2022-05-13T14:02:47-05:00 2021-06-30 PricewaterhouseCoopers LLP 300 Madison Avenue New York NY 10017 990 2020-07-01 135598093 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK % JULIA SHANAHAN TRUS 2128544684 615 WEST 131ST STREET MC 8741 NEW YORK NY 100277922 MARK HAWKINS VP,FIN & CONTROLLER 2128541004 2022-05-12 true MARK HAWKINS 999009999 ERIC M MCNEIL P00460263 6464713000 2022-05-12 2 2020 2022-09-23 18:48:47Z Lee C Bollinger 615 West 131st St MC 8741 New York NY 100277922 10971747242 false X www.columbia.edu X 1754 NY SEE ATTACHMENT 1 23 22 41753 18481 -42546545 0 1795585528 1820200959 3385080205 3376188473 634552990 1343490351 128177159 87850986 5943395882 6627730769 773317842 795565646 0 0 3365043357 3416671298 1598925 1061058 112320012 1393247240 1364907318 5533207364 5578205320 410188518 1049525449 20956690344 24655584077 4697474752 5064654796 16259215592 19590929281 X COLUMBIA UNIVERSITY IS ONE OF THE WORLD'S MOST IMPORTANT CENTERS OF RESEARCH AND AT THE SAME TIME A DISTINCTIVE AND DISTINGUISHED LEARNING ENVIRONMENT FOR UNDERGRADUATES AND GRADUATE STUDENTS IN MANY SCHOLARLY AND PROFESSIONAL FIELDS. THE UNIVERSITY RECOGNIZES THE IMPORTANCE OF ITS LOCATION IN NEW YORK CITY AND SEEKS TO LINK ITS RESEARCH AND TEACHING TO THE VAST RESOURCES OF A GREAT METROPOLIS. IT SEEKS TO ATTRACT A DIVERSE AND INTERNATIONAL FACULTY AND STUDENT BODY, TO SUPPORT RESEARCH AND TEACHING ON GLOBAL ISSUES, AND TO CREATE ACADEMIC RELATIONSHIPS WITH MANY COUNTRIES AND REGIONS. IT EXPECTS ALL AREAS OF THE UNIVERSITY TO ADVANCE KNOWLEDGE AND LEARNING AT THE HIGHEST LEVEL AND TO CONVEY THE PRODUCTS OF ITS EFFORTS TO THE WORLD. false false 1933299177 647752239 1630555669 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK IS A PRIVATE, NONSECTARIAN, NONPROFIT INSTITUTION OF HIGHER EDUCATION WHOSE ACTIVITIES ARE CONCENTRATED AT THREE LOCATIONS IN NEW YORK CITY AND EXTEND ACROSS THE GLOBE. THE UNIVERSITY PROVIDES INSTRUCTION THROUGH SIXTEEN UNDERGRADUATE, GRADUATE, AND PROFESSIONAL SCHOOLS. IT OPERATES A VARIETY OF RESEARCH INSTITUTES AND A LIBRARY SYSTEM TO SUPPORT ITS TEACHING, LEARNING, AND RESEARCH ACTIVITIES. THE UNIVERSITY ENROLLS APPROXIMATELY 31,455 FULL-TIME AND PART-TIME STUDENTS AND EMPLOYS APPROXIMATELY 18,568 FULL-TIME EMPLOYEES, INCLUDING 6,864 FULL-TIME FACULTY MEMBERS AND RESEARCH STAFF. 1213665069 0 1457885195 THE UNIVERSITY, THROUGH THE COLUMBIA UNIVERSITY IRVING MEDICAL CENTER AND ITS MEDICAL FACULTY PRACTICE PLAN, PROVIDES DIRECT PATIENT CARE AND OTHER CLINICAL AND EDUCATIONAL SERVICES TO HOSPITALS AND OTHER HEALTH CARE INSTITUTIONS THROUGH CONTRACTUAL AGREEMENTS FOR SERVICES. THE CLINICAL FACULTY HANDLED APPROXIMATELY 2 MILLION OUTPATIENT AND EMERGENCY ROOM VISITS AND PARTICIPATED IN INSTRUCTION AND SUPERVISION OF 603 UNIVERSITY MEDICAL STUDENTS AND 989 RESIDENTS AND FELLOWS AT NEW YORK PRESBYTERIAN HOSPITAL. 701610188 140475288 187408328 THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS AND CONTRACTS WITH AGENCIES OF THE FEDERAL GOVERNMENT AND OTHER SPONSORING ORGANIZATIONS. 312825629 CAMPUS OPERATIONS 345087448 INSTITUTIONAL SUPPORT 147937621 99772390 AUXILIARY ENTERPRISES 349388094 7338119 566891 OTHER SOURCES 1155238792 7338119 100339281 5003813226 true true false true false true false true false true true true false false true false false true true true true true true true true false false true true true true false true false false false true false false true false true true false false true true true true false false true X 29398 0 true 41753 true true true true false false false true true false false false false false false false true false X 23 22 false false false true false false false true true false false true true true true true true true true false AK CA CO MD MA MI NH OH OK OR SC WA X JULIA SHANAHAN 2128517348 615 WEST 131ST STREET MC 8741 New York NY 10027 X LAWRENCE GERALD LENKE PROFESSOR OF SURGERY 60.0 0.0 X 7028626 0 65212 PETER HOLLAND CEO/EVP IMC (THROUGH 9/30/20) 60.0 0.0 X 2950950 0 1336753 DAVID N SILVERS CLINICAL PROFESSOR 60.0 0.0 X 3774311 0 58671 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 60.0 0.0 X 3486826 0 66987 KIEHYUN DANIEL RIEW PROFESSOR OF SURGERY 60.0 0.0 X 3381265 0 59700 PAUL MCCORMICK PROFESSOR OF SURGERY 59.9 0.1 X 3000909 0 147332 LEE C BOLLINGER PRESIDENT 59.9 0.1 X X 1926862 0 517028 LEE GOLDMAN EVP HEALTH SCIENCES (FORMER) 60.0 0.0 X 1743294 0 41211 KIM LEW CEO & EVP IMC (AS OF 11/2/20) 60.0 0.0 X 366076 0 1267181 ANIL RUSTGI INT EVP H. SCI (AS OF 7/1/20) 60.0 0.0 X 1067657 0 32163 JOHN COATSWORTH PROVOST (FORMER) 59.9 0.1 X 940215 0 50365 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 59.9 0.1 X 889366 0 52529 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 59.8 0.2 X 841056 0 47065 JANE E BOOTH GENERAL COUNSEL 60.0 0.0 X 826100 0 54151 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 60.0 0.0 X 810225 0 40097 IRA KATZNELSON INTERIM PROVOST 59.9 0.1 X 742092 0 64615 AMY HUNGERFORD EXEC VP-A&S (AS OF 1/1/20) 59.9 0.1 X 680258 0 63017 DAVID GREENBERG EXEC VP FACILITIES 60.0 0.0 X 556391 0 44718 JEROME DAVIS SECRETARY 60.0 0.0 X 467618 0 57443 DAVID MADIGAN EXEC VP-A&S (FORMER) 59.9 0.1 X 257004 0 21816 ROLANDO T ACOSTA TRUSTEE 4.0 0.0 X 0 0 0 ANDREW BARTH TRUSTEE 4.0 0.0 X 0 0 0 A'LELIA BUNDLES TRUSTEE (THROUGH 3/6/21) 4.0 0.0 X 0 0 0 LISA CARNOY TRUSTEE 4.0 0.0 X 0 0 0 DEAN DAKOLIAS TRUSTEE 4.0 0.0 X 0 0 0 ABIGAIL ELBAUM TRUSTEE 4.0 0.0 X 0 0 0 MARK GALLOGLY TRUSTEE (THROUGH 3/6/21) 4.0 0.0 X 0 0 0 NOAM GOTTESMAN TRUSTEE 4.0 0.0 X 0 0 0 JOSEPH A GREENAWAY JR TRUSTEE 4.0 0.0 X 0 0 0 DAVID GREENWALD TRUSTEE 4.0 0.0 X 0 0 0 JAMES HARDEN TRUSTEE 4.0 0.0 X 0 0 0 WANDA HOLLAND GREENE TRUSTEE 4.0 0.0 X 0 0 0 MARC HOLLIDAY TRUSTEE (THROUGH 9/7/20) 4.0 0.0 X 0 0 0 JEH JOHNSON TRUSTEE (AS OF 3/6/21) 4.0 0.0 X 0 0 0 JONATHAN LAVINE TRUSTEE 4.0 0.0 X 0 0 0 LU LI TRUSTEE 4.0 0.0 X 0 0 0 PAUL J MADDON TRUSTEE(THROUGH 9/7/20) 4.0 0.0 X 0 0 0 VICTOR MENDELSON TRUSTEE 4.0 0.0 X 0 0 0 JULIE MENIN TRUSTEE 4.0 0.0 X 0 0 0 ADAM PRITZKER TRUSTEE (AS OF 3/6/21) 4.0 0.0 X 0 0 0 JULISSA REYNOSO TRUSTEE (THROUGH 12/8/20) 4.0 0.0 X 0 0 0 JONATHAN ROSAND TRUSTEE 4.0 0.0 X 0 0 0 CLAIRE SHIPMAN TRUSTEE 4.0 0.0 X 0 0 0 KATHY SURACE-SMITH TRUSTEE 4.0 0.0 X 0 0 0 FERMI WANG TRUSTEE 4.0 0.0 X 0 0 0 SHIRLEY WANG TRUSTEE (AS OF 9/8/20) 4.0 0.0 X 0 0 0 SHEENA WRIGHT TRUSTEE (AS OF 3/6/21) 4.0 0.0 X 0 0 0 35737101 0 4088054 6934 true true false TURNER CONSTRUCTION CO 375 HUDSON STREET 6TH FLOOR NEW YORK NY 10014 CONSTRUCTION SRVCS 205913002 DEBEVOISE PLIMPTON LLP 919 THIRD AVE 28th FL NEW YORK NY 10022 LEGAL SERVICES 8046793 HUDSON HEART MANAGEMENT LLC 26 Indian Rock SUFFERN NY 10901 MEDICAL SERVICES 7308144 BUCKLEY LLP 2001 M STREET NW SUITE 500 WASHINGTON DC 20036 LEGAL SERVICES 4211126 PAVARINI MCGOVERN LLC 330 WEST 34TH ST NEW YORK NY 10001 CONSTRUCTION SRVCS 3582490 353 X 1154350 1095861892 723184717 66813113 1820200959 TUITION & FEES 611600 1630555669 1630555669 OTHER EDUCATION & RESEARCH 541700 187408328 187408328 PATIENT CARE REVENUE 621110 1457885195 1457885195 AUXILIARY ENTERPRISES 900099 99772390 98930192 842198 OTHER SOURCES 900099 79873 79873 487018 487018 3376188473 30964477 30964477 0 22686587 22686587 153120166 146634858 6485308 0 6485308 6485308 5509792402 4197266528 1312525874 1312525874 1312525874 46694 1154350 115087 -68393 -68393 0 0 0 0 0 0 PARTNERSHIP INCOME 900099 58747484 -43388743 102136227 58747484 6627730769 3375346275 -42546545 1474730080 X 121098084 121098084 647752239 647752239 26715323 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II-B LINE 1A - VOLUNTEERS: N/A LINE 1B - PAID STAFF OR MANAGEMENT: THE UNIVERSITY HAS OFFICES OF GOVERNMENT AND COMMUNITY AFFAIRS AT BOTH ITS MORNINGSIDE AND MEDICAL CENTER CAMPUSES WHOSE FUNCTION IS TO KEEP THE UNIVERSITY COMMUNITY INFORMED ABOUT NATIONAL, STATE AND LOCAL LEGISLATION AND POLICY THAT HAS AN IMPACT ON THE UNIVERSITY AND, WHEN APPROPRIATE, TO ADVOCATE FOR THE UNIVERSITY'S INTERESTS WITH RESPECT TO THIS POLICY. EMPLOYEES REGULARLY INVOLVED IN THESE ACTIVITIES INCLUDE BUT ARE NOT LIMITED TO: EXECUTIVE VICE PRESIDENT FOR PUBLIC AFFAIRS; ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS; ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS; THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCES; VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY IRVING MEDICAL CENTER; ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY IRVING MEDICAL CENTER; DIRECTOR OF GOVERNMENT AFFAIRS; AND THE ASSISTANT DIRECTOR FOR GOVERNMENT & COMMUNITY AFFAIRS. LINE 1C - MEDIA ADVERTISEMENTS: N/A LINE 1D - MAILINGS TO MEMBERS, LEGISLATORS OR THE PUBLIC: N/A LINE 1E - PUBLICATIONS, OR PUBLISHED OR BROADCAST STATEMENTS: N/A LINE 1F - GRANTS TO OTHER ORGANIZATIONS FOR LOBBYING PURPOSES: THE UNIVERSITY BELONGS TO CERTAIN HIGHER EDUCATION TRADE ASSOCIATIONS. A SMALL PORTION OF THE MEMBERSHIP FEES PAID TO CERTAIN OF THESE ORGANIZATIONS GOES TO SUPPORT LOBBYING-RELATED ACTIVITIES. THESE FEES ARE REGULARLY REPORTED ON THE UNIVERSITY'S LOBBYING DISCLOSURE FILINGS. LINE 1G - DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, OR A LEGISLATIVE BODY: THE PRESIDENT, THE EXECUTIVE VICE PRESIDENT FOR PUBLIC AFFAIRS, THE ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE DIRECTOR OF GOVERNMENT AFFAIRS, THE ASSISTANT DIRECTOR FOR GOVERNMENT & COMMUNITY AFFAIRS, AMONG OTHER COLUMBIA UNIVERSITY EMPLOYEES, CONTACTED FEDERAL, STATE, AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES. THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCE; THE VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY IRVING MEDICAL CENTER; THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY IRVING MEDICAL CENTER; AND OTHER COLUMBIA UNIVERSITY IRVING MEDICAL CENTER EMPLOYEES CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES, HEALTH SCIENCES ISSUES AND OTHER ISSUES AFFECTING ACADEMIC MEDICAL CENTERS. THE AMOUNTS SHOWN ON LINE 1G REFLECT PAID STAFF AND MANAGEMENT ACTIVITIES. LINE 1H - RALLIES, DEMONSTRATIONS, SEMINARS, CONVENTIONS, SPEECHES, LECTURES OR ANY OTHER MEANS: N/A LINE 1I - OTHER ACTIVITIES: DURING THE REPORTING PERIOD, THE UNIVERSITY RETAINED OUTSIDE FIRMS FOR CONSULTING AND ADVOCACY AT THE FEDERAL, STATE AND LOCAL LEVELS OF GOVERNMENT. THE AMOUNTS SHOWN ON LINE 1I INCLUDE AMOUNTS PAID TO SUCH OUTSIDE FIRMS FOR ALL ACTIVITIES CONDUCTED BY SUCH FIRMS, INCLUDING CERTAIN OF THE ACTIVITIES DESCRIBED ABOVE AND GENERAL ADVISORY SERVICES TO THE UNIVERSITY IN CONNECTION WITH ITS LOBBYING ACTIVITIES. 15 17442458 10939002 47386077 true true X X X X true 11257021000 366226000 3364720000 138726000 454306000 44965000 14349970000 10950738000 400986000 562702000 141393000 472489000 43523000 11257021000 10869245000 307537000 418416000 137178000 468970000 38312000 10950738000 9996596000 640042000 862139000 120019000 469411000 40102000 10869245000 9041027000 411858000 1140424000 114376000 441400000 40937000 9996596000 0.31000 0.28380 0.40620 true false 504792876 504792876 7765428610 3492356528 4273072082 702942912 462501079 240441833 1467543833 539219354 928324479 5946631270 GLOBAL EQUITIES 2402225109 F ABSOLUTE RETURN STRATEGIES 4382393688 F PRIVATE EQUITY 3619813806 F REAL ESTATE ASSETS 2062464244 F FIXED INCOME 282203288 F CASH & CASH EQUIVALENTS 595971746 F 13345071881 0 LIABILITY FOR SECURITIES PURCH 2160371 CAPITAL LEASE OBLIGATIONS 129155415 COND'L ASSET RETIREMENT OBLIGA 126828121 ACCRUED EMPLOYEE BENEFIT LIAB. 488753050 FEDERAL STUDENT LOAN FUNDS 54345739 ACTUARIAL LIAB- SPLIT INT AGRM 68058029 OTHER LONG TERM LIABILITIES 886284556 1755585281 DETAIL OF UNIVERSITY COLLECTIONS/TEXT OF AUDIT FOOTNOTE SCHEDULE D, PART III, LINES 1A, 2A & 4 The University's collections include works of art, literary works, historical treasures and artifacts maintained in the University's libraries and museums. These collections are protected and preserved for public exhibition, education, research, and the furtherance of public service. Proceeds realized from deaccessioning collection items are to be used for the acquisition of new items for the University's collection and/or enhancing the life, usefulness or quality of the existing collection through long-term direct care and preservation, which includes conservation care, cataloging and documenting and proper access and use of the collection. Accordingly, such collections are not capitalized and contributed items are not recognized as revenue for financial statement purposes. INTENDED USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 COLUMBIA UNIVERSITY'S ENDOWMENT FUNDS SUPPORT A RANGE OF PURPOSES IN ACCORDANCE WITH THE UNIVERSITY'S MISSION, INCLUDING: FINANCIAL AID; FACULTY SALARIES AND SUPPORT; RESEARCH; CAPITAL PROJECTS; GENERAL SUPPORT OF THE UNIVERSITY, SCHOOLS, DEPARTMENTS, INSTITUTES AND CENTERS. FIN 48 SCHEDULE D, PART X, LINE 2 THE UNIVERSITY DOES NOT INCLUDE A LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 (ASC 740) IN ITS FINANCIAL STATEMENTS AS IT IS IMMATERIAL AND DOES NOT HAVE AN IMPACT ON THE STATEMENTS. THE UNIVERSITY BELIEVES THAT ITS TAX POSITIONS OF FIN 48 ARE HIGHLY CERTAIN. true true true true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 COLUMBIA UNIVERSITY CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND THE WORLD. ITS EDUCATIONAL PROGRAMS SEEK A BROAD CROSS-SECTION OF STUDENTS FROM THE METROPOLITAN AREA. IT FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY OF ADMISSION AND INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARDS STUDENTS IN ALL SCHOOL AND PROGRAM BULLETINS. IT ALSO REFERS TO THIS POLICY IN ALL WRITTEN ADVERTISING. IT THEREFORE MEETS THE CRITERIA UNDER REV. PROC. 75-50, SECTION 4.03-2(B)FOR EXEMPTION FROM THE PUBLICITY REQUIREMENTS OF SECTION 4.03-1. SCHEDULE E, LINE 6A COLUMBIA UNIVERSITY RECEIVES FEDERAL, STATE AND LOCAL GOVERNMENTAL FUNDING THAT SUPPORTS ITS CORE INSTRUCTIONAL AND RESEARCH PROGRAMS. true Central America and the Caribbean 1 49 Program Services EDUC/RESEARCH/OUTREACH 4204568 Central America and the Caribbean Grantmaking 2640435 Central America and the Caribbean Investments 6936843592 East Asia and the Pacific 9 145 Program Services Educ/Research/Outreach 6751425 East Asia and the Pacific Grantmaking 1628955 East Asia and the Pacific Investments 269351530 Europe (Including Iceland and Greenland) 9 517 Program Services Educ/Research/Outreach 7583180 Europe (Including Iceland and Greenland) Grantmaking 5497613 Europe (Including Iceland and Greenland) Fundraising 75174 Europe (Including Iceland and Greenland) Investments 599873480 Middle East and North Africa 3 108 Program Services Educ/Research/Outreach 1673161 Middle East and North Africa Grantmaking 465400 Middle East and North Africa Investments 456704 North 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Friendship Commission Prize East Asia and the Pacific 1 10286 check/wire n/a n/a Stavros Niarchos Humanities Initiative Europe (Including Iceland and Greenland) 1 25000 check/wire n/a n/a Harriman research grant Europe (Including Iceland and Greenland) 1 8000 check/wire n/a n/a Greater Good Competition Award South America 1 5500 check/wire n/a n/a Greater Good Competition Award North America 1 10500 check/wire n/a n/a true true true true true true SUPPLEMENTAL INFORMATION SCHEDULE F, PART I, LINE 2 ORGANIZATION'S PROCEDURES FOR MONITORING GRANT FUNDS THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF ALL SPONSORED PROJECT GRANT FUNDING. THIS POLICY IS CONTAINED IN THE SPONSORED PROJECTS HANDBOOK". THE POLICY STATES THAT THE PRIMARY OBLIGATION FOR THE DAY-TO-DAY MANAGEMENT OF SPONSORED PROJECTS AND INSURING COMPLIANCE WITH FEDERAL AND OTHER SPONSOR REGULATIONS IS THE RESPONSIBILITY OF THE PRINCIPAL INVESTIGATOR SUPPORTED, AS NECESSARY, BY HIS OR HER ADMINISTRATIVE STAFF. ADDITIONALLY, THE POLICY SPECIFIES THE FOLLOWING MONITORING PROCEDURES: - MONTHLY ACCOUNT RECONCILIATION - REVIEW OF SALARY AND BENEFIT CHARGES - REVIEW OF VENDOR INVOICES - REVIEW OF CHARGES INITIATED BY SERVICE OR RECHARGE CENTERS - REVIEW OF FACILITIES AND ADMINISTRATIVE CHARGES - MONITORING OF SUB-AWARDS THROUGH REVIEW OF CHARGES AND TECHNICAL PERFORMANCE REPORTS, CONDUCTING PERIODIC ONSITE VISITS, AND INITIATING AUDITS/REVIEWS WHEN NECESSARY EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. MOST OF THE ACTIVITY RELATES TO U.S. GOVERNMENT FUNDED PROGRAM SERVICES. OTHER ACTIVITY INCLUDES FACULTY AND STAFF TRAVEL FOR EDUCATIONAL, RESEARCH, FUNDRAISING AND OTHER PROGRAM SERVICES. NOT ALL OF THE OVERSEAS EXPENDITURES ARE SEPARATELY TRACKED AS FOREIGN ACTIVITY. THE AMOUNTS REPRESENTED ON SCHEDULE F REPRESENT THE UNIVERSITY'S GOOD FAITH EFFORTS TO CAPTURE AND CATEGORIZE FOREIGN ACTIVITY. ----------------------------------------------------------------- FORM 990, SCHEDULE F, PART I, COLUMN (F) & PART II, LINE 1 COLUMBIA UNIVERSITY ACCOUNTS FOR ALL FOREIGN EXPENDITURES, INCLUDING CASH GRANTS AND NONCASH ASSISTANCE, ON THE ORGANIZATION'S FINANCIAL STATEMENTS IN ACCORDANCE WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES IN THE UNITED STATES. ---------------------------------------------------------------- FORM 990, SCHEDULE F, PART I, LINE 3 ACTIVITIES PER REGION Schedule F reports $3.5 million expended for program services and grantmaking in "Russia and the newly independent states", a geographic designation defined in the Form 990 instructions to include Armenia, Azerbaijan, Belarus, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Russia, Tajikistan, Turkmenistan, Ukraine, and Uzbekistan. The majority of this amount reflects activities in Kazakhstan, Kyrgyzstan, and Tajikistan. A minor amount, approximately $100,000, represents funds expended within Russia in connection with research / academic programs and travel during the period ending June 30, 2021. 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ST NEW YORK NY 10040 133593885 501(C)(3) 8700 N/A N/A Program Services FIGURE SKATING IN HARLEM 361 West 125th St New York NY 10027 133945168 501(C)(3) 7500 N/A N/A Program Services FOOD BANK FOR NEW YORK CITY 39 Broadway New York NY 10027 132725416 501(C)(3) 33500 N/A N/A Program Services FRESH YOUTH INITIATIVES INC 505 W 171st St New York NY 10032 133723207 501(C)(3) 6000 N/A N/A Program Services GRAHAM WINDHAM One Pierrepont Plaza BROOKLYN NY 10027 132926426 501(C)(3) 20000 N/A N/A Program Services HARLEM CHAMBER PLAYERS INC 191 CLAREMONT AVENUE NEW YORK NY 10027 452160781 501(C)(3) 6000 N/A N/A Program Services HARLEM GROWN INC 127 W 127TH ST New York NY 10027 274250636 501(C)(3) 9000 N/A N/A Program Services HIP HOP PUBLIC HEALTH 515 EDGECOMBE AVE New York NY 10032 800722635 501(C)(3) 10000 N/A N/A Program Services HOLYROOD CHURCH IGLESIA SANTA CRUZ 715 W 179TH ST New York NY 10033 131844844 501(C)(3) 10500 N/A N/A Program Services LEGAL OUTREACH INC 36-14 35th St LIC NY 11106 133214627 501(C)(3) 6000 N/A N/A Program Services MOSHOLU-MONTEFIORE COMMUNITY CENTER INC 3450 DeKalb Ave BRONX NY 10467 133622107 501(C)(3) 9000 N/A N/A Program Services NEW YORK COMMON PANTRY INC 275 MADISON Ave New York NY 10016 133127972 501(C)(3) 13500 N/A N/A Program Services NYC ALLIANCE AGAINST SEXUAL ASSAULT 32 Broadway Suite 1101 New York NY 10004 311702032 501(C)(3) 7000 N/A N/A Program Services PALANTE HARLEM 1411 AMSTERDAM Ave New York NY 10027 800209989 501(C)(3) 7000 N/A N/A Program Services PEOPLES THEATRE PROJECT INC 3035 JOHNSON AVE New York NY 10463 264705999 501(C)(3) 10000 N/A N/A Program Services RC CHURCH OF THE ASCENSION 221 WEST 107 ST New York NY 10025 131628191 501(C)(3) 9000 N/A N/A Program Services RICHARD TUCKER MUSIC FOUNDATION 1790 BROADWAY New York NY 10019 237431029 501(C)(3) 15000 N/A N/A Program Services RIVERSTONE SENIOR LIFE SERV 99 FT WASHINGTON AVE New York NY 10032 133355074 501(C)(3) 10000 N/A N/A Program Services SAMARITAN DAYTOP FOUNDATION INC 138-02 Queens Blvd NEW YORK NY 11435 112635374 501(C)(3) 15000 N/A N/A Program Services STREETSQUASH INC 40 West 116th St New York NY 10026 134061809 501(C)(3) 7500 N/A N/A Program Services SUGAR HILL CHILDRENS MUSEUM OF ART 898 ST NICHOLAS AVE New York NY 10032 465412811 501(C)(3) 8000 N/A N/A Program Services THE GREATER HARLEM CHAMBER OF COMMERCE 200A W 136TH ST New York NY 10030 133662434 501(C)(3) 25000 N/A N/A Program Services THE REV LINNETTE C WILLIAMSON MEM PK ASSN 141 West 139th St New York NY 10030 133861293 501(C)(3) 6000 N/A N/A Program Services THE RIVERSIDE CHURCH IN THE CITY OF NY 490 Riverside Dr New York NY 10027 131624157 501(C)(3) 10000 N/A N/A Program Services TOP HONORS INC PO BOX 200 New York NY 10163 753062601 501(C)(3) 6000 N/A N/A Program Services UNIVERSITY OF WISCONSIN FOUNDATION 1848 UNIVERSITY Ave MADISON NY 53726 390743975 501(C)(3) 25500 N/A N/A Program Services UPLIFT NYC INC 73 ELLWOOD ST New York NY 10040 465401925 501(C)(3) 15000 N/A N/A Program Services URBAN GLASS NEW YORK CONTEMPORARY GLASS CTR 198 E 121st Street 6th Fl New York NY 10035 133687891 501(C)(3) 5750 N/A N/A Program Services WASHINGTON HEIGHTS INWOOD PRESERVATION 121 Bennett Ave New York NY 10033 132944830 501(C)(3) 11000 N/A N/A Program Services WE ARE NOT AFRAID COMMUNITY RESOURCE CTR 521 W 126TH ST New York NY 10027 843462208 501(C)(3) 11000 N/A N/A Program Services WENDY HILLIARD FOUNDATION 127 West 127th St New York NY 10027 133879321 501(C)(3) 7500 N/A N/A Program Services WEST SIDE CENTER FOR COMMUNITY LIFE 263 W 86TH St New York NY 10024 710908184 501(C)(3) 10000 N/A N/A Program Services YM&YWHA OF WASHINGTON HEIGHTS AND INWOOD 54 NAGLE AVE New York NY 10040 131635308 501(C)(3) 6500 N/A N/A Program Services LIFEFORCE IN LATER YEARS INC PO Box 250402 New York NY 10025 800401075 501(C)(3) 8000 N/A N/A Program Services LIVING REDEMPTION YOUTH OPPORTUNITY HUB 302 WEST 124TH ST New York NY 10027 834024277 501(C)(3) 9000 N/A N/A Program Services TRINITY COMMUNITY CONNECTION 164 West 100th St New York NY 10025 943447082 501(C)(3) 9000 N/A N/A Program Services COLUMBIA GREENHOUSE NURSERY SCHOOL 404 W 116TH ST New York NY 10027 133194659 501(C)(3) 9052 N/A N/A Program Services JCC ROCKLAND INC 450 W NYACK Rd W NYACK NY 10994 133329286 501(C)(3) 51000 N/A N/A Program Services CATHOLIC CHARITIES COMMITY SERVICES 1011 1ST Ave New York NY 10022 135562185 501(C)(3) 10000 N/A N/A Program Services INTERNATIONAL MISSIONARY COMMISSION 161 SHERMAN AVE New York NY 10034 133636779 501(C)(3) 10000 N/A N/A Program Services PROJECT ALS 801 RIVERSIDE DR New York NY 10032 134019464 501(C)(3) 60000 N/A N/A Program Services CEREBRAL PALSY FOUNDATION INC 3 COLUMBUS CIRCLE New York NY 10019 136093337 501(C)(3) 10000 N/A N/A Program Services NIDO DE ESPERANZA CHARITABLE SOCIETY 4111 BROADWAY New York NY 10033 825510616 501(C)(3) 10000 N/A N/A Program Services COMUNILIFE INC 462 Seventh Ave New York NY 10018 133530299 501(C)(3) 10000 N/A N/A Program Services THE BOARD OF TRUSTEES OF WHITMAN COLLEGE 345 BOYER Ave WALLA WALLA NY 99362 910567740 501(C)(3) 10000 N/A N/A Program Services SNACK & FRIENDS INC 316 EAST 53RD ST New York NY 10022 205934666 501(C)(3) 10000 N/A N/A Program Services CORBIN HILL FOOD PROJECT 475 Riverside Dr New York NY 10115 461206478 501(C)(3) 10000 N/A N/A Program Services MONTEFIORE NYACK HOSPITAL FOUNDATION INC 160 N Midland Avenue NYACK NY 10960 133245804 501(C)(3) 10000 N/A N/A Program Services IMPACTISRAEL INC 4340 East-West BETHESDA NY 20814 223090463 501(C)(3) 10000 N/A N/A Program Services INTL SOCIETY FOR DEV PSYCHOBIOLOGY 297 KINDERKAMACK RD ORADELL NY 07649 640954919 501(C)(3) 10500 N/A N/A Program Services NEW YORK ACADEMY OF MEDICINE 500 7TH Ave New York NY 10018 131656674 501(C)(3) 12500 N/A N/A Program Services MODERN LANGUAGE ASSN 85 BROAD ST New York NY 10004 135253530 501(C)(3) 15000 N/A N/A Program Services HOPE CENTER HARLEM 1912 ADAM CLAYTON POWELL JR New York NY 10026 460711295 501(C)(3) 15000 N/A N/A Program Services CEREBRAL PALSY SOCCER INC 94 Fargo Lane IRVINGTON NY 10533 821749574 501(C)(3) 17890 N/A N/A Program Services NEWPORT FESTIVALS FOUNDATION INC 74 Martin St Rear ESSEX NY 01929 274099544 501(C)(3) 25000 N/A N/A Program Services METROPOLITAN OPERA ASSOCIATION INC 30 LINCOLN CENTER PLZ New York NY 10133 131624087 501(C)(3) 25000 N/A N/A Program Services WNET 825 Eighth Ave New York NY 10019 262810489 501(C)(3) 50000 N/A N/A Program Services VCS INC 77 S MAIN St NEW CITY NY 10956 132720369 501(C)(3) 75000 N/A N/A Program Services NY PUBLIC RADIO 160 VARICK ST New York NY 10013 133015230 501(C)(3) 25000 N/A N/A Program Services LINCOLN CNTR 70 LINCOLN CENTER PLAZA New York NY 10023 131847137 501(C)(3) 35000 N/A N/A Program Services ARNOLD P GOLD FOUND 619 E PALISADE Ave ENGLWOOD CLIFFS NJ 07632 223052098 501(C)(3) 37500 N/A N/A Program Services THE YOUNG MENS AND YOUNG WOMENS HEBREW ASSN 1395 LEXINGTON Ave New York NY 10128 131624229 501(C)(3) 40000 N/A N/A Program Services LOUIS ARMSTRONG HOUSE MUSEUM 34-56 107th Street Corona NY 11368 264178283 501(C)(3) 50000 N/A N/A Program Services LUPUS RESEARCH ALLIANCE INC 275 MADISON Ave New York NY 10016 582492929 501(C)(3) 50000 N/A N/A Program Services JEWISH FEDERATION OF ROCKLAND COUNTY 450 West Nyack Rd West Nyack NY 10994 133268920 501(C)(3) 150000 N/A N/A Program Services FRIENDS OF COLUMBIA SECONDARY SCHOOL 603 W 115TH ST New York NY 10025 261146491 501(C)(3) 497500 N/A N/A Program Services BROADWAY CARES 165 W 46TH ST New York NY 10036 133458820 501(C)(3) 100000 N/A N/A Program Services Knight First Amendment Inst at CU 535 W 116TH ST NEW YORK NY 10027 NEW YORK NY 10027 814759386 501(C)(3) 2610273 N/A N/A Capital Contr 387 STUDENT TUITION GRANTS AND SCHOLARSHIPS 17172 647752239 N/A N/A DESCRIPTION OF ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANTS FORM 990, SCHEDULE I, PART I, LINE 2 THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF THE USE OF SPONSORED PROJECT GRANT FUNDING BY SUBRECIPIENTS. THE POLICY MANDATES MONITORING IN TWO AREAS: (A) SUBRECIPIENT INSTITUTION COMPLIANCE WITH THE AUDITING REQUIREMENTS OF OMB CIRCULAR A-133, AND (B)SUBRECIPIENT INSTITUTION'S APPROPRIATE MANAGEMENT OF SUBAWARD. THE UNIVERSITY'S SPONSORED PROJECTS FINANCE GROUP COLLECTS A-133 REPORTS FROM SUBRECIPIENT INSTITUTIONS, AND THE PRINCIPAL INVESTIGATORS CARRY OUT THE SECOND TYPE OF MONITORING, PRINCIPALLY BY: - ROUTINELY GATHERING AND REVIEWING TECHNICAL PERFORMANCE REPORTS; - ROUTINELY REVIEWING INVOICES AND EXPENSES RELATIVE TO BUDGET; - CONDUCTING PERIODIC ON-SITE VISITS, WHEN NECESSARY; AND - INITIATING AUDITS, WHEN NECESSARY. X X X X true true X X X X X false false false true false false false true false LAWRENCE GERALD LENKE PROFESSOR OF SURGERY 7026126 0 2500 0 0 0 31921 0 33291 0 7093838 0 0 0 DAVID N SILVERS CLINICAL PROFESSOR 2990592 0 783719 0 0 0 37500 0 21171 0 3832982 0 0 0 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 3484326 0 2500 0 0 0 32208 0 34779 0 3553813 0 0 0 KIEHYUN DANIEL RIEW PROFESSOR OF SURGERY 3381265 0 0 0 0 0 22603 0 37097 0 3440965 0 0 0 PAUL MCCORMICK PROFESSOR OF SURGERY 3000909 0 0 0 0 0 37500 0 109832 0 3148241 0 0 0 PETER HOLLAND CEO/EVP IMC (THROUGH 9/30/20) 785335 0 2137070 0 28545 0 1284155 0 52598 0 4287703 0 1980110 0 LEE C BOLLINGER PRESIDENT 1576862 0 350000 0 0 0 42990 0 474038 0 2443890 0 0 0 LEE GOLDMAN EVP HEALTH SCIENCES (FORMER) 1228071 0 360000 0 155223 0 28740 0 12471 0 1784505 0 0 0 ANIL RUSTGI INT EVP H. SCI (AS OF 7/1/20) 486500 0 2500 0 578657 0 28692 0 3471 0 1099820 0 0 0 JOHN COATSWORTH PROVOST (FORMER) 818673 0 0 0 121542 0 28740 0 21625 0 990580 0 0 0 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 889366 0 0 0 0 0 28692 0 23837 0 941895 0 0 0 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 841056 0 0 0 0 0 28740 0 18325 0 888121 0 0 0 JANE E BOOTH GENERAL COUNSEL 826100 0 0 0 0 0 42990 0 11161 0 880251 0 0 0 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 810225 0 0 0 0 0 28740 0 11357 0 850322 0 0 0 IRA KATZNELSON INTERIM PROVOST 742092 0 0 0 0 0 42990 0 21625 0 806707 0 0 0 AMY HUNGERFORD EXEC VP-A&S (AS OF 1/1/20) 534326 0 0 0 145932 0 28692 0 34325 0 743275 0 0 0 DAVID GREENBERG EXEC VP FACILITIES 556343 0 0 0 48 0 28740 0 15978 0 601109 0 0 0 JEROME DAVIS SECRETARY 467618 0 0 0 0 0 42990 0 14453 0 525061 0 0 0 KIM LEW CEO & EVP IMC (AS OF 11/2/20) 166076 0 0 0 200000 0 1264492 0 2689 0 1633257 0 0 0 DAVID MADIGAN EXEC VP-A&S (FORMER) 139892 0 0 0 117112 0 11140 0 10676 0 278820 0 0 0 SUPPLEMENTAL COMPENSATION INFORMATION NOTES TO PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN LIMITED CIRCUMSTANCES, CERTAIN INDIVIDUALS MAY TRAVEL FIRST CLASS WHEN THE TRAVEL IS SUBSTANTIATED AS A REASONABLE EXPENSE TO SUPPORT THE MISSION OF THE UNIVERSITY. This is not considered taxable income to any individual. Any exceptions to the University's policy are subject to review and approval. TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT OR OF ANOTHER OFFICER OR KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS, AS WELL AS REPRESENTING THE UNIVERSITY AT AWARDS PRESENTATIONS OR OTHER CEREMONIES OR EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT IS REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. THE PRESIDENT'S HOUSING HAS BEEN VALUED AT $446,604 AND IS REPORTED AS A NON-TAXABLE BENEFIT. THE UNIVERSITY ALSO PROVIDES A CAR AND DRIVER TO BE USED BY THE PRESIDENT IN CONNECTION WITH HIS DUTIES. THE PRESIDENT IS RESPONSIBLE FOR ANY PERSONAL USE OF THE HOUSEHOLD STAFF OR CAR AND DRIVER AND OTHER PERSONAL EXPENSES. PERSONAL SERVICES OTHER REPORTABLE COMPENSATION INCLUDES $1,838 AND $2,506 IMPUTED TO DR. GOLDMAN AND DR. RUSTGI, RESPECTIVELY, WITH RESPECT TO PERSONAL USE OF A CAR AND DRIVER PROVIDED BY THE UNIVERSITY (SEE PART I, COLUMN (B)(III)). NOTE TO PART I, LINE 5A DR. DAVID SILVERS' COMPENSATION IS COMPRISED OF BASE COMPENSATION AND INCENTIVE COMPENSATION DETERMINED FROM HIS PERFORMANCE OF, AND REVENUES FROM, CLINICAL DUTIES IN THE UNIVERSITY'S DERMATOPATHOLOGY PRACTICE WHERE HE IS THE DIRECTOR, AND IS SUBJECT TO A CAP FOR EACH ACADEMIC YEAR. NOTE TO PART I, LINE 7 NOTE TO PETER HOLLAND'S COMPENSATION THE ACTUAL AMOUNT EARNED DURING THE REPORTING PERIOD WAS $2,307,593 FOR MR. HOLLAND. THE LARGER COMPENSATION FIGURE SHOWN IN COLUMN (E) INCLUDES DOUBLE REPORTING OF PREVIOUSLY REPORTED DEFERRED COMPENSATION THAT VESTED AND WAS PAID DURING THE REPORTING PERIOD. THE ACTUAL AMOUNT EARNED BY MR. HOLLAND IS CALCULATED BY SUBTRACTING COLUMN (F) FROM COLUMN (E). PAYMENT OF MR. HOLLAND'S PERFORMANCE BASED BONUS IS, IN EACH CASE, DEFERRED SUBJECT TO VESTING UPON CONTINUING SERVICE TO THE UNIVERSITY. COLUMNS (C) AND (E) INCLUDE DEFERRED COMPENSATION AWARDED DURING THE REPORTING PERIOD BUT SUBJECT TO FUTURE VESTING. NOTE TO LEE BOLLINGER'S COMPENSATION AMOUNTS FOR PRESIDENT BOLLINGER IN COLUMN (B)(II) INCLUDE PAYMENTS UNDER A PERFORMANCE-BASED BONUS AWARD. Generally with respect to the University's operations, this Form 990 covers the fiscal year period ending June 30, 2021, and reflects the ongoing impacts of the pandemic. In accordance with the Form 990 reporting requirements, compensation data is reported for the calendar year 2020. In response to the pandemic, the University took certain compensation-related expense management steps including a salary freeze and reduction of certain retirement benefits. These measures impacted the individuals listed on Schedule J in calendar year 2020, the year of compensation reported here in accordance with the Form's reporting requirements. President Bollinger's cash compensation was reduced by approximately 15% for the calendar year 2020. NOTE TO DR. MCCORMICK'S, DR. LENKE'S, DR. RIEW'S, AND DR. LEHMAN'S COMPENSATION THE COMPENSATION OF DR. MCCORMICK, DR. LENKE, DR. RIEW, & DR. LEHMAN IS SUPPORTED BY THEIR CLINICAL ACTIVITIES, GRANTS, AND SUPPORT FROM THE UNIVERSITY'S HOSPITAL AFFILIATES. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B 146000293 649901R49 2003-03-05 122696491 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A 146000293 649905DF0 2009-05-14 117000000 FUND NEW QUALIFIED PROJECTS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2011A 146000293 649906AV6 2011-02-16 312102192 FUND NEW QUALIFIED PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A 146000293 649906F33 2012-06-07 174118498 REFUND 2008A & FUND NEW PROJECTS false false false A 87775000 0 123718793 0 0 0 802880 0 0 122097219 818694 0 2004 false false true true B 0 0 117067254 0 0 0 823388 0 0 115269253 974613 0 2009 false false true true C 285000000 0 312258392 0 0 0 1678394 0 0 308005990 2574008 0 false false true true D 48870000 0 174157898 0 0 0 738570 0 0 173344328 75000 0 false true true true A false true true true true true 0 false false false true B false true true true true true 0 false false false true C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false false true true false 0 false 0 false true B false false false true true false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true SCHEDULE K, PART II, LINE 3 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED ON SCHEDULE K, PART II, LINE 11 REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE WITH THE EXCEPTION OF THE 2012A, 2015A, 2015B, AND 2020A BOND ISSUES. ------------------------------------------------------------- SCHEDULE K, PART III, LINES 4-5 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2009A, SERIES 2011A, SERIES 2012A, SERIES 2015A, SERIES 2015B, SERIES 2016A&B, SERIES 2017A&B, 2018A&B AND 2020A ISSUES ON SCHEDULE K. -------------------------------------------------------------- SCHEDULE K, PART IV, LINE 2 FOR ALL SERIES EXCEPT THE 2015A AND 2015B, THE BOND PROCEEDS ARE SLIGHTLY EXCEEDED BY THE TOTAL USES DUE TO EARNINGS IN THE CONSTRUCTION FUND HELD AT THE TRUSTEE. THE LATEST ARBITRAGE COMPUTATION FOR DASNY 2003A&B, 2009A, 2011A, 2012A, 2015A, 2015B, 2016A&B, 2017A&B, 2018A&B AND 2020A WAS DECEMBER 31, 2020. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2015A 146000293 6499077D8 2015-04-23 125006199 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2015B 146000293 64990BGH0 2015-04-23 56240112 REFUND DASNY 2004B BONDS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2016A&B 146000293 64990BZK2 2016-04-27 491547535 REFUND 2006AB AND FUND NEW PROJECT false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2017A&B 146000293 64990CQE4 2017-03-01 240921142 REFUND 2004C AND FUND NEW PROJECTS false false false A 0 0 125006199 0 0 0 482921 0 0 124474161 49116 0 false false true true B 26235000 0 56240112 0 0 0 239228 0 0 0 56000884 0 2007 true false true true C 85740000 0 491760973 0 0 0 1304805 0 0 239038664 251417504 0 true false true true D 0 0 241400663 0 0 0 879101 0 0 191140597 49380966 0 true false true true A false true true true true true 0 false false false true B false true true true true true 0 false false false true C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false false true false false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true A DORMITORY AUTHORITY OF STATE OF NEW YORK 2018A&B 146000293 64990C6P1 2018-05-16 396803509 REFUND 2008A AND FUND NEW PROJECTS false false false B Dormitory Authority of State of NEW YORK 2020A 146000293 64990GA85 2020-03-19 247210500 Fund New Projects false false false A 0 0 399034697 0 0 0 1296723 0 0 193167811 204570163 0 true false true true B 0 0 247210500 0 0 0 747279 0 0 246338221 125000 0 false false true true A false true true true true true 0 false false false true B false true true true true true 0 false false false true A false false false true false false 0 false 0 false true B false false false true false false 0 false 0 false true A true B true JOHN COATSWORTH FRMR OFFICER HOUSING X 1475000 2075020 false true true JOHN COATSWORTH FRMR OFFICER HOUSING X 525000 591726 false true true DAVID MADIGAN FRMR KEY EMP HOUSING X 400000 160000 false true true AMY HUNGERFORD KEY EMP HOUSING X 171710 137368 false true true 2964114 JILL S GOLDMAN SPOUSE OF KEY EMPLOYEE 133863 EMPLOYMENT false NOTES TO SCHEDULE L ALL AMOUNTS SHOWN ON SCHEDULE L REPRESENT PAYMENTS BY THE UNIVERSITY TO THE INTERESTED PERSON. THE SPOUSE OF THE KEY EMPLOYEE LISTED IN SCHEDULE L WAS AN EMPLOYEE OF THE UNIVERSITY DURING THE REPORTING PERIOD. HER COMPENSATION REPORTED ON SCHEDULE L WAS DETERMINED IN ACCORDANCE WITH THE UNIVERSITY'S REGULAR COMPENSATION PRACTICES APPLICABLE TO SIMILARLY SITUATED EMPLOYEES. NO UNIVERSITY OFFICIAL WHO WAS ALSO AN OFFICER OR DIRECTOR OF AN INTERESTED PERSON PARTICIPATED IN OR INFLUENCED THE UNIVERSITY'S DECISION ABOUT ANY TRANSACTION. SCHEDULE L, PART II THE LOANS REPORTED FOR JOHN COATSWORTH IN PART II ARE INTEREST BEARING AND SECURED BY AN INTEREST IN A PRIMARY RESIDENCE. THE LOAN REPORTED FOR DAVID MADIGAN AND AMY HUNGERFORD IN PART II ARE INTEREST BEARING AND WERE MADE IN CONNECTION WITH A PRIMARY RESIDENCE. X 8 X 0 X 577 66813113 COST/SALES PRICE X 1 X EQUIPMENT 7 0 0 17 false true true USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART I, LINE 32B THE UNIVERSITY USES THIRD PARTY INVESTMENT BROKERS TO SELL NONCASH CONTRIBUTED SECURITIES. THIRD PARTIES ARE NOT USED TO SOLICIT OR PROCESS ANY CONTRIBUTIONS. DESCRIPTION OF CONTRIBUTED PROPERTY FOR WHICH REVENUES ARE NOT REPORTED SCHEDULE M, PART I, LINE 33 UNDER GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. BECAUSE THE UNIVERSITY UTILIZES CONTRIBUTIONS OF ART AND HISTORICAL TREASURES IN FURTHERANCE OF PUBLIC SERVICE, THESE CONTRIBUTIONS ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. IN ADDITION, MINOR GIFTS, SUCH AS FOOD OR SUPPLIES, ARE CONSIDERED DE MINIMIS. NUMBER OF CONTRIBUTIONS SCHEDULE M, PART I, COLUMN (B) THE FIGURES IN COLUMN (B) REPRESENT THE NUMBER OF CONTRIBUTIONS RECEIVED. SUPPLEMENTAL DISCLOSURES FORM 990, PART I, LINE 4 AND PART VI, LINE 1B DETAIL REGARDING THE NUMBER OF INDEPENDENT VOTING MEMBERS THE UNIVERSITY'S PRESIDENT, A VOTING MEMBER OF THE BOARD, IS NOT COUNTED AS INDEPENDENT BECAUSE HE IS AN EMPLOYEE OF THE UNIVERSITY. ------------------------------------------------------------- FORM 990, PART I, LINES 12 AND 19 NOTE ON PANDEMIC IMPACT ON REVENUE AND EXPENSES LINES 12 AND 19 ON PAGE 1, "TOTAL REVENUE"REVENUE LESS EXPENSES", RESPECTIVELY. NOTABLY, THESE FIGURES INCLUDE REALIZED INVESTMENT RETURNS NOT AVAILABLE FOR EXPENDITURE IN ACCORDANCE WITH THE ENDOWMENT SPENDING POLICY AND APPLICABLE LAW, AND DO NOT INCLUDE OTHER UNREALIZED INVESTMENT GAINS & LOSSES. THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS, PREPARED ON A GAAP BASIS PRESENT AN OPERATING INCOME OF $151 MILLION, A DECREASE FROM THE PRIOR YEAR'S OPERATING INCOME OF $159 MILLION. DUE TO THE EFFECTS OF COVID-19, THE UNIVERSITY EXPERIENCED LOST REVENUE IN SEVERAL AREAS. THESE LOSSES WERE PARTIALLY, BUT NOT COMPLETELY, OFFSET BY ACTIVE EXPENSE MANAGEMENT ACTIVITIES THAT INCLUDED A HIRING FREEZE ALONG WITH REDUCTIONS IN OPERATING EXPENSES AND CAPITAL SPENDING. ---------------------------------------------------------------- FORM 990, PART I, LINE 6 DETAIL REGARDING THE NUMBER OF VOLUNTEERS THE NUMBER SHOWN IS AN ESTIMATE OF ALUMNI VOLUNTEERS WHO WORK WITH THE UNIVERSITY'S CENTRAL ALUMNI OFFICE. ADDITIONAL VOLUNTEERS WORK IN MANY OF THE UNIVERSITY'S SCHOOLS, CENTERS AND OTHER PROGRAMS. --------------------------------------------------------------------- FORM 990, PART V, LINE 4B FOREIGN COUNTRY LIST ANGOLA BANGLADESH BRAZIL BURUNDI CAMEROON CHILE CHINA ETHIOPIA FRANCE GERMANY HAITI INDIA ITALY COTE D'IVOIRE (IVORY COAST) JAPAN JORDAN KAZAKHSTAN KENYA KYRGYZSTAN LESOTHO MALAWI MOZAMBIQUE MYANMAR NIGERIA REPUBLIC OF THE CONGO RWANDA SIERRA LEONE SOUTH AFRICA SOUTH SUDAN SWAZILAND TAJIKISTAN TANZANIA TUNISIA TURKEY UNITED KINGDOM (ENGLAND, NORTHERN IRELAND, SCOTLAND, AND WALES) UGANDA ZAMBIA ZIMBABWE ----------------------------------------------------------- FORM 990, PART V, LINES 7G AND 7H CONTRIBUTIONS OF CERTAIN TYPES OF PROPERTY DURING THE YEAR ENDED JUNE 30, 2021, THE UNIVERSITY DID NOT RECEIVE ANY CONTRIBUTIONS OF QUALIFIED INTELLECTUAL PROPERTY, CARS, BOATS, AIRPLANES, OR OTHER VEHICLES. AS A RESULT, THE UNIVERSITY WAS NOT REQUIRED TO FILE FORMS 8899 OR 1098-C TO REPORT SUCH CONTRIBUTIONS. ----------------------------------------------------------- FORM 990, PART V, LINES 15 & 16 EXCISE TAXES PER SECTION 4960 OF THE IRC AND IRS FINAL REGULATIONS (TD 9938), EXCESS REMUNERATION IS CALCULATED BASED ON THE AMOUNTS PAID DURING THE CALENDAR YEAR ENDING WITH OR WITHIN THE TAXABLE YEAR OF THE EMPLOYER. DURING THE 2020 CALENDAR YEAR, FIVE EMPLOYEES RECEIVED COMPENSATION OVER $1 MILLION THAT IS SUBJECT TO THE EXCISE TAX ON EXCESS REMUNERATION. THE UNIVERSITY HAS ANSWERED THIS QUESTION "YESHAS COMPLETED AND FILED FORM 4720 IN ACCORDANCE WITH IRS INSTRUCTIONS. THE UNIVERSITY HAS REVIEWED SECTION 4968 OF THE IRC AND IRS FINAL REGULATIONS (TD 9917) TO DETERMINE IF IT IS SUBJECT TO THE EXCISE TAX ON NET INVESTMENT INCOME. BASED ON THIS GUIDANCE, THE UNIVERSITY DETERMINED IT DOES NOT HAVE APPLICABLE ASSETS IN EXCESS OF $500,000 PER STUDENT (ON A FULL-TIME EQUIVALENT BASIS). THEREFORE, THE UNIVERSITY HAS ANSWERED "NO" AS IT IS NOT SUBJECT TO THIS TAX. ----------------------------------------------------------- FORM 990, PART VI, LINE 5 SIGNIFICANT DIVERSION OF ASSETS The University was the target of a social engineering fraud perpetrated by individuals external to the University leading to a legitimate wire transfer being misdirected. Some funds have been recovered, and the University estimates a net loss of $500,000. Upon thoroughly reviewing the facts and circumstances of the unique event, the University instituted a number of enhancements to the relevant payment processes. In addition, the University identified four unrelated instances of personal purchases by employees (in total approximately $6,200) which resulted in discipline or termination. Such amounts would not generally require disclosure. ----------------------------------------------------------- FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW 990 A SUBCOMMITTEE COMPRISED OF MEMBERS OF THE TRUSTEES' AUDIT COMMITTEE REVIEWED THE FORM 990. FOLLOWING THAT REVIEW, THE FORM 990 WAS MADE AVAILABLE TO ALL TRUSTEES VIA A SECURE WEBSITE AND THEN PRESENTED TO THE FULL BOARD OF TRUSTEES AT A MEETING ON MAY 4, 2022. THE FINAL FORM WAS POSTED ON THE SECURE WEBSITE PRIOR TO FILING. ----------------------------------------------------------- FORM 990, PART VI, LINE 12C DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST ALL TRUSTEES ARE SUBJECT TO THE "STATEMENT OF CONFLICT OF INTEREST POLICY FOR THE TRUSTEES OF COLUMBIA UNIVERSITY." WHEN A TRUSTEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCES TO THE BOARD CHAIR OR OTHERS, AS APPROPRIATE, (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE TRUSTEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSIONS OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL TRUSTEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THE DISCLOSURES ARE REVIEWED FOR APPROPRIATE ACTION. ALL OFFICERS AND KEY EMPLOYEES ARE SUBJECT TO THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST." WHEN AN OFFICER OR KEY EMPLOYEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCE TO HIS OR HER SUPERVISOR, THE TRUSTEES OR OTHERS, AS APPROPRIATE; (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE OFFICER OR EMPLOYEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSION OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL OFFICERS AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THESE DISCLOSURES ARE REVIEWED AND ANY DISCLOSURES THAT COULD GIVE RISE TO CONFLICTS AS IDENTIFIED THROUGH SUCH REVIEW ARE REPORTED TO AN APPROPRIATE SENIOR OFFICER. ANY SUBSTANTIVE CONCERNS ARE ALSO REPORTED TO THE CHAIR OF THE BOARD OF TRUSTEES. ----------------------------------------------------------- FORM 990, PART VI, LINES 15A AND 15B COMPENSATION PROCESS THE UNIVERSITY FOLLOWS THE REVIEW PROCESS DESCRIBED BELOW FOR ALL OFFICERS AND KEY EMPLOYEES. THIS PROCESS HAS BEEN IN PLACE SINCE AT LEAST 2000. THE COMPENSATION FOR THE ORGANIZATION'S PRESIDENT IS REVIEWED BY A COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES AND APPROVED BY THE INDEPENDENT TRUSTEES ON THE FULL BOARD. THE COMPENSATION OF OTHER OFFICERS AND KEY EMPLOYEES IS REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES. IN CONNECTION WITH THE PRESIDENT'S COMPENSATION, THE COMPENSATION COMMITTEE AND THE BOARD REVIEW COMPARABILITY DATA AND MINUTES OF DELIBERATIONS ARE RECORDED CONTEMPORANEOUSLY WITH ANY ACTION. WITH RESPECT TO OTHER OFFICERS AND KEY EMPLOYEES, THE COMMITTEE FOLLOWS THE SAME PROCESS FOR REVIEW OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF ITS ACTIONS. IN THE CASE OF THE ORGANIZATION'S PRESIDENT AND CERTAIN OTHER OFFICERS AND KEY EMPLOYEES, THE COMPENSATION COMMITTEE HAS ALSO CONSULTED WITH INDEPENDENT COMPENSATION CONSULTANTS IN DETERMINING COMPENSATION. THE COMPENSATION OF THE PRESIDENT AND THE EXECUTIVE VICE PRESIDENT OF THE INVESTMENT MANAGEMENT COMPANY IS REVIEWED AND APPROVED BY A COMPENSATION COMMITTEE OF THE INVESTMENT MANAGEMENT COMPANY'S BOARD OF MANAGERS. SUCH COMPENSATION COMMITTEE IS COMPRISED OF INDEPENDENT MEMBERS OF THE BOARD MANAGERS. "INDEPENDENT TRUSTEE"INDEPENDENT MEMBER" AS USED IN THIS FOOTNOTE MEANS WITHOUT A CONFLICT OF INTEREST WITHIN THE MEANING OF PARAGRAPH (C)(1)(III) OF REGULATION 53.4958-6 OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE FORM 990 INSTRUCTIONS, PART VI, LINE 1B ABOVE USES A DIFFERENT DEFINITION. ---------------------------------------------------------------- FORM 990, PART VI, LINE 19 DOCUMENTS AVAILABILITY TO PUBLIC THE ORGANIZATION'S CHARTER AND STATUTES, FINANCIAL STATEMENTS AND THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST" ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE AT WWW.COLUMBIA.EDU. ---------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON TRUSTEES TRUSTEES' TIME DEVOTED TO POSITION (4 HOURS PER WEEK) REPRESENTS AN AVERAGE FOR ALL TRUSTEES BASED ON ATTENDANCE AT QUARTERLY MEETINGS AND REGULARLY SCHEDULED TELEPHONIC CONFERENCES THROUGHOUT THE YEAR. BOARD OFFICERS, COMMITTEE CHAIRS AND OTHER TRUSTEES OFTEN DEVOTE SIGNIFICANTLY MORE TIME TO THE POSITION. ---------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON RELATED HOURS INDIVIDUALS WITH LISTED HOURS FOR A RELATED ORGANIZATION SIT ON THE BOARD OF COLUMBIA CONTROLLED AFFILIATES AS PART OF THEIR OVERALL COLUMBIA DUTIES, WHEN AND AS NEEDED BY THE AFFILIATES AND THAT MAY NOT BE ON A REGULAR OR WEEKLY BASIS. ---------------------------------------------------------------- FORM 990, PART VIII DETAIL REGARDING ROYALTY INCOME/EXPENSE THE UNIVERSITY PERIODICALLY FUNDS AND DEVELOPS PATENTS FOR CERTAIN TECHNOLOGIES, THEN LICENSES THE USAGE OF THESE PATENTS TO COMPANIES. THE REVENUE, NET OF PAYMENTS DUE TO THIRD PARTIES, IS RECORDED IN REVENUE FROM OTHER EDUCATIONAL AND RESEARCH ACTIVITIES" IN THE CONSOLIDATED STATEMENT OF ACTIVITIES. COSTS INCURRED WITH DEVELOPING AND MAINTAINING THESE PATENTS ARE EXPENSED AS INCURRED SO THAT WHILE ROYALTIES ARE PAID TO FACULTY AND OTHERS IN CERTAIN CIRCUMSTANCES THESE AMOUNTS ARE NOT REFLECTED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ---------------------------------------------------------------- FORM 990, PART VIII, LINE 8 AND SCHEDULE G, PART II DESCRIPTION OF ACCOUNTING FOR FUNDRAISING EVENTS AMOUNTS REPORTED FOR FUNDRAISING EVENTS REPRESENT REVENUE AND EXPENSES THAT ARE SEPARATELY TRACKED. THE REVENUE AND EXPENSES FROM ADDITIONAL FUNDRAISING ACTIVITIES ARE NOT SEPARATELY TRACKED AND ARE INCLUDED WITHIN CONTRIBUTION REVENUE AND FUNDRAISING EXPENSES. ---------------------------------------------------------------- FORM 990, PART IX, LINE 5 COMPENSATION PAID TO CURRENT OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES COMPENSATION AMOUNTS PRESENTED AS MANAGEMENT AND GENERAL EXPENSES ARE FOR CURRENT OFFICERS, DIRECTORS, TRUSTEES, AND KEY EMPLOYEES WHO ARE PART OF CENTRAL ADMINISTRATION. WHILE THESE OFFICERS AND KEY EMPLOYEES SPEND A PORTION OF THEIR TIME ON PROGRAM SERVICES AND/OR FUNDRAISING ACTIVITIES IN ADDITION TO THEIR MANAGEMENT RESPONSIBILITIES, THE UNIVERSITY HAS CHOSEN NOT TO ALLOCATE THE EXPENSES BETWEEN CATEGORIES. ---------------------------------------------------------------- FORM 990, PART IX, LINE 11F INVESTMENT MANAGEMENT FEES THE INVESTMENT MANAGEMENT FEES REPORTED ON THE STATEMENT OF FUNCTIONAL EXPENSES REPRESENT FEES TO THIRD PARTY INVESTMENT MANAGERS AND INCLUDE MANAGEMENT FEE AND PERFORMANCE FEE EXPENSES ASSOCIATED WITH SEPARATELY MANAGED ACCOUNTS. INVESTMENT MANAGEMENT FEES ASSOCIATED WITH FUND MANAGED ACCOUNTS. INVESTMENT MANAGEMENT FEES ASSOCIATED WITH FUND INVESTMENTS ARE REPORTED NET AGAINST INVESTMENT INCOME AND THEREFORE ARE NOT INCLUDED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ---------------------------------------------------------------- FORM 990, PART X, LINE 7 LOAN INFORMATION LOANS RECEIVABLE FROM STUDENTS TOTAL $67,412,000. LOANS RECEIVABLE FROM NON-KEY EMPLOYEES TOTAL $30,621,202. THE LOANS FROM NON-KEY EMPLOYEES HAVE VARIOUS INTEREST RATES RANGING FROM 0.38% TO 15.00%, WITH MATURITY DATES RANGING FROM 2020 THROUGH 2050. THE OUTSTANDING BALANCES RANGE FROM $13,500 TO $3,059,925 AND A PORTION OF WHICH ARE SECURED BY A PRINCIPAL RESIDENCE. --------------------------------------------------------------------- FORM 990, PART XI, LINE 8 PRIOR PERIOD ADJUSTMENTS ACCOUNTING STANDARD UPDATE 2016-08, LEASES (TOPIC 842) WAS ADOPTED IN FISCAL YEAR 2021. AS PART OF THIS ADOPTION, CHANGE IN NET ASSETS REPORTED IN THE FY2020 (2019) FORM 990 WAS ADJUSTED BY $5.2 MILLION. --------------------------------------------------------------------- FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCE CHANGE IN FUNDS HELD BY OTHER IN PERPETUITY 43,695,640 PRESENT VALUE ADJUSTMENT TO SPLIT INTEREST AGREEMENTS 48,633,934 NET PERIOD BENEFIT COST 7,489,434 CHANGES IN PENSION AND POST-RETIREMENT OBLIGATIONS 77,176,329 OTHER NON-OPERATING ADJUSTMENTS 46,851,062 TOTAL OTHER CHANGES IN NET ASSETS 223,846,399 --------------------------------------------------------------------- FORM 990, PART XII, LINE 2 AUDIT OF THE UNIVERSITY'S FINANCIAL STATEMENTS THE CONSOLIDATED FINANCIAL STATEMENTS OF THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK ARE AUDITED BY PRICEWATERHOUSECOOPERS, AN INDEPENDENT AUDITOR. THE UNCONSOLIDATED FINANCIAL STATEMENTS REFLECTED IN THIS RETURN REPRESENT APPROXIMATELY 99% OF THE NET ASSETS OF THE CONSOLIDATED GROUP. 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TOWN GRD CAYMAN CJ KY1-9002 INVESTMENTS CJ COLUMBIA FOREIGN CORP 0 281728523 1.00000 true HARBOUR LITIGATION INVEST OFFSHORE FUND PO BOX 309 UGLAND HOUSE GRAND CAYMAN CJ KY1-1104 980660716 INVESTMENTS CJ COLUMBIA FOREIGN CORP 0 4839979 1.00000 true NCH INVESTORS FUND (CU) CORP UGLANDS CHURCHPO309 GEORGE TOWN GD CAYMAN CJ KY1-1104 INVESTMENTS CJ COLUMBIA FOREIGN CORP 0 0 1.00000 true CHARITABLE REMAINDER TRUSTS (58) N/A NY COLUMBIA TRUST 0 0 POOLED INCOME FUNDS (2) N/A NY COLUMBIA TRUST 0 0 CENTERS FOR INTERNATIONAL PROGRAMS 535 WEST 116TH STREET NEW YORK NY 10027 135598093 PROGRAM SRVCS DE COLUMBIA C-CORP 0 588342 1.00000 true GLOBAL HEALTH RESEARCH CNTR-CE 1255 AMSTERDAM AVENUE NEW YORK NY 10027 PROGRAM SRVCS DE COLUMBIA C-CORP 0 87293 1.00000 true ASSOCIACAO COLUMBIA GLOBAL CENTERBRASIL RUA DA CANDELARIA 9 3O ANDAR CNT RIO DE JANEIRO BR PROGRAM SRVCS BR CGC LLC N/A 0 181703 1.00000 true UNIVERSITY WOMEN'S REALTY CORPORATION 408 LOW MEMORIAL LIBRARY MC 4336 NEW YORK NY 10025 132524803 REAL ESTATE NY COLUMBIA C-CORP 0 0 1.00000 true COLUMBIA DOCTORS OF BERGEN COUNTY 615 WEST 131ST STREET MC 8741 NEW YORK NY 10027 473568473 HEALTHCARE NJ COLUMBIA C-CORP 1838057 624285 1.00000 true COLUMBIA GLOBAL DANISMANLIK VE ARASTIRMA MECIDITE MAH MAVI SARAY 37/7 SARIYER TU PROGRAM SRVCS TU COLUMBIA FOREIGN CORP 0 0 1.00000 true COLUMBIA RESEARCH AND CONSULTANCY SRVCS EXPRESS TOWERS 11TH FL NARIMAN PT MUMBAI IN 400021 PROGRAM SRVCS IN CU INT'L PRJCTS FOREIGN CORP 0 0 0.99000 true COLUMBIA RADIOLOGY INC 630 W 168TH ST NEW YORK NY 10032 475288953 HEALTHCARE NY COLUMBIA C-CORP 0 0 1.00000 true COLUMBIA DOCTORS OF CONNECTICUT PC 630 W 168TH ST NUM 2-460 NEW YORK NY 10032 824894259 HEALTHCARE CT COLUMBIA C-CORP -36748 253542 1.00000 true BLC Energy Fund B LP PO BOX 309 GRAND CAYMAN CJ KY1-1104 CJ 981458232 INVESTMENTS CJ COLUMBIA FOREIGN CORP 0 5990000 0.83333 true Star Asia Capital Corp Ltd 89 Nexus Way CAYMAN BAY GRAND CAYMAN CJ 980525454 INVESTMENTS CJ STAR ASIA III FOREIGN CORP 3903637 153802580 0.78546 true CIM (CAYMAN) LLC PO BOX 309 UGLAND HOUSE GRAND CAYMAN CJ KY1-1104 INVESTMENTS CJ COLUMBIA FOREIGN CORP 0 0 1.00000 true Japan-Up Limited Partnership II 6/F MO BLDG HIGASHI SHIBUYA-KU, TOKYO JA 150-0011 981434666 INVESTMENTS JA COLUMBIA FOREIGN CORP -479253 82170695 0.84000 true false true false false false false false false true false false false false false false false false true ASM HUDSON RIVER FUND S 11935215 FMV CANAAN RESOURCE PARTNERS DRILLING FUND LP B 29000000 FMV CANAAN RESOURCE PARTNERS DRILLING FUND LP s 24711426 FMV GCM GROSVENOR BLUE LP b 63223 FMV GCM GROSVENOR BLUE LP S 6706314 FMV MERIT ENERGY PARTNERS V LP S 742500 FMV CALUNIUS LITIGATION RISK FUND LP b 267806 FMV Japan-up Limited Partnership II b 76023123 fmv Q INDIA EQUITY FUND LTD S 145404776 FMV BLC Energy Fund B LP S 657764 FMV Strategy Capital Institutional Investors LP S 25000000 FMV CALUNIUS LITIGATION RISK FUND 2 LP B 210916 FMV CALUNIUS LITIGATION RISK FUND 3 LP B 4106283 FMV OFS SSMH CI LP B 1097048 FMV KNIGHT FIRST AMDMT INST AT COLUMBIA B 2610273 FMV REID HALL INC S 74429 FMV COLUMBIA UNIVERSITY HEALTH CARE INC S 271883 FMV OFS Energy Fund III (Q) LP B 1097048 FMV OFS Energy Fund III (Q) LP S 9506 FMV CD Investors Fund LP B 200000000 FMV SUPPLEMENTAL INFORMATION SCHEDULE R COLUMBIA UNIVERSITY OWNS AN 81.57 INTEREST IN 2700 BROADWAY CONDOMINIUM, WHICH IS TREATED AS A CONDOMINIUM ASSOCIATION UNDER NEW YORK STATE LAW. --------------------------------------------------------------------- SCHEDULE R, PART I END-OF-YEAR ASSET REPORTING CERTAIN DISREGARDED ENTITIES LISTED IN SCHEDULE R, PART I MAY HOLD VEHICLES, OFFICE EQUIPMENT AND RELATED ITEMS, THE VALUE OF WHICH IS INCLUDED IN THE UNIVERSITY'S BALANCE SHEET IN PART X OF THIS FORM 990 BUT IS NOT REFLECTED IN COLUMN (E) END-OF-YEAR ASSETS. --------------------------------------------------------------------- SCHEDULE R, PART I, COLUMNS (D) AND (E) INCOME/ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM I, LLC WHICH OWN 100 OF THE SHARES ENTITLED TO THE INCOME AND ASSETS OF FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM I, LLC REPRESENT A 100 SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED AS REPORTED IN SCHEDULE R, PART IV. THE SHARES OWNED BY CIM I ARE NON-VOTING SHARES. COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM V, LLC, WHICH IS THE SOLE MEMBER OF CONQUEST MANAGED FUTURES SELECT FUND II, LLC. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM V, LLC REPRESENT A 100 SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CONQUEST MANAGED FUTURES SELECT FUND II, LLC, AS REPORTED IN SCHEDULE R, PART I. --------------------------------------------------------------------- SCHEDULE R, PART IV CONSISTENT WITH GAAP, THE UNIVERSITY DOES NOT CONSOLIDATE THE ENTITIES LISTED IN PART IV SCHEDULE R WHICH HAVE INVESTMENTS AS THEIR PRIMARY PURPOSE. THIS IS BECAUSE THE UNIVERSITY DOES NOT HAVE SUFFICIENT VOTING POWER WITH RESPECT TO THESE ENTITIES TO SATISFY THE CONTROL TEST FOR CONSOLIDATION UNDER GAAP. THE AMOUNTS SHOWN IN SCHEDULE R, PART IV, COLUMN (G) REFLECT THE UNIVERSITY'S SHARE OF THE NET ASSETS OF THESE ENTITIES FOR THE FISCAL YEAR REPORTING PERIOD WHICH, CONSISTENT WITH GAAP, IS REFLECTED ON LINE 16 OF THE BALANCE SHEET IN PART X OF THIS FORM 990. SIMILARLY, THE UNIVERSITY'S SHARE OF ANY CURRENT INCOME AND REALIZED GAINS FROM THESE ENTITIES IS REFLECTED IN COLUMN (F) OF SCHEDULE R, PART IV AND ON THE STATEMENT OF REVENUE IN PART VIII. THESE ENTITIES EACH OPERATE ON A CALENDAR-YEAR BASIS, AND THE UNIVERSITY'S SHARE OF THE GROSS INCOME AND TOTAL ASSETS FOR EACH OF THESE ENTITIES FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2021 IS SET FORTH BELOW: ASM HUDSON RIVER FUND SHARE OF TOTAL (GROSS) INCOME: $(8,328,395) SHARE OF END-OF-YEAR (GROSS) ASSETS: $18,266,168 COLUMBIA/PATRON SCOTLAND LP SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $0 FPCM INFLATION-LINKED OPPORTUNITIES FUND, LTD SHARE OF TOTAL (GROSS) INCOME: $4,403,973 SHARE OF END-OF-YEAR (GROSS) ASSETS: $303,661,284 HARBOUR LITIGATION INVESTMENT OFFSHORE SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $9,567,096 NCH INVESTORS FUND (CU) CORP SHARE OF TOTAL (GROSS) INCOME: $(343,592) SHARE OF END-OF-YEAR (GROSS) ASSETS: $0 BLC ENERGY FUND B LP SHARE OF TOTAL (GROSS) INCOME: $(804,922) SHARE OF END-OF-YEAR (GROSS) ASSETS: $7,393,531 STAR ASIA CAPITAL CORP, LTD. SHARE OF TOTAL (GROSS) INCOME: $146,952 SHARE OF END-OF-YEAR (GROSS) ASSETS: $165,572,806 JAPAN-UP LIMITED PARTNERSHIP II SHARE OF TOTAL (GROSS) INCOME: $2,829,152 SHARE OF END-OF-YEAR (GROSS) ASSETS: $54,776,647 CIM (CAYMAN) SHARE OF TOTAL (GROSS) INCOME: $3,873,343 SHARE OF END-OF-YEAR (GROSS) ASSETS: $41,433,846 --------------------------------------------------------------------- SCHEDULE R, PART IV AS OF JUNE 30, 2021, THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK HELD MORE THAN A 50 BENEFICIAL INTEREST IN 58 CHARITABLE REMAINDER TRUSTS DOMICILED IN NEW YORK AND 2 POOLED INCOME FUNDS DOMICILED IN NEW YORK.