2015-05-12T17:24:03-05:00 2014-06-30 PricewaterhouseCoopers LLP 300 Madison Avenue New York NY 10017 990 2013-07-01 135598093 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK % RENOTTA YOUNG DEP CONTROLL TRUS 2128544684 615 WEST 131ST STREET MC 8741 Suite NEW YORK NY 100277922 BARBARA HOUGH CONTROLLER 2128549710 2015-05-12 2013 2016-02-25 16:41:14Z Lee C Bollinger 615 West 131st St MC 8741 New York NY 100277922 6536716870 false X www.columbia.edu X 1754 NY SEE ATTACHMENT 1 24 18 32543 10867 -12327244 -16635776 1427694060 1234408267 2269479380 2440050978 602187622 605881496 146344228 190686992 4445705290 4471027733 526644384 552653565 0 0 2235300138 2284812951 1041480 728275 111135694 999264953 1077840975 3762250955 3916035766 683454335 554991967 14639477138 15957288201 3021886164 2934430851 11617590974 13022857350 X COLUMBIA UNIVERSITY IS ONE OF THE WORLD'S MOST IMPORTANT CENTERS OF RESEARCH AND AT THE SAME TIME A DISTINCTIVE AND DISTINGUISHED LEARNING ENVIRONMENT FOR UNDERGRADUATES AND GRADUATE STUDENTS IN MANY SCHOLARLY AND PROFESSIONAL FIELDS. THE UNIVERSITY RECOGNIZES THE IMPORTANCE OF ITS LOCATION IN NEW YORK CITY AND SEEKS TO LINK ITS RESEARCH AND TEACHING TO THE VAST RESOURCES OF A GREAT METROPOLIS. IT SEEKS TO ATTRACT A DIVERSE AND INTERNATIONAL FACULTY AND STUDENT BODY, TO SUPPORT RESEARCH AND TEACHING ON GLOBAL ISSUES, AND TO CREATE ACADEMIC RELATIONSHIPS WITH MANY COUNTRIES AND REGIONS. IT EXPECTS ALL AREAS OF THE UNIVERSITY TO ADVANCE KNOWLEDGE AND LEARNING AT THE HIGHEST LEVEL AND TO CONVEY THE PRODUCTS OF ITS EFFORTS TO THE WORLD. false false 1392757363 433590951 1215249006 COLUMBIA UNIVERSITY IS A PRIVATE, NONSECTARIAN, NONPROFIT INSTITUTION OF HIGHER EDUCATION WHOSE ACTIVITIES ARE CONCENTRATED AT TWO LOCATIONS IN NEW YORK CITY BUT EXTEND ACROSS THE GLOBE. THE UNIVERSITY PROVIDES INSTRUCTION THROUGH SIXTEEN UNDERGRADUATE, GRADUATE, AND PROFESSIONAL SCHOOLS. IT OPERATES A VARIETY OF RESEARCH INSTITUTES AND A LIBRARY SYSTEM TO SUPPORT ITS TEACHING AND LEARNING, BASIC AND APPLIED RESEARCH, PATIENT CARE, AND PUBLIC SERVICE ACTIVITIES. THE UNIVERSITY ENROLLS APPROXIMATELY 29,250 FULL-TIME AND PART-TIME STUDENTS AND EMPLOYS APPROXIMATELY 30,000 FULL-TIME AND PART-TIME EMPLOYEES, INCLUDING 5,721 FULL-TIME FACULTY MEMBERS. 743391379 7851676 915097078 THE UNIVERSITY, THROUGH THE COLUMBIA UNIVERSITY MEDICAL CENTER AND ITS MEDICAL FACULTY PRACTICE PLAN, PROVIDES DIRECT PATIENT CARE AND OTHER CLINICAL AND EDUCATIONAL SERVICES TO HOSPITALS AND OTHER HEALTH CARE INSTITUTIONS THROUGH CONTRACTUAL AGREEMENTS FOR SERVICES. THE CLINICAL FACULTY HANDLED APPROXIMATELY 1.9 MILLION OUTPATIENT AND EMERGENCY ROOM VISITS AND PARTICIPATED IN INSTRUCTION AND SUPERVISION OF 645 UNIVERSITY MEDICAL STUDENTS AND 911 RESIDENTS AND FELLOWS AT NEW YORK PRESBYTERIAN HOSPITAL AND OTHER AFFILIATED HOSPITALS. 548613997 109340792 159496453 THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS AND CONTRACTS WITH AGENCIES OF THE FEDERAL GOVERNMENT AND OTHER SPONSORING ORGANIZATIONS. 63741732 LIBRARY 223638328 CAMPUS OPERATIONS 247636342 INSTITUTIONAL SUPPORT 112517197 146513849 AUXILIARY ENTERPRISES 130459367 1870146 3694592 OTHER SOURCES 777992966 1870146 150208441 3462755705 true false false true false true false true false true true true false false true false false true true true true true true true true false false true true true true false true false false false true false true true true true true false false true true true true false false true X 37527 0 true 32543 true true true true false false false true true false false false false false false false X 24 18 true false false false false false false true true false false true true true true true true true true false CA X RENOTTA YOUNG DEP CONTROLL 2128544684 615 W 131ST MC 8749 New York NY 10027 X LEE C BOLLINGER PRESIDENT 60.0 X X 4225069 0 416351 KENNETH A FORDE MD TRUSTEE 3.0 X 789000 0 2592 ROLANDO T ACOSTA TRUSTEE 3.0 X 0 0 0 ARMEN A AVANESSIANS TRUSTEE 3.0 X 0 0 0 A'LELIA BUNDLES TRUSTEE 3.0 X 0 0 0 WILLIAM V CAMPBELL TRUSTEE 3.0 X 0 0 0 LISA CARNOY TRUSTEE 3.0 X 0 0 0 NOAM GOTTESMAN TRUSTEE 3.0 X 0 0 0 JOSEPH A GREENAWAY JR TRUSTEE 3.0 X 0 0 0 JAMES HARDEN TRUSTEE 3.0 X 0 0 0 BENJAMIN HOROWITZ TRUSTEE 3.0 X 0 0 0 ANN F KAPLAN TRUSTEE 3.0 X 0 0 0 MARK E KINGDON TRUSTEE 3.0 X 0 0 0 JONATHAN LAVINE TRUSTEE 3.0 X 0 0 0 GERRY LENFEST TRUSTEE (THROUGH 9/1/2013) 3.0 X 0 0 0 CHARLES LI TRUSTEE 3.0 X 0 0 0 PAUL J MADDON TRUSTEE 3.0 X 0 0 0 PHILIP MILSTEIN TRUSTEE (THROUGH 9/1/2013) 3.0 X 0 0 0 VIKRAM PANDIT TRUSTEE 3.0 X 0 0 0 MICHAEL B ROTHFELD TRUSTEE 3.0 X 0 0 0 JONATHAN D SCHILLER TRUSTEE 3.0 X 0 0 0 ESTA STECHER TRUSTEE 3.0 X 0 0 0 KYRIAKOS TSAKOPOULOS TRUSTEE 3.0 X 0 0 0 FAYE WATTLETON TRUSTEE 3.0 X 0 0 0 CLAIRE SHIPMAN TRUSTEE (AS OF 10/1/2013) 3.0 X 0 0 0 ANDREW BARTH TRUSTEE (AS OF 10/12/2013) 3.0 X 0 0 0 JANE E BOOTH GENERAL COUNSEL 60.0 X 581403 0 42073 JOHN COATSWORTH PROVOST 60.0 X 695582 0 47857 JEROME DAVIS SECRETARY 60.0 X 344776 0 40309 ROBERT KASDIN SENIOR EXECUTIVE VP 60.0 X 766722 0 49609 DAVID MADIGAN EXEC VP - ARTS & SCIENCES 60.0 X 356287 0 96777 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE 60.0 X 541544 0 70263 DR LEE GOLDMAN MD EXEC VP FOR HEALTH SCIENCES 60.0 X 1190228 0 489981 PETER HOLLAND EXEC VP OF INVESTMENT MGMT 60.0 X 3140134 0 2283369 JOSEPH A IENUSO EXEC VP OF FACILITIES 60.0 X 442093 0 51984 NIRMAL NARVEKAR PRESIDENT OF INVESTMENT MGMT 60.0 X 3492082 0 2522089 FREDERICK M VAN SICKLE EXEC VP - UNIV. DEV & ALUM REL 60.0 X 533744 0 62073 DAVID N SILVERS CLINICAL PROFESSOR 60.0 X 4827983 0 46639 JEFFREY W MOSES PROFESSOR OF MEDICINE 60.0 X 3083272 0 66595 CRAIG R SMITH PROFESSOR OF SURGERY 60.0 X 2125576 0 58591 MARTIN B LEON PROFESSOR OF SURGERY 60.0 X 1733272 0 64530 GREGG STONE PROFESSOR OF SURGERY 60.0 X 1733272 0 75352 ALAN BRINKLEY PROVOST (FORMER) 0.0 X 430187 0 60843 SUSAN K FEAGIN EXEC VP-UNIV. DEV&ALUM(FORMER) 0.0 X 459036 0 36861 NICHOLAS B DIRKS EXEC VP- ARTS&SCIENCES(FORMER) 0.0 X 1245745 0 49544 32737007 0 6634282 4631 true true false FXFOWLE ARCHITECTS LLP 22 WEST 19TH STREET NEW YORK NY 10011 ARCHITECTURAL 9855985 DAVIS BRODY BOND LLP 315 HUDSON STREET NEW YORK NY 10013 ARCHITECTURAL 9585331 CAULDWELL WINGATE 380 LEXINGTON AVENUE NEW YORK NY 10168 Construction 8976835 CALDWELL WALSH BLDG CONSTRUCTION 60 EAST 42ND STREET SUITE 1365 NEW YORK NY 10165 CONSTRUCTION 5521329 SYSCO FOOD SERV OF METRO NY 20 THEODORE CONRAD DRIVE JERSEY CITY NJ 07305 FOOD SERVICE 4884134 250 X 8671462 769648021 456088784 41510351 1234408267 TUITION & FEES 611600 1215249006 1215249006 OTHER EDUCATION & RESEARCH 541700 159496453 159496453 PATIENT CARE REVENUE 621110 915097078 915097078 AUXILIARY ENTERPRISES 900099 146513849 141713818 4800031 OTHER SOURCES 900099 1727805 1727805 1966787 1966787 2440050978 50663101 50663101 0 85971754 85971754 157998040 138403482 19594558 0 19594558 27339 19567219 2481347169 1926128774 555218395 555218395 555218395 755747 8671462 1156881 -401134 -401134 0 0 PARTNERSHIP INCOME 900099 85521814 -17154614 102676428 85521814 4471027733 2435250947 -12327244 813695763 X 84526257 84526257 432346549 432346549 35780759 35780759 0 15884526 15884526 1357216 210592 1146624 1854638328 1684883903 119707258 50047167 127831255 116130903 8250843 3449509 183922734 121037963 46005116 16879655 101178892 91918022 6530571 2730299 0 37124278 6584659 30478254 61365 1597833 0 1597833 0 551131 0 551131 0 728275 728275 22193108 0 22193108 0 178124983 152953438 18263201 6908344 12071539 9754008 505930 1811601 192554594 172529073 14617865 5407656 22578177 12364442 9325912 887823 0 179778839 170723748 6687898 2367193 61431272 54812413 4750937 1867922 0 43449159 30421678 2579838 10447643 47162492 43073504 3310807 778181 0 191596716 179449484 9828912 2318320 19101777 18226230 875547 0 LIBRARY 26582088 26582088 0 0 EMPLOYEE EDUCATION 7699024 7643391 35804 19829 DUES & SUBSCRIPTIONS 8422959 6080146 2021910 320903 UNRELATED BUS INCOME TAX EXP 618512 0 618512 0 25202494 4722455 16376030 4104009 3916035766 3462755705 342144367 111135694 X 0 0 1286707034 1258601185 978343805 889890192 278529522 312486426 1688419 2132499 0 0 115695910 121900518 1879687 2400306 38270328 42001926 6748893961 2538219326 3894971462 4210674635 2601291177 2736980511 5078626530 5898415577 0 0 0 0 363473264 481804426 14639477138 15957288201 264758054 272628223 0 0 255332844 253035053 1288657000 1183840000 0 0 0 0 0 0 190239233 238884000 1022899033 986043575 3021886164 2934430851 X 5088780879 5722651803 4017343216 4604012047 2511466880 2696193500 11617590974 13022857350 14639477138 15957288201 X 554991967 798027327 52247082 X X false true X true true true X 1233756486 1969196418 1419840375 1427694060 1234408267 7284895606 0 0 1233756486 1969196418 1419840375 1427694060 1234408267 7284895606 50029935 7234865671 225666736 239533381 274663421 252902435 294632895 1287398868 0 75239250 65425604 72303940 58925715 102964244 374858753 8947153227 10808669067 0.80862 0.00000 X false true false false false true 1573 true 50308 false true 499250 551131 false SCHEDULE C LINE 1A - VOLUNTEERS: N/A LINE 1B - PAID STAFF OR MANAGEMENT: THE UNIVERSITY HAS OFFICES OF GOVERNMENT AND COMMUNITY AFFAIRS AT BOTH ITS MORNINGSIDE AND MEDICAL CENTER CAMPUSES WHOSE FUNCTION IS TO KEEP THE UNIVERSITY COMMUNITY INFORMED ABOUT NATIONAL, STATE AND LOCAL LEGISLATION AND POLICY THAT HAS AN IMPACT ON THE UNIVERSITY AND, WHEN APPROPRIATE, TO ADVOCATE FOR THE UNIVERSITY'S INTERESTS WITH RESPECT TO THIS POLICY. EMPLOYEES REGULARLY INVOLVED IN THESE ACTIVITIES INCLUDE: EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS PROJECT, COORDINATOR FOR STATE AND FEDERAL RELATIONS, DEPUTY VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER. LINE 1C - MEDIA ADVERTISEMENTS: NONE LINE 1D - MAILINGS TO MEMBERS, LEGISLATORS OR THE PUBLIC: NONE LINE 1E - PUBLICATIONS, OR PUBLISHED OR BROADCAST STATEMENTS: NONE LINE 1F - GRANTS TO OTHER ORGANIZATIONS FOR LOBBYING PURPOSES: THE UNIVERSITY BELONGS TO CERTAIN HIGHER EDUCATION TRADE ASSOCIATIONS. A SMALL PORTION OF THE MEMBERSHIP FEES PAID TO SOME OF THOSE ORGANIZATIONS GOES TO SUPPORT LOBBYING-RELATED ACTIVITIES. THESE FEES ARE REGULARLY REPORTED ON THE UNIVERSITY'S LOBBYING DISCLOSURE FILINGS. LINE 1G - DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, OR A LEGISLATIVE BODY: THE PRESIDENT, THE SENIOR EXECUTIVE VICE PRESIDENT, THE EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE PROJECT COORDINATOR FOR STATE AND FEDERAL RELATIONS CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR POLICY STAFFS ON HIGHER EDUCATION ISSUES. THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCE, THE DEPUTY VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, AND THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR POLICY STAFFS ON HIGHER EDUCATION ISSUES, HEALTH SCIENCES ISSUES AND OTHER ISSUES AFFECTING ACADEMIC MEDICAL CENTERS. THE AMOUNTS SHOWN ON LINE 1G REFLECT PAID STAFF AND MANAGEMENT ACTIVITIES. LINE 1H - RALLIES, DEMONSTRATIONS, SEMINARS, CONVENTIONS, SPEECHES, LECTURES OR ANY OTHER MEANS: N/A LINE 1I - OTHER ACTIVITIES: DURING THE REPORTING PERIOD, THE UNIVERSITY RETAINED OUTSIDE FIRMS FOR ADVOCACY AT THE FEDERAL, STATE AND LOCAL LEVELS. THE AMOUNTS SHOWN ON LINE 1I INCLUDE AMOUNTS PAID TO SUCH OUTSIDE FIRMS FOR ALL ACTIVITIES CONDUCTED BY SUCH FIRMS, INCLUDING CERTAIN OF THE ACTIVITIES DESCRIBED ABOVE AND GENERAL ADVISORY SERVICES TO THE UNIVERSITY IN CONNECTION WITH ITS LOBBYING ACTIVITIES. 6 3000000 415000 40574350 true true X X X X true false false 8197880000 173837000 1424763060 92209000 440268000 40956060 9223047000 7654152000 165932000 871686632 81338000 374447000 38105632 8197880000 7789579000 183419000 161239000 84742000 363392000 31951000 7654152000 6516512000 202175000 1503257000 71786000 329582000 30998000 7789578000 5892798000 159335000 946146321 72771000 387564000 21432321 6516512000 0.37000 0.63000 true false 454549000 454549000 4820217665 2074314025 2745903640 361067976 188421655 172646321 1113059320 275483646 837575674 4210674635 GLOBAL EQUITIES 629875907 F ABSOLUTE RETURN STRATEGIES 1640505245 F PRIVATE EQUITY 1997326865 F REAL ESTATE ASSETS 1630705874 F FIXED INCOME 1686 F 5898415577 0 LIABILITY FOR SECURITIES PURCH 8541197 CAPITAL LEASE OBLIGATIONS 124096304 COND'L ASSET RETIREMENT OBLIGA 110892527 ACCRUED EMPLOYEE BENEFIT LIAB. 156437300 FEDERAL STUDENT LOAN FUNDS 79651611 ACTUARIAL LIAB- SPLIT INT AGRM 43801783 OTHER LONG TERM LIABILITIES 462622853 986043575 X DETAIL OF UNIVERSITY COLLECTIONS/TEXT OF AUDIT FOOTNOTE SCHEDULE D, PART III, LINES 1A, 2A & 4 COLLECTIONS AT THE UNIVERSITY INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES, AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S GALLERIES, LIBRARIES, AND BUILDINGS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE AND, THEREFORE, ARE NOT RECOGNIZED AS ASSETS ON THE CONSOLIDATED BALANCE SHEET. COSTS ASSOCIATED WITH PURCHASING ADDITIONS AND MAINTAINING THESE COLLECTIONS ARE RECORDED AS OPERATING EXPENSES IN THE PERIOD IN WHICH THE ITEMS ARE ACQUIRED. INTENDED USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 COLUMBIA UNIVERSITY'S ENDOWMENT FUNDS SUPPORT A RANGE OF PURPOSES IN ACCORDANCE WITH THE UNIVERSITY'S MISSION, INCLUDING: FINANCIAL AID; FACULTY SALARIES AND SUPPORT; RESEARCH; CAPITAL PROJECTS; GENERAL SUPPORT OF THE UNIVERSITY, SCHOOLS, DEPARTMENTS, INSTITUTES AND CENTERS. PART X, LINE 2 (FIN 48) THE UNIVERSITY BELIEVES THAT ITS TAX POSITIONS AS THEY RELATE TO THE IMPACT ON THE FINANCIAL STATEMENTS OF FIN 48 ARE HIGHLY CERTAIN. true true true true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 COLUMBIA UNIVERSITY CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND THE WORLD. ITS EDUCATIONAL PROGRAMS SEEK A BROAD CROSS-SECTION OF STUDENTS FROM THE METROPOLITAN AREA. IT FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY OF ADMISSION AND INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARDS STUDENTS IN ALL SCHOOL AND PROGRAM BULLETINS. IT ALSO REFERS TO THIS POLICY IN ALL WRITTEN ADVERTISING. IT THEREFORE MEETS THE CRITERIA UNDER REV. PROC. 75-50, SECTION 4.03-2(B)FOR EXEMPTION FROM THE PUBLICITY REQUIREMENTS OF SECTION 4.03-1. SCHEDULE E, LINE 6A COLUMBIA UNIVERSITY RECEIVES FEDERAL, STATE AND LOCAL GOVERNMENTAL FUNDING THAT SUPPORTS ITS CORE INSTRUCTIONAL AND RESEARCH PROGRAMS. true Antarctica 0 1 Program Services EDUC/RESEARCH/OUTREACH 2142 Central America and the Caribbean 1 369 Program Services EDUC/RESEARCH/OUTREACH 1583061 Central America and the Caribbean Grantmaking 165762 Central America and the Caribbean Investments 4114514759 East Asia and the Pacific 9 1604 Program Services EDUC/RESEARCH/OUTREACH 8289964 East Asia and the Pacific Grantmaking 4467198 East Asia and the Pacific Fundraising 171843 East Asia and the Pacific Investments 488994498 Europe (Including Iceland and Greenland) 19 3039 Program Services EDUC/RESEARCH/OUTREACH 17701012 Europe (Including Iceland and Greenland) Grantmaking 4321795 Europe (Including Iceland and Greenland) Fundraising 260177 Europe (Including Iceland and Greenland) Investments 458476304 Middle East and North Africa 4 517 Program Services EDUC/RESEARCH/OUTREACH 3488236 Middle East and North Africa Grantmaking 540552 Middle East and North Africa Fundraising 29665 North America 2 718 Program Services EDUC/RESEARCH/OUTREACH 1330704 North America Grantmaking 1602128 North America Fundraising 11475 North America Investments 23445180 Russia and the Newly Independent States 2 161 Program Services EDUC/RESEARCH/OUTREACH 1162663 Russia and the Newly Independent States Grantmaking 83020 Russia and the Newly Independent States Fundraising 24 South America 6 700 Program Services EDUC/RESEARCH/OUTREACH 3646555 South America Grantmaking 557906 South America Fundraising 39284 South America Investments 32087 South Asia 3 466 Program Services EDUC/RESEARCH/OUTREACH 3386325 South Asia Grantmaking 65760 South Asia Fundraising 107786 South Asia Investments 1365 Sub-Saharan Africa 42 2391 Program Services EDUC/RESEARCH/OUTREACH 80944668 Sub-Saharan Africa Grantmaking 23976638 Sub-Saharan Africa Fundraising 18034 Sub-Saharan Africa Investments 92165389 35 6248 53 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and the Pacific EDUC/RESEARCH 168224 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 8080 CHECK/WIRE N/A N/A East Asia and the Pacific EDUC/RESEARCH 23000 CHECK/WIRE N/A N/A North America EDUC/RESEARCH 20000 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 637610 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 26920 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 125000 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 120010 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 8100 CHECK/WIRE N/A N/A East Asia and the Pacific EDUC/RESEARCH 67800 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 134000 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 29120 CHECK/WIRE N/A N/A East Asia and the Pacific EDUC/RESEARCH 68560 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 139665 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 110694 CHECK/WIRE N/A N/A South America EDUC/RESEARCH 20000 CHECK/WIRE N/A N/A South America EDUC/RESEARCH 20000 CHECK/WIRE N/A N/A Central America and the Caribbean EDUC/RESEARCH 165762 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 16329 CHECK/WIRE N/A N/A East Asia and the Pacific EDUC/RESEARCH 192035 CHECK/WIRE N/A N/A East Asia and the Pacific EDUC/RESEARCH 81020 CHECK/WIRE N/A N/A North America EDUC/RESEARCH 15228 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 18900 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 32940 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 5481 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 5219 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 864447 CHECK/WIRE N/A N/A East Asia and the Pacific EDUC/RESEARCH 28800 CHECK/WIRE N/A N/A East Asia and the Pacific EDUC/RESEARCH 2328024 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 32691 CHECK/WIRE N/A N/A Europe EDUC/RESEARCH 60000 CHECK/WIRE N/A N/A East Asia and the Pacific EDUC/RESEARCH 232529 CHECK/WIRE N/A N/A South Asia EDUC/RESEARCH 10000 CHECK/WIRE N/A N/A Russia and the Newly Independent States EDUC/RESEARCH 31000 CHECK/WIRE N/A N/A North America EDUC/RESEARCH 15000 CHECK/WIRE N/A N/A South America 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CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 586973 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 3321177 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 4423423 CHECK/WIRE N/A N/A Sub-Saharan Africa EDUC/RESEARCH 279765 CHECK/WIRE N/A N/A 131 true true true true true true SCHEDULE F, PART I, LINE 2 ORGANIZATION'S PROCEDURES FOR MONITORING GRANT FUNDS THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF ALL SPONSORED PROJECT GRANT FUNDING. THIS POLICY IS CONTAINED IN THE "SPONSORED PROJECTS HANDBOOK". THE POLICY STATES THAT THE PRIMARY OBLIGATION FOR THE DAY-TO-DAY MANAGEMENT OF SPONSORED PROJECTS AND INSURING COMPLIANCE WITH FEDERAL AND OTHER SPONSOR REGULATIONS IS THE RESPONSIBILITY OF THE PRINCIPAL INVESTIGATOR SUPPORTED, AS NECESSARY, BY HIS OR HER ADMINISTRATIVE STAFF. ADDITIONALLY, THE POLICY SPECIFIES THE FOLLOWING MONITORING PROCEDURES: - MONTHLY ACCOUNT RECONCILIATION - REVIEW OF SALARY AND BENEFIT CHARGES - REVIEW OF VENDOR INVOICES - REVIEW OF CHARGES INITIATED BY SERVICE OR RECHARGE CENTERS - REVIEW OF FACILITIES AND ADMINISTRATIVE CHARGES - MONITORING OF SUB-AWARDS THROUGH REVIEW OF CHARGES AND TECHNICAL PERFORMANCE REPORTS, CONDUCTING PERIODIC ONSITE VISITS, AND INITIATING AUDITS/REVIEWS WHEN NECESSARY EXPENDITURES RELATED TO FOREIGN ACTIVITY EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. MOST OF THE ACTIVITY RELATES TO U.S. GOVERNMENT FUNDED PROGRAM SERVICES. OTHER ACTIVITY INCLUDES FACULTY AND STAFF TRAVEL FOR EDUCATIONAL, RESEARCH, FUNDRAISING AND OTHER PROGRAM SERVICES. NOT ALL OF THE OVERSEAS EXPENDITURES ARE SEPARATELY TRACKED AS FOREIGN ACTIVITY. THE AMOUNTS REPRESENTED ON SCHEDULE F REPRESENT THE UNIVERSITY'S GOOD FAITH EFFORTS TO CAPTURE FOREIGN ACTIVITY. ----------------------------------------------------------------- FORM 990, SCHEDULE F, PART I, COLUMN (F) & PART II, LINE 1 COLUMBIA UNIVERSITY ACCOUNTS FOR ALL FOREIGN EXPENDITURES, INCLUDING CASH GRANTS AND NONCASH ASSISTANCE, ON THE ORGANIZATION'S FINANCIAL STATEMENTS IN ACCORDANCE WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES IN THE UNITED STATES. ---------------------------------------------------------------- FORM 990, SCHEDULE F, PART I THE AMOUNTS LISTED ON SCHEDULE F, PART I AS TOTAL EXPENDITURES FOR INVESTMENTS FOR CERTAIN REGIONS INCLUDES BOTH THE BOOK VALUE OF INVESTMENTS AND SEPARATELY TRACKED INVESTMENT EXPENDITURES IN THAT REGION. THE BREAKOUT OF THE AMOUNTS ARE AS FOLLOWS: 1) CENTRAL AMERICA AND THE CARIBBEAN - BOOK VALUE $4,114,514,759 2) EAST ASIA AND THE PACIFIC - BOOK VALUE $488,850,794 AND EXPENDITURES $143,704 3) EUROPE - BOOK VALUE $458,346,626 AND EXPENDITURES $129,678 4) NORTH AMERICA - BOOK VALUE $23,441,365 AND EXPENDITURES $3,815 5) SOUTH AMERICA - EXPENDITURES $32,087 6) SOUTH ASIA - EXPENDITURES $1,365 7) SUB-SAHARAN AFRICA - BOOK VALUE $92,165,389 ---------------------------------------------------------------- X X X X X X X true RUFFALO CODY AND ASSOCIATES PO BOX 3018 CEDAR RAPIDS IA 52406 CONSULTING false 1421849 464621 957228 STORY WORLDWIDE LLC 87 WALL STREET SEATTLE WA 52406 CONSULTING false 11064924 169371 10895553 STEPHEN SAGNER 41 OGDEN AVENUE WHITE PLAINS NY 10605 CONSULTING false 51824163 60285 51763878 MARILYN SILVERSTEIN 24 MERRILL ROAD WATERTOWN ME 02472 CONSULTING false 18209679 33998 18175681 82520615 728275 81792340 NY ANNUAL DINNER 3006390 2991570 14820 855 34729 205544 1600 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THE POLICY MANDATES MONITORING IN TWO AREAS: (A) SUBRECIPIENT INSTITUTION COMPLIANCE WITH THE AUDITING REQUIREMENTS OF OMB CIRCULAR A-133, AND (B) SUBRECIPIENT INSTITUTION'S APPROPRIATE MANAGEMENT OF SUBAWARD. THE UNIVERSITY'S SPONSORED PROJECTS FINANCE GROUP COLLECTS A-133 REPORTS FROM SUBRECIPIENT INSTITUTIONS, AND THE PRINCIPAL INVESTIGATORS CARRY OUT THE SECOND TYPE OF MONITORING, PRINCIPALLY BY: - ROUTINELY GATHERING AND REVIEWING TECHNICAL PERFORMANCE REPORTS; - ROUTINELY REVIEWING INVOICES AND EXPENSES RELATIVE TO BUDGET; - CONDUCTING PERIODIC ON-SITE VISITS, WHEN NECESSARY; AND - INITIATING AUDITS, WHEN NECESSARY. X X X X X true true X X X X X true true false true false false false true true true LEE C BOLLINGER PRESIDENT 1170200 0 942600 0 2112269 0 26190 0 390161 0 4641420 0 1260161 0 KENNETH A FORDE MD TRUSTEE 0 0 0 0 789000 0 0 0 2592 0 791592 0 0 0 JANE E BOOTH GENERAL COUNSEL 581403 0 0 0 0 0 26190 0 15883 0 623476 0 0 0 JOHN COATSWORTH PROVOST 647988 0 6448 0 41146 0 26190 0 21667 0 743439 0 0 0 ALAN BRINKLEY PROVOST (FORMER) 387687 0 0 0 42500 0 38940 0 21903 0 491030 0 0 0 JEROME DAVIS SECRETARY 344776 0 0 0 0 0 26190 0 14119 0 385085 0 0 0 SUSAN K FEAGIN EXEC VP-UNIV. DEV&ALUM(FORMER) 454526 0 4510 0 0 0 26190 0 10671 0 495897 0 0 0 ROBERT KASDIN SENIOR EXECUTIVE VP 766722 0 0 0 0 0 26190 0 23419 0 816331 0 0 0 DAVID MADIGAN EXEC VP - ARTS & SCIENCES 321254 0 0 0 35033 0 26190 0 70587 0 453064 0 0 0 ANNE R SULLIVAN EXECUTIVE VP FOR FINANCE 541544 0 0 0 0 0 26190 0 44073 0 611807 0 0 0 NICHOLAS B DIRKS EXEC VP- ARTS&SCIENCES(FORMER) 245740 0 0 0 1000005 0 38065 0 11479 0 1295289 0 0 0 DR LEE GOLDMAN MD EXEC VP FOR HEALTH SCIENCES 1116924 0 0 0 73304 0 482190 0 7791 0 1680209 0 0 0 PETER HOLLAND EXEC VP OF INVESTMENT MGMT 782075 0 2358059 0 0 0 2240521 0 42848 0 5423503 0 2089583 0 JOSEPH A IENUSO EXEC VP OF FACILITIES 442045 0 0 0 48 0 26190 0 25794 0 494077 0 0 0 NIRMAL NARVEKAR PRESIDENT OF INVESTMENT MGMT 868329 0 2623753 0 0 0 2491630 0 30459 0 6014171 0 2325027 0 FREDERICK M VAN SICKLE EXEC VP - UNIV. DEV & ALUM REL 528440 0 5304 0 0 0 26190 0 35883 0 595817 0 0 0 DAVID N SILVERS CLINICAL PROFESSOR 2996004 0 1831979 0 0 0 35488 0 11151 0 4874622 0 0 0 JEFFREY W MOSES PROFESSOR OF MEDICINE 3083272 0 0 0 0 0 30339 0 36256 0 3149867 0 0 0 CRAIG R SMITH PROFESSOR OF SURGERY 2125576 0 0 0 0 0 35344 0 23247 0 2184167 0 0 0 MARTIN B LEON PROFESSOR OF SURGERY 1733272 0 0 0 0 0 30339 0 34191 0 1797802 0 0 0 GREGG STONE PROFESSOR OF SURGERY 1733272 0 0 0 0 0 30339 0 45013 0 1808624 0 0 0 SUPPLEMENTAL COMPENSATION INFORMATION NOTES TO PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN CERTAIN LIMITED CIRCUMSTANCES, CERTAIN INDIVIDUALS MAY TRAVEL FIRST CLASS WHEN THE TRAVEL IS SUBSTANTIATED AS REASONABLE EXPENSES TO SUPPORT THE MISSION OF THE UNIVERSITY. ANY FIRST CLASS EXCEPTIONS TO THE UNIVERSITY'S POLICY ARE SUBJECT TO REVIEW AND APPROVAL. TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT OR OTHER KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS, AS WELL AS REPRESENTING THE UNIVERSITY AT AWARDS PRESENTATIONS OR OTHER CEREMONIES OR EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS AS APPROVED BY THE BOARD OF TRUSTEES, THE UNIVERSITY PAID CERTAIN MEDICAL, DENTAL AND DISABILITY INSURANCE PREMIUMS ON THE PRESIDENT'S BEHALF, INCLUDING A TAX GROSS-UP ON THOSE AMOUNTS. THE TOTAL AMOUNT FOR PREMIUMS, FEES AND THE TAXES THEREON $29,754 IS SHOWN IN COLUMN (B)(III) AS OTHER REPORTABLE COMPENSATION. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT IS REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. THE PRESIDENT'S HOUSING HAS BEEN VALUED AT $363,130 AND IS REPORTED AS A NON-TAXABLE BENEFIT. THE UNIVERSITY ALSO PROVIDES A CAR AND DRIVER TO BE USED BY THE PRESIDENT IN CONNECTION WITH HIS DUTIES. THE PRESIDENT IS RESPONSIBLE FOR ANY PERSONAL USE OF THE HOUSEHOLD STAFF OR CAR AND DRIVER AND OTHER PERSONAL EXPENSES. PERSONAL SERVICES OTHER REPORTABLE COMPENSATION INCLUDES $3,704 IMPUTED TO DR. GOLDMAN WITH RESPECT TO PERSONAL USE OF A CAR AND DRIVER PROVIDED BY THE UNIVERSITY (SEE PART I, COLUMN (B)(III)). NOTE TO PART I, LINE 4A PROFESSOR DIRKS' COMPENSATION NICHOLAS B. DIRKS STEPPED DOWN AS EXECUTIVE VICE PRESIDENT FOR ARTS & SCIENCES ON DECEMBER 31, 2012 AND LEFT THE UNIVERSITY IN JUNE AT THE END OF THE 2012-13 ACADEMIC YEAR. THE AMOUNT SHOWN IN COLUMN (B) (III) AS "OTHER REPORTABLE COMPENSATION" REFLECTS PAYMENT OF ACCRUED BENEFITS AND LEAVE. NOTE TO PART I, LINE 4B CONSISTENT WITH THE 990 REPORTING REQUIREMENTS THE TOTAL COMPENSATION SHOWN PART II, COLUMN (E) INCLUDES SOME DOUBLE REPORTING. THE ACTUAL AMOUNT EARNED DURING THE CALENDAR YEAR REPORTING PERIOD WAS $3,018,123 (CALCULATED BY SUBTRACTING COLUMN F FROM COLUMN E). THE ADDITIONAL AMOUNT SHOWN IN COLUMN E INCLUDES PREVIOUSLY REPORTED DEFERRED COMPENSATION AND EARNINGS THEREON THAT WERE VESTED AND PAID DURING THE REPORTING PERIOD. DEFERRED COMPENSATION INCLUDES AMOUNTS FOR ACHIEVING PERFORMANCE MEASURES WHICH ARE SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICE TO THE UNIVERSITY. NOTE TO PART I, LINE 5A DR. DAVID SILVERS' COMPENSATION IS COMPRISED OF BASE COMPENSATION AND INCENTIVE COMPENSATION DETERMINED FROM HIS PERFORMANCE OF, AND REVENUES FROM, CLINICAL DUTIES IN THE UNIVERSITY'S DERMATOPATHOLOGY PRACTICE WHERE HE IS THE DIRECTOR, AND IS SUBJECT TO A CAP FOR EACH ACADEMIC YEAR. NOTE TO PART I, LINE 7 NOTE TO N.P. NARVEKAR AND PETER HOLLAND'S COMPENSATION THE UNIVERSITY HAS IMPLEMENTED A BONUS PROGRAM UNDER WHICH MR. NARVEKAR AND MR. HOLLAND ARE AWARDED PERFORMANCE-BASED BONUSES, A PORTION OF WHICH IS PAID CURRENTLY AND A PORTION OF WHICH IS SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICE WITH THE UNIVERSITY. BONUS AMOUNTS AWARDED AND DEFERRED FROM PREVIOUS PERIODS WITH EARNINGS THEREON PAID DURING THE CALENDAR YEAR REPORTING PERIOD ARE INCLUDED AS BONUS AND INCENTIVE COMPENSATION IN COLUMN B(II). AMOUNTS AWARDED DURING THE CALENDAR YEAR REPORTING PERIOD BUT SUBJECT TO VESTING ARE INCLUDED AS DEFERRED COMPENSATION IN COLUMN C. THIS AMOUNT IS ALSO INCLUDED IN COLUMN (E), PART II. THEREFORE, THE NUMBER IN COLUMN E REPRESENTS SOME DOUBLE REPORTING. THE ACTUAL AMOUNT EARNED DURING THE CALENDAR YEAR REPORTING PERIOD (CALCULATED BY SUBTRACTING COLUMN F FROM COLUMN E) IS $3,689,144 FOR MR. NARVEKAR AND $3,333,920 FOR MR. HOLLAND. NOTE TO PROVOST BRINKLEY'S COMPENSATION PROFESSOR BRINKLEY STEPPED DOWN AS PROVOST ON AUGUST 30, 2010. THE AMOUNT SHOWN REFLECTS COMPENSATION PAID TO HIM AS A CHAIRED PROFESSOR OF HISTORY. NOTE TO DR. GOLDMAN'S COMPENSATION THE UNIVERSITY HAS AGREED TO PROVIDE DR. GOLDMAN WITH SUPPLEMENTAL RETIREMENT INCOME BASED ON CUMULATIVE ANNUAL CREDITS INCLUDING AMOUNTS FOR ACHIEVING PERFORMANCE MEASURES, SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICES TO THE UNIVERSITY. CREDITS AWARDED FOR THE CALENDAR YEAR REPORTING PERIOD ($456,000) ARE INCLUDED AS DEFERRED COMPENSATION. NOTE TO KENNETH FORDE'S COMPENSATION KENNETH FORDE'S REPORTED COMPENSATION WAS PAID FROM A DEFERRED COMPENSATION AGREEMENT IN EFFECT WHEN DR. FORDE WAS A PROFESSOR OF SURGERY AT THE UNIVERSITY AND THE REPORTED NON-TAXABLE BENEFITS REFLECT BENEFITS FROM PARTICIPATION IN A RETIREE BENEFITS PLAN. DR. FORDE IS RETIRED FROM HIS UNIVERSITY POSITION AND RECEIVES NO COMPENSATION OR OTHER BENEFITS FOR HIS DUTIES AS A TRUSTEE. NOTE TO DR. MOSES', DR. SMITH'S, DR. STONE'S, & DR. LEON'S COMPENSATION. THE COMPENSATION OF DR. MOSES, DR. SMITH, DR. STONE, AND DR. LEON IS SUPPORTED BY THEIR CLINICAL ACTIVITIES, GRANTS, AND SUPPORT FROM THE UNIVERSITY'S HOSPITAL AFFILIATES. NOTE ON TRUSTEES TRUSTEES' TIME DEVOTED TO POSITION (3 HOURS PER WEEK) REPRESENTS AN AVERAGE FOR ALL TRUSTEES BASED ON ATTENDANCE AT QUARTERLY MEETINGS AND REGULARLY SCHEDULED TELEPHONIC CONFERENCES THROUGHOUT THE YEAR. BOARD OFFICERS, COMMITTEE CHAIRS AND OTHER TRUSTEES MAY DEVOTE SIGNIFICANTLY MORE TIME TO THE POSITION. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B 146000293 649901R49 2003-03-05 122696491 FUND NEW QUALIFIED PROJECTS true false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2004B&C 146000293 64983TZD8 2004-06-30 158627817 FUND NEW QUALIFIED PROJECTS true false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2006A 146000293 64983QUE7 2006-01-18 239661663 FUND NEW QUALIFIED PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A 146000293 64983QUE7 2012-06-07 174118498 REFUNDING AND FUNDING NEW PROJECTS false false false A 24665000 63120000 123718793 0 0 0 802880 0 0 122097219 818694 0 2004 false false true true B 40555000 61175000 159406375 0 0 0 1020611 0 0 157343063 1042701 0 2007 false false true true C 41140000 0 246367334 0 0 0 1516885 0 0 243286427 1564052 0 2009 false false true true D 0 0 174157898 0 0 0 738570 0 0 173344328 75000 0 false true false true A false true true true true true 0.00000 0.00000 0.00000 false false false true B false true true true true true 0.00000 0.00000 0.00000 false false false true C false true true true true true 0.00060 0.00170 0.00230 false false false true D false true true true true true 0.00000 0.00000 0.00000 false false false true A false false false true true false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true SCHEDULE K, PART II, LINE 3 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED ON SCHEDULE K, PART II, LINE 11 REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE WITH THE EXCEPTION OF THE 2012A BOND ISSUE. ------------------------------------------------------------- SCHEDULE K, PART II, LINE 13 YEAR OF SUBSTANTIAL COMPLETION, LINE 13, HAS BEEN LEFT BLANK FOR SERIES 2006B SINCE IT WAS A REFUNDING ISSUE AND, AS SUCH NO PROJECTS WERE ASSOCIATED WITH THAT BOND. ------------------------------------------------------------- SCHEDULE K, PART III, LINES 4-5 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2004B&C, SERIES 2011A AND SERIES 2012A ISSUES AND MINIMAL PRIVATE BUSINESS USE FOR THE REMAINING ISSUES ON SCHEDULE K. -------------------------------------------------------------- SCHEDULE K, PART I, COLUMN (G) COLUMN (G) OF PART I HAS BEEN ANSWERED YES FOR THE 2003A&B, 2004B&C, AND 2008A BOND ISSUES. THE 2003A AND 2004B BOND ISSUES WERE FULLY DEFEASED AND THE 2008A BOND ISSUE WAS PARTIALLY DEFEASED. -------------------------------------------------------------- SCHEDULE K, PART IV, LINE 2 THE LATEST ARBITRAGE COMPUTATION DATE FOR DASNY 2003A&B, 2004B&C, 2006A, 2006B, 2008A, 2009A, 2011A AND 2012A WAS DECEMBER 31, 2013. A DORMITORY AUTHORITY OF STATE OF NEW YORK 2006B 146000293 64983QUE7 2006-01-18 167228781 REFUND 1998A, 2000A & 2002B BONDS false false false B DORMITORY AUTHORITY OF STATE OF NEW YORK 2008A 146000293 649903ZN4 2008-04-23 293606826 FUND NEW QUALIFIED PROJECTS true false false C DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A 146000293 649905DF0 2009-05-14 117000000 FUND NEW QUALIFIED PROJECTS false false false D DORMITORY AUTHORITY OF STATE OF NEW YORK 2011A 146000293 649906AV6 2011-02-16 312102192 FUND NEW QUALIFIED PROJECTS false false false A 46840000 0 167228781 0 0 0 1095577 0 0 0 166133203 0 false true true true B 0 82715000 295785662 0 0 0 1641578 0 0 292178836 1965248 0 2009 false false true true C 0 0 117067254 0 0 0 823388 0 0 115269253 974613 0 2009 false false true true D 0 0 312258932 0 0 0 1678394 0 0 308005900 2574008 0 false false true true A 0.00000 0.00000 0.00000 B false true true true true true 0.00000 0.00840 0.00840 false false false true C false true true true true true 0.00000 0.01000 0.01000 false false false true D false true true true true true 0.00000 0.00000 0.00000 false false false true A false false false true false false 0 false 0 false true B false false false true false false 0 false 0 false true C false false false true true false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true JOHN COATSWORTH OFFICER HOUSING X 1475000 1732499 false true true DAVID MADIGAN OFFICER HOUSING X 400000 400000 false true true 2132499 EVANGELINE MORPHOS SPOUSE OF FORMER OFFICER 113623 EMPLOYMENT false JILL S GOLDMAN SPOUSE OF KEY EMPLOYEE 96969 EMPLOYMENT false GOLDMAN SACHS TRUSTEES ARE OFFICER/DIR 7350148 CONTRACTS, FEES & COMMISSIONS false GOLDMAN SACHS TRUSTEES ARE OFFICER/DIR 513853 DISTRIBUTIONS AND INTEREST false APPLE COMPUTER TRUSTEE IS DIRECTOR 2021667 PURCHASE OF GOODS false BAIN CAPITAL AFFILIATES TRUSTEE IS OFFICER/DIR 4927745 INVESTMENT FEES false BAIN CAPITAL AFFILIATES TRUSTEE IS OFFICER/DIR 59857970 INVESTMENT DISTRIBUTIONS false NOTES TO SCHEDULE L EXCEPT FOR THE AMOUNTS REPORTED ON LINES 5 AND 8, ALL AMOUNTS SHOWN ON SCHEDULE L REPRESENT PAYMENTS BY THE UNIVERSITY TO THE INTERESTED PERSON. THE SPOUSES OF KEY EMPLOYEES/OFFICERS LISTED IN SCHEDULE L WERE EMPLOYEES OF THE UNIVERSITY DURING THE REPORTING PERIOD. THEIR COMPENSATION REPORTED ON SCHEDULE L WAS DETERMINED IN ACCORDANCE WITH THE UNIVERSITY'S REGULAR COMPENSATION PRACTICES APPLICABLE TO SIMILARLY SITUATED EMPLOYEES. ALL OF THE BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS DESCRIBED IN SCHEDULE L, PART IV WERE CONDUCTED IN THE ORDINARY COURSE OF BUSINESS AND AT ARM'S LENGTH. NO UNIVERSITY OFFICIAL WHO WAS ALSO AN OFFICER OR DIRECTOR OF AN INTERESTED PERSON PARTICIPATED IN OR INFLUENCED THE UNIVERSITY'S DECISION ABOUT ANY TRANSACTION. SCHEDULE L, PART II THE LOAN REPORTED FOR JOHN COATSWORTH IN PART II IS INTEREST BEARING AND SECURED BY AN INTEREST IN A PRIMARY RESIDENCE. THE LOAN REPORTED FOR DAVID MADIGAN IN PART II IS INTEREST BEARING AND WAS MADE IN CONNECTION WITH A PRIMARY RESIDENCE. X 4 X 501 41510351 COST/SALES PRICE X 1 X 18 X EQUIPMENT 6 0 0 X TICKETS & GIFT CARDS 5 0 0 X BOOKS 3 0 0 X HOUSEHOLD GOODS 2 0 0 X SOFTWARE 5 0 0 X ARCHIVAL RECORDS 2 0 0 20 false true true DESCRIPTION OF CONTRIBUTED PROPERTY FOR WHICH REVENUES ARE NOT REPORTED SCHEDULE M, PART I LINE 33 UNDER FAS 116, CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. BECAUSE THE UNIVERSITY UTILIZES CONTRIBUTIONS OF ART AND HISTORICAL TREASURES IN FURTHERANCE OF PUBLIC SERVICE, THESE CONTRIBUTIONS ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. IN ADDITION, MINOR GIFTS, SUCH AS FOOD OR SUPPLIES, ARE CONSIDERED DE MINIMUS. SCHEDULE M, PART I, COLUMN (B) THE FIGURES IN COLUMN (B) REPRESENT THE NUMBER OF CONTRIBUTIONS RECEIVED. SUPPLEMENTAL DISCLOSURES FORM 990, PART I, LINE 4 AND PART VI, LINE 1B DETAIL REGARDING THE NUMBER OF INDEPENDENT VOTING MEMBERS THE UNIVERSITY'S PRESIDENT, A VOTING MEMBER OF THE BOARD, IS NOT COUNTED AS INDEPENDENT BECAUSE HE IS AN EMPLOYEE OF THE UNIVERSITY. IN ACCORDANCE WITH THE FORM 990 REPORTING INSTRUCTIONS, THE UNIVERSITY HAS ALSO NOT COUNTED AS INDEPENDENT FOR THE PURPOSES OF THIS QUESTION THE FOUR TRUSTEES WHO SERVE AS OFFICERS OR DIRECTORS OF ENTITIES LISTED AS INTERESTED PERSONS ON SCHEDULE L, NOR THE TRUSTEE LISTED ON SCHEDULE J WHO IS RETIRED FROM THE UNIVERSITY AND RECEIVED PREVIOUSLY-ACCRUED COMPENSATION DURING THE REPORTING PERIOD BASED UPON HIS PRIOR UNIVERSITY EMPLOYMENT. ------------------------------------------------------------- FORM 990, PART I, LINE 6 DETAIL REGARDING THE NUMBER OF VOLUNTEERS THE NUMBER SHOWN IS AN ESTIMATE OF ALUMNI VOLUNTEERS WHO WORK WITH THE UNIVERSITY'S CENTRAL ALUMNI OFFICE. ADDITIONAL VOLUNTEERS WORK IN MANY OF THE UNIVERSITY'S SCHOOLS, CENTERS AND OTHER PROGRAMS. ------------------------------------------------------------- FORM 990, PART V, LINE 4B FOREIGN COUNTRY LIST BANGLADESH BRAZIL CHILE CHINA CONGO ETHIOPIA FRANCE GERMANY INDIA ITALY COTE D'IVOIRE (IVORY COAST) JAPAN JORDAN KAZAKHSTAN KENYA KYRGYZSTAN LESOTHO MALAWI MALI MOZAMBIQUE NIGERIA RWANDA SENEGAL SOUTH AFRICA SOUTH SUDAN SWAZILAND TAJIKISTAN TANZANIA TURKEY UNITED KINGDOM (ENGLAND, NORTHERN IRELAND, SCOTLAND, AND WALES) UGANDA ZAMBIA ------------------------------------------------------------- FORM 990, PART V, LINES 7G AND 7H CONTRIBUTIONS OF CERTAIN TYPES OF PROPERTY DURING THE YEAR ENDED JUNE 30, 2014, THE UNIVERSITY DID NOT RECEIVE ANY CONTRIBUTIONS OF QUALIFIED INTELLECTUAL PROPERTY, CARS, BOATS, AIRPLANES, OR OTHER VEHICLES. AS A RESULT, THE UNIVERSITY WAS NOT REQUIRED TO FILE FORMS 8899 OR 1098-C TO REPORT SUCH CONTRIBUTIONS. ------------------------------------------------------------- FORM 990, PART VI, LINE 2 DETAIL OF FAMILY/BUSINESS RELATIONSHIPS ARMEN AVANESSIANS AND ESTA STECHER - BUSINESS RELATIONSHIP ANN KAPLAN AND ESTA STECHER - BUSINESS RELATIONSHIP ------------------------------------------------------------- FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW 990 A SUBCOMMITTEE COMPRISED OF MEMBERS OF TRUSTEES AUDIT COMMITTEE REVIEWED THE FORM 990. FOLLOWING THAT REVIEW, THE FORM 990 WAS MADE AVAILABLE TO ALL TRUSTEES VIA A SECURE WEBSITE AND THEN PRESENTED TO THE FULL BOARD OF TRUSTEES AT A MEETING ON MAY 7, 2015. CHANGES MADE SUBSEQUENT TO THE MAY 7, 2015 MEETING WERE REPORTED TO THE SUBCOMMITTEE, AND ALL TRUSTEES WERE NOTIFIED OF THE CHANGES VIA ELECTRONIC MAIL. THE REVISED FORM WAS POSTED ON THE SECURE WEBSITE FOR TRUSTEE REVIEW PRIOR TO FILING. ------------------------------------------------------------- FORM 990, PART VI, LINE 12C DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST ALL TRUSTEES ARE SUBJECT TO THE "STATEMENT OF CONFLICT OF INTEREST POLICY FOR THE TRUSTEES OF COLUMBIA UNIVERSITY." WHEN A TRUSTEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCES TO THE BOARD CHAIR OR OTHERS, AS APPROPRIATE, (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE TRUSTEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSIONS OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL TRUSTEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THE DISCLOSURES ARE REVIEWED FOR APPROPRIATE ACTION. ALL OFFICERS AND KEY EMPLOYEES ARE SUBJECT TO THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST." WHEN AN OFFICER OR KEY EMPLOYEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCE TO HIS OR HER SUPERVISOR, THE TRUSTEES OR OTHERS, AS APPROPRIATE; (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IMPROPERLY BENEFIT THE OFFICER OR EMPLOYEE OR A FAMILY MEMBER; AND (C) RECUSE HIM OR HERSELF FROM PARTICIPATION IN ANY DISCUSSION OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL OFFICERS AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THESE DISCLOSURES ARE REVIEWED AND ANY DISCLOSURES THAT COULD GIVE RISE TO CONFLICTS AS IDENTIFIED THROUGH SUCH REVIEW ARE REPORTED TO AN APPROPRIATE SENIOR OFFICER. ANY SUBSTANTIVE CONCERNS ARE ALSO REPORTED TO THE CHAIR OF THE BOARD OF TRUSTEES. ------------------------------------------------------------- FORM 990, PART VI, LINES 15A AND 15B COMPENSATION PROCESS THE UNIVERSITY FOLLOWS THE REVIEW PROCESS DESCRIBED BELOW FOR ALL OFFICERS AND KEY EMPLOYEES. THIS PROCESS HAS BEEN IN PLACE SINCE AT LEAST 2000. THE COMPENSATION FOR THE ORGANIZATION'S PRESIDENT IS REVIEWED BY A COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES AND APPROVED BY THE INDEPENDENT TRUSTEES ON THE FULL BOARD. THE COMPENSATION OF OTHER OFFICERS AND KEY EMPLOYEES IS REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES. IN CONNECTION WITH THE PRESIDENT'S COMPENSATION, THE COMPENSATION COMMITTEE AND THE BOARD REVIEW COMPARABILITY DATA AND MINUTES OF DELIBERATIONS ARE RECORDED CONTEMPORANEOUSLY WITH ANY ACTION. WITH RESPECT TO OTHER OFFICERS AND KEY EMPLOYEES, THE COMMITTEE FOLLOWS THE SAME PROCESS FOR REVIEW OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF ITS ACTIONS. IN THE CASE OF THE ORGANIZATION'S PRESIDENT AND CERTAIN OTHER OFFICERS AND KEY EMPLOYEES, THE COMPENSATION COMMITTEE HAS ALSO CONSULTED WITH INDEPENDENT COMPENSATION CONSULTANTS IN DETERMINING COMPENSATION. THE COMPENSATION OF THE PRESIDENT AND THE EXECUTIVE VICE PRESIDENT OF THE INVESTMENT MANAGEMENT COMPANY IS REVIEWED AND APPROVED BY A COMPENSATION COMMITTEE OF THE INVESTMENT MANAGEMENT COMPANY'S BOARD OF MANAGERS. SUCH COMPENSATION COMMITTEE IS COMPRISED OF INDEPENDENT MEMBERS OF THE BOARD MANAGERS. "INDEPENDENT TRUSTEE" OR "INDEPENDENT MEMBER" AS USED IN THIS FOOTNOTE MEANS WITHOUT A CONFLICT OF INTEREST WITHIN THE MEANING OF PARAGRAPH (c)(1)(iii) OF REGULATION 53.4958-6 OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE FORM 990 INSTRUCTIONS, PART VI, LINE 1B ABOVE USES A DIFFERENT DEFINITION. ------------------------------------------------------------- FORM 990, PART VI, QUESTION 19 DOCUMENTS AVAILABILITY TO PUBLIC THE ORGANIZATION'S CHARTER AND STATUTES, FINANCIAL STATEMENTS AND THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST" ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE AT WWW.COLUMBIA.EDU. ------------------------------------------------------------- FORM 990, PART VIII DETAIL REGARDING ROYALTY INCOME/EXPENSE THE UNIVERSITY PERIODICALLY FUNDS AND DEVELOPS PATENTS FOR CERTAIN TECHNOLOGIES, THEN LICENSES THE USAGE OF THESE PATENTS TO COMPANIES. THE REVENUE, NET OF PAYMENTS DUE TO THIRD PARTIES, IS RECORDED IN "REVENUE FROM OTHER EDUCATIONAL AND RESEARCH ACTIVITIES" IN THE CONSOLIDATED STATEMENT OF ACTIVITIES. COSTS INCURRED WITH DEVELOPING AND MAINTAINING THESE PATENTS ARE EXPENSED AS INCURRED SO THAT WHILE ROYALTIES ARE PAID TO FACULTY AND OTHERS IN CERTAIN CIRCUMSTANCES THESE AMOUNTS ARE NOT REFLECTED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART VIII, LINE 8 AND SCHEDULE G, PART II DESCRIPTION OF ACCOUNTING FOR FUNDRAISING EVENTS AMOUNTS REPORTED FOR FUNDRAISING EVENTS REPRESENT REVENUE AND EXPENSES THAT ARE SEPARATELY TRACKED. THE REVENUE AND EXPENSES FROM ADDITIONAL FUNDRAISING ACTIVITIES ARE NOT SEPARATELY TRACKED AND ARE INCLUDED WITHIN CONTRIBUTION REVENUE AND FUNDRAISING EXPENSES. ------------------------------------------------------------- FORM 990, PART IX, LINE 5 COMPENSATION PAID TO CURRENT OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES THE COMPENSATION PAID TO CURRENT OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES IS PRESENTED AS FULLY ALLOCATED TO MANAGEMENT AND GENERAL. WHILE COLUMBIA'S OFFICERS AND KEY EMPLOYEES SPEND A PORTION OF THEIR TIME ON PROGRAMMATIC ACTIVITIES IN ADDITION TO THEIR MANAGEMENT RESPONSIBILITIES, THE UNIVERSITY HAS CHOSEN NOT TO ALLOCATE THE EXPENSES BETWEEN CATEGORIES GIVEN THE DIFFICULTY IN DOING SO. ------------------------------------------------------------- FORM 990, PART IX, LINE 11F INVESTMENT MANAGEMENT FEES THE INVESTMENT MANAGEMENT FEES REPORTED ON THE STATEMENT OF FUNCTIONAL EXPENSES REPRESENT FEES TO THIRD PARTY INVESTMENT MANAGERS AND INCLUDE MANAGEMENT FEE AND PERFORMANCE FEE EXPENSES ASSOCIATED WITH SEPARATELY MANAGED ACCOUNTS. INVESTMENT MANAGEMENT FEES ASSOCIATED WITH FUND INVESTMENTS ARE REPORTED NET AGAINST INVESTMENT INCOME AND THEREFORE ARE NOT INCLUDED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART IX FUNCTIONAL EXPENSES FORM 990, PART IX FUNCTIONAL EXPENSE TOTALS REFLECT THE ELIMINATION OF DEPARTMENTAL OVERHEAD RECOVERIES INCURRED BY PROGRAMMATIC BUSINESS UNITS. THE MAJORITY OF RECOVERED EXPENSES ARE SHOWN IN LINE 24F, OTHER EXPENSES. ------------------------------------------------------------- FORM 990, PART X, LINE 7 LOANS RECEIVABLE FROM STUDENTS TOTAL $101,327,000. LOANS RECEIVABLE FROM NON-KEY EMPLOYEES TOTAL $20,023,853. THE LOANS FROM NON-KEY EMPLOYEES HAVE VARIOUS INTEREST RATES RANGING FROM 1.81% TO 6.18%, WITH MATURITY DATES RANGING FROM 2014 THROUGH 2042. THE OUTSTANDING BALANCES RANGE FROM $24,000 TO $2,679,055 AND A PORTION OF WHICH ARE SECURED BY A PRINCIPAL RESIDENCE. LOANS RECEIVABLE FROM OTHER 501(C)(3) ORGANIZATIONS TOTAL $1,155,085. ------------------------------------------------------------------------ FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCE CHANGE IN FUNDS HELD BY OTHER IN PERPETUITY 24,230,303 PRESENT VALUE ADJUSTMENT TO SPLIT INTEREST AGREEMENTS (2,311,507) CHANGES IN PENSION AND POST-RETIREMENT OBLIGATIONS 30,328,149 OTHER NON-OPERATING ACTIVITIES 137 -------------- TOTAL OTHER CHANGES IN NET ASSETS 52,247,082 ------------------------------------------------------------------------ FORM 990, PART XII, LINE 2 AUDIT OF THE UNIVERSITY'S FINANCIAL STATEMENTS THE CONSOLIDATED FINANCIAL STATEMENTS OF THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK ARE AUDITED BY PRICEWATERHOUSECOOPERS, AN INDEPENDENT AUDITOR. THE UNCONSOLIDATED FINANCIAL STATEMENTS REFLECTED IN THIS RETURN REPRESENT APPROXIMATELY 99% OF THE NET ASSETS OF THE CONSOLIDATED GROUP. THE UNIVERSITY'S BOARD OF TRUSTEES HAS AN AUDIT COMMITTEE, COMPRISED OF NON-EMPLOYEE TRUSTEES, WHICH IS RESPONSIBLE FOR OVERSIGHT OF THE AUDIT, REVIEW, AND COMPILATION OF THE FINANCIAL STATEMENTS AND SELECTION OF THE INDEPENDENT AUDITOR. ----------------------------------------------------------------------- COLUMBIA INVESTMENT MGT COMPANY LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 135598093 INVEST MGMT NY 0 0 COLUMBIA CIM I LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901851 INVEST HOLDNG DE 0 486737169 COLUMBIA CIM II LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901854 INVEST HOLDNG DE 0 0 COLUMBIA CIM III LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901855 INVEST HOLDNG DE 0 0 COLUMBIA CIM IV LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901856 INVEST HOLDNG DE 0 0 COLUMBIA CIM V LLC 615 WEST 131ST STREET MC8741 NEW YORK NY 10027 133901861 INVEST HOLDNG DE 0 33012220 COLUMBIA CONQUEST MANAGED FUTURES SELECT FUND II 540 MADISON AVENUE 20TH 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TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM I, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED AS REPORTED IN SCHEDULE R, PART IV. THE SHARES OWNED BY CIM I ARE NON-VOTING SHARES. --------------------------------------------------------------------- SCHEDULE R, PART I, COLUMNS (D) AND (E) INCOME AND ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM V, LLC, WHICH IS THE SOLE MEMBER OF CONQUEST MANAGED FUTURES SELECT FUND II, LLC. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM V, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CONQUEST MANAGED FUTURES SELECT FUND II, LLC, AS REPORTED IN SCHEDULE R, PART I. --------------------------------------------------------------------- SCHEDULE R, PART IV CONSISTENT WITH GAAP, THE UNIVERSITY DOES NOT CONSOLIDATE THE ENTITIES LISTED IN PART IV SCHEDULE R WHICH HAVE INVESTMENTS AS THEIR PRIMARY PURPOSE. THIS IS BECAUSE THE UNIVERSITY DOES NOT HAVE SUFFICIENT VOTING POWER WITH RESPECT TO THESE ENTITIES TO SATISFY THE CONTROL TEST FOR CONSOLIDATION UNDER GAAP. THE AMOUNTS SHOWN IN SCHEDULE R, PART IV, COLUMN (G) REFLECT THE UNIVERSITY'S SHARE OF THE NET ASSETS OF THESE ENTITIES FOR THE FISCAL YEAR REPORTING PERIOD WHICH, CONSISTENT WITH GAAP, IS REFLECTED ON LINE 16 OF THE BALANCE SHEET IN PART X OF THIS FORM 990. SIMILARLY, THE UNIVERSITY'S SHARE OF ANY CURRENT INCOME AND REALIZED GAINS FROM THESE ENTITIES IS REFLECTED IN COLUMN (F) OF SCHEDULE R, PART IV AND ON THE STATEMENT OF REVENUE IN PART VIII. THESE ENTITIES EACH OPERATE ON A CALENDAR-YEAR BASIS, AND THE UNIVERSITY'S SHARE OF THE GROSS INCOME AND TOTAL ASSETS FOR EACH OF THESE ENTITIES FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2013 IS SET FORTH BELOW: ASM HUDSON RIVER FUND SHARE OF TOTAL (GROSS) INCOME: $7,751,005 SHARE OF END-OF-YEAR (GROSS) ASSETS: $153,078,089 CALUNIUS LITIGATION RISK FUND LP SHARE OF TOTAL (GROSS) INCOME: $(612,253) SHARE OF END-OF-YEAR (GROSS) ASSETS: $26,971,628 COLUMBIA/PATRON SCOTLAND LP SHARE OF TOTAL (GROSS) LOSS: $(611,750) SHARE OF END-OF-YEAR (GROSS) ASSETS: $4,684,573 FPCM INFLATION-LINKED OPPORTUNITIES FUND, LTD SHARE OF TOTAL (GROSS) INCOME: $98,506,922 SHARE OF END-OF-YEAR (GROSS) ASSETS: $ 1,550,296,519 HARBOUR LITIGATION INVESTMENT OFFSHORE FUND SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $15,763,372 NCH INVESTORS FUND (CU) CORP SHARE OF TOTAL (GROSS) LOSS: $81,870 SHARE OF END-OF-YEAR (GROSS) ASSETS: $2,170,929 CALUNIUS LITIGATION RISK FUND 2 LP SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $0 HARBOUR OFFSHORE FUND II LP SHARE OF TOTAL (GROSS) LOSS: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $10,101,739 --------------------------------------------------------------------- SCHEDULE R, PART IV AS OF JUNE 30, 2014, THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK HELD MORE THAN A 50% BENEFICIAL INTEREST IN 53 CHARITABLE REMAINDER TRUSTS DOMICILED IN NEW YORK AND 3 POOLED INCOME FUNDS DOMICILED IN NEW YORK.