIAK PRESIDENT & CEO 461406 0 0 0 1440 0 20300 0 18998 0 502144 0 0 0 VICKI B FLEISCHER SR VP, DEVELOPMENT 248863 0 0 0 1440 0 17433 0 10380 0 278116 0 0 0 J CRAIG BARKER SR VP, FINANCIAL SERVICES & CFO 244804 0 0 0 1440 0 17433 0 9718 0 273395 0 0 0 ANDREA L MILLER SR VP, CONSTITUENT RELATIONS 221175 0 0 0 1440 0 15690 0 9510 0 247815 0 0 0 RITA M WILLIAMS VP, FINANCIAL SERVICES 199653 0 0 0 1440 0 14287 0 18998 0 234378 0 0 0 TILGHMAN H MOYER EXEC DIRECTOR DEVELOPMENT 167870 0 0 0 1440 0 12151 0 26631 0 208092 0 0 0 BRAD D TERRY VP & GENERAL COUNSEL 159245 0 0 0 1440 0 11465 0 26631 0 198781 0 0 0 JENNY R FLYNN SR VP, DEVELOPMENT SVC (THRU 7/21) 137703 0 25000 0 751 0 9716 0 16330 0 189500 0 0 0 JAMES J KROGMEIER ASSOC VP, GIFT PLANNING 155713 0 0 0 1440 0 11318 0 26631 0 195102 0 0 0 MARIA A VEGA ASST VP, CHIEF INFORMATION OFFICER 150708 0 0 0 1440 0 10882 0 8462 0 171492 0 0 0 EMILY E WALSH VP, STRATEGIC INFO SVCS (THRU 9/21) 144049 0 0 0 1056 0 10185 0 14565 0 169855 0 0 0 PART I, LINE 1A MEMBERSHIP AT A COUNTRY CLUB LOCATED IN TUCSON, AZ PROVIDE IMPORTANT INTERACTION WITH DONORS AND KEY CONSTITUENTS. AS A RESULT, THE FOUNDATON PAID FOR DUES AND BUSINESS RELATED EXPENSES FOR THE FOLLOWING OFFICER: JOHN-PAUL ROCZNIAK. X 134 5631008 FMV X 1 450000 FMV X CRYPTOCURR. 6 271955 PROCEEDS 0 1 1 PART I, LINE 32B: THE FOUNDATION USES THE "GIVING BLOCK" TO RECEIVE, PROCESS, AND SELL GIFTS OF CRYPTOCURRENCIES. SCHEDULE M, PART I, COLUMN (B): COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS RECEIVED. FORM 990, PART VI, SECTION A, LINE 1A THE BOARD OF TRUSTEES HAS APPOINTED AN EXECUTIVE COMMITTEE WHICH IS COMPRISED OF THE CHAIR OF THE BOARD, THE VICE CHAIR, THE PRESIDENT OF THE CORPORATION AND THE UNIVERSITY OF ARIZONA, THE SENIOR VICE PRESIDENT OF FINANCE OF THE CORPORATION AND UNIVERSITY OF ARIZONA, THE SECRETARY AND THE TREASURER. IN ADDITION, THE BOARD OF TRUSTEES MAY DESIGNATE ONE OR MORE AT-LARGE EXECUTIVE COMMITTEE MEMBERS. TO THE EXTENT PROVIDED IN THE EXECUTIVE COMMITTEE CHARTER, THE EXECUTIVE COMMITTEE SHALL HAVE AND EXERCISE THE AUTHORITY OF THE BOARD OF TRUSTEES. THE EXECUTIVE COMMITTEE REPORTS TO THE BOARD OF TRUSTEES AT EACH OF ITS MEETINGS ON THE ACTIONS TAKEN SINCE THE LAST MEETING OF THE BOARD OF TRUSTEES AND PROVIDES THE BOARD OF TRUSTEES WITH ALL INFORMATION NECESSARY FOR THE BOARD OF TRUSTEES TO CARRY OUT ITS GENERAL DUTY OF OVERSIGHT. FORM 990, PART VI, SECTION B, LINE 11B MANAGEMENT PREPARED THE FORM 990. WE ENGAGED AN INTERNATIONAL PUBLIC ACCOUNTING FIRM TO REVIEW OUR INTERNALLY-PREPARED FORM 990. AFTER THE INTERNATIONAL PUBLIC ACCOUNTING FIRM COMPLETED THEIR REVIEW, MANAGEMENT REVIEWED THE FINAL DRAFT, WHICH WAS THEN SUBMITTED FOR REVIEW BY OUR AUDIT COMMITTEE BEFORE THE FORM WAS FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C EACH MEMBER OF THE BOARD OF TRUSTEES AND EACH OFFICER-EMPLOYEE OF THE FOUNDATION IS ANNUALLY PROVIDED WITH A CONFLICT OF INTEREST ACKNOWLEDGEMENT AND DISCLOSURE STATEMENT. SUCH INDIVIDUALS ARE REQUIRED TO REVIEW THESE DOCUMENTS, COMPLETE THEM, AND RETURN THEM TO OUR IN-HOUSE LEGAL COUNSEL FOR REVIEW. ANY CONFLICTS WHICH PRESENT THEMSELVES DURING THE YEAR ARE REVIEWED BY MANAGEMENT AND SUBMITTED TO THE BOARD FOR RESOLUTION. FORM 990, PART VI, SECTION B, LINE 15 THE FOUNDATION HAS A COMPENSATION COMMITTEE COMPRISED ONLY OF INDEPENDENT TRUSTEES; CONTEMPORANEOUS MINUTES ARE KEPT OF THEIR MEETINGS AND DECISIONS. THE COMMITTEE ENGAGES A COMPENSATION CONSULTANT TO PROVIDE COMPARABILITY DATA AND OTHER GUIDANCE. THE PROCESS WAS LAST COMPLETED JUNE 27, 2022. FORM 990, PART VI, SECTION C, LINE 19 THE FOUNDATION DOES NOT MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY OR AUDITED FINANCIAL STATEMENTS PUBLICLY AVAILABLE. FORM 990, PART XI, LINE 9: K-1 FLOW THROUGH OF UNRELATED BUSINESS INCOME/LOSS -3,748,116. CHARITABLE REMAINDER TRUSTS (48) TRUST AZ UNIVERSITY OF AZ FOUNDATION 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0