2023-05-15T22:23:51-05:00 2022-06-30 910189318 MOSS ADAMS LLP 3121 W MARCH LN STE 200 STOCKTON CA 952192367 990 2021-07-01 941156617 PRESIDENT-BOARD OF TRUSTEES SANTA CLARA COLLEGE PRES 4085544398 500 EL CAMINO REAL SANTA CLARA CA 95053 RAMONA SAUTER AVP FOR FINANCE 4085544398 2023-05-15 1 RAMONA SAUTER XXX-XX-XXXX TRACY S PAGLIA P00366884 2099556100 2023-05-15 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z SANTA CLARA UNIVERSITY JULIE SULLIVAN 500 EL CAMINO REAL SANTA CLARA CA 95053 966732234 0 X WWW.SCU.EDU X 1851 CA SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. 47 44 4492 2277 7678647 0 84406379 108556279 410662863 497684403 48597759 132476995 1029 -1314261 543668030 737403416 120621224 125506680 0 0 235720274 264649414 0 0 10867470 136627050 174335340 492968548 564491434 50699482 172911982 2958910318 2905592698 649347298 625735658 2309563020 2279857040 X SEE SCHEDULE O 0 0 486460577 125506679 497684403 SANTA CLARA UNIVERSITY IS AN INSTITUTION OF HIGHER EDUCATION OFFERING DEGREES AT THE UNDERGRADUATE AND GRADUATE LEVEL AND LAW DEGREES. THE UNIVERSITY CONSISTS OF THE COLLEGE OF ARTS AND SCIENCES, THE SCHOOL OF ENGINEERING, THE LEAVEY SCHOOL OF BUSINESS, THE SCHOOL OF EDUCATION AND COUNSELING PSYCHOLOGY, THE SCHOOL OF LAW, AND THE JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA UNIVERSITY. CURRENT ENROLLMENT IS 8,918 STUDENTS CONSISTING OF 5,895 UNDERGRADUATE, 2,306 GRADUATE AND 717 LAW STUDENTS. IN 2022, THE UNIVERSITY AWARDED 2,546 DEGREES AT ALL ACADEMIC LEVELS. 486460577 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 0 0 1 1 1 1 0 0 0 1 0 0 1 1 1 1 0 0 0 0 0 1 0 1 1 1 1 1 0 0 1 1 1 1 0 0 1 10232 0 1 4492 1 1 1 1 ES 0 0 0 1 1 0 0 0 0 0 0 X 47 44 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA X RAMONA SAUTER 4085542757 500 EL CAMINO REAL SANTA CLARA CA 95053 HERBERT SENDEK HEAD COACH, MEN'S BASKETBALL 40.00 0.00 X 823439 0 91932 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 40.00 0.00 X 707485 0 44346 LISA KLOPPENBERG ACTING PRESIDENT 50.00 0.00 X X 599936 0 57483 JIM LYONS VICE PRESIDENT, UNIVERSITY RELATIONS 40.00 0.00 X 482949 0 47213 RENEE BAUMGARTNER EXECUTIVE DIRECTOR, ATHLETICS 40.00 0.00 X 447546 0 69758 MICHAEL CROWLEY ASST. TREASURER, VP FINANCE & ADMIN 40.00 3.00 X 422512 0 55695 JOHN OTTOBONI ASST. SECRETARY, SR. LEGAL COUNSEL 40.00 0.00 X 418566 0 38282 DONALD HEIDER EXECUTIVE DIRECTOR, MARKKULA CENTER FOR APPLIED ET 40.00 0.00 X 418621 0 24471 JERRY SMITH HEAD COACH, WOMEN'S SOCCER 40.00 0.00 X 365660 0 75882 SANJIV DAS PROFESSOR 40.00 0.00 X 370078 0 45428 MOLLY MCDONALD ASSISTANT SECRETARY, CHIEF OF STAFF 40.00 0.00 X 324608 0 73202 DANIEL PRESS DEAN, COLLEGE OF ARTS AND SCIENCES 40.00 0.00 X 297614 0 61492 GODFREY MUNGAL FORMER DEAN OF THE SCHOOL OF ENGINEERING 40.00 0.00 X 202098 0 47669 RAMONA SAUTER ASSOCIATE VICE PRESIDENT FOR FINANCE 40.00 0.00 X 212275 0 32021 JESSICA MATSUMORI THRU 0721 ASSOCIATE VICE PRESIDENT FOR FINANCE 40.00 0.00 X 116591 0 29898 LARRY W SONSINI CHAIR 2.00 0.00 X X 0 0 0 MATTHEW MATT E CARNES SJ VICE CHAIR 2.00 0.00 X X 0 0 0 STEVEN STEVE J SORDELLO TREASURER 5.00 0.00 X X 0 0 0 JOHN JACK C LEWIS TREASURER (THRU 03/22) 2.00 0.00 X X 0 0 0 KRISTI M BOWERS SECRETARY 2.00 0.00 X X 0 0 0 MARGARET PEGGY M BRADSHAW TRUSTEE 8.00 0.00 X 0 0 0 LUIS CALERO SJ TRUSTEE 2.00 3.00 X 0 0 0 WILLIAM BILL S CARTER TRUSTEE 2.00 0.00 X 0 0 0 LOUIS LOU M CASTRUCCIO TRUSTEE 2.00 0.00 X 0 0 0 HOWARD S CHARNEY TRUSTEE 2.00 0.00 X 0 0 0 GERALD JERRY T COBB SJ TRUSTEE 1.00 0.00 X 0 0 0 ELIZABETH CONNELLY TRUSTEE 2.00 0.00 X 0 0 0 WILLIAM DUFFY TRUSTEE 2.00 0.00 X 0 0 0 KATHLEEN DUNCAN TRUSTEE 2.00 0.00 X 0 0 0 STEPHEN A FINN TRUSTEE 2.00 0.00 X 0 0 0 TIMOTHY TIM HALEY TRUSTEE 2.00 0.00 X 0 0 0 RICHARD RICH D HAUGHEY TRUSTEE 2.00 0.00 X 0 0 0 MOLLY JOSEPH TRUSTEE 2.00 0.00 X 0 0 0 WILLIAM BILL P LEAHY SJ TRUSTEE 0.50 0.00 X 0 0 0 HEIDI LE BARON LEUPP TRUSTEE 2.00 0.00 X 0 0 0 ARTHUR F LIEBSCHER SJ TRUSTEE (THRU 07/21) 2.00 0.00 X 0 0 0 ROBERT LLOYD TRUSTEE 2.00 0.00 X 0 0 0 RONNIE LOTT TRUSTEE 2.00 0.00 X 0 0 0 JOSEPH M MCSHANE SJ TRUSTEE 2.00 0.00 X 0 0 0 JEFFREY JEFF A MILLER TRUSTEE 2.00 0.00 X 0 0 0 KAPIL K NANDA TRUSTEE 2.00 0.00 X 0 0 0 EDWARD ED A PANELLI TRUSTEE 4.00 0.00 X 0 0 0 RISE PICHON TRUSTEE 5.00 0.00 X 0 0 0 REBECCA M GUERRA TRUSTEE 2.00 0.00 X 0 0 0 WILLEM WIM P ROELANDTS TRUSTEE 2.00 0.00 X 0 0 0 GISEL RUIZ TRUSTEE 1.00 0.00 X 0 0 0 STEPHEN C SCHOTT TRUSTEE 2.00 0.00 X 0 0 0 ROBERT H SMITH TRUSTEE 2.00 0.00 X 0 0 0 TIMOTHY TIM SMITH TRUSTEE 2.00 0.00 X 0 0 0 JOHN A SOBRATO TRUSTEE 2.00 0.00 X 0 0 0 JOHN M SOBRATO TRUSTEE (THRU 06/22) 2.00 0.00 X 0 0 0 MARY STEVENS TRUSTEE 2.00 0.00 X 0 0 0 LUIS ARRIAGA SJ TRUSTEE 2.00 0.00 X 0 0 0 SUSAN VALERIOTE TRUSTEE 2.00 0.00 X 0 0 0 GREGORY GREG VAUGHAN TRUSTEE 2.00 0.00 X 0 0 0 PAUL VU SJ TRUSTEE 1.00 0.00 X 0 0 0 AGNIESZKA WINKLER TRUSTEE 4.00 8.00 X 0 0 0 6209978 0 794772 630 1 1 0 DEVCON CONSTRUCTION INC 690 GIBRALTAR DRIVE MILPITAS CA 95035 CONSTRUCTION 66050090 BON APPETIT - SANTA CLARA 301 MARKET STREET SANTA CLARA CA 95053 FOOD SERVICES 8803753 EVERSPRING INC 123 N WACKER DRIVE CHICAGO IL 60606 DIGITAL EDUCATIONAL SERVICES 6863528 COLOR HEALTH INC 831 MITTEN ROAD SUITE 100 BURLINGAME CA 94010 HEALTH TESTING 3034000 SCELC PO BOX 29007 GLENDALE CA 91209 LIBRARY SUBSCRIPTION SERVICES 2358847 109 3513 1311165 1715195 2111174 103415232 6727066 108556279 TUITION FEES 525990 429462820 429462820 AUXILIARY ACTIVITIES 611710 46030248 46030248 FED GRANTS & CONTRACTS 900099 9827909 9827909 PROGRAM FEES 611710 9018163 9018163 PROGRAM SALES INCOME 453000 3067903 3067903 277360 277360 497684403 16464569 2424319 14040250 343087550 226736605 338519 116350945 -338519 116012426 4976968 111035458 939433 1311165 2253694 -1314261 -1314261 737403416 497407043 7678647 123761447 372725 372725 125133955 125133955 4339692 384883 3373782 581027 17279 17279 194162041 165730303 22434258 5997480 19512503 16901318 2047535 563650 33336579 27242442 4833742 1260395 13281320 11213007 1605921 462392 2285512 186247 2099265 446188 446188 1703 1703 6146839 214378 5932461 37658279 33047276 4460191 150812 1417205 1116671 248278 52256 16426941 13611502 2576961 238478 7866345 6293755 1569501 3089 4481552 4320281 109222 52049 8773081 4662344 3871963 238774 14892107 14365798 526309 52675627 49728773 2943203 3651 8082355 2624989 5437676 19690 REPAIR & MAINTENANCE 4844152 2967688 1856918 19546 LIBRARY ACQUISITIONS 4314687 4314687 DUES AND MEMBERSHIPS 1207015 869002 336886 1127 INDIRECT COSTS SPONSORE 923276 923276 1892476 217998 451424 1223054 564491434 486460577 67163387 10867470 54503431 66915432 47357511 37769281 62693230 59313487 5483909 7561190 354337 520678 741321 865350 1652778084 537597978 1117229293 1115180106 502178729 546103444 1135683367 1034372426 2829699 2170585 29855491 34820719 2958910318 2905592698 66095819 65718796 31686460 30112422 335006601 325456956 216558418 204447484 649347298 625735658 X 856401825 1015865034 1453161195 1263992006 2309563020 2279857040 2958910318 2905592698 X 172911982 -204113745 1495783 X 0 1 X 1 1 1 X 49591178 97983076 72186761 84091764 108556279 412409058 49591178 97983076 72186761 84091764 108556279 412409058 40192284 372216774 14824379 23660412 18207988 15618209 14040250 86351238 5566205 5566205 7280 7280 504333781 2209872813 0.73800 0.73100 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2018 AMOUNT: $ 7,280. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 1702 1702 0 PART II-B, LINE 1: SCU PAYS ANNUAL DUES TO MEMBERSHIP ORGANIZATIONS; A PORTION OF THE ANNUAL DUES ARE USED BY THE ORGANIZATIONS FOR LOBBYING ACTIVITIES. X X X 0 1480709489 46798394 -60558975 17124047 23637437 8273000 1417914424 995887403 13116787 518220847 16268598 22275950 7971000 1480709489 982121122 12515306 44830126 14172070 23063081 6344000 995887403 943597741 17973970 64253445 15416940 22715094 5572000 982121122 873039598 10246005 102911647 14253518 22211991 6134000 943597741 0.17050 0.26380 0.56570 1 0 29265006 83603389 112868395 10891003 1188925304 355529541 844286766 113007491 69223830 43783661 164589341 109981377 54607964 62496550 2863230 59633320 1115180106 VENTURE CAPITAL & PRIVATE EQUITY 480820314 F OTHER ALTERNATIVE INVESTMENTS 81263273 F HEDGE FUNDS 463893724 F NOTES RECEIVABLE 3056828 F PENDING TRADES 5338287 F 1034372426 AMOUNTS HELD ON BEHALF OF OTHERS 144359401 ANNUITY OBLIGATIONS 6700462 REFUNDABLE ADVANCES - US GOVERNMENT 2472253 ASSET RETIREMENT OBLIGATION 3209133 OBLIGATIONS UNDER CAPITALIZED LEASE 47706235 204447484 412143604 -204113745 4564738 -199549007 611692611 125710805 125710805 737403416 445596652 6389877 6389877 439206775 125284660 125284660 564491435 PART III, LINE 1A: THE UNIVERSITY'S COLLECTIONS ARE MADE UP OF ARTIFACTS OF HISTORICAL SIGNIFICANCE AND ART OBJECTS THAT ARE HELD FOR EDUCATIONAL, RESEARCH, AND CURATORIAL PURPOSES. THE COLLECTIONS, WHICH HAVE BEEN ACQUIRED THROUGH CONTRIBUTIONS SINCE THE UNIVERSITY'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS IN THE ACCOMPANYING CONSOLIDATED STATEMENT OF FINANCIAL POSITION. PART III, LINE 4: THE UNIVERSITY MAINTAINS THE DE SAISSET MUSEUM FOR STUDENTS WHICH IS ALSO OPEN TO THE PUBLIC. THE DE SAISSET MUSEUM SUPPORTS SANTA CLARA UNIVERSITY'S GOAL OF EDUCATING THE WHOLE PERSON THROUGH A DIVERSE AND ACCESSIBLE RANGE OF EXHIBITIONS, COLLECTIONS, AND EDUCATIONAL PROGRAMS THAT HIGHLIGHT THE ART AND HISTORY OF THE SAN FRANCISCO BAY AREA AND THE LOCAL SANTA CLARA VALLEY. PART V, LINE 4: ENDOWED GIFTS ARE MEANT TO EXIST IN PERPETUITY, AND ARE INVESTED FOR LONG-TERM GROWTH. EACH YEAR, A PORTION OF THE FUND'S EARNINGS IS MADE AVAILABLE IN THE FORM OF AN ALLOCATION TO SUPPORT STUDENT SCHOLARSHIPS, FACULTY CHAIRS, AND OTHER ENDOWED PROGRAMS THAT FURTHER THE UNIVERSITY'S STRATEGIC PRIORITIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: JESUIT SCHOOL OF THEOLOGY REVENUE & INVESTMENT REALIZED GAINS 80,620. BRONCO BENCH FUND REVENUE 308,495. SPECIAL EVENT EXPENSE 2,253,695. ACTUARIAL CHANGES TO SPLIT INTEREST AGREEMENTS 1,921,928. PART XI, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT EXPENSES 5,515,983. STUDENT FINANCIAL AID 118,263,073. LOSS ON UNCOLLECTIBLE PLEDGES 426,145. ALLOWANCE FOR DOUBTFUL ACCOUNTS (PLEDGES)/OTHER ADJUSTMENTS 1,505,604. PART XII, LINE 2D - OTHER ADJUSTMENTS: JESUIT SCHOOL OF THEOLOGY EXPENSES 4,012,166. BRONCO BENCH FUND STUDENT SERVICES EXPENSES 124,016. SPECIAL EVENT EXPENSE 2,253,695. PART XII, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT EXPENSES 5,515,983. STUDENT FINANCIAL AID 118,263,073. ALLOWANCE FOR DOUBTFUL ACCOUNTS (PLEDGES) 1,505,604. 1 1 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE UNIVERSITY MEETS THE CRITERIA UNDER SUBSECTION 4.03.2(B) OF REVENUE PROCEDURE 1975-50. SCHEDULE E, PART I, LINE 6 FINANCIAL AID OR ASSISTANCE FROM GOVERNMENTAL AGENCIES CONSISTS OF STUDENT FINANCIAL AID RECEIVED FROM SUCH AGENCIES. 1 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 179927 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 3360553 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 24308 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 65288 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 18141 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 322663758 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 33277350 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 17799589 0 0 0 0 0 0 377388914 0 377388914 1 0 1 1 1 0 PART III ACCOUNTING METHOD: GOLDEN CIRCLE 1368600 1173750 194850 108795 243851 1321200 44951 KASNER SYMPOSIUM 349799 349799 172559 160516 6 532199 137415 394784 1781 77462 73581 13348 35650 2250598 1311165 939433 1781 186257 489991 1334548 241117 2253694 -1314261 1 CITY OF SANTA CLARA 1500 WARBURTON AVENUE SANTA CLARA CA 95050 946000426 GOVERNMENT 75000 0 BOOK DONATION FOR COMMUNITY SUPPORT INTERNATIONAL FOOD & AGRIBUSINESS MANAGEMENT ASSOCIATION (IFAMA) 922 NW CIRCLE BLVD SUITE 160 234 CORVALLIS OR 97330 742585021 501(C)(3) 10000 0 BOOK SPONSORSHIP FOR IFAMA 2022 WORLD CONFERENCE THE PANETTA INSTITUTE FOR PUBLIC POLICY 100 CAMPUS CENTER BUILDING 86E CSU MONTEREY BAY SEASIDE CA 93955 770495799 501(C)(3) 20000 0 BOOK SUPPORT FOR PANETTA INSTITUTE ST PATRICK SCHOOL 51 NORTH 9TH STREET SAN JOSE CA 95112 942734503 501(C)(3) 21577 0 BOOK DONATION FOR IPAD PURCHASES FOR ST PATRICK SCHOOL THE STEPHEN C & PATRICIA A SCHOTT FOUNDATION 404 SARATOGA AVENUE SUITE 100 SANTA CLARA CA 95050 943192795 501(C)(3) 12600 0 BOOK SUPPORT FOR SCHOTT FOUNDATION CATHOLIC CHARITIES OF SANTA CLARA COUNTY 2625 ZANKER ROAD SUITE 201 SAN JOSE CA 95134 942762269 501(C)(3) 75000 0 BOOK SUPPORT SERVICES PROVIDED BY THE CATHOLIC CHARITIES CRISTO REY SAN JOSE JESUIT HIGH SCHOOL 1390 FIVE WOUNDS LANE SAN JOSE CA 95116 043832927 501(C)(3) 72000 0 BOOK SUPPORT WORK STUDY PROGRAM OF CRISTO REY SAN JOSE JESUIT HIGH SCHOOL ELEVATE TUTORING 2641 THRASHER LANE SAN JOSE CA 95125 451058760 501(C)(3) 54948 0 BOOK SUPPORT FELLOWSHIP FUNDS, TRAINING TUTORS, FIGHT INEQUITY IN STEM EDUCATION LUMEN CHRISTI INSTITUTE 1220 EAST 58TH STREET CHICAGO IL 60637 344191992 501(C)(3) 31600 0 BOOK SUPPORT CATHOLIC CRIMINAL JUSTICE REFORM NETWORK'S INAUGURAL INVITATIONAL CONFERENCE AT GEORGETOWN UNIVERSITY 9 0 FINANCIAL AID AND SCHOLARSHIPS 5799 117997148 BOOK NA SCHOLARSHIPS & FELLOWSHIPS (FEDERAL WORK STUDY) 925 1710517 BOOK NA CARES ACT (HIGHER EDUCATION EMERGENCY RELIEF FUND) AWARDS TO STUDENTS 2113 4603451 BOOK NA OTHER GRANTS TO STUDENTS 183 822839 BOOK NA PART I, LINE 2: THE UNIVERSITY PROVIDES GRANTS AND OTHER ASSISTANCE TO DOMESTIC CHARITABLE ORGANIZATIONS TO SUPPORT PROGRAMS AND ACTIVITIES IN LINE WITH OUR MISSION. SOME OF THESE DONATIONS ARE COLLECTED DURING MASS AT THE MISSION CHURCH AND THEN PROVIDED TO VARIOUS CHARITABLE ORGANIZATIONS. THE UNIVERSITY PROVIDES GRANTS FOR SCHOLARSHIPS, FELLOWSHIPS, AND STUDENT LOANS USING GUIDELINES ESTABLISHED BY THE ORGANIZATION'S BOARD OF TRUSTEES TO ENSURE THEY ARE MADE BASED ON NEED AND OR MERIT. SCU MAKES FINANCIAL AID GRANTS TO STUDENT ACCOUNT TO OFFSET AMOUNTS THAT STUDENTS OWE THE UNIVERSITY FOR TUITION AND FEES. SCHEDULE I, PART III COLUMN (B): THE NUMBERS OF RECIPIENTS ARE OBTAINED FROM OUR STUDENT FINANCIAL ACCOUNTING RECORDS. X X X X 1 1 X X X X 0 0 0 0 0 0 0 1 0 HERBERT SENDEK HEAD COACH, MEN'S BASKETBALL 781336 0 0 0 42103 0 14500 0 77432 0 915371 0 0 0 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 518217 0 181163 0 8105 0 14941 0 29405 0 751831 0 0 0 LISA KLOPPENBERG ACTING PRESIDENT 566001 0 0 0 33935 0 14549 0 42934 0 657419 0 0 0 JIM LYONS VICE PRESIDENT, UNIVERSITY RELATIONS 404292 0 15000 0 63657 0 18109 0 29104 0 530162 0 0 0 RENEE BAUMGARTNER EXECUTIVE DIRECTOR, ATHLETICS 382443 0 65000 0 103 0 18519 0 51239 0 517304 0 0 0 MICHAEL CROWLEY ASST. TREASURER, VP FINANCE & ADMIN 414609 0 0 0 7903 0 17584 0 38111 0 478207 0 0 0 JOHN OTTOBONI ASST. SECRETARY, SR. LEGAL COUNSEL 394653 0 0 0 23913 0 17006 0 21276 0 456848 0 0 0 DONALD HEIDER EXECUTIVE DIRECTOR, MARKKULA CENTER 361878 0 0 0 56743 0 19237 0 5234 0 443092 0 0 0 JERRY SMITH HEAD COACH, WOMEN'S SOCCER 225502 0 134000 0 6158 0 18354 0 57528 0 441542 0 0 0 SANJIV DAS PROFESSOR 294835 0 0 0 75243 0 20374 0 25054 0 415506 0 0 0 MOLLY MCDONALD ASSISTANT SECRETARY, CHIEF OF STAFF 302052 0 0 0 22556 0 22465 0 50737 0 397810 0 0 0 DANIEL PRESS DEAN, COLLEGE OF ARTS AND SCIENCES 264798 0 0 0 32816 0 20711 0 40781 0 359106 0 0 0 GODFREY MUNGAL FORMER DEAN OF THE SCHOOL OF ENGINEE 201793 0 0 0 305 0 15786 0 31883 0 249767 0 0 0 RAMONA SAUTER ASSOCIATE VICE PRESIDENT FOR FINANCE 198695 0 0 0 13580 0 15110 0 16911 0 244296 0 0 0 PART I, LINE 1A WE PROVIDED FIRST CLASS TRAVEL TO EMPLOYEES FOR INTERNATIONAL TRAVEL IN ACCORDANCE WITH OUR POLICY. NO PORTION IS TAXABLE TO THE EMPLOYEE. WE PROVIDED GOLF CLUB MEMBERSHIPS TO INDIVDIDUALS WHO HAVE RESOPONSIBILITIES FOR FUNDRAISING. THERE IS NO WRITTEN POLICY REGARDING GOLF MEMBERSHIPS. THE UNIVERSITY HAS PROCEDUCRES IN PLACE TO ENSURE THAT NO PERSONAL CHARGES ARE REIMBURSED, AND NO PORTION IS TAXABLE TO THE EMPLOYEE. RENTAL/HOUSING ASSISTANCE MAY BE PROVIDED IN ACCORDANCE WITH UNIVERSITY COMPESNATION POLICIES, AND IS CONSIDERED TAXABLE INCOME. SUCH ASSISTANCE MAY BE PROVIDED IN THE FORM OF UNIVERSITY FUNDED PROMISSORY NOTES (SEE SCHEDULE L FOR FURTHER DETAIL), AND THESE AMOUNTS ARE CONSIDERED TAXABLE INCOME. FOR ONE DISCLOSED EMPLOYEE, THE UNIVERSITY MADE A TAX GROSS UP PAYMENT RELATED TO DEPENDENT TUITION REIMBURSEMENT. PART I, LINE 7 JOHN KERRIGAN, JIM LYONS, RENEE BAUMGARTNER, AND JERRY SMITH RECEIVED BONUS PAYMENTS FOR THEIR SERVICES AND PERFORMANCE DURING THE FISCAL YEAR. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179BS2 2015-08-28 117173098 SEE PART VI 0 0 0 B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179JX3 2017-08-10 30404213 SEE PART VI 0 0 0 C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179NF7 2017-12-28 63096951 SEE PART VI 0 0 0 D CALIFORNIA MUNICIPAL FINANCE AUTHORITY 201563466 2019-06-12 4875127 SEE PART VI 0 0 0 A 9160000 118724575 681874 59744970 58297730 2018 0 1 1 1 B 31399280 146330 31249613 3337 0 1 0 1 C 955000 64096588 3221316 426308 60439062 9902 0 0 0 1 D 1600000 4875127 45127 4830000 2019 0 1 0 1 A 0 1 1 1 1 1 0.00100 0.00000 0.00100 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 C 0 1 0 0 0 0 0 0 1 D 0 1 1 0 0 0 0 0 1 A 1 B 1 C 1 D 1 COLUMN A: PART I(F) THE PROCEEDS OF THIS BOND ISSUE WERE USED TO REFUND A PORTION OF THE BORROWER SERIES 2008 (ISSUED 12/11/2008) AND TO FINANCE CONSTRUCTION AND IMPROVEMENTS OF CERTAIN FACILITIES AND PAY COSTS OF ISSUANCE. COLUMN A: PART II, LINE 3 THE TOTAL PROCEEDS SHOWN IN PART II, LINE 3 DIFFERS FROM THE ISSUE PRICE SHOWN IN PART I, (E) DUE TO INTEREST EARNINGS ON INVESTED 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 A: PART 4, LINE 2C THE REBATE COMPUTATION FOR SERIES 2015 WAS COMPLETED BY BLX GROUP LLC ON SEPTEMBER 16, 2020. COLUMN B: PART I(F) THE PROCEEDS OF THE BOND ISSUE WERE USED TO REFUND A PORTION OF THE BORROWER'S SERIES 2010 (ISSUED 9/15/2010). COLUMN B: PART II, LINE 3 THE TOTAL PROCEEDS SHOWN IN PART II, LINE 3 DIFFERS FROM THE ISSUE PRICE SHOWN IN PART I, (E) DUE TO INTEREST EARNINGS ON INVESTED 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 C: PART II, LINE 3 THE TOTAL PROCEEDS SHOWN IN PART II, LINE 3 DIFFERS FROM THE ISSUE PRICE SHOWN IN PART I, (E) DUE TO INTEREST EARNINGS ON INVESTED 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 PROCEEDS OF THIS BOND ISSUE WERE USED TO REFINANCE THE BORROWER'S TAXABLE LOAN (ISSUED 6/25/2014). 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 CURRENT REFUNDING PORTION OF BONDS HAS MET THE 6-MONTH EXCEPTION TO REBATE. LISA KLOPPENBERG TRUSTEE NOTE RECEIVABLE X 250000 85408 0 0 1 JIM LYONS KEY EMPLOYEE NOTE RECEIVABLE X 250000 219722 0 0 1 DANIEL PRESS KEY EMPLOYEE NOTE RECEIVABLE X 250000 215548 0 0 1 520678 KELLEN ZUNICH FAMILY MEMBER OF LISA KLOPPENBERG 17279 EMPLOYMENT 0 SI 53 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES 2323297 LONG-TERM LEASE 0 SI 23 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES 656512 LONG-TERM LEASE 0 X 140 6421835 AVERAGE MKT VALUE X EQUIPMENT 4 277339 SELLING PRICE X MISC SUPPLIES 8 27892 SELLING PRICE 2 0 1 1 PART I, COLUMN (B): NUMBER OF CONTRIBUTION PART I, LINE 32B: THE UNIVERSITY USES STOCK BROKERS TO SELL DONATED SECURITIES AND REAL ESTATE BROKERS TO SELL DONATED REAL ESTATE. FORM 990, PART III, LINE 1: SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. STUDENT LEARNING TAKES PLACE AT THE UNDERGRADUATE AND GRADUATE LEVEL IN AN EDUCATIONAL ENVIRONMENT THAT INTEGRATES RIGOROUS INQUIRY AND SCHOLARSHIP, CREATIVE IMAGINATION, REFLECTIVE ENGAGEMENT WITH SOCIETY, AND A COMMITMENT TO FASHIONING A MORE HUMANE AND JUST WORLD. AS AN ACADEMIC COMMUNITY, WE EXPAND THE BOUNDARIES OF KNOWLEDGE AND INSIGHT THROUGH TEACHING, RESEARCH, ARTISTIC EXPRESSION, AND OTHER FORMS OF SCHOLARSHIP. IT IS PRIMARILY THROUGH DISCOVERING,COMMUNICATING, AND APPLYING KNOWLEDGE THAT WE EXERCISE OUR INSTITUTIONAL RESPONSIBILITY AS A VOICE OF REASON AND CONSCIENCE IN SOCIETY, WE OFFER CHALLENGING ACADEMIC PROGRAMS AND DEMONSTRATE A COMMITMENT TO THE DEVELOPMENT OF: 1) UNDERGRADUATE STUDENTS WHO SEEK AN EDUCATION WITH A STRONG HUMANISTIC ORIENTATION IN A PRIMARILY RESIDENTIAL SETTING. 2) GRADUATE STUDENTS, MANY OF THEM WORKING PROFESSIONALS IN SILICON VALLEY, WHO SEEK ADVANCED DEGREE PROGRAMS THAT PREPARE THEM TO MAKE SIGNIFICANT CONTRIBUTIONS TO THEIR FIELDS. IN ADDITION TO THESE CORE PROGRAMS, WE ALSO PROVIDE A VARIETY OF CONTINUING EDUCATION AND PROFESSIONAL DEVELOPMENT OPPORTUNITIES FOR NON-MATRICULATED STUDENTS. FORM 990, PART VI, SECTION A, LINE 2 - JOHN A. SOBRATO AND JOHN M. SOBRATO HAVE A FAMILY AND BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11B THE BOARD OF TRUSTEES HAS DELEGATED THE REVIEW OF THE FORM 990 TO THE AUDIT COMMITTEE. THE ORGANIZATION'S CONTROLLER'S OFFICE WORKED CLOSELY WITH THE OUTSIDE ACCOUNTING FIRM IT ENGAGED TO PREPARE THE RETURN. INFORMATION FOR THE RETURN WAS ALSO OBTAINED THROUGH DISCUSSIONS WITH SENIOR ADMINISTRATION AND THE GENERAL COUNSEL. THE AUDIT COMMITTEE ALSO MET WITH THE CONTROLLER'S OFFICE AND THE ACCOUNTING FIRM HIRED TO PREPARE THE FORM 990 AND THE RETURN WAS ACCEPTED. THE FINAL DRAFT WAS PROVIDED TO THE ENTIRE VOTING BOARD BEFORE THE RETURN WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF TRUSTEES HAS A CONFLICT OF INTEREST POLICY AS PART OF THE BYLAWS. THE ASSISTANT TREASURER IS RESPONSIBLE FOR MONITORING POTENTIAL CONFLICT OF INTEREST. ANNUALLY, A QUESTIONNAIRE IS SENT TO THE BOARD OF TRUSTEES, OFFICERS AND KEY EMPLOYEES ASKING FOR ANY POSSIBLE BUSINESS OR PERSONAL CONNECTION TO THE ORGANIZATION THAT MAY CAUSE A POTENTIAL CONFLICT. THE PROCEDURES FOR ADDRESSING ANY CONFLICT OF INTEREST INCLUDES, BUT IS NOT LIMITED TO, THE FOLLOWING: (1) THE CONFLICTING INTEREST IS FULLY DISCLOSED TO THE PRESIDENT AND BOARD; (2) THE INTERESTED PERSON RESPONDS TO FACTUAL QUESTIONS RELATED TO THE SUBSTANCE OF THE TRANSACTION OR ARRANGEMENT BEING CONSIDERED, AFTER WHICH HE/SHE SHALL LEAVE THE MEETING; (3) THE PERSON WITH THE CONFLICT OF INTEREST IS EXCLUDED FROM THE DISCUSSION AND APPROVAL OF SUCH TRANSACTION; (4) ALTERNATIVES TO THE PROPOSED TRANSACTION ARE INVESTIGATED, COMPETITIVE BIDS OR COMPARABLE VALUATIONS ARE OBTAINED; (5) THE TRANSACTION OR ACTION MUST BE APPROVED BY A MAJORITY OF DISINTERESTED PERSONS. FORM 990, PART VI, SECTION B, LINE 15A THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES HAS THE AUTHORITY TO REVIEW AND DETERMINE THE PRESIDENT'S COMPENSATION. DISCUSSIONS OF THE PRESIDENT'S COMPENSATION WERE DOCUMENTED IN THE MINUTES OF MEETINGS OF THE EXECUTIVE COMMITTEE. THE COMPENSATION OF THE PROVOST AND VICE PRESIDENTS ARE DETERMINED BY THE PRESIDENT. OTHER KEY EMPLOYEES' COMPENSATION IS DETERMINED BY THE RESPECTIVE VICE PRESIDENT OR PROVOST. IN ALL CASES, COMPARABLE DATA FROM SIMILAR ORGANIZATIONS AND POSITIONS WERE USED TO DETERMINE COMPENSATION LEVELS. THIS INFORMATION COMES FROM INDEPENDENT SURVEY DATA. EACH EMPLOYEE'S COMPENSATION IS DOCUMENTED IN THEIR RESPECTIVE PERSONNEL FILES AND THEY ARE PERSONALLY NOTIFIED OF ANY CHANGES IN COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 WHILE FEDERAL TAX LAWS DO NOT MANDATE THAT THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS BE MADE AVAILABLE FOR PUBLIC INSPECTION, THE ORGANIZATION MAKES ITS CONFLICT OF INTEREST POLICY AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: LOSS ON UNCOLLECTIBLE PLEDGES -426,145. ACTUARIAL CHANGES TO SPLIT INTEREST AGREEMENTS 1,921,928. ADOBE MANAGEMENT A LLC 500 EL CAMINO REAL SANTA CLARA CA 95053 811570359 INVESTING PURPOSES DE 476837 3803318 SANTA CLARA UNIVERSITY BRONCO BENCH FOUNDATION SANTA CLARA UNIVERSITY SANTA CLARA CA 95053 946121957 FUNDRAISING CA 501(C)(3) LINE 12B, II PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA 1735 LE ROY AVE BERKELEY CA 94709 941156462 EDUCATION CA 501(C)(3) LINE 1 PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 WEST COAST CONFERENCE 1111 BAYHILL DRIVE STE 405 SAN BRUNO CA 94066 237286818 COLLEGIATE ATHLETICS CA 501(C)(3) LINE 12A, I N/A 0 MAKENA STRATEGIC OPPORTUNITIES FUND - KH LP 2755 SAND HILL ROAD SUITE 200 MENLO PARK CA 94025 812032432 INVESTING PURPOSES DE SANTA CLARA UNIVERSITY REVENUE EXCLUDED 729936 15659258 0 0 0.73630 CHARITABLE REMAINDER TRUST (21) HOLDINGS CA N/A T 0 0 0 1 1 0 0 0 0 0 0 0 1 1 1 1 0 0 1 0 BRONCO BENCH FOUNDATION C 1715195 FMV JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA D 21370721 FMV JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA R 1502632 FMV