2017-05-12T13:54:24-05:00 2016-06-30 910189318 MOSS ADAMS LLP 4747 EXECUTIVE DRIVE SUITE 1300 SAN DIEGO CA 92121 990 2015-07-01 952544535 UNIVERSITY OF SAN DIEGO UNIV 6192604600 5998 ALCALA PARK SAN DIEGO CA 921102492 TERRY KALFAYAN VP FOR FINANCE AND CFO 6192605998 2017-05-12 1 PATRICIA J MAYER P00188643 8586271400 2015 2021-01-29 14:40:06Z JAMES T HARRIS III 5998 ALCALA PARK SAN DIEGO CA 921102492 895522802 0 X WWW.SANDIEGO.EDU X 1949 CA POST SECONDARY EDUCATION 32 31 5879 1520 326235 -1531815 37971679 47573682 367008865 375923160 37860100 12956833 10567177 10395570 453407821 446849245 101582844 103949093 0 0 197051931 208064875 0 0 9647066 98082414 103870965 396717189 415884933 56690632 30964312 1208192519 1204649504 272898975 280925484 935293544 923724020 THE UNIVERSITY OF SAN DIEGO IS A ROMAN CATHOLIC INSTITUTION COMMITTED TO ADVANCING ACADEMIC EXCELLENCE, EXPANDING LIBERAL AND PROFESSIONAL KNOWLEDGE, CREATING A DIVERSE AND INCLUSIVE COMMUNITY, AND PREPARING LEADERS DEDICATED TO ETHICAL CONDUCT AND COMPASSIONATE SERVICE. 0 0 331322115 103949093 386140592 THE UNIVERSITY OF SAN DIEGO IS ENGAGED IN POST-SECONDARY EDUCATION OF APPROXIMATELY 5,609 UNDERGRADUATE STUDENTS AND 1,290 GRADUATE AND PROFESSIONAL STUDENTS, AND 772 LAW STUDENTS; THIS PROGRAM INCLUDES ROOM & BOARD FOR THE STUDENT POPULATION. 331322115 1 1 0 1 0 0 0 1 0 1 1 0 0 1 1 1 1 0 1 1 1 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 1 1 0 0 1 0 0 0 0 0 0 0 0 1 754 0 1 5879 1 1 1 1 CJ 0 0 0 1 1 0 0 0 0 X 32 31 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X X OFFICE OF THE CONTROLLER 6192602302 5998 ALCALA PARK HUGHES ADMINISTRAT SAN DIEGO CA 92110 ANN NAVARRA TRUSTEE 1.00 X 0 0 0 BYRON C ROTH TRUSTEE 1.00 X 0 0 0 CINDY BASSO TRUSTEE 1.00 X 0 0 0 CONSTANCE M CARROLL PHD TRUSTEE 1.00 X 0 0 0 DANIEL C HERBERT TRUSTEE 1.00 X 0 0 0 DARLENE MARCOS SHILEY TRUSTEE 1.00 X 0 0 0 DARRIN MONTALVO TRUSTEE 1.00 X 0 0 0 DONALD R KNAUSS TRUSTEE 1.00 X 0 0 0 FRANK D ALESSIO TRUSTEE 1.00 X 0 0 0 JAMES B MCCARTHY TRUSTEE 1.00 X 0 0 0 JAMES D POWER IV TRUSTEE 1.00 X 0 0 0 JAMES T HARRIS III PRESIDENT AND TRUSTEE 40.00 X X 222541 0 97148 JEFF MARTIN TRUSTEE 1.00 X 0 0 0 KEVIN R GREEN TRUSTEE 1.00 X 0 0 0 LUIS MAIZEL TRUSTEE 1.00 X 0 0 0 MARGARITA PALAU HERNANDEZ ESQ TRUSTEE (ENDING 6/30) 1.00 X 0 0 0 MATTHEW J RENO TRUSTEE 1.00 X 0 0 0 PETER SEIDLER TRUSTEE 1.00 X 0 0 0 REVEREND PETER MCGUINE TRUSTEE 1.00 X 0 0 0 RICHARD K DAVIS ENDING 630 TRUSTEE 1.00 X 0 0 0 RICHARD M BARTELL TRUSTEE 1.00 X 0 0 0 ROBERT DEAN TRUSTEE 1.00 X 0 0 0 ROGER AP JOSEPH TRUSTEE 1.00 X 0 0 0 RON L FOWLER TRUSTEE 1.00 X X 0 0 0 ROYAL W CARSON III TRUSTEE 1.00 X 0 0 0 SISTER CAROLYN OSIEK RSCJ THD TRUSTEE 1.00 X 0 0 0 SISTER MARY THERESA MOSER RSCJ PHD TRUSTEE 1.00 X 0 0 0 STANLEY W LEGRO TRUSTEE 1.00 X 0 0 0 SUSAN H MALLORY TRUSTEE 1.00 X 0 0 0 SUSANNE STANFORD TRUSTEE 1.00 X 0 0 0 VERY REV MSGR RICHARD F DUNCANSON TRUSTEE 1.00 X 0 0 0 WILLIAM BARULICH TRUSTEE 1.00 X 0 0 0 ANDREW T ALLEN VICE PRESIDENT AND PROVOST 40.00 X 396147 0 40780 CARMEN M VAZQUEZ VICE PRESIDENT, STUDENT AFFAIRS 40.00 X 290741 0 30757 KY SNYDER VICE PRESIDENT, ATHLETICS AND FACILITIES MANAGEMEN 40.00 X 356871 0 80996 REV MSGR DANIEL DILLABOUGH VICE PRESIDENT, MISSION AND MINISTRY 40.00 X 225760 0 36779 TERRY KALFAYAN VICE PRESIDENT, FINANCE AND CFO 40.00 X 299322 0 40782 TIMOTHY L O'MALLEY VICE PRESIDENT, UNIVERSITY RELATIONS 40.00 X 329147 0 44490 CHELL A ROBERTS DEAN, SCHOOL OF ENGINEERING 40.00 X 280188 0 89408 JAIME ALONSO GOMEZ DEAN, SCHOOL OF BUSINESS 40.00 X 255652 0 27362 JASON LEMON DEAN, PROFESSIONAL AND CONTINUING EDUCATION 40.00 X 207695 0 23598 NOELLE NORTON DEAN, COLLEGE OF ARTS AND SCIENCES 40.00 X 228608 0 49754 PATRICIA MARQUEZ DEAN, SCHOOL OF PEACE STUDIES 40.00 X 248214 0 41619 SALLY BROSZ HARDIN DEAN, SCHOOL OF NURSING AND HEALTH SCIENCE 40.00 X 219697 0 39097 STEPHEN C FERRUOLO DEAN, SCHOOL OF LAW 40.00 X 372517 0 33232 THERESA BYRD DEAN, UNIVERSITY LIBRARY 40.00 X 166050 0 28495 ALLEN LAMONT SMITH HEAD COACH, MEN'S BASKETBALL 40.00 X 332511 0 47268 DAVID PYKE FORMER DEAN, SCHOOL OF BUSINESS 40.00 X 306436 0 45004 MARY E LYONS FORMER PRESIDENT AND TRUSTEE 40.00 X 701369 0 116727 STEVEN SMITH FACULTY, SCHOOL OF LAW 40.00 X 318822 0 40810 WILLIAM GRIER FORMER HEAD COACH, MEN'S BASKETBALL 40.00 X 363551 0 36455 PAULA CORDEIRO FORMER DEAN, SOLES 40.00 X 204488 0 28148 6326327 0 1018709 363 1 1 0 DPR CONSTRUCTION 5010 SHOREHAM PLACE SAN DIEGO CA 92122 CONSTRUCTION SERVICES 12234006 LEVEL 10 CONSTRUCTION 1050 ENTERPRISE WAY 250 SUNNYVALE CA 94089 CONSTRUCTION SERVICES 10027364 BALFOUR BEATTY CONSTRUCTION LLC 10620 TREENA STREET 300 SAN DIEGO CA 92131 CONSTRUCTION SERVICES 3230604 CAMBRIDGE ASSOCIATES 100 SUMMER STREET 13 BOSTON MA 21100 INVESTMENT CONSULTANT 1009307 MIND STREAMS LLC 7227 NORTH 16TH STREET 190 PHOENIX AZ 85020 EDUCATIONAL CONSULTANT 530505 34 928641 10625788 36019253 5735393 47573682 TUITION AND FEES 900099 335267532 335267532 STUDENT RES & BOARD 721310 36986816 36986816 PARKING SERVICES 611710 2500004 2500004 STUDENT LOAN INTEREST 611710 1168808 1168808 375923160 6445618 6445618 457512 506597 -49085 -49085 -49085 393759230 60424760 388825606 58847169 4933624 1577591 6511215 6511215 249073 928641 494185 -245112 -245112 BOOKSTORE 451211 5417765 5393553 24212 ATHLETICS & RECREATION 611710 2231746 2231746 SUMMER CONFERENCES 611710 1248724 548416 700308 1791532 2051204 -398285 138613 10689767 446849245 386148079 326235 12801249 103949093 103949093 6510826 4153082 1230188 1127556 154657496 115557217 34180368 4919911 16012394 12041278 3278073 693043 20296046 15454803 4448398 392845 10588113 7962233 2167609 458271 46000 46000 85249 85249 2239196 1940371 298825 20939625 14053463 6205130 681032 2107486 1687724 413745 6017 7137751 3573224 2880850 683677 5886730 3532038 2354692 7313710 5674723 1638984 3 7299886 5587617 1560993 151276 1920488 1574503 295138 50847 7688558 6519123 1169435 15827691 9290483 6382243 154965 1812253 212512 1599741 COST OF SALES 10107000 10052858 54196 -54 EQUIPMENT 3103439 1356187 1691104 56148 BOOKS AND OTHER LIBRARY 2778806 2778806 RECRUITING 1059089 845987 212945 157 6518008 3524790 2721846 271372 415884933 331322115 74915752 9647066 1 12942503 9327445 30395815 27885638 5941750 5866473 39368145 39763559 1875063 1760195 4520658 5317472 684025126 172411331 506086456 511613795 442283421 456731034 164778708 146383892 1208192519 1204649504 51589296 49138729 13989390 15067627 165033617 161706008 4951219 4126271 37335453 50886849 272898975 280925484 X 615170385 613797346 144240316 129928958 175882843 179997716 935293544 923724020 1208192519 1204649504 X 30964312 -44113498 1579662 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 0 0 0 0 1 172417 0 0 172417 0 PART II-B, LINE 1: PART IIB, LINE 1J: FACULTY WITH THE UNIVERSITY'S SCHOOL OF LAW IN THE CENTER FOR PUBLIC INTEREST AND CHILDREN'S ADVOCACY INSTITUTE OFFERED THEIR RESEARCH DATA AND LEGAL EXPERTISE IN AN ATTEMPT TO INFLUENCE PENDING LEGISLATION CONCERNING CONSUMERS RIGHTS AND CHILDREN'S HEALTH, SAFETY AND WELFARE. NO ATTEMPT WAS MADE BY THE UNIVERSITY TO INFLUENCE A POLITICAL CAMPAIGN OF ANY OFFICE, NOR WERE ANY POLITICAL CONTRIBUTIONS MADE. TOTAL EXPENDITURES WERE $172,417. 4061789 X X 0 469984254 12465689 -16792900 6728035 9132538 449796470 468765728 13643372 474660 2743967 10155539 469984254 395588888 13803869 65156127 1925621 3857535 468765728 345592715 15282749 40951073 1770336 4467313 395588888 326799097 29964033 -5642158 1507177 4021080 345592715 0.44000 0.56000 0.00000 0 0 13642786 51027875 64670661 547600380 143429222 404171158 67692296 28982109 38710187 4061789 4061789 511613795 ALTERNATIVE ASSET PARTNERSHIPS - DISTRESSED/DEBT RELATED 8369244 ALTERNATIVE ASSET PARTNERSHIPS - ENERGY/RESOURCES 11116658 ALTERNATIVE ASSET PARTNERSHIPS - INTERNATIONAL PRIVATE EQUITY 11073917 ALTERNATIVE ASSET PARTNERSHIPS - REAL ESTATE 9024767 ALTERNATIVE ASSET PARTNERSHIPS - U.S. PRIVATE EQUITY 10725100 ALTERNATIVE ASSET PARTNERSHIPS - VENTURE CAPITAL 14367645 MARKETABLE ALTERNATIVES - DISTRESSED 6395204 MARKETABLE ALTERNATIVES - DIVERSIFIED ARBITRAGE 20232738 MARKETABLE ALTERNATIVES - DIVERSIFIERS 9780751 MARKETABLE ALTERNATIVES - EVENT DRIVEN 13127875 MARKETABLE ALTERNATIVES - GLOBAL LONG/SHORT 25118650 MARKETABLE ALTERNATIVES - OPPORTUNISTIC 6109662 WEST COAST CONFERENCE 941681 146383892 REFUNDABLE ADVANCES 12409391 BOND INTEREST RATE SWAP 38477458 50886849 X 299129000 -44113498 -44113498 343242498 103606747 103606747 446849245 310698000 1001355 1001355 309696645 106188288 106188288 415884933 PART III, LINE 4: THEY SEEK TO STIMULATE INTEREST AND PRIDE AS WELL AS EMPHASIZE THE CULTURAL VALUE OF USD'S FINE ARTS PROGRAMS. PART V, LINE 4: THE UNIVERSITY OF SAN DIEGO ENDOWMENT FUNDS ARE UTILIZED BASED ON DONOR'S INTENT; AS OF JUNE 30, 2016 THE ALLOCATION OF ENDOWMENT FUNDS WAS AS FOLLOWS: ACADEMIC SUPPORT - 27.5%, TUITION FUNDED QUASI - 39.8%, SCHOLARSHIPS - 14.4%, INSTRUCTION - 4.7%, PLANT MAINTENANCE AND OPERATIONS - 2.5%, PUBLIC SERVICE - 4.7% AND OTHER INSTITUTIONAL SUPPORT - 6.3%. PART X, LINE 2: THE UNIVERSITY IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE ("IRC") AND SECTION 23701(D) OF THE CALIFORNIA REVENUE AND TAXATION CODE. THE UNIVERSITY HAS NO UNRECOGNIZED TAX BENEFITS OR LIABILITIES AS OF JUNE 30, 2016 AND 2015. THE UNIVERSITY FILES AN EXEMPT ORGANIZATION RETURN AND APPLICABLE UNRELATED BUSINESS INCOME TAX RETURN IN THE U.S. FEDERAL JURISDICTION AND WITH THE CALIFORNIA FRANCHISE TAX BOARD. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES INCLUDED IN INCOME -506,597. SCHOLARSHIPS INCLUDED IN EXPENSES 103,949,093. SPECIAL EVENT EXPENSES INCLUDED IN INCOME -494,185. ROUNDED FINANCIAL STATEMENT DIFFERENCE -1,097. K-1 PASSTHROUGH LOSS -1,579,662. RECLASS INVESTMENT MANAGEMENT FEES 2,239,195. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES INCLUDED IN INCOME 506,597. SPECIAL EVENT EXPENSES INCLUDED IN INCOME 494,185. ROUNDED FINANCIAL STATEMENT DIFFERENCE 573. PART XII, LINE 4B - OTHER ADJUSTMENTS: SCHOLARSHIPS INCLUDED IN EXPENSES 103,949,093. RECLASS INVESTMENT MANAGEMENT FEES 2,239,195. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 UNIVERSITY OF SAN DIEGO'S RACIALLY NONDISCRIMINATORY POLICY PUBLISHED IN ALL RECRUITING BROCHURES AND ADVERTISEMENTS AS WELL AS UNDERGRADUATE AND GRADUATE BULLETINS AND CATALOGS. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY OF SAN DIEGO RECEIVED AN ESTIMATED $120.9M IN CONTRIBUTIONS FROM FEDERAL AND STATE AGENCIES FOR ASSISTANCE IN PROVIDING POST-SECONDARY EDUCATION. THIS INCLUDES $91.8M IN FEDERAL FAMILY EDUCATION LOANS. CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES STUDY ABROAD PROGRAMS 82298 EAST ASIA AND THE PACIFIC PROGRAM SERVICES STUDY ABROAD PROGRAMS 213398 EUROPE (INCLUDING ICELAND AND GREENLAND) 1 1 PROGRAM SERVICES STUDY ABROAD PROGRAMS 3359590 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES STUDY ABROAD PROGRAMS 44756 NORTH AMERICA (CANADA AND MEXICO) PROGRAM SERVICES STUDY ABROAD PROGRAMS 285363 SOUTH AMERICA PROGRAM SERVICES STUDY ABROAD PROGRAMS 81488 SOUTH ASIA PROGRAM SERVICES STUDY ABROAD PROGRAMS 6086 SUB-SAHARAN AFRICA PROGRAM SERVICES STUDY ABROAD PROGRAMS 8660 CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 10006808 1 1 0 0 1 1 4081639 10006808 14088447 1 0 0 1 1 0 PART I, LINE 3: BOOK VALUE IS THE ACCOUNTING METHOD USED FOUNDERS GALA 607582 483703 123879 260184 SPORTS BANQUET 230625 199125 31500 85342 6 339507 245813 93694 148659 1177714 928641 249073 494185 494185 -245112 1 USD SCHOLARSHIPS 3153 62444634 STUDENT AID - GRADUATE AND LAW 1022 18820305 STUDENT AID - ATHLETICS AND RECREATION 194 7646639 STUDENT AID - PRIVATE 256 2403145 ENDOWED SCHOLARSHIPS 360 6728035 STUDENT AID - RESIDENCE AND BOARD 85 907579 FEDERAL SCHOLARSHIPS AND GRANTS 536 4998756 PART I, LINE 2: THE UNIVERSITY AWARDS SCHOLARSHIPS TO INDIVIDUAL STUDENTS TO OFFSET THE COST OF TUITION, FEES, AND ROOM AND BOARD. X X X X 1 1 X X X X 1 1 0 0 0 0 0 1 0 JAMES T HARRIS III PRESIDENT AND TRUSTEE 191917 0 0 0 30624 0 5300 0 91848 0 319689 0 0 0 ANDREW T ALLEN VICE PRESIDENT AND PROVOST 337142 0 24782 0 34223 0 31800 0 8980 0 436927 0 0 0 CARMEN M VAZQUEZ VICE PRESIDENT, STUDENT AFFAIRS 226672 0 18578 0 45491 0 29419 0 1338 0 321498 0 0 0 KY SNYDER VICE PRESIDENT, ATHLETICS AND FACILI 299651 0 36506 0 20714 0 31800 0 49196 0 437867 0 0 0 REV MSGR DANIEL DILLABOUGH VICE PRESIDENT, MISSION AND MINISTRY 161555 0 17023 0 47182 0 23373 0 13406 0 262539 0 0 0 TERRY KALFAYAN VICE PRESIDENT, FINANCE AND CFO 260063 0 20389 0 18870 0 31800 0 8982 0 340104 0 0 0 TIMOTHY L O'MALLEY VICE PRESIDENT, UNIVERSITY RELATIONS 280889 0 20217 0 28041 0 31800 0 12690 0 373637 0 0 0 CHELL A ROBERTS DEAN, SCHOOL OF ENGINEERING 277479 0 0 0 2709 0 31800 0 57608 0 369596 0 0 0 JAIME ALONSO GOMEZ DEAN, SCHOOL OF BUSINESS 222175 0 0 0 33477 0 22076 0 5286 0 283014 0 0 0 JASON LEMON DEAN, PROFESSIONAL AND CONTINUING ED 156319 0 16784 0 34592 0 22700 0 898 0 231293 0 0 0 NOELLE NORTON DEAN, COLLEGE OF ARTS AND SCIENCES 208389 0 0 0 20219 0 28800 0 20954 0 278362 0 0 0 PATRICIA MARQUEZ DEAN, SCHOOL OF PEACE STUDIES 210953 0 0 0 37261 0 30420 0 11199 0 289833 0 0 0 SALLY BROSZ HARDIN DEAN, SCHOOL OF NURSING AND HEALTH S 193735 0 0 0 25962 0 26820 0 12277 0 258794 0 0 0 STEPHEN C FERRUOLO DEAN, SCHOOL OF LAW 362215 0 0 0 10302 0 31800 0 1432 0 405749 0 0 0 THERESA BYRD DEAN, UNIVERSITY LIBRARY 139714 0 0 0 26336 0 20700 0 7795 0 194545 0 0 0 ALLEN LAMONT SMITH HEAD COACH, MEN'S BASKETBALL 314511 0 0 0 18000 0 31800 0 15468 0 379779 0 0 0 DAVID PYKE FORMER DEAN, SCHOOL OF BUSINESS 301984 0 0 0 4452 0 31800 0 13204 0 351440 0 0 0 MARY E LYONS FORMER PRESIDENT AND TRUSTEE 500513 0 40689 0 160167 0 31800 0 84927 0 818096 0 0 0 STEVEN SMITH FACULTY, SCHOOL OF LAW 304141 0 0 0 14681 0 31800 0 9010 0 359632 0 0 0 WILLIAM GRIER FORMER HEAD COACH, MEN'S BASKETBALL 159187 0 4000 0 200364 0 27250 0 9205 0 400006 0 0 0 PAULA CORDEIRO FORMER DEAN, SOLES 165334 0 0 0 39154 0 20533 0 7615 0 232636 0 0 0 PART I, LINE 1A SCHEDULE J, PART I, LINE 1A: TRAVEL FOR COMPANIONS - THE UNIVERSITY PROVIDES FOR THE PRESIDENT'S SPOUSE TO TRAVEL WITH HIM WHEN HER PRESENCE IS REQUIRED FOR UNIVERSITY BUSINESS PURPOSES. NO PART OF THIS BENEFIT IS TREATED AS TAXABLE COMPENSATION. SCHEDULE J, PART I, LINE 1A: TAX INDEMNIFICATION AND GROSS-UP PAYMENTS - FORMER PRESIDENT LYONS RECEIVED COMPENSATION TO COVER THE TAXES ASSOCIATED WITH HER RETIREMENT GIFT, WHICH WAS THE VEHICLE SHE USED IN HER ROLE AS PRESIDENT. THIS BENEFIT WAS TREATED AS TAXABLE COMPENSATION. SCHEDULE J, PART I, LINE 1A: HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE - THE PRESIDENT IS PROVIDED ON CAMPUS HOUSING AND IT IS RECORDED AS A NON-TAXABLE BENEFIT. THE VICE PRESIDENT FOR MISSION AND MINISTRY IS PROVIDED ON CAMPUS HOUSING AND IT IS RECORDED AS A NON-TAXABLE BENEFIT. THE VALUE OF THESE BENEFITS ARE REPORTED IN "NONTAXABLE BENEFITS" ON SCHEDULE J, PART II, COLUMN D. PRESIDENT HARRIS OCCUPIED THE RESIDENCE FOR ALL OF FISCAL YEAR 2016, BUT FORMER PRESIDENT LYONS OCCUPIED THE HOUSE FOR THE FIRST HALF OF CALENDAR YEAR 2015. SCHEDULE J, PART I, LINE 1A: PERSONAL SERVICES - THE PRESIDENT WAS PROVIDED HOUSEKEEPING AND FACILITIES MAINTENANCE SERVICES FOR THE PRESIDENT'S ON-CAMPUS RESIDENCE. NO PART OF THE BENEFIT WAS TREATED AS TAXABLE COMPENSATION. THE VALUE OF THIS BENEFIT IS REPORTED IN "NONTAXABLE BENEFITS" ON SCHEDULE J, PART II, COLUMN D. PART I, LINES 4A-B SCHEDULE J, PART I, LINE 4A: WILLIAM GRIER RECEIVED A SEVERANCE PAYMENT IN THE AMOUNT OF $185,000. SCHEDULE J, PART I, LINE 4B: JAMES HARRIS III, PRESIDENT, WAS ELIGIBLE TO PARTICIPATE IN A 457(F) PLAN. NO FUNDING OCCURED IN 2015, AND CONTRIBUTIONS WERE MADE AUGUST 2016. PART I, LINE 7 NON-FIXED PAYMENTS RECEIVED BY LISTED PERSONS ON SCHEDULE J, PART II, REPRESENT DISCRETIONARY BONUSES NOT BASED ON A FORMULA SPECIFIED IN CONTRACTS. A CALIFORNIA EDUCATION FACILITIES AUTHORITY 521705592 130178YD2 2011-03-16 19562314 NOTE 1 0 0 0 B CALIFORNIA MUNICIPAL FINANCE AUTHORITY 201563466 13048TKY8 2011-10-06 43574459 NOTE 2 0 0 0 C CALIFORNIA MUNICIPAL FINANCE AUTHORITY 201563466 13048TKY8 2012-07-03 10796502 NOTE 3 0 0 0 D CALIFORNIA MUNICIPAL FINANCE AUTHORITY 201563466 2015-07-23 91750000 NOTE 4 0 0 0 A 7725000 19562315 3904 1 0 1 1 B 1630000 43574459 152511 1 0 1 1 C 10796502 3018 1 0 1 1 D 595000 91750000 1 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 0 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 0 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 0 D 0 0 0 0 0.00000 0.00000 0.00000 0 0 0 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 0 1 0 0 0 0 0 1 D 0 1 0 0 1 1 GEORGE K BAUM FINANCIAL SERVICES 30.000000000000 0 0 0 0 1 A 1 B 1 C 1 D 1 NOTE 1 PART I, COLUMN (F) - DESCRIPTION OF PURPOSE SERIES 2011 (ISSUE DATE MARCH 16, 2011): ADVANCE REFUNDING OF CEFA SERIES 1998 (ISSUE DATE FEBRUARY 25, 1998). NOTE 2 PART I, COLUMN (F) - DESCRIPTION OF PURPOSE SERIES 2011A AND 2011B (ISSUE DATE OCTOBER 6, 2011): SERIES 2011A WAS AN ADVANCE REFUNDING OF THE CALLABLE PORTION OF THE CEFA SERIES 1999 (ISSUE DATE FEBRUARY 4, 1999). SERIES 2011B WAS AN ADVANCE REFUNDING OF THE COUNTY OF SAN DIEGO SERIES 2001 CERTIFICATES OF PARTICIPATION (ISSUE DATE MAY 14, 2001). NOTE 3 PART I, COLUMN (F) - DESCRIPTION OF PURPOSE SERIES 2012 (ISSUE DATE JULY 3, 2012): ADVANCE REFUNDING OF CEFA SERIES 2002A (ISSUE DATE JUNE 6, 2002). NOTE 4 PART I, COLUMN (F) - DESCRIPTION OF PURPOSE SERIES 2015 (ISSUE DATE JULY 23, 2015): ADVANCE REFUNDING OF SERIES 2005 (ISSUE DATE NOVEMBER 16, 2005). PART III, LINES 4 AND 5, COLUMNS A-C: PURSUANT TO IRS GUIDANCE, USD IS NOT REQUIRED TO REPORT PRIVATE BUSINESS USE INFORMATION FOR REFUNDING BONDS THAT REFUNDED BONDS ISSUED BEFORE JANUARY 1, 2003. SEE PART V - SUPPLEMENTAL INFORMATI EMPLOYEE 79059 TUITION ASSISTANCE EMPLOYEE BENEFIT ANDREW T ALLEN OFFICER 285615 SEE PART V 0 SCHEDULE L, PART III - GRANTS OR ASSISTANCE BENEFTING INTERESTED PERSONS: PER THE 990 INSTRUCTIONS, THE UNIVERSITY IS NOT REQUIRED TO IDENTIFY THE INTERESTED PERSONS WHO RECEIVED SCHOLARSHIPS, FELLOWSHIPS, AND SIMILAR FINANCIAL ASSISTANCE. INSTEAD, THE UNIVERSITY MUST GROUP EACH TYPE OF ASSISTANCE PROVIDED TO INTERESTED PERSONS. THIS IS DONE IN ORDER TO PROTECT THE IDENTITY OF THE STUDENTS. SCHEDULE L, PART III - BUSINESS TRANSACTION INVOLVING INTERESTED PERSONS: ANDREW T. ALLEN, VICE PRESIDENT AND PROVOST, IS RELATED TO DENISE DIMON, HIS WIFE, WHO IS ALSO AN EMPLOYEE AT THE UNIVERSITY. SHE IS A PROFESSOR OF ECONOMICS, THE ASSOCIATE PROVOST FOR INTERNATIONAL AFFAIRS, AND THE DIRECTOR OF THE AHLERS CENTER FOR INTERNATIONAL BUSINESS. THE AMOUNT SHOWN REPRESENTS IRS FORM W-2 BOX 5 WAGES FOR CALENDAR YEAR 2015 FOR DENISE DIMON. X 104 5392907 MARKET VALUE X 3 342486 MARKET VALUE 0 0 1 1 PART I, LINE 32B: THE UNIVERSITY UTILIZES A BROKER TO SELL STOCK GIFTS RECEIVED FORM 990, PART VI, SECTION B, LINE 11 A COPY OF THE FORM 990 IS PRESENTED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AND A COPY OF THE 990 IS AVAILABLE TO THE ORGANIZATION'S ENTIRE GOVERNING BOARD ONLINE AT THE SECURED TRUSTEE WEBSITE BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C EACH YEAR THE BOARD OF DIRECTORS AND EXCUTIVE MANAGEMENT ARE REQUIRED TO SIGN A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ANY CONFLICT IS REVIEWED AND HANDLED IN ACCORDANCE WITH THE WRITTEN POLICY. FORM 990, PART VI, SECTION B, LINE 15 THE BOARD OF TRUSTEES EXECUTIVE COMPENSATION COMMITTEE DETERMINES COMPENSATION USING COMPARABLE DATA AND CONTEMPORANEOUSLY DOCUMENTING ITS DECISIONS. THIS PROCESS IS DONE ANNUALLY FOR THE PRESIDENT AND THE VICE PRESIDENTS. THE PROVOST/VICE PRESIDENT FOR ACADEMIC AFFAIRS DETERMINES THE COMPENSATION FOR THE DEANS USING MARKET BENCHMARK DATA PREPARED INTERNALLY AND THE BENCHMARK SCHOOLS ARE SELECTED BY THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION C, LINE 18 FORMS 990 AND 990T ARE AVAILABLE TO THE PUBLIC BY VIEWING THE GUIDESTAR WEBSITE AND UPON REQUEST FROM THE OFFICE OF TAX & COMPLIANCE AT 619-260-4683; COMPLIANCE@SANDIEGO.EDU; OR ONSITE FROM THE OFFICE OF TAX & COMPLIANCE. FORM 1023 IS AVAILABLE UPON REQUEST FROM THE OFFICE OF TAX & COMPLIANCE AT 619-260-2302; COMPLIANCE@SANDIEGO.EDU; OR ONSITE FROM THE OFFICE OF TAX & COMPLIANCE. FORM 990, PART VI, SECTION C, LINE 19 AUDITED FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST FROM THE OFFICE OF THE CONTROLLER AT 619-260-2302; ACCOUNTING@SANDIEGO.EDU; GOVERNING DOCUMENTS ARE AVAILABLE UPON REQUEST FROM THE OFFICE OF THE PRESIDENT AT 619-260-4520; CONFLICT OF INTEREST POLICY IS AVAILABLE ONLINE AT WWW.SANDIEGO.EDU. FORM 990, PART XI, LINE 9: K-1 PASSTHROUGH LOSS 1,579,662.