2015-05-11T16:28:06-05:00 2014-06-30 990 2013-07-01 362177139 UNIVERSITY OF CHICAGO UNIV 7737021941 5801 S ELLIS AVENUE CHICAGO IL 60637 JOHN R KROLL ASSOC VP FOR FINANCE 7737021941 2015-05-11 2013 2016-02-25 16:41:14Z ROBERT J ZIMMER 5801 S ELLIS AVENUE CHICAGO IL 60637 4524211001 0 X WWW.UCHICAGO.EDU X 1890 IL THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 53 42 24745 12497 -3627420 0 1464776423 1572513441 1200157025 1259804957 368665198 371514837 58299865 69447944 3091898511 3273281179 347581254 362657658 0 0 1663310552 1714863923 451699 596369 68458000 898493783 1050339290 2909837288 3128457240 182061223 144823939 9703508112 10388536242 3520333112 3740041242 6183175000 6648495000 X THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 0 0 947613871 704846051 INSTRUCTION:IN 2013-2014, THE UNIVERSITY ENROLLED 15,194 STUDENTS, OF THAT TOTAL, 5,692 WERE UNDERGRADUATE STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE SCHOOL), 3,546 WERE GRADUATE STUDENTS, 5,359 WERE STUDENTS IN THE UNIVERSITY'S PROFESSIONAL SCHOOLS AND 597 WERE NON-DEGREE STUDENTS. 798731922 36065261 405620118 RESEARCH:UNIVERSITY OF CHICAGO FACULTY CROSS TRADITIONAL DISCIPLINARY BOUNDARIES TO TRANSFORM UNDERSTANDINGS IN BUSINESS, ECONOMICS, HISTORY, LAW, LITERATURE, RELIGION, PHYSICS, CHEMISTRY AND BIOLOGY AND MEDICINE, AMONG OTHER FIELDS. IN PURSUIT OF THESE RESEARCH ENDEAVORS, DURING FISCAL YEAR 2013-2014 THE UNIVERSITY WAS AWARDED A TOTAL OF $450.8 MILLION IN RESEARCH FUNDING FROM FEDERAL AGENCIES, NON-FEDERAL GOVERNMENT ENTITIES, CORPORATIONS, FOUNDATIONS AND OTHER SOURCES. THIS FISCAL YEAR $320.7 MILLION WAS EXPENDED FROM FEDERAL GOVERNMENT SPONSORS OF RESEARCH, WITH THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES AND THE NATIONAL SCIENCE FOUNDATION PROVIDING THE LARGEST AMOUNTS OF FUNDING. FOUNDATION RESEARCH SPONSORSHIP AWARDS TOTALED $61.1 MILLION, FOLLOWED BY CORPORATE RESEARCH SPONSORSHIP OF $50.0 MILLION.THE UNIVERSITY ALSO CONDUCTS SCIENTIFIC RESEARCH IN COLLABORATION WITH ARGONNE NATIONAL LABORATORY, OWNED BY THE UNITED STATES GOVERNMENT AND OPERATED BY THE UNIVERSITY THROUGH A DISREGARDED ENTITY, UNDER THE TERMS OF A COST REIMBURSEMENT CONTRACT WITH THE U.S. DEPARTMENT OF ENERGY. ARGONNE IS A MULTI-PURPOSE SCIENCE LABORATORY WITH A $760.0 MILLION ANNUAL BUDGET AND APPROXIMATELY 3400 EMPLOYEES. PROGRAM SERVICE RESEARCH EXPENDITURES WERE $548.2 MILLION AND ARE INCLUDED IN THE RESEARCH PROGRAM SERVICE EXPENSE AMOUNT, AS IS REQUIRED FOR A DISREGARDED ENTITY.IN ADDITION, FERMI RESEARCH ALLIANCE, LLC, AN ENTITY JOINTLY OWNED BY THE UNIVERSITY AND UNIVERSITIES RESEARCH ASSOCIATION INC., OPERATES FERMI NATIONAL ACCELERATOR LABORATORY ("FERMILAB") FOR THE U.S. DEPARTMENT OF ENERGY. FERMILAB IS THE NATION'S PREEMINENT CENTER FOR HIGH-ENERGY PHYSICS AND AN INTERNATIONAL CENTER FOR SCIENTIFIC RESEARCH IN ELEMENTARY PARTICLE PHYSICS AND ASTROPHYSICS. FERMILAB HAS A $387 MILLION ANNUAL BUDGET AND APPROXIMATELY 1750 EMPLOYEES. 326592397 326592397 SCHOLARSHIPS & FELLOWSHIPS:THE UNIVERSITY IS A NEED BLIND INSTITUTION WITH AN EXTENSIVE FINANCIAL AID PROGRAM WHICH IS DESIGNED TO ENABLE THE MOST QUALIFIED STUDENTS TO ATTEND THE UNIVERSITY REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. FOR THE 2013-2014 ACADEMIC YEAR, APPROXIMATELY 64 PERCENT OF ALL STUDENTS IN THE COLLEGE RECEIVED FINANCIAL AID IN THE FORM OF GRANTS AND SCHOLARSHIPS. UNIVERSITY-WIDE EXPENDITURES FOR SCHOLARSHIPS AND FELLOWSHIPS AMOUNTED TO $326.6 MILLION. OF THIS AMOUNT, APPROXIMATELY $246.8 MILLION WAS PROVIDED FROM UNRESTRICTED FUNDS; THE REMAINING $79.8 MILLION CAME FROM RESTRICTED SOURCES. ALMOST ELEVEN HUNDRED STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE COLLEGE) CURRENTLY RECEIVE ODYSSEY SCHOLARSHIPS. THE ODYSSEY SCHOLARSHIPS PROVIDE INCREASED ACCESS FOR LOW-INCOME AND MODERATE-INCOME STUDENTS BY ELIMINATING LOANS FOR THOSE WITH FAMILY INCOME BELOW $75,000 AND REDUCING LOAN INDEBTEDNESS FOR MANY OTHERS. THE UNIVERSITY EXPANDED ITS GRADUATE AID INITIATIVE, A PROGRAM THAT INVESTS APPROXIMATELY $310,000 IN THE EDUCATION OF EACH PH.D. STUDENT IN THE HUMANITIES, SOCIAL SCIENCES AND DIVINITY SCHOOL. THESE PROGRAMS ARE IN ADDITION TO THE UNIVERSITY'S LONGSTANDING COMMITMENT TO FINANCIAL ASSISTANCE FOR STUDENTS. 617705416 195666864 THE OTHER PROGRAM SERVICES THAT SUPPORT THE MISSION OF INSTRUCTION AND RESEARCH ARE:AUXILIARY ENTERPRISESLIBRARYOTHER STUDENT SERVICESINFORMATION SERVICESOPERATION AND MAINTENANCE OF PLANT 617705416 195666864 2690643606 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 0 0 0 1 1 1 1 1 0 1 X 24318 0 1 24745 1 1 1 1 BG CH EG IN IT MY RS SN SF SW SZ TW TH UK BR FR AS CA DA FI GM HK KS PO RP NL MX HR ID 0 0 1 1 1 1 0 0 X 53 42 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 OK WA NH MA AR AK OR X JOHN R KROLL 7737021941 6054 S DREXEL AVENUE CHICAGO IL 60637 ANDREW M ALPER CHAIR OF THE BOARD 18.00 X 0 0 0 SEKHAR BAHADUR TRUSTEE 2.00 X 0 0 0 DAVID G BOOTH TRUSTEE 2.00 X 0 0 0 DAVID B BROOKS TRUSTEE 2.00 X 0 0 0 DEBRA A CAFARO TRUSTEE 2.00 X 0 0 0 THOMAS A COLE TRUSTEE 2.00 X 0 0 0 E DAVID COOLIDGE III TRUSTEE 2.00 X 0 0 0 JAMES S CROWN TRUSTEE 2.00 X 0 0 0 KATHARINE P DARROW TRUSTEE 2.00 X 0 0 0 DANIEL L DOCTOROFF TRUSTEE 2.00 X 0 0 0 BRADY W DOUGAN TRUSTEE 2.00 X 0 0 0 CRAIG J DUCHOSSOIS TRUSTEE 2.00 X 0 0 0 JOHN A EDWARDSON TRUSTEE 2.00 X 0 0 0 JAMES S FRANK TRUSTEE 2.00 X 0 0 0 JACK W FULLER TRUSTEE 2.00 X 0 0 0 TIMOTHY M GEORGE TRUSTEE 2.00 X 0 0 0 RODNEY L GOLDSTEIN TRUSTEE 2.00 X 0 0 0 MARY LOUISE GORNO TRUSTEE 2.00 X 0 0 0 KATHRYN C GOULD TRUSTEE 2.00 X 0 0 0 KENNETH C GRIFFIN TRUSTEE 2.00 X 0 0 0 SANFORD J GROSSMAN TRUSTEE 2.00 X 0 0 0 KING W HARRIS TRUSTEE 2.00 X 0 0 0 KENNETH M JACOBS TRUSTEE 2.00 X 0 0 0 KAREN L KATEN TRUSTEE 2.00 X 0 0 0 DENNIS J KELLER TRUSTEE 2.00 X 0 0 0 STEVEN A KERSTEN TRUSTEE 2.00 X 0 0 0 JAMES M KILTS TRUSTEE 2.00 X 0 0 0 MICHAEL J KLINGENSMITH TRUSTEE 2.00 X 0 0 0 MICHAEL L KLOWDEN TRUSTEE 2.00 X 0 0 0 RACHEL D KOHLER TRUSTEE 2.00 X 0 0 0 ROBERT W LANE TRUSTEE 2.00 X 0 0 0 CHARLES ASHBY LEWIS TRUSTEE 2.00 X 0 0 0 JOHN LIEW TRUSTEE 2.00 X 0 0 0 PETER W MAY TRUSTEE 2.00 X 0 0 0 JOSEPH NEUBAUER VICE CHAIR OF THE BOARD 18.00 X 0 0 0 EMILY NICKLIN TRUSTEE 2.00 X 0 0 0 MICHAEL P POLSKY TRUSTEE 2.00 X 0 0 0 MYRTLE S POTTER TRUSTEE 2.00 X 0 0 0 THOMAS J PRITZKER TRUSTEE 2.00 X 0 0 0 JOHN W ROGERS JR TRUSTEE 2.00 X 0 0 0 ANDREW M ROSENFIELD TRUSTEE 2.00 X 0 0 0 DAVID M RUBENSTEIN TRUSTEE 2.00 X 0 0 0 ALVARO J SAIEH TRUSTEE 2.00 X 0 0 0 NASSEF O SAWIRIS TRUSTEE 2.00 X 0 0 0 STEVE G STEVANOVICH TRUSTEE 2.00 X 0 0 0 ELIZABETH M THOMPSON TRUSTEE 2.00 X 0 0 0 MARY A TOLAN TRUSTEE 2.00 X 0 0 0 BRYON D TROTT TRUSTEE 2.00 X 0 0 0 MARSHALL I WAIS TRUSTEE 2.00 X 0 0 0 GREGORY W WENDT TRUSTEE 2.00 X 0 0 0 DONALD R WILSON JR TRUSTEE 2.00 X 0 0 0 PAULA WOLFF TRUSTEE 2.00 X 0 0 0 PAUL G YOVOVICH VICE CHAIR OF THE BOARD 18.00 X 0 0 0 FRANCIS TF YUEN TRUSTEE 2.00 X 0 0 0 ROBERT J ZIMMER PRESIDENT 40.00 15.00 X 1206827 0 693442 THOMAS F ROSENBAUM PROVOST 40.00 10.00 X 678123 0 87388 ERIC ISAACS PROVOST 40.00 2.00 X 47500 640632 81573 NIMALAN CHINNIAH EXEC. VP FOR ADMIN & CFO 40.00 11.00 X 666948 0 35441 KAREN WARREN COLEMAN VP CAMPUS AND STUD. LIFE 40.00 X 279810 0 40116 DEREK RB DOUGLAS VP CIVIC ENGAGEMENT 40.00 5.00 X 397177 0 59267 DAVID B FITHIAN EXECUTIVE VICE PRESIDENT 40.00 4.00 X 380010 0 34844 DAVID A GREENE EXECUTIVE VICE PRESIDENT 40.00 2.00 X 745777 0 208400 BETH A HARRIS VP & GENERAL COUNSEL 40.00 12.00 X 442326 0 91004 RICHARD IORIO VP & CHIEF HUMAN RESOURCE OFC. 40.00 X 685548 0 96406 DONALD H LEVY VP FOR RESEARCH 40.00 9.00 X 404659 0 33452 KENNETH MANOTTI VP ALUMNI RELATIONS & DEVL. 40.00 X 508257 0 33935 JAMES G NONDORF VP ENROLL. & STUDENT ADV. 40.00 X 490354 0 29203 JULIE PETERSON VP COMMUNICATIONS 40.00 X 416618 0 54362 KENNETH S POLONSKY EXEC. VP MEDICAL AFFAIRS 40.00 21.00 X 1878980 0 224836 DARREN REISBERG SECRETARY OF THE UNIVERSITY 40.00 X 187425 0 26026 MARK A SCHMID VP AND CHIEF INVEST. OFFICER 40.00 X 1934810 0 652947 IAN SOLOMON VP GLOBAL ENGAGEMENT 40.00 X 236398 0 25911 MICHAEL EDLESON INVESTMENT CHIEF RISK OFFICER 40.00 X 1680427 0 399486 PHUONG-QUE NGUYEN MTG. DIRECTOR - STRATEGY 40.00 X 1167682 0 370167 VALLUVAN JEEVANANDAM CHIEF CARDIAC & THORACIC SURG. 40.00 X 1239896 0 42611 DAVID AWSCHALOM PROF. INSTITUTE OF MOLECULAR ENGR. 40.00 X 1304103 0 36174 MATTHEW STONE MGT. DIRECTOR - PUBLIC MKTS. 40.00 X 1083384 0 400906 EVERETT VOKES CHAIRMAN OF MEDICINE 40.00 X 930929 0 44900 SUNIL P KUMAR DEAN OF BOOTH SCH. OF BUS. 40.00 X 600780 0 41611 19594748 640632 3844408 2245 1 1 0 TURNER CONSTRUCTION CO 55 E MONROE ST CHICAGO IL 60603 CONSTRUCTION & RELATED SERVICES 41139485 W E O'NEIL CONSTRUCTION CO 1245 W WASHINGTON BLVD CHICAGO IL 60607 CONSTRUCTION & RELATED SERVICES 32401457 LEND LEASE US 1 N WACKER DRIVE CHICAGO IL 60606 CONSTRUCTION & RELATED SERVICES 19462746 ARAMARK SERVICES 1101 MARKET STREET PHILADELPHIA PA 19107 FOOD SERVICE MANAGMENT 13235804 AMERICAN BUILDING MAINTENANCE 111 E WACKER DRIVE CHICAGO IL 60601 BUILDING MAINTENANCE 11109663 901 809995 71750000 1014267577 485685869 153746092 1572513441 TUITION AND FEES 611310 704846051 704846051 SALES & SERVICES EDUCA 900099 361934005 361934005 SALES & SERVICES AUXIL 611710 144677360 144677360 ALL OTHER 541900 43686113 43686113 FEES FROM GOVERNMENT A 900099 4661428 4661428 1259804957 106038533 -10432936 116471469 4429 4429 8984680 8984680 7282180 0 7282180 7282180 7282180 1503197348 1227800859 9924614 275396489 -9924614 265471875 265471875 375430 809995 327938 47492 47492 54884107 12876411 42007696 42007696 CONFERENCES & CATERING 722320 6694236 6694236 ACTUARIAL ADJUSTMENT 900099 2487476 2487476 ADVERTISING 541800 90050 90050 1854134 1832904 21230 11125896 3273281179 1306133033 -3627420 398262125 32794642 32794642 322863448 322863448 6999568 6999568 12174217 11644228 529989 1320032761 1101566135 185109895 33356731 72644176 59644451 10205493 2794232 226236157 186797757 29481431 9956969 83776612 69215264 11134172 3427176 36876243 32493314 3449607 933322 6044226 36678 6007548 921379 921379 345528 345528 596369 596369 7262081 7262081 119459426 95623114 23836312 6168141 6035151 132990 179880885 142395243 31821330 5664312 38230714 26831627 10772955 626132 5077195 5053266 23929 101251513 94453005 5546998 1251510 49744974 42553370 5592471 1599133 39857038 33992191 4299478 1565369 99354800 99354800 159869788 159869788 19250553 17002973 2247003 577 SUPPORT SERVICES 47827285 41848498 3928806 2049981 EQUIPMENT RENTAL & MAIN 47535067 44104175 2254522 1176370 ALTERATIONS & REPAIRS 21483046 17760577 2934068 788401 ACTUARIAL ADJUSTMENTS 11977497 11977497 51921911 32114993 17665491 2141427 3128457240 2690643606 369355634 68458000 -20839492 11624917 66009075 130989600 449038440 503266973 104130733 148416333 705367 558597 46448238 47126276 6349042 6329145 32968446 35633640 4541609332 1621509834 2543764817 2920099498 1538104374 2275304116 4922122091 4281181508 14706981 28005639 9703508112 10388536242 593611490 684129936 89391147 99682543 1864295796 1851159596 56205000 868129739 979002360 104904940 69861807 3520333112 3740041242 X 1478986000 1428810000 3158451000 3536103000 1545738000 1683582000 6183175000 6648495000 9703508112 10388536242 X 144823939 413756469 -93260408 X 0 1 X 1 1 1 X 632997704 704552617 668467430 1464776423 1572513441 5043307615 632997704 704552617 668467430 1464776423 1572513441 5043307615 5043307615 97738776 80996842 109361219 137713043 130746444 556556324 15944781 10577578 26522359 52130712 34535765 42445507 41224252 46375568 216711804 5843098102 5675960485 0.86310 X SECTION B LINE 10 OTHER INCOME OTHER INCOME IS COMPRISED OF NET INCOME FROM SALE OF INVENTORY, ACTUARIAL ADJUSTMENTS AND OTHER MISCELLANEOUS REVENUE. SECTION C LINE 15 THERE IS NO AMOUNT TO REPORT AS THIS IS THE FIRST YEAR THAT THE UNIVERSITY OF CHICAGO IS COMPLETING SCHEDULE A PART II. SCHEDULE A PART II THE UNIVERSITY OF CHICAGO IS A SCHOOL; HOWEVER IN ORDER TO USE THE SPECIAL RULE ON SCHEDULE B FOR A 501(C)(3) ORGANIZATION, IT IS NECESSARY TO COMPLETE SCHEDULE A, PART II TO DEMONSTRATE THAT THE UNIVERSITY MEETS THE 33 1/3% PUBLIC SUPPORT TEST. THEREFORE THE UNIVERSITY IS CLASSIFIED IN PART I LINE 7 AS AN ORGANIZATION THAT NORMALLY RECEIVES A SUBSTANTIAL PART OF ITS SUPPORT FROM A GOVERNMENT UNIT OR FROM THE GENERAL PUBLIC. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 497929 0 0 497929 0 PART II-B, LINE 1: THE UNIVERSITY OF CHICAGO IS INVOLVED IN ISSUES THAT AFFECT HIGHER EDUCATION AND RESEARCH. X X X X 0 5886968000 137041000 784536000 44718000 285901000 17672000 6460254000 5701419000 117250000 399315000 41748000 272226000 17042000 5886968000 5691013000 82079000 265909000 43210000 277366000 17006000 5701419000 4904717000 128430000 1009407000 42632000 294918000 13991000 5691013000 4535634000 126671000 695590000 39774000 402328000 11076000 4904717000 0.31000 0.24000 0.45000 0 0 94254869 94254869 3656049982 1070837467 2585212515 465199232 303589939 161609293 326105249 247082428 79022821 2920099498 REAL ESTATE 1164505325 F VENTURE CAPITAL 3116676183 F 4281181508 FUNDS HELD FOR OTHERS 69861807 69861807 X 2990235141 413756469 62545749 476302218 2513932923 7262081 752086175 759348256 3273281179 2371726541 22802943 22802943 2348923598 7262081 772271561 779533642 3128457240 PART III, LINE 4: THE UNIVERSITY OF CHICAGO HAS TWO MUSEUMS THE DAVID AND ALFRED SMART MUSEUM OF ART (SMART MUSEUM) AND THE ORIENTAL INSTITUTE OF THE UNIVERSITY OF CHICAGO (ORIENTAL INSTITUTE MUSEUM). THE SMART MUSEUM PROMOTES THE UNDERSTANDING OF THE VISUAL ARTS AND THEIR IMPORTANCE TO CULTURAL AND INTELLECTUAL HISTORY THROUGH DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART AND THROUGH AN INTERDISCIPLINARY APPROACH TO ITS COLLECTIONS, EXHIBITIONS, PUBLICATIONS AND PROGRAMS. THE SCOPE OF ITS PERMANENT COLLECTIONS, SPECIAL EXHIBITIONS, FOCUS ON RESEARCH AND TEACHING BY THE UNIVERSITY OF CHICAGO SCHOLARS AND OUTREACH AND EDUCATIONAL PROGRAMS TO BOTH ADULTS AND SCHOOL AGE CHILDREN MAKE SMART MUSEUM ONE OF THE MIDWESTS MOST DYNAMIC AND INNOVATIVE EDUCATIONAL INSTITUTIONS IN THE VISUAL ARTS. THE ORIENTAL INSTITUTE MUSEUM IS A WORLD RENOWNED SHOWCASE FOR THE HISTORY, ART AND ARCHAEOLOGY OF THE ANCIENT NEAR EAST. THE COLLECTIONS ARE USED EXTENSIVELY FOR RESEARCH, TEACHING AND EXHIBITIONS. ITS APPROACH TO INTEGRATE ARCHAEOLOGICAL, TEXTUAL AND ART HISTORICAL DATA TO UNDERSTAND THE DEVELOPMENT AND FUNCTIONS OF THE ANCIENT CIVILIZATIONS OF THE NEAR EAST MAKE IT AN EXCEPTIONAL RESOURCE FOR THE UNIVERSITY COMMUNITY AS WELL AS THE COMMUNITY AT LARGE. PART V, LINE 4: THE UNIVERSITY'S USE OF ENDOWMENT FUNDS IS INSEPARABLE FROM THE OVERALL ACADEMIC MISSION AS ONE OF THE WORLD'S LEADING RESEARCH UNIVERSITIES. ENDOWMENT FUNDS ARE USED TO SUPPORT INSTRUCTION AND RESEARCH PROGRAMS; SUPPORT PROFESSORSHIPS; SUPPORT FINANCIAL AID FOR UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS; SUPPORT THE ACQUISITION, RESTORATION AND PRESERVATION OF BOOKS AND OTHER MATERIALS IN THE LIBRARIES; AND SUPPORT THE ON-GOING OPERATIONS OF THE PHYSICAL PLANT, GROUNDS AND EQUIPMENT. PART X, LINE 2: THE UNIVERSITY IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, EXCEPT TO THE EXTENT THAT THE UNIVERSITY HAS UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL INCOME TAXES. THERE WAS NO PROVISION FOR INCOME TAXES DUE ON UNRELATED BUSINESS INCOME IN FISCAL YEARS 2014 AND 2013. THE UNIVERSITY HAS NO UNCERTAIN TAX POSITIONS, WHICH THE UNIVERSITY CONSIDERS TO BE MATERIAL. PART XI, LINE 2D - OTHER ADJUSTMENTS: RELATED ORGANIZATIONS THAT FILE THEIR OWN 990 39,744,724. COST OF DISPOSED EQUIPMENT 9,924,614. COST OF GOODS SOLD 12,876,411. PART XI, LINE 4B - OTHER ADJUSTMENTS: UCHICAGO ARGONNE LLC 734,376,543. OTHER DISREGARED ENTITIES 17,624,150. ROUNDING 85,482. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 12,876,411. COST OF DISPOSED EQUIPMENT 9,924,614. MISC 1,918. PART XII, LINE 4B - OTHER ADJUSTMENTS: UCHICAGO ARGONNE LLC 734,376,543. OTHER DISREGARDED ENTITIES 14,096,095. RELATED ORGANIZATIONS 23,798,923. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE UNIVERSITY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND AROUND THE WORLD, FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY, AS EMBODIED IN THE UNIVERSITY'S POLICY ON UNLAWFUL DISCRIMINATION AND HARASSMENT, AND INCLUDES A STATEMENT OF ITS NONDISCRIMINATORY POLICY ON ITS BROCHURES, CATALOGUES AND APPLICATION MATERIALS DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY OF CHICAGO RECEIVES FUNDING FROM VARIOUS GOVERNMENTAL AGENCIES FOR STUDENT FINANCIAL AID. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 2 29 PROGRAM SERVICES INSTRUCTION 19489251 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES INSTRUCTION 52701 EAST ASIA AND THE PACIFIC 1 17 PROGRAM SERVICES INSTRUCTION 14703898 SOUTH ASIA PROGRAM SERVICES INSTRUCTION 149615 NORTH AMERICA PROGRAM SERVICES INSTRUCTION 89578 MIDDLE EAST AND NORTH AFRICA 2 PROGRAM SERVICES INSTRUCTION 206687 EUROPE (INCLUDING ICELAND & GREENLAND) 2 PROGRAM SERVICES RESEARCH 60971 EAST ASIA AND THE PACIFIC 1 9 PROGRAM SERVICES RESEARCH 3327763 SOUTH ASIA 2 PROGRAM SERVICES RESEARCH 1543733 MIDDLE EAST AND NORTH AFRICA 1 12 PROGRAM SERVICES RESEARCH 497729 SOUTH AMERICA 2 PROGRAM SERVICES RESEARCH 93759 1 10 PROGRAM SERVICES RESEARCH 434810 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SUBAWARD 887152 SUB-SAHARAN AFRICA PROGRAM SERVICES SUBAWARD 317708 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SUBAWARD 165957 SOUTH ASIA PROGRAM SERVICES SUBAWARD 450692 NORTH AMERICA PROGRAM SERVICES SUBAWARD 829723 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES SUBAWARD 42217 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES SUBAWARD 42930 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 2573567 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 36712 SUB-SAHARAN AFRICA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 41400 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 785717 SOUTH ASIA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 284576 NORTH AMERICA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 153157 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 260912 SOUTH AMERICA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 121223 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 6000 SOUTH AMERICA FUNDRAISING 53163 EUROPE (INCLUDING ICELAND & GREENLAND) FUNDRAISING 176320 SOUTH ASIA FUNDRAISING 178095 MIDDLE EAST AND NORTH AFRICA FUNDRAISING 1726 EAST ASIA AND THE PACIFIC FUNDRAISING 180287 NORTH AMERICA FUNDRAISING 11647 EAST ASIA AND THE PACIFIC UNRELATED BUSINESS INCOME 94787 CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 2574478010 EAST ASIA AND THE PACIFIC INVESTMENTS 27124725 EUROPE (INCLUDING ICELAND & GREENLAND) INVESTMENTS 462234606 NORTH AMERICA INVESTMENTS 61999343 SUB-SAHARAN AFRICA INVESTMENTS 130534568 4 59 2 26 6 85 38080464 3266636951 3304717415 EAST ASIA AND THE PACIFIC SUBAWARD 40250 WIRE EAST ASIA AND THE PACIFIC SUBAWARD 4878 WIRE EAST ASIA AND THE PACIFIC SUBAWARD 120829 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 799 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 1883 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 6630 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 16104 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 86474 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 2488 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 4521 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 13086 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 40944 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 6851 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 8512 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 32554 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 44569 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 68012 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 12178 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 9267 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 8768 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 1700 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 172780 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 70000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 135583 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 78186 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 65263 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD 18358 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD 23859 WIRE NORTH AMERICA SUBAWARD 24740 WIRE NORTH AMERICA SUBAWARD 61525 WIRE NORTH AMERICA SUBAWARD 37800 WIRE NORTH AMERICA SUBAWARD 16721 WIRE NORTH AMERICA SUBAWARD 507313 WIRE NORTH AMERICA SUBAWARD 41695 WIRE NORTH AMERICA SUBAWARD 39929 WIRE NORTH AMERICA SUBAWARD 303 WIRE NORTH AMERICA SUBAWARD 7407 WIRE NORTH AMERICA SUBAWARD 92289 WIRE RUSSIA & THE NEWLY INDEPENDENT STATES SUBAWARD 42930 WIRE SOUTH ASIA SUBAWARD 319500 WIRE SOUTH ASIA SUBAWARD 33896 WIRE SOUTH ASIA SUBAWARD 97296 WIRE SUB-SAHARAN AFRICA SUBAWARD 33666 WIRE SUB-SAHARAN AFRICA SUBAWARD 70807 WIRE SUB-SAHARAN AFRICA SUBAWARD 85621 WIRE SUB-SAHARAN AFRICA SUBAWARD 15450 WIRE SUB-SAHARAN AFRICA SUBAWARD 96524 WIRE SUB-SAHARAN AFRICA SUBAWARD 15640 WIRE STUDENT AID EAST ASIA AND THE PACIFIC 42 601602 CHECK STUDENT AID EUROPE (INCLUDING ICELAND & GREENLAND) 225 2402942 CHECK STUDENT AID MIDDLE EAST AND NORTH AFRICA 20 213962 CHECK STUDENT AID NORTH AMERICA 13 136282 CHECK STUDENT AID RUSSIA & THE NEWLY INDEPENDENT STATES 2 25712 CHECK STUDENT AID SOUTH AMERICA 6 70723 CHECK STUDENT AID SOUTH ASIA 25 256526 CHECK STUDENT AID SUB-SAHARAN AFRICA 2 21200 CHECK SUMMER STUDENT GRANTS CENTRAL AMERICA AND THE CARIBBEAN 2 6000 CHECK SUMMER STUDENT GRANTS EAST ASIA AND THE PACIFIC 72 184115 CHECK SUMMER STUDENT GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 273 170625 CHECK SUMMER STUDENT GRANTS MIDDLE EAST AND NORTH AFRICA 33 46950 CHECK SUMMER STUDENT GRANTS NORTH AMERICA 19 16875 CHECK SUMMER STUDENT GRANTS RUSSIA & THE NEWLY INDEPENDENT STATES 5 11000 CHECK SUMMER STUDENT GRANTS SOUTH AMERICA 23 50500 CHECK SUMMER STUDENT GRANTS SOUTH ASIA 32 28050 CHECK SUMMER STUDENT GRANTS SUB-SAHARAN AFRICA 7 20200 CHECK 0 1 0 1 1 1 0 PART I, LINE 2: THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. X X X X X X X 1 RUFFALO CODY 65 KIRKWOOD NORTH ROAD SW CEDAR RAPIDS IA 52404 TELEMARKETING 0 1152428 596369 556059 1152428 596369 556059 AL AK AR CT ME MD MA MN MS NH OR UT VA WA IL LAB SCHOOL 870000 602036 267964 5000 16737 127117 3000 78146 COURT THEATRE 277425 207959 69466 56563 21658 3113 1 38000 38000 9000 5354 1750 500 1185425 809995 375430 5000 82300 132471 26408 81759 327938 47492 SCHEDULE G, PART I, LINE 2B, COLUMN (V) RUFFALO CODY PROVIDED PROFESSIONAL FUNDRAISING SERVICES FOR FISCAL YEAR 2014. DETAIL OF ALL PAYMENTS IS AS FOLLOWS: MONTHLY INSTALLMENTS 585,924 MAILING CHARGES 3,783 POSTAGE CHARGES 6,662 TOTAL PAID 596,369 1 BATTELLE INSTITUTE 1160 DUBLIN ROAD SUITE 500 COLUMBUS OH 43215 311781583 501 (C) (3) OR GOV 25000 SUBAWARD BATTELLE PACIFIC NORTHWEST NATIONAL LABORATORY 902 BATTELLE BLVD RICHLAND WA 99354 314379427 501 (C) (3) OR GOV 130001 SUBAWARD BAYLOR UNIVERSITY ONE BAYLOR PLAZA HOUSTON TX 77030 741613878 501 (C) (3) OR GOV 34187 SUBAWARD BECKMAN RESEARCH INSTITUTE 1450 EAST DUARTE ROAD DUARTE CA 91010 953432210 501 (C) (3) OR GOV 47866 SUBAWARD BELOVED COMMUNITY FAMILY 6430 SOUTH HARVARD CHICAGO IL 60621 202273383 501 (C) (3) OR GOV 40192 SUBAWARD BIOSPHERICAL INSTRUMENTS 5340 RILEY STREET SAN DIEGO CA 92111 953292603 72021 SUBAWARD BOARD OF EDUCATION - CHICAGO 125 S CLARK STREET 14TH FL CHICAGO IL 60603 366005821 501 (C) (3) OR GOV 72004 SUBAWARD BOSTON COLLEGE 140 COMMONWEATLH AVENUE CHESTNUT HILL MA 02467 042103545 501 (C) (3) OR GOV 28475 SUBAWARD BOSTON UNIVERSITY 881 COMMONWEALTH AVENUE 4TH FLOOR BOSTON MA 02215 042103547 501 (C) (3) OR GOV 5473 SUBAWARD BRIGHAM AND WOMEN'S HOSPITAL 101 HUNTINGTON STREET SUITE 305 BOSTON MA 02199 042312909 501 (C) (3) OR GOV 28233 SUBAWARD BRIGHAM YOUNG UNIVERSITY A-261 ASB PROVO UT 84602 870217280 501 (C) (3) OR GOV 10558 SUBAWARD CALIFORNIA STATE UNIVERSITY 401 GOLDEN SHORE LONG BEACH CA 90802 947381554 501 (C) (3) OR GOV 75000 SUBAWARD CARNEGIE MELLON UNIVERSITY 5000 FORBES AVENUE PITTSBURGH PA 15213 250969449 501 (C) (3) OR GOV 115394 SUBAWARD CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 44106 341018992 501 (C) (3) OR GOV 279221 SUBAWARD CENTERS FOR NEW HORIZONS 4150 SOUTH KING DRIVE CHICAGO IL 60653 362729721 501 (C) (3) OR GOV 38963 SUBAWARD CHAPIN HALL CENTER FOR CHILDREN 1313 EAST 60TH STREET CHICAGO IL 60637 362167012 501 (C) (3) OR GOV 154829 SUBAWARD CHICAGO ASSOCIATION FOR RESEARCH & EDUCATION IN SCIENCE 5000 SOUTH 5TH AVE BUILDING ONE C347 HINES IL 60141 363334177 501 (C) (3) OR GOV 114508 SUBAWARD CHICAGO BLACK GAY MEN'S CAUCUS 180 N MICHIGAN AVENUE SUITE 1200 CHICAGO IL 60601 010977178 501 (C) (3) OR GOV 14981 SUBAWARD CHICAGO DEPARTMENT OF PUBLIC HEALTH 333 S STATE STREET ROOM 200 CHICAGO IL 60604 366005820 501 (C) (3) OR GOV 20401 SUBAWARD CHICAGO FAMILY HEALTH CENTERFORMERLY CLARETIAN MED CTR 9119 S EXCHANGE AVENUE CHICAGO IL 60617 362893854 501 (C) (3) OR GOV 80929 SUBAWARD CHILDREN'S HOSPITAL BOSTON 300 LONGWOOD AVENUE BOSTON MA 02115 042774441 501 (C) (3) OR GOV 101969 SUBAWARD CHILDREN'S HOSPITAL LOS ANGELES 4650 SUNSET BLVD LOS ANGELES CA 90027 951690977 501 (C) (3) OR GOV 7681 SUBAWARD CHILDREN'S HOSPITAL MEDICAL CENTER (CINCINNATI) 3333 BURNETT AVENUE CINCINNATI OH 46202 310833963 501 (C) (3) OR GOV 269851 SUBAWARD CLARETIAN ASSOCIATES 9108 SOUTH BRANDON AVENUE CHICAGO IL 60617 364087259 501 (C) (3) OR GOV 6067 SUBAWARD CLARK UNIVERSITY 20 DOWNING STREET WORCESTER MA 01610 042111203 501 (C) (3) OR GOV 6193 SUBAWARD COLLEGE OF WILLIAM AND MARY 102 RICHMOND ROAD WILLIAMSBURG VA 23187 546001718 501 (C) (3) OR GOV 53083 SUBAWARD COLUMBIA UNIVERSITY 615 W 135TH STREET NEW YORK NY 10027 135598093 501 (C) (3) OR GOV 293299 SUBAWARD COMBLU INC 875 N MICHIGAN AVE SUITE 1340 CHICAGO IL 60611 363037806 45000 SUBAWARD CORNELL UNIVERSITY 395 PINE TREE ROAD SUITE 302 ITHACA NY 14850 150532082 501 (C) (3) OR GOV 612196 SUBAWARD DANA FARBER CANCER INSTITUTE 44 BINNEY STREET MS OS-385 BOSTON MA 02115 042263040 501 (C) (3) OR GOV 49764 SUBAWARD DARTMOUTH COLLEGE 11 ROPE FERRY ROAD HANOVER NH 03755 020222111 501 (C) (3) OR GOV 210184 SUBAWARD DE PAUL UNIVERSITY 1 EAST JACKSON BOULEVARD CHICAGO IL 60604 362167048 501 (C) (3) OR GOV 106099 SUBAWARD DECATUR MEMORIAL HOSPITAL 2300 NORTH EDWARD STREET DECATUR IL 62526 370661199 501 (C) (3) OR GOV 55182 SUBAWARD DENVER HEALTH AND HOSPITAL AUTHORITY 777 BANCOCK STREET DENVER CO 80204 841343242 501 (C) (3) OR GOV 61432 SUBAWARD DUKE UNIVERSITY 2200 WEST MAIN STREET SUITE 300 DURHAM NC 27705 560532129 501 (C) (3) OR GOV 328896 SUBAWARD EDVANCE RESEARCH INC 9901 IH-10 WEST SUITE 1000 SAN ANTONIO TX 78230 134307214 60086 SUBAWARD FELLOWSHIP FOR INTERPRETATION OF GENOMES 15 W 155 81ST STREET BURR RIDGE IL 60527 141883085 501 (C) (3) OR GOV 664438 SUBAWARD FIELD MUSEUM 1400 SOUTH LAKE SHORE DRIVE CHICAGO IL 60605 362167011 501 (C) (3) OR GOV 36277 SUBAWARD FLORIDA INSTITUTE OF TECHNOLOGY 150 W UNIVERSITY BLVD MELBOURNE FL 32901 596046500 501 (C) (3) OR GOV 60752 SUBAWARD FLORIDA INTERNATIONAL UNIVERSITY 11200 SW 8TH STREET CSC 310 MIAMI FL 33199 650177616 501 (C) (3) OR GOV 192153 SUBAWARD FORT WAYNE MEDICAL ONCOLOGY & HEMATOLOGY INC 4402 E STATE BLVD FORT WAYNE IN 46815 351400631 5150 SUBAWARD FRANKLIN COUNTY HISTORICAL SOCIETY DBA COSI COLUMBUS 333 WEST BROAD STREET COLUMBUS OH 43215 314383802 501 (C) (3) OR GOV 9978 SUBAWARD FRED HUTCHINSON CANCER RESEARCH CENTER 1100 FAIRVIEW AVENUE N PO BOX 19024 19024 SEATTLE WA 98109 237156071 501 (C) (3) OR GOV 20273 SUBAWARD FREQUENCY 540 LLC 640 NORTH LASALLE SUITE 490 CHICAGO IL 60654 611652976 694556 SUBAWARD FRIEND FAMILY HEALTH CENTER 800 E 55TH STREET CHICAGO IL 60615 364161801 501 (C) (3) OR GOV 226537 SUBAWARD FSG INC 500 BOYLSTON STREET SUITE 600 BOSTON MA 02116 202776974 501 (C) (3) OR GOV 24875 SUBAWARD GEORGE MASON UNIVERSITY 4400 UNIVERSITY DRIVE UNIVERSITY HALL FAIRFAX VA 22030 541603842 501 (C) (3) OR GOV 31872 SUBAWARD GEORGE WASHINGTON UNIVERSITY 44983 KNOLL SQUARE BLDG II ASHBURN VA 20147 530196584 501 (C) (3) OR GOV 42413 SUBAWARD GLOBAL GIRLS INC 8151 SOUTH CHICAGO AVENUE CHICAGO IL 60617 364367027 501 (C) (3) OR GOV 17872 SUBAWARD GREATER AUBURN GRESHAM DEVELOPMENT CORPORATION 1159 WEST 79TH STREET CHICAGO IL 60620 364377387 501 (C) (3) OR GOV 37094 SUBAWARD HARVARD UNIVERSITY 667 HUNTINGTON AVENUE BOSTON MA 02115 042103580 501 (C) (3) OR GOV 703930 SUBAWARD HEALTH RESEARCH INC- ROSWELL PARK CANCER INSTITUTE RIVERVIEW CENTER 150 BROADWAY MENANDS NY 12204 141402155 501 (C) (3) OR GOV 5425 SUBAWARD HEKTOEN INSTITUTE 2240 W OGDEN AVENUE 2ND FLOOR CHICAGO IL 60612 362244897 501 (C) (3) OR GOV 75981 SUBAWARD HOLY CROSS HOSPITAL 2701 W 68TH STREET CHICAGO IL 60629 362170133 501 (C) (3) OR GOV 57981 SUBAWARD ILLINOIS CANCER CARE 8940 N WOOD SAGE ROAD PEORIA IL 61615 371409840 501 (C) (3) OR GOV 43415 SUBAWARD ILLINOIS INSTITUTE OF TECHNOLOGY 3300 S FEDERAL STREET MAIN BLDG RM 308 CHICAGO IL 60616 362170136 501 (C) (3) OR GOV 297222 SUBAWARD INDIANA UNIVERSITY POPLARS 426 400 E 7TH ST BLOOMINGTON IN 47405 356001673 501 (C) (3) OR GOV 1027799 SUBAWARD INGALLS MEMORIAL HOSPITAL ONE INGALLS DRIVE HARVEY IL 60426 362170866 501 (C) (3) OR GOV 19385 SUBAWARD INNOVATIONS FOR POVERTY ACTION 101 WHITNEY AVE NEW HAVEN CT 06510 061660068 501 (C) (3) OR GOV 75593 SUBAWARD JOHNS HOPKINS UNIVERSITY 1101 E 33RD STREET BALTIMORE MD 21218 520595110 501 (C) (3) OR GOV 742098 SUBAWARD KANSAS CITY UNIVERSITY 1750 INDEPENDENCE AVENUE KANSAS CITY MO 64106 440545280 501 (C) (3) OR GOV 54373 SUBAWARD LAWRENCE BERKELEY NATIONAL LAB ONE CYCLOTRON ROAD BERKELEY CA 94704 942951741 501 (C) (3) OR GOV 108911 SUBAWARD LOS ANGELES BIOMEDICAL RESEARCH INSTITUTE 1124 WEST CARSON STREET TORRANCE CA 90502 952138184 501 (C) (3) OR GOV 89160 SUBAWARD LOUISIANA STATE UNIVERSITY 202 HIMES HALL BATON ROUGE LA 70803 726000848 501 (C) (3) OR GOV 178697 SUBAWARD LOYOLA UNIVERSITY 820 N MICHIGAN AVENUE CHICAGO IL 60611 361408475 501 (C) (3) OR GOV 149293 SUBAWARD LURIE CHILDREN'S HOSPITAL 2300 CHILDRENS PLAZA BOX 268 CHICAGO IL 60614 362170833 501 (C) (3) OR GOV 18856 SUBAWARD MASSACHUSETTS INSTITUTE OF TECHNOLOGY SUITE NE49-4161 CAMBRIDGE MA 02139 042103594 501 (C) (3) OR GOV 392848 SUBAWARD MATHALICIOUS 112 FOURTH STREET NE CHARLOTTESVILLE VA 22902 270640991 75000 SUBAWARD MAYO CLINIC 200 FIRST STREET SW ROCHESTER MN 55905 416011702 501 (C) (3) OR GOV 18100 SUBAWARD MDRC RESEARCH CORPORATION 16 EAST 34TH STREET NEW YORK NY 10016 237379473 501 (C) (3) OR GOV 261760 SUBAWARD MEDICAL COLLEGE OF WISCONSIN 8701 WATERTOWN PLANK ROAD MILWAUKEE WI 53226 390806261 501 (C) (3) OR GOV 586527 SUBAWARD MEDICAL UNIVERSITY OF SOUTH CAROLINA 18 BEE STREET CHARLESTON SC 29425 576028985 501 (C) (3) OR GOV 9600 SUBAWARD MERCY HOSPITAL ST LOUIS 615 S NEW BALLAS ROAD ST LOUIS MO 63141 562410020 501 (C) (3) OR GOV 5150 SUBAWARD MICHIGAN STATE UNIVERSITY 301 ADMINISTRATION BLDG EAST LANSING MI 48917 386005984 501 (C) (3) OR GOV 191561 SUBAWARD MISSISSIPPI STATE UNIVERSITY P O BOX 5227 MS STATE UNIV MS 39762 646000819 501 (C) (3) OR GOV 46399 SUBAWARD MONTERAY BAY RESEARCH INSTITUTE 7700 SANDHOLDT ROAD MOSS LANDING CA 95039 770150580 501 (C) (3) OR GOV 30089 SUBAWARD MS BIOWORKS LLC 3950 VASITY DRIVE ANN ARBOR MI 48108 272507618 169105 SUBAWARD NATIONAL BUREAU OF ECONOMIC RESEARCH 1050 MASSACHUSETTS AVENUE CAMBRIDGE MA 02138 131641075 501 (C) (3) OR GOV 344133 SUBAWARD NATIONAL OPINION RESEARCH CENTER 55 EAST MONROE STREET CHICAGO IL 60603 362167808 501 (C) (3) OR GOV 317031 SUBAWARD NEAR NORTH HEALTH SERVICE 1276 N CLYBOURN AVENUE CHICAGO IL 60610 363197647 501 (C) (3) OR GOV 36674 SUBAWARD NEW YORK UNIVERSITY 726 BROADWAY NEW YORK NY 10003 135562308 501 (C) (3) OR GOV 268559 SUBAWARD NORTHEASTERN UNIVERSITY 360 HUNTINGTON AVENUE 960 RP BOSTON MA 02115 041679980 501 (C) (3) OR GOV 42821 SUBAWARD NORTHERN ILLINOIS UNIVERSITY LOWDEN HALL SUITE 201 DEKALB IL 60201 100064401 501 (C) (3) OR GOV 17576 SUBAWARD NORTHSHORE UNIVERSITY HEALTH SYSTEM 2650 RIDGE AVENUE - G221 EVANSTON IL 60201 362167060 501 (C) (3) OR GOV 233194 SUBAWARD NORTHWESTERN UNIVERSITY 633 CLARK STREET SUITE G-547 EVANSTON IL 60208 362167817 501 (C) (3) OR GOV 2273691 SUBAWARD OHIO STATE UNIVERSITY 901 WOODY HAYES DRIVE COLUMBUS OH 43210 316025986 501 (C) (3) OR GOV 552434 SUBAWARD ORLIN RESEARCH INC 97 ORLIN AVENUE MINNEAPOLIS MN 55414 202552087 25000 SUBAWARD OUNCE OF PREVENTION FUND 33 W MONROE STREET SUITE 2400 CHICAGO IL 60603 363186328 501 (C) (3) OR GOV 211481 SUBAWARD PENN STATE UNIVERSITY 513 JOAB L THOMAS BLDG UNIVERSITY PARK PA 16802 246000376 501 (C) (3) OR GOV 269726 SUBAWARD PLANNED PARENTHOOD OF ILLINOIS 18 S MICHIGAN AVENUE 6TH FLOOR CHICAGO IL 60603 362710901 501 (C) (3) OR GOV 78515 SUBAWARD PMAC LABORATORIES INC 10636 SCRIPPS SUMMIT CT SAN DIEGO CA 92131 270938257 219000 SUBAWARD PRINCETON UNIVERSITY 5 NEW SOUTH BUILDING PO BOX 5292 PRINCETON NJ 08544 210634501 501 (C) (3) OR GOV 176017 SUBAWARD PROJECT HOPE 255 CARTER HALL LANE MILLWOOD VA 22646 530242962 501 (C) (3) OR GOV 19852 SUBAWARD PURDUE UNIVERSITY 302 WOOD STREET WEST LAFAYETTE IN 47907 356002041 501 (C) (3) OR GOV 266724 SUBAWARD ROCKEFELLER UNIVERSITY 1230 YORK AVENUE NEW YORK NY 10065 131624158 501 (C) (3) OR GOV 241014 SUBAWARD RUSH UNIVERSITY MEDICAL CENTER 1700 WEST VAN BUREN STREET ROOM NO CHICAGO IL 60612 362174823 501 (C) (3) OR GOV 71927 SUBAWARD SANTA FE INSTITUTE 1399 HYDE PARK ROAD SANTA FE NM 87501 850325494 501 (C) (3) OR GOV 17720 SUBAWARD SANTEC SYSTEMS 2924 MALMO DRIVE ARLINGTON HEIGHTS IL 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UNIVERSITY 340 PANAMA STREET STANFORD CA 94305 941156365 501 (C) (3) OR GOV 1074045 SUBAWARD SUNY RESEARCH FOUNDATION 1300 ELMWOOD AVE BISHOP HALL B17 BUFFALO NY 14222 141368361 501 (C) (3) OR GOV 102413 SUBAWARD TCA HEALTH INC 1029 E 130TH STREET CHICAGO IL 60628 362743287 501 (C) (3) OR GOV 60086 SUBAWARD TEMPLE UNIVERSITY 1805 NORTH BROAD STREET PHILADELPHIA PA 19122 231365971 501 (C) (3) OR GOV 149071 SUBAWARD THE MARINE BIOLOGICAL LABORATORY 7 MBL STREET WOODS HOLE MA 02543 042104690 501 (C) (3) OR GOV 135000 SUBAWARD TUFTS UNIVERSITY 136 HARRISON AVENUE BOSTON MA 02111 042103634 501 (C) (3) OR GOV 85992 SUBAWARD UNIVERSITY OF ALABAMA 1530 3RD AVENUE S AB 1170 BIRMINGHAM AL 35294 636005996 501 (C) (3) OR GOV 80716 SUBAWARD UNIVERSITY OF ALASKA P O BOX 756540 FAIRBANKS AK 99775 916000147 501 (C) (3) OR GOV 53287 SUBAWARD UNIVERSITY OF ARIZONA 888 N EUCLID ROOM 510 TUCSON AZ 85722 742652689 501 (C) (3) OR GOV 107370 SUBAWARD UNIVERSITY OF CALIFORNIA-BK 2150 SHATTUCK AVENUE SUITE 300 BERKELEY CA 94704 946002123 501 (C) (3) OR GOV 797220 SUBAWARD UNIVERSITY OF CALIFORNIA-DV ONE SHIELDS AVENUE DAVIS CA 95616 946036494 501 (C) (3) OR GOV 178446 SUBAWARD UNIVERSITY OF CALIFORNIA-IR 4255 CAMPUS DRIVE IRVINE AZ 90024 952226406 501 (C) (3) OR GOV 143216 SUBAWARD UNIVERSITY OF CALIFORNIA-LA 10920 WILSHIRE BOULEVARD SUITE 1200 1200 LOS ANGELES CA 90024 943067788 501 (C) (3) OR GOV 288208 SUBAWARD UNIVERSITY OF CALIFORNIA-SC 1156 HIGH STREET SANTA CRUZ CA 95064 941539563 501 (C) (3) OR GOV 24706 SUBAWARD UNIVERSITY OF CALIFORNIA-SD 9500 GILMAN DRIVE - RM 3041 LA JOLLA CA 92093 956006144 501 (C) (3) OR GOV 742057 SUBAWARD UNIVERSITY OF CALIFORNIA-SF 3333 CALIFORNIA STREET SUITE 315 SAN FRANCISCO CA 94118 946036493 501 (C) (3) OR GOV 1054617 SUBAWARD UNIVERSITY OF CENTRAL FLORIDA 12201 RESEARCH PARKWAY SUITE 501 ORLANDO FL 32826 592924021 501 (C) (3) OR GOV 14057 SUBAWARD UNIVERSITY OF COLORADO 3100 MARINE STREET BOULDER CO 80309 391481425 501 (C) (3) OR GOV 329202 SUBAWARD UNIVERSITY OF CONNECTICUT 438 WHITNEY ROAD EXT UNIT 1133 STORRS CT 06269 060772160 501 (C) (3) OR GOV 9855 SUBAWARD UNIVERSITY OF DENVER 2199 S UNIVERSITY BOULEVARD DENVER CO 80208 840404231 501 (C) (3) OR GOV 118384 SUBAWARD UNIVERSITY OF FLORIDA 219 GRINTER HALL PO BOX 1003628 GAINESVILLE FL 32611 590974739 501 (C) (3) OR GOV 56717 SUBAWARD UNIVERSITY OF GEORGIA 394 SOUTH MILLEDGE AVENUE SUITE 10 ATHENS GA 30602 586033837 501 (C) (3) OR GOV 34749 SUBAWARD UNIVERSITY OF ILLINOIS-CHICAGO 809 SOUTH MARSHFIELD AVENUE CHICAGO IL 60612 376000511 501 (C) (3) OR GOV 1332630 SUBAWARD UNIVERSITY OF ILLINOIS-URBANACHAMPAIGN 1901 S FIRST ST SUITE A MC-685 CHAMPAIGN IL 61820 376000511 501 (C) (3) OR GOV 760285 SUBAWARD UNIVERSITY OF KANSAS CENTER FOR RESEARCH 2385 IRVING HILL ROAD LAWRENCE KS 66045 480680117 501 (C) (3) OR GOV 119583 SUBAWARD UNIVERSITY OF KENTUCKY 109 KINKEAD HALL LEXINGTON KY 40506 616001218 501 (C) (3) OR GOV 90350 SUBAWARD UNIVERSITY OF MARYLAND 3300 METZEROTT ROAD ADELPHI MD 20783 526002033 501 (C) (3) OR GOV 197276 SUBAWARD UNIVERSITY OF MARYLAND BALTIMORE 220 ARCH STREET OFFICE LEVEL 2 BALTIMORE MD 21201 526002033 501 (C) (3) OR GOV 9341 SUBAWARD UNIVERSITY OF MASSACHUSETTS 55 LAKE AVENUE NORTH WORCESTER MA 01655 043167352 501 (C) (3) OR GOV 75055 SUBAWARD UNIVERSITY OF MICHIGAN 3003 S STATE STREET 3089 WOLVERINE TOWER ANN ARBOR MI 48109 386006309 501 (C) (3) OR GOV 978036 SUBAWARD UNIVERSITY OF MINNESOTA 200 OAK STREET SE MINNEAPOLIS MN 55455 416007513 501 (C) (3) OR GOV 103309 SUBAWARD UNIVERSITY OF MISSOURI 310 JESSE HALL COLUMBIA MO 65211 436003859 501 (C) (3) OR GOV 57732 SUBAWARD UNIVERSITY OF NEW MEXICO 1 UNIVERSITY OF NEW MEXICO ALBUQUERQUE NM 87131 856000642 501 (C) (3) OR GOV 230655 SUBAWARD UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DRIVE CB1350 CHAPEL HILL NC 27599 566001393 501 (C) (3) OR GOV 43854 SUBAWARD UNIVERSITY OF NOTRE DAME 402 GRACE HALL NOTRE DAME IN 46556 350868188 501 (C) (3) OR GOV 222855 SUBAWARD UNIVERSITY OF PENNSYLVANIA 3451 WALNUT STREET P-221 FRANKLIN BLDG PHILADELPHIA PA 19104 231352685 501 (C) (3) OR GOV 157417 SUBAWARD UNIVERSITY OF PITTSBURGH 3100 CATHEDRAL OF LEARNING PITTSBURGH PA 15260 250965591 501 (C) (3) OR GOV 502096 SUBAWARD UNIVERSITY OF SCIENCES IN PHILADELPHIA 600 SOUTH 43RD STREET PHILADELPHIA PA 19104 231352668 501 (C) (3) OR GOV 19384 SUBAWARD UNIVERSITY OF SOUTH CAROLINA 1600 HAMPTON STREET SUITE 613 COLUMBIA SC 29208 576001153 501 (C) (3) OR GOV 125694 SUBAWARD UNIVERSITY OF SOUTHERN CALIFORNIA UNIVERSITY PARK CAMPUS - STO 330 LOS ANGELES CA 90089 951642394 501 (C) (3) OR GOV 24547 SUBAWARD UNIVERSITY OF TEXAS MD ANDERSON CANCER CENTER P O BOX 7159 AUSTIN TX 78713 746001118 501 (C) (3) OR GOV 11220 SUBAWARD UNIVERSITY OF TEXAS-AU 101 E 27TH STE 5300 AUSTIN TX 78712 079497681 501 (C) (3) OR GOV 58513 SUBAWARD UNIVERSITY OF VIRGINIA P O BOX 400202 CHARLOTTESVILLE VA 22904 546001796 501 (C) (3) OR GOV 457303 SUBAWARD UNIVERSITY OF WASHINGTON 1100 NE 45TH STREET SUITE 300 SEATTLE WA 98105 916001537 501 (C) (3) OR GOV 231092 SUBAWARD UNIVERSITY OF WISCONSIN-MADISON 21 NORTH PARK STREET - SUITE 6401 MADISON WI 53715 396006492 501 (C) (3) OR GOV 1239613 SUBAWARD UNIVERSITY OF WISCONSIN-MILWAUKEE 2310 E HARTFORD AVE CHAPMAN HALL 345 MILWAUKEE WI 53211 391805963 501 (C) (3) OR GOV 21480 SUBAWARD URBAN INSTITUTE 2100 M STREET NW WASHINGTON DC 20037 520880375 501 (C) (3) OR GOV 146471 SUBAWARD URBAN TEACHER RESIDENCY UNITED 1332 N HALSTED STREET SUITE 304 CHICAGO IL 60642 260869607 501 (C) (3) OR GOV 40000 SUBAWARD USDA- US DEPARTMENT OF AGRICULTURE 1030 BALTIMORE AVE BLD 003 BARC-WEST BELTSVILLE MD 20705 720564834 501 (C) (3) OR GOV 110145 SUBAWARD VANDERBILT UNIVERSITY 3319 WEST END AVENUE SUITE 800 NASHVILLE TN 37203 620476822 501 (C) (3) OR GOV 97407 SUBAWARD VIRGINIA COMMONWEALTH UNIVERSITY 800 EAST LEIGH ST SUITE 113 PO BOX 980568 RICHMOND VA 23298 546001758 501 (C) (3) OR GOV 31313 SUBAWARD VIRGINIA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY 201 SOUTHGATE CENTER DRIVE BLACKSBURG VA 24061 546001805 501 (C) (3) OR GOV 69791 SUBAWARD WASHINGTON PARK CONSORTIUM 6357 S COTTAGE GROVE CHICAGO IL 60637 263873131 501 (C) (3) OR GOV 11485 SUBAWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE BOX 1034 ST LOUIS MO 63112 436053611 501 (C) (3) OR GOV 249441 SUBAWARD WESTERN MICHIGAN UNIVERSITY 1903 W MICHIGAN AVE KALAMAZOO MI 49008 386007327 501 (C) (3) OR GOV 32557 SUBAWARD WOLFBROWN LLC 808A OAK STREET SAN FRANCISCO CA 94117 800314888 6000 SUBAWARD WORLD SPORT CHICAGO 200 E RANDLOLPH STREET 20TH FLR CHICAGO IL 60601 208845277 501 (C) (3) OR GOV 43862 SUBAWARD YALE UNIVERSITY 155 WHITNEY AVE SUITE 230 PO BOX 208250 NEW HAVEN CT 06520 060646973 501 (C) (3) OR GOV 94070 SUBAWARD YMCA OF METROPOLITAN CHICAGO 801 N DEARBORN CHICAGO IL 60610 362179782 501 (C) (3) OR GOV 15000 SUBAWARD YOUTH GUIDANCE 1 NORTH LASALLE ST SUITE 900 CHICAGO IL 60602 362167032 501 (C) (3) OR GOV 19995 SUBAWARD 160 12 UNDERGRADUATE STUDENT AID 3210 101360223 GRADUATE STUDENT AID 6264 221503225 PART I, LINE 2: ORGANIZATIONS PROCEDURES FOR MONITORING USE OF GRANTS FUNDS INSIDE THE US SCHEDULE I, PART IV PART I, LINE 2, THE UNIVERSITY OF CHICAGO FOLLOWS THESE PROCEDURES TO MONITOR THE USE OF GRANTS FUNDS IN THE UNITED STATES. THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. X X X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 ROBERT J ZIMMER PRESIDENT 974462 0 200000 0 32365 0 562400 0 131042 0 1900269 0 0 0 THOMAS F ROSENBAUM PROVOST 641656 0 26600 0 9867 0 20400 0 66988 0 765511 0 0 0 ERIC ISAACS PROVOST 0 580106 0 57209 47500 3317 0 0 51635 29938 99135 670570 0 0 NIMALAN CHINNIAH EXEC. VP FOR ADMIN & CFO 640469 0 15400 0 11079 0 20400 0 15041 0 702389 0 0 0 KAREN WARREN COLEMAN VP CAMPUS AND STUD. LIFE 265577 0 13200 0 1033 0 20400 0 19716 0 319926 0 0 0 DEREK RB DOUGLAS VP CIVIC ENGAGEMENT 371201 0 24700 0 1276 0 20400 0 38867 0 456444 0 0 0 DAVID B FITHIAN EXECUTIVE VICE PRESIDENT 343799 0 28400 0 7811 0 20400 0 14444 0 414854 0 0 0 DAVID A GREENE EXECUTIVE VICE PRESIDENT 617938 0 60400 0 67439 0 145400 0 63000 0 954177 0 0 0 BETH A HARRIS VP & GENERAL COUNSEL 413572 0 20800 0 7954 0 20400 0 70604 0 533330 0 0 0 RICHARD IORIO VP & CHIEF HUMAN RESOURCE OFC. 525127 0 89730 0 70691 0 70400 0 26006 0 781954 0 0 0 DONALD H LEVY VP FOR RESEARCH 379559 0 25100 0 0 0 20400 0 13052 0 438111 0 0 0 KENNETH MANOTTI VP ALUMNI RELATIONS & DEVL. 451230 0 43700 0 13327 0 20400 0 13535 0 542192 0 0 0 JAMES G NONDORF VP ENROLL. & STUDENT ADV. 428573 0 60000 0 1781 0 20400 0 8803 0 519557 0 0 0 JULIE PETERSON VP COMMUNICATIONS 383375 0 22600 0 10643 0 20400 0 33962 0 470980 0 0 0 KENNETH S POLONSKY EXEC. VP MEDICAL AFFAIRS 1463573 0 400000 0 15407 0 20400 183381 21055 0 1920435 183381 0 0 DARREN REISBERG SECRETARY OF THE UNIVERSITY 187425 0 0 0 0 0 15352 0 10674 0 213451 0 0 0 MARK A SCHMID VP AND CHIEF INVEST. OFFICER 597625 0 1321300 0 15885 0 605400 0 47547 0 2587757 0 550000 0 IAN SOLOMON VP GLOBAL ENGAGEMENT 180701 0 30900 0 24797 0 14772 0 11139 0 262309 0 0 0 MICHAEL EDLESON INVESTMENT CHIEF RISK OFFICER 471932 0 1208495 0 0 0 377578 0 21908 0 2079913 0 336960 0 PHUONG-QUE NGUYEN MTG. DIRECTOR - STRATEGY 427606 0 740076 0 0 0 344724 0 25443 0 1537849 0 308880 0 VALLUVAN JEEVANANDAM CHIEF CARDIAC & THORACIC SURG. 1016034 0 223862 0 0 0 20400 0 22211 0 1282507 0 0 0 DAVID AWSCHALOM PROF. INSTITUTE OF MOLECULAR ENGR. 409103 0 695000 0 200000 0 20400 0 15774 0 1340277 0 0 0 MATTHEW STONE MGT. DIRECTOR - PUBLIC MKTS. 388886 0 694498 0 0 0 317322 0 83584 0 1484290 0 0 0 EVERETT VOKES CHAIRMAN OF MEDICINE 730929 0 200000 0 0 0 20400 0 24500 0 975829 0 0 0 SUNIL P KUMAR DEAN OF BOOTH SCH. OF BUS. 535954 0 62400 0 2426 0 20400 0 21211 0 642391 0 0 0 PART I, LINE 1A FIRST CLASS TRAVEL. UNDER WRITTEN UNIVERSITY POLICY, FIRST CLASS AIR TRAVEL IS ONLY ALLOWED WHEN APPROVED IN ADVANCE BY A DEAN, VICE PRESIDENT OR THE PROVOST. SIX OFFICERS AND ONE FORMER OFFICER WERE APPROVED FOR FIRST CLASS TRAVEL IN ACCORDANCE WITH THIS POLICY. NONE OF THE BUSINESS TRIPS WERE DEEMED TAXABLE COMPENSATION. TRAVEL FOR COMPANION. UNDER WRITTEN UNIVERSITY POLICY, TRAVEL FOR COMPANIONS MUST BE PRE-APPROVED BY THE EXECUTIVE VICE-PRESIDENT FOR ADMINISTRATION AND CHIEF FINANCIAL OFFICER AND WILL ONLY BE APPROVED WHEN THE COMPANION TRAVEL SERVES A BONA FIDE BUSINESS PURPOSE. ONE OFFICER HAD COMPANION TRAVEL APPROVED IN ACCORDANCE WITH THIS POLICY. THE COST OF THE COMPANION TRAVEL WAS NOT DEEMED TAXABLE COMPENSATION. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS. INDIVIDUALS MAY HAVE CERTAIN PAYMENTS GROSSED UP AT THE DISCRETION OF HEADS OF DEPARTMENTS OR OFFICERS OF THE UNIVERSITY. NO LISTED PERSON HAD A GROSS-UP PAYMENT. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE. (PART 1A & 1B AND PART II, COLUMN D FOR ROBERT J. ZIMMER). HOUSING ALLOWANCES ARE ONLY PERMITTED IF PRE-APPROVED BY THE PROVOST'S OFFICE OR UNIVERSITY HUMAN RESOURCES. SIX OFFICERS AND ONE HIGHLY COMPENSATED INDIVIDUAL RECEIVED HOUSING ALLOWANCES, WHICH WERE INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. OF THE AMOUNT IN COLUMN D FOR ROBERT J. ZIMMER, $106,580 REPRESENTS THE VALUE OF THE UNIVERISTY-OWNED HOUSING PROVIDED TO THE PRESIDENT, WHICH IS NOT DEEMED A TAXABLE BENEFIT. SOCIAL AND HEALTH CLUB DUES. UNDER WRITTEN UNIVERSITY POLICY, SOCIAL AND HEALTH CLUB DUES ARE REIMBURSABLE ONLY IF THE BENEFITS OF THE MEMBERSHIP SUPPORT THE UNIVERSITY'S MISSION AND ONLY IF THE REIMBURSEMENT IS APPROVED BY A DEAN, VICE PRESIDENT, PROVOST OR PRESIDENT OF THE UNIVERSITY. ANY PORTION OF THE DUES NOT USED FOR BUSINESS PURPOSES IS CONSIDERED TAXABLE COMPENSATION. OFFICERS OF THE UNIVERSITY MAINTAIN MEMBERSHIP IN THE QUADRANGLE CLUB, A RELATED ORGANIZATION THAT OPERATES A FACULTY CLUB ON THE CAMPUS OF THE UNIVERSITY FOR PURPOSE OF CONDUCTING MEETINGS AND OTHER UNIVERSITY BUSINESS. THE UNIVERSITY REIMBURSES OFFICERS FOR THESE DUES AND THE REIMBURSEMENT IS NOT DEEMED TAXABLE COMPENSATION. IN ADDITION TWO OFFICERS AND ONE FORMER KEY EMPLOYEE HAD SOCIAL CLUB DUES REIMBURSED BY THE UNIVERSITY FOR BUSINESS PURPOSES AND THE REIMBURSEMENT WAS NOT DEEMED TAXABLE COMPENSATION. PERSONAL SERVICES. THE UNIVESITY CONTRACTS WITH AN INDEPENDENT CONTRACTOR TO PROVIDE THE PRESIDENT OF THE UNIVERSITY WITH A CAR AND DRIVER FOR USE ON UNINVESITY BUSINESS. IN ADDITION, THE UNIVERSITY PROVIDES FOR THE MAINTENANCE AND CLEANING OF HTE UNIVERSITY-OWNED HOUSE PROVIDED TO THE PRESIDENT. THESE SERVICES WERE NOT DEEMED A TAXABLE BENEFIT. PART I, LINE 4B ROBERT J. ZIMMER $542,000. DAVID GREENE $125,000. RICHARD IORIO $50,000. KENNETH POLONSKY $183,381. PART I, LINE 7 INVESTMENT OFFICE PERSONNEL PARTICIPATE IN AN INCENTIVE COMPENSATION PROGRAM BASED ON PERFORMANCE AND QUALITATIVE MEASUREMENTS. A IFA 100000000 REVENUE BONDS SERIES 2004B 861091967 45200BHH4 2004-11-10 100000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA 80000000 ADJ RATE REV REFUNDING BONDS 2004C 861091967 45200BJG4 2004-11-30 80000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 244030000 REVENUE BONDS SERIES 2007 861091967 45200B6F0 2007-06-28 249996429 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA 123604000 ADJ RATE DEMAND REV SERIES 2008 861091967 45200FEG0 2008-04-03 123604000 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 15709000 102437189 469999 101967190 2010 0 0 1 1 B 2265000 80000000 463838 79536162 2006 0 1 1 1 C 6190000 256001810 1630377 254371433 2010 0 0 1 1 D 14434000 123604000 752575 122851425 2004 1 0 1 1 A 0 0 1 1 1 1 0.00300 0.00000 0.00300 0 0 1 B 0 0 1 1 1 1 0.00900 0.00000 0.00900 0 0 1 C 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 1 1 1 1 0.01100 0.00000 0.01100 0 1 0.00400 0 1 A 0 0 1 1 1 0 0 0 1 B 0 0 1 1 1 1 MORGAN STANLEY 35.000000000000 0 0 0 0 1 C 0 0 1 1 0 0 0 0 1 D 0 0 0 1 1 1 MERRILL LYNCH 33.000000000000 0 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: IFA 100,000,000 REVENUE BONDS, SERIES 2004B DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2009 ISSUER NAME: IFA 80,000,000 ADJ RATE REV REFUNDING BONDS 2004C DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2011 ISSUER NAME: IFA 244,030,000 REVENUE BONDS, SERIES 2007 DATE THE REBATE COMPUTATION WAS PERFORMED: 07/12/2012 ISSUER NAME: IFA 123,604,000 ADJ RATE DEMAND REV SERIES 2008 DATE THE REBATE COMPUTATION WAS PERFORMED: 03/26/2013 ISSUER NAME: IEFA 50,000,000 ADJ RATE REV BONDS,SERIES 2003B DATE THE REBATE COMPUTATION WAS PERFORMED: 04/02/2009 ISSUER NAME: IFA 500,000,000 REVENUE BONDS, SERIES 2008B DATE THE REBATE COMPUTATION WAS PERFORMED: 03/01/2014 PART I COLUMN F DESCRIPTION OF PURPOSE $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $244,030,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2007, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL, A LIBRARY ADDITION, STEAM AND CHILLED WATER UTILITY PLANT EXPANSION, THE CENTER FOR BIOMEDICAL DISCOVERY, AND AN OFFICE BUILDING, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $500,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COST OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL AND DINING FACILITY, THE LOGAN ARTS CENTER, A LIBRARY ADDITION, AND THE CENTER FOR BIOMEDICAL DISCOVERY, AND PAY CERTAIN COSTS OF ISSUANCE. $369,570,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2012A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, THE MULTIPURPOSE ECONOMICS RESEARCH BUILDING, AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 1985A BONDS AND THE 2004A BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. $149,090,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2013A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE, AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, ADAPTIVE REUSE OF 5757 S. UNIVERSITY AVENUE AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 2001A BONDS, THE 2004A BONDS AND THE 2008B BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. PART II LINE 3 SERIES 2004B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $2,437,189. SERIES 2007: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $6,005,381. SERIES 2003B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $141,933. SERIES 2008B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $646,698. SERIES 2012A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $8,068. SERIES 2013A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $4,887. A IEFA 50000000 ADJ RATE REV BONDSSERIES 2003B 521297563 4520017E4 2003-08-28 50000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA 500000000 REVENUE BONDS SERIES 2008B 861091967 45203HC42 2009-01-07 502370736 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 369570000 REVENUE BONDS SERIES 2012A 861091967 45203HFF4 2012-02-02 421065981 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA 149090000 REVENUE BONDS SERIES 2013A 861091967 45203HRE4 2013-05-15 159766350 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 9813000 50141933 274223 49867710 2004 0 0 1 1 B 44325000 503017434 3487166 495530268 2012 0 0 1 1 C 230000 421074049 1982388 150009360 269082300 2012 0 1 1 1 D 159771237 1179561 100004887 58583789 2014 1 1 1 1 A 0 0 1 1 1 1 0.00100 0.00000 0.00100 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 1 1 1 1 0.00200 0.00000 0.00200 0 0 1 D 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 1 1 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 1 0 0 0 0 0 0 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 IAN SOLOMON X 300000 300000 0 1 1 NIM CHINNIAH X 167000 92734 0 1 1 DAVID GREENE X 60000 60000 0 1 1 DAVID FITHIAN X 136000 105863 0 1 1 558597 NOT REQUIRED NOT REQUIRED 13186 STUDENT AID TISHMAN SPEYER CROWN EQUITIES LLC SEE PART V 624496 SEE PART V 0 BLOOMBERG LP SEE PART V 725130 SEE PART V 0 TRIAN PARTNERS SEE PART V 2145729 SEE PART V 0 THE CARLYLE GROUP SEE PART V 348383 SEE PART V 0 LAKE CAPITAL SEE PART V 220192 SEE PART V 0 ARAMARK CORPORATION SEE PART V 16787306 SEE PART V 0 HYATT HOTELS CORPORATION SEE PART V 1683087 SEE PART V 0 CDW LLC SEE PART V 544960 SEE PART V 0 SHADI BARTSCH-ZIMMER SEE PART V 256520 SEE PART V 0 SUMATI MURLI SEE PART V 133663 SEE PART V 0 DANIEL ROSENBAUM SEE PART V 49196 SEE PART V 0 FRANCES J SCHMID SEE PART V 39061 SEE PART V 0 TAMARA VOKES SEE PART V 245495 SEE PART V 0 TAMAR POLONSKY SEE PART V 214758 SEE PART V 0 SCHEDULE L, PART IV JAMES S. CROWN, A TRUSTEE OF THE UNIVERSITY, AND HIS FAMILY OWN AN INDIRECT INTEREST IN TISHMAN SPEYER CROWN EQUITIES, LLC (TISHMAN SPEYER), WHICH THROUGH A SUBSIDIARY OWNS AN OFFICE BUILDING IN WASHINGTON D.C. IN WHICH THE UNIVERSITY OF CHICAGO LEASES OFFICE SPACE. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $163,381 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2014. THE UNIVERSITY ALSO LEASES OFFICE SPACE IN NEW YORK, NEW YORK FROM TISHMAN SPEYER. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $461,115 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2014 . DANIEL L. DOCTOROFF, A TRUSTEE OF THE UNIVERSITY, IS CHIEF EXECUTIVE OFFICER OF BLOOMBERG LP, FROM WHICH THE UNIVERSITY PURCHASED VARIOUS INVESTMENT DATA PRODUCTS ON STANDARD, ARMS' LENGTH TERMS. THE UNIVERSITY PAID BLOOMBERG LP AND ITS AFFILIATES APPROXIMATELY $725,130 FOR THESE PRODUCTS DURING THE TAX YEAR ENDED JUNE 30, 2014.JOHN A EDWARDSON, A TRUSTEE OF THE UNIVERSITY, DURING A PORTION OF THE TAX YEAR WAS CHAIRMAN OF CDW LLC, FROM WHICH THE UNIVERSITY FROM TIME TO TIME PURCHASES CERTAIN COMPUTER HARDWARE AND SOFTWARE PRODUCTS, AND RELATED SERVICES. DURING THE TAX YEAR ENDED JUNE 30, 2014, THE UNIVERSITY PAID CDW LLC APPROXIMATELY $544,960 IN CONNECTION WITH SUCH PURCHASES.PETER MAY, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT AND FOUNDING PARTNER OF TRIAN PARTNERS, AN INVESTMENT MANAGEMENT FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. TRIAN PARTNERS RECEIVED APPROXIMATELY $2,145,729 IN MANAGEMENT AND INCENTIVE FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2014. JOSEPH NEUBAUER, A TRUSTEE OF THE UNIVERSITY, SERVED DURING A PORTION OF THE TAX YEAR ENDED JUNE 30, 2014, AS CHAIRMAN AND DIRECTOR OF ARAMARK HOLDINGS CORPORATION, WHICH OWNS A MAJORITY OF ARAMARK CORPORATION, A DIVERSIFIED MANAGEMENT COMPANY. THE UNIVERSITY HAS RETAINED ARAMARK CORPORATION TO PROVIDE FOOD SERVICE IN VARIOUS UNIVERSITY RESIDENCE HALLS AND FACILITIES, AND TO PROVIDE CERTAIN UNIFORM AND VENDING SERVICES TO THE UNIVERSITY. DURING THE TAX YEAR ENDED JUNE 30, 2014, THE UNIVERSITY PAID ARAMARK CORPORATION APPROXIMATELY $16,787,306 FOR THESE SERVICES, AND ARAMARK CORPORATION PAID THE UNIVERSITY APPROXIMATELY $726,770 IN CONNECTION WITH THESE SERVICES. THE CONTRACTS FOR THESE SERVICES WERE NEGOTIATED AT ARMS' LENGTH AND WERE CONCLUDED ON MARKET TERMS.THOMAS J. PRITZKER , A TRUSTEE OF THE UNIVERSITY, IS EXECUTIVE CHAIRMAN OF THE HYATT HOTELS CORPORATION, AND RACHEL D. KOHLER, A TRUSTEE OF THE UNIVERSITY, IS MARRIED TO THE CEO OF HYATT HOTELS CORPORATION. DURING THE TAX YEAR ENDED JUNE 30, 2014, THE UNIVERSITY SPENT APPROXIMATELY $1,683,087 ON FOOD, LODGING AND EVENTS AT VARIOUS HYATT HOTELS. THESE TRANSACTIONS WERE ALL DONE IN THE ORDINARY COURSE OF BUSINESS.DAVID M. RUBINSTEIN, A TRUSTEE OF THE UNIVERSITY, IS A CO-FOUNDER AND CO-CEO OF THE CARLYLE GROUP, A PRIVATE EQUITY FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. THE CARLYLE GROUP RECEIVED APPROXIMATELY $348,383 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2014.PAUL YOVOVICH, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT, PRINCIPAL, AND CO-FOUNDER OF LAKE CAPITAL, A PRIVATE EQUITY FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. LAKE CAPITAL RECEIVED APPROXIMATELY $220,192 IN FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2014.SHADI BARTSCH-ZIMMER, THE WIFE OF THE UNIVERSITY OF CHICAGO PRESIDENT ROBERT J. ZIMMER, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR OF CLASSICS. MS. BARTSCH-ZIMMER WAS PAID A GROSS SALARY OF $256,520 FOR THE CALENDAR YEAR 2013 IN CONNECTION WITH HER EMPLOYMENT.SUMATI MURLI, THE WIFE OF SUNIL KUMAR, DEAN OF THE BOOTH SCHOOL OF BUSINESS, IS EMPLOYED BY THE UNIVERSITY AS A DIRECTOR FOR CLINICAL RESEARCH OPERATIONS. MS. MURLI WAS PAID $133,663 FOR THE CALENDAR YEAR 2013 IN CONNECTION WITH HER EMPLOYMENT. DANIEL ROSENBAUM, THE SON OF THOMAS ROSENBAUM, THE FORMER PROVOST OF THE UNIVERSITY, IS EMPLOYED AT THE UNIVERSITY. MR. ROSENBAUM WAS PAID $49,196 FOR THE CALENDAR YEAR 2013 IN CONNECTION WITH HIS EMPLOYMENT.FRANCES J. SCHMID, THE DAUGHTER OF MARK SCHMID, VICE PRESIDENT AND CHIEF INVESTMENT OFFICER, IS EMPLOYED BY THE UNIVERSITY AS AN ASSISTANT IN THE OFFICE OF DEVELOPMENT. MS. SCHMID WAS PAID $39,061 FOR THE CALENDAR YEAR 2013 IN CONNECTION WITH HER EMPLOYMENT.TAMARA VOKES, THE WIFE OF EVERETT VOKES, THE FORMER DEAN AND VICE PRESIDENT OF MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR IN CLINICAL MEDICINE. DR. VOKES WAS PAID $245,495 FOR THE CALENDAR YEAR 2013 IN CONNECTION WITH HER EMPLOYMENT.TAMAR POLONSKY, THE DAUGHTER OF KENNETH POLONSKY, DEAN AND EXECUTIVE VICE PRESIDENT FOR MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS AN ASSISTANT PROFESSOR IN THE DEPARTMENT OF MEDICINE. DR. POLONSKY WAS PAID $214,758 FOR THE CALENDAR YEAR 2013 IN CONNECTION WITH HER EMPLOYMENT. X 8 0 X 632976 OPINION OF EXPERTS X 370 96078527 COST/SELLING PRICE 31 0 1 1 PART I, LINE 32B: RELATED ORGANIZATIONS IN THE UK, FRANCE, SINGAPORE, HONG KONG AND INDIA SOLICIT CHARITABLE CONTRIBUTIONS FOR THE BENEFIT OF THE UNIVERSITY AND ITS PROGRAMS. THE UNIVERSITY USES AN OUTSIDE BROKER TO SELL GIFTS OF SECURITIES. PART I, LINE 33: THE UNIVERSITY OF CHICAGO DOES NOT RECORD GIFTS OF ART AS REVENUE, AS PERMITTED UNDER SFAS 116. FORM 990, PART VI, SECTION A, LINE 2 ANDREW ALPER AND KEN JACOBS, BOTH TRUSTEES OF THE UNIVERSITY HAVE A BUSINESS RELATIONSHIP. RODNEY L. GOLDSTEIN AND JAMES S. CROWN, BOTH TRUSTEES OF THE UNIVERSITY HAVE A BUSINESS RELATIONSHIP. ROBERT W. LANE AND JOSEPH NEUBAUER, BOTH TRUSTEES OF THE UNIVERSITY HAVE A BUSINESS RELATIONSHIP. THOMAS J. PRITZKER AND BRYON TROTT, BOTH TRUSTEES OF THE UNIVERSITY HAVE A BUSINESS RELATIONSHIP. JOHN W. RODGERS AND PAULA WOLFF, BOTH TRUSTEES OF THE UNIVERSITY HAVE A BUSINESS RELATIONSHIP. ANDREW M. ROSENFIELD AND PETER W. MAY, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. ALVARO J. SAIEH AND MARSHALL I. WAIS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. KING W. HARRIS AND RODNEY L. GOLDSTEIN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND E. DAVID COOLIDGE III, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND RODNEY L. GOLDSTEIN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND JOHN RODGERS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND BYRON TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. CRAIG J. DUCHOSSOIS AND PAUL YOVOVICH, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. E. DAVID COOLIDGE III AND THOMAS A. COLE, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO FILING THE FORM 990, MEMBERS OF THE EXECUTIVE COMMITTEE AND AUDIT COMMITTEE OF THE UNIVERSITY'S BOARD OF TRUSTEES WERE GIVEN AN OPPORTUNITY TO REVIEW PORTIONS OF THE FORM 990 RELEVANT TO THE AREAS OF OVERSIGHT OF THOSE COMMITTEES. THESE PORTIONS OF THE FORM 990 WERE DISTRIBUTED TO COMMITTEE MEMBERS FOR CONVENED MEETINGS IN FEBRUARY - MARCH 2015, AT WHICH TRUSTEES OF THESE COMMITTEES WERE GIVEN THE OPPORTUNITY TO DISCUSS THE RELEVANT SECTIONS OF THE FORM 990 AND ASK QUESTIONS. IN ADDITION, IN EARLY APRIL 2015, THE COMPLETED DRAFT FORM 990 (AND FORM 990-T), INCLUDING ALL SCHEDULES, WAS POSTED ON A SECURE WEBSITE ACCESSIBLE TO ALL TRUSTEES TO ALLOW THEM TO REVIEW THE FORM, PROVIDE COMMENTS, AND ASK ANY QUESTIONS. INFORMATION ABOUT ACCESSING THE WEBSITE WAS DISTRIBUTED IN ADVANCE TO ALL TRUSTEES. THE DRAFT FORM REMAINED AVAILABLE ON THE WEBSITE FOR APPROXIMATELY TWO WEEKS, AFTER WHICH ONLINE ACCESS ENDED TO ALLOW THE UNIVERSITY TIME TO FINALIZE THE FORM 990 AND FORM 990T FOR FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ALL TRUSTEES, OFFICERS, FACULTY, SENIOR ADMINISTRATORS, AND OTHER EMPLOYEES OF THE UNIVERSITY ARE SUBJECT TO CONFLICT OF INTEREST POLICIES THAT, AMONG OTHER THINGS, DEFINE MATERIAL FINANCIAL CONFLICTS OF INTEREST, IDENTIFY THE CLASSES OF INDIVIDUALS COVERED BY THE POLICIES, FACILITATE DISCLOSURE OF INFORMATION, AND SPECIFY PROCEDURES TO BE FOLLOWED IN MANAGING THE CONFLICTS. THESE CONFLICT OF INTEREST POLICIES AND PROCEDURES INCLUDE: (1) THE UNIVERSITY OF CHICAGO CONFLICT OF INTEREST POLICY FOR TRUSTEES AND OFFICERS REQUIRES TRUSTEES AND OFFICERS TO ALERT THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, OR THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL OF ANY POTENTIAL CONFLICT OF INTEREST, AND ABSTAIN FROM PARTICIPATING IN OR VOTING ON THE MATTER. THE POLICY ALSO REQUIRES TRUSTEES AND OFFICERS TO DISCLOSE ON AN ANNUAL BASIS, ACTUAL AND POTENTIAL CONFLICTS OF INTEREST BY COMPLETING A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ALL CONFLICT OF INTEREST DISCLOSURES AND RELATED DISCUSSIONS ARE SHARED WITH THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, AND THE UNIVERSITY'S PRESIDENT, ITS GENERAL COUNSEL, AND ITS EXTERNAL AUDITORS. THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL, IN CONSULTATION WITH THE COMMITTEE ON TRUSTEESHIP AND SENIOR UNIVERSITY ADMINISTRATORS, COMPILES THE DISCLOSURES INTO A CONFIDENTIAL DATABASE AND PREPARES FOR EACH TRUSTEE AND OFFICER A WRITTEN ACKNOWLEDGEMENT OF THE DISCLOSURE THAT IDENTIFIES ANY PENDING UNIVERSITY TRANSACTIONS THAT MAY BE AFFECTED BY THE DISCLOSURE. THE CHAIR OF THE BOARD ALSO REVIEWS ALL DISCLOSED POTENTIAL CONFLICTS OF INTEREST BEFORE MAKING BOARD COMMITTEE ASSIGNMENTS. (2) THE UNIVERSITY'S POLICY ON SERVICE TO OUTSIDE ORGANIZATIONS BY SENIOR ADMINISTRATORS REQUIRES OFFICER AND SENIOR ADMINISTRATORS TO DISCLOSE ALL OFFICER, DIRECTOR, OR TRUSTEE POSITIONS THEY HOLD OR INTEND TO HOLD IN OUTSIDE ORGANIZATIONS, INCLUDING BUT NOT LIMITED TO ORGANIZATIONS IN WHICH THEY HAVE A FINANCIAL INTEREST OR FROM WHICH THEY RECEIVE COMPENSATION. THE UNIVERSITY'S OFFICE OF LEGAL COUNSEL MONITORS SUCH POTENTIAL CONFLICTS BY CIRCULATING ANNUALLY A DISCLOSURE FORM THAT MUST BE UPDATED AS CIRCUMSTANCES CHANGE, AND OFFICERS ARE ALSO REQUIRED TO DISCLOSE ALL SUCH RELATIONSHIPS IN ADVANCE TO THEIR IMMEDIATE SUPERVISOR. THIS INFORMATION MAY BE SHARED WITH THE UNIVERSITY'S TRUSTEES, PRESIDENT, PROVOST, GENERAL COUNSEL, AND OTHERS AS NECESSARY; COMPENSATED OUTSIDE SERVICE IS ALSO SUBJECT TO REVIEW BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. (3) ACADEMIC EMPLOYEES, INCLUDING THE PRESIDENT AND THE PROVOST, ARE SUBJECT TO THE UNIVERSITY'S CONFLICT OF INTEREST AND CONFLICT OF COMMITMENT POLICY FOR FACULTY AND OTHER ACADEMIC APPOINTEES. THE OFFICE OF THE PROVOST IS THE ADMINISTRATIVE OFFICE CHARGED WITH ASSURING COMPLIANCE WITH THE FACULTY CONFLICT OF INTEREST POLICY. THE PROVOST HAS DELEGATED OVERSIGHT OF THIS POLICY TO THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST ALSO APPOINTS THE MEMBERS OF THE STANDING COMMITTEE ON INDIVIDUAL CONFLICTS OF INTEREST AND DESIGNATES THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST REPORTS PERIODICALLY TO THE STANDING COMMITTEE ON THE STATUS OF FACULTY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY; THE REPORT INCLUDES HOW RISKS HAVE BEEN ADDRESSED THROUGH MANAGEMENT PLANS OR OTHER PRACTICES INTENDED TO PROVIDE FOR THE REDUCTION, ELIMINATION OR MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS. THE DEPUTY PROVOST SEEKS ASSESSMENTS OF THE RISKS AND RECOMMENDATIONS FOR RESPONSIBLE MANAGEMENT FROM DEPARTMENT CHAIRS AND DEANS AND OTHERS SUCH AS THE DIRECTOR OF UNIVERSITY RESEARCH ADMINISTRATION AND THE OFFICE OF LEGAL COUNSEL. (4) THE UNIVERSITY'S CONFLICT OF INTEREST POLICY REQUIRES ALL NON-ACADEMIC EMPLOYEES TO AVOID INVOLVEMENT IN ACTIVITIES WHICH MIGHT CONFLICT, OR MIGHT APPEAR TO CONFLICT, WITH THEIR INSTITUTIONAL RESPONSIBILITIES, INCLUDING, BUT NOT LIMITED TO BUSINESS OR FINANCIAL INTERESTS, TRANSACTIONS INVOLVING THE USE OF CONFIDENTIAL INFORMATION OR KNOWLEDGE GAINED AS A RESULT OF THE EMPLOYEE'S RELATIONSHIP WITH THE UNIVERSITY, THE USE OF UNIVERSITY RESOURCES FOR PERSONAL BENEFIT OR THE BENEFIT OF OTHERS, THE ACCEPTANCE OF GIFTS OF MORE THAN NOMINAL VALUE, AND NEPOTISM. CONFLICT OF INTEREST POLICY REQUIRES STAFF TO PROVIDE FULL DISCLOSURE OF ANY INTEREST THAT MIGHT INFLUENCE, OR APPEAR TO HAVE THE CAPACITY TO INFLUENCE, THE STAFF MEMBER'S OFFICIAL DECISIONS OR ACTIONS ON UNIVERSITY MATTERS. THE DISCLOSURES ARE TO BE IN WRITING, TENDERED TO THE EMPLOYEE'S IMMEDIATE SUPERVISOR, DEPARTMENT HEAD, OR THE APPROPRIATE VICE PRESIDENT OF THE UNIVERSITY. (5) THE UNIVERSITY'S POLICY ON BUSINESS CONDUCT AT THE UNIVERSITY OF CHICAGO REQUIRES ALL UNIVERSITY EMPLOYEES TO, AMONG OTHER THINGS, AVOID REAL OR PERCEIVED CONFLICTS OF INTEREST; USE UNIVERSITY RESOURCES ONLY FOR LEGITIMATE UNIVERSITY BUSINESS; AND REPORT POSSIBLE VIOLATIONS OF THE POLICY, OTHER UNIVERSITY POLICIES, OR APPLICABLE LAW. MEMBERS OF THE UNIVERSITY COMMUNITY ARE ENCOURAGED TO REPORT COMPLIANCE CONCERNS THROUGH NORMAL LINES OF COMMUNICATION INCLUDING DISCUSSIONS WITH SUPERVISORS OR ADVISORS AND, IF NECESSARY, THROUGH THE TOLL-FREE HOTLINE. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES ANNUALLY REVIEWS COMPENSATION FOR THE UNIVERSITY'S PRESIDENT AND ALL OTHER UNIVERSITY OFFICERS, BASED ON A RECOMMENDATION FROM THE CHAIRMAN OF THE BOARD OF TRUSTEES IN THE CASE OF THE PRESIDENT'S COMPENSATION, AND RECOMMENDATIONS FROM THE PRESIDENT IN THE CASE OF OFFICER COMPENSATION. THE COMPENSATION COMMITTEE REVIEWS THESE RECOMMENDATIONS, INCLUDING A REVIEW OF COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS. THE COMPENSATION COMMITTEE THEN MAKES A RECOMMENDATION REGARDING COMPENSATION TO THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, WHICH ALSO REVIEWS THE COMPARABILITY DATA AND MAKES ALL FINAL COMPENSATION DECISIONS. THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE AND THE DECISIONS OF THE EXECUTIVE COMMITTEE ARE DOCUMENTED IN MINUTES MAINTAINED BY THE UNIVERSITY. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, CONFLICT OF INTEREST POLICIES, AND MOST RECENT FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ON THE UNIVERSITY'S WEBSITE, WWW.UCHICAGO.EDU . FORM 990, PART XI, LINE 9: ADJUSTMENT OF INVESTMENT IN RELATED ORG -95,740,000. INCLUSION OF DISREGARDED ENTITIES FUND BALANCE 1,765,089. RELATED ORGANIZATION ADJUSTMENT 714,503. 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UCHICAGO ARGONNE LLC EARNED A MANAGEMENT FEE OF $3,736,500 FOR THE TAX YEAR. THE TOTAL EXPENDITURES AT ARGONNE NATIONAL LABORATORY WERE OVER $734 MILLION FOR THE TAX YEAR. THE FUNDING AND THE EXPENDITURES AT ARGONNE HAVE BEEN INCLUDED IN PARTS III, VIII AND IX OF THE FORM 990. THEORY & COMPUTING SCIENCES BUILDING TRUST. THE UNIVERSITY IS THE 100% BENEFICIARY OF THE TRUST, BUT DOES NOT CONTROL THE TRUST. AS SUCH, THE INCOME AND ASSETS OF THE TRUST ARE NOT SHOWN ON THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS.