2020-05-12T15:07:54-05:00 2019-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2018-07-01 250969449 CARNEGIE MELLON UNIVERSITY CARN 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 ANGELA BLANTON VP FOR FINANCE & CFO 4122681358 2020-05-07 1 SUSAN M KIRSCH P00341397 4122613644 67.163.192.78 2020-05-07 10:37:21 ED P 04C050F3A26B73A8391E8C1D235E4CAFACC3E795 2A48E83B3AA0030238606F0495B19A11215EC83D 2018 2020-11-19 02:30:22Z FARNAM JAHANIAN 5000 FORBES AVENUE PITTSBURGH PA 15213 2856036509 0 X WWW.CMU.EDU X 1900 PA HIGHER EDUCATION AND RESEARCH. 45 40 14906 40 -687307 0 536663044 551949360 838829432 865464328 139026810 212301645 12303443 13647979 1526822729 1643363312 188509959 198602320 0 0 783673732 817571321 927400 833648 33966130 362050862 376865279 1335161953 1393872568 191660776 249490744 4067622368 4402305882 876958987 1004249252 3190663381 3398056630 X TO CREATE A TRANSFORMATIVE EDUCATIONAL EXPERIENCE FOR STUDENTS FOCUSED ON DEEP DISCIPLINARY KNOWLEDGE; PROBLEM SOLVING; LEADERSHIP, COMMUNICATION, AND INTERPERSONAL SKILLS; AND PERSONAL HEALTH AND WELL-BEING.TO CULTIVATE A TRANSFORMATIVE UNIVERSITY COMMUNITY COMMITTED TO (A) ATTRACTING AND RETAINING DIVERSE, WORLD-CLASS TALENT; (B) CREATING A COLLABORATIVE ENVIRONMENT OPEN TO THE FREE EXCHANGE OF IDEAS, WHERE RESEARCH, CREATIVITY, INNOVATION, AND ENTREPRENEURSHIP CAN FLOURISH; AND (C) ENSURING INDIVIDUALS CAN ACHIEVE THEIR FULL POTENTIAL.TO IMPACT SOCIETY IN A TRANSFORMATIVE WAY - REGIONALLY, NATIONALLY, AND GLOBALLY - BY ENGAGING WITH PARTNERS OUTSIDE THE TRADITIONAL BORDERS OF THE UNIVERSITY CAMPUS. 0 0 711005411 170804685 776468973 INSTRUCTION:CARNEGIE MELLON IS A HYBRID OF A TECHNICAL INSTITUTE, FINE-ARTS CONSERVATORY AND TRADITIONAL RESEARCH UNIVERSITY, HAVING EVOLVED IN RESPONSE TO EMERGING SOCIAL NEEDS AND INTELLECTUAL DEVELOPMENT OF THE PAST CENTURY. UNITING TECHNOLOGY AND ARTS, FUSING THE PRACTICAL WITH THE IMAGINATIVE, MAINTAINING ITS EDUCATIONAL EMPHASIS ON DEVELOPING SKILLS TO SOLVE PROBLEMS.INCLUDES 7 COLLEGES AND SCHOOLS OFFERING DEGREE PROGRAMS AND MORE THAN 100 MAJORS AND MINORS TO APPROXIMATELY 14,625 UNDERGRADUATES, GRADUATES AND DOCTORAL STUDENTS. INSTRUCTION INCLUDES ACADEMIC SUPPORT AND STUDENT SERVICES.CARNEGIE MELLON HAS ITS MAIN CAMPUS IN PITTSBURGH, SATELLITE CAMPUSES IN SILICON VALLEY AND DOHA, QATAR, AND DEGREE-GRANTING PROGRAMS IN COORDINATION WITH GLOBAL PROGRAMS INCLUDING AUSTRALIA, JAPAN, PORTUGAL, RWANDA, SINGAPORE AND THAILAND.NATIONALLY AND GLOBALLY, CARNEGIE MELLON HAS BECOME A MAJOR VOICE OF CONNECTIVITY IN TECHNOLOGY, EXPANSION OF EDUCATIONAL OPPORTUNITY AND ECONOMIC DEVELOPMENT. 378420095 27797635 0 RESEARCH:CARNEGIE MELLON HOLDS A PROUD VISION OF ITSELF AS A DISTINCTIVE AND DIFFERENT KIND OF RESEARCH UNIVERSITY WHERE NATIONALLY RECOGNIZED PROGRAMS FROM ACROSS THE LEADING DISCIPLINES, FROM COMPUTING AND ENGINEERING TO FINE ARTS, INTERSECT. IT IS A DECENTRALIZED COMMUNITY OF SCIENTISTS AND INTELLECTUALS, ARTISTS AND POLICYMAKERS, BUSINESS EXPERTS AND POETS. THE DIVERSE AND DECENTRALIZED COMMUNITY THAT CHARACTERIZES CARNEGIE MELLON CULTURE RESTS ON A SET OF CORE UNDERPINNINGS AND A STRONG COMMITMENT TO REAL-WORLD PROBLEM SOLVING, INTERDISCIPLINARY COLLABORATION AND HARD WORK, COMBINED WITH JOIE DE VIVRE.EACH OF THESE REQUIRES CONNECTIONS AMONG ENGINEERING, SCIENCE, POLICY AND MANAGEMENT, AND THE ARTS. BASIC RESEARCH IS PERFORMED IN ALL 7 COLLEGES AND SCHOOLS AND THE SOFTWARE ENGINEERING INSTITUTE. CARNEGIE MELLON IS ALSO THE HOME OF NUMEROUS RESEARCH INSTITUTES AND CENTERS FOCUSING ON SOME OF THE WORLD'S GREATEST CHALLENGES.CARNEGIE MELLON'S RESEARCH-INTENSIVE ENVIRONMENT PROVIDES A RICH SETTING FOR THE UNIVERSITY'S EDUCATIONAL OFFERINGS AND ASPIRATIONS. THE SEARCH FOR NEW KNOWLEDGE AND A SPIRIT OF ONGOING CRITICAL INQUIRY ARE THE IDEALS THAT PERMEATE ITS APPROACH TO TEACHING AND ITS EXPECTATIONS FOR WHAT STUDENTS WILL ACHIEVE. 122261985 0 75021841 AUXILIARY SERVICES:SERVICES TO SUPPORT THE INSTRUCTION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. THESE SERVICES INCLUDE BUT ARE NOT LIMITED TO HOUSING, DINING SERVICES, PARKING, BOOKSTORE, PRINTING, TELECOMMUNICATIONS, AND OTHER SERVICES RELATED TO THE DELIVERY OF EDUCATION. 21989857 0 13973514 OTHER PROGRAM SERVICES:OTHER FEES AND MEMBERSHIPS, EXTERNAL SUPPORT AND SERVICES AND OTHER MISCELLANEOUS PROGRAM SERVICE REVENUE THAT SUPPORTS THE INSTRUCTION, RESEARCH, AND AUXILIARY FUNCTIONS OF THE UNIVERSITY. 21989857 0 13973514 1233677348 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 1 0 1 1 1 1 0 0 1 1 1 1 0 0 1 21920 0 1 14906 1 1 1 1 AS QA RW 0 0 0 1 1 0 0 0 0 0 0 X 45 40 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 PA X CARRIE NELSON 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 X JOEL P ADAMS VOTING TRUSTEE 2.00 0.00 X 0 0 0 LUIS H BALL VOTING TRUSTEE (EXITED 10/18) 0.50 0.00 X 0 0 0 RONALD BIANCHINI JR VOTING TRUSTEE 1.00 0.00 X 0 0 0 KEITH BLOCK VOTING TRUSTEE 0.50 0.00 X 0 0 0 FRANK BRUNCKHORST VOTING TRUSTEE 2.00 0.00 X 0 0 0 ERIC COOPER VOTING TRUSTEE 1.00 0.00 X 0 0 0 DAVID COULTER VOTING TRUSTEE 4.00 0.00 X 0 0 0 RUSSELL CROCKETT VOTING TRUSTEE 3.00 3.00 X 0 0 0 JEANNE CUNICELLI VOTING TRUSTEE 1.50 0.00 X 0 0 0 ERROLL B DAVIS JR VOTING TRUSTEE 1.50 0.00 X 0 0 0 GLEN DE VRIES VOTING TRUSTEE 1.25 0.00 X 0 0 0 LINDA A DICKERSON VOTING TRUSTEE 2.00 0.00 X 0 0 0 ALEX DICLAUDIO EX-OFFICIO TRUSTEE 2.00 3.00 X 0 0 0 FRANCISCO B D'SOUZA VOTING TRUSTEE 5.00 0.00 X 0 0 0 HOWARD L ELLIN VOTING TRUSTEE 5.00 0.00 X 0 0 0 YOSHIAKI FUJIMORI VOTING TRUSTEE 1.00 1.50 X 0 0 0 ERIC GILER VOTING TRUSTEE 1.50 0.00 X 0 0 0 EDWARD GREFENSTETTE VOTING TRUSTEE 1.00 50.00 X 0 1180819 855648 IRA J GUMBERG VOTING TRUSTEE 1.00 0.00 X 0 0 0 JEFFREY HOUSENBOLD VOTING TRUSTEE 2.00 0.00 X 0 0 0 TORRENCE M HUNT JR VOTING TRUSTEE 3.00 0.00 X 0 0 0 LARRY E JENNINGS JR VOTING TRUSTEE 1.00 0.00 X 0 0 0 BRUCE KRAUS EX-OFFICIO TRUSTEE 1.00 0.00 X 0 0 0 BRYON KRUG EX-OFFICIO TRUSTEE 3.50 0.00 X 0 0 0 RAYMOND J LANE VOTING TRUSTEE 1.00 0.00 X 0 0 0 BRUCE M MCWILLIAMS VOTING TRUSTEE 1.00 0.00 X 0 0 0 ANNE M MOLLOY VOTING TRUSTEE 3.50 0.00 X 0 0 0 MAYOR WILLIAM PEDUTO EX-OFFICIO TRUSTEE 0.50 0.00 X 0 0 0 DAVID L PORGES VOTING TRUSTEE 1.00 0.00 X 0 0 0 JONATHAN M ROTHBERG VOTING TRUSTEE 0.50 0.00 X 0 0 0 AJIT SHETTY VOTING TRUSTEE 1.50 0.00 X 0 0 0 J LEA HILLMAN SIMONDS VOTING TRUSTEE 1.00 0.00 X 0 0 0 MANOJ P SINGH VOTING TRUSTEE 3.50 0.00 X 0 0 0 LUKE SKURMAN VOTING TRUSTEE 3.00 0.00 X 0 0 0 LIP-BU TAN VOTING TRUSTEE 5.00 0.00 X 0 0 0 DAVID A TEPPER VOTING TRUSTEE 2.00 0.00 X 0 0 0 THOMAS TULL VOTING TRUSTEE 1.00 0.00 X 0 0 0 MARY ANN ULISHNEY VOTING TRUSTEE 1.00 0.00 X 0 0 0 JEANNE VANBRIESEN EX-OFFICIO TRUSTEE/PROFESSOR 1.00 0.00 X 199080 0 86771 SUNIL WADHWANI VOTING TRUSTEE 3.00 0.00 X 0 0 0 PAULA KAUFFMAN WAGNER VOTING TRUSTEE/ADJUNCT INSTRUCTOR 1.00 0.00 X 3500 0 0 MICHAEL ZAMAGIAS VOTING TRUSTEE 1.50 0.00 X 0 0 0 JAMES E ROHR CHAIRMAN/VOTING TRUSTEE 10.00 1.00 X X 0 15000 0 EDWARD H FRANK VICE CHAIRMAN/VOTING TRUSTEE 4.00 0.00 X X 0 0 0 TOD S JOHNSON VICE CHAIRMAN/VOTING TRUSTEE 1.50 0.00 X X 0 0 0 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 50.00 4.00 X X 1099141 15000 98326 LAURIE WEINGART INTERIM PROVOST (THRU. 12/18) 50.00 0.10 X 518265 0 77238 JAMES H GARRETT PROVOST & CAO (AS OF 1/19) 50.00 0.10 X 464598 0 38384 ANGELA BLANTON VP OF FINANCE & CFO 50.00 0.10 X 416057 0 36545 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 50.00 0.00 X 309127 0 48399 MARY JO DIVELY VP/GENERAL COUNSEL 50.00 0.50 X 550787 0 122711 JOHN DOLAN TREASURER 50.00 0.00 X 211432 0 37562 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 50.00 1.00 X 474958 0 264243 KAREN T KHAN ASSISTANT SECRETARY (EXITED 8/18) 50.00 0.00 X 110006 0 14237 CATHY A LIGHT SEC OF THE CORP. & ADVISOR TO THE PRESIDENT 50.00 0.00 X 298559 0 45674 RODNEY MCCLENDON V.P. FOR OPERATIONS 50.00 0.00 X 462812 0 35486 J MICHAEL MCQUADE V.P. FOR RESEARCH (AS OF 1/19) 50.00 0.00 X 75000 0 0 SCOTT MORY V.P. FOR UNIVERSITY ADVANCEMENT 50.00 0.00 X 521185 0 30647 CARRIE NELSON ASSISTANT TREASURER 50.00 1.10 X 252029 0 26301 KEY NUTTALL VP FOR MARKETING & COMMUNICATIONS (ENTERED 3/19) 50.00 0.00 X 0 0 0 DARYL WEINERT CHIEF OF STAFF V.P. FOR STRAT. INIT.(ENTERED 11/18) 50.00 0.00 X 34209 0 9070 JONATHAN CAGAN PROFESSOR INTERIM DEAN, COLLEGE OF ENGINEERING 50.00 0.00 X 267957 0 120490 TOM MITCHELL PROF INT DEAN SCHOOL OF COMP. SCI. (ENTERED 11/18) 50.00 0.00 X 335347 0 39393 ANDREW MOORE DEAN SCHOOL OF COMPUTER SCIENCE (EXITED 11/18) 50.00 1.00 X 495486 0 96687 PAUL D NIELSEN DIRECTOR, SEI 50.00 0.00 X 601389 0 29270 VIJAYAKUMAR BHAGAVATULA DIRECTOR, CMU-AFRICA 50.00 0.00 X 652171 0 51698 ROBERT DAMMON DEAN, PROFESSOR OF FINANCE 50.00 0.00 X 643593 0 38995 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 50.00 0.00 X 616622 0 40424 RAMAMOORTHI RAVI ZOLTNERS PROF. OF OPERAT. RESEARCH 50.00 0.00 X 989313 0 40525 MICHAEL TRICK DEAN, QATAR CAMPUS 50.00 0.00 X 868953 0 63048 STEVE KLOEHN FORMER OFFICER 0.00 0.00 X 347149 0 52352 JOHN LEHOCZKY FORMER OFFICER/PROFESSOR 50.00 1.00 X 325512 0 44683 PAMELA EAGER FORMER OFFICER/SR. ASSOC. FOR DEV. 50.00 0.50 X 325855 0 54658 MARK S KAMLET FORMER OFFICER/PROFESSOR 50.00 0.00 X 479209 0 40249 SUBRA SURESH FORMER OFFICER/FORMER TRUSTEE 0.00 0.00 X 987071 0 0 RANDAL E BRYANT FORMER KE/PROFESSOR 50.00 0.00 X 347997 0 46048 14284369 1210819 2585762 1670 1 1 0 PJ DICK INC 225 NORTH SHORE DRIVE PITTSBURGH PA 15212 CONSTRUCTION 49620833 ARAMARK CORP 5001 GREAT AMERICA PKWY SANTA CLARA CA 95054 CLEANING SERVICES 10663563 RYCON CONSTRUCTION 2525 LIBERTY AVE PITTSBURGH PA 15222 CONSTRUCTION 9048254 MOSITES CONSTRUCTION 4839 CAMPBELLS RUN ROAD PITTSBURGH PA 15205 CONSTRUCTION 8926052 DOBIL LABORATORIES INC 727 BUTLER ST PITTSBURGH PA 15223 TECHNICAL SERVICES 7311372 165 4900 18730134 355000674 178213652 12108262 551949360 TUITION 900099 776468973 776468973 AUXILIARY SERVICES 611710 75021841 74330714 691127 OTHER PROGRAM SERVICES 900099 13973514 13973514 865464328 47427377 -1428273 48855650 8615408 8615408 1962769 23279 503458 0 1459311 23279 1482590 49839 1432751 1373866150 1210035293 -1043411 163830857 1043411 164874268 164874268 26675 4900 17506 9169 9169 6701163 3160351 3540812 3540812 1643363312 864773201 -687307 227328058 27797635 27797635 159928751 159928751 10875934 10875934 9567909 2115555 6099868 1352486 3506851 1749636 1425516 331699 661568420 602709609 41691957 17166854 39163793 32496808 5381629 1285356 67637128 58785415 6491977 2359736 36127220 29769419 5131500 1226301 4179659 3263548 910362 5749 1035659 99589 936070 501696 501696 833648 833648 6870096 6870096 27187024 14515281 8879318 3792425 2843718 2014800 813185 15733 23932945 17051758 5783972 1097215 26837269 16886230 8692296 1258743 2661315 2661315 60176325 53570259 6601538 4528 35356810 28213811 5384147 1758852 1177 1177 15750410 13055991 1614308 1080111 14696348 13854288 842060 71931529 67227140 4704389 2912740 2527115 383977 1648 FOOD SERVICE OPERATIONS 21367898 21130472 237426 INFORMATION RESOURCES 10207724 10063035 84233 60456 NON-CAPITAL EQUIPMENT 7562926 5381470 2180750 706 FABRICATED EQUIPMENT 4082014 4066144 15870 36769997 31363467 5072646 333884 1393872568 1233677348 126229090 33966130 59249 53806 469239273 501914428 147377892 138771032 36006690 35354437 129664 60000 1747485 1486580 18614646 15513517 2024747288 958233362 965804336 1066513926 1310739649 1352553301 1067584038 1162045026 50319446 128039829 4067622368 4402305882 155922061 178447313 104778499 140933806 460445719 456041781 85844702 84776245 69968006 144050107 876958987 1004249252 X 1466127692 1565774052 844322843 907265689 880212846 925016889 3190663381 3398056630 4067622368 4402305882 X 249490744 -16404564 -25692931 X X 0 1 X 1 1 1 X 508112330 576147639 510891368 529488222 535341387 2659980946 508112330 576147639 510891368 529488222 535341387 2659980946 4706229 2655274717 27122710 34961586 35331914 47890815 58028833 203335858 2863316804 3978856123 0.92730 0.93670 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 501696 501696 501696 501696 1396227708 1397235073 1396729404 1397736769 1000000 1000000 250000 250000 0 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 498166 493109 512907 501696 2005878 250000 250000 250000 250000 1000000 1500000 310250 4977017 X X X 0 1885377148 58617910 142695818 18523816 62487829 4875484 2000803747 1718307698 62328699 185715245 17218702 59313091 4442701 1885377148 1304489016 294312444 187094434 16158853 48286429 3142904 1718307698 1336871754 44843541 -17973647 14655109 42662204 1935320 1304489015 1249218977 54373142 87372305 12834311 39323039 1935320 1336871754 0.21920 0.43650 0.34430 0 1 1 54637213 54637213 1429411732 656899047 772512685 31864525 19143473 12721052 310668405 214602914 96065491 198165413 67587928 130577485 1066513926 REAL ESTATE 96423719 F VENTURE CAP. & PRIV. EQ 536434005 F AGGRESSIVE, DISTRESSED & ARBITRAGE FIXED INCOME 27167699 F NATURAL RESOURCES 131339843 F HEDGE FUNDS 209358149 F LOCAL REGION 4639688 F EMERGING MARKET 156681923 F 1162045026 CONTRACT RETENTIONS 3475862 GATE STUDENT LOAN PROGRAM 219938 ASSET RETIREMENT OBLIGATION-FIN 47 5433619 FEDERAL LOAN PROGRAMS & STUDENT DEPOSITS 15115077 PRESENT VALUE OF ANNUITIES DUE 14982520 SWAP AGREEMENTS/CONTRACTS 29478440 FEDERAL, STATE, AND LOCAL TAXES PAYABLE 528246 MISC. OTHER LIABILITIES 172104 PV ANNUITIES FOR PROPERTY ACQS 1470889 RIGHT OF USE LIABILITY 73173412 144050107 X 1458047364 -16404564 12875889 -8928261 -12456936 1470504300 172859012 172859012 1643363312 1250549081 12875889 13464877 26340766 1224208315 169664253 169664253 1393872568 PART III, LINE 4: CARNEGIE MELLON UNIVERSITY MAINTAINS VARIOUS COLLECTIONS INCLUDING COLLECTIONS OF ART, HISTORIC ARTIFACTS, AND ADDITIONAL ASSETS TO SUPPORT THE EDUCATION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. PART V, LINE 4: THE CARNEGIE MELLON ENDOWMENT IS A COLLECTION OF INDIVIDUAL FUNDS PRIMARILY ESTABLISHED BY DONORS AND MANAGED BY THE UNIVERSITY AS A POOLED SET OF ASSETS. IN ACCORDANCE WITH THE PENNSYLVANIA ACT 141 AND DONOR INTENT, THE UNIVERSITY SPENDS A PREDETERMINED PORTION OF THE ENDOWMENT INCOME EACH YEAR ON FACULTY SUPPORT, STUDENT SUPPORT, AND GENERAL UNIVERSITY SUPPORT. PART X, LINE 2: CARNEGIE MELLON UNIVERSITY IS A NONPROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE "CODE") AND IS GENERALLY EXEMPT FROM INCOME TAXES ON RELATED INCOME PURSUANT TO SECTION 501(A) OF THE CODE. THE UNIVERSITY ACCOUNTS FOR UNCERTAINTIES IN INCOME TAXES IN ACCORDANCE WITH AUTHORITATIVE GUIDANCE, WHICH PRESCRIBES A RECOGNITION THRESHOLD OF MORE-LIKELY-THAN-NOT TO BE SUSTAINED UPON EXAMINATION BY THE APPROPRIATE TAXING AUTHORITY. MEASUREMENT OF THE TAX UNCERTAINTY OCCURS IF THE RECOGNITION THRESHOLD HAS BEEN MET. MANAGEMENT DETERMINED THERE WERE NO TAX UNCERTAINTIES THAT MET THE RECOGNITION THRESHOLD AT JUNE 30, 2019 AND 2018. THE UNIVERSITY'S FEDERAL EXEMPT ORGANIZATION BUSINESS INCOME TAX RETURNS REMAIN SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE FOR THE YEARS SUBSEQUENT TO JUNE 30, 2015. THE UNIVERSITY'S POLICY IS TO RECOGNIZE INTEREST RELATED TO UNRECOGNIZED TAX BENEFITS IN INTEREST EXPENSE AND PENALTIES IN OPERATING EXPENSES. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 3,160,351. SUBSIDIARY REVENUE 9,928,415. RENTAL EXPENSE 503,458. CHANGE IN SWAP VALUE NET OF INTEREST EXP -9,033,972. TRANSLATION ADJUSTMENT & OTHER -135,978. LOSSES FROM ADJUSTMENTS OF PLEDGES RECEIVABLE -16,607,973. GAIN ON FORMER SUBSIDIARY 2,236,359. GAIN ON DEBT EXTINGUISHMENT 1,021,079. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 165,895,901. INVESTMENT MANAGER FEES 6,870,096. LOSS ON SALE OF ASSETS 19,719. NET GAIN FROM FUNDRAISING EVENTS 9,169. LAMME DISTRIBUTION 64,127. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 3,160,351. SUBSIDIARY EXPENSE 9,801,068. RENTAL EXPENSE 503,458. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 165,895,901. INVESTMENT MANAGER FEES 6,870,096. TRANSLATION ADJUSTMENT & OTHER 135,975. LOSS ON SALE OF ASSETS 19,719. GAIN ON FORMER SUBSIDIARY -2,236,359. GAIN ON DEBT EXTINGUISHMENT -1,021,079. PART XII: RECONCILIATION OF REVENUE PER AUDITED FINANCIAL STATEMENTS WITH REVENUE PER RETURN AND PART XIII - RECONCILIATION OF EXPENSES PER AUDITED FINANCIAL STATEMENTS WITH EXPENSES PER RETURN: LINE 1 OF EACH PART RESPECTIVELY CONSISTS OF CONSOLIDATED NUMBERS FROM THE AUDITED FINANCIAL STATEMENTS AND RECONCILES TO THE STAND-ALONE (SEPARATE BASIS) REVENUE AND EXPENSES AS REPORTED ON THE FORM 990, PART I, LINE 12. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE NON-DISCRIMINATORY POLICY AND STATEMENT OF ASSURANCE APPEARS ON PRINTED MATERIALS USED TO COMMUNICATE WITH PROSPECTIVE AND CURRENT STUDENTS AS WELL AS EMPLOYEES OF CARNEGIE MELLON UNIVERSITY. ADDITIONALLY, THE STATEMENT OF ASSURANCE CAN BE FOUND ON CMU'S WEBSITE. SCHEDULE E, PART I, LINE 6 MONETARY GRANTS WERE RECEIVED FROM FEDERAL AND STATE AGENCIES TO PROVIDE ASSISTANCE TO STUDENTS ATTENDING CARNEGIE MELLON UNIVERSITY. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 441264 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 4414147 SUB-SAHARAN AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 4207270 EAST ASIA AND THE PACIFIC 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 1386603 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 420592 SOUTH AMERICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 6059 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 43854 EAST ASIA AND THE PACIFIC 1 119 PROGRAM SERVICES EDUCATION 6819442 EUROPE (INCLUDING ICELAND & GREENLAND) 0 9 PROGRAM SERVICES EDUCATION 3852096 MIDDLE EAST AND NORTH AFRICA 1 359 PROGRAM SERVICES EDUCATION 58041197 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES EDUCATION 759193 RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES EDUCATION 29111 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 125527 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 285115 SUB-SAHARAN AFRICA 1 176 PROGRAM SERVICES EDUCATION 8046922 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PORTFOLIO INVESTMENTS 560846621 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PORTFOLIO INVESTMENTS 91197922 SUB-SAHARAN AFRICA 0 0 PORTFOLIO INVESTMENTS 12954400 EAST ASIA AND THE PACIFIC 0 0 PORTFOLIO INVESTMENTS 25243268 NORTH AMERICA 0 0 PORTFOLIO INVESTMENTS 5923886 1 119 2 544 3 663 17739231 767305258 785044489 EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACTS 248365 CASH; ELECTRONIC FUND TRANSFER N/A N/A MIDDLE EAST AND NORTH AFRICA SUBCONTRACTS 309824 CASH; ELECTRONIC FUND TRANSFER N/A N/A NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES SUBCONTRACTS 358938 CASH; ELECTRONIC FUND TRANSFER N/A N/A SUB-SAHARAN AFRICA SUBCONTRACTS 100000 CASH; ELECTRONIC FUND TRANSFER N/A N/A EAST ASIA AND THE PACIFIC SUBCONTRACTS 103781 CASH; ELECTRONIC FUND TRANSFER N/A N/A 19 3 STUDENT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 295 1282821 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 140 4104323 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS SUB-SAHARAN AFRICA 346 4102270 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS EUROPE 35 189899 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 266 61654 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS SOUTH AMERICA 4 6059 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A 1 0 1 1 1 1 PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO STUDENTS AT ITS INTERNATIONAL LOCATIONS PURSUANT TO A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. THESE FUNDS ARE MONITORED BY THE OFFICE OF SPONSORED PROJECTS AND SPONSORED PROJECTS ACCOUNTING. 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ST RM 612 CONTRACT AND GRANT ACCOUNTING COLUMBIA SC 29208 576001153 36501 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS UNIVERSITY OF SOUTH CAROLINA EDUCATIONAL FOUNDATION 1027 BARNWELL ST COLUMBIA SC 29208 576017985 501(C)(3) 78302 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS UNIVERSITY OF SOUTHERN CALIFORNIA SPONSERED PROJECTS ACCOUNTING FILE NO 52095 LOS ANGELES CA 900742095 951642394 501(C)(3) 1246673 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS UNIVERSITY OF TEXAS AT AUSTIN OFFICE OF ACCOUNTING PO BOX 7159 AUSTIN TX 787137159 746000203 115 76045 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS UNIVERSITY OF TEXAS AT DALLAS 800 W CAMPELL RD RICHARDSON TX 750803021 751305566 28560 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS UNIVERSITY OF TEXAS AT EL PASO CONTRACTS GRANTS ACCT RM200 ADM BLDG 500 W UNIVERSITY EL PASO TX 799680697 746000813 115 73317 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS UNIVERSITY OF VIRGINIA ATTN OFFICE OF SPONSORED PROGRAMS PO BOX 400195 CHARLOTTESVILLE VA 229044195 541682176 501(C)(3) 61360 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS UNIVERSITY OF WASHINGTON GRANT AND CONTRACT ACCTG BOX 354966 354966 SEATTLE WA 981954966 916001537 115 1354894 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS UNIVERSITY OF WYOMING 1000 E UNIVERSITY AVE DEPT 3355 LARAMIE WY 82071 836000331 501(C)(1) 26206 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS VERIS GROUP LLC 8229 BOONE BLVD SUITE 750 VIENNA VA 22182 202300601 466774 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS VIRGINIA TECH OFFICE OF SPONSORED PROGRAMS 1880 PRATT DR STE 2006 BLACKSBURG VA 240603580 546001805 72366 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS VISIONQUEST SYSTEMS INC 3314 KEMPER RD ARLINGTON VA 22206 043692674 331574 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WASHINGTON STATE UNIVERSITY 240 FRENCH ADM BLDG POB 641025 PULLMAN WA 991641025 916001108 115 30227 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WAYNE STATE UNIVERSITY CASHIERS OFFICE PO BOX 02788 DETROIT MI 48202 383555142 501(C)(3) 103435 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WESLEYAN UNIVERSITY FINANCE/GRANTS ACCOUNTING 287 HIGH ST MIDDLETOWN CT 06459 060646959 501(C)(3) 64948 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WEST LIBERTY UNIVERSITY FOUNDATION INC 208 UNIVERSITY DR CSC 126 WEST LIBERTY WV 26074 550480299 501(C)(3) 14923 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WEST VIRGINIA UNIVERSITY RESEARCH CORP PO BOX 6002 MORGANTOWN WV 26506 550665758 501(C)(3) 95132 N/A N/A EDUCATION/RESEARCH SUBCONTRACTS WOMEN IN CYBER SECURITY 370 S LOWE AVE STE A-244 COOKEVILLE TN 38501 822750482 501(C)(3) 11000 N/A N/A PROGRAM SERVICE 92 48 CMU SCHOLARSHIPS 7822 141925525 N/A N/A ENDOWED STUDENT SCHOLARSHIPS 1298 13989419 N/A N/A FEDERAL GRANT 739 2077676 N/A N/A EXTERNAL DONOR OR CORPORATE FUNDED SCHOLARSHIPS 333 1936131 N/A N/A PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO INDIVIDUALS AND ORGANIZATIONS IN THE U.S. BASED ON A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. FOR STUDENTS, SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. OTHER TYPES OF GRANTS AND ASSISTANCE MIGHT INCLUDE, FOR EXAMPLE, RECIPIENTS OF PRIZES AND AWARDS WHO HAVE MET THE SPECIFIC CRITERIA FOR THE PARTICULAR PRIZE OR AWARD TO BE SELECTED. IN THE CASE OF SCHOLARSHIPS AND FELLOWSHIPS, THE RECIPIENT IS OFTEN REQUIRED TO UTILIZE THE FUNDS IN FURTHERANCE OF THEIR EDUCATION AND RESEARCH AT CMU. GRANTS ARE ALSO MADE IN THE CONTEXT OF ACADEMIC OR RESEARCH PROGRAMS AND RECIPIENTS SPEND THEIR GRANT FUNDS UNDER THE SUPERVISION OF THE PROGRAM FOR THE USE OF THE FUNDS. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. FUNDS ARE SPENT UNDER THE SUPERVISION OF THE PRINCIPAL INVESTIGATORS AND ARE ACCOUNTABLE TO FEDERAL AND SPONSOR TERMS AND CONDITIONS. X X X X X X X 1 1 X X X X X X 1 1 0 0 0 0 0 1 0 EDWARD GREFENSTETTE VOTING TRUSTEE 0 530000 0 566500 0 84319 0 830919 0 24729 0 2036467 0 644116 JEANNE VANBRIESEN EX-OFFICIO TRUSTEE/PROFESSOR 196051 0 0 0 3029 0 14969 0 71802 0 285851 0 0 0 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 858415 15000 100000 0 140726 0 22000 0 76326 0 1197467 15000 0 0 LAURIE WEINGART INTERIM PROVOST (THRU. 12/18) 495543 0 0 0 22722 0 22000 0 55238 0 595503 0 0 0 JAMES H GARRETT PROVOST & CAO (AS OF 1/19) 392532 0 0 0 72066 0 22000 0 16384 0 502982 0 0 0 ANGELA BLANTON VP OF FINANCE & CFO 402532 0 0 0 13525 0 22000 0 14545 0 452602 0 0 0 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 303046 0 0 0 6081 0 22000 0 26399 0 357526 0 0 0 MARY JO DIVELY VP/GENERAL COUNSEL 504073 0 0 0 46714 0 22000 0 100711 0 673498 0 0 0 JOHN DOLAN TREASURER 211003 0 0 0 429 0 17820 0 19742 0 248994 0 0 0 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 320758 0 125618 0 28582 0 223002 0 41241 0 739201 0 95093 0 CATHY A LIGHT SEC OF THE CORP. & ADVISOR TO THE PRESIDENT 291465 0 0 0 7094 0 22000 0 23674 0 344233 0 0 0 RODNEY MCCLENDON V.P. FOR OPERATIONS 443964 0 0 0 18848 0 22000 0 13486 0 498298 0 0 0 SCOTT MORY V.P. FOR UNIVERSITY ADVANCEMENT 484194 0 0 0 36991 0 22000 0 8647 0 551832 0 0 0 CARRIE NELSON ASSISTANT TREASURER 247962 0 0 0 4067 0 20254 0 6047 0 278330 0 0 0 JONATHAN CAGAN PROFESSOR INTERIM DEAN, COLLEGE OF ENGINEERING 261505 0 0 0 6452 0 20285 0 100205 0 388447 0 0 0 TOM MITCHELL PROF INT DEAN SCHOOL OF COMP. SCI. (ENTERED 11/18) 313094 0 0 0 22253 0 25423 0 13970 0 374740 0 0 0 ANDREW MOORE DEAN SCHOOL OF COMPUTER SCIENCE (EXITED 11/18) 477249 0 0 0 18237 0 22000 0 74687 0 592173 0 0 0 PAUL D NIELSEN DIRECTOR, SEI 563360 0 0 0 38029 0 22000 0 7270 0 630659 0 0 0 VIJAYAKUMAR BHAGAVATULA DIRECTOR, CMU-AFRICA 307199 0 0 0 344972 0 22708 0 28990 0 703869 0 0 0 ROBERT DAMMON DEAN, PROFESSOR OF FINANCE 610367 0 0 0 33226 0 22000 0 16995 0 682588 0 0 0 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 572121 0 0 0 44501 0 26895 0 13529 0 657046 0 0 0 RAMAMOORTHI RAVI ZOLTNERS PROF. OF OPERAT. RESEARCH 282839 0 0 0 706474 0 26895 0 13630 0 1029838 0 0 0 MICHAEL TRICK DEAN, QATAR CAMPUS 407447 0 0 0 461506 0 22000 0 41048 0 932001 0 0 0 STEVE KLOEHN FORMER OFFICER 154943 0 0 0 192206 0 40582 0 11770 0 399501 0 0 0 JOHN LEHOCZKY FORMER OFFICER/PROFESSOR 284021 0 0 0 41491 0 22946 0 21737 0 370195 0 0 0 PAMELA EAGER FORMER OFFICER/SR. ASSOC. FOR DEV. 311777 0 0 0 14078 0 22000 0 32658 0 380513 0 0 0 MARK S KAMLET FORMER OFFICER/PROFESSOR 443458 0 0 0 35751 0 26895 0 13354 0 519458 0 0 0 SUBRA SURESH FORMER OFFICER/FORMER TRUSTEE 0 0 0 0 987071 0 0 0 0 0 987071 0 984006 0 RANDAL E BRYANT FORMER KE/PROFESSOR 343252 0 0 0 4745 0 25878 0 20170 0 394045 0 0 0 PART I, LINE 1A ALL ITEMS CHECKED IN LINE 1A ARE PROVIDED TO OR FOR A PERSON LISTED IN FORM 990, PART VII TO FURTHER THE BUSINESS, EDUCATIONAL, AND RESEARCH MISSION OF THE UNIVERSITY PURSUANT TO FEDERAL TAX REGULATIONS, IRS ACCOUNTABLE PLAN RULES, AND THE UNIVERSITY'S POLICIES AND PROCEDURES. NONTAXABLE BENEFITS DISCLOSED IN COLUMN D INCLUDE, FOR EXAMPLE, CONTRIBUTIONS TO EMPLOYER HEALTH AND WELFARE PLANS, EMPLOYER PROVIDED HOUSING, AND QUALIFIED TUITION BENEFITS. PART I, LINES 4A-B FARNAM JAHANIAN PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. THESE BENEFITS ARE REPORTED IN PART II, COLUMN (B). EFFECTIVE JULY 1, 2017, DR. SURESH WAS NO LONGER EMPLOYED BY THE UNIVERSITY. IN CONJUNCTION WITH HIS DEPARTURE, THE UNIVERSITY AND DR. SURESH NEGOTIATED SEVERANCE BENEFITS. DR. SURESH'S PAID SEVERANCE BENEFITS, TOTALING $864,006 ARE REPORTED IN PART II, COLUMN (B). EFFECTIVE JULY 1, 2018, STEVE KLOEHN WAS NO LONGER EMPLOYED BY THE UNIVERSITY. IN CONJUNCTION WITH HIS DEPARTURE, THE UNIVERSITY AND STEVE KLOEHN NEGOTIATED SEVERANCE BENEFITS. STEVE KLOEHN'S PAID SEVERANCE BENEFITS, TOTALING $165,501 ARE REPORTED IN PART II, COLUMN (B) AND HIS ACCRUED SEVERANCE BENEFITS ARE INCLUDED IN PART II, COLUMN (C). PART I, LINE 7 ALL BONUSES PAID WERE AWARDED AS A RESULT OF PERFORMANCE AND WERE APPROVED BY THE COMPENSATION COMMITTEE. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RES4 2008-04-10 120820000 REFUNDING 2006A,B & 2007A. SEE PART VI FOR MORE DETAIL 0 0 0 B ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729EKY2 2013-02-14 60529980 REVENUE BONDS TO FINANCE NEW CONSTRUCTION. SEE PART VI FOR MORE DETAIL 0 0 0 C ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMP1 2017-07-19 77823681 REFUNDING 2009 BONDS & TAXABLE COMMERCIAL PAPER NOTES. SEE PART VI FOR MORE 0 0 0 D ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 NONEAVAIL 2017-12-27 50000000 REISSUANCE OF 2012B BONDS. SEE PART VI FOR MORE DETAIL 0 0 0 A 120821573 493831 120327742 1 0 1 1 B 60575582 36398 463813 60045471 29900 2016 0 0 1 1 C 77839863 341465 77498398 1 0 1 1 D 50000000 50000000 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 1 0 0 0 1 B 0 0 0 1 0 0 0 1 1 C 0 1 1 1 0 0 0 0 1 D 0 1 1 1 1 0 0 0 1 A 1 B 1 C 1 D 1 ENTITY 1: COLUMN A: PART I(F): BONDS CURRENT REFUNDED SERIES 2006AB BONDS (ISSUED DECEMBER 13, 2006) AND SERIES 2007 BONDS (ISSUED MARCH 1, 2007). COLUMN C: PART I(F): THE BONDS CURRENT REFUNDED PORTIONS OF THE SERIES 2009 BONDS (ISSUED AUGUST 20, 2009) AND TAXABLE COMMERCIAL PAPER NOTES (ISSUED FEBRUARY 24, 2015). COLUMN D: PART I(F): THE BONDS CURRENT REFUNDED THE OUTSTANDING SERIES 2012B BONDS (ISSUED MARCH 1, 2012). COLUMNS A, B C: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN D: PART III: BECAUSE PROCEEDS OF THE BONDS WERE USED TO REFUND BONDS ISSUED BEFORE JANUARY 1, 2003, THE ISSUER HAS NOT COMPLETED PART III WITH RESPECT TO THE BONDS. COLUMNS A, C, D: PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMNS A, B, C: PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMNS C, D: PART IV, LINE 2(B): THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN A: PART IV, LINE 2(C): THE MOST RECENT REBATE REPORT WAS PREPARED BY THE BORROWER AND DATED APRIL 26, 2013. COLUMN B: PART IV, LINE 2(C): THE MOST 5TH YEAR RECENT REBATE REPORT WAS PREPARED BY BLX ON FEBRUARY 13, 2018. COLUMNS C, D: PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. ENTITY 2: PART I(F): 2009 BONDS WERE ISSUED ON AUGUST 20, 2009. THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. PART III, LINE 7: AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. PART IV, LINE 2(B): THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT AND; THEREFORE, NO COMPUTATION HAS BEEN, OR EVER WILL BE, PREPARED FOR THE BONDS. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMX4 2019-01-23 120435248 REFUNDING OF 2009 BONDS. SEE PART VI FOR MORE DETAIL 0 0 0 A 120495489 418774 120000000 76715 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 1 1 1 0 0 0 1 A 1 14460 MERIT SCHOLARSHIP TUITION ASSISTANCE C BRODSKY M. KAMLET - CMU FORMER OFFICER - HUSBAND OF C. BRODSKY - CMU EMPLOYEE 110313 SEE PART V COMPENSATION FOR PROFESSOR OF COLLEGE OF FINE ARTS 0 L SMITH J. GARRETT - CMU OFFICER - BROTHER OF L. SMITH - CMU EMPLOYEE 78403 SEE PART V COMPENSATION FOR ASSOCIATE DIRECTOR OF STUDENT ACCOUNTS 0 R BLANTON A. BLANTON - CMU OFFICER - WIFE OF R. BLANTON - CMU EMPLOYEE 311517 SEE PART V COMPENSATION FOR PROFESSOR OF ELECTRICAL & COMPUTER ENGINEERING 0 X 6 310250 APPRAISAL X 181 11578581 FAIR MARKET VALUE X SOFTWARE LICENSE 1 100000 FAIR MARKET VALUE X SCIENTIFIC/ENGINEERING/MUSIC EQPT 9 55095 FAIR MARKET VALUE X ALUMNI EVENT 27 36830 COST X TOOLS 1 27506 COST 4 0 1 0 PART I, COLUMN (B): THE NUMBER SHOWN IN COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS CARNEGIE MELLON UNIVERSITY RECEIVED FOR EACH TYPE OF PROPERTY FOR THE YEAR ENDED JUNE 30, 2019. FORM 990, PART VI, SECTION A, LINE 2 JAMES ROHR, EDWARD GREFENSTETTE, AND FARNAM JAHANIAN HAVE A BUSINESS RELATIONSHIP. EDWARD GREFENSTETTE AND J. LEA HILLMAN SIMONDS HAVE A BUSINESS RELATIONSHIP. EDWARD GREFENSTETTE AND JOEL P. ADAMS HAVE A BUSINESS RELATIONSHIP. LARRY JENNINGS JR. AND LUKE SKURMAN HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 7A CARNEGIE MELLON HAS SIX EX-OFFICIO TRUSTEES WHO ARE MEMBERS OF THE BOARD OF TRUSTEES BY HOLDING THE FOLLOWING OFFICES: MAYOR OF THE CITY OF PITTSBURGH PRESIDENT OF COUNCIL OF THE CITY OF PITTSBURGH PRESIDENT OF CARNEGIE MELLON UNIVERSITY PRESIDENT OF CARNEGIE MELLON ALUMNI ASSOCIATION PRESIDENT OF THE ANDREW CARNEGIE SOCIETY OF CARNEGIE MELLON CHAIRMAN OF CARNEGIE MELLON FACULTY SENATE EX-OFFICIO TRUSTEES SHALL BE FULL VOTING MEMBERS OF THE BOARD OF TRUSTEES, WITH ALL RIGHTS AND RESPONSIBILITIES THERETO, EXCEPT AS FOLLOWS: THEY SHALL BE WELCOME AT ALL OPEN SESSIONS OF ALL FULL BOARD MEETINGS AND, IF REQUESTED BY THE CHAIR, AT CLOSED EXECUTIVE SESSIONS; AND THE PRESIDENT OF CARNEGIE MELLON UNIVERSITY SHALL HAVE NO VOTING RIGHTS WHEN SERVING AS A MEMBER OF THE AUDIT COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B CARNEGIE MELLON UNIVERSITY'S TAX DEPARTMENT IS RESPONSIBLE FOR GATHERING RELEVANT INFORMATION AND PREPARING THE ANNUAL FORM 990. ONCE THE FORM IS COMPLETE IN DRAFT STATUS, IT IS REVIEWED WITH CARNEGIE MELLON'S INDEPENDENT CERTIFIED PUBLIC ACCOUNTING (CPA) FIRM. UPON COMPLETION OF INDEPENDENT REVIEW BY THE CPA FIRM, THE FORM IS REVIEWED BY THE VICE PRESIDENT FOR FINANCE AND CHIEF FINANCIAL OFFICER, ASSOCIATE VICE PRESIDENT FOR FINANCE AND CONTROLLER, TAX DEPARTMENT AND THEN PROVIDED TO THE AUDIT COMMITTEE FOR APPROVAL. FINALLY, A COMPLETED COPY OF THE FORM IS PROVIDED TO THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO FILING FORM 990 WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CARNEGIE MELLON REQUIRES EACH TRUSTEE, OFFICER, AND MEMBER OF SENIOR MANAGEMENT TO DISCLOSE ANNUALLY THE EXISTENCE OF ANY CIRCUMSTANCES THAT MIGHT CONSTITUTE A CONFLICT OF INTEREST WITH THE INSTITUTION. THE PROCESS IS INITIATED EACH FISCAL YEAR BY THE OFFICE OF THE SECRETARY OF THE CORPORATION SENDING AN ELECTRONIC CONFLICT OF INTEREST QUESTIONNAIRE TO THE ABOVE NOTED INDIVIDUALS. COMPLETED QUESTIONNAIRES ARE RETURNED TO THE SECRETARY OF THE CORPORATION FOR EVALUATION OF ACTUAL OR PERCEIVED CONFLICTS BY THE INSTITUTION, REVIEWED BY THE OFFICE OF GENERAL COUNSEL, AND ANNUAL REPORTING IS PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. ALL OFFICERS AND MEMBERS OF THE BOARD ARE REQUIRED TO DISCLOSE CONFLICTS TO THE SECRETARY OF THE CORPORATION AS THEY ARISE THROUGHOUT THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE ANNUALLY REVIEWS AND RECOMMENDS TO THE EXECUTIVE COMMITTEE FOR APPROVAL THE PRESIDENT'S SALARY, COMPENSATION, AND BENEFIT PACKAGE (TOTAL COMPENSATION), AND REVIEWS AND APPROVES THE TOTAL COMPENSATION OF THE PROVOST, VICE PRESIDENTS, DEANS, OFFICERS AND KEY EMPLOYEES. THE COMMITTEE OBTAINS APPROPRIATE ANALYSES AND STUDIES PREPARED BY THE ADMINISTRATION AND INDEPENDENT EXTERNAL SOURCES WITH RESPECT TO COMPENSATION FOR SIMILAR POSITIONS IN SIMILAR ORGANIZATIONS TO AID IN EVALUATING COMPENSATION AND BENEFIT PLAN LEVELS, PRACTICES AND STRATEGIES TO ENSURE THAT THE UNIVERSITY'S COMPENSATION LEVELS AND PRACTICES ARE COMPARABLE TO SIMILAR ORGANIZATIONS AND APPROPRIATE TO ATTRACT, OBTAIN AND RETAIN QUALIFIED PERSONNEL. THIS INCLUDES REVIEWING SURVEY DATA FOR SIMILAR POSITIONS AMONG A SELECT GROUP OF PEER INSTITUTIONS. THE COMMITTEE SUBMITS ITS RECOMMENDATIONS FOR THE PRESIDENT'S TOTAL COMPENSATION PACKAGE TO THE EXECUTIVE COMMITTEE FOR REVIEW AND APPROVAL. THE EXECUTIVE COMMITTEE RECEIVES AN ANNUAL REPORT FROM THE UNIVERSITY'S COMPENSATION COMMITTEE INCLUDING SIGNIFICANT COMPENSATION AND BENEFIT PLAN POLICY CHANGES. IT REPORTS TO THE FULL BOARD ON THIS AND THE COMPETITIVENESS OF THE UNIVERSITY'S COMPENSATION LEVELS AND BENEFIT PLANS IN RELATION TO PEER INSTITUTIONS. FORM 990, PART VI, SECTION C, LINE 19 CARNEGIE MELLON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE FOR PUBLIC INSPECTION. THE DOCUMENTS ARE AVAILABLE UPON REQUEST OR CAN BE OBTAINED BY VISITING THE WEBSITE AT WWW.CMU.EDU. FORM 990, PART VII, SECTION A, LINE 1A: THE BOARD OF TRUSTEES MAY GRANT THE STATUS OF EMERITUS TRUSTEE TO THOSE MEMBERS WHO HAVE MADE DISTINGUISHED CONTRIBUTIONS TO THE UNIVERSITY AND WHO HAVE ATTAINED AT LEAST AGE 60 OR A MAXIMUM OF AGE 75. THE BOARD OF TRUSTEES MAY, AT ANY TIME OR FROM TIME TO TIME CHANGE THE AGE AT WHICH TRUSTEES MUST BE GRANTED EMERITUS, A STATUS, OR RESIGN FROM THE BOARD. EMERITUS/ A TRUSTEES SHALL BE WELCOME AT ALL FULL BOARD MEETINGS; ALL MEETINGS OF THE ADVANCEMENT, EDUCATIONAL AFFAIRS AND ENROLLMENT, AND RESEARCH, INNOVATION AND ENTREPRENEURSHIP COMMITTEES OF THE BOARD OF TRUSTEES; SHALL RECEIVE ALL NOTICES, MINUTES AND REPORTS OF SAID MEETINGS, SHALL BE FREE TO PARTICIPATE IN DISCUSSIONS, BUT SHALL BE WITHOUT A VOTE ON ANY MATTER. EMERITUS TRUSTEES SHALL BE WELCOME AT ALL BOARD AND UNIVERSITY EVENTS. THE FOLLOWING INDIVIDUALS WERE EMERITUS LIFE TRUSTEES OF CARNEGIE MELLON'S BOARD OF TRUSTEES: JOHN BERTUCCI, CAROL R. BROWN, ROBERT M. BROWN III, W. LOGAN DICKERSON, PHILIP L. DOWD, DINA DUBLON, WILLIAM B. ELLIS, CYNTHIA FRIEDMAN, HENRY GAILLIOT, CLAIRE W. GARGALLI, RICHARD D. HAMILTON, WILTON A. HAWKINS, TERESA HEINZ, ORION L. HOCH, T. JEROME HOLLERAN, W. LEE HOSKINS, JUSTIN M. JOHNSON, PATRICIA ASKWITH KENNER, DAVID M. KIRR, EDWARD E. LUCENTE, THOMAS A. MCCONOMY, JACK E. MCGRATH, REGINA GOUGER MILLER, ALESSANDRO OVI, E. KEARS POLLOCK, CHARLES J. QUEENAN, JR. ESQ, JOHN G. RANGOS, SR., DAVID RODERICK, VINCENT A. SARNI, JOYCE B. SCOTT, DAVID S. SHAPIRA, RAYMOND W. SMITH, W. LOWELL STEINBRENNER, DONALD E. STITZENBERG, JAMES M. WALTON, KONRAD M. WEIS. FORM 990, PART VII, SECTION A, COLUMN B: FOR EACH PERSON LISTED IN COLUMN A WHO IS AN EMPLOYEE OF CARNEGIE MELLON UNIVERSITY, THE AVERAGE NUMBER OF HOURS PER WEEK STATED IS 50 HOURS PER WEEK; HOWEVER, THE ACTUAL NUMBER OF HOURS WORKED VARIES BETWEEN 50-80 HOURS PER WEEK. FORM 990, PART XI, LINE 9: LAMME UNREALIZED GAINS/LOSS -41,811. CHANGE IN SWAP VALUE NET OF INTEREST EXPENSE & OTHER -9,033,978. NET GAIN FROM FUNDRAISING EVENTS -9,169. LOSSES FROM ADJUSTMENTS OF PLEDGES RECEIVABLE -16,607,973. FORM 990, PART XII, FINANCIAL STATEMENTS AND REPORTING: CARNEGIE MELLON HAS AN AUDIT COMMITTEE OF THE BOARD OF TRUSTEES THAT IS RESPONSIBLE FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND THE SELECTION OF A CERTIFIED INDEPENDENT ACCOUNTING FIRM THAT AUDITS THE FINANCIAL STATEMENTS. CARNEGIE MELLON'S FINANCIAL STATEMENTS ARE CONSOLIDATED. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. 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