2019-05-13T17:42:57-05:00 2018-06-30 910189318 MOSS ADAMS LLP 3121 W MARCH LN STE 200 STOCKTON CA 952192367 990 2017-07-01 951667177 OCCIDENTAL COLLEGE OCCI 3232591417 1600 CAMPUS ROAD LOS ANGELES CA 90041 AMOS R HIMMELSTEIN VICE PRESIDENT AND COO 3232591417 2019-05-10 1 TRACY S PAGLIA P00366884 2099556100 2019-05-10 23.243.54.222 2019-05-10 18:52:50 PD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 7D0D6C7A6A5655B0595BBDB8C4257A6B648F0CEB 2017 2019-02-21 02:37:17Z JONATHAN VEITCH 1600 CAMPUS ROAD LOS ANGELES CA 90041 273548933 0 X WWW.OXY.EDU X 1887 CA TO PROVIDE STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY. 43 40 2702 483 -1636205 -2327958 24799375 23773720 132887937 136993219 26780820 20093322 0 0 184468132 180860261 45083947 47173526 0 0 70576396 73717373 15000 161110 8210475 46435998 48738932 162111341 169790941 22356791 11069320 721228960 747924529 135387750 135400262 585841210 612524267 X SEE SCHEDULE OTHE MISSION OF OCCIDENTAL COLLEGE IS TO PROVIDE A GIFTED AND DIVERSE GROUP OF STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY - ONE THAT PREPARES THEM FOR LEADERSHIP IN AN INCREASINGLY COMPLEX, INTERDEPENDENT AND PLURALISTIC WORLD. THE DISTINCTIVE INTERDISCIPLINARY AND MULTICULTURAL FOCUS OF THE COLLEGE'S ACADEMIC PROGRAM SEEKS TO FOSTER BOTH THE FULFILLMENT OF INDIVIDUAL ASPIRATIONS AND A DEEPLY ROOTED COMMITMENT TO THE PUBLIC GOOD. THIS MISSION IS ANCHORED BY FOUR CORNERSTONES: EXCELLENCE, EQUITY, COMMUNITY AND SERVICE. THESE BUILDING BLOCKS, IN ONE FORM OR ANOTHER, HAVE LONG BEEN THE BASIS FOR THE COLLEGE'S COMMITMENT TO PROVIDING RESPONSIBLE LEADERS AND CITIZENS FOR OUR DEMOCRATIC SOCIETY. CHOOSING THEM TO SUPPORT THE FUTURE HELPS TO ENSURE THAT THE COLLEGE REMAINS TRUE TO ITS MISSION WHILE ADAPTING TO A CHANGING WORLD. 0 0 104308074 46767365 107593584 SEE SCHEDULE OACADEMIC PROGRAM: FOUNDED IN 1887, OCCIDENTAL WAS ONE OF THE FIRST LIBERAL ARTS COLLEGES IN CALIFORNIA AND TODAY IS ONE OF THE COUNTRY'S FEW LIBERAL ARTS COLLEGES IN AN URBAN SETTING. OCCIDENTAL OFFERS UNDERGRADUATE DEGREES IN A WIDE RANGE OF DISCIPLINES AND A MASTER'S DEGREE IN MARINE BIOLOGY. ITS 2,036 STUDENTS, DRAWN FROM 46 STATES, WASHINGTON, D.C. AND 58 COUNTRIES, CHOOSE FROM 44 MAJORS AND MINORS TAUGHT BY 188 FULL-TIME AND 89 PART-TIME FACULTY. COURSE WORK IS INTEGRATED WITH OPPORTUNITIES FOR INDEPENDENT STUDY, COMMUNITY ENGAGEMENT, ONE OF THE COUNTRY'S TOP UNDERGRADUATE RESEARCH PROGRAMS, STUDY IN DOZENS OF FOREIGN COUNTRIES, AND THE COUNTRY'S ONLY CAMPAIGN SEMESTER AND RESIDENTIAL UNITED NATIONS PROGRAMS FOR UNDERGRADUATES. SINCE PRODUCING ITS FIRST RHODES SCHOLAR IN 1907, OCCIDENTAL HAS CONSISTENTLY WON NATIONAL AND INTERNATIONAL RECOGNITION FOR ACADEMIC ACHIEVEMENT. THE COLLEGE HAS BEEN ONE OF THE COUNTRY'S LEADING PRODUCERS OF STUDENT FULBRIGHT SCHOLARS FOR MORE THAN A DECADE, ACCORDING TO THE CHRONICLE OF HIGHER EDUCATION.DEDICATED TO EXCELLENCE AND EQUITY, OCCIDENTAL ALSO IS ONE OF THE COUNTRY'S MOST ECONOMICALLY DIVERSE CAMPUSES, ACCORDING TO THE NEW YORK TIMES. SOME 73 PERCENT OF OXY STUDENTS RECEIVE SOME FORM OF FINANCIAL AID; 20 PERCENT ARE PELL GRANT RECIPIENTS; AND 15 PERCENT ARE THE FIRST IN THEIR FAMILY TO ATTEND COLLEGE. 37155962 267617 28025734 SEE SCHEDULE OCO-CURRICULAR PROGRAM: OCCIDENTAL OFFERS A WIDE RANGE OF CO-CURRICULAR PROGRAMS, FROM THE STUDENT-RUN BLYTH FUND, WHICH OVERSEES A SIX-FIGURE INVESTMENT FUND THAT MAKES UP PART OF THE COLLEGE'S ENDOWMENT, TO THE INTERNSHIPS OFFERED THROUGH THE RECENTLY RENOVATED AND EXPANDED HAMEETMAN CAREER CENTER. THERE ARE MORE THAN 100 STUDENT CLUBS AND ORGANIZATIONS, AS WELL AS AN ONLINE RADIO STATION, AWARD-WINNING WEEKLY NEWSPAPER, AND LITERARY MAGAZINE. AS ONE OF THE FOUNDERS OF INTERCOLLEGIATE ATHLETICS IN SOUTHERN CALIFORNIA, OCCIDENTAL OFFERS 21 VARSITY SPORTS FOR MEN AND WOMEN, AS WELL AS SEVERAL CLUB SPORTS AND INTRAMURAL PROGRAMS FOR MEN AND WOMEN. 5532271 138543 661983 SEE SCHEDULE OPUBLIC SERVICE: OCCIDENTAL IS RECOGNIZED AS A COMMUNITY ENGAGEMENT INSTITUTION BY THE CARNEGIE FOUNDATION FOR THE ADVANCEMENT OF TEACHING AND HAS REPEATEDLY BEEN NAMED TO THE PRESIDENT'S HIGHER EDUCATION COMMUNITY SERVICE HONOR ROLL FOR ITS EXEMPLARY SERVICE EFFORTS. OCCIDENTAL'S TRADITION OF COMMUNITY OUTREACH DATES BACK TO 1963, WHEN THE COLLEGE'S COMMUNITY LITERACY CENTER WAS FOUNDED TO PROVIDE ONE-ON-ONE READING AND WRITING INSTRUCTION FOR LOCAL K-6 CHILDREN. IT ALSO IS HOME TO ONE OF CALIFORNIA'S OLDEST AND LARGEST UPWARD BOUND PROGRAMS. OCCIDENTAL HAS INTEGRATED COMMUNITY ENGAGEMENT INTO ITS CURRICULUM, TAKING ADVANTAGE OF ITS LOCATION IN LOS ANGELES. THREE LINKED PROGRAMS THE OFFICE FOR COMMUNITY ENGAGEMENT, THE CENTER FOR COMMUNITY BASED LEARNING, AND THE URBAN & ENVIRONMENTAL POLICY INSTITUTE CONNECT CURRICULUM, CO-CURRICULAR ACTIVITIES, AND RESEARCH AND COMMUNITY-BASED EFFORTS. 146996307 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 0 1 0 0 1 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 0 0 0 1 1 1 0 0 0 1 3080 0 1 2702 1 1 1 0 0 0 0 1 1 0 0 0 0 0 X 43 40 0 0 1 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 CA WA X BARBARA VALIENTE 3232591417 1600 CAMPUS ROAD LOS ANGELES CA 90041 JONATHAN VEITCH PRESIDENT/EX-OFFICIO 50.00 X X 620920 0 235490 SUSAN MALLORY CHAIR 3.00 X X 0 0 0 CHRISTOPHER CHRIS VARELAS VICE-CHAIR 2.50 X X 0 0 0 DAVE BERKUS VICE-CHAIR 2.50 X X 0 0 0 LESLIE TRIM VICE-CHAIR (THRU 5/20/18) 2.50 X X 0 0 0 REID SAMUELSON VICE-CHAIR 2.50 X X 0 0 0 ALAN FREEMAN TRUSTEE 1.50 X 0 0 0 ANNE CANNON TRUSTEE 2.50 X 0 0 0 BONNIE MILLS TRUSTEE 1.50 X 0 0 0 CARL BALLTON TRUSTEE 2.00 X 0 0 0 CATHERINE YOUNG SELLECK TRUSTEE 1.50 X 0 0 0 CHARLES MCCLINTOCK EX-OFFICIO 2.50 X 0 0 0 CHRISTOPHER C CALKINS TRUSTEE 2.50 X 0 0 0 COIT CHIP BLACKER TRUSTEE 2.00 X 0 0 0 DAVID ANDERSON TRUSTEE 2.50 X 0 0 0 DAVID BURCHAM TRUSTEE 2.00 X 0 0 0 DENNIS COLLINS TRUSTEE 1.50 X 0 0 0 EILEEN BROWN TRUSTEE 1.50 X 0 0 0 ERIC B MOORE TRUSTEE 1.50 X 0 0 0 FRED HAMEETMAN TRUSTEE 1.50 X 0 0 0 GARY KAPLAN TRUSTEE 1.50 X 0 0 0 GILES GIL KEMP TRUSTEE 1.50 X 0 0 0 GLORIA DUFFY TRUSTEE 2.00 X 0 0 0 GORDON MACINNES TRUSTEE 1.50 X 0 0 0 GRETA MANDELL TRUSTEE 1.50 X 0 0 0 HECTOR DE LA TORRE TRUSTEE 2.50 X 0 0 0 JANETTE SADIK-KHAN TRUSTEE 1.50 X 0 0 0 JENNIFER CROSTHWAITE TRUSTEE 1.50 X 0 0 0 JOHN BRANCA TRUSTEE 1.50 X 0 0 0 JOHN FARMER TRUSTEE 2.00 X 0 0 0 JOHN POWER TRUSTEE 2.50 X 0 0 0 LISA H LINK TRUSTEE 2.50 X 0 0 0 LOUISE EDGERTON TRUSTEE 1.50 X 0 0 0 MAURINE HALPERIN TRUSTEE 1.50 X 0 0 0 NAOMI KURATA TRUSTEE (THRU 4/25/18) 2.00 X 0 0 0 OCTAVIO V HERRERA TRUSTEE 1.50 X 0 0 0 PATRICIA ALIREZA TRUSTEE 1.50 X 0 0 0 RICHARD RICK RUGANI TRUSTEE 2.50 X 0 0 0 RONALD HAHN TRUSTEE 1.50 X 0 0 0 SOROOSH SHAMBAYATI TRUSTEE 1.50 X 0 0 0 STEPHEN ROUNTREE TRUSTEE 2.50 X 0 0 0 STEVEN J OLSON TRUSTEE 2.00 X 0 0 0 STEVEN ROBINSON TRUSTEE 1.50 X 0 0 0 SUSAN DIMARCO TRUSTEE 2.00 X 0 0 0 VINCENT PADUA TRUSTEE 1.50 X 0 0 0 WENDY STERNBERG VP OF ACADEMIC AFFAIRS/DEAN OF THE COLLEGE 50.00 X 109350 0 48434 ROBERT FLOT VP OF STUDENT AFFAIRS/ DEAN OF STUDENTS 50.00 X 100754 0 25800 AMOS HIMMELSTEIN VP OF FINANCE/COO/TREASURER 50.00 X 284580 0 126413 CHARLES CARDILLO VP OF INSTITUTIONAL ADVANCEMENT 50.00 X 333670 0 53541 VINCENT CUSEO VP OF ENROLLMENT/DEAN OF ADMISSION 50.00 X 224520 0 22888 RHONDA BROWN VP OF INCLUSION AND EQUITY/CHIEF DIVERSITY OFFICER 50.00 X 174262 0 34912 MARSHA SCHNIRRING SECRETARY 50.00 X 140616 0 36015 BARBARA VALIENTE ASSISTANT TREASURER 50.00 X 173134 0 51577 ELIZABETH KENNEDY SR. ADVISOR, PRINCIPAL GIVING 50.00 X 243595 0 39759 DEREK SHEARER PROFESSOR 50.00 X 215343 0 38405 PETER DREIER PROFESSOR 50.00 X 201619 0 40211 ERIC FRANK PROFESSOR 50.00 X 182777 0 35244 JAMES UHRICH ASSOC. VP/CHIEF INFORMATION OFFICER 50.00 X 179279 0 27670 ERICA O'NEAL HOWARD FORMER INTERIM DEAN OF STUDENTS 50.00 X 167453 0 26462 KERRY THOMPSON FORMER INTERIM VP ACADEMIC AFFAIRS 50.00 X 172419 0 38728 3524291 0 881549 104 1 1 0 DEL AMO CONSTRUCTION INC 23840 MADISON ST TORRANCE CA 90505 CONSTRUCTION 2426404 PACIFIC NATIONAL GROUP 2392 SOUTH BATEMAN AVE IRWINDALE CA 91010 CONSTRUCTION 1151001 JORGENSEN-REEVE BUILDERS INC 4965 TOPANGA CANYON BLVD WOODLAND HILLS CA 91364 CONSTRUCTION 1095171 MESA ENERGY SYSTEMS INC 2 CROMWELL IRVINE CA 92618 CONSTRUCTION 880422 VANCREST CONSTRUCTION CORPORATION 7171 N FIGUEROA ST LOS ANGELES CA 90042 CONSTRUCTION 703027 32 4471142 19302578 4357726 23773720 TUITION AND FEES 900099 106691252 106691252 ROOM AND BOARD 900099 24364165 24364165 CONFERENCES AND EVENTS 900099 1860540 1328822 531718 BOOKSTORE 900099 865520 865520 FOOD SERVICE 900099 327567 218947 108620 2884175 2812595 71580 136993219 7746528 -2348123 10094651 105035466 92688672 12346794 12346794 12346794 180860261 136281301 -1636205 22441445 166225 166225 47007301 47007301 2893061 746148 1765088 381825 385576 378213 7363 53525147 45566345 4052574 3906228 3961332 3402555 244150 314627 9102380 7391558 996161 714661 3849877 3095729 452017 302131 767717 767717 141357 141357 161110 161110 1448054 1448054 4399262 2917650 975144 506468 148337 92642 40735 14960 5311737 3810757 495264 1005716 2532523 2079252 398646 54625 3929130 3340892 588238 2001185 1723845 97744 179596 685419 569047 80990 35382 3859167 3648766 210401 8523564 8076437 336473 110654 643741 121706 522035 COST OF SALES 5038878 5038878 INTERNATIONAL PROGRAMS 3078273 3078273 MAINTENANCE & IMPROVEME 2593754 2368829 224925 DUES AND SUBSCRIPTIONS 461039 279117 116715 65207 3175795 2096142 622368 457285 169790941 146996307 14584159 8210475 1730317 3719840 96720421 86460121 7194896 9127265 497937 587222 619792 687427 238225 657096 290211853 116005736 167268437 174206117 340513732 354967949 74671205 86484992 22513273 21558935 9260725 9467565 721228960 747924529 11417245 13660042 5199870 5852125 86105000 83750000 4262957 3820612 515099 481840 27887579 27835643 135387750 135400262 X 191887591 203061073 217582516 226814509 176371103 182648685 585841210 612524267 721228960 747924529 X 11069320 13809698 1804039 X 0 1 X 1 1 1 X 23215543 29189014 20725038 24799375 23773720 121702690 23215543 29189014 20725038 24799375 23773720 121702690 8968272 112734418 8499708 9601430 8848000 10527200 10094651 47570989 169273679 645622919 0.66600 0.65910 X 0 0 0 0 X X X 0 413429864 9419724 32460536 9853567 10563926 658612 434234019 371680490 9765465 52844846 9582333 10630098 648506 413429864 392166640 13935888 -14473295 9038596 10166252 743895 371680490 406096354 8406887 -3685398 8532879 9436437 681887 392166640 356767066 6409801 61690736 8611065 9588959 571225 406096354 0.20000 0.37000 0.43000 0 0 3162911 1481532 4644443 250059513 101581134 148478379 8772364 4428109 4344255 15394449 9996493 5397956 11341084 11341084 174206117 PRIVATE EQUITY & VENTURE CAPITAL 86484992 F 86484992 ANNUITIES PAYABLE 14677734 BONDS PREMIUM, NET 10526867 ASSET RETIREMENT OBLIGATION 2631042 27835643 X 149167159 13809698 13809698 135357461 1448054 44054746 45502800 180860261 122484102 0 122484102 1448054 45858785 47306839 169790941 PART III, LINE 1A: COLLECTIONS, SUCH AS RARE BOOKS AND WORKS OF ART, WHICH WERE ACQUIRED THROUGH PURCHASES AND CONTRIBUTIONS SINCE THE COLLEGE'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS. THESE COLLECTIONS ARE HELD SOLELY FOR THEIR POTENTIAL EDUCATIONAL VALUE OR HISTORICAL SIGNIFICANCE. MANAGEMENT HAS DETERMINED THAT THE COST TO ESTABLISH THE CURRENT MARKET VALUE IS DEEMED TO EXCEED THE BENEFIT AND THEREFORE THE COLLECTIONS WERE NOT ASSIGNED A VALUE FOR THE PURPOSE OF CAPITALIZATION. PURCHASES OF COLLECTION ITEMS ARE RECORDED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE YEAR IN WHICH THE ITEMS ARE ACQUIRED OR AS TEMPORARILY OR PERMANENTLY RESTRICTED NET ASSETS IF THE ASSETS USED TO PURCHASE THE ITEMS HAVE BEEN RESTRICTED BY DONORS. PART III, LINE 4: THE COLLEGE RECEIVED A SHELL AND BIRD COLLECTION TO BE USED FOR RESEARCH. THE COLLEGE MAINTAINS COLLECTIONS OF ART FOR DISPLAY AND EDUCATIONAL PURPOSES. PART V, LINE 4: THE COLLEGE'S ENDOWMENT FUNCTIONS TO SUPPORT STUDENT SCHOLARSHIPS, PROFESSORSHIPS, STUDENT AND FACULTY RESEARCH, ACADEMIC PROGRAMS, THE LIBRARY, VISITING SPEAKERS, AND OTHER GENERAL COLLEGE PROGRAMS. PART X, LINE 2: AS REQUIRED BY GAAP, THE COLLEGE AND OTWAY HAVE IDENTIFIED AND EVALUATED THEIR SIGNIFICANT TAX POSITIONS AND HAVE DETERMINED THAT THERE ARE NO MATERIAL UNRECOGNIZED BENEFIT OR LIABILITY TO BE RECORDED. THERE ARE NO UNCERTAIN TAX POSITIONS FOR THE YEARS ENDED JUNE 30, 2018 OR JUNE 30, 2017. THERE HAVE BEEN NO RELATED TAX PENALTIES OR INTEREST, WHICH WOULD BE CLASSIFIED AS A TAX EXPENSE IN THE CONSOLIDATED STATEMENTS OF ACTIVITIES. PART XI, LINE 4B - OTHER ADJUSTMENTS: CHANGE IN FAIR VALUE OF ASSETS HELD IN TRUST BY OTHERS -32,634. ANNUITIES ADJUSTMENT 576,718. FINANCIAL AID 45,858,785. NET INCOME FROM K-1'S -2,348,123. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 45,858,785. 1 1 1 1 1 1 1 0 0 0 1 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE COLLEGE ADVERTISES THE POLICY IN BROCHURES TO POTENTIAL STUDENTS AND ON THE COLLEGE'S WEBSITE. SCHEDULE E, PART I, LINE 5 GENERALLY, OCCIDENTAL COLLEGE AWARDS SCHOLARSHIPS AND OTHER FINANCIAL ASSISTANCE IN A WAY TO AFFIRM OUR MISSION, "TO PROVIDE A GIFTED AND DIVERSE GROUP OF STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY -- ONE THAT PREPARES THEM FOR LEADERSHIP IN AN INCREASINGLY COMPLEX, INTERDEPENDENT AND PLURALISTIC WORLD." IN PARTICULAR, THE ACHIEVEMENT AND OPPORTUNITY GRANT IS USED TO ENSURE THAT OUR STUDENT POPULATION MAINTAINS AS ETHNICALLY DIVERSE POPULATION AS POSSIBLE, AND IN THIS CASE, THE AWARD MIGHT BE USED TO MAKE IT POSSIBLE TO INCREASE THE ATTENDANCE OF STUDENTS OF COLOR. SCHEDULE E, PART I, LINE 6 OCCIDENTAL COLLEGE PARTICIPATES IN THE FEDERAL PELL GRANT, CAMPUS-BASED PROGRAMS (FEDERAL SUPPLEMENTAL OPPORTUNITY GRANT, FEDERAL WORK STUDY AND FEDERAL PERKINS LOAN PROGRAM) AND FEDERAL DIRECT LOAN AND PLUS LOAN PROGRAMS. IN ADDITION WE RECEIVE GRANTS FROM VARIOUS STATE GOVERNMENTS. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 52132337 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 INVESTMENTS 2150182 NORTH AMERICA (CANADA AND MEXICO) 0 0 INVESTMENTS 345723 0 0 0 0 0 0 54628242 0 54628242 1 0 1 1 1 0 X X X X X X 1 DCH ADVISORS 1218 9TH ST STE 2 SANTA MONICA CA 904011845 CONSULTING 0 0 72088 -72088 MONTLAKE GROUP 16639 W SUNSET BLVD PACIFIC PALISADES CA 902723202 CONSULTING 0 0 89022 -89022 161110 -161110 AL CA CT GA IA ID IL MO MT NC NM NV OH TX WA 1 BARRIO PARTNERS LLC 11700 NATIONAL BLVD L-102 LOS ANGELES CA 90064 472959873 15000 DEVELOP A DETAILED PROJECT WORKPLAN AND TIMELINE TO ACHIEVE ALL CO-MARKETING CAMPAIGN DELIVERABLES. ASSIST IN CREATING THE CO-MARKETING CAMPAIGN PLAN, CONDUCT SITE VISITS TO NEIGHBORHOOD STORES AND LOCAL INSTITUTIONS AND TO IDENTIFY OPTIMAL PARTNERS FOR CAMPAIGN. ANALYZE RESEARCH RESULTS. BERLIN ROSEN LTD 15 MAIDEN LANE 1600 NEW YORK NY 10038 841685253 7000 TO ASSIST AND PROVIDE COMMUNICATIONS SUPPORT,COMMUNICATIONS PLANNING AND MATERIALS DEVELOPMENT AND STRATEGIC OUTREACH TO MEDIA FOR THE UEPI/OCCIDENTAL COLLEGE STUDY OF ECONOMIC INSECURITY AMONG WORKERS AT DISNEYLAND RESORTS LOCATED IN ORANGE COUNTY, CALIFORNIA ECONOMIC ROUNDTABLE 315 W 9TH STREET LOS ANGELES CA 90015 954313202 80000 TO ASSIST UEPI/OCCIDENTAL COLLEGE TO GATHER DETAILED DATA AND ASSIST IN DEVELOPING A STUDY OF ECONOMIC INSECURITY AMONG WORKERS AT DISNEYLAND RESORTS LOCATED IN ORANGE COUNTY, CALIFORNIA. THE RESEARCH FOUNDATION PO BOX 9 ALBANY NY 12201 141368361 501C3 33270 RESEARCH PARTNER SUNY NEW PALTZ THROUGH THE RESEARCH FOUNDATION, TO CONDUCT RESEARCH ON QUANTITIVE AFM INVESTIGATIONS OF ADHESION OF A PLANKTONIC BACTERIAL PREDATOR TO BIOFILM PREY. TO MENTOR AND OVERSEE UNDERGRADUATE STUDENTS ASSISTING IN CONDUCTING THE RESEARCH, PROBE CELLS GROWTH, RESEARCH MAPPING, ANALYZING DATA USING MATHEMATICAL MODELS. CHARACTERIZE CHEMICAL SPECIFICITY OF BDELLOVIBRIO ADHESION. WELLESLEY COLLEGE 106 CENTRAL ST WELLESLEY MA 02481 042103637 501C3 5406 TO CONDUCT RESEARCH ON QUANTITIVE AFM INVESTIGATIONS OF ADHESION OF A PLANKTONIC BACTERIAL PREDATOR TO BIOFILM PREY. TO MENTOR AND OVERSEE UNDERGRADUATE STUDENTS ASSISTING IN CONDUCTING THE RESEARCH, PROBE CELLS GROWTH, RESEARCH MAPPING, ANALYZE DATA USING MATHEMATICAL MODELS. CHARACTERIZE CHEMICAL SPECIFICITY OF BDELLOVIBRIO ADHESION. 2 3 SCHOLARSHIPS 1423 45858785 STUDY GRANTS 528 991156 STIPENDS 53 91013 PRIZES AND AWARDS 74 66347 PART I, LINE 2: ALL GRANT AND CONTRACT ACTIVITY IS MONITORED TO ASSURE THAT IT IS IN COMPLIANCE WITH ALL APPLICABLE REGULATIONS. ALL EXPENDITURES ARE REVIEWED ON A WEEKLY BASIS FOR ALLOWABILITY. X X X X 1 1 X X X X 0 1 0 0 0 0 0 0 0 JONATHAN VEITCH PRESIDENT/EX-OFFICIO 548932 0 0 0 71988 0 122000 0 113490 0 856410 0 0 0 WENDY STERNBERG VP OF ACADEMIC AFFAIRS/DEAN OF THE C 109350 0 0 0 0 0 11250 0 37184 0 157784 0 0 0 ROBERT FLOT VP OF STUDENT AFFAIRS/ DEAN OF STUDE 100754 0 0 0 0 0 4613 0 21187 0 126554 0 0 0 AMOS HIMMELSTEIN VP OF FINANCE/COO/TREASURER 284580 0 0 0 0 0 67000 0 59413 0 410993 0 0 0 CHARLES CARDILLO VP OF INSTITUTIONAL ADVANCEMENT 331364 0 0 0 2306 0 27000 0 26541 0 387211 0 0 0 VINCENT CUSEO VP OF ENROLLMENT/DEAN OF ADMISSION 209520 0 0 0 15000 0 20472 0 2416 0 247408 0 0 0 RHONDA BROWN VP OF INCLUSION AND EQUITY/CHIEF DIV 174262 0 0 0 0 0 17946 0 16966 0 209174 0 0 0 MARSHA SCHNIRRING SECRETARY 140616 0 0 0 0 0 14817 0 21198 0 176631 0 0 0 BARBARA VALIENTE ASSISTANT TREASURER 173134 0 0 0 0 0 18757 0 32820 0 224711 0 0 0 ELIZABETH KENNEDY SR. ADVISOR, PRINCIPAL GIVING 243595 0 0 0 0 0 22220 0 17539 0 283354 0 0 0 DEREK SHEARER PROFESSOR 215343 0 0 0 0 0 21972 0 16433 0 253748 0 0 0 PETER DREIER PROFESSOR 201619 0 0 0 0 0 18877 0 21334 0 241830 0 0 0 ERIC FRANK PROFESSOR 182777 0 0 0 0 0 18716 0 16528 0 218021 0 0 0 JAMES UHRICH ASSOC. VP/CHIEF INFORMATION OFFICER 179279 0 0 0 0 0 18179 0 9491 0 206949 0 0 0 ERICA O'NEAL HOWARD FORMER INTERIM DEAN OF STUDENTS 167453 0 0 0 0 0 16918 0 9544 0 193915 0 0 0 KERRY THOMPSON FORMER INTERIM VP ACADEMIC AFFAIRS 172419 0 0 0 0 0 17750 0 20978 0 211147 0 0 0 PART I, LINE 1A THE PRESIDENT'S WIFE TRAVELED WITH HIM AND HER TRAVEL IS CONSIDERED OCCIDENTAL COLLEGE BUSINESS. HOUSING IS PROVIDED FOR CERTAIN INDIVIDUALS LISTED IN PART VII AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE COLLEGE. SOCIAL CLUB DUES ARE PROVIDED TO ONE OFFICER AS A CONDITION OF EMPLOYMENT AND ARE NOT INCLUDED IN TAXABLE WAGES. USE OF THE SOCIAL CLUB IS FOR BUSINESS PURPOSES ONLY. PERSONAL SERVICES ARE PROVIDED TO AN OFFICER AND ARE INCLUDED IN TAXABLE WAGES. PART I, LINE 4B A 457(F) PLAN WAS APPROVED FOR THE PRESIDENT AND VICE PRESIDENT/COO. SCHEDULE J, PART II, COLUMN D: NONTAXABLE BENEFITS INCLUDE THE VALUE OF ON-CAMPUS HOUSING PROVIDED TO JONATHAN VEITCH, PRESIDENT, AMOS R. HIMMELSTEIN, VICE PRESIDENT AND CHIEF OPERATING OFFICER, WENDY STERNBERG, VP OF ACADEMIC AFFAIRS AND DEAN OF THE COLLEGE, ROBERT FLOT, VP OF STUDENT AFFAIRS AND DEAN OF THE STUDENTS AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE COLLEGE. JONATHAN VEITCH, PRESIDENT, MOVED OUT OF ON-CAMPUS HOUSING AS OF SEPTEMBER 30, 2017. A CEFA SERIES 2013A 521705592 1301782F2 2013-06-05 55981744 SEE SUPPLEMENTAL INFORMATION 0 0 0 B CEFA SERIES 2015 521705592 130179EU4 2016-01-07 39056582 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 1395000 55995743 527675 12013999 43454069 2018 0 1 1 1 B 3980000 39089672 17240025 418240 1823180 16398317 3209911 1 1 0 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 A 1 B 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: CEFA SERIES 2013A DATE THE REBATE COMPUTATION WAS PERFORMED: 06/05/2018 ISSUER NAME: CEFA SERIES 2015 DATE THE REBATE COMPUTATION WAS PERFORMED: 01/07/2018 PART I, LINE A, COLUMN F: TO REFUND A PORTION OF THE OUTSTANDING 2005 BONDS AND TO PROVIDE FUNDS FOR CERTAIN CAPITAL PROJECTS. PART I, LINE B, COLUMN F: A) DEFEASE THE AUTHORITY'S OUTSTANDING REVENUE BONDS (OCCIDENTAL COLLEGE), SERIES 2005A AND SERIES 2005B (THE "2005 BONDS") AND DEFEASE THE AUTHORITY'S OUTSTANDING REVENUE BONDS (OCCIDENTAL COLLEGE), SERIES 2008 (THE "2008 BONDS"); (B) FINANCING THE CONSTRUCTION, RENOVATION, REHABILITATION, INSTALLATION, EXPANSION, FURNISHING AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES (THE "NEW MONEY PROJECT") AND (C) PAYING COSTS RELATED TO THE SALE AND ISSUANCE OF THE BONDS. THE CAPITAL IMPROVEMENTS THAT WERE FINANCED OR REFINANCED WITH THE PROCEEDS OF THE 2005 BONDS AND THE 2008 BONDS AND ARE BEING REFINANCED WITH THE PROCEEDS OF THE BONDS ARE REFERRED TO HEREIN AS THE "PRIOR PROJECT." PART II, LINE 3: THE DIFFERENCE BETWEEN THE PROCEEDS AMOUNT ON LINE 3 AND THE ISSUE PRICE IN PART I REPRESENTS INTEREST EARNED AND/OR DIFFERENCE OF THE ACTUAL ISSUANCE COST FROM THE FORM 8038 ISSUANCE COSTS THAT REDUCED THE BOND PROCEEDS. MATTHEW CALKINS FAMILY MEMBER OF CHRISTOPHER CALKINS, BOARD OF TRUSTEE 135887 EMPLOYMENT 0 ANDREW SHTULMAN FAMILY MEMBER OF STEPHEN ROUNTREE, BOARD OF TRUSTEE 123269 EMPLOYMENT 0 TAMARA HIMMELSTEIN FAMILY MEMBER OF AMOS HIMMELSTEIN, VP & COO 119057 EMPLOYMENT 0 X 0 FMV X 2761 DONOR RECEIPTS/FMV X 83 2308918 HI/LO/MEAN PRICE X 1 2034000 APPRAISAL X 3 240 DONOR RECEIPTS/FMV X EVENT DONATIONS (FOOD/REFRESHMENTS/FLOWERS) 17 9430 DONOR RECEIPTS/FMV X PIANO 1 1018 FMV X GIFT CERTIFICATES/PASSES 3 860 DONOR RECEIPTS/FMV X GOLF CLUB 2 500 DONOR RECEIPTS/FMV 0 1 1 PART I, COLUMN (B): THE NUMBER LISTED IN COLUMN B REPRESENTS THE NUMBER OF CONTRIBUTIONS OF A SPECIFIC ITEM. PART I, LINE 32B: OCCIDENTAL USED 3RD PARTY FOR THE APPRAISAL OF REAL ESTATE PROPERTY. FORM 990, PART VI, SECTION A, LINE 4 ONE CHANGE TO THE BYLAWS WAS VOTED ON AT THE SEPTEMBER 25, 2017 MEETING THAT CHANGED THE ROLE OF VICE-CHAIRS IN ARTICLE IV, COMMITTEES OF THE BOARD, (C) OTHER COMMITTEES, (1) MEMBERSHIP. FORM 990, PART VI, SECTION B, LINE 11B THE COLLEGE PROVIDES THE FORM 990 INFORMATION TO THE INDEPENDENT TAX PREPARER. ONCE THEY HAVE COMPLETED THE FORM 990, THEY RETURN A DRAFT TO THE COLLEGE. THE ASSOCIATE VICE PRESIDENT FOR FINANCE AND VICE PRESIDENT AND CHIEF OPERATING OFFICER PERFORM A THOROUGH REVIEW OF THE DRAFT RETURN. ALL NECESSARY CORRECTIONS ARE MADE TO THE FORM 990. THE AUDIT COMMITTEE REVIEWS THE DRAFT PUBLIC DISCLOSURE COPY OF THE FORM 990 (SCHEDULE B DOES NOT INCLUDE DONOR NAMES AND ADDRESSES). THE FULL DRAFT FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE CHAIR. THE INDEPENDENT TAX PREPARER PRESENTS THE DRAFT PUBLIC DISCLOSURE COPY OF THE RETURN TO THE AUDIT COMMITTEE AND ALLOWS FOR QUESTIONS AND DISCUSSION. ANY CHANGES THAT ARE IDENTIFIED BY THE AUDIT COMMITTEE ARE MADE TO THE FORM 990. AT THAT POINT,THE PUBLIC INSPECTION COPY OF THE FORM 990 IS MADE AVAILABLE TO THE FULL BOARD OF TRUSTEES. THE FORM 990 IS SIGNED BY THE INDEPENDENT TAX PREPARER AND SUBMITTED TO THE INTERNAL REVENUE SERVICE BY THE DUE DATE. FORM 990, PART VI, SECTION B, LINE 12C EVERY YEAR THE COLLEGE SENDS THE CONFLICT OF INTEREST QUESTIONNAIRE TO APPROPRIATE PERSONS. RESPONSES ARE FOLLOWED UP ON TO ENSURE WE RECEIVE 100% OF ALL QUESTIONNAIRES. RESPONSES ARE REVIEWED BY THE OFFICE OF THE VICE PRESIDENT AND CHIEF OPERATING OFFICER. ANY CONFLICTS THAT HAVE NOT BEEN BROUGHT TO THE AUDIT COMMITTEE PREVIOUSLY ARE BROUGHT TO THE AUDIT COMMITTEE TO DISCUSS. IF A CONFLICT EXISTS, THE INDIVIDUAL WILL RECUSE HIMSELF/HERSELF FROM INVOLVEMENT IN THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 THE COLLEGE'S PROCESS IN FISCAL YEAR 2017 FOR DETERMINING OFFICER COMPENSATION IS 1) OBTAINING COMPARISON DATA. 2) COMPARISON DATA IS CONSIDERED WHEN COMPENSATION IS DETERMINED 3) COMPENSATION IS APPROVED BY THE EXECUTIVE COMPENSATION COMMITTEE 4) THE EXECUTIVE COMPENSATION COMMITTEE'S DELIBERATION AND DECISION MAKING PROCESS REGARDING OFFICER COMPENSATION IS CONTEMPORANEOUSLY SUBSTANTIATED. FORM 990, PART VI, SECTION C, LINE 19 THE COLLEGE MAKES ITS FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON THE COLLEGE'S WEBSITE WHICH IS ACCESSIBLE TO THE PUBLIC. THE GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE NOT AVAILABLE FOR PUBLIC INSPECTION. FORM 990, PART XI, LINE 9: CHANGE IN FAIR VALUE OF ASSETS HELD IN TRUST BY OTHERS 32,634. ANNUITIES ADJUSTMENT -576,718. NET INCOME FROM K-1'S 2,348,123. OTWAY PROPERTIES LLC 7435 NORTH FIGUEROA STREET LOS ANGELES CA 90041 813103529 REAL PROPERTIES CA 1575 2120050 OCCIDENTAL COLLEGE CHARITABLE REMAINDER TRUST (30) 1600 CAMPUS DRIVE LOS ANGELES CA 90041 FUNDRAISING CA N/A 1 CHARITABLE LEAD TRUST (1) 1600 CAMPUS DRIVE LOS ANGELES CA 90041 FUNDRAISING CA N/A 1 POOLED INCOME FUND (2) 1600 CAMPUS DRIVE LOS ANGELES CA 90041 FUNDRAISING CA N/A 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1