2019-05-14T09:19:33-05:00 2018-06-30 141555429 UHY ADVISORS NY INC 4 TOWER PLACE EXECUTIVE PARK 7TH FLOOR ALBANY NY 12203 990 2017-07-01 141338371 THE COLLEGE OF SAINT ROSE COLL 5184542066 432 WESTERN AVENUE ALBANY NY 12203 DEBRA LEE POLLEY TREASURER 5184542066 2019-05-14 1 JAMES DANIELS P00603621 5184493166 2019-05-09 209.99.101.4 2019-05-14 09:16:50 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 93F9E8AA369166CBE647ECEF2B865D792BADA757 2017 2019-02-21 02:37:17Z DR CAROLYN J STEFANCO 432 WESTERN AVENUE ALBANY NY 12203 205187740 0 X WWW.STROSE.EDU X 1920 NY TO PROVIDE HIGHER EDUCATIONAL OPPORTUNITIES. 26 26 2007 460 0 17167 8227912 10050469 107485511 106031273 1161585 7078032 1088267 1126357 117963275 124286131 45244339 47796095 0 0 44294128 44007127 103189 76776 2427176 32107750 30353104 121749406 122233102 -3786131 2053029 187149017 182166836 70772761 67108324 116376256 115058512 X THE COLLEGE OF SAINT ROSE COMMUNITY ENGAGES HIGHLY MOTIVATED UNDERGRADUATE AND GRADUATE STUDENTS IN RIGOROUS EDUCATIONAL EXPERIENCES. IN THE PROGRESSIVE TRADITION OF THE FOUNDING SISTERS OF ST. JOSEPH OF CARONDELET, WE WELCOME MEN AND WOMEN FROM ALL RELIGIOUS AND CULTURAL BACKGROUNDS. IN ADDITION TO DEVELOPING THEIR INTELLECTUAL CAPACITIES, STUDENTS HAVE THE OPPORTUNITY TO CULTIVATE THEIR CREATIVE AND SPIRITUAL GIFTS IN A DIVERSE LEARNING COMMUNITY THAT FOSTERS INTEGRITY, INTERDEPENDENCE, AND MUTUAL RESPECT.THE COLLEGE DELIVERS DISTINCTIVE AND COMPREHENSIVE LIBERAL ARTS AND PROFESSIONAL PROGRAMS THAT INSPIRE OUR GRADUATES TO BE PRODUCTIVE ADULTS, CRITICAL THINKERS, AND MOTIVATED, CARING CITIZENS. OUR ENGAGEMENT WITH THE URBAN ENVIRONMENT EXPANDS THE SETTING FOR EDUCATIONAL OPPORTUNITIES AND ENCOURAGES THE SAINT ROSE COMMUNITY'S ENERGETIC INVOLVEMENT AND EFFECTIVE LEADERSHIP IN SOCIETY. 0 0 106886307 47796095 90496308 THE COLLEGE PROVIDES POST-SECONDARY EDUCATION TO BOTH UNDERGRADUATE AND GRADUATE STUDENTS. 106886307 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 0 1 1 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 120 0 1 2007 1 1 1 0 0 0 0 1 1 0 0 0 0 X 26 26 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X DEBRA LEE POLLEY 5184542066 432 WESTERN AVE ALBANY NY 12203 MR JAMES J BARBA TRUSTEE 0.50 X 0 0 0 MS MICHELLE BORISENOK TRUSTEE 0.50 X 0 0 0 MS RITA B CROTTY TRUSTEE 5.00 X 0 0 0 MS SHARON M DUKER TRUSTEE 1.00 X 0 0 0 SR MARGARET M EDIC CSJ TRUSTEE 0.50 X 0 0 0 SR ELIZABETH GIARRUSSO CSJ TRUSTEE 8.00 X 0 0 0 MR RYAN P HALLIDAY TRUSTEE 1.00 X 0 0 0 SR KATHERINE HANLEY CSJ TRUSTEE 2.00 X 0 0 0 MR GEORGE R HEARST III TRUSTEE 1.00 X 0 0 0 REV HOWARD J HUBBARD DD TRUSTEE 0.50 X 0 0 0 SR JOAN LESCINSKI CSJ TRUSTEE 1.00 X 0 0 0 MR MATTHEW H MATARASO TRUSTEE 6.00 X 0 0 0 MR LEE A MCELROY TRUSTEE 0.50 X 0 0 0 MR DANIEL P NOLAN TRUSTEE 2.50 X 0 0 0 MR KEVIN O'CONNOR TRUSTEE 12.50 X 0 0 0 DR KATHLEEN SULLIVAN RICKER TRUSTEE 3.00 X 0 0 0 MR JAMES J SANDMAN TRUSTEE 2.00 X 0 0 0 SR PATRICIA A ST JOHN CSJ TRUSTEE 3.00 X 0 0 0 SR MIRIAM UKERITIS CSJ TRUSTEE 0.75 X 0 0 0 SR J ELIZABETH VAN DEUSEN CSJ TRUSTEE 1.00 X 0 0 0 MS MARCIA J WHITE TRUSTEE 1.00 X 0 0 0 MR HAROLD L WILLIAMS TRUSTEE 4.00 X 0 0 0 SR DIANE ZIGO CSJ TRUSTEE 0.50 X 0 0 0 SR MARY ANNE HEENAN CSJ CHAIR 3.50 X 0 0 0 MR I NORMAN MASSRY FIRST VICE CHAIR 0.50 X 0 0 0 MR JEFFREY D STONE SECRETARY 1.00 X 0 0 0 DR CAROLYN J STEFANCO PRESIDENT 75.00 X 328023 0 120 MS LISA HALEY THOMSON SECRETARY/CHIEF OF STAFF 72.00 X 125569 0 120 MS DEBRA LEE POLLEY VP FINANCE/ADMIN/TREASURER 65.00 X 179783 0 14427 MS MARY GRONDAHL VP CORP / ENROLLMENT MGMT 55.00 X 182103 0 19182 MR IAN FARRELL VP FOR INSTITUTIONAL ADVAN 60.00 X 181034 0 11217 MR JOHN AVITABILE FACULTY MEMBER 40.00 X 133735 0 14868 DR MARGARET MCLANE INTERIM PROVOST/VP ACADEMIC AFFAIRS 60.00 X 156928 0 11217 DR SHAI BUTLER VP STUDENT SUCCESS/ENGMT/DIVERSITY 50.00 X 126567 0 494 DR IAN MACDONALD INTERIM DEAN MATH/SCIENCE 40.00 X 137742 0 19182 MR DENNIS MCDONALD VP STUDENT AFFAIRS/FORMER 55.00 X 122356 0 14868 MS NANCY WILLIAMSON FORMER CORP SEC'Y/GEN COUNSEL 40.00 X 218440 0 14376 1892280 0 120071 28 1 1 0 ARAMARK CORPORATION PO BOX 198532 ATLANTA GA 30384 MAINT/FOOD SERVICE 3302062 ROYALL & COMPANY 1001 PATTERSON AVE RICHMOND VA 23238 STUDENT SEARCH SERVICES 871866 BARTLEY & DICK 330 WEST 38TH ST SUITE 1401 NEW YORK NY 10018 PROFESSIONAL SERVICES 715000 USHERWOOD OFFICE TECHNOLOGY 1005 W FAYETTE STREET SYRACUSE NY 13204 MAIL PRINTING SERVICES 398714 WALDO 118 N BEDFORD RD SUITE 302 MT KISCO NY 10549 ELECTRONIC LIBRARY SERVICES 278374 17 6058178 3992291 219030 10050469 TUITION AND FEES 611710 90496308 90496308 AUXILIARY SERVICES 900099 15534965 15534965 106031273 631996 631996 87347645 80900876 733 6446769 -733 6446036 6446036 OTHER REVENUE 900099 1126357 1126357 1126357 124286131 90496308 0 23739354 47362648 47362648 433447 433447 1274650 1274650 34128792 29277016 3671783 1179993 -153503 -124635 -23140 -5728 6243233 4978397 1084170 180666 2513955 2091444 346586 75925 395891 395891 97375 97375 83627 83627 76776 76776 3302062 3302062 505802 165895 315374 24533 1142936 926772 160795 55369 1309984 292259 1016796 929 1054247 872629 152894 28724 569327 465531 83512 20284 2107249 1707838 336242 63169 7269174 5891364 1159902 217908 775914 628846 123808 23260 OTHER CONTRACTUAL SERVI 3179631 1460911 1444284 274436 EDUCATIONAL 2895969 2895969 UTILITIES 1646312 1416729 193273 36310 RECRUITING 1117966 1117966 2899638 1327328 1397688 174622 122233102 106886307 12919619 2427176 7005386 8994672 2245556 1920281 3509545 3874857 1362870 1486569 237050892 123454900 119197633 113595992 31926719 34902104 21374951 16851291 526357 541070 187149017 182166836 10886638 8814047 932630 1300486 56559225 55003834 1360071 1012967 1034197 976990 70772761 67108324 X 92968634 89779773 8914420 10634907 14493202 14643832 116376256 115058512 187149017 182166836 2053029 -3370773 0 X 0 1 X 1 1 1 X 9927247 12136593 9156085 8227912 10050469 49498306 9927247 12136593 9156085 8227912 10050469 49498306 22498 49475808 559449 407392 447399 484800 631996 2531036 1243718 969744 841224 1088267 1126357 5269310 57298652 529239388 0.86350 0.87410 X PARTS I AND II/PUBLIC CHARITY STATUS AND SUPPORT SCHEDULE: THE COLLEGE QUALIFIES AS A PUBLIC CHARITY AS A SCHOOL DESCRIBED IN INTERNAL REVENUE CODE SECTION 170(B)(1)(A)(II). SCHEDULE A, PART II (SUPPORT SCHEDULE) HAS BEEN COMPLETED TO DEMOSTRATE ELIGIBILITY TO REPORT CONTRIBUTIONS ON SCHEDULE B UNDER THE APPLICABLE SPECIAL RULE. 172982 X X 0 42289235 191816 3486930 1237450 44730531 39278799 25663 4333993 1349220 42289235 41855559 288979 -1645904 -1219835 39278799 42001304 1387847 -379774 -1153818 41855559 36206100 616467 5743241 -564504 42001304 0.48130 0.32740 0.19130 0 0 1974545 1974545 197438726 87988255 109450471 35018568 33430115 1588453 2619053 2036530 582523 113595992 PRIVATE HEDGE FUND 6222523 F PRIVATE EQUITY FUND 1036735 F PRIVATE REIT 1346091 F LIMITED PARTNERSHIP 714910 F CASH AND CASH EQUIVALENTS 7531032 F 16851291 U.S. GOVERNMENT ADVANCES 976990 976990 X 79650247 -3370773 -3370773 83021020 41265111 41265111 124286131 80967991 0 80967991 41265111 41265111 122233102 PART III, LINE 4: DESCRIPTION OF ART, ETC., COLLECTIONS AND CONTRIBUTION TO EXEMPT PURPOSE: COLLECTIONS OF ART AND HISTORICAL MATERIALS ARE USED TO ENRICH THE LIBERAL ARTS EDUCATION PROVIDED BY THE COLLEGE. PART V, LINE 4: INTENDED USES OF ENDOWMENT FUNDS: THE PRIMARY USES OF THE ENDOWMENT ARE SCHOLARSHIPS AND AWARDS (BASED ON DONOR AGREEMENT), TO FUND NECESSARY CAPITAL PROJECTS, AND TO ADDRESS OTHER NEEDS OF THE COLLEGE AS APPROVED BY THE BOARD OF TRUSTEES. PART X, LINE 2: FIN 48 (ASC 740) FINANCIAL STATEMENTS NOTE RELATED TO UNCERTAIN TAX POSITIONS: THE COLLEGE BELIEVES THAT THERE ARE NO UNCERTAIN TAX POSITIONS THAT ARE MATERIAL TO THE FINANCIAL STATEMENTS. THE COLLEGE HAS NO FEDERAL OR STATE INFORMATIONAL RETURNS THAT ARE CURRENTLY UNDER EXAMINATION BY THE INTERNAL REVENUE SERVICE ("IRS") OR STATE AUTHORITIES. PART XI, LINE 4B - OTHER ADJUSTMENTS: INSTITUTIONAL AID 41,265,111. PART XII, LINE 4B - OTHER ADJUSTMENTS: INSTITUTIONAL AID 41,265,111. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 POLICY IS PUBLISHED IN STUDENT HANDBOOK AND OTHER COLLEGE PUBLICATIONS, AS WELL AS THE COLLEGE'S WEBSITE. SCHEDULE E, PART I, LINE 6 THE COLLEGE RECEIVES GRANTS FROM THE FEDERAL GOVERNMENT TO HELP ACHIEVE AND FURTHER ITS EDUCATIONAL MISSION. THE COLLEGE ALSO RECEIVES FEDERAL AND NEW YORK STATE FUNDS THROUGH ITS STUDENTS IN THE FORM OF FEDERAL AND STATE STUDENT FINANCIAL AID AND ASSISTANCE. 1 EUROPE 0 0 STUDY ABROAD AND FACULTY LED PROGRAMS EDUCATIONAL 278061 EAST ASIA AND PACIFIC 0 0 STUDY ABROAD AND FACULTY LED PROGRAMS EDUCATIONAL 13043 CENTRAL AMERICA AND THE CARIBBEAN 0 0 STUDY ABROAD AND FACULTY LED PROGRAMS EDUCATIONAL 6235 NORTH AFRICA 0 0 STUDY ABROAD AND FACULTY LED PROGRAMS EDUCATIONAL 17798 EUROPE 0 0 INVESTMENTS 7259258 0 0 0 0 0 0 7574395 0 7574395 STUDY ABROAD PROGRAM FOR STUDENTS EUROPE 20 272638 APPLIED TO STUDENTS ACCOUNTS STUDY ABROAD PROGRAM FOR STUDENTS CENTAL AMERICA AND THE CARIBBEAN 1 6235 APPLIED TO STUDENTS ACCOUNTS STUDY ABROAD PROGRAM FOR STUDENTS EAST ASIA AND THE PACIFIC 1 13042 APPLIED TO STUDENTS ACCOUNTS STUDY ABROAD PROGRAM FOR STUDENTS NORTH AFRICA 1 17798 APPLIED TO STUDENTS ACCOUNTS 0 0 0 0 0 0 PART I, LINE 2: PROCEDURE FOR MONITORING USE OF GRANT FUNDS: SCHOLARSHIPS AND SUPPORT FOR STUDY ABROAD PROGRAMS ARE AWARDED BASED ON NEED AND MONITORED ANNUALLY BASED ON STUDENTS' ACADEMIC PROFILES AND GUIDELINES AS PROVIDED TO STUDENTS. X X X X X X X 1 THE STOCKADE GROUP 650 FRANKLIN STREET SCHENECTADY NY 12305 PHONE SOLICITATION 0 84822 31275 53547 RUFFALO NOEL LEVITZ 1025 KIRKWOOD PKWY SW CEDAR RAPIDS IA 52404 CONSULTANT: DIRECT MAIL, E-MAIL 0 34451 25079 9372 MPK&D PARTNERS 3114 HARFORD RD HYDES MD 21082 CAMPAIGN CONSULTANT 0 0 20422 -20422 119273 76776 42497 AZ CA DE FL GA ID IL IN IA KS KY LA ME MT NE NJ NM NY NC ND OH OK OR PA RI SD TN TX VT WV WI WY 1 SCHOLARSHIPS 2757 47362648 PART I, LINE 2: PROCEDURE FOR MONITORING USE OF GRANT FUNDS: SCHOLARSHIPS ARE AWARDED BASED ON NEED AND MONITORED ANNUALLY BASED ON STUDENTS' ACADEMIC PROFILES AND GUIDELINES AS PROVIDED TO STUDENTS. X X X X 0 1 X X 0 0 0 0 0 0 0 0 0 DR CAROLYN J STEFANCO PRESIDENT 328023 0 0 0 0 0 0 0 120 0 328143 0 0 0 MS DEBRA LEE POLLEY VP FINANCE/ADMIN/TREASURER 179783 0 0 0 0 0 0 0 14427 0 194210 0 0 0 MS MARY GRONDAHL VP CORP / ENROLLMENT MGMT 182103 0 0 0 0 0 0 0 19182 0 201285 0 0 0 MR IAN FARRELL VP FOR INSTITUTIONAL ADVAN 181034 0 0 0 0 0 0 0 11217 0 192251 0 0 0 DR MARGARET MCLANE INTERIM PROVOST/VP ACADEMIC AFFAIRS 156928 0 0 0 0 0 0 0 11217 0 168145 0 0 0 DR IAN MACDONALD INTERIM DEAN MATH/SCIENCE 137742 0 0 0 0 0 0 0 19182 0 156924 0 0 0 MR DENNIS MCDONALD VP STUDENT AFFAIRS/FORMER 122356 0 0 0 0 0 0 0 14868 0 137224 0 0 0 MS NANCY WILLIAMSON FORMER CORP SEC'Y/GEN COUNSEL 218440 0 0 0 0 0 0 0 14376 0 232816 0 0 0 PART I, LINE 1A THE OFFICIAL RESIDENCE OF THE PRESIDENT IS OWNED AND MAINTAINED BY THE COLLEGE AND IS SITUATED IN CLOSE PROXIMITY TO THE COLLEGE'S URBAN CAMPUS. THE PRESIDENT RESIDES IN HER OFFICIAL RESIDENCE AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE COLLEGE. CERTAIN FUNDRAISING AND OTHER COLLEGE FUNCTIONS ARE HOSTED BY THE PRESIDENT IN THE OFFICIAL RESIDENCE UNDER STIPULATION IN HER EMPLOYMENT CONTRACT. THE PRESIDENT HAS ACCESS TO A SMALL DISCRETIONARY FUND, AND ALL COLLEGE POLICIES AND PROCEDURES ARE FOLLOWED FOR EXPENDITURES. THE COLLEGE PAYS VARIOUS SOCIAL CLUB FEES FOR COLLEGE REPRESENTATION WITHIN CERTAIN SOCIAL CLUBS. A CITY OF ALBANY CAPITAL RESOURCE CORPORATION 273467899 012432AN0 2011-07-19 21235000 TO FINANCE VARIOUS CAPITAL PROJECTS AT THE COLLEGE 0 0 0 B CITY OF ALBANY CAPITAL RESOURCE CORPORATION 273467899 012432BA7 2015-11-13 39760000 REFINANCE 2007 BONDS AND SWAP 0 0 0 A 21235000 1506293 1079918 571611 17951548 2012 0 0 1 1 B 39760000 445346 39314654 2015 1 0 1 1 A 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 A 0 0 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 0 0 A 0 B 0 X 11 203900 MARKET QUOTE X VARIOUS IN KIND 62 15130 FAIR VALUE 0 0 0 FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCEDURES: THE FORM 990 IS MADE AVAILABLE FOR THE REVIEW OF THE GOVERNING BODY BEFORE FILING AND THEIR OBSERVATIONS ARE INCORPORATED AS APPROPRIATE IN THE PRESENTATION OF THE INFORMATION. REPRESENTATIVES OF THE GOVERNING BODY MEET WITH THE COLLEGE'S EXTERNAL AUDITORS WHERE THEY HAVE THE OPPORTUNITY TO ASK QUESTIONS IN REGARDS TO THE RETURN. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY PROCEDURES: ANNUAL CERTIFICATION OF COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY IS REQUIRED OF ALL MEMBERS OF THE GOVERNING BODY AND OFFICERS IN FEBRUARY EACH YEAR, AND OF NEWLY-APPOINTED INDIVIDUALS AT THE TIME OF APPOINTMENT. APPLICABLE CONFLICTS OF INTEREST ARE REPORTED TO THE AUDIT COMMITTEE AND INDIVIDUALS SUBJECT RECUSE THEMSELVES FROM THE DELIBERATIVE AND DECISION-MAKING PROCESSES WITH RESPECT TO MATTERS WHERE CONFLICT MAY EXIST. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION PROCEDURES: PERFORMANCE AND COMPARABILITY DATA RELATED TO OFFICERS' COMPENSATION IS REVIEWED BY INDEPENDENT MEMBERS OF THE EXECUTIVE COMMITTEE, WHOSE DELIBERATIONS AND DECISIONS ARE CONTEMPORANEOUSLY DOCUMENTED. FORM 990, PART VI, SECTION C, LINE 19 AVAILABILITY TO THE PUBLIC OF GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS: THESE ARE PROVIDED UPON REQUEST.