2021-05-17T08:33:24-05:00 2020-06-30 PricewaterhouseCoopers LLP 300 Madison Avenue New York NY 10017 990 2019-07-01 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 2021-05-07 true ERIC M MCNEIL P00460263 6464713000 2019 2022-09-23 18:48:47Z Lee C Bollinger 615 West 131st St MC 8741 New York NY 100277922 7989773992 false X www.columbia.edu X 1754 NY SEE ATTACHMENT 1 24 23 38186 14372 -71775614 0 1626034525 1795585528 3346803352 3385080205 478275860 634552990 103438619 128177159 5554552356 5943395882 738171207 773317842 0 0 3132856099 3365043357 1588677 1598925 125118317 1395876301 1393247240 5268492284 5533207364 286060072 410188518 19924189461 20956690344 3939904906 4697474752 15984284555 16259215592 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 2058244938 623604910 1731212091 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 TWO 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 33,413 FULL-TIME AND PART-TIME STUDENTS AND EMPLOYS APPROXIMATELY 18,430 FULL-TIME EMPLOYEES, INCLUDING 6,662 FULL-TIME FACULTY MEMBERS AND RESEARCH STAFF. 1185396563 11564712 1297261020 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 597 UNIVERSITY MEDICAL STUDENTS AND 955 RESIDENTS AND FELLOWS AT NEW YORK PRESBYTERIAN HOSPITAL. 660083384 131394024 189370302 THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS AND CONTRACTS WITH AGENCIES OF THE FEDERAL GOVERNMENT AND OTHER SPONSORING ORGANIZATIONS. 305676065 CAMPUS OPERATIONS 287175509 INSTITUTIONAL SUPPORT 161312976 164961741 AUXILIARY ENTERPRISES 333874404 6754196 2275051 OTHER SOURCES 1088038954 6754196 167236792 4991763839 true true false true false true false true false true true true false false true false false true true true true true false 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 40563 0 true 38186 true true true true false false false true true false false false false false false false true false X 24 23 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 6854636 0 59971 PETER HOLLAND CEO & EXEC VP OF INV MGMT 60.0 0.0 X 3790013 0 1669979 DAVID N SILVERS CLINICAL PROFESSOR 60.0 0.0 X 4370686 0 58555 KIEHYUN DANIEL RIEW PROFESSOR OF SURGERY 60.0 0.0 X 4163116 0 78280 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 60.0 0.0 X 3624012 0 519072 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 60.0 0.0 X 3484664 0 64380 CRAIG R SMITH PROFESSOR OF SURGERY 60.0 0.0 X 2858930 0 60027 LEE C BOLLINGER PRESIDENT 59.9 0.1 X X 2254198 0 502304 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 59.9 0.1 X 866738 0 51183 JOHN COATSWORTH PROVOST (FORMER) 59.9 0.1 X 848000 0 49080 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 59.8 0.2 X 826365 0 45936 JANE E BOOTH GENERAL COUNSEL 60.0 0.0 X 798511 0 53072 DAVID MADIGAN EXEC VP-A&S (FORMER) 59.9 1.0 X 586715 0 246311 AMELIA ALVERSON EXEC VP - 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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 SCIENCE; VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY 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 PLANNING AND PROJECT COORDINATION, 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 MEDICAL CENTER; THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; AND OTHER COLUMBIA UNIVERSITY 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. 14 2115768 8325922 31415346 true true X X X X true 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 9639065000 176354000 -173840000 106989000 449177000 44386000 9041027000 0.31680 0.34160 0.34160 true false 504394498 504394498 7417138111 3257923178 4159214933 645455518 410467148 234988370 1439454597 509238221 930216376 5828814177 GLOBAL EQUITIES 1728633998 F ABSOLUTE RETURN STRATEGIES 3741276775 F PRIVATE EQUITY 2412967022 F REAL ESTATE ASSETS 1580895835 F FIXED INCOME 281334161 F CASH & CASH EQUIVALENTS 394601620 F 10139709411 0 LIABILITY FOR SECURITIES PURCH 4307545 CAPITAL LEASE OBLIGATIONS 131275210 COND'L ASSET RETIREMENT OBLIGA 121992259 ACCRUED EMPLOYEE BENEFIT LIAB. 433617465 FEDERAL STUDENT LOAN FUNDS 62399541 ACTUARIAL LIAB- SPLIT INT AGRM 58511097 OTHER LONG TERM LIABILITIES 572125777 1384228894 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 1 152 Program Services EDUC/RESEARCH/OUTREACH 7550921 Central America and the Caribbean Grantmaking 2526018 Central America and the Caribbean Investments 5672537433 East Asia and the Pacific 10 887 Program Services EDUC/RESEARCH/OUTREACH 7136467 East Asia and the Pacific Grantmaking 907921 East Asia and the Pacific Fundraising 195828 East Asia and the Pacific Investments 183018938 Europe (Including Iceland and Greenland) 14 2709 Program Services EDUC/RESEARCH/OUTREACH 13865734 Europe (Including Iceland and Greenland) Grantmaking 4712542 Europe (Including Iceland and Greenland) Fundraising 288779 Europe (Including Iceland and Greenland) Investments 593332199 Middle East and North Africa 7 590 Program Services EDUC/RESEARCH/OUTREACH 4078863 Middle East and North Africa Grantmaking 318461 Middle East and North Africa Fundraising 45201 Middle East and North Africa Investments 454252 North America 497 Program Services EDUC/RESEARCH/OUTREACH 1339038 North America Grantmaking 1397927 North America Fundraising 4961 North America Investments 40500074 Russia and the Newly Independent States 4 138 Program Services EDUC/RESEARCH/OUTREACH 3765958 Russia and the Newly Independent States Grantmaking 120437 South America 4 335 Program Services EDUC/RESEARCH/OUTREACH 2205857 South America Grantmaking 410500 South America Fundraising 49952 South Asia 4 235 Program Services EDUC/RESEARCH/OUTREACH 1815327 South Asia Grantmaking 836629 South Asia Fundraising 18201 South Asia Investments 5614 Sub-Saharan Africa 50 2826 Program Services EDUC/RESEARCH/OUTREACH 147653739 Sub-Saharan Africa Grantmaking 17297612 Sub-Saharan Africa Fundraising 2200 Sub-Saharan Africa Investments 106172791 32 4835 62 3534 94 8369 6493706522 320859852 6814566374 Europe Edu/Research 1500000 Check/Wire N/A N/A Sub-Saharan 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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. ---------------------------------------------------------------- X X X X X X X true RUFFALO NOEL LEVITZ LLC 1025 KIRKWOOD PARKWAY SW CEDAR RAPIDS IA 52404 CONSULTING false 605196 758877 -153681 DONORDRIVE 30 WEST THIRD STREET CINCINNATI OH 45202 CONSULTING false 49959 35189 14770 EVENTAGE 18 SOUTH ORANGE AVENUE SOUTH ORANGE NJ 07079 CONSULTING false 1142694 804859 337835 1797849 1598925 198924 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS MO NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI AWARDS 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THE UCLA FOUNDATION 10920 WILSHIRE BLVD LOS ANGELAS CA 90024 952250801 501(C)(3) 1352509 N/A N/A Program Services UNIV OF CA SAN FRANCISCO FOUNDATION 220 MONTGOMERY ST SAN FRANCISCO CA 94104 942829914 501(C)(3) 15000 N/A N/A Program Services UNIVERSITY OF WISCONSIN FOUNDATION 1848 UNIVERSITY Ave MADISON WI 53726 390743975 501(C)(3) 25000 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 American Museum of Natural History 79TH ST AT CENTRAL PARK W NEW YORK NY 10024 136162659 501(C)(3) 137086 N/A N/A Program Services ANTI-DEFAMATION LEAGUE 605 3RD AVE NEW YORK NY 10158 132887439 501(C)(3) 7600 N/A N/A Program Services BARNARD COLLEGE 3009 BROADWAY NEW YORK NY 10027 131628149 501(C)(3) 71344 N/A N/A Program Services BROADWAY HOUSING COMMUNITIES 583 Riverside Dr New York NY 10031 133212867 501(C)(3) 6750 N/A N/A Program Services CATHEDRAL CHURCH OF ST JOHN THE DIVINE 1047 AMSteRDAM AVE NEW YORK NY 10025 131623934 501(C)(3) 14800 N/A N/A Program Services FORDHAM UNIVERSITY 140 W 62ND ST NEW YORK NY 10023 131740451 501(C)(3) 57203 N/A N/A Program Services JAZZ AT LINCOLN CENTER INC 3 COLUMBUS CIRCLE NEW YORK NY 10019 133888641 501(C)(3) 63400 N/A N/A Program Services JCC ROCKLAND INC 450 W NYACK Rd W NYACK NY 10994 133329286 501(C)(3) 36000 N/A N/A Program Services NEW YORK ACADEMY OF MEDICINE 500 7TH Ave NEW YORK NY 10018 131656674 501(C)(3) 22197 N/A N/A Program Services NEW YORK COMMON PANTRY INC 275 MADISON Ave NEW YORK NY 10016 133127972 501(C)(3) 10000 N/A N/A Program Services NORTHERN MANHATTAN IMPROVEMENT CORPORATION 45 WADSWORTH Ave NEW YORK NY 10033 132972415 501(C)(3) 12500 N/A N/A Program Services RESEARCH FOUNDATION FOR MENTAL HYGIENE 1051 RIVERSIDE DR NEW YORK NY 10032 141410842 501(C)(3) 4222609 N/A N/A Program Services RICHARD TUCKER MUSIC FOUNDATION 1790 BROADWAY NEW YORK NY 10019 237431029 501(C)(3) 25000 N/A N/A Program Services TEACHERS COLLEGE COLUMBIA UNIVERSITY 525 W 120TH ST BOX 30 NEW YORK NY 10027 131624202 501(C)(3) 376634 N/A N/A Program Services VCS INC 77 S MAIN St NEW CITY NY 10956 132720369 501(C)(3) 150000 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) 10000 N/A N/A Program Services WEST HARLEM ENVIRONMENTAL ACTION INC 1854 AMSTERDAM Ave NEW YORK NY 10031 133800068 501(C)(3) 100028 N/A N/A Program Services YALE UNIVERSITY 157 CHURCH ST NEW HAVEN CT 06510 060646973 501(C)(3) 1246629 N/A N/A Program Services 92nd Street Y 1395 Lexington Ave New York NY 10128 131624229 501(C)(3) 70750 N/A N/A Program Services Jewish Federation of Rockland County 450 West Nyack Rd West Nyack NY 10994 133268920 501(C)(3) 75000 N/A N/A Program Services Keren Kayemeth Leisrael Inc 42 East 69th St New York NY 10021 131659627 501(C)(3) 6000 N/A N/A Program Services Newport Festivals Foundation Inc 74 Martin St Rear Essex MA 01929 274099544 501(C)(3) 25000 N/A N/A Program Services WNET 825 Eighth Ave New York NY 10019 262810489 501(C)(3) 25000 N/A N/A Program Services Knight First Amendment Inst at CU 814759386 501(C)(3) 1011472 N/A N/A Capital Contr Columbia University Health Care Inc 133948652 501(C)(3) 11564712 N/A N/A Capital Contr 353 1 CCS NANCY RUPP SCHOLARSHIPS 2 7000 N/A N/A STUDENT TUITION GRANTS AND SCHOLARSHIPS 15649 623991106 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 LEE C BOLLINGER PRESIDENT 1554198 0 700000 0 0 0 42355 0 459949 0 2756502 0 0 0 JANE E BOOTH GENERAL COUNSEL 798511 0 0 0 0 0 42355 0 10717 0 851583 0 0 0 JEROME DAVIS SECRETARY 458703 0 0 0 0 0 42355 0 13911 0 514969 0 0 0 IRA KATZNELSON INTERIM PROVOST (AS OF 9/1/19) 531582 0 0 0 53395 0 42355 0 20725 0 648057 0 0 0 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 866738 0 0 0 0 0 28284 0 22899 0 917921 0 0 0 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 826365 0 0 0 0 0 28355 0 17581 0 872301 0 0 0 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 785128 0 0 0 0 0 28355 0 14030 0 827513 0 0 0 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 1200485 0 2347201 0 76326 0 508355 0 10717 0 4143084 0 1430400 0 DAVID GREENBERG EXEC VP FACILITIES 545527 0 0 0 48 0 28355 0 4381 0 578311 0 0 0 PETER HOLLAND CEO & EXEC VP OF INV MGMT 1032716 0 2757297 0 0 0 1584965 0 85014 0 5459992 0 2536106 0 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 3484664 0 0 0 0 0 30983 0 33397 0 3549044 0 0 0 LAWRENCE GERALD LENKE PROFESSOR OF SURGERY 6854636 0 0 0 0 0 30702 0 29269 0 6914607 0 0 0 KIEHYUN DANIEL RIEW PROFESSOR OF SURGERY 4163116 0 0 0 0 0 30843 0 47437 0 4241396 0 0 0 DAVID N SILVERS CLINICAL PROFESSOR 2991337 0 1379349 0 0 0 38789 0 19766 0 4429241 0 0 0 CRAIG R SMITH PROFESSOR OF SURGERY 2858930 0 0 0 0 0 38618 0 21409 0 2918957 0 0 0 JOHN COATSWORTH PROVOST (FORMER) 806854 0 0 0 41146 0 28355 0 20725 0 897080 0 0 0 DAVID MADIGAN EXEC VP-A&S (FORMER) 514217 0 0 0 72498 0 28355 0 217956 0 833026 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 $433,596 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 $6,726 IMPUTED TO DR. GOLDMAN 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 $2,923,886 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, 2020 and reflects the start of the pandemic. In accordance with the Form 990 reporting requirements, compensation data is reported for the calendar year 2019 which does not include any pandemic related compensation adjustments. 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 beginning in calendar year 2020, which is not yet reportable. President Bollinger's cash compensation was reduced by approximately 15% for the calendar year 2020. Consistent with reporting requirements, These reductions will be reflected in the University's future Forms 990. NOTE TO DR. GOLDMAN'S COMPENSATION THE ACTUAL AMOUNT EARNED DURING THE REPORTING PERIOD WAS $ 2,712,684 FOR DR. GOLDMAN. The University has agreed to provide Dr. Goldman with supplemental retirement income based on cumulative annual credits including amounts for achieving performance measures, subject to satisfying vesting conditions related to continuing services to the University. Column B(ii) includes previously reported deferred compensation that vested and was paid during the reporting period. These prior year amounts were reported on previous returns as deferred compensation and are accordingly reported in column (F). 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. NOTE TO DR. SMITH'S, DR. LENKE'S, DR. RIEW'S, AND DR. LEHMAN'S COMPENSATION THE COMPENSATION OF DR. SMITH, DR. LENKE, DR. RIEW, & DR. LEHMAN IS SUPPORTED BY THEIR CLINICAL ACTIVITIES, GRANTS, AND SUPPORT FROM THE UNIVERSITY'S HOSPITAL AFFILIATES. 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 45000000 0 312258392 0 0 0 1678394 0 0 308005990 2574008 0 false false true true D 25005000 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 AND 2018A&B WAS DECEMBER 31, 2019. 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 20505000 0 56240112 0 0 0 239228 0 0 0 56000884 0 2007 true false true true C 62775000 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 true false false false false 0 false 0 false true A true B true JOHN COATSWORTH OFFICER HOUSING X 1475000 2022226 false true true JOHN COATSWORTH OFFICER HOUSING X 525000 575911 false true true DAVID MADIGAN OFFICER HOUSING X 400000 160000 false true true 2758137 JILL S GOLDMAN SPOUSE OF KEY EMPLOYEE 134712 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 IN PART II IS INTEREST BEARING AND WAS MADE IN CONNECTION WITH A PRIMARY RESIDENCE. X 7 0 X 0 X 557 32541641 COST/SALES PRICE X 1 0 X EQUIPMENT 2 0 0 X EVENT TICKETS & FEES 4 0 0 X TRAVEL CERTIFICATES 1 0 0 10 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, LINE 19 NOTE ON PANDEMIC IMPACT ON REVENUE AND EXPENSES Line 19 on page 1 of the Form 990, presents "Revenue less Expenses" totaling $410 million. Notably, this includes realized investment returns not available for expenditure in accordance with the endowment spending policy and applicable law, and does not include other unrealized investment losses. The University's audited financial statements, prepared on a GAAP basis, present an operating income of $165 million, a decrease from the prior year's operating income of $223 million. Due to the emergence 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 CONGO ETHIOPIA FRANCE GERMANY HAITI INDIA ITALY COTE D'IVOIRE (IVORY COAST) JAPAN JORDAN KAZAKHSTAN KENYA KYRGYZSTAN LESOTHO MALAWI MOZAMBIQUE MYANMAR NIGERIA 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, 2020, 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 2019 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 EMPLOYS A ROBUST SYSTEM OF INTERNAL CONTROLS, INCLUDING INTERNAL AUDIT, TO PREVENT AND IDENTIFY ANY DIVERSION OF ASSETS. THROUGH THESE PROCESSES, DURING THE TAX YEAR, THE UNIVERSITY IDENTIFIED INSTANCES WHERE EMPLOYEES DIVERTED ASSETS TOTALING $563,000. TWO UNRELATED INSTANCES REPRESENT 95% OF THIS AMOUNT. BOTH INVOLVED SINGLE EMPLOYEES CONDUCTING INAPPROPRIATE TRANSACTIONS FOR SMALL AMOUNTS OVER TIME. IN BOTH CASES, THE REQUIRED SEGREGATION OF DUTIES DESIGNED TO PREVENT FRAUD WERE COMPROMISED BY EMPLOYEES, WHO WERE NOT INVOLVED IN THE FRAUD, SHARING PERSONAL CREDENTIALS OR A CREDIT CARD WITH ANOTHER EMPLOYEE, IN VIOLATION OF UNIVERSITY POLICY, WHO THEN PERFORMED INAPPROPRIATE PURCHASING TRANSACTIONS. UPON REVIEW, THE EMPLOYEES WHO COMMITTED THE INAPPROPRIATE TRANSACTIONS WERE TERMINATED AND THESE MATTERS WERE REFERRED TO LAW ENFORCEMENT, WHICH MAY RESULT IN RESTITUTION BEING MADE. THE UNIVERSITY ROUTINELY INSTRUCTS EMPLOYEES NOT TO SHARE CREDENTIALS OR CREDIT CARDS, AND HAS INCREASED SYSTEMATIC CONTROLS SUCH AS MULTIFACTOR AUTHENTICATION. DEPARTMENTAL MONITORING PROCESSES OVER PURCHASES WERE ALSO ENHANCED. IN ADDITION, THE UNIVERSITY IDENTIFIED FOUR UNRELATED INSTANCES OF PERSONAL PURCHASES BY EMPLOYEES (IN TOTAL LESS THAN $30,000) 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 5, 2021. 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 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 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 $76,723,000. LOANS RECEIVABLE FROM NON-KEY EMPLOYEES TOTAL $24,943,108. THE LOANS FROM NON-KEY EMPLOYEES HAVE VARIOUS INTEREST RATES RANGING FROM 1.01% TO 15.00%, WITH MATURITY DATES RANGING FROM 2020 THROUGH 2047. THE OUTSTANDING BALANCES RANGE FROM $15,000 TO $2,988,029 AND A PORTION OF WHICH ARE SECURED BY A PRINCIPAL RESIDENCE. ------------------------------------------------------------- FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCE CHANGE IN FUNDS HELD BY OTHER IN PERPETUITY (4,121,555) PRESENT VALUE ADJUSTMENT TO SPLIT INTEREST AGREEMENTS 4,827,298 NET PERIOD BENEFIT COST 8,657,923 CHANGES IN PENSION AND POST-RETIREMENT OBLIGATIONS (38,894,051) OTHER NON-OPERATING ADJUSTMENTS 7,028,944 -------------- TOTAL OTHER CHANGES IN NET ASSETS (22,501,441) ------------------------------------------------------------- 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. THE UNIVERSITY'S BOARD OF TRUSTEES HAS AN AUDIT COMMITTEE, COMPRISED OF INDEPENDENT TRUSTEES, WHICH IS RESPONSIBLE FOR OVERSIGHT OF THE AUDIT, REVIEW, AND COMPILATION OF THE FINANCIAL STATEMENTS AND SELECTION OF THE INDEPENDENT AUDITOR. 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C-CORP 2806559 722856 1.00000 true COLUMBIA GLOBAL DANISMANLIK VE ARASTIRMA MECIDITE MAH MAVI SARAY 37/7 SARIYER TU PROGRAM SRVCS TU COLUMBIA FOREIGN CORP 11038 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 1858375 365676 1.00000 true BLC Energy Fund B LP PO BOX 309 GRAND CAYMAN CJ KY1-1104 CJ 981458232 INVESTMENTS CJ COLUMBIA FOREIGN CORP 0 6280000 0.83391 true Star Asia Capital Corp Ltd 89 Nexus Way CAYMAN BAY GRAND CAYMAN CJ 980525454 INVESTMENTS CJ STAR ASIA III FOREIGN CORP 17888348 126441214 0.78546 true CIM (CAYMAN) LLC PO BOX 309 UGLAND HOUSE GRAND CAYMAN CJ KY1-1104 INVESTMENTS CJ COLUMBIA FOREIGN CORP 910180 25221174 1.00000 true false true false false false false false false false true false false false false false false false false true ASM HUDSON RIVER FUND S 9711301 FMV CANAAN RESOURCE PARTNERS DRILLING FUND LP B 13000000 FMV CANAAN RESOURCE PARTNERS DRILLING FUND LP s 28500000 FMV GCM GROSVENOR BLUE LP b 81026 FMV GCM GROSVENOR BLUE LP S 9521114 FMV MERIT ENERGY PARTNERS V LP S 990000 FMV OFS SSMH CI LP b 58824 FMV Star Asia Opportunity Fund III S 18582998 FMV Calunius Litigation Risk Fund 3 LP B 2521355 FMV BLC Energy Fund B LP S 3754156 FMV Strategy Capital Institutional Investors LP B 100000000 FMV KNIGHT FIRST AMDMT INST AT COLUMBIA B 1011472 FMV REID HALL INC S 386197 FMV COLUMBIA UNIVERSITY HEALTH CARE INC B 11564712 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 INCOME/ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM I, LLC WHICH OWNS 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. --------------------------------------------------------------------- SCHEDULE R, PART I, COLUMNS (D) AND (E) INCOME AND ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES 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, 2020 IS SET FORTH BELOW: ASM HUDSON RIVER FUND SHARE OF TOTAL (GROSS) INCOME: $1,017,532 SHARE OF END-OF-YEAR (GROSS) ASSETS: $28,905,303 COLUMBIA/PATRON SCOTLAND LP SHARE OF TOTAL (GROSS) LOSS: ($1,041,274) SHARE OF END-OF-YEAR (GROSS) ASSETS: $949,541 FPCM INFLATION-LINKED OPPORTUNITIES FUND, LTD SHARE OF TOTAL (GROSS) INCOME: $31,497,467 SHARE OF END-OF-YEAR (GROSS) ASSETS: $782,754,878 HARBOUR LITIGATION INVESTMENT OFFSHORE SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $1,570,789 NCH INVESTORS FUND (CU) CORP SHARE OF TOTAL (GROSS) LOSS: $3,783 SHARE OF END-OF-YEAR (GROSS) ASSETS: $321,582 --------------------------------------------------------------------- SCHEDULE R, PART IV AS OF JUNE 30, 2020, 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.