2018-05-07T13:54:35-05:00 2017-06-30 410746749 CLIFTONLARSONALLEN LLP 220 SOUTH SIXTH STREET SUITE 300 MINNEAPOLIS MN 55402 990 2016-07-01 410694747 CARLETON COLLEGE CARL 5072224000 ONE NORTH COLLEGE STREET NORTHFIELD MN 55057 FREDERICK A ROGERS VP & TREASURER 5072224000 2018-05-04 1 KAREN GRIES P00078514 6123764500 2016 2022-09-23 18:48:47Z FREDERICK A ROGERS ONE NORTH COLLEGE STREET NORTHFIELD MN 55057 242345870 0 X WWW.CARLETON.EDU X 1866 MN TO PROVIDE AN EXCEPTIONAL UNDERGRADUATE LIBERAL ARTS EDUCATION. 30 29 2993 3149 -414253 -474619 40592157 59994718 124741488 131225363 48757226 35648695 -493896 -88976 213596975 226779800 37717342 41425439 0 0 79058041 81207964 0 0 10344150 60497481 63419782 177272864 186053185 36324111 40726615 1142319776 1337663855 131918478 199771282 1010401298 1137892573 X SEE SCHEDULE O.CARLETON COLLEGE IS A PRIVATE LIBERAL ARTS COLLEGE, LOCATED IN NORTHFIELD, MINNESOTA, BEST KNOWN FOR ITS ACADEMIC EXCELLENCE AND WARM, WELCOMING CAMPUS COMMUNITY. CARLETON OFFERS 32 MAJORS IN THE ARTS, HUMANITIES, NATURAL SCIENCES/MATHEMATICS, AND SOCIAL SCIENCES.THE CARLETON COLLEGE MISSION IS TO PROVIDE AN EXCEPTIONAL UNDERGRADUATE LIBERAL ARTS EDUCATION. THE COLLEGE IS DEVOTE 0 0 100334909 40335881 103630553 INSTRUCTION: CARLETON COLLEGE EXISTS TO PROVIDE A HIGH QUALITY LIBERAL ARTS EDUCATION FOR YOUNG WOMEN AND MEN, PREPARING THEM FOR LEADERSHIP IN THEIR COMMUNITIES, COUNTRIES AND THE WORLD (2,005 STUDENTS). A STUDENT-FACULTY RATIO OF 9:1 SUPPORTS THEM WITH CLASSROOM, LABORATORY, OFF-CAMPUS STUDY AND RESEARCH OPPORTUNITIES. AVERAGE CLASS SIZE IS 16. OVER 70% OF THE GRADUATING CLASS OF 2015 PARTICIPATED IN A STUDY ABROAD PROGRAM DURING THEIR CARLETON EXPERIENCE. STUDENT FINANCIAL AID PROGRAMS - CARLETON MEETS 100% OF THE DEMONSTRATED FINANCIAL NEED OF ALL ADMITTED STUDENTS TO ENSURE AFFORDABILITY AND ACCESSIBILITY; ACHIEVE CULTURAL, RACIAL, ETHNIC AND SOCIOECONOMIC DIVERSITY; AND FUND THE COMMITMENT TO GLOBALIZATION (1,802 STUDENTS). 17622284 0 22463640 AUXILIARY ENTERPRISES: CARLETON COLLEGE MAINTAINS A RURAL RESIDENTIAL CAMPUS TO ENHANCE THE EDUCATIONAL EXPERIENCE OF THE STUDENT BODY WITH ROOM AND BOARD PROGRAMS DESIGNED TO ENCOURAGE A SPIRIT OF COLLEGIALITY AND CONVERSATION BEYOND THE CLASSROOM AND LABORATORY (1,806 STUDENTS). 16692532 78000 0 STUDENT SERVICES: PROGRAMS DESIGNED TO SUPPORT THE CARLETON COLLEGE STUDENT LIFE EXPERIENCE INCLUDING CO-CURRICULAR AND RECREATIONAL OPPORTUNITIES (1,998 STUDENTS). 16273005 0 3364007 ACADEMIC SUPPORT: PROGRAMS TO ENHANCE THE CARLETON LIBERAL ARTS EXPERIENCE WITH LIBRARY AND INFORMATION TECHNOLOGY RESOURCES (1,998 STUDENTS). 5149210 956903 0 RESEARCH: FACULTY AND STUDENT RESEARCH TO ENHANCE THE ACADEMIC INSTRUCTIONAL EXPERIENCE. 1589310 54655 1767163 SUMMER ACADEMIC PROGRAMS: PROGRAMS FOR HIGH SCHOOL STUDENTS AND WORKSHOPS FOR TEACHERS OF ADVANCED PLACEMENT ENRICHED OR ACCELERATED CLASSES IN GRADES 7-12 TO DEVELOP SKILLS FOR RIGOROUS ACADEMIC PROGRAMS IN A SUPPORTIVE LEARNING ENVIRONMENT. 23011525 1011558 5131170 157661250 1 1 0 1 0 0 0 1 1 1 1 1 0 1 1 1 1 0 1 1 1 0 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 1 X 534 0 2993 1 1 1 1 ES FR GB NZ SP IN ET 0 0 0 0 0 0 0 0 X 30 29 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA MN NH WA WI NY NJ TN MD AZ X X FREDERICK A ROGERS 5072224000 ONE NORTH COLLEGE STREET NORTHFIELD MN 55057 WALLACE R WEITZ CHAIR 8.00 X X 0 0 0 CAROL BARNETT VICE CHAIR 8.00 X X 0 0 0 MARTHA H KAEMMER VICE CHAIR 8.00 X X 0 0 0 STEVEN G POSKANZER PRESIDENT 60.00 X X 457873 0 114661 MARK S APPLEBAUM TRUSTEE 5.00 X 0 0 0 MCKAY BARRA TRUSTEE 5.00 X 0 0 0 BILL CRAINE TRUSTEE 5.00 X 0 0 0 ARNOLD DONALD TRUSTEE 5.00 X 0 0 0 JOHN F HARRIS TRUSTEE 5.00 X 0 0 0 MICHAEL HASENSTAB TRUSTEE 5.00 X 0 0 0 MICHELE JOY TRUSTEE 5.00 X 0 0 0 ARTHUR D KOWALOFF TRUSTEE 5.00 X 0 0 0 RICHARD R KRACUM TRUSTEE 5.00 X 0 0 0 LAIRD MCCULLOCH TRUSTEE 5.00 X 0 0 0 BRAD NORDHOLM TRUSTEE 5.00 X 0 0 0 GARY T O'BRIEN TRUSTEE 5.00 X 0 0 0 STEVEN PARRISH TRUSTEE 5.00 X 0 0 0 ROLF PETERS TRUSTEE 5.00 X 0 0 0 NICK PUZAK TRUSTEE 5.00 X 0 0 0 PAMEL KIECKER ROYALL TRUSTEE 5.00 X 0 0 0 DAVID B SMITH TRUSTEE 5.00 X 0 0 0 FRANCES SPANGLER TRUSTEE 5.00 X 0 0 0 WILLIAM STERLING TRUSTEE 5.00 X 0 0 0 GARY L SUNDEM TRUSTEE 5.00 X 0 0 0 ALISON VON KLEMPERER TRUSTEE 5.00 X 0 0 0 JUSTIN B WENDER TRUSTEE 5.00 X 0 0 0 BONNIE M WHEATON TRUSTEE 5.00 X 0 0 0 BYRON WHITE TRUSTEE 5.00 X 0 0 0 JOHN YOUNGBLOOD TRUSTEE 5.00 X 0 0 0 THOMAS BONNER VP FOR EXTERNAL RELATIONS 60.00 X 319499 0 50206 FREDERICK A ROGERS VP AND TREASURER 60.00 X 323305 0 42579 BEVERLY NAGEL DEAN OF THE COLLEGE 60.00 X 285053 0 36918 CAROLYN H LIVINGSTON VP FOR STUDENT DEVELOPMENT AND DEAN OF STUDENTS 60.00 X 178617 0 48210 PAUL THIBOUTOT VP AND DEAN OF ADMISSIONS AND FINANCIAL AID 40.00 X 199694 0 37089 JASON MATZ LEFT 111916 CHIEF INVESTMENT OFFICER 40.00 X 355013 0 27245 ANDREW CHRISTENSEN LEFT 31117 DIRECTOR OF PRIVATE MARKETS 40.00 X 247802 0 48513 JOEL M WEISBERG PROFESSOR OF PHYSICS AND ASTRONOMY 40.00 X 188439 0 34508 STEVEN K SPEHN DIRECTOR OF FACILITIES AND CAPITAL PLANNING 40.00 X 175161 0 33620 JULIE J NEIWORTH PROFESSOR OF NATURAL SCIENCES AND PSYCHOLOGY 40.00 X 172562 0 44877 2903018 0 518426 131 0 1 0 MCGOUGH CONSTRUCTION CO 2737 FAIRVIEW AVE N ST PAUL MN 55113 GENERAL CONTRACTOR 9099350 BON APPETIT 100 HAMILTON AVE STE 400 PALO ALTO CA 94301 FOOD SERVICE 8763680 TERRA GENERAL CONTRACTORS LLC 21025 COMMERCE BLVD ROGERS MN 55374 GENERAL CONTRACTOR 5106532 EYP ARCHITECTURE & ENGINEERING PC 257 FULLER RD FIRST FL ALBANY NY 12203 GENERAL CONTRACTOR 1462825 RIVER CITY BUILDERS 98 MAIN ST NERSTRAND MN 55053 GENERAL CONTRACTOR 1328373 33 4748193 55246525 14754458 59994718 TUITION AND FEES 611710 103630553 103630553 ROOM AND BOARD 611710 22463640 22463640 SUMMER ACADEMIC PROG 611310 1767163 1767163 3364007 3364007 131225363 10048201 -549942 10598143 32463 32463 349918 607046 -257128 -257128 -257128 40394353 165165 14636538 322486 25757815 -157321 25600494 25600494 WIND TURBINE 221000 135689 135689 135689 226779800 131225363 -414253 35973972 1034903 1034903 40390536 40390536 1754699 147878 1170020 436801 59666832 51204354 3781708 4680770 5422414 4489029 446195 487190 10226209 8699429 504227 1022553 4137810 3477231 308632 351947 129128 129128 105332 105332 8180271 8180271 4308495 3289468 294706 724321 88878 68773 20105 5226231 2852462 1197385 1176384 1205121 1166727 20995 17399 6277336 5979176 268160 30000 8467920 7739962 171860 556098 1797129 777350 362824 656955 3388052 3388052 10798461 10478153 306755 13553 891137 517575 373562 STUDENT FOOD SERVICE 7615354 7615354 MEMBERSHIP FEES 1573353 961978 587358 24017 3367584 3451633 -230106 146057 186053185 157661250 18047785 10344150 33033981 44183083 14638536 23973849 2226853 2078110 557225 560700 1147671 2672049 403913118 174651516 197292961 229261602 336776790 426423853 537167573 533896893 8354379 7262341 11123807 67351375 1142319776 1337663855 15707346 16049238 5228516 5421008 82393033 150446229 4534626 4512205 24054957 23342602 131918478 199771282 X 436292714 485850306 365682211 423902358 208426373 228139909 1010401298 1137892573 1142319776 1337663855 X 40726615 88739326 -1974666 X 0 1 X 1 1 1 X 24900207 27893301 34152153 40592157 59994718 187532536 24900207 27893301 34152153 40592157 59994718 187532536 19373934 168158602 1561639 4602190 13241809 8823217 10080664 38309519 3615082 3929071 7544153 233386208 603562634 0.72050 0.66560 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER - 2012 AMOUNT: $ 3,615,082. 2013 AMOUNT: $ 3,929,071. 2014 AMOUNT: $ 0. 2015 AMOUNT: $ 0. 2016 AMOUNT: $ 0. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 1 0 0 1 1 1 96187 1 1 500 0 96687 0 PART II-B, LINE 1: COLLEGE RELATIONS OCCASIONALLY CONTACT LEGISLATORS TO EXPRESS THE COLLEGE'S VIEWS ON PENDING LEGISLATION WHICH WOULD AFFECT THE COLLEGE. COSTS INCURRED IN CONNECTION WITH THESE ACTIVITIES ARE INSIGNIFICANT AND NO SEPARATE ACCOUNT IS MADE FOR THESE COSTS. IN ADDITION, STUDENTS PARTICIPATE IN A VOLUNTEER ACTIVITY SPONSORED BY THE MINNESOTA PRIVATE COUNCIL (MPCC) CALLED "DAY AT THE CAPITAL" TO DISCUSS THE IMPORTANCE OF THE STATE GRANT PROGRAM WITH REPRESENTATIVES. COSTS INCURRED BY THE COLLEGE TO SUPPORT THIS PROGRAM ARE DE MINIMUS. CARLETON COLLEGE IS A MEMBER OF MINNESOTA PRIVATE COLLEGE COUNCIL (MPCC), AN ORGANIZATION DESCRIBED IN SECTION 501(C)(4) OF THE INTERNAL REVENUE CODE. MPCC IS AN ASSOCIATION OF PRIVATE NONPROFIT INSTITUTIONS OF HIGHER EDUCATION THAT SERVES A VARIETY OF ITS MEMBERS' SHARED NEEDS, INCLUDED, BUT NOT ONLY, NONPARTISAN AND NON-ELECTORAL ADVOCACY FOR PUBLIC POLICY THAT MEETS STUDENTS' NEEDS AND ADVANCES THE INTEREST OF PRIVATE HIGHER EDUCATION. CARLETON COLLEGE PAID MEMBER DUES TO MPCC IN THE AMOUNT OF $122,046 DURING THE TAXABLE YEAR. MPCC HAD DIVIDED ITS EXPENSES FOR ITS TAXABLE YEAR ENDING JUNE 30, 2017 INTO TWO GROUPS. GROUP 1 CONSISTS OF THOSE EXPENSES THAT DID NOT IN ANY WAY SUPPORT ATTEMPTS TO INFLUENCE LEGISLATION WITHIN THE MEANING OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE ("LOBBYING"), AND GROUP 2 CONSISTS OF ALL OTHER EXPENSES. GROUP 2 INCLUDES MANY EXPENSES SUCH AS PERSONNEL COSTS THAT SUPPORT BOTH LOBBYING AND NONLOBBYING ACTIVITIES. MPCC DID NOT ATTEMPT TO ALLOCATE THE GROUP 2 EXPENSES BETWEEN LOBBYING AND NONLOBBYING ACTIVITIES. MPCC HAD DETERMINED THAT THE AMOUNT OF THE GROUP 2 EXPENSES REPRESENTS 78.81% OF THE AMOUNT OF DUES THAT MPCC COLLECTED IN THE SAME TAXABLE YEAR. ASSUMING THAT ALL GROUP 2 EXPENSES WERE PAID FROM MEMBER DUES, AND ALLOCATING THOSE EXPENSES PRO RATA BASED ON THE DUES PAID BY EACH MEMBER, $100,006 OF CARLETON COLLEGE'S DUES WERE USED TO PAY GROUP 2 EXPENSES. THE AMOUNT OF LOBBYING EXPENSES PAID FROM CARLETON COLLEGE'S DUES WAS SIGNIFICANTLY LESS THAN THAT AMOUNT. 181100 181100 X X X 0 0 1 X 739622548 30968061 110876006 9133556 27960493 7064554 837308012 784690360 7573357 -9371797 9135660 27138149 6995563 739622548 794308177 10255124 21539635 8294492 26339602 6778482 784690360 704714660 13311856 116344123 7949318 25719295 6393849 794308177 651655398 11900109 78960412 7611873 25229420 4959966 704714660 0.33810 0.25860 0.40330 1 0 4611571 4611571 268924599 97042377 171882222 90467656 77609139 12858517 39909292 39909292 229261602 PRIVATE EQUITY 130403276 F HEDGE FUNDS 238045297 F REAL ASSETS 105542685 F PLANNED GIFT AGREEMENTS AND OTHER 59905635 F 533896893 TRUSTS HELD BY OTHERS 12825913 DEPOSITS WITH BOND TRUSTEE 54525462 67351375 ANNUITIES PAYABLE 21128437 ASSET RETIREMENT OBLIGATION 1731368 FAIR VALUE OF INTEREST RATE SWAP 482797 23342602 X 265580699 88739326 -1367620 87371706 178208993 8180271 40390536 48570807 226779800 138089424 607046 607046 137482378 8180271 40390536 48570807 186053185 PART III, LINE 4: CARLETON'S ART COLLECTION IS FOR STUDENT RESEARCH AND STUDY INCLUDING COLLEGE ARCHIVES OF INSTITUTIONALLY SIGNIFICANT TREASURES AND LIBRARY COLLECTIONS. PART IV, LINE 2B: THE COLLEGE REPORTS ON FORM 990, PART X, LINE 21 AMOUNTS HELD FOR THE PERKINS LOAN PROGRAM THAT ARE REFUNDABLE TO THE GOVERNMENT AND REPORTED AS A LIABILITY ON THE COLLEGE'S FINANCIAL STATEMENTS. PART V, LINE 4: ENDOWMENT FUNDS ARE TO SUPPORT GRANTS TO STUDENTS AND THE PROGRAM SERVICES OF THE COLLEGE. PART X, LINE 2: THE COLLEGE QUALIFIES AS A TAX-EXEMPT NONPROFIT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND SIMILAR STATUTES OF MINNESOTA LAW. THE COLLEGE IS SUBJECT TO FEDERAL INCOME TAX ONLY ON NET UNRELATED BUSINESS INCOME UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. THE COLLEGE HAS EVALUATED ITS TAX POSITIONS AND DETERMINED IT HAS NO UNCERTAIN TAX POSITIONS AND HAS RECORDED NO OBLIGATION FOR UNRELATED BUSINESS INCOME TAX. NO PROVISIONS FOR FEDERAL OR STATE INCOME TAXES ARE REQUIRED AS OF JUNE 30, 2017. PART XI, LINE 2D - OTHER ADJUSTMENTS: UNREALIZED GAIN ON INTEREST RATE SWAP 478,473. NET CHANGE IN ANNUITY & LIFE INCOME FUNDS -2,453,139. RENTAL EXPENSES 607,046. PART XI, LINE 4B - OTHER ADJUSTMENTS: GRANTS TO STUDENTS 40,390,536. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES 607,046. PART XII, LINE 4B - OTHER ADJUSTMENTS: GRANTS TO STUDENTS 40,390,536. 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 COLLEGE USES PAPER AND BROADCAST MEDIA IN SOLICITATION OF STUDENTS. WE PUBLICIZE OUR NONDISCRIMINATORY POLICY IN ALL PRINTED BROCHURES, MAGAZINES, APPLICATION MATERIAL AND WEBSITE INFORMATION. SCHEDULE E, PART I, LINE 6 CARLETON COLLEGE PARTICIPATES IN THE FEDERAL STUDENT FINANCIAL AID PROGRAM ADMINISTERED THROUGH THE U.S. DEPARTMENT OF EDUCATION. CARLETON STUDENTS RECEIVE FUNDING FROM CAMPUS-BASED PROGRAMS (PERKINS, SEOG, AND FEDERAL WORK STUDY) AS WELL AS FEDERAL PELL GRANTS AND FEDERAL STUDENT LOANS. IN ADDITION, CARLETON STUDENTS RECEIVE FUNDING FROM THE MINNESOTA STATE GRANT, WORK-STUDY AND SELF LOAN PROGRAMS ADMINISTERED THROUGH THE MINNESOTA OFFICE OF HIGHER EDUCATION. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS N/A 234882472 EUROPE 0 0 PROGRAM SERVICES OCS - CAMBRIDGE ECONOMICS 259387 EUROPE 0 0 PROGRAM SERVICES OCS - CROSS CULTURAL PSYCHOLOGY IN PRAGUE 313745 EUROPE 0 0 PROGRAM SERVICES OCS - SPANISH STUDIES IN MADRID 149936 EUROPE 0 0 PROGRAM SERVICES OCS - DIGITAL PHOTOGRAPHY AND NEW MEDIA IN EUROPE 275944 EUROPE 0 0 PROGRAM SERVICES OCS - ENGLISH THEATER AND LITERATURE IN LONDON 204495 EUROPE 0 0 PROGRAM SERVICES OCS - FRENCH STUDIES IN PARIS 260078 EUROPE 0 0 PROGRAM SERVICES OCS - HISTORY, RELIGION AND URBAN CHANGE IN ROME 362283 EUROPE 0 0 PROGRAM SERVICES OCS - COMPARATIVE WOMEN'S & GENDER STUDIES IN EUROPE 178251 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES OCS - ECOLOGY IN AUSTRALIA 416626 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES OCS - STUDIO ART IN SOUTH PACIFIC 357705 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES OCS - GARDENS, LANDSCAPE, AND THE BUILT ENVIRONMENT IN JAPAN 197250 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES OCS - GEOLOGOY AND NATURAL HISTORY IN TASMANIA 22800 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES OCS - GLOBALIZATION AND LOCAL RESPONSES IN INDIA 224372 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES OCS - BUDDHIST STUDIES IN BODH GAYA 472249 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES OCS - SUSTAINABLE ENERGY PRINCIPLES & PRACTICE IN INDIA 30445 SOUTH AMERICA 0 0 PROGRAM SERVICES OCS - SOCIETY, CULTURE AND LANGUAGE IN PERU 307196 SOUTH AMERICA 0 0 PROGRAM SERVICES OCS - CINEMA & CULTURAL CHANGE IN CHILE AND ARGENTINA 27816 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES OCS - CAMEROON ARTS AND CULTURE - WEST AFRICA 86747 0 0 0 0 0 0 236708340 2321457 239029797 1 0 0 1 1 0 PART I, LINE 3: THE COLLEGE USES THE ACCRUAL METHOD OF ACCOUNTING TO REPORT EXPENDITURES ON PART I. 1 CITY OF NORTHFIELD 801 WASHINGTON STREET NORTHFIELD MN 55057 416005424 GOVT ENTITY 78000 N/A N/A COMMUNITY ENGAGEMENT NORTH CAROLINA STATE UNIVERSITY 2701 SULLIVAN DR RALEIGH NC 27695 566000758 501(C)(3) 10545 N/A N/A NSF SUBAWARD - COLLABORATIVE RESEARCH: ON THE CUTTING EDGE CENTRAL WASHINGTON UNIVERSITY 400 UNIVERSITY WAY ELLENSBURG WA 98926 916000618 501(C)(3) 22600 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV CLAFIN UNIVERSITY 400 MAGNOLIA STREET ORANGEBURG SC 29115 570314374 501(C)(3) 47994 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV COLUMBIA UNIVERSITY 2960 BROADWAY NEW YORK NY 10027 135598093 501(C)(3) 114383 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV GRAND VALLEY STATE UNIVERSITY ONE CAMPUS DRIVE 2105 JAMES H ZUMBERGEE HALL ALLENDALE MI 49401 381684280 501(C)(3) 17150 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV GUSTAVUS ADOLPHUS 800 WEST COLLEGE AVENUE SAINT PETER MN 560821498 410695524 501(C)(3) 10405 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV MIDDLE TENNESSEE STATE UNIVERSITY 1301 EAST MAIN STREET CAB103 MURFREESBRO TN 37132 626005794 501(C)(3) 36663 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV NATIONAL COUNCIL FOR SCIENCE AND THE ENVIRONMENT 1101 17TH ST NW STE 250 WASHINGTON DC 20036 521700932 501(C)(3) 20446 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV NORTH CAROLINA STATE UNIVERSITY 2701 SULLIVAN DR RALEIGH NC 27695 566000758 501(C)(3) 211302 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV PASADENA CITY COLLEGE 1570 E COLORADO BLVD PASADENA CA 91106 952505000 501(C)(3) 11092 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV PENN STATE UNIVERSITY 201 OLD MAIN UNIVERSITY PARK PA 16802 246000376 501(C)(3) 113297 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV SAVANNAH STATE UNIVERSITY PO BOX 20419 SAVANNAH GA 31404 586002069 501(C)(3) 42966 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV SHIPPENSBURG UNIVERSITY OF PA 1871 OLD MAIN DR SHIPPENSBURG PA 17257 232500361 501(C)(3) 31365 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV STANFORD UNIVERSITY 3145 PORTER DR PALO ALTO CA 94304 941156365 501(C)(3) 7886 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV STATE OF SOUTH DAKOTA UNIVERSITY OF SD GRANT ACCOUNTING SLAGLE 203 VERMILLION SD 570692333 466000364 501(C)(3) 12929 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV THE BOARD OF TRUSTEES - UNIVERSITY OF ILLINOIS 1737 W POLK STREET CHICAGO IL 606127228 376000511 501(C)(3) 14255 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV THE CORPORATION OF MERCER UNIVERSITY 1501 MERCER UNIVERSITY DRIVE MACON GA 31207 580566167 501(C)(3) 20579 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV THE CSU CHICO RESEARCH FOUNDATION CSU CHICO - BUILDING 25MST CHICO CA 959290870 680386518 501(C)(3) 15659 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV THE INCORPORATED RESEARCH INSTITUTIONS FOR SEISMOLOGY (IRIS) CONSORTIUM 1200 NEW YORK AVENUE NW SUITE 400 WASHINGTON DC 20005 521362650 501(C)(3) 7113 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV THE UNIVERSITY OF TEXAS 500 W UNIVERSITY WAY EL PASO TX 79968 746000813 501(C)(3) 32017 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY OF TEXAS AT EL PASO 500 W UNIVERSITY WAY ELPASO TX 79968 746000813 501(C)(3) -307 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY OF NORTHERN COLORADO 501 20TH STREET GREELEY CO 80639 846000546 501(C)(3) 3524 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY OF ILLINOIS 1737 W POLK STREET CHICAGO IL 606127228 376000511 501(C)(3) 4180 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY OF NEBRASKA - LINCOLN 151 WHITTIER RESEARCH CTR 220 VINE ST LINCOLN NE 68583 470049123 501(C)(3) 27080 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY OF NORTHERN COLORADO 501 20TH STREET GREELEY CO 80639 846000546 501(C)(3) 37357 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV WESTERN WASHINTON UNIVERSITY 516 HIGH ST BELLINGHAM WA 98225 916000562 501(C)(3) 18145 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV WILLIAMS COLLEGE 880 MAIN STREET HOPKINS HALL WILLIAMSTOWN MA 01267 042104847 501(C)(3) 14707 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV WITTENBERG UNIVERSITY PO BOX 720 SPRINGFIELD OH 45501 310537177 501(C)(3) 41322 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV AMERICAN GEOPHYSICAL UNION 2000 FLORIDA AVENUE NW WASHINGTON DC 20009 520955532 501(C)(3) 1890 N/A N/A NSF SUBAWARD - ENGAGING LOCAL COMMUNITIES IN GEOSCIENCE PATHWAYS UNAVCO INC 6350 NAUTILUS DRIVE BOULDER CO 80301 841588357 501(C)(3) 4676 N/A N/A NSF SUBAWARD - ENGAGING LOCAL COMMUNITIES IN GEOSCIENCE PATHWAYS UNIVERSITY OF CALIFORNIA-BERKELEY 2195 HEAREST AVENUE BERKELEY CA 94720 946002123 501(C)(3) 3683 N/A N/A NSF SUBAWARD - ENGAGING LOCAL COMMUNITIES IN GEOSCIENCE PATHWAYS 32 0 STUDENT SCHOLARSHIPS 1802 40390536 0 N/A N/A PART I, LINE 2: GRANTS TO ORGANIZATIONS REQUIRE QUARTERLY PROGRAM REPORTING INCLUDING A NARRATIVE AND FINANCIAL SUMMARY THAT IS REVIEWED BY THE PROGRAM DIRECTOR. SCHOLARSHIPS AND GRANTS FOR STUDENTS ARE APPLIED DIRECTLY TO A STUDENT'S COLLEGE ACCOUNT AND APPLIED TO TUITION, FEES, ROOM AND BOARD. ALL FINANCIAL AID IS SUBJECT TO REVISION BASED ON AVAILABILITY, CHANGES IN FAMILY CONTRIBUTION AND/OR CREDIT LOAD. SATISFACTORY ACADEMIC PROGRESS MUST BE MAINTAINED ACCORDING TO STANDARDS PRESCRIBED BY THE COLLEGE. ANNUAL RENEWAL OF FINANCIAL AID IS CONTINUOUS IF INSTITUTIONAL FINANCIAL NEED REMAINS, ALL REQUIRED DOCUMENTS ARE COMPLETED BY THE PUBLISHED DEADLINE AND SATISFACTORY ACADEMIC PROGRESS IS MAINTAINED CONSISTENT WITH THE COLLEGE'S POLICY. SCHEDULE I, PART II, COLUMN (H): NSF SUBAWARD - STEP CENTER/INTEGRATE: INTERDISCIPLINARY TEACHING OF GEOSCIENCE FOR A SUSTAINABLE FUTURE X X X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 STEVEN G POSKANZER PRESIDENT 434819 0 0 0 23054 0 26500 0 88161 0 572534 0 0 0 THOMAS BONNER VP FOR EXTERNAL RELATIONS 309160 0 0 0 10339 0 26500 0 23706 0 369705 0 0 0 FREDERICK A ROGERS VP AND TREASURER 287650 0 0 0 35655 0 26500 0 16079 0 365884 0 0 0 BEVERLY NAGEL DEAN OF THE COLLEGE 281469 0 0 0 3584 0 26500 0 10418 0 321971 0 0 0 CAROLYN H LIVINGSTON VP FOR STUDENT DEVELOPMENT AND DEAN 178377 0 0 0 240 0 19129 0 29081 0 226827 0 0 0 PAUL THIBOUTOT VP AND DEAN OF ADMISSIONS AND FINANC 196646 0 0 0 3048 0 20025 0 17064 0 236783 0 0 0 JASON MATZ LEFT 111916 CHIEF INVESTMENT OFFICER 347611 0 0 0 7402 0 26500 0 745 0 382258 0 0 0 ANDREW CHRISTENSEN LEFT 31117 DIRECTOR OF PRIVATE MARKETS 247442 0 0 0 360 0 25434 0 23079 0 296315 0 0 0 JOEL M WEISBERG PROFESSOR OF PHYSICS AND ASTRONOMY 148544 0 0 0 39895 0 15200 0 19308 0 222947 0 0 0 STEVEN K SPEHN DIRECTOR OF FACILITIES AND CAPITAL P 174129 0 0 0 1032 0 17955 0 15665 0 208781 0 0 0 JULIE J NEIWORTH PROFESSOR OF NATURAL SCIENCES AND PS 140108 0 0 0 32454 0 14700 0 30177 0 217439 0 0 0 PART I, LINE 1A STEVEN POSKANZER: HOUSING ALLOWANCE AND HOUSE CLEANING SERVICE, NOT INCLUDED IN TAXABLE INCOME AS THE HOUSING ASSIGNMENT IS REQUIRED BY THE COLLEGE AS A CONDITION OF EMPLOYMENT. STEVEN POSKANZER: SOCIAL CLUB DUES, INCLUDED IN TAXABLE COMPENSATION. A MN HIGHER EDUCATION FACILITIES AUTHORITY SERIES 6D 410988525 60416HENO 2005-04-13 31460000 SEE PART VI 0 0 0 B MN HIGHER EDUCATION FACILITIES AUTHORITY SERIES 2017 410988525 60416H3W2 2017-05-24 124900000 SEE PART VI 1 0 0 A 19295000 31460000 336501 3000000 28123498 2008 0 1 1 1 B 139670300 756612 70000000 45913688 1 1 0 1 A 0 0 1 1 0 0.02000 0.02000 0 0 1 B 0 0 1 1 0 0.00000 0.00000 1 0 0 A 0 0 1 0 1 1 MORGAN STANLEY CAPITAL 7.000000000000 0 0 0 0 1 B 0 0 1 1 0 0 0 0 1 A 1 B 1 SCHEDULE K, PART I, BOND ISSUES, COLUMN (F) (A) DESCRIPTION OF PURPOSE: RETIRE SERIES 3L1 AND SERIES 4N, NEW STUDENT HOUSING (B) DESCRIPTION OF PURPOSE: WEITZ CENTER MUSIC ADDITION, SCIENCE COMPLEX CONSTRUCTION, UTILITY INFRASTRUCTURE IMPROVEMENTS & ADDITIONS X 2 181100 APPRAISAL X 167 11693358 FMV X 1 2880000 APPRAISAL 2 0 1 1 PART I, COLUMN (B): THE COLLEGE REPORTS THE NUMBER OF CONTRIBUTORS ON PART I, COLUMN (B). PART I, LINE 32B: THE COLLEGE WILL RETAIN AN ATTORNEY FOR NON CASH REAL ESTATE GIFTS AND A BROKER FOR PUBLICLY TRADED SECURITIES, AS NEEDED. FORM 990, PART VI, SECTION A, LINE 1 THE COLLEGE'S EXECUTIVE COMMITTEE INCLUDES THE CHAIR OF EACH BOARD COMMITTEE AND THE PRESIDENT. BETWEEN MEETINGS OF THE BOARD OF TRUSTEES, THE EXECUTIVE COMMITTEE SHALL HAVE GENERAL SUPERVISION OF THE ADMINISTRATION AND PROPERTY OF THE COLLEGE EXCEPT THAT UNLESS SPECIFICALLY EMPOWERED BY THE BOARD OF TRUSTEES TO DO SO, IT MAY NOT TAKE ANY ACTION INCONSISTENT WITH A PRIOR ACT OF THE BOARD OF TRUSTEES, ALTER BYLAWS, REMOVE OR APPOINT THE PRESIDENT OF THE COLLEGE, OR TAKE ANY ACTION WHICH HAS BEEN RESERVED FOR THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B MANAGEMENT PRESENTED THE FORM IN ITS ENTIRETY TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO SUBMITTING IT TO THE IRS. THE FORM 990 IS ALSO INCLUDED ON THE BOARD OF TRUSTEES WEBSITE AND PROVIDED WITH THE BOARD MATERIALS FOR ALL BOARD MEMBERS TO REFERENCE. FORM 990, PART VI, SECTION B, LINE 12C OFFICERS, TRUSTEES, AND KEY EMPLOYEES ARE REQUIRED TO ANNUALLY DISCLOSE INTERESTS THAT COULD GIVE RISE TO CONFLICTS. SUCH INTERESTS INCLUDE A LIST OF FAMILY MEMBERS, SUBSTANTIAL BUSINESS OR INVESTMENT HOLDINGS AND OTHER TRANSACTIONS OR AFFILIATIONS WITH BUSINESSES OR OTHER ORGANIZATIONS. TRANSACTIONS WITH PARTIES WITH WHOM A CONFLICTING INTEREST EXISTS MAY BE UNDERTAKEN ONLY IF ALL OF THE FOLLOWING ARE OBSERVED: 1) THE CONFLICTING INTEREST IS FULLY DISCLOSED; 2) THE PERSON WITH THE CONFLICT OF INTEREST IS EXCLUDED FROM THE DISCUSSION AND APPROVAL OF SUCH TRANSACTIONS; 3) A COMPETITIVE BID FOR COMPARABLE VALUATION EXISTS; AND 4) THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES HAS DETERMINED THAT THE TRANSACTION IS IN THE BEST INTEREST OF THE ORGANIZATION. INDIVIDUALS WITH AN IDENTIFIED CONFLICT OF INTEREST ARE RESTRICTED IN HOW THEY ARE ALLOWED TO PROCEED WITH THE TRANSACTION. THE INDIVIDUALS ARE ALLOWED TO PARTICIPATE IN THE DISCUSSION, BUT NOT ALLOWED TO VOTE ON THE TRANSACTION. FORM 990, PART VI, SECTION B, LINE 15 THE PRESIDENT'S COMPENSATION IS DETERMINED ANNUALLY BY THE HUMAN RESOURCES COMMITTEE OF THE BOARD OF TRUSTEES. THE COMMITTEE USES A CONSULTING FIRM TO CONDUCT AN INDEPENDENT REVIEW OF THE PRESIDENT'S COMPENSATION PACKAGE. THE REVIEW COMPARES DATA FROM 25 OF THE COLLEGE'S PEER INSTITUTIONS, AS WELL AS UTILIZING VARIOUS SALARY SURVEYS. THE COLLEGE USES THE SAME CONSULTING FIRM TO REVIEW THE FOLLOWING POSITIONS: VICE PRESIDENT AND TREASURER, VICE PRESIDENT OF EXTERNAL RELATIONS, DEAN OF THE COLLEGE, VICE PRESIDENT AND DEAN OF ADMISSIONS, VICE PRESIDENT AND DEAN OF STUDENT, CHIEF OF STAFF AND DIRECTOR OF INVESTMENTS. THE PRESIDENT SUBMITS HIS SALARY RECOMMENDATIONS FOR THESE POSITIONS TO THE EXECUTIVE COMMITTEE FOR APPROVAL. THIS PROCESS TAKES PLACE ANNUALLY; THE LAST REVIEW OF ALL EXECUTIVE POSITIONS LAST TOOK PLACE IN 2017. FORM 990, PART VI, SECTION C, LINE 19 CARLETON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE ON THE COLLEGE'S WEBSITE AND ARE AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: UNREALIZED GAIN ON INTEREST RATE SWAP 478,473. NET CHANGE IN ANNUITY & LIFE INCOME FUNDS -2,453,139. PATRICIA V DAMON SCHOLARSHIP FUND 230 FRONT ST N LACROSSE WI 54601 686229419 TRUST WI 501(C)(3) LINE 12B, II CARLETON COLLEGE 1 S EUGENE BAILEY SCHOLARSHIP TRUST PO BOX 64713 ST PAUL MN 55164 416439914 TRUST MN 501(C)(3) PF CARLETON COLLEGE 1 CHARITABLE REMAINDER TRUSTS (67) CHARITABLE REMAINDER TRUSTS MN CARLETON COLLEGE T 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 CHARITABLE REMAINDER TRUSTS S 49107 FMV AT DATE OF DEATH S EUGENE BAILEY SCHOLARSHIP TRUST S 99000 FMV PATRICIA V DAMON SCHOLARSHIP FUND S 517624 FMV