2021-07-14T10:00:33-05:00 2020-08-31 135565207 KPMG LLP 200 EAST RANDOLPH STREET Chicago IL 60601 990 2019-09-01 362167817 Northwestern University NORT 8474913741 633 Clark St Evanston IL 60208 Amanda J Distel Sr Assoc VP for Finance, Treasurer 2021-07-14 true Tara D'Agostino P01245482 3126651000 2019 2022-09-23 18:48:47Z Craig Johnson 633 Clark St Evanston IL 60208 4618198957 false X www.northwestern.edu X 1851 IL Education and research 41 39 25657 159 -20507243 0 351726297 361701672 2132184338 2145444115 659790279 639325234 -35403806 -5943693 3108297108 3140527328 562929667 608037936 0 1439158601 1455807659 319916 230296 61923102 1026748410 949117948 3029156594 3013193839 79140514 127333489 15193337485 15846964843 3165414208 3384325428 12027923277 12462639415 Northwestern's mission is to provide the highest-quality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises. false false 2030836896 486293464 1391685256 EDUCATION OF STUDENTS: FOR THE 2020 ACADEMIC YEAR, 8,054 UNDERGRADUATES AND 9,682 GRADUATES AND PROFESSIONAL SCHOOL STUDENTS ENROLLED FULL-TIME AT THE UNIVERSITY. THE EXEMPT PURPOSE OF NORTHWESTERN UNIVERSITY IS TO PROVIDE EDUCATIONAL SERVICES TO ITS STUDENTS. THIS INCLUDES SUPERIOR UNDERGRADUATE EDUCATION FOR A DIVERSE STUDENT BODY IN A COMPREHENSIVE RANGE OF ACADEMIC AND PROFESSIONAL FIELDS. AT THE GRADUATE LEVEL, NORTHWESTERN'S ROLE ENCOMPASSES OFFERINGS IN THE MAJOR ACADEMIC AND PROFESSIONAL FIELDS, CLOSELY RELATED TO RESEARCH, CREATIVE ACTIVITIES, AND CLINICAL SERVICES. 549636000 121744472 687995677 RESEARCH ACTIVITIES: THE RESEARCH PROGRAM AT NORTHWESTERN UNIVERSITY IS A MAJOR COMPONENT OF UNIVERSITY EFFORTS, ASSURING INSTITUTIONAL LEADERSHIP IN SCIENTIFIC DISCOVERY, INTELLECTUAL INQUIRY, AND CREATIVE PERFORMANCE. THE CHARACTER OF THIS RESEARCH SHAPES ALL AREAS OF UNIVERSITY ENDEAVOR, ESPECIALLY GRADUATE EDUCATION AS WELL AS UNDERGRADUATE STUDIES. 140005006 69658185 AUXILIARY ENTERPRISES SERVE THE EDUCATIONAL MISSION BY PRIMARILY PROVIDING RESIDENCES AND FOOD SERVICES, AND OTHER VARIOUS GOODS AND SERVICES TO SUPPORT UNIVERSITY STUDENT, FACULTY, AND STAFF ACTIVITIES. 2720477902 true true false true true false true true true true true false false true true false true true true true true true true true false false true true true true false false false false false true true false true true true true false false true true true true false false true X 24091 0 true 25657 true true true true QA UK false false false true true false false false false false false false true true X 41 39 true false false false false false false true true false false true true true true true true true false true false CA MD MA MI NH OR SC X Nicole Van Laan Controller 8474914722 619 Clark St Evanston IL 60208 A Steven Crown Trustee 1.0 X 0 0 0 Adam Karr Trustee 1.0 X 0 0 0 Andrew E Senyei MD Trustee 1.0 X 0 0 0 Charles A Tribbett III Trustee 1.0 X 0 0 0 Christine E Brennan Trustee 1.0 X 0 0 0 Christopher B Galvin Trustee 1.0 X 0 0 0 D Cameron Findlay Trustee 1.0 X 0 0 0 David A Sachs Trustee 1.0 X 0 0 0 David B Weinberg Trustee 1.0 X 0 0 0 Deborah L DeHaas Trustee 1.0 X 0 0 0 Dennis J FitzSimons Trustee 1.0 X 0 0 0 E Scott Santi Trustee 1.0 X 0 0 0 Ellen Kullman Trustee 1.0 X 0 0 0 Frederick H Waddell Trustee 1.0 X 0 0 0 Gwenn E Shotwell Trustee 1.0 X 0 0 0 H Patrick Hackett Jr Trustee 1.0 X 0 0 0 Harreld N Kirkpatrick III Trustee 1.0 X 0 0 0 J Landis Martin Trustee 1.0 X 0 0 0 James A DeNaut Trustee 1.0 X 0 0 0 Jane DiRenzo Pigott Trustee 1.0 X 0 0 0 Jay C Hoag Trustee 1.0 X 0 0 0 Jeffrey W Ubben Trustee 1.0 X 0 0 0 Kimberly Querrey Trustee 1.0 X 0 0 0 Lynn Hopton Davis Trustee 1.0 X 0 0 0 M Jude Reyes Trustee 1.0 X 0 0 0 Michael S Shannon Trustee 1.0 X 0 0 0 Miles D White Trustee 1.0 X 0 0 0 Milton M Morris Trustee 1.0 X 0 0 0 Muneer A Satter Trustee 1.0 X 0 0 0 Nancy Trienens Kaehler Trustee 1.0 X 0 0 0 Patrick G Ryan Jr Trustee 1.0 X 0 0 0 Paul Schneider Trustee 1.0 X 0 0 0 Paula Pretlow Trustee 1.0 X 0 0 0 Peter J Barris Trustee 1.0 X 0 0 0 Purnima Puri Trustee 1.0 X 0 0 0 Steven Cahillane Trustee 1.0 X 0 0 0 T Bondurant French Trustee 1.0 X 0 0 0 Timothy P Sullivan Trustee 1.0 X 0 0 0 Virginia Rometty Trustee 1.0 X 0 0 0 Wendy M Nelson Trustee 1.0 X 0 0 0 William A Osborn Trustee 1.0 X 0 0 0 Alex Darragh VP for Facilities Management 40.0 X 606088 0 373 Craig A Johnson Senior Vice President 40.0 X 1251525 0 84315 Devora Grynspan VP International Relations 40.0 X 248775 0 35681 Eric G Neilson VP Medical Affairs 30.0 X 612833 0 24809 James J Phillips VP Athletics 40.0 X 1874717 0 343902 Jeri Ward VP Global Marketing 40.0 X 496842 0 21435 Jonathan Holloway Provost 40.0 X 803879 0 147832 Joseph T Walsh Jr VP for Research 40.0 X 410906 0 102352 Julie Payne-Kirchmeier VP for Student Affairs 40.0 X 302260 0 29353 Kathleen M Hagerty Provost 40.0 X 559481 0 31298 Manuel Cuevas-Trisan VP for Human Resources 40.0 X 1534 0 0 Marilyn McCoy VP Administration & Planning 40.0 X 481208 0 52641 Milan Mrksich VP Research 40.0 X 506245 0 39646 Morton O Schapiro President 40.0 X 1710877 0 599580 Paul Castellucci VP Budget and Planning 40.0 X 438240 0 28746 Priya Harjani Interim VP for Human Resources 40.0 X 485223 0 26709 Robert E McQuinn VP for Development 40.0 X 957476 0 243938 Sean Reynolds VP and Chief Information Officer 40.0 X 531703 0 36114 Stephanie Graham VP General Counsel 40.0 X 688390 0 121992 William H McLean VP and Chief Investment Officer 40.0 X 1459355 0 432428 Chad A Mirkin Professor, Chemistry 40.0 X 1255388 0 180802 Christopher R Collins Head Coach 40.0 X 3201770 0 60755 Florian Zettelmeyer Professor, Kellogg 40.0 X 1584377 0 36114 Maciej S Lesniak Professor, Neurological Surgery 35.0 X 1596123 0 28746 Patrick W Fitzgerald II Head Coach 40.0 X 5687201 0 60978 Alan Cubbage Former VP University Relations 0.0 X 290282 0 10712 Ingrid S Stafford Former VP for Financial Operations 40.0 X 279412 0 27588 Pamela S Beemer Former VP for Human Resources 0.0 X 437606 0 32750 Patricia Telles-Irvin Deceased former VP Student Aff 0.0 X 303561 0 25263 Philip L Harris Former VP General Counsel 0.0 X 1366650 0 1596 30429927 0 2868448 3597 true true true THE FAMILY INSTITUTE 618 Library Pl Evanston IL 60201 Instruction services 25109213 NORTHWESTERN MEMORIAL HOSPITAL 251 East Huron Chicago IL 60611 Clinical services 4199594 ALLIED UNIVERSAL SECURITY SERVICES 161 Washington St Conshohocken PA 19428 Security services 2875578 THE FREE ENTERPRISE SYSTEM INC One Sodrel Drive Jeffersonville IN 47130 Transportation services 2616926 LSVAsset Management 155 North Wacker Drive Chicago IL 60606 Investment services 1788630 400 2409853 31126288 328165531 25954565 361701672 Tuition and fees 611310 1174043519 1174043519 Research activities 611310 687995677 687995677 Educational activities 611310 155254080 155254080 Auxiliary enterprises 611310 45969378 45969378 Medical activities 611310 69658185 69658185 12523276 12523276 0 0 2145444115 56312977 5935008 50377969 14234018 1481846 12752172 2272282 494715 1777567 0 1777567 1777567 741938844 1318006176 689442321 787490442 52496523 530515734 583012257 -2040005 585052262 277962 2409853 244151 33811 33811 Investment in LPs 523920 -28219122 -28219122 Parking facilities 812930 3436697 3436697 Scientific services/rental 541990 2563912 2563912 229424 0 229424 0 -21989089 3140527328 2149339118 -20507243 649993781 90618184 90618184 510318198 510318198 7101554 7101554 15733697 6223922 8562607 947168 1261408 1261408 1168002080 1090749878 40003204 37248998 64950565 59527331 2918803 2504431 134459286 123160882 6080840 5217564 71400623 65525453 3162037 2713133 4936563 4936563 1405010 0 1405010 235657 235657 230296 230296 43212619 43212619 225795298 220031377 2820677 2943244 19107144 14004675 611923 4490546 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-406992 X false true X true true true X 457650977 395669600 373724245 351726297 361701672 1940472791 0 0 457650977 395669600 373724245 351726297 361701672 1940472791 429764678 1510708113 133633283 98384535 90325158 84991257 65402423 472736656 0 0 0 0 0 0 1370565 1386550 789898 579376 277962 4404351 2417613798 9975889272 0.6249 0.5614 X Schedule A, Part II, Line 10 Other Income DESCRIPTION - FUNDRAISING, COLUMN A - 1370565.0, COLUMN B - 1386550.0, COLUMN C - 789898.0, COLUMN D - 579376.0, COLUMN E - 277962.0, COLUMN F - 4404351.0; RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 441311 441311 3011284977 3011726288 1000000 0 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 545895 672552 628789 441311 2288547 250000 250000 250000 250000 1000000 1500000 0 0 0 0 0 2 1 497419 0 275000 0 7452183 3329263 true true X X X X false false true X 8244818000 152023000 474583000 65785231 320932769 8484706000 8386918000 81883000 144332000 62062353 306252647 8244818000 7947574000 142330000 666151000 59278629 309858371 8386918000 7478167000 137388000 699060000 57423395 309617605 7947574000 7588029000 210532000 75343000 54569108 341167892 7478167000 0.497 0.503 0.0 false false 31036168 31036168 4596786390 1591205372 3005581018 43970450 27357317 16613133 703454166 497990981 205463185 3258693504 3262870866 F Equity, fixed income, real assets, etc 6415463813 F 9678334679 2735632 Deposits payable, actuarial liability of annuities payable 167113339 Government advances for student loans 9124759 Asset retirement obligations 3594716 Taxable bonds - series 2012 199147303 Taxable bonds - series 2013 553780721 Taxable bonds - series 2015 497517655 Taxable bonds - series 2017 497606679 Other debt payable - lines of credit 380000000 Taxable bonds - series 2020 298524458 2609145262 X Schedule D, Part III, Line 1a ART COLLECTIONS EXPLANATION: THE UNIVERSITY DOES NOT CAPITALIZE COLLECTIONS. AS STATED IN THE UNIVERSITY NOTES TO THE FINANCIAL STATEMENTS, THE ACCOUNTING POLICY FOR LIBRARY COLLECTIONS IS TO EXPENSE ALL PURCHASES. MUSEUM PURCHASES ARE ACCOUNTED FOR SIMILARLY. GIFTS OF ART AND SIMILAR TANGIBLE PERSONAL PROPERTY ARE ACCOUNTED FOR AS GIFTS-IN-KIND. Schedule D, Part X LINE 1(4) - ASSET RETIREMENT OBLIGATIONS THE UNIVERSITY RECORDS ALL KNOWN ASSET RETIREMENT OBLIGATIONS (ARO) FOR WHICH THE FAIR VALUE OF THE LIABILITY CAN BE REASONABLY ESTIMATED, INCLUDING CERTAIN OBLIGATIONS RELATING TO REGULATORY REMEDIATION. ARO COVERED INCLUDE THOSE FOR WHICH AN ENTITY HAS A LEGAL OBLIGATION TO PERFORM AN ASSET RETIREMENT ACTIVITY; HOWEVER, THE TIMING AND/OR METHOD OF SETTLING THE OBLIGATION ARE CONDITIONAL ON A FUTURE EVENT THAT MAY OR MAY NOT BE WITHIN THE CONTROL OF THE ENTITY. Schedule D, Part III, Line 4 Collections of art - description of collections The Mary and Leigh Block Museum of Art, Northwestern University is committed to the development of a focused collection of works on paper with particular emphasis upon historical and contemporary prints and photographs. The Mary and Leigh Block Museum of Art enriches teaching and learning on the campuses of Northwestern University and in the communities of their surrounding regions by: Presenting art across time, cultures, and media; Convening interdisciplinary discussions in which art is a springboard for exploring issues and ideas; Collecting art that supports the Northwestern University curriculum. Schedule D, Part IV, Line 2b Explanation of escrow agreement The University maintains certain agency funds which it holds as a custodian for student and /or external organizations as an accommodation to those entities. The organizations are then allowed to utilize University systems and resources to process transactions against those funds. Schedule D, Part V, Line 4 Intended uses of endowment funds The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction. Schedule D, Part X, Line 2 FIN 48 (ASC 740) footnote The University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the "more likely than not" standard for sustainability on examination by tax authorities. true true true true true true true false false false false false false false false true false true Schedule E, Part I, Line 3 RACIALLY NONDISCRIMINATORY POLICY Policies are included on the University's publicly accessible homepage, in student, faculty, and staff handbooks, and the student course catalog . Policies are posted on University websites, posted throughout campus including student centers and the admissions office, and distributed to undergraduate students. Schedule E, Part I, Line 6(a) FINANCIAL AID OR ASSISTANCE FROM A GOVERNMENT The University receives financial support from agencies of the federal and state government for research and instructional purposes, including for financial aid to students. Schedule E, Part I, Line 7 RACIAL NONDISCRIMINATION COMPLIANCE NORTHWESTERN UNIVERSITY DOES NOT DISCRIMINATE OR PERMIT DISCRIMINATION BY ANY MEMBER OF ITS COMMUNITY AGAINST ANY INDIVIDUAL ON THE BASIS OF RACE, COLOR, RELIGION, NATIONAL ORIGIN, SEX, PREGNANCY, SEXUAL ORIENTATION, GENDER IDENTITY, GENDER EXPRESSION, PARENTAL STATUS, MARITAL STATUS, AGE, DISABILITY, CITIZENSHIP STATUS, OR VETERAN STATUS, OR GENETIC INFORMATION, OR ANY OTHER CLASSIFICATION PROTECTED BY LAW IN MATTERS OF ADMISSIONS, EMPLOYMENT, HOUSING, OR SERVICES OR IN THE EDUCATIONAL PROGRAMS OR ACTIVITIES IT OPERATES. true Middle East and North Africa 1 242 ,Maintaining offices, employees, or agents International campus in Doha, Qatar for students in journalism and communication 54728532 East Asia and the Pacific 0 0 Grantmaking 274121 Europe (Including Iceland and Greenland) 0 0 Grantmaking 1624911 Middle East and North Africa 0 0 Grantmaking 65805 North America (Canada & Mexico only) 0 0 Grantmaking 650863 South America 0 0 Grantmaking 325864 Sub-Saharan Africa 0 0 Grantmaking 1596044 Europe (Including Iceland and Greenland) 0 0 ,Program-Related Investments 83701 East Asia and the Pacific 0 0 Unrelated Business Activities 30 Europe (Including Iceland and Greenland) 0 0 Unrelated Business Activities 15734 Middle East and North Africa 0 0 Unrelated Business Activities 744 North America (Canada & Mexico only) 0 0 Unrelated Business Activities 60 South America 0 0 Unrelated Business Activities 1597 Sub-Saharan Africa 0 0 Unrelated Business Activities 180 Central America and the Caribbean 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 30594 East Asia and the Pacific 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 968867 Europe (Including Iceland and Greenland) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 1632486 Middle East and North Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 443345 North America (Canada & Mexico only) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 281822 Russia and Neighboring States 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 19320 South America 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 121288 South Asia 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 96991 Sub-Saharan Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 243353 Central America and the Caribbean 0 0 Program Services Study abroad programs and courses abroad 26502 East Asia and the Pacific 0 0 Program Services Study abroad programs and courses abroad 2751664 Europe (Including Iceland and Greenland) 0 0 Program Services Study abroad programs and courses abroad 2963468 Middle East and North Africa 0 0 Program Services Study abroad programs and courses abroad 332802 North America (Canada & Mexico only) 0 0 Program Services Study abroad programs and courses abroad 237236 South America 0 0 Program Services Study abroad programs and courses abroad 229384 South Asia 0 0 Program Services Study abroad programs and courses abroad 7442 Sub-Saharan Africa 0 0 Program Services Study abroad programs and courses abroad 393424 East Asia and the Pacific 0 0 Fundraising 140662 Europe (Including Iceland and Greenland) 0 0 Fundraising 21380 Middle East and North Africa 0 0 Fundraising 7100 North America (Canada & Mexico only) 0 0 Fundraising 11383 Central America and the Caribbean 0 0 Investments 2609320000 Europe (Including Iceland and Greenland) 0 0 Investments 368740000 North America (Canada & Mexico only) 0 0 Investments 92920000 Sub-Saharan Africa 0 0 Investments 171550000 Central America and the Caribbean 0 0 Grantmaking 53039 Middle East and North Africa 0 0 ,Program-Related Investments 17000 1 242 0 0 1 242 60367647 3252561091 3312928738 Europe (Including Iceland and Greenland) Support of research activities 5845 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 30000 ACH Direct Deposit or Check Middle East and North Africa Support of research activities 21659 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 46498 ACH Direct Deposit or Check South America Support of research activities 157546 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 333978 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 236720 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 81946 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 72174 ACH Direct Deposit or Check Middle East and North Africa Support of research activities 36946 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 50050 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 77975 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 50000 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 100578 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 126747 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 5500 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 171852 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 220449 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 53274 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 453265 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 234166 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 15161 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 18418 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 197996 ACH Direct Deposit or Check Sub-Saharan Africa Support of research activities 252287 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 24387 ACH Direct Deposit or Check Europe (Including Iceland and Greenland) Support of research activities 28799 ACH Direct Deposit or Check North America (Canada & Mexico only) Support of research activities 41949 ACH Direct Deposit or Check 1 27 Grants disbursed during student's enrollment in international program East Asia and the Pacific 37 622932 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Europe (Including Iceland and Greenland) 162 2845900 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Middle East and North Africa 14 137964 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Russia and Neighboring States 1 667 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South America 12 178091 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South Asia 4 62928 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Sub-Saharan Africa 5 53868 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Central America and the Caribbean 2 53039 Applied to student account; credits are refunded by check true false true true true true Schedule F, Part I, Line 2 Procedures for monitoring use of grant funds Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. Schedule F, Part II, Line 1 Method used to account for cash grants In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, Line 1. Of the 28 organizations that received grants in Part II, 22 are universities, colleges, and hospitals; 2 are research centers; and 1 is a section 501(c)(3) organization. Schedule F, Part III(c) Estimated number of recipients Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the date of the applicable study abroad program. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c). Schedule F, Part I, Line 1 Program Services The program services listed in Part I reflect international educational programs in which the University has material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its students' access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f). Schedule F, Part I, Line 3(f) Method used to account for expenditures Expenditures reported in Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f) X X X X X X X true Alexander Ross Group 2406 Prairie Ave Evanston IL 60201 Fundraising campaign consultant false 74813 -74813 Stelter 10435 New York Ave Des Moines IA 50322 Fundraising marketing consultant false 80251 -80251 Meeting Achievements 232 E 500 N Valparaiso IN 463838384 Symposium sponsorship solicitor true 562703 75232 487471 562703 230296 332407 AL AK AZ AR CA CO CT DE DC 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 Dance Marathon 1029317 1001037 28280 72264 8092 Global Annual Benefit Dinner 1128305 1102235 26070 66657 925 11718 6 530193 306581 223612 22275 38002 13800 10418 2687815 2409853 277962 94539 104659 14725 30228 244151 33811 Schedule G, Part I, Line 3 State Solicitation Registrations No registration is required in Arizona, Delaware, Idaho, Indiana, Iowa, Montana, Nebraska, South Dakota, Texas, Vermont, and Wyoming. Schedule G, Part I, Line 2b(v) Reimbursement of Expenses The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed as reflected): Alexander Ross Group ($3,938), Stelter ($12,664), and Meeting Achievements ($2,812) all in accordance with written agreements specifying reimbursement of expenses. Schedule G, Part I, Line 2b(ii) Describe the custody or control arrangement. MEETING ACHIEVEMENTS-MEETING ACHIEVEMENTS RECEIVED $50,000 OF FUNDS ON BEHALF OF THE UNIVERSITY AND REMITTED THE ENTIRE AMOUNT TO THE UNIVERSITY.; Schedule G, Part I, Line 2b(v) payment of fees or payment of expenses ALEXANDER ROSS GROUP-ALEXANDER ROSS GROUP RECEIVED $3938 IN EXPENSES AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.;STELTER-STELTER RECEIVED REIMBURSEMENTS FOR EXPENSES OF $12,664 AS AGREED FOR PRINTING AND POSTAGE IN ASSOCIATION WITH THE SERVICES PROVIDED TO THE UNIVERSITY.;MEETING ACHIEVEMENTS-MEETING ACHIEVEMENTS RECEIVED REIMBURSEMENTS FOR EXPENSES OF $2,812 AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.; true Access Community Health Network 222 N Canal St Chicago IL 60606 363317058 501(c)(3) 225878 Support of research activities Adventist Health SystemSunbelt Inc 601 E Rollins St Orlando FL 32803 591479658 501(c)(3) 22923 Support of research activities AIDS Arms Inc 219 Sunset Ave Dallas TX 75208 752306145 501(c)(3) 445768 Support of research activities Albany Medical College 47 New Scotland Ave MC70 Albany NY 12208 141338310 501(c)(3) 6374 Support of research activities Albert Einstein College of Medicine Inc 1300 Morris Park Avenue Bronx NY 10461 472209056 501(c)(3) 25320 Support of research activities Alliance of AIDS Services - Carolina Tillery Place Office Park 1637 Old Louisburg Road Raleigh NC 27604 562158082 17500 Support of research activities Alliance of Chicago Community Health Services LLC 215 W Ohio St 4th Floor Chicago IL 60654 364444309 1467993 Support of research activities Altarum Institute 3520 Green Court Suite 300 Ann Arbor MI 48105 381983442 31820 Support of research activities America Needs You 589 8TH Ave 5TH FL New York NY 10018 270601596 501(c)(3) 51033 Support of community organization American Cancer Society Cancer Action Network INC 555 11th St NW Suite 300 Washington DC 20004 522340031 501(c)(3) 10000 Support of community organization American Enterprise Institute for Public Policy Research 1789 Massachusetts Avenue NW Washington DC 20036 530218495 68285 Support of research activities American Institutes for Research 1000 Thomas Jefferson St NW Washington DC 20007 250965219 501(c)(3) 48358 Support of research activities American Lung Association 1301 Pennsylvania Ave NW Suite 800 Washington DC 20004 131632524 501(c)(3) 495075 Support of research activities Ann & Robert H Lurie Children's Hospital of Chicago 225 E Chicago Avenue Chicago IL 60611 362170833 501(c)(3) 4885999 Support of research activities Artelys Corp 150 N Michigan Avenue Suite 800 Chicago IL 60601 142014473 98500 Support of research activities Asian Health Services 101 8th Street Suite 100 Oakland CA 94607 942235908 501(c)(3) 18250 Support of research activities ASM International 9639 Kinsman Road Materials Park OH 44073 346541397 501(c)(3) 120000 Support of research activities Baylor College of Medicine 1 Baylor Plaza Houston TX 77030 741613878 501(c)(3) 273340 Support of research activities Beacon Medical Group Inc 420 N Niles Ave South Bend IN 46617 351536132 501(c)(3) 33093 Support of research activities Bebashi - Transition to Hope 1235 Spring Garden Street Philadelphia PA 19123 232484046 501(c)(3) 17500 Support of research activities Beckman Research Institute of the City of Hope 1500 East Duarte Road Duarte CA 91010 953432210 501(c)(3) 64077 Support of research activities Benevolent Healthcare FoundationProject CURE 10377 E Geddes Ave No 200 Centennial CO 80112 841568566 501(c)(3) 11000 Support of community organization Beth Israel Deaconess Medical Center 330 Brookline Avenue E/ES-214 Boston MA 022155399 042103881 501(c)(3) 41450 Support of research activities Boston Medical Center One Boston Medical Center Pl Boston MA 02118 043314093 501(c)(3) 1103511 Support of research activities Boston University One Silber Way Boston MA 02115 042103547 501(c)(3) 410609 Support of research activities Boys & Girls Clubs of Chicago 550 W Van Buren Street Suite 350 Chicago IL 60607 362166997 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Pittsburgh PA 15260 250965591 501(c)(3) 1038987 Support of research activities University of Puerto Rico Medical Sciences Campus P O Box 365067 San Juan PR 009365067 660433760 501(c)(3) 100198 Support of research activities University of Rochester 518 Hylan Building Rochester NY 14627 160743209 501(c)(3) 261881 Support of research activities University of South Florida - Tampa 4202 E Fowler Ave Tampa FL 33620 593102112 115 174783 Support of research activities University of Southern California 1540 Alcazar St Los Angeles CA 90089 951642394 501(c)(3) 572767 Support of research activities University of Tennessee Health Science Center 62 S Dunlap Memphis TN 381630001 626001636 501(c)(3) 76455 Support of research activities University of Texas at Austin 2100 San Jacinto Blvd Austin TX 78712 746000203 115 442029 Support of research activities University of Texas Health Science Center at Houston 7000 Fannin UCT 1006 Houston TX 77030 741761309 115 95748 Support of research activities University of Texas Southwestern Med Ctr at Dallas 5323 Harry Hines Blvd Dallas TX 75390 756002868 115 579414 Support of research activities University of Utah 201 S 1460 E Salt Lake City UT 84112 876000121 115 450286 Support of research activities University of Virginia 1 College Park Wise VA 24293 546001796 115 1051336 Support of research activities University of Washington 1410 NE Campus Parkway Seattle WA 98195 916001537 115 1175752 Support of research activities University of Wisconsin-Madison 750 University Avenue 4th Floor AW Peterson Building Madison WI 537061490 391805963 501(c)(3) 631648 Support of research activities Utah AIDS Foundation 1408 South 1100 East Salt Lake City UT 84105 870455172 501(c)(3) 10000 Support of research activities Van Andel Research Institute 333 Bostwick Ave NE Grand Rapids MI 49503 522000823 501(c)(3) 350057 Support of research activities Vanderbilt University 2201 West End Ave Nashville TN 37235 620476822 501(c)(3) 1014327 Support of research activities Veterans Medical Research Foundation of San Diego 3350 La Jolla Village Dr San Diego CA 92161 330189397 501(c)(3) 5195 Support of research activities Village of Skokie Health Department 5127 Oakton Street Skokie IL 60077 366006103 115 141005 Support of research activities Virginia Commonwealth University PO Box 980568 Richmond VA 232980568 546001758 501(c)(3) 83060 Support of research activities Virginia Polytechnic Institute and State University 300 Turner Street NW Blacksburg VA 24061 546001805 501(c)(3) 116812 Support of research activities Waikiki Health 277 Ohua Avenue Honolulu HI 96815 990159253 501(c)(3) 17500 Support of research activities Wake Forest University Health Sciences 1834 Wake Forest Rd WinstonSalem NC 27106 900222618 501(c)(3) 16834 Support of research activities Walgreen Co 200 Wilmot Road Deerfield IL 60015 361924025 86873 Support of research activities Washington University in St Louis One Brookings Dr St Louis MO 63130 430653611 501(c)(3) 936181 Support of research activities Wayne State University PO Box 02759 Detroit MI 48202 383555142 501(c)(3) 15677 Support of research activities Weill Cornell Medical College 445 E 69th Street New York NY 10021 131623978 501(c)(3) 10919 Support of research activities Western Michigan University 1903 W Michigan Ave Kalamazoo MI 490085200 386007327 501(c)(3) 152787 Support of research activities Westside Institute for Science and Education 820 S Damen Avenue Chicago IL 60612 363712391 501(c)(3) 54272 Support of research activities Will County Health Department 501 Ella Ave Joliet IL 60433 366006672 10000 Support of research activities Wright State University 3640 Colonel Glenn Hwy Dayton OH 45435 310732831 115 51285 Support of research activities Yale University 140 Prospect St New Haven CT 06511 060646973 501(c)(3) 605049 Support of research activities Yale-New Haven Health Services Corporation 789 Howard Avenue New Haven CT 06519 222529464 501(c)(3) 34318 Support of research activities Young 1ove Foundation 2028 E Ben White Blvd Austin TX 78741 364803179 501(c)(3) 37000 Support of research activities 270 43 Student grants, scholarships, and fellowships are financial aid that can be used towards educational related costs. 18096 463922608 20460 Book Winter gear Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 325 1328313 Schedule I, Part III PRIZES AND AWARDS PRIZES AND AWARDS REFLECT PRIZES AND AWARDS EXTENDED TO NON-EMPLOYEES IN RECOGNITION OF AN ACCOMPLISHMENT, ACTIVITY, OR EVENT. PRIZES AND AWARDS GIVEN TO EMPLOYEES ARE INCLUDED AS COMPENSATION AND REPORTED ON AN EMPLOYEE'S FORM W-2. Schedule I, Part I, Line 2 Procedures for monitoring use of grant funds. Explanation: Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. X X X X X X true true X X X X true true false true false false false true true false Morton O Schapiro President 1185668 0 250000 0 275209 0 321850 0 277730 0 2310457 0 125000 0 James J Phillips VP Athletics 1438238 0 80000 0 356479 0 278000 0 65902 0 2218619 0 0 0 William H McLean VP and Chief Investment Officer 890148 0 549119 0 20088 0 410046 0 22382 0 1891783 0 272550 0 Craig A Johnson Senior Vice President 777980 0 115000 0 358545 0 76333 0 7982 0 1335840 0 200000 0 Robert E McQuinn VP for Development 633472 0 125000 0 199004 0 208000 0 35938 0 1201414 0 108333 0 Jonathan Holloway Provost 648422 0 50000 0 105457 0 78000 0 69832 0 951711 0 0 0 Stephanie Graham VP General Counsel 577838 0 0 0 110552 0 48000 0 73992 0 810382 0 0 0 Eric G Neilson VP Medical Affairs 604938 0 0 0 7895 0 21603 0 3206 0 637642 0 0 0 Alex Darragh VP for Facilities Management 604756 0 0 0 1332 0 0 0 373 0 606461 0 0 0 Kathleen M Hagerty Provost 507766 0 0 0 51715 0 28000 0 3298 0 590779 0 0 0 Sean Reynolds VP and Chief Information Officer 486352 0 0 0 45351 0 28000 0 8114 0 567817 0 0 0 Milan Mrksich VP Research 317851 0 467 0 187927 0 24824 0 14822 0 545891 0 0 0 Marilyn McCoy VP Administration & Planning 462863 0 0 0 18345 0 28000 0 24641 0 533849 0 0 0 Jeri Ward VP Global Marketing 419658 0 0 0 77184 0 10625 0 10810 0 518277 0 0 0 Joseph T Walsh Jr VP for Research 390822 0 0 0 20084 0 28000 0 74352 0 513258 0 0 0 Priya Harjani Interim VP for Human Resources 337410 0 25073 0 122740 0 23911 0 2798 0 511932 0 0 0 Paul Castellucci VP Budget and Planning 403000 0 35000 0 240 0 28000 0 746 0 466986 0 0 0 Julie Payne-Kirchmeier VP for Student Affairs 223168 0 0 0 79092 0 21290 0 8063 0 331613 0 0 0 Devora Grynspan VP International Relations 247060 0 0 0 1715 0 25300 0 10381 0 284456 0 0 0 Patrick W Fitzgerald II Head Coach 4063928 0 960000 0 663273 0 28000 0 32978 0 5748179 0 0 0 Christopher R Collins Head Coach 2855428 0 0 0 346342 0 28000 0 32755 0 3262525 0 250000 0 Maciej S Lesniak Professor, Neurological Surgery 1595763 0 0 0 360 0 28000 0 746 0 1624869 0 0 0 Florian Zettelmeyer Professor, Kellogg 382959 0 0 0 1201418 0 28000 0 8114 0 1620491 0 0 0 Chad A Mirkin Professor, Chemistry 759708 0 0 0 495680 0 128000 0 52802 0 1436190 0 0 0 Philip L Harris Former VP General Counsel 0 0 0 0 1366650 0 0 0 1596 0 1368246 0 86667 0 Pamela S Beemer Former VP for Human Resources 238013 0 10000 0 189593 0 28000 0 4750 0 470356 0 0 0 Patricia Telles-Irvin Deceased former VP Student Aff 222151 0 50000 0 31410 0 18708 0 6555 0 328824 0 0 0 Alan Cubbage Former VP University Relations 0 0 0 0 290282 0 0 0 10712 0 300994 0 0 0 Ingrid S Stafford Former VP for Financial Operations 249269 0 0 0 30143 0 24956 0 2632 0 307000 0 0 0 Schedule J, Part I, Line 1a SCHEDULE J SUPPLEMENTAL INFORMATION Schedule J, Part III Part VII, line 5 During a portion of calendar year 2019, Alex Darragh's services as Vice President for Facilities Management were contracted for from an unrelated party, CBRE Group, Inc. $392,256 fees were payable to the third party for such services and are included in Schedule J, Part II, column B(i). Schedule J, Part I, Line 1a First-class or charter travel Seven interested persons were provided charter travel and was treated as a business expense. The President is permitted to travel first class. The first class travel was treated as a business expense and not treated as taxable compensation. Schedule J, Part I, Line 1a Travel for companions The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Four listed persons received companion travel and was treated as taxable compensation. Schedule J, Part I, Line 1a Tax indemnification and gross-up payments Five listed persons received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation. Schedule J, Part I, Line 1a Housing allowance or residence for personal use The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Six other listed persons were provided with housing or a housing allowance and the amounts were treated as taxable compensation. Schedule J, Part I, Line 1a Health or social club dues or initiation fees The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. One listed person received airline club membership and it was treated as a business expense. Six listed persons received reimbursement or imputation for social club dues, which were treated as taxable compensation. Schedule J, Part I, Line 1a Personal services In connection with the University-provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit for cleaning services associated with the personal living quarters is treated as taxable compensation. Nominal chauffeur services were provided to the President and the value of the benefit is treated as taxable compensation. Schedule J, Part I, Line 4a Severance or change-of-control payment IN CONNECTION WITH SEPARATION OR RETIREMENT FROM NORTHWESTERN UNIVERSITY, THE FOLLOWING RECEIVED COMPENSATION IN THE AMOUNTS DESCRIBED, WHICH WERE INCLUDED IN PART II, COLUMN B (III). Pamela Beemer: $174,000 ALAN CUBBAGE: $290,282 PHILIP HARRIS: $927,772 Schedule J, Part I, Line 4b Supplemental nonqualified retirement plan The following participated in a 457(f) nonqualified retirement plan and the amounts are subject to substantial risk of forfeiture and vest after a number of years Name and amount contributed: Morton Schapiro ($291,072), Jonathan Holloway ($50,000), Craig Johnson ($25,000), Robert McQuinn ($216,667), James Phillips ($250,000). William McLean ($382,047), Stephanie Graham ($20,000), Chad Mirkin ($100,000). Name and amount paid: Morton Schapiro ($183,358), Craig Johnson ($339,802), William McLean ($312,007), Robert McQuinn ($155,924), Christopher Collins ($312,933), Philip Harris ($439,705). A ILLINOIS FINANCE AUTHORITY 861091967 45200BFC7 2004-09-09 135800000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES & Equipment false false false B ILLINOIS FINANCE AUTHORITY 861091967 45200FKZ1 2008-06-25 125000000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES false false false C Illinois Finance Authority 861091967 45203H2A9 2015-06-04 146017057 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES false false false A 144677217 1039400 143637817 2008 false false true true B 126815680 1250000 125565680 2011 false false true true C 146081419 886268 145195151 2017 false false true true A false true true false true false 0.0027 0.0027 false false true B false true true false true false 0.0034 0.0034 false false true C false false true false false 0.0156 0.0156 false false true A false false false true true false false false true B false false false true true true See Part VI 4.0 false false false false true C false true false false false false false false true A true B true C true Schedule K, Part I, Column (c) Bond Issue B: IFA - Series 2008 Additional CUSIPs: 45200F LA5, 45200F LB3 Schedule K, Part IV, Line 4b Bond Issue B: IFA - Series 2008 Morgan Stanley Capital Services LLC; Bank of America, NA; JP Morgan Schedule K, Part II, Line 3 Total proceeds of issue The difference between issue prices and proceeds of bonds are a result of investment income earned. Schedule K, Part III, Line 3b Reviews by Bond Counsel The University engages bond counsel and performs a review of management or services contracts at the time of any new bond issuances, generally every two years. At that time all existing bond issuances and private use are re-examined and re-documented. The University monitors changes in private use on an ongoing basis internally. Schedule K, Part III, Line 4 Private Business Use The University finances acquisition, construction and renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private business use within the facilities partially funded by bonds; however, such usage was financed from other sources. Schedule K, Part I, Column (f) Purposes In addition to the purposes listed in Part I, Column (f), bonds were also issued to pay costs of issuance. Schedule K, Part I, Column (c) Bond Issue A: IFA-Series 2004 Additional CUSIP: 45200B FD5 Schedule K, Part IV, Line 2c COLUMN A Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 09/09/2009 Schedule K, Part IV, Line 2c COLUMN B Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 06/25/2018 James Phillips EMPLOYEE COMPENSATION X 300000 300000 false true true Milan Mrksich Employee Compensation X 150000 75439 false false true 375439 10948 Scholarship Educational scholarship 20001 Scholarship Educational scholarship Jennifer Burke Family member of Joseph T. Walsh, Officer 78776 Employment false Great Lakes Coca-Cola M. Jude Reyes, Trustee, ownership interest over 35% 839239 Soft drink purchases and vending commissions false Constadina Castellucci Family member of Paul Castellucci, Officer 117582 Employment false Linda Darragh Family member to Alex Darragh, Officer 259694 Employment false RCPI LANDMARK PROPERTIES LLCTishman Speyer Crown Equities LLC A. Steven Crown, Trustee, ownership interest over 35% 526628 Lease of real estate false Samuel Stupp Family member of Devora Grynspan, Officer 459489 Employment false Anthony Kirchmeier Family member of Julie Payne-Kirchmeier, Officer 95031 Employment false William Rogerson Family member of Kathleen Hagerty, Officer 250836 Employment false Schedule L, Part II, Column (h) Employee Loan The loan extended to Milan Mrksich was entered into several years prior to the employee becoming an officer. X 37 2946041 Market value X 2393818 Market value X 26144 Market value X 649 20351586 Market value X 9 13727 Market value X equipment, software 7 65237 Market value X Events, tickets 397 158012 Market value 10 false true false Schedule M, Part I Column (b) The University is reporting the number of contributions received. Form 990, Part VI, Line 10a LOCAL CHAPTERS, BRANCHES THE UNIVERSITY DOES NOT HAVE LOCAL CHAPTERS, BRANCHES, LODGES, UNITS OR SIMILAR AFFILIATES. AS DESCRIBED IN SCHEDULE F, THE UNIVERSITY HAS ONE INTERNATIONAL CAMPUS, LOCATED IN DOHA, QATAR. THE UNIVERSITY HAS A NUMBER OF AFFILIATION AGREEMENTS AND ARRANGEMENTS WITH OTHER RESEARCH AND EDUCATIONAL INSTITUTIONS BUT THE UNIVERSITY DOES NOT HAVE AUTHORITY TO EXERCISE SUPERVISION AND CONTROL OF SUCH INSTITUTIONS. Form 990, Part VI, Line 16b JOINT VENTURES THE UNIVERSITY DOES NOT HAVE A WRITTEN POLICY REGARDING JOINT VENTURES IN GENERAL. HOWEVER, JOINT VENTURE AGREEMENTS ARE REVIEWED BY THE UNIVERSITY'S OFFICE OF GENERAL COUNSEL TO EVALUATE WHETHER THE AGREEMENT FURTHERS THE MISSION OF THE UNIVERSITY AND TO ENSURE THE SAFEGUARDING OF UNIVERSITY'S ASSETS. THE UNIVERSITY ALSO HAS GUIDELINES CONCERNING JOINT VENTURES IN ITS TECHNOLOGY TRANSFER AND INVESTMENT POLICIES. Form 990, Part VI, Line 1a Delegate broad authority to a committee Executive Committee of the Board of Trustees is comprised of 23 members of the governing body. The Executive Committee may exercise the power of the Board of Trustees between meetings with respect to ordinary business transactions. Form 990, Part VI, Line 2 Family/business relationships amongst interested persons Jay C. Hoag and Patrick G. Ryan Jr. - Business relationship, M. Jude Reyes and A. Steven Crown - Business relationship, M. Jude Reyes and Patrick Ryan Jr. - Business relationship, M. Jude Reyes and Frederick H. Waddell - Business relationship, David B. Weinberg and M. Jude Reyes - Business relationship, Miles D. White and William A. Osborn - Business relationship, Muneer A. Satter and Patrick Ryan Jr. - Business relationship, Muneer A. Satter and William A. Osborn - Business relationship Form 990, Part VI, Line 11b Review of form 990 by governing body An electronic copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was provided for review to the Audit, Risk, and Compliance Committee of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University. Form 990, Part VI, Line 12c Conflict of interest policy University Bylaws and Statutes require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the University in writing. An Officer shall call any conflict of interest to the attention of the President (unless the conflict is on the part of the President, in which case it shall be called to the attention of the Vice President and General Counsel and the Chair of the Board of Trustees). If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees of other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when his/her knowledge of the subject will assist the Board or any of its committees. In addition, Trustees are subject to a Conflict of Interest Policy, which has been adopted by the Board of Trustees. Potential conflicts of interest are further scrutinized under a University investment policy governing Trustee Relationship Investments whereby, among other things, affected trustees must recuse themselves from any discussion and vote related to the investment. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed. Form 990, Part VI, Line 15a Process to establish compensation of top management official The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the compensation committee of the Board relies on (i) formal survey and comparability data prepared and compiled by an outside consultant who has expertise in the field of executive compensation assessment and benchmarking and (ii) compensation recommendations from the President and Provost for their direct reports. The Compensation Committee of the Board meets every June for the purpose of reviewing and approving executive compensation recommendations for the next fiscal year. After review and the approval, the Committee's decisions are documented with internal communications to executive leadership except that the President's compensation is communicated solely to the Vice President & General Counsel. The offices of the President, Provost and Senior Vice President separately then send the final compensation decisions to the payroll department and the Vice President of Human Resources for implementation and processing other than the compensation information of the President, which is provided by the Vice President & General Counsel to the Vice President of Human Resources. Form 990, Part VI, Line 19 Required documents available to the public Governing documents: The University maintains an Office for Global Marketing and Communication where information requests from the public are processed. The organizing document by which the University was created, its charter, is available upon request. The University's employee conflict of interest policy and financial statements are available on the University website. Form 990, Part VIII, Line 2f Other Program Service Revenue Plant - Total Revenue: 12523276, Related or Exempt Function Revenue: 12523276, Unrelated Business Revenue: , Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Form 990, Part VIII, Line 11d Other Miscellaneous Revenue - Total Revenue: 229424, Related or Exempt Function Revenue: , Unrelated Business Revenue: 229424, Revenue Excluded from Tax Under Sections 512, 513, or 514: ; Form 990, Part XI, Line 9 Other changes in net assets or fund balances Change in value of derivative instruments - -406992; Schedule F, Part I, Line 3 Program-related Investments Program-related investments represent student loans disbursed during students' enrollment in international programs. Schedule F, Part I, Line 2 PROCEDURES FOR MONITORING USE OF GRANT FUNDS Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's office for Sponsored Research (OSR) and the University's office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld. Schedule J, Part I, Line 5a Compensation contingent on revenues of the organization The Chief Investment Officer received incentive compensation which was in part calculated contingent on the performance of the University's long term investments. Schedule J, Part I, Line 7 Non-fixed payments The President and eight interested persons received a non-fixed payment related to a recognition bonus. One officer was offered non-fixed payment related to apparel and tickets. Schedule J, Part I, Line 8 Payments on contract that is subject to the initial contract exception The compensation established for incoming interim officers of Kathleen Hagerty, Milan Mrksich and Priya Harjani was established prior to such individuals becoming interested persons and subject to the initial contract exception. Also subject to the initial contract exception is the loan extended to Milan Mrksich, which was entered into several years prior to the employee becoming an officer. FORM 990, PART XI, LINE 9 - OTHER CHANGES IN NET ASSETS OR FUND BALANCES -464,576 CHANGE IN VALUE OF DERIVATIVE ASSETS FORM 990, PART XI, LINE 9 - OTHER CHANGES IN NET ASSETS OR FUND BALANCES 57,584 DISREGARDED ENTITY - BEGINNING NET ASSETS Part VI, line 15b Compensation of officers With the exception of the three incoming interim officers listed below, the process for determining compensation for current officers met the rebuttable presumption procedure. The compensation established for incoming interim officers of Kathleen Hagerty, Milan Mrksich and Priya Harjani was established prior to such individuals becoming interested persons and subject to the initial contract exception. Kathleen Hagerty's reportable compensation for calendar year 2019 predated her assuming the position as Interim Provost in April 2020. Triad WIS NWU LLC 550 N Green Bay Rd Lake Forest IL 60045 473504918 Investment IL 3 5039981 Northwestern University Northwestern University USA Foundation Limited 21 Holborn Viaduct London England UK EC1A2DY 981458225 Fundraising UK 182325 12594 Northwestern University RUBICON INSURANCE COMPANY 2020 RIDGE AVENUE EVANSTON IL 60208 363694409 PROVIDING MEDICAL MALPRACTICE, General/Professional/Auto Liability Insurance to the University IL 501(c)(3) Type II NORTHWESTERN UNIVERSITY true STUDENTS PUBLISHING COMPANY 1999 SHERIDAN RD EVANSTON IL 60208 366002654 PUBLISHES STUDENT PERIODICALS IL 501(c)(3) Type II N/A false MCGAW MEDICAL CENTER OF NORTHWESTERN UNIVERSITY 420 E SUPERIOR ST CHICAGO IL 60611 362656113 COORDINATION OF MEDICAL RESIDENTS IL 501(c)(3) Type I Northwestern University true THE BIG TEN CONFERENCE INC 1500 W HIGGINS RD PARK RIDGE IL 60068 363640583 FACILITATE QUALITY INTERCOLLEGIATE ATHLETIC COMPETITION IL 501(c)(3) Type II N/A false COMMITTEE ON INSTITUTIONAL COOPERATION 1819 S NEIL ST CHAMPAIGN IL 61820 463254996 ACADEMIC CONSORTIUM TO ADVANCE MISSION OF MEMBER INSTITUTIONS IL 501(c)(3) Type III-O N/A false Kuramo Africa Opportunity Fund II LP 500 5th Ave 44th Fl New York NY 10110 473117325 Investment NY Northwestern University Excluded 43415 10932127 false false 0.99 KCG 64 CI-1 LP 7121 Fairway Dr Ste 410 Palm Beach Gardens FL 33418 823391115 Investment FL Northwestern University Excluded 9882130 3705232 false false 0.8509 Nighthawk Partners LP 2000 MCKINNEY AVENUE SUITE 2125 Dallas TX 75201 825246719 Investment DE Northwestern University Excluded -9897333 294731288 false false 1 CHARITABLE REMAINDER UNITRUSTSAnnuity TrustsPIF (63 7 2 respectively) Charitable Trust IL NA Trust true Bensell US Feeder LP 980492320 Investments UK Northwestern University C Corporation 83281 2564809 0.566 true Gotham Neutral Strategies Ltd Corporate Services Cayman Limited 190 Elgin Ave George Town Grand Cayman CJ KT19005 Investment CJ Northwestern University C Corporation 3597672 142688791 0.8857 true false false true false false false false false false true false true true true true true true true true Rubicon Insurance Company Q 2621994 Cash Rubicon Insurance Company R 2662605 Cash McGaw Medical Center J 159347 Cash McGaw Medical Center M 10264026 Cash McGaw Medical Center N 550000 Cash McGaw Medical Center O 156733 Cash McGaw Medical Center P 184423 Cash McGaw Medical Center Q 152240 Cash KCG 64 CI-1 LP R 103395 Cash KCG 64 CI-1 LP S 18409367 Cash Kuramo Africa Opportunity Fund II LP R 2419828 Cash Bensell US Feeder LP S 1995501 Cash Nighthawk Partners LP R 30699233 Cash Nighthawk Partners LP S 20000000 Cash Schedule R, Part IV, Column (c) The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois