2020-07-13T14:36:21-05:00 2019-08-31 990 2018-09-01 135562308 NEW YORK UNIVERSITY NEWY 2129982955 105 E 17TH STREET - 2ND FLOOR NEW YORK NY 100039580 MARTIN DORPH EXECUTIVE VICE PRESIDENT 2129982955 2020-07-13 128.122.29.141 2020-07-13 15:20:50 ED P 596187943F72C9E0548C5EE1C27C77E0320C28AB 596187943F72C9E0548C5EE1C27C77E0320C28AB 2018 2020-09-23 17:36:50Z MARTIN DORPH 105 E 17TH ST 4TH FL NEW YORK NY 100039580 9885045981 0 X WWW.NYU.EDU X 1831 NY NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 60,000 STUDENTS IN 20 SCHOOLS AND INSTITUTES. 60 56 45086 9088 302196 0 1238136656 1287796390 5458250242 6188707763 289099001 163662390 308132516 76928934 7293618415 7717095477 682712274 733196208 0 0 3831467461 4359303945 919700 1150020 44618529 2381130742 2774177292 6896230177 7867827465 397388238 -150731988 13490632029 14574664085 7652514502 8901885674 5838117527 5672778411 X NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 60,000 MATRICULATING STUDENTS IN 20 SCHOOLS AND INSTITUTES. NYU'S PRIMARY MISSIONS ARE EDUCATION, RESEARCH AND SCHOLARSHIP, AND PATIENT CARE. (CONTINUED ON SCHEDULE O) 0 0 1063187260 718501336 2695310000 EDUCATION: FOUNDED IN 1831, NYU IS AMONG THE LARGEST PRIVATE NOT-FOR-PROFIT RESEARCH UNIVERSITIES IN THE U.S., WITH 20 SCHOOLS AND INSTITUTES, APPROXIMATELY 5,000 FULL-TIME FACULTY MEMBERS, AND APPROXIMATELY 60,000 MATRICULATING STUDENTS. NYU ANNUALLY CONFERS OVER 16,000 UNDERGRADUATE, GRADUATE AND PROFESSIONAL DEGREES, AND PROVIDES OVER $300 MILLION PER YEAR IN SCHOLARSHIP AID TO UNDERGRADUATES. NYU HAS AN UNPARALLELED INTERNATIONAL PRESENCE WITH THREE DEGREE-GRANTING LIBERAL ARTS RESEARCH UNIVERSITY CAMPUSES (IN NEW YORK, ABU DHABI, AND SHANGHAI) AND 12 GLOBAL ACADEMIC SITES (FOR STUDY ABROAD) ON SIX CONTINENTS; SENDS MORE STUDENTS TO STUDY ABROAD THAN ANY OTHER U.S. COLLEGE OR UNIVERSITY; AND ENROLLS MORE INTERNATIONAL STUDENTS THAN ANY OTHER U.S. UNIVERSITY. 2544223838 2712042000 PATIENT CARE AND THE HEALTHCARE MISSION: NYU'S MEDICAL ACADEMIC PROGRAMS ARE A MAJOR ELEMENT OF THE UNIVERSITY'S MISSION. THE NYU SCHOOL OF MEDICINE WAS ESTABLISHED IN 1841; FROM ITS EARLIEST YEARS, IT HAS BEEN AT THE FOREFRONT OF ADVANCING THE MEDICAL PROFESSION AND MEDICAL RESEARCH, INCLUDING PARTICIPATING IN THE PROCESS THAT LED TO THE ESTABLISHMENT OF NEW YORK CITY'S HEALTH DEPARTMENT, ESTABLISHING THE FIRST OUTPATIENT CLINIC, ESTABLISHING THE FIRST LABORATORY DEVOTED TO TEACHING AND RESEARCH IN BACTERIOLOGY AND PATHOLOGY, CREATING THE FIRST DEPARTMENT OF FORENSIC MEDICINE, CREATING THE FIRST DEPARTMENT OF PHYSICAL MEDICINE AND REHABILITATION IN THE U.S., AND ESTABLISHING ONE OF THE FIRST MD-PHD PROGRAMS. ITS FACULTY AND GRADUATES HAVE INCLUDED NOBEL LAUREATES, THE DISCOVERER OF THE MOSQUITO AS THE SOURCE OF TRANSMISSION OF YELLOW FEVER, BOTH CREATORS OF THE POLIO VACCINE, AND THE RESEARCHERS WHO FOUND THE LINKAGE BETWEEN KAPOSI'S SARCOMA AND IMMUNE DEFICIENCY IN A DISTINCT POPULATION OF GAY MEN (A KEY STEP IN IDENTIFYING AIDS), AMONG OTHER LEADERS IN MEDICINE. THROUGH AFFILIATION AGREEMENTS, THE DOCTORS AND STUDENTS AT NYU SCHOOL OF MEDICINE PLAY A CRUCIAL ROLE IN ENSURING TOP QUALITY CARE NOT ONLY AT NYU LANGONE HEALTH, BUT ALSO AT THE MANHATTAN VA HOSPITAL AND BELLEVUE HOSPITAL (ARGUABLY THE FOREMOST PUBLIC HOSPITAL IN THE U.S.). THE NYU COLLEGE OF DENTISTRY, THE LARGEST DENTAL SCHOOL IN THE U.S. AND MOST COMPREHENSIVE ORAL HEALTH CENTER IN THE WORLD, CARES FOR SOME 50,000 POOR AND LOW INCOME NEW YORKERS EACH YEAR, OPERATES A MOBILE DENTAL CARE PROGRAM WHICH TRAVELS TO UNDERSERVED AREAS OF NEW YORK STATE, AND HAS ESTABLISHED A PROFESSION-LEADING CENTER TO SERVE THE ORAL HEALTH NEEDS OF THOSE WITH DISABILITIES. IN ADDITION, NYU HAS A COLLEGE OF GLOBAL PUBLIC HEALTH, AND NYU'S RORY MEYERS COLLEGE OF NURSING PROVIDES UNDERGRADUATE AND GRADUATE EDUCATION FOR OVER 1,400 NURSING STUDENTS. 864922882 759223170 RESEARCH AND SCHOLARSHIP: NYU IS A MAJOR RESEARCH INSTITUTION, WITH SIGNIFICANT SUPPORT FROM NIH, NSF AND OTHER FUNDERS; IT IS A TOP 25 INSTITUTION IN THE NSF'S ANNUAL HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY. THE RESEARCH AND CREATIVE OUTPUT OF NYU'S SCHOLARS HAVE LED TO THE RECEIPT OF NOBEL PRIZES; ABEL PRIZES; PULITZER PRIZES; GUGGENHEIMS; THE NATIONAL MEDAL OF THE ARTS; THE NATIONAL MEDAL OF SCIENCE; THE NATIONAL MEDAL OF TECHNOLOGY; NSF WATERMAN AWARDS; MAX PLANCK AWARDS; THE KAVLI PRIZE; MEMBERSHIP FOR DOZENS OF FACULTY IN THE NATIONAL ACADEMIES OF SCIENCES, ENGINEERING, AND MEDICINE; ACADEMY AWARDS; TONY AWARDS; AND GRAMMY AWARDS, AMONG MANY OTHER HONORS FOR THE UNIVERSITY'S FACULTY. NYU FACULTY FINDINGS ARE REGULARLY PUBLISHED IN TOP JOURNALS ACROSS A BROAD RANGE OF SCHOLARLY DISCIPLINES. NYU HAS LEADING PROGRAMS IN ECONOMICS, MATHEMATICS (AND PARTICULARLY APPLIED MATHEMATICS), NEUROSCIENCE, GENOMICS, SOFT CONDENSED MATTER PHYSICS, SOCIOLOGY, PHILOSOPHY, THE LAW, MEDICINE AND BIO-MEDICAL SCIENCES, THE CINEMATIC AND PERFORMING ARTS, AND BUSINESS AND FINANCE, AMONG MANY OTHER SCHOLARLY FIELDS. 2203112937 14694872 781355763 STUDENT SERVICES; STUDENT AID; LIBRARY; AND OPERATION AND MAINTENANCE OF PLANT. 2203112937 14694872 781355763 6675446917 1 0 0 1 0 0 1 1 0 1 1 1 0 0 1 0 0 1 1 1 1 0 1 1 1 0 0 1 1 1 1 1 0 0 0 0 1 0 1 1 1 1 1 0 0 0 1 1 1 1 0 1 X 62712 0 1 45086 1 1 1 1 AF AR AS BD VI CJ CH CY EZ FR GM GH GR IR EI IS IT JE SP AE UK 0 0 0 1 1 0 0 0 0 1 0 X 60 56 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 AK CO KY MD MA MI OH OK OR WA ME NH X KERRI TRICARICO 2129982913 105 E 17TH STREET 3RD FLOOR NEW YORK NY 100039345 RONALD D ABRAMSON TRUSTEE 2.00 X 0 0 0 RIMA AL MOKARRAB TRUSTEE (START: 12/5/2018) 2.00 X 0 0 0 KHALDOON KHALIFA AL MUBARAK TRUSTEE 2.00 X 0 0 0 TAFFI AYODELE TRUSTEE 2.00 X 0 0 0 PHYLLIS PUTTER BARASCH TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 MARIA BARTIROMO TRUSTEE 2.00 X 0 0 0 MARC H BELL TRUSTEE 2.00 X 0 0 0 WILLIAM R BERKLEY TRUSTEE & CHAIR 8.00 X X 0 0 0 ANDREA C BONOMI TRUSTEE 2.00 X 0 0 0 CASEY BOX TRUSTEE 2.00 X 0 0 0 SHARON CHANG TRUSTEE 2.00 X 0 0 0 EVAN R CHESLER TRUSTEE 2.00 X 0 0 0 STEVEN M COHEN TRUSTEE 2.00 X 0 0 0 STUYVIE COMFORT TRUSTEE 2.00 X 0 0 0 MICHAEL DENKENSOHN TRUSTEE 2.00 X 0 0 0 JINSONG DING TRUSTEE 2.00 X 0 0 0 FIONA DRUCKENMILLER TRUSTEE 2.00 X 0 0 0 GALE DRUKIER TRUSTEE 2.00 X 0 0 0 JOEL S EHRENKRANZ TRUSTEE 2.00 X 0 0 0 LUN FENG TRUSTEE 2.00 X 0 0 0 LAURENCE D FINK TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 LUIZ FRAGA TRUSTEE 2.00 X 0 0 0 JEFFREY GOULD TRUSTEE 2.00 X 0 0 0 LISA YOO HAHN TRUSTEE 2.00 X 0 0 0 BEVERLY HYMAN TRUSTEE 2.00 X 0 0 0 MITCHELL JACOBSON TRUSTEE (END: 6/1/2019) 2.00 X 0 0 0 BORIS JORDAN TRUSTEE 2.00 X 0 0 0 DAVID A KATZ TRUSTEE 2.00 X 0 0 0 JONATHAN C KIM TRUSTEE 2.00 X 0 0 0 ANDRE JL KOO TRUSTEE 2.00 X 0 0 0 JOSEPH LANDY TRUSTEE 2.00 X 0 0 0 MARK LESLIE TRUSTEE 2.00 X 0 0 0 BRIAN A LEVINE MD TRUSTEE 2.00 X 0 0 0 AMANDA LIPITZ TRUSTEE 2.00 X 0 0 0 MARTIN LIPTON TRUSTEE 2.00 X 0 0 0 KELLY KENNEDY MACK TRUSTEE 2.00 X 0 0 0 MIMI MD MARZIANI TRUSTEE 2.00 X 0 0 0 HOWARD MEYERS TRUSTEE 2.00 X 0 0 0 RUTHIE ANN MILES TRUSTEE 2.00 X 0 0 0 CONSTANCE J MILSTEIN TRUSTEE 2.00 X 0 0 0 DAVID C OXMAN TRUSTEE 2.00 X 0 0 0 JOHN PAULSON TRUSTEE 2.00 X 0 0 0 DASHA RETTEW TRUSTEE 2.00 X 0 0 0 CATHERINE B REYNOLDS TRUSTEE 2.00 X 0 0 0 BRETT B ROCHKIND TRUSTEE 2.00 X 0 0 0 WILLIAM C RUDIN TRUSTEE (END: 12/5/2018) 2.00 X 0 0 0 CONSTANCE SILVER TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 LARRY A SILVERSTEIN TRUSTEE 2.00 X 0 0 0 LISA SILVERSTEIN TRUSTEE 2.00 X 0 0 0 JAY STEIN TRUSTEE (END: 9/14/2018) 2.00 X 0 0 0 JOSEPH S STEINBERG TRUSTEE 2.00 X 0 0 0 JUDY STEINHARDT TRUSTEE 2.00 X 0 0 0 JESSICA SWARTZ TRUSTEE 2.00 X 0 0 0 ADAM TAKI TRUSTEE 2.00 X 0 0 0 CHANDRIKA TANDON TRUSTEE & VICE CHAIR 6.00 X X 0 0 0 DAVID A TANNER TRUSTEE 2.00 X 0 0 0 DANIEL R TISCH TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 WENLIANG WANG TRUSTEE 2.00 X 0 0 0 ANTHONY WELTERS TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 SHELBY WHITE TRUSTEE (END: 9/1/18) & VICE CHAIR 4.00 X X 0 0 0 LEONARD A WILF TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 SASCIA YUAN TRUSTEE 2.00 X 0 0 0 CHARLES ZEGAR TRUSTEE 2.00 X 0 0 0 ANDREW HAMILTON TRUSTEE & PRESIDENT 70.00 X X 1520282 0 536460 MARTIN DORPH EXECUTIVE VICE PRESIDENT 50.00 X 807875 0 52309 KATHERINE FLEMING PROVOST 50.00 X 932160 0 27697 ROBERT GROSSMAN EX-OFFICIO, DEAN & CEO 30.00 30.00 X 1712563 1712563 2554214 KENNETH G LANGONE VICE CHAIR 4.00 X 0 0 0 TERRANCE NOLAN GEN.COUNSEL & SECRETARY 50.00 X 679346 0 44869 STEPHANIE PIANKA CFO 50.00 X 515843 0 36853 PIETRINA SCARAGLINO ASSOCIATE SECRETARY 50.00 X 371155 0 52177 ANDREW BROTMAN SVP. & VICE DEAN 30.00 30.00 X 798010 798010 946496 THOMAS J CAREW DEAN OF FAS 50.00 X 546897 0 44869 LINDA CHIARELLI SNR. VP OF CAP PROJECTS & FACILITIES 50.00 X 722376 0 43213 KATHLEEN JACOBS CHIEF INVESTMENT OFFICER 50.00 X 1569372 0 23847 DAVID KOEHLER INT. SVP FOR DEVEL. (START: 5/1/18) 50.00 X 493816 0 40590 KEN MANOTTI SVP. FOR DEVELOPMENT (END: 4/30/18) 50.00 X 359800 0 34736 LINDA MILLS VC. GLOBAL PROGRAMS 50.00 X 695125 0 52309 JANINE WILCOX TREASURER 50.00 X 249660 0 33351 JOHN BENDO VICE CHAIR, CLINICAL AFFAIRS 59.70 0.30 X 3373666 15931 36804 ANTHONY K FREMPONG-BOADU DIR. DIV. OF SPINAL NEUROSURGERY 60.00 X 3240843 0 33885 RONNIE HERSHMAN CLINICAL INSTRUCTOR 60.00 X 2793476 0 36759 RALPH S MOSCA DIRECTOR, CONGENITAL HEART CENTER 60.00 X 3111111 0 34295 HOWARD ANTHONY RIINA DIRECTOR, NEUROSURGERY 59.40 0.60 X 2343467 24867 41590 ROBERT BERNE FORMER EVP. FOR HEALTH 50.00 X 1485755 0 44869 DAVID W MCLAUGHLIN FORMER PROVOST 50.00 X 424607 0 44869 JOHN E SEXTON FORMER PRESIDENT 50.00 X 712222 0 33346 DEBRA LAMORTE FORMER SVP. FOR DEVELOPMENT 50.00 X 334167 0 34478 29793594 2551371 4864885 7531 1 1 0 TURNER CONSTRUCTION COMPANY CORP 375 HUDSON STREET 6TH FL NEW YORK NY 10014 CONSTRUCTION 130734937 COLLINS BUILDING SERVICES INC COURT SQUARE PLACE 24-01 44TH ROAD LONG ISLAND CITY NY 11101 JANITORIAL 110915403 SUFFOLK CONSTRUCTION COMPANY INC ONE PENNSYLVANIA PLAZA SUITE 5500 NEW YORK NY 10119 CONSTRUCTION 82312435 GILBANE BUILDING COMPANY 7 JACKSON WALKWAY PROVIDENCE RI 02903 CONSTRUCTION 45747218 PST SERVICES INC 5995 WINDWARD PARKWAY ALPHARETTA GA 30005 COMPUTER & DATA PROCESSING 43513231 1401 9294182 956644 759223170 518322394 40518243 1287796390 PATIENT CARE 623990 2712042000 2712042000 TUITION & FEES 611600 2695310000 2695310000 OTHER PROGRAM SERVICES 611600 440846727 440846727 HOUSING & DINING 721310 340509036 340509036 6188707763 74788426 -6557097 81345523 9742751 9742751 74014426 51658951 22355475 22355475 844087 21511388 2203534976 2114661012 88873964 88873964 88873964 960155 9294182 665535 294620 294620 6757952 965006 5792946 5792946 OTHER AUX. ENTERPRISES 713940 11531086 6005856 5525230 FEDERAL DISASTER REC. 900099 -10828 -10828 27222884 9350 27213534 38743142 7717095477 6188707763 302196 240289128 14694872 14694872 515390936 515390936 203110400 203110400 9645268 8932263 634017 78988 3586400965 3272714211 288164121 25522633 193305402 177133274 14767628 1404500 396633562 364535391 28886103 3212068 173318748 157803472 14297198 1218078 811226 811226 17163857 13317388 3623023 223446 2576332 2088228 453092 35012 621162 481741 131344 8077 1150020 1150020 9191347 9191347 280935643 217872874 59408392 3654377 28509991 26524520 1985089 382 167773114 159531575 8183145 58394 72580337 38914907 33167716 497714 798893 798741 152 319896710 287988751 31906871 1088 139447519 121917142 15406300 2124077 10795163 7871228 2822677 101258 211650072 153101120 58548952 413097657 254442741 158654916 23502399 2567637 20931969 2793 SERVICE CONTRACT FEES 245917077 221584145 24321077 11855 CHANGES IN PENSION OBL. 196451000 196451000 REPAIR AND MAINTENANCE 140477226 124156296 16141262 179668 PENSION AND POSTRETIREM 11353000 11353000 480627567 327973064 147520402 5134101 7867827465 6675446917 1147762019 44618529 1076553952 1159827824 463805100 871586341 488399316 537361687 431246601 458516930 104000 100000 84097250 73292729 1265000 1023000 111214657 113859584 10866208452 4123866698 6240291587 6742341754 2040850287 1847890120 2242762000 2437438000 31549000 31549000 278493279 299877116 13490632029 14574664085 987440373 1084591242 872993000 910720000 2953127000 3580911000 300210000 457976000 1354874000 1435275000 1183870129 1432412432 7652514502 8901885674 X 2379097870 2076908633 1289423712 1356578049 2169595945 2239291729 5838117527 5672778411 13490632029 14574664085 -150731988 -14607128 0 X X 0 1 X 1 1 1 X 1019592114 1044889535 1125243260 1238136656 1287796390 5715657955 1019592114 1044889535 1125243260 1238136656 1287796390 5715657955 5715657955 132377284 107958668 128510326 134756741 148802852 652405871 6042645 7871518 3754460 1114320 302196 19085139 120171437 188804244 294821089 160328151 46461249 810586170 7197735135 25328562099 0.79410 0.75630 X PART II LINE 10 OTHER INCOME INCLUDES OTHER AUXILIARY ENTERPRISES AND OTHER MISCELLANEOUS INCOME. 1 1 0 1 250 0 1 9295 1 621162 0 1 11934 642641 0 PART 11-B LINE 1 NYU UTILIZES VOLUNTEERS AS PART OF NYU IN ALBANY DAY. NYU UTILIZES PAID EMPLOYEES TO HAVE MINIMAL CONTACT WITH ELECTED OFFICIALS. ADDITIONALLY, NYU HAS FOUR PRINCIPAL LOBBYISTS ON RETAINER WHO HAVE DIRECT CONTACT WITH LEGISLATORS AND STAFF CONCERNING UNIVERSITY MATTERS. NYU SENDS LETTERS TO FEDERAL, STATE, AND LOCAL OFFICIALS ON PUBLIC POLICY. A SMALL PERCENTAGE OF MEMBERSHIP DUES THE UNIVERSITY PAYS TO THE FOLLOWING ASSOCIATIONS ARE REPORTED: AAU (ASSOCIATION OF AMERICAN UNIVERSITIES), NAICU (NATIONAL ASSOCIATION OF INDEPENDENT COLLEGES AND UNIVERSITIES) AND TSC (THE SCIENCE COALITION). X 1 0.28 1 1 1 0 0 X X X X 0 4182457447 155303286 120707053 49059790 206374509 19709397 4183324090 4039147077 178132991 318063963 45129982 301880923 5875679 4182457447 3551832192 231429703 453330554 39552001 155148796 2744575 4039147077 3440122879 169200278 125109083 36319292 141280466 5000290 3551832192 3398521211 178208969 42883564 32408574 140961222 6121069 3440122879 0.32000 0.68000 1 0 169526000 169526000 8302467605 3478699095 4823768510 482535000 482535000 1103777847 645167603 458610244 807902000 807902000 6742341754 CASH & OTHER 1374965 F EQUITY SECURITIES 888743421 F FIXED INCOME SECURITIES 2447120 F HEDGE FUNDS 787114819 F NATURAL RESOURCES 74550319 F OPPORTUNISTIC & CREDIT 164549063 F PRIVATE EQUITY 287154018 F REAL ASSETS 190837275 F SPLIT INTEREST AGREEMENTS 36364000 F SHORT-TERM INVESTMENTS 4303000 F 2437438000 ACCRUED BENEFIT OBLIGATION 148793000 ACCRUED POST RETIREMENT OBLIGATION 737580444 ASSET RETIREMENT OBLIGATION 220881000 DUE TO AFFILIATES 35988 FUNDS HELD FOR OTHERS 325122000 1432412432 PART III, LINE 1A: THE UNIVERSITY DOES NOT ASSIGN VALUES TO COLLECTION ITEMS. COLLECTION ITEMS ARE GENERALLY HELD FOR EDUCATIONAL PURPOSES AND ARE NOT DISPOSED OF FOR FINANCIAL GAIN OR OTHERWISE ENCUMBERED IN ANY MANNER. PART III, LINE 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 BALANCE SHEET. COSTS ASSOCIATED WITH ACQUISITION AND MAINTENANCE OF THESE COLLECTIONS ARE RECORDED AS EXPENSES IN THE PERIOD IN WHICH THEY ARE INCURRED. PART V, LINE 4: NYU'S ENDOWMENT CONSISTS OF INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES SUCH AS: PROGRAM SUPPORT, FACULTY AND STAFF SALARIES, SCHOLARSHIPS AND FELLOWSHIPS, LIBRARY BOOKS, RESEARCH, BUILDINGS AND EQUIPMENT, AND STUDENT ASSISTANCE. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 ALL ADVERTISEMENTS AND MARKETING MATERIALS, INCLUDING ADVERTISEMENTS IN NEWSPAPERS, CONTAIN THE NYU NONDISCRIMINATION POLICY STATEMENT. ADDITIONALLY, THE UNIVERSITY'S WEB-SITE (WWW.NYU.EDU) PROMINENTLY FEATURES INSTITUTIONAL POLICIES ON NONDISCRIMINATION AND EQUAL OPPORTUNITY. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY RECEIVES FINANCIAL ASSISTANCE FROM VARIOUS FEDERAL, STATE & LOCAL AGENCIES. 0 CENTRAL AMERICA 1 1 EDUCATION/RESEARCH INSTRUCTION 740409 EAST ASIA AND THE PACIFIC 2 8 EDUCATION/RESEARCH INSTRUCTION 7080242 EUROPE 13 148 EDUCATION/RESEARCH INSTRUCTION 66470279 MIDDLE EAST AND NORTH AFRICA 2 453 EDUCATION/RESEARCH INSTRUCTION 214941024 SOUTH AMERICA 1 10 EDUCATION/RESEARCH INSTRUCTION 3860110 SUB-SAHARAN AFRICA 3 44 EDUCATION/RESEARCH INSTRUCTION 4619543 SOUTH ASIA 1 10 EDUCATION/RESEARCH INSTRUCTION 389210 NORTH AMERICA 0 0 EDUCATION/RESEARCH INSTRUCTION 320492 RUSSIA AND NEIGHBORING STATES 0 0 EDUCATION/RESEARCH INSTRUCTION 5076 CENTRAL AMERICA 0 0 INVESTMENTS 584973337 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 39442341 EUROPE 0 0 INVESTMENTS 69955528 23 674 0 0 23 674 298421309 694376282 992797591 SCHOLARSHIPS, FELLOWSHIPS, GRANTS CENTRAL AMERICA AND THE CARIBBEAN 235 7166246 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EAST ASIA AND THE PACIFIC 3060 61167184 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EUROPE 913 31796267 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS MIDDLE EAST & NORTH AFRICA 543 28931738 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS NORTH AMERICA 386 10413740 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS RUSSIA-NEWLY INDEPENDENT 191 8758265 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SOUTH AMERICA 469 12275903 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS. GRANTS SOUTH ASIA 1183 29674364 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SUB-SAHARAN AFRICA 274 10890096 CREDIT TO BURSAR ACCOUNTS 1 0 1 1 1 1 PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS OUTSIDE THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID CONTINUOUSLY MONITORS STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X X X X 1 RUFFALO NOEL LEVITZ 1025 KIRKWOOD PKWY SW CEDAR RAPIDS IA 52404 PHONATHON 0 2157075 1150020 1007055 2157075 1150020 1007055 AL AK AR CA CO CT FL GA HI IL KS KY LA MA ME MD MI MN MO MS NC ND NH NJ NM NY OH OK OR PA RI SC TN UT VA WA WI WV DC FACES GALA 5434007 5286007 148000 252894 INTL HOSPITALITY INDUSTRY CONF. 2125150 1627600 497550 191264 28 2695180 2380575 314605 221377 10254337 9294182 960155 665535 665535 294620 1 BOWERY RESIDENTS' COMMITTEE INC 131 WEST 25TH STREET NEW YORK NY 10001 132736659 501(C)(3) 15000 SUPPORT BRIC ARTS MEDIA BROOKLYN INC 647 FULTON ST BROOKLYN NY 11217 112547268 501(C)(3) 22500 SUPPORT CENTER FOR ARCHITECTURE 403 NW 11TH AVE PORTLAND OR 97209 264324314 501(C)(3) 5400 SUPPORT DOWNTOWN BROOKLYN PARTNERSHIP 1 METRO TECH CENTER BROOKLYN NY 11201 205323707 501(C)(3) 11500 SUPPORT DUMBO DISTRICT MANAGEMENT ASSOCIATION INC 20 JAY ST STE 510 BROOKLYN NY 11201 200214837 501(C)(3) 10000 SUPPORT EDUCATION ALLIANCE 1001 CENTENNIAL WAY STE 200 LANSING MI 48917 383447406 501(C)(3) 5000 SUPPORT FIGHT FOR SIGHT INC 200 CENTRAL PARK S APT 28C NEW YORK NY 10019 136195863 501(C)(3) 9000 SUPPORT FRACTURED ATLAS INC 228 PARK AVENUE SOUTH 56651 NEW YORK NY 100031502 113451703 501(C)(3) 5000 SUPPORT GREENWICH HOUSE INC 122 WEST 27TH STREET 6TH FLOOR BROOKLYN NY 11201 135562204 501(C)(3) 14000 SUPPORT NATIONAL CENTER ON PHILANTHROPY AND THE LAW 110 WEST 3RD STREET - DAGOSTINO HALL NEW YORK NY 10012 133954405 501(C)(3) 290000 SUPPORT NEW YORK BUILDING CONGRESS 1040 AVENUE OF THE AMERICAS FL 21 NEW YORK NY 10018 131097030 501(C)(6) 25000 SUPPORT NEW YORKERS FOR PARKS 55 BROAD STREET 23RD FLOOR NEW YORK NY 10004 136167879 501(C)(3) 10000 SUPPORT UNION SQUARE PARTNERSHIP 122 WEST 27TH STREET 6TH FLOOR BROOKLYN NY 11201 133004730 501(C)(3) 13000 SUPPORT UNITED WAY OF NEW YORK CITY 2 PARK AVENUE NEW YORK NY 10016 132617681 501(C)(3) 28411 SUPPORT UNIVERSITY SETTLEMENT SOCIETY OF NEW YORK 184 ELDRIDGE STREET NEW YORK NY 10002 135562374 501(C)(3) 10000 SUPPORT VILLAGE ALLIANCE DISTRICT MANAGEMENT ASSOCIATION INC 8 EAST 8TH STREET NEW YORK NY 10003 133743340 501(C)(3) 7500 SUPPORT VILLAGECARE FOUNDATION 120 BROADWAY SUITE 2840 NEW YORK NY 10271 133471553 501(C)(3) 8000 SUPPORT WASHINGTON SQUARE PARK CONSERVANCY INC WASHINGTON SQUARE PARK NEW YORK NY 10011 461406128 501(C)(3) 15000 SUPPORT 17 1 STUDENT FINANCIAL AID 27740 515390936 PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS IN THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X X 1 1 X X X X X X 0 1 0 1 0 0 0 0 0 ANDREW HAMILTON TRUSTEE & PRESIDENT 1520282 0 0 0 0 0 343470 0 192990 0 2056742 0 0 0 MARTIN DORPH EXECUTIVE VICE PRESIDENT 752414 0 0 0 55461 0 27500 0 24809 0 860184 0 0 0 KATHERINE FLEMING PROVOST 824160 0 0 0 108000 0 27500 0 197 0 959857 0 0 0 ROBERT GROSSMAN EX-OFFICIO, DEAN & CEO 1672589 1672589 0 0 39974 39974 1273670 1273670 3437 3437 2989670 2989670 0 0 TERRANCE NOLAN GEN.COUNSEL & SECRETARY 679346 0 0 0 0 0 27500 0 17369 0 724215 0 0 0 STEPHANIE PIANKA CFO 491193 0 24650 0 0 0 27500 0 9353 0 552696 0 0 0 PIETRINA SCARAGLINO ASSOCIATE SECRETARY 371155 0 0 0 0 0 27500 0 24677 0 423332 0 0 0 ANDREW BROTMAN SVP. & VICE DEAN 793709 793709 0 0 4301 4301 473248 473248 0 0 1271258 1271258 0 0 THOMAS J CAREW DEAN OF FAS 546897 0 0 0 0 0 27500 0 17369 0 591766 0 0 0 LINDA CHIARELLI SNR. VP OF CAP PROJECTS & FACILITIES 672376 0 50000 0 0 0 27500 0 15713 0 765589 0 0 0 KATHLEEN JACOBS CHIEF INVESTMENT OFFICER 735707 0 833665 0 0 0 13750 0 10097 0 1593219 0 0 0 DAVID KOEHLER INT. SVP FOR DEVEL. (START: 5/1/18) 375693 0 118123 0 0 0 23221 0 17369 0 534406 0 0 0 KEN MANOTTI SVP. FOR DEVELOPMENT (END: 4/30/18) 356460 0 0 0 3340 0 27500 0 7236 0 394536 0 0 0 LINDA MILLS VC. GLOBAL PROGRAMS 695125 0 0 0 0 0 27500 0 24809 0 747434 0 0 0 JANINE WILCOX TREASURER 240086 0 9574 0 0 0 24190 0 9161 0 283011 0 0 0 JOHN BENDO VICE CHAIR, CLINICAL AFFAIRS 3106750 14671 236351 1116 30565 144 26670 126 9961 47 3410297 16104 0 0 ANTHONY K FREMPONG-BOADU DIR. DIV. OF SPINAL NEUROSURGERY 3239746 0 0 0 1097 0 26751 0 7134 0 3274728 0 0 0 RONNIE HERSHMAN CLINICAL INSTRUCTOR 2789992 0 0 0 3484 0 26751 0 10008 0 2830235 0 0 0 RALPH S MOSCA DIRECTOR, CONGENITAL HEART CENTER 3107157 0 0 0 3954 0 27500 0 6795 0 3145406 0 0 0 HOWARD ANTHONY RIINA DIRECTOR, NEUROSURGERY 2261915 24002 79472 843 2080 22 27211 289 13942 148 2384620 25304 0 0 ROBERT BERNE FORMER EVP. FOR HEALTH 1485755 0 0 0 0 0 27500 0 17369 0 1530624 0 0 0 DAVID W MCLAUGHLIN FORMER PROVOST 399607 0 0 0 25000 0 27500 0 17369 0 469476 0 0 0 JOHN E SEXTON FORMER PRESIDENT 494511 0 0 0 217711 0 24500 0 8846 0 745568 0 0 0 DEBRA LAMORTE FORMER SVP. FOR DEVELOPMENT 334167 0 0 0 0 0 25000 0 9478 0 368645 0 0 0 PART I, LINE 1A ONE FORMER OFFICER TRAVELED FIRST CLASS FOR BUSINESS TRAVEL WHICH WAS DETERMINED TO BE AN ORDINARY AND NECESSARY BUSINESS EXPENSE AND THEREFORE NOT TREATED AS TAXABLE INCOME. THE SPOUSE OF ONE OFFICER ON OCCASION ACCOMPANIED THE OFFICER ON UNIVERSITY BUSINESS. THE PRIMARY PURPOSE OF THE TRAVEL WAS TO CONDUCT UNIVERSITY BUSINESS INCLUDING SUPPORTING UNIVERSITY RELATIONS, CULTIVATING DONORS FOR THE PURPOSE OF LOCAL, NATIONAL, AND INTERNATIONAL FUNDRAISING, ASSISTING WITH OFFICIAL EVENTS FOR FACULTY, TRUSTEES, DONORS, ALUMNI, COMMUNITY AND REPRESENTING THE UNIVERSITY AT OFFICIAL FUNCTIONS. UNDER APPLICABLE RULES, THE COST OF THE TRAVEL WAS NOT REQUIRED TO BE REPORTED AS TAXABLE COMPENSATION TO THE OFFICER. ONE OFFICER RECEIVED UNIVERSITY HOUSING WITHOUT CHARGE. THE HOUSING QUALIFIED FOR EXCLUSION FROM TAX UNDER IRC 119. ONE OFFICER HAD A CAR AND DRIVER AVAILABLE FOR USE, AND INCOME WAS IMPUTED ON THE PERSONAL USE OF THE VEHICLE AND DRIVER. ONE FORMER OFFICER AND ONE OFFICER RECEIVED TAX GROSS-UP PAYMENTS WHICH WERE INCLUDED IN THEIR TAXABLE INCOMES. PART I, LINE 4B PRESIDENT EMERITUS SEXTON RECEIVED CERTAIN RETIREMENT PAYMENTS (THE "SERP ANNUAL PAYMENTS") REDUCED BY RETIREMENT PAYMENTS OTHERWISE OWED TO DR. SEXTON AND TAX PAYMENTS MADE ON HIS BEHALF THAT HAVE BEEN PREVIOUSLY DISCLOSED. PRESIDENT HAMILTON SHALL RECEIVE A PAYMENT OF TWO HUNDRED FIFTY THOUSAND DOLLARS IN DEFERRED COMPENSATION FOR EVERY YEAR OF COMPLETED SERVICE AS PRESIDENT SHOULD HE SERVE THE ENTIRE FIVE YEAR TERM. EACH ANNUAL INSTALLMENT SHALL BE CREDITED WITH EARNINGS AT A RATE AGREED UPON BETWEEN DR. HAMILTON AND THE UNIVERSITY. ROBERT GROSSMAN, MD - DEAN OF NYU SCHOOL OF MEDICINE- PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN (SERP) DURING CALENDAR YEAR 2018. THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $2,519,839 FOR CALENDAR YEAR 2018. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYU LANGONE HOSPITALS AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL SERP CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN. ANDREW BROTMAN, MD - SENIOR VICE PRESIDENT AND VICE DEAN- PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN (SERP) DURING CALENDAR YEAR 2018. THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $918,996 FOR CALENDAR YEAR 2018. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYU LANGONE HOSPITALS AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL SERP CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. BROTMAN. PART I, LINE 5 TWO OF THE HIGHEST PAID EMPLOYEES RECEIVED COMPENSATION OVER A BASE SALARY BASED ON THE SURPLUS OF REVENUE AFTER EXPENSES FOR THE FACULTY GROUP PRACTICE. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK DASNY (CUSIP # 649906TQ7) 146000293 649906TQ7 2012-04-26 232921461 SEE SUPPLEMENTAL INFORMATION 0 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906VS0) 146000293 649906VS0 2012-05-17 61224691 SEE SUPPLEMENTAL INFORMATION 0 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907WP3) 146000293 649907WP3 2013-10-08 135927356 SEE SUPPLEMENTAL INFORMATION 0 0 0 D DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 000000000) 146000293 000000000 2014-10-28 55000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 43085000 232945093 183180000 46144013 3621080 2015 1 0 1 1 B 61226336 60767589 458747 2013 0 0 1 1 C 12730000 135970344 135963320 7024 2015 0 0 1 1 D 2790000 55000000 55000000 2014 0 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 0.00060 0.01310 0.01370 0 0 1 D 0 1 1 1 1 1 0.01190 0.00060 0.01250 0 0 1 A 0 0 0 1 0 0 0 1 B 0 0 0 1 0 0 0 1 C 0 0 0 1 0 0 0 1 D 0 0 0 1 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DASNY (CUSIP # 64 DATE THE REBATE COMPUTATION WAS PERFORMED: 10/31/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906VS DATE THE REBATE COMPUTATION WAS PERFORMED: 11/30/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907WP DATE THE REBATE COMPUTATION WAS PERFORMED: 10/08/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 00000000 DATE THE REBATE COMPUTATION WAS PERFORMED: 10/28/2014 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990BFE DATE THE REBATE COMPUTATION WAS PERFORMED: 04/22/2015 ALL BONDS: SCHEDULE K, PART II, LINE 6 REFLECTS ORIGINAL REFUNDING BOND PROCEEDS DEPOSITED IN REFUNDING ESCROWS. ESCROW BALANCE MAY BE LOWER AT PRESENT AS BONDS WERE CALLED/DEFEASED. SCHEDULE K, PART II, LINE 13: YEAR OF SUBSTANTIAL COMPLETION REFERS TO THE CALENDAR YEAR. SCHEDULE K, PART I (F), DESCRIPTION OF PURPOSE: BOND SET #1 - NYU BOND (A) DASNY (CUSIP# 649906TQ7 ) TO: (I) PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF COSTS OF THE SERIES 2012A PROJECT WHICH CONSISTS OF RENOVATION, FURNISHING AND EQUIPPING OF AN ACADEMIC BUILDING TO BE USED BY THE NYU SCHOOL OF LAW AND THE ACQUISITION, RENOVATION, FURNISHING AND EQUIPPING OF A CONDOMINIUM UNIT TO BE USED FOR ADMINISTRATIVE OFFICES; (II) REFUND OR REIMBURSE THE UNIVERSITY FOR THE REFUNDING OF ALL OR A PORTION OF THE NEW YORK CITY INDUSTRIAL DEVELOPMENT AGENCY CIVIC FACILITY REVENUE BONDS, SERIES 2001 AND THE DASNY NEW YORK UNIVERSITY INSURED REVENUE BONDS, 2001 SERIES 2; AND (III) TO REPAY A LINE OF CREDIT USED TO PAY THE DASNY INSURED REVENUE BONDS, SERIES 2003B. BOND (B) DASNY ( CUSIP # 649906VS0) TO PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF, COSTS OF THE SERIES 2012 PROJECT WHICH CONSISTS OF THE ACQUISITION, CONSTRUCTION, FURNISHING AND EQUIPPING OF THE UNIVERSITY'S PORTION OF A BUILDING LOCATED ON CAMPUS. BOND (C) DASNY ( CUSIP #649907WP3) TO FINANCE OR REFINANCE THE COST OF THE ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2013A PROJECT WHICH INCLUDES MULTIPLE FACILITIES ON CAMPUS. BOND (D) DASNY (NO CUSIP - PRIVATE PLACEMENT, SERIES 2014A) TO REFUND THE DASNY INSURED REVENUE BONDS, SERIES 2004A. BOND SET #2 - NYU BOND (A) DASNY (CUSIP# 64990BFE8) TO (I) TO REFUND A PORTION OF THE DASNY SERIES 2007A, SERIES 2008A, SERIES 2008B AND SERIES 2008C BONDS; AND (II) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2015A PROJECT, WHICH COVERS MULTIPLE FACILITIES ON CAMPUS. BOND (B) DASNY (CUSIP# 64990CEC1) TO (I) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2016 PROJECT, AND (II) TO PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2016 BONDS. BOND (C) DASNY (CUSIP# 64990CC90) TO (I) FINANCE OR REFINANCE THE COST OF THE SERIES 2017 PROJECT AND (II) TO REFUND A PORTION OF THE DASNY REVENUE BONDS SERIES 2009A, 2009B, AND NYC IDA CIVIC FACILITY REFUNDING REVENUE BONDS (2007 POLYTECHNIC UNIVERSITY PROJECT). BOND (D) DASNY (CUSIP# 64990C7S4) TO (I) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2018 PROJECT. BOND SET #3 - NYU BOND (A) DASNY (CUSIP # 64990GJT0) TO (I) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2019 PROJECT. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990BFE8) 146000293 64990BFE8 2015-04-22 785388019 SEE SUPPLEMENTAL INFORMATION 0 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990CEC1) 146000293 64990CEC1 2016-06-14 687667333 SEE SUPPLEMENTAL INFORMATION 0 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990CC90) 146000293 64990CC90 2017-06-01 522276122 SEE SUPPLEMENTAL INFORMATION 0 0 0 D DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990C7S4) 146000293 64990C7S4 2018-05-17 398392192 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 25130000 785388019 680315991 105060856 11172 2015 1 0 0 1 B 692193649 4937 679145692 13043021 2019 0 0 0 1 C 3015000 522276122 368455700 153815041 5381 2017 1 0 1 1 D 1055000 402376611 370834683 31541929 2021 0 0 0 1 A 0 1 1 1 1 1 0.00890 0.00720 0.01610 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 0.00010 0.00070 0.00080 0 0 1 D 0 1 1 1 1 1 0.00030 0.00350 0.00380 0 0 1 A 0 0 0 1 0 0 0 1 B 0 1 0 0 0 0 0 1 C 0 1 0 0 0 0 0 1 D 0 1 0 0 0 0 0 1 A 1 B 1 C 1 D 1 A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990GJT0) 146000293 64990GJT0 2019-02-22 705122518 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 709449837 137961232 571488605 2021 0 0 1 1 A 0 1 1 1 1 1 0.00000 0.00060 0.00060 0 0 1 A 0 0 0 1 0 0 0 1 A 1 ANDREW BROTMAN EMPLOYEE MORTGAGE X 100000 100000 0 1 1 100000 JOHN SAUNDERS SON IN LAW TRUSTEE W. BERKLEY 234862 EMPLOYEE 0 R SALK DAUGHTER IN LAW FMR OFF R. BERNE 95018 EMPLOYEE 0 DR MARCI LEVINE SISTER TRUSTEE B. LEVINE 288455 EMPLOYEE 0 L CHIARELLI SPOUSE KEY EMP L CHIARELLI 157403 EMPLOYEE 0 ZVI BEN DOR HUSBAND OFF. K. FLEMING 401839 EMPLOYEE 0 ELISABETH COHEN SPOUSE OFF. R. GROSSMAN 412871 EMPLOYEE 0 LAURIE BROTMAN SPOUSE KEY EMP A. BROTMAN 401371 EMPLOYEE 0 MAURA HOFSTADTER DTR KEY EMP T. CAREW 163233 EMPLOYEE 0 HARVEY DALE (SPOUSE) FMR KE D. LAMORTE 233160 EMPLOYEE 0 OGDEN CAP PROPERTIES LLC (CONTROLLED CORP) TRUSTEE C. MILSTEIN 3836158 LEASE SPACE 0 32 SIXTH AVENUE COMPANY LLC TRUSTEE W. RUDIN 1931844 LEASE SPACE 0 X 65 76357 SEE SCHEDULE O X 30811 SEE SCHEDULE O X 1462232 SEE SCHEDULE O X 406 37551170 SEE SCHEDULE O X 1 466100 SEE SCHEDULE O X 1 17500 SEE SCHEDULE O X 46 12773 SEE SCHEDULE O X 3036 440974 SEE SCHEDULE O X MAGS, RECORDS & CASSETTES 28979 428150 SEE SCHEDULE O X OTHER MISC. 32 18132 SEE SCHEDULE O X SPORTING GDS & APPAREL 92 10259 SEE SCHEDULE O X INSURANCE 1 3785 SEE SCHEDULE O 5 0 1 0 FORM 990, PART VI, SECTION A, LINE 2 1) LARRY SILVERSTEIN (TRUSTEE) AND LISA SILVERSTEIN (TRUSTEE) HAD A FAMILY RELATIONSHIP DURING THE YEAR ENDED AUGUST 31, 2019. FORM 990, PART VI, SECTION A, LINE 6 THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7A THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7B THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION B, LINE 11B THE FOLLOWING STEPS WERE TAKEN TO REVIEW THIS IRS FORM 990: 1. THE FORM 990 WAS REVIEWED AND APPROVED BY THE UNIVERSITY CONTROLLER. 2. THE FORM 990 WAS THEN REVIEWED AND APPROVED BY THE UNIVERSITY'S CHIEF FINANCIAL OFFICER, THE UNIVERSITY'S EXECUTIVE VICE PRESIDENT AND OFFICE OF GENERAL COUNSEL. 3. THE FORM 990 WAS THEN PRESENTED TO THE UNIVERSITY'S AUDIT AND COMPLIANCE COMMITTEE FOR REVIEW. 4. THE FORM 990 WAS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES FOR REVIEW. 5. THE COMPENSATION COMMITTEE OF BOARD OF TRUSTEES REVIEWED THE COMPENSATION SECTIONS OF THE FORM 990. 6. FOLLOWING THE REVIEW PERIOD, THE FORM 990 WAS ELECTRONICALLY FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C THE OFFICE OF GENERAL COUNSEL ANNUALLY SENDS OUT CONFLICT OF INTEREST QUESTIONNAIRES TO OFFICERS, TRUSTEES AND KEY EMPLOYEES, REVIEWS COMPLETED QUESTIONNAIRES AND CONSULTS WITH THOSE COMPLETING FORMS AS APPROPRIATE. IN ADDITION, QUESTIONS ARISE PERIODICALLY THROUGHOUT THE YEAR AND ARE HANDLED BY THE OFFICE OF GENERAL COUNSEL AS APPROPRIATE. FORM 990, PART VI, SECTION B, LINE 15 THE PROPOSED COMPENSATION OF OFFICERS, TRUSTEES, KEY EMPLOYEES, DISQUALIFIED PERSONS AND CERTAIN OTHERS (EXCEPT THE PRESIDENT) IS REVIEWED ANNUALLY BY AN OUTSIDE CONSULTING FIRM AND THAT FIRM'S ANALYSIS IS PRESENTED TO THE COMPENSATION COMMITTEE OF THE BOARD FOR ITS REVIEW AND APPROVAL. WHEN IT IS PROPOSED TO CHANGE THE COMPENSATION OF THE PRESIDENT, THE BOARD CHAIRMAN ENGAGES A COMPENSATION CONSULTANT TO PREPARE A CUSTOM SURVEY FOR CONSIDERATION BY THE COMPENSATION COMMITTEE OF THE BOARD, WHICH THEN SETS HIS COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE ON ITS WEBSITE (WWW.NYU.EDU). FORM 990, PART XII, LINE 2C THE AUDIT AND COMPLIANCE COMMITTEE OF THE BOARD OF TRUSTEES HAS RESPONSIBILITY FOR OVERSIGHT OF NYU'S FINANCIAL STATEMENT AUDIT AND SELECTION OF ITS INDEPENDENT AUDITOR. THERE HAS BEEN NO CHANGE IN PROCESS SINCE PRIOR YEAR. FORM 990 PART III, LINE 1 - (CONTINUED FROM PAGE 2) NYU IS RECOGNIZED BOTH NATIONALLY AND INTERNATIONALLY AS A LEADER IN SCHOLARSHIP AND IS A MEMBER OF THE DISTINGUISHED ASSOCIATION OF AMERICAN UNIVERSITIES. THE UNIVERSITY'S SCHOOLS AND INSTITUTES, EACH WITH ITS OWN TRADITIONS, PROGRAMS AND FACULTY, ARE (IN ORDER OF FOUNDING DATE): COLLEGE OF ARTS AND SCIENCE, SCHOOL OF LAW, SCHOOL OF MEDICINE, COLLEGE OF DENTISTRY, GRADUATE SCHOOL OF ARTS AND SCIENCE, STEINHARDT SCHOOL OF CULTURE EDUCATION AND HUMAN DEVELOPMENT, LEONARD N. STERN SCHOOL OF BUSINESS, COURANT INSTITUTE OF MATHEMATICAL SCIENCES, SCHOOL OF PROFESSIONAL STUDIES, INSTITUTE OF FINE ARTS, ROBERT F.WAGNER GRADUATE SCHOOL OF PUBLIC SERVICE, SILVER SCHOOL OF SOCIAL WORK, TISCH SCHOOL OF THE ARTS, GALLATIN SCHOOL OF INDIVIDUALIZED STUDY, RORY MEYERS COLLEGE OF NURSING, THE INSTITUTE FOR THE STUDY OF THE ANCIENT WORLD, NYU ABU DHABI, NYU SHANGHAI (NYU SHANGHAI GRANTS NYU DEGREES AS A JOINT VENTURE WITH EAST CHINA NORMAL UNIVERSITY), THE TANDON SCHOOL OF ENGINEERING, AND THE COLLEGE OF GLOBAL PUBLIC HEALTH. THE UNIVERSITY ALSO OPERATES ACADEMIC PROGRAM SITES AND RESEARCH PROGRAMS IN OTHER PARTS OF THE UNITED STATES AND ABROAD. SCHEDULE M-PART I COLUMN (D) THE VALUATION RECORDED IN THE UNIVERSITY'S FUNDRAISING SYSTEM IS USUALLY BASED UPON THE PROFESSIONAL APPRAISAL SUBMITTED WITH THE GIFT. IN THE EVENT THERE IS NO APPRAISAL AND VALUATION CANNOT BE DETERMINED, A NOMINAL VALUE OF $2 IS RECORDED. 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