2023-07-17T18:00:11+00:00 2022-08-31 135565207 KPMG LLP 200 EAST RANDOLPH STREET Chicago IL 60601 990 2021-09-01 362167817 Northwestern University NORT 8474913741 633 Clark St Evanston IL 60208 Amanda Distel VP, Treasurer, Interim CFO 2023-07-17 true Amanda Distel 999009999 Tara Kenney P01245482 3126651000 2023-07-14 2021 2023-04-26 12:10:37Z Amanda Distel 633 Clark St Evanston IL 60208 6046941867 false X www.northwestern.edu X 1851 IL Education and research 39 37 24446 155 15290133 0 448339219 434258008 2126650578 2452947971 1112541399 1084927010 -9009808 38291257 3678521388 4010424246 620847192 662465917 0 1477348118 1556944915 150665 66079 58010505 932511495 1124751845 3030857470 3344228756 647663918 666195490 19369511926 18624987614 3303710832 3268396049 16065801094 15356591565 Northwestern's mission is to provide the highest-quality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises. false false 2266491101 533960009 1552901204 EDUCATION OF STUDENTS: FOR THE 2022 ACADEMIC YEAR, 8,578 UNDERGRADUATES AND 11,889 GRADUATES AND PROFESSIONAL SCHOOL STUDENTS ENROLLED FULL-TIME AT THE UNIVERSITY. THE EXEMPT PURPOSE OF NORTHWESTERN UNIVERSITY IS TO PROVIDE EDUCATIONAL SERVICES TO ITS STUDENTS. THIS INCLUDES SUPERIOR UNDERGRADUATE EDUCATION FOR A DIVERSE STUDENT BODY IN A COMPREHENSIVE RANGE OF ACADEMIC AND PROFESSIONAL FIELDS. AT THE GRADUATE LEVEL, NORTHWESTERN'S ROLE ENCOMPASSES OFFERINGS IN THE MAJOR ACADEMIC AND PROFESSIONAL FIELDS, CLOSELY RELATED TO RESEARCH, CREATIVE ACTIVITIES, AND CLINICAL SERVICES. 598879706 128505908 794923006 RESEARCH ACTIVITIES: THE RESEARCH PROGRAM AT NORTHWESTERN UNIVERSITY IS A MAJOR COMPONENT OF UNIVERSITY EFFORTS, ASSURING INSTITUTIONAL LEADERSHIP IN SCIENTIFIC DISCOVERY, INTELLECTUAL INQUIRY, AND CREATIVE PERFORMANCE. THE CHARACTER OF THIS RESEARCH SHAPES ALL AREAS OF UNIVERSITY ENDEAVOR, ESPECIALLY GRADUATE EDUCATION AS WELL AS UNDERGRADUATE STUDIES. 179203501 108327372 AUXILIARY ENTERPRISES SERVE THE EDUCATIONAL MISSION BY PRIMARILY PROVIDING RESIDENCES AND FOOD SERVICES, AND OTHER VARIOUS GOODS AND SERVICES TO SUPPORT UNIVERSITY STUDENT, FACULTY, AND STAFF ACTIVITIES. 3044574308 true true false true true false true true true true true false false true true false true true true true true true true true false false true true true true false false false false false true true false true true true true false false true true true true false false true X 24269 0 true 24446 true true true true QA UK false false false true true false false false false false false false true true X 39 37 true false false false false false false true true false false true true true true true true true false true false CA MD MA MI NH OR SC X Nicole Van Laan Controller 8474914722 619 Clark St Evanston IL 60208 A Steven Crown Trustee 1.0 X 0 0 0 Adam R Karr Trustee 1.0 X 0 0 0 Charles A Tribbett III Trustee 1.0 X 0 0 0 Christine E Brennan Trustee 1.0 X 0 0 0 D Cameron Findlay Trustee 1.0 X 0 0 0 David A Sachs Trustee 1.0 X 0 0 0 David B Weinberg Trustee 1.0 X 0 0 0 Deborah L DeHaas Trustee 1.0 X 0 0 0 E Scott Santi Trustee 1.0 X 0 0 0 Ellen Kullman Trustee 1.0 X 0 0 0 Frederick H Waddell Trustee 1.0 X 0 0 0 Gwynne E Shotwell Trustee 1.0 X 0 0 0 H Patrick Hackett Jr Trustee 1.0 X 0 0 0 Harreld N Kirkpatrick III Trustee 1.0 X 0 0 0 J Landis Martin Trustee 1.0 X 0 0 0 James A DeNaut Trustee 1.0 X 0 0 0 Jane DiRenzo Pigott Trustee 1.0 X 0 0 0 Jane S Hoffman Trustee 1.0 X 0 0 0 Jay C Hoag Trustee 1.0 X 0 0 0 John Z Kukral Trustee 1.0 X 0 0 0 Kimberly Querrey Trustee 1.0 X 0 0 0 Lynn Hopton Davis Trustee 1.0 X 0 0 0 M Jude Reyes Trustee 1.0 X 0 0 0 Michael S Shannon Trustee 1.0 X 0 0 0 Miles D White Trustee 1.0 X 0 0 0 Milton M Morris Trustee 1.0 X 0 0 0 Muneer A Satter Trustee 1.0 X 0 0 0 Nancy Trienens Kaehler Trustee 1.0 X 0 0 0 Patrick G Ryan Jr Trustee 1.0 X 0 0 0 Paul J Schneider Trustee 1.0 X 0 0 0 Paula Pretlow Trustee 1.0 X 0 0 0 Peter J Barris Trustee 1.0 X 0 0 0 Purnima Puri Trustee 1.0 X 0 0 0 Steven Cahillane Trustee 1.0 X 0 0 0 T Bondurant French Trustee 1.0 X 0 0 0 Timothy P Sullivan Trustee 1.0 X 0 0 0 Virginia Rometty Trustee 1.0 X 0 0 0 Wendy M Nelson Trustee 1.0 X 0 0 0 Yie-Hsin Hung Trustee 1.0 X 0 0 0 Alexander J Darragh VP of Facilities Management 40.0 X 423595 0 53876 Amy Falls VP & Chief Investment Officer 40.0 X 1532572 0 55158 Craig A Johnson Executive Vice President 40.0 X 995891 0 196258 Derrick L Gragg VP Athletics Rec 40.0 X 562504 0 31548 Devora Grynspan VP of International Relations 40.0 X 256060 0 36369 Eric G Neilson VP Medical Affairs 40.0 X 640304 0 25634 Jeri Beth Ward VP Global Mkt & Comm 40.0 X 433718 0 33692 Julie Alice Payne-Kirchmeier VP of Student Affairs 40.0 X 543524 0 35019 Kathleen M Hagerty Provost 40.0 X 857701 0 29408 Luke Figora VP for Operations 40.0 X 502486 0 63146 Marilyn McCoy VP of Admin & Planning 40.0 X 497765 0 55089 Milan Mrksich VP of Research 40.0 X 556370 0 58631 Morton O Schapiro President 40.0 X 2222805 0 773171 Priya Jenveja Harjani Assoc VP & Dep General Counsel & Interim VP HR 40.0 X 631311 0 61016 Robert E McQuinn VP of Alumni Rel & Development 40.0 X 1047813 0 340892 Robin Renee Means Coleman VP Assoc Prov Div and Inc 40.0 X 395793 0 50772 Sean Brian Reynolds VP & Chief Information Officer 40.0 X 545318 0 37402 Stephanie Mills Graham VP & General Counsel 40.0 X 844443 0 85709 Amanda J Distel Sr Asc VP Fin & Treasurer 40.0 X 506000 0 51658 Daniel Lee Durack Assoc VP Budget & Planning 40.0 X 302299 0 56520 Chad A Mirkin Professor-WCAS Chemistry 40.0 X 3029210 0 80911 Christopher Ryan Collins Head Coach 40.0 X 3070425 0 63906 Maciej S Lesniak Professor-Neurological Surgery 40.0 X 1619469 0 29494 Mohanbir S Sawhney Professor-Kellogg 40.0 X 2430051 0 95288 Patrick William Fitzgerald II Head Coach 40.0 X 5863035 0 64102 Angel Manuel Cuevas-Trisan Former VP & Chief HR Officer 0.0 X 228172 0 42450 Harisha Koneru Haigh Mng Dir Priv Inv & Real Assets 40.0 X 1307724 0 549727 James J Phillips Former VP Athletics 0.0 X 1071131 0 20336 Janna V Blais Assoc Ad Intercollegiate Srvcs Athletics & Former Interim VP Athletics 40.0 X 425408 0 73012 Mike Polisky Former VP Athletics 0.0 X 811323 0 37647 Peter A Belytschko Managing Dir Absolute Return 40.0 X 1308442 0 509131 Robert A Gundlach Professor Emeritus & Former Interim VP Athletics 0.0 X 216674 0 43805 35679336 0 3740777 3119 true true false THE FAMILY INSTITUTE 618 Library Pl Evanston IL 60201 Instruction services 39003307 NORTHWESTERN MEDICAL GROUP 541 N Fairbanks Ct Rm 1630 Chicago IL 60611 Healthcare services 6328837 MANUFACTURERS & TRADERS TRUST CO 345 Main St Buffalo NY 14203 Investment services 3274418 NORTHWESTERN MEMORIAL HOSPITAL 251 East Huron Chicago IL 60611 Lab and clinical services 3044112 ALLIED UNIVERSAL COMPANY 161 Washington St Conshohocken PA 19428 Security services 2860817 416 0 0 2716466 0 33601120 397940422 45745108 434258008 Tuition and fees 611310 1299823609 1299823609 Research activities 611310 794923006 794923006 Educational activities 611310 179602175 179602175 Auxiliary enterprises 611310 108327372 108327372 Medical activities 611310 53959911 53959911 16311898 16311898 0 0 2452947971 58465800 5296240 53169560 25238403 3478723 21759680 1172886 188038 984848 0 984848 984848 1381129622 1681303180 1379414572 656557020 1715050 1024746160 1026461210 -2092629 1028553839 397333 2716466 357991 39342 39342 Investment in LPs 523920 2239859 2239859 Parking facilities 812930 6489034 6489034 Scientific services/rental 541990 2957980 2957980 341791 0 124537 217254 12028664 4010424246 2456151582 15290133 1104724523 96779699 96779699 558499685 558499685 7186533 7186533 0 0 19829918 4725535 13865156 1239227 929712 929712 1242329571 1170873272 38103383 33352916 84808088 79100750 3191193 2516145 135321238 126268219 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396572442 395551158 35444238 47212686 0 0 100000000 0 0 2381250279 2344538647 3303710832 3268396049 X 9867245384 9418823306 6198555710 5937768259 0 0 0 16065801094 15356591565 19369511926 18624987614 X 666195490 -1383671885 8266866 X false true X true true true X 373724245 351726297 361701672 448339219 434258008 1969749441 0 0 373724245 351726297 361701672 448339219 434258008 1969749441 554589616 1415159825 90325158 84991257 65402423 82888254 76102126 399709218 0 0 0 0 0 0 789898 579376 277962 75250 614587 2337073 2371795732 10880657164 0.5967 0.6147 X Schedule A, Part II, Line 10 Other Income DESCRIPTION - FUNDRAISING, COLUMN A - 789898.0, COLUMN B - 579376.0, COLUMN C - 277962.0, COLUMN D - 75250.0, COLUMN E - 614587.0, COLUMN F - 2337073.0; RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 407703 0 407703 0 3339176656 0 3339584359 0 1000000 0 250000 0 0 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 628789 441311 441973 407703 1919776 250000 250000 250000 250000 1000000 1500000 0 0 0 0 0 2 1 7224945 219000 489000 0 15666652 4844457 true true X X X X false false true X 11361182000 210480000 -281680000 71809032 338322968 10879850000 8484706000 203789000 3066809000 68860448 325261552 11361182000 8244818000 152023000 474583000 65785231 320932769 8484706000 8386918000 81883000 144332000 62062353 306252647 8244818000 7947574000 142330000 666151000 59278629 309858371 8386918000 0.4837 0.5163 0.0 false false 29986168 29986168 4752208988 1894836072 2857372916 44381186 33555017 10826169 746310828 523640738 222670090 3120855343 3221864332 F Equity, fixed income, real assets, etc 9206141007 F 12428005339 8928843 Deposits payable, actuarial liability of annuities payable 144320342 Government advances for student loans 1296554 Asset retirement obligations 3766102 Taxable bonds - series 2012 199208209 Taxable bonds - series 2013 543939684 Taxable bonds - series 2015 497698570 Taxable bonds - series 2017 497736038 Other debt payable - lines of credit Taxable bonds - series 2020 298625455 Lease liabilities 149018850 2344538647 X Schedule D, Part III, Line 1a ART COLLECTIONS EXPLANATION: THE UNIVERSITY DOES NOT CAPITALIZE COLLECTIONS. AS STATED IN THE UNIVERSITY NOTES TO THE FINANCIAL STATEMENTS, THE ACCOUNTING POLICY FOR LIBRARY COLLECTIONS IS TO EXPENSE ALL PURCHASES. MUSEUM PURCHASES ARE ACCOUNTED FOR SIMILARLY. GIFTS OF ART AND SIMILAR TANGIBLE PERSONAL PROPERTY ARE ACCOUNTED FOR AS GIFTS-IN-KIND. Schedule D, Part X LINE 1(4) - ASSET RETIREMENT OBLIGATIONS THE UNIVERSITY RECORDS ALL KNOWN ASSET RETIREMENT OBLIGATIONS (ARO) FOR WHICH THE FAIR VALUE OF THE LIABILITY CAN BE REASONABLY ESTIMATED, INCLUDING CERTAIN OBLIGATIONS RELATING TO REGULATORY REMEDIATION. ARO COVERED INCLUDE THOSE FOR WHICH AN ENTITY HAS A LEGAL OBLIGATION TO PERFORM AN ASSET RETIREMENT ACTIVITY; HOWEVER, THE TIMING AND/OR METHOD OF SETTLING THE OBLIGATION ARE CONDITIONAL ON A FUTURE EVENT THAT MAY OR MAY NOT BE WITHIN THE CONTROL OF THE ENTITY. Schedule D, Part III, Line 4 Collections of art - description of collections The Mary and Leigh Block Museum of Art, Northwestern University is committed to the development of a focused collection of works on paper with particular emphasis upon historical and contemporary prints and photographs. The Mary and Leigh Block Museum of Art enriches teaching and learning on the campuses of Northwestern University and in the communities of their surrounding regions by: Presenting art across time, cultures, and media; Convening interdisciplinary discussions in which art is a springboard for exploring issues and ideas; Collecting art that supports the Northwestern University curriculum. Schedule D, Part IV, Line 2b Explanation of escrow agreement The University maintains certain agency funds which it holds as a custodian for student and /or external organizations as an accommodation to those entities. The organizations are then allowed to utilize University systems and resources to process transactions against those funds. Schedule D, Part V, Line 4 Intended uses of endowment funds The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction. Schedule D, Part X, Line 2 FIN 48 (ASC 740) footnote The University had no uncertain tax positions in fiscal year 2022 or fiscal year 2021. true true true true true true true false false false false false false false false true false true Schedule E, Part I, Line 3 RACIALLY NONDISCRIMINATORY POLICY Policies are included on the University's publicly accessible homepage, in student, faculty, and staff handbooks, and the student course catalog . Policies are posted on University websites, posted throughout campus including student centers and the admissions office, and distributed to undergraduate students. Schedule E, Part I, Line 6(a) FINANCIAL AID OR ASSISTANCE FROM A GOVERNMENT The University receives financial support from agencies of the federal and state government for research and instructional purposes, including for financial aid to students. Schedule E, Part I, Line 7 RACIAL NONDISCRIMINATION COMPLIANCE Northwestern University does not discriminate or permit discrimination by any member of its community against any individual on the basis of race, color, religion, national origin, sex, pregnancy, sexual orientation, gender identity, gender expression, parental status, marital status, age, disability, citizenship status, veteran status, genetic information, reproductive health decision making, or any other classification protected by law in matters of admissions, employment, housing, or services or in the educational programs or activities it operates. true Middle East and North Africa 1 249 Maintaining offices, employees, or agents International campus in Doha, Qatar for students in journalism and communication 58006404 East Asia and the Pacific 0 0 Grantmaking 204910 Europe (Including Iceland and Greenland) 0 0 Grantmaking 2727471 Middle East and North Africa 0 0 Grantmaking 131017 North America (Canada & Mexico only) 0 0 Grantmaking 1052613 South America 0 0 Grantmaking 238068 Sub-Saharan Africa 0 0 Grantmaking 2813051 Central America and the Caribbean 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 126599 East Asia and the Pacific 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 461208 Europe (Including Iceland and Greenland) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 3088500 Middle East and North Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 400641 North America (Canada & Mexico only) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 313983 Russia and Neighboring States 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 5926 South America 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 117015 South Asia 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 88786 Sub-Saharan Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 390654 Central America and the Caribbean 0 0 Program Services Study abroad programs and courses abroad 82201 East Asia and the Pacific 0 0 Program Services Study abroad programs and courses abroad 2392055 Europe (Including Iceland and Greenland) 0 0 Program Services Study abroad programs and courses abroad 3928713 Middle East and North Africa 0 0 Program Services Study abroad programs and courses abroad 545671 North America (Canada & Mexico only) 0 0 Program Services Study abroad programs and courses abroad 629419 South America 0 0 Program Services Study abroad programs and courses abroad 136023 Sub-Saharan Africa 0 0 Program Services Study abroad programs and courses abroad 158852 East Asia and the Pacific 0 0 Fundraising 101817 Central America and the Caribbean 0 0 Investments 3209982934 Europe (Including Iceland and Greenland) 0 0 Investments 245077908 North America (Canada & Mexico only) 0 0 Investments 63929569 Sub-Saharan Africa 0 0 Investments 247992887 South Asia Grantmaking 16955 Central America and the Caribbean Grantmaking 2448 Europe (Including Iceland and Greenland) Fundraising 229542 Middle East and North Africa Fundraising 37087 North America (Canada & Mexico only) Fundraising 5454 South America Fundraising 3346 Sub-Saharan Africa Fundraising 184 South Asia Fundraising 10470 Central America and the Caribbean Unrelated Business Activities 660 Europe (Including Iceland and Greenland) Unrelated Business Activities 4178 Middle East and North Africa Unrelated Business Activities 123 South America Unrelated Business Activities 683 1 249 0 0 1 249 70166846 3775269179 3845436025 Middle East and North Africa Support of research activities 23356 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 38148 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 247710 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 10654 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 28170 ACH Direct Deposit or Check South America Support of research activities 165996 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 98935 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 51672 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 17068 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 119784 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 302207 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 134769 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 50000 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 139809 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 157886 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 192708 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 131525 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 164605 ACH Direct Deposit or Check Middle East and North Africa Support of research activities 52978 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 584796 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 24250 ACH Direct Deposit or Check Middle East and North Africa Support of research activities 48383 ACH Direct Deposit or Check South America Support of research activities 24119 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 214158 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 348813 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 9025 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 16993 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 236764 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 520449 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 95154 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 188374 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 331608 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 270258 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 27112 ACH Direct Deposit or Check East Asia and the Pacific Support of research activities 94991 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 10805 ACH Direct Deposit or Check East Asia and the Pacific Support of research activities 12287 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 12204 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 134362 ACH Direct Deposit or Check 0 39 Grants disbursed during student's enrollment in international program Central America and the Caribbean 2 2448 Applied to student account, credits are refunded. Grants disbursed during student's enrollment in international program East Asia and the Pacific 9 97632 Applied to student account, credits are refunded. Grants disbursed during student's enrollment in international program Europe (Including Iceland and Greenland) 93 1682200 Applied to student account, credits are refunded. Grants disbursed during student's enrollment in international program Middle East and North Africa 3 6300 Applied to student account, credits are refunded. Grants disbursed during student's enrollment in international program South America 2 47953 Applied to student account, credits are refunded. Grants disbursed during student's enrollment in international program South Asia 1 16955 Applied to student account, credits are refunded. Grants disbursed during student's enrollment in international program Sub-Saharan Africa 1 160 Applied to student account, credits are refunded. true false true true true true Schedule F, Part I, Line 2 Procedures for monitoring use of grant funds Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. Schedule F, Part I, Line 3 Method used to account for expenditures on org's financial statements CENTRAL AMERICA AND THE CARIBBEAN-Accrual,; EAST ASIA AND THE PACIFIC-Accrual; EUROPE (INCLUDING ICELAND AND GREENLAND)-Accrual; MIDDLE EAST AND NORTH AFRICA-Accrual; NORTH AMERICA (CANADA & MEXICO ONLY)-Accrual; RUSSIA AND NEIGHBORING STATES-Accrual; SOUTH AMERICA-Accrual; SOUTH ASIA-Accrual,; SUB-SAHARAN AFRICA-Accrual Schedule F, Part II, Line 1 Method used to account for expenditures on org's financial statements EAST ASIA AND THE PACIFIC-Accrual; EUROPE (INCLUDING ICELAND AND GREENLAND)-Accrual; MIDDLE EAST AND NORTH AFRICA-Accrual; NORTH AMERICA (CANADA & MEXICO ONLY)-Accrual; SOUTH AMERICA-Accrual; SUB-SAHARAN AFRICA-Accrual Schedule F, Part III Method used to account for expenditures on org's financial statements CENTRAL AMERICA AND THE CARIBBEAN -Accrual EAST ASIA AND THE PACIFIC -Accrual EUROPE (INCLUDING ICELAND AND GREENLAND) -Accrual MIDDLE EAST AND NORTH AFRICA -Accrual SOUTH AMERICA -Accrual SOUTH ASIA -Accrual SUB-SAHARAN AFRICA -Accrual X X X X X X X true Stelter 10435 New York Ave Des Moines IA 50322 Fundraising marketing consultant false 85797 -85797 Meeting Achievements 232 E 500 N Valparaiso IN 463838384 Symposium sponsorship solicitor true 433072 66079 366993 433072 151876 281196 CA CO CT DE DC FL GA AL HI ID IL IN IA KS KY LA ME AK MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA AZ RI SD TN TX UT VT VA AR WA WV WI WY Global Annual Benefit Dinner 2161473 2161473 0 44821 Dance Marathon 448397 437892 10505 88575 3000 10179 5 503929 117101 386828 74039 67347 34361 35669 3113799 2716466 397333 162614 67347 37361 90669 357991 39342 Schedule G, Part I, Line 3 State Solicitation Registrations No registration is required in Arizona, Delaware, Idaho, Indiana, Iowa, Montana, Nebraska, South Dakota, Texas, Vermont, and Wyoming. Schedule G, Part I, Line 2b(v) Reimbursement of Expenses The following professional fundraiser received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed as reflected): Stelter ($13,635) in accordance with written agreement specifying reimbursement of expenses. Schedule G, Part I, Line 2b(v) payment of fees or payment of expenses STELTER-STELTER RECEIVED REIMBURSEMENTS FOR EXPENSES OF $13,635 AS AGREED FOR PRINTING AND POSTAGE IN ASSOCIATION WITH THE SERVICES PROVIDED TO THE UNIVERSITY.; true Academy for Global Citizenship 4647 W 47th Street Chicago IL 60632 113748466 501(c)(3) 37500 Support of community organization Access Community Health Network 222 N Canal St Chicago IL 60606 363317058 501(c)(3) 718424 Support of research activities Advocates for Informed Choice 1625 SE 44th Ave Portland OR 97215 272947576 501(c)(3) 17362 Support of research activities AIDS Arms Inc 219 Sunset Ave Dallas TX 75208 752306145 501(c)(3) 8115 Support of research activities AIDS Foundation of Chicago 200 W Jackson Blvd Suite 2100 Chicago IL 60606 363412054 501(c)(3) 126390 Support of research activities Albert Einstein College of Medicine Inc 1300 Morris Park Avenue Bronx NY 10461 472209056 501(c)(3) 86543 Support of research activities AllianceChicago 225 W Illinois St Suite 500 Chicago IL 60654 815434098 501(c)(3) 790315 Support of research activities Altarum Institute 3520 Green Court Suite 300 Ann Arbor MI 48105 381983442 501(c)(3) 21976 Support of research activities American Enterprise Institute for Public Policy Research 1789 Massachusetts Avenue NW Washington DC 20036 530218495 501(c)(3) 15992 Support of research activities American Lung Association 1301 Pennsylvania Ave NW Suite 800 Washington DC 20004 131632524 501(c)(3) 154400 Support of research activities Ann & Robert H Lurie Children's Hospital of Chicago 225 E Chicago Avenue Chicago IL 60611 362170833 501(c)(3) 3898622 Support of research activities Arizona State University Office of Research and Spon Proj PO BOX 876011 Tempe AZ 85287 860196696 501(c)(3) 230979 Support of research activities Art Institute of Chicago 111 S Michigan Ave Chicago IL 60603 362167725 501(c)(3) 19179 Support of research activities Artelys Corp 150 N Michigan Avenue Suite 800 Chicago IL 60601 142014473 106250 Support of research activities Asexual Visibility and Education Network Inc 6715 Oakwood Dr Oakland CA 94611 472542081 501(c)(3) 15800 Support of research activities Asian Health Services 101 8th Street Suite 100 Oakland CA 94607 942235908 16500 Support of research activities ASM Materials Education Foundation 9639 Kinsman Road Materials Park OH 44073 346541397 501(c)(3) 47500 Support of research activities Auburn University 321 Ingram Hall Auburn AL 36849 636000724 501(c)(3) 5237 Support of research activities Augusta University Research Institute Inc PO Box 945552 Atlanta GA 303945552 581418202 501(c)(3) 67577 Support of research activities Augustana College Association 639 38th St Rock Island IL 61201 362166962 501(c)(3) 30171 Support of research activities Bates College 2 Andrews Road Lewiston ME 04240 010211781 501(c)(3) 23650 Support of research activities Baylor College of Medicine 1 Baylor Plaza Houston TX 77030 741613878 501(c)(3) 481127 Support of research activities Baystate Medical Center Inc 759 Chestnut St Springfield MA 01199 042790311 501(c)(3) 445527 Support of research activities Bebashi - Transition to Hope 1235 Spring Garden Street Philadelphia PA 19123 232484046 501(c)(3) 15000 Support of research activities Beckman Research Institute of the City of Hope 1500 East Duarte Road Duarte CA 91010 953432210 501(c)(3) 10000 Support of research activities Beth Israel Deaconess Medical Center 330 Brookline Avenue E/ES-214 Boston MA 022155399 042103881 501(c)(3) 14898 Support of research activities Billings Clinic Foundation 2800 Tenth Ave North Billings MT 59107 810407289 501(c)(3) 30285 Support of research activities Blackrock Microsystems Inc 630 Komas Dr 200 Salt Lake City UT 84108 262659394 1245886 Support of research activities Books and Breakfast 419 N Greenwood St Evanston IL 60201 463717739 501(c)(3) 25000 Support of community organization Boston Medical Center One Boston Medical Center Pl Boston MA 02118 043314093 501(c)(3) 49710 Support of research activities Boston University One Silber Way Boston MA 02115 042103547 501(c)(3) 701860 Support of research activities Bowman Performance Consulting LLC W7023 Edgewater Road Shawano WI 54166 481276197 94181 Support of research activities Brigham and Women's Hospital 75 Francis St Boston MA 02115 042312909 501(c)(3) 281270 Support of research activities Bright Star Community Outreach Group 337 East 35th Street Chicago IL 60616 262007088 501(c)(3) 25100 Support of community organization Broad Institute Inc 7 Cambridge Center Cambridge MA 021421401 263428781 295615 Support of research activities Brookings Institution 1775 Massachusetts Ave NW Washignton DC 20036 530196577 501(c)(3) 39880 Support of research activities Brotherhood Incorporated 1422 Kerlerec St New Orleans LA 701161822 721326474 501(c)(3) 7500 Support of research activities California Institute of Technology 1200 E California Blvd Pasadena CA 911250001 951643307 501(c)(3) 130292 Support of research 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Alcazar St Los Angeles CA 90089 951642394 501(c)(3) 202590 Support of research activities University of Tennessee Knoxville 62 South Dunlap St Suite 300 Memphis TN 38163 626001636 501(c)(3) 5654 Support of research activities University of Texas at Austin 2100 San Jacinto Blvd Austin TX 78712 746000203 115 324254 Support of research activities University of Texas Health Science Center at Houston 7000 Fannin UCT 1006 Houston TX 77030 741761309 115 52017 Support of research activities University of Texas M D Anderson Cancer Center 1515 Holcombe Blvd Houston TX 77030 760273984 115 30592 Support of research activities University of Texas Medical Branch at Galveston 301 University Boulevard Galveston TX 775550657 746000949 501(c)(3) 65813 Support of research activities University of Texas Southwestern Med Ctr at Dallas 5323 Harry Hines Blvd Dallas TX 75390 756002868 115 476800 Support of research activities University of Utah 201 S 1460 E Salt Lake City UT 84112 876000121 115 512162 Support of research activities University of Virginia 1 College Park Wise VA 24293 546001796 115 893107 Support of research activities University of Washington 1410 NE Campus Parkway Seattle WA 98195 916001537 115 715276 Support of research activities University of Wisconsin-Madison 750 University Avenue 4th Floor AW Peterson Building Madison WI 537061490 391805963 501(c)(3) 656157 Support of research activities Utah AIDS Foundation 1408 South 1100 East Salt Lake City UT 84105 870455172 501(c)(3) 30152 Support of research activities Utah State University PO Box 413135 Salt Lake City UT 84141 876000528 115 73134 Support of research activities Vanderbilt University 2201 West End Ave Nashville TN 37235 620476822 501(c)(3) 914989 Support of research activities Village of Skokie Health Department 5127 Oakton Street Skokie IL 60077 366006103 115 62603 Support of research activities Virginia Commonwealth University PO Box 980568 Richmond VA 232980568 546001758 501(c)(3) 95492 Support of research activities Virginia Polytechnic Institute and State University Office of Sponsored Programs 300 Turner Street NW Blacksburg VA 24061 546001805 501(c)(3) 111836 Support of research activities Wake Forest University Health Sciences 1834 Wake Forest Rd WinstonSalem NC 27106 900222618 501(c)(3) 103953 Support of research activities Walgreen Co 200 Wilmot Road Deerfield IL 60015 361924025 85194 Support of research activities Washington University in St Louis One Brookings Dr St Louis MO 63130 430653611 501(c)(3) 1361317 Support of research activities Wayne State University PO Box 02759 Detroit MI 48202 383555142 501(c)(3) 34794 Support of research activities West Virginia University Research Corporation PO Box 6005 One Waterfront Place Morgantown WV 26506 550665758 501(c)(3) 23070 Support of research activities Western Michigan University 1903 W Michigan Ave Kalamazoo MI 490085200 386007327 501(c)(3) 6228 Support of research activities Westside Institute for Science and Education 820 S Damen Avenue Chicago IL 60612 363712391 501(c)(3) 6382 Support of research activities Will County Health Department 501 Ella Ave Joliet IL 60433 366006672 115 15000 Support of research activities WINGS PROGRAM INC PO BOX 95615 PALATINE IL 60095 363456061 501(c)(3) 42000 Support of community organization Woman's Hospital Foundation 100 Womans Way Baton Rouge LA 70817 720652905 501(c)(3) 5867 Support of research activities Women Initiating New Directions PO Box 8101 Evanston IL 60204 843592931 501(c)(3) 15200 Support of community organization Wright State University 3640 Colonel Glenn Hwy Dayton OH 45435 310732831 115 254135 Support of research activities Yale University 140 Prospect St New Haven CT 06511 060646973 501(c)(3) 66941 Support of research activities YMCA of the USA 101 North Wacker Drive Chicago IL 60606 363258696 501(c)(3) 11519 Support of research activities Young Black and Lit 1200 Pitner Ave Evanston IL 60202 830750153 501(c)(3) 6000 Support of community organization Youth Job Center 1114 Church Street Evanston IL 60201 363252809 501(c)(3) 25000 Support of community organization YWCA EvanstonNorth Shore 1215 Church Street Evanston IL 60201 362193618 501(c)(3) 30500 Support of community organization 285 24 Student grants, scholarships, and fellowships are financial aid that can be used towards educational related costs. 18496 527078755 38239 Book Winter Gear Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 358 1406100 Schedule I, Part III PRIZES AND AWARDS PRIZES AND AWARDS REFLECT PRIZES AND AWARDS EXTENDED TO NON-EMPLOYEES IN RECOGNITION OF AN ACCOMPLISHMENT, ACTIVITY, OR EVENT. PRIZES AND AWARDS GIVEN TO EMPLOYEES ARE INCLUDED AS COMPENSATION AND REPORTED ON AN EMPLOYEE'S FORM W-2. Schedule I, Part I, Line 2 Procedures for monitoring use of grant funds. Explanation: Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. X X X X X X true true X X X X X true true false true false false false true true false Amy Falls VP & Chief Investment Officer 591884 0 880000 0 60688 0 29000 0 26158 0 1587730 0 0 0 Morton O Schapiro President 1196409 0 500000 0 526396 0 456138 0 317033 0 2995976 0 236904 0 Robert E McQuinn VP of Alumni Rel & Development 639577 0 125000 0 283236 0 305667 0 35225 0 1388705 0 130000 0 Craig A Johnson Executive Vice President 825941 0 150000 0 19950 0 188000 0 8258 0 1192149 0 0 0 Kathleen M Hagerty Provost 755956 0 100000 0 1745 0 29000 0 408 0 887109 0 0 0 Stephanie Mills Graham VP & General Counsel 743411 0 100000 0 1032 0 41500 0 44209 0 930152 0 0 0 Eric G Neilson VP Medical Affairs 607330 0 24280 0 8694 0 22763 0 2871 0 665938 0 0 0 Priya Jenveja Harjani Assoc VP & Dep General Counsel & Interim VP HR 427451 0 63500 0 140360 0 58458 0 2558 0 692327 0 0 0 Derrick L Gragg VP Athletics Rec 529310 0 0 0 33194 0 14500 0 17048 0 594052 0 0 0 Milan Mrksich VP of Research 504139 0 10500 0 41731 0 27625 0 31006 0 615001 0 0 0 Sean Brian Reynolds VP & Chief Information Officer 490988 0 9800 0 44530 0 29000 0 8402 0 582720 0 0 0 Julie Alice Payne-Kirchmeier VP of Student Affairs 381927 0 58000 0 103597 0 26617 0 8402 0 578543 0 0 0 Luke Figora VP for Operations 422970 0 79300 0 216 0 29000 0 34146 0 565632 0 0 0 Marilyn McCoy VP of Admin & Planning 465941 0 9900 0 21924 0 29000 0 26089 0 552854 0 0 0 Jeri Beth Ward VP Global Mkt & Comm 424666 0 8500 0 552 0 23354 0 10338 0 467410 0 0 0 Alexander J Darragh VP of Facilities Management 413380 0 8500 0 1715 0 29000 0 24876 0 477471 0 0 0 Robin Renee Means Coleman VP Assoc Prov Div and Inc 324165 0 7300 0 64328 0 28011 0 22761 0 446565 0 0 0 Devora Grynspan VP of International Relations 249146 0 5060 0 1854 0 25553 0 10816 0 292429 0 0 0 Amanda J Distel Sr Asc VP Fin & Treasurer 400000 0 88000 0 18000 0 28248 0 23410 0 557658 0 0 0 Daniel Lee Durack Assoc VP Budget & Planning 246709 0 6600 0 48990 0 25500 0 31020 0 358819 0 0 0 Patrick William Fitzgerald II Head Coach 4961817 0 375000 0 526218 0 29000 0 35102 0 5927137 0 0 0 Christopher Ryan Collins Head Coach 3053317 0 0 0 17108 0 29000 0 34906 0 3134331 0 0 0 Chad A Mirkin Professor-WCAS Chemistry 920960 0 18800 0 2089450 0 62333 0 18578 0 3110121 0 100000 0 Mohanbir S Sawhney Professor-Kellogg 271530 0 6050 0 2152471 0 29000 0 66288 0 2525339 0 0 0 Maciej S Lesniak Professor-Neurological Surgery 1618917 0 0 0 552 0 29000 0 494 0 1648963 0 0 0 Harisha Koneru Haigh Mng Dir Priv Inv & Real Assets 429646 0 859718 0 18360 0 520265 0 29462 0 1857451 0 395362 0 Peter A Belytschko Managing Dir Absolute Return 460751 0 827639 0 20052 0 498005 0 11126 0 1817573 0 376680 0 James J Phillips Former VP Athletics 155763 0 412500 0 502868 0 15938 0 4398 0 1091467 0 0 0 Mike Polisky Former VP Athletics 98390 0 80000 0 632933 0 11148 0 26499 0 848970 0 0 0 Janna V Blais Assoc Ad Intercollegiate Srvcs Athletics & Former Interim VP Athletics 235061 0 80500 0 109847 0 25067 0 47945 0 498420 0 0 0 Angel Manuel Cuevas-Trisan Former VP & Chief HR Officer 216475 0 0 0 11697 0 23625 0 18825 0 270622 0 0 0 Robert A Gundlach Professor Emeritus & Former Interim VP Athletics 182875 0 23850 0 9949 0 20284 0 23521 0 260479 0 0 0 Schedule J, Part I, Line 1a First-class or charter travel Six interested persons were provided charter travel and was treated as a business expense. The President is permitted to travel first class. The first class travel was treated as a business expense and not treated as taxable compensation. One other interested person traveled first class on one business trip and the first class travel was treated as a business expense and not treated as taxable compensation. Schedule J, Part I, Line 1a Travel for companions The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Three listed persons received companion travel which was treated as taxable compensation. Schedule J, Part I, Line 1a Tax indemnification and gross-up payments Two listed persons received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation. Schedule J, Part I, Line 1a Housing allowance or residence for personal use The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Three other listed persons were provided with housing or a housing allowance and the amounts were treated as taxable compensation. Schedule J, Part I, Line 1a Health or social club dues or initiation fees The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. FIVE LISTED PERSONS RECEIVED REIMBURSEMENT OR IMPUTATION FOR SOCIAL CLUB DUES, WHICH WERE TREATED AS TAXABLE COMPENSATION. ONE LISTED PERSON RECEIVED REIMBURSEMENT FOR AN AIRLINE CLUB, WHICH WAS NOT TREATED AS TAXABLE COMPENSATION. Schedule J, Part I, Line 1a Personal services In connection with the University-provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit for cleaning services associated with the personal living quarters is treated as taxable compensation. Nominal chauffeur services were provided to the President and the value of the benefit is treated as taxable compensation. Schedule J, Part I, Line 4a Severance or change-of-control payment IN CONNECTION WITH SEPARATION OR RETIREMENT FROM NORTHWESTERN UNIVERSITY, THE FOLLOWING RECEIVED COMPENSATION IN THE AMOUNTS DESCRIBED, WHICH WERE INCLUDED IN PART II, COLUMN B (III). M. Polisky ($476,190). J. Phillips ($300,000) Schedule J, Part I, Line 4b Supplemental nonqualified retirement plan The following participated in a 457(f) nonqualified retirement plan and the amounts are subject to substantial risk of forfeiture and vest after a number of years Name and amount contributed: Morton Schapiro ($427,138), Craig Johnson ($159,000), Robert McQuinn ($276,667), Peter Belytschko ($469,005),Harisha Haigh ($491,265), Stephanie Graham ($12,500), Priya Harjani ($33,333), Chad Mirkin ($33,333) Name and amount paid: Morton Schapiro ($455,521), Robert McQuinn ($229,018), Peter Belytschko ($376,669),Harisha Haigh ($395,362), Chad Mirkin ($1,800,918) Schedule J, Part I, Line 5a Compensation contingent on revenues of the organization The Chief Investment Officer and Managing Directors of Investments received incentive compensation which was in part calculated contingent on the performance of the University's long term investments. THE INCENTIVE COMPENSATION IS BASED ON SPECIFIC METRICS AND FORMULAE WHICH ARE VERIFIED AND CALCULATED BY AN INDEPENDENT THIRD PARTY CONSULTANT. Schedule J, Part I, Line 7 Non-fixed payments The President and 23 interested persons received a non-fixed payment related to a recognition bonus. One former officer and one officer were offered non-fixed payment related to apparel and tickets to certain University collegiate athletics games. A ILLINOIS FINANCE AUTHORITY 861091967 45200BFC7 2004-09-09 135800000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES & Equipment false false false B ILLINOIS FINANCE AUTHORITY 861091967 45200FKZ1 2008-06-25 125000000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES false false false C Illinois Finance Authority 861091967 45203H2A9 2015-06-04 146017057 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES false false false A 144677217 1039400 143637817 2008 false false true true B 126815680 1250000 125565680 2011 false false true true C 146081419 886268 145195151 2017 false false true true A false true true false true false 0.0039 0.0039 false false true B false true true false true false 0.0038 0.0038 false false true C false false true false false 0.0162 0.0162 false false true A false false false true true false false false true B false false false true true true See Part VI 4.0 false false false false true C false false false true false false false false true A true B true C true Schedule K, Part I, Column (c) Bond Issue B: IFA - Series 2008 Additional CUSIPs: 45200F LA5, 45200F LB3 Schedule K, Part IV, Line 4b Bond Issue B: IFA - Series 2008 Morgan Stanley Capital Services LLC; Bank of America, NA; JP Morgan Schedule K, Part II, Line 3 Total proceeds of issue The difference between issue prices and proceeds of bonds are a result of investment income earned. Schedule K, Part III, Line 3b Reviews by Bond Counsel The University monitors changes in private use on an ongoing basis internally. Schedule K, Part III, Line 4 Private Business Use The University finances acquisition, construction and renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private business use within the facilities partially funded by bonds; however, such usage was financed from other sources. Schedule K, Part I, Column (f) Purposes In addition to the purposes listed in Part I, Column (f), bonds were also issued to pay costs of issuance. Schedule K, Part I, Column (c) Bond Issue A: IFA-Series 2004 Additional CUSIP: 45200B FD5 Schedule K, Part IV, Line 2c COLUMN A Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 09/09/2009 Schedule K, Part IV, Line 2c COLUMN B Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 06/25/2018 Schedule K, Part IV, Line 2c COLUMN C Issuer name: Illinois Finance Authority The calculation for computing no rebate due was performed on 02/02/2022 Milan Mrksich Employee Compensation X 150000 75436 false false true Derrick Gragg Employee Compensation X 1000000 800000 false true true 875436 25632 Scholarship Educational Scholarship Great Lakes Coca-Cola M. Jude Reyes, Trustee, ownership interest over 35% 1328889 Soft drink purchases, merchandise, commissions false Linda Darragh Family member to Alex Darragh, Officer 119453 Employment false RCPI LANDMARK PROPERTIES LLCTishman Speyer Crown Equities LLC A. Steven Crown, Trustee, ownership interest over 35% 223736 Lease of real estate false Samuel Stupp Family member of Devora Grynspan, Officer 477159 Employment false Anthony Kirchmeier Family member of Julie Payne-Kirchmeier, Officer 91880 Employment false William Rogerson Family member of Kathleen Hagerty, Officer 241220 Employment false Schedule L, Part II, Column (h) Employee Loan The loan extended to Milan Mrksich was entered into several years prior to the employee becoming an officer. X 42 801745 Market value X 1400983 Market value X 609 43445991 Market value X equipment, computers, software 6 19533 Market value X Events, tickets 97 76856 Market value 3 true true false Schedule M, Part I Column (b) The University is reporting the number of contributions received. Schedule M, Part I, Line 30b Property contributions that must be held for three years A portion of publicly traded stock received cannot be sold within five years unless approved by donor. Eventual proceeds from sale of stock will be applied to support the School of Medicine's Institute for Global Health and further exempt purposes. Earnings during the holding period are expected to be treated for the same purpose. Form 990, Part VI, Line 10a LOCAL CHAPTERS, BRANCHES THE UNIVERSITY DOES NOT HAVE LOCAL CHAPTERS, BRANCHES, LODGES, UNITS OR SIMILAR AFFILIATES. AS DESCRIBED IN SCHEDULE F, THE UNIVERSITY HAS ONE INTERNATIONAL CAMPUS, LOCATED IN DOHA, QATAR. THE UNIVERSITY HAS A NUMBER OF AFFILIATION AGREEMENTS AND ARRANGEMENTS WITH OTHER RESEARCH AND EDUCATIONAL INSTITUTIONS BUT THE UNIVERSITY DOES NOT HAVE AUTHORITY TO EXERCISE SUPERVISION AND CONTROL OF SUCH INSTITUTIONS. Form 990, Part VI, Line 16b JOINT VENTURES THE UNIVERSITY DOES NOT HAVE A WRITTEN POLICY REGARDING JOINT VENTURES IN GENERAL. HOWEVER, JOINT VENTURE AGREEMENTS ARE REVIEWED BY THE UNIVERSITY'S OFFICE OF GENERAL COUNSEL TO EVALUATE WHETHER THE AGREEMENT FURTHERS THE MISSION OF THE UNIVERSITY AND TO ENSURE THE SAFEGUARDING OF UNIVERSITY'S ASSETS. THE UNIVERSITY ALSO HAS GUIDELINES CONCERNING JOINT VENTURES IN ITS TECHNOLOGY TRANSFER AND INVESTMENT POLICIES. Form 990, Part VI, Line 1a Delegate broad authority to a committee Executive Committee of the Board of Trustees is comprised of 23 members of the governing body. The Executive Committee may exercise the power of the Board of Trustees between meetings with respect to ordinary business transactions. Form 990, Part VI, Line 2 Family/business relationships amongst interested persons Jay C. Hoag and Patrick G. Ryan Jr. - Business relationship, M. Jude Reyes and A. Steven Crown - Business relationship, M. Jude Reyes and Patrick Ryan Jr. - Business relationship, M. Jude Reyes and Frederick H. Waddell - Business relationship, David B. Weinberg and M. Jude Reyes - Business relationship, Muneer A. Satter and Patrick Ryan Jr. - Business relationship Form 990, Part VI, Line 11b Review of form 990 by governing body An electronic copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was provided for review to the Audit, Risk, and Compliance Committee of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University. Form 990, Part VI, Line 12c Conflict of interest policy University Bylaws and Statutes require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the University in writing. An Officer shall call any conflict of interest to the attention of the President (unless the conflict is on the part of the President, in which case it shall be called to the attention of the Vice President and General Counsel and the Chair of the Board of Trustees). If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees of other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when his/her knowledge of the subject will assist the Board or any of its committees. In addition, Trustees are subject to a Conflict of Interest Policy, which has been adopted by the Board of Trustees. Potential conflicts of interest are further scrutinized under a University investment policy governing Trustee Relationship Investments whereby, among other things, affected trustees must recuse themselves from any discussion and vote related to the investment. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed. Form 990, Part VI, Line 15a Process to establish compensation of top management official The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the compensation committee of the Board relies on (i) formal survey and comparability data prepared and compiled by an outside consultant who has expertise in the field of executive compensation assessment and benchmarking and (ii) compensation recommendations from the President, Provost and Executive VP for their direct reports. The Compensation Committee of the Board meets every June for the purpose of reviewing and approving executive compensation recommendations for the next fiscal year. AFTER REVIEW AND THE APPROVAL, THE COMMITTEE'S DECISIONS ARE DOCUMENTED WITH INTERNAL COMMUNICATIONS TO THE EXECUTIVE VICE PRESIDENT AND VICE PRESIDENT AND GENERAL COUNSEL. THE OFFICE OF THE EXECUTIVE VICE PRESIDENT SENDS THE FINAL COMPENSATION DECISIONS TO THE VICE PRESIDENT AND GENERAL COUNSEL, THE PAYROLL DEPARTMENT, AND THE VICE PRESIDENT FOR HUMAN RESOURCES FOR IMPLEMENTATION AND PROCESSING. Form 990, Part VI, Line 19 Required documents available to the public Governing documents: The University maintains an Office for Global Marketing and Communication where information requests from the public are processed. The organizing document by which the University was created, its charter, is available upon request. The University's employee conflict of interest policy and financial statements are available on the University website. Form 990, Part VIII, Line 2f Other Program Service Revenue Plant - Total Revenue: 16311898, Related or Exempt Function Revenue: 16311898, Unrelated Business Revenue: , Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Form 990, Part VIII, Line 11d Other Miscellaneous Revenue Travel Tours - Total Revenue: 89621, Related or Exempt Function Revenue: , Unrelated Business Revenue: 89621, Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Magazine - Total Revenue: 50930, Related or Exempt Function Revenue: , Unrelated Business Revenue: 19916, Revenue Excluded from Tax Under Sections 512, 513, or 514: 31014; Advertising - Total Revenue: 15000, Related or Exempt Function Revenue: , Unrelated Business Revenue: 15000, Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Recreation Usage - Total Revenue: 186240, Related or Exempt Function Revenue: , Unrelated Business Revenue: , Revenue Excluded from Tax Under Sections 512, 513, or 514: 186240; Form 990, Part XI, Line 9 Other changes in net assets or fund balances Change in value of derivative instruments - 8266866; Schedule F, Part II, Line 1 Method used to account for cash grants In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, Line 1. Of the 39 organizations that received grants in Part II, 33 are universities, colleges, and hospitals; 6 are research centers. Schedule F, Part I, Line 1 Program Services The program services listed in Part I reflect international educational programs in which the University has material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its students' access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f). Schedule F, Part I, Line 3(f) Method used to account for expenditures Expenditures reported in Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f). Schedule F, Part III(c) Estimated number of recipients Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the date of the applicable study abroad program. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c). Schedule J, Part I, Line 8 Payments on contract that is subject to the initial contract exception Subject to the initial contract exception is the loan extended to Milan Mrksich which was entered into several years prior to the employee becoming an officer. Schedule J, Part I, Line 1a SCHEDULE J SUPPLEMENTAL INFORMATION FORM 990, PART XI, LINE 9 - OTHER CHANGES IN NET ASSETS OR FUND BALANCES 8,266,866 CHANGE IN VALUE OF DERIVATIVE ASSETS $8,269,153 plus misc. -$2,287 Part VI, line 15b Compensation of officers CALENDAR YEAR 2021 COMPENSATION WAS REVIEWED AND APPROVED BY AN INDEPENDENT AND AUTHORIZED COMMITTEE OF THE BOARD FOR PRESIDENT MORTON SCHAPIRO, PROVOST KATHLEEN HAGERTY, EXECUTIVE VP CRAIG JOHNSON, VP AND GENERAL COUNSEL STEPHANIE GRAHAM, VP AND CHIEF INVESTMENT OFFICER Amy Falls, VP OF ALUMNI RELATIONS AND DEVELOPMENT ROBERT MCQUINN, AND ATHLETIC DIRECTOR VP Derrick Gragg. THE ANNUAL REVIEW PROCESS INCLUDES REVIEW OF COMPARABILITY DATA PREPARED AND PROVIDED BY AN INDEPENDENT THIRD PARTY COMPENSATION CONSULTANT AND CONTEMPORANEOUS SUBSTANTIATION. WITH EXCEPTION TO INTERIM OFFICER APPOINTMENTS, THE ANNUAL REVIEW PROCESS FOR ALL OTHER OFFICERS INCLUDED A REVIEW BY AN INDEPENDENT AND AUTHORIZED COMMITTEE OF THE BOARD OF COMPARABILITY DATA PREPARED AND PROVIDED BY AN INDEPENDENT THIRD PARTY COMPENSATION CONSULTANT. FISCAL YEAR 2022 NEWLY APPOINTED OFFICERS Lorraine Goffe and Patricia Lampkin were NOT COMPENSATED IN CALENDAR YEAR 2021. Triad WIS NWU LLC 550 N Green Bay Rd Lake Forest IL 60045 473504918 Investment IL 12543942 0 Northwestern University Northwestern University USA Foundation Limited 21 Holborn Viaduct London England UK EC1A2DY 981458225 Fundraising UK 350289 34027 Northwestern University RUBICON INSURANCE COMPANY 2020 RIDGE AVENUE EVANSTON IL 60208 363694409 PROVIDING MEDICAL MALPRACTICE, General/Professional/Auto Liability Insurance to the University IL 501(c)(3) Type I NORTHWESTERN UNIVERSITY true STUDENTS PUBLISHING COMPANY 1999 SHERIDAN RD EVANSTON IL 60208 366002654 PUBLISHES STUDENT PERIODICALS IL 501(c)(3) Type II N/A false MCGAW MEDICAL CENTER OF NORTHWESTERN UNIVERSITY 420 E SUPERIOR ST CHICAGO IL 60611 362656113 COORDINATION OF MEDICAL RESIDENTS IL 501(c)(3) Type I Northwestern University true THE BIG TEN CONFERENCE INC 1500 W HIGGINS RD PARK RIDGE IL 60068 363640583 FACILITATE QUALITY INTERCOLLEGIATE ATHLETIC COMPETITION IL 501(c)(3) Type II N/A false Big Ten Academic Alliance 1819 S NEIL ST CHAMPAIGN IL 61820 463254996 ACADEMIC CONSORTIUM TO ADVANCE MISSION OF MEMBER INSTITUTIONS IL 501(c)(3) Type I N/A false Kuramo Africa Opportunity Fund II LP 500 5th Ave 44th Fl New York NY 10110 473117325 Investment NY Northwestern University Excluded 462508 9888918 false 0 false 0.99 KCG 64 CI-1 LP 7121 Fairway Dr Ste 410 Palm Beach Gardens FL 33418 823391115 Investment FL Northwestern University Excluded 3280501 2637388 false 0 false 0.8499 Nighthawk Partners LP 2000 MCKINNEY AVENUE SUITE 2125 Dallas TX 75201 825246719 Investment DE Northwestern University Excluded 143424453 false -8489 false 1 Forest Hill Strategic Value Fund LP 100 River Bluff Dr Ste 430 Little Rock AR 722022284 453638016 Investment AR Northwestern University Excluded 4815703 94020755 false 0 false 0.7147 CHARITABLE REMAINDER UNITRUSTSAnnuity TrustsPIF (58 7 2 respectively) Charitable Trust IL NA Trust true Bensell US Feeder LP 980492320 Investments UK Northwestern University C Corporation 173776 193931 0.566 true Gotham Neutral Strategies Ltd Corporate Services Cayman Limited 190 Elgin Ave George Town Grand Cayman CJ KT19005 Investment CJ Northwestern University C Corporation 28670951 154284088 0.8886 true FOUR PINES OFFSHORE FUND LP WALKERS CORP LTD 190 ELGIN AVE CAYMAN ISLANDS GEORGE TOWN GRAND CAYMAN CJ KY19008 981494503 Investments CJ Northwestern University C Corporation -1285239 25052893 0.9995 true SABA CAPITAL W FUND LTD CAYMAN CORPORATE CENTRE 27 HOSPITAL RD CAYMAN ISL GEORGE TN GRAND CAYMAN CJ KY19008 981588335 INVESTMENTS CJ Northwestern University C Corporation -5799783 280965182 1 true true true true false false false false false false true false true true true true true true true true Rubicon Insurance Company Q 1382601 Cash Rubicon Insurance Company R 4063613 Cash McGaw Medical Center A 167408 Cash McGaw Medical Center M 12148961 Cash McGaw Medical Center O 137766 Cash McGaw Medical Center P 186941 Cash McGaw Medical Center Q 149876 Cash McGaw Medical Center L 550000 Cash KCG 64 CI-1 LP S 70730 Cash Nighthawk Partners LP R 4732038 Cash Nighthawk Partners LP S 3765282 Cash Bensell US Feeder LP S 249134 Cash Schedule R, Part IV, Column (c) The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois Schedule R, Part III, Column (g) NORTHWESTERN UNIVERSITY USED THE TOTAL AMOUNT REPORTED BY THE PARTNERSHIP ON SCHEDULE K-1 FOR THE PARTNERSHIP'S YEAR ENDING WITH OR WITHIN THE ORGANIZATION'S TAX YEAR. SCHEDULE K-1 AMOUNTS ARE BASED ON TAX BASIS AS PER IRS REQUIREMENTS.