2020-03-02T21:00:41-06:00 2019-06-30 PRICEWATERHOUSECOOPERS LLP 2001 MARKET STREET SUITE 1800 PHILADELPHIA PA 19103 990 2018-07-01 237314834 UC SANTA BARBARA FOUNDATION % MELODIE LEE UCSB FDN UCSA 8058935274 UNIVERSITY OF CALIFORNIA SANTA BARBARA CA 931061130 CHRISTIAN TREITLER DIRECTOR, FIN & ADM 8058938585 2020-02-28 true ERICA R MCREYNOLDS P00977806 2673303000 155.201.35.58 04363820200625000105 2020-03-02 P 6CFBC1E470B119DB9F0B0C745D98B714AAF1A9A1 6CFBC1E470B119DB9F0B0C745D98B714AAF1A9A1 2018 2020-09-23 17:36:50Z Christian Treitler 4219A CHEADLE HALL UC SANTA BARBARA CA 931062011 69174611 false X WWW.IA.UCSB.EDU/UCSB-FOUNDATION X 1973 CA THE UC SANTA BARBARA FOUNDATION IS A NON -PROFIT, PUBLIC-BENEFIT CORPORATION ORGANIZED TO RAISE, ACCEPT, AND ADMINISTER PRIVATE GIFTS AND GRANTS TO UC SANTA BARBARA. 98 89 0 98 0 -3718 24028088 39420333 0 0 1414020 1390198 253899 118594 25696007 40929125 19770917 19097229 0 0 0 0 0 0 1047431 1312125 1321614 21083042 20418843 4612965 20510282 265586946 302360724 29836733 29158579 235750213 273202145 X THE UC SANTA BARBARA FOUNDATION ACTIVELY WORKS TO FURTHER THE GOALS OF THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA. THE FOUNDATION SEEKS TO MAINTAIN AND NURTURE THE UNIVERSITY'S QUALITY AND DISTINCTION. ON BEHALF OF THE CAMPUS, THE FOUNDATION RAISES AND ADMINISTERS FUNDS THAT SUPPORT UCSB'S OBJECTIVES OF TEACHING, RESEARCH, AND PUBLIC SERVICE. THE FOUNDATION ALSO PROVIDES COUNSEL AND GENERAL ASSISTANCE TO THE CAMPUS, ITS STUDENTS, FACULTY, AND STAFF. false false 13304154 13304154 UNIVERSITY PROGRAMS/OTHER DISBURSEMENTS. FUNDS ARE PROVIDED TO THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA WHICH ASSUMES FIDUCIARY RESPONSIBILITY FOR ACTUAL DISBURSEMENT FOR DEPARTMENT SUPPORT, INSTRUCTORS, RESEARCH AND SPECIAL PROJECTS. 2919736 2919736 SCHOLARSHIPS AND AWARDS MONIES WERE TRANSFERRED FROM THE UC SANTA BARBARA FOUNDATION TO THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA IN SUPPORT OF SCHOLARSHIPS AND AWARDS. THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA ASSUMES FIDUCIARY RESPONSIBILITY FOR AWARDING AND ADMINISTING THE FUNDS. 2873339 2873339 THE FOUNDATION RAISES, RECORDS AND MANAGES GIFTS FROM INDIVIDUALS, CORPORATIONS, ORGANIZATIONS AND FOUNDATIONS FOR THE SOLE BENEFIT OF UC SANTA BARBARA IN ACCORDANCE WITH DONORS' WISHES. THE FOUNDATION PAYS A PERCENTAGE OF AWARDS RECEIVED, REFERRED TO AS GIFT FEES, AND A PERCENTAGE OF ENDOWMENT EARNINGS, KNOWN AS ENDOWMENT FEES, TO UC SANTA BARBARA TO REIMBURSE FOR PERSONNEL SERVICES AND USE OF FACILITIES PROVIDED TO THE FOUNDATION. 19097229 true true false false false false false false false true true true false false true false true true false false false false false false false false false true false true false false false false false false false false true false false false false true false false false true 4 0 true 0 true true false false false false false false false false false false false X 98 89 true false false false false false false true true false false true true true true true true false false false CA X X MELODIE LEE UCSB FDN 8058935274 1115 PHELPS HALL UC SANTA BARBARA CA 931061130 John P Arnhold VICE CHAIR, INVESTMENTS & TREA 5.0 0.0 X X 0 0 0 Richard L Breaux CHAIR 5.0 0.0 X X 0 0 0 Marcy L Carsey NOMINATIONS CHAIR 5.0 0.0 X X 0 0 0 Beverly J Colgate EXECUTIVE DIRECTOR 5.0 35.0 X X 0 237392 81945 Karen Bedrosian Coyne TRUSTEE 2.0 0.0 X 0 0 0 Darryl T McCall VICE CHAIR, DONOR RELATIONS 5.0 0.0 X X 0 0 0 Steven C Mendell SECRETARY 5.0 0.0 X X 0 0 0 Dr Duncan A Mellichamp VICE CHAIR, DEVELOPMENT 5.0 0.0 X X 0 0 0 Eric J Sonquist CHIEF FINANCIAL OFFICER 8.0 32.0 X X 0 181675 63489 David G Adishian TRUSTEE 2.0 0.0 X 0 0 0 Janet A Alpert TRUSTEE 2.0 0.0 X 0 0 0 Sarah Argyropoulos TRUSTEE 2.0 0.0 X 0 0 0 Richard A Auhll TRUSTEE 2.0 0.0 X 0 0 0 Dr Robert D Ballard TRUSTEE 2.0 0.0 X 0 0 0 Laurie J Bentson Kauth TRUSTEE 2.0 0.0 X 0 0 0 A Barrie Bergman TRUSTEE 2.0 0.0 X 0 0 0 Mark A Bertelsen TRUSTEE 2.0 0.0 X 0 0 0 Dr Edward E Birch TRUSTEE 2.0 0.0 X 0 0 0 Dr Henning Bohn TRUSTEE 2.0 38.0 X 0 304446 86254 Gwendolyn A Brown TRUSTEE 2.0 0.0 X 0 0 0 Dr Paula Y Bruice TRUSTEE 2.0 38.0 X 0 127085 20064 Daniel P Burnham TRUSTEE 2.0 0.0 X 0 0 0 Stephen E Cooper TRUSTEE 2.0 0.0 X 0 0 0 Ann Cady Cooper TRUSTEE 2.0 0.0 X 0 0 0 Stephen Crowe TRUSTEE 2.0 0.0 X 0 0 0 Leonard DeBenedictis TRUSTEE 2.0 0.0 X 0 0 0 James GP Dehlsen TRUSTEE 2.0 0.0 X 0 0 0 William A Dinsmore III TRUSTEE 2.0 0.0 X 0 0 0 TUNC DOLUCA TRUSTEE 2.0 0.0 X 0 0 0 Diandra de Morrell Douglas TRUSTEE 2.0 0.0 X 0 0 0 Robert W Duggan TRUSTEE 2.0 0.0 X 0 0 0 Glenn E Duval TRUSTEE 2.0 0.0 X 0 0 0 Betty Elings Wells TRUSTEE 2.0 0.0 X 0 0 0 Gary E Erickson TRUSTEE 2.0 0.0 X 0 0 0 Scott Frank TRUSTEE 2.0 0.0 X 0 0 0 Elizabeth Gabler TRUSTEE 2.0 0.0 X 0 0 0 John E Gerngross TRUSTEE 2.0 0.0 X 0 0 0 Frederick W Gluck TRUSTEE 2.0 0.0 X 0 0 0 Marc Grossman TRUSTEE 2.0 0.0 X 0 0 0 John A Gurley TRUSTEE 2.0 0.0 X 0 0 0 Norman N Habermann TRUSTEE 2.0 0.0 X 0 0 0 Eva Haller TRUSTEE 2.0 0.0 X 0 0 0 Roy C Hardiman TRUSTEE 2.0 0.0 X 0 0 0 Thomas J Harriman TRUSTEE 2.0 0.0 X 0 0 0 W Roger Haughton TRUSTEE 2.0 0.0 X 0 0 0 David R Henke TRUSTEE 2.0 0.0 X 0 0 0 Joao Hespanha TRUSTEE 2.0 38.0 X 0 341739 81244 George W Holbrook Jr TRUSTEE 2.0 0.0 X 0 0 0 Judith L Hopkinson TRUSTEE 2.0 0.0 X 0 0 0 M Blair Hull Jr TRUSTEE 2.0 0.0 X 0 0 0 William K Jones TRUSTEE 2.0 0.0 X 0 0 0 Peter C Jordano TRUSTEE 2.0 0.0 X 0 0 0 Dr R Michael Koch TRUSTEE 2.0 0.0 X 0 0 0 Brooke R Kopel TRUSTEE 2.0 0.0 X 0 0 0 Jack W Krouskup TRUSTEE 2.0 0.0 X 0 0 0 Linda La Kretz Duttenhaver TRUSTEE 2.0 0.0 X 0 0 0 R Marilyn Lee TRUSTEE 2.0 0.0 X 0 0 0 Carl Lindros TRUSTEE 2.0 0.0 X 0 0 0 Mark D Linehan TRUSTEE 2.0 0.0 X 0 0 0 Lillian P Lovelace TRUSTEE 2.0 0.0 X 0 0 0 John W Marren TRUSTEE 2.0 0.0 X 0 0 0 Dr David Marshall TRUSTEE 2.0 38.0 X 0 373074 72168 Kathryn D McKee TRUSTEE 2.0 0.0 X 0 0 0 Pamela Meyer Lopker TRUSTEE 2.0 0.0 X 0 0 0 Mary F Moslander TRUSTEE 2.0 0.0 X 0 0 0 Kristen J Nesbit TRUSTEE 2.0 0.0 X 0 0 0 Dr Christopher Newfield TRUSTEE 2.0 38.0 X 0 183680 57568 Louise A Pahl TRUSTEE 2.0 0.0 X 0 0 0 Alex N Pananides TRUSTEE 2.0 0.0 X 0 0 0 Ceil Pulitzer TRUSTEE 2.0 0.0 X 0 0 0 Diana Raab PhD TRUSTEE 2.0 0.0 X 0 0 0 Conner D Rehage TRUSTEE 2.0 0.0 X 0 0 0 Lady Leslie Ridley-Tree TRUSTEE 2.0 0.0 X 0 0 0 Dr Richard KN Ryu TRUSTEE 2.0 0.0 X 0 0 0 Jean K Schuyler TRUSTEE 2.0 0.0 X 0 0 0 Mark J Schwartz TRUSTEE 2.0 0.0 X 0 0 0 Kenneth P Slaught TRUSTEE 2.0 0.0 X 0 0 0 Cierra R Sorin TRUSTEE 2.0 0.0 X 0 0 0 Phillip L Spector TRUSTEE 2.0 0.0 X 0 0 0 Judith C Stapelmann TRUSTEE 2.0 0.0 X 0 0 0 Fredric E Steck TRUSTEE 2.0 0.0 X 0 0 0 Michael P Stewart TRUSTEE 2.0 0.0 X 0 0 0 Susan S Tai TRUSTEE 2.0 0.0 X 0 0 0 James S Taylor TRUSTEE 2.0 0.0 X 0 0 0 George L Thurlow III TRUSTEE 2.0 38.0 X 0 227950 74867 Anne Smith Towbes TRUSTEE 2.0 0.0 X 0 0 0 Kent M Vining TRUSTEE 2.0 0.0 X 0 0 0 Claudia L Webster TRUSTEE 2.0 0.0 X 0 0 0 Howard J Wenger TRUSTEE 2.0 0.0 X 0 0 0 Philip H White TRUSTEE 2.0 0.0 X 0 0 0 Bruce G Wilcox TRUSTEE 2.0 0.0 X 0 0 0 Dr Gary L Wilcox TRUSTEE 2.0 0.0 X 0 0 0 Marie J Williams TRUSTEE 2.0 0.0 X 0 0 0 Richard A Williams TRUSTEE 2.0 0.0 X 0 0 0 Susan L Worster TRUSTEE 2.0 0.0 X 0 0 0 Jeffrey M Worthe Jr TRUSTEE 2.0 0.0 X 0 0 0 Dr Henry T Yang TRUSTEE 2.0 38.0 X 0 441920 123275 Charles Zegar TRUSTEE 2.0 0.0 X 0 0 0 0 2418961 660874 0 false true false 0 1501 39418832 17722335 39420333 0 1406586 1406586 0 511 511 0 0 0 28229098 28245486 -16388 -16388 -16388 0 0 0 0 0 0 0 0 0 INCOME/DISTRIBUTION FROM RELATED ENTITY 900099 40751 40751 OTHER INCOME 900099 77332 77332 118083 40929125 1508792 19097229 19097229 0 0 0 0 0 0 0 0 0 0 0 21885 21885 0 0 71029 71029 0 0 31439 31439 18028 18028 0 0 0 0 130000 130000 0 0 0 0 DEVELOPMENT OFFICE 1007732 1007732 ANNUAL FUND 39699 39699 MISCELLANEOUS 1802 1802 20418843 19097229 274183 1047431 92382 76859 512697 791412 15022919 11988768 18962 11177 0 0 0 0 0 0 0 0 0 0 34652 34652 228220820 265427706 21719137 24064799 0 0 0 0 29 3 265586946 302360724 44941 46247 0 0 12165752 10835187 0 0 0 0 0 0 0 0 0 0 17626040 18277145 29836733 29158579 X 0 0 0 0 235750213 273202145 235750213 273202145 265586946 302360724 20510282 16941650 X false true X true false X 20448990 41107373 29666053 24028088 39420333 154670837 0 0 20448990 41107373 29666053 24028088 39420333 154670837 24296454 130374383 2691934 1731064 1472469 1410695 1407097 8713259 0 37302 67894 157936 253395 118083 634610 164018706 0.79487 0.82600 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 214006163 27904929 16961788 1734058 4575507 1012830 251550485 193293388 11721055 16662388 1511173 5606081 553414 214006163 160149252 16914372 23238510 1407437 4930125 671184 193293388 146573197 24513552 -4817440 1114799 4169233 836025 160149252 142819498 6613614 2822451 1120340 4292117 269909 146573197 0.22000 0.62000 0.16000 false true true 0 34652 34652 0 0 HEDGE FUNDS 161767 F PRIVATE EQUITY 3963002 F UC REGENTS STIP 15450444 F CHARIT RMDR TRUST INVST HELD 4489586 F 24064799 0 CHARITABLE REMAINDER TRUST 3089928 ANNUITY TRUST LIABILITY 15187217 18277145 57799746 16941650 16941650 40858096 71029 71029 40929125 20347814 20347814 71029 71029 20418843 ENDOWMENT FUNDS DETAIL SCHEDULE D, PART V, LINES 3A & 4 THE INTENDED USE OF THE ENDOWMENT FUNDS IS TO FURTHER THE GOALS OF THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA BY PROVIDING FUNDING FOR SCHOLARSHIPS, ACADEMIC RESEARCH AND OTHER PROGRAMS OF THE UNIVERSITY. FIN 48 (ASC 740) SCHEDULE D, PART X, LINE 2 THE FOUNDATION PREPARES ITS FINANCIAL STATEMENTS IN ACCORDANCE WITH GASB; THEREFORE THERE IS NO FOOTNOTE THAT ADDRESSES ASC 740. IT IS ONLY REQUIRED BY FASB. true UNIVERSITY OF CALIFORNIA SANTA BARBARA 3201 SAASB SANTA BARBARA CA 931062040 956006145 501(C)(3) 19097229 N/A N/A SCHOLARSHIPS & UNIV PROGRAM SUPPORT 1 MONITORING USE OF GRANT FUNDS SCHEDULE I, PART 1, LINE 2 THE FOUNDATION TRANSFERS MONIES TO THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA, WHICH ASSUMES FIDUCIARY RESPONSIBILITY FOR ACTUAL DISBURSEMENT. CRITERIA FOR SELECTION OF RECIPIENTS ARE BASED ON BOUNDARIES SET BY THE ESTABLISHMENT OF THE SCHOLARSHIP. false false false false false false false false false Beverly J Colgate EXECUTIVE DIRECTOR 0 237392 0 0 0 0 0 51325 0 30620 0 319337 0 0 Eric J Sonquist CHIEF FINANCIAL OFFICER 0 181675 0 0 0 0 0 39701 0 23788 0 245164 0 0 Dr Henning Bohn TRUSTEE 0 304446 0 0 0 0 0 59227 0 27027 0 390700 0 0 Joao Hespanha TRUSTEE 0 341739 0 0 0 0 0 54573 0 26671 0 422983 0 0 Dr David Marshall TRUSTEE 0 373074 0 0 0 0 0 55796 0 16372 0 445242 0 0 Dr Christopher Newfield TRUSTEE 0 183680 0 0 0 0 0 39215 0 18353 0 241248 0 0 George L Thurlow III TRUSTEE 0 227950 0 0 0 0 0 49067 0 25800 0 302817 0 0 Dr Henry T Yang TRUSTEE 0 441920 0 0 0 0 0 84596 0 38679 0 565195 0 0 PROCESS OF DETERMINING CEO AND OTHER OFFICER COMPENSATION SCHEUDLE J, PART III NONE OF THE LISTED INDIVIDUALS RECEIVED ANY COMPENSATION FROM THE FILING ORGANIZATION. DURING FY19, EACH WAS AN EMPLOYEE OF THE UC SANTA BARBARA, A RELATED ORGANIZATION. INDIVIDUALS WERE COMPENSATED PRIMARILY FOR SERVICES TO THE UC SANTA BARBARA. COMPENSATION INFORMATION REFLECTS ALL COMPENSATION RECEIVED DURING CALENDAR YEAR 2018. ESTABLISHING COMPENSATION OF THE EXECUTIVE DIRECTOR SCHEDULE J, PART I, LINE 3 COMPENSATION PRACTICES FOR THE RELATED ORGANIZATION IN DETERMINING COMPENSATION FOR ITS TOP MANAGEMENT OFFICIALS INCLUDE: A COMPENSATION COMMITTEE, COMPENSATION SURVEY OR STUDY, AND APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE. X 48 17722335 HIGH LOW AVG ON GIFT false true false NUMBER OF CONTRIBUTIONS SCHEDULE M, PART I, COLUMN B THE NUMBER OF CONTRIBUTIONS IS BASED ON THE NUMBER OF DONATIONS RECEIVED FROM CONTRIBUTORS. GOVERNING BODY RELATIONSHIPS FORM 990, PART VI, LINE 2 MARK D. LINEHAN AND JAMES S. TAYLOR HAVE A BUSINESS RELATIONSHIP. PROCESS OF REVIEW FORM 990, PART VI, LINE 11A THE FORM 990 IS REVIEWED AND APPROVED BY THE AUDIT COMMITTEE. A COMPLETE COPY IS DISTRIBUTED TO THE FULL BOARD AFTER THE AUDIT COMMITTEE APPROVAL AND BEFORE THE FORM IS FILED WITH THE IRS. MONITORING & ENFORCING COMPLIANCE OF CONFLICT OF INTEREST POLICY FORM 990, PART VI, LINE 12C IN CONNECTION WITH ANY ACTUAL OR POSSIBLE CONFLICTS, AN INTERESTED PERSON (E.G., BOARD MEMBER, OFFICER, OR KEY EMPLOYEE) MUST DISCLOSE, AT LEAST ANNUALLY, THE EXISTENCE OF HIS OR HER FINANCIAL INTEREST AND ALL MATERIAL FACTS TO THE BOARD OF TRUSTEES AND MEMBERS OF COMMITTEES WITH BOARD-DELEGATED POWERS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. TO FACILITATE CONFLICT OF INTEREST DISCLOSURE, THE FOUNDATION ANNUALLY DISTRIBUTES CONFLICT OF INTEREST QUESTIONNAIRES TO ALL INTERESTED PERSONS. COMPLETED QUESTIONNAIRES ARE REVIEWED BY THE FOUNDATION'S ASSISTANT DIRECTOR FOR ANY POTENTIAL DISCLOSED OR UNDISCLOSED CONFLICTS. IF A CONFLICT IS DISCLOSED, THE ASSISTANT DIRECTOR REVIEWS THE FINDING WITH THE CFO (DIRECTOR). IF THE CONFLICT IS CONFIRMED, THE CFO NOTIFIES THE BOARD CHAIR AND THE POLICY REGARDING A CONFLICT OF INTEREST IS INVOKED. AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS, AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, HE OR SHE SHALL LEAVE THE BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS DISCUSSED AND VOTED UPON. THE REMAINING BOARD OR COMMITTEE MEMBERS SHALL DECIDE IF A CONFLICT OF INTEREST EXISTS. IF THE BOARD OR COMMITTEE HAS REASONABLE CAUSE TO BELIEVE THAT AN INTERESTED PERSON HAS FAILED TO DISCLOSE ACTUAL OR POSSIBLE CONFLICTS OF INTEREST, IT SHALL INFORM THE TRUSTEE OR OFFICER OF THE BASIS FOR SUCH BELIEF AND AFFORD THE INTERESTED PERSON AN OPPORTUNITY TO EXPLAIN THE ALLEGED FAILURE TO DISCLOSE. IF, AFTER HEARING THE RESPONSE OF THE INTERESTED PERSON AND MAKING SUCH FURTHER INVESTIGATION AS MAY BE WARRANTED IN THE CIRCUMSTANCES, THE BOARD OR COMMITTEE DETERMINES THAT THE INTERESTED PERSON HAS IN FACT FAILED TO DISCLOSE AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, IT SHALL TAKE APPROPRIATE DISCIPLINARY AND CORRECTIVE ACTION. PROCESS OF DETERMINING COMPENSATION OF THE CEO AND OTHER OFFICERS FORM 990, PART VI, LINES 15A & 15B THE FOUNDATION DOES NOT HAVE ANY EMPLOYEES AND NO OFFICERS OR OTHER EMPLOYEES RECEIVED ANY COMPENSATION FROM THE FILING ORGANIZATION (E.G., THE FOUNDATION). DURING FYE 6/30/2019, ALL ARE EMPLOYEES OF THE UNIVERSITY OF CALIFORNIA, SANTA BARBARA, A RELATED ORGANIZATION, AND ARE COMPENSATED BY THAT RELATED ORGANIZATION. SENIOR MANAGEMENT, INCLUDING THE CHANCELLOR, ARE COMPENSATED IN ACCORDANCE WITH UNIVERSITY OF CALIFORNIA REGENTS POLICY 7701. A NUMBER OF FACTORS ARE CONSIDERED TO DETERMINE FAIR AND REASONABLE COMPENSATION INCLUDING: PERFORMANCE, PEER COMPARABILITY, EXTERNAL MARKET COMPARABILITY, SCOPE AND BREADTH OF EXPERIENCE AND RESPONSIBILITIES. COMPENSATION OF THE CHANCELLOR IS APPROVED BY THE REGENTS. AVAILABILITY OF GOVERNING DOCUMENTS AND POLICIES FORM 990, PART VI, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. UNIVERSITY OF CALIFORNIA SANTA BARBARA UNIVERSITY OF CALIFORNIA SANTA BARBARA CA 93106 956006145 EDUC/RESEARCH CA 501(C)(3) 6 STATE OF CA false REGENTS OF THE UNIVERSITY OF CALIFORNIA 1111 FRANKLIN STREET OAKLAND CA 94607 943067788 EDUCATION CA STATE OF CA false CHARITABLE REMAINDER UNITRUST (5) FUNDRAISING CA NA TRUST true CHARITABLE REMAINDER ANNUITY TRUST FUNDRAISING CA NA TRUST true false true false false false false false false false false false false true true true true false false false