2018-05-15T11:14:14-05:00 2017-06-30 990 2016-07-01 060646973 YALE UNIVERSITY YALE 2034325530 PO BOX 208239 NEW HAVEN CT 065208239 STEPHEN C MURPHY VP FOR FINANCE AND CFO 2034321096 2018-05-14 2016 2022-09-23 18:48:47Z PETER SALOVEY PO BOX 208229 NEW HAVEN CT 065208229 9590272884 0 X WWW.YALE.EDU X 1701 CT TO IMPROVE THE WORLD THROUGH RESEARCH, SCHOLARSHIP, EDUCATION, PRESERVATION, AND PRACTICE 19 16 28878 7900 14933287 -14766906 963188552 1080694163 1713524959 1820888362 2066923157 1715889875 64361062 60858413 4807997730 4678330813 436769273 446194189 0 0 2150120155 2246191009 0 0 48730767 1094719066 1211513422 3681608494 3903898620 1126389236 774432193 34103002387 36620475385 8312039229 8327225538 25790963158 28293249847 X SEE SCHEDULE O 0 0 1750729274 3905729 1541828680 INSTRUCTION: THE PROGRAM SERVICE COSTS INCLUDE SALARIES, FRINGE BENEFITS AND SUPPLIES OF TEACHING APPROXIMATELY 12,500 STUDENTS INCLUDING 5,446 UNDERGRADUATES, 2,890 GRADUATE STUDENTS AND 4,096 PROFESSIONAL SCHOOL STUDENTS. A FACULTY OF MORE THAN 4,400 TEACH AND ADMINISTER PROGRAMS ACROSS A RANGE OF DISCIPLINES IN THE SCIENCES AND ENGINEERING, THE SOCIAL SCIENCES, THE HUMANITIES, AND THE VARIOUS LEARNED PROFESSIONS. MORE THAN 80 MAJORS ARE AVAILABLE IN THE UNDERGRADUATE COLLEGE AND MORE THAN 35 DIFFERENT DEGREE PROGRAMS ARE OFFERED BY THE UNIVERSITY. - CONTINUED ON SCHEDULE O. 564774000 60511885 92812053 RESEARCH: THE UNIVERSITY ENGAGES IN EXTENSIVE RESEARCH IN MEDICINE, SCIENCE, ENGINEERING, THE ARTS, SOCIAL SCIENCES, AND HUMANITIES. YALE IS RENOWNED FOR BOTH DISCOVERY AND TEACHING; THE UNIVERSITY'S RESEARCH ACTIVITIES ARE AIMED AT THE ADVANCEMENT OF KNOWLEDGE AS WELL AS TRAINING STUDENTS IN THE RESEARCH PROCESS. AS INTEGRAL PARTS OF A UNIFIED, INNOVATIVE, AND ACCESSIBLE STUDENT-CENTERED RESEARCH UNIVERSITY, YALE'S LABS AND CLASSROOMS ARE TURNING OUT GROUNDBREAKING MEDICAL AND SCIENTIFIC DISCOVERIES AND THE NEXT GENERATION OF INNOVATORS IN MORE THAN 20 AREAS OF RESEARCH EXCELLENCE. - CONTINUED ON SCHEDULE O. 693603919 377890785 81442563 STUDENT FINANCIAL AID AND SERVICES: YALE COLLEGE ADMITS STUDENTS FOR THEIR ACADEMIC AND PERSONAL PROMISE WITHOUT REGARD TO THEIR ABILITY TO PAY. YALE IS COMMITTED TO A NEED-BLIND ADMISSIONS POLICY AND MEETS 100% OF DEMONSTRATED NEED FOR ALL STUDENTS REGARDLESS OF CITIZENSHIP. BY COMMITTING TO AN ADMISSIONS POLICY THAT DOES NOT CONSIDER A STUDENT'S ABILITY TO PAY, AND BY MEETING THE FULL FINANCIAL NEED OF ALL ADMITTED STUDENTS (WITH NO LOANS REQUIRED), YALE ENSURES THAT IT IS ACCESSIBLE TO THE MOST TALENTED STUDENTS FROM AROUND THE WORLD, REGARDLESS OF THEIR FAMILY'S INCOME. WITH THIS POLICY, YALE STRIVES TO CREATE A LEARNING ENVIRONMENT THAT INCORPORATES THE WIDEST POSSIBLE RANGE OF STUDENT BACKGROUNDS. - CONTINUED ON SCHEDULE O. 444239225 3885790 120089815 444239225 3885790 120089815 3453346418 1 1 0 1 0 1 0 1 1 1 1 1 0 0 1 0 0 1 1 1 1 1 1 0 1 0 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 1 0 0 1 1 1 1 0 0 1 X 27798 0 1 28878 1 1 1 1 CA CJ CH HK IN EI JE LU MP MJ NL PL SN SZ UK IM ET IC 0 0 0 1 1 1 1 0 0 1 0 0 0 0 X 19 16 1 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 X STEPHEN C MURPHY VP FOR FINANCE A 2034364488 25 SCIENCE PARK 150 MUNSON STREET NEW HAVEN CT 06511 X PETER SALOVEY TRUSTEE & PRESIDENT 50.00 2.20 X X 1233462 0 245646 JOSHUA BEKENSTEIN TRUSTEE 5.00 0.00 X 0 0 0 JEFFREY L BEWKES TRUSTEE 5.00 0.00 X 0 0 0 MAUREEN C CHIQUET TRUSTEE 5.00 0.00 X 0 0 0 PETER B DERVAN TRUSTEE 5.00 0.00 X 0 0 0 DONNA L DUBINSKY TRUSTEE 5.00 0.00 X 0 0 0 CHARLES W GOODYEAR IV TRUSTEE 5.00 0.00 X 0 0 0 CATHARINE B HILL TRUSTEE 5.00 0.00 X 0 0 0 PAUL L JOSKOW TRUSTEE 5.00 0.00 X 0 0 0 WILLIAM E KENNARD TRUSTEE 5.00 0.00 X 0 0 0 DANNEL P MALLOY TRUSTEE (EX-OFFICIO) 0.00 0.00 X 0 0 0 GINA M RAIMONDO TRUSTEE 5.00 0.00 X 0 0 0 E JOHN RICE JR TRUSTEE 5.00 0.00 X 0 0 0 EVE H RICE TRUSTEE 5.00 0.50 X 0 0 0 KEVIN P RYAN TRUSTEE 5.00 0.00 X 0 0 0 ANNETTE THOMAS TRUSTEE 5.00 0.00 X 0 0 0 DOUGLAS A WARNER III TRUSTEE 5.00 0.00 X 0 0 0 NANCY WYMAN TRUSTEE (EX-OFFICIO) 0.00 0.00 X 0 0 0 LEI ZHANG TRUSTEE 5.00 0.00 X 0 0 0 BRUCE D ALEXANDER VP FOR NEW HAVEN & STATE AFFAIRS 50.00 0.00 X 586121 0 31473 JACK F CALLAHAN JR SR VP FOR OPERATIONS 50.00 0.00 X 302504 0 24998 ALEXANDER E DREIER SR VP FOR INSTITUTIONAL AFFAIRS 50.00 0.00 X 594745 0 56741 KIMBERLY M GOFF-CREWS SECRETARY & VP FOR STUDENT LIFE 50.00 1.00 X 408756 0 32357 STEPHEN C MURPHY VP FOR FINANCE & CFO 50.00 3.20 X 420559 0 56235 EILEEN O'CONNOR VP FOR COMMUNICATIONS 50.00 0.50 X 343341 0 63026 JOAN E O'NEILL VP FOR ALUMNI AFFAIRS & DEVELOPMENT 50.00 0.40 X 507874 0 51708 MICHAEL A PEEL VP FOR HR & ADMINISTRATION 50.00 0.00 X 615584 0 46966 BENJAMIN POLAK PROVOST 50.00 0.20 X 624957 0 17065 SCOTT A STROBEL VP FOR WEST CAMPUS PLANNING 50.00 0.00 X 470098 0 43314 ROBERT J ALPERN DEAN, SCHOOL OF MEDICINE 50.00 0.00 X 910018 0 19504 JOHN H BOLLIER AVP FOR FACILITIES 50.00 0.00 X 400263 0 47323 DAVID F SWENSEN CHIEF INVESTMENT OFFICER 50.00 3.60 X 4402639 0 280743 DEAN J TAKAHASHI SR DIRECTOR, INVESTMENTS 50.00 2.00 X 3269513 0 221605 KHALID M ABBED CHIEF, NEUROSURGERY SPINE 50.00 0.00 X 1381035 0 66123 UMER M DARR ASSISTANT PROFESSOR OF SURGERY 50.00 0.00 X 1223159 0 54246 ALAN FORMAN DIRECTOR, INVESTMENTS 50.00 0.00 X 1196531 0 459077 MURAT GUNEL CHAIR, NEUROSURGERY 50.00 0.00 X 1176700 0 51946 TIMOTHY R SULLIVAN DIRECTOR, INVESTMENTS 50.00 0.00 X 1361507 0 484197 LINDA K LORIMER FORMER VP FOR GLOBAL & STRAT. 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COLLECTIONS FOOTNOTE: COLLECTIONS AT YALE INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES, AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S MUSEUMS AND LIBRARIES. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE. COLLECTIONS ARE NOT CAPITALIZED; PURCHASES OF COLLECTION ITEMS ARE RECORDED AS OPERATING EXPENSES IN THE UNIVERSITY'S CONSOLIDATED STATEMENT OF ACTIVITIES IN THE PERIOD IN WHICH THE ITEMS ARE ACQUIRED. PART III, LINE 4: YALE UNIVERSITY COLLECTIONS ARE AN INTEGRAL PART OF TEACHING AND LEARNING ACROSS THE UNIVERSITY AND INCLUDE THE YALE UNIVERSITY ART GALLERY, THE YALE CENTER FOR BRITISH ART, THE PEABODY MUSEUM OF NATURAL HISTORY, AND THE COLLECTION OF MUSICAL INSTRUMENTS. ALL THE COLLECTIONS ARE OPEN TO THE PUBLIC. THE YALE UNIVERSITY ART GALLERY: THE YALE UNIVERSITY ART GALLERY, FOUNDED IN 1832, IS THE OLDEST U.S. COLLEGE ART MUSEUM. THE GALLERY HOUSES MORE THAN 200,000 OBJECTS REPRESENTING EASTERN AND WESTERN CULTURES AND RANGING IN DATE FROM ANCIENT TIMES TO THE PRESENT DAY. THE COLLECTION INCLUDES ANCIENT ART, ASIAN ART, AFRICAN ART, PHOTOGRAPHS, NUMISMATICS, WORKS OF EUROPEAN AND AMERICAN MASTERS FROM VIRTUALLY EVERY PERIOD, AND A RICH COLLECTION OF MODERN AND CONTEMPORARY ART. THE MISSION OF THE YALE UNIVERSITY ART GALLERY IS TO ENCOURAGE APPRECIATION AND UNDERSTANDING OF ART AND ITS ROLE IN SOCIETY THROUGH DIRECT ENGAGEMENT WITH ORIGINAL WORKS OF ART. THE GALLERY STIMULATES ACTIVE LEARNING ABOUT ART AND THE CREATIVE PROCESS THROUGH RESEARCH, TEACHING, AND DIALOGUE AMONG COMMUNITIES OF YALE STUDENTS, FACULTY, ARTISTS, SCHOLARS, ALUMNI, AND THE WIDER PUBLIC. THE GALLERY ORGANIZES EXHIBITIONS AND EDUCATIONAL PROGRAMS TO OFFER ENJOYMENT AND ENCOURAGE INQUIRY, WHILE BUILDING AND MAINTAINING ITS COLLECTIONS IN TRUST FOR FUTURE GENERATIONS. THE YALE CENTER FOR BRITISH ART: THE YALE CENTER FOR BRITISH ART IS A PUBLIC ART MUSEUM AND RESEARCH INSTITUTE FOR THE STUDY OF BRITISH ART AND CULTURE. THE YALE CENTER FOR BRITISH ART, WHICH OPENED IN 1977, HOUSES THE LARGEST AND MOST COMPREHENSIVE COLLECTION OF BRITISH ART OUTSIDE THE UNITED KINGDOM. THE COLLECTION OF PAINTINGS, SCULPTURE, PRINTS, DRAWINGS, RARE BOOKS, AND MANUSCRIPTS REFLECTS THE DEVELOPMENT OF BRITISH ART AND CULTURE FROM THE ELIZABETHAN PERIOD ONWARD. THE CENTER OFFERS A YEAR-ROUND SCHEDULE OF EXHIBITIONS AND PROGRAMS, INCLUDING LECTURES, CONFERENCES, FILMS, CONCERTS, AND PERFORMANCES. THE YALE CENTER FOR BRITISH ART OVERSEES AN ACTIVE RESEARCH PROGRAM THROUGH WHICH IT PROMOTES AND FOSTERS THE SCHOLARSHIP OF ALL ASPECTS OF BRITISH ART AND MATERIAL CULTURE. ACADEMIC RESOURCES OF THE CENTER INCLUDE THE REFERENCE LIBRARY AND ARCHIVES, CONSERVATION LABORATORIES, A STUDY ROOM FOR EXAMINING WORKS ON PAPER AS WELL AS RARE BOOKS AND MANUSCRIPTS FROM THE COLLECTION, AND AN ONLINE CATALOGUE OF THE COLLECTIONS. PEABODY MUSEUM: YALE'S PEABODY MUSEUM OF NATURAL HISTORY, FOUNDED IN 1866, IS ONE OF THE OLDEST AND LARGEST UNIVERSITY-BASED NATURAL HISTORY MUSEUMS WITH WORLDWIDE ACCLAIM FOR ITS DINOSAUR SKELETONS, MAMMAL DISPLAYS, AND NATURAL HISTORY COLLECTIONS. THE PEABODY MUSEUM HOUSES MORE THAN 13 MILLION SPECIMENS AND ARTIFACTS REPRESENTING MORE THAN 4 BILLION YEARS OF GEOLOGICAL, BIOLOGICAL, AND HUMAN HISTORY. THESE COLLECTIONS ARE AT THE HEART OF UNIVERSITY TEACHING AND ARE A RESOURCE FOR SCHOLARS AT YALE AND AROUND THE WORLD. MUSEUMS AND THE EXPERTISE THAT SURROUNDS THEM ARE VIBRANT ELEMENTS OF YALE'S CULTURE OF SCHOLARSHIP AND TEACHING. THE PEABODY IS A WORKING MUSEUM, WHERE PUBLIC EXHIBITION, RESEARCH, CONSERVATION, TEACHING, AND LEARNING INTERSECT. ITS MISSION IS TO SERVE THE UNIVERSITY BY ADVANCING THE UNDERSTANDING OF EARTH'S HISTORY THROUGH GEOLOGICAL, BIOLOGICAL, AND ANTHROPOLOGICAL RESEARCH, AND BY COMMUNICATING THE RESULTS OF THIS RESEARCH TO THE WIDEST POSSIBLE AUDIENCE THROUGH PUBLICATION, EXHIBITION, AND EDUCATIONAL PROGRAMS. FUNDAMENTAL TO THIS MISSION IS STEWARDSHIP OF THE MUSEUM'S RICH COLLECTIONS, WHICH PROVIDE A REMARKABLE RECORD OF THE HISTORY OF THE EARTH, ITS LIFE, AND ITS CULTURES. CONSERVATION, AUGMENTATION AND USE OF THESE COLLECTIONS BECOME INCREASINGLY URGENT AS MODERN THREATS TO THE DIVERSITY OF LIFE AND CULTURE CONTINUE TO INTENSIFY. THE MUSEUM'S COLLECTIONS ARE A MAJOR COMPONENT OF THE RESEARCH AND TEACHING ACTIVITIES OF THE PEABODY AND YALE. THE YALE PEABODY MUSEUM OFFICE OF STUDENT PROGRAMS SUPPORTS YALE STUDENT PARTICIPATION IN THE ACTIVITIES OF THE MUSEUM ACROSS ALL OF ITS DEPARTMENTS AND DIVISIONS. IN ADDITION, EACH YEAR THE YALE PEABODY MUSEUM PROVIDES EDUCATIONAL PROGRAMS ON BIOLOGY, PALEONTOLOGY, GEOLOGY, ANCIENT CIVILIZATIONS, AND SOCIAL STUDIES TO MORE THAN 25,000 STUDENTS FROM CONNECTICUT, MASSACHUSETTS, NEW YORK, AND RHODE ISLAND. ALL PROGRAMS DRAW ON THE MUSEUM'S EXHIBITS TO MEET THE INCREASINGLY SOPHISTICATED NEEDS OF SCIENCE AND SOCIAL STUDIES EDUCATION, AND MOST CAN BE ADAPTED TO ACCOMMODATE SPECIFIC GROUP NEEDS AS REQUESTED. THE MUSEUM'S COLLECTIONS ARE AVAILABLE TO LEGITIMATE RESEARCHERS AT ESTABLISHED INSTITUTIONS FOR SCHOLARLY USE. COLLECTION OF MUSICAL INSTRUMENTS: ESTABLISHED IN 1900, THE COLLECTION OF MUSICAL INSTRUMENTS TODAY COMPRISES NEARLY ONE THOUSAND INSTRUMENTS, THE MAJORITY DOCUMENTING THE HISTORY OF WESTERN ART MUSIC. IT IS COMMITTED TO FOSTERING AN UNDERSTANDING AND APPRECIATION OF MUSICAL INSTRUMENTS FROM ALL CULTURES AND PERIODS. ONE OF THE FOREMOST INSTITUTIONS OF ITS KIND, THE COLLECTION ACQUIRES, PRESERVES, AND EXHIBITS MUSICAL INSTRUMENTS FROM ANTIQUITY TO THE PRESENT, FEATURING RESTORED EXAMPLES IN DEMONSTRATION AND LIVE PERFORMANCE. IT PROVIDES ACCESS TO AND DISSEMINATES INFORMATION ABOUT ITS HOLDINGS TO YALE STUDENTS, FACULTY, AND STAFF; TO SCHOLARS, MUSICIANS, AND INSTRUMENT MAKERS; AND TO THE BROADER PUBLIC. AN IMPORTANT RESOURCE FOR THE MUSIC CURRICULA OF THE UNIVERSITY, THE COLLECTION SERVES AS A LABORATORY FOR COURSES IN THE HISTORY OF MUSICAL INSTRUMENTS AND AS A SUPPLEMENTAL ARCHIVE FOR COURSES TAUGHT IN THE ARTS AND SCIENCES. THE COLLECTION MAINTAINS REGULAR PUBLIC VISITING HOURS, MOUNTS EXHIBITS, AND PRESENTS AN ANNUAL SERIES OF CONCERTS. LECTURES, TOURS, AND SPECIAL CONCERTS ARE OFFERED THROUGHOUT THE YEAR. IN RECENT YEARS THE COLLECTION HAS UNDERTAKEN AN ACTIVE PROGRAM OF DIGITIZATION OF THE OBJECTS THEMSELVES AND SUPPORTING DOCUMENTATION. THIS INFORMATION IS STORED IN THE MUSEUM'S DATABASE, AND MUCH OF IT IS NOW AVAILABLE ON THE ONLINE DIGITAL COLLECTION. YALE UNIVERSITY LIBRARY: IN ADDITION TO ITS MUSEUMS, THE YALE UNIVERSITY LIBRARY PROVIDES OUTSTANDING SUPPORT FOR TEACHING, LEARNING, AND RESEARCH AT THE UNIVERSITY, AND FOR THE WORLD-WIDE SCHOLARLY COMMUNITY, THROUGH ITS STAFF, COLLECTIONS, PROGRAMS, SPACES, AND SERVICES. THE COLLECTION OF NEARLY 15 MILLION PRINT AND ELECTRONIC VOLUMES IS HOUSED IN 15 LIBRARIES, INCLUDING STERLING MEMORIAL, BEINECKE, AND BASS LIBRARIES, THE CENTER FOR SCIENCE AND SOCIAL SCIENCE INFORMATION, AS WELL AS MANY OTHER SCHOOL AND DEPARTMENTAL LIBRARIES. COLLECTIONS RANGE FROM ANCIENT PAPYRI AND EARLY PRINTED BOOKS TO DIGITAL COLLECTIONS AND ELECTRONIC DATABASES; AND THEY TRANSCEND A WIDE ARRAY OF FORMATS INCLUDING TEXT, PHOTOGRAPHS, VIDEO, AUDIO, DATA, MAPS, AND EPHEMERA. IN BUILDING THE MAGNIFICENT COLLECTIONS OVER THE LAST THREE CENTURIES, YALE MADE A STEWARDSHIP COMMITMENT TO ASSIST IN THE PRESERVATION OF HUMAN KNOWLEDGE. THE LIBRARY ALSO HAS A RESPONSIBILITY TO BRING DIGITAL RESOURCES TO THE YALE COMMUNITY AND TO ADDRESS THE CHALLENGES OF DIGITAL PRESERVATION. PART IV, LINE 2B: THE AMOUNT REPORTED ON FORM 990, PART X, LINE 21, ESCROW ACCOUNT LIABILITY, CONSISTS OF SECURITY DEPOSITS RELATED TO LEASE AGREEMENTS AND OTHER DEPOSITS. PART V, LINE 1: ENDOWMENT FUNDS INCLUDE THE VALUE OF THE ENDOWMENT AND UNEXPENDED ENDOWMENT INCOME AT JUNE 30, 2017. PART V, LINE 4: ENDOWMENT SPENDING REMAINS THE SINGLE LARGEST SOURCE OF OPERATING REVENUE AND CONTINUED TO PROVIDE ESSENTIAL SUPPORT TO ACTIVITIES ACROSS THE ENTIRE CAMPUS - INCLUDING FINANCIAL AID FOR UNDERGRADUATE AND GRADUATE STUDENTS, SUPPORT FOR PROFESSORSHIPS AND RESEARCH, STUDENT ACTIVITIES AND RESIDENTIAL LIFE, ATHLETIC FACILITIES, LIBRARIES AND MUSEUMS, AND THE FULL RANGE OF OTHER ACTIVITIES THAT SUPPORT TEACHING AND RESEARCH AT YALE. SPENDING FROM THE ENDOWMENT GREW DURING THE LAST DECADE FROM $684 MILLION TO $1.2 BILLION, AN ANNUAL GROWTH RATE OF 6.0%. YALE'S SPENDING AND INVESTMENT POLICIES PROVIDE SUBSTANTIAL LEVELS OF CASH FLOW TO THE OPERATING BUDGET FOR CURRENT SCHOLARS WHILE PRESERVING ENDOWMENT PURCHASING POWER FOR FUTURE GENERATIONS. THE YALE ENDOWMENT CONTAINS THOUSANDS OF FUNDS WITH VARIOUS PURPOSES AND RESTRICTIONS. APPROXIMATELY 84% OF FUNDS CONSTITUTE TRUE ENDOWMENT, GIFTS RESTRICTED BY DONORS TO PROVIDE LONG-TERM FUNDING FOR DESIGNATED PURPOSES. THE REMAINING FUNDS REPRESENT QUASI-ENDOWMENT, MONIES THAT THE YALE CORPORATION CHOOSES TO INVEST AND TREAT AS ENDOWMENT. DONORS FREQUENTLY SPECIFY A PARTICULAR PURPOSE FOR GIFTS, CREATING ENDOWMENTS TO FUND PROFESSORSHIPS, TEACHING, AND LECTURESHIPS (24%); SCHOLARSHIPS, FELLOWSHIPS, AND PRIZES (17%); MAINTENANCE (4%); BOOKS (3%); AND MISCELLANEOUS SPECIFIC PURPOSES (27%). TWENTY-FIVE PERCENT OF FUNDS ARE UNRESTRICTED. EIGHTEEN PERCENT OF THE ENDOWMENT BENEFITS THE OVERALL UNIVERSITY, WITH REMAINING FUNDS FOCUSED ON SPECIFIC UNITS, INCLUDING THE FACULTY OF ARTS AND SCIENCES (35%), THE PROFESSIONAL AND ARTS SCHOOLS (25%), THE LIBRARY (7%), AND OTHER ENTITIES (14%). PART X, LINE 2: THE UNIVERSITY WAS NOT REQUIRED TO INCLUDE A FIN 48 (ASC 740), ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, FOOTNOTE IN ITS FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2017. PART XI, LINE 2D - OTHER ADJUSTMENTS: TUITION DISCOUNTS WHICH WERE NETTED WITH STUDENT INCOME ON THE AUDITED FINANCIAL STATEMENTS: (283,107,919) AFFILIATED ORGANIZATION INCOME(LOSS): 36,141,944 CHANGE IN FUNDING STATUS OF DEFINED BENEFIT PLANS: 246,399,000 ACTUARIAL ADJUSTMENT FOR SPLIT INTEREST LIABILITY: 456,377 NON-CONTROLLING INTEREST: (79,870,000) ROUNDING: 250 TOTAL: (79,980,348) PART XI, LINE 4B - OTHER ADJUSTMENTS: EXPENSES ON THE AUDITED FINANCIAL STATEMENTS THAT ARE RECLASSIFIED FOR FORM 990 PURPOSES AND REPORTED ON PART VIII, LINES 6B, 7B, 8B, AND 9B PURSUANT TO FORM INSTRUCTIONS: (15,259,561) PART XII, LINE 2D - OTHER ADJUSTMENTS: EXPENSES ON THE AUDITED FINANCIAL STATEMENTS THAT ARE RECLASSIFIED FOR FORM 990 PURPOSES AND REPORTED ON PART VIII, LINES 6B, 7B, 8B, AND 9B PURSUANT TO FORM INSTRUCTIONS: 15,259,561 AFFILIATED ORGANIZATION EXPENSE: 10,833,000 TOTAL: 26,092,561 PART XII, LINE 4B - OTHER ADJUSTMENTS: TUITION DISCOUNTS WHICH WERE NETTED WITH STUDENT INCOME ON THE AUDITED FINANCIAL STATEMENTS: 283,107,919 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 SCHEDULE E PAGE 2 SCHEDULE E, LINE 3 YALE UNIVERSITY'S EQUAL OPPORTUNITY STATEMENT: THE UNIVERSITY IS COMMITTED TO BASING JUDGMENTS CONCERNING THE ADMISSION, EDUCATION, AND EMPLOYMENT OF INDIVIDUALS UPON THEIR QUALIFICATIONS AND ABILITIES AND AFFIRMATIVELY SEEKS TO ATTRACT TO ITS FACULTY, STAFF, AND STUDENT BODY QUALIFIED PERSONS OF DIVERSE BACKGROUNDS. IN ACCORDANCE WITH THIS POLICY AND AS DELINEATED BY FEDERAL AND CONNECTICUT LAW, YALE DOES NOT DISCRIMINATE IN ADMISSIONS, EDUCATIONAL PROGRAMS, OR EMPLOYMENT AGAINST ANY INDIVIDUAL ON ACCOUNT OF THAT INDIVIDUAL'S SEX, RACE, COLOR, RELIGION, AGE, DISABILITY, STATUS AS A PROTECTED VETERAN, OR NATIONAL OR ETHNIC ORIGIN; NOR DOES YALE DISCRIMINATE ON THE BASIS OF SEXUAL ORIENTATION OR GENDER IDENTITY OR EXPRESSION. UNIVERSITY POLICY IS COMMITTED TO AFFIRMATIVE ACTION UNDER LAW IN EMPLOYMENT OF WOMEN, MINORITY GROUP MEMBERS, INDIVIDUALS WITH DISABILITIES, AND PROTECTED VETERANS. THE UNIVERSITY'S EQUAL OPPORTUNITY STATEMENT IS MADE KNOWN TO ALL SEGMENTS OF THE GENERAL COMMUNITY SERVICED BY THE UNIVERSITY. IT IS INCLUDED IN CATALOGUES AND BROCHURES DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS OF THE UNIVERSITY AS WELL AS ON ITS WEBSITE WHICH ARE ALL AVAILABLE TO THE GENERAL PUBLIC. SCHEDULE E, LINE 6 THE UNIVERSITY HAS RECEIVED AND CONTINUES TO RECEIVE STUDENT FINANCIAL AID AND GRANTS FROM GOVERNMENTAL AGENCIES. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 12353 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES ALUMNI RELATIONS 13970 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 90437 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 19740 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES INSTRUCTION/TEACHING 5592 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 12910 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 82540 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 12148 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 5761 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 654057 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 2937297803 EAST ASIA AND THE PACIFIC 1 7 PROGRAM SERVICES ACADEMIC COLLABORATIONS 984352 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES ALUMNI RELATIONS 79159 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 1327906 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 75309 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INSTRUCTION/TEACHING 140737 EAST ASIA AND THE PACIFIC 2 20 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 6025118 EAST ASIA AND THE PACIFIC 0 8 PROGRAM SERVICES RESEARCH 600925 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 151778 EAST ASIA AND THE PACIFIC 0 1 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 526926 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 11242 EAST ASIA AND THE PACIFIC 0 0 FUNDRAISING 162254 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 3627279 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 4926303 EUROPE (INCLUDING ICELAND & GREENLAND) 0 9 PROGRAM SERVICES ACADEMIC COLLABORATIONS 694358 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES ALUMNI RELATIONS 111553 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 3740042 EUROPE (INCLUDING ICELAND & GREENLAND) 0 2 PROGRAM SERVICES CULTURAL EXCHANGE 133439 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES INSTRUCTION/TEACHING 142181 EUROPE (INCLUDING ICELAND & GREENLAND) 0 20 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 5996771 EUROPE (INCLUDING ICELAND & GREENLAND) 0 8 PROGRAM SERVICES RESEARCH 1180312 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 102589 EUROPE (INCLUDING ICELAND & GREENLAND) 0 3 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 464567 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 32516 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 FUNDRAISING 130743 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 7096118 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 173414856 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 31644 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 13316 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 298536 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES INSTRUCTION/TEACHING 22906 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 16860 MIDDLE EAST AND NORTH AFRICA 0 3 PROGRAM SERVICES RESEARCH 262675 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 30290 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 35076 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 16406 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 300940 NORTH AMERICA 0 3 PROGRAM SERVICES ACADEMIC COLLABORATIONS 53552 NORTH AMERICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 29791 NORTH AMERICA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 722575 NORTH AMERICA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 11451 NORTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTION/TEACHING 43364 NORTH AMERICA 0 6 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 43062 NORTH AMERICA 0 1 PROGRAM SERVICES RESEARCH 91992 NORTH AMERICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 96772 NORTH AMERICA 0 3 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 63670 NORTH AMERICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 5115 NORTH AMERICA 0 0 FUNDRAISING 3915 NORTH AMERICA 0 0 GRANTMAKING 735618 NORTH AMERICA 0 0 INVESTMENTS 123104184 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 26777 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 42241 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 1983 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES INSTRUCTION/TEACHING 71211 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 14679 RUSSIA AND NEIGHBORING STATES 0 1 PROGRAM SERVICES RESEARCH 81675 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 6986 RUSSIA AND NEIGHBORING STATES 0 1 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 6374 RUSSIA AND NEIGHBORING STATES 0 0 FUNDRAISING 3925 RUSSIA AND NEIGHBORING STATES 0 0 GRANTMAKING 609254 SOUTH AMERICA 0 1 PROGRAM SERVICES ACADEMIC COLLABORATIONS 69296 SOUTH AMERICA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 242072 SOUTH AMERICA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 52040 SOUTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTION/TEACHING 9072 SOUTH AMERICA 0 5 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 135307 SOUTH AMERICA 0 1 PROGRAM SERVICES RESEARCH 323746 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 21266 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 48272 SOUTH AMERICA 0 0 GRANTMAKING 1869688 SOUTH AMERICA 0 0 INVESTMENTS 1699764 SOUTH ASIA 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 79131 SOUTH ASIA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 46078 SOUTH ASIA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 126497 SOUTH ASIA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 27256 SOUTH ASIA 0 0 PROGRAM SERVICES INSTRUCTION/TEACHING 26596 SOUTH ASIA 0 1 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 35482 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 120510 SOUTH ASIA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 81290 SOUTH ASIA 0 1 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 44011 SOUTH ASIA 0 0 FUNDRAISING 80423 SOUTH ASIA 0 0 GRANTMAKING 796261 SOUTH ASIA 0 0 INVESTMENTS 53209 SUB-SAHARAN AFRICA 0 3 PROGRAM SERVICES ACADEMIC COLLABORATIONS 117853 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 15096 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES CONFERENCES & SEMINARS 322373 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 158851 SUB-SAHARAN AFRICA 0 2 PROGRAM SERVICES INSTRUCTION/TEACHING 67049 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 23644 SUB-SAHARAN AFRICA 2 32 PROGRAM SERVICES RESEARCH 3492658 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 28126 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 81681 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 292188 SUB-SAHARAN AFRICA 0 0 FUNDRAISING 3352 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 1936728 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 450486229 0 0 5 142 5 142 249690 3739748864 3739998554 CENTRAL AMERICA AND THE CARIBBEAN SUBAWARD - SPONSORED RESEARCH 20313 WIRE TRANSFER CENTRAL AMERICA AND THE CARIBBEAN SUBAWARD - SPONSORED RESEARCH 330519 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 52220 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 41653 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 61261 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 91187 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 280338 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 41189 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 55785 WIRE TRANSFER EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 16599 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 36554 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 43272 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 201817 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 167467 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 20670 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 82944 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 19356 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 35947 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 115254 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 1053978 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 49705 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 101741 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 47767 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 92368 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 24123 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 15800 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 37866 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 145635 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 103945 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 81324 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 39925 WIRE TRANSFER EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 19440 WIRE TRANSFER MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 14321 WIRE TRANSFER MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 32235 WIRE TRANSFER NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 52673 WIRE TRANSFER NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 134000 WIRE TRANSFER NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 82639 WIRE TRANSFER NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 34256 WIRE TRANSFER NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 236827 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBAWARD - SPONSORED RESEARCH 11376 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBAWARD - SPONSORED RESEARCH 72944 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBAWARD - SPONSORED RESEARCH 23169 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBAWARD - SPONSORED RESEARCH 223154 WIRE TRANSFER RUSSIA AND NEIGHBORING STATES SUBAWARD - SPONSORED RESEARCH 44930 WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 6788 WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 123339 WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 6619 WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 14376 WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 231580 WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 563500 WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 65556 WIRE TRANSFER SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 21162 WIRE TRANSFER SOUTH ASIA SUBAWARD - SPONSORED RESEARCH 268198 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 10000 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 19930 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 120098 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 219742 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 21600 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 48442 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 56717 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 287236 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 255238 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 54216 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 34179 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 10909 WIRE TRANSFER SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 55891 WIRE TRANSFER 16 50 FELLOWSHIPS CENTRAL AMERICA AND THE CARIBBEAN 47 216616 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS EAST ASIA AND THE PACIFIC 406 2606492 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS EUROPE (INCLUDING ICELAND AND GREENLAND) 429 3084430 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS MIDDLE EAST AND NORTH AFRICA 63 140843 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS NORTH AMERICA 7 48824 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS RUSSIA AND NEIGHBORING STATES 24 156196 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SOUTH AMERICA 84 544785 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SOUTH ASIA 48 236090 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SUB-SAHARAN AFRICA 88 447981 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS CENTRAL AMERICA AND THE CARIBBEAN 6 48958 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS EAST ASIA AND THE PACIFIC 62 119294 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS EUROPE (INCLUDING ICELAND AND GREENLAND) 56 589421 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS MIDDLE EAST AND NORTH AFRICA 17 39768 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS NORTH AMERICA 14 80635 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS RUSSIA AND NEIGHBORING STATES 5 51852 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SOUTH AMERICA 58 184400 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SOUTH ASIA 15 149802 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SUB-SAHARAN AFRICA 30 130979 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN 2 35387 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS EAST ASIA AND THE PACIFIC 18 210584 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS EUROPE (INCLUDING ICELAND AND GREENLAND) 44 806420 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 7 70377 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS NORTH AMERICA 5 57841 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS RUSSIA AND NEIGHBORING STATES 1 18841 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS SOUTH AMERICA 9 97913 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS SOUTH ASIA 11 124059 CHECK, ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS SUB-SAHARAN AFRICA 6 155646 CHECK, ELECTRONIC FUND OR WIRE TRANSFER OTHER ASSISTANCE - HEALTH FEES CENTRAL AMERICA AND THE CARIBBEAN 1 2264 CHECK, ELECTRONIC FUND OR WIRE TRANSFER OTHER ASSISTANCE - HEALTH FEES EAST ASIA AND THE PACIFIC 37 50677 CHECK, ELECTRONIC FUND OR WIRE TRANSFER OTHER ASSISTANCE - HEALTH FEES EUROPE (INCLUDING ICELAND AND GREENLAND) 33 78947 CHECK, ELECTRONIC FUND OR WIRE TRANSFER OTHER ASSISTANCE - HEALTH FEES MIDDLE EAST AND NORTH AFRICA 2 3396 CHECK, ELECTRONIC FUND OR WIRE TRANSFER OTHER ASSISTANCE - HEALTH FEES NORTH AMERICA 4 7924 CHECK, ELECTRONIC FUND OR WIRE TRANSFER OTHER ASSISTANCE - HEALTH FEES RUSSIA AND NEIGHBORING STATES 3 6792 CHECK, ELECTRONIC FUND OR WIRE TRANSFER OTHER ASSISTANCE - HEALTH FEES SOUTH AMERICA 6 9670 CHECK, ELECTRONIC FUND OR WIRE TRANSFER OTHER ASSISTANCE - HEALTH FEES SOUTH ASIA 10 18112 CHECK, ELECTRONIC FUND OR WIRE TRANSFER OTHER ASSISTANCE - HEALTH FEES SUB-SAHARAN AFRICA 4 7924 CHECK, ELECTRONIC FUND OR WIRE TRANSFER 1 1 1 1 1 1 SCHEDULE F, PART I, LINE 2: WITH RESPECT TO SPONSORED PROJECT ACTIVITY SUBCONTRACTED TO OTHER ENTITIES, THE UNIVERSITY'S POLICY AND PROCEDURES FOR MONITORING SUB RECIPIENT AWARDS ("SUBWARDS") ARE INTENDED TO ESTABLISH APPROPRIATE AND EFFECTIVE MECHANISMS TO PROMOTE COMPLIANCE WITH FEDERAL AND NON-FEDERAL REQUIREMENTS AND CONTRACTUAL ARRANGEMENTS, INCLUDING THE PROPER MONITORING AND STEWARDSHIP OF AWARDED FUNDS. PROPER MONITORING OF A SUBAWARD ENSURES THAT AWARDED FUNDS ARE USED FOR AUTHORIZED PURPOSES, PERFORMANCE GOALS ARE MET AND THE SUB RECIPIENT IS IN COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE SUB RECIPIENT AGREEMENT. SUB RECIPIENT MONITORING PROCEDURES INCLUDE BUT ARE NOT LIMITED TO THE FOLLOWING ACTIVITIES: A FORMAL PRE-QUALIFICATION PROCESS FOR SUB RECIPIENTS, PRE-AWARD AND POST-AWARD MONITORING OF SUB RECIPIENTS TO REVIEW THE FINANCIAL STATUS AND MANAGEMENT CONTROLS, COMPLIANCE CERTIFICATIONS, REVIEW OF COMPLIANCE WITH REGULATIONS RELATIVE TO THE USE OF HUMAN SUBJECTS AND ANIMALS, IDENTIFICATION AND MANAGEMENT OF ANY CONFLICT OF INTEREST WITH A SUB RECIPIENT ENTITY, AND A REVIEW OF PERTINENT OTHER ORGANIZATION INFORMATION. IN ACCORDANCE WITH THESE PROCEDURES, THE UNIVERSITY REVIEWS THE SUB RECIPIENT'S ADMINISTRATION, FINANCIAL STATEMENTS, BILLINGS, SCIENTIFIC PROGRESS, TECHNICAL REPORTS, AND DELIVERABLES OF AN ACTIVE SUBAWARD REGULARLY AND CONDUCTS ON-GOING RISK ASSESSMENTS AS WELL AS QUARTERLY QUALITY ASSURANCE REVIEWS ON RANDOMLY SELECTED SUBAWARDS. IN ADDITION TO A MONTHLY DEPARTMENTAL REVIEW, THE UNIVERSITY MONITORS A SUB RECIPIENT'S COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE SUBAWARD ANNUALLY AND UPON CLOSEOUT OF THE SUB RECIPIENT AGREEMENT. IF ANY OF THESE MONITORING PROCEDURES RESULT IN FINDINGS, THE UNIVERSITY WILL TAKE CORRECTIVE ACTION AS NECESSARY. THE PROCEDURES SERVE TO ENSURE THAT THE SUBAWARD FUNDS ARE USED FOR PROPER PURPOSES AND NOT DIVERTED FROM THEIR INTENDED USE. SCHEDULE F, PART I, LINE 3: PURSUANT TO THE FORM INSTRUCTIONS, THE FOLLOWING IS A BREAKOUT OF AMOUNTS REPORTED AS INVESTMENTS: INVESTMENTS EXPENDITURES CENTRAL AMERICA AND THE CARIBBEAN 2,932,743,940 4,553,863 EAST ASIA AND THE PACIFIC 4,650,024 276,279 EUROPE (INCLUDING ICELAND & GREENLAND) 172,412,543 1,002,312 NORTH AMERICA 123,066,004 38,179 SOUTH AMERICA 0 1,699,764 SOUTH ASIA 0 53,209 SUB-SAHARAN AFRICA 450,486,229 0 SCHEDULE F, PART II, LINE 3: THE TOTAL NUMBER REPORTED ON LINE 3 INCLUDES TAX-EXEMPT ORGANIZATIONS AND PUBLIC INSTITUTIONS. MOST OF THE SUBAWARD RECIPIENTS ARE UNIVERSITIES, HOSPITALS, AND RESEARCH INSTITUTIONS. SCHEDULE F, PART II: A SUBAWARD IS AN AWARD OF FINANCIAL SUPPORT FROM THE UNIVERSITY TO A QUALIFIED THIRD PARTY PRIMARILY TO PERFORM RESEARCH AND OTHER RELATED PROGRAMMATIC EFFORTS UNDER A SPONSORED RESEARCH PROJECT. SCHEDULE F, PART III, COLUMNS (C) AND (D): THE AMOUNTS REPORTED IN COLUMNS (C) AND (D) REPRESENT AN ESTIMATE OF TOTAL AWARDS FOR THE FISCAL YEAR ENDED JUNE 30, 2017 BASED ON INFORMATION PROVIDED BY THE UNIVERSITY'S UNDERGRADUATE, GRADUATE AND PROFESSIONAL SCHOOLS. SOME STUDENTS RECEIVED MORE THAN ONE AWARD DURING THE FISCAL YEAR ENDED JUNE 30, 2017. SCHEDULE F, PART I, II, AND III: THE UNIVERSITY'S FINANCIAL STATEMENTS ARE PREPARED USING THE ACCRUAL BASIS OF ACCOUNTING. AMOUNTS LISTED IN PART I, PART II, AND PART III ARE REPORTED ON THE ACCRUAL BASIS OF ACCOUNTING. GOLF OUTING 181838 159450 22388 514 8460 10237 10300 GOLF CLASSIC 64163 41425 22738 322 8452 20688 5308 14 257951 140685 117266 3644 17063 149925 9951 503952 341560 162392 4480 33975 180850 25559 244864 -82472 1 AIDS PROJECT NEW HAVEN INC 1302 CHAPEL STREET NEW HAVEN CT 06511 222506184 501(C)(3) 392425 SUBAWARD - SPONSORED RESEARCH ALBERT EINSTEIN COLLEGE OF MEDICINE INC 1300 MORRIS PARK AVENUE BRONX NY 10461 472209056 501(C)(3) 16108 SUBAWARD - SPONSORED RESEARCH ALERE WELLBEING INC 999 THIRD AVENUE SUITE 2700 SEATTLE WA 98104 200231080 34374 SUBAWARD - SPONSORED RESEARCH AMERICAN COLLEGE OF RADIOLOGY 1891 PRESTON WHITE DRIVE RESTON VA 20191 362261602 501(C)(3) 24053 SUBAWARD - SPONSORED RESEARCH AMERICAN NATIONAL RED CROSS & ITS CONSTITUENT CHAPTERS AND BRANCHES 431 18TH STREET NW WASHINGTON DC 20006 530196605 501(C)(3) 97095 SUBAWARD - SPONSORED RESEARCH ANN & ROBERT H LURIE CHILDREN'S HOSPITAL OF CHICAGO 225 EAST CHICAGO AVENUE BOX 205 CHICAGO IL 606112606 362170833 501(C)(3) 34757 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501(C)(3) 457995 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF WASHINGTON BOX 354966 SEATTLE WA 981954966 916001537 STATE OF WA 1790941 SUBAWARD - SPONSORED RESEARCH UNIVERSITY OF WISCONSIN SYSTEM 1220 LINDEN DRIVE MADISON WI 53706 391805963 STATE OF WI 125774 SUBAWARD - SPONSORED RESEARCH UTAH STATE UNIVERSITY PO BOX 410027 SALT LAKE CITY UT 841410027 876000528 501(C)(3) 93235 SUBAWARD - SPONSORED RESEARCH UT-BATTELLE LLC 1 BETHEL VALLEY ROAD OAK RIDGE TN 37830 621788235 8298 SUBAWARD - SPONSORED RESEARCH VANDERBILT UNIVERSITY 2301 VANDERBILT PLACE NASHVILLE TN 37240 620476822 501(C)(3) 52018 SUBAWARD - SPONSORED RESEARCH VANDERBILT UNIVERSITY MEDICAL CENTER 1161 21ST AVENUE NASHVILLE TN 37232 352528741 501(C)(3) 220237 SUBAWARD - SPONSORED RESEARCH VETERANS MEDICAL RESEARCH FOUNDATION OF SAN DIEGO 3350 LA JOLLA VILLAGE DRIVE SAN DIEGO CA 921610001 330189397 501(C)(3) 254204 SUBAWARD - SPONSORED RESEARCH WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE ST LOUIS MO 631121408 430653611 501(C)(3) 170162 SUBAWARD - SPONSORED RESEARCH WAYNE STATE UNIVERSITY 5057 WOODWARD AVENUE DETROIT MI 48202 386028429 501(C)(3) 191650 SUBAWARD - SPONSORED RESEARCH WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 575 LEXINGTON AVENUE 9TH FLOOR NEW YORK NY 10022 131623978 501(C)(3) 235443 SUBAWARD - SPONSORED RESEARCH YALE NEW HAVEN HEALTH SERVICES CORPORATION 1 CHURCH STREET NEW HAVEN CT 06510 222529464 501(C)(3) 14898 SUBAWARD - SPONSORED RESEARCH DOROT INC 171 WEST 85TH STREET NEW YORK NY 10024 133264005 501(C)(3) 50000 DAF DISTRIBUTION MASSACHUSETTS INSTITUTE OF TECHNOLOGY 77 MASSACHUSETTS AVENUE CAMBRIDGE MA 02139 042103594 501(C)(3) 50000 DAF DISTRIBUTION THE UNIVERSITY OF CONNECTICUT FOUNDATION INC 2390 ALUMNI DRIVE STORRS CT 06269 066070722 501(C)(3) 200000 DAF DISTRIBUTION ACHIEVEMENT FIRST INC 495 BLAKE STREET NEW HAVEN CT 06515 651203744 501(C)(3) 100000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT ALL OUR KIN INC PO BOX 8477 NEW HAVEN CT 06530 061539280 501(C)(3) 16400 CHARITABLE 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AT YALE PO BOX 209008 NEW HAVEN CT 06520 060653140 501(C)(3) 26050 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT EDITH B JACKSON CHILD CARE PROGRAM INC 405 CANNER STREET NEW HAVEN CT 06511 060887416 501(C)(3) 20000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT FIRST CALVARY BAPTIST CHURCH 605 DIXWELL AVENUE NEW HAVEN CT 06511 061173497 501(C)(3) 15000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT GATEWAY COMMUNITY COLLEGE FOUNDATION INC 20 CHURCH STREET NEW HAVEN CT 06510 223135128 501(C)(3) 15000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT LEADERSHIP EDUCATION AND ATHLETICS IN PARTNERSHIP INC 31 JEFFERSON STREET NEW HAVEN CT 06510 222906547 501(C)(3) 18000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT MARKET NEW HAVEN INC 900 CHAPEL STREET NEW HAVEN CT 06510 061578847 501(C)(6) 275000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT MUSIC HAVEN INC 117 WHALLEY AVENUE NEW HAVEN CT 06511 010870395 501(C)(3) 12500 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT NATIONAL ASSOCIATION FOR THE 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CELL ASSOC OF AMERICA OF SO CT INC 545 WHALLEY AVENUE NEW HAVEN CT 06511 222699876 501(C)(3) 11000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT SQUASH HAVEN INC 70 TOWER PARKWAY NEW HAVEN CT 06520 205500876 501(C)(3) 64000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT ST MARTIN DE PORRES ACADEMY 208 COLUMBUS AVENUE NEW HAVEN CT 06519 810666655 501(C)(3) 10750 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT TEACH FOR AMERICA INC 25 BROADWAY 12TH FLOOR NEW YORK NY 10004 133541913 501(C)(3) 100000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT THE GREATER NEW HAVEN CHAMBER OF COMMERCE INC 900 CHAPEL STREET NEW HAVEN CT 06510 060468900 501(C)(6) 66000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT THE TENNIS FOUNDATION OF CONNECTICUT INC 900 CHAPEL STREET SUITE 622 NEW HAVEN CT 06510 061287098 501(C)(3) 225000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT ULYSSES S GRANT FOUNDATION PO BOX 200082 YALE STATION NEW HAVEN CT 06520 066071625 501(C)(3) 20000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT UNITED WAY OF GREATER NEW HAVEN INC 370 JAMES STREET NO 403 NEW HAVEN CT 06513 060646761 501(C)(3) 101000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT WALTER CAMP FOOTBALL FOUNDATION INC PO BOX 1663 NEW HAVEN CT 06507 066099383 501(C)(4) 10000 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT WHEAT INC 674 WASHINGTON AVENUE WEST HAVEN CT 06516 061197653 501(C)(3) 5200 CHARITABLE CONTRIBUTION AND COMMUNITY SUPPORT NEW HAVEN PROMISE INC 28 LINCOLN WAY NEW HAVEN CT 06510 811267064 501(C)(3) 2321299 SCHOLARSHIPS 215 14 STUDENT STIPENDS 3797 73861753 SCHOLARSHIPS 8142 281530851 COST TUITION REDUCTION HEALTH PREMIUM AWARDS 3160 11055237 COST HEALTHCARE FELLOWSHIPS 622 4604582 PRIZES AND AWARDS 1660 4130089 SCHEDULE I, PART I, LINE 2: WITH RESPECT TO SPONSORED PROJECT ACTIVITY SUBCONTRACTED TO OTHER ENTITIES, THE UNIVERSITY'S POLICY AND PROCEDURES FOR MONITORING SUB RECIPIENT AWARDS ("SUBWARDS") ARE INTENDED TO ESTABLISH APPROPRIATE AND EFFECTIVE MECHANISMS TO PROMOTE COMPLIANCE WITH FEDERAL AND NON-FEDERAL REQUIREMENTS AND CONTRACTUAL ARRANGEMENTS, INCLUDING THE PROPER MONITORING AND STEWARDSHIP OF AWARDED FUNDS. PROPER MONITORING OF A SUBAWARD ENSURES THAT AWARDED FUNDS ARE USED FOR AUTHORIZED PURPOSES, PERFORMANCE GOALS ARE MET AND THE SUB RECIPIENT IS IN COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE SUB RECIPIENT AGREEMENT. SUB RECIPIENT MONITORING PROCEDURES INCLUDE BUT ARE NOT LIMITED TO THE FOLLOWING ACTIVITIES: A FORMAL PRE-QUALIFICATION PROCESS FOR SUB RECIPIENTS, PRE-AWARD AND POST-AWARD MONITORING OF SUB RECIPIENTS TO REVIEW THE FINANCIAL STATUS AND MANAGEMENT CONTROLS, COMPLIANCE CERTIFICATIONS, REVIEW OF COMPLIANCE WITH REGULATIONS RELATIVE TO THE USE OF HUMAN SUBJECTS AND ANIMALS, IDENTIFICATION AND MANAGEMENT OF ANY CONFLICT OF INTEREST WITH A SUB RECIPIENT ENTITY, AND A REVIEW OF PERTINENT OTHER ORGANIZATION INFORMATION. IN ACCORDANCE WITH THESE PROCEDURES, THE UNIVERSITY REVIEWS THE SUB RECIPIENT'S ADMINISTRATION, FINANCIAL STATEMENTS, BILLINGS, SCIENTIFIC PROGRESS, TECHNICAL REPORTS, AND DELIVERABLES OF AN ACTIVE SUBAWARD REGULARLY AND CONDUCTS ON-GOING RISK ASSESSMENTS AS WELL AS QUARTERLY QUALITY ASSURANCE REVIEWS ON RANDOMLY SELECTED SUBAWARDS. IN ADDITION TO A MONTHLY DEPARTMENTAL REVIEW, THE UNIVERSITY MONITORS A SUB RECIPIENT'S COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE SUBAWARD ANNUALLY AND UPON CLOSEOUT OF THE SUB RECIPIENT AGREEMENT. IF ANY OF THESE MONITORING PROCEDURES RESULT IN FINDINGS, THE UNIVERSITY WILL TAKE CORRECTIVE ACTION AS NECESSARY. THE PROCEDURES SERVE TO ENSURE THAT THE SUBAWARD FUNDS ARE USED FOR PROPER PURPOSES AND NOT DIVERTED FROM THEIR INTENDED USE. SCHEDULE I, PART II: A SUBAWARD IS AN AWARD OF FINANCIAL SUPPORT FROM THE UNIVERSITY TO A QUALIFIED THIRD PARTY PRIMARILY TO PERFORM RESEARCH AND OTHER RELATED PROGRAMMATIC EFFORTS UNDER A SPONSORED RESEARCH PROJECT. SCHEDULE I, PART III: THE AMOUNTS REPORTED IN PART III REPRESENT AN ESTIMATE OF TOTAL AWARDS FOR THE FISCAL YEAR ENDED JUNE 30, 2017 BASED ON INFORMATION PROVIDED BY THE UNIVERSITY'S UNDERGRADUATE, GRADUATE AND PROFESSIONAL SCHOOLS. SOME STUDENTS RECEIVED MORE THAN ONE AWARD DURING THE FISCAL YEAR ENDED JUNE 30, 2017. X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 1 1 PETER SALOVEY TRUSTEE & PRESIDENT 1012838 0 0 0 220624 0 196331 0 49315 0 1479108 0 0 0 BRUCE D ALEXANDER VP FOR NEW HAVEN & STATE AFFAIRS 531537 0 0 0 54584 0 16331 0 15142 0 617594 0 0 0 JACK F CALLAHAN JR SR VP FOR OPERATIONS 238149 0 30000 0 34355 0 14456 0 10542 0 327502 0 0 0 ALEXANDER E DREIER SR VP FOR INSTITUTIONAL AFFAIRS 576745 0 0 0 18000 0 25913 0 30828 0 651486 0 0 0 KIMBERLY M GOFF-CREWS SECRETARY & VP FOR STUDENT LIFE 390756 0 0 0 18000 0 22894 0 9463 0 441113 0 0 0 STEPHEN C MURPHY VP FOR FINANCE & CFO 402559 0 0 0 18000 0 23727 0 32508 0 476794 0 0 0 EILEEN O'CONNOR VP FOR COMMUNICATIONS 335166 0 0 0 8175 0 29619 0 33407 0 406367 0 0 0 JOAN E O'NEILL VP FOR ALUMNI AFFAIRS & DEVELOPMENT 455851 0 0 0 52023 0 19456 0 32252 0 559582 0 0 0 MICHAEL A PEEL VP FOR HR & ADMINISTRATION 534780 0 0 0 80804 0 16331 0 30635 0 662550 0 0 0 BENJAMIN POLAK PROVOST 606957 0 0 0 18000 0 16331 0 734 0 642022 0 0 0 SCOTT A STROBEL VP FOR WEST CAMPUS PLANNING 438907 0 0 0 31191 0 19612 0 23702 0 513412 0 0 0 ROBERT J ALPERN DEAN, SCHOOL OF MEDICINE 892018 0 0 0 18000 0 16331 0 3173 0 929522 0 0 0 JOHN H BOLLIER AVP FOR FACILITIES 400263 0 0 0 0 0 23227 0 24096 0 447586 0 0 0 DAVID F SWENSEN CHIEF INVESTMENT OFFICER 844579 0 2974672 0 583388 0 243830 0 36913 0 4683382 0 0 0 DEAN J TAKAHASHI SR DIRECTOR, INVESTMENTS 630271 0 2209576 0 429666 0 219185 0 2420 0 3491118 0 0 0 KHALID M ABBED CHIEF, NEUROSURGERY SPINE 291549 0 1089486 0 0 0 31644 0 34479 0 1447158 0 0 0 UMER M DARR ASSISTANT PROFESSOR OF SURGERY 238757 0 966402 0 18000 0 31644 0 22602 0 1277405 0 0 0 ALAN FORMAN DIRECTOR, INVESTMENTS 584327 0 594204 0 18000 0 426331 0 32746 0 1655608 0 193333 0 MURAT GUNEL CHAIR, NEUROSURGERY 670137 0 481000 0 25563 0 19331 0 32615 0 1228646 0 0 0 TIMOTHY R SULLIVAN DIRECTOR, INVESTMENTS 624295 0 719212 0 18000 0 449665 0 34532 0 1845704 0 413334 0 LINDA K LORIMER FORMER VP FOR GLOBAL & STRAT. INIT. 488314 0 0 0 395596 0 2000 0 7782 0 893692 0 0 0 PART I, LINE 1A EACH ONE OF THE BENEFITS THAT WAS CHECKED WAS PROVIDED PURSUANT TO A WRITTEN POLICY. FIRST-CLASS OR CHARTER TRAVEL: ON OCCASION DURING THE CALENDAR YEAR 2016, THE UNIVERSITY CHARTERED PRIVATE AIRCRAFT WHEN DEEMED NECESSARY FOR THE CONDUCT OF UNIVERSITY BUSINESS, PURSUANT TO A CORPORATION POLICY. THREE OFFICERS TRAVELED ON SUCH FLIGHTS IN 2016 IN ACCORDANCE WITH THE POLICY. UNDER APPLICABLE RULES, AMOUNTS FOR SUCH TRAVEL WERE NOT REPORTED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. TRAVEL FOR COMPANIONS: THE SPOUSE OF ONE OFFICER ON OCCASION ACCOMPANIED THE OFFICER ON UNIVERSITY BUSINESS. IN ADDITION, THE SPOUSE OF A HIGHLY COMPENSATED EMPLOYEE, WHO IS ALSO AN EMPLOYEE OF THE UNIVERSITY, ACCOMPANIED THE HIGHLY COMPENSATED EMPLOYEE ON UNIVERSITY BUSINESS. IN BOTH CASES, THE PRIMARY PURPOSE OF THE TRAVEL WAS TO CONDUCT UNIVERSITY BUSINESS. UNDER APPLICABLE RULES, THE COST OF TRAVEL WAS NOT REQUIRED TO BE REPORTED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: FOUR OFFICERS RECEIVED TAX GROSS-UP PAYMENTS DURING THE CALENDAR YEAR 2016 FOR CERTAIN LIMITED TAXABLE BENEFITS BASED ON THEIR ESTIMATED RELATED TAX OBLIGATIONS. THESE PAYMENTS WERE TREATED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE: AS A CONDITION OF HIS EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY, THE PRESIDENT IS REQUIRED TO LIVE ON CAMPUS IN AN APARTMENT WITHIN THE PRESIDENT'S HOUSE. THE ESTIMATED FAIR MARKET RENTAL VALUE OF THIS HOUSING IS INCLUDED AS A NONTAXABLE BENEFIT IN SCHEDULE J, PART II, COLUMN (D). IN ADDITION, THREE OFFICERS WERE PROVIDED UNIVERSITY RESIDENCES FOR PERSONAL USE DURING THE CALENDAR YEAR 2016. THE VALUES OF THE RESIDENCES WERE DETERMINED PURSUANT TO IRC SECTION 119(D), AS REQUIRED, AND TREATED AS TAXABLE COMPENSATION. IN ADDITION, ONE OFFICER RECEIVED A HOUSING ALLOWANCE WHICH WAS TREATED AS TAXABLE COMPENSATION TO THE INDIVIDUAL DURING THE CALENDAR YEAR 2016. PART I, LINE 4B CERTAIN LISTED PERSONS PARTICIPATED IN SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS DURING THE CALENDAR YEAR 2016 AS DESCRIBED BELOW: THE UNIVERSITY HAS AGREED TO SUPPLEMENT THE PRESIDENT'S RETIREMENT INCOME BY MAKING AN ANNUAL CONTRIBUTION TO A NONQUALIFIED DEFERRED COMPENSATION PLAN, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY AND ADJUSTED FOR EARNINGS BASED ON POSITIVE PERFORMANCE OF THE ENDOWMENT. THE CURRENT YEAR ACCRUAL OF COMPENSATION ASSOCIATED WITH THIS PLAN IS INCLUDED IN SCHEDULE J, PART II, COLUMN (C). THE UNIVERSITY PREVIOUSLY AGREED TO SUPPLEMENT THE RETIREMENT INCOME FOR TWO KEY EMPLOYEES IN THE INVESTMENTS OFFICE BY PROVIDING AN ADDITIONAL RETIREMENT BENEFIT EQUAL IN VALUE TO A PERCENTAGE OF SALARY AT VESTING, FOR A TERM OF 20 YEARS, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY. AN ANNUAL ACCRUAL FOR THE ADDITIONAL RETIREMENT BENEFITS IS INCLUDED IN SCHEDULE J, PART II, COLUMN (C). IN ADDITION, THE UNIVERSITY AWARDED BONUSES TO THE TWO PREVIOUSLY MENTIONED EMPLOYEES IN THE INVESTMENTS OFFICE THAT WERE TAXED IN 2016 AND SUBJECT TO DEFERRED PAYMENT WITH ADJUSTMENTS UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE ENDOWMENT. THESE BONUSES FOR 2016 ARE INCLUDED IN SCHEDULE J, PART II, COLUMN B(III). SCHEDULE J, PART I, LINE 7: THE UNIVERSITY PAID TWO KEY EMPLOYEES IN THE INVESTMENTS OFFICE BONUSES AWARDED UNDER A LONG TERM INCENTIVE COMPENSATION PLAN WHICH PROVIDES FOR PAYMENTS WHICH ARE BASED ON QUALITATIVE AND QUANTITATIVE PERFORMANCE FACTORS. THE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). THE UNIVERSITY PAID TWO HIGHLY COMPENSATED EMPLOYEES BONUSES UNDER A LONG TERM INCENTIVE COMPENSATION PLAN WHICH PROVIDES FOR DEFERRED VESTING CONTINGENT ON THE PERFORMANCE OF FUTURE SERVICES AND MAY CHANGE UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE ENDOWMENT PRIOR TO VESTING AND PAYMENT. THE CURRENT YEAR PAYMENT THAT WAS AWARDED IN PREVIOUS YEARS IS REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). THE AMOUNT AWARDED IN THE CURRENT YEAR BUT SUBJECT TO DEFERRED VESTING IS INCLUDED AS DEFERRED COMPENSATION ON SCHEDULE J, PART II, COLUMN (C). THE UNIVERSITY ALSO PAID THREE HIGHLY COMPENSATED EMPLOYEES ADDITIONAL COMPENSATION PURSUANT TO CLINICAL INCENTIVE PLANS. IN ADDITION, ONE OFFICER RECEIVED A SIGNING BONUS WHICH WAS APPROVED IN ACCORDANCE WITH THE PROCEDURES DESCRIBED IN SCHEDULE O, PART VI, SECTION B, LINE 15. THE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). PART I, LINE 8 THERE WERE TWO OFFICERS WITH RESPECT TO WHOM AMOUNTS WERE REPORTED IN PART VII WHERE THOSE AMOUNTS WERE PAID OR ACCRUED PURSUANT TO A CONTRACT THAT WAS SUBJECT TO THE INITIAL CONTRACT EXCEPTION DESCRIBED IN REGS. SECTION 53.4958-4(A)(3). THE COMPENSATION WAS ALSO APPROVED PURSUANT TO PROCESSES CONSISTENT WITH THE REBUTTABLE PRESUMPTION PROCEDURE DESCRIBED IN REGS. SECTION 53.4958-6(C). SCHEDULE J, PART II (GENERAL NOTES): COLUMN (D): IN ADDITION TO THE EMPLOYER COST OF HEALTH, DENTAL AND OTHER NONTAXABLE BENEFITS AVAILABLE ON A NONDISCRIMINATORY BASIS, COLUMN (D) INCLUDES AMOUNTS AWARDED AS SCHOLARSHIP GRANTS TO CHILDREN OF EMPLOYEES UNDER THE UNIVERSITY'S NONDISCRIMINATORY QUALIFIED TUITION REDUCTION PLAN COVERING ALL ELIGIBLE FACULTY AND STAFF WITH SIX OR MORE YEARS OF SERVICE. COLUMN (F): COMPENSATION REPORTED IN PRIOR FORM 990: THIS AMOUNT IS ALSO INCLUDED IN COLUMN (E). IT IS, THEREFORE, DOUBLE REPORTED IN PART II AND DOES NOT REPRESENT ADDITIONAL COMPENSATION. A STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774LZC2 2003-01-08 250000000 TO FINANCE FACILITIES, (CONTINUED IN PART VI) 0 0 0 B STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UU60 2010-02-24 579984034 TO FINANCE FACILITIES, (CONTINUED IN PART VI) 0 0 0 C STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774YPD3 2013-07-02 100000000 TO FULLY REDEEM CHEFA (CONTINUED IN PART VI) 0 0 0 D STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774YRW9 2014-07-23 250000000 TO FINANCE FACILITIES, (CONTINUED IN PART VI) 0 0 0 A 125000000 252221323 252221323 2009 0 0 1 1 B 580160339 490643522 89516817 2012 1 0 1 1 C 100000000 100000000 2007 1 0 1 1 D 250108651 250108651 2017 0 0 1 1 A 0 1 1 0 1 0 0.00100 0.00100 0.00200 0 0 1 B 0 0 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 D 0 0 1 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 0 1 1 0 0 0 1 C 0 1 1 0 1 0 0 0 1 D 0 1 0 0 1 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K, PART I, BOND ISSUE, COLUMN (F): CHEFA BONDS ISSUED 1/8/2003 (CUSIP# 20774LZC2) - TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS CHEFA BONDS ISSUED 2/24/2010 (CUSIP# 20774UU60) - TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS, AND TO DEFEASE CHEFA SERIES W BONDS ISSUED 4/2002 CHEFA BONDS ISSUED 7/2/2013 (CUSIP# 20774YPD3) - TO FULLY REDEEM CHEFA SERIES X1 BONDS ISSUED 1/2003 CHEFA BONDS ISSUED 7/23/2014 (CUSIP# 20774YRW9) - TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS CHEFA BONDS ISSUED 7/1/2015 (CUSIP# 20774YWE3) - TO FULLY REDEEM CHEFA SERIES Y1, Y2, AND Y3 BONDS ISSUED 10/2005 CHEFA BONDS ISSUED 7/1/2016 (CUSIP# 20774YJ99) - TO FULLY REDEEM CHEFA SERIES Z1 BONDS ISSUED 10/2007 CHEFA BONDS ISSUED 6/7/2017 (CUSIP# 20774YX44) - TO FULLY REDEEM CHEFA SERIES Z2 AND Z3 BONDS ISSUED 10/2007 CHEFA BONDS ISSUED 6/7/2017 (CUSIP# 20774YX69) - TO FULLY REDEEM CHEFA SERIES T1 AND X3 BONDS ISSUED 11/1997 AND 1/2003, RESPECTIVELY SCHEDULE K, PART II, PROCEEDS, QUESTION 3: TOTAL PROCEEDS OF ISSUE REPRESENT THE ISSUE PRICE (PART I, COLUMN (E)) PLUS ANY INVESTMENT EARNINGS. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTION 3B: DURING THE 12-MONTH PERIOD USED TO REPORT ON THE BOND ISSUES, THE ORGANIZATION ROUTINELY REVIEWED ANY MANAGEMENT OR SERVICE CONTRACTS RELATING TO THE FINANCED PROPERTY FOR PRIVATE BUSINESS USE, USING EITHER IN-HOUSE COUNSEL, OUTSIDE COUNSEL, OR PROFESSIONAL CONTRACT REVIEWERS TRAINED BY COUNSEL. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTION 3D: DURING THE 12-MONTH PERIOD USED TO REPORT ON THE BOND ISSUES, THE ORGANIZATION ROUTINELY REVIEWED RESEARCH AGREEMENTS RELATING TO THE FINANCED PROPERTY FOR PRIVATE BUSINESS USE, USING EITHER IN-HOUSE COUNSEL, OUTSIDE COUNSEL, OR PROFESSIONAL CONTRACT REVIEWERS TRAINED BY COUNSEL. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 4-5: IN CERTAIN CASES, A BOND ISSUE WITH AN ENTRY OF .00% MAY HAVE FINANCED PROPERTY WITH SOME PRIVATE BUSINESS USE. IN EACH OF THESE CASES, THE PRIVATE BUSINESS USE PERCENTAGE OF THE BOND ISSUE WAS LESS THAN 0.05% AS THE AMOUNTS ARE ROUNDED TO THE NEAREST TENTH OF A PERCENTAGE POINT, PURSUANT TO THE INSTRUCTIONS. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 4-6, BOND B, FIRST PAGE - CHEFA BONDS ISSUED 02/24/10 (CUSIP# 20774UU60): A PORTION OF THE BOND ISSUE WAS A CURRENT REFUNDING OF A PRE-2003 ISSUE; ONLY THE PRIVATE BUSINESS USE PERTAINING TO THE NEW MONEY PORTION OF THE 02/24/10 ISSUE IS REPORTED. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 4-6, BOND D, SECOND PAGE - CHEFA BONDS ISSUED 06/07/17 (CUSIP# 20774YX69): A PORTION OF THE BOND ISSUE WAS A CURRENT REFUNDING OF A PRE-2003 ISSUE; ONLY THE PRIVATE BUSINESS USE PERTAINING TO THE PORTION OF THE 06/07/17 ISSUE THAT REFUNDED A POST-2002 ISSUE IS REPORTED. SCHEDULE K, PART IV, ARBITRAGE, QUESTION 2C, BOND B, FIRST PAGE - CHEFA BONDS ISSUED 02/24/10 (CUSIP# 20774UU60): A PORTION OF THE BOND ISSUE RELATING TO THE CONSTRUCTION FUND IS SUBJECT TO REBATE. THE REBATE LIABILITY COMPUTED AT FEBRUARY 24, 2015 WAS NEGATIVE. A STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774YWE3 2015-07-01 300000000 TO FULLY REDEEM CHEFA (CONTINUED IN PART VI) 0 0 0 B STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774YJ99 2016-07-01 399995657 TO FULLY REDEEM CHEFA (CONTINUED IN PART VI) 0 0 0 C STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774YX44 2017-06-07 199998620 TO FULLY REDEEM CHEFA (CONTINUED IN PART VI) 0 0 0 D STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774YX69 2017-06-07 249989726 TO FULLY REDEEM CHEFA (CONTINUED IN PART VI) 0 0 0 A 300000000 300000000 2012 1 0 1 1 B 399995657 399995657 2012 1 0 1 1 C 199998620 199998620 2012 1 0 1 1 D 249989726 249989726 2009 1 0 1 1 A 0 1 1 0 1 0 0.00200 0.00000 0.00200 0 0 1 B 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 0 1 0 0.00100 0.00000 0.00100 0 0 1 D 0 1 1 0 1 0 0.00100 0.00100 0.00200 0 0 1 A 0 1 1 0 1 0 0 0 1 B 0 1 1 0 1 0 0 0 1 C 0 1 1 0 1 0 0 0 1 D 0 1 1 0 1 0 0 0 1 A 1 B 1 C 1 D 1 SCOTT STROBEL OFFICER HOUSING X 100000 71766 0 0 1 71766 15700 SCHOLARSHIPS (SEE PART V) STEFANIE MARKOVITS (SEE PART V) SPOUSE OF BENJAMIN POLAK, AN OFFICER 166170 (SEE PART V) COMPENSATION AND BENEFITS, PROFESSOR OF ENGLISH. 0 MARTA MORET (SEE PART V) SPOUSE OF PETER SALOVEY, AN OFFICER 67585 (SEE PART V) COMPENSATION AND BENEFITS, ASSOCIATE. 0 PATRICIA PREISIG (SEE PART V) SPOUSE OF ROBERT ALPERN, A KEY EMPLOYEE 194698 (SEE PART V) COMPENSATION AND BENEFITS, PROFESSOR, MEDICINE (NEPHROLOGY) AND CELLULAR AND MOLECULAR PHYSIOLOGY. 0 WENDY SHARP (SEE PART V) SPOUSE OF DEAN TAKAHASHI, A KEY EMPLOYEE 104639 (SEE PART V) COMPENSATION AND BENEFITS, DIRECTOR OF CHAMBER MUSIC, LECTURER IN MUSIC. 0 HILLHOUSE CAPITAL ADVISORS LTD (SEE PART V) A TRUSTEE OWNS >35% 4553863 (SEE PART V) MANAGEMENT FEES PAID IN THE ORDINARY COURSE OF BUSINESS. 0 RICECAN REALTY LP (SEE PART V) A TRUSTEE AND FAMILY MEMBERS OWN >35% 114130 (SEE PART V) YALE RECEIVED INCOME DISTRIBUTIONS IN THE ORDINARY COURSE OF BUSINESS. 0 SCHEDULE L, PART II ALL LOANS REPORTED ON SCHEDULE L, PART II WERE MADE AND APPROVED PURSUANT TO UNIVERSITY COMPENSATION POLICIES. SCHEDULE L, PART III THE SCHOLARSHIP GRANTS REPRESENT AMOUNTS AWARDED TO INTERESTED PERSONS UNDER THE UNIVERSITY'S NONDISCRIMINATORY QUALIFIED TUITION REDUCTION PLAN COVERING ALL ELIGIBLE FACULTY AND STAFF WITH SIX OR MORE YEARS OF SERVICE. X 150 0 X 0 X 2 0 X 1260 176551428 FAIR VALUE X 1 7457835 SALE OF COMP. PROPERTY X 1 78084 SALE OF COMP. PROPERTY X 14 20565 SALE OF COMP. PROPERTY X EQUIPMENT 3 0 X MUSICAL INSTRUMENTS 1 0 116 0 1 1 PART I, COLUMN (B): AMOUNTS REPRESENT THE NUMBER OF NON-CASH CONTRIBUTIONS RECEIVED AND RECORDED IN THE CENTRAL CONTRIBUTION DATABASE OF THE UNIVERSITY. PART I, LINE 32B: OCCASIONALLY, THE UNIVERSITY ENGAGES THIRD PARTIES (E.G., REAL ESTATE BROKERS, AUCTION HOUSES, INVESTMENT BROKERS) TO SELL CERTAIN NON-CASH CONTRIBUTIONS. PART I, LINE 33: PURSUANT TO ACCOUNTING STANDARDS CODIFICATION 958 (ASC 958), THE UNIVERSITY DOES NOT CAPITALIZE ITS COLLECTIONS, INCLUDING WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES AND ARTIFACTS THAT ARE MAINTAINED IN ITS MUSEUMS AND LIBRARIES. NON-CASH CONTRIBUTIONS OF THIS NATURE ARE, THEREFORE, NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH AND THE FURTHERANCE OF PUBLIC SERVICE. OTHER NON-CASH CONTRIBUTIONS WITH NO READILY ASCERTAINABLE FAIR VALUE OR WHICH ARE DEEMED IMMATERIAL ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. FORM 990, PART I, LINE 6: TOTAL NUMBER OF VOLUNTEERS: VOLUNTEERS SUPPORT AND BENEFIT THE UNIVERSITY IN A WIDE VARIETY OF ACTIVITIES, PROGRAMS, AND SERVICES. WHILE YALE UNIVERSITY DOES NOT TRACK THE NUMBER OF ITS VOLUNTEERS, THE UNIVERSITY ESTIMATES THAT THE NUMBER OF VOLUNTEERS WAS APPROXIMATELY 7,900 DURING FYE 6/30/17. FORM 990, PART III, LINE 1: DESCRIPTION OF ORGANIZATION MISSION: YALE IS COMMITTED TO IMPROVING THE WORLD TODAY AND FOR FUTURE GENERATIONS THROUGH OUTSTANDING RESEARCH AND SCHOLARSHIP, EDUCATION, PRESERVATION, AND PRACTICE. YALE EDUCATES ASPIRING LEADERS WORLDWIDE WHO SERVE ALL SECTORS OF SOCIETY. WE CARRY OUT THIS MISSION THROUGH THE FREE EXCHANGE OF IDEAS IN AN ETHICAL, INTERDEPENDENT, AND DIVERSE COMMUNITY OF FACULTY, STAFF, STUDENTS, AND ALUMNI. FORM 990, PART III, LINE 4A, PROGRAM SERVICE ACCOMPLISHMENTS: IN ADDITION TO THE GRADUATE SCHOOL OF ARTS AND SCIENCES, THE UNIVERSITY HAS PROFESSIONAL SCHOOLS INCLUDING ARCHITECTURE, ART, DIVINITY, DRAMA, ENGINEERING AND APPLIED SCIENCE, FORESTRY AND ENVIRONMENTAL STUDIES, LAW, MANAGEMENT, MEDICINE, MUSIC, NURSING, AND PUBLIC HEALTH. FORM 990, PART III, LINE 4B, PROGRAM SERVICE ACCOMPLISHMENTS: INCLUDED AMONG THE UNIVERSITY'S OUTSTANDING RESEARCH FACILITIES ARE LABORATORIES, CENTERS, AND INSTITUTES DEVOTED TO RESEARCH IN GEOLOGY, CHEMISTRY, BIOLOGY, ENGINEERING AND APPLIED SCIENCE, ANTHROPOLOGY, PALEONTOLOGY, PSYCHOLOGY, MOLECULAR AND STRUCTURAL BIOLOGY, NUCLEAR STRUCTURE, CHILD DEVELOPMENT, SOCIAL POLICY, BIOSPHERIC STUDIES AND NUMEROUS BIOMEDICAL SCIENCES, TO NAME BUT A FEW. FORM 990, PART III, LINE 4C, PROGRAM SERVICE ACCOMPLISHMENTS: IN FY2017, 2,736 OR 50%, OF UNDERGRADUATES RECEIVED NEED-BASED SCHOLARSHIPS OR GRANTS FROM YALE SOURCES OF $47,658 ON AVERAGE. ALL OF YALE'S GRADUATE AND PROFESSIONAL SCHOOLS PROVIDE FINANCIAL AID TO THEIR STUDENTS BASED ON THEIR INDIVIDUAL POLICIES AND PROCEDURES. THIS CATEGORY OF EXPENDITURES ALSO INCLUDES: THE OPERATION OF DINING HALLS THAT PROVIDED 2,747,090 MEALS TO STUDENTS, FACULTY AND STAFF; MAINTENANCE OF DORMITORIES HOUSING 4,520 UNDERGRADUATES AND 1,036 GRADUATE AND PROFESSIONAL SCHOOL STUDENTS; OPERATION AND MAINTENANCE OF ATHLETIC FACILITIES FOR THE 35 INTERCOLLEGIATE SPORTS, OVER 30 INTRAMURAL SPORTS, AND 50 CLUB SPORTS TEAMS OFFERED AT YALE. ALSO INCLUDED ARE PHYSICAL EDUCATION INSTRUCTION, PARKING FACILITIES, LAUNDRY FACILITIES, STUDENT CENTERS, AND OTHER FACILITIES AND PROGRAMS (INCLUDING EXTRACURRICULAR ACTIVITIES AND STUDENT HEALTH SERVICES) THAT PROVIDE SUPPORT, SERVICES, AND ACADEMIC/CULTURAL ENRICHMENT TO THE UNIVERSITY'S STUDENTS. FORM 990, PART III, LINE 4D OTHER PROGRAM SERVICES INCLUDE ACADEMIC SUPPORT, PUBLIC SERVICE, AND OTHER INSTITUTIONAL SUPPORT. FORM 990, PART VI, SECTION A, LINE 1 THERE ARE TWO EX-OFFICIO TRUSTEES, THE GOVERNOR OF CONNECTICUT AND THE LIEUTENANT GOVERNOR OF CONNECTICUT. HISTORICALLY, THESE INDIVIDUALS DO NOT PARTICIPATE IN GOVERNANCE ACTIVITIES AT THE UNIVERSITY AND THEY ARE REPORTED AS INDEPENDENT. FORM 990, PART VI, SECTION A, LINE 2 CATHARINE B. HILL AND PAUL L. JOSKOW HAD A BUSINESS RELATIONSHIP DURING THE FYE 6/30/17. FORM 990, PART VI, SECTION A, LINE 4 DURING THE FYE 6/30/17, THE YALE CORPORATION BY-LAWS WERE AMENDED TO REFLECT THE ADDITION OF TWO NEW UNDERGRADUATE RESIDENTIAL COLLEGES AS WELL AS THE RENAMING OF A THIRD UNDERGRADUATE RESIDENTIAL COLLEGE. IN ADDITION, CERTAIN TITLES IN THE BY-LAWS WERE DROPPED IN FAVOR OF MORE INCLUSIVE TITLES. FORM 990, PART VI, SECTION A, LINE 7A THE GOVERNING BODY INCLUDES SIX ALUMNI TRUSTEES WHO ARE ELECTED BY THE ALUMNI. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 WAS REVIEWED BY SENIOR MANAGEMENT. IN ADDITION, THE UNIVERSITY DISTRIBUTED A DRAFT COPY OF FORM 990 TO THE CORPORATION AUDIT COMMITTEE, COMPRISED OF THREE MEMBERS OF THE UNIVERSITY'S GOVERNING BODY. MEMBERS OF SENIOR MANAGEMENT MET WITH CERTAIN UNIVERSITY OFFICERS AND THE CORPORATION AUDIT COMMITTEE TO DISCUSS THE DRAFT FORM 990 AND ANSWER ANY QUESTIONS PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE YALE UNIVERSITY CONFLICT OF INTEREST POLICY OBLIGATES EACH OFFICER, TRUSTEE, AND KEY EMPLOYEE TO PROMPTLY DISCLOSE ANY ACTUAL OR POTENTIAL CONFLICT OF INTEREST AS DEFINED IN THE POLICY. EACH SUCH PERSON MUST SIGN A STATEMENT ANNUALLY AFFIRMING THAT HE OR SHE HAS RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY, HAS READ AND UNDERSTANDS THE POLICY, AGREES TO COMPLY WITH THE POLICY, AND UNDERSTANDS THAT THE CORPORATION IS CHARITABLE AND IN ORDER TO MAINTAIN ITS EXEMPTION IT MUST ENGAGE PRIMARILY IN ACTIVITIES WHICH ACCOMPLISH ONE OR MORE OF ITS TAX-EXEMPT PURPOSES. IN CONNECTION WITH ANY ACTUAL OR POSSIBLE CONFLICT OF INTEREST, AN INTERESTED PERSON MUST DISCLOSE THE EXISTENCE OF HIS OR HER FINANCIAL INTEREST AND BE GIVEN THE OPPORTUNITY TO DISCLOSE ALL MATERIAL FACTS TO THE DIRECTOR AND MEMBERS OF THE COMMITTEE WITH GOVERNING BOARD DELEGATED POWERS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. AFTER DISCLOSURE OF A POTENTIAL CONFLICT OF INTEREST, THE INTERESTED PERSON IS EXCUSED FROM THE GOVERNING BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS MADE, AND IS RECUSED FROM PARTICIPATING IN ANY VOTE ON THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS FOR DETERMINING THE COMPENSATION OF THE PRESIDENT INCLUDED INITIAL REVIEW BY THE COMMITTEE ON COMPENSATION (THE COMPENSATION COMMITTEE) OF THE YALE CORPORATION (YALE UNIVERSITY'S GOVERNING BOARD), A RECOMMENDATION VOTED BY THE COMMITTEE TO THE YALE CORPORATION, AND FULL REVIEW AND VOTE BY THE YALE CORPORATION. BOTH REVIEWS INCLUDED REVIEW OF THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT OTHER UNIVERSITIES, AS COMPILED BY A PROFESSIONAL COMPENSATION CONSULTANT RETAINED BY THE COMPENSATION COMMITTEE FOR THE PURPOSE, AND REVIEW OF INFORMATION ON SUCH COMPARABLE POSITIONS FROM IRS FORMS 990 FOR SIMILAR ORGANIZATIONS; BOTH REVIEWS CONSIDERED SUCH DATA IN LIGHT OF THE PERFORMANCE OF THE PRESIDENT, WHICH WAS REVIEWED BY THE COMPENSATION COMMITTEE AND BY THE YALE CORPORATION. THE PROCEEDINGS OF THE COMPENSATION COMMITTEE, AND THE PROCEEDINGS OF THE YALE CORPORATION, EACH WERE DOCUMENTED IN MINUTES OF THE RESPECTIVE BODY, CONTEMPORANEOUSLY ADOPTED AND RETAINED IN THE RECORDS OF THE RESPECTIVE BODY, ALONG WITH THE DATA ON COMPARABLE COMPENSATION THAT WAS RELIED UPON. THE PROCESS FOR DETERMINING COMPENSATION OF THE OFFICERS CONSISTED OF REVIEW BY THE COMPENSATION COMMITTEE OF THE RECOMMENDATIONS MADE BY THE PRESIDENT, CONSIDERING THE PERFORMANCE OF EACH OFFICER, AND REVIEW OF DATA ON COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT SIMILAR ORGANIZATIONS, AS COLLECTED BY A PROFESSIONAL COMPENSATION CONSULTANT THROUGH SURVEYS; THE COMPENSATION COMMITTEE VOTED RECOMMENDATIONS ON COMPENSATION OF SUCH INDIVIDUALS TO THE YALE CORPORATION. THE YALE CORPORATION RECEIVED THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE, AND DISCUSSED THESE WITH THE PRESIDENT, WHO REVIEWED THE PERFORMANCE OF EACH OFFICER WITH THE YALE CORPORATION, AND ALSO THE COMPARABLE COMPENSATION INFORMATION. THE YALE CORPORATION THEN VOTED ON THE COMPENSATION OF EACH OFFICER. THE PROCEEDINGS OF THE COMPENSATION COMMITTEE AND OF THE CORPORATION EACH WERE DOCUMENTED IN MINUTES CONTEMPORANEOUSLY ADOPTED AND RETAINED IN THE RECORDS OF THE RESPECTIVE BODY, ALONG WITH THE DATA ON COMPARABLE COMPENSATION THAT WAS RELIED UPON. OF THE KEY EMPLOYEES, THE COMPENSATION OF THE DEAN, SCHOOL OF MEDICINE WAS RECOMMENDED BY THE PRESIDENT TO THE COMPENSATION COMMITTEE, AND REVIEWED BY THAT COMMITTEE IN CONJUNCTION WITH ITS REVIEW OF THE PERFORMANCE OF THE DEAN AND CONSIDERATION OF DATA ON THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT OTHER INSTITUTIONS COMPILED BY AN INDEPENDENT COMPENSATION CONSULTANT. THE COMPENSATION COMMITTEE VOTED TO APPROVE THE COMPENSATION, AND CONTEMPORANEOUSLY DOCUMENTED ITS PROCEEDINGS IN MINUTES RETAINED IN ITS RECORDS ALONG WITH THE COMPENSATION DATA RELIED UPON. WITH RESPECT TO THE CHIEF INVESTMENT OFFICER AND SENIOR DIRECTOR, INVESTMENTS, THE COMPENSATION COMMITTEE VOTED TO APPROVE THE COMPENSATION AFTER CONSIDERATION OF THE RECOMMENDATIONS OF THE PRESIDENT AND OF THE FOLLOWING: REVIEW OF THE PERFORMANCE OF EACH, INVESTMENT PERFORMANCE OF THE YALE ENDOWMENT OVER DESIGNATED PERIODS, OTHER PERFORMANCE-RELATED INFORMATION, AND AN ANALYSIS OF THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT TAXABLE AND TAX-EXEMPT ORGANIZATIONS PREPARED BY AN INDEPENDENT COMPENSATION CONSULTANT RETAINED FOR THE PURPOSE. THE COMPENSATION COMMITTEE CONTEMPORANEOUSLY DOCUMENTED ITS PROCEEDINGS IN MINUTES RETAINED IN ITS RECORDS ALONG WITH THE COMPENSATION DATA RELIED UPON. EXCEPT AS NOTED ABOVE, COMPENSATION DECISIONS FOR KEY EMPLOYEES WERE MADE BY THE EMPLOYEE'S SUPERVISOR IN ACCORDANCE WITH UNIVERSITY POLICIES AND PROCEDURES. NO MEMBER OF THE YALE CORPORATION WHO HAD A CONFLICT OF INTEREST WITH RESPECT TO A COMPENSATION ARRANGEMENT DESCRIBED ABOVE (I.E., BY VIRTUE OF A FAMILY OR BUSINESS RELATIONSHIP) PARTICIPATED IN THE COMPENSATION COMMITTEE REVIEW OR THE VOTE OF THE YALE CORPORATION WITH RESPECT TO SUCH COMPENSATION ARRANGEMENT. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S GOVERNING DOCUMENTS, INCLUDING ANY AMENDMENTS, FINANCIAL STATEMENTS AND STANDARDS OF BUSINESS CONDUCT ARE AVAILABLE ON THE UNIVERSITY'S WEBSITE OR UPON REQUEST. FORM 990, PART VII, SECTION A: COMPENSATION FOR THE FORMER OFFICER INCLUDES AMOUNTS RELATED TO CONTINUING SERVICE IN A NON-OFFICER POSITION. FORM 990, PART VII, SECTION A, COLUMN (A): CONTINUATION OF TITLES FOR EACH LISTED PERSON: PETER SALOVEY: PROFESSOR OF PSYCHOLOGY BRUCE D. ALEXANDER: & CAMPUS DEVELOPMENT JACK F. CALLAHAN, JR.: SR VP FOR OPERATIONS EFFECTIVE 8/10/16 ALEXANDER E. DREIER: GENERAL COUNSEL AND SR COUNSELOR TO THE PRESIDENT BENJAMIN POLAK: PROFESSOR OF ECONOMICS; PROFESSOR, SCHOOL OF MANAGEMENT SCOTT A. STROBEL: & PROGRAM DEVELOPMENT; DEPUTY PROVOST FOR TEACHING & LEARNING; PROFESSOR OF MOLECULAR BIOPHYSICS AND BIOCHEMISTRY; PROFESSOR OF CHEMISTRY; HOWARD HUGHES MEDICAL INSTITUTE PROFESSOR ROBERT J. ALPERN: PROFESSOR OF MEDICINE (NEPHROLOGY) KHALID M. ABBED: ASSOCIATE PROFESSOR OF NEUROSURGERY; DIRECTOR, MINIMALLY INVASIVE SPINE SURGERY & SPINE TUMOR SURGERY UMER M. DARR: (CARDIAC SURGERY) MURAT GUNEL: PROFESSOR OF NEUROSURGERY AND PROFESSOR OF GENETICS AND OF NEUROSCIENCE LINDA K. LORIMER: SENIOR COUNSELOR TO THE PRESIDENT AND PROVOST FORM 990, PART VII, SECTION A, COLUMN (B): THE NUMBER OF HOURS REPORTED FOR EACH LISTED PERSON IS AN ESTIMATE. THE ESTIMATE FOR TRUSTEES INCLUDES MEETING TIME AND PREPARATION, AS WELL AS ATTENDANCE AT CERTAIN OFFICIAL UNIVERSITY FUNCTIONS DURING THE YEAR, BUT DOES NOT INCLUDE TRAVEL TIME OR ATTENDANCE AT OTHER EVENTS AS TRUSTEES. IN MANY CASES, THE ACTUAL AVERAGE HOURS PER WEEK FOR LISTED PERSONS, OTHER THAN TRUSTEES, EXCEEDED 50 HOURS. FORM 990, PART VII, SECTION B, COLUMN (C): THE AMOUNT REPORTED REPRESENTS DIRECT CASH PAYMENTS MADE DURING THE CALENDAR YEAR 2016 TO INDEPENDENT CONTRACTORS FOR SERVICES. FOR CONSTRUCTION SERVICES, THE FEES REPRESENT THE ENTIRE CONTRACT COST. FORM 990, PART IX, LINE 24: OTHER EXPENSES INCLUDE $1,315,410 OF STATE UNRELATED BUSINESS INCOME TAX. FORM 990, PART XI, LINE 9: CHANGE IN FUNDING STATUS OF DEFINED BENEFIT PLANS 246,399,000. ACTUARIAL ADJUSTMENTS FOR SPLIT INTEREST LIABILITY 456,377. ROUNDING -117. FORM 990, SCHEDULE B, PART I CONTRIBUTOR NO. 1 AND 2: PORTIONS OF THESE CONTRIBUTIONS REPRESENT PLEDGES. IT IS UNKNOWN AT THIS TIME WHETHER THE PLEDGES WILL BE SATISFIED WITH CASH OR NON-CASH PROPERTY. 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SCHEDULE R, PART III: GENERAL NOTE: DISPROPORTIONATE ALLOCATIONS INDICATED IN COLUMN (H) OF PART III GENERALLY RELATE TO I.) A GENERAL PARTNER'S TYPICAL CARRIED INTEREST WITH RESPECT TO PRIVATE FUND INVESTMENTS OR II.) ALLOCATIONS AMONG 501(C)(3) ORGANIZATIONS THAT ARE PARTNERS OR MEMBERS IN AN INVESTMENT ENTITY. SCHEDULE R, PART IV: AS OF JUNE 30, 2017, YALE UNIVERSITY HELD A GREATER THAN 50% BENEFICIAL INTEREST IN 47 CHARITABLE REMAINDER TRUSTS (CRTS). THE UNIVERSITY WAS THE TRUSTEE OF 40 OF THESE CRTS, OF WHICH 38 WERE DOMICILED IN CONNECTICUT, ONE IN PENNSYLVANIA AND ONE IN MASSACHUSETTS. SCHEDULE R, PART V: GENERAL NOTE: THIS SCHEDULE REFLECTS ALL TRANSFERS BY YALE UNIVERSITY TO CORPORATIONS, PARTNERSHIPS, OR OTHER ENTITIES CONTROLLED BY YALE AS DEFINED IN IRC SECTION 512(B)(13) AND RELATED TAX-EXEMPT ORGANIZATIONS NOT DESCRIBED IN IRC SECTION 501(C)(3). IN SOME INSTANCES, THESE ENTITIES MADE FURTHER TRANSFERS TO OTHER ENTITIES CONTROLLED BY THEM OR YALE UNIVERSITY. IN ADDITION, THIS SCHEDULE REFLECTS ALL TRANSFERS TO YALE UNIVERSITY BY CORPORATIONS, PARTNERSHIPS, OR OTHER ENTITIES CONTROLLED BY YALE AS DEFINED IN IRC SECTION 512(B)(13) AND RELATED TAX-EXEMPT ORGANIZATIONS NOT DESCRIBED IN IRC SECTION 501(C)(3). IN SOME INSTANCES, THESE ENTITIES RECEIVED TRANSFERS FROM OTHER ENTITIES CONTROLLED BY THEM OR YALE UNIVERSITY. 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