2017-05-11T09:28:45-05:00 2016-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2015-07-01 251035663 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT DUQU 4123966592 600 FORBES AVENUE PITTSBURGH PA 152820226 MATTHEW J FRIST VP FOR MGMT & BUSINESS 4123966592 2017-05-10 1 SUSAN M KIRSCH P00341397 4122613644 2015 2021-01-29 14:40:06Z KENNETH G GORMLEY ESQ 600 FORBES AVENUE PITTSBURGH PA 152820226 429141794 0 X WWW.DUQ.EDU X 1878 PA DUQUESNE UNIVERSITY OF THE HOLY SPIRIT IS A CATHOLIC UNIVERSITY, FOUNDED BY MEMBERS OF THE CONGREGATION OF THE HOLY SPIRIT, THE SPIRITANS, AND SUSTAINED THROUGH A PARTNERSHIP OF LAITY AND RELIGIOUS. DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, THE COMMUNITY, THE NATION AND THE WORLD. 31 30 5021 26 1369038 0 23956222 26425071 349655555 352951158 24809964 9518102 1991833 2170356 400413574 391064687 98784898 106128497 0 0 177684319 175714535 0 0 3647490 98314145 96921824 374783362 378764856 25630212 12299831 675351991 661687195 240080798 244687032 435271193 417000163 X DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, COMMUNITY, NATION AND THE WORLD. 0 0 223352962 104458325 306634676 EDUCATIONAL PROGRAMS, GENERAL/OTHER: INSTRUCTION - SCHOOL OF LIBERAL ARTS, BUSINESS ADMINISTRATION, EDUCATION, MUSIC, HEALTH SCIENCES, PHARMACY, LAW, NATURAL AND ENVIRONMENTAL SCIENCES, NURSING (9,506 STUDENTS), 56287997 1670172 45471593 AUXILIARY/STUDENT SERVICES:STUDENT SERVICES PROGRAMS, STUDENT SERVICES, INSTITUTIONAL SUPPORT, AND AUXILIARY ENTERPRISES (12,240 UNIVERSITY COMMUNITY)AND ROOM & BOARD, FOOD SERVICE, INTERCOLLEGIATE ATHLETICS, TAMBURITZANS, PARKING EVENTS, CONFERENCES. 39645234 313230 EDUCATIONAL DELIVERY, ACADEMIC SUPPORT - LIBRARY, DEANS OFFICE, PROVOST OFFICES, CATALOGS, COMMENCEMENT, CLERGY RESIDENCE, INCLUDING 10,489 STUDENTS AND FACULTY. 5163860 229322 MEDIA AND COMMUNICATION PROGRAMS, GENERAL/OTHER: PUBLIC SERVICE, PUBLIC RESEARCH PROGRAMS, 2,467 PHARMACY CUSTOMERS, 34,191 PRESCRIPTIONS DISPENSED, LAW LIBRARY PROGRAMS 9191666 5509 SCIENCE & TECHNOLOGY RESEARCH, GENERAL/OTHER: RESEARCH -DHEW, NSF AND OTHER RESTRICTED FUNDS FOR RESEARCH (126 FUNDING AGENCIES) 14355526 234831 333641719 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 1 1 0 1 1 1 0 1 0 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 1 0 0 0 1 13340 0 1 5021 1 1 1 1 IT CJ 0 0 0 1 1 0 0 0 0 X 31 30 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 PA MN OR KY OH NH CO MA ME X JAMES A TORTELLA 4123966592 600 FORBES AVE ROOM 211 PITTSBURGH PA 15282 CARL J BARTOLOMUCCI BOARD MEMBER 2.00 X 0 0 0 ARNOLD E BURCHIANTI II BOARD MEMBER 2.00 X 0 0 0 ESTHER L BUSH BOARD MEMBER 2.00 X 0 0 0 SAMUEL A COSTANZO BOARD MEMBER 2.00 X 0 0 0 DAVID D'ERAMO BOARD MEMBER 2.00 X 0 0 0 ANTHONY J CARFANG BOARD MEMBER 2.00 X 0 0 0 VREVJEFFREY T DUAIME CSSP BOARD MEMBER 2.00 X 0 0 0 RICHARD J GRATTAN BOARD MEMBER 2.00 X 0 0 0 THOMAS B GREALISH BOARD MEMBER 2.00 X 0 0 0 DIANE L HUPP ENTER OCT 2015 BOARD MEMBER 2.00 X 0 0 0 SCOTT M LAMMIE BOARD MEMBER 2.00 X 0 0 0 JOHN R MCGINLEY JR BOARD MEMBER 2.00 X 0 0 0 JOHN W MCGONIGLE BOARD MEMBER 2.00 X 0 0 0 JAMES F MCGUIRK II BOARD MEMBER 2.00 X 0 0 0 HELENE L NORBUT BOARD MEMBER 2.00 X 0 0 0 REV JAMES OKOYE CSSP BOARD MEMBER 2.00 X 0 0 7222 IRENE M QUALTERS BOARD MEMBER 2.00 X 0 0 0 JOSEPH E ROCKEY BOARD MEMBER 2.00 X 0 0 0 CATHARINE M RYAN BOARD MEMBER 2.00 X 0 0 0 REV JOHN A SAWICKI CSSP BOARD MEMBER 12.00 X 0 0 7250 THADDEUS J SENKO BOARD MEMBER 2.00 X 0 0 0 GRETCHEN G SMARTO BOARD MEMBER 2.00 X 0 0 0 BRIAN L SULLIVAN BOARD MEMBER 2.00 X 0 0 0 THOMAS A TRIBONE BOARD MEMBER 2.00 X 0 0 0 REV DANIEL WALSH CSSP BOARD MEMBER 2.00 X 0 0 7258 REV FREDDY WASHINGTON CSSP BOARD MEMBER 2.00 X 0 0 0 ANTHONY J CARFANG VICE CHAIRMAN OF BOARD 2.00 X X 0 0 0 CHARLES J DOUGHERTY EXIT 6-30-16 PRESIDENT 55.00 X X 671123 0 116014 REV RAYMOND FRENCH CSSP BOARD MEMBER, V.P. MISSION 55.00 X X 0 0 7258 MARY R GREALY ESQ VICE CHAIRMAN OF BOARD 2.00 X X 0 0 0 MARIE MILIE JONES CHAIRMAN OF THE BOARD 2.00 X X 0 0 0 TIMOTHY R AUSTIN PROVOST/VP ACADEMIC AFFAIR 55.00 X 268689 0 22890 DAVID R BEAUPRE EXIT FEB 2016 VP MANAGEMENT/BUSINESS 55.00 X 268142 0 89439 MATTHEW J FRIST ENTER 2-13-16 VP MANAGEMENT/BUSINESS 55.00 X 161773 0 40547 DOUGLAS K FRIZZELL ETR 7-1-15 VP FOR STUDENT LIFE 55.00 X 105254 0 39736 JOHN P PLANTE VP FOR UNIVERSITY ADVANCEMT 55.00 0.50 X 256941 0 104451 MADELYN A REILLY ESQ EN7-1-15 SECRETARY/GEN.COUNSEL 55.00 X 164783 0 14989 JDOUGLAS BRICKER DEAN, SCHOOL OF PHARMACY 55.00 X 243051 0 34800 GREGORY H FRAZER DEAN, SCHOOL OF HEALTH SCI 55.00 X 187205 0 79077 MARY ELLEN GLASGOW DEAN, SCHOOL OF NURSING 55.00 X 210099 0 34345 DEAN B MCFARLIN DEAN, SCHOOL OF BUSINESS 55.00 X 220490 0 45213 JAMES C SWINDAL DEAN, SCHOOL OF LIBERAL ARTS 55.00 X 168498 0 43120 LINDA S DRAGO ESQ SECRETARY/GEN.COUNSEL THRU 6-30-15 55.00 X 356697 0 14033 JAMES A FERRY MEN'S BASKETBALL COACH 55.00 X 621281 0 47609 ALEEM GANGJEE PROFESSOR, SCHOOL OF PHARMACY 55.00 X 372075 0 39454 KENNETH GGORMLEY DEAN, SCHOOL OF LAW 55.00 X 247169 0 85315 ALFRED S PELAEZ JD LLM PROFESSOR EMERITUS SCHOOL OF LAW 55.00 X 233195 0 1735 RALPH L PEARSON FRM OFFICER PROFESSOR MCANULTY COLLEGE 55.00 X 218590 0 49935 4975055 0 931690 258 1 1 0 EAT'N PARK HOSPITALITY GROUP INC 285 EAST WATERFRONT DR PO BOX 300 PITTSBURGH PA 15230 FOOD SERVICE 11973275 TEDCO CONSTRUCTION CORPORATION 1 TEDCO PLACE CARNEGIE PA 15106 CONSTRUCTION 4686974 TURNER CONSTRUCTION COMPANY 620 LIBERTY AVE TWO PNC PLAZA 27TH PITTSBURGH PA 15222 CONSTRUCTION 3191136 RYCON CONSTRUCTION CO 2525 LIBERTY AVE SUITE 1 PITTSBURGH PA 15222 CONSTRUCTION 2221302 WAYNE CROUSE INC 3370 STAFFORD STREET PITTSBURGH PA 15204 CONSTRUCTION 2041345 66 583386 563254 12622168 12656263 1774467 26425071 EDUCATIONAL PROGRAMS 611710 306634676 306634676 STUDENT SRVC PROGRAMS 611710 45768421 45471593 296828 ACADEMIC SUPPORT 611710 313230 313230 PUBLIC SERVICE 611710 229322 229322 SCIENCE&TECHN.RESEARCH 541700 5509 5509 352951158 5946425 18713 5927712 373975 373975 459730 99334 360396 360396 18827 341569 38387127 111845 34797778 129517 3589349 -17672 3571677 3571677 414734 583386 426074 -11340 -11340 4071729 2624404 1447325 1034670 412655 391064687 352654330 1369038 10616248 936906 936906 104343409 104343409 848182 848182 3913961 2083231 1427668 403062 287865 287865 130850149 113282702 15854006 1713441 7466954 6292592 1051436 122926 24228580 20551452 3284561 392567 8967026 7706172 1114483 146371 330278 330278 159745 159745 96838 96838 395024 395024 15550020 14205638 1330737 13645 3464150 1791223 1485708 187219 11085460 8752008 2076280 257172 5988609 2153129 3810141 25339 8010452 6631669 1318420 60363 7252089 6742946 325658 183485 554709 486700 58964 9045 6311984 5278140 1033844 22401441 18734191 3612908 54342 1388302 54666 1333636 OTHER GENERAL 13282993 11988782 1217344 76867 MEMBERSHIPS 649730 490116 157968 1646 378764856 333641719 41475647 3647490 14203407 18937239 6694327 6822198 22403602 22208096 1230417 1162073 4217017 4346874 567117442 256108393 311044789 311009049 245247372 236363678 64749110 56113431 5561950 4724557 675351991 661687195 36708456 39995302 14090937 13407122 162858797 165850334 26422608 25434274 240080798 244687032 X 279731251 266400973 58229479 48779820 97310463 101819370 435271193 417000163 675351991 661687195 X 12299831 -20391866 -10178995 X X 0 1 X 1 1 1 X 26249378 20067038 25068847 23956222 26425071 121766556 26249378 20067038 25068847 23956222 26425071 121766556 1746544 120020012 5193238 6479227 6307007 6032831 6376147 30388450 152155006 1665101385 0.78880 0.79700 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 159210 159210 378605646 378764856 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 90092 79479 153928 159210 482709 250000 250000 250000 250000 1000000 1500000 259944899 5631872 -9805096 3639996 5805789 246325890 261800142 7850236 -1482373 3187336 5035770 259944899 205803386 27252473 36066530 2838845 4483402 261800142 180197963 8531619 23579765 2672284 3833677 205803386 175675451 14040647 -2047769 2839168 4631198 180197963 0.44200 0.40670 0.15130 0 0 20177172 20177172 432933657 181417870 251515787 79065519 61850155 17215364 34941094 12840368 22100726 311009049 FIR TREE INTERNATIONAL VALUE FUND 8008926 F HBK OFFSHORE FUND 6661042 F CLAREN ROAD CREDIT FUND 2470454 F GRAHAM GLOBAL 4414525 F MKP OPPORTUNITY 5521411 F TACONIC OPPORTUNITY 8803307 F RIMROCK HIGH INCOME PLUS 12636062 F YUKON CAPITAL PARTNERS 1881821 F NORTHGATE 4405325 F PITTSBURGH EQUITY PARTNERS 242574 F SIGULAR GUFF 1067984 F 56113431 EQUIPMENT LEASE - MISCELLANEOUS 534783 CONDITIONAL ASSET RETIREMENT OBLIGATION 4997657 FEDERAL LOAN FUNDS 12521378 AGENCY FUNDS 731001 ANNUITIES PAYABLE 394524 LIABILITIES ASSOCIATED WITH INVESTMENTS 6254931 25434274 X 268143554 -20391866 432480 -19959386 288102940 102961747 102961747 391064687 286414585 432480 12408840 12841320 273573265 105191591 105191591 378764856 PART V, LINE 4: THE INTENDED USES OF DUQUESNE UNIVERSITY OF THE HOLY SPIRIT ENDOWMENT FUNDS ARE TO PRIMARILY PROVIDE FUNDS FOR STUDENT SCHOLARSHIPS, FELLOWSHIPS, LECTURESHIPS, FACULTY CHAIRS, AND RESOURCE FUNDS. ENDOWMENT FUNDS ALSO SUPPORT LIBRARY, ACADEMIC SUPPORT, REPAIR AND REPLACEMENT OF FACILITIES, AND GENERAL OPERATIONS. ALL USES ARE IN ACCORDANCE WITH APPLICABLE DONOR RESTRICTIONS. PART X, LINE 2: THE UNIVERSITY ADOPTED GUIDANCE FOR UNCERTAINTY IN INCOME TAXES, WHICH PROVIDES CRITERIA FOR THE RECOGNITION AND MEASUREMENT OF UNCERTAIN TAX POSITIONS. THIS GUIDANCE REQUIRES THAT AN UNCERTAIN TAX POSITION SHOULD BE RECOGNIZED ONLY IF IT IS "MORE LIKELY THAN NOT" THAT THE POSITION IS SUSTAINABLE BASED ON ITS TECHNICAL MERITS. RECOGNIZABLE TAX POSITIONS SHOULD THEN BE MEASURED TO DETERMINE THE AMOUNT OF BENEFIT RECOGNIZED IN THE FINANCIAL STATEMENTS. THE UNIVERSITY FILES U.S. FEDERAL, STATE, AND LOCAL INFORMATION RETURNS, AND NO RETURNS ARE CURRENTLY UNDER EXAMINATION. THE STATUTE OF LIMITATIONS ON THE UNIVERSITY'S U.S. FEDERAL TAX RETURNS REMAINS OPEN FOR THE YEARS ENDED JUNE 30, 2013, THROUGH THE PRESENT. THE UNIVERSITY CONTINUES TO EVALUATE ITS TAX POSITIONS PURSUANT TO THE PRINCIPLES OF SUCH GUIDANCE AND HAS DETERMINED THAT THERE IS NO MATERIAL IMPACT ON THE UNIVERSITY'S FINANCIAL STATEMENTS. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 105,191,591. SPECIAL EVENT ACTIVITIES -11,340. COST OF GOODS SOLD -2,624,404. LOSS ON SALE OF ASSETS -17,672. INVESTMENT MANAGEMENT FEES RE-CLASS 395,024. INTERDEPARTMENTAL TRANSFERS 127,881. CONFERENCE RENTAL EXPENSE NETTED AGAINST REVENUE -99,334. ROUNDING 1. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 2,624,404. LOSS ON SALES OF ASSETS 17,672. INTERDEPARTMENTAL TRANSFERS -127,881. RECLASS INVESTMENT MANAGEMENT FEES -395,024. RECLASS CONFERENCE EXPENSES AGAINST INCOME 99,334. ROUNDING -1. LOSS ON DEFEASANCE OF BOND 10,190,336. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 105,191,591. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 DUQUESNE UNIVERSITY'S NONDISCRIMINATORY POLICY IS PUBLISHED IN CATALOGS, REGISTRATION PUBLICATIONS, APPLICATIONS FOR ADMISSION AND FINANCIAL AID. THE POLICY IS ALSO AVAILABLE ON MULTIPLE AREAS OF THE UNIVERSITY'S WEB SITE AS WELL AS PUBLISHED IN THE PITTSBURGH POST GAZETTE ANNUALLY. THE POLICY IS ALSO PUBLISHED IN HUMAN RESOURCE / EMPLOYMENT PUBLICATIONS AND DOCUMENTS, THE PREAMBLE OF THE EXECUTIVE RESOLUTIONS OF THE BOARD AND IN ADMINISTRATIVE POLICIES. SCHEDULE E, PART I, LINE 6 IN THE COURSE OF OUR BUSINESS AS A UNIVERSITY, THE INSTITUTION RECEIVES FEDERAL GRANT FUNDS FOR ADMINISTRATIVE ALLOWANCES FOR FEDERAL SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS,PELL GRANTS,FEDERAL COLLEGE WORK STUDY GRANTS,AND STATE INSTITUTIONAL ASSISTANCE GRANTS. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 6314 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 48515727 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 14524 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 143722 EUROPE (INCLUDING ICELAND & GREENLAND) 2 20 PROGRAM SERVICES STUDY ABROAD 2246211 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 848182 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 116785 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 5535 NORTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 52737 SOUTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 76534 SOUTH ASIA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 4407 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 12318 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 111467 MIDDLE EAST AND NORTH AFRICA 0 0 INVESTMENTS 20920 NORTH AMERICA 0 0 PROGRAM SERVICES RECRUITMENT 9584 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES MISSIONARY 1971 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RECRUITMENT 17093 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 145766 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES RECRUITMENT 13956 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 536280 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 2581 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES MISSIONARY 2355 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RECRUITMENT 10280 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 1593 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 2271 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 172499 SOUTH AMERICA 0 0 PROGRAM SERVICES RECRUITMENT 6766 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 3802 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 31846 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSES 8664 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSES 5432 NORTH AMERICA 0 0 PROGRAM SERVICES MISSIONARY 210 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCES 640 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSES 7317 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 30 2 20 0 0 2 20 51897000 1259319 53156319 STUDENT SCHOLARSHIP EUROPE (INCLUDING ICELAND & GREENLAND) 138 848182 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT 0 1 0 1 1 1 0 PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEED ARE MONITORED TO ENSURE THEY MEET ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. A COMMITMENT TO EXCELLENCE 6-23-16 169100 157941 11159 3000 190 7969 LAUREL VALLEY GOLF INVITATIONAL 165983 65120 100863 73100 21358 2406 15 663037 360325 302712 1000 6282 121728 128486 5645 54910 998120 583386 414734 1000 6282 197828 150034 5645 65285 426074 -11340 1 PITTSBURGH INTERNATIONAL FOLK ARTS INSTITUTE 1801 BOULEVARD OF THE ALLIES PITTSBURGH PA 15219 474443871 910271 26635 FMV BOOK VALUE OF: INVENTORY, EQUIPMENT, BUILDING THIS GRANT PROVIDED FINANCIAL SUPPORT TO THE FORMER TAMBURITZANS, NOW PIFAI, AFTER THEIR SEPARATION FROM DUQUESNE UNIVERSITY EFFECTIVE JUNE 30, 2016. 1 ACADEMIC SCHOLARSHIPS 9117 84354894 ATHLETIC SCHOLARSHIPS 437 7553718 ENDOWED /NON-ENDOWED SCHOLARSHIPS 967 3631288 RELIGIOUS / H.S., TEACHER, SCHOLARSHIPS 754 2663536 TAMBURITIZAN / ROTC 20 182937 NEED BASED 1776 5957036 PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEED ARE MONITORED TO ENSURE THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. X X 1 1 X X X X X 1 1 0 0 0 0 0 0 0 CHARLES J DOUGHERTY EXIT 6-30-16 PRESIDENT 661375 0 0 0 9748 0 98645 0 17369 0 787137 0 0 0 TIMOTHY R AUSTIN PROVOST/VP ACADEMIC AFFAIR 257634 0 0 0 11055 0 20743 0 2147 0 291579 0 0 0 DAVID R BEAUPRE EXIT FEB 2016 VP MANAGEMENT/BUSINESS 251464 0 0 0 16678 0 20743 0 68696 0 357581 0 0 0 MATTHEW J FRIST ENTER 2-13-16 VP MANAGEMENT/BUSINESS 161230 0 0 0 543 0 13394 0 27153 0 202320 0 0 0 JOHN P PLANTE VP FOR UNIVERSITY ADVANCEMT 244059 0 0 0 12882 0 20551 0 83900 0 361392 0 0 0 MADELYN A REILLY ESQ EN7-1-15 SECRETARY/GEN.COUNSEL 160417 0 0 0 4366 0 12965 0 2024 0 179772 0 0 0 JDOUGLAS BRICKER DEAN, SCHOOL OF PHARMACY 242853 0 0 0 198 0 19803 0 14997 0 277851 0 0 0 GREGORY H FRAZER DEAN, SCHOOL OF HEALTH SCI 181839 0 0 0 5366 0 15472 0 63605 0 266282 0 0 0 MARY ELLEN GLASGOW DEAN, SCHOOL OF NURSING 208370 0 0 0 1729 0 17322 0 17023 0 244444 0 0 0 DEAN B MCFARLIN DEAN, SCHOOL OF BUSINESS 220361 0 0 0 129 0 18200 0 27013 0 265703 0 0 0 JAMES C SWINDAL DEAN, SCHOOL OF LIBERAL ARTS 168369 0 0 0 129 0 14096 0 29024 0 211618 0 0 0 LINDA S DRAGO ESQ SECRETARY/GEN.COUNSEL THRU 6-30-15 111113 0 0 0 245584 0 9092 0 4941 0 370730 0 0 0 JAMES A FERRY MEN'S BASKETBALL COACH 617637 0 0 0 3644 0 21200 0 26409 0 668890 0 0 0 ALEEM GANGJEE PROFESSOR, SCHOOL OF PHARMACY 361575 0 0 0 10500 0 18002 0 21452 0 411529 0 0 0 KENNETH GGORMLEY DEAN, SCHOOL OF LAW 237742 0 0 0 9427 0 19762 0 65553 0 332484 0 0 0 ALFRED S PELAEZ JD LLM PROFESSOR EMERITUS SCHOOL OF LAW 19976 0 0 0 213219 0 1575 0 160 0 234930 0 0 0 RALPH L PEARSON FRM OFFICER PROFESSOR MCANULTY COLLEGE 216174 0 0 0 2416 0 18225 0 31710 0 268525 0 0 0 PART I, LINES 4A-B SCH J, PART I, 4(A) A PORTION OF LINDA S. DRAGO'S AND ALFRED S. PELAEZ'S COMPENSATION INCLUDES A PAYMENT AS A RESULT OF THEIR PARTICIPATION IN A VOLUNTARY RETIREMENT PROGRAM. THE TERMS OF THE VOLUNTARY RETIREMENT PAYMENT ARE CONSIDERED CONFIDENTIAL. SCH J, PART I, 4(B) CHARLES J. DOUGHERTY PARTICIPATED IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN FOR WHICH HE WAS CREDITED $77,445 FOR CALENDAR YEAR 2015. A (5)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RFL8 2008-06-19 30780280 SEE PART VI 0 0 0 B (6)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RHG7 2011-02-10 53203859 SEE PART VI 0 0 0 C (7)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RKC2 2013-03-19 43044915 SEE PART VI 0 0 0 D (8)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RKY4 2014-12-17 43842545 SEE PART VI 0 0 0 A 11900000 16080000 30780280 244023 7874 4461383 26067000 2008 1 0 1 1 B 115000 41635000 53426942 1975452 402300 2858 51046332 2012 0 0 1 1 C 4530000 43051476 335654 95 16879743 25835984 2014 0 1 1 1 D 3485000 43842545 10713987 404261 32724297 2014 1 1 1 1 A 0 1 1 1 0 0 0 1 B 0 1 1 1 0 0 0 1 C 0 1 1 1 0 0 0 1 D 0 1 1 1 0 0 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 1 0 0 0 0 0 0 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K, PART I. COLUMN F, PART II LINE 3 AND LINE 11 PART I, ROW A, COL F(5): THE PURPOSE OF THE ISSUE WAS THE ACQUISITION OF BUILDING AND REFUNDING OF 2003 BOND ESCROW, 2005 C BOND ESCROW, AND 2007 B BOND ESCROW. PART I, ROW B, COL F(6): THE PURPOSE OF THE ISSUE WAS TO FINANCE VARIOUS CAPITAL PROJECTS FOR THE UNIVERSITY. PART I, ROW C, COL F(7): THE PURPOSE OF THE ISSUE WAS TO FINANCE CAPITAL PROJECTS AND REFUND THE ISSUE DATED 3/31/2004. PART I, ROW D, COL F(8): THE PURPOSE OF THE ISSUE IS TO REFUND ISSUES DATED 12/2/2005 AND 8/23/2007. PART I, ROW A, COLUMN F(9): THE PURPOSE OF THE ISSUE IS TO PARTIALLY REFUND ISSUES DATED 06/19/2008 AND 02/10/2011. PART II, LINE 3, COLUMNS B AND C: THE DIFFERENCE BETWEEN ISSUE PRICE FROM PART I, COLUMN E AND TOTAL PROCEEDS SHOWN IN PART II IS INVESTMENT EARNINGS. PART II, LINE 11, COLUMNS A,C, AND D: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. A (9)ALLEGHENY COUNTY HIGHER EDUC BUILD AUTH 251425398 01728RLR8 2016-05-05 68038418 SEE PART VI 0 0 0 A 68038418 67532577 438697 67144 2016 0 1 1 1 A 0 1 1 1 0 0 0 1 A 0 1 0 0 0 0 0 0 1 A 1 M OVERBY SPOUSE OF OFFICER, TIMOTHY R. AUSTIN, PROVOST/VP ACADEMIC AFFAIRS 83906 M. OVERBY IS EMPLOYED AS AN ASSOCIATE PROFESSOR. 0 X 1 0 FMV X 0 X 41 1443467 FMV X 1 331000 FMV X EQUIPMENT 1 0 FMV X AUCTION OR PRIZES 11 0 FMV X RECEPTION 2 0 FMV 0 0 1 0 PART I, LINE 33: DONATED STOCK IS SOLD UPON RECEIPT. SCHEDULE M, LINE 33: SMALL ITEMS WITH A DE MINIMIS FMV ARE NOT RECORDED IN THE FINANCIAL STATEMENTS. SCHEDULE M, COLUMN (B) NUMBER OF CONTRIBUTIONS IS BASED ON NUMBER OF DONORS, NOT NUMBER OF ITEMS DONATED. FORM 990, PART VI, SECTION A, LINE 6 DUQUESNE UNIVERSITY IS A PENNSYLVANIA NONPROFIT CORPORATION RECOGNIZED AS AN IRC SECTION 501(C)(3) ORGANIZATION. AS PER THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, IT SHALL HAVE MEMBERS. THE MEMBERS OF THE UNIVERSITY SHALL BE THE PROVINCIAL SUPERIOR, THE MEMBERS OF THE PROVINCIAL COUNCIL, AND SUCH OTHER VOWED MEMBERS OF THE CONGREGATION OF THE HOLY SPIRT PROVINCE OF THE UNITED STATES AS ARE APPOINTED BY THE PROVINCIAL SUPERIOR WITH THE CONSENT OF THE PROVINCIAL COUNCIL SO THAT THERE ARE AT ALL TIMES SIX MEMBERS BUT NO MORE THAN 10 MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A PURSUANT TO THE UNIVERSITY'S ARTICLES, THE BOARD OF DIRECTORS SHALL BE ELECTED ANNUALLY BY THE MEMBERS (AS DEFINED ABOVE). IN ADDITION, THERE ARE SEVEN EX-OFFICIO VOTING MEMBERS OF THE BOARD: THE PRESIDENT OF THE UNIVERSITY, THE VICAR/DIRECTOR OF THE ROMAN CATHOLIC DIOCESE OF PITTSBURGH, PA, THE CHAIRMAN, VICE-CHAIRMAN AND SECRETARY OF THE MEMBERS, THE VP FOR MISSION & IDENTITY AT THE UNIVERSITY AND THE PRESIDENT OF THE DUQUESNE UNIVERSITY ALUMNI ASSOCIATION. FORM 990, PART VI, SECTION A, LINE 7B CERTAIN POWERS ARE RESERVED TO THE MEMBERS INCLUDING BUT NOT LIMITED TO, ELECTION AND REMOVAL OF ANY INDIVIDUAL MEMBER OF THE BOARD OF DIRECTORS, THE RIGHT TO AMEND, ALTER, MODIFY OR REPEAL GOVERNING DOCUMENTS, APPROVE CERTAIN TRANSACTIONS AS SET FORTH IN THE BYLAWS, ISSUE STATEMENTS OF POLICY REGARDING PHILOSOPHY AND MISSION, APPROVE APPOINTMENT OF THE UNIVERSITY PRESIDENT AND CONFIRM OFFICER ELECTIONS, AND APPROVE EMPLOYMENT CONTRACTS OF UNIVERSITY OFFICERS. FORM 990, PART VI, SECTION B, LINE 11 THE DRAFT FORM 990, 990-T AND REQUIRED SCHEDULES ARE REVIEWED WITH THE ORGANIZATION'S INTERNAL MANAGEMENT AS WELL AS THE AUDIT AND FINANCE COMMITTEE. UPON COMPLETION OF THIS REVIEW, THE FORMS ARE FINALIZED AND A COMPLETE COPY IS PROVIDED TO THE BOARD OF DIRECTORS VIA AN INTRANET SITE IN ADVANCE OF FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, A CONFLICT OF INTEREST FORM IS GIVEN TO EMPLOYEES OF THE UNIVERSITY AND TO THE BOARD OF DIRECTORS INCLUDING THE CORPORATION MEMBERS, OFFICERS, HIGHEST PAID AND KEY EMPLOYEES. ALL MUST COMPLETE THIS FORM. THIS CONFLICT OF INTEREST FORM HAS BEEN ENHANCED TO INCLUDE MORE DETAILED QUESTIONS RELATING TO THE 2015 FORM 990, TO REQUEST INFORMATION REQUIRED BY THE FORM. FORM 990, PART VI, SECTION B, LINE 15A COMPENSATION OF THE PRESIDENT IS DETERMINED BY THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS. COMPENSATION OF OTHER OFFICERS IS DETERMINED BY THE PRESIDENT OF THE UNIVERSITY AND REVIEWED WITH CHAIRPERSON OF THE BOARD. COMPENSATION OF KEY EMPLOYEES: THE OFFICE OF HUMAN RESOURCES DEVELOPS AND MAINTAINS A WAGE AND SALARY PROGRAM TO ENSURE FAIR AND EQUITABLE COMPENSATION FOR ADMINISTRATIVE, PROFESSIONAL, AND CLERICAL STAFF OF THE UNIVERSITY. THE PLAN ESTABLISHES PAY RANGES FOR POSITIONS TO ESTABLISH INTERNAL EQUITY, AND ALSO USES SURVEYS OF LOCAL AND NATIONAL INSTITUTIONS, WHICH MAINTAIN SIMILAR OR COMPARABLE EMPLOYMENT SITUATIONS. THE DOCUMENTED RANGES ARE REVIEWED PERIODICALLY AND MODIFIED ACCORDINGLY. FACULTY SALARIES ARE SET BY THE DEAN IN CONSULTATION WITH THE PROVOST AND ARE BASED UPON RELEVANT MARKET AND DISCIPLINE BASED SURVEYS. FORM 990, PART VI, SECTION C, LINE 19 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT MAKES ITS GOVERNANCE DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENT AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: NET SPECIAL EVENT HELD IN AGENCY FUND LIABILITY 11,340. ROUNDING 1. LOSS ON DEFEASANCE OF BOND -10,190,336. FORM 990, PART XII, LINE 2C, OVERSIGHT OF FINANCIAL AUDIT: DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FINANCIAL STATEMENTS ARE AUDITED BY AN INDEPENDENT ACCOUNTING FIRM. IN ADDITION, DUQUESNE UNIVERSITY OF THE HOLY SPIRIT HAS A COMMITTEE THAT ASSUMES THE RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND ITS SELECTION OF THE INDEPENDENT ACCOUNTING FIRM. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. PART VI 1A THE EXECUTIVE COMMITTEE SHALL HAVE THE POWER TO TRANSACT ALL REGULAR BUSINESS OF THE UNIVERSITY BETWEEN MEETINGS OF THE BOARD. ALL MATTERS OF MAJOR IMPORTANCE WILL BE REPORTED TO THE BOARD. THE EXECUTIVE COMMITTEE SHALL MEET AS NECESSARY. EASTERN CONGREGATION OF THE HOLY SPIRIT PROVINCE OF THE US 6230 BRUSH RUN ROAD BETHEL PARK PA 151022214 270213864 RELIGIOUS CONGREGATION PA 501(C)(3) 170(B)(1)(A)(I) N/A 0 THE DIETRICH FOUNDATION 600 GRANT STREET SUITE 5360 PITTSBURGH PA 15219 364711746 TO SUPPORT FUNCTIONS OF & CARRY OUT THE PURPOSES OF DUQUESNE PA 501(C)(3) 509(A)(3) N/A 0 DUQUESNE UNIVERSITY SCHOOL OF BUSINESS ALUMNI ASSOCIATION 600 FORBES AVE SCH OF BUSINESS PITTSBURGH PA 15282 251661703 TO SUPPORT SCHOOL OF BUSINESS THROUGH RELATIONSHIPS WITH ALUMNI PA 501(C)(3) 170(B)(1)(A)(VI) N/A 0 CHARLES HENRY LEACH II FUND FOR DUQUESNE UNIVERSITY 600 FORBES AVE 405 ADMIN PITTSBURGH PA 15282 464483460 TO FOSTER THE CHARITABLE,SCIENTIFIC AND EDUCATIONAL PURPOSES OF FOUNDATION PA 501(C)(3) 509(A)(3) DUQUESNE UNIVERSITY 1 ELIZABETH K WINGERTER CHARITABLE FOUNDATION SECURITY NATL TRUST CO 100 E KING S LANCASTER PA 17608 272498681 TO PROVIDE SUPPORT FOR DUQUESNE UNIVERSITY SCHOOL OF EDUCATION PA 501(C) (3) N/A 0 FRANK T EBBERTS CHARITABLE FOUNDATION C/O PNC BANK 620 LIBERTY AVE 10TH F PITTSBURGH PA 15222 256285631 TO ENDOW A CHAIR IN BUSINESS LAW AT DUQUESNE UNIVERSITY PA SECTION 4947 (A) (1) N/A 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0