2020-06-26T12:22:02-05:00 2019-06-30 420714325 RSM US LLP PO BOX 5946 MADISON WI 537050946 990 2018-07-01 390743975 UNIVERSITY OF WISCONSIN FOUNDATION UNIV 6082634545 1848 UNIVERSITY AVENUE MADISON WI 537264090 GEOFFREY MCCLOSKEY CFO 6082634545 2020-06-24 1 JAMES G GRAHAM P00006111 6088332612 69.131.109.251 2020-06-24 11:23:03 CD P 294998F7F4CC0B4DC0C03E138A64C7C1F634AA2D E3D388527ABB222FEAED5288725E02788243C031 2018 2020-09-23 17:36:50Z WISCONSIN FOUNDATION AND ALUMNI ASSOCIATION MICHAEL M KNETTER 1848 UNIVERSITY AVENUE MADISON WI 537264090 3566145409 0 X WWW.SUPPORTUW.ORG X 1945 WI UNIVERSITY OF WISCONSIN FOUNDATION AIDS UNIVERSITY OF WISCONSIN-MADISON BY SOLICITING GIFTS & BEQUESTS, ADMINISTERS & INVESTS SECURITIES & PROPERTIES, & DISTRIBUTES PAYMENTS FOR THE BENEFIT OF UNIVERSITY OF WISCONSIN - MADISON. 47 46 561 250 -9106573 0 312106090 340855349 2487711 2377245 160392847 219172934 1091138 1189169 476077786 563594697 278831683 275391164 0 0 29525451 28519638 700627 487866 27495703 33333119 34919142 342390880 339317810 133686906 224276887 4174956171 4366316830 409788613 425202719 3765167558 3941114111 X TO PROMOTE THE WELFARE OF AND ADVANCE THE OBJECTIVES OF THE UNIVERSITY OF WISCONSIN-MADISON BY ENCOURAGING THE INTEREST, ENGAGEMENT, AND FINANCIAL SUPPORT OF ALUMNI, DONORS, AND FRIENDS IN THE LIFE OF THE UNIVERSITY AND WITH EACH OTHER. 0 0 57024586 57024586 FACULTY SUPPORT AND RESEARCH - WITH OVER $57 MILLION FROM THE UW FOUNDATION, UNIVERSITY OF WISCONSIN FACULTY AND STAFF RECEIVED ADDITIONAL SUPPORT ALLOWING FOR INCREASED RESEARCH OPPORTUNITIES AND IMPROVED CLASSROOM EXPERIENCE FOR STUDENTS. PRIVATE GIFT SUPPORT HELPS MEET THE UNIVERSITY'S GOAL TO ATTRACT AND RETAIN WORLD-CLASS FACULTY, WHICH ULTIMATELY ATTRACTS THE BEST AND BRIGHTEST STUDENTS. DURING 2019, THE NUMBER OF ENDOWED FACULTY POSITIONS (CHAIRS, DISTINGUISHED CHAIRS, PROFESSORSHIPS, AND FELLOWSHIPS) INCREASED TO NEARLY 500. MATCHING FUNDS PROVIDED FOR DONOR GIFTS OF $8 MILLION OR MORE, INCENTIVIZE GIVING TO ENDOWED FACULTY SUPPORT AND RESEARCH FUNDS. 46968814 46968814 ACADEMIC & STUDENT PROGRAM SUPPORT - THE UW FOUNDATION PROVIDED OVER $46 MILLION TO THE UNIVERSITY OF WISCONSIN TO SUPPORT ACADEMIC & STUDENT PROGRAMS. THESE FUNDS ENABLE THE DEDICATED STUDENTS TO DEVELOP SKILLS AND KNOWLEDGE FOR GROWTH AND SUCCESS BY OFFERING HIGH-QUALITY, RESPONSIVE ACADEMIC AND STUDENT PROGRAMS BY EMPLOYING BEST PRACTICES IN TEACHING AND LEARNING; ADDING TO THE ACCUMULATED BODY OF KNOWLEDGE AND CREATIVE WORK; ENRICHING THE COMMUNITY THROUGH CULTURAL LEADERSHIP AND PROVIDING RESOURCES FOR PROBLEM SOLVING. 35892049 35892049 STUDENT SCHOLARSHIP AND FINANCIAL AID SUPPORT - UNIVERSITY OF WISCONSIN UNDERGRADUATE, GRADUATE, AND PROFESSIONAL STUDENTS RECEIVED MORE THAN $35 MILLION IN SCHOLARSHIPS, FELLOWSHIPS, LOANS AND AWARDS FROM PRIVATE GIFT SUPPORT. STUDENTS RECEIVED SCHOLARSHIP SUPPORT ACROSS ALL PROGRAMS AND UNITS OF THE UNIVERSITY OF WISCONSIN. PRIVATE GIFT SUPPORT IS CRITICAL TO ENSURING THAT ALL WILLING STUDENTS ARE ABLE TO EXPLORE THEIR EDUCATIONAL OPPORTUNITIES, EXPERIENCE COLLEGE LIFE, AND MANAGE TUITION COSTS AND DEBT LOADS. IN 2019, APPROXIMATELY 2300 SCHOLARSHIPS SUPPORTING UNIVERSITY OF WISCONSIN STUDENTS WERE FUNDED BY PRIVATE GIFT SUPPORT. IN CONSULTATION WITH THE UNIVERSITY OF WISCONSIN, THE UW FOUNDATION EMPHASIZES AND INCENTIVIZES PHILANTHROPIC SUPPORT OF SCHOLARSHIPS. MATCHING FUNDS PROVIDED FOR DONOR GIFTS OF $11 MILLION OR MORE, INCENTIVIZE GIVING TO ENDOWED SCHOLARSHIPS AND FELLOWSHIPS. 19661713 OTHER PROGRAM SERVICES:INVESTMENT MANAGEMENT: UWF'S INVESTMENTS TEAM UTILIZES A PROCESS TO DETERMINE THE APPROPRIATE ASSET CLASS ALLOCATION COMMITMENTS AND IDENTIFY BEST-IN-CLASS, HIGH-PERFORMING MANAGERS. WHILE THE ENDOWMENT PORTFOLIO INVESTS IN ACTIVE MANAGER STRATEGIES EXPECTED TO OUTPERFORM OVER THE LONG-TERM ACROSS A COMPLETE MARKET CYCLE, ALLOCATIONS TO LOW-COST, PASSIVE APPROACHES ARE UTILIZED AS WELL. GAINING BROAD EXPOSURE THROUGH LOW-COST INVESTMENT VEHICLES, INCLUDING INDEX AND EXCHANGE-TRADED FUNDS, IS COMPLEMENTED BY ACTIVE MANAGER STRATEGIES IN LESS EFFICIENT MARKET SEGMENTS. THE ENDOWMENT PORTFOLIO SEEKS TO GENERATE RETURNS FOR SPENDABLE ENDOWMENT INCOME, ACCOUNT FOR EXPENSES AND ATTEMPT TO GROW THE CORPUS IN INFLATION-ADJUSTED TERMS. 28023395 28023395 CAPITAL ADDITIONS AND FACILITIES: THE UW FOUNDATION PROVIDED OVER $28 MILLION TO THE UNIVERSITY OF WISCONSIN IN SUPPORT OF NEW BUILDING CONSTRUCTION, RENOVATION, AND EQUIPMENT NEEDS. STATE-OF-THE-ART FACILITIES HELP THE UNIVERSITY OF WISCONSIN ATTRACT HIGH-CALIBER FACULTY AND STUDENTS. THESE FACILITIES PROVIDE SPACE, ENVIRONMENTS, AND TECHNOLOGIES THAT PROMOTE THE HIGHEST LEVELS OF TEACHING, LEARNING, AND RESEARCH. PUBLICATIONS: "ON WISCONSIN" IS A QUARTERLY PUBLICATION AND SERVES AS THE OFFICIAL UNIVERSITY OF WISCONSIN ALUMNI MAGAZINE. "BADGER INSIDER" IS A MEMBERS ONLY PUBLICATION SERVING AS THE MEMBER FORUM. "FORWARD UNDER 40" IS THE ALUMNI ASSOCIATION'S NEWEST AWARDS PROGRAM. THIS PUBLICATION RECOGNIZES PROMINENT UNIVERSITY OF WISCONSIN ALUMNI UNDER THE AGE OF 40 LIVING IN THE WISCONSIN AREA. FLAMINGLE IS A WEEKLY EMAIL CONTAINING ARTICLES FOR ALUMNI. 107482320 107482320 2377245 THE UW FOUNDATION RECEIVES DISCRETIONARY SUPPORT TO PROVIDE FUNDS TO SUPPORT AND FURTHER THE MISSION OF THE UNIVERSITY OF WISCONSIN BASED ON THE GREATEST NEEDS OF THE UNIVERSITY. 155167428 135505715 2377245 295052877 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 1 0 1 0 0 1 0 0 1 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 1 173 0 1 561 1 1 1 0 0 0 0 1 1 1 1 0 0 0 0 0 X 47 46 1 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AK AR CA CO KY ME MD MA MI MN NV NH NJ NY OH OK OR SC UT WA WV WI X X CASEY ZWETTLER 6083085197 1848 UNIVERSITY AVENUE MADISON WI 53726 MICHAEL M KNETTER PRESIDENT AND CEO/EX OFFICIO 60.00 0.50 X X 671383 0 129730 JEFFREY D WIESNER CHAIR - TERM EXP 6/2020 8.00 X X 0 0 0 MICHAEL S SHANNON VICE CHAIR - TERM EXP 6/2020 2.00 X X 0 0 0 LINDA L AHLERS DIRECTOR - TERM EXP 6/2020 2.00 X 0 0 0 RAJIV BATRA DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 JOHN D BAUMANN DIRECTOR - TERM EXP 6/2020 2.00 X 0 0 0 SUSAN J CELLMER DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 JEROME A CHAZEN DIRECTOR - TERM EXP 6/2020 1.50 X 0 0 0 PAUL J COLLINS EX OFFICIO - TERM IS CONTINUOUS 1.00 X 0 0 0 JEFFREY J DIERMEIER DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 SUSAN S ENGELEITER DIRECTOR - TERM EXP 6/2020 0.50 X 0 0 0 THOMAS J FALK EX OFFICIO - TERM EXP 6/2019 0.50 X 0 0 0 WADE FETZER III EX OFFICIO - TERM IS CONTINUOUS 1.00 X 0 0 0 DAVID F FLORIN DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 JERE D FLUNO EX OFFICIO - TERM IS CONTINUOUS 1.00 X 0 0 0 CURTIS J FUSZARD DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 COLLEEN A GOGGINS DIRECTOR - TERM EXP 6/2020 4.00 X 0 0 0 JON D HAMMES DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 JILL S HATTON DIRECTOR - TERM EXP 6/2020 2.00 X 0 0 0 ELZIE L HIGGINBOTTOM DIRECTOR - TERM EXP 6/2020 1.50 X 0 0 0 LOUIS A HOLLAND DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 JOHN P HOLTON DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 WILLIAM P HSU DIRECTOR - TERM EXP 6/2020 1.50 X 0 0 0 TED D KELLNER EX OFFICIO - TERM IS CONTINUOUS 1.00 X 0 0 0 PETER S KIES DIRECTOR - TERM EXP 6/2020 2.00 X 0 0 0 CHRISTOPHER KOZINA DIRECTOR - THRU 1/21/2019 0.50 X 0 0 0 PAUL A LEFF DIRECTOR - TERM EXP 6/2020 2.00 X 0 0 0 PETER A LEIDEL DIRECTOR - TERM EXP 6/2020 1.50 X 0 0 0 THOMAS P MADSEN DIRECTOR - TERM EXP 6/2020 3.50 X 0 0 0 JANE R MANDULA DIRECTOR - TERM EXP 6/2020 2.50 X 0 0 0 KAREN A MONFRE DIRECTOR - TERM EXP 6/2020 2.00 X 0 0 0 ALICE D MORTENSON DIRECTOR - THRU 2/6/2019 1.00 X 0 0 0 MELINDA J MOUNT DIRECTOR - TERM EXP 6/2020 0.50 X 0 0 0 JOHN S NELSON DIRECTOR - TERM EXP 6/2020 2.00 X 0 0 0 CORY L NETTLES DIRECTOR - TERM EXP 6/2020 2.00 X 0 0 0 JOHN J OROS EX OFFICIO - TERM IS CONTINUOUS 0.50 X 0 0 0 SUSAN S PATTERSON DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 STEPHEN R PETERSEN DIRECTOR - TERM EXP 6/2020 3.00 X 0 0 0 LINDA L PROCCI DIRECTOR - TERM EXP 6/2020 4.00 X 0 0 0 ELIZABETH M QUADRACCI HARNED DIRECTOR - TERM EXP 6/2020 3.00 X 0 0 0 DR FREDERICK A ROBERTSON DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 RICKY C SANDLER DIRECTOR - TERM EXP 6/2020 2.00 X 0 0 0 LAUREEN E SEEGER DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 PAUL S SHAIN DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 MICHAEL R SPLINTER DIRECTOR - TERM EXP 6/2020 1.50 X 0 0 0 STEPHANIE L SWARTZ DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 FRANCES S TAYLOR EX OFFICIO - TERM IS CONTINUOUS 0.50 X 0 0 0 PATRICK A THIELE DIRECTOR - TERM EXP 6/2020 1.00 X 0 0 0 DORIS F WEISBERG DIRECTOR - TERM EXP 6/2020 3.00 X 0 0 0 JULIE M VAN CLEAVE CHIEF INVESTMENT OFFICER 50.00 X 784492 0 28998 THOMAS P OLSON CIO - PRIVATE MARKETS 50.00 X 503519 0 49230 ALISA A ROBERTSON CHIEF ADVANCEMENT OFFICER 50.00 0.50 X 293360 0 45815 KARI P MYRLAND CHIEF INFOR. OFFICER THRU 2/26/2019 40.00 X 224645 0 29003 GEOFFREY M MCCLOSKEY CHIEF FINANCIAL OFFICER 55.00 X 193863 0 41667 SCOTT T MCKINNEY CHIEF OPERATING OFFICER 50.00 0.50 X 195155 0 28008 JAMES P KENNEDY CHIEF MARKETING & COMM OFFICER 45.00 X 199010 0 41261 SARAH SCHUTT CHIEF ALUMNI OFF & EXE DIR WAA 50.00 X 149406 0 36929 JOHN C NORTON ASSISTANT TREASURER 45.00 X 126560 0 13688 CATHERINE M AHRENS SECRETARY 50.00 X 108791 0 30114 AMBER HODGSON ASSIST. SECRETARY - THRU 2/26/2019 55.00 X 127375 0 14143 SALLY ERDMANN TREASURER 45.00 X 80273 0 29581 COLLETTE M CLEMENS CHIEF HR OFFICER - THRU 10/5/2018 40.00 X 158643 0 7510 BRENDA J PHEBUS CHIEF HR OFFICER - AS OF 10/5/2018 55.00 X 31972 0 3008 ABI CAHAK ASSIST. SECRETARY - AS OF 2/26/2019 40.00 X 0 0 0 ANNE M LUCKE VICE PRESIDENT & MANAGING GROUP LEADER 55.00 X 189836 0 27157 RICHARD JAMES SHEPLEY SR. MANAGING DIRECTOR OF INVEST. - PUBLIC MARKETS 45.00 X 534984 0 49230 BRAD W JOLIN VICE PRESIDENT & MANAGING GROUP LEADER 50.00 X 172785 0 39465 JODI KRISTINE PATEK VICE PRESIDENT OF STEWARDSHIP 45.00 X 159263 0 30481 NANCY FRANCISCO-WELKE VICE PRESIDENT & MANAGING GROUP LEADER 55.00 X 154917 0 30604 5060232 0 705622 53 0 1 0 ROBERT W BAIRD CO INC 777 E WISCONSIN AVENUE SUITE 2700 MILWAUKEE WI 53202 INVESTMENT MANAGER 1508705 STEPSTONE GROUP LP 4275 EXECUTIVE SQUARE SUITE 500 LA JOLLA CA 92037 INVESTMENT MANAGER 1474673 MORGAN STANLEY 1585 BROADWAY NEW YORK NY 10036 INVESTMENT MANAGER 893115 INDUSTRIAL GROWTH PARTNERS 101 MISSION STREET SUITE 1500 SAN FRANCISCO CA 94105 INVESTMENT MANAGER 840826 LAZARD ASSET MANAGEMENT LLC 30 ROCKEFELLER PLAZA NEW YORK NY 10112 INVESTMENT MANAGER 804349 37 17231799 323623550 41199545 340855349 REGISTRATION 900099 842517 842517 MEMBERSHIP REVENUE 541900 770110 770110 TRAVEL/TOUR COMMISSION 900099 334358 334358 PUBLICATIONS 541800 329417 329417 SPONSORSHIPS 900099 100843 100843 2377245 58202746 -11204396 69407142 611458 611458 414802 0 414802 414802 410652 4150 3163495632 24300 3002549744 0 160945888 24300 160970188 1357754 159612434 75017 968 74049 74049 MISCELLANEOUS 900099 88860 88860 88860 563594697 2047828 -9106573 229798093 275391164 275391164 4689757 3903013 786744 17345805 4491001 12854804 1805983 687954 1118029 3070359 1272308 1798051 1607734 622197 985537 150700 150700 299285 299285 487866 487866 19661713 19661713 1049220 897498 151722 1926757 1926757 2001656 571027 1430629 2075234 776690 1298544 1039264 395887 643377 613959 158046 455913 1974693 58967 1915726 336 336 2280806 868828 1411978 361327 137640 223687 INCOME TAX LIABILITY 897841 897841 BAD DEBT EXPENSE 580776 580776 5575 -764 6339 339317810 295052877 16769230 27495703 400 400 130904428 14340364 122589146 105016732 25876052 61390101 1068731 924314 1567945 2176382 31955332 14899681 18926940 17055651 3322866838 3580350197 528291968 577403316 22863723 7659373 4174956171 4366316830 63680659 91199809 19757297 980543 326350657 333022367 409788613 425202719 X 129315456 163246681 1883399918 1935946496 1752452184 1841920934 3765167558 3941114111 4174956171 4366316830 224276887 -48330334 0 X X 0 1 X 1 0 X 543651612 151673056 338356589 312106090 341625459 1687412806 543651612 151673056 338356589 312106090 341625459 1687412806 421454948 1265957858 32089127 14994978 38915257 58115629 70022750 214137741 225358 166869 271538 256703 163877 1084345 1902634892 0.66540 0.65740 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS INCOME - 2014 AMOUNT: $ 70,712. 2015 AMOUNT: $ 152,511. 2016 AMOUNT: $ 126,057. 2017 AMOUNT: $ 169,952. 2018 AMOUNT: $ 88,860. UNIVERSITY MEMBERSHIP DUES - 2016 AMOUNT: $ 102,664. GAMING REVENUE - 2014 AMOUNT: $ 51,999. INVENTORY SALES - 2014 AMOUNT: $ 102,647. 2015 AMOUNT: $ 14,358. 2016 AMOUNT: $ 42,817. 2017 AMOUNT: $ 86,751. 2018 AMOUNT: $ 75,017. SCHEDULE A, PART II UNIVERSITY OF WISCONSIN FOUNDATION CHANGED FROM A CALENDAR YEAR END TO A JUNE 30 FISCAL YEAR END DURING 2016. THEREFORE, THE FISCAL YEAR END OF 6/30/2019 HAS BEEN PRESENTED IN COLUMN (E) 2018, THE FISCAL YEAR END OF 6/30/2018 HAS BEEN PRESENTED IN COLUMN (D) 2017, THE FISCAL YEAR END OF 6/30/2017 HAS BEEN PRESENTED IN COLUMN (C) 2016, THE SHORT YEAR PERIOD OF 1/1/2016 TO 6/30/2016 HAS BEEN PRESENTED IN COLUMN (B) 2015, AND THE FULL YEAR 2015 HAS BEEN PRESENTED IN COLUMN (A) 2014. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 1 458 1 12248 0 0 0 1 46026 1 31639 90371 0 PART II-B, LINE 1: DETAILED DESCRIPTION OF LOBBYING ACTIVITIES: DURING THE FISCAL YEAR, TWO EMPLOYEES SPENT PART OF THEIR TIME ON LOBBYING EFFORTS IN MADISON AND WASHINGTON, D.C. OTHER COSTS INCLUDED PRINT, MAILING, AND SOFTWARE TO COMMUNICATE WITH ALUMNI AND ELECTED OFFICIALS, AS WELL AS EVENT AND TRAVEL COSTS. SCHEDULE C, PART II-B, LINE 1A USE OF VOLUNTEERS FOR LOBBYING ACTIVITIES: VOLUNTEERS WERE UTILIZED FOR UW DAY EVENTS IN MADISON AND WASHINGTON DC, WHEREBY THEY MET WITH ELECTED OFFICIALS AND LOBBIED THEM ON GENERAL SUPPORT FOR UW-MADISON AND HIGHER EDUCATION. 2225933864 90495047 93393724 77181677 20087629 2312553329 2064218117 96528959 163113887 78566397 19360702 2225933864 1861296415 89226007 226126313 95447158 16983460 2064218117 1814865682 36420629 13744431 3734327 1861296415 1661118411 168905586 -23968864 -8810549 1814865682 0.79600 0.20400 0 0 502530 502530 13213212 6673616 6539596 759176 222272 536904 17475724 8003793 9471931 4690 4690 17055651 LIMITED PARTNERSHIPS 338110179 F REAL ASSET FUNDS 237827032 F OTHER FUNDS 1466105 F 577403316 DEFERRED COMPENSATION 2462721 LIABILITY UNDER SPLIT INTEREST 42673164 FUNDS DUE TO OTHER ORGANIZATIONS 3742478 BENEFIT OF U.W. - HOSPITAL & CLINIC 200853931 BENEFIT OF U.W. - STEVENS POINT 42234510 BENEFIT OF U.W. - GREEN BAY 35245408 BENEFIT OF WI 4-H FDN 4187623 BENEFIT OF CASB 1622532 333022367 X PART V, LINE 4: INTENDED USE OF ORGANIZATION'S ENDOWMENT FUNDS: THE FOUNDATION'S ENDOWMENT CONSISTED OF 4,102 AND 3,969 INDIVIDUAL FUNDS AT JUNE 30, 2019 AND JUNE 30, 2018, RESPECTIVELY. THESE FUNDS WERE ESTABLISHED FOR A VARIETY OF PURPOSES RELATED TO THE ORGANIZATION'S EXEMPT PURPOSE. AS REQUIRED BY GAAP, NET ASSETS ASSOCIATED WITH ENDOWMENT FUNDS ARE CLASSIFIED AND REPORTED BASED ON THE EXISTENCE OR ABSENCE OF DONOR-IMPOSED RESTRICTIONS AND ON STATE LAW. PART X, LINE 2: ORGANIZATION'S LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER ASC 740: THE FOUNDATION HAS RECEIVED A DETERMINATION LETTER FROM THE INTERNAL REVENUE SERVICE STATING THAT IT IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (IRC). HOWEVER, THE FOUNDATION IS SUBJECT TO FEDERAL AND STATE INCOME TAXES ON ITS UNRELATED BUSINESS INCOME, AS A RESULT OF OWNERSHIP IN VARIOUS INVESTMENT ENTITIES. THE FOUNDATION FOLLOWS THE GUIDANCE RELATIVE TO ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE FINANCIAL STATEMENTS. UNDER THIS GUIDANCE, THE ORGANIZATION MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. EXAMPLES OF TAX POSITIONS INCLUDE THE TAX-EXEMPT STATUS OF THE ORGANIZATION AND VARIOUS POSITIONS RELATED TO THE POTENTIAL SOURCES OF UNRELATED BUSINESS TAXABLE INCOME (UBIT). ANY TAX BENEFITS RECOGNIZED IN THE FINANCIAL STATEMENTS FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50% LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE FOUNDATION FILES FORMS 990 IN THE U.S. FEDERAL JURISDICTION AND THE STATE OF WISCONSIN. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 49093563 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 37994603 0 0 0 0 0 0 87088166 0 87088166 1 0 0 1 1 0 X X X X 1 160OVER90 INC ONE SOUTH BROAD ST 10TH FLOOR PHILADELPHIA PA 19107 FUNDRAISING CONSULTANT 0 0 416667 0 PLUS DELTA PARTNERS 6965 EL CAMINO REAL SE 105-488 CARLSBAD CA 92009 FUNDRAISING CONSULTANT 0 0 71199 0 487866 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NV NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI SCHEDULE G, PART I, LINE 2B, COLUMN (V) SCHEDULE G, PART I, LINE 2B, COLUMN (IV) THE GROSS RECEIPTS FROM THE ACTIVITY THAT 160OVER90, INC. AND PLUS DELTA PARTNERS ASSIST OUR ORGANIZATION ON ARE NOT ABLE TO BE SEPARATELY REPORTED. 160OVER90, INC. ASSISTS WITH CAMPAIGN EFFORTS AND STRATEGIC DIRECTION. PLUS DELTA PARTNERS PROVIDES TRAINING AND WORKSHOPS FOR THE DEVELOPMENT STAFF AND HELPS WITH STRATEGY. THE WORK OF THESE ORGANIZATIONS AID IN MANY OF OUR FUNDRAISING INITIATIVES THROUGHOUT OUR FISCAL YEAR AND THUS CANNOT BE SEPARATELY REPORTED. 1 UNIVERSITY OF WISCONSIN MADISON 21 N PARK ST MADISON WI 537151218 396006492 115 56342300 682286 FMV FACULTY SUPPORT AND RESEARCH SEE SCH I, PART IV UNIVERSITY OF WISCONSIN MADISON 21 N PARK ST MADISON WI 537151218 396006492 115 46968814 ACADEMIC AND STUDENT PROGRAM SUPPORT SEE SCH I, PART IV UNIVERSITY OF WISCONSIN MADISON 21 N PARK ST MADISON WI 537151218 396006492 115 35892049 STUDENT SCHOLARSHIP AND FINANCIAL AID SEE SCH I, PART IV UNIVERSITY OF WISCONSIN MADISON 21 N PARK ST MADISON WI 537151218 396006492 115 28023395 CAPITAL ADDITIONS AND FACILITIES SEE SCH I, PART IV UNIVERSITY OF WISCONSIN MADISON 21 N PARK ST MADISON WI 537151218 396006492 115 107482320 OTHER GRANTS SEE SCH I, PART IV 1 PART I, LINE 2: PROCEDURES FOR MONITORING USE OF GRANT FUNDS IN THE U.S.: THE UNIVERSITY OF WISCONSIN FOUNDATION AIDS THE UNIVERSITY OF WISCONSIN BY SOLICITING GIFTS OF REAL AND PERSONAL PROPERTY WHICH IT COLLECTS, ADMINISTERS AND DISTRIBUTES FOR THE BENEFIT OF THE UNIVERSITY OF WISCONSIN IN ADVANCING ITS SCIENTIFIC, LITERARY, ATHLETIC AND EDUCATIONAL PURPOSES. THERE IS NO FURTHER MONITORING OF THE USE OF GRANT FUNDS FOLLOWING DISBURSEMENT TO THE UNIVERSITY OF WISCONSIN. PART I, LINE 2 THE GRANT AND ASSISTANCE PAYMENTS ARE VERIFIED WITH INTERNAL DOCUMENTS TO ENSURE DONOR INTENT AND CRITERIA HAVE BEEN MET BEFORE THE PAYMENTS ARE MADE. X 1 1 X X X 0 1 0 1 0 0 0 1 0 MICHAEL M KNETTER PRESIDENT AND CEO/EX OFFICIO 543280 0 115808 0 12295 0 108000 0 21730 0 801113 0 0 0 JULIE M VAN CLEAVE CHIEF INVESTMENT OFFICER 608252 0 174950 0 1290 0 27500 0 1498 0 813490 0 0 0 THOMAS P OLSON CIO - PRIVATE MARKETS 403166 0 99663 0 690 0 27500 0 21730 0 552749 0 0 0 ALISA A ROBERTSON CHIEF ADVANCEMENT OFFICER 248931 0 43979 0 450 0 25474 0 20341 0 339175 0 0 0 KARI P MYRLAND CHIEF INFOR. OFFICER THRU 2/26/2019 208355 0 15000 0 1290 0 21029 0 7974 0 253648 0 0 0 GEOFFREY M MCCLOSKEY CHIEF FINANCIAL OFFICER 193173 0 0 0 690 0 19940 0 21727 0 235530 0 0 0 SCOTT T MCKINNEY CHIEF OPERATING OFFICER 194705 0 0 0 450 0 19665 0 8343 0 223163 0 0 0 JAMES P KENNEDY CHIEF MARKETING & COMM OFFICER 188560 0 10000 0 450 0 19531 0 21730 0 240271 0 0 0 SARAH SCHUTT CHIEF ALUMNI OFF & EXE DIR WAA 148716 0 0 0 690 0 15415 0 21514 0 186335 0 0 0 COLLETTE M CLEMENS CHIEF HR OFFICER - THRU 10/5/2018 158493 0 0 0 150 0 0 0 7510 0 166153 0 0 0 ANNE M LUCKE VICE PRESIDENT & MANAGING GROUP LEAD 189146 0 0 0 690 0 19219 0 7938 0 216993 0 0 0 RICHARD JAMES SHEPLEY SR. MANAGING DIRECTOR OF INVEST. - P 402595 0 131922 0 467 0 27500 0 21730 0 584214 0 0 0 BRAD W JOLIN VICE PRESIDENT & MANAGING GROUP LEAD 172335 0 0 0 450 0 17837 0 21628 0 212250 0 0 0 JODI KRISTINE PATEK VICE PRESIDENT OF STEWARDSHIP 158546 0 0 0 717 0 16226 0 14255 0 189744 0 0 0 NANCY FRANCISCO-WELKE VICE PRESIDENT & MANAGING GROUP LEAD 154019 0 208 0 690 0 15814 0 14790 0 185521 0 0 0 PART I, LINE 1A HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES: THE PERSONAL USE PORTION OF MICHAEL M. KNETTER'S COUNTRY CLUB MEMBERSHIP IN THE AMOUNT OF $4,154 WAS TREATED AS TAXABLE COMPENSATION. PART I, LINE 4B PERSONS PARTICIPATING IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN: MICHAEL M. KNETTER PARTICIPATES IN A 457(B) AND 457(F) SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN OF THE UNIVERSITY OF WISCONSIN FOUNDATION. THE UNIVERSITY OF WISCONSIN FOUNDATION CONTRIBUTED $18,500 AND $62,000, RESPECTIVELY TO THESE PLANS DURING 2018. PART I, LINE 5 COMPENSATION CONTINGENT ON REVENUES: THE PRESIDENT/CEO AND CHIEF ADVANCEMENT OFFICER PARTICIPATE IN AN INCENTIVE COMPENSATION ARRANGEMENT. THESE EXECUTIVES VARIABLE COMPENSATION IS BASED ON PERFORMANCE AGAINST A SCORECARD AND INCLUDES A COMPONENT BASED ON DEVELOPMENT DOLLARS RECEIVED. THE CATEGORIES AND METRICS ARE REVIEWED AND ADJUSTED ANNUALLY BY THE EXECUTIVE COMMITTEE. THERE IS ALSO A QUALITATIVE COMPONENT TO EACH SCORECARD. PART I, LINE 7 ORGANIZATION PROVIDING NON-FIXED PAYMENTS NOT DESCRIBED IN LINES 5 & 6: BEGINNING WITH CALENDAR YEAR 2007, THE INVESTMENT COMMITTEE OF THE UNIVERSITY OF WISCONSIN FOUNDATION BOARD INSTITUTED AN INCENTIVE COMPENSATION PLAN FOR SELECTED PARTICIPANTS OF THE UW FOUNDATION INVESTMENT MANAGEMENT GROUP. THE BOARD OF DIRECTORS AND THE PRESIDENT OF THE UNIVERSITY OF WISCONSIN FOUNDATION APPROVED THE ESTABLISHMENT OF THE PLAN WHICH IS DETAILED BELOW: PARTICIPANTS: CHIEF INVESTMENT OFFICER, SENIOR DIRECTORS OF INVESTMENTS AND OTHERS RECOMMENDED BY THE PRESIDENT AND CEO AND APPROVED BY THE INVESTMENT COMMITTEE AND THE EXECUTIVE COMMITTEE. INCENTIVE COMPENSATION: PARTICIPANTS ARE ELIGIBLE FOR AWARDS RANGING FROM ZERO TO 50% OF THEIR ANNUAL BASE CASH COMPENSATION EARNED IN THE FISCAL YEAR UNDER REVIEW. THE PRESIDENT AND CEO, IN CONSULTATION WITH THE CHAIR OF THE INVESTMENT COMMITTEE, RECOMMENDS APPROPRIATE PERCENTAGE AWARDS BASED UPON A RETROSPECTIVE ASSESSMENT OF PERFORMANCE AGAINST GOALS ON A SET OF WEIGHTED FACTORS CUSTOMIZED FOR EACH ELIGIBLE EMPLOYEE. THESE ASSESSMENTS ARE COMPLETED AS DATA BECOMES AVAILABLE FOR THE PRIOR FISCAL YEAR, AND ARE SUBSEQUENTLY PRESENTED TO THE EXECUTIVE COMMITTEE FOR APPROVAL. INCENTIVE COMPENSATION AWARDED UNDER THIS PLAN WILL NOT TRIGGER ADDITIONAL CONTRIBUTIONS TO THE FOUNDATION'S DEFINED CONTRIBUTION 401(K) PLAN. FACTORS TO CONSIDER: IN DETERMINING THE PERCENTAGE OF SALARY TO BE AWARDED, EACH ELIGIBLE PARTICIPANT WILL BE EVALUATED ON INVESTMENT RETURN RESULTS AS WELL AS NON-FINANCIAL FACTORS RELATED TO HIS/HER PERFORMANCE. THE SPECIFIC FACTORS, COMPARISONS, TIMEFRAMES AND WEIGHTINGS WILL BE DETERMINED BY THE INVESTMENT COMMITTEE CHAIR, IN CONSULTATION WITH THE PRESIDENT AND CEO, BASED ON EACH INDIVIDUAL PARTICIPANT'S ROLE, LENGTH OF SERVICE, ASSET CLASS RESPONSIBILITY AND OTHER RELEVANT FACTORS. THESE PERSONALIZED PERFORMANCE MEASURES WILL BE DOCUMENTED IN MATRICES, AND APPROVED BY THE EXECUTIVE COMMITTEE FOR EACH PARTICIPANT PRIOR TO THE BEGINNING OF THE FISCAL YEAR TO BE MEASURED. METHOD OF PAYMENT: PAYMENTS WILL BE AWARDED AS CASH OR DEFERRED COMPENSATION, THE LATTER SUBJECT TO APPROPRIATE IRS AND SEC REGULATIONS. PARTICIPANTS MAY SELECT THE FORM OF COMPENSATION IN INCREMENTS OF 25%. X 5378 OTHER X 6061 OTHER X 884 38284682 MARKET VALUE X 2 48 MARKET VALUE X 2 1979000 APPRAISAL X MISCELLANEOUS 82 677077 OTHER X LIFE INSURANCE POLICIES 2 246600 OTHER X GIFT CARDS 3 700 MARKET VALUE 13 0 1 1 PART I, COLUMN (B): COLUMN B REPORTING EXPLANATION: THE ORGANIZATION IS REPORTING NUMBER OF CONTRIBUTIONS IN COLUMN B OF SCHEDULE M, PART I. PART I, LINE 32B: THIRD PARTIES AND NON-CASH CONTRIBUTIONS: FOR NON-CASH CONTRIBUTIONS THAT ARE NOT TRANSFERRED TO THE UNIVERSITY OF WISCONSIN, THE UNIVERSITY OF WISCONSIN FOUNDATION HIRES REAL ESTATE AGENTS (AT ARM'S LENGTH) TO SELL REAL ESTATE, BROKERS WITHIN A NETWORK OF ACCOUNTS HELD IN THE FOUNDATION'S NAME TO SELL STOCK, AND A THIRD PARTY (AT ARM'S LENGTH) TO SELL ANY MISCELLANEOUS GOODS. FORM 990, PART VI, SECTION A, LINE 2 MICHAEL SHANNON AND SUSAN ENGELEITER BOTH SERVED AS DIRECTORS ON THE BOARD AND ARE BROTHER AND SISTER. FORM 990, PART VI, SECTION A, LINE 4 SIGNIFICANT CHANGES TO ORGANIZATIONAL DOCUMENTS: - THE BYLAWS WERE CHANGED TO REFLECT THE NAME OF THE BUDGET AND PEOPLE COMMITTEE (PREVIOUSLY THE BUDGET AND PERSONNEL COMMITTEE) - ITEM ADDED TO THE BYLAWS SPECIFYING THE PROCESS FOR COMMITTEE CHAIR SELECTION AND APPROVAL - CREATION OF THE ADVANCEMENT COMMITTEE (COMBO OF THE PREVIOUS DEVELOPMENT COMMITTEE AND ALUMNI RELATIONS AND ENGAGEMENT COMMITTEE) - ADDED CHIEF DEVELOPMENT OFFICER POSITION, AND CHANGED SCOTT'S TITLE TO CHIEF LEGAL OFFICER (PREVIOUSLY CHIEF OPERATING OFFICER). FORM 990, PART VI, SECTION B, LINE 11B PROCESS ORGANIZATION USES TO REVIEW FORM 990: THE FORM 990 IS PREPARED BY AN INDEPENDENT CERTIFIED PUBLIC ACCOUNTING FIRM. ONCE A DRAFT OF THE FORM 990 IS RECEIVED FROM THE INDEPENDENT CERTIFIED PUBLIC ACCOUNTING FIRM, A LINE BY LINE REVIEW OF THE RETURN IS COMPLETED BY THE DIRECTOR OF FINANCIAL REPORTING OF THE UNIVERSITY OF WISCONSIN FOUNDATION WHO IS A CERTIFIED PUBLIC ACCOUNTANT. THE RETURN IS ALSO REVIEWED BY THE CHIEF FINANCIAL OFFICER AND BY THE AUDIT COMMITTEE OF THE UNIVERSITY OF WISCONSIN FOUNDATION PRIOR TO FILING. THE FORM 990 IS PROVIDED TO ALL BOARD MEMBERS PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C HOW ORGANIZATION MONITORS AND ENFORCES CONFLICT OF INTEREST POLICY: ALL OFFICERS, DIRECTORS, KEY EMPLOYEES, AND EMPLOYEES OF THE UNIVERSITY OF WISCONSIN FOUNDATION ARE COVERED UNDER THE FOUNDATION'S CONFLICT OF INTEREST POLICY. OFFICERS, DIRECTORS, KEY EMPLOYEES, AND EMPLOYEES ARE TO DISCLOSE INTEREST THAT MAY LEAD TO A CONFLICT. OFFICERS, DIRECTORS, AND KEY EMPLOYEES COMPLETE AND SIGN A CONFLICT OF INTEREST QUESTIONNAIRE ANNUALLY. THE INTERESTED PARTY MUST FULLY DISCLOSE ANY POTENTIAL CONFLICTS AND COMPLETELY RECUSE HIM/HERSELF FROM DISCUSSION AND ANY RELATED VOTE. FORM 990, PART VI, SECTION B, LINE 15 PROCESS FOR DETERMINING COMPENSATION OF TOP MANAGEMENT: ANNUALLY THE EXECUTIVE COMMITTEE MEETS TO: 1) DETERMINE AND APPROVE THE PRESIDENT'S PAY, AND 2) REVIEW AND APPROVE THE PAY RECOMMENDATIONS MADE BY THE PRESIDENT FOR ALL OTHER OFFICERS. THE EXECUTIVE COMMITTEE IS COMPOSED OF THE FOLLOWING MEMBERS OF THE BOARD: CHAIRMAN, VICE CHAIR, ALUMNI RELATIONS & ENGAGEMENT COMMITTEE CHAIR, AUDIT COMMITTEE CHAIR, BUDGET & PEOPLE COMMITTEE CHAIR, DEVELOPMENT COMMITTEE CHAIR, GOVERNANCE & NOMINATING COMMITTEE CHAIR, AND INVESTMENT COMMITTEE CHAIR. THE EXECUTIVE COMMITTEE REVIEWS SALARY SURVEYS ADMINISTERED BY PROFESSIONAL COMPENSATION CONSULTANTS THAT INCLUDE BIG TEN, BIG 12 AND OTHER UNIVERSITY FOUNDATIONS AND DEVELOPMENT DEPARTMENTS. THE EXECUTIVE COMMITTEE USES THIS MARKET DATA IN CONJUNCTION WITH INDIVIDUAL JOB PERFORMANCE AND THE FOUNDATIONS COMPENSATION PHILOSOPHY TO BE COMPETITIVE ON A NATIONAL BASIS FOR SIMILAR JOBS IN SIMILAR ORGANIZATIONS AS A BASIS FOR REVIEWING AND APPROVING ANY RECOMMENDATIONS. ACTIONS TAKEN ARE REFLECTED IN THE MINUTES OF EACH COMMITTEE MEETING. MINUTES ARE DISTRIBUTED, REVIEWED, AND OFFICIALLY APPROVED AT SUBSEQUENT MEETINGS. FORM 990, PART VI, SECTION C, LINE 18 THE CONFLICT OF INTEREST POLICY IS AVAILABLE UPON REQUEST. FORM 990, PART VI, SECTION C, LINE 19 HOW ORGANIZATION MAKES DOCUMENTS AVAILABLE TO THE PUBLIC: THE FOLLOWING DOCUMENTS ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE AT: WWW.SUPPORTUW.ORG/ABOUT-US/TAX-LEGAL/ -RESTATED ARTICLES OF INCORPORATION -BY-LAWS -FORM 1023 APPLICATION FOR EXEMPTION -IRS TAX DETERMINATION LETTER -AUDITED FINANCIAL STATEMENTS -ANNUAL REPORTS -FORM 990 -FORM 990-T FORM 990, PART XII, LINE 2C: THE PROCESS DID NOT CHANGE FROM PRIOR YEAR. FORM 8621: FILING 8621 ON BEHALF OF UNIVERSITY OF WISCONSIN FOUNDATION UNIVERSITY OF WISCONSIN FOUNDATION OWNS A STAKE IN THE FOLLOWING PARTNERSHIPS WHICH HAVE INDIRECT INVESTMENTS IN PASSIVE FOREIGN INVESTMENT COMPANIES (PFICS), AND HAVE FILED FORM 8621 ON BEHALF OF UNIVERSITY OF WISCONSIN FOUNDATION: CERBERUS INSTITUTIONAL PARTNERS (SERIES THREE) CERBERUS INSTITUTIONAL PARTNERS (SERIES FOUR) LAZARD EMERGING MARKETS CORE EQUITY TRUST STEPSTONE UWF SECONDARY OPPORTUNITIES FUND, LP SERIES A STEPSTONE UWF SECONDARY OPPORTUNITIES FUND, LP SERIES B FORM 8886: DISCLOSURE OF REPORTABLE TRANSACTIONS THE FOLLOWING INVESTMENTS OF UNIVERSITY OF WISCONSIN FOUNDATION HAVE FILED FORM 8886 DISCLOSING REPORTABLE TRANSACTIONS. AS A LIMITED PARTNER IN THESE INVESTMENTS, UNIVERSITY OF WISCONSIN FOUNDATION'S ALLOCABLE SHARE FROM THE RESPECTIVE PASSTHROUGH ENTITIES DOES NOT EXCEED THE THRESHOLD AMOUNTS. THEREFORE, UNIVERSITY OF WISCONSIN FOUNDATION HAS NOT PARTICIPATED IN A LOSS TRANSACTION REPORTABLE ON FORM 8886: ACTIS EMERGING MARKETS 3 C, LP GLOBAL OPPORTUNISTIC FIXED INCOME PORTFOLIO HIGHBAR PARTNERS II, LP THE BLACKSTONE GROUP LP UW-MADISON SUPPORTING ORGANIZATION INC 1848 UNIVERSITY AVENUE MADISON WI 53726 391947636 SUPPORT ORG WI 501(C)(3) LINE 12A, I UNIV WI FDN 1 THE EVJUE FOUNDATION INC 1901 FISH HATCHERY ROAD MADISON WI 53713 396073981 SUPPORT ORG WI 501(C)(3) LINE 12A, I N/A 0 TERRY FAMILY FOUNDATION INC 125 N HAMILTON ST UNIT 1401 MADISON WI 53703 391831024 SUPPORT ORG WI 501(C)(3) LINE 12A, I N/A 0 CHARITABLE REMAINDER UNITRUST - 106 TRUST WI UW FOUNDATION T 1 CHARITABLE REMAINDER ANNUITY TRUST - 12 TRUST WI UW FOUNDATION T 1 POOLED INCOME FUND A - 11 PARTICIPANTS POOLED FUND WI UW FOUNDATION 1 POOLED INCOME FUND B - 5 PARTICIPANTS POOLED FUND WI UW FOUNDATION 1 POOLED INCOME FUND D - 1 PARTICIPANT POOLED FUND WI UW FOUNDATION 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 CHARITABLE REMAINDER UNITRUSTS - 3 S 402834 CASH VALUE POOLED INCOME FUND A - 1 S 113880 CASH VALUE POOLED INCOME FUND D - 1 S 23350 CASH VALUE SCHEDULE R, PART V, LINES 1N & 10 TRANSACTIONS WITH RELATED ORGANIZATIONS: THE UNIVERSITY OF WISCONSIN FOUNDATION SHARES FACILITIES, EQUIPMENT, AND PAID EMPLOYEES WITH THE UNIVERSITY OF WISCONSIN SUPPORTING ORGANIZATION; HOWEVER, THE EXACT DOLLAR AMOUNT OF SUPPORT PROVIDED IS NOT READILY DETERMINABLE.