2021-05-17T15:36:19-05:00 2020-06-30 990 2019-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL ST WASHIN BLDG N DURHAM NC 27701 DANIEL ENNIS EXECUTIVE VICE PRESIDENT 9196842006 2021-05-16 2019 2022-09-23 18:48:47Z VINCENT E PRICE 324 BLACKWELL STREET DURHAM NC 27701 15832499926 0 X WWW.DUKE.EDU X 1841 NC TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH 36 34 33549 3586 0 0 1480705479 1566915508 1180280930 1147304702 564653435 400112010 77187147 80157081 3302826991 3194489301 394092121 410790460 0 0 1771859485 1869620556 735467 716793 52776447 1188099602 1131466816 3354786675 3412594625 -51959684 -218105324 14959910895 15807758924 3478627162 4926319700 11481283733 10881439224 SEE SCHEDULE O 0 0 1707682372 366189019 925662280 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 5,777 STUDENTS ANNUALLY 997738511 44050742 1195641342 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS 365902416 550699 110196569 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY 3071323299 1 1 0 1 0 0 1 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 0 0 1 X 9318 0 1 33549 1 1 1 1 SP UK TZ CH SN MA IN KE SW DA NO MY PL PO GR EI GM 0 0 0 1 1 0 0 0 1 0 1 1 X 36 34 0 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MD MA MI NH NJ NY OR SC X X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST STE 850 DURHAM NC 27701 MICHAEL W KRZYZEWSKI COACH 40.00 0.00 X 6331096 0 1022386 NEAL TRIPLETT CHIEF INVESTMENT OFFICER 50.00 0.40 X 3059765 0 51204 DAVID N CUTCLIFFE COACH 40.00 0.00 X 2848237 0 100798 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 33.00 33.20 X 2555301 0 147282 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 40.00 0.00 X 2334021 0 115009 VINCENT PRICE PRESIDENT/TRUSTEE 48.00 3.10 X X 1464217 0 51043 EVAN L JONES INVESTMENT MANAGER 40.00 0.00 X 1156375 0 301609 JOANNE MCCALLIE COACH 40.00 0.00 X 1347663 0 93280 RALPH SNYDERMAN CHANCELLOR EMERITUS & CHIEF OF RHEUM 40.00 0.10 X 1288673 0 50206 JUSTIN B NIXON INVESTMENT MANAGER 45.00 0.00 X 1013026 0 238724 MARY E KLOTMAN MD V. CHAN HEALTH AFF & DEAN OF SOM 40.00 25.50 X 1152681 0 48226 MARK CORIGLIANO INVESTMENT MANAGER 40.00 0.00 X 873427 0 190564 TALLMAN TRASK III EXECUTIVE VICE PRESIDENT 51.00 0.50 X 932639 0 50621 SALLY KORNBLUTH PROVOST 70.00 0.40 X 765517 0 45081 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN., SOM 55.00 0.40 X 745439 0 57264 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 45.00 15.30 X 655843 0 52553 JENNIFER FRANCIS EXECUTIVE VICE PROVOST FIN & ADMIN 80.00 0.20 X 613759 0 46835 RICHARD H BRODHEAD FORMER OFFICER 40.00 0.00 X 565161 0 55458 VALERIE ASHBY DEAN, COLLEGE OF ARTS & SCIENCES 40.00 0.00 X 574782 0 40259 RICHARD VERNON RIDDELL JR VP & UNIVERSITY SECRETARY 50.00 0.00 X 510267 0 47596 TIMOTHY W WALSH TREASURER & VP OF FINANCE 41.00 0.20 X 506893 0 47135 NANCY ANDREWS MD FORMER KEY EMPLOYEE 40.00 0.00 X 441802 0 58574 ERIC PETERSON MD FORMER KEY EMPLOYEE 40.00 0.00 X 444960 0 49780 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 60.00 0.00 X 422239 0 59461 ROBERT M CALIFF MD FORMER KEY EMPLOYEE 40.00 0.00 X 338863 0 50956 JAMES S ROBERTS FORMER KEY EMPLOYEE 40.00 0.00 X 267112 0 38237 UZOMA AYOGU TRUSTEE 2.00 0.00 X 0 0 0 LISA M BORDERS TRUSTEE 2.00 0.00 X 0 0 0 JACK O BOVENDER JR TRUSTEE 8.00 3.10 X 0 0 0 TIMOTHY COOK TRUSTEE 2.00 0.00 X 0 0 0 ANN PELHAM TRUSTEE 4.00 0.00 X 0 0 0 ALLYSON DUNCAN TRUSTEE 4.00 0.00 X 0 0 0 RALPH EADS TRUSTEE 2.00 0.00 X 0 0 0 PAUL E FARMER TRUSTEE 2.00 0.00 X 0 0 0 XIQING GAO TRUSTEE 2.00 0.00 X 0 0 0 EDWARD A GILHULY TRUSTEE 4.00 1.50 X 0 0 0 AMY HAFEZ TRUSTEE 2.00 0.00 X 0 0 0 GERALD HASSELL TRUSTEE 4.00 1.00 X 0 0 0 WILLIAM A HAWKINS TRUSTEE 10.00 8.00 X 0 0 0 JANET HILL TRUSTEE 2.00 0.00 X 0 0 0 BETSY D HOLDEN TRUSTEE 4.00 0.00 X 0 0 0 KATHRYN HOLLISTER TRUSTEE 3.00 0.00 X 0 0 0 WILLIAM G KAELIN JR TRUSTEE 4.00 0.00 X 0 0 0 PETER J KAHN TRUSTEE 2.00 0.00 X 0 0 0 AMY KRAMER TRUSTEE 2.00 0.00 X 0 0 0 MARTHA MONSERRATE TRUSTEE 2.00 0.10 X 0 0 0 PATRICIA RODERICK MORTON TRUSTEE 4.00 0.00 X 0 0 0 STEPHEN G PAGLIUCA TRUSTEE 2.00 0.00 X 0 0 0 ROBERT R PENN TRUSTEE 4.00 0.00 X 0 0 0 JB PRITZKER TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL RHODES TRUSTEE 2.00 0.00 X 0 0 0 CARMICHAEL ROBERTS TRUSTEE 1.00 1.00 X 0 0 0 NANCY M SCHLICHTING TRUSTEE 2.00 2.00 X 0 0 0 STEVEN M SCOTT MD TRUSTEE 2.00 4.00 X 0 0 0 ADAM SILVER TRUSTEE 2.00 0.00 X 0 0 0 LAURENE M SPERLING TRUSTEE 6.00 0.00 X 0 0 0 ASHLEY CROWDER STANLEY TRUSTEE 2.00 0.00 X 0 0 0 FRED SUTHERLAND TRUSTEE 2.00 0.00 X 0 0 0 JEFF UBBEN TRUSTEE 2.00 0.00 X 0 0 0 HOPE MORGAN WARD TRUSTEE 2.00 0.00 X 0 0 0 LAURA MEYER WELLMAN TRUSTEE 2.00 0.10 X 0 0 0 33209758 0 3110141 4117 1 1 0 LECHASE CONSTRUCTION SERVICES LLC 324 BLACKWELL ST 130 DURHAM NC 27701 CONSTRUCTION SERVICE 81416097 SKANSKA USA BUILDING INC 4309 EMPEROR BLVD SUITE 200 DURHAM NC 27703 CONSTRUCTION SERVICE 78981506 DPR CONSTRUCTION 2000 AERIAL CENTER PKWY STE 118 MORRISVILLE NC 27560 CONSTRUCTION SERVICE 38481134 MID-ATLANTIC INFRASTRUCTURE SYSTEMS 975 PINEBROOK KNOLLS DRIVE WINSTON SALEM NC 27105 CONSTRUCTION SERVICE 22342804 BALFOUR BEATTY CONSTRUCTION 406 S MCDOWELL ST STE 200 RALEIGH NC 27601 CONSTRUCTION SERVICE 13805838 783 3272251 393107201 753290934 417245122 31405503 1566915508 TUITION & FEES 611600 885779864 885779864 ANCILLARY STUDENT SVCS 611600 110196569 110196569 CONTINUING EDUCATION 611600 33867956 33867956 CONFERENCE FEES 611600 6014460 6014460 ACADEMIC MED. 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SALES 900099 20337852 20337852 STUDENT DUES 900099 3090844 3090844 VARIOUS FEES AND FINES 900099 1359509 1359509 10792569 10792569 35580774 3194489301 1182885476 0 444688317 68321590 68321590 342112562 342112562 356308 356308 18679169 644887 17053223 981059 2527692 2356147 171545 1464674341 1268158389 162867252 33648700 110334032 95342664 12793637 2197731 169667698 138143686 27326313 4197699 103737624 89214357 12448515 2074752 8888471 2954090 5923827 10554 680057 26444 653613 716793 716793 38287129 38287129 159944167 123942077 35465791 536299 6147841 4704277 943820 499744 104125216 92600279 10407162 1117775 32522211 22965069 9245868 311274 58480045 27997333 30482712 101306609 82555877 18434455 316277 36546804 33470490 1415236 1661078 33068816 24711563 4956456 3400797 80052145 49811937 30240208 267645137 263630460 4014677 5947191 814088 5124275 8828 SUBRECIPIENT PAYMENTS 160515800 160515800 EQUIP RENTAL & MAINTENA 73158368 70876108 2131390 150870 COST OF GOODS SOLD 17644315 15636276 1951486 56553 PRINTING & PUBLICATIONS 5986029 4251325 1212826 521878 -59479535 85209216 -145056537 367786 3412594625 3071323299 288494879 52776447 176592876 156470790 432462025 413677298 184033198 137527777 28459846 25636079 20143244 21795905 39097354 32187814 6423472461 3595280469 2804934729 2828191992 2467629683 2327892252 7923076721 8305702938 883481219 1558676079 14959910895 15807758924 441226857 419434892 206778752 214968354 993575000 379845000 3920837 4988734 1123426962 2335827327 709698754 1571255393 3478627162 4926319700 X 5011817373 4517317546 6469466360 6364121678 11481283733 10881439224 14959910895 15807758924 X -218105324 -214319689 -167419496 X 0 1 X 1 1 1 X 1401457511 1508458854 1476290488 1480705479 1566915508 7433827840 1401457511 1508458854 1476290488 1480705479 1566915508 7433827840 59525343 7374302497 136205095 168862789 169049549 203730248 162807744 840655425 238458694 413002024 592044767 439296466 318402196 2001204147 10275687412 5543603109 0.71760 0.51060 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 257573 0 1 146871 404444 0 FORM 990, SCHEDULE C, PART II-B DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES HAVE AND SOME SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. X 1 0.21 0 0 0 1 1 6.00 180 1 1180000 43716868 X X X X 1 8580756409 386986275 -41907680 93600293 366342134 19800275 8446092302 8497566118 177375334 398470450 91566848 380223513 20865132 8580756409 7886329071 117860979 908790366 89041660 305957313 20415325 8497566118 6816799085 720600842 758983475 86753679 303634618 19666034 7886329071 7272129904 137175368 -229083475 82073571 264809551 16539590 6816799085 0.59230 0.30650 0.10120 1 1 1 33181001 33181001 4409910233 2270047410 2139862823 312392015 192219020 120172995 843977875 653292126 190685749 824011337 479721913 344289424 2828191992 SHORT TERM INVESTMENTS 392854678 F US GOVERNMENT SECURITIES 2986176 F REAL ASSETS 1242033623 F PRIVATE CAPITAL 3348113224 F HEDGED STRATEGIES 2250699033 F OTHER INVESTMENTS 26116845 F FIXED INCOME 631255520 F EQUITIES 411643839 F 8305702938 DEPOSITS WITH BOND TRUSTEE 131 INTEREST IN PERPETUAL TRUST HELD BY OTHERS 852643964 OPERATING LEASE RIGHT-OF-USE ASSET 706031984 1558676079 ANNUITY AND SPLIT INTEREST OBLIGATIONS 60408050 POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 626842929 FUNDS HELD FOR OTHERS 85633954 REFUNDABLE FEDERAL STUDENT LOANS 21045183 CONDITIONAL ASSET RETIREMENT 33048541 INTERNATIONAL LOAN RESERVE 6302590 GENERAL INSURANCE IBNR 7556000 OTHER 16170752 OPERATING LEASE LIABILITY 714247394 1571255393 PART II, LINE 5: DUKE FOREST, A DEPARTMENT WITHIN DUKE UNIVERSITY, IS COMMITTED TO PROTECTING THE PURPOSE OF THE CONSERVATION EASEMENT. ACCORDINGLY, A WRITTEN MONITORING PROGRAM WAS DEVELOPED TO MAINTAIN AND PROTECT 12 SIGNIFICANT NATURAL HERITAGE AREAS WITHIN NORTH CAROLINA, INCLUDING THE CONSERVATION EASEMENT NOTED ON SCHEDULE D, PART II. THE POLICY INCLUDES DETAILS ABOUT CONDUCTING AN ONSITE INSPECTION, DOCUMENTING ALL FINDINGS ACCORDING TO A SITE-SPECIFIC MONITORING CHECKLIST. A POST-MONITORING REPORT AND OTHER DOCUMENTATION IS COMPLETED AS NECESSARY. DUKE FOREST STAFF (AND OTHER EXPERTS AS NECESSARY) ARE CONSULTED TO DETERMINE IF STEWARDSHIP EFFORTS ARE NECESSARY TO ENSURE THE PURPOSE OF THE CONSERVATION EASEMENT. WHILE NOT IN THE WRITTEN DOCUMENT, THE INITIAL STEP TAKEN BY DUKE FOREST WOULD BE TO CONTACT THE RESPONSIBLE PARTY TO REQUEST REMEDY OF THE INFRACTION. SUBSEQUENT STEPS WOULD INCLUDE, BUT ARE NOT LIMITED TO CONSULTING WITH UNIVERSITY COUNSEL. THE EASEMENT DOCUMENTS DO NOT INCLUDE THE POLICY AS THE EASEMENT DOCUMENTS WERE CREATED BEFORE THE POLICY DOCUMENT. PART II, LINE 9: THE CONSERVATION EASEMENT REPORTED ABOVE WAS NOT INCLUDED IN DUKE UNIVERSITY'S STATEMENT OF ACTIVITIES, BALANCE SHEET, NOR FOOTNOTES TO THE FINANCIAL STATEMENTS. SCHEDULE D, PART III, LINE 4 ART COLLECTION DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCE WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING. SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. SCHEDULE D, PART X LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FASB ASC 740 DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FASB ASC 740 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FASB ASC 740 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FASB ASC 740 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2020. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 FORM 990, SCHEDULE E, LINE 3 EQUAL OPPORTUNITY AND NON DISCRIMINATION STATEMENT DUKE UNIVERSITY AND DUKE UNIVERSITY HEALTH SYSTEM ("DUKE") ARE COMMITTED TO ENCOURAGING AND SUSTAINING A LEARNING AND WORK COMMUNITY FREE FROM DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT. DUKE IS COMMITTED TO AN INCLUSIVE COMMUNITY THAT RESPECTS AND VALUES ALL OF ITS MEMBERS, INCLUDING (BUT NOT LIMITED TO) UNDERGRADUATE STUDENTS, GRADUATE AND PROFESSIONAL STUDENTS, POSTDOCTORAL FELLOWS AND MEDICAL RESIDENTS, FACULTY, AND STAFF (INCLUDING HOUSE STAFF). THE OFFICE FOR INSTITUTIONAL EQUITY (OIE) IS RESPONSIBLE FOR ADMINISTERING THE POLICY ON PROHIBITED DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT ("POLICY") AND ITS IMPLEMENTING PROCEDURES. THE VICE-PRESIDENT FOR INSTITUTIONAL EQUITY IS DUKE'S DESIGNATED COORDINATOR FOR SECTION 504 OF THE REHABILITATION ACT OF 1973 AND THE AGE DISCRIMINATION ACT OF 1975. THE ASSISTANT VICE-PRESIDENT/DIRECTOR OF TITLE IX COMPLIANCE IS DUKE'S DESIGNATED COORDINATOR FOR TITLE IX OF THE EDUCATION AMENDMENTS OF 1972. THESE OFFICERS MAY BE CONTACTED AT THE OFFICE FOR INSTITUTIONAL EQUITY, SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708, (919) 684-8222, OIE-HELP@DUKE.EDU. THIS POLICY PROHIBITS DISCRIMINATION AND HARASSMENT ON THE BASIS OF RACE, COLOR, NATIONAL ORIGIN, SEX (INCLUDING PREGNANCY), GENDER, GENDER IDENTITY, GENDER EXPRESSION, SEXUAL ORIENTATION, RELIGION, GENETIC INFORMATION, AGE, DISABILITY, OR VETERAN STATUS (COLLECTIVELY, "PROTECTED STATUS OR "PROTECTED CHARACTERISTICS"); THIS INCLUDES DISCRIMINATION AND HARASSMENT BASED ON THE PERCEPTION OF AN INDIVIDUAL'S PROTECTED STATUS, EVEN IF THAT PERCEPTION IS INCORRECT. IT ALSO PROHIBITS MISCONDUCT RELATED TO PROTECTED STATUS DISCRIMINATION AND HARASSMENT, SPECIFICALLY, RELATIONSHIP VIOLENCE AND STALKING. THE POLICY APPLIES TO THE ADMINISTRATION OF EMPLOYMENT AND EDUCATIONAL POLICIES, PRACTICES, PROGRAMS, AND ACTIVITIES. THE POLICY ALSO PROHIBITS RETALIATION AGAINST AN INDIVIDUAL: (1) WHO FILES A COMPLAINT OR REPORT OF DISCRIMINATION, HARASSMENT, OR RELATED MISCONDUCT; (2) AGAINST WHOM A COMPLAINT IS FILED; (3) WHO PARTICIPATES IN THE REPORTING, INVESTIGATION, OR ADJUDICATION OF POSSIBLE VIOLATIONS OF THIS POLICY; OR (4) WHO ENGAGES IN GOOD FAITH OPPOSITION TO WHAT THE INDIVIDUAL REASONABLY BELIEVES TO BE DISCRIMINATION, HARASSMENT, OR RELATED MISCONDUCT UNDER THIS POLICY. ADDITIONAL INFORMATION, INCLUDING THE COMPLETE TEXT OF THE HARASSMENT POLICY AND APPROPRIATE COMPLAINT PROCEDURES, MAY BE FOUND BY VISITING THE OFFICE FOR INSTITUTIONAL EQUITY'S WEBSITE AT: HTTPS://OIE.DUKE.EDU/. FOR FURTHER INFORMATION ON NOTICE OF NONDISCRIMINATION, YOU CAN CONTACT THE UNIVERSITY OFFICE NOTED ABOVE, OR VISIT HTTPS://WWW.2.ED.GOV/ABOUT/OFFICES/LIST/OCR/INDEX.HTML, FOR THE ADDRESS AND PHONE NUMBER OF THE OFFICE FOR CIVIL RIGHTS, U.S. DEPARTMENT OF EDUCATION, OFFICE THAT SERVES YOUR AREA, OR CALL 1-800-421-3481 DISSEMINATION THE EQUAL EMPLOYMENT OPPORTUNITY POLICY IS DISTRIBUTED TO ALL MEMBERS OF THE DUKE COMMUNITY. POLICY INFORMATION IS PROVIDED TO NEW EMPLOYEES AT ORIENTATION SESSIONS AND TO UNION OFFICIALS REPRESENTING DUKE EMPLOYEES. THE EQUAL EMPLOYMENT OPPORTUNITY STATEMENT IS PUBLISHED IN FACULTY AND STAFF MANUALS AND IS POSTED ON BULLETIN BOARDS THROUGHOUT DUKE. THE POLICY IS DISCUSSED IN MANAGEMENT TRAINING PROGRAMS AND IS DESCRIBED IN VARIOUS LITERATURE DISTRIBUTED BY DUKE. NONDISCRIMINATION CLAUSES ARE INCLUDED IN ALL UNION AGREEMENTS AND ALL SUCH CONTRACTUAL PROVISIONS ARE REVIEWED TO ENSURE THAT THEY ARE NONDISCRIMINATORY [41 CFR 60-300.44(F)(G) & 41 CFR 60-741.44(F)(G)]. RECRUITING ADVERTISEMENTS STATE THAT DUKE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. PURSUANT TO REGULATIONS, ALL DUKE PURCHASE ORDERS, LEASES, AND CONTRACTS INCORPORATE THE FOLLOWING EQUAL OPPORTUNITY CLAUSE SETTING FORTH THE DUKE'S EXPECTATIONS. PUBLICATIONS AND OTHER DUKE MATERIALS REPRESENT ALL INDIVIDUALS, REGARDLESS OF DEMOGRAPHIC PROFILE AND INCLUDE SPECIAL CONSIDERATION OF PERSONS THAT CLAIM DISABILITY OR VETERAN STATUS. RECRUITING ADVERTISEMENTS STATE THAT DUKE IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. AN EXPANDED STATEMENT TO CONVEY DUKE'S COMMITMENT TO DIVERSITY AND INCLUSION IS INCLUDED IN DOCUMENTS AND POSITION. FORM 990, SCHEDULE E, LINE 6 EXPLANATION OF GOVERNMENT FINANCIAL AID IN FUTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSITY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, MEDICAL PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 88000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 51000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 107000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEMINAR 108000 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 262000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 591000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 8482000 EAST ASIA AND THE PACIFIC 0 4 PROGRAM SERVICES STUDY ABROAD 418000 EAST ASIA AND THE PACIFIC 0 0 SEMINAR 999000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 36000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES EDUCATION 758000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES RESEARCH 3988000 EUROPE (INCLUDING ICELAND & GREENLAND) 2 13 PROGRAM SERVICES STUDY ABROAD 2119000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 SEMINAR 2824000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATION 86000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 1784000 MIDDLE EAST AND NORTH AFRICA 0 3 PROGRAM SERVICES STUDY ABROAD 34000 MIDDLE EAST AND NORTH AFRICA 0 0 SEMINAR 150000 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 80000 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 4778000 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 23000 NORTH AMERICA 0 0 SEMINAR 326000 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EDUCATION 21000 RUSSIA AND NEIGHBORING STATES 0 1 PROGRAM SERVICES STUDY ABROAD 25000 RUSSIA AND NEIGHBORING STATES 0 0 SEMINAR 13000 SOUTH AMERICA 0 0 GRANTMAKING 7000 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 84000 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 450000 SOUTH AMERICA 0 2 PROGRAM SERVICES STUDY ABROAD 599000 SOUTH AMERICA 0 0 SEMINAR 251000 SOUTH ASIA 0 0 GRANTMAKING 6000 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 142000 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 731000 SOUTH ASIA 0 2 PROGRAM SERVICES STUDY ABROAD 831000 SOUTH ASIA 0 0 SEMINAR 187000 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 45000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 174000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 2968000 SUB-SAHARAN AFRICA 0 12 PROGRAM SERVICES STUDY ABROAD 40000 SUB-SAHARAN AFRICA 0 0 SEMINAR 218000 0 4 2 33 2 37 10107000 24777000 34884000 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, GENERAL SUPPORT 243490 WIRE 0 2 HART FELLOW SOUTH ASIA 1 6260 WIRE HART FELLOW SOUTH AMERICA 1 6800 WIRE TUITION/SCHOLARSHIP/BOOK PRIZE EUROPE (INCLUDING ICELAND & GREENLAND) 3 36133 WIRE SPRING TUITION EAST ASIA AND THE PACIFIC 1 15043 WIRE BOLCH PRIZE SUB-SAHARAN AFRICA 1 40000 WIRE SUMMER TUITION SUB-SAHARAN AFRICA 2 4851 WIRE 0 0 1 0 0 1 PART III ACCOUNTING METHOD: SCHEDULE F, PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO SEVERAL ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. X X X X X X X 1 COPPER REEF ENTERPRISES SEE PART IV FOR ADDRESS CARLSBAD CA 92009 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 160220 REVERED SEE PART IV FOR ADDRESS RALEIGH NC 27617 FUNDRAISING RELATED DIGITAL COMMUNICATIONS 0 0 0 115000 TWO BY FOUR LTD SEE PART IV FOR ADDRESS TORRANCE CA 90503 FUNDRAISING RELATED MARKETING & ADVERTISING 0 0 0 129025 HORIZON VIDEO PRODUCTION INC SEE PART IV FOR ADDRESS DURHAM NC 27703 FUNDRAISING RELATED VIDEO SHOOT 0 0 0 33450 DONALD A CAMPBELL & CO SEE PART IV FOR ADDRESS NEW YORK NY 10018 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 66374 GRENZEBACH GLIER & ASSOCIATES SEE PART IV FOR ADDRESS CHICAGO IL 60611 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 38875 BLACKBAUD INC SEE PART IV FOR ADDRESS CHAPEL HILL NC 27515 FUNDRAISING RELATED WEBSITE DEVELOPMENT 0 0 0 38515 ORACLE AMERICA INC SEE PART IV FOR ADDRESS SAN FRANCISCO CA 94108 FUNDRAISING RELATED DATABASE DEVELOPMENT 0 0 0 22585 MARTS & LUNDY SEE PART IV FOR ADDRESS SAINT HELENA CA 94574 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 14750 SIMPSONSCARBOROUGH SEE PART IV FOR ADDRESS RALEIGH NC 27616 FUNDRAISING RELATED MARKETING & ADVERTISING 0 0 0 48674 667468 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI CMN 2157837 2157767 70 0 0 0 644 0 415675 RADIOTHON 569847 559382 10465 0 0 0 3439 0 46527 6 815663 555102 260561 0 96908 0 98044 12310 267302 3543347 3272251 271096 96908 102127 12310 729504 940849 -669753 SCHEDULE G, PART I, LINE 2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: COPPER REEF ENTERPRISES (I) ADDRESS OF FUNDRAISER: 6965 EL CAMINO REAL, CARLSBAD, CA 92009 (I) NAME OF FUNDRAISER: REVERED (I) ADDRESS OF FUNDRAISER: 8801 FAST PARK DR, RALEIGH, NC 27617 (I) NAME OF FUNDRAISER: TWO BY FOUR LTD (I) ADDRESS OF FUNDRAISER: 10 N DEARBORN ST, CHICAGO, IL 60602 (I) NAME OF FUNDRAISER: HORIZON VIDEO PRODUCTIONS, INC. (I) ADDRESS OF FUNDRAISER: 4222 EMPEROR BLVD, DURHAM, NC 27703 (I) NAME OF FUNDRAISER: DONALD A CAMPBELL & CO (I) ADDRESS OF FUNDRAISER: 1 E WACKER DR #2100, CHICAGO, IL 60601 (I) NAME OF FUNDRAISER: GRENZEBACH GLIER & ASSOCIATES (I) ADDRESS OF FUNDRAISER: 401 N. MICHIGAN AVE, CHICAGO, IL 60611 (I) NAME OF FUNDRAISER: BLACKBAUD INC (I) ADDRESS OF FUNDRAISER: 200 DANIEL ISLAND DR, CHARLESTON, SC 29492 (I) NAME OF FUNDRAISER: ORACLE AMERICA INC (I) ADDRESS OF FUNDRAISER: 500 ORACLE PKWY, REDWOOD SHORES, CA 94065 (I) NAME OF FUNDRAISER: MARTS & LUNDY (I) ADDRESS OF FUNDRAISER: 160 CHUBB AVE #303, LYNDHURST, NJ 07071 (I) NAME OF FUNDRAISER: SIMPSONSCARBOROUGH (I) ADDRESS OF FUNDRAISER: 1737 KING ST #110, ALEXANDRIA, VA 22314 SCHEDULE G, LINE 2(B), COLUMN (V) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMNS (I-V). THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED. THERE ARE NO AGREEMENTS THAT PROVIDE EXCLUSIVELY FOR EXPENSES, BUT NOT FOR PROFESSIONAL FUNDRAISING SERVICES. 1 AMERICAN CANCER SOCIETY INC 8300 HEALTH PARK SUITE 10 RALEIGH NC 27615 131788491 501(C)(3) 22500 GENERAL SUPPPORT AMERICAN HEART ASSOCIATION INC PO BOX 4002906 DES MOINES IA 503402906 135613797 501(C)(3) 187500 GENERAL SUPPPORT AMERICAN MATHEMATICAL SOCIETY PO BOX 6248 PROVIDENCE RI 029042213 050264797 501(C)(3) 6288 GENERAL SUPPPORT ARLINGTON PRESBYTERIAN CHURCH 918 LINCOLN ST S 1 ARLINGTON VA 22204 540571101 10000 GENERAL SUPPPORT BELIEVERS UNITED FOR PROGRESS PO BOX 15666 DURHAM NC 27704 352292442 501(C)(3) 58000 DUKE UNIV COVID HARDSHIP GRANT BIRCHWOOD LEARNING CENTER 214 WALTON STREET DURHAM NC 27703 562062834 501(C)(3) 5000 3472 FMV FURNITURE/OFFICE SUPPLIES DUKE UNIV COVID HARDSHIP GRANT BOOK HARVEST 2501 UNIVERSITY DR DURHAM NC 27707 452610533 501(C)(3) 9000 GENERAL SUPPPORT CAMPAIGN 4 CHANGE PO BOX 3355 DURHAM NC 27702 260096724 501(C)(3) 10250 GENERAL SUPPPORT CARING HOUSE INC 2625 PICKETT RD DURHAM NC 277055603 561647154 501(C)(3) 25500 DUKE UNIV COVID HARDSHIP GRANT CAROLINA BALLET INC 3401-131 ATLANTIC AVE RALEIGH NC 27604 561445383 501(C)(3) 10000 GENERAL SUPPPORT CAROLINA FARM STEWARDSHIP ASSN PO BOX 448 PITTSBORO NC 27312 240040340 501(C)(3) 50000 DUKE UNIV COVID HARDSHIP GRANT CAROLINA SMALL BUSINESS DEVELOPMENT 807 E MAIN ST SUITE 5-100 DURHAM NC 27701 581903219 501(C)(3) 1000000 GENERAL SUPPPORT CASA PO BOX 12545 RALEIGH NC 27605 561778714 501(C)(3) 52163 DUKE UNIV COVID HARDSHIP GRANT CHANGING A GENERATION WITH FACE PO BOX 11587 DURHAM NC 27703 562158704 501(C)(3) 0 19958 FMV FURNITURE/OFFICE SUPPLIES GENERAL SUPPPORT CHILD CARE SERVICES ASSOCIATION PO BOX 901 CHAPEL HILL NC 27514 561514058 501(C)(3) 30000 DUKE UNIV COVID HARDSHIP GRANT CHURCH OF THE MESSIAH 231 EAST GRAND BLVD DETROIT MI 48207 381359507 501(C)(3) 10000 GENERAL SUPPPORT CHURCH WORLD SERVICE INC 112 S DUKE ST SUITE 4B DURHAM NC 27701 134080201 501(C)(3) 55500 148 FMV OFFICE SUPPLIES DUKE UNIV COVID HARDSHIP GRANT COMMUNITIES IN PARTNERSHIP PO BOX 11247 DURHAM NC 27703 475567396 501(C)(3) 59500 DUKE UNIV COVID HARDSHIP GRANT COMMUNITIES IN SCHOOLS OF DURHAM 3412 WESTGATE DR SUITE 301 DURHAM NC 27707 561791366 501(C)(3) 5000 1204 FMV FURNITURE/OFFICE SUPPLIES GENERAL SUPPPORT COMMUNITY EMPOWERMENT FUND 208 N COLUMBIA ST SUITE 100 CHAPEL HILL NC 275143504 270428981 501(C)(3) 47246 GENERAL SUPPPORT CONFERENCE OF CHURCHES 224 FARMINGTON AVE HARTFORD CT 06105 060693695 501(C)(3) 10000 GENERAL SUPPPORT COUNCIL FOR ENTREPRENEURIAL PO BOX 13353 RESEARCH TRIANGLE PARK NC 277093353 561399587 501(C)(3) 6000 GENERAL SUPPPORT CREST STREET COMMUNITY COUNCIL 7 ZELKO CT DURHAM NC 27705 581399286 501(C)(4) 7417 GENERAL SUPPPORT CROHNS & COLITIS FOUNDATION 1100 S MINT ST SUITE 204 CHARLOTTE NC 28203 136193105 501(C)(3) 6000 GENERAL SUPPPORT DIAPER BANK OF NC 1311 E CLUB BLVD DURHAM NC 27704 320401621 501(C)(3) 85076 DUKE UNIV COVID HARDSHIP GRANT DONT EVER GIVE UP INC 14600 WESTON PKWY CARY NC 27513 475304184 501(C)(3) 25000 GENERAL SUPPPORT DURHAM ARTS COUNCIL INC 120 MORRIS ST DURHAM NC 277013242 560599829 501(C)(3) 5650 GENERAL SUPPPORT DURHAM CHILDREN'S INITIATIVE 2101 ANGIER AVENUE SUITE 200 DURHAM NC 27703 320263133 501(C)(3) 46167 DUKE UNIV COVID HARDSHIP GRANT DURHAM COMMUNITY LAND TRUSTEES 1208 W CHAPEL HILL ST DURHAM NC 27701 561203878 501(C)(3) 132800 DUKE UNIV COVID HARDSHIP GRANT DURHAM CONGREGATIONS IN ACTION 504 W CHAPEL HILL ST DURHAM NC 27701 237208424 501(C)(3) 81500 DUKE UNIV COVID HARDSHIP GRANT DURHAM LITERACY CENTER PO BOX 52209 DURHAM NC 27707 561479534 501(C)(3) 14490 138 FMV FURNITURE DUKE UNIV COVID HARDSHIP GRANT DURHAM PUBLIC SCHOOLS 911 W CORNWALLIS RD DURHAM NC 27707 566001021 GOV'T ENTITY 110510 12060 FMV FURNITURE/OFFICE SUPPLIES GENERAL SUPPPORT DURHAM PUBLIC SCHOOLS FOUNDATION 411 W CHAPEL HILL ST C2 DURHAM NC 27701 822803464 501(C)(3) 105000 DUKE UNIV COVID HARDSHIP GRANT DURHAM TECHNICAL COMMUNITY COLLEGE 1637 LAWSON ST DURHAM NC 27703 561423848 501(C)(3) 54000 22000 FMV MEDICAL SUPPLIES DUKE UNIV COVID HARDSHIP GRANT DURHAMCARES INC PO BOX 331 DURHAM NC 27702 262689130 501(C)(3) 7050 DUKE UNIV COVID HARDSHIP GRANT EL CENTRO HISPANO INC 2000 CHAPEL HILL RD 26A DURHAM NC 27707 562011661 501(C)(3) 43000 DUKE UNIV COVID HARDSHIP GRANT EL FUTURO INC 2020 E CHAPEL HILL ROAD SUITE DURHAM NC 27707 800122334 501(C)(3) 8508 GENERAL SUPPPORT EMILY KRZYZEWSKI FAMILY LIFE CTR 904 W CHAPEL HILL ST DURHAM NC 27701 562230469 501(C)(3) 228500 DUKE UNIV COVID HARDSHIP GRANT FAMILIES MOVING FORWARD 300 N QUEEN ST DURHAM NC 27701 561633998 501(C)(3) 45000 DUKE UNIV COVID HARDSHIP GRANT FAMILY HEALTH MINISTRIES INC PO BOX 16783 CHAPEL HILL NC 27516 562206165 501(C)(3) 7500 GENERAL SUPPPORT FARMER FOODSHARE INC 902 N MANGUM ST DURHAM NC 27701 273717889 501(C)(3) 7500 944 FMV FURNITURE/COMPUTER SUPPLIES DUKE UNIV COVID HARDSHIP GRANT FOOD INSIGHT GROUP LLC 106 DRAYTON CT CHAPEL HILL NC 27516 814318100 24000 GENERAL SUPPPORT FUND FOR RECONCILIATION TOLERA 22457 VENIDO RD WOODLAND HILLS CA 91364 270955844 501(C)(3) 117100 GENERAL SUPPPORT GLOBAL GENOMIC MEDICINE COLLAB 101 SCIENCE DR CIEMAS RM 2111 DURHAM NC 27708 813079744 501(C)(3) 10000 GENERAL SUPPPORT GOD 1ST PEOPLE 2ND 953 E MAIN ST DURHAM NC 27701 201412180 501(C)(3) 0 167971 FMV FURNITURE/OFFICE SUPPLIES GENERAL SUPPPORT HABITAT FOR HUMANITY OF DURHAM 215 N CHURCH ST DURHAM NC 27701 581674794 501(C)(3) 225000 372 FMV FURNITURE DUKE UNIV COVID HARDSHIP GRANT HARVEST HANDS COMMUNITY DEVELOPMENT 155-B OLD HERMITAGE AVE NASHVILLE TN 37210 260614081 501(C)(3) 10000 GENERAL SUPPPORT HELIUS FOUNDATION 2208 COLLIER DR DURHAM NC 27707 474482327 501(C)(3) 7500 GENERAL SUPPPORT IMMACULATE CONCEPTION CATHOLIC CHURCH 716A BIRCH AVE DURHAM NC 27701 530196617 501(C)(3) 0 14578 FMV FURNITURE GENERAL SUPPPORT KENAN-FLAGLER BUSINESS SCHOOL 300 KENAN CTR DR CB 3440 CHAPEL HILL NC 27599 560771850 501(C)(3) 10000 GENERAL SUPPPORT KRAMDEN INSTITUTE 4915 PROSPECTUS DR DURHAM NC 27713 743108814 501(C)(3) 0 83250 FMV COMPUTER GENERAL SUPPPORT LATINO COMMUNITY DEVELOPMENT C 100 W MORGAN ST DURHAM NC 27701 820551614 501(C)(3) 75000 DUKE UNIV COVID HARDSHIP GRANT LAUNCHBIO INC 10210 CAMPUS POINT DR 150 SAN DIEGO CA 92121 474851964 501(C)(3) 10000 GENERAL SUPPPORT LEUKEMIA & LYMPHOMA SOCIETY 401 HARRISON OAKS BLVD SUITE 2 CARY NC 27513 135644916 501(C)(3) 15000 GENERAL SUPPPORT LGBTQ CENTER OF DURHAM INC 114 HUNT STREET DURHAM NC 27701 271277498 501(C)(3) 5000 1156 FMV FURNITURE/OFFICE SUPPLIES DUKE UNIV COVID HARDSHIP GRANT LIFE SKILLS FOUNDATION PO BOX 51129 DURHAM NC 27712 203676000 501(C)(3) 10000 DUKE UNIV COVID HARDSHIP GRANT MAGNOLIA HOUSE FOUNDATION PO BOX 36504 GREENSBORO NC 27416 311613173 501(C)(3) 0 8000 FMV TRACTOR GENERAL SUPPPORT MEALS ON WHEELS OF DURHAM INC 2522 ROSS RD DURHAM NC 27703 561729111 501(C)(3) 82881 DUKE UNIV COVID HARDSHIP GRANT NC ALBERT SCHWEITZER FELLOWSHIP PO BOX 1636 DAVIDSON NC 28036 822682491 501(C)(3) 22000 GENERAL SUPPPORT NC LUNG CANCER PARTNERSHIP 4000 BLUE RIDGE RD SUITE 170 RALEIGH NC 27612 262300885 501(C)(3) 7500 GENERAL SUPPPORT NC STATE UNIVERSITY CAMPUS BOX 7203 RALEIGH NC 276957203 566000756 GOV'T ENTITY 25000 GENERAL SUPPPORT NEHEMIAH CHRISTIAN CTR CHURCH 514 NORTH MANGUM STREET DURHAM NC 27701 561943711 501(C)(3) 5300 DUKE UNIV COVID HARDSHIP GRANT OCCONEECHEE COUNCIL BOY SCOUTS 3231 ATLANTIC AVE RALEIGH NC 27604 560529984 501(C)(3) 10000 GENERAL SUPPPORT PARTNERS FOR YOUTH OPPORTUNITY 1309 HALLEY ST DURHAM NC 27707 352206640 501(C)(3) 61217 DUKE UNIV COVID HARDSHIP GRANT PIEDMONT WILDLIFE CENTER 364 LEIGH FARM ROAD DURHAM NC 27707 470890261 501(C)(3) 4500 885 FMV FURNITURE/OFFICE SUPPLIES GENERAL SUPPPORT PORCH-DURHAM PO BOX 3203 DURHAM NC 27715 451606894 501(C)(3) 8843 DUKE UNIV COVID HARDSHIP GRANT PRESBYTERY OF BALTIMORE 5400 LOCH RAVEN BLVD BALTIMORE MD 21239 520615911 501(C)(3) 10000 GENERAL SUPPPORT PRETTY IN PINK FOUNDATION INC 5171 GLENWOOD AVE 360 RALEIGH NC 27612 201162702 501(C)(3) 10000 GENERAL SUPPPORT REACHING ALL MINDS ACADEMY 2703 HOLLOWAY ST DURHAM NC 27703 300707967 501(C)(3) 0 6394 FMV FURNITURE/OFFICE SUPPLIES GENERAL SUPPPORT REBOUND 811 NINTH ST 120 BOX 210 DURHAM NC 27705 462746995 501(C)(3) 7000 GENERAL SUPPPORT RESCUE MISSIONS MINISTRIES INC PO BOX 11368 DURHAM NC 27703 581482590 501(C)(3) 5110 DUKE UNIV COVID HARDSHIP GRANT RONALD MCDONALD HOUSE OF DURHAM 506 ALEXANDER AVE DURHAM NC 27705 561220376 501(C)(3) 7500 DUKE UNIV COVID HARDSHIP GRANT SANKOFA FARMS LLC 1023 BENGEL DR DURHAM NC 27703 474004999 25000 GENERAL SUPPPORT SECOND CHANCE OUTREACH EQUIPPING CENTER 300 LAKESIDE DR APT C HILLSBOROUGH NC 27278 263511708 501(C)(3) 0 19559 FMV FURNITURE/OFFICE SUPPLIES GENERAL SUPPPORT SENIOR PHARMASSIST INC 406 RIGSBEE AVE STE 201 DURHAM NC 277012186 562084639 501(C)(3) 56000 DUKE UNIV COVID HARDSHIP GRANT SHAW UNIVERSITY 118 E SOUTH ST RALEIGH NC 27611 560530235 501(C)(3) 0 7622 FMV FURNITURE/OFFICE SUPPLIES GENERAL SUPPPORT STANDUP SPEAK OUT OF NC PO BOX 71532 DURHAM NC 27722 272331305 501(C)(3) 5675 10 FMV OFFICE SUPPLIES DUKE UNIV COVID HARDSHIP GRANT STEPUP DURHAM 112 BROADWAY ST SUITE B DURHAM NC 27701 474578727 501(C)(3) 7500 GENERAL SUPPPORT STUDENT U 600 E UMSTEAD ST DURHAM NC 27701 273460491 501(C)(3) 46167 DUKE UNIV COVID HARDSHIP GRANT SWINGPAL INC PO BOX 2994 DURHAM NC 27701 274234469 501(C)(3) 40000 DUKE UNIV COVID HARDSHIP GRANT TRIANGLE COMMUNITY FOUNDATION 6214 CABIN BRANCH DR DURHAM NC 27712 561390796 501(C)(3) 76500 DUKE UNIV COVID HARDSHIP GRANT TROSA INC 1820 JAMES ST DURHAM NC 277072024 561861158 501(C)(3) 60200 DUKE UNIV COVID HARDSHIP GRANT UNITED CHURCH OF CHAPEL HILL 1321 MLK JR BLVD CHAPEL HILL NC 27514 560892821 501(C)(3) 67000 DUKE UNIV COVID HARDSHIP GRANT UNITED METHODIST COMMITTEE PO BOX 9068 NEW YORK NY 10116 135562279 501(C)(3) 10000 GENERAL SUPPPORT UNITED WAY OF THE GREATER TRIANGLE PO BOX 110583 DURHAM NC 27709 561949103 501(C)(3) 12731 GENERAL SUPPPORT URBAN MINISTRIES OF DURHAM INC PO BOX 249 DURHAM NC 27702 581505891 501(C)(3) 9393 DUKE UNIV COVID HARDSHIP GRANT WALLTOWN CHILDRENS THEATRE 1225 BERKLEY ST DURHAM NC 27705 562214825 501(C)(3) 17167 GENERAL SUPPPORT WALLTOWN NEIGHBORHOOD MINISTRIES 917 ONSLOW ST DURHAM NC 27705 562157465 501(C)(3) 8500 DUKE UNIV COVID HARDSHIP GRANT WEST END COMMUNITY FOUNDATION PO BOX 51398 DURHAM NC 277171398 561858174 501(C)(3) 67774 DUKE UNIV COVID HARDSHIP GRANT WORLD RELIEF DURHAM 801 GILBERT ST 209 DURHAM NC 27701 236393344 501(C)(3) 12000 GENERAL SUPPPORT YMCA OF THE TRIANGLE INC 218 W MORGAN ST DURHAM NC 27701 560591307 501(C)(3) 45000 DUKE UNIV COVID HARDSHIP GRANT YOUTH VILLAGES 1822 E NC HWY 54 300 DURHAM NC 27713 581716970 501(C)(3) 30000 DUKE UNIV COVID HARDSHIP GRANT 88 4 FELLOWSHIP/SCHOLARSHIP 6 48750 FINANCIAL ASSISTANCE 3 6115 FOOTBALL AWARD 15 34944 GPSC AWARD 39 11850 INTERNSHIP ASSISTANCE AWARD 14 62975 CHAVI POSTER AWARD 2 309 RESEARCH AWARD 25 48550 SPELLING BEE AWARD 1 1500 STUDENT AWARD 216 195330 DUKE UNIV STUDENT HARDSHIP GRANT 3104 4356730 TEACHING AWARD 9 6750 GRADUATE ATHLETIC SCHOLARSHIPS 17 995952 UNDERGRADUATE ATHLETIC SCHOLARSHIPS 544 29967603 INTERNSHIP STIPENDS 549 1871695 GRADUATE STIPENDS 1667 23789069 POST DOCTORAL STIPENDS 43 631460 PRE-DOCTORAL STIPENDS 1114 9822716 UNDERGRADUATE STIPENDS 1066 5202935 MISC. SCHOLARSHIPS & STIPENDS 9383 265057329 SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE, A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT. X X X X X 1 1 X X X X X X 0 1 0 0 0 0 0 0 0 MICHAEL W KRZYZEWSKI COACH 3271362 0 1375000 0 1684734 0 991388 0 31012 0 7353496 0 1252368 0 NEAL TRIPLETT CHIEF INVESTMENT OFFICER 708235 0 2332530 0 19000 0 34176 0 19330 0 3113271 0 0 0 DAVID N CUTCLIFFE COACH 2420122 0 400000 0 28115 0 34176 0 74588 0 2957001 0 0 0 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 1360501 0 1175800 0 19000 0 134176 0 17554 0 2707031 0 0 0 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 1301771 0 1000000 0 32250 0 100842 0 18421 0 2453284 0 1000000 0 VINCENT PRICE PRESIDENT/TRUSTEE 1445217 0 0 0 19000 0 34176 0 21597 0 1519990 0 0 0 EVAN L JONES INVESTMENT MANAGER 347095 0 648080 0 161200 0 242326 0 60366 0 1459067 0 142200 0 JOANNE MCCALLIE COACH 1244913 0 75000 0 27750 0 34176 0 63168 0 1445007 0 0 0 RALPH SNYDERMAN CHANCELLOR EMERITUS & CHIEF OF RHEUM 1270343 0 0 0 18330 0 34176 0 20179 0 1343028 0 0 0 JUSTIN B NIXON INVESTMENT MANAGER 367338 0 527188 0 118500 0 221226 0 18669 0 1252921 0 118500 0 MARY E KLOTMAN MD V. CHAN HEALTH AFF & DEAN OF SOM 721080 0 412601 0 19000 0 34176 0 16375 0 1203232 0 0 0 MARK CORIGLIANO INVESTMENT MANAGER 300385 0 490052 0 82990 0 176191 0 15321 0 1064939 0 63990 0 TALLMAN TRASK III EXECUTIVE VICE PRESIDENT 913639 0 0 0 19000 0 34176 0 19410 0 986225 0 0 0 SALLY KORNBLUTH PROVOST 746517 0 0 0 19000 0 34176 0 13315 0 813008 0 0 0 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN., SOM 440835 0 285604 0 19000 0 34176 0 24484 0 804099 0 0 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 636843 0 0 0 19000 0 34176 0 20422 0 710441 0 0 0 JENNIFER FRANCIS EXECUTIVE VICE PROVOST FIN & ADMIN 537634 0 76125 0 0 0 34176 0 14376 0 662311 0 0 0 RICHARD H BRODHEAD FORMER OFFICER 554078 0 0 0 11083 0 34176 0 23087 0 622424 0 0 0 VALERIE ASHBY DEAN, COLLEGE OF ARTS & SCIENCES 574782 0 0 0 0 0 34176 0 7934 0 616892 0 0 0 RICHARD VERNON RIDDELL JR VP & UNIVERSITY SECRETARY 491267 0 0 0 19000 0 34176 0 15038 0 559481 0 0 0 TIMOTHY W WALSH TREASURER & VP OF FINANCE 506893 0 0 0 0 0 34176 0 15989 0 557058 0 0 0 NANCY ANDREWS MD FORMER KEY EMPLOYEE 374665 0 48137 0 19000 0 34176 0 25573 0 501551 0 0 0 ERIC PETERSON MD FORMER KEY EMPLOYEE 410960 0 15000 0 19000 0 34176 0 16899 0 496035 0 0 0 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 403729 0 510 0 18000 0 34176 0 26556 0 482971 0 0 0 ROBERT M CALIFF MD FORMER KEY EMPLOYEE 338863 0 0 0 0 0 34176 0 17859 0 390898 0 0 0 JAMES S ROBERTS FORMER KEY EMPLOYEE 267112 0 0 0 0 0 32740 0 6356 0 306208 0 0 0 PART I, LINE 1A CHARTER TRAVEL MICHAEL W. KRZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. VINCENT E. PRICE, A. EUGENE WASHINGTON, MD, TALLMAN TRASK III , RICHARD RIDDELL, SALLY KORNBLUTH AND RALPH SNYDERMAN USED FIRST CLASS OR CHARTER TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS COMPANIONS HAVE TRAVELED WITH VINCENT E. PRICE, MICHAEL W. KRZYZEWSKI, AND A. EUGENE WASHINGTON, MD. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. RESIDENCE FOR PERSONAL USE VINCENT E. PRICE AND A. EUGENE WASHINGTON, MD WERE PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITIES USED BY THE UNIVERSITY'S PRESIDENT AND CHANCELLOR. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THE FACILITIES ARE USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. CLUB DUES DAVID N. CUTCLIFFE, RICHARD RIDDELL AND JAMES SCOTT GIBSON WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: MARK E. CORIGLIANO $63,990, EVAN L. JONES $142,200, JUSTIN B. NIXON $118,500, KEVIN M. WHITE $1,000,000, AND MICHAEL W. KRZYZEWSKI $1,610,000. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GLE6 2016-11-03 380642978 SEE PART VI 0 0 0 B NC CAPITAL FACILITIES FINANCE AGENCY 561592154 99VARIOUS 2018-06-27 472535000 SEE PART VI 0 0 0 A 380642978 378939046 1703932 2008 1 0 1 1 B 33860000 33860000 2015 1 0 0 1 A 0 0 1 1 1 1 0.00100 0.00000 0.00100 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 0 0 0 0 0 1 A 1 B 1 FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND BOND ISSUE (B): FORM 8038 LISTS THE CUSIP NUMBERS AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 6/27/2018 AND CUSIPS 65818WHL1, 65818X4L3, AND 65818WHK3 WERE OUTSTANDING AS OF 6/30/2020 UNDER THE NEW ISSUE. FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (B): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($472,535,000) AND FIRST GENERATION CURRENT REFUNDING COMMERCIAL PAPER NOTES ($33,860,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. FORM 990, SCHEDULE K, PART 1(F) DESCRIPTION OF PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND A PORTION OF THE 2006A BONDS ISSUED 11/02/2016, (2) A PORTION OF THE 2006B BONDS ISSUED 01/09/2007. BOND ISSUE (B): COMMERCIAL PAPER PROGRAM, THE PURPOSE OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 07/16/2014 AND (2) FINANCE PROJECTS ON THE WEST, EAST AND CENTRAL CAMPUS OF DUKE UNIVERSITY. FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2 BOND ISSUE (A) - 11/01/2019 BOND ISSUE (B): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED DEBORAH JAKUBS SEE PART V 346100 SEE PART V 0 BERNARD MATHEY-PREVOT SEE PART V 40000 SEE PART V 0 MOLLY M WALSH SEE PART V 25000 SEE PART V 0 JAMES MATTHEW GIBSON SEE PART V 56757 SEE PART V 0 TREVOR PRICE SEE PART V 61245 SEE PART V 0 SHARON E CALIFF SEE PART V 109550 SEE PART V 0 DANIEL LEW SEE PART V 218693 SEE PART V 0 LAURA STANLEY PIETROSIMONE SEE PART V 107625 SEE PART V 0 SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF INTERESTED PERSON: DEBORAH JAKUBS(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DEBORAH JAKUBS IS A FAMILY MEMBER OF A DUKE UNIVERSITY FORMER KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $346,100(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: BERNARD MATHEY-PREVOT(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: BERNARD MATHEY-PREVOT IS A FAMILY MEMBER OF A DUKE UNIVERSITY FORMER KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $40,000(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: MOLLY M WALSH(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: MOLLY M WALSH IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $25,000(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: JAMES MATTHEW GIBSON(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JAMES MATTHEW GIBSON IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $56,757(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: TREVOR PRICE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: TREVOR PRICE IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $61,245(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: SHARON E. CALIFF(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: SHARON E. CALIFF IS A FAMILY MEMBER OF A DUKE UNIVERSITY FORMER KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $109,550(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON:DANIEL LEW(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DANIEL LEW IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $218,693(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: LAURA STANLEY PIETROSIMONE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: LAURA STANLEY PIETROSIMONE IS A FAMILY MEMBER OF A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $107,625(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO X 19 779169 VARIOUS X 173136 VARIOUS X 25400 FMV X 719 28793930 MARKET QUOTE X 3 630500 FMV X 227 8526 FMV X EVENT TICKETS 3271 901439 FMV/FACE VALUE X MISCELLANEOUS 150 78160 VARIOUS X EQUIPMENT 1 15243 VARIOUS 13 0 1 1 PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION "JAMES B. DUKE'S FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION; AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO." FORM 990, PART VI, SECTION A, LINE 4 THE ORGANIZATION MADE ONE SIGNIFICANT CHANGE TO THE BY-LAWS. IT CLARIFIED THAT THE BOARD MAY ELECT UP TO THREE CURRENT STUDENTS OR RECENT GRADUATES AS TRUSTEES AND ONE OF THE NOMINATED FOR ELECTION BY THE GRADUATES OF THE UNIVERSITY MAY BE AN OFFICER OF THE DUKE UNIVERSITY ALUMNI ASSOCIATION. FORM 990, PART VI, SECTION A, LINE 7A GRADUATES OF DUKE UNIVERSITY HAVE THE RIGHT TO ELECT TWELVE TRUSTEES TO SERVE ON THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT, RISK & COMPLIANCE COMMITTEE OF THE UNIVERSITY TRUSTEES. AT THE MEETING, THE DUKE UNIVERSITY TAX SENIOR DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, IS AVAILABLE FOR QUESTIONS FROM THE COMMITTEE. NOT ONLY IS THE COMMITTEE OFFERED AN OPPORTUNITY TO ASK QUESTIONS AT THE MEETING, BUT ALSO ANYTIME THEREAFTER BY CONTACTING THE TAX SENIOR DIRECTOR OR DUKE UNIVERSITY'S TAX ATTORNEY, WHO IS ALSO INVOLVED WITH THE PREPARATION OF DUKE UNIVERSITY'S FORM 990. SUBSEQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX SENIOR DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER. FORM 990, PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY. FORM 990, PART VI, SECTION B, LINE 15 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING. FORM 990, PART VI, SECTION C, LINE 18 IN ADDITION TO PROVIDING THE ORGANIZATION'S FORM 990 UPON REQUEST, THE ORGANIZATION'S FORM 990 IS AVAILABLE TO THE PUBLIC ON SEVERAL THIRD PARTY WEBSITES. WHILE THE ORGANIZATION DOES NOT PROVIDE THE FORM 990 DIRECTLY TO THESE THIRD PARTIES, THE FORM 990 IS OBTAINED FROM THE INTERNAL REVENUE SERVICE. THE THIRD PARTIES SUBSEQUENTLY AND INDEPENDENTLY PROVIDE ACCESS TO THE FORM 990 ON THEIR PLATFORM. FORM 990, PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS ORGANIZING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://RESOURCES.FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS2019-20. PDF (WEBLINK MUST BE INPUT IN ALL LOWER CASE LETTERS). FORM 990, PART XI, LINE 9: CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS -30,831,957. TRANSFER FROM DUHS 109,790,741. NONPERIODIC CHANGE -205,840,529. OTHER CHANGES -40,537,751. DUKE UK TRUST LIMITED 19 NORCOTT ROAD LONDON UK N167EJ 980555714 DEVELOPMENT UK 2171268 233303 DUKE UNIVERSITY AMER ASSOC FOR GIFTED CHILDREN - 56-1686219 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 ANGIER B DUKE MEMORIAL INC 100 NORTH TRYON STREET CHARLOTTE NC 28202 136113895 SCHOLARSHIPS NC 501(C)(3) 12 TYPE III-O DUKE ENDOWMENT 0 ASSOCIATED HEALTH SVCS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561845329 HEALTHCARE NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 ATLANTIC COAST CONFERENCE PO DRAWER ACC GREENSBORO NC 27417 560599082 ATHLETIC NC 501(C)(3) 12 TYPE 1 N/A 0 C A CANNON CHAR TRUST NO 3 1525 W WT HARRIS BLVD D1114 CHARLOTTE NC 28288 581360259 SUPPORT NC 501(C)(3) 12 TYPE III-O N/A 0 DAVID H MURDOCK RESEARCH INSTITUTE 150 RESEARCH CAMPUS DR KANNAPOLIS NC 28081 208730759 RESEARCH NC 501(C)(3) 12 TYPE 1 N/A 0 DU SPECIAL VENTURES FUND INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 561465177 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE ALUMNI ASSOCIATION INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561594088 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE CORPORATE EDUCATION 310 BLACKWELL ST DURHAM NC 27701 421672476 EDUCATION NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE GIFT PROPERTIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211078 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE GLOBAL INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 611588319 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE HOSPITAL AUXILIARY INC PO BOX 2895 DURHAM NC 27710 561825604 SUPPORT NC 501(C)(3) 12 TYPE III-O N/A 0 DUKE MEDICINE GLOBAL SUPP CORP- 61-1593721 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE SCHOLARLY EXHIBITS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561701245 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV AFFILIATED PHYSICIANS 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561902501 HEALTHCARE NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE UNIV PHILANTHROPIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211099 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV SCH OF MED RESEARCH FDN 56-2247203 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIVERSITY HEALTH SYSTEM INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 562070036 HEALTHCARE NC 501(C)(3) LINE 3 DUKE UNIVERSITY 1 DUMAC INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 900754895 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DURHAM ASSET MGMT COMPANY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561757238 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 DURHAM REALTY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917936 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 GOTHIC CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 561776668 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 GOTHIC HSP CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 271325761 INVESTMENTS NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 HIGH POINT REALTY ASSOCIATES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917939 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 INNOVATIONS IN HEALTHCARE INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 320358709 SUPPORT NC 501(C)(3) 12 TYPE 1 DUKE UNIVERSITY 1 KATHRINE R EVERETT CHARITABLE PO BOX 3001 DURHAM NC 27715 566473809 SUPPORT NC 501(C)(3) 12 TYPE 1 N/A 0 NANALINE H DUKE TRUST 100 NORTH TRYON STREET CHARLOTTE NC 28202 237270511 MED. 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