2022-05-16T11:16:38-05:00 2021-06-30 135565207 KPMG LLP 515 BROADWAY 4TH FLOOR ALBANY NY 12207 990 2020-07-01 150532078 COLGATE UNIVERSITY COLG 3152287422 13 OAK DRIVE HAMILTON NY 13346 JOSEPH S HOPE TREASURER 3152287422 2022-05-11 1 JOSEPH HOPE 999009999 TODD P TERESCO P00247720 5184274600 2022-05-10 3 AAL1 IAL1 2020 2022-09-23 18:48:47Z BRIAN W CASEY 13 OAK DRIVE HAMILTON NY 13346 576000781 0 X WWW.COLGATE.EDU X 1819 NY SEE SCHEDULE O 34 32 2676 2000 -771182 0 41743864 72298813 209427750 216154499 55235523 88917402 1135818 743834 307542955 378114548 67616511 67695101 0 0 119276850 116924425 0 0 8663773 84904846 88949431 271798207 273568957 35744748 104545591 1634406536 1984946016 415347719 407464319 1219058817 1577481697 X SEE SCHEDULE O 0 0 240071161 67695101 216154499 TO PROVIDE A WORLD-CLASS AND DEMANDING UNDERGRADUATE EDUCATIONAL EXPERIENCE FOR A TALENTED AND DIVERSE GROUP OF APPROXIMATELY 2,900 STUDENTS. THE PURPOSE IS TO DEVELOP WISE, THOUGHTFUL, CRITICAL THINKERS AND PERCEPTIVE LEADERS BY ENCOURAGING YOUNG MEN AND WOMEN TO FULFILL THEIR POTENTIAL THROUGH RESIDENCE IN A COMMUNITY THAT VALUES ALL FORMS OF INTELLECTUAL RIGOR AND RESPECTS THE COMPLEXITY OF HUMAN UNDERSTANDING. 240071161 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 0 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 1 1 1 0 0 0 1 X 4217 0 1 2676 1 1 1 1 AS FR GM JA JM SP UK 0 0 0 1 1 0 0 0 0 0 0 X 34 32 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA NY VA X JOSEPH S HOPE 3152287422 13 OAK DRIVE HAMILTON NY 13346 BRIAN W CASEY PRESIDENT 60.00 0.00 X X 616712 0 109399 PATRICIA APELIAN AITKEN TRUSTEE 3.00 0.00 X 0 0 0 ERIC ANDERSEN TRUSTEE 3.00 0.00 X 0 0 0 BRION B APPLEGATE TRUSTEE 5.00 0.00 X 0 0 0 THOMAS S BOZZUTO JR TRUSTEE 5.00 0.00 X 0 0 0 GRETCHEN H BURKE VICE CHAIR 6.00 0.00 X 0 0 0 CELIA A COLBERT TRUSTEE 3.00 0.00 X 0 0 0 GUS P COLDEBELLA VICE CHAIR 6.00 0.00 X 0 0 0 ERIC A COLE TRUSTEE 5.00 0.00 X 0 0 0 MELISSA J COLEY TRUSTEE 4.00 0.00 X 0 0 0 JEAN-PIERRE CONTE TRUSTEE 3.00 0.00 X 0 0 0 GIOVANNI CUTAIA TRUSTEE 4.00 0.00 X 0 0 0 TERESA DELGADO TRUSTEE 5.00 0.00 X 0 0 0 THOMAS W DEMPSEY JR TRUSTEE 3.00 0.00 X 0 0 0 CARMINE DISIBIO TRUSTEE 4.00 0.00 X 0 0 0 THERESA DONAHUE EGLER TRUSTEE 5.00 0.00 X 0 0 0 SONYA A FALCONE TRUSTEE 3.00 0.00 X 0 0 0 JULIAN W FARRIOR III TRUSTEE 5.00 0.00 X 0 0 0 JEANNE A FOLLANSBEE VICE CHAIR 6.00 0.00 X 0 0 0 ANDREW S GREENFIELD TRUSTEE 3.00 0.00 X 0 0 0 JOHN A HAYES TRUSTEE 3.00 0.00 X 0 0 0 MICHAEL J HERLING BOARD CHAIR 10.00 0.00 X 0 0 0 KIMBERLY HUFFARD TRUSTEE 5.00 0.00 X 0 0 0 BECKY B HURLEY TRUSTEE 4.00 0.00 X 0 0 0 ROBERT C JOHNSON TRUSTEE 3.00 0.00 X 0 0 0 NINA KOHLER TRUSTEE 4.00 0.00 X 0 0 0 NORA GLEASON LEARY TRUSTEE 4.00 0.00 X 0 0 0 AMY VULLO MACMILLAN TRUSTEE 3.00 0.00 X 0 0 0 JOSEPH P MCGRATH JR TRUSTEE 5.00 0.00 X 0 0 0 DENNISTON M REID TRUSTEE 3.00 0.00 X 0 0 0 CLARISSA V SHAH TRUSTEE 3.00 0.00 X 0 0 0 JEFFREY W SHARP TRUSTEE 3.00 0.00 X 0 0 0 ANDREW W SWEET TRUSTEE 4.00 0.00 X 0 0 0 THOMAS B TYREE JR TRUSTEE 3.00 0.00 X 0 0 0 JOSEPH S HOPE SR. VP-FIN/ADM, CIO, TREASURER 50.00 0.00 X 385169 0 42851 HANNA RODRIGUEZ-FARRAR CHIEF OF STAFF, SECRETARY 50.00 0.00 X 227004 0 42474 TRACEY HUCKS DEAN OF FACULTY & PROVOST 50.00 0.00 X 344696 0 75824 NICKI MOORE VP & DIRECTOR OF ATHLETICS 50.00 0.00 X 325076 0 43788 ROBERT TYBURSKI VP & SENIOR ADVISOR 50.00 0.00 X 292013 0 47650 CHRISTOPHER WELLS SENIOR ADVISOR TO PRESIDENT 50.00 0.00 X 248945 0 53756 PAUL MCLOUGHLIN VP & DEAN OF THE COLLEGE 50.00 0.00 X 239738 0 67728 LAURA JACK VP OF COMMUNICATIONS 50.00 0.00 X 242124 0 34867 KARL CLAUSS VP FOR ADVANCEMENT 50.00 0.00 X 184520 0 34104 MATTHEW LANGEL HEAD COACH MEN'S BASKETBALL 50.00 0.00 X 439226 0 42851 DANIEL HUNT FOOTBALL COACH 50.00 0.00 X 296332 0 72679 TRISH ST LEGER VICE PROVOST 50.00 0.00 X 231860 0 41370 MICHAEL HAINES PROFESSOR 50.00 0.00 X 230997 0 40202 GARY ROSS VP & DEAN OF ADMISSIONS 50.00 0.00 X 229138 0 40764 JILL HARSIN FORMER INTERIM PRESIDENT 50.00 0.00 X 190554 0 32870 MURRAY DECOCK FORMER SR ADV/STRAT INITIATIVE 40.00 0.00 X 247505 0 27475 CONSTANCE HARSH FORMER DEAN OF FACULTY/PROVOST 50.00 0.00 X 167742 0 30282 5139351 0 880934 235 1 1 0 CHARTWELL'S PO BOX 417632 BOSTON MA 02241 FOOD SERVICE 7431964 INSTITUTE FOR STUDY ABROAD 6201 CORPORATE DRIVE SUITE 200 INDIANAPOLIS IN 46278 STUDY ABROAD 1215344 MURPHY EXCAVATING CORPORATION 9309 CHAPMAN ROAD NEW HARTFORD NY 13413 CONSTRUCTION 1184091 PIKE COMPANY INC 20 LOUDONVILLE ROAD ALBANY NY 12204 CONSTRUCTION 1089697 ROBERT AM STERN ARCHITECTS INC ONE PARK AVENUE NEW YORK NY 10016 ARCHITECTS 934498 49 5826334 66472479 12492072 72298813 TUITION AND FEES 900099 181285703 181285703 SALES & SERVICES OF AUXILIARIES 900099 32644275 31814538 829737 OTHER EDUCATIONAL ACTIVITIES 900099 2224521 2224521 216154499 8456441 -1600919 10057360 15116 15116 710825 1075919 -365094 -365094 -365094 274987818 194526857 80460961 80460961 80460961 3377269 2283457 1093812 1093812 378114548 215324762 -771182 91262155 1530489 1530489 66164612 66164612 3105997 3105997 556045 556045 89296722 72794821 10836154 5665747 8770904 7214535 1021569 534800 8645195 6531945 1614969 498281 6549562 5386552 763942 399068 6608612 5562737 925703 120172 756341 636643 105945 13753 256250 215696 35894 4660 5000 4209 700 91 1357613 1142758 190168 24687 9077052 7640524 1271470 165058 6491719 5706221 584255 201243 1234494 1234494 1194465 1122032 49877 22556 11828551 11828551 16074390 14758725 1306428 9237 3159045 1717058 1413217 28770 GENERAL OPERATING COSTS 13716035 10235797 3059146 421092 REPAIRS & MAINTENANCE 7765794 6833587 799472 132735 UTILITIES 4459322 3902773 451680 104869 LIBRARY ACQUISITIONS 3014068 3011812 1690 566 1950680 1232548 401744 316388 273568957 240071161 24834023 8663773 2725486 3146123 34401772 29544676 23905826 47753784 3650135 8179566 0 0 0 0 767647 556157 2001240 4756790 1103981 2270775 760310824 308594766 454275363 451716058 347428442 508318724 751002047 913749236 0 0 0 0 13144597 14954127 1634406536 1984946016 18327324 24133937 0 0 17193586 11708544 108453166 103459545 0 0 0 0 0 0 220504343 220597008 50869300 47565285 415347719 407464319 X 410005679 488922844 809053138 1088558853 1219058817 1577481697 1634406536 1984946016 X 104545591 242083866 11793423 X 0 1 X 1 1 1 X 32246334 30886868 70318653 41743864 72298813 247494532 32246334 30886868 70318653 41743864 72298813 247494532 48055459 199439073 6120026 8812501 10379816 6209516 9182382 40704241 288198773 1013863664 0.69200 0.71230 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 0 1 5000 5000 0 PART II-B, LINE 1: LINE 1G COLGATE UNIVERSITY STAFF FROM TIME TO TIME SEND LETTERS TO POLITICAL REPRESENTATIVES EXPRESSING OPINIONS ON CERTAIN LEGISLATION AND TOPICS. DURING THE CURRENT FISCAL YEAR, COLGATE DID NOT INCUR ANY EXPENSES FOR THESE ACTIVITES. LINE 1I COLGATE UNIVERSITY BELONGS TO MEMBER ORGANIZATIONS WHICH MAY OR MAY NOT ENGAGE IN LOBBYING ACTIVITIES. AGGREGATE DUES IN THE AMOUNT OF $200,000 WERE PAID DURING THE FISCAL YEAR AND REPORTED ON THIS RETURN. SOME PORTION OF THOSE DUES MAY BE UTILIZED FOR LOBBYING ACTIVITIES. FROM TIME TO TIME, COLGATE WORKS WITH OUTSIDE FIRMS TO LOBBY FOR GRANTS TO FUND CERTAIN CAPITAL PROJECTS. DURING THE CURRENT FISCAL YEAR, COLGATE DID NOT INCUR ANY EXPENSES RELATED TO OUTSIDE FIRMS. 191401 16568362 X X X X 0 959652631 24834154 325764322 19643694 25183344 2399748 1263024321 949230415 27128647 31046267 19319531 26254410 2178757 959652631 934593611 18716284 44112157 19144981 26999295 2044361 949233415 883350926 20007630 77829399 18373211 26489962 1731171 934593611 824316121 11002068 92351818 17396478 25577317 1345286 883350926 0.21530 0.36290 0.42180 0 0 47362043 47362043 595170243 220912406 374257837 7392670 7350189 42481 110385868 80332171 30053697 451716058 REAL ASSET 116067832 F EQUITY INVESTMENTS 92547535 F PRIVATE EQUITY 171190297 F VENTURE CAPITAL 170348364 F HEDGE 362695489 F OTHER 899719 C 913749236 ANNUITIES & DEF. GIVING ARRANGEMENT 18316163 POST-RETIREMENT BENEFIT OBLIGATIONS 17327107 FEDERAL STUDENT LOAN FUNDS 324729 CONDITIONAL ARO 11597286 47565285 X PART III, LINE 4: DESCRIPTION OF ARTWORK THE PICKER ART GALLERY AT COLGATE UNIVERSITY SEEKS TO ENGAGE THE IMAGINATIONS, STIMULATE THE MINDS AND CAPTIVATE THE EYES OF ITS VISITORS - STUDENTS, FACULTY, STAFF, COMMUNITY MEMBERS AND TRAVELERS ALIKE. IT AIMS TO SERVE AS A LABORATORY FOR THE EXPLORATION AND PRESENTATION OF NEW IDEAS ABOUT AND RELATED TO ART; AS A FORUM FOR INTERDISCIPLINARY COLLABORATIONS GROUNDED IN VISUAL UNDERSTANDING; AS A BEACON OF EXCELLENCE IN ITS EXHIBITIONS, PROJECTS AND PUBLICATIONS; AND AS A SANCTUARY FOR THE CONTEMPLATION AND ENJOYMENT OF ART. THE LONGYEAR MUSEUM OF ANTHROPOLOGY IS MAINTAINED BY THE DEPARTMENT OF SOCIOLOGY AND ANTHROPOLOGY AS A TEACHING MUSEUM. THE COLLECTION OF ARCHAEOLOGICAL AND ETHNOLOGICAL MATERIALS, PRIMARILY RELATED TO THE AMERICAN INDIAN AND PALEOLITHIC IMPLEMENTS, INCLUDES THE MORTIMER C. HOWE COLLECTION OF AMERICAN INDIAN ARTIFACTS, THE HERBERT W. BIGFORD COLLECTION OF ONEIDA INDIAN ARCHAEOLOGY AND THE WALTER BENNETT COLLECTION OF IROQUOIS AND PRE-IROQUOIS ITEMS. THE ROBERT M. LINSLEY GEOLOGY EXHIBITS MINERALS, ROCKS, AND FOSSILS, HIGHLIGHTING THE BEAUTY AND WONDER OF THESE OBJECTS WHILE ALSO INFORMING VISITORS ABOUT HOW GEOLOGISTS STUDY THE EARTH. THREADED THROUGHOUT THE MUSUEM IS A SPECIFIC FOCUS ON WHAT WE KNOW ABOUT NEW YORK STATE'S GEOLOGIC PAST. PART V, LINE 4: USE OF ENDOWMENT FUNDS THE ENDOWMENT IS MANAGED AND INVESTED TO PROVIDE CURRENT AND FUTURE SUPPORT FOR THE OPERATIONS OF THE UNIVERSITY. EXAMPLES OF SUPPORT PROVIDED INCLUDE FINANCIAL AID, FACILITIES UPKEEP, RESEARCH, FACULTY COMPENSATION AND OTHER ACADEMIC AND STUDENT OPERATIONS. PART X, LINE 2: THE UNIVERSITY, INCLUDING COLGATE INN, LLC; HAMILTON INITIATIVE, LLC; PALACE THEATER, LLC; HAMILTON THEATER, LLC; HAMILTON HOUSING INITIATIVE, LLC; AND HAMILTON HOTEL, LLC ALL SINGLE MEMBER LIMITED LIABILITY CORPORATIONS OF WHICH THE UNIVERSITY IS THE SOLE MEMBER, GENERALLY DOES NOT PROVIDE FOR INCOME TAXES SINCE IT IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. THE UNIVERSITY RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY IF IT IS MORE LIKELY THAN NOT THAT A TAX POSITION WILL BE SUSTAINED BY THE RELEVANT TAXING AUTHORITY. THE UNIVERSITY BELIEVES IT HAS TAKEN NO SIGNIFICANT UNCERTAIN TAX POSITIONS. 1 1 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 SEE PART II SCHEDULE E, PART I, LINE 6 COLGATE UNIVERSITY PARTICIPATES IN THE TITLE IV AID PROGRAMS OF THE FEDERAL GOVERNMENT, RECEIVES RESTRICTED GRANTS AND UNRESTRICTED GIFTS FROM THE STATE OF NEW YORK AND WILL APPLY AS APPROPRIATE FOR GRANTS AWARDED ON A COMPETITIVE BASIS BY THE STATE OR FEDERAL GOVERNMENT. LINE 3 - EXPLANATION OF NONDISCRIMINATION POLICY: COLGATE UNIVERSITY FULLY SUBSCRIBES TO ALL FEDERAL AND STATE CIVIL RIGHTS LAWS BANNING DISCRIMINATION IN PRIVATE INSTITUTIONS OF HIGHER EDUCATION. THESE INCLUDE BUT ARE NOT LIMITED TO TITLE IX AND TITLE VI OF THE EDUCATION AMENDMENTS OF 1972, TITLE VII OF THE CIVIL RIGHTS ACT OF 1964, THE AMERICAN WITH DISABILITIES ACT, THE REHABILITATION ACT, AND THE NEW YORK STATE HUMAN RIGHTS LAW. COLGATE IS COMMITTED NOT ONLY TO COMPLIANCE WITH THESE LAWS BUT WITH PROMOTING A COMMUNITY THAT LIVES OUT THE VALUES THESE EQUAL OPPORTUNITY LAWS ENVISION. THE UNIVERSITY PUBLICIZES ITS RACIALLY NON-DISCRIMINATORY POLICY ON ITS WEBSITE AND ANNUALLY IN THE UNIVERSITY CATALOGUE. IN ADDITION, THE UNIVERSITY HAS DEMONSTRATED THAT IT FOLLOWS THIS POLICY BY CONTINUOUSLY ENROLLING STUDENTS OF RACIAL MINORITY GROUPS IN MEANINGFUL NUMBERS. ACCORDINGLY, COLGATE UNIVERSITY MEETS THE REQUIREMENTS OF REV. PROC. 75-50 (SEE SECTION 4.03(2)(B)). COLGATE UNIVERSITY'S POLICIES CAN ALSO BE FOUND AT HTTPS://WWW.COLGATE.EDU/ABOUT/OFFICES-CENTERS-INSTITUTES/PROVOST-AND-DEA N-FACULTY/EQUITY-AND-DIVERSITY/NON-DISCRIMINATION. 1 EAST ASIA AND THE PACIFIC 2 2 PROGRAM SERVICES STUDY GROUPS 105341 CENTRAL AMERICA AND THE CARIBBEAN 1 1 PROGRAM SERVICES STUDY GROUPS 1000 EUROPE (INCLUDING ICELAND & GREENLAND) 7 7 PROGRAM SERVICES STUDY GROUPS 12390 SUB-SAHARAN AFRICA 1 1 PROGRAM SERVICES STUDY GROUPS 132 SOUTH ASIA 1 1 PROGRAM SERVICES STUDY GROUPS 1900 NORTH AMERICA 0 0 INVESTMENTS 11023218 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 238563474 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 9335726 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 3357169 12 12 0 0 12 12 259043181 3357169 262400350 1 0 1 1 1 0 PART I, LINE 2: FINANCIAL AID ("GRANTS") IS AWARDED BASED ON NEED AS DETERMINED BY AN ANALYSIS OF EACH APPLICANTS REQUIRED SUBMISSION OF A COLLEGE SCHOLARSHIP PROFILE, A FREE APPLICATION FOR FEDERAL STUDENT AID (FAFSA), AND (WHEN APPLICABLE) FEDERAL TAX RETURNS. GRANTS AWARDED THROUGH THE FINANCIAL AID OFFICE ARE DISBURSED DIRECTLY TO THE STUDENT'S TUITION ACCOUNT WHERE THEY ARE APPLIED TO EDUCATIONAL CHARGES. GRANTS ARE AWARDED IN COMBINATION WITH AN EXPECTED FAMILY CONTRIBUTION, IF ANY, TO MEET AN INDIVIDUAL'S EDUCATIONAL PROGRAM BUDGET. GRANTS ARE REVIEWED ANNUALLY FOR COMPLIANCE BY AN INDEPENDENT AUDIT FIRM. DUE TO THE GLOBAL PANDEMIC, COLGATE'S STUDY ABROAD PROGRAMS WERE CANCELLED FOR FY21. PART III ACCOUNTING METHOD: 1 CHENANGO NURSERY SCHOOL 59 WEST KENDRICK AVENUE HAMILTON NY 13346 160901859 501 (C) (3) 78064 GENERAL FUNDING COMMUNITY MEMORIAL HOSPITAL 150 BROAD STREET HAMILTON NY 13346 161603283 501 (C) (3) 750000 GENERAL FUNDING HAMILTON CENTRAL SCHOOL 47 WEST KENDRICK AVENUE HAMILTON NY 13346 156002230 PUBLIC SCHOOL 234480 GENERAL FUNDING HAMILTON FOOD CUPBOARD 6697 AIRPORT ROAD PO BOX 411 HAMILTON NY 13346 161310963 501 (C) (3) 5000 GENERAL FUNDING HAMILTON NEW YORK INTERNATIONAL FILM FESTIVAL 7902 CITRUS BLOSSOM DRIVE LAND O LAKES FL 34637 833238454 501 (C) (3) 5000 GENERAL FUNDING PARTNERSHIP FOR COMMUNITY DEVELOPMENT 11 PAYNE STREET HAMILTON NY 13346 161572206 501 (C) (3) 70000 GENERAL FUNDING TOWN OF HAMILTON 16 BROAD STREET HAMILTON NY 13346 156000972 TOWN 86113 GENERAL FUNDING VILLAGE OF HAMILTON 3 BROAD STREET HAMILTON NY 13346 156001316 VILLAGE 253870 GENERAL FUNDING COLGATE UNIVERSITY ALUMNI CORPORATION 13 OAK DRIVE HAMILTON NY 13346 150532083 501 (C) (3) 47962 GENERAL FUNDING 6 0 SCHOLARSHIPS TO STUDENTS 1309 65341611 HEERF EMERGENCY GRANTS TO STUDENTS 932 823001 PART I, LINE 2: GRANT PROCEDURES COLGATE UNIVERSITY OFFERS GRANTS & LOANS TO STUDENTS ON THE BASIS OF DEMONSTRATED FINANCIAL NEED. STUDENTS MUST MEET CERTAIN ELIGIBILITY REQUIREMENTS. GRANTS AND LOANS ARE ADMINISTERED BY THE FINANCIAL AID OFFICE. STUDENTS AND THEIR PARENTS COMPLETE EXTENSIVE APPLICATION MATERIALS, SUBMIT TAX RETURNS AND OTHER SUPPORTING DOCUMENTATION TO SUPPORT THEIR CLAIM FOR FINANCIAL ASSISTANCE. COLGATE ALSO OFFERS A LIMITED NUMBER OF ATHLETIC SCHOLARSHIPS (NON-NEED BASED) THAT ARE AVAILABLE FOR SELECT INTERCOLLEGIATE SPORTS. COLGATE UNIVERSITY RECEIVES VARIOUS REQUESTS FOR GRANTS AND OTHER SUPPORT FROM LOCAL ENTITIES THROUGHOUT THE FISCAL YEAR. THE ENTITIES SELECTED TO RECEIVE GRANTS, AS LISTED IN PART II, ARE SELECTED TO RECEIVE FUNDING SOLELY FOR LOCAL PURPOSES. PART III, LINE 2: FEDERAL CARES ACT HIGHER EDUCATION EMERGENCY RELIEF FUND ON APRIL 23, 2020, COLGATE UNIVERSITY SIGNED AND RETURNED TO THE U.S. DEPARTMENT OF EDUCATION THE RECIPIENT'S FUNDING CERTIFICATION AND AGREEMENT RELATIVE TO EMERGENCY FINANCIAL AID GRANTS TO STUDENTS MADE AVAILABLE UNDER THE CORONAVIRUS AID, RELIEF, AND ECONOMIC SECURITY (CARES) ACT, WHICH WAS PASSED BY CONGRESS AND SIGNED INTO LAW ON MARCH 27, 2020. SUBSEQUENT TO SIGNING AND RETURNING THE AGREEMENT TO THE U.S. DEPARTMENT OF EDUCATION, COLGATE UNIVERSITY RECEIVED, ON MAY 7, 2020, FUNDING IN THE AMOUNT OF $818,001 AND ON APRIL 19, 2021 IN THE AMOUNT OF $823,001. THE FUNDS ARE TO BE USED BY COLGATE TO ISSUE DIRECT GRANTS TO STUDENTS WHOSE LIVES HAVE BEEN DISRUPTED BY COVID-19. PURSUANT TO THE CARES ACT, THE GRANTS ARE TO BE USED BY STUDENTS FOR EXPENSES RELATED TO THE DISRUPTION OF CAMPUS OPERATIONS DUE TO THE CORONAVIRUS PANDEMIC SUCH AS HOUSING, FOOD, COURSE MATERIALS, TECHNOLOGY, HEALTHCARE AND CHILDCARE. AS OF JUNE 30, 2021, COLGATE UNIVERSITY HAS DISTRIBUTED 1,818 EMERGENCY FINANCIAL AID GRANTS UNDER SECTION 18004(A)(1) OF THE CARES ACT TO ITS STUDENTS. X X X X 1 1 X X X X X X 1 0 0 0 0 0 0 1 0 BRIAN W CASEY PRESIDENT 590522 0 0 0 26190 0 40805 0 68594 0 726111 0 0 0 MATTHEW LANGEL HEAD COACH MEN'S BASKETBALL 385526 0 52500 0 1200 0 35194 0 7657 0 482077 0 0 0 JOSEPH S HOPE SR. VP-FIN/ADM, CIO, TREASURER 382765 0 0 0 2404 0 35194 0 7657 0 428020 0 0 0 TRACEY HUCKS DEAN OF FACULTY & PROVOST 342740 0 0 0 1956 0 42230 0 33594 0 420520 0 0 0 DANIEL HUNT FOOTBALL COACH 284826 0 10000 0 1506 0 35194 0 37485 0 369011 0 0 0 NICKI MOORE VP & DIRECTOR OF ATHLETICS 278326 0 31000 0 15750 0 35194 0 8594 0 368864 0 0 0 ROBERT TYBURSKI VP & SENIOR ADVISOR 271122 0 0 0 20891 0 39993 0 7657 0 339663 0 0 0 PAUL MCLOUGHLIN VP & DEAN OF THE COLLEGE 238372 0 0 0 1366 0 28894 0 38834 0 307466 0 0 0 CHRISTOPHER WELLS SENIOR ADVISOR TO PRESIDENT 232643 0 0 0 16302 0 34715 0 19041 0 302701 0 0 0 LAURA JACK VP OF COMMUNICATIONS 220797 0 0 0 21327 0 26273 0 8594 0 276991 0 0 0 MURRAY DECOCK FORMER SR ADV/STRAT INITIATIVE 196274 0 0 0 51231 0 21094 0 6381 0 274980 0 0 0 TRISH ST LEGER VICE PROVOST 229838 0 0 0 2022 0 33713 0 7657 0 273230 0 0 0 MICHAEL HAINES PROFESSOR 226622 0 0 0 4375 0 32545 0 7657 0 271199 0 0 0 GARY ROSS VP & DEAN OF ADMISSIONS 225189 0 0 0 3949 0 32807 0 7957 0 269902 0 0 0 HANNA RODRIGUEZ-FARRAR CHIEF OF STAFF, SECRETARY 223732 0 0 0 3272 0 33880 0 8594 0 269478 0 0 0 JILL HARSIN FORMER INTERIM PRESIDENT 182622 0 0 0 7932 0 25213 0 7657 0 223424 0 0 0 KARL CLAUSS VP FOR ADVANCEMENT 134297 0 0 0 50223 0 15789 0 18315 0 218624 0 0 0 CONSTANCE HARSH FORMER DEAN OF FACULTY/PROVOST 166222 0 0 0 1520 0 22625 0 7657 0 198024 0 0 0 PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL: PRESIDENT CASEY WAS PERMITTED TO FLY FIRST CLASS OR CHARTER DURING THE FISCAL YEAR ON BUSINESS TRIPS. RESIDENCE FOR PERSONAL USE: RESIDENCES FOR PERSONAL USE ARE PROVIDED ONLY WHEN IT IS SPECIFICALLY STATED IN AN EMPLOYMENT CONTRACT. SUCH ARRANGEMENTS ARE PROVIDED AS PART OF THE EMPLOYEE'S OVERALL COMPENSATION PACKAGE. PRESIDENT CASEY, TRACEY HUCKS, AND PAUL MCLOUGHLIN WERE REQUIRED TO LIVE ON THE COLGATE CAMPUS AS A CONDITION OF THEIR EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY, THEREFORE THEIR HOUSING IS CONSIDERED A NON-TAXABLE FRINGE BENEFIT AND NOT INCLUDED IN THEIR W-2 WAGES. THE VALUE OF THE RESIDENCES PROVIDED FOR PERSONAL USE WERE $60,000, $25,000, AND $30,240, RESPECTIVELY, AND THESE AMOUNTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (D) AS NON-TAXABLE BENEFITS. HEALTH OR SOCIAL CLUB DUES: JOSEPH HOPE WAS PROVIDED WITH A CLUB MEMBERSHIP. THE MEMBERSHIP WAS TREATED AS TAXABLE COMPENSATION AND INCLUDED IN HIS W-2. PERSONAL SERVICES: PRESIDENT CASEY RECEIVES CERTAIN PERSONAL SERVICES PROVIDED AT HIS CAMPUS RESIDENCE. SUCH SERVICES WERE STIPULATED IN THEIR EMPLOYMENT CONTRACT. THE BENEFIT IS INCLUDED IN THE INDIVIDUAL'S FORM W-2, WHERE APPROPRIATE. PART I, LINE 4A MURRAY DECOCK RECEIVED A SEVERANCE PAYMENT OF $41,667 IN CALENDAR YEAR 2020. PART I, LINE 7 MEN'S BASKETBALL COACH, FOOTBALL COACH, AND VP & DIRECTOR OF ATHLETICS RECEIVED NON-FIXED PERFORMANCE BASED PAYMENTS OF $52,500, $10,000, AND $31,000, RESPECTIVELY. A MCCRC - SERIES 2012A 272499520 557363BJ6 2012-06-15 30709683 REFI OF SERIES 2003A & 2003B 0 0 0 B MCCRC - SERIES 2013A 272499520 557363BY3 2013-02-14 49773660 REFI OF SERIES 2004 0 0 0 C MCCRC - SERIES 2015A 272499520 557363CK2 2015-05-14 45563513 REFI OF SERIES 2005A 0 0 0 D MCCRC - SERIES 2015B 272499520 557363DH8 2015-07-08 54998052 NEW DORM AND OTHER CAMPUS PROJECTS 0 0 0 A 10495000 12270000 30709683 490076 30219607 2012 0 1 1 1 B 41185000 49773660 759011 49014649 2013 0 1 1 1 C 45563513 781253 44782260 2015 0 1 1 1 D 320000 55079749 877758 54201991 2018 0 0 1 1 A 0 0 1 1 0 0.00060 0.00730 0.00790 0 0 1 B 0 1 1 1 0 0 0 1 C 0 0 1 1 1 1 0.00030 0.00030 0 0 1 D 0 0 1 1 0 0.00240 0.00240 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 1 0 0 0 0 0 1 D 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: MCCRC - SERIES 2012A DATE THE REBATE COMPUTATION WAS PERFORMED: 06/15/2012 ISSUER NAME: MCCRC - SERIES 2013A DATE THE REBATE COMPUTATION WAS PERFORMED: 02/24/2013 ISSUER NAME: MCCRC - SERIES 2015B DATE THE REBATE COMPUTATION WAS PERFORMED: 02/24/2019 SCHEDULE K, PART III, LINES 3C AND 3D: THESE ARE RESEARCH AGREEMENTS THAT INVOLVE THE USE OF BOND FINANCED SPACE WHICH THE UNIVERSITY ROUTINELY ENGAGES BOND COUNSEL TO REVIEW WHETHER ANY RESEARCH AGREEMENTS RESULT IN PRIVATE BUSINESS USE. BASED ON REVIEW, NO KNOWN PRIVATE BUSINESS USE IS EVIDENT. SCHEDULE K, PART IV, LINE 2B, COLUMN C: THE SIX MONTHS SPENDING EXCEPTION WAS MET DUE TO THE FACT PROCEEDS WERE USED FOR REFUNDING A PRIOR ISSUE WITHIN SIX MONTHS AFTER THE DATE OF ISSUANCE. MURRAY DECOCK RELATIVE OF TRUSTEE 261397 SEE PART V 0 KEITH TYBURSKI SON OF SECRETARY 64064 SEE PART V 0 JASON SHUMAKER SPOUSE OF KEY EMPLOYEE 95058 SEE PART V 0 ANASTASIA WELLS SPOUSE OF KEY EMPLOYEE 75526 SEE PART V 0 WILLIAM MOORE SPOUSE OF KEY EMPLOYEE 60000 SEE PART V 0 SCH L, PART IV, COLUMN (D): FISCAL YEAR 2021 COMPENSATION AS AN EMPLOYEE OF COLGATE UNIVERSITY. X 7 191402 FMV X 978 FMV X 500 FMV X 362 12253712 FMV X 1 21391 FMV X 2 7585 FMV X SCIENTIFIC EQUIPMENT 2 16500 FMV X OTHER 4 4 FMV 0 0 1 1 PART I, COLUMN (B): BASED ON THE NUMBER OF CONTRIBUTIONS. PART I, LINE 32B: ARRANGEMENTS WITH THIRD PARTIES OR RELATED ORGANIZATIONS. COLGATE UNIVERSITY GENERALLY USES NORTHERN TRUST AND CHARLES SCHWAB TO FACILITATE THE SALE OF PUBLICLY TRADED STOCK. FORM 990, PART I, LINE 1 & PART III, LINE 1: COLGATE UNIVERSITY'S MISSION IS TO PROVIDE A DEMANDING, EXPANSIVE EDUCATIONAL EXPERIENCE TO A SELECT GROUP OF DIVERSE, TALENTED, INTELLECTUALLY SOPHISTICATED STUDENTS WHO ARE CAPABLE OF CHALLENGING THEMSELVES, THEIR PEERS AND THEIR TEACHERS IN A SETTING THAT BRINGS TOGETHER LIVING AND LEARNING. THE EDUCATIONAL MISSION OF THE UNIVERSITY IS TO DEVELOP WISE, THOUGHTFUL, CRITICAL THINKERS AND PERCEPTIVE LEADERS BY ENCOURAGING YOUNG MEN AND WOMEN TO FULFILL THEIR POTENTIAL THROUGH RESIDENCE IN A COMMUNITY THAT VALUES ALL FORMS OF INTELLECTUAL RIGOR AND RESPECTS THE COMPLEXITY OF HUMAN UNDERSTANDING. FORM 990, PART VI, SECTION A, LINE 2 TRUSTEE MICHAEL HERLING AND FORMER KEY EMPLOYEE MURRAY DECOCK HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11B MANAGEMENT WORKS TOGETHER WITH ITS TAX PROFESSIONALS TO GATHER THE REQUIRED INFORMATION NECESSARY TO PREPARE A DRAFT OF THE FORM 990. ONCE A DRAFT IS COMPLETED, IT IS THEN REVIEWED WITH THE AUDIT COMMITTEE, MANAGEMENT, AND THE TAX PROFESSIONALS. ONCE THE REVIEW IS COMPLETED AND EDITS ARE MADE, A COMPLETE COPY OF THE UNIVERSITY'S FINAL FORM 990 (INCLUDING ALL REQUIRED SCHEDULES), AS ULTIMATELY FILED WITH THE IRS, IS DISTRIBUTED TO THE FULL BOARD BEFORE ITS FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C EACH TRUSTEE AND OFFICER OF COLGATE UNIVERSITY IS REQUIRED TO COMPLETE ANNUALLY, IN WRITING, COLGATE'S DISCLOSURE FORM, WHICH REQUIRES DISCLOSURE OF (A) ANY FINANCIAL OR BUSINESS RELATIONSHIPS THAT HE OR SHE, OR ANY FAMILY MEMBER, HAS WITH COLGATE OR ANY AFFILIATED ORGANIZATIONS, AND (B) OTHER PERSONAL, FAMILY, FINANCIAL, OR BUSINESS RELATIONSHIPS THAT OTHERWISE COULD BE CONSTRUED TO AFFECT THE INDEPENDENCE OR UNBIASED JUDGMENT OF SUCH TRUSTEE OR OFFICER IN LIGHT OF HIS OR HER DECISION-MAKING AUTHORITY OR RESPONSIBILITIES FOR COLGATE. THE DISCLOSURE STATEMENTS ARE SUBMITTED TO THE TREASURER'S OFFICE AND ARE REVIEWED BY THAT OFFICE, OUTSIDE COUNSEL TO THE UNIVERSITY AND THE CHAIR OF THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. A REPORT IS MADE TO THE FULL AUDIT COMMITTEE AND THE BOARD OF TRUSTEES. IN THE EVENT A CONFLICT OF INTEREST IS IDENTIFIED, THE MATTER IS ADDRESSED INITIALLY BY THE AUDIT COMMITTEE AND, IF NECESSARY, BY THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 15 COLGATE UNIVERSITY HAS AN INDEPENDENT COMPENSATION COMMITTEE THAT ANNUALLY REVIEWS THE COMPENSATION OF THE ORGANIZATION'S OFFICERS AND KEY EMPLOYEES. THE COMPENSATION COMMITTEE CONSIDERS MARKET AND SURVEY DATA. THE COMMITTEE'S DELIBERATIONS ARE REFLECTED IN ITS MINUTES. THE PROCESS FOR DETERMINING THE COMPENSATION OF THE ORGANIZATION'S TOP MANAGEMENT OFFICIALS, INCLUDING THE PRESIDENT, ALL OFFICERS, AND KEY EMPLOYEES, IS REASONABLE AND SATISFIES THE REBUTTABLE PRESUMPTION OF TREASURY REGULATION SECTION 53.4958-6. THE COMPENSATION ARRANGEMENT IS APPROVED IN ADVANCE BY THE ORGANIZATION'S EXECUTIVE COMPENSATION COMMITTEE. THE COMMITTEE IS APPOINTED BY THE BOARD OF TRUSTEES FOR THE PURPOSE OF ASSISTING THE BOARD IN FULFILLING ITS RESPONSIBILITY TO THE ORGANIZATION AND THE COMMUNITY TO ENSURE THAT THE COMPENSATION COMPLIES WITH THE ORGANIZATION'S POLICIES. THE COMMITTEE IS COMPRISED OF TRUSTEES WHO ARE INDEPENDENT OF MANAGEMENT AND THE ORGANIZATION AND FREE OF CONFLICTS OF INTEREST, THEREBY PLACING THEM IN A POSITION TO EXERCISE INDEPENDENT JUDGMENT. PRIOR TO MAKING ANY COMPENSATION DECISIONS, THE EXECUTIVE COMPENSATION COMMITTEE OBTAINED AND RELIED UPON APPROPRIATE COMPENSATION DATA FROM COMPARABLE INSTITUTIONS. THE COMMITTEE CONTRACTS WITH AN INDEPENDENT COMPENSATION CONSULTANT AND USES LOCAL AND NATIONAL COMPENSATION SURVEYS TO SET COMPENSATION LEVELS. FINALLY, THE EXECUTIVE COMPENSATION COMMITTEE ADEQUATELY AND CONTEMPORANEOUSLY DOCUMENTED THE BASIS FOR ITS COMPENSATION DECISIONS. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY MAKES ITS FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC VIA ITS WEBSITE. ITS GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS 7,663,567. POSTRETIREMENT BENEFIT OBLIGATION 4,129,856. COLGATE INN LLC 11 PAYNE STREET HAMILTON NY 13346 161601117 LODGING/FOOD NY 2571828 8514969 COLGATE UNIVERSITY HAMILTON INITIATIVE LLC PO BOX 219 HAMILTON NY 13346 161584169 REAL ESTATE NY 537673 6935154 COLGATE UNIVERSITY PALACE THEATER LLC PO BOX 207 HAMILTON NY 13346 010549094 ARTS VENUE NY 12 1222801 COLGATE UNIVERSITY HAMILTON THEATER LLC 7 LEBANON STREET PO BOX 1895 HAMILTON NY 13346 050535870 MOVIE THEATER NY 122867 2420140 COLGATE UNIVERSITY HAMILTON HOUSING INITIATIVE LLC 13 OAK DRIVE HAMILTON NY 13346 842968553 HOUSING NY 788578 4464093 COLGATE UNIVERSITY HAMILTON HOTEL LLC 13 OAK DRIVE HAMILTON NY 13346 852077920 LODGING NY 62046 3955000 COLGATE UNIVERSITY COLGATE ALUMNI CORPORATION INC 13 OAK DRIVE HAMILTON NY 13346 150532083 ALUMNI AFFAIRS NY 501 (C) (3) 12 N/A 0 CHARITABLE ANNUITY TRUSTS (1) 13 OAK DRIVE HAMILTON NY 13346 SUPPORT NY N/A T 1 CHARITABLE UNITRUSTS (24) 13 OAK DRIVE HAMILTON NY 13346 SUPPORT NY N/A T 1 POOLED INCOME FUNDS 13 OAK DRIVE HAMILTON NY 13346 SUPPORT NY N/A T 1 CRATSCRUTS - COLGATE IS NOT THE TRUSTEE 13 OAK DRIVE HAMILTON NY 13346 SUPPORT NY N/A T 1 CHARITABLE REMAINDER UNITRUST 13 OAK DRIVE HAMILTON NY 13346 SUPPORT NY N/A T 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 1