2021-05-17T13:45:32-05:00 2020-06-30 990 2019-07-01 231352630 DREXEL UNIVERSITY DREX 2158952000 3201 ARCH STREET NO 420 PHILADELPHIA PA 191042875 HELEN Y BOWMAN EXECUTIVE VP, TREASURER & COO 2158952803 2021-05-17 2019 2022-09-23 18:48:47Z JOHN A FRY 3141 CHESTNUT ST PHILADELPHIA PA 19104 1459517679 0 X WWW.DREXEL.EDU X 1894 PA INTEGRATED ACADEMIC OFFERINGS ENHANCED BY TECHNOLOGY, COOPERATIVE EDUCATION AND CLINICAL PRACTICE 52 49 13307 2095 2986151 999916 179004281 183627688 1120624186 1071393808 23946893 55221476 27313939 19279571 1350889299 1329522543 413995077 423762572 0 0 619086394 572513195 243798 197566 15207095 397563068 328029147 1430888337 1324502480 -79999038 5020063 2024922675 2261315252 831642005 1076781151 1193280670 1184534101 X DREXEL UNIVERSITY FULFILLS ITS FOUNDER'S VISION OF PREPARING EACH NEW GENERATION OF STUDENTS FOR PRODUCTIVE PROFESSIONAL AND CIVIC LIVES WHILE ALSO FOCUSING ITS COLLECTIVE EXPERTISE ON SOLVING SOCIETY'S GREATEST PROBLEMS. DREXEL IS AN ACADEMICALLY COMPREHENSIVE AND GLOBALLY ENGAGED URBAN RESEARCH UNIVERSITY, DEDICATED TO ADVANCING KNOWLEDGE AND SOCIETY AND TO PROVIDING EVERY STUDENT WITH A VALUABLE, RIGOROUS, EXPERIENTIAL, TECHNOLOGY-INFUSED EDUCATION, ENRICHED BY THE NATION'S PREMIER CO-OPERATIVE EDUCATION PROGRAM. 0 0 929029287 407675510 1029848091 INSTRUCTIONDREXEL IS A COMPREHENSIVE NATIONAL RESEARCH UNIVERSITY DEDICATED TO PROVIDING QUALITY UNDERGRADUATE, GRADUATE AND PROFESSIONAL EDUCATION FEATURING EXCELLENT ACADEMICS, STATE-OF-THE-ART TECHNOLOGY AND A FOCUS ON REAL-WORLD LEARNING AND SERVICE. THE UNIVERSITY'S RESEARCH ENTERPRISE WAS RECENTLY ELEVATED TO R1 STATUS IN THE CARNEGIE CLASSIFICATION OF INSTITUTIONS OF HIGHER EDUCATION--A RANK THAT DENOTES THE HIGHEST LEVEL OF RESEARCH ACTIVITY, HELD BY JUST 37 PRIVATE UNIVERSITIES AROUND THE COUNTRY. THE UNIVERSITY DISCLOSED 84 TOTAL NEW INVENTIONS AND RECEIVED 36 NEW UNITED STATES PATENTS IN FISCAL YEAR 2020.THE UNIVERSITY'S MISSION SERVES TRADITIONAL, ADULT AND ONLINE STUDENTS. DREXEL OFFERS NATIONALLY ACCREDITED PROGRAMS THAT MEET THE CHANGING NEEDS OF SOCIETY, INCLUDING MORE THAN 80 BACHELOR'S DEGREE PROGRAMS AND MORE THAN 120 GRADUATE AND PROFESSIONAL DEGREE PROGRAMS ORGANIZED IN 15 COLLEGES AND SCHOOLS: COLLEGE OF ARTS AND SCIENCES; SCHOOL OF BIOMEDICAL ENGINEERING, SCIENCE AND HEALTH SYSTEMS; BENNETT S. LEBOW COLLEGE OF BUSINESS; COLLEGE OF COMPUTING & INFORMATICS; SCHOOL OF EDUCATION; COLLEGE OF ENGINEERING; CHARLES D. CLOSE SCHOOL OF ENTREPRENEURSHIP; GRADUATE COLLEGE; PENNONI HONORS COLLEGE; THOMAS R. KLINE SCHOOL OF LAW; ANTOINETTE WESTPHAL COLLEGE OF MEDIA ARTS & DESIGN; COLLEGE OF MEDICINE; COLLEGE OF NURSING AND HEALTH PROFESSIONS; RICHARD C. GOODWIN COLLEGE OF PROFESSIONAL STUDIES AND DANA AND DAVID DORNSIFE SCHOOL OF PUBLIC HEALTH. DREXEL'S STRATEGIC EFFORTS FOCUS ON INVESTING FURTHER IN ACADEMIC EXCELLENCE, SERVING MORE STUDENTS WHILE IMPROVING THE STUDENT EXPERIENCE AND ENHANCING THE UNIVERSITY'S GLOBAL IMPACT. OVER THE LAST 25 YEARS, DREXEL HAS GROWN TO BECOME AN ECONOMIC ENGINE FOR PHILADELPHIA, SERVING AS ONE OF THE CITY'S LARGEST EMPLOYERS, GENERATING MILLIONS OF DOLLARS IN WAGE TAXES, ATTRACTING EXTERNAL FUNDING FOR RESEARCH AND KEY REAL ESTATE DEVELOPMENT PROJECTS, INVESTING IN PUBLIC SCHOOLS, AND SUPPORTING IMPORTANT COMMUNITY ORGANIZATIONS.DREXEL'S ACADEMIC ENTERPRISE HELPS STRENGTHEN THE NEIGHBORHOODS AROUND ITS CAMPUSES. DREXEL IS THE LEAD ACADEMIC PARTNER IN THE APPLICATION AND IMPLEMENTATION PROCESS FOR THE FEDERAL PROMISE ZONE IN WEST PHILADELPHIA, ONE OF THE FIRST FIVE LOCATIONS CHOSEN FOR A WHITE HOUSE INITIATIVE TO DIRECT RESOURCES TO THE NATION'S MOST PERSISTENTLY POVERTY-STRICKEN COMMUNITIES. DREXEL HAS FOSTERED AN ENVIRONMENT OF INCLUSION AND HAS SET INCLUSION AS A STRATEGIC PRIORITY. DREXEL'S INCLUSIVE ENVIRONMENT RECOGNIZES AND RESPECTS PEOPLE OF ALL BACKGROUNDS AND EXPERIENCES AND WELCOMES ALL VIEWS AND OPINIONS. IN NOVEMBER 2020, A CENTER FOR BLACK CULTURE OPENED ITS DOORS. THE CENTER WAS ESTABLISHED TO INCREASE KNOWLEDGE, RECOGNITION AND RESPECT OF THE PEOPLE, HISTORIES AND CULTURES OF THE AFRICAN DIASPORA AND ITS MANY CONTRIBUTIONS TO THE WORLD, AND TO SERVE AS A HUB OF INFORMATION AND ACTIVITY. MOST RECENTLY, DREXEL'S DORNSIFE SCHOOL OF PUBLIC HEALTH ANNOUNCED IT WILL LAUNCH A CENTER ON RACISM AND HEALTH TO ELEVATE RESEARCH ON RACIAL INEQUALITY AND HEALTH DISPARITIES IN TRADITIONALLY UNDERREPRESENTED POPULATIONS. AS THE UNITED STATES TRANSITIONS TO AN INFORMATION ECONOMY AND HAS DEALT WITH UNPRECEDENTED CHALLENGES BROUGHT ON BY THE COVID-19 PANDEMIC, MANY JOBS REQUIRE THE CRITICAL THINKING AND INNOVATIVE PROBLEM-SOLVING SKILLS INSTILLED AT DREXEL. FOR 100 YEARS, DREXEL HAS EQUIPPED STUDENTS FOR THE REAL WORLD THROUGH OUR RENOWNED COOPERATIVE EDUCATION PROGRAM. DREXEL ESTABLISHED THE DREXEL SOLUTIONS INSTITUTE THAT HAS BECOME THE NEW GATEWAY FOR INDUSTRY PARTNERSHIPS--CONNECTING DREXEL'S 1,600 CO-OP EMPLOYERS, AS WELL AS OTHER BUSINESSES AND NONPROFITS, AND LINKING THEM TO DREXEL STUDENT TALENT, FACULTY EXPERTISE AND WORLD-CLASS RESOURCES. DREXEL HAS MADE A STRATEGIC COMMITMENT TO HELP IMPROVE THE NATION'S GLOBAL COMPETITIVENESS BY INCREASING STUDENTS' INTERNATIONAL ENGAGEMENT TO BUILD CULTURAL COMPETENCIES. IN RECENT YEARS, THE UNIVERSITY HAS GROWN THE NUMBER OF STUDY ABROAD OPPORTUNITIES BY MORE THAN A QUARTER AND THE NUMBER OF GLOBAL POSITIONS IN DREXEL'S SIGNATURE COOPERATIVE EDUCATION PROGRAM BY A THIRD, WHILE TRIPLING BOTH THE PROGRAMMING OF THE OFFICE OF INTERNATIONAL PROGRAMS AND THE TOTAL NUMBER OF INITIATIVES AT DREXEL THAT SUPPORT CROSS-CULTURAL EDUCATION AND ENGAGEMENT.UNDERGRADUATE ENROLLMENT FOR ACADEMIC YEAR 2019-2020 = 15,346GRADUATE AND PROFESSIONAL ENROLLMENT FOR ACADEMIC YEAR 2019-2020 = 8,859 NUMBER OF DEGREES CONFERRED IN ACADEMIC YEAR 2019-2020: ASSOCIATE DEGREES = 0 BACHELOR'S DEGREES = 3,204 MASTER'S DEGREES = 2,260 DOCTORAL DEGREES = 658 CERTIFICATES AND OTHER = 388 150622950 16087062 34008660 RESEARCHDREXEL RESEARCHERS WORK ACROSS DISCIPLINES TO INCREASE THE WORLD'S STORE OF KNOWLEDGE AND TRANSLATE THAT NEW KNOWLEDGE INTO SOLUTIONS WITH TREMENDOUS POSITIVE IMPACT ON SOCIETY. TYPICALLY, THE UNIVERSITY RECEIVES ABOUT $110 MILLION PER YEAR IN RESEARCH EXPENDITURES, BUT ITS OUTPUT RIVALS THAT OF UNIVERSITIES THAT RECEIVE ANYWHERE FROM THREE TO FIVE TIMES THAT AMOUNT. DREXEL IS COMMITTED TO USING ITS RESEARCH AND TECHNOLOGICAL EXPERTISE TO BECOME AN EVEN MORE POWERFUL ECONOMIC ENGINE FOR GREATER PHILADELPHIA, HELPING TO CREATE NEW HIGH-TECH BUSINESSES AND JOBS. DREXEL LAUNCHED TWO NEW ACCELERATOR PROGRAMS IN 2015, IN COLLABORATION WITH THE STATE-FUNDED BEN FRANKLIN TECHNOLOGY PARTNERS OF SOUTHEASTERN PENNSYLVANIA AND THE CITY OF PHILADELPHIA, TO HELP GROW NEW BUSINESSES IN TECHNOLOGY AND MEDICAL DEVICES AND THERAPEUTICS. THESE ACCELERATORS ARE AMONG THE FIRST BUILDING BLOCKS OF SCHUYLKILL YARDS, A DREXEL AND BRANDYWINE REALTY TRUST INITIATIVE TO DRIVE UNIVERSITY CITY'S ASCENDANCY AS A GLOBAL INNOVATION DISTRICT. DREXEL'S RESEARCHERS CONTINUE TO BUILD PARTNERSHIPS THAT ARE CRITICAL TO CREATING 21ST-CENTURY SOLUTIONS TO AMERICA'S CHALLENGES. IN APRIL 2016, THE U.S. DEPARTMENT OF DEFENSE TAPPED DREXEL AS A KEY LEADER IN THE CREATION OF A $75 MILLION NATIONAL RESEARCH INSTITUTE THAT WILL SUPPORT AMERICAN TEXTILE MANUFACTURERS IN BRINGING SOPHISTICATED NEW MATERIALS AND TEXTILES TO THE MARKETPLACE. THE INSTITUTE, CALLED ADVANCED FUNCTIONAL FABRICS OF AMERICA, HAS BECOME A NATIONAL MANUFACTURING RESOURCE CENTER FOR INDUSTRY AND GOVERNMENT TO DRAW ON ACADEMIC EXPERTISE IN NEW FIBERS AND TEXTILES. THE RESULT WILL BE FABRICS ENGINEERED TO SEE, HEAR, SENSE AND COMMUNICATE; SERVING AN ARRAY OF INDUSTRIES INCLUDING AEROSPACE, APPAREL, ARCHITECTURE AND HEALTH. IN 2019, THE UNIVERSITY OPENED THE CENTER FOR FUNCTIONAL FABRICS AND THE PENNSYLVANIA FABRIC DISCOVERY CENTER. THE LATTER WAS CREATED TO SUPPORT DREXEL'S ROLE AS THE REGIONAL LEADER OF ADVANCED FUNCTIONAL FABRICS OF AMERICA'S NETWORK OF FABRIC DISCOVERY CENTERS. THE PENNSYLVANIA FABRIC DISCOVERY CENTER (PA FDC) IS RESPONDING TO THE COVID-19 PANDEMIC BY DEVELOPING AND PRODUCING NEW TYPES OF MASKS AND RESPIRATORS.DURING FY20, DREXEL UNIVERSITY CONDUCTED RESEARCH ON THE FOLLOWING RESEARCH GRANTS:FEDERALLY SPONSORED RESEARCH - 942 GRANTSSTATE OF PENNSYLVANIA SPONSORED RESEARCH - 114 GRANTSCITY OF PHILADELPHIA CONTRACTS - 19 GRANTSPRIVATE FOUNDATION SPONSORED RESEARCH - 328 GRANTSINDUSTRY SPONSORED RESEARCH - 213 GRANTS 78464037 0 20541336 PATIENT CARE/PUBLIC SERVICEIT IS THE COLLEGE'S PATIENT CARE MISSION TO SERVE THE COMMUNITY THROUGH THE DELIVERY OF HIGH-QUALITY, COST-EFFECTIVE HEALTH CARE SERVICES, INCLUDING PROGRAMS OF HEALTH PROMOTION AND DISEASE PREVENTION. ALL CLINICAL SERVICES ARE PROVIDED WITH CAREFUL REGARD FOR THE INDIVIDUAL PATIENT AND THEIR FAMILY. DREXEL UNIVERSITY'S CLINICAL PRACTICES PROVIDE EXCEPTIONAL CARE IN HIV/AIDS, INFECTIOUS DISEASE, ADDICTION MEDICINE AND PSYCHIATRY. 1158116274 1 1 0 1 0 0 0 1 0 1 1 1 0 1 1 1 0 1 1 0 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 1 0 1 1 1 1 0 0 1 1 1 1 0 0 1 X 28422 0 1 13307 1 1 1 1 EK CM 0 0 0 1 1 0 0 0 0 1 0 X 52 49 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 PA AK MD MA MI NH NY SC WA CO CA X COMPTROLLER'S OFFICE 2158951442 1505 RACE STREET 9TH FLOOR PHILADELPHIA PA 191021119 JOHN A FRY PRESIDENT 40.00 7.00 X X 1204239 0 410119 RANDALL C DEIKE FORMER SVP ENROLLMENT MGMT 0.00 0.00 X 1067576 0 34452 DAVID STEIN DEP 1219 ASSOC DEAN & COO, SURG 40.00 0.00 X 776760 0 48974 DAVID L UNRUH SVP INST ADVANCEMENT 40.00 0.00 X 680803 0 88974 HELEN Y BOWMAN EXECUTIVE VP/TREASURER/COO 40.00 5.00 X 643219 0 93374 DANIEL V SCHIDLOW DEP 819 DEAN AND SVP, MED AFFAIRS 40.00 0.00 X 688120 0 32254 LIA LOGIO PROFESSOR AND CHAIR, DEPT. 40.00 0.00 X 632831 0 47427 M BRIAN BLAKE DEP 1019 PROVOST & EVP ACAD AFF 40.00 2.00 X 608706 0 40345 SUSAN C ALDRIDGE FORMER SVP ONLINE LEARNING 0.00 0.00 X 591362 0 35196 MICHAEL J EXLER ESQ SVP AND GENERAL COUNSEL 40.00 2.00 X 542709 0 48974 KEITH A ORRIS FORMER SVP CORP RELATIONS 0.00 0.00 X 559330 0 27716 MATTHEW LAWRENCE DEP 120 PROF, DEPT. 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SPECIFICALLY, WE HAVE PARTICIPATED IN SUCH ACTIVITIES SUCH AS STUDENT LOBBYING DAY, SPONSORED BY THE ASSOCIATION FOR INDEPENDENT COLLEGES AND UNIVERSITIES, IN WHICH WE TAKE STUDENTS TO HARRISBURG TO MEET THEIR ELECTED OFFICIALS. THIS IS DONE IN COORDINATION WITH THE STUDENT GOVERNMENT ASSOCIATION AND THE OFFICE OF UNIVERSITY STUDENT LIFE. LINE D - MAILINGS TO MEMBERS, LEGISLATORS OR THE PUBLIC: IN CASES WHERE LEGISLATION MAY OR WILL AFFECT THE UNIVERSITY, ITS SUBSIDIARIES OR HIGHER EDUCATION AND HEALTH CARE IN GENERAL, WE MAKE CONTACT WITH LEGISLATORS THROUGH MAILINGS. THESE ARE PERSONALIZED MAILINGS AS OPPOSED TO DIRECT MAIL CAMPAIGNS. LINE G - DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, OR A LEGISLATIVE BODY: WE HAVE DIRECT CONTACT WITH OUR LEGISLATORS, THEIR STAFFS, AND VARIOUS GOVERNMENT OFFICIALS THROUGHOUT THE YEAR VIA PHONE CALLS, WRITTEN CORRESPONDENCE, AND MEETINGS. WE ARE ALSO CALLED TO THE STATE CAPITOL AND CONGRESS TO EDUCATE THE MEMBERS ON ISSUES OF IMPORTANCE RELATED TO HIGHER EDUCATION. THE FREQUENCY OF CONTACT DEPENDS ON THE ISSUES AT HAND. 10859921 X X X X 0 752404000 8682000 14818000 9657000 23351000 742896000 717995000 16601000 41768000 7343000 16617000 752404000 639825000 17490000 79605000 6921000 12004000 717995000 589106075 1981000 69113000 6471075 13904000 639825000 585577000 39641291 -13919159 6040655 16152402 589106075 0.36210 0.43350 0.20440 0 0 97968380 97968380 1085170168 377975979 707194189 122240367 68124274 54116093 159805718 116361820 43443898 70093390 54831490 15261900 917984460 INVESTMENT AT NAV (PRIVATE EQUITY, REAL ESTATE, HEDGE FUNDS, AND OTHER) 227710000 F REAL ESTATE & REAL ASSETS FUNDS 112510000 F 340220000 OTHER 201735258 GROUND LEASE AMORTIZATION 3811104 CSV LIFE INSURANCE 235669 LOANS RECEIVABLE 6783250 LOAN TO USBCDE INVEST FUND 91 2205125 LOAN TO PIDC-RDC INVEST FUND IX 4826000 219596406 DEPOSITS 36680282 GOVERNMENT ADVANCES FOR STUDENT LOANS 19990963 CAPITAL AND FINANCE LEASE 179525207 236196452 X PART III, LINE 4: THE DREXEL COLLECTION, FOUNDED BY A.J. DREXEL IN 1892, CONSISTS OF APPROXIMATELY 6,000 WORKS OF ART. THE FOCUS OF THE COLLECTION IS PRIMARILY 19TH CENTURY EUROPEAN ART INCLUDING PAINTINGS, SCULPTURE, PRINTS AND DRAWINGS, PORCELAIN, SILVER AND FURNITURE. THE DREXEL COLLECTION IS DISPLAYED IN THREE GALLERIES - THE ANTHONY J. DREXEL PICTURE GALLERY, THE RINCLIFFE GALLERY AND THE GALLERY IN THE PAUL PECK ALUMNI CENTER. THE ANTHONY J. DREXEL PICTURE GALLERY DISPLAYS OUR PERMANENT COLLECTION OF PRIMARILY 19TH CENTURY EUROPEAN PAINTINGS AND IS USED DAILY FOR TOURS OF THE UNIVERSITY. THE RINCLIFFE AND PAUL PECK ALUMNI GALLERIES ARE ROTATING EXHIBITION SPACES THAT INCORPORATE BOTH INTERNAL COLLECTIONS AND LOAN ITEMS AND BOTH ARE USED AS A TEACHING TOOL ABOUT EXHIBITION PLANNING AND PROGRAMMING FOR STUDENTS IN THE MUSEUM LEADERSHIP AND ARTS MANAGEMENT PROGRAMS. THE GALLERIES ARE FREE AND OPEN TO THE STUDENTS, FACULTY, STAFF AND THE PUBLIC. OBJECTS FROM THE DREXEL COLLECTION ARE ALSO DISPLAYED THROUGHOUT THE MAIN BUILDING AND UNIVERSITY CITY, CENTER CITY AND QUEEN LANE CAMPUSES. THE DISPLAYS INTERPRET THE ARTWORK TO MAKE THEM MORE RELEVANT TO THE STUDENTS, FACULTY AND STAFF. THE COLLECTION OBJECTS ARE ALSO USED FOR WORKSHOPS AND CLASSES TO DESIGN AND IMPLEMENT PUBLIC EXHIBITIONS, RESEARCH PROJECTS AND PRACTICUMS FOR STUDENTS STUDYING MUSEUM LEADERSHIP AND ART MANAGEMENT. PART V, LINE 4: DREXEL UNIVERSITY HAD AN ENDOWMENT SPENDING RULE THAT LIMITED THE SPENDING OF ENDOWMENT RESOURCES TO 6.0% OF THE AVERAGE MARKET VALUE OF THE POOLED ENDOWMENT PORTFOLIO FOR THE PRIOR SEVEN FISCAL YEARS. TO THE EXTENT THAT CURRENT YIELD IS INADEQUATE TO MEET THE SPENDING RULE, A PORTION OF CUMULATIVE REALIZED NET GAINS IS AVAILABLE FOR CURRENT USE. ENDOWMENT RESOURCES ARE USED TO FUND OPERATIONS, SCHOLARSHIPS, ACADEMIC PROGRAMS AND PROFESSORSHIPS. PART X, LINE 2: THE UNIVERSITY HAS BEEN GRANTED TAX-EXEMPT STATUS AS A NON-PROFIT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, ACCORDINGLY, FILES FEDERAL TAX FORM 990 (RETURN OF ORGANIZATION EXEMPT FROM INCOME TAX) ANNUALLY. THE UNIVERSITY FILES U.S. FEDERAL, STATE AND LOCAL INFORMATIONAL RETURNS. THE STATUTE OF LIMITATIONS ON THE UNIVERSITY'S U.S. FEDERAL INFORMATION RETURNS REMAINS OPEN FOR THREE YEARS FOLLOWING THE YEAR THEY ARE FILED. THE UNIVERSITY AND ITS AFFILIATES ENGAGE IN ACTIVITIES THAT ARE SUBJECT TO UNRELATED BUSINESS INCOME TAXES FOR WHICH APPROPRIATE INCOME TAX RETURNS ARE FILED. THE FINANCIAL ACCOUNTING STANDARDS BOARD ("FASB") ISSUED ACCOUNTING STANDARDS CODIFICATION ("ASC") NO.740-10, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH REQUIRES THAT A TAX POSITION BE RECOGNIZED OR DERECOGNIZED BASED ON A "MORE LIKELY THAN NOT" THRESHOLD. THE UNIVERSITY DOES NOT BELIEVE THERE ARE ANY UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION IN THE FINANCIAL STATEMENTS. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 DREXEL UNIVERSITY INCLUDES ITS RACIALLY NONDISCRIMINATORY POLICY ON ITS WEBSITE: HTTPS://DREXEL.EDU/OED/POLICIES/OVERVIEW/OED-1/. SCHEDULE E, PART I, LINE 6 DREXEL UNIVERSITY RECEIVES FUNDS FROM VARIOUS FEDERAL AND STATE GOVERNMENTAL AGENCIES UNDER THEIR RESPECTIVE STUDENT FINANCIAL AID ASSISTANCE PROGRAMS. FEDERAL PROGRAMS INCLUDE THE PELL GRANT PROGRAM, SUPPLEMENTAL EDUCATION OPPORTUNITY GRANT (SEOG) PROGRAM, COLLEGE WORK STUDY (CWS) PROGRAM, AND DIRECT STUDENT LOAN PROGRAM (SUBSIDIZED, UNSUBSIDIZED, AND PLUS LOANS FOR BOTH PARENT AND GRADUATE STUDENTS). THE STATE PROGRAM IS THE PENNSYLVANIA HIGHER EDUCATION ASSISTANCE PROGRAM FOR STUDENTS. THE UNIVERSITY RECEIVES FUNDS FROM VARIOUS FEDERAL AND STATE GOVERNMENTAL AGENCIES FOR SPONSORED RESEARCH AND OTHER PROJECT GRANTS, INCLUDING NSF AND HHS. APPROPRIATIONS ARE RECEIVED FROM THE COMMONWEALTH OF PENNSYLVANIA FOR THE MD PROGRAM, GENERAL MAINTENANCE OF THE COLLEGE, STUDENT AID, MINORITY EDUCATION AND RECRUITMENT, PEDIATRIC SERVICES AND OTHER OPERATING EXPENSES THAT FURTHER OUR MISSION AND OBJECTIVES OF EDUCATION AND RESEARCH. 1 SUB-SAHARAN AFRICA 0 0 BUSINESS 2395 NORTH AMERICA 0 0 BUSINESS 1419 MIDDLE EAST & NORTH AFRICA 0 0 BUSINESS 8441 EUROPE 0 0 BUSINESS 7854 SOUTH AMERICA 0 0 BUSINESS 700 SOUTH ASIA 0 0 FUNDRAISING 2046 EUROPE 0 0 FUNDRAISING 84 NORTH AMERICA 0 0 FUNDRAISING 340 SOUTH AMERICA 0 0 PROGRAM SERVICES ATHLETICS 849 EUROPE 0 0 PROGRAM SERVICES ATHLETICS 45747 EUROPE 0 0 PROGRAM SERVICES CONFERENCES/TRAVEL 463395 MIDDLE EAST & NORTH AFRICA 0 0 PROGRAM SERVICES CONFERENCES/TRAVEL 3356 RUSSIA 0 0 PROGRAM SERVICES CONFERENCES/TRAVEL 1483 CENTRAL AMERICA 0 0 PROGRAM SERVICES CONFERENCES/TRAVEL 160 SOUTH AMERICA 0 0 PROGRAM SERVICES CONFERENCES/TRAVEL 11611 SOUTH ASIA 0 0 PROGRAM SERVICES CONFERENCES/TRAVEL 12069 NORTH AMERICA 0 0 PROGRAM SERVICES CONFERENCES/TRAVEL 20774 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CONFERENCES/TRAVEL 43802 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES CONFERENCES/TRAVEL 16156 NORTH AMERICA 0 0 PROGRAM SERVICES RECRUITING 7512 SOUTH ASIA 0 0 PROGRAM SERVICES RECRUITING 28212 EUROPE 0 0 PROGRAM SERVICES RECRUITING 40268 MIDDLE EAST & NORTH AFRICA 0 0 PROGRAM SERVICES RECRUITING 158 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RECRUITING 200 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RECRUITING 7157 RUSSIA 0 0 PROGRAM SERVICES RESEARCH 16 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 369997 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 15602 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 464828 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 480425 RUSSIA 0 0 PROGRAM SERVICES RESEARCH 958 CENTRAL AMERICA 0 0 PROGRAM SERVICES RESEARCH 70105 EUROPE 0 0 PROGRAM SERVICES RESEARCH 227360 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 2105 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 6338 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 4863 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 32 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 308 CENTRAL AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 100261 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 25587 MIDDLE EAST & NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 64036 EUROPE 0 0 PROGRAM SERVICES STUDY ABROAD 279099 MIDDLE EAST & NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 23259 0 0 0 0 0 0 23279 2838088 2861367 SUB-SAHARAN AFRICA RESEARCH 36950 WIRE NORTH AMERICA RESEARCH 43673 WIRE SOUTH AMERICA RESEARCH 52045 WIRE MIDDLE EAST AND NORTH AFRICA RESEARCH 52781 WIRE NORTH AMERICA RESEARCH 56986 WIRE SOUTH AMERICA RESEARCH 76344 WIRE NORTH AMERICA RESEARCH 87837 WIRE CENTRAL AMERICA AND THE CARIBBEAN RESEARCH 94437 WIRE SOUTH AMERICA RESEARCH 94477 WIRE SOUTH AMERICA RESEARCH 96437 WIRE EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 100181 WIRE SOUTH AMERICA RESEARCH 115510 WIRE NORTH AMERICA RESEARCH 157520 WIRE NORTH AMERICA RESEARCH 184521 WIRE SUB-SAHARAN AFRICA RESEARCH 238992 WIRE SOUTH AMERICA RESEARCH 298951 WIRE 16 0 SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN 1 6000 CHECK SCHOLARSHIPS EAST ASIA AND THE PACIFIC 11 86000 CHECK SCHOLARSHIPS EUROPE 9 48900 CHECK SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 1 5000 CHECK 1 0 1 1 1 0 PART I, LINE 2: DREXEL'S OFFICE OF RESEARCH HAS RESPONSIBILITY FOR OVERSEEING GRANTS (TYPICALLY SUBAWARDS) TO FOREIGN ORGANIZATIONS. THE OFFICE OF RESEARCH BEGINS WITH A "PRE-AWARD PROCESS," WHICH INVOLVES GATHERING BACKGROUND INFORMATION ABOUT THE POTENTIAL GRANTEE, CONDUCTING A RISK ASSESSMENT WITH RESPECT TO THE POTENTIAL GRANTEE, DEVELOPING APPROPRIATE TERMS FOR THE GRANTS, AND ENTERING INTO A WRITTEN AGREEMENT WITH THE GRANTEE. ONCE A GRANT HAS BEEN APPROVED IN PRINCIPLE, THE OFFICE OF RESEARCH FOCUSES ON THE "OPERATIONS AND COMPLIANCE PROCESS," WHICH INVOLVES USING VISUAL COMPLIANCE TO SCREEN PAYEES AGAINST THE "SPECIALLY DESIGNATED NATIONALS" LIST OF THE TREASURY DEPARTMENT'S OFFICE OF FOREIGN ASSET CONTROL AND SIMILAR WATCH LISTS. ONCE THE GRANTEE HAS PASSED THIS SCREENING AND THERE IS A WRITTEN GRANT AGREEMENT, THE OFFICE OF RESEARCH MOVES TO THE "POST-AWARD PROCESS AND EXPENSES MONITORING." THIS INVOLVES REVIEWING PROPOSED GRANT PAYMENTS TO ENSURE THAT THE GRANTEE HAS PROVIDED APPROPRIATE DOCUMENTATION FOR THE GRANT EXPENSES AND THAT SUCH EXPENSES FALL WITHIN THE CATEGORY OF "ALLOWABLE EXPENSES" UNDER THE PARTICULAR PRIME GRANT OR CONTRACT. DREXEL ALSO REQUIRES THE PRINCIPAL INVESTIGATOR OF THE PRIME GRANT OR CONTRACT (WHO IS TYPICALLY A DREXEL PROFESSOR OR RESEARCHER) TO APPROVE THE PROPOSED PAYMENTS AND DOCUMENTATION OF THE SERVICES RENDERED PRIOR TO MAKING PAYMENT. IF THERE ARE QUESTIONS ABOUT THE USE OF FUNDS BY A GRANTEE, DREXEL CONDUCTS AN INVESTIGATION AND WITHHOLDS ANY FURTHER PAYMENT PENDING RESOLUTION OF THE INVESTIGATION. PART III ACCOUNTING METHOD: X X X X X X X 1 RUFFALO NOEL LEVITZ 1025 KIRKWOOD PARKWAY SW CEDAR RAPIDS IA 52404 PHONE SOLICITATION PROGRAM 0 52413 197566 -145153 52413 197566 -145153 AL AK AZ AR CA CO CT DE FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VA WA WV WI WY DREXEL GOLF CLASSIC 74095 55400 18695 13950 28486 -835 LEBOW DEAN'S CUP GOLF TOURNAMENT 67685 38461 29224 12897 43000 2380 4 77822 66377 11445 15707 9951 10529 219602 160238 59364 28604 66901 28486 10529 1545 136065 -76701 1 TRUSTEES OF BOSTON UNIVERSITY 670 ALBANY STREET RM 251 BOSTON MA 02118 042103547 501(C)(3) 5085 RESEARCH SEQUOIA FOUNDATION 2166 AVENIDA DE LA PLAYA SUITE D LA JOLLA CA 92037 330100208 501(C)(3) 5513 RESEARCH VERA INSTITUTE OF JUSTICE FISCAL DEPT 34 35TH STREET SUITE 4-2A BROOKLYN NY 11232 131941627 501(C)(3) 6669 RESEARCH GEORGIA STATE UNIVERSITY RESEARCH FOUNDATION PO BOX 3999 ATLANTA GA 30302 581845423 501(C)(3) 8720 RESEARCH PLACENTAL 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THE PRINCIPAL INVESTIGATOR REVIEWS THE PERFORMANCE BEFORE AUTHORIZING THE SUBCONTRACTOR'S INVOICE FOR PAYMENT. X X X X X 0 1 X X X X X X 1 1 0 0 0 0 0 0 0 JOHN A FRY PRESIDENT 830666 0 0 0 373573 0 394490 0 15629 0 1614358 0 0 0 RANDALL C DEIKE FORMER SVP ENROLLMENT MGMT 357584 0 0 0 709992 0 30800 0 3652 0 1102028 0 250000 0 DAVID STEIN DEP 1219 ASSOC DEAN & COO, SURG 663392 0 75000 0 38368 0 30800 0 18174 0 825734 0 0 0 DAVID L UNRUH SVP INST ADVANCEMENT 680803 0 0 0 0 0 70800 0 18174 0 769777 0 200000 0 HELEN Y BOWMAN EXECUTIVE VP/TREASURER/COO 643219 0 0 0 0 0 75200 0 18174 0 736593 0 0 0 DANIEL V SCHIDLOW DEP 819 DEAN AND SVP, MED AFFAIRS 685144 0 0 0 2976 0 30800 0 1454 0 720374 0 0 0 LIA LOGIO PROFESSOR AND CHAIR, DEPT. 490020 0 121094 0 21717 0 30800 0 16627 0 680258 0 0 0 M BRIAN BLAKE DEP 1019 PROVOST & EVP ACAD AFF 485562 0 0 0 123144 0 25200 0 15145 0 649051 0 0 0 SUSAN C ALDRIDGE FORMER SVP ONLINE LEARNING 190958 0 0 0 400404 0 30800 0 4396 0 626558 0 0 0 MICHAEL J EXLER ESQ SVP AND GENERAL COUNSEL 452709 0 90000 0 0 0 30800 0 18174 0 591683 0 0 0 KEITH A ORRIS FORMER SVP CORP RELATIONS 186201 0 0 0 373129 0 20621 0 7095 0 587046 0 0 0 MATTHEW LAWRENCE DEP 120 PROF, DEPT. OF SURG 438713 0 50000 0 0 0 25200 0 11579 0 525492 0 0 0 OWEN MONTGOMERY DEP 120 CHAIR, OB/GYN CONTROL 474259 0 0 0 0 0 30800 0 822 0 505881 0 0 0 GEDIMINAS GLIEBUS DEP 120 CHAIR, NEUROLOGY 446184 0 20000 0 0 0 25200 0 8791 0 500175 0 0 0 PAUL JENSEN AS OF 1119 INTERIM PROVOST 425415 0 0 0 0 0 30800 0 18174 0 474389 0 0 0 ELISABETH VAN BOCKSTAELE SVP GRAD. AND ONLINE ED. (AS OF 9/19 365935 0 25000 0 21440 0 30800 0 18107 0 461282 0 0 0 MARK GREENBERG FORMER PROVOST AND SVP, AC 350962 0 0 0 0 0 30800 0 14189 0 395951 0 0 0 LORI N DOYLE SVP UNIV COMMUNICATIONS 343555 0 0 0 0 0 30800 0 18141 0 392496 0 0 0 MEGAN WEYLER AS OF 120 SVP AND CHRO 349967 0 0 0 0 0 25200 0 7304 0 382471 0 0 0 DONNA MURASKO PHD FORMER DEAN, COLLEGE OF AR 322126 0 0 0 0 0 30800 0 14189 0 367115 0 0 0 EVELYN THIMBA SVP ENROLLMENT MANAGEMENT 266875 0 50000 0 0 0 25200 0 17159 0 359234 0 0 0 ALEISTER SAUNDERS AS OF 1019 EXEC VICE PROV, RES & INNOV 309174 0 0 0 0 0 23460 0 18175 0 350809 0 0 0 BRIAN T KEECH SVP GOV & COMMUNITY RELATI 269807 0 30000 0 0 0 30800 0 18174 0 348781 0 0 0 JOSEPH B HUGHES FORMER DEAN, COLLEGE OF EN 295973 0 0 0 0 0 29908 0 14747 0 340628 0 0 0 SUBIR SAHU SVP STUDENT SUCCESS 287568 0 0 0 0 0 25200 0 7148 0 319916 0 0 0 JANICE K MARINI FORMER SECRETARY 247313 0 0 0 0 0 27585 0 13758 0 288656 0 0 0 CHARLES CAIRNS AS OF 919 DEAN AND SVP, MED AFFAIRS 251647 0 0 0 10000 0 15000 0 5941 0 282588 0 0 0 DARIN PFEIFER AS OF 919 SECRETARY 141890 0 0 0 0 0 13354 0 13699 0 168943 0 0 0 PART I, LINE 1A UNIVERSITY POLICY AUTHORIZES BUSINESS OR FIRST-CLASS TRAVEL FOR ALL EMPLOYEES WHEN FLIGHTS EXCEED FIVE HOURS IN DURATION WITH THE APPROPRIATE APPROVAL IN ADVANCE. GENERALLY, THE UNIVERSITY DOES NOT PAY FOR OR REIMBURSE THE TRAVEL-RELATED OR ENTERTAINMENT EXPENSES OF AN EMPLOYEE'S OR OTHER AUTHORIZED PERSON'S SPOUSE/COMPANION. SPOUSAL/COMPANION TRAVEL IS PAID FOR OR REIMBURSED BY THE UNIVERSITY ON RARE OCCASIONS, AND ONLY IF SUCH TRAVEL MEETS EXCEPTIONS OUTLINED IN THE UNIVERSITY'S SPOUSAL/COMPANION POLICY. TO QUALIFY FOR AN EXCEPTION, THERE MUST BE A DOCUMENTED AND BONA FIDE BUSINESS PURPOSE DIRECTLY BENEFITING THE UNIVERSITY, AND THE PRESENCE OF THE SPOUSE/COMPANION MUST BE ESSENTIAL TO THE UNIVERSITY EMPLOYEE OR OTHER AUTHORIZED PERSONNEL. THE PRESIDENT IS PROVIDED A MONTHLY HOUSING ALLOWANCE, WHICH IS INCLUDED IN HIS TAXABLE INCOME. THE PRESIDENT IS ALSO PROVIDED A DRIVER TO ATTEND UNIVERSITY RELATED EVENTS, THE VALUE OF WHICH IS NOT INCLUDED IN TAXABLE INCOME. THE PRESIDENT RECEIVES SOCIAL CLUB MEMBERSHIPS FOR BUSINESS-RELATED ACTIVITIES. THE PRESIDENT IS REQUIRED TO REPORT ANY PERSONAL USE OF SOCIAL CLUB MEMBERSHIPS, AND SUCH USE IS INCLUDED IN TAXABLE INCOME. SOCIAL CLUB DUES FOR BUSINESS-RELATED ACTIVITIES WERE PROVIDED FOR SENIOR VICE PRESIDENTS AND DEANS, AND ARE TREATED AS NON-TAXABLE COMPENSATION. SENIOR VICE PRESIDENTS AND DEANS ARE REQUIRED TO REPORT ANY PERSONAL USE OF SOCIAL CLUB MEMBERSHIPS, AND SUCH USE IS INCLUDED IN TAXABLE INCOME. PART I, LINE 1B HOUSING ALLOWANCES AND SOCIAL CLUB MEMBERSHIPS WERE APPROVED BY THE PRESIDENT OR PROVOST. PART I, LINES 4A-B THE FOLLOWING INDIVIDUALS RECEIVED SEVERANCE PAYMENTS CONTINGENT ON SEPARATION FROM THE ORGANIZATION: - SUSAN ALDRIDGE RECEIVED $189,500 IN A LUMP SUM SEVERANCE PAYMENT AS WELL AS A $123,500 PERFORMANCE BONUS. - RANDY DEIKE RECEIVED $221,000 IN A LUMP SUM SEVERANCE PAYMENT, $309,986 IN DEFERRED COMPENSATION, AND A $128,000 PERFORMANCE BONUS. - KEITH ORRIS RECEIVED $156,000 IN A LUMP SUM SEVERANCE PAYMENT AS WELL AS A $183,000 PERFORMANCE BONUS. THE UNIVERSITY PROVIDES MR. FRY WITH CERTAIN SUPPLEMENTAL RETIREMENT AND DEATH BENEFITS, EFFECTIVE AS OF JULY 1, 2012. THE ANNUAL ALLOCATION AMOUNT IS CONDITIONED ON MR. FRY'S CONTINUED EMPLOYMENT THROUGH THE END OF THE IMMEDIATELY PRECEDING FISCAL YEAR (OR UPON THE DATE OF DEATH, TOTAL DISABILITY, OR INVOLUNTARY TERMINATION, IF EARLIER). THIS ANNUAL ALLOCATION AMOUNT IS EQUAL TO 11% OF THE PREVIOUS FISCAL YEAR TOTAL BASE AND BONUS COMPENSATION PAID TO MR. FRY THAT EXCEEDS THE COMPENSATION LIMIT UNDER INTERNAL REVENUE CODE SECTION 401(A)(17). PART II: THE UNIVERSITY PROVIDES JOHN FRY, HELEN BOWMAN, AND DAVID UNRUH WITH DEFERRED COMPENSATION ARRANGEMENTS. THE UNIVERSITY WILL CREDIT MR. FRY WITH $300,000 ON JUNE 30, 2019, AND ON EACH FOLLOWING JUNE 30 THROUGH 2021 WHILE HE REMAINS EMPLOYED BY THE UNIVERSITY AS PRESIDENT AND CHIEF EXECUTIVE OFFICER. THE AMOUNT CREDITED ON JUNE 30, 2021 WILL ALSO INCLUDE INVESTMENT EARNINGS, GAINS, AND LOSSES, PROVIDED MR. FRY IS EMPLOYED BY THE UNIVERSITY ON THAT DATE. IN THE EVENT MR. FRY VOLUNTARILY TERMINATES HIS EMPLOYMENT WITHOUT GOOD REASON WITH THE UNIVERSITY PRIOR TO JUNE 30, 2021, OR THE UNIVERSITY TERMINATES MR. FRY'S EMPLOYMENT FOR CAUSE, THE DEFERRED COMPENSATION SHALL BE FORFEITED. THE UNIVERSITY WILL CREDIT MS. BOWMAN WITH $50,000 ON EACH SEPTEMBER 1, BEGINNING WITH SEPTEMBER 1, 2016 AND ENDING SEPTEMBER 1, 2020. INTEREST ACCRUED WILL ALSO BE PAID IF SHE REMAINS EMPLOYED WITH THE UNIVERSITY. MS. BOWMAN WILL BECOME FULLY VESTED IN THE BALANCE OF HER ACCOUNT UPON THE EARLIEST OF THE FOLLOWING: (I) SEPTEMBER 1, 2020, (II) HER INVOLUNTARY TERMINATION BY THE UNIVERSITY FOR ANY REASON OTHER THAN CAUSE, (III) DEATH, OR (IV) TERMINATION DUE TO TOTAL AND PERMANENT DISABILITY. IF MS. BOWMAN RESIGNS OR IS TERMINATED BY THE UNIVERSITY FOR CAUSE BEFORE THE ACCOUNT IS VESTED, THE ENTIRE ACCOUNT WILL BE FORFEITED. THE UNIVERSITY WILL CREDIT MR. UNRUH WITH $75,000 ON EACH JULY 1, BEGINNING WITH JULY 1, 2020 AND ENDING JULY 1, 2021. INTEREST ACCRUED WILL ALSO BE PAID IF HE REMAINS EMPLOYED WITH THE UNIVERSITY. MR. UNRUH WILL BECOME FULLY VESTED IN THE BALANCE OF HIS ACCOUNT UPON THE EARLIEST OF THE FOLLOWING: (I) JULY 1, 2021, (II) HIS INVOLUNTARY TERMINATION BY THE UNIVERSITY FOR ANY REASON OTHER THAN CAUSE, (III) DEATH, OR (IV) TERMINATION DUE TO TOTAL AND PERMANENT DISABILITY. IF MR. UNRUH RESIGNS OR IS TERMINATED BY THE UNIVERSITY FOR CAUSE BEFORE THE ACCOUNT IS VESTED, THE ENTIRE ACCOUNT WILL BE FORFEITED. THE UNIVERSITY PAID DAVID UNRUH DEFERRED COMPENSATION OF $205,112 ON JUNE 28, 2019, PER A DEFERRED COMPENSATION AGREEMENT THAT BEGAN ON JULY 1, 2015. MR. UNRUH HAD BEEN CREDITED $40,000 ON JULY 1, 2015, AND ON EACH FOLLOWING JULY 1 THROUGH 2019. IN ADDITION, THE DEFERRED COMPENSATION WAS CREDITED WITH EARNINGS BASED ON INVESTMENT OPTIONS SELECTED BY MR. UNRUH. MR. UNRUH BECAME FULLY VESTED IN THE DEFERRED COMPENSATION ON JULY 1, 2019, WHEN AN ADDITIONAL TWO YEAR DEFERRED COMPENSATION ARRANGEMENT BEGAN. THE UNIVERSITY PREVIOUSLY PROVIDED BRIAN BLAKE WITH A DEFERRED COMPENSATION AGREEMENT. AS DR. BLAKE RESIGNED IN OCTOBER 2019, THE ENTIRE ACCOUNT WAS FORFEITED. A PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2012 232243852 70917SCB7 2012-11-01 33242964 REFUNDING OF 2002 SERIES A AND SERIES 2003 0 0 0 B PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2011A 232243852 70917RX75 2011-05-16 160304025 NEW CONSTR/BLDG RENOV/REFUNDING OF 1997, 1998, 1998-2, 2003B 1 0 0 C PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2007B 232243852 70917RNP6 2007-10-04 30000000 SCIENCE BLDG/DORMITORY/WELLNESS CENTER 0 0 0 D PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2005A&B 232243852 70917N3B8 2005-02-16 61312145 CAPITAL IMPROVEMENT/EQUIPMENT/ADV REFUNDING OF 1997/1999 BONDS 1 0 0 A 19660000 33242964 415332 32827632 2012 1 0 1 1 B 37290000 128425000 161954495 1386270 101472529 59095696 2014 1 0 1 1 C 7560000 30572813 2700000 285425 11508 27575880 2012 0 0 1 1 D 9140000 24490000 63310555 833218 879260 31998378 29599699 2012 0 1 1 1 A 0 1 1 1 0 0.00280 0.00000 0.00280 0 0 1 B 0 1 1 1 0 0.00040 0.00030 0.00070 0 0 1 C 0 1 1 1 1 0 0.00000 0.00000 0.00000 0 0 1 D 0 1 1 1 1 0 0.00180 0.00880 0.01060 0 0 1 A 0 0 1 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 1 0 0 0 1 D 1 1 1 WELLS FARGO BANK 19.800000000000 0 0 1 ROYAL BANK OF CANADA 2.500000000000 1 1 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2012 DATE THE REBATE COMPUTATION WAS PERFORMED: 06/05/2013 ISSUER NAME: PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2011A DATE THE REBATE COMPUTATION WAS PERFORMED: 06/02/2014 ISSUER NAME: PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2007B DATE THE REBATE COMPUTATION WAS PERFORMED: 08/16/2012 ISSUER NAME: PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2016 DATE THE REBATE COMPUTATION WAS PERFORMED: 12/04/2017 SCHEDULE K SUPPLENTAL INFORMATION PART II, LINE 3, COLUMN A: THE TOTAL PROCEEDS EXCEED THE ISSUE PRICE BY THE INVESTMENT EARNINGS ON THE PROJECT FUND PART II, LINE 11, COLUMNS A & B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE PART IV, LINE 2C, COLUMN A: THE FINAL REBATE REPORT WAS COMPLETED ON 6/7/2013 PART IV, LINE 2C, COLUMN B: THE FINAL REBATE REPORT WAS COMPLETED ON 6/5/2013, WHICH WAS DETERMINED THE ISSUE MET THE 6 MONTH SPENDING EXCEPTION PART IV, LINE 2C, COLUMN C: THE FINAL REBATE REPORT WAS COMPLETED ON 8/16/2012 PART IV, LINE 2C, COLUMN D: THE FINAL REBATE REPORT WAS COMPLETED ON 09/20/2010 PART II, LINE 3: THE TOTAL PROCEEDS EXCEED THE ISSUE PRICE BY THE INVESTMENT EARNINGS ON THE PROJECT FUND PART II, LINE 11, COLUMNS A & B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE PART IV, LINE 2C, COLUMN A: A REBATE CALCULATION WAS PERFORMED AS OF 10/01/2015 PART IV, LINE 2C, COLUMN B: THE FINAL REBATE REPORT WAS PERFORMED AS OF 08/16/2012 A PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2016 232243852 70917SXU2 2016-08-02 136019435 REFUNDING OF 2005A SERIES A AND SERIES 2003 0 0 0 B PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 2017 232243852 70917SV67 2017-12-26 141570375 ADVANCE REFUNDING PORTION OF SERIES 2011A 0 0 0 A 136019435 692483 135326952 2016 1 1 1 1 B 9605000 141750375 141053099 697276 2017 0 1 1 1 A 0 1 1 1 0 0.00130 0.00320 0.00450 0 0 1 B 0 1 1 1 1 0 0.00870 0.00000 0.00870 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 A 1 B 1 25630 MERIT SCHOLARSHIP EDUCATIONAL 269884 TUITION REMISSION EDUCATIONAL NEWPORT CAPITAL GROUP LLC >35% TRUSTEE OWNED 158753 CONSULTING FEE 0 KIERA MURASKO-BLANK FAMILY OF FORMER KEY EMP 69588 EMPLOYMENT 0 TINA DWYER FAMILY OF KEY EMP 51826 EMPLOYMENT 0 ERIN SAHU FAMILY OF KEY EMP 86991 EMPLOYMENT 0 NOMI EVE FAMILY OF KEY EMP 52769 EMPLOYMENT 0 X 25 276500 FAIR MARKET VALUE X 46 1222792 FAIR MARKET VALUE 11 0 1 0 PART I, COLUMN (B): THE ORGANIZATION IS REPORTING THE NUMBER OF ITEMS IN COLUMN (B), NOT THE NUMBER OF CONTRIBUTIONS. FORM 990, PART V, LINES 7G & 7H: NOT APPLICABLE FORM 990, PART VI, SECTION A, LINE 2 MICHAEL C. FORMAN AND JOHN A. FRY - BUSINESS RELATIONSHIP MICHAEL C. FORMAN AND BRIAN R. FORD - BUSINESS RELATIONSHIP MICHAEL C. FORMAN AND CHARLES P. PIZZI - BUSINESS RELATIONSHIP MICHAEL C. FORMAN AND JOSEPH P. UJOBAI - BUSINESS RELATIONSHIP DENIS P. O'BRIEN, NICHOLAS DEBENEDICTIS AND CHARLES P. PIZZI - BUSINESS RELATIONSHIP FORM 990, PART VI, SECTION B, LINE 11B FORM 990 IS PREPARED BY THE TAX OFFICE AND SUBMITTED TO THE EXECUTIVE VICE PRESIDENT, TREASURER AND CHIEF OPERATING OFFICER FOR REVIEW AND SIGNING. PRIOR TO FILING, FORM 990 AND ALL REQUIRED SCHEDULES ULTIMATELY FILED WITH THE INTERNAL REVENUE SERVICE WERE AVAILABLE TO EACH MEMBER OF THE BOARD OF TRUSTEES FOR THEIR REVIEW AND COMMENT. FORM 990, PART VI, SECTION B, LINE 12C DREXEL UNIVERSITY'S CONFLICT OF INTEREST POLICY APPLIES TO ALL EMPLOYEES (WHETHER A KEY EMPLOYEE OR NOT), OFFICERS, AND TRUSTEES OF THE UNIVERSITY. THE CONFLICT OF INTEREST POLICY IS INTENDED TO SATISFY COMPLIANCE REQUIREMENTS AND GUIDE UNIVERSITY PERSONNEL IN AVOIDING THOSE SITUATIONS THAT CAN RESULT IN A CONFLICT OF INTEREST OR COMMITMENT. THE KEY TO AVOIDING THOSE SITUATIONS THAT CAN RESULT IN A CONFLICT OF INTEREST OR COMMITMENT IS TO MAKE CONSTITUENTS AWARE OF WHAT CONSTITUTES A CONFLICT OF INTEREST AND FOR THEM TO DISCLOSE POTENTIAL SITUATIONS BEFORE THE ACTIVITY IS UNDERTAKEN. THE FORMAT FOR THE DISCLOSURE IS FOR EACH EMPLOYEE, OFFICER OR TRUSTEE TO COMPLETE A QUESTIONNAIRE ANNUALLY. THE COMPLETED QUESTIONNAIRE IS SUBMITTED TO THE HUMAN RESOURCES DEPARTMENT IN THE CASE OF EMPLOYEES REVIEWED AS REQUIRED BY THE VICE PRESIDENT AND UNIVERSITY CHIEF COMPLIANCE AND PRIVACY OFFICER. COMPLETED QUESTIONNAIRES FOR OFFICERS AND TRUSTEES ARE SUBMITTED DIRECTLY TO THE OFFICE OF THE GENERAL COUNSEL FOR REVIEW. AFTER REVIEW A DETERMINATION IS MADE AS TO WHETHER A CONFLICT OF INTEREST EXISTS AND AT WHAT LEVEL. THOSE EMPLOYEE CONFLICTS THAT ARE DETERMINED TO BE DETRIMENTAL TO THE UNIVERSITY ARE DISCUSSED WITH THE EMPLOYEE AND THE EMPLOYEE IS ENCOURAGED TO TERMINATE THE ACTIVITY. EMPLOYEES WHO WILLINGLY OR OTHERWISE CONTINUE TO VIOLATE THE CONFLICT OF INTEREST POLICY ARE SUBJECT TO DISCIPLINARY ACTION UP TO AND INCLUDING SUSPENSION WITHOUT PAY, DEMOTION OR TERMINATION OF EMPLOYMENT. IN THE CASE OF TRUSTEES, A CONFLICT OF INTEREST QUESTIONNAIRE IS MAILED ANNUALLY. TRUSTEES ARE REQUIRED TO COMPLETE THE QUESTIONNAIRE AND DISCLOSE ANY INTERESTS IN ANY CORPORATION, PARTNERSHIP OR OTHER ORGANIZATION IN WHICH THEY OWN OR CONTROL 5% OR MORE OF THE ENTITY. FORM 990, PART VI, SECTION B, LINE 15 DREXEL IS COMMITTED TO COMPENSATING ITS EXECUTIVE TEAM AT A FAIR AND COMPETITIVE LEVEL. TO MEET THIS GOAL, DREXEL UNIVERSITY'S HUMAN RESOURCES DEPARTMENT PREPARES AN EXECUTIVE COMPENSATION ANALYSIS ANNUALLY USING THE COLLEGE AND UNIVERSITY PROFESSIONAL ASSOCIATION OF HUMAN RESOURCES (CUPA) SURVEY AND IRS FORM 990 INFORMATION AS THEY RELATE TO THE UNIVERSITY'S PEER GROUPS. POSITIONS INCLUDED IN THE ANALYSIS WERE THE PRESIDENT, EXECUTIVE VICE PRESIDENTS, SENIOR VICE PRESIDENTS, AND HIGHLY-COMPENSATED DEANS. USING THE EXECUTIVE COMPENSATION ANALYSIS, A THIRD-PARTY ADVISOR PREPARED A REPORT AND SUBMITTED THE REPORT TO THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES (THE "COMMITTEE") ALONG WITH CERTAIN PERFORMANCE CRITERIA. THE COMPENSATION ANALYSIS SERVED AS THE BASIS FOR THE PRESIDENT'S RECOMMENDATIONS FOR UNIVERSITY EXECUTIVES. THE THIRD-PARTY ADVISOR PROVIDED THE COMMITTEE WITH A LETTER ON THE APPROPRIATENESS OF THE DECISION-MAKING PROCESS AND REASONABLENESS OF THE PROPOSED COMPENSATION. ALL COMPENSATION WAS APPROVED BY THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES PRIOR TO BECOMING EFFECTIVE ON JULY 1, 2020. FORM 990, PART VI, SECTION C, LINE 19 DREXEL UNIVERSITY MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC IN A VARIETY OF WAYS. THE CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE ON ITS WEBSITE, AND ITS GOVERNING DOCUMENTS ARE AVAILABLE UPON REQUEST. FORM 990, PART XII, LINE 2C: THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES HAS RESPONSIBILITY FOR SELECTING THE INDEPENDENT ACCOUNTANT AND OVERSEEING THE AUDIT. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. PART VI, SECTION B, LINE 16B: THE UNIVERSITY IMPLEMENTED A WRITTEN PROCEDURE, WHICH WAS APPROVED BY THE PRESIDENT'S CABINET, FOR EVALUATION OF JOINT VENTURE ARRANGEMENTS TO ENSURE THAT SUCH ARRANGEMENTS ARE CONSISTENT WITH THE UNIVERSITY'S TAX-EXEMPT PURPOSE. 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