2022-05-16T15:15:23-05:00 2021-06-30 990 2020-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL ST WASHIN BLDG N DURHAM NC 27701 DANIEL G ENNIS EXECUTIVE VICE PRESIDENT 9196842006 2022-05-13 DANIEL ENNIS 999009999 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z VINCENT E PRICE 324 BLACKWELL STREET DURHAM NC 27701 4733052510 0 X WWW.DUKE.EDU X 1841 NC TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH 37 35 30254 1907 2096 986 1566915508 1644602647 1147304702 1035370777 400112010 1932848147 80157081 87782512 3194489301 4700604083 410790460 397888751 0 0 1869620556 1812055884 716793 651165 50029527 1131466816 1059962353 3412594625 3270558153 -218105324 1430045930 15807758924 21418812041 4926319700 4868988740 10881439224 16549823301 X SEE SCHEDULE O 0 0 1499851546 346921787 865635422 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 5,671 STUDENTS ANNUALLY 974555496 50568813 1240927796 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS 322743525 398151 87663802 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY 2797150567 1 1 0 1 0 0 1 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 0 0 1 X 9054 0 1 30254 1 1 1 1 SP UK TZ CH SN MA IN KE SW DA NO MY PL PO GR EI GM 0 0 0 1 1 0 0 0 1 0 1 1 X 37 35 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MD MA MI NH NJ NY OR SC X X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST STE 850 DURHAM NC 27701 VINCENT E PRICE TRUSTEE/PRESIDENT 48.00 3.20 X X 1476476 0 52016 MARY T BARRA TRUSTEE 2.00 0.00 X 0 0 0 LISA M BORDERS TRUSTEE 4.00 0.00 X 0 0 0 JACK O BOVENDER JR TRUSTEE 8.00 3.10 X 0 0 0 WILLIAM C BRODY TRUSTEE 2.00 0.00 X 0 0 0 TIMOTHY D COOK TRUSTEE 2.00 0.00 X 0 0 0 ANN PELHAM CULLEN TRUSTEE 4.00 0.00 X 0 0 0 ALLYSON K DUNCAN TRUSTEE 4.00 0.00 X 0 0 0 RALPH EADS TRUSTEE 2.00 0.00 X 0 0 0 PAUL E FARMER TRUSTEE 2.00 0.00 X 0 0 0 XIQING GAO TRUSTEE 2.00 0.00 X 0 0 0 EDWARD A GILHULY TRUSTEE 4.00 1.50 X 0 0 0 AMY Y HAFEZ TRUSTEE 2.00 0.00 X 0 0 0 GERALD HASSELL TRUSTEE 4.00 1.00 X 0 0 0 WILLIAM HAWKINS TRUSTEE 14.00 14.00 X 0 0 0 JANET HILL TRUSTEE 2.00 0.00 X 0 0 0 BETSY D HOLDEN TRUSTEE 4.00 0.00 X 0 0 0 KATHRYN A HOLLISTER TRUSTEE 3.00 0.00 X 0 0 0 WILLIAM G KAELIN JR TRUSTEE 2.00 0.00 X 0 0 0 PETER J KAHN TRUSTEE 4.00 0.00 X 0 0 0 MARTHA L MONSERRATE TRUSTEE 2.00 0.10 X 0 0 0 PATRICIA RODERICK MORTON TRUSTEE 4.00 0.00 X 0 0 0 STEPHEN G PAGLIUCA TRUSTEE 1.00 0.00 X 0 0 0 ROBERT R PENN TRUSTEE 2.00 0.00 X 0 0 0 JB PRITZKER TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL G RHODES TRUSTEE 2.00 0.00 X 0 0 0 CARMICHAEL S ROBERTS TRUSTEE 1.00 1.00 X 0 0 0 NANCY M SCHLICHTING TRUSTEE 2.00 2.00 X 0 0 0 STEVEN M SCOTT MD TRUSTEE 2.00 4.00 X 0 0 0 ADAM SILVER TRUSTEE 6.00 0.00 X 0 0 0 LAURENE M SPERLING TRUSTEE 6.00 0.00 X 0 0 0 ASHLEY CROWDER STANLEY TRUSTEE 2.00 0.00 X 0 0 0 L FREDERICK SUTHERLAND TRUSTEE 2.00 0.00 X 0 0 0 JEFFREY W UBBEN TRUSTEE 2.00 0.00 X 0 0 0 TREY WALK TRUSTEE 2.00 0.00 X 0 0 0 HOPE MORGAN WARD TRUSTEE 2.00 0.00 X 0 0 0 LAURA MEYER WELLMAN TRUSTEE 2.00 0.10 X 0 0 0 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 33.00 33.20 X 1996038 0 48232 TALLMAN TRASK EXECUTIVE VICE PRESIDENT 51.00 0.50 X 926945 0 42351 SALLY KORNBLUTH PROVOST 61.00 0.60 X 867522 0 46176 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 50.00 0.30 X 663657 0 48366 TIMOTHY W WALSH VP OF FINANCE & TREASURER 41.00 0.20 X 442002 0 43261 VICTORIA NEVOIS INTERIM TREASURER 40.00 0.50 X 322992 0 35262 MARGARET W EPPS UNIVERSITY SECRETARY 50.00 0.00 X 276735 0 28116 DANIEL G ENNIS EXECUTIVE VICE PRESIDENT 50.00 0.50 X 826579 0 0 MARY E KLOTMAN MD VICE CHAN. FOR HEALTH AFFAIRS & DEAN OF SOM 42.00 11.50 X 728276 0 47370 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 40.00 0.40 X 3354282 0 73204 VALERIE ASHBY DEAN, COLLEGE OF A & S 40.00 0.00 X 571163 0 40983 JENNIFER FRANCIS EXECUTIVE VICE PROVOST FIN & ADMIN 80.00 0.20 X 676144 0 47754 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN, SOM 55.00 0.60 X 456156 0 54118 JUSTIN B NIXON INVESTMENT MANAGER 40.00 0.00 X 1185112 0 143491 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 50.00 0.00 X 422250 0 54235 EVAN L JONES INVESTMENT MANAGER 40.00 0.00 X 1260985 0 161194 MARK E CORIGLIANO INVESTMENT MANAGER 50.00 0.00 X 1040958 0 124614 MICHAEL W KRZYZEWSKI COACH 40.00 0.00 X 12507340 0 1165200 DAVID N CUTCLIFFE COACH 40.00 0.00 X 2809635 0 127028 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 40.00 0.00 X 1331640 0 115982 RALPH SNYDERMAN CHANCELLOR EMERITUS & CHIEF OF RHEUMATOLOGY 40.00 0.10 X 1259400 0 51053 CHRISTOPHER PLOWE DIRECTOR, GLOBAL HEALTH INSTITUTE 40.00 0.30 X 1498704 0 48119 RICHARD RIDDELL FORMER OFFICER 50.00 0.00 X 509632 0 50563 NANCY ANDREWS MD FORMER KEY EMPLOYEE 40.00 0.00 X 394016 0 49801 ERIC PETERSON MD FORMER KEY EMPLOYEE 40.00 0.00 X 308124 0 37037 JAMES S ROBERTS FORMER KEY EMPLOYEE 40.00 0.00 X 148903 0 14116 38261666 0 2749642 4285 1 1 0 LECHASE CONSTRUCTION SERVICES LLC 324 BLACKWELL ST 130 DURHAM NC 27701 CONSTRUCTION SERVICE 35285320 SKANSKA USA BUILDING INC 4309 EMPEROR BLVD SUITE 200 DURHAM NC 27703 CONSTRUCTION SERVICE 32761700 MID-ATLANTIC INFRASTRUCTURE SYSTEMS 975 PINEBROOK KNOLLS DRIVE WINSTON SALEM NC 27105 CONSTRUCTION SERVICE 14956427 DPR CONSTRUCTION 2000 AERIAL CENTER PKWY STE 118 MORRISVILLE NC 27560 CONSTRUCTION SERVICE 10473111 ALLEGIS GROUP HOLDING INC 3689 COLLECTION CTR DR CHICAGO IL 60693 TEMPORARY SERVICES 9826146 753 2720091 126439312 810673743 704769501 68767856 1644602647 TUITION & FEES 611600 836376259 836376259 ANCILLARY STUDENT SVCS 611600 88061953 88061953 CONTINUING EDUCATION 611600 26464276 26464276 CONFERENCE FEES 611600 2794887 2794887 ACADEMIC MED. RESEARCH 611600 1885381 1885381 79788021 79788021 1035370777 106978443 2096 106976347 55235424 55235424 9677395 12719415 -3042020 -3042020 -3042020 1844954871 235675 15396334 3924508 1829558537 -3688833 1825869704 1825869704 37934 2720091 408170 -370236 -370236 RELATED ORG. INVESTMEN 900099 11314888 11314888 OTHER INVESTMENT INCOM 900099 4539821 4539821 STUDENT DUES 900099 3244235 3244235 16860400 16860400 35959344 4700604083 1071330121 2096 1984669219 109054122 109054122 283094718 283094718 5739911 5739911 20464488 1179802 18152547 1132139 2224292 2069576 154716 1457384293 1245253880 175447411 36683002 63223450 53335303 8269627 1618520 166976874 99021029 65681504 2274341 101782487 85863706 13313149 2605632 31121748 2500633 28595992 25123 679588 20387 659201 651165 651165 26655118 26655118 139317174 113961445 24556937 798792 4486317 2979087 1122990 384240 116723100 109462991 6209289 1050820 32447000 20220066 11933360 293574 55954067 21965167 33988900 101119945 85284952 15567236 267757 3035472 2907908 118731 8833 7508105 6084198 1217208 206699 82774513 47633742 35126867 13904 276755051 270112930 6642121 7182870 4023676 3148505 10689 SUBRECIPIENT PAYMENTS 172820548 172820548 EQUIP RENTAL & MAINTENA 40919665 40895331 24334 COST OF GOODS SOLD 11952402 10878752 1070985 2665 PRINTING & PUBLICATIONS 4588803 3626254 418396 544153 -56079133 -2839547 -54672731 1433145 3270558153 2797150567 423378059 50029527 156470790 324297393 413677298 445871185 137527777 145553638 25636079 21495475 21795905 19412502 32187814 138384778 6636567037 3844279149 2828191992 2792287888 2327892252 3558775861 8305702938 12045521709 1558676079 1927211612 15807758924 21418812041 419434892 533292574 214968354 222308013 379845000 371845000 4988734 3307927 2335827327 2290820284 1571255393 1447414942 4926319700 4868988740 X 4517317546 7112788416 6364121678 9437034885 10881439224 16549823301 15807758924 21418812041 X 1430045930 3371502961 866835186 X X 0 1 X 1 1 1 X 1508458854 1476290488 1480705479 1566915508 1644602647 7676972976 1508458854 1476290488 1480705479 1566915508 1644602647 7676972976 2366967162 5310005814 168862789 169049549 203730248 162807744 159171847 863622177 413002024 592044767 439296466 318402196 1861866983 3624612436 12165207589 5566984918 0.43650 0.71760 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: GAIN/LOSS ON SECURITIES - 2016 AMOUNT: $ 365,675,237. 2017 AMOUNT: $ 554,086,687. 2018 AMOUNT: $ 400,712,460. 2019 AMOUNT: $ 282,550,326. 2020 AMOUNT: $ 1,825,869,704 OTHER REVENUE - 2016 AMOUNT: $ 47,326,787. 2017 AMOUNT: $ 37,958,080. 2018 AMOUNT: $ 38,584,006. 2019 AMOUNT: $ 35,851,870. 2020 AMOUNT: $ 35,997,279. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 248842 0 1 19047 267889 0 FORM 990, SCHEDULE C, PART II-B DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES HAVE AND SOME SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. X 1 0.21 0 0 1 1 6.00 180 1 1831125 50373102 X X X X 1 8446092302 179916138 4490240275 103342939 342917950 19706838 12650280988 8580756409 386986275 -41907680 93600293 366342134 19800275 8446092302 8497566118 177375334 398470450 91566848 380223513 20865132 8580756409 7886329071 117860979 908790366 89041660 305957313 20415325 8497566118 6816799085 720600842 758983475 86753679 303634618 19666034 7886329071 0.60130 0.29970 0.09900 1 1 1 35041749 35041749 4688737949 2456681334 2232056615 330106985 211046123 119060862 863207136 676629112 186578024 719473218 499922580 219550638 2792287888 SHORT TERM INVESTMENTS 296575081 F US GOVERNMENT SECURITIES 1505393 F REAL ASSETS 1505375473 F PRIVATE CAPITAL 5958580832 F HEDGED STRATEGIES 3117485564 F OTHER INVESTMENTS -40387142 F FIXED INCOME 739965085 F EQUITIES 466421423 F 12045521709 DEPOSITS WITH BOND TRUSTEE 4 INTEREST IN PERPETUAL TRUST HELD BY OTHERS 1250836397 OPERATING LEASE RIGHT-OF-USE ASSET 676375211 1927211612 ANNUITY AND SPLIT INTEREST OBLIGATIONS 69301423 POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 447794714 FUNDS HELD FOR OTHERS 120517962 REFUNDABLE FEDERAL STUDENT LOANS 17851395 CONDITIONAL ASSET RETIREMENT 34450289 INTERNATIONAL LOAN RESERVE 7769521 GENERAL INSURANCE IBNR 6833000 OTHER 36170473 OPERATING LEASE LIABILITY 706726165 1447414942 PART II, LINE 5: DUKE FOREST, A DEPARTMENT WITHIN DUKE UNIVERSITY, IS COMMITTED TO PROTECTING THE PURPOSE OF THE CONSERVATION EASEMENT. ACCORDINGLY, A WRITTEN MONITORING PROGRAM WAS DEVELOPED TO MAINTAIN AND PROTECT 12 SIGNIFICANT NATURAL HERITAGE AREAS WITHIN NORTH CAROLINA, INCLUDING THE CONSERVATION EASEMENT NOTED ON SCHEDULE D, PART II. THE POLICY INCLUDES DETAILS ABOUT CONDUCTING AN ONSITE INSPECTION, DOCUMENTING ALL FINDINGS ACCORDING TO A SITE-SPECIFIC MONITORING CHECKLIST. A POST-MONITORING REPORT AND OTHER DOCUMENTATION IS COMPLETED AS NECESSARY. DUKE FOREST STAFF (AND OTHER EXPERTS AS NECESSARY) ARE CONSULTED TO DETERMINE IF STEWARDSHIP EFFORTS ARE NECESSARY TO ENSURE THE PURPOSE OF THE CONSERVATION EASEMENT. WHILE NOT IN THE WRITTEN DOCUMENT, THE INITIAL STEP TAKEN BY DUKE FOREST WOULD BE TO CONTACT THE RESPONSIBLE PARTY TO REQUEST REMEDY OF THE INFRACTION. SUBSEQUENT STEPS WOULD INCLUDE, BUT ARE NOT LIMITED TO CONSULTING WITH UNIVERSITY COUNSEL. THE EASEMENT DOCUMENTS DO NOT INCLUDE THE POLICY AS THE EASEMENT DOCUMENTS WERE CREATED BEFORE THE POLICY DOCUMENT. PART II, LINE 9: THE CONSERVATION EASEMENT REPORTED ABOVE WAS NOT INCLUDED IN DUKE UNIVERSITY'S STATEMENT OF ACTIVITIES, BALANCE SHEET, NOR FOOTNOTES TO THE FINANCIAL STATEMENTS. SCHEDULE D, PART III, LINE 4 ART COLLECTION DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCE WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING. SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. SCHEDULE D, PART X LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FASB ASC 740 DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FASB ASC 740 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FASB ASC 740 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FASB ASC 740 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2021. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 FORM 990, SCHEDULE E, LINE 3 EQUAL OPPORTUNITY AND NON DISCRIMINATION STATEMENT DUKE UNIVERSITY AND DUKE UNIVERSITY HEALTH SYSTEM ("DUKE") ARE COMMITTED TO ENCOURAGING AND SUSTAINING A LEARNING AND WORK COMMUNITY FREE FROM DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT. DUKE IS COMMITTED TO AN INCLUSIVE COMMUNITY THAT RESPECTS AND VALUES ALL OF ITS MEMBERS, INCLUDING (BUT NOT LIMITED TO) UNDERGRADUATE STUDENTS, GRADUATE AND PROFESSIONAL STUDENTS, POSTDOCTORAL FELLOWS AND MEDICAL RESIDENTS, FACULTY, AND STAFF (INCLUDING HOUSE STAFF). THE OFFICE FOR INSTITUTIONAL EQUITY (OIE) IS RESPONSIBLE FOR ADMINISTERING THE POLICY ON PROHIBITED DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT ("POLICY") AND ITS IMPLEMENTING PROCEDURES. THE VICE-PRESIDENT FOR INSTITUTIONAL EQUITY IS DUKE'S DESIGNATED COORDINATOR FOR SECTION 504 OF THE REHABILITATION ACT OF 1973 AND THE AGE DISCRIMINATION ACT OF 1975. THE ASSISTANT VICE-PRESIDENT/DIRECTOR OF TITLE IX COMPLIANCE IS DUKE'S DESIGNATED COORDINATOR FOR TITLE IX OF THE EDUCATION AMENDMENTS OF 1972. THESE OFFICERS MAY BE CONTACTED AT THE OFFICE FOR INSTITUTIONAL EQUITY, SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708, (919) 684-8222, OIE-HELP@DUKE.EDU. THIS POLICY PROHIBITS DISCRIMINATION AND HARASSMENT ON THE BASIS OF RACE, COLOR, NATIONAL ORIGIN, SEX (INCLUDING PREGNANCY), GENDER, GENDER IDENTITY, GENDER EXPRESSION, SEXUAL ORIENTATION, RELIGION, GENETIC INFORMATION, AGE, DISABILITY, OR VETERAN STATUS (COLLECTIVELY, "PROTECTED STATUS OR "PROTECTED CHARACTERISTICS"); THIS INCLUDES DISCRIMINATION AND HARASSMENT BASED ON THE PERCEPTION OF AN INDIVIDUAL'S PROTECTED STATUS, EVEN IF THAT PERCEPTION IS INCORRECT. IT ALSO PROHIBITS MISCONDUCT RELATED TO PROTECTED STATUS DISCRIMINATION AND HARASSMENT, SPECIFICALLY, RELATIONSHIP VIOLENCE AND STALKING. THE POLICY APPLIES TO THE ADMINISTRATION OF EMPLOYMENT AND EDUCATIONAL POLICIES, PRACTICES, PROGRAMS, AND ACTIVITIES. THE POLICY ALSO PROHIBITS RETALIATION AGAINST AN INDIVIDUAL: (1) WHO FILES A COMPLAINT OR REPORT OF DISCRIMINATION, HARASSMENT, OR RELATED MISCONDUCT; (2) AGAINST WHOM A COMPLAINT IS FILED; (3) WHO PARTICIPATES IN THE REPORTING, INVESTIGATION, OR ADJUDICATION OF POSSIBLE VIOLATIONS OF THIS POLICY; OR (4) WHO ENGAGES IN GOOD FAITH OPPOSITION TO WHAT THE INDIVIDUAL REASONABLY BELIEVES TO BE DISCRIMINATION, HARASSMENT, OR RELATED MISCONDUCT UNDER THIS POLICY. ADDITIONAL INFORMATION, INCLUDING THE COMPLETE TEXT OF THE HARASSMENT POLICY AND APPROPRIATE COMPLAINT PROCEDURES, MAY BE FOUND BY VISITING THE OFFICE FOR INSTITUTIONAL EQUITY'S WEBSITE AT: HTTPS://OIE.DUKE.EDU/. FOR FURTHER INFORMATION ON NOTICE OF NONDISCRIMINATION, YOU CAN CONTACT THE UNIVERSITY OFFICE NOTED ABOVE, OR VISIT HTTPS://WWW.2.ED.GOV/ABOUT/OFFICES/LIST/OCR/INDEX.HTML, FOR THE ADDRESS AND PHONE NUMBER OF THE OFFICE FOR CIVIL RIGHTS, U.S. DEPARTMENT OF EDUCATION, OFFICE THAT SERVES YOUR AREA, OR CALL 1-800-421-3481 DISSEMINATION THE POLICY IS DISTRIBUTED TO ALL MEMBERS OF THE DUKE COMMUNITY. POLICY INFORMATION IS PROVIDED TO NEW EMPLOYEES AT ORIENTATION SESSIONS AND TO UNION OFFICIALS REPRESENTING DUKE EMPLOYEES. THE INFORMATION ABOUT EQUAL OPPORTUNITY EMPLOYMENT IS PUBLISHED IN FACULTY AND STAFF MANUALS AND IS POSTED ON BULLETIN BOARDS THROUGHOUT DESCRIBED IN VARIOUS LITERATURE DISTRIBUTED BY DUKE. NONDISCRIMINATION CLAUSES ARE INCLUDED IN ALL UNION AGREEMENTS AND ALL SUCH CONTRACTUAL PROVISIONS ARE REVIEWED TO ENSURE THAT THEY ARE NONDISCRIMINATORY [41 CFR 60-300.44(F)(G) & 41 CFR 60-741.44(F)(G)]. RECRUITING ADVERTISEMENTS STATE THAT DUKE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. PURSUANT TO REGULATIONS, ALL DUKE PURCHASE ORDERS, LEASES, AND CONTRACTS INCORPORATE THE FOLLOWING EQUAL OPPORTUNITY CLAUSE SETTING FORTH THE DUKE'S EXPECTATIONS: THE CONTRACTOR AND SUBCONTRACTOR SHALL ABIDE BY THE REQUIREMENTS OF 41 CFR 60-1.4(A), 60-300.5(A) AND 60-741.5(A). THESE REGULATIONS PROHIBIT DISCRIMINATION AGAINST QUALIFIED INDIVIDUALS BASED ON THEIR STATUS AS PROTECTED VETERANS OR INDIVIDUALS WITH DISABILITIES, AND PROHIBIT DISCRIMINATION AGAINST ALL INDIVIDUALS BASED ON THEIR RACE, COLOR, RELIGION, SEX, SEXUAL ORIENTATION, GENDER IDENTITY OR NATIONAL ORIGIN. MOREOVER, THESE REGULATIONS REQUIRE THAT COVERED PRIME CONTRACTORS AND SUBCONTRACTORS TAKE AFFIRMATIVE ACTION TO EMPLOY AND ADVANCE IN EMPLOYMENT INDIVIDUALS WITHOUT REGARD TO RACE, COLOR, RELIGION, SEX, SEXUAL ORIENTATION, GENDER IDENTITY, GENDER EXPRESSION, NATIONAL ORIGIN, DISABILITY OR VETERAN STATUS. PUBLICATIONS AND OTHER DUKE MATERIALS REPRESENT ALL INDIVIDUALS, REGARDLESS OF DEMOGRAPHIC PROFILE AND INCLUDE SPECIAL CONSIDERATION OF PERSONS THAT CLAIM DISABILITY OR VETERAN STATUS. RECRUITING ADVERTISEMENTS STATE THAT DUKE IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. AN EXPANDED STATEMENT TO CONVEY DUKE'S COMMITMENT TO DIVERSITY AND INCLUSION IS INCLUDED IN DOCUMENTS AND POSITION DESCRIPTIONS. FORM 990, SCHEDULE E, LINE 6 EXPLANATION OF GOVERNMENT FINANCIAL AID IN FUTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSITY ADMINISTERS FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL DIRECT LOAN PROGRAM FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, MEDICAL PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 128000 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 5611000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 178000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 6461000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 54000 EUROPE 0 0 GRANTMAKING 85000 EUROPE 0 0 PROGRAM SERVICES EDUCATION 89000 EUROPE 0 0 PROGRAM SERVICES RESEARCH 5978000 EUROPE 1 3 PROGRAM SERVICES STUDY ABROAD 326000 EUROPE 0 0 SEMINAR 72000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 118000 NORTH AMERICA 0 0 GRANTMAKING 24000 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 6157000 NORTH AMERICA 0 0 SEMINAR 2000 RUSSIA 0 0 PROGRAM SERVICES RESEARCH 19000 SOUTH AMERICA 0 0 GRANTMAKING 9000 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 430000 SOUTH AMERICA 0 0 SEMINAR 1000 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 147000 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 650000 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 10000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 4000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 2740000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 43000 SUB-SAHARAN AFRICA 0 0 SEMINAR 6000 0 0 1 3 1 3 18584000 10758000 29342000 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, GENERAL SUPPORT 5560280 WIRE 0 1 FRITZ LONDON PRIZE EAST ASIA AND THE PACIFIC 1 15468 WIRE YAGE PRIZE EAST ASIA AND THE PACIFIC 14 35682 WIRE FRITZ LONDON PRIZE EUROPE 1 15468 WIRE LAW SCHOOL FELLOWSHIP-RINA KIKA EUROPE 1 55000 WIRE MELOSH AWARD EUROPE 1 773 WIRE RESEARCH FELLOWSHIP-ABROAD EUROPE 2 12000 WIRE TUITION GRANT NORTH AMERICA 1 17088 WIRE RESEARCH AWARD NORTH AMERICA 1 5000 WIRE VIRTUAL TRAINEE AWARD MISC NORTH AMERICA 1 400 WIRE YAGE PRIZE NORTH AMERICA 1 1605 WIRE DGHI ARTIFICIAL INTELLIGENCE AWARD SOUTH AMERICA 3 9000 WIRE TUITION GRANT SUB-SAHARAN AFRICA 3 6372 WIRE 0 0 1 0 0 1 PART III ACCOUNTING METHOD: SCHEDULE F, PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO SEVERAL ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. X X X X X X X 1 TWO BY FOUR LTD SEE PART IV FOR ADDRESS TORRANCE CA 90503 FUNDRAISING RELATED MARKETING & ADVERTISING 0 0 0 248192 GRENZEBACH GLIER & ASSOCIATES SEE PART IV FOR ADDRESS CHICAGO IL 60611 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 52500 PROTOPIA TECHNOLOGY INC SEE PART IV FOR ADDRESS RALEIGH NC 27603 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 47000 COPPER REEF ENTERPRISES SEE PART IV FOR ADDRESS CARLSBAD CA 92009 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 45000 SAVAS LABS INC SEE PART IV FOR ADDRESS RALEIGH NC 27603 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 35000 ORACLE AMERICA INC SEE PART IV FOR ADDRESS REDWOOD SHORES CA 94065 FUNDRAISING RELATED DATABASE DEVELOPMENT 0 0 0 32112 MARTS & LUNDY SEE PART IV FOR ADDRESS LYNDHURST NJ 07071 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 30000 BLACKBAUD INC SEE PART IV FOR ADDRESS CHARLESTON SC 29492 FUNDRAISING RELATED WEBSITE DEVELOPMENT 0 0 0 29940 QUICKBROWNFOX STUDIO LLC SEE PART IV FOR ADDRESS DURHAM NC 27701 FUNDRAISING RELATED GRAPHIC DESIGN & PHOTOGRAPHY 0 0 0 21560 JEFFREY FOORMAN MCCOLLOCH SEE PART IV FOR ADDRESS MENLO PARK CA 94025 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 17000 558304 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI CMN 2154885 2154885 353088 RADIOTHON 423723 423703 20 13685 5 179417 141503 37914 26623 9626 5148 2758025 2720091 37934 26623 9626 371921 408170 -370236 SCHEDULE G, PART I, LINE 2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: TWO BY FOUR LTD (I) ADDRESS OF FUNDRAISER: 10 N DEARBORN ST, CHICAGO, IL 60602 (I) NAME OF FUNDRAISER: GRENZEBACH GLIER & ASSOCIATES (I) ADDRESS OF FUNDRAISER: 401 N. MICHIGAN AVE, CHICAGO, IL 60611 (I) NAME OF FUNDRAISER: PROTOPIA TECHNOLOGY INC (I) ADDRESS OF FUNDRAISER: 310 S HARRINGTON ST, RALEIGH, NC 27603 (I) NAME OF FUNDRAISER: COPPER REEF ENTERPRISES (I) ADDRESS OF FUNDRAISER: 6965 EL CAMINO REAL, CARLSBAD, CA 92009 (I) NAME OF FUNDRAISER: SAVAS LABS INC (I) ADDRESS OF FUNDRAISER: 1 GLENWOOD AVE, RALEIGH, NC 27603 (I) NAME OF FUNDRAISER: ORACLE AMERICA INC (I) ADDRESS OF FUNDRAISER: 500 ORACLE PKWY, REDWOOD SHORES, CA 94065 (I) NAME OF FUNDRAISER: MARTS & LUNDY (I) ADDRESS OF FUNDRAISER: 160 CHUBB AVE #303, LYNDHURST, NJ 07071 (I) NAME OF FUNDRAISER: BLACKBAUD INC (I) ADDRESS OF FUNDRAISER: 200 DANIEL ISLAND DR, CHARLESTON, SC 29492 (I) NAME OF FUNDRAISER: QUICKBROWNFOX STUDIO LLC (I) ADDRESS OF FUNDRAISER: 401 W MARKHAM AVE, DURHAM, NC 27701 (I) NAME OF FUNDRAISER: JEFFREY FOORMAN MCCOLLOCH (I) ADDRESS OF FUNDRAISER: 21 CAMPBELL LANE, MENLO PARK, CA 94025 SCHEDULE G, LINE 2(B), COLUMN (V) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMNS (I-V). THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED. THERE ARE NO AGREEMENTS THAT PROVIDE EXCLUSIVELY FOR EXPENSES, BUT NOT FOR PROFESSIONAL FUNDRAISING SERVICES. 1 AMERICAN MATHEMATICAL SOCIETY PO BOX 6248 PROVIDENCE RI 029042213 050264797 501(C)(3) 6476 GENERAL SUPPORT BELIEVERS UNITED FOR PROGRESS PO BOX 15666 DURHAM NC 27704 352292442 501(C)(3) 10000 COVID RELIEF BIKE DURHAM PO BOX 25236 DURHAM NC 27702 465356944 501(C)(3) 10497 2200 FMV BICYCLES COMMUNITY SUPPORT BIRCHWOOD LEARNING CENTER INC 416 WALTON ST DURHAM NC 27703 562062834 501(C)(3) 10000 COVID RELIEF BOOK HARVEST 2501 UNIVERSITY DR DURHAM NC 27707 452610533 501(C)(3) 9996 COMMUNITY SUPPORT BOYS & GIRLS CLUBS OF THE COAST 621 WEST FIRE TOWER RD WINTERVILLE NC 28590 560927694 501(C)(3) 15000 COVID RELIEF BOYS AND GIRLS CLUB OF DURHAM 1010 MLK PARKWAY DURHAM NC 27713 566001906 501(C)(3) 9500 COVID RELIEF BYP100 EDUCATION FUND 239 E 51 ST CHICAGO IL 60615 810975889 501(C)(3) 5854 GENERAL SUPPORT CAMPAIGN 4 CHANGE PO BOX 3355 DURHAM NC 27702 260096724 501(C)(3) 5250 COMMUNITY SUPPORT CARING HOUSE INC 2625 PICKETT RD DURHAM NC 277055603 561647154 501(C)(3) 7200 GENERAL SUPPORT CHANGING A GENERATION MINISTRY PO BOX 1061 DURHAM NC 27702 562263962 501(C)(3) 10000 COVID RELIEF CHARLOTTE MECKLENBURG 310 N TRYON STREET CHARLOTTE NC 28202 461172548 501(C)(3) 15000 GENERAL SUPPORT CHILD CARE SERVICES ASSOCIATION PO BOX 901 CHAPEL HILL NC 27514 561514058 501(C)(3) 13190 COVID RELIEF CHURCH OF THE INCARNATION 3966 MCKINNEY AVE DALLAS TX 75204 750808771 501(C)(3) 9000 SPONSORSHIP CHURCH WORLD SERVICE INC 112 S DUKE ST SUITE 4B DURHAM NC 27701 134080201 501(C)(3) 10000 COVID RELIEF COLUMBIA UNIVERSITY PO BOX 1523 NEW YORK NY 10008 135598093 501(C)(3) 50000 SPONSORSHIP COMMUNITIES IN PARTNERSHIP PO BOX 11247 DURHAM NC 27703 475567396 501(C)(3) 8300 COMMUNITY SUPPORT CROHNS & COLITIS FOUNDATION 1100 S MINT ST SUITE 204 CHARLOTTE NC 28203 136193105 501(C)(3) 6000 GENERAL SUPPORT DURHAM ARTS COUNCIL INC 120 MORRIS ST DURHAM NC 277013242 560599829 501(C)(3) 5500 GENERAL SUPPORT DURHAM CHILDRENS INITIATIVE 2101 ANGIER AVE 200 DURHAM NC 27703 320263133 501(C)(3) 28833 COMMUNITY SUPPORT DURHAM COMMUNITY LAND TRUSTEES 1208 W CHAPEL HILL ST DURHAM NC 27701 561203878 501(C)(3) 127970 COMMUNITY SUPPORT DURHAM PUBLIC SCHOOLS FOUNDATION 411 W CHAPEL HILL ST C2 DURHAM NC 27701 822803464 501(C)(3) 461500 COMMUNITY SUPPORT DURHAM RESCUE MISSION PO BOX 11858 DURHAM NC 27703 581482590 501(C)(3) 25000 COVID RELIEF DURHAM ROTARY CLUB PO BOX 51572 DURHAM NC 277171572 560862536 501(C)(4) 6694 GENERAL SUPPORT EL FUTURO INC 2020 E CHAPEL HILL ROAD SUITE DURHAM NC 27707 800122334 501(C)(3) 13500 GENERAL SUPPORT ELLERBE CREEK WATERSHED ASSOCIATION 331 W MAIN ST STE 505 DURHAM NC 27701 562123874 501(C)(3) 9000 COMMUNITY SUPPORT EMILY KRZYZEWSKI FAMILY LIFE CENTER 904 W CHAPEL HILL ST DURHAM NC 27701 562230469 501(C)(3) 201000 COMMUNITY SUPPORT ETV ENDOWMENT OF SOUTH CAROLINA 401 E KENNEDY ST SUITE B-1 SPARTANBURG SC 29302 570657549 501(C)(3) 7500 GENERAL SUPPORT FIRST PRESBYTERIAN CHURCH OF DURHAM 305 E MAIN ST DURHAM NC 27701 560563131 501(C)(3) 10000 COVID RELIEF HABITAT FOR HUMANITY OF DURHAM 215 N CHURCH ST DURHAM NC 27701 581674794 501(C)(3) 175000 COMMUNITY SUPPORT HEALTHY KIDS BRIGHTER FUTURE INC PO BOX 382 BRUNSWICK ME 04011 043506482 501(C)(3) 100000 GENERAL SUPPORT HOUSING FOR NEW HOPE INC 18 W COLONY PLACE SUITE 250 DURHAM NC 27705 582089068 501(C)(3) 5250 GENERAL SUPPORT IGLESIA PRESBITERIANA EMANUEL 2504 N ROXBORO ST DURHAM NC 27704 814597593 501(C)(3) 10000 COVID RELIEF JOHNSON C SMITH UNIVERSITY 100 BEATTIES FORD RD CHARLOTTE NC 28216 250983069 501(C)(3) 15000 GENERAL SUPPORT JUBILEE HOME 404 E UMSTEAD ST DURHAM NC 27707 461954060 501(C)(3) 7740 GENERAL SUPPORT KRAMDEN INSTITUTE 4915 PROSPECTUS DRIVE DURHAM NC 27713 743108814 501(C)(3) 1000 78650 FMV COMPUTERS COMMUNITY SUPPORT LIFE SKILLS FOUNDATION PO BOX 51129 DURHAM NC 27712 203676000 501(C)(3) 6000 COVID RELIEF MARTIN METHODIST COLLEGE 433 W MADISON ST PULASKI TN 38478 620483210 501(C)(3) 12000 GENERAL SUPPORT MUSEUM OF THE NEW SOUTH INC 200 E 7TH ST ATTN EDUC DEPT CHARLOTTE NC 28202 561748648 501(C)(3) 15000 GENERAL SUPPORT NATIONAL ALLIANCE OF AFRICAN AMERICAN ATHLETES PO BOX 435 SEVERN MD 21144 251612666 501(C)(3) 10000 SPONSORSHIP NC ALBERT SCHWEITZER FELLOWSHIP PO BOX 1636 DAVIDSON NC 28036 822682491 501(C)(3) 33000 GENERAL SUPPORT NEHEMIAH CHRISTIAN CENTER CHURCH 514 N MANGUM ST DURHAM NC 27701 561943711 501(C)(3) 8500 COVID RELIEF OPEN LIBRARY FOUNDATION 701 CATHEDRAL RD 45-253 PHILADELPHIA PA 191282111 814396672 501(C)(3) 5100 GENERAL SUPPORT PAULI MURRAY CENTER FOR HISTORY AND SOCIAL JUSTICE PO BOX 541 DURHAM NC 27702 454926223 501(C)(3) 11286 COMMUNITY SUPPORT PROJECT ACCESS OF DURHAM COUNTY 4206 N ROXBORO ST STE 100 DURHAM NC 27704 261925378 501(C)(3) 5260 COVID RELIEF PUBLIC LIBRARY OF CHARLOTTE & MECKLENBURG COUNTY 310 N TRYON ST CHARLOTTE NC 28202 566018623 130000 GENERAL SUPPORT REBUILDING TOGETHER OF THE TRIANGLE 200 TRANS AIR DR 200 MORRISVILLE NC 27560 561955629 501(C)(3) 35000 COVID RELIEF REINVESTMENT PARTNERS PO BOX 1929 DURHAM NC 277021929 311587628 501(C)(3) 32500 COMMUNITY SUPPORT RELEASED WOMENS MINISTRY 15 MANSON PLACE DURHAM NC 27703 461872852 501(C)(3) 10000 COVID RELIEF SCOTT CARTER FOUNDATION PO BOX 700448 TULSA OK 741700448 731437230 501(C)(3) 20000 COMMUNITY SUPPORT SENIOR PHARMASSIST INC 406 RIGSBEE AVE STE 201 DURHAM NC 277012186 562084639 501(C)(3) 11463 GENERAL SUPPORT SLICE 325 8231 HEMPSHIRE PLACE 103 RALEIGH NC 27613 371847680 501(C)(3) 8600 COVID RELIEF SOUTHEASTERN EFFORTS DEVELOPING 706 GILBERT ST DURHAM NC 27701 561876445 501(C)(3) 6000 COVID RELIEF SOUTHSIDE CHURCH OF CHRIST 800 ELMIRA AVE DURHAM NC 27707 561446615 501(C)(3) 7300 COVID RELIEF SPECIAL OLYMPICS OF NORTH CAROLINA 2200 GATEWAY CENTRE BLVD STE 2 MORRISVILLE NC 27560 561149607 501(C)(3) 39273 GENERAL SUPPORT ST JOSEPHS HISTORIC FOUNDATION 804 OLD FAYETTEVILLE ST DURHAM NC 27701 561152267 501(C)(3) 5910 GENERAL SUPPORT STANDUP SPEAK OUT OF NC PO BOX 71532 DURHAM NC 27722 272331305 501(C)(3) 10000 COVID RELIEF STEPUP DURHAM 112 BROADWAY ST SUITE B DURHAM NC 27701 474578727 501(C)(3) 34200 COMMUNITY SUPPORT SWINGPAL INC PO BOX 2994 DURHAM NC 27701 274234469 501(C)(3) 6740 COVID RELIEF THRESHOLD PO BOX 11706 DURHAM NC 27703 561458745 501(C)(3) 25000 COVID RELIEF TRANSFORMATION LAB INC 7911 FORT HUNT RD ALEXANDRIA VA 22308 863381302 150000 GENERAL SUPPORT TRIANGLE NONPROFIT & VOLUNTEER PO BOX 3374 DURHAM NC 27702 237128378 501(C)(3) 6440 COMMUNITY SUPPORT TROSA INC 1820 JAMES ST DURHAM NC 277072024 561861158 501(C)(3) 15000 107095 FMV FURNITURE COVID RELIEF UNITED STATES FUND FOR UNICEF 125 MAIDEN LANE 10TH FLOOR NEW YORK NY 10038 131760110 501(C)(3) 26316 GENERAL SUPPORT UNITED WAY OF THE GREATER TRIANGLE PO BOX 110583 DURHAM NC 27709 561949103 501(C)(3) 100000 COVID RELIEF V FOUNDATION 14600 WESTON PKWY CARY NC 27513 133705951 501(C)(3) 25000 SPONSORSHIP WALLTOWN CHILDRENS THEATRE 1225 BERKLEY ST DURHAM NC 27705 562214825 501(C)(3) 6167 COMMUNITY SUPPORT WEST END COMMUNITY FOUNDATION PO BOX 51398 DURHAM NC 277171398 561858174 501(C)(3) 10000 COMMUNITY SUPPORT WORKING TO EXTEND ANTI-RACIST EDUCATION INC 600 E UMSTEAD ST DURHAM NC 27701 823043278 501(C)(3) 5050 GENERAL SUPPORT WORLD CENTRAL KITCHEN INC 3522 COURTLAND DR DURHAM NC 27707 273521132 501(C)(3) 10000 COVID RELIEF RIVERSIDE ENGINEERING PARENT ACTION COUNCIL 3218 ROSE OF SHARON RD DURHAM NC 27712 813420851 501(C)(3) 10000 FMV PRINTERS GENERAL SUPPORT 68 3 BOOK PRIZE 5 4500 CEI AWARD 3 4069 FINANCIAL ASSISTANCE 14 30091 GRADUATE AND PROFESSIONAL STUDENT COUNCIL AWARD 25 12750 HOLTON PRIZE 7 4250 INTERN ASSISTANCE AWARD 14 76446 MISC STUDENT AWARD 196 221675 PITCH AWARD 4 9000 POST GRADUATE SCHOLARSHIP 2 20000 RESEARCH AWARD 9 15310 REYNOLDS PRICE AWARD 4 9100 ROSATI AWARD 5 6000 STUDENT COVID ASSISTANCE 517 546910 GRADUATE ATHLETIC SCHOLARSHIPS 30 1419522 UNDERGRADUATE ATHLETIC SCHOLARSHIPS 571 29591000 INTERNSHIP STIPENDS 824 2344386 GRADUATE SCHOLARSHIPS & STIPENDS 2304 32886545 UNDERGRADUATE SCHOLARSHIPS & STIPENDS 947 5036837 POST-DOC SCHOLARSHIPS & STIPENDS 33 538846 PRE-DOC SCHOLARSHIPS & STIPENDS 55 536103 MISC. SCHOLARSHIPS & STIPENDS 6652 209781378 SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE, A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT. X X X X X X 1 1 X X X X X X 1 1 0 0 0 0 0 0 0 MICHAEL W KRZYZEWSKI COACH 3271438 0 2000000 0 7235902 0 1133192 0 32022 0 13672554 0 1261522 0 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 699282 0 2635500 0 19500 0 34741 0 40734 0 3429757 0 0 0 DAVID N CUTCLIFFE COACH 2388810 0 400000 0 20825 0 34741 0 100146 0 2944522 0 0 0 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 1327996 0 648542 0 19500 0 34741 0 17828 0 2048607 0 450000 0 CHRISTOPHER PLOWE DIRECTOR, GLOBAL HEALTH INSTITUTE 260054 0 0 0 1238650 0 34741 0 14255 0 1547700 0 0 0 VINCENT E PRICE TRUSTEE/PRESIDENT 1456976 0 0 0 19500 0 34741 0 22040 0 1533257 0 0 0 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 1280638 0 0 0 51002 0 101407 0 18754 0 1451801 0 0 0 EVAN L JONES INVESTMENT MANAGER 390392 0 586243 0 284350 0 122591 0 39827 0 1423403 0 264850 0 JUSTIN B NIXON INVESTMENT MANAGER 407285 0 543527 0 234300 0 116316 0 28476 0 1329904 0 234300 0 RALPH SNYDERMAN CHANCELLOR EMERITUS & CHIEF OF RHEUM 1236940 0 0 0 22460 0 34741 0 20345 0 1314486 0 0 0 MARK E CORIGLIANO INVESTMENT MANAGER 345450 0 508478 0 187030 0 110041 0 15669 0 1166668 0 167530 0 TALLMAN TRASK EXECUTIVE VICE PRESIDENT 907445 0 0 0 19500 0 34741 0 10550 0 972236 0 0 0 SALLY KORNBLUTH PROVOST 741336 0 106686 0 19500 0 34741 0 13824 0 916087 0 0 0 DANIEL G ENNIS EXECUTIVE VICE PRESIDENT 91593 0 654000 0 80986 0 0 0 22 0 826601 0 0 0 MARY E KLOTMAN MD VICE CHAN. FOR HEALTH AFFAIRS & DEAN 708776 0 0 0 19500 0 34741 0 14910 0 777927 0 0 0 JENNIFER FRANCIS EXECUTIVE VICE PROVOST FIN & ADMIN 527771 0 148373 0 0 0 34741 0 14693 0 725578 0 0 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 644157 0 0 0 19500 0 34741 0 15690 0 714088 0 0 0 VALERIE ASHBY DEAN, COLLEGE OF A & S 571163 0 0 0 0 0 34741 0 8080 0 613984 0 0 0 RICHARD RIDDELL FORMER OFFICER 490132 0 0 0 19500 0 33607 0 18511 0 561750 0 0 0 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN, SOM 436656 0 0 0 19500 0 30001 0 25493 0 511650 0 0 0 TIMOTHY W WALSH VP OF FINANCE & TREASURER 442002 0 0 0 0 0 33211 0 11787 0 487000 0 0 0 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 401730 0 1020 0 19500 0 27735 0 27761 0 477746 0 0 0 NANCY ANDREWS MD FORMER KEY EMPLOYEE 374516 0 0 0 19500 0 25621 0 25351 0 444988 0 0 0 VICTORIA NEVOIS INTERIM TREASURER 280992 0 22500 0 19500 0 19021 0 17102 0 359115 0 0 0 ERIC PETERSON MD FORMER KEY EMPLOYEE 291874 0 0 0 16250 0 23695 0 14253 0 346072 0 0 0 MARGARET W EPPS UNIVERSITY SECRETARY 241172 0 35563 0 0 0 10969 0 17896 0 305600 0 0 0 JAMES S ROBERTS FORMER KEY EMPLOYEE 148903 0 0 0 0 0 8461 0 6163 0 163527 0 0 0 PART I, LINE 1A CHARTER TRAVEL MICHAEL W. KRZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. VINCENT E. PRICE, A. EUGENE WASHINGTON, MD USED FIRST CLASS OR CHARTER TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS COMPANIONS HAVE TRAVELED WITH VINCENT E. PRICE, MICHAEL W. KRZYZEWSKI. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. RESIDENCE FOR PERSONAL USE VINCENT E. PRICE AND A. EUGENE WASHINGTON, MD WERE PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITIES USED BY THE UNIVERSITY'S PRESIDENT AND CHANCELLOR. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THE FACILITIES ARE USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. CLUB DUES JAMES SCOTT GIBSON AND DANIEL G. ENNIS WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS. TAX INDEMNIFICATION DANIEL G. ENNIS RECEIVED A BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. PART I, LINES 4A-B SEVERENCE PAYMENT CHRISTOPHER PLOWE RECEIVED A TOTAL OF $1,228,900 RELATED TO HIS SEPARATION FROM EMPLOYMENT, WHICH IS INCLUDED IN COMPENSATION REPORTED ON THIS FORM 990. SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: MARK E. CORIGLIANO $167,530, EVAN L. JONES $264,850, JUSTIN B. NIXON $234,300, A. EUGENE WASHINGTON $500,000 AND MICHAEL W. KRZYZEWSKI $7,178,351. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GLE6 2016-11-03 380642978 SEE PART VI 0 0 0 B NC CAPITAL FACILITIES FINANCE AGENCY 561592154 99VARIOUS 2018-06-27 472535000 SEE PART VI 0 0 0 A 380642978 378939046 1703932 2008 1 0 1 1 B 33860000 33860000 33860000 2015 1 0 0 1 A 0 0 1 1 1 1 0.00130 0.00130 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 0 0 0 0 0 1 A 1 B 1 FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND BOND ISSUE (B): FORM 8038 LISTS THE CUSIP NUMBERS AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 6/27/2018 AND THERE WERE NO CUSIPS OUSTANDING AS OF 6/30/2021 UNDER THE NEW ISSUE. FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (B): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($472,535,000) AND FIRST GENERATION CURRENT REFUNDING COMMERCIAL PAPER NOTES ($33,860,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. FORM 990, SCHEDULE K, PART 1(F) DESCRIPTION OF PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND A PORTION OF THE 2006A BONDS ISSUED 11/02/2016, (2) A PORTION OF THE 2006B BONDS ISSUED 01/09/2007. BOND ISSUE (B): COMMERCIAL PAPER PROGRAM, THE PURPOSE OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 07/16/2014 AND (2) FINANCE PROJECTS ON THE WEST, EAST AND CENTRAL CAMPUS OF DUKE UNIVERSITY. FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2 BOND ISSUE (A) - 11/01/2020 BOND ISSUE (B): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED DEBORAH JAKUBS SEE PART V 339990 SEE PART V 0 BERNARD MATHEY-PREVOT SEE PART V 40000 SEE PART V 0 MOLLY M WALSH SEE PART V 14583 SEE PART V 0 JAMES MATTHEW GIBSON SEE PART V 51227 SEE PART V 0 TREVOR PRICE SEE PART V 61245 SEE PART V 0 DANIEL LEW SEE PART V 218237 SEE PART V 0 LAURA STANLEY PIETROSIMONE SEE PART V 107625 SEE PART V 0 SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF INTERESTED PERSON: DEBORAH JAKUBS(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DEBORAH JAKUBS IS A FAMILY MEMBER OF A DUKE UNIVERSITY FORMER KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $339,990(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: BERNARD MATHEY-PREVOT(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: BERNARD MATHEY-PREVOT IS A FAMILY MEMBER OF A DUKE UNIVERSITY FORMER KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $40,000(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: MOLLY M WALSH(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: MOLLY M WALSH IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $14,583(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: JAMES MATTHEW GIBSON(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JAMES MATTHEW GIBSON IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $51,227(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: TREVOR PRICE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: TREVOR PRICE IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $61,245(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON:DANIEL LEW(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DANIEL LEW IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $218,237(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: LAURA STANLEY PIETROSIMONE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: LAURA STANLEY PIETROSIMONE IS A FAMILY MEMBER OF A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $107,625(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO X 31 4123491 VARIOUS X 147732 VARIOUS X 1448 64395422 MARKET QUOTE X EQUIPMENT 6 65297 VARIOUS X EVENT TICKETS 448 31927 FMV/FACE VALUE X MISCELLANEOUS 85 3987 VARIOUS 22 0 1 1 PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION "JAMES B. DUKE'S FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION; AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO." FORM 990, PART VI, SECTION A, LINE 7A GRADUATES OF DUKE UNIVERSITY HAVE THE RIGHT TO ELECT TWELVE TRUSTEES TO SERVE ON THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT & COMPLIANCE COMMITTEE OF THE UNIVERSITY TRUSTEES. AT THE MEETING, THE DUKE UNIVERSITY TAX SENIOR DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, IS AVAILABLE FOR QUESTIONS FROM THE COMMITTEE. NOT ONLY IS THE COMMITTEE OFFERED AN OPPORTUNITY TO ASK QUESTIONS AT THE MEETING, BUT ALSO ANYTIME THEREAFTER BY CONTACTING THE TAX SENIOR DIRECTOR OR DUKE UNIVERSITY'S OFFICE OF COUNSEL, WHO IS ALSO INVOLVED WITH THE REVIEW OF DUKE UNIVERSITY'S FORM 990. SUBSEQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX SENIOR DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER. FORM 990, PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY. FORM 990, PART VI, SECTION B, LINE 15 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR CERTAIN DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY, ADVISE REGARDING COMPARATIVE COMPENSATION NORMS, AND ENSURE COMPLIANCE WITH IRS EXECUTIVE COMPENSATION RULES, INCLUDING INTERMEDIATE SANCTIONS, DEFERRED COMPENSATION, AND PRIVATE INUREMENT. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING. FORM 990, PART VI, SECTION C, LINE 18 IN ADDITION TO PROVIDING THE ORGANIZATION'S FORM 990 UPON REQUEST, THE ORGANIZATION'S FORM 990 IS AVAILABLE TO THE PUBLIC ON SEVERAL THIRD PARTY WEBSITES. WHILE THE ORGANIZATION DOES NOT PROVIDE THE FORM 990 DIRECTLY TO THESE THIRD PARTIES, THE FORM 990 IS OBTAINED FROM THE INTERNAL REVENUE SERVICE. THE THIRD PARTIES SUBSEQUENTLY AND INDEPENDENTLY PROVIDE ACCESS TO THE FORM 990 ON THEIR PLATFORM. FORM 990, PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS ORGANIZING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://RESOURCES.FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS2020-21. PDF (WEBLINK MUST BE INPUT IN ALL LOWER CASE LETTERS). FORM 990, PART XI, LINE 9: CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS 398,192,433. TRANSFERS FROM DUHS 132,591,295. NONPERIODIC CHANGES 340,878,033. OTHER CHANGES -4,826,575. FORM 990, PART XII, LINE 3B DUKE UNIVERSITY WILL ISSUE ITS AUDIT UNDER THE UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS BY THE EXTENDED DUE DATE OF SEPTEMBER 30, 2022. DUKE UK TRUST LIMITED 19 NORCOTT ROAD LONDON UK N167EJ 980555714 DEVELOPMENT UK 1049503 264104 DUKE UNIVERSITY AMER ASSOC FOR GIFTED CHILDREN - 56-1686219 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 ANGIER B DUKE MEMORIAL INC 100 NORTH TRYON STREET CHARLOTTE NC 28202 136113895 SCHOLARSHIPS NC 501(C)(3) 12 TYPE III-O DUKE ENDOWMENT 0 ASSOCIATED HEALTH SVCS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561845329 HEALTHCARE NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 ATLANTIC COAST CONFERENCE PO DRAWER ACC GREENSBORO NC 27417 560599082 ATHLETIC NC 501(C)(3) 12 TYPE 1 N/A 0 C A CANNON CHAR TRUST NO 3 1525 W WT HARRIS BLVD D1114 CHARLOTTE NC 28288 581360259 SUPPORT NC 501(C)(3) 12 TYPE III-O N/A 0 DAVID H MURDOCK RESEARCH INSTITUTE 150 RESEARCH CAMPUS DR KANNAPOLIS NC 28081 208730759 RESEARCH NC 501(C)(3) 12 TYPE 1 N/A 0 DU SPECIAL VENTURES FUND INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 561465177 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE ALUMNI ASSOCIATION INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561594088 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE CORPORATE EDUCATION 310 BLACKWELL ST DURHAM NC 27701 421672476 EDUCATION NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE GIFT PROPERTIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211078 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE GLOBAL INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 611588319 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE MEDICINE GLOBAL SUPP CORP- 61-1593721 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE SCHOLARLY EXHIBITS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561701245 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV AFFILIATED PHYSICIANS 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561902501 HEALTHCARE NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE UNIV PHILANTHROPIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211099 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV SCH OF MED RESEARCH FDN 56-2247203 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIVERSITY HEALTH SYSTEM INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 562070036 HEALTHCARE NC 501(C)(3) LINE 3 DUKE UNIVERSITY 1 DUMAC INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 900754895 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DURHAM ASSET MGMT COMPANY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561757238 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DURHAM REALTY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917936 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 GOTHIC CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 561776668 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 GOTHIC HSP CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 271325761 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 HIGH POINT REALTY ASSOCIATES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917939 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 INNOVATIONS IN HEALTHCARE INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 320358709 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 KATHRINE R EVERETT CHARITABLE PO BOX 3001 DURHAM NC 27715 566473809 SUPPORT NC 501(C)(3) 12 TYPE 1 N/A 0 NANALINE H DUKE TRUST 100 NORTH TRYON STREET CHARLOTTE NC 28202 237270511 MED. 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