2018-05-15T16:41:21-05:00 2017-06-30 990 2016-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL ST WASHIN BLDG NO 850 DURHAM NC 27701 TIMOTHY W WALSH TREASURER 9196842006 2018-05-09 0 2016 2022-09-23 18:48:47Z VINCENT E PRICE 324 BLACKWELL STREET DURHAM NC 27701 15202698030 0 X WWW.DUKE.EDU X 1841 NC TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH 37 36 30595 2306 0 0 1401457511 1508458854 1010988968 1060469805 308127757 500145874 65507954 81133798 2786082190 3150208331 322116406 338440367 0 0 1513978073 1594655005 3075942 1884789 56744880 1023544212 1080284193 2862714633 3015264354 -76632443 134943977 12594506113 13782414345 3003881317 3289290985 9590624796 10493123360 X SEE SCHEDULE O 0 0 1499736868 294543573 822210271 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 5,297 STUDENTS ANNUALLY 931128601 43482009 1136710475 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS 299183643 414785 131647290 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY 2730049112 1 1 0 1 0 0 1 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 1 0 1 0 1 1 0 0 1 1 1 1 0 0 1 X 9699 0 1 30595 1 0 1 GM MA SP TZ CH KE SN IN UK BD KU EG EZ KS PE CI NI RO ID CO TU GR HU BR PL JA DA EI MY NO PO SW 0 0 0 1 1 0 0 0 0 X 37 36 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AK CO MD MA MI NH NJ NY OR SC WA X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST STE 850 DURHAM NC 27701 LISA M BORDERS TRUSTEE 2.00 0.00 X 0 0 0 JACK O BOVENDER JR TRUSTEE 8.00 3.00 X 0 0 0 RICHARD H BRODHEAD TRUSTEE/PRESIDENT 50.00 10.30 X X 1258009 0 166091 TIMOTHY D COOK TRUSTEE 2.00 0.00 X 0 0 0 ALLYSON DUNCAN TRUSTEE 4.00 0.00 X 0 0 0 RALPH EADS TRUSTEE 2.00 0.00 X 0 0 0 PAUL E FARMER TRUSTEE 2.00 0.00 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MD TRUSTEE 2.00 4.00 X 0 0 0 BENJAMIN SHELLHORN TRUSTEE 2.00 0.00 X 0 0 0 ADAM SILVER TRUSTEE 2.00 0.00 X 0 0 0 LAURENE M SPERLING TRUSTEE 6.00 0.00 X 0 0 0 ASHLEY CROWDER STANLEY TRUSTEE 2.00 0.00 X 0 0 0 JEFFREY W UBBEN TRUSTEE 8.00 0.00 X 0 0 0 HOPE MORGAN WARD TRUSTEE 2.00 0.00 X 0 0 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 45.00 15.20 X 548628 0 49432 SALLY KORNBLUTH PROVOST 70.00 0.30 X 630590 0 79485 RICHARD RIDDELL VP & UNIVERSITY SECRETARY 50.00 0.00 X 375586 0 36152 TALLMAN TRASK EXECUTIVE VICE PRESIDENT 45.00 0.50 X 756477 0 50236 TIMOTHY W WALSH TREASURER & VP OF FINANCE 41.00 10.00 X 415110 0 44093 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 33.00 33.10 X 2090109 0 144548 NANCY C ANDREWS MD VICE CHANCELLOR OF ACADEMIC AFFAIRS 56.00 3.20 X 959361 0 90625 VALERIE ASHBY DEAN, COLLEGE OF ARTS & SCIENCE 40.00 0.00 X 418987 0 38068 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN., SOM 55.00 0.50 X 629785 0 52631 ALICE GOULD INVESTMENT MANAGER 40.00 0.00 X 1403632 0 42840 EVAN L JONES INVESTMENT MANAGER 40.00 0.00 X 1204152 0 132272 JUSTIN B NIXON INVESTMENT MANAGER 50.00 0.00 X 858540 0 109297 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 55.00 0.00 X 347134 0 75251 ERIC PETERSON DIRECTOR, DCRI 40.00 15.00 X 528321 0 120128 JAMES S ROBERTS EXEC VICE PROVOST FIN & ADMIN 50.00 0.10 X 353181 0 39490 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 50.00 0.40 X 3222129 0 668058 DAVID N CUTCLIFFE COACH 40.00 0.00 X 2480725 0 54482 MICHAEL W KRZYZEWSKI COACH 40.00 0.00 X 5723849 0 1317135 JOANNE MCCALLIE COACH 40.00 0.00 X 1305312 0 44657 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 40.00 0.00 X 1135917 0 370455 RALPH SNYDERMAN CHANCELLOR EMERITUS 40.00 0.00 X 1191176 0 46118 PETER LANGE FORMER OFFICER 40.00 0.30 X 451134 47577 40040 VICTOR J DZAU MD FORMER OFFICER 0.00 0.00 X 143032 0 18666 ALVIN L CRUMBLISS FORMER KEY EMPLOYEE 40.00 0.00 X 143559 0 22823 28574435 47577 3853073 3165 1 1 0 HC BECK LTD 1807 ROSS AVE STE 500 DALLAS TX 75201 CONSTRUCTION SERVICE 89073177 SKANSKA USA BUILDING INC 5010 HOPSON RD STE 1 DURHAM NC 27703 CONSTRUCTION SERVICE 87949879 LECHASE CONSTRUCTION SERVICES LLC 324 BLACKWELL ST 1200 DURHAM NC 27701 CONSTRUCTION SERVICE 38601693 LEND LEASE US CONSTRUCTION INC 324 BLACKWELL ST STE 130 DURHAM NC 27701 CONSTRUCTION SERVICE 33049812 BALFOUR BEATTY CONSTRUCTION 406 S MCDOWELL ST STE 200 RALEIGH NC 27601 CONSTRUCTION SERVICE 16156449 728 5954283 112133193 595899017 794472361 99652427 1508458854 TUITION & FEES 611600 771103434 771103434 ANCILLARY STUDENT SVCS 611600 131647290 131647290 CONTINUING EDUCATION 611600 46003350 46003350 CONFERENCE FEES 611600 5103487 5103487 ACADEMIC MED. RESEARCH 611600 3203545 3203545 103408699 103408699 1060469805 134331518 134331518 139119 139119 30055873 30055873 8295823 3959544 4336279 4336279 4336279 12412963097 93079 12046104000 1276939 366859097 -1183860 365675237 365675237 564075 5954283 1149216 -585141 -585141 MISC. SALES 900099 10606461 10606461 VARIOUS FEES AND FINES 900099 4280464 4280464 STUDENT DUES 900099 3498472 3498472 28941390 28941390 47326787 3150208331 1107796592 0 533952885 11153928 11153928 314171974 314171974 13114465 13114465 17726372 653625 15651988 1420759 1433558 1232523 201035 1274444860 1100173206 145492835 28778819 92830635 81228398 8833475 2768762 115909009 101945047 11688244 2275718 92310571 80310197 9231057 2769317 19263377 4735169 14465063 63145 700454 25072 675382 1884789 1884789 26134997 26134997 147182364 109834998 32456177 4891189 5049154 4372061 454278 222815 99500786 96788458 1546999 1165329 37963382 27770195 9715024 478163 46619198 27655537 18963661 74294105 64664245 9373884 255976 61517741 56375288 2714055 2428398 1664 1664 46109862 33135781 8760990 4213091 74745372 49966634 24778676 62 212930186 206968141 5962045 3903586 3700224 196180 7182 SUBRECIPIENT PAYMENTS 165711899 165711899 0 0 EQUIP RENTAL & MAINTENA 44494335 37857460 6458949 177926 COST OF GOODS SOLD 20705322 17629551 3072277 3494 PRINTING & PUBLICATIONS 7133675 4411703 1754183 967789 -13677266 114463333 -130111092 1970493 3015264354 2730049112 228470362 56744880 174347899 443535234 507062069 502300811 631792216 132098697 43630309 38211042 18310790 18091035 41696372 43870758 5399920379 2920313927 2229999095 2479606452 1057182636 1299467437 7072608364 7991158069 817876363 834074810 12594506113 13782414345 327042238 356080847 193687675 204619022 1321895000 1018305000 4816809 4500887 557525292 1126110533 598914303 579674696 3003881317 3289290985 X 4211843150 4693704553 2565198974 2834495110 2813582672 2964923697 9590624796 10493123360 12594506113 13782414345 X 134943977 595180832 172373755 X 0 1 X 1 1 1 X 1433799156 1351838332 1426168238 1401457511 1508458854 7121722091 1433799156 1351838332 1426168238 1401457511 1508458854 7121722091 1896289488 5225432603 86836168 147572208 134279038 136205095 168862789 673755298 570413588 643785361 508305278 238458694 413002024 2373964945 10169442334 4837044118 0.51380 0.51620 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 229574 0 1 14764 244338 0 FORM 990, SCHEDULE C, PART II-B DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES HAVE AND SOME SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. X 1 0.21 0 0 0 1 1 6.00 180 1 3201413 36941186 X X X X 1 6816799085 720600842 758983475 86753679 303634618 19666034 7886329071 7272129904 137175368 -229083475 82073571 264809551 16539590 6816799085 7012623559 288397235 276821181 78414785 227297286 7272129904 6019979874 125705635 1150829206 76193058 207698098 7012623559 5537135706 91146456 685897075 74093846 220105517 6019979874 0.56560 0.33210 0.10230 1 1 1 24463604 24463604 3564904509 1791685370 1773219139 213018599 142724049 70294550 750151983 567665491 182486492 847381684 418239017 429142667 2479606452 SHORT TERM INVESTMENTS 1040492222 F US GOVERNMENT SECURITIES 2909000 F REAL ASSETS 1498595545 F PRIVATE CAPITAL 2225261335 F HEDGED STRATEGIES 2468230879 F OTHER INVESTMENTS -17559665 F FIXED INCOME 5737135 F EQUITIES 767491618 F 7991158069 DEPOSITS WITH BOND TRUSTEE 28601001 INTEREST IN PERPETUAL TRUST HELD BY OTHERS 805473809 834074810 ANNUITY AND SPLIT INTEREST OBLIGATIONS 60369074 POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 340141201 FUNDS HELD FOR OTHERS 79316609 REFUNDABLE FEDERAL STUDENT LOANS 36337905 CONDITIONAL ASSET RETIREMENT 47623532 INTERNATIONAL LOAN RESERVE 6279375 GENERAL INSURANCE IBNR 9607000 579674696 PART II, LINE 5: DUKE FOREST, A DEPARTMENT WITHIN DUKE UNIVERSITY, IS COMMITTED TO PROTECTING THE PURPOSE OF THE CONSERVATION EASEMENT. ACCORDINGLY, A WRITTEN MONITORING PROGRAM WAS DEVELOPED TO MAINTAIN AND PROTECT 12 SIGNIFICANT NATURAL HERITAGE AREAS WITHIN NORTH CAROLINA, INCLUDING THE CONSERVATION EASEMENT NOTED ON SCHEDULE D, PART II. THE POLICY INCLUDES DETAIL ABOUT CONDUCTING AN ONSITE INSPECTION, DOCUMENTING ALL FINDINGS ACCORDING TO A SITE-SPECIFIC MONITORING CHECKLIST. A POST-MONITORING REPORT AND OTHER DOCUMENTATION IS COMPLETED AS NECESSARY. DUKE FOREST STAFF (AND OTHER EXPERTS AS NECESSARY) ARE CONSULTED TO DETERMINE IF MANAGEMENT ACTIVITIES ARE NECESSARY TO ENSURE THE PURPOSE OF THE CONSERVATION EASEMENT. WHILE NOT IN THE WRITTEN DOCUMENT, THE INITIAL STEP TAKEN BY DUKE FOREST WOULD BE TO CONTACT THE RESPONSIBLE PARTY TO REQUEST REMEDY OF THE INFRACTION. SUBSEQUENT STEPS WOULD INCLUDE, BUT ARE NOT LIMITED TO CONSULTING WITH UNIVERSITY COUNSEL. THE EASEMENT DOCUMENTS DO NOT INCLUDE THE POLICY AS THE EASEMENT DOCUMENTS WERE CREATED BEFORE THE POLICY DOCUMENT. PART II, LINE 9: THE CONSERVATION EASEMENT REPORTED ABOVE WAS NOT INCLUDED IN DUKE UNIVERSITY'S STATEMENT OF ACTIVITIES, BALANCE SHEET, NOR FOOTNOTES TO THE FINANCIAL STATEMENTS. SCHEDULE D, PART III, LINE 4 ART COLLECTION DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCE WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING. SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. SCHEDULE D, PART X LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FIN 48 (ASC 740) AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FIN 48 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FIN 48 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2017. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 SEE PART II FORM 990, SCHEDULE E, LINE 3 EQUAL OPPORTUNITY STATEMENT DUKE UNIVERSITY IS AN AFFIRMATIVE ACTION/EQUAL OPPORTUNITY EMPLOYER COMMITTED TO PROVIDING EMPLOYMENT OPPORTUNITY WITHOUT REGARD TO AN INDIVIDUAL'S AGE, COLOR, DISABILITY, GENDER, GENDER EXPRESSION, GENDER IDENTITY, GENETIC INFORMATION, NATIONAL ORIGIN, RACE, RELIGION, SEX, SEXUAL ORIENTATION, OR VETERAN STATUS. DUKE ALSO MAKES GOOD FAITH EFFORTS TO RECRUIT, HIRE, AND PROMOTE QUALIFIED WOMEN, MINORITIES, INDIVIDUALS WITH DISABILITIES, AND VETERANS. IN ACCORDANCE WITH TITLE IX OF THE EDUCATION AMENDMENTS OF 1972, DUKE PROHIBITS DISCRIMINATION BASED ON SEX. SEXUAL HARASSMENT IS A FORM OF SEX DISCRIMINATION. DUKE HAS DESIGNATED A TITLE IX COORDINATOR IN THE OFFICE FOR INSTITUTIONAL EQUITY. FORM 990, SCHEDULE E, LINE 6 EXPLANATION OF GOVERNMENT FINANCIAL AID IN FUTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSITY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, MEDICAL PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS. 0 ANTARCTICA 0 0 PROGRAM SERVICES RESEARCH 1105 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 205569 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 36508 CENTRAL AMERICA AND THE CARIBBEAN 0 3 PROGRAM SERVICES STUDY ABROAD 118137 CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEMINAR 65690 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 12992620 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 792045 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 3423889 EAST ASIA AND THE PACIFIC 0 13 PROGRAM SERVICES STUDY ABROAD 901498 EAST ASIA AND THE PACIFIC 0 0 SEMINAR 1550106 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES ATHLETIC EVENT 1945 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 FUNDRAISING 11323 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 111250 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES EDUCATION 1297850 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES RESEARCH 5933962 EUROPE (INCLUDING ICELAND & GREENLAND) 2 40 PROGRAM SERVICES STUDY ABROAD 2599087 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 SEMINAR 3973112 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATION 62285 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 170585 MIDDLE EAST AND NORTH AFRICA 0 5 PROGRAM SERVICES STUDY ABROAD 213572 MIDDLE EAST AND NORTH AFRICA 0 0 SEMINAR 226561 NORTH AMERICA 0 0 GRANTMAKING 200 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 111660 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 7820875 NORTH AMERICA 0 1 PROGRAM SERVICES STUDY ABROAD 7565 NORTH AMERICA 0 0 SEMINAR 394460 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EDUCATION 18899 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES RESEARCH 37430 RUSSIA AND NEIGHBORING STATES 0 3 PROGRAM SERVICES STUDY ABROAD 44546 RUSSIA AND NEIGHBORING STATES 0 0 SEMINAR 75405 SOUTH AMERICA 0 0 PROGRAM SERVICES ATHLETIC EVENT 2643 SOUTH AMERICA 0 0 GRANTMAKING 250 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 195429 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 1204616 SOUTH AMERICA 0 5 PROGRAM SERVICES STUDY ABROAD 1175125 SOUTH AMERICA 0 0 SEMINAR 377463 SOUTH ASIA 0 0 GRANTMAKING 741 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 157331 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 558669 SOUTH ASIA 0 6 PROGRAM SERVICES STUDY ABROAD 769187 SOUTH ASIA 0 0 SEMINAR 237095 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 9404 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 473978 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 2726339 SUB-SAHARAN AFRICA 1 15 PROGRAM SERVICES STUDY ABROAD 152625 SUB-SAHARAN AFRICA 0 0 SEMINAR 337140 0 3 3 88 3 91 17635563 33942211 51577774 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, GENERAL SUPPORT 12992120 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM GENERAL SUPPORT 105000 WIRE 0 2 BOOK REVIEW PRIZE SOUTH AMERICA 1 250 WIRE 0 POSTER AWARD EAST ASIA AND THE PACIFIC 1 500 WIRE 0 POSTER AWARD EUROPE (INCLUDING ICELAND & GREENLAND) 5 1300 WIRE 0 POSTER AWARD NORTH AMERICA 2 200 WIRE 0 POSTER AWARD SUB-SAHARAN AFRICA 1 100 WIRE 0 TUITION EUROPE (INCLUDING ICELAND & GREENLAND) 2 4750 WIRE 0 FELLOWHSIP SOUTH ASIA 1 741 WIRE 0 TUITION SUB-SAHARAN AFRICA 1 6915 WIRE 0 1 0 1 0 0 1 SCHEDULE F, PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO SEVERAL ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. X X X X X X 1 GRENZEBACH GLIER & ASSOCIATES SEE PART IV FOR ADDRESS SEE PART IV IL 60611 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 205882 0 COPPER REEF ENTERPRISES SEE PART IV FOR ADDRESS CARLSBAD CA 92009 FUNDRAISING CONSULTING 0 0 93142 0 AUGUST JACKSON CO SEE PART IV FOR ADDRESS BALTIMORE MD 21202 FUNDRAISING CONSULTING, PLANNING, DATA STORAGE, COMMU. 0 0 1150641 0 CVENT ONARRIVAL INC SEE PART IV FOR ADDRESS NEW YORK NY 10014 FUNDRAISING EVENT PLANNING 0 0 29438 0 T C G LEGACY INC SEE PART IV FOR ADDRES DURHAM NC 27705 FUNDRAISING RELATED MATERIALS, CUSTOMIZATION 0 0 30398 0 ORACLE AMERICA INC SEE PART IV FOR ADDRESS SURFSIDE BEACH SC 29575 FUNDRAISING RELATED DIGITAL COMMUNICATIONS 0 0 24705 0 REVERED LLC SEE PART IV FOR ADDRESS FULTON MD 20759 FUNDRAISING RELATED MATERIALS, CUSTOMIZATION 0 0 67900 0 HORIZON VIDEO PRODUCTION INC SEE PART IV FOR ADDRESS CHICAGO IL 60647 FUNDRAISING RELATED VIDEO SHOOT 0 0 78909 0 REEHER GROUP LLC SEE PART IV FOR ADDRESS DURHAM NC 27707 FUNDRAISING RELATED MATERIALS, CUSTOMIZATION 0 0 36540 0 CMG PARTNERS LLC SEE PART IV FOR ADDRESS STANFORD CA 94305 FUNDRAISING PROFESSIONAL DEVELOPMENT 0 0 87217 0 1804772 AL AK AR CA CO CT FL GA HI IL KS KY LA ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR 2016 CMN 2305783 2305783 0 0 0 0 0 176708 ANGELS AMONG US 2014328 1913855 100473 0 6967 1512 9571 91488 10 2198247 1734645 463602 1800 189669 4373 165353 4500 497275 6518358 5954283 564075 1800 196636 4373 166865 14071 765471 1149216 -585141 SCHEDULE G, PART I, LINE 2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: GRENZEBACH GLIER & ASSOCIATES (I) ADDRESS OF FUNDRAISER: 401 N. MICHIGAN AVE, CHICAGO, IL 60611 (I) NAME OF FUNDRAISER: COPPER REEF ENTERPRISES (I) ADDRESS OF FUNDRAISER: 6965 EL CAMINO REAL, CARLSBAD, CA 92009 (I) NAME OF FUNDRAISER: AUGUST JACKSON CO (I) ADDRESS OF FUNDRAISER: 7475 WISCONSIN AVE, BETHESDA, MD 20814 (I) NAME OF FUNDRAISER: CVENT (I) ADDRESS OF FUNDRAISER: 1765 GREENSBORO STATION, TYSONS CORNER, VA 22102 (I) NAME OF FUNDRAISER: T C G LEGACY, INC. (I) ADDRESS OF FUNDRAISER: 191 TECHNOLOGY DR., GARNER, NC 27529 (I) NAME OF FUNDRAISER: ORACLE AMERICA, INC. (I) ADDRESS OF FUNDRAISER: 500 ORACLE PARKWAY, REDWOOD SHORES, CA 94065 (I) NAME OF FUNDRAISER: REVERED (I) ADDRESS OF FUNDRAISER: 8801 FAST PARK DR., RALEIGH, NC 27617 (I) NAME OF FUNDRAISER: HORIZON VIDEO PRODUCTIONS, INC. (I) ADDRESS OF FUNDRAISER: 6114 FAYETTEVILLE RD, DURHAM, NC 27713 (I) NAME OF FUNDRAISER: REEHER GROUP, LLC. (I) ADDRESS OF FUNDRAISER: PO BOX 9202 VB BOX 159, MINNEAPOLIS, MN 55480 (I) NAME OF FUNDRAISER: CMG PARTNERS, LLC. (I) ADDRESS OF FUNDRAISER: 410 BLACKWELL ST., DURHAM, NC 27701 SCHEDULE G, LINE 2(B), COLUMN (V) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMNS (I-V). THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED. THERE ARE NO AGREEMENTS THAT PROVIDE EXCLUSIVELY FOR EXPENSES, BUT NOT FOR PROFESSIONAL FUNDRAISING SERVICES. 1 ACHIEVEMENT ACADEMY OF DURHAM 2614 CREST ST DURHAM NC 27705 412167219 501(C)(3) 5400 GENERAL SUPPORT ALBERT SCHWEITZER FELLOWSHIP 330 BROOKLINE AVE BOSTON MA 02215 131982786 501(C)(3) 20000 GENERAL SUPPORT AMER SOC FOR CLINICAL INVESTIG PO BOX 7226 ANN ARBOR MI 48107 520847477 501(C)(3) 10000 GENERAL SUPPORT AMERICAN DANCE FESTIVAL INC BOX 90772 DURHAM NC 277080772 060932294 501(C)(3) 32804 GENERAL SUPPORT AMERICAN MATHEMATICAL SOCIETY PO BOX 6248 PROVIDENCE RI 029042213 050264797 501(C)(3) 6102 GENERAL SUPPORT AMERICAN PHYSICAL THERAPY ASSN 1111 N FAIRFAX ST ALEXANDRIA VA 223141488 131512769 501(C)(6) 8709 GENERAL SUPPORT ASSOCIATION OF SOUTHEASTERN RESEARCH LIBRARIES 1190 MERAMEC STATION RD SUITE BALLWIN MO 63021 582598596 501(C)(3) 226150 DUKE START UP CHALLENGE PRIZE BIOMETRIX CO PO BOX 25325 DURHAM NC 27702 472309739 18929 GENERAL SUPPORT BIRCHWOOD LEARNING CENTER 416 WALTON ST DURHAM NC 27703 562062834 501(C)(3) 5088 FMV FURNITURE/COMPUTER GENERAL SUPPORT BLOOD & MARROW TRANSPLANT INFO 1548 OLD SKOKIE RD UNIT 1 HIGHLAND PARK IL 60035 363774980 501(C)(3) 15000 GENERAL SUPPORT BOOK HARVEST 2501 UNIVERSITY DR DURHAM NC 27707 452610533 501(C)(3) 10000 GENERAL SUPPORT CAMP KESEM NC PO BOX 90834 DURHAM NC 27708 510454147 9758 GENERAL SUPPORT CAMPAIGN 4 CHANGE PO BOX 3355 DURHAM NC 27702 260096724 501(C)(3) 7500 GENERAL SUPPORT CARING HOUSE INC 2625 PICKETT RD DURHAM NC 277055603 561647154 501(C)(3) 22500 GENERAL SUPPORT CHAMBER ORCHESTRA OF THE TRIANGLE 1213 E FRANKLIN ST CHAPEL HILL NC 27514 561610461 501(C)(3) 10000 GENERAL SUPPORT CHANGING A GENERATION WITH FACE PO BOX 11587 DURHAM NC 27703 562158704 501(C)(3) 54372 FMV FURNITURE/COMPUTER GENERAL SUPPORT CHAPEL HILL OUTREACH PROJECT 80 EASTOWNE DRIVE 105 CHAPEL HILL NC 27514 582046321 501(C)(3) 7915 FMV FURNITURE GENERAL SUPPORT CHURCH OF THE PILGRIMS 2201 P ST NW WASHINGTON DC 20037 530211352 501(C)(3) 10000 GENERAL SUPPORT CHURCH WORLD SERVICES INC P O BOX 968 ELKHART IN 46515 134080201 501(C)(3) 2650 20152 FMV FURNITURE GENERAL SUPPORT CITY OF DURHAM 101 CITY HALL PLAZA DURHAM NC 27701 566000225 GOV'T ENTITY 300 17962 FMV FURNITURE GENERAL SUPPORT CITY OF JESUS 1321 HUMPHREY ST DURHAM NC 27701 463800893 501(C)(3) 11543 FMV FURNITURE/COMPUTER GENERAL SUPPORT COMMON CATHEDRAL PO BOX 51003 BOSTON MA 02205 510469082 501(C)(3) 10000 GENERAL SUPPORT COMMUNITY EMPOWERMENT FUND 208 N COLUMBIA ST SUITE 100 CHAPEL HILL NC 275143504 270428981 501(C)(3) 33500 GENERAL SUPPORT CREATIVE DIRECTIONS PO BOX 1029 BURLINGTON NC 27217 861098232 501(C)(3) 9505 FMV FURNITURE/COMPUTER GENERAL SUPPORT CREST STREET COMMUNITY COUNCIL 2614 CREST ST DURHAM NC 27705 581399286 501(C)(4) 10250 GENERAL SUPPORT CROHNS & COLITIS FOUNDATION 1100 S MINT ST SUITE 204 CHARLOTTE NC 28203 136193105 501(C)(3) 6000 GENERAL SUPPORT DIAPER BANK OF NC 304 E TRINITY AVE DURHAM NC 27701 320401621 501(C)(3) 15080 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DURHAM NC 277072586 581978668 501(C)(3) 4960 304 FMV FURNITURE GENERAL SUPPORT EXPLORIS MIDDLE SCHOOL 401 HILLSBOROUGH ST RALEIGH NC 27603 271719653 501(C)(3) 12000 FMV COMPUTER GENERAL SUPPORT FAMILIES MOVING FORWARD PO BOX 25426 DURHAM NC 27702 561633998 501(C)(3) 10000 GENERAL SUPPORT FAMILY HEALTH MINISTRIES INC 1921 NORTH POINTE DR SUITE 200 DURHAM NC 27705 562206165 501(C)(3) 15000 GENERAL SUPPORT GATHERING PLACE MINISTRIES 108 S MAIN ST ROXBORO NC 27573 541194439 501(C)(3) 20307 FMV FURNITURE GENERAL SUPPORT GENIEUS 2402 W CARVER ST DURHAM NC 27705 813388658 50000 GENERAL SUPPORT GEORGIA TECH FOUNDATION INC 760 SPRING ST NW SUITE 400 ATLANTA GA 30308 586043294 501(C)(3) 10000 GENERAL SUPPORT GOD 1ST PEOPLE 2ND 953 E MAIN STREET DURHAM NC 27701 201412180 501(C)(3) 263225 FMV FURNITURE/COMPUTER GENERAL SUPPORT GORDON RESEARCH CONFERENCES 512 LIBERTY LANE WEST KINGSTON RI 02892 260150662 501(C)(3) 10000 GENERAL SUPPORT GRADUATE CHEMISTRY COUNCIL 124 SCIENCE DR BOX 90354 DURHAM NC 27708 465754212 15000 GENERAL SUPPORT GREATER RALEIGH CHAMBER OF COMMERCE PO BOX 2978 RALEIGH NC 276022978 560370850 501(C)(6) 5500 GENERAL SUPPORT HABITAT FOR HUMANITY OF DURHAM 215 N CHURCH ST DURHAM NC 27701 581674794 501(C)(3) 31250 8391 FMV FURNITURE GENERAL SUPPORT ILASS 2409 E WEAVER STREET DURHAM NC 27707 352355979 501(C)(3) 11667 FMV FURNITURE GENERAL SUPPORT J-JIREH SERVICES PO BOX 148 WARRENTON NC 27589 020783242 501(C)(3) 6716 FMV FURNITURE/COMPUTER GENERAL SUPPORT KIDZ NOTES PO BOX 200 DURHAM NC 277020200 270446845 501(C)(3) 4343 1498 FMV FURNITURE GENERAL SUPPORT KRAMDEN INSTITUTE 4915 PROSPECTUS DRIVE DURHAM NC 27713 743108814 501(C)(3) 2000 195415 FMV COMPUTERS GENERAL SUPPORT LELAND STANFORD JUNIOR UNIVERSITY 651 SERRA ST STANFORD CA 94305 941156365 501(C)(3) 10000 GENERAL SUPPORT LEUKEMIA & LYMPHOMA SOCIETY 401 HARRISON OAKS BLVD SUITE 2 CARY NC 27513 135644916 501(C)(3) 16000 GENERAL SUPPORT LINK CHRISTIAN DEVELOPMENT 715 E 4TH ST WATERLOO IA 50703 455237223 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HILLSBOROUGH ST SUITE 200 RALEIGH NC 27603 161541024 501(C)(3) 7050 GENERAL SUPPORT STUDENT NATIONAL MEDICAL ASSN 5113 GEORGIA AVE NW WASHINGTON DC 20011 520965479 501(C)(3) 10000 GENERAL SUPPORT STUDENT U 3116 ACADEMY RD DURHAM NC 27707 560538019 501(C)(3) 18250 GENERAL SUPPORT TEENS DESTINED TO SUCCEED PO BOX 2653 BURLINGTON NC 27216 263024874 501(C)(3) 6000 FMV COMPUTER GENERAL SUPPORT TRIANGLE PROJECTS LLC 105 W CORBIN ST SUITE 204 HILLSBOROUGH NC 27278 472703215 50000 GENERAL SUPPORT TROSA INC 1820 JAMES ST DURHAM NC 277072024 561861158 501(C)(3) 107500 65109 FMV FURNITURE GENERAL SUPPORT UNITED WAY 20312 MAIL SERVICE CTR RALEIGH NC 27699 560564547 501(C)(3) 51000 GENERAL SUPPORT UNIVERSITY OF NORTH CAROLINA 227 GREENLAW HALL CB3520 CHAPEL HILL NC 275993520 566001393 501(C)(3) 6100 GENERAL SUPPORT URBAN MINISTRIES OF DURHAM INC PO BOX 249 DURHAM NC 27702 581505891 501(C)(3) 4700 2095 FMV FURNITURE GENERAL SUPPORT VOICES TOGETHER 5007 SOUTHPARK DR SUITE 230 DURHAM NC 27713 204612388 501(C)(3) 5000 1150 FMV FURNITURE GENERAL SUPPORT WAKEMED FOUNDATION 3000 NEW BERN AVE RALEIGH NC 27610 561916549 501(C)(3) 7361 FMV FURNITURE GENERAL SUPPORT WALLTOWN CHILDRENS THEATRE 1225 BERKLEY ST DURHAM NC 27705 562214825 501(C)(3) 14826 GENERAL SUPPORT WASHINGTON UNIVERSITY 700 ROSEDALE AVE CB 1034 ST LOUIS MO 63112 143060536 501(C)(3) 100000 GENERAL SUPPORT WEST END COMMUNITY FOUNDATION PO BOX 51398 DURHAM NC 277171398 561858174 501(C)(3) 14826 1080 FMV FURNITURE GENERAL SUPPORT 77 9 ALLEN STARLING JOHNSON JR AWARD 9 4137 BRENDA ARMSTRONG AWARD 6 600 DUSOMIE THINC PRIZE 14 4943 HOLTON PRIZE 7 5250 MELON GRANT 7 6000 MISCELLANEOUS ASSISTANCE 1 8258 RESEARCH PRIZE 12 19600 START UP CHALLENGE 12 8000 STUDENT AWARD 209 149530 TEACHING AWARD 9 2250 UNDERGRADUATE INSTITUTIONAL AWARDS 272 3193934 INTERNSHIP STIPENDS 874 1953533 GRADUATE STIPENDS 2139 28564394 POSTDOCTORAL STIPENDS 34 668091 PREDOCTORAL STIPENDS 29 586603 UNDERGRADUATE STIPENDS 780 2207733 GRADUATE ATHLETIC SCHOLARSHIPS 18 1172672 UNDERGRADUATE ATHLETIC SCHOLARSHIPS 524 26370740 UNDERGRADUATE SCHOLARSHIPS & STIPENDS 3023 122919016 GRADUATE SCHOLARSHIPS & STIPENDS 4433 76904951 POST DOCTORAL SCHOLARSHIPS & STIPENDS 32 70450 PRE DOCTORAL SCHOLARSHIPS & STIPENDS 2860 49351289 SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE, A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT. X X X X X X 1 1 X X X X X X 0 1 0 0 0 0 0 0 0 RICHARD H BRODHEAD TRUSTEE/PRESIDENT 994475 0 0 0 263534 0 153161 0 15585 0 1426755 0 115000 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 530628 0 0 0 18000 0 32411 0 18414 0 599453 0 0 0 SALLY KORNBLUTH PROVOST 612590 0 0 0 18000 0 32411 0 48690 0 711691 0 0 0 RICHARD RIDDELL VP & UNIVERSITY SECRETARY 357586 0 0 0 18000 0 21000 0 16140 0 412726 0 0 0 TALLMAN TRASK EXECUTIVE VICE PRESIDENT 738477 0 0 0 18000 0 32411 0 19783 0 808671 0 0 0 TIMOTHY W WALSH TREASURER & VP OF FINANCE 415110 0 0 0 0 0 32411 0 16792 0 464313 0 0 0 A EUGENE WASHINGTON MD CHANCELLOR HEALTH AFFAIRS 1161674 0 904735 0 23700 0 132411 0 15246 0 2237766 0 0 0 NANCY C ANDREWS MD VICE CHANCELLOR OF ACADEMIC AFFAIRS 594822 0 346539 0 18000 0 32411 0 59782 0 1051554 0 0 0 VALERIE ASHBY DEAN, COLLEGE OF ARTS & SCIENCE 418987 0 0 0 0 0 32411 0 6753 0 458151 0 0 0 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN., SOM 409314 0 202471 0 18000 0 32411 0 21283 0 683479 0 0 0 ALICE GOULD INVESTMENT MANAGER 354284 0 857798 0 191550 0 32411 0 11342 0 1447385 0 173550 0 EVAN L JONES INVESTMENT MANAGER 347607 0 838545 0 18000 0 114311 0 18857 0 1337320 0 0 0 JUSTIN B NIXON INVESTMENT MANAGER 293107 0 565433 0 0 0 93836 0 16255 0 968631 0 0 0 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 333689 0 1445 0 12000 0 32411 0 43697 0 423242 0 0 0 ERIC PETERSON DIRECTOR, DCRI 406116 0 104205 0 18000 0 32411 0 88771 0 649503 0 0 0 JAMES S ROBERTS EXEC VICE PROVOST FIN & ADMIN 353181 0 0 0 0 0 32411 0 7989 0 393581 0 0 0 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 635077 0 2043427 0 543625 0 652567 0 17185 0 3891881 0 525625 0 DAVID N CUTCLIFFE COACH 2121341 0 325484 0 33900 0 32411 0 27792 0 2540928 0 0 0 MICHAEL W KRZYZEWSKI COACH 2673733 0 1375000 0 1675116 0 1299814 0 24543 0 7048206 0 1246799 0 JOANNE MCCALLIE COACH 1051062 0 228000 0 26250 0 32411 0 15055 0 1352778 0 0 0 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 1109411 0 0 0 26506 0 349078 0 24345 0 1509340 0 0 0 RALPH SNYDERMAN CHANCELLOR EMERITUS 1180906 0 0 0 10270 0 32411 0 16869 0 1240456 0 0 0 PETER LANGE FORMER OFFICER 433134 47577 0 0 18000 0 32411 0 8757 0 492302 47577 0 0 VICTOR J DZAU MD FORMER OFFICER 0 0 143032 0 0 0 18666 0 15 0 161713 0 0 0 ALVIN L CRUMBLISS FORMER KEY EMPLOYEE 143559 0 0 0 0 0 17000 0 6228 0 166787 0 0 0 PART I, LINE 1A CHARTER TRAVEL MICHAEL W. KRZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. RICHARD H. BRODHEAD, A. EUGENE WASHINGTON, MD, TALLMAN TRASK III AND SALLY KORNBLUTH USED FIRST CLASS OR CHARTER TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS COMPANIONS HAVE TRAVELED WITH RICHARD H. BRODHEAD, MICHAEL W. KRZYZEWSKI, AND A. EUGENE WASHINGTON, MD. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. TAX INDEMNIFICATION MICHAEL W. KRZYZEWSKI AND RICHARD H. BRODHEAD RECEIVED SOME BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. RESIDENCE FOR PERSONAL USE RICHARD H. BRODHEAD AND A. EUGENE WASHINGTON, MD WERE PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITIES USED BY THE UNIVERSITY'S PRESIDENT AND CHANCELLOR. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THE FACILITIES ARE USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. CLUB DUES NANCY CATHERINE ANDREWS, MD, DAVID N. CUTCLIFFE, RICHARD RIDDELL AND JAMES SCOTT GIBSON WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $525,625, RICHARD BRODHEAD $230,000, ALICE GOULD $173,550, MICHAEL W. KRZYZEWSKI $1,610,000. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GDR6 2006-11-02 397964337 SEE PART VI 0 0 0 B NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GFT0 2009-02-25 252858252 SEE PART VI 1 0 0 C NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GJQ2 2014-10-23 260825252 SEE PART VI 0 0 0 D NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GKX5 2015-11-18 416079767 SEE PART VI 0 0 0 A 381460000 405128364 8814929 262529247 2807772 130976419 2008 1 1 1 1 B 247090000 253158413 7249152 109568000 2182146 134159115 2013 1 0 0 1 C 260867558 236825000 994215 23048343 2016 1 0 0 1 D 416282285 1744007 274219243 2173484 109531060 28614491 1 0 0 1 A 0 0 1 1 1 1 0.00150 0.00000 0.00150 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 1 1 1 1 0.00080 0.00000 0.00080 0 0 1 D 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 1 0 1 MORGAN STANLEY & CO 1.900000000000 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 FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND BOND ISSUE (B2): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 4/7/2016 AND CUSIPS 65818WGE8, 65818WGF5, 65818WGG3, 65818WGH1, 65818X3W0 WERE OUTSTANDING AS OF 6/30/2017 UNDER THE NEW ISSUE. FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (B2): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($254,160,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($33,860,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. FORM 990, SCHEDULE K, PART 1(F) PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND THE OUTSTANDING 1996B BONDS ISSUED 7/9/1996, (2) REFUND A PORTION OF THE 2001A BONDS ISSUED 1/8/2002, (3) REFUND $92,699,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 9/18/2006 AND $3,260,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 20 PROJECTS LOCATED ON THE WEST AND EAST CAMPUS OF DUKE UNIVERSITY (2006A PROJECTS), AND (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF COST OF CONSTRUCTING AND EQUIPPING THE 2006A PROJECTS. BOND ISSUE (B): TO (1) REFUND $104,184,000 AGGREGATE PRINCIPAL OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 5/13/2008 AND $5,384,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 28 PROJECTS LOCATED ON WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY (2009B PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2009B PROJECTS. BOND ISSUE (C): TO (1) REFUND A PORTION OF THE 2005A BONDS ISSUED 06/24/2005, (2) REFUND A PORTION OF THE 2006A BONDS ISSUED 11/02/2006, (3) REFUND A PORTION OF THE 2006B BONDS ISSUED 01/09/2007, (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2014A-C PROJECTS. BOND ISSUE (B2): COMMERCIAL PAPER PROGRAM, THE PURPOSES OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 7/16/2014, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY. BOND ISSUE (D): TO (1) REFUND THE REMAINING PORTION OF THE 2005A BONDS ISSUED 06/24/2005, (2) REFUND $185,101,000 AGGREGATE PRINCIPAL AMOUNT OF TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED 11/18/2015 TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 13 PROJECTS LOCATED ON THE WEST AND EST CAMPUS OF DUKE UNIVERSITY (2015B PROJECTS), (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2015B PROJECTS. BOND ISSUE (A2): TO (1) REFUND A PORTION OF THE 2006A BONDS ISSUED 11/02/2006, (2) REFUND A PORTION OF THE 2006B BONDS ISSUED 01/09/2007. FORM 990, SCHEDULE K, PART II, LINE 13 TAX-EXEMPT BOND BOND ISSUE (D): NO YEAR IS PROVIDED AT THIS TIME DUE TO 2015B PROJECTS THAT ARE NOT SUBSTANTIALLY COMPLETE. FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2 BOND ISSUE (B2): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED. BOND ISSUE (A) - 11/1/2016 BOND ISSUE (B) - 2/1/2017 BOND ISSUE (C) - 9/30/2016 BOND ISSUE (D) - 11/1/2016 LINE 5D BOND ISSUE (A): ONLY TWO BIDS WERE RECEIVED FROM SIX PROVIDERS SOLICITED. A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GLE6 2016-11-03 380642978 SEE PART VI 0 0 0 B NC CAPITAL FACILITIES FINANCE AGENCY 561592154 99VARIOUS 2016-04-17 254160000 SEE PART VI 0 0 0 A 380642978 378939046 1703932 2008 1 0 1 1 B 33860000 33860000 2015 1 0 0 1 A 0 0 1 1 1 1 0.00170 0.00000 0.00170 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 0 0 0 0 0 0 0 1 A 1 B 1 1 RECIPIENT TRUSTEE 83131 SCHLORSHIP TUITION ASSISTANCE CYNTHIA BRODHEAD SEE PART V 179902 SEE PART V 0 LORI LEACHMAN SEE PART V 58590 SEE PART V 0 DEBORAH JAKUBS SEE PART V 319800 SEE PART V 0 BERNARD MATHEY-PREVOT SEE PART V 166781 SEE PART V 0 MOLLY M WALSH SEE PART V 25000 SEE PART V 0 JAMES MATTHEW GIBSON SEE PART V 47818 SEE PART V 0 ZACHARY BERNARD SEE PART V 22115 SEE PART V 0 SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF INTERESTED PERSON: CYNTHIA BRODHEAD(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: CYNTHIA BRODHEAD IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $179,902(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: LORI LEACHMAN(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: LORI LEACHMAN IS A FAMILY MEMBER OF A DUKE UNIVERSITY FORMER OFFICER(C) AMOUNT OF TRANSACTION: $58,590(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: DEBORAH JAKUBS(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DEBORAH JAKUBS IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $319,800(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: BERNARD MATHEY-PREVOT(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: BERNARD MATHEY-PREVOT IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $166,781(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: MOLLY M WALSH(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: MOLLY M WALSH IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $25,000(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: JAMES MATTHEW GIBSON(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JAMES MATTHEW GIBSON IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $47,818(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: ZACHARY BERNARD(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: ZACHARY BERNARD IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $22,115(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO X 30 3427161 VARIOUS X 808287 VARIOUS X 1745 94339429 MARKET QUOTE X 1 63299 FMV X EVENT TICKETS 3112 632545 FMV/FACE VALUE X EQUIPMENT 12 234513 VARIOUS X MISCELLANEOUS 66 147193 VARIOUS 21 0 1 1 PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION "JAMES B. DUKE'S FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION; AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO." FORM 990, PART V, LINE 3B THE ORGANIZATION DID NOT HAVE UNRELATED BUSINESS INCOME OF $1,000 OR MORE DURING THE FISCAL YEAR ENDED JUNE 30, 2017. THEREFORE, FORM 990-T IS NOT REQUIRED FOR THE FISCAL YEAR ENDED JUNE 30, 2017. FORM 990, PART VI, SECTION A, LINE 2 TRUSTEES JANET HILL AND DAVID M. RUBENSTEIN ARE BOTH DIRECTORS OF THE CARLYLE GROUP. FORM 990, PART VI, SECTION A, LINE 7A GRADUATES OF DUKE UNIVERSITY HAVE THE RIGHT TO ELECT TWELVE TRUSTEES TO SERVE ON THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT, RISK & COMPLIANCE COMMITTEE OF THE UNIVERSITY TRUSTEES IN ADVANCE OF THE MEETING. AT THE MEETING, THE DUKE UNIVERSITY TAX SENIOR DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, REVIEWS THE FORM 990 WITH THE COMMITTEE. THE COMMITTEE IS OFFERED AN OPPORTUNITY TO ASK QUESTIONS BOTH AT THE MEETING AND ANYTIME THEREAFTER BY CONTACTING THE TAX SENIOR DIRECTOR OR DUKE UNIVERSITY'S TAX ATTORNEY, WHO IS ALSO INVOLVED WITH THE PREPARATION OF DUKE UNIVERSITY'S FORM 990. SUBSEQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX SENIOR DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER. FORM 990, PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY. FORM 990, PART VI, SECTION B, LINE 15 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING. FORM 990, PART VI, SECTION C, LINE 18 DUKE UNIVERSITY'S FORM 990 IS AVAILABLE TO THE PUBLIC ON WWW.GUIDESTAR.ORG. GUIDESTAR INDEPENDENTLY POSTS TAX-EXEMPT ORGANIZATION'S FORM 990'S ON THEIR WEBSITE, OBTAINED FROM THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS ORGANIZING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS.PDF (WEBLINK MUST BE INPUT IN ALL LOWER CASE LETTERS). FORM 990, PART XI, LINE 9: CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS 32,920,803. TRANSFER FROM DUHS 102,270,770. NONPERIODIC CHANGE 39,258,744. OTHER CHANGES -2,076,562. 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