2019-05-15T13:51:13-05:00 2018-06-30 340677006 MALONEY NOVOTNY LLC 1111 SUPERIOR AVE SUITE 700 CLEVELAND OH 441142540 990 2017-07-01 042103629 SIMMONS UNIVERSITY SIMM 6175212877 300 THE FENWAY BOSTON MA 02115 HELEN DRINAN PRESIDENT 6175212877 2019-05-14 1 CHRISTOPHER B ANDERSON P00226559 2163630100 209.116.109.2 2019-05-14 13:05:37 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 F0962BFF9ACD815FD594AA84AFE8725155222DCF 2017 2019-02-21 02:37:17Z HELEN DRINAN 300 THE FENWAY BOSTON MA 02115 290774998 0 X WWW.SIMMONS.EDU X 1899 MA SIMMONS UNIVERSITY EXISTS TO EDUCATE, EMPOWER, AND TRANSFORM THE LIVES OF ITS STUDENTS, PREPARING THEM FOR LEADERSHIP IN THE PROFESSIONS, IN THEIR COMMUNITIES, AND IN THE WORLD. SIMMONS' ENDURING COMMITMENT IS TO PROVIDE AN EXCEPTIONAL HIGHER EDUCATION EXPERIENCE THAT DISTINCTLY INTEGRATES THEORY AND PRACTICE; ACADEMIC EXCELLENCE IN THE LIBERAL ARTS AND SCIENCES COMBINED WITH RIGOROUS PREOFESSIONAL TRAINING. SIMMONS' HISTORY IS ROOTED IN VISIONARY THINKING AND SOCIAL RESPONSIBILITY; OUR MANDATE IS TO PREPARE UNDERGRADUATE WOMEN FOR PROFESSIONAL SUCCESS AND MEANINGFUL LIVES REMAINS AT THE CORE OF OUR MISSION. OUR GRADUATE SCHOOLS SERVE WOMEN AND MEN WHO ARE PASSIONATE ABOUT LEARNING, LEADING, AND MAKING A DIFFERENCE IN THEIR PROFESSIONS. SIMMONS STUDENTS GRADUATE INTELLECTUALLY EQUIPPED, PROFESSIONALLY SKILLED AND TECHNOLOGICALLY PROFICIENT FOR CUTTING-EDGE CAREERS THAT ADDRESS OUR GLOBAL SOCIETY'S GREATEST CHALLENGES AND UNMET NEEDS, TODAY AND IN THE FUTURE. 24 23 3254 1387 -45120 253114 9972383 11810267 204290914 215977044 12154312 15117298 3458762 3439683 229876371 246344292 44829607 47313270 0 0 80639571 85181722 0 0 2967255 96987594 105693006 222456772 238187998 7419599 8156294 427007105 434397904 192820458 192060404 234186647 242337500 X SEE SCHEDULE O 0 0 60638350 38645302 64927790 INSTRUCTION - UNDERGRADUATE PROGRAMS: SIMMONS IS A PRIVATE, NONSECTARIAN INSTITUTION LOCATED IN BOSTON'S FENWAY AREA, AND CURRENTLY SERVES 1,842 UNDERGRADUATE WOMEN. DURING THE 2018 ACADEMIC YEAR, THE UNIVERSITY CONFERRED 398 BACCALAUREATE DEGREES. INSTRUCTION INCLUDES EXPENDITURES FOR THE UNDERGRADUATE PROGRAM AS WELL AS FINANCIAL AID PROVIDED BY THE UNIVERSITY TO STUDENTS IN THE FORM OF SCHOLARSHIPS AND GRANTS. APPROXIMATELY 73.7% OF UNDERGRADUATES RECEIVED FINANCIAL AID IN THE FORM OF SCHOLARSHIPS OR GRANTS FROM THE UNIVERSITY. 24535593 8126505 48442846 INSTRUCTION - GRADUATE PROGRAMS: SIMMONS CURRENTLY SERVES 2,606 MEN AND WOMEN IN GRADUATE PROGRAMS AT THE MASTER AND DOCTORAL LEVELS. THESE PROGRAMS ARE HOUSED IN THE COLLEGE OF ORGANIZATIONAL, COMPUTATIONAL, AND INFORMATION SCIENCES (LIBRARY AND INFORMATION SCIENCE AND BUSINESS), COLLEGE OF SOCIAL SCIENCES, POLICY, AND PRACTICE (SOCIAL WORK AND PUBLIC POLICY), THE COLLEGE OF NATURAL, BEHAVIORAL, AND HEALTH SCIENCES (BEHAVIORAL ANALYSIS, HEALTH PROFESSIONS EDUCATION, NURSING, NUTRITION, PHYSICAL THERAPY) AND IN THE GWEN IFILL COLLEGE OF MEDIA, ARTS AND HUMANITIES (CHILDREN'S LITERATURE, GENDER AND SOCIAL STUDIES, HISTORY). DURING THE 2018 ACADEMIC YEAR, THE UNIVERSITY CONFERRED 1,041 GRADUATE DEGREES. INSTRUCTION INCLUDES EXPENDITURES FOR THE GRADUATE PROGRAMS AS WELL AS FINANCIAL AID. APPROXIMATELY 41.5% OF GRADUATE STUDENTS RECEIVE FINANCIAL AID IN THE FORM OF FELLOWSHIPS OR GRANTS FROM THE UNIVERSITY. 78736917 541463 77720256 INSTRUCTION ONLINE PROGRAMS: DURING THE 2018 ACADEMIC YEAR SIMMONS UNIVERSITY OFFERED ONLINE PROGRAMS IN NURSING, SOCIAL WORK, BEHAVIORAL ANALYSIS, PUBLIC HEALTH AND MANAGEMENT. THESE PROGRAMS SERVE 3,907 MEN AND WOMEN ACROSS FIFTY STATES, THE DISTRICT OF COLUMBIA AND CANADA. DURING THE 2018 ACADEMIC YEAR, THE UNIVERSITY CONFERRED 998 DEGREES AND CERTIFICATES. 41407086 0 24886152 ACADEMIC SUPPORT AND STUDENT SERVICES - INCLUDES EXPENDITURES FOR ACTIVITIES THAT SUPPORT AND ENHANCE THE STUDENT'S EDUCATION, AS WELL AS CONTRIBUTE TO THEIR EMOTIONAL AND PHYSICAL WELL-BEING. INCLUDED IN THIS CATEGORY IS THE UNIVERSITY LIBRARY WHICH HOUSES OVER 160,000 PRINT VOLUMES AND PROVIDES ACCESS TO 270,000 E-JOURNALS, 37,800 E-BOOKS, AND 131 ELECTRONIC DATABASES FOR ARTICLES, REFERENCE CONTENT, STATISTICS AND BEYOND. DURING FISCAL YEAR 2018, STUDENTS CHECKED OUT 18,400 BOOKS AND COURSE RESERVE ITEMS. ALSO INCLUDED IN THIS CATEGORY IS THE UNIVERSITY'S HEALTH CENTER WHOSE STAFF HANDLED 4,472 STUDENT/PATIENT VISITS DURING FISCAL YEAR 2018. ANOTHER COMPONENT OF THIS CATEGORY IS THE CAREER EDUCATION CENTER WHICH HAD 2,000 STUDENT CONTACTS DURING FISCAL YEAR 2018 THROUGH MULTIPLE CHANNELS. 41407086 0 24886152 205317946 1 1 0 1 0 0 0 1 1 1 1 1 0 0 1 0 1 0 1 0 1 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 1 0 0 0 1 209 0 1 3254 1 1 1 0 0 0 0 0 0 0 0 0 X 24 23 0 0 0 0 1 1 0 1 1 0 0 0 1 1 1 1 1 1 1 0 MA X JEFFREY PINKHAM 6175212010 300 THE FENWAY BOSTON MA 02115 DEBORAH C BRITTAINUNTIL 618 TRUSTEE 1.00 0.00 X 0 0 0 JANE BUYERS TRUSTEE, COMMITTEE CHAIR 5.00 0.00 X 0 0 0 BARBARA LATZ COHEN TRUSTEE, COMMITTEE CHAIR 5.00 0.00 X 0 0 0 DENISE COLL VICE CHAIR/TRUSTEE 1.00 0.00 X X 0 0 0 DWIGHT B CRANE TRUSTEE, COMMITTEE CHAIR 5.00 0.00 X 0 0 0 TIFFANY DUFU TRUSTEE 1.00 0.00 X 0 0 0 JENNIFER ECKERT TRUSTEE 1.00 0.00 X 0 0 0 APRIL EVANS TRUSTEE 1.00 0.00 X 0 0 0 ELIZABETH FENDER TRUSTEE, COMMITTEE CHAIR 5.00 0.00 X 0 0 0 JILL A GREENTHALUNTIL 618 CLERK/TRUSTEE 1.00 0.00 X X 0 0 0 KAREN HAMMOND TRUSTEE, COMMITTEE CHAIR 5.00 0.00 X 0 0 0 ALIX LAAGER TRUSTEE 1.00 0.00 X 0 0 0 LESLIE LAKEUNTIL 618 TRUSTEE, COMMITTEE CHAIR 5.00 0.00 X 0 0 0 REGIS MULOT TRUSTEE 1.00 0.00 X 0 0 0 LISA JB PETERSON TRUSTEE 1.00 0.00 X 0 0 0 REGINA M PISA CHAIR OF BOARD/TRUSTEE 10.00 0.00 X X 0 0 0 FAITH M RICHARDSONUNTIL 618 TRUSTEE 1.00 0.00 X 0 0 0 KATHLEEN I SCHULLER BLEAKIE TRUSTEE 1.00 0.00 X 0 0 0 TOBY M SLOANEUNTIL 618 TRUSTEE 1.00 0.00 X 0 0 0 WILLIAM SPECK TRUSTEE 1.00 0.00 X 0 0 0 WINSTON TABB TRUSTEE, COMMITTEE CHAIR 5.00 0.00 X 0 0 0 PAMELA J TOULOPOULOS TRUSTEE, COMMITTEE CHAIR 5.00 0.00 X 0 0 0 ROSLYN M WATSON TRUSTEE 1.00 0.00 X 0 0 0 HELEN G DRINAN PRESIDENT 40.00 0.00 X X 618556 0 27319 SHEILA C CONBOY PROVOST 40.00 0.00 X 324851 0 57102 DONNA NG SVP-FIN&ADMIN(UNTIL 9/18) 40.00 0.00 X 294416 0 45962 MARIANNE LORD VP-ADVANCEMENT(UNTIL 12/18) 40.00 0.00 X 269859 0 27684 JOHN F DOLAN VP-ENROLL.MGMT(UNTIL 7/18) 40.00 0.00 X 245704 0 50682 KATHLEEN ROGERS SVP AND GENERAL COUNSEL 40.00 0.00 X 240118 0 24495 AMY WHITE SVP-INST.ADVANCEMENT 40.00 0.00 X 252780 0 9977 SUZANNE MURPHY VP-STRATEGIC INITIATIVES 40.00 0.00 X 198624 0 44366 SARAH NEILL VP-STU.AFF.&ASSOC.PROVOST(UNTIL 8/17) 40.00 0.00 X 198860 0 22615 CHERYL HOWARD SVP-COMMUN.,DIVER.&INCLUSION(UNTIL 6/18) 40.00 0.00 X 89055 0 8463 EILEEN ABELS DEAN (UNTIL 6/18) 40.00 0.00 X 254961 0 46235 DEBRA ORR CHIEF INFORMATION OFFICER AND AVP OF ADMINISTRATIO 40.00 0.00 X 213081 0 53673 CHERYL A PARKS DEAN 40.00 0.00 X 211014 0 20330 STEFAN KRUG DEPUTY PROVOST 40.00 0.00 X 201452 0 51607 JUDY BEAL DEAN 40.00 0.00 X 197641 0 27721 REGINA SHERWOOD VP&TITLE IX COORDINATOR(UNTIL 7/16) 40.00 0.00 X 107500 0 0 3918472 0 518231 122 1 1 0 2U INC 8201 CORPORATE DRIVE S 900 LANDOVER MD 20785 ONLINE PROGRAM PARTNER 48825056 ARAMARK 1101 MARKET STREET PHILADELPHIA PA 19107 FOOD SERVICES 3973945 C W FACILITY SERVICES 4002 SOLUTIONS CENTER CHICAGO IL 60677 FACILITIES MGMT.SERVICES 2915556 SIERRA-CEDAR 1255 ALDERMAN DRIVE ALPHARETTA GA 30005 SOFTWARE CONSULTING 942059 FUTURE TECHNOLOGIES GROUP 2 BATTERYMARCH PARK STE 401 QUINCY MA 02169 TECHNOLOGY CONSULTING 832091 59 2624756 9185511 326376 11810267 TUITION AND FEES 900099 191090892 191090892 AUXILIARY ENTERPRISES 900099 23478631 23478631 OTHER SOURCES 900099 1407521 1407521 215977044 2217004 -45120 2262124 3439683 0 3439683 3439683 3439683 57331000 44430706 12900294 12900294 12900294 246344292 215977044 -45120 18602101 47313270 47313270 3258486 2868235 390251 66780683 55526248 9854007 1400428 3667629 2923291 652426 91912 6184775 5228205 837059 119511 5290149 4216524 941052 132573 371578 25568 346010 354865 354865 928415 928415 3192361 1520253 1565135 106973 581753 79555 502033 165 635921 556953 75714 3254 2529888 472934 1977234 79720 8656716 7544321 1020511 91884 1997677 1697989 201763 97925 302685 211570 86482 4633 5570090 4617964 858880 93246 12065649 11111989 860264 93396 743083 20876 722207 DIST.LEARNING-PARTNER S 51869202 51869202 FOOD SERVICE EXPENSE 6048541 5271343 639381 137817 CONTRACTED SERVICES 4595078 2340899 2242720 11459 LIBRARY EXPENSES 1076267 1043441 15774 17052 4173237 1725551 2352630 95056 238187998 205317946 29902797 2967255 12889470 16927502 11585168 11504529 4908381 3385701 13060524 12412361 2805202 2269111 7922938 9317981 341471023 169460293 174218488 172010730 103320649 94345762 86134000 101107000 10162285 11117227 427007105 434397904 9347982 12360466 179756 465606 19071073 21017281 157541034 152218209 476741 646309 6203872 5352533 192820458 192060404 X 73712617 77011511 81425907 84280838 79048123 81045151 234186647 242337500 427007105 434397904 X 8156294 -386678 381237 X 0 1 X 1 1 1 X 14669183 10584570 11732242 9972383 11810267 58768645 14669183 10584570 11732242 9972383 11810267 58768645 1643362 57125283 4276142 5124483 7754615 6316453 5656687 29128380 87897025 890864447 0.64990 0.65140 X 0 0 0 0 0 0 0 0 1 1 1 0 PART II-B, LINE 1: SIMMONS UNIVERSITY IS A MEMBER OF VARIOUS EDUCATIONAL ASSOCIATIONS WHICH MAY ENGAGE IN LOBBYING ACTIVITIES ON BEHALF OF COLLEGES AND UNIVERSITIES FROM WHICH SIMMONS MAY BENEFIT. SIMMONS UNIVERSITY IS NOT AWARE OF THE ACTUAL AMOUNT OF MEMBER FEES ASSOCIATED WITH SUCH LOBBYING EFFORTS. X X X 0 0 1 X 188165010 2085062 13449854 2845930 5993374 194860622 175820721 2865241 18231147 2838239 5913860 188165010 183276426 4004656 -3133933 2615682 5710746 175820721 185046024 2653936 6538560 2142767 8819327 183276426 167220618 3736337 16997601 1823835 1084697 185046024 0.25990 0.36220 0.37790 0 0 815000 815000 261299830 117751965 143547865 14246375 1319163 12927212 65109818 50389165 14720653 172010730 FIXED INCOME SECURITIES 281000 F PRIVATE EQUITY 34189000 F HEDGE FUNDS 16761000 F EQUITY SECURITIES 49864000 F REAL ESTATE CERTIFICATES 12000 F 101107000 U.S. GOVERNMENT LOAN ADVANCES 1821027 ASSET RETIREMENT OBLIGATIONS 1848198 ANNUITIES PAYABLE 873764 DEPOSIT PAYABLE 809544 5352533 198097067 -386778 -46932032 -47318810 245415877 928415 928415 246344292 189946313 0 189946313 928415 47313270 48241685 238187998 PART III, LINE 4: DESCRIPTION OF ART COLLECTION: THE SIMMONS UNIVERSITY ART COLLECTION IS COMPRISED OF PAINTINGS, DRAWINGS, PRINTS, SCULPTURE, AND PHOTOGRAPHY WHICH IS USED TO SUPPORT THE UNIVERSITY'S CURRICULUM. PART IV, LINE 2B: ESCROW AND CUSTODIAL ARRANGEMENT: THE UNIVERSITY MAINTAINS AGENCY ACCOUNTS FOR ALUMNAE/I AND STUDENT GROUPS. THE UNIVERSITY ACTS AS A FISCAL AGENT FOR THE FUNDS. PART V, LINE 4: INTENDED USES OF ENDOWMENT FUNDS: THE SIMMONS ENDOWMENT FUND IS USED TO SUPPORT THE EDUCATIONAL MISSION OF THE UNIVERSITY. IT IS INTENDED TO PROVIDE AN INTERGENERATIONAL SOURCE OF FUNDING FOR STUDENT SCHOLARSHIPS, RESEARCH, INSTRUCTIONAL PROGRAMS, AND GENERAL OPERATIONS OF THE UNIVERSITY. PART XI, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN VALUE OF SPLIT INTEREST TRUSTS 384,505. EXTINGUISHMENT OF DEBT -3,267. STUDENT FINANCIAL AID -47,313,270. PART XII, LINE 4B - OTHER ADJUSTMENTS: STUDENT FINANCIAL AID 47,313,270. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 A DESCRIPTION OF THE UNIVERSITY'S NON-DISCRIMINATORY POLICY IS PUBLISHED IN ITS ADMISSION AND RECRUITING PUBLICATIONS AND IN THE STUDENT HANDBOOK. IT IS ALSO POSTED IN SEVERAL LOCATIONS ON THE UNIVERSITY'S WEBSITE UNDER "POLICIES," THE OFFICE OF GENERAL COUNSEL, AND HUMAN RESOURCES. SCHEDULE E, PART I, LINE 6 SIMMONS UNIVERSITY RECEIVES FUNDING FROM VARIOUS FEDERAL AND STATE GOVERNMENTAL AGENCIES IN SUPPORT OF THE UNIVERSITY'S EDUCATIONAL MISSION. 1 CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 INVESTMENTS 20198266 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 189 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 44 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES INSTRUCTION 1811 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 7443 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES STUDENT SERVICES 19537 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 19900 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 1891 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES INSTRUCTION 758489 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 INVESTMENTS 4274674 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 5257 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES STUDENT SERVICES 24599 MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 0 0 PROGRAM SERVICES INSTRUCTION 68328 MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 239 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 3511 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 10330 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES INSTRUCTION 2731 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 142 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES STUDENT SERVICES 152 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 576 SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, 0 0 PROGRAM SERVICES INSTRUCTION 6347 0 0 0 0 0 0 20249081 5155375 25404456 0 0 0 0 0 0 PART I, LINE 2: MONITORING USE OF GRANT FUNDS - FUNDS ARE TRACKED THROUGH THE UNIVERSITY'S ACCOUNTING SYSTEM BY FINANCE PERSONNEL TO ENSURE THAT EXPENDITURES ARE FOR THE INTENDED PURPOSE. PART I - ADDITIONAL INFORMATION: SIMMONS UNIVERSITY'S FACULTY AND STAFF TRAVEL INTERNATIONALLY AS PART OF THEIR DUTIES AND INCUR EXPENDITURES IN SUPPORT OF INSTRUCTION, PROFESSIONAL DEVELOPMENT, AND INSTITUTIONAL SUPPORT. 1 STUDENT FINANCIAL AID 2857 47313270 0 PART I, LINE 2: FOR INDIVIDUAL RECIPIENTS OF GRANTS, ACADEMIC EXCELLENCE AND DEMONSTRATED FINANCIAL NEED ARE USED TO DETERMINE EACH STUDENT'S FINANCIAL AID. THE FINANCIAL AID CONSISTS OF ANY COMBINATION OF GRANTS AND LOANS AND ARE REVIEWED EACH YEAR BASED ON A STUDENT'S ACADEMIC RECORD AND/OR DEMONSTRATED NEED. THE FREE APPLICATION FOR FEDERAL STUDENT AID, WHICH HELPS TO ESTABLISH A STUDENT'S FINANCIAL NEED, SERVES AS THE APPLICATION FOR TUITION SCHOLARSHIPS. X 0 1 X X X X X 1 0 0 0 0 0 0 0 0 HELEN G DRINAN PRESIDENT 509319 0 0 0 109237 0 24300 0 3019 0 645875 0 0 0 SHEILA C CONBOY PROVOST 322560 0 0 0 2291 0 24300 0 32802 0 381953 0 0 0 DONNA NG SVP-FIN&ADMIN(UNTIL 9/18) 272257 0 20000 0 2159 0 24300 0 21662 0 340378 0 0 0 MARIANNE LORD VP-ADVANCEMENT(UNTIL 12/18) 267047 0 0 0 2812 0 24300 0 3384 0 297543 0 0 0 JOHN F DOLAN VP-ENROLL.MGMT(UNTIL 7/18) 244022 0 0 0 1682 0 22500 0 28182 0 296386 0 0 0 KATHLEEN ROGERS SVP AND GENERAL COUNSEL 238026 0 0 0 2092 0 21870 0 2625 0 264613 0 0 0 AMY WHITE SVP-INST.ADVANCEMENT 231715 0 0 0 21065 0 0 0 9977 0 262757 0 0 0 SUZANNE MURPHY VP-STRATEGIC INITIATIVES 197735 0 0 0 889 0 19080 0 25286 0 242990 0 0 0 SARAH NEILL VP-STU.AFF.&ASSOC.PROVOST(UNTIL 8/17 131364 0 1949 0 65547 0 11695 0 10920 0 221475 0 0 0 EILEEN ABELS DEAN (UNTIL 6/18) 232779 0 2416 0 19766 0 22099 0 24136 0 301196 0 0 0 DEBRA ORR CHIEF INFORMATION OFFICER AND AVP OF 208181 0 2224 0 2676 0 20013 0 33660 0 266754 0 0 0 CHERYL A PARKS DEAN 182832 0 2091 0 26091 0 18819 0 1511 0 231344 0 0 0 STEFAN KRUG DEPUTY PROVOST 198960 0 0 0 2492 0 18819 0 32788 0 253059 0 0 0 JUDY BEAL DEAN 183564 0 1920 0 12157 0 17640 0 10081 0 225362 0 0 0 REGINA SHERWOOD VP&TITLE IX COORDINATOR(UNTIL 7/16) 0 0 0 0 107500 0 0 0 0 0 107500 0 0 0 PART I, LINE 1A BENEFITS PROVIDED TO CERTAIN EMPLOYEES - A HOUSING ALLOWANCE WAS PROVIDED TO HELEN DRINAN, PRESIDENT. PRESIDENT DRINAN USES HER PERSONAL RESIDENCE TO HOLD FUNCTIONS AND EVENTS ON BEHALF OF SIMMONS UNIVERSITY. THE HOUSING ALLOWANCE OF $40,000 WAS CONSIDERED TAXABLE AND INCLUDED IN HER TAXABLE INCOME. PART I, LINE 1B WRITTEN POLICY FOR EXPENSE REIMBURSEMENTS - THE UNIVERSITY HAS A WRITTEN POLICY REGARDING FIRST CLASS AND SPOUSAL TRAVEL. ON OCCASION, OTHER BENEFITS LISTED IN QUESTION 1A OF SCHEDULE J, PART I MAY BE PROVIDED, BUT ONLY PURSUANT TO A VOTE OF APPROVAL BY THE BOARD OF TRUSTEES. PART I, LINE 4A SEVERANCE PAYMENTS - SARAH NEILL RECEIVED SEVERANCE OF $56,852 AND REGINA SHERWOOD RECEIVED SEVERANCE OF $107,500. PART II: ADDITIONAL INFORMATION ABOUT COMPENSATION - THE COMPONENTS OF THE AMOUNT IN COLUMN B(III) FOR HELEN DRINAN OF $109,237 ARE AS FOLLOWS: HOUSING ALLOWANCE: $40,000; SUPPLEMENTAL RETIREMENT COMPENSATION: $36,000; COMPENSATION SUPPLEMENT FOR QUALIFIED RETIREMENT PLAN LIMITS: $21,075; GROUP TERM LIFE INSURANCE: $9,516; PERSONAL USE OF AUTO: $1,686; AND LONG TERM DISABILITY: $960. ALL OF THESE AMOUNTS ARE TAXABLE. A SIMMONS COLLEGE MDFA REVENUE BOND SERIES G 043431814 57583REX9 2006-01-12 49610000 NEW ACAD.BLDG, GARAGE&OTHER 0 0 0 B SIMMONS COLLEGE MDFA REVENUE BOND SERIES H 043431814 57583RJG1 2007-01-04 45343798 REFUNDING SERIES C, D, AND F BONDS 0 0 0 C SIMMONS COLLEGE MHEFA REVENUE BOND SERIES I 042456011 57686EEL1 2009-01-22 59998380 REFIN.E BOND, CONSTR.,SWAP TERM 1 0 0 D SIMMONS COLLEGE MDFA REVENUE BOND SERIES J 043431814 57583UYQ5 2013-09-05 19156227 REFINANCE SERIES F & I BONDS 0 0 0 A 1700000 49610000 563922 732819 2480500 44020416 1813175 2009 0 0 1 1 B 9857746 45343798 575599 485410 44282763 0 1 1 1 C 26445000 34610000 59998380 4165387 1199968 2466655 19215015 32951354 2009 1 0 1 1 D 50944 19156227 15484557 374131 3297539 1 1 1 1 A 0 0 0 0 0 0 1 B 0 1 1 1 0 0.01990 0.01990 0 0 1 C 0 0 0 1 0 0 0 1 D 1 1 1 1 0 0.00130 0.00130 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: SIMMONS COLLEGE MDFA REVENUE BOND SERIES H DATE THE REBATE COMPUTATION WAS PERFORMED: 06/30/2016 ISSUER NAME: SIMMONS COLLEGE MHEFA REVENUE BOND SERIES I DATE THE REBATE COMPUTATION WAS PERFORMED: 06/30/2016 SCHEDULE K, PART II, LINE 3, COLUMN C: $31,140,000 OF THE MHEFA REVENUE BOND SERIES I PROCEEDS WERE USED TO REFUND SERIES E BONDS. SCHEDULE K, PART II, LINE 13, COLUMN B: THE YEAR OF SUBSTANTIAL COMPLETION FOR THE MDFA REVENUE BONDS SERIES H HAS BEEN LEFT BLANK BECAUSE THIS ISSUE WAS ENTIRELY FOR AN ADVANCE REFUNDING. A SIMMONS COLLEGE MDFA REVENUE BOND SERIES K-1 043431814 57584XAA9 2015-07-08 37550169 REFIN.SERIES C&I 0 0 0 A 641498 37550169 28874572 502539 8173058 1 1 1 1 A 0 0 1 1 0 0.00100 0.00100 0 0 1 A 0 1 0 0 0 0 0 0 1 A 1 X 2 1350 FMV X 42 315822 FMV X OTHER GOODS 2 9204 FMV 0 1 1 PART I, LINE 32B: USE OF THIRD PARTIES - THE UNIVERSITY UTILIZES THE SERVICES OF A BROKER TO SELL DONATED SECURITIES. THE FEES CHARGED BY THE BROKER ARE AT OR BELOW FAIR MARKET VALUE. FORM 990, PART VI, SECTION A, LINE 1 AUTHORITY OF EXECUTIVE COMMITTEE: THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES CONSISTS OF THE CHAIR AND THE VICE CHAIR OF THE BOARD OF TRUSTEES; THE PRESIDENT; THE CHAIRS OF THE FINANCE COMMITTEE, THE AUDIT COMMITTEE, THE COMMITTEE ON TRUSTEESHIP AND GOVERNANCE, THE ADVANCEMENT COMMITTEE, THE EXECUTIVE DEVELOPMENT AND COMPENSATION COMMITTEE, THE EDUCATIONAL STEWARDSHIP COMMITTEE, THE INVESTMENT COMMITTEE, AND THE FACULTY REVIEW COMMITTEE; THE CLERK; AND ANY OTHER TRUSTEES MAY BE DESIGNATED BY THE BOARD OF TRUSTEES FROM TIME TO TIME. IN BETWEEN MEETINGS OF THE BOARD OF TRUSTEES, THE EXECUTIVE COMMITTEE HAS THE FULL POWER AND AUTHORITY OF THE BOARD OF TRUSTEES, EXCEPT TO SELL REAL ESTATE AND TO CONFER DEGREES. FORM 990, PART VI, SECTION A, LINE 6 AND FORM 990, PART VI, SECTION B, LINE 7A: MEMBERS AND POWERS OF THE MEMBERS: SIMMONS CURRENTLY HAS 24 CORPORATORS (THE CORPORATION) AS OF JUNE 30, 2018: 24 MEMBERS OF THE BOARD OF TRUSTEES. THE CORPORATION'S PRIMARY DUTIES ARE TO ELECT ANNUALLY THE TRUSTEE MEMBERSHIP AND AMEND THE SIMMONS' BY-LAWS. FORM 990, PART VI, SECTION A, LINE 7A SEE EXPLANATION FOR LINE 6A ABOVE. FORM 990, PART VI, SECTION B, LINE 11B REVIEW OF FORM 990: THE BOARD OF TRUSTEES HAS DELEGATED THE RESPONSIBILITY OF REVIEWING FORM 990 TO THE AUDIT COMMITTEE. THE REVIEW OF THE FORM IS FACILITATED BY THE OUTSIDE PUBLIC ACCOUNTING FIRM THAT PREPARES THE RETURN. THE COMPENSATION SECTIONS OF FORM 990 ARE REVIEWED BY THE COMPENSATION COMMITTEE. BEFORE FILING, FORM 990 IS PROVIDED TO THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 PROVIDED TO GOVERNING BODY - THE UNIVERSITY BELIEVES THAT DONOR INFORMATION ON SCHEDULE B IS PRIVATE AND CONFIDENTIAL. AS SUCH, IT HAS PROVIDED A COPY OF FORM 990 TO THE ENTIRE BOARD BUT HAS REDACTED DONORS' NAMES AND ADDRESSES FROM SCHEDULE B. BECAUSE OF THIS DECISION, WE ARE REQUIRED TO ANSWER "NO" TO THE QUESTION ON LINE 11A OF PART VI EVEN THOUGH THE BOARD HAS RECEIVED A COPY OF FORM 990 (EXCEPT FOR DONOR INFORMATION ON SCHEDULE B). THE DONOR INFORMATION ON SCHEDULE B HAS BEEN REVIEWED BY THE MEMBERS OF THE AUDIT COMMITTEE AND EXECUTIVE DEVELOPMENT AND COMPENSATION COMMITTEE. FORM 990, PART VI, SECTION B, LINE 12C MONITORING AND ENFORCEMENT OF CONFLICT POLICY: IN ITS CONFLICT OF INTEREST DISCLOSURE FORM, THE UNIVERSITY ASKS ALL TRUSTEES AND OFFICERS TO DECLARE ANY CONFLICT OF INTEREST. COMPLETED CONFLICT OF INTEREST DISCLOSURE STATEMENTS ARE REVIEWED BY THE GENERAL COUNSEL WHO ALSO SERVES AS THE SECRETARY OF THE BOARD. THE GENERAL COUNSEL PREPARES A WRITTEN REPORT FOR THE AUDIT COMMITTEE WHICH SETS FORTH ALL DISCLOSURES OR COMMENTS MADE BY RESPONDENTS CONCERNING POTENTIAL OR ACTUAL CONFLICTS, AND THAT REPORT IS PRESENTED TO THE AUDIT COMMITTEE, PRESIDENT, AND BOARD CHAIR FOR DISCUSSION AND NECESSARY FOLLOW-UP EACH YEAR. AT A MINIMUM, THOSE WITH CONFLICTS ARE INSTRUCTED TO REFRAIN FROM VOTING ON MATTERS WHERE THERE ARE OR MAY BE PERCEIVED TO BE A CONFLICT AND TO RECUSE THEMSELVES DURING ANY DISCUSSION OF THE ISSUE. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION REVIEW AND APPROVAL: THE EXECUTIVE DEVELOPMENT AND COMPENSATION COMMITTEE IS GOVERNED BY A DETAILED CHARTER WHICH GRANTS IT JURISDICTION OVER COMPENSATION MATTERS FOR ALL SIMMONS OFFICERS. THE PRESIDENT MAKES SALARY RECOMMENDATIONS FOR THE OFFICERS EACH YEAR TO THE EXECUTIVE DEVELOPMENT AND COMPENSATION COMMITTEE, AND THE COMMITTEE REVIEWS THE PERFORMANCE OF THE OFFICERS AGAINST SALARY DATA PREPARED BY EXTERNAL COMPENSATION EXPERTS. THE COMMITTEE THEN MAKES RECOMMENDATIONS FOR OFFICER SALARIES TO THE BOARD OF TRUSTEES FOR REVIEW AND APPROVAL. THE MEMBERS OF THE EXECUTIVE DEVELOPMENT AND COMPENSATION COMMITTEE ARE INDEPENDENT OF THE EMPLOYEES FOR WHOM COMPENSATION DECISIONS ARE BEING MADE. FORM 990, PART VI, SECTION C, LINE 19 AVAILABILITY OF DOCUMENTS: SIMMONS UNIVERSITY'S FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST AND ARE POSTED ON THE UNIVERSITY'S WEBSITE. THE UNIVERSITY'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: EXTINGUISHMENT OF DEBT -3,267. CHANGE IN VALUE OF SPLIT INTEREST TRUSTS 384,505. ROUNDING ERROR -1. CHARITABLE REMAINDER TRUST (4) CHARITABLE TRUST MA SIMMONS COLLEGE 1 CHARITABLE REMAINDER TRUST (1) CHARITABLE TRUST OH SIMMONS COLLEGE 1 PERPETUAL TRUST(1) PERPETUAL TRUST MA SIMMONS COLLEGE 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1