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TRUSTEE 1.0 0.0 X 0 0 0 PETER NORTON TRUSTEE 1.0 0.0 X 0 0 0 RONALD L OLSON TRUSTEE 1.0 0.0 X 0 0 0 STEPHEN R ONDERDONK TRUSTEE 1.0 0.0 X 0 0 0 PEDRO J PIZARRO TRUSTEE 1.0 0.0 X 0 0 0 DAVID E I PYOTT TRUSTEE 1.0 0.0 X 0 0 0 EDUARDO A REPETTO TRUSTEE 1.0 0.0 X 0 0 0 STEWART A RESNICK TRUSTEE 1.0 0.0 X 0 0 0 NELSON C RISING TRUSTEE (UNTIL 1/2019) 1.0 0.0 X 0 0 0 RICHARD H SCHELLER TRUSTEE 1.0 0.0 X 0 0 0 TIMOTHY L SLOAN TRUSTEE 1.0 0.0 X 0 0 0 DONALD W TANG TRUSTEE 1.0 0.0 X 0 0 0 KEVIN M TAWEEL TRUSTEE 1.0 0.0 X 0 0 0 DAVID W THOMPSON TRUSTEE 1.0 0.0 X 0 0 0 CHARLES R TRIMBLE TRUSTEE 1.0 0.0 X 0 0 0 LEWIS W VAN AMERONGEN TRUSTEE 1.0 0.0 X 0 0 0 WALTER L WEISMAN TRUSTEE 1.0 0.0 X 0 0 0 GAYLE E WILSON TRUSTEE 1.0 0.0 X 0 0 0 RICHMOND A WOLF TRUSTEE 1.0 0.0 X 0 0 0 SUZANNE H WOOLSEY TRUSTEE 1.0 0.0 X 0 0 0 THOMAS F ROSENBAUM PRESIDENT/TRUSTEE 40.0 0.0 X X 1100328 0 109057 MATTHEW W BREWER CONTROLLER 40.0 0.0 X 266813 0 65779 DIANA JERGOVIC VP Strategy Implementation 40.0 0.0 X 387220 0 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VP For Fin. & Treas. 40.0 0.0 X 384514 0 60860 SCOTT H RICHLAND CHIEF INVESTMENT OFFICER 40.0 0.0 X 1094256 0 734439 JOSEPH E SHEPHERD VP STUDENT AFFAIRS 40.0 0.0 X 336621 0 67809 DEXTER A BAILEY VP ADV & ALUMNI REL AS OF 6/19 40.0 0.0 X 0 0 0 MARY L WEBSTER SECRETARY OF BOARD OF TRUSTEES 40.0 0.0 X 172396 0 41897 JENNIFER T LUM GENERAL COUNSEL AS OF 09/19 40.0 0.0 X 303339 0 90260 VICTORIA D STRATMAN GENERAL COUNSEL UNTIL 08/19 40.0 0.0 X 538641 0 57969 MARGARET A STEURBAUT VP ADMIN & CFO 40.0 0.0 X 671645 0 55832 MICHAEL M WATKINS VP & DIR, JPL 40.0 0.0 X 723230 0 55064 CAROL J SCHUIL EA TO PRES/ASST SEC 40.0 0.0 X 204958 0 47854 DAVID A TIRRELL PROVOST 40.0 0.0 X 568856 0 54402 LARRY DEAN JAMES DEPUTY DIRECTOR OF JPL 40.0 0.0 X 597212 0 44229 RENE FRADET CFO OF JPL 40.0 0.0 X 391952 0 123123 MARC J GOETTEL DIR BUS OPS JPL 40.0 0.0 X 313630 0 59677 PASY ISABELLA WANG SR DIR OF INVESTMENTS 40.0 0.0 X 660713 0 440637 EDWARD M STOLPER PROFESSOR, FORMER PROVOST 40.0 0.0 X 502418 0 54990 EDWARD C STONE PROFESSOR OF PHYSICS, EMERITUS 40.0 0.0 X 487517 0 58883 FREDERIC FARINA CHIEF INNOV & CORP OFF 40.0 0.0 X 457154 0 53215 LIHONG WANG BREN PROFESSOR OF ENGINEERING 40.0 0.0 X 442908 0 60711 JAKOB J VAN ZYL DIR FOR SOLAR SYSTEM EXPLOR 40.0 0.0 X 401432 0 54616 CHARLES ELACHI FORMER DIRECTOR JPL 40.0 0.0 X 174930 0 0 11925362 0 2536241 4983 true true false BALL AEROSPACE TECHNOLOGIES CORP 33306 COLLECTION CENTER DRIVE CHICAGO IL 609930333 AEROSPACE 166975240 APPLIED PHYSICS LABORATORY 11100 JOHNS HOPKINS ROAD LAUREL MD 207236099 RESEARCH & DEVELOP 102088583 LOCKHEED MARTIN CORP 12257 SOUTH WADSWORTH BLVD LITTLETON CO 801258500 AEROSPACE 65977430 COLUMBUS TECHNOLOGIES AND SERVICES 1960 EAST GRAND AVENUE SUITE 100 EL SEGUNDO CA 90245 INFORMATION TECH 51087096 PERATON INC 12975 WORLDGATE DRIVE HERNDON VA 201706008 INFORMATION TECH 39396769 1138 266815000 131753000 11425777 398568000 JPL AND OTHER AWARDS 900099 2840833000 2840833000 STUDENT TUITION 611600 127613000 127613000 USE OF FACILITIES 900099 7189000 7189000 AUXILIARY ENTERPRISES 900099 50363000 29380000 4196000 16787000 3025998000 58006000 -1745000 59751000 0 2419000 2419000 189000 4000 185000 0 185000 185000 914138000 2312000 714875000 1604000 199263000 708000 199971000 199971000 0 0 0 0 0 0 0 0 0 ADVERTISING & FILMING 900099 148000 148000 148000 3685295000 3005015000 2599000 279113000 X 114000 114000 93039000 93039000 258000 258000 0 9060000 3065000 5898000 97000 3517000 2504000 693000 320000 1275423000 1230189000 35054000 10180000 122268000 118318000 2997000 953000 93026000 82900000 7415000 2711000 80961000 78088000 2227000 646000 0 15311000 5465000 9846000 1067000 1067000 397000 397000 0 9478000 9478000 20593000 14797000 4906000 890000 388000 170000 139000 79000 420495000 411373000 6421000 2701000 6171000 3494000 2668000 9000 204000 170000 34000 48175000 41259000 6297000 619000 36300000 35624000 285000 391000 0 12888000 12206000 542000 140000 42664000 41364000 1013000 287000 0 74117000 70586000 2752000 779000 4018000 4014000 4000 CONTRACT SERVICES 1109086000 1109086000 JPL POST EMPLYMNT OBLIGATION 72204000 72204000 ENDOWMENT RECOVERY -9960000 -9960000 3541262000 3430287000 100133000 10842000 0 0 194985000 354830000 192228000 148314000 398694000 374846000 0 0 0 0 2756220 2692997 0 0 498251000 569267000 2139446000 1068679000 1004120000 1070767000 1527791000 1336209000 1775170780 1739280003 0 0 0 0 0 0 5593996000 5596206000 662009000 682609000 0 0 35065000 31836000 195000000 195000000 91750000 88896000 0 0 0 0 1046610000 981092000 357532000 421899000 2387966000 2401332000 X 583369000 486982000 907350000 876456000 1715311000 1831436000 3206030000 3194874000 5593996000 5596206000 X 144033000 -91159000 -64030000 X X false true X true true true X 481336000 534535000 509166000 378769000 398568000 2302374000 0 0 481336000 534535000 509166000 378769000 398568000 2302374000 198780421 2103593579 43670000 44415000 51450000 57078000 60614000 257227000 0 0 2559601000 11777198000 0.82184 0.86620 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false true false false false false true 606000 false false 606000 false LOBBYING ACTIVITY EXPLANATION SCHEDULE C, PART II-B THE INSTITUTE RETAINS A CONSULTING FIRM TO MONITOR LEGISLATIVE DEVELOPMENTS AND TO COUNSEL IT ON GOVERNMENT RELATIONS MATTERS. THE CONSULTANT MAY ESTABLISH DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, AND LEGISLATIVE BODIES AND ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED COMMUNICATION WHICH ATTEMPTS TO INFLUENCE LEGISLATION. FURTHER, THE INSTITUTE'S STAFF IN THE COURSE OF NECESSARY COMMUNICATIONS WITH GOVERNMENT OFFICIALS AND INFORMATIONAL PUBLIC EDUCATION ACTIVITIES, MAY FROM TIME TO TIME ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED TO INFLUENCE LEGISLATION. TOTAL LOBBYING EXPENDITURES INCLUDE THE TOTAL OF ALL EXPENDITURES IN ALL ACCOUNTS THAT THE INSTITUTE BELIEVES MAY POTENTIALLY HAVE ANY RELATIONSHIP TO LOBBYING. THIS AMOUNT INCLUDES ALL OFFICE BUDGET EXPENDITURES OF THE INSTITUTE'S OFFICE OF EXTERNAL RELATIONS THAT ARE EXPENDED FOR LOBBYING ACTIVITIES. THE INSTITUTE IS A MEMBER OF CERTAIN PROFESSIONAL AND ACADEMIC ORGANIZATIONS THAT HAVE REGISTERED TO LOBBY ON BEHALF OF MEMBERSHIP. ALTHOUGH A SMALL PORTION OF THE INSTITUTE'S MEMBERSHIP DUES MAY BE USED FOR LOBBYING, THE AMOUNT IS IMMATERIAL. CALTECH'S MEMBERSHIP IN THESE ORGANIZATIONS IS FOR THE PURPOSE OF HAVING ACCESS TO THE MOST CURRENT INFORMATION ON GOVERNMENT AND BUSINESS DEVELOPMENTS AS THEY RELATE TO COLLEGES AND UNIVERSITIES AND NOT FOR ANY LOBBYING EFFORT. X X false false true X 2906200000 91270000 149358000 27576000 103105000 29487000 2986660000 2638177000 160741000 257370000 26548000 95656000 27884000 2906200000 2251420000 184834000 343179000 25990000 92264000 23002000 2638177000 2114609000 106735000 160809000 20295000 90187000 20251000 2251420000 2115730000 159020000 -38909000 18755000 84276000 18201000 2114609000 0.22020 0.77190 0.00790 false false 38482000 38482000 1306680000 595008000 711672000 600825000 473671000 127154000 193459000 193459000 1070767000 6741000 F ALTERNATIVE SECURITIES 827156000 F PRIVATE EQUITY 528937000 F REAL ASSETS 376446003 F 1739280003 0 ACCUMULATED POST RET. BENEFIT 421899000 421899000 X 3463918000 -91159000 -130218000 -221377000 3685295000 3685295000 3448549000 3448549000 9478000 83235000 92713000 3541262000 SCHEDULE D, PART III, LINE 1A THE INSTITUTE DOES NOT CAPITALIZE ITS COLLECTION ITEMS. DUE TO THE IMMATERIALITY OF THE EFFECT OF COLLECTIONS PRACTICES ON ITS FINANCIAL STATEMENTS, THE INSTITUTE DOES NOT DISCLOSE ITS COLLECTIONS POLICIES. SCHEDULE D, PART III, LINE 4 CALTECH MAINTAINS A COLLECTION OF INSTITUTIONAL RECORDS, DOCUMENTS, ARTIFACTS, AND SPECIMENS FOR HISTORICAL PRESERVATION, INSTRUCTION, AND SCHOLARLY RESEARCH. SCHEDULE D, PART IV, LINE 2B THE INSTITUTE IS THE TRUSTEE OF DONOR ANNUITIES AND TRUST AGREEMENTS AND MANAGES CERTAIN INVESTMENT FUNDS FOR OTHERS, SUCH AS RELATED ORGANIZATIONS. SCHEDULE D, PART V, LINE 4 THE INSTITUTE'S ENDOWMENT IS COMPRISED OF DONOR-RESTRICTED AND BOARD-DESIGNATED FUNDS HELD FOR LONG-TERM INVESTMENT. THROUGH AN ANNUAL SPENDING ALLOCATION, THE ENDOWMENT SUPPORTS THE MISSION OF EDUCATION AND RESEARCH AND GENERAL OPERATING ACTIVITIES OF THE INSTITUTE. THE INSTITUTE'S ENDOWMENT SPENDING POLICY INCLUDES A BOARD OF TRUSTEES-APPROVED ENDOWMENT SPENDING FORMULA WHICH TAKES INTO CONSIDERATION THE PRIOR YEAR'S SPENDING, INFLATION FACTORS, AND ENDOWMENT GROWTH. THE INSTITUTE INVESTS ENDOWMENT ASSETS TARGETED TO EARN AN AVERAGE ANNUAL TOTAL RETURN THAT EXCEEDS INFLATION BY AT LEAST THE AMOUNT REQUIRED TO SUPPORT THE ENDOWMENT SPENDING. ALL ENDOWMENT ASSETS ARE HELD IN THE INVESTMENT POOL UNLESS SPECIAL CONSIDERATIONS OR DONOR STIPULATIONS REQUIRE THAT THEY BE INVESTED SEPARATELY. TOTAL RETURN INCLUDES BOTH CAPITAL APPRECIATION/DEPRECIATION (REALIZED AND UNREALIZED GAINS/LOSSES) AND INVESTMENT INCOME (INCLUDING INTEREST, DIVIDENDS, AND ROYALTIES). THE INSTITUTE TARGETS A DIVERSIFIED ASSET ALLOCATION, INCLUDING INVESTMENTS IN BOTH PUBLIC MARKETS AND IN ALTERNATIVE INVESTMENTS, WITHIN RISK CONSTRAINTS DEEMED TO BE PRUDENT. SCHEDULE D, PART VII, LINE 3A ALTERNATIVE SECURITIES INCLUDE, BUT ARE NOT LIMITED TO, SUBSTANTIAL INVESTMENT HOLDINGS THAT ARE ILLIQUID AND/OR CONTAIN VARIOUS REDEMPTION RESTRICTIONS. SCHEDULE D, PART X, LINE 2 THE INSTITUTE IS GENERALLY EXEMPT FROM FEDERAL TAXES ON INCOME RELATED TO ITS CHARITABLE PURPOSE UNDER THE PROVISIONS OF IRC SECTION 501(C)(3) AND FROM CALIFORNIA AND OTHER STATE INCOME TAXES UNDER CORRESPONDING STATE LAWS. THE INSTITUTE IS SUBJECT TO BOTH FEDERAL AND STATE INCOME TAXES ON INCOME FROM CERTAIN ACTIVITIES NOT SUBSTANTIALLY RELATED TO ITS EXEMPT PURPOSE. AT SEPTEMBER 30, 2019 AND 2018, THE INSTITUTE MAINTAINED A FULL VALUATION ALLOWANCE ON ITS DEFERRED TAX ASSETS, WHICH ARE PRIMARILY DUE TO TAX LOSSES FROM CERTAIN INVESTMENT ACTIVITIES. BASED ON ITS ANALYSIS OF THE UNCERTAINTIES SURROUNDING BOTH THE TIMING AND AMOUNTS OF POTENTIAL FUTURE NET TAXABLE INCOME, THE INSTITUTE HAS ASSUMED THAT IT IS MORE LIKELY THAN NOT THAT THE INSTITUTE WILL NOT REALIZE THE DEFERRED TAX ASSETS. THE INSTITUTE HAS NOT PROVIDED FOR ANY UNCERTAIN TAX POSITIONS AT SEPTEMBER 30, 2019 AND 2018. THE FEDERAL TAX CUTS AND JOBS ACT ("TCJA") WAS SIGNED INTO LAW IN DECEMBER 2017. THE TCJA INCLUDES SEVERAL PROVISIONS THAT MAY IMPACT THE INSTITUTE, INCLUDING AN EXCISE TAX ON NET INVESTMENT INCOME AND REVISED METHODS FOR CALCULATING UNRELATED BUSINESS INCOME. BASED ON ITS UNDERSTANDING OF THE TCJA AND AVAILABLE GUIDANCE, THE INSTITUTE HAD NO MATERIAL DEFERRED TAX LIABILITIES OR INCOME TAXES PAYABLE AT SEPTEMBER 30, 2019. SCHEDULE D, PART XI, LINE 2D RECLASSIFY FINANCIAL AID NETTED WITH TUITION (83,235,000) CHANGES IN FAIR VALUE OF INTEREST RATE SWAP (27,545,000) ENDOWMENT RECOVERY (9,960,000) INVESTMENT MANAGEMENT FEES (9,478,000) -------------- TOTAL (130,218,000) ============== SCHEDULE D, PART XII, LINE 4B FINANCIAL AID EXPENSES (83,235,000) ------------ TOTAL (83,235,000) ============ true true true true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 THE INSTITUTE'S NONDISCRIMINATORY POLICY IS PUBLISHED IN THE INSTITUTE'S CATALOG AND AVAILABLE ON THE INSTITUTE'S WEBSITE. THE STATEMENT OF THIS POLICY OR REFERENCE THERETO APPEARS IN ALL OF THE INSTITUTE'S CATALOGS, BROCHURES, AND OTHER WRITTEN COMMUNICATIONS WITH THE PUBLIC DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS. THE INSTITUTE SATISFIED THE PUBLICATIONS REQUIREMENT BY VIRTUE OF ITS COMPLIANCE WITH SECTION 4.02 AS PROVIDED IN SECTION 4.03-2(B). SCHEDULE E, LINE 6A THE INSTITUTE RECEIVES GRANTS AND ENTERS INTO CONTRACTS WITH VARIOUS AGENCIES OF THE U.S. GOVERNMENT, THE STATE OF CALIFORNIA, AND LOCAL GOVERNMENT UNITS FOR RESEARCH, TRAINING, AND STUDENT AID. true Central America and the Caribbean 0 0 Investments 977056316 Central America and the Caribbean 0 0 Program Services SCIENTIFIC RESEARCH 114004 East Asia and the Pacific 0 0 Investments 4934428 East Asia and the Pacific 0 0 Program Services SCIENTIFIC RESEARCH 2479391 Europe (Including Iceland and Greenland) 0 0 Investments 61765311 Europe (Including Iceland and Greenland) 4 13 Program Services SCIENTIFIC RESEARCH 39908293 Middle East and North Africa 0 0 Investments 2241850 Middle East and North Africa 0 0 Program Services SCIENTIFIC RESEARCH 222648 North America 0 0 Investments 5372634 North America 0 0 Program Services SCIENTIFIC RESEARCH 3791562 Russia and the Newly Independent States 0 0 Investments 2576785 Russia and the Newly Independent States 0 0 Program Services SCIENTIFIC RESEARCH 81962 South America 0 0 Investments 8797001 South America 0 0 Program Services SCIENTIFIC RESEARCH 217216 South Asia 0 0 Investments 208741 South Asia 0 0 Program Services SCIENTIFIC RESEARCH 968901 Sub-Saharan Africa 0 0 Investments 2428213 Sub-Saharan Africa 0 0 Program Services SCIENTIFIC RESEARCH 79208 4 13 0 0 4 13 1113165256 79208 1113244464 STUDY ABROAD Europe (Including Iceland and Greenland) 32 258000 WIRE TRANSFE true false true true true true SCHEDULE F, PART I, LINES 1 AND 2 RECORDS FOR THE INSTITUTE'S STUDY ABROAD PROGRAM ARE MAINTAINED BY THE OFFICE OF FELLOWSHIPS ADVISING AND STUDY ABROAD. THIS OFFICE IS RESPONSIBLE FOR MONITORING THE USE OF FUNDS UNDER ESTABLISHED GUIDELINES. SCHEDULE F, PART I, LINE 3 THE ORGANIZATION IS ABLE TO IDENTIFY EXPENDITURES THROUGH ITS BOOKS AND RECORDS. EXPENDITURES FOR ALL PROGRAM SERVICES ARE MADE AT FAIR VALUE WITH THE OBJECTIVE OF OBTAINING THE BEST RATES AVAILABLE. THE INSTITUTE'S INVESTMENT OFFICE IS RESPONSIBLE FOR ALL FOREIGN AND DOMESTIC INVESTMENTS. ALL INVESTMENTS ARE MADE AT FAIR MARKET VALUE (FMV). SCHEDULE F, PARTS I & III EXPENDITURES PER REGION ARE REPORTED ON AN ACCRUAL BASIS, WHICH IS THE METHOD USED TO ACCOUNT FOR THEM IN THE ORGANIZATION'S BOOKS AND RECORDS. true CALTECH Y 1200 E CALIFORNIA BLVD PASADENA CA 91125 951684790 501(C)(3) 75000 ASSIST RELATED ORG. UNITED WAY GREATER LOS ANGELES 1150 S OLIVE ST LOS ANGELES CA 90015 952274801 501(C)(3) 39000 DESIGNATED ASSISTANCE 2 0 STUDENT AID 1712 93039000 SCHEDULE I, PART I, LINE 2 THE INSTITUTE'S GRANTS AND ASSISTANCE WITHIN THE UNITED STATES CONSISTS PRIMARILY OF SCHOLARSHIPS AND FELLOWSHIPS AWARDED TO STUDENTS. STUDENTS ARE SELECTED FOR SCHOLARSHIPS AND FELLOWSHIPS BASED ON ACADEMIC ACHIEVEMENT, FINANCIAL NEEDS, AND SIMILAR STANDARDS. VARIOUS INSTITUTE OFFICES MONITOR ELIGIBILITY AND SATISFACTORY ACADEMIC PROGRESS BY GRANTEES. THE INSTITUTE MAKES AN ANNUAL $75,000 GRANT TO THE CALTECH Y. IN ADDITION, THE INSTITUTE ALLOWS THE CALTECH Y THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH Y IS A RELATED ORGANIZATION WHOSE MISSION IS TO SUPPORT THE STUDENTS OF CALTECH THROUGH VARIOUS ACTIVITIES. THE INSTITUTE MAKES AN ANNUAL DONATION (DESIGNATED ASSISTANCE) TO THE UNITED WAY OF GREATER LOS ANGELES. INSTITUTE OFFICES MONITOR THE GRANTEES' PERFORMANCE ACCORDING TO THEIR RESPECTIVE PROGRAM SERVICES GOALS AND/OR PURSUANT TO OTHER AGREEMENTS. SCHEDULE I, PART III COLUMN (C) CASH GRANTS REPRESENT CREDIT ON ACCOUNTS. X X X true true X X X false true false false false false false true false THOMAS F ROSENBAUM PRESIDENT/TRUSTEE 1099752 0 0 0 576 0 42181 0 66876 0 1209385 0 0 0 MATTHEW W BREWER CONTROLLER 266358 0 0 0 455 0 31181 0 34598 0 332592 0 0 0 DIANA JERGOVIC VP Strategy Implementation 386644 0 0 0 576 0 31181 0 9393 0 427794 0 0 0 BRIAN KEITH LEE SEE SCHEDULE O 478364 0 0 0 107440 0 38114 0 22635 0 646553 0 0 0 MADELINE WAY LEE ASSISTANT TREASURER 156875 0 0 0 0 0 16019 0 27596 0 200490 0 0 0 SHARON E PATTERSON Assoc. VP For Fin. & Treas. 372514 0 0 0 12000 0 31181 0 29679 0 445374 0 0 0 SCOTT H RICHLAND CHIEF INVESTMENT OFFICER 537864 0 537892 0 18500 0 703381 0 31058 0 1828695 0 492108 0 JOSEPH E SHEPHERD VP STUDENT AFFAIRS 336069 0 0 0 552 0 42181 0 25628 0 404430 0 0 0 MARY L WEBSTER SECRETARY OF BOARD OF TRUSTEES 156461 0 0 0 15935 0 24451 0 17446 0 214293 0 0 0 JENNIFER T LUM GENERAL COUNSEL AS OF 09/19 284236 0 0 0 19103 0 42181 0 48079 0 393599 0 0 0 VICTORIA D STRATMAN GENERAL COUNSEL UNTIL 08/19 519565 0 0 0 19076 0 42181 0 15788 0 596610 0 0 0 MARGARET A STEURBAUT VP ADMIN & CFO 641886 0 0 0 29759 0 42181 0 13651 0 727477 0 0 0 MICHAEL M WATKINS VP & DIR, JPL 515154 0 189000 0 19076 0 42181 0 12883 0 778294 0 0 0 CAROL J SCHUIL EA TO PRES/ASST SEC 204561 0 0 0 397 0 30312 0 17542 0 252812 0 0 0 DAVID A TIRRELL PROVOST 568856 0 0 0 0 0 42181 0 12221 0 623258 0 0 0 LARRY DEAN JAMES DEPUTY DIRECTOR OF JPL 458850 0 109567 0 28795 0 42181 0 2048 0 641441 0 0 0 RENE FRADET CFO OF JPL 360876 0 12000 0 19076 0 42181 0 80942 0 515075 0 0 0 PASY ISABELLA WANG SR DIR OF INVESTMENTS 340524 0 301024 0 19165 0 405681 0 34956 0 1101350 0 275000 0 EDWARD M STOLPER PROFESSOR, FORMER PROVOST 483253 0 0 0 19165 0 42181 0 12809 0 557408 0 0 0 EDWARD C STONE PROFESSOR OF PHYSICS, EMERITUS 345753 0 0 0 141764 0 42181 0 16702 0 546400 0 0 0 FREDERIC FARINA CHIEF INNOV & CORP OFF 438489 0 0 0 18665 0 31181 0 22034 0 510369 0 0 0 JAKOB J VAN ZYL DIR FOR SOLAR SYSTEM EXPLOR 372981 0 10000 0 18451 0 42181 0 12435 0 456048 0 0 0 MARC J GOETTEL DIR BUS OPS JPL 295130 0 0 0 18500 0 42181 0 17496 0 373307 0 0 0 CHARLES ELACHI FORMER DIRECTOR JPL 174930 0 0 0 0 0 0 0 0 0 174930 0 0 0 LIHONG WANG BREN PROFESSOR OF ENGINEERING 291767 0 0 0 151141 0 31181 0 29530 0 503619 0 0 0 SCHEDULE J, PART I, LINE 1A FIRST CLASS TRAVEL: PURSUANT TO A WRITTEN POLICY, FIRST CLASS OR BUSINESS CLASS TRAVEL IS PERMITTED FOR CERTAIN EMPLOYEES UNDER CERTAIN CIRCUMSTANCES FOR BUSINESS PURPOSES. DURING CALENDAR YEAR 2018, FOUR OFFICERS AND ONE KEY EMPLOYEE RECEIVED FIRST CLASS OR CHARTER TRAVEL BENEFITS. TRAVEL FOR BUSINESS PURPOSES IS NOT INCLUDED IN TAXABLE WAGES. TAX INDEMNIFICATION AND GROSS UP PAYMENTS: DURING CALENDAR YEAR 2018, TWO HIGHEST COMPENSATED EMPLOYEES RECEIVED TAX INDEMNIFICATION AND GROSS UP PAYMENTS. HOUSING ALLOWANCE: HOUSING ALLOWANCES ARE PROVIDED TO CERTAIN OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES AS PART OF THE INSTITUTE'S SALARY SUPPLEMENT HOUSING PROGRAM, WHICH IS GOVERNED BY A WRITTEN POLICY. DURING CALENDAR 2018, TWO OFFICERS, ONE KEY EMPLOYEE, AND TWO HIGHEST COMPENSATED EMPLOYEES RECEIVED HOUSING ALLOWANCE BENEFITS. PAYMENTS UNDER THIS PROGRAM ARE INCLUDED IN TAXABLE WAGES. THE PRESIDENT OCCUPIES AN INSTITUTE-OWNED RESIDENCE ON ITS CAMPUS AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE INSTITUTE. THE PRESIDENT'S NONTAXABLE BENEFITS IN SCHEDULE J, PART I, COLUMN (D) INCLUDE $ 38,613, AN ESTIMATE OF THE ANNUAL RENTAL VALUE OF THE PERSONAL SPACE OCCUPIED IN THAT RESIDENCE. SCHEDULE J, PART I, LINE 4B TERMS AND CONDITIONS OF DEFERRED PERFORMANCE COMPENSATION PLAN FOR INVESTMENT PROFESSIONALS: IN 2011, THE INSTITUTE ESTABLISHED A PERFORMANCE COMPENSATION PLAN ("PLAN") TO ASSIST WITH RECRUITMENT AND RETENTION FOR ITS INVESTMENT OFFICE. UNDER THE TERMS OF THE PLAN, PARTICIPANTS ARE ELIGIBLE FOR CERTAIN AWARDS BASED ON THE PERFORMANCE OF THE INSTITUTE'S INVESTMENT OFFICE EACH CALENDAR YEAR, AS MEASURED BY CERTAIN QUANTITATIVE AND QUALITATIVE FACTORS. DURING CALENDAR YEAR 2018, TWO INDIVIDUALS REPORTED IN SCHEDULE J, SCOTT RICHLAND AND PASY WANG, RECEIVED SUCH COMPENSATION. 50% OF THE AWARDS UNDER THE PLAN ARE PAID DURING THE CALENDAR YEAR SUBSEQUENT TO THE END OF THE PERFORMANCE MEASUREMENT PERIOD, WHILE THE REMAINING 50% OF EACH YEAR'S AWARD IS DEFERRED, VESTS, AND IS PAID IN THREE OR FOUR ANNUAL INSTALLMENTS, AS ADJUSTED BY THE POSITIVE OR NEGATIVE PERFORMANCE OF THE ENDOWMENT EACH YEAR. MR. RICHLAND AND MS. WANG'S INDIVIDUAL AMOUNTS IN COLUMN B(II), "BONUS AND INCENTIVE COMPENSATION," COMPRISE PLAN CASH AMOUNTS PAID PURSUANT TO THE PLAN DURING CALENDAR YEAR 2018 AND REPRESENT THE AGGREGATE OF 50% OF EACH EMPLOYEES' RESPECTIVE AWARD FOR CALENDAR YEAR 2017 AND INSTALLMENTS FROM AMOUNTS DEFERRED FROM 2013-2016. AMOUNTS IN COLUMN C NOTED AS "DEFERRED INCENTIVE COMPENSATION (EARNED IN 2018)" REPRESENT THE CALENDAR YEAR 2018 AWARD, AND ARE SUBJECT TO FORFEITURE UNDER CERTAIN CIRCUMSTANCES. SUCH AMOUNTS WOULD BE PAID IN INSTALLMENTS, ALONG WITH PRIOR YEARS' DEFERRALS, IN CALENDAR YEAR 2019 AND BEYOND. SCHEDULE J, PART I, LINE 7 CERTAIN INDIVIDUALS LISTED IN PART I OF SCHEDULE J RECEIVED BONUSES IN RECOGNITION OF EXCELLENT JOB PERFORMANCE OR AS A NEGOTIATED PAYMENT AT THE BEGINNING OF AN EMPLOYMENT ARRANGEMENT. BONUS RECIPIENTS' NAMES AND AMOUNTS PAID ARE SHOWN IN SCHEDULE J, PART II, COLUMN B(II). SCOTT H. RICHLAND - CHIEF INVESTMENT OFFICER AND PASY ISABELLA WANG - SENIOR DIRECTOR OF INVESTMENTS: THE INSTITUTE OFFERS INCENTIVE COMPENSATION TO CERTAIN INVESTMENT PROFESSIONALS BASED UPON THE INSTITUTE'S INVESTMENT PERFORMANCE. SEE RESPONSE TO QUESTION 4B ABOVE. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130178EZ5 2006-07-12 165000000 FIN VAR CAP PROJECTS REFUND SER 03 false false false A 0 0 184062305 0 0 0 1340471 0 0 93471834 89250000 0 2010 false true true true A false true false true true 0.00900 0.00000 0.00900 false false 0.00000 false true A false false true true true true BANK OF NY MELLON 30.3 false false true CITIGROUP GLOBAL TRA 2. true false true A true COLUMN A: DIFFERENCE BETWEEN AMOUNT IN PART I(E) AND PART II, lINE 3 IS DUE TO INTEREST EARNED ON INVESTED PROCEEDS. PART I (F) - THE ISSUE DATE OF THE SERIES 2003 BONDS IS 01/15/2003. PART IV, LINE 2C - THE REBATE COMPUTATION WAS PERFORMED ON AUGUST 20, 2012, FOR THE COMPUTATION PERIOD ENDING ON JULY 1, 2012. JANET CAMPAGNA TRUSTEE 86242 SEE PART V SEE PART V PEDRO J PIZARRO TRUSTEE 111000 FAM. MEMBER(S) EMPLOYED BY CIT false THOMAS F ROSENBAUM PRESIDENT/TRUSTEE 305000 FAM. MEMBER(S) EMPLOYED BY CIT false SHIRLEY M MALCOLM TRUSTEE 297000 FAM. MEMBER(S) EMPLOYED BY CIT false STEPHEN ONDERDONK TRUSTEE 407000 FAM. MEMBER(S) EMPLOYED BY CIT false EDWARD M STOLPER FORMER PROVOST 168000 FAM. MEMBER(S) EMPLOYED BY CIT false VICTORIA D STRATMAN GENERAL COUNSEL 133000 FAM. MEMBER(S) EMPLOYED BY CIT false MARY L WEBSTER SECRETARY 75000 FAM. MEMBER(S) EMPLOYED BY CIT false RENE FRADET CFO, JPL 10400 FAM. MEMBER(S) EMPLOYED BY CIT false CAROL SCHUIL EA TO PRES/ASST SEC 26000 FAM. MEMBER(S) EMPLOYED BY CIT false GLENAIR INC SEE PART V 557000 SEE PART V false IONSPACE INC SEE PART V 246000 SEE PART V false CANYON CAPITAL ADVISORS LLC SEE PART V 746328 SEE PART V false SCHEDULE L, PART III, LINE 1 A FAMILY MEMBER OF AN INTERESTED PERSON RECEIVED GRADUATE FINANCIAL ASSISTANCE WHILE ATTENDING CALTECH, TOTALING $86,242 IN STIPEND AND TUITION REMISSION. SCHEDULE L, PART IV NAME OF PERSON: GLENAIR, INC. ("GLENAIR") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: PETER D. KAUFMAN, A TRUSTEE OF THE INSTITUTE, IS ALSO CHAIRMAN AND CHIEF EXECUTIVE OFFICER OF GLENAIR. AMOUNT OF TRANSACTION: AGGREGATE $557,000 FOR THE YEAR ENDED SEPTEMBER 30, 2019. DESCRIPTION OF TRANSACTION: GLENAIR IS A U.S. - BASED COMPANY THAT SPECIALIZES IN THE MANUFACTURING OF ELECTRONIC COMPONENTS. THE INSTITUTE HAS PROCURED COMPONENTS FROM GLENAIR IN THE NORMAL COURSE OF BUSINESS, AT ARM'S LENGTH AND IN ACCORDANCE WITH INSTITUTE PROCUREMENT POLICIES AND PROCEDURES. MR. KAUFMAN DID NOT PARTICIPATE IN, AND WAS EXCLUDED FROM, THE INSTITUTE'S DELIBERATIONS AND DECISIONS WITH RESPECT TO THESE PROCUREMENTS. NAME OF PERSON: IONSPACE, INC. ("IONSPACE") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DR. CHARLES ELACHI, A FORMER OFFICER OF THE INSTITUTE, IS THE CHIEF EXECUTIVE OFFICER OF IONSPACE. AMOUNT OF TRANSACTION: FEES OF $246,000. DESCRIPTION OF TRANSACTION: CALTECH CONTRACTED WITH IONSPACE TO PROVIDE CERTAIN TECHNICAL AND SCIENTIFIC SUPPORT SERVICES TO JPL IN SUPPORT OF THE CLOSEOUT AND DATA ANALYSIS PHASES OF ONE OF JPL'S DEEP SPACE MISSIONS. THE AWARD WAS BASED ON NASA'S SELECTION OF DR. ELACHI AS A SCIENCE TEAM LEAD FOR THE CASSINI PROJECT. NAME OF PERSON: CANYON CAPITAL ADVISORS, LLC ("CANYON") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JOSHUA S. FRIEDMAN, A TRUSTEE OF THE INSTITUTE, IS ALSO A FOUNDING PARTNER, CO-CHAIRMAN, AND CO-CEO OF CANYON. AMOUNT OF TRANSACTION: MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES OF $746,328. DESCRIPTION OF TRANSACTION: THE INSTITUTE IS AN INVESTOR IN TWO FUNDS MANAGED BY CANYON. THE INVESTMENT WITH CANYON ("THE TRANSACTION") WAS MADE DURING THE INSTITUTE'S FISCAL YEAR 2012 AFTER AN INDEPENDENT COMMITTEE OF TRUSTEES CONSIDERED THE TRANSACTION IN ACCORDANCE WITH INSTITUTE POLICY AND DETERMINED THAT: THE TRANSACTION WAS FAIR AND REASONABLE AS TO THE INSTITUTE AND THE ECONOMIC BENEFIT PROVIDED BY THE INSTITUTE DID NOT EXCEED THE FAIR MARKET VALUE OF THE CONSIDERATION RECEIVED BY THE INSTITUTE; THE TRANSACTION WAS ENTERED INTO SOLELY FOR THE BENEFIT OF THE INSTITUTE; AND THE INSTITUTE COULD NOT HAVE OBTAINED A MORE ADVANTAGEOUS ARRANGEMENT WITH REASONABLE EFFORT UNDER THE CIRCUMSTANCES. DURING THE YEAR ENDED SEPTEMBER 30, 2019, THE INSTITUTE'S INVESTMENTS IN CANYON FUNDS INCURRED $746,328 IN MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES. AS OF SEPTEMBER 30, 2019, ACCRUED AND UNPAID MANAGEMENT FEES, PERFORMANCE FEES AND EXPENSES TOTALED $255,097. AS OF SEPTEMBER 30, 2019, CANYON HAD TOTAL ASSETS UNDER MANAGEMENT OF APPROXIMATELY $26 BILLION. X 62 3242313 hi-lo avg X EQUIPMENT 4 8155451 INVENTORY&PLACE MARK X MISCELLANEOUS 11 28013 Retail & Place Mark 0 false true true SCHEDULE M, PART I CONTRIBUTION AMOUNTS ARE PRESENTED ON THE ACCRUAL BASIS CONSISTENT WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, AND THEREFORE MAY PRODUCE DIFFERENT RESULTS FROM COMPUTATIONS USING IRS-REQUIRED METHODOLOGY APPLICABLE TO DONORS. SCHEDULE M, PART I, COLUMN (B) AMOUNTS IN THIS COLUMN REFLECT THE NUMBER OF CONTRIBUTORS. SCHEDULE M, PART I, LINE 25 EQUIPMENT DONATED FOR RESEARCH AND INSTRUCTION. SCHEDULE M, PART I, LINE 26 MISCELLANEOUS ITEMS: NON-CAPITAL EQUIPMENT, POSTAGE, A MODEL CAR, A SCULPTURE, AN ANTIQUE PH METER, HISTORICAL DOCUMENTS. SCHEDULE M, PART I, LINE 32B THE INSTITUTE MAY UTILIZE THIRD PARTY BROKERS TO SELL SECURITIES AND REAL ESTATE. FORM 990, PART I AND III, LINE 1 THE MISSION OF THE CALIFORNIA INSTITUTE OF TECHNOLOGY ("THE INSTITUTE"CALTECH") IS TO EXPAND HUMAN KNOWLEDGE AND BENEFIT SOCIETY THROUGH RESEARCH INTEGRATED WITH EDUCATION. WE INVESTIGATE THE MOST CHALLENGING, FUNDAMENTAL PROBLEMS IN SCIENCE AND TECHNOLOGY IN A SINGULARLY COLLEGIAL, INTERDISCIPLINARY ATMOSPHERE, WHILE EDUCATING OUTSTANDING STUDENTS TO BECOME CREATIVE MEMBERS OF SOCIETY. FORM 990, PART I, LINE 6 THE NUMBER IDENTIFIED IS BASED ON A REASONABLE ESTIMATE. FORM 990, PART III, LINE 4D AUXILIARY ENTERPRISES (EXPENSES $39,267,000 AND REVENUE $50,363,000) AUXILIARY ENTERPRISES IN SUPPORT OF THE INSTITUTE'S MISSION (CALTECH Y ALLOCATION) - GRANTS $75,000 CASH ALLOCATION TO RELATED ORGANIZATION SUPPORTING INSTITUTE'S MISSION (UNITED WAY GREATER LOS ANGELES) TO MATCH EMPLOYEE CONTRIBUTIONS TO UNITED WAY - GRANTS $39,000 FORM 990, PART IV, LINE 6 THE INSTITUTE HAS NO SEPARATE FUNDS OR ACCOUNTS WHERE DONORS HAVE THE RIGHT EITHER TO PROVIDE ADVICE ON THE INVESTMENT OF AMOUNTS IN THE FUNDS OR TO PROVIDE ADVICE ON DISTRIBUTION OF SUCH FUNDS OUTSIDE THE INSTITUTE. FORM 990, PART VI, LINE 2 TRUSTEES THOMAS E. EVERHART AND PETER NORTON - BUSINESS RELATIONSHIP TRUSTEES JOSHUA S. FRIEDMAN AND DR. REBECKA BELLDEGRUN - BUSINESS RELATIONSHIP TRUSTEES JOSHUA S. FRIEDMAN AND RICHARD N. MERKIN - BUSINESS RELATIONSHIP TRUSTEES JOSHUA S. FRIEDMAN AND B. KIPLING HAGOPIAN - BUSINESS RELATIONSHIP TRUSTEES KENT KRESA AND B. KIPLING HAGOPIAN - BUSINESS RELATIONSHIP TRUSTEES RICHARD N. MERKIN AND DONALD W. TANG - BUSINESS RELATIONSHIP TRUSTEES LI LU AND WALTER G. KORTSCHAK - BUSINESS RELATIONSHIP TRUSTEES LYNN A. BOOTH AND KENT KRESA - FAMILY RELATIONSHIP FORM 990, PART VI, LINE 11B THE INSTITUTE PREPARED FORM 990 WITH THE ASSISTANCE OF A PAID PREPARER. A DRAFT OF THE FORM 990 IS PRESENTED TO THE AUDIT AND COMPLIANCE COMMITTEE FOR REVIEW AND COMMENT. A FINAL COPY OF THE FORM 990 IS PROVIDED TO EACH MEMBER OF THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS. AN OFFICER OF THE INSTITUTE AND ITS PAID PREPARER, RESPECTIVELY, SIGN THE FINAL FORM 990. FORM 990, PART VI, LINE 12C EACH TRUSTEE AND OFFICER IS REQUIRED TO COMPLETE ANNUALLY A CONFLICT OF INTEREST QUESTIONNAIRE DISCLOSING POTENTIAL OR ACTUAL CONFLICTS. TRUSTEES, OFFICERS AND KEY EMPLOYEES ARE ALSO REQUIRED TO DISCLOSE IN WRITING POTENTIAL AND ACTUAL CONFLICTS ON AN ONGOING BASIS THROUGHOUT THE YEAR. ALL CONFLICTS ARE RESOLVED IN ACCORDANCE WITH THE INSTITUTE'S WRITTEN CONFLICT OF INTEREST POLICIES. FORM 990, PART VI, LINE 15A, 15B THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES NORMALLY REVIEWS ON AN ANNUAL BASIS THE COMPENSATION OF OFFICERS AND CERTAIN EMPLOYEES, INCLUDING KEY EMPLOYEES OF THE INSTITUTE. THE EXECUTIVE COMPENSATION COMMITTEE REVIEWS COMPARABILITY DATA FROM RELEVANT SURVEYS. THE DELIBERATIONS ARE CONTEMPORANEOUSLY DOCUMENTED IN THE COMMITTEE'S MINUTES. FORM 990, PART VI, LINE 19 THE INSTITUTE'S GOVERNING DOCUMENTS, FINANCIAL STATEMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE UPON REQUEST. FORM 990, PART VII, SECTION A BRIAN KEITH LEE: VP FOR DEV & INSTIT. RELATIONS (UNTIL 11/02/2018) FORM 990, PART VII, COLUMN B THE INSTITUTE HAS ESTIMATED THAT TRUSTEES DEVOTE, ON AVERAGE, AT LEAST ONE HOUR OF TIME PER WEEK. CERTAIN BOARD MEMBERS' TIME DEVOTED TO INSTITUTE BUSINESS MAY SUBSTANTIALLY EXCEED THIS ESTIMATE ON A REGULAR BASIS. TIME DEVOTED TO INSTITUTE BUSINESS BY OFFICERS, KEY EMPLOYEES AND HIGHEST COMPENSATED EMPLOYEES MAY SUBSTANTIALLY EXCEED THE ESTIMATES PROVIDED ON A REGULAR BASIS. FORM 990, PART IX, LINE 24C THE INSTITUTE RECOVERS FROM ITS ENDOWMENT INVESTMENT POOL A PORTION OF THE COSTS OF RAISING AND STEWARDING ENDOWMENTS. ENDOWMENT RECOVERY REPRESENTS AMOUNTS FROM THE ENDOWMENT INVESTMENT POOL APPLIED AGAINST CURRENT FUNDRAISING COSTS. THE RESULTING REDUCTION IN ENDOWMENT NET ASSETS IS REFLECTED IN OTHER CHANGES IN NET ASSETS OR FUND BALANCES ON FORM 990, PART XI, LINE 9. FORM 990, PART X, LINE 11 INVESTMENTS - PUBLICLY TRADED SECURITIES INCLUDE, BUT ARE NOT LIMITED TO, INVESTMENTS HELD DIRECTLY OR IN FUNDS AND MANAGED ACCOUNTS FOR WHICH THE UNDERLYING SECURITIES ARE PRIMARILY PUBLICLY TRADED, ALTHOUGH CERTAIN RESTRICTIONS ON THE LIQUIDITY OF SOME OF THESE HOLDINGS MAY EXIST. FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCES CHANGES IN POSTEMPLOYMENT BENEFIT OBLIGATIONS ($ 23,016,000) ENDOWMENT RECOVERY ($ 9,960,000) LOSS ON DISPOSAL OF PROPERTY ($ 3,509,000) CHANGES IN FAIR VALUE OF INTEREST RATE SWAP ($ 27,545,000) --------------- TOTAL ($ 64,030,000) =============== FORM 990, PART XII, LINE 1 IN ACCORDANCE WITH IRS INSTRUCTIONS, FORM 990 AND ALL SCHEDULES THEREIN (WITH THE EXCEPTION OF REQUIRED CALENDAR-YEAR REPORTING FOR COMPENSATION), HAVE BEEN COMPLETED ON THE ACCRUAL BASIS CONSISTENT WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. WILSON AVENUE INVESTMENTS LLC 1200 EAST CALIFORNIA BLVD PASADENA CA 91125 461712999 HOLDING CO. DE 0 0 CIT WILSON HEC LLC 551 S WILSON AVE MAILCODE 2-42 PASADENA CA 91125 364849057 HOLDING CO. CA 70302290 1215528 CIT CIT MICROPROBE HOLDINGS LLC 1200 EAST CALIFORNIA BLVD PASADENA CA 91125 205217981 HOLDING CO NV -183183 1473841 CIT CALTECH Y 1201 E CALIFORNIA BLVD PASADENA CA 91125 951684790 RECREATION CA 501(C)(3) 12,3, FI NA false ALUMNI ASSOCIATION OF CALTECH 345 S HILL AVE PASADENA CA 91125 956047395 ALUMNI CA 501(C)(3) 12, TYPE 1 NA false TOM AND VALLEY KNUDSEN FDN C/O CALTECH GIFT PLANNING PASADENA CA 91125 956031188 SUPPORT ORG CA 501(C)(3) 12, TYPE 1 NA false VARAGON FUND I LP 301 COMMERCE ST FORT WORTH TX 76102 811640281 INVESTMENTS TX CALTECH RELATED 10969098 276801428 false 6417735 false 0.70610 CRAT (3) CHARITABLE TR CA CALTECH TRUST true CRUT (109) CHARITABLE TR CA CALTECH TRUST true HYDRA-ELECTRIC CO 3151 KENWOOD STREET BURBANK CA 91505 951914801 AEROSPACE CA WILSON HEC C CORP 0 1 1.00000 true true true true false false false false false false true false true false true true false false true true VARAGON FUND I LP R 30901622 FMV VARAGON FUND I LP S 12788427 FMV CRUT A 28239 FMV SCHEDULE R, PART V, LINE 1L THE INSTITUTE ALLOWS THE CALTECH ALUMNI ASSOCIATION THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH ALUMNI ASSOCIATION IS A RELATED ORGANIZATION WHOSE MISSION IS TO PROVIDE EDUCATIONAL AND OTHER PROGRAMS FOR CALTECH ALUMNI AND STUDENTS. THE INSTITUTE PROVIDES DIRECT ADMINISTRATIVE SUPPORT FREE OF CHARGE TO BOTH THE TOM AND VALLEY KNUDSEN FOUNDATION, A RELATED PHILANTHROPIC FOUNDATION, AND THE CALIFORNIA INSTITUTE OF TECHNOLOGY RETIREE MEDICAL PLAN FOR JPL RETIREES VEBA TRUST, A VOLUNTARY EMPLOYEES' BENEFICIARY ASSOCIATION ORGANIZED BY THE INSTITUTE THAT OPERATES IN CONJUNCTION WITH AN INSTITUTE-SPONSORED POSTRETIREMENT BENEFIT PLAN FOR JPL RETIREES.