2015-05-15T10:52:44-05:00 2014-06-30 990 2013-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL ST WASHINGTON BLDG NO 850 DURHAM NC 27701 TALLMAN TRASK III EXECUTIVE VICE PRESIDENT 9196842006 2015-04-28 0 2013 2016-03-07 17:11:31Z RICHARD H BRODHEAD 324 BLACKWELL STREET DURHAM NC 27701 12118998124 0 X WWW.DUKE.EDU X 1841 NC TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH 37 32 29161 0 0 0 1433799156 1351838332 879812019 918531299 605183768 732801271 51133480 57531622 2969928423 3060702524 289825385 299445318 0 0 1360254256 1376707745 3028336 1479417 43950671 914197830 979349362 2567305807 2656981842 402622616 403720682 11376610214 13105945107 2214639349 2432389676 9161970865 10673555431 X SEE SCHEDULE O 0 0 1301048469 258975572 727039237 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 4761 STUDENTS ANNUALLY 881709169 40091837 1056410380 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS 229341928 377909 91239646 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY 2412099566 1 1 0 1 0 0 0 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 1 0 0 0 0 0 1 0 1 1 1 1 0 0 1 1 1 1 0 0 1 X 9746 0 1 29161 1 0 1 SP EC IT GM UK CH SN TZ MA GR 0 0 0 1 1 0 0 0 0 X 37 32 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AK CO DC MD MA MI NH NJ NY OR SC WA X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST STE 850 DURHAM NC 27701 ANNE T BASS TRUSTEE 4.00 0.00 X 0 0 0 JACK O BOVENDER JR TRUSTEE 6.00 2.00 X 0 0 0 RICHARD H BRODHEAD TRUSTEE/PRESIDENT 50.00 12.00 X X 1093650 0 194315 GREGORY MALIK BURNETT TRUSTEE 2.00 0.00 X 0 0 0 PAULA CROWN TRUSTEE 2.00 0.00 X 0 0 0 KAVEH DANESH TRUSTEE 2.00 0.00 X 0 0 0 ALLYSON K DUNCAN TRUSTEE 2.00 0.00 X 4500 0 0 RALPH EADS TRUSTEE 2.00 0.00 X 0 0 0 FRANK E EMORY JR TRUSTEE 4.00 0.00 X 0 0 0 PAUL E FARMER TRUSTEE 2.00 0.00 X 0 0 0 ROBIN A FERRACONE TRUSTEE 4.00 0.00 X 0 0 0 GAO XIQING TRUSTEE 4.20 0.00 X 0 0 0 EDWARD A GILHULY TRUSTEE 4.00 3.00 X 0 0 0 THOMAS M GORRIE TRUSTEE 4.00 21.00 X 0 0 0 GERALD HASSELL TRUSTEE 6.00 0.00 X 0 0 0 WILLIAM HAWKINS TRUSTEE 4.00 2.00 X 0 0 0 JANET HILL TRUSTEE 3.00 0.00 X 0 0 0 BETSY D HOLDEN TRUSTEE 2.00 0.00 X 0 0 0 JEFFREY C HOWARD TRUSTEE 6.00 6.00 X 0 0 0 PETER J KAHN TRUSTEE 2.00 0.00 X 0 0 0 BRUCE KARSH TRUSTEE 4.00 2.00 X 0 0 0 ELIZABETH KISS TRUSTEE 2.00 0.00 X 0 0 0 MARGUERITE W KONDRACKE TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL MARSICANO TRUSTEE 6.00 1.00 X 0 0 0 MARTHA MONSERRATE TRUSTEE 2.00 3.00 X 0 0 0 CLARENCE G NEWSOME TRUSTEE 2.00 0.00 X 0 0 0 STEPHEN G PAGLIUCA TRUSTEE 0.10 0.00 X 0 0 0 ROBERT R PENN TRUSTEE 2.00 0.00 X 0 0 0 CARMICHAEL ROBERTS TRUSTEE 2.00 0.00 X 0 0 0 DAVID M RUBENSTEIN TRUSTEE 6.00 2.00 X 0 0 0 ALAN D SCHWARTZ TRUSTEE 5.00 0.00 X 0 0 0 MICHELLE SOHN TRUSTEE 2.00 0.00 X 0 0 0 LAURENE M SPERLING TRUSTEE 4.00 0.00 X 0 0 0 SUSAN M STALNECKER TRUSTEE 6.00 2.00 X 0 0 0 ASHLEY CROWDER STANLEY TRUSTEE 2.00 0.00 X 0 0 0 JEFFERY N VINIK TRUSTEE 1.30 0.00 X 0 0 0 HOPE MORGAN WARD TRUSTEE 2.00 0.00 X 0 0 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 35.00 16.00 X 471060 0 72428 VICTOR J DZAU CHANCELLOR HEALTH AFFAIRS 40.00 48.00 X 2040018 0 732795 PETER LANGE PROVOST 65.00 5.00 X 599341 26000 38503 RICHARD RIDDELL VP & UNIVERSITY SECRETARY 60.00 0.00 X 325692 0 44815 TALLMAN TRASK III EXECUTIVE VICE PRESIDENT 60.00 20.00 X 620774 0 74294 NANCY CATHERINE ANDREWS VICE CHAN OF ACADEMIC AFFAIRS 40.00 5.00 X 742900 0 82236 WILLIAM BOULDING DEAN, FUQUA SCHOOL OF BUSINESS 75.00 2.00 X 497265 0 45667 ROBERT M CALIFF MD VICE CHAN FOR CLINICAL RESEARCH 40.00 1.00 X 513548 0 46600 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN, SOM 60.00 2.00 X 553885 0 52947 ALICE GOULD INVESTMENT MANAGER 40.00 0.00 X 979712 0 112166 ANDERS HALL INVESTMENT MANAGER 40.00 0.00 X 829201 0 40225 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 50.00 0.00 X 296003 0 85274 LAURIE L PATTON DEAN, COLLEGE OF A & S 68.30 0.00 X 377365 0 36591 ERIC PETERSON DIRECTOR, DCRI 80.00 10.00 X 437989 0 61002 JAMES S ROBERTS EXEC VICE-PROVOST FIN & ADMIN 38.00 2.00 X 333284 0 38503 NEAL TRIPLETT CHIEF INVESTMENT OFFICER 40.00 20.00 X 2577433 0 296792 DAVID N CUTCLIFFE COACH 40.00 0.00 X 1992685 0 50919 MICHAEL B KASTAN EXEC DIRECTOR, CANCER INSTITUTE 40.00 0.00 X 903712 0 43999 MICHAEL W KRZYZEWSKI COACH 40.00 0.00 X 6020977 0 1271449 JOANNE MCCALLIE COACH 40.00 0.00 X 943268 0 52476 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 40.00 0.00 X 896100 0 51054 ALVIN L CRUMBLISS FORMER KEY EMPLOYEE 40.00 0.00 X 205097 0 34111 24255459 26000 3559161 2519 1 1 0 LEND LEASE US CONSTRUCTION INC 324 BLACKWELL ST STE 130 DURHAM NC 27701 CONSTRUCTION SERVICE 37449187 LECHASE CONSTRUCTION 324 BLACKWELL ST 1200 DURHAM NC 27701 CONSTRUCTION SERVICE 31552391 ROMEO GUEST ASSOCIATES INC 1715 CAMDEN AVE DURHAM NC 27704 CONSTRUCTION SERVICE 24431307 PAREXEL INTERNATIONAL 5239 PAYSPHERE CIRCLE CHICAGO IL 60674 CONSULTING SERVICE 23971257 SKANSKA USA BUILDING INC 4309 EMPEROR BLVD SUITE 200 DURHAM NC 27703 CONSTRUCTION SERVICE 21015390 671 4094197 80101643 577204625 690437867 49049351 1351838332 TUITION & FEES 611600 665685603 665685603 ANCILLARY STUDENT SVCS 611600 91239646 91239646 CONTINUING EDUCATION 611600 55529194 55529194 CONFERENCE FEES 611600 5824440 5824440 ACADEMIC MED. RESEARCH 611600 4615334 4615334 95637082 95637082 918531299 118243338 118243338 26378857 26378857 8257968 5307955 2950013 2950013 2950013 9665911678 115534 9038149000 13320279 627762678 -13204745 614557933 614557933 493690 4094197 1518366 -1024676 -1024676 MISC. SALES 900099 14127495 14127495 VARIOUS FEES AND FINES 900099 4347090 4347090 STUDENT DUES 900099 4070084 4070084 6682759 6682759 29227428 3060702524 947758727 0 761105465 7640508 7640508 291740863 291740863 63947 63947 14518984 1284096 12223891 1010997 1053732 879385 174347 1103925616 952335017 129378534 22212065 80758496 70672362 8488964 1597170 95609606 84966604 7837268 2805734 80841311 68715115 10509370 1616826 10406955 1662807 8733808 10340 628647 616147 12500 1479417 1479417 21916277 21916277 124120273 96405156 23966302 3748815 5151955 3965141 1051384 135430 88465708 83174836 4441376 849496 9297284 6427621 2869663 37362559 22826508 14536051 67473170 65702412 1349724 421034 56164183 51694462 2341953 2127768 2043 2043 34225001 25923702 5304930 2996369 59373953 40159705 19216915 -2667 184856707 172582222 12274485 3918829 5595899 -1682741 5671 SUBRECIPIENT PAYMENTS 179982016 179982016 EQUIP RENTAL & MAINTENA 46860624 62176309 -15761100 445415 COST OF GOODS SOLD 18851046 15866200 2977337 7509 PRINTING & PUBLICATIONS 11126709 7866591 2091976 1168142 19165423 91788039 -73925256 1302640 2656981842 2412099566 200931605 43950671 186307269 177661248 465485441 487854140 117987505 136898553 67935 0 41884950 43985796 19121967 17135562 71253772 99284494 4247074077 2405326745 1761300139 1841747332 2562455501 1755216520 5443589979 7743801439 707155756 802360023 11376610214 13105945107 258057872 295098254 158065135 160077346 1053900000 1050845000 6007482 8467970 367836456 495339889 370772404 422561217 2214639349 2432389676 X 4334577206 5166020994 2303099009 2872682056 2524294650 2634852381 9161970865 10673555431 11376610214 13105945107 X 403720682 692453994 415409890 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 1 0 0 0 0 1 212624 0 1 6935 219559 0 FORM 990, SCHEDULE C, PART II-B DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES AND SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. 74111 34859461 X X X X 1 6019979874 125705635 1150829206 76193058 207698098 7012623559 5537135706 91146456 685897075 74093846 220105517 6019979874 5728347000 79855209 -2357082 70629526 198079895 5537135706 4802051000 81684000 1123743485 73647646 205483839 5728347000 4430172000 86145000 530625628 55616571 189275057 4802051000 0.30000 0.70000 1 1 1 24639422 24639422 2766434302 1435078955 1331355347 165125491 110920459 54205032 654186076 510215542 143970534 636688786 349111789 287576997 1841747332 SHORT TERM INVESTMENTS 2045814957 F US GOVERNMENT SECURITIES 3146000 F REAL ASSETS 1550028532 F PRIVATE CAPITAL 1647212949 F HEDGE STRATEGIES 798577354 F OTHER INVESTMENTS 56506240 F FIXED INCOME 328274392 F EQUITIES 1314241015 F 7743801439 DEPOSITS WITH BOND TRUSTEE 2 INTEREST IN PERPETUAL TRUST HELD BY OTHERS 802360021 802360023 ANNUITY AND SPLIT INTEREST OBLIGATIONS 47110373 POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 201299185 FUNDS HELD FOR OTHERS 88805210 REFUNDABLE FEDERAL STUDENT LOANS 34778599 CONDITIONAL ASSET RETIREMENT 45288852 MISC PAYABLES 5278998 422561217 SCHEDULE D, PART III, LINE 4 ART COLLECTION DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCE WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING. SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. SCHEDULE D, PART X LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FIN 48 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FIN 48 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FIN 48 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2014. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 SEE PART II FORM 990, SCHEDULE E, LINE 3 NONDISCRIMINATORY POLICY DUKE UNIVERSITY IS COMMITTED TO ENCOURAGING AND SUSTAINING WORK AND LEARNING ENVIRONMENTS THAT ARE FREE FROM HARASSMENT AND PROHIBITED DISCRIMINATION. THE UNIVERSITY PROHIBITS DISCRIMINATION AND HARASSMENT IN THE ADMINISTRATION OF BOTH ITS EMPLOYMENT AND EDUCATIONAL POLICIES. EQUAL EMPLOYMENT AND EDUCATIONAL OPPORTUNITIES ARE PROVIDED WITHOUT REGARD TO RACE, COLOR, SEX, RELIGION, NATIONAL ORIGIN, DISABILITY, VETERAN STATUS, SEXUAL ORIENTATION, GENDER IDENTITY, AGE OR GENETIC INFORMATION. DUKE UNIVERSITY ALSO MAKES GOOD FAITH EFFORTS TO RECRUIT, HIRE AND PROMOTE QUALIFIED MINORITIES, WOMEN, INDIVIDUALS WITH DISABILITIES AND VETERANS. IN ACCORDANCE WITH TITLE IX OF THE EDUCATION AMENDMENTS OF 1972, DUKE UNIVERSITY PROHIBITS DISCRIMINATION ON THE BASIS OF SEX. SEXUAL HARASSMENT IS A FORM OF SEX DISCRIMINATION. DUKE UNIVERSITY HAS DESIGNATED DR. BENJAMIN D. REESE, VICE-PRESIDENT OF THE OFFICE FOR INSTITUTIONAL EQUITY AS ITS TITLE IX COORDINATOR. THE OFFICE FOR INSTITUTIONAL EQUITY IS LOCATED IN SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708. DR. REESE'S OFFICE TELEPHONE NUMBER IS (919) 684-8222. QUESTIONS OR CONCERNS REGARDING TITLE IX, HARASSMENT OR DISCRIMINATION MAY BE DIRECTED TO THE OFFICE FOR INSTITUTIONAL EQUITY. POLICIES AND RELATED PROCEDURES ARE COMMUNICATED TO ALL MEMBERS OF THE DUKE COMMUNITY THROUGH VARIOUS PUBLICATIONS, POSTINGS, ELECTRONIC MEDIA AND TRAINING SESSIONS FOR MANAGERS. PUBLICATIONS OF THE UNIVERSITY PICTURE BOTH MINORITY AND NON-MINORITY MEN AND WOMEN AND PERSONS WITH DISABILITIES. RECRUITING ADVERTISEMENTS STATE THAT THE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. FORM 990, SCHEDULE E, LINE 6 EXPLANATION OF GOVERNMENT FINANCIAL AID IN FUTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSITY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, MEDICAL PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS. 1 ANTARCTICA 0 0 PROGRAM SERVICES RESEARCH 5295 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 123451 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 39961 CENTRAL AMERICA AND THE CARIBBEAN 0 1 PROGRAM SERVICES STUDY ABROAD 62217 CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEMINAR 98824 EAST ASIA AND THE PACIFIC 0 0 FUNDRAISING 4954 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 33825 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 6520419 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CULTURAL EVENT 9418 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 4268692 EAST ASIA AND THE PACIFIC 0 13 PROGRAM SERVICES STUDY ABROAD 1101461 EAST ASIA AND THE PACIFIC 0 0 SEMINAR 1765540 EUROPE 0 0 FUNDRAISING 6841 EUROPE 0 0 GRANTMAKING 22499 EUROPE 0 0 PROGRAM SERVICES EDUCATION 808061 EUROPE 0 0 PROGRAM SERVICES RESEARCH 9842126 EUROPE 6 61 PROGRAM SERVICES STUDY ABROAD 4378220 EUROPE 0 0 SEMINAR 3250048 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATION 136838 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 542659 MIDDLE EAST AND NORTH AFRICA 0 3 PROGRAM SERVICES STUDY ABROAD 864333 MIDDLE EAST AND NORTH AFRICA 0 0 SEMINAR 195075 NORTH AMERICA 0 0 GRANTMAKING 1575 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 97080 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 11349853 NORTH AMERICA 0 2 PROGRAM SERVICES STUDY ABROAD 4678 NORTH AMERICA 0 0 SEMINAR 413235 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EDUCATION 104683 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES RESEARCH 83050 RUSSIA AND NEIGHBORING STATES 0 4 PROGRAM SERVICES STUDY ABROAD 388967 RUSSIA AND NEIGHBORING STATES 0 0 SEMINAR 75005 SOUTH AMERICA 0 0 GRANTMAKING 6998 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 203614 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 796028 SOUTH AMERICA 0 5 PROGRAM SERVICES STUDY ABROAD 92546 SOUTH AMERICA 0 0 SEMINAR 355515 SOUTH ASIA 0 0 GRANTMAKING 6250 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 213480 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 2747355 SOUTH ASIA 0 2 PROGRAM SERVICES STUDY ABROAD 696753 SOUTH ASIA 0 0 SEMINAR 193480 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 8300 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 500367 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 3327107 SUB-SAHARAN AFRICA 0 12 PROGRAM SERVICES STUDY ABROAD 364792 SUB-SAHARAN AFRICA 0 0 SEMINAR 447944 0 1 6 102 6 103 6888946 49670466 56559412 SOUTH AMERICA GENERAL SUPPORT 6998 MEDICAL EQUIPMENT FMV 0 1 AWARD EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 1 3000 WIRE TUITION EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 3 15325 WIRE TUITION EUROPE 1 21048 WIRE GIFT NORTH AMERICA 1 1575 CHECK CONTRIBUTION SUB-SAHARAN AFRICA 9 5000 WIRE TUITION SUB-SAHARAN AFRICA 1 1800 WIRE 0 0 1 0 0 1 SCHEDULE F, PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO SEVERAL ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. X X X X X X 1 GRENZEBACH GLIER & ASSOCIATES SEE PART IV FOR ADDRESS SEE PART IV IL 60611 CAMPAIGN CONSULTING 0 0 23175 0 COPPER REEF ENTERPRISES SEE PART IV FOR ADDRESS CARLSBAD CA 92009 CAMPAIGN CONSULTING 0 0 102797 0 PW FEATS SEE PART IV FOR AD BALTIMORE MD 21202 CAMPAIGN CONSULTING 0 0 1001489 0 SULLIVAN & COMPANY SE NEW YORK NY 10014 CAMPAIGN CONSULTING 0 0 144550 0 HOPKINS DESIGN GROUP LTD SEE PART IV FOR ADDRESS DURHAM NC 27705 CAMPAIGN CONSULTING 0 0 6069 0 CMG PARTNERS LLC SEE PART IV FOR ADDRESS SURFSIDE BEACH SC 29575 CAMPAIGN CONSULTING 0 0 24349 0 CREWS CONTROL CORPORATION SEE PART IV FOR ADDRESS FULTON MD 20759 CAMPAIGN CONSULTING 0 0 11029 0 EVENT MEDIA SEE PART IV FOR ADD CHICAGO IL 60647 CAMPAIGN CONSULTING 0 0 81561 0 PHASE FIVE CREATIVE INC SEE PART IV FOR ADDRESS DURHAM NC 27707 CAMPAIGN CONSULTING 0 0 7971 0 STANFORD UNIVERITY SEE PART IV FOR ADDRESS STANFORD CA 94305 CAMPAIGN CONSULTING 0 0 60000 0 1462990 AL AK AR CA CO CT DC FL GA HI IL KS KY LA ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI 2013 CMN 2547067 2542067 5000 352517 2014 RADIOTHON 533399 508982 24417 22508 7 1507421 1043148 464273 230710 13380 109982 7867 781402 4587887 4094197 493690 230710 13380 109982 7867 1156427 1518366 -1024676 SCHEDULE G, PART I, LINE 2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: GRENZEBACH GLIER & ASSOCIATES (I) ADDRESS OF FUNDRAISER: 401 N. MICHIGAN AVE, CHICAGO, IL 60611 (I) NAME OF FUNDRAISER: COOPER REEF ENTERPRISES (I) ADDRESS OF FUNDRAISER: 6965 EL CAMINO REAL, CARLSBAD, CA 92009 (I) NAME OF FUNDRAISER: P.W. FEATS (I) ADDRESS OF FUNDRAISER: 3 E. READ ST., BALTIMORE, MD 21202 (I) NAME OF FUNDRAISER: SULLIVAN & COMPANY (I) ADDRESS OF FUNDRAISER: 450 W. 14TH ST, NEW YORK, NY 10014 (I) NAME OF FUNDRAISER: HOPKINS DESIGN GROUP LTD (I) ADDRESS OF FUNDRAISER: 822 BROAD ST, DURHAM, NC 27705 (I) NAME OF FUNDRAISER: CMG PARTNERS LLC (I) ADDRESS OF FUNDRAISER: 1413 HWY 17 SOUTH, SURFSIDE BEACH, SC 29575 (I) NAME OF FUNDRAISER: CREWS CONTROL CORPORATION (I) ADDRESS OF FUNDRAISER: 8161 MAPLE LAWN BLVD, FULTON, MD 20759 (I) NAME OF FUNDRAISER: EVENT MEDIA INC. (I) ADDRESS OF FUNDRAISER: 2334 W. NORTH AVE, CHICAGO, IL 60647 (I) NAME OF FUNDRAISER: PHASE FIVE CREATIVE INC. (I) ADDRESS OF FUNDRAISER: 3623 CARLISLE DR, DURHAM, NC 27707 (I) NAME OF FUNDRAISER: STANFORD UNIVERSITY (I) ADDRESS OF FUNDRAISER: 450 SERRA MALL, STANFORD, CA 94305 SCHEDULE G, LINE 2(B), COLUMN (V) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMNS (I-V). THESE AGREEMENTS ALLOW FOR CERTAIN REIMBURSEMENTS OF EXPENSES SUCH AS: TRAVEL EXPENSES RELATED TO THE SERVICES PROVIDED. THE REIMBURSEMENT IS ANALYZED AND AUTHORIZED ON A CASE BY CASE BASIS. THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED. 1 501CARBON 731 9TH STREET SUITE 53 DURHAM NC 27705 463128604 501(C)(3) 10000 ACC COMPETITION AWARD ALBERT SCHWEITZER FELLOWSHIP 109 BROOKLINE AVE BOSTON MA 02215 131982786 501(C)(3) 35000 SCHWEITZER FELLOWSHIP PROGRAM AMERICAN ACADEMY OF ALLERGY 555 WELLS ST SUITE 1100 MILWAUKEE WI 53202 396061326 501(C)(3) 16500 GENERAL SUPPORT AMERICAN CANCER SOCIETY 250 WILLIAMS ST NW STE 600 ATLANTA GA 30303 131788491 501(C)(3) 25300 GENERAL SUPPORT AMERICAN DANCE FESTIVAL 715 BROAD STREET DURHAM NC 27705 060932294 501(C)(3) 30000 400 FMV COMPUTER EQUIPMENT GENERAL SUPPORT AMERICAN HEART ASSOCIATION 7272 GREENVILLE AVE DALLAS TX 752319955 135613797 501(C)(3) 6000 GENERAL SUPPORT AMERICAN MATHEMATICAL SOCIETY PO BOX 6248 PROVIDENCE RI 029042213 050264797 501(C)(3) 8645 GENERAL SUPPORT AMERICAN SOCIETY OF NEPHROLOGY 1510 H ST NW SUITE 800 WASHINGTON DC 20005 526078378 501(C)(3) 70000 LECTURESHIP SUPPORT BENEVOLENT HEALTHCARE FOUNDATION (PROJECT CURE) PO BOX 651 EVERGREEN CO 80437 841568566 501(C)(3) 52355 FMV MEDICAL EQUIPMENT GENERAL SUPPORT BETHLEHEM TEMPLE APOSTOLIC FAITH CHURCH 600 N ROXBORO ST DURHAM NC 27704 582526080 501(C)(3) 6310 FMV OFFICE EQUIPMENT GENERAL SUPPORT BLACKWELL STREET MGMT COMPANY 201 W MAIN ST SUITE 100 DURHAM NC 27701 205544239 - 40000 GENERAL SUPPORT CALVARY MINISTRIES OF THE WEST END 1311 MOREHEAD AVENUE DURHAM NC 27707 561858174 501(C)(3) 8000 2600 FMV OFFICE EQUIPMENT GENERAL SUPPORT CAMPAIGN 4 CHANGE PO BOX 3355 DURHAM NC 27702 260096724 501(C)(3) 10450 COMMUNITY SUPPORT CARING HOUSE INC 2625 PICKETT RD DURHAM NC 277055603 561647154 501(C)(3) 5000 GENERAL SUPPORT CHAMBER ORCHESTRA OF THE TRIAN 1213 E FRANKLIN STREET CHAPEL HILL NC 27514 561610461 501(C)(3) 8000 GENERAL SUPPORT CHANGING A GENERATION WITH FACE PO BOX 11587 DURHAM NC 27703 562158704 501(C)(3) 52380 FMV OFFICE EQUIPMENT GENERAL SUPPORT CHILD EVANGELISM FELLOWSHIP INC 44 IONIA AVE S W GRAND RAPIDS MI 49502 561827691 501(C)(3) 103398 FMV OFFICE EQUIPMENT GENERAL SUPPORT CHURCH WORLD SERVICE 212 S DUKE STREET DURHAM NC 27701 134080201 501(C)(3) 10421 FMV OFFICE EQUIPMENT GENERAL SUPPORT CITY OF DURHAM 101 CITY HALL PLAZA DEPT EOEA DURHAM NC 27701 566000225 GOV'T ENTITY 751075 GENERAL SUPPORT COMMUNITY EMPOWERMENT FUND 133 E FRANKLIN ST SUITE 105 CHAPEL HILL NC 27514 270428981 501(C)(3) 5700 GENERAL SUPPORT DUKE CATHOLIC STUDENT CENTER PO BOX 90974 DURHAM NC 27708 561378592 - 225000 GENERAL SUPPORT FEDORA COMMONS INC 28 CHURCH ST SUITE 2 WINCHESTER MA 018902538 260389639 501(C)(3) 20000 GENERAL SUPPORT DURHAM COMMUNITY LAND TRUSTEES 1208 W CHAPEL HILL ST DURHAM NC 27701 561203878 501(C)(3) 21100 GENERAL SUPPORT DURHAM CONGREGATIONS IN ACTION 504 W CHAPEL HILL ST DURHAM NC 27701 237208424 501(C)(3) 9606 GENERAL SUPPORT DURHAM LITERACY CENTER PO BOX 52209 DURHAM NC 27701 561479534 501(C)(3) 7250 GENERAL SUPPORT DURHAM PUBLIC SCHOOLS PO BOX 30002 DURHAM NC 27701 566001021 GOV'T ENTITY 103706 4670 FMV OFFICE EQUIPMENT GENERAL SUPPORT DURHAM RESCUE MISSION PO BOX 11858 DURHAM NC 27703 581482590 501(C)(3) 6849 FMV OFFICE EQUIPMENT GENERAL SUPPORT EMILY KRZYZEWSKI FAMILY LIFE C 904 W CHAPEL HILL ST DURHAM NC 27701 562230469 501(C)(3) 211600 GENERAL SUPPORT FAMILY HEALTH MINISTRIES INC 1921 NORTH POINTE DR SUITE 200 DURHAM NC 27705 562206165 501(C)(3) 13595 GENERAL SUPPORT GENESIS HOME PO BOX 25426 DURHAM NC 27702 561633998 501(C)(3) 6000 COMMUNITY SUPPORT HABITAT FOR HUMANITY OF DURHAM 215 N CHURCH ST DURHAM NC 27701 581674794 501(C)(3) 56675 COMMUNITY SUPPORT HOPESPRINGS VILLAGE PO BOX 4466 CARY NC 27519 461033863 501(C)(3) 22100 GENERAL SUPPORT HOUSE OF REFUGE 947 E MAIN STREET DURHAM NC 27701 561988451 501(C)(3) 9509 FMV OFFICE EQUIPMENT GENERAL SUPPORT HOUSING FOR NEW HOPE 602 HOLLOWAY STREET DURHAM NC 27701 582089068 501(C)(3) 10100 800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT IMG COLLEGE LLC PO BOX 16533 PALATINE IL 60055 273646546 - 33900 GENERAL SUPPORT INTERNET2 PO BOX 7855 ANN ARBOR MI 48107 522060187 501(C)(3) 20000 GENERAL SUPPORT KIDZ NOTES 120 MORRIS ST DURHAM NC 27701 270446845 501(C)(3) 7250 GENERAL SUPPORT KRAMDEN INSTITUTE 4915 PROSPECTUS DRIVE DURHAM NC 27713 743108814 501(C)(3) 120800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT LIGHT OF GOD PRAYER AND HOLINESS CHURCH PO BOX 39753 GREENSBORO NC 27438 451344100 501(C)(3) 5264 FMV OFFICE EQUIPMENT GENERAL SUPPORT LITTLE GREEN PIG THEATRICAL CONCERN 2646 LAWNDALE AVE DURHAM NC 27705 562123719 501(C)(3) 12900 FMV THEATER EQUIPMENT GENERAL SUPPORT LUMBEE LAND DEVELOPMENT 6989 HWY 711 W PEMBROKE NC 28372 562259380 501(C)(3) 8000 FMV COMPUTER EQUIPMENT GENERAL SUPPORT MDC INC 307 W MAIN ST DURHAM NC 277013215 560894222 501(C)(3) 100000 COMMUNITY SUPPORT MEALS ON WHEELS OF DURHAM INC 2522 ROSS ROAD DURHAM NC 27703 561729111 501(C)(3) 8650 COMMUNITY SUPPORT MICHIGAN STATE UNIVERSITY 426 AUDITORIUM RD ROOM 2 EAST LANSING MI 48824 386005984 501(C)(3) 105986 FELLOWSHIP AWARD MODEL CITIZEN 110 E 25TH ST NEW YORK NY 10010 611731644 - 10000 CONSTITUTION OF DIVINITY STUDENT COUNCIL AWARD MUSEUM OF DURHAM HISTORY PO BOX 25411 DURHAM NC 27702 943455685 501(C)(3) 5000 28 FMV OFFICE EQUIPMENT GENERAL SUPPORT NATIONAL HUMANITIES CENTER 7 ALEXANDER DRIVE RTP NC 27709 591735367 501(C)(3) 85000 GENERAL SUPPORT NORTH CAROLINA NEW SCHOOLS PRO 4600 MARRIOTT DRIVE STE 510 RALEIGH NC 27612 204031703 501(C)(3) 50000 GENERAL SUPPORT NORTH CAROLINA STATE UNIV LIBR CAMPUS BOX 7111 RALEIGH NC 27695 566000756 GOV'T ENTITY 15000 GENERAL SUPPORT PARTNERS FOR YOUTH 1309 HALLEY STREET DURHAM NC 27707 352206640 501(C)(3) 17250 28 FMV COMPUTER EQUIPMENT GENERAL SUPPORT PENNSYLVANIA STATE UNIVERSITY 101 HAMMOND BUILDING UNIVERSITY PARK PA 16802 246000376 501(C)(3) 15500 FELLOWSHIP AWARD PHI LAMBDA UPSILON 124 SCIENCE DR DURHAM NC 27708 237264553 501(C)(7) 7500 GENERAL SUPPORT PRESERVATION DURHAM PO BOX 25411 DURHAM NC 27702 237361218 501(C)(3) 11000 GENERAL SUPPORT REBOUND ALTERNATIVES FOR YOUTH 1101 CORNELL STREET DURHAM NC 27701 462746995 501(C)(3) 7250 GENERAL SUPPORT REFRACKT 14308 EASTMAN DR DURHAM NC 27705 463480443 - 10000 DUKE START-UP CHALLENGE AWARD RELIGIOUS COALITION FOR A NON-VIOLENT DURHAM 105 PINECREST ROAD DURHAM NC 27705 201356454 501(C)(3) 1120 4750 FMV COMPUTER EQUIPMENT GENERAL SUPPORT RESEARCH FOUNDATION OF SUNY W 5510 FRANK MELVILLE JR MEM LI STONY BROOK NY 11794 141368361 501(C)(3) 16667 FELLOWSHIP AWARD RESEARCH TRIANGLE ENVIRONMENTAL HLTH COLL 9200 LESLIESHIRE DR RALEIGH NC 276158103 204594346 501(C)(3) 10000 GENERAL SUPPORT SCOTT CARTER FOUNDATION PO BOX 700448 TULSA OK 741700448 731437230 501(C)(3) 10000 GENERAL SUPPORT SENIOR PHARMASSIST INC 406 RIGSBEE AVE STE 201 DURHAM NC 277012186 562084639 501(C)(3) 7500 GENERAL SUPPORT SOCIAL SCIENCE RESEARCH COUNCI 1 PIERREPONT PLAZA 15TH FLOOR NEW YORK NY 11201 131325070 501(C)(3) 50000 GENERAL SUPPORT STOP HUNGER NOW 615 HILLSBOROUGH ST SUITE 200 RALEIGH NC 27603 161541024 501(C)(3) 8125 GENERAL SUPPORT STUDENT U 3116 ACADEMY ROAD DURHAM NC 27707 560538019 501(C)(3) 18125 GENERAL SUPPORT THE CHURCH AT NC 5401 HARDRIAN DR DURHAM NC 27703 560556746 501(C)(3) 8722 FMV OFFICE EQUIPMENT GENERAL SUPPORT TROSA 1820 JAMES STREET DURHAM NC 27707 561861158 501(C)(3) 6000 2520 FMV OFFICE EQUIPMENT GENERAL SUPPORT UC REGENTS 3333 CALIFORNIA ST SUITE 450 SAN FRANSISCO CA 94118 946036493 501(C)(3) 20000 STUDENT FELLOWSHIP AWARD UNITED WAY 5151 MCCRIMM PKWY MORRISVILLE NC 27560 561949103 501(C)(3) 70575 FMV COMPUTER EQUIPMENT GENERAL SUPPORT UNIV OF NORTH CAROLINA WILMING 601 SOUTH COLLEGE RD WILMINGTON NC 28403 561258660 501(C)(3) 15500 FELLOWSHIP AWARD UNIVERSITY OF ARIZONA PO BOX 210036 TUCSON AZ 85721 866050388 501(C)(3) 16100 FELLOWSHIP AWARD UNIVERSITY OF NORTH CAROLINA CB 7075 CHAPEL HILL NC 275997075 566001093 GOV'T ENTITY 610212 GENERAL SUPPORT UNIVERSITY OF NOTRE DAME 830 GRACE HALL - RESEARCH SPON NOTRE DAME IN 465565612 350868188 501(C)(3) 20835 FELLOWSHIP AWARD UNIVERSITY OF PITTSBURGH 3100 CATHERAL OF LEARNING PITTSBURGH PA 15260 250965591 501(C)(3) 68000 FELLOWSHIP AWARD URBAN HOPE 1902 PERRY ST DURHAM NC 27701 846007896 501(C)(3) 100 6000 FMV COMPUTER EQUIPMENT GENERAL SUPPORT URBAN MINISTRIES OF DURHAM PO BOX 249 DURHAM NC 27702 581505891 501(C)(3) 5100 1191 FMV OFFICE EQUIPMENT GENERAL SUPPORT VOYAGER ACADEMY 101 HOCK PARC DURHAM NC 27704 651318240 501(C)(3) 23750 FMV COMPUTER EQUIPMENT GENERAL SUPPORT WALLTOWN CHILDRENS THEATRE 1225 BERKLEY ST DURHAM NC 27705 562214825 501(C)(3) 7300 GENERAL SUPPORT YALE UNIVERSITY 60 COLLEGE STREET NEW HAVEN CT 065208034 060646973 501(C)(3) 6000 BUSSE RESEARCH AWARD MEDICAL MISSIONARIES 19 BUTLER ST IRVINE CA 92612 541990595 501(C)(3) 7500 FMV COMPUTER EQUIPMENT GENERAL SUPPORT WAKE FOREST ELEMENTARY SCHOOL 136 W SYCAMORE AVE WAKE FOREST NC 27587 561137759 GOV'T ENTITY 15250 FMV COMPUTER EQUIPMENT GENERAL SUPPORT 73 6 ALEX COHEN AWARD 2 2100 ALEX VASILOS MEMORIAL AWARD 1 500 APTMAN PRIZE 1 1000 ART HISTORY AWARD 2 1000 BETSY ALDEN SL AWARD 1 250 BIOMEDICAL ENGINEERING AWARD 1 50 BLUE DEVILISH IMAGES PRIZE 6 1026 BRAIN TUMOR CENTER AWARD 1 19522 CENTER FOR THE ENVIRONMENTAL IMPLICATIONS OF NANO TECHNOLOGY 1 100 CHANGEWORKS COMPETITION 1 2000 CHRISTIAN COMMUNITY DEVELOPMENT ASSOCIATION 8 1200 DALE BJ RANDALL AWARD 2 500 DANA MARKS AWARD 1 500 DANCE AWARD 4 1000 DEANS'S RECOGNITION AWARD 4 400 DOCUMENTARY AWARD 1 1500 DUKE ARTS FESTIVAL AWARD 4 1019 DUKE FOREST GIFT 1 850 DUKE HACKER AWARD 6 6083 DUKE HUMAN RIGHTS CENTER AWARD 10 17340 DUKE START UP CHALLENGE 8 4000 DUKE STEAM CHALLENGE 16 17640 ELECTRICAL & COMPUTER ENGINEERING AWARD 6 1913 ENERGY IN EMERGING MARKETS AWARD 5 1500 FOERSTER PRIZE 1 500 FRITZ LONDON PRIZE 3 30000 GRANDOVER AWARD 1 200 GREEN IN 3 PRIZE 4 2000 GREEN ROSSITER AWARD 1 200 HAROLD BRODY AWARD 1 500 HART FELLOWSHIPS 5 12980 HASTAC FELLOWSHIP AWARD 6 1800 HEIM FOUNDATION LEADERSHIP AWARD 2 2000 HOLTON AWARD 3 1500 INNOVATION AWARD 7 5900 INTERNSHIP AWARD 1 1348 JEFFERSON AWARD 1 250 JODY MCAULIFFE AWARD 1 500 JOHN M CLUM AWARD 1 500 JULIE DALE AWARD 13 1568 KARL MENGER PRIZE IN MATHEMATICS 3 763 KENAN MORAL PURPOST AWARD 1 1000 KENNETH J REARDIN AWARD 1 500 KIE LORAL AWARD 2 200 MAHATO MEMORIAL IMAGE CONTEST 2 375 MELOSH AWARD 1 714 MEMS AWARD 4 1626 MIDDLESWORTH AWARD 2 2000 MUSIC AWARD 3 600 PEOPLE'S CHOICE AWARD 2 1300 PHOTO CONTEST PRIZE 3 200 PI TAU SIGMA SCHOLARSHIP AWARD 1 500 POETRY CONTEST 2 100 POST DOC MENTOR AWARD 1 1000 POSTER AWARD 16 2460 RAPID FIRE AWARD 1 100 RAYMOND C GAUGLER AWARD 1 781 READING CONTEST 1 500 RESEARCH AWARD 2 750 REYNOLDS PRICE AWARD 1 500 ROBERTSON SCHOLAR AWARD 2 525 SARA LAVOSKEY MEMORIAL AWARD 2 1000 STUDENT AWARD 115 61512 SUMMER INSTITUTE 22 44000 TALK AWARD 1 100 TEACHING ASSISTANT AWARD 11 2300 VISUAL ARTS AWARD 2 1000 W KOONZ AWARD 2 500 WHITE HOUSE INTERNSHIP PRIZE 1 2000 WRITING AWARD 15 9731 UNDERGRADUATE INSTITUTIONAL AWARDS 159 2101870 GRADUATE STIPENDS 1875 25642563 PRE-DOCTORAL STIPENDS 79 509035 UNDERGRADUATE STIPENDS 1108 2002836 GRADUATE SCHOLARSHIPS 3143 78647265 PREDOCTORAL TUITION SCHOLARSHIPS 1 7165 UNDERGRADUATE SCHOLARSHIPS 3841 138741282 PREDOCTORAL SCHOLARSHIPS 2777 43805471 SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE, A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT. X X X X X X 1 1 X X X X 0 1 0 0 0 0 0 0 0 RICHARD H BRODHEAD TRUSTEE/PRESIDENT 873792 0 0 0 219858 0 131276 0 66205 0 1291131 0 100000 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 453560 0 0 0 17500 0 31276 0 42762 0 545098 0 0 0 VICTOR J DZAU CHANCELLOR HEALTH AFFAIRS 1094130 0 933638 0 12250 0 716303 0 20526 0 2776847 0 0 0 PETER LANGE PROVOST 581841 26000 0 0 17500 0 31276 0 9312 0 639929 26000 0 0 RICHARD RIDDELL VP & UNIVERSITY SECRETARY 308192 0 0 0 17500 0 31276 0 14611 0 371579 0 0 0 TALLMAN TRASK III EXECUTIVE VICE PRESIDENT 603274 0 0 0 17500 0 31276 0 45184 0 697234 0 0 0 NANCY CATHERINE ANDREWS VICE CHAN OF ACADEMIC AFFAIRS 511948 0 213452 0 17500 0 31276 0 52787 0 826963 0 0 0 WILLIAM BOULDING DEAN, FUQUA SCHOOL OF BUSINESS 497265 0 0 0 0 0 31276 0 16164 0 544705 0 0 0 ROBERT M CALIFF MD VICE CHAN FOR CLINICAL RESEARCH 506548 0 7000 0 0 0 31276 0 17143 0 561967 0 0 0 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN, SOM 380609 0 155776 0 17500 0 31276 0 23012 0 608173 0 0 0 ALICE GOULD INVESTMENT MANAGER 324200 0 467562 0 187950 0 111366 0 1931 0 1093009 0 46200 0 ANDERS HALL INVESTMENT MANAGER 201355 0 350480 0 277366 0 31276 0 9667 0 870144 0 124000 0 JOHN J NOONAN ASSOCIATE VP OF FACILITIES 294473 0 1530 0 0 0 31276 0 55020 0 382299 0 0 0 LAURIE L PATTON DEAN, COLLEGE OF A & S 359865 0 0 0 17500 0 31276 0 6579 0 415220 0 0 0 ERIC PETERSON DIRECTOR, DCRI 371579 0 48910 0 17500 0 31276 0 31033 0 500298 0 0 0 JAMES S ROBERTS EXEC VICE-PROVOST FIN & ADMIN 318481 0 14803 0 0 0 31276 0 8337 0 372897 0 0 0 NEAL TRIPLETT CHIEF INVESTMENT OFFICER 576082 0 1026151 0 975200 0 282401 0 16476 0 2876310 0 548950 0 DAVID N CUTCLIFFE COACH 1490783 0 475201 0 26701 0 31276 0 25094 0 2049055 0 0 0 MICHAEL B KASTAN EXEC DIRECTOR, CANCER INSTITUTE 743211 0 160501 0 0 0 31276 0 15418 0 950406 0 0 0 MICHAEL W KRZYZEWSKI COACH 1975621 0 1008000 0 3037356 0 1256125 0 22564 0 7299666 0 2310681 0 JOANNE MCCALLIE COACH 761143 0 156000 0 26125 0 31276 0 23970 0 998514 0 0 0 KEVIN M WHITE VP & DIRECTOR OF ATHLETICS 863504 0 0 0 32596 0 31276 0 22906 0 950282 0 0 0 ALVIN L CRUMBLISS FORMER KEY EMPLOYEE 205097 0 0 0 0 0 25082 0 9782 0 239961 0 0 0 PART I, LINE 1A CHARTER TRAVEL MICHAEL W. KRYZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. RICHARD H. BRODHEAD, TALLMAN TRASK III, PAMELA J. BERNARD, ALICE E. GOULD, AND RICHARD RIDDELL USED FIRST CLASS TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS COMPANIONS HAVE TRAVELED WITH MICHAEL W. KRZYZEWSKI, DAVID CUTCLIFFE, WILLIAM BOULDING, AND KEVIN WHITE. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. TAX INDEMNIFICATION JAMES S. ROBERTS AND MICHAEL B. KASTAN RECEIVED SOME BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. RESIDENCE FOR PERSONAL USE RICHARD H. BRODHEAD WAS PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITY USED BY THE UNIVERSITY'S PRESIDENT. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THIS FACILITY IS USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. CLUB DUES DAVID N. CUTCLIFFE, JAMES SCOTT GIBSON, AND RICHARD RIDDELL WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $548,950, ANDERS W. HALL $124,000, ALICE E. GOULD $46,200, RICHARD BRODHEAD $200,000, MICHAEL W. KRZYZEWSKI $2,985,000. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). VICTOR J. DZAU MD PARTICIPATES IN A PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE, HOWEVER HE DID NOT RECEIVE ANY PAYMENTS DURING THE REPORTING PERIOD. A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GCF3 2005-06-24 216311656 SEE PART VI 0 0 0 B NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GDR6 2006-11-02 397964337 SEE PART VI 0 0 0 C NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GES3 2007-01-09 128278030 SEE PART VI 0 0 0 D NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GFT0 2009-02-25 252585252 SEE PART VI 0 0 0 A 220394024 8738412 69239409 1647641 236035 140532528 2007 1 0 1 1 B 8210000 405128364 8814929 262529247 2807772 130976419 2008 1 1 1 1 C 128278030 127234526 1043504 2004 0 1 1 1 D 253158413 7249152 109568000 2182146 134159115 2013 1 0 0 1 A 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 1 1 1 1 0.00890 0.00000 0.00890 0 0 1 C 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 MORGAN STANLEY & CO 1.800000000000 0 0 1 1 1 1 B 0 0 0 1 0 0 MORGAN STANLEY & CO 1.900000000000 0 0 1 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 0 0 1 0 0 0 0 1 A 1 B 1 C 1 D 1 FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND CUSIP NUMBER OF TAX-EXEMPT BONDS BOND ISSUE (C): FORM 8038 LISTS THE CUSIP NUMBER AS 65819GEQ7, 65819GER5, 65819GES3. ALL CUSIPS HAVE THE SAME MATURITY DATE. BOND ISSUE (A2): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 12/18/2012 AND CUSIPS 65818WBM5, 65818WB68, 65818WBN3, 65818WBT0, 65818WBR4, 65818WBS2, 65818WBQ6, 65818WBU7, 65818WBV5, 65818XAZ5, 65818XAD3, 65818XAY8, 65818XAX0, 65818XAE1, 65818XAB7 AND 658818XAC5 WERE OUTSTANDING AS OF 6/30/2014 UNDER THE NEW ISSUE. FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (A2): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($579,077,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($48,150,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. FORM 990, SCHEDULE K, PART 1(F) PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND $69,038,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED MARCH 17, 2005 TO PROVIDE INTERIM FINANCING FOR CONSTRUCTING AND EQUIPPING FOUR PROJECTS LOCATED ON THE WEST CAMPUS OF DUKE UNIVERSITY (2005A PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2005A PROJECTS. BOND ISSUE (B): TO (1) REFUND THE OUTSTANDING 1996B BONDS ISSUED 7/9/1996, (2) REFUND A PORTION OF THE 2001A BONDS ISSUED 1/8/2002, (3) REFUND $92,699,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 9/18/2006 AND $3,260,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 20 PROJECTS LOCATED ON THE WEST AND EAST CAMPUS OF DUKE UNIVERSITY (2006A PROJECTS), AND (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF COST OF CONSTRUCTING AND EQUIPPING THE 2006A PROJECTS. BOND ISSUE (C): TO REFUND THE OUTSTANDING 2002A BONDS ISSUED 7/30/2002. BOND ISSUE (D): TO (1) REFUND $104,184,000 AGGREGATE PRINCIPAL OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 5/13/2008 AND $5,384,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 28 PROJECTS LOCATED ON WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY (2009B PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2009B PROJECTS. BOND ISSUE (A2): COMMERCIAL PAPER PROGRAM, THE PURPOSES OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 6/16/2011, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY. FORM 990, SCHEDULE K, PART II, LINE 13 TAX-EXEMPT BOND BOND ISSUE (A2): NO YEAR IS PROVIDED AT THIS TIME DUE TO NEW COMMERCIAL PAPER ISSUED IN THE CURRENT YEAR FOR PROJECTS THAT ARE NOT SUBSTANTIALLY COMPLETE. FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2C BOND ISSUE (A) - 6/24/2014 BOND ISSUE (B) - 11/1/2013 BOND ISSUE (C) - 1/1/2014 BOND ISSUE (D) - 2/1/2014 LINE 4D BOND ISSUE (B): ONLY TWO BIDS WERE RECEIVED FROM SIX PROVIDERS SOLICITED. LINE 6 BOND ISSUE (A2): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED. A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65818XBE1 2012-12-18 627227000 SEE PART VI 0 0 0 A 3655000 188328000 48150000 140178000 1 0 0 1 A 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 0 1 0 0 0 1 A 1 1 RECIPIENT SEE PART V 21000 GRANT GENERAL SUPP. 1 RECIPIENT SEE PART V 117593 GRANT GENERAL SUPP. 1 RECIPIENT SEE PART V 15000 GRANT GENERAL SUPP. 1 RECIPIENT SEE PART V 50000 GRANT GENERAL SUPP. 1 RECIPIENT SEE PART V 41800 GRANT GENERAL SUPP. CYNTHIA BRODHEAD SEE PART V 156156 SEE PART V 0 LORI LEACHMAN SEE PART V 120840 SEE PART V 0 DEBORAH JAKUBS SEE PART V 281350 SEE PART V 0 BERNARD MATHEY-PREVOT SEE PART V 155632 SEE PART V 0 BRIGHT HORIZONS SEE PART V 306724 SEE PART V 0 PEPSI CO SEE PART V 226170 SEE PART V 0 SCHNEIDER ELECTRIC SEE PART V 638208 SEE PART V 0 MADISON SQUARE GARDEN INC SEE PART V 102802 SEE PART V 0 SCH L, PART III, GRANTS OR ASSISTANCE BENEFITING INTERESTED PERSONS: (A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $21,000(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $117,593(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $15,000(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $50,000(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $41,800(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF INTERESTED PERSON: CYNTHIA BRODHEAD(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: CYNTHIA BRODHEAD IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $156,156(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: LORI LEACHMAN(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: LORI LEACHMAN IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $120,840(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: DEBORAH JAKUBS(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DEBORAH JAKUBS IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $281,350(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: BERNARD MATHEY-PREVOT(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: BERNARD MATHEY-PREVOT IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $155,632(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: BRIGHT HORIZONS(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: BRIGHT HORIZONS DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $306,724(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: PEPSI CO.(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: PEPSI CO. DIRECTOR IS A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $226,170(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: SCHNEIDER ELECTRIC(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: SCHNEIDER ELECTRIC DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $638,208(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: MADISON SQUARE GARDEN, INC.(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: MADISON SQUARE GARDEN, INC. DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $102,802(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO X 37 3648264 VARIOUS X 143404 VARIOUS X 3247 VARIOUS X 1191 44145028 MARKET QUOTE X MISCELLANEOUS 161 378972 VARIOUS X EVENT TICKETS 2028 309444 FMV/FACE VALUE X DOCUMENTS 40 273422 VARIOUS X EQUIPMENT 18 147570 VARIOUS 17 0 1 1 PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. FORM 990, PART I, LINE 6 TOTAL NUMBER OF VOLUNTEERS DUKE UNIVERSITY HAS MANY VOLUNTEERS THAT FACILITATE MANY OF ITS ACTIVITIES. FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION "JAMES B. DUKE'S FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION;' AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO." FORM 990, PART V, LINE 3B THE ORGANIZATION DID NOT HAVE UNRELATED BUSINESS GROSS INCOME OF $1,000 OR MORE DURING THE FISCAL YEAR ENDED JUNE 30, 2014. THEREFORE, FORM 990-T IS NOT REQUIRED FOR THE FISCAL YEAR ENDED JUNE 30, 2014. FORM 990, PART VI, SECTION A, LINE 2 OFFICERS VICTOR J. DZAU, MD AND PAMELA J. BERNARD ARE BOTH DIRECTORS OF DURHAM CASUALTY COMPANY, LTD. OFFICER VICTOR J. DZAU, MD AND KEY EMPLOYEE JAMES SCOTT GIBSON ARE BOTH DIRECTORS OF DUKE MEDICAL STRATEGIES, INC. TRUSTEES JANET HILL AND DAVID M. RUBENSTEIN ARE BOTH DIRECTORS OF THE CARLYLE GROUP. FORM 990, PART VI, SECTION A, LINE 7A OF THE 36 ELECTED TRUSTEES FOR DUKE UNIVERSITY, TWELVE ARE ELECTED BY THE NORTH CAROLINA CONFERENCE OF THE UNITED METHODIST CHURCH AND ANOTHER TWELVE ARE ELECTED BY THE WESTERN NORTH CAROLINIA CONFERENCE OF THE UNITED METHODIST CHURCH. FORM 990, PART VI, SECTION B, LINE 11 DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT COMMITTEE OF THE UNIVERSITY TRUSTEES IN ADVANCE OF THE MEETING. AT THE MEETING, THE DUKE UNIVERSITY TAX DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, REVIEWS THE FORM 990 WITH THE COMMITTEE. THE COMMITTEE IS OFFERED AN OPPORTUNITY TO ASK QUESTIONS BOTH AT THE MEETING AND ANYTIME THEREAFTER BY CONTACTING THE TAX DIRECTOR OR DUKE UNIVERSITY'S TAX ATTORNEY, WHO IS ALSO INVOLVED WITH THE PREPARATION OF DUKE UNIVERSITY'S FORM 990. SUBSQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER. FORM 990, PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY. FORM 990, PART VI, SECTION B, LINE 15 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING. FORM 990, PART VI, SECTION C, LINE 18 DUKE UNIVERSITY'S FORM 990 IS AVAILABLE TO THE PUBLIC ON WWW.GUIDESTAR.ORG. GUIDESTAR INDEPENDENTLY POSTS TAX-EXEMPT ORGANIZATION'S FORM 990'S ON THEIR WEBSITE, OBTAINED FROM THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS ORGANIZING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS.PDF FORM 990, PART XI, LINE 9: CHANGES RELATED TO NONCONTROLLING INT 274,057,577. CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS 104,544,245. CHANGES IN COMPENSATED ABSENCES -11,096,853. TRANSFER FROM DUHS 63,557,344. NONPERIODIC CHANGE IN BENEFIT PLANS -792,694. ALLOWANCE INCREASE ON PLEDGES RECEIVABLE -6,492,039. OTHER CHANGES -8,367,690. DUKE UK TRUST LIMITED ALDER CASTLE 10 NOBLE LONDON UK EC2V 7QJ 980555714 DEVELOPMENT UK 541452 58233 DUKE UNIVERSITY LTPPMCO LLC 280 S MANGUM STREET STE 210 DURHAM NC 27701 INVESTMENTS NC 9971163 341055519 DUKE UNIVERSITY AMER ASSOC FOR GIFTED CHILDREN - 56-1686219 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 ANGIER B DUKE MEMORIAL INC 100 NORTH TRYON STREET CHARLOTTE NC 28202 136113895 SCHOLARSHIPS NC 501(C)(3) 11 TYPE III-O DUKE ENDOWMENT 0 ASSOCIATED HEALTH SVCS INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 561845329 HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 ATLANTIC COAST CONFERENCE PO DRAWER ACC GREENSBORO NC 27417 560599082 ATHLETIC NC 501(C)(3) 11 TYPE 1 N/A 0 C A CANNON CHAR TRUST NO 3 1525 W WT HARRIS BLVD D1114 CHARLOTTE NC 28288 581360259 SUPPORT NC 501(C)(3) 11 TYPE III-O N/A 0 DAVID H MURDOCK RESEARCH INSTITUTE 150 RESEARCH CAMPUS DR KANNAPOLIS NC 28081 208730759 RESEARCH NC 501(C)(3) 11 TYPE 1 N/A 0 DU SPECIAL VENTURES FUND INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 561465177 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE ALUMNI ASSOCIATION INC 614 CHAPEL DRIVE DURHAM NC 27708 561594088 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE CORPORATE EDUCATION 310 BLACKWELL ST DURHAM NC 27701 421672476 EDUCATION NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE GIFT PROPERTIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211078 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE GLOBAL INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 611588319 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE HOSPITAL AUXILIARY INC PO BOX 2895 DURHAM NC 27710 561825604 SUPPORT NC 501(C)(3) 11 TYPE III-O N/A 0 DUKE MEDICINE GLOBAL SUPP CORP- 61-1593721 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE SCHOLARLY EXHIBITS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561701245 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV AFFILIATED PHYSICIANS 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 561902501 HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE UNIV PHILANTHROPIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211099 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV SCH OF MED RESEARCH FDN 56-2247203 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIVERSITY HEALTH SYSTEM INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 562070036 HEALTHCARE NC 501(C)(3) LINE 3 DUKE UNIVERSITY 1 DUMAC INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 900754895 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DURHAM ASSET MGMT COMPANY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561757238 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DURHAM REALTY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917936 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 GOTHIC CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 561776668 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 GOTHIC HSP CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 271325761 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 HIGH POINT REALTY ASSOCIATES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917939 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 IPIHD INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 320358709 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 KATHRINE R EVERETT CHARITABLE PO BOX 3001 DURHAM NC 27715 566473809 SUPPORT NC 501(C)(3) 11 TYPE 1 N/A 0 NANALINE H DUKE TRUST 100 NORTH TRYON STREET CHARLOTTE NC 28202 237270511 MED. SUPPORT NY 501(C)(3) 11 TYPE III-O DUKE ENDOWMENT 0 RESEARCH TRIANGLE INSTITUTE PO BOX 12194 RTP NC 27709 560686338 RESEARCH NC 501(C)(3) 11 TYPE III-O N/A 0 RUTH K BROAD BIOMED RES FDN 324 BLACKWELL STREET STE 850 DURHAM NC 27701 650045051 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 SMITHSHAVER LAW SCHOOL SCHOLARSHIP FUND ONE WEST FOURTH ST STE 1200 WINSTONSALEM NC 27101 202749954 SCHOLARSHIPS NC 501(C)(3) 11 TYPE 1 N/A 0 THE CTR FOR DOCUMENTARY STUDIES 1317 PETTIGREW STREET DURHAM NC 27705 561655039 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 THE LORD FDN OF NORTH CAROLINA 305 TEER BLDG DURHAM NC 27708 561415423 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE INTEGRATED NETWORK INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 463129771 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE QUALITY NETWORK INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 461340679 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE JANJUN SERVICES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 471150667 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE JULDEC SERVICES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27101 471143245 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE ALLMO SERVICES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27101 471133466 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIVERSITY FEDERAL CREDIT UNION 2200 WEST MAIN ST STE L100 DURHAM NC 27705 561632379 BANKING NC 501(C)(1) DUKE UNIVERSITY HEALTH SYSTEM INC 1 AVENUE BLUE TC FD 27-4011571 PARK AVENUE NEW YORK NY 10022 INVESTMENTS DE N/A N/A 0 0 BLACKWELL PTR LLC 20-8075455 280 S MANGUM STREET STE 210 DURHAM NC 27701 INVESTMENTS GA N/A N/A 0 0 CANYON BLUE INV FD 27-0186996 AVE OF STARS LA CA 90067 INVESTMENTS DE N/A N/A 0 0 CD FUND LP - 27-0130641 MCKINNEY AVE DALLAS TX 75201 INVESTMENTS TX N/A N/A 0 0 LIQUID REALTY PTR 05-0537755 LINDA MESA DANVILLE CA 94526 INVESTMENTS DE N/A N/A 0 0 LYRICAL BLUE RL PT 27-2994514 32 N DEAN ST ENGLEWOOD NJ 07631 INVESTMENTS DE N/A N/A 0 0 LYRICAL-BLUE RGNT 45-3626577 32 N DEAN ST ENGLEWOOD NJ 07631 INVESTMENTS DE N/A N/A 0 0 OCTAVIAN BLUE FD 27-2408711 5TH AVENUE NY NY 10151 INVESTMENTS DE N/A N/A 0 0 SBER LUCKY STRIKE 20-3891303 310 BLACKWELL ST DURHAM NC 27701 REAL ESTATE NC N/A N/A 0 0 TAIYO BLUE FUND LP 80-0613746 5300 CARILLON POINT KIRKLAND WA 98033 INVESTMENTS DE N/A N/A 0 0 MANGUM LLC - 46-1275587 280 S MANGUM STREET STE 210 DURHAM NC 27701 INVESTMENTS DE N/A N/A 0 0 TVV CAPITAL III-A 90-0909850 4TH AVE NASHVILLE TN 37219 INVESTMENTS DE N/A N/A 0 0 MANGUM II LLC - 46-5135858 280 S MANGUM STREET STE 210 DURHAM NC 27701 INVESTMENTS NC N/A N/A 0 0 COLCHESTER ALPHA FUND (BERMUDA) LTD 59-62 TOWNSEND ST 2 DUBLIN EI INVESTMENTS BD N/A C 0 COLCHESTER BETA THREE FUND LTD CENTURY HOUSE 16 PAR-LA VILLE RD HAMILTON BD HM HX INVESTMENTS BD N/A C 0 DUKE CE LS INC 310 BLACKWELL STREET DURHAM NC 27701 202004016 REAL ESTATE NC N/A C 0 DUKE CORP EDU INDIA PRIVATE ACADEMIC BLOCK NEW CAMPUS VASTRAPUR AHMEDABAD IN 380015 421672476 CONSULTING IN N/A C 0 DUKE CORPORATE EDUCATION LIM 165 FLEET STREET LONDON UK EC4A 2DY 421672476 EDU CONSULT UK N/A C 0 DUKE CORPORATE EDUCATION RSA GROUND FLOOR TWICKEHNHAM BLDG BRYANSTON JOHANNESBURG SF 02021 421672476 CONSULTING SF N/A C 0 DUKE GLOBAL CONSULTING (KUNSHAN) 1666 WEI CHEN NAN RD KUNSHAN PR KUNSHAN CH 215300 CONSULTING CH N/A C 0 DUKE MEDICAL STRATEGIES INC 2200 WEST MAIN STREET STE 920 DURHAM NC 27705 561993799 HEALTHCARE NC DUKE UNIVERSITY C 14219 544283 1.00000 1 DUKE MEDICINE ASIA PTE LTD 5 SHENTON WAY 07-00 UIC BLD SING SN 0688 MEDICAL RESEARCH SN N/A C 0 DUKE UNIV QUADRANGLE FUND PO BOX 185 PITTSBURGH PA 152300185 566218971 INVESTMENTS PA N/A T 0 DUKE UNIVERSITY TOWER FUND PO BOX 185 PITTSBURGH PA 152300185 566147362 INVESTMENTS PA N/A T 0 DURHAM CASUALTY COMPANY LTD AON HOUSE 30 WOODBOURNE AVE PEMBROKE BD HM 08 980113277 INSURANCE BD N/A C 0 DUSVF EUROPEAN LP 7 CAVENDISH SQUARE LONDON UK W1G 0PE 980346042 INVESTMENTS UK N/A C 0 GOTHIC INTERNATIONAL LTD 113 S CHURCH STREET QUEENSGATE HOU GRAND CAYMAN CJ KY1-1108 INVESTMENTS CJ N/A C 0 INDOCHINA LAND HOLDINGS III 11F CHINA HONG KONG TOWER 8 HENNE HONG KONG HK INVESTMENTS CJ N/A C 0 JOHN & PATRICIA KOSKINEN CLUT PO BOX 185 PITTSBURGH PA 152300185 566532340 INVESTMENTS PA N/A T 0 MARATHON BLUE CAYMAN FUND 89 NEXUS WAY PO BOX 31106 GRAND CAYMAN CJ KY1-1205 INVESTMENTS CJ N/A C 0 GHI HOLDINGS MAURITIUS 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 GHI ERP LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 GHI HSP LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 GHI JBD LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 GHI LTP LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 QUORUM FUND LIMITED PO BOX 1043 GEORGE TOWN GRAND CAYMAN CJ KY1-1102 INVESTMENTS CJ N/A C 0 DUKE CE (SEA) PRIVATE LIMITED 1 RAFFLES PLACE TOWER 2 SINGAPORE SN 048616 SUPPORT SN N/A C 0 MCP PRIVATE CAPITAL (FEEDER) FUND I LP 6 RUE GABRIEL LIPPMAN LUXEMBOURG LU L-5365 INVESTMENTS LU N/A C 0 DUKE INDIA SERVICES PRIVATE LIMITED 302 PRIDE ELITE 10 MUSEUM ROAD BANGALORE KARNATAKA IN 560001 MEDICAL RESEARCH IN N/A C 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 THE RUTH K BROAD BIOMEDICAL RESEARCH FOUNDATION C 448153 FMV THE LORD FOUNDATION OF NORTH CAROLINA C 1131524 FMV THE CENTER FOR DOCUMENTARY STUDIES B 897973 FMV HIGH POINT REALTY ASSOCIATES INC C 2712000 FMV GOTHIC CORPORATION S 1072397457 FMV GOTHIC CORPORATION R 697476225 FMV DURHAM REALTY INC C 1402566 FMV DURHAM ASSET MANAGEMENT COMPANY INC C 2297512 FMV DURHAM ASSET MANAGEMENT COMPANY INC B 1215185 FMV DUKE UNIVERSITY SPECIAL VENTURES FUND INC S 1287714 FMV DUKE UNIVERSITY SPECIAL VENTURES FUND INC R 81367 FMV DUKE UNIVERSITY PHILANTHROPIES INC C 970664 FMV DUKE UNIVERSITY HEALTH SYSTEM INC R 69045327 FMV DUKE SCHOLARLY EXHIBITS INC B 77000 FMV DUKE GIFT PROPERTIES INC C 2282842 FMV DUKE GIFT PROPERTIES INC B 200000 FMV DUKE ALUMNI ASSOCIATION INC B 70000 FMV DUKE GLOBAL INC C 4700712 FMV DUKE GLOBAL INC B 3789262 FMV