2017-05-10T16:19:36-05:00 2016-06-30 990 2015-07-01 362177139 UNIVERSITY OF CHICAGO UNIV 7737021941 6054 S DREXEL AVENUE NO 300 CHICAGO IL 60637 JOHN R KROLL ACTING CHIEF FINANCIAL OFFICER 7737021941 2017-05-10 2015 2021-01-29 14:40:06Z ROBERT J ZIMMER 6054 S DREXEL AVENUE NO 300 CHICAGO IL 60637 3902358659 0 X WWW.UCHICAGO.EDU X 1890 IL THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 54 47 25036 6900 7497710 0 1524767840 1621056667 1346361123 1355422351 385154537 219733890 76793137 48523736 3333076637 3244736644 386097163 428373246 0 0 1811555742 1845038574 543241 552894 70940291 1154070918 1148065766 3352267064 3422030480 -19190427 -177293836 10868194860 10820592775 4286577860 4728158775 6581617000 6092434000 X THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 0 0 794508917 778381950 INSTRUCTION:IN 2015-2016, THE UNIVERSITY ENROLLED 15,688 STUDENTS, OF THAT TOTAL, 5,869 WERE UNDERGRADUATE STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE SCHOOL), 3,811 WERE GRADUATE STUDENTS, 5,339 WERE STUDENTS IN THE UNIVERSITY'S PROFESSIONAL SCHOOLS AND 669 WERE NON-DEGREE STUDENTS. 855478602 43609764 417494992 RESEARCH:UNIVERSITY OF CHICAGO FACULTY CROSS TRADITIONAL DISCIPLINARY BOUNDARIES TO TRANSFORM UNDERSTANDINGS IN BUSINESS, ECONOMICS, HISTORY, LAW, LITERATURE, RELIGION, PHYSICS, CHEMISTRY AND BIOLOGY AND MEDICINE, AMONG OTHER FIELDS. IN PURSUIT OF THESE RESEARCH ENDEAVORS, DURING FISCAL YEAR 2015-2016 THE UNIVERSITY WAS AWARDED A TOTAL OF $479 MILLION IN RESEARCH FUNDING FROM FEDERAL AGENCIES, NON-FEDERAL GOVERNMENT ENTITIES, CORPORATIONS, FOUNDATIONS AND OTHER SOURCES. THIS FISCAL YEAR $316.2 MILLION WAS EXPENDED FROM FEDERAL GOVERNMENT SPONSORS OF RESEARCH, WITH THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES AND THE NATIONAL SCIENCE FOUNDATION PROVIDING THE LARGEST AMOUNTS OF FUNDING. FOUNDATION RESEARCH SPONSORSHIP AWARDS TOTALED $60.5 MILLION, FOLLOWED BY CORPORATE RESEARCH SPONSORSHIP OF $79.4 MILLION. THE UNIVERSITY ALSO CONDUCTS SCIENTIFIC RESEARCH IN COLLABORATION WITH ARGONNE NATIONAL LABORATORY, OWNED BY THE UNITED STATES GOVERNMENT AND OPERATED BY THE UNIVERSITY THROUGH A DISREGARDED ENTITY, UNDER THE TERMS OF A COST REIMBURSEMENT CONTRACT WITH THE U.S. DEPARTMENT OF ENERGY. ARGONNE IS A MULTI-PURPOSE SCIENCE LABORATORY WITH A $760.7 MILLION ANNUAL BUDGET AND APPROXIMATELY 3600 EMPLOYEES. PROGRAM SERVICE RESEARCH EXPENDITURES WERE $540.7 MILLION AND ARE INCLUDED IN THE RESEARCH PROGRAM SERVICE EXPENSE AMOUNT, AS IS REQUIRED FOR A DISREGARDED ENTITY.IN ADDITION, FERMI RESEARCH ALLIANCE, LLC, AN ENTITY JOINTLY OWNED BY THE UNIVERSITY AND UNIVERSITIES RESEARCH ASSOCIATION INC., OPERATES FERMI NATIONAL ACCELERATOR LABORATORY ("FERMILAB") FOR THE U.S. DEPARTMENT OF ENERGY. FERMILAB IS THE NATION'S PREEMINENT CENTER FOR HIGH-ENERGY PHYSICS AND AN INTERNATIONAL CENTER FOR SCIENTIFIC RESEARCH IN ELEMENTARY PARTICLE PHYSICS AND ASTROPHYSICS. FERMILAB HAS A $422 MILLION ANNUAL BUDGET AND APPROXIMATELY 1800 EMPLOYEES. 383447437 383447437 SCHOLARSHIPS & FELLOWSHIPS:THE UNIVERSITY IS A NEED BLIND INSTITUTION WITH AN EXTENSIVE FINANCIAL AID PROGRAM WHICH IS DESIGNED TO ENABLE THE MOST QUALIFIED STUDENTS TO ATTEND THE UNIVERSITY REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. FOR THE 2015-2016 ACADEMIC YEAR, APPROXIMATELY 60 PERCENT OF ALL STUDENTS IN THE COLLEGE RECEIVED FINANCIAL AID IN THE FORM OF GRANTS AND SCHOLARSHIPS. UNIVERSITY-WIDE EXPENDITURES FOR SCHOLARSHIPS AND FELLOWSHIPS AMOUNTED TO $347.1 MILLION. OF THIS AMOUNT, APPROXIMATELY $263.2 MILLION WAS PROVIDED FROM UNRESTRICTED FUNDS; THE REMAINING $83.9 MILLION CAME FROM RESTRICTED SOURCES. APPROXIMATELY 20% OF STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE COLLEGE) CURRENTLY RECEIVE ODYSSEY SCHOLARSHIPS. THE ODYSSEY SCHOLARSHIPS PROVIDE INCREASED ACCESS FOR LOW-INCOME AND MODERATE-INCOME STUDENTS BY ELIMINATING LOANS FOR THOSE WITH FAMILY INCOME BELOW $90,000, PROVIDING FUNDS FOR OTHER EDUCATIONAL OPPORTUNITIES LIKE STUDY ABROAD, AND PROVIDING A PAID INTERNSHIP AFTER THE STUDENT'S FIRST YEAR IN THE COLLEGE.IN OCTOBER 2014, THE UNIVERSITY LAUNCHED THE NO BARRIERS PROGRAM TO ELIMINATE THE STUDENT LOAN REQUIREMENT FROM ALL UNDERGRADUATE, NEED-BASED FINANCIAL AID PACKAGES. THE LOANS WERE REPLACED BY THE UNIVERSITY WITH DIRECT GRANTS.THE UNIVERSITY EXPANDED ITS GRADUATE AID INITIATIVE, A PROGRAM THAT INVESTS APPROXIMATELY $310,000 IN THE EDUCATION OF EACH PH.D. STUDENT IN THE HUMANITIES, SOCIAL SCIENCES AND DIVINITY SCHOOL. THESE PROGRAMS ARE IN ADDITION TO THE UNIVERSITY'S LONGSTANDING COMMITMENT TO FINANCIAL ASSISTANCE FOR STUDENTS. 937303689 1316044 159545409 THE OTHER PROGRAM SERVICES THAT SUPPORT THE MISSION OF INSTRUCTION AND RESEARCH ARE:AUXILIARY ENTERPRISESLIBRARYOTHER STUDENT SERVICESINFORMATION SERVICESOPERATION AND MAINTENANCE OF PLANT 937303689 1316044 159545409 2970738645 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 0 0 1 1 1 1 0 0 1 1 1 1 1 0 1 X 24328 0 1 25036 1 1 1 1 AS BG BE BR CH HR DA EG FI FR GM HK IN ID IT KS MY SW SN SP RP NL MX UK TW SZ 0 0 1 1 1 1 0 0 X 54 47 1 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AK AR KY MD MA NH OK OR WA X JOHN KROLL 7737021941 6054 S DREXEL AVENUE CHICAGO IL 60637 ANDREW M ALPER TRUSTEE 2.00 X 0 0 0 FRANK A BAKER TRUSTEE 2.00 X 0 0 0 DAVID G BOOTH TRUSTEE 2.00 X 0 0 0 DAVID B BROOKS TRUSTEE 2.00 X 0 0 0 DEBRA A CAFARO TRUSTEE 2.00 X 0 0 0 THOMAS A COLE TRUSTEE 2.00 X 0 0 0 E DAVID COOLIDGE III TRUSTEE 2.00 X 0 0 0 JAMES S CROWN TRUSTEE 2.00 X 0 0 0 KATHARINE P DARROW TRUSTEE 2.00 X 0 0 0 DANIEL L DOCTOROFF TRUSTEE 2.00 X 0 0 0 BRADY W DOUGAN TRUSTEE 2.00 X 0 0 0 CRAIG J DUCHOSSOIS TRUSTEE 2.00 X 0 0 0 JOHN A EDWARDSON TRUSTEE 2.00 X 0 0 0 JAMES S FRANK TRUSTEE 2.00 X 0 0 0 JACK W FULLER TRUSTEE 2.00 X 0 0 0 TIMOTHY M GEORGE TRUSTEE 2.00 X 0 0 0 RODNEY L GOLDSTEIN TRUSTEE 2.00 X 0 0 0 MARY LOUISE GORNO VICE CHAIR OF THE BOARD 18.00 X 0 0 0 KATHRYN C GOULD TRUSTEE 2.00 X 0 0 0 KENNETH C GRIFFIN TRUSTEE 2.00 X 0 0 0 SANFORD J GROSSMAN TRUSTEE 2.00 X 0 0 0 KING W HARRIS TRUSTEE 2.00 X 0 0 0 KENNETH M JACOBS TRUSTEE 2.00 X 0 0 0 KAREN L KATEN TRUSTEE 2.00 X 0 0 0 DENNIS J KELLER TRUSTEE 2.00 X 0 0 0 STEVEN A KERSTEN TRUSTEE 2.00 X 0 0 0 JAMES M KILTS TRUSTEE 2.00 X 0 0 0 MICHAEL J KLINGENSMITH TRUSTEE 2.00 X 0 0 0 MICHAEL L KLOWDEN TRUSTEE 2.00 X 0 0 0 RACHEL D KOHLER TRUSTEE 2.00 X 0 0 0 ROBERT W LANE TRUSTEE 2.00 X 0 0 0 CHARLES ASHBY LEWIS TRUSTEE 2.00 X 0 0 0 JOHN LIEW TRUSTEE 2.00 X 0 0 0 PETER W MAY TRUSTEE 2.00 X 0 0 0 JOSEPH NEUBAUER CHAIRMAN OF THE BOARD 18.00 X 0 0 0 EMILY NICKLIN TRUSTEE 2.00 X 0 0 0 MICHAEL P POLSKY TRUSTEE 2.00 X 0 0 0 MYRTLE S POTTER TRUSTEE 2.00 X 0 0 0 THOMAS J PRITZKER TRUSTEE 2.00 X 0 0 0 GURU RAMAKRISHNAN TRUSTEE 2.00 X 0 0 0 JOHN W ROGERS JR TRUSTEE 2.00 X 0 0 0 EMMANUEL ROMAN TRUSTEE 2.00 X 0 0 0 ANDREW M ROSENFIELD TRUSTEE 2.00 X 0 0 0 DAVID M RUBENSTEIN TRUSTEE 2.00 X 0 0 0 ALVARO J SAIEH TRUSTEE 2.00 X 0 0 0 NASSEF O SAWIRIS TRUSTEE 2.00 X 0 0 0 STEVE G STEVANOVICH TRUSTEE 2.00 X 0 0 0 ELIZABETH M THOMPSON TRUSTEE 2.00 X 0 0 0 MARY A TOLAN TRUSTEE 2.00 X 0 0 0 BYRON D TROTT TRUSTEE 2.00 X 0 0 0 MARSHALL I WAIS TRUSTEE 2.00 X 0 0 0 GREGORY W WENDT TRUSTEE 2.00 X 0 0 0 DONALD R WILSON JR TRUSTEE 2.00 X 0 0 0 PAULA WOLFF TRUSTEE 2.00 X 0 0 0 PAUL G YOVOVICH TRUSTEE 2.00 X 0 0 0 FRANCIS TF YUEN TRUSTEE 2.00 X 0 0 0 ROBERT J ZIMMER PRESIDENT 40.00 16.00 X 2722029 0 510858 ERIC ISAACS PROVOST 40.00 9.00 X 765746 0 109551 ROWAN MIRANDA VP FOR OPERATIONS & CFO 40.00 11.00 X 726581 0 80401 KAREN WARREN COLEMAN VP CAMPUS AND STUD. LIFE 40.00 X 318809 0 42743 DEREK DOUGLAS VP CIVIC ENGAGEMENT 40.00 8.00 X 482367 0 72686 DAVID B FITHIAN EXECUTIVE VICE PRESIDENT 40.00 6.00 X 568477 0 36556 KIMBERLY TAYLOR VP & GENERAL COUNSEL 40.00 14.00 X 633810 0 78542 RICHARD IORIO VP & CHIEF HUMAN RESOURCE OFC. 40.00 X 721408 0 11567 DONALD H LEVY VP FOR RESEARCH 40.00 9.00 X 425840 0 35251 JOHN LONGBRAKE VP COMMUNICATIONS 40.00 X 129685 0 38362 KENNETH MANOTTI VP ALUMNI RELATIONS & DEVL. 40.00 X 608928 0 35181 JAMES G NONDORF VP ENROLL. & STUDENT ADV. 40.00 X 557249 0 30835 JULIE PETERSON VP COMMUNICATIONS 40.00 X 429436 0 32624 KENNETH S POLONSKY EXEC. VP MEDICAL AFFAIRS 40.00 21.00 X 2010871 0 246520 DARREN REISBERG SECRETARY OF THE UNIVERSITY 40.00 1.00 X 296475 0 31935 MARK A SCHMID VP AND CHIEF INVEST. OFFICER 40.00 X 2127287 0 824496 IAN SOLOMON VP GLOBAL ENGAGEMENT 40.00 1.00 X 362254 0 42030 KATIE CALLOW-WRIGHT VP & CHIEF OF STAFF 40.00 X 259267 0 51116 MICHAEL EDLESON INVESTMENT CHIEF RISK OFFICER 40.00 X 1133610 0 391008 PATRICK O'HARA INV CHIEF OPERATING OFFICER 40.00 X 1128642 0 396717 VALLUVAN JEEVANANDAM CHIEF CARDIAC & THORACIC SURG. 40.00 X 1251942 0 41602 JOANNA RUPP MANAGING DIRECTOR - PRIV. EQUITY 40.00 X 1162987 0 424661 ARIEH SHALHAV PROFESSOR & CHIEF 40.00 X 1157637 0 29791 BETH A HARRIS INTERIM DIRECTOR LAB SCHOOLS 40.00 12.00 X 1160959 0 46070 EVERETT VOKES CHAIRMAN OF MEDICINE 40.00 X 868924 0 51164 SUNIL P KUMAR DEAN OF BOOTH SCH. OF BUS. 40.00 X 619755 0 52740 22630975 0 3745007 3716 1 1 0 MORTENSON CONSTRUCTION 25 NORTHWEST POINT BLVD ELK GROVE VILLAGE IL 60007 CONSTRUCTION AND RELATED SERVICES 79788402 W E O'NEIL CONSTRUCTION CO 1245 W WASHINGTON BLVD CHICAGO IL 60607 CONSTRUCTION AND RELATED SERVICES 34468120 BULLEY & ANDREWS LLC 1755 W ARMITAGE AVENUE CHICAGO IL 60622 CONSTRUCTION AND RELATED SERVICES 29447303 LEND LEASE US 1 NORTH WACKER DRIVE CHICAGO IL 60606 CONSTRUCTION AND RELATED SERVICES 20159559 ARAMARK SERVICES 1101 MARKET STREET PHILADELPHIA PA 19107 FOOD SERVICE MANAGEMENT 16532999 1063 886071 71750000 1039030756 509389840 50343176 1621056667 TUITION AND FEES 611310 778381950 778381950 SALES & SERVICES EDUCATIONAL ACTI 900099 383915491 383915491 SALES & SERVICES AUX ENTERPRISES 611710 154789743 154789743 ARGONNE - OTHER 541900 33579501 33579501 FEE FROM GOVT AGENCIES 900099 4755666 4755666 1355422351 64603367 241695 64361672 99605 99605 12280389 12280389 7499151 0 7499151 7499151 7499151 799514581 636105370 8378293 163409211 -8378293 155030918 155030918 223069 886071 355173 -132104 -132104 51977775 12783179 39194596 39194596 CONFERENCES & CATERING 722320 6216445 6216445 ACTUARIAL ADJUSTMENT 900099 3557325 3557325 ADVERTISING 541800 72885 72885 -20164951 -21131636 966685 -10318296 3244736644 1377042636 7497710 239139631 38873857 38873857 379673694 379673694 9825695 9825695 14217934 13602934 615000 1421029669 1207175269 176686450 37167950 78862691 67483768 9396324 1982599 245476663 210998198 27533910 6944555 85451617 74153069 8908556 2389992 45871800 40317143 3511601 2043056 5791308 72517 5718791 955557 955557 89978 89978 552894 552894 7792207 7792207 116907129 94047983 22859146 8364654 8184214 180440 182369988 144785278 31256420 6328290 33451439 22462195 10309107 680137 4118288 4087288 31000 105756637 97862158 6298641 1595838 58046283 49582449 6614291 1849543 43586806 37507756 4231073 1847977 114027384 114027384 6726755 6726755 188115116 188101473 13643 14280274 13245341 1013107 21826 SUPPORT SERVICES 51361438 45616791 3363931 2380716 ACTUARIAL ADJUSTMENTS 45203685 45203685 EQUIPMENT RENTAL & MAIN 31901446 28847429 1788361 1265656 ALTERATIONS & REPAIRS 19412676 17241418 1271438 899820 63934918 31362593 30197883 2374442 3422030480 2970738645 380351544 70940291 -2728462 -466495 371334945 416085495 567035419 658020285 121329564 128322591 483067 439572 46334867 44699303 7164489 6956494 41856122 43539980 5060873166 1899638993 3041081413 3161234173 2226027855 1979545396 4385853010 4355032812 62422571 27183169 10868194860 10820592775 694653780 725570694 112745529 139546711 2082074376 2268064070 54680000 53070000 1214557398 1360878694 127866777 181028606 4286577860 4728158775 X 1302920000 925826000 3483685000 3199727000 1795012000 1966881000 6581617000 6092434000 10868194860 10820592775 X -177293836 -311888632 -532 X 0 1 X 1 1 1 X 668467430 1464776423 1572513441 1524767840 1621056667 6851581801 668467430 1464776423 1572513441 1524767840 1621056667 6851581801 6851581801 109361219 137713043 132742578 97217706 84482512 561517058 10577578 1390683 11968261 42445507 41224252 46375568 51176430 42751921 223973678 7649040798 6256846660 0.89570 0.88120 X SCHEDULE A PART II LINE 10 OTHER INCOME IS COMPRISED OF NEW INCOME FROM SALE OF INVENTORY, ACTUARIAL ADJUSTMENTS AND OTHER INCOME SCHEDULE A PART II THE UNIVERSITY OF CHICAGO IS A SCHOOL; HOWEVER IN ORDER TO USE THE SPECIAL USE CALCULATION ON SCHEDULE B FOR A 501(C)(3) ORGANIZATION, IT IS NECESSARY TO COMPLETE SCHEDULE A, PART II TO DEMONSTRATE THAT THE UNIVERSITY MEETS THE 33 1/3% PUBLIC SUPPORT TEST. THEREFORE THE UNIVERSITY IS CLASSIFED IN PART I LINE 7 AS AN ORGANIZATION THAT NORMALLY RECEIVES A SUBSTANTIAL PART OF ITS SUPPORT FROM A GOVERNMENT UNIT OR FROM THE GENERAL PUBLIC. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 430443 0 0 430443 0 PART II-B, LINE 1: THE UNIVERSITY OF CHICAGO IS INVOLVED IN ISSUES THAT AFFECT HIGHER EDUCATION AND RESEARCH. X X X X 0 6471559000 138940000 -134354000 52663000 360568000 17911000 6045003000 6460254000 159687000 252160000 48896000 334354000 17292000 6471559000 5886968000 137041000 784536000 44718000 285901000 17672000 6460254000 5701419000 117250000 399315000 41748000 272226000 17042000 5886968000 5691013000 82079000 265909000 43210000 277366000 17006000 5701419000 0.29000 0.29000 0.42000 0 0 108816701 108816701 4071969072 1291761455 2780207617 517166359 327824047 189342312 362921034 280053491 82867543 3161234173 REAL ESTATE 898443269 F VENTURE CAPITAL 3456589543 F 4355032812 FUNDS HELD IN CUSTODY FOR OTHERS 147835630 OTHER INCLUDING ASSET RETIREMENT OBLIGATION 33192976 181028606 X 2224291984 -311888632 47137335 -264751297 2489043281 7792207 747901156 755693363 3244736644 2779473221 111477852 111477852 2667995369 7792207 746242904 754035111 3422030480 PART III, LINE 4: THE UNIVERSITY OF CHICAGO HAS TWO MUSEUMS - THE DAVID AND ALFRED SMART MUSEUM OF ART (SMART MUSEUM) AND THE ORIENTAL INSTITUTE OF THE UNIVERSITY OF CHICAGO (ORIENTAL INSTITUTE MUSEUM). THE SMART MUSEUM PROMOTES THE UNDERSTANDING OF THE VISUAL ARTS AND THEIR IMPORTANCE TO CULTURAL AND INTELLECTUAL HISTORY THROUGH DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART AND THROUGH AN INTERDISCIPLINARY APPROACH TO ITS COLLECTIONS, EXHIBITIONS, PUBLICATIONS AND PROGRAMS. THE SCOPE OF ITS PERMANENT COLLECTIONS, SPECIAL EXHIBITIONS, FOCUS ON RESEARCH AND TEACHING BY THE UNIVERSITY OF CHICAGO SCHOLARS AND OUTREACH AND EDUCATIONAL PROGRAMS TO BOTH ADULTS AND SCHOOL AGE CHILDREN MAKE SMART MUSEUM ONE OF THE MIDWEST'S MOST DYNAMIC AND INNOVATIVE EDUCATIONAL INSTITUTIONS IN THE VISUAL ARTS. THE ORIENTAL INSTITUTE MUSEUM IS A WORLD RENOWNED SHOWCASE FOR THE HISTORY, ART AND ARCHAEOLOGY OF THE ANCIENT NEAR EAST. THE COLLECTIONS ARE USED EXTENSIVELY FOR RESEARCH, TEACHING AND EXHIBITIONS. ITS APPROACH TO INTEGRATE ARCHAEOLOGICAL, TEXTUAL AND ART HISTORICAL DATA TO UNDERSTAND THE DEVELOPMENT AND FUNCTIONS OF THE ANCIENT CIVILIZATIONS OF THE NEAR EAST MAKE IT AN EXCEPTIONAL RESOURCE FOR THE UNIVERSITY COMMUNITY AS WELL AS THE COMMUNITY AT LARGE. PART V, LINE 4: THE UNIVERSITY'S USE OF ENDOWMENT FUNDS IS INSEPARABLE FROM THE OVERALL ACADEMIC MISSION AS ONE OF THE WORLD'S LEADING RESEARCH UNIVERSITIES. ENDOWMENT FUNDS ARE USED TO SUPPORT INSTRUCTION AND RESEARCH PROGRAMS; SUPPORT PROFESSORSHIPS; SUPPORT FINANCIAL AID FOR UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS; SUPPORT THE ACQUISITION, RESTORATION AND PRESERVATION OF BOOKS AND OTHER MATERIALS IN THE LIBRARIES; AND SUPPORT THE ON-GOING OPERATIONS OF THE PHYSICAL PLANT, GROUNDS, AND EQUIPMENT. PART X, LINE 2: THE UNIVERSITY OF CHICAGO IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, EXCEPT FOR UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL INCOME TAXES. THERE WAS NO PROVISION FOR INCOME TAXES DUE ON UNRELATED BUSINESS INCOME IN FISCAL YEARS 2016 AND 2015 AND THERE ARE NO UNCERTAIN TAX POSITIONS CONSIDERED TO BE MATERIAL. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF DISPOSED EQUIPMENT 8,378,293. COST OF GOODS SOLD 12,783,179. RELATED ORGANIZATIONS 25,975,865. OTHER -2. PART XI, LINE 4B - OTHER ADJUSTMENTS: UCHICAGO ARGONNE LLC REVENUE 731,071,725. OTHER DISREGARDED ENTITIES 16,829,431. PART XII, LINE 2D - OTHER ADJUSTMENTS: DISPOSAL OF EQUIPMENT 8,378,293. COST OF GOODS SOLD 12,783,179. RELATED ORGANIZATIONS 90,314,145. OTHER 2,235. PART XII, LINE 4B - OTHER ADJUSTMENTS: UCHICAGO ARGONNE LLC 731,071,725. OTHER DISREGARDED ENTITIES 15,171,179. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE UNIVERSITY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND AROUND THE WORLD, FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY, AS EMBODIED IN THE UNIVERSITY'S POLICY ON UNLAWFUL DISCRIMINATION AND HARASSMENT, AND INCLUDES A STATEMENT OF ITS NONDISCRIMINATORY POLICY ON ITS BROCHURES, CATALOGUES AND APPLICATION MATERIALS DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY OF CHICAGO RECEIVES FUNDING FROM VARIOUS GOVERNMENTAL AGENCIES FOR STUDENT FINANCIAL AID. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 2 31 PROGRAM SERVICES INSTRUCTION 19810050 RUSSIA AND NEIGHBORING STATES PROGRAM SERVICES INSTRUCTION 60788 EAST ASIA AND THE PACIFIC 2 23 PROGRAM SERVICES INSTRUCTION 19148265 SOUTH ASIA PROGRAM SERVICES INSTRUCTION 124551 NORTH AMERICA PROGRAM SERVICES INSTRUCTION 93499 MIDDLE EAST AND NORTH AFRICA 2 PROGRAM SERVICES INSTRUCTION 424508 EUROPE (INCLUDING ICELAND & GREENLAND) 11 PROGRAM SERVICES RESEARCH 891362 EAST ASIA AND THE PACIFIC 1 7 PROGRAM SERVICES RESEARCH 2340602 SOUTH ASIA 1 16 PROGRAM SERVICES RESEARCH 4735300 MIDDLE EAST AND NORTH AFRICA 1 20 PROGRAM SERVICES RESEARCH 1234555 SOUTH AMERICA PROGRAM SERVICES RESEARCH 1433954 ANTARCTICA 9 PROGRAM SERVICES RESEARCH 640961 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SUBAWARDS 2536541 RUSSIA AND NEIGHBORING STATES PROGRAM SERVICES SUBAWARDS 71190 SUB-SAHARAN AFRICA PROGRAM SERVICES SUBAWARDS 413859 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SUBAWARDS 40748 SOUTH ASIA PROGRAM SERVICES SUBAWARDS 226209 NORTH AMERICA PROGRAM SERVICES SUBAWARDS 1298976 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES SUBAWARDS 100000 SOUTH AMERICA PROGRAM SERVICES SUBAWARDS 48384 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SCHOLARSHIPS AND STIPENDS 395342 RUSSIA AND NEIGHBORING STATES PROGRAM SERVICES SCHOLARSHIPS AND STIPENDS 12800 SUB-SAHARAN AFRICA PROGRAM SERVICES SCHOLARSHIPS AND STIPENDS 85700 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SCHOLARSHIPS AND STIPENDS 605900 SOUTH ASIA PROGRAM SERVICES SCHOLARSHIPS AND STIPENDS 18000 NORTH AMERICA PROGRAM SERVICES SCHOLARSHIPS AND STIPENDS 62315 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES SCHOLARSHIPS AND STIPENDS 149126 SOUTH AMERICA PROGRAM SERVICES SCHOLARSHIPS AND STIPENDS 71550 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES SCHOLARSHIPS AND STIPENDS 23000 EUROPE (INCLUDING ICELAND & GREENLAND) FUNDRAISING 231631 RUSSIA AND NEIGHBORING STATES FUNDRAISING 416 EAST ASIA AND THE PACIFIC FUNDRAISING 174762 SOUTH ASIA FUNDRAISING 67811 NORTH AMERICA FUNDRAISING 16248 MIDDLE EAST AND NORTH AFRICA FUNDRAISING 339 SOUTH AMERICA FUNDRAISING 23729 CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 2746494931 EAST ASIA AND THE PACIFIC INVESTMENTS 46067285 EUROPE (INCLUDING ICELAND & GREENLAND) INVESTMENTS 411450892 NORTH AMERICA INVESTMENTS 34674937 SUB-SAHARAN AFRICA INVESTMENTS 138024155 5 74 2 45 7 119 42893625 3391431546 3434325171 EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 156386 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 650107 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 50000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 57661 WIRE SUB-SAHARAN AFRICA SUBAWARD 103864 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD 50000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 23778 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 50000 WIRE SOUTH ASIA SUBAWARD 4549 WIRE SOUTH ASIA SUBAWARD 179780 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 50000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 100000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 21950 WIRE NORTH AMERICA SUBAWARD 29885 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 59019 WIRE SUB-SAHARAN AFRICA SUBAWARD 109111 WIRE RUSSIA AND NEIGHBORING STATES SUBAWARD 71190 WIRE NORTH AMERICA SUBAWARD 968639 WIRE SOUTH ASIA SUBAWARD 41880 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 711765 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 61440 WIRE NORTH AMERICA SUBAWARD 8249 WIRE NORTH AMERICA SUBAWARD 73174 WIRE SOUTH AMERICA SUBAWARD 48384 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 67280 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 20251 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD 50000 WIRE SUB-SAHARAN AFRICA SUBAWARD 200885 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 283605 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 50000 WIRE EAST ASIA AND THE PACIFIC SUBAWARD 40748 WIRE NORTH AMERICA SUBAWARD 219029 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 21640 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 101660 WIRE STUDENT AID EUROPE (INCLUDING ICELAND & GREENLAND) 87775 CHECK OR WIRE 4 STUDENT AID MIDDLE EAST AND NORTH AFRICA 19914 CHECK OR WIRE 1 SUMMER STUDENT GRANTS CENTRAL AMERICA AND THE CARIBBEAN 23000 CHECK OR WIRE 5 SUMMER STUDENT GRANTS EAST ASIA AND THE PACIFIC 605900 CHECK OR WIRE 145 SUMMER STUDENT GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 307567 CHECK OR WIRE 85 SUMMER STUDENT GRANTS MIDDLE EAST AND NORTH AFRICA 129212 CHECK OR WIRE 37 SUMMER STUDENT GRANTS NORTH AMERICA 62315 CHECK OR WIRE 15 SUMMER STUDENT GRANTS RUSSIA AND NEIGHBORING STATES 12800 CHECK OR WIRE 3 SUMMER STUDENT GRANTS SOUTH AMERICA 71550 CHECK OR WIRE 17 SUMMER STUDENT GRANTS SOUTH ASIA 18000 CHECK OR WIRE 4 SUMMER STUDENT GRANTS SUB-SAHARAN AFRICA 85700 CHECK OR WIRE 20 1 0 1 1 1 0 PART I, LINE 2: THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. X X X X X 0 RUFFALO NOEL LEVITZ 1025 KIRKWOOD PARKWAY CEDAR RAPIDS IA 52404 TELEMARKETING 0 1003571 552894 450677 1003571 552894 450677 AL AK AL CT ME MD MA MN MS NH OR UT VA WA LAB SCHOOL 798479 623690 174789 106158 135562 3110 17570 COURT THEATRE 310661 262381 48280 61232 8580 22961 1109140 886071 223069 106158 196794 11690 40531 355173 -132104 PART I LINE 2B MONTHLY INSTALLMENTS $544,774 MAILING CHARGES 2,909 POSTAGE 5,211 TOTAL $552,894 1 ACCESS COMMUNITY HEALTH NETWORK 1501 S CALIFORNIA AVENUE CHICAGO IL 60608 363317058 501 (C) (3) 20346 SUBAWARD ALBERT EINSTEIN COLLEGE OF MEDICINE 1300 MORRIS PARK AVENUE BRONX NY 104611975 131624225 501 (C) (3) 53997 SUBAWARD ALLIANCE OF CHICAGO COMMUNITY HEALTH SERVICES L3C 215 W OHIO STREET 4TH FLOOR CHICAGO IL 60654 364444309 136596 SUBAWARD AMERICAN PSYCHOLOGICAL ASSOCIATION 750 FIRST STREET NE WASHINGTON DC 200024242 530205890 501 (C) (3) 21000 SUBAWARD ASIAN HUMAN SERVICES FAMILY HEALTH CENTER 2424 W PETERSON AVENUE CHICAGO IL 60659 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45TH STREET SUITE 300 SEATTLE WA 981054683 916001537 GOV 288313 SUBAWARD UNIVERSITY OF WISCONSIN-MADISON 21 NORTH PARK STREET - SUITE 6401 MADISON WI 537151218 396006492 GOV 821015 SUBAWARD URBAN INSTITUTE 2100 M STREET NW WASHINGTON DC 20037 520880375 501 (C) (3) 145593 SUBAWARD VANDERBILT UNIVERSITY 3319 WEST END AVENUE SUITE 800 NASHVILLE TN 372036876 620476822 501 (C) (3) 898318 SUBAWARD VIRGINIA COMMONWEALTH UNIVERSITY 800 EAST LEIGH ST SUITE 113 PO BOX 980568 RICHMOND VA 23298 546001758 GOV 26412 SUBAWARD VIRGINIA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY 300 TURNER STREET NW SUITE 4200 BLACKSBURG VA 24061 546001805 GOV 1674503 SUBAWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE BOX 1034 ST LOUIS MO 631121408 436053611 501 (C) (3) 84209 SUBAWARD WAYNE STATE UNIVERSITY 5700 CASS AVENUE ACADEMIC ADMIN BLDG 4900 DETROIT MI 48202 383555142 501 (C) (3) 27724 SUBAWARD WOLCOTT SCHOOL 524 N WOLCOTT AVENUE CHICAGO IL 60622 364496852 501 (C) (3) 104046 SUBAWARD YALE UNIVERSITY 155 WHITNEY AVE SUITE 230 PO BOX 208250 NEW HAVEN CT 06520 060646973 501 (C) (3) 979449 SUBAWARD YOUTH GUIDANCE 1 NORTH LASALLE ST SUITE 900 CHICAGO IL 60602 362167032 501 (C) (3) 20620 SUBAWARD UNDERGRADUATE STUDENT AID 3587 125771504 GRADUATE STUDENT AID 6576 253902190 PART I, LINE 2: THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. X X X X X 1 1 X X X X X 1 1 0 0 0 0 0 1 0 ROBERT J ZIMMER PRESIDENT 1056288 0 1628567 0 37174 0 368000 0 142858 0 3232887 0 1273756 0 ERIC ISAACS PROVOST 755638 0 0 0 10108 0 21200 0 88351 0 875297 0 0 0 ROWAN MIRANDA VP FOR OPERATIONS & CFO 604937 0 102900 0 18744 0 21200 0 59201 0 806982 0 0 0 KAREN WARREN COLEMAN VP CAMPUS AND STUD. LIFE 302216 0 15250 0 1343 0 21200 0 21543 0 361552 0 0 0 DEREK DOUGLAS VP CIVIC ENGAGEMENT 404180 0 76375 0 1812 0 21200 0 51486 0 555053 0 0 0 DAVID B FITHIAN EXECUTIVE VICE PRESIDENT 514982 0 49500 0 3995 0 21200 0 15356 0 605033 0 0 0 KIMBERLY TAYLOR VP & GENERAL COUNSEL 558916 0 70435 0 4459 0 21200 0 57342 0 712352 0 0 0 RICHARD IORIO VP & CHIEF HUMAN RESOURCE OFC. 43845 0 0 0 677563 0 3852 0 7715 0 732975 0 0 0 DONALD H LEVY VP FOR RESEARCH 402520 0 23320 0 0 0 21200 0 14051 0 461091 0 0 0 JOHN LONGBRAKE VP COMMUNICATIONS 126067 0 0 0 3618 0 10286 0 28076 0 168047 0 0 0 KENNETH MANOTTI VP ALUMNI RELATIONS & DEVL. 537887 0 53000 0 18041 0 21200 0 13981 0 644109 0 0 0 JAMES G NONDORF VP ENROLL. & STUDENT ADV. 505412 0 49000 0 2837 0 21200 0 9635 0 588084 0 0 0 JULIE PETERSON VP COMMUNICATIONS 406085 0 21080 0 2271 0 16505 0 16119 0 462060 0 0 0 KENNETH S POLONSKY EXEC. VP MEDICAL AFFAIRS 1575464 0 420000 0 15407 0 21200 202466 22854 0 2054925 202466 0 0 DARREN REISBERG SECRETARY OF THE UNIVERSITY 275094 0 20500 0 881 0 21200 0 10735 0 328410 0 0 0 MARK A SCHMID VP AND CHIEF INVEST. OFFICER 656616 0 1463135 0 7536 0 758071 0 66425 0 2951783 0 693000 0 IAN SOLOMON VP GLOBAL ENGAGEMENT 324434 0 18920 0 18900 0 21200 0 20830 0 404284 0 0 0 KATIE CALLOW-WRIGHT VP & CHIEF OF STAFF 258853 0 0 0 414 0 21200 0 29916 0 310383 0 0 0 MICHAEL EDLESON INVESTMENT CHIEF RISK OFFICER 394787 0 738823 0 0 0 368033 0 22975 0 1524618 0 374036 0 PATRICK O'HARA INV CHIEF OPERATING OFFICER 417986 0 710656 0 0 0 382170 0 14547 0 1525359 0 333670 0 VALLUVAN JEEVANANDAM CHIEF CARDIAC & THORACIC SURG. 1216109 0 35833 0 0 0 21200 0 20402 0 1293544 0 0 0 JOANNA RUPP MANAGING DIRECTOR - PRIV. EQUITY 432896 0 730091 0 0 0 381304 0 43357 0 1587648 0 353042 0 ARIEH SHALHAV PROFESSOR & CHIEF 1096491 0 61146 0 0 0 21200 0 8591 0 1187428 0 0 0 BETH A HARRIS INTERIM DIRECTOR LAB SCHOOLS 213886 0 0 0 947073 0 17482 0 28588 0 1207029 0 0 0 EVERETT VOKES CHAIRMAN OF MEDICINE 748924 0 120000 0 0 0 21200 0 29964 0 920088 0 0 0 SUNIL P KUMAR DEAN OF BOOTH SCH. OF BUS. 573260 0 43193 0 3302 0 21200 0 31540 0 672495 0 0 0 PART I, LINE 1A FIRST CLASS TRAVEL. UNDER WRITTEN UNIVERSITY POLICY, FIRST CLASS AIR TRAVEL IS ONLY ALLOWED WHEN APPROVED IN ADVANCE BY A DEAN, VICE PRESIDENT OR THE PROVOST. FIVE OFFICERS WERE APPROVED FOR FIRST CLASS TRAVEL IN ACCORDANCE WITH THIS POLICY. NONE OF THE BUSINESS TRIPS WERE DEEMED TAXABLE COMPENSATION. TRAVEL FOR COMPANION. UNDER WRITTEN UNIVERSITY POLICY, TRAVEL FOR COMPANIONS MUST BE PRE-APPROVED BY THE CHIEF FINANCIAL OFFICER AND WILL ONLY BE APPROVED WHEN THE COMPANION TRAVEL SERVES A BONA FIDE BUSINESS PURPOSE. TWO OFFICERS HAD COMPANION TRAVEL APPROVED IN ACCORDANCE WITH THIS POLICY. THE COST OF THE COMPANION TRAVEL WAS NOT DEEMED TAXABLE COMPENSATION. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE. (PART 1A &1B AND PART II, COLUMN D FOR ROBERT J. ZIMMER). HOUSING ALLOWANCES ARE ONLY PERMITTED IF PRE-APPROVED BY THE PROVOST'S OFFICE OR UNIVERSITY HUMAN RESOURCES. TWO OFFICERS RECEIVED HOUSING ALLOWANCES, WHICH WERE INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. OF THE AMOUNT IN COLUMN D FOR ROBERT J. ZIMMER, $112,896 REPRESENTS THE VALUE OF THE UNIVERSITY-OWNED HOUSING PROVIDED TO THE PRESIDENT, WHICH IS NOT DEEMED A TAXABLE BENEFIT. SOCIAL AND HEALTH CLUB DUES. UNDER WRITTEN UNIVERSITY POLICY, SOCIAL AND HEALTH CLUB DUES ARE REIMBURSABLE ONLY IF THE BENEFITS OF THE MEMBERSHIP SUPPORT THE UNIVERSITY'S MISSION AND ONLY IF THE REIMBURSEMENT IS APPROVED BY A DEAN, VICE PRESIDENT, PROVOST OR PRESIDENT OF THE UNIVERSITY. ANY PORTION OF THE DUES NOT USED FOR BUSINESS PURPOSES IS CONSIDERED TAXABLE COMPENSATION. OFFICERS OF THE UNIVERSITY MAINTAIN MEMBERSHIP IN THE QUADRANGLE CLUB, A RELATED ORGANIZATION THAT OPERATES A FACULTY CLUB ON THE CAMPUS OF THE UNIVERSITY FOR PURPOSES OF CONDUCTING MEETINGS AND OTHER UNIVERSITY BUSINESS. THE UNIVERSITY REIMBURSES OFFICERS FOR THESE DUES AND THE REIMBURSEMENT IS NOT DEEMED TAXABLE COMPENSATION. IN ADDITION THREE OFFICERS AND ONE FORMER KEY EMPLOYEE HAD SOCIAL CLUB DUES REIMBURSED BY THE UNIVERSITY FOR BUSINESS PURPOSES AND THE REIMBURSEMENT WAS NOT DEEMED TAXABLE COMPENSATION. PERSONAL SERVICES. THE UNIVERSITY PROVIDES FOR THE MAINTENANCE AND CLEANING OF THE UNIVERSITY OWNED HOUSE PROVIDED TO THE PRESIDENT. THESE SERVICES WERE NOT DEEMED A TAXABLE BENEFIT. PART I, LINES 4A-B PART I, LINE 4A: SEVERANCE PAYMENT: BETH HARRIS $912,578. RICHARD IORIO $677,563. PART I, LINE 4B: ROBERT J. ZIMMER $346,800. KENNETH POLONSKY $202,486. PART I, LINE 7 INVESTMENT OFFICE PERSONNEL PARTICIPATE IN AN INCENTIVE COMPENSATION PROGRAM BASED ON PERFORMANCE AND QUALITATIVE MEASUREMENTS. A IEFA 50000000 ADJ RATE REV BONDSSERIES 2003B 521297563 4520017E4 2003-08-28 50000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA 100000000 REVENUE BONDS SERIES 2004B 861091967 45200BHH4 2004-11-10 100000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 80000000 ADJ RAT REV REFUNDING BONDS 2004C 861091967 45200BJG4 2004-11-30 80000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA 244030000 REVENUE BONDS SERIES 2007 861091967 45200B6F0 2007-06-28 249996429 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 12502000 50141933 274223 49867710 2006 0 0 1 1 B 21059000 102437189 469999 101967190 2010 0 0 1 1 C 2548000 80000000 463838 79536162 2006 0 1 1 1 D 9765000 230320000 256001810 1630377 254371433 2010 0 0 1 1 A 0 0 1 1 1 1 0.00100 0.00000 0.00100 0 0 1 B 0 0 1 1 1 1 0.00300 0.00000 0.00300 0 0 1 C 0 0 1 1 1 1 0.00900 0.00000 0.00900 0 0 1 D 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 1 1 0 0 0 1 B 0 0 1 1 1 0 0 0 1 C 0 0 1 1 1 1 MORGAN STANLEY CAPITAL 35.000000000000 0 0 0 0 1 D 0 0 1 1 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: IEFA 50,000,000 ADJ RATE REV BONDS,SERIES 2003B DATE THE REBATE COMPUTATION WAS PERFORMED: 04/02/2009 ISSUER NAME: IFA 100,000,000 REVENUE BONDS, SERIES 2004B DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2009 ISSUER NAME: IFA 80,000,000 ADJ RAT REV REFUNDING BONDS 2004C DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2011 ISSUER NAME: IFA 244,030,000 REVENUE BONDS, SERIES 2007 DATE THE REBATE COMPUTATION WAS PERFORMED: 07/12/2012 ISSUER NAME: IFA 123,604,000 ADJ RATE DEMAND REV SERIES 2008 DATE THE REBATE COMPUTATION WAS PERFORMED: 03/26/2013 ISSUER NAME: IFA 500,000,000 REVENUE BONDS, SERIES 2008B DATE THE REBATE COMPUTATION WAS PERFORMED: 03/01/2014 SCHEDULE K, PART I COLUMN F DESCRIPTION OF PURPOSE $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $244,030,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2007, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL, A LIBRARY ADDITION, STEAM AND CHILLED WATER UTILITY PLANT EXPANSION, THE CENTER FOR BIOMEDICAL DISCOVERY, AND AN OFFICE BUILDING, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $500,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COST OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL AND DINING FACILITY, THE LOGAN ARTS CENTER, A LIBRARY ADDITION, AND THE CENTER FOR BIOMEDICAL DISCOVERY, AND PAY CERTAIN COSTS OF ISSUANCE. $369,570,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2012A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, THE MULTIPURPOSE ECONOMICS RESEARCH BUILDING, AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 1985A BONDS AND THE 2004A BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. $149,090,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2013A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE, AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, ADAPTIVE REUSE OF 5757 S. UNIVERSITY AVENUE AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 2001A BONDS, THE 2004A BONDS AND THE 2008B BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. $650,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2014A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, REFUND THE SERIES 2009 ISSUE, PAY CERTAIN COSTS RELATING TO THE ISSUE OF THE SERIES 2014A BONDS AND ADVANCED REFUNDING OF THE 2009 ISSUE. $415,825,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2015A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, REFUND THE SERIES 2007 ISSUE, PAY CERTAIN COSTS OF ISSUANCE. SCHEDULE K, PART II, LINE 3 SERIES 2003B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $141,933. SERIES 2004B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $2,437,189. SERIES 2007: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $6,005,381. SERIES 2008B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $646,698. SERIES 2012A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $8,068. SERIES 2013A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $4,887. SERIES 2014A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND THE TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $3,893. SERIES 2015A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND THE TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $99,605. SCHEDULE K, PART II, LINE 11 SERIES 2004B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2008B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2012B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2013A: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2014A: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2015A: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. A IFA XXX-XX-XXXX ADJ RATE DEMAND REV SERIES 2008 861091967 45200FEG0 2008-04-03 123604000 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA 500000000 REVENUE BONDS SERIES 2008B 861091967 45203HC42 2009-01-07 502370736 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 369570000 REVENUE BONDS SERIES 2012A 861091967 45203HFF4 2012-02-02 421065981 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA 149090000 REVENUE BONDS SERIES 2013A 861091967 45203HRE4 2013-05-15 159766350 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 20147000 123604000 752575 122851425 2004 1 0 1 1 B 52695000 395655000 503017434 3487166 499530268 2012 0 0 1 1 C 7360000 421074049 1982388 150009360 269082300 2013 0 1 1 1 D 2420000 159771237 1179561 100004887 58586789 2014 1 1 1 1 A 0 0 1 1 1 1 0.01100 0.00000 0.01100 0 1 0.00400 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 1 1 1 1 0.00200 0.00000 0.00200 0 0 1 D 0 0 1 1 1 1 0.00100 0.00000 0.00100 0 0 1 A 0 0 0 1 1 1 MORGAN STANLEY CAPITAL 33.000000000000 0 0 0 0 1 B 0 0 0 1 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 A IFA 650000000 REVENUE BONDS SERIES 2014A 861091967 45203HB68 2014-08-12 644509246 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA XXX-XX-XXXX REVENUE BONDS SERIES 2015A 861091967 45203H3H3 2015-09-10 452070011 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 644513139 438625217 2131891 175008593 28747438 2015 0 1 0 1 B 452219232 240478456 1601010 142283863 9985548 57820829 0 1 0 1 A 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 A 1 B 1 DAVID FITHIAN OFFICER X 136000 94571 0 1 1 IAN SOLOMON OFFICER X 300000 265001 0 1 1 KIM TAYLOR OFFICER X 100000 80000 0 1 1 439572 TISHMAN SPEYER CROWN EQUITIES LLC SEE PART V 598053 SEE PART V 0 TRIAN PARTNERS SEE PART V 848584 SEE PART V 0 MAN GROUP PLC SEE PART V 942728 SEE PART V 0 THE CARLYLE GROUP SEE PART V 358046 SEE PART V 0 LAKE CAPITAL PARTNERS SEE PART V 192373 SEE PART V 0 SHADI BARTSCH-ZIMMER SEE PART V 290972 SEE PART V 0 SUMATI MURLI SEE PART V 158067 SEE PART V 0 TAMAR POLONSKY SEE PART V 227307 SEE PART V 0 TAMARA VOKES SEE PART V 262304 SEE PART V 0 JESSICA DARROW SEE PART V 96521 SEE PART V 0 SCHEDULE L, PART IV JAMES S. CROWN, A TRUSTEE OF THE UNIVERSITY, AND HIS FAMILY OWN AN INDIRECT INTEREST IN TISHMAN SPEYER CROWN EQUITIES LLC (TISHMAN SPEYER), WHICH THROUGH A SUBSIDIARY OWNS AN OFFICE BUILDING IN WASHINGTON D.C. IN WHICH THE UNIVERSITY OF CHICAGO LEASES OFFICE SPACE. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $235,024 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2016. THE UNIVERSITY ALSO LEASES OFFICE SPACE IN NEW YORK, NEW YORK FROM TISHMAN SPEYER. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $ 363,029 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2016.PETER W. MAY, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT AND FOUNDING PARTNER OF TRIAN PARTNERS, AN INVESTMENT MANAGEMENT FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. TRIAN PARTNERS RECEIVED APPROXIMATELY $848,500 IN MANAGEMENT AND INCENTIVE FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2016. EMMANUEL ROMAN, A TRUSTEE OF THE UNIVERSITY, WAS DURING THE TAX YEAR THE CHIEF EXECUTIVE OFFICER OF MAN GROUP PLC, AN ALTERNATIVE INVESTMENT MANAGEMENT FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. THE MAN GROUP PLC RECEIVED APPROXIMATELY $943,000 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2016.DAVID M. RUBENSTEIN, A TRUSTEE OF THE UNIVERSITY, IS A CO-FOUNDER AND CO-CEO OF THE CARLYLE GROUP, A PRIVATE EQUITY FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. THE CARLYLE GROUP RECEIVED APPROXIMATELY $358,000 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2016.PAUL YOVOVICH, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT, PRINCIPAL, AND CO-FOUNDER OF LAKE CAPITAL, A PRIVATE EQUITY FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. LAKE CAPITAL RECEIVED APPROXIMATELY $192,000 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2016.SHADI BARTSCH-ZIMMER, THE WIFE OF THE UNIVERSITY OF CHICAGO PRESIDENT ROBERT J. ZIMMER, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR OF CLASSICS. MS. BARTSCH-ZIMMER WAS PAID A GROSS SALARY OF $290,972 FOR THE CALENDAR YEAR 2015 IN CONNECTION WITH HER EMPLOYMENT.SUMATI MURLI, THE WIFE OF SUNIL KUMAR, DEAN OF THE BOOTH SCHOOL OF BUSINESS DURING THE TAX YEAR ENDED JUNE 30, 2016, WAS EMPLOYED BY THE UNIVERSITY AS A DIRECTOR FOR CLINICAL RESEARCH OPERATIONS. MS. MURLI WAS PAID $158,067 FOR THE CALENDAR YEAR 2015 IN CONNECTION WITH HER EMPLOYMENT.TAMAR POLONSKY, THE DAUGHTER OF KENNETH POLONSKY, DEAN AND EXECUTIVE VICE PRESIDENT FOR MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS AN ASSISTANT PROFESSOR IN THE DEPARTMENT OF MEDICINE. DR. POLONSKY WAS PAID $227,307 FOR THE CALENDAR YEAR 2015 IN CONNECTION WITH HER EMPLOYMENT.TAMARA VOKES, THE WIFE OF EVERETT VOKES, THE FORMER DEAN AND VICE PRESIDENT OF MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR IN CLINICAL MEDICINE. DR. VOKES WAS PAID $262,304 FOR THE CALENDAR YEAR 2015 IN CONNECTION WITH HER EMPLOYMENT.JESSICA DARROW, THE DAUGHTER OF KATHARINE DARROW, A TRUSTEE OF THE UNIVERSITY, IS EMPLOYED BY THE UNIVERSITY AS A LECTURER IN THE UNIVERSITY'S SCHOOL OF SOCIAL SERVICE ADMINISTRATION. MS. DARROW WAS PAID $96,521 IN COMPENSATION FOR THE CALENDAR YEAR 2015 IN CONNECTION WITH HER EMPLOYMENT. X 12 X 605777 OPINION OF EXPERTS X 368 46321142 COST/SELLING PRICE X MOBILE MEDICAL UNIT 1 268000 COST 18 0 1 1 PART I, LINE 32B: RELATED ORGANIZATIONS IN THE UK, FRANCE, SINGAPORE, HONG KONG AND INDIA SOLICIT CHARITABLE CONTRIBUTIONS FOR THE BENEFIT OF THE UNIVERSITY AND ITS PROGRAMS. THE UNIVERSITY USES AN OUTSIDE BROKER TO SELL GIFTS OF SECURITIES. PART I, LINE 33: THE UNIVERSITY OF CHICAGO DOES NOT RECORD GIFTS OF ART AS REVENUE AS PERMITTED UNDER SFAS 116. FORM 990, PART VI, SECTION A, LINE 2 ANDREW M. ALPER, KENNETH M. JACOBS AND TIMOTHY H. GEORGE, ALL TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND JAMES S. CROWN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND JOHN W. ROGERS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND RODNEY L. GOLDSTEIN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND E. DAVID COOLIDGE III, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. JOHN W. ROGERS AND PAULA WOLFF, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. BYRON D. TROTT AND JOSEPH NEUBAUER, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. MICHAEL P. POLSKY AND MARY A. TOLAN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. THOMAS J. PRITZKER AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 4 EFFECTIVE MAY 2016, AS PART OF A REORGANIZATION OF THE STANDING COMMITTEES OF THE BOARD OF TRUSTEES, THE UNIVERSITY AMENDED ITS BYLAWS TO ELIMINATE THE BOARD'S COMPENSATION COMMITTEE. ALL RESPONSIBILITIES OF THE COMPENSATION COMMITTEE RELATED TO ANNUAL OFFICER COMPENSATION REVIEW HAVE BEEN ASSUMED BY THE EXECUTIVE COMMITTEE OF THE BOARD. COMPENSATION REVIEWS AND FINAL COMPENSATION DECISIONS OF THE EXECUTIVE COMMITTEE ARE BASED ON THE RECOMMENDATIONS OF THE CHAIR OF THE BOARD OF TRUSTEES OR PRESIDENT, AS APPROPRIATE, AS WELL AS COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS. FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO FILING THE FORM 990, MEMBERS OF THE EXECUTIVE COMMITTEE OF THE UNIVERSITY'S BOARD OF TRUSTEES WERE GIVEN AN OPPORTUNITY TO REVIEW PORTIONS OF THE FORM 990 RELEVANT TO THE THEIR AREAS OF OVERSIGHT. THESE PORTIONS OF THE FORM 990 WERE DISTRIBUTED TO COMMITTEE MEMBERS FOR CONVENED MEETINGS IN MARCH 2017, AT WHICH TRUSTEES OF THESE COMMITTEES WERE GIVEN THE OPPORTUNITY TO DISCUSS THE RELEVANT SECTIONS OF THE FORM 990 AND ASK QUESTIONS. IN ADDITION, IN EARLY APRIL 2017, THE COMPLETED DRAFT FORM 990 (AND FORM 990-T), INCLUDING ALL SCHEDULES, WAS POSTED ON A SECURE WEBSITE ACCESSIBLE TO ALL TRUSTEES TO ALLOW THEM TO REVIEW THE FORM, PROVIDE COMMENTS, AND ASK ANY QUESTIONS. INFORMATION ABOUT ACCESSING THE WEBSITE WAS DISTRIBUTED IN ADVANCE TO ALL TRUSTEES. THE DRAFT FORM REMAINED AVAILABLE ON THE WEBSITE FOR APPROXIMATELY TWO WEEKS, AFTER WHICH ONLINE ACCESS ENDED TO ALLOW THE UNIVERSITY TIME TO FINALIZE THE FORM 990 AND FORM 990T FOR FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ALL TRUSTEES, OFFICERS, FACULTY, SENIOR ADMINISTRATORS, AND OTHER EMPLOYEES OF THE UNIVERSITY ARE SUBJECT TO CONFLICT OF INTEREST POLICIES THAT, AMONG OTHER THINGS, DEFINE MATERIAL FINANCIAL CONFLICTS OF INTEREST, IDENTIFY THE CLASSES OF INDIVIDUALS COVERED BY THE POLICIES, FACILITATE DISCLOSURE OF INFORMATION, AND SPECIFY PROCEDURES TO BE FOLLOWED IN MANAGING THE CONFLICTS. THESE CONFLICT OF INTEREST POLICIES AND PROCEDURES INCLUDE: (1) THE UNIVERSITY OF CHICAGO CONFLICT OF INTEREST POLICY FOR TRUSTEES AND OFFICERS REQUIRES TRUSTEES AND OFFICERS TO ALERT THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP AND GOVERNANCE, OR THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL OF ANY POTENTIAL CONFLICT OF INTEREST, AND ABSTAIN FROM PARTICIPATING IN OR VOTING ON THE MATTER. THE POLICY ALSO REQUIRES TRUSTEES AND OFFICERS TO DISCLOSE ON AN ANNUAL BASIS, ACTUAL AND POTENTIAL CONFLICTS OF INTEREST BY COMPLETING A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ALL CONFLICT OF INTEREST DISCLOSURES AND RELATED DISCUSSIONS ARE SHARED WITH THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP AND GOVERNANCE, AND THE UNIVERSITY'S PRESIDENT, ITS GENERAL COUNSEL, AND ITS EXTERNAL AUDITORS. THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL, IN CONSULTATION WITH THE COMMITTEE ON TRUSTEESHIP AND GOVERNANCE AND SENIOR UNIVERSITY ADMINISTRATORS, COMPILES THE DISCLOSURES INTO A CONFIDENTIAL DATABASE AND PREPARES FOR EACH TRUSTEE AND OFFICER A WRITTEN ACKNOWLEDGEMENT OF THE DISCLOSURE THAT IDENTIFIES ANY PENDING UNIVERSITY TRANSACTIONS THAT MAY BE AFFECTED BY THE DISCLOSURE. THE CHAIR OF THE BOARD ALSO REVIEWS ALL DISCLOSED POTENTIAL CONFLICTS OF INTEREST BEFORE MAKING BOARD COMMITTEE ASSIGNMENTS. (2) THE UNIVERSITY'S POLICY ON SERVICE TO OUTSIDE ORGANIZATIONS BY SENIOR ADMINISTRATORS REQUIRES OFFICER AND SENIOR ADMINISTRATORS TO DISCLOSE ALL OFFICER, DIRECTOR, OR TRUSTEE POSITIONS THEY HOLD OR INTEND TO HOLD IN OUTSIDE ORGANIZATIONS, INCLUDING BUT NOT LIMITED TO ORGANIZATIONS IN WHICH THEY HAVE A FINANCIAL INTEREST OR FROM WHICH THEY RECEIVE COMPENSATION. THE UNIVERSITY'S OFFICE OF LEGAL COUNSEL MONITORS SUCH POTENTIAL CONFLICTS BY CIRCULATING ANNUALLY A DISCLOSURE FORM THAT MUST BE UPDATED AS CIRCUMSTANCES CHANGE, AND OFFICERS ARE ALSO REQUIRED TO DISCLOSE ALL SUCH RELATIONSHIPS IN ADVANCE TO THEIR IMMEDIATE SUPERVISOR. THIS INFORMATION MAY BE SHARED WITH THE UNIVERSITY'S TRUSTEES, PRESIDENT, PROVOST, GENERAL COUNSEL, AND OTHERS AS NECESSARY; COMPENSATED OUTSIDE SERVICE IS ALSO SUBJECT TO REVIEW BY THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. (3) ACADEMIC EMPLOYEES, INCLUDING THE PRESIDENT AND THE PROVOST, ARE SUBJECT TO THE UNIVERSITY'S CONFLICT OF INTEREST AND CONFLICT OF COMMITMENT POLICY FOR FACULTY AND OTHER ACADEMIC APPOINTEES. THE OFFICE OF THE PROVOST IS THE ADMINISTRATIVE OFFICE CHARGED WITH ASSURING COMPLIANCE WITH THE FACULTY CONFLICT OF INTEREST POLICY. THE PROVOST HAS DELEGATED OVERSIGHT OF THIS POLICY TO THE VICE PROVOST FOR ACADEMIC AFFAIRS AS ITS CHAIR. THE PROVOST ALSO APPOINTS THE MEMBERS OF THE STANDING COMMITTEE ON INDIVIDUAL CONFLICTS OF INTEREST AND DESIGNATES THE VICE PROVOST FOR ACADEMIC AFFAIRS AS ITS CHAIR. THE PROVOST REPORTS PERIODICALLY TO THE STANDING COMMITTEE ON THE STATUS OF FACULTY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY; THE REPORT INCLUDES HOW RISKS HAVE BEEN ADDRESSED THROUGH MANAGEMENT PLANS OR OTHER PRACTICES INTENDED TO PROVIDE FOR THE REDUCTION, ELIMINATION OR MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS. THE VICE PROVOST FOR ACADEMIC AFFAIRS SEEKS ASSESSMENTS OF THE RISKS AND RECOMMENDATIONS FOR RESPONSIBLE MANAGEMENT FROM DEPARTMENT CHAIRS AND DEANS AND OTHERS SUCH AS THE DIRECTOR OF UNIVERSITY RESEARCH ADMINISTRATION AND THE OFFICE OF LEGAL COUNSEL. (4) THE UNIVERSITY'S CONFLICT OF INTEREST POLICY REQUIRES ALL NON-ACADEMIC EMPLOYEES TO AVOID INVOLVEMENT IN ACTIVITIES WHICH MIGHT CONFLICT, OR MIGHT APPEAR TO CONFLICT, WITH THEIR INSTITUTIONAL RESPONSIBILITIES, INCLUDING, BUT NOT LIMITED TO BUSINESS OR FINANCIAL INTERESTS, TRANSACTIONS INVOLVING THE USE OF CONFIDENTIAL INFORMATION OR KNOWLEDGE GAINED AS A RESULT OF THE EMPLOYEE'S RELATIONSHIP WITH THE UNIVERSITY, THE USE OF UNIVERSITY RESOURCES FOR PERSONAL BENEFIT OR THE BENEFIT OF OTHERS, THE ACCEPTANCE OF GIFTS OF MORE THAN NOMINAL VALUE, AND NEPOTISM. CONFLICT OF INTEREST POLICY REQUIRES STAFF TO PROVIDE FULL DISCLOSURE OF ANY INTEREST THAT MIGHT INFLUENCE, OR APPEAR TO HAVE THE CAPACITY TO INFLUENCE, THE STAFF MEMBER'S OFFICIAL DECISIONS OR ACTIONS ON UNIVERSITY MATTERS. THE DISCLOSURES ARE TO BE IN WRITING, TENDERED TO THE EMPLOYEE'S IMMEDIATE SUPERVISOR, DEPARTMENT HEAD, OR THE APPROPRIATE VICE PRESIDENT OF THE UNIVERSITY. (5) THE UNIVERSITY'S POLICY ON BUSINESS CONDUCT AT THE UNIVERSITY OF CHICAGO REQUIRES ALL UNIVERSITY EMPLOYEES TO, AMONG OTHER THINGS, AVOID REAL OR PERCEIVED CONFLICTS OF INTEREST; USE UNIVERSITY RESOURCES ONLY FOR LEGITIMATE UNIVERSITY BUSINESS; AND REPORT POSSIBLE VIOLATIONS OF THE POLICY, OTHER UNIVERSITY POLICIES, OR APPLICABLE LAW. MEMBERS OF THE UNIVERSITY COMMUNITY ARE ENCOURAGED TO REPORT COMPLIANCE CONCERNS THROUGH NORMAL LINES OF COMMUNICATION INCLUDING DISCUSSIONS WITH SUPERVISORS OR ADVISORS AND, IF NECESSARY, THROUGH THE TOLL-FREE HOTLINE. FORM 990, PART VI, SECTION B, LINE 15 DURING THE TAX YEAR, THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES CONDUCTED ITS ANNUAL REVIEW OF COMPENSATION FOR THE UNIVERSITY'S PRESIDENT AND ALL OTHER UNIVERSITY OFFICERS, BASED ON A RECOMMENDATION FROM THE CHAIRMAN OF THE BOARD OF TRUSTEES IN THE CASE OF THE PRESIDENT'S COMPENSATION, AND RECOMMENDATIONS FROM THE PRESIDENT IN THE CASE OF OFFICER COMPENSATION. THE COMPENSATION COMMITTEE REVIEWED THESE RECOMMENDATIONS, INCLUDING A REVIEW OF COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS, AND MADE A RECOMMENDATION REGARDING COMPENSATION TO THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, WHICH ALSO REVIEWED THE COMPARABILITY DATA AND MADE ALL FINAL COMPENSATION DECISIONS. THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE AND THE DECISIONS OF THE EXECUTIVE COMMITTEE WERE DOCUMENTED IN MINUTES MAINTAINED BY THE UNIVERSITY. EFFECTIVE MAY 2016, THE UNIVERSITY AMENDED ITS BYLAWS TO ELIMINATE THE COMPENSATION COMMITTEE. THE EXECUTIVE COMMITTEE OF THE BOARD CONTINUES TO BE RESPONSIBLE FOR CONDUCTING OFFICER COMPENSATION REVIEWS AND MAKING ALL FINAL COMPENSATION DECISIONS BASED ON THE RECOMMENDATIONS OF THE CHAIR OF THE BOARD OF TRUSTEES AND PRESIDENT, AS APPROPRIATE, AS WELL AS COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS. ALL DECISIONS OF THE EXECUTIVE COMMITTEE CONTINUE TO BE DOCUMENTED IN MINUTES MAINTAINED BY THE UNIVERSITY. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, CONFLICT OF INTEREST POLICIES, AND MOST RECENT FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ON THE UNIVERSITY'S WEBSITE, WWW.UCHICAGO.EDU . FORM 990, PART XI, LINE 9: MISCELLANEOUS -532. 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INTERNATIONAL LIMITED R 1635469 CASH VALUE UCHICAGO RESEARCH BANGLADESH LTD R 550000 CASH VALUE UCHICAGO CENTER IN INDIA PRIVATE LIMITED R 4763982 CASH VALUE THE UNIVERSITY OF CHICAGO FOUNDATION IN HONG KONG LTD N 1408039 CASH VALUE THE UNIVERSITY OF CHICAGO FOUNDATION IN HONG KONG LTD O 2990410 CASH VALUE THE UNIVERSITY OF CHICAGO FOUNDATION IN HONG KONG LTD P 1601561 CASH VALUE THE UNIVERSITY OF CHICAGO FOUNDATION IN HONG KONG LTD R 365277 CASH VALUE SOUTHEAST CHICAGO COMMISSION O 139363 CASH VALUE SOUTHEAST CHICAGO COMMISSION P 206667 CASH VALUE HYMEN MILGROM SUPPORTING ORGANIZATION C 900054 CASH VALUE CHAPIN HALL CENTER FOR CHILDREN R 473000 CASH VALUE JOHN CRERAR FOUNDATION C 25000 CASH VALUE THE MARINE BIOLOGICAL LABORATORY R 9009667 CASH VALUE PART I IDENTIFICATION OF DISREGARDED ENTITIES THEORY & COMPUTING SCIENCES BUILDING TRUST - THE UNIVERSITY IS THE 100% BENEFICIARY OF THE TRUST, BUT DOES NOT CONTROL THE TRUST. AS SUCH, THE INCOME AND ASSETS OF THE TRUST ARE NOT SHOWN ON THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS WHICH ARE THE BASIS FOR THE 990 PART VIII, LINE 12 AND PART X, LINE 16. THE END OF THE YEAR ASSET BALANCE IS $84,612,789 AND THE INCOME FOR THE PERIOD ENDING DECEMBER 31, 2015 IS $7,506,553. UCHICAGO ARGONNE LLC, A DISREGARDED ENTITY OF THE UNIVERSITY OF CHICAGO, MANAGES ARGONNE NATIONAL LABORATORY. UCHICAGO ARGONNE LLC EARNED A MANAGEMENT FEE OF $3,676,877 FOR THE TAX YEAR. THE TOTAL EXPENDITURES AT ARGONNE NATIONAL LABORATORY WERE APPROXIMATELY $731 MILLION FOR THE TAX YEAR. THE FUNDING AND THE EXPENDITURES OF ARGONNE HAVE BEEN INCLUDED IN PARTS III, VIII, AND IX OF THE FORM 990. FOR PURPOSES OF COMPLETENESS, PLEASE NOTE THE FOLLOWING: THE ENTITIES LISTED BELOW ARE DISREGARDED ENTITIES OF THE UNIVERSITY OF CHICAGO MEDICAL CENTER: UCMC COMMUNITY PHYSICIANS LLC, 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 38-3865637 PRIMARY ACTIVITY: PHYSICIAN SERVICES LEGAL DOMICILE: ILLINOIS UNIVERSITY OF CHICAGO MEDICINE CARE NETWORK LLC, 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 47-4222269 PRIMARY ACTIVITY: HEALTHCARE LEGAL DOMICILE: ILLINOIS ALSO NOTE: THE UNIVERSITY OF CHICAGO MEDICAL CENTER IS A LESS THAN 50% MEMBER IN A JOINT VENTURE WITH UCMC/SCH ONCOLOGY JV LLC, A TAX EXEMPT ENTITY, 1850 SILVER CROSS BLVD, NEW LENOX, IL 60451, EIN: 32-2436795 AND THE UNIVERSITY OF CHICAGO MEDICINE CARE NETWORK, LLC, A DISREGARDED ENTITY OF THE UNIVERSITY OF CHICAGO MEDICAL CENTER, IS THE SOLE MEMBER OF THE FOLLOWING RELATED ENTITIES: UCM CARE NETWORK MEDICAL GROUP INC. 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 47-4221241 PRIMARY ACTIVITY: HEALTHCARE LEGAL DOMICILE: ILLINOIS UNIVERSITY OF CHICAGO MEDICINE CARE NETWORK AFFILIATED PHYSICIANS LLC, 5841 S. MARYLAND, CHICAGO, IL 60637, EIN: 47-4233918 PRIMARY ACTIVITY: HEALTHCARE LEGAL DOMICILE: ILLINOIS