2023-05-15T17:59:49-05:00 2022-06-30 990 2021-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL ST WASHIN BLDG N DURHAM NC 27701 RACHEL L SATTERFIELD TREASURER/VP FINANCE 9196842006 2023-05-10 RACHEL SATTERFIELD 999009999 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z VINCENT E PRICE 324 BLACKWELL STREET DURHAM NC 27701 4643982765 0 X WWW.DUKE.EDU X 1841 NC TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH 34 31 29863 13694 3055491 0 1644602647 1744843238 1035370777 1263463598 1932848147 1484259112 87782512 111812854 4700604083 4604378802 397888751 431669101 0 0 1812055884 1953685984 651165 1736716 61985586 1059962353 1237181061 3270558153 3624272862 1430045930 980105940 21418812041 20871034050 4868988740 4716557214 16549823301 16154476836 SEE SCHEDULE O 0 0 1732383335 373477433 995464957 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 6,119 STUDENTS ANNUALLY 1110222711 57692469 1400833833 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS 382845254 499199 156288225 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY 3225451300 1 1 0 1 0 0 1 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 1 0 1 0 1 1 0 0 1 1 1 1 0 0 1 X 11281 0 1 29863 1 1 1 1 SP UK TZ CH SN MA IN KE SW DA NO MY PL PO GR EI GM IS HU 0 0 0 1 1 0 0 0 1 0 1 1 X 34 31 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MD MA MI NH NJ NY OR SC X X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST STE 850 DURHAM NC 27701 VINCENT E PRICE PRESIDENT/TRUSTEE 48.00 3.30 X X 1953126 0 52956 MARY T BARRA TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL J BINGLE TRUSTEE 2.00 0.00 X 0 0 0 LISA M BORDERS TRUSTEE 4.00 0.00 X 0 0 0 IBRAHIM BUTT TRUSTEE 2.00 0.00 X 0 0 0 TIMOTHY D COOK TRUSTEE 2.00 0.00 X 0 0 0 EDDY H CUE TRUSTEE 2.00 0.00 X 0 0 0 ANN PELHAM CULLEN TRUSTEE 4.00 0.00 X 0 0 0 NANCY-ANN DEPARLE TRUSTEE 2.00 0.00 X 0 0 0 XIQING GAO TRUSTEE 2.00 0.00 X 0 0 0 EDWARD A GILHULY TRUSTEE 4.00 1.50 X 0 0 0 MYCHAL D HARRISON TRUSTEE 2.00 0.10 X 0 0 0 GERALD HASSELL TRUSTEE 4.00 1.00 X 0 0 0 WILLIAM HAWKINS TRUSTEE 6.00 4.10 X 0 0 0 GRANT H HILL TRUSTEE 2.00 0.00 X 0 0 0 BETSY D HOLDEN TRUSTEE 4.00 0.00 X 0 0 0 KATHRYN A HOLLISTER TRUSTEE 4.00 0.00 X 0 0 0 WILLIAM G KAELIN JR TRUSTEE 2.00 0.00 X 0 0 0 PATRICIA RODERICK MORTON TRUSTEE 3.00 0.00 X 0 0 0 STEPHEN G PAGLIUCA TRUSTEE 1.00 0.00 X 0 0 0 ROBERT R PENN TRUSTEE 2.00 0.00 X 0 0 0 JB PRITZKER TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL G RHODES TRUSTEE 2.00 0.00 X 0 0 0 CARMICHAEL S ROBERTS TRUSTEE 1.00 1.00 X 0 0 0 NANCY M SCHLICHTING TRUSTEE 2.00 2.00 X 0 0 0 STEVEN M SCOTT MD TRUSTEE 2.00 4.00 X 0 0 0 ADAM SILVER TRUSTEE 6.00 0.00 X 0 0 0 LAURENE M SPERLING TRUSTEE 6.00 0.10 X 0 0 0 ASHLEY CROWDER STANLEY TRUSTEE 2.00 0.00 X 0 0 0 L FREDERICK SUTHERLAND TRUSTEE 2.00 0.00 X 0 0 0 KELLY C TANG TRUSTEE 2.00 0.00 X 0 0 0 JEFFREY W UBBEN TRUSTEE 2.00 0.00 X 0 0 0 TREY WALK TRUSTEE 2.00 0.00 X 0 0 0 HOPE MORGAN WARD TRUSTEE 1.00 0.00 X 0 0 0 VICTORIA NEVOIS INTERIM TREASURER 40.00 0.50 X 394246 0 51903 MARGARET W EPPS UNIVERSITY SECRETARY 50.00 0.00 X 423587 0 52899 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 50.00 0.30 X 687628 0 50664 SALLY KORNBLUTH PROVOST 61.00 0.50 X 965031 54375 47263 DANIEL ENNIS EXECUTIVE VICE PRESIDENT 41.00 6.00 X 1422764 0 68457 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 33.00 33.60 X 2678662 0 49172 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN, SOM 55.00 0.60 X 756269 0 60262 MARK E CORIGLIANO INVESTMENT MANAGER 50.00 0.00 X 1028688 0 200345 EVAN L JONES INVESTMENT MANAGER 50.00 0.00 X 1192192 0 209849 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 50.00 0.00 X 426583 0 63015 JUSTIN B NIXON INVESTMENT MANAGER 40.00 0.00 X 1175662 0 212920 JENNIFER FRANCIS EXECUTIVE VICE PROVOST FIN & ADMIN 80.00 0.20 X 739504 0 48765 VALERIE ASHBY DEAN, COLLEGE OF A & S 40.00 0.00 X 585153 0 41713 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 40.00 0.40 X 2842965 0 117778 MARY E KLOTMAN MD VICE CHAN. FOR HEALTH AFFAIRS & DEAN OF SOM 44.00 11.50 X 1203454 0 50081 TALLMAN TRASK EXECUTIVE VICE PRESIDENT 40.00 0.00 X 1597615 0 6264 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 40.00 0.00 X 1351145 0 50256 RALPH SNYDERMAN CHANCELLOR EMERITUS & CHIEF OF RHEUMATOLOGY 40.00 0.10 X 1253711 0 51992 DAVID N CUTCLIFFE COACH 40.00 0.00 X 2907206 0 109551 MICHAEL W KRZYZEWSKI COACH 40.00 0.00 X 6409991 0 1019319 RICHARD RIDDELL FORMER OFFICER 50.00 0.00 X 342648 0 52784 JAMES S ROBERTS EXEC VICE-PROVOST FIN & ADMIN 40.00 0.00 X 148954 0 22646 NANCY ANDREWS MD FORMER KEY EMPLOYEE 40.00 0.00 X 384364 0 56857 32871148 54375 2747711 4446 1 1 0 BE&K BUILDING GROUP LLC 201 E MCBEE AVE SUITE 400 GREENVILLE SC 29601 CONSTRUCTION SERVICE 25114580 LECHASE CONSTRUCTION SERVICES LLC 324 BLACKWELL ST 130 DURHAM NC 27701 CONSTRUCTION SERVICE 16905257 ALLEGIS GROUP HOLDING INC 3689 COLLECTION CTR DR CHICAGO IL 60693 TEMPORARY SERVICES 13031870 UNC-CH OFC OF SPONSORED RESEARCH FRANKLIN ST CHAPEL HILL NC 27599 SPONSORED RESEARCH 11704775 PENSION BENEFIT GUARANTY CORP PO BOX 105758 ATLANTA GA 30348 PREMIUM FILING 10317563 778 3095461 103368575 968680900 669698302 44787341 1744843238 TUITION & FEES 611600 950489293 950489293 ANCILLARY STUDENT SVCS 611600 156787424 156787424 CONTINUING EDUCATION 611600 39769710 39769710 CONFERENCE FEES 611600 5205954 5205954 ACADEMIC MED. RESEARCH 611600 2990431 2990431 108220786 108220786 1263463598 77141490 77141490 65405568 65405568 26316320 21777196 4539124 4539124 4539124 1424320198 15917455 1285121 1408402743 -1285121 1407117622 1407117622 156884 3095461 624191 -467307 -467307 MISC SALES 611710 27621997 24566506 3055491 STUDENT DUES 611710 4475083 4475083 VARIOUS FEES AND FINES 611710 786518 786518 9451871 9451871 42335469 4604378802 1302743576 3055491 1553736497 346734764 346734764 75842445 75842445 9091892 9091892 22949580 655332 20991416 1302832 1767551 1548558 218993 1530237353 1319935944 173972058 36329351 109459949 93962290 12892592 2605067 183151274 155820338 22935701 4395235 106120277 90202235 13371155 2546887 29943767 3335338 26531550 76879 677407 24598 652809 1736716 1736716 32847259 32847259 172917444 144405701 28005272 506471 6690821 4968679 1067321 654821 114874996 114673825 -1217604 1418775 37399014 24379966 12390861 628187 68065842 34871744 33194098 107886847 90902000 16674777 310070 23922696 22087179 881797 953720 27711708 20379722 2307581 5024405 85230394 49987437 35229756 13201 275878214 258222008 17656206 4840630 5659013 -833488 15105 SUBRECIPIENT PAYMENTS 223247196 223247196 EQUIP RENTAL & MAINTENA 59310078 59060507 249571 COST OF GOODS SOLD 18969993 17255301 1440187 274505 PRINTING & PUBLICATIONS 5209548 3923886 511707 773955 -58442793 54273402 -114886028 2169833 3624272862 3225451300 336835976 61985586 324297393 132747395 445871185 442734661 145553638 174355011 21495475 18087616 19412502 24006750 138384778 257457684 6745388937 4087440964 2792287888 2657947973 3558775861 3324769216 12045521709 11974123983 1927211612 1864803761 21418812041 20871034050 533292574 473233871 222308013 226259379 371845000 363845000 3307927 2989207 2290820284 2269883991 1447414942 1380345766 4868988740 4716557214 X 7112788416 7087186814 9437034885 9067290022 16549823301 16154476836 21418812041 20871034050 X 980105940 -1646145022 270692617 X X 0 1 X 1 1 1 X 1476290488 1480705479 1566915508 1644602647 1744843238 7913357360 1476290488 1480705479 1566915508 1644602647 1744843238 7913357360 2644461875 5268895485 169049549 203730248 162807744 159171847 147086200 841845588 592044767 439296466 318402196 1861829048 1449609975 4661182452 13416385400 5770978711 0.39270 0.43650 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: GAIN/LOSS ON SECURITIES - 2017 AMOUNT: $ 554,086,687. 2018 AMOUNT: $ 400,712,460. 2019 AMOUNT: $ 282,550,326. 2020 AMOUNT: $ 1,825,869,704 2021 AMOUNT: $ 1,407,117,622 OTHER REVENUE - 2017 AMOUNT: $ 37,958,080. 2018 AMOUNT: $ 38,584,006. 2019 AMOUNT: $ 35,851,870. 2020 AMOUNT: $ 35,959,344. 2021 AMOUNT: $ 42,492,353. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 289412 0 1 26861 316273 0 FORM 990, SCHEDULE C, PART II-B DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES HAVE AND SOME SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. X 1 0.21 0 0 1 1 2266550 53208061 X X X X 1 12650280988 152726663 -309426343 111275744 287787237 18811755 12075706572 8446092302 179916138 4490240275 103342939 342917950 19706838 12650280988 8580756409 386986275 -41907680 93600293 366342134 19800275 8446092302 8497566118 177375334 398470450 91566848 380223513 20865132 8580756409 7886329071 117860979 908790366 89041660 305957313 20415325 8497566118 0.60520 0.29510 0.09970 1 1 1 33706458 33706458 4762303219 2637476467 2124826752 337859039 229217802 108641237 876129890 699523223 176606667 735390331 521223472 214166859 2657947973 SHORT TERM INVESTMENTS -36900609 F US GOVERNMENT SECURITIES 1419784 F REAL ASSETS 1694045998 F PRIVATE CAPITAL 5692630354 F HEDGED STRATEGIES 2885205246 F OTHER INVESTMENTS 26028191 F FIXED INCOME 1306908699 F EQUITIES 404786320 F 11974123983 DEPOSITS WITH BOND TRUSTEE 22 INTEREST IN PERPETUAL TRUST HELD BY OTHERS 1202332304 OPERATING LEASE RIGHT-OF-USE ASSET 662471435 1864803761 ANNUITY AND SPLIT INTEREST OBLIGATIONS 73202284 POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 384525752 FUNDS HELD FOR OTHERS 115668333 REFUNDABLE FEDERAL STUDENT LOANS 14719289 CONDITIONAL ASSET RETIREMENT 35857852 INTERNATIONAL LOAN RESERVE 6165500 GENERAL INSURANCE IBNR 5371000 OTHER 36271314 OPERATING LEASE LIABILITY 708564442 1380345766 PART II, LINE 5: DUKE FOREST, A DEPARTMENT WITHIN DUKE UNIVERSITY, IS COMMITTED TO PROTECTING THE PURPOSE OF THE CONSERVATION EASEMENT. ACCORDINGLY, A WRITTEN MONITORING PROGRAM WAS DEVELOPED TO MAINTAIN AND PROTECT 12 SIGNIFICANT NATURAL HERITAGE AREAS WITHIN NORTH CAROLINA, INCLUDING THE CONSERVATION EASEMENT NOTED ON SCHEDULE D, PART II. THE POLICY INCLUDES DETAILS ABOUT CONDUCTING AN ONSITE INSPECTION, DOCUMENTING ALL FINDINGS ACCORDING TO A SITE-SPECIFIC MONITORING CHECKLIST. A POST-MONITORING REPORT AND OTHER DOCUMENTATION IS COMPLETED AS NECESSARY. DUKE FOREST STAFF (AND OTHER EXPERTS AS NECESSARY) ARE CONSULTED TO DETERMINE IF STEWARDSHIP EFFORTS ARE NECESSARY TO ENSURE THE PURPOSE OF THE CONSERVATION EASEMENT. WHILE NOT IN THE WRITTEN DOCUMENT, THE INITIAL STEP TAKEN BY DUKE FOREST WOULD BE TO CONTACT THE RESPONSIBLE PARTY TO REQUEST REMEDY OF THE INFRACTION. SUBSEQUENT STEPS WOULD INCLUDE, BUT ARE NOT LIMITED TO CONSULTING WITH UNIVERSITY COUNSEL. THE EASEMENT DOCUMENTS DO NOT INCLUDE THE POLICY AS THE EASEMENT DOCUMENTS WERE CREATED BEFORE THE POLICY DOCUMENT. PART II, LINE 9: THE CONSERVATION EASEMENT REPORTED ABOVE WAS NOT INCLUDED IN DUKE UNIVERSITY'S STATEMENT OF ACTIVITIES, BALANCE SHEET, NOR FOOTNOTES TO THE FINANCIAL STATEMENTS. SCHEDULE D, PART III, LINE 4 ART COLLECTION DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCE WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING. SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. SCHEDULE D, PART X LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FASB ASC 740 DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FASB ASC 740 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FASB ASC 740 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FASB ASC 740 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2022. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 FORM 990, SCHEDULE E, LINE 3 EQUAL OPPORTUNITY AND NON DISCRIMINATION STATEMENT DUKE UNIVERSITY AND DUKE UNIVERSITY HEALTH SYSTEM ("DUKE") ARE COMMITTED TO ENCOURAGING AND SUSTAINING A LEARNING AND WORK COMMUNITY FREE FROM DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT. DUKE IS COMMITTED TO MAINTAINING AN INCLUSIVE COMMUNITY THAT RESPECTS AND VALUES ALL OF ITS MEMBERS, INCLUDING, BUT IS NOT LIMITED TO, FULL AND PART-TIME STUDENTS AND EMPLOYEES, INCLUDING FACULTY MEMBERS, PHYSICIANS, STAFF EMPLOYEES, UNDERGRADUATE STUDENTS, GRADUATE AND PROFESSIONAL STUDENTS, DOCTORAL STUDENTS, POSTDOCTORAL SCHOLARS AND FELLOWS, MEDICAL RESIDENTS, STUDENT EMPLOYEES, AND TEMPORARY AND CONTRACT EMPLOYEES, INCLUDING HOUSE STAFF, AND THIRD PARTIES WHO ARE WITHIN DUKE'S PROGRAMS AND ACTIVITIES, INCLUDING APPLICANTS FOR ADMISSION AND EMPLOYMENT, VISITORS, VISITING SCHOLARS, PATIENTS, EMPLOYEES OF DUKE CONTRACTORS, AND PROGRAM PARTICIPANTS. THE OFFICE FOR INSTITUTIONAL EQUITY (OIE) IS RESPONSIBLE FOR ADMINISTERING THE POLICY ON PROHIBITED DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT ("POLICY") AND ITS IMPLEMENTING PROCEDURES. THE VICE PRESIDENT FOR INSTITUTIONAL EQUITY IS DUKE'S DESIGNATED COORDINATOR FOR SECTION 504 OF THE REHABILITATION ACT OF 1973 AND THE AGE DISCRIMINATION ACT OF 1975. THE ASSISTANT VICE PRESIDENT, HARASSMENT AND DISCRIMINATION PREVENTION AND COMPLIANCE IS DUKE'S DESIGNATED COORDINATOR FOR TITLE IX OF THE EDUCATION AMENDMENTS OF 1972. THESE OFFICERS MAY BE CONTACTED AT THE OFFICE FOR INSTITUTIONAL EQUITY, SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708, (919) 684-8222, OIE-HELP@DUKE.EDU. THIS POLICY PROHIBITS DISCRIMINATION AND HARASSMENT ON THE BASIS OF AGE, COLOR, DISABILITY, GENDER, GENDER EXPRESSION, GENDER IDENTITY, GENETIC INFORMATION, NATIONAL ORIGIN, RACE, RELIGION, SEX (INCLUDING PREGNANCY), SEXUAL ORIENTATION, OR VETERAN STATUS (COLLECTIVELY, "PROTECTED STATUS OR "PROTECTED CHARACTERISTICS"). THIS PROHIBITION INCLUDES DISCRIMINATION AND HARASSMENT BASED ON THE PERCEPTION OF AN INDIVIDUAL'S PROTECTED STATUS, EVEN IF THAT PERCEPTION IS INCORRECT. THE POLICY ALSO PROHIBITS RELATED MISCONDUCT, SUCH AS SEXUAL ASSAULT, RELATIONSHIP VIOLENCE, STALKING, AND RETALIATION. THIS POLICY APPLIES TO ALL OPERATIONS OF DUKE UNIVERSITY AND DUKE UNIVERSITY HEALTH SYSTEM. THE POLICY SHOULD BE READ CONSISTENTLY WITH ALL APPLICABLE FEDERAL, STATE AND LOCAL LAWS ADDRESSING DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT. ADDITIONAL INFORMATION, INCLUDING THE COMPLETE TEXT OF THE POLICY ON PROHIBITED DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT AND APPROPRIATE COMPLAINT PROCEDURES, MAY BE FOUND BY VISITING THE OFFICE FOR INSTITUTIONAL EQUITY'S WEBSITE AT: HTTPS://OIE.DUKE.EDU/. FOR FURTHER INFORMATION ON NOTICE OF NONDISCRIMINATION, YOU CAN CONTACT THE UNIVERSITY OFFICE NOTED ABOVE,OR VISIT HTTPS://WWW2.ED.GOV/ABOUT/OFFICES/LIST/OCR/INDEX.HTML, FOR THE ADDRESS AND PHONE NUMBER OF THE OFFICE FOR CIVIL RIGHTS, U.S. DEPARTMENT OF EDUCATION, OFFICE THAT SERVES YOUR AREA, OR CALL 1-800-421-3481. DISSEMINATION THE EQUAL EMPLOYMENT OPPORTUNITY POLICY IS DISTRIBUTED TO ALL MEMBERS OF THE DUKE COMMUNITY. POLICY INFORMATION IS PROVIDED TO NEW EMPLOYEES AT ORIENTATION SESSIONS AND TO UNION OFFICIALS REPRESENTING DUKE EMPLOYEES. THE EQUAL EMPLOYMENT OPPORTUNITY STATEMENT IS PUBLISHED IN HUMAN RESOURCE POLICY MANUALS, THE FACULTY HANDBOOK, THE STAFF HANDBOOK, AND IS POSTED ON BULLETIN BOARDS THROUGHOUT DUKE. THE POLICY IS DISCUSSED IN MANAGEMENT TRAINING PROGRAMS AND IS DESCRIBED IN VARIOUS LITERATURE DISTRIBUTED BY DUKE. NONDISCRIMINATION CLAUSES ARE INCLUDED IN ALL UNION AGREEMENTS AND ALL SUCH CONTRACTUAL PROVISIONS ARE REVIEWED TO ENSURE THAT THEY ARE NONDISCRIMINATORY [41 CFR 60-300.44(F) AND (G) & 41 CFR 60-741.44(F) AND (G)]. PURSUANT TO REGULATIONS, ALL DUKE PURCHASE ORDERS, LEASES, AND CONTRACTS INCORPORATE THE FOLLOWING EQUAL OPPORTUNITY CLAUSE SETTING FORTH DUKE'S EXPECTATIONS: THE CONTRACTOR AND SUBCONTRACTOR SHALL ABIDE BY THE REQUIREMENTS OF 1 CFR 60-1.4(A), 60-300.5(A) AND 60-741.5(A). THESE REGULATIONS PROHIBIT DISCRIMINATION AGAINST QUALIFIED INDIVIDUALS BASED ON THEIR STATUS AS PROTECTED VETERANS OR INDIVIDUALS WITH DISABILITIES, AND PROHIBIT DISCRIMINATION AGAINST ALL INDIVIDUALS BASED ON THEIR RACE, COLOR, RELIGION, SEX, SEXUAL ORIENTATION, GENDER IDENTITY OR NATIONAL ORIGIN. MOREOVER, THESE REGULATIONS REQUIRE THAT COVERED PRIME CONTRACTORS AND SUBCONTRACTORS TAKE AFFIRMATIVE ACTION TO EMPLOY AND ADVANCE IN EMPLOYMENT INDIVIDUALS WITHOUT REGARD TO RACE, COLOR, RELIGION, SEX, SEXUAL ORIENTATION, GENDER IDENTITY, GENDER EXPRESSION, NATIONAL ORIGIN, DISABILITY OR VETERAN STATUS. PUBLICATIONS AND OTHER DUKE MATERIALS REPRESENT ALL INDIVIDUALS, REGARDLESS OF DEMOGRAPHIC PROFILE AND INCLUDE SPECIAL CONSIDERATION OF PERSONS THAT CLAIM DISABILITY OR VETERAN STATUS. RECRUITING ADVERTISEMENTS STATE THAT DUKE IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. AN EXPANDED STATEMENT TO CONVEY DUKE'S COMMITMENT TO DIVERSITY AND INCLUSION IS INCLUDED IN DOCUMENTS AND POSITION DESCRIPTIONS: DUKE IS AN AFFIRMATIVE ACTION/EQUAL OPPORTUNITY EMPLOYER COMMITTED TO PROVIDING EMPLOYMENT OPPORTUNITY WITHOUT REGARD TO AN INDIVIDUAL'S AGE, COLOR, DISABILITY, GENDER, GENDER EXPRESSION, GENDER IDENTITY, GENETIC INFORMATION, NATIONAL ORIGIN, RACE, RELIGION, SEX, SEXUAL ORIENTATION, OR VETERAN STATUS. FORM 990, SCHEDULE E, LINE 6 EXPLANATION OF GOVERNMENT FINANCIAL AID IN FUTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSITY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, MEDICAL PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS. 0 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 10000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 116000 CENTRAL AMERICA AND THE CARIBBEAN 0 3 PROGRAM SERVICES STUDY ABROAD 86000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEMINAR 22000 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 8935000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 69000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 3039000 EAST ASIA AND THE PACIFIC 0 2 PROGRAM SERVICES STUDY ABROAD 41000 EAST ASIA AND THE PACIFIC 0 0 SEMINAR 314000 EUROPE 0 0 GRANTMAKING 117000 EUROPE 0 0 PROGRAM SERVICES EDUCATON 490000 EUROPE 0 0 PROGRAM SERVICES RESEARCH 6318000 EUROPE 0 34 PROGRAM SERVICES STUDY ABROAD 3245000 EUROPE 0 0 SEMINAR 1280000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATION 29000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 190000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 181000 MIDDLE EAST AND NORTH AFRICA 0 0 SEMINAR 75000 NORTH AMERICA 0 0 GRANTMAKING 6000 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 20000 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 6064000 NORTH AMERICA 0 0 SEMINAR 159000 RUSSIA 0 0 SEMINAR 22000 SOUTH AMERICA 0 0 GRANTMAKING 10000 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 49000 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 392000 SOUTH AMERICA 0 6 PROGRAM SERVICES STUDY ABROAD 349000 SOUTH AMERICA 0 0 SEMINAR 119000 SOUTH ASIA 0 0 GRANTMAKING 3000 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 205000 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 1038000 SOUTH ASIA 0 0 SEMINAR 44000 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 21000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 50000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 3033000 SUB-SAHARAN AFRICA 0 10 PROGRAM SERVICES STUDY ABROAD 300000 SUB-SAHARAN AFRICA 0 0 SEMINAR 90000 0 5 0 50 0 55 12318000 24213000 36531000 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, GENERAL SUPPORT 8934401 WIRE 0 EUROPE (INCLUDING ICELAND & GREENLAND) GENERAL SUPPORT 44486 WIRE 0 SUB-SAHARAN AFRICA GENERAL SUPPORT 16780 WIRE 0 0 4 INTERNATIONAL SOCIETY OF BAYESIAN ANALYSIS AWARD EAST ASIA AND THE PACIFIC 1 1000 WIRE CASE COMPETITION PRIZE EUROPE (INCLUDING ICELAND & GREENLAND) 6 6500 WIRE INTERNATIONAL SOCIETY OF BAYESIAN ANALYSIS AWARD EUROPE (INCLUDING ICELAND & GREENLAND) 8 8000 WIRE MISC PRIZE/AWARDS EUROPE (INCLUDING ICELAND & GREENLAND) 3 2771 WIRE PUBLIC INTERNATIONAL LAW AWARD EUROPE (INCLUDING ICELAND & GREENLAND) 1 55000 WIRE INTERNATIONAL SOCIETY OF BAYESIAN ANALYSIS AWARD NORTH AMERICA 2 2000 WIRE MISC PRIZE/AWARDS NORTH AMERICA 3 3700 WIRE CASE COMPETITION PRIZE SOUTH ASIA 2 3000 WIRE MISC PRIZE/AWARDS SOUTH AMERICA 1 10000 WIRE 0 0 1 0 0 1 PART III ACCOUNTING METHOD: SCHEDULE F, PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO SEVERAL ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. X X X X X X X 1 PALISADES MEDIA GROUP INC SEE PART IV FOR ADDRESS SANTA MONICA CA 90404 FUNDRAISING RELATED MARKETING & ADVERTISING 0 0 0 394138 TWO BY FOUR LTD SEE PART IV FOR ADDRESS CHICAGO IL 60602 FUNDRAISING RELATED MARKETING & ADVERTISING 0 0 0 204299 SAVAS LABS INC SEE PART IV FOR ADDRESS RALEIGH NC 27603 FUNDRAISING RELATED WEBSITE DEVELOPMENT 0 0 0 150000 ORACLE AMERICA INC SEE PART IV FOR ADDRESS REDWOOD SHORES CA 94025 FUNDRAISING RELATED DATABASE DEVELOPMENT 0 0 0 110779 BNY MELLON NA SEE PART IV FOR ADDRESS NEW YORK NY 10286 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 78488 COMMUNITY COUNSELLING SVC CO SEE PART IV FOR ADDRESS NEW YORK NY 10022 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 75000 GRENZEBACH GLIER & ASSOCIATES SEE PART IV FOR ADDRESS CHICAGO IL 60611 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 66219 STANFORD UNIVERSITY SEE PART IV FOR ADDRESS STANFORD CA 94305 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 63000 NO REGRET PRODUCTIONS LLC SEE PART IV FOR ADDRESS DURHAM NC 27713 FUNDRAISING RELATED GRAPHIC DESIGN & PHOTOGRAPHY 0 0 0 59050 DANIELS TOURS LLC SEE PART IV FOR ADDRESS RALEIGH NC 27616 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 52425 1253398 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI CMN 2334652 2284652 50000 383661 RADIOTHON 485703 435565 50138 30872 6 431990 375244 56746 0 37874 5576 15702 495 150011 3252345 3095461 156884 37874 5576 15702 495 564544 624191 -467307 SCHEDULE G, PART I, LINE 2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: PALISADES MEDIA GROUP INC (I) ADDRESS OF FUNDRAISER: 1601 CLOVERFIELD BLVD, SANTA MONICA, CA 90404 (I) NAME OF FUNDRAISER: TWO BY FOUR LTD (I) ADDRESS OF FUNDRAISER: 10 N DEARBORN ST, CHICAGO, IL 60602 (I) NAME OF FUNDRAISER: SAVAS LABS INC (I) ADDRESS OF FUNDRAISER: 1 GLENWOOD AVE, RALEIGH, NC 27603 (I) NAME OF FUNDRAISER: ORACLE AMERICA INC (I) ADDRESS OF FUNDRAISER: 500 ORACLE PKWY, REDWOOD SHORES, CA 94065 (I) NAME OF FUNDRAISER: BNY MELLON NA (I) ADDRESS OF FUNDRAISER: 1 WALL ST, NEW YORK, NY 10286 (I) NAME OF FUNDRAISER: COMMUNITY COUNSELLING SVC CO LLC (I) ADDRESS OF FUNDRAISER: 527 MADISION AVE, NEW YORK, NY 10022 (I) NAME OF FUNDRAISER: GRENZEBACH GLIER & ASSOCIATES (I) ADDRESS OF FUNDRAISER: 401 N. MICHIGAN AVE, CHICAGO, IL 60611 (I) NAME OF FUNDRAISER: STANFORD UNIVERSITY (I) ADDRESS OF FUNDRAISER: 691 PAMPAS LANE, STANFORD, CA 94305 (I) NAME OF FUNDRAISER: NO REGRET PRODUCTIONS LLC (I) ADDRESS OF FUNDRAISER: 2530 MERIDAN PKWY, DURHAM, NC 27713 (I) NAME OF FUNDRAISER: DANIELS TOURS LLC (I) ADDRESS OF FUNDRAISER: 8311 BRIAR CREEK PKWY, RALEIGH, NC 27616 SCHEDULE G, LINE 2(B), COLUMN (V) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMNS (I-V). THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED. THERE ARE NO AGREEMENTS THAT PROVIDE EXCLUSIVELY FOR EXPENSES, BUT NOT FOR PROFESSIONAL FUNDRAISING SERVICES. 1 ALAMANCE COMMUNITY COLLEGE PO BOX 800 GRAHAM NC 27253 581511004 501(C)(3) 0 13500 FMV 3D PRINTER GENERAL SUPPORT AMERICAN RED CROSS 25688 NETWORK PLACE CHICAGO IL 606731256 530196605 501(C)(3) 14071 0 GENERAL SUPPORT AMY E KELLY EDUCATION FOUNDATION 1815 CHANDELLAY DRIVE DURHAM NC 27705 464263928 501(C)(3) 10988 0 COMMUNITY SUPPORT BIKE DURHAM PO BOX 25236 DURHAM NC 27702 465356944 501(C)(3) 7500 0 COMMUNITY SUPPORT BOOK HARVEST 2501 UNIVERSITY DR DURHAM NC 27707 452610533 501(C)(3) 15500 0 COMMUNITY SUPPORT CARROLL MINISTRIES INTERNATIONAL 833 BROOKHURST ST OAKLAND CA 94608 264726567 501(C)(3) 10000 0 INNOVATION AWARD CHABAD AT DUKE UG INC 204 N BUCHANAN BLVD DURHAM NC 27701 813815268 501(C)(3) 75000 0 COMMUNITY SUPPORT CHARLES HAMILTON HOUSTON FOUNDATION PO BOX 25138 DURHAM NC 27702 474992302 501(C)(3) 10000 0 COMMUNITY SUPPORT CHI OMEGA FRATERNITY 3395 PLAYERS CLUB PKWY MEMPHIS TN 38125 566194343 501(C)(7) 6117 0 GENERAL SUPPORT CITY OF DURHAM 101 CITY HALL PLAZA DURHAM NC 27701 566000225 255000 0 COVID SUSTAINED ENGAGEMENT/COMMUNITY SUPPORT COALITION FOR SPIRITUAL AND PUBLIC 1701 S 1ST AVE SUITE 407 MAYWOOD IL 60153 821777262 501(C)(3) 10000 0 COMMUNITY SUPPORT COMMUNITIES IN PARTNERSHIP PO BOX 11247 DURHAM NC 27703 475567396 501(C)(3) 27000 0 COMMUNITY SUPPORT COMMUNITY EMPOWERMENT FUND 208 N COLUMBIA ST SUITE 100 CHAPEL HILL NC 275143504 270428981 501(C)(3) 6018 0 COMMUNITY SUPPORT CUMBERLAND RESIDENTIAL AND EMPLOYMENT SERVICES TRAINING PO BOX 877 FAYETTEVILLE NC 28302 561258754 501(C)(3) 0 15400 FMV OFFICE FURNITURE GENERAL SUPPORT DONT EVER GIVE UP INC 14600 WESTON PKWY CARY NC 27513 475304184 501(C)(3) 25000 0 COMMUNITY SUPPORT DURHAM CHILDRENS INITIATIVE 2101 ANGIER AVE 200 DURHAM NC 27703 320263133 501(C)(3) 6000 0 COMMUNITY SUPPORT DURHAM LITERACY CENTER PO BOX 52209 DURHAM NC 27707 561479534 501(C)(3) 7500 0 COMMUNITY SUPPORT DURHAM PUBLIC SCHOOLS 1637 E LAWSON STREET DURHAM NC 27703 566001021 45999 0 GENERAL SUPPORT DURHAM PUBLIC SCHOOLS FOUNDATION 411 W CHAPEL HILL ST C2 DURHAM NC 27701 822803464 501(C)(3) 25500 0 COMMUNITY SUPPORT DURHAM TECHNICAL COMMUNITY COLLEGE 1637 LAWSON ST DURHAM NC 27703 560792513 501(C)(3) 10500 0 COMMUNITY SUPPORT DURHAMCARES INC PO BOX 331 DURHAM NC 27702 262689130 501(C)(3) 11500 0 GENERAL SUPPORT EL FUTURO INC 2020 E CHAPEL HILL ROAD SUITE 23 DURHAM NC 27707 800122334 501(C)(3) 124185 0 COVID IMPACT/COMMUNITY SUPPORT EMILY KRZYZEWSKI FAMILY LIFE CENTER 904 W CHAPEL HILL ST DURHAM NC 27701 562230469 501(C)(3) 258360 0 COMMUNITY SUPPORT EMPOWERED PARENTS IN COMMUNITY PO BOX 51431 DURHAM NC 27717 841926159 501(C)(3) 10000 0 GENERAL SUPPORT FAMILIES MOVING FORWARD 300 N QUEEN ST DURHAM NC 27701 561633998 501(C)(3) 100000 0 COVID SUSTAINED SUPPORT FARMER FOODSHARE INC 902 N MANGUM ST DURHAM NC 27701 273717889 501(C)(3) 8164 0 GENERAL SUPPORT FORWARD CITIES INC PO BOX 2008 DURHAM NC 27702 134302280 501(C)(3) 10000 0 SPONSORSHIP FRIENDS OF LAKEWOOD ELEMENTARY PTA 1505 BLOUNT ST DURHAM NC 27707 474144611 501(C)(3) 6660 0 COMMUNITY SUPPORT GATHER LAB LLC 15 RIPARIAN WAY SWANNANOA NC 28778 831254926 25000 0 GENERAL SUPPORT GRADUATE CHEMISTRY COUNCIL 124 SCIENCE DR BOX 90354 DURHAM NC 27708 834408726 501(C)(3) 7800 0 GENERAL SUPPORT HABITAT FOR HUMANITY OF DURHAM INC 215 N CHURCH ST DURHAM NC 27701 581674794 501(C)(3) 55000 0 COMMUNITY SUPPORT HELIUS FOUNDATION 2208 COLLIER DR DURHAM NC 27707 474482327 501(C)(3) 10000 0 COMMUNITY SUPPORT INDUSTRIAL COMMONS PO BOX 71 MORGANTON NC 28680 472080338 501(C)(3) 10000 0 INNOVATION AWARD KEEP DURHAM BEAUTIFUL 2011 FAY ST DURHAM NC 27704 020735076 501(C)(3) 25000 0 COMMUNITY SUPPORT KRAMDEN INSTITUTE 4915 PROSPECTUS DRIVE DURHAM NC 27713 743108814 501(C)(3) 2000 231290 FMV COMPUTER EQUIPMENT GENERAL SUPPORT LEARNING TREE LLC 1359 EDGEMONT AVE INDIANAPOLIS IN 46208 465751479 10000 0 INNOVATION AWARD LEGAL AID OF NORTH CAROLINA INC 319 CHAPANOKE RD STE 104 RALEIGH NC 27603 311784161 501(C)(3) 89852 0 GENERAL SUPPORT MICHAEL J FOX FOUNDATION FOR GRAND CENTRAL STATION PO BOX 4777 NEW YORK NY 10163 134141945 501(C)(3) 5585 0 GENERAL SUPPORT MONICA CHIBUOGU NNEJI FOUNDATION 3710 SHANNON ROAD UNIT 52272 DURHAM NC 27707 851546329 501(C)(3) 6500 0 COMMUNITY SUPPORT MUSEUM OF DURHAM HISTORY PO BOX 362 DURHAM NC 27702 943455685 501(C)(3) 10000 0 COMMUNITY SUPPORT NATIONAL ARCHIVES FOUNDATION 700 PENNSYLVANIA AVE NW RM G12 WASHINGTON DC 20408 521792608 501(C)(3) 22000 0 GENERAL SUPPORT NATIONAL PANHELLENIC CONFERENCE INC 12730 MEETING HOUSE RD STE 200 CARMEL IN 46032 526057229 501(C)(6) 17526 0 GENERAL SUPPORT NORTH CAROLINA ARTS IN ACTION INC PO BOX 51277 DURHAM NC 27717 203029784 501(C)(3) 9500 0 GENERAL SUPPORT NORTH CAROLINA CENTRAL UNIVERSITY 1801 FAYETTEVILLE ST DURHAM NC 27707 566000730 10000 0 COVID COMMUNITY INITIATIVE EDUCATION PAULI MURRAY CTR FOR HISTORY & POP BOX 541 DURHAM NC 27702 454926223 501(C)(3) 10784 0 COMMUNITY SUPPORT PORCH CHAPEL HILL-CARRBORO 412 E WINMORE AVE CHAPEL HILL NC 27516 272759081 501(C)(3) 5712 0 COMMUNITY SUPPORT PRINCETON THEOLOGICAL SEMINARY 12 LIBRARY PLACE PRINCETON NJ 08540 210635010 501(C)(3) 10000 0 GENERAL SUPPORT REGENTS OF THE UNIV OF CALIFONIA 9500 GILMAN DRIVE 0521 LA JOLLA CA 920930967 956006144 501(C)(3) 10000 0 GENERAL SUPPORT RESEARCH TRIANGLE FOUNDATION OF NC PO BOX 12255 RTP NC 27709 560853674 501(C)(4) 10000 0 SPONSORSHIP SAEF LEGAL AID 5658 S BLACKSTONE AVE 3 CHICAGO IL 60637 850832245 501(C)(3) 8500 0 LAW TECH LAB DEMO AWARD SCRIPPS NATIONAL SPELLING BEE POST OFFICE BOX 711861 CINCINNATI OH 452711861 261133667 7900 0 SPONSORSHIP SERVEMINNESOTA 120 SOUTH SIXTH ST SUITE 2260 MINNEAPOLIS MN 55402 412010058 501(C)(3) 100000 0 GENERAL SUPPORT STEPUP DURHAM 112 BROADWAY ST SUITE B DURHAM NC 27701 474578727 501(C)(3) 20900 0 COMMUNITY SUPPORT STUDENT U 600 E UMSTEAD ST DURHAM NC 27701 273460491 501(C)(3) 21000 0 COMMUNITY SUPPORT SWINGPALS PO BOX 2994 DURHAM NC 27715 274234469 501(C)(3) 5627 0 COMMUNITY SUPPORT TROSA 1820 JAMES ST DURHAM NC 27707 561861158 501(C)(3) 0 447629 FMV OFFICE/HOME FURNITURE GENERAL SUPPORT UNITING NC INC 201 W MAIN ST 100 DURHAM NC 27701 263275886 501(C)(3) 10000 0 COMMUNITY SUPPORT UNIVERSITY OF NORTH CAROLINA 113 NEW WEST CB 3267 CHAPEL HILL NC 275993267 566001393 501(C)(3) 10350 0 SPONSORSHIP URBAN MINISTRIES OF DURHAM INC PO BOX 249 DURHAM NC 27702 581505891 501(C)(3) 100700 5100 FMV VEHICLE COVID SUSTAINED/COMMUNITY SUPPORT WALLTOWN CHILDRENS THEATRE 1225 BERKLEY ST DURHAM NC 27705 562214825 501(C)(3) 10000 0 COMMUNITY SUPPORT WEST END COMMUNITY FOUNDATION PO BOX 51398 DURHAM NC 277171398 561858174 501(C)(3) 30000 0 COMMUNITY SUPPORT WESTERN NORTH CAROLINA CONFERENCE 13924 PROFESSIONAL CTR DR 200 HUNTERSVILLE NC 28078 566001441 501(C)(3) 11500 0 GENERAL SUPPORT WORLD RELIEF DURHAM 801 GILBERT ST 209 DURHAM NC 27701 236393344 501(C)(3) 12500 0 GENERAL SUPPORT YMCA OF THE TRIANGLE AREA INC 801 CORPORATE CENTER DR STE 200 RALEIGH NC 27606 560591307 501(C)(3) 20000 0 COMMUNITY SUPPORT 58 6 BLACK FOUNDERS PRIZE 5 57000 CASE COMPETITION PRIZE 6 5000 CIOMPI QUARTET AWARD 8 2801 COMMUNITY ENGAGED SCHOLARSHIP 5 21000 COVID ASSISTANCE 29 985 DUKE SYMPHONY ORCHESTRA CONDUCTORS AWARD 3 299 HEALTH PROFESSION RECREITMENT & EXPOSURE PROGRAM SCHOLARSHIP 8 9500 HOLTON PRIZE 9 5000 HYMN COMPETITION AWARD 4 2100 INTERNATIONAL SOCIETY OF BAYESIAN ANALYSIS 4 4000 JO RAE WRIGHT AWARD 13 14250 LEGAL DESIGN DERBY AWARD 14 7900 MD AWARD 5 15000 MISC STUDENT AWARD RESEARCH 132 235395 OPPORTUNITY AWARD 4 1078 PAUL BRYAN AWARD 3 900 PAULI MURRAY AWARD 3 1500 SCHOLARSHIP AWARD 12 6484 SOUTHEASTERN IMMUNOLOGY SYMPOSIUM AWARD 9 1650 SUMMER INTERNSHIP AWARD 11 42420 INTERNSHIP STIPENDS 831 2623650 GRADUATE SCHOLARSHIPS & STIPENDS 2220 33705242 UNDERGRADUATE SCHOLARSHIPS & STIPENDS 1200 5772720 PRE-DOC SCHOLARSHIPS & STIPENDS 47 495881 POST-DOC SCHOLARSHIPS & STIPENDS 31 360004 UNDERGRADUATE ATHLETIC SCHOLARSHIPS 553 29524107 GRADUATE ATHLETIC SCHOLARSHIPS 48 2926579 SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE, A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT. X X X X X 1 1 X X X X X X 0 1 0 0 0 0 0 0 0 MICHAEL W KRZYZEWSKI COACH 3470119 0 1275000 0 1664872 0 985599 0 33734 0 7429324 0 1267963 0 DAVID N CUTCLIFFE COACH 2487706 0 400000 0 19500 0 35296 0 82442 0 3024944 0 0 0 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 699107 0 2124358 0 19500 0 35296 0 84731 0 2962992 0 0 0 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 1399794 0 1259368 0 19500 0 35296 0 18451 0 2732409 0 0 0 VINCENT E PRICE PRESIDENT/TRUSTEE 1533626 0 400000 0 19500 0 35296 0 22679 0 2011101 0 0 0 TALLMAN TRASK EXECUTIVE VICE PRESIDENT 129115 0 1449000 0 19500 0 0 0 6607 0 1604222 0 0 0 DANIEL ENNIS EXECUTIVE VICE PRESIDENT 1138295 0 264969 0 19500 0 35296 0 36868 0 1494928 0 0 0 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 926645 0 5000 0 419500 0 35296 0 17964 0 1404405 0 400000 0 EVAN L JONES INVESTMENT MANAGER 389217 0 783475 0 19500 0 190746 0 20323 0 1403261 0 0 0 JUSTIN B NIXON INVESTMENT MANAGER 406816 0 768846 0 0 0 184471 0 29749 0 1389882 0 0 0 RALPH SNYDERMAN CHANCELLOR EMERITUS & CHIEF OF RHEUM 1253711 0 0 0 0 0 35296 0 20786 0 1309793 0 0 0 MARY E KLOTMAN MD VICE CHAN. FOR HEALTH AFFAIRS & DEAN 739376 0 444578 0 19500 0 35296 0 17068 0 1255818 0 0 0 MARK E CORIGLIANO INVESTMENT MANAGER 343495 0 665693 0 19500 0 169746 0 31668 0 1230102 0 0 0 SALLY KORNBLUTH PROVOST 800531 54375 145000 0 19500 0 35296 0 14553 0 1014880 54375 0 0 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN, SOM 456796 0 279973 0 19500 0 35296 0 26410 0 817975 0 0 0 JENNIFER FRANCIS EXECUTIVE VICE PROVOST FIN & ADMIN 539683 0 199821 0 0 0 35296 0 15189 0 789989 0 0 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 668128 0 0 0 19500 0 35296 0 17514 0 740438 0 0 0 VALERIE ASHBY DEAN, COLLEGE OF A & S 585153 0 0 0 0 0 35297 0 8301 0 628751 0 0 0 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 406573 0 510 0 19500 0 35296 0 28997 0 490876 0 0 0 MARGARET W EPPS UNIVERSITY SECRETARY 348587 0 75000 0 0 0 35296 0 18686 0 477569 0 0 0 VICTORIA NEVOIS INTERIM TREASURER 284746 0 90000 0 19500 0 35296 0 17481 0 447023 0 0 0 NANCY ANDREWS MD FORMER KEY EMPLOYEE 364864 0 0 0 19500 0 35296 0 22700 0 442360 0 0 0 RICHARD RIDDELL FORMER OFFICER 323148 0 0 0 19500 0 35296 0 18489 0 396433 0 0 0 JAMES S ROBERTS EXEC VICE-PROVOST FIN & ADMIN 148954 0 0 0 0 0 16816 0 6252 0 172022 0 0 0 PART I, LINE 1A CHARTER TRAVEL MICHAEL W. KRZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. VINCENT E. PRICE, A. EUGENE WASHINGTON, MD, MARGARET EPPS AND DANIEL ENNIS USED FIRST CLASS OR CHARTER TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS COMPANIONS HAVE TRAVELED WITH VINCENT E. PRICE AND MICHAEL W. KRZYZEWSKI. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. RESIDENCE FOR PERSONAL USE VINCENT E. PRICE AND A. EUGENE WASHINGTON, MD WERE PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITIES USED BY THE UNIVERSITY'S PRESIDENT AND CHANCELLOR. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THE FACILITIES ARE USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. CLUB DUES JAMES SCOTT GIBSON AND DANIEL G. ENNIS WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: KEVIN M WHITE $400,000 AND MICHAEL W. KRZYZEWSKI $1,610,000. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GLE6 2016-11-03 380642978 SEE PART VI 0 0 0 B NC CAPITAL FACILITIES FINANCE AGENCY 561592154 99VARIOUS 2018-06-27 472535000 SEE PART VI 0 0 0 A 380642978 378939046 1703932 2008 1 0 1 1 B 33860000 33860000 33860000 2015 1 0 0 1 A 0 0 1 1 1 1 0.00000 0.00150 0.00150 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 0 0 0 0 0 1 A 1 B 1 FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND BOND ISSUE (B): FORM 8038 LISTS THE CUSIP NUMBERS AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 6/27/2018 AND THERE WERE NO CUSIPS OUTSTANDING AS OF 6/30/2022 UNDER THE NEW ISSUE. FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (B): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($472,535,000) AND FIRST GENERATION CURRENT REFUNDING COMMERCIAL PAPER NOTES ($33,860,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. FORM 990, SCHEDULE K, PART 1(F) DESCRIPTION OF PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND A PORTION OF THE 2006A BONDS ISSUED 11/02/2016, (2) A PORTION OF THE 2006B BONDS ISSUED 01/09/2007. BOND ISSUE (B): COMMERCIAL PAPER PROGRAM, THE PURPOSE OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 07/16/2014 AND (2) FINANCE PROJECTS ON THE WEST, EAST AND CENTRAL CAMPUS OF DUKE UNIVERSITY. FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2 BOND ISSUE (A) - 11/01/2021 BOND ISSUE (B): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED STUDENT SEE PART V 4000 SCHOLARSHIP SEE PART V DEBORAH JAKUBS SEE PART V 348077 SEE PART V 0 BERNARD MATHEY-PREVOT SEE PART V 20000 SEE PART V 0 TREVOR PRICE SEE PART V 41511 SEE PART V 0 DANIEL LEW SEE PART V 223693 SEE PART V 0 LAURA STANLEY PIETROSIMONE SEE PART V 110316 SEE PART V 0 AGILITI HEALTH INC SEE PART V 88386 SEE PART V 0 SCH L, PART III, GRANTS OR ASSISTANCE BENEFITING INTERESTED PERSONS (A) NAME OF INTERESTED PERSON: STUDENT(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: STUDENT IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) DESCRIPTION OF TRANSACTION: TUITION ASSISTANCE(D) AMOUNT OF TRANSACTION: $4,000(E) TUITION ASSISTANCE SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF INTERESTED PERSON: DEBORAH JAKUBS(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DEBORAH JAKUBS IS A FAMILY MEMBER OF A DUKE UNIVERSITY FORMER KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $348,077(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: BERNARD MATHEY-PREVOT(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: BERNARD MATHEY-PREVOT IS A FAMILY MEMBER OF A DUKE UNIVERSITY FORMER KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $20,000(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: TREVOR PRICE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: TREVOR PRICE IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $41,511(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON:DANIEL LEW(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DANIEL LEW IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $223,693(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: LAURA STANLEY PIETROSIMONE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: LAURA STANLEY PIETROSIMONE IS A FAMILY MEMBER OF A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $110,316(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(A) NAME OF INTERESTED PERSON: AGILITI HEALTH INC(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: AGILITI HEALTH INC BOARD MEMBER IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $88,386(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS AND SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO X 19 2437262 VARIOUS X 149046 VARIOUS X 1262 41095060 MARKET QUOTE X EVENT TICKETS 3094 968560 FMV/FACE VALUE X EQUIPMENT 1 106200 VARIOUS X MISCELLANEOUS 266 31213 VARIOUS 13 0 1 1 PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION "JAMES B. DUKE'S FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION; AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO." FORM 990, PART VI, SECTION A, LINE 7A GRADUATES OF DUKE UNIVERSITY HAVE THE RIGHT TO ELECT TWELVE TRUSTEES TO SERVE ON THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT & COMPLIANCE COMMITTEE OF THE UNIVERSITY TRUSTEES. AT THE MEETING, THE DUKE UNIVERSITY TAX SENIOR DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, IS AVAILABLE FOR QUESTIONS FROM THE COMMITTEE. NOT ONLY IS THE COMMITTEE OFFERED AN OPPORTUNITY TO ASK QUESTIONS AT THE MEETING, BUT ALSO ANYTIME THEREAFTER BY CONTACTING THE TAX SENIOR DIRECTOR OR DUKE UNIVERSITY'S OFFICE OF COUNSEL, WHO IS ALSO INVOLVED WITH THE REVIEW OF DUKE UNIVERSITY'S FORM 990. SUBSEQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX SENIOR DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER. FORM 990, PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY. FORM 990, PART VI, SECTION B, LINE 15 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR CERTAIN DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY, ADVISE REGARDING COMPARATIVE COMPENSATION NORMS, AND ENSURE COMPLIANCE WITH IRS EXECUTIVE COMPENSATION RULES, INCLUDING INTERMEDIATE SANCTIONS, DEFERRED COMPENSATION, AND PRIVATE INUREMENT. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING. FORM 990, PART VI, SECTION C, LINE 18 IN ADDITION TO PROVIDING THE ORGANIZATION'S FORM 990 UPON REQUEST, THE ORGANIZATION'S FORM 990 IS AVAILABLE TO THE PUBLIC ON SEVERAL THIRD PARTY WEBSITES. WHILE THE ORGANIZATION DOES NOT PROVIDE THE FORM 990 DIRECTLY TO THESE THIRD PARTIES, THE FORM 990 IS OBTAINED FROM THE INTERNAL REVENUE SERVICE. THE THIRD PARTIES SUBSEQUENTLY AND INDEPENDENTLY PROVIDE ACCESS TO THE FORM 990 ON THEIR PLATFORM. FORM 990, PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS ORGANIZING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://RESOURCES.FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS2021-22. PDF (WEBLINK MUST BE INPUT IN ALL LOWER CASE LETTERS). FORM 990, PART XI, LINE 9: CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS -48,504,092. TRANSFERS FROM DUHS 125,399,296. NONPERIODIC CHANGES 194,255,913. OTHER CHANGES -458,500. FORM 990, PART XII, LINE 3B FEDERAL AWARDS RECEIVED BY THE ORGANIZATION ARE INCLUDED IN THE DUKE UNIVERSITY FY2022 SINGLE AUDIT. ITS AUDIT UNDER THE UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS WAS ISSUED BY THE EXTENDED DUE DATE OF MARCH 31, 2023. DUKE UK TRUST LIMITED 19 NORCOTT ROAD LONDON UK N167EJ 980555714 DEVELOPMENT UK 626577 56698 DUKE UNIVERSITY AMER ASSOC FOR GIFTED CHILDREN - 56-1686219 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 ANGIER B DUKE MEMORIAL INC 100 NORTH TRYON STREET CHARLOTTE NC 28202 136113895 SCHOLARSHIPS NC 501(C)(3) 12 TYPE III-O DUKE ENDOWMENT 0 ASSOCIATED HEALTH SVCS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561845329 HEALTHCARE NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 ATLANTIC COAST CONFERENCE PO DRAWER ACC GREENSBORO NC 27417 560599082 ATHLETIC NC 501(C)(3) 12 TYPE 1 N/A 0 C A CANNON CHAR TRUST NO 3 1525 W WT HARRIS BLVD D1114 CHARLOTTE NC 28288 581360259 SUPPORT NC 501(C)(3) 12 TYPE III-O N/A 0 DAVID H MURDOCK RESEARCH INSTITUTE 150 RESEARCH CAMPUS DR KANNAPOLIS NC 28081 208730759 RESEARCH NC 501(C)(3) 12 TYPE 1 N/A 0 DU SPECIAL VENTURES FUND INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 561465177 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE ALUMNI ASSOCIATION INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561594088 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE CORPORATE EDUCATION 310 BLACKWELL ST DURHAM NC 27701 421672476 EDUCATION NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE GIFT PROPERTIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211078 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE GLOBAL INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 611588319 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE MEDICINE GLOBAL SUPP CORP- 61-1593721 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE SCHOLARLY EXHIBITS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561701245 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV AFFILIATED PHYSICIANS 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561902501 HEALTHCARE NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE UNIV PHILANTHROPIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211099 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV SCH OF MED RESEARCH FDN 56-2247203 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIVERSITY HEALTH SYSTEM INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 562070036 HEALTHCARE NC 501(C)(3) LINE 3 DUKE UNIVERSITY 1 DUMAC INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 900754895 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DURHAM ASSET MGMT COMPANY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561757238 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DURHAM REALTY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917936 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 GOTHIC CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 561776668 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 GOTHIC HSP CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 271325761 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 HIGH POINT REALTY ASSOCIATES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917939 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 INNOVATIONS IN HEALTHCARE INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 320358709 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 KATHRINE R EVERETT CHARITABLE PO BOX 3001 DURHAM NC 27715 566473809 SUPPORT NC 501(C)(3) 12 TYPE 1 N/A 0 NANALINE H DUKE TRUST 100 NORTH TRYON STREET CHARLOTTE NC 28202 237270511 MED. 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