2016-02-12T19:57:05-06:00 2015-06-30 910189318 MOSS ADAMS LLP 3121 W MARCH LN STE 200 STOCKTON CA 952192367 990 2014-07-01 941156617 PRESIDENT-BOARD OF TRUSTEES SANTA CLARA COLLEGE PRES 4085544398 500 EL CAMINO REAL SANTA CLARA CA 95053 HARRY FONG ASSISTANT TREASURER 4085544398 2016-02-12 1 TRACY S PAGLIA P00366884 2099556100 2016-02-12 2014 2016-08-17 19:52:53Z SANTA CLARA UNIVERSITY MICHAEL ENGH SJ 500 EL CAMINO REAL SANTA CLARA CA 95053 655949966 0 X WWW.SCU.EDU X 1851 CA SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. 45 41 5330 850 1161845 0 36611782 60482943 361372757 372313044 60127131 49951099 -119381 -20492 457992289 482726594 78886391 81973828 0 0 187621619 197989124 0 0 10164161 125952360 128281224 392460370 408244176 65531919 74482418 1794437266 1879840925 386340012 416009627 1408097254 1463831298 SEE SCHEDULE O 0 0 344052390 81973828 371787744 SANTA CLARA UNIVERSITY IS AN INSTITUTION OF HIGHER EDUCATION OFFERING DEGREES AT THE UNDERGRADUATE AND GRADUATE LEVEL AND LAW DEGREES. THE UNIVERSITY CONSISTS OF THE COLLEGE OF ARTS AND SCIENCES, THE SCHOOL OF ENGINEERING, THE LEAVEY SCHOOL OF BUSINESS, THE SCHOOL OF EDUCATION AND COUNSELING PSYCHOLOGY, THE SCHOOL OF LAW, AND THE JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA UNIVERSITY. CURRENT ENROLLMENT IS 8,856 STUDENTS CONSISTING OF 5,486 UNDERGRADUATE, 2,674 GRADUATE AND 696 LAW STUDENTS. IN 2015, THE UNIVERSITY AWARDED 2,798 DEGREES AT ALL ACADEMIC LEVELS. 344052390 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 0 1 0 1 1 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 1 0 0 0 1 1 1 0 0 1 1164 0 1 5330 1 1 1 1 ES UK 0 0 0 1 1 0 0 0 0 X 45 41 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA X HARRY M FONG 4085544397 500 EL CAMINO REAL SANTA CLARA CA 95053 MARGARET PEGGY BRADSHAW VICE CHAIR 4.00 X X 0 0 0 ELIZABETH LIBBY GATES MACPHEE TRUSTEE 2.00 X 0 0 0 ERICK BERRELLEZA SJ TRUSTEE 2.00 X 0 0 0 MICHAEL J CAREY TRUSTEE 4.00 X 0 0 0 MATTHEW CARNES SJ TRUSTEE 2.00 X 0 0 0 WILLIAM S CARTER TRUSTEE 2.00 X 0 0 0 LOUIS M CASTRUCCIO TRUSTEE 2.00 3.00 X 0 0 0 GERALD T COBB SJ TRUSTEE 4.00 X 0 0 0 WILLIAM T COLEMAN III TRUSTEE 2.00 X 0 0 0 ROBERT J FINOCCHIO JR CHAIRMAN 13.00 X X 0 0 0 PAUL F GENTZKOW TRUSTEE 4.00 X 0 0 0 REBECCA GUERRA TRUSTEE 2.00 X 0 0 0 SALVADOR GUTIERREZ TRUSTEE 4.00 X 0 0 0 TIMOTHY HALEY TRUSTEE 2.00 X 0 0 0 ELLEN MARIE HANCOCK TRUSTEE 4.00 X 0 0 0 RICHARD J JUSTICE TRUSTEE 2.00 X 0 0 0 JOHN P KOEPLIN SJ TRUSTEE 4.00 X 0 0 0 TIMOTHY R LANNON SJ TRUSTEE 2.00 X 0 0 0 WILLIAM P LEAHY SJ TRUSTEE 2.00 X 0 0 0 HEIDI LEBARON LEUPP TRUSTEE 4.00 X 0 0 0 JOHN JACK C LEWIS TREASURER 4.00 X X 0 0 0 JOSEPH M MCSHANE SJ TRUSTEE 2.00 X 0 0 0 KAPIL K NANDA TRUSTEE 4.00 X 0 0 0 EDWARD A PANELLI TRUSTEE 2.00 X 0 0 0 STEPHEN C SCHOTT TRUSTEE 2.00 X 0 0 0 ROBERT H SMITH TRUSTEE 2.00 X 0 0 0 TIM SMITH TRUSTEE 2.00 X 0 0 0 JOHN A SOBRATO TRUSTEE 4.00 X 0 0 0 LARRY W SONSINI SECRETARY 2.00 X X 0 0 0 GILBERT SUNGHERA SJ TRUSTEE 2.00 X 0 0 0 WILLIAM E TERRY TRUSTEE 2.00 X 0 0 0 CHARMAINE WARMENHOVEN TRUSTEE 2.00 X 0 0 0 AGNIESZKA WINKLER TRUSTEE 4.00 X 0 0 0 JOHN M SOBRATO TRUSTEE 2.00 X 0 0 0 KRISTI M BOWERS TRUSTEE 2.00 X 0 0 0 HOWARD S CHARNEY TRUSTEE 2.00 X 0 0 0 MARY STEVENS TRUSTEE 2.00 X 0 0 0 JEFFREY A MILLER TRUSTEE 2.00 X 0 0 0 BETSY S RAFAEL TRUSTEE 2.00 X 0 0 0 RICHARD D HAUGHEY TRUSTEE 2.00 X 0 0 0 RACHEL CASINI TRUSTEE 2.00 X 0 0 0 STEVE SORDELLO TRUSTEE 2.00 X 0 0 0 WILLEM P ROELANDTS TRUSTEE 2.00 X 0 0 0 PENELOPE S ALEXANDER TRUSTEE 2.00 X 0 0 0 JON R ABOITIZ THROUGH 102014 TRUSTEE 2.00 X 0 0 0 MICHAEL ENGH SJ PRESIDENT 40.00 3.00 X 0 0 0 ROBERT WARREN THROUGH 122014 ASSISTANT TREASURER 40.00 X 304541 0 36517 MICHAEL HINDERY ASSISTANT TREASURER 40.00 X 146157 0 21833 HARRY FONG ASSISTANT TREASURER 40.00 3.00 X 235037 0 34346 JOHN OTTOBONI GENERAL COUNSEL 40.00 3.00 X 288059 0 39773 MOLLY MCDONALD ASSISTANT SECRETARY 40.00 X 206820 0 43057 JIM LYONS VP, UNIVERSITY RELATIONS 40.00 X 315314 0 48508 ATOM YEE THROUGH 122014 DEAN COLLEGE ARTS/SCIENCE 40.00 X 182531 0 43204 S ANDREW STARBIRD DEAN SCHOOL OF BUSINESS 40.00 X 300149 0 51936 GODFREY MUNGAL DEAN, SCHOOL OF ENGINEERING 40.00 X 222671 0 41267 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 40.00 X 505453 0 48929 MIKE SEXTON VP, ENROLLMENT MANAGEMENT 40.00 X 264280 0 41669 DENNIS JACOBS PROVOST 40.00 X 353296 0 48291 NICHOLAS LADANY DEAN, SCHOOL OF EDUCATION 40.00 X 193071 0 40605 LISA KLOPPENBERG DEAN, LAW SCHOOL 40.00 X 356848 0 48315 KERRY KEATING MEN'S BASKETBALL HEAD COACH 40.00 X 383592 0 48629 NARENDRA AGRAWAL PROFESSOR 40.00 X 321869 0 46779 ALAN SCHEFLIN PROFESSOR 40.00 X 303543 0 26775 SUSAN PARKER ASSOCIATE PROFESSOR 40.00 X 302341 0 39621 MICHAEL EAMES PROFESSOR 40.00 X 273895 0 36458 DONALD POLDEN FORMER DEAN OF LAW SCHOOL 40.00 X 224237 0 48012 JAMES PURCELL FORMER VP, UNIV. RELATIONS 32.00 3.00 X 102965 0 26397 5786669 0 860921 411 1 1 0 BLACH CONSTRUCTION COMPANY 469 EL CAMINO REAL SUITE 100 SANTA CLARA CA 95050 CONSTRUCTION 17086048 BON APPETIT 301 MARKET STREET SANTA CLARA CA 95053 FOOD SERVICES 16439302 DEVCON CONSTRUCTION INC 690 GIBRALTAR DRIVE MILPITAS CA 95035 CONSTRUCTION 13182912 SAN JOSE CONSTRUCTION CO INC 1210 COLEMAN AVENUE SANTA CLARA CA 95050 CONSTRUCTION 2854844 FLAGSHIP FACILITY SERVICES INC 1050 N 5TH STREET SAN JOSE CA 95112 FACILITIES MAINTENANCE 2571720 39 241461 1419268 536109 58286105 5960001 60482943 TUITION FEES 525990 319697010 319697010 AUXILIARY ACTIVITIES 611710 36094211 36094211 PROGRAM FEES 611710 7214263 7214263 FED GRANTS & CONTRACTS 900099 4398426 4398426 PROGRAM SALES INCOME 453000 987790 987790 3921344 3396044 525300 372313044 11257234 636545 10620689 59596 59596 210333626 171639761 38693865 38693865 38693865 1474028 1419268 1580776 -106748 -106748 29495 2835 26660 26660 482726594 371787744 1161845 49294062 16556 16556 81951025 81951025 6247 6247 4865696 4491082 374614 78989 78989 146286038 123603383 17389125 5293530 12173364 10324609 1377875 470880 24649802 20470038 3451494 728270 9935235 8189814 1351277 394144 466831 44588 422243 423259 423259 3500 3500 3823134 3823134 25344204 19099600 4713109 1531495 1528096 1278297 33440 216359 3577566 1371018 1764819 441729 2610096 1438304 1145169 26623 8323319 5945131 2370204 7984 6323455 5643882 487852 191721 8144270 5855484 1904834 383952 10851589 8712569 2139020 36337543 32667245 3670298 4140669 3004589 1132356 3724 REPAIR & MAINTENANCE 9469168 8007138 1457815 4215 LIBRARY ACQUISITIONS 5347045 5293346 53677 22 MEMBERSHIP DUES 806331 467007 290123 49201 SPONSORED PROJECTS 355182 355182 405967 228349 131920 45698 408244176 344052390 54027625 10164161 48168107 48027849 20364575 66947478 21241858 40263766 4798313 5445935 819143 675000 748739 830426 1078953038 321782316 697855147 757170722 405813239 399943667 567930867 522845569 7603917 7882009 19093361 29808504 1794437266 1879840925 44585453 48436211 18764470 18750607 175031891 167434228 8715000 8715000 139243198 172673581 386340012 416009627 X 690138095 713777685 458382766 479694722 259576393 270358891 1408097254 1463831298 1794437266 1879840925 X 74482418 -20099692 1351318 X 0 1 X 1 1 1 X 20400857 26957801 37578237 36578041 60436701 181951637 20400857 26957801 37578237 36578041 60436701 181951637 31497783 150453854 10199829 11784866 6243959 6902875 10680285 45811814 37236 37236 227800687 1705830536 0.66050 0.71860 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 3500 3500 0 PART II-B, LINE 1: SCU PAYS ANNUAL DUES TO MEMBERSHIP ORGANIZATIONS; A PORTION OF THE ANNUAL DUES ARE USED BY THE ORGANIZATIONS FOR LOBBYING ACTIVITIES. 0 0 X X X 0 845514732 13775787 30217472 11547849 16139942 7012843 854807356 741094242 5660595 131426015 10912590 16290781 5462749 845514732 666356803 15143023 89429458 10576694 14725831 4532516 741094242 690647247 17605995 -10915566 10164755 15394203 5421915 666356803 601595259 8180820 115279995 10199873 17775547 6433407 690647247 0.18170 0.81830 0.00000 1 0 26303739 52951096 79254835 8215450 672797284 187728306 493284428 93137851 41653840 51484011 131488616 88066861 43421755 7115 94051887 4333309 89725693 757170722 VENTURE CAPITAL & PRIVATE EQUITY 180160410 F OTHER ALTERNATIVE INVESTMENTS 102751950 F HEDGE FUNDS 229302607 F NOTES RECEIVABLE 1957231 F PENDING TRADES 8673371 F 522845569 AMOUNTS HELD ON BEHALF OF OTHERS 85569155 ANNUITY OBLIGATIONS 3684964 REFUNDABLE ADVANCES - US GOVERNMENT 7365702 ASSET RETIREMENT OBLIGATION 3219433 OBLIGATIONS UNDER CAPITALIZED LEASE 72834327 172673581 X PART III, LINE 1A: THE UNIVERSITY'S COLLECTIONS ARE MADE UP OF ARTIFACTS OF HISTORICAL SIGNIFICANCE AND ART OBJECTS THAT ARE HELD FOR EDUCATIONAL, RESEARCH, AND CURATORIAL PURPOSES. THE COLLECTIONS, WHICH HAVE BEEN ACQUIRED THROUGH CONTRIBUTIONS SINCE THE UNIVERSITY'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS IN THE ACCOMPANYING CONSOLIDATED STATEMENT OF FINANCIAL POSITION. PART III, LINE 4: THE UNIVERSITY MAINTAINS THE DE SAISSET MUSEUM FOR STUDENTS WHICH IS ALSO OPEN TO THE PUBLIC. THE DE SAISSET MUSEUM SUPPORTS SANTA CLARA UNIVERSITY'S GOAL OF EDUCATING THE WHOLE PERSON THROUGH A DIVERSE AND ACCESSIBLE RANGE OF EXHIBITIONS, COLLECTIONS, AND EDUCATIONAL PROGRAMS THAT HIGHLIGHT THE ART AND HISTORY OF THE SAN FRANCISCO BAY AREA AND THE LOCAL SANTA CLARA VALLEY. PART V, LINE 4: ENDOWED GIFTS ARE MEANT TO EXIST IN PERPETUITY, AND ARE INVESTED FOR LONG-TERM GROWTH. EACH YEAR, A PORTION OF THE FUND'S EARNINGS IS MADE AVAILABLE IN THE FORM OF AN ALLOCATION TO SUPPORT STUDENT SCHOLARSHIPS, FACULTY CHAIRS, AND OTHER ENDOWED PROGRAMS THAT FURTHER THE UNIVERSITY'S STRATEGIC PRIORITIES. PART X, LINE 2: THE PREPARATION OF FINANCIAL STATEMENTS IN CONFORMITY WITH U.S. GENERALLY ACCEPTED ACCOUNTING PRINCIPLES PRESCRIBES FOR ALL ENTITIES MINIMUM THRESHOLDS FOR FINANCIAL STATEMENT RECOGNITION OF AN UNCERTAIN POSITION TAKEN IN FILING TAX RETURNS (INCLUDING WHETHER AN ENTITY IS TAXABLE IN A PARTICULAR JURISDICTION) AND REQUIRES CERTAIN EXPANDED TAX DISCLOSURES. MANAGEMENT BELIEVES NO SUCH UNCERTAIN TAX POSITIONS EXIST FOR THE UNIVERSITY AT JUNE 30, 2015 AND 2014. THE UNIVERSITY FILES INCOME TAX RETURNS IN THE U.S. FEDERAL AND OTHER STATE JURISDICTIONS, AND IS NO LONGER SUBJECT TO FEDERAL INCOME TAX EXAMINATIONS FOR TAX YEARS BEFORE 2011 FOR FEDERAL AND 2010 FOR CALIFORNIA. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE UNIVERSITY'S STUDENT NON-DISCRIMINATION POLICY IS STATED IN THE UNIVERSITY ENROLLMENT APPLICATIONS, UNDERGRADUATE AND GRADUATE BULLETINS, STUDENT HANDBOOKS AND ITS WEB-SITE. SCHEDULE E, PART I, LINE 6 FINANCIAL AID OR ASSISTANCE FROM GOVERNMENTAL AGENCIES CONSISTS OF STUDENT FINANCIAL AID RECEIVED FROM SUCH AGENCIES. 1 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 115660 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 461028 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 4554324 NORTH AMERICA (CANADA AND MEXICO) 0 0 PROGRAM SERVICES STUDY ABROAD 20505 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 268915 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 34600 CENTRAL AMERICA AND THE CARIBBEAN 1 2 PROGRAM SERVICES STUDY ABROAD AND OUTREACH 569994 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 117950 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 INVESTMENTS 2574145 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 216078054 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 869580 1 2 0 0 1 2 6142976 219521779 225664755 DONATION CENTRAL AMERICA AND THE CARIBBEAN 1 6897 CASH PAYMENT 0 BOOK 1 0 0 1 1 0 PART I, LINE 2: THE UNIVERSITY GRANTS FUNDS TO JESUIT ORGANIZATIONS AND INDIVIDUALS IN THE CENTRAL AMERICAN REGION PRIMARILY TO ASSIST STUDENTS WITH LOCAL LIVING AND EDUCATIONAL EXPENSES. IN SOME CASES (NATIONAL DISASTERS) FUNDS ARE GIVEN TO COMMUNITIES TO PROVIDE EMERGENCY RELIEF. THE GRANTS ARE STRICTLY NEED BASED AND THEIR USE IS MONITORED THROUGH FREQUENT CONTACT WITH THESE STUDENTS/COMMUNITIES ON A REGULAR BASIS. GOLDEN CIRCLE 1169262 885762 283500 456917 417442 NCIP EVENT 629318 175535 453783 1740 51512 38417 15 1094716 357971 736745 1000 22492 117740 265509 43850 164157 2893296 1419268 1474028 1000 24232 626169 303926 43850 581599 1580776 -106748 29495 2835 0 29495 2835 2835 26660 CA 1 0 0 0 1.00000 0.00000 RAMONA SAUTER 500 EL CAMINO REAL SANTA CLARA CA 95053 0 STUDIO INVESTMENTS DBA FULL HOUSE CASINO EVENTS 2795 CASINO TABLES AND DEALERS FOR EVENT. X 0 1 INTERNATIONAL FOOD AND AGRIBUSINESS MANAGEMENT ASSOCIATION (IFAMA) 1155 15TH STREET NW SUITE 500 WASHINGTON DC 20005 742585021 501(C)(3) 10000 GENERAL SUPPORT SACRED HEART NATIVITY SCHOOLS 310 EDWARDS AVENUE SAN JOSE CA 95110 952206754 501(C)(3) 6556 EVENT SPONSORSHIP 2 0 FINANCIAL AID 5070 81951025 PART I, LINE 2: THE UNIVERSITY PROVIDES GRANTS FOR SCHOLARSHIPS, FELLOWSHIPS, AND STUDENT LOANS USING GUIDELINES ESTABLISHED BY THE ORGANIZATION'S BOARD OF TRUSTEES TO ENSURE THEY ARE MADE BASED ON NEED AND OR MERIT. SCU MAKES FINANCIAL AID GRANTS TO STUDENT ACCOUNT TO OFFSET AMOUNTS THAT STUDENTS OWE THE UNIVERSITY FOR TUITION AND FEES. X X X X 0 0 0 0 0 0 0 1 0 ROBERT WARREN THROUGH 122014 ASSISTANT TREASURER 304541 0 0 0 0 0 25500 0 11017 0 341058 0 0 0 MICHAEL HINDERY ASSISTANT TREASURER 146157 0 0 0 0 0 13126 0 8707 0 167990 0 0 0 HARRY FONG ASSISTANT TREASURER 235037 0 0 0 0 0 23881 0 10465 0 269383 0 0 0 JOHN OTTOBONI GENERAL COUNSEL 288059 0 0 0 0 0 25500 0 14273 0 327832 0 0 0 MOLLY MCDONALD ASSISTANT SECRETARY 206820 0 0 0 0 0 20932 0 22125 0 249877 0 0 0 JIM LYONS VP, UNIVERSITY RELATIONS 315314 0 0 0 0 0 25500 0 23008 0 363822 0 0 0 ATOM YEE THROUGH 122014 DEAN COLLEGE ARTS/SCIENCE 182531 0 0 0 0 0 19029 0 24175 0 225735 0 0 0 S ANDREW STARBIRD DEAN SCHOOL OF BUSINESS 288149 0 0 0 12000 0 25500 0 26436 0 352085 0 0 0 GODFREY MUNGAL DEAN, SCHOOL OF ENGINEERING 222671 0 0 0 0 0 22922 0 18345 0 263938 0 0 0 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 390728 0 100000 0 14725 0 25500 0 23429 0 554382 0 0 0 MIKE SEXTON VP, ENROLLMENT MANAGEMENT 249343 0 14937 0 0 0 24746 0 16923 0 305949 0 0 0 DENNIS JACOBS PROVOST 336866 0 16430 0 0 0 25500 0 22791 0 401587 0 0 0 NICHOLAS LADANY DEAN, SCHOOL OF EDUCATION 193071 0 0 0 0 0 18676 0 21929 0 233676 0 0 0 LISA KLOPPENBERG DEAN, LAW SCHOOL 330886 0 0 0 25962 0 25500 0 22815 0 405163 0 0 0 KERRY KEATING MEN'S BASKETBALL HEAD COACH 375192 0 0 0 8400 0 25500 0 23129 0 432221 0 0 0 NARENDRA AGRAWAL PROFESSOR 232185 0 0 0 89684 0 20147 0 26632 0 368648 0 0 0 ALAN SCHEFLIN PROFESSOR 115551 0 0 0 187992 0 11750 0 15025 0 330318 0 0 0 SUSAN PARKER ASSOCIATE PROFESSOR 185197 0 0 0 117144 0 18794 0 20827 0 341962 0 0 0 MICHAEL EAMES PROFESSOR 161221 0 0 0 112674 0 16349 0 20109 0 310353 0 0 0 DONALD POLDEN FORMER DEAN OF LAW SCHOOL 221137 0 0 0 3100 0 23012 0 25000 0 272249 0 0 0 JAMES PURCELL FORMER VP, UNIV. RELATIONS 102965 0 0 0 0 0 10698 0 15699 0 129362 0 0 0 PART I, LINE 7 JOHN KERRIGAN, MIKE SEXTON, AND DENNIS JACOBS RECEIVED BONUS PAYMENTS FOR THEIR SERVICES AND PERFORMANCE DURING THE FISCAL YEAR. PRESIDENT'S COMPENSATION: THE PRESIDENT OF THE UNIVERSITY IS A MEMBER OF A RELIGIOUS CONGREGATION AND IS SUBJECT TO A VOW OF POVERTY. THE FAIR MARKET VALUE OF THE PRESIDENT'S COMPENSATION FOR HIS SERVICES IS PAID TO THE RELIGIOUS CONGREGATION OF WHICH HE IS A MEMBER. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130178RMO 2008-12-11 71636711 CONSTRUCTION AND RENOVATION OF FACILITIES, PAY OFF TAXABLE LOAN 0 0 0 B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130178WV4 2010-09-15 54289973 IMPROVEMENT & EXPANSION OF FACILITIES, REFUND 2002A BONDS 0 0 0 A 11710000 71685297 846711 17048587 53790000 2011 1 0 1 1 B 4485000 54316853 587481 35026881 18702492 2011 0 1 1 1 A 0 0 1 1 0 0.00200 0.00000 0.00200 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 A 1 B 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY DATE THE REBATE COMPUTATION WAS PERFORMED: 12/11/2013 PART I(E) AND PART II DIFFERENCE BETWEEN PART I(E) AND PART II QUESTION 3 IS DUE TO INVESTMENT EARNINGS ON BOND PROCEEDS. PART I(F), COLUMN A THE TAXABLE LOAN DATED APRIL 30, 2008 REFUNDED THE ISSUER'S SERIES 2002B AND THE SERIES 2006 BONDS. PART I(F), COLUMN B THE 2002A BONDS WERE ISSUED ON JANUARY 31, 2002. PART III, LINE 7 AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS REPORTED IN PART III, LINE 6, IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. MICHAEL SEXTON KEY EMPLOYEE SHARED EQUITY X 375000 375000 0 0 1 DENNIS JACOBS KEY EMPLOYEE SHARED EQUITY X 300000 300000 0 0 1 675000 NA N/A 4000 FINANCIAL AID EDUCATION ELIZABETH RAMIREZ FAMILY MEMBER OF WILLIAM S. CARTER, TRUSTEE 78989 EMPLOYMENT 0 SI 23 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES 3499986 LONG-TERM LEASE 0 SI 53 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES 243985 LONG-TERM LEASE 0 X 8 105975 SELLING PRICE X 166 5786156 AVERAGE MKT VALUE X MISC SUPPLIES 64 67870 SELLING PRICE 0 0 1 1 PART I, LINE 32B: THE UNIVERSITY USES STOCK BROKERS TO SELL DONATED SECURITIES AND REAL ESTATE BROKERS TO SELL DONATED REAL ESTATE. FORM 990, PART III, LINE 1: SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. STUDENT LEARNING TAKES PLACE AT THE UNDERGRADUATE AND GRADUATE LEVEL IN AN EDUCATIONAL ENVIRONMENT THAT INTEGRATES RIGOROUS INQUIRY AND SCHOLARSHIP, CREATIVE IMAGINATION, REFLECTIVE ENGAGEMENT WITH SOCIETY, AND A COMMITMENT TO FASHIONING A MORE HUMANE AND JUST WORLD. AS AN ACADEMIC COMMUNITY, WE EXPAND THE BOUNDARIES OF KNOWLEDGE AND INSIGHT THROUGH TEACHING, RESEARCH, ARTISTIC EXPRESSION, AND OTHER FORMS OF SCHOLARSHIP. IT IS PRIMARILY THROUGH DISCOVERING,COMMUNICATING, AND APPLYING KNOWLEDGE THAT WE EXERCISE OUR INSTITUTIONAL RESPONSIBILITY AS A VOICE OF REASON AND CONSCIENCE IN SOCIETY, WE OFFER CHALLENGING ACADEMIC PROGRAMS AND DEMONSTRATE A COMMITMENT TO THE DEVELOPMENT OF: 1) UNDERGRADUATE STUDENTS WHO SEEK AN EDUCATION WITH A STRONG HUMANISTIC ORIENTATION IN A PRIMARILY RESIDENTIAL SETTING. 2) GRADUATE STUDENTS, MANY OF THEM WORKING PROFESSIONALS IN SILICON VALLEY,WHO SEEK ADVANCED DEGREE PROGRAMS THAT PREPARE THEM TO MAKE SIGNIFICANT CONTRIBUTIONS TO THEIR FIELDS. IN ADDITION TO THESE CORE PROGRAMS, WE ALSO PROVIDE A VARIETY OF CONTINUING EDUCATION AND PROFESSIONAL DEVELOPMENT OPPORTUNITIES FOR NON-MATRICULATED STUDENTS. FORM 990, PART VI, SECTION A, LINE 2 - LARRY W. SONSINI, ROBERT J. FINOCCHIO, DAN WARMENHOVEN, AND BILL COLEMAN HAVE A BUSINESS RELATIONSHIP. - JOHN A. SOBRATO AND JOHN M. SOBRATO HAVE A FAMILY AND BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 THE BOARD OF TRUSTEES HAS DELEGATED THE REVIEW OF THE FORM 990 TO THE AUDIT COMMITTEE. THE ORGANIZATION'S CONTROLLER DEPARTMENT WORKED CLOSELY WITH THE OUTSIDE ACCOUNTING FIRM IT ENGAGED TO PREPARE THE RETURN. THE FINAL DRAFT OF FORM 990 WAS ALSO REVIEWED BY THE ASSISTANT TREASURER PRIOR TO PROVIDING THE DRAFT TO THE AUDIT COMMITTEE. INFORMATION FOR THE RETURN WAS ALSO OBTAINED THROUGH DISCUSSIONS WITH SENIOR ADMINISTRATION AND THE GENERAL COUNSEL. THE AUDIT COMMITTEE ALSO MET WITH THE ACCOUNTING FIRM HIRED TO PREPARE THE FORM 990. SUBSEQUENT TO ITS REVIEW, THE AUDIT COMMITTEE REPORTED BACK TO THE BOARD REGARDING ITS OVERSIGHT OF THE FORM 990 AND THE FINAL DRAFT WAS PROVIDED TO THE ENTIRE VOTING BOARD BEFORE THE RETURN WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF TRUSTEES HAS A CONFLICT OF INTEREST POLICY AS PART OF THE BYLAWS. THE ASSISTANT TREASURER IS RESPONSIBLE FOR MONITORING POTENTIAL CONFLICT OF INTEREST. ANNUALLY, A QUESTIONNAIRE IS SENT TO THE BOARD OF TRUSTEES, OFFICERS AND KEY EMPLOYEES ASKING FOR ANY POSSIBLE BUSINESS OR PERSONAL CONNECTION TO THE ORGANIZATION THAT MAY CAUSE A POTENTIAL CONFLICT. THE PROCEDURES FOR ADDRESSING ANY CONFLICT OF INTEREST INCLUDES, BUT IS NOT LIMITED TO, THE FOLLOWING: (1) THE CONFLICTING INTEREST IS FULLY DISCLOSED TO THE PRESIDENT AND BOARD; (2) THE INTERESTED PERSON RESPONDS TO FACTUAL QUESTIONS RELATED TO THE SUBSTANCE OF THE TRANSACTION OR ARRANGEMENT BEING CONSIDERED, AFTER WHICH HE/SHE SHALL LEAVE THE MEETING; (3) THE PERSON WITH THE CONFLICT OF INTEREST IS EXCLUDED FROM THE DISCUSSION AND APPROVAL OF SUCH TRANSACTION; (4) ALTERNATIVES TO THE PROPOSED TRANSACTION ARE INVESTIGATED, COMPETITIVE BIDS OR COMPARABLE VALUATIONS ARE OBTAINED; (5) THE TRANSACTION OR ACTION MUST BE APPROVED BY A MAJORITY OF DISINTERESTED PERSONS. FORM 990, PART VI, SECTION B, LINE 15A THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES HAS THE AUTHORITY TO REVIEW AND DETERMINE THE PRESIDENT'S COMPENSATION. DISCUSSIONS OF THE PRESIDENT'S COMPENSATION WERE DOCUMENTED IN THE MINUTES OF MEETINGS OF THE EXECUTIVE COMMITTEE. THE COMPENSATION OF THE PROVOST AND VICE PRESIDENTS ARE DETERMINED BY THE PRESIDENT. OTHER KEY EMPLOYEES' COMPENSATION IS DETERMINED BY THE RESPECTIVE VICE PRESIDENT OR PROVOST. IN ALL CASES, COMPARABLE DATA FROM SIMILAR ORGANIZATIONS AND POSITIONS WERE USED TO DETERMINE COMPENSATION LEVELS. THIS INFORMATION COMES FROM INDEPENDENT SURVEY DATA. EACH EMPLOYEE'S COMPENSATION IS DOCUMENTED IN THEIR RESPECTIVE PERSONNEL FILES AND THEY ARE PERSONALLY NOTIFIED OF ANY CHANGES IN COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 WHILE FEDERAL TAX LAWS DO NOT MANDATE THAT THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS BE MADE AVAILABLE FOR PUBLIC INSPECTION, THE ORGANIZATION MAKES ITS CONFLICT OF INTEREST POLICY AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: LOSS ON UNCOLLECTIBLE PLEDGES -111,658. JST COMPENSATION EXPENSES PAID BY SCU 1,462,976. BRONCO BENCH FOUNDATION SANTA CLARA UNIVERSITY SANTA CLARA CA 95053 946121957 FUNDRAISING CA 501(C)(3) LINE 11B, II PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA 1735 LE ROY AVE BERKELEY CA 94709 941156462 EDUCATION CA 501(C)(3) LINE 1 PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 CHARITABLE REMAINDER TRUST (19) HOLDINGS CA N/A T 0 0 0 1 1 0 0 0 0 0 0 0 1 1 1 1 0 0 1 0 BRONCO BENCH FOUNDATION C 1542774 FMV JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA D 8262595 FMV JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA R 1855712 BOOK