2015-05-15T15:00:26-05:00 2014-06-30 990 2013-07-01 060646973 YALE UNIVERSITY YALE 2034325530 PO BOX 208239 NEW HAVEN CT 065208239 SHAUNA R KING VP FINANCE & BUS OPERATIONS 2034321096 2015-05-12 2013 2016-04-25 22:37:26Z PETER SALOVEY PO BOX 208229 NEW HAVEN CT 065208229 8179206822 0 X WWW.YALE.EDU X 1701 CT TO CREATE, PRESERVE, AND DISSEMINATE KNOWLEDGE 18 14 27983 7800 -31618172 -38851493 846509395 878354797 1347807723 1463978643 1425586657 2061253109 68567410 74047019 3688471185 4477633568 393953304 400582698 0 0 1900267485 1954127182 0 0 39912185 1024201482 1068907359 3318422271 3423617239 370048914 1054016329 28911175542 32031841267 6973893909 6911189027 21937281633 25120652240 X SEE SCHEDULE O 0 0 1508872033 3292839 1237604822 INSTRUCTION: THE PROGRAM SERVICE COSTS INCLUDE SALARIES, FRINGE BENEFITS AND SUPPLIES OF TEACHING APPROXIMATELY 12,100 STUDENTS INCLUDING 5,409 UNDERGRADUATES, 2,860 GRADUATE STUDENTS AND 3,819 PROFESSIONAL SCHOOL STUDENTS. A FACULTY OF MORE THAN 4,100 TEACH AND ADMINISTER PROGRAMS ACROSS A RANGE OF DISCIPLINES IN THE SCIENCES AND ENGINEERING, THE SOCIAL SCIENCES, THE HUMANITIES, AND THE VARIOUS LEARNED PROFESSIONS. MORE THAN 80 MAJORS ARE AVAILABLE IN THE UNDERGRADUATE COLLEGE AND MORE THAN 35 DIFFERENT DEGREE PROGRAMS ARE OFFERED BY THE UNIVERSITY. -- CONTINUED ON SCHEDULE O.IN ADDITION TO THE GRADUATE SCHOOL OF ARTS AND SCIENCES, THE UNIVERSITY HAS PROFESSIONAL SCHOOLS INCLUDING ARCHITECTURE, ART, DIVINITY, DRAMA, ENGINEERING AND APPLIED SCIENCE, FORESTRY AND ENVIRONMENTAL STUDIES, LAW, MANAGEMENT, MEDICINE, MUSIC, NURSING AND PUBLIC HEALTH. 481848000 48672260 64120995 RESEARCH: THE UNIVERSITY ENGAGES IN EXTENSIVE RESEARCH IN MEDICINE, THE PHYSICAL SCIENCES, THE SOCIAL SCIENCES AND HUMANITIES. THE UNIVERSITY'S RESEARCH ACTIVITIES ARE AIMED AT THE ADVANCEMENT OF KNOWLEDGE AS WELL AS TRAINING STUDENTS IN THE RESEARCH PROCESS. INCLUDED AMONG THE UNIVERSITY'S OUTSTANDING RESEARCH FACILITIES ARE LABORATORIES AND OTHER FACILITIES DEVOTED TO RESEARCH IN GEOLOGY, CHEMISTRY, BIOLOGY, ENGINEERING AND APPLIED SCIENCE, ANTHROPOLOGY, PALEONTOLOGY, MOLECULAR AND STRUCTURAL BIOLOGY, NUCLEAR STRUCTURE, CHILD DEVELOPMENT, SOCIAL POLICY, BIOSPHERIC STUDIES AND NUMEROUS BIOMEDICAL SCIENCES, TO NAME BUT A FEW. 650981066 347006663 75712884 STUDENT FINANCIAL AID AND SERVICES: YALE COLLEGE ADMITS STUDENTS FOR THEIR ACADEMIC AND PERSONAL PROMISE WITHOUT REGARD TO THEIR ABILITY TO PAY. YALE IS COMMITTED TO A NEED-BLIND ADMISSIONS POLICY AND MEETS 100% OF DEMONSTRATED NEED FOR ALL STUDENTS REGARDLESS OF CITIZENSHIP. BY COMMITTING TO AN ADMISSIONS POLICY THAT DOES NOT CONSIDER A STUDENT'S ABILITY TO PAY, AND BY MEETING THE FULL FINANCIAL NEED OF ALL ADMITTED STUDENTS (WITH NO LOANS REQUIRED), YALE ENSURES THAT IT IS ACCESSIBLE TO THE MOST TALENTED STUDENTS FROM AROUND THE WORLD, REGARDLESS OF THEIR FAMILY'S INCOME. WITH THIS POLICY, YALE STRIVES TO CREATE A LEARNING ENVIRONMENT THAT INCORPORATES THE WIDEST POSSIBLE RANGE OF STUDENT BACKGROUNDS. -- CONTINUED ON SCHEDULE O.IN FY2014, 2,847 OR 53%, OF UNDERGRADUATES RECEIVED NEED-BASED SCHOLARSHIPS OR GRANTS FROM YALE SOURCES OF $41,780 ON AVERAGE. YALE'S GRADUATE AND PROFESSIONAL SCHOOLS ALSO PROVIDE FINANCIAL AID TO THEIR STUDENTS, RANGING FROM THE MERIT-BASED FUNDING FOR PHD STUDENTS TO THE NEED-BASED AID OFFERED AT THE LAW AND MEDICAL SCHOOLS. ALL OF YALE'S GRADUATE AND PROFESSIONAL SCHOOLS PROVIDE FINANCIAL AID TO THEIR STUDENTS BASED ON THEIR INDIVIDUAL POLICIES AND PROCEDURES. THIS CATEGORY OF EXPENDITURES ALSO INCLUDES: THE OPERATION OF DINING HALLS THAT PROVIDED 2,781,861 MEALS TO STUDENTS, FACULTY AND STAFF; MAINTENANCE OF DORMITORIES HOUSING 4,715 UNDERGRADUATES AND 998 GRADUATE AND PROFESSIONAL SCHOOL STUDENTS; OPERATION AND MAINTENANCE OF ATHLETIC FACILITIES, FOR THE 35 INTERCOLLEGIATE SPORTS, OVER 35 INTRAMURAL SPORTS AND 50 CLUB SPORT TEAMS OFFERED AT YALE AS WELL AS MORE THAN 75 SECTIONS OF PHYSICAL EDUCATION INSTRUCTION, PARKING FACILITIES, LAUNDRY FACILITIES, STUDENT CENTERS AND OTHER FACILITIES AND PROGRAMS (INCLUDING EXTRACURRICULAR ACTIVITIES AND STUDENT HEALTH SERVICES) THAT PROVIDE SUPPORT, SERVICES AND ACADEMIC/CULTURAL ENRICHMENT TO THE UNIVERSITY'S STUDENTS.FORM 990, PART III, LINE 4D, OTHER PROGRAM SERVICES:OTHER PROGRAM SERVICES INCLUDE ACADEMIC SUPPORT, PUBLIC SERVICE AND OTHER INSTITUTIONAL SUPPORT. 422282059 1610936 116656626 422282059 1610936 116656626 3063983158 1 1 0 1 0 1 0 1 1 1 1 1 0 0 1 0 0 1 1 1 1 1 1 0 1 0 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 1 0 0 1 1 1 1 0 0 1 X 24731 0 1 27983 1 1 1 1 AS CA CJ CH HK IN EI JE LU MY MP MJ NL PL SN SZ UK JA IM 0 0 0 1 1 0 0 0 1 0 0 0 0 X 18 14 0 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 X SHAUNA R KING VP FINANCE BUS O 2034321096 25 SCIENCE PARK 150 MUNSON STREET NEW HAVEN CT 06511 X PETER SALOVEY TRUSTEE AND PRESIDENT 50.00 2.20 X X 760974 0 40046 BYRON G AUGUSTE TRUSTEE 5.00 0.00 X 0 0 0 JOSHUA BEKENSTEIN TRUSTEE 5.00 0.00 X 0 0 0 JEFFREY L BEWKES TRUSTEE 5.00 0.00 X 0 0 0 MAUREEN C CHIQUET TRUSTEE 5.00 0.00 X 0 0 0 FRANCISCO G CIGARROA TRUSTEE 5.00 0.00 X 0 0 0 PETER B DERVAN TRUSTEE 5.00 0.00 X 0 0 0 DONNA L DUBINSKY TRUSTEE 5.00 0.00 X 0 0 0 CHARLES W GOODYEAR IV TRUSTEE 5.00 0.00 X 0 0 0 CATHARINE B HILL TRUSTEE 5.00 0.00 X 0 0 0 PAUL L JOSKOW TRUSTEE 5.00 0.00 X 0 0 0 NEAL L KENY-GUYER TRUSTEE 5.00 0.00 X 0 0 0 DANNEL P MALLOY TRUSTEE (EX-OFFICIO) 0.00 0.00 X 0 0 0 MARGARET H MARSHALL TRUSTEE 5.00 0.00 X 0 0 0 INDRA NOOYI TRUSTEE 5.00 0.00 X 0 0 0 E JOHN RICE JR TRUSTEE 5.00 0.00 X 0 0 0 KEVIN P RYAN TRUSTEE 5.00 0.00 X 0 0 0 DOUGLAS A WARNER III TRUSTEE 5.00 0.00 X 0 0 0 NANCY WYMAN TRUSTEE (EX-OFFICIO) 0.00 0.00 X 0 0 0 BRUCE D ALEXANDER VP FOR NEW HAVEN & STATE AFFAIRS 50.00 0.00 X 533018 0 40685 KIMBERLY M GOFF-CREWS SECRETARY AND VP FOR STUDENT LIFE 50.00 1.00 X 369411 0 42782 SHAUNA R KING VP FOR FINANCE & BUSINESS OPERATIONS 50.00 1.20 X 559569 0 44527 LINDA K LORIMER VP FOR GLOBAL & STRAT. INITIATIVES 50.00 1.80 X 577100 0 46357 JOAN E O'NEILL VP FOR DEVELOPMENT 50.00 0.40 X 440369 0 79787 MICHAEL A PEEL VP FOR HR & ADMINISTRATION 50.00 0.00 X 549823 0 48803 BENJAMIN POLAK PROVOST 50.00 0.20 X 531112 0 41191 DOROTHY K ROBINSON VP & GENERAL COUNSEL 50.00 0.20 X 545625 0 38784 ROBERT J ALPERN DEAN SCHOOL OF MEDICINE 50.00 0.00 X 820205 0 32096 JOHN H BOLLIER AVP FOR FACILITIES 50.00 0.00 X 355920 0 65720 RICHARD C LEVIN PRESIDENT EMERITUS 50.00 0.00 X 1103147 0 45860 RICHARD C LEVIN PRESIDENT EMERITUS 50.00 0.00 X 8503714 0 0 SCOTT A STROBEL VP WEST CAMPUS PLANNING 50.00 0.00 X 379284 0 53032 DAVID F SWENSEN CHIEF INVESTMENT OFFICER 50.00 3.40 X 3075883 0 492734 DEAN J TAKAHASHI SR DIRECTOR INVESTMENTS 50.00 2.00 X 2303566 0 234656 KHALID M ABBED CHIEF, YALE SPINE INSTITUTE 50.00 0.00 X 1144268 0 58176 ANAMIKA KATOCH CLINICIAN, CANCER CENTER 50.00 0.00 X 1145863 0 33457 DAVID J LEFFELL PROFESSOR OF DERMATOLOGY 50.00 0.00 X 1422872 0 74268 THOMAS J RUTHERFORD PROFESSOR, OB/GYN 50.00 0.00 X 1495557 0 39837 TIMOTHY SULLIVAN DIRECTOR INVESTMENTS 50.00 0.00 X 1064447 0 452820 MICHAEL J DONOGHUE FORMER VP WEST CAMPUS PLANNING 50.00 0.00 X 253910 0 51513 27935637 0 2057131 3131 1 1 0 DIMEO CONSTRUCTION CO 75 CHAPMAN STREET PROVIDENCE RI 02905 CONSTRUCTION & RELATED SERVICES 92360333 THE WHITING-TURNER CONTRACTING COMPANY 300 EAST JOPPA ROAD BALTIMORE MD 21286 CONSTRUCTION & RELATED SERVICES 40483317 STANDARD BUILDERS INC 52 HOLMES ROAD NEWINGTON CT 06111 CONSTRUCTION & RELATED SERVICES 35954328 TURNER CONSTRUCTION COMPANY 50 WATERVIEW DRIVE SHELTON CT 06484 CONSTRUCTION & RELATED SERVICES 15366435 SHAWMUT WOODWORKING & SUPPLY INC 560 HARRISON AVENUE BOSTON MA 02118 CONSTRUCTION & RELATED SERVICES 14905186 431 109773 332273 244982 456751527 420916242 58882972 878354797 MEDICAL SERVICE INCOME 541900 699527574 697068381 2459193 STUDENT INCOME 611310 541348009 541348009 CONTRACT INCOME-GOV'T 541700 87404168 87404168 CONTRACT INC-NON-GOV'T 541700 51618143 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YALE UNIVERSITY FINANCIAL STATEMENTS - COLLECTIONS FOOTNOTE: COLLECTIONS AT YALE INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S MUSEUMS AND LIBRARIES. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH AND THE FURTHERANCE OF PUBLIC SERVICE. COLLECTIONS ARE NOT CAPITALIZED; PURCHASES OF COLLECTION ITEMS ARE RECORDED AS OPERATING EXPENSES IN THE UNIVERSITY'S CONSOLIDATED FINANCIAL STATEMENTS IN THE PERIOD IN WHICH THE ITEMS ARE ACQUIRED. PART III, LINE 4: TEACHING AND RESEARCH ARE SUPPORTED BY THE UNIVERSITY'S EXTENSIVE COLLECTIONS-THE YALE UNIVERSITY ART GALLERY, THE YALE CENTER FOR BRITISH ART, THE PEABODY MUSEUM OF NATURAL HISTORY, AND THE COLLECTION OF MUSICAL INSTRUMENTS. ALL THE COLLECTIONS ARE OPEN TO THE PUBLIC. THE YALE UNIVERSITY ART GALLERY: THE YALE UNIVERSITY ART GALLERY, FOUNDED IN 1832, HOUSES A COLLECTION THAT RANKS WITH THOSE OF THE MAJOR PUBLIC ART MUSEUMS IN THE UNITED STATES. ITS BUILDINGS HOUSE ANCIENT, MEDIEVAL, AND RENAISSANCE ART, NEAR AND FAR EASTERN ART, ARCHAEOLOGICAL MATERIAL, PRE-COLUMBIAN AND AFRICAN ART, WORKS OF EUROPEAN AND AMERICAN MASTERS FROM VIRTUALLY EVERY PERIOD, AND A RICH COLLECTION OF MODERN ART. THE MISSION OF THE YALE UNIVERSITY ART GALLERY IS TO ENCOURAGE APPRECIATION AND UNDERSTANDING OF ART AND ITS ROLE IN SOCIETY THROUGH DIRECT ENGAGEMENT WITH ORIGINAL WORKS OF ART. THE GALLERY STIMULATES ACTIVE LEARNING ABOUT ART AND THE CREATIVE PROCESS THROUGH RESEARCH, TEACHING, AND DIALOGUE AMONG COMMUNITIES OF YALE STUDENTS, FACULTY, ARTISTS, SCHOLARS, ALUMNI, AND THE WIDER PUBLIC. THE GALLERY ORGANIZES EXHIBITIONS AND EDUCATIONAL PROGRAMS TO OFFER ENJOYMENT AND ENCOURAGE INQUIRY, WHILE BUILDING AND MAINTAINING ITS COLLECTIONS IN TRUST FOR FUTURE GENERATIONS. THE YALE CENTER FOR BRITISH ART: THE YALE CENTER FOR BRITISH ART IS A PUBLIC ART MUSEUM AND RESEARCH INSTITUTE FOR THE STUDY OF BRITISH ART AND CULTURE. THE YALE CENTER FOR BRITISH ART, WHICH OPENED IN 1977, HOUSES THE LARGEST COLLECTION OF BRITISH ART OUTSIDE THE UNITED KINGDOM. THE COLLECTION OF PAINTINGS, SCULPTURE, PRINTS, DRAWINGS, RARE BOOKS, AND MANUSCRIPTS REFLECTS THE DEVELOPMENT OF BRITISH ART AND LIFE FROM THE ELIZABETHAN PERIOD ONWARD. THE CENTER OFFERS A YEAR-ROUND SCHEDULE OF EXHIBITIONS AND PROGRAMS, INCLUDING FILMS, CONCERTS, LECTURES, TOURS, AND SPECIAL EVENTS. THE YALE CENTER FOR BRITISH ART OVERSEES AN ACTIVE RESEARCH PROGRAM THROUGH WHICH IT PROMOTES AND FOSTERS THE SCHOLARSHIP OF ALL ASPECTS OF BRITISH ART AND MATERIAL CULTURE. ACADEMIC RESOURCES OF THE CENTER INCLUDE THE REFERENCE LIBRARY AND ARCHIVE, CONSERVATION LABORATORIES, A STUDY ROOM FOR EXAMINING WORKS ON PAPER AS WELL AS RARE BOOKS AND MANUSCRIPTS FROM THE COLLECTION, AND AN ONLINE CATALOGUE OF THE COLLECTIONS. PEABODY MUSEUM: YALE'S PEABODY MUSEUM OF NATURAL HISTORY, FOUNDED IN 1866, CONTAINS ONE OF THE GREAT SCIENTIFIC COLLECTIONS IN NORTH AMERICA (NUMBERING OVER 13 MILLION SPECIMENS). AMONG ITS HOLDINGS ARE THE UNIVERSITY'S COMPREHENSIVE MINERALOGICAL AND ORNITHOLOGICAL COLLECTIONS, THE SECOND-LARGEST REPOSITORY OF DINOSAUR ARTIFACTS IN THE UNITED STATES, AND THE LARGEST INTACT APATOSAURUS (BRONTOSAURUS) IN THE WORLD. THE PEABODY IS A WORKING MUSEUM, WHERE PUBLIC EXHIBITION, RESEARCH, CONSERVATION, TEACHING, AND LEARNING INTERSECT. ITS MISSION IS TO SERVE THE UNIVERSITY BY ADVANCING THE UNDERSTANDING OF EARTH'S HISTORY THROUGH GEOLOGICAL, BIOLOGICAL, AND ANTHROPOLOGICAL RESEARCH, AND BY COMMUNICATING THE RESULTS OF THIS RESEARCH TO THE WIDEST POSSIBLE AUDIENCE THROUGH PUBLICATION, EXHIBITION, AND EDUCATIONAL PROGRAMS. FUNDAMENTAL TO THIS MISSION IS STEWARDSHIP OF THE MUSEUM'S RICH COLLECTIONS, WHICH PROVIDE A REMARKABLE RECORD OF THE HISTORY OF THE EARTH, ITS LIFE, AND ITS CULTURES. CONSERVATION, AUGMENTATION AND USE OF THESE COLLECTIONS ARE INCREASINGLY URGENT AS MODERN THREATS TO THE DIVERSITY OF LIFE AND CULTURE CONTINUE TO INTENSIFY. THE COLLECTIONS OF THE YALE PEABODY MUSEUM OF NATURAL HISTORY PROVIDE MATERIAL SUPPORT FOR UNDERGRADUATE RESEARCH AT YALE UNIVERSITY. THE MUSEUM'S CURATORIAL DIVISIONS MAINTAIN TEACHING COLLECTIONS FOR USE IN A WIDE RANGE OF UNDERGRADUATE CLASSROOM AND LABORATORY COURSES, FROM FORENSIC ANTHROPOLOGY TO EVOLUTIONARY BIOLOGY. THESE COLLECTIONS ARE ACTIVELY USED FOR SENIOR THESIS RESEARCH. IN ADDITION, EACH YEAR THE YALE PEABODY MUSEUM PROVIDES EDUCATIONAL PROGRAMS ON BIOLOGY, PALEONTOLOGY, GEOLOGY, ANCIENT CIVILIZATIONS, SOCIAL STUDIES AND ART TO MORE THAN 25,000 VISITORS FROM THROUGHOUT THE NORTHEAST, INCLUDING ELEMENTARY THROUGH COLLEGE STUDENTS AND OTHER PRIVATE AND COMMUNITY-BASED GROUPS. ALL PROGRAMS DRAW ON THE MUSEUM'S EXHIBITS TO MEET THE INCREASINGLY SOPHISTICATED NEEDS OF SCIENCE AND SOCIAL STUDIES EDUCATION AND MOST CAN BE ADAPTED TO ACCOMMODATE SPECIFIC GROUP NEEDS AS REQUESTED. THE MUSEUM'S COLLECTIONS ARE AVAILABLE TO LEGITIMATE RESEARCHERS AT ESTABLISHED INSTITUTIONS FOR SCHOLARLY USE. COLLECTION OF MUSICAL INSTRUMENTS: ESTABLISHED IN 1900, THE COLLECTION TODAY COMPRISES NEARLY ONE THOUSAND INSTRUMENTS, THE MAJORITY DOCUMENTING THE HISTORY OF WESTERN ART MUSIC. IT IS COMMITTED TO FOSTERING THE UNDERSTANDING AND APPRECIATION OF MUSICAL INSTRUMENTS FROM ALL CULTURES AND PERIODS. ONE OF THE FOREMOST INSTITUTIONS OF ITS KIND, THE COLLECTION ACQUIRES, PRESERVES, AND EXHIBITS MUSICAL INSTRUMENTS FROM ANTIQUITY TO THE PRESENT, FEATURING RESTORED EXAMPLES IN DEMONSTRATION AND LIVE PERFORMANCE. IT PROVIDES ACCESS TO AND DISSEMINATES INFORMATION ABOUT ITS HOLDINGS TO YALE STUDENTS, FACULTY, AND STAFF; TO SCHOLARS, MUSICIANS, AND INSTRUMENT MAKERS; AND TO THE BROADER PUBLIC. AN IMPORTANT RESOURCE FOR THE MUSIC CURRICULA OF THE UNIVERSITY, THE COLLECTION SERVES AS A LABORATORY FOR COURSES IN THE HISTORY OF MUSICAL INSTRUMENTS AND AS A SUPPLEMENTAL ARCHIVE FOR COURSES TAUGHT IN THE ARTS AND SCIENCES. THE COLLECTION MAINTAINS REGULAR PUBLIC VISITING HOURS, MOUNTS EXHIBITS, AND PRESENTS AN ANNUAL SERIES OF CONCERTS. LECTURES, TOURS, AND SPECIAL CONCERTS ARE OFFERED THROUGHOUT THE YEAR. EXHIBITIONS ARE ALSO FREQUENTLY MOUNTED AT THE FOLLOWING VENUES ON CAMPUS: ART & ARCHITECTURE GALLERY (SCHOOL OF ARCHITECTURE), BEINECKE RARE BOOK AND MANUSCRIPT LIBRARY, GREEN HALL GALLERY (SCHOOL OF ART), AND STERLING MEMORIAL LIBRARY, AS WELL AS AT OTHER NON-YALE LOCATIONS AND INSTITUTIONS THROUGH UNIVERSITY LOAN OR EXCHANGE PROGRAMS. YALE UNIVERSITY LIBRARY: IN ADDITION TO ITS MUSEUMS, THE YALE UNIVERSITY LIBRARY SUPPORTS AND ENHANCES RESEARCH, TEACHING, AND LEARNING AT YALE AND FOR THE WORLD-WIDE SCHOLARLY COMMUNITY THROUGH ITS EXPERTISE, COLLECTIONS, FACILITIES AND SERVICES. THE COLLECTION OF NEARLY 15 MILLION PRINT AND ELECTRONIC VOLUMES IS HOUSED IN 15 LIBRARIES, INCLUDING STERLING MEMORIAL, BEINECKE, AND BASS LIBRARIES, THE CENTER FOR SCIENCE AND SOCIAL SCIENCE INFORMATION, AS WELL AS MANY OTHER SCHOOL AND DEPARTMENTAL LIBRARIES. COLLECTIONS RANGE FROM ANCIENT PAPYRI AND EARLY PRINTED BOOKS TO DIGITAL COLLECTIONS AND ELECTRONIC DATABASES; AND THEY TRANSCEND A WIDE ARRAY OF FORMATS INCLUDING TEXT, PHOTOGRAPHS, VIDEO, AUDIO, DATA, MAPS, AND EPHEMERA. IN BUILDING THE COLLECTIONS OVER THE LAST THREE CENTURIES, YALE MADE A STEWARDSHIP COMMITMENT TO ASSIST IN THE PRESERVATION OF HUMAN KNOWLEDGE. THE LIBRARY ALSO HAS A RESPONSIBILITY TO BRING DIGITAL RESOURCES TO THE YALE COMMUNITY AND TO ADDRESS THE CHALLENGES OF DIGITAL PRESERVATION. PART IV, LINE 2B: THE AMOUNT REPORTED ON FORM 990, PART X, LINE 21, ESCROW ACCOUNT LIABILITY, REPRESENTS SECURITY DEPOSITS RELATED TO LEASE AGREEMENTS. PART V, LINE 1: ENDOWMENT FUNDS INCLUDE THE VALUE OF THE ENDOWMENT AND UNEXPENDED ENDOWMENT INCOME AT JUNE 30, 2014. PART V, LINE 4: THE ENDOWMENT PROVIDES THE LARGEST SOURCE OF OPERATING REVENUE FOR THE UNIVERSITY. SPENDING FROM THE ENDOWMENT GREW DURING THE LAST DECADE FROM $502 MILLION TO $1.0 BILLION, AN ANNUAL GROWTH RATE OF APPROXIMATELY 8%. YALE'S SPENDING AND INVESTMENT POLICIES PROVIDED SUBSTANTIAL LEVELS OF CASH FLOW TO THE OPERATING BUDGET FOR CURRENT SCHOLARS WHILE PRESERVING ENDOWMENT PURCHASING POWER FOR FUTURE GENERATIONS. THE YALE ENDOWMENT CONTAINS THOUSANDS OF FUNDS WITH A VARIETY OF DESIGNATED PURPOSES AND RESTRICTIONS. APPROXIMATELY 84% OF FUNDS CONSTITUTE TRUE ENDOWMENT, GIFTS RESTRICTED BY DONORS TO PROVIDE LONG-TERM FUNDING FOR DESIGNATED PURPOSES. THE REMAINING FUNDS REPRESENT QUASI-ENDOWMENT, MONIES THAT THE YALE CORPORATION CHOOSES TO INVEST AND TREAT AS ENDOWMENT. DONORS FREQUENTLY SPECIFY A PARTICULAR PURPOSE FOR GIFTS, CREATING ENDOWMENTS TO FUND PROFESSORSHIPS, TEACHING, AND LECTURESHIPS (24%), SCHOLARSHIPS, FELLOWSHIPS, AND PRIZES (17%), MAINTENANCE (4%), BOOKS (3%), AND MISCELLANEOUS SPECIFIC PURPOSES (27%). TWENTY-FIVE PERCENT OF FUNDS ARE UNRESTRICTED. TWENTY-TWO PERCENT OF THE ENDOWMENT BENEFITS THE OVERALL UNIVERSITY, WITH REMAINING FUNDS FOCUSED ON SPECIFIC UNITS, INCLUDING THE FACULTY OF ARTS AND SCIENCES (37%), THE PROFESSIONAL SCHOOLS (26%), THE LIBRARY (7%), AND OTHER ENTITIES (7%). PART X, LINE 2: THE UNIVERSITY WAS NOT REQUIRED TO INCLUDE A FIN 48 (ASC 740), ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, FOOTNOTE IN ITS FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2014. PART XI, LINE 2D - OTHER ADJUSTMENTS: AFFILIATED ORGANIZATION INCOME(LOSS)*: 58,823,459 CHANGE IN FUNDING STATUS OF DEFINED BENEFIT PLANS: 53,007,000 ACTUARIAL ADJUSTMENT FOR SPLIT INTEREST LIABILITY: (10,970,082) NON-CONTROLLING INTEREST: 106,607,000 ROUNDING: (1,360) TOTAL: 207,466,017 * THIS AMOUNT IS REPORTED (IF REQUIRED) ON THE FORMS 990 OF THE AFFILIATED ORGANIZATIONS. PART XI, LINE 4B - OTHER ADJUSTMENTS: RECLASSIFICATIONS FROM REVENUE TO EXPENSES, INCLUDING EXPENSES ON THE AUDITED FINANCIAL STATEMENTS THAT ARE RECLASSIFIED FOR FORM 990 PURPOSES AND REPORTED ON PART VIII, LINES 6B, 8B, AND 9B PURSUANT TO FORM INSTRUCTIONS: (7,548,481) TUITION DISCOUNTS WHICH WERE NETTED WITH STUDENT INCOME ON THE AUDITED FINANCIAL STATEMENTS: 254,260,066 TOTAL: 246,711,585 PART XII, LINE 2D - OTHER ADJUSTMENTS: AFFILIATED ORGANIZATION EXPENSE*: 4,850,854 * THIS AMOUNT IS REPORTED (IF REQUIRED) ON THE FORMS 990 OF THE AFFILIATED ORGANIZATIONS. PART XII, LINE 4B - OTHER ADJUSTMENTS: RECLASSIFICATIONS FROM REVENUE TO EXPENSES, INCLUDING EXPENSES ON THE AUDITED FINANCIAL STATEMENTS THAT ARE RECLASSIFIED FOR FORM 990 PURPOSES AND REPORTED ON PART VIII, LINES 6B, 8B, AND 9B PURSUANT TO FORM INSTRUCTIONS: (7,548,481) TUITION DISCOUNTS WHICH WERE NETTED WITH STUDENT INCOME ON THE AUDITED FINANCIAL STATEMENTS: 254,260,066 TOTAL: 246,711,585 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 SCHEDULE E PAGE 2 SCHEDULE E, LINE 3 YALE UNIVERSITY'S EQUAL OPPORTUNITY STATEMENT: THE UNIVERSITY IS COMMITTED TO BASING JUDGMENTS CONCERNING THE ADMISSION, EDUCATION, AND EMPLOYMENT OF INDIVIDUALS UPON THEIR QUALIFICATIONS AND ABILITIES AND AFFIRMATIVELY SEEKS TO ATTRACT TO ITS FACULTY, STAFF, AND STUDENT BODY QUALIFIED PERSONS OF DIVERSE BACKGROUNDS. IN ACCORDANCE WITH THIS POLICY AND AS DELINEATED BY FEDERAL AND CONNECTICUT LAW, YALE DOES NOT DISCRIMINATE IN ADMISSIONS, EDUCATIONAL PROGRAMS, OR EMPLOYMENT AGAINST ANY INDIVIDUAL ON ACCOUNT OF THAT INDIVIDUAL'S SEX, RACE, COLOR, RELIGION, AGE, DISABILITY, STATUS AS A SPECIAL DISABLED VETERAN, VETERAN OF THE VIETNAM ERA OR OTHER COVERED VETERAN, OR NATIONAL OR ETHNIC ORIGIN; NOR DOES YALE DISCRIMINATE ON THE BASIS OF SEXUAL ORIENTATION OR GENDER IDENTITY OR EXPRESSION. UNIVERSITY POLICY IS COMMITTED TO AFFIRMATIVE ACTION UNDER LAW IN EMPLOYMENT OF WOMEN, MINORITY GROUP MEMBERS, INDIVIDUALS WITH DISABILITIES, SPECIAL DISABLED VETERANS, VETERANS OF THE VIETNAM ERA, AND OTHER COVERED VETERANS. THE UNIVERSITY'S EQUAL OPPORTUNITY STATEMENT IS MADE KNOWN TO ALL SEGMENTS OF THE GENERAL COMMUNITY SERVICED BY THE UNIVERSITY. IT IS INCLUDED IN CATALOGUES AND BROCHURES DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS OF THE UNIVERSITY AS WELL AS ON ITS WEBSITE WHICH ARE ALL AVAILABLE TO THE GENERAL PUBLIC. SCHEDULE E, LINE 6 THE UNIVERSITY HAS RECEIVED AND CONTINUES TO RECEIVE STUDENT FINANCIAL AID AND GRANTS FROM GOVERNMENTAL AGENCIES. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 20851 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES ALUMNI RELATIONS 25188 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 79074 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 20265 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 10624 CENTRAL AMERICA AND THE CARIBBEAN 0 1 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 86666 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 146203 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 66038 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 4993 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 12546 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 49689 CENTRAL AMERICA AND THE CARIBBEAN 0 0 FUNDRAISING 12035 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 545961 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 1623328085 EAST ASIA AND THE PACIFIC 1 11 PROGRAM SERVICES ACADEMIC COLLABORATIONS 2244377 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES ALUMNI RELATIONS 80537 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 378278 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 35781 EAST ASIA AND THE PACIFIC 0 3 PROGRAM SERVICES INSTRUCTION/ TEACHING 181215 EAST ASIA AND THE PACIFIC 1 1 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 2407037 EAST ASIA AND THE PACIFIC 0 15 PROGRAM SERVICES RESEARCH 669995 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 1130696 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 101881 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 611192 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 55628 EAST ASIA AND THE PACIFIC 0 0 FUNDRAISING 155252 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 3611166 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 178494 EUROPE (INCLUDING ICELAND & GREENLAND) 0 9 PROGRAM SERVICES ACADEMIC COLLABORATIONS 586379 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES ALUMNI RELATIONS 94731 EUROPE (INCLUDING ICELAND & GREENLAND) 0 1 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 1156007 EUROPE (INCLUDING ICELAND & GREENLAND) 0 1 PROGRAM SERVICES CULTURAL EXCHANGE 115359 EUROPE (INCLUDING ICELAND & GREENLAND) 0 3 PROGRAM SERVICES INSTRUCTION/ TEACHING 110459 EUROPE (INCLUDING ICELAND & GREENLAND) 0 16 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 7351599 EUROPE (INCLUDING ICELAND & GREENLAND) 0 20 PROGRAM SERVICES RESEARCH 1932909 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 2030502 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 63314 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 767298 EUROPE (INCLUDING ICELAND & GREENLAND) 0 2 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 49232 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 FUNDRAISING 61931 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 6552821 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 201566825 MIDDLE EAST AND NORTH AFRICA 0 1 PROGRAM SERVICES ACADEMIC COLLABORATIONS 34332 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 8644 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 36793 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 6818 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 6559 MIDDLE EAST AND NORTH AFRICA 0 1 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 65598 MIDDLE EAST AND NORTH AFRICA 1 6 PROGRAM SERVICES RESEARCH 443244 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 104497 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 25744 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 85366 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 17593 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 350305 NORTH AMERICA 0 7 PROGRAM SERVICES ACADEMIC COLLABORATIONS 27928 NORTH AMERICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 36218 NORTH AMERICA 0 0 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 359018 NORTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 3915 NORTH AMERICA 0 2 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 38488 NORTH AMERICA 0 4 PROGRAM SERVICES RESEARCH 43002 NORTH AMERICA 0 0 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 315461 NORTH AMERICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 47756 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 17179 NORTH AMERICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 2414 NORTH AMERICA 0 0 GRANTMAKING 927414 NORTH AMERICA 0 0 INVESTMENTS 15699179 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 24347 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 36184 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 1666 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 6 PROGRAM SERVICES RESEARCH 285153 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 71979 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 5825 RUSSIA AND THE NEWLY INDEPENDENT STATES 0 0 GRANTMAKING 508394 SOUTH AMERICA 0 0 PROGRAM SERVICES ACADEMIC COLLABORATIONS 107707 SOUTH AMERICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 7544 SOUTH AMERICA 0 1 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 28100 SOUTH AMERICA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 8650 SOUTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 25046 SOUTH AMERICA 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 45603 SOUTH AMERICA 0 6 PROGRAM SERVICES RESEARCH 620964 SOUTH AMERICA 0 0 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 364880 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 34238 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 163852 SOUTH AMERICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 9706 SOUTH AMERICA 0 0 FUNDRAISING 51615 SOUTH AMERICA 0 0 GRANTMAKING 1947130 SOUTH AMERICA 0 0 INVESTMENTS 1673535 SOUTH ASIA 0 2 PROGRAM SERVICES ACADEMIC COLLABORATIONS 58808 SOUTH ASIA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 38269 SOUTH ASIA 0 1 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 36575 SOUTH ASIA 0 0 PROGRAM SERVICES CULTURAL EXCHANGE 6905 SOUTH ASIA 0 0 PROGRAM SERVICES INSTRUCTION/ TEACHING 12920 SOUTH ASIA 0 1 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 39395 SOUTH ASIA 0 2 PROGRAM SERVICES RESEARCH 194484 SOUTH ASIA 0 0 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 117159 SOUTH ASIA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 60273 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 63755 SOUTH ASIA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 2851 SOUTH ASIA 0 0 FUNDRAISING 43634 SOUTH ASIA 0 0 GRANTMAKING 631679 SUB-SAHARAN AFRICA 0 3 PROGRAM SERVICES ACADEMIC COLLABORATIONS 100917 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES ALUMNI RELATIONS 70421 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES ATTENDING CONFERENCES & SEMINARS 67978 SUB-SAHARAN AFRICA 0 1 PROGRAM SERVICES CULTURAL EXCHANGE 28507 SUB-SAHARAN AFRICA 0 1 PROGRAM SERVICES INSTRUCTION/ TEACHING 184983 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES OTHER MISSION RELATED ACTIVITIES 24100 SUB-SAHARAN AFRICA 0 10 PROGRAM SERVICES RESEARCH 981044 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES SPEAKING AT SEMINARS & CONFERENCES 77862 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDENT RECRUITMENT 18694 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD & OTHER EDUCATIONAL PROGRAMS 157176 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES TRAINING & CLINICAL PRACTICE 208409 SUB-SAHARAN AFRICA 0 0 FUNDRAISING 43342 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 1183422 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 172599019 0 1 3 137 3 138 454909 2060012368 2060467277 CENTRAL AMERICA AND THE CARIBBEAN SUBAWARD - SPONSORED RESEARCH 352859 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 92000 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 5000 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 68368 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 50189 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 58033 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 7980 CHECK, WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 213000 CHECK, WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 53758 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 8629 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 25207 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 45618 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 7765 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 21577 CHECK EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 13053 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 120031 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 32026 WIRE EAST ASIA AND THE PACIFIC SUBAWARD - SPONSORED RESEARCH 233551 CHECK, WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6803 CHECK, WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 215007 CHECK, WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 17143 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 57240 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6400 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 26325 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8148 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 15243 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5374 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8665 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5817 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 18565 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 12022 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 15820 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 15040 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 136163 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 7518 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 98391 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 12027 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 7920 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 62612 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 16145 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 25876 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 7850 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 7833 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 22992 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 11255 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8006 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 25998 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6233 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 18163 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 11360 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5373 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 73468 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6765 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 17015 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 8595 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 12816 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 11151 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 72142 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 12257 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 214091 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 5307 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 10764 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 112454 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 6076 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 9552 WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 94022 CHECK, WIRE EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 307875 CHECK EUROPE (INCL. ICELAND AND GREENLAND) SUBAWARD - SPONSORED RESEARCH 13581 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 11377 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 39110 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 14851 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 17620 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 39152 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 33330 CHECK MIDDLE EAST AND NORTH AFRICA SUBAWARD - SPONSORED RESEARCH 13284 CHECK, WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 75599 CHECK, WIRE NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 9526 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 20582 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 7207 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 18856 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 42356 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 8484 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 49362 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 172300 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 124264 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 10872 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 54288 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 25940 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 26143 CHECK NORTH AMERICA SUBAWARD - SPONSORED RESEARCH 25081 CHECK RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 129265 CHECK, WIRE RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 107460 CHECK RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 115885 CHECK RUSSIA AND THE NEWLY INDEPENDENT STATES SUBAWARD - SPONSORED RESEARCH 26073 WIRE SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 429121 CHECK SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 165000 CHECK SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 127185 CHECK SOUTH AMERICA SUBAWARD - SPONSORED RESEARCH 293567 CHECK SOUTH ASIA SUBAWARD - SPONSORED RESEARCH 106586 CHECK SOUTH ASIA SUBAWARD - SPONSORED RESEARCH 28324 WIRE SOUTH ASIA SUBAWARD - SPONSORED RESEARCH 78774 CHECK SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 26868 CHECK SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 131497 CHECK SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 13748 WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 105437 CHECK SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 36939 CHECK, WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 9720 CHECK SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 99455 WIRE SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 83376 CHECK SUB-SAHARAN AFRICA SUBAWARD - SPONSORED RESEARCH 34477 WIRE 29 81 FELLOWSHIPS CENTRAL AMERICA AND THE CARIBBEAN 33 95375 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS EAST ASIA AND THE PACIFIC 224 2028356 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS EUROPE (INCLUDING ICELAND AND GREENLAND) 143 546961 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS MIDDLE EAST AND NORTH AFRICA 31 134900 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS NORTH AMERICA 46 135204 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS RUSSIA AND THE NEWLY INDEPENDENT STATES 12 52349 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SOUTH AMERICA 43 125445 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SOUTH ASIA 57 203555 CHECK, ELECTRONIC FUND OR WIRE TRANSFER FELLOWSHIPS SUB-SAHARAN AFRICA 66 210517 CHECK, ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS CENTRAL AMERICA AND THE CARIBBEAN 14 37245 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS EAST ASIA AND THE PACIFIC 21 127669 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS EUROPE (INCLUDING ICELAND AND GREENLAND) 48 542254 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS NORTH AMERICA 4 68410 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SOUTH AMERICA 24 185496 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SOUTH ASIA 8 72503 ELECTRONIC FUND OR WIRE TRANSFER STUDENT STIPENDS SUB-SAHARAN AFRICA 23 227614 ELECTRONIC FUND OR WIRE TRANSFER SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN 6 60482 CHECK SCHOLARSHIPS EAST ASIA AND THE PACIFIC 52 361559 CHECK SCHOLARSHIPS EUROPE (INCLUDING ICELAND AND GREENLAND) 322 3478189 CHECK SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 9 46681 CHECK SCHOLARSHIPS NORTH AMERICA 8 35097 CHECK SCHOLARSHIPS RUSSIA AND THE NEWLY INDEPENDENT STATES 8 75322 CHECK SCHOLARSHIPS SOUTH AMERICA 63 615196 CHECK SCHOLARSHIPS SOUTH ASIA 14 133078 CHECK SCHOLARSHIPS SUB-SAHARAN AFRICA 18 192309 CHECK GRANTS - OTHER BENEFITS EAST ASIA AND THE PACIFIC 36 37797 CHECK GRANTS - OTHER BENEFITS EUROPE (INCLUDING ICELAND AND GREENLAND) 33 72159 CHECK GRANTS - OTHER BENEFITS NORTH AMERICA 4 17846 CHECK GRANTS - OTHER BENEFITS RUSSIA AND THE NEWLY INDEPENDENT STATES 1 2040 CHECK GRANTS - OTHER BENEFITS SOUTH AMERICA 3 6120 CHECK GRANTS - OTHER BENEFITS SOUTH ASIA 6 8859 CHECK GRANTS - OTHER BENEFITS SUB-SAHARAN AFRICA 6 11467 CHECK 1 1 1 1 1 0 PART I, LINE 2: SCHEDULE F, PART I, LINE 2: WITH RESPECT TO SPONSORED PROJECT ACTIVITY SUBCONTRACTED TO OTHER ENTITIES, THE UNIVERSITY'S POLICIES AND PROCEDURES FOR MONITORING GRANTS ARE INTENDED TO ESTABLISH APPROPRIATE AND EFFECTIVE MECHANISMS TO PROMOTE COMPLIANCE WITH FEDERAL AND NON-FEDERAL REQUIREMENTS AND ENSURE THAT THE UNIVERSITY AND ITS SPONSORS RECEIVE VALUE FOR FUNDS EXPENDED. THE PROCEDURES INCLUDE A FORMAL APPROVAL PROCESS FOR SUBAWARDS, PRE-AWARD AND POST-AWARD MONITORING OF SUB RECIPIENTS TO REVIEW THE FINANCIAL STATUS AND MANAGEMENT CONTROLS, COMPLIANCE CERTIFICATIONS RELATIVE TO THE USE OF HUMAN SUBJECTS AND ANIMALS, AND REQUIRED DISCLOSURE OF ANY CONFLICT OF INTEREST WITH A SUB RECIPIENT ENTITY AND A REVIEW OF PERTINENT OTHER ORGANIZATION INFORMATION. IN ACCORDANCE WITH THESE PROCEDURES, THE UNIVERSITY REVIEWS THE SUB RECIPIENT'S ADMINISTRATION, BILLINGS AND SCIENTIFIC PROGRESS OF AN ACTIVE SUBAWARD AND CONDUCTS ON-GOING RISK ASSESSMENTS AS WELL AS QUARTERLY QUALITY ASSURANCE REVIEWS ON RANDOMLY SELECTED SUBAWARDS. THESE PROCEDURES SERVE TO ENSURE THAT THE SUBAWARDS ARE USED FOR PROPER PURPOSES AND NOT DIVERTED FROM THEIR INTENDED USE. THE UNIVERSITY PROVIDES STUDENTS WITH MANY FELLOWSHIP OPPORTUNITIES TO FUND RESEARCH, INDEPENDENT PROJECTS, INTERNSHIPS, VOLUNTEER WORK, COMMUNITY SERVICE, AND STUDY ABROAD. RECIPIENTS ARE SELECTED BASED ON AN APPLICATION, INCLUDING A PROPOSAL, ESSAYS, BUDGET, ACADEMIC RECORD, AND INTERVIEW, AS APPLICABLE. IN MOST CASES, THE TERMS OF THE AWARD REQUIRE THAT THE RECIPIENT PREPARE AND PRESENT A REPORT OF THE FELLOWSHIP ACTIVITY. FURTHER, CERTAIN FELLOWSHIP RECIPIENTS ARE REQUIRED TO DOCUMENT EXPENSES TO VERIFY THAT THE FELLOWSHIP WAS USED FOR THE PURPOSE INTENDED. SUCH DOCUMENTATION MAY INCLUDE COPIES OF PLANE TICKETS AND BOARDING PASSES, COPIES OF VISAS, RECEIPTS FOR TUITION, LETTERS FROM ORGANIZATIONS VERIFYING THE INTERNSHIP AND DATES, ETC., AS APPROPRIATE. SCHEDULE F, PART I, LINE 3: PURSUANT TO THE FORM INSTRUCTIONS, THE FOLLOWING IS A BREAKOUT OF AMOUNTS PROVIDED AS INVESTMENTS: INVESTMENTS EXPENDITURES CENTRAL AMERICA AND THE CARIBBEAN 1,616,370,271 6,957,814 EAST ASIA AND THE PACIFIC 0 178,494 EUROPE (INCLUDING ICELAND & GREENLAND) 201,242,381 324,444 NORTH AMERICA 15,667,999 31,180 SOUTH AMERICA 0 1,673,535 SUB-SAHARAN AFRICA 172,599,019 0 SCHEDULE F, PART II, LINE 3: THE TOTAL NUMBER REPORTED ON LINE 3 INCLUDES TAX EXEMPT ORGANIZATIONS AND PUBLIC INSTITUTIONS. MOST OF THE SUBAWARD RECIPIENTS ARE UNIVERSITIES, HOSPITALS, AND RESEARCH INSTITUTIONS. SCHEDULE F, PART II: A SUBAWARD IS AN AWARD FROM THE UNIVERSITY TO A QUALIFIED THIRD PARTY PRIMARILY TO PERFORM RESEARCH AND OTHER RELATED PROGRAMMATIC EFFORTS UNDER A SPONSORED RESEARCH PROJECT. SCHEDULE F, PART III, COLUMNS (C) AND (D): THE AMOUNTS REPORTED IN COLUMNS (C) AND (D) REPRESENT AN ESTIMATE OF TOTAL AWARDS FOR THE FISCAL YEAR ENDED JUNE 30, 2014 BASED ON INFORMATION PROVIDED BY THE UNIVERSITY'S UNDERGRADUATE, GRADUATE AND PROFESSIONAL SCHOOLS. SOME STUDENTS RECEIVED MORE THAN ONE AWARD DURING THE FISCAL YEAR ENDED JUNE 30, 2014. SCHEDULE F, PART IV, LINE 6: THE UNIVERSITY DOES NOT BELIEVE THAT IT HAS "OPERATIONS" IN OR RELATED TO BOYCOTTING COUNTRIES, HOWEVER, AS A PROTECTIVE MEASURE, THE UNIVERSITY DOES FILE FORM 5713. GOLF OUTING 131322 98781 32541 129 5710 23398 GOLF OUTING 72693 47022 25671 480 5465 16889 13 434968 186470 248498 9369 16769 147246 638983 332273 306710 9978 27944 187533 225455 81255 1 ABT SRBI INC 275 SEVENTH AVENUE SUITE 2700 NEW YORK NY 10001 133077900 59505 SUBAWARD - SPONSORED RESEARCH ADVANCED NEUROLOGY SPECIALISTS 400 15TH AVENUE SOUTH SUITE 206 GREAT FALLS MT 59405 201821484 13033 SUBAWARD - SPONSORED RESEARCH AGILENT TECHNOLOGIES INC 4187 COLLECTIONS CENTER DRIVE CHICAGO IL 60693 770518772 176185 SUBAWARD - SPONSORED RESEARCH AIDS CONNECTICUT INC 110 BARTHOLOMEW AVENUE SUITE 400 HARTFORD CT 06106 223014883 501(C)(3) 10000 SUBAWARD - SPONSORED RESEARCH AIDS PROJECT NEW HAVEN INC 1302 CHAPEL STREET NEW HAVEN CT 06511 222506184 501(C)(3) 275944 SUBAWARD - SPONSORED RESEARCH ALERE WELLBEING INC 999 THIRD AVENUE SEATTLE WA 98104 200231080 43098 SUBAWARD - SPONSORED RESEARCH ALLEGHENY-SINGER RESEARCH INSTITUTE 2 ALLEGHEMY CENTER 11TH FLR PITTSBURGH PA 152124746 251320493 501(C)(3) 32350 SUBAWARD - SPONSORED RESEARCH ALLIANCE OF CHICAGO COMMUNITY HEALTH SERVICES L3C 215 W OHIO 4TH FLOOR CHICAGO IL 60654 364444309 22606 SUBAWARD - SPONSORED RESEARCH ALTRU HEALTH SYSTEM 860 SOUTH COLUMBIA ROAD GRAND FORKS ND 58201 450310462 501(C)(3) 11456 SUBAWARD - SPONSORED RESEARCH AMERICAN COLLEGE OF CARDIOLOGY FOUNDATION PO BOX 79231 BALTIMORE MD 212790231 135641985 501(C)(3) 31356 SUBAWARD - SPONSORED RESEARCH AMERICAN PSYCHOSOCIAL ONCOLOGY SOCIETY 154 HANSEN RD SUITE 201 CHARLOTTESVILLE VA 22911 043720121 501(C)(3) 45520 SUBAWARD - SPONSORED RESEARCH AMERICAN RED CROSS 600 A FOREST POINT CIRCLE CHARLOTTE NC 28273 530196605 501(C)(3) 795355 SUBAWARD - SPONSORED RESEARCH AMERICAN SOCIETY OF CLINICAL ONCOLOGY 2318 MILL ROAD SUITE 800 ALEXANDRIA VA 22314 136180380 501(C)(3) 6415 SUBAWARD - SPONSORED RESEARCH APT FOUNDATION INC ONE LONG WHARF DRIVE SUITE 321 NEW HAVEN CT 06511 237061218 501(C)(3) 896068 SUBAWARD - SPONSORED RESEARCH ATLANTA RESEARCH & EDUCATION FOUNDATION INC 1902 CLAIRMONT ROAD DECATUR GA 30033 581857346 501(C)(3) 91000 SUBAWARD - SPONSORED RESEARCH BALTIMORE RESEARCH & EDUCATION FOUNDATION INC 10 NORTH GREENE STREET BALTIMORE MD 21201 521705976 501(C)(3) 75993 SUBAWARD - SPONSORED RESEARCH BANNER HEALTH 901 E WILLETTA STREET PHOENIX AZ 85006 450233470 501(C)(3) 8675 SUBAWARD - SPONSORED RESEARCH BARKER BI-COASTAL HEALTH CONSULTANTS INC 3556 ELM DRIVE CALABASAS CA 91302 208139387 80000 SUBAWARD - SPONSORED RESEARCH BAYLOR COLLEGE OF MEDICINE ONE BAYLOR PLAZA HOUSTON TX 77030 741613878 501(C)(3) 253540 SUBAWARD - SPONSORED RESEARCH BAYSTATE MEDICAL CENTER INC 280 CHESTNUT STREET SPRINGFIELD MA 01199 042790311 501(C)(3) 93228 SUBAWARD - SPONSORED RESEARCH BECKMAN RESEARCH INSTITUTE OF THE CITY OF HOPE 1500 EAST DUARTE ROAD DUARTE CA 910103000 953432210 501(C)(3) 9905 SUBAWARD - SPONSORED RESEARCH BEDFORD VA RESEARCH CORPORATION INC 200 SPRINGS ROAD BEDFORD MA 01730 043512440 501(C)(3) 66423 SUBAWARD - SPONSORED RESEARCH BETH ISRAEL DEACONESS MEDICAL CENTER 330 BROOKLINE AVENUE BOSTON MA 02215 042103881 501(C)(3) 102073 SUBAWARD - SPONSORED RESEARCH BHCARE INC 127 WASHINGTON AVENUE 3RD FLOOR NORTH HAVEN CT 06473 222598799 501(C)(3) 9406 SUBAWARD - SPONSORED RESEARCH BOARD OF REGENTS NEVADA SYSTEM OF HIGHER EDUCATION 4505 MARYLAND PKWY LAS VEGAS NV 89154 886000024 501(C)(3) 72066 SUBAWARD - SPONSORED RESEARCH BOARD OF REGENTS OF THE UNIVERSITY OF OKLAHOMA HEALTH SCIENCES CENTER PO BOX 26901 OKLAHOMA CITY OK 731260901 736017987 STATE OF OK 59786 SUBAWARD - SPONSORED RESEARCH BOSTON MEDICAL CENTER 660 HARRISON AVEVUE BOSTON MA 02118 043314093 501(C)(3) 18354 SUBAWARD - SPONSORED RESEARCH BOSTON UNIVERSITY PO BOX 55058 BOSTON MA 022151301 042103547 501(C)(3) 316971 SUBAWARD - SPONSORED RESEARCH BOYCE THOMPSON INSTITUTE FOR PLANT RESEARCH INC 533 TOWER ROAD ITHACA NY 14853 131739923 501(C)(3) 39377 SUBAWARD - SPONSORED RESEARCH BRENTWOOD BIOMEDICAL RESEARCH INSTITUTE INC PO BOX 25027 LOS ANGELES CA 90025 954183712 501(C)(3) 100118 SUBAWARD - SPONSORED RESEARCH BRIDGEPORT BOARD OF EDUCATION 45 LYON TERRACE BRIDGEPORT CT 06604 066001865 CITY-BRIDGEPORT 600664 SUBAWARD - SPONSORED RESEARCH BRIDGEPORT HOSPITAL 267 GRANT STREET BRIDGEPORT CT 06610 060646554 501(C)(3) 102083 SUBAWARD - SPONSORED RESEARCH BRIGHAM & WOMEN'S HOSPITAL PO BOX 3887 BOSTON MA 022413887 042312909 501(C)(3) 722503 SUBAWARD - SPONSORED RESEARCH BRIGHAM YOUNG UNIVERSITY PO BOX 21128 PROVO UT 846021128 870217280 501(C)(3) 80864 SUBAWARD - SPONSORED RESEARCH BROWN UNIVERSITY PO BOX 1911 PROVIDENCE RI 02908 050258809 501(C)(3) 245161 SUBAWARD - SPONSORED RESEARCH CALIFORNIA CENTER FOR PUBLIC HEALTH ADVOCACY PO BOX 2309 DAVIS CA 95617 954723901 501(C)(3) 30163 SUBAWARD - SPONSORED RESEARCH CASE WESTERN RESERVE UNIVERSITY 11100 EUCLID AVENUE SUITE 2217 CLEVELAND OH 441062080 341018992 501(C)(3) 43384 SUBAWARD - SPONSORED RESEARCH CEDARS-SINAI MEDICAL CENTER 8700 BEVERLY BLVD LOS ANGELES CA 90048 951644600 501(C)(3) 10411 SUBAWARD - SPONSORED RESEARCH CENTER FOR SCIENCE IN THE PUBLIC INTEREST 1220 L STREET NW SUITE 300 WASHINGTON DC 200054053 237122879 501(C)(3) 65295 SUBAWARD - SPONSORED RESEARCH CENTRAL CONNECTICUT STATE UNIVERSITY 1615 STANLEY STREET NEW BRITAIN CT 06053 061303381 STATE OF CT 46059 SUBAWARD - SPONSORED RESEARCH CHILDREN'S HOSPITAL CORPORATION PO BOX 414413 BOSTON MA 022414413 042774441 501(C)(3) 338458 SUBAWARD - SPONSORED RESEARCH CHILDREN'S HOSPITAL LOS ANGELES 4650 SUNSET BOULEVARD LOS ANGELES CA 90027 951690977 501(C)(3) 148922 SUBAWARD - SPONSORED RESEARCH CHILDREN'S HOSPITAL MEDICAL CENTER 3333 BURNET AVENUE CINCINNATI OH 452293039 310833936 501(C)(3) 102525 SUBAWARD - SPONSORED RESEARCH CHILDREN'S HOSPITAL OF PHILADELPHIA PO BOX 8500 PHILADELPHIA PA 191781457 231352166 501(C)(3) 62057 SUBAWARD - SPONSORED RESEARCH CHILDREN'S HOSPITAL OF PITTSBURGH FOUNDATION ONE CHILDRENS HOSPITAL DRIVE 4401 PENN AVENUE PITTSBURGH PA 152241342 251865744 501(C)(3) 12500 SUBAWARD - SPONSORED RESEARCH CHILDREN'S RESEARCH INSTITUTE 111 MICHIGAN AVENUE NW WASHINGTON DC 200102970 521654453 501(C)(3) 365651 SUBAWARD - SPONSORED RESEARCH CIGITAL INC 21351 RIDGETOP CIRCLE SUITE 400 DULLES VA 20166 541605142 53548 SUBAWARD - SPONSORED RESEARCH CITY OF NEW HAVEN 54 MEADOW ST NEW HAVEN CT 06519 066001876 CITY-NEW HAVEN 104971 SUBAWARD - SPONSORED RESEARCH CLIFFORD W BEERS GUIDANCE CLINIC INC 93 EDWARDS STREET NEW HAVEN CT 06511 060646757 501(C)(3) 94860 SUBAWARD - SPONSORED RESEARCH COLD SPRING HARBOR LABORATORY 1 BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 112013303 501(C)(3) 407656 SUBAWARD - SPONSORED RESEARCH COLORADO SCHOOL OF MINES PO BOX 911911 DENVER CO 802911911 846000551 STATE OF CO 168893 SUBAWARD - SPONSORED RESEARCH COLORADO STATE UNIVERSITY 601 SOUTH HOWES ROOM 408 FORT COLLINS CO 805232002 846000545 STATE OF CO 24699 SUBAWARD - SPONSORED RESEARCH COLUMBIA UNIVERSITY 615 WEST 131ST STREET 4TH FLOOR NEW YORK NY 10027 135598093 501(C)(3) 452396 SUBAWARD - SPONSORED RESEARCH CORNELL SCOTT-HILL HEALTH CORPORATION 400 COLUMBUS AVENUE 2ND FLOOR NEW HAVEN CT 06519 060870990 501(C)(3) 182599 SUBAWARD - SPONSORED RESEARCH CORNELL UNIVERSITY PO BOX 22 ITHACA NY 148510022 150532082 501(C)(3) 550985 SUBAWARD - SPONSORED RESEARCH DALLAS VA RESEARCH CORPORATION PO BOX 516 LANCASTER TX 75146 752329831 501(C)(3) 63992 SUBAWARD - SPONSORED RESEARCH DANA-FARBER CANCER INSTITUTE INC 450 BROOKLINE AVENUE BOSTON MA 02215 042263040 501(C)(3) 76396 SUBAWARD - SPONSORED RESEARCH DARTMOUTH COLLEGE 11 ROPE FERRY ROAD HANOVER NH 037551404 020222111 501(C)(3) 178852 SUBAWARD - SPONSORED RESEARCH DAVID H MURDOCK RESEARCH INSTITUTE 150 RESEARCH CAMPUS DRIVE KANNAPOLIS NC 28081 208730759 501(C)(3) 81036 SUBAWARD - SPONSORED RESEARCH DECISION SCIENCE RESEARCH INSTITUTE INC 1201 OAK STREET EUGENE OR 97401 930927305 501(C)(3) 66817 SUBAWARD - SPONSORED RESEARCH DONALD DANFORTH PLANT SCIENCE CENTER 975 NORTH WATSON ROAD ST LOUIS MO 63132 311584621 501(C)(3) 316640 SUBAWARD - SPONSORED RESEARCH DREXEL UNIVERSITY COLLEGE OF MEDICINE 3141 CHESTNUT STREET PHILADELPHIA PA 19104 232979433 501(C)(3) 38989 SUBAWARD - SPONSORED RESEARCH DUKE UNIVERSITY PO BOX 602651 CHARLOTTE NC 282602651 560532129 501(C)(3) 222780 SUBAWARD - SPONSORED RESEARCH EAST CAROLINA UNIVERSITY 200 S CHARLES BLVD GREENVILLE NC 278584353 566000403 STATE OF NC 8718 SUBAWARD - SPONSORED RESEARCH EMERGENCY CARE RESEARCH INSTITUTE 5200 BUTLER PIKE PLYMOUTH MEETING PA 19462 231662091 501(C)(3) 5234 SUBAWARD - SPONSORED RESEARCH EMORY UNIVERSITY PO BOX 935084 ATLANTA GA 311935084 580566256 501(C)(3) 384394 SUBAWARD - SPONSORED RESEARCH FAIR HAVEN COMMUNITY HEALTH CLINIC INC 374 GRAND AVENUE NEW HAVEN CT 06513 060883545 501(C)(3) 244050 SUBAWARD - SPONSORED RESEARCH FISHER BIOSERVICES 14665 ROTHGEB DRIVE ROCKVILLE MD 20850 541348241 9103 SUBAWARD - SPONSORED RESEARCH FLORIDA INTERNATIONAL UNIVERSITY 11200 SW 8TH STREET MIAMI FL 33199 650177616 501(C)(3) 36572 SUBAWARD - SPONSORED RESEARCH FOUNDATION FOR APPLIED MOLECULAR EVOLUTION INC PO BOX 13174 GAINESVILLE FL 32604 593471957 501(C)(3) 217706 SUBAWARD - SPONSORED RESEARCH GEISINGER CLINIC 100 NORTH ACADEMY AVENUE DANVILLE PA 178222602 236291113 501(C)(3) 103192 SUBAWARD - SPONSORED RESEARCH GEORGE MASON UNIVERSITY 4400 UNIVERSITY DRIVE FAIRFAX VA 22030 540836354 STATE OF VA 437293 SUBAWARD - SPONSORED RESEARCH GFK CUSTOM RESEARCH LLC PO BOX 347353 PITTSBURGH PA 152514353 522339690 55919 SUBAWARD - SPONSORED RESEARCH GRIFFIN HOSPITAL 130 DIVISION STREET DERBY CT 06418 060647014 501(C)(3) 468019 SUBAWARD - SPONSORED RESEARCH GUILFORD NEUROLOGIC ASSOCIATES 912 THIRD STREET SUITE 101 GREENSBORO NC 27405 560963466 107923 SUBAWARD - SPONSORED RESEARCH H LEE MOFFITT CANCER CENTER AND RESEARCH INSTITUTE HOSPITAL INC 12902 MAGNOLIA DRIVE TAMPA FL 33612 593238634 501(C)(3) 11186 SUBAWARD - SPONSORED RESEARCH HAMILL ASSOCIATESINC 1200 HIGH RIDGE ROAD 3RD FLOOR STAMFORD CT 06905 133804354 27150 SUBAWARD - SPONSORED RESEARCH HARTFORD HOSPITAL 80 SEYMOUR STREET HARTFORD CT 061025037 060646668 501(C)(3) 806606 SUBAWARD - SPONSORED RESEARCH HEALTH FIRST PHYSICIANS 1223 GATEWAY DRIVE MELBOURNE FL 32901 593346397 8541 SUBAWARD - SPONSORED RESEARCH HEKTOEN INSTITUTE OF MEDICINE 2240 WEST OGDEN AVENUE 2ND FLOOR CHICAGO IL 60612 362244897 501(C)(3) 53331 SUBAWARD - SPONSORED RESEARCH HENRY M JACKSON FOUNDATION FOR THE ADVANCEMENT OF MILITARY MEDICINE 6720A ROCKLEDGE DRIVE SUITE 100 BETHESDA MD 20817 521317896 501(C)(3) 262594 SUBAWARD - SPONSORED RESEARCH HISPANIC HEALTH COUNCIL INC 175 MAIN STREET HARTFORD CT 06106 061018979 501(C)(3) 310313 SUBAWARD - SPONSORED RESEARCH HOSPITAL FOR SPECIAL SURGERY FUND INC 535 EAST 70TH STREET NEW YORK NY 10021 136714749 501(C)(3) 10482 SUBAWARD - SPONSORED RESEARCH HUGO W MOSER RESEARCH INSTITUTE AT KENNEDY KRIEGER INC 707 NORTH BROADWAY BALTIMORE MD 21205 521524967 501(C)(3) 30020 SUBAWARD - SPONSORED RESEARCH ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI 1 GUSTAVE L LEVY PLACE NEW YORK NY 10029 136171197 501(C)(3) 58054 SUBAWARD - SPONSORED RESEARCH INDIANA MEDICAL RESEARCH LLC 303 SOUTH NAPPANEE STREET ELKHART IN 46514 260303059 17767 SUBAWARD - SPONSORED RESEARCH INDIANA UNIVERSITY PO BOX 66057 INDIANAPOLIS IN 462666057 356001673 501(C)(3) 124990 SUBAWARD - SPONSORED RESEARCH INNOVATIONS FOR POVERTY ACTION 101 WHITNEY AVENUE NEW HAVEN CT 06510 061660068 501(C)(3) 1073620 SUBAWARD - SPONSORED RESEARCH INSTITUTE FOR CLINICAL RESEARCH INC PO BOX 29545 WASHINGTON DC 200170745 521336656 501(C)(3) 56243 SUBAWARD - 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SPONSORED RESEARCH L2 DIAGNOSTICS LLC PO BOX 8175 NEW HAVEN CT 065300175 061509946 104952 SUBAWARD - SPONSORED RESEARCH LANKENAU INSTITUTE FOR MEDICAL RESEARCH 100 LANCASTER AVENUE WYNNEWOOD PA 19096 232175659 501(C)(3) 20336 SUBAWARD - SPONSORED RESEARCH LIBERTY COMMUNITY SERVICES 129 CHURCH STREET 2ND FLOOR NEW HAVEN CT 06510 222849124 501(C)(3) 167636 SUBAWARD - SPONSORED RESEARCH LOUISIANA STATE UNIVERSITY AND AGRICULTURAL & MECHANICAL COLLEGE 6400 PERKINS ROAD BATON ROUGE LA 70808 726000848 501(C)(3) 11831 SUBAWARD - SPONSORED RESEARCH LOYOLA UNIVERSITY OF CHICAGO 2700 2160 FIRST AVENUE MAYWOOD IL 60153 361408475 501(C)(3) 15021 SUBAWARD - SPONSORED RESEARCH MACROCYCLICS INC 1309 RECORD CROSSING ROAD DALLAS TX 75235 752628442 38021 SUBAWARD - SPONSORED RESEARCH MARQUETTE UNIVERSITY PO BOX 1881 MILWAUKEE WI 532011881 390806251 501(C)(3) 12220 SUBAWARD - SPONSORED RESEARCH MASSACHUSETTS INSTITUTE OF TECHNOLOGY 77 MASSACHUSETTS AVENUE CAMBRIDGE MA 021394307 042103594 501(C)(3) 699027 SUBAWARD - SPONSORED RESEARCH MAYO CLINIC PO BOX 4008 ROCHESTER MN 559034008 416011702 501(C)(3) 8307 SUBAWARD - SPONSORED RESEARCH MEMORIAL SLOAN-KETTERING CANCER CENTER PO BOX 26338 NEW YORK NY 10087 131924236 501(C)(3) 130504 SUBAWARD - SPONSORED RESEARCH METROHEALTH SYSTEM PO BOX 73308 CLEVELAND OH 44193 346004382 CUYAHOGA COUNTY 8457 SUBAWARD - SPONSORED RESEARCH MINNEAPOLIS CLINIC OF NEUROLOGY LTD 3366 OAKDALE AVENUE NORTH SUITE 309 ROBBINSDALE MN 55422 410999094 27257 SUBAWARD - SPONSORED RESEARCH MIRIAM HOSPITAL ONE HOPPIN STREET PROVIDENCE RI 029034141 050258905 501(C)(3) 9326 SUBAWARD - SPONSORED RESEARCH NARROWS INSTITUTE FOR BIOMEDICAL RESEARCH 800 POLY PLACE BROOKLYN NY 11209 113059470 501(C)(3) 131422 SUBAWARD - SPONSORED RESEARCH NATIONAL JEWISH HEALTH 1400 JACKSON STREET DENVER CO 80206 742044647 501(C)(3) 64936 SUBAWARD - SPONSORED RESEARCH NEW HAVEN FAMILY ALLIANCE INC 370 JAMES STREET SUITE 201 NEW HAVEN CT 06513 061324343 501(C)(3) 301629 SUBAWARD - SPONSORED RESEARCH NEW REACH 153 EAST STREET NEW HAVEN CT 06511 223037451 501(C)(3) 69140 SUBAWARD - 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SPONSORED RESEARCH STOWERS INSTITUTE FOR MEDICAL RESEARCH PO BOX 412411 KANSAS CITY MO 641412411 202993509 501(C)(3) 308129 SUBAWARD - SPONSORED RESEARCH TANNER RESEARCH INC 825 SOUTH MYRTLE AVENUE MONROVIA CA 91016 954163780 12535 SUBAWARD - SPONSORED RESEARCH TEMPLE UNIVERSITY 3401 N BROAD ST 1007 JONES HALL PHILADELPHIA PA 19140 231365971 501(C)(3) 26023 SUBAWARD - SPONSORED RESEARCH TEXAS BIOMEDICAL RESEARCH INSTITUTE PO BOX 760549 SAN ANTONIO TX 78245 741109630 501(C)(3) 483338 SUBAWARD - SPONSORED RESEARCH THE BOARD OF TRUSTEE OF THE UNIVERSITY OF ILLINOIS 912 S WOOD STREET CHICAGO IL 60612 376000511 501(C)(3) 305897 SUBAWARD - SPONSORED RESEARCH THE BROAD INSTITUTE INC 7 CAMBRIDGE CENTER CAMBRIDGE MA 02142 263428781 501(C)(3) 218357 SUBAWARD - SPONSORED RESEARCH THE BRONX VETERANS MEDICAL RESEARCH FOUNDATION INC 130 WEST KINGSBRIDGE ROAD BRONX NY 10468 133699250 501(C)(3) 37607 SUBAWARD - SPONSORED RESEARCH THE CHILDREN'S COMMUNITY PROGRAMS OF CT INC 446-A BLAKE STREET NEW HAVEN CT 06515 061579606 501(C)(3) 57258 SUBAWARD - 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SPONSORED RESEARCH VIRGINIA COMMONWEALTH UNIVERSITY PO BOX 843039 RICHMOND VA 232843039 546001758 STATE OF VA 9043 SUBAWARD - SPONSORED RESEARCH WASHINGTON UNIVERSITY 660 S EUCLID AVE CAMPUS BOX 8111 ST LOUIS MO 63110 430653611 501(C)(3) 97814 SUBAWARD - SPONSORED RESEARCH WATERBURY HOSPITAL 140 GRANDVIEW AVENUE SUITE L-02 WATERBURY CT 06708 060665979 501(C)(3) 11173 SUBAWARD - SPONSORED RESEARCH WAYNE STATE UNIVERSITY PO BOX 02788 DETROIT MI 48202 386028429 501(C)(3) 191258 SUBAWARD - SPONSORED RESEARCH WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 575 LEXINGTON AVENUE 9TH FLOOR NEW YORK NY 10022 131623978 501(C)(3) 137882 SUBAWARD - SPONSORED RESEARCH YALE NEW HAVEN HEALTH SERVICES CORP 1 CHURCH STREET 5TH FLOOR NEW HAVEN CT 06510 222529464 501(C)(3) 46174 SUBAWARD - SPONSORED RESEARCH ABILIS COMMUNITY FOUNDATION INC 50 GLENVILLE STREET GREENWICH CT 06831 061331293 501(C)(3) 125000 DAF DISTRIBUTIONS DOCTORS WITHOUT BORDERS 333 SEVENTH AVENUE NO 2ND FL NEW YORK NY 100015004 133433452 501(C)(3) 10000 DAF DISTRIBUTIONS DONORS TRUST INC 109 NORTH HENRY STREET ALEXANDRIA VA 22314 522166327 501(C)(3) 200000 DAF DISTRIBUTIONS DOROT INC 171 WEST 85TH STREET NEW YORK NY 10024 133264005 501(C)(3) 50000 DAF DISTRIBUTIONS WICHITA STATE UNIVERSITY FOUNDATION 1845 FAIRMOUNT CAMPUS WICHITA KS 672600002 486121167 501(C)(3) 75000 DAF DISTRIBUTIONS AMISTAD ACADEMY INC 403 JAMES STREET NEW HAVEN CT 06513 061546695 501(C)(3) 100000 CHARITABLE CONTRIBUTION CLIFFORD W BEERS GUIDANCE CLINIC INC 93 EDWARDS STREET NEW HAVEN CT 06511 060646757 501(C)(3) 33186 CHARITABLE CONTRIBUTION COMMON GROUND HIGH SCHOOL 358 SPRINGSIDE AVENUE NEW HAVEN CT 06515 223171185 501(C)(3) 7500 CHARITABLE CONTRIBUTION CONNECTICUT ASSOCIATION FOR THE PERFORMING ARTS 55 E STATE STREET COLUMBUS OH 43215 061625278 501(C)(3) 125000 CHARITABLE CONTRIBUTION CONNECTICUT WOMEN'S HALL OF FAME INC 320 FITCH STREET NEW HAVEN CT 06515 061492895 501(C)(3) 10000 CHARITABLE CONTRIBUTION DWIGHT HALL AT YALE 67 HIGH STREET NEW HAVEN CT 06510 060653140 501(C)(3) 40531 CHARITABLE CONTRIBUTION EASTER SEALS GOODWILL INDUSTRIES REHABILITATION CENTER INC 432 WASHINGTON AVENUE NORTH HAVEN CT 06473 237431264 501(C)(3) 20000 CHARITABLE CONTRIBUTION MARKET NEW HAVEN INC 900 CHAPEL STREET NEW HAVEN CT 06510 061578847 501(C)(6) 250000 CONTRIBUTION NEIGHBORHOOD HOUSING SERVICES OF NEW HAVEN INC 333 SHERMAN AVENUE NEW HAVEN CT 06511 061021268 501(C)(3) 24000 CHARITABLE CONTRIBUTION NEW HAVEN INTERNATIONAL FESTIVAL OF ARTS AND IDEAS INC 195 CHURCH STREET 12TH FLOOR NEW HAVEN CT 06510 061444222 501(C)(3) 102000 CHARITABLE CONTRIBUTION NEW HAVEN YOUTH TENNIS AND EDUCATION 80 SEAVIEW TERRACE GUILFORD CT 06437 270772846 501(C)(3) 25000 CHARITABLE CONTRIBUTION SCIENCE PARK DEVELOPMENT CORPORATION 25 SCIENCE PARK NEW HAVEN CT 06511 061062368 501(C)(3) 30000 CHARITABLE CONTRIBUTION TEACH FOR AMERICA INC 315 WEST 36TH STREET 8TH FLOOR NEW YORK NY 10018 133541913 501(C)(3) 100000 CHARITABLE CONTRIBUTION UNITED WAY OF GREATER NEW HAVEN INC 370 JAMES STREET NEW HAVEN CT 06513 060646761 501(C)(3) 100000 CHARITABLE CONTRIBUTION THE COMMUNITY FOUNDATION FOR GREATER NEW HAVEN 70 AUDUBON STREET NEW HAVEN CT 06510 066032106 501(C)(3) 643719 SCHOLARSHIPS 244 23 STIPENDS 3862 67266679 SCHOLARSHIPS 7882 249262153 COST TUITION REDUCTION HEALTH PREMIUM AWARDS 2818 10122669 COST HEALTHCARE FELLOWSHIPS 981 8072149 PRIZES AND AWARDS 1276 3370398 SCHEDULE I, PART I, LINE 2: WITH RESPECT TO SPONSORED PROJECT ACTIVITY SUBCONTRACTED TO OTHER ENTITIES, THE UNIVERSITY'S POLICY AND PROCEDURES FOR MONITORING GRANTS ARE INTENDED TO ESTABLISH APPROPRIATE AND EFFECTIVE MECHANISMS TO PROMOTE COMPLIANCE WITH FEDERAL AND NON-FEDERAL REQUIREMENTS AND ENSURE THAT THE UNIVERSITY AND ITS SPONSORS RECEIVE VALUE FOR FUNDS EXPENDED. THESE PROCEDURES INCLUDE A FORMAL APPROVAL PROCESS FOR SUBAWARDS, PRE-AWARD AND POST-AWARD MONITORING OF SUB RECIPIENTS TO REVIEW THE FINANCIAL STATUS AND MANAGEMENT CONTROLS, COMPLIANCE CERTIFICATIONS RELATIVE TO THE USE OF HUMAN SUBJECTS AND ANIMALS, AND REQUIRED DISCLOSURE OF ANY CONFLICT OF INTEREST WITH A SUB RECIPIENT ENTITY AND A REVIEW OF PERTINENT OTHER ORGANIZATION INFORMATION. IN ACCORDANCE WITH THESE PROCEDURES, THE UNIVERSITY REVIEWS THE SUB RECIPIENT'S ADMINISTRATION, BILLINGS AND SCIENTIFIC PROGRESS OF AN ACTIVE SUBAWARD AND CONDUCTS ON-GOING RISK ASSESSMENTS AS WELL AS QUARTERLY QUALITY ASSURANCE REVIEWS ON RANDOMLY SELECTED SUBAWARDS. THE PROCEDURES SERVE TO ENSURE THAT THE SUBAWARDS ARE USED FOR PROPER PURPOSES AND NOT DIVERTED FROM THEIR INTENDED USE. THE UNIVERSITY PROVIDES STUDENTS WITH MANY FELLOWSHIP OPPORTUNITIES TO FUND RESEARCH, INDEPENDENT PROJECTS, INTERNSHIPS, VOLUNTEER WORK, COMMUNITY SERVICE, AND STUDY ABROAD. AWARD RECIPIENTS ARE SELECTED BASED ON AN APPLICATION, INCLUDING A PROPOSAL, ESSAYS, BUDGET, ACADEMIC RECORD, AND INTERVIEW, AS APPLICABLE. IN MOST CASES, THE TERMS OF THE AWARD REQUIRE THAT THE RECIPIENT PREPARE AND PRESENT A REPORT OF THE FELLOWSHIP ACTIVITY. FURTHER, CERTAIN FELLOWSHIP RECIPIENTS ARE REQUIRED TO DOCUMENT EXPENSES TO VERIFY THAT THE FELLOWSHIP WAS USED FOR THE PURPOSE INTENDED. SUCH DOCUMENTATION MAY INCLUDE COPIES OF PLANE TICKETS AND BOARDING PASSES, COPIES OF VISAS, RECEIPTS FOR TUITION, LETTERS FROM ORGANIZATIONS VERIFYING THE INTERNSHIP AND DATES, ETC., AS APPROPRIATE. SCHEDULE I, PART II: A SUBAWARD IS AN AWARD FROM THE UNIVERSITY TO A QUALIFIED THIRD PARTY PRIMARILY TO PERFORM RESEARCH AND OTHER RELATED PROGRAMMATIC EFFORTS UNDER A SPONSORED RESEARCH PROJECT. SCHEDULE I, PART III: THE AMOUNTS REPORTED IN PART III REPRESENT AN ESTIMATE OF TOTAL AWARDS FOR THE FISCAL YEAR ENDED JUNE 30, 2014 BASED ON INFORMATION PROVIDED BY THE UNIVERSITY'S UNDERGRADUATE, GRADUATE AND PROFESSIONAL SCHOOLS. SOME STUDENTS RECEIVED MORE THAN ONE AWARD DURING THE FISCAL YEAR ENDED JUNE 30, 2014. X X X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 1 1 PETER SALOVEY TRUSTEE AND PRESIDENT 711745 0 0 0 49229 0 29033 0 11013 0 801020 0 0 0 BRUCE D ALEXANDER VP FOR NEW HAVEN & STATE AFFAIRS 477136 0 0 0 55882 0 29345 0 11340 0 573703 0 0 0 KIMBERLY M GOFF-CREWS SECRETARY AND VP FOR STUDENT LIFE 351911 0 0 0 17500 0 34317 0 8465 0 412193 0 0 0 SHAUNA R KING VP FOR FINANCE & BUSINESS OPERATIONS 529909 0 0 0 29660 0 29033 0 15494 0 604096 0 0 0 LINDA K LORIMER VP FOR GLOBAL & STRAT. INITIATIVES 547887 0 0 0 29213 0 29033 0 17324 0 623457 0 0 0 JOAN E O'NEILL VP FOR DEVELOPMENT 393249 0 0 0 47120 0 29345 0 50442 0 520156 0 0 0 MICHAEL A PEEL VP FOR HR & ADMINISTRATION 475930 0 0 0 73893 0 29345 0 19458 0 598626 0 0 0 BENJAMIN POLAK PROVOST 513612 0 0 0 17500 0 40363 0 828 0 572303 0 0 0 DOROTHY K ROBINSON VP & GENERAL COUNSEL 528125 0 0 0 17500 0 29033 0 9751 0 584409 0 0 0 ROBERT J ALPERN DEAN SCHOOL OF MEDICINE 802705 0 0 0 17500 0 29033 0 3063 0 852301 0 0 0 JOHN H BOLLIER AVP FOR FACILITIES 355920 0 0 0 0 0 29324 0 36396 0 421640 0 0 0 RICHARD C LEVIN PRESIDENT EMERITUS 982135 0 0 0 121012 0 29033 0 16827 0 1149007 0 0 0 RICHARD C LEVIN PRESIDENT EMERITUS 0 0 0 0 8503714 0 0 0 0 0 8503714 0 1916261 0 SCOTT A STROBEL VP WEST CAMPUS PLANNING 361784 0 0 0 17500 0 29345 0 23687 0 432316 0 0 0 DAVID F SWENSEN CHIEF INVESTMENT OFFICER 772329 0 1873554 0 430000 0 454331 0 38403 0 3568617 0 0 0 DEAN J TAKAHASHI SR DIRECTOR INVESTMENTS 580901 0 1405165 0 317500 0 201889 0 32767 0 2538222 0 0 0 KHALID M ABBED CHIEF, YALE SPINE INSTITUTE 238968 0 905300 0 0 0 28720 0 29456 0 1202444 0 0 0 ANAMIKA KATOCH CLINICIAN, CANCER CENTER 450657 0 677706 0 17500 0 32689 0 768 0 1179320 0 0 0 DAVID J LEFFELL PROFESSOR OF DERMATOLOGY 738266 0 667106 0 17500 0 29033 0 45235 0 1497140 0 0 0 THOMAS J RUTHERFORD PROFESSOR, OB/GYN 252577 0 1229411 0 13569 0 28407 0 11430 0 1535394 0 0 0 TIMOTHY SULLIVAN DIRECTOR INVESTMENTS 573920 0 473027 0 17500 0 412366 0 40454 0 1517267 0 0 0 MICHAEL J DONOGHUE FORMER VP WEST CAMPUS PLANNING 236410 0 0 0 17500 0 28707 0 22806 0 305423 0 0 0 PART I, LINE 1A EACH ONE OF THE BENEFITS THAT WAS CHECKED WAS PROVIDED PURSUANT TO A WRITTEN POLICY. FIRST-CLASS OR CHARTER TRAVEL: ON OCCASION DURING THE CALENDAR YEAR 2013, THE UNIVERSITY CHARTERED PRIVATE AIRCRAFT WHEN DEEMED NECESSARY FOR THE CONDUCT OF UNIVERSITY BUSINESS, PURSUANT TO A CORPORATION POLICY. FOUR OFFICERS TRAVELLED ON SUCH FLIGHTS IN 2013 IN ACCORDANCE WITH THE POLICY. IN ADDITION, ONE KEY EMPLOYEE TRAVELLED ON A FIRST CLASS FLIGHT DURING 2013 DUE TO SPECIAL CIRCUMSTANCES AND AS PERMITTED PURSUANT TO UNIVERSITY POLICY. UNDER APPLICABLE RULES, AMOUNTS FOR SUCH TRAVEL WERE NOT REPORTED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. TRAVEL FOR COMPANIONS: THE SPOUSES OF TWO OFFICERS ON OCCASION ACCOMPANIED THEM ON UNIVERSITY BUSINESS. THE PRIMARY PURPOSE OF THE TRAVEL WAS TO CONDUCT UNIVERSITY BUSINESS BY REPRESENTING THE UNIVERSITY AT OFFICIAL FUNCTIONS. UNDER APPLICABLE RULES, THE COST OF TRAVEL WAS NOT REQUIRED TO BE REPORTED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: FOUR OFFICERS RECEIVED TAX GROSS-UP PAYMENTS DURING THE CALENDAR YEAR 2013 FOR CERTAIN LIMITED TAXABLE BENEFITS BASED ON THEIR ESTIMATED RELATED TAX OBLIGATIONS. THESE PAYMENTS WERE TREATED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE: TWO OFFICERS WERE PROVIDED UNIVERSITY RESIDENCES FOR PERSONAL USE DURING THE CALENDAR YEAR 2013. THE VALUES OF THE RESIDENCES WERE DETERMINED PURSUANT TO IRC SECTION 119(D), AS REQUIRED, AND TREATED AS TAXABLE COMPENSATION. IN ADDITION, ONE OFFICER RECEIVED A HOUSING ALLOWANCE WHICH WAS TREATED AS TAXABLE COMPENSATION TO THE INDIVIDUAL DURING CALENDAR YEAR 2013. HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES: THE UNIVERSITY PAID ANNUAL CLUB DUES FOR ONE OFFICER. THE AMOUNT WAS TREATED AS TAXABLE COMPENSATION. PERSONAL SERVICES: IN CONNECTION WITH UNIVERSITY BUSINESS ACTIVITY, ONE OFFICER RECEIVED SUPPORT FROM A SERVICE ASSISTANT; THE COST OF PERSONAL SERVICES RENDERED BY THAT ASSISTANT WAS TREATED AS TAXABLE COMPENSATION. PART I, LINE 4B CERTAIN LISTED PERSONS PARTICIPATED IN SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS DURING THE CALENDAR YEAR 2013 AS DESCRIBED BELOW: THE UNIVERSITY PREVIOUSLY AGREED TO SUPPLEMENT THE FORMER PRESIDENT'S RETIREMENT INCOME BY PROVIDING AN ADDITIONAL RETIREMENT BENEFIT EQUAL IN VALUE TO 75% OF HIS FINAL SALARY AS PRESIDENT FOR A POST-RETIREMENT TERM OF 20 YEARS MINUS THE ANNUITY VALUE OF OTHER EMPLOYER-PROVIDED RETIREMENT BENEFITS, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY. THIS ADDITIONAL BENEFIT WAS VESTED AND PAID AS A LUMP SUM IN 2013 AND IS REFLECTED IN SCHEDULE J, PART II, COLUMN (B)(III). PRESIDENT LEVIN STEPPED DOWN ON JUNE 30, 2013 AFTER 20 YEARS OF SERVICE AS PRESIDENT OF THE UNIVERSITY. THE UNIVERSITY PREVIOUSLY AGREED TO SUPPLEMENT THE RETIREMENT INCOME FOR TWO KEY EMPLOYEES IN THE INVESTMENTS OFFICE BY PROVIDING AN ADDITIONAL RETIREMENT BENEFIT EQUAL IN VALUE TO A PERCENTAGE OF SALARY AT VESTING, FOR A TERM OF 20 YEARS, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY. AN ANNUAL ACCRUAL FOR THE ADDITIONAL RETIREMENT BENEFITS IS INCLUDED IN SCHEDULE J, PART II, COLUMN (C). IN ADDITION, THE UNIVERSITY AWARDED BONUSES TO THE TWO PREVIOUSLY MENTIONED EMPLOYEES IN THE INVESTMENTS OFFICE THAT WERE TAXED IN 2013 AND SUBJECT TO DEFERRED PAYMENT WITH ADJUSTMENTS UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE ENDOWMENT. THESE BONUSES FOR 2013 ARE INCLUDED IN SCHEDULE J, PART II, COLUMN B(III). SCHEDULE J, PART I, LINE 7: THE UNIVERSITY PAID TWO KEY EMPLOYEES IN THE INVESTMENTS OFFICE BONUSES AWARDED UNDER A LONG TERM INCENTIVE COMPENSATION PLAN WHICH PROVIDES FOR PAYMENTS WHICH ARE BASED ON QUALITATIVE AND QUANTITATIVE PERFORMANCE FACTORS. THE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). THE UNIVERSITY PAID A HIGHLY COMPENSATED EMPLOYEE A BONUS UNDER A LONG TERM INCENTIVE COMPENSATION PLAN WHICH PROVIDES FOR DEFERRED VESTING AND FOR PAYMENT AS DESCRIBED IN THE NOTE TO SCHEDULE J, PART II, COLUMN (C) BELOW. THE CURRENT YEAR PAYMENT THAT WAS AWARDED IN PREVIOUS YEARS IS REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). THE AMOUNT AWARDED IN THE CURRENT YEAR BUT SUBJECT TO DEFERRED VESTING IS INCLUDED AS DEFERRED COMPENSATION ON SCHEDULE J, PART II, COLUMN (C). THE UNIVERSITY ALSO PAID FOUR HIGHLY COMPENSATED EMPLOYEES ADDITIONAL COMPENSATION PURSUANT TO CLINICAL INCENTIVE PLANS. THE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). SCHEDULE J, PART I, LINE 8: THERE WAS ONE KEY EMPLOYEE WITH RESPECT TO WHOM AMOUNTS WERE REPORTED IN PART VII WHERE THOSE AMOUNTS WERE PAID OR ACCRUED PURSUANT TO A CONTRACT THAT WAS SUBJECT TO THE INITIAL CONTRACT EXCEPTION DESCRIBED IN REGS. SECTION 53.4958-4(A)(3). THE COMPENSATION WAS ALSO APPROVED PURSUANT TO PROCESSES CONSISTENT WITH THE REBUTTABLE PRESUMPTION PROCEDURE DESCRIBED IN REGS. SECTION 53.4958-6(C). SCHEDULE J, PART II (GENERAL NOTES): COLUMN (C): FOR A HIGHLY COMPENSATED EMPLOYEE LISTED IN SCHEDULE J, THE AMOUNT REPORTED IN COLUMN (C) INCLUDES AMOUNTS SUBJECT TO VESTING, CONTINGENT ON THE PERFORMANCE OF FUTURE SERVICES AND MAY CHANGE UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE ENDOWMENT PRIOR TO VESTING AND PAYMENT. THE FINAL AMOUNT WILL BE REPORTED IN COLUMN (B)(II) OF SCHEDULE J, FORM 990, FOR THE YEAR IN WHICH THE COMPENSATION IS PAID. COLUMN (D): IN ADDITION TO THE EMPLOYER COST OF HEALTH, DENTAL AND OTHER NONTAXABLE BENEFITS AVAILABLE ON A NONDISCRIMINATORY BASIS, COLUMN (D) INCLUDES AMOUNTS AWARDED AS SCHOLARSHIP GRANTS TO CHILDREN OF EMPLOYEES UNDER THE UNIVERSITY'S NONDISCRIMINATORY QUALIFIED TUITION REDUCTION PLAN COVERING ALL ELIGIBLE FACULTY AND STAFF WITH SIX OR MORE YEARS OF SERVICE. COLUMN (F): COMPENSATION REPORTED IN PRIOR FORM 990: THIS AMOUNT IS ALSO INCLUDED IN COLUMN (E). IT IS, THEREFORE, DOUBLE REPORTED IN PART II AND DOES NOT REPRESENT ADDITIONAL COMPENSATION. A STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774LZC2 2003-01-08 250000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 B STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774L6B6 2005-10-05 211030000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 C STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774L6C4 2005-10-05 100000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 D STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UPP4 2007-10-04 414292000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 A 252221323 252221323 2009 0 0 1 1 B 219949777 219949777 2012 0 0 1 1 C 104887356 104887356 2012 0 0 1 1 D 424106796 424106796 2012 0 0 1 1 A 0 1 1 0 1 0 0.00000 0.00100 0.00100 0 0 1 B 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 D 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 0 1 0 1 0 0 0 1 D 0 0 1 0 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K, PART I, BOND ISSUE, COLUMN (F): CHEFA BONDS ISSUED 2/24/2010 (CUSIP# 20774UU60) - AND TO DEFEASE CHEFA SERIES W BONDS ISSUED 4/2002. SCHEDULE K, PART II, PROCEEDS, QUESTION 3: TOTAL PROCEEDS OF ISSUE REPRESENT THE ISSUE PRICE (PART I, COLUMN (E)) PLUS ANY INVESTMENT EARNINGS. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTION 3B: DURING THE 12-MONTH PERIOD USED TO REPORT ON THE BOND ISSUES, THE ORGANIZATION ROUTINELY REVIEWED ANY MANAGEMENT OR SERVICE CONTRACTS RELATING TO THE FINANCED PROPERTY FOR PRIVATE BUSINESS USE, USING EITHER IN-HOUSE COUNSEL, OUTSIDE COUNSEL, OR PROFESSIONAL CONTRACT REVIEWERS TRAINED BY COUNSEL. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTION 3D: DURING THE 12-MONTH PERIOD USED TO REPORT ON THE BOND ISSUES, THE ORGANIZATION ROUTINELY REVIEWED RESEARCH AGREEMENTS RELATING TO THE FINANCED PROPERTY FOR PRIVATE BUSINESS USE, USING EITHER IN-HOUSE COUNSEL, OUTSIDE COUNSEL, OR PROFESSIONAL CONTRACT REVIEWERS TRAINED BY COUNSEL. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 4-5: IN CERTAIN CASES, A BOND ISSUE WITH AN ENTRY OF .00% MAY HAVE FINANCED PROPERTY WITH SOME PRIVATE BUSINESS USE. IN EACH OF THESE CASES, THE PRIVATE BUSINESS USE PERCENTAGE OF THE BOND ISSUE WAS LESS THAN 0.05% AS THE AMOUNTS ARE ROUNDED TO THE NEAREST TENTH OF A PERCENTAGE POINT, PURSUANT TO THE INSTRUCTIONS. SCHEDULE K, PART III, PRIVATE BUSINESS USE, QUESTIONS 4-6, BOND B, SECOND PAGE - CHEFA BONDS ISSUED 02/24/10 (CUSIP# 20774UU60): A PORTION OF THE BOND ISSUE WAS A CURRENT REFUNDING OF A PRE-2003 ISSUE, ONLY THE PRIVATE BUSINESS USE PERTAINING TO THE NEW MONEY PORTION OF THE 02/24/10 ISSUE IS REPORTED. SCHEDULE K, PART IV, ARBITRAGE, QUESTION 2C, BOND B, SECOND PAGE - CHEFA BONDS ISSUED 02/24/10 (CUSIP# 20774UU60): A PORTION OF THE BOND ISSUE RELATING TO THE CONSTRUCTION FUND IS SUBJECT TO REBATE. THE REBATE LIABILITY COMPUTED AT JUNE 30, 2014 WAS NEGATIVE. SCHEDULE K, PART IV, ARBITRAGE, QUESTION 3, BOND A, SECOND PAGE - CHEFA BOND ISSUED 10/04/07 (CUSIP# 20774UPQ2): PURSUANT TO THE INSTRUCTIONS FOR PART IV, QUESTION 3, A VARIABLE RATE ISSUE IS AN ISSUE CONTAINING A BOND WITH A YIELD NOT FIXED AND DETERMINABLE ON THE ISSUE DATE. THE BOND ISSUE WAS CONVERTED TO A FIXED RATE IN 2008. A STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UPQ2 2007-10-04 200000000 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 B STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774UU60 2010-02-24 579984034 TO FINANCE FACILITIES, ADDITIONS, IMPROVEMENTS, AND RENOVATIONS 0 0 0 C STATE OF CONNECTICUT HEALTH AND EDUCATIONAL FACILITIES AUTHORITY 060806186 20774YPD3 2013-07-02 100000000 TO FULLY REDEEM CHEFA SERIES X1 BONDS ISSUED 1/2003 0 0 0 A 204478448 204478448 2012 0 0 1 1 B 580160339 490643522 89516817 2012 1 0 1 1 C 100000000 100000000 2013 1 0 1 1 A 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 0 1 1 0 0 0 1 C 0 0 1 0 1 0 0 0 1 A 1 B 1 C 1 SCOTT STROBEL (PART V) KEY EMPLOYEE HOUSING X 100000 97956 0 0 1 SCOTT STROBEL (PART V) KEY EMPLOYEE HOUSING X 100000 100000 0 0 1 ROBERT BLOCKER (PART V) DISQUALIFIED PERSON HOUSING X 200000 8333 0 0 1 T K VANDERLICK (PART V) DISQUALIFIED PERSON HOUSING X 100000 72187 0 0 1 278476 90306 SCHOLARSHIPS (SEE PART V) 200 PRIZE/AWARD (SEE PART V) ABBOTT LABORATORIES (SEE PART V) ROBERT ALPERN, A KEY EMPLOYEE, IS A DIRECTOR 283227 (SEE PART V) PURCHASE OF LABORATORY SUPPLIES IN THE ORDINARY COURSE OF BUSINESS SHOWN. IN ADDITION, THE UNIVERSITY RECEIVED CLINICAL TRIAL INCOME, ROYALTY INCOME, AND OTHER MISCELLANEOUS INCOME IN THE ORDINARY COURSE OF BUSINESS OF $963,318. 0 ABBVIE (SEE PART V) ROBERT ALPERN, A KEY EMPLOYEE, IS A DIRECTOR 2597230 (SEE PART V) SPONSORED RESEARCH REVENUE, CLINICAL TRIAL INCOME, ROYALTY INCOME, AND OTHER MISCELLANEOUS INCOME IN THE ORDINARY COURSE OF BUSINESS. 0 AMERICAN EXPRESS (SEE PART V) RICHARD LEVIN, A KEY EMPLOYEE, IS A DIRECTOR 665840 (SEE PART V) PURCHASE OF TRAVELERS CHECKS AND TRAVEL SERVICE FEES PAID IN THE ORDINARY COURSE OF BUSINESS. 0 BAIN PRIVATE EQUITY FUNDS (SEE PART V) JOSHUA BEKENSTEIN, A TRUSTEE, IS A MANAGING DIRECTOR 112285460 (SEE PART V) CAPITAL CONTRIBUTIONS SHOWN. IN ADDITION, THE UNIVERSITY RECEIVED DISTRIBUTIONS OF $269,289,411 IN THE ORDINARY COURSE OF BUSINESS. 0 BRIGHT HORIZONS (SEE PART V) JOSHUA BEKENSTEIN, A TRUSTEE, IS A DIRECTOR 105787 (SEE PART V) PROFESSIONAL SERVICE FEES PAID IN THE ORDINARY COURSE OF BUSINESS. 0 GENERAL ELECTRIC COMPANY (SEE PART V) DOUGLAS WARNER III, A TRUSTEE, IS A DIRECTOR 2693783 (SEE PART V) SYSTEM MAINTENANCE AND SUPPORT FEES AND THE PURCHASE OF OTHER GOODS AND SERVICES IN THE ORDINARY COURSE OF BUSINESS SHOWN. IN ADDITION, THE UNIVERSITY RECEIVED SPONSORED RESEARCH REVENUE, CLINICAL TRIAL INCOME, AND ROYALTY INCOME IN THE ORDINARY COURSE OF BUSINESS OF $364,310. 0 PEPSICO (SEE PART V) INDRA NOOYI, A TRUSTEE, IS CHAIRMAN AND CEO 340846 (SEE PART V) FOOD AND BEVERAGE PURCHASES FROM PEPSICO AND ITS DIVISIONS IN THE ORDINARY COURSE OF BUSINESS. 0 THE MCGRAW-HILL COMPANIES (SEE PART V) LINDA LORIMER, AN OFFICER, IS A DIRECTOR 506296 (SEE PART V) S&P RATINGS AND PUBLICATION PURCHASES IN THE ORDINARY COURSE OF BUSINESS. 0 UNITED EDUCATORS INSURANCE (SEE PART V) KIMBERLY GOFF-CREWS, AN OFFICER, IS A DIRECTOR 1026513 (SEE PART V) INSURANCE PREMIUM PAYMENTS IN THE ORDINARY COURSE OF BUSINESS. 0 JANE LEVIN (SEE PART V) SPOUSE OF RICHARD LEVIN, A KEY EMPLOYEE 94363 (SEE PART V) COMPENSATION AND BENEFITS, INCLUDING FACULTY SERVICES AS SENIOR LECTURER. 0 STEFANIE MARKOVITS (SEE PART V) SPOUSE OF BENJAMIN POLAK, AN OFFICER 139301 (SEE PART V) COMPENSATION AND BENEFITS, PROFESSOR OF ENGLISH. 0 MARTA MORET (SEE PART V) SPOUSE OF PETER SALOVEY, AN OFFICER 30510 (SEE PART V) COMPENSATION AND BENEFITS, ASSOCIATE. 0 PATRICIA PREISIG (SEE PART V) SPOUSE OF ROBERT ALPERN, A KEY EMPLOYEE 182673 (SEE PART V) COMPENSATION AND BENEFITS, PROFESSOR, MEDICINE (NEPHROLOGY) AND CELLULAR AND MOLECULAR PHYSIOLOGY. 0 WENDY SHARP (SEE PART V) SPOUSE OF DEAN TAKAHASHI, A KEY EMPLOYEE 95182 (SEE PART V) COMPENSATION AND BENEFITS, DIRECTOR OF CHAMBER MUSIC, LECTURER SCHOOL OF MUSIC. 0 SCHEDULE L, PART II ALL LOANS REPORTED ON SCHEDULE L, PART II WERE MADE AND APPROVED PURSUANT TO UNIVERSITY COMPENSATION POLICIES. SCHEDULE L, PART III THE SCHOLARSHIP GRANTS REPRESENT AMOUNTS AWARDED TO INTERESTED PERSONS UNDER THE UNIVERSITY'S NONDISCRIMINATORY QUALIFIED TUITION REDUCTION PLAN COVERING ALL ELIGIBLE FACULTY AND STAFF WITH SIX OR MORE YEARS OF SERVICE. IN ADDITION, A PRIZE/AWARD WAS AWARDED TO AN INTERESTED PERSON. SCHEDULE L, PART IV TRANSACTIONS WITH ENTITIES WHOLLY OWNED, DIRECTLY OR INDIRECTLY, AND LISTED ON SCHEDULE R ARE NOT REPORTED ALTHOUGH YALE OFFICERS OR KEY EMPLOYEES MAY SERVE (WITHOUT COMPENSATION) AS OFFICERS OR DIRECTORS OF SUCH ENTITIES. X 71 0 X 2 0 X 0 X 2 0 X 969 50492688 FAIR VALUE X 4 968089 SALE OF COMP. PROPERTY X 4 7422195 SALE OF COMP. PROPERTY X 2 0 X 16 0 X 1 0 X EQUIPMENT 5 0 X MUSICAL INSTR 1 0 X SOFTWARE LIC. 1 0 81 0 1 1 PART I, COLUMN (B): AMOUNTS REPRESENT THE NUMBER OF NON-CASH CONTRIBUTIONS RECEIVED AND RECORDED IN THE CENTRAL CONTRIBUTION DATABASE OF THE UNIVERSITY. PART I, LINE 32B: OCCASIONALLY, THE UNIVERSITY ENGAGES THIRD PARTIES (E.G., REAL ESTATE BROKERS, AUCTION HOUSES, INVESTMENT BROKERS, ETC.) TO SELL CERTAIN NON-CASH CONTRIBUTIONS. PART I, LINE 33: PURSUANT TO ACCOUNTING STANDARDS CODIFICATION 958 (ASC 958), THE UNIVERSITY DOES NOT CAPITALIZE ITS COLLECTIONS, INCLUDING WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES AND ARTIFACTS THAT ARE MAINTAINED IN ITS MUSEUMS AND LIBRARIES. NON-CASH CONTRIBUTIONS OF THIS NATURE ARE, THEREFORE, NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH AND THE FURTHERANCE OF PUBLIC SERVICE. OTHER NON-CASH CONTRIBUTIONS WITH NO READILY ASCERTAINABLE FAIR VALUE OR WHICH ARE DEEMED IMMATERIAL ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. FORM 990, PART I, LINE 6: TOTAL NUMBER OF VOLUNTEERS: VOLUNTEERS SUPPORT AND BENEFIT THE UNIVERSITY IN A WIDE VARIETY OF ACTIVITIES, PROGRAMS, AND SERVICES. WHILE YALE UNIVERSITY DOES NOT TRACK THE NUMBER OF ITS VOLUNTEERS, THE UNIVERSITY ESTIMATES THAT THE NUMBER OF VOLUNTEERS WAS APPROXIMATELY 7,800 DURING FYE 6/30/14. FORM 990, PART III, LINE 1: DESCRIPTION OF ORGANIZATION MISSION: LIKE ALL GREAT RESEARCH UNIVERSITIES, YALE HAS A TRIPARTITE MISSION: TO CREATE, PRESERVE, AND DISSEMINATE KNOWLEDGE. YALE AIMS TO CARRY OUT EACH PART OF ITS MISSION AT THE HIGHEST LEVEL OF EXCELLENCE, ON PAR WITH THE BEST INSTITUTIONS IN THE WORLD. YALE SEEKS TO ATTRACT A DIVERSE GROUP OF EXCEPTIONALLY TALENTED MEN AND WOMEN FROM ACROSS THE NATION AND AROUND THE WORLD AND TO EDUCATE THEM FOR LEADERSHIP IN SCHOLARSHIP, THE PROFESSIONS, AND SOCIETY. FORM 990, PART VI, SECTION A, LINE 1 THERE ARE TWO EX-OFFICIO TRUSTEES, THE GOVERNOR OF CONNECTICUT AND THE LIEUTENANT GOVERNOR OF CONNECTICUT. HISTORICALLY, THESE INDIVIDUALS DO NOT PARTICIPATE IN GOVERNANCE ACTIVITIES AT THE UNIVERSITY AND THEY ARE REPORTED AS INDEPENDENT. FORM 990, PART VI, SECTION A, LINE 4 DURING THE FYE 6/30/14, THE YALE CORPORATION BY-LAWS WERE AMENDED TO CHANGE THE TITLE AND DESCRIPTION OF AN OFFICER POSITION FROM VICE PRESIDENT OF THE UNIVERSITY TO VICE PRESIDENT FOR GLOBAL AND STRATEGIC AFFAIRS. THESE CHANGES ADDED SPECIFICITY TO THE TITLE AND DESCRIPTION OF THE POSITION RATHER THAN SIGNIFICANTLY ALTERING ITS RESPONSIBILITIES. FORM 990, PART VI, SECTION A, LINE 7A THE GOVERNING BODY INCLUDES SIX ALUMNI TRUSTEES WHO ARE ELECTED BY THE ALUMNI. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 WAS REVIEWED BY SENIOR MANAGEMENT. IN ADDITION, THE UNIVERSITY DISTRIBUTED A DRAFT COPY OF FORM 990 TO THE CORPORATION AUDIT COMMITTEE, COMPRISED OF FOUR MEMBERS OF THE UNIVERSITY'S GOVERNING BODY. MEMBERS OF SENIOR MANAGEMENT MET WITH CERTAIN UNIVERSITY OFFICERS AND THE CORPORATION AUDIT COMMITTEE TO DISCUSS THE DRAFT FORM 990 AND ANSWER ANY QUESTIONS PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE YALE UNIVERSITY CONFLICT OF INTEREST POLICY OBLIGATES EACH OFFICER, TRUSTEE, AND KEY EMPLOYEE TO PROMPTLY DISCLOSE ANY ACTUAL OR POTENTIAL CONFLICT OF INTEREST AS DEFINED IN THE POLICY. EACH SUCH PERSON MUST SIGN A STATEMENT ANNUALLY AFFIRMING THAT HE OR SHE HAS RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY, HAS READ AND UNDERSTANDS THE POLICY, AGREES TO COMPLY WITH THE POLICY, AND UNDERSTANDS THAT THE CORPORATION IS CHARITABLE AND IN ORDER TO MAINTAIN ITS EXEMPTION IT MUST ENGAGE PRIMARILY IN ACTIVITIES WHICH ACCOMPLISH ONE OR MORE OF ITS TAX-EXEMPT PURPOSES. IN CONNECTION WITH ANY ACTUAL OR POSSIBLE CONFLICT OF INTEREST, AN INTERESTED PERSON MUST DISCLOSE THE EXISTENCE OF HIS OR HER FINANCIAL INTEREST AND BE GIVEN THE OPPORTUNITY TO DISCLOSE ALL MATERIAL FACTS TO THE DIRECTOR AND MEMBERS OF THE COMMITTEE WITH GOVERNING BOARD DELEGATED POWERS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. AFTER DISCLOSURE OF A POTENTIAL CONFLICT OF INTEREST, THE INTERESTED PERSON IS EXCUSED FROM THE GOVERNING BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS MADE, AND IS RECUSED FROM PARTICIPATING IN ANY VOTE ON THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS FOR DETERMINING THE COMPENSATION OF THE PRESIDENT INCLUDED INITIAL REVIEW BY THE COMMITTEE ON COMPENSATION (THE COMPENSATION COMMITTEE) OF THE YALE CORPORATION (YALE UNIVERSITY'S GOVERNING BOARD), A RECOMMENDATION VOTED BY THE COMMITTEE TO THE YALE CORPORATION, AND FULL REVIEW AND VOTE BY THE YALE CORPORATION. BOTH REVIEWS INCLUDED REVIEW OF THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT OTHER UNIVERSITIES, AS COMPILED BY A PROFESSIONAL COMPENSATION CONSULTANT RETAINED BY THE COMPENSATION COMMITTEE FOR THE PURPOSE, AND REVIEW OF INFORMATION ON SUCH COMPARABLE POSITIONS FROM IRS FORMS 990 FOR SIMILAR ORGANIZATIONS; BOTH REVIEWS CONSIDERED SUCH DATA IN LIGHT OF THE PERFORMANCE OF THE PRESIDENT, WHICH WAS REVIEWED BY THE COMPENSATION COMMITTEE AND BY THE YALE CORPORATION. THE PROCEEDINGS OF THE COMPENSATION COMMITTEE, AND THE PROCEEDINGS OF THE YALE CORPORATION, EACH WERE DOCUMENTED IN MINUTES OF THE RESPECTIVE BODY, CONTEMPORANEOUSLY ADOPTED AND RETAINED IN THE RECORDS OF THE RESPECTIVE BODY, ALONG WITH THE DATA ON COMPARABLE COMPENSATION THAT WAS RELIED UPON. ARRANGEMENTS FOR THE OUTGOING PRESIDENT SIMILARLY WERE REVIEWED BY THE COMPENSATION COMMITTEE AND APPROVED BY THE CORPORATION. THE PROCESS FOR DETERMINING COMPENSATION OF THE OFFICERS CONSISTED OF REVIEW BY THE COMPENSATION COMMITTEE OF THE RECOMMENDATIONS MADE BY THE PRESIDENT, CONSIDERING THE PERFORMANCE OF EACH OFFICER, AND REVIEW OF DATA ON COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT SIMILAR ORGANIZATIONS, AS COLLECTED BY A PROFESSIONAL COMPENSATION CONSULTANT THROUGH SURVEYS; THE COMPENSATION COMMITTEE VOTED RECOMMENDATIONS ON COMPENSATION OF SUCH INDIVIDUALS TO THE YALE CORPORATION. THE YALE CORPORATION RECEIVED THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE, AND DISCUSSED THESE WITH THE PRESIDENT, WHO REVIEWED THE PERFORMANCE OF EACH OFFICER WITH THE YALE CORPORATION, AND ALSO THE COMPARABLE COMPENSATION INFORMATION. THE YALE CORPORATION THEN VOTED ON THE COMPENSATION OF EACH OFFICER. THE PROCEEDINGS OF THE COMPENSATION COMMITTEE AND OF THE CORPORATION EACH WERE DOCUMENTED IN MINUTES CONTEMPORANEOUSLY ADOPTED AND RETAINED IN THE RECORDS OF THE RESPECTIVE BODY, ALONG WITH THE DATA ON COMPARABLE COMPENSATION THAT WAS RELIED UPON. OF THE KEY EMPLOYEES, THE COMPENSATION OF THE DEAN, SCHOOL OF MEDICINE WAS RECOMMENDED BY THE PRESIDENT TO THE COMPENSATION COMMITTEE, AND REVIEWED BY THAT COMMITTEE IN CONJUNCTION WITH ITS REVIEW OF THE PERFORMANCE OF THE DEAN AND CONSIDERATION OF DATA ON THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT OTHER INSTITUTIONS COMPILED BY AN INDEPENDENT COMPENSATION CONSULTANT. THE COMPENSATION COMMITTEE VOTED TO APPROVE THE COMPENSATION, AND CONTEMPORANEOUSLY DOCUMENTED ITS PROCEEDINGS IN MINUTES RETAINED IN ITS RECORDS ALONG WITH THE COMPENSATION DATA RELIED UPON. WITH RESPECT TO THE CHIEF INVESTMENTS OFFICER AND SENIOR DIRECTOR OF INVESTMENTS, THE COMPENSATION COMMITTEE VOTED TO APPROVE THE COMPENSATION AFTER CONSIDERATION OF THE RECOMMENDATIONS OF THE PRESIDENT AND OF THE FOLLOWING: REVIEW OF THE PERFORMANCE OF EACH, INVESTMENT PERFORMANCE OF THE YALE ENDOWMENT OVER DESIGNATED PERIODS, OTHER PERFORMANCE-RELATED INFORMATION, AND AN ANALYSIS OF THE COMPENSATION OF SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT TAXABLE AND TAX-EXEMPT ORGANIZATIONS PREPARED BY AN INDEPENDENT COMPENSATION CONSULTANT RETAINED FOR THE PURPOSE. THE COMPENSATION COMMITTEE CONTEMPORANEOUSLY DOCUMENTED ITS PROCEEDINGS IN MINUTES RETAINED IN ITS RECORDS ALONG WITH THE COMPENSATION DATA RELIED UPON. IN THE CASE OF THE OTHER KEY EMPLOYEES (WITH THE EXCEPTION OF THE OUTGOING PRESIDENT, DISCUSSED ABOVE), COMPENSATION DECISIONS WERE MADE BY THE EMPLOYEE'S SUPERVISOR IN ACCORDANCE WITH UNIVERSITY POLICIES AND PROCEDURES. NO MEMBER OF THE YALE CORPORATION WHO HAD A CONFLICT OF INTEREST WITH RESPECT TO A COMPENSATION ARRANGEMENT DESCRIBED ABOVE (I.E., BY VIRTUE OF A FAMILY OR BUSINESS RELATIONSHIP) PARTICIPATED IN THE COMPENSATION COMMITTEE REVIEW OR THE VOTE OF THE YALE CORPORATION WITH RESPECT TO SUCH COMPENSATION ARRANGEMENT. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S GOVERNING DOCUMENTS, INCLUDING ANY AMENDMENTS, FINANCIAL STATEMENTS AND STANDARDS OF BUSINESS CONDUCT ARE AVAILABLE ON THE UNIVERSITY'S WEBSITE OR UPON REQUEST. FORM 990, PART VII, SECTION A: COMPENSATION AND HOURS FOR A FORMER KEY EMPLOYEE RELATE TO CONTINUING SERVICE IN A NON-KEY EMPLOYEE POSITION. FORM 990, PART VII, SECTION A, COLUMN (A): CONTINUATION OF TITLES FOR EACH LISTED PERSON: PETER SALOVEY: PROFESSOR OF PSYCHOLOGY BRUCE D. ALEXANDER: AND CAMPUS DEVELOPMENT BENJAMIN POLAK: PROFESSOR OF ECONOMICS; PROFESSOR SCHOOL OF MANAGEMENT ROBERT J. ALPERN: PROFESSOR OF MEDICINE RICHARD C. LEVIN: SR. RESEARCH SCHOLAR JACKSON INSTITUTE; PROFESSOR EMERITUS SCHOOL OF MANAGEMENT; PROFESSOR EMERITUS ECONOMICS SCOTT A. STROBEL: AND PROGRAM DEVELOPMENT; PROFESSOR OF MOLECULAR BIOPHYSICS AND BIOCHEMISTRY; PROFESSOR OF CHEMISTRY; HOWARD HUGHES MEDICAL INSTITUTE PROFESSOR KHALID M. ABBED: DIRECTOR, MINIMALLY INVASIVE SPINE SURGERY & SPINE TUMOR SURGERY DAVID J. LEFFELL: AND PROFESSOR OF SURGERY; SECTION CHIEF, DERMATOLOGIC SURGERY AND CUTANEOUS ONCOLOGY THOMAS J. RUTHERFORD: SECTION CHIEF GYNECOLOGIC ONCOLOGY MICHAEL J. DONOGHUE: AND PROGRAM DEVELOPMENT; PROFESSOR OF ECOLOGY AND EVOLUTIONARY BIOLOGY, PROFESSOR SCHOOL OF FORESTRY AND ENVIRONMENTAL STUDIES AND GEOLOGY AND GEOPHYSICS, CURATOR OF BOTANY PEABODY MUSEUM FORM 990, PART VII, SECTION A, COLUMN (B): THE NUMBER OF HOURS REPORTED FOR EACH LISTED PERSON IS AN ESTIMATE. THE ESTIMATE FOR TRUSTEES INCLUDES MEETING TIME AND PREPARATION, AS WELL AS ATTENDANCE AT CERTAIN OFFICIAL UNIVERSITY FUNCTIONS DURING THE YEAR, BUT DOES NOT INCLUDE TRAVEL TIME OR ATTENDANCE AT OTHER EVENTS AS TRUSTEES. FORM 990, PART VII, SECTION B, COLUMN (C): THE AMOUNT REPORTED REPRESENTS DIRECT CASH PAYMENTS MADE DURING THE CALENDAR YEAR 2013 TO INDEPENDENT CONTRACTORS FOR SERVICES. FOR CONSTRUCTION SERVICES, THE FEES REPRESENT THE ENTIRE CONTRACT COST. FORM 990, PART IX, LINE 24: OTHER EXPENSES INCLUDE $796,831 OF STATE UNRELATED BUSINESS INCOME TAX. FORM 990, PART XI, LINE 9: CHANGE IN FUNDING STATUS OF DEFINED BENEFIT PLANS 53,007,000. ACTUARIAL ADJUSTMENTS FOR SPLIT INTEREST LIABILITY -10,970,082. ROUNDING -1,148. FORM 990, SCHEDULE B, PART I CONTRIBUTOR NO. 1: THE CONTRIBUTION REPRESENTS A PLEDGE. IT IS UNKNOWN AT THIS TIME WHETHER THE PLEDGE WILL BE SATISIFIED WITH CASH OR NON-CASH PROPERTY. 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SCHEDULE R, PART III: GENERAL NOTE: DISPROPORTIONATE ALLOCATIONS INDICATED IN COLUMN (H) OF PART III GENERALLY RELATE TO I.) A GENERAL PARTNER'S TYPICAL CARRIED INTEREST WITH RESPECT TO PRIVATE FUND INVESTMENTS OR II.) ALLOCATIONS AMONG 501(C)(3) ORGANIZATIONS THAT ARE PARTNERS OR MEMBERS IN AN INVESTMENT ENTITY. SCHEDULE R, PART IV: AS OF JUNE 30, 2014, YALE UNIVERSITY HELD MORE THAN 50% OF THE BENEFICIAL INTERESTS IN 62 CHARITABLE REMAINDER TRUSTS OF WHICH 58 WERE DOMICILED IN CONNECTICUT AND THE REMAINDER WERE DOMICILED IN TENNESSEE, PENNSYLVANIA, MASSACHUSETTS, AND NEW JERSEY. SCHEDULE R, PART V: GENERAL NOTE: THIS SCHEDULE REFLECTS ALL TRANSFERS BY YALE UNIVERSITY TO CORPORATIONS, PARTNERSHIPS, OR OTHER ENTITIES CONTROLLED BY YALE AS DEFINED IN IRC SECTION 512(B)(13) AND RELATED TAX EXEMPT ORGANIZATIONS NOT DESCRIBED IN IRC SECTION 501(C)(3). IN SOME INSTANCES, THESE ENTITIES MADE FURTHER TRANSFERS TO OTHER ENTITIES CONTROLLED BY THEM OR YALE UNIVERSITY. IN ADDITION, THIS SCHEDULE REFLECTS ALL TRANSFERS TO YALE UNIVERSITY BY CORPORATIONS, PARTNERSHIPS, OR OTHER ENTITIES CONTROLLED BY YALE AS DEFINED IN IRC SECTION 512(B)(13) AND RELATED TAX EXEMPT ORGANIZATIONS NOT DESCRIBED IN IRC SECTION 501(C)(3). IN SOME INSTANCES, THESE ENTITIES RECEIVED TRANSFERS FROM OTHER ENTITIES CONTROLLED BY THEM OR YALE UNIVERSITY. 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