2016-05-12T11:00:50-05:00 2015-06-30 990 2014-07-01 362177139 UNIVERSITY OF CHICAGO UNIV 7737029466 6054 S DREXEL AVENUE NO 300 CHICAGO IL 60637 DAVID L MURPHY ASSOC VICE PRESIDENT FINANCE 7737029466 2016-05-12 2014 2016-08-17 19:52:53Z X ROBERT J ZIMMER 5801 S ELLIS AVENUE CHICAGO IL 60637 4282090327 0 X WWW.UCHICAGO.EDU X 1890 IL THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 54 48 25008 14500 3363887 -2510132 1572513441 1524767840 1259804957 1346361123 371514837 385154537 69447944 76793137 3273281179 3333076637 362657658 386097163 0 0 1714863923 1811555742 596369 543241 73460000 1050339290 1154070918 3128457240 3352267064 144823939 -19190427 10388536242 10868194860 3740041242 4286577860 6648495000 6581617000 X THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 0 0 1116758724 735384649 INSTRUCTION:IN 2014-2015, THE UNIVERSITY ENROLLED 15,312 STUDENTS, OF THAT TOTAL, 5,724 WERE UNDERGRADUATE STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE SCHOOL), 3,590 WERE GRADUATE STUDENTS, 5,342 WERE STUDENTS IN THE UNIVERSITY'S PROFESSIONAL SCHOOLS AND 656 WERE NON-DEGREE STUDENTS. 839085285 38102653 452037229 RESEARCH:UNIVERSITY OF CHICAGO FACULTY CROSS TRADITIONAL DISCIPLINARY BOUNDARIES TO TRANSFORM UNDERSTANDINGS IN BUSINESS, ECONOMICS, HISTORY, LAW, LITERATURE, RELIGION, PHYSICS, CHEMISTRY AND BIOLOGY AND MEDICINE, AMONG OTHER FIELDS. IN PURSUIT OF THESE RESEARCH ENDEAVORS, DURING FISCAL YEAR 2014-2015 THE UNIVERSITY WAS AWARDED A TOTAL OF $468.8 MILLION IN RESEARCH FUNDING FROM FEDERAL AGENCIES, NON-FEDERAL GOVERNMENT ENTITIES, CORPORATIONS, FOUNDATIONS AND OTHER SOURCES. THIS FISCAL YEAR $328.9 MILLION WAS EXPENDED FROM FEDERAL GOVERNMENT SPONSORS OF RESEARCH, WITH THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES AND THE NATIONAL SCIENCE FOUNDATION PROVIDING THE LARGEST AMOUNTS OF FUNDING. FOUNDATION RESEARCH SPONSORSHIP AWARDS TOTALED $60.7 MILLION, FOLLOWED BY CORPORATE RESEARCH SPONSORSHIP OF $56.3 MILLION. THE UNIVERSITY ALSO CONDUCTS SCIENTIFIC RESEARCH IN COLLABORATION WITH ARGONNE NATIONAL LABORATORY, OWNED BY THE UNITED STATES GOVERNMENT AND OPERATED BY THE UNIVERSITY THROUGH A DISREGARDED ENTITY, UNDER THE TERMS OF A COST REIMBURSEMENT CONTRACT WITH THE U.S. DEPARTMENT OF ENERGY. ARGONNE IS A MULTI-PURPOSE SCIENCE LABORATORY WITH A $731.0 MILLION ANNUAL BUDGET AND APPROXIMATELY 3800 EMPLOYEES. PROGRAM SERVICE RESEARCH EXPENDITURES WERE $528.7 MILLION AND ARE INCLUDED IN THE RESEARCH PROGRAM SERVICE EXPENSE AMOUNT, AS IS REQUIRED FOR A DISREGARDED ENTITY.IN ADDITION, FERMI RESEARCH ALLIANCE, LLC, AN ENTITY JOINTLY OWNED BY THE UNIVERSITY AND UNIVERSITIES RESEARCH ASSOCIATION INC., OPERATES FERMI NATIONAL ACCELERATOR LABORATORY ("FERMILAB") FOR THE U.S. DEPARTMENT OF ENERGY. FERMILAB IS THE NATION'S PREEMINENT CENTER FOR HIGH-ENERGY PHYSICS AND AN INTERNATIONAL CENTER FOR SCIENTIFIC RESEARCH IN ELEMENTARY PARTICLE PHYSICS AND ASTROPHYSICS. FERMILAB HAS A $373 MILLION ANNUAL BUDGET AND APPROXIMATELY 1780 EMPLOYEES. 347151850 347151850 SCHOLARSHIPS & FELLOWSHIPS:THE UNIVERSITY IS A NEED BLIND INSTITUTION WITH AN EXTENSIVE FINANCIAL AID PROGRAM WHICH IS DESIGNED TO ENABLE THE MOST QUALIFIED STUDENTS TO ATTEND THE UNIVERSITY REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. FOR THE 2014-2015 ACADEMIC YEAR, APPROXIMATELY 60 PERCENT OF ALL STUDENTS IN THE COLLEGE RECEIVED FINANCIAL AID IN THE FORM OF GRANTS AND SCHOLARSHIPS. UNIVERSITY-WIDE EXPENDITURES FOR SCHOLARSHIPS AND FELLOWSHIPS AMOUNTED TO $347.1 MILLION. OF THIS AMOUNT, APPROXIMATELY $263.2 MILLION WAS PROVIDED FROM UNRESTRICTED FUNDS; THE REMAINING $83.9 MILLION CAME FROM RESTRICTED SOURCES. APPROXIMATELY 20% OF STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE COLLEGE) CURRENTLY RECEIVE ODYSSEY SCHOLARSHIPS. THE ODYSSEY SCHOLARSHIPS PROVIDE INCREASED ACCESS FOR LOW-INCOME AND MODERATE-INCOME STUDENTS BY ELIMINATING LOANS FOR THOSE WITH FAMILY INCOME BELOW $90,000, PROVIDING FUNDS FOR OTHER EDUCATIONAL OPPORTUNITIES LIKE STUDY ABROAD, AND PROVIDING A PAID INTERNSHIP AFTER THE STUDENT'S FIRST YEAR IN THE COLLEGE.IN OCTOBER 2014, THE UNIVERSITY LAUNCHED THE NO BARRIERS PROGRAM TO ELIMINATE THE STUDENT LOAN REQUIREMENT FROM ALL UNDERGRADUATE, NEED-BASED FINANCIAL AID PACKAGES. THE LOANS WERE REPLACED BY THE UNIVERSITY WITH DIRECT GRANTS.THE UNIVERSITY EXPANDED ITS GRADUATE AID INITIATIVE, A PROGRAM THAT INVESTS APPROXIMATELY $310,000 IN THE EDUCATION OF EACH PH.D. STUDENT IN THE HUMANITIES, SOCIAL SCIENCES AND DIVINITY SCHOOL. THESE PROGRAMS ARE IN ADDITION TO THE UNIVERSITY'S LONGSTANDING COMMITMENT TO FINANCIAL ASSISTANCE FOR STUDENTS. 510852821 842660 158939245 THE OTHER PROGRAM SERVICES THAT SUPPORT THE MISSION OF INSTRUCTION AND RESEARCH ARE:AUXILIARY ENTERPRISESLIBRARYOTHER STUDENT SERVICESINFORMATION SERVICESOPERATION AND MAINTENANCE OF PLANT 510852821 842660 158939245 2813848680 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 0 0 1 1 1 1 0 0 1 1 1 1 1 0 1 X 24648 0 1 25008 1 1 1 1 AS BG BR CH HR DA EG FI FR GM HK IN ID IT MY UK SN PO RP NL MX TW SZ SW TH AU BE 0 0 1 1 1 1 0 0 X 54 48 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AK AR OR OK WA MA NH X DAVID MURPHY 7737029466 6054 S DREXEL AVENUE CHICAGO IL 60637 ANDREW M ALPER CHAIR OF THE BOARD 18.00 X 0 0 0 SEKHAR BAHADUR TRUSTEE 2.00 X 0 0 0 DAVID G BOOTH TRUSTEE 2.00 X 0 0 0 DAVID B BROOKS TRUSTEE 2.00 X 0 0 0 DEBRA A CAFARO TRUSTEE 2.00 X 0 0 0 THOMAS A COLE TRUSTEE 2.00 X 0 0 0 E DAVID COOLIDGE III TRUSTEE 2.00 X 0 0 0 JAMES S CROWN TRUSTEE 2.00 X 0 0 0 KATHARINE P DARROW TRUSTEE 2.00 X 0 0 0 DANIEL L DOCTOROFF TRUSTEE 2.00 X 0 0 0 BRADY W DOUGAN TRUSTEE 2.00 X 0 0 0 CRAIG J DUCHOSSOIS TRUSTEE 2.00 X 0 0 0 JOHN A EDWARDSON TRUSTEE 2.00 X 0 0 0 JAMES S FRANK TRUSTEE 2.00 X 0 0 0 JACK W FULLER TRUSTEE 2.00 X 0 0 0 TIMOTHY M GEORGE TRUSTEE 2.00 X 0 0 0 RODNEY L GOLDSTEIN TRUSTEE 2.00 X 0 0 0 MARY LOUISE GORNO TRUSTEE 2.00 X 0 0 0 KATHRYN C GOULD TRUSTEE 2.00 X 0 0 0 KENNETH C GRIFFIN TRUSTEE 2.00 X 0 0 0 SANFORD J GROSSMAN TRUSTEE 2.00 X 0 0 0 KING W HARRIS TRUSTEE 2.00 X 0 0 0 KENNETH M JACOBS TRUSTEE 2.00 X 0 0 0 KAREN L KATEN TRUSTEE 2.00 X 0 0 0 DENNIS J KELLER TRUSTEE 2.00 X 0 0 0 STEVEN A KERSTEN TRUSTEE 2.00 X 0 0 0 JAMES M KILTS TRUSTEE 2.00 X 0 0 0 MICHAEL J KLINGENSMITH TRUSTEE 2.00 X 0 0 0 MICHAEL L KLOWDEN TRUSTEE 2.00 X 0 0 0 RACHEL D KOHLER TRUSTEE 2.00 X 0 0 0 ROBERT W LANE TRUSTEE 2.00 X 0 0 0 CHARLES ASHBY LEWIS TRUSTEE 2.00 X 0 0 0 JOHN LIEW TRUSTEE 2.00 X 0 0 0 PETER W MAY TRUSTEE 2.00 X 0 0 0 JOSEPH NEUBAUER VICE CHAIR OF THE BOARD 18.00 X 0 0 0 EMILY NICKLIN TRUSTEE 2.00 X 0 0 0 MICHAEL P POLSKY TRUSTEE 2.00 X 0 0 0 MYRTLE S POTTER TRUSTEE 2.00 X 0 0 0 THOMAS J PRITZKER TRUSTEE 2.00 X 0 0 0 JOHN W ROGERS JR TRUSTEE 2.00 X 0 0 0 EMMANUEL ROMAN TRUSTEE 2.00 X 0 0 0 ANDREW M ROSENFIELD TRUSTEE 2.00 X 0 0 0 DAVID M RUBENSTEIN TRUSTEE 2.00 X 0 0 0 ALVARO J SAIEH TRUSTEE 2.00 X 0 0 0 NASSEF O SAWIRIS TRUSTEE 2.00 X 0 0 0 STEVE G STEVANOVICH TRUSTEE 2.00 X 0 0 0 ELIZABETH M THOMPSON TRUSTEE 2.00 X 0 0 0 MARY A TOLAN TRUSTEE 2.00 X 0 0 0 BYRON D TROTT TRUSTEE 2.00 X 0 0 0 MARSHALL I WAIS TRUSTEE 2.00 X 0 0 0 GREGORY W WENDT TRUSTEE 2.00 X 0 0 0 DONALD R WILSON JR TRUSTEE 2.00 X 0 0 0 PAULA WOLFF TRUSTEE 2.00 X 0 0 0 PAUL G YOVOVICH VICE CHAIR OF THE BOARD 18.00 X 0 0 0 FRANCIS TF YUEN TRUSTEE 2.00 X 0 0 0 ROBERT J ZIMMER PRESIDENT 40.00 16.00 X 1913283 0 675206 THOMAS F ROSENBAUM PROVOST 40.00 13.00 X 331675 0 43839 ERIC ISAACS PROVOST 40.00 12.00 X 667985 0 97484 NIMALAN CHINNIAH EXEC. VP FOR ADMIN & CFO 40.00 11.00 X 1119761 0 42806 ROWAN MIRANDA VP FOR OPERATIONS & CFO 40.00 10.00 X 506330 0 42768 KAREN WARREN COLEMAN VP CAMPUS AND STUD. LIFE 40.00 X 300552 0 40999 DEREK DOUGLAS VP CIVIC ENGAGEMENT 40.00 8.00 X 424866 0 67840 DAVID B FITHIAN EXECUTIVE VICE PRESIDENT 40.00 5.00 X 494443 0 35505 DAVID A GREENE EXECUTIVE VICE PRESIDENT 40.00 2.00 X 354327 0 45041 BETH A HARRIS VP & GENERAL COUNSEL 40.00 12.00 X 454743 0 76082 KIMBERLY TAYLOR VP & GENERAL COUNSEL 40.00 10.00 X 326678 0 47912 RICHARD IORIO VP & CHIEF HUMAN RESOURCE OFC. 40.00 X 676602 0 79874 DONALD H LEVY VP FOR RESEARCH 40.00 9.00 X 410267 0 34194 KENNETH MANOTTI VP ALUMNI RELATIONS & DEVL. 40.00 X 560783 0 34180 JAMES G NONDORF VP ENROLL. & STUDENT ADV. 40.00 X 513159 0 29928 JULIE PETERSON VP COMMUNICATIONS 40.00 X 418669 0 46709 KENNETH S POLONSKY EXEC. VP MEDICAL AFFAIRS 40.00 21.00 X 1950481 0 253890 DARREN REISBERG SECRETARY OF THE UNIVERSITY 40.00 X 241580 0 29769 MARK A SCHMID VP AND CHIEF INVEST. OFFICER 40.00 X 1990763 0 777111 IAN SOLOMON VP GLOBAL ENGAGEMENT 40.00 1.00 X 388065 0 67634 MICHAEL EDLESON INVESTMENT CHIEF RISK OFFICER 40.00 X 1174320 0 416879 PATRICK O'HARA CHIEF OPERATING OFFICER 40.00 X 1068750 0 356436 VALLUVAN JEEVANANDAM CHIEF CARDIAC & THORACIC SURG. 40.00 X 1359415 0 44384 JOANNA RUPP MANAGING DIRECTOR - PRIV. EQUITY 40.00 X 1121350 0 408008 ARIEH SHALHAV PROFESSOR & CHIEF 40.00 X 1124206 0 29044 EVERETT VOKES CHAIRMAN OF MEDICINE 40.00 X 913092 0 48857 SUNIL P KUMAR DEAN OF BOOTH SCH. OF BUS. 40.00 X 613274 0 43796 21419419 0 3916175 3829 1 1 0 W E O'NEIL CONSTRUCTION CO 1245 W WASHINGTON BLVD CHICAGO IL 60607 CONSTRUCTION AND RELATED SERVICES 74401930 LEND LEASE US 1 NORTH WACKER DRIVE CHICAGO IL 60606 CONSTRUCTION AND RELATED SERVICES 52755483 TURNER CONSTRUCTION CO 55 EAST MONROE STREET CHICAGO IL 60603 CONSTRUCTION AND RELATED SERVICES 43530356 MORTENSON CONSTRUCTION 25 NORTHWEST POINT BLVD ELK GROVE VILLAGE IL 60007 CONSTRUCTION AND RELATED SERVICES 25581389 ARAMARK SERVICES 1101 MARKET STREET PHILADELPHIA PA 19107 FOOD SERVICE MANAGEMENT 15574663 1031 1387942 71750000 1008760326 442869572 61916680 1524767840 TUITION & FEES 611310 735384649 735384649 SALES & SERVICES EDUC 900099 412954245 412954245 SALES & SERVICES AUX E 611710 154588878 154588878 ARGONNE- OTHER 541990 39082984 39082984 FEES FROM GOVT AGENCIE 900099 4350367 4350367 1346361123 74960383 -3862751 78823134 3839 3839 10668363 10668363 7721706 0 7721706 7721706 7721706 1246586783 931796033 4600435 314790750 -4600435 310190315 310190315 357262 1387942 585172 -227910 -227910 53327099 12032050 41295049 41295049 CONFERENCES & CATERING 722320 6169619 6169619 ACTUARIAL ADJUSTMENT 900099 2692929 2692929 ADVERTISING 541800 88093 88093 8385288 7416362 968926 17335929 3333076637 1397765463 3363887 407179447 33649191 33649191 342947615 342947615 9500357 9500357 15306500 14728496 578004 1385712319 1154565952 195752633 35393734 75158462 60810361 11615077 2733024 248417027 201226703 36670550 10519774 86961434 70816947 12708156 3436331 49257920 42606978 4543906 2107036 5002995 13440 4989555 766159 766159 326702 326702 543241 543241 7547982 7547982 82879975 67284218 15595757 7747516 7676976 70540 179723219 139358413 34391308 5973498 34781823 22887385 11247174 647264 4092862 4064695 28167 96279447 87848788 6930553 1500106 53758090 45430876 6574876 1752338 42944081 36134824 5074184 1735073 98071326 98071326 168774145 168763445 10700 20922682 18327352 2573124 22206 EQUIPMENT RENTAL AND MA 68049142 62943529 3410341 1695272 SUPPORT SERVICES 60022828 52066766 5314324 2641738 ACTUARIAL ADJUSTMENTS 29292194 29292194 ALTERATIONS AND REPAIRS 27932436 23150556 3697479 1084401 115897394 26861811 87938623 1096960 3352267064 2813848680 464958384 73460000 11624917 -2728462 130989600 371334945 503266973 567035419 148416333 121329564 558597 483067 47126276 46334867 6329145 7164489 35633640 41856122 4808723938 1767642525 2920099498 3041081413 2275304116 2226027855 4281181508 4385853010 28005639 62422571 10388536242 10868194860 684129936 694653780 99682543 112745529 1851159596 2082074376 56205000 54680000 979002360 1214557398 69861807 127866777 3740041242 4286577860 X 1428810000 1302920000 3536103000 3483685000 1683582000 1795012000 6648495000 6581617000 10388536242 10868194860 X -19190427 -142886021 95198448 X 0 1 X 1 1 1 X 704552617 668467430 1464776423 1572513441 1524767840 5935077751 704552617 668467430 1464776423 1572513441 1524767840 5935077751 5935077751 80996842 109361219 137713043 132742578 97217706 558031388 15944781 10577578 26522359 34535765 42445507 41224252 46375568 51176430 215757522 6735389020 6003553171 0.88120 0.86310 X SCHEDULE A PART II LINE 10 OTHER INCOME IS COMPRISED OF NET INCOME FROM SALE OF INVENTORY, ACTUARIAL ADJUSTMENTS AND OTHER MISCELLANEOUS INCOME. SCHEDULE A PART II THE UNIVERSITY OF CHICAGO IS A SCHOOL; HOWEVER IN ORDER TO USE THE SPECIAL USE ON SCHEDULE B FOR A 501(C)(3) ORGANIZATION, IT IS NECESSARY TO COMPLETE SCHEDULE A, PART II TO DEMONSTRATE THAT THE UNIVERSITY MEETS THE 33 1/3% PUBLIC SUPPORT TEST. THEREFORE THE UNIVERSITY IS CLASSIFIED IN PART I LINE 7 AS AN ORGANIZATION THAT NORMALLY RECEIVES A SUBSTANTIAL PART OF ITS SUPPORT FROM A GOVERNMENT UNIT OR FROM THE GENERAL PUBLIC. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 545469 0 0 545469 0 PART II-B, LINE 1: THE UNIVERSITY OF CHICAGO IS INVOLVED IN ISSUES THAT AFFECT HIGHER EDUCATION AND RESEARCH. X X X X 0 6460254000 159687000 252160000 48896000 334354000 17292000 6471559000 5886968000 137041000 784536000 44718000 285901000 17672000 6460254000 5701419000 117250000 399315000 41748000 272226000 17042000 5886968000 5691013000 82079000 265909000 43210000 277366000 17006000 5701419000 4904717000 128430000 1009407000 42632000 294918000 13991000 5691013000 0.31000 0.25000 0.44000 0 0 100017301 100017301 3877723549 1181223663 2696499886 487178255 323272343 163905912 343804833 263146519 80658314 3041081413 REAL ESTATE 964887662 F VENTURE CAPITAL 3420965348 F 4385853010 FUNDS HELD IN CUSTODY OF OTHERS 102927187 OTHER INCLUDING ASSET RETIREMENT OBLIGATION 24939590 127866777 X 2489180132 -142886021 16809084 -126076937 2615257069 7547982 710271586 717819568 3333076637 2665738119 16809072 16809072 2648929047 7547982 695790035 703338017 3352267064 PART III, LINE 4: THE UNIVERSITY OF CHICAGO HAS TWO MUSEUMS - THE DAVID AND ALFRED SMART MUSEUM OF ART (SMART MUSEUM) AND THE ORIENTAL INSTITUTE OF THE UNIVERSITY OF CHICAGO (ORIENTAL INSTITUTE MUSEUM). THE SMART MUSEUM PROMOTES THE UNDERSTANDING OF THE VISUAL ARTS AND THEIR IMPORTANCE TO CULTURAL AND INTELLECTUAL HISTORY THROUGH DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART AND THROUGH AN INTERDISCIPLINARY APPROACH TO ITS COLLECTIONS, EXHIBITIONS, PUBLICATIONS AND PROGRAMS. THE SCOPE OF ITS PERMANENT COLLECTIONS, SPECIAL EXHIBITIONS, FOCUS ON RESEARCH AND TEACHING BY THE UNIVERSITY OF CHICAGO SCHOLARS AND OUTREACH AND EDUCATIONAL PROGRAMS TO BOTH ADULTS AND SCHOOL AGE CHILDREN MAKE SMART MUSEUM ONE OF THE MIDWEST'S MOST DYNAMIC AND INNOVATIVE EDUCATIONAL INSTITUTIONS IN THE VISUAL ARTS. THE ORIENTAL INSTITUTE MUSEUM IS A WORLD RENOWNED SHOWCASE FOR THE HISTORY, ART AND ARCHAEOLOGY OF THE ANCIENT NEAR EAST. THE COLLECTIONS ARE USED EXTENSIVELY FOR RESEARCH, TEACHING AND EXHIBITIONS. ITS APPROACH TO INTEGRATE ARCHAEOLOGICAL, TEXTUAL AND ART HISTORICAL DATA TO UNDERSTAND THE DEVELOPMENT AND FUNCTIONS OF THE ANCIENT CIVILIZATIONS OF THE NEAR EAST MAKE IT AN EXCEPTIONAL RESOURCE FOR THE UNIVERSITY COMMUNITY AS WELL AS THE COMMUNITY AT LARGE. PART V, LINE 4: THE UNIVERSITY'S USE OF ENDOWMENT FUNDS IS INSEPARABLE FROM THE OVERALL ACADEMIC MISSION AS ONE OF THE WORLD'S LEADING RESEARCH UNIVERSITIES. ENDOWMENT FUNDS ARE USED TO SUPPORT INSTRUCTION AND RESEARCH PROGRAMS; SUPPORT PROFESSORSHIPS; SUPPORT FINANCIAL AID FOR UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS; SUPPORT THE ACQUISITION, RESTORATION AND PRESERVATION OF BOOKS AND OTHER MATERIALS IN THE LIBRARIES; AND SUPPORT THE ON-GOING OPERATIONS OF THE PHYSICAL PLANT, GROUNDS, AND EQUIPMENT. PART X, LINE 2: THE UNIVERSITY OF CHICAGO IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, EXCEPT FOR UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL INCOME TAXES. THERE WAS NO PROVISION FOR INCOME TAXES DUE ON UNRELATED BUSINESS INCOME IN FISCAL YEARS 2015 AND 2014 AND THERE ARE NO UNCERTAIN TAX POSITIONS CONSIDERED TO BE MATERIAL. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF DISPOSED EQUIPMENT 4,600,435. COST OF GOODS SOLD 12,032,050. MISCELLANEOUS 141,800. ROUNDING 34,799. PART XI, LINE 4B - OTHER ADJUSTMENTS: UCHICAGO ARGONNE LLC REVENUE 712,829,803. OTHER DISREGARDED ENTITIES 17,157,689. RELATED ORGANIZATION ADJUSTMENT -19,715,906. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF DISPOSED EQUIPMENT 4,600,435. COST OF GOODS SOLD 12,032,050. MISCELLANEOUS 141,800. ROUNDING 34,787. PART XII, LINE 4B - OTHER ADJUSTMENTS: ARGONNE 712,829,803. OTHER DISREGARDED ENTITIES 13,927,396. RELATED ORGS THAT FILE THEIR OWN 990 -30,967,164. PART X, LINE 2 THE UNIVERSITY OF CHICAGO IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, EXCEPT FOR UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL INCOME TAXES. THERE WAS NO PROVISION FOR INCOME TAXES DUE ON UNRELATED BUSINESS INCOME IN FISCAL YEARS 2015 AND 2014 AND THERE ARE NO UNCERTAIN TAX POSITIONS CONSIDERED TO BE MATERIAL. 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 DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND AROUND THE WORLD, FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY, AS EMBODIED IN THE UNIVERSITY'S POLICY ON UNLAWFUL DISCRIMINATION AND HARASSMENT, AND INCLUDES A STATEMENT OF ITS NONDISCRIMINATORY POLICY ON ITS BROCHURES, CATALOGUES AND APPLICATION MATERIALS DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY OF CHICAGO RECEIVES FUNDING FROM VARIOUS GOVERNMENTAL AGENCIES FOR STUDENT FINANCIAL AID. 0 3 2 29 PROGRAM SERVICES INSTRUCTION 20047784 6 PROGRAM SERVICES INSTRUCTION 58714 2 2 18 PROGRAM SERVICES INSTRUCTION 21306630 5 PROGRAM SERVICES INSTRUCTION 79000 4 2 PROGRAM SERVICES INSTRUCTION 454115 8 PROGRAM SERVICES INSTRUCTION 156680 3 13 PROGRAM SERVICES RESEARCH 1431661 2 1 7 PROGRAM SERVICES RESEARCH 2479441 8 2 PROGRAM SERVICES RESEARCH 1674784 4 1 12 PROGRAM SERVICES RESEARCH 1083988 7 PROGRAM SERVICES RESEARCH 1296445 10 1 12 PROGRAM SERVICES RESEARCH 640128 3 PROGRAM SERVICES SUBAWARD 1730633 6 PROGRAM SERVICES SUBAWARD 42930 9 PROGRAM SERVICES SUBAWARD 319767 2 PROGRAM SERVICES SUBAWARD 122701 8 PROGRAM SERVICES SUBAWARD 493355 5 PROGRAM SERVICES SUBAWARD 1647742 4 PROGRAM SERVICES SUBAWARD 43090 7 PROGRAM SERVICES SUBAWARD 53244 3 PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 436514 6 PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 12000 9 PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 37000 2 PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 363607 8 PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 21500 5 PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 21000 4 PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 94160 7 PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 68997 1 PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 10450 3 FUNDRAISING 390350 2 FUNDRAISING 478149 8 FUNDRAISING 63965 5 FUNDRAISING 10009 7 FUNDRAISING 54855 1 FUNDRAISING 267 3 INVESTMENTS 427257958 9 INVESTMENTS 147754256 2 INVESTMENTS 36213448 5 INVESTMENTS 50622683 1 INVESTMENTS 2647324971 2 UNRELATED BUSINESS INCOME 67819 5 69 2 26 7 95 46014025 3320452765 3366466790 EAST ASIA AND THE PACIFIC SUBAWARD 11294 WIRE EAST ASIA AND THE PACIFIC SUBAWARD 111407 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 29876 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 30000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 260262 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 14210 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 22401 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 2929 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 14365 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 1149 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 7658 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 5000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 431370 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 89137 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 4900 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 12566 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 142442 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 24277 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 9585 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 228014 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 39546 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 35674 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 14325 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 4250 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 45439 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 563 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 5529 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 3635 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 47860 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 2998 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 3426 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 5683 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 5373 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 14858 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 171334 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD 10666 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD 32424 WIRE NORTH AMERICA SUBAWARD 97848 WIRE NORTH AMERICA SUBAWARD 728617 WIRE NORTH AMERICA SUBAWARD 6058 WIRE NORTH AMERICA SUBAWARD 11375 WIRE NORTH AMERICA SUBAWARD 29178 WIRE NORTH AMERICA SUBAWARD 375506 WIRE NORTH AMERICA SUBAWARD 21218 WIRE NORTH AMERICA SUBAWARD 130187 WIRE NORTH AMERICA SUBAWARD 29097 WIRE NORTH AMERICA SUBAWARD 36966 WIRE NORTH AMERICA SUBAWARD 49945 WIRE NORTH AMERICA SUBAWARD 10159 WIRE NORTH AMERICA SUBAWARD 36340 WIRE NORTH AMERICA SUBAWARD 85247 WIRE RUSSIA AND NEIGHBORING STATES SUBAWARD 42930 WIRE SOUTH AMERICA SUBAWARD 53244 WIRE SOUTH ASIA SUBAWARD 265000 WIRE SOUTH ASIA SUBAWARD 25451 WIRE SOUTH ASIA SUBAWARD 49416 WIRE SOUTH ASIA SUBAWARD 153488 WIRE SUB-SAHARAN AFRICA SUBAWARD 32508 WIRE SUB-SAHARAN AFRICA SUBAWARD 18823 WIRE SUB-SAHARAN AFRICA SUBAWARD 23460 WIRE SUB-SAHARAN AFRICA SUBAWARD 27587 WIRE SUB-SAHARAN AFRICA SUBAWARD 11258 WIRE SUB-SAHARAN AFRICA SUBAWARD 72418 WIRE SUB-SAHARAN AFRICA SUBAWARD 64263 WIRE SUB-SAHARAN AFRICA SUBAWARD 15356 WIRE SUB-SAHARAN AFRICA SUBAWARD 30000 WIRE SUB-SAHARAN AFRICA SUBAWARD 24094 WIRE STUDENT AID EAST ASIA AND THE PACIFIC 2 19878 CHECK STUDENT AID EUROPE (INCLUDING ICELAND & GREENLAND) 7 168794 CHECK SUMMER STUDENT GRANTS CENTRAL AMERICA AND THE CARIBBEAN 4 10450 CHECK SUMMER STUDENT GRANTS EAST ASIA AND THE PACIFIC 100 343729 CHECK SUMMER STUDENT GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 95 267721 CHECK SUMMER STUDENT GRANTS MIDDLE EAST AND NORTH AFRICA 37 94160 CHECK SUMMER STUDENT GRANTS NORTH AMERICA 5 21000 CHECK SUMMER STUDENT GRANTS RUSSIA AND NEIGHBORING STATES 4 12000 CHECK SUMMER STUDENT GRANTS SOUTH AMERICA 26 68997 CHECK SUMMER STUDENT GRANTS SOUTH ASIA 6 21500 CHECK SUMMER STUDENT GRANTS SUB-SAHARAN AFRICA 8 37000 CHECK 0 1 0 1 1 1 0 PART I, LINE 2: THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. X X X X X X X 0 RUFFALO NOEL LEVITZ 1025 KIRKWOOD PARKWAY WS CEDAR RAPIDS IA 52404 TELEMARKETING 0 984546 543241 441305 984546 543241 441305 AK AL AR CT MD ME MA MN MS NH OR UT WA VA LAB SCHOOL 588910 403023 185887 5000 32599 124390 1400 40851 SMART MUSEUM 615452 577502 37950 77621 23461 75123 2 540842 407417 133425 7895 116970 12113 67749 1745204 1387942 357262 5000 40494 318981 36974 183723 585172 -227910 SCHEDULE G, PART I, LINE 2B, COLUMN (V) RUFFALO NOEL LEVITZ PROVIDED PROFESSIONAL FUNDRAISING SERVICES FOR FISCAL YEAR 2015. DETAIL OF ALL PAYMENTS IS AS FOLLOWS: MONTHLY INSTALLMENTS 544,910 MAILING CHARGES 3,078 POSTAGE CHARGES 6,008 CREDITS (10,755) TOTAL PAID 543,241 0 ACCESS COMMUNITY HEALTH NETWORK 1501 S CALIFORNIA AVENUE CHICAGO IL 60608 363317058 501(C)(3) OR GOV 47279 SUBAWARD ADVOCATE HEALTH AND HOSPITAL CORPORATION 4440 WEST 95TH STREET OAK LAWN IL 60453 362169147 501(C)(3) OR GOV 101025 SUBAWARD ALBERT EINSTEIN COLLEGE OF MEDICINE 1300 MORRIS PARK AVENUE BRONX NY 104611975 131624225 501(C)(3) OR GOV 145370 SUBAWARD ALLIANCE OF CHICAGO COMMUNITY HEALTH SERVICES L3C 215 W OHIO STREET 4TH FLOOR CHICAGO IL 60654 364444309 65575 SUBAWARD ASIAN HEALTH COALITION OF ILLINOIS 180 W WASHINGTON STREET SUITE 1000 CHICAGO IL 606022301 311607193 501(C)(3) OR GOV 84710 SUBAWARD ASTRONOMICAL SOCIETY OF THE PACIFIC 390 ASHTON AVENUE SAN FRANCISCO CA 94112 940294860 501(C)(3) OR GOV 33435 SUBAWARD BAYLOR UNIVERSITY ONE BAYLOR PLAZA HOUSTON TX 770303411 741613878 501(C)(3) OR GOV 232539 SUBAWARD BECKMAN RESEARCH INSTITUTE 1450 EAST DUARTE ROAD DUARTE CA 910103000 953432210 501(C)(3) OR GOV 59741 SUBAWARD BEHAVIORAL IDEAS LAB INC 242 W 30TH ST SUITE 1000 NEW YORK NY 10001 271678009 501(C)(3) OR GOV 180142 SUBAWARD BELOVED COMMUNITY FAMILY 6430 SOUTH HARVARD CHICAGO IL 60621 202273383 501(C)(3) OR GOV 42150 SUBAWARD BETH ISRAEL DEACONESS MEDICAL CENTER 330 BROOKLINE AVENUE BOSTON MA 022155491 042103881 501(C)(3) OR GOV 145873 SUBAWARD BOSTON UNIVERSITY 881 COMMONWEALTH AVENUE 4TH FLOOR BOSTON MA 02215 042103547 501(C)(3) OR GOV 22345 SUBAWARD BRIGHAM AND WOMEN'S HOSPITAL 101 HUNTINGTON STREET SUITE 305 BOSTON MA 02199 042312909 501(C)(3) OR GOV 50073 SUBAWARD CALIFORNIA INSTITUTE OF TECHNOLOGY 1200 E CALIFORNIA BLVD PASADENA CA 91125 951643307 501(C)(3) OR GOV 6081 SUBAWARD CALIFORNIA INSTITUTE OF THE ARTS 24700 MCBEAN PARKWAY LOS ANGELES CA 91355 956102146 501(C)(3) OR GOV 152101 SUBAWARD CALIFORNIA STATE UNIVERSITY 401 GOLDEN SHORE LONG BEACH CA 908024210 947381554 501(C)(3) OR GOV 25000 SUBAWARD CAMBRIDGE HEALTH ALLIANCE 1493 CAMBRIDGE STREET CAMBRIDGE MA 021391047 043320571 501(C)(3) OR GOV 95879 SUBAWARD CARNEGIE MELLON UNIVERSITY 5000 FORBES AVENUE PITTSBURGH PA 15213 250969449 501(C)(3) OR GOV 257584 SUBAWARD CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 441067037 341018992 501(C)(3) OR GOV 380772 SUBAWARD CENTERS FOR NEW HORIZONS 4150 SOUTH KING DRIVE CHICAGO IL 60653 362729721 501(C)(3) OR GOV 45311 SUBAWARD CHAPIN HALL CENTER FOR CHILDREN 1313 EAST 60TH STREET CHICAGO IL 606372830 362167012 501(C)(3) OR GOV 205429 SUBAWARD CHICAGO ASSOCIATION FOR RESEARCH & EDUCATION IN SCIENCE 5000 SOUTH 5TH AVE BUILDING ONE C347 HINES IL 601413030 363334177 501(C)(3) OR GOV 77288 SUBAWARD CHICAGO BLACK GAY MEN'S CAUCUS 180 N MICHIGAN AVENUE SUITE 1200 CHICAGO IL 606017480 010977178 501(C)(3) OR GOV 15000 SUBAWARD CHICAGO DEPARTMENT OF PUBLIC HEALTH 333 S STATE STREET ROOM 200 CHICAGO IL 60604 366005820 501(C)(3) OR GOV 76946 SUBAWARD CHICAGO FAMILY HEALTH CENTERFORMERLY CLARETIAN MED CTR 9119 S EXCHANGE AVENUE CHICAGO IL 60617 362893854 501(C)(3) OR GOV 122353 SUBAWARD CHILDREN'S HOSPITAL BOSTON 300 LONGWOOD AVENUE BOSTON MA 02115 042774441 501(C)(3) OR GOV 12268 SUBAWARD CHILDREN'S HOSPITAL MEDICAL CENTER (CINCINNATI) 3333 BURNETT AVENUE CINCINNATI OH 46202 310833963 501(C)(3) OR GOV 57683 SUBAWARD COLLEGE OF WILLIAM AND MARY 102 RICHMOND ROAD WILLIAMSBURG VA 23187 546001718 501(C)(3) OR GOV 58812 SUBAWARD COLUMBIA UNIVERSITY 615 W 135TH STREET NEW YORK NY 10027 135598093 501(C)(3) OR GOV 188818 SUBAWARD COMMUNITY HEALTH 2611 WEST CHICAGO AVENUE CHICAGO IL 60622 363831793 501(C)(3) OR GOV 47000 SUBAWARD CORNELL UNIVERSITY 395 PINE TREE ROAD SUITE 302 ITHACA NY 14850 150532082 501(C)(3) OR GOV 1064173 SUBAWARD DANA FARBER CANCER INSTITUTE 44 BINNEY STREET MS OS-385 BOSTON MA 02115 042263040 501(C)(3) OR GOV 115797 SUBAWARD DARTMOUTH COLLEGE 11 ROPE FERRY ROAD HANOVER NH 03755 020222111 501(C)(3) OR GOV 273123 SUBAWARD DE PAUL UNIVERSITY 1 EAST JACKSON BOULEVARD CHICAGO IL 60604 362167048 501(C)(3) OR GOV 28336 SUBAWARD DECATUR MEMORIAL HOSPITAL 2300 NORTH EDWARD STREET DECATUR IL 62526 370661199 501(C)(3) OR GOV 40968 SUBAWARD DENVER HEALTH AND HOSPITAL AUTHORITY 777 BANCOCK STREET DENVER CO 80204 841343242 501(C)(3) OR GOV 39810 SUBAWARD DUKE UNIVERSITY 2200 WEST MAIN STREET SUITE 300 DURHAM NC 27705 560532129 501(C)(3) OR GOV 586118 SUBAWARD EDVANCE RESEARCH INC 9901 IH-10 WEST SUITE 1000 SAN ANTONIO TX 78230 134307214 159709 SUBAWARD FELLOWSHIP FOR INTERPRETATION OF GENOMES 15 W 155 81ST STREET BURR RIDGE IL 60527 141883085 501(C)(3) OR GOV 442203 SUBAWARD FLORIDA INSTITUTE OF TECHNOLOGY 150 W UNIVERSITY BLVD MELBOURNE FL 329016975 596046500 501(C)(3) OR GOV 79164 SUBAWARD FLORIDA INTERNATIONAL UNIVERSITY 11200 SW 8TH STREET CSC 310 MIAMI FL 33199 650177616 501(C)(3) OR GOV 311550 SUBAWARD FORT WAYNE MEDICAL ONCOLOGY & HEMATOLOGY INC 4402 E STATE BLVD FORT WAYNE IN 46815 351400631 5150 SUBAWARD FRED HUTCHINSON CANCER RESEARCH CENTER 1100 FAIRVIEW AVENUE N PO BOX 19024 19024 SEATTLE WA 981091024 237156071 501(C)(3) OR GOV 62986 SUBAWARD FREQUENCY 540 LLC 640 NORTH LASALLE SUITE 490 CHICAGO IL 60654 611652976 80070 SUBAWARD FRIEND FAMILY HEALTH CENTER 800 E 55TH STREET CHICAGO IL 60615 364161801 501(C)(3) OR GOV 84673 SUBAWARD GE GLOBAL RESEARCH 1 RESEARCH CIRCLE NISKAYUNA NY 123091027 140689340 116618 SUBAWARD GEORGE MASON UNIVERSITY 4400 UNIVERSITY DRIVE UNIVERSITY HALL FAIRFAX VA 220304444 541603842 501(C)(3) OR GOV 24490 SUBAWARD GEORGE WASHINGTON UNIVERSITY 44983 KNOLL SQUARE BLDG II ASHBURN VA 20147 530196584 501(C)(3) OR GOV 16051 SUBAWARD GLOBAL GIRLS INC 8151 SOUTH CHICAGO AVENUE CHICAGO IL 606171042 364367027 501(C)(3) OR GOV 12128 SUBAWARD GREATER AUBURN GRESHAM DEVELOPMENT CORPORATION 1159 WEST 79TH STREET CHICAGO IL 60620 364377387 501(C)(3) OR GOV 42842 SUBAWARD HARVARD UNIVERSITY 667 HUNTINGTON AVENUE BOSTON MA 02115 042103580 501(C)(3) OR GOV 302449 SUBAWARD HEKTOEN INSTITUTE 2240 W OGDEN AVENUE 2ND FLOOR CHICAGO IL 60612 362244897 501(C)(3) OR GOV 49929 SUBAWARD ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI ONE GUSTAVE L LEVY PLACE NEW YORK NY 100296574 136171197 501(C)(3) OR GOV 111988 SUBAWARD IIT RESEARCH INSTITUTE 10 W 35TH STREET CHICAGO IL 606163799 362169122 501(C)(3) OR GOV 125432 SUBAWARD ILLINOIS CANCER CARE 8940 N WOOD SAGE ROAD PEORIA IL 616157822 371409840 501(C)(3) OR GOV 30335 SUBAWARD ILLINOIS INSTITUTE OF TECHNOLOGY 3300 S FEDERAL STREET MAIN BLDG RM 308 CHICAGO IL 606163793 362170136 501(C)(3) OR GOV 345928 SUBAWARD INDIANA UNIVERSITY POPLARS 426 400 E 7TH ST BLOOMINGTON IN 47405 356001673 501(C)(3) OR GOV 1254777 SUBAWARD INGALLS MEMORIAL HOSPITAL ONE INGALLS DRIVE HARVEY IL 60426 362170866 501(C)(3) OR GOV 16160 SUBAWARD JOHNS HOPKINS UNIVERSITY 1101 E 33RD STREET BALTIMORE MD 21218 520595110 501(C)(3) OR GOV 402168 SUBAWARD KANSAS CITY UNIVERSITY 1750 INDEPENDENCE AVENUE KANSAS CITY MO 641061453 440545280 501(C)(3) OR GOV 72908 SUBAWARD LAWNDALE CHRISTIAN HEALTH CENTER 3860 W OGDEN AVENUE CHICAGO IL 606232460 363308953 501(C)(3) OR GOV 50000 SUBAWARD LOS ANGELES BIOMEDICAL RESEARCH INSTITUTE 1124 WEST CARSON STREET TORRANCE CA 90502 952138184 501(C)(3) OR GOV 42115 SUBAWARD LOUISIANA STATE UNIVERSITY 202 HIMES HALL BATON ROUGE LA 70803 726000848 501(C)(3) OR GOV 137809 SUBAWARD LOYOLA UNIVERSITY 820 N MICHIGAN AVENUE CHICAGO IL 60611 361408475 501(C)(3) OR GOV 120289 SUBAWARD LURIE CHILDREN'S HOSPITAL DBA CHILDREN'S MEMORIAL HOSPITAL 2300 CHILDRENS PLAZA BOX 268 CHICAGO IL 60614 362170833 501(C)(3) OR GOV 22319 SUBAWARD MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 021142696 042697983 501(C)(3) OR GOV 48583 SUBAWARD MASSACHUSETTS INSTITUTE OF TECHNOLOGY SUITE NE49-4161 CAMBRIDGE MA 02139 042103594 501(C)(3) OR GOV 359304 SUBAWARD MATHALICIOUS 112 FOURTH STREET NE CHARLOTTESVILLE VA 22902 270640991 25000 SUBAWARD MAYO CLINIC 200 FIRST STREET SW ROCHESTER MN 55905 416011702 501(C)(3) OR GOV 30319 SUBAWARD MDRC RESEARCH CORPORATION 16 EAST 34TH STREET NEW YORK NY 10016 237379473 501(C)(3) OR GOV 24315 SUBAWARD MEDICAL COLLEGE OF WISCONSIN 8701 WATERTOWN PLANK ROAD MILWAUKEE WI 532260509 390806261 501(C)(3) OR GOV 256700 SUBAWARD MERCY HOSPITAL ST LOUIS 615 S NEW BALLAS ROAD ST LOUIS MO 63141 562410020 501(C)(3) OR GOV 7725 SUBAWARD MICHIGAN STATE UNIVERSITY 301 ADMINISTRATION BLDG EAST LANSING MI 48917 386005984 501(C)(3) OR GOV 50109 SUBAWARD MIDWEST CLINICIANS NETWORK 7215 WESTSHIRE DRIVE LANSING MI 48917 383189461 501(C)(3) OR GOV 51536 SUBAWARD MISSISSIPPI STATE UNIVERSITY P O BOX 5227 MS STATE UNIV MS 39762 646000819 501(C)(3) OR GOV 10000 SUBAWARD MONTERAY BAY RESEARCH INSTITUTE 7700 SANDHOLDT ROAD MOSS LANDING CA 95039 770150580 501(C)(3) OR GOV 92913 SUBAWARD MORTEN GROUP LLC 7360 N SEELY AVE 1 CHICAGO IL 606452314 472413158 501(C)(3) OR GOV 6750 SUBAWARD NATIONAL OPINION RESEARCH CENTER 55 EAST MONROE STREET CHICAGO IL 60603 362167808 501(C)(3) OR GOV 607939 SUBAWARD NEAR NORTH HEALTH SERVICE 1276 N CLYBOURN AVENUE CHICAGO IL 60610 363197647 501(C)(3) OR GOV 34784 SUBAWARD NEIMAND COLLABORATIVE 1025 VERMONT AVENUE NW SUITE 830 WASHINGTON DC 20005 521806524 670429 SUBAWARD NEW YORK UNIVERSITY 726 BROADWAY NEW YORK NY 10003 135562308 501(C)(3) OR GOV 209255 SUBAWARD NORTHSHORE UNIVERSITY HEALTH SYSTEM 2650 RIDGE AVENUE - G221 EVANSTON IL 60201 362167060 501(C)(3) OR GOV 76112 SUBAWARD NORTHWESTERN UNIVERSITY 633 CLARK STREET SUITE G-547 EVANSTON IL 602081112 362167817 501(C)(3) OR GOV 1158656 SUBAWARD OHIO STATE UNIVERSITY 901 WOODY HAYES DRIVE COLUMBUS OH 432104016 316025986 501(C)(3) OR GOV 350066 SUBAWARD OREGON STATE UNIVERSITY B308 KERR ADMINISTRATION BLDG CORVALLIS OR 973312140 481278540 501(C)(3) OR GOV 21804 SUBAWARD ORLIN RESEARCH INC 97 ORLIN AVENUE MINNEAPOLIS MN 55414 202552087 137773 SUBAWARD OUNCE OF PREVENTION FUND 33 W MONROE STREET SUITE 2400 CHICAGO IL 60603 363186328 501(C)(3) OR GOV 125000 SUBAWARD PACIFIC NORTHWEST NATIONAL LABORATORY 902 BATTELLE BLVD RICHLAND WA 99354 910667866 501(C)(3) OR GOV 9951 SUBAWARD PENN STATE UNIVERSITY 513 JOAB L THOMAS BLDG UNIVERSITY PARK PA 16802 246000376 501(C)(3) OR GOV 198782 SUBAWARD PLANNED PARENTHOOD OF ILLINOIS 18 S MICHIGAN AVENUE 6TH FLOOR CHICAGO IL 60603 362710901 501(C)(3) OR GOV 35915 SUBAWARD PMAC LABORATORIES INC 10636 SCRIPPS SUMMIT CT SAN DIEGO CA 92131 270938257 96719 SUBAWARD PRINCETON UNIVERSITY 5 NEW SOUTH BUILDING PO BOX 5292 PRINCETON NJ 085445292 210634501 501(C)(3) OR GOV 48227 SUBAWARD PROJECT HOPE 255 CARTER HALL LANE MILLWOOD VA 22646 530242962 501(C)(3) OR GOV 6883 SUBAWARD PURDUE UNIVERSITY 302 WOOD STREET WEST LAFAYETTE IN 479072040 356002041 501(C)(3) OR GOV 128407 SUBAWARD RICE UNIVERSITY 6100 MAIN STREET HOUSTON TX 77005 741109620 501(C)(3) OR GOV 115238 SUBAWARD ROSALIND FRANKLIN UNIVERSITY OF MEDICINE AND SCIENCE 3333 GREEN BAY ROAD NORTH CHICAGO IL 600643095 362181973 501(C)(3) OR GOV 14760 SUBAWARD RUSH UNIVERSITY MEDICAL CENTER 1700 WEST VAN BUREN STREET ROOM NO CHICAGO IL 60612 362174823 501(C)(3) OR GOV 130097 SUBAWARD SARAH CANNON RESEARCH INSTITUTE LLC 3322 WEST END AVENUE SUITE 900 NASHVILLE TN 37203 201557751 501(C)(3) OR GOV 27125 SUBAWARD SCHOOL OF THE ART INSTITUTE OF CHICAGO 37 S WABASH AVENUE CHICAGO IL 606033002 362167725 501(C)(3) OR GOV 11839 SUBAWARD SEATTLE CHILDREN'S RESEARCH INSTITUTE 1900 NINTH AVENUE MS C95-5 SEATTLE WA 98101 910564748 501(C)(3) OR GOV 253931 SUBAWARD SEATTLE INSTITUTE FOR BIOMEDICAL & CLINICAL RESEARCH 1660 SO COLUMBIAN WAY S-151F SEATTLE WA 981081532 911452438 501(C)(3) OR GOV 54880 SUBAWARD SINAI HEALTH SYSTEM 1500 S CALIFORNIA CHICAGO IL 606081797 363166895 501(C)(3) OR GOV 242000 SUBAWARD SMITHSONIAN ASTROPHYSICAL OBSERVATORY 60 GARDEN STREET CAMBRIDGE MA 021381516 530206027 501(C)(3) OR GOV 169922 SUBAWARD SOUTHERN RESEARCH INSTITUTE 2000 NINTH AVENUE SOUTH BIRMINGHAM AL 35205 630288868 501(C)(3) OR GOV 154622 SUBAWARD ST JUDE CHILDREN'S RESEARCH HOSPITAL 332 NORTH LAUDERDALE STREET MEMPHIS TN 381052794 620646012 501(C)(3) OR GOV 20518 SUBAWARD STANFORD UNIVERSITY 340 PANAMA STREET STANFORD CA 94305 941156365 501(C)(3) OR GOV 838350 SUBAWARD TCA HEALTH INC 1029 E 130TH STREET CHICAGO IL 60628 362743287 501(C)(3) OR GOV 30238 SUBAWARD TEMPLE UNIVERSITY 1805 NORTH BROAD STREET PHILADELPHIA PA 19122 231365971 501(C)(3) OR GOV 61371 SUBAWARD TEXAS A&M UNIVERSITY 400 HARVEY MITCHELL PKWY SOUTH SUITE 300 COLLEGE STATION TX 77843 746000541 501(C)(3) OR GOV 9948 SUBAWARD THE MIRIAM HOSPITAL 164 SUMMIT AVENUE PROVIDENCE RI 029062853 050258905 501(C)(3) OR GOV 90816 SUBAWARD THE RESEARCH FOUNDATION FOR SUNY ON BEHALF OF THE UNIVERSITY AT BUFFALO 402 CROFTS HALL BUFFALO NY 142607016 141368361 501(C)(3) OR GOV 383758 SUBAWARD TUFTS UNIVERSITY 136 HARRISON AVENUE BOSTON MA 021111817 042103634 501(C)(3) OR GOV 60939 SUBAWARD UNIVERSITY HEALTH SYSTEM CONSORTIUM 155 N WACKER DRIVE CHICAGO IL 60606 363740243 501(C)(3) OR GOV 48278 SUBAWARD UNIVERSITY OF ALABAMA 1530 3RD AVENUE S AB 1170 BIRMINGHAM AL 35294 636005996 501(C)(3) OR GOV 404850 SUBAWARD UNIVERSITY OF ARIZONA 888 N EUCLID ROOM 510 TUCSON AZ 85722 742652689 501(C)(3) OR GOV 305895 SUBAWARD UNIVERSITY OF CALIFORNIA-BK 2150 SHATTUCK AVENUE SUITE 300 BERKELEY CA 947045940 946002123 501(C)(3) OR GOV 539091 SUBAWARD UNIVERSITY OF CALIFORNIA-DV ONE SHIELDS AVENUE DAVIS CA 956168677 946036494 501(C)(3) OR GOV 315864 SUBAWARD UNIVERSITY OF CALIFORNIA-IR 4255 CAMPUS DRIVE IRVINE AZ 90024 952226406 501(C)(3) OR GOV 141334 SUBAWARD UNIVERSITY OF CALIFORNIA-LA 10920 WILSHIRE BOULEVARD SUITE 1200 1200 LOS ANGELES CA 900241406 943067788 501(C)(3) OR GOV 652854 SUBAWARD UNIVERSITY OF CALIFORNIA-SB 3227 CHEADLE HALL SANTA BARBARA CA 931062050 094878394 501(C)(3) OR GOV 50000 SUBAWARD UNIVERSITY OF CALIFORNIA-SC 1156 HIGH STREET SANTA CRUZ CA 950641077 941539563 501(C)(3) OR GOV 157304 SUBAWARD UNIVERSITY OF CALIFORNIA-SD 9500 GILMAN DRIVE - RM 3041 LA JOLLA CA 920930660 956006144 501(C)(3) OR GOV 513288 SUBAWARD UNIVERSITY OF CALIFORNIA-SF 3333 CALIFORNIA STREET SUITE 315 SAN FRANCISCO CA 94118 946036493 501(C)(3) OR GOV 578603 SUBAWARD UNIVERSITY OF COLORADO 3100 MARINE STREET BOULDER CO 80309 391481425 501(C)(3) OR GOV 273546 SUBAWARD UNIVERSITY OF CONNECTICUT 438 WHITNEY ROAD EXT UNIT 1133 STORRS CT 06269 060772160 501(C)(3) OR GOV 51172 SUBAWARD UNIVERSITY OF DENVER 2199 S UNIVERSITY BOULEVARD DENVER CO 802082121 840404231 501(C)(3) OR GOV 319990 SUBAWARD UNIVERSITY OF FLORIDA 219 GRINTER HALL PO BOX 1003628 GAINESVILLE FL 32611 590974739 501(C)(3) OR GOV 32352 SUBAWARD UNIVERSITY OF ILLINOIS-CHICAGO 809 SOUTH MARSHFIELD AVENUE CHICAGO IL 606127205 376000511 501(C)(3) OR GOV 2035784 SUBAWARD UNIVERSITY OF ILLINOIS-URBANACHAMPAIGN 1901 S FIRST ST SUITE A MC-685 CHAMPAIGN IL 618206242 376000511 501(C)(3) OR GOV 786622 SUBAWARD UNIVERSITY OF IOWA 201 GILMORE HALL IOWA CITY IA 52242 426004813 501(C)(3) OR GOV 227191 SUBAWARD UNIVERSITY OF KANSAS CENTER FOR RESEARCH 2385 IRVING HILL ROAD LAWRENCE KS 66045 480680117 501(C)(3) OR GOV 256934 SUBAWARD UNIVERSITY OF KANSAS MEDICAL CENTER RESEARCH INSTITUTE INC 3901 RAINBOW BOULEVARD MAIL STOP 1039 KANSAS CITY KS 66160 481108830 501(C)(3) OR GOV 18400 SUBAWARD UNIVERSITY OF KENTUCKY 109 KINKEAD HALL LEXINGTON KY 40506 616001218 501(C)(3) OR GOV 34788 SUBAWARD UNIVERSITY OF MARYLAND 3300 METZEROTT ROAD ADELPHI MD 20783 526002033 501(C)(3) OR GOV 28672 SUBAWARD UNIVERSITY OF MIAMI P O BOX 248106 CORAL GABLES FL 331241422 590624458 501(C)(3) OR GOV 14900 SUBAWARD UNIVERSITY OF MICHIGAN 3003 S STATE STREET 3089 WOLVERINE TOWER ANN ARBOR MI 481091287 386006309 501(C)(3) OR GOV 1153341 SUBAWARD UNIVERSITY OF MINNESOTA 200 OAK STREET SE MINNEAPOLIS MN 55455 416007513 501(C)(3) OR GOV 36856 SUBAWARD UNIVERSITY OF MISSOURI 310 JESSE HALL COLUMBIA MO 652111230 436003859 501(C)(3) OR GOV 59065 SUBAWARD UNIVERSITY OF NEBRASKA 98600 NEBRASKA MEDICAL CENTER OMAHA NE 681985774 470049123 501(C)(3) OR GOV 111361 SUBAWARD UNIVERSITY OF NEVADA LAS VEGAS 4505 S MARYLAND PARKWAY LAS VEGAS NV 891541055 886000024 501(C)(3) OR GOV 7796 SUBAWARD UNIVERSITY OF NEW MEXICO 1 UNIVERSITY OF NEW MEXICO ALBUQUERQUE NM 87131 856000642 501(C)(3) OR GOV 222826 SUBAWARD UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DRIVE CB1350 CHAPEL HILL NC 275991350 566001393 501(C)(3) OR GOV 329281 SUBAWARD UNIVERSITY OF OREGON 5219 UNIVERSITY OF OREGON EUGENE OR 974035219 936015767 501(C)(3) OR GOV 337660 SUBAWARD UNIVERSITY OF PENNSYLVANIA 3451 WALNUT STREET P-221 FRANKLIN BLDG PHILADELPHIA PA 191046205 231352685 501(C)(3) OR GOV 106094 SUBAWARD UNIVERSITY OF PITTSBURGH 3100 CATHEDRAL OF LEARNING PITTSBURGH PA 15260 250965591 501(C)(3) OR GOV 1090890 SUBAWARD UNIVERSITY OF PUERTO RICO P O BOX 21790 SAN JUAN PR 00931 660362666 501(C)(3) OR GOV 62622 SUBAWARD UNIVERSITY OF SCIENCES IN PHILADELPHIA 600 SOUTH 43RD STREET PHILADELPHIA PA 19104 231352668 501(C)(3) OR GOV 22516 SUBAWARD UNIVERSITY OF SOUTH CAROLINA 1600 HAMPTON STREET SUITE 613 COLUMBIA SC 29208 576001153 501(C)(3) OR GOV 63346 SUBAWARD UNIVERSITY OF SOUTHERN CALIFORNIA UNIVERSITY PARK CAMPUS - STO 330 LOS ANGELES CA 900891147 951642394 501(C)(3) OR GOV 161438 SUBAWARD UNIVERSITY OF TENNESSEE UTHSC 62 S DUNLAP MEMPHIS TN 38163 626001636 501(C)(3) OR GOV 378943 SUBAWARD UNIVERSITY OF TEXAS MD ANDERSON CANCER CENTER P O BOX 7159 AUSTIN TX 78713 746001118 501(C)(3) OR GOV 5077 SUBAWARD UNIVERSITY OF TEXAS DALLAS 800 W CAMPBELL ROAD HD15 RICHARDSON TX 750803021 751305566 501(C)(3) OR GOV 10000 SUBAWARD UNIVERSITY OF TEXAS-AU 101 E 27TH STE 5300 AUSTIN TX 787121500 079497681 501(C)(3) OR GOV 90824 SUBAWARD UNIVERSITY OF VIRGINIA P O BOX 400202 CHARLOTTESVILLE VA 22904 546001796 501(C)(3) OR GOV 488250 SUBAWARD UNIVERSITY OF WASHINGTON 1100 NE 45TH STREET SUITE 300 SEATTLE WA 981054683 916001537 501(C)(3) OR GOV 290624 SUBAWARD UNIVERSITY OF WISCONSIN-MADISON 21 NORTH PARK STREET - SUITE 6401 MADISON WI 537151218 396006492 501(C)(3) OR GOV 641729 SUBAWARD URBAN INSTITUTE 2100 M STREET NW WASHINGTON DC 20037 520880375 501(C)(3) OR GOV 210992 SUBAWARD USDA- US DEPARTMENT OF AGRICULTURE 1030 BALTIMORE AVE BLD 003 BARC-WEST BELTSVILLE MD 20705 720564834 501(C)(3) OR GOV 23587 SUBAWARD VANDERBILT UNIVERSITY 3319 WEST END AVENUE SUITE 800 NASHVILLE TN 372036876 620476822 501(C)(3) OR GOV 1096387 SUBAWARD VIRGINIA COMMONWEALTH UNIVERSITY 800 EAST LEIGH ST SUITE 113 PO BOX 980568 RICHMOND VA 23298 546001758 501(C)(3) OR GOV 20837 SUBAWARD VIRGINIA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY 300 TURNER STREET NW SUITE 4200 BLACKSBURG VA 24061 546001805 501(C)(3) OR GOV 1045622 SUBAWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE BOX 1034 ST LOUIS MO 631121408 436053611 501(C)(3) OR GOV 64939 SUBAWARD WAYNE STATE UNIVERSITY 5700 CASS AVENUE ACADEMIC ADMIN BLDG 4900 DETROIT MI 48202 383555142 501(C)(3) OR GOV 19565 SUBAWARD WESTERN MICHIGAN UNIVERSITY 1903 W MICHIGAN AVE KALAMAZOO MI 49008 386007327 501(C)(3) OR GOV 22665 SUBAWARD YALE UNIVERSITY 155 WHITNEY AVE SUITE 230 PO BOX 208250 NEW HAVEN CT 06520 060646973 501(C)(3) OR GOV 171634 SUBAWARD YMCA OF METROPOLITAN CHICAGO 801 N DEARBORN CHICAGO IL 60610 362179782 501(C)(3) OR GOV 15000 SUBAWARD YOUTH GUIDANCE 1 NORTH LASALLE ST SUITE 900 CHICAGO IL 60602 362167032 501(C)(3) OR GOV 39990 SUBAWARD UNDERGRADUATE STUDENT AID 3228 109618222 GRADUATE STUDENT AID 6226 233329392 PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING USE OF GRANTS FUNDS INSIDE THE US SCHEDULE I, PART IV PART I, LINE 2, THE UNIVERSITY OF CHICAGO FOLLOWS THESE PROCEDURES TO MONITOR THE USE OF GRANTS FUNDS IN THE UNITED STATES. THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. X X X X X X 1 1 X X X 0 1 0 0 0 0 0 1 0 ROBERT J ZIMMER PRESIDENT 1021671 0 175000 0 716612 0 537400 0 137806 0 2588489 0 400000 0 THOMAS F ROSENBAUM PROVOST 326335 0 2 0 5338 0 20400 0 23439 0 375514 0 0 0 ERIC ISAACS PROVOST 500807 0 100000 0 67178 0 20800 0 76684 0 765469 0 0 0 NIMALAN CHINNIAH EXEC. VP FOR ADMIN & CFO 410273 0 703572 0 5916 0 20800 0 22006 0 1162567 0 0 0 ROWAN MIRANDA VP FOR OPERATIONS & CFO 351814 0 122800 0 31716 0 20800 0 21968 0 549098 0 0 0 KAREN WARREN COLEMAN VP CAMPUS AND STUD. LIFE 285466 0 14000 0 1086 0 20800 0 20199 0 341551 0 0 0 DEREK DOUGLAS VP CIVIC ENGAGEMENT 385545 0 37800 0 1521 0 20800 0 47040 0 492706 0 0 0 DAVID B FITHIAN EXECUTIVE VICE PRESIDENT 444808 0 45000 0 4635 0 20800 0 14705 0 529948 0 0 0 DAVID A GREENE EXECUTIVE VICE PRESIDENT 321574 0 11 0 32742 0 20400 0 24641 0 399368 0 0 0 BETH A HARRIS VP & GENERAL COUNSEL 423870 0 21400 0 9473 0 20800 0 55282 0 530825 0 0 0 KIMBERLY TAYLOR VP & GENERAL COUNSEL 225916 0 0 0 100762 0 18333 0 29579 0 374590 0 0 0 RICHARD IORIO VP & CHIEF HUMAN RESOURCE OFC. 555861 0 87527 0 33214 0 20800 0 59074 0 756476 0 0 0 DONALD H LEVY VP FOR RESEARCH 390867 0 19400 0 0 0 20800 0 13394 0 444461 0 0 0 KENNETH MANOTTI VP ALUMNI RELATIONS & DEVL. 497067 0 55774 0 7942 0 20800 0 13380 0 594963 0 0 0 JAMES G NONDORF VP ENROLL. & STUDENT ADV. 465784 0 45000 0 2375 0 20800 0 9128 0 543087 0 0 0 JULIE PETERSON VP COMMUNICATIONS 395727 0 16700 0 6242 0 20800 0 25909 0 465378 0 0 0 KENNETH S POLONSKY EXEC. VP MEDICAL AFFAIRS 1515074 0 420000 0 15407 0 20800 211548 21542 0 1992823 211548 0 0 DARREN REISBERG SECRETARY OF THE UNIVERSITY 233921 0 7255 0 404 0 19671 0 10098 0 271349 0 0 0 MARK A SCHMID VP AND CHIEF INVEST. OFFICER 631444 0 1352295 0 7024 0 713800 0 63311 0 2767874 0 585000 0 IAN SOLOMON VP GLOBAL ENGAGEMENT 314734 0 30139 0 43192 0 20800 0 46834 0 455699 0 0 0 MICHAEL EDLESON INVESTMENT CHIEF RISK OFFICER 397745 0 776575 0 0 0 394836 0 22043 0 1591199 0 357178 0 PATRICK O'HARA CHIEF OPERATING OFFICER 406574 0 662176 0 0 0 354470 0 1966 0 1425186 0 0 0 VALLUVAN JEEVANANDAM CHIEF CARDIAC & THORACIC SURG. 1203352 0 156063 0 0 0 20800 0 23584 0 1403799 0 0 0 JOANNA RUPP MANAGING DIRECTOR - PRIV. EQUITY 420729 0 700621 0 0 0 373842 0 34166 0 1529358 0 0 0 ARIEH SHALHAV PROFESSOR & CHIEF 996703 0 66667 0 60836 0 20800 0 8244 0 1153250 0 0 0 EVERETT VOKES CHAIRMAN OF MEDICINE 738092 0 175000 0 0 0 20800 0 28057 0 961949 0 0 0 SUNIL P KUMAR DEAN OF BOOTH SCH. OF BUS. 554986 0 55400 0 2888 0 20800 0 22996 0 657070 0 0 0 PART I, LINE 1A FIRST CLASS TRAVEL. UNDER WRITTEN UNIVERSITY POLICY, FIRST CLASS AIR TRAVEL IS ONLY ALLOWED WHEN APPROVED IN ADVANCE BY A DEAN, VICE PRESIDENT OR THE PROVOST. SIX OFFICERS WERE APPROVED FOR FIRST CLASS TRAVEL IN ACCORDANCE WITH THIS POLICY. NONE OF THE BUSINESS TRIPS WERE DEEMED TAXABLE COMPENSATION. TRAVEL FOR COMPANION. UNDER WRITTEN UNIVERSIY POLICY, TRAVEL FOR COMPANIONS MUST BE PRE-APPROVED BY THE VICE PRESIDENT FOR ADMINISTRATION AND CHIEF FINANCIAL OFFICER AND WILL ONLY BE APPROVED WHEN THE COMNPANION TRAVEL SERVES A BONA FIDE BUSINESS PURPOSE. FIVE OFFICERS HAD COMPANION TRAVEL APPROVED IN ACCORDANCE WITH THIS POLICY. THE COST OF THE COMPANION TRAVEL WAS NOT DEEMED TAXABLE COMPENSATION. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS. INDIVIDUALS MAY HAVE CERTAIN PAYMENTS GROSSED UP AT THE DISCRETION OF HEADS OF DEPARTMENTS OR OFFICERS OF THE UNIVERSITY. ONE OFFICER HAD A GROSSED-UP PAYMENT. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE. (PART 1A & 1B AND PART II, COLUMN D FOR ROBERT J. ZIMMER). HOUSING ALLOWANCES ARE ONLY PERMITTED IF PRE-APPROVED BY THE PROVOST'S OFFICE OR UNIVERSITY HUMAN RESOURCES. EIGHT OFFICERS RECEIVED HOUSING ALLOWANCES, WHICH WERE INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. OF THE AMOUNT IN COLUMN D FOR ROBERT J. ZIMMER, $109,738 REPRESENTS THE VALUE OF THE UNIVERSITY-OWNED HOUSING PROVIDED TO THE PRESIDENT, WHICH IS NOT DEEMED A TAXABLE BENEFIT. SOCIAL AND HEALTH CLUB DUES. UNDER WRITTEN UNIVERSITY POLICY, SOCIAL AND HEALTH CLUB DUES ARE REIMBURSABLE ONLY IF THE BENEFITS OF THE MEMBERSHIP SUPPORT THE UNIVERSITY'S MISSION AND ONLY IF THE REIMBURSEMENT IS APPROVED BY A DEAN, VICE PRESIDENT, PROVOST OR PRESIDENT OF THE UNIVERSITY. ANY PORTION OF THE DUES NOT USED FOR BUSINESS PURPOSES IS CONSIDERED TAXABLE COMPENSATION. OFFICERS OF THE UNIVERSITY MAINTAIN MEMBERSHIP IN THE QUADRANGLE CLUB, A RELATED ORGANIZATION THAT OPERATES A FACULTY CLUB ON THE CAMPUS OF THE UNIVERSITY FOR PURPOSES OF CONDUCTING MEETINGS AND OTHER UNIVERSITY BUSINESS. THE UNIVERSITY REIMBURSES OFFICERS FOR THESE DUES AND THE REIMBURSEMENT IS NOT DEEMED TAXABLE COMPENSATION. IN ADDITION TWO OFFICERS HAD SOCIAL CLUB DUES REIMBURSED BY THE UNIVERSITY FOR BUSINESS PURPOSES AND THE REIMBURSEMENT WAS NOT DEEMED TAXABLE COMPENSATION. PERSONAL SERVICES. THE UNIVERSITY PROVIDES FOR THE MAINTENANCE AND CLEANING OF THE UNIVERSITY OWNED HOUSE PROVIDED TO THE PRESIDENT. THESE SERVICES WERE NOT DEEMED A TAXABLE BENEFIT. PART I, LINE 4B: ROBERT J. ZIMMER $516,600. KENNETH POLONSKY $211,548 PART I, LINE 7: INVESTMENT OFFICE PERSONNEL PARTICIPATE IN AN INCENTIVE COMPENSATION PROGRAM BASED ON PERFORMANCE AND QUALITATIVE MEASUREMENTS. A IEFA 50000000 ADJ RATE REV BONDSSERIES 2003B 521297563 4520017E4 2003-08-28 50000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA 100000000 REVENUE BONDS SERIES 2004B 861091967 45200BHH4 2004-11-10 100000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 80000000 ADJ RAT REV REFUNDING BONDS 2004C 861091967 45200BJG4 2004-11-30 80000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA 244030000 REVENUE BONDS SERIES 2007 861091967 45200B6F0 2007-06-28 249996429 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 11144000 50141933 274223 49867740 2006 0 0 1 1 B 18331000 102437189 469999 101967190 2010 0 0 1 1 C 2404000 80000000 463838 79536162 2006 0 1 1 1 D 7935000 256001810 1630377 254371433 2010 0 0 1 1 A 0 0 1 1 1 1 0.00100 0.00000 0.00100 0 0 1 B 0 0 1 1 1 1 0.00300 0.00000 0.00300 0 0 1 C 0 0 1 1 1 1 0.00900 0.00000 0.00900 0 0 1 D 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 1 1 0 0 0 1 B 0 0 1 1 1 0 0 0 1 C 0 0 1 1 1 1 MORGAN STANLEY CAP 35.000000000000 0 0 0 0 1 D 0 0 1 1 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: IEFA 50,000,000 ADJ RATE REV BONDS,SERIES 2003B DATE THE REBATE COMPUTATION WAS PERFORMED: 04/02/2009 ISSUER NAME: IFA 100,000,000 REVENUE BONDS, SERIES 2004B DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2009 ISSUER NAME: IFA 80,000,000 ADJ RAT REV REFUNDING BONDS 2004C DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2011 ISSUER NAME: IFA 244,030,000 REVENUE BONDS, SERIES 2007 DATE THE REBATE COMPUTATION WAS PERFORMED: 07/12/2012 ISSUER NAME: IFA 123,604,000 ADJ RATE DEMAND REV SERIES 2008 DATE THE REBATE COMPUTATION WAS PERFORMED: 03/26/2013 ISSUER NAME: IFA 500,000,000 REVENUE BONDS, SERIES 2008B DATE THE REBATE COMPUTATION WAS PERFORMED: 03/01/2014 PART I COLUMN F DESCRIPTION OF PURPOSE $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $244,030,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2007, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL, A LIBRARY ADDITION, STEAM AND CHILLED WATER UTILITY PLANT EXPANSION, THE CENTER FOR BIOMEDICAL DISCOVERY, AND AN OFFICE BUILDING, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $500,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COST OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL AND DINING FACILITY, THE LOGAN ARTS CENTER, A LIBRARY ADDITION, AND THE CENTER FOR BIOMEDICAL DISCOVERY, AND PAY CERTAIN COSTS OF ISSUANCE. $369,570,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2012A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, THE MULTIPURPOSE ECONOMICS RESEARCH BUILDING, AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 1985A BONDS AND THE 2004A BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. $149,090,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2013A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE, AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, ADAPTIVE REUSE OF 5757 S. UNIVERSITY AVENUE AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 2001A BONDS, THE 2004A BONDS AND THE 2008B BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. $650,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2014A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, REFUND THE SERIES 2009 ISSUE, PAY CERTAIN COSTS RELATING TO THE ISSUE OF THE SERIES 2014A BONDS AND ADVANCED REFUNDING OF THE 2009 ISSUE. PART II LINE 3 SERIES 2003B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $141,933. SERIES 2004B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $2,437,189. SERIES 2007: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $6,005,381. SERIES 2008B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $646,698. SERIES 2012A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $8,068. SERIES 2013A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $4,887. SERIES 2014A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND THE TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $3,893. PART II, LINE 11 SERIES 2004B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2008B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2012B: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2013A: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. SERIES 2014A: THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS OF THE ISSUE THAT ARE NO LONGER IN ESCROW. A IFA XXX-XX-XXXX ADJ RATE DEMAND REV SERIES 2008 861091967 45200FEG0 2008-04-03 123604000 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA 500000000 REVENUE BONDS SERIES 2008B 861091967 45203HC42 2009-01-07 502370736 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 369570000 REVENUE BONDS SERIES 2012A 861091967 45203HFF4 2012-02-02 421065981 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA 149090000 REVENUE BONDS SERIES 2013A 861091967 45203HRE4 2013-05-15 159766350 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 17241000 123604000 752575 122851425 2004 1 0 1 1 B 44325000 397905000 503017434 3487166 499530268 2012 0 0 1 1 C 3705000 421074049 1982388 150009360 269082300 2013 0 1 1 1 D 159766816 1179561 100004887 58586789 2014 1 1 1 1 A 0 0 1 1 1 1 0.01100 0.00000 0.01100 0 1 0.00400 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 1 1 1 1 0.00200 0.00000 0.00200 0 0 1 D 0 0 1 1 1 1 0.00100 0.00000 0.00100 0 0 1 A 0 0 0 1 1 1 MORGAN STANLEY CAP 33.000000000000 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 1 0 0 0 0 0 0 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 A IFA 650000000 REVENUE BONDS SERIES 2014A 861091967 45203HB68 2014-08-12 644509246 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 644513139 458116993 2131891 175008593 9255662 2015 0 1 0 1 A 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 A 1 IAN SOLOMON X 300000 282675 0 1 1 DAVID FITHIAN X 136000 100392 0 1 1 KIM TAYLOR X 100000 100000 0 1 1 483067 TISHMAN SPEYER CROWN EQUITIES SEE PART V 563992 SEE PART V 0 TRIAN PARTNERS SEE PART V 1158900 SEE PART V 0 MAN GROUP PLC SEE PART V 992000 SEE PART V 0 THE CARLYLE GROUP SEE PART V 885690 SEE PART V 0 WILLIAM BLAIR & COMPANY SEE PART V 104000 SEE PART V 0 SHADI BARTSCH ZIMMER SEE PART V 262778 SEE PART V 0 SUMATI MURLI SEE PART V 155371 SEE PART V 0 TAMAR POLONSKY SEE PART V 222368 SEE PART V 0 DANIEL ROSENBAUM SEE PART V 42014 SEE PART V 0 TAMARA VOKES SEE PART V 248077 SEE PART V 0 SCHEDULE L, PART IV JAMES S. CROWN, A TRUSTEE OF THE UNIVERSITY, AND HIS FAMILY OWN AN INDIRECT INTEREST IN TISHMAN SPEYER CROWN EQUITIES, LLC (TISHMAN SPEYER), WHICH THROUGH A SUBSIDIARY OWNS AN OFFICE BUILDING IN WASHINGTON D.C. IN WHICH THE UNIVERSITY OF CHICAGO LEASES OFFICE SPACE. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $171,731 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2015. THE UNIVERSITY ALSO LEASES OFFICE SPACE IN NEW YORK, NEW YORK FROM TISHMAN SPEYER. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $ 392,261 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2015.PETER MAY, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT AND FOUNDING PARTNER OF TRIAN PARTNERS, AN INVESTMENT MANAGEMENT FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. TRIAN PARTNERS RECEIVED APPROXIMATELY $1,158,900 IN MANAGEMENT AND INCENTIVE FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2015. EMMANUEL ROMAN, A TRUSTEE OF THE UNIVERSITY, IS THE CHIEF EXECUTIVE OFFICER OF MAN GROUP PLC, AN INVESTMENT MANAGEMENT FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. THE MAN GROUP PLC RECEIVED APPROXIMATELY $992,000 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2015.DAVID M. RUBENSTEIN, A TRUSTEE OF THE UNIVERSITY, IS A CO-FOUNDER AND CO-CEO OF THE CARLYLE GROUP, A PRIVATE EQUITY FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. THE CARLYLE GROUP RECEIVED APPROXIMATELY $885,690 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2015.E. DAVID COOLIDGE III, A TRUSTEE OF THE UNIVERSITY, IS VICE CHAIRMAN OF WILLIAM BLAIR & COMPANY, AN INVESTMENT BANKING FIRM THAT PROVIDED SERVICES ON UNIVERSITY BOND ISSUES. FOR ITS SERVICES DURING THE TAX YEAR ENDED JUNE 30, 2015, WILLIAM BLAIR & COMPANY RECEIVED APPROXIMATELY $104,000 IN COMPENSATION.SHADI BARTSCH-ZIMMER, THE WIFE OF THE UNIVERSITY OF CHICAGO PRESIDENT ROBERT J. ZIMMER, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR OF CLASSICS. MS. BARTSCH-ZIMMER WAS PAID A GROSS SALARY OF $262,778 FOR THE CALENDAR YEAR 2014 IN CONNECTION WITH HER EMPLOYMENT.SUMATI MURLI, THE WIFE OF SUNIL KUMAR, DEAN OF THE BOOTH SCHOOL OF BUSINESS, IS EMPLOYED BY THE UNIVERSITY AS A DIRECTOR FOR CLINICAL RESEARCH OPERATIONS. MS. MURLI WAS PAID $155,371 FOR THE CALENDAR YEAR 2014 IN CONNECTION WITH HER EMPLOYMENT.TAMAR POLONSKY, THE DAUGHTER OF KENNETH POLONSKY, DEAN AND EXECUTIVE VICE PRESIDENT FOR MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS AN ASSISTANT PROFESSOR IN THE DEPARTMENT OF MEDICINE. DR. POLONSKY WAS PAID $222,368 FOR THE CALENDAR YEAR 2014 IN CONNECTION WITH HER EMPLOYMENT.DANIEL ROSENBAUM, THE SON OF THOMAS ROSENBAUM, THE FORMER PROVOST OF THE UNIVERSITY, WAS EMPLOYED AT THE UNIVERSITY. MR. ROSENBAUM WAS PAID $42,014 FOR THE CALENDAR YEAR 2014 IN CONNECTION WITH HIS EMPLOYMENT.TAMARA VOKES, THE WIFE OF EVERETT VOKES, THE FORMER DEAN AND VICE PRESIDENT OF MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR IN CLINICAL MEDICINE. DR. VOKES WAS PAID $248,077 FOR THE CALENDAR YEAR 2014 IN CONNECTION WITH HER EMPLOYMENT. X 16 X 394149 OPINION OF EXPERTS X 380 45037110 COST/SELLING PRICE 23 0 1 1 PART I, LINE 32B: RELATED ORGANIZATIONS IN THE UK, FRANCE,SINGAPORE, HONG KONG AND INDIA SOLICIT CHARITABLE CONTRIBUTIONS FOR THE BENEFIT OF THE UNIVERSITY AND ITS PROGRAMS. THE UNIVERSITY USES AN OUTSIDE BROKER TO SELL GIFTS OF SECURITIES. PART I, LINE 33: THE UNIVERSITY OF CHICAGO DOES NOT RECORD GIFTS OF ART AS REVENUE AS PERMITTED UNDER SFAS 116. FORM 990, PART VI, SECTION A, LINE 2 ANDREW M. ALPER AND KENNETH M. JACOBS, BOTH TRUSTEES OF THE UNIVERSITY HAVE A BUSINESS RELATIONSHIP. RODNEY L. GOLDSTEIN AND JAMES S. CROWN, BOTH TRUSTEES OF THE UNIVERSITY HAVE A BUSINESS RELATIONSHIP. THOMAS J. PRITZKER AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY HAVE A BUSINESS RELATIONSHIP. JOHN W. ROGERS AND PAULA WOLFF, BOTH TRUSTEES OF THE UNIVERSITY HAVE A BUSINESS RELATIONSHIP. ANDREW M. ROSENFIELD AND PETER W. MAY, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. TIMOTHY M. GEORGE AND KENNETH M. JACOBS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. PETER W. MAY AND KING W. HARRIS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. PETER W. MAY AND ROBERT W. LANE, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. MICHAEL P. POLSKY AND MARY A. TOLAN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND E. DAVID COOLIDGE III, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND RODNEY L. GOLDSTEIN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND JOHN W. ROGERS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. BYRON D. TROTT AND JAMES S. CROWN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. BYRON D. TROTT AND JOSEPH NEUBAUER, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. BYRON D. TROTT AND NASSEF O. SAWIRIS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO FILING THE FORM 990, MEMBERS OF THE EXECUTIVE COMMITTEE OF THE UNIVERSITY'S BOARD OF TRUSTEES WERE GIVEN AN OPPORTUNITY TO REVIEW PORTIONS OF THE FORM 990 RELEVANT TO THE THEIR AREAS OF OVERSIGHT. THESE PORTIONS OF THE FORM 990 WERE DISTRIBUTED TO COMMITTEE MEMBERS FOR CONVENED MEETINGS IN FEBRUARY 2016, AT WHICH TRUSTEES OF THESE COMMITTEES WERE GIVEN THE OPPORTUNITY TO DISCUSS THE RELEVANT SECTIONS OF THE FORM 990 AND ASK QUESTIONS. IN ADDITION, IN EARLY APRIL 2016, THE COMPLETED DRAFT FORM 990 (AND FORM 990-T), INCLUDING ALL SCHEDULES, WAS POSTED ON A SECURE WEBSITE ACCESSIBLE TO ALL TRUSTEES TO ALLOW THEM TO REVIEW THE FORM, PROVIDE COMMENTS, AND ASK ANY QUESTIONS. INFORMATION ABOUT ACCESSING THE WEBSITE WAS DISTRIBUTED IN ADVANCE TO ALL TRUSTEES. THE DRAFT FORM REMAINED AVAILABLE ON THE WEBSITE FOR APPROXIMATELY TWO WEEKS, AFTER WHICH ONLINE ACCESS ENDED TO ALLOW THE UNIVERSITY TIME TO FINALIZE THE FORM 990 AND FORM 990T FOR FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ALL TRUSTEES, OFFICERS, FACULTY, SENIOR ADMINISTRATORS, AND OTHER EMPLOYEES OF THE UNIVERSITY ARE SUBJECT TO CONFLICT OF INTEREST POLICIES THAT, AMONG OTHER THINGS, DEFINE MATERIAL FINANCIAL CONFLICTS OF INTEREST, IDENTIFY THE CLASSES OF INDIVIDUALS COVERED BY THE POLICIES, FACILITATE DISCLOSURE OF INFORMATION, AND SPECIFY PROCEDURES TO BE FOLLOWED IN MANAGING THE CONFLICTS. THESE CONFLICT OF INTEREST POLICIES AND PROCEDURES INCLUDE: (1) THE UNIVERSITY OF CHICAGO CONFLICT OF INTEREST POLICY FOR TRUSTEES AND OFFICERS REQUIRES TRUSTEES AND OFFICERS TO ALERT THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, OR THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL OF ANY POTENTIAL CONFLICT OF INTEREST, AND ABSTAIN FROM PARTICIPATING IN OR VOTING ON THE MATTER. THE POLICY ALSO REQUIRES TRUSTEES AND OFFICERS TO DISCLOSE ON AN ANNUAL BASIS, ACTUAL AND POTENTIAL CONFLICTS OF INTEREST BY COMPLETING A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ALL CONFLICT OF INTEREST DISCLOSURES AND RELATED DISCUSSIONS ARE SHARED WITH THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, AND THE UNIVERSITY'S PRESIDENT, ITS GENERAL COUNSEL, AND ITS EXTERNAL AUDITORS. THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL, IN CONSULTATION WITH THE COMMITTEE ON TRUSTEESHIP AND SENIOR UNIVERSITY ADMINISTRATORS, COMPILES THE DISCLOSURES INTO A CONFIDENTIAL DATABASE AND PREPARES FOR EACH TRUSTEE AND OFFICER A WRITTEN ACKNOWLEDGEMENT OF THE DISCLOSURE THAT IDENTIFIES ANY PENDING UNIVERSITY TRANSACTIONS THAT MAY BE AFFECTED BY THE DISCLOSURE. THE CHAIR OF THE BOARD ALSO REVIEWS ALL DISCLOSED POTENTIAL CONFLICTS OF INTEREST BEFORE MAKING BOARD COMMITTEE ASSIGNMENTS. (2) THE UNIVERSITY'S POLICY ON SERVICE TO OUTSIDE ORGANIZATIONS BY SENIOR ADMINISTRATORS REQUIRES OFFICER AND SENIOR ADMINISTRATORS TO DISCLOSE ALL OFFICER, DIRECTOR, OR TRUSTEE POSITIONS THEY HOLD OR INTEND TO HOLD IN OUTSIDE ORGANIZATIONS, INCLUDING BUT NOT LIMITED TO ORGANIZATIONS IN WHICH THEY HAVE A FINANCIAL INTEREST OR FROM WHICH THEY RECEIVE COMPENSATION. THE UNIVERSITY'S OFFICE OF LEGAL COUNSEL MONITORS SUCH POTENTIAL CONFLICTS BY CIRCULATING ANNUALLY A DISCLOSURE FORM THAT MUST BE UPDATED AS CIRCUMSTANCES CHANGE, AND OFFICERS ARE ALSO REQUIRED TO DISCLOSE ALL SUCH RELATIONSHIPS IN ADVANCE TO THEIR IMMEDIATE SUPERVISOR. THIS INFORMATION MAY BE SHARED WITH THE UNIVERSITY'S TRUSTEES, PRESIDENT, PROVOST, GENERAL COUNSEL, AND OTHERS AS NECESSARY; COMPENSATED OUTSIDE SERVICE IS ALSO SUBJECT TO REVIEW BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. (3) ACADEMIC EMPLOYEES, INCLUDING THE PRESIDENT AND THE PROVOST, ARE SUBJECT TO THE UNIVERSITY'S CONFLICT OF INTEREST AND CONFLICT OF COMMITMENT POLICY FOR FACULTY AND OTHER ACADEMIC APPOINTEES. THE OFFICE OF THE PROVOST IS THE ADMINISTRATIVE OFFICE CHARGED WITH ASSURING COMPLIANCE WITH THE FACULTY CONFLICT OF INTEREST POLICY. THE PROVOST HAS DELEGATED OVERSIGHT OF THIS POLICY TO THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST ALSO APPOINTS THE MEMBERS OF THE STANDING COMMITTEE ON INDIVIDUAL CONFLICTS OF INTEREST AND DESIGNATES THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST REPORTS PERIODICALLY TO THE STANDING COMMITTEE ON THE STATUS OF FACULTY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY; THE REPORT INCLUDES HOW RISKS HAVE BEEN ADDRESSED THROUGH MANAGEMENT PLANS OR OTHER PRACTICES INTENDED TO PROVIDE FOR THE REDUCTION, ELIMINATION OR MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS. THE DEPUTY PROVOST SEEKS ASSESSMENTS OF THE RISKS AND RECOMMENDATIONS FOR RESPONSIBLE MANAGEMENT FROM DEPARTMENT CHAIRS AND DEANS AND OTHERS SUCH AS THE DIRECTOR OF UNIVERSITY RESEARCH ADMINISTRATION AND THE OFFICE OF LEGAL COUNSEL. (4) THE UNIVERSITY'S CONFLICT OF INTEREST POLICY REQUIRES ALL NON-ACADEMIC EMPLOYEES TO AVOID INVOLVEMENT IN ACTIVITIES WHICH MIGHT CONFLICT, OR MIGHT APPEAR TO CONFLICT, WITH THEIR INSTITUTIONAL RESPONSIBILITIES, INCLUDING, BUT NOT LIMITED TO BUSINESS OR FINANCIAL INTERESTS, TRANSACTIONS INVOLVING THE USE OF CONFIDENTIAL INFORMATION OR KNOWLEDGE GAINED AS A RESULT OF THE EMPLOYEE'S RELATIONSHIP WITH THE UNIVERSITY, THE USE OF UNIVERSITY RESOURCES FOR PERSONAL BENEFIT OR THE BENEFIT OF OTHERS, THE ACCEPTANCE OF GIFTS OF MORE THAN NOMINAL VALUE, AND NEPOTISM. CONFLICT OF INTEREST POLICY REQUIRES STAFF TO PROVIDE FULL DISCLOSURE OF ANY INTEREST THAT MIGHT INFLUENCE, OR APPEAR TO HAVE THE CAPACITY TO INFLUENCE, THE STAFF MEMBER'S OFFICIAL DECISIONS OR ACTIONS ON UNIVERSITY MATTERS. THE DISCLOSURES ARE TO BE IN WRITING, TENDERED TO THE EMPLOYEE'S IMMEDIATE SUPERVISOR, DEPARTMENT HEAD, OR THE APPROPRIATE VICE PRESIDENT OF THE UNIVERSITY. (5) THE UNIVERSITY'S POLICY ON BUSINESS CONDUCT AT THE UNIVERSITY OF CHICAGO REQUIRES ALL UNIVERSITY EMPLOYEES TO, AMONG OTHER THINGS, AVOID REAL OR PERCEIVED CONFLICTS OF INTEREST; USE UNIVERSITY RESOURCES ONLY FOR LEGITIMATE UNIVERSITY BUSINESS; AND REPORT POSSIBLE VIOLATIONS OF THE POLICY, OTHER UNIVERSITY POLICIES, OR APPLICABLE LAW. MEMBERS OF THE UNIVERSITY COMMUNITY ARE ENCOURAGED TO REPORT COMPLIANCE CONCERNS THROUGH NORMAL LINES OF COMMUNICATION INCLUDING DISCUSSIONS WITH SUPERVISORS OR ADVISORS AND, IF NECESSARY, THROUGH THE TOLL-FREE HOTLINE. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES ANNUALLY REVIEWS COMPENSATION FOR THE UNIVERSITY'S PRESIDENT AND ALL OTHER UNIVERSITY OFFICERS, BASED ON A RECOMMENDATION FROM THE CHAIRMAN OF THE BOARD OF TRUSTEES IN THE CASE OF THE PRESIDENT'S COMPENSATION, AND RECOMMENDATIONS FROM THE PRESIDENT IN THE CASE OF OFFICER COMPENSATION. THE COMPENSATION COMMITTEE REVIEWS THESE RECOMMENDATIONS, INCLUDING A REVIEW OF COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS. THE COMPENSATION COMMITTEE THEN MAKES A RECOMMENDATION REGARDING COMPENSATION TO THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, WHICH ALSO REVIEWS THE COMPARABILITY DATA AND MAKES ALL FINAL COMPENSATION DECISIONS. THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE AND THE DECISIONS OF THE EXECUTIVE COMMITTEE ARE DOCUMENTED IN MINUTES MAINTAINED BY THE UNIVERSITY. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, CONFLICT OF INTEREST POLICIES, AND MOST RECENT FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ON THE UNIVERSITY'S WEBSITE, WWW.UCHICAGO.EDU . FORM 990, PART XI, LINE 9: ADJUSTMENT OF RELATED ORG INVESTMENT 95,740,000. MISCELLANEOUS -541,552. 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AS SUCH, THE INCOME AND ASSETS OF THE TRUST ARE NOT SHOWN ON THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS WHICH ARE THE BASIS FOR THE 990 PART VIII, LINE 12 AND PART X, LINE 16. THE END OF THE YEAR ASSET BALANCE IS $70,992,074 AND THE INCOME FOR THE PERIOD ENDING DECEMBER 31, 2014 IS $7,753,063. UCHICAGO ARGONNE LLC, A DISREGARDED ENTITY OF THE UNIVERSITY OF CHICAGO, MANAGES ARGONNE NATIONAL LABORATORY. UCHICAGO ARGONNE LLC EARNED A MANAGEMENT FEE OF $3,736,500 FOR THE TAX YEAR. THE TOTAL EXPENDITURES AT ARGONNE NATIONAL LABORATORY WERE APPROXIMATELY $713 MILLION FOR THE TAX YEAR. THE FUNDING AND THE EXPENDITURES OF ARGONNE HAVE BEEN INCLUDED IN PARTS III, VIII, AND IX OF THE FORM 990. FOR PURPOSES OF COMPLETENESS, PLEASE NOTE THE FOLLOWING: THE ENTITIES LISTED BELOW ARE DISREGARDED ENTITIES OF THE UNIVERSITY OF CHICAGO MEDICAL CENTER: UCMC COMMUNITY PHYSICIANS LLC, 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 38-3865637 PRIMARY ACTIVITY: PHYSICIAN SERVICES LEGAL DOMICILE: ILLINOIS UNIVERSITY OF CHICAGO MEDICINE CARE NETWORK LLC, 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 47-4222269 PRIMARY ACTIVITY: HEALTHCARE LEGAL DOMICILE: ILLINOIS ALSO NOTE: THE UNIVERSITY OF CHICAGO MEDICAL CENTER IS A LESS THAN 50% MEMBER IN A JOINT VENTURE WITH UCMC/SCH ONCOLOGY JV LLC, A TAX EXEMPT ENTITY, 1850 SILVER CROSS BLVD, NEW LENOX, IL 60451, EIN: 32-2436795 AND THE UNIVERSITY OF CHICAGO MEDICINE CARE NETWORK, LLC, A DISREGARDED ENTITY OF THE UNIVERSITY OF CHICAGO MEDICAL CENTER, IS THE SOLE MEMBER OF THE FOLLOWING RELATED ENTITIES: UCM CARE NETWORK MEDICAL GROUP INC. 5841 S. MARYLAND AVE., CHICAGO, IL 60637 EIN: 47-4221241 PRIMARY ACTIVITY: HEALTHCARE LEGAL DOMICILE: ILLINOIS UNIVERSITY OF CHICAGO MEDICINE CARE NETWORK AFFILIATED PHYSICIANS LLC, 5841 S. MARYLAND, CHICAGO, IL 60637, EIN: 47-42339818 PRIMARY ACTIVITY: HEALTHCARE LEGAL DOMICILE: ILLINOIS