2020-07-14T08:50:56-05:00 2019-06-30 PricewaterhouseCoopers LLP 300 Madison Avenue New York NY 10017 990 2018-07-01 135598093 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK % JULIA SHANAHAN TRUS 2128544684 615 WEST 131ST STREET MC 8741 NEW YORK NY 100277922 MARK HAWKINS VP,FIN & CONTROLLER 2128541004 2020-07-02 true ERIC M MCNEIL P00460263 6464713000 2020-06-26 155.201.35.117 13049920201965000032 2020-07-14 P A88DB9EF88CDDD9C4DC0BAF97C34CFFA337D2549 3B584E6C6EC03F54C23492763082C94E75791172 2018 2021-01-29 14:40:06Z Lee C Bollinger 615 West 131st St MC 8741 New York NY 100277922 8410763906 false X www.columbia.edu X 1754 NY SEE ATTACHMENT 1 23 21 37001 13758 -58469137 0 1909794420 1626034525 3182331958 3346803352 683069747 478275860 112899433 103438619 5888095558 5554552356 708841506 738171207 0 0 2970923538 3132856099 2066434 1588677 129629139 1341034173 1395876301 5022865651 5268492284 865229907 286060072 19649851030 19924189461 3910530664 3939904906 15739320366 15984284555 X COLUMBIA UNIVERSITY IS ONE OF THE WORLD'S MOST IMPORTANT CENTERS OF RESEARCH AND AT THE SAME TIME A DISTINCTIVE AND DISTINGUISHED LEARNING ENVIRONMENT FOR UNDERGRADUATES AND GRADUATE STUDENTS IN MANY SCHOLARLY AND PROFESSIONAL FIELDS. THE UNIVERSITY RECOGNIZES THE IMPORTANCE OF ITS LOCATION IN NEW YORK CITY AND SEEKS TO LINK ITS RESEARCH AND TEACHING TO THE VAST RESOURCES OF A GREAT METROPOLIS. IT SEEKS TO ATTRACT A DIVERSE AND INTERNATIONAL FACULTY AND STUDENT BODY, TO SUPPORT RESEARCH AND TEACHING ON GLOBAL ISSUES, AND TO CREATE ACADEMIC RELATIONSHIPS WITH MANY COUNTRIES AND REGIONS. IT EXPECTS ALL AREAS OF THE UNIVERSITY TO ADVANCE KNOWLEDGE AND LEARNING AT THE HIGHEST LEVEL AND TO CONVEY THE PRODUCTS OF ITS EFFORTS TO THE WORLD. false false 1967501733 591499128 1663557935 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK IS A PRIVATE, NONSECTARIAN, NONPROFIT INSTITUTION OF HIGHER EDUCATION WHOSE ACTIVITIES ARE CONCENTRATED AT TWO LOCATIONS IN NEW YORK CITY AND EXTEND ACROSS THE GLOBE. THE UNIVERSITY PROVIDES INSTRUCTION THROUGH SIXTEEN UNDERGRADUATE, GRADUATE, AND PROFESSIONAL SCHOOLS. IT OPERATES A VARIETY OF RESEARCH INSTITUTES AND A LIBRARY SYSTEM TO SUPPORT ITS TEACHING, LEARNING, AND RESEARCH ACTIVITIES. THE UNIVERSITY ENROLLS APPROXIMATELY 33,032 FULL-TIME AND PART-TIME STUDENTS AND EMPLOYS APPROXIMATELY 17,775 FULL-TIME EMPLOYEES, INCLUDING 6,372 FULL-TIME FACULTY MEMBERS AND RESEARCH STAFF. 1067520061 7645014 1276137960 THE UNIVERSITY, THROUGH THE COLUMBIA UNIVERSITY IRVING MEDICAL CENTER AND ITS MEDICAL FACULTY PRACTICE PLAN, PROVIDES DIRECT PATIENT CARE AND OTHER CLINICAL AND EDUCATIONAL SERVICES TO HOSPITALS AND OTHER HEALTH CARE INSTITUTIONS THROUGH CONTRACTUAL AGREEMENTS FOR SERVICES. THE CLINICAL FACULTY HANDLED APPROXIMATELY 2.3 MILLION OUTPATIENT AND EMERGENCY ROOM VISITS AND PARTICIPATED IN INSTRUCTION AND SUPERVISION OF 647 UNIVERSITY MEDICAL STUDENTS AND 965 RESIDENTS AND FELLOWS AT NEW YORK PRESBYTERIAN HOSPITAL. 639873077 132209002 213566629 THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS AND CONTRACTS WITH AGENCIES OF THE FEDERAL GOVERNMENT AND OTHER SPONSORING ORGANIZATIONS. 284830641 CAMPUS OPERATIONS 312612852 INSTITUTIONAL SUPPORT 166216745 191159029 AUXILIARY ENTERPRISES 299850766 6818063 2381798 OTHER SOURCES 1063511002 6818063 193540828 4738405873 true true false true false true false true false true true true false false true false false true true true true true false true true false false true true true true false true false false false true false false true false true true false false true true true true false false true X 39737 0 true 37001 true true true true false false false true true false false false false false false false false false X 23 21 false false false true false false false true true false false true true true true true true true true false AK CA CO MD MA MI NH OH OK OR SC WA X JULIA SHANAHAN 2128517348 615 WEST 131ST STREET MC 8741 New York NY 10027 X LEE C BOLLINGER PRESIDENT 59.9 0.1 X X 4067289 0 493400 KENNETH A FORDE TRUSTEE (THROUGH 6/2/19) 4.0 0.0 X 0 0 1872 ROLANDO T ACOSTA TRUSTEE 4.0 0.0 X 0 0 0 ARMEN A AVANESSIANS TRUSTEE 4.0 0.0 X 0 0 0 A'LELIA BUNDLES TRUSTEE 4.0 0.0 X 0 0 0 LISA CARNOY TRUSTEE 4.0 0.0 X 0 0 0 NOAM GOTTESMAN TRUSTEE 4.0 0.0 X 0 0 0 JOSEPH A GREENAWAY JR TRUSTEE 4.0 0.0 X 0 0 0 JAMES HARDEN TRUSTEE 4.0 0.0 X 0 0 0 BENJAMIN HOROWITZ TRUSTEE (THROUGH 9/3/18) 4.0 0.0 X 0 0 0 JONATHAN LAVINE TRUSTEE 4.0 0.0 X 0 0 0 CHARLES LI TRUSTEE (THROUGH 9/3/18) 4.0 0.0 X 0 0 0 PAUL J MADDON TRUSTEE 4.0 0.0 X 0 0 0 JONATHAN D SCHILLER TRUSTEE (THROUGH 9/3/18) 4.0 0.0 X 0 0 0 KYRIAKOS TSAKOPOULOS TRUSTEE (THROUGH 9/3/18) 4.0 0.0 X 0 0 0 CLAIRE SHIPMAN TRUSTEE 4.0 0.0 X 0 0 0 ANDREW BARTH TRUSTEE 4.0 0.0 X 0 0 0 MARC HOLLIDAY TRUSTEE 4.0 0.0 X 0 0 0 WANDA HOLLAND GREENE TRUSTEE 4.0 0.0 X 0 0 0 ABIGAIL ELBAUM TRUSTEE 4.0 0.0 X 0 0 0 MARK GALLOGLY TRUSTEE 4.0 0.0 X 0 0 0 LU LI TRUSTEE 4.0 0.0 X 0 0 0 ALEXANDER NAVAB TRUSTEE 4.0 0.0 X 0 0 0 JULIE MENIN TRUSTEE (AS OF 9/4/18) 4.0 0.0 X 9000 0 0 JULISSA REYNOSO TRUSTEE (AS OF 9/4/18) 4.0 0.0 X 0 0 0 DAVID GREENWALD TRUSTEE (AS OF 9/4/18) 4.0 0.0 X 0 0 0 VICTOR MENDELSON TRUSTEE (AS OF 9/4/18) 4.0 0.0 X 0 0 0 KATHY SURACE-SMITH TRUSTEE (AS OF 9/4/18) 4.0 0.0 X 0 0 0 JANE E BOOTH GENERAL COUNSEL 60.0 0.0 X 720476 0 52563 JOHN COATSWORTH PROVOST 59.9 0.1 X 814208 0 51654 JEROME DAVIS SECRETARY 60.0 0.0 X 438616 0 57678 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 59.8 0.2 X 792347 0 42884 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 59.9 0.1 X 805381 0 48997 DAVID MADIGAN EXEC VP-A&S (THROUGH 8/31/18) 59.9 0.1 X 598786 0 93430 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 60.0 0.0 X 1451673 0 518828 PETER HOLLAND CEO & EXEC VP OF INV MGMT 60.0 0.0 X 3706558 0 2469148 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 60.0 0.0 X 758637 0 41472 DAVID GREENBERG EXEC VP FACILITIES 60.0 0.0 X 531632 0 35115 DAVID N SILVERS CLINICAL PROFESSOR 60.0 0.0 X 4003292 0 48059 CRAIG R SMITH PROFESSOR OF SURGERY 60.0 0.0 X 2752861 0 56362 LAWRENCE GERALD LENKE PROFESSOR OF SURGERY 60.0 0.0 X 4741060 0 57161 KIEHYUN DANIEL RIEW PROFESSOR OF SURGERY 60.0 0.0 X 3737936 0 61441 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 60.0 0.0 X 3109858 0 64439 33039610 0 4194503 6125 false true false TURNER CONSTRUCTION CO 375 HUDSON STREET 6TH FLOOR NEW YORK NY 10014 CONSTRUCTION SRVCS 37107882 CALDWELL WALSH BLDG CNSTRN INC 60 E 42ND ST STE 1365 NEW YORK NY 10165 CONSTRUCTION SRVCS 12767744 SYSCO FOOD SERVICES OF METRO NEW YO 20 THEODORE CONRAD DRIVE JERSEY CITY NJ 07305 FOOD SERVICES 8992749 HUDSON HEART MANAGEMENT LLC 222 ROUTE 59 SUITE 302 SUFFERN NY 10901 MEDICAL SERVICES 6736212 IDEAL INTERIORS GROUP LLC 450 7th Ave NEW YORK NY 10123 CONSTRUCTION SRVCS 4527155 350 X 10586962 957446951 658000612 28480641 1626034525 TUITION & FEES 611600 1663557935 1663557935 OTHER EDUCATION & RESEARCH 541700 213566629 213566629 PATIENT CARE REVENUE 621110 1276137960 1276137960 AUXILIARY ENTERPRISES 900099 191159029 186507719 4651310 OTHER SOURCES 900099 2219843 2219843 161956 161956 3346803352 89610975 89610975 0 24112962 24112962 181578387 146934936 34643451 0 34643451 34643451 3096162943 2707498058 388664885 388664885 388664885 1154091 10586962 1778556 -624465 -624465 PARTNERSHIP INCOME 900099 45306671 -63120447 108427118 45306671 5554552356 3342152042 -58469137 644834926 X 121958540 121958540 588219949 588219949 27992718 27992718 0 14275636 2319468 11956168 143970 119245 24725 2531256833 2316647431 150387328 64222074 186382018 162733417 19137307 4511294 265324217 193252549 52755694 19315974 135473425 123987482 8048763 3437180 0 34492061 34492061 2266420 2266420 572000 572000 1588677 1588677 11398350 11398350 225797018 195241736 19928091 10627191 13241668 10856699 1029111 1355858 252054128 234707566 11546555 5800007 34154824 19535742 12745150 1873932 0 216851761 202214889 12298204 2338668 81435766 74266522 5062065 2107179 0 70804046 59146717 4500096 7157233 53506814 49163819 3715218 627777 0 289616327 266108998 20109360 3397969 32074871 27785849 4289022 LIBRARY 29808347 29808347 DUES & SUBSCRIPTIONS 9732294 7986869 1380906 364519 BANK AND CREDIT CARD FEES 6843108 5726728 1101041 15339 UNRELATED BUS INCOME TAX EXP 939553 939553 30286945 18624593 10774084 888268 5268492284 4738405873 400457272 129629139 X 0 0 1455563128 1439002269 851758015 759187382 398884946 434507955 2706171 2731294 0 0 118771704 107406924 3446459 3215148 46564733 57097743 9461674295 3859612447 5358050614 5602061848 1576124662 1260123887 9162157520 9669384697 0 0 0 0 675823078 589470314 19649851030 19924189461 321363505 366330119 0 0 273289229 288297491 1889050242 1812209035 0 0 0 0 0 0 195234731 187990854 1231592957 1285077407 3910530664 3939904906 X 7183872373 7294881634 4788221916 4704521013 3767226077 3984881908 15739320366 15984284555 19649851030 19924189461 X 286060072 -96877849 55781966 X X false true X true true true X 1239104776 1357673833 1835150690 1909794420 1626034525 7967758244 0 0 1239104776 1357673833 1835150690 1909794420 1626034525 7967758244 207532211 7760226033 293561605 274595453 257219758 262611265 295302324 1383290405 0 120213561 144279932 81993242 77186230 108427118 532100083 9883148732 14989648108 0.78520 0.78049 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false true false false false true 14372 true 34529 false true 572000 620901 false SCHEDULE C, PART II-B LINE 1A - VOLUNTEERS: N/A LINE 1B - PAID STAFF OR MANAGEMENT: THE UNIVERSITY HAS OFFICES OF GOVERNMENT AND COMMUNITY AFFAIRS AT BOTH ITS MORNINGSIDE AND MEDICAL CENTER CAMPUSES WHOSE FUNCTIONS ARE TO KEEP THE UNIVERSITY COMMUNITY INFORMED ABOUT NATIONAL, STATE AND LOCAL LEGISLATION AND POLICY THAT HAS AN IMPACT ON THE UNIVERSITY AND, WHEN APPROPRIATE, TO ADVOCATE FOR THE UNIVERSITY'S INTERESTS WITH RESPECT TO THIS POLICY. EMPLOYEES REGULARLY INVOLVED IN THESE ACTIVITIES INCLUDE BUT ARE NOT LIMITED TO: EXECUTIVE VICE PRESIDENT FOR PUBLIC AFFAIRS; ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS; ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS; THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCE; VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; DIRECTOR OF GOVERNMENT AFFAIRS; AND THE ASSISTANT DIRECTOR FOR GOVERNMENT & COMMUNITY AFFAIRS. LINE 1C - MEDIA ADVERTISEMENTS: N/A LINE 1D - MAILINGS TO MEMBERS, LEGISLATORS OR THE PUBLIC: N/A LINE 1E - PUBLICATIONS, OR PUBLISHED OR BROADCAST STATEMENTS: N/A LINE 1F - GRANTS TO OTHER ORGANIZATIONS FOR LOBBYING PURPOSES: THE UNIVERSITY BELONGS TO CERTAIN HIGHER EDUCATION TRADE ASSOCIATIONS. A SMALL PORTION OF THE MEMBERSHIP FEES PAID TO CERTAIN OF THESE ORGANIZATIONS GOES TO SUPPORT LOBBYING-RELATED ACTIVITIES. THESE FEES ARE REGULARLY REPORTED ON THE UNIVERSITY'S LOBBYING DISCLOSURE FILINGS. LINE 1G - DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, OR A LEGISLATIVE BODY: THE PRESIDENT, THE EXECUTIVE VICE PRESIDENT FOR PUBLIC AFFAIRS, THE ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE ASSISTANT VICE PRESIDENT FOR PLANNING AND PROJECT COORDINATION, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE DIRECTOR OF GOVERNMENT AFFAIRS; THE ASSISTANT DIRECTOR FOR GOVERNMENT & COMMUNITY AFFAIRS, AMONG OTHER COLUMBIA UNIVERSITY EMPLOYEES, CONTACTED FEDERAL, STATE, AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES. THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCE; THE VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; AND OTHER COLUMBIA UNIVERSITY MEDICAL CENTER EMPLOYEES CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES, HEALTH SCIENCES ISSUES AND OTHER ISSUES AFFECTING ACADEMIC MEDICAL CENTERS. THE AMOUNTS SHOWN ON LINE 1G REFLECT PAID STAFF AND MANAGEMENT ACTIVITIES. LINE 1H - RALLIES, DEMONSTRATIONS, SEMINARS, CONVENTIONS, SPEECHES, LECTURES OR ANY OTHER MEANS: N/A LINE 1I - OTHER ACTIVITIES: DURING THE REPORTING PERIOD, THE UNIVERSITY RETAINED OUTSIDE FIRMS FOR CONSULTING AND ADVOCACY AT THE FEDERAL, STATE AND LOCAL LEVELS OF GOVERNMENT. THE AMOUNTS SHOWN ON LINE 1I INCLUDE AMOUNTS PAID TO SUCH OUTSIDE FIRMS FOR ALL ACTIVITIES CONDUCTED BY SUCH FIRMS, INCLUDING CERTAIN OF THE ACTIVITIES DESCRIBED ABOVE AND GENERAL ADVISORY SERVICES TO THE UNIVERSITY IN CONNECTION WITH ITS LOBBYING ACTIVITIES. 14 1022319 20416467 37128573 true true X X X X true 10869245000 307537000 418416000 137178000 468970000 38312000 10950738000 9996596000 640042000 862139000 120019000 469411000 40102000 10869245000 9041027000 411858000 1140424000 114376000 441400000 40937000 9996596000 9639065000 176354000 -173840000 106989000 449177000 44386000 9041027000 9223047000 270192000 739891000 99309000 449275000 45481000 9639065000 0.36000 0.64000 true false 478254253 478254253 7051026536 3045452474 4005574062 581970462 361456252 220514210 1350423044 452703721 897719323 5602061848 GLOBAL EQUITIES 1253290823 F ABSOLUTE RETURN STRATEGIES 3625302802 F PRIVATE EQUITY 2167174583 F REAL ESTATE ASSETS 1962476223 F FIXED INCOME 322690248 F CASH & CASH EQUIVALENTS 338450018 F 9669384697 0 LIABILITY FOR SECURITIES PURCH 4535974 CAPITAL LEASE OBLIGATIONS 126127458 COND'L ASSET RETIREMENT OBLIGA 118930172 ACCRUED EMPLOYEE BENEFIT LIAB. 379564921 FEDERAL STUDENT LOAN FUNDS 79862423 ACTUARIAL LIAB- SPLIT INT AGRM 60688129 OTHER LONG TERM LIABILITIES 515368330 1285077407 DETAIL OF UNIVERSITY COLLECTIONS/TEXT OF AUDIT FOOTNOTE SCHEDULE D, PART III, LINES 1A, 2A & 4 Collections at the University include works of art, literary works, historical treasures, and artifacts that are maintained in the University's galleries, libraries, and buildings. These collections are protected and preserved for public exhibition, education, research, and the furtherance of public service and, therefore, are not recognized as assets on the consolidated statements of financial position. INTENDED USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 COLUMBIA UNIVERSITY'S ENDOWMENT FUNDS SUPPORT A RANGE OF PURPOSES IN ACCORDANCE WITH THE UNIVERSITY'S MISSION, INCLUDING: FINANCIAL AID; FACULTY SALARIES AND SUPPORT; RESEARCH; CAPITAL PROJECTS; GENERAL SUPPORT OF THE UNIVERSITY, SCHOOLS, DEPARTMENTS, INSTITUTES AND CENTERS. FIN 48 SCHEDULE D, PART X, LINE 2 The University does not include a liability for uncertain tax positions under FIN 48 (ASC 740) in its financial statements as it is immaterial and does not have an impact on the statements. The University believes that its tax positions of FIN 48 are highly certain. true true true true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 COLUMBIA UNIVERSITY CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND THE WORLD. ITS EDUCATIONAL PROGRAMS SEEK A BROAD CROSS-SECTION OF STUDENTS FROM THE METROPOLITAN AREA. IT FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY OF ADMISSION AND INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARDS STUDENTS IN ALL SCHOOL AND PROGRAM BULLETINS. IT ALSO REFERS TO THIS POLICY IN ALL WRITTEN ADVERTISING. IT THEREFORE MEETS THE CRITERIA UNDER REV. PROC. 75-50, SECTION 4.03-2(B)FOR EXEMPTION FROM THE PUBLICITY REQUIREMENTS OF SECTION 4.03-1. SCHEDULE E, LINE 6A COLUMBIA UNIVERSITY RECEIVES FEDERAL, STATE AND LOCAL GOVERNMENTAL FUNDING THAT SUPPORTS ITS CORE INSTRUCTIONAL AND RESEARCH PROGRAMS. true Central America and the Caribbean 1 280 Program Services EDUC/RESEARCH/OUTREACH 5540390 Central America and the Caribbean Grantmaking 687914 Central America and the Caribbean Investments 5163469567 East Asia and the Pacific 5 1320 Program Services EDUC/RESEARCH/OUTREACH 8388417 East Asia and the Pacific Grantmaking 931364 East Asia and the Pacific Fundraising 379252 East Asia and the Pacific Investments 186334044 Europe (Including Iceland and Greenland) 22 3210 Program Services EDUC/RESEARCH/OUTREACH 16284944 Europe (Including Iceland and Greenland) Grantmaking 3929050 Europe (Including Iceland and Greenland) Fundraising 1568679 Europe (Including Iceland and Greenland) Investments 638776348 Middle East and North Africa 4 440 Program Services EDUC/RESEARCH/OUTREACH 3760239 Middle East and North Africa Grantmaking 151277 Middle East and North Africa Fundraising 126569 North America 0 654 Program Services EDUC/RESEARCH/OUTREACH 1629354 North America Grantmaking 1425965 North America Fundraising 14685 North America Investments 36469846 Russia and the Newly Independent States 4 166 Program Services EDUC/RESEARCH/OUTREACH 3977578 Russia and the Newly Independent States Grantmaking 134635 South America 5 599 Program Services EDUC/RESEARCH/OUTREACH 3015803 South America Grantmaking 85743 South America Fundraising 27580 South Asia 2 268 Program Services EDUC/RESEARCH/OUTREACH 2788862 South Asia Grantmaking 640897 South Asia Fundraising 70345 South Asia Investments 5315 Sub-Saharan Africa 47 2341 Program Services EDUC/RESEARCH/OUTREACH 128969587 Sub-Saharan Africa Grantmaking 20005873 Sub-Saharan Africa Fundraising 26286 Sub-Saharan Africa Investments 143108091 32 5904 58 3374 90 9278 6033398058 339326441 6372724499 Europe (Including Iceland and Greenland) Edu/Research 746419 Check/Wire N/A N/A Sub-Saharan Africa Edu/Research 692359 Check/Wire N/A N/A North America Edu/Research 597820 Check/Wire N/A N/A South Asia Edu/Research 471329 Check/Wire N/A N/A Sub-Saharan Africa Edu/Research 372794 Check/Wire N/A N/A East Asia and the Pacific Edu/Research 326236 Check/Wire N/A N/A Sub-Saharan Africa Edu/Research 316542 Check/Wire N/A N/A North America Edu/Research 295475 Check/Wire N/A N/A Europe (Including Iceland and Greenland) Edu/Research 273937 Check/Wire N/A N/A Europe (Including Iceland and Greenland) Edu/Research 270258 Check/Wire N/A N/A Sub-Saharan Africa Edu/Research 275579 Check/Wire N/A N/A Europe (Including Iceland and Greenland) Edu/Research 257484 Check/Wire N/A N/A Europe (Including Iceland and Greenland) Edu/Research 218177 Check/Wire N/A N/A Europe (Including Iceland and Greenland) Edu/Research 208521 Check/Wire N/A N/A Sub-Saharan Africa Edu/Research 204609 Check/Wire N/A N/A Sub-Saharan Africa Edu/Research 195758 Check/Wire N/A N/A Europe (Including Iceland and Greenland) 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THIS POLICY IS CONTAINED IN THE "SPONSORED PROJECTS HANDBOOK". THE POLICY STATES THAT THE PRIMARY OBLIGATION FOR THE DAY-TO-DAY MANAGEMENT OF SPONSORED PROJECTS AND INSURING COMPLIANCE WITH FEDERAL AND OTHER SPONSOR REGULATIONS IS THE RESPONSIBILITY OF THE PRINCIPAL INVESTIGATOR SUPPORTED, AS NECESSARY, BY HIS OR HER ADMINISTRATIVE STAFF. ADDITIONALLY, THE POLICY SPECIFIES THE FOLLOWING MONITORING PROCEDURES: - MONTHLY ACCOUNT RECONCILIATION - REVIEW OF SALARY AND BENEFIT CHARGES - REVIEW OF VENDOR INVOICES - REVIEW OF CHARGES INITIATED BY SERVICE OR RECHARGE CENTERS - REVIEW OF FACILITIES AND ADMINISTRATIVE CHARGES - MONITORING OF SUB-AWARDS THROUGH REVIEW OF CHARGES AND TECHNICAL PERFORMANCE REPORTS, CONDUCTING PERIODIC ONSITE VISITS, AND INITIATING AUDITS/REVIEWS WHEN NECESSARY EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. MOST OF THE ACTIVITY RELATES TO U.S. GOVERNMENT FUNDED PROGRAM SERVICES. OTHER ACTIVITY INCLUDES FACULTY AND STAFF TRAVEL FOR EDUCATIONAL, RESEARCH, FUNDRAISING AND OTHER PROGRAM SERVICES. NOT ALL OF THE OVERSEAS EXPENDITURES ARE SEPARATELY TRACKED AS FOREIGN ACTIVITY. THE AMOUNTS REPRESENTED ON SCHEDULE F REPRESENT THE UNIVERSITY'S GOOD FAITH EFFORTS TO CAPTURE AND CATEGORIZE FOREIGN ACTIVITY. ----------------------------------------------------------------- FORM 990, SCHEDULE F, PART I, COLUMN (F) & PART II, LINE 1 COLUMBIA UNIVERSITY ACCOUNTS FOR ALL FOREIGN EXPENDITURES, INCLUDING CASH GRANTS AND NONCASH ASSISTANCE, ON THE ORGANIZATION'S FINANCIAL STATEMENTS IN ACCORDANCE WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES IN THE UNITED STATES. ---------------------------------------------------------------- X X X X X X X true RUFFALO NOEL LEVITZ LLC 1025 KIRKWOOD PARKWAY SW CEDAR RAPIDS IA 52404 CONSULTING false 1032418 731977 300441 DONORDRIVE 30 WEST THIRD STREET CINCINNATI OH 45202 CONSULTING false 36112 27102 9010 EVENTAGE 18 SOUTH ORANGE AVENUE SOUTH ORANGE NJ 07079 CONSULTING false 1105422 829598 275824 2173952 1588677 585275 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS MO NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI ANNUAL 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361 W 125TH St NEW YORK NY 10027 133945168 501(C)(3) 22500 N/A N/A Program Services FORDHAM UNIVERSITY 150 W 62ND St NEW YORK NY 10023 131740451 501(C)(3) 20000 N/A N/A Program Services FRIENDS OF COLUMBIA SECONDARY SCHOOL 603 W 115TH ST NEW YORK NY 10025 261146491 501(C)(3) 430195 N/A N/A Program Services FRIENDS OF THE CHILDREN NY PO BOX 1649 NEW YORK NY 10026 061597902 501(C)(3) 18000 N/A N/A Program Services FRIENDS OF THE NTL LIB OF MEDICINE 4720 MONTGOMERY LN BETHESDA MD 20814 521417780 501(C)(3) 10000 N/A N/A Program Services GRAHAM WINDHAM 1 PIERREPONT PLAZA NEW YORK NY 11201 132926426 501(C)(3) 20000 N/A N/A Program Services HARBORING HEARTS GALA 442 BROADWAY NEW YORK NY 10013 943433059 501(C)(3) 20000 N/A N/A Program Services HARLEM ACADEMY 1330 5TH Ave NEW YORK NY 10026 562454573 501(C)(3) 26000 N/A N/A Program Services HARLEM CHAMBER PLAYERS INC 191 CLAREMONT Ave NEW YORK NY 10027 452160781 501(C)(3) 18000 N/A N/A Program Services HARLEM EDU ACTIVITIES FUND INC 2090 7th Ave NEW YORK NY 10027 133568672 501(C)(3) 8500 N/A N/A Program Services HARLEM GROWN INC 127 W 127TH ST NEW YORK NY 10027 274250636 501(C)(3) 6000 N/A N/A Program Services HARLEM LACROSSE AND LEADERSHIP CORP 8 W 126TH St NEW YORK NY 10027 451634118 501(C)(3) 11000 N/A N/A Program Services HARLEM SCHOOL OF THE ARTS INC 645 ST NICHOLAS AVE NEW YORK NY 10030 132552500 501(C)(3) 7000 N/A N/A Program Services HARLEM STAGE 150 CONVENT Ave NEW YORK NY 10031 133166308 501(C)(3) 6000 N/A N/A Program Services INSTITUTE OF INTERNATIONAL EDUCATION 162 W 56TH ST NEW YORK NY 10019 131624046 501(C)(3) 15000 N/A N/A Program Services Isabella Geriatric Center 515 AUDUBON Ave NEW YORK NY 10040 133623808 501(C)(3) 7500 N/A N/A Program Services JCC ROCKLAND INC 450 W NYACK Rd W NYACK NY 10994 133329286 501(C)(3) 40000 N/A N/A Program Services JEWISH FEDERATION OF ROCKLAND COUNTY 450 W NYACK RD W NYACK NY 10994 133268920 501(C)(3) 225000 N/A N/A Program Services JONAS PHILANTHROPIES INC PO BOX 705 NEW YORK NY 10032 821843824 501(C)(3) 7500 N/A N/A Program Services JUVENILE DIABETES RES 26 Broadway NEW YORK NY 10004 231907729 501(C)(3) 10500 N/A N/A Program Services LEGAL OUTREACH INC 36-14 35TH St QUEENS NY 11106 133214627 501(C)(3) 18000 N/A N/A Program Services LIFEFORCE IN LATER YEARS INC PO BOX 250402 NEW YORK NY 10025 800401075 501(C)(3) 10500 N/A N/A Program Services LINCOLN CNTR 70 LINCOLN CTR PLAZA NEW YORK NY 10023 131847137 501(C)(3) 35000 N/A N/A Program Services LOUIS ARMSTRONG HOUSE MUSEUM 34-56 107TH St CORONA NY 11368 264178283 501(C)(3) 25000 N/A N/A Program Services LUPUS RESEARCH ALLIANCE INC 275 MADISON Ave NEW YORK NY 10016 582492929 501(C)(3) 50000 N/A N/A Program Services MARINE CORPS SCHOLARSHIP FDT INC 909 N WASHINGTON St ALEXANDRIA VA 22314 221905062 501(C)(3) 10000 N/A N/A Program Services MEN AND WOMEN IN PRISON MINISTRIES 10 W 35TH St CHICAGO IL 60616 363850240 501(C)(3) 7500 N/A N/A Program Services MEX CLTN FOR THE EMPWMT OF YOUTH & FAMILIES INC 389 E 150TH St BRONX NY 10455 462463951 501(C)(3) 15000 N/A N/A Program Services MORNINGSIDE RETIREMENT 100 LA SALLE ST NEW YORK NY 10027 136206256 501(C)(3) 8000 N/A N/A Program Services MUSEUM OF ARTS AND DESIGN 2 COLUMBUS CIRCLE NEW YORK NY 10019 133585408 501(C)(3) 25000 N/A N/A Program Services NAACP LEGAL DEFENSE & EDUCATIONAL FUND 40 RECTOR St NEW YORK NY 10006 131655255 501(C)(3) 175000 N/A N/A Program Services NEW HERITAGE THEATER 229 W 135TH St NEW YORK NY 10030 132683678 501(C)(3) 15500 N/A N/A Program Services NEW YORK ACADEMY OF MEDICINE 1216 5TH AVE NEW YORK NY 10029 131656674 501(C)(3) 23599 N/A N/A Program Services NEW YORK COMMON PANTRY INC 8 E 109TH St NEW YORK NY 10029 133127972 501(C)(3) 5500 N/A N/A Program Services NEW YORK PRESBYTERIAN FUND INC 54 W 170TH St NEW YORK NY 10032 133160356 501(C)(3) 86500 N/A N/A Program Services NEW YORK UNIVERSITY 60 WASHINGTON SQ NY NY 10012 135562308 501(C)(3) 2287646 N/A N/A Program Services NEWPORT FESTIVALS FNDT INC 74 MARTIN St REAR ESSEX MA 01929 274099544 501(C)(3) 32500 N/A N/A Program Services N MANHATTAN ARTS ALLIAN 5030 BROAdWAY NEW YORK NY 10034 261997496 501(C)(3) 7500 N/A N/A Program Services N MANHATTAN IMPROVEMENT CORP 45 WADSWORTH Ave NEW YORK NY 10033 132972415 501(C)(3) 6750 N/A N/A Program Services NY PUBLIC RADIO 160 VARICK ST NEW YORK NY 10013 133015230 501(C)(3) 25000 N/A N/A Program Services ONE TO WORLD 307 7th Ave NEW YORK NY 10001 133179151 501(C)(3) 10000 N/A N/A Program Services PALANTE HARLEM 1411 AMSteRDAM Ave NEW YORK NY 10027 800209989 501(C)(3) 12500 N/A N/A Program Services PELLETTIERI STONE CARVERS ACADEMY INC 114 MORNINGSIDE DR NEW YORK NY 10027 474233533 501(C)(3) 9000 N/A N/A Program Services PEOPLES THEATRE PROJECT INC 5030 BROAdWAY NEW YORK NY 10034 264705999 501(C)(3) 6500 N/A N/A Program Services PROJECT ALS 801 RIVERSIDE DR NEW YORK NY 10032 134019464 501(C)(3) 115500 N/A N/A Program Services PURPLE CIRCLE DAY CARE 251 W 100TH St NEW YORK NY 10025 133073319 501(C)(3) 24000 N/A N/A Program Services RED BALLOON 560 RIVERSIDE DR NEW YORK NY 10027 132772534 501(C)(3) 26000 N/A N/A Program Services RESEARCH AMERICA P O BOX 222451 CHANTILLY VA 20153 521609875 501(C)(3) 6000 N/A N/A Program Services RIVERSIDE LANGUAGE PROGRAM 270 W 89TH St NEW YORK NY 10024 133280364 501(C)(3) 10000 N/A N/A Program Services RIVERSIDE PARK CONSERVANCY 475 RIVERSIDE DR NEW YORK NY 10115 133443825 501(C)(3) 13400 N/A N/A Program Services RIVERSTONE SENIOR LIFE SVCS 99 FT WASHINGTON AVE NY NY 10032 133355074 501(C)(3) 6000 N/A N/A Program Services SAMARITAN DAYTOP FNDT INC 138-02 QUEENS BLVD BRIARWOOD NY 11435 112490500 501(C)(3) 15000 N/A N/A Program Services SAMARITAN DAYTOP VILLAGE INC 138-02 QUEENS BLVD BRIARWOOD NY 11435 112635374 501(C)(3) 7500 N/A N/A Program Services SERVICE PRGM FOR OLDER PEOPLE INC 302 W 91ST St NEW YORK NY 10024 132947616 501(C)(3) 10000 N/A N/A Program Services SNACK & FRIENDS INC 316 E 53RD St NEW YORK NY 10022 205934666 501(C)(3) 18000 N/A N/A Program Services SOHARLEM INC 1361 AMSteRDAM Ave NEW YORK NY 10027 471640149 501(C)(3) 10000 N/A N/A Program Services ST MARYS EPISCOPAL 521 W 126TH St NEW YORK NY 10027 131624179 501(C)(3) 6500 N/A N/A Program Services STREETSQUASH INC 40 W 116TH St NEW YORK NY 10026 134061809 501(C)(3) 10000 N/A N/A Program Services THE ARNOLD P GOLD FOUNDATION 619 E PALISADE Ave ENGLWD CLIFFS NJ 07632 223052098 501(C)(3) 12500 N/A N/A Program Services LELAND STANFORD JUNIOR UNIVERSITY 365 LASUEN St STANFORD CA 94305 941156365 501(C)(3) 210000 N/A N/A Program Services THE MARFAN FOUNDATION INC 22 MANHASSET Ave PT WASHINGTON NY 11050 521265361 501(C)(3) 25000 N/A N/A Program Services THE OLIVER SCHOLARS PROGRAM INC 80 MAIDEN LE NEW YORK NY 10038 133248876 501(C)(3) 10000 N/A N/A Program Services THE READING TEAM INC 2090 CLAYTON POWELL BLVD NY NY 10027 134125884 501(C)(3) 8000 N/A N/A Program Services REV LINNETTE C WILLIAMSON MEMORIAL PK ASSN 141 W 139TH St NEW YORK NY 10030 133861293 501(C)(3) 18000 N/A N/A Program Services YOUNG MENS AND YOUNG WOMENS HEBREW ASSN 1395 LEXINGTON Ave NEW YORK NY 10128 131624229 501(C)(3) 50000 N/A N/A Program Services TOP HONORS INC PO BOX 7473 NEW YORK NY 10116 753062601 501(C)(3) 26000 N/A N/A Program Services UASPIRE 31 MILK St BOSTON MA 02109 461314848 501(C)(3) 10000 N/A N/A Program Services UNIVERSITY OF WISCONSIN FNDT 1848 UNIVERSITY Ave MADISON WI 53726 390743975 501(C)(3) 31000 N/A N/A Program Services UPTOWN INNER CITY LEAGUE INC 3333 BROAdWAY E NEW YORK NY 10031 133823616 501(C)(3) 8500 N/A N/A Program Services VCS INC 77 S MAIN St NEW CITY NY 10956 132720369 501(C)(3) 100000 N/A N/A Program Services WASHINGTON HEIGHTS CORNER PROJECT 104-106 E 126TH St NEW YORK NY 10035 208672015 501(C)(3) 24820 N/A N/A Program Services WENDY HILLIARD FOUNDATION 550 W155TH St NEW YORK NY 10032 133879321 501(C)(3) 26000 N/A N/A Program Services WeACT 1854 AMSteRDAM Ave NEW YORK NY 10031 133800068 501(C)(3) 23400 N/A N/A Program Services W SIDE CENTER FOR COMMUNITY LIFE 263 W 86TH St NEW YORK NY 10024 710908184 501(C)(3) 32000 N/A N/A Program Services WNET 825 8TH Ave NEW YORK NY 10019 262810489 501(C)(3) 25000 N/A N/A Program Services YALE UNIVERSITY 157 CHURCH ST NEW HAVEN CT 06510 060646973 501(C)(3) 20000 N/A N/A Program Services 92nd Street Y 1395 Lexington Ave NEW YORK NY 10128 131624229 501(C)(3) 50000 N/A N/A Program Services Lavine Family Exec Dir for Jewish Life 606 W 115th St NEW YORK NY 10025 237077182 501(C)(3) 2500000 N/A N/A Program Services Knight First Amendment Inst at CU 535 W 116 NEW YORK NY 10027 814759386 501(C)(3) 1006804 N/A N/A Capital Contr Reid Hall 615 W 131ST ST MC 8741 NEW YORK NY 10027 131611126 501(C)(3) 3279181 N/A N/A Capital Contr Columbia University Health Care Inc 630 W 168TH ST NEW YORK NY 10032 133948652 501(C)(3) 7645014 N/A N/A Capital Contr 397 0 CCS NANCY RUPP SCHOLARSHIPS 2 10500 N/A N/A STUDENT TUITION GRANTS AND SCHOLARSHIPS 14530 588209449 N/A N/A DESCRIPTION OF ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANTS FORM 990, SCHEDULE I THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF THE USE OF SPONSORED PROJECT GRANT FUNDING BY SUBRECIPIENTS. THE POLICY MANDATES MONITORING IN TWO AREAS: (A) SUBRECIPIENT INSTITUTION COMPLIANCE WITH THE AUDITING REQUIREMENTS OF OMB CIRCULAR A-133, AND (B) SUBRECIPIENT INSTITUTION'S APPROPRIATE MANAGEMENT OF SUBAWARD. THE UNIVERSITY'S SPONSORED PROJECTS FINANCE GROUP COLLECTS A-133 REPORTS FROM SUBRECIPIENT INSTITUTIONS, AND THE PRINCIPAL INVESTIGATORS CARRY OUT THE SECOND TYPE OF MONITORING, PRINCIPALLY BY: - ROUTINELY GATHERING AND REVIEWING TECHNICAL PERFORMANCE REPORTS; - ROUTINELY REVIEWING INVOICES AND EXPENSES RELATIVE TO BUDGET; - CONDUCTING PERIODIC ON-SITE VISITS, WHEN NECESSARY; AND - INITIATING AUDITS, WHEN NECESSARY. X X X X true true X X X X X false false false true false false false true false LEE C BOLLINGER PRESIDENT 1508299 0 700000 0 1858990 0 41690 0 451710 0 4560689 0 0 0 JANE E BOOTH GENERAL COUNSEL 720476 0 0 0 0 0 41690 0 10873 0 773039 0 0 0 JOHN COATSWORTH PROVOST 773062 0 0 0 41146 0 27955 0 23699 0 865862 0 0 0 JEROME DAVIS SECRETARY 438616 0 0 0 0 0 41705 0 15973 0 496294 0 0 0 DAVID MADIGAN EXEC VP-A&S (THROUGH 8/31/18) 553170 0 0 0 45616 0 27955 0 65475 0 692216 0 0 0 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 792347 0 0 0 0 0 27955 0 14929 0 835231 0 0 0 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 805381 0 0 0 0 0 27864 0 21133 0 854378 0 0 0 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 1154508 0 220000 0 77165 0 507955 0 10873 0 1970501 0 0 0 PETER HOLLAND CEO & EXEC VP OF INV MGMT 1002776 0 2703782 0 0 0 2431565 0 37583 0 6175706 0 2341359 0 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 758637 0 0 0 0 0 27955 0 13517 0 800109 0 0 0 DAVID GREENBERG EXEC VP FACILITIES 531632 0 0 0 0 0 27955 0 7160 0 566747 0 0 0 DAVID N SILVERS CLINICAL PROFESSOR 2997384 0 1005908 0 0 0 38108 0 9951 0 4051351 0 0 0 CRAIG R SMITH PROFESSOR OF SURGERY 2752861 0 0 0 0 0 37941 0 18421 0 2809223 0 0 0 LAWRENCE GERALD LENKE PROFESSOR OF SURGERY 4741060 0 0 0 0 0 30352 0 26809 0 4798221 0 0 0 KIEHYUN DANIEL RIEW PROFESSOR OF SURGERY 3737936 0 0 0 0 0 30488 0 30953 0 3799377 0 0 0 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 3109858 0 0 0 0 0 30624 0 33815 0 3174297 0 0 0 SUPPLEMENTAL COMPENSATION INFORMATION NOTES TO PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN LIMITED CIRCUMSTANCES, CERTAIN INDIVIDUALS MAY TRAVEL FIRST CLASS WHEN THE TRAVEL IS SUBSTANTIATED AS A REASONABLE EXPENSE TO SUPPORT THE MISSION OF THE UNIVERSITY. ANY FIRST CLASS EXCEPTIONS TO THE UNIVERSITY'S POLICY ARE SUBJECT TO REVIEW AND APPROVAL. TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT OR OF ANOTHER OFFICER OR KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS, AS WELL AS REPRESENTING THE UNIVERSITY AT AWARDS PRESENTATIONS OR OTHER CEREMONIES OR EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT IS REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. THE PRESIDENT'S HOUSING HAS BEEN VALUED AT $420,967 AND IS REPORTED AS A NON-TAXABLE BENEFIT. THE UNIVERSITY ALSO PROVIDES A CAR AND DRIVER TO BE USED BY THE PRESIDENT IN CONNECTION WITH HIS DUTIES. THE PRESIDENT IS RESPONSIBLE FOR ANY PERSONAL USE OF THE HOUSEHOLD STAFF OR CAR AND DRIVER AND OTHER PERSONAL EXPENSES. PERSONAL SERVICES OTHER REPORTABLE COMPENSATION INCLUDES $7,565 IMPUTED TO DR. GOLDMAN WITH RESPECT TO PERSONAL USE OF A CAR AND DRIVER PROVIDED BY THE UNIVERSITY (SEE PART I, COLUMN (B)(III)). NOTE TO PART I, LINE 5A DR. DAVID SILVERS' COMPENSATION IS COMPRISED OF BASE COMPENSATION AND INCENTIVE COMPENSATION DETERMINED FROM HIS PERFORMANCE OF, AND REVENUES FROM, CLINICAL DUTIES IN THE UNIVERSITY'S DERMATOPATHOLOGY PRACTICE WHERE HE IS THE DIRECTOR, AND IS SUBJECT TO A CAP FOR EACH ACADEMIC YEAR. NOTE TO PART I, LINE 7 NOTE TO PETER HOLLAND'S COMPENSATION THE ACTUAL AMOUNT EARNED DURING THE REPORTING PERIOD WAS $3,834,347 FOR MR. HOLLAND. THE LARGER COMPENSATION FIGURE SHOWN IN COLUMN (E) INCLUDES DOUBLE REPORTING OF PREVIOUSLY REPORTED DEFERRED COMPENSATION THAT VESTED AND WAS PAID DURING THE REPORTING PERIOD. THE ACTUAL AMOUNT EARNED BY MR. HOLLAND IS CALCULATED BY SUBTRACTING COLUMN (F) FROM COLUMN (E). PAYMENT OF MR. HOLLAND'S PERFORMANCE BASED BONUS IS, IN EACH CASE, DEFERRED SUBJECT TO VESTING UPON CONTINUING SERVICE TO THE UNIVERSITY. COLUMNS (C) AND (E) INCLUDE DEFERRED COMPENSATION AWARDED DURING THE REPORTING PERIOD BUT SUBJECT TO FUTURE VESTING. NOTE TO LEE BOLLINGER'S COMPENSATION AMOUNTS FOR PRESIDENT BOLLINGER IN COLUMN (B)(II) INCLUDE PAYMENTS UNDER A PERFORMANCE-BASED BONUS AWARD. THE AMOUNT SHOWN IN COLUMN (B)(III) AS "OTHER REPORTABLE COMPENSATION" REFLECTS PAYMENT OF ACCRUED BENEFITS AND LEAVE. NOTE TO DR. GOLDMAN'S COMPENSATION THE UNIVERSITY HAS AGREED TO PROVIDE DR. GOLDMAN WITH SUPPLEMENTAL RETIREMENT INCOME BASED ON CUMULATIVE ANNUAL CREDITS INCLUDING AMOUNTS FOR ACHIEVING PERFORMANCE MEASURES, SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICES TO THE UNIVERSITY. CREDITS AWARDED FOR THE CALENDAR YEAR REPORTING PERIOD $480,000 ARE INCLUDED AS DEFERRED COMPENSATION. NOTE TO DR. SMITH'S, DR. LENKE'S, DR. RIEW'S, AND DR. LEHMAN'S COMPENSATION THE COMPENSATION OF DR. SMITH, DR. LENKE, DR. RIEW, & DR. LEHMAN IS SUPPORTED BY THEIR CLINICAL ACTIVITIES, GRANTS, AND SUPPORT FROM THE UNIVERSITY'S HOSPITAL AFFILIATES. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B 146000293 649901R49 2003-03-05 122696491 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A 146000293 649905DF0 2009-05-14 117000000 FUND NEW QUALIFIED PROJECTS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2011A 146000293 649906AV6 2011-02-16 312102192 FUND NEW QUALIFIED PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A 146000293 649906F33 2012-06-07 174118498 REFUND 2008A & FUND NEW PROJECTS false false false A 87775000 0 123718793 0 0 0 802880 0 0 122097219 818694 0 2004 false false true true B 0 0 117067254 0 0 0 823388 0 0 115269253 974613 0 2009 false false true true C 30000000 0 312258392 0 0 0 1678394 0 0 308005990 2574008 0 false false true true D 11645000 0 174157898 0 0 0 738570 0 0 173344328 75000 0 false true true true A false true true true true true 0 false false false true B false true true true true true 0 false false false true C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false false true true false 0 false 0 false true B false false false true true false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true SCHEDULE K, PART II, LINE 3 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED ON SCHEDULE K, PART II, LINE 11 REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE WITH THE EXCEPTION OF THE 2012A, 2015A, and 2015B BOND ISSUES. ------------------------------------------------------------- SCHEDULE K, PART III, LINES 4-5 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2009A, SERIES 2011A, SERIES 2012A, SERIES 2015A, SERIES 2015B, SERIES 2016A&B, SERIES 2017A&B AND 2018A&B ISSUES ON SCHEDULE K. -------------------------------------------------------------- SCHEDULE K, PART IV, LINE 2 FOR ALL SERIES EXCEPT THE 2015A AND 2015B, THE BOND PROCEEDS ARE SLIGHTLY EXCEEDED BY THE TOTAL USES DUE TO EARNINGS IN THE CONSTRUCTION FUND HELD AT THE TRUSTEE. THE LATEST ARBITRAGE COMPUTATION FOR DASNY 2003A&B, 2009A, 2011A, 2012A, 2015A, 2015B, 2016A&B, 2017A&B AND 2018A&B WAS DECEMBER 31, 2018. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2015A 146000293 6499077D8 2015-04-23 125006199 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2015B 146000293 64990BGH0 2015-04-23 56240112 REFUND DASNY 2004B BONDS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2016A&B 146000293 64990BZK2 2016-04-27 491547535 REFUND 2006AB AND FUND NEW PROJECT false false false D DORMITORY AUTHORITY OF NEW YORK 2017A&B 146000293 64990CQE4 2017-03-01 240921142 REFUND 2004C AND FUND NEW PROJECTS false false false A 0 0 125006199 0 0 0 482921 0 0 124474161 49116 0 false false true true B 15045000 0 56240112 0 0 0 239228 0 0 0 56000884 0 2007 true false true true C 40895000 0 491760973 0 0 0 1304805 0 0 239038664 251417504 0 true false true true D 0 0 241400663 0 0 0 879101 0 0 191140597 49380966 0 true false true true A false true true true true true 0 false false false true B false true true true true true 0 false false false true C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false false true false false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true A DORMITORY AUTHORITY OF NEW YORK 2018A&B 146000293 64990C6P1 2018-05-16 396803509 REFUND 2008A AND FUND NEW PROJECTS false false false A 0 0 398802119 0 0 0 1296723 0 0 156914684 204570163 36020550 true false false true A false true true true true true 0 false false false true A false true false false false false 0 false 0 false true A true JOHN COATSWORTH OFFICER HOUSING X 1475000 1970774 false true true JOHN COATSWORTH OFFICER HOUSING X 525000 560520 false true true DAVID MADIGAN OFFICER HOUSING X 400000 200000 false true true 2731294 JILL S GOLDMAN SPOUSE OF KEY EMPLOYEE 119245 EMPLOYMENT false NOTES TO SCHEDULE L ALL AMOUNTS SHOWN ON SCHEDULE L REPRESENT PAYMENTS BY THE UNIVERSITY TO THE INTERESTED PERSON. THE SPOUSE OF THE KEY EMPLOYEE LISTED IN SCHEDULE L WAS AN EMPLOYEE OF THE UNIVERSITY DURING THE REPORTING PERIOD. HER COMPENSATION REPORTED ON SCHEDULE L WAS DETERMINED IN ACCORDANCE WITH THE UNIVERSITY'S REGULAR COMPENSATION PRACTICES APPLICABLE TO SIMILARLY SITUATED EMPLOYEES. NO UNIVERSITY OFFICIAL WHO WAS ALSO AN OFFICER OR DIRECTOR OF AN INTERESTED PERSON PARTICIPATED IN OR INFLUENCED THE UNIVERSITY'S DECISION ABOUT ANY TRANSACTION. SCHEDULE L, PART II THE LOANS REPORTED FOR JOHN COATSWORTH IN PART II ARE INTEREST BEARING AND SECURED BY AN INTEREST IN A PRIMARY RESIDENCE. THE LOAN REPORTED FOR DAVID MADIGAN IN PART II IS INTEREST BEARING AND WAS MADE IN CONNECTION WITH A PRIMARY RESIDENCE. X 10 X 518 27230641 COST/SALES PRICE X 1 1250000 X 5 X 4 X EQUIPMENT 5 0 0 X EVENT TICKETS & FEES 13 0 0 X BOOKS 2 0 0 17 false true true USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART I, LINE 32B THE UNIVERSITY USES THIRD PARTY INVESTMENT BROKERS TO SELL NON-CASH CONTRIBUTED SECURITIES. THIRD PARTIES ARE NOT USED TO SOLICIT OR PROCESS ANY CONTRIBUTIONS. DESCRIPTION OF CONTRIBUTED PROPERTY FOR WHICH REVENUES ARE NOT REPORTED SCHEDULE M, PART I, LINE 33 UNDER GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. BECAUSE THE UNIVERSITY UTILIZES CONTRIBUTIONS OF ART AND HISTORICAL TREASURES IN FURTHERANCE OF PUBLIC SERVICE, THESE CONTRIBUTIONS ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. IN ADDITION, MINOR GIFTS, SUCH AS FOOD OR SUPPLIES, ARE CONSIDERED DE MINIMIS. NUMBER OF CONTRIBUTIONS SCHEDULE M, PART I, COLUMN (B) THE FIGURES IN COLUMN (B) REPRESENT THE NUMBER OF CONTRIBUTIONS RECEIVED. SUPPLEMENTAL DISCLOSURES FORM 990, PART I, LINE 4 AND PART VI, LINE 1B DETAIL REGARDING THE NUMBER OF INDEPENDENT VOTING MEMBERS THE UNIVERSITY'S PRESIDENT, A VOTING MEMBER OF THE BOARD, IS NOT COUNTED AS INDEPENDENT BECAUSE HE IS AN EMPLOYEE OF THE UNIVERSITY. IN ACCORDANCE WITH THE FORM 990 REPORTING INSTRUCTIONS, THE UNIVERSITY HAS ALSO NOT COUNTED AS INDEPENDENT FOR THE PURPOSES OF THIS QUESTION THE TRUSTEE LISTED ON PART VII WHO SERVED AS AN ADJUNCT FACULTY MEMBER FOR A PORTION OF THE REPORTING PERIOD AND RECEIVED COMPENSATION FOR THOSE SERVICES. The adjunct faculty members' compensation reported on part vii was determined in accordance with the university's compensation policies and practices applicable to similarly situated employees. ------------------------------------------------------------- FORM 990, PART I, LINE 6 DETAIL REGARDING THE NUMBER OF VOLUNTEERS THE NUMBER SHOWN IS AN ESTIMATE OF ALUMNI VOLUNTEERS WHO WORK WITH THE UNIVERSITY'S CENTRAL ALUMNI OFFICE. ADDITIONAL VOLUNTEERS WORK IN MANY OF THE UNIVERSITY'S SCHOOLS, CENTERS AND OTHER PROGRAMS. ------------------------------------------------------------- FORM 990, PART V, LINE 4B FOREIGN COUNTRY LIST ANGOLA BANGLADESH BRAZIL CAMEROON CHILE CHINA CONGO (KINSHASA) ETHIOPIA FRANCE GERMANY HAITI HONG KONG INDIA ITALY COTE D'IVOIRE (IVORY COAST) JAPAN JORDAN KAZAKHSTAN KENYA KYRGYZSTAN LESOTHO MALAWI MOZAMBIQUE MYANMAR RWANDA SIERRA LEONE SOUTH AFRICA SOUTH SUDAN SWAZILAND TAJIKISTAN TANZANIA TUNISIA TURKEY UNITED KINGDOM (ENGLAND, NORTHERN IRELAND, SCOTLAND, AND WALES) UGANDA ZAMBIA ZIMBABWE ------------------------------------------------------------- FORM 990, PART V, LINES 7G AND 7H CONTRIBUTIONS OF CERTAIN TYPES OF PROPERTY DURING THE YEAR ENDED JUNE 30, 2019, THE UNIVERSITY DID NOT RECEIVE ANY CONTRIBUTIONS OF QUALIFIED INTELLECTUAL PROPERTY, CARS, BOATS, AIRPLANES, OR OTHER VEHICLES. AS A RESULT, THE UNIVERSITY WAS NOT REQUIRED TO FILE FORMS 8899 OR 1098-C TO REPORT SUCH CONTRIBUTIONS. ------------------------------------------------------------- Form 990, Part V, Lines 15 & 16 Excise Taxes Per IRS Notice 2019-09, excess remuneration is calculated based only on the amounts paid during the portion of calendar year 2018 falling during the current fiscal year reporting period. For the University, this period is July 1 - December 31, 2018. During this period, no employee received compensation over $1 million that would be subject to the tax. Therefore, the University has answered this question "no" but expects to answer "yes" in future filings. The University has reviewed Section 4968 of the IRC and IRS Notice of Proposed Rulemaking, 84 Fed. Reg. 31795 (July 3, 2019), to determine if it is subject to the excise tax on net investment income. Based on this guidance, the University determined it does not have applicable assets in excess of $500,000 per student (on a full-time equivalent basis). Therefore, the University has answered "no" as it is not subject to this tax. ------------------------------------------------------------- FORM 990, PART VI, LINE 5 Significant Diversion of Assets DURING THE REPORTING PERIOD, THE UNIVERSITY DISCOVERED COLLUSION BY SEVERAL EMPLOYEES WORKING ON A DISCRETE PROGRAM WHO FRADULDENTLY DIVERTED APPROXIMATELY $1 MILLION OVER A NUMBER OF YEARS. THE UNIVERSITY TERMINATED THESE EMPLOYEES, MODIFIED ITS PROCESSES AND NOTIFIED THE APPROPRIATE GOVERNMENTAL AGENCIES. IN ADDITION, THE UNIVERSITY IDENTIFIED UNRELATED INSTANCES OF PERSONAL PURCHASES BY EMPLOYEES (IN TOTAL LESS THAN $5,000) WHICH RESULTED IN DISCIPLINE OR TERMINATION. SUCH AMOUNTS WOULD NOT GENERALLY REQUIRE DISCLOSURE. ------------------------------------------------------------- FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW 990 A SUBCOMMITTEE COMPRISED OF MEMBERS OF THE TRUSTEES AUDIT COMMITTEE REVIEWED THE FORM 990. FOLLOWING THAT REVIEW, THE FORM 990 WAS MADE AVAILABLE TO ALL TRUSTEES VIA A SECURE WEBSITE AND THEN PRESENTED TO THE FULL BOARD OF TRUSTEES AT A MEETING ON MAY 6, 2020. THE FINAL FORM WAS POSTED ON THE SECURE WEBSITE PRIOR TO FILING. ------------------------------------------------------------- FORM 990, PART VI, LINE 12C DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST ALL TRUSTEES ARE SUBJECT TO THE "STATEMENT OF CONFLICT OF INTEREST POLICY FOR THE TRUSTEES OF COLUMBIA UNIVERSITY." WHEN A TRUSTEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCES TO THE BOARD CHAIR OR OTHERS, AS APPROPRIATE, (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE TRUSTEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSIONS OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL TRUSTEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THE DISCLOSURES ARE REVIEWED FOR APPROPRIATE ACTION. ALL OFFICERS AND KEY EMPLOYEES ARE SUBJECT TO THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST." WHEN AN OFFICER OR KEY EMPLOYEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCE TO HIS OR HER SUPERVISOR, THE TRUSTEES OR OTHERS, AS APPROPRIATE; (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE OFFICER OR EMPLOYEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSION OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL OFFICERS AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THESE DISCLOSURES ARE REVIEWED AND ANY DISCLOSURES THAT COULD GIVE RISE TO CONFLICTS AS IDENTIFIED THROUGH SUCH REVIEW ARE REPORTED TO AN APPROPRIATE SENIOR OFFICER. ANY SUBSTANTIVE CONCERNS ARE ALSO REPORTED TO THE CHAIR OF THE BOARD OF TRUSTEES. ------------------------------------------------------------- FORM 990, PART VI, LINES 15A AND 15B COMPENSATION PROCESS THE UNIVERSITY FOLLOWS THE REVIEW PROCESS DESCRIBED BELOW FOR ALL OFFICERS AND KEY EMPLOYEES. THIS PROCESS HAS BEEN IN PLACE SINCE AT LEAST 2000. THE COMPENSATION FOR THE ORGANIZATION'S PRESIDENT IS REVIEWED BY A COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES AND APPROVED BY THE INDEPENDENT TRUSTEES ON THE FULL BOARD. THE COMPENSATION OF OTHER OFFICERS AND KEY EMPLOYEES IS REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES. IN CONNECTION WITH THE PRESIDENT'S COMPENSATION, THE COMPENSATION COMMITTEE AND THE BOARD REVIEW COMPARABILITY DATA AND MINUTES OF DELIBERATIONS ARE RECORDED CONTEMPORANEOUSLY WITH ANY ACTION. WITH RESPECT TO OTHER OFFICERS AND KEY EMPLOYEES, THE COMMITTEE FOLLOWS THE SAME PROCESS FOR REVIEW OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF ITS ACTIONS. IN THE CASE OF THE ORGANIZATION'S PRESIDENT AND CERTAIN OTHER OFFICERS AND KEY EMPLOYEES, THE COMPENSATION COMMITTEE HAS ALSO CONSULTED WITH INDEPENDENT COMPENSATION CONSULTANTS IN DETERMINING COMPENSATION. THE COMPENSATION OF THE PRESIDENT OF THE INVESTMENT MANAGEMENT COMPANY IS REVIEWED AND APPROVED BY A COMPENSATION COMMITTEE OF THE INVESTMENT MANAGEMENT COMPANY'S BOARD OF MANAGERS. SUCH COMPENSATION COMMITTEE IS COMPRISED OF INDEPENDENT MEMBERS OF THE BOARD MANAGERS. "INDEPENDENT TRUSTEE"INDEPENDENT MEMBER" AS USED IN THIS FOOTNOTE MEANS WITHOUT A CONFLICT OF INTEREST WITHIN THE MEANING OF PARAGRAPH (c)(1)(iii) OF REGULATION 53.4958-6 OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE FORM 990 INSTRUCTIONS, PART VI, LINE 1B ABOVE USES A DIFFERENT DEFINITION. ------------------------------------------------------------- FORM 990, PART VI, LINE 19 DOCUMENTS AVAILABILITY TO PUBLIC THE ORGANIZATION'S CHARTER AND STATUTES, FINANCIAL STATEMENTS AND THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST" ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE AT WWW.COLUMBIA.EDU. -------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON TRUSTEES TRUSTEES' TIME DEVOTED TO POSITION (4 HOURS PER WEEK) REPRESENTS AN AVERAGE FOR ALL TRUSTEES BASED ON ATTENDANCE AT QUARTERLY MEETINGS AND REGULARLY SCHEDULED TELEPHONIC CONFERENCES THROUGHOUT THE YEAR. BOARD OFFICERS, COMMITTEE CHAIRS AND OTHER TRUSTEES OFTEN DEVOTE SIGNIFICANTLY MORE TIME TO THE POSITION. -------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON RELATED HOURS INDIVIDUALS WITH LISTED HOURS FOR A RELATED ORGANIZATION SIT ON THE BOARD OF COLUMBIA CONTROLLED AFFILIATES AS PART OF THEIR OVERALL COLUMBIA DUTIES, WHEN AND AS NEEDED BY THE AFFILIATES AND THAT MAY NOT BE ON A REGULAR OR WEEKLY BASIS. -------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON KENNETH FORDE'S COMPENSATION KENNETH FORDE'S REPORTED NON-TAXABLE BENEFITS REFLECT BENEFITS FROM PARTICIPATION IN A RETIREE BENEFITS PLAN WHEN DR. FORDE WAS A PROFESSOR OF SURGERY AT THE UNIVERSITY. DR. FORDE IS RETIRED FROM HIS UNIVERSITY POSITION AND RECEIVES NO COMPENSATION OR OTHER BENEFITS FOR HIS DUTIES AS A TRUSTEE. -------------------------------------------------------------- FORM 990, PART VIII DETAIL REGARDING ROYALTY INCOME/EXPENSE THE UNIVERSITY PERIODICALLY FUNDS AND DEVELOPS PATENTS FOR CERTAIN TECHNOLOGIES, THEN LICENSES THE USAGE OF THESE PATENTS TO COMPANIES. THE REVENUE, NET OF PAYMENTS DUE TO THIRD PARTIES, IS RECORDED IN "REVENUE FROM OTHER EDUCATIONAL AND RESEARCH ACTIVITIES" IN THE CONSOLIDATED STATEMENT OF ACTIVITIES. COSTS INCURRED WITH DEVELOPING AND MAINTAINING THESE PATENTS ARE EXPENSED AS INCURRED SO THAT WHILE ROYALTIES ARE PAID TO FACULTY AND OTHERS IN CERTAIN CIRCUMSTANCES THESE AMOUNTS ARE NOT REFLECTED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART VIII, LINE 8 AND SCHEDULE G, PART II DESCRIPTION OF ACCOUNTING FOR FUNDRAISING EVENTS AMOUNTS REPORTED FOR FUNDRAISING EVENTS REPRESENT REVENUE AND EXPENSES THAT ARE SEPARATELY TRACKED. THE REVENUE AND EXPENSES FROM ADDITIONAL FUNDRAISING ACTIVITIES ARE NOT SEPARATELY TRACKED AND ARE INCLUDED WITHIN CONTRIBUTION REVENUE AND FUNDRAISING EXPENSES. ------------------------------------------------------------- FORM 990, PART IX, LINE 5 COMPENSATION PAID TO CURRENT OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES COMPENSATION AMOUNTS PRESENTED AS MANAGEMENT AND GENERAL EXPENSES ARE FOR CURRENT OFFICERS, DIRECTORS, TRUSTEES, AND KEY EMPLOYEES WHO ARE PART OF CENTRAL ADMINISTRATION. WHILE THESE OFFICERS AND KEY EMPLOYEES SPEND A PORTION OF THEIR TIME ON PROGRAM SERVICES AND/OR FUNDRAISING ACTIVITIES IN ADDITION TO THEIR MANAGEMENT RESPONSIBILITIES, THE UNIVERSITY HAS CHOSEN NOT TO ALLOCATE THE EXPENSES BETWEEN CATEGORIES. ------------------------------------------------------------- FORM 990, PART IX, LINE 11F INVESTMENT MANAGEMENT FEES THE INVESTMENT MANAGEMENT FEES REPORTED ON THE STATEMENT OF FUNCTIONAL EXPENSES REPRESENT FEES TO THIRD PARTY INVESTMENT MANAGERS AND INCLUDE MANAGEMENT FEE AND PERFORMANCE FEE EXPENSES ASSOCIATED WITH SEPARATELY MANAGED ACCOUNTS. INVESTMENT MANAGEMENT FEES ASSOCIATED WITH FUND INVESTMENTS ARE REPORTED NET AGAINST INVESTMENT INCOME AND THEREFORE ARE NOT INCLUDED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART X, BEGINNING OF YEAR ASSETS PRESENTATION OF AMOUNTS THE PRESENTATION OF CERTAIN AMOUNTS IN THE BEGINNING OF YEAR ASSETS COLUMN HAS BEEN RECLASSIFIED TO MORE ACCURATELY CONFORM TO FORM 990 INSTRUCTIONAL GUIDANCE. ------------------------------------------------------------- FORM 990, PART X, LINE 7 LOAN INFORMATION LOANS RECEIVABLE FROM STUDENTS TOTAL $85,564,000. LOANS RECEIVABLE FROM NON-KEY EMPLOYEES TOTAL $24,019,937. THE LOANS FROM NON-KEY EMPLOYEES HAVE VARIOUS INTEREST RATES RANGING FROM 1.82% TO 15.00%, WITH MATURITY DATES RANGING FROM 2020 THROUGH 2047. THE OUTSTANDING BALANCES RANGE FROM $25,000 TO $2,917,822 AND A PORTION OF WHICH ARE SECURED BY A PRINCIPAL RESIDENCE. ------------------------------------------------------------- FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCE CHANGE IN FUNDS HELD BY OTHER IN PERPETUITY 2,040,254 PRESENT VALUE ADJUSTMENT TO SPLIT INTEREST AGREEMENTS 9,236,074 CHANGES IN PENSION AND POST-RETIREMENT OBLIGATIONS 15,466,501 NPBC OTHER THAN SERVICE COST 8,531,771 OTHER NON-OPERATING ADJUSTMENTS 20,507,366 -------------- TOTAL OTHER CHANGES IN NET ASSETS 55,781,966 ------------------------------------------------------------- FORM 990, PART XII, LINE 2 AUDIT OF THE UNIVERSITY'S FINANCIAL STATEMENTS THE CONSOLIDATED FINANCIAL STATEMENTS OF THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK ARE AUDITED BY PRICEWATERHOUSECOOPERS, AN INDEPENDENT AUDITOR. THE UNCONSOLIDATED FINANCIAL STATEMENTS REFLECTED IN THIS RETURN REPRESENT APPROXIMATELY 99% OF THE NET ASSETS OF THE CONSOLIDATED GROUP. THE UNIVERSITY'S BOARD OF TRUSTEES HAS AN AUDIT COMMITTEE, COMPRISED OF INDEPENDENT TRUSTEES, WHICH IS RESPONSIBLE FOR OVERSIGHT OF THE AUDIT, REVIEW, AND COMPILATION OF THE FINANCIAL STATEMENTS AND SELECTION OF THE INDEPENDENT AUDITOR. 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GLOBAL DANISMANLIK VE ARASTIRMA MECIDITE MAH MAVI SARAY 37/7 SARIYER TU PROGRAM SRVCS TU COLUMBIA FOREIGN CORP 2034 0 1.00000 true COLUMBIA RESEARCH AND CONSULTANCY SRVCS EXPRESS TOWERS 11TH FL NARIMAN PT MUMBAI IN 400021 PROGRAM SRVCS IN CU INT'L PRJCTS FOREIGN CORP 0 0 0.99990 true COLUMBIA RADIOLOGY INC 630 W 168TH ST NEW YORK NY 10032 475288953 HEALTHCARE NY COLUMBIA C-CORP 0 0 1.00000 true COLUMBIA DOCTORS OF CONNECTICUT PC 630 W 168TH ST NUM 2-460 NEW YORK NY 10032 824894259 HEALTHCARE CT COLUMBIA C-CORP 66784 63347 1.00000 true CIM (CAYMAN) LLC PO BOX 309 UGLAND HOUSE GRAND CAYMAN CJ KY1-1104 INVESTMENTS CJ COLUMBIA FOREIGN CORP -6459 7671576 1.00000 true false true false false false false false false false true false false false false false false false false true ASM HUDSON RIVER FUND S 9047894 FMV CALUNIUS LITIGATION RISK FUND LP S 18297736 FMV CALUNIUS LITIGATION RISK FUND 2 LP S 47620857 FMV CALUNIUS LITIGATION RISK FUND 3 LP B 9152906 FMV CANAAN RESOURCE PARTNERS DRILLING FUND LP S 84549495 FMV CANAAN RESOURCE PARTNERS DRILLING FUND LP B 128857519 FMV COLUMBIAPATRON SCOTLAND LP S 813311 FMV GCM GROSVENOR BLUE LP S 6026309 FMV GCM GROSVENOR BLUE LP B 78075 FMV HARBOUR LITIGATION INVEST OFFSHORE FUND LP S 1998085 FMV HARBOUR LITIGATION INVEST OFFSHORE FUND LP B 369696 FMV MERIT ENERGY PARTNERS V LP S 7573500 FMV OFS SSMH CI LP B 5133644 FMV STAR ASIA OPPORTUNITY FUND III S 5524912 FMV STAR ASIA OPPORTUNITY FUND III B 23314880 FMV KNIGHT FIRST AMDMT INST AT COLUMBIA B 1006804 FMV REID HALL INC B 3279181 FMV COLUMBIA UNIVERSITY HEALTH CARE INC B 7645014 FMV SUPPLEMENTAL INFORMATION SCHEDULE R COLUMBIA UNIVERSITY OWNS AN 81.57% INTEREST IN 2700 BROADWAY CONDOMINIUM, WHICH IS TREATED AS A CONDOMINIUM ASSOCIATION UNDER NEW YORK STATE LAW. --------------------------------------------------------------------- SCHEDULE R, PART I END-OF-YEAR ASSET REPORTING CERTAIN DISREGARDED ENTITIES LISTED IN SCHEDULE R, PART I MAY HOLD VEHICLES, OFFICE EQUIPMENT AND RELATED ITEMS, THE VALUE OF WHICH IS INCLUDED IN THE UNIVERSITY'S BALANCE SHEET IN PART X OF THIS FORM 990 BUT IS NOT REFLECTED IN COLUMN (E) END-OF-YEAR ASSETS. --------------------------------------------------------------------- SCHEDULE R, PART I INCOME/ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM I, LLC WHICH OWNS 100% OF THE SHARES ENTITLED TO THE INCOME AND ASSETS OF FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM I, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED AS REPORTED IN SCHEDULE R, PART IV. THE SHARES OWNED BY CIM I ARE NON-VOTING SHARES. --------------------------------------------------------------------- SCHEDULE R, PART I, COLUMNS (D) AND (E) INCOME AND ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM V, LLC, WHICH IS THE SOLE MEMBER OF CONQUEST MANAGED FUTURES SELECT FUND II, LLC. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM V, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CONQUEST MANAGED FUTURES SELECT FUND II, LLC, AS REPORTED IN SCHEDULE R, PART I. --------------------------------------------------------------------- SCHEDULE R, PART IV CONSISTENT WITH GAAP, THE UNIVERSITY DOES NOT CONSOLIDATE THE ENTITIES LISTED IN PART IV SCHEDULE R WHICH HAVE INVESTMENTS AS THEIR PRIMARY PURPOSE. THIS IS BECAUSE THE UNIVERSITY DOES NOT HAVE SUFFICIENT VOTING POWER WITH RESPECT TO THESE ENTITIES TO SATISFY THE CONTROL TEST FOR CONSOLIDATION UNDER GAAP. THE AMOUNTS SHOWN IN SCHEDULE R, PART IV, COLUMN (G) REFLECT THE UNIVERSITY'S SHARE OF THE NET ASSETS OF THESE ENTITIES FOR THE FISCAL YEAR REPORTING PERIOD WHICH, CONSISTENT WITH GAAP, IS REFLECTED ON LINE 16 OF THE BALANCE SHEET IN PART X OF THIS FORM 990. SIMILARLY, THE UNIVERSITY'S SHARE OF ANY CURRENT INCOME AND REALIZED GAINS FROM THESE ENTITIES IS REFLECTED IN COLUMN (F) OF SCHEDULE R, PART IV AND ON THE STATEMENT OF REVENUE IN PART VIII. THESE ENTITIES EACH OPERATE ON A CALENDAR-YEAR BASIS, AND THE UNIVERSITY'S SHARE OF THE GROSS INCOME AND TOTAL ASSETS FOR EACH OF THESE ENTITIES FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2018 IS SET FORTH BELOW: ASM HUDSON RIVER FUND SHARE OF TOTAL (GROSS) INCOME: $5,988,316 SHARE OF END-OF-YEAR (GROSS) ASSETS: $32,799,118 CALUNIUS LITIGATION RISK FUND LP SHARE OF TOTAL (GROSS) INCOME: $12,761,103 SHARE OF END-OF-YEAR (GROSS) ASSETS: $15,193,129 CALUNIUS LITIGATION RISK FUND 2 LP SHARE OF TOTAL (GROSS) INCOME: $30,355,122 SHARE OF END-OF-YEAR (GROSS) ASSETS: $53,476,846 COLUMBIA/PATRON SCOTLAND LP SHARE OF TOTAL (GROSS) LOSS: $(465,802) SHARE OF END-OF-YEAR (GROSS) ASSETS: $1,508,028 FPCM INFLATION-LINKED OPPORTUNITIES FUND, LTD SHARE OF TOTAL (GROSS) INCOME: $19,395,359 SHARE OF END-OF-YEAR (GROSS) ASSETS: $484,285,877 HARBOUR LITIGATION INVESTMENT OFFSHORE SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $4,681,389 NCH INVESTORS FUND (CU) CORP SHARE OF TOTAL (GROSS) LOSS: $(123,736) SHARE OF END-OF-YEAR (GROSS) ASSETS: $328,121 CALUNIUS LITIGATION RISK FUND 3 LP SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $2,953,554 --------------------------------------------------------------------- SCHEDULE R, PART IV AS OF JUNE 30, 2019, THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK HELD MORE THAN A 50% BENEFICIAL INTEREST IN 59 CHARITABLE REMAINDER TRUSTS DOMICILED IN NEW YORK AND 2 POOLED INCOME FUNDS DOMICILED IN NEW YORK.