2017-12-20T10:45:36-06:00 2017-06-30 461497033 EKS&H LLLP 8181 E TUFTS AVENUE SUITE 600 DENVER CO 802372843 990 2016-07-01 840509064 COLORADO SCHOOL OF MINES FOUNDATION COLO 3032733143 PO BOX 4005 GOLDEN CO 80401 LINDA LANDRUM EVP F&A/CFO/TREASURER 3032733143 2017-12-19 1 DORI J EGGETT P00645252 3037409400 208.42.238.132 2017-12-20 10:44:47 MS P 0CA5F0488340EA7121183073BB99320ACB41854D B3ABEF65864C4DD5EC29E7308F18CBC97055EB59 2016 2018-03-14 21:41:22Z LINDA LANDRUM PO BOX 4005 GOLDEN CO 80401 66104251 0 X N/A X 1951 CO TO PROVIDE FINANCIAL RESOURCE DEVELOPMENT AND SUPPORT TO THE COLORADO SCHOOL OF MINES. 9 9 76 108 -583324 -865866 14533653 15519233 1900000 2146111 7262292 10033083 -77280 -60023 23618665 27638404 21375924 24059038 0 0 4879231 4950713 0 0 5066615 3078218 2914569 29333373 31924320 -5714708 -4285916 328657146 360242039 45013059 47429486 283644087 312812553 X TO SUPPORT THE UNIVERSITY, ITS ACADEMIC PROGRAMS, AND ITS STUDENTS, AND TO FOSTER ALUMNI RELATIONS. SEE SCHEDULE O. 1 0 24327267 24059038 2146111 PROVIDE FINANCIAL SUPPORT TO THE COLORADO SCHOOL OF MINESAND ITS VARIOUS DEPARTMENTS. 24327267 1 1 0 1 0 0 0 0 0 1 1 1 0 1 1 1 1 0 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 1 18 0 1 76 1 1 1 0 0 0 0 0 0 0 0 0 X 9 9 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 AK CA FL MD MA MI MN NH NJ NY OH PA SC TN UT WA WV GA WI CO ME ND X LINDA LANDRUM CO CSMF 3032733143 PO BOX 4005 GOLDEN CO 80401 PATRICK M JAMES CHAIRMAN 1.00 X X 0 0 0 CHARLES E SHULTZ VICE CHAIR 1.00 X X 0 0 0 STEVEN R ENGER AT LARGE 1.00 X 0 0 0 GERALD W GRANDEY AT LARGE 1.00 X 0 0 0 BRUCE E GREWCOCK AT LARGE 1.00 X 0 0 0 HUGH E HARVEY AT LARGE 1.00 X 0 0 0 NANCY A KEEGAN AT LARGE 1.00 X 0 0 0 ANDREW P SWIGER AT LARGE 1.00 X 0 0 0 TERRANCE G TSCHATSCHULA AT LARGE 1.00 X 0 0 0 BRIAN WINKELBAUER PRESIDENT/CEO 40.00 X 288499 0 30921 LINDA LANDRUM EVP F&A/CFO/TREASURER 40.00 X 227060 0 23312 DOUG MAYO VP, ADVANCEMENT 40.00 X 189260 0 12919 MARIANNE BARKER SR. DIRECTOR-GIFT PLANNING 40.00 X 128725 0 18042 REBECCA LEEWAYE ASST. TREASURER/CONTROLLER 40.00 X 115084 0 21248 JANET PRELOGER ASST. VP CONSTITUENT RELATIONS 40.00 X 114817 0 12165 MICHAEL OBER DIRECTOR, INFORMATION SYSTEMS & ADV. 40.00 X 111503 0 14657 TERRENCE RAPOPORT PRINCIPAL GIFT OFFICER 40.00 X 108244 0 12825 MICHELLE MERTZ ASSOC. VP ADVANCEMENT 40.00 X 126771 0 11702 1409963 0 157791 11 1 1 0 AMERICAN CAPITAL GROUP 101 CONSTITUTION AVE 9TH FLOOR EA WASHINGTON DC 20001 LOBBY SERVICES 156000 MONTICELLO ASSOCIATES 1800 LARIMER ST SUITE 2100 DENVER CO 80202 INVESTMENT CONSULTING 150000 COLORADO LEGISLATIVE SERVICES 1410 GRANT ST D110 DENVER CO 80203 LOBBY SERVICES 111674 3 15519233 515115 15519233 DEVELOPMENT FEE 900099 1900000 1900000 ALUMNI RELATIONS 900099 246111 246111 2146111 1466803 1466803 9731 9731 47032127 38465847 8566280 8566280 8566280 ADMINISTRATION FEES 523000 476208 476208 OTHER INCOME/LOSS 900099 37362 37362 UNRELATED BUS. LOSS 523000 -583324 -583324 -69754 27638404 2659681 -583324 10042814 24059038 24059038 582502 237238 345264 3635249 657992 2977257 164659 30683 133976 270820 59725 211095 297483 58783 238700 66808 38208 28600 25897 21642 4255 46088 46088 268229 268229 1208981 1208981 174423 174423 167713 29361 138352 224653 54899 169754 153002 4083 148919 37976 35678 2298 EVENTS 304181 304181 PROFESSIONAL DEV. 73548 2976 70572 RESEARCH MATERIAL 57544 459 57085 PREMIUMS 46093 46093 59433 43642 15791 31924320 24327267 2530438 5066615 2683718 2740427 9040062 8078015 27719170 21525920 112850 138285 1085000 0 0 1085000 210796191 238696483 44823921 53146333 1631241 1678039 31849993 33153537 328657146 360242039 3647131 3226563 41365928 44202923 45013059 47429486 X 19753706 28141689 107986929 108656303 155903452 176014561 283644087 312812553 328657146 360242039 X -4285916 33927919 -473537 X 0 1 X 1 0 X 26073906 48915970 33091397 14533653 15519233 138134159 26073906 48915970 33091397 14533653 15519233 138134159 26994426 111139733 1616319 1863603 1896145 1637168 1476534 8489769 276914 443447 496110 674333 513570 2404374 149028302 9546111 0.74580 0.70720 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2012 AMOUNT: $ 6,197. 2013 AMOUNT: $ 13,964. 2014 AMOUNT: $ 1,755. 2015 AMOUNT: $ 147,155. 2016 AMOUNT: $ 37,362. ADMINISTRATION FEES - 2012 AMOUNT: $ 270,717. 2013 AMOUNT: $ 429,483. 2014 AMOUNT: $ 494,355. 2015 AMOUNT: $ 527,178. 2016 AMOUNT: $ 476,208. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 268229 268229 25380495 25648724 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 252929 257781 267118 268229 1046057 250000 250000 250000 250000 1000000 1500000 205966741 5539996 35685884 7373474 239819147 227854251 2495892 -10653236 13730166 205966741 225811040 10646383 -455165 8148007 227854251 188486221 10685403 33874010 7234594 225811040 167544418 11734285 21300320 12092802 188486221 0.12080 0.64680 0.23240 1 0 380766 380766 667636 667636 36598 36598 1085000 PARTNERSHIPS INVESTMENTS 53146333 F 53146333 TRUST CONTRIBUTIONS RECEIVABLE 2932111 SPLIT INTEREST AGREEMENTS 17704288 INTEREST IN ENDOWMENT 10106205 INTEREST IN LONG-TERM TRUSTS 1627793 PMC NET ASSETS 522075 OTHER ASSETS 167821 INVESTMENT IN COLORADO SCHOOL OF MINES TECHNOLOGY 93244 33153537 SPLIT INTEREST OBLIGATIONS 4318788 GIFT ANNUITY OBLIGATIONS 4350652 ASSETS HELD IN TRUST 35503483 REFUNDABLE ADVANCES 30000 44202923 X 60888075 33927919 536283 34464202 26423873 1214531 1214531 27638404 31719609 1009820 1009820 30709789 1214531 1214531 31924320 PART V, LINE 4: SUPPORT COLORADO SCHOOL OF MINES. PART X, LINE 2: THE FOUNDATION APPLIES A MORE-LIKELY-THAN-NOT MEASUREMENT METHODOLOGY TO REFLECT THE FINANCIAL STATEMENT IMPACT OF UNCERTAIN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. AFTER EVALUATING THE TAX POSITIONS TAKEN, INCLUDING THE DETERMINATION OF THE FOUNDATION'S TAX-EXEMPT STATUS, NONE ARE CONSIDERED TO BE UNCERTAIN; THEREFORE, NO AMOUNTS HAVE BEEN RECOGNIZED AS OF JUNE 30, 2017 OR 2016. IF INCURRED, INTEREST AND PENALTIES ASSOCIATED WITH TAX POSITIONS ARE RECORDED IN THE PERIOD ASSESSED AS GENERAL AND ADMINISTRATIVE EXPENSES. NO INTEREST OR PENALTIES HAVE BEEN ASSESSED AS OF JUNE 30, 2017 OR 2016. PART XI, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN NET PRESENT VALUE OF SPLIT INTEREST AGREEMENTS -198,986. CHANGE IN INTEREST IN NET ASSETS OF PROPERTY MANAGEMENT CORP. 151,945. UNRELATED BUSINESS LOSS ON PASS-THROUGH ENTITIES 583,324. PART XII, LINE 2D - OTHER ADJUSTMENTS: UNCOLLECTIBLE PLEDGES 1,009,820. CENTRAL AMERICA/CARIBBEAN 0 0 INVESTMENTS 16092401 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 10796725 0 0 0 0 0 0 26889126 0 26889126 1 0 0 1 1 0 1 COLORADO SCHOOL OF MINES 1500 ILLINOIS STREET GOLDEN CO 80401 846000551 STATE OF CO 24059038 GENERAL 1 0 PART I, LINE 2: ALL GRANTS ARE MADE TO COLORADO SCHOOL OF MINES AND ITS VARIOUS DEPARTMENTS. X X X X 0 0 0 0 0 0 0 0 0 BRIAN WINKELBAUER PRESIDENT/CEO 268499 0 20000 0 0 0 16469 0 14452 0 319420 0 0 0 LINDA LANDRUM EVP F&A/CFO/TREASURER 212060 0 15000 0 0 0 12994 0 10318 0 250372 0 0 0 DOUG MAYO VP, ADVANCEMENT 181760 0 7500 0 0 0 7538 0 5381 0 202179 0 0 0 MICHELLE MERTZ ASSOC. VP ADVANCEMENT 126771 0 0 0 0 0 7606 0 4096 0 138473 0 0 0 X 37 515115 AVERAGE HIGH/LOW 0 1 0 FORM 990, PART III, LINE 1: THE FOUNDATION IS OPERATED INDEPENDENTLY OF THE UNIVERSITY FOR THE EXCLUSIVE PURPOSE OF SUPPORTING THE UNIVERSITY, ITS ACADEMIC PROGRAMS, AND ITS STUDENTS, AND FOSTERING ALUMNI RELATIONS. THE FOUNDATION EXISTS TO PROVIDE OPPORTUNITIES FOR STUDENTS AND A MARGIN OF INSTITUTIONAL EXCELLENCE UNAVAILABLE WITH STATE FUNDS ALONE. THE FOUNDATION RAISES AND RECEIVES CHARITABLE CONTRIBUTIONS FROM FRIENDS AND ALUMNI OF THE UNIVERSITY AND FROM THE GENERAL PUBLIC, MANAGES AND INVESTS THE CONTRIBUTED PROPERTY AND FUNDS, AND MAKES DISTRIBUTIONS TO THE UNIVERSITY IN SUPPORT OF THE UNIVERSITY'S MISSION AND PRIORITIES. FORM 990, PART III, LINE 2 AS OF FEBRUARY 1, 2016, THE FOUNDATION ENTERED INTO A "SERVICES AGREEMENT" WITH THE CSM ALUMNI FOUNDATION, INC. (CSMAA) AND THE ASSOCIATION OPERATIONAL EMPLOYEES BECAME EMPLOYEES OF THE FOUNDATION, AND CERTAIN BUDGET AND OPERATIONAL FUNCTIONS, INCLUDING ALUMNI PROGRAMS, BECAME THE RESPONSIBILITY OF THE FOUNDATION. THE ASSOCIATION WILL REMAIN A SEPARATE LEGAL ENTITY AND WILL CONTINUE TO EXERCISE FIDUCIARY RESPONSIBILITY OVER THE BUSINESS AND AFFAIRS OF CSMAA, INCLUDING MANAGING THE ASSETS OWNED BY CSMAA AND OVERSEEING THE SPECIAL INITIATIVES BY THE BOARD. THE ASSOCIATION BOARD WILL HAVE ADVISORY RESPONSIBILITY OVER THE ALUMNI PROGRAMS MANAGED BY THE FOUNDATION. FORM 990, PART VI, SECTION B, LINE 11B A DETAILED REVIEW IS PERFORMED BY THE EVP FINANCE AND ADMIN/CFO/TREASURER AND ASSISTANT TREASURER PRIOR TO PRESENTATION TO THE EXECUTIVE COMMITTEE. THE FOUNDATION'S INDEPENDENT TAX ACCOUNTING FIRM PROVIDES A FULL SUMMARY PRESENTATION, EXCLUDING DONOR INFORMATION, TO THE EXECUTIVE COMMITTEE OF THE BOARD OF GOVERNORS PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION REQUIRES AN ANNUAL AFFIRMATION FROM MEMBERS OF THE EXECUTIVE COMMITTEE, INVESTMENT COMMITTEE, AUDIT COMMITTEE, GIFT ACCEPTANCE COMMITTEE, FINANCE COMMITTEE, AND TO APPOINTED OFFICERS OF THE FOUNDATION. FORM 990, PART VI, SECTION B, LINE 15 THE HUMAN RESOURCES AND COMPENSATION COMMITTEE OF THE BOARD REVIEWS AND RECOMMENDS THE ANNUAL COMPENSATION FOR SENIOR MANAGEMENT POSITIONS. THIS COMMITTEE USES COMPARABILITY DATA INCLUDING VARIOUS COMPARATIVE COMPENSATION SURVEYS. THE EXECUTIVE COMMITTEE APPROVES THE COMPENSATION BUDGET FOR THE FOUNDATION, INCLUDING SENIOR MANAGEMENT. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: CHANGE IN NET PRESENT VALUE OF SPLIT INTEREST AGREEMENTS -198,986. CHANGE IN INTEREST IN NET ASSETS OF PROPERTY MANAGEMENT CORP 151,945. UNRELATED BUSINESS LOSS ON PASS-THROUGH ENTITIES 583,324. UNCOLLECTIBLE PLEDGES -1,009,820. CSMF PROPERTY MANAGEMENT CORP 1812 ILLINOIS STREET GOLDEN CO 80401 841266930 RE GIFTS CO 501(C)(3) LINE 12A, I N/A 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0