2017-05-15T09:14:25-05:00 2016-06-30 990 2015-07-01 412046529 3C CORPORATION 3CCO 2034325530 C/O YALE UNIV TAX PO BOX 208239 NEW HAVEN CT 065208239 KENNETH R MILLER ASSISTANT SECRETARY 2034320120 2017-05-15 2015 2021-01-29 14:40:06Z DAVID F SWENSEN C/O YALE UNIV TAX PO BOX 208239 NEW HAVEN CT 065208239 4123034 0 X N/A X 2002 DC TO HOLD CERTAIN INVESTMENT PROPERTIES OF THE YALE UNIVERSITY ENDOWMENT. 3 0 0 0 0 0 0 0 0 0 2425684 4123034 0 0 2425684 4123034 0 0 0 0 0 0 0 0 0 0 0 0 0 2425684 4123034 47697279 50616551 0 0 47697279 50616551 3C CORPORATION IS A SUPPORTING ORGANIZATION WHOSE PRIMARY EXEMPT PURPOSE IS TO HOLD CERTAIN INVESTMENT PROPERTIES OF THE YALE UNIVERSITY ENDOWMENT. 0 0 NONE 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X 3 0 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 0 0 0 X KENNETH R MILLER CO YALE UNIVERSI 2034320120 55 WHITNEY AVENUE NEW HAVEN CT 06510 X DAVID F SWENSEN PRESIDENT & DIRECTOR 1.00 52.60 X X 0 3954681 284122 DEAN J TAKAHASHI VP, TREASURER & DIRECTOR 1.00 51.00 X X 0 2955474 249390 STEPHEN C MURPHY SECRETARY & DIRECTOR 1.00 52.20 X X 0 349708 66934 KENNETH R MILLER ASSISTANT SECRETARY 1.00 51.40 X 0 377368 110620 ROBERT J HERR FORMER SECRETARY & DIRECTOR 0.00 50.80 X 0 152707 38763 0 7789938 749829 0 1 1 0 0 4123034 4123034 4123034 0 0 4123034 0 0 0 0 47697279 50616551 47697279 50616551 0 0 X 0 0 0 0 47697279 50616551 47697279 50616551 47697279 50616551 X 4123034 -1203762 X 0 0 0 X X 1 YALE UNIVERSITY 060646973 2 1 3148431 0 1 3148431 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 INVESTMENTS 14849187 F NOTES RECEIVABLE 35767364 F 50616551 NORTH AMERICA 0 0 INVESTMENTS 35767364 0 0 0 0 0 0 35767364 0 35767364 1 0 1 1 1 0 0 1 0 0 0 0 0 0 0 DAVID F SWENSEN PRESIDENT & DIRECTOR 0 849202 0 2542896 0 562583 0 256412 0 27710 0 4238803 0 0 DEAN J TAKAHASHI VP, TREASURER & DIRECTOR 0 630302 0 1907172 0 418000 0 231767 0 17623 0 3204864 0 0 STEPHEN C MURPHY SECRETARY & DIRECTOR 0 331708 0 0 0 18000 0 33267 0 33667 0 416642 0 0 KENNETH R MILLER ASSISTANT SECRETARY 0 259425 0 99943 0 18000 0 101154 0 9466 0 487988 0 54333 ROBERT J HERR FORMER SECRETARY & DIRECTOR 0 152707 0 0 0 0 0 17095 0 21668 0 191470 0 0 SCHEDULE J, PART I, LINES 1-3: BECAUSE THE OFFICERS AND DIRECTORS DO NOT RECEIVE ANY COMPENSATION FROM 3C CORPORATION, LINES 1-3 WERE LEFT BLANK. SCHEDULE J, PART I, LINE 4B: CERTAIN LISTED PERSONS PARTICIPATED IN SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS DURING THE CALENDAR YEAR 2015 AS DESCRIBED BELOW: YALE UNIVERSITY, A RELATED ORGANIZATION, PREVIOUSLY AGREED TO SUPPLEMENT THE RETIREMENT INCOME FOR TWO OFFICERS OF 3C CORPORATION BY PROVIDING AN ADDITIONAL RETIREMENT BENEFIT EQUAL IN VALUE TO A PERCENTAGE OF SALARY AT VESTING, FOR A TERM OF 20 YEARS, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY. AN ANNUAL ACCRUAL FOR THE ADDITIONAL RETIREMENT BENEFITS IS INCLUDED IN SCHEDULE J, PART II, COLUMN (C). IN ADDITION, THE UNIVERSITY AWARDED BONUSES TO THE TWO PREVIOUSLY MENTIONED OFFICERS OF 3C CORPORATION FOR THEIR SERVICES AS YALE UNIVERSITY EMPLOYEES THAT WERE TAXED IN 2015 AND SUBJECT TO DEFERRED PAYMENT WITH ADJUSTMENTS UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE YALE UNIVERSITY ENDOWMENT. THESE BONUSES FOR 2015 ARE INCLUDED IN SCHEDULE J, PART II, COLUMN (B)(III). SCHEDULE J, PART II (GENERAL NOTES): COLUMN (F): COMPENSATION REPORTED IN PRIOR FORM 990: THIS AMOUNT IS ALSO INCLUDED IN COLUMN (E), PART II. IT IS, THEREFORE, DOUBLE REPORTED IN PART II AND DOES NOT REPRESENT ADDITIONAL COMPENSATION. FORM 990, PART VI, SECTION A, LINE 1 EACH OF THE VOTING MEMBERS OF THE GOVERNING BODY OF 3C CORPORATION IS AN EMPLOYEE OF YALE UNIVERSITY (EIN 06-0646973), A RELATED ORGANIZATION, AND RECEIVES COMPENSATION FOR HIS OR HER SERVICES AS AN EMPLOYEE OF YALE UNIVERSITY. THESE INDIVIDUALS ARE NOT PAID FOR THEIR SERVICES AS VOTING MEMBERS OF 3C CORPORATION. FORM 990, PART VI, SECTION A, LINE 2 ALL OFFICERS/DIRECTORS OF 3C CORPORATION ARE EITHER OFFICERS, TRUSTEES, OR EMPLOYEES OF YALE UNIVERSITY, A RELATED ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A PURSUANT TO THE BY-LAWS, THE CORPORATION'S BOARD HAS THREE MEMBERS. YALE UNIVERSITY'S (A RELATED ORGANIZATION) CHIEF INVESTMENT OFFICER IS A MEMBER EX-OFFICIO OF THE BOARD, AND THE OTHER MEMBERS ARE ELECTED (EACH FOR A TWO YEAR TERM AND UNTIL THEIR RESPECTIVE SUCCESSORS ARE ELECTED AND QUALIFIED OR UNTIL THEIR EARLIER DEATH, RESIGNATION, OR REMOVAL) BY THE AFFIRMATIVE VOTE OF A MAJORITY OF THE MEMBERS OF THE YALE CORPORATION PRESENT AT A MEETING AT WHICH A QUORUM IS PRESENT. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS PREPARED BY YALE UNIVERSITY, A RELATED ORGANIZATION, AND REVIEWED BY AN OFFICER OF 3C CORPORATION PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE CORPORATION'S CONFLICT OF INTEREST POLICY OBLIGATES EACH CURRENT AND COVERED FORMER DIRECTOR, OFFICER AND MEMBER OF A COMMITTEE WITH GOVERNING BOARD DELEGATED POWERS TO PROMPTLY DISCLOSE ANY ACTUAL OR POTENTIAL CONFLICT OF INTEREST. EACH SUCH PERSON MUST SIGN A STATEMENT AFFIRMING THAT HE OR SHE HAS RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY, HAS READ AND UNDERSTANDS THE POLICY, AGREES TO COMPLY WITH THE POLICY, AND UNDERSTANDS THAT THE CORPORATION IS CHARITABLE AND IN ORDER TO MAINTAIN ITS EXEMPTION IT MUST ENGAGE PRIMARILY IN ACTIVITIES WHICH ACCOMPLISH ONE OR MORE OF ITS TAX-EXEMPT PURPOSES. IN CONNECTION WITH ANY ACTUAL OR POSSIBLE CONFLICT OF INTEREST, AN INTERESTED PERSON MUST DISCLOSE THE EXISTENCE OF HIS OR HER FINANCIAL INTEREST AND BE GIVEN THE OPPORTUNITY TO DISCLOSE ALL MATERIAL FACTS TO THE DIRECTOR AND MEMBERS OF THE COMMITTEE WITH GOVERNING BOARD DELEGATED POWERS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. AFTER DISCLOSURE OF A POTENTIAL CONFLICT OF INTEREST, THE INTERESTED PERSON IS EXCUSED FROM THE GOVERNING BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS MADE, AND IS RECUSED FROM PARTICIPATING IN ANY VOTE ON THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 3C CORPORATION DOES NOT HAVE ANY EMPLOYEES. THE OFFICERS AND DIRECTORS ARE NOT COMPENSATED BY 3C CORPORATION. ALL COMPENSATION REPORTED ON PART VII PERTAINS TO OFFICERS AND DIRECTORS COMPENSATED BY YALE UNIVERSITY (A RELATED TAX EXEMPT ORGANIZATION) AS EMPLOYEES OF YALE UNIVERSITY. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, INCLUDING ANY AMENDMENTS, AND FINANCIAL STATEMENTS, TO THE EXTENT PROVIDED AS A PART OF ITS EXEMPTION APPLICATION OR ANNUAL FORM 990, ARE AVAILABLE TO THE PUBLIC UPON REQUEST. THE ORGANIZATION'S CONFLICT OF INTEREST POLICY IS NOT CURRENTLY MADE AVAILABLE TO THE PUBLIC. FORM 990, PART VII, SECTION A, COLUMN (A) AND (B): INDIVIDUALS LISTED IN PART VII, WITH COMPENSATION REPORTED IN COLUMN (E), RECEIVED COMPENSATION FROM YALE UNIVERSITY, A RELATED ORGANIZATION, FOR THEIR SERVICES AS YALE UNIVERSITY EMPLOYEES. THE ESTIMATED AVERAGE HOURS PER WEEK DEVOTED TO YALE UNIVERSITY BY EACH OF THESE EMPLOYEES IS 50, THOUGH IN MANY CASES THE ACTUAL AVERAGE HOURS PER WEEK FOR LISTED PERSONS EXCEEDED THIS ESTIMATE. THESE INDIVIDUALS ARE NOT COMPENSATED IN THEIR CAPACITY AS OFFICERS OR DIRECTORS OF 3C CORPORATION. FORM 990, PART VII, SECTION A, COLUMN (A): COMPENSATION FOR THE FORMER OFFICER RELATES TO CONTINUING SERVICE AS AN EMPLOYEE OF YALE UNIVERSITY. FORM 990, PART XI, LINE 9: CONTRIBUTIONS TO CAPITAL 3,919,372. DISTRIBUTIONS -3,356,680. FOREIGN EXCHANGE GAIN/(LOSS) -1,766,454. HEALTH BENEFITS HOLDINGS INC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 061559155 INVESTMENT CT 501(C)(2) N/A YALE UNIVERSITY 0 HR PROPERTIES INC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 061341463 INVESTMENT CT 501(C)(2) N/A YALE UNIVERSITY 0 JONATHAN EDWARDS TRUST C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 066084676 SUPPORTS HIGHER EDUCATION CT 501(C)(3) 11, TYPE III-FI YALE UNIVERSITY 0 PROSPECT STREET HOLDINGS INC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 061424260 TITLE HOLDING COMPANY CT 501(C)(2) N/A YALE UNIVERSITY 0 STAFF RETIREMENT HOLDINGS INC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 061559156 INVESTMENT CT 501(C)(2) N/A YALE UNIVERSITY 0 STOECKEL E B RESIDUE TRUST C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 060653108 INVESTMENT CT 501(C)(3) 11, TYPE III-FI YALE UNIVERSITY 0 YALE UNIVERSITY C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 060646973 EDUCATION, RESEARCH, COMMUNITY SERVICE CT 501(C)(3) 2 N/A 0 CHAPEL COMPANY C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 061532073 INACTIVE CT 501(C)(2) N/A YALE UNIVERSITY 0 CHARLES A COFFIN MEMORIAL FUND C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 066034841 SUPPORTS HIGHER EDUCATION CT 501(C)(3) 11, TYPE III- OTHER YALE UNIVERSITY 0 THE CHIEF EXECUTIVE LEADERSHIP INSTITUTE OF YALE SCHOOL OF MGMT INC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 582617787 PROVIDES RESEARCH AND PEER-DRIVEN EDU. PROGRAMS TO BUSINESSES DE 501(C)(3) 11, TYPE I YALE UNIVERSITY 0 PAUL MELLON CENTRE FOR STUDIES IN BRITISH ART C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 223783661 PROMOTES AND SUPPORTS STUDY OF BRITISH ART AND ARCHITECTURE UK 501(C)(3) N/A YALE UNIVERSITY 0 5C CORPORATION C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 200763050 INVESTMENT DC 501(C)(3) 11, TYPE I YALE UNIVERSITY 0 YALE UNIVERSITY PRESS LONDON C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 PUBLISHES SERIOUS WORKS UK 501(C)(3) N/A YALE UNIVERSITY 0 YALE UNIVERSITY RETIREE HEALTH BENEFITS COVERAGE TRUST C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 066414276 501(A) TRUST THAT SUPPORTS YALE UNIVERSITY CT 501(C)(3) 11, TYPE II YALE UNIVERSITY 0 THE BOARD OF TRUSTEES OF THE SHEFFIELD SCIENTIFIC SCHOOL C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 066032565 PROMOTES THE STUDY OF THE PHYSICAL, NATURAL AND MATHEMATICAL SCIENCES CT 501(C)(3) 11, TYPE II YALE UNIVERSITY 0 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INVESTMENT DE FOURTH CENTURY LLC EXCLUDED FROM TAX 286 77464 1 0 0.00160 ALAMANCE LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 202575524 INVESTMENT DE FOURTH CENTURY LLC EXCLUDED FROM TAX 81 35108 0 0 0.00160 ALAMANCE A LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 203484520 INVESTMENT DE FOURTH CENTURY LLC EXCLUDED FROM TAX 50 21605 0 0 0.00160 ALAMANCE VI LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 208558864 INVESTMENT DE FOURTH CENTURY LLC EXCLUDED FROM TAX 20132 0 0 0.00160 ALAMANCE VII LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 452046522 INVESTMENT DE FOURTH CENTURY LLC EXCLUDED FROM TAX 7577 71953 0 0 0.00160 ARLINGTON LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 383909979 INVESTMENT DE FOURTH CENTURY LLC EXCLUDED FROM TAX 21216 0 0 0.00160 BARTON LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 352497887 INVESTMENT DE FOURTH CENTURY LLC EXCLUDED FROM TAX 22 18242 0 0 0.00160 BARTON-A 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10509 41171 0 0 0.00160 YADKIN III LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 262477930 INVESTMENT DE FOURTH CENTURY LLC EXCLUDED FROM TAX 13634 14055 0 0 0.00160 YADKIN IV LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 461569715 INVESTMENT DE FOURTH CENTURY LLC EXCLUDED FROM TAX 11516 67939 0 0 0.00160 SEE PART VII CT 0 0 CONNECTICUT BOOLA INC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 060798544 INVESTMENT CT N/A C 0 FWEB LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 273304506 INVESTMENT DE FOURTH CENTURY LLC C 7046 0.00200 0 PWEB LLC C/O YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 065208239 273304430 INVESTMENT DE FOURTH CENTURY LLC C -2033 285349 0.00200 0 SEE PART VII CT 0 0 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 SCHEDULE R, PART III, GENERAL NOTE: DISPROPORTIONATE ALLOCATIONS INDICATED IN COLUMN (H) OF PART III RELATE TO ALLOCATIONS AMONG 501(C)(3) ORGANIZATIONS THAT ARE PARTNERS IN AN INVESTMENT ENTITY. SCHEDULE R, PARTS III & IV: AS IDENTIFIED IN PART II, 3C CORPORATION IS RELATED TO YALE UNIVERSITY (EIN: 06-0646973) WHICH HAS NUMEROUS RELATED ORGANIZATIONS. SEE SCHEDULE R, PARTS III AND IV, OF YALE UNIVERSITY'S FORM 990 FOR A LIST OF THE ORGANIZATIONS, WHICH BY VIRTUE OF YALE'S CONTROL OF 3C CORPORATION ARE RELATED ORGANIZATIONS OF 3C CORPORATION. ANY RELATED ORGANIZATION WITH WHICH 3C CORPORATION HAS ENTERED INTO A TRANSACTION REPORTABLE ON SCHEDULE R, PART V IS REPORTED ON 3C CORPORATION'S FORM 990, SCHEDULE R.