2020-11-16T18:21:05-06:00 2020-06-30 366055558 GRANT THORNTON LLP 757 THIRD AVE 3RD FLOOR NEW YORK NY 100172013 990 2019-07-01 866051042 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY ARIZ 4809651791 PO BOX 2260 TEMPE AZ 852802260 VIRGINIA E DESANTO DIRECTOR, TREASURER 4809651791 2020-11-16 1 DANIEL ROMANO P00504182 2125990100 2020-11-13 68.100.106.138 2020-11-16 18:21:00 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 006362C19FAAB57CE450DCEB571610CC84329801 2019 2021-01-29 14:40:06Z ASU FOUNDATION GRETCHEN BUHLIG PO BOX 2260 TEMPE AZ 852802260 567892152 0 X WWW.ASUFOUNDATION.ORG X 1955 AZ SEE SCHEDULE O. 12 10 183 10 -861998 -1084677 183737843 173596169 1038264 504787 58852676 57620920 2412591 2442087 246041374 234163963 110100873 135324116 0 0 3093649 4573368 902542 372961 6060496 23127087 26894412 137224151 167164857 108817223 66999106 1250283209 1302658843 301030537 308364091 949252672 994294752 X THE ASU FOUNDATION FOR A NEW AMERICAN UNIVERSITY IS A PRIVATE, NONPROFIT ORGANIZATION THAT RAISES AND MANAGES PRIVATE CONTRIBUTIONS TO SUPPORT THE WORK OF ARIZONA STATE UNIVERSITY. 0 0 54209053 47363441 641095 SPECIFIC UNIVERSITY PROGRAMS - THE ASU FOUNDATION PROVIDED MORE THAN $54 MILLION IN SUPPORT OF SUSTAINABILITY AND EDUCATION ACTIVITIES, ENTREPRENEURIAL ACTIVITIES, AND PROGRAMMING ACTIVITIES. IN ADDITION TO THE PROGRAM REVENUE OF NEARLY $1 MILLION, ASU FOUNDATION PROVIDED NEARLY $40 MILLION IN CONTRIBUTIONS FOR THESE ACTIVITIES. 40656790 37890752 445979 RESEARCH SUPPORT - THE ASU FOUNDATION PROVIDED MORE THAN $40 MILLION IN RESEARCH FUNDING FOR ASU. IN ADDITION TO NEARLY HALF A MILLION OF PROGRAM REVENUE, THE ASU FOUNDATION PROVIDED NEARLY $28 MILLION OF CONTRIBUTIONS TO ASU IN SUPPORT OF RESEARCH IN INFORMATION PRIVACY AND SECURITY; SUPPLY CHAIN MANAGEMENT; ENVIRONMENT AND SUSTAINABILITY; EARLY CHILDHOOD EDUCATION AND OTHER AREAS. 18069684 16238894 752590 STUDENT AND FACULTY SUPPORT - THE ASU FOUNDATION PROVIDED OVER $18 MILLION FOR ASU PROGRAMS THAT ASSIST UNDERGRADUATE AND GRADUATE STUDENTS. IN ADDITION TO NEARLY $1 MILLION OF PROGRAM REVENUE, ASU FOUNDATION PROVIDED NEARLY $47 MILLION OF CONTRIBUTIONS TO SUPPORT FACULTY RECOGNITION AND PROFESSORSHIPS AND FOR STUDENT SUPPORT. 37645176 33831029 947707 THE ASU FOUNDATION PROVIDED OVER $40 MILLION TO SUPPORT THE EDUCATION, RESEARCH, PUBLIC SERVICE AND OTHER ACTIVITIES OF ARIZONA STATE UNIVERSITY. IN ADDITION TO THE MORE THAN $1 MILLION OF PROGRAM REVENUE, ASU FOUNDATION PROVIDED OVER $60 MILLION OF CONTRIBUTIONS IN SUPPORT OF THESE ACTIVITIES. 37645176 33831029 947707 150580703 1 1 0 1 0 0 0 0 1 1 1 1 0 0 1 1 0 1 0 0 1 0 0 1 0 0 0 1 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 1 1 1 0 0 1 171 0 1 183 1 1 1 0 0 0 0 1 1 0 0 0 0 0 0 X 12 10 0 0 0 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 0 AK AZ CO HI MN NY OK OR SC X X VIRGINIA E DESANTO 4809651791 300 E UNIVERSITY DRIVE TEMPE AZ 85281 RF SHANGRAW JR PRESIDENT/CEO TO 1/3/20 24.00 36.00 X 0 729465 72267 GRETCHEN BUHLIG CEO 50.00 0.00 X 391345 0 22315 MARCEL VALENTA SECRETARY TO 10/2/2019 24.00 36.00 X 0 339506 49605 HOPE SHARETT SECRETARY/GENERAL COUNSEL 4.00 56.00 X 0 41906 7159 KIMBERLY HOPELY SENIOR VP DEVELOPMENT 50.00 0.00 X 264896 0 51222 VIRGINIA DESANTO VICE PRESIDENT, CFO & TREASURER 15.00 45.00 X X 0 270232 39600 PATRICK MCDERMOTT CHIEF ENGAGEMENT OFFICER THUNDERBIRD 50.00 0.00 X 216355 0 36376 SYBIL FRANCIS DIR STRAT ADV, EXECUTIVE-ON-LOAN 40.00 0.00 X 224352 0 19317 SCOTT NELSON SENIOR ASSOCIATE ATHLETIC DIRECTOR 40.00 0.00 X 182845 0 32982 SHAUN BRENTON ASSC VP CORP & FNDN RELATIONS 40.00 0.00 X 176935 0 33287 MICHAEL M CROW DIRECTOR 1.00 1.00 X 0 0 0 MORGAN OLSEN DIRECTOR 1.00 2.00 X 0 0 0 JOSE CARDENAS DIRECTOR 1.00 2.00 X 0 0 0 WILLIAM POST DIRECTOR 1.00 1.00 X 0 0 0 JUANITA FRANCIS VICE CHAIR 1.00 1.00 X 0 0 0 JOHN W GRAHAM CHAIR 1.00 1.00 X 0 0 0 HARRY PAPP DIRECTOR 1.00 1.00 X 0 0 0 IRA A FULTON DIRECTOR TO 02/2020 1.00 1.00 X 0 0 0 MALISSIA CLINTON DIRECTOR 1.00 0.00 X 0 0 0 MARY HENTGES DIRECTOR 1.00 0.00 X 0 0 0 DOUG FULTON DIRECTOR 1.00 1.00 X 0 0 0 DANIEL DILLON DIRECTOR 20.00 40.00 X 0 0 0 1456728 1381109 364130 30 0 1 0 BLACKROCK 40 E 52ND STREET NEW YORK NY 10022 INVESTMENT MGMT 1693290 WONDROS 8330 W 3RD STREET LOS ANGELES CA 90048 MEDIA CONSULTING 874333 DAUN LLC 207 WEST 21ST STREET SUITE 3 NEW YORK NY 10011 PROF. FUNDRAISING 280862 THE EUDY COMPANY 4200 MASSACHUSETTS AVE NW WASHINGTON DC 20016 PROF. FUNDRAISING 272871 KOHALA INSTITUTE 53-496 IOLE ROAD KAPAAU HI 96755 EDUCATION 267993 7 X 1936192 171659977 9885160 173596169 PROGRAM SUPPORT 611710 565771 565771 PROGRAM REVENUE AND MEMBERSHIPS 541900 -60984 -60984 504787 16922829 -861998 17784827 159503 159503 374426280 333728189 40698091 40698091 40698091 ASSET MANAGEMENT FEES 900099 2200961 2200961 MISCELLANEOUS 900099 81623 81623 2282584 234163963 2787371 -861998 58642421 X 135324116 135324116 386853 386853 243669 243669 2862956 144 2862812 223260 223260 612691 3097 609594 243939 243939 3990 3990 81835 81835 372961 372961 2394069 2394069 2685234 2311110 2281 371843 38960 9678 29282 815195 614295 76257 124643 32316 18147 14169 24648 1831 22309 508 709300 559038 150262 83674 17654 66020 13923028 3735000 10188028 61266 61266 45906 45681 225 MEALS AND CULTIVATION 4358301 4021844 336457 OTHER EXPENSES 1112450 1111868 582 FEES/SUBSCRIPTIONS 524240 413131 76706 34403 167164857 150580703 10523658 6060496 1702519 4796589 156535925 165353667 406967 3353076 15436 31391 4791277 4104532 688234 686745 564721164 592389089 517378066 526075363 0 0 8834898 9972923 1250283209 1302658843 2565964 4669396 0 0 295809302 300796363 2655271 2898332 301030537 308364091 X 5146113 2250734 944106559 992044018 949252672 994294752 1250283209 1302658843 X 66999106 -12425492 -9531534 X 0 1 X 1 0 X 120129408 108609322 171999959 183737843 173596169 758072701 120129408 108609322 171999959 183737843 173596169 758072701 43437398 714635303 11392370 8862987 9330873 13903084 17944330 61433644 819506345 29836443 0.87200 0.86850 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 166791896 0 166791896 0 1000000 0 250000 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 492780 344780 0 0 837560 250000 250000 250000 250000 1000000 1500000 0 0 0 0 SCHEDULE C, PART II-A INFORMATION REGARDING LOBBYING ACTIVITIES AS A PART OF ITS MISSION, THE ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY (ASUF OR FOUNDATION)'S PARENT ORGANIZATION, ASU ENTERPRISE PARTNERS (EP), CONTRIBUTES TO PUBLIC COMMUNICATION AND AVOCACY ACTIVTIES THAT SUPPORT HIGHER EDUCATION IN ARIZONA AND THE NEED FOR ADEQUATE FUNDING TO PROVIDE EXCELLENT EDUCATIONAL OPPORTUNITIES FOR ARIZONA RESIDENTS. 1 1414238 66344 -59452 1421130 1 X 640042430 41806294 22602811 23827409 10223363 670400763 553203978 61695914 51620194 26990053 -512397 640042430 507898539 41658678 27764034 25537334 -1420061 553203978 473400027 16925057 50438811 21855269 11010087 507898539 502048855 14088297 -18851821 17472861 6412443 473400027 0.00000 0.79000 0.21000 0 0 682280 682280 0 0 4108997 4104532 4465 0 686745 GLOBAL EQUITIES 78351314 F GLOBAL FIXED INCOME 133311184 F DIVERSIFYING STRATEGIES 119609566 F REAL ASSETS 93500978 F PRIVATE CAPITAL 101298120 F OTHER CASH INVESTMENTS 4201 F 526075363 SPLIT-INTEREST AGMT OBLIGATIONS 2898332 2898332 X 220671489 -12425492 -9094684 -21520176 242191665 2394069 -10421771 -8027702 234163963 175622518 11902819 11902819 163719699 2394069 1051089 3445158 167164857 PART IV, LINE 1B: ESCROW AND CUSTODIAL ARRANGEMENTS THE FOUNDATION IS THE SOLE TRUSTEE OF TAYLOR TRUST FBO ASU FOUNDATION (TAYLOR TRUST). TAYLOR TRUST'S MISSION IS TO ESTABLISH AND MAINTAIN THE FRED E. TAYLOR CHAIRED PROFESSORSHIP IN REAL ESTATE AT THE ARIZONA STATE UNIVERSITY W.P. CAREY SCHOOL OF BUSINESS. PART IV, LINE 2B: ESCROW OR CUSTODIAL ACCOUNT LIABILITY ASUF HOLDS ASSETS AS THE TRUSTEE OF A GRANTOR TRUST FOR ASU AND HOLDS ASSETS UNDER AN INVESTMENT AGREEMENT WITH THE ASU ALUMNI ASSOCIATION. PART V, LINE 4: INTENDED USE OF ENDOWMENT ALL ENDOWMENT EXPENDITURES SUPPORT THE EDUCATION, RESEARCH, PUBLIC SERVICE, AND OTHER ACTIVITIES OF ARIZONA STATE UNIVERSITY. PART X, LINE 2: FIN 48 (ASC 740) FOOTNOTE THE FOUNDATION IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(A) AS AN ORGANIZATION DESCRIBED IN SECTION 501(C)(3) AND IS FURTHER CLASSIFIED AS A PUBLIC CHARITY AS DESCRIBED IN SECTIONS 509(A)(1) AND 170(B)(1)(A)(IV) OF THE INTERNAL REVENUE CODE. THOUGH GENERALLY TAX-EXEMPT IT IS SUBJECT TO TAX ON INCOME UNRELATED TO ITS EXEMPT PURPOSES, UNLESS THAT INCOME IS OTHERWISE EXCLUDED BY THE CODE. THE FOUNDATION HAS PROCESSES PRESENTLY IN PLACE TO ENSURE THE MAINTENANCE OF ITS TAX-EXEMPT STATUS; TO IDENTIFY AND REPORT UNRELATED INCOME; TO DETERMINE ITS FILING AND TAX OBLIGATIONS IN JURISDICTIONS FOR WHICH IT HAS NEXUS; AND TO IDENTIFY AND EVALUATE OTHER MATTERS THAT MAY BE CONSIDERED TAX POSITIONS. THE FOUNDATION FOLLOWS GUIDANCE THAT CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN, INCLUDING ISSUES RELATING TO FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT. THIS GUIDANCE PROVIDES THAT THE TAX EFFECTS FROM AN UNCERTAIN TAX POSITION CAN ONLY BE RECOGNIZED IN THE FINANCIAL STATEMENTS IF THE POSITION IS "MORE-LIKELY-THAN-NOT" TO BE SUSTAINED IF THE POSITION WERE TO BE CHALLENGED BY A TAXING AUTHORITY. THE ASSESSMENT OF THE TAX POSITION IS BASED SOLELY ON THE TECHNICAL MERITS OF THE POSITION, WITHOUT REGARD TO THE LIKELIHOOD THAT THE TAX POSITION MAY BE CHALLENGED. THE TAX YEARS ENDING JUNE 30, 2020, 2019, 2018, AND 2017 ARE STILL OPEN TO AUDIT FOR BOTH FEDERAL AND STATE PURPOSES. THE FOUNDATION HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENT AS OF JUNE 30, 2020 AND 2019. PART XI, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS 1,400,852. CHANGE IN ASSETS DUE TO OTHER ENTITIES -10,495,536. PART XI, LINE 4B - OTHER ADJUSTMENTS: SERVICE AGREEMENT -11,902,819. FOREIGN TAXES 1,051,089. TAYLOR TRUST REVENUE -6,891. ENTERPRISE PARTNERS INVESTMENT EXPENSE 436,850. PART XII, LINE 2D - OTHER ADJUSTMENTS: SERVICE AGREEMENT 11,902,819. PART XII, LINE 4B - OTHER ADJUSTMENTS: FOREIGN TAXES 1,051,089. EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 39377854 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 1999647 NORTH AMERICA 0 0 INVESTMENTS 458808 0 0 0 0 0 0 41836309 0 41836309 1 0 1 1 1 0 PART III ACCOUNTING METHOD: X X X X X 1 THE EUDY COMPANY LTD 4200 MASSACHUSETTS AVE NW WASHINGTON DC 20016 FUNDRAISER 0 4990816 270000 4990816 ELIASSEN GROUP 55 WALKERS BROOK DR READING MA 01867 CONSULTING 0 0 198000 0 LAUREL STRATEGIES INC 2101 L STREET NW WASHINGTON DC 20037 CONSULTING 0 0 100000 0 SCOTT PRENN LLP 28 OLD BROMPTON RD LONDON UK SW7 3SS CONSULTING 0 0 184800 0 AMBER JOHNSON 2710 CORIANDER PLACE EDGEWATER MD 21037 CONSULTING 0 0 110370 0 DAUN LLC 207 WEST 21ST ST NEW YORK NY 10011 CONSULTING 0 0 300000 0 ELIZABETH GIUDICESSI 16 WAVERLY COURT MENLO PARK CA 940253549 CONSULTING 0 0 10000 0 YM INTERESTS LLC 2525 NORTH LOOP W HOUSTON TX 77008 CONSULTING 0 0 24000 0 4990816 1197170 4990816 AK AZ CO HI MN NY OK OR SC SCHEDULE G, PART I, COLUMN (IV) GROSS RECEIPTS FROM ACTIVITY ASUF DID NOT RECEIVE ANY GROSS RECEIPTS AS A RESULT OF THE PAID FUNDRAISER ACTIVITIES AMOUNTS PAID WERE FOR FUNDRAISING MATERIALS AND COUNSEL ONLY. 1 AMERICAN HEART ASSOCIATION 7272 GREENVILLE AVE DALLAS TX 75231 135613797 501(C)3 8870 COMMUNITY OUTRAECH AMERICAN LEGISLATIVE EXCHANGE COUNCIL 2900 CRYSTAL DRIVE 6TH FLOOR ARLINGTON VA 22202 520140979 501(C)3 50000 PROGRAM SUPPORT AMERICAN SOCIETY FOR ENGINEERING EDUCATION 1818 N STREET NW SUITE 600 WASHINGTON DC 20036 370730118 501(C)3 6000 COMMUNITY OUTREACH ARIZONA FOOD MARKETING ALLIANCE 120 E PIERCE ST PHOENIX AZ 85004 860069988 501(C)6 5500 COMMUNITY OUTREACH ARIZONA STATE UNIVERSITY PO BOX 873702 TEMPE AZ 85287 860196696 115 738876 PROGRAM SUPPORT ASU ALUMNI ASSOCIATION PO BOX 873702 TEMPE AZ 85287 866053009 501(C)3 22400 PROGRAM SUPPORT ASU PREPARATORY ACADEMY PO BOX 877304 TEMPE AZ 85287 260664313 501(C)3 1023824 PROGRAM SUPPORT SUN ANGEL FOUNDATION PO BOX 872205 TEMPE AZ 85287 860138459 501(C)3 12300 PROGRAM SUPPORT CENTER TO COMBAT HUMAN TRAFFICKING 145 N MERCHANT ST DECATUR IL 62523 842293234 501(C)3 20110215 COMMUNITY OUTREACH CHICANOS POR LA CAUSA INC 1112 E BUCKEYE RD PHOENIX AZ 85034 860227210 501(C)3 20000 COMMUNITY OUTREACH COLLEGE SUCCESS ARIZONA 4040 E CAMELBACK RD SUITE 220 PHOENIX AZ 85018 202366755 501(C)3 579064 PROGRAM SUPPORT EARTH SCHOOL EDUCATIONAL FOUNDATION INC 555 N CENTRAL AVENUE SUITE 402P ASU PHOENIX AZ 85004 261294422 501(C)3 147333 PROGRAM SUPPORT GOLDWATER INSTITUTE 500 E CORONADO RD PHOENIX AZ 85004 860597661 501(C)3 10000 COMMUNITY OUTREACH INTERNATIONAL WOMENS MEDIA FOUNDATION 1625 K STREET NW WASHINGTON DC 20006 521648942 501(C)3 58112 COMMUNITY OUTREACH JUNIOR ACHIEVEMENT OF ARIZONA INC 636 WEST SOUTHERN AVENUE TEMPE AZ 85282 860184349 501(C)3 30000 PROGRAM SUPPORT MARICOPA COMMUNITY COLLEGE 2411 W 14TH ST TEMPE AZ 85281 860185552 115 8555 PROGRAM SUPPORT NATIONAL FOOTBALL FOUNDATION 433 LAS COLINAS BLVD EAST SUITE 113 IRVING TX 75039 221508812 501(C)3 8025 COMMUNITY OUTREACH NORTHERN ARIZONA UNIVERISTY PO BOX 4080 FLAGSTAFF AZ 86011 742579628 115 6500 PROGRAM SUPPORT PHOENIX COMMITTEE ON FOREIGN RELATIONS 7729 E GREENWAY RD SUITE 300 SCOTTSDALE AZ 85260 860929211 501(C)3 8000 COMMUNITY OUTREACH SOCIETY OF HISPANIC PROFESSIONAL ENGINEERS 13181 CROSSROADS PARKWAY NORTH SUITE 220 CITY OF INDUSTRY CA 91746 721549994 501(C)3 15000 COMMUNITY OUTREACH THE STATE OF BLACK ARIZONA 24 W CAMELBACK RD 558 PHOENIX AZ 85013 473755556 501(C)3 10000 PROGRAM SUPPORT STATE POLICY NETWORK 1655 N FORT MYER DRIVE SUITE 360 ARLINGTON VA 22209 570952531 501(C)3 45000 PROGRAM SUPPORT SUN DEVIL MOCK TRIAL 3026 E NORWOOD ST MESA AZ 85213 721618795 501(C)3 8000 PROGRAM SUPPORT THE PHOENIX EMERALD FOUNDATION PO BOX 67956 PHOENIX AZ 85082 825429002 501(C)3 6500 COMMUNITY OUTREACH THUNDERBIRD SCHOOL OF GLOBAL MANAGEMENT 400 E VAN BUREN SUITE 900 PHOENIX AZ 85004 860105586 501(C)3 214937 PROGRAM SUPPORT UNIVERSITY OF ARIZONA 888 N EUCLID AVE ROOM 402 TUCSON AZ 85721 742652689 115 52386 PROGRAM SUPPORT ASU ENTERPRISE PARTNERS PO BOX 2260 TEMPE AZ 85280 475599177 501(C)3 3735000 PROGRAM SUPPORT 26 1 SCHEDULE I, PART I, LINE 2 PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS GRANTS PAID CONSIST OF FUNDS PROVIDED TO ARIZONA STATE UNIVERSITY, ITS AFFILIATES, AND OTHER FOR-PROFITS AND NON-PROFITS FOR ASU RELATED INITIATIVES, WHICH ARE ACCOUNTED FOR AND MONITORED THROUGH THE USE OF ACCOUNTS AND ACCOUNT PURPOSE AT THE TIME OF EACH DISBURSEMENT. X X X 0 0 0 0 0 0 0 1 0 RF SHANGRAW JR PRESIDENT/CEO TO 1/3/20 0 494696 0 234769 0 0 0 38600 0 33667 0 801732 0 0 GRETCHEN BUHLIG CEO 349952 0 33150 0 8243 0 19600 0 2715 0 413660 0 0 0 MARCEL VALENTA SECRETARY TO 10/2/2019 0 277506 0 62000 0 0 0 19600 0 30005 0 389111 0 0 KIMBERLY HOPELY SENIOR VP DEVELOPMENT 240326 0 24570 0 0 0 18341 0 32881 0 316118 0 0 0 VIRGINIA DESANTO VICE PRESIDENT, CFO & TREASURER 0 245200 0 24000 0 1032 0 18460 0 21140 0 309832 0 0 PATRICK MCDERMOTT CHIEF ENGAGEMENT OFFICER THUNDERBIRD 204355 0 12000 0 0 0 15453 0 20923 0 252731 0 0 0 SYBIL FRANCIS DIR STRAT ADV, EXECUTIVE-ON-LOAN 224352 0 0 0 0 0 15474 0 3843 0 243669 0 0 0 SCOTT NELSON SENIOR ASSOCIATE ATHLETIC DIRECTOR 168599 0 8000 0 6246 0 12680 0 20302 0 215827 0 0 0 SHAUN BRENTON ASSC VP CORP & FNDN RELATIONS 168935 0 8000 0 0 0 12642 0 20645 0 210222 0 0 0 PART I, LINE 7 NON-FIXED PAYMENTS BONUSES ARE GIVEN ON A DISCRETIONARY BASIS BASED ON PERFORMANCE REVIEWS AT THE END OF THE YEAR. SYBIL FRANCIS FAMILY MEMBER OF DIRECTOR 243669 COMPENSATION FOR EMPLOYMENT 0 SCHEDULE L, PART IV, COLUMN (C) THE AMOUNT OF COMPENSATION REPORTED FOR SYBIL INCLUDES SALARY, BENEFITS, AND OTHER DEFERRED COMPENSATION. X 62 8865160 FMV X OTHER ASSETS 1 1020000 FMV 0 1 1 PART I, COLUMN (B): THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTIONS IN COLUMN (B). PART I, LINE 32B: THE FOUNDATION USES A VARIETY OF BROKERAGE AND SERVICE COMPANIES TO CONVERT NON-CASH GIFTS TO CASH BASED ON THE TYPE OF NON-CASH GIFT RECEIVED. FORM 990, PART I, LINE 1, DESCRIPTION OF ORGANIZATION MISSION THE ASU FOUNDATION FOR A NEW AMERICAN UNIVERSITY IS A PRIVATE, NONPROFIT ORGANIZATION THAT RAISES AND MANAGES PRIVATE CONTRIBUTIONS TO SUPPORT THE WORK OF ARIZONA STATE UNIVERSITY. FORM 990, PART VI, SECTION A, LINE 6 MEMBERS OR STOCKHOLDERS ASU ENTERPRISE PARTNERS SERVES AS THE SOLE MEMBER OF THE ORGANIZATION, AND PROVIDES THEM WITH VARIOUS SUPPORTING SERVICES, SUCH AS LEGAL, HUMAN RESOURCES, FINANCIAL, AND MARKETING AND TECHNICAL SERVICES. IN ADDITION, ASU ENTERPRISE PARTNERS MANAGES THE RESERVES AND PROVIDES GUIDANCE AND OVERSIGHT OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A MEMBERS WITH POWERS TO ELECT OR APPOINT ASU ENTERPRISE PARTNERS AS THE SOLE MEMBER HAS THE POWER TO ELECT OR APPOINT MEMBERS OF THE GOVERNING BODY OF THE FOUNDATION. FORM 990, PART VI, SECTION A, LINE 7B DECISION SUBJECT TO APPROVAL PER THE BYLAWS OF ASUF, THE FOLLOWING ACTIONS SHALL NOT BE TAKEN BY THE CORPORATION WITHOUT THE APPROVAL OF THE MEMBER: ELECTION AND REMOVAL OF DIRECTORS, AMENDMENT OF THE ARTICLES OF INCORPORATION OF THE CORPORATION, AMENDMENT OF THE BYLAWS OF THE CORPORATION, MERGER, CONSOLIDATION OR DISSOLUTION OF THE CORPORATION, THE CREATION OF ANY SUBSIDIARIES OR AFFILIATES OF THE CORPORATION, ADOPTION OF THE STRATEGIC AND ANNUAL BUSINESS PLANS AND ADOPTION OF THE ANNUAL BUDGET PREPARED BY THE CORPORATION AND ANY ACTIONS TAKEN BY THE CORPORATION, THE SELECTION AND RETENTION OF THE CEO OF THE CORPORATION, THE MAKING OF ANY CAPITAL EXPENDITURES, THE SELECTION OF THE MANNER AND LOCATION OF INVESTMENT OF ANY FINANCIAL ASSETS, THE CREATION OR EXTENSION OF ANY LOANS BY OR ANY BORROWING BY THE CORPORATION OR THE SALE OF ANY CAPITAL ASSETS BY THE CORPORATION. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCESS ASUF'S FORM 990, RETURN OF ORGANIZATION EXEMPT FROM INCOME TAX, IS PREPARED BY AN OUTSIDE ACCOUNTING FIRM. THE DRAFT IS SUBMITTED TO ASUF'S MANAGEMENT FOR REVIEW AND ACCURACY OF REPORTING. THE BOARD OF DIRECTORS HAS DELEGATED REVIEW OF THE FORM 990 TO THE AUDIT COMMITTEE OF ASU ENTERPRISE PARTNERS. MANAGEMENT AND A REPRESENTATIVE OF THE OUTSIDE ACCOUNTING FIRM REVIEW THE FORM 990 WITH THE AUDIT COMMITTEE. ONCE APPROVED AND ACCEPTED BY THE AUDIT COMMITTEE, A FULL COPY OF THE FORM 990 IS PROVIDED TO THE ENTIRE BOARD OF DIRECTORS. IT IS THEN SIGNED BY THE TREASURER AND SUBMITTED ELECTRONICALLY TO THE IRS AND BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 12C PROCESS FOR MONITORING AND ENFORCEMENT OF CONFLICT OF INTEREST UPON HIRE AND ON AN ANNUAL BASIS, ALL EMPLOYEES AND BOARD MEMBERS ARE REQUIRED TO DISCLOSE ANY CONFLICTS OR POTENTIAL CONFLICTS RELATING TO THEIR INVOLVEMENT WITH ASUF. IN ADDITION, ANY TIME THE INDIVIDUALS REFERRED TO ABOVE BECOME AWARE OF A NEW CONFLICT, THEY ARE REQUIRED TO SUBMIT AN UPDATED CONFLICT OF INTEREST/COMMITMENT FORM TO EP'S GENERAL COUNSEL. ANY IDENTIFIED CONFLICTS WOULD BE REVIEWED BY THE BOARD CHAIR AND THE CEO TO DETERMINE ANY MITIGATION ACTIONS NEEDED. FORM 990, PART VI, SECTION B, LINE 15 PROCESS FOR DETERMINING COMPENSATION OF CEO/KEY EMPLOYEES FOR ASUF, THE BOARD OF DIRECTORS APPROVES THE COMPENSATION PACKAGE FOR THE CEO BASED ON CURRENT MARKET COMPARISONS PROVIDED BY THE FOUNDATION'S HUMAN RESOURCES DEPARTMENT (WHICH OBTAINS THIS INFORMATION FROM AN INDEPENDENT COMPENSATION CONSULTANT), RESPONSIBILITIES OF THE POSITION, GOALS OF THE FOUNDATION, AND NEGOTIATIONS WITH THE CEO. ALL OTHER COMPENSATION DECISIONS FOR KEY EMPLOYEES HAVE BEEN DELEGATED FROM THE BOARD OF DIRECTORS TO THE CEO, WHO FOLLOWS A SIMILAR PROCESS AFOREMENTIONED. FORM 990, PART VI, SECTION C, LINE 19 DOCUMENTS MADE AVAILABLE TO THE PUBLIC THE FINANCIAL STATEMENTS, FORM 990, AND FORM 990-T FOR ASUF ARE AVAILABLE TO THE PUBLIC ON THE ORGANIZATION'S WEBSITE. THE ORGANIZATION'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST STATEMENT ARE NOT MADE AVAILABLE TO THE PUBLIC. FORM 990, PART VIII AND FORM 990, PART IX ADDITIONAL INFORMATION REGARDING FUNDRAISING IN ITS EFFORT TO SUPPORT ASU, ASUF PERFORMS A BROAD SCOPE OF SERVICES THAT INCLUDE FUNDRAISING AND INVESTMENT MANAGEMENT SERVICES. ASUF'S FUNDRAISING EXPENSES SUPPORT ACTIVITIES THAT GENERATE CONTRIBUTIONS THAT GO DIRECTLY TO ENTITIES OTHER THAN ITSELF, SUCH AS ASU AND OTHER ASU AFFILIATES; THUS, NOT ALL FUNDRAISING RESULTS GENERATED THROUGH ASUF'S EFFORTS ARE REFLECTED IN THE CONTRIBUTION TOTALS ON ASUF'S FORM 990. FORM 990, PART XI, LINE 9: CHANGE IN ASSEST DUE TO OTHER ENTITIES -10,495,536. CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS 1,400,852. ENTERPRISE PARTNERS INVESTMENT EXPENSE -436,850. TAYLOR TRUST FBO ASU FOUNDATION PO BOX 2260 TEMPE AZ 85280 866252445 SUPPORT AZ 501(C)(3) LINE 12A, I ASUF 1 ASU RESEARCH ENTERPRISE PO BOX 2260 TEMPE AZ 85280 900868685 SUPPORT AZ 501(C)(3) LINE 10 EP 0 RESEARCH COLLABORATORY AT ASU PO BOX 2260 TEMPE AZ 85280 463815674 SUPPORT AZ 501(C)(3) LINE 7 EP 0 ASU ENTERPRISE PARTNERS PO BOX 2260 TEMPE AZ 85280 475599177 HOLDING AZ 501(C)(3) LINE 5 N/A 0 ASU FOUNDATION MEXICO AC SIERRA MOJADA 626 EDIFICIO NO CIUDAD DE MEXICO MX 1101 EDUCATION MX 501(C)(3) GLOBAL III 0 RCASU GERMANY GGMBH VALENTINSKAMP 70 HAMBURG GM 20355 HOLDING CO. GM 501(C)(3) RCASU GERMNY 0 ECASU TRUST (MALAWI) PLOT NUMBER BWAILA 14/115 LILONGWE MI 020244133 EDUCATION MI 501(C)(3) RCASU 0 AZTE VENTURES CO 1475 N SCOTTSDALE RD STE 200 SCOTTSDALE AZ 85257 270151042 SOLAR ENERGY AZ N/A C 0 CHARITABLE REMAINDER TRUST (16) CHARIT REM TR AZ N/A T 0 TEOTIHUACAN HOLDINGS LLC PO BOX 2260 TEMPE AZ 852802260 811792379 HOLDING CO. DE N/A C 0 0 1 1 0 0 0 0 0 0 0 0 1 1 1 1 1 0 0 1 TAYLOR TRUST FBO ASU FOUNDATION C 52841 FMV