2022-05-05T12:18:13-05:00 2021-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2020-07-01 250969449 CARNEGIE MELLON UNIVERSITY CARN 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 ANGELA BLANTON VP FOR FINANCE & CFO 4122681358 2022-04-26 1 ANGELA BLANTON 999009999 SUSAN M KIRSCH P00341397 4122613644 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z FARNAM JAHANIAN 5000 FORBES AVENUE PITTSBURGH PA 15213 3584932041 0 X WWW.CMU.EDU X 1900 PA HIGHER EDUCATION AND RESEARCH. 46 41 14425 43 2595829 0 615553392 913966188 875395346 824075050 347888541 207806396 11294282 16192695 1850131561 1962040329 219013954 233067278 0 0 858436760 858622577 657729 481949 27617796 360380521 291559815 1438488964 1383731619 411642597 578308710 4726328922 6284436792 1134442763 1167435858 3591886159 5117000934 X TO CREATE A TRANSFORMATIVE EDUCATIONAL EXPERIENCE FOR STUDENTS FOCUSED ON DEEP DISCIPLINARY KNOWLEDGE; PROBLEM SOLVING; LEADERSHIP, COMMUNICATION, AND INTERPERSONAL SKILLS; AND PERSONAL HEALTH AND WELL-BEING.TO CULTIVATE A TRANSFORMATIVE UNIVERSITY COMMUNITY COMMITTED TO (A) ATTRACTING AND RETAINING DIVERSE, WORLD-CLASS TALENT; (B) CREATING A COLLABORATIVE ENVIRONMENT OPEN TO THE FREE EXCHANGE OF IDEAS, WHERE RESEARCH, CREATIVITY, INNOVATION, AND ENTREPRENEURSHIP CAN FLOURISH; AND (C) ENSURING INDIVIDUALS CAN ACHIEVE THEIR FULL POTENTIAL.TO IMPACT SOCIETY IN A TRANSFORMATIVE WAY - REGIONALLY, NATIONALLY, AND GLOBALLY - BY ENGAGING WITH PARTNERS OUTSIDE THE TRADITIONAL BORDERS OF THE UNIVERSITY CAMPUS. 0 0 749117496 204906439 784308262 INSTRUCTION:CARNEGIE MELLON IS A HYBRID OF A TECHNICAL INSTITUTE, FINE-ARTS CONSERVATORY AND TRADITIONAL RESEARCH UNIVERSITY, HAVING EVOLVED IN RESPONSE TO EMERGING SOCIAL NEEDS AND INTELLECTUAL DEVELOPMENT OF THE PAST CENTURY. UNITING TECHNOLOGY AND ARTS, FUSING THE PRACTICAL WITH THE IMAGINATIVE, MAINTAINING ITS EDUCATIONAL EMPHASIS ON DEVELOPING SKILLS TO SOLVE PROBLEMS.INCLUDES 7 COLLEGES AND SCHOOLS OFFERING DEGREE PROGRAMS AND MORE THAN 100 MAJORS AND MINORS TO APPROXIMATELY 14,190 UNDERGRADUATES, GRADUATES AND DOCTORAL STUDENTS. INSTRUCTION INCLUDES ACADEMIC SUPPORT AND STUDENT SERVICES.CARNEGIE MELLON HAS ITS MAIN CAMPUS IN PITTSBURGH, SATELLITE CAMPUSES IN SILICON VALLEY AND DOHA, QATAR, AND DEGREE-GRANTING PROGRAMS IN COORDINATION WITH GLOBAL PROGRAMS INCLUDING AUSTRALIA, JAPAN, PORTUGAL, RWANDA, SINGAPORE AND THAILAND.NATIONALLY AND GLOBALLY, CARNEGIE MELLON HAS BECOME A MAJOR VOICE OF CONNECTIVITY IN TECHNOLOGY, EXPANSION OF EDUCATIONAL OPPORTUNITY AND ECONOMIC DEVELOPMENT. 371113042 28160839 0 RESEARCH:CARNEGIE MELLON HOLDS A PROUD VISION OF ITSELF AS A DISTINCTIVE AND DIFFERENT KIND OF RESEARCH UNIVERSITY WHERE NATIONALLY RECOGNIZED PROGRAMS FROM ACROSS THE LEADING DISCIPLINES, FROM COMPUTING AND ENGINEERING TO FINE ARTS, INTERSECT. IT IS A DECENTRALIZED COMMUNITY OF SCIENTISTS AND INTELLECTUALS, ARTISTS AND POLICYMAKERS, BUSINESS EXPERTS AND POETS. THE DIVERSE AND DECENTRALIZED COMMUNITY THAT CHARACTERIZES CARNEGIE MELLON CULTURE RESTS ON A SET OF CORE UNDERPINNINGS AND A STRONG COMMITMENT TO REAL-WORLD PROBLEM SOLVING, INTERDISCIPLINARY COLLABORATION AND HARD WORK, COMBINED WITH JOIE DE VIVRE.EACH OF THESE REQUIRES CONNECTIONS AMONG ENGINEERING, SCIENCE, POLICY AND MANAGEMENT, AND THE ARTS. BASIC RESEARCH IS PERFORMED IN ALL 7 COLLEGES AND SCHOOLS AND THE SOFTWARE ENGINEERING INSTITUTE. CARNEGIE MELLON IS ALSO THE HOME OF NUMEROUS RESEARCH INSTITUTES AND CENTERS FOCUSING ON SOME OF THE WORLD'S GREATEST CHALLENGES.CARNEGIE MELLON'S RESEARCH-INTENSIVE ENVIRONMENT PROVIDES A RICH SETTING FOR THE UNIVERSITY'S EDUCATIONAL OFFERINGS AND ASPIRATIONS. THE SEARCH FOR NEW KNOWLEDGE AND A SPIRIT OF ONGOING CRITICAL INQUIRY ARE THE IDEALS THAT PERMEATE ITS APPROACH TO TEACHING AND ITS EXPECTATIONS FOR WHAT STUDENTS WILL ACHIEVE. 96650233 0 26906095 AUXILIARY SERVICES:SERVICES TO SUPPORT THE INSTRUCTION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. THESE SERVICES INCLUDE BUT ARE NOT LIMITED TO HOUSING, DINING SERVICES, PARKING, BOOKSTORE, PRINTING, TELECOMMUNICATIONS, AND OTHER SERVICES RELATED TO THE DELIVERY OF EDUCATION. 15288111 0 12860693 OTHER PROGRAM SERVICES:OTHER FEES AND MEMBERSHIPS, EXTERNAL SUPPORT AND SERVICES AND OTHER MISCELLANEOUS PROGRAM SERVICE REVENUE THAT SUPPORTS THE INSTRUCTION, RESEARCH, AND AUXILIARY FUNCTIONS OF THE UNIVERSITY. 15288111 0 12860693 1232168882 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 1 1 1 0 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 22435 0 1 14425 1 1 1 1 AS QA RW 0 0 0 1 1 1 1 0 0 0 1 0 X 46 41 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 PA X CARRIE NELSON 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 X EDWARD GREFENSTETTE VOTING TRUSTEE (PRES/CEO, DIETRICH FDN) 1.00 50.00 X 0 1618408 1420877 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 50.00 0.50 X 857091 0 780609 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 50.00 3.00 X X 1260567 15000 46822 MICHAEL TRICK DEAN, QATAR CAMPUS 50.00 0.00 X 995727 0 69085 SCOTT MORY VP FOR UNIV ADV. & INT V.P. FOR MARKET & COMM 50.00 0.00 X 743673 0 30557 VIJAYAKUMAR BHAGAVATULA DIRECTOR, CMU-AFRICA 50.00 0.00 X 702298 0 34070 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 50.00 0.00 X 651745 0 41328 JEFFER CHOUDHRY SENIOR MANAGING DIRECTOR-HEAD OF INVEST 50.00 0.00 X 594822 0 97614 ROBERT DAMMON PROFESSOR OF FINANCE 50.00 0.00 X 647247 0 41897 JAMES H GARRETT PROVOST & CAO 50.00 0.20 X 634038 0 42941 PAUL D NIELSEN DIRECTOR & CEO, SEI 50.00 0.00 X 630251 0 29557 MARY JO DIVELY VPGENCOUN & SEC. OF THE CORP. (AS OF 1/21) 50.00 0.20 X 577485 0 46742 J MICHAEL MCQUADE V.P. FOR RESEARCH 50.00 0.00 X 578739 0 43658 WILLIAM SANDERS PROF DEAN COLLEGE OF ENGINEERING 50.00 0.00 X 537063 0 53769 RODNEY MCCLENDON FORMER OFFICER 0.00 0.00 X 548855 0 28444 JONATHAN CAGAN FORMER KE/PROFESSOR 50.00 0.00 X 375807 0 164554 MARTIAL HEBERT PROF DEAN SCHOOL OF COMPUTER SCIENCE 50.00 0.00 X 469434 0 53633 ANGELA BLANTON V.P. OF FINANCE & CFO 50.00 2.00 X 428462 0 45812 DARYL WEINERT V.P. FOR OPERATIONS 50.00 0.00 X 397583 0 62719 STAN WADDELL VP FOR INFO TECH & CHIEF INFO OFF.(AS OF 2/21) 50.00 0.00 X 335839 0 81143 CATHY A LIGHT SEC OF THE CORP. & ADV. TO PRES(EXITED 12/20) 50.00 0.00 X 346670 0 42417 JOHN LEHOCZKY EX-OFFICIO TRUSTEE/PROFESSOR 50.00 1.00 X 339443 0 47014 LAURIE WEINGART FORMER OFFICER/PROFESSOR 50.00 0.00 X 329562 0 44469 TOM MITCHELL FORMER KE/PROFESSOR 50.00 0.00 X 325660 0 38380 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 50.00 0.00 X 335489 0 27030 KEY NUTTALL FORMER OFFICER 0.00 0.00 X 296440 0 25837 CARRIE NELSON ASSISTANT TREASURER 50.00 1.10 X 285886 0 26821 JOHN DOLAN TREASURER 50.00 0.00 X 227532 0 39439 JAMES E ROHR CHAIRMAN/VOTING TRUSTEE 5.00 1.00 X X 0 15000 0 PAULA KAUFFMAN WAGNER VOTING TRUSTEE/ADJUNCT INSTRUCTOR 0.50 0.00 X 3000 0 0 EDWARD H FRANK VICE CHAIRMAN/VOTING TRUSTEE 1.00 0.00 X X 0 0 0 TOD S JOHNSON VICE CHAIRMAN/VOTING TRUSTEE 0.50 0.00 X X 0 0 0 JOEL P ADAMS VOTING TRUSTEE 5.00 0.00 X 0 0 0 LANE M BESS VOTING TRUSTEE 0.50 0.00 X 0 0 0 RONALD BIANCHINI JR VOTING TRUSTEE 1.00 1.00 X 0 0 0 KEITH BLOCK VOTING TRUSTEE 1.20 0.00 X 0 0 0 FRANK BRUNCKHORST VOTING TRUSTEE 2.00 0.00 X 0 0 0 ERIC COOPER VOTING TRUSTEE 0.00 0.00 X 0 0 0 DAVID COULTER VOTING TRUSTEE 2.00 0.00 X 0 0 0 RUSSELL CROCKETT VOTING TRUSTEE 0.25 0.25 X 0 0 0 JEANNE CUNICELLI VOTING TRUSTEE 1.35 0.00 X 0 0 0 SHRINIVAS V DEMPO VOTING TRUSTEE 0.27 0.00 X 0 0 0 GLEN DE VRIES VOTING TRUSTEE 1.00 0.00 X 0 0 0 LINDA A DICKERSON VOTING TRUSTEE 2.00 0.00 X 0 0 0 FRANCISCO B D'SOUZA VOTING TRUSTEE 3.00 0.00 X 0 0 0 HOWARD L ELLIN VOTING TRUSTEE 5.00 0.00 X 0 0 0 YOSHIAKI FUJIMORI VOTING TRUSTEE 1.00 0.00 X 0 0 0 ERIC GILER VOTING TRUSTEE 1.50 0.00 X 0 0 0 IRA J GUMBERG VOTING TRUSTEE 1.00 0.00 X 0 0 0 JEFFREY HOUSENBOLD VOTING TRUSTEE 2.00 0.00 X 0 0 0 TORRENCE M HUNT JR VOTING TRUSTEE 1.50 0.00 X 0 0 0 LARRY E JENNINGS JR VOTING TRUSTEE 3.00 0.00 X 0 0 0 THERESA KAIL-SMITH EX-OFFICIO TRUSTEE 0.00 0.00 X 0 0 0 RAYMOND J LANE VOTING TRUSTEE 1.00 0.00 X 0 0 0 BRUCE M MCWILLIAMS VOTING TRUSTEE 1.00 0.00 X 0 0 0 ANNE M MOLLOY VOTING TRUSTEE 2.25 0.00 X 0 0 0 MAYOR WILLIAM PEDUTO EX-OFFICIO TRUSTEE 0.50 0.00 X 0 0 0 DAVID L PORGES VOTING TRUSTEE 2.00 0.00 X 0 0 0 JOHN PRANZATELLI EX-OFFICIO TRUSTEE 0.60 0.80 X 0 0 0 JONATHAN M ROTHBERG VOTING TRUSTEE 1.00 0.00 X 0 0 0 AJIT SHETTY VOTING TRUSTEE 2.00 0.00 X 0 0 0 J LEA HILLMAN SIMONDS VOTING TRUSTEE 1.00 0.00 X 0 0 0 MANOJ P SINGH VOTING TRUSTEE 0.00 3.00 X 0 0 0 LUKE SKURMAN VOTING TRUSTEE 2.00 0.00 X 0 0 0 CHRISTOPHER STENGEL EX-OFFICIO TRUSTEE 0.50 0.00 X 0 0 0 LIP-BU TAN VOTING TRUSTEE 0.50 0.50 X 0 0 0 DAVID A TEPPER VOTING TRUSTEE 5.00 5.00 X 0 0 0 THOMAS TULL VOTING TRUSTEE 2.00 0.00 X 0 0 0 TAMARA TUNIE VOTING TRUSTEE 0.25 0.00 X 0 0 0 MARY ANN ULISHNEY VOTING TRUSTEE 1.50 0.00 X 0 0 0 MICHAEL ZAMAGIAS VOTING TRUSTEE 1.00 1.00 X 0 0 0 14456408 1648408 3507238 1790 1 1 0 PJ DICK INC 225 NORTH SHORE DRIVE PITTSBURGH PA 15212 CONSTRUCTION 17649606 MASCARO CONSTRUCTION CO LP 1720 METROPOLITAN STREET PITTSBURGH PA 15233 CONSTRUCTION 16760536 RYCON CONSTRUCTION 2525 LIBERTY AVENUE PITTSBURGH PA 15222 CONSTRUCTION 13308692 JENDOCO CONSTRUCTION CORP 2000 LINCOLN ROAD PITTSBURGH PA 15235 CONSTRUCTION 12625622 ARAMARK CORP 5001 GREAT AMERICA PKWY SANTA CLARA CA 95054 CLEANING SERVICES 12336677 169 21280741 383015834 509669613 12208644 913966188 TUITION 900099 784308262 784308262 AUXILIARY SERVICES 611710 26906095 26641507 264588 OTHER PROGRAM SERVICES 900099 12860693 12860693 824075050 26193668 2299813 23893855 11410504 11410504 2644279 232885 2411394 2411394 31428 2379966 1802815017 1623222553 -2020264 179592464 2020264 181612728 181612728 3827335 1456538 2370797 2370797 1962040329 823810462 2595829 221667850 28160839 28160839 184413317 184413317 20493122 20493122 10352564 2330331 6423848 1598385 1915932 955706 949258 10968 688655169 628949634 42784496 16921039 40974993 34275589 5426502 1272902 79812898 69881972 7257729 2673197 36911021 30678491 5058316 1174214 6122113 3903095 2209077 9941 1926145 97980 1828165 408991 408991 481949 481949 8101596 8101596 25657474 17225165 7544837 887472 2326970 1294210 1032760 7406041 3646605 3076878 682558 25661741 20930879 3261683 1469179 2589832 2589832 60444077 53313756 7124584 5737 1982729 1489940 484904 7885 409 409 3214740 2718553 443434 52753 12059166 11488824 570342 79465591 74622263 4843328 3613064 3145620 465711 1733 INFORMATION RESOURCES 9446050 9227067 126530 92453 NON-CAPITAL EQUIPMENT 5262056 3269109 1973083 19864 FOOD SERVICE OPERATIONS 4197008 3885585 311423 FABRICATED EQUIPMENT 3504118 3492562 11556 28169904 15279436 12634901 255567 1383731619 1232168882 123944941 27617796 78131 78693 609429131 692371466 182987869 337747297 29365198 39884291 60000 60000 1862136 1665565 13197785 15423581 2239486597 1077577531 1122845387 1161909066 1297495773 1746661672 1280378268 2124288646 188629244 164346515 4726328922 6284436792 167434150 198142290 146312728 173042131 512166153 496987337 153569248 162184808 154960484 137079292 1134442763 1167435858 X 1624741418 2058885417 1967144741 3058115517 3591886159 5117000934 4726328922 6284436792 X 578308710 934988543 11817522 X X 0 1 X 1 1 1 X 510891368 529488222 535341387 612326605 921966188 3110013770 510891368 529488222 535341387 612326605 921966188 3110013770 318043541 2791970229 35331914 47890815 58028833 47697739 40248451 229197752 3339211522 4216679486 0.83610 0.92510 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 408991 408991 408991 408991 1384530102 1385510165 1384939093 1385919156 1000000 1000000 250000 250000 0 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 512907 501696 485004 408991 1908598 250000 250000 250000 250000 1000000 1500000 0 5293727 X X X 0 2067357168 216973683 906059029 21191800 73125703 6057337 3090015040 2000803747 55715841 102387595 19689081 66445609 5415325 2067357168 1885377148 58617910 142695818 18523816 62487829 4875484 2000803747 1718307698 62328699 185715245 17218702 59313091 4442701 1885377148 1304489016 294312444 187094434 16158853 48286429 3142904 1718307698 0.18360 0.37110 0.44530 0 1 1 55767484 55767484 1594163006 738539680 855623326 35075302 21271592 13803710 333983686 240748177 93235509 220497119 77018082 143479037 1161909066 REAL ESTATE 129205799 F VENTURE CAP. & PRIV. EQ 1286549923 F AGGRESSIVE, DISTRESSED & ARBITRAGE FIXED INCOME 19400923 F NATURAL RESOURCES 125983137 F HEDGE FUNDS 283016921 F LOCAL REGION 5909003 F EMERGING MARKET 274222940 F 2124288646 CONTRACT RETENTIONS 4220499 GATE STUDENT LOAN PROGRAM 101837 ASSET RETIREMENT OBLIGATION-FIN 47 5047372 FEDERAL LOAN PROGRAMS & STUDENT DEPOSITS 7788381 PRESENT VALUE OF ANNUITIES DUE 15810761 SWAP AGREEMENTS/CONTRACTS 29659492 FEDERAL, STATE, AND LOCAL TAXES PAYABLE 232297 MISC. OTHER LIABILITIES 122602 PV ANNUITIES FOR PROPERTY ACQS 1212896 RIGHT OF USE LIABILITY 72850651 AGENCY FUNDING 32504 137079292 X 2756414576 934988543 15047270 33106182 983141995 1773272581 8101596 180666152 188767748 1962040329 1230607634 15047270 20419951 35467221 1195140413 8101596 180489610 188591206 1383731619 PART III, LINE 4: CARNEGIE MELLON UNIVERSITY MAINTAINS VARIOUS COLLECTIONS INCLUDING COLLECTIONS OF ART, HISTORIC ARTIFACTS, AND OTHER SIMILAR ASSETS TO SUPPORT THE EDUCATION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. PART V, LINE 4: THE CARNEGIE MELLON ENDOWMENT IS A COLLECTION OF INDIVIDUAL FUNDS PRIMARILY ESTABLISHED BY DONORS AND MANAGED BY THE UNIVERSITY AS A POOLED SET OF ASSETS. IN ACCORDANCE WITH THE PENNSYLVANIA ACT 141 AND DONOR INTENT, THE UNIVERSITY SPENDS A PREDETERMINED PORTION OF THE ENDOWMENT INCOME EACH YEAR ON FACULTY SUPPORT, STUDENT SUPPORT, AND GENERAL UNIVERSITY SUPPORT. PART X, LINE 2: CARNEGIE MELLON UNIVERSITY IS A NONPROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE "CODE") AND IS GENERALLY EXEMPT FROM INCOME TAXES ON RELATED INCOME PURSUANT TO SECTION 501(A) OF THE CODE. THE UNIVERSITY ACCOUNTS FOR UNCERTAINTIES IN INCOME TAXES IN ACCORDANCE WITH AUTHORITATIVE GUIDANCE, WHICH PRESCRIBES A RECOGNITION THRESHOLD OF MORE-LIKELY-THAN-NOT TO BE SUSTAINED UPON EXAMINATION BY THE APPROPRIATE TAXING AUTHORITY. MEASUREMENT OF THE TAX UNCERTAINTY OCCURS IF THE RECOGNITION THRESHOLD HAS BEEN MET. MANAGEMENT DETERMINED THERE WERE NO TAX UNCERTAINTIES THAT MET THE RECOGNITION THRESHOLD AT JUNE 30, 2021 AND 2020. THE UNIVERSITY'S FEDERAL EXEMPT ORGANIZATION BUSINESS INCOME TAX RETURNS REMAIN SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE FOR THE YEARS SUBSEQUENT TO JUNE 30, 2016. THE UNIVERSITY'S POLICY IS TO RECOGNIZE INTEREST RELATED TO UNRECOGNIZED TAX BENEFITS IN INTEREST EXPENSE AND PENALTIES IN OPERATING EXPENSES. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 1,456,538. SUBSIDIARY REVENUE 18,945,372. RENTAL EXPENSE 232,885. CHANGE IN SWAP VALUE NET OF INTEREST EXP 4,362,496. TRANSLATION ADJUSTMENT & OTHER 108,891. GAIN FROM ADJUSTMENTS OF PLEDGES RECEIVABLE 8,000,000. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 178,778,378. LOSS ON SALE OF ASSETS 1,818,536. LAMME DISTRIBUTION 69,238. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 1,456,538. SUBSIDIARY EXPENSE 18,730,528. RENTAL EXPENSE 232,885. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 178,778,378. TRANSLATION ADJUSTMENT & OTHER -107,304. LOSS ON SALE OF ASSETS 1,818,536. PART XII: RECONCILIATION OF REVENUE PER AUDITED FINANCIAL STATEMENTS WITH REVENUE PER RETURN AND PART XIII - RECONCILIATION OF EXPENSES PER AUDITED FINANCIAL STATEMENTS WITH EXPENSES PER RETURN: LINE 1 OF EACH PART RESPECTIVELY CONSISTS OF CONSOLIDATED NUMBERS FROM THE AUDITED FINANCIAL STATEMENTS AND RECONCILES TO THE STAND-ALONE (SEPARATE BASIS) REVENUE AND EXPENSES AS REPORTED ON THE FORM 990, PART I, LINE 12. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE NON-DISCRIMINATORY POLICY AND STATEMENT OF ASSURANCE APPEARS ON PRINTED MATERIALS USED TO COMMUNICATE WITH PROSPECTIVE AND CURRENT STUDENTS AS WELL AS EMPLOYEES OF CARNEGIE MELLON UNIVERSITY. ADDITIONALLY, THE STATEMENT OF ASSURANCE CAN BE FOUND ON CMU'S WEBSITE. SCHEDULE E, PART I, LINE 6 MONETARY GRANTS WERE RECEIVED FROM FEDERAL AND STATE AGENCIES TO PROVIDE ASSISTANCE TO STUDENTS ATTENDING CARNEGIE MELLON UNIVERSITY. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 892255 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 11936562 SUB-SAHARAN AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 6054431 EAST ASIA AND THE PACIFIC 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 1126209 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 479837 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 3828 EAST ASIA AND THE PACIFIC 1 149 PROGRAM SERVICES EDUCATION 3954444 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES EDUCATION 132369 MIDDLE EAST AND NORTH AFRICA 1 390 PROGRAM SERVICES EDUCATION 47582620 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES EDUCATION 102187 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 17732 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 7460 SUB-SAHARAN AFRICA 1 327 PROGRAM SERVICES EDUCATION 9576358 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PORTFOLIO INVESTMENTS 1015999164 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PORTFOLIO INVESTMENTS 162479454 SUB-SAHARAN AFRICA 0 0 PORTFOLIO INVESTMENTS 32109122 EAST ASIA AND THE PACIFIC 0 0 PORTFOLIO INVESTMENTS 20086931 NORTH AMERICA 0 0 PORTFOLIO INVESTMENTS 19475979 1 149 2 717 3 866 24579935 1307437007 1332016942 EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACTS 772389 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A MIDDLE EAST AND NORTH AFRICA SUBCONTRACTS 280017 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES SUBCONTRACTS 476537 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A EAST ASIA AND THE PACIFIC SUBCONTRACTS 30881 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A 10 6 STUDENT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 80 1095328 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A STUDENT SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 234 11656545 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A STUDENT SCHOLARSHIPS SUB-SAHARAN AFRICA 148 6054431 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A STUDENT SCHOLARSHIPS EUROPE (INCLUDING ICELAND & GREENLAND) 18 119865 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A STUDENT SCHOLARSHIPS NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 15 3300 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT 0 N/A N/A 1 0 1 1 1 1 PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO STUDENTS AT ITS INTERNATIONAL LOCATIONS PURSUANT TO A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. THESE FUNDS ARE MONITORED BY THE OFFICE OF SPONSORED PROJECTS AND SPONSORED PROJECTS ACCOUNTING. 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MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. FOR STUDENTS, SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. OTHER TYPES OF GRANTS AND ASSISTANCE MIGHT INCLUDE, FOR EXAMPLE, RECIPIENTS OF PRIZES AND AWARDS WHO HAVE MET THE SPECIFIC CRITERIA FOR THE PARTICULAR PRIZE OR AWARD TO BE SELECTED. IN THE CASE OF SCHOLARSHIPS AND FELLOWSHIPS, THE RECIPIENT IS OFTEN REQUIRED TO UTILIZE THE FUNDS IN FURTHERANCE OF THEIR EDUCATION AND RESEARCH AT CMU. GRANTS ARE ALSO MADE IN THE CONTEXT OF ACADEMIC OR RESEARCH PROGRAMS AND RECIPIENTS SPEND THEIR GRANT FUNDS UNDER THE SUPERVISION OF THE PROGRAM FOR THE USE OF THE FUNDS. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. FUNDS ARE SPENT UNDER THE SUPERVISION OF THE PRINCIPAL INVESTIGATORS AND ARE ACCOUNTABLE TO FEDERAL AND SPONSOR TERMS AND CONDITIONS. X X X X X X X 1 1 X X X X X X 1 1 0 0 0 0 0 1 0 EDWARD GREFENSTETTE VOTING TRUSTEE (PRES/CEO, DIETRICH FDN) 0 675000 0 800000 0 143408 0 1389887 0 30990 0 3039285 0 938468 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 482133 0 332452 0 42506 0 720764 0 59845 0 1637700 0 181476 0 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 962596 15000 150000 0 147971 0 22800 0 24022 0 1307389 15000 0 0 MICHAEL TRICK DEAN, QATAR CAMPUS 429002 0 0 0 566725 0 22800 0 46285 0 1064812 0 0 0 SCOTT MORY VP FOR UNIV ADV. & INT V.P. FOR MARKET & COMM 597432 0 100000 0 46241 0 22800 0 7757 0 774230 0 100000 0 VIJAYAKUMAR BHAGAVATULA DIRECTOR, CMU-AFRICA 334280 0 10000 0 358018 0 22800 0 11270 0 736368 0 0 0 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 600773 0 0 0 50972 0 27873 0 13455 0 693073 0 0 0 JEFFER CHOUDHRY SENIOR MANAGING DIRECTOR-HEAD OF INVEST 354498 0 232477 0 7847 0 90365 0 7249 0 692436 0 0 0 ROBERT DAMMON PROFESSOR OF FINANCE 613094 0 0 0 34153 0 22800 0 19097 0 689144 0 0 0 JAMES H GARRETT PROVOST & CAO 580931 0 0 0 53107 0 22800 0 20141 0 676979 0 0 0 PAUL D NIELSEN DIRECTOR & CEO, SEI 589499 0 0 0 40752 0 22800 0 6757 0 659808 0 0 0 MARY JO DIVELY VPGENCOUN & SEC. OF THE CORP. (AS OF 1/21) 524740 0 0 0 52745 0 22800 0 23942 0 624227 0 0 0 J MICHAEL MCQUADE V.P. FOR RESEARCH 540474 0 0 0 38265 0 22800 0 20858 0 622397 0 0 0 WILLIAM SANDERS PROF DEAN COLLEGE OF ENGINEERING 487500 0 0 0 49563 0 22800 0 30969 0 590832 0 0 0 RODNEY MCCLENDON FORMER OFFICER 198172 0 0 0 350683 0 22255 0 6189 0 577299 0 180971 0 JONATHAN CAGAN FORMER KE/PROFESSOR 310081 0 50000 0 15726 0 24758 0 139796 0 540361 0 0 0 MARTIAL HEBERT PROF DEAN SCHOOL OF COMPUTER SCIENCE 446856 0 0 0 22578 0 27873 0 25760 0 523067 0 0 0 ANGELA BLANTON V.P. OF FINANCE & CFO 397199 0 0 0 31263 0 22800 0 23012 0 474274 0 0 0 DARYL WEINERT V.P. FOR OPERATIONS 355334 0 0 0 42249 0 22800 0 39919 0 460302 0 0 0 STAN WADDELL VP FOR INFO TECH & CHIEF INFO OFF.(AS OF 2/21) 314837 0 0 0 21002 0 22800 0 58343 0 416982 0 0 0 CATHY A LIGHT SEC OF THE CORP. & ADV. TO PRES(EXITED 12/20) 307361 0 0 0 39309 0 22800 0 19617 0 389087 0 0 0 JOHN LEHOCZKY EX-OFFICIO TRUSTEE/PROFESSOR 291062 0 0 0 48381 0 23580 0 23434 0 386457 0 0 0 LAURIE WEINGART FORMER OFFICER/PROFESSOR 293282 0 0 0 36280 0 26432 0 18037 0 374031 0 0 0 TOM MITCHELL FORMER KE/PROFESSOR 302335 0 0 0 23325 0 24024 0 14356 0 364040 0 0 0 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 328795 0 0 0 6694 0 22800 0 4230 0 362519 0 0 0 KEY NUTTALL FORMER OFFICER 130561 0 0 0 165879 0 11807 0 14030 0 322277 0 0 0 CARRIE NELSON ASSISTANT TREASURER 282736 0 0 0 3150 0 22800 0 4021 0 312707 0 0 0 JOHN DOLAN TREASURER 227304 0 0 0 228 0 19122 0 20317 0 266971 0 0 0 PART I, LINE 1A ALL ITEMS CHECKED IN LINE 1A ARE PROVIDED TO OR FOR A PERSON LISTED IN FORM 990, PART VII TO FURTHER THE BUSINESS, EDUCATIONAL, AND RESEARCH MISSION OF THE UNIVERSITY PURSUANT TO FEDERAL TAX REGULATIONS, IRS ACCOUNTABLE PLAN RULES, AND THE UNIVERSITY'S POLICIES AND PROCEDURES. NONTAXABLE BENEFITS DISCLOSED IN COLUMN D INCLUDE, FOR EXAMPLE, CONTRIBUTIONS TO EMPLOYER HEALTH AND WELFARE PLANS AND QUALIFIED TUITION BENEFITS. PART I, LINES 4A-B FARNAM JAHANIAN PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. THESE BENEFITS ARE REPORTED IN PART II, COLUMN (B). EFFECTIVE JUNE 1, 2020, RODNEY MCCLENDON WAS NO LONGER EMPLOYED BY THE UNIVERSITY. IN CONJUNCTION WITH HIS DEPARTURE, THE UNIVERSITY AND RODNEY MCCLENDON NEGOTIATED SEVERANCE BENEFITS. RODNEY MCCLENDON'S PAID SEVERANCE BENEFITS, TOTALING $271,457 ARE REPORTED IN PART II, COLUMN (B). KEY NUTTALL VOLUNTARILY RESIGNED FROM HIS EMPLOYMENT WITH THE UNIVERSITY EFFECTIVE JUNE 1, 2020 AND, IN CONNECTION WITH HIS SEPARATION, HE RECEIVED SEVERANCE BENEFITS OF $150,000. PART I, LINE 7 ALL BONUSES PAID WERE AWARDED AS A RESULT OF PERFORMANCE AND WERE APPROVED BY THE COMPENSATION COMMITTEE. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RES4 2008-04-10 120820000 REFUNDING 2006A, B & 2007A. SEE PART VI FOR MORE DETAIL 0 0 0 B ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729EKY2 2013-02-14 60529980 REVENUE BONDS TO FINANCE NEW CONSTRUCTION. SEE PART VI FOR MORE DETAIL 0 0 0 C ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMP1 2017-07-19 77823681 REFUNDING 2009 BONDS & TAXABLE COMMERCIAL PAPER NOTES. SEE PART VI FOR MORE 0 0 0 D ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 NONEAVAIL 2017-12-27 50000000 REISSUANCE OF 2012B BONDS. SEE PART VI FOR MORE DETAIL 0 0 0 A 120821573 493831 120327742 1 0 1 1 B 10000000 60575582 36398 463813 60045471 29900 2016 0 0 1 1 C 77839863 341465 77498398 1 0 1 1 D 50000000 50000000 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 1 0 0 0 1 B 0 0 0 1 0 0 0 1 1 C 0 1 1 1 0 0 0 0 1 D 0 1 1 1 1 0 0 0 1 A 1 B 1 C 1 D 1 ENTITY 1: COLUMN A: PART I(F): BONDS CURRENT REFUNDED SERIES 2006AB BONDS (ISSUED DECEMBER 13, 2006) AND SERIES 2007 BONDS (ISSUED MARCH 1, 2007). COLUMN C: PART I(F): THE BONDS CURRENT REFUNDED PORTIONS OF THE SERIES 2009 BONDS (ISSUED AUGUST 20, 2009) AND TAXABLE COMMERCIAL PAPER NOTES (ISSUED FEBRUARY 24, 2015). COLUMN D: PART I(F): THE BONDS REISSUED THE SERIES 2012B BONDS (ISSUED MARCH 1, 2012). COLUMNS A, B C: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMNS A, C, D: PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN D: PART III: BECAUSE PROCEEDS OF THE BONDS WERE USED TO REFUND BONDS ISSUED BEFORE JANUARY 1, 2003, THE ISSUER HAS NOT COMPLETED PART III WITH RESPECT TO THE BONDS. COLUMNS A, B, C: PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY 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. COLUMNS C, D: PART IV, LINE 2(B): THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN A: PART IV, LINE 2(C): THE MOST RECENT REBATE REPORT WAS PREPARED BY THE BORROWER AND DATED APRIL 26, 2013. COLUMN B: PART IV, LINE 2(C): THE MOST RECENT 5TH YEAR REBATE REPORT WAS PREPARED BY BLX ON FEBRUARY 13, 2018. COLUMNS C, D: PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. ENTITY 2: COLUMN A: PART I(F): 2009 BONDS WERE ISSUED ON AUGUST 20, 2009. COLUMNS A, B: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN A: PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMNS A, B: PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY 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. COLUMN A: PART IV, LINE 2(B): THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN A: PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT AND; THEREFORE, NO COMPUTATION HAS BEEN, OR EVER WILL BE, PREPARED FOR THE BONDS. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMX4 2019-01-23 120435248 REFUNDING OF 2009 BONDS. SEE PART VI FOR MORE DETAIL 0 0 0 B ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RNC9 2020-02-05 60806037 REVENUE BONDS TO FINANCE NEW CONSTRUCTION. SEE PART VI FOR MORE DETAIL 0 0 0 A 120495354 418774 120076497 83 1 0 1 1 B 60945658 287917 34868830 25788911 0 0 0 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 1 1 1 1 0 0 0 1 B 0 1 0 0 0 0 0 0 1 A 1 B 1 L SMITH J. GARRETT - CMU OFFICER - BROTHER OF L. SMITH - CMU EMPLOYEE 87219 SEE PART V COMPENSATION FOR ASSOCIATE DIRECTOR OF STUDENT ACCOUNTS 0 L BHAGAVATULA V. BHAGAVATULA - CMU HCE - HUSBAND OF L. BHAGAVATULA 40793 SEE PART V COMPENSATION FOR PROGRAM AMBASSADOR - CMU AFRICA 0 X 222 9022459 FAIR MARKET VALUE X 1 3050000 APPRAISAL X SOFTWARE AND LICENSES 1 100000 FAIR MARKET VALUE X SCIENTIFIC/MUSIC/FITNESS EQPT/OFFICE SUPPLIES 8 32480 FAIR MARKET VALUE X SCHOOL OF DRAMA EVENT 1 2426 COST X TOOLS 1 1279 COST 1 0 1 0 SCHEDULE M, PART I, COLUMN (B): THE NUMBER SHOWN IN COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS CARNEGIE MELLON UNIVERSITY RECEIVED FOR EACH TYPE OF PROPERTY FOR THE YEAR ENDED JUNE 30, 2021. FORM 990, PART VI, SECTION A, LINE 2 JAMES ROHR, EDWARD GREFENSTETTE, AND FARNAM JAHANIAN HAVE A BUSINESS RELATIONSHIP. JOEL P. ADAMS AND EDWARD GREFENSTETTE HAVE A BUSINESS RELATIONSHIP. JOEL P. ADAMS AND JAMES ROHR HAVE A BUSINESS RELATIONSHIP. JOEL P. ADAMS AND DAVID COULTER HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 7A CARNEGIE MELLON HAS SIX EX-OFFICIO TRUSTEES WHO ARE MEMBERS OF THE BOARD OF TRUSTEES BY HOLDING THE FOLLOWING OFFICES: MAYOR OF THE CITY OF PITTSBURGH PRESIDENT OF COUNCIL OF THE CITY OF PITTSBURGH PRESIDENT OF CARNEGIE MELLON UNIVERSITY PRESIDENT OF CARNEGIE MELLON ALUMNI ASSOCIATION PRESIDENT OF THE ANDREW CARNEGIE SOCIETY OF CARNEGIE MELLON CHAIRMAN OF CARNEGIE MELLON FACULTY SENATE EX-OFFICIO TRUSTEES SHALL BE FULL VOTING MEMBERS OF THE BOARD OF TRUSTEES, WITH ALL RIGHTS AND RESPONSIBILITIES THERETO, EXCEPT AS FOLLOWS: THEY SHALL BE WELCOME AT ALL OPEN SESSIONS OF ALL FULL BOARD MEETINGS AND, IF REQUESTED BY THE CHAIR, AT CLOSED EXECUTIVE SESSIONS; AND THE PRESIDENT OF CARNEGIE MELLON UNIVERSITY SHALL HAVE NO VOTING RIGHTS WHEN SERVING AS A MEMBER OF THE AUDIT COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B CARNEGIE MELLON UNIVERSITY'S TAX DEPARTMENT IS RESPONSIBLE FOR GATHERING RELEVANT INFORMATION AND PREPARING THE ANNUAL FORM 990. ONCE THE FORM IS COMPLETE IN DRAFT STATUS, IT IS REVIEWED WITH CARNEGIE MELLON'S INDEPENDENT CERTIFIED PUBLIC ACCOUNTING (CPA) FIRM. UPON COMPLETION OF INDEPENDENT REVIEW BY THE CPA FIRM, THE FORM IS REVIEWED BY THE VICE PRESIDENT FOR FINANCE AND CHIEF FINANCIAL OFFICER, ASSOCIATE VICE PRESIDENT FOR FINANCE AND CONTROLLER, TAX DEPARTMENT AND THEN PROVIDED TO THE AUDIT COMMITTEE FOR APPROVAL. FINALLY, A COMPLETED COPY OF THE FORM IS PROVIDED TO THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO FILING FORM 990 WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CARNEGIE MELLON REQUIRES EACH TRUSTEE, OFFICER, AND MEMBER OF SENIOR MANAGEMENT TO DISCLOSE ANNUALLY THE EXISTENCE OF ANY CIRCUMSTANCES THAT MIGHT CONSTITUTE A CONFLICT OF INTEREST WITH THE INSTITUTION. THE PROCESS IS INITIATED EACH FISCAL YEAR BY THE OFFICE OF THE SECRETARY OF THE CORPORATION SENDING AN ELECTRONIC CONFLICT OF INTEREST QUESTIONNAIRE TO THE ABOVE NOTED INDIVIDUALS. COMPLETED QUESTIONNAIRES ARE RETURNED TO THE SECRETARY OF THE CORPORATION FOR EVALUATION OF ACTUAL OR PERCEIVED CONFLICTS BY THE INSTITUTION, REVIEWED BY THE OFFICE OF GENERAL COUNSEL, AND ANNUAL REPORTING IS PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. ALL OFFICERS AND MEMBERS OF THE BOARD ARE REQUIRED TO DISCLOSE CONFLICTS TO THE SECRETARY OF THE CORPORATION AS THEY ARISE THROUGHOUT THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE ANNUALLY REVIEWS AND RECOMMENDS TO THE EXECUTIVE COMMITTEE FOR APPROVAL THE PRESIDENT'S SALARY, COMPENSATION, AND BENEFIT PACKAGE (TOTAL COMPENSATION), AND REVIEWS AND APPROVES THE TOTAL COMPENSATION OF THE PROVOST, VICE PRESIDENTS, DEANS, OFFICERS AND KEY EMPLOYEES. THE COMMITTEE OBTAINS APPROPRIATE ANALYSES AND STUDIES PREPARED BY THE ADMINISTRATION AND INDEPENDENT EXTERNAL SOURCES WITH RESPECT TO COMPENSATION FOR SIMILAR POSITIONS IN SIMILAR ORGANIZATIONS TO AID IN EVALUATING COMPENSATION AND BENEFIT PLAN LEVELS, PRACTICES AND STRATEGIES TO ENSURE THAT THE UNIVERSITY'S COMPENSATION LEVELS AND PRACTICES ARE COMPARABLE TO SIMILAR ORGANIZATIONS AND APPROPRIATE TO ATTRACT, OBTAIN AND RETAIN QUALIFIED PERSONNEL. THIS INCLUDES REVIEWING SURVEY DATA FOR SIMILAR POSITIONS AMONG A SELECT GROUP OF PEER INSTITUTIONS. THE COMMITTEE SUBMITS ITS RECOMMENDATIONS FOR THE PRESIDENT'S TOTAL COMPENSATION PACKAGE TO THE EXECUTIVE COMMITTEE FOR REVIEW AND APPROVAL. THE EXECUTIVE COMMITTEE RECEIVES AN ANNUAL REPORT FROM THE UNIVERSITY'S COMPENSATION COMMITTEE INCLUDING SIGNIFICANT COMPENSATION AND BENEFIT PLAN POLICY CHANGES. IT REPORTS TO THE FULL BOARD ON THIS AND THE COMPETITIVENESS OF THE UNIVERSITY'S COMPENSATION LEVELS AND BENEFIT PLANS IN RELATION TO PEER INSTITUTIONS. FORM 990, PART VI, SECTION C, LINE 19 CARNEGIE MELLON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE FOR PUBLIC INSPECTION. THE DOCUMENTS ARE AVAILABLE UPON REQUEST OR CAN BE OBTAINED BY VISITING THE WEBSITE AT WWW.CMU.EDU. FORM 990, PART VII, SECTION A, LINE 1A: THE BOARD OF TRUSTEES MAY GRANT THE STATUS OF EMERITUS TRUSTEE TO THOSE MEMBERS WHO HAVE MADE DISTINGUISHED CONTRIBUTIONS TO THE UNIVERSITY AND WHO HAVE ATTAINED AT LEAST AGE 60 OR A MAXIMUM OF AGE 75. THE BOARD OF TRUSTEES MAY, AT ANY TIME OR FROM TIME TO TIME CHANGE THE AGE AT WHICH TRUSTEES MUST BE GRANTED EMERITUS/A STATUS, OR RESIGN FROM THE BOARD. EMERITUS/A TRUSTEES SHALL BE WELCOME AT ALL FULL BOARD MEETINGS; ALL MEETINGS OF THE ADVANCEMENT, EDUCATIONAL AFFAIRS AND ENROLLMENT, AND RESEARCH, INNOVATION AND ENTREPRENEURSHIP COMMITTEES OF THE BOARD OF TRUSTEES; SHALL RECEIVE ALL NOTICES, MINUTES AND REPORTS OF SAID MEETINGS, SHALL BE FREE TO PARTICIPATE IN DISCUSSIONS, BUT SHALL BE WITHOUT A VOTE ON ANY MATTER. EMERITUS TRUSTEES SHALL BE WELCOME AT ALL BOARD AND UNIVERSITY EVENTS. THE FOLLOWING INDIVIDUALS WERE EMERITUS TRUSTEES OF CARNEGIE MELLON'S BOARD OF TRUSTEES: JOHN BERTUCCI, CAROL R. BROWN, ROBERT M. BROWN III, ERROLL B. DAVIS, JR., W. LOGAN DICKERSON, PHILIP L. DOWD, DINA DUBLON, WILLIAM B. ELLIS, CYNTHIA FRIEDMAN, HENRY GAILLIOT, CLAIRE W. GARGALLI, RICHARD D. HAMILTON, TERESA HEINZ, T. JEROME HOLLERAN, W. LEE HOSKINS, JUSTIN M. JOHNSON, PATRICIA ASKWITH KENNER, DAVID M. KIRR, EDWARD E. LUCENTE, THOMAS A. MCCONOMY, JACK E. MCGRATH, REGINA GOUGER MILLER, ALESSANDRO OVI, E. KEARS POLLOCK, CHARLES J. QUEENAN, JR. ESQ, JOHN G. RANGOS, SR., VINCENT A. SARNI, JOYCE B. SCOTT, DAVID S. SHAPIRA, RAYMOND W. SMITH, W. LOWELL STEINBRENNER, DONALD E. STITZENBERG, JAMES M. WALTON, KONRAD M. WEIS. FORM 990, PART VII, SECTION A, COLUMN B: FOR EACH PERSON LISTED IN COLUMN A WHO IS AN EMPLOYEE OF CARNEGIE MELLON UNIVERSITY, THE AVERAGE NUMBER OF HOURS PER WEEK STATED IS 50 HOURS PER WEEK; HOWEVER, THE ACTUAL NUMBER OF HOURS WORKED VARIES BETWEEN 50-80 HOURS PER WEEK. FORM 990, PART XI, LINE 9: LAMME UNREALIZED GAINS/LOSS -546,561. CHANGE IN SWAP VALUE NET OF INTEREST EXPENSE & OTHER 4,364,083. GAIN FROM ADJUSTMENTS OF PLEDGES RECEIVABLE 8,000,000. FORM 990, PART XII, FINANCIAL STATEMENTS AND REPORTING: CARNEGIE MELLON HAS AN AUDIT COMMITTEE OF THE BOARD OF TRUSTEES THAT IS RESPONSIBLE FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND THE SELECTION OF A CERTIFIED INDEPENDENT ACCOUNTING FIRM THAT AUDITS THE FINANCIAL STATEMENTS. CARNEGIE MELLON'S FINANCIAL STATEMENTS ARE CONSOLIDATED. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. 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