2021-05-06T15:18:18-05:00 2020-06-30 ERNST & YOUNG US LLP 7676 FORSYTH BLVD STE 2600 CLAYTON MO 63105 990 2019-07-01 150532082 Cornell University % UNIVERSITY CONTROLLER CORN 6072553790 341 PINE TREE ROAD ITHACA NY 14850 JOANNE M DESTEFANO EVP & CFO 2021-05-04 true JENNIFER L RICHTER P00366526 3142901000 2019 2022-09-23 18:48:47Z MARTHA E POLLACK PRESIDENT 341 PINE TREE ROAD ITHACA NY 14850 10334264099 false X WWW.CORNELL.EDU X 1865 NY EDUCATION, RESEARCH, MEDICAL SERVICES AND OTHER PUBLIC SERVICES. 64 59 43316 3233 -19764545 0 420726543 511045032 4196591407 4280021515 350951875 298866002 33717019 36760767 5001986844 5126693316 676428518 708896520 0 0 2846581626 2964660801 1180650 1037421 50856973 1344100896 1504310640 4868291690 5178905382 133695154 -52212066 13646556749 14446875157 3220036307 4426053301 10426520442 10020821856 X SEE SCHEDULE O false false 1544132000 472428987 1231320717 CORNELL UNIVERSITY IS RENOWNED FOR ITS ACADEMIC RIGOR, INTELLECTUAL VIBRANCY, ENTREPRENEURIAL CHARACTER, AND THE DIVERSITY AND QUALITY OF ITS CURRICULA AND AREAS OF MULTIDISCIPLINARY RESEARCH AND STUDY. THE UNIVERSITY'S UNDERGRADUATE, GRADUATE, PROFESSIONAL, POST-DOCTORAL, AND CONTINUING EDUCATION PROGRAMS HAVE A GLOBAL REPUTATION FOR EXCELLENCE AND INNOVATION. CORNELL'S MAIN CAMPUS IS IN ITHACA, NEW YORK, WITH THE CAMPUSES OF WEILL CORNELL MEDICAL COLLEGE CONTINUE ON SCHEDULE O 1356572000 0 1031162034 MEDICAL SERVICES, INCLUDING THE TRAINING AND EDUCATION OF PHYSICIANS, IS A PRIMARY COMPONENT OF THE UNIVERSITY'S MISSION. CORNELL IS COMMITTED TO EXCELLENCE IN PATIENT CARE, SCIENTIFIC DISCOVERY, AND THE EDUCATION OF FUTURE PHYSICIANS IN NEW YORK CITY AND AROUND THE WORLD. THE DOCTORS AND SCIENTISTS OF WEILL CORNELL MEDICINE -FACULTY FROM WEILL CORNELL MEDICAL COLLEGE, WEILL CORNELL GRADUATE SCHOOL OF MEDICAL SCIENCES, AND THE WEILL CORNELL PHYSICIAN ORGANIZATION- PROVIDE CLINICAL CARE AND RESEARCH THAT CONNECT PATIENTS TO THE LATEST TREATMENT INNOVATIONS AND PREVENTION STRATEGIES. 881282096 236467533 881282096 CORNELL HAS A LONG TRADITION OF COMBINING SCHOLARLY WORK AND LEADERSHIP IN RESEARCH -BOTH BASIC AND APPLIED- WITH PUBLIC SERVICE AND ENGAGEMENT IN NEW YORK STATE AND AROUND THE WORLD. REVENUES FROM SPONSORED AWARDS INCLUDE $696,518,653 MILLION IN DIRECT SUPPORT AND $184,763,443 MILLION IN INDIRECT COST RECOVERY. REVENUES ALSO INCLUDE GRANT AND CONTRACT REVENUE TO SUPPORT PUBLIC OUTREACH AND INSTRUCTION, THE SINGLE LARGEST PORTION IS RELATED TO RESEARCH. 1101677602 0 1136256668 4883663698 true true false true false false false true false true true true false true true true false true true true true true true true true false false true true true true false false false false false false false false true true true true false false true true true true true false true 44178 0 true 43316 true true true true UK AS IT HK QA IN CH false false false true true true 0 false false true false true false X 64 59 false false true false false true false true true false false true false false false true true true true AL AK AR CA CO CT DC FL GA HI IL KS KY LA ME MD MA MI MN MS MO NV NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV X UNIVERSITY CONTROLLER 6072553581 341 PINE TREE ROAD ITHACA NY 148502820 ZEV ROSENWARKS MD PROFESSOR TENURE CLINICAL 55.0 0.0 X 8805077 0 59629 HEY-JOO KANG MD ASSOCIATE PROFESSOR 55.0 0.0 X 6039733 0 62261 RONY ELIAS MD ASSISTANT PROFESSOR - CLINICAL 55.0 0.0 X 4538330 0 61849 STEVEN SPANDORFER MD ASSOCIATE PROFESSOR - CLINICAL 55.0 0.0 X 4234332 0 70110 LEONARD GIRARDI MD PROFESSOR & CHAIR 55.0 0.0 X 4193574 0 67284 ANTONIO M GOTTO MD FORMER PROVOST & DEAN EMERITUS 55.0 0.0 X 2794016 0 0 AUGUSTINE MK CHOI MD PROVOST FOR MEDL AFFRS & DEAN 55.0 0.0 X 2485635 0 47440 ROBERT J MIN MD CHIEF EXECUTIVE OFFICER 55.0 0.0 X 2232576 0 49510 KENNETH M MIRANDA CHIEF INVESTMENT OFFICER 55.0 0.0 X 1679157 0 49150 MARTHA E POLLACK PRESIDENT 55.0 0.0 X X 1359266 0 63315 STEPHEN COHEN EXEC. VICE PROV. FOR ADM & FIN 55.0 0.0 X 1339474 0 65805 MICHAEL I KOTLIKOFF PROVOST 55.0 0.0 X 752027 0 104874 JOANNE M DESTEFANO CFO & EVP 55.0 0.0 X 760226 0 71386 MADELYN F WESSEL UNIV. 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COMMITTE 2.0 0.0 X 0 0 0 CRAIG YUNKER TRUSTEE 2.0 0.0 X 0 0 0 JIA ZHU TRUSTEE 2.0 0.0 X 0 0 0 42829362 0 1053775 5192 true true false BNY MELLON 101 BARCLAY STREET NEW YORK NY 10007 INVESTMENTS 35914015 575 LEX PROPERTY OWNER LLC PO BOX 780236 PHILADELPHIA PA 19178 CONSULTING 13184193 GEMINI CONSULTING SERVICES LLC 3636 S GEYER ROAD SUITE 270 SUNSET HILLS MO 63127 CONSULTING 7767235 FRANCIS J PAOLANGELI 226 CECIL A MALONE DR STE 1 ITHACA NY 14850 CONSTRUCTION 4166471 156 WILLIAM STREET OWNER LLC PO BOX 1316 BOSTON MA 022419779 DEFERRED COMPENSTION 4148640 230 X 800295 3853214 27648534 38513453 440229536 75750431 511045032 EDUCATION: TUITION 900099 1231320717 1231320717 GRANTS & CONTRACTS FOR RESEARCH 900099 881282096 881282096 MEDICAL SERVICES 900099 1031162034 1031162034 LAND GRANT MISSION GOVT APPROP. 900099 150197898 150197898 AUXILIARY ENTERPRISES - ROOM & BOARD 900099 149039724 149039724 837019046 757115865 1411316 78491865 4280021515 107335101 -39542170 146877271 0 30692848 30692848 5045070 3336323 1708747 0 1708747 132259 1576488 5377539000 858161 5181321000 5545260 196218000 -4687099 191530901 17523236 174007665 369625 3853214 3103480 -2733855 -2733855 0 0 0 21357747 14264720 7093027 710814 6382213 0 5126693316 4051078610 -19764545 584334219 X 87215472 87215472 472428987 472428987 149252061 149252061 0 11631623 8338073 3060918 232632 3297722 3297722 2317580295 2258452502 32859681 26268112 83337870 81211694 1181601 944575 502680246 475915641 16481863 10282742 46133045 44956065 654095 522885 0 13971420 13950138 21282 2169658 2169658 666707 666707 1037421 1037421 35914015 35914015 464989368 451949036 11003238 2037094 0 47201729 39715992 4899939 2585798 39952689 35957420 3995269 10189346 10189346 204452142 199017334 2632696 2802112 48547702 46433553 568299 1545850 0 21341144 17000626 1888958 2451560 55059064 55059064 0 307847021 277062319 30784702 61440491 55296442 6144049 MAINTENANCE 15029033 11821813 3195197 12023 MEDICAL SUPPLIES 67175813 67165547 10266 LAB & COMPUTER SUPLIES 48750669 41994965 6701276 54428 STUDENT AND CAMPUS SERVICES 59612629 59180434 373736 58459 5178905382 4883663698 244384711 50856973 X 193532521 152323371 4375230 425374755 796992646 754894541 466112839 442343582 0 0 0 0 69393649 63210942 16444496 17934305 70991565 69307544 8288126863 4130509119 4213987638 4157617744 1161481462 1288044050 6474531235 6302601208 0 0 0 0 178713468 773223115 13646556749 14446875157 637521758 803459715 44501144 45419066 192135950 229981780 1032670000 1046580000 0 0 0 0 5216129 4841506 303890000 614890000 1004101326 1680881234 3220036307 4426053301 X 3502385121 3091336585 6924135321 6929485271 10426520442 10020821856 13646556749 14446875157 X -52212066 -157803792 -195682728 X false true X true true true X 510356488 605956875 437550675 420726543 511045032 2485635613 0 43677665 62628802 58400898 56804157 52165785 273677307 554034153 668585677 495951573 477530700 563210817 2759312920 155175746 2604137174 102047770 98801455 99108684 98628577 90796982 489383468 0 271446475 280199892 283271222 250300652 1085218241 4333914629 19258610920 0.60087 0.61715 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED true true false true 2560 false false true 664147 false true 666707 false SCHEDULE C, PART I-A, LINE 1 THE UNIVERSITY DOES NOT PARTICIPATE DIRECTLY OR INDIRECTLY IN ANY POLITICAL CAMPAIGN AND REMINDS THE UNIVERSITY COMMUNITY, AT THE BEGINNING OF THE FALL AND SPRING SEMESTERS, ABOUT THE PROHIBITION AGAINST UNIVERSITY PARTICIPATION. THE MESSAGE MAKES CLEAR THAT THIS PROHIBITION DOES NOT IN ANY WAY AFFECT AN INDIVIDUAL'S PERSONAL ACTIVITIES. UNIVERSITY POLICY 4.18 "POLITICAL CAMPAIGN ACTIVITY" PREVENTS THE USE OF UNIVERSITY RESOURCES FOR POLITICAL CAMPAIGN PURPOSES. SCHEDULE C, PART II-B, LINE 1A CORNELL ESTABLISHED THE CORNELL ADVOCACY PROGRAM IN JANUARY 2020 TO ENCOURAGE INTERESTED CORNELL ALUMNI VOLUNTEERS TO LOBBY CONGRESS ON UNIVERSITY PRIORITIES, INCLUDING STUDENT FINANCIAL AID, FUNDING FOR RESEARCH, AND UNIVERSITY ENDOWMENTS. SCHEDULE C, PART II-B, LINE 1B CORNELL'S LOBBYING EFFORTS WERE HANDLED THROUGH THE UNIVERSITY RELATIONS OFFICES LOCATED IN ALBANY AND WASHINGTON DC PRIMARILY BY SIX REGISTERED LOBBYISTS. THROUGHOUT THE FISCAL YEAR ENDING JUNE 30, 2020 LOBBYING EFFORTS CENTERED ON HIGHER EDUCATION MATTERS, STATE AND FEDERAL BUDGETS, UNIVERSITY-BASED RESEARCH PROPOSALS, LEGISLATIVE BILLS AND REGULATIONS AFFECTING CORNELL STUDENTS, FACULTY AND STAFF. CORNELL IS A PAYING MEMBER OF SEVERAL STATE AND FEDERAL ASSOCIATIONS THAT DO DIRECT LOBBYING AND PUBLIC ADVOCACY ON BEHALF OF PUBLIC AND PRIVATE NOT-FOR-PROFIT HIGHER EDUCATION, RESEARCH, COLLEGE ATHLETICS, AND UNIVERSITY OPERATIONS INCLUDING STUDENT HEALTH INSURANCE, ENERGY, AND FINANCIAL PLANNING. SCHEDULE C, PART II-B, LINE 1D CORNELL ADMINISTRATORS AND FACULTY SENT OCCASIONAL LETTERS AND ELECTRONIC MAIL TO THE NEW YORK CONGRESSIONAL DELEGATION AND TO STATE LEGISLATORS IN ALBANY. EXPENSES WERE MINIMAL. SCHEDULE C, PART II-B, LINE 1G CORNELL UNIVERSITY STAFF LOBBIED LEGISLATORS,LEGISLATIVE STAFF AND GOVERNMENT OFFICIALS IN WASHINGTON, ALBANY, NEW YORK CITY, AND TOMPKINS COUNTY DURING THE FISCAL YEAR ENDING JUNE 30, 2020. TOPICS INCLUDED: STUDENT HEALTH INSURANCE, CONTRACTING PROCESSES, AGRICULTURE TESTING AND RESEARCH PROGRAMS, ENVIRONMENTAL PROTECTION PROGRAMS, ALTERNATIVE ENERGY PRODUCTION AND SERVICES, COVID-19 RELIEF FUNDING, HIGHER EDUCATION INSTRUCTION, FUNDING FOR OPERATIONS AND FACILITIES, INCLUDING STUDENT FINANCIAL AID PROGRAMS, STUDENT LOAN AND LOAN FORGIVENESS PROGRAMS, TITLE IX AND SEXUAL HARASSMENT POLICIES, ECONOMIC DEVELOPMENT PROGRAMS, IMMIGRATION, INTERNATIONAL EDUCATION, RESEARCH SECURITY AND INTEGRITY, GRADUATE MEDICAL EDUCATION, CAMPUS SAFETY INICIATIVES, PATENT REFORM, SCIENCE AND TECHNOLOGY INITIATIVES, HEALTH CARE, AND AGENCY RE-AUTHORIZATIONS. 173523 100833147 X X X X false 6783134979 201134263 111917735 56918850 312135584 48605605 6678526938 6702170986 119794469 343343472 56152080 281692233 44329635 6783134979 6335520329 142594770 639735017 56780770 316655728 42242632 6702170986 5584197786 387247101 683220281 58471312 216531449 44142078 6335520329 5883517457 184454650 -181287034 55359166 204449446 42678675 5584197786 0.20000 0.75000 0.05000 true true true 100830086 100830086 5459536399 2495158156 2964378243 782182378 475229101 306953277 990925862 708543852 282382010 954652138 451578010 503074128 4157617744 21282343 F DOMESTIC EQUITIES 239869169 F FOREIGN EQUITIES 813675245 F HEDGED EQUITIES 2056526 F PRIVATE EQUITIES 1803889545 F FIXED INCOME ASSET BACKED SEC 15459902 F FIXED INCOME CORPORATE BONDS 99209057 F FIXED INCOME EQUITY PSHIPS 608089788 F FIXED INCOME & MARKETABLE SEC. 2699069633 F 6302601208 RIGHT OF USE ASSETS-OP LEASES 464620338 RIGHT OF USE ASSETS-FIN LEASES 114035782 FUNDS HELD IN TRUST BY OTHERS 194566995 773223115 0 OBLIGATIONS UNDER SPLIT INT AGRMNT 136908667 DEFERRED BENEFITS 703359193 FUNDS HELD IN TRUST FOR OTHERS 100435672 BOND PREMIUMS 151027732 OPERATING LEASE LIABILITIES 467466867 FINANCE LEASE LIABILITIES 121683103 1680881234 X 4340930983 299383755 299383755 4041547228 1085146088 1085146088 5126693316 4516558126 70261726 70261726 4446296400 732608982 732608982 5178905382 SCHEDULE D, PART III, LINE 4 ART COLLECTION: THE HERBERT F. JOHNSON MUSEUM OF ART IS PARTICULARLY NOTED FOR ITS COLLECTION IN THE AREA OF ASIAN ART, 19TH AND 20TH CENTURY AMERICAN ART AND THE GRAPHIC ARTS. THE COLLECTION IS USED FOR TEACHING, RESEARCH, AND PUBLIC OUTREACH. THE MUSEUM'S CALENDAR OF EVENTS IS AVAILABLE ON ITS WEB SITE AND PROVIDES INFORMATION TO ENCOURAGE USE OF THE COLLECTION BY THE PUBLIC. SCHEDULE D, PART V, LINE 4 ENDOWMENT FUNDS: THE UNIVERSITY'S ENDOWMENT CONSISTS PRIMARILY OF PERMANENT ENDOWMENT AND BOARD DESIGNATED ENDOWMENT (I.E., FUNDS FUNCTIONING AS ENDOWMENT). THE INCOME FROM THE ENDOWMENT PROVIDES CRITICAL SUPPORT FOR ENDOWED FACULTY CHAIRS, STUDENT FINANCIAL AID, AND SUPPORT FOR VARIOUS INSTITUTIONAL PROGRAMS FOR TEACHING, RESEARCH, AND PUBLIC OUTREACH. SCHEDULE D, PART X, LINE 2 FIN 48(ASC 740) FOOTNOTE THE UNIVERSITY IS A NOT-FOR-PROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND IS GENERALLY EXEMPT FROM INCOME TAXES ON RELATED INCOME PURSUANT TO THE APPROPRIATE SECTIONS OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE ACCOUNTING STANDARDS, THE UNIVERSITY EVALUATES ITS INCOME TAX POSITION EACH FISCAL YEAR TO DETERMINE WHETHER IT IS MORE LIKELY THAN NOT TO BE SUSTAINED IF EXAMINED BY THE APPLICABLE TAXING AUTHORITY. THIS REVIEW HAD NO MATERIAL IMPACT ON THE UNIVERSITY'S CONSOLIDATED FINANCIAL STATEMENTS. SCHEDULE D, PART XI, LINE 2D DECONSOLIDATION OF SUBSIDIARIES $ 75,202,788 INVESTMENT RETURN, DISTRIBUTED $ 224,180,967 -------------- TOTAL $ 299,383,755 Schedule D, Part XI, Line 4B Reclass of financial aid $ 434,414,169 State Appropriations $ 38,513,453 Restricted Gifts $ 192,253,938 Program Services $ 419,964,526 -------------- TOTAL $ 1,085,146,088 SCHEDULE D, PART XII, LINE 2D DECONSOLIDATION OF SUBSIDIARIES $ 70,261,726 ------------ TOTAL $ 70,261,726 SCHEDULE D, PART XII, LINE 4B RECLASS OF FINANCIAL AID $ 434,414,169 PROGRAM SERVICES $ 277,904,296 INTEREST EXPENSE $ 20,290,517 -------------- TOTAL $ 732,608,982 true true true true true true true false false false false false false false false true false true SCHEDULE E, PART I, LINE 3 THE UNIVERSITY, ORGANIZED IN THE 1860'S, INCLUDED IN ITS CHARTER A COMMITMENT TO NON-DISCRIMINATION BASED ON RELIGION. FROM ITS EARLIEST HISTORY, THE UNIVERSITY ADMITTED A DIVERSE STUDENT BODY IN TERMS OF RACE, GENDER, AND RELIGION. THE STATISTICS ABOUT THE COMPOSITION OF FACULTY, STAFF, AND STUDENTS, AS WELL AS THE UNIVERSITY'S ONGOING EFFORTS TO INCREASE DIVERSITY, REFLECT THE STRONG COMMITMENT TO NON-DISCRIMINATION. SCHEDULE E, PART I, LINE 6A CORNELL RECEIVES ASSISTANCE FROM BOTH THE FEDERAL GOVERNMENT AND NEW YORK STATE. THE FEDERAL GOVERNMENT PROVIDES SUPPORT FOR LOANS, STUDENT EMPLOYMENT, AND GRANTS. THE MAJOR LOAN PROGRAMS ARE W.D. FORD SUBSIDIZED AND UNSUBSIDIZED LOANS, PERKINS LOANS, AND DIRECT PLUS LOANS. EMPLOYMENT INCLUDES FUNDS FOR FEDERAL WORK-STUDY. THE MAJOR GRANTS ARE PELL GRANTS AND SUPPLEMENTAL EDUCATIONAL OPPORTUNITY ASSISTANCE PROGRAM (TAP). true Central America and the Caribbean 12 Program Services Education & Research 406154 East Asia and the Pacific 1 34 Program Services Education & Research 3323223 Europe (Including Iceland and Greenland) 11 89 Program Services Education & Research 8148984 Middle East and North Africa 7 Program Services Education & Research 408779 North America 29 Program Services Education & Research 1691420 Russia and the Newly Independent States 3 Program Services Education & Research 131876 South America 22 Program Services Education & Research 825684 South Asia 1 16 Program Services Education & Research 1485857 Sub-Saharan Africa 1 7 Program Services Education & Research 2012185 East Asia and the Pacific Program Services Research Sub-Contracts 446921 Europe (Including Iceland and Greenland) Program Services Research Sub-Contracts 3359907 Middle East and North Africa Program Services Research Sub-Contracts 582663 North America Program Services Research Sub-Contracts 5189006 Russia and the Newly Independent States Program Services Research Sub-Contracts 37500 South America Program Services Research Sub-Contracts 1874390 South Asia Program Services Research Sub-Contracts 2587278 Sub-Saharan Africa Program Services Research Sub-Contracts 3938574 Central America and the Caribbean Investments 1290380823 Europe (Including Iceland and Greenland) Investments 227272466 North America Investments 52146307 Sub-Saharan Africa Investments 18578454 Central America and the Caribbean Program Services Medical Rsrch & Svcs 1229457 East Asia and the Pacific Program Services Medical Rsrch & Svcs 80123 Europe (Including Iceland and Greenland) Program Services Medical Rsrch & Svcs 1470791 Middle East and North Africa 1 420 Program Services Medical Rsrch & Svcs 123763480 North America Program Services Medical Rsrch & Svcs 556107 South America Program Services Medical Rsrch & Svcs 78473 South Asia Program Services Medical Rsrch & Svcs 37971 Sub-Saharan Africa Program Services Medical Rsrch & Svcs 424511 Europe (Including Iceland and Greenland) Program Services Fundraising 386678 Central America and the Caribbean Grantmaking 271560 East Asia and the Pacific Grantmaking 383154 Europe (Including Iceland and Greenland) Grantmaking 2544685 North America Grantmaking 5439 South America Grantmaking 239936 South Asia Grantmaking 124056 Sub-Saharan Africa Grantmaking 26080 14 219 1 420 15 639 36450401 1720000551 1756450952 Russia/Independent States 37500 EFT FMV East Asia and the Pacific 274424 EFT FMV South America 496802 EFT FMV South America 1264905 EFT FMV Middle East and North Africa 173500 EFT FMV South Asia 577957 EFT FMV Middle East and North Africa 72890 EFT FMV Europe 1652290 EFT FMV East Asia and the Pacific 88383 EFT FMV East Asia and the Pacific 64683 EFT FMV Europe 111837 EFT FMV Sub-Saharan Africa 398237 EFT FMV Sub-Saharan Africa 61390 EFT FMV North America 5175834 EFT FMV South Asia 204647 EFT FMV Sub-Saharan Africa 250474 EFT FMV Europe 313982 EFT FMV Sub-Saharan Africa 757013 EFT FMV Sub-Saharan Africa 637744 EFT FMV Sub-Saharan Africa 82201 EFT FMV Sub-Saharan Africa 855760 EFT FMV Sub-Saharan Africa 30882 EFT FMV Europe 231807 EFT FMV Sub-Saharan Africa 457351 EFT FMV South America 58278 EFT FMV Sub-Saharan Africa 38496 EFT FMV Middle East and North Africa 336273 EFT FMV South America 54404 EFT FMV Sub-Saharan Africa 263030 EFT FMV Europe 27761 EFT FMV South Asia 706359 EFT FMV South Asia 383203 EFT FMV North America 13172 EFT FMV Europe 42236 EFT FMV Sub-Saharan Africa 54769 EFT FMV South Asia 474404 EFT FMV Europe 577651 EFT FMV Europe 60607 EFT FMV Europe 130083 EFT FMV Europe 50222 EFT FMV Europe 128015 EFT FMV Sub-Saharan Africa 11262 EFT FMV South Asia 240708 EFT FMV Sub-Saharan Africa 39965 EFT FMV Europe 33416 EFT FMV East Asia and the Pacific 19431 EFT FMV Europe (Including Iceland and Greenland) 21094 EFT FMV Europe (Including Iceland and 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CLIFTON ROAD ATLANTA GA 30322 580566256 501(c)(3) 550417 FMV GEORGIA TECH RESEARCH CORP 505 TENTH STREET N W ATLANTA GA 303320420 580603146 501(c)(3) 453576 FMV Clark Atlanta University 223 James P Brawley Dr SW Atlanta GA 303144391 581825259 501(c)(3) 173033 FMV GEORGIA STATE UNIVERSITY PO BOX 3999 ATLANTA GA 30302 586002050 GA 43738 FMV UNIVERSITY OF MIAMI PO BOX 025551 MIAMI FL 33102 590624458 501(c)(3) 891057 FMV Florida Agriculture & Mechanical Univ 201 Fotte-Hilyer Administration Ctr Tallahassee FL 323073200 590977035 FL 10319 FMV FLORIDA STATE UNIVERSITY 874 TRADITIONS WAY TALLAHASSEE FL 32306 591961248 501(c)(3) 331699 FMV HLEE MOFFITT CANCER CTR & RSRCH INSTITUTE PO BOX 742801 ATLANTA GA 30374 592451713 501(c)(3) 237947 FMV University of South Florida 4202 Fowler Avenue Adm 147 Tampa FL 33620 596001874 501(C)(3) 423532 FMV UNIVERSITY OF FLORIDA 33 TIGERT HALL GAINESVILLE FL 32611 596002052 501(c)(3) 695384 FMV Florida Institute of Technology Inc 150 W University Blvd Melbourne FL 32901 596046500 501(c)(3) 12505 FMV Oregon State University 1089 Cordley Hall Corvallis OR 97331 611730890 OR 46326 FMV VANDERBILT UNIVERSITY MEDICAL 3319 WEST END AVE NASHVILLE TN 37203 620476822 501(c)(3) 229759 FMV University of Tennessee 206 Henson Hall Knoxville TN 379963332 626001636 501(C)(3) 57074 FMV The University of Alabama in Huntsville 301 Sparkman Dr Huntsville AL 35899 630520830 AL 63469 FMV Auburn University 208 M White Smith Hall 381 Mell St Auburn University AL 368495110 636000724 501(C)(3) 37956 FMV UNIVERSITY OF ALABAMA 1720 2nd AVENUE SOUTH BIRMINGHAM AL 35294 636005396 501(c)(3) 656206 FMV Mississippi State University PO Box 5328 Mississippi State MS 39762 646000819 501(C)(3) 24085 FMV FLORIDA INTERNATIONAL UNIVER 11200 SW 8TH STREET CSC319 MIAMI FL 33199 650177616 501(c)(3) 22227 FMV RECINTO DE CIENCIAS MEDICAS po box 365067 SAN JUAN PR 009365067 660433762 GOVERNMENT 60463 FMV University of Puerto Rico PO Box 9000 Mayaguez PR 006819000 660560806 GOVERNMENT 30670 FMV 1199SEIU Bill Michelson Home Care Edu Fund 330 W 42nd St FL 28 New York NY 10036 711028611 501(C)(3) 12623 FMV US Dept of Agriculture PO Box 979099 Saint Louis MO 631799000 720564834 GOVERNMENT 792089 FMV University of New Orleans 2000 Lakeshore Dr New Orleans LA 70148 720702000 LA 23141 FMV LOUISIANA PUBLIC HEALTH INSTITUTE 1515 POYDRAS STREET NEW ORLEANS LA 70112 721379921 501(c)(3) 23316 FMV Louisiana State UniversityandA&M College 302 Life Sciences Bldg Baton Rouge LA 70803 726000848 501(C)(3) 36437 FMV Rice University PO Box 1892 Houston TX 77251 741109620 501(C)(3) 266671 FMV Houston Methodist Hospital 6565 Fannin St Houston TX 77030 741180155 501(c)(3) 10000 FMV BAYLOR COLLEGE OF MEDICINE ONE BAYLOR PLAZA HOUSTON TX 77030 741613878 501(c)(3) 355552 FMV TEXAS A&M ENGINEERING EXPERIMENT ST 400 HARVEY MITCHELL PARKWAY SOUTH COLLEGE STATION TX 77843 741974733 TX 126607 FMV NATIONAL JEWISH HEALTH 1400 JACKSON STREET DENVER CO 80206 742044647 501(c)(3) 193009 FMV UNIVERSITY OF TEXAS AUSTIN 1470 WILLIAM D FITCH PKWY COLLEGE STATION TX 77845 746000089 TX 47926 FMV The University of Texas at Austin PO Box 7159 Austin TX 787137159 746000203 TX 103633 FMV Texas A & M University 400 Harvey Mitchell Pkwy S Ste 300 College Station TX 778454375 746000531 TX 220762 FMV TEXAS A & M AGRILIFE RESEARCH 2147 TAMU COLLEGE STATION TX 77843 746000541 TX 220587 FMV UNIVERSITY OF TEXAS AT EL PASO 500 W UNIVERSITY AVENUE EL PASO TX 79902 746000813 TX 168354 FMV THE UNIVERSITY OF TEXAS PO BOX 4390 HOUSTON TX 772104390 746001118 501(c)(3) 85933 FMV Texas Tech University Box 41105 Lubbock TX 794091105 756002622 501(C)(3) 5829 FMV THE UNIVERSITY OF TEXAS SOUTHWESTER 5323 HARRY HINES BLVD DALLAS TX 785909020 756002868 TX 289157 FMV NEW YORK GENOME CENTER INC PO BOX 9551 NEW YORK NY 10087 800631734 501(c)(3) 337262 FMV Sathguru Inc 88 Broad St Fl 5 Boston MA 021103403 800664005 N/A 1949309 FMV Montana State University 119 Plant BioSciences Bldg Bozeman MT 59717 816010045 501(C)(3) 17364 FMV Regents of the University of Idaho 29603 U of I Ln Parma ID 83660 826000945 501(C)(3) 225401 FMV Colorado State University 1678 Campus Delivery Fort Collins CO 805231678 846000545 CO 288651 FMV UNIVERSITY OF COLORADO PO BOX 910238 DENVER CO 80291 846000555 501(c)(3) 996894 FMV University of New Mexico 1312 Basehart Rd Se STE 100 Albuquerque NM 871064365 856000642 501(C)(3) 144623 FMV Arizona State University PO Box 871504 Tempe AZ 852871504 860196696 AZ 190522 FMV UNIVERSITY OF ARIZONA PO BOX 28820 TUCSON AZ 85726 866050388 501(c)(3) 47264 FMV LUSINE GASPARYAN 499 FOREST STREET WALTHAM MA 024525724 867802833 N/A 344080 FMV Brigham Young University DNA Sequencing Center Provo UT 84602 870217280 501(C)(3) 54438 FMV METHODIST HOSPITAL PO BOX 4805 HOUSTON TX 77210 870721923 501(c)(3) 184347 FMV UNIVERSITY OF UTAH 201 SOUTH 1460 EAST SALT LAKE CITY UT 84112 876000525 UT 212295 FMV Utah State University 2315 Old Main Hill Logan UT 84322 876000528 501(c)(3) 82169 FMV The Evergreen State College 2700 Evergreen Pkwy Olympia WA 98505 910826533 501(C)(3) 46768 FMV Institute for Systems Biology 401 Terry Ave N Seattle WA 981095263 912003593 501(c)(3) 157073 FMV Washington State University 24106 N Bunn Rd Prosser WA 993508694 916001108 WA 405989 FMV UNIVERSITY OF WASHINGTON 4333 BROOKLYN AVE NE SEATTLE WA 981959472 916001537 WA 717248 FMV University of Alaska PO Box 755040 Fairbanks AK 997755040 926000147 501(C)(3) 31541 FMV OREGON HEALTH & SCIENCE UNIVERSITY MAIL CODE L106 OPAM PORTLAND OR 972393098 931176109 501(c)(3) 413269 FMV STANFORD UNIVERSITY PO BOX 44253 SAN FRANCISCO CA 94144 941156365 501(c)(3) 2265307 FMV The Regents of the Univ of California 1111 Franklin St Oakland CA 94607 943067788 501(C)(3) 151951 FMV NORTHERN CALIFORNIA INSTITUTE 4150 CLEMENT STREET 151 NC SAN FRANCISCO CA 94121 943084159 501(c)(3) 194609 FMV University of California SAN FRANCISCO PO BOX 0812 SAN FRANCISCO CA 941430622 946036493 501(c)(3) 1139419 FMV Regents Of the University of California PO Box 989062 West Sacramento CA 957989062 946036494 501(C)(3) 2398551 FMV UNIVERSITY OF SOUTHERN CALIFORNIA 3500 S FIGUEROA STREET LOS ANGELES CA 90089 951642394 501(c)(3) 249915 FMV California Institute of Technology 1200 E California Blvd M/C 114-96 Pasadena CA 91125 951643307 501(C)(3) 186231 FMV CEDARS SINAI MEDICAL CENTER 6500 WILSHIRE BLVD LOS ANGELES CA 90048 951644600 501(c)(3) 47342 FMV UNIVERSITY OF CALIFONIA LOS ANGELES BOX 951432 1125 MURPHY HALL LOS ANGELES CA 90095 952250801 501(c)(3) 20411 FMV AMERICAN UROGYNECOLOGIC SOCIETY 1100 WAYNE AVENUE SILVER SPRING MD 20910 953388558 501(c)(3) 169864 FMV Regents Univ of California Los Angeles Box 951432 Los Angeles CA 900951432 956006143 501(C)(3) 514340 FMV UNIVERSITY OF CALIFORNIA SANTA BARBARA 1101 STUDENT AFFAIRS SANTA BARBARA CA 93106 956006145 501(c)(3) 1345975 FMV University of Hawaii 2500 Campus Rd Honolulu HI 96822 996000354 501(C)(3) 51810 FMV 254 9 FINANCIAL AID - UNDERGRADUATE 7253 277076598 FMV NONE FINANCIAL AID - GRADUATE 6038 137145050 FMV NONE MEDICAL SCHOOL - UNDERGRADUATE 237 19119589 FMV NONE MEDICAL SCHOOL - GRADUATE 494 39087750 FMV NONE SCHEDULE I, PART I, LINE 2 THE UNIVERSITY REPORTS ALL GRANT RECIPIENTS, INCLUDING SUB-GRANTEES, OF WHICH IT IS AWARE. THIS INCLUDES SUB-RECIPIENT AWARDS, PRIMARILY FOR RESEARCH, TO GOVERRNMENT AGENCIES, ORGANIZATIONS EXEMPT UNDER 501(C)(3) AND FOR-PROFIT ENTITIES FOR WHICH NO AUTHORITY FOR EXEMPTION IS PROVIDED. X X X X X X true true X X X X false true false false false false false true false ZEV ROSENWARKS MD PROFESSOR TENURE CLINICAL 328736 0 1210004 0 7266337 0 35355 0 24274 0 8864706 0 0 0 HEY-JOO KANG MD ASSOCIATE PROFESSOR 63694 0 0 0 5976039 0 24855 0 37406 0 6101994 0 0 0 RONY ELIAS MD ASSISTANT PROFESSOR - CLINICAL 54470 0 0 0 4483860 0 24855 0 36994 0 4600179 0 0 0 STEVEN SPANDORFER MD ASSOCIATE PROFESSOR - CLINICAL 77725 0 1500 0 4155107 0 35355 0 34755 0 4304442 0 0 0 LEONARD GIRARDI MD PROFESSOR & CHAIR 430789 0 0 0 3762785 0 54355 0 12929 0 4260858 0 0 0 ANTONIO M GOTTO MD FORMER PROVOST & DEAN EMERITUS 0 0 0 0 2794016 0 0 0 0 0 2794016 0 0 0 AUGUSTINE MK CHOI MD PROVOST FOR MEDL AFFRS & DEAN 916339 0 333415 0 1235881 0 35355 0 12085 0 2533075 0 0 0 ROBERT J MIN MD CHIEF EXECUTIVE OFFICER 349093 0 312468 0 1571015 0 35355 0 14155 0 2282086 0 0 0 KENNETH M MIRANDA CHIEF INVESTMENT OFFICER 795400 0 725376 0 158381 0 47000 0 2150 0 1728307 0 0 0 MARTHA E POLLACK PRESIDENT 1228956 0 0 0 130310 0 47000 0 16315 0 1422581 0 0 0 STEPHEN COHEN EXEC. VICE PROV. FOR ADM & FIN 1233154 0 101900 0 4420 0 35355 0 30450 0 1405279 0 0 0 MICHAEL I KOTLIKOFF PROVOST 720885 0 0 0 31142 0 83400 0 21474 0 856901 0 0 0 JOANNE M DESTEFANO CFO & EVP 709451 0 0 0 50775 0 60505 0 10881 0 831612 0 0 0 MADELYN F WESSEL UNIV. COUNSEL & SECRETARY 555321 0 0 0 35610 0 47000 0 17004 0 654935 0 0 0 HARRY KATZ FORMER OFFICER/CURRENT PROF 280334 0 27000 0 64616 0 41505 0 24632 0 438087 0 0 0 MELISSA A HINES TRUSTEE & PROFESSOR 166491 0 0 0 38316 0 20823 0 5765 0 231395 0 0 0 BRUCE V LEWENSTEIN TRUSTEE & PROFESSOR 169178 0 0 0 0 0 23441 0 26332 0 218951 0 0 0 HUNTER R RAWLINGS III FORMER PRESIDENT 146328 0 0 0 0 0 15000 0 15943 0 177271 0 0 0 SCHEDULE J, PART I, LINE 1A AND 2 THE POSITIONS OF PRESIDENT OF THE CORNELL UNIVERSITY AND THE DEAN OF MEDICINE AT WEILL MEDICAL COLLEGE RECEIVE THE BENEFITS STATED IN SCHEDULE J, PART I, LINE 1A. AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY, BOTH THE PRESIDENT OF THE UNIVERSITY AND THE INDIVIDUAL SERVING AS DEAN AND PROVOST OF MEDICINE ARE REQUIRED TO LIVE IN UNIVERSITY-PROVIDED HOUSING. EXPENSES FOR USE OF THEIR RESPECTIVE HOMES FOR THE UNIVERSITY'S BUSINESS PURPOSES ARE PAID OR REIMBURSED BY THE UNIVERSITY. TAXABLE HOUSING BENEFITS ARE SHOWN IN SCHEDULE J FOR ZEV ROSENWAKS AND KEN MIRANDA. POTENTIALLY TAXABLE BENEFITS, SUCH AS USE OF AN AUTOMOBILE, PROVIDING A CORNELL EMPLOYEE AS A DRIVER, CLUB AND ASSOCIATION MEMBERSHIPS USED FOR BUSINESS PURPOSES, DISCRETIONARY SPENDING ACCOUNTS, PERSONAL SERVICES, AND PAYMENT OF PROFESSIONAL ADVISORS HAVE BEEN INCLUDED WHERE RELEVANT IN SCHEDULE J, PART II. WHERE BENEFITS ARE TAXABLE, SUCH AMOUNTS ARE INCLUDED AS TAXABLE WAGES ON THE EMPLOYEES RESPECTIVE FORMS W-2. PAYMENT OR REIMBURSEMENT OF THE EXPENSES DESCRIBED IN LINE 1A ARE COVERED BY THE UNIVERSITY'S TRAVEL POLICIES OR SPECIFIC EMPLOYMENT CONTRACTS AND INCLUDES THE UNIVERSITY'S IMPLEMENTATION OF AN ACCOUNTABLE PLAN. THERE IS OCCASIONALLY UNIT DISCRETION. EMPLOYEES MAY UPGRADE THEIR CLASS OF SERVICE AT THEIR OWN EXPENSE USING THEIR OWN MEANS OF PAYMENT OR THEIR FREQUENT-FLYER MILES. PREMIUM CLASS (E.G., BUSINESS CLASS, FIRST CLASS, ETC) MUST NOT BE PURCHASED USING SPONSORED FUNDS OR FEDERAL APPROPRIATIONS, UNLESS SPECIFICALLY APPROVED IN THE AWARD DOCUMENTS. SCHEDULE J, PART I, LINE 4B HUNTER R. RAWLINGS PARTICIPATED IN A BOARD-AUTHORIZED IRC SECTION 457(F) DEFERRED COMPENSATION PLAN WHILE SERVING THE UNIVERSITY. FOLLOWING HIS SECOND RETIREMENT FROM THE UNIVERSITY, PAYMENTS UNDER THE IRC SECTION 457(F) PLAN RESUMED IN JULY, 2017. THE CURRENT PRESIDENT DOES NOT CURRENTLY PARTICIPATE IN A 457(F) PLAN. SCHEDULE J, PART I, LINE 7 ALL BONUS PAYMENTS INCLUDED ABOVE ARE NON-FIXED AND ARE PROVIDED TO INDIVIDUALS IN RECOGNITION OF ACCOMPLISHMENTS OF SPECIFIC GOALS OR OVERALL PERFORMANCE, EXCEPT CHIEF INVESTMENT OFFICER WHOSE BONUS IS DETERMINED ACCORDING TO A PREDETERMINED FORMULA. ADDITIONAL INFORMATION ON BOARD OF TRUSTEES. THE CORNELL BOARD INCLUDES FACULTY, STAFF AND STUDENTS. FACULTY MEMBERS ELECT TWO (2) MEMBERS; THE STUDENT BODY ELECTS TWO (2) MEMBERS; THE 'EMPLOYEE ASSEMBLIES' ELECT ONE (1) MEMBER. SCHEDULE J, PART II, COLUMN B(II) BONUS AND INCENTIVE PAY IS ANY PAYMENT RECEIVED RELATED TO THE SCHEDULE J, PART I, LINE 7 DISCLOSURE. THE FOLLOWING INDIVIDUALS RECEIVED BONUS AND INCENTIVE PAY: ZEV ROSENWAKS, MD, STEVEN SPANDORFER, MD, AUGUSTINE M.K. CHOI, ROBERT J. MIN, MD, KENNETH M. MIRANDA, STEPHEN COHEN AND HARRY KATZ. SCHEDULE J, PART II, COLUMN B(III) OTHER REPORTABLE COMPENSATION REPORTED ON SCHEDULE J IS MADE UP OF ONE, OR A VARIETY OF THE FOLLOWING ITEMS: PENSION RESTORATION BENEFITS, SUPPLEMENTAL WAGES, WHICH INCLUDES WAGES EARNED FOR CLINICAL SERVICES AT THE HOSPITAL, AND OTHER TAXABLE BENEFITS OR REIMBURSEMENTS RECEIVED, SUCH AS A HOUSING ALLOWANCE. THE FOLLOWING INDIVIDUALS RECEIVED SUPPLEMENTAL WAGES FOR CLINICAL SERVICES: AUGUSTINE M.K. CHOI, KENNETH M. MIRANDA, HEY-JOO KANG, MD, STEVEN SPANDORFER, MD AND ZEV ROSENWAKS, MD, RECEIVED TAXABLE HOUSING ALLOWANCES. SCHEDULE J, PART II, COLUMNS C AND D CORNELL UNIVERSITY PROVIDES A WIDE VARIETY OF BENEFITS TO ITS EMPLOYEES. BENEFITS ARE TREATED AS A NON-TAXABLE BENEFIT, A PRE-TAX EMPLOYEE DEDUCTION, A POST-TAX EMPLOYEE DEDUCTION, OR OTHERWISE RECORDED AS TAXABLE INCOME. CORNELL CONTRIBUTES ON BEHALF OF THE EMPLOYEE ON A TAX-FREE BASIS, FOR A PORTION OF THEIR HEALTH, DENTAL, AND LIFE INSURANCE. EMPLOYEES CONTRIBUTE TO THOSE BENEFITS ON A PRE-TAX BASIS, ALONG WITH OTHER PRE-TAX BENEFITS SUCH AS VISION, A FLEXIBLE SPENDING ACCOUNT, DEPENDENT GROUP LIFE INSURANCE, AND RETIREMENT ACCOUNTS. A DASNY (2020A-2 - 77840000) 146000293 64990GF56 2020-05-12 102090381 REFUND 2008BC REOFFERING BONDS false false false B DASNY (2020A - 233000000) 146000293 64990GB43 2020-04-02 292657467 REFUND 2010A DASNY BONDS false false false C DASNY (2019D - XXX-XX-XXXX) 146000293 64990GSL7 2019-09-19 161446050 SEE SUPPLEMENTAL INFORMATION false false false D DASNY (2019ABC - XXX-XX-XXXX) 146000293 64990GMF6 2019-04-25 306733618 SERIES 2019A AND TECP REFUND false false false A 0 0 102090381 0 0 0 422905 0 0 0 101667476 0 2020 true false true true B 0 0 292657467 0 0 0 819381 0 0 0 291838086 0 2020 true false true true C 0 0 162969130 0 10826171 0 617744 0 0 71014144 0 80511071 false false false true D 8540000 0 306733618 0 0 0 1207989 0 0 0 305525629 0 2019 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 false false false 0 false false false true D false true true true true true 0 false false false true A false false true false false false 0 false 0 false true B false false true false false false 0 false 0 false true C false true false false false false 0 false 0 false true D false false true false true false 0 false 0 false true A true B true C true D true SERIES 2020A-2 PART I (F) REFUNDED DASNY SERIES 2008BC REISSUANCE BONDS (ISSUED 05/03/2010). PART IV, LINE 2 SERIES 2020A-2 BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2020A PART I (F) REFUNDED DASNY SERIES 2010A BONDS (ISSUED 06/09/2010). PART IV, LINE 2 SERIES 2020A BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2019D PART I (F) CONSTRUCTION OF NEW MONEY PROJECT. PART II, LINE 3 THE AMOUNT LISTED FOR TOTAL PROCEEDS OF THE ISSUE EXCEEDS THE AMOUNT LISTED IN PART I, (e) DUE TO INVESTMENT PROCEEDS EARNED ON THE CONSTRUCTION ACCOUNT. PART IV, LINE 2 SERIES 2019D BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2019A, B, C PART I (F) REFUNDED $253,625,000 OF SERIES 2009A BONDS (ISSUED 04/22/2009) AND $52,890,000 OF TAX-EXEMPT CP. PART IV, QUESTION 2 SERIES A, B, C BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. A DASNY (SERIES 2016A - 12585 MILLION PAR) 146000293 64990BG49 2016-05-17 153651986 SEE SUPPLEMENTAL INFORMATION false false false B TCIDA (SERIES 2002A - 235765 MILL PAR) 161214039 2016-01-20 35765000 SEE SUPPLEMENTAL INFORMATION false false false C DASNY (SERIES 2000AB - 10113 MILL PAR) 146000293 2015-12-06 101130000 SEE SUPPLEMENTAL INFORMATION false false false D TCIDA (SERIES 2008A 70 MILLION PAR) 161214039 890099EQ3 2010-06-23 75307598 REFUNDED 2008 BONDS (1/30/2008) false false false A 18745000 0 153651986 0 0 0 660938 0 0 0 152991048 0 2016 true false true true B 9415000 0 35765000 0 0 0 0 0 0 0 35765000 0 2016 true false true true C 28560000 0 101130000 0 0 0 0 0 0 0 101130000 0 2016 true false true true D 16590000 0 75307598 0 0 0 520432 0 0 0 74787166 0 2010 true false true true A false true true true true true 0 false false false true B 0 C 0 D false true true true true true 0 false false false true A false false true false false false 0 false 0 false true B false false true false true false 0 false 0 false true C false false true false true false 0 false 0 false false D false false false true false false 0 false 0 false true A true B true C true D true SERIES 2016A PART I (F) REFUNDED 2006 DASNY BONDS (ISSUES 5/11/2006) PART IV, QUESTION 2 SERIES 2016A BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2002A PART I (F) REFUNDED 2002A TCIDA BONDS (ISSUED 2/14/2002) PART III THE PRE-2003 ISSUANCE RULES APPLY, THEREFORE, PART III IS NOT REQUIRED. PART IV, QUESTION 2 SERIES 2002A BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2000A&B PART I (F) REFUNDED 2000A&B DASNY BONDS (ISSUED 3/28/2000) PART III THE PRE-2003 ISSUANCE RULES APPLY, THEREFORE, PART III IS NOT REQUIRED. PART IV, QUESTION 2 SERIES 2000A&B BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2008A PART IV, QUESTION 2 ARBITRAGE REBATE COMPUTATION COMPLETED 9/12/2012 CORNELL HAS VERIFIED THAT ALL REQUIRED ARBITRAGE REPORTS WERE FILED AS FINAL, AND NO ADDITIONAL REPORTS ARE REQUIRED DUE TO THE FACT THERE CAN BE NO IRS INSTALLMENT PAYMENTS OR LIABILITY SINCE ALL BOND PROCEEDS WERE UTILIZED OR SPENT PRIOR TO EACH FINAL ARBITRAGE FILING. A DASNY (SERIES 1990B - 5045 MILLION PAR) 146000293 649905ZH2 2010-05-03 55997134 REFUND 1990 BONDS (12/19/1990) false false false B DASNY (SERIES 2004AB - 921 MILLION PAR) 146000293 64983TRF2 2004-05-27 92100000 SEE SUPPLEMENTAL INFORMATION false false false A 29625000 0 55997134 0 0 0 0 0 0 0 55997134 0 2010 true false true true B 35650000 0 92663883 0 0 0 842345 0 0 50376296 41445242 0 2006 true false true true A 0 B false true true true true true 0 false false false true A false false true false false false 0 false 0 false true B false false false true true false 0 false 0 false true A true B true SERIES 1990B PART III THE PRE-2003 ISSUANCE RULES APPLY, THEREFORE, PART III IS NOT REQUIRED. PART IV, QUESTION 2 SERIES 1990B BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION SERIES 2004A&B PART I (F) REFUNDED 1998 TAX EXEMPT COMMERCIAL PAPER ($40,805,000) AND FINANCED NEW PROJECTS. PART II, LINE 3: AMOUNT LISTED FOR TOTAL PROCEEDS OF THE ISSUE EXCEED ISSUE PRICE DUE TO INVESTMENT INCOME ON THE CONSTRUCTION FUND. PART IV, QUESTION 2 ARBITRAGE REBATE CALCULATION COMPLETED 7/24/2007. CORNELL HAS VERIFIED THAT ALL REQUIRED ARBITRAGE REBATE REPORTS WERE FILED AS FINAL, AND NO ADDITIONAL REPORTS ARE REQUIRED DUE TO THE FACT THERE CAN BE NO IRS INSTALLMENT PAYMENTS OR LIABILITY SINCE ALL BOND PROCEEDS WERE UTILIZED OR SPENT PRIOR TO EACH FINAL ARBITRAGE FILING. PART VI NONE OF TAX EXEMPT BONDS: WITH THE IMPLEMENTATION OF THE MIXED USE RULES, THE UNIVERSITY HAS SEEN A REDUCTION IN REPORTABLE PRIVATE USE DUE TO UNIVERSITY EQUITY AND GIFTS. Peter Destefano OFFICER - SPOUSE 68601 compensation false Carolyn McDaniel OFFICER - SPOUSE 99562 Compensation false Mary E Choi OFFICER - SPOUSE 394367 COMPENSATION false X 36 2062377 Appraisal X 661275 FMV X 1550 FMV X 1141 66560801 FMV X 25 4193285 FMV X 4 628985 FMV X 7 3376 FMV X 5 57225 FMV X Equipment 104 1161507 FMV X Horses 23 419010 FMV X Gift certificates 14 1040 FMV 19 false true false FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION THE MISSION OF CORNELL UNIVERSITY IS TO PROVIDE UNDERGRADUATE, GRADUATE, AND PROFESSIONAL DEGREE PROGRAMS; TO DISCOVER, PRESERVE, AND DISSEMINATE KNOWLEDGE; PRODUCE CREATIVE WORK; AND PROMOTE A CULTURE OF BROAD INQUIRY THROUGHOUT AND BEYOND THE UNIVERSITY COMMUNITY. CORNELL ALSO AIMS, THROUGH PUBLIC SERVICE, TO ENHANCE THE LIVES AND LIVELIHOODS OF STUDENTS, THE CITIZENS OF NEW YORK STATE, AND OTHERS AROUND THE WORLD. FORM 990, PART III, LINE 4A CONTINUED: AND CORNELL TECH IN NEW YORK CITY. THE UNIVERSITY HAS A SIGNIFICANT INTERNATIONAL EDUCATIONAL PRESENCE, INCLUDING WEILL CORNELL MEDICAL COLLEGE'S CAMPUS IN DOHA, QATAR. DURING THE REPORTING YEAR, THE UNIVERSITY GRANTED THE FOLLOWING DEGREES: UNDERGRADUATE (3,875); MASTERS (3,310); PH.D. (584); AND J.D, M.D. & D.V.M DEGREES (406). FORM 990, PART III, LINE 4D OTHER PROGRAM SERVICE ACCOMPLISHMENTS INCLUDE, BUT ARE NOT LIMITED TO, CORNELL'S LAND-GRANT MISSION, ACADEMIC CONFERENCES, PUBLICATIONS, AND ROOM AND BOARD FOR STUDENTS. FORM 990, PART VI, LINE 1A EXECUTIVE COMMITTEE ARTICLE II OF THE BY-LAWS PROVIDES THAT THE EXECUTIVE COMMITTEE IS COMPRISED OF THE CHAIRPERSON AND VICE CHAIRPERSONS OF THE BOARD, THE PRESIDENT OF THE UNIVERSITY, AND THE CHAIRPERSONS OF THE TWO BOARDS OF OVERSEERS, EACH EX OFFICIO, TOGETHER WITH TRUSTEES AND EMERITUS TRUSTEES TO BE ELECTED BY THE BOARD. DURING THIS REPORTING YEAR, ALL MEMBERS OF THE EXECUTIVE COMMITTEE WERE TRUSTEES. THE EXECUTIVE COMMITTEE IS AUTHORIZED TO: (I) REVIEW THE BUDGET AND FINANCIAL PLAN FOR CORNELL UNIVERSITY, EXCEPT FOR WEILL MEDICAL COLLEGE, AND TO SUBMIT THE PLAN, WITH RECOMMENDATIONS, FOR FULL BOARD REVIEW; (II) REVIEW THE PRESIDENT'S PLAN FOR THE UNIVERSITY'S PROPERTIES AND INVESTMENTS; (III) REVIEW AND APPROVE THE PRESIDENT'S COMPENSATION; (IV) REVIEW AND APPROVE COMPENSATION AND BENEFIT POLICIES FOR ALL UNIVERSITY PERSONNEL; (V) ELECT THE DEANS, DIRECTORS AND OTHER HEADS OF THE COLLEGES, SCHOOLS OR OTHER ACADEMIC UNITS, ALL UPON RECOMMENDATION OF THE PROVOST OR PROVOST FOR MEDICAL AFFAIRS, AS APPROPRIATE, AND WITH THE CONCURRENCE OF THE PRESIDENT; (VI) PRESCRIBE THE DUTIES OF SUCH OFFICERS AND ADJUST THEIR COMPENSATION, EXCEPT FOR WEILL MEDICAL COLLEGE; AND (VII) EXERCISE THE POWERS OF THE BOARD IN ALL MATTERS, EXCEPT THOSE WHICH REQUIRE ACTION BY THE FULL BOARD, BETWEEN MEETINGS OF THE BOARD OF TRUSTEES. FORM 990, PART VI, LINE 4 SIGNIFICANT CHANGES TO GOVERNING DOCUMENTS CHANGES MADE TO THE UNIVERSITY BY-LAWS WERE APPROVED BY THE BOARD ON THE FOLLOWING DATES: OCTOBER 18, 2019 - UNIVERSITY BYLAWS ARTICLE II, SECTION 2. TO INCLUDE LANGUAGE FOR THE ONE LIFE TRUSTEE TO RESIGN HIS OR HER POSITION IN FAVOR OF THE NEXT ELDEST LINEAL DESCENDANT AND TO ARTICLE II, SECTION 5. TO CLARIFY THE ELECTION OF TRUSTEES BY OTHER CONSTITUENCIES. FORM 990, PART VI, LINE 7A POWER TO ELECT OR APPOINT MEMBERS PURSUANT TO THE UNIVERSITY'S CHARTER, THE BOARD OF TRUSTEES CONSISTS OF 64 MEMBERS. OF THIS NUMBER, THE GOVERNOR, THE TEMPORARY PRESIDENT OF THE SENATE, THE SPEAKER OF THE ASSEMBLY, AND THE PRESIDENT OF THE UNIVERSITY ARE EX OFFICIO TRUSTEES DURING THEIR TERMS OF OFFICE. FURTHER, THE ELDEST LINEAL DESCENDANT OF EZRA CORNELL IS APPOINTED AS A TRUSTEE FOR HIS OR HER LIFE. THE GOVERNOR ALSO APPOINTS THREE TRUSTEES. ADDITIONALLY, ACADEMIC FACULTY APPOINT TWO MEMBERS, THE STUDENT BODY APPOINTS TWO MEMBERS, AND THE NON-ACADEMIC STAFF APPOINT ONE MEMBER AND THE ALUMNI ELECT EIGHT MEMBERS. ALL REMAINING TRUSTEES ARE ELECTED BY THE BOARD OF TRUSTEES. FORM 990, PART VI, LINE 11B PROCESS USED TO REVIEW THE FORM 990 IN ADVANCE OF FILING, THE UNIVERSITY PRESENTS A DRAFT OF FORM 990 TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AT THEIR SPRING MEETING WHICH GENERALLY OCCURS IN MARCH OF EACH YEAR. FURTHER, PRIOR TO THE SPRING AUDIT COMMITTEE MEETING, ALL VOTING MEMBERS OF THE BOARD OF TRUSTEES ARE NOTIFIED OF MATERIALS BEING REVIEWED BY THE COMMITTEE AND A DRAFT FROM 990 IS INCLUDED IN THIS NOTIFICATION. IF ANY CHANGES ARE MADE, PRIOR TO FILING, THE FINAL 990 IS POSTED TO THE BOARD OF TRUSTEES PASSWORD-PROTECTED WEBSITE. AN EMAIL NOTIFICATION IS SENT TO ALL VOTING MEMBERS OF THE BOARD OF TRUSTEES INFORMING THEM THAT CHANGES HAVE BEEN MADE WITH A LINK TO THE SECURE WEBSITE. FORM 990, PART VI, LINE 12C MONITORING AND ENFORCEMENT OF COMPLIANCE WITH CONFLICT OF INTEREST POLICY INFORMATION ON MONITORING CONFLICT OF INTEREST: UNDER THE UNIVERSITYS CONFLICT OF INTEREST POLICY, OFFICERS, DIRECTORS, AND OTHER KEY EMPLOYEES AND FACULTY MEMBERS MUST FILE AN ANNUAL CONFLICT OF INTEREST STATEMENT. ANY CONFLICT IDENTIFIED IS REPORTED TO THE APPROPRIATE OFFICE RESPONSIBLE FOR MANAGING THE CONFLICT, SUCH AS THE REAL ESTATE OFFICE FOR REAL ESTATE MATTERS. THIS PROCEDURE IS DESIGNED TO HELP ENSURE THAT SUCH TRANSACTIONS ARE SUBJECT TO ADDITIONAL REVIEW AND AUTHORIZATION. ANY MEMBER OF THE BOARD OF TRUSTEES, BOARD OF OVERSEERS, AN OFFICER OF THE CORPORATION, OR OTHER SENIOR ADMINISTRATOR MUST REPORT ANNUALLY, IN WRITING, ANY EXTERNAL INTERESTS, OR THOSE OF A FAMILY MEMBER OR ASSOCIATE, TO THE UNIVERSITY COUNSEL AND SECRETARY OF THE CORPORATION. THE UNIVERSITY COUNSEL AND SECRETARY OF THE CORPORATION WILL ADVISE THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES REGARDING SUCH MATTERS AS NECESSARY INCLUDING DETERMINING WHETHER A CONFLICT OF INTEREST EXISTS AND HOW CORNELL UNIVERSITY SHOULD BEST MANAGE A CONFLICT OF INTEREST. AN INDIVIDUAL IS CONSIDERED TO HAVE A CONFLICT OF INTEREST WHEN HE OR SHE, A MEMBER OF HIS OR HER FAMILY, OR AN ASSOCIATE (TO HIS OR HER PRESENT KNOWLEDGE) EITHER: (1) HAS AN EXISTING OR POTENTIAL SIGNIFICANT FINANCIAL INTEREST OR OTHER MATERIAL INTEREST OR RELATIONSHIP THAT IMPAIRS OR MIGHT APPEAR TO IMPAIR THE INDIVIDUALS INDEPENDENCE AND OBJECTIVITY IN THE DISCHARGE OF HIS OR HER RESPONSIBILITIES TO THE UNIVERSITY; OR (2) MAY RECEIVE A FINANCIAL OR OTHER MATERIAL BENEFIT FROM INFORMATION CONFIDENTIAL TO THE UNIVERSITY. TYPICALLY, A CONFLICT OF INTEREST MAY ARISE WHEN AN INDIVIDUAL HAS THE OPPORTUNITY TO INFLUENCE THE UNIVERSITYS BUSINESS, ADMINISTRATIVE, ACADEMIC, OR OTHER DECISIONS IN WAYS THAT COULD LEAD TO PERSONAL GAIN OR ADVANTAGE OF ANY KIND. UPON FULL REPORTING, THE UNIVERSITY MAY APPROVE A TRANSACTION OR AFFILIATION, PROVIDED THAT THE CONFLICT CAN BE MANAGED. IN MANY CASES, THE CONFLICT CAN BE MANAGED THROUGH DISCLOSURE. IN SOME CASES, THE INDIVIDUAL MAY BE REQUIRED TO REPORT ON THE CONFLICT ANNUALLY. THE UNIVERSITY WILL DISAPPROVE THE TRANSACTION OR AFFILIATION IF A CONFLICT OF INTEREST IS INVOLVED THAT CANNOT BE MANAGED. FORM 990, PART VI, LINES 12-14 CORNELL UNIVERSITY HAS ADOPTED POLICIES COVERING THE SUBJECTS OF CONFLICTS OF INTEREST, WHISTLEBLOWERS, AND DOCUMENT RETENTION AND DESTRUCTION, AS WELL AS OTHER SIGNIFICANT POLICIES, EACH OF WHICH IS POSTED ON ITS WEBSITE AT POLICY.CORNELL.EDU. THE CORNELL UNIVERSITY POLICY PROMULGATION PROCESS WAS ESTABLISHED IN 1991. THE CURRENT POLICY PROMULGATION PROCESS DOES NOT REQUIRE THAT EACH SPECIFIC POLICY BE APPROVED BY THE BOARD OF TRUSTEES OR THAT THE LITERAL AUTHORITY TO PROMULGATE POLICY WAS DELEGATED; HOWEVER, CORNELL TAKES A SUBSTANTIATED POSITION THAT THE AUTHORITY TO PROMULGATE POLICIES WAS DELEGATED TO EACH EXECUTIVE BY THE AUDIT COMMITTEE IN 1991. FORM 990, PART VI, LINE 15 PROCESS FOR DETERMINING COMPENSATION: THE UNIVERSITY HAS FORMAL PROCEDURE TO AUTHORIZE AND MANAGE COMPENSATION ISSUES. THE PROCEDURES IDENTIFIED BELOW APPLY TO ALL OFFICERS; ALL FORMER OFFICERS WHO CONTINUE TO PROVIDE SERVICES TO THE INSTITUTION AS A WHOLE; AND ALL EMPLOYEES WHOSE COMPENSATION EXCEEDS A PRE-ESTABLISHED THRESHOLD. THE VICE PRESIDENT AND CHIEF HUMAN RESOURCES OFFICER (VP) DEVELOPS THE LIST OF INDIVIDUALS SUBJECT TO REVIEW AND OBTAINS COMPARATIVE DATA FROM EXTERNAL, INDEPENDENT CONSULTING FIRMS. THE VP AND HER INTERNAL STAFF DEVELOP FORMAL PRESENTATIONS FOR THE COMPENSATION COMMITTEE AND THE EXECUTIVE COMMITTEE OF THE BOARD. THE COMPENSATION COMMITTEE REVIEWS THE INFORMATION, MODIFIES IT IF DEEMED APPROPRIATE, APPROVES CASES PER ITS DELEGATED AUTHORITY, AND INFORMS THE EXECUTIVE COMMITTEE OF THOSE APPROVALS. THE COMPENSATION COMMITTEE RECOMMENDS COMPENSATION FOR CASES EXCEEDING ITS AUTHORITY FOR FINAL REVIEW AND APPROVAL TO THE EXECUTIVE COMMITTEE OF THE BOARD. IN ADDITION, THE UNIVERSITY MAINTAINS CONTEMPORANEOUS WRITTEN RECORDS OF THE PROCEDURES THAT, TOGETHER WITH THE FOREGOING, GIVE RISE TO A REBUTTABLE PRESUMPTION OF REASONABLENESS. NOTE: COMPENSATION PROPOSALS WHICH OCCUR OUTSIDE THE SPRING TIMELINE AND REQUIRE COMPENSATION COMMITTEE AND/OR EXECUTIVE COMMITTEE APPROVAL ARE PRESENTED FOR REVIEW AND APPROVAL IN PRIVATE SESSION OF THE APPROPRIATE COMMITTEE. IF THERE IS DISCRETIONARY COMPONENT OF COMPENSATION, IT IS LIMITED BY AMOUNT, PERCENTAGE, OR OTHER CLEARLY SPECIFIED CRITERIA. FORM 990, PART VI, LINE 16A PROCEDURES FOR PARTICIPATION IN JOINT VENTURES THE UNIVERSITY HAS NUMEROUS CONTROLS IN PLACE TO ENSURE THAT ANY INVESTMENT IN, CONTRIBUTION OF ASSETS TO, OR PARTICIPATION IN A JOINT VENTURE OR SIMILAR ARRANGEMENT WITH A TAXABLE OR NON-TAXABLE ENTITY ARE IN FULL COMPLIANCE WITH UNIVERSITY POLICIES, INCLUDING, BUT NOT LIMITED TO, THE POLICY ON TRANSACTION AUTHORITY AND UNRELATED BUSINESS INCOME. COMPLIANCE WITH THE UNIVERSITY'S POLICIES SERVES TO PROTECT THE ORGANIZATIONS EXEMPT STATUS. FORM 990, PART VI, LINE 19 PROCESS FOR MAKING DOCUMENTS AVAILABLE TO THE PUBLIC THE UNIVERSITY'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND AUDITED FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC VIA THE UNIVERSITY'S WEBSITE. FORM 990, PART VIII, PART IX AND PART X CURRENT YEAR REVENUE AND EXPENSE PRESENTS DATA OF CORNELL UNIVERSITY DECONSOLIDATED ON EACH LINE FROM ITS RELATED ORGANIZATIONS THAT ARE INCLUDED IN CORNELLS CONSOLIDATED FINANCIAL STATEMENTS. BOTH THE BEGINNING OF YEAR AND END OF YEAR BALANCE SHEETS FOR CORNELL UNIVERSITY HAVE BEEN PRESENTED DECONSOLIDATED FROM THE RELATED ORGANIZATIONS INCLUDED IN CORNELLS CONSOLIDATED FINANCIAL STATEMENTS. FORM 990, PART VIII, LINE 1H THE CORNELL UNIVERSITY FOUNDATION IS A DONOR ADVISED FUND PROVIDING A SERVICE FOR CORNELL ALUMNI AND FRIENDS WHO WISH TO MAKE CHARITABLE GIFTS THROUGH THE STRUCTURE OF A DONOR-ADVISED FUND. AMOUNTS GRANTED FROM THIS FOUNDATION TO CORNELL UNIVERSITY HAVE BEEN INCLUDED IN THE CONTRIBUTION TOTAL FOR CORNELL UNIVERSITY BEGINNING WITH THE 2014 FORM 990. FORM 990, PART XI, LINE 9 OTHER CHANGES TO NET ASSETS: Pension and post retirement changes (88,845,981) Loss on swap termination (99,928,251) Changes in FMV of split interest (6,908,496) ------------- TOTAL (195,682,728) FASB STANDARD IMPLEMENTED FINANCIAL INFORMATION ON THE FORM 990 IS BASED ON THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS. AN ACCOUNTING PROVISION WAS IMPLEMENTED IN THE AUDITED FINANCIAL STATEMENTS FOR FISCAL YEAR ENDED JUNE 30, 2020. THIS CHANGE BECOME AN INTEGRAL PART OF THE FORM 990 FINANCIAL INFORMATION ON THIS RETURN. AS A RESULT, COMPARISON OF YEAR OVER YEAR NUMBERS FOR PARTICULAR LINE ITEMS REFLECT, IN PART, THE REQUIRED CHANGE IN ACCOUNTING, RATHER THAN A CHANGE IN THE UNDERLYING OPERATIONS OF THE UNIVERSITY. DURING THE FISCAL YEAR, THE UNIVERSITY IMPLEMENTED ONE FINANCIAL ACCOUNTING STANDARD BOARD (FASB) STANDARDS. Form 990, Part X, Lines 15 and 25 ASU 2016-02 - Leases (Topic 842) In February 2016, the Financial Accounting Standards Board (FASB) issued the standard ASU 2016-02-Leases (Topic 842), which provides accounting guidance for leases from the lessor's and lessee's perspective. The main difference between previous Generally Accepted Accounting Principles (GAAP) and Topic 842 is the recognition of lease assets and lease liabilities by lessees for leases classified as operating leases. This standard is effective for the fiscal year ending June 30, 2020. Topic 842 has been applied using a modified retrospective transition as of the effective date, July 1, 2019. The impact was an increase in the operating right-of-use assets of $465.1 million and the operating lease liabilities of $468.0 million. The new leasing standard and its impact are disclosed more fully in Note 10 of the consolidated financial statements. 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