2015-05-12T13:01:08-05:00 2014-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2013-07-01 251035663 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT DUQU 4123966592 600 FORBES AVENUE PITTSBURGH PA 152820226 DAVID R BEAUPRE VP FOR MGMT & BUSINESS 4123966592 2015-05-11 1 SUSAN M KIRSCH P00341397 4122613644 2013 2016-03-07 17:11:31Z CHARLES J DOUGHERTYPHD 600 FORBES AVENUE PITTSBURGH PA 152820226 505214761 0 X WWW.DUQ.EDU X 1878 PA DUQUESNE UNIVERSITY OF THE HOLY SPIRIT IS A CATHOLIC UNIVERSITY, FOUNDED BY MEMBERS OF THE CONGREGATION OF THE HOLY SPIRIT, THE SPIRITANS, AND SUSTAINED THROUGH A PARTNERSHIP OF LAITY AND RELIGIOUS. DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, THE COMMUNITY, THE NATION AND THE WORLD. 31 27 5011 29 855578 0 20067038 25068847 322510511 340431806 13658309 9725384 1586667 1333673 357822525 376559710 85919598 94401359 0 0 161018871 165491739 0 0 2901143 90424947 92575066 337363416 352468164 20459109 24091546 649983929 681045307 271572996 245530111 378410933 435515196 X DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, COMMUNITY, NATION AND THE WORLD. 0 0 206235381 94401359 293626610 EDUCATIONAL PROGRAMS, GENERAL/OTHER: INSTRUCTION - SCHOOL OF LIBERAL ARTS, BUSINESS ADMINISTRATION, EDUCATION, MUSIC, HEALTH SCIENCES, PHARMACY, LAW, NATURAL AND ENVIRONMENTAL SCIENCES, NURSING (9,984 STUDENTS) 47665287 45759229 AUXILIARY/STUDENT SERVICES:STUDENT SERVICES PROGRAMS, STUDENT SERVICES, INSTITUTIONAL SUPPORT, AND AUXILIARY ENTERPRISES (12,872UNIVERSITY COMMUNITY) AND ROOM & BOARD, FOOD SERVICE, INTERCOLLEGIATE ATHLETICS, TAMBURITZANS, PARKING EVENTS, CONFERENCES, RED RING RESTAURANT. 41638541 669859 EDUCATIONAL DELIVERY, ACADEMIC SUPPORT - LIBRARY, DEANS OFFICE, PROVOST OFFICES, CATALOGS, COMMENCEMENT, CLERGY RESIDENCE (10,977) STUDENTS AND FACULTY) 8070947 91823 MEDIA AND COMMUNICATION PROGRAMS, GENERAL/OTHER: PUBLIC SERVICE, PUBLIC RESEARCH PROGRAMS, 2,675 PHARMACY CUSTOMERS, 40,167 PRESCRIPTIONS DISPENSED, LAW LIBRARY PROGRAMS 7585833 4708 SCIENCE & TECHNOLOGY RESEARCH, GENERAL/OTHER: RESEARCH -DHEW, NSF AND OTHER RESTRICTED FUNDS FOR RESEARCH (113 FUNDING AGENCIES) 15656780 96531 311195989 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 1 1 0 1 1 1 0 1 0 1 0 0 0 1 1 1 0 0 0 0 0 0 1 0 0 1 1 0 0 0 0 1 0 0 0 1 14208 0 1 5011 1 1 1 1 IT CJ 0 0 0 1 1 0 0 0 0 X 31 27 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 PA MN OR KY OH NH CO MA ME X JAMES A TORTELLA 4123966592 600 FORBES AVE ROOM 205 PITTSBURGH PA 15282 ARNOLD E BURCHIANTI II BOARD MEMBER 2.00 X 0 0 0 ESTHER L BUSH BOARD MEMBER 2.00 X 0 0 0 SAMUEL A COSTANZO BOARD MEMBER 2.00 X 0 0 0 SISTER MARY DACEY SSJ BOARD MEMBER 2.00 X 0 0 0 VREV LAWRENCE ADINARDOMCHA JCL BOARD MEMBER 2.00 X 0 0 0 VREVJEFFREY T DUAIME CSSP CORPORATE/BOARD MEMBER 2.00 X 0 0 0 RICHARD J GRATTAN BOARD MEMBER 2.00 X 0 0 0 THOMAS B GREALISH BOARD MEMBER 2.00 X 0 0 0 MARY R GREALY ESQ BOARD MEMBER 2.00 X 0 0 0 TERRENCE S JACOBS BOARD MEMBER 2.00 X 0 0 0 MARY ADELE KROLIKOWSKI BOARD MEMBER 2.00 X 0 0 0 SCOTT M LAMMIE BOARD MEMBER 2.00 X 0 0 0 JOHN R MCGINLEY JR BOARD MEMBER 2.00 X 0 0 0 JOHN W MCGONIGLE BOARD MEMBER 2.00 X 0 0 0 JAMES F MCGUIRK II BOARD MEMBER 2.00 X 0 0 0 HELENE L NORBUT BOARD MEMBER 2.00 X 0 0 0 IRENE M QUALTERS BOARD MEMBER 2.00 X 0 0 0 REV JOHN A SAWICKI CSSP CORPORATE/BOARD MEMBER 12.00 X 0 0 6102 THADDEUS J SENKO BOARD MEMBER 2.00 X 0 0 0 REV DANIEL WALSH CSSP CORPORATE/BOARD MEMBER 2.00 X 0 0 6086 REV FREDDY WASHINGTON CSSP BOARD MEMBER 2.00 X 0 0 0 PATRICIA D YODER BOARD MEMBER 2.00 X 0 0 0 MARIE MILIE JONES CHAIRMAN OF THE BOARD 2.00 X X 0 0 0 ANTHONY J CARFANG VICE CHAIRMAN OF BOARD 2.00 X X 0 0 0 WILLIAM J LYONS VICE CHAIRMAN OF BOARD 2.00 X X 0 0 0 CHARLES J DOUGHERTY PRESIDENT 55.00 X X 634288 0 139386 REV JAMES OKOYE CSSP CORPORATE/BOARD MEMBER 2.00 X 0 0 6110 GRETCHEN G SMARTO BOARD MEMBER 2.00 X 0 0 0 BRIAN L SULLIVAN BOARD MEMBER 2.00 X 0 0 0 THOMAS A TRIBONE BOARD MEMBER 2.00 X 0 0 0 REV RAYMOND FRENCH CSSP BOARD MEMBER, V.P. MISSION 55.00 X X 0 0 6110 LINDA S DRAGO ESQ SECRETARY/GEN.COUNSEL 55.00 X 184251 0 23691 REV SEAN HOGAN CSSP EXEC. VP STUDENT AFFAIRS 55.00 X 0 0 6110 JOHN P PLANTE VP FOR UNIVERSITY ADVANCEMENT 55.00 X 238278 0 97611 TIMOTHY R AUSTIN PROVOST/VP ACADEMIC AFFAIRS 55.00 X 113484 0 9387 DAVID R BEAUPRE VP MANAGEMENT/BUSINESS 55.00 X 120714 0 22816 JDOUGLAS BRICKER DEAN, SCHOOL OF PHARMACY 55.00 X 230990 0 32517 GREGORY H FRAZER DEAN, SCHOOL OF HEALTH SCI 55.00 X 178578 0 59793 JAMES C SWINDAL DEAN, SCHOOL OF LIBERAL ARTS 55.00 X 165209 0 40091 ALEEM GANGJEE PROFESSOR - SCHOOL OF PHAR 55.00 X 362628 0 31310 JOHN E MURRAY CHANCELLOR 35.00 X 415615 0 33721 JAMES A FERRY MEN BASKETBALL COACH 55.00 X 533904 0 44183 JOHN M LANASA ASSOCIATE PROFESSOR, SCHOOL OF BUSINESS 55.00 X 274136 0 11306 RAYMOND SEKULA PROFESSOR LAW SCHOOL 55.00 X 325541 0 15339 DAVID P GROUSOSKYFORMER OFFICER FORMER INTERIM VP MGMT/BUSINESS 55.00 X 210429 0 30456 RALPH L PEARSON FORMER OFFICER PROFESSOR MCANULTY COLLEGE AND GRAD SCHOOL LIB AR 55.00 X 270974 0 51134 ALAN R MICIAK-FORMER KEY EMPLOYEE PROFESSOR, SCHOOL OF BUSINESS 55.00 X 206221 0 31997 KENNETH GGORMLEY-FORMER KEY EMPLOYE DEAN, SCHOOL OF LAW 55.00 X 227599 0 105448 DAVID W SEYBERT-FORMER KEY EMPLOYEE PROFESSOR,SCHOOL OF NAT/ENV SC 55.00 X 140089 0 69812 4832928 0 880516 226 1 1 0 EAT'N PARK HOSPITALITY GROUP INC 285 EAST WATERFRONT DR PITTSBURGH PA 15230 FOOD SERVICE 11781458 ARAMARK CORPORATION 1101 MARKET ST PHILADELPHIA PA 19107 FOOD SERVICE 8080607 TEDCO CONSTRUCTION CORPORATION 1 TEDCO PLACE CARNEGIE PA 15106 CONSTRUCTION 5093447 RYCON CONSTRUCTION INC 2525 LIBERTY AVE PITTSBURGH PA 15222 CONSTRUCTION 1799967 MBM CONTRACTING INC 4999 OLD CLAIRTON RD PITTSBURGH PA 15236 CONSTRUCTION 1471236 63 375758 9853151 14839938 756715 25068847 EDUCATIONAL PROGRAMS 611710 293626610 293626610 STUDENT SRVC PROGRAMS 611710 46038806 45759229 279577 ACADEMIC SUPPORT 611710 669859 669859 PUBLIC SERVICE 611710 91823 91823 SCIENCE&TECHN.RESEARCH 541700 4708 4708 340431806 5837177 11883 5825294 411553 411553 382071 95902 286169 286169 35779 250390 128530819 22800 124665412 0 3865407 22800 3888207 3888207 353148 375758 402332 -49184 -49184 4176540 3491405 685135 528339 156796 376559710 340152229 855578 10483056 93818289 93818289 583070 583070 2817614 1229656 1027073 560885 465908 313469 152439 125291739 108350783 15734959 1205997 7201051 6113450 1046529 41072 21204734 18129653 2759839 315242 8510693 7020421 1395148 95124 1056300 15574 1040726 229931 229931 79479 79479 163593 163593 13814533 12880288 921101 13144 3201610 1989576 1102848 109186 11396473 9026300 2167369 202804 3885021 1017920 2840416 26685 8916007 7559786 1297234 58987 7159007 6870787 159992 128228 382390 348212 25748 8430 7585900 6384715 1198345 2840 20681262 17411656 3227818 41788 1214861 65285 1149576 OTHER/GENERAL 12128048 11604127 463019 60902 MEMBERSHIPS 680651 462972 187850 29829 352468164 311195989 38371032 2901143 40642834 36430686 5094961 4292655 19470467 20328796 945306 975931 5135977 4324344 515242811 212741695 294956396 302501116 230531831 280668052 15286520 25112614 37919637 6411113 649983929 681045307 37187086 36145803 13260414 15074943 199681404 167311627 21444092 26997738 271572996 245530111 X 247901809 282578316 47790919 61598036 82718205 91338844 378410933 435515196 649983929 681045307 X 24091546 32963532 49185 X X 0 1 X 1 1 1 X 22708067 27063187 26249378 20067038 25068847 121156517 22708067 27063187 26249378 20067038 25068847 121156517 1842469 119314048 3930185 4883235 5193238 6479227 6307007 26792892 147949409 1554230140 0.80650 0.79760 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 79479 79479 352388685 352468164 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 54370 48879 90092 79479 272820 250000 250000 250000 250000 1000000 1500000 205803386 27252473 36066530 2838845 4483402 261800142 180197963 8531619 23579765 2672284 3833677 205803386 175675451 14040647 -2047769 2839168 4631198 180197963 142397816 5411994 32729426 2848519 2015266 175675451 122584269 7144039 17182748 2615954 1897286 142397816 0.45630 0.34340 0.20030 0 0 19723277 19723277 393556852 151564916 241991937 69351920 50912286 18439634 32610762 10264493 22346268 302501116 EQUIPMENT LEASE - MISCELLANEOUS 1417121 CONDITIONAL ASSET RETIREMENT OBLIGATION 5604695 FEDERAL LOAN FUNDS 12697793 AGENCY FUNDS 770377 ANNUITIES PAYABLE 501113 LIABILITIES ASSOCIATED WITH INVESTMENTS 6006639 26997738 X 318987001 32963532 447981 33411513 285575488 90984222 90984222 376559710 261882739 447981 3367953 3815934 258066805 94401359 94401359 352468164 PART V, LINE 4: THE INTENDED USES OF DUQUESNE UNIVERSITY OF THE HOLY SPIRIT ENDOWMENT FUNDS ARE TO PRIMARILY PROVIDE FUNDS FOR STUDENT SCHOLARSHIPS, FELLOWSHIPS, LECTURESHIPS, FACULTY CHAIRS, AND RESOURCE FUNDS. ENDOWMENT FUNDS ALSO SUPPORT LIBRARY, ACADEMIC SUPPORT, REPAIR AND REPLACEMENT FACILITIES, AND GENERAL OPERATIONS. ALL USES ARE IN ACCORDANCE WITH APPLICABLE DONOR RESTRICTIONS. PART X, LINE 2: THE UNIVERSITY ADOPTED GUIDANCE FOR UNCERTAINTY IN INCOME TAXES, WHICH PROVIDES CRITERIA FOR THE RECOGNITION AND MEASUREMENT OF UNCERTAIN TAX POSITIONS. THIS GUIDANCE REQUIRES THAT AN UNCERTAIN TAX POSITION SHOULD BE RECOGNIZED ONLY IF IT IS "MORE LIKELY THAN NOT" THAT THE POSITION IS SUSTAINABLE BASED ON ITS TECHNICAL MERITS. RECOGNIZABLE TAX POSITIONS SHOULD THEN BE MEASURED TO DETERMINE THE AMOUNT OF BENEFIT RECOGNIZED IN THE FINANCIAL STATEMENTS. THE UNIVERSITY FILES U.S. FEDERAL, STATE, AND LOCAL INFORMATION RETURNS, AND NO RETURNS ARE CURRENTLY UNDER EXAMINATION. THE STATUTE OF LIMITATIONS ON THE UNIVERSITY'S U.S. FEDERAL TAX RETURNS REMAINS OPEN FOR THE YEARS ENDED JUNE 30, 2011, THROUGH THE PRESENT. THE UNIVERSITY CONTINUES TO EVALUATE ITS TAX POSITIONS PURSUANT TO THE PRINCIPLES OF SUCH GUIDANCE AND HAS DETERMINED THAT THERE IS NO MATERIAL IMPACT ON THE UNIVERSITY'S FINANCIAL STATEMENTS. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 94,401,359. SPECIAL EVENT ACTIVITIES -49,184. COST OF GOODS SOLD -3,491,405. GAIN ON SALE OF ASSETS 22,800. INVESTMENT INCOME RE-CLASS 152,769. COMPUTER STORE CHARGEBACKS 43,785. CONFERENCE RENTAL EXPENSE RECLASSED AGAINST REVENUE -95,902. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 3,491,405. GAIN ON SALES OF ASSETS -22,800. COMPUTER STORE CHARGEBACKS -43,785. ROUNDING RECLASS INVESTMENT MANAGEMENT FEES -152,769. RECLASS CONFERENCE EXPENSES AGAINST INCOME 95,902. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 94,401,359. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 DUQUESNE UNIVERSITY'S NONDISCRIMINATORY POLICY IS PUBLISHED IN CATALOGS, REGISTRATION PUBLICATIONS, APPLICATIONS FOR ADMISSION AND FINANCIAL AID. THE POLICY IS ALSO AVAILABLE ON MULTIPLE AREAS OF THE UNIVERSITY'S WEB SITE AS WELL AS PUBLISHED IN THE PITTSBURGH POST GAZETTE ANNUALLY. THE POLICY IS ALSO PUBLISHED IN HUMAN RESOURCE / EMPLOYMENT PUBLICATIONS AND DOCUMENTS, THE PREAMBLE OF THE EXECUTIVE RESOLUTIONS OF THE BOARD AND IN ADMINISTRATIVE POLICIES. SCHEDULE E, PART I, LINE 6 IN THE COURSE OF OUR BUSINESS AS A UNIVERSITY, THE INSTITUTION RECEIVES FEDERAL GRANT FUNDS FOR ADMINISTRATIVE ALLOWANCES FOR FEDERAL SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS,PELL GRANTS,FEDERAL COLLEGE WORK STUDY GRANTS,AND STATE INSTITUTIONAL ASSISTANCE GRANTS. 1 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 18346 CENTRAL AMERICA & CARIBBEAN 0 0 INVESTMENTS 32439981 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 60980 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 196094 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES MISSIONARY 442 EUROPE 2 19 PROGRAM SERVICES STUDY ABROAD 2721585 EUROPE 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 583071 EUROPE 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 369172 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 19517 NORTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 179080 SOUTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 7704 SOUTH ASIA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 2089 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 10249 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 190 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 45448 MIDDLE EAST AND NORTH AFRICA 0 0 INVESTMENTS 22920 NORTH AMERICA 0 0 PROGRAM SERVICES RECRUITMENT 4015 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 91084 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RECRUITMENT 8393 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RECRUITMENT 6341 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 8845 EUROPE 0 0 PROGRAM SERVICES RECRUITMENT 19525 EUROPE 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 19744 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RECRUITMENT 375 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 75723 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES MISSIONARY 77 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES RECRUITMENT 2937 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 2919 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 43670 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 954 SOUTH AMERICA 0 0 PROGRAM SERVICES RECRUITMENT 480 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 1172 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 11175 2 19 0 0 2 19 36389671 584626 36974297 STUDENT SCHOLARSHIP EUROPE 107 583071 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT 1 0 1 1 1 0 PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEED ARE MONITORED TO ENSURE THEY MEET ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. 9-23-13 LAUREL VALLEY GOLF OUTING 159605 81653 77952 2973 70821 19914 234 3-24-14 VACCARELLO TPC SAWGRASS GOL 117919 50015 67904 400 44800 8923 15580 13 451382 244090 207292 3375 91882 108203 35227 728906 375758 353148 6748 207503 137040 51041 402332 -49184 1 ACADEMIC SCHOLARSHIPS 8957 73967563 ATHLETIC SCHOLARSHIPS 393 6993340 ENDOWED /NON-ENDOWED SCHOLARSHIPS 1240 2813902 RELIGIOUS / H.S., TEACHER, SCHOLARSHIPS 898 2569693 TAMBURITIZAN / ROTC 35 395604 NEED BASED 2430 7078187 PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEED ARE MONITORED TO ENSURE THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. X X 1 1 X X X X X 0 1 0 0 0 0 0 0 0 CHARLES J DOUGHERTY PRESIDENT 624439 0 0 0 9849 0 120400 0 18986 0 773674 0 0 0 LINDA S DRAGO ESQ SECRETARY/GEN.COUNSEL 183787 0 0 0 464 0 15006 0 8685 0 207942 0 0 0 JOHN P PLANTE VP FOR UNIVERSITY ADVANCEMENT 230946 0 0 0 7332 0 19379 0 78232 0 335889 0 0 0 JDOUGLAS BRICKER DEAN, SCHOOL OF PHARMACY 230891 0 0 0 99 0 18805 0 13712 0 263507 0 0 0 GREGORY H FRAZER DEAN, SCHOOL OF HEALTH SCI 172809 0 0 0 5769 0 14695 0 45098 0 238371 0 0 0 JAMES C SWINDAL DEAN, SCHOOL OF LIBERAL ARTS 159348 0 0 0 5861 0 13359 0 26732 0 205300 0 0 0 ALEEM GANGJEE PROFESSOR - SCHOOL OF PHAR 354506 0 0 0 8122 0 16989 0 14321 0 393938 0 0 0 JOHN E MURRAY CHANCELLOR 406365 0 0 0 9250 0 20400 0 13321 0 449336 0 0 0 JAMES A FERRY MEN BASKETBALL COACH 528640 0 0 0 5264 0 20400 0 23783 0 578087 0 0 0 JOHN M LANASA ASSOCIATE PROFESSOR, SCHOOL OF BUSIN 273898 0 0 0 238 0 7198 0 4108 0 285442 0 0 0 RAYMOND SEKULA PROFESSOR LAW SCHOOL 324645 0 0 0 896 0 8633 0 6706 0 340880 0 0 0 DAVID P GROUSOSKYFORMER OFFICER FORMER INTERIM VP MGMT/BUSINESS 208049 0 0 0 2380 0 16948 0 13508 0 240885 0 0 0 RALPH L PEARSON FORMER OFFICER PROFESSOR MCANULTY COLLEGE AND GRAD 260709 0 0 0 10265 0 20400 0 30734 0 322108 0 0 0 ALAN R MICIAK-FORMER KEY EMPLOYEE PROFESSOR, SCHOOL OF BUSINESS 206186 0 0 0 35 0 16948 0 15049 0 238218 0 0 0 KENNETH GGORMLEY-FORMER KEY EMPLOYE DEAN, SCHOOL OF LAW 227534 0 0 0 65 0 19044 0 86404 0 333047 0 0 0 DAVID W SEYBERT-FORMER KEY EMPLOYEE PROFESSOR,SCHOOL OF NAT/ENV SC 138876 0 0 0 1213 0 11999 0 57813 0 209901 0 0 0 SCHEDULE J, PART I, 4(B) CHARLES J. DOUGHERTY PARTICIPATED IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN FOR WHICH HE WAS CREDITED $100,000 FOR THE TAX YEAR. A (2)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RDC0 2005-12-02 35714716 SEE PART VI 0 0 0 B (4)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728REN5 2007-08-23 15073128 SEE PART VI 0 0 0 C (5)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RFL8 2008-06-19 30780280 SEE PART VI 0 0 0 D (6)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RHG7 2011-02-10 53203859 SEE PART VI 0 0 0 A 4380000 36697321 767618 19157453 16772250 2007 1 0 1 1 B 5000000 15347821 373166 26962 14947693 2008 0 0 1 1 C 9575000 30780280 244023 7874 4461383 26067000 2008 1 0 1 1 D 30000 53426942 1975452 402300 2858 51046332 2012 0 0 1 1 A 0 1 1 1 0 0 0 1 B 0 1 1 1 0 0 0 1 C 0 1 1 1 0 0 0 1 D 0 1 1 1 0 0 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 1 0 0 0 1 C 0 0 1 0 0 0 0 0 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K, PART I, COLUMN F BOND (2) - CONSTRUCTION OF ATHLETIC/RECREATION COMPLEX & PEDESTRIAN BRIDGE & MISCELLANEOUS CAPITAL PROJECTS & RENOVATIONS AND REFUNDING OF 1996 BOND ESCROW BOND (4) - CAPITAL PROJECTS/RENOVATIONS BOND (5) - ACQUISITION OF BUILDING AND REFUNDING OF 2003 BOND ESCROW, 2005 C BOND ESCROW, & 2007 B BOND ESCROW BOND (6) - CAPITAL PROJECTS BOND (7) - CAPITAL PROJECTS AND REFUND 2004 BOND SCHEDULE K, PART II, LINE 3 PART II, LINE 3, ENTITY 1, COLUMNS A,B,AND D - THE DIFFERENCE BETWEEN ISSUE PRICE FROM PART I, COLUMN E AND THE TOTAL PROCEEDS SHOWN IN PART II IS INVESTMENTS EARNINGS WHICH ARE INCLUDED IN PART II. SCHEDULE K,PART II,LINE 11 PART II, LINE 11, ENTITY 1, COLUMN A - THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS USED TO REFUND THE 1996 ISSUE. PART II, LINE 11, ENTITY 1, COLUMN C - THE OTHER SPENT PROCEEDS ARE THE REFUNDING PROCEEDS USED TO REFUND THE 2003, 2005, AND 2007 ISSUES. SCHEDULE K, PART V PART V - THE UNIVERSITY DEVELOPED WRITTEN PROCEDURES REGARDING THE BOND POST ISSUANCE COMPLIANCE POLICY. THESE PROCEDURES WERE ADOPTED ON FEBRUARY 15, 2013. SCHEDULE K, PART IV, LINE 3 COLUMN B SERIES B OF THE 2007 ISSUE, WHICH ACCOUNTED FOR $5,000,000 IN PRINCIPAL AND IS NO LONGER OUTSTANDING, WAS A VARIABLE RATE ISSUE. SERIES A, WHICH ACCOUNTS FOR THE REMAINING $10,270,000 IN PRINCIPAL, IS A FIXED RATE ISSUE. A (7)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RKC2 2013-03-19 43044915 SEE PART VI 0 0 0 A 635000 43051476 335654 95 16879743 25835984 2014 0 1 0 1 A 0 1 1 1 0 0 0 1 A 0 1 0 0 0 0 0 0 1 A 1 ENROLLED STUDENT FAMILY MEMBER OF BOARD OF DIRECTORS MEMBER 12000 MERIT BASED AWARD SCHOLARSHIP UPMC HEALTH PLANINSURANCE BUS RELATIONSHIP - SEE DESCRIPTION OF TRANSACTION 4694625 HEALTH SRVCS - S. LAMMIE, DUQUESNE UNIVERSITY BOARD MEMBER AND CFO, UPMC HEALTH PLAN / V.P., INSURANCE DIVISION. TRANSACTIONS WITH UPMC HEALTH PLAN INCLUDED: HEALTH BENEFITS PLAN (DU-SELF INSURED) CLAIM PAYMENTS TO ALL UPMC HEALTH FACILITIES. 0 FEDERATED INVESTORS INC BUS RELATIONSHIP - SEE DESCRIPTION OF TRANSACTION 105433 FINANCIAL ADVISEMENT COMPANY - J. MCGONIGLE, DUQUESNE UNIVERISTY BOARD MEMBER AND DIRECTOR / OFFICER / SHAREHOLDER, FEDERATED INVESTORS. 0 X 33 756715 FMV X COMPUTER ACCE 3 0 FMV X DONATED EQUIP 6 0 FMV X DONATED FOR A 9 0 FMV 33 0 1 0 PART I, LINE 33: DONATED STOCK IS SOLD UPON RECEIPT. SCHEDULE M, LINE 33: SMALL ITEMS WITH A DE MINIMIS FMV ARE NOT RECORDED IN THE FINANCIAL STATEMENTS. FORM 990, PART VI, SECTION A, LINE 6 DUQUESNE UNIVERSITY IS A PENNSYLVANIA NONPROFIT CORPORATION RECOGNIZED AS AN IRC SECTION 501(C)(3) ORGANIZATION. AS PER THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, IT SHALL HAVE MEMBERS. THE MEMBERS OF THE UNIVERSITY SHALL BE THE PROVINCIAL SUPERIOR, THE MEMBERS OF THE PROVINCIAL COUNCIL, AND SUCH OTHER VOWED MEMBERS OF THE CONGREGATION OF THE HOLY SPIRT PROVINCE OF THE UNITED STATES AS ARE APPOINTED BY THE PROVINCIAL SUPERIOR WITH THE CONSENT OF THE PROVINCIAL COUNCIL SO THAT THERE ARE AT ALL TIMES SIX MEMBERS BUT NO MORE THAN 10 MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A PURSUANT TO THE UNIVERSITY'S ARTICLES, THE BOARD OF DIRECTORS SHALL BE ELECTED ANNUALLY BY THE MEMBERS (AS DEFINED ABOVE). IN ADDITION, THERE ARE SEVEN EX-OFFICIO VOTING MEMBERS OF THE BOARD: THE PRESIDENT OF THE UNIVERSITY, THE VICAR/DIRECTOR OF THE ROMAN CATHOLIC DIOCESE OF PITTSBURGH, PA, THE CHAIRMAN, VICE-CHAIRMAN AND SECRETARY OF THE MEMBERS, THE VP FOR MISSION & IDENTITY AT THE UNIVERSITY AND THE PRESIDENT OF THE DUQUESNE UNIVERSITY ALUMNI ASSOCIATION. FORM 990, PART VI, SECTION A, LINE 7B CERTAIN POWERS ARE RESERVED TO THE MEMBERS INCLUDING BUT NOT LIMITED TO, ELECTION AND REMOVAL OF ANY INDIVIDUAL MEMBER OF THE BOARD OF DIRECTORS, THE RIGHT TO AMEND, ALTER, MODIFY OR REPEAL GOVERNING DOCUMENTS, APPROVE CERTAIN TRANSACTIONS AS SET FORTH IN THE BYLAWS, ISSUE STATEMENTS OF POLICY REGARDING PHILOSOPHY AND MISSION, APPROVE APPOINTMENT OF THE UNIVERSITY PRESIDENT AND CONFIRM OFFICER ELECTIONS, AND APPROVE EMPLOYMENT CONTRACTS OF UNIVERSITY OFFICERS. FORM 990, PART VI, SECTION B, LINE 11 THE DRAFT FORM 990, 990-T AND REQUIRED SCHEDULES ARE REVIEWED WITH THE ORGANIZATION'S INTERNAL MANAGEMENT AS WELL AS THE AUDIT AND FINANCE COMMITTEE. UPON COMPLETION OF THIS REVIEW, THE FORMS ARE FINALIZED AND A COMPLETE COPY IS PROVIDED TO THE BOARD OF DIRECTORS VIA AN INTRANET SITE IN ADVANCE OF FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, A CONFLICT OF INTEREST FORM IS GIVEN TO EMPLOYEES OF THE UNIVERSITY AND TO THE BOARD OF DIRECTORS INCLUDING THE CORPORATION MEMBERS, OFFICERS, HIGHEST PAID AND KEY EMPLOYEES. ALL MUST COMPLETE THIS FORM. THIS CONFLICT OF INTEREST FORM HAS BEEN ENHANCED TO INCLUDE MORE DETAILED QUESTIONS RELATING TO THE 2013 FORM 990, TO REQUEST INFORMATION REQUIRED BY THE FORM. FORM 990, PART VI, SECTION B, LINE 15A COMPENSATION OF THE PRESIDENT IS DETERMINED BY THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS. COMPENSATION OF OTHER OFFICERS IS DETERMINED BY THE PRESIDENT OF THE UNIVERSITY AND REVIEWED WITH CHAIRPERSON OF THE BOARD. COMPENSATION OF KEY EMPLOYEES: THE OFFICE OF HUMAN RESOURCES DEVELOPS AND MAINTAINS A WAGE AND SALARY PROGRAM TO ENSURE FAIR AND EQUITABLE COMPENSATION FOR ADMINISTRATIVE, PROFESSIONAL, AND CLERICAL STAFF OF THE UNIVERSITY. THE PLAN ESTABLISHES PAY RANGES FOR POSITIONS TO ESTABLISH INTERNAL EQUITY, AND ALSO USES SURVEYS OF LOCAL AND NATIONAL INSTITUTIONS, WHICH MAINTAIN SIMILAR OR COMPARABLE EMPLOYMENT SITUATIONS. THE DOCUMENTED RANGES ARE REVIEWED PERIODICALLY AND MODIFIED ACCORDINGLY. FACULTY SALARIES ARE SET BY THE DEAN IN CONSULTATION WITH THE PROVOST AND ARE BASED UPON RELEVANT MARKET AND DISCIPLINE BASED SURVEYS. FORM 990, PART VI, SECTION C, LINE 19 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT MAKES ITS GOVERNANCE DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENT AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: NET SPECIAL EVENT HELD IN AGENCY FUND LIABILITY 49,184. ROUNDING 1. FORM 990, PART XII, LINE 2C, OVERSIGHT OF FINANCIAL AUDIT: DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FINANCIAL STATEMENTS ARE AUDITED BY AN INDEPENDENT ACCOUNTING FIRM. IN ADDITION, DUQUESNE UNIVERSITY OF THE HOLY SPIRIT HAS A COMMITTEE THAT ASSUMES THE RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND ITS SELECTION OF THE INDEPENDENT ACCOUNTING FIRM. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. PART VI 1A THE EXECUTIVE COMMITTEE SHALL HAVE THE POWER TO TRANSACT ALL REGULAR BUSINESS OF THE UNIVERSITY BETWEEN MEETINGS OF THE BOARD. ALL MATTERS OF MAJOR IMPORTANCE WILL BE REPORTED TO THE BOARD. THE EXECUTIVE COMMITTEE SHALL MEET AS NECESSARY. EASTERN CONGREGATION OF THE HOLY SPIRIT PROVINCE OF THE UNITED STATES 6230 BRUSH RUN ROAD BETHEL PARK PA 151022214 RELIGIOUS CONGREGATION PA 501(C)(3) 170(B)(1)(A)(I) N/A 0 THE DIETRICH FOUNDATION 600 GRANT STREET SUITE 5360 PITTSBURGH PA 15219 364711746 TO SUPPORT FUNCTIONS OF & CARRY OUT THE PURPOSES OF DUQUESNE PA 501(C)(3) 509(A)(3) N/A 0 DUQUESNE UNIVERSITY SCHOOL OF BUSINESS ALUMNI ASSOCIATION 600 FORBES AVE SCH OF BUSINESS PITTSBURGH PA 15282 251661703 TO SUPPORT SCHOOL OF BUSINESS THROUGH RELATIONSHIPS WITH ALUMNI PA 501(C)(3) 170(B)(1)(A)(VI) N/A 0 CHARLES HENRY LEACH II FUND FOR DUQUESNE UNIVERSITY 600 FORBES AVE 405 ADMIN PITTSBURGH PA 15282 464483460 TO FOSTER THE CHARITABLE,SCIENTIFIC AND EDUCATIONAL PURPOSES OF FOUNDATION PA 501(C)(3) 509(A)(3) DUQUESNE UNIVERSITY 1 CHARITABLE FOUNDATION 1300 CHAPLINE STREET WHEELING WV 26003 272498681 PROVIDE SUPPORT DUQUESNE UNIVERSITY SCHOOL OF EDUCATION WITH SCHOLARSHIPS PA N/A T 4236 0 CHARITABLE FOUNDATION C/O PNC BANK 620 LIBERTY AVE PITTSBURGH PA 15222 256285631 ENDOW A CHAIR IN BUSINESS LAW AT DUQUESNE UNIVERSITY PA N/A T 11572 0 0 0 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0