2020-07-08T15:14:27-05:00 2019-06-30 910189318 MOSS ADAMS LLP 4747 EXECUTIVE DR SUITE 1300 SAN DIEGO CA 92121 990 2018-07-01 952544535 UNIVERSITY OF SAN DIEGO UNIV 6192604600 5998 ALCALA PARK SAN DIEGO CA 921102492 KATHRYN ROIG VICE PRESIDENT FOR FINANCE & CFO 6192604600 2020-07-02 1 PATRICIA J MAYER P00188643 8586271400 71.213.53.136 2020-07-02 20:27:11 PD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 6B76EF6C5C90AF9682C9A74185CCBCF07F3880A4 2018 2020-11-19 02:30:22Z KATHRYN ROIG 5998 ALCALA PARK SAN DIEGO CA 921102492 837916408 0 X WWW.SANDIEGO.EDU X 1949 CA POST SECONDARY EDUCATION 29 28 6106 1500 -964927 0 63444265 48087715 422662405 450502927 25462280 20004452 6476209 4515489 518045159 523110583 121488140 133192797 0 0 221635036 230048786 0 0 10896780 107496831 112904427 450620007 476146010 67425152 46964573 1379830511 1440789128 260301310 256918406 1119529201 1183870722 THE UNIVERSITY OF SAN DIEGO IS A ROMAN CATHOLIC INSTITUTION COMMITTED TO ADVANCING ACADEMIC EXCELLENCE, EXPANDING LIBERAL AND PROFESSIONAL KNOWLEDGE, CREATING A DIVERSE AND INCLUSIVE COMMUNITY, AND PREPARING LEADERS DEDICATED TO ETHICAL CONDUCT AND COMPASSIONATE SERVICE. 0 0 383359120 133192797 455796891 THE UNIVERSITY OF SAN DIEGO IS ENGAGED IN POST-SECONDARY EDUCATION OF APPROXIMATELY 5,862 UNDERGRADUATE STUDENTS AND 1,711 GRADUATE AND PROFESSIONAL STUDENTS, AND 755 LAW STUDENTS; THIS PROGRAM INCLUDES ROOM & BOARD FOR THE STUDENT POPULATION. 383359120 1 1 0 1 0 0 0 1 0 1 1 0 0 1 1 1 1 0 1 1 1 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 1 1 1 0 0 1 0 0 0 0 0 0 0 0 1 801 0 1 6106 1 1 1 1 CJ SP 0 0 0 1 1 0 0 0 0 0 0 X 29 28 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X X OFFICE OF THE CONTROLLER 6192602302 5998 ALCALA PARK HUGHES ADMINISTRAT SAN DIEGO CA 92110 ANN NAVARRA TRUSTEE 1.00 X 0 0 0 CAROLYN OSIEK RSCJ TRUSTEE 1.00 X 0 0 0 DANIEL C HERBERT TRUSTEE 1.00 X 0 0 0 DARLENE MARCOS SHILEY TRUSTEE 1.00 X 0 0 0 DARRIN MONTALVO TRUSTEE 1.00 X 0 0 0 DAVID HALE TRUSTEE 1.00 X 0 0 0 DONALD KNAUSS TRUSTEE 1.00 X 0 0 0 DR CONSTANCE M CARROLL TRUSTEE 1.00 X 0 0 0 JAMES D POWER IV TRUSTEE 1.00 X 0 0 0 JAMES T HARRIS III PRESIDENT AND TRUSTEE 40.00 X X 648115 0 222015 JEFFREY W MARTIN TRUSTEE 1.00 X 0 0 0 JOHN FRAGER TRUSTEE 1.00 X 0 0 0 KEVIN GREEN TRUSTEE 1.00 X 0 0 0 KIM BUSCH TRUSTEE 1.00 X 0 0 0 LAURIE KELLEY TRUSTEE 1.00 X 0 0 0 LEANDRO FESTINO TRUSTEE 1.00 X 0 0 0 LUIS MAIZEL TRUSTEE 1.00 X 0 0 0 MARK S BOSCO TRUSTEE 1.00 X 0 0 0 MARY THERESA MOSER RSCJ TRUSTEE 1.00 X 0 0 0 MATTHEW J RENO TRUSTEE 1.00 X 0 0 0 PETER SEIDLER TRUSTEE 1.00 X 0 0 0 REV PETER M MCGUINE TRUSTEE 1.00 X 0 0 0 REV RUBN ARCEO TRUSTEE 1.00 X 0 0 0 ROBERT R DEAN TRUSTEE 1.00 X 0 0 0 SANDRA STANGL TRUSTEE 1.00 X 0 0 0 SUSAN H MALLORY TRUSTEE 1.00 X 0 0 0 SUSANNE STANFORD TRUSTEE 1.00 X 0 0 0 THOMAS F MULVANEY TRUSTEE 1.00 X 0 0 0 TOM BREITLING TRUSTEE 1.00 X 0 0 0 ANDREW T ALLEN VICE PRESIDENT, INSTITUTIONAL EFFECTIVENESS 40.00 X 322631 0 41007 CARMEN M VAZQUEZ VICE PRESIDENT, STUDENT AFFAIRS 40.00 X 306852 0 34153 GAIL BAKER MCCARTY VICE PRESIDENT & PROVOST 40.00 X 381235 0 49857 KY SNYDER VICE PRESIDENT, UNIVERSITY OPERATIONS & COO 40.00 X 369476 0 54833 REV MSGR DANIEL J DILLABOUGH VICE PRESIDENT, MISSION AND MINISTRY 40.00 X 227792 0 41552 RICHARD VIRGIN VICE PRESIDENT, UNIVERSITY ADVANCEMENT 40.00 X 173287 0 26344 TERRY KALFAYAN VICE PRESIDENT, FINANCE & CFO 40.00 X 338305 0 45105 TIMOTHY L O'MALLEY THRU 718 FORMER VICE PRESIDENT, UNIVERSITY RELATIONS 40.00 X 261668 0 31683 CHELL A ROBERTS DEAN, SCHOOL OF ENGINEERING 40.00 X 343713 0 44936 JAIME ALONSO GOMEZ DEAN, SCHOOL OF BUSINESS 40.00 X 356478 0 38388 JANE GEORGES DEAN, SCHOOL OF NURSING 40.00 X 190162 0 28065 NICHOLAS LADANY DEAN, SCHOOL OF LEADERSHIP & EDUCATIONAL SCIENCES 40.00 X 304449 0 39327 NOELLE NORTON DEAN, COLLEGE OF ARTS & SCIENCES 40.00 X 276959 0 44197 PATRICIA MARQUEZ DEAN, KROC SCHOOL OF PEACE STUDIES 40.00 X 272377 0 52040 STEPHEN FERRUOLO DEAN, SCHOOL OF LAW 40.00 X 392969 0 34421 THERESA BYRD DEAN, COPLEY LIBRARY 40.00 X 183280 0 28824 DENNIS ZOCCO FACULTY, SCHOOL OF BUSINESS 40.00 X 319667 0 29769 MARKO SVETINA FACULTY, SCHOOL OF BUSINESS 40.00 X 394736 0 25711 MITCH WARACHKA FACULTY, SCHOOL OF BUSINESS 40.00 X 335854 0 53397 ROY BROOKS FACULTY, SCHOOL OF LAW 40.00 X 312305 0 38323 SAM SCHOLL HEAD COACH, MEN'S BASKETBALL 40.00 X 333541 0 44066 MARY LYONS FORMER PRESIDENT AND TRUSTEE 40.00 X 142116 0 17641 DAVID PYKE FORMER DEAN, SCHOOL OF BUSINESS 40.00 X 256688 0 45382 PAULA CORDEIRO FORMER DEAN, SCHOOL OF LEADERSHIP & EDUCATIONAL SC 40.00 X 228389 0 34370 ALLEN LAMONT SMITH FORMER HEAD COACH, MEN'S BASKETBALL 40.00 X 333675 0 16051 SALLY BROSZ HARDIN FORMER DEAN, SCHOOL OF NURSING 40.00 X 203189 0 35863 8209908 0 1197320 425 1 1 0 LEVEL 10 CONSTRUCTION 12555 HIGH BLUFF DRIVE SUITE 250 SAN DIEGO CA 92130 CONSTRUCTION SERVICES 4767221 DEMPSEY CONSTRUCTION 1835 ASTON AVENUE CARLSBAD CA 92008 CONSTRUCTION SERVICES 3414643 RUDOLPH & SLETTEN INC 600 B STREET SUITE 1500 SAN DIEGO CA 92101 CONSTRUCTION SERVICES 3242756 MIND STREAMS LLC 7227 NORTH 16TH STREET 190 PHOENIX AZ 85020 EDUCATIONAL CONSULTANTS 1645736 HURON CONSULTING GROUP INC PO BOX 71223 CHICAGO IL 60694 CONSULTING SERVICES 1281706 53 538599 12291213 35257903 7362801 48087715 TUITION AND FEES 900099 401798918 401798918 STUDENT RES & BOARD 721310 39878808 39878808 BOOKSTORE 451211 5373787 5350223 23564 PARKING SERVICES 611710 2669831 2669831 STUDENT LOAN INTEREST 611710 781583 781583 450502927 8843563 8843563 533696 405401 128295 128295 128295 278987070 46316842 269549612 44593411 9437458 1723431 11160889 11160889 171183 538599 257401 -86218 -86218 ATHLETICS & RECREATION 611710 2456953 2456953 SUMMER CONFERENCES 611710 1183631 414822 768809 832828 2445753 -1757300 144375 4473412 523110583 455796891 -964927 20190904 133192797 133192797 7428506 4263622 1817656 1347228 170736250 128923872 36702548 5109830 17676366 13177252 3788861 710253 22887389 17395576 5095278 396535 11320275 8438958 2426458 454859 944597 944597 386236 386236 111988 111988 2475800 2186023 289777 23935798 15133943 7691747 1110108 2499375 2269839 215682 13854 6818874 3782533 2220697 815644 6158466 3695080 2463386 7476133 5870811 1605316 6 8238982 6776169 1324884 137929 2693803 2123119 507933 62751 7003149 6027787 975362 17366906 10317664 6879474 169768 1781323 217835 1563488 COST OF SALES 9686577 9631384 55193 EQUIPMENT 3642036 1389517 2227463 25056 BOOKS AND OTHER LIBRARY 2921241 2921241 RECRUITING 1247249 950356 296893 7515894 4673742 2299193 542959 476146010 383359120 81890110 10896780 11171773 13867518 32685482 36272292 10573604 12034512 270000 200000 36735682 35725051 1588665 1879861 3832627 1864208 742331018 211311133 520262159 531019885 558977207 604358142 203733312 203567659 1379830511 1440789128 51169148 52989569 19493005 10844008 154159756 150748875 2317323 1326581 33162078 41009373 260301310 256918406 X 750709313 794990912 180621345 194778687 188198543 194101123 1119529201 1183870722 1379830511 1440789128 X 46964573 14372553 3004395 X 0 1 X 1 1 1 X 37971679 47473682 36012952 63444265 48087715 232990293 37971679 47473682 36012952 63444265 48087715 232990293 10707264 222283029 8391257 6903130 8888775 7244815 9377259 40805236 144111 138613 140882 139205 144375 707186 274502715 2052187237 0.80980 0.82480 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER REVENUE - 2014 AMOUNT: $ 144,111. 2015 AMOUNT: $ 138,613. 2016 AMOUNT: $ 140,882. 2017 AMOUNT: $ 139,205. 2018 AMOUNT: $ 144,375. SCHEDULE A, PART II THE ORGANIZATION IS A SCHOOL AS DESCRIBED UNDER SECTION 170(B)(1)(A)(II) AND IS NOT REQUIRED TO COMPLETE A PUBLIC SUPPORT SCHEDULE. SCHEDULE A, PART II IS COMPLETED TO VERIFY THE SCHOOL CAN QUALIFY UNDER PUBLIC CHARITY SECTION 170(B)(1)(A)(VI) AND QUALIFIES TO USE THE FIRST LISTED SPECIAL RULE FOR SCHEDULE B REPORTING. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 0 0 0 0 1 141639 0 0 141639 0 PART II-B, LINE 1: PART IIB, LINE 1J: FACULTY WITH THE UNIVERSITY'S SCHOOL OF LAW IN THE CENTER FOR PUBLIC INTEREST AND CHILDREN'S ADVOCACY INSTITUTE OFFERED THEIR RESEARCH DATA AND LEGAL EXPERTISE IN AN ATTEMPT TO INFLUENCE PENDING LEGISLATION CONCERNING CONSUMERS RIGHTS AND CHILDREN'S HEALTH, SAFETY AND WELFARE. NO ATTEMPT WAS MADE BY THE UNIVERSITY TO INFLUENCE A POLITICAL CAMPAIGN OF ANY OFFICE, NOR WERE ANY POLITICAL CONTRIBUTIONS MADE. TOTAL EXPENDITURES WERE $141,639. 4061789 X X 0 529996747 5469006 28115647 8971763 9042966 545566671 503568114 3113526 39671322 9275808 7080407 529996747 449796470 11373825 58019704 6771465 8850420 503568114 469984254 12465689 -16792900 6728035 9132538 449796470 468765728 13643372 474660 2743967 10155539 469984254 0.46000 0.31000 0.23000 0 0 14023505 58819306 72842811 591788577 178384569 413404008 73637841 32926564 40711277 4061789 4061789 531019885 ALTERNATIVE ASSET PARTNERSHIPS - DISTRESSED/DEBT RELATED 10072025 ALTERNATIVE ASSET PARTNERSHIPS - ENERGY/RESOURCES 16705062 ALTERNATIVE ASSET PARTNERSHIPS - INTERNATIONAL PRIVATE EQUITY 8020582 ALTERNATIVE ASSET PARTNERSHIPS - REAL ESTATE 13239907 ALTERNATIVE ASSET PARTNERSHIPS - U.S. PRIVATE EQUITY 18812282 ALTERNATIVE ASSET PARTNERSHIPS - VENTURE CAPITAL 25252344 MARKETABLE ALTERNATIVES - DISTRESSED 6000000 MARKETABLE ALTERNATIVES - DIVERSIFIED ARBITRAGE 23400000 MARKETABLE ALTERNATIVES - DIVERSIFIERS 21500000 MARKETABLE ALTERNATIVES - EVENT DRIVEN 15600000 MARKETABLE ALTERNATIVES - GLOBAL LONG/SHORT 35300000 MARKETABLE ALTERNATIVES - OPPORTUNISTIC 8200000 WEST COAST CONFERENCE 500530 OTHER ASSETS 351147 ALTERNATIVE ASSET PARTNERSHIPS - DIVERSIFIERS 613780 203567659 REFUNDABLE ADVANCES 11708563 BOND INTEREST RATE SWAP 29300810 41009373 X 405483000 14372553 14372553 391110447 132000136 132000136 523110583 341141000 663587 663587 340477413 135668597 135668597 476146010 PART III, LINE 4: THE UNIVERSITY'S COLLECTION SEEKS TO STIMULATE INTEREST AND PRIDE AS WELL AS EMPHASIZE THE CULTURAL VALUE OF USD'S FINE ARTS PROGRAMS. PART V, LINE 4: THE UNIVERSITY OF SAN DIEGO ENDOWMENT FUNDS ARE UTILIZED BASED ON DONOR'S INTENT; AS OF JUNE 30, 2019 THE ALLOCATION OF ENDOWMENT FUNDS WAS AS FOLLOWS: ACADEMIC SUPPORT - 26.5%, TUITION FUNDED QUASI - 41.6%, SCHOLARSHIPS - 16.2%, INSTRUCTION - 4.8%, PLANT MAINTENANCE AND OPERATIONS - 2.0%, PUBLIC SERVICE - 4.2% AND OTHER INSTITUTIONAL SUPPORT - 4.7%. PART X, LINE 2: THE UNIVERSITY IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE ("IRC") AND SECTION 23701(D) OF THE CALIFORNIA REVENUE AND TAXATION CODE. THE UNIVERSITY HAS NO UNRECOGNIZED TAX BENEFITS OR LIABILITIES AS OF JUNE 30, 2019 AND 2018. THE UNIVERSITY FILES AN EXEMPT ORGANIZATION RETURN AND APPLICABLE UNRELATED BUSINESS INCOME TAX RETURN IN THE U.S. FEDERAL JURISDICTION AND WITH THE CALIFORNIA FRANCHISE TAX BOARD. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES INCLUDED IN INCOME -405,401. SPECIAL EVENT EXPENSES INCLUDED IN INCOME -257,401. ROUNDED FINANCIAL STATEMENT DIFFERENCE -1,264. K-1 PASSTHROUGH LOSS -3,004,395. RECLASS INVESTMENT MANAGEMENT FEES 2,475,800. SCHOLARSHIPS INCLUDED IN EXPENSES 133,192,797. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES INCLUDED IN INCOME 405,401. SPECIAL EVENT EXPENSES INCLUDED IN INCOME 257,401. ROUNDED FINANCIAL STATEMENT DIFFERENCE 785. PART XII, LINE 4B - OTHER ADJUSTMENTS: SCHOLARSHIPS INCLUDED IN EXPENSES 133,192,797. RECLASS INVESTMENT MANAGEMENT FEES 2,475,800. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 UNIVERSITY OF SAN DIEGO'S RACIALLY NONDISCRIMINATORY POLICY PUBLISHED IN ALL RECRUITING BROCHURES AND ADVERTISEMENTS AS WELL AS UNDERGRADUATE AND GRADUATE BULLETINS AND CATALOGS. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY OF SAN DIEGO RECEIVED AN ESTIMATED $132.4 M IN CONTRIBUTIONS FROM FEDERAL AND STATE AGENCIES FOR ASSISTANCE IN PROVIDING POST-SECONDARY EDUCATION. THIS INCLUDES $104.4M IN FEDERAL FAMILY EDUCATION LOANS. CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES STUDY ABROAD PROGRAMS 1088 EAST ASIA AND THE PACIFIC PROGRAM SERVICES STUDY ABROAD PROGRAMS 741715 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES STUDY ABROAD PROGRAMS 23538 NORTH AMERICA (CANADA AND MEXICO) PROGRAM SERVICES STUDY ABROAD PROGRAMS 200678 SOUTH AMERICA PROGRAM SERVICES STUDY ABROAD PROGRAMS 160594 SUB-SAHARAN AFRICA PROGRAM SERVICES STUDY ABROAD PROGRAMS 61191 CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 85693123 SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, PROGRAM SERVICES STUDY ABROAD PROGRAMS 164868 EUROPE (INCLUDING ICELAND AND GREENLAND) 1 3 PROGRAM SERVICES STUDY ABROAD PROGRAMS 3662087 RUSSIA AND NEIGHBORING STATES PROGRAM SERVICES STUDY ABROAD PROGRAMS 6000 0 0 1 3 1 3 87046795 3668087 90714882 1 0 1 1 1 0 PART I, LINE 3: BOOK VALUE IS THE ACCOUNTING METHOD USED TO DETERMINE INVESTMENT VALUES AND ACCRUAL METHOD OF ACCOUNTING IS USED FOR STUDY ABROAD PROGRAMS. FOUNDERS GALA 49322 49272 50 61 SPORTS BANQUET 283175 230925 52250 101526 6 377285 258402 118883 155814 709782 538599 171183 257401 257401 -86218 1 USD SCHOLARSHIPS 3437 83192431 STUDENT AID - GRADUATE AND LAW 1258 22321622 STUDENT AID - ATHLETICS AND RECREATION 187 8569824 STUDENT AID - PRIVATE 329 3063742 ENDOWED SCHOLARSHIPS 494 8971763 STUDENT AID - RESIDENCE AND BOARD 85 1019868 FEDERAL SCHOLARSHIPS AND GRANTS 591 6053547 PART I, LINE 2: THE UNIVERSITY AWARDS SCHOLARSHIPS TO INDIVIDUAL STUDENTS TO OFFSET THE COST OF TUITION, FEES, AND ROOM AND BOARD. X X X 1 1 X X X X 1 1 0 0 0 0 0 1 0 JAMES T HARRIS III PRESIDENT AND TRUSTEE 566209 0 0 0 81906 0 33000 0 189015 0 870130 0 0 0 ANDREW T ALLEN VICE PRESIDENT, INSTITUTIONAL EFFECT 277619 0 0 0 45012 0 33000 0 8007 0 363638 0 0 0 CARMEN M VAZQUEZ VICE PRESIDENT, STUDENT AFFAIRS 259646 0 0 0 47206 0 33000 0 1153 0 341005 0 0 0 GAIL BAKER MCCARTY VICE PRESIDENT & PROVOST 366439 0 0 0 14796 0 33000 0 16857 0 431092 0 0 0 KY SNYDER VICE PRESIDENT, UNIVERSITY OPERATION 320037 0 0 0 49439 0 33000 0 21833 0 424309 0 0 0 REV MSGR DANIEL J DILLABOUGH VICE PRESIDENT, MISSION AND MINISTRY 179063 0 0 0 48729 0 25987 0 15565 0 269344 0 0 0 RICHARD VIRGIN VICE PRESIDENT, UNIVERSITY ADVANCEME 151935 0 0 0 21352 0 18250 0 8094 0 199631 0 0 0 TERRY KALFAYAN VICE PRESIDENT, FINANCE & CFO 300678 0 0 0 37627 0 33000 0 12105 0 383410 0 0 0 TIMOTHY L O'MALLEY THRU 718 FORMER VICE PRESIDENT, UNIVERSITY RE 239157 0 0 0 22511 0 26297 0 5386 0 293351 0 0 0 CHELL A ROBERTS DEAN, SCHOOL OF ENGINEERING 339096 0 0 0 4617 0 33000 0 11936 0 388649 0 0 0 JAIME ALONSO GOMEZ DEAN, SCHOOL OF BUSINESS 308354 0 0 0 48124 0 33000 0 5388 0 394866 0 0 0 JANE GEORGES DEAN, SCHOOL OF NURSING 163025 0 0 0 27137 0 22951 0 5114 0 218227 0 0 0 NICHOLAS LADANY DEAN, SCHOOL OF LEADERSHIP & EDUCATI 256654 0 0 0 47795 0 31860 0 7467 0 343776 0 0 0 NOELLE NORTON DEAN, COLLEGE OF ARTS & SCIENCES 260876 0 0 0 16083 0 33000 0 11197 0 321156 0 0 0 PATRICIA MARQUEZ DEAN, KROC SCHOOL OF PEACE STUDIES 234457 0 0 0 37920 0 33000 0 19040 0 324417 0 0 0 STEPHEN FERRUOLO DEAN, SCHOOL OF LAW 382065 0 0 0 10904 0 33000 0 1421 0 427390 0 0 0 THERESA BYRD DEAN, COPLEY LIBRARY 153766 0 0 0 29514 0 22718 0 6106 0 212104 0 0 0 DENNIS ZOCCO FACULTY, SCHOOL OF BUSINESS 291183 0 0 0 28484 0 21343 0 8426 0 349436 0 0 0 MARKO SVETINA FACULTY, SCHOOL OF BUSINESS 375800 0 0 0 18936 0 24801 0 910 0 420447 0 0 0 MITCH WARACHKA FACULTY, SCHOOL OF BUSINESS 282229 0 0 0 53625 0 31830 0 21567 0 389251 0 0 0 ROY BROOKS FACULTY, SCHOOL OF LAW 282059 0 0 0 30246 0 30461 0 7862 0 350628 0 0 0 SAM SCHOLL HEAD COACH, MEN'S BASKETBALL 314312 0 0 0 19229 0 33000 0 11066 0 377607 0 0 0 MARY LYONS FORMER PRESIDENT AND TRUSTEE 138885 0 0 0 3231 0 16680 0 961 0 159757 0 0 0 DAVID PYKE FORMER DEAN, SCHOOL OF BUSINESS 252827 0 0 0 3861 0 31988 0 13394 0 302070 0 0 0 PAULA CORDEIRO FORMER DEAN, SCHOOL OF LEADERSHIP & 203889 0 0 0 24500 0 28437 0 5933 0 262759 0 0 0 ALLEN LAMONT SMITH FORMER HEAD COACH, MEN'S BASKETBALL 145387 0 0 0 188288 0 10719 0 5332 0 349726 0 0 0 SALLY BROSZ HARDIN FORMER DEAN, SCHOOL OF NURSING 174734 0 0 0 28455 0 25182 0 10681 0 239052 0 0 0 PART I, LINE 1A SCHEDULE J, PART I, LINE 1A: TRAVEL FOR COMPANIONS - THE UNIVERSITY PROVIDES FOR THE PRESIDENT'S SPOUSE TO TRAVEL WITH HIM WHEN HER PRESENCE IS REQUIRED FOR UNIVERSITY BUSINESS PURPOSES. NO PART OF THIS BENEFIT IS TREATED AS TAXABLE COMPENSATION. SCHEDULE J, PART I, LINE 1A: HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE - THE PRESIDENT IS PROVIDED ON CAMPUS HOUSING AND IT IS RECORDED AS A NON-TAXABLE BENEFIT. THE VICE PRESIDENT FOR MISSION AND MINISTRY IS PROVIDED ON CAMPUS HOUSING AND IT IS RECORDED AS A NON-TAXABLE BENEFIT. THE VALUE OF THESE BENEFITS ARE REPORTED IN "NONTAXABLE BENEFITS" ON SCHEDULE J, PART II, COLUMN D. PRESIDENT HARRIS OCCUPIED THE RESIDENCE FOR ALL OF FISCAL YEAR 2019. SCHEDULE J, PART I, LINE 1A: PERSONAL SERVICES - THE PRESIDENT WAS PROVIDED HOUSEKEEPING AND FACILITIES MAINTENANCE SERVICES FOR THE PRESIDENT'S ON-CAMPUS RESIDENCE. NO PART OF THE BENEFIT WAS TREATED AS TAXABLE COMPENSATION. THE VALUE OF THIS BENEFIT IS REPORTED IN "NONTAXABLE BENEFITS" ON SCHEDULE J, PART II, COLUMN D. PART I, LINES 4A-B SCHEDULE J, PART I, LINE 4A: ALLEN LAMONT SMITH, HIGHEST COMPENSATED EMPLOYEE, RECEIVED SEVERANCE IN THE AMOUNT OF $100,000. SCHEDULE J, PART I, LINE 4B: JAMES HARRIS III, PRESIDENT, PARTICIPATED IN A 457(F) PLAN. FOR 2018, CONTRIBUTION WAS MADE IN THE AMOUNT OF $100,000. KY SNYDER AND TERRY KALYFAYAN, BOTH OFFICERS PARTICIPATED IN A 457(F) PLAN. FOR 2018, CONTRIBUTIONS WERE MADE IN THE AMOUNTS OF $32,047 AND $35,191, RESPECTIVELY. PART I, LINE 7 NON-FIXED PAYMENTS RECEIVED BY LISTED PERSONS ON SCHEDULE J, PART II, REPRESENT DISCRETIONARY BONUSES NOT BASED ON A FORMULA SPECIFIED IN CONTRACTS. A CALIFORNIA EDUCATION FACILITIES AUTHORITY 521705592 130178YD2 2011-03-16 19562314 NOTE 1 0 0 0 B CALIFORNIA MUNICIPAL FINANCE AUTHORITY 201563466 13048TKY8 2011-10-06 43574459 NOTE 2 0 0 0 C CALIFORNIA MUNICIPAL FINANCE AUTHORITY 201563466 13048TKY8 2012-07-03 10796502 NOTE 3 0 0 0 D CALIFORNIA MUNICIPAL FINANCE AUTHORITY 201563466 2015-07-23 91750000 NOTE 4 0 0 0 A 7725000 19562315 3904 1 0 1 1 B 1630000 43574459 152511 1 0 1 1 C 10796502 3018 1 0 1 1 D 595000 91750000 1 0 1 1 A 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 0 1 0 0 0 0 0 1 D 0 1 0 0 1 1 GEORGE K BAUM FINANCIAL SERVICES 30.000000000000 0 0 0 0 1 A 1 B 1 C 1 D 1 NOTE 1 PART I, COLUMN (F) - DESCRIPTION OF PURPOSE SERIES 2011 (ISSUE DATE MARCH 16, 2011): ADVANCE REFUNDING OF CEFA SERIES 1998 (ISSUE DATE FEBRUARY 25, 1998). NOTE 2 PART I, COLUMN (F) - DESCRIPTION OF PURPOSE SERIES 2011A AND 2011B (ISSUE DATE OCTOBER 6, 2011): SERIES 2011A WAS AN ADVANCE REFUNDING OF THE CALLABLE PORTION OF THE CEFA SERIES 1999 (ISSUE DATE FEBRUARY 4, 1999). SERIES 2011B WAS AN ADVANCE REFUNDING OF THE COUNTY OF SAN DIEGO SERIES 2001 CERTIFICATES OF PARTICIPATION (ISSUE DATE MAY 14, 2001). NOTE 3 PART I, COLUMN (F) - DESCRIPTION OF PURPOSE SERIES 2012 (ISSUE DATE JULY 3, 2012): ADVANCE REFUNDING OF CEFA SERIES 2002A (ISSUE DATE JUNE 6, 2002). NOTE 4 PART I, COLUMN (F) - DESCRIPTION OF PURPOSE SERIES 2015 (ISSUE DATE JULY 23, 2015): ADVANCE REFUNDING OF SERIES 2005 (ISSUE DATE NOVEMBER 16, 2005). PART III, LINES 4 AND 5, COLUMNS A-C: PURSUANT TO IRS GUIDANCE, USD IS NOT REQUIRED TO REPORT PRIVATE BUSINESS USE INFORMATION FOR REFUNDING BONDS THAT REFUNDED BONDS ISSUED BEFORE JANUARY 1, 2003. NICHOLAS LADANY KEY EMPLOYEE MORTGAGE ASSISTANCE X 200000 80000 0 1 1 GAIL BAKER OFFICER MORTGAGE ASSISTANCE X 150000 120000 0 1 1 200000 SEE PART V - SUPPLEMENTAL INFORMATI EMPLOYEE 214901 TUITION ASSISTANCE EMPLOYEE BENEFIT LINDSEY ALLEN FAMILY MEMBER OF OFFICER 33654 SEE PART V 0 ZACHARY HARRIS FAMILY MEMBER OF PRESIDENT AND TRUSTEE 77826 SEE PART V 0 JAMES MCCART FAMILY MEMBER OF VICE PRESIDENT AND PROVOST 44022 SEE PART V 0 DENISE DIMON FAMILY MEMBER OF OFFICER 314690 SEE PART V 0 SCHEDULE L, PART III - GRANTS OR ASSISTANCE BENEFTING INTERESTED PERSONS: PER THE 990 INSTRUCTIONS, THE UNIVERSITY IS NOT REQUIRED TO IDENTIFY THE INTERESTED PERSONS WHO RECEIVED SCHOLARSHIPS, FELLOWSHIPS, AND SIMILAR FINANCIAL ASSISTANCE. INSTEAD, THE UNIVERSITY MUST GROUP EACH TYPE OF ASSISTANCE PROVIDED TO INTERESTED PERSONS. THIS IS DONE IN ORDER TO PROTECT THE IDENTITY OF THE STUDENTS. SCHEDULE L, PART III - BUSINESS TRANSACTION INVOLVING INTERESTED PERSONS: ANDREW T. ALLEN, VICE PRESIDENT FOR INSTITUTIONAL EFFECTIVENESS AND STREATEGIC PLANNING, IS RELATED TO DENISE DIMON, HIS WIFE, WHO IS ALSO AN EMPLOYEE AT THE UNIVERSITY. SHE IS A PROFESSOR OF ECONOMICS, THE ASSOCIATE PROVOST FOR INTERNATIONAL AFFAIRS, AND THE DIRECTOR OF THE AHLERS CENTER FOR INTERNATIONAL BUSINESS. THE AMOUNT SHOWN REPRESENTS IRS FORM W-2 BOX 5 WAGES FOR CALENDAR YEAR 2018 FOR DENISE DIMON AND ASSOCIATED BENEFITS.ANDREW T. ALLEN, VICE PRESIDENT FOR INSTITUTIONAL EFFECTIVENESS AND STREATEGIC PLANNING, IS RELATED TO LINDSEY ALLEN, HIS DAUGHTER, WHO IS ALSO AN EMPLOYEE AT THE UNIVERSITY. SHE IS THE ASSISTANT DIRECTOR OF THE GLOBAL CENTER IN THE SCHOOL OF LEADERSHIP AND EDUCATIONAL SCIENCES. THE AMOUNT SHOWN REPRESENTS IRS FORM W-2 BOX 5 WAGES FOR CALENDAR YEAR 2018 FOR LINDSAY ALLEN AND ASSOCIATED BENEFITS.JAMES T. HARRIS III, PRESIDENT AND TRUSTEE, IS RELATED TO ZACHARY HARRIS, HIS SON, WHO IS ALSO AN EMPLOYEE AT THE UNIVERSITY. HE IS THE ASSISTANT ATHLETIC DIRECTOR FOR DEVELOPMENT. THE AMOUNT SHOWN REPRESENTS IRS FORM W-2 BOX 5 WAGES FOR CALENDAR YEAR 2018 FOR ZACHARY HARRIS AND ASSOCIATED BENEFITS.GAIL MCCARTY BAKER, VICE PRESIDENT AND PROVOST, IS RELATED TO JAMES MCCARTY, HER HUSBAND, WHO IS ALSO AN EMPLOYEE AT THE UNIVERSITY. HE IS THE CREDENTIALING ANALYSY IN THE SCHOOL OF LEADERSHIP AND EDUCATIONAL SCIENCES. THE AMOUNT SHOWN REPRESENTS IRS FORM W-2 BOX 5 WAGES FOR CALENDAR YEAR 2018 FOR JAMES MCCARTY AND ASSOCIATED BENEFITS. X 22 7362801 MARKET VALUE 2 0 1 1 PART I, LINE 32B: THE UNIVERSITY UTILIZES A BROKER TO SELL STOCK GIFTS RECEIVED. FORM 990, PART VI, SECTION B, LINE 11B A COPY OF THE FORM 990 IS PRESENTED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AND A COPY OF THE 990 IS AVAILABLE TO THE ORGANIZATION'S ENTIRE GOVERNING BOARD ONLINE AT THE SECURED TRUSTEE WEBSITE BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C EACH YEAR THE BOARD OF DIRECTORS AND EXCUTIVE MANAGEMENT ARE REQUIRED TO SIGN A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ANY CONFLICT IS REVIEWED AND HANDLED IN ACCORDANCE WITH THE WRITTEN POLICY. FORM 990, PART VI, SECTION B, LINE 15 THE BOARD OF TRUSTEES EXECUTIVE COMPENSATION COMMITTEE DETERMINES COMPENSATION USING COMPARABLE DATA AND CONTEMPORANEOUSLY DOCUMENTING ITS DECISIONS. THIS PROCESS IS DONE ANNUALLY FOR THE PRESIDENT AND THE VICE PRESIDENTS. THE PROVOST/VICE PRESIDENT FOR ACADEMIC AFFAIRS DETERMINES THE COMPENSATION FOR THE DEANS USING MARKET BENCHMARK DATA PREPARED INTERNALLY AND THE BENCHMARK SCHOOLS ARE SELECTED BY THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION C, LINE 18 FORMS 990 AND 990T ARE AVAILABLE TO THE PUBLIC BY VIEWING THE GUIDESTAR WEBSITE AND UPON REQUEST FROM THE OFFICE OF TAX & COMPLIANCE AT 619-260-4683; COMPLIANCE@SANDIEGO.EDU; OR ONSITE FROM THE OFFICE OF TAX & COMPLIANCE. FORM 1023 IS AVAILABLE UPON REQUEST FROM THE OFFICE OF TAX & COMPLIANCE AT 619-260-2302; COMPLIANCE@SANDIEGO.EDU; OR ONSITE FROM THE OFFICE OF TAX & COMPLIANCE. FORM 990, PART VI, SECTION C, LINE 19 AUDITED FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST FROM THE OFFICE OF THE CONTROLLER AT 619-260-2302; ACCOUNTING@SANDIEGO.EDU; GOVERNING DOCUMENTS ARE AVAILABLE UPON REQUEST FROM THE OFFICE OF THE PRESIDENT AT 619-260-4520; CONFLICT OF INTEREST POLICY IS AVAILABLE ONLINE AT WWW.SANDIEGO.EDU. FORM 990, PART XI, LINE 9: K-1 PASSTHROUGH LOSS 3,004,395.