2023-05-11T12:02:21-05:00 2022-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2021-07-01 250969449 CARNEGIE MELLON UNIVERSITY CARN 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 ANGELA BLANTON VP FOR FINANCE & CFO 4122681358 2023-05-04 1 ANGELA BLANTON 999009999 SUSAN M KIRSCH P00341397 4122613644 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z FARNAM JAHANIAN 5000 FORBES AVENUE PITTSBURGH PA 15213 3267467161 0 X WWW.CMU.EDU X 1900 PA HIGHER EDUCATION AND RESEARCH. 42 37 19003 39 2076896 0 913966188 741288509 824075050 975484557 207806396 248933596 16192695 10682980 1962040329 1976389642 233067278 266409801 0 0 858622577 899275069 481949 519464 28747191 291559815 346908334 1383731619 1513112668 578308710 463276974 6284436792 6497771735 1167435858 1246167551 5117000934 5251604184 X TO CREATE A TRANSFORMATIVE EDUCATIONAL EXPERIENCE FOR STUDENTS FOCUSED ON DEEP DISCIPLINARY KNOWLEDGE; PROBLEM SOLVING; LEADERSHIP, COMMUNICATION, AND INTERPERSONAL SKILLS; AND PERSONAL HEALTH AND WELL-BEING.TO CULTIVATE A TRANSFORMATIVE UNIVERSITY COMMUNITY COMMITTED TO (A) ATTRACTING AND RETAINING DIVERSE, WORLD-CLASS TALENT; (B) CREATING A COLLABORATIVE ENVIRONMENT OPEN TO THE FREE EXCHANGE OF IDEAS, WHERE RESEARCH, CREATIVITY, INNOVATION, AND ENTREPRENEURSHIP CAN FLOURISH; AND (C) ENSURING INDIVIDUALS CAN ACHIEVE THEIR FULL POTENTIAL.TO IMPACT SOCIETY IN A TRANSFORMATIVE WAY - REGIONALLY, NATIONALLY, AND GLOBALLY - BY ENGAGING WITH PARTNERS OUTSIDE THE TRADITIONAL BORDERS OF THE UNIVERSITY CAMPUS. 0 0 817763356 228829187 891900730 INSTRUCTION:CARNEGIE MELLON IS A HYBRID OF A TECHNICAL INSTITUTE, FINE-ARTS CONSERVATORY AND TRADITIONAL RESEARCH UNIVERSITY, HAVING EVOLVED IN RESPONSE TO EMERGING SOCIAL NEEDS AND INTELLECTUAL DEVELOPMENT OF THE PAST CENTURY. UNITING TECHNOLOGY AND ARTS, FUSING THE PRACTICAL WITH THE IMAGINATIVE, MAINTAINING ITS EDUCATIONAL EMPHASIS ON DEVELOPING SKILLS TO SOLVE PROBLEMS.INCLUDES 7 COLLEGES AND SCHOOLS OFFERING DEGREE PROGRAMS AND MORE THAN 100 MAJORS AND MINORS TO APPROXIMATELY 15,800 UNDERGRADUATES, GRADUATES AND DOCTORAL STUDENTS. INSTRUCTION INCLUDES ACADEMIC SUPPORT AND STUDENT SERVICES.CARNEGIE MELLON HAS ITS MAIN CAMPUS IN PITTSBURGH, SATELLITE CAMPUSES IN SILICON VALLEY AND DOHA, QATAR, AND DEGREE-GRANTING PROGRAMS IN COORDINATION WITH GLOBAL PROGRAMS INCLUDING AUSTRALIA, JAPAN, PORTUGAL, RWANDA, AND THAILAND.NATIONALLY AND GLOBALLY, CARNEGIE MELLON HAS BECOME A MAJOR VOICE OF CONNECTIVITY IN TECHNOLOGY, EXPANSION OF EDUCATIONAL OPPORTUNITY AND ECONOMIC DEVELOPMENT. 390256477 37580614 0 RESEARCH:CARNEGIE MELLON HOLDS A PROUD VISION OF ITSELF AS A DISTINCTIVE AND DIFFERENT KIND OF RESEARCH UNIVERSITY WHERE NATIONALLY RECOGNIZED PROGRAMS FROM ACROSS THE LEADING DISCIPLINES, FROM COMPUTING AND ENGINEERING TO FINE ARTS, INTERSECT. IT IS A DECENTRALIZED COMMUNITY OF SCIENTISTS AND INTELLECTUALS, ARTISTS AND POLICYMAKERS, BUSINESS EXPERTS AND POETS. THE DIVERSE AND DECENTRALIZED COMMUNITY THAT CHARACTERIZES CARNEGIE MELLON CULTURE RESTS ON A SET OF CORE UNDERPINNINGS AND A STRONG COMMITMENT TO REAL-WORLD PROBLEM SOLVING, INTERDISCIPLINARY COLLABORATION AND HARD WORK, COMBINED WITH JOIE DE VIVRE.EACH OF THESE REQUIRES CONNECTIONS AMONG ENGINEERING, SCIENCE, POLICY AND MANAGEMENT, AND THE ARTS. BASIC RESEARCH IS PERFORMED IN ALL 7 COLLEGES AND SCHOOLS AND THE SOFTWARE ENGINEERING INSTITUTE. CARNEGIE MELLON IS ALSO THE HOME OF NUMEROUS RESEARCH INSTITUTES AND CENTERS FOCUSING ON SOME OF THE WORLD'S GREATEST CHALLENGES.CARNEGIE MELLON'S RESEARCH-INTENSIVE ENVIRONMENT PROVIDES A RICH SETTING FOR THE UNIVERSITY'S EDUCATIONAL OFFERINGS AND ASPIRATIONS. THE SEARCH FOR NEW KNOWLEDGE AND A SPIRIT OF ONGOING CRITICAL INQUIRY ARE THE IDEALS THAT PERMEATE ITS APPROACH TO TEACHING AND ITS EXPECTATIONS FOR WHAT STUDENTS WILL ACHIEVE. 122608419 0 71393728 AUXILIARY SERVICES:SERVICES TO SUPPORT THE INSTRUCTION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. THESE SERVICES INCLUDE BUT ARE NOT LIMITED TO HOUSING, DINING SERVICES, PARKING, BOOKSTORE, PRINTING, TELECOMMUNICATIONS, AND OTHER SERVICES RELATED TO THE DELIVERY OF EDUCATION AND RESEARCH. 8260235 0 12190099 OTHER PROGRAM SERVICES:OTHER FEES AND MEMBERSHIPS, EXTERNAL SUPPORT AND SERVICES AND OTHER MISCELLANEOUS PROGRAM SERVICE REVENUE THAT SUPPORTS THE INSTRUCTION, RESEARCH, AND AUXILIARY FUNCTIONS OF THE UNIVERSITY. 8260235 0 12190099 1338888487 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 0 0 1 23528 0 1 19003 1 1 1 1 AS QA RW 0 0 0 1 1 0 0 0 0 1 0 X 42 37 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 PA X CARRIE NELSON 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 X EDWARD GREFENSTETTE VOTING TRUSTEE (PRES/CEO, DIETRICH FDN) 1.00 50.00 X 0 1995072 1769777 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 50.00 0.50 X 1146627 0 418633 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 50.00 3.00 X X 1477205 25000 67631 MICHAEL TRICK DEAN, QATAR CAMPUS 50.00 0.00 X 1001486 0 57122 SCOTT MORY VP FOR UNIV. ADVANCEMENT 50.00 0.00 X 855918 0 83853 VIJAYAKUMAR BHAGAVATULA DIRECTOR CMU-AFRICA (THRU 12/21) & PROF. 50.00 0.00 X 771665 0 57274 JEFFER CHOUDHRYSEN MANAGING DIRECTOR-HEAD OF INVEST (THRU 1/22) 50.00 0.00 X 787282 0 30771 ISABELLE BAJEUX BESNAINOU PROF. & DEAN, TEPPER SCH. OF BUS. 50.00 0.00 X 759139 0 45975 MARY JO DIVELY VPGENCOUN & SEC. OF THE CORPORATION 50.00 0.20 X 647781 0 47548 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 50.00 0.00 X 647718 0 43965 JAMES H GARRETT PROVOST & CAO 50.00 0.25 X 641157 0 47239 PAUL D NIELSEN FORMER KE/DIRECTOR & CEO, SEI 50.00 0.00 X 645387 0 30319 WILLIAM SANDERS PROF DEAN COLLEGE OF ENGINEERING 50.00 0.00 X 527127 0 44298 DARYL WEINERT VP FOR OPS & INTERIM V.P. FOR RESEARCH 50.00 0.00 X 481456 0 67042 RODNEY MCCLENDON FORMER OFFICER 0.00 0.00 X 542913 0 0 MARTIAL HEBERT PROF DEAN SCHOOL OF COMPUTER SCIENCE 50.00 0.00 X 471644 0 53725 STAN WADDELL VP FOR INFO TECH & CHIEF INFO OFFICER 50.00 0.00 X 400720 0 112722 ANGELA BLANTON V.P. OF FINANCE & CFO 50.00 0.50 X 431855 0 58715 JONATHAN CAGAN FORMER KE/PROFESSOR 50.00 0.00 X 331618 0 140213 J MICHAEL MCQUADE FORMER OFFICER/SPEC. ADVISOR TO PRES. 50.00 0.00 X 392654 0 37280 LAURIE WEINGART FORMER OFFICER/PROFESSOR 50.00 0.00 X 358630 0 46607 TOM MITCHELL FORMER KE/PROFESSOR 50.00 0.00 X 329896 0 40510 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 50.00 0.00 X 338951 0 27404 FRANCISCO PENA EX-OFFICIO TRUSTEE (EXITED 9/21)/PROFESSOR 50.00 0.00 X 283640 0 44100 CARRIE NELSON ASSISTANT TREASURER 50.00 1.00 X 289578 0 26326 JOHN DOLAN TREASURER 50.00 0.00 X 228920 0 41811 NEIL DONAHUE EX-OFFICIO TRUSTEE (AS OF 9/21)/PROFESSOR 50.00 0.00 X 228828 0 37768 NICHOLAS SCIBETTA VP FOR UNIV. COMM. & MARKET. (AS OF 9/21) 50.00 2.00 X 165888 0 32990 KATE LIPPERT ASSISTANT SEC. OF THE CORP. (AS OF 11/21) 50.00 0.00 X 109718 0 36753 JAMES E ROHR VOTING TRUSTEE 5.00 1.00 X 0 25000 0 PAULA KAUFFMAN WAGNER VOTING TRUSTEE/ADJUNCT INSTRUCTOR 0.50 0.00 X 3000 0 0 DAVID COULTER CHAIRMAN/VOTING TRUSTEE 10.00 0.00 X X 0 0 0 TOD S JOHNSON VICE CHAIRMAN/VOTING TRUSTEE 0.50 0.00 X X 0 0 0 ANNE M MOLLOY VICE CHAIRMAN/VOTING TRUSTEE 2.50 0.00 X X 0 0 0 JOEL P ADAMS VOTING TRUSTEE 4.00 0.00 X 0 0 0 LANE M BESS VOTING TRUSTEE 1.50 1.50 X 0 0 0 RONALD BIANCHINI JR VOTING TRUSTEE 0.50 0.00 X 0 0 0 KEITH BLOCK VOTING TRUSTEE 0.75 0.00 X 0 0 0 DARRYL BRITT VOTING TRUSTEE (AS OF 11/21) 0.50 0.00 X 0 0 0 FRANK BRUNCKHORST VOTING TRUSTEE 3.00 0.00 X 0 0 0 NATHALIE COWAN VOTING TRUSTEE (AS OF 11/21) 0.27 0.00 X 0 0 0 RUSSELL CROCKETT VOTING TRUSTEE 5.00 5.00 X 0 0 0 JEANNE CUNICELLI VOTING TRUSTEE 1.35 0.00 X 0 0 0 SHRINIVAS V DEMPO VOTING TRUSTEE 0.23 0.00 X 0 0 0 GLEN DE VRIES VOTING TRUSTEE (EXITED 11/21) 0.00 0.00 X 0 0 0 FRANCISCO B D'SOUZA VOTING TRUSTEE 3.00 0.00 X 0 0 0 HOWARD L ELLIN VOTING TRUSTEE 10.00 0.00 X 0 0 0 EDWARD H FRANK VOTING TRUSTEE 1.00 0.00 X 0 0 0 YOSHIAKI FUJIMORI VOTING TRUSTEE 0.50 0.50 X 0 0 0 MAYOR ED GAINEY EX-OFFICIO TRUSTEE (AS OF 1/22) 0.00 0.00 X 0 0 0 ERIC GILER VOTING TRUSTEE 2.00 0.00 X 0 0 0 IRA J GUMBERG VOTING TRUSTEE (EXITED 7/21) 0.00 0.00 X 0 0 0 TORRENCE M HUNT JR VOTING TRUSTEE 2.00 0.00 X 0 0 0 LARRY E JENNINGS JR VOTING TRUSTEE 3.00 0.00 X 0 0 0 THERESA KAIL-SMITH EX-OFFICIO TRUSTEE 1.00 0.00 X 0 0 0 RAYMOND J LANE VOTING TRUSTEE 0.50 0.00 X 0 0 0 BRUCE M MCWILLIAMS VOTING TRUSTEE 3.00 0.00 X 0 0 0 MAYOR WILLIAM PEDUTO EX-OFFICIO TRUSTEE (EXITED 12/21) 0.50 0.00 X 0 0 0 DAVID L PORGES VOTING TRUSTEE 1.00 0.00 X 0 0 0 SAM REIMAN VOTING TRUSTEE (AS OF 11/21) 0.50 0.00 X 0 0 0 JOHN PRANZATELLI EX-OFFICIO TRUSTEE 0.50 0.00 X 0 0 0 J LEA HILLMAN SIMONDS VOTING TRUSTEE 1.00 0.00 X 0 0 0 MANOJ P SINGH VOTING TRUSTEE 6.00 6.00 X 0 0 0 LUKE SKURMAN VOTING TRUSTEE 2.00 0.00 X 0 0 0 CHRISTOPHER STENGEL EX-OFFICIO TRUSTEE 2.00 0.00 X 0 0 0 LIP-BU TAN VOTING TRUSTEE 1.00 1.00 X 0 0 0 DAVID A TEPPER VOTING TRUSTEE 2.00 5.00 X 0 0 0 THOMAS TULL VOTING TRUSTEE 0.50 0.00 X 0 0 0 TAMARA TUNIE VOTING TRUSTEE 0.07 0.00 X 0 0 0 MICHAEL ZAMAGIAS VOTING TRUSTEE 3.00 0.00 X 0 0 0 15298401 2045072 3548371 1780 1 1 0 RYCON CONSTRUCTION 2525 LIBERTY AVENUE PITTSBURGH PA 15222 CONSTRUCTION 35344792 ARAMARK CORP 5001 GREAT AMERICA PKWY SANTA CLARA CA 95054 CLEANING SERVICES 13699866 PJ DICK INC 225 NORTH SHORE DRIVE PITTSBURGH PA 15212 CONSTRUCTION 12600019 MOSITES CONSTRUCTION 4839 CAMPBELLS RUN ROAD PITTSBURGH PA 15205 CONSTRUCTION 9152350 JENDOCO CONSTRUCTION CORP 2000 LINCOLN ROAD PITTSBURGH PA 15235 CONSTRUCTION 5059745 171 27984904 414075069 299228536 25076997 741288509 TUITION 900099 891900730 891900730 AUXILIARY SERVICES 611710 71393728 70934511 459217 OTHER PROGRAM SERVICES 900099 12190099 12190099 975484557 36778500 1540180 35238320 4972614 4972614 2734553 28638 350210 0 2384343 28638 2412981 77499 2335482 1498587914 1795218 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EQUIPMENT 3373325 3358936 14389 21612654 1286221 19970786 355647 1513112668 1338888487 145476990 28747191 78693 62616 692371466 759528903 337747297 296455613 39884291 43237889 60000 60000 1665565 1742457 15423581 21329656 2365669948 1147554741 1161909066 1218115207 1746661672 1772226545 2124288646 2222508070 164346515 162504779 6284436792 6497771735 198142290 195943214 173042131 171989637 496987337 522767063 162184808 235545480 137079292 119922157 1167435858 1246167551 X 2058885417 2140485087 3058115517 3111119097 5117000934 5251604184 6284436792 6497771735 X 463276974 -337763496 9089772 X X 0 1 X 1 1 1 X 529488222 535341387 612326605 921966188 740589814 3339712216 529488222 535341387 612326605 921966188 740589814 3339712216 305976607 3033735609 47890815 58028833 47697739 40248451 43431771 237297609 3577009825 4407427862 0.84810 0.83610 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 425625 425625 425625 425625 1514992011 1516428105 1515417636 1516853730 1000000 1000000 250000 250000 0 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 501696 485004 408991 425625 1821316 250000 250000 250000 250000 1000000 1500000 0 5457835 X X X X X AUGMENT TEACHING AND LEARNING 0 3090015040 156659189 -103322589 22758880 83063102 6534477 3030995181 2067357168 216973683 906059029 21191800 73125703 6057337 3090015040 2000803747 55715841 102387595 19689081 66445609 5415325 2067357168 1885377148 58617910 142695818 18523816 62487829 4875484 2000803747 1718307698 62328699 185715245 17218702 59313091 4442701 1885377148 0.16750 0.43000 0.40250 0 1 1 56255934 56255934 1654512539 782851824 871660715 37203221 22195427 15007794 348227649 260267766 87959883 269470605 82239724 187230881 1218115207 REAL ESTATE 148704035 F VENTURE CAP. & PRIV. EQ 1369109248 F AGGRESSIVE, DISTRESSED & ARBITRAGE FIXED INCOME 20708061 F NATURAL RESOURCES 140368638 F HEDGE FUNDS 239194497 F LOCAL REGION 6869594 F EMERGING MARKET 297553997 F 2222508070 CONTRACT RETENTIONS 6987197 GATE STUDENT LOAN PROGRAM 129628 ASSET RETIREMENT OBLIGATION-FIN 47 4919975 FEDERAL LOAN PROGRAMS & STUDENT DEPOSITS 6298515 PRESENT VALUE OF ANNUITIES DUE 16624432 SWAP AGREEMENTS/CONTRACTS 14138367 FEDERAL, STATE, AND LOCAL TAXES PAYABLE 306391 MISC. OTHER LIABILITIES 35101 PV ANNUITIES FOR PROPERTY ACQS 2202793 RIGHT OF USE LIABILITY 68247254 AGENCY FUNDING 32504 119922157 X 1482129843 -337763496 15172938 28235434 -294355124 1776484967 9307578 190597097 199904675 1976389642 1347204742 15172938 18838752 34011690 1313193052 9307578 190612038 199919616 1513112668 PART III, LINE 4: CARNEGIE MELLON UNIVERSITY MAINTAINS VARIOUS COLLECTIONS INCLUDING COLLECTIONS OF ART, HISTORIC ARTIFACTS, AND OTHER SIMILAR ASSETS TO SUPPORT THE EDUCATION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. PART V, LINE 4: THE CARNEGIE MELLON ENDOWMENT IS A COLLECTION OF INDIVIDUAL FUNDS PRIMARILY ESTABLISHED BY DONORS AND MANAGED BY THE UNIVERSITY AS A POOLED SET OF ASSETS. IN ACCORDANCE WITH THE PENNSYLVANIA ACT 141 AND DONOR INTENT, THE UNIVERSITY SPENDS A PREDETERMINED PORTION OF THE ENDOWMENT INCOME EACH YEAR ON FACULTY SUPPORT, STUDENT SUPPORT, AND GENERAL UNIVERSITY SUPPORT. PART X, LINE 2: CARNEGIE MELLON IS A NONPROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE "CODE") AND IS GENERALLY EXEMPT FROM INCOME TAXES ON RELATED INCOME PURSUANT TO SECTION 501(A) OF THE CODE. THE UNIVERSITY ACCOUNTS FOR UNCERTAINTIES IN INCOME TAXES IN ACCORDANCE WITH AUTHORITATIVE GUIDANCE, WHICH PRESCRIBES A RECOGNITION THRESHOLD OF MORE-LIKELY-THAN-NOT TO BE SUSTAINED UPON EXAMINATION BY THE APPROPRIATE TAXING AUTHORITY. MEASUREMENT OF THE TAX UNCERTAINTY OCCURS IF THE RECOGNITION THRESHOLD HAS BEEN MET. MANAGEMENT DETERMINED THERE WERE NO TAX UNCERTAINTIES THAT MET THE RECOGNITION THRESHOLD AT JUNE 30, 2022 AND 2021. THE UNIVERSITY'S FEDERAL EXEMPT ORGANIZATION BUSINESS INCOME TAX RETURNS REMAIN SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE FOR THE YEARS SUBSEQUENT TO JUNE 30, 2017. THE UNIVERSITY'S POLICY IS TO RECOGNIZE INTEREST RELATED TO UNRECOGNIZED TAX BENEFITS IN INTEREST EXPENSE AND PENALTIES IN OPERATING EXPENSES. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 2,474,222. SUBSIDIARY REVENUE 16,544,487. RENTAL EXPENSE 350,210. CHANGE IN SWAP VALUE NET OF INTEREST EXP 9,657,511. TRANSLATION ADJUSTMENT & OTHER -92,301. LOSS FROM ADJUSTMENTS OF PLEDGES RECEIVABLE -698,695. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 190,400,997. LOSS ON SALE OF ASSETS 118,572. LAMME DISTRIBUTION 71,432. NET GAIN FROM FUNDRAISING EVENT 6,096. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 2,474,222. SUBSIDIARY EXPENSE 16,014,320. RENTAL EXPENSE 350,210. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 190,400,997. TRANSLATION ADJUSTMENT & OTHER 92,469. LOSS ON SALE OF ASSETS 118,572. PART XII: RECONCILIATION OF REVENUE PER AUDITED FINANCIAL STATEMENTS WITH REVENUE PER RETURN AND PART XIII - RECONCILIATION OF EXPENSES PER AUDITED FINANCIAL STATEMENTS WITH EXPENSES PER RETURN: LINE 1 OF EACH PART RESPECTIVELY CONSISTS OF CONSOLIDATED NUMBERS FROM THE AUDITED FINANCIAL STATEMENTS AND RECONCILES TO THE STAND-ALONE (SEPARATE BASIS) REVENUE AND EXPENSES AS REPORTED ON THE FORM 990, PART I, LINE 12. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE NON-DISCRIMINATORY POLICY AND STATEMENT OF ASSURANCE APPEARS ON PRINTED MATERIALS USED TO COMMUNICATE WITH PROSPECTIVE AND CURRENT STUDENTS AS WELL AS EMPLOYEES OF CARNEGIE MELLON UNIVERSITY. ADDITIONALLY, THE STATEMENT OF ASSURANCE CAN BE FOUND ON CMU'S WEBSITE. SCHEDULE E, PART I, LINE 6 MONETARY GRANTS WERE RECEIVED FROM FEDERAL AND STATE AGENCIES TO PROVIDE ASSISTANCE TO STUDENTS ATTENDING CARNEGIE MELLON UNIVERSITY. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 1595611 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 12617098 SUB-SAHARAN AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 10603594 EAST ASIA AND THE PACIFIC 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 1081981 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 526914 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 31121 EAST ASIA AND THE PACIFIC 1 55 PROGRAM SERVICES EDUCATION 6373785 EUROPE (INCLUDING ICELAND & GREENLAND) 0 4 PROGRAM SERVICES EDUCATION 1145300 MIDDLE EAST AND NORTH AFRICA 1 202 PROGRAM SERVICES EDUCATION 46386906 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES EDUCATION 143627 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 83720 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 181497 SUB-SAHARAN AFRICA 2 159 PROGRAM SERVICES EDUCATION 15255964 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 19527 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EDUCATION 14723 SUB-SAHARAN AFRICA 0 0 PORTFOLIO INVESTMENTS 61613010 EAST ASIA AND THE PACIFIC 0 0 PORTFOLIO INVESTMENTS 21519827 NORTH AMERICA 0 0 PORTFOLIO INVESTMENTS 42123626 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PORTFOLIO INVESTMENTS 1046927358 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PORTFOLIO INVESTMENTS 217629462 1 59 3 361 4 420 33975404 1451899247 1485874651 EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACTS 841727 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A SUB-SAHARAN AFRICA SUBCONTRACTS 32678 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES SUBCONTRACTS 523784 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A EAST ASIA AND THE PACIFIC SUBCONTRACTS 60000 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A 8 6 STUDENT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 96 1021981 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A STUDENT SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 264 12617098 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A STUDENT SCHOLARSHIPS SUB-SAHARAN AFRICA 236 10569116 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A STUDENT SCHOLARSHIPS EUROPE (INCLUDING ICELAND & GREENLAND) 36 751238 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A STUDENT SCHOLARSHIPS NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 1 500 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A STUDENT SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN 5 28600 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A 1 0 1 1 1 1 PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO STUDENTS AT ITS INTERNATIONAL LOCATIONS PURSUANT TO A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. THESE FUNDS ARE MONITORED BY THE OFFICE OF SPONSORED PROJECTS AND SPONSORED PROJECTS ACCOUNTING. 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FINANCIAL ADMN PO BOX 1873 NEW HAVEN CT 06510 060646973 501(C)(3) 7472 0 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS YORK COLLEGE OF PA 441 COUNTRY CLUB RD YORK PA 17403 231352698 501(C)(3) 25520 0 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS 139 34 UNDERGRADUATE GRANTS AND SCHOLARSHIPS 4063 130312830 0 N/A N/A NON-DEGREE GRANTS AND SCHOLARSHIPS 316 1800610 0 N/A N/A GRADUATE SCHOLARSHIPS AND FELLOWSHIPS 6410 70259427 0 N/A N/A PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO INDIVIDUALS AND ORGANIZATIONS IN THE U.S. BASED ON A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. FOR STUDENTS, SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. OTHER TYPES OF GRANTS AND ASSISTANCE MIGHT INCLUDE, FOR EXAMPLE, RECIPIENTS OF PRIZES AND AWARDS WHO HAVE MET THE SPECIFIC CRITERIA FOR THE PARTICULAR PRIZE OR AWARD TO BE SELECTED. IN THE CASE OF SCHOLARSHIPS AND FELLOWSHIPS, THE RECIPIENT IS OFTEN REQUIRED TO UTILIZE THE FUNDS IN FURTHERANCE OF THEIR EDUCATION AND RESEARCH AT CMU. GRANTS ARE ALSO MADE IN THE CONTEXT OF ACADEMIC OR RESEARCH PROGRAMS AND RECIPIENTS SPEND THEIR GRANT FUNDS UNDER THE SUPERVISION OF THE PROGRAM FOR THE USE OF THE FUNDS. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. FUNDS ARE SPENT UNDER THE SUPERVISION OF THE PRINCIPAL INVESTIGATORS AND ARE ACCOUNTABLE TO FEDERAL AND SPONSOR TERMS AND CONDITIONS. X X X X X X X 1 1 X X X X X X 1 1 0 0 0 0 0 1 0 EDWARD GREFENSTETTE VOTING TRUSTEE (PRES/CEO, DIETRICH FDN) 0 743467 0 1050000 0 201605 0 1738228 0 31549 0 3764849 0 1244555 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 486827 0 615072 0 44728 0 374306 0 44327 0 1565260 0 268066 0 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 970988 25000 150000 0 356217 0 23200 0 44431 0 1544836 25000 0 0 MICHAEL TRICK DEAN, QATAR CAMPUS 433946 0 2000 0 565540 0 23200 0 33922 0 1058608 0 0 0 SCOTT MORY VP FOR UNIV. ADVANCEMENT 608950 0 200000 0 46968 0 73200 0 10653 0 939771 0 50000 0 VIJAYAKUMAR BHAGAVATULA DIRECTOR CMU-AFRICA (THRU 12/21) & PROF. 341730 0 87890 0 342045 0 23200 0 34074 0 828939 0 0 0 JEFFER CHOUDHRYSEN MANAGING DIRECTOR-HEAD OF INVEST (THRU 1/22) 392265 0 384547 0 10470 0 23200 0 7571 0 818053 0 0 0 ISABELLE BAJEUX BESNAINOU PROF. & DEAN, TEPPER SCH. OF BUS. 626063 0 75000 0 58076 0 23200 0 22775 0 805114 0 0 0 MARY JO DIVELY VPGENCOUN & SEC. OF THE CORPORATION 590131 0 0 0 57650 0 23200 0 24348 0 695329 0 0 0 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 601975 0 0 0 45743 0 28362 0 15603 0 691683 0 0 0 JAMES H GARRETT PROVOST & CAO 583933 0 0 0 57224 0 23200 0 24039 0 688396 0 0 0 PAUL D NIELSEN FORMER KE/DIRECTOR & CEO, SEI 595018 0 0 0 50369 0 23200 0 7119 0 675706 0 0 0 WILLIAM SANDERS PROF DEAN COLLEGE OF ENGINEERING 492500 0 0 0 34627 0 28362 0 15936 0 571425 0 0 0 DARYL WEINERT VP FOR OPS & INTERIM V.P. FOR RESEARCH 460713 0 0 0 20743 0 23200 0 43842 0 548498 0 0 0 RODNEY MCCLENDON FORMER OFFICER 0 0 0 0 542913 0 0 0 0 0 542913 0 542913 0 MARTIAL HEBERT PROF DEAN SCHOOL OF COMPUTER SCIENCE 451939 0 0 0 19705 0 28362 0 25363 0 525369 0 0 0 STAN WADDELL VP FOR INFO TECH & CHIEF INFO OFFICER 358351 0 0 0 42369 0 23200 0 89522 0 513442 0 0 0 ANGELA BLANTON V.P. OF FINANCE & CFO 400707 0 0 0 31148 0 23200 0 35515 0 490570 0 0 0 JONATHAN CAGAN FORMER KE/PROFESSOR 311627 0 3500 0 16491 0 24979 0 115234 0 471831 0 0 0 J MICHAEL MCQUADE FORMER OFFICER/SPEC. ADVISOR TO PRES. 345545 0 0 0 47109 0 23200 0 14080 0 429934 0 0 0 LAURIE WEINGART FORMER OFFICER/PROFESSOR 294209 0 0 0 64421 0 26650 0 19957 0 405237 0 0 0 TOM MITCHELL FORMER KE/PROFESSOR 304191 0 0 0 25705 0 24238 0 16272 0 370406 0 0 0 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 332152 0 0 0 6799 0 23200 0 4204 0 366355 0 0 0 FRANCISCO PENA EX-OFFICIO TRUSTEE (EXITED 9/21)/PROFESSOR 203997 0 0 0 79643 0 22817 0 21283 0 327740 0 0 0 CARRIE NELSON ASSISTANT TREASURER 286409 0 0 0 3169 0 23104 0 3222 0 315904 0 0 0 JOHN DOLAN TREASURER 227992 0 0 0 928 0 19314 0 22497 0 270731 0 0 0 NEIL DONAHUE EX-OFFICIO TRUSTEE (AS OF 9/21)/PROFESSOR 225397 0 0 0 3431 0 17201 0 20567 0 266596 0 0 0 NICHOLAS SCIBETTA VP FOR UNIV. COMM. & MARKET. (AS OF 9/21) 157834 0 0 0 8054 0 11467 0 21523 0 198878 0 0 0 PART I, LINE 1A ALL ITEMS CHECKED IN LINE 1A ARE PROVIDED TO OR FOR A PERSON LISTED IN FORM 990, PART VII TO FURTHER THE BUSINESS, EDUCATIONAL, AND RESEARCH MISSION OF THE UNIVERSITY PURSUANT TO FEDERAL TAX REGULATIONS, IRS ACCOUNTABLE PLAN RULES, AND THE UNIVERSITY'S POLICIES AND PROCEDURES. NONTAXABLE BENEFITS DISCLOSED IN COLUMN D INCLUDE, FOR EXAMPLE, CONTRIBUTIONS TO EMPLOYER HEALTH AND WELFARE PLANS AND QUALIFIED TUITION BENEFITS. PART I, LINES 4A-B FARNAM JAHANIAN PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. THESE BENEFITS ARE REPORTED IN PART II, COLUMN (B). EFFECTIVE JUNE 1, 2020, RODNEY MCCLENDON WAS NO LONGER EMPLOYED BY THE UNIVERSITY. IN CONJUNCTION WITH HIS DEPARTURE, THE UNIVERSITY AND RODNEY MCCLENDON NEGOTIATED SEVERANCE BENEFITS. RODNEY MCCLENDON'S PAID SEVERANCE BENEFITS, TOTALING $542,913 ARE REPORTED IN PART II, COLUMN (B). PART I, LINE 7 ALL BONUSES PAID WERE AWARDED AS A RESULT OF PERFORMANCE AND WERE APPROVED BY THE COMPENSATION COMMITTEE. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729ELB1 2022-02-16 32395500 SEE PART VI. 0 0 0 B ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729ELA3 2022-01-27 83168063 SEE PART VI. 0 0 0 C ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RNC9 2020-02-05 60806037 SEE PART VI. 0 0 0 D ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMX4 2019-01-23 120435248 SEE PART VI. 0 0 0 A 32417437 113172 32304265 0 0 0 1 B 83168064 363064 82805000 1 0 0 1 C 60951501 287917 60662177 1407 0 0 0 1 D 120495354 418774 120076497 83 1 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 0 0 0.00000 0.00000 0.00000 0 0 1 D 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 1 1 1 1 0 0 0 1 C 0 1 0 0 0 0 0 0 1 D 0 1 1 1 1 0 0 0 1 A 1 B 1 C 1 D 1 ENTITY 1: COLUMN A: PART I(F) - THE BONDS WERE ISSUED TO FINANCE NEW CONSTRUCTION. COLUMN A: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN A: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN B: PART I(F) - THE BONDS CURRENT REFUNDED THE SERIES 2012B REISSUED BONDS (ISSUED DECEMBER 27, 2017) AND SERIES 2012A BONDS (ISSUED MARCH 1, 2012). COLUMN B: PART II, LINE 13 - SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN B: PART III - BECAUSE PROCEEDS OF THE BONDS WERE USED TO REFUND BONDS ISSUED BEFORE JANUARY 1, 2003, THE ISSUER HAS NOT COMPLETED PART III WITH RESPECT TO THE BONDS. COLUMN B: PART IV, LINE 2(B) - THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN B: PART IV, LINE 2(C) - THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. COLUMN C: PART I(F) - THE BONDS WERE ISSUED TO FINANCE NEW CONSTRUCTION. COLUMN C: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN C: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN D: PART I(F) - THE BONDS WERE ISSUED TO REFUND SERIES 2009 BONDS ON AUGUST 20, 2009. COLUMN D: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN D: PART II, LINE 13 - SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN D: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN D: PART IV, LINE 2(B) - THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN D: PART IV, LINE 2(C) - THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. ENTITY 2: COLUMN A: PART I(F) - THE BONDS CURRENT REFUNDED PORTIONS OF THE SERIES 2009 BONDS (ISSUED AUGUST 20, 2009) AND TAXABLE COMMERCIAL PAPER NOTES (ISSUED FEBRUARY 24, 2015). COLUMN A: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN A: PART II, LINE 13 - SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN A: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN A: PART IV, LINE 2(B) - THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN A: PART IV, LINE 2(C) - THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. COLUMN B: PART I(F) - BONDS WERE ISSUED TO FINANCE NEW CONSTRUCTION. COLUMN B: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN B: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN B: PART IV, LINE 2(C) - THE MOST RECENT REBATE REPORT WAS PREPARED BY THE BORROWER AND DATED APRIL 26, 2013. COLUMN C: PART I(F) - BONDS CURRENT REFUNDED SERIES 2006AB BONDS (ISSUED DECEMBER 13, 2006) AND SERIES 2007 BONDS (ISSUED MARCH 1, 2007). COLUMN C: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN C: PART II, LINE 13 - SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN C: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN C: PART IV, LINE 2(C) - THE MOST RECENT REBATE REPORT WAS PREPARED BY THE BORROWER AND DATED APRIL 26, 2013. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMP1 2017-07-19 77823681 SEE PART VI. 0 0 0 B ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729EKY2 2013-02-14 60529980 SEE PART VI. 0 0 0 C ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RES4 2008-04-10 120820000 SEE PART VI. 0 0 0 A 77839863 341465 77498398 1 0 1 1 B 10000000 60575582 36398 463813 60045471 29900 2016 0 0 1 1 C 120821573 493831 120327742 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 1 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 1 0 0 0 1 A 1 B 1 C 1 L SMITH J. GARRETT - CMU OFFICER - BROTHER OF L. SMITH - CMU EMPLOYEE 86687 SEE PART V COMPENSATION FOR ASSOCIATE DIRECTOR OF STUDENT ACCOUNTS 0 X 242 24180719 FAIR MARKET VALUE X EXTENDED DISCOUNT ON INSTRUMENTATION 3 695795 COST X SOFTWARE AND LICENSES/CRYPTOCURRENCY 5 142525 FAIR MARKET VALUE X TOOLS/MISC. EQUIP./MEDICAL SUPPLIES/MUSIC EQUIPMENT 7 40344 FAIR MARKET VALUE AN X EVENT EXPENSE/ALUMNI EVENT EXPENSES 10 17614 COST 2 0 1 0 SCHEDULE M, PART I, COLUMN (B): THE NUMBER SHOWN IN COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS CARNEGIE MELLON UNIVERSITY RECEIVED FOR EACH TYPE OF PROPERTY FOR THE YEAR ENDED JUNE 30, 2022. FORM 990, PART VI, SECTION A, LINE 2 JAMES ROHR, EDWARD GREFENSTETTE, AND FARNAM JAHANIAN HAVE A BUSINESS RELATIONSHIP. FARNAM JAHANIAN AND NEIL DONAHUE HAVE A BUSINESS RELATIONSHIP. FARNAM JAHANIAN AND LIP-BU TAN HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 7A CARNEGIE MELLON HAS SIX EX-OFFICIO TRUSTEES WHO ARE MEMBERS OF THE BOARD OF TRUSTEES BY HOLDING THE FOLLOWING OFFICES: MAYOR OF THE CITY OF PITTSBURGH PRESIDENT OF COUNCIL OF THE CITY OF PITTSBURGH PRESIDENT OF CARNEGIE MELLON UNIVERSITY PRESIDENT OF CARNEGIE MELLON ALUMNI ASSOCIATION PRESIDENT OF THE ANDREW CARNEGIE SOCIETY OF CARNEGIE MELLON CHAIRMAN OF CARNEGIE MELLON FACULTY SENATE EX-OFFICIO TRUSTEES SHALL BE FULL VOTING MEMBERS OF THE BOARD OF TRUSTEES, WITH ALL RIGHTS AND RESPONSIBILITIES THERETO, EXCEPT AS FOLLOWS: THEY SHALL BE WELCOME AT ALL OPEN SESSIONS OF ALL FULL BOARD MEETINGS AND, IF REQUESTED BY THE CHAIR, AT CLOSED EXECUTIVE SESSIONS; AND THE PRESIDENT OF CARNEGIE MELLON UNIVERSITY SHALL HAVE NO VOTING RIGHTS WHEN SERVING AS A MEMBER OF THE AUDIT COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B CARNEGIE MELLON UNIVERSITY'S TAX DEPARTMENT IS RESPONSIBLE FOR GATHERING RELEVANT INFORMATION AND PREPARING THE ANNUAL FORM 990. ONCE THE FORM IS COMPLETE IN DRAFT STATUS, IT IS REVIEWED WITH CARNEGIE MELLON'S INDEPENDENT CERTIFIED PUBLIC ACCOUNTING (CPA) FIRM. UPON COMPLETION OF INDEPENDENT REVIEW BY THE CPA FIRM, THE FORM IS REVIEWED BY THE VICE PRESIDENT FOR FINANCE AND CHIEF FINANCIAL OFFICER, ASSOCIATE VICE PRESIDENT FOR FINANCE AND CONTROLLER, TAX DEPARTMENT AND THEN PROVIDED TO THE AUDIT COMMITTEE FOR APPROVAL. FINALLY, A COMPLETED COPY OF THE FORM IS PROVIDED TO THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO FILING FORM 990 WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CARNEGIE MELLON REQUIRES EACH TRUSTEE, OFFICER, AND MEMBER OF SENIOR MANAGEMENT TO DISCLOSE ANNUALLY THE EXISTENCE OF ANY CIRCUMSTANCES THAT MIGHT CONSTITUTE A CONFLICT OF INTEREST WITH THE INSTITUTION. THE PROCESS IS INITIATED EACH FISCAL YEAR BY THE OFFICE OF THE SECRETARY OF THE CORPORATION SENDING AN ELECTRONIC CONFLICT OF INTEREST QUESTIONNAIRE TO THE ABOVE NOTED INDIVIDUALS. COMPLETED QUESTIONNAIRES ARE RETURNED TO THE SECRETARY OF THE CORPORATION FOR EVALUATION OF ACTUAL OR PERCEIVED CONFLICTS BY THE INSTITUTION, REVIEWED BY THE OFFICE OF GENERAL COUNSEL, AND ANNUAL REPORTING IS PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. ALL OFFICERS AND MEMBERS OF THE BOARD ARE REQUIRED TO DISCLOSE CONFLICTS TO THE SECRETARY OF THE CORPORATION AS THEY ARISE THROUGHOUT THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE ANNUALLY REVIEWS AND RECOMMENDS TO THE EXECUTIVE COMMITTEE FOR APPROVAL THE PRESIDENT'S SALARY, COMPENSATION, AND BENEFIT PACKAGE (TOTAL COMPENSATION), AND REVIEWS AND APPROVES THE TOTAL COMPENSATION OF THE PROVOST, VICE PRESIDENTS, DEANS, OFFICERS AND KEY EMPLOYEES. THE COMMITTEE OBTAINS APPROPRIATE ANALYSES AND STUDIES PREPARED BY THE ADMINISTRATION AND INDEPENDENT EXTERNAL SOURCES WITH RESPECT TO COMPENSATION FOR SIMILAR POSITIONS IN SIMILAR ORGANIZATIONS TO AID IN EVALUATING COMPENSATION AND BENEFIT PLAN LEVELS, PRACTICES AND STRATEGIES TO ENSURE THAT THE UNIVERSITY'S COMPENSATION LEVELS AND PRACTICES ARE COMPARABLE TO SIMILAR ORGANIZATIONS AND APPROPRIATE TO ATTRACT, OBTAIN AND RETAIN QUALIFIED PERSONNEL. THIS INCLUDES REVIEWING SURVEY DATA FOR SIMILAR POSITIONS AMONG A SELECT GROUP OF PEER INSTITUTIONS. THE COMMITTEE SUBMITS ITS RECOMMENDATIONS FOR THE PRESIDENT'S TOTAL COMPENSATION PACKAGE TO THE EXECUTIVE COMMITTEE FOR REVIEW AND APPROVAL. THE EXECUTIVE COMMITTEE RECEIVES AN ANNUAL REPORT FROM THE UNIVERSITY'S COMPENSATION COMMITTEE INCLUDING SIGNIFICANT COMPENSATION AND BENEFIT PLAN POLICY CHANGES. IT REPORTS TO THE FULL BOARD ON THIS AND THE COMPETITIVENESS OF THE UNIVERSITY'S COMPENSATION LEVELS AND BENEFIT PLANS IN RELATION TO PEER INSTITUTIONS. FORM 990, PART VI, SECTION C, LINE 19 CARNEGIE MELLON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE FOR PUBLIC INSPECTION. THE DOCUMENTS ARE AVAILABLE UPON REQUEST OR CAN BE OBTAINED BY VISITING THE WEBSITE AT WWW.CMU.EDU. FORM 990, PART VII, SECTION A, LINE 1A: THE BOARD OF TRUSTEES MAY GRANT THE STATUS OF EMERITUS TRUSTEE TO THOSE MEMBERS WHO HAVE MADE DISTINGUISHED CONTRIBUTIONS TO THE UNIVERSITY AND WHO HAVE ATTAINED AT LEAST AGE 60 OR A MAXIMUM OF AGE 75. THE BOARD OF TRUSTEES MAY, AT ANY TIME OR FROM TIME TO TIME CHANGE THE AGE AT WHICH TRUSTEES MUST BE GRANTED EMERITUS/A STATUS, OR RESIGN FROM THE BOARD. EMERITUS/A TRUSTEES SHALL BE WELCOME AT ALL FULL BOARD MEETINGS; ALL MEETINGS OF THE ADVANCEMENT, EDUCATIONAL AFFAIRS AND ENROLLMENT, AND RESEARCH, INNOVATION AND ENTREPRENEURSHIP COMMITTEES OF THE BOARD OF TRUSTEES; SHALL RECEIVE ALL NOTICES, MINUTES AND REPORTS OF SAID MEETINGS, SHALL BE FREE TO PARTICIPATE IN DISCUSSIONS, BUT SHALL BE WITHOUT A VOTE ON ANY MATTER. EMERITUS TRUSTEES SHALL BE WELCOME AT ALL BOARD AND UNIVERSITY EVENTS. THE FOLLOWING INDIVIDUALS WERE EMERITUS TRUSTEES OF CARNEGIE MELLON'S BOARD OF TRUSTEES: JOHN BERTUCCI, CAROL R. BROWN, ROBERT M. BROWN III, ERIC COOPER, ERROLL B. DAVIS, JR., W. LOGAN DICKERSON, PHILIP L. DOWD, DINA DUBLON, WILLIAM B. ELLIS, CYNTHIA FRIEDMAN, HENRY GAILLIOT, CLAIRE W. GARGALLI, RICHARD D. HAMILTON, TERESA HEINZ, T. JEROME HOLLERAN, W. LEE HOSKINS, PATRICIA ASKWITH KENNER, DAVID M. KIRR, EDWARD E. LUCENTE, THOMAS A. MCCONOMY, JACK E. MCGRATH, REGINA GOUGER MILLER, ALESSANDRO OVI, E. KEARS POLLOCK, CHARLES J. QUEENAN, JR. ESQ, JOYCE B. SCOTT, DAVID S. SHAPIRA, AJIT SHETTY, RAYMOND W. SMITH, W. LOWELL STEINBRENNER, DONALD E. STITZENBERG, MARY ANN ULISHNEY. FORM 990, PART VII, SECTION A, COLUMN B: FOR EACH PERSON LISTED IN COLUMN A WHO IS AN EMPLOYEE OF CARNEGIE MELLON UNIVERSITY, THE AVERAGE NUMBER OF HOURS PER WEEK STATED IS 50 HOURS PER WEEK; HOWEVER, THE ACTUAL NUMBER OF HOURS WORKED VARIES BETWEEN 50-80 HOURS PER WEEK. FORM 990, PART XI, LINE 9: LAMME UNREALIZED GAINS/LOSS 136,761. CHANGE IN SWAP VALUE NET OF INTEREST EXPENSE & OTHER 9,657,802. LOSSES FROM ADJUSTMENTS OF PLEDGES RECEIVABLE -698,695. NET GAIN FROM FUNDRAISING EVENTS -6,096. FORM 990, PART XII, FINANCIAL STATEMENTS AND REPORTING: CARNEGIE MELLON HAS AN AUDIT COMMITTEE OF THE BOARD OF TRUSTEES THAT IS RESPONSIBLE FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND THE SELECTION OF A CERTIFIED INDEPENDENT ACCOUNTING FIRM THAT AUDITS THE FINANCIAL STATEMENTS. CARNEGIE MELLON'S FINANCIAL STATEMENTS ARE CONSOLIDATED. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. 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