2018-05-11T12:41:51-05:00 2017-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2016-07-01 251035663 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT DUQU 4123966592 600 FORBES AVENUE PITTSBURGH PA 152820226 MATTHEW J FRIST VP FOR MGMT & BUSINESS 4123966592 2018-05-08 1 SUSAN M KIRSCH P00341397 4122613644 2016 2022-09-23 18:48:47Z KENNETH G GORMLEY ESQ 600 FORBES AVENUE PITTSBURGH PA 152820226 600400876 0 X WWW.DUQ.EDU X 1878 PA DUQUESNE UNIVERSITY OF THE HOLY SPIRIT IS A CATHOLIC UNIVERSITY, FOUNDED BY MEMBERS OF THE CONGREGATION OF THE HOLY SPIRIT, THE SPIRITANS, AND SUSTAINED THROUGH A PARTNERSHIP OF LAITY AND RELIGIOUS. DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, THE COMMUNITY, THE NATION AND THE WORLD. 32 31 5007 27 910661 0 26425071 25627534 352951158 366439796 9518102 22305776 2170356 1666780 391064687 416039886 106128497 115468696 0 0 175714535 178370607 0 0 4291138 96921824 99548331 378764856 393387634 12299831 22652252 661687195 682526832 244687032 228565202 417000163 453961630 X DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, COMMUNITY, NATION AND THE WORLD. 0 0 234156856 109424037 317783212 EDUCATIONAL PROGRAMS, GENERAL/OTHER: INSTRUCTION - SCHOOL OF LIBERAL ARTS, BUSINESS ADMINISTRATION, EDUCATION, MUSIC, HEALTH SCIENCES, PHARMACY, LAW, NATURAL AND ENVIRONMENTAL SCIENCES, NURSING (9403 STUDENTS), 56541097 5988110 47759214 AUXILIARY/STUDENT SERVICES:STUDENT SERVICES PROGRAMS, STUDENT SERVICES, INSTITUTIONAL SUPPORT, AND AUXILIARY ENTERPRISES (12,175 UNIVERSITY COMMUNITY)AND ROOM & BOARD, FOOD SERVICE, INTERCOLLEGIATE ATHLETICS, PARKING EVENTS, CONFERENCES. 40635101 231371 EDUCATIONAL DELIVERY, ACADEMIC SUPPORT - LIBRARY, DEANS OFFICE, PROVOST OFFICES, CATALOGS, COMMENCEMENT, CLERGY RESIDENCE, INCLUDING 10,377 STUDENTS AND FACULTY. 4354230 56549 235139 MEDIA AND COMMUNICATION PROGRAMS, GENERAL/OTHER: PUBLIC SERVICE, PUBLIC RESEARCH PROGRAMS, 2502 PHARMACY CUSTOMERS, 34,120 PRESCRIPTIONS DISPENSED, LAW LIBRARY PROGRAMS 8837459 36821 SCIENCE & TECHNOLOGY RESEARCH, GENERAL/OTHER: RESEARCH -DHEW, NSF AND OTHER RESTRICTED FUNDS FOR RESEARCH (120 FUNDING AGENCIES) 13191689 56549 271960 344524743 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 1 1 0 1 1 1 0 1 0 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 1 0 0 0 1 12740 0 1 5007 1 1 1 1 IT CJ 0 0 0 1 1 1 1 0 0 0 X 32 31 0 0 1 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 PA MN OR KY OH NH CO MA ME X JAMES A TORTELLA 4123966592 600 FORBES AVE ROOM 211 PITTSBURGH PA 15282 CARL J BARTOLOMUCCI BOARD MEMBER, EX OFFICIO 2.00 X 0 0 0 ARNOLD E BURCHIANTI II BOARD MEMBER 2.00 X 0 0 0 ESTHER L BUSH BOARD MEMBER 2.00 X 0 0 0 SR MARGARET CARNEYOSF BOARD MEMBER, ENTER 6-8-17 2.00 X 0 0 0 STEVEN N COSTABILE BOARD MEMBER, ENTER 3-7-17 2.00 X 0 0 0 SAMUEL A COSTANZO BOARD MEMBER 2.00 X 0 0 0 DAVID D'ERAMO BOARD MEMBER 2.00 X 0 0 0 VREV LAWRENCE A DINARDO VGMCH BOARD MEMBER, EX OFFICIO 2.00 X 0 0 0 VREVJEFFREY T DUAIME CSSP BOARD MEMBER, EX OFFICIO 2.00 X 0 0 0 RODNEY W FINK BOARD MEMBER, ENTER 3-7-17 2.00 X 0 0 0 GREGORY J GERUSON BOARD MEMBER, ENTER 6-1-16 2.00 X 0 0 0 THOMAS B GREALISH BOARD MEMBER 2.00 X 0 0 0 DIANE S HUPP BOARD MEMBER 2.00 X 0 0 0 CHARLOTTE S JEFFERIES BOARD MEMBER, ENTER 6-8-17 2.00 X 0 0 0 SCOTT M LAMMIE BOARD MEMBER 2.00 X 0 0 0 CHARLES R MANNIX JR BOARD MEMBER, ENTER 1-25-17 2.00 X 0 0 0 CHRISTOPHER S MCMAHON BOARD MEMBER, ENTER 3-7-17 2.00 X 0 0 0 HELENE L NORBUT BOARD MEMBER 2.00 X 0 0 0 REV JAMES OKOYE CSSP BOARD MEMBER, EX OFFICIO 2.00 X 0 0 7586 IRENE M QUALTERS BOARD MEMBER 2.00 X 0 0 0 JOSEPH E ROCKEY BOARD MEMBER 2.00 X 0 0 0 CATHARINE M RYAN BOARD MEMBER 2.00 X 0 0 0 REV JOHN A SAWICKI CSSP BOARD MEMBER, EX OFFICIO 2.00 X 0 0 7647 GRETCHEN G SMARTO BOARD MEMBER 2.00 X 0 0 0 BRIAN L SULLIVAN BOARD MEMBER 2.00 X 0 0 0 THOMAS A TRIBONE BOARD MEMBER 2.00 X 0 0 0 REV DANIEL WALSH CSSP BOARD MEMBER 2.00 X 0 0 7654 REV RAYMOND FRENCH CSSP BOARD MEMBER, V.P. MISSION 55.00 X X 0 0 7654 KENNETH G GORMLEY JD PRESIDENT, ENTER 7-1-16 55.00 X X 307611 0 73195 MARIE MILIE JONES CHAIRMAN OF THE BOARD, EXIT 6-30-17 2.00 X X 0 0 0 JOHN R MCGINLEY JR VICE CHAIRMAN OF BOARD, ENTER 7-1-16 2.00 X X 0 0 0 JOHN W MCGONIGLE VICE CHAIRMAN OF BOARD, ENTER 7-1-16 2.00 X X 0 0 0 TIMOTHY R AUSTIN PROVOST/VP ACADEMIC AFFAIR 55.00 X 272830 0 23224 PAUL-JAMES CUKANNA VP FOR ENROLLMENT, ENTER 11-1-16 55.00 X 173753 0 26419 MATTHEW J FRIST VP MANAGEMENT/BUSINESS 55.00 X 227347 0 46022 DOUGLAS K FRIZZELL VP FOR STUDENT LIFE 55.00 X 214522 0 88821 JOHN P PLANTE VP FOR UNIVERSITY ADVANCEMENT 55.00 0.50 X 263053 0 93904 MADELYN A REILLY ESQ SECRETARY/GEN.COUNSEL 55.00 X 210865 0 18806 JDOUGLAS BRICKER DEAN, SCHOOL OF PHARMACY 55.00 X 246999 0 35754 DEAN B MCFARLIN DEAN, SCHOOL OF BUSINESS 55.00 X 224385 0 42562 JAMES C SWINDAL DEAN, SCHOOL OF LIBERAL ARTS 55.00 X 171544 0 43764 DANIEL G BURT HEAD COACH, WOMEN'S BASKETBALL 55.00 X 305353 0 17918 JAMES A FERRY EXIT 3-14-17 HEAD COACH MEN'S BASKETBALL 55.00 X 634208 0 393480 ALEEM GANGJEE PROFESSOR, SCHOOL OF PHARMACY 55.00 X 372218 0 39637 MARY ELLEN GLASGOW DEAN, SCHOOL OF NURSING 55.00 X 225346 0 36151 DAVID L HARPER DIRECTOR OF ATHLETICS 55.00 X 251774 0 66342 CHARLES J DOUGHERTY PRESIDENT EMERITUS, EXIT 6-30-16 55.00 X 1345106 0 96647 RALPH L PEARSON FRM OFFICER PROFESSOR MCANULTY COLLEGE 55.00 X 118413 0 26611 GREGORY H FRAZER FORMER KEY DEAN, SCH HEALTH SCIENCE EXIT 09-16 55.00 X 137573 0 70183 5702900 0 1269981 249 1 1 0 EAT'N PARK HOSPITALITY GROUP INC 285 EAST WATERFRONT DR PO BOX 300 PITTSBURGH PA 15230 FOOD SERVICE 12208717 WAYNE CROUSE INC 3370 STAFFORD STREET PITTSBURGH PA 15204 CONSTRUCTION 6026697 TEDCO CONSTRUCTION CORPORATION 1 TEDCO PLACE CARNEGIE PA 15106 CONSTRUCTION 4057108 MBM CONTRACTING INC 4999 OLD CLAIRTON ROAD PITTSBURGH PA 15236 CONSTRUCTION 2836761 RYCON CONSTRUCTION INC 2525 LIBERTY AVENUE SUITE 1 PITTSBURGH PA 15222 CONSTRUCTION 1254037 62 288209 603717 10234869 14500739 1250244 25627534 EDUCATIONAL PROGRAMS 611710 317783212 317783212 STUDENT SRVC PROGRAMS 611710 48153253 47759214 394039 PUBLIC SERVICE 611710 235139 235139 ACADEMIC SUPPORT 611710 231371 231371 SCIENCE&TECHN.RESEARCH 541700 36821 36821 366439796 4692033 13904 4678129 515725 515725 449650 111077 338573 338573 6879 331694 199867268 20382 182273907 0 17593361 20382 17613743 17613743 261342 288209 283590 -22248 -22248 2527146 1692416 834730 495839 338891 416039886 366045757 910661 23455934 56549 56549 114470432 114470432 941715 941715 3065097 1479156 1313013 272928 288113 288113 132324012 113824095 16389001 2110916 7845019 6454915 1240254 149850 25758747 21614313 3649419 495015 9089619 7848008 1064114 177497 954644 954644 166800 166800 90914 73 90841 817667 817667 15605434 14076426 1374036 154972 3589430 1743765 1641326 204339 11252080 8793905 2150507 307668 6465160 2655056 3810104 1545 1545 7461136 6187398 1273187 551 7828298 7314778 284536 228984 558434 483980 68708 5746 5701466 4709411 992055 23678339 19560433 4117906 1384033 58783 1325250 OTHER GENERAL 13265843 11696075 1439539 130229 MEMBERSHIPS 727108 553932 120733 52443 393387634 344524743 44571753 4291138 18937239 16191804 6822198 7547944 22208096 22678650 1162073 1145953 4346874 3992825 584967182 278239554 311009049 306727628 236363678 152510714 56113431 168000414 4724557 3730900 661687195 682526832 39995302 33981314 13407122 14050213 165850334 157097332 25434274 23436343 244687032 228565202 X 266400973 284416834 48779820 61968053 101819370 107576743 417000163 453961630 661687195 682526832 X 22652252 14286967 22248 X X 0 1 X 1 1 1 X 20067038 25068847 23956222 26425071 25627534 121144712 20067038 25068847 23956222 26425071 25627534 121144712 121144712 6479227 6307007 6032831 6376147 5269101 30464313 151609025 1723279409 0.79910 0.78880 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 129289 129289 393258345 393387634 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 79479 153928 159210 129289 521906 250000 250000 250000 250000 1000000 1500000 246325890 7009430 30491607 3988085 7250049 272588792 259944899 5631872 -9805096 3639996 5805789 246325890 261800142 7850236 -1482373 3187336 5035770 259944899 205803386 27252473 36066530 2838845 4483402 261800142 180197963 8531619 23579765 2672284 3833677 205803386 0.43290 0.38840 0.17870 0 0 20177172 20177172 455926580 197624382 258302198 81998947 66447272 15551674 26864483 14167900 12696584 306727628 FIR TREE INTERNATIONAL VALUE FUND 8541480 F HBK OFFSHORE FUND 5668031 F CLAREN ROAD CREDIT FUND 703753 F GRAHAM GLOBAL 4274359 F TACONIC OPPORTUNITY 6720315 F RIMROCK HIGH INCOME PLUS 13915182 F YUKON CAPITAL PARTNERS 1982147 F NORTHGATE 3672919 F PITTSBURGH EQUITY PARTNERS 166990 F SIGULAR GUFF 784567 F MAHOUT GLOBAL EMERGING 11291992 F HENGISTBURY 3662377 F KILTEARN 15823647 F VALINOR CAPITAL 4314049 F ARROWSTREET 16284951 F JOHNSTON INTERNATIONAL 16810438 F STATE STREET MSCI ACWI 17420157 F HIGHFIELDS CAPITAL 5063400 F INDABA CAPITAL PARTNERS 4234532 F STATE STREET RUSSELL 3000 25909119 F AXIOM ASIA 756009 F 168000414 EQUIPMENT LEASE - MISCELLANEOUS 82719 CONDITIONAL ASSET RETIREMENT OBLIGATION 4489225 FEDERAL LOAN FUNDS 12451551 AGENCY FUNDS 932070 ANNUITIES PAYABLE 348490 LIABILITIES ASSOCIATED WITH INVESTMENTS 5132288 23436343 X 316438537 14286967 657928 14944895 301493642 114546244 114546244 416039886 279477069 657927 843655 1501582 277975487 115412147 115412147 393387634 PART V, LINE 4: THE INTENDED USES OF DUQUESNE UNIVERSITY OF THE HOLY SPIRIT ENDOWMENT FUNDS ARE TO PRIMARILY PROVIDE FUNDS FOR STUDENT SCHOLARSHIPS, FELLOWSHIPS, LECTURESHIPS, FACULTY CHAIRS, AND RESOURCE FUNDS. ENDOWMENT FUNDS ALSO SUPPORT LIBRARY, ACADEMIC SUPPORT, REPAIR AND REPLACEMENT OF FACILITIES, AND GENERAL OPERATIONS. ALL USES ARE IN ACCORDANCE WITH APPLICABLE DONOR RESTRICTIONS. PART X, LINE 2: THE UNIVERSITY ADOPTED GUIDANCE FOR UNCERTAINTY IN INCOME TAXES, WHICH PROVIDES CRITERIA FOR THE RECOGNITION AND MEASUREMENT OF UNCERTAIN TAX POSITIONS. THIS GUIDANCE REQUIRES THAT AN UNCERTAIN TAX POSITION SHOULD BE RECOGNIZED ONLY IF IT IS "MORE LIKELY THAN NOT" THAT THE POSITION IS SUSTAINABLE BASED ON ITS TECHNICAL MERITS. RECOGNIZABLE TAX POSITIONS SHOULD THEN BE MEASURED TO DETERMINE THE AMOUNT OF BENEFIT RECOGNIZED IN THE FINANCIAL STATEMENTS. THE UNIVERSITY FILES U.S. FEDERAL, STATE, AND LOCAL INFORMATION RETURNS, AND NO RETURNS ARE CURRENTLY UNDER EXAMINATION. THE STATUTE OF LIMITATIONS ON THE UNIVERSITY'S U.S. FEDERAL TAX RETURNS REMAINS OPEN FOR THE YEARS ENDED JUNE 30, 2014, THROUGH THE PRESENT. THE UNIVERSITY CONTINUES TO EVALUATE ITS TAX POSITIONS PURSUANT TO THE PRINCIPLES OF SUCH GUIDANCE AND HAS DETERMINED THAT THERE IS NO MATERIAL IMPACT ON THE UNIVERSITY'S FINANCIAL STATEMENTS. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 115,412,147. SPECIAL EVENTS -22,248. COST OF GOODS SOLD -1,692,416. GAIN ON SALE OF ASSETS 20,382. INVESTMENT MANAGEMENT FEES RE-CLASS 817,667. INTERDEPARTMENTAL TRANSFERS 121,789. CONFERENCE RENTAL EXPENSE RE-CLASS -111,077. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 1,692,416. GAIN ON SALES OF ASSETS -20,382. INTERDEPARTMENTAL TRANSFERS -121,789. INVESTMENT MANAGEMENT FEES RE-CLASS -817,667. CONFERENCE EXPENSES AGAINST INCOME RE-CLASS 111,077. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 115,412,147. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 DUQUESNE UNIVERSITY'S NONDISCRIMINATORY POLICY IS PUBLISHED IN CATALOGS, REGISTRATION PUBLICATIONS, APPLICATIONS FOR ADMISSION AND FINANCIAL AID. THE POLICY IS ALSO AVAILABLE ON MULTIPLE AREAS OF THE UNIVERSITY'S WEB SITE AS WELL AS PUBLISHED IN THE PITTSBURGH POST GAZETTE ANNUALLY. THE POLICY IS ALSO PUBLISHED IN HUMAN RESOURCE / EMPLOYMENT PUBLICATIONS AND DOCUMENTS, THE PREAMBLE OF THE EXECUTIVE RESOLUTIONS OF THE BOARD AND IN ADMINISTRATIVE POLICIES. SCHEDULE E, PART I, LINE 6 IN THE COURSE OF OUR BUSINESS AS A UNIVERSITY, THE INSTITUTION RECEIVES FEDERAL GRANT FUNDS FOR ADMINISTRATIVE ALLOWANCES FOR FEDERAL SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS,PELL GRANTS,FEDERAL COLLEGE WORK STUDY GRANTS,AND STATE INSTITUTIONAL ASSISTANCE GRANTS. 1 CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 1497 CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 INVESTMENTS 52790086 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 15972 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES STUDY ABROAD 100095 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 2 23 PROGRAM SERVICES STUDY ABROAD 2238046 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 941715 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 124721 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 22214 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 38482 SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 1667 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 11949 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, 0 0 PROGRAM SERVICES STUDY ABROAD 32886 MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 0 0 INVESTMENTS 14000 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES RECRUITMENT 2337 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, 0 0 PROGRAM SERVICES MISSIONARY 10045 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES RECRUITMENT 24978 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 237164 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES RECRUITMENT 16729 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 377625 CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 PROGRAM SERVICES STUDY ABROAD 1091 CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 PROGRAM SERVICES MISSIONARY 2138 CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 PROGRAM SERVICES RECRUITMENT 25 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES STUDY ABROAD 1403 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 207971 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 0 0 PROGRAM SERVICES RECRUITMENT 4573 SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 8 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 73468 MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSES 5368 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSES 9803 RUSSIA AND NEIGHBORING STATES - ARMENIA, AZERBIJAN, BELARUS, 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSES 2200 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, 0 0 PROGRAM SERVICES RECRUITMENT 9205 2 23 0 0 2 23 56234346 1085115 57319461 STUDENT SCHOLARSHIP EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIU 135 941715 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT 0 1 0 1 1 1 0 PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEED ARE MONITORED TO ENSURE THEY MEET ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. LAUREL VALLEY GOLF INVITATIONAL 132613 65505 67108 66397 305 4406 PRESIDENT'S SCHOLARSHIP DINNER 85500 36000 49500 8167 29829 1000 14417 9 331438 186704 144734 10867 75054 51928 2385 18835 549551 288209 261342 10867 149618 82062 3385 37658 283590 -22248 1 ALLEGHENY CONFERENCE ON COMMUNITY DEVELOPMENT 11 STANWIX ST 17TH FLOOR PITTSBURGH PA 15222 250965213 501(C)(3) 22549 0 PROGRAM SUPPORT PITTSBURGH COUNCIL OF HIGHER EDUCATION 201 WOOD ST PITTSBURGH PA 15222 237303727 501(C)(3) 34000 0 PROGRAM SUPPORT 2 ACADEMIC SCHOLARSHIPS 10483 94323231 ATHLETIC SCHOLARSHIPS 527 7882357 ENDOWED /NON-ENDOWED SCHOLARSHIPS 1090 3963635 RELIGIOUS / H.S., TEACHER, SCHOLARSHIPS 707 2596068 TAMBURITIZAN / ROTC 5 38323 NEED BASED 2119 5666817 PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEED ARE MONITORED TO ENSURE THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. GRANTS TO DOMESTIC ORGANIZATIONS ARE MONITORED TO ENSURE THAT THEY MEET THE REQUIREMENTS OR OTHER CRITERIA STIPULATED BY OUR MISSION. X X 1 1 X X X X X 0 1 0 0 0 0 0 0 0 KENNETH G GORMLEY JD PRESIDENT, ENTER 7-1-16 296788 0 0 0 10823 0 24526 0 48669 0 380806 0 0 0 TIMOTHY R AUSTIN PROVOST/VP ACADEMIC AFFAIR 264453 0 0 0 8377 0 21291 0 1933 0 296054 0 0 0 PAUL-JAMES CUKANNA VP FOR ENROLLMENT, ENTER 11-1-16 170878 0 0 0 2875 0 14226 0 12193 0 200172 0 0 0 MATTHEW J FRIST VP MANAGEMENT/BUSINESS 219106 0 0 0 8241 0 18064 0 27958 0 273369 0 0 0 DOUGLAS K FRIZZELL VP FOR STUDENT LIFE 205937 0 0 0 8585 0 17260 0 71561 0 303343 0 0 0 JOHN P PLANTE VP FOR UNIVERSITY ADVANCEMENT 248303 0 0 0 14750 0 20940 0 72964 0 356957 0 0 0 MADELYN A REILLY ESQ SECRETARY/GEN.COUNSEL 199694 0 0 0 11171 0 16156 0 2650 0 229671 0 0 0 JDOUGLAS BRICKER DEAN, SCHOOL OF PHARMACY 246631 0 0 0 368 0 20136 0 15618 0 282753 0 0 0 DEAN B MCFARLIN DEAN, SCHOOL OF BUSINESS 224256 0 0 0 129 0 18509 0 24053 0 266947 0 0 0 JAMES C SWINDAL DEAN, SCHOOL OF LIBERAL ARTS 171351 0 0 0 193 0 14322 0 29442 0 215308 0 0 0 DANIEL G BURT HEAD COACH, WOMEN'S BASKETBALL 300563 0 0 0 4790 0 15413 0 2505 0 323271 0 0 0 JAMES A FERRY EXIT 3-14-17 HEAD COACH MEN'S BASKETBALL 621897 0 0 0 12311 0 365948 0 27532 0 1027688 0 0 0 ALEEM GANGJEE PROFESSOR, SCHOOL OF PHARMACY 361527 0 0 0 10691 0 18062 0 21575 0 411855 0 0 0 MARY ELLEN GLASGOW DEAN, SCHOOL OF NURSING 221956 0 0 0 3390 0 18446 0 17705 0 261497 0 0 0 DAVID L HARPER DIRECTOR OF ATHLETICS 247152 0 0 0 4622 0 20069 0 46273 0 318116 0 0 0 CHARLES J DOUGHERTY PRESIDENT EMERITUS, EXIT 6-30-16 376333 0 0 0 968773 0 87289 0 9358 0 1441753 0 678894 0 RALPH L PEARSON FRM OFFICER PROFESSOR MCANULTY COLLEGE 117068 0 0 0 1345 0 9858 0 16753 0 145024 0 0 0 GREGORY H FRAZER FORMER KEY DEAN, SCH HEALTH SCIENCE EXIT 09-16 134076 0 0 0 3497 0 11451 0 58732 0 207756 0 0 0 PART I, LINE 4B CHARLES J. DOUGHERTY BECAME FULLY VESTED IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN DURING CALENDAR YEAR 2016. THE PLAN DISTRIBUTED $965,344 IN PLAN ASSETS TO DR. DOUGHERTY. THE DISTRIBUTION IS INCLUDED IN PART II COLUMN B III. A (5)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RFL8 2008-06-19 30780280 SEE PART VI 0 0 0 B (6)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RHG7 2011-02-10 53203859 SEE PART VI 0 0 0 C (7)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RKC2 2013-03-19 43044915 SEE PART VI 0 0 0 D (8)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RKY4 2014-12-17 43842545 SEE PART VI 0 0 0 A 13125000 16080000 30780280 244023 7874 4461383 26067000 2008 1 0 1 1 B 800000 41635000 53426942 1975452 402300 2858 51046332 2012 0 0 1 1 C 6580000 43051476 335654 95 16879743 25835984 2014 0 1 1 1 D 5085000 43842545 404261 43438284 2014 1 1 1 1 A 0 1 1 1 0 0 0 1 B 0 1 1 1 0 0 0 1 C 0 1 1 1 0 0 0 1 D 0 1 1 1 0 0 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 1 0 0 0 0 0 0 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K, PART I, COLUMN F PART I, ROW A, COL F(5): THE PURPOSE OF THE ISSUE WAS THE ACQUISITION OF BUILDING AND REFUNDING OF 2003 BOND ESCROW, 2005 C BOND ESCROW, AND 2007 B BOND ESCROW. PART I, ROW B, COL F(6): THE PURPOSE OF THE ISSUE WAS TO FINANCE VARIOUS CAPITAL PROJECTS FOR THE UNIVERSITY. PART I, ROW C, COL F(7): THE PURPOSE OF THE ISSUE WAS TO FINANCE CAPITAL PROJECTS AND REFUND THE ISSUE DATED 3/31/2004. PART I, ROW D, COL F(8): THE PURPOSE OF THE ISSUE IS TO REFUND ISSUES DATED 12/2/2005 AND 8/23/2007. PART I, ROW A, COL F(9): THE PURPOSE OF THE ISSUE IS TO PARTIALLY REFUND ISSUES DATED 6/19/2008 AND 2/10/2011. SCHEDULE K, PART II, LINE 3 AND LINE 11 PART II, LINE 3, COLUMNS B AND C: THE DIFFERENCE BETWEEN ISSUE PRICE FROM PART I, COLUMN E AND TOTAL PROCEEDS SHOWN IN PART II IS INVESTMENT EARNINGS. PART II, LINE 11, COLUMNS A,C, AND D: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. A (9)ALLEGHENY COUNTY HIGHER EDUC BUILD AUTH 251425398 01728RLR8 2016-05-05 68038418 SEE PART VI 0 0 0 A 68038418 67532577 468697 37144 2016 0 1 1 1 A 0 1 1 1 0 0 0 1 A 0 1 0 0 0 0 0 0 1 A 1 M OVERBY SPOUSE OF OFFICER, TIMOTHY R. AUSTIN, PROVOST/VP ACADEMIC AFFAIRS 95204 EMPLOYMENT: EMPLOYED AS AN ASSOCIATE PROFESSOR. 0 X 39 1250244 FMV X EQUIPMENT 1 0 FMV X AUCTION ITEMS 6 0 FMV X RECEPTION 2 0 FMV 1 0 1 0 PART I, LINE 33: SCHEDULE M, LINE 33: SMALL ITEMS WITH A DE MINIMIS FMV ARE NOT RECORDED IN THE FINANCIAL STATEMENTS. SCHEDULE M, COLUMN (B) NUMBER OF CONTRIBUTIONS IS BASED ON NUMBER OF DONORS, NOT NUMBER OF ITEMS DONATED. FORM 990, PART VI, SECTION A, LINE 4 THERE WAS A CHANGE TO THE BYLAWS IN FISCAL YEAR 2017 WITH THE ADDITION OF THE VICE PRESIDENT FOR ENROLLMENT MANAGEMENT TO THE BOARD AS AN OFFICER, CREATED THE TITLE PRESIDENT EMERITUS, AND CHANGED THE BOARD MEMBERSHIP AND DEVELOPMENT COMMITTEE TO THE BOARD CHAIR ELECTORAL COMMITTEE WHERE THE COMMITTEE HAS 5 MEMBERS SPECIFICALLY DEFINED. FORM 990, PART VI, SECTION A, LINE 6 DUQUESNE UNIVERSITY IS A PENNSYLVANIA NONPROFIT CORPORATION RECOGNIZED AS AN IRC SECTION 501(C)(3) ORGANIZATION. AS PER THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, IT SHALL HAVE MEMBERS. THE MEMBERS OF THE UNIVERSITY SHALL BE THE PROVINCIAL SUPERIOR, THE MEMBERS OF THE PROVINCIAL COUNCIL, AND SUCH OTHER VOWED MEMBERS OF THE CONGREGATION OF THE HOLY SPIRT PROVINCE OF THE UNITED STATES AS ARE APPOINTED BY THE PROVINCIAL SUPERIOR WITH THE CONSENT OF THE PROVINCIAL COUNCIL SO THAT THERE ARE AT ALL TIMES SIX MEMBERS BUT NO MORE THAN 10 MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A PURSUANT TO THE UNIVERSITY'S ARTICLES, THE BOARD OF DIRECTORS SHALL BE ELECTED ANNUALLY BY THE MEMBERS (AS DEFINED ABOVE). IN ADDITION, THERE ARE SEVEN EX-OFFICIO VOTING MEMBERS OF THE BOARD: THE PRESIDENT OF THE UNIVERSITY, THE BISHOP OF THE ROMAN CATHOLIC DIOCESE OF PITTSBURGH, PA OR HIS DELEGATE, THE CHAIRMAN, VICE-CHAIRMAN AND SECRETARY OF THE MEMBERS, THE VP FOR MISSION & IDENTITY AT THE UNIVERSITY AND THE PRESIDENT OF THE DUQUESNE UNIVERSITY ALUMNI ASSOCIATION. FORM 990, PART VI, SECTION A, LINE 7B CERTAIN POWERS ARE RESERVED TO THE MEMBERS INCLUDING BUT NOT LIMITED TO, ELECTION AND REMOVAL OF ANY INDIVIDUAL MEMBER OF THE BOARD OF DIRECTORS, THE RIGHT TO AMEND, ALTER, MODIFY OR REPEAL GOVERNING DOCUMENTS, APPROVE CERTAIN TRANSACTIONS AS SET FORTH IN THE BYLAWS, ISSUE STATEMENTS OF POLICY REGARDING PHILOSOPHY AND MISSION, APPROVE APPOINTMENT OF THE UNIVERSITY PRESIDENT AND CONFIRM OFFICER ELECTIONS, AND APPROVE EMPLOYMENT CONTRACTS OF UNIVERSITY OFFICERS. FORM 990, PART VI, SECTION B, LINE 11B THE DRAFT FORM 990, 990-T AND REQUIRED SCHEDULES ARE REVIEWED WITH THE ORGANIZATION'S INTERNAL MANAGEMENT AS WELL AS THE AUDIT AND FINANCE COMMITTEE. UPON COMPLETION OF THIS REVIEW, THE FORMS ARE FINALIZED AND A COMPLETE COPY IS PROVIDED TO THE BOARD OF DIRECTORS VIA AN INTRANET SITE IN ADVANCE OF FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, A CONFLICT OF INTEREST FORM IS GIVEN TO EMPLOYEES OF THE UNIVERSITY AND TO THE BOARD OF DIRECTORS INCLUDING THE CORPORATION MEMBERS, OFFICERS, HIGHEST PAID AND KEY EMPLOYEES. ALL MUST COMPLETE THIS FORM. FORM 990, PART VI, SECTION B, LINE 15A COMPENSATION OF THE PRESIDENT IS DETERMINED BY THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS. COMPENSATION OF OTHER OFFICERS IS DETERMINED BY THE PRESIDENT OF THE UNIVERSITY AND REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE. COMPENSATION OF KEY EMPLOYEES: THE OFFICE OF HUMAN RESOURCES DEVELOPS AND MAINTAINS A WAGE AND SALARY PROGRAM TO ENSURE FAIR AND EQUITABLE COMPENSATION FOR ADMINISTRATIVE, PROFESSIONAL, AND CLERICAL STAFF OF THE UNIVERSITY. THE PLAN ESTABLISHES PAY RANGES FOR POSITIONS TO ESTABLISH INTERNAL EQUITY, AND ALSO USES SURVEYS OF LOCAL AND NATIONAL INSTITUTIONS, WHICH MAINTAIN SIMILAR OR COMPARABLE EMPLOYMENT SITUATIONS. THE DOCUMENTED RANGES ARE REVIEWED PERIODICALLY AND MODIFIED ACCORDINGLY. FACULTY SALARIES ARE SET BY THE DEAN IN CONSULTATION WITH THE PROVOST AND ARE BASED UPON RELEVANT MARKET AND DISCIPLINE BASED SURVEYS. FORM 990, PART VI, SECTION C, LINE 19 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT MAKES ITS GOVERNANCE DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENT AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: NET SPECIAL EVENT HELD IN AGENCY FUND LIABILITY 22,248. FORM 990, PART XII, LINE 2C, OVERSIGHT OF FINANCIAL AUDIT: DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FINANCIAL STATEMENTS ARE AUDITED BY AN INDEPENDENT ACCOUNTING FIRM. IN ADDITION, DUQUESNE UNIVERSITY OF THE HOLY SPIRIT HAS A COMMITTEE THAT ASSUMES THE RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND ITS SELECTION OF THE INDEPENDENT ACCOUNTING FIRM. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. PART VI 1A THE EXECUTIVE COMMITTEE SHALL HAVE THE POWER TO TRANSACT ALL REGULAR BUSINESS OF THE UNIVERSITY BETWEEN MEETINGS OF THE BOARD. ALL MATTERS OF MAJOR IMPORTANCE WILL BE REPORTED TO THE BOARD. THE EXECUTIVE COMMITTEE SHALL MEET AS NECESSARY. EASTERN CONGREGATION OF THE HOLY SPIRIT PROVINCE OF THE US 6230 BRUSH RUN ROAD BETHEL PARK PA 151022214 270213864 RELIGIOUS CONGREGATION PA 501(C)(3) 170(B)(1)(A)(I) N/A 0 THE DIETRICH FOUNDATION 600 GRANT STREET SUITE 5360 PITTSBURGH PA 15219 364711746 TO SUPPORT FUNCTIONS OF & CARRY OUT THE PURPOSES OF DUQUESNE PA 501(C)(3) 509(A)(3) N/A 0 DUQUESNE UNIVERSITY SCHOOL OF BUSINESS ALUMNI ASSOCIATION 600 FORBES AVE SCH OF BUSINESS PITTSBURGH PA 15282 251661703 TO SUPPORT SCHOOL OF BUSINESS THROUGH RELATIONSHIPS WITH ALUMNI PA 501(C)(3) 170(B)(1)(A)(VI) N/A 0 CHARLES HENRY LEACH II FUND FOR DUQUESNE UNIVERSITY 600 FORBES AVE 405 ADMIN PITTSBURGH PA 15282 464483460 TO FOSTER THE CHARITABLE,SCIENTIFIC AND EDUCATIONAL PURPOSES OF FOUNDATION PA 501(C)(3) 509(A)(3) DUQUESNE UNIVERSITY 1 ELIZABETH K WINGERTER CHARITABLE FOUNDATION SECURITY NATL TRUST CO 100 E KING S LANCASTER PA 17608 272498681 TO PROVIDE SUPPORT FOR DUQUESNE UNIVERSITY SCHOOL OF EDUCATION PA 501(C)(3) N/A 0 FRANK T EBBERTS CHARITABLE FOUNDATION C/O PNC BANK 620 LIBERTY AVE 10TH F PITTSBURGH PA 15222 256285631 TO ENDOW A CHAIR IN BUSINESS LAW AT DUQUESNE UNIVERSITY PA 501(C)(3) N/A 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0