2018-06-15T11:08:38-05:00 2017-08-31 990 2016-09-01 135562308 NEW YORK UNIVERSITY NEWY 2129982955 105 E 17TH STREET - 2ND FLOOR NEW YORK NY 100039580 STEPHANIE PIANKA EXECUTIVE VICE PRESIDENT 2129982955 2018-06-15 2016 2022-09-23 18:48:47Z MARTIN DORPH 105 E 17TH ST 4TH FL NEW YORK NY 100039580 7838491480 0 X WWW.NYU.EDU X 1831 NY NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 50,000 STUDENTS IN 20 SCHOOLS AND INSTITUTES. 64 58 41635 7798 3754460 -4514177 1044889535 1125243260 4598605146 4989089704 216106568 206120605 183837009 287433350 6043438258 6607886919 614812153 642305295 0 0 3204455798 3462494101 862447 843049 44133885 2090333343 2200763671 5910463741 6306406116 132974517 301480803 11191514569 12445235606 6363828554 7068933067 4827686015 5376302539 X NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 50,000 MATRICULATING STUDENTS IN 20 SCHOOLS AND INSTITUTES. NYU'S PRIMARY MISSIONS ARE EDUCATION, RESEARCH AND SCHOLARSHIP, AND PATIENT CARE. (CONTINUED ON SCHEDULE O) 0 0 2154602957 638818070 2406904000 EDUCATION: FOUNDED IN 1831, NYU IS AMONG THE LARGEST PRIVATE NOT-FOR-PROFIT RESEARCH UNIVERSITIES IN THE U.S., WITH 20 SCHOOLS AND INSTITUTES, APPROXIMATELY 5,000 FULL-TIME FACULTY MEMBERS, AND APPROXIMATELY 50,000 MATRICULATING STUDENTS. NYU ANNUALLY CONFERS OVER 16,000 UNDERGRADUATE, GRADUATE AND PROFESSIONAL DEGREES, AND PROVIDES OVER $300 MILLION PER YEAR IN SCHOLARSHIP AID TO UNDERGRADUATES. NYU HAS AN UNPARALLELED INTERNATIONAL PRESENCE WITH THREE DEGREE-GRANTING LIBERAL ARTS RESEARCH UNIVERSITY CAMPUSES (IN NEW YORK, ABU DHABI, AND SHANGHAI); HAS 11 GLOBAL ACADEMIC SITES (FOR STUDY ABROAD) ON SIX CONTINENTS; SENDS MORE STUDENTS TO STUDY ABROAD THAN ANY OTHER U.S. COLLEGE OR UNIVERSITY; AND ENROLLS MORE INTERNATIONAL STUDENTS THAN ANY OTHER U.S. UNIVERSITY. 1823986495 1897816000 PATIENT CARE: NYU'S MEDICAL ACADEMIC PROGRAMS ARE A MAJOR ELEMENT OF THE UNIVERSITY'S MISSION. THE NYU SCHOOL OF MEDICINE WAS ESTABLISHED IN 1841; FROM ITS EARLIEST YEARS, IT HAS BEEN AT THE FOREFRONT OF ADVANCING THE MEDICAL PROFESSION AND MEDICAL RESEARCH, INCLUDING PARTICIPATING IN THE PROCESS THAT LED TO THE ESTABLISHMENT OF NEW YORK CITY'S HEALTH DEPARTMENT, ESTABLISHING THE FIRST OUTPATIENT CLINIC, ESTABLISHING THE FIRST LABORATORY DEVOTED TO TEACHING AND RESEARCH IN BACTERIOLOGY AND PATHOLOGY, CREATING THE FIRST DEPARTMENT OF FORENSIC MEDICINE, CREATING THE FIRST DEPARTMENT OF PHYSICAL MEDICINE AND REHABILITATION IN THE U.S., AND ESTABLISHING ONE OF THE FIRST MD-PHD PROGRAMS. ITS FACULTY AND GRADUATES HAVE INCLUDED NOBEL LAUREATES, THE DISCOVERER OF THE MOSQUITO AS THE SOURCE OF TRANSMISSION OF YELLOW FEVER, BOTH CREATORS OF THE POLIO VACCINE, AND THE RESEARCHERS WHO FOUND THE LINKAGE BETWEEN KAPOSI'S SARCOMA AND IMMUNE DEFICIENCY IN A DISTINCT POPULATION OF GAY MEN (A KEY STEP IN IDENTIFYING AIDS), AMONG OTHER LEADERS IN MEDICINE. THROUGH AFFILIATION AGREEMENTS, THE DOCTORS AND STUDENTS AT NYU SCHOOL OF MEDICINE PLAY A CRUCIAL ROLE IN ENSURING TOP QUALITY CARE NOT ONLY AT THE NYU LANGONE MEDICAL CENTER, BUT ALSO AT THE MANHATTAN VA HOSPITAL AND BELLEVUE HOSPITAL (ARGUABLY THE FOREMOST PUBLIC HOSPITAL IN THE U.S.). THE NYU COLLEGE OF DENTISTRY, WHICH - AS THE LARGEST DENTAL SCHOOL IN THE U.S. AND MOST COMPREHENSIVE ORAL HEALTH CENTER IN THE WORLD - CARES FOR SOME 50,000 POOR AND LOW INCOME NEW YORKERS EACH YEAR AND OPERATES A MOBILE DENTAL CARE PROGRAM WHICH TRAVELS TO UNDERSERVED AREAS OF NEW YORK STATE. IN ADDITION, NYU HAS A COLLEGE OF GLOBAL PUBLIC HEALTH, AND NYU'S RORY MEYERS COLLEGE OF NURSING PROVIDES UNDERGRADUATE AND GRADUATE EDUCATION FOR OVER 1,400 NURSING STUDENTS. 830559560 618979375 RESEARCH AND SCHOLARSHIP: NYU IS A MAJOR RESEARCH INSTITUTION, WITH SIGNIFICANT SUPPORT FROM NIH, NSF AND OTHER FUNDERS; IT IS A TOP 25 INSTITUTION IN THE NSF'S ANNUAL HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY. THE RESEARCH AND CREATIVE OUTPUT OF NYU'S SCHOLARS HAVE LED TO THE RECEIPT OF NOBEL PRIZES, ABEL PRIZES, PULITZER PRIZES, GUGGENHEIMS, THE NATIONAL MEDAL OF THE ARTS, THE NATIONAL MEDAL OF SCIENCE, THE NATIONAL MEDAL OF TECHNOLOGY, NSF WATERMAN AWARDS, MAX PLANCK AWARDS, THE KAVLI PRIZE, MEMBERSHIP IN THE NATIONAL ACADEMY OF SCIENCES AND THE NATIONAL ACADEMY OF ENGINEERING, ACADEMY AWARDS, AND TONY AWARDS, AMONG MANY OTHER HONORS FOR THE UNIVERSITY'S FACULTY. NYU FACULTY FINDINGS ARE REGULARLY PUBLISHED IN TOP JOURNALS ACROSS A BROAD RANGE OF SCHOLARLY DISCIPLINES. NYU HAS LEADING PROGRAMS IN ECONOMICS, MATHEMATICS (AND PARTICULARLY APPLIED MATHEMATICS), NEUROSCIENCE, GENOMICS, SOFT CONDENSED MATTER PHYSICS, SOCIOLOGY, PHILOSOPHY, THE LAW, MEDICINE AND BIO-MEDICAL SCIENCES, THE CINEMATIC AND PERFORMING ARTS, AND BUSINESS AND FINANCE, AMONG MANY OTHER SCHOLARLY FIELDS. 719290848 3487225 684369704 STUDENT SERVICES; STUDENT AID; LIBRARY; AND OPERATION AND MAINTENANCE OF PLANT. 719290848 3487225 684369704 5528439860 1 0 0 1 0 0 1 1 0 1 1 1 0 0 1 0 0 1 1 1 1 0 1 1 1 0 0 1 1 1 1 1 0 0 0 0 1 0 1 1 1 1 1 0 0 0 1 1 1 1 0 1 X 48055 0 1 41635 1 1 1 1 AE AR AS BD CH CJ EI EZ FR GH GM IS IT MP PM SP UK VI AF CY JE SN 0 0 0 1 1 0 0 0 0 X 64 58 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 AK CO KY MD MA MI OH OK OR WA ME NH X KERRI TRICARICO 2129982913 105 E 17TH STREET 3RD FLOOR NEW YORK NY 100039345 RONALD D ABRAMSON TRUSTEE 2.00 X 0 0 0 KHALDOON KHALIFA AL MUBARAK TRUSTEE 2.00 X 0 0 0 RALPH ALEXANDER TRUSTEE (END: 6/12/17) 2.00 X 0 0 0 PHYLLIS PUTTER BARASCH TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 MARIA BARTIROMO TRUSTEE 2.00 X 0 0 0 MARC H BELL TRUSTEE 2.00 X 0 0 0 WILLIAM R BERKLEY TRUSTEE & CHAIR 8.00 X X 0 0 0 CASEY BOX TRUSTEE 2.00 X 0 0 0 BILL BREWER TRUSTEE 2.00 X 0 0 0 SHARON CHANG TRUSTEE 2.00 X 0 0 0 EVAN R CHESLER TRUSTEE 2.00 X 0 0 0 STEVEN M COHEN TRUSTEE 2.00 X 0 0 0 FLORENCE A DAVIS TRUSTEE (END: 2/22/17) 2.00 X 0 0 0 MICHAEL DENKENSOHN TRUSTEE 2.00 X 0 0 0 GALE DRUKIER TRUSTEE 2.00 X 0 0 0 JOEL S EHRENKRANZ TRUSTEE 2.00 X 0 0 0 LAURENCE D FINK TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 MARK FUNG TRUSTEE 2.00 X 0 0 0 NATALIE HOLDER TRUSTEE 2.00 X 0 0 0 MITCHELL JACOBSON TRUSTEE 2.00 X 0 0 0 BORIS JORDAN TRUSTEE 2.00 X 0 0 0 CHARLES KLEIN TRUSTEE 2.00 X 0 0 0 ANDRE JL KOO TRUSTEE 2.00 X 0 0 0 KENNETH G LANGONE VICE CHAIR 4.00 X 0 0 0 MARK LESLIE TRUSTEE 2.00 X 0 0 0 BRIAN A LEVINE MD TRUSTEE 2.00 X 0 0 0 MARTIN LIPTON TRUSTEE 2.00 X 0 0 0 KELLY KENNEDY MACK TRUSTEE 2.00 X 0 0 0 MIMI MD MARZIANI TRUSTEE 2.00 X 0 0 0 HOWARD MEYERS TRUSTEE 2.00 X 0 0 0 STEVEN S MILLER TRUSTEE 2.00 X 0 0 0 CONSTANCE J MILSTEIN TRUSTEE 2.00 X 0 0 0 DAVID C OXMAN TRUSTEE 2.00 X 0 0 0 JOHN PAULSON TRUSTEE 2.00 X 0 0 0 CATHERINE B REYNOLDS TRUSTEE 2.00 X 0 0 0 BRETT B ROCHKIND TRUSTEE 2.00 X 0 0 0 WILLIAM C RUDIN TRUSTEE 2.00 X 0 0 0 CONSTANCE SILVER TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 LISA SILVERSTEIN TRUSTEE 2.00 X 0 0 0 JAY STEIN TRUSTEE 2.00 X 0 0 0 JOSEPH S STEINBERG TRUSTEE 2.00 X 0 0 0 JUDY STEINHARDT TRUSTEE 2.00 X 0 0 0 CHANDRIKA TANDON TRUSTEE & VICE CHAIR 6.00 X X 0 0 0 DANIEL R TISCH TRUSTEE & VICE CHAIR 2.00 X X 0 0 0 NINA WEISSBERG TRUSTEE 2.00 X 0 0 0 ANTHONY WELTERS TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 SHELBY WHITE TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 LEONARD A WILF TRUSTEE & VICE CHAIR 4.00 X X 0 0 0 FRED WILSON TRUSTEE (END: 2/22/17) 2.00 X 0 0 0 TAMARA WINN TRUSTEE 2.00 X 0 0 0 CHARLES ZEGAR TRUSTEE 2.00 X 0 0 0 JESSICA SWARTZ TRUSTEE 2.00 X 0 0 0 JONATHAN KIM TRUSTEE 2.00 X 0 0 0 LISA YOO HAHN TRUSTEE 2.00 X 0 0 0 LUIZ FRAGA TRUSTEE 2.00 X 0 0 0 WENLIANG WANG TRUSTEE 2.00 X 0 0 0 ANDREW HAMILTON TRUSTEE & PRESIDENT 70.00 X X 1368434 0 448914 ABDUL AZIZ AL GHURAIR TRUSTEE (END: 4/3/17) 2.00 X 0 0 0 TAFFI AYODELE TRUSTEE 2.00 X 0 0 0 AMANDA LIPITZ TRUSTEE 2.00 X 0 0 0 BEVERLY HYMAN TRUSTEE 2.00 X 0 0 0 JOSEPH LANDY TRUSTEE 2.00 X 0 0 0 LARRY A SILVERSTEIN TRUSTEE 2.00 X 0 0 0 STUYVIE COMFORT TRUSTEE (BEGIN: 9/1/16) 2.00 X 0 0 0 FIONA DRUCKENMILLER TRUSTEE (BEGIN: 9/1/16) 2.00 X 0 0 0 LUN FENG TRUSTEE (BEGIN: 9/27/16) 2.00 X 0 0 0 JEFFREY GOULD TRUSTEE (BEGIN: 9/1/16) 2.00 X 0 0 0 ADAM TAKI TRUSTEE (BEGIN: 9/1/16) 2.00 X 0 0 0 SASCIA YUAN TRUSTEE (BEGIN: 9/1/16) 2.00 X 0 0 0 ROBERT BERNE EVP. FOR HEALTH 50.00 X 1464789 0 41841 MARTIN DORPH EXECUTIVE VICE PRESIDENT 50.00 X 761513 0 48417 TERRANCE NOLAN GEN.COUNSEL & SECR 50.00 X 850253 0 48417 PIETRINA SCARAGLINO ASSOCIATE SECRETARY 50.00 X 360063 0 23832 KATHERINE FLEMING PROVOST (BEGIN: 9/1/16) 50.00 X 813707 0 26637 THOMAS J CAREW DEAN OF FAS 50.00 X 540768 0 41841 ANDREW BROTMAN SVP. & VICE DEAN 30.00 30.00 X 1483622 1483622 50666 ROBERT GROSSMAN EX-OFFICIO, DEAN & CEO 30.00 30.00 X 2837192 2837192 2084520 STEPHANIE PIANKA CFO (BEGIN: 6/15/17) 50.00 X 380724 0 34713 DEBRA LAMORTE SVP. FOR DEVELOPMENT (END:8/28/17) 50.00 X 721366 0 34713 LINDA MILLS VC. GLOBAL PROGRAMS 50.00 X 704284 0 48417 MARILYN MCMILLAN VP. FOR IT (END:10/12/16) 50.00 X 358282 0 35344 KATHLEEN JACOBS CHIEF INVESTMENT OFFICER 40.00 X 1298882 0 8801 SABRINA ELLIS VP OF HUMAN RESOURCES 40.00 X 335238 0 32088 LINDA CHIARELLI VP OF CAPITAL PROJECTS AND FACILITIES 40.00 X 576701 0 12701 ANTHONY K FREMPONG-BOADU DR. DIVISION OF SPINAL NEU 50.00 X 3243112 0 54847 JAMES A GRIFO MD PHD PROF. OF OBSTETRICS AND GY 50.00 X 2356087 0 54847 JOHN BENDO VICE CHAIR CLINICAL AFFAIR 50.00 X 3387128 0 38436 RONNIE HERSHMAN CLINICAL INSTRUCTOR DEPART 50.00 X 3793864 0 33397 JOHN G GOLFINOS NEUROSURGERY 40.00 X 2823547 0 57397 JOHN E SEXTON FORMER PRESIDENT 50.00 X 722088 0 34713 DAVID W MCLAUGHLIN FORMER PROVOST 50.00 X 643265 0 41841 BONNIE BRIER FORMER GEN.COUNSEL & SECR 50.00 X 611371 0 40563 ALISON LEARY FORMER EVP. OPERATIONS 50.00 X 1414819 0 23022 33851099 4320814 3400925 5020 1 1 0 SKANSKA USA BUILDING INC 389 INTERPACE PARKWAY 5TH FLOOR PARSIPPANY NJ 07054 CONSTRUCTION 93169114 COLLINS BUILDING SERVICES INC COURT SQUARE PLACE 24-01 44TH ROAD LONG ISLAND CITY NY 11101 JANITORIAL 72457806 ARAMARK EDUCATIONAL SERVICES LLC 131 SOUTH DEARBORN 6TH FLOOR CHICAGO IL 60603 FOOD SERVICE 29442322 FRIENDLY ADVANCED SOFTWARE 590 FIFTH AVENUE 6TH FLOOR NEW YORK NY 10036 TEMP SERVICES 12806494 DAVIS BRODY BOND LLP 1 NEW YORK PLAZA NEW YORK NY 10004 ARCHITECTURAL 11050930 739 15546670 2358334 618979375 488358881 79643855 1125243260 TUITION & FEES 611600 2406904000 2406904000 PATIENT CARE 623990 1897816000 1897816000 OTHER PROGRAM SERVICES 611600 366986848 366986848 HOUSING & DINING 721310 317382856 317382856 4989089704 51593374 -4272859 55866233 1518869 1518869 76916952 66619117 10297835 10297835 10297835 1299308232 1144781001 154527231 154527231 154527231 930253 15546670 1322270 -392017 -392017 26881088 17882173 8998915 1513828 7485087 CHANGE IN POST RETIREM 900099 148508000 148508000 FEDERAL DISASTER REC. 900099 65027872 65027872 OTHER AUX. ENTERPRISES 713940 15073517 6506196 8567321 38400359 7295 38393064 267009748 6607886919 4989089704 3754460 489799495 3487225 3487225 469565470 469565470 169252600 169252600 14284267 13231268 928089 124910 5954179 5507040 395150 51989 2838141321 2628807938 183743460 25589923 160085640 148548695 10075155 1461790 297380728 279145044 15149808 3085876 146647966 135481559 9860621 1305786 1288556 1288556 12107066 9363708 2578037 165321 1345144 1051976 274657 18511 642951 497643 136551 8757 843049 843049 3958400 3958400 260776015 201863981 55359197 3552837 25296511 23394664 1836801 65046 146255377 138606378 7516199 132800 59022581 26055645 32826105 140831 1576157 1575915 242 238480409 177746355 60735029 -975 127235844 110735567 13207729 3292548 8113339 5862119 2176418 74802 151134000 138650000 12484000 341918807 257933807 83985000 22788432 3743182 19045250 OTHER EXPENSES 393428110 270705769 118558711 4163630 SERVICE CONTRACT FEES 222272207 209022330 13244268 5609 REPAIR AND MAINTENANCE 123753765 98603982 25098938 50845 LOSS ON BOND DEFEASEMEN 32186000 32186000 27184000 27184000 6306406116 5528439860 733832371 44133885 836320474 901892807 398221000 272802108 452799194 453736827 477990676 453666755 536000 120000 7892109 0 87598199 80978849 7678000 1501000 101919307 117919308 9168674793 3469547301 5116304334 5699127492 1696827602 2038155784 1914906000 2066092000 92521674 359242676 11191514569 12445235606 796897943 880218435 828307000 887125000 2974675000 2665653000 79098000 311734000 527693000 1071266000 1157157611 1252936632 6363828554 7068933067 X 1800248237 2093583691 1144193135 1256033255 1883244643 2026685593 4827686015 5376302539 11191514569 12445235606 301480803 247135721 0 X X 0 1 X 1 1 1 X 960468399 1192742941 1019592114 1044889535 1125243260 5342936249 960468399 1192742941 1019592114 1044889535 1125243260 5342936249 5342936249 113368707 108164764 132377284 107958668 128510326 590379749 10560753 8394454 6042645 7871518 3754460 36623830 251962414 408331015 120171437 188795194 294821089 1264081149 7234020977 20582262129 0.73860 0.75540 X PART II LINE 10 OTHER INCOME INCLUDES RENTAL, FEDERAL DISASTER RECOVERY, AUXILIARY ENTERPRISE, AND MISCELLANEOUS INCOME. 1 1 0 1 250 0 1 2700 1 642950 0 1 22835 668735 0 PART 11-B LINE 1 NYU UTILIZES VOLUNTEERS AS PART OF NYU IN ALBANY DAY AND NYU IN WASHINGTON, DC DAY. NYU UTILIZES PAID EMPLOYEES TO HAVE MINIMAL CONTACT WITH ELECTED OFFICIALS. ADDITIONALLY, NYU HAS THREE PRINCIPAL LOBBYISTS ON RETAINER WHO HAVE DIRECT CONTACT WITH LEGISLATORS AND STAFF CONCERNING UNIVERSITY MATTERS. NYU SENDS LETTERS TO FEDERAL, STATE, AND LOCAL OFFICIALS ON PUBLIC POLICY. A SMALL PERCENTAGE OF MEMBERSHIP DUES THE UNIVERSITY PAYS TO THE FOLLOWING ASSOCIATIONS ARE REPORTED: NAICU (NATIONAL ASSOCIATION OF INDEPENDENT COLLEGES AND UNIVERSITIES) AND TSC (THE SCIENCE COALITION). X 1 0.28 1 1 1 0 0 X X X X 0 3551832192 231429703 453330554 39552001 155148796 2744575 4039147077 3440122879 169200278 125109083 36319292 141280466 5000290 3551832192 3398521211 178208969 42883564 32408574 140961222 6121069 3440122879 2942581087 259375964 383468572 27698757 149089238 10116417 3398521211 2765753898 150830999 246382088 23462909 185612121 11310868 2942581087 0.38000 0.51000 0.11000 1 0 181892000 181892000 6845120261 2787768274 4057351987 1030839532 681779027 349060505 1110823000 1110823000 5699127492 CASH & OTHER 4835602 F EQUITY SECURITIES 725866172 F FIXED INCOME SECURITIES 8659148 F HEDGE FUNDS 671179584 F NATURAL RESOURCES 69279204 F OPPORTUNISTIC & CREDIT 127573686 F OTHER SHORT - TERM INVESTMENTS 1989288 F PRIVATE EQUITY 243122900 F REAL ASSETS 151214845 F SPLIT INTEREST AGREEMENTS 35508096 F LIQUIDATING FUNDS 26863475 F 2066092000 ACCRUED BENEFIT OBLIGATION 147823000 ACCRUED POST RETIREMENT OBLIGATION 613245866 ASSET RETIREMENT OBLIGATION 208272000 DUE TO AFFILIATES 14006766 FUNDS HELD FOR OTHERS 269589000 1252936632 PART III, LINE 1A: THE UNIVERSITY DOES NOT ASSIGN VALUES TO COLLECTION ITEMS. COLLECTION ITEMS ARE GENERALLY HELD FOR EDUCATIONAL PURPOSES AND ARE NOT DISPOSED OF FOR FINANCIAL GAIN OR OTHERWISE ENCUMBERED IN ANY MANNER. PART III, LINE 4: COLLECTIONS AT THE UNIVERSITY INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES, AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S GALLERIES, LIBRARIES, AND BUILDINGS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE AND, THEREFORE, ARE NOT RECOGNIZED AS ASSETS ON THE CONSOLIDATED BALANCE SHEET. COSTS ASSOCIATED WITH ACQUISITION AND MAINTENANCE OF THESE COLLECTIONS ARE RECORDED AS EXPENSES IN THE PERIOD IN WHICH THEY ARE INCURRED. PART V, LINE 4: NYU'S ENDOWMENT CONSISTS OF INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES SUCH AS: PROGRAM SUPPORT, FACULTY AND STAFF SALARIES, SCHOLARSHIPS AND FELLOWSHIPS, LIBRARY BOOKS, RESEARCH, BUILDINGS AND EQUIPMENT, AND STUDENT ASSISTANCE. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 ALL ADVERTISEMENTS AND MARKETING MATERIALS, INCLUDING ADVERTISEMENTS IN NEWSPAPERS, CONTAIN THE NYU NONDISCRIMINATION POLICY STATEMENT. ADDITIONALLY, THE UNIVERSITY'S WEB-SITE (WWW.NYU.EDU) PROMINENTLY FEATURES INSTITUTIONAL POLICIES ON NONDISCRIMINATION AND EQUAL OPPORTUNITY. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY RECEIVES FINANCIAL ASSISTANCE FROM VARIOUS FEDERAL, STATE & LOCAL AGENCIES. 1 CENTRAL AMERICA 1 44 EDUCATION/RESEARCH INSTRUCTION 425137 EAST ASIA AND THE PACIFIC 2 37 EDUCATION/RESEARCH INSTRUCTION 4574373 EUROPE 8 216 EDUCATION/RESEARCH INSTRUCTION 59772676 MIDDLE EAST AND NORTH AFRICA 2 446 EDUCATION/RESEARCH INSTRUCTION 188693351 SOUTH AMERICA 1 10 EDUCATION/RESEARCH INSTRUCTION 4089106 SUB-SAHARAN AFRICA 3 21 EDUCATION/RESEARCH INSTRUCTION 2315070 SOUTH ASIA 1 54 EDUCATION/RESEARCH INSTRUCTION 1951024 NORTH AMERICA 0 33 EDUCATION/RESEARCH INSTRUCTION 47398 RUSSIA AND NEIGHBORING STATES 0 0 EDUCATION/RESEARCH INSTRUCTION 16355 CENTRAL AMERICA 0 0 INVESTMENTS 707081007 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 62355638 EUROPE 0 0 INVESTMENTS 9605498 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 22224780 18 861 0 0 18 861 261868135 801283278 1063151413 SCHOLARSHIPS, FELLOWSHIPS, GRANTS CENTRAL AMERICA AND THE CARIBBEAN 143 6265965 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EAST ASIA AND THE PACIFIC 1733 51745598 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS EUROPE 741 30204352 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS MIDDLE EAST & NORTH AFRICA 441 23123151 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS NORTH AMERICA 327 10777197 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS RUSSIA-NEWLY INDEPENDENT 158 8241039 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SOUTH AMERICA 334 11151060 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS. GRANTS SOUTH ASIA 614 24252669 CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, FELLOWSHIPS, GRANTS SUB-SAHARAN AFRICA 197 8926098 CREDIT TO BURSAR ACCOUNTS 1 0 1 1 1 1 PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS OUTSIDE THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X X X X 1 RUFFALO NOEL LEVITZ 1025 KIRKWOOD PKWY SW CEDAR RAPIDS IA 52404 PHONATHON 0 1857250 843049 1014201 1857250 843049 1014201 AL AK AR CA CO CT FL GA HI IL KS KY LA MA ME MD MI MN MO MS NC ND NH NJ NM NY OH OK OR PA RI SC TN UT VA WA WI WV DC VIOLET BALL 5521412 5348837 172575 460108 FACES GALA 4801857 4655857 146000 262020 28 6153654 5541976 611678 600142 16476923 15546670 930253 1322270 1322270 -392017 1 UNITED WAY OF NEW YORK CITY 2 PARK AVENUE NEW YORK NY 10016 132617681 501(C)(3) 29268 SUPPORT NATIONAL CENTER ON PHILANTHROPY AND THE LAW 110 WEST 3RD STREET - DAGOSTINO HALL NEW YORK NY 10012 133954405 501(C)(3) 290000 SUPPORT GREENWICH HOUSE INC 122 WEST 27TH STREET 6TH FLOOR NEW YORK NY 10001 135562204 501(C)(3) 14000 SUPPORT BOWERY RESIDENTS' COMMITTEE INC 131 WEST 25TH STREET NEW YORK NY 10001 132736659 501(C)(3) 15000 SUPPORT AMERICANS INSTITUTE OF ARCHITECTS 1735 NEW YORK AVE NW WASHINGTON DC 20006 530025930 501(C)(3) 5000 SUPPORT UNION SQUARE PARTNERSHIP 4 IRVING PLACE NO 751 NEW YORK NY 10003 133004730 501(C)(3) 13000 SUPPORT VILLAGE ALLIANCE 8 EAST 8TH STREET NEW YORK NY 10003 133743340 501(C)(3) 7500 SUPPORT NEW YORKER FOR PARKS 55 BROAD STREET 23RD FLOOR NEW YORK NY 10004 136167879 501(C)(3) 10000 SUPPORT UNIVERSITY SETTLEMENT 184 ELDRIDGE STREET NEW YORK NY 10002 135562374 501(C)(3) 5000 SUPPORT WASHINGTON SQUARE PARK CONSERVANCY WASHINGTON SQUARE PARK NEW YORK NY 10011 461406128 501(C)(3) 15000 SUPPORT BRIC ARTS MEDIA BROOKLYN INC 647 FULTON ST BROOKLYN NY 11217 112547268 501(C)(3) 7500 SUPPORT BROOKLYN BRIDGE PARK 334 FURMAN STREET BROOKLYN NY 10001 272846763 501(C)(3) 25000 SUPPORT BROOKLYN CHAMBER OF COMMERCE INC 335 ADAMS ST STE 2700 BROOKLYN NY 11201 110577070 501(C)(3) 7500 SUPPORT VILLAGECARE FOUNDATION 120 BROADWAY SUITE 2840 NEW YORK NY 10271 133471553 501(C)(3) 14000 SUPPORT DISABILITY PRIDE NYC 484 W 43RD ST APT 24S NEW YORK NY 10036 460740946 501(C)(3) 5000 SUPPORT DOWNTOWN BROOKLYN PARTNERSHIP 1 METRO TECH CENTER BROOKLYN NY 11201 205323707 501(C)(3) 10300 SUPPORT DUMBO DISTRICT MANAGEMENT 20 JAY ST STE 510 BROOKLYN NY 11201 200214837 501(C)(3) 15000 SUPPORT HEARTSHARE ST VINCENT'S 66 BOERUM PLACE BROOKLYN NY 11201 111631823 501(C)(3) 5000 SUPPORT HELP USA 115 E 13TH ST NEW YORK NY 10003 911922828 501(C)(3) 5000 SUPPORT ST ANN'S WAREHOUSE 45 WATER ST BROOKLYN NY 11201 112665242 501(C)(3) 5000 SUPPORT CITY AND STATE NY 61 BROADWAY SUITE 2235 NEW YORK NY 10006 462209305 501(C)(3) 22000 SUPPORT NORTHSIDE MEDIA INC 1 METRO TECH CENTER SUITE 1803 BROOKLYN NY 11201 275169711 25768 SUPPORT SMART WORLD PRODUCTIONS 120 EAST 23RD STREET 5TH FLOOR NEW YORK NY 10010 813670256 15000 SUPPORT 23 2 STUDENT FINANCIAL AID 20252 469565470 PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS IN THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. X X X X X 1 1 X X X X X X 1 1 0 1 0 0 0 1 0 ANDREW HAMILTON TRUSTEE & PRESIDENT 1368434 0 0 0 0 0 276500 0 172414 0 1817348 0 0 0 ROBERT BERNE EVP. FOR HEALTH 1464789 0 0 0 0 0 26500 0 15341 0 1506630 0 0 0 MARTIN DORPH EXECUTIVE VICE PRESIDENT 664284 0 0 0 97229 0 26500 0 21917 0 809930 0 0 0 TERRANCE NOLAN GEN.COUNSEL & SECR 650253 0 200000 0 0 0 26500 0 21917 0 898670 0 0 0 PIETRINA SCARAGLINO ASSOCIATE SECRETARY 360063 0 0 0 0 0 22219 0 1613 0 383895 0 0 0 KATHERINE FLEMING PROVOST (BEGIN: 9/1/16) 707255 0 0 0 106452 0 26500 0 137 0 840344 0 0 0 THOMAS J CAREW DEAN OF FAS 540768 0 0 0 0 0 26500 0 15341 0 582609 0 0 0 ANDREW BROTMAN SVP. & VICE DEAN 756816 756816 720000 720000 6806 6806 25333 25333 0 0 1508955 1508955 0 0 ROBERT GROSSMAN EX-OFFICIO, DEAN & CEO 1597215 1597215 1200000 1200000 39977 39977 1039432 1039432 2828 2828 3879452 3879452 0 0 STEPHANIE PIANKA CFO (BEGIN: 6/15/17) 362506 0 18218 0 0 0 26500 0 8213 0 415437 0 0 0 DEBRA LAMORTE SVP. FOR DEVELOPMENT (END:8/28/17) 638991 0 82375 0 0 0 26500 0 8213 0 756079 0 0 0 LINDA MILLS VC. GLOBAL PROGRAMS 668284 0 0 0 36000 0 26500 0 21917 0 752701 0 0 0 MARILYN MCMILLAN VP. FOR IT (END:10/12/16) 358282 0 0 0 0 0 26500 0 8844 0 393626 0 0 0 KATHLEEN JACOBS CHIEF INVESTMENT OFFICER 648882 0 650000 0 0 0 0 0 8801 0 1307683 0 0 0 SABRINA ELLIS VP OF HUMAN RESOURCES 267238 0 68000 0 0 0 26500 0 5588 0 367326 0 0 0 LINDA CHIARELLI VP OF CAPITAL PROJECTS AND FACILITIE 576701 0 0 0 0 0 0 0 12701 0 589402 0 0 0 ANTHONY K FREMPONG-BOADU DR. DIVISION OF SPINAL NEU 3241035 0 1261 0 816 0 50500 0 4347 0 3297959 0 0 0 JAMES A GRIFO MD PHD PROF. OF OBSTETRICS AND GY 1577977 0 774504 0 3606 0 50500 0 4347 0 2410934 0 0 0 JOHN BENDO VICE CHAIR CLINICAL AFFAIR 3144123 0 242053 0 952 0 31539 0 6897 0 3425564 0 0 0 RONNIE HERSHMAN CLINICAL INSTRUCTOR DEPART 3791379 0 0 0 2485 0 26500 0 6897 0 3827261 0 0 0 JOHN G GOLFINOS NEUROSURGERY 2607596 0 213682 0 2269 0 50500 0 6897 0 2880944 0 0 0 JOHN E SEXTON FORMER PRESIDENT 546627 0 0 0 175461 0 26500 0 8213 0 756801 0 0 0 DAVID W MCLAUGHLIN FORMER PROVOST 618265 0 0 0 25000 0 26500 0 15341 0 685106 0 0 0 BONNIE BRIER FORMER GEN.COUNSEL & SECR 611371 0 0 0 0 0 26500 0 14063 0 651934 0 0 0 ALISON LEARY FORMER EVP. OPERATIONS 202049 0 0 0 1212770 0 20332 0 2690 0 1437841 0 0 0 PART I, LINE 1A ONE FORMER OFFICER TRAVELED FIRST CLASS FOR BUSINESS TRAVEL WHICH WAS DETERMINED TO BE AN ORDINARY AND NECESSARY BUSINESS EXPENSE AND THEREFORE NOT TREATED AS TAXABLE INCOME. THE SPOUSE OF ONE OFFICER ON OCCASION ACCOMPANIED THE OFFICER ON UNIVERSITY BUSINESS. THE PRIMARY PURPOSE OF THE TRAVEL WAS TO CONDUCT UNIVERSITY BUSINESS INCLUDING SUPPORTING UNIVERSITY RELATIONS, CULTIVATING DONORS FOR THE PURPOSE OF LOCAL, NATIONAL, AND INTERNATIONAL FUNDRAISING, ASSISTING WITH OFFICIAL EVENTS FOR FACULTY, TRUSTEES, DONORS, ALUMNI, COMMUNITY AND REPRESENTING THE UNIVERSITY AT OFFICIAL FUNCTIONS. UNDER APPLICABLE RULES, THE COST OF THE TRAVEL WAS NOT REQUIRED TO BE REPORTED AS TAXABLE COMPENSATION TO THE OFFICER. ONE OFFICER RECEIVED UNIVERSITY HOUSING WITHOUT CHARGE. THE HOUSING QUALIFIED FOR EXCLUSION FROM TAX UNDER IRC 119. ONE KEY EMPLOYEE HAD A CAR AND DRIVER AVAILABLE FOR USE, AND INCOME WAS IMPUTED ON THE PERSONAL USE OF THE VEHICLE AND DRIVER. ONE FORMER OFFICER RECEIVED A TAX GROSS-UP PAYMENT WHICH WAS INCLUDED IN THE FORMER OFFICER'S TAXABLE INCOME. PART I, LINES 4A-B PRESIDENT EMERITUS SEXTON RECEIVED CERTAIN RETIREMENT PAYMENTS (THE "SERP ANNUAL PAYMENTS") REDUCED BY RETIREMENT PAYMENTS OTHERWISE OWED TO DR. SEXTON AND TAX PAYMENTS MADE ON HIS BEHALF THAT HAVE BEEN PREVIOUSLY DISCLOSED. THE SERP ANNUAL PAYMENTS REDUCED PRESIDENT SEXTON'S SALARY DURING HIS SABBATICAL YEAR. PRESIDENT HAMILTON SHALL RECEIVE A PAYMENT OF TWO HUNDRED FIFTY THOUSAND DOLLARS IN DEFERRED COMPENSATION FOR EVERY YEAR OF COMPLETED SERVICE AS PRESIDENT SHOULD HE SERVE THE ENTIRE FIVE YEAR TERM. EACH ANNUAL INSTALLMENT SHALL BE CREDITED WITH EARNINGS AT A RATE AGREED UPON BETWEEN DR. HAMILTON AND THE UNIVERSITY. ROBERT GROSSMAN, MD - DEAN OF NYU SCHOOL OF MEDICINE- PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN (SERP) DURING CALENDAR YEAR 2016. THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $2,052,365 FOR CALENDAR YEAR 2016. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYU LANGONE HOSPITALS AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL SERP CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN. FORMER KEY EMPLOYEE, ALISON LEARY, RECEIVED A SEVERANCE PAYMENT OF $1,203,200. PART I, LINE 5 FOUR OF THE HIGHEST PAID EMPLOYEES RECEIVED COMPENSATION OVER A BASE SALARY BASED ON THE SURPLUS OF REVENUE AFTER EXPENSES FOR THE FACULTY GROUP PRACTICE. PART I, LINE 7 TWO KEY EMPLOYEES RECEIVED COMPENSATION OVER BASE SALARY INCLUDING THE BONUS DETERMINED BY THE ORGANIZATION'S COMPENSATION COMMITTEE, DETERMINED AS REASONABLE. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907X80) 146000293 649907X80 2008-07-18 616076776 SEE SUPPLEMENTAL INFORMATION 1 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905VF0) 146000293 649905VF0 2009-12-10 419957678 SEE SUPPLEMENTAL INFORMATION 1 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905WC6) 146000293 649905WC6 2009-12-10 65343341 SEE SUPPLEMENTAL INFORMATION 1 0 0 D DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906TN4) 146000293 649906TN4 2012-04-26 232921461 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 50775000 515235000 618722218 28000894 98525000 3966386 484039615 4190323 2009 1 0 1 1 B 27300000 364875000 420557786 2518568 414446546 3389082 2014 0 0 1 1 C 64260000 65339488 64400000 402576 536913 2009 1 0 1 1 D 29560000 232923301 183180000 46144013 1731608 1885776 2015 1 0 1 1 A 0 1 1 1 1 1 0.01970 0.01540 0.03510 0 1 0.00100 1 1 B 0 1 1 1 1 1 0.00010 0.00110 0.00120 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 1 1 1 1 1 0.00390 0.00000 0.00390 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 1 1 C 0 0 0 1 0 0 0 0 1 D 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907X8 DATE THE REBATE COMPUTATION WAS PERFORMED: 06/30/2016 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905VF DATE THE REBATE COMPUTATION WAS PERFORMED: 12/31/2014 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649905WC DATE THE REBATE COMPUTATION WAS PERFORMED: 06/30/2016 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906TN DATE THE REBATE COMPUTATION WAS PERFORMED: 10/31/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906VS DATE THE REBATE COMPUTATION WAS PERFORMED: 11/30/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907WP DATE THE REBATE COMPUTATION WAS PERFORMED: 10/08/2013 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 00000000 DATE THE REBATE COMPUTATION WAS PERFORMED: 10/28/2014 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990BFE DATE THE REBATE COMPUTATION WAS PERFORMED: 04/22/2015 ALL BONDS: SCHEDULE K, PART II, LINE 6 REFLECTS ORIGINAL REFUNDING BOND PROCEEDS DEPOSITED IN REFUNDING ESCROWS. ESCROW BALANCE MAY BE LOWER AT PRESENT AS BONDS WERE CALLED/DEFEASED. ALL BONDS: SCHEDULE K, PART III, LINE 6: SUBTOTAL OF LINE 4 AND LINE 5 MAY NOT FOOT DUE TO ROUNDING. SCHEDULE K, PART III LINE 8A-C, BOND GROUP #1, BOND (A), DASNY (CUSIP# 649907X80): NEW YORK UNIVERSITY HAS PARTICIPATED IN THE VOLUNTARY CLOSING AGREEMENT PROGRAM WITH RESPECT TO THE SERIES 2008 BONDS. THE CLOSING AGREEMENT WAS COMPLETED AS OF 10/27/2014. SCHEDULE K, PART II, LINE 13: YEAR OF SUBSTANTIAL COMPLETION REFERS TO THE CALENDAR YEAR. SCHEDULE K, PART I (F), DESCRIPTION OF PURPOSE: BOND SET #1 - NYU BOND (A) DASNY ( CUSIP # 649907X80) TO: (I) PAY THE COSTS OF THE SERIES 2008 PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO THE PROJECTS AT VARIOUS LOCATIONS OF THE UNIVERSITY CAMPUS; (II) PAY CAPITALIZED INTEREST AND CAPITALIZED BROKER DEALER FEES ON THE SERIES 2008 BONDS; (III) REPAY A LINE OF CREDIT USED TO CURRENT REFUND THE DASNY SERIES 2004B1 & 2004B2 BONDS, ISSUED ON 09/09/2004; AND (IV) PAY COSTS OF ISSUANCE OF THE SERIES 2008 BONDS. BOND (B) DASNY ( CUSIP # 649905VF0) TO: (I) PAY THE COSTS OF THE SERIES 2009A PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO THE PROJECTS AT VARIOUS LOCATIONS OF THE UNIVERSITY CAMPUS; AND (II) PAY COSTS OF ISSUANCE OF THE SERIES 2009A BONDS. BOND (C) DASNY ( CUSIP #649905WC6) TO: (I) REPAY A LINE OF CREDIT USED TO REPAY TAXABLE INDEBTEDNESS INCURRED IN CONNECTION WITH A FACILITY FOR THE SCHOOL OF MEDICINE; AND (II) TO PAY THE COSTS OF ISSUANCE OF THE SERIES 2009B BONDS. BOND (D) DASNY (CUSIP# 649906TN4) TO: (I) PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF COSTS OF THE SERIES 2012A PROJECT WHICH CONSISTS OF RENOVATION, FURNISHING AND EQUIPPING OF AN ACADEMIC BUILDING TO BE USED BY THE NYU SCHOOL OF LAW AND THE ACQUISITION, RENOVATION, FURNISHING AND EQUIPPING OF A CONDOMINIUM UNIT TO BE USED FOR ADMINISTRATIVE OFFICES; (II) REFUND OR REIMBURSE THE UNIVERSITY FOR THE REFUNDING OF ALL OR A PORTION OF THE NEW YORK CITY INDUSTRIAL DEVELOPMENT AGENCY CIVIC FACILITY REVENUE BONDS, SERIES 2001 AND THE DASNY NEW YORK UNIVERSITY INSURED REVENUE BONDS, 2001 SERIES 2; AND (III) TO REPAY A LINE OF CREDIT USED TO PAY THE DASNY INSURED REVENUE BONDS, SERIES 2003B. BOND SET #2: BOND (A) DASNY ( CUSIP # 649906VS0) TO PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF, COSTS OF THE SERIES 2012 PROJECT WHICH CONSISTS OF THE ACQUISITION, CONSTRUCTION, FURNISHING AND EQUIPPING OF THE UNIVERSITY'S PORTION OF A BUILDING LOCATED ON CAMPUS. BOND (B) DASNY ( CUSIP #649907WP3) TO FINANCE OR REFINANCE THE COST OF THE ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2013A PROJECT WHICH INCLUDES MULTIPLE FACILITIES ON CAMPUS. BOND (C) DASNY (NO CUSIP - PRIVATE PLACEMENT, SERIES 2014A) TO REFUND THE DASNY INSURED REVENUE BONDS, SERIES 2004A. BOND (D) DASNY (CUSIP# 64990BFE8) TO (I) TO REFUND A PORTION OF THE DASNY SERIES 2007A, SERIES 2008A, SERIES 2008B AND SERIES 2008C BONDS; AND (II) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2015A PROJECT, WHICH COVERS MULTIPLE FACILITIES ON CAMPUS. BOND SET #3 BOND (A) DASNY (CUSIP# 64990CEC1) TO (I) FINANCE OR REFINANCE THE COST OF ACQUISITION, CONSTRUCTION, RECONSTRUCTION, RENOVATION, REPAIR, FURNISHING AND EQUIPPING OF THE SERIES 2016 PROJECT, INCLUDING CAPITALIZED INTEREST THEREON AND (II) TO PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2016 BONDS. BOND (B) DASNY (CUSIP# 64990CC90) TO (I) FINANCE OR REFINANCE THE COST OF THE SERIES 2017 PROJECT (II) TO REFUND A PORTION OF THE DASNY REVENUE BONDS SERIES 2009A, 2009B, AND NYC IDA CIVIC FACILITY REFUNDING REVENUE BONDS (2007 POLYTECHNIC UNIVERSITY PROJECT) AND (III) TO PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2017A BONDS. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649906VS0) 146000293 649906VS0 2012-05-17 61224691 SEE SUPPLEMENTAL INFORMATION 0 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 649907WP3) 146000293 649907WP3 2013-10-08 135927356 SEE SUPPLEMENTAL INFORMATION 0 0 0 C DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 000000000) 146000293 000000000 2014-10-28 55000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 D DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990BFE8) 146000293 64990BFE8 2015-04-22 785388019 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 61226336 60767589 458747 2013 0 0 1 1 B 7940000 135965086 135963320 1767 2015 0 0 1 1 C 750000 55000000 55000000 2014 1 0 1 1 D 3960000 785388034 680315991 105060855 11188 2015 1 1 0 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00030 0.00440 0.00470 0 0 1 C 0 1 1 1 1 1 0.00000 0.00060 0.00060 0 0 1 D 0 1 1 1 1 1 0.00000 0.00080 0.00080 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 D 1 A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990CEC1) 146000293 64990CEC1 2016-06-14 687667333 SEE SUPPLEMENTAL INFORMATION 0 0 0 B DORMITORY AUTHORITY OF THE STATE OF NEW YORK (CUSIP # 64990CC90) 146000293 64990CC90 2017-05-17 522276122 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 689950527 561129839 128820688 2016 1 0 0 1 B 522276122 368455700 5381 153815041 2017 1 1 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00010 0.00060 0.00070 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 A 1 B 1 MARTIN DORPH OFFICER MORTGAGE X 200000 20000 0 1 1 ANDREW BROTMAN EMPLOYEE MORTGAGE X 100000 100000 0 1 1 120000 JOHN SAUNDERS SON IN LAW TRUSTEE B. BERKLEY 389908 EMPLOYEE 0 HARVEY DALE SPOUSE KEY EMP D. LAMORTE 224106 EMPLOYEE 0 R SALK DAUGHTER IN LAW OFFICER R. BERNE 85942 EMPLOYEE 0 DR MARCI LEVINE SISTER TRUSTEE B. LEVINE 244447 EMPLOYEE 0 KATHERINE DORPH DAUGHTER OFF. MARTIN DORPH 45607 EMPLOYEE 0 L CHIARELLI SPOUSE KEY EMP L CHIARELLI 146014 EMPLOYEE 0 ZVI BEN DOR HUSBAND OFF. K. FLEMING 345391 EMPLOYEE 0 ELISABETH COHEN SPOUSE KEY EMP R. GROSSMAN 382785 EMPLOYEE 0 LAURIE BROTMAN SPOUSE KEY EMP A. BROTMAN 382200 EMPLOYEE 0 MAURA HOFSTADTER DTR KEY EMP T. CAREW 155000 EMPLOYEE 0 MARGARET HOFSTADTER GRANDDAUGHTER KEY EMP T. CAREW 42505 EMPLOYEE 0 OGDEN CAP PROPERTIES LLC (CONTROLLED CORP) TRUSTEE C. MILSTEIN 2801746 LEASE SPACE 0 32 SIXTH AVENUE COMPANY LLC (CONTROLLED CORP) TRUSTEE W. RUDIN 1653180 LEASE SPACE 0 MSC INDUSTRIAL DIRECT CO INC (CONTROLLED CORP) TRUSTEE M. JACOBSON 130899 SUPPLIES 0 X 18 88506 SEE SCHEDULE O X 77783 SEE SCHEDULE O X 479684 SEE SCHEDULE O X 488 51288163 SEE SCHEDULE O X 3 27066100 SEE SCHEDULE O X 1412 10985 SEE SCHEDULE O X 13874 624814 SEE SCHEDULE O X THEATER TKTS 1 3591 SEE SCHEDULE O X EVENT PASSES 12 2724 SEE SCHEDULE O X PERS PAPERS 1 1500 SEE SCHEDULE O X OTHER MISC. 763 6 SEE SCHEDULE O 4 0 1 0 FORM 990, PART VI, SECTION A, LINE 2 1) LARRY SILVERSTEIN (TRUSTEE) AND LISA SILVERSTEIN (TRUSTEE) HAD A FAMILY RELATIONSHIP DURING THE YEAR ENDED AUGUST 31, 2017. FORM 990, PART VI, SECTION A, LINE 6 THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7A THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION A, LINE 7B THE VOTING TRUSTEES ARE MEMBERS OF THE UNIVERSITY WHO HAVE THE POWER TO APPOINT ONE OR MORE MEMBERS OF THE GOVERNING BODY AND CERTAIN OTHER POWERS PURSUANT TO NY LAW. FORM 990, PART VI, SECTION B, LINE 11B THE FOLLOWING STEPS WERE TAKEN TO REVIEW THIS IRS FORM 990: 1. THE FORM 990 WAS REVIEWED AND APPROVED BY THE UNIVERSITY CONTROLLER. 2. THE FORM 990 WAS THEN REVIEWED AND APPROVED BY THE UNIVERSITY'S CHIEF FINANCIAL OFFICER AND OFFICE OF GENERAL COUNSEL. 3. THE FORM 990 WAS THEN PRESENTED TO THE UNIVERSITY'S AUDIT AND COMPLIANCE COMMITTEE FOR REVIEW. 4. THE FORM 990 WAS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES FOR REVIEW. 5. THE COMPENSATION COMMITTEE OF BOARD OF TRUSTEES REVIEWED THE COMPENSATION SECTIONS OF THE FORM 990. 6. FOLLOWING THE REVIEW PERIOD, THE FORM 990 WAS ELECTRONICALLY FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C THE OFFICE OF GENERAL COUNSEL ANNUALLY SENDS OUT CONFLICT OF INTEREST QUESTIONNAIRES TO OFFICERS, TRUSTEES AND KEY EMPLOYEES, REVIEWS COMPLETED QUESTIONNAIRES AND CONSULTS WITH THOSE COMPLETING FORMS AS APPROPRIATE. IN ADDITION, QUESTIONS ARISE PERIODICALLY THROUGHOUT THE YEAR AND ARE HANDLED BY THE OFFICE OF GENERAL COUNSEL AS APPROPRIATE. FORM 990, PART VI, SECTION B, LINE 15 THE PROPOSED COMPENSATION OF OFFICERS, TRUSTEES, KEY EMPLOYEES, DISQUALIFIED PERSONS AND CERTAIN OTHERS (EXCEPT THE PRESIDENT) IS REVIEWED ANNUALLY BY AN OUTSIDE CONSULTING FIRM AND THAT FIRM'S ANALYSIS IS PRESENTED TO THE COMPENSATION COMMITTEE OF THE BOARD FOR ITS REVIEW AND APPROVAL. WHEN IT IS PROPOSED TO CHANGE THE COMPENSATION OF THE PRESIDENT, THE BOARD CHAIRMAN ENGAGES A COMPENSATION CONSULTANT TO PREPARE A CUSTOM SURVEY FOR CONSIDERATION BY THE COMPENSATION COMMITTEE OF THE BOARD, WHICH THEN SETS HIS COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE ON ITS WEBSITE (WWW.NYU.EDU). PART XII, LINE 2C THE AUDIT AND COMPLIANCE COMMITTEE OF THE BOARD OF TRUSTEES HAS RESPONSIBILITY FOR OVERSIGHT OF NYU'S FINANCIAL STATEMENT AUDIT AND SELECTION OF ITS INDEPENDENT AUDITOR. THERE HAS BEEN NO CHANGE IN PROCESS SINCE PRIOR YEAR. FORM 990 PART III, LINE 1 - (CONTINUED FROM PAGE 2) NYU IS RECOGNIZED BOTH NATIONALLY AND INTERNATIONALLY AS A LEADER IN SCHOLARSHIP AND IS A MEMBER OF THE DISTINGUISHED ASSOCIATION OF AMERICAN UNIVERSITIES. THE UNIVERSITY'S SCHOOLS AND INSTITUTES, EACH WITH ITS OWN TRADITIONS, PROGRAMS AND FACULTY, ARE (IN ORDER OF FOUNDING DATE): COLLEGE OF ARTS AND SCIENCE, SCHOOL OF LAW, SCHOOL OF MEDICINE, COLLEGE OF DENTISTRY, GRADUATE SCHOOL OF ARTS AND SCIENCE, STEINHARDT SCHOOL OF CULTURE EDUCATION AND HUMAN DEVELOPMENT, LEONARD N. STERN SCHOOL OF BUSINESS, COURANT INSTITUTE OF MATHEMATICAL SCIENCES, SCHOOL OF CONTINUING AND PROFESSIONAL STUDIES, INSTITUTE OF FINE ARTS, ROBERT F.WAGNER GRADUATE SCHOOL OF PUBLIC SERVICE, POST-GRADUATE MEDICAL SCHOOL, SILVER SCHOOL OF SOCIAL WORK, TISCH SCHOOL OF THE ARTS, GALLATIN SCHOOL OF INDIVIDUALIZED STUDY, RORY MEYERS COLLEGE OF NURSING, THE INSTITUTE FOR THE STUDY OF THE ANCIENT WORLD, AND THE TANDON SCHOOL OF ENGINEERING. IN ADDITION, AS PART OF ITS UNRIVALED GLOBAL NETWORK OF ACADEMIC SITES AND RESEARCH PROGRAMS IN OTHER PARTS OF THE U.S. AND ABROAD, NYU OPERATES DEGREE-GRANTING RESEARCH UNIVERSITY CAMPUSES WITH SELECTIVE UNDERGRADUATE LIBERAL ARTS AND SCIENCES COLLEGES IN ABU DHABI - NYU ABU DHABI, AND IN CHINA - NYU SHANGHAI. SCHEDULE M-PART I COLUMN (D) THE VALUATION RECORDED IN THE UNIVERSITY'S FUNDRAISING SYSTEM IS USUALLY BASED UP ON THE PROFESSIONAL APPRAISAL SUBMITTED WITH THE GIFT. IN THE EVENT THERE IS NO APPRAISAL AND VALUATION CANNOT BE DETERMINED, A NOMINAL VALUE OF $2 IS RECORDED. INSTITUTE OF FINE ARTS FOUNDATION 1 EAST 78TH STREET NEW YORK NY 10021 237184242 SUPPORT NYU'S INSTITUTE OF FINE ARTS NY 501(C)(3) LINE 12A, I NEW YORK UNIVERSITY 1 NATIONAL CENTER ON PHILANTHROPY AND THE LAW 139 MACDOUGAL STREET 1ST FLOOR NEW YORK NY 10012 133954405 STUDY, RESEARCH, EDUCATION ON PHILANTHROPY & THE LAW NY 501(C)(3) LINE 12A, I NYU SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF BUSINESS FOUNDATION INC C/O KAUFMAN MGMT CENTER-44 WEST 4TH NEW YORK NY 10022 134168015 SUPPORT NYU'S L.N. 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