2017-05-15T13:09:40-05:00 2016-06-30 PricewaterhouseCoopers LLP 300 Madison Avenue New York NY 10017 990 2015-07-01 135598093 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK % JULIA SHANAHAN TRUS 2128544684 615 WEST 131ST STREET MC 8741 NEW YORK NY 100277922 BARBARA HOUGH VP, CONTROLLER & TREASURER 2128544684 2017-05-15 true ERIC M MCNEIL P00460263 6464713000 2015 2021-01-29 14:40:06Z Lee C Bollinger 615 West 131st St MC 8741 New York NY 100277922 6284244530 false X www.columbia.edu X 1754 NY SEE ATTACHMENT 1 24 22 34437 23455 -59063441 -62550730 1239104776 1357673833 2617833458 2807689470 856912768 367880785 196855400 174981500 4910706402 4708225588 566214875 596757558 0 0 2446841211 2606819393 1048938 814808 111051256 1125169322 1188402073 4139274346 4392793832 771432056 315431756 16779372320 16672598896 3188748283 3456098570 13590624037 13216500326 X COLUMBIA UNIVERSITY IS ONE OF THE WORLD'S MOST IMPORTANT CENTERS OF RESEARCH AND AT THE SAME TIME A DISTINCTIVE AND DISTINGUISHED LEARNING ENVIRONMENT FOR UNDERGRADUATES AND GRADUATE STUDENTS IN MANY SCHOLARLY AND PROFESSIONAL FIELDS. THE UNIVERSITY RECOGNIZES THE IMPORTANCE OF ITS LOCATION IN NEW YORK CITY AND SEEKS TO LINK ITS RESEARCH AND TEACHING TO THE VAST RESOURCES OF A GREAT METROPOLIS. IT SEEKS TO ATTRACT A DIVERSE AND INTERNATIONAL FACULTY AND STUDENT BODY, TO SUPPORT RESEARCH AND TEACHING ON GLOBAL ISSUES, AND TO CREATE ACADEMIC RELATIONSHIPS WITH MANY COUNTRIES AND REGIONS. IT EXPECTS ALL AREAS OF THE UNIVERSITY TO ADVANCE KNOWLEDGE AND LEARNING AT THE HIGHEST LEVEL AND TO CONVEY THE PRODUCTS OF ITS EFFORTS TO THE WORLD. false false 1815964918 472644946 1365438784 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK IS A PRIVATE, NONSECTARIAN, NONPROFIT INSTITUTION OF HIGHER EDUCATION WHOSE ACTIVITIES ARE CONCENTRATED AT TWO LOCATIONS IN NEW YORK CITY AND EXTEND ACROSS THE GLOBE. THE UNIVERSITY PROVIDES INSTRUCTION THROUGH SIXTEEN UNDERGRADUATE, GRADUATE, AND PROFESSIONAL SCHOOLS. IT OPERATES A VARIETY OF RESEARCH INSTITUTES AND A LIBRARY SYSTEM TO SUPPORT ITS TEACHING, LEARNING, AND RESEARCH ACTIVITIES. THE UNIVERSITY ENROLLS APPROXIMATELY 30,304 FULL-TIME AND PART-TIME STUDENTS AND EMPLOYS APPROXIMATELY 15,900 FULL-TIME EMPLOYEES, INCLUDING 5,837 FULL-TIME FACULTY MEMBERS AND RESEARCH STAFF. 884862808 939185 1103434541 THE UNIVERSITY, THROUGH THE COLUMBIA UNIVERSITY MEDICAL CENTER AND ITS MEDICAL FACULTY PRACTICE PLAN, PROVIDES DIRECT PATIENT CARE AND OTHER CLINICAL AND EDUCATIONAL SERVICES TO HOSPITALS AND OTHER HEALTH CARE INSTITUTIONS THROUGH CONTRACTUAL AGREEMENTS FOR SERVICES. THE CLINICAL FACULTY HANDLED APPROXIMATELY 2.1 MILLION OUTPATIENT AND EMERGENCY ROOM VISITS AND PARTICIPATED IN INSTRUCTION AND SUPERVISION OF 648 UNIVERSITY MEDICAL STUDENTS AND 943 RESIDENTS AND FELLOWS AT NEW YORK PRESBYTERIAN HOSPITAL AND OTHER AFFILIATED HOSPITALS. 538295262 109491894 170341628 THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS AND CONTRACTS WITH AGENCIES OF THE FEDERAL GOVERNMENT AND OTHER SPONSORING ORGANIZATIONS. 66635434 0 0 LIBRARY 9861774 0 0 CAMPUS OPERATIONS 333235605 0 0 INSTITUTIONAL SUPPORT 115990664 0 166173064 AUXILIARY ENTERPRISES 174456834 12106976 2301453 OTHER SOURCES 700180311 12106976 168474517 3939303299 true false false true false true false true false true true true false false true false false true true true true true false true true false false true true true true false true false false false true false false true false true true false false true true true true false false true X 35900 0 true 34437 true true true true false false false true true false false false false false false false X 24 22 true false false false false false false true true false false true true true true true true true true false CA X JULIA SHANAHAN 2128517348 615 WEST 131ST STREET MC 8741 New York NY 10027 X LEE C BOLLINGER PRESIDENT 60.0 0.0 X X 2088896 0 445941 KENNETH A FORDE TRUSTEE 4.0 0.0 X 796955 0 2592 ROLANDO T ACOSTA TRUSTEE 4.0 0.0 X 0 0 0 ARMEN A AVANESSIANS TRUSTEE 4.0 0.0 X 0 0 0 A'LELIA BUNDLES TRUSTEE 4.0 0.0 X 0 0 0 WILLIAM V CAMPBELL TRUSTEE THRU 9/7/15 4.0 0.0 X 0 0 0 LISA CARNOY TRUSTEE 4.0 0.0 X 0 0 0 NOAM GOTTESMAN TRUSTEE 4.0 0.0 X 0 0 0 JOSEPH A GREENAWAY JR TRUSTEE 4.0 0.0 X 0 0 0 JAMES HARDEN TRUSTEE 4.0 0.0 X 0 0 0 BENJAMIN HOROWITZ TRUSTEE 4.0 0.0 X 0 0 0 ANN F KAPLAN TRUSTEE 4.0 0.0 X 0 0 0 MARK E KINGDON TRUSTEE 4.0 0.0 X 0 0 0 JONATHAN LAVINE TRUSTEE 4.0 0.0 X 0 0 0 CHARLES LI TRUSTEE 4.0 0.0 X 0 0 0 PAUL J MADDON TRUSTEE 4.0 0.0 X 0 0 0 VIKRAM PANDIT TRUSTEE 4.0 0.0 X 0 0 0 MICHAEL B ROTHFELD TRUSTEE 4.0 0.0 X 0 0 0 JONATHAN D SCHILLER TRUSTEE 4.0 0.0 X 0 0 0 ESTA STECHER TRUSTEE 4.0 0.0 X 0 0 0 KYRIAKOS TSAKOPOULOS TRUSTEE 4.0 0.0 X 0 0 0 CLAIRE SHIPMAN TRUSTEE 4.0 0.0 X 0 0 0 ANDREW BARTH TRUSTEE 4.0 0.0 X 0 0 0 MARC HOLLIDAY TRUSTEE 4.0 0.0 X 0 0 0 WANDA HOLLAND GREENE TRUSTEE AS OF 12/16/15 4.0 0.0 X 0 0 0 JANE E BOOTH GENERAL COUNSEL 60.0 0.0 X 629427 0 34868 JOHN COATSWORTH PROVOST 60.0 0.0 X 741198 0 44006 JEROME DAVIS SECRETARY 60.0 0.0 X 387696 0 44438 DAVID MADIGAN EXEC VP - ARTS & SCIENCES 60.0 0.0 X 517776 0 125795 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 60.0 0.0 X 646360 0 52033 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 60.0 0.0 X 4707601 0 34868 PETER HOLLAND EXEC VP OF INVESTMENT MGMT 60.0 0.0 X 3871602 0 2991664 JOSEPH A IENUSO EXC VP FACILITIES THRU 8/30/15 60.0 0.0 X 582290 0 54306 NIRMAL NARVEKAR PRES INVST MGMT THRU 11/16/16 60.0 0.0 X 4312957 0 1678740 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 60.0 0.0 X 670494 0 37094 DAVID GREENBERG EXC VP FACILITIES AS OF 8/1/15 60.0 0.0 X 394513 0 31922 DAVID N SILVERS CLINICAL PROFESSOR 60.0 0.0 X 4437855 0 38691 JEFFREY W MOSES PROFESSOR OF MEDICINE 60.0 0.0 X 2289056 0 68207 CRAIG R SMITH PROFESSOR OF SURGERY 60.0 0.0 X 2168259 0 40932 GREGG STONE PROFESSOR OF SURGERY 60.0 0.0 X 1997792 0 56818 TIMOTHY M DONOHUE MANAGING DIRECTOR - IMC 60.0 0.0 X 2010939 0 1499813 ROBERT KASDIN SR EXEC VP THRU 6/30/15 (FRMR) 60.0 0.0 X 411071 0 82456 SUSAN K FEAGIN EXEC VP-UNIV. DEV&ALUM(FORMER) 50.0 0.0 X 391453 0 33167 34054190 0 7398351 4928 true true false DAVIS BRODY BOND LLP 315 HUDSON STREET NEW YORK NY 10013 ARCHITECTURAL SRVCS 7974257 SYSCO FOOD SERVICES OF METRO NEW YO 20 THEODORE CONRAD DRIVE JERSEY CITY NJ 07305 FOOD SERVICES 6690631 HUDSON HEART MANAGEMENT LLC 222 ROUTE 59 SUITE 302 SUFFERN NY 10901 MEDICAL SERVICES 5226039 WILMER CUTLER PICKERING HALE DORR PO BOX 7247-8760 PHILADELPHIA PA 19170 LEGAL SERVICES 5069816 ACCENTURE LLP 161 N CLARK ST CHICAGO IL 60601 CONSULTING SERVICES 5057717 300 X 8319201 800463372 548891260 46072017 1357673833 TUITION & FEES 611600 1365438784 1365438784 OTHER EDUCATION & RESEARCH 541700 170341628 170341628 PATIENT CARE REVENUE 621110 1103434541 1103434541 AUXILIARY ENTERPRISES 900099 166173064 162138116 4034948 OTHER SOURCES 900099 2301453 2301453 2807689470 37517545 0 37517545 0 68748368 68748368 168329539 142742752 25586787 0 25586787 25586787 1762170618 1431807378 330363240 330363240 330363240 933614 8319201 1468812 -535198 -535198 0 0 PARTNERSHIP INCOME 900099 81181543 -63098389 144279932 81181543 4708225588 2803654522 -59063441 605960674 X 87202459 87202459 472210783 472210783 37344316 37344316 0 21809166 5646279 16162887 428245 101823 326422 2094149308 1902702419 135882286 55564603 146846981 133422247 9528405 3896329 231685871 165835750 48987709 16862412 111899822 101669953 7260802 2969067 0 29853409 29853409 2799702 2799702 509928 509928 814808 814808 8688753 8688753 215410417 185367325 21836206 8206886 10609763 9160637 518740 930386 223000013 208917253 8646540 5436220 25726448 13999185 10475505 1251758 0 193850975 185662383 6720534 1468058 71261478 63716643 5421848 2122987 0 59846067 48610039 3881206 7354822 44116315 42179609 1658773 277933 0 206934300 197849884 7780730 1303686 30440807 26412273 4028534 LIBRARY 27606455 27606455 BANK AND CREDIT CARD FEES 4634756 3891199 726571 16986 DUES & SUBSCRIPTIONS 10172501 7281848 2398750 491903 UNRELATED BUS INCOME TAX EXP 456038 456038 22483948 12512537 7888999 2082412 4392793832 3939303299 342439277 111051256 X 0 0 1741511978 1315203659 766698032 758759332 354005111 365534503 2137730 2144141 0 0 129844514 132926704 2353460 3039389 48006594 59455197 7922558282 2972393852 4606004183 4950164430 2725183358 2479187095 5955138791 6054622193 0 0 0 0 448488569 551562253 16779372320 16672598896 305201561 289156044 0 0 305986705 418462928 1301576000 1417357000 0 0 0 0 0 0 240179000 212435000 1035805017 1118687598 3188748283 3456098570 X 6017899879 5959106072 4719353717 4268221155 2853370441 2989173099 13590624037 13216500326 16779372320 16672598896 X 315431756 -653046881 -36508586 X X false true X true true true X 1419840375 1427694060 1234408267 1239104776 1357673833 6678721311 0 0 1419840375 1427694060 1234408267 1239104776 1357673833 6678721311 57623440 6621097871 274663421 252902435 294632895 293561605 274595453 1390355809 0 72303940 58925715 102676428 120213561 144279932 498399576 8567476696 12299677027 0.77282 0.79895 X false true false false false true 11935 true 32243 false true 465750 509928 false SCHEDULE C, PART II-B LINE 1A - VOLUNTEERS: N/A LINE 1B - PAID STAFF OR MANAGEMENT: THE UNIVERSITY HAS OFFICES OF GOVERNMENT AND COMMUNITY AFFAIRS AT BOTH ITS MORNINGSIDE AND MEDICAL CENTER CAMPUSES WHOSE FUNCTION IS TO KEEP THE UNIVERSITY COMMUNITY INFORMED ABOUT NATIONAL, STATE AND LOCAL LEGISLATION AND POLICY THAT HAS AN IMPACT ON THE UNIVERSITY AND, WHEN APPROPRIATE, TO ADVOCATE FOR THE UNIVERSITY'S INTERESTS WITH RESPECT TO THIS POLICY. EMPLOYEES REGULARLY INVOLVED IN THESE ACTIVITIES INCLUDE BUT ARE NOT LIMITED TO: EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS, ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, DEPUTY VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, AND PROJECT COORDINATOR FOR GOVERNMENT RELATIONS. LINE 1C - MEDIA ADVERTISEMENTS: N/A LINE 1D - MAILINGS TO MEMBERS, LEGISLATORS OR THE PUBLIC: N/A LINE 1E - PUBLICATIONS, OR PUBLISHED OR BROADCAST STATEMENTS: N/A LINE 1F - GRANTS TO OTHER ORGANIZATIONS FOR LOBBYING PURPOSES: THE UNIVERSITY BELONGS TO CERTAIN HIGHER EDUCATION TRADE ASSOCIATIONS. A SMALL PORTION OF THE MEMBERSHIP FEES PAID TO CERTAIN OF THESE ORGANIZATIONS GOES TO SUPPORT LOBBYING-RELATED ACTIVITIES. THESE FEES ARE REGULARLY REPORTED ON THE UNIVERSITY'S LOBBYING DISCLOSURE FILINGS. LINE 1G - DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, OR A LEGISLATIVE BODY: THE PRESIDENT, THE EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, THE ASSOCIATE VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE ASSISTANT VICE PRESIDENT FOR PLANNING AND PROJECT COORDINATION, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE PROJECT COORDINATOR FOR GOVERNMENT RELATIONS, AMONG OTHER COLUMBIA UNIVERSITY EMPLOYEES, CONTACTED FEDERAL, STATE, AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES. THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCE, THE DEPUTY VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, AND OTHER COLUMBIA UNIVERSITY MEDICAL CENTER EMPLOYEES CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR STAFFS ON HIGHER EDUCATION ISSUES, HEALTH SCIENCES ISSUES AND OTHER ISSUES AFFECTING ACADEMIC MEDICAL CENTERS. THE AMOUNTS SHOWN ON LINE 1G REFLECT PAID STAFF AND MANAGEMENT ACTIVITIES. LINE 1H - RALLIES, DEMONSTRATIONS, SEMINARS, CONVENTIONS, SPEECHES, LECTURES OR ANY OTHER MEANS: N/A LINE 1I - OTHER ACTIVITIES: DURING THE REPORTING PERIOD, THE UNIVERSITY RETAINED OUTSIDE FIRMS FOR CONSULTING AND ADVOCACY AT THE FEDERAL, STATE AND LOCAL LEVELS OF GOVERNMENT. THE AMOUNTS SHOWN ON LINE 1I INCLUDE AMOUNTS PAID TO SUCH OUTSIDE FIRMS FOR ALL ACTIVITIES CONDUCTED BY SUCH FIRMS, INCLUDING CERTAIN OF THE ACTIVITIES DESCRIBED ABOVE AND GENERAL ADVISORY SERVICES TO THE UNIVERSITY IN CONNECTION WITH ITS LOBBYING ACTIVITIES. 8 6769737 11305000 52421540 true true X X X X true 9639065000 176354000 -173840000 106989000 449177000 44386000 9041027000 9223047000 270192000 739891000 99309000 449275000 45481000 9639065000 8197880000 173837000 1424763060 92209000 440268000 40956060 9223047000 7654152000 165932000 871686632 81338000 374447000 38105632 8197880000 7789579000 183419000 161239000 84742000 363392000 31951000 7654152000 0.36000 0.64000 0.00000 true false 460168000 460168000 5779334070 2359880638 3419453432 422366665 245783709 176582956 1260689547 366729505 893960042 4950164430 GLOBAL EQUITIES 433104954 F ABSOLUTE RETURN STRATEGIES 2031622591 F PRIVATE EQUITY 1979479425 F REAL ESTATE ASSETS 1609225231 F FIXED INCOME 1189992 F 6054622193 0 LIABILITY FOR SECURITIES PURCH 8304575 CAPITAL LEASE OBLIGATIONS 122946805 COND'L ASSET RETIREMENT OBLIGA 121420003 ACCRUED EMPLOYEE BENEFIT LIAB. 210040967 FEDERAL STUDENT LOAN FUNDS 85039219 ACTUARIAL LIAB- SPLIT INT AGRM 56168666 OTHER LONG TERM LIABILITIES 514767363 1118687598 X DETAIL OF UNIVERSITY COLLECTIONS/TEXT OF AUDIT FOOTNOTE SCHEDULE D, PART III, LINES 1A, 2A & 4 COLLECTIONS AT THE UNIVERSITY INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES, AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S GALLERIES, LIBRARIES, AND BUILDINGS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE AND, THEREFORE, ARE NOT RECOGNIZED AS ASSETS ON THE CONSOLIDATED BALANCE SHEET. COSTS ASSOCIATED WITH PURCHASING ADDITIONS AND MAINTAINING THESE COLLECTIONS ARE RECORDED AS OPERATING EXPENSES IN THE PERIOD IN WHICH THE ITEMS ARE ACQUIRED. INTENDED USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 COLUMBIA UNIVERSITY'S ENDOWMENT FUNDS SUPPORT A RANGE OF PURPOSES IN ACCORDANCE WITH THE UNIVERSITY'S MISSION, INCLUDING: FINANCIAL AID; FACULTY SALARIES AND SUPPORT; RESEARCH; CAPITAL PROJECTS; GENERAL SUPPORT OF THE UNIVERSITY, SCHOOLS, DEPARTMENTS, INSTITUTES AND CENTERS. FIN 48 SCHEDULE D, PART X, LINE 2 THE UNIVERSITY BELIEVES THAT ITS TAX POSITIONS AS THEY RELATE TO THE IMPACT ON THE FINANCIAL STATEMENTS OF FIN 48 ARE HIGHLY CERTAIN. true true true true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 COLUMBIA UNIVERSITY CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND THE WORLD. ITS EDUCATIONAL PROGRAMS SEEK A BROAD CROSS-SECTION OF STUDENTS FROM THE METROPOLITAN AREA. IT FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY OF ADMISSION AND INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARDS STUDENTS IN ALL SCHOOL AND PROGRAM BULLETINS. IT ALSO REFERS TO THIS POLICY IN ALL WRITTEN ADVERTISING. IT THEREFORE MEETS THE CRITERIA UNDER REV. PROC. 75-50, SECTION 4.03-2(B)FOR EXEMPTION FROM THE PUBLICITY REQUIREMENTS OF SECTION 4.03-1. SCHEDULE E, LINE 6A COLUMBIA UNIVERSITY RECEIVES FEDERAL, STATE AND LOCAL GOVERNMENTAL FUNDING THAT SUPPORTS ITS CORE INSTRUCTIONAL AND RESEARCH PROGRAMS. true Antarctica 0 6 Program Services EDUC/RESEARCH/OUTREACH 7925 Central America and the Caribbean 1 327 Program Services EDUC/RESEARCH/OUTREACH 1406339 Central America and the Caribbean Grantmaking 227669 Central America and the Caribbean Fundraising 516 Central America and the Caribbean Investments 4070786941 East Asia and the Pacific 8 1349 Program Services EDUC/RESEARCH/OUTREACH 9140115 East Asia and the Pacific Grantmaking 1360638 East Asia and the Pacific Fundraising 588630 East Asia and the Pacific Investments 391697207 Europe (Including Iceland and Greenland) 15 3202 Program Services EDUC/RESEARCH/OUTREACH 18236666 Europe (Including Iceland and Greenland) Grantmaking 2311635 Europe (Including Iceland and Greenland) Fundraising 514751 Europe (Including Iceland and Greenland) Investments 318969199 Middle East and North Africa 4 493 Program Services EDUC/RESEARCH/OUTREACH 2707440 Middle East and North Africa Fundraising 128694 Middle East and North Africa Investments 139171 North America 1 719 Program Services EDUC/RESEARCH/OUTREACH 1320478 North America Grantmaking 650960 North America Fundraising 30937 North America Investments 17661933 Russia and the Newly Independent States 4 149 Program Services EDUC/RESEARCH/OUTREACH 3262073 Russia and the Newly Independent States Grantmaking 271914 Russia and the Newly Independent States Fundraising 910 Russia and the Newly Independent States Investments 402 South America 3 655 Program Services EDUC/RESEARCH/OUTREACH 2611335 South America Grantmaking 366802 South America Fundraising 66214 South Asia 4 470 Program Services EDUC/RESEARCH/OUTREACH 3294489 South Asia Grantmaking 971819 South Asia Fundraising 58111 South Asia Investments 1168 Sub-Saharan Africa 48 2649 Program Services EDUC/RESEARCH/OUTREACH 110793813 Sub-Saharan Africa Grantmaking 31182879 Sub-Saharan 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Europe RESEARCH 52394 Check/Wire N/A N/A Europe RESEARCH 51000 Check/Wire N/A N/A Sub-Saharan Africa RESEARCH 48987 Check/Wire N/A N/A Europe RESEARCH 48600 Check/Wire N/A N/A Europe RESEARCH 47830 Check/Wire N/A N/A Europe RESEARCH 45629 Check/Wire N/A N/A Europe RESEARCH 45048 Check/Wire N/A N/A Russia and the Newly Independent States RESEARCH 43305 Check/Wire N/A N/A South America RESEARCH 43200 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 37500 Check/Wire N/A N/A Sub-Saharan Africa RESEARCH 32686 Check/Wire N/A N/A Europe RESEARCH 26500 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 24491 Check/Wire N/A N/A Europe RESEARCH 24300 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 24214 Check/Wire N/A N/A Europe RESEARCH 23334 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 22246 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 20950 Check/Wire N/A N/A Europe RESEARCH 20600 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 19804 Check/Wire N/A N/A Europe RESEARCH 17704 Check/Wire N/A N/A South Asia RESEARCH 16628 Check/Wire N/A N/A North America RESEARCH 15198 Check/Wire N/A N/A Europe RESEARCH 15000 Check/Wire N/A N/A Sub-Saharan Africa RESEARCH 14777 Check/Wire N/A N/A Europe RESEARCH 14000 Check/Wire N/A N/A Sub-Saharan Africa RESEARCH 13570 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 12701 Check/Wire N/A N/A Europe RESEARCH 10817 Check/Wire N/A N/A North America RESEARCH 10182 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 10000 Check/Wire N/A N/A North America RESEARCH 8314 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 6756 Check/Wire N/A N/A East Asia and the Pacific RESEARCH 6585 Check/Wire N/A N/A Sub-Saharan Africa RESEARCH 6426 Check/Wire N/A N/A Europe RESEARCH 6061 Check/Wire N/A N/A Europe RESEARCH 6061 Check/Wire N/A N/A North America RESEARCH 5600 Check/Wire N/A N/A Europe RESEARCH 5460 Check/Wire N/A N/A Sub-Saharan Africa RESEARCH 138635 Check/Wire N/A N/A Sub-Saharan Africa RESEARCH 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Book Value Sub-Saharan Africa RESEARCH 17399 Equipment Book Value Sub-Saharan Africa RESEARCH 67569 Equipment Book Value Sub-Saharan Africa RESEARCH 13235 Materials Book Value Sub-Saharan Africa RESEARCH 22153 Equipment Book Value Sub-Saharan Africa RESEARCH 30624 Vehicles Book Value Sub-Saharan Africa RESEARCH 5421 Vehicle Book Value North America Edu/Research 194298 CHECK/WIRE N/A N/A East Asia and the Pacific EDU/RESEARCH 144030 CHECK/WIRE N/A N/A North America EDU/RESEARCH 75000 CHECK/WIRE N/A N/A Europe (Including Iceland and Greenland) EDU/RESEARCH 34193 CHECK/WIRE N/A N/A South Asia EDU/RESEARCH 10526 CHECK/WIRE N/A N/A 102 5 true true true true true true SUPPLEMENTAL INFORMATION SCHEDULE F, PART I, LINE 2 ORGANIZATION'S PROCEDURES FOR MONITORING GRANT FUNDS THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF ALL SPONSORED PROJECT GRANT FUNDING. THIS POLICY IS CONTAINED IN THE "SPONSORED PROJECTS HANDBOOK". THE POLICY STATES THAT THE PRIMARY OBLIGATION FOR THE DAY-TO-DAY MANAGEMENT OF SPONSORED PROJECTS AND INSURING COMPLIANCE WITH FEDERAL AND OTHER SPONSOR REGULATIONS IS THE RESPONSIBILITY OF THE PRINCIPAL INVESTIGATOR SUPPORTED, AS NECESSARY, BY HIS OR HER ADMINISTRATIVE STAFF. ADDITIONALLY, THE POLICY SPECIFIES THE FOLLOWING MONITORING PROCEDURES: - MONTHLY ACCOUNT RECONCILIATION - REVIEW OF SALARY AND BENEFIT CHARGES - REVIEW OF VENDOR INVOICES - REVIEW OF CHARGES INITIATED BY SERVICE OR RECHARGE CENTERS - REVIEW OF FACILITIES AND ADMINISTRATIVE CHARGES - MONITORING OF SUB-AWARDS THROUGH REVIEW OF CHARGES AND TECHNICAL PERFORMANCE REPORTS, CONDUCTING PERIODIC ONSITE VISITS, AND INITIATING AUDITS/REVIEWS WHEN NECESSARY EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. MOST OF THE ACTIVITY RELATES TO U.S. GOVERNMENT FUNDED PROGRAM SERVICES. OTHER ACTIVITY INCLUDES FACULTY AND STAFF TRAVEL FOR EDUCATIONAL, RESEARCH, FUNDRAISING AND OTHER PROGRAM SERVICES. NOT ALL OF THE OVERSEAS EXPENDITURES ARE SEPARATELY TRACKED AS FOREIGN ACTIVITY. THE AMOUNTS REPRESENTED ON SCHEDULE F REPRESENT THE UNIVERSITY'S GOOD FAITH EFFORTS TO CAPTURE FOREIGN ACTIVITY. ----------------------------------------------------------------- FORM 990, SCHEDULE F, PART I, COLUMN (F) & PART II, LINE 1 COLUMBIA UNIVERSITY ACCOUNTS FOR ALL FOREIGN EXPENDITURES, INCLUDING CASH GRANTS AND NONCASH ASSISTANCE, ON THE ORGANIZATION'S FINANCIAL STATEMENTS IN ACCORDANCE WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES IN THE UNITED STATES. ---------------------------------------------------------------- FORM 990, SCHEDULE F, PART I THE AMOUNTS LISTED ON SCHEDULE F, PART I AS TOTAL EXPENDITURES FOR INVESTMENTS FOR CERTAIN REGIONS INCLUDES BOTH THE BOOK VALUE OF INVESTMENTS AND SEPARATELY TRACKED INVESTMENT EXPENDITURES IN THAT REGION. THE BREAKOUT OF THE AMOUNTS ARE AS FOLLOWS: 1) CENTRAL AMERICA AND THE CARIBBEAN - BOOK VALUE $4,070,786,941 2) EAST ASIA AND THE PACIFIC - BOOK VALUE $391,470,604 AND EXPENDITURES $226,603 3) EUROPE - BOOK VALUE $318,794,442 AND EXPENDITURES $174,757 4) MIDDLE EAST AND NORTH AFRICA - BOOK VALUE $139,171 5) NORTH AMERICA - BOOK VALUE $17,661,873 AND EXPENDITURES $60 6) RUSSIA AND THE NEWLY INDEPENDENT STATES EXPENDITURES $402 7) SOUTH ASIA EXPENDITURES $1,168 8) SUB-SAHARAN AFRICA - BOOK VALUE $91,386,495 ---------------------------------------------------------------- X X X X X X X true RUFFALO NOEL LEVITZ LLC 1025 KIRKWOOD PARKWAY SW CEDAR RAPIDS IA 52404 CONSULTING false 1321508 643215 678293 KIMBIA INC 1050 E 11TH ST SUITE 200 AUSTIN TX 78702 CONSULTING false 6205167 149248 6055919 LESLIE KELLY 40 WITCH LANE ROWAYTON CT 06853 CONSULTING false 6205167 22345 6182822 13731842 814808 12917034 NY ANNUAL DINNER 3125865 3016302 109563 45 162983 336992 1650 41650 AWARDS DINNER 1005702 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GRANT FUNDING BY SUBRECIPIENTS. THE POLICY MANDATES MONITORING IN TWO AREAS: (A) SUBRECIPIENT INSTITUTION COMPLIANCE WITH THE AUDITING REQUIREMENTS OF OMB CIRCULAR A-133, AND (B) SUBRECIPIENT INSTITUTION'S APPROPRIATE MANAGEMENT OF SUBAWARD. THE UNIVERSITY'S SPONSORED PROJECTS FINANCE GROUP COLLECTS A-133 REPORTS FROM SUBRECIPIENT INSTITUTIONS, AND THE PRINCIPAL INVESTIGATORS CARRY OUT THE SECOND TYPE OF MONITORING, PRINCIPALLY BY: - ROUTINELY GATHERING AND REVIEWING TECHNICAL PERFORMANCE REPORTS; - ROUTINELY REVIEWING INVOICES AND EXPENSES RELATIVE TO BUDGET; - CONDUCTING PERIODIC ON-SITE VISITS, WHEN NECESSARY; AND - INITIATING AUDITS, WHEN NECESSARY. X X X X X true true X X X X X false false false true false false false true false LEE C BOLLINGER PRESIDENT 1340781 0 700000 0 48115 0 27200 0 418741 0 2534837 0 0 0 KENNETH A FORDE TRUSTEE 0 0 0 796955 0 0 0 2592 0 799547 0 0 0 JANE E BOOTH GENERAL COUNSEL 629427 0 0 0 0 0 27200 0 7668 0 664295 0 0 0 JOHN COATSWORTH PROVOST 700052 0 0 0 41146 0 27200 0 16806 0 785204 0 0 0 JEROME DAVIS SECRETARY 387696 0 0 0 0 0 27200 0 17238 0 432134 0 0 0 DAVID MADIGAN EXEC VP - ARTS & SCIENCES 476438 0 0 0 41338 0 27200 0 98595 0 643571 0 0 0 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE & IT 646360 0 0 0 0 0 27200 0 24833 0 698393 0 0 0 LEE GOLDMAN EXEC VP FOR HEALTH SCIENCES 1067824 0 3445757 0 194020 0 27200 0 7668 0 4742469 0 2292000 0 PETER HOLLAND EXEC VP OF INVESTMENT MGMT 825814 0 3045788 0 0 0 2945022 0 46642 0 6863266 0 2636477 0 JOSEPH A IENUSO EXC VP FACILITIES THRU 8/30/15 371251 0 0 0 211039 0 38090 0 16216 0 636596 0 0 0 NIRMAL NARVEKAR PRES INVST MGMT THRU 11/16/16 923988 0 3388969 0 0 0 1650492 0 28248 0 5991697 0 2934345 0 AMELIA ALVERSON EXEC VP - UNIV DVLP&ALUM RLTS 670494 0 0 0 0 0 27200 0 9894 0 707588 0 0 0 DAVID GREENBERG EXC VP FACILITIES AS OF 8/1/15 394513 0 0 0 0 0 27200 0 4722 0 426435 0 0 0 ROBERT KASDIN SR EXEC VP THRU 6/30/15 (FRMR) 411071 0 0 0 0 0 27200 0 55256 0 493527 0 0 0 SUSAN K FEAGIN EXEC VP-UNIV. DEV&ALUM(FORMER) 361125 0 0 0 30328 0 27200 0 5967 0 424620 0 0 0 DAVID N SILVERS CLINICAL PROFESSOR 2998464 0 1439391 0 0 0 36843 0 1848 0 4476546 0 0 0 JEFFREY W MOSES PROFESSOR OF MEDICINE 2289056 0 0 0 0 0 31778 0 36429 0 2357263 0 0 0 CRAIG R SMITH PROFESSOR OF SURGERY 2168259 0 0 0 0 0 36492 0 4440 0 2209191 0 0 0 GREGG STONE PROFESSOR OF SURGERY 1997792 0 0 0 0 0 31778 0 25040 0 2054610 0 0 0 TIMOTHY M DONOHUE MANAGING DIRECTOR - IMC 562158 0 1448720 0 61 0 1452200 0 47613 0 3510752 0 0 0 SUPPLEMENTAL COMPENSATION INFORMATION NOTES TO PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN LIMITED CIRCUMSTANCES, CERTAIN INDIVIDUALS MAY TRAVEL FIRST CLASS WHEN THE TRAVEL IS SUBSTANTIATED AS A REASONABLE EXPENSE TO SUPPORT THE MISSION OF THE UNIVERSITY. ANY FIRST CLASS EXCEPTIONS TO THE UNIVERSITY'S POLICY ARE SUBJECT TO REVIEW AND APPROVAL. TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT OR OF ANOTHER OFFICER OR KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS, AS WELL AS REPRESENTING THE UNIVERSITY AT AWARDS PRESENTATIONS OR OTHER CEREMONIES OR EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS AS APPROVED BY THE BOARD OF TRUSTEES, THE UNIVERSITY PAID CERTAIN MEDICAL, DENTAL AND DISABILITY INSURANCE PREMIUMS ON THE PRESIDENT'S BEHALF, INCLUDING A TAX GROSS-UP ON THOSE AMOUNTS. THE TOTAL AMOUNT FOR PREMIUMS, FEES AND THE TAXES THEREON $33,311 IS SHOWN IN COLUMN (B)(III) AS OTHER REPORTABLE COMPENSATION. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT IS REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. THE PRESIDENT'S HOUSING HAS BEEN VALUED AT $385,245 AND IS REPORTED AS A NON-TAXABLE BENEFIT. THE UNIVERSITY ALSO PROVIDES A CAR AND DRIVER TO BE USED BY THE PRESIDENT IN CONNECTION WITH HIS DUTIES. THE PRESIDENT IS RESPONSIBLE FOR ANY PERSONAL USE OF THE HOUSEHOLD STAFF OR CAR AND DRIVER AND OTHER PERSONAL EXPENSES. PERSONAL SERVICES OTHER REPORTABLE COMPENSATION INCLUDES $4,420 IMPUTED TO DR. GOLDMAN WITH RESPECT TO PERSONAL USE OF A CAR AND DRIVER PROVIDED BY THE UNIVERSITY (SEE PART I, COLUMN (B)(III)). NOTE TO PART I, LINE 5A DR. DAVID SILVERS' COMPENSATION IS COMPRISED OF BASE COMPENSATION AND INCENTIVE COMPENSATION DETERMINED FROM HIS PERFORMANCE OF, AND REVENUES FROM, CLINICAL DUTIES IN THE UNIVERSITY'S DERMATOPATHOLOGY PRACTICE WHERE HE IS THE DIRECTOR, AND IS SUBJECT TO A CAP FOR EACH ACADEMIC YEAR. NOTE TO PART I, LINE 7 NOTE TO N.P. NARVEKAR AND PETER HOLLAND'S COMPENSATION THE ACTUAL AMOUNT EARNED DURING THE REPORTING PERIOD WAS $3,057,352 FOR MR. NARVEKAR AND $4,226,789 FOR MR. HOLLAND. THE LARGER COMPENSATION FIGURES SHOWN IN COLUMN (E) INCLUDE DOUBLE REPORTING OF PREVIOUSLY REPORTED DEFERRED COMPENSATION THAT VESTED AND WAS PAID DURING THE REPORTING PERIOD. THE ACTUAL AMOUNT EARNED BY EACH INDIVIDUAL IS CALCULATED BY SUBTRACTING COLUMN (F) FROM COLUMN (E). PAYMENT OF MR. NARVEKARS AND MR. HOLLANDS PERFORMANCE BASED BONUS IS, IN EACH CASE, DEFERRED SUBJECT TO VESTING UPON CONTINUING SERVICE TO THE UNIVERSITY. COLUMNS (C) AND (E) INCLUDE DEFERRED COMPENSATION AWARDED DURING THE REPORTING PERIOD BUT SUBJECT TO FUTURE VESTING. MR. NARVEKAR LEFT THE UNIVERSITY IN NOVEMBER 2016 AS A RESULT OF WHICH HE DID NOT SATISFY THE VESTING CONDITIONS WITH RESPECT TO A PORTION OF THE DEFERRED COMPENSATION AWARDED DURING THE REPORTING PERIOD. MR. NARVEKARS TOTAL DEFERRED AWARD FOR THE REPORTING PERIOD WAS $3,246,584. COLUMNS (C) AND (E) INCLUDE THE AMOUNT OF THIS DEFERRED AWARD IN WHICH MR. NARVEKAR VESTED BEFORE HIS DEPARTURE FROM THE UNIVERSITY BUT NOT THE AMOUNT FORFEITED ON HIS DEPARTURE. NOTE TO LEE BOLLINGER'S COMPENSATION AMOUNTS FOR PRESIDENT BOLLINGER IN COLUMN (B)(II) INCLUDE PAYMENTS UNDER A PERFORMANCE-BASED BONUS AWARD. NOTE TO DR. GOLDMAN'S COMPENSATION THE ACTUAL AMOUNT EARNED BY DR. GOLDMAN DURING THE REPORTING PERIOD WAS $2,450,469. THE LARGER COMPENSATION FIGURE SHOWN IN COLUMN (E) INCLUDES DOUBLE REPORTING OF PREVIOUSLY REPORTED DEFERRED COMPENSATION THAT VESTED AND WAS PAID DURING THE REPORTING PERIOD. THE ACTUAL AMOUNT EARNED BY DR. GOLDMAN DURING THE REPORTING PERIOD IS CALCULATED BY SUBTRACTING COLUMN (F) FROM COLUMN (E). THE BONUS AND INCENTIVE COMPENSATION REPORTED IN COLUMN (B)(II) INCLUDES PERFORMANCE BASED AWARDS. NOTE TO KENNETH FORDE'S COMPENSATION KENNETH FORDE'S REPORTED COMPENSATION WAS PAID FROM A DEFERRED COMPENSATION AGREEMENT IN EFFECT WHEN DR. FORDE WAS A PROFESSOR OF SURGERY AT THE UNIVERSITY AND THE REPORTED NON-TAXABLE BENEFITS REFLECT BENEFITS FROM PARTICIPATION IN A RETIREE BENEFITS PLAN. DR. FORDE IS RETIRED FROM HIS UNIVERSITY POSITION AND RECEIVES NO COMPENSATION OR OTHER BENEFITS FOR HIS DUTIES AS A TRUSTEE. NOTE TO DR. MOSES', DR. SMITH'S, & DR. STONE'S COMPENSATION THE COMPENSATION OF DR. MOSES, DR. SMITH, AND DR. STONE IS SUPPORTED BY THEIR CLINICAL ACTIVITIES, GRANTS, AND SUPPORT FROM THE UNIVERSITY'S HOSPITAL AFFILIATES. NOTE TO TIMOTHY DONOHUE'S COMPENSATION THE UNIVERSITY HAS A BONUS PROGRAM UNDER WHICH MR. DONOHUE RECEIVES A PERFORMANCE BASED BONUS, PAYMENT OF WHICH IS DEFERRED SUBJECT TO VESTING UPON CONTINUING SERVICE TO THE UNIVERSITY. COLUMNS (C) AND (E) INCLUDE DEFERRED COMPENSATION AWARDED DURING THE REPORTING PERIOD BUT SUBJECT TO FUTURE VESTING. NOTE TO SUSAN FEAGIN'S COMPENSATION MS. FEAGIN STEPPED DOWN AS EXECUTIVE VICE PRESIDENT FOR DEVELOPMENT AND ALUMNI AFFAIRS ON DECEMBER 31, 2010. THE AMOUNT SHOWN REFLECTS COMPENSATION PAID TO HER FOR HER CONTINUING SERVICES TO THE UNIVERSITY AS SPECIAL ADVISOR. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B 146000293 649901R49 2003-03-05 122696491 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2004B&C 146000293 64983TZD8 2004-06-30 158627817 FUND NEW QUALIFIED PROJECTS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2008A 146000293 649903ZN4 2008-04-23 293606826 FUND NEW QUALIFIED PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A 146000293 649905DF0 2009-05-14 117000000 FUND NEW QUALIFIED PROJECTS false false false A 87775000 0 123718793 0 0 0 802880 0 0 122097219 818694 0 2004 false false true true B 101730000 0 159406375 0 0 0 1020611 0 0 157343063 1042701 0 2007 false false true true C 82715000 0 295785662 0 0 0 1641578 0 0 292178836 1965248 0 2009 false false true true D 0 0 117067254 0 0 0 823388 0 0 115269253 974613 0 2009 false false true true A false true true true true true 0.00000 0.00000 0.00000 false false false true B false true true true true true 0.00000 0.00000 0.00000 false false false true C false true true true true true 0.00000 0.00090 0.00090 false false false true D false true true true true true 0.00000 0.00110 0.00110 false false false true A false false false true true false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true true false 0 false 0 false true A true B true C true D true SCHEDULE K, PART II, LINE 3 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED ON SCHEDULE K, PART II, LINE 11 REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE WITH THE EXCEPTION OF THE 2012A, 2015A, and 2015B BOND ISSUES. ------------------------------------------------------------- SCHEDULE K, PART III, LINES 4-5 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2004B&C, SERIES 2011A, SERIES 2012A, SERIES 2015A, AND SERIES 2015B ISSUES AND MINIMAL PRIVATE BUSINESS USE FOR THE REMAINING ISSUES ON SCHEDULE K. -------------------------------------------------------------- SCHEDULE K, PART IV, LINE 2 THE LATEST ARBITRAGE COMPUTATION DATE FOR DASNY 2003A&B, 2004B&C, 2008A, 2009A, 2011A, 2012A, 2015A, AND 2015B WAS DECEMBER 31, 2015. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2011A 146000293 649906AV6 2011-02-16 312102192 FUND NEW QUALIFIED PROJECTS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A 146000293 649906F33 2012-06-07 174118498 REFUND 2008A AND FUND NEW PROJECTS false false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2015A 146000293 6499077D8 2015-04-23 125006199 FUND NEW QUALIFIED PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2015B 146000293 64990BGH0 2015-04-23 56240112 REFUND DASNY 2004B BONDS false false false A 0 0 312258392 0 0 0 1678394 0 0 308005990 2574008 0 false false true true B 0 0 174157898 0 0 0 738570 0 0 173344328 75000 0 false true true true C 0 0 125006199 0 0 0 482921 0 0 124474161 49116 0 false false true true D 0 0 56240112 0 0 0 239228 0 0 0 56000884 0 2007 true false true true A false true true true true true 0.00000 0.00000 0.00000 false false false true B false true true true true true 0.00000 0.00000 0.00000 false false false true C false true true true true true 0.00000 0.00000 0.00000 false false false true D false true true true true true 0.00000 0.00000 0.00000 false false false true A false false false true false false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true A DORMITORY AUTHORITY OF NEW YORK 2016A&B 146000293 64990BZK2 2016-04-27 491547535 REFUND 2006A&B AND FUND NEW PRJCTS false false false A 0 0 491562191 0 0 0 1307400 0 0 138310873 251423240 100520678 true false false true A false true true true true true 0.00070 0.00000 0.00070 false false false true A false true false false false false 0 false 0 false true A true JOHN COATSWORTH OFFICER HOUSING X 1475000 1824141 false true true DAVID MADIGAN OFFICER HOUSING X 400000 320000 false true true 2144141 JILL S GOLDMAN SPOUSE OF KEY EMPLOYEE 101823 EMPLOYMENT false NOTES TO SCHEDULE L ALL AMOUNTS SHOWN ON SCHEDULE L REPRESENT PAYMENTS BY THE UNIVERSITY TO THE INTERESTED PERSON. THE SPOUSE OF THE KEY EMPLOYEE LISTED IN SCHEDULE L WAS AN EMPLOYEE OF THE UNIVERSITY DURING THE REPORTING PERIOD. HER COMPENSATION REPORTED ON SCHEDULE L WAS DETERMINED IN ACCORDANCE WITH THE UNIVERSITY'S REGULAR COMPENSATION PRACTICES APPLICABLE TO SIMILARLY SITUATED EMPLOYEES. NO UNIVERSITY OFFICIAL WHO WAS ALSO AN OFFICER OR DIRECTOR OF AN INTERESTED PERSON PARTICIPATED IN OR INFLUENCED THE UNIVERSITY'S DECISION ABOUT ANY TRANSACTION. SCHEDULE L, PART II THE LOAN REPORTED FOR JOHN COATSWORTH IN PART II IS INTEREST BEARING AND SECURED BY AN INTEREST IN A PRIMARY RESIDENCE. THE LOAN REPORTED FOR DAVID MADIGAN IN PART II IS INTEREST BEARING AND WAS MADE IN CONNECTION WITH A PRIMARY RESIDENCE. X 13 X 528 46072017 COST/SALES PRICE X 3 X 4 X EQUIPMENT 9 0 0 X EVENT TICKETS & FEES 9 0 0 X BOOKS 10 0 0 X HOUSEHOLD GOODS 1 0 0 X MUSICAL INSTRUMENTS 1 0 0 X CLOTHING & PERSONAL ITEMS 3 0 0 30 false true true USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART I, LINE 32B THE UNIVERSITY USES THIRD PARTY INVESTMENT BROKERS TO SELL NON-CASH CONTRIBUTED SECURITIES. THIRD PARTIES ARE NOT USED TO SOLICIT OR PROCESS ANY CONTRIBUTIONS. DESCRIPTION OF CONTRIBUTED PROPERTY FOR WHICH REVENUES ARE NOT REPORTED SCHEDULE M, PART I, LINE 33 UNDER GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. BECAUSE THE UNIVERSITY UTILIZES CONTRIBUTIONS OF ART AND HISTORICAL TREASURES IN FURTHERANCE OF PUBLIC SERVICE, THESE CONTRIBUTIONS ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. IN ADDITION, MINOR GIFTS, SUCH AS FOOD OR SUPPLIES, ARE CONSIDERED DE MINIMUS. NUMBER OF CONTRIBUTIONS SCHEDULE M, PART I, COLUMN (B) THE FIGURES IN COLUMN (B) REPRESENT THE NUMBER OF CONTRIBUTIONS RECEIVED. SUPPLEMENTAL DISCLOSURES FORM 990, PART I, LINE 4 AND PART VI, LINE 1B DETAIL REGARDING THE NUMBER OF INDEPENDENT VOTING MEMBERS THE UNIVERSITY'S PRESIDENT, A VOTING MEMBER OF THE BOARD, IS NOT COUNTED AS INDEPENDENT BECAUSE HE IS AN EMPLOYEE OF THE UNIVERSITY. IN ACCORDANCE WITH THE FORM 990 REPORTING INSTRUCTIONS, THE UNIVERSITY HAS ALSO NOT COUNTED AS INDEPENDENT FOR THE PURPOSES OF THIS QUESTION THE TRUSTEE LISTED ON SCHEDULE J WHO IS RETIRED FROM THE UNIVERSITY AND RECEIVED PREVIOUSLY-ACCRUED COMPENSATION DURING THE REPORTING PERIOD BASED UPON HIS PRIOR UNIVERSITY EMPLOYMENT. ------------------------------------------------------------- FORM 990, PART I, LINE 6 DETAIL REGARDING THE NUMBER OF VOLUNTEERS THE NUMBER SHOWN IS AN ESTIMATE OF ALUMNI VOLUNTEERS WHO WORK WITH THE UNIVERSITY'S CENTRAL ALUMNI OFFICE. ADDITIONAL VOLUNTEERS WORK IN MANY OF THE UNIVERSITY'S SCHOOLS, CENTERS AND OTHER PROGRAMS. ------------------------------------------------------------- FORM 990, PART V, LINE 4B FOREIGN COUNTRY LIST BANGLADESH BRAZIL CHILE CHINA CONGO ETHIOPIA FRANCE GERMANY INDIA ITALY COTE D'IVOIRE (IVORY COAST) JAPAN JORDAN KAZAKHSTAN KENYA KYRGYZSTAN LESOTHO MALAWI MALI MOZAMBIQUE MYANMAR RWANDA SENEGAL SIERRA LEONE SOUTH AFRICA SOUTH SUDAN SWAZILAND TAJIKISTAN TANZANIA TURKEY UNITED KINGDOM (ENGLAND, NORTHERN IRELAND, SCOTLAND, AND WALES) UGANDA ZAMBIA ZIMBABWE ------------------------------------------------------------- FORM 990, PART V, LINES 7G AND 7H CONTRIBUTIONS OF CERTAIN TYPES OF PROPERTY DURING THE YEAR ENDED JUNE 30, 2016, THE UNIVERSITY DID NOT RECEIVE ANY CONTRIBUTIONS OF QUALIFIED INTELLECTUAL PROPERTY, CARS, BOATS, AIRPLANES, OR OTHER VEHICLES. AS A RESULT, THE UNIVERSITY WAS NOT REQUIRED TO FILE FORMS 8899 OR 1098-C TO REPORT SUCH CONTRIBUTIONS. ------------------------------------------------------------- FORM 990, PART VI, LINE 2 DETAIL OF FAMILY/BUSINESS RELATIONSHIPS ARMEN AVANESSIANS AND ESTA STECHER - BUSINESS RELATIONSHIP ANN KAPLAN AND ESTA STECHER - BUSINESS RELATIONSHIP ------------------------------------------------------------- FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW 990 THE TRUSTEES AUDIT COMMITTEE REVIEWED THE FORM 990. FOLLOWING THAT REVIEW, THE FORM 990 WAS MADE AVAILABLE TO ALL TRUSTEES VIA A SECURE WEBSITE AND THEN PRESENTED TO THE FULL BOARD OF TRUSTEES AT A MEETING ON MAY 3, 2017. THE FINAL FORM WAS POSTED ON THE SECURE WEBSITE FOR TRUSTEE REVIEW PRIOR TO FILING. ------------------------------------------------------------- FORM 990, PART VI, LINE 12C DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST ALL TRUSTEES ARE SUBJECT TO THE "STATEMENT OF CONFLICT OF INTEREST POLICY FOR THE TRUSTEES OF COLUMBIA UNIVERSITY." WHEN A TRUSTEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCES TO THE BOARD CHAIR OR OTHERS, AS APPROPRIATE, (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE TRUSTEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSIONS OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL TRUSTEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THE DISCLOSURES ARE REVIEWED FOR APPROPRIATE ACTION. ALL OFFICERS AND KEY EMPLOYEES ARE SUBJECT TO THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST." WHEN AN OFFICER OR KEY EMPLOYEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCE TO HIS OR HER SUPERVISOR, THE TRUSTEES OR OTHERS, AS APPROPRIATE; (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE OFFICER OR EMPLOYEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSION OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL OFFICERS AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THESE DISCLOSURES ARE REVIEWED AND ANY DISCLOSURES THAT COULD GIVE RISE TO CONFLICTS AS IDENTIFIED THROUGH SUCH REVIEW ARE REPORTED TO AN APPROPRIATE SENIOR OFFICER. ANY SUBSTANTIVE CONCERNS ARE ALSO REPORTED TO THE CHAIR OF THE BOARD OF TRUSTEES. ------------------------------------------------------------- FORM 990, PART VI, LINES 15A AND 15B COMPENSATION PROCESS THE UNIVERSITY FOLLOWS THE REVIEW PROCESS DESCRIBED BELOW FOR ALL OFFICERS AND KEY EMPLOYEES. THIS PROCESS HAS BEEN IN PLACE SINCE AT LEAST 2000. THE COMPENSATION FOR THE ORGANIZATION'S PRESIDENT IS REVIEWED BY A COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES AND APPROVED BY THE INDEPENDENT TRUSTEES ON THE FULL BOARD. THE COMPENSATION OF OTHER OFFICERS AND KEY EMPLOYEES IS REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES. IN CONNECTION WITH THE PRESIDENT'S COMPENSATION, THE COMPENSATION COMMITTEE AND THE BOARD REVIEW COMPARABILITY DATA AND MINUTES OF DELIBERATIONS ARE RECORDED CONTEMPORANEOUSLY WITH ANY ACTION. WITH RESPECT TO OTHER OFFICERS AND KEY EMPLOYEES, THE COMMITTEE FOLLOWS THE SAME PROCESS FOR REVIEW OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF ITS ACTIONS. IN THE CASE OF THE ORGANIZATION'S PRESIDENT AND CERTAIN OTHER OFFICERS AND KEY EMPLOYEES, THE COMPENSATION COMMITTEE HAS ALSO CONSULTED WITH INDEPENDENT COMPENSATION CONSULTANTS IN DETERMINING COMPENSATION. THE COMPENSATION OF THE PRESIDENT AND THE EXECUTIVE VICE PRESIDENT OF THE INVESTMENT MANAGEMENT COMPANY IS REVIEWED AND APPROVED BY A COMPENSATION COMMITTEE OF THE INVESTMENT MANAGEMENT COMPANY'S BOARD OF MANAGERS. SUCH COMPENSATION COMMITTEE IS COMPRISED OF INDEPENDENT MEMBERS OF THE BOARD MANAGERS. "INDEPENDENT TRUSTEE"INDEPENDENT MEMBER" AS USED IN THIS FOOTNOTE MEANS WITHOUT A CONFLICT OF INTEREST WITHIN THE MEANING OF PARAGRAPH (c)(1)(iii) OF REGULATION 53.4958-6 OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE FORM 990 INSTRUCTIONS, PART VI, LINE 1B ABOVE USES A DIFFERENT DEFINITION. ------------------------------------------------------------- FORM 990, PART VI, LINE 19 DOCUMENTS AVAILABILITY TO PUBLIC THE ORGANIZATION'S CHARTER AND STATUTES, FINANCIAL STATEMENTS AND THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST" ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE AT WWW.COLUMBIA.EDU. -------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON TRUSTEES TRUSTEES' TIME DEVOTED TO POSITION (4 HOURS PER WEEK) REPRESENTS AN AVERAGE FOR ALL TRUSTEES BASED ON ATTENDANCE AT QUARTERLY MEETINGS AND REGULARLY SCHEDULED TELEPHONIC CONFERENCES THROUGHOUT THE YEAR. BOARD OFFICERS, COMMITTEE CHAIRS AND OTHER TRUSTEES OFTEN DEVOTE SIGNIFICANTLY MORE TIME TO THE POSITION. -------------------------------------------------------------- FORM 990, PART VII, SECTION A NOTE ON ROBERT KASDIN ROBERT KASDIN LEFT THE UNIVERSITY JUNE 30, 2015 AND THE COMPENSATION REFLECTED HERE IS FOR HIS SERVICE THROUGH THAT DATE DURING WHICH TIME HE WORKED AN AVERAGE OF 60 HOURS PER WEEK. HE RECEIVED NO COMPENSATION FOR ANY PERIOD AFTER HE LEFT THE UNIVERSITY. -------------------------------------------------------------- FORM 990, PART VIII DETAIL REGARDING ROYALTY INCOME/EXPENSE THE UNIVERSITY PERIODICALLY FUNDS AND DEVELOPS PATENTS FOR CERTAIN TECHNOLOGIES, THEN LICENSES THE USAGE OF THESE PATENTS TO COMPANIES. THE REVENUE, NET OF PAYMENTS DUE TO THIRD PARTIES, IS RECORDED IN "REVENUE FROM OTHER EDUCATIONAL AND RESEARCH ACTIVITIES" IN THE CONSOLIDATED STATEMENT OF ACTIVITIES. COSTS INCURRED WITH DEVELOPING AND MAINTAINING THESE PATENTS ARE EXPENSED AS INCURRED SO THAT WHILE ROYALTIES ARE PAID TO FACULTY AND OTHERS IN CERTAIN CIRCUMSTANCES THESE AMOUNTS ARE NOT REFLECTED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART VIII, LINE 8 AND SCHEDULE G, PART II DESCRIPTION OF ACCOUNTING FOR FUNDRAISING EVENTS AMOUNTS REPORTED FOR FUNDRAISING EVENTS REPRESENT REVENUE AND EXPENSES THAT ARE SEPARATELY TRACKED. THE REVENUE AND EXPENSES FROM ADDITIONAL FUNDRAISING ACTIVITIES ARE NOT SEPARATELY TRACKED AND ARE INCLUDED WITHIN CONTRIBUTION REVENUE AND FUNDRAISING EXPENSES. ------------------------------------------------------------- FORM 990, PART IX, LINE 5 COMPENSATION PAID TO CURRENT OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES COMPENSATION AMOUNTS PRESENTED AS MANAGEMENT AND GENERAL EXPENSES ARE FOR CURRENT OFFICERS, DIRECTORS, TRUSTEES, AND KEY EMPLOYEES WHO ARE PART OF CENTRAL ADMINISTRATION. WHILE THESE OFFICERS AND KEY EMPLOYEES SPEND A PORTION OF THEIR TIME ON PROGRAMMATIC ACTIVITIES IN ADDITION TO THEIR MANAGEMENT RESPONSIBILITIES, THE UNIVERSITY HAS CHOSEN NOT TO ALLOCATE THE EXPENSES BETWEEN CATEGORIES. ------------------------------------------------------------- FORM 990, PART IX, LINE 11F INVESTMENT MANAGEMENT FEES THE INVESTMENT MANAGEMENT FEES REPORTED ON THE STATEMENT OF FUNCTIONAL EXPENSES REPRESENT FEES TO THIRD PARTY INVESTMENT MANAGERS AND INCLUDE MANAGEMENT FEE AND PERFORMANCE FEE EXPENSES ASSOCIATED WITH SEPARATELY MANAGED ACCOUNTS. INVESTMENT MANAGEMENT FEES ASSOCIATED WITH FUND INVESTMENTS ARE REPORTED NET AGAINST INVESTMENT INCOME AND THEREFORE ARE NOT INCLUDED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART IX FUNCTIONAL EXPENSES FORM 990, PART IX FUNCTIONAL EXPENSE TOTALS REFLECT THE ELIMINATION OF DEPARTMENTAL OVERHEAD RECOVERIES INCURRED BY PROGRAMMATIC BUSINESS UNITS. THE MAJORITY OF RECOVERED EXPENSES ARE SHOWN IN LINE 24F, OTHER EXPENSES. ------------------------------------------------------------- FORM 990, PART X, LINE 7 LOAN INFORMATION LOANS RECEIVABLE FROM STUDENTS TOTAL $106,389,000. LOANS RECEIVABLE FROM NON-KEY EMPLOYEES TOTAL $27,619,103. THE LOANS FROM NON-KEY EMPLOYEES HAVE VARIOUS INTEREST RATES RANGING FROM 0.41% TO 6.35%, WITH MATURITY DATES RANGING FROM 2016 THROUGH 2046. THE OUTSTANDING BALANCES RANGE FROM $79 TO $2,826,979 AND A PORTION OF WHICH ARE SECURED BY A PRINCIPAL RESIDENCE. LOANS RECEIVABLE FROM OTHER 501(C)(3) ORGANIZATIONS TOTAL $1,076,600. ------------------------------------------------------------------------ FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCE CHANGE IN FUNDS HELD BY OTHER IN PERPETUITY (14,244,831) PRESENT VALUE ADJUSTMENT TO SPLIT INTEREST AGREEMENTS (11,565,702) CHANGES IN PENSION AND POST-RETIREMENT OBLIGATIONS (37,465,880) OTHER NON-OPERATING ADJUSTMENTS 26,767,827 -------------- TOTAL OTHER CHANGES IN NET ASSETS (36,508,586) ------------------------------------------------------------------------ FORM 990, PART XII, LINE 2 AUDIT OF THE UNIVERSITY'S FINANCIAL STATEMENTS THE CONSOLIDATED FINANCIAL STATEMENTS OF THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK ARE AUDITED BY PRICEWATERHOUSECOOPERS, AN INDEPENDENT AUDITOR. THE UNCONSOLIDATED FINANCIAL STATEMENTS REFLECTED IN THIS RETURN REPRESENT APPROXIMATELY 99% OF THE NET ASSETS OF THE CONSOLIDATED GROUP. THE UNIVERSITY'S BOARD OF TRUSTEES HAS AN AUDIT COMMITTEE, COMPRISED OF INDEPENDENT TRUSTEES, WHICH IS RESPONSIBLE FOR OVERSIGHT OF THE AUDIT, REVIEW, AND COMPILATION OF THE FINANCIAL STATEMENTS AND SELECTION OF THE INDEPENDENT AUDITOR. 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HARBOUR LITIGATION INVSTMNT OFFSHORE FUND LP B 860186 FMV HARBOUR OFFSHORE FUND II LP B 8607360 FMV HARBOUR OFFSHORE FUND II LP S 2831578 FMV MERIT ENERGY PARTNERS V LP S 1485000 FMV NCH INVESTORS FUND (CU) CORP S 119048 FMV SANJEEVINI INVESTMENT HOLDINGS S 1055115 FMV VECTRA ENERGY DRILLING FUND I-A B 329564 FMV VECTRA ENERGY DRILLING FUND I-A S 601582 FMV REID HALL INC B 434162 FMV COLUMBIA UNIVERSITY HEALTH CARE INC B 1243348 FMV COLUMBIA UNIVERSITY PRESS B 710442 FMV COLUMBIA DOCTORS OF NEW JERSEY S 304163 FMV SUPPLEMENTAL INFORMATION SCHEDULE R COLUMBIA UNIVERSITY OWNS AN 81.57% INTEREST IN 2700 BROADWAY CONDOMINIUM, WHICH IS TREATED AS A CONDOMINIUM ASSOCIATION UNDER NEW YORK STATE LAW. ------------------------------------------------------------------- SCHEDULE R, PART I END-OF-YEAR ASSET REPORTING CERTAIN DISREGARDED ENTITIES LISTED IN SCHEDULE R, PART I MAY HOLD VEHICLES, OFFICE EQUIPMENT AND RELATED ITEMS, THE VALUE OF WHICH IS INCLUDED IN THE UNIVERSITY'S BALANCE SHEET IN PART X OF THIS FORM 990 BUT IS NOT REFLECTED IN COLUMN (E) END-OF-YEAR ASSETS. ------------------------------------------------------------------- SCHEDULE R, PART I INCOME/ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM I, LLC WHICH OWNS 100% OF THE SHARES ENTITLED TO THE INCOME AND ASSETS OF FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM I, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED AS REPORTED IN SCHEDULE R, PART IV. THE SHARES OWNED BY CIM I ARE NON-VOTING SHARES. ------------------------------------------------------------------- SCHEDULE R, PART I, COLUMNS (D) AND (E) INCOME AND ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM V, LLC, WHICH IS THE SOLE MEMBER OF CONQUEST MANAGED FUTURES SELECT FUND II, LLC. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM V, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CONQUEST MANAGED FUTURES SELECT FUND II, LLC, AS REPORTED IN SCHEDULE R, PART I. ------------------------------------------------------------------- SCHEDULE R, PART IV CONSISTENT WITH GAAP, THE UNIVERSITY DOES NOT CONSOLIDATE THE ENTITIES LISTED IN PART IV SCHEDULE R WHICH HAVE INVESTMENTS AS THEIR PRIMARY PURPOSE. THIS IS BECAUSE THE UNIVERSITY DOES NOT HAVE SUFFICIENT VOTING POWER WITH RESPECT TO THESE ENTITIES TO SATISFY THE CONTROL TEST FOR CONSOLIDATION UNDER GAAP. THE AMOUNTS SHOWN IN SCHEDULE R, PART IV, COLUMN (G) REFLECT THE UNIVERSITY'S SHARE OF THE NET ASSETS OF THESE ENTITIES FOR THE FISCAL YEAR REPORTING PERIOD WHICH, CONSISTENT WITH GAAP, IS REFLECTED ON LINE 16 OF THE BALANCE SHEET IN PART X OF THIS FORM 990. SIMILARLY, THE UNIVERSITY'S SHARE OF ANY CURRENT INCOME AND REALIZED GAINS FROM THESE ENTITIES IS REFLECTED IN COLUMN (F) OF SCHEDULE R, PART IV AND ON THE STATEMENT OF REVENUE IN PART VIII. THESE ENTITIES EACH OPERATE ON A CALENDAR-YEAR BASIS, AND THE UNIVERSITY'S SHARE OF THE GROSS INCOME AND TOTAL ASSETS FOR EACH OF THESE ENTITIES FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2015 IS SET FORTH BELOW: ASM HUDSON RIVER FUND SHARE OF TOTAL (GROSS) INCOME: ($1,969,376) SHARE OF END-OF-YEAR (GROSS) ASSETS: $60,335,129 CALUNIUS LITIGATION RISK FUND LP SHARE OF TOTAL (GROSS) INCOME: ($919,378) SHARE OF END-OF-YEAR (GROSS) ASSETS: $17,114,310 CALUNIUS LITIGATION RISK FUND 2 LP SHARE OF TOTAL (GROSS) INCOME: $5,285 SHARE OF END-OF-YEAR (GROSS) ASSETS: $6,856,488 COLUMBIA/PATRON SCOTLAND LP SHARE OF TOTAL (GROSS) LOSS: $(471,718) SHARE OF END-OF-YEAR (GROSS) ASSETS: $3,161,045 FPCM INFLATION-LINKED OPPORTUNITIES FUND, LTD SHARE OF TOTAL (GROSS) INCOME: $11,593,329 SHARE OF END-OF-YEAR (GROSS) ASSETS: $928,471,518 HARBOUR LITIGATION INVESTMENT OFFSHORE FUND SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $4,992,406 HARBOUR OFFSHORE FUND II LP SHARE OF TOTAL (GROSS) LOSS: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $15,131,429 NCH INVESTORS FUND (CU) CORP SHARE OF TOTAL (GROSS) LOSS: $52,331 SHARE OF END-OF-YEAR (GROSS) ASSETS: $1,913,760 ------------------------------------------------------------------- SCHEDULE R, PART IV AS OF JUNE 30, 2016, THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK HELD MORE THAN A 50% BENEFICIAL INTEREST IN 62 CHARITABLE REMAINDER TRUSTS DOMICILED IN NEW YORK AND 2 POOLED INCOME FUNDS DOMICILED IN NEW YORK.