2019-04-24T17:07:23-05:00 2018-06-30 910189318 MOSS ADAMS LLP 3121 W MARCH LN STE 200 STOCKTON CA 952192367 990 2017-07-01 941156617 PRESIDENT-BOARD OF TRUSTEES SANTA CLARA COLLEGE PRES 4085544398 500 EL CAMINO REAL SANTA CLARA CA 95053 JESSICA MATSUMORI ASSISTANT TREASURER 4085544398 2019-04-24 1 TRACY S PAGLIA P00366884 2099556100 2019-04-22 12.129.7.100 2019-04-24 13:43:27 PD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 5CB01F75C9C679DC7A64982DD8388EC9DE78B24A 2017 2020-01-14 16:20:31Z SANTA CLARA UNIVERSITY MICHAEL ENGH SJ 500 EL CAMINO REAL SANTA CLARA CA 95053 828805416 0 X WWW.SCU.EDU X 1851 CA SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. 48 44 5377 850 -2376915 -2673161 87691638 49809440 387968111 418761216 49244347 55750912 -600483 -828181 524303613 523493387 92139150 103289049 0 0 215796915 223153832 0 0 13169040 153191783 147104631 461127848 473547512 63175765 49945875 1987887652 2241961916 456865481 611305789 1531022171 1630656127 SEE SCHEDULE O 0 0 405235776 103289049 418369361 SANTA CLARA UNIVERSITY IS AN INSTITUTION OF HIGHER EDUCATION OFFERING DEGREES AT THE UNDERGRADUATE AND GRADUATE LEVEL AND LAW DEGREES. THE UNIVERSITY CONSISTS OF THE COLLEGE OF ARTS AND SCIENCES, THE SCHOOL OF ENGINEERING, THE LEAVEY SCHOOL OF BUSINESS, THE SCHOOL OF EDUCATION AND COUNSELING PSYCHOLOGY, THE SCHOOL OF LAW, AND THE JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA UNIVERSITY. CURRENT ENROLLMENT IS 8,481 STUDENTS CONSISTING OF 5,499 UNDERGRADUATE, 2,240 GRADUATE AND 742 LAW STUDENTS. IN 2018, THE UNIVERSITY AWARDED 2,621 DEGREES AT ALL ACADEMIC LEVELS. 405235776 1 1 0 1 0 0 0 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 0 1 0 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 1 0 0 1 1 1 1 0 0 1 889 0 1 5377 1 1 1 1 ES 0 0 0 1 1 0 0 0 0 X 48 44 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA X JESSICA MATSUMORI 4085544397 500 EL CAMINO REAL SANTA CLARA CA 95053 JON ABOITIZ TRUSTEE 2.00 X 0 0 0 ERICK BERRELLEZA SJ TRUSTEE 2.00 X 0 0 0 KRISTI M BOWERS TRUSTEE 2.00 X 0 0 0 MARGARET PEGGY M BRADSHAW VICE CHAIR 4.00 X X 0 0 0 MATTHEW MATT E CARNES SJ TRUSTEE 2.00 X 0 0 0 WILLIAM BILL S CARTER TRUSTEE 2.00 X 0 0 0 LOUIS LOU M CASTRUCCIO TRUSTEE 2.00 3.00 X 0 0 0 HOWARD S CHARNEY TRUSTEE 2.00 X 0 0 0 GERALD JERRY T COBB SJ TRUSTEE 4.00 X 0 0 0 MICHAEL ENGH SJ PRESIDENT, EX OFFICIO 40.00 3.00 X X 0 0 0 ROBERT J FINOCCHIO JR TRUSTEE 4.00 X 0 0 0 HENRY J GAGE III TRUSTEE 2.00 X 0 0 0 PAUL F GENTZKOW CHAIRMAN 13.00 X X 0 0 0 PETER C GOTCHER TRUSTEE 2.00 X 0 0 0 REBECCA M GUERRA TRUSTEE 2.00 X 0 0 0 SALVADOR SAL O GUTIERREZ TRUSTEE 4.00 X 0 0 0 TIMOTHY TIM HALEY TRUSTEE 2.00 X 0 0 0 ELLEN M HANCOCK TRUSTEE 4.00 X 0 0 0 RICHARD RICH D HAUGHEY TRUSTEE 2.00 X 0 0 0 RICHARD RICK J JUSTICE TRUSTEE 2.00 X 0 0 0 TIMOTHY TIM R LANNON SJ TRUSTEE 2.00 X 0 0 0 WILLIAM BILL P LEAHY SJ TRUSTEE 2.00 X 0 0 0 HEIDI LEBARON LEUPP TRUSTEE 4.00 X 0 0 0 JOHN JACK C LEWIS TREASURER 4.00 X X 0 0 0 ARTHUR F LIEBSCHER SJ RECTOR, EX OFFICIO 30.00 X 0 0 0 ROBERT LLOYD TRUSTEE 2.00 X 0 0 0 RONNIE LOTT TRUSTEE 2.00 X 0 0 0 ELIZABETH LIBBY GATES MACPHEE TRUSTEE 2.00 X 0 0 0 JOSEPH M MCSHANE SJ TRUSTEE 2.00 X 0 0 0 JEFFREY JEFF A MILLER TRUSTEE 2.00 X 0 0 0 KAPIL K NANDA TRUSTEE 4.00 X 0 0 0 BRYAN NEIDER TRUSTEE 2.00 X 0 0 0 EDWARD ED A PANELLI TRUSTEE 2.00 X 0 0 0 ELIZABETH BETSY S RAFAEL TRUSTEE 2.00 X 0 0 0 WILLEM WIM P ROELANDTS TRUSTEE 2.00 X 0 0 0 STEPHEN C SCHOTT TRUSTEE 2.00 X 0 0 0 ROBERT H SMITH TRUSTEE 2.00 X 0 0 0 TIMOTHY TIM SMITH TRUSTEE 2.00 X 0 0 0 JOHN A SOBRATO TRUSTEE 4.00 X 0 0 0 JOHN M SOBRATO TRUSTEE 2.00 X 0 0 0 LARRY W SONSINI SECRETARY 2.00 X X 0 0 0 STEVEN STEVE J SORDELLO TRUSTEE 2.00 X 0 0 0 MARY STEVENS TRUSTEE 2.00 X 0 0 0 GILBERT SUNGHERA SJ TRUSTEE 2.00 X 0 0 0 WILLIAM BILL E TERRY TRUSTEE 2.00 X 0 0 0 GREGORY GREG VAUGHAN TRUSTEE 2.00 X 0 0 0 CHARMAINE A WARMENHOVEN TRUSTEE 2.00 X 0 0 0 AGNIESZKA WINKLER TRUSTEE 4.00 X 0 0 0 MICHAEL CROWLEY VP FINANCE AND ADMINISTRATION 40.00 3.00 X 0 0 0 HARRY FONG AVP FINANCE 40.00 3.00 X 246520 0 48380 MOLLY MCDONALD CHIEF OF STAFF 40.00 X 259916 0 70644 JOHN OTTOBONI SR. LEGAL COUNSEL & COO 40.00 3.00 X 406662 0 49875 DENNIS JACOBS PROVOST 40.00 X 497579 0 62448 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 40.00 X 645770 0 55706 LISA KLOPPENBERG DEAN, LAW SCHOOL 40.00 X 453884 0 66552 JIM LYONS VP, UNIVERSITY RELATIONS 40.00 X 340111 0 54967 GODFREY MUNGAL DEAN, SCHOOL OF ENGINEERING 40.00 X 337918 0 55323 MIKE SEXTON VP, ENROLLMENT MANAGEMENT 40.00 X 304606 0 47205 CHRIS SHAY ASSISTANT VP FOR UNIVERSITY 40.00 X 266325 0 54498 DEBORAH TAHMASSEBI DEAN, COLLEGE OF ARTS & SCIENCES 40.00 X 294910 0 61702 RENEE BAUMGARTNER EXECUTIVE DIRECTOR, ATHLETICS 40.00 X 346228 0 72184 CARYN BECK-DUDLEY DEAN-LEAVEY SCHOOL OF BUSINESS 40.00 X 373069 0 44988 TONY NGUYEN DIRECTOR OF INVESTMENTS 40.00 X 328036 0 42166 ROBERT OWEN VICE PROVOST/CHIEF INFO OFFICER 40.00 X 302579 0 31232 HERBERT SENDEK HEAD COACH, MEN'S BASKETBALL 40.00 X 739310 0 95532 ROBERT WARREN FORMER ASSISTANT TREASURER 40.00 X 218503 0 31322 DONALD POLDEN FORMER DEAN OF LAW SCHOOL 40.00 X 267695 0 56607 S ANDREW STARBIRD FORMER DEAN SCHOOL OF BUSINESS 40.00 X 243395 0 54043 ATOM YEE FORMER DEAN COLLEGE ARTS 40.00 X 152015 0 61590 7025031 0 1116964 511 1 1 0 DEVCON CONSTRUCTION INC 690 GIBRALTAR DRIVE MILPITAS CA 95035 CONSTRUCTION 38697855 BON APPETIT - SANTA CLARA 301 MARKET STREET SANTA CLARA CA 95053 FOOD SERVICES 18463360 ZIMMER GUNSUL FRASCA ARCHITECTS LLP 515 SOUTH FLOWER STREET SUITE 3700 LOS ANGELES CA 90071 ARCHITECTS 4621360 ABLE BUILDING MAINTENANCE CO 868 FOLSOM STREET SAN FRANCISCO CA 94107 FACILITIES MAINTENANCE 3090242 SUMMERS & SONS ELECTRIC INC 1460 ATTEBERRY LN SAN JOSE CA 95131 ELECTRICAL CONTRACTOR 1959372 62 54288 1725251 406558 47623343 2113024 49809440 TUITION FEES 525990 357563475 357563475 AUXILIARY ACTIVITIES 611710 41653280 41653280 PROGRAM FEES 611710 7737456 7737456 FED GRANTS & CONTRACTS 900099 6243444 6243444 PROGRAM SALES INCOME 453000 1483498 1483498 4080063 3688208 391855 418761216 10096513 -4726308 14822821 1558 1558 340727239 8602449 299505575 4169714 41221664 4432735 45654399 1957538 43696861 807001 1725251 1636740 -829739 -829739 523493387 418369361 -2376915 57691501 102000 102000 103065354 103065354 121695 121695 5369001 587803 4375332 405866 307962 94213 213749 163499841 138359919 17499166 7640756 14815044 12444487 1686766 683791 27236745 23027161 2742061 1467523 11925239 9834085 1517546 573608 636284 32406 603878 73776 73776 2800 2800 3966876 11377 3954838 661 28052784 21723633 5978715 350436 1888386 1598734 189012 100640 7403010 4467632 2462154 473224 1953627 1140196 796191 17240 10034341 6631946 3382128 20267 7361522 6517193 494716 349613 8107325 5629173 1706577 771575 14647689 13946116 701573 46538737 41469664 5069073 5334499 4056040 1252172 26287 LIBRARY ACQUISITIONS 4799206 4799206 REPAIR & MAINTENANCE 4107418 3871609 232028 3781 LOSS ON DEFEASANCE OF D 909930 909930 INDIRECT COSTS SPONSORE 491083 491083 795338 303121 422194 70023 473547512 405235776 55142696 13169040 30584894 84672507 14128847 11079997 63286940 75469107 4720845 6132991 1075771 927768 825452 854745 1293035055 413169181 825186119 879865874 376729227 380490757 624596928 681482731 7429895 6138697 39322734 114846742 1987887652 2241961916 45213498 60187123 18383434 24918495 219616281 352812047 6470000 5670000 167182268 167718124 456865481 611305789 X 718475214 736408367 518338179 592183102 294208778 302064658 1531022171 1630656127 1987887652 2241961916 X 49945875 47903980 1784101 X 0 1 X 1 1 1 X 35863173 60431676 47337635 87691638 49809440 281133562 35863173 60431676 47337635 87691638 49809440 281133562 42390774 238742788 6902875 10680285 10776201 12171831 14824379 55355571 14200 14200 336503333 1919345499 0.70950 0.70830 X 0 0 0 0 0 0 0 0 1 2800 2800 0 PART II-B, LINE 1: SCU PAYS ANNUAL DUES TO MEMBERSHIP ORGANIZATIONS; A PORTION OF THE ANNUAL DUES ARE USED BY THE ORGANIZATIONS FOR LOBBYING ACTIVITIES. 0 0 X X X 0 873039598 10246005 102911647 14253518 22211991 6134000 943597741 816842267 14076047 83160075 13368128 21838663 5832000 873039598 854807356 18595446 -20486553 12369915 19121119 4582948 816842267 845514732 13775787 30217472 11547849 16139942 7012843 854807356 741094242 5660595 131426015 10912590 16290781 5462749 845514732 0.18310 0.32510 0.49180 1 0 23853966 83513813 107367779 8935214 845573399 265968818 588539795 109996557 53250714 56745843 150993447 89027265 61966182 688 70167971 4922384 65246275 879865874 VENTURE CAPITAL & PRIVATE EQUITY 223431338 F OTHER ALTERNATIVE INVESTMENTS 133387529 F HEDGE FUNDS 233972372 F NOTES RECEIVABLE 2261541 F PENDING TRADES 88429951 F 681482731 DEPOSITS WITH TRUSTEES 88330368 OTHER ASSETS 8971015 RECEIVABLE FROM JST 9641842 BENEFICIAL INTEREST IN FUNDS HELD BY OTHERS 7903517 114846742 AMOUNTS HELD ON BEHALF OF OTHERS 88990901 ANNUITY OBLIGATIONS 7092380 REFUNDABLE ADVANCES - US GOVERNMENT 6810656 ASSET RETIREMENT OBLIGATION 3922446 OBLIGATIONS UNDER CAPITALIZED LEASE 60901741 167718124 PART III, LINE 1A: THE UNIVERSITY'S COLLECTIONS ARE MADE UP OF ARTIFACTS OF HISTORICAL SIGNIFICANCE AND ART OBJECTS THAT ARE HELD FOR EDUCATIONAL, RESEARCH, AND CURATORIAL PURPOSES. THE COLLECTIONS, WHICH HAVE BEEN ACQUIRED THROUGH CONTRIBUTIONS SINCE THE UNIVERSITY'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS IN THE ACCOMPANYING CONSOLIDATED STATEMENT OF FINANCIAL POSITION. PART III, LINE 4: THE UNIVERSITY MAINTAINS THE DE SAISSET MUSEUM FOR STUDENTS WHICH IS ALSO OPEN TO THE PUBLIC. THE DE SAISSET MUSEUM SUPPORTS SANTA CLARA UNIVERSITY'S GOAL OF EDUCATING THE WHOLE PERSON THROUGH A DIVERSE AND ACCESSIBLE RANGE OF EXHIBITIONS, COLLECTIONS, AND EDUCATIONAL PROGRAMS THAT HIGHLIGHT THE ART AND HISTORY OF THE SAN FRANCISCO BAY AREA AND THE LOCAL SANTA CLARA VALLEY. PART V, LINE 4: ENDOWED GIFTS ARE MEANT TO EXIST IN PERPETUITY, AND ARE INVESTED FOR LONG-TERM GROWTH. EACH YEAR, A PORTION OF THE FUND'S EARNINGS IS MADE AVAILABLE IN THE FORM OF AN ALLOCATION TO SUPPORT STUDENT SCHOLARSHIPS, FACULTY CHAIRS, AND OTHER ENDOWED PROGRAMS THAT FURTHER THE UNIVERSITY'S STRATEGIC PRIORITIES. 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 UNIVERSITY'S STUDENT NON-DISCRIMINATION POLICY IS STATED IN THE UNIVERSITY ENROLLMENT APPLICATIONS, UNDERGRADUATE AND GRADUATE BULLETINS, STUDENT HANDBOOKS AND ITS WEB-SITE. SCHEDULE E, PART I, LINE 6 FINANCIAL AID OR ASSISTANCE FROM GOVERNMENTAL AGENCIES CONSISTS OF STUDENT FINANCIAL AID RECEIVED FROM SUCH AGENCIES. 1 CENTRAL AMERICA AND THE CARIBBEAN 1 2 PROGRAM SERVICES STUDY ABROAD AND OUTREACH 223707 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 660057 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 5415505 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 18200 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 151470 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 64060 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 INVESTMENTS 9117321 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 4140563 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 169695363 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 65445 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING DONATIONS 111695 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING DONATIONS 10000 1 2 0 0 1 2 19790883 169882503 189673386 CENTRAL AMERICA AND THE CARRIBEAN DONATIONS TO SUPPORT PROGRAMS THAT BENEFIT STUDENTS AND COMMUNITIES IN EL SALVADOR 83220 CASH PAYMENTS TO RECIPIENT ORGANIZATIONS BOOK 2 0 DONATION CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 8 27500 CHECKS BOOK STIPEND CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 1 975 CHECK BOOK DONATIONS TO AFRICAN JESUITS TO ATTEND 2018 JESUIT CONFERENCE CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 8 10000 WIRE TRANSFER BOOK 1 0 1 1 1 0 PART I, LINE 2: THE UNIVERSITY GRANTS FUNDS TO JESUIT ORGANIZATIONS AND INDIVIDUALS IN THE CENTRAL AMERICAN REGION PRIMARILY TO ASSIST STUDENTS WITH LOCAL LIVING AND EDUCATIONAL EXPENSES. THE GRANTS ARE STRICTLY NEED BASED AND THEIR USE IS MONITORED THROUGH FREQUENT CONTACT WITH THESE STUDENTS/COMMUNITIES ON A REGULAR BASIS. GOLDEN CIRCLE 1603136 1321286 281850 148416 378545 501600 47241 NCIP EVENT 308925 296550 12375 61880 2774 44773 8 620191 107415 512776 1000 23707 118818 120943 41942 145101 2532252 1725251 807001 1000 23707 329114 502262 543542 237115 1636740 -829739 1 THE PANETTA INSTITUTE FOR PUBLIC POLICY 100 CAMPUS CENTER BUILDING 86E CSU MONTEREY BAY SEASIDE CA 93955 770495799 501(C)(3) 29000 SPONSORSHIP FOR AWARD GALA & DONATIONS TO SUPPORT LEADERSHIP SEMINARS THE BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR UNIVERSITY 326 GALVEZ STREET STANFORD CA 943056105 941156365 501(C)(3) 15000 DONATIONS FOR SUPPORT OF THE HOOVER INSTITUTION AND THE STANFORD INSTITUTE FOR ECONOMIC POLICY RESEARCH (SIEPR) INTERNATIONAL FOOD AND AGRIBUSINESS MANAGEMENT ASSOCIATION (IFAMA) 5775 WAYZATA BLVD SUITE 700 MINNEAPOLIS MN 55416 742585021 501(C)(3) 10000 SUPPORT FOR 2018 WORLD FORUM ASYLUM ACCESS 1611 TELEGRAPH AVENUE SUITE 1111 OAKLAND CA 94612 203642040 501(C)(3) 42000 RECIPIENT OF 2018 ALEXANDER LAW AWARD GRADUATE THEOLOGICAL UNION 2400 RIDGE RD BERKELEY CA 94709 941581707 501(C)(3) 6000 DONATIONS TO SUPPORT GTU PRESIDENCY SEARCH & SCHOLARSHIPS 5 0 FINANCIAL AID AND SCHOLARSHIPS 4857 101628597 BOOK NA OTHER STUDENT AWARDS 564 1436757 BOOK NA PART I, LINE 2: THE UNIVERSITY PROVIDES GRANTS FOR SCHOLARSHIPS, FELLOWSHIPS, AND STUDENT LOANS USING GUIDELINES ESTABLISHED BY THE ORGANIZATION'S BOARD OF TRUSTEES TO ENSURE THEY ARE MADE BASED ON NEED AND OR MERIT. SCU MAKES FINANCIAL AID GRANTS TO STUDENT ACCOUNT TO OFFSET AMOUNTS THAT STUDENTS OWE THE UNIVERSITY FOR TUITION AND FEES. X X 0 1 X X X X 0 0 0 0 0 0 0 1 0 HARRY FONG AVP FINANCE 246420 0 0 0 100 0 25206 0 23174 0 294900 0 0 0 MOLLY MCDONALD CHIEF OF STAFF 251778 0 0 0 8138 0 25987 0 44657 0 330560 0 0 0 JOHN OTTOBONI SR. LEGAL COUNSEL & COO 357329 0 0 0 49333 0 27000 0 22875 0 456537 0 0 0 DENNIS JACOBS PROVOST 410004 0 0 0 87575 0 27000 0 35448 0 560027 0 0 0 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 500348 0 140172 0 5250 0 27000 0 28706 0 701476 0 0 0 LISA KLOPPENBERG DEAN, LAW SCHOOL 350624 0 25000 0 78260 0 27000 0 39552 0 520436 0 0 0 JIM LYONS VP, UNIVERSITY RELATIONS 339186 0 0 0 925 0 27000 0 27967 0 395078 0 0 0 GODFREY MUNGAL DEAN, SCHOOL OF ENGINEERING 267087 0 0 0 70831 0 27000 0 28323 0 393241 0 0 0 MIKE SEXTON VP, ENROLLMENT MANAGEMENT 285266 0 15140 0 4200 0 27000 0 20205 0 351811 0 0 0 CHRIS SHAY ASSISTANT VP FOR UNIVERSITY 261800 0 0 0 4525 0 27000 0 27498 0 320823 0 0 0 DEBORAH TAHMASSEBI DEAN, COLLEGE OF ARTS & SCIENCES 224154 0 0 0 70756 0 23087 0 38615 0 356612 0 0 0 RENEE BAUMGARTNER EXECUTIVE DIRECTOR, ATHLETICS 329739 0 0 0 16489 0 27000 0 45184 0 418412 0 0 0 CARYN BECK-DUDLEY DEAN-LEAVEY SCHOOL OF BUSINESS 373069 0 0 0 0 0 27000 0 17988 0 418057 0 0 0 TONY NGUYEN DIRECTOR OF INVESTMENTS 268742 0 59294 0 0 0 27000 0 15166 0 370202 0 0 0 ROBERT OWEN VICE PROVOST/CHIEF INFO OFFICER 264800 0 0 0 37779 0 26509 0 4723 0 333811 0 0 0 HERBERT SENDEK HEAD COACH, MEN'S BASKETBALL 697310 0 0 0 42000 0 27000 0 68532 0 834842 0 0 0 ROBERT WARREN FORMER ASSISTANT TREASURER 196841 0 0 0 21662 0 19998 0 11324 0 249825 0 0 0 DONALD POLDEN FORMER DEAN OF LAW SCHOOL 248301 0 0 0 19394 0 25511 0 31096 0 324302 0 0 0 S ANDREW STARBIRD FORMER DEAN SCHOOL OF BUSINESS 228395 0 0 0 15000 0 23260 0 30783 0 297438 0 0 0 ATOM YEE FORMER DEAN COLLEGE ARTS 152015 0 0 0 0 0 16021 0 45569 0 213605 0 0 0 PART I, LINE 1A WE PROVIDED FIRST CLASS TRAVEL TO EMPLOYEES FOR INTERNATIONAL TRAVEL IN ACCORDANCE WITH OUR POLICY. NO PORTION IS TAXABLE TO THE EMPLOYEE. WE PROVIDED GOLF CLUB MEMBERSHIPS TO THREE INDIVIDUALS WHO HAVE RESPONSIBILITIES FOR FUNDRAISING. THERE IS NO WRITTEN POLICY REGARDING GOLF MEMBERSHIPS. ANY PERSONAL CHARGES ARE NOT REIMBURSED. NO PORTION IS TAXABLE TO THE EMPLOYEE. PART I, LINE 7 JOHN KERRIGAN, LISA KLOPPENBERG, MIKE SEXTON, AND TONY NGUYEN RECEIVED BONUS PAYMENTS FOR THEIR SERVICES AND PERFORMANCE DURING THE FISCAL YEAR. PRESIDENT'S COMPENSATION: THE PRESIDENT OF THE UNIVERSITY IS A MEMBER OF A RELIGIOUS CONGREGATION AND IS SUBJECT TO A VOW OF POVERTY. THE FAIR MARKET VALUE OF THE PRESIDENT'S COMPENSATION FOR HIS SERVICES IS PAID TO THE RELIGIOUS CONGREGATION OF WHICH HE IS A MEMBER. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179BS2 2015-08-28 117173098 CONSTRUCTION AND IMPROVEMENT OF FACILITIES & ADVANCE REFUNDING OF PRIOR BOND 0 0 0 B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179JX3 2017-08-10 30404213 ADVANCE REFUND PRIOR ISSUE 0 0 0 C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179NF7 2017-12-28 63096951 SEE PART VI 0 0 0 A 118635497 681874 59744970 58208652 2017 0 1 0 1 B 31398765 29666728 131718 1597072 3247 0 1 1 1 C 63339445 659848 390485 10191643 35243 52062226 0 0 0 1 A 0 0 1 1 1 1 0.00100 0.00000 0.00100 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 C 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 PART I(E) AND PART II - COLUMNS A, B, C THE DIFFERENCE BETWEEN PART I (E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON INVESTED PROCEEDS. PART I(F), COLUMN A THE PROCEEDS OF THIS BOND ISSUE WERE USED TO REFUND A PORTION OF THE BORROWER'S SERIES 2008 (ISSUED 12/11/2008). PART I(F), COLUMN B THE PROCEEDS OF THIS BOND ISSUE WERE USED TO REFUND A PORTION OF THE BORROWER'S SERIES 2010 (ISSUED 09/15/2010). PART I(F), COLUMN C THE BONDS ARE BEING ISSUED TO FINANCE THE CONSTRUCTION, RENOVATION, REMODELING, FURNISHING AND EQUIPPING OF CERTAIN FACILITIES OF THE UNIVERSITY. 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. MICHAEL SEXTON KEY EMPLOYEE SHARED EQUITY X 375000 325000 0 0 1 DENNIS JACOBS KEY EMPLOYEE NOTE RECEIVABLE X 370000 237037 0 0 1 LISA KLOPPENBERG KEY EMPLOYEE NOTE RECEIVABLE X 250000 184848 0 0 1 DEBBIE TAHMASSEBI KEY EMPLOYEE NOTE RECEIVABLE X 250000 180883 0 0 1 927768 NA N/A 4000 FINANCIAL AID EDUCATION ELIZABETH RAMIREZ FAMILY MEMBER OF WILLIAM S. CARTER, TRUSTEE 62421 EMPLOYMENT 0 SI 23 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES 3499992 LONG-TERM LEASE 0 SI 53 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES 2346153 LONG-TERM LEASE 0 SAM TAHMASSEBI FAMILY MEMBER OF DEBBIE TAHMASSEBI, KEY EMPLOYEE 10800 EMPLOYMENT 0 JAMES LEWIS FAMILY MEMBER OF JOHN (JACK) LEWIS, TRUSTEE 13867 EMPLOYMENT 0 X 111 1610005 AVERAGE MKT VALUE X EQUIPMENT 3 306005 SELLING PRICE X MISC SUPPLIES 14 197014 SELLING PRICE 0 0 1 1 PART I, COLUMN (B): NUMBER OF CONTRIBUTIONS PART I, LINE 32B: THE UNIVERSITY USES STOCK BROKERS TO SELL DONATED SECURITIES AND REAL ESTATE BROKERS TO SELL DONATED REAL ESTATE. FORM 990, PART III, LINE 1: SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. STUDENT LEARNING TAKES PLACE AT THE UNDERGRADUATE AND GRADUATE LEVEL IN AN EDUCATIONAL ENVIRONMENT THAT INTEGRATES RIGOROUS INQUIRY AND SCHOLARSHIP, CREATIVE IMAGINATION, REFLECTIVE ENGAGEMENT WITH SOCIETY, AND A COMMITMENT TO FASHIONING A MORE HUMANE AND JUST WORLD. AS AN ACADEMIC COMMUNITY, WE EXPAND THE BOUNDARIES OF KNOWLEDGE AND INSIGHT THROUGH TEACHING, RESEARCH, ARTISTIC EXPRESSION, AND OTHER FORMS OF SCHOLARSHIP. IT IS PRIMARILY THROUGH DISCOVERING,COMMUNICATING, AND APPLYING KNOWLEDGE THAT WE EXERCISE OUR INSTITUTIONAL RESPONSIBILITY AS A VOICE OF REASON AND CONSCIENCE IN SOCIETY, WE OFFER CHALLENGING ACADEMIC PROGRAMS AND DEMONSTRATE A COMMITMENT TO THE DEVELOPMENT OF: 1) UNDERGRADUATE STUDENTS WHO SEEK AN EDUCATION WITH A STRONG HUMANISTIC ORIENTATION IN A PRIMARILY RESIDENTIAL SETTING. 2) GRADUATE STUDENTS, MANY OF THEM WORKING PROFESSIONALS IN SILICON VALLEY,WHO SEEK ADVANCED DEGREE PROGRAMS THAT PREPARE THEM TO MAKE SIGNIFICANT CONTRIBUTIONS TO THEIR FIELDS. IN ADDITION TO THESE CORE PROGRAMS, WE ALSO PROVIDE A VARIETY OF CONTINUING EDUCATION AND PROFESSIONAL DEVELOPMENT OPPORTUNITIES FOR NON-MATRICULATED STUDENTS. FORM 990, PART VI, SECTION A, LINE 2 - LARRY W. SONSINI, ROBERT J. FINOCCHIO, AND DAN WARMENHOVEN HAVE A BUSINESS RELATIONSHIP. - JOHN A. SOBRATO AND JOHN M. SOBRATO HAVE A FAMILY AND BUSINESS RELATIONSHIP. - BETSY RAFAEL AND ROBERT FINOCCHIO HAVE A BUSINESS RELATIONSHIP. - MICHAEL ENGH, S.J., AND WILLIAM (BILL) P. LEAHY, S.J. HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11B THE BOARD OF TRUSTEES HAS DELEGATED THE REVIEW OF THE FORM 990 TO THE AUDIT COMMITTEE. THE ORGANIZATION'S CONTROLLER'S OFFICE WORKED CLOSELY WITH THE OUTSIDE ACCOUNTING FIRM IT ENGAGED TO PREPARE THE RETURN. INFORMATION FOR THE RETURN WAS ALSO OBTAINED THROUGH DISCUSSIONS WITH SENIOR ADMINISTRATION AND THE GENERAL COUNSEL. THE AUDIT COMMITTEE ALSO MET WITH THE CONTROLLER'S OFFICE AND THE ACCOUNTING FIRM HIRED TO PREPARE THE FORM 990 AND THE RETURN WAS ACCEPTED. THE FINAL DRAFT WAS PROVIDED TO THE ENTIRE VOTING BOARD BEFORE THE RETURN WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF TRUSTEES HAS A CONFLICT OF INTEREST POLICY AS PART OF THE BYLAWS. THE ASSISTANT TREASURER IS RESPONSIBLE FOR MONITORING POTENTIAL CONFLICT OF INTEREST. ANNUALLY, A QUESTIONNAIRE IS SENT TO THE BOARD OF TRUSTEES, OFFICERS AND KEY EMPLOYEES ASKING FOR ANY POSSIBLE BUSINESS OR PERSONAL CONNECTION TO THE ORGANIZATION THAT MAY CAUSE A POTENTIAL CONFLICT. THE PROCEDURES FOR ADDRESSING ANY CONFLICT OF INTEREST INCLUDES, BUT IS NOT LIMITED TO, THE FOLLOWING: (1) THE CONFLICTING INTEREST IS FULLY DISCLOSED TO THE PRESIDENT AND BOARD; (2) THE INTERESTED PERSON RESPONDS TO FACTUAL QUESTIONS RELATED TO THE SUBSTANCE OF THE TRANSACTION OR ARRANGEMENT BEING CONSIDERED, AFTER WHICH HE/SHE SHALL LEAVE THE MEETING; (3) THE PERSON WITH THE CONFLICT OF INTEREST IS EXCLUDED FROM THE DISCUSSION AND APPROVAL OF SUCH TRANSACTION; (4) ALTERNATIVES TO THE PROPOSED TRANSACTION ARE INVESTIGATED, COMPETITIVE BIDS OR COMPARABLE VALUATIONS ARE OBTAINED; (5) THE TRANSACTION OR ACTION MUST BE APPROVED BY A MAJORITY OF DISINTERESTED PERSONS. FORM 990, PART VI, SECTION B, LINE 15A THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES HAS THE AUTHORITY TO REVIEW AND DETERMINE THE PRESIDENT'S COMPENSATION. DISCUSSIONS OF THE PRESIDENT'S COMPENSATION WERE DOCUMENTED IN THE MINUTES OF MEETINGS OF THE EXECUTIVE COMMITTEE. THE COMPENSATION OF THE PROVOST AND VICE PRESIDENTS ARE DETERMINED BY THE PRESIDENT. OTHER KEY EMPLOYEES' COMPENSATION IS DETERMINED BY THE RESPECTIVE VICE PRESIDENT OR PROVOST. IN ALL CASES, COMPARABLE DATA FROM SIMILAR ORGANIZATIONS AND POSITIONS WERE USED TO DETERMINE COMPENSATION LEVELS. THIS INFORMATION COMES FROM INDEPENDENT SURVEY DATA. EACH EMPLOYEE'S COMPENSATION IS DOCUMENTED IN THEIR RESPECTIVE PERSONNEL FILES AND THEY ARE PERSONALLY NOTIFIED OF ANY CHANGES IN COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 WHILE FEDERAL TAX LAWS DO NOT MANDATE THAT THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS BE MADE AVAILABLE FOR PUBLIC INSPECTION, THE ORGANIZATION MAKES ITS CONFLICT OF INTEREST POLICY AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: LOSS ON UNCOLLECTIBLE PLEDGES -592,814. UNRELATED BUSINESS INCOME/(LOSS) FOR TAX NOT FOR BOOK 2,376,915. ADOBE MANAGEMENT A LLC 500 EL CAMINO REAL SANTA CLARA CA 95053 811570359 INVESTING PURPOSES DE 0 2231495 SANTA CLARA UNIVERSITY MAKENA ABSOLUTE RETURN SPLITTER X LP 2755 SAND HILL ROAD SUITE 200 MENLO PARK CA 94025 800804683 INVESTING PURPOSES DE -87576 0 SANTA CLARA UNIVERSITY BRONCO BENCH FOUNDATION SANTA CLARA UNIVERSITY SANTA CLARA CA 95053 946121957 FUNDRAISING CA 501(C)(3) LINE 12B, II PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA 1735 LE ROY AVE BERKELEY CA 94709 941156462 EDUCATION CA 501(C)(3) LINE 1 PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 MAKENA STRATEGIC OPPORTUNITIES FUND - KH LP 2755 SAND HILL ROAD SUITE 200 MENLO PARK CA 94025 812032432 INVESTING PURPOSES DE SANTA CLARA UNIVERSITY REVENUE EXCLUDED 72308 0 0 0.75000 CHARITABLE REMAINDER TRUST (28) HOLDINGS CA N/A T 0 0 0 1 1 0 0 0 0 0 0 0 1 1 1 1 0 0 1 0 BRONCO BENCH FOUNDATION C 1573000 FMV JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA D 14653274 FMV JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA R 2184623 FMV