CALIFORNIA INSTITUTE OF TECHNOLOGY: Form 990, tax year 2014

View the entire original 990 at ProPublica ↗

Organization: CALIFORNIA INSTITUTE OF TECHNOLOGY (EIN 95-1643307)
Tax period: 2014-10-01 to 2015-09-30
Filed: 2016-08-10
IRS object ID: 201602249349300600
Schema version: 2014v6.0
Source: Download XML · Original 990 at ProPublica

Every field in the e-filed return. Faint text is the IRS element name, for citing.

Return header
Form 990
Schedule A
Schedule B
Schedule C
Schedule D
Schedule E
Schedule F
Schedule I
Schedule J
Schedule K
Schedule L
Schedule M
Schedule O
Schedule R

Return header ReturnHeader

Field	Value	IRS element (for citing)
Return	2016-08-10T20:34:30-05:00	ReturnTs
Tax Period End	2015-09-30	TaxPeriodEndDt

Preparer Firm PreparerFirmGrp

Preparer Firm Name PreparerFirmName

Field	Value	IRS element (for citing)
Business Name Line1	PricewaterhouseCoopers LLP	BusinessNameLine1Txt

Preparer US Address PreparerUSAddress

Field	Value	IRS element (for citing)
Address Line1	101 SEAPORT BLVD	AddressLine1Txt
City	Boston	CityNm
State Abbreviation	MA	StateAbbreviationCd
ZIP	02210	ZIPCd

Field	Value	IRS element (for citing)
Return Type	990	ReturnTypeCd
Tax Period Begin	2014-10-01	TaxPeriodBeginDt

Filer Filer

Field	Value	IRS element (for citing)
EIN	951643307	EIN

Business Name BusinessName

Field	Value	IRS element (for citing)
Business Name Line1	California Institute of Technology	BusinessNameLine1Txt

Field	Value	IRS element (for citing)
In Care Of	% MATTHEW W BREWER	InCareOfNm
Business Name Control	CALI	BusinessNameControlTxt
Phone	6263956744	PhoneNum

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	1200 East California Blvd 123-15	AddressLine1Txt
City	Pasadena	CityNm
State Abbreviation	CA	StateAbbreviationCd
ZIP	91125	ZIPCd

Business Officer BusinessOfficerGrp

Field	Value	IRS element (for citing)
Person	MATTHEW W BREWER	PersonNm
Person Title	CONTROLLER	PersonTitleTxt
Phone	6263956744	PhoneNum
Signature	2016-08-09	SignatureDt
Discuss With Paid Preparer	Yes (true)	DiscussWithPaidPreparerInd

Preparer Person PreparerPersonGrp

Field	Value	IRS element (for citing)
Preparer Person	PRICEWATERHOUSECOOPERS LLP	PreparerPersonNm
PTIN	P01390592	PTIN
Phone	6175305000	PhoneNum

Field	Value	IRS element (for citing)
Tax	2014	TaxYr
Build TS	2016-12-15 16:53:06Z	BuildTS

Form 990 IRS990

Field	Value	IRS element (for citing)
Principal Officer	DR THOMAS F ROSENBAUM	PrincipalOfficerNm

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	1200 EAST CALIFORNIA BLVD	AddressLine1Txt
City	pasadena	CityNm
State Abbreviation	CA	StateAbbreviationCd
ZIP	91125	ZIPCd

Field	Value	IRS element (for citing)
Gross Receipts	$3,340,812,000	GrossReceiptsAmt
Group Return For Affiliates	false	GroupReturnForAffiliatesInd
Organization501c3	Yes (X)	Organization501c3Ind
Website Address	www.caltech.edu	WebsiteAddressTxt
Type Of Organization Corp	Yes (X)	TypeOfOrganizationCorpInd
Formation	1891	FormationYr
Legal Domicile State	CA	LegalDomicileStateCd
Activity Or Mission	SEE SCHEDULE O	ActivityOrMissionDesc
Voting Members Governing Body	63	VotingMembersGoverningBodyCnt
Voting Members Independent	56	VotingMembersIndependentCnt
Total Employee	10535	TotalEmployeeCnt
Total Volunteers	509	TotalVolunteersCnt
Total Gross UBI	$6,796,000	TotalGrossUBIAmt
Net Unrelated Bus Txbl Incm	-$11,272,000	NetUnrelatedBusTxblIncmAmt
PY Contributions Grants	$382,698,000	PYContributionsGrantsAmt
CY Contributions Grants	$481,336,000	CYContributionsGrantsAmt
PY Program Service Revenue	$1,772,561,000	PYProgramServiceRevenueAmt
CY Program Service Revenue	$1,977,565,000	CYProgramServiceRevenueAmt
PY Investment Income	$124,252,000	PYInvestmentIncomeAmt
CY Investment Income	$130,389,000	CYInvestmentIncomeAmt
PY Other Revenue	$16,812,000	PYOtherRevenueAmt
CY Other Revenue	$8,977,000	CYOtherRevenueAmt
PY Total Revenue	$2,296,323,000	PYTotalRevenueAmt
CY Total Revenue	$2,598,267,000	CYTotalRevenueAmt
PY Grants And Similar Paid	$71,453,000	PYGrantsAndSimilarPaidAmt
CY Grants And Similar Paid	$73,479,000	CYGrantsAndSimilarPaidAmt
PY Benefits Paid To Members	$0	PYBenefitsPaidToMembersAmt
CY Benefits Paid To Members	$0	CYBenefitsPaidToMembersAmt
PY Salaries Comp Emp Bnft Paid	$1,200,039,000	PYSalariesCompEmpBnftPaidAmt
CY Salaries Comp Emp Bnft Paid	$1,234,073,000	CYSalariesCompEmpBnftPaidAmt
PY Total Prof Fndrsng Expns	$0	PYTotalProfFndrsngExpnsAmt
CY Total Prof Fndrsng Expns	$0	CYTotalProfFndrsngExpnsAmt
CY Total Fundraising Expense	$18,370,000	CYTotalFundraisingExpenseAmt
PY Other Expenses	$988,202,000	PYOtherExpensesAmt
CY Other Expenses	$1,168,231,000	CYOtherExpensesAmt
PY Total Expenses	$2,259,694,000	PYTotalExpensesAmt
CY Total Expenses	$2,475,783,000	CYTotalExpensesAmt
PY Revenues Less Expenses	$36,629,000	PYRevenuesLessExpensesAmt
CY Revenues Less Expenses	$122,484,000	CYRevenuesLessExpensesAmt
Total Assets BOY	$4,166,404,000	TotalAssetsBOYAmt
Total Assets EOY	$4,604,929,000	TotalAssetsEOYAmt
Total Liabilities BOY	$1,649,022,000	TotalLiabilitiesBOYAmt
Total Liabilities EOY	$2,180,315,000	TotalLiabilitiesEOYAmt
Net Assets Or Fund Balances BOY	$2,517,382,000	NetAssetsOrFundBalancesBOYAmt
Net Assets Or Fund Balances EOY	$2,424,614,000	NetAssetsOrFundBalancesEOYAmt
Info In Schedule O Part III	Yes (X)	InfoInScheduleOPartIIIInd
Mission	SEE SCHEDULE O	MissionDesc
Significant New Program Srvc	false	SignificantNewProgramSrvcInd
Significant Change	false	SignificantChangeInd
Expense	$332,474,000	ExpenseAmt
Grant	$73,359,000	GrantAmt
Revenue	$164,558,000	RevenueAmt
Desc	INSTRUCTION AND ACADEMIC SUPPORT AT THE CAMPUS.	Desc

Prog Srvc Accom Acty2 ProgSrvcAccomActy2Grp

Field	Value	IRS element (for citing)
Expense	$252,677,000	ExpenseAmt
Revenue	$26,220,000	RevenueAmt
Desc	ORGANIZED RESEARCH AT THE CAMPUS.	Desc

Prog Srvc Accom Acty3 ProgSrvcAccomActy3Grp

Field	Value	IRS element (for citing)
Expense	$1,758,660,000	ExpenseAmt
Revenue	$1,758,660,000	RevenueAmt
Desc	Sponsored research at the Jet Propulsion Laboratory.	Desc

Field	Value	IRS element (for citing)
Total Other Prog Srvc Expense	$32,832,000	TotalOtherProgSrvcExpenseAmt
Total Other Prog Srvc Grant	$120,000	TotalOtherProgSrvcGrantAmt
Total Other Prog Srvc Revenue	$28,127,000	TotalOtherProgSrvcRevenueAmt
Total Program Service Expenses	$2,376,643,000	TotalProgramServiceExpensesAmt
Described In Section501c3	Yes (true)	DescribedInSection501c3Ind
Schedule B Required	Yes (true)	ScheduleBRequiredInd
Political Campaign Acty	false	PoliticalCampaignActyInd
Lobbying Activities	Yes (true)	LobbyingActivitiesInd
Subject To Proxy Tax	false	SubjectToProxyTaxInd
Donor Advised Fund	false	DonorAdvisedFundInd
Conservation Easements	false	ConservationEasementsInd
Collections Of Art	Yes (true)	CollectionsOfArtInd
Credit Counseling	Yes (true)	CreditCounselingInd
Temp Or Permanent Endowments	Yes (true)	TempOrPermanentEndowmentsInd
Report Land Building Equipment	Yes (true)	ReportLandBuildingEquipmentInd
Report Investments Other Sec	Yes (true)	ReportInvestmentsOtherSecInd
Report Program Related Invst	false	ReportProgramRelatedInvstInd
Report Other Assets	false	ReportOtherAssetsInd
Report Other Liabilities	Yes (true)	ReportOtherLiabilitiesInd
Include FIN48 Footnote	Yes (true)	IncludeFIN48FootnoteInd
Independent Audit Fincl Stmt	Yes (true)	IndependentAuditFinclStmtInd
Consolidated Audit Fincl Stmt	false	ConsolidatedAuditFinclStmtInd
School Operating	Yes (true)	SchoolOperatingInd
Foreign Office	Yes (true)	ForeignOfficeInd
Foreign Activities	Yes (true)	ForeignActivitiesInd
More Than5000 K To Org	false	MoreThan5000KToOrgInd
More Than5000 K To Individuals	Yes (true)	MoreThan5000KToIndividualsInd
Professional Fundraising	false	ProfessionalFundraisingInd
Fundraising Activities	false	FundraisingActivitiesInd
Gaming Activities	false	GamingActivitiesInd
Operate Hospital	false	OperateHospitalInd
Grants To Organizations	Yes (true)	GrantsToOrganizationsInd
Grants To Individuals	Yes (true)	GrantsToIndividualsInd
Schedule J Required	Yes (true)	ScheduleJRequiredInd
Tax Exempt Bonds	Yes (true)	TaxExemptBondsInd
Invest Tax Exempt Bonds	false	InvestTaxExemptBondsInd
Escrow Account	false	EscrowAccountInd
On Behalf Of Issuer	false	OnBehalfOfIssuerInd
Engaged In Excess Benefit Trans	false	EngagedInExcessBenefitTransInd
PY Excess Benefit Trans	false	PYExcessBenefitTransInd
Loan Outstanding	Yes (true)	LoanOutstandingInd
Grant To Related Person	Yes (true)	GrantToRelatedPersonInd
Business Rln With Org Mem	false	BusinessRlnWithOrgMemInd
Business Rln With Fam Mem	Yes (true)	BusinessRlnWithFamMemInd
Business Rln With Officer Ent	Yes (true)	BusinessRlnWithOfficerEntInd
Deductible Non Cash Contri	Yes (true)	DeductibleNonCashContriInd
Deductible Art Contribution	false	DeductibleArtContributionInd
Terminate Operations	false	TerminateOperationsInd
Partial Liquidation	false	PartialLiquidationInd
Disregarded Entity	Yes (true)	DisregardedEntityInd
Related Entity	Yes (true)	RelatedEntityInd
Related Organization Ctrl Ent	Yes (true)	RelatedOrganizationCtrlEntInd
Transaction With Control Ent	false	TransactionWithControlEntInd
Trnsfr Exmpt Non Chrtbl Rltd Org	false	TrnsfrExmptNonChrtblRltdOrgInd
Activities Conducted Prtshp	false	ActivitiesConductedPrtshpInd
Schedule O Required	Yes (true)	ScheduleORequiredInd
Info In Schedule O Part V	Yes (X)	InfoInScheduleOPartVInd
IRP Document	2658	IRPDocumentCnt
IRP Document W2 G	0	IRPDocumentW2GCnt
Backup Wthld Compliance	Yes (true)	BackupWthldComplianceInd
Employee	10535	EmployeeCnt
Employment Tax Returns Filed	Yes (true)	EmploymentTaxReturnsFiledInd
Unrelated Bus Incm Over Limit	Yes (true)	UnrelatedBusIncmOverLimitInd
Form990 T Filed	Yes (true)	Form990TFiledInd
Foreign Financial Account	Yes (true)	ForeignFinancialAccountInd
Foreign Country	CI	ForeignCountryCd
Foreign Country	SZ	ForeignCountryCd
Prohibited Tax Shelter Trans	false	ProhibitedTaxShelterTransInd
Taxable Party Notification	false	TaxablePartyNotificationInd
Nondeductible Contributions	false	NondeductibleContributionsInd
Quid Pro Quo Contributions	false	QuidProQuoContributionsInd
Form8282 Property Disposed Of	false	Form8282PropertyDisposedOfInd
Rcv Fnds To Pay Prsnl Bnft Cntrct	false	RcvFndsToPayPrsnlBnftCntrctInd
Pay Premiums Prsnl Bnft Cntrct	false	PayPremiumsPrsnlBnftCntrctInd
Indoor Tanning Services	false	IndoorTanningServicesInd
Info In Schedule O Part VI	Yes (X)	InfoInScheduleOPartVIInd
Governing Body Voting Members	63	GoverningBodyVotingMembersCnt
Independent Voting Member	56	IndependentVotingMemberCnt
Family Or Business Rln	Yes (true)	FamilyOrBusinessRlnInd
Delegation Of Mgmt Duties	false	DelegationOfMgmtDutiesInd
Change To Org Documents	false	ChangeToOrgDocumentsInd
Material Diversion Or Misuse	false	MaterialDiversionOrMisuseInd
Members Or Stockholders	false	MembersOrStockholdersInd
Election Of Board Members	false	ElectionOfBoardMembersInd
Decisions Subject To Approva	false	DecisionsSubjectToApprovaInd
Minutes Of Governing Body	Yes (true)	MinutesOfGoverningBodyInd
Minutes Of Committees	Yes (true)	MinutesOfCommitteesInd
Officer Mailing Address	false	OfficerMailingAddressInd
Local Chapters	false	LocalChaptersInd
Form990 Provided To Gvrn Body	Yes (true)	Form990ProvidedToGvrnBodyInd
Conflict Of Interest Policy	Yes (true)	ConflictOfInterestPolicyInd
Annual Disclosure Covered Prsn	Yes (true)	AnnualDisclosureCoveredPrsnInd
Regular Monitoring Enfrc	Yes (true)	RegularMonitoringEnfrcInd
Whistleblower Policy	Yes (true)	WhistleblowerPolicyInd
Document Retention Policy	Yes (true)	DocumentRetentionPolicyInd
Compensation Process CEO	Yes (true)	CompensationProcessCEOInd
Compensation Process Other	Yes (true)	CompensationProcessOtherInd
Investment In Joint Venture	Yes (true)	InvestmentInJointVentureInd
Written Policy Or Procedure	Yes (true)	WrittenPolicyOrProcedureInd
States Where Copy Of Return Is Fld	CA	StatesWhereCopyOfReturnIsFldCd
States Where Copy Of Return Is Fld	IL	StatesWhereCopyOfReturnIsFldCd
Upon Request	Yes (X)	UponRequestInd

Books In Care Of Detail BooksInCareOfDetail

Field	Value	IRS element (for citing)
Person	MATTHEW W BREWER	PersonNm
Phone	6263958818	PhoneNum

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	1200 EAST CALIFORNIA BLVD 123-15	AddressLine1Txt
City	pasadena	CityNm
State Abbreviation	CA	StateAbbreviationCd
ZIP	91125	ZIPCd

Field	Value	IRS element (for citing)
Info In Schedule O Part VII	Yes (X)	InfoInScheduleOPartVIIInd

Form990 Part VII Section A Form990PartVIISectionAGrp (84 entries)

TitleTitleTxt	Average Hours Per WeekAverageHoursPerWeekRt	Average Hours Per Week Rltd OrgAverageHoursPerWeekRltdOrgRt	Individual Trustee Or DirectorIndividualTrusteeOrDirectorInd	Reportable Comp From OrgReportableCompFromOrgAmt	Reportable Comp From Rltd OrgReportableCompFromRltdOrgAmt	Other CompensationOtherCompensationAmt	OfficerOfficerInd	Key EmployeeKeyEmployeeInd	Highest Compensated EmployeeHighestCompensatedEmployeeInd	Former Ofcr Director TrusteeFormerOfcrDirectorTrusteeInd
SEAN BAILEY
Trustee (SINCE 01/2015)	1.0	0.0	Yes (X)	$0	$0	$0
BARBARA M BARRETT
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
GORDON M BINDER
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
ROBERT C BONNER
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
LYNN A BOOTH
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
BRIGITTE M BREN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
JOHN E BRYSON
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
MILTON M CHANG
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
JOHN S CHEN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
WENCHI CHEN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
PEGGY T CHERNG
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
ROBERT B CHESS
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
WILLIAM H DAVIDOW
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
DAVID T DREIER
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
LOUNETTE M DYER
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
THOMAS E EVERHART
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
JOSHUA S FRIEDMAN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
WILLIAM T GROSS
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
NARENDRA K GUPTA
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
B KIPLING HAGOPIAN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
FREDERICK J HAMEETMAN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
DAVID D HO
Trustee (SINCE 07/2015)	1.0	0.0	Yes (X)	$0	$0	$0
SHIRLEY M HUFSTEDLER
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
MARIA D HUMMER-TUTTLE
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
BOBBY R INMAN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
ROBERT T JENKINS
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
G BRADFORD JONES
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
PETER D KAUFMAN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
LOUISE KIRKBRIDE
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
WALTER G KORTSCHAK
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
KENT KRESA
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
JON B KUTLER
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
DAVID LI LEE
Chair/Trustee	1.0	0.0	Yes (X)	$0	$0	$0	Yes (X)
YORK LIAO
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
ALEXANDER LIDOW
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
RONALD K LINDE
Vice Chair/Trustee	1.0	0.0	Yes (X)	$0	$0	$0	Yes (X)
A MICHAEL LIPPER
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
ANDREW N LIVERIS
TRUSTEE	1.0	0.0	Yes (X)	$0	$0	$0
SHIRLEY M MALCOM
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
DEBORAH D MCWHINNEY
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
RICHARD MERKIN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
KENNETH G MOORE
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
PHILIP M NECHES
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
PATRICK H NETTLES JR
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
PETER NORTON
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
RONALD L OLSON
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
STEPHEN R ONDERDONK
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
WILLIAM H RASTETTER
Trustee (SINCE 07/2015)	1.0	0.0	Yes (X)	$0	$0	$0
STEWART A RESNICK
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
NELSON C RISING
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
THOMAS F ROSENBAUM
PRES/TRUSTEE	40.0	0.0	Yes (X)	$453,624	$0	$73,952	Yes (X)
STEPHEN A ROSS
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
RICHARD H SCHELLER
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
MARC I STERN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
DONALD W TANG
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
KEVIN M TAWEEL
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
DAVID W THOMPSON
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
CHARLES R TRIMBLE
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
LEWIS W VAN AMERONGEN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
WALTER WEISMAN
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
GAYLE E WILSON
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
RICHMOND A WOLF
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
SUZANNE H WOOLSEY
Trustee	1.0	0.0	Yes (X)	$0	$0	$0
MATTHEW W BREWER
Controller	40.0	0.0		$214,438	$0	$53,247	Yes (X)
DEAN CURRIE
VP FOR BUSINESS AND FINANCE	40.0	0.0		$582,135	$0	$62,716	Yes (X)
CHARLES ELACHI
VP/DIR JET PROPULSION LAB	40.0	0.0		$828,356	$0	$61,806	Yes (X)
DIANA JERGOVIC
VP STRATEGY Implementation	40.0	0.0		$218,965	$0	$21,851	Yes (X)
BRIAN KEITH LEE
VP for Dev & INSTIT. RELATIONS	40.0	0.0		$605,590	$0	$59,279	Yes (X)
MADELINE WAY LEE
Assistant Treasurer	32.0	0.0		$145,153	$0	$34,953	Yes (X)
JENNIFER THERESA LUM
Deputy General Counsel	40.0	0.0		$241,220	$0	$56,543	Yes (X)
SHARON E PATTERSON
Assoc. VP for fin. & treas.	40.0	0.0		$344,754	$0	$41,732	Yes (X)
SCOTT H RICHLAND
Chief Investment Officer	40.0	0.0		$740,970	$0	$443,451	Yes (X)
ANNEILA I SARGENT
VP Studnt Aff (UNTIL 07/2015)	40.0	0.0		$329,135	$0	$54,488	Yes (X)
JOSEPH E SHEPHERD
VP Studnt Aff (SINCE 07/2015)	40.0	0.0		$234,991	$0	$49,864	Yes (X)
EDWARD M STOLPER
PROVOST	40.0	0.0		$691,414	$0	$149,339	Yes (X)
VICTORIA D STRATMAN
General Counsel	40.0	0.0		$436,598	$0	$55,888	Yes (X)
MARY L WEBSTER
Secretary of board of trustees	40.0	0.0		$239,616	$0	$49,772	Yes (X)
LARRY DEAN JAMES
Deputy Director of JPL	40.0	0.0		$474,982	$0	$42,159		Yes (X)
KANIANTHRA MANI CHANDY
Prof of Comp Sci - Emeritus	40.0	0.0		$636,477	$0	$22,032			Yes (X)
SARKIS MAZMANIAN
Professor of Microbiology	40.0	0.0		$431,382	$0	$31,487			Yes (X)
PAUL H PATTERSON
Prof of Bio Sci-Emeritus	40.0	0.0		$453,053	$0	$43,382			Yes (X)
EDWARD C STONE
Professor of Physics	40.0	0.0		$415,184	$0	$54,233			Yes (X)
RICHARD M WILSON
Prof of Mathematics - Emeritus	40.0	0.0		$539,236	$0	$36,064			Yes (X)
JAKOB J VAN ZYL
FAC ASSOC. & ASSOC DIR JPL	40.0	0.0		$367,664	$0	$53,491				Yes (X)

Field	Value	IRS element (for citing)
Total Reportable Comp From Org	$9,624,937	TotalReportableCompFromOrgAmt
Tot Reportable Comp Rltd Org	$0	TotReportableCompRltdOrgAmt
Total Other Compensation	$1,551,729	TotalOtherCompensationAmt
Indiv Rcvd Greater Than100 K	4100	IndivRcvdGreaterThan100KCnt
Former Ofcr Employees Listed	Yes (true)	FormerOfcrEmployeesListedInd
Total Comp Greater Than150 K	Yes (true)	TotalCompGreaterThan150KInd
Compensation From Other Srcs	false	CompensationFromOtherSrcsInd

Contractor Compensation ContractorCompensationGrp (5 entries)

Address Line1ContractorAddress/USAddress/AddressLine1Txt	CityContractorAddress/USAddress/CityNm	State AbbreviationContractorAddress/USAddress/StateAbbreviationCd	ZIPContractorAddress/USAddress/ZIPCd	ServicesServicesDesc	CompensationCompensationAmt
EXELIS INC INFO SYS
27126 NETWORK PL	CHICAGO	IL	606731271	INFORMATION TECH	$28,965,196
LOCKHEED MARTIN CORP
12257 S WADSWORTH	LITTLETON	CO	801258500	AEROSPACE	$149,006,806
RAYTHEON
2000 EAST EL SEGUNDO BLVD	EL SEGUNDO	CA	902450902	AEROSPACE	$22,210,969
NORTHROP GRUMMAN SYSTEMS CORPORATIO
1 SPACE PARK DRIVE	REDONDO BEACH	CA	902781001	AEROSPACE	$47,285,517
EXELIS INC
27126 NETWORK PL	CHICAGO	IL	606731271	AEROSPACE	$21,482,773

Field	Value	IRS element (for citing)
Cntrct Rcvd Greater Than100 K	733	CntrctRcvdGreaterThan100KCnt
Government Grants	$255,614,000	GovernmentGrantsAmt
All Other Contributions	$225,722,000	AllOtherContributionsAmt
Noncash Contributions	$30,911,400	NoncashContributionsAmt
Total Contributions	$481,336,000	TotalContributionsAmt

Program Service Revenue ProgramServiceRevenueGrp (4 entries)

DescDesc	BusinessBusinessCd	Total Revenue ColumnTotalRevenueColumnAmt	Related Or Exempt Func IncomeRelatedOrExemptFuncIncomeAmt	Unrelated Business RevenueUnrelatedBusinessRevenueAmt	ExclusionExclusionAmt
JPL AND OTHER AWARDS	900099	$1,825,622,000	$1,825,622,000
STUDENT TUITION	611600	$93,319,000	$93,319,000
USE OF FACILITIES	900099	$30,497,000	$30,497,000
AUXILIARY ENTERPRISES	900099	$28,127,000	$9,712,000	$4,087,000	$14,328,000

Field	Value	IRS element (for citing)
Total Program Service Revenue	$1,977,565,000	TotalProgramServiceRevenueAmt

Investment Income InvestmentIncomeGrp

Field	Value	IRS element (for citing)
Total Revenue Column	$37,398,000	TotalRevenueColumnAmt
Unrelated Business Revenue	$2,690,000	UnrelatedBusinessRevenueAmt
Exclusion	$34,708,000	ExclusionAmt

Incm From Invest Bond Proceeds IncmFromInvestBondProceedsGrp

Field	Value	IRS element (for citing)
Total Revenue Column	$0	TotalRevenueColumnAmt

Royalties Revenue RoyaltiesRevenueGrp

Field	Value	IRS element (for citing)
Total Revenue Column	$8,546,000	TotalRevenueColumnAmt
Exclusion	$8,546,000	ExclusionAmt

Gross Rents GrossRentsGrp

Field	Value	IRS element (for citing)
Real	$416,000	RealAmt

Less Rental Expenses LessRentalExpensesGrp

Field	Value	IRS element (for citing)
Real	$4,000	RealAmt

Rental Income Or Loss RentalIncomeOrLossGrp

Field	Value	IRS element (for citing)
Real	$412,000	RealAmt
Personal	$0	PersonalAmt

Net Rental Income Or Loss NetRentalIncomeOrLossGrp

Field	Value	IRS element (for citing)
Total Revenue Column	$412,000	TotalRevenueColumnAmt
Exclusion	$412,000	ExclusionAmt

Gross Amount Sales Assets GrossAmountSalesAssetsGrp

Field	Value	IRS element (for citing)
Securities	$833,607,000	SecuritiesAmt
Other	$1,925,000	OtherAmt

Less Cost Oth Basis Sales Expnss LessCostOthBasisSalesExpnssGrp

Field	Value	IRS element (for citing)
Securities	$741,162,000	SecuritiesAmt
Other	$1,379,000	OtherAmt

Gain Or Loss GainOrLossGrp

Field	Value	IRS element (for citing)
Securities	$92,445,000	SecuritiesAmt
Other	$546,000	OtherAmt

Net Gain Or Loss Investments NetGainOrLossInvestmentsGrp

Field	Value	IRS element (for citing)
Total Revenue Column	$92,991,000	TotalRevenueColumnAmt
Exclusion	$92,991,000	ExclusionAmt

Net Incm From Fundraising Evt NetIncmFromFundraisingEvtGrp

Field	Value	IRS element (for citing)
Total Revenue Column	$0	TotalRevenueColumnAmt

Net Income From Gaming NetIncomeFromGamingGrp

Field	Value	IRS element (for citing)
Total Revenue Column	$0	TotalRevenueColumnAmt

Net Income Or Loss NetIncomeOrLossGrp

Field	Value	IRS element (for citing)
Total Revenue Column	$0	TotalRevenueColumnAmt

Other Revenue Misc OtherRevenueMiscGrp

Field	Value	IRS element (for citing)
Desc	ADVERTISING	Desc
Business	900099	BusinessCd
Total Revenue Column	$19,000	TotalRevenueColumnAmt
Unrelated Business Revenue	$19,000	UnrelatedBusinessRevenueAmt

Field	Value	IRS element (for citing)
Other Revenue Total	$19,000	OtherRevenueTotalAmt

Total Revenue TotalRevenueGrp

Field	Value	IRS element (for citing)
Total Revenue Column	$2,598,267,000	TotalRevenueColumnAmt
Related Or Exempt Func Income	$1,959,150,000	RelatedOrExemptFuncIncomeAmt
Unrelated Business Revenue	$6,796,000	UnrelatedBusinessRevenueAmt
Exclusion	$150,985,000	ExclusionAmt

Grants To Domestic Orgs GrantsToDomesticOrgsGrp

Field	Value	IRS element (for citing)
Total	$120,000	TotalAmt
Program Services	$120,000	ProgramServicesAmt

Grants To Domestic Individuals GrantsToDomesticIndividualsGrp

Field	Value	IRS element (for citing)
Total	$73,155,000	TotalAmt
Program Services	$73,155,000	ProgramServicesAmt

Foreign Grants ForeignGrantsGrp

Field	Value	IRS element (for citing)
Total	$204,000	TotalAmt
Program Services	$204,000	ProgramServicesAmt

Benefits To Members BenefitsToMembersGrp

Field	Value	IRS element (for citing)
Total	$0	TotalAmt

Comp Current Ofcr Directors CompCurrentOfcrDirectorsGrp

Field	Value	IRS element (for citing)
Total	$8,656,000	TotalAmt
Program Services	$2,972,000	ProgramServicesAmt
Management And General	$5,007,000	ManagementAndGeneralAmt
Fundraising	$677,000	FundraisingAmt

Comp Disqual Persons CompDisqualPersonsGrp

Field	Value	IRS element (for citing)
Total	$6,382,000	TotalAmt
Program Services	$5,402,000	ProgramServicesAmt
Management And General	$860,000	ManagementAndGeneralAmt
Fundraising	$120,000	FundraisingAmt

Other Salaries And Wages OtherSalariesAndWagesGrp

Field	Value	IRS element (for citing)
Total	$977,357,000	TotalAmt
Program Services	$940,577,000	ProgramServicesAmt
Management And General	$28,538,000	ManagementAndGeneralAmt
Fundraising	$8,242,000	FundraisingAmt

Pension Plan Contributions PensionPlanContributionsGrp

Field	Value	IRS element (for citing)
Total	$97,060,000	TotalAmt
Program Services	$93,863,000	ProgramServicesAmt
Management And General	$2,428,000	ManagementAndGeneralAmt
Fundraising	$769,000	FundraisingAmt

Other Employee Benefits OtherEmployeeBenefitsGrp

Field	Value	IRS element (for citing)
Total	$81,154,000	TotalAmt
Program Services	$71,200,000	ProgramServicesAmt
Management And General	$7,438,000	ManagementAndGeneralAmt
Fundraising	$2,516,000	FundraisingAmt

Payroll Taxes PayrollTaxesGrp

Field	Value	IRS element (for citing)
Total	$63,464,000	TotalAmt
Program Services	$61,076,000	ProgramServicesAmt
Management And General	$1,853,000	ManagementAndGeneralAmt
Fundraising	$535,000	FundraisingAmt

Fees For Services Management FeesForServicesManagementGrp

Field	Value	IRS element (for citing)
Total	$0	TotalAmt

Fees For Services Legal FeesForServicesLegalGrp

Field	Value	IRS element (for citing)
Total	$12,042,000	TotalAmt
Program Services	$7,169,000	ProgramServicesAmt
Management And General	$4,868,000	ManagementAndGeneralAmt
Fundraising	$5,000	FundraisingAmt

Fees For Services Accounting FeesForServicesAccountingGrp

Field	Value	IRS element (for citing)
Total	$1,363,000	TotalAmt
Management And General	$1,363,000	ManagementAndGeneralAmt

Fees For Services Lobbying FeesForServicesLobbyingGrp

Field	Value	IRS element (for citing)
Total	$616,000	TotalAmt
Management And General	$616,000	ManagementAndGeneralAmt

Fees For Services Prof Fundraising FeesForServicesProfFundraising

Field	Value	IRS element (for citing)
Total	$0	TotalAmt

Fees For Srvc Invst Mgmnt Fees FeesForSrvcInvstMgmntFeesGrp

Field	Value	IRS element (for citing)
Total	$6,951,000	TotalAmt
Management And General	$6,951,000	ManagementAndGeneralAmt

Fees For Services Other FeesForServicesOtherGrp

Field	Value	IRS element (for citing)
Total	$16,960,000	TotalAmt
Program Services	$10,791,000	ProgramServicesAmt
Management And General	$4,849,000	ManagementAndGeneralAmt
Fundraising	$1,320,000	FundraisingAmt

Advertising AdvertisingGrp

Field	Value	IRS element (for citing)
Total	$366,000	TotalAmt
Program Services	$173,000	ProgramServicesAmt
Management And General	$175,000	ManagementAndGeneralAmt
Fundraising	$18,000	FundraisingAmt

Office Expenses OfficeExpensesGrp

Field	Value	IRS element (for citing)
Total	$289,958,000	TotalAmt
Program Services	$282,219,000	ProgramServicesAmt
Management And General	$5,387,000	ManagementAndGeneralAmt
Fundraising	$2,352,000	FundraisingAmt

Information Technology InformationTechnologyGrp

Field	Value	IRS element (for citing)
Total	$6,260,000	TotalAmt
Program Services	$3,902,000	ProgramServicesAmt
Management And General	$2,334,000	ManagementAndGeneralAmt
Fundraising	$24,000	FundraisingAmt

Royalties RoyaltiesGrp

Field	Value	IRS element (for citing)
Total	$127,000	TotalAmt
Program Services	$112,000	ProgramServicesAmt
Management And General	$14,000	ManagementAndGeneralAmt
Fundraising	$1,000	FundraisingAmt

Occupancy OccupancyGrp

Field	Value	IRS element (for citing)
Total	$50,604,000	TotalAmt
Program Services	$47,054,000	ProgramServicesAmt
Management And General	$2,859,000	ManagementAndGeneralAmt
Fundraising	$691,000	FundraisingAmt

Travel TravelGrp

Field	Value	IRS element (for citing)
Total	$38,741,000	TotalAmt
Program Services	$37,204,000	ProgramServicesAmt
Management And General	$944,000	ManagementAndGeneralAmt
Fundraising	$593,000	FundraisingAmt

Pymt Travel Entrtnmnt Pub Ofcl PymtTravelEntrtnmntPubOfclGrp

Field	Value	IRS element (for citing)
Total	$0	TotalAmt

Conferences Meetings ConferencesMeetingsGrp

Field	Value	IRS element (for citing)
Total	$8,654,000	TotalAmt
Program Services	$8,151,000	ProgramServicesAmt
Management And General	$412,000	ManagementAndGeneralAmt
Fundraising	$91,000	FundraisingAmt

Interest InterestGrp

Field	Value	IRS element (for citing)
Total	$32,464,000	TotalAmt
Program Services	$32,006,000	ProgramServicesAmt
Management And General	$362,000	ManagementAndGeneralAmt
Fundraising	$96,000	FundraisingAmt

Payments To Affiliates PaymentsToAffiliatesGrp

Field	Value	IRS element (for citing)
Total	$0	TotalAmt

Depreciation Depletion DepreciationDepletionGrp

Field	Value	IRS element (for citing)
Total	$65,793,000	TotalAmt
Program Services	$64,262,000	ProgramServicesAmt
Management And General	$1,211,000	ManagementAndGeneralAmt
Fundraising	$320,000	FundraisingAmt

Insurance InsuranceGrp

Field	Value	IRS element (for citing)
Total	$6,471,000	TotalAmt
Program Services	$4,170,000	ProgramServicesAmt
Management And General	$2,301,000	ManagementAndGeneralAmt

Other Expenses OtherExpensesGrp (2 entries)

DescDesc	TotalTotalAmt	Program ServicesProgramServicesAmt
CONTRACT SERVICES	$594,961,000	$594,961,000
JPL POST EMPLYMNT OBLIGATION	$35,900,000	$35,900,000

Total Functional Expenses TotalFunctionalExpensesGrp

Field	Value	IRS element (for citing)
Total	$2,475,783,000	TotalAmt
Program Services	$2,376,643,000	ProgramServicesAmt
Management And General	$80,770,000	ManagementAndGeneralAmt
Fundraising	$18,370,000	FundraisingAmt

Field	Value	IRS element (for citing)
Info In Schedule O Part X	Yes (X)	InfoInScheduleOPartXInd

Cash Non Interest Bearing CashNonInterestBearingGrp

Field	Value	IRS element (for citing)
BOY	$0	BOYAmt
EOY	$0	EOYAmt

Savings And Temp Cash Invst SavingsAndTempCashInvstGrp

Field	Value	IRS element (for citing)
BOY	$173,694,000	BOYAmt
EOY	$210,836,000	EOYAmt

Pledges And Grants Receivable PledgesAndGrantsReceivableGrp

Field	Value	IRS element (for citing)
BOY	$92,385,000	BOYAmt
EOY	$162,565,000	EOYAmt

Accounts Receivable AccountsReceivableGrp

Field	Value	IRS element (for citing)
BOY	$239,130,000	BOYAmt
EOY	$272,483,000	EOYAmt

Receivables From Officers Etc ReceivablesFromOfficersEtcGrp

Field	Value	IRS element (for citing)
BOY	$350,000	BOYAmt
EOY	$1,648,495	EOYAmt

Rcvbl From Disqualified Prsn RcvblFromDisqualifiedPrsnGrp

Field	Value	IRS element (for citing)
BOY	$0	BOYAmt
EOY	$0	EOYAmt

Oth Notes Loans Receivable Net OthNotesLoansReceivableNetGrp

Field	Value	IRS element (for citing)
BOY	$435,000	BOYAmt
EOY	$1,538,917	EOYAmt

Inventories For Sale Or Use InventoriesForSaleOrUseGrp

Field	Value	IRS element (for citing)
BOY	$0	BOYAmt
EOY	$0	EOYAmt

Prepaid Expenses Defrd Charges PrepaidExpensesDefrdChargesGrp

Field	Value	IRS element (for citing)
BOY	$456,226,000	BOYAmt
EOY	$465,097,000	EOYAmt

Field	Value	IRS element (for citing)
Land Bldg Equip Cost Or Other Bss	$1,729,286,000	LandBldgEquipCostOrOtherBssAmt
Land Bldg Equip Accum Deprec	$864,263,000	LandBldgEquipAccumDeprecAmt

Land Bldg Equip Basis Net LandBldgEquipBasisNetGrp

Field	Value	IRS element (for citing)
BOY	$866,706,000	BOYAmt
EOY	$865,023,000	EOYAmt

Investments Pub Traded Sec InvestmentsPubTradedSecGrp

Field	Value	IRS element (for citing)
BOY	$1,074,075,000	BOYAmt
EOY	$1,225,519,000	EOYAmt

Investments Other Securities InvestmentsOtherSecuritiesGrp

Field	Value	IRS element (for citing)
BOY	$1,263,403,000	BOYAmt
EOY	$1,400,218,588	EOYAmt

Investments Program Related InvestmentsProgramRelatedGrp

Field	Value	IRS element (for citing)
BOY	$0	BOYAmt
EOY	$0	EOYAmt

Intangible Assets IntangibleAssetsGrp

Field	Value	IRS element (for citing)
BOY	$0	BOYAmt
EOY	$0	EOYAmt

Other Assets Total OtherAssetsTotalGrp

Field	Value	IRS element (for citing)
BOY	$0	BOYAmt
EOY	$0	EOYAmt

Total Assets TotalAssetsGrp

Field	Value	IRS element (for citing)
BOY	$4,166,404,000	BOYAmt
EOY	$4,604,929,000	EOYAmt

Accounts Payable Accr Expnss AccountsPayableAccrExpnssGrp

Field	Value	IRS element (for citing)
BOY	$462,540,000	BOYAmt
EOY	$487,105,000	EOYAmt

Grants Payable GrantsPayableGrp

Field	Value	IRS element (for citing)
BOY	$0	BOYAmt
EOY	$0	EOYAmt

Deferred Revenue DeferredRevenueGrp

Field	Value	IRS element (for citing)
BOY	$44,549,000	BOYAmt
EOY	$48,695,000	EOYAmt

Tax Exempt Bond Liabilities TaxExemptBondLiabilitiesGrp

Field	Value	IRS element (for citing)
BOY	$275,576,000	BOYAmt
EOY	$275,553,000	EOYAmt

Escrow Account Liability EscrowAccountLiabilityGrp

Field	Value	IRS element (for citing)
BOY	$90,327,000	BOYAmt
EOY	$87,821,000	EOYAmt

Loans From Officers Directors LoansFromOfficersDirectorsGrp

Field	Value	IRS element (for citing)
BOY	$0	BOYAmt
EOY	$0	EOYAmt

Mortg Notes Pybl Scrd Invst Prop MortgNotesPyblScrdInvstPropGrp

Field	Value	IRS element (for citing)
BOY	$0	BOYAmt
EOY	$0	EOYAmt

Unsecured Notes Loans Payable UnsecuredNotesLoansPayableGrp

Field	Value	IRS element (for citing)
BOY	$406,786,000	BOYAmt
EOY	$901,389,000	EOYAmt

Other Liabilities OtherLiabilitiesGrp

Field	Value	IRS element (for citing)
BOY	$369,244,000	BOYAmt
EOY	$379,752,000	EOYAmt

Total Liabilities TotalLiabilitiesGrp

Field	Value	IRS element (for citing)
BOY	$1,649,022,000	BOYAmt
EOY	$2,180,315,000	EOYAmt

Field	Value	IRS element (for citing)
Organization Follows SFAS117	Yes (X)	OrganizationFollowsSFAS117Ind

Unrestricted Net Assets UnrestrictedNetAssetsGrp

Field	Value	IRS element (for citing)
BOY	$708,350,000	BOYAmt
EOY	$507,208,000	EOYAmt

Temporarily Rstr Net Assets TemporarilyRstrNetAssetsGrp

Field	Value	IRS element (for citing)
BOY	$750,967,000	BOYAmt
EOY	$688,071,000	EOYAmt

Permanently Rstr Net Assets PermanentlyRstrNetAssetsGrp

Field	Value	IRS element (for citing)
BOY	$1,058,065,000	BOYAmt
EOY	$1,229,335,000	EOYAmt

Total Net Assets Fund Balance TotalNetAssetsFundBalanceGrp

Field	Value	IRS element (for citing)
BOY	$2,517,382,000	BOYAmt
EOY	$2,424,614,000	EOYAmt

Tot Liab Net Assets Fund Balance TotLiabNetAssetsFundBalanceGrp

Field	Value	IRS element (for citing)
BOY	$4,166,404,000	BOYAmt
EOY	$4,604,929,000	EOYAmt

Field	Value	IRS element (for citing)
Info In Schedule O Part XI	Yes (X)	InfoInScheduleOPartXIInd
Reconcilation Revenue Expnss	$122,484,000	ReconcilationRevenueExpnssAmt
Net Unrlzd Gains Losses Invst	-$182,868,000	NetUnrlzdGainsLossesInvstAmt
Other Changes In Net Assets	-$32,384,000	OtherChangesInNetAssetsAmt
Info In Schedule O Part XII	Yes (X)	InfoInScheduleOPartXIIInd
Method Of Accounting Accrual	Yes (X)	MethodOfAccountingAccrualInd
Accountant Compile Or Review	false	AccountantCompileOrReviewInd
FS Audited	Yes (true)	FSAuditedInd

FS Audited Basis FSAuditedBasisGrp

Field	Value	IRS element (for citing)
Separate Basis Fincl Stmt	Yes (X)	SeparateBasisFinclStmtInd

Field	Value	IRS element (for citing)
Audit Committee	Yes (true)	AuditCommitteeInd
Federal Grant Audit Required	Yes (true)	FederalGrantAuditRequiredInd
Federal Grant Audit Performed	Yes (true)	FederalGrantAuditPerformedInd

Schedule A IRS990ScheduleA

Field	Value	IRS element (for citing)
School	Yes (X)	SchoolInd

Gifts Grants Contri Rcvd170 GiftsGrantsContriRcvd170Grp

Field	Value	IRS element (for citing)
Current Tax Year Minus4 Years	$411,867,000	CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years	$415,694,000	CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years	$371,146,000	CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year	$382,698,000	CurrentTaxYearMinus1YearAmt
Current Tax Year	$481,336,000	CurrentTaxYearAmt
Total	$2,062,741,000	TotalAmt

Tax Rev Levied Orgnztnl Bnft170 TaxRevLeviedOrgnztnlBnft170Grp

Field	Value	IRS element (for citing)
Total	$0	TotalAmt

Govt Furn Srvc Fclts Vl170 GovtFurnSrvcFcltsVl170Grp

Field	Value	IRS element (for citing)
Total	$0	TotalAmt

Total Calendar Year170 TotalCalendarYear170Grp

Field	Value	IRS element (for citing)
Current Tax Year Minus4 Years	$411,867,000	CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years	$415,694,000	CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years	$371,146,000	CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year	$382,698,000	CurrentTaxYearMinus1YearAmt
Current Tax Year	$481,336,000	CurrentTaxYearAmt
Total	$2,062,741,000	TotalAmt

Field	Value	IRS element (for citing)
Substantial Contributors Tot	$52,040,943	SubstantialContributorsTotAmt
Public Support Total170	$2,010,700,057	PublicSupportTotal170Amt

Gross Investment Income170 GrossInvestmentIncome170Grp

Field	Value	IRS element (for citing)
Current Tax Year Minus4 Years	$37,271,000	CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years	$27,421,000	CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years	$54,294,000	CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year	$39,554,000	CurrentTaxYearMinus1YearAmt
Current Tax Year	$43,670,000	CurrentTaxYearAmt
Total	$202,210,000	TotalAmt

Unrelated Business Net Incm170 UnrelatedBusinessNetIncm170Grp

Field	Value	IRS element (for citing)
Current Tax Year Minus3 Years	$3,567,000	CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years	$14,868,000	CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year	$21,878,000	CurrentTaxYearMinus1YearAmt
Total	$40,313,000	TotalAmt

Other Income170 OtherIncome170Grp

Field	Value	IRS element (for citing)
Total	$0	TotalAmt

Field	Value	IRS element (for citing)
Total Support	$2,305,264,000	TotalSupportAmt
Gross Receipts Rltd Activities	$8,829,418,000	GrossReceiptsRltdActivitiesAmt
Public Support CY170	0.87222	PublicSupportCY170Pct
Public Support PY170	0.88963	PublicSupportPY170Pct
Thirty Thr Pct Suprt Tests CY170	Yes (X)	ThirtyThrPctSuprtTestsCY170Ind

Schedule B IRS990ScheduleB

Contributor Information ContributorInformationGrp

Field	Value	IRS element (for citing)
Contributor	RESTRICTED	ContributorNum

Contributor Business Name ContributorBusinessName

Field	Value	IRS element (for citing)
Business Name Line1	RESTRICTED	BusinessNameLine1

Contributor US Address ContributorUSAddress

Field	Value	IRS element (for citing)
Address Line1	RESTRICTED	AddressLine1
Address Line2	RESTRICTED	AddressLine2
City	RESTRICTED	City
State	RESTRICTED	State
ZIP Code	RESTRICTED	ZIPCode

Field	Value	IRS element (for citing)
Total Contributions	RESTRICTED	TotalContributionsAmt

Schedule C IRS990ScheduleC

Field	Value	IRS element (for citing)
Total Grassroots Lobbying		TotalGrassrootsLobbyingGrp
Total Direct Lobbying		TotalDirectLobbyingGrp
Total Lobbying Expend		TotalLobbyingExpendGrp
Other Exempt Purpose Expend		OtherExemptPurposeExpendGrp
Total Exempt Purpose Expend		TotalExemptPurposeExpendGrp
Lobbying Nontaxable Amount		LobbyingNontaxableAmountGrp
Grassroots Nontaxable		GrassrootsNontaxableGrp
Tot Lbbyng Grassroot Mns Non Tx		TotLbbyngGrassrootMnsNonTxGrp
Tot Lbby Expend Mns Lbbyng Non Tx		TotLbbyExpendMnsLbbyngNonTxGrp
Volunteers	false	VolunteersInd
Paid Staff Or Management	Yes (true)	PaidStaffOrManagementInd
Media Advertisements	false	MediaAdvertisementsInd
Mailings Members	false	MailingsMembersInd
Publications Or Broadcast	false	PublicationsOrBroadcastInd
Grants Other Organizations	Yes (true)	GrantsOtherOrganizationsInd
Grants Other Organizations	$451,000	GrantsOtherOrganizationsAmt
Direct Contact Legislators	Yes (true)	DirectContactLegislatorsInd
Direct Contact Legislators	$165,000	DirectContactLegislatorsAmt
Rallies Demonstrations	false	RalliesDemonstrationsInd
Other Activities	Yes (true)	OtherActivitiesInd
Total Lobbying Expenditures	$616,000	TotalLobbyingExpendituresAmt
Not Described Section501c3	false	NotDescribedSection501c3Ind

Supplemental Information Detail SupplementalInformationDetail

Field	Value	IRS element (for citing)
Form And Line Reference	lobbying activity explanation	FormAndLineReferenceDesc
Explanation	schedule C, part II-B THE INSTITUTE RETAINS A CONSULTING FIRM TO MONITOR LEGISLATIVE DEVELOPMENTS AND TO COUNSEL IT ON GOVERNMENT RELATIONS MATTERS. THE CONSULTANT MAY ESTABLISH DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, AND LEGISLATIVE BODIES AND ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED COMMUNICATION WHICH ATTEMPTS TO INFLUENCE LEGISLATION. FURTHER, THE INSTITUTE'S STAFF IN THE COURSE OF NECESSARY COMMUNICATIONS WITH GOVERNMENT OFFICIALS AND INFORMATIONAL PUBLIC EDUCATION ACTIVITIES, MAY FROM TIME TO TIME ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED TO INFLUENCE LEGISLATION. TOTAL LOBBYING EXPENDITURES INCLUDE THE TOTAL OF ALL EXPENDITURES IN ALL ACCOUNTS THAT THE INSTITUTE BELIEVES MAY POTENTIALLY HAVE ANY RELATIONSHIP TO LOBBYING. THIS AMOUNT INCLUDES ALL OFFICE BUDGET EXPENDITURES OF THE INSTITUTE'S OFFICE OF GOVERNMENT RELATIONS. THE INSTITUTE IS A MEMBER OF CERTAIN PROFESSIONAL AND ACADEMIC ORGAIZATIONS THAT HAVE REGISTERED TO LOBBY ON BEHALF OF MEMBERSHIP. ALTHOUGH A SMALL PORTION OF THE INSTITUE'S MEMBERSHIP DUES MAY BE USED FOR LOBBYING, THE AMOUNT IS IMMATERIAL. CALTECH'S MEMBERSHIP IN THESE ORGANIZATIONS IS FOR THE PURPOSE OF HAVING ACCESS TO THE MOST CURRENT INFORMATION ON GOVERNMENT AND BUSINESS DEVELOPMENTS AS THEY RELATE TO COLLEGES AND UNIVERSITIES AND NOT FOR ANY LOBBYING EFFORT.	ExplanationTxt

Schedule D IRS990ScheduleD

Field	Value	IRS element (for citing)
Art Public Exhibition Amounts		ArtPublicExhibitionAmountsGrp
Held Works Art		HeldWorksArtGrp
Coll Used Scholarly Rsrch	Yes (X)	CollUsedScholarlyRsrchInd
Collection Used Preservation	Yes (X)	CollectionUsedPreservationInd
Solicited Assets Sale	false	SolicitedAssetsSaleInd
Agent Trustee Etc	false	AgentTrusteeEtcInd
Incl Escrow Custodial Acct Liab	Yes (true)	InclEscrowCustodialAcctLiabInd
Explanation Provided	Yes (X)	ExplanationProvidedInd

CY Endwmt Fund CYEndwmtFundGrp

Field	Value	IRS element (for citing)
Beginning Year Balance	$2,115,730,000	BeginningYearBalanceAmt
Contributions	$159,020,000	ContributionsAmt
Investment Earnings Or Losses	-$38,909,000	InvestmentEarningsOrLossesAmt
Grants Or Scholarships	$18,755,000	GrantsOrScholarshipsAmt
Other Expenditures	$84,276,000	OtherExpendituresAmt
Administrative Expenses	$18,201,000	AdministrativeExpensesAmt
End Year Balance	$2,114,609,000	EndYearBalanceAmt

CY Minus1 Yr Endwmt Fund CYMinus1YrEndwmtFundGrp

Field	Value	IRS element (for citing)
Beginning Year Balance	$1,961,311,000	BeginningYearBalanceAmt
Contributions	$79,637,000	ContributionsAmt
Investment Earnings Or Losses	$188,312,000	InvestmentEarningsOrLossesAmt
Grants Or Scholarships	$18,546,000	GrantsOrScholarshipsAmt
Other Expenditures	$77,786,000	OtherExpendituresAmt
Administrative Expenses	$17,198,000	AdministrativeExpensesAmt
End Year Balance	$2,115,730,000	EndYearBalanceAmt

CY Minus2 Yr Endwmt Fund CYMinus2YrEndwmtFundGrp

Field	Value	IRS element (for citing)
Beginning Year Balance	$1,811,497,000	BeginningYearBalanceAmt
Contributions	$63,352,000	ContributionsAmt
Investment Earnings Or Losses	$194,690,000	InvestmentEarningsOrLossesAmt
Grants Or Scholarships	$17,756,000	GrantsOrScholarshipsAmt
Other Expenditures	$74,748,000	OtherExpendituresAmt
Administrative Expenses	$15,724,000	AdministrativeExpensesAmt
End Year Balance	$1,961,311,000	EndYearBalanceAmt

CY Minus3 Yr Endwmt Fund CYMinus3YrEndwmtFundGrp

Field	Value	IRS element (for citing)
Beginning Year Balance	$1,624,331,000	BeginningYearBalanceAmt
Contributions	$48,421,000	ContributionsAmt
Investment Earnings Or Losses	$247,221,000	InvestmentEarningsOrLossesAmt
Grants Or Scholarships	$15,692,000	GrantsOrScholarshipsAmt
Other Expenditures	$77,320,000	OtherExpendituresAmt
Administrative Expenses	$15,464,000	AdministrativeExpensesAmt
End Year Balance	$1,811,497,000	EndYearBalanceAmt

CY Minus4 Yr Endwmt Fund CYMinus4YrEndwmtFundGrp

Field	Value	IRS element (for citing)
Beginning Year Balance	$1,631,959,000	BeginningYearBalanceAmt
Contributions	$106,064,000	ContributionsAmt
Investment Earnings Or Losses	-$10,788,000	InvestmentEarningsOrLossesAmt
Grants Or Scholarships	$13,767,000	GrantsOrScholarshipsAmt
Other Expenditures	$75,029,000	OtherExpendituresAmt
Administrative Expenses	$14,108,000	AdministrativeExpensesAmt
End Year Balance	$1,624,331,000	EndYearBalanceAmt

Field	Value	IRS element (for citing)
Board Designated Balance EOY	0.29720	BoardDesignatedBalanceEOYPct
Prmnnt Endowment Balance EOY	0.68870	PrmnntEndowmentBalanceEOYPct
Term Endowment Balance EOY	0.01410	TermEndowmentBalanceEOYPct
Endowments Held Unrelated Org	false	EndowmentsHeldUnrelatedOrgInd
Endowments Held Related Org	false	EndowmentsHeldRelatedOrgInd

Land LandGrp

Field	Value	IRS element (for citing)
Other Cost Or Other Basis	$41,805,000	OtherCostOrOtherBasisAmt
Book Value	$41,805,000	BookValueAmt

Buildings BuildingsGrp

Field	Value	IRS element (for citing)
Other Cost Or Other Basis	$1,057,193,000	OtherCostOrOtherBasisAmt
Depreciation	$434,390,000	DepreciationAmt
Book Value	$622,803,000	BookValueAmt

Field	Value	IRS element (for citing)
Leasehold Improvements		LeaseholdImprovementsGrp

Equipment EquipmentGrp

Field	Value	IRS element (for citing)
Other Cost Or Other Basis	$564,443,000	OtherCostOrOtherBasisAmt
Depreciation	$429,873,000	DepreciationAmt
Book Value	$134,570,000	BookValueAmt

Other Land Buildings OtherLandBuildingsGrp

Field	Value	IRS element (for citing)
Other Cost Or Other Basis	$65,845,000	OtherCostOrOtherBasisAmt
Book Value	$65,845,000	BookValueAmt

Field	Value	IRS element (for citing)
Total Book Value Land Buildings	$865,023,000	TotalBookValueLandBuildingsAmt

Financial Derivatives FinancialDerivativesGrp

Field	Value	IRS element (for citing)
Book Value	$4,867,000	BookValueAmt
Method Valuation	F	MethodValuationCd

Field	Value	IRS element (for citing)
Closely Held Equity Interests		CloselyHeldEquityInterestsGrp

Other Securities OtherSecuritiesGrp (3 entries)

DescDesc	Book ValueBookValueAmt	Method ValuationMethodValuationCd
ALTERNATIVE SECURITIES	$776,106,000	F
PRIVATE EQUITY	$224,986,000	F
REAL ASSETS	$394,259,588	F

Field	Value	IRS element (for citing)
Total Book Value Securities	$1,400,218,588	TotalBookValueSecuritiesAmt
Federal Income Tax Liability	$0	FederalIncomeTaxLiabilityAmt

Other Liabilities Org OtherLiabilitiesOrgGrp

Field	Value	IRS element (for citing)
Desc	ACCUMULATED POST RET. BENEFIT	Desc
Amt	$379,752,000	Amt

Field	Value	IRS element (for citing)
Total Liability	$379,752,000	TotalLiabilityAmt
Footnote Text	Yes (X)	FootnoteTextInd
Total Rev Etc Audited Fincl Stmt	$2,338,451,000	TotalRevEtcAuditedFinclStmtAmt
Net Unrealized Gains Invst	-$182,868,000	NetUnrealizedGainsInvstAmt
Other Revenue	-$76,948,000	OtherRevenueAmt
Revenue Not Reported	-$259,816,000	RevenueNotReportedAmt
Revenue Subtotal	$2,598,267,000	RevenueSubtotalAmt
Total Revenue Per Form990	$2,598,267,000	TotalRevenuePerForm990Amt
Tot Expns Etc Audited Fincl Stmt	$2,413,578,000	TotExpnsEtcAuditedFinclStmtAmt
Expenses Subtotal	$2,413,578,000	ExpensesSubtotalAmt
Investment Expenses Not Incld2	$6,951,000	InvestmentExpensesNotIncld2Amt
Other Expenses Not Included	$55,254,000	OtherExpensesNotIncludedAmt
Expenses Not Rpt Fincl Stmt	$62,205,000	ExpensesNotRptFinclStmtAmt
Total Expenses Per Form990	$2,475,783,000	TotalExpensesPerForm990Amt

Supplemental Information Detail SupplementalInformationDetail

Field	Value	IRS element (for citing)
Form And Line Reference	FORM 990, SCHEDULE D, PART III, LINE 1a	FormAndLineReferenceDesc
Explanation	The Institute does not capitalize its collection items. Due to the immateriality of the effect of collections practices on its financial statements, the Institute does not disclose its collections policies. FORM 990, SCHEDULE D, PART III, LINE 4 CALTECH MAINTAINS A COLLECTION OF INSTITUTIONAL RECORDS, DOCUMENTs, ARTIFACTS, and SPECIMENS FOR HISTORICAL PRESERVATION, INSTRUCTION, AND SCHOLARLY RESEARCH. FORM 990, SCHEDULE D, PART IV, LINE 2B The Institute IS THE TRUSTEE OF donor annuities and trust agreements and manages CERTAIN investment funds for others, such as related organizations. FORM 990, SCHEDULE D, PART V, LINE 4 The Institute's endowment functions to provide income to support the Institute's mission of scientific research and education. Form 990, Schedule D, Part VII, Line 3(A) Alternative Securities include, but are not limited to, substantial INVESTMENT holdings that are illiquid and/or contain various redemption restrictions. FORM 990, SCHEDULE D, PART X, LINE 2 THE INSTITUTE IS GENERALLY EXEMPT FROM FEDERAL INCOME TAXES RELATED TO ITS CHARITABLE PURPOSE UNDER THE PROVISIONS OF IRC SECTION 501(C)(3) AND FROM CALIFORNIA AND OTHER STATE INCOME TAXES UNDER CORRESPONDING STATE LAWS. THE INSTITUTE IS SUBJECT TO BOTH FEDERAL AND STATE INCOME TAXES ON INCOME FROM CERTAIN ACTIVITIES NOT SUBSTANTIALLY RELATED TO ITS EXEMPT PURPOSE. AT SEPTEMBER 30, 2015 AND 2014, THE INSTITUTE MAINTAINED A FULL VALUATION ALLOWANCE ON ITS IMMATERIAL DEFERRED TAX ASSETS, WHICH ARE PRIMARILY DUE TO TAX LOSSES FROM CERTAIN INVESTMENT ACTIVITIES. DUE TO UNCERTAINTIES SURROUNDING BOTH THE TIMING AND AMOUNTS OF POTENTIAL FUTURE NET TAXABLE INCOME, THE INSTITUTE HAS CONCLUDED THAT IT IS MORE LIKELY THAN NOT THAT THE INSTITUTE WILL NOT REALIZE THE DEFERRED TAX ASSETS. THE INSTITUTE HAS NO REPORTING REQUIREMENTS FOR UNCERTAIN TAX POSITIONS FOR THE YEARS ENDED SEPTEMBER 30, 2015 AND 2014. FORM 990, SCHEDULE D, PART XI, LINE 2D RECLASSify FINANCIAL AID NETTED WITH TUITION ($55,254,000) CHANGES IN FAIR VALUE OF INTEREST RATE SWAP ($14,743,000) INVESTMENT EXPENSE ($6,951,000) -------------- TOTAL ($76,948,000) FORM 990, SCHEDULE D, PART XII, LINE 4B FINANCIAL AID EXPENSE $55,254,000 -------------- Total $55,254,000	ExplanationTxt

Schedule E IRS990ScheduleE

Field	Value	IRS element (for citing)
Nondiscriminatory Policy Stmt	Yes (true)	NondiscriminatoryPolicyStmtInd
Policy Stmt In Brochures Etc	Yes (true)	PolicyStmtInBrochuresEtcInd
Plcy Pblczd Via Broadcast Media	Yes (true)	PlcyPblczdViaBroadcastMediaInd
Maintain Racial Comp Recs	Yes (true)	MaintainRacialCompRecsInd
Maintain Scholarships Recs	Yes (true)	MaintainScholarshipsRecsInd
Maintain Cpy Of Brochures Etc	Yes (true)	MaintainCpyOfBrochuresEtcInd
Maintain Cpy Of All Sol	Yes (true)	MaintainCpyOfAllSolInd
Discriminate Race Stdnts Rghts	false	DiscriminateRaceStdntsRghtsInd
Discriminate Race Admiss Plcy	false	DiscriminateRaceAdmissPlcyInd
Discriminate Race Emplm Fculty	false	DiscriminateRaceEmplmFcultyInd
Discriminate Race Schs	false	DiscriminateRaceSchsInd
Discriminate Race Educ Plcy	false	DiscriminateRaceEducPlcyInd
Discriminate Race Use Of Fclts	false	DiscriminateRaceUseOfFcltsInd
Discriminate Race Athlt Prog	false	DiscriminateRaceAthltProgInd
Discriminate Race Other Acty	false	DiscriminateRaceOtherActyInd
Government Financial Aid Rcvd	Yes (true)	GovernmentFinancialAidRcvdInd
Government Financial Aid Rvkd	false	GovernmentFinancialAidRvkdInd
Compliance With Rev Proc7550	Yes (true)	ComplianceWithRevProc7550Ind

Supplemental Information Detail SupplementalInformationDetail

Field	Value	IRS element (for citing)
Form And Line Reference	SCHEDULE E, LINE 3	FormAndLineReferenceDesc
Explanation	THE INSTITUTE'S RACIALLY NONDISCRIMINATORY POLICY IS CONTAINED IN THE MINUTES OF THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES OF FEBRUARY 1976. THE STATEMENT OF THIS POLICY OR REFERENCE THERETO APPEARS IN SUBSTANTIALLY ALL OF THE INSTITUTE'S CATALOGS, BROCHURES, AND OTHER WRITTEN COMMUNICATIONS WITH THE PUBLIC DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS. THE INSTITUTE SATISFIED THE PUBLICATIONS REQUIREMENT BY VIRTUE OF ITS COMPLIANCE WITH SECTION 4.02 AS PROVIDED IN SECTION 4.03-2(B). SCHEDULE E, LINE 6A THE INSTITUTE RECEIVES GRANTS AND ENTERS INTO CONTRACTS WITH VARIOUS AGENCIES OF THE U.S. GOVERNMENT, THE STATE OF CALIFORNIA, AND LOCAL GOVERNMENT UNITS FOR RESEARCH, TRAINING, AND STUDENT AID.	ExplanationTxt

Schedule F IRS990ScheduleF

Field	Value	IRS element (for citing)
Grant Records Maintained	Yes (true)	GrantRecordsMaintainedInd

Account Activities Outside US AccountActivitiesOutsideUSGrp (16 entries)

RegionRegionTxt	OfficesOfficesCnt	EmployeeEmployeeCnt	Type Of Activities ConductedTypeOfActivitiesConductedTxt	Region Total ExpendituresRegionTotalExpendituresAmt	Specific Services ProvidedSpecificServicesProvidedTxt
Central America and the Caribbean	0	0	Investments	$609,782,322
Central America and the Caribbean	0	0	Program Services	$72,637	Scientific Research
East Asia and the Pacific	0	0	Investments	$12,760,758
East Asia and the Pacific	0	0	Program Services	$3,228,200	Scientific Research
Europe (Including Iceland and Greenland)	0	0	Investments	$48,299,421
Europe (Including Iceland and Greenland)	2	13	Program Services	$49,181,304	Scientific Research
Middle East and North Africa	0	0	Investments	$2,344,980
Middle East and North Africa	0	0	Program Services	$448,807	Scientific Research
North America	0	0	Investments	$11,092,503
North America	1	1	Program Services	$2,663,795	Scientific Research
Russia and Neighboring States	0	0	Investments	$1,949,888
Russia and Neighboring States	0	0	Program Services	$56,167	Scientific Research
South America	0	0	Investments	$25,870,871
South America	0	0	Program Services	$311,865	Scientific Research
South Asia	0	0	Program Services	$503,920	Scientific Research
Sub-Saharan Africa	0	0	Program Services	$79,554	Scientific Research

Field	Value	IRS element (for citing)
Subtotal Offices	3	SubtotalOfficesCnt
Subtotal Employees	14	SubtotalEmployeesCnt
Total Office	3	TotalOfficeCnt
Total Employee	14	TotalEmployeeCnt
Subtotal Spent	$768,646,992	SubtotalSpentAmt
Total Spent	$768,646,992	TotalSpentAmt

Foreign Individuals Grants ForeignIndividualsGrantsGrp

Field	Value	IRS element (for citing)
Type Of Assistance	STUDY ABROAD	TypeOfAssistanceTxt
Region	Europe (Including Iceland and Greenland)	RegionTxt
Recipient	27	RecipientCnt
Cash Grant	$204,000	CashGrantAmt
Manner Of Cash Disbursement	WIRE	MannerOfCashDisbursementTxt

Field	Value	IRS element (for citing)
Transfer To Foreign Corp	Yes (true)	TransferToForeignCorpInd
Interest In Foreign Trust	false	InterestInForeignTrustInd
Foreign Corp Ownership	Yes (true)	ForeignCorpOwnershipInd
Passive Foreign Investmest Co	Yes (true)	PassiveForeignInvestmestCoInd
Foreign Partnership	Yes (true)	ForeignPartnershipInd
Boycott Countries	Yes (true)	BoycottCountriesInd

Supplemental Information Detail SupplementalInformationDetail

Field	Value	IRS element (for citing)
Form And Line Reference	Form 990, schedule f, Part I, LINES 1 AND 2	FormAndLineReferenceDesc
Explanation	RECORDS FOR THE INSTITUTE'S STUDY ABROAD PROGRAM ARE MAINTAINED BY THE OFFICE OF FELLOWSHIPS ADVISING AND STUDY ABROAD. THIS OFFICE IS RESPONSIBLE FOR MONITORING THE USE OF FUNDS UNDER ESTABLISHED GUIDELINES. FORM 990, SCHEDULE F, PART I, LINE 3 THE ORGANIZATION IS ABLE TO IDENTIFY EXPENDITURES THROUGH ITS BOOKS AND RECORDS. EXPENDITURES FOR ALL PROGRAM SERVICES ARE MADE AT FAIR VALUE WITH THE OBJECTIVE OF OBTAINING THE BEST RATES AVAILABLE. THE INSTITUTE'S INVESTMENT OFFICE IS RESPONSIBLE FOR ALL FOREIGN AND DOMESTIC INVESTMENTS. ALL INVESTMENTS ARE MADE AT FAIR MARKET VALUE (FMV). FORM 990, SCHEDULE F, PARTS I & III EXPENDITURES PER REGION ARE REPORTED ON AN ACCRUAL BASIS, WHICH IS THE METHOD USED TO ACCOUNT FOR THEM IN THE ORGANIZATION'S BOOKS AND RECORDS.	ExplanationTxt

Schedule I IRS990ScheduleI

Field	Value	IRS element (for citing)
Grant Records Maintained	Yes (true)	GrantRecordsMaintainedInd

Recipient Table RecipientTable (2 entries)

Address Line1USAddress/AddressLine1Txt	CityUSAddress/CityNm	State AbbreviationUSAddress/StateAbbreviationCd	ZIPUSAddress/ZIPCd	Recipient EINRecipientEIN	IRC SectionIRCSectionDesc	Cash GrantCashGrantAmt	Purpose Of GrantPurposeOfGrantTxt
CALTECH Y
1200 E CALIFORNIA BLVD	PASADENA	CA	91125	951684790	501(C)(3)	$75,000	ASSIST RELATED ORG.
UNITED WAY GREATER LOS ANGELES
1150 S OLIVE ST T500	LOS ANGELES	CA	90015	952274801	501(C)(3)	$45,000	DESIGNATED ASSISTANCE

Field	Value	IRS element (for citing)
Total501c3 Org	2	Total501c3OrgCnt

Grants Other Asst To Indiv In US GrantsOtherAsstToIndivInUSGrp

Field	Value	IRS element (for citing)
Grant Type	STUDENT AID	GrantTypeTxt
Recipient	1669	RecipientCnt
Cash Grant	$73,155,000	CashGrantAmt

Supplemental Information Detail SupplementalInformationDetail

Field	Value	IRS element (for citing)
Form And Line Reference	form 990, schedule i, part i, line 2	FormAndLineReferenceDesc
Explanation	THE INSTITUTE'S GRANTS AND ASSISTANCE WITHIN THE UNITED STATES CONSISTS PRIMARILY OF SCHOLARSHIPS AND FELLOWSHIPS AWARDED TO STUDENTS. STUDENTS ARE SELECTED FOR SCHOLARSHIPS AND FELLOWSHIPS BASED ON ACADEMIC ACHIEVEMENT, FINANCIAL NEED, AND SIMILAR STANDARDS. VARIOUS INSTITUTE OFFICES MONITOR ELIGIBILITY AND SATISFACTORY ACADEMIC PROGRESS BY GRANTEES. THE INSTITUTE MAKES AN ANNUAL $75,000 GRANT TO THE CALTECH Y. IN ADDITION, THE INSTITUTE ALLOWS THE CALTECH Y THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH Y IS A RELATED ORGANIZATION WHOSE MISSION IS TO SUPPORT THE STUDENTS OF CALTECH THROUGH VARIOUS ACTIVITIES. THE INSTITUTE MAKES AN ANNUAL DONATION (DESIGNATED ASSISTANCE) TO THE UNITED WAY OF GREATER LOS ANGELES. INSTITUTE OFFICES MONITOR THE GRANTEE'S PERFORMANCE ACCORDING TO THEIR RESPECTIVE PROGRAM SERVICES GOALS AND/OR PURSUANT TO OTHER AGREEMENTS. FORM 990, SCHEDULE I, PART III, COLUMN (C) CASH GRANTS REPRESENT CREDIT ON ACCOUNTS.	ExplanationTxt

Schedule J IRS990ScheduleJ

Field	Value	IRS element (for citing)
First Class Or Charter Travel	Yes (X)	FirstClassOrCharterTravelInd
Idemnification Gross Up Pmts	Yes (X)	IdemnificationGrossUpPmtsInd
Housing Allowance Or Residence	Yes (X)	HousingAllowanceOrResidenceInd
Written Policy Ref T And E Expnss	Yes (true)	WrittenPolicyRefTAndEExpnssInd
Substantiation Required	Yes (true)	SubstantiationRequiredInd
Compensation Committee	Yes (X)	CompensationCommitteeInd
Compensation Survey	Yes (X)	CompensationSurveyInd
Board Or Committee Approval	Yes (X)	BoardOrCommitteeApprovalInd
Severance Payment	Yes (true)	SeverancePaymentInd
Supplemental Nonqual Rtr Plan	Yes (true)	SupplementalNonqualRtrPlanInd
Equity Based Comp Arrngm	false	EquityBasedCompArrngmInd
Comp Based On Revenue Of Flng Org	false	CompBasedOnRevenueOfFlngOrgInd
Comp Bsd On Rev Related Orgs	false	CompBsdOnRevRelatedOrgsInd
Comp Bsd Net Earns Flng Org	false	CompBsdNetEarnsFlngOrgInd
Comp Bsd Net Earns Rltd Orgs	false	CompBsdNetEarnsRltdOrgsInd
Any Non Fixed Payments	Yes (true)	AnyNonFixedPaymentsInd
Initial Contract Exception	Yes (true)	InitialContractExceptionInd
Rebuttable Presumption Proc	Yes (true)	RebuttablePresumptionProcInd

Rltd Org Officer Trst Key Empl RltdOrgOfficerTrstKeyEmplGrp (22 entries)

TitleTitleTxt	Base Compensation Filing OrgBaseCompensationFilingOrgAmt	Compensation Based On Rltd OrgsCompensationBasedOnRltdOrgsAmt	Bonus Filing OrganizationBonusFilingOrganizationAmount	Bonus Related OrganizationsBonusRelatedOrganizationsAmt	Other Compensation Filing OrgOtherCompensationFilingOrgAmt	Other Compensation Rltd OrgsOtherCompensationRltdOrgsAmt	Deferred Compensation Flng OrgDeferredCompensationFlngOrgAmt	Deferred Comp Rltd OrgsDeferredCompRltdOrgsAmt	Nontaxable Benefits Filing OrgNontaxableBenefitsFilingOrgAmt	Nontaxable Benefits Rltd OrgsNontaxableBenefitsRltdOrgsAmt	Total Compensation Filing OrgTotalCompensationFilingOrgAmt	Total Compensation Rltd OrgsTotalCompensationRltdOrgsAmt	Comp Report Prior990 Filing OrgCompReportPrior990FilingOrgAmt	Comp Report Prior990 Rltd OrgsCompReportPrior990RltdOrgsAmt
MATTHEW W BREWER
Controller	$193,578	$0	$3,000	$0	$17,860	$0	$24,796	$0	$28,451	$0	$267,685	$0	$0	$0
DEAN CURRIE
VP FOR BUSINESS AND FINANCE	$581,559	$0	$0	$0	$576	$0	$40,131	$0	$22,585	$0	$644,851	$0	$0	$0
CHARLES ELACHI
VP/DIR JET PROPULSION LAB	$503,580	$0	$306,700	$0	$18,076	$0	$40,131	$0	$21,675	$0	$890,162	$0	$0	$0
DIANA JERGOVIC
VP STRATEGY Implementation	$160,529	$0	$30,000	$0	$28,436	$0	$14,865	$0	$6,986	$0	$240,816	$0	$0	$0
BRIAN KEITH LEE
VP for Dev & INSTIT. RELATIONS	$493,233	$0	$2,500	$0	$109,857	$0	$40,131	$0	$19,148	$0	$664,869	$0	$0	$0
MADELINE WAY LEE
Assistant Treasurer	$145,153	$0	$0	$0	$0	$0	$14,463	$0	$20,490	$0	$180,106	$0	$0	$0
JENNIFER THERESA LUM
Deputy General Counsel	$240,738	$0	$0	$0	$482	$0	$28,863	$0	$27,680	$0	$297,763	$0	$0	$0
SHARON E PATTERSON
Assoc. VP for fin. & treas.	$334,485	$0	$5,000	$0	$5,269	$0	$29,731	$0	$12,001	$0	$386,486	$0	$0	$0
SCOTT H RICHLAND
Chief Investment Officer	$519,422	$0	$204,048	$0	$17,500	$0	$394,730	$0	$48,721	$0	$1,184,421	$0	$195,481	$0
ANNEILA I SARGENT
VP Studnt Aff (UNTIL 07/2015)	$328,594	$0	$0	$0	$541	$0	$40,131	$0	$14,357	$0	$383,623	$0	$0	$0
JOSEPH E SHEPHERD
VP Studnt Aff (SINCE 07/2015)	$234,538	$0	$0	$0	$453	$0	$36,239	$0	$13,625	$0	$284,855	$0	$0	$0
EDWARD M STOLPER
PROVOST	$638,338	$0	$35,000	$0	$18,076	$0	$140,131	$0	$9,208	$0	$840,753	$0	$0	$0
VICTORIA D STRATMAN
General Counsel	$418,522	$0	$0	$0	$18,076	$0	$40,131	$0	$15,757	$0	$492,486	$0	$0	$0
MARY L WEBSTER
Secretary of board of trustees	$218,564	$0	$5,000	$0	$16,052	$0	$36,171	$0	$13,601	$0	$289,388	$0	$0	$0
LARRY DEAN JAMES
Deputy Director of JPL	$353,593	$0	$76,650	$0	$44,739	$0	$40,131	$0	$2,028	$0	$517,141	$0	$0	$0
KANIANTHRA MANI CHANDY
Prof of Comp Sci - Emeritus	$22,660	$0	$0	$0	$613,817	$0	$18,572	$0	$3,460	$0	$658,509	$0	$0	$0
SARKIS MAZMANIAN
Professor of Microbiology	$220,127	$0	$200,000	$0	$11,255	$0	$24,417	$0	$7,070	$0	$462,869	$0	$0	$0
PAUL H PATTERSON
Prof of Bio Sci-Emeritus	$1,529	$0	$0	$0	$451,524	$0	$41,680	$0	$1,702	$0	$496,435	$0	$0	$0
EDWARD C STONE
Professor of Physics	$319,821	$0	$0	$0	$95,363	$0	$40,131	$0	$14,102	$0	$469,417	$0	$0	$0
RICHARD M WILSON
Prof of Mathematics - Emeritus	$77,841	$0	$0	$0	$461,395	$0	$25,025	$0	$11,039	$0	$575,300	$0	$0	$0
THOMAS F ROSENBAUM
PRES/TRUSTEE	$444,296	$0	$0	$0	$9,328	$0	$20,066	$0	$53,886	$0	$527,576	$0	$0	$0
JAKOB J VAN ZYL
FAC ASSOC. & ASSOC DIR JPL	$331,135	$0	$19,500	$0	$17,029	$0	$40,131	$0	$13,360	$0	$421,155	$0	$0	$0

Supplemental Information Detail SupplementalInformationDetail

Field	Value	IRS element (for citing)
Form And Line Reference	form 990, schedule j, part i, line 1a	FormAndLineReferenceDesc
Explanation	FIRST CLASS TRAVEL: PURSUANT TO A WRITTEN POLICY, FIRST CLASS OR BUSINESS CLASS TRAVEL IS PERMITTED FOR CERTAIN EMPLOYEES UNDER CERTAIN CIRCUMSTANCES FOR BUSINESS PURPOSES. DURING CALENDAR YEAR 2014, SIX OFFICERS AND ONE KEY EMPLOYEE RECEIVED FIRST CLASS OR CHARTER TRAVEL BENEFITS. TRAVEL FOR BUSINESS PURPOSES IS NOT INCLUDED IN TAXABLE WAGES. TAX INDEMNIFICATION AND GROSS UP PAYMENTS: DURING CALENDAR YEAR 2014, ONE OFFICER AND ONE HIGHEST COMPENSATED EMPLOYEE RECEIVED TAX INDEMNIFICATION AND GROSS UP PAYMENTS. HOUSING ALLOWANCE: HOUSING ALLOWANCES ARE PROVIDED TO CERTAIN OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES AS PART OF THE INSTITUTE'S SALARY SUPPLEMENT HOUSING PROGRAM, WHICH IS GOVERNED BY A WRITTEN POLICY. DURING CALENDAR 2014, TWO OFFICERS, ONE KEY EMPLOYEE, AND ONE HIGHEST COMPENSATED EMPLOYEE RECEIVED HOUSING ALLOWANCE BENEFITS. PAYMENTS UNDER THIS PROGRAM ARE INCLUDED IN TAXABLE WAGES. THE PRESIDENT OCCUPIES AN INSTITUTE-OWNED RESIDENCE ON ITS CAMPUS AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE INSTITUTE. THE PRESIDENT'S NONTAXABLE BENEFITS IN SCHEDULE J, PART I, COLUMN (D) INCLUDE $23,708 AS A PRO-RATA ESTIMATE OF THE ANNUAL RENTAL VALUE OF THE PERSONAL SPACE OCCUPIED IN THAT RESIDENCE. RENTAL ALLOWANCE: RENTAL ALLOWANCES ARE PROVIDED TO CERTAIN OFFICERS AND HIGHEST COMPENSATED EMPLOYEES. THESE ALLOWANCES ARE GOVERNED BY INDIVIDUAL WRITTEN AGREEMENTS WITH THE RESPECTIVE EMPLOYEES. DURING CALENDAR 2014, ONE OFFICER AND ONE HIGHEST COMPENSATED EMPLOYEE RECEIVED RENTAL ALLOWANCE BENEFITS THAT WERE GROSSED-UP FOR APPLICABLE TAXES AND INCLUDED IN TAXABLE WAGES. FORM 990, SCHEDULE J, PART I, LINE 4A SCHEDULE J, PART I, COLUMN B (III) INCLUDES COMPENSATION PAID IN CALENDAR 2014 UNDER THE INSTITUTE'S EARLY RETIREMENT PLAN FOR FACULTY. EARLY RETIREES AND THEIR RESPECTIVE COMPENSATION AMOUNTS UNDER THAT PLAN WERE: KANIANTHRA MANI CHANDY, $613,796, RICHARD M. WILSON, $461,235, AND PAUL H. PATTERSON, $433,987. FORM 990, SCHEDULE J, PART I, LINE 4B TERMS AND CONDITIONS OF DEFERRED PERFORMANCE COMPENSATION PLAN FOR INVESTMENT PROFESSIONALS: IN 2011 THE INSTITUTE ESTABLISHED A PERFORMANCE COMPENSATION PLAN ("PLAN") TO ASSIST WITH RECRUITMENT AND RETENTION FOR ITS INVESTMENT OFFICE. UNDER THE TERMS OF THE PLAN, PARTICIPANTS ARE ELIGIBLE FOR CERTAIN AWARDS BASED ON THE PERFORMANCE OF THE INSTITUTE'S INVESTMENTS EACH CALENDAR YEAR, AS MEASURED BY CERTAIN QUANTITATIVE AND QUALITATIVE FACTORS. DURING CALENDAR YEAR 2014, ONE INDIVIDUAL REPORTED IN SCHEDULE J, SCOTT RICHLAND, RECEIVED SUCH COMPENSATION. 50% OF THE AWARDS UNDER THE PLAN ARE PAID DURING THE CALENDAR YEAR SUBSEQUENT TO THE END OF THE PERFORMANCE MEASUREMENT PERIOD WHILE THE REMAINING 50% OF EACH YEAR'S AWARD IS DEFERRED AND PAID IN THREE (POST-2013) OR FOUR (2011-2013) ANNUAL INSTALLMENTS. FOR MR. RICHLAND, COLUMN B(ii), "BONUS AND INCENTIVE COMPENSATION" COMPRISES PLAN CASH AMOUNTS PAID DURING CALENDAR YEAR 2014 WHICH REPRESENTS THE AGGREGATE OF 50% OF HIS AWARD FOR CALENDAR YEAR 2013 PERFORMANCE AND INSTALLMENTS FROM AMOUNTS DEFERRED FROM 2011 (THE FIRST YEAR OF THE PLAN) AND 2012. THE AMOUNT SHOWN UNDER COLUMN C, "DEFERRED COMPENSATION," CONSISTS OF $29,730 IN EMPLOYER CONTRIBUTIONS TO MR. RICHLAND'S DEFINED CONTRIBUTION RETIREMENT PLAN (UNRELATED TO THE PERFORMANCE COMPENSATION PLAN) PLUS $365,000 REPRESENTING THE GROSS AMOUNT OF HIS CALENDAR YEAR 2014 PLAN AWARD WHICH WILL BE PAID (ALONG WITH, OR NET OF, ANY INVESTMENT EARNINGS OR LOSSES) DURING CALENDAR YEARS 2015 - 2018. DEFERRED AMOUNTS UNDER THE PLAN ARE SUBJECT TO RISK OF FORFEITURE UNDER CERTAIN CIRCUMSTANCES AS DESCRIBED IN THE PLAN. TERMS AND CONDITIONS OF DEFERRED COMPENSATION AGREEMENT FOR THE PROVOST: In Calendar Year 2013, the institute entered into a deferred compensation agreement with the Provost. Per the terms of the agreement a total of $165,000 was set aside over 2 years (2013 and 2014). Vesting will occur January 16, 2021, or at an earlier date under certain conditions described in the agreement, and the amounts under the agreement are subject to risk of forfeiture under certain circumstances. The $100,000 set aside by the Institute in 2014 in an investment account, as per the deferred compensation agreement, is included in Schedule J, Part II, Column C. FORM 990, SCHEDULE J, PART I, LINE 7 CERTAIN INDIVIDUALS LISTED IN PART I OF SCHEDULE J RECEIVED BONUSES IN RECOGNITION OF EXCELLENT JOB PERFORMANCE OR AS A NEGOTIATED PAYMENT AT THE BEGINNING OF AN EMPLOYMENT ARRANGEMENT. BONUS RECIPIENTS' NAMES AND AMOUNTS PAID ARE SHOWN IN SCHEDULE J, PART II, COLUMN (BII). SCOTT H. RICHLAND - CHIEF INVESTMENT OFFICER: THE INSTITUTE OFFERS INCENTIVE COMPENSATION TO CERTAIN INVESTMENT PROFESSIONALS BASED UPON THE INSTITUTE'S INVESTMENT PERFORMANCE. SEE RESPONSE TO QUESTION 4B ABOVE. FORM 990, SCHEDULE J, PART I, LINES 8 AND 9 THOMAS F. ROSENBAUM - PRESIDENT/TRUSTEE DR. ROSENBAUM'S EMPLOYMENT CONTRACT DESCRIBES HIS INITIAL COMPENSATION AND BENEFITS. DIANA JERGOVIC - VICE PRESIDENT FOR STRATEGY IMPLEMENTATION DR. JERGOVIC'S EMPLOYMENT CONTRACT DESCRIBES HER INITIAL COMPENSATION AND BENEFITS.	ExplanationTxt

Schedule K IRS990ScheduleK

Tax Exempt Bonds Issues TaxExemptBondsIssuesGrp (2 entries)

Bond ReferenceBondReferenceCd	Bond Issuer EINBondIssuerEIN	CUSIPCUSIPNum	Bond IssuedBondIssuedDt	Issue PriceIssuePriceAmt	PurposePurposeDesc	DefeasedDefeasedInd	On Behalf Of IssuerOnBehalfOfIssuerInd	Pool FinancingPoolFinancingInd
CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY
A	521705592	130178EZ5	2006-07-12	$165,000,000	FIN VAR CAP PROJ,REFUND SER 2003	false	false	false
CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY
B	521705592	130178TE6	2009-07-28	$80,696,800	CONST,ACQ,IMPROVE VAR CAP PROJ	false	false	false

Tax Exempt Bonds Proceeds TaxExemptBondsProceedsGrp (2 entries)

Bond ReferenceBondReferenceCd	RetiredRetiredAmt	Bond DefeasedBondDefeasedAmt	Total ProceedsTotalProceedsAmt	In Reserve FundInReserveFundAmt	Capitalized InterestCapitalizedInterestAmt	Refunding EscrowRefundingEscrowAmt	Issuance Costs From ProceedsIssuanceCostsFromProceedsAmt	Credit EnhancementCreditEnhancementAmt	Working Capital ExpendituresWorkingCapitalExpendituresAmt	Capital ExpendituresCapitalExpendituresAmt	Other Spent ProceedsOtherSpentProceedsAmt	UnspentUnspentAmt	Substantial CompletionSubstantialCompletionYr	Current RefundingCurrentRefundingInd	Advance RefundingAdvanceRefundingInd	Final Allocation MadeFinalAllocationMadeInd	Adequate Books And Rec MaintAdequateBooksAndRecMaintInd
A	$0	$0	$184,062,305	$0	$0	$0	$1,340,471	$0	$0	$93,471,834	$89,250,000	$0	2010	false	Yes (true)	Yes (true)	Yes (true)
B	$0	$0	$80,796,565	$0	$0	$0	$992,698	$0	$0	$79,803,867	$0	$0	2010	false	false	Yes (true)	Yes (true)

Tax Exempt Bonds Private Bus Use TaxExemptBondsPrivateBusUseGrp (2 entries)

Bond ReferenceBondReferenceCd	Owning Bond Financed PropertyOwningBondFinancedPropertyInd	Any Lease ArrangementsAnyLeaseArrangementsInd	Mgmt Contract Bond Fincd PropMgmtContractBondFincdPropInd	Any Research AgreementsAnyResearchAgreementsInd	Engage Bond Counsel ResearchEngageBondCounselResearchInd	Private Bus Use By OthersPrivateBusUseByOthersPct	Private Bus Concerning UBIPrivateBusConcerningUBIPct	Total Private Business UseTotalPrivateBusinessUsePct	Bond Iss Meet Prvt Sec Pymt TestBondIssMeetPrvtSecPymtTestInd	Change In Use Bond Financed PropChangeInUseBondFinancedPropInd	Remedial Action TakenRemedialActionTakenInd	Procs Nonqualified Bond RemdtdProcsNonqualifiedBondRemdtdInd	Engage Bond Counsel ContractsEngageBondCounselContractsInd
A	false	Yes (true)	false	Yes (true)	Yes (true)	0.01200	0.00300	0.01500	false	false	false	Yes (true)
B	false	Yes (true)	Yes (true)	Yes (true)	Yes (true)	0.00000	0.00000	0.00000	false	false	false	Yes (true)	Yes (true)

Tax Exempt Bonds Arbitrage TaxExemptBondsArbitrageGrp (2 entries)

Bond ReferenceBondReferenceCd	Form8038 T FiledForm8038TFiledInd	Rebate Not Due YetRebateNotDueYetInd	Exception To RebateExceptionToRebateInd	No Rebate DueNoRebateDueInd	Variable Rate IssueVariableRateIssueInd	Hedge Identified In Bks And RecHedgeIdentifiedInBksAndRecInd	Term Of HedgeTermOfHedgePct	Superintegrated HedgeSuperintegratedHedgeInd	Hedge TerminatedHedgeTerminatedInd	Gross Proceeds Invested In GICGrossProceedsInvestedInGICInd	Business Name Line1GICProviderName/BusinessNameLine1Txt	Term Of GICTermOfGICPct	Regulatory Safe Harbor StsfdRegulatorySafeHarborStsfdInd	Gross Proceeds InvestedGrossProceedsInvestedInd	Written Proc To Monitor ReqsWrittenProcToMonitorReqsInd
BANK OF NY MELLON
A	false	false	Yes (true)	Yes (true)	Yes (true)	Yes (true)	30.3	false	false	Yes (true)	CITIGROUP GLBL TRADE	2.	Yes (true)	false	Yes (true)
0
B	false	false	Yes (true)	Yes (true)	false	false				false	0			false	Yes (true)

Procedures Corrective Action ProceduresCorrectiveActionGrp (2 entries)

Bond ReferenceBondReferenceCd	Procedures Corrective ActionProceduresCorrectiveActionInd
A	Yes (true)
B	Yes (true)

Supplemental Information Detail SupplementalInformationDetail (2 entries)

Form And Line ReferenceFormAndLineReferenceDesc	ExplanationExplanationTxt
COLUMN A:	DIFFERENCE BETWEEN AMOUNT IN PART I, (E) AND PART II, 3 IS DUE TO INTEREST EARNED ON INVESTED PROCEEDS. PART I, LINE A(F) - THE ISSUE DATE OF THE SERIES 2003 BONDS IS 01/15/2003. PART IV, LINE 2C - THE REBATE COMPUTATION WAS PERFORMED ON AUGUST 20, 2012 FOR THE COMPUTATION PERIOD ENDING ON JULY 1, 2012.
COLUMN B:	VARIANCE BETWEEN AMOUNTS SHOWN IN PART I, (E) AND PART II, 3 IS DUE TO INTEREST EARNED ON INVESTED PROCEEDS. PART IV, LINE 2C - THE REBATE COMPUTATION WAS PERFORMED AS OF SEPTEMBER 30, 2011.

Schedule L IRS990ScheduleL

Loans Btwn Org Interested Prsn LoansBtwnOrgInterestedPrsnGrp

Field	Value	IRS element (for citing)
Person	DEAN CURRIE	PersonNm
Relationship With Org	VP FOR BUS. AND FIN.	RelationshipWithOrgTxt
Loan Purpose	RELOCATION LOAN	LoanPurposeTxt
Loan From Organization	Yes (X)	LoanFromOrganizationInd
Original Principal	$350,000	OriginalPrincipalAmt
Balance Due	$350,000	BalanceDueAmt
Default	false	DefaultInd
Board Or Committee Approval	Yes (true)	BoardOrCommitteeApprovalInd
Written Agreement	Yes (true)	WrittenAgreementInd

Field	Value	IRS element (for citing)
Total Balance Due	$350,000	TotalBalanceDueAmt

Grnt Asst Bnft Interested Prsn GrntAsstBnftInterestedPrsnGrp

Field	Value	IRS element (for citing)
Cash Grant	$31,500	CashGrantAmt
Type Of Assistance	SEE PART V	TypeOfAssistanceTxt
Assistance Purpose	SEE PART V	AssistancePurposeTxt

Bus Tr Involve Interested Prsn BusTrInvolveInterestedPrsnGrp (9 entries)

Relationship DescriptionRelationshipDescriptionTxt	TransactionTransactionAmt	TransactionTransactionDesc	Sharing Of RevenuesSharingOfRevenuesInd
ROBERT BONNER
TRUSTEE	$36,000	FAMILY MEMBER EMPLOYED BY CIT	false
THOMAS F ROSENBAUM
PRESIDENT/TRUSTEE	$291,000	FAMILY MEMBER EMPLOYED BY CIT	false
STEPHEN ONDERDONK
TRUSTEE	$298,000	FAMILY MEMBERS EMPLOYED BY CIT	false
EDWARD M STOLPER
PROVOST	$166,000	FAMILY MEMBERS EMPLOYED BY CIT	false
VICTORIA D STRATMAN
GENERAL COUNSEL	$84,000	FAMILY MEMBER EMPLOYED BY CIT	false
MARY L WEBSTER
SECRETARY	$127,000	FAMILY MEMBER EMPLOYED BY CIT	false
DR SHIRLEY M MALCOM
TRUSTEE	$105,000	FAMILY MEMBER EMPLOYED BY CIT	false
GLENAIR INC
SEE PART V	$643,669	SEE PART V	false
CANYON CAPITAL ADVISORS LLC
SEE PART V	$1,651,862	SEE PART V	false

Supplemental Information Detail SupplementalInformationDetail (2 entries)

Form And Line ReferenceFormAndLineReferenceDesc

ExplanationExplanationTxt

PART III, LINE 1

FAMILY MEMBER OF INTERESTED PERSON RECEIVING GRADUATE FELLOWSHIP WHILE ATTENDING CALTECH.

PART IV

NAME OF PERSON: GLENAIR, INC. ("GLENAIR") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: PETER D. KAUFMAN, A TRUSTEE OF THE INSTITUTE, IS ALSO CHAIRMAN AND CHIEF EXECUTIVE OFFICER OF GLENAIR. AMOUNT OF TRANSACTION: AGGREGATE $655,366 FOR THE YEAR ENDED SEPTEMBER 30, 2015. DESCRIPTION OF TRANSACTION: GLENAIR IS A U.S. BASED COMPANY THAT SPECIALIZES IN THE MANUFACTURING OF ELECTRONIC COMPONENTS. THE INSTITUTE HAS PROCURED COMPONENTS FROM GLENAIR IN THE NORMAL COURSE OF BUSINESS, AT ARM'S LENGTH AND IN ACCORDANCE WITH INSTITUTE PROCUREMENT POLICIES AND PROCEDURES. MR. KAUFMAN DID NOT PARTICIPATE IN AND WAS EXCLUDED FROM THE INSTITUTE'S DELIBERATIONS AND DECISIONS WITH RESPECT TO THESE PROCUREMENTS. NAME OF PERSON: CANYON CAPITAL ADVISORS LLC ("CANYON") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JOSHUA S. FRIEDMAN, A TRUSTEE OF THE INSTITUTE, IS ALSO A FOUNDING PARTNER, CO- CHAIRMAN AND CO-CEO OF CANYON. AMOUNT OF TRANSACTION: MANAGEMENT FEES AND EXPENSES OF $1,651,862 DESCRIPTION OF TRANSACTION: THE INSTITUTE IS AN INVESTOR IN TWO FUNDS MANAGED BY CANYON. THE INVESTMENT WITH CANYON ("THE TRANSACTION") WAS MADE DURING THE INSTITUTE'S FISCAL YEAR 2012 AFTER AN INDEPENDENT COMMITTEE OF TRUSTEES CONSIDERED THE TRANSACTION IN ACCORDANCE WITH INSTITUTE POLICY AND DETERMINED THAT: THE TRANSACTION WAS FAIR AND REASONABLE AS TO THE INSTITUTE AND THE ECONOMIC BENEFIT PROVIDED BY THE INSTITUTE DID NOT EXCEED THE FAIR MARKET VALUE OF THE CONSIDERATION RECEIVED BY THE INSTITUTE; THE TRANSACTION WAS ENTERED INTO SOLELY FOR THE BENEFIT OF THE INSTITUTE; AND THE INSTITUTE COULD NOT HAVE OBTAINED A MORE ADVANTAGEOUS ARRANGEMENT WITH REASONABLE EFFORT UNDER THE CIRCUMSTANCES. DURING THE YEAR ENDING SEPTEMBER 30, 2015, THE INSTITUTE'S INVESTMENTS IN CANYON FUNDS INCURRED $1,651,862 IN MANAGEMENT FEES AND EXPENSES. AS OF SEPTEMBER 30, 2015 ACCRUED AND UNPAID MANAGEMENT FEES AND EXPENSES TOTALED $302,172. AS OF SEPTEMBER 30, 2015, CANYON HAD TOTAL ASSETS UNDER MANAGEMENT OF APPROXIMATELY $23 BILLION.

Schedule M IRS990ScheduleM

Field	Value	IRS element (for citing)
Works Of Art		WorksOfArtGrp
Art Historical Treasures		ArtHistoricalTreasuresGrp
Art Fractional Interest		ArtFractionalInterestGrp
Books And Publications		BooksAndPublicationsGrp
Clothing And Household Goods		ClothingAndHouseholdGoodsGrp
Cars And Other Vehicles		CarsAndOtherVehiclesGrp
Boats And Planes		BoatsAndPlanesGrp
Intellectual Property		IntellectualPropertyGrp

Securities Publicly Traded SecuritiesPubliclyTradedGrp

Field	Value	IRS element (for citing)
Non Cash Checkbox	Yes (X)	NonCashCheckboxInd
Contribution	72	ContributionCnt
Noncash Contributions Rpt F990	$19,824,000	NoncashContributionsRptF990Amt
Method Of Determining Revenues	hi-lo avg	MethodOfDeterminingRevenuesTxt

Field	Value	IRS element (for citing)
Securities Closely Held Stock		SecuritiesCloselyHeldStockGrp
Secur Prtnrshp Trust Intrsts		SecurPrtnrshpTrustIntrstsGrp
Securities Miscellaneous		SecuritiesMiscellaneousGrp
Qualified Contrib Hist Struct		QualifiedContribHistStructGrp
Qualified Contrib Other		QualifiedContribOtherGrp

Real Estate Residential RealEstateResidentialGrp

Field	Value	IRS element (for citing)
Non Cash Checkbox	Yes (X)	NonCashCheckboxInd
Contribution	3	ContributionCnt
Noncash Contributions Rpt F990	$10,363,000	NoncashContributionsRptF990Amt
Method Of Determining Revenues	Appraisal	MethodOfDeterminingRevenuesTxt

Field	Value	IRS element (for citing)
Real Estate Commercial		RealEstateCommercialGrp
Real Estate Other		RealEstateOtherGrp
Collectibles		CollectiblesGrp

Food Inventory FoodInventoryGrp

Field	Value	IRS element (for citing)
Non Cash Checkbox	Yes (X)	NonCashCheckboxInd
Contribution	1	ContributionCnt
Noncash Contributions Rpt F990	$2,800	NoncashContributionsRptF990Amt
Method Of Determining Revenues	RETAIL & PLACE MARK	MethodOfDeterminingRevenuesTxt

Field	Value	IRS element (for citing)
Drugs And Medical Supplies		DrugsAndMedicalSuppliesGrp
Taxidermy		TaxidermyGrp
Historical Artifacts		HistoricalArtifactsGrp
Scientific Specimens		ScientificSpecimensGrp
Archaeological Artifacts		ArchaeologicalArtifactsGrp

Other Non Cash Contri Table OtherNonCashContriTableGrp (2 entries)

Non Cash CheckboxNonCashCheckboxInd	DescDesc	ContributionContributionCnt	Noncash Contributions Rpt F990NoncashContributionsRptF990Amt	Method Of Determining RevenuesMethodOfDeterminingRevenuesTxt
Yes (X)	EQUIPMENT	1	$720,600	INVENTORY&PLACE MARK
Yes (X)	Miscellaneous	6	$1,000	Retail & Place Mark

Field	Value	IRS element (for citing)
Form8283 Received	0	Form8283ReceivedCnt
Any Property That Must Be Held	false	AnyPropertyThatMustBeHeldInd
Review Process Unusual NC Gifts	Yes (true)	ReviewProcessUnusualNCGiftsInd
Third Parties Used	Yes (true)	ThirdPartiesUsedInd

Supplemental Information Detail SupplementalInformationDetail

Field	Value	IRS element (for citing)
Form And Line Reference	Form 990, Schedule M	FormAndLineReferenceDesc
Explanation	CONTRIBUTION AMOUNTS ARE PRESENTED ON THE ACCRUAL BASIS CONSISTENT WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, AND THEREFORE MAY PRODUCE DIFFERENT RESULTS FROM COMPUTATIONS USING IRS-REQUIRED METHODOLOGY APPLICABLE TO DONORS. FORM 990, SCHEDULE M, part i, column(B) amounts In this column reflect THE number of contributors. FORM 990, SCHEDULE M, LINE 25 EQUIPMENT DONATED FOR RESEARCH AND INSTRUCTION. FORM 990, SCHEDULE M, LINE 26 MISCELLANEOUS EXPENSE: POSTAGE, TRAVEL, PRINTING, OTHER. FORM 990, SCHEDULE M, LINE 32A THE INSTITUTE MAY UTILIZE THIRD PARTY BROKERS TO SELL SECURITIES AND REAL ESTATE.	ExplanationTxt

Schedule O IRS990ScheduleO

Supplemental Information Detail SupplementalInformationDetail

Field	Value	IRS element (for citing)
Form And Line Reference	FORM 990, PARTS I AND III, LINE 1	FormAndLineReferenceDesc
Explanation	The mission of the California Institute of Technology ("The Institute" or "CalTech") is to expand human knowledge and benefit society through research integrated with education. We investigate the most challenging, fundamental problems in science and technology in a singularly collegial, interdisciplinary atmosphere, while educating outstanding students to become creative members of society. FORM 990, PART I, LINE 6 THE NUMBER IDENTIFIED IS BASED ON A REASONABLE ESTIMATE. form 990, part iii, line 4d AUXILIARY ENTERPRISES (EXPENSES $32,832,000) (REVENUE $28,127,000) AUXILIARY ENTERPRISES IN SUPPORT OF INSTITUTE'S MISSION CALTECH Y ALLOCATION (GRANTS $75,000) CASH ALLOCATION TO RELATED ORGANIZATION SUPPORTING INSTITUTE'S MISSION UNITED WAY GREATER LOS ANGELES ALLOCATION (GRANTS $45,000) CASH ALLOCATION TO MATCH EMPLOYEE CONTRIBUTIONS TO UNITED WAY FORM 990, PART IV, LINE 6 THE INSTITUTE HAS NO SEPARATE FUNDS OR ACCOUNTS WHERE DONORS HAVE THE RIGHT EITHER TO PROVIDE ADVICE ON THE INVESTMENT OF AMOUNTS IN THE FUNDS OR TO PROVIDE ADVICE ON DISTRIBUTION OF SUCH FUNDS OUTSIDE THE INSTITUTE. FORM 990, Part VI, Line 2 Trustees Thomas E. Everhart and Peter Norton - Business Relationship TRUSTEES JOSHUA S. FRIEDMAN AND B. KIPLING HAGOPIAN - BUSINESS RELATIONSHIP FORM 990, PART VI, LINE 11a The Institute prepares Form 990 with the assistance of a paid preparer. A draft of the Form 990 is presented to the Audit and Compliance Committee for review and comment. A final copy of Form 990 is provided to each member of the Board of Trustees prior to filing with the IRS. An officer of the institute and its paid preparer, respectively, sign the final form 990. FORM 990, PART VI, LINE 12c EACH TRUSTEE AND OFFICER IS REQUIRED TO COMPLETE ANNUALLY A CONFLICT OF INTEREST QUESTIONNAIRE DISCLOSING POTENTIAL OR ACTUAL CONFLICTS. TRUSTEES, OFFICERS, AND KEY EMPLOYEES ALSO ARE REQUIRED TO DISCLOSE IN WRITING POTENTIAL AND ACTUAL CONFLICTS ON AN ONGOING BASIS THROUGHOUT THE YEAR. ALL CONFLICTS ARE RESOLVED IN ACCORDANCE WITH THE INSTITUTE'S WRITTEN CONFLICT OF INTEREST POLICIES. FORM 990, PART VI, LINE 15a, 15b The Executive Compensation Committee of the Board of Trustees NORMALLY reviews on an annual basis the compensation of officers and certain employees including key employees of the Institute. The Executive Compensation Committee reviews comparability data from relevant surveys. The deliberations are contemporaneously documented in the committee's minutes. FORM 990, PART VI, LINE 19 The Institute's governing documents, financial statements and conflict of interest policy are available upon request. FORM 990, PART VII, COLUMN B THE INSTITUTE HAS ESTIMATED THAT TRUSTEES DEVOTE, ON AVERAGE, AT LEAST ONE HOUR OF TIME PER WEEK. CERTAIN BOARD MEMBERS' TIME DEVOTED TO INSTITUTE BUSINESS MAY SUBSTANTIALLY EXCEED THIS ESTIMATE ON A REGULAR BASIS. TIME DEVOTED TO INSTITUTE BUSINESS BY OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES MAY SUBSTANTIALLY EXCEED THE ESTIMATES PROVIDED ON A REGULAR BASIS. FORM 990, PART X, LINE 11 Investments- publicly traded securities include, but are not limited to, investments held directly or in funds and managed accounts for which the underlying securities are primarily publicly traded, although certain restrictions on the liquidity of some of these holdings may exist. Form 990, Part XI, Line 9 Other Changes in Net Assets or Fund Balances Changes in Postemployment Benefit Obligations ($13,555,000) LOSS ON DISPOSAL OF PROPERTY ($4,086,000) CHANGES IN FAIR VALUE OF INTEREST RATE SWAP ($14,743,000) --------------- TOTAL ($32,384,000) Form 990, Part XII, Line 1 IN ACCORDANCE WITH IRS INSTRUCTIONS, FORM 990 AND ALL SCHEDULES THEREIN (WITH THE EXCEPTION OF REQUIRED CALENDAR-YEAR REPORTING FOR COMPENSATION), HAVE BEEN COMPLETED ON THE ACCRUAL BASIS CONSISTENT WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES.	ExplanationTxt

Schedule R IRS990ScheduleR

Id Disregarded Entities IdDisregardedEntitiesGrp (2 entries)

Address Line1USAddress/AddressLine1Txt	CityUSAddress/CityNm	State AbbreviationUSAddress/StateAbbreviationCd	ZIPUSAddress/ZIPCd	EINEIN	Primary ActivitiesPrimaryActivitiesTxt	Legal Domicile StateLegalDomicileStateCd	Total IncomeTotalIncomeAmt	End Of Year AssetsEndOfYearAssetsAmt	Business Name Line1DirectControllingEntityName/BusinessNameLine1Txt
CIT MICROPROBE HOLDINGS LLC
1200 E CALIFORNIA BLVD	PASADENA	CA	91125	205217981	HOLDING CO.	NV	-$141,000	$1,516,000	CIT
WILSON AVENUE INVESTMENTS LLC
515 SOUTH FIGUEROA ST 9TH FLOOR	LOS ANGELES	CA	90017	461712999	HOLDING CO.	DE		$1,875,000	CIT

Id Related Tax Exempt Org IdRelatedTaxExemptOrgGrp (3 entries)

Address Line1USAddress/AddressLine1Txt	CityUSAddress/CityNm	State AbbreviationUSAddress/StateAbbreviationCd	ZIPUSAddress/ZIPCd	EINEIN	Primary ActivitiesPrimaryActivitiesTxt	Legal Domicile StateLegalDomicileStateCd	Exempt Code SectionExemptCodeSectionTxt	Public Charity StatusPublicCharityStatusTxt	Business Name Line1DirectControllingEntityName/BusinessNameLine1Txt	Controlled OrganizationControlledOrganizationInd
CALTECH Y
1201 E CALIFORNIA BLVD	PASADENA	CA	91125	951684790	recreation	CA	501(C)(3)	11,3,fi	NA	false
ALUMNI ASSOCIATION OF CALTECH
345 S HILL AVE	PASADENA	CA	91125	956047395	alumni	CA	501(C)(3)	11,type 1	NA	false
TOM AND VALLEY KNUDSEN FDN
C/O CALTECH GIFT PLANNING	PASADENA	CA	91125	956031188	support org	CA	501(C)(3)	11,type 1	NA	false

Id Related Org Txbl Corp Tr IdRelatedOrgTxblCorpTrGrp (2 entries)

Primary ActivitiesPrimaryActivitiesTxt	Legal Domicile StateLegalDomicileStateCd	Business Name Line1DirectControllingEntityName/BusinessNameLine1Txt	Entity TypeEntityTypeTxt	Controlled OrganizationControlledOrganizationInd
CRAT (6)
CHARITABLE TR	CA	CALTECH	TRUST	Yes (true)
CRUT (119)
CHARITABLE TR	CA	CALTECH	TRUST	Yes (true)

Field	Value	IRS element (for citing)
Receipt Of Int Annts Rnts Rylts	false	ReceiptOfIntAnntsRntsRyltsInd
Gift Grnt Or Cap Contri To Oth Org	Yes (true)	GiftGrntOrCapContriToOthOrgInd
Gift Grnt Cap Contri From Oth Org	Yes (true)	GiftGrntCapContriFromOthOrgInd
Loans Or Guarantees To Other Org	false	LoansOrGuaranteesToOtherOrgInd
Loans Or Guarantees From Oth Org	false	LoansOrGuaranteesFromOthOrgInd
Div Related Organization	false	DivRelatedOrganizationInd
Asset Sale To Other Org	false	AssetSaleToOtherOrgInd
Asset Purchase From Other Org	false	AssetPurchaseFromOtherOrgInd
Asset Exchange	false	AssetExchangeInd
Rental Of Facilities To Oth Org	Yes (true)	RentalOfFacilitiesToOthOrgInd
Rental Of Fclts From Oth Org	false	RentalOfFcltsFromOthOrgInd
Perform Of Services For Oth Org	Yes (true)	PerformOfServicesForOthOrgInd
Perform Of Services By Other Org	false	PerformOfServicesByOtherOrgInd
Sharing Of Facilities	Yes (true)	SharingOfFacilitiesInd
Paid Employees Sharing	Yes (true)	PaidEmployeesSharingInd
Reimbursement Paid To Other Org	false	ReimbursementPaidToOtherOrgInd
Reimbursement Paid By Other Org	false	ReimbursementPaidByOtherOrgInd
Transfer To Other Org	false	TransferToOtherOrgInd
Transfer From Other Org	false	TransferFromOtherOrgInd

Supplemental Information Detail SupplementalInformationDetail

Field	Value	IRS element (for citing)
Form And Line Reference	FORM 990, SCHEDULE R, PART V, LINE 1L	FormAndLineReferenceDesc
Explanation	THE INSTITUTE ALLOWS THE CALTECH ALUMNI ASSOCIATION THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH ALUMNI ASSOCIATION IS A RELATED ORGANIZATION WHOSE MISSION IS TO PROVIDE EDUCATIONAL AND OTHER PROGRAMS FOR CALTECH ALUMNI AND STUDENTS. THE INSTITUTE PROVIDES DIRECT ADMINISTRATIVE SUPPORT FREE OF CHARGE TO BOTH THE TOM AND VALLEY KNUDSEN FOUNDATION, A RELATED PHILANTHROPIC FOUNDATION, AND THE CALIFORNIA INSTITUTE OF TECHNOLOGY RETIREE MEDICAL PLAN FOR JPL RETIREES VEBA TRUST, A VOLUNTARY EMPLOYEES' BENEFICIARY ASSOCIATION ORGANIZED BY THE INSTITUTE THAT OPERATES IN CONJUNCTION WITH AN INSTITUTE-SPONSORED POSTRETIREMENT BENEFIT PLAN FOR JPL RETIREES.	ExplanationTxt