2019-05-10T08:39:31-05:00 2018-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2017-07-01 250969449 CARNEGIE MELLON UNIVERSITY CARN 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 ANGELA BLANTON VP FOR FINANCE & CFO 4122681358 2019-05-10 1 SUSAN M KIRSCH P00341397 4122613644 208.79.164.82 2019-05-10 09:27:11 ED P F035D39E46E6E5FD45C8EE06DFC95B60785D4203 5EEB6B39C289B17D9F13091FF374F3C8A193255D 2017 2019-02-21 02:37:17Z FARNAM JAHANIAN 5000 FORBES AVENUE PITTSBURGH PA 15213 2906937095 0 X WWW.CMU.EDU X 1900 PA HIGHER EDUCATION AND RESEARCH. 48 43 14448 45 4264439 -2372077 513171107 536663044 786005894 838829432 118531504 139026810 759646905 12303443 2177355410 1526822729 183354387 188509959 0 0 738481012 783673732 737906 927400 27822773 819876272 362050862 1742449577 1335161953 434905833 191660776 3781707782 4067622368 887686860 876958987 2894020922 3190663381 X TO CREATE A TRANSFORMATIVE EDUCATIONAL EXPERIENCE FOR STUDENTS FOCUSED ON DEEP DISCIPLINARY KNOWLEDGE; PROBLEM SOLVING; LEADERSHIP, COMMUNICATION, AND INTERPERSONAL SKILLS; AND PERSONAL HEALTH AND WELL-BEING.TO CULTIVATE A TRANSFORMATIVE UNIVERSITY COMMUNITY COMMITTED TO (A) ATTRACTING AND RETAINING DIVERSE, WORLD-CLASS TALENT; (B) CREATING A COLLABORATIVE ENVIRONMENT OPEN TO THE FREE EXCHANGE OF IDEAS, WHERE RESEARCH, CREATIVITY, INNOVATION, AND ENTREPRENEURSHIP CAN FLOURISH; AND (C) ENSURING INDIVIDUALS CAN ACHIEVE THEIR FULL POTENTIAL.TO IMPACT SOCIETY IN A TRANSFORMATIVE WAY - REGIONALLY, NATIONALLY, AND GLOBALLY - BY ENGAGING WITH PARTNERS OUTSIDE THE TRADITIONAL BORDERS OF THE UNIVERSITY CAMPUS. 0 0 680025757 164832263 752538975 INSTRUCTION:CARNEGIE MELLON IS A HYBRID OF A TECHNICAL INSTITUTE, FINE-ARTS CONSERVATORY AND TRADITIONAL RESEARCH UNIVERSITY, HAVING EVOLVED IN RESPONSE TO EMERGING SOCIAL NEEDS AND INTELLECTUAL DEVELOPMENT OF THE PAST CENTURY. UNITING TECHNOLOGY AND ARTS, FUSING THE PRACTICAL WITH THE IMAGINATIVE, MAINTAINING ITS EDUCATIONAL EMPHASIS ON DEVELOPING SKILLS TO SOLVE PROBLEMS.INCLUDES 7 COLLEGES AND SCHOOLS OFFERING DEGREE PROGRAMS AND MORE THAN 100 MAJORS AND MINORS TO APPROXIMATELY 14,530 UNDERGRADUATES, GRADUATES AND DOCTORAL STUDENTS. INSTRUCTION INCLUDES ACADEMIC SUPPORT AND STUDENT SERVICES.CARNEGIE MELLON HAS ITS MAIN CAMPUS IN PITTSBURGH, SATELLITE CAMPUSES IN SILICON VALLEY AND DOHA, QATAR, AND DEGREE-GRANTING PROGRAMS IN COORDINATION WITH GLOBAL PROGRAMS INCLUDING AUSTRALIA, JAPAN, PORTUGAL, RWANDA, AND SINGAPORE.NATIONALLY AND GLOBALLY, CARNEGIE MELLON HAS BECOME A MAJOR VOICE OF CONNECTIVITY IN TECHNOLOGY, EXPANSION OF EDUCATIONAL OPPORTUNITY AND ECONOMIC DEVELOPMENT. 355043353 23677696 0 RESEARCH:CARNEGIE MELLON HOLDS A PROUD VISION OF ITSELF AS A DISTINCTIVE AND DIFFERENT KIND OF RESEARCH UNIVERSITY WHERE NATIONALLY RECOGNIZED PROGRAMS FROM ACROSS THE LEADING DISCIPLINES, FROM COMPUTING AND ENGINEERING TO FINE ARTS, INTERSECT. IT IS A DECENTRALIZED COMMUNITY OF SCIENTISTS AND INTELLECTUALS, ARTISTS AND POLICYMAKERS, BUSINESS EXPERTS AND POETS. THE DIVERSE AND DECENTRALIZED COMMUNITY THAT CHARACTERIZES CARNEGIE MELLON CULTURE RESTS ON A SET OF CORE UNDERPINNINGS AND A STRONG COMMITMENT TO REAL-WORLD PROBLEM SOLVING, INTERDISCIPLINARY COLLABORATION AND HARD WORK, COMBINED WITH JOIE DE VIVRE.EACH OF THESE REQUIRES CONNECTIONS AMONG ENGINEERING, SCIENCE, POLICY AND MANAGEMENT, AND THE ARTS. BASIC RESEARCH IS PERFORMED IN ALL 7 COLLEGES AND SCHOOLS AND THE SOFTWARE ENGINEERING INSTITUTE. CARNEGIE MELLON IS ALSO THE HOME OF NUMEROUS RESEARCH INSTITUTES AND CENTERS FOCUSING ON SOME OF THE WORLD'S GREATEST CHALLENGES.CARNEGIE MELLON'S RESEARCH-INTENSIVE ENVIRONMENT PROVIDES A RICH SETTING FOR THE UNIVERSITY'S EDUCATIONAL OFFERINGS AND ASPIRATIONS. THE SEARCH FOR NEW KNOWLEDGE AND A SPIRIT OF ONGOING CRITICAL INQUIRY ARE THE IDEALS THAT PERMEATE ITS APPROACH TO TEACHING AND ITS EXPECTATIONS FOR WHAT STUDENTS WILL ACHIEVE. 115660137 0 72669849 AUXILIARY SERVICES:SERVICES TO SUPPORT THE INSTRUCTION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. THESE SERVICES INCLUDE BUT ARE NOT LIMITED TO HOUSING, DINING SERVICES, PARKING, BOOKSTORE, PRINTING, TELECOMMUNICATIONS, AND OTHER SERVICES RELATED TO THE DELIVERY OF EDUCATION. 21031723 0 13620608 OTHER PROGRAM SERVICES:OTHER FEES AND MEMBERSHIPS, EXTERNAL SUPPORT AND SERVICES AND OTHER MISCELLANEOUS PROGRAM SERVICE REVENUE THAT SUPPORTS THE INSTRUCTION, RESEARCH, AND AUXILIARY FUNCTIONS OF THE UNIVERSITY. 21031723 0 13620608 1171760970 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 1 1 1 0 0 1 20368 0 1 14448 1 1 1 1 AS QA RW 0 0 0 1 1 0 0 0 0 X 48 43 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 PA X CARRIE NELSON 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 X JOEL P ADAMS VOTING TRUSTEE 2.00 0.00 X 0 0 0 LUIS H BALL VOTING TRUSTEE 0.50 0.00 X 0 0 0 RONALD BIANCHINI JR VOTING TRUSTEE 1.00 0.00 X 0 0 0 KEITH BLOCK VOTING TRUSTEE 1.08 0.00 X 0 0 0 FRANK BRUNCKHORST VOTING TRUSTEE 2.00 0.00 X 0 0 0 ERIC COOPER VOTING TRUSTEE 1.00 1.00 X 0 0 0 DAVID COULTER VOTING TRUSTEE 2.50 0.00 X 0 0 0 RUSSELL CROCKETT VOTING TRUSTEE 1.00 1.00 X 0 0 0 JEANNE CUNICELLI VOTING TRUSTEE 0.50 0.00 X 0 0 0 ERROLL B DAVIS JR VOTING TRUSTEE 1.00 0.00 X 0 0 0 GLEN DE VRIES VOTING TRUSTEE 0.20 0.00 X 0 0 0 LINDA A DICKERSON VOTING TRUSTEE 2.00 0.00 X 0 0 0 FRANCISCO B D'SOUZA VOTING TRUSTEE 5.00 0.00 X 0 0 0 HOWARD L ELLIN VOTING TRUSTEE 5.00 0.00 X 0 0 0 YOSHIAKI FUJIMORI VOTING TRUSTEE 0.50 0.00 X 0 0 0 ERIC GILER VOTING TRUSTEE 2.00 0.00 X 0 0 0 EDWARD GREFENSTETTE VOTING TRUSTEE 1.00 50.00 X 0 1021423 727886 IRA J GUMBERG VOTING TRUSTEE 1.00 0.00 X 0 0 0 JEFFREY HOUSENBOLD VOTING TRUSTEE 1.92 0.00 X 0 0 0 TORRENCE M HUNT JR VOTING TRUSTEE 3.00 0.00 X 0 0 0 LARRY E JENNINGS JR VOTING TRUSTEE 1.00 0.00 X 0 0 0 BRUCE KRAUS EX-OFFICIO TRUSTEE 1.00 0.00 X 0 0 0 RAYMOND J LANE VOTING TRUSTEE 2.00 0.00 X 0 0 0 TIMOTHY SK LIU EX-OFFICIO TRUSTEE 1.00 2.00 X 0 0 0 J MICHAEL MCQUADE VOTING TRUSTEE 1.00 0.00 X 0 0 0 BRUCE M MCWILLIAMS VOTING TRUSTEE 1.00 0.00 X 0 0 0 ANNE M MOLLOY VOTING TRUSTEE 3.20 0.00 X 0 0 0 AMBAR PAUL VOTING TRUSTEE 0.50 0.00 X 0 0 0 MAYOR WILLIAM PEDUTO EX-OFFICIO TRUSTEE 0.30 0.00 X 0 0 0 DAVID L PORGES VOTING TRUSTEE 2.00 0.00 X 0 0 0 JONATHAN M ROTHBERG VOTING TRUSTEE 1.00 0.00 X 0 0 0 AJIT SHETTY VOTING TRUSTEE 1.00 0.00 X 0 0 0 J LEA HILLMAN SIMONDS VOTING TRUSTEE 1.50 1.00 X 0 0 0 MANOJ P SINGH VOTING TRUSTEE 2.00 0.00 X 0 0 0 LUKE SKURMAN VOTING TRUSTEE 3.00 0.00 X 0 0 0 LIP-BU TAN VOTING TRUSTEE 5.00 0.00 X 0 0 0 DAVID A TEPPER VOTING TRUSTEE 2.00 0.00 X 0 0 0 THOMAS TULL VOTING TRUSTEE 5.00 0.00 X 0 0 0 MARY ANN ULISHNEY VOTING TRUSTEE 1.25 0.00 X 0 0 0 JEANNE VANBRIESEN EX-OFFICIO TRUSTEE/PROFESSOR 1.00 0.00 X 193329 0 84971 SUNIL WADHWANI VOTING TRUSTEE 2.00 0.00 X 0 0 0 PAULA KAUFFMAN WAGNER VOTING TRUSTEE/ADJUNCT INSTRUCTOR 1.00 0.00 X 3000 0 0 DEBORAH YUE EX-OFFICIO TRUSTEE 1.00 0.00 X 0 0 0 MICHAEL ZAMAGIAS VOTING TRUSTEE 0.50 0.50 X 0 0 0 JAMES E ROHR CHAIRMAN/VOTING TRUSTEE 5.00 0.00 X X 0 15000 0 EDWARD H FRANK VICE CHAIRMAN/VOTING TRUSTEE 4.00 0.00 X X 0 0 0 TOD S JOHNSON VICE CHAIRMAN/VOTING TRUSTEE 3.00 0.00 X X 0 0 0 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 50.00 4.00 X X 723599 7500 96632 LAURIE WEINGART INTERIM PROVOST 50.00 0.10 X 411827 0 76467 ANGELA BLANTON VP OF FINANCE & CFO 50.00 0.10 X 393219 0 35658 GINA CASALEGNO V.P. STUDT. AFRS. & DEAN OF STUDENTS 50.00 0.00 X 305030 0 27637 MARY JO DIVELY VP/GENERAL COUNSEL 50.00 0.50 X 510498 0 199399 JOHN DOLAN TREASURER (ENTERED 12/17) 50.00 0.00 X 32367 0 3095 CHARLES A KENNEDY CIO AND INTERIM TREASURER THRU 11/17 50.00 2.00 X 641213 0 111388 KAREN T KHAN ASSISTANT SECRETARY 50.00 0.00 X 130342 0 19950 STEVE KLOEHN V.P. FOR MARKETING AND COMMUNICATIONS 50.00 0.00 X 312810 0 56709 CATHY A LIGHT CHIEF OF STAFF & SEC. OF THE CORP. 50.00 0.00 X 346882 0 55314 RODNEY MCCLENDON V.P. FOR OPERATIONS 50.00 0.00 X 445431 0 35607 CARRIE NELSON ASSISTANT TREASURER 50.00 1.10 X 246780 0 24319 SCOTT MORY V.P. FOR UNIV. ADVANCEMENT 50.00 0.00 X 512062 0 31015 JAMES H GARRETT DEAN CARNEGIE INSTITUTE OF TECHNOLOGY 50.00 0.20 X 445499 0 38626 ANDREW MOORE DEAN, SCHOOL OF COMPUTER SCIENCE 50.00 1.00 X 579781 0 70693 PAUL D NIELSEN CEO & DIRECTOR SEI 50.00 0.00 X 583712 0 29300 ILKER BAYBARS DEAN & CEO QATAR CAMPUS 50.00 0.00 X 1012006 0 64374 ROBERT DAMMON DEAN, TEPPER SCHOOL OF BUSINESS 50.00 0.00 X 624344 0 37624 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF OF NAT. SCI. 50.00 0.00 X 596709 0 40040 RICHARD MUNDY CHIEF OPERATING OFFICER-QATAR 50.00 0.00 X 594151 0 84728 RAMAMOORTHI RAVI DEAN OF OPERATIONS RESEARCH 50.00 0.00 X 843490 0 38421 JARED L COHON FORMER OFFICER/FORMER TRUSTEE/PROFESSOR 50.00 0.00 X 191295 0 36990 JOHN LEHOCZKY FORMER OFFICER/PROFESSOR 50.00 1.00 X 330954 0 41537 PAMELA EAGER FORMER OFFICER/SR. ASSOC. VP FOR DEVELOPMENT 50.00 0.50 X 315952 0 50577 MARK S KAMLET FORMER OFFICER/UNIV. PROF. OF ECON. 50.00 20.00 X 469236 0 38938 AMIR RAHNAMAY-AZAR FORMER OFFICER 0.00 0.00 X 214240 0 0 JAY S CALHOUN FORMER OFFICER 50.00 0.00 X 121956 0 18484 SUBRA SURESH FORMER OFFICER/FORMER TRUSTEE 0.00 0.00 X 1145955 7500 1146917 RANDAL E BRYANT FORMER KE/PROFESSOR 50.00 0.00 X 293047 0 45044 13570716 1051423 3368340 1432 1 1 0 PJ DICK INC 225 NORTH SHORE DRIVE PITTSBURGH PA 15212 CONSTRUCTION 79093093 DECISIONQUEST INC 21535 HAWTHORNE BLVD STE 310 TORRANCE CA 90503 LEGAL SERVICES 22000000 TURNER CONSTRUCTION COMPANY 2 PNC PLAZA 620 LIBERTY AVE 27TH PITTSBURGH PA 15222 CONSTRUCTION 13812673 CULINART INC 175 SUNNYSIDE BLVD PLAINVIEW NY 11803 DINING SERVICES 13059035 RYCON CONSTRUCTION 2525 LIBERTY AVE PITTSBURGH PA 15222 CONSTRUCTION 12669198 167 13150 17224807 338123712 181301375 31635133 536663044 TUITION 900099 752538975 752538975 AUXILIARY SERVICES 611710 72669849 71475301 1194548 OTHER PROGRAM SERVICES 900099 13620608 13620608 838829432 39007960 2966813 36041147 6885326 6885326 1975100 22429 273625 0 1701475 22429 1723904 11331 1712573 1476520122 1376275043 226229 100245079 -226229 100018850 100018850 216834 13150 75711 141123 141123 6816848 3263758 3553090 91747 3461343 1526822729 837634884 4264439 148260362 23677696 23677696 154203870 154203870 10628393 10628393 8518214 1608380 5688597 1221237 4238678 1721664 2188470 328544 631223607 574658375 41173051 15392181 37387110 31083745 5148157 1155208 68324462 59373377 6715875 2235210 33981661 27954993 4937159 1089509 4333533 2451653 1872695 9185 1276869 78565 1198304 512907 512907 927400 927400 6532258 6532258 25715093 14654169 9061875 1999049 2913137 1911887 985244 16006 26057434 17364642 7962524 730268 23982690 15212305 7967958 802427 824505 824505 60212866 53852213 6347836 12817 34545746 27146408 5955012 1444326 13966480 11761405 1852271 352804 13151848 12584107 567741 66876982 62855610 4021372 2530736 2209811 320925 FOOD SERVICE OPERATIONS 21497555 21249310 248245 INFORMATION RESOURCES 10063172 9893316 105206 64650 NON-CAPITAL EQUIPMENT 7009134 4509111 2496341 3682 FABRICATED EQUIPMENT 3955817 3954092 1725 36092100 23824461 12229369 38270 1335161953 1171760970 135578210 27822773 56179 59249 245146339 469239273 146487469 147377892 37266067 36006690 5893280 129664 1698420 1747485 16326670 18614646 1859579856 893775520 884633914 965804336 1502283276 1310739649 891924120 1067584038 49992048 50319446 3781707782 4067622368 152695866 155922061 106395223 104778499 440059323 460445719 111961992 85844702 76574456 69968006 887686860 876958987 X 1276391468 1466127692 807202945 844322843 810426509 880212846 2894020922 3190663381 3781707782 4067622368 X 191660776 108109414 -3127731 X X 0 1 X 1 1 1 X 504944253 508112330 576147639 510891368 529488222 2629583812 504944253 508112330 576147639 510891368 529488222 2629583812 10965587 2618618225 20770582 27122710 34961586 35331914 47890815 166077607 2795661419 3794341267 0.93670 0.94570 X X 512907 512907 512907 512907 1337389294 1338446573 1337902201 1338959480 1000000 1000000 250000 250000 0 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 491648 498166 493109 512907 1995830 250000 250000 250000 250000 1000000 1500000 86713 4779168 X X X 0 1718307698 62328699 185715245 17218702 59313091 4442701 1885377148 1304489016 294312444 187094434 16158853 48286429 3142904 1718307698 1336871754 44843541 -17973647 14655109 42662204 1935320 1304489015 1249218977 54373142 87372305 12834311 39323039 1935320 1336871754 1074468210 35015698 189493030 10989003 37261560 1507398 1249218977 0.23320 0.43220 0.33460 0 1 1 49690965 49690965 1357370722 615010803 742359919 19884662 17631978 2252684 283001231 197185010 85816221 149632276 63947729 85684547 965804336 REAL ESTATE 88133317 F VENTURE CAP. & PRIV. EQ 412838118 F AGGRESSIVE, DISTRESSED & ARBITRAGE FIXED INCOME 25106906 F NATURAL RESOURCES 135807427 F HEDGE FUNDS 255138948 F LOCAL REGION 4202288 F EMERGING MARKET 146357034 F 1067584038 CONTRACT RETENTIONS 6498621 GATE STUDENT LOAN PROGRAM 170104 ASSET RETIREMENT OBLIGATION-FIN 47 5196974 FEDERAL LOAN PROGRAMS & STUDENT DEPOSITS 14827653 PRESENT VALUE OF ANNUITIES DUE 17027663 SWAP AGREEMENTS/CONTRACTS 22558852 FEDERAL, STATE, AND LOCAL TAXES PAYABLE 348298 MISC. OTHER LIABILITIES 101017 AGENCY FUNDING 71193 PV ANNUITIES FOR PROPERTY ACQS 1594278 F&A LIABILITY 1573353 69968006 X 1486451885 108109414 12171570 4653293 124934277 1361517608 165305121 165305121 1526822729 1189963982 12171570 10443386 22614956 1167349026 167812927 167812927 1335161953 PART III, LINE 4: CARNEGIE MELLON MAINTAINS VARIOUS ITEMS INCLUDING COLLECTIONS OF ART, HISTORIC ARTIFACTS AND OTHER SIMILAR ASSETS TO SUPPORT THE EDUCATION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. PART V, LINE 4: THE CARNEGIE MELLON ENDOWMENT IS A COLLECTION OF INDIVIDUAL FUNDS PRIMARILY ESTABLISHED BY DONORS AND MANAGED BY THE UNIVERSITY AS A POOLED SET OF ASSETS. IN ACCORDANCE WITH THE PENNSYLVANIA ACT 141 AND DONOR INTENT, THE UNIVERSITY SPENDS A PREDETERMINED PORTION OF THE ENDOWMENT INCOME EACH YEAR ON FACULTY SUPPORT, STUDENT SUPPORT, AND GENERAL UNIVERSITY SUPPORT. PART X, LINE 2: CARNEGIE MELLON IS A NONPROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE "CODE") AND IS GENERALLY EXEMPT FROM INCOME TAXES ON RELATED INCOME PURSUANT TO SECTION 501(A) OF THE CODE. THE UNIVERSITY ACCOUNTS FOR UNCERTAINTIES IN INCOME TAXES IN ACCORDANCE WITH AUTHORITATIVE GUIDANCE, WHICH PRESCRIBES A RECOGNITION THRESHOLD OF MORE-LIKELY-THAN-NOT TO BE SUSTAINED UPON EXAMINATION BY THE APPROPRIATE TAXING AUTHORITY. MEASUREMENT OF THE TAX UNCERTAINTY OCCURS IF THE RECOGNITION THRESHOLD HAS BEEN MET. MANAGEMENT DETERMINED THERE WAS NO TAX UNCERTAINTIES THAT MET THE RECOGNITION THRESHOLD AT JUNE 30, 2018 AND 2017. THE UNIVERSITY'S FEDERAL EXEMPT ORGANIZATION BUSINESS INCOME TAX RETURNS REMAIN SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE FOR THE YEARS SUBSEQUENT TO JUNE 30, 2014. THE UNIVERSITY'S POLICY IS TO RECOGNIZE INTEREST RELATED TO UNRECOGNIZED TAX BENEFITS IN INTEREST EXPENSE AND PENALTIES IN OPERATING EXPENSES. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 3,263,758. SUBSIDIARY REVENUE 6,733,083. RENTAL EXPENSE 273,625. CHANGE IN SWAP VALUE NET OF INTEREST EXP 4,239,677. TRANSLATION ADJUSTMENT & OTHER -82,492. UNCOLLECTIBLE PLEDGE WRITE OFFS -7,144,822. LOSS ON FORMER SUBSIDIARY -2,629,536. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 158,730,276. INVESTMENT MANAGER FEES 6,532,258. GAIN ON SALE OF ASSETS -161,160. NET GAIN FROM FUNDRAISING EVENTS 141,123. LAMME DISTRIBUTION 62,624. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 3,263,758. SUBSIDIARY EXPENSE 6,906,003. RENTAL EXPENSE 273,625. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 158,730,276. INVESTMENT MANAGER FEES 6,532,258. TRANSLATION ADJUSTMENT & OTHER 82,017. GAIN ON SALE OF ASSETS -161,160. LOSS ON FORMER SUBSIDIARY 2,629,536. PART XII: RECONCILIATION OF REVENUE PER AUDITED FINANCIAL STATEMENTS WITH REVENUE PER RETURN AND PART XIII - RECONCILIATION OF EXPENSES PER AUDITED FINANCIAL STATEMENTS WITH EXPENSES PER RETURN: LINE 1 OF EACH PART RESPECTIVELY CONSISTS OF CONSOLIDATED NUMBERS FROM THE AUDITED FINANCIAL STATEMENTS AND RECONCILES TO THE STAND-ALONE (SEPARATE BASIS) REVENUE AND EXPENSES AS REPORTED ON THE FORM 990, PART I, LINE 12. 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 NON-DISCRIMINATORY POLICY AND STATEMENT OF ASSURANCE APPEARS ON PRINTED MATERIALS USED TO COMMUNICATE WITH PROSPECTIVE AND CURRENT STUDENTS AS WELL AS EMPLOYEES OF CARNEGIE MELLON UNIVERSITY. SCHEDULE E, PART I, LINE 6 MONETARY GRANTS WERE RECEIVED FROM FEDERAL AND STATE AGENCIES TO PROVIDE ASSISTANCE TO STUDENTS ATTENDING CARNEGIE MELLON UNIVERSITY. 1 EUROPE (INCLUDING ICELAND & GREENLAND) GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 419825 MIDDLE EAST AND NORTH AFRICA GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 4607721 SUB-SAHARAN AFRICA GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 3797576 EAST ASIA AND THE PACIFIC GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 1570357 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 232913 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES EDUCATION 68728 EAST ASIA AND THE PACIFIC 2 110 PROGRAM SERVICES EDUCATION 6602146 EUROPE (INCLUDING ICELAND & GREENLAND) 9 PROGRAM SERVICES EDUCATION 3569058 MIDDLE EAST AND NORTH AFRICA 1 327 PROGRAM SERVICES EDUCATION 59999953 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES PROGRAM SERVICES EDUCATION 771901 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES EDUCATION 27734 SOUTH AMERICA PROGRAM SERVICES EDUCATION 146030 SOUTH ASIA PROGRAM SERVICES EDUCATION 257113 SUB-SAHARAN AFRICA 1 146 PROGRAM SERVICES EDUCATION 7362698 EAST ASIA AND THE PACIFIC UNRELATED BUSINESS UBI EXPENSES 21694 CENTRAL AMERICA AND THE CARIBBEAN PORTFOLIO INVESTMENTS 527224644 EUROPE (INCLUDING ICELAND & GREENLAND) PORTFOLIO INVESTMENTS 87986404 SUB-SAHARAN AFRICA PORTFOLIO INVESTMENTS 10705365 EAST ASIA AND THE PACIFIC PORTFOLIO INVESTMENTS 22709625 NORTH AMERICA PORTFOLIO INVESTMENTS 5724549 MIDDLE EAST AND NORTH AFRICA RENTALS 59863 2 119 2 473 4 592 20868324 722997573 743865897 EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACTS 154798 CASH; ELECTRONIC FUND TRANSFER N/A N/A MIDDLE EAST AND NORTH AFRICA SUBCONTRACTS 145640 CASH; ELECTRONIC FUND TRANSFER N/A N/A NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES SUBCONTRACTS 230970 CASH; ELECTRONIC FUND TRANSFER N/A N/A SUB-SAHARAN AFRICA SUBCONTRACTS 305000 CASH; ELECTRONIC FUND TRANSFER N/A N/A EAST ASIA AND THE PACIFIC SUBCONTRACTS 153521 CASH; ELECTRONIC FUND TRANSFER N/A N/A 13 2 STUDENT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 261 1416836 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 178 4462081 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS SUB-SAHARAN AFRICA 303 3487576 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS EUROPE 39 256255 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A 1 0 1 1 1 1 PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO STUDENTS AT ITS INTERNATIONAL LOCATIONS PURSUANT TO A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. THESE FUNDS ARE MONITORED BY THE OFFICE OF SPONSORED PROJECTS AND SPONSORED PROJECTS ACCOUNTING. 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FOR STUDENTS, SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. OTHER TYPES OF GRANTS AND ASSISTANCE MIGHT INCLUDE, FOR EXAMPLE, RECIPIENTS OF PRIZES AND AWARDS WHO HAVE MET THE SPECIFIC CRITERIA FOR THE PARTICULAR PRIZE OR AWARD TO BE SELECTED. IN THE CASE OF SCHOLARSHIPS AND FELLOWSHIPS, THE RECIPIENT IS OFTEN REQUIRED TO UTILIZE THE FUNDS IN FURTHERANCE OF THEIR EDUCATION AND RESEARCH AT CMU. GRANTS ARE ALSO MADE IN THE CONTEXT OF ACADEMIC OR RESEARCH PROGRAMS AND RECIPIENTS SPEND THEIR GRANT FUNDS UNDER THE SUPERVISION OF THE PROGRAM FOR THE USE OF THE FUNDS. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. FUNDS ARE SPENT UNDER THE SUPERVISION OF THE PRINCIPAL INVESTIGATORS AND ARE ACCOUNTABLE TO FEDERAL AND SPONSOR TERMS AND CONDITIONS. X X X X X X X 1 1 X X X X X X 1 1 0 0 0 0 0 1 0 EDWARD GREFENSTETTE VOTING TRUSTEE 0 515000 0 500000 0 6423 0 705309 0 22577 0 1749309 0 500000 JEANNE VANBRIESEN EX-OFFICIO TRUSTEE/PROFESSOR 191190 0 0 0 2139 0 14635 0 70336 0 278300 0 0 0 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 573021 7500 100000 0 50578 0 21600 0 75032 0 820231 7500 0 0 LAURIE WEINGART INTERIM PROVOST 374413 0 0 0 37414 0 23019 0 53448 0 488294 0 0 0 ANGELA BLANTON VP OF FINANCE & CFO 383193 0 0 0 10026 0 21600 0 14058 0 428877 0 0 0 GINA CASALEGNO V.P. STUDT. AFRS. & DEAN OF STUDENTS 299420 0 0 0 5610 0 21600 0 6037 0 332667 0 0 0 MARY JO DIVELY VP/GENERAL COUNSEL 469282 0 0 0 41216 0 21600 0 177799 0 709897 0 0 0 CHARLES A KENNEDY CIO AND INTERIM TREASURER THRU 11/17 331901 0 278681 0 30631 0 87117 0 24271 0 752601 0 54237 0 KAREN T KHAN ASSISTANT SECRETARY 128532 0 0 0 1810 0 10642 0 9308 0 150292 0 0 0 STEVE KLOEHN V.P. FOR MARKETING AND COMMUNICATION 306972 0 0 0 5838 0 21600 0 35109 0 369519 0 0 0 CATHY A LIGHT CHIEF OF STAFF & SEC. OF THE CORP. 290326 0 50000 0 6556 0 21600 0 33714 0 402196 0 0 0 RODNEY MCCLENDON V.P. FOR OPERATIONS 428036 0 0 0 17395 0 21600 0 14007 0 481038 0 0 0 CARRIE NELSON ASSISTANT TREASURER 238355 0 5000 0 3425 0 19400 0 4919 0 271099 0 0 0 SCOTT MORY V.P. FOR UNIV. ADVANCEMENT 452660 0 25000 0 34402 0 21600 0 9415 0 543077 0 0 0 JAMES H GARRETT DEAN CARNEGIE INSTITUTE OF TECHNOLOGY 375979 0 0 0 69520 0 21600 0 17026 0 484125 0 0 0 ANDREW MOORE DEAN, SCHOOL OF COMPUTER SCIENCE 552913 0 0 0 26868 0 21600 0 49093 0 650474 0 0 0 PAUL D NIELSEN CEO & DIRECTOR SEI 546344 0 0 0 37368 0 21600 0 7700 0 613012 0 0 0 ILKER BAYBARS DEAN & CEO QATAR CAMPUS 548863 0 0 0 463143 0 21600 0 42774 0 1076380 0 0 0 ROBERT DAMMON DEAN, TEPPER SCHOOL OF BUSINESS 592153 0 0 0 32191 0 21600 0 16024 0 661968 0 0 0 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF OF NAT. SCI. 554253 0 0 0 42456 0 26406 0 13634 0 636749 0 0 0 RICHARD MUNDY CHIEF OPERATING OFFICER-QATAR 176154 0 0 0 417997 0 16080 0 68648 0 678879 0 0 0 RAMAMOORTHI RAVI DEAN OF OPERATIONS RESEARCH 302765 0 0 0 540725 0 25819 0 12602 0 881911 0 0 0 JARED L COHON FORMER OFFICER/FORMER TRUSTEE/PROFES 165866 0 0 0 25429 0 18789 0 18201 0 228285 0 0 0 JOHN LEHOCZKY FORMER OFFICER/PROFESSOR 279267 0 0 0 51687 0 22451 0 19086 0 372491 0 0 0 PAMELA EAGER FORMER OFFICER/SR. ASSOC. VP FOR DEV 302315 0 0 0 13637 0 21600 0 28977 0 366529 0 0 0 MARK S KAMLET FORMER OFFICER/UNIV. PROF. OF ECON. 435008 0 0 0 34228 0 26406 0 12532 0 508174 0 0 0 AMIR RAHNAMAY-AZAR FORMER OFFICER 0 0 0 0 214240 0 0 0 0 0 214240 0 0 0 SUBRA SURESH FORMER OFFICER/FORMER TRUSTEE 411541 7500 0 0 734414 0 1125606 0 21311 0 2292872 7500 552003 0 RANDAL E BRYANT FORMER KE/PROFESSOR 288347 0 0 0 4700 0 25565 0 19479 0 338091 0 0 0 PART I, LINE 1A ALL ITEMS CHECKED IN LINE 1A ARE PROVIDED TO OR FOR A PERSON LISTED IN FORM 990, PART VII TO FURTHER THE BUSINESS, EDUCATIONAL, AND RESEARCH MISSION OF THE UNIVERSITY PURSUANT TO FEDERAL TAX REGULATIONS, IRS ACCOUNTABLE PLAN RULES, AND THE UNIVERSITY'S POLICIES AND PROCEDURES. NONTAXABLE BENEFITS DISCLOSED IN COLUMN D INCLUDE, FOR EXAMPLE, CONTRIBUTIONS TO EMPLOYER HEALTH AND WELFARE PLANS, EMPLOYER PROVIDED HOUSING, AND QUALIFIED TUITION BENEFITS. PART I, LINES 4A-B EFFECTIVE JULY 1, 2017, DR. SURESH WAS NO LONGER EMPLOYED BY THE UNIVERSITY. IN CONJUNCTION WITH HIS DEPARTURE, THE UNIVERSITY AND DR. SURESH NEGOTIATED SEVERANCE BENEFITS. DR. SURESH'S PAID SEVERANCE BENEFITS, TOTALING $432,003 ARE REPORTED IN PART II, COLUMN (B) AND HIS ACCRUED SEVERANCE BENEFITS ARE INCLUDED IN PART II, COLUMN (C). ADDITIONALLY, DR. SURESH PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. THESE BENEFITS ARE ALSO REPORTED IN PART II, COLUMN (C). EFFECTIVE JULY 1, 2016, AMIR RAHNAMAY-AZAR WAS NO LONGER EMPLOYED BY THE UNIVERSITY. SEVERANCE BENEFITS, TOTALING $214,240 ARE REPORTED IN PART II, COLUMN (B). PART I, LINE 7 ALL BONUSES PAID WERE AWARDED AS A RESULT OF PERFORMANCE AND WERE APPROVED BY THE COMPENSATION COMMITTEE. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RES4 2008-04-10 120820000 REFUNDING 2006A,B & 2007A. SEE PART VI FOR MORE DETAIL 0 0 0 B PENNSYLVANIA HIGHER EDUCATIONAL FACILITIES AUTHORITY 232243852 70917RXJ9 2009-08-20 183259641 REFUNDING 1995 A-D & CAPITAL PROJECTS. SEE PART VI FOR MORE DETAIL 0 0 0 C ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729EKY2 2013-02-14 60529980 REVENUE BONDS TO FINANCE NEW CONSTRUCTION. SEE PART VI FOR MORE DETAIL 0 0 0 D ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMP1 2017-07-19 77823681 REFUNDING 2009 BONDS & TAXABLE COMMERCIAL PAPER NOTES. SEE PART VI FOR MORE 0 0 0 A 120821573 493831 120327742 1 0 1 1 B 52430000 183272585 12991 1247008 15012697 166999889 2011 1 0 1 1 C 60575582 36398 463813 60045471 29900 2016 0 0 1 1 D 77839863 341465 77498398 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 1 0 0 0 1 B 0 0 1 1 0 0 0 0 1 C 0 0 0 1 0 0 0 1 1 D 0 1 1 1 0 0 0 0 1 A 1 B 1 C 1 D 1 (A) ISSUER NAME: ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY (F) DESCRIPTION OF PURPOSE: REISSUANCE OF 2012B BONDS. SEE PART VI FOR MORE DETAIL ENTITY 1 COLUMN A: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. PART I(F): BONDS CURRENT REFUNDED SERIES 2006AB BONDS (ISSUED DECEMBER 13, 2006) AND SERIES 2007 BONDS (ISSUED MARCH 1, 2007). PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. 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. PART IV, LINE 2(C): THE MOST RECENT REBATE REPORT WAS PREPARED BY THE BORROWER AND DATED APRIL 26, 2013. ENTITY 1 COLUMN B: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. PART I(F): THE REFUNDING PORTION OF THE BONDS CURRENT REFUNDED SERIES 1995ABCD BONDS (ISSUED OCTOBER 26, 1995). 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. PART IV, LINE 2(B): THE REFUNDING AND NEW MONEY PORTIONS OF THE BONDS HAVE MET THE 6-MONTH AND 18-MONTH EXPENDITURE EXCEPTIONS TO THE REBATE REQUIREMENT, RESPECTIVELY. PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT AND; THEREFORE, NO COMPUTATION HAS BEEN, OR EVER WILL BE, PREPARED FOR THE BONDS. ENTITY 1 COLUMN C: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. 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. PART IV, LINE 2(C): THE MOST 5TH YEAR RECENT REBATE REPORT WAS PREPARED BY BLX ON FEBRUARY 13, 2018. ENTITY 1 COLUMN D: PART I(F): THE BONDS CURRENT REFUNDED PORTIONS OF THE SERIES 2009 BONDS (ISSUED AUGUST 20, 2009) AND TAXABLE COMMERCIAL PAPER NOTES (ISSUED FEBRUARY 24, 2015). THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. 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. PART IV, LINE 2(B): THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT AND; THEREFORE, NO COMPUTATION HAS BEEN, OR EVER WILL BE, PREPARED FOR THE BONDS. ENTITY 2 COLUMN A: PART I(F): THE BONDS CURRENT REFUNDED THE OUTSTANDING SERIES 2012B BONDS (ISSUED MARCH 1, 2012). PART II, LINE 13: SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. PART III: BECAUSE PROCEEDS OF THE BONDS WERE USED TO REFUND BONDS ISSUED BEFORE JANUARY 1, 2003, THE ISSUER HAS NOT COMPLETED PART III WITH RESPECT TO THE BONDS. PART IV, LINE 2(B): BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. PART IV, LINE 2(C): THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 NONEAVAIL 2017-12-27 50000000 REISSUANCE OF 2012B BONDS. 0 0 0 A 50000000 50000000 1 0 1 1 A 0 1 1 1 1 0 0 0 1 A 1 C BRODSKY M. KAMLET- CMU FORMER OFFICER- HUSBAND OF C. BRODSKY- CMU EMPLOYEE 128443 SEE PART V COMPENSATION FOR PROFESSOR OF COLLEGE OF FINE ARTS 0 L SMITH J. GARRETT- CMU KEY EMPLOYEE- BROTHER OF L. SMITH- CMU EMPLOYEE 76370 SEE PART V COMPENSATION FOR ASSOCIATE DIRECTOR OF STUDENT ACCOUNTS 0 R BLANTON A. BLANTON - CMU OFFICER - WIFE OF R. BLANTON - CMU EMPLOYEE 278172 SEE PART V COMPENSATION FOR PROFESSOR OF ELECTRICAL & COMPUTER ENGINEERING 0 X 5 86713 APPRAISAL X 53293 APPRAISAL X 2 23000 FAIR MARKET VALUE X 308 30982583 FAIR MARKET VALUE X COMPUTER EQPT 6 328710 FAIR MARKET VALUE X SCIENTIFIC/ENGINEERING/MUSIC EQPT 6 111164 FAIR MARKET VALUE X ALUMNI EVENT 28 49670 COST 4 0 1 0 PART I, COLUMN (B): THE NUMBER SHOWN IN COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS CARNEGIE MELLON UNIVERSITY RECEIVED FOR EACH TYPE OF PROPERTY FOR THE YEAR ENDED JUNE 30, 2018. FORM 990, PART VI, SECTION A, LINE 2 JAMES ROHR, EDWARD GREFENSTETTE, AND FARNAM JAHANIAN HAVE A BUSINESS RELATIONSHIP. EDWARD GREFENSTETTE AND J. LEA HILLMAN SIMONDS HAVE A BUSINESS RELATIONSHIP. LARRY JENNINGS JR. AND LUKE SKURMAN HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 7A CARNEGIE MELLON HAS SIX EX-OFFICIO TRUSTEES WHO ARE MEMBERS OF THE BOARD OF TRUSTEES BY HOLDING THE FOLLOWING OFFICES: MAYOR OF THE CITY OF PITTSBURGH PRESIDENT OF COUNCIL OF THE CITY OF PITTSBURGH PRESIDENT OF CARNEGIE MELLON UNIVERSITY PRESIDENT OF CARNEGIE MELLON ALUMNI ASSOCIATION PRESIDENT OF THE ANDREW CARNEGIE SOCIETY OF CARNEGIE MELLON CHAIRMAN OF CARNEGIE MELLON FACULTY SENATE EX-OFFICIO TRUSTEES SHALL BE FULL VOTING MEMBERS OF THE BOARD OF TRUSTEES, WITH ALL RIGHTS AND RESPONSIBILITIES THERETO, EXCEPT AS FOLLOWS: THEY SHALL BE WELCOME AT ALL OPEN SESSIONS OF ALL FULL BOARD MEETINGS AND, IF REQUESTED BY THE CHAIR, AT CLOSED EXECUTIVE SESSIONS; AND THE PRESIDENT OF CARNEGIE MELLON UNIVERSITY SHALL HAVE NO VOTING RIGHTS WHEN SERVING AS A MEMBER OF THE AUDIT COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B CARNEGIE MELLON UNIVERSITY'S TAX DEPARTMENT IS RESPONSIBLE FOR GATHERING RELEVANT INFORMATION AND PREPARING THE ANNUAL FORM 990. ONCE THE FORM IS COMPLETE IN DRAFT STATUS, IT IS REVIEWED WITH CARNEGIE MELLON'S INDEPENDENT CERTIFIED PUBLIC ACCOUNTING (CPA) FIRM. UPON COMPLETION OF INDEPENDENT REVIEW BY THE CPA FIRM, THE FORM IS REVIEWED BY THE VICE PRESIDENT FOR FINANCE AND CHIEF FINANCIAL OFFICER, ASSOCIATE VICE PRESIDENT FOR FINANCE AND CONTROLLER, PRESIDENT, CHIEF OF STAFF AND VP OF STRATEGIC INITIATIVES, TAX DEPARTMENT AND THEN PROVIDED TO THE AUDIT COMMITTEE FOR APPROVAL. FINALLY, A COMPLETED COPY OF THE FORM IS PROVIDED TO THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO FILING FORM 990 WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CARNEGIE MELLON REQUIRES EACH TRUSTEE, OFFICER, AND MEMBER OF SENIOR MANAGEMENT TO DISCLOSE ANNUALLY THE EXISTENCE OF ANY CIRCUMSTANCES THAT MIGHT CONSTITUTE A CONFLICT OF INTEREST WITH THE INSTITUTION. THE PROCESS IS INITIATED EACH FISCAL YEAR BY THE OFFICE OF THE SECRETARY OF THE CORPORATION SENDING AN ELECTRONIC CONFLICT OF INTEREST QUESTIONNAIRE TO THE ABOVE NOTED INDIVIDUALS. COMPLETED QUESTIONNAIRES ARE RETURNED TO THE SECRETARY OF THE CORPORATION FOR EVALUATION OF ACTUAL OR PERCEIVED CONFLICTS BY THE INSTITUTION, REVIEWED BY THE OFFICE OF GENERAL COUNSEL, AND ANNUAL REPORTING IS PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. ALL OFFICERS AND MEMBERS OF THE BOARD ARE REQUIRED TO DISCLOSE CONFLICTS TO THE SECRETARY OF THE CORPORATION AS THEY ARISE THROUGHOUT THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE ANNUALLY REVIEWS AND RECOMMENDS TO THE EXECUTIVE COMMITTEE FOR APPROVAL THE PRESIDENT'S SALARY, COMPENSATION, AND BENEFIT PACKAGE (TOTAL COMPENSATION), AND REVIEWS AND APPROVES THE TOTAL COMPENSATION OF THE PROVOST, VICE PRESIDENTS, DEANS, OFFICERS AND KEY EMPLOYEES. THE COMMITTEE OBTAINS APPROPRIATE ANALYSES AND STUDIES PREPARED BY THE ADMINISTRATION AND INDEPENDENT EXTERNAL SOURCES WITH RESPECT TO COMPENSATION FOR SIMILAR POSITIONS IN SIMILAR ORGANIZATIONS TO AID IN EVALUATING COMPENSATION AND BENEFIT PLAN LEVELS, PRACTICES AND STRATEGIES TO ENSURE THAT THE UNIVERSITY'S COMPENSATION LEVELS AND PRACTICES ARE COMPARABLE TO SIMILAR ORGANIZATIONS AND APPROPRIATE TO ATTRACT, OBTAIN AND RETAIN QUALIFIED PERSONNEL. THIS INCLUDES REVIEWING SURVEY DATA FOR SIMILAR POSITIONS AMONG A SELECT GROUP OF PEER INSTITUTIONS. THE COMMITTEE SUBMITS ITS RECOMMENDATIONS FOR THE PRESIDENT'S TOTAL COMPENSATION PACKAGE TO THE EXECUTIVE COMMITTEE FOR REVIEW AND APPROVAL. THE EXECUTIVE COMMITTEE RECEIVES AN ANNUAL REPORT FROM THE UNIVERSITY'S COMPENSATION COMMITTEE INCLUDING SIGNIFICANT COMPENSATION AND BENEFIT PLAN POLICY CHANGES. IT REPORTS TO THE FULL BOARD ON THIS AND THE COMPETITIVENESS OF THE UNIVERSITY'S COMPENSATION LEVELS AND BENEFIT PLANS IN RELATION TO PEER INSTITUTIONS. FORM 990, PART VI, SECTION C, LINE 19 CARNEGIE MELLON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE FOR PUBLIC INSPECTION. THE DOCUMENTS ARE AVAILABLE UPON REQUEST OR CAN BE OBTAINED BY VISITING THE WEBSITE AT WWW.CMU.EDU. FORM 990, PART VII, SECTION A, LINE 1A: THE BOARD OF TRUSTEES MAY GRANT THE STATUS OF EMERITUS TRUSTEE TO THOSE MEMBERS WHO HAVE MADE DISTINGUISHED CONTRIBUTIONS TO THE UNIVERSITY AND WHO HAVE ATTAINED AT LEAST AGE 60 OR A MAXIMUM OF AGE 75. THE BOARD OF TRUSTEES MAY, AT ANY TIME OR FROM TIME TO TIME CHANGE THE AGE AT WHICH TRUSTEES MUST BE GRANTED EMERITUS, A STATUS, OR RESIGN FROM THE BOARD. EMERITUS/ A TRUSTEES SHALL BE WELCOME AT ALL FULL BOARD MEETINGS; ALL MEETINGS OF THE ADVANCEMENT, EDUCATIONAL AFFAIRS AND ENROLLMENT, AND RESEARCH, INNOVATION AND ENTREPRENEURSHIP COMMITTEES OF THE BOARD OF TRUSTEES; SHALL RECEIVE ALL NOTICES, MINUTES AND REPORTS OF SAID MEETINGS, SHALL BE FREE TO PARTICIPATE IN DISCUSSIONS, BUT SHALL BE WITHOUT A VOTE ON ANY MATTER. EMERITUS TRUSTEES SHALL BE WELCOME AT ALL BOARD AND UNIVERSITY EVENTS. THE FOLLOWING INDIVIDUALS WERE EMERITUS LIFE TRUSTEES OF CARNEGIE MELLON'S BOARD OF TRUSTEES: PAUL A. ALLAIRE, ARTHUR H. ARONSON, JOHN BERTUCCI, CAROL R. BROWN, ROBERT M. BROWN III, W. LOGAN DICKERSON, PHILIP L. DOWD, DINA DUBLON, WILLIAM B. ELLIS, CYNTHIA FRIEDMAN, HENRY GAILLOT, CLAIRE W. GARGALLI, RICHARD D. HAMILTON, WILTON A. HAWKINS, TERESA HEINZ, ORION L. HOCH, T. JEROME HOLLERAN, W. LEE HOSKINS, JUSTIN M. JOHNSON, PATRICIA ASKWITH KENNER , DAVID M. KIRR, EDWARD E. LUCENTE, THOMAS A. MCCONOMY, JACK E. MCGRATH, REGINA GOUGER MILLER, LINDSAY J. MORGENTHALER, ALESSANDRO OVI, NORMAN F. PARKER, E. KEARS POLLOCK, CHARLES J, QUEENAN, JR. ESQ, JOHN G. RANGOS, SR., DAVID RODERICK, VINCENT A. SARNI, JOYCE B. SCOTT, DAVID S. SHAPIRA, RAYMOND W. SMITH, JAMES C. STADLER , W. LOWELL STEINBRENNER, DONALD E. STITZENBERG, JAMES M. WALTON, KONRAD M. WEIS. FORM 990, PART VII, SECTION A, COLUMN B: FOR EACH PERSON LISTED IN COLUMN A WHO IS AN EMPLOYEE OF CARNEGIE MELLON UNIVERSITY, THE AVERAGE NUMBER OF HOURS PER WEEK STATED IS 50 HOURS PER WEEK; HOWEVER, THE ACTUAL NUMBER OF HOURS WORKED VARIES BETWEEN 50-80 HOURS PER WEEK. FORM 990, PART XI, LINE 9: LAMME UNREALIZED GAINS/LOSS -82,789. CHANGE IN SWAP VALUE NET OF INTEREST EXPENSE & OTHER 4,241,003. NET GAIN FROM FUNDRAISING EVENTS -141,123. UNCOLLECTIBLE PLEDGE WRITE OFFS -7,144,822. FORM 990, PART XII, FINANCIAL STATEMENTS AND REPORTING: CARNEGIE MELLON HAS AN AUDIT COMMITTEE OF THE BOARD OF TRUSTEES THAT IS RESPONSIBLE FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND THE SELECTION OF A CERTIFIED INDEPENDENT ACCOUNTING FIRM THAT AUDITS THE FINANCIAL STATEMENTS. CARNEGIE MELLON'S FINANCIAL STATEMENTS ARE CONSOLIDATED. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. 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