2022-05-16T20:55:43-05:00 2021-06-30 910189318 MOSS ADAMS LLP 3121 W MARCH LN STE 200 STOCKTON CA 952192367 990 2020-07-01 941156617 PRESIDENT-BOARD OF TRUSTEES SANTA CLARA COLLEGE PRES 4085544398 500 EL CAMINO REAL SANTA CLARA CA 95053 RAMONA SAUTER AVP FOR FINANCE 4085544398 2022-04-15 1 RAMONA SAUTER XXX-XX-XXXX TRACY S PAGLIA P00366884 2099556100 2022-05-16 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z SANTA CLARA UNIVERSITY LISA A KLOPPENBERG 500 EL CAMINO REAL SANTA CLARA CA 95053 790443016 0 X WWW.SCU.EDU X 1851 CA SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. 48 44 4763 2040 463819 0 72202340 84406379 447657002 410662863 31618920 48597759 -781860 1029 550696402 543668030 115513987 120621224 0 0 249346655 235720274 0 0 8989109 149556621 136627050 514417263 492968548 36279139 50699482 2391705262 2958910318 607665956 649347298 1784039306 2309563020 X SEE SCHEDULE O 0 0 432556917 120621224 410662863 SANTA CLARA UNIVERSITY IS AN INSTITUTION OF HIGHER EDUCATION OFFERING DEGREES AT THE UNDERGRADUATE AND GRADUATE LEVEL AND LAW DEGREES. THE UNIVERSITY CONSISTS OF THE COLLEGE OF ARTS AND SCIENCES, THE SCHOOL OF ENGINEERING, THE LEAVEY SCHOOL OF BUSINESS, THE SCHOOL OF EDUCATION AND COUNSELING PSYCHOLOGY, THE SCHOOL OF LAW, AND THE JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA UNIVERSITY. CURRENT ENROLLMENT IS 8,551 STUDENTS CONSISTING OF 5,568 UNDERGRADUATE, 2,117 GRADUATE AND 866 LAW STUDENTS. IN 2021, THE UNIVERSITY AWARDED 2,582 DEGREES AT ALL ACADEMIC LEVELS. 432556917 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 0 0 1 1 1 1 0 0 0 1 0 0 1 1 1 1 0 0 0 0 0 1 0 1 1 1 1 1 0 0 1 1 1 1 0 0 1 10020 0 1 4763 1 1 1 1 ES 0 0 0 1 1 0 0 0 0 0 0 X 48 44 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA X RAMONA SAUTER 4085542757 500 EL CAMINO REAL SANTA CLARA CA 95053 HERBERT SENDEK HEAD COACH, MEN'S BASKETBALL 40.00 X 725974 0 100042 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 40.00 X 677568 0 56533 LISA KLOPPENBERG ACTING PRESIDENT 40.00 X X 455157 0 66396 JIM LYONS VP FOR UNIVERSITY RELATIONS 40.00 X 460817 0 54951 RENE BAUMGARTNER EXECUTIVE DIRECTOR, ATHLETICS 40.00 X 397303 0 74626 DONALD HEIDER EXECUTIVE DIRECTOR 40.00 X 431554 0 31483 JOHN OTTOBONI ASSISTANT SECRETARY, SR. LEGAL COUNSEL & COO 40.00 X 408106 0 48416 MICHAEL CROWLEY ASSISTANT TREASURER, VP FINANCE AND ADMINISTRATION 40.00 3.00 X 381404 0 62935 CHINH NGUYEN INVESTMENT DIRECTOR 40.00 X 396850 0 35620 MEIR STATMAN PROFESSOR 40.00 X 330912 0 49149 ANDREW STARBIRD FORMER DEAN, LEAVEY SCHOOL 40.00 X 267894 0 51115 MOLLY MCDONALD ASSISTANT SECRETARY, CHIEF OF STAFF 40.00 X 248462 0 68997 CHRIS SHAY ASSISTANT VP FOR UNIVERSITY OPERATIONS 40.00 X 238487 0 46928 EVA BLANCO MASIAS VP FOR ENROLLMENT MANAGEMENT 40.00 X 220025 0 38554 MIKE SEXTON VP FOR ENROLLMENT MGMT (THRU 06/20) 40.00 X 223365 0 31957 GODFREY MUNGAL FORMER DEAN OF THE SCHOOL OF ENGINEERING 40.00 X 202557 0 46586 JESSICA MATSUMORI ASSISTANT TREASURER, AVP FINANCE 40.00 3.00 X 195550 0 39207 KEVIN O'BRIEN SJ PRESIDENT, EX OFFICIO (THRU 04/21) 40.00 5.00 X X 0 0 59918 MICHAEL ENGH SJ FORMER PRESIDENT 40.00 X 32683 0 26026 JOHN M SOBRATO CHAIRMAN 1.00 X X 0 0 0 LARRY W SONSINI VICE CHAIR 5.00 X X 0 0 0 KRISTI M BOWERS SECRETARY 2.00 X X 0 0 0 JOHN JACK C LEWIS TREASURER 2.00 X X 0 0 0 AGNIESZKA WINKLER TRUSTEE 6.00 5.00 X 0 0 0 ARTHUR F LIEBSCHER SJ RECTOR, EX OFFICIO 2.00 X 0 0 0 EDWARD ED A PANELLI TRUSTEE 4.00 X 0 0 0 ELIZABETH BETSY S RAFAEL TRUSTEE 2.00 X 0 0 0 ELIZABETH CONNELLY TRUSTEE 2.00 X 0 0 0 ERICK BERRELLEZA SJ TRUSTEE 2.00 X 0 0 0 GERALD JERRY T COBB SJ TRUSTEE 2.00 X 0 0 0 GILBERT SUNGHERA SJ TRUSTEE 2.00 X 0 0 0 GISEL RUIZ TRUSTEE 2.00 X 0 0 0 GREGORY GREG VAUGHAN TRUSTEE 2.00 X 0 0 0 HEIDI LE BARON LEUPP TRUSTEE 2.00 X 0 0 0 HOWARD S CHARNEY TRUSTEE 3.00 X 0 0 0 JEFFREY JEFF A MILLER TRUSTEE 4.00 X 0 0 0 JOHN A SOBRATO TRUSTEE 2.00 X 0 0 0 JOSEPH M MCSHANE SJ TRUSTEE 2.00 X 0 0 0 KAPIL K NANDA TRUSTEE 2.00 X 0 0 0 KATHLEEN DUNCAN TRUSTEE 2.00 X 0 0 0 LOUIS LOU M CASTRUCCIO TRUSTEE 2.00 X 0 0 0 LUIS ARRIAGA SJ TRUSTEE 2.00 X 0 0 0 MARGARET PEGGY M BRADSHAW TRUSTEE 2.00 X 0 0 0 MARY STEVENS TRUSTEE 2.00 X 0 0 0 MATTHEW MATT E CARNES SJ TRUSTEE 5.00 X 0 0 0 MOLLY JOSEPH TRUSTEE 2.00 X 0 0 0 PAUL VU SJ TRUSTEE 2.00 X 0 0 0 PETER C GOTCHER TRUSTEE 2.00 X 0 0 0 PETER MORIN TRUSTEE, EX OFFICIO 2.00 X 0 0 0 REBECCA M GUERRA TRUSTEE 2.00 X 0 0 0 RICHARD RICH D HAUGHEY TRUSTEE 2.00 X 0 0 0 ROBERT H SMITH TRUSTEE 2.00 X 0 0 0 ROBERT J FINOCCHIO JR TRUSTEE 7.00 X 0 0 0 ROBERT LLOYD TRUSTEE 2.00 X 0 0 0 RONNIE LOTT TRUSTEE 2.00 X 0 0 0 SALVADOR SAL O GUTIERREZ TRUSTEE 2.00 X 0 0 0 STEPHEN A FINN TRUSTEE 2.00 X 0 0 0 STEPHEN C SCHOTT TRUSTEE 2.00 X 0 0 0 STEVEN STEVE J SORDELLO TRUSTEE 5.00 X 0 0 0 SUSAN VALERIOTE TRUSTEE 2.00 X 0 0 0 TIMOTHY TIM HALEY TRUSTEE 3.00 X 0 0 0 TIMOTHY TIM SMITH TRUSTEE 2.00 X 0 0 0 WILLEM WIM P ROELANDTS TRUSTEE 1.00 X 0 0 0 WILLIAM BILL P LEAHY SJ TRUSTEE 1.00 X 0 0 0 WILLIAM BILL S CARTER TRUSTEE 2.00 X 0 0 0 WILLIAM DUFFY TRUSTEE 2.00 X 0 0 0 6294668 0 989439 737 1 1 0 DEVCON CONSTRUCTION INC 690 GIBRALTAR DRIVE MILPITAS CA 95035 CONSTRUCTION 124849460 BON APPETIT - SANTA CLARA 301 MARKET STREET SANTA CLARA CA 95053 FOOD SERVICES 8717533 ABLE BUILDING MAINTENANCE CO 868 FOLSOM STREET SAN FRANCISCO CA 94107 SERVICE 2057584 BEI CONSTRUCTION INC 1101 MARINA VILLAGE PKWY SUITE 100 ALAMEDA CA 94501 CONSTRUCTION 1724152 INCLINE ALCHEMY INC 12647 ALCOSTA BLVD SUITE 240 SAN RAMON CA 94583 SERVICE 1035101 73 15109 116618 462376 1590739 82221537 3532922 84406379 TUITION FEES 525990 390991674 390991674 AUXILIARY ACTIVITIES 611710 8519907 8519907 FED GRANTS & CONTRACTS 900099 7806451 7806451 PROGRAM FEES 611710 2745857 2745857 PROGRAM SALES INCOME 453000 429056 429056 169918 169918 410662863 15492861 -125348 15618209 279598411 260776 246754289 0 32844122 260776 33104898 419249 32685649 21726 116618 20697 1029 1029 543668030 410492945 463819 48304887 114500 114500 120506724 120506724 4441690 295525 3599632 546533 76105 76105 174728369 151070073 17490897 6167399 8586855 7433597 878701 274557 41381655 34489017 5527873 1364765 6505600 5547803 716338 241459 2669890 144522 2525368 296900 296900 4021 4021 4098218 4098218 21416981 18005309 3338988 72684 1659030 1397556 224066 37408 6331671 4659825 1583831 88015 12895496 11253329 1641638 529 1785928 1766174 17828 1926 2082142 1092891 984216 5035 10255717 9662598 593119 50379498 46824810 3553775 913 5748640 3991185 1734580 22875 LIBRARY ACQUISITIONS 4730551 4730551 REPAIR & MAINTENANCE 3845120 2247961 1570017 27142 PLEDGE RESERVE WRITE OF 3744879 3744879 INDIRECT COSTS SPONSORE 802133 802133 3880235 2699850 1042516 137869 492968548 432556917 51422522 8989109 54207762 54503431 97528866 47357511 74333773 62693230 10458078 5483909 436260 354337 761314 741321 1605804013 488574720 1048593704 1117229293 423143898 502178729 650512086 1135683367 3651127 2829699 28078394 29855491 2391705262 2958910318 67466275 66095819 31055253 31686460 343191394 335006601 165953034 216558418 607665956 649347298 X 743794971 856401825 1040244335 1453161195 1784039306 2309563020 2391705262 2958910318 X 50699482 475352335 -528103 X 0 1 X 1 1 1 X 87612454 49695933 97984551 72192061 84406379 391891378 87612454 49695933 97984551 72192061 84406379 391891378 43661321 348230057 12171831 14824379 23660412 18207988 15618209 84482819 7280 7280 476381477 2100156521 0.73100 0.75210 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2018 AMOUNT: $ 7,280. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 4021 4021 0 PART II-B, LINE 1: SCU PAYS ANNUAL DUES TO MEMBERSHIP ORGANIZATIONS; A PORTION OF THE ANNUAL DUES ARE USED BY THE ORGANIZATIONS FOR LOBBYING ACTIVITIES. X X X 0 995887403 13116787 518220847 16268598 22275950 7971000 1480709489 982121122 12515306 44830126 14172070 23063081 6344000 995887403 943597741 17973970 64253445 15416940 22715094 5572000 982121122 873039598 10246005 102911647 14253518 22211991 6134000 943597741 816842267 14076047 83160075 13368128 21838663 5832000 873039598 0.17690 0.23110 0.59200 1 0 27853966 82957225 110811191 11459591 1163310687 323367282 851402996 112302496 65292850 47009646 143216743 97205592 46011151 64703305 2708996 61994309 1117229293 VENTURE CAPITAL & PRIVATE EQUITY 568080639 F OTHER ALTERNATIVE INVESTMENTS 76701196 F HEDGE FUNDS 486606505 F NOTES RECEIVABLE 2657474 F PENDING TRADES 1637553 F 1135683367 AMOUNTS HELD ON BEHALF OF OTHERS 150788727 ANNUITY OBLIGATIONS 8795536 REFUNDABLE ADVANCES - US GOVERNMENT 3233673 ASSET RETIREMENT OBLIGATION 3054438 OBLIGATIONS UNDER CAPITALIZED LEASE 50686044 216558418 921252125 475352335 21782790 497135125 424117000 119551030 119551030 543668030 377999616 4582098 4582098 373417518 119551030 119551030 492968548 PART III, LINE 1A: THE UNIVERSITY'S COLLECTIONS ARE MADE UP OF ARTIFACTS OF HISTORICAL SIGNIFICANCE AND ART OBJECTS THAT ARE HELD FOR EDUCATIONAL, RESEARCH, AND CURATORIAL PURPOSES. THE COLLECTIONS, WHICH HAVE BEEN ACQUIRED THROUGH CONTRIBUTIONS SINCE THE UNIVERSITY'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS IN THE ACCOMPANYING CONSOLIDATED STATEMENT OF FINANCIAL POSITION. PART III, LINE 4: THE UNIVERSITY MAINTAINS THE DE SAISSET MUSEUM FOR STUDENTS WHICH IS ALSO OPEN TO THE PUBLIC. THE DE SAISSET MUSEUM SUPPORTS SANTA CLARA UNIVERSITY'S GOAL OF EDUCATING THE WHOLE PERSON THROUGH A DIVERSE AND ACCESSIBLE RANGE OF EXHIBITIONS, COLLECTIONS, AND EDUCATIONAL PROGRAMS THAT HIGHLIGHT THE ART AND HISTORY OF THE SAN FRANCISCO BAY AREA AND THE LOCAL SANTA CLARA VALLEY. PART V, LINE 4: ENDOWED GIFTS ARE MEANT TO EXIST IN PERPETUITY, AND ARE INVESTED FOR LONG-TERM GROWTH. EACH YEAR, A PORTION OF THE FUND'S EARNINGS IS MADE AVAILABLE IN THE FORM OF AN ALLOCATION TO SUPPORT STUDENT SCHOLARSHIPS, FACULTY CHAIRS, AND OTHER ENDOWED PROGRAMS THAT FURTHER THE UNIVERSITY'S STRATEGIC PRIORITIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: JESUIT SCHOOL OF THEOLOGY REVENUE & INVESTMENT REALIZED GAINS 3,571,488. JESUIT SCHOOL OF THEOLOGY INVESTMENT UNREALIZED GAINS 18,248,665. BRONCO BENCH FUND REVENUE -58,060. SPECIAL EVENT EXPENSE 20,697. PART XI, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT EXPENSES 3,603,761. STUDENT FINANCIAL AID 115,947,269. PART XII, LINE 2D - OTHER ADJUSTMENTS: JESUIT SCHOOL OF THEOLOGY EXPENSES 3,922,667. BRONCO BENCH FUND STUDENT SERVICES EXPENSES 110,631. SPECIAL EVENT EXPENSE 20,697. LOSS ON UNCOLLECTIBLE PLEDGES 528,103. PART XII, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT EXPENSES 3,603,761. STUDENT FINANCIAL AID 115,947,269. 1 1 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE UNIVERSITY MEETS THE CRITERIA UNDER SUBSECTION 4.03.2(B) OF REVENUE PROCEDURE 1975-50. SCHEDULE E, PART I, LINE 6 FINANCIAL AID OR ASSISTANCE FROM GOVERNMENTAL AGENCIES CONSISTS OF STUDENT FINANCIAL AID RECEIVED FROM SUCH AGENCIES. 1 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 336840 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 2710 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 351381587 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 39966926 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 13099035 0 0 0 0 0 0 404787098 0 404787098 1 0 1 1 1 0 PART III ACCOUNTING METHOD: KGACLC EVENT 88848 88848 5994 CATALA CLUB FUNDRAISER 46726 25000 21726 2123 1 2770 2770 12580 138344 116618 21726 20697 20697 1029 1 STANFORD UNIVERSITY 326 GALVEZ STREET STANFORD CA 94305 941156365 501(C)(3) 15000 DONATIONS FOR SUPPORT OF THE HOOVER INSTITUTION AND THE SIEPR CITY OF SANTA CLARA 1500 WARBURTON AVENUE SANTA CLARA CA 95050 946000426 GOVERNMENT 75000 DONATION FOR COMMUNITY SUPPORT SACRED HEART NATIVITY SCHOOL 310 EDWARDS AVENUE SAN JOSE CA 95110 952206754 501(C)(3) 6000 DONATION FOR COMMUNITY SUPPORT INTERNATIONAL FOOD AND AGRIBUSINESS MANAGEMENT ASSOCIATION (IFAMA) 922 NW CIRCLE BLVD SUITE 160 234 CORVALLIS OR 97330 742585021 501(C)(3) 11500 SPONSORSHIP FOR WORLD FORUM THE PANETTA INSTITUTE FOR PUBLIC POLICY 100 CAMPUS CENTER BUILDING 86E SEASIDE CA 93955 770495799 501(C)(3) 7000 SUPPORT FOR PANETTA INSTITUTE 5 0 FINANCIAL AID AND SCHOLARSHIPS 5854 115947269 BOOK NA SCHOLARSHIPS & FELLOWSHIPS (FEDERAL WORK STUDY) 558 1509957 BOOK NA CARES ACT (HIGHER EDUCATION EMERGENCY RELIEF FUND) AWARDS TO STUDENTS 1956 2771093 BOOK NA AWARDS, PRIZES & GRANTS TO STUDENTS 259 181244 BOOK NA COVID ASSISTANCE GRANTS TO STAFF & FACULTY (FUNDED BY A SCU GIFT FUND) 39 41200 BOOK NA AWARDS, PRIZES, DONATIONS TO INDIVIDUALS (NON SCU STUDENTS, STAFF,FACULTY) 13 55961 BOOK NA PART I, LINE 2: THE UNIVERSITY PROVIDES GRANTS AND OTHER ASSISTANCE TO DOMESTIC CHARITABLE ORGANIZATIONS TO SUPPORT PROGRAMS AND ACTIVITIES IN LINE WITH OUR MISSION. SOME OF THESE DONATIONS ARE COLLECTED DURING MASS AT THE MISSION CHURCH AND THEN PROVIDED TO VARIOUS CHARITABLE ORGANIZATIONS. THE UNIVERSITY PROVIDES GRANTS FOR SCHOLARSHIPS, FELLOWSHIPS, AND STUDENT LOANS USING GUIDELINES ESTABLISHED BY THE ORGANIZATION'S BOARD OF TRUSTEES TO ENSURE THEY ARE MADE BASED ON NEED AND OR MERIT. SCU MAKES FINANCIAL AID GRANTS TO STUDENT ACCOUNT TO OFFSET AMOUNTS THAT STUDENTS OWE THE UNIVERSITY FOR TUITION AND FEES. SCHEDULE I, PART III COLUMN (B): THE NUMBERS OF RECIPIENTS ARE OBTAINED FROM OUR STUDENT FINANCIAL ACCOUNTING RECORDS. X X 0 1 X X X X 0 0 0 0 0 0 0 1 0 HERBERT SENDEK HEAD COACH, MEN'S BASKETBALL 683871 0 0 0 42103 0 28500 0 71542 0 826016 0 0 0 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 485303 0 184160 0 8105 0 28500 0 28033 0 734101 0 0 0 LISA KLOPPENBERG ACTING PRESIDENT 427072 0 0 0 28085 0 28343 0 38053 0 521553 0 0 0 JIM LYONS VP FOR UNIVERSITY RELATIONS 367683 0 15000 0 78134 0 26998 0 27953 0 515768 0 0 0 RENE BAUMGARTNER EXECUTIVE DIRECTOR, ATHLETICS 339325 0 40000 0 17978 0 26031 0 48595 0 471929 0 0 0 DONALD HEIDER EXECUTIVE DIRECTOR 357018 0 0 0 74536 0 26266 0 5217 0 463037 0 0 0 JOHN OTTOBONI ASSISTANT SECRETARY, SR. LEGAL COUNS 398839 0 0 0 9267 0 27732 0 20684 0 456522 0 0 0 MICHAEL CROWLEY ASSISTANT TREASURER, VP FINANCE AND 373501 0 0 0 7903 0 26949 0 35986 0 444339 0 0 0 CHINH NGUYEN INVESTMENT DIRECTOR 299626 0 97200 0 24 0 24251 0 11369 0 432470 0 0 0 MEIR STATMAN PROFESSOR 330418 0 0 0 494 0 24303 0 24846 0 380061 0 0 0 ANDREW STARBIRD FORMER DEAN, LEAVEY SCHOOL 267736 0 0 0 158 0 20736 0 30379 0 319009 0 0 0 MOLLY MCDONALD ASSISTANT SECRETARY, CHIEF OF STAFF 238887 0 0 0 9575 0 21035 0 47962 0 317459 0 0 0 CHRIS SHAY ASSISTANT VP FOR UNIVERSITY OPERATIO 238451 0 0 0 36 0 20288 0 26640 0 285415 0 0 0 EVA BLANCO MASIAS VP FOR ENROLLMENT MANAGEMENT 206414 0 10000 0 3611 0 16917 0 21637 0 258579 0 0 0 MIKE SEXTON VP FOR ENROLLMENT MGMT (THRU 06/20) 166462 0 0 0 56903 0 20886 0 11071 0 255322 0 0 0 GODFREY MUNGAL FORMER DEAN OF THE SCHOOL OF ENGINEE 202252 0 0 0 305 0 17374 0 29212 0 249143 0 0 0 JESSICA MATSUMORI ASSISTANT TREASURER, AVP FINANCE 195526 0 0 0 24 0 17831 0 21376 0 234757 0 0 0 MICHAEL ENGH SJ FORMER PRESIDENT 0 0 0 0 32683 0 17216 0 8810 0 58709 0 0 0 PART I, LINE 1A WE PROVIDED FIRST CLASS TRAVEL TO EMPLOYEES FOR INTERNATIONAL TRAVEL IN ACCORDANCE WITH OUR POLICY. NO PORTION IS TAXABLE TO THE EMPLOYEE. WE PROVIDED GOLF CLUB MEMBERSHIPS TO THREE INDIVIDUALS WHO HAVE RESPONSIBILITIES FOR FUNDRAISING. THERE IS NO WRITTEN POLICY REGARDING GOLF MEMBERSHIPS. THE UNIVERSITY HAS PROCEDURES IN PLACE TO INSURE NO PERSONAL CHARGES ARE REIMBURSED. NO PORTION IS TAXABLE TO THE EMPLOYEE. PART I, LINE 7 JOHN KERRIGAN, JIM LYONS, EVA BLANCO MASIAS, RENE BAUMGARTNER, CHINH NGUYEN RECEIVED BONUS PAYMENTS FOR THEIR SERVICES AND PERFORMANCE DURING THE FISCAL YEAR. PRESIDENT'S COMPENSATION: THE PRESIDENT OF THE UNIVERSITY THROUGH APRIL 2021 IS A MEMBER OF A RELIGIOUS CONGREGATION AND IS SUBJECT TO A VOW OF POVERTY. THE FAIR MARKET VALUE OF THE PRESIDENT'S COMPENSATION FOR HIS SERVICES IS PAID TO THE RELIGIOUS CONGREGATION OF WHICH HE IS A MEMBER. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179BS2 2015-08-28 117173098 SEE PART VI 0 0 0 B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179JX3 2017-08-10 30404213 SEE PART VI 0 0 0 C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179NF7 2017-12-28 63096951 SEE PART VI 0 0 0 D CALIFORNIA MUNICIPAL FINANCE AUTHORITY 201563466 2019-06-12 4875127 SEE PART VI 0 0 0 A 6700000 118724575 681874 59744970 58297730 2018 0 1 1 1 B 31399191 146330 31249613 3337 0 1 0 1 C 64096549 3221316 426308 60439062 9900 0 0 0 1 D 800000 4875127 45127 4830000 2019 0 1 0 1 A 0 1 1 1 1 1 0.00100 0.00100 0 0 1 B 0 0 0 0 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0 0 1 D 0 0 0 0 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 C 0 1 0 0 0 0 0 0 1 D 0 1 1 0 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K, PART I, COLUMN (F), ROW A FINANCE CONSTRUCTION AND IMPROVEMENTS OF CERTAIN FACILITIES, ADVANCE REFUND PRIOR BOND, AND PAY COST OF ISSUANCE. THE PROCEEDS OF THIS BOND ISSUE WERE USED TO REFUND A PORTION OF THE BORROWER'S SERIES 2008 (ISSUED 12/11/2008). SCHEDULE K, PART I, COLUMN (F), ROW B ADVANCE REFUND PRIOR BONDS AND PAY COSTS OF ISSUANCE. THE PROCEEDS OF THIS BOND ISSUE WERE USED TO REFUND A PORTION OF THE BORROWER'S SERIES 2010 (ISSUED 09/15/2010). SCHEDULE K, PART I, COLUMN (F), ROW C FINANCE THE CONTRUCTION AND IMPROVEMENTS OF CERTAIN FACILITIES AND PAY COSTS OF ISSUANCE. SCHEDULE K, PART I, COLUMN (F), ROW D REFINANCE TAXABLE LOAN AND PAY COSTS OF ISSUANCE. THE PROCEEDS OF THIS BOND ISSUE WERE USED TO REFINANCE THE BORROWER'S TAXABLE LOAN (ISSUED 06/25/2014). SCHEDULE K, PART II, LINE 3 COLUMNS A, B, C - THE DIFFERENCE BETWEEN PART I (E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON INVESTED PROCEEDS. SCHEDULE K, PART III, LINE 7 COLUMNS A, B, C, D - PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. SCHEDULE K, PART IV, LINE 2C, COLUMN A THE 5TH YEAR REBATE REPORT WAS PREPARED BY BLX GROUP LLC ON SEPTEMBER 16, 2020. LISA KLOPPENBERG KEY EMPLOYEE NOTE RECEIVABLE X 250000 111124 0 0 1 JIM LYONS KEY EMPLOYEE NOTE RECEIVABLE X 250000 243213 0 0 1 354337 JAMES LEWIS FAMILY MEMBER OF JOHN (JACK) LEWIS, TRUSTEE 76105 EMPLOYMENT 0 SI 53 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES 1651684 LONG-TERM LEASE 0 SI 23 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES 2979323 LONG-TERM LEASE 0 X 115 3447564 AVERAGE MKT VALUE X EQUIPMENT 1 47960 SELLING PRICE X MISC SUPPLIES 6 37398 SELLING PRICE 1 0 1 1 PART I, COLUMN (B): NUMBER OF CONTRIBUTION PART I, LINE 32B: THE UNIVERSITY USES STOCK BROKERS TO SELL DONATED SECURITIES AND REAL ESTATE BROKERS TO SELL DONATED REAL ESTATE. FORM 990, PART III, LINE 1: SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. STUDENT LEARNING TAKES PLACE AT THE UNDERGRADUATE AND GRADUATE LEVEL IN AN EDUCATIONAL ENVIRONMENT THAT INTEGRATES RIGOROUS INQUIRY AND SCHOLARSHIP, CREATIVE IMAGINATION, REFLECTIVE ENGAGEMENT WITH SOCIETY, AND A COMMITMENT TO FASHIONING A MORE HUMANE AND JUST WORLD. AS AN ACADEMIC COMMUNITY, WE EXPAND THE BOUNDARIES OF KNOWLEDGE AND INSIGHT THROUGH TEACHING, RESEARCH, ARTISTIC EXPRESSION, AND OTHER FORMS OF SCHOLARSHIP. IT IS PRIMARILY THROUGH DISCOVERING,COMMUNICATING, AND APPLYING KNOWLEDGE THAT WE EXERCISE OUR INSTITUTIONAL RESPONSIBILITY AS A VOICE OF REASON AND CONSCIENCE IN SOCIETY, WE OFFER CHALLENGING ACADEMIC PROGRAMS AND DEMONSTRATE A COMMITMENT TO THE DEVELOPMENT OF: 1) UNDERGRADUATE STUDENTS WHO SEEK AN EDUCATION WITH A STRONG HUMANISTIC ORIENTATION IN A PRIMARILY RESIDENTIAL SETTING. 2) GRADUATE STUDENTS, MANY OF THEM WORKING PROFESSIONALS IN SILICON VALLEY, WHO SEEK ADVANCED DEGREE PROGRAMS THAT PREPARE THEM TO MAKE SIGNIFICANT CONTRIBUTIONS TO THEIR FIELDS. IN ADDITION TO THESE CORE PROGRAMS, WE ALSO PROVIDE A VARIETY OF CONTINUING EDUCATION AND PROFESSIONAL DEVELOPMENT OPPORTUNITIES FOR NON-MATRICULATED STUDENTS. FORM 990, PART VI, SECTION A, LINE 2 - LARRY W. SONSINI AND ROBERT J. FINOCCHIO HAVE A BUSINESS RELATIONSHIP. - JOHN A. SOBRATO AND JOHN M. SOBRATO HAVE A FAMILY AND BUSINESS RELATIONSHIP. - BETSY RAFAEL AND ROBERT FINOCCHIO HAVE A BUSINESS RELATIONSHIP. -ERICK BERRELLEZA, S.J. AND WILLIAM (BILL) P. LEAHY, S.J. HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11B THE BOARD OF TRUSTEES HAS DELEGATED THE REVIEW OF THE FORM 990 TO THE AUDIT COMMITTEE. THE ORGANIZATION'S CONTROLLER'S OFFICE WORKED CLOSELY WITH THE OUTSIDE ACCOUNTING FIRM IT ENGAGED TO PREPARE THE RETURN. INFORMATION FOR THE RETURN WAS ALSO OBTAINED THROUGH DISCUSSIONS WITH SENIOR ADMINISTRATION AND THE GENERAL COUNSEL. THE AUDIT COMMITTEE ALSO MET WITH THE CONTROLLER'S OFFICE AND THE ACCOUNTING FIRM HIRED TO PREPARE THE FORM 990 AND THE RETURN WAS ACCEPTED. THE FINAL DRAFT WAS PROVIDED TO THE ENTIRE VOTING BOARD BEFORE THE RETURN WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF TRUSTEES HAS A CONFLICT OF INTEREST POLICY AS PART OF THE BYLAWS. THE ASSISTANT TREASURER IS RESPONSIBLE FOR MONITORING POTENTIAL CONFLICT OF INTEREST. ANNUALLY, A QUESTIONNAIRE IS SENT TO THE BOARD OF TRUSTEES, OFFICERS AND KEY EMPLOYEES ASKING FOR ANY POSSIBLE BUSINESS OR PERSONAL CONNECTION TO THE ORGANIZATION THAT MAY CAUSE A POTENTIAL CONFLICT. THE PROCEDURES FOR ADDRESSING ANY CONFLICT OF INTEREST INCLUDES, BUT IS NOT LIMITED TO, THE FOLLOWING: (1) THE CONFLICTING INTEREST IS FULLY DISCLOSED TO THE PRESIDENT AND BOARD; (2) THE INTERESTED PERSON RESPONDS TO FACTUAL QUESTIONS RELATED TO THE SUBSTANCE OF THE TRANSACTION OR ARRANGEMENT BEING CONSIDERED, AFTER WHICH HE/SHE SHALL LEAVE THE MEETING; (3) THE PERSON WITH THE CONFLICT OF INTEREST IS EXCLUDED FROM THE DISCUSSION AND APPROVAL OF SUCH TRANSACTION; (4) ALTERNATIVES TO THE PROPOSED TRANSACTION ARE INVESTIGATED, COMPETITIVE BIDS OR COMPARABLE VALUATIONS ARE OBTAINED; (5) THE TRANSACTION OR ACTION MUST BE APPROVED BY A MAJORITY OF DISINTERESTED PERSONS. FORM 990, PART VI, SECTION B, LINE 15A THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES HAS THE AUTHORITY TO REVIEW AND DETERMINE THE PRESIDENT'S COMPENSATION. DISCUSSIONS OF THE PRESIDENT'S COMPENSATION WERE DOCUMENTED IN THE MINUTES OF MEETINGS OF THE EXECUTIVE COMMITTEE. THE COMPENSATION OF THE PROVOST AND VICE PRESIDENTS ARE DETERMINED BY THE PRESIDENT. OTHER KEY EMPLOYEES' COMPENSATION IS DETERMINED BY THE RESPECTIVE VICE PRESIDENT OR PROVOST. IN ALL CASES, COMPARABLE DATA FROM SIMILAR ORGANIZATIONS AND POSITIONS WERE USED TO DETERMINE COMPENSATION LEVELS. THIS INFORMATION COMES FROM INDEPENDENT SURVEY DATA. EACH EMPLOYEE'S COMPENSATION IS DOCUMENTED IN THEIR RESPECTIVE PERSONNEL FILES AND THEY ARE PERSONALLY NOTIFIED OF ANY CHANGES IN COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 WHILE FEDERAL TAX LAWS DO NOT MANDATE THAT THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS BE MADE AVAILABLE FOR PUBLIC INSPECTION, THE ORGANIZATION MAKES ITS CONFLICT OF INTEREST POLICY AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: LOSS ON UNCOLLECTIBLE PLEDGES -528,103. 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