2019-05-15T11:23:53-05:00 2018-06-30 PricewaterhouseCoopers LLP 300 Madison Avenue New York NY 10017 990 2017-07-01 135598093 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK % JULIA SHANAHAN TRUS 2128544684 615 WEST 131ST STREET MC 8741 NEW YORK NY 100277922 MARK HAWKINS VP,FIN & CONTROLLER 2128541004 2019-05-15 true ERIC M MCNEIL P00460263 6464713000 155.201.188.33 13049920191355000035 2019-05-15 P C3A24384C7FB6CB8AB7906F598D11C961889714C 3B584E6C6EC03F54C23492763082C94E75791172 2017 2019-02-21 02:37:17Z Lee C Bollinger 615 West 131st St MC 8741 New York NY 100277922 7787582999 false X www.columbia.edu X 1754 NY SEE ATTACHMENT 1 23 21 35984 18232 -15993803 -12942663 1835150690 1909794420 3034989870 3182331958 667385182 683069747 122946783 112899433 5660472525 5888095558 651189270 708841506 0 0 2817480473 2970923538 2174516 2066434 115850252 1304059894 1341034173 4774904153 5022865651 885568372 865229907 18506580939 19649851030 3820539048 3910530664 14686041891 15739320366 X COLUMBIA UNIVERSITY IS ONE OF THE WORLD'S MOST IMPORTANT CENTERS OF RESEARCH AND AT THE SAME TIME A DISTINCTIVE AND DISTINGUISHED LEARNING ENVIRONMENT FOR UNDERGRADUATES AND GRADUATE STUDENTS IN MANY SCHOLARLY AND PROFESSIONAL FIELDS. THE UNIVERSITY RECOGNIZES THE IMPORTANCE OF ITS LOCATION IN NEW YORK CITY AND SEEKS TO LINK ITS RESEARCH AND TEACHING TO THE VAST RESOURCES OF A GREAT METROPOLIS. IT SEEKS TO ATTRACT A DIVERSE AND INTERNATIONAL FACULTY AND STUDENT BODY, TO SUPPORT RESEARCH AND TEACHING ON GLOBAL ISSUES, AND TO CREATE ACADEMIC RELATIONSHIPS WITH MANY COUNTRIES AND REGIONS. IT EXPECTS ALL AREAS OF THE UNIVERSITY TO ADVANCE KNOWLEDGE AND LEARNING AT THE HIGHEST LEVEL AND TO CONVEY THE PRODUCTS OF ITS EFFORTS TO THE WORLD. false false 1789202115 553426393 1582549753 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK IS A PRIVATE, NONSECTARIAN, NONPROFIT INSTITUTION OF HIGHER EDUCATION WHOSE ACTIVITIES ARE CONCENTRATED AT TWO LOCATIONS IN NEW YORK CITY AND EXTEND ACROSS THE GLOBE. THE UNIVERSITY PROVIDES INSTRUCTION THROUGH SIXTEEN UNDERGRADUATE, GRADUATE, AND PROFESSIONAL SCHOOLS. IT OPERATES A VARIETY OF RESEARCH INSTITUTES AND A LIBRARY SYSTEM TO SUPPORT ITS TEACHING, LEARNING, AND RESEARCH ACTIVITIES. THE UNIVERSITY ENROLLS APPROXIMATELY 32,429 FULL-TIME AND PART-TIME STUDENTS AND EMPLOYS APPROXIMATELY 17,196 FULL-TIME EMPLOYEES, INCLUDING 6,223 FULL-TIME FACULTY MEMBERS AND RESEARCH STAFF. 994394418 5111136 1211139335 THE UNIVERSITY, THROUGH THE COLUMBIA UNIVERSITY IRVING MEDICAL CENTER AND ITS MEDICAL FACULTY PRACTICE PLAN, PROVIDES DIRECT PATIENT CARE AND OTHER CLINICAL AND EDUCATIONAL SERVICES TO HOSPITALS AND OTHER HEALTH CARE INSTITUTIONS THROUGH CONTRACTUAL AGREEMENTS FOR SERVICES. THE CLINICAL FACULTY HANDLED APPROXIMATELY 2.2 MILLION OUTPATIENT AND EMERGENCY ROOM VISITS AND PARTICIPATED IN INSTRUCTION AND SUPERVISION OF 664 UNIVERSITY MEDICAL STUDENTS AND 969 RESIDENTS AND FELLOWS AT NEW YORK PRESBYTERIAN HOSPITAL. 603647789 146439190 202132002 THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS AND CONTRACTS WITH AGENCIES OF THE FEDERAL GOVERNMENT AND OTHER SPONSORING ORGANIZATIONS. 69576656 LIBRARY 269528632 CAMPUS OPERATIONS 310345733 INSTITUTIONAL SUPPORT 157564132 183805923 AUXILIARY ENTERPRISES 335630514 3864787 2704945 OTHER SOURCES 1142645667 3864787 186510868 4529889989 true true false true false true false true false true true true false false true false false true true true true true false true true false false true true true true false true false false false true false false true false true true false false true true true true false false true X 50676 0 true 35984 true true true true false false false true true false false false false false false false X 23 21 true false false false false false false true true false false true true true true true true true true false CA X JULIA SHANAHAN 2128517348 615 WEST 131ST STREET MC 8741 New York NY 10027 X LEE C BOLLINGER PRESIDENT 59.9 0.1 X X 2170179 0 478503 KENNETH A FORDE TRUSTEE 4.0 0.0 X 0 0 2016 ROLANDO T ACOSTA TRUSTEE 4.0 0.0 X 0 0 0 ARMEN A AVANESSIANS TRUSTEE 4.0 0.0 X 0 0 0 A'LELIA BUNDLES TRUSTEE 4.0 0.0 X 0 0 0 LISA CARNOY TRUSTEE 4.0 0.0 X 0 0 0 NOAM GOTTESMAN TRUSTEE 4.0 0.0 X 0 0 0 JOSEPH A GREENAWAY JR TRUSTEE 4.0 0.0 X 0 0 0 JAMES HARDEN TRUSTEE 4.0 0.0 X 0 0 0 BENJAMIN HOROWITZ TRUSTEE 4.0 0.0 X 0 0 0 ANN F KAPLAN TRUSTEE (THROUGH 9/4/17) 4.0 0.0 X 0 0 0 JONATHAN LAVINE TRUSTEE 4.0 0.0 X 0 0 0 CHARLES LI TRUSTEE 4.0 0.0 X 0 0 0 PAUL J MADDON TRUSTEE 4.0 0.0 X 0 0 0 MICHAEL B ROTHFELD TRUSTEE (THROUGH 9/4/17) 4.0 0.0 X 0 0 0 JONATHAN D SCHILLER TRUSTEE 4.0 0.0 X 0 0 0 ESTA STECHER TRUSTEE (THROUGH 9/4/17) 4.0 0.0 X 0 0 0 KYRIAKOS TSAKOPOULOS TRUSTEE 4.0 0.0 X 0 0 0 CLAIRE SHIPMAN TRUSTEE 4.0 0.0 X 0 0 0 ANDREW BARTH TRUSTEE 4.0 0.0 X 0 0 0 MARC HOLLIDAY TRUSTEE 4.0 0.0 X 0 0 0 WANDA HOLLAND GREENE TRUSTEE 4.0 0.0 X 0 0 0 ALEXANDER NAVAB TRUSTEE (AS OF 9/5/17) 4.0 0.0 X 0 0 0 ABIGAIL ELBAUM TRUSTEE 4.0 0.0 X 0 0 0 MARK GALLOGLY TRUSTEE 4.0 0.0 X 0 0 0 LU LI TRUSTEE (AS OF 9/5/17) 4.0 0.0 X 0 0 0 JANE E BOOTH GENERAL COUNSEL 60.0 0.0 X 662123 0 45658 JOHN COATSWORTH PROVOST 59.9 0.1 X 787694 0 47037 JEROME DAVIS SECRETARY 60.0 0.0 X 422115 0 42460 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 59.8 0.2 X 744594 0 41457 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 59.9 0.1 X 754165 0 47242 DAVID MADIGAN EXEC VP - ARTS & SCIENCES 59.9 0.1 X 571997 0 193454 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 60.0 0.0 X 1417846 0 512829 PETER HOLLAND CEO & EXEC VP OF INV MGMT 60.0 0.0 X 3766991 0 2756084 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 60.0 0.0 X 738620 0 40111 DAVID GREENBERG EXEC VP FACILITIES 60.0 0.0 X 517346 0 34576 DAVID N SILVERS CLINICAL PROFESSOR 60.0 0.0 X 4179462 0 46381 CRAIG R SMITH PROFESSOR OF SURGERY 60.0 0.0 X 2485557 0 53355 LAWRENCE GERALD LENKE PROFESSOR OF SURGERY 60.0 0.0 X 4065031 0 54747 KIEHYUN DANIEL RIEW PROFESSOR OF SURGERY 60.0 0.0 X 3281664 0 61488 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 60.0 0.0 X 2393562 0 61921 28958946 0 4519319 5716 false true false SYSCO FOOD SERVICES OF METRO NEW YO 20 THEODORE CONRAD DRIVE JERSEY CITY NJ 07305 FOOD SERVICES 8151223 HUDSON HEART MANAGEMENT LLC 222 ROUTE 59 SUITE 302 SUFFERN NY 10901 MEDICAL SERVICES 5875617 WALDNERS BUSINESS ENVIRONMENTS INC 125 ROUTE 110 FARMINGDALE NY 11735 OFFICE SERVICES 4992622 CALDWELL WALSH BLDG CNSTRN INC 60 E 42ND ST STE 1365 NEW YORK NY 10165 CONSTRUCTION SRVCS 4297843 LE CHASE CONSTRUCTION SERVICES LLC 1 LABRIOLA COURT ARMONK NY 10504 CONSTRUCTION SRVCS 4211678 340 X 14290459 932463981 963039980 29722548 1909794420 TUITION & FEES 611600 1582549753 1582549753 OTHER EDUCATION & RESEARCH 541700 202132002 202132002 PATIENT CARE REVENUE 621110 1211139335 1211139335 AUXILIARY ENTERPRISES 900099 183805923 178924136 4881787 OTHER SOURCES 900099 2193254 2193254 511691 511691 3182331958 60420014 60420014 0 24042004 24042004 178149247 144734494 33414753 0 33414753 33414753 2375078504 1752428771 622649733 622649733 622649733 1456212 14290459 2324176 -867964 -867964 0 0 0 0 0 0 PARTNERSHIP INCOME 900099 56310640 -20875590 77186230 56310640 5888095558 3177450171 -15993803 816844770 X 107053553 107053553 550890183 550890183 50897770 50897770 0 16061446 2252788 13808658 526515 109555 416960 2382915096 2175246618 148026321 59642157 179337866 153398080 21733830 4205956 264660695 193169092 53788171 17703432 127421920 116317237 7915430 3189253 0 27027620 27027620 2140407 2140407 443660 443660 2066434 2066434 21127050 21127050 206923516 187531584 11452730 7939202 10769918 9345980 530183 893755 242024508 225544856 11334668 5144984 33059130 19641944 11923904 1493282 0 210355188 203108673 6201840 1044675 75316404 67634507 5806703 1875194 0 67468028 56011571 4224042 7232415 54878216 52606257 1981104 290855 0 278598888 267064894 10057420 1476574 37926917 34011311 3915606 LIBRARY 29027896 29027896 BANK AND CREDIT CARD FEES 6133654 5032876 1088883 11895 DUES & SUBSCRIPTIONS 11210688 7968195 2846468 396025 UNRELATED BUS INCOME TAX EXP 538793 538793 26063692 16024569 8794959 1244164 5022865651 4529889989 377125410 115850252 X 0 0 1147398322 1455563128 992542273 851758015 397864927 398884946 2682724 2706171 0 0 127774003 118771704 3072128 3446459 59997504 46564733 8916784652 3558734038 5236769931 5358050614 1253596285 1576124662 8775303725 9162157520 0 0 0 0 509579117 675823078 18506580939 19649851030 349148731 321363505 0 0 257898722 273289229 1753444366 1889050242 0 0 0 0 0 0 202478608 195234731 1257568621 1231592957 3820539048 3910530664 X 6901035345 7183872373 4410972117 4788221916 3374034429 3767226077 14686041891 15739320366 18506580939 19649851030 X 865229907 157517105 30531463 X X false true X true true true X 1234408267 1239104776 1357673833 1835150690 1909794420 7576131986 0 0 1234408267 1239104776 1357673833 1835150690 1909794420 7576131986 173146715 7402985271 294632895 293561605 274595453 257219758 262611265 1382620976 0 102676428 120213561 144279932 81993242 77186230 526349393 9485102355 14082895734 0.78049 0.78084 X false true false false false true 13667 true 69993 false true 360000 443660 false SCHEDULE C, PART II-B LINE 1A - VOLUNTEERS: N/A LINE 1B - PAID STAFF OR MANAGEMENT: THE UNIVERSITY HAS OFFICES OF GOVERNMENT AND COMMUNITY AFFAIRS AT BOTH ITS MORNINGSIDE AND MEDICAL CENTER CAMPUSES WHOSE FUNCTION IS TO KEEP THE UNIVERSITY COMMUNITY INFORMED ABOUT NATIONAL, STATE AND LOCAL LEGISLATION AND POLICY THAT HAS AN IMPACT ON THE UNIVERSITY AND, WHEN APPROPRIATE, TO ADVOCATE FOR THE UNIVERSITY'S INTERESTS WITH RESPECT TO THIS POLICY. EMPLOYEES REGULARLY INVOLVED IN THESE ACTIVITIES INCLUDE BUT ARE NOT LIMITED TO: EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS; ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS; ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS; VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; AND THE ASSISTANT DIRECTOR FOR GOVERNMENT & COMMUNITY AFFAIRS. LINE 1C - MEDIA ADVERTISEMENTS: N/A LINE 1D - MAILINGS TO MEMBERS, LEGISLATORS OR THE PUBLIC: N/A LINE 1E - PUBLICATIONS, OR PUBLISHED OR BROADCAST STATEMENTS: N/A LINE 1F - GRANTS TO OTHER ORGANIZATIONS FOR LOBBYING PURPOSES: THE UNIVERSITY BELONGS TO CERTAIN HIGHER EDUCATION TRADE ASSOCIATIONS. A SMALL PORTION OF THE MEMBERSHIP FEES PAID TO CERTAIN OF THESE ORGANIZATIONS GOES TO SUPPORT LOBBYING-RELATED ACTIVITIES. THESE FEES ARE REGULARLY REPORTED ON THE UNIVERSITY'S LOBBYING DISCLOSURE FILINGS. LINE 1G - DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, OR A LEGISLATIVE BODY: THE PRESIDENT, THE EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, THE ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE ASSISTANT VICE PRESIDENT FOR PLANNING AND PROJECT COORDINATION, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE ASSISTANT DIRECTOR FOR GOVERNMENT & COMMUNITY AFFAIRS, AMONG OTHER COLUMBIA UNIVERSITY EMPLOYEES, CONTACTED FEDERAL, STATE, AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES. THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCE; THE VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER; AND OTHER COLUMBIA UNIVERSITY MEDICAL CENTER EMPLOYEES CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES, HEALTH SCIENCES ISSUES AND OTHER ISSUES AFFECTING ACADEMIC MEDICAL CENTERS. THE AMOUNTS SHOWN ON LINE 1G REFLECT PAID STAFF AND MANAGEMENT ACTIVITIES. LINE 1H - RALLIES, DEMONSTRATIONS, SEMINARS, CONVENTIONS, SPEECHES, LECTURES OR ANY OTHER MEANS: N/A LINE 1I - OTHER ACTIVITIES: DURING THE REPORTING PERIOD, THE UNIVERSITY RETAINED OUTSIDE FIRMS FOR CONSULTING AND ADVOCACY AT THE FEDERAL, STATE AND LOCAL LEVELS OF GOVERNMENT. THE AMOUNTS SHOWN ON LINE 1I INCLUDE AMOUNTS PAID TO SUCH OUTSIDE FIRMS FOR ALL ACTIVITIES CONDUCTED BY SUCH FIRMS, INCLUDING CERTAIN OF THE ACTIVITIES DESCRIBED ABOVE AND GENERAL ADVISORY SERVICES TO THE UNIVERSITY IN CONNECTION WITH ITS LOBBYING ACTIVITIES. 14 29438970 5592281 55252726 true true X X X X true 9996596000 640042000 862139000 120019000 469411000 40102000 10869245000 9041027000 411858000 1140424000 114376000 441400000 40937000 9996596000 9639065000 176354000 -173840000 106989000 449177000 44386000 9041027000 9223047000 270192000 739891000 99309000 449275000 45481000 9639065000 8197880000 173837000 1424763060 92209000 440268000 40956060 9223047000 0.36000 0.64000 true false 459917960 459917960 6610790237 2808795545 3801994692 532574828 324996165 207578663 1313501627 424942328 888559299 5358050614 GLOBAL EQUITIES 959137075 F ABSOLUTE RETURN STRATEGIES 3499655153 F PRIVATE EQUITY 2057054583 F REAL ESTATE ASSETS 2032070642 F FIXED INCOME 288232188 F CASH & CASH EQUIVALENTS 326007879 F 9162157520 0 LIABILITY FOR SECURITIES PURCH 26010326 CAPITAL LEASE OBLIGATIONS 121283462 COND'L ASSET RETIREMENT OBLIGA 119249410 ACCRUED EMPLOYEE BENEFIT LIAB. 342644911 FEDERAL STUDENT LOAN FUNDS 78720440 ACTUARIAL LIAB- SPLIT INT AGRM 62717059 OTHER LONG TERM LIABILITIES 480967349 1231592957 X DETAIL OF UNIVERSITY COLLECTIONS/TEXT OF AUDIT FOOTNOTE SCHEDULE D, PART III, LINES 1A, 2A & 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 PURCHASING ADDITIONS AND MAINTAINING THESE COLLECTIONS ARE RECORDED AS OPERATING EXPENSES IN THE PERIOD IN WHICH THE ITEMS ARE ACQUIRED. INTENDED USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 COLUMBIA UNIVERSITY'S ENDOWMENT FUNDS SUPPORT A RANGE OF PURPOSES IN ACCORDANCE WITH THE UNIVERSITY'S MISSION, INCLUDING: FINANCIAL AID; FACULTY SALARIES AND SUPPORT; RESEARCH; CAPITAL PROJECTS; GENERAL SUPPORT OF THE UNIVERSITY, SCHOOLS, DEPARTMENTS, INSTITUTES AND CENTERS. FIN 48 SCHEDULE D, PART X, LINE 2 THE UNIVERSITY BELIEVES THAT ITS TAX POSITIONS AS THEY RELATE TO THE IMPACT ON THE FINANCIAL STATEMENTS OF FIN 48 ARE HIGHLY CERTAIN. true true true true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 COLUMBIA UNIVERSITY CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND THE WORLD. ITS EDUCATIONAL PROGRAMS SEEK A BROAD CROSS-SECTION OF STUDENTS FROM THE METROPOLITAN AREA. IT FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY OF ADMISSION AND INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARDS STUDENTS IN ALL SCHOOL AND PROGRAM BULLETINS. IT ALSO REFERS TO THIS POLICY IN ALL WRITTEN ADVERTISING. IT THEREFORE MEETS THE CRITERIA UNDER REV. PROC. 75-50, SECTION 4.03-2(B)FOR EXEMPTION FROM THE PUBLICITY REQUIREMENTS OF SECTION 4.03-1. SCHEDULE E, LINE 6A COLUMBIA UNIVERSITY RECEIVES FEDERAL, STATE AND LOCAL GOVERNMENTAL FUNDING THAT SUPPORTS ITS CORE INSTRUCTIONAL AND RESEARCH PROGRAMS. true Antarctica 0 6 Program Services EDUC/RESEARCH/OUTREACH 8521 Central America and the Caribbean 1 405 Program Services EDUC/RESEARCH/OUTREACH 1481151 Central America and the Caribbean 0 0 Grantmaking 5000 Central America and the Caribbean 0 0 Investments 4842885405 East Asia and the Pacific 4 1341 Program Services EDUC/RESEARCH/OUTREACH 9685162 East Asia and the Pacific 0 0 Grantmaking 435083 East Asia and the Pacific 0 0 Fundraising 289529 East Asia and the Pacific 0 0 Investments 292821268 Europe (Including Iceland and Greenland) 15 3184 Program Services EDUC/RESEARCH/OUTREACH 14602488 Europe (Including Iceland and Greenland) 0 0 Grantmaking 3717872 Europe (Including Iceland and Greenland) 0 0 Fundraising 722918 Europe (Including Iceland and Greenland) 0 0 Investments 656006057 Middle East and North Africa 5 703 Program Services EDUC/RESEARCH/OUTREACH 3883923 Middle East and North Africa 0 0 Grantmaking 104986 Middle East and North Africa 0 0 Fundraising 154653 Middle East and North Africa 0 0 Investments 45000 North America 1 658 Program Services EDUC/RESEARCH/OUTREACH 1390388 North America 0 0 Grantmaking 1363071 North America 0 0 Fundraising 10015 North America 0 0 Investments 27362410 Russia and the Newly Independent States 4 155 Program Services EDUC/RESEARCH/OUTREACH 4437604 Russia and the Newly Independent States 0 0 Grantmaking 616452 South America 3 632 Program Services EDUC/RESEARCH/OUTREACH 3267761 South America 0 0 Grantmaking 274318 South America 0 0 Fundraising 27047 South America 0 0 Investments 35426 South Asia 1 292 Program Services EDUC/RESEARCH/OUTREACH 2093800 South Asia 0 0 Grantmaking 1000452 South Asia 0 0 Fundraising 84716 South Asia 0 0 Investments 18458 Sub-Saharan Africa 52 2398 Program Services EDUC/RESEARCH/OUTREACH 136567488 Sub-Saharan Africa 0 0 Grantmaking 43380536 Sub-Saharan 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Sub-Saharan Africa Edu/Research 26100 Vehicle Book Value Russia and the Newly Independent States Edu/Research 24560 Equipment Book Value Russia and the Newly Independent States Edu/Research 24560 Equipment Book Value Russia and the Newly Independent States Edu/Research 24267 Equipment Book Value Russia and the Newly Independent States Edu/Research 24267 Equipment Book Value Sub-Saharan Africa Edu/Research 17516 Vehicle Book Value Russia and the Newly Independent States Edu/Research 24267 Equipment Book Value Sub-Saharan Africa Edu/Research 12644 Equipment Book Value Sub-Saharan Africa Edu/Research 11734 Vehicle Book Value Sub-Saharan Africa Edu/Research 11649 Equipment Book Value Sub-Saharan Africa Edu/Research 11649 Equipment Book Value Sub-Saharan Africa Edu/Research 7998 Equipment Book Value Sub-Saharan Africa Edu/Research 5040 Equipment Book Value Sub-Saharan Africa Edu/Research 5040 Equipment Book Value 118 3 true true true true true true SUPPLEMENTAL INFORMATION SCHEDULE F, PART I, LINE 2 ORGANIZATION'S PROCEDURES FOR MONITORING GRANT FUNDS THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF ALL SPONSORED PROJECT GRANT FUNDING. THIS POLICY IS CONTAINED IN THE "SPONSORED PROJECTS HANDBOOK". THE POLICY STATES THAT THE PRIMARY OBLIGATION FOR THE DAY-TO-DAY MANAGEMENT OF SPONSORED PROJECTS AND INSURING COMPLIANCE WITH FEDERAL AND OTHER SPONSOR REGULATIONS IS THE RESPONSIBILITY OF THE PRINCIPAL INVESTIGATOR SUPPORTED, AS NECESSARY, BY HIS OR HER ADMINISTRATIVE STAFF. ADDITIONALLY, THE POLICY SPECIFIES THE FOLLOWING MONITORING PROCEDURES: - MONTHLY ACCOUNT RECONCILIATION - REVIEW OF SALARY AND BENEFIT CHARGES - REVIEW OF VENDOR INVOICES - REVIEW OF CHARGES INITIATED BY SERVICE OR RECHARGE CENTERS - REVIEW OF FACILITIES AND ADMINISTRATIVE CHARGES - MONITORING OF SUB-AWARDS THROUGH REVIEW OF CHARGES AND TECHNICAL PERFORMANCE REPORTS, CONDUCTING PERIODIC ONSITE VISITS, AND INITIATING AUDITS/REVIEWS WHEN NECESSARY EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. MOST OF THE ACTIVITY RELATES TO U.S. GOVERNMENT FUNDED PROGRAM SERVICES. OTHER ACTIVITY INCLUDES FACULTY AND STAFF TRAVEL FOR EDUCATIONAL, RESEARCH, FUNDRAISING AND OTHER PROGRAM SERVICES. NOT ALL OF THE OVERSEAS EXPENDITURES ARE SEPARATELY TRACKED AS FOREIGN ACTIVITY. THE AMOUNTS REPRESENTED ON SCHEDULE F REPRESENT THE UNIVERSITY'S GOOD FAITH EFFORTS TO CAPTURE AND CATEGORIZE FOREIGN ACTIVITY. ----------------------------------------------------------------- FORM 990, SCHEDULE F, PART I, COLUMN (F) & PART II, LINE 1 COLUMBIA UNIVERSITY ACCOUNTS FOR ALL FOREIGN EXPENDITURES, INCLUDING CASH GRANTS AND NONCASH ASSISTANCE, ON THE ORGANIZATION'S FINANCIAL STATEMENTS IN ACCORDANCE WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES IN THE UNITED STATES. ---------------------------------------------------------------- X X X X X X X true RUFFALO NOEL LEVITZ LLC 1025 KIRKWOOD PARKWAY SW CEDAR RAPIDS IA 52404 CONSULTING false 1294884 711626 583258 EVENTAGE 18 SOUTH ORANGE AVENUE SOUTH ORANGE NJ 07079 CONSULTING false 1442096 1208578 233518 SNAP MOBILE LLC 939 WEST LAKE AVE N SEATTLE WA 98109 CONSULTING false 12073558 122000 11951558 DONORDRIVE 30 WEST THIRD STREET CINCINNATI OH 45202 CONSULTING false 28912 24230 4682 14839450 2066434 12773016 NY ANNUAL DINNER 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FOR THE ARTS 27 SOUTH GREENBUSH ROAD W NYACK NY 10994 131760107 501(C)(3) 50000 N/A N/A Program Services SOUTHERNERS ON NEW GROUND PO BOX 11250 ATLANTA GA 30310 611274170 501(C)(3) 15000 N/A N/A Program Services THE ARNOLD P GOLD FOUNDATION 619 E PALISADE AV ENGLEWOOD CLIFFS NJ 07632 223052098 501(C)(3) 37500 N/A N/A Program Services THE MARFAN FOUNDATION INC 22 MANHASSET AVE PT WASHINGTON NY 11050 521265361 501(C)(3) 25000 N/A N/A Program Services THE ONE LOVE FOUNDATION IN HONOR OF YEARDLEY LOVE 44 PONDFIELD ROAD BRONXVILLE NY 10708 272904497 501(C)(3) 100000 N/A N/A Program Services THE PRAXIS PROJECT INC 7731 ALASKA AVE NW WASHINGTON DC 20012 300044814 501(C)(3) 15000 N/A N/A Program Services THE YOUNG MENS AND YOUNG WOMENS HEBREW ASN 1395 LEXINGTON Ave NEW YORK NY 10128 131624229 501(C)(3) 55000 N/A N/A Program Services UNIVERSITY OF WISCONSIN FOUNDATION 1848 UNIVERSITY Ave MADISON WI 53726 390743975 501(C)(3) 25000 N/A N/A Program Services Volunteer Counseling Services INC 77 SOUTH MAIN St NEW CITY NY 10956 132720369 501(C)(3) 100000 N/A N/A Program Services W HARLEM GROUP ASSISTANCE INC 1652 AMSTERDAM Ave NEW YORK NY 10031 237169558 501(C)(3) 15000 N/A N/A Program Services WNET 825 EIGHTH Ave NEW YORK NY 10019 262810489 501(C)(3) 25000 N/A N/A Program Services American Jewish Committee (AJC) 165 East 56th St New York NY 10022 135563393 501(C)(3) 12500 N/A N/A Program Services Knight First Amendment Inst at CU 535 W 116 New York NY 10027 814759386 501(C)(3) 1000000 N/A N/A Capital Contr Reid Hall 615 W 131ST ST MC 8741 NEW YORK NY 10027 131611126 501(C)(3) 2536210 N/A N/A Capital Contr Columbia University Health Care Inc 630 W 168TH St NEW YORK NY 10032 133948652 501(C)(3) 5023508 N/A N/A Capital Contr COLUMBIA DOCTORS OF BERGEN COUNTY PC 615 W 131ST ST 3RD FL MC 8741 NEW YORK NY 10027 473568473 62043 N/A N/A Capital Contr COLUMBIA DOCTORS OF NEW JERSEY 615 W 131ST ST 3RD FL MC 8741 NEW YORK NY 10027 264364931 25585 N/A N/A Capital Contr 360 2 CCS NANCY RUPP SCHOLARSHIPS 2 7000 N/A N/A STUDENT TUITION GRANTS AND SCHOLARSHIPS 14268 550883183 N/A N/A DESCRIPTION OF ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANTS FORM 990, SCHEDULE I THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF THE USE OF SPONSORED PROJECT GRANT FUNDING BY SUBRECIPIENTS. THE POLICY MANDATES MONITORING IN TWO AREAS: (A) SUBRECIPIENT INSTITUTION COMPLIANCE WITH THE AUDITING REQUIREMENTS OF OMB CIRCULAR A-133, AND (B) SUBRECIPIENT INSTITUTION'S APPROPRIATE MANAGEMENT OF SUBAWARD. THE UNIVERSITY'S SPONSORED PROJECTS FINANCE GROUP COLLECTS A-133 REPORTS FROM SUBRECIPIENT INSTITUTIONS, AND THE PRINCIPAL INVESTIGATORS CARRY OUT THE SECOND TYPE OF MONITORING, PRINCIPALLY BY: - ROUTINELY GATHERING AND REVIEWING TECHNICAL PERFORMANCE REPORTS; - ROUTINELY REVIEWING INVOICES AND EXPENSES RELATIVE TO BUDGET; - CONDUCTING PERIODIC ON-SITE VISITS, WHEN NECESSARY; AND - INITIATING AUDITS, WHEN NECESSARY. X X X X true true X X X X X false false false true false false false true false LEE C BOLLINGER PRESIDENT 1405761 0 700000 0 64418 0 40890 0 437613 0 2648682 0 0 0 JANE E BOOTH GENERAL COUNSEL 662123 0 0 0 0 0 35419 0 10239 0 707781 0 0 0 JOHN COATSWORTH PROVOST 746548 0 0 0 41146 0 27390 0 19647 0 834731 0 0 0 JEROME DAVIS SECRETARY 422115 0 0 0 0 0 27390 0 15070 0 464575 0 0 0 DAVID MADIGAN EXEC VP - ARTS & SCIENCES 527846 0 0 0 44151 0 27390 0 166064 0 765451 0 0 0 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 744594 0 0 0 0 0 27390 0 14067 0 786051 0 0 0 GERALD M ROSBERG SENIOR EXEC VICE PRESIDENT 754165 0 0 0 0 0 27312 0 19930 0 801407 0 0 0 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 1123821 0 0 0 294025 0 502590 0 10239 0 1930675 0 0 0 PETER HOLLAND CEO & EXEC VP OF INV MGMT 977515 0 2789476 0 0 0 2695992 0 60092 0 6523075 0 2465969 0 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 738620 0 0 0 0 0 27390 0 12721 0 778731 0 0 0 DAVID GREENBERG EXEC VP FACILITIES 517346 0 0 0 0 0 27390 0 7186 0 551922 0 0 0 DAVID N SILVERS CLINICAL PROFESSOR 2997708 0 1181754 0 0 37103 0 9278 0 4225843 0 0 0 CRAIG R SMITH PROFESSOR OF SURGERY 2485557 0 0 0 36000 0 17355 0 2538912 0 0 0 LAWRENCE GERALD LENKE PROFESSOR OF SURGERY 4065031 0 0 0 29908 0 24839 0 4119778 0 0 0 KIEHYUN DANIEL RIEW PROFESSOR OF SURGERY 3281664 0 0 0 30041 0 31447 0 3343152 0 0 0 RONALD ARTHUR LEHMAN JR PROFESSOR OF SURGERY 2393562 0 0 0 30438 0 31483 0 2455483 0 0 0 SUPPLEMENTAL COMPENSATION INFORMATION NOTES TO PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN LIMITED CIRCUMSTANCES, CERTAIN INDIVIDUALS MAY TRAVEL FIRST CLASS WHEN THE TRAVEL IS SUBSTANTIATED AS A REASONABLE EXPENSE TO SUPPORT THE MISSION OF THE UNIVERSITY. ANY FIRST CLASS EXCEPTIONS TO THE UNIVERSITY'S POLICY ARE SUBJECT TO REVIEW AND APPROVAL. TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT OR OF ANOTHER OFFICER OR KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS, AS WELL AS REPRESENTING THE UNIVERSITY AT AWARDS PRESENTATIONS OR OTHER CEREMONIES OR EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT IS REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. THE PRESIDENT'S HOUSING HAS BEEN VALUED AT $408,706 AND IS REPORTED AS A NON-TAXABLE BENEFIT. THE UNIVERSITY ALSO PROVIDES A CAR AND DRIVER TO BE USED BY THE PRESIDENT IN CONNECTION WITH HIS DUTIES. THE PRESIDENT IS RESPONSIBLE FOR ANY PERSONAL USE OF THE HOUSEHOLD STAFF OR CAR AND DRIVER AND OTHER PERSONAL EXPENSES. PERSONAL SERVICES OTHER REPORTABLE COMPENSATION INCLUDES $6,425 IMPUTED TO DR. GOLDMAN WITH RESPECT TO PERSONAL USE OF A CAR AND DRIVER PROVIDED BY THE UNIVERSITY (SEE PART I, COLUMN (B)(III)). NOTE TO PART I, LINE 5A DR. DAVID SILVERS' COMPENSATION IS COMPRISED OF BASE COMPENSATION AND INCENTIVE COMPENSATION DETERMINED FROM HIS PERFORMANCE OF, AND REVENUES FROM, CLINICAL DUTIES IN THE UNIVERSITY'S DERMATOPATHOLOGY PRACTICE WHERE HE IS THE DIRECTOR, AND IS SUBJECT TO A CAP FOR EACH ACADEMIC YEAR. NOTE TO PART I, LINE 7 NOTE TO PETER HOLLAND'S COMPENSATION THE ACTUAL AMOUNT EARNED DURING THE REPORTING PERIOD WAS $4,057,106 FOR MR. HOLLAND. THE LARGER COMPENSATION FIGURE SHOWN IN COLUMN (E) INCLUDES DOUBLE REPORTING OF PREVIOUSLY REPORTED DEFERRED COMPENSATION THAT VESTED AND WAS PAID DURING THE REPORTING PERIOD. THE ACTUAL AMOUNT EARNED BY MR. HOLLAND IS CALCULATED BY SUBTRACTING COLUMN (F) FROM COLUMN (E). PAYMENT OF MR. HOLLAND'S PERFORMANCE BASED BONUS IS, IN EACH CASE, DEFERRED SUBJECT TO VESTING UPON CONTINUING SERVICE TO THE UNIVERSITY. COLUMNS (C) AND (E) INCLUDE DEFERRED COMPENSATION AWARDED DURING THE REPORTING PERIOD BUT SUBJECT TO FUTURE VESTING. NOTE TO LEE BOLLINGER'S COMPENSATION AMOUNTS FOR PRESIDENT BOLLINGER IN COLUMN (B)(II) INCLUDE PAYMENTS UNDER A PERFORMANCE-BASED BONUS AWARD. NOTE TO DR. GOLDMAN'S COMPENSATION THE UNIVERSITY HAS AGREED TO PROVIDE DR. GOLDMAN WITH SUPPLEMENTAL RETIREMENT INCOME BASED ON CUMULATIVE ANNUAL CREDITS INCLUDING AMOUNTS FOR ACHIEVING PERFORMANCE MEASURES, SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICES TO THE UNIVERSITY. CREDITS AWARDED FOR THE CALENDAR YEAR REPORTING PERIOD $475,200 ARE INCLUDED AS DEFERRED COMPENSATION. NOTE TO DR. SMITH'S, DR. LENKE'S, DR. RIEW'S, AND DR. LEHMAN'S COMPENSATION THE COMPENSATION OF DR. SMITH, DR. LENKE, DR. RIEW, & DR. LEHMAN IS SUPPORTED BY THEIR CLINICAL ACTIVITIES, GRANTS, AND SUPPORT FROM THE UNIVERSITY'S HOSPITAL AFFILIATES. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B 146000293 649901R49 2003-03-05 122696491 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A 146000293 649905DF0 2009-05-14 117000000 FUND NEW QUALIFIED PROJECTS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2011A 146000293 649906AV6 2011-02-16 312102192 FUND NEW QUALIFIED PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A 146000293 649906F33 2012-06-07 174118498 REFUND 2008A & FUND NEW PROJECTS false false false A 87775000 0 123718793 0 0 0 802880 0 0 122097219 818694 0 2004 false false true true B 0 0 117067254 0 0 0 823388 0 0 115269253 974613 0 2009 false false true true C 15000000 0 312258392 0 0 0 1678394 0 0 308005990 2574008 0 false false true true D 0 0 174157898 0 0 0 738570 0 0 173344328 75000 0 false true true true A false true true true true true 0 false false false true B false true true true true true 0 false false false true C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false false true true false 0 false 0 false true B false false false true true false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true SCHEDULE K, PART II, LINE 3 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED ON SCHEDULE K, PART II, LINE 11 REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE WITH THE EXCEPTION OF THE 2012A, 2015A, and 2015B BOND ISSUES. ------------------------------------------------------------- SCHEDULE K, PART III, LINES 4-5 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2009A, SERIES 2011A, SERIES 2012A, SERIES 2015A, SERIES 2015B, SERIES 2016A&B, SERIES 2017A&B AND 2018A&B ISSUES ON SCHEDULE K. -------------------------------------------------------------- SCHEDULE K, PART IV, LINE 2 FOR ALL SERIES EXCEPT THE 2015A AND 2015B, THE BOND PROCEEDS ARE SLIGHTLY EXCEEDED BY THE TOTAL USES DUE TO EARNINGS IN THE CONSTRUCTION FUND HELD AT THE TRUSTEE. THE LATEST ARBITRAGE COMPUTATION FOR DASNY 2003A&B, 2009A, 2011A, 2012A, 2015A, 2015B, 2016A&B, AND 2017A&B WAS DECEMBER 31, 2017. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2015A 146000293 6499077D8 2015-04-23 125006199 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2015B 146000293 64990BGH0 2015-04-23 56240112 REFUND DASNY 2004B BONDS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2016A&B 146000293 64990BZK2 2016-04-27 491547535 REFUND 2006AB AND FUND NEW PROJECT false false false D DORMITORY AUTHORITY OF NEW YORK 2017A&B 146000293 64990CQE4 2017-03-01 240921142 REFUND 2004C AND FUND NEW PROJECTS false false false A 0 0 125006199 0 0 0 482921 0 0 124474161 49116 0 false false true true B 9850000 0 56240112 0 0 0 239228 0 0 0 56000884 0 2007 true false true true C 19990000 0 491760973 0 0 0 1304805 0 0 239038664 251417504 0 true false true true D 0 0 241400663 0 0 0 879101 0 0 191140597 49380966 0 true false true true A false true true true true true 0 false false false true B false true true true true true 0 false false false true C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false false true false false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true A DORMITORY AUTHORITY OF NEW YORK 2018A&B 146000293 64990C6P1 2018-05-16 396803509 REFUND 2008A AND FUND NEW PROJECTS false false false A 0 0 396803509 0 0 0 1296723 0 0 79193163 204570162 111743460 true false false true A false true true true true true 0 false false false true A false true false false false false 0 false 0 false true A true JOHN COATSWORTH OFFICER HOUSING X 1475000 1920632 false true true JOHN COATSWORTH OFFICER HOUSING X 525000 545539 false true true DAVID MADIGAN OFFICER HOUSING X 400000 240000 false true true 2706171 JILL S GOLDMAN SPOUSE OF KEY EMPLOYEE 109555 EMPLOYMENT false NOTES TO SCHEDULE L ALL AMOUNTS SHOWN ON SCHEDULE L REPRESENT PAYMENTS BY THE UNIVERSITY TO THE INTERESTED PERSON. THE SPOUSE OF THE KEY EMPLOYEE LISTED IN SCHEDULE L WAS AN EMPLOYEE OF THE UNIVERSITY DURING THE REPORTING PERIOD. HER COMPENSATION REPORTED ON SCHEDULE L WAS DETERMINED IN ACCORDANCE WITH THE UNIVERSITY'S REGULAR COMPENSATION PRACTICES APPLICABLE TO SIMILARLY SITUATED EMPLOYEES. NO UNIVERSITY OFFICIAL WHO WAS ALSO AN OFFICER OR DIRECTOR OF AN INTERESTED PERSON PARTICIPATED IN OR INFLUENCED THE UNIVERSITY'S DECISION ABOUT ANY TRANSACTION. SCHEDULE L, PART II THE LOANS REPORTED FOR JOHN COATSWORTH IN PART II ARE INTEREST BEARING AND SECURED BY AN INTEREST IN A PRIMARY RESIDENCE. THE LOAN REPORTED FOR DAVID MADIGAN IN PART II IS INTEREST BEARING AND WAS MADE IN CONNECTION WITH A PRIMARY RESIDENCE. X 12 0 X 627 29722548 COST/SALES PRICE X 7 0 X 2 0 X EQUIPMENT 7 0 0 X EVENT TICKETS & FEES 12 0 0 X BOOKS 2 0 0 X SOFTWARE 1 0 0 19 false true true USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART I, LINE 32B THE UNIVERSITY USES THIRD PARTY INVESTMENT BROKERS TO SELL NON-CASH CONTRIBUTED SECURITIES. THIRD PARTIES ARE NOT USED TO SOLICIT OR PROCESS ANY CONTRIBUTIONS. DESCRIPTION OF CONTRIBUTED PROPERTY FOR WHICH REVENUES ARE NOT REPORTED SCHEDULE M, PART I, LINE 33 UNDER GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. BECAUSE THE UNIVERSITY UTILIZES CONTRIBUTIONS OF ART AND HISTORICAL TREASURES IN FURTHERANCE OF PUBLIC SERVICE, THESE CONTRIBUTIONS ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. IN ADDITION, MINOR GIFTS, SUCH AS FOOD OR SUPPLIES, ARE CONSIDERED DE MINIMIS. NUMBER OF CONTRIBUTIONS SCHEDULE M, PART I, COLUMN (B) THE FIGURES IN COLUMN (B) REPRESENT THE NUMBER OF CONTRIBUTIONS RECEIVED. SUPPLEMENTAL DISCLOSURES FORM 990, PART I, LINE 4 AND PART VI, LINE 1B DETAIL REGARDING THE NUMBER OF INDEPENDENT VOTING MEMBERS THE UNIVERSITY'S PRESIDENT, A VOTING MEMBER OF THE BOARD, IS NOT COUNTED AS INDEPENDENT BECAUSE HE IS AN EMPLOYEE OF THE UNIVERSITY. IN ACCORDANCE WITH THE FORM 990 REPORTING INSTRUCTIONS, THE UNIVERSITY HAS ALSO NOT COUNTED AS INDEPENDENT FOR THE PURPOSES OF THIS QUESTION THE TRUSTEE LISTED ON PART VII WHO IS RETIRED FROM THE UNIVERSITY AND RECEIVED PREVIOUSLY-ACCRUED NON-TAXABLE BENEFITS DURING THE REPORTING PERIOD BASED UPON HIS PRIOR UNIVERSITY EMPLOYMENT. ------------------------------------------------------------- FORM 990, PART I, LINE 6 DETAIL REGARDING THE NUMBER OF VOLUNTEERS THE NUMBER SHOWN IS AN ESTIMATE OF ALUMNI VOLUNTEERS WHO WORK WITH THE UNIVERSITY'S CENTRAL ALUMNI OFFICE. ADDITIONAL VOLUNTEERS WORK IN MANY OF THE UNIVERSITY'S SCHOOLS, CENTERS AND OTHER PROGRAMS. ------------------------------------------------------------- FORM 990, PART V, LINE 4B FOREIGN COUNTRY LIST ANGOLA BANGLADESH BRAZIL CAMEROON CHILE CHINA CONGO ETHIOPIA FRANCE GERMANY INDIA ITALY COTE D'IVOIRE (IVORY COAST) JAPAN JORDAN KAZAKHSTAN KENYA KYRGYZSTAN LESOTHO MALAWI MOZAMBIQUE MYANMAR RWANDA SIERRA LEONE SOUTH AFRICA SOUTH SUDAN SWAZILAND TAJIKISTAN TANZANIA TURKEY UNITED KINGDOM (ENGLAND, NORTHERN IRELAND, SCOTLAND, AND WALES) UGANDA ZAMBIA ZIMBABWE ------------------------------------------------------------- FORM 990, PART V, LINES 7G AND 7H CONTRIBUTIONS OF CERTAIN TYPES OF PROPERTY DURING THE YEAR ENDED JUNE 30, 2018, THE UNIVERSITY DID NOT RECEIVE ANY CONTRIBUTIONS OF QUALIFIED INTELLECTUAL PROPERTY, CARS, BOATS, AIRPLANES, OR OTHER VEHICLES. AS A RESULT, THE UNIVERSITY WAS NOT REQUIRED TO FILE FORMS 8899 OR 1098-C TO REPORT SUCH CONTRIBUTIONS. ------------------------------------------------------------- FORM 990, PART VI, LINE 2 DETAIL OF FAMILY/BUSINESS RELATIONSHIPS ARMEN AVANESSIANS AND ESTA STECHER - BUSINESS RELATIONSHIP ANN KAPLAN AND ESTA STECHER - BUSINESS RELATIONSHIP ------------------------------------------------------------- FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW 990 THE TRUSTEES AUDIT COMMITTEE REVIEWED THE FORM 990. FOLLOWING THAT REVIEW, THE FORM 990 WAS MADE AVAILABLE TO ALL TRUSTEES VIA A SECURE WEBSITE AND THEN PRESENTED TO THE FULL BOARD OF TRUSTEES AT A MEETING ON MAY 1, 2019. THE FINAL FORM WAS POSTED ON THE SECURE WEBSITE FOR TRUSTEE REVIEW PRIOR TO FILING. ------------------------------------------------------------- FORM 990, PART VI, LINE 12C DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST ALL TRUSTEES ARE SUBJECT TO THE "STATEMENT OF CONFLICT OF INTEREST POLICY FOR THE TRUSTEES OF COLUMBIA UNIVERSITY." WHEN A TRUSTEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCES TO THE BOARD CHAIR OR OTHERS, AS APPROPRIATE, (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE TRUSTEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSIONS OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL TRUSTEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THE DISCLOSURES ARE REVIEWED FOR APPROPRIATE ACTION. ALL OFFICERS AND KEY EMPLOYEES ARE SUBJECT TO THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST." WHEN AN OFFICER OR KEY EMPLOYEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCE TO HIS OR HER SUPERVISOR, THE TRUSTEES OR OTHERS, AS APPROPRIATE; (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE OFFICER OR EMPLOYEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSION OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL OFFICERS AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THESE DISCLOSURES ARE REVIEWED AND ANY DISCLOSURES THAT COULD GIVE RISE TO CONFLICTS AS IDENTIFIED THROUGH SUCH REVIEW ARE REPORTED TO AN APPROPRIATE SENIOR OFFICER. ANY SUBSTANTIVE CONCERNS ARE ALSO REPORTED TO THE CHAIR OF THE BOARD OF TRUSTEES. ------------------------------------------------------------- FORM 990, PART VI, LINES 15A AND 15B COMPENSATION PROCESS THE UNIVERSITY FOLLOWS THE REVIEW PROCESS DESCRIBED BELOW FOR ALL OFFICERS AND KEY EMPLOYEES. THIS PROCESS HAS BEEN IN PLACE SINCE AT LEAST 2000. THE COMPENSATION FOR THE ORGANIZATION'S PRESIDENT IS REVIEWED BY A COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES AND APPROVED BY THE INDEPENDENT TRUSTEES ON THE FULL BOARD. THE COMPENSATION OF OTHER OFFICERS AND KEY EMPLOYEES IS REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES. IN CONNECTION WITH THE PRESIDENT'S COMPENSATION, THE COMPENSATION COMMITTEE AND THE BOARD REVIEW COMPARABILITY DATA AND MINUTES OF DELIBERATIONS ARE RECORDED CONTEMPORANEOUSLY WITH ANY ACTION. WITH RESPECT TO OTHER OFFICERS AND KEY EMPLOYEES, THE COMMITTEE FOLLOWS THE SAME PROCESS FOR REVIEW OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF ITS ACTIONS. IN THE CASE OF THE ORGANIZATION'S PRESIDENT AND CERTAIN OTHER OFFICERS AND KEY EMPLOYEES, THE COMPENSATION COMMITTEE HAS ALSO CONSULTED WITH INDEPENDENT COMPENSATION CONSULTANTS IN DETERMINING COMPENSATION. THE COMPENSATION OF THE PRESIDENT AND THE EXECUTIVE VICE PRESIDENT OF THE INVESTMENT MANAGEMENT COMPANY IS REVIEWED AND APPROVED BY A COMPENSATION COMMITTEE OF THE INVESTMENT MANAGEMENT COMPANY'S BOARD OF MANAGERS. SUCH COMPENSATION COMMITTEE IS COMPRISED OF INDEPENDENT MEMBERS OF THE BOARD MANAGERS. "INDEPENDENT TRUSTEE"INDEPENDENT MEMBER" AS USED IN THIS FOOTNOTE MEANS WITHOUT A CONFLICT OF INTEREST WITHIN THE MEANING OF PARAGRAPH (c)(1)(iii) OF REGULATION 53.4958-6 OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE FORM 990 INSTRUCTIONS, PART VI, LINE 1B ABOVE USES A DIFFERENT DEFINITION. ------------------------------------------------------------- FORM 990, PART VI, LINE 19 DOCUMENTS AVAILABILITY TO PUBLIC THE ORGANIZATION'S CHARTER AND STATUTES, FINANCIAL STATEMENTS AND THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST" ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE AT WWW.COLUMBIA.EDU. -------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON TRUSTEES TRUSTEES' TIME DEVOTED TO POSITION (4 HOURS PER WEEK) REPRESENTS AN AVERAGE FOR ALL TRUSTEES BASED ON ATTENDANCE AT QUARTERLY MEETINGS AND REGULARLY SCHEDULED TELEPHONIC CONFERENCES THROUGHOUT THE YEAR. BOARD OFFICERS, COMMITTEE CHAIRS AND OTHER TRUSTEES OFTEN DEVOTE SIGNIFICANTLY MORE TIME TO THE POSITION. -------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON RELATED HOURS INDIVIDUALS WITH LISTED HOURS FOR A RELATED ORGANIZATION SIT ON THE BOARD OF COLUMBIA CONTROLLED AFFILIATES AS PART OF THEIR OVERALL COLUMBIA DUTIES, WHEN AND AS NEEDED BY THE AFFILIATES AND THAT MAY NOT BE ON A REGULAR OR WEEKLY BASIS. -------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON KENNETH FORDE'S COMPENSATION KENNETH FORDE'S REPORTED NON-TAXABLE BENEFITS REFLECT BENEFITS FROM PARTICIPATION IN A RETIREE BENEFITS PLAN WHEN DR. FORDE WAS A PROFESSOR OF SURGERY AT THE UNIVERSITY. DR. FORDE IS RETIRED FROM HIS UNIVERSITY POSITION AND RECEIVES NO COMPENSATION OR OTHER BENEFITS FOR HIS DUTIES AS A TRUSTEE. -------------------------------------------------------------- FORM 990, PART VIII DETAIL REGARDING ROYALTY INCOME/EXPENSE THE UNIVERSITY PERIODICALLY FUNDS AND DEVELOPS PATENTS FOR CERTAIN TECHNOLOGIES, THEN LICENSES THE USAGE OF THESE PATENTS TO COMPANIES. THE REVENUE, NET OF PAYMENTS DUE TO THIRD PARTIES, IS RECORDED IN "REVENUE FROM OTHER EDUCATIONAL AND RESEARCH ACTIVITIES" IN THE CONSOLIDATED STATEMENT OF ACTIVITIES. COSTS INCURRED WITH DEVELOPING AND MAINTAINING THESE PATENTS ARE EXPENSED AS INCURRED SO THAT WHILE ROYALTIES ARE PAID TO FACULTY AND OTHERS IN CERTAIN CIRCUMSTANCES THESE AMOUNTS ARE NOT REFLECTED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART VIII, LINE 8 AND SCHEDULE G, PART II DESCRIPTION OF ACCOUNTING FOR FUNDRAISING EVENTS AMOUNTS REPORTED FOR FUNDRAISING EVENTS REPRESENT REVENUE AND EXPENSES THAT ARE SEPARATELY TRACKED. THE REVENUE AND EXPENSES FROM ADDITIONAL FUNDRAISING ACTIVITIES ARE NOT SEPARATELY TRACKED AND ARE INCLUDED WITHIN CONTRIBUTION REVENUE AND FUNDRAISING EXPENSES. ------------------------------------------------------------- FORM 990, PART IX, LINE 5 COMPENSATION PAID TO CURRENT OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES COMPENSATION AMOUNTS PRESENTED AS MANAGEMENT AND GENERAL EXPENSES ARE FOR CURRENT OFFICERS, DIRECTORS, TRUSTEES, AND KEY EMPLOYEES WHO ARE PART OF CENTRAL ADMINISTRATION. WHILE THESE OFFICERS AND KEY EMPLOYEES SPEND A PORTION OF THEIR TIME ON PROGRAM SERVICES AND/OR FUNDRAISING ACTIVITIES IN ADDITION TO THEIR MANAGEMENT RESPONSIBILITIES, THE UNIVERSITY HAS CHOSEN NOT TO ALLOCATE THE EXPENSES BETWEEN CATEGORIES. ------------------------------------------------------------- FORM 990, PART IX, LINE 11F INVESTMENT MANAGEMENT FEES THE INVESTMENT MANAGEMENT FEES REPORTED ON THE STATEMENT OF FUNCTIONAL EXPENSES REPRESENT FEES TO THIRD PARTY INVESTMENT MANAGERS AND INCLUDE MANAGEMENT FEE AND PERFORMANCE FEE EXPENSES ASSOCIATED WITH SEPARATELY MANAGED ACCOUNTS. INVESTMENT MANAGEMENT FEES ASSOCIATED WITH FUND INVESTMENTS ARE REPORTED NET AGAINST INVESTMENT INCOME AND THEREFORE ARE NOT INCLUDED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART X, BEGINNING OF YEAR ASSETS PRESENTATION OF AMOUNTS THE PRESENTATION OF CERTAIN AMOUNTS IN THE BEGINNING OF YEAR ASSETS COLUMN HAS BEEN RECLASSIFIED TO MORE ACCURATELY CONFORM TO FORM 990 INSTRUCTIONAL GUIDANCE. ------------------------------------------------------------- FORM 990, PART X, LINE 7 LOAN INFORMATION LOANS RECEIVABLE FROM STUDENTS TOTAL $96,808,000. LOANS RECEIVABLE FROM NON-KEY EMPLOYEES TOTAL $23,644,760. THE LOANS FROM NON-KEY EMPLOYEES HAVE VARIOUS INTEREST RATES RANGING FROM 1.80% TO 5.26%, WITH MATURITY DATES RANGING FROM 2019 THROUGH 2047. THE OUTSTANDING BALANCES RANGE FROM $10,202 TO $2,849,265 AND A PORTION OF WHICH ARE SECURED BY A PRINCIPAL RESIDENCE. LOANS RECEIVABLE FROM OTHER 501(C)(3) ORGANIZATIONS TOTAL $997,929. ------------------------------------------------------------- FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCE CHANGE IN FUNDS HELD BY OTHER IN PERPETUITY 18,702,788 PRESENT VALUE ADJUSTMENT TO SPLIT INTEREST AGREEMENTS (7,088,110) CHANGES IN PENSION AND POST-RETIREMENT OBLIGATIONS 21,851,859 OTHER NON-OPERATING ADJUSTMENTS (2,935,074) -------------- TOTAL OTHER CHANGES IN NET ASSETS 30,531,463 ------------------------------------------------------------- FORM 990, PART XII, LINE 2 AUDIT OF THE UNIVERSITY'S FINANCIAL STATEMENTS THE CONSOLIDATED FINANCIAL STATEMENTS OF THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK ARE AUDITED BY PRICEWATERHOUSECOOPERS, AN INDEPENDENT AUDITOR. THE UNCONSOLIDATED FINANCIAL STATEMENTS REFLECTED IN THIS RETURN REPRESENT APPROXIMATELY 99% OF THE NET ASSETS OF THE CONSOLIDATED GROUP. THE UNIVERSITY'S BOARD OF TRUSTEES HAS AN AUDIT COMMITTEE, COMPRISED OF INDEPENDENT TRUSTEES, WHICH IS RESPONSIBLE FOR OVERSIGHT OF THE AUDIT, REVIEW, AND COMPILATION OF THE FINANCIAL STATEMENTS AND SELECTION OF THE INDEPENDENT AUDITOR COLUMBIA INVESTMENT MGT COMPANY LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 135598093 INVEST MGMT NY 0 0 COLUMBIA CIM I LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901851 INVEST HOLDNG DE 0 332930056 COLUMBIA CIM II LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901854 INVEST HOLDNG DE 0 0 COLUMBIA CIM III LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901855 INVEST HOLDNG DE 0 0 COLUMBIA CIM IV LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901856 INVEST HOLDNG DE 4913 26053741 COLUMBIA CIM V LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901861 INVEST HOLDNG DE -11910242 0 COLUMBIA CONQUEST MANAGED FUTURES SELECT FUND II 540 MADISON AVENUE 20TH FLOOR NEW YORK NY 10022 135598093 INVESTMENTS DE -11910242 0 CIM 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UNIVERSITY HEALTH CARE INC B 5023508 FMV COLUMBIA DOCTORS OF BERGEN COUNTY B 62043 FMV SUPPLEMENTAL INFORMATION SCHEDULE R COLUMBIA UNIVERSITY OWNS AN 81.57% INTEREST IN 2700 BROADWAY CONDOMINIUM, WHICH IS TREATED AS A CONDOMINIUM ASSOCIATION UNDER NEW YORK STATE LAW. --------------------------------------------------------------------- SCHEDULE R, PART I END-OF-YEAR ASSET REPORTING CERTAIN DISREGARDED ENTITIES LISTED IN SCHEDULE R, PART I MAY HOLD VEHICLES, OFFICE EQUIPMENT AND RELATED ITEMS, THE VALUE OF WHICH IS INCLUDED IN THE UNIVERSITY'S BALANCE SHEET IN PART X OF THIS FORM 990 BUT IS NOT REFLECTED IN COLUMN (E) END-OF-YEAR ASSETS. --------------------------------------------------------------------- SCHEDULE R, PART I INCOME/ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM I, LLC WHICH OWNS 100% OF THE SHARES ENTITLED TO THE INCOME AND ASSETS OF FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM I, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED AS REPORTED IN SCHEDULE R, PART IV. THE SHARES OWNED BY CIM I ARE NON-VOTING SHARES. --------------------------------------------------------------------- SCHEDULE R, PART I, COLUMNS (D) AND (E) INCOME AND ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM V, LLC, WHICH IS THE SOLE MEMBER OF CONQUEST MANAGED FUTURES SELECT FUND II, LLC. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM V, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CONQUEST MANAGED FUTURES SELECT FUND II, LLC, AS REPORTED IN SCHEDULE R, PART I. --------------------------------------------------------------------- SCHEDULE R, PART IV CONSISTENT WITH GAAP, THE UNIVERSITY DOES NOT CONSOLIDATE THE ENTITIES LISTED IN PART IV SCHEDULE R WHICH HAVE INVESTMENTS AS THEIR PRIMARY PURPOSE. THIS IS BECAUSE THE UNIVERSITY DOES NOT HAVE SUFFICIENT VOTING POWER WITH RESPECT TO THESE ENTITIES TO SATISFY THE CONTROL TEST FOR CONSOLIDATION UNDER GAAP. THE AMOUNTS SHOWN IN SCHEDULE R, PART IV, COLUMN (G) REFLECT THE UNIVERSITY'S SHARE OF THE NET ASSETS OF THESE ENTITIES FOR THE FISCAL YEAR REPORTING PERIOD WHICH, CONSISTENT WITH GAAP, IS REFLECTED ON LINE 16 OF THE BALANCE SHEET IN PART X OF THIS FORM 990. SIMILARLY, THE UNIVERSITY'S SHARE OF ANY CURRENT INCOME AND REALIZED GAINS FROM THESE ENTITIES IS REFLECTED IN COLUMN (F) OF SCHEDULE R, PART IV AND ON THE STATEMENT OF REVENUE IN PART VIII. THESE ENTITIES EACH OPERATE ON A CALENDAR-YEAR BASIS, AND THE UNIVERSITY'S SHARE OF THE GROSS INCOME AND TOTAL ASSETS FOR EACH OF THESE ENTITIES FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2017 IS SET FORTH BELOW: ASM HUDSON RIVER FUND SHARE OF TOTAL (GROSS) INCOME: ($76,529) SHARE OF END-OF-YEAR (GROSS) ASSETS: $53,736,000 CALUNIUS LITIGATION RISK FUND LP SHARE OF TOTAL (GROSS) INCOME: ($424,548) SHARE OF END-OF-YEAR (GROSS) ASSETS: $16,445,887 CALUNIUS LITIGATION RISK FUND 2 LP SHARE OF TOTAL (GROSS) INCOME: $3,708,066 SHARE OF END-OF-YEAR (GROSS) ASSETS: $32,225,881 COLUMBIA/PATRON SCOTLAND LP SHARE OF TOTAL (GROSS) LOSS: ($890,574) SHARE OF END-OF-YEAR (GROSS) ASSETS: $1,986,795 FPCM INFLATION-LINKED OPPORTUNITIES FUND, LTD SHARE OF TOTAL (GROSS) INCOME: $54,578,685 SHARE OF END-OF-YEAR (GROSS) ASSETS: $632,270,937 HARBOUR LITIGATION INVESTMENT OFFSHORE SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $3,227,838 NCH INVESTORS FUND (CU) CORP SHARE OF TOTAL (GROSS) LOSS: $24,603 SHARE OF END-OF-YEAR (GROSS) ASSETS: $464,973 CALUNIUS LITIGATION RISK FUND 3 LP SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $8,803,687 --------------------------------------------------------------------- SCHEDULE R, PART IV AS OF JUNE 30, 2018, THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK HELD MORE THAN A 50% BENEFICIAL INTEREST IN 60 CHARITABLE REMAINDER TRUSTS DOMICILED IN NEW YORK AND 2 POOLED INCOME FUNDS DOMICILED IN NEW YORK.