2015-07-14T15:33:43-05:00 2014-08-31 PricewaterhouseCoopers LLP 2 COMMERCE SQ17002001 MARKET ST PHILADELPHIA PA 19103 990 2013-09-01 941156365 THE BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR UNIVERSITY % CHRISTOPHER CANELLOS BOAR 6507251732 3145 PORTER DRIVE Suite PALO ALTO CA 94304 M SUZANNE CALANDRA SR ASSOCIATE VP FOR FINANCE 6507251732 2015-07-13 true ROBERT W FRIZ P00438748 6507251732 2013 2016-02-25 16:41:14Z STANFORD UNIVERSITY John Hennessy Building 10 Stanford CA 94305 30106358334 false X WWW.STANFORD.EDU X 1885 CA STANFORD UNIVERSITY IS ONE OF A SELECT GROUP OF AMERICAN UNIVERSITIES THAT HAVE ACHIEVED EMINENCE IN BOTH UNDERGRADUATE AND GRADUATE EDUCATION, AND RESEARCH - CONT'D SCH O. 35 25 34698 11000 13793521 -62561524 1719795101 1821722630 2042740583 2201349358 1069740558 1579276073 104233612 114675185 4936509854 5717023246 390384372 413338102 0 0 2498157422 2659609408 645950 763836 82049632 1411601424 1567849260 4300789168 4641560606 635720686 1075462640 31539947659 35227473556 5816842431 6006332328 25723105228 29221141228 X STANFORD UNIVERSITY IS ONE OF A SELECT GROUP OF AMERICAN UNIVERSITIES THAT HAVE ACHIEVED EMINENCE IN BOTH UNDERGRADUATE AND GRADUATE EDUCATION, AND RESEARCH - CONT'D SCH O. false false 1492359889 34980642 719761507 INSTRUCTION AND DEPARTMENTAL RESEARCH - SEE SCH O. 1075576597 21843993 230055514 ORGANIZED RESEARCH - REVENUE AMOUNT REPORTED ON LINE 4B DOES NOT INCLUDE $1,036,090,761 IN FEDERAL RESEARCH SUPPORT. CONT'D SCH O. 896358713 1254656 848817699 UNIVERSITY AUXILIARY ACTIVITIES - SEE SCH O. 644217432 355258811 402714638 4108512631 true false false true false true false true false true true true false false true true false true true true true true true true true false false true true true true false false false false false true true false true true true true false false true true true true true false true X 28560 0 true 34698 true true true true false false false true true true 7 false false true false false false false X 35 25 true false false false false false false true true false false true true true true true true true true false CA X X CHRISTOPHER CANELLOS 6507251732 3145 PORTER DRIVE Palo Alto CA 94304 X JOHN HENNESSY PRESIDENT/TRUSTEE 50.0 X X 805963 0 331213 FRED W ALVAREZ TRUSTEE 2.0 X Robert M Bass Trustee, appointed 10/01/2013 2.0 X William R Brody Trustee, until 05/31/2014 2.0 X BROOK H BYERS TRUSTEE 2.0 X James E Canales Trustee 2.0 X ROANN COSTIN TRUSTEE 2.0 X James G Coulter Trustee 2.0 X DEBORAH A DECOTIS TRUSTEE 2.0 X Steven A Denning Trustee 2.0 X Bruce W Dunlevie Trustee 2.0 X Armando Garza Trustee 2.0 X John A Gunn Trustee 2.0 2.0 X GAIL B HARRIS TRUSTEE 2.0 X Christine U Hazy Trustee 2.0 X Ronald B Johnson Trustee 2.0 2.0 X LATONIA G KARR TRUSTEE 2.0 X Frank D Lee Trustee 2.0 2.0 X BERNARD LIAUTAUD TRUSTEE 2.0 X Susan R McCaw Trustee 2.0 X LLOYD M METZ TRUSTEE 2.0 X Hamid R Moghadam Trustee 2.0 X Paul A Ormond Trustee 2.0 X Ruth M Porat Trustee 2.0 X LAURENE POWELL JOBS TRUSTEE 2.0 X JEFFREY S RAIKES TRUSTEE 2.0 X MINDY B ROGERS Trustee, appointed 12/01/2013 2.0 X Victoria B Rogers Trustee 2.0 X Kavitark Ram Shriram Trustee 2.0 X RONALD P SPOGLI TRUSTEE 2.0 X SRINIJA SRINIVASAN Trustee, appointed 4/01/2014 2.0 X Isaac Stein Trustee 2.0 0.5 X Thomas F Steyer Trustee 2.0 X GENE SYKES TRUSTEE, appointed 02/01/2014 2.0 X Vaughn C Williams Trustee 2.0 2.0 X Jerry Yang Trustee 2.0 X JOHN ETCHEMENDY PROVOST 50.0 X 610604 0 359127 RANDALL LIVINGSTON VP BUS AFFAIRS/CFO 50.0 X 553511 0 197000 MARTIN SHELL VP DEVELOPMENT 50.0 X 661415 0 150642 DEBRA ZUMWALT VP GENERAL COUNSEL 50.0 X 575158 0 185240 ROBERT C REIDY VP LAND, BUILDINGS & REAL EST 50.0 X 1366832 0 1483978 DAVID DEMAREST VP PUBLIC AFFAIRS 50.0 X 345910 0 105968 HOWARD WOLF PRES. OF STANFORD ALUM. ASSOC. 50.0 X 381493 0 199117 WILLIAM MADIA VP SLAC NAL 38.0 X 469145 0 28712 DAVID JONES VP HUMAN RESOURCES 50.0 X 339892 0 48477 JOHN POWERS PRESIDENT, STANFORD MGNT CO. 50.0 X 2292110 790351 LLOYD B MINOR DEAN, SCHOOL OF MEDICINE 50.0 4.0 X 1727637 375607 RICHARD SALLER DEAN, SCHOOL OF HUM & SCIENCES 50.0 X 545440 36413 GARY STEINBERG CHAIR, NEUROSURGERY 50.0 X 1289496 46915 THOMAS KRUMMEL CHAIR, SURGERY 50.0 2.0 X 1031725 0 54929 DAVID SHAW COACH 50.0 X 1720219 504216 FRANK HANLEY CHIEF, PED CARDIOTHORACIC 50.0 X 1891602 0 46932 JOHNNY DAWKINS COACH 50.0 X 1278444 513499 PHILIP A PIZZO PROF & FORMER DEAN, SCH OF MED 50.0 2.0 X 695353 0 180735 18581949 0 5639071 5458 true true false THE WHITING-TURNER CONTRACTING CO PO BOX 17596 BALTIMORE MD 212971596 CONSTRUCTION 253778029 DEVCON CONSTRUCTION INC 690 GIBRALTAR DR MILPITAS CA 95035 CONSTRUCTION 87913728 VANCE BROWN INC 3197 PARK BOULEVARD PALO ALTO CA 94306 CONSTRUCTION 75006070 LEVEL 10 CONSTRUCTION LP 1050 ENTERPRISE WAY 250 SUNNYVALE CA 94089 CONSTRUCTION 22529416 HATHAWAY DINWIDDIE CONSTRUCTION CO 565 LAURELWOOD RD SANTA CLARA CA 950542419 CONSTRUCTION 22276387 820 X 1264337 1036090761 784367532 245018382 1821722630 STUDENT INCOME 900099 782538051 782538051 NONGOVERNMENT RESEARCH 900099 230055514 230055514 PATIENT CARE 900099 697504797 697504797 SPECIAL PROGRAMS 900099 490234483 490234483 DRIVING RANGE 713910 642461 642461 374052 374052 2201349358 297273970 8811276 288462694 102837 102837 8483958 8483958 144742099 41117682 103624417 0 103624417 103624417 25625153848 2487988 24342810460 2932110 1282343388 -444122 1281899266 3965732 1277933534 137722 1264337 628639 -490917 -490917 0 4903924 1846197 3057727 3057727 0 5717023246 2200332845 13793521 1681174250 20085970 20085970 382738678 382738678 10513454 10513454 0 11887400 4160590 6775818 950992 589017 376971 212046 2133284126 1958311594 127263432 47709100 129471136 108967174 16914329 3589633 264920140 222965519 34609616 7345005 119457589 100539443 15606142 3312004 2721168 2412299 308869 11223044 1652748 9523709 46587 2256704 167859 2088393 452 59007 6072 52905 30 763836 763836 26867551 26867551 206554184 168591563 34904989 3057632 5520735 5340742 104726 75267 248210879 228065230 15374104 4771545 21287944 11349086 9489240 449618 15242687 9747921 5492744 2022 194143873 175441414 16739708 1962751 72998109 67675271 3435430 1887408 7094 7094 11877366 10689951 1015815 171600 74859807 73678184 976148 205475 0 310958429 275691574 34116828 1150027 18462011 4199881 14247297 14833 EQUIPMENT RENT & MAINTENANCE 9334390 8358763 843829 131798 PRINTING & PUBLICATION 10883950 8412795 1463227 1007928 SLAC NON-SALARY EXPENSE 153190413 153132605 57703 105 RESEARCH SUBAWARDS 66004302 65999575 4573 154 105185613 29239705 72714124 3231784 4641560606 4108512631 450998343 82049632 167491 197773 784275739 630016595 644811377 711795169 440131767 540899348 4560843 10146687 0 0 527206208 578481451 6051425 5613335 56171680 62255758 8154354561 3595441527 4207926735 4558913034 5545012603 7118193718 19323631791 21010960688 0 0 0 0 0 0 31539947659 35227473556 1602081261 1443948910 0 0 584067049 616574642 1466079607 1501429376 0 0 0 0 1632353400 1763206815 0 0 532261114 681172585 5816842431 6006332328 X 13485416232 15467693876 6612755241 7844163298 5624933755 5909284054 25723105228 29221141228 31539947659 35227473556 X 1075462640 2389402583 33170777 X X false true X true true true X 1448832299 1573066590 1964094849 1719795101 1821722630 8527511469 0 0 1448832299 1573066590 1964094849 1719795101 1821722630 8527511469 79449771 8448061698 225252060 294682535 423308665 428521264 450602864 1822367388 0 5149157 5097022 5217464 6341565 5041646 26846854 10376725711 9513585207 0.81414 0.00000 X true true true 2807 true 140127 true 21671 false true 472831 true 76465 true 11355 725256 false PART II-B - LOBBYING ACTIVITY EXPLANATION AN INSUBSTANTIAL PORTION OF STANFORD UNIVERSITY'S TOTAL ACTIVITIES INVOLVED LEGISLATIVE AND REGULATORY MATTERS OF DIRECT CONCERN TO HIGHER EDUCATION OR OF COMPELLING IMPORTANCE TO STANFORD IN PARTICULAR. INSTITUTIONAL EFFORTS TO INFLUENCE LEGISLATION AND REGULATION ARE DIRECTED BY THE OFFICE OF GOVERNMENT AND COMMUNITY RELATIONS. DURING FISCAL YEAR 2013-2014, THE OFFICE CONSISTED OF SIX PROFESSIONAL STAFF MEMBERS, ONE INTERN, ONE TEMPORARY STUDENT, AND TWO SUPPORT PERSONS. THE UNIVERSITY DOES NOT HAVE A LOBBYING OFFICE IN EITHER WASHINGTON, DC OR SACRAMENTO, CA. DURING THIS PERIOD, THE UNIVERSITY HIRED AN OUTSIDE REGISTERED LOBBYIST IN SACRAMENTO FOR PART-TIME WORK ON STATE ISSUES. ACTIVITIES OF GOVERNMENT & COMMUNITY RELATIONS STAFF INCLUDE CONTACTS BY LETTERS, PHONE CALLS AND MEETINGS WITH LEGISLATORS, MEMBERS OF THEIR STAFFS, OR OTHER GOVERNMENT OFFICIALS, AND MEETINGS WITH LOCAL CITIZENS REGARDING STANFORD ISSUES WITH LOCAL GOVERNMENT. IN FISCAL YEAR 2013-2014, LEGISLATIVE, EXECUTIVE AND LOCAL REGULATORY ISSUES HANDLED BY THE UNIVERSITY INCLUDED THE FOLLOWING: LOCAL ISSUES: ZONING AND LAND USES RELATED TO PROPERTY OWNED BY THE UNIVERSITY AND CONTIGUOUS TO THE UNIVERSITY'S ACADEMIC CAMPUS. STATE ISSUES: CALIFORNIA ENVIRONMENTAL QUALITY ACT (CEQA) REFORM; STUDENT ATHLETE BILL OF RIGHTS; GENETIC INFORMATION PRIVACY ACT; STUDENT SAFETY; SEXUAL ASSAULT; PERSONAL INFORMATION SECURITY; LIENS; LABORERS AND EMPLOYEES; POSTSECONDARY EDUCATION; ANIMAL RESEARCH. FEDERAL ISSUES: STUDENT AID AND EDUCATION AND RESEARCH POLICY ISSUES; TAXATION; REIMBURSEMENT OF FEDERAL RESEARCH COSTS; FUNDING LEVELS OF RESEARCH (E.G. NIH, DOE, NASA, DOD, NSF, NEH); FUNDING FOR STANFORD LINEAR ACCELERATOR CENTER; MEDICARE FUNDING FOR TEACHING HOSPITALS; RESEARCH POLICY; INTELLECTUAL PROPERTY; AND IMMIGRATION POLICY. THE TOTAL BUDGET EXPENDED BY THE OFFICE OF GOVERNMENT AND COMMUNITY RELATIONS WAS $1,402,218. THE ESTIMATED TOTAL EXPENSES FOR LOBBYING ARE AS FOLLOWS: SALARIES AND BENEFITS $491,907 GENERAL OFFICE OVERHEAD $147,608 PAID CONSULTANT, COALITION DUES $59,006 DUES TO MEMBER ORGANIZATIONS $9,044 TRAVEL $17,691 ________ TOTAL $725,256 AMOUNTS APPEARING ON PART II-B ARE REASONABLE ALLOCATIONS OF THE ABOVE EXPENSES. AN INVESTMENT PARTNERSHIP IN WHICH THE UNIVERSITY HOLDS A NONCONTROLLING LIMITED PARTNERSHIP INTEREST MAY, FROM TIME TO TIME, INCUR A LOBBYING EXPENDITURE. THE UNIVERSITY'S SHARE OF SUCH PARTNERSHIP EXPENDITURES DURING THE TAX YEAR WAS $29,904. NEITHER STANFORD, NOR ANY TRUSTEE OR OFFICER OF STANFORD, ENGAGED IN THE ACTIVITY CONDUCTED BY THE INVESTMENT PARTNERSHIPS. THE TOTAL AMOUNT SPENT BY STANFORD IN LOBBYING REPRESENTS AN INSIGNIFICANT PART OF THE UNIVERSITY'S TOTAL EXPENDITURES, EVEN MAKING THE MOST GENEROUS ALLOWANCE FOR THE LOBBYING ACTIVITIES OF STANFORD UNIVERSITY EMPLOYEES OUTSIDE THE GOVERNMENT AND COMMUNITY RELATIONS OFFICE WORKING ON BEHALF OF THE UNIVERSITY. 46 32 45244166 10300091 29878102 24631349 345480292 88539700 true true X X X X false 18688868000 659618000 3082735000 222843748 762371252 21446006000 17035804000 588438000 1985298000 208922228 711749772 18688868000 16502606000 403858000 1000446000 196918322 674187678 17035804000 13851115000 673440000 2763132000 182421410 602659590 16502606000 12619094000 517078000 1569588000 203694898 650950102 13851115000 0.43857 0.30656 0.25487 false true true 98528738 98528738 5553939206 2135182255 3418756951 1531679133 1246883790 284795343 970207484 213375482 756832002 4558913034 CASH & CASH EQUIVALENTS 1693241436 F COLLATERAL FOR SECURITIES LOAN 163448846 F DERIVATIVES 14921763 F FIXED INCOME 1436007902 F REAL ESTATE 5926194429 F NATURAL RESOURCES 2010161094 F PRIVATE EQUITIES 6057504362 F ABSOLUTE RETURNS 5304604584 F ASSETS HELD BY OTHER TRUSTEES 185101786 F OTHER INVESTMENTS 217638271 F ASSETS LIMITED TO USE-TRUSTEES 300566393 F HOSPITAL FUNDS IN MERGED POOL -2298430178 F 21010960688 0 LIABILITIES - SECURITY AGREEMENTS 191010895 US GOVERNMENT REFUNDABLE LOAN FUNDS 53998864 INC.BENEFICIARY SHARE-SPLIT INT. 436162826 681172585 X 7789876000 2389402583 -221706832 2167695751 5622180249 97317833 -2474836 94842997 5717023246 4291840000 2474836 2474836 4289365164 97317833 254877609 352195442 4641560606 SCHEDULE D, PART I, COLUMN (B) COLUMN (B) REPRESENTS FUNDS CREATED TO MAKE GRANTS ONLY WITHIN THE UNIVERSITY. SCHEDULE D, PART I, LINE 2 INCLUDED IN AGGREGATE CONTRIBUTIONS TO FUNDS ARE NEW GIFTS AS WELL AS TRANSFERS FROM OTHER ACCOUNTS WITHIN THE UNIVERSITY. SCHEDULE D, PART III, LINE 1A WORKS OF ART AND SPECIAL COLLECTIONS WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS, AND ARTIFACTS, WHICH ARE PRESERVED AND PROTECTED FOR EDUCATIONAL, RESEARCH AND PUBLIC EXHIBITION PURPOSES, ARE NOT CAPITALIZED. PURCHASES OF SUCH COLLECTIONS ARE RECORDED AS OPERATING EXPENSES IN THE PERIOD IN WHICH THEY ARE ACQUIRED. SCHEDULE D, PART III, LINE 4 THE CANTOR ARTS CENTER AT STANFORD UNIVERSITY IS A MUSEUM COMMITTED TO INTELLECTUAL EXPLORATION AND THE PURSUIT OF KNOWLEDGE, FOSTERING A SENSE OF DISCOVERY THROUGH DIRECT EXPERIENCES WITH WORKS OF ART. THE CENTER COLLECTS, PRESERVES, AND STUDIES ART FROM ALL CULTURES AND PERIODS, SERVING THE UNIVERSITY AND THE PUBLIC THROUGH EXHIBITIONS AND PROGRAMS THAT INSPIRE THE UNDERSTANDING AND ENJOYMENT OF ART. SCHEDULE D, PART V, LINES 1B & 1E "CONTRIBUTIONS" (LINE 1B) INCLUDE CERTAIN INVESTMENT INCOME, CURRENT YEAR GIFTS TO ENDOWMENT, MATURED LIVING TRUSTS DIRECTED TO ENDOWMENT, AND CERTAIN OTHER FUNDS TRANSFERRED INTO THE ENDOWMENT. INCLUDED IN "OTHER EXPENDITURES FOR FACILITIES AND PROGRAMS" (LINE 1E) ARE FUNDS DISTRIBUTED ANNUALLY FROM ENDOWMENT PRINCIPAL TO SUPPORT SUCH FACILITIES AND PROGRAMS. PLEASE SEE FURTHER DISCUSSION BELOW IN "INTENDED USES OF THE ENDOWMENT FUNDS". SCHEDULE D, PART V, LINE 2 BOARD DESIGNATED OR QUASI ENDOWMENT FUNDS ARE UNIVERSITY RESOURCES DESIGNATED BY THE BOARD AS ENDOWMENT AND ARE INVESTED FOR LONG-TERM APPRECIATION AND CURRENT INCOME. THESE ASSETS, HOWEVER, REMAIN AVAILABLE AND MAY BE SPENT AT THE BOARD'S DISCRETION. THE UNIVERSITY CLASSIFIES AS PERMANENT ENDOWMENT A) THE ORIGINAL VALUE OF GIFTS DONATED TO THE PERMANENT ENDOWMENT AND B) ACCUMULATIONS TO THE PERMANENT ENDOWMENT MADE IN ACCORDANCE WITH THE DIRECTION OF THE APPLICABLE DONOR GIFT INSTRUMENT AT THE TIME THE ACCUMULATION IS ADDED TO THE FUND. THE REMAINING PORTION OF THE DONOR-RESTRICTED ENDOWMENT FUND THAT IS NOT CLASSIFIED IN PERMANENT ENDOWMENT IS CLASSIFIED AS TEMPORARILY RESTRICTED ENDOWMENT UNTIL THOSE AMOUNTS ARE AUTHORIZED FOR EXPENDITURE. IN THE ABSENCE OF DONOR STIPULATIONS OR LAW TO THE CONTRARY, NET UNREALIZED LOSSES ON PERMANENTLY RESTRICTED ENDOWMENT FUNDS FIRST REDUCE RELATED APPRECIATION ON TEMPORARILY RESTRICTED NET ASSETS AND THEN ON UNRESTRICTED NET ASSETS, AS NEEDED, UNTIL SUCH TIME AS THE FAIR VALUE OF THE FUND EQUALS OR EXCEEDS HISTORIC VALUE. SCHEDULE D, PART V, LINE 3A(II) AND LINE 3B INCLUDED IN THE ENDOWMENT BALANCE ON LINE 1G ARE THE ASSETS OF SHR HOLDINGS, INC., A RELATED ORGANIZATION. SCHEDULE D, PART V, LINE 4 INTENDED USES OF THE ENDOWMENT FUNDS IN 1885, LELAND AND JANE LATHROP STANFORD SAID OF THEIR FOUNDING GRANT "IT SHALL CONSTITUTE THE FOUNDATION AND ENDOWMENT FOR THE UNIVERSITY HEREIN PROVIDED, AND UPON THE TRUST THAT THE PRINCIPAL THEREOF SHALL FOREVER REMAIN INTACT, AND THAT THE RENTS, ISSUES, AND PROFITS THEREOF SHALL BE DEVOTED TO THE FOUNDATION AND MAINTENANCE OF THE UNIVERSITY HEREBY FOUNDED AND ENDOWED, AND THE USES AND PURPOSES HEREIN MENTIONED." TODAY, STANFORD'S ENDOWMENT CONSISTS OF THOUSANDS OF INDIVIDUAL FUNDS, MANY OF WHICH ARE RESTRICTED TO PARTICULAR USES (E.G., SCHOLARSHIP FUNDS FOR UNDERGRADUATES, FELLOWSHIP FUNDS TO SUPPORT GRADUATE STUDENTS, RESEARCH FUNDS DIRECTED TO MANY DIFFERENT AREAS, PROGRAM SUPPORT FUNDS, FUNDS TO SUPPORT PROFESSORS, FUNDS TO SUPPORT LECTURES, FUNDS TO PROVIDE BUILDING AND GROUND MAINTENANCE, FUNDS TO SUPPORT THE UNIVERSITY'S MUSEUM, FUNDS TO SUPPORT THE ACQUISITION OF LIBRARY MATERIALS). THE FUNDS ARE INVESTED IN PERPETUITY FOR LONG TERM GROWTH AND THE PAYOUT IS USED FOR THE PURPOSE SET FORTH IN THE GIFT DOCUMENT. SOME ENDOWMENT FUNDS DO NOT HAVE PURPOSE RESTRICTIONS AND THE PAYOUT FROM THESE FUNDS IS USED TO SUPPORT THE GENERAL OPERATIONS AND INFRASTRUCTURE OF THE UNIVERSITY AS WELL AS MANY OTHER PARTS OF THE UNIVERSITY. ENDOWMENT PAYOUT IS A RELIABLE SOURCE OF CONTINUING SUPPORT AND IS CRUCIAL TO THE FUNDING OF THE MANY LONG TERM COMMITMENTS THAT THE UNIVERSITY MUST MAKE. THE ENDOWMENT MAKES STANFORD LESS DEPENDENT ON OTHER MORE VARIABLE SOURCES OF INCOME. THE ENDOWMENT PAYOUT COVERS APPROXIMATELY 23% OF STANFORD'S TOTAL EXPENSES. STANFORD IS CURRENTLY DIRECTING CONSIDERABLE RESEARCH AND EDUCATION EFFORTS TOWARD ADDRESSING THE CHALLENGES CRUCIAL TO THE WORLD. IN PARTICULAR, IT IS SEEKING SOLUTIONS TO SOME OF THE MOST CHALLENGING PROBLEMS IN HUMAN HEALTH, INTERNATIONAL PEACE AND SECURITY AND THE ENVIRONMENT AND SUSTAINABILITY. STANFORD CONTINUES TO BE ONE OF FEW PRIVATE INSTITUTIONS THAT ENROLL AND ADMIT THE VERY BEST APPLICANTS, REGARDLESS OF THEIR FAMILIES' INCOME AND PROVIDE SUFFICIENT FINANCIAL AID FOR ALL ADMITTED STUDENTS WHO HAVE UNIVERSITY-COMPUTED NEED, AND WHO MEET STATED FINANCIAL AND ELIGIBLE REQUIREMENTS, TO ATTEND THE UNIVERSITY. ENDOWMENT SUPPORT CONTRIBUTES GREATLY TO THE SUCCESS OF THESE EFFORTS. IN PART AS A RESULT OF ENDOWMENT SUPPORT OF STUDENT AID, STANFORD IS ABLE TO WAIVE THE TOTAL COST OF TUITION FOR MANY OF ITS DESERVING STUDENTS. STANFORD RECENTLY EXPANDED FINANCIAL AID BY INCREASING THE INCOME THRESHOLDS AT WHICH PARENTS ARE NOT EXPECTED TO CONTRIBUTE TOWARD EDUCATIONAL COSTS. STANFORD WILL EXPECT NO PARENTAL CONTRIBUTION TOWARD TUITION FROM PARENTS WITH ANNUAL INCOMES BELOW $125,000 - PREVIOUSLY $100,000 - AND TYPICAL ASSETS. AND THERE WILL BE ZERO PARENTAL CONTRIBUTION TOWARD TUITION, ROOM OR BOARD FOR PARENTS WITH ANNUAL INCOMES BELOW $65,000 - PREVIOUSLY $60,000 - AND TYPICAL ASSETS. THIS EXPANSION OF THE FINANCIAL AID PROGRAM IS A DEMONSTRATION OF STANFORD'S COMMITMENT TO ACCESS FOR OUTSTANDING STUDENTS FROM ALL BACKGROUNDS - INCLUDING NOT ONLY THOSE FROM THE LOWEST SOCIOECONOMIC STATUS, BUT ALSO MIDDLE- AND UPPER-MIDDLE-CLASS FAMILIES WHO NEED OUR ASSISTANCE AS WELL. FOR THE YEAR ENDED AUGUST 31, 2014, ENDOWMENT PAYOUT SUPPORT INCLUDED THE FOLLOWING BROAD FUNCTIONS OF THE UNIVERSITY: INSTRUCTION AND RESEARCH $288,700,970 STUDENT FINANCIAL AID $222,843,748 LIBRARIES $18,021,827 SCHEDULE D, PART X, LINE 2 ASC 740 LIABILITY - IN ACCORDANCE WITH THE GUIDANCE ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, MANAGEMENT REGULARLY EVALUATES ITS TAX POSITIONS AND DOES NOT BELIEVE THE UNIVERSITY HAS ANY UNCERTAIN TAX POSITIONS THAT REQUIRE DISCLOSURE OR ADJUSTMENT TO THE FINANCIAL STATEMENTS. SCHEDULE D, PART XI, LINE 2D FINANCIAL AID $(248,847,732) CHANGE IN POST RETIREMENT BENEFIT OBLIGATION 11,952,000 PAYMENTS TO LIVING TRUST BENEFICIARIES (39,182,494) NET HOSPITAL TRANSFERS 69,017,915 CHANGE IN VALUE OF SWAP AGREEMENTS (8,616,644) SWAP INTEREST RECLASS (3,454,877) GIFT TO HOSPITAL RECLASS (2,575,000) -------------- $(221,706,832) SCHEDULE D, PART XI, LINE 4B EXPENSES OF SPECIAL EVENTS FROM 990, PART VIII, LINE 8B $ (628,639) COST OF GOODS SOLD FROM 990 PART VIII, LINE 10B (1,846,197) ------------ $(2,474,836) SCHEDULE D, PART XII LINE 2D EXPENSES OF SPECIAL EVENTS FROM 990, PART VIII, LINE 8B $ 628,639 COST OF GOODS SOLD FROM 990 PART VIII, LINE 10B 1,846,197 ------------ $ 2,474,836 SCHEDULE D, PART XIII LINE 4B FINANCIAL AID $ 248,847,732 SWAP INTEREST RECLASS 3,454,877 GIFT TO HOSPITAL RECLASS 2,575,000 -------------- $ 254,877,609 true true false true true true true false false false false false false false false true false true SCHEDULE E, LINE 3 STANFORD MEETS THE CRITERIA OF SECTION 4.03.2(B) OF REV. PROC. 75-50 THROUGH ADMISSION AND FINANCIAL AID OFFICES OUTREACH PROGRAMS WHICH PUBLICIZE STANFORD UNIVERSITY'S ACADEMIC OPPORTUNITIES AT SECONDARY AND POST-SECONDARY SCHOOLS THROUGHOUT THE UNITED STATES. SCHEDULE E, LINE 6A STANFORD UNIVERSITY RECEIVED RESEARCH AND INSTRUCTIONAL GRANTS AND CONTRACTS, FELLOWSHIP AND STUDENT AID AWARDS, LIBRARY GRANTS, AND CONSTRUCTION AND CONTRACTS FROM VARIOUS FEDERAL AGENCIES. true East Asia and the Pacific 2 34 Program Services STUDY ABROAD 4142837 Europe (Including Iceland and Greenland) 6 206 Program Services STUDY ABROAD 7781613 Russia and the newly independent States 1 Program Services STUDY ABROAD 86952 South America 1 20 Program Services STUDY ABROAD 1564383 Sub-Saharan Africa 1 16 Program Services STUDY ABROAD 879161 East Asia and the Pacific 1 10 Program Services INTERDISCIPLINARY CENT 1128703 Central America and the Caribbean Program Services EDUCATION 21562 East Asia and the Pacific 3 Program Services EDUCATION 529925 Europe (Including Iceland and Greenland) 1 Program Services EDUCATION 959832 Middle East and North Africa 1 Program Services EDUCATION 205992 North America Program Services EDUCATION 796675 Russia and the newly independent States 1 Program Services EDUCATION 96167 South America Program Services EDUCATION 490228 South Asia Program Services EDUCATION 867117 Sub-Saharan Africa 1 8 Program Services EDUCATION 2810673 Central America and the Caribbean Program Services EDUCATION: TRAVEL STU 824675 East Asia and the Pacific Program Services EDUCATION: TRAVEL STU 1845193 Europe (Including Iceland and Greenland) Program Services EDUCATION: TRAVEL STU 4170553 Middle East and North Africa Program Services EDUCATION: TRAVEL STU 467249 North America Program Services EDUCATION: TRAVEL STU 138909 Russia and the newly independent States Program Services EDUCATION: TRAVEL STU 1097751 South America Program Services EDUCATION: TRAVEL STU 1204632 South Asia Program Services EDUCATION: TRAVEL STU 735058 Sub-Saharan Africa Program Services EDUCATION: TRAVEL STU 473970 Central America and the Caribbean 1 Program Services RESEARCH 76671 East Asia and the Pacific 13 Program Services RESEARCH 2237140 Europe (Including Iceland and Greenland) 25 Program Services RESEARCH 2983370 Middle East and North Africa 4 Program Services RESEARCH 103360 North America 7 Program Services RESEARCH 377753 Russia and the newly independent States Program Services RESEARCH 90582 South America 1 Program Services RESEARCH 264411 South Asia 4 Program Services RESEARCH 846833 Sub-Saharan Africa 10 Program Services RESEARCH 997819 East Asia and the Pacific Program Services RESEARCH SUB-AWARD CON 293481 Europe (Including Iceland and Greenland) Program Services RESEARCH SUB-AWARD CON 1441213 Middle East and North Africa Program Services RESEARCH SUB-AWARD CON 56424 North America Program Services RESEARCH SUB-AWARD CON 147075 Sub-Saharan Africa Program Services RESEARCH SUB-AWARD CON 239357 Central America and the Caribbean Program Services CONFERENCES 1837 East Asia and the Pacific Program Services CONFERENCES 100485 Europe (Including Iceland and Greenland) 2 Program Services CONFERENCES 106480 Middle East and North Africa Program Services CONFERENCES 6160 North America Program Services CONFERENCES 18462 South America Program Services CONFERENCES 3952 Sub-Saharan Africa Program Services CONFERENCES 12106 East Asia and the Pacific Program Services FOREIGN TRAVEL: ATHLE 1365 Europe (Including Iceland and Greenland) Program Services FOREIGN TRAVEL: ATHLE 5587 North America Program Services FOREIGN TRAVEL: ATHLE 16580 Russia and the newly independent States Program Services FOREIGN TRAVEL: ATHLE 1374 South Asia Program Services FOREIGN TRAVEL: ATHLE 55227 East Asia and the Pacific Program Services FOREIGN TRAVEL: ACADE 56071 Europe (Including Iceland and Greenland) Program Services FOREIGN TRAVEL: ACADE 228104 Middle East and North Africa Program Services FOREIGN TRAVEL: ACADE 62379 North America Program Services FOREIGN TRAVEL: ACADE 86278 Russia and the newly independent States Program Services FOREIGN TRAVEL: ACADE 6580 South America Program Services FOREIGN TRAVEL: ACADE 15488 South Asia Program Services FOREIGN TRAVEL: ACADE 44908 Sub-Saharan Africa Program Services FOREIGN TRAVEL: ACADE 13849 East Asia and the Pacific Program Services FOREIGN TRAVEL: ADMIN 60372 Europe (Including Iceland and Greenland) Program Services FOREIGN TRAVEL: ADMIN 352631 Middle East and North Africa Program Services FOREIGN TRAVEL: ADMIN 31359 North America Program Services FOREIGN TRAVEL: ADMIN 793631 Russia and the newly independent States Program Services FOREIGN TRAVEL: ADMIN 7765 South America Program Services FOREIGN TRAVEL: ADMIN 3962 South Asia Program Services FOREIGN TRAVEL: ADMIN 67485 Sub-Saharan Africa Program Services FOREIGN TRAVEL: ADMIN 40063 Central America and the Caribbean Program Services FOREIGN TRAVEL: CLINI 7006 East Asia and the Pacific Program Services FOREIGN TRAVEL: CLINI 371 Europe (Including Iceland and Greenland) Program Services FOREIGN TRAVEL: CLINI 79452 Middle East and North Africa Program Services FOREIGN TRAVEL: CLINI 6028 North America Program Services FOREIGN TRAVEL: CLINI 64117 Russia and the newly independent States Program Services FOREIGN TRAVEL: CLINI 3005 South America Program Services FOREIGN TRAVEL: CLINI 40075 South Asia Program Services FOREIGN TRAVEL: CLINI 12027 Central America and the Caribbean Program Services FOREIGN TRAVEL: EDUCA 46907 East Asia and the Pacific Program Services FOREIGN TRAVEL: EDUCA 1437696 Europe (Including Iceland and Greenland) Program Services FOREIGN TRAVEL: EDUCA 4075619 Middle East and North Africa Program Services FOREIGN TRAVEL: EDUCA 252645 North America Program Services FOREIGN TRAVEL: EDUCA 640817 Russia and the newly independent States Program Services FOREIGN TRAVEL: EDUCA 47026 South America Program Services FOREIGN TRAVEL: EDUCA 371276 South Asia Program Services FOREIGN TRAVEL: EDUCA 186971 Sub-Saharan Africa Program Services FOREIGN TRAVEL: EDUCA 61666 East Asia and the Pacific Program Services FOREIGN TRAVEL: EXTER 94505 Europe (Including Iceland and Greenland) Program Services FOREIGN TRAVEL: EXTER 94425 Middle East and North Africa Program Services FOREIGN TRAVEL: EXTER 1966 North America Program Services FOREIGN TRAVEL: EXTER 54151 Russia and the newly independent States Program Services FOREIGN TRAVEL: EXTER 323 South America Program Services FOREIGN TRAVEL: EXTER 2898 South Asia Program Services FOREIGN TRAVEL: EXTER 87226 Sub-Saharan Africa Program Services FOREIGN TRAVEL: EXTER 11243 East Asia and the Pacific Program Services FOREIGN TRAVEL: LIBRA 324692 Europe (Including Iceland and Greenland) Program Services FOREIGN TRAVEL: LIBRA 969689 Middle East and North Africa Program Services FOREIGN TRAVEL: LIBRA 29848 North America Program Services FOREIGN TRAVEL: LIBRA 160561 Russia and the newly independent States Program Services FOREIGN TRAVEL: LIBRA 12210 South America Program Services FOREIGN TRAVEL: LIBRA 655 South Asia Program Services FOREIGN TRAVEL: LIBRA 1217407 Central America and the Caribbean 1 Program Services FOREIGN TRAVEL: RESEA 4412 East Asia and the Pacific 11 Program Services FOREIGN TRAVEL: RESEA 736636 Europe (Including Iceland and Greenland) 46 Program Services FOREIGN TRAVEL: RESEA 2554338 Middle East and North Africa 4 Program Services FOREIGN TRAVEL: RESEA 188009 North America 24 Program Services FOREIGN TRAVEL: RESEA 345826 Russia and the newly independent States Program Services FOREIGN TRAVEL: RESEA 64904 South America 3 Program Services FOREIGN TRAVEL: RESEA 63802 South Asia 3 Program Services FOREIGN TRAVEL: RESEA 127739 Sub-Saharan Africa 1 Program Services FOREIGN TRAVEL: RESEA 51771 East Asia and the Pacific Grantmaking 258066 East Asia and the Pacific Grantmaking 62254 Europe (Including Iceland and Greenland) Grantmaking 138258 Europe (Including Iceland and Greenland) Grantmaking 14700 North America Grantmaking 7200 South America Grantmaking 6600 Sub-Saharan Africa Grantmaking 4200 Central America and the Caribbean Grantmaking 1500 East Asia and the Pacific Grantmaking 39750 Europe (Including Iceland and Greenland) Grantmaking 129600 North America Grantmaking 2969 Russia and the newly independent States Grantmaking 15000 South America Grantmaking 9000 South Asia Grantmaking 28470 Sub-Saharan Africa Grantmaking 31600 Central America and the Caribbean Grantmaking 12600 East Asia and the Pacific Grantmaking 28100 Europe (Including Iceland and Greenland) Grantmaking 30000 Middle East and North Africa Grantmaking 6000 North America Grantmaking 5750 South America Grantmaking 31950 South Asia Grantmaking 12500 Sub-Saharan Africa Grantmaking 81313 East Asia and the Pacific Grantmaking 35000 South Asia Grantmaking 17500 Sub-Saharan Africa Grantmaking 17500 Central America and the Caribbean Grantmaking 27585 East Asia and the Pacific Grantmaking 17900 Central America and the Caribbean Grantmaking 16622 East Asia and the Pacific Grantmaking 268477 Europe (Including Iceland and Greenland) Grantmaking 261209 Middle East and North Africa Grantmaking 23130 North America Grantmaking 81176 Russia and the newly independent States Grantmaking 50543 South America Grantmaking 35050 South Asia Grantmaking 65804 Sub-Saharan Africa Grantmaking 114723 East Asia and the Pacific Grantmaking 1556100 Europe (Including Iceland and Greenland) Grantmaking 4019195 Middle East and North Africa Grantmaking 462802 North America Grantmaking 1392805 South America Grantmaking 24903 South Asia Grantmaking 712718 Sub-Saharan Africa Grantmaking 355332 Central America and the Caribbean Investments 8995017433 East Asia and the Pacific Investments 1041500936 Europe (Including Iceland and Greenland) Investments 1402428239 Middle East and North Africa Investments 23989971 North America Investments 385949896 Russia and the Newly Independent States Investments 40473126 South America Investments 72859567 South Asia Investments 72120665 Sub-Saharan Africa Investments 283885353 East Asia and the Pacific Fundraising 203115 Europe (Including Iceland and Greenland) 1 Fundraising 268086 North America Fundraising 40310 Russia and the newly independent States Fundraising 620 South America Fundraising 234 South Asia Fundraising 8917 Central America and the Caribbean Investments 3376197 North America Investments 2824531 Sub-Saharan Africa Investments 1353546 12 301 161 12 462 25031688 12371990287 12397021975 East Asia and the Pacific RESEARCH SUB 737883 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 10005 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 7190 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 85462 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 102000 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 46492 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 68497 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 15000 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 347532 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 22299 CHECK/WIRE East Asia and the Pacific RESEARCH SUB 113740 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 55920 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 308815 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 34352 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 23152 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 294411 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 103958 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 292477 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 2202227 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 45468 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 131840 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 43156 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 103764 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 230902 CHECK/WIRE Europe (Including Iceland and Greenland) RESEARCH SUB 148750 CHECK/WIRE Middle East and North Africa RESEARCH SUB 21500 CHECK/WIRE Middle East and North Africa RESEARCH SUB 24526 CHECK/WIRE Middle East and North Africa RESEARCH SUB 66465 CHECK/WIRE Middle East and North Africa RESEARCH SUB 21583 CHECK/WIRE Middle East and North Africa RESEARCH SUB 111371 CHECK/WIRE Middle East and North Africa RESEARCH SUB 217357 CHECK/WIRE North America RESEARCH SUB 104428 CHECK/WIRE North America RESEARCH SUB 7765 CHECK/WIRE North America RESEARCH SUB 276304 CHECK/WIRE North America RESEARCH SUB 188260 CHECK/WIRE North America RESEARCH SUB 127001 CHECK/WIRE North America RESEARCH SUB 254319 CHECK/WIRE North America RESEARCH SUB 207732 CHECK/WIRE North America RESEARCH SUB 226995 CHECK/WIRE South America RESEARCH SUB 24903 CHECK/WIRE South Asia RESEARCH SUB 629152 CHECK/WIRE South Asia RESEARCH SUB 7500 CHECK/WIRE South Asia RESEARCH SUB 70266 CHECK/WIRE South Asia RESEARCH SUB 5800 CHECK/WIRE Sub-Saharan Africa RESEARCH SUB 217280 CHECK/WIRE Sub-Saharan Africa RESEARCH SUB 34749 CHECK/WIRE Sub-Saharan Africa RESEARCH SUB 33723 CHECK/WIRE Sub-Saharan Africa RESEARCH SUB 46630 CHECK/WIRE Sub-Saharan Africa RESEARCH SUB 22950 CHECK/WIRE Sub-Saharan Africa RESEARCH GRANT 29597 CHECK 36 14 STIPEND Europe (Including Iceland and Greenland) 79 138258 CHECK/EFT STUDENT FEE SCHOLARSHIP Europe (Including Iceland and Greenland) 34 14700 CHECK/EFT STUDENT FEE SCHOLARSHIP North America 10 7200 CHECK/EFT STUDENT FEE SCHOLARSHIP South America 17 6600 CHECK/EFT STUDENT FEE SCHOLARSHIP Sub-Saharan Africa 9 4200 CHECK/EFT STUDENT AID East Asia and the Pacific 27 258066 EFT FELLOWSHIP East Asia and the Pacific 8 62254 EFT RESEARCH GRANTS - UNDERGRADUATE Central America and the Caribbean 1 1500 EFT RESEARCH GRANTS - UNDERGRADUATE East Asia and the Pacific 9 39750 EFT RESEARCH GRANTS - UNDERGRADUATE Europe (Including Iceland and Greenland) 25 129600 EFT RESEARCH GRANTS - UNDERGRADUATE North America 2 2970 EFT RESEARCH GRANTS - UNDERGRADUATE Russia and the Newly Independent States 4 15000 EFT RESEARCH GRANTS - UNDERGRADUATE South America 6 9000 EFT RESEARCH GRANTS - UNDERGRADUATE South Asia 6 28470 EFT RESEARCH GRANTS - UNDERGRADUATE Sub-Saharan Africa 8 31600 EFT SERVICE LEARNING FELLOWSHIPS Central America and the Caribbean 2 12600 EFT SERVICE LEARNING FELLOWSHIPS East Asia and the Pacific 4 28100 EFT SERVICE LEARNING FELLOWSHIPS Europe (Including Iceland and Greenland) 5 30000 EFT SERVICE LEARNING FELLOWSHIPS Middle East and North Africa 1 6000 EFT SERVICE LEARNING FELLOWSHIPS North America 1 5750 EFT SERVICE LEARNING FELLOWSHIPS South America 5 31950 EFT SERVICE LEARNING FELLOWSHIPS South Asia 2 12500 EFT SERVICE LEARNING FELLOWSHIPS Sub-Saharan Africa 13 81313 EFT INTERNATIONAL SERVICE FELLOWSHIP East Asia and the Pacific 2 35000 EFT INTERNATIONAL SERVICE FELLOWSHIP South Asia 1 17500 EFT INTERNATIONAL SERVICE FELLOWSHIP Sub-Saharan Africa 1 17500 EFT IMPACT ABROAD TRAVEL STIPEND Central America and the Caribbean 13 27585 EFT IMPACT ABROAD TRAVEL STIPEND East Asia and the Pacific 7 17900 EFT RESEARCH GRANTS/FELLOWSHIPS Central America and the Caribbean 5 16622 CHECK/EFT RESEARCH GRANTS/FELLOWSHIPS East Asia and the Pacific 82 264613 CHECK/EFT RESEARCH GRANTS/FELLOWSHIPS Europe (Including Iceland and Greenland) 102 260209 CHECK/EFT RESEARCH GRANTS/FELLOWSHIPS Middle East and North Africa 9 23130 CHECK/EFT RESEARCH GRANTS/FELLOWSHIPS North America 42 81176 CHECK/EFT RESEARCH GRANTS/FELLOWSHIPS Russia and the Newly Independent States 24 50543 CHECK/EFT RESEARCH GRANTS/FELLOWSHIPS South America 11 30050 CHECK/EFT RESEARCH GRANTS/FELLOWSHIPS South Asia 22 65804 CHECK/EFT RESEARCH GRANTS/FELLOWSHIPS Sub-Saharan Africa 31 85126 CHECK/EFT true true true true true true PART I: GENERAL INFORMATION ON ACTIVITIES OUTSIDE OF THE US PART I, LINE 2: DESCRIBE THE ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE OF THE UNITED STATES. STANFORD UNIVERSITY IS NOT A "GRANTMAKER" PER SE IN THAT ITS FUNDAMENTAL MISSION, AND PURPOSE FOR TAX-EXEMPTION, RELATES TO EDUCATION, RESEARCH, AND PATIENT CARE ACTIVITIES. HOWEVER, IN THE COURSE OF THESE MISSION-BASED ACTIVITIES, THE UNIVERSITY DOES MAKE PAYMENTS THAT MEET THE CRITERIA FOR 'GRANTMAKING' AS DEFINED BY THE INSTRUCTIONS TO IRS 990 SCHEDULE F. PROCEDURES FOR MONITORING USE OF GRANT FUNDS OUTSIDE OF THE U.S. ARE PRINCIPALLY GOVERNED BY THE PURPOSE FOR WHICH THE FUNDS WERE GRANTED: FINANCIAL AID: SCHOLARSHIPS, STIPENDS, AND FELLOWSHIPS FOR MOST U.S. INSTITUTIONS OF HIGHER EDUCATION, PROVISION OF FINANCIAL AID TO STUDENTS IS AN IMPORTANT ACTIVITY ENABLING QUALIFIED STUDENTS TO OBTAIN A COLLEGE EDUCATION AT THE UNDERGRADUATE, GRADUATE, OR POSTDOCTORAL LEVEL. STANFORD IS COMMITTED TO A "NEED-BLIND" ADMISSION POLICY FOR U.S. CITIZENS AND PERMANENT RESIDENTS; IT ADMITS QUALIFIED STUDENTS WITHOUT REGARD TO THEIR ABILITY TO PAY, AND PROVIDES A COMPREHENSIVE FINANCIAL AID PROGRAM FOR ALL ADMITTED STUDENTS WHO HAVE UNIVERSITY-COMPUTED NEED, AND WHO MEET STATED FINANCIAL AID ELIGIBILITY REQUIREMENTS. FOR THE FISCAL YEAR, ENDED AUGUST 31, 2014, 82% OF UNDERGRADUATE AND 87% OF GRADUATE STUDENTS RECEIVED SOME FORM OF FINANCIAL AID, WITH A TOTAL OF $384,688,817 OF FINANCIAL AID DISBURSED TO ALL STANFORD STUDENTS. APPROXIMATELY 65% OF THIS AID TOOK THE FORM OF TRANSFERS FROM INTERNAL UNIVERSITY FUNDS TO OFFSET TUITION AND OTHER UNIVERSITY CHARGES THAT WOULD OTHERWISE HAVE BEEN RECEIVED BY THE UNIVERSITY. THE BALANCE OF $135,841,085 REPRESENTS DISBURSEMENTS, PRIMARILY TO GRADUATE STUDENTS, FOR STIPENDS, FELLOWSHIPS AND OTHER STUDENT AID, IN SUPPORT OF ACADEMIC EFFORT. FOR THE VAST MAJORITY OF ENROLLED STUDENTS, THESE AMOUNTS ARE PAID BY DIRECT DEPOSIT TO STUDENT BANK ACCOUNTS IN THE UNITED STATES. AT THE TIME OF CONSTRUCTIVE RECEIPT OF THESE FUNDS IN THE U.S., IT IS POSSIBLE THAT STUDENTS (PARTICULARLY DOCTORAL STUDENTS) MIGHT BE TRAVELING, OR "LIVING", OUTSIDE OF THE U.S. DURING THE COURSE OF THEIR ACADEMIC WORK, OR EVEN FOR PERSONAL PURPOSES. STANFORD REQUIRES THAT STUDENTS WHO ARE RECEIVING FINANCIAL AID MAINTAIN THEIR REGISTRATION STATUS, AND BE ENROLLED FOR ACADEMIC CREDIT IN UNIVERSITY-APPROVED PROGRAMS. THE UNIVERSITY DOES NOT BROADLY CONSIDER FINANCIAL AID DISBURSEMENTS IN THE UNITED STATES TO ENROLLED STUDENTS AS "GRANTS TO FOREIGN INDIVIDUALS" AND THEREFORE, DOES NOT TRACK PAYMENTS IN THAT MANNER. ACCORDINGLY, THOSE GRANTS PAID OUTSIDE OF THE UNITED STATES, OR GRANTS FOR USE OUTSIDE THE UNITED STATES FOR PROGRAMS WHICH HAVE A READILY IDENTIFIABLE FOREIGN COMPONENT THAT IS SEPARATELY TRACKED ARE REPORTED ON SCHEDULE F. THE FOLLOWING CATEGORIES OF AID ARE PAID DIRECTLY TO STUDENTS OR SCHOLARS OUTSIDE OF THE UNITED STATES, OR FOR INTENDED USE OUTSIDE THE U.S., AND ARE REPORTED ON SCHEDULE F, PART III. 1. RESEARCH GRANTS: THE UNIVERSITY FUNDS A SUMMER INDEPENDENT RESEARCH GRANT PROGRAM AVAILABLE ON A COMPETITIVE BASIS TO UNDERGRADUATES. AS WITH MOST FINANCIAL AID, THESE GRANTS ARE DISBURSED IN THE UNITED STATES TO ENROLLED STUDENTS. OPPORTUNITIES TO FORMALLY PRESENT RESULTING ACADEMIC RESEARCH FINDINGS ARE PROVIDED, WHICH CONTRIBUTES TO THE ASSURANCE THAT MONIES ARE USED FOR THE INTENDED PURPOSE. THOSE AWARDS WHERE THE INTENDED USE OF THE RESEARCH GRANT IS OUTSIDE OF THE U.S., ARE REPORTED IN PART III. 2. SERVICE LEARNING FELLOWSHIPS AND TRAVEL GRANTS: STANFORD'S HAAS CENTER FOR PUBLIC SERVICE MANAGES PROGRAMS TO ENGAGE STANFORD STUDENTS IN SERVICE LEARNING OPPORTUNITIES. THESE PLACEMENTS ARE CLOSELY MONITORED BY PROGRAM OFFICERS PRIOR TO AND AFTER THEY OCCUR, TO ASSURE MAXIMUM BENEFIT OF THE LEARNING EXPERIENCE. FELLOWSHIPS PLACEMENTS AND TRAVEL GRANTS OUTSIDE OF THE U.S. FOR WHICH STUDENTS RECEIVED SUPPORT ARE REPORTED IN PART III. 3. SCHOLARSHIPS: STANFORD MANAGES A CONSORTIUM LANGUAGE PROGRAM LOCATED IN THE EAST ASIA/PACIFIC REGION ON BEHALF OF SEVERAL U.S. UNIVERSITIES. SCHOLARSHIPS TO ATTEND THIS PROGRAM ARE AWARDED BY THE CONSORTIUM, AND ARE DISBURSED FROM STANFORD DIRECTLY TO THE IN-COUNTRY CONSORTIUM PROGRAM OFFICE. THESE AMOUNTS ARE REPORTED IN PART III. 4. OVERSEAS STUDIES PROGRAM-INTERNSHIP STIPENDS: AS PART OF ITS UNDERGRADUATE OVERSEAS STUDY PROGRAM, THE UNIVERSITY IS ABLE TO PLACE ELIGIBLE STANFORD STUDENTS IN LOCAL INTERNSHIPS FOR 3-6 MONTHS. STUDENTS ARE PAID A STIPEND TO COVER THEIR HOUSING, FOOD AND LIVING EXPENSES. UNIVERSITY PROGRAM MANAGERS IN THESE COUNTRIES WORK WITH RECIPIENT ORGANIZATIONS TO MONITOR STUDENT PERFORMANCE AND PROVIDE FEEDBACK. THESE AMOUNTS ARE REPORTED IN PART III AS GRANTS TO INDIVIDUALS, LIVING OUTSIDE OF THE U.S. THE IN-COUNTRY EXPENDITURES RELATING TO EACH OF THE OVERSEAS STUDIES CENTERS ARE REPORTED IN PART I, LINE 3 AS A PROGRAM ACTIVITY. A VERY SMALL PROPORTION OF THOSE EXPENSES ARE REPRESENTED BY CASH PAYMENTS TO STUDENTS FOR PER DIEM MEAL ALLOWANCES. THESE HAVE BEEN INCLUDED AS PROGRAM ACTIVITY EXPENSES, NOT AS GRANTS TO INDIVIDUALS. RESEARCH FELLOWSHIPS: STUDENTS RECEIVE INTERNAL AND EXTERNAL FUNDS FOR INDEPENDENT RESEARCH. PROJECTS DESCRIBED AS SUCH IN THE FINANCIAL SYSTEM WITH FOREIGN ACTIVITY ARE REPORTED IN PART III. SUB-AWARDS ARE PAYMENTS TO THIRD PARTY RECIPIENTS FOR PERFORMING A PORTION OF A STANFORD RESEARCH PROGRAM, MOST OFTEN A SPONSORED-RESEARCH PROJECT. MANY SUB-AWARDS ARE AGREEMENTS FOR CONTRACTUALLY DEFINED DELIVERABLES, USUALLY REQUIRING HIGHLY SPECIFIC EXPERTISE. AS SUCH THEY COULD BE DESCRIBED AS RESEARCH CONTRACTS. HOWEVER, CERTAIN SUB-AWARDS MIGHT ALSO BE CATEGORIZED AS GRANTS, DEPENDING ON THE NATURE OF THE ORIGINATING PRIME FUNDING SOURCE, SINCE THE TERMS AND CONDITIONS OF THE ORIGINATING FUNDING SOURCE GENERALLY FLOW THROUGH TO THE SUB-AWARD. ACCORDINGLY, GRANT-FUNDED SUB-AWARDS ARE REPORTED IN PART II. CONTRACT-FUNDED SUB-AWARDS TO FOREIGN RECIPIENTS ARE REPORTED IN PART I, LINE 3 AS RESEARCH PROGRAM ACTIVITIES. THE PROCEDURES FOR MONITORING BOTH TYPES OF SUB-AWARDS ARE ESSENTIALLY IDENTICAL. AN INITIAL RISK ASSESSMENT OF THE RECIPIENT IS CONDUCTED PRIOR TO THE GRANTING OF THE SUB-AWARD. THIS, TOGETHER WITH AN AUDIT/FINANCIALS REVIEW, PROVIDES INSIGHT ON WHETHER IT IS APPROPRIATE AND REASONABLE TO ENTER INTO THE SUB-AWARD, OR WHETHER ADDITIONAL TERMS MUST BE ADDED TO THE SUB-AWARD AGREEMENT FOR GREATER ASSURANCE OF ITS SAFE-HANDLING. IN ACCORDANCE WITH U.S. OMB CIRCULAR A-133 REQUIREMENTS, THE SUB-RECIPIENT IS REQUIRED TO ANNUALLY COMPLETE A QUESTIONNAIRE DESIGNED TO ASSESS CERTAIN ASPECTS OF THE ENTITY'S INTERNAL CONTROLS AND FINANCIAL STATUS. THIS INFORMATION IS COLLECTED AND REVIEWED BY SPONSORED RESEARCH SPECIALISTS. INVOICES SUBMITTED BY THE SUB-RECIPIENT TO THE UNIVERSITY ARE REVIEWED TO ENSURE THAT CHARGED EXPENSES MEET BOTH INTERNAL ACCOUNTING POLICIES, AS WELL AS STANDARDS ESTABLISHED BY U.S. OMB CIRCULAR A-21. AWARDS ARE MONITORED ON AN ONGOING BASIS BY MEETING, REPORT OR COMMUNICATION, BY BOTH THE AWARD PRINCIPAL INVESTIGATOR AND THE UNIVERSITY'S SUB-RECIPIENT MONITORING OFFICER TO ENSURE THAT PROGRESS IS BEING MADE AS AGREED. PART I, LINE 3: ENTER THE DETAILS FOR EACH TYPE OF ACTIVITY CONDUCTED AT ANY TIME DURING THE TAX YEAR IN EACH REGION. DESCRIBE THE METHOD USED TO ACCOUNT FOR EXPENDITURES ON PART I, COLUMN (F), LINE 3. AS A LEADING RESEARCH INSTITUTION, STANFORD UNIVERSITY CONDUCTS ACTIVITIES ALL OVER THE WORLD IN PURSUIT OF ITS ACADEMIC MISSION OF EDUCATION, RESEARCH, AND PATIENT CARE. ITS STUDENT, FACULTY AND ALUMNI COMMUNITIES ARE SIMILARLY INTERNATIONAL IN CHARACTER, AND SEEK TO COLLABORATE IN AN INTERDEPENDENT WORLD TO UNDERSTAND AND SOLVE GLOBAL CHALLENGES. IN ACCORDANCE WITH THE FORM 990 INSTRUCTIONS, THE UNIVERSITY HAS REPORTED ON SCHEDULE F EXPENDITURES RELATING TO FOREIGN ACTIVITIES WHICH ARE SEPARATELY TRACKED IN THE ACCOUNTING SYSTEM. ALL UNIVERSITY EXPENDITURES ARE TRACKED AND REPORTED IN THE ACCOUNTING SYSTEM; HOWEVER, THERE HAS PREVIOUSLY BEEN NO BUSINESS PURPOSE TO WARRANT THE CATEGORIZATION OF EXPENDITURES GEOGRAPHICALLY. SYSTEMS ARE CURRENTLY BEING UPGRADED TO FACILITATE CAPTURE OF RELATED GEOGRAPHIC INFORMATION. GRANTMAKING: GRANTS REPORTED ON SCHEDULE F ARE SEPARATELY TRACKED IN THE ACCOUNTING SYSTEM, CATEGORIZED FOR FINANCIAL STATEMENT PURPOSES BY ACTIVITY AND EXPENDITURE TYPE. IT IS CURRENTLY NOT POSSIBLE TO EXHAUSTIVELY REPORT ALL GRANTS WHERE THE INTENDED PURPOSE IS FOR USE OUTSIDE THE U.S. BECAUSE THE PURPOSE OF THE INDIVIDUAL AWARDS IS NOT TRACKED IN THE ACCOUNTING SYSTEM. PROGRAM SERVICES: PROGRAM SERVICES INCLUDE ACTIVITIES RELATING TO THE CORE INSTITUTIONAL MISSION OF EDUCATION, RESEARCH, AND PATIENT CARE. FOR FINANCIAL STATEMENT PURPOSES, EXPENDITURES ARE REPORTED IN ACCORDANCE WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. THE STATEMENT OF ACTIVITIES REPORTS BY COST OBJECT (SALARIES & BENEFITS, DEPRECIATION AND OTHER OPERATING EXPENSES), WITH ADDITIONAL DISCLOSURE AS TO FUNCTIONAL BASIS OF EXPENDITURES. STUDY ABROAD: INCLUDES EXPENSES DIRECTLY INCURRED IN REGIONS; AND, CONSISTENT WITH FINANCIAL STATEMENT TREATMENT, WHERE SALARIES ARE INCURRED, A COST ALLOCATION FOR FRINGE BENEFITS IS ALSO REPORTED. EDUCATION: STANFORD'S SCHOOLS AND DEPARTMENTS OFFER EDUCATION PROGRAMS, INCLUDING BUT NOT LIMITED TO EXECUTIVE AND PROFESSIONAL DEVELOPMENT PROGRAMS, TO FACILITATE LIFE-LONG LEARNING AND DISSEMINATION OF CURRENT RESEARCH FINDINGS. EDUCATION-TRAVEL/STUDY PROGRAM: INCLUDES EXPENSES DIRECTLY INCURRED IN REGIONS FOR ALUMNI ASSOCIATION-SPONSORED TRAVEL STUDY TRIPS AND GRADUATE SCHOOL OF BUSINESS GLOBAL STUDY TRIPS. RESEARCH: INCLUDES DIRECT COSTS INCURRED FOR FACULTY RESEARCH PROJECTS IN A SPECIFIC REGION, INCLUDING PAYMENTS FOR PROFESSIONAL SERVICES ENGAGED TO FURTHER THE RESEARCH PURPOSE. RESEARCH SUB-AWARDS: REPRESENT PAYMENT TO FOREIGN SUB-RECIPIENTS FOR CONTRACT-FUNDED SUB-AWARDS THAT RETAIN THEIR PRIME-SPONSOR TERMS AND CONDITIONS AS CONTRACTS. INTERDISCIPLINARY CENTER: REPRESENT EXPENSES INCURRED FOR THE OPERATION, SUPPORT, MAINTENANCE, AND MANAGEMENT OF A FACILITY IN THE EAST ASIA/PACIFIC REGION TO HOUSE STANFORD FACULTY, STAFF AND STUDENTS ENGAGED IN ACADEMIC ACTIVITIES IN THAT REGION. FOREIGN TRAVEL: IS CATEGORIZED SEPARATELY IN THE ACCOUNTING SYSTEM TO MEET COST PRINCIPLES OF OMB A21. FUNDRAISING: INCLUDE THOSE EXPENSES DIRECTLY INCURRED IN THE REGION FOR FUNDRAISING ACTIVITIES. INVESTMENTS: IN THE INTERESTS OF PRUDENT STEWARDSHIP OF ITS ENDOWMENT FUNDS, THE UNIVERSITY SEEKS TO MAINTAIN A DIVERSIFIED INVESTMENT PORTFOLIO OF ACTIVELY MANAGED FINANCIAL AND REAL ESTATE ASSETS LOCATED THROUGHOUT THE WORLD. DIVERSIFICATION AIMS TO ENSURE THAT THE ENDOWMENT GENERATES RETURNS THAT BOTH MEETS CURRENT OPERATING INCOME NEEDS AND PROVIDES FOR SUPPORT OF FUTURE STUDENTS AND PROGRAMS. THE PORTFOLIO IS CONSTRUCTED ON A FOUNDATION OF MODERN PORTFOLIO THEORY AND STRATEGIC ALLOCATION, SEEKING TO OPTIMIZE LONG-TERM RETURNS, CREATE CONSISTENT ANNUAL PAYOUTS TO THE UNIVERSITY'S OPERATING BUDGET AND PRESERVE PURCHASING POWER FOR FUTURE GENERATIONS OF STANFORD FACULTY AND STUDENTS. THE STANFORD MANAGEMENT COMPANY, A DIVISION OF THE UNIVERSITY, ACTIVELY MANAGES THE ENDOWMENT, ACCESSING MANY OF THE BEST THIRD-PARTY MANAGERS WORLDWIDE TO DEPLOY ITS CAPITAL. THE GEOGRAPHIC ALLOCATION OF THE UNIVERSITY'S INVESTMENTS, AS SHOWN IN SCHEDULE F, IS A RESULT OF THESE FACTORS. THE UNIVERSITY REPORTS IN PART I ITS REGIONAL NET BOOK VALUE INVESTMENT AMOUNTS, CONSISTENT WITH THE IRS 2013 INSTRUCTIONS FOR SCHEDULE F. ALSO REPORTED IN PART I ARE THE FOREIGN TRAVEL EXPENSES DIRECTLY RELATED TO THE REQUISITE DUE DILIGENCE AND MANAGEMENT OF THE ENDOWMENT PORTFOLIO, AS WELL AS DIRECT COMPENSATION TO THIRD-PARTY MANAGERS. DESCRIBE THE METHOD USED TO ACCOUNT FOR CASH GRANTS AND NON CASH ASSISTANCE ON PART II SUB AWARDS ARE SEPARATELY TRACKED IN THE ACCOUNTING SYSTEM WITH THE IDENTIFICATION OF THE FUNDING SOURCE OF THE SUB AWARD (I.E. GRANT VS. CONTRACT) SEPARATELY TRACKED IN THE UNIVERSITY'S SPONSORED RESEARCH SYSTEM. INCLUDED IN PART II ARE DIRECT GRANTS AND OTHER ASSISTANCE TO ORGANIZATIONS OUTSIDE THE UNITED STATES. THE UNIVERSITY DOES NOT TRACK WHETHER GRANTS TO ORGANIZATIONS WITHIN THE UNITED STATES ARE MADE FOR THE PURPOSE OF PROVIDING GRANTS TO FOREIGN ORGANIZATIONS. SUB-AWARDS ARE SUBJECT TO THE MONITORING PROCEDURES DISCUSSED IN PART V WITH RESPECT TO PART I, LINE 2 REGARDLESS OF WHETHER THE RECIPIENT WILL FURTHER SUB-AWARD FUNDS IN ORDER TO ACCOMPLISH THE PURPOSES OF THE AWARD. DESCRIBE THE METHOD USED TO ACCOUNT FOR CASH GRANTS AND NON CASH ASSISTANCE ON PART III PAYMENTS TO INDIVIDUALS OUTSIDE OF THE UNITED STATES ARE TRACKED IN THE PAYABLES SUB-LEDGER OF THE ACCOUNTING SYSTEM. GRANT DISBURSEMENTS TO STUDENTS AND FACULTY ARE TRACKED AT A SUMMARY LEVEL IN THE ACCOUNTING SYSTEM. THE AWARDING OF INDIVIDUAL GRANT FUNDS IS A DECENTRALIZED ACADEMIC PROGRAM LEVEL RESPONSIBILITY. HOWEVER, THE GEOGRAPHIC LOCATION OF THE INTENDED USE OF THE FUNDS IS NOT CURRENTLY SYSTEMATICALLY TRACKED, AND THEREFORE CANNOT READILY BE IDENTIFIED OUTSIDE OF LARGE UNDERGRADUATE PROGRAMS WHICH MAKE SUCH AWARDS. CONSEQUENTLY, THE NUMBER OF RECIPIENTS REPORTED IN PART III REFLECT ACTUAL RECIPIENTS OF THOSE PROGRAMS, OR OTHER IDENTIFIED STUDENT RECIPIENTS. X X X X X X X true RUFFALOCODY PO BOX 3018 CEDAR RAPIDS IA 52406 STDNT PHONE APPEAL false 1206885 593700 613185 THE STELTER COMPANY 10435 NEW YORK AVENUE DES MOINES IA 50322 BROCHURES false 38584 MRS JAYNE SHERRY MORDELL 40 PALMER LANE PORTOLA VALLEY CA 94028 EVENT MANAGEMENT false 986453 35750 950703 GRIZZARD 229 PEACHTREE STREET NE SUITE 1400 ATLANTA CA 30303 SOLICITATN& DEVELOPMENT false 37400 27872 9528 JOSH BIRKHOLZ 7251 OHMS LANE MINNEAPOLIS MN 55439 PROGRAM & TRAINING false 47930 TANGIBLE STRATEGIES 6818 CUTTING BLVD EL CERRITO CA 94530 MAIL CAMPAIGN false 300000 20000 280000 2530738 763836 1853416 UNDER ONE LUNCH 999853 962358 37495 1635 49597 117535 RODIN MOONLIGHT 161065 147044 14021 50786 177998 8 241141 154935 86206 7108 223980 1402059 1264337 137722 8743 100383 519513 628639 -490917 SCHEDULE G, PART I LINE 2B, GRIZZARD: IN ADDITION TO FEES REPORTED IN COLUMN (V), THE CONSULTANT WAS REIMBURSED $49,533 FOR PRINTING SERVICES AS PER TERMS OF THE CONTRACT. true THE AMERICAN ACADEMY OF ORTHOPAEDIC SURGEONS 9400 WEST HIGGINS ROAD ROSEMONT IL 60018 362110592 501(C)(3) 5500 GENERAL SUPPORT SOUTHERN POVERTY LAW CENTER 400 WASHINGTON AVE MONTGOMERY AL 36104 630598743 501(C)(3) 6000 GENERAL SUPPORT AMERICAN RED CROSS P O BOX 4002018 DES MOINES IA 50340 530196605 501(C)(3) 7000 GENERAL SUPPORT YOSEMITE CONSERVANCY 101 MONTGOMERY ST SF CA 94104 943058041 501(C)(3) 8500 GENERAL SUPPORT CAL POLY ENGINEERING C/O CA POLYTECHNIC ST UNIV SAN LOUIS OBISPO CA 934070444 204927897 501(C)(3) 10000 SUPPORT EDUCATION DENISON UNIVERSITY PO BOX 716 GRANVILLE OH 430230716 314379459 501(C)(3) 10000 SCHOLARSHIP JOHNS HOPKINS CHILDREN'S CENTER 750 E PRATT BALTIMORE MD 21202 520595110 501(C)(3) 10000 GENERAL SUPPORT UNHCR-THE UN REFUGEE AGENCY P O BOX 97114 WASHINGTON DC 20077 521662800 501(C)(3) 10000 GENERAL SUPPORT AMERICAN UNITED FOR SEPARATION OF CHURCH&STATE 1301 K STREET NW WASHINGTON DC 20005 530184647 501(C)(3) 10000 GENERAL SUPPORT CHABAD AT STANFORD 1289 COLLEGE AVENUE PALO ALTO CA 94306 731655874 501(C)(3) 10000 RELIGIOUS HEAD ROYCE SCHOOL 4315 LINCOLN AVE OAKLAND CA 94602 941518656 501(C)(3) 10000 SUPPORT EDUCATION SECOND HARVEST FOOD BANK 4001 NORTH 1ST STREET SAN JOSE CA 95134 942614101 501(C)(3) 10000 GENERAL SUPPORT 1990 INSTITUTE P O BOX 383 SAN FRANCISCO CA 941040383 943112912 501(C)(3) 10000 SUPPORT EDUCATION COMMUNITY LEGAL SERVICES OF EAST PALO ALTO 1861 BAY ROAD EAST PALO ALTO CA 94303 223866910 501(C)(3) 10000 GENERAL SUPPORT THE NATIONAL ACADEMY OF ENGINEERING 500 FIFTH STREET WASHINGTON DC 20001 237284092 501(C)(3) 20000 SUPPORT EDUCATION YMCA SILICON VALLEY 80 SARATOGA AVE SANTA CLARA CA 95051 941156318 501(C)(3) 20000 GENERAL SUPPORT THE KEYS SCHOOL 2890 MIDDLEFIELD RD PALO ALTO CA 94306 942240127 501(C)(3) 20000 GENERAL SUPPORT SANTA BARBARA CENTER FOR THE PEFORMING ARTS 1330 STATE STREET SANTA BARBARA CA 93101 953847102 501(C)(3) 20000 GENERAL SUPPORT ALAMEDA SCHOOL 2732 N E FREMONT ST PORTLAND OR 97212 936000830 501(C)(3) 21363 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PALO ALTO CA 94304 770003859 501(C)(3) 11000000 HOSPITAL EXPANSION STANFORD HABITAT CONSERVATION BOARD 3145 PORTER DRIVE PALO ALTO CA 94304 461882243 501(C)(3) 15000 SUPPORT 39 0 FINANCIAL AID TO STUDENTS 13526 382738678 Part I, Line 2 IN PART AS A RESULT OF ENDOWMENT SUPPORT OF STUDENT AID, STANFORD IS ABLE TO WAIVE THE TOTAL COST OF TUITION FOR MANY OF ITS DESERVING STUDENTS. STANFORD RECENTLY EXPANDED FINANCIAL AID BY INCREASING THE INCOME THRESHOLDS AT WHICH PARENTS ARE NOT EXPECTED TO CONTRIBUTE TOWARD EDUCATIONAL COSTS. STANFORD WILL EXPECT NO PARENTAL CONTRIBUTION TOWARD TUITION FROM PARENTS WITH ANNUAL INCOMES BELOW $125,000 - PREVIOUSLY $100,000 - AND TYPICAL ASSETS. AND THERE WILL BE ZERO PARENTAL CONTRIBUTION TOWARD TUITION, ROOM OR BOARD FOR PARENTS WITH ANNUAL INCOMES BELOW $65,000 - PREVIOUSLY $60,000 - AND TYPICAL ASSETS. THIS EXPANSION OF THE FINANCIAL AID PROGRAM IS A DEMONSTRATION OF STANFORD'S COMMITMENT TO ACCESS FOR OUTSTANDING STUDENTS FROM ALL BACKGROUNDS - INCLUDING NOT ONLY THOSE FROM THE LOWEST SOCIOECONOMIC STATUS, BUT ALSO MIDDLE- AND UPPER-MIDDLE-CLASS FAMILIES WHO NEED OUR ASSISTANCE AS WELL. GRANTS AND ALLOCATIONS REFLECT NON-COMPENSATORY SUPPORT PROVIDED TO STUDENTS IN VARIOUS FORMS. STANFORD IS COMMITTED TO A NEED-BLIND ADMISSIONS POLICY, ADMITTING QUALIFIED UNDERGRADUATES WITHOUT REGARD TO THEIR ABILITY TO PAY AND PROVIDING A COMPREHENSIVE FINANCIAL AID PROGRAM FOR ALL ADMITTED UNDERGRADUATES WHO HAVE NEED AS DETERMINED BY THE UNIVERSITY AND WHO MEET OTHER REQUISITE CONDITIONS FOR FINANCIAL AID. MORE THAN 82% OF UNDERGRADUATES RECEIVED SOME FORM OF FINANCIAL ASSISTANCE DURING THE TAX YEAR AS WELL AS 87% OF ALL GRADUATE STUDENTS FROM STANFORD AND OTHER SOURCES. THE TOTAL FINANCIAL AID INCLUDES $248,847,732 IN MERIT AND NEED-BASED SCHOLARSHIPS AND FELLOWSHIPS. AN ADDITIONAL $135,841,085 REFLECTS AMOUNTS PAID FOR ADDITIONAL FINANCIAL SUPPORT TO STUDENTS, INCLUDING PAYMENTS FOR HEALTH INSURANCE, LIVING EXPENSES, AND SUPPORT OF POSTDOCTORAL FELLOWS. THESE AMOUNTS INCLUDE $1,950,139 IN GRANTS TO INDIVIDUALS OUTSIDE THE UNITED STATES. GRANT RECOMMENDATIONS FROM DONOR ADVISED FUNDS, AS LISTED IN PART II, ARE REVIEWED AND APPROVED BY SENIOR OFFICIALS IN THE OFFICE OF DEVELOPMENT. SUB-GRANTS STANFORD OCCASIONALLY RECEIVES GRANT SUPPORT THAT IS DISBURSED TO OTHER INDIVIDUALS OR ENTITIES PER THE TERMS OF THE AWARD. IN MOST CASES, PRIOR TO THE GRANT TO STANFORD, THE UNIVERSITY WILL PROVIDE THE GRANTING ENTITY WITH A LIST OF SUCH CONTEMPLATED RECIPIENTS. GENERALLY, AS WORK ON THE GRANT PROGRESSES, CHANGES TO THESE RECIPIENTS MUST BE APPROVED BY THE GRANTING AGENCY. DUE TO THESE REVIEW REQUIREMENTS OF THE GRANTING AGENCY, STANFORD DOES NOT REPORT SUCH PAYMENTS ON FORM 990, SCHEDULE I. X X X true true X X X X X false true false false false false false true false JOHN HENNESSY PRESIDENT/TRUSTEE 805963 0 0 0 0 0 173928 0 157285 0 1137176 0 0 0 JOHN ETCHEMENDY PROVOST 610124 0 0 0 480 0 281515 0 77612 0 969731 0 0 0 RANDALL LIVINGSTON VP BUS AFFAIRS/CFO 552759 0 0 0 752 0 105500 0 91500 0 750511 0 0 0 MARTIN SHELL VP DEVELOPMENT 559703 0 49000 0 52712 0 96500 0 54142 0 812057 0 0 0 DEBRA ZUMWALT VP GENERAL COUNSEL 575158 0 0 0 0 0 168000 0 17240 0 760398 0 0 0 ROBERT C REIDY VP LAND, BUILDINGS & REAL EST 392394 0 270000 0 704438 0 1425500 0 58478 0 2850810 0 600000 0 DAVID DEMAREST VP PUBLIC AFFAIRS 335157 0 5500 0 5253 0 84050 0 21918 0 451878 0 0 0 HOWARD WOLF PRES. OF STANFORD ALUM. ASSOC. 329999 0 51000 0 494 0 167800 0 31317 0 580610 0 0 0 WILLIAM MADIA VP SLAC NAL 360546 0 72400 0 36199 0 25048 0 3664 0 497857 0 0 0 DAVID JONES VP HUMAN RESOURCES 312892 0 27000 0 0 0 25500 0 22977 0 388369 0 0 0 JOHN POWERS PRESIDENT, STANFORD MGNT CO. 828704 752632 710774 765381 0 24970 0 3082461 0 625460 0 LLOYD B MINOR DEAN, SCHOOL OF MEDICINE 1300912 250000 176725 302550 0 73057 0 2103244 0 0 0 RICHARD SALLER DEAN, SCHOOL OF HUM & SCIENCES 504717 0 40723 25500 0 10913 0 581853 0 0 0 GARY STEINBERG CHAIR, NEUROSURGERY 621877 667119 500 25159 0 21756 0 1336411 0 0 0 THOMAS KRUMMEL CHAIR, SURGERY 551504 0 479721 0 500 0 25500 0 29429 0 1086654 0 0 0 DAVID SHAW COACH 1561185 100000 59034 475500 0 28716 0 2224435 0 0 0 FRANK HANLEY CHIEF, PED CARDIOTHORACIC 566602 0 1325000 0 0 0 25500 0 21432 0 1938534 0 0 0 JOHNNY DAWKINS COACH 869746 55000 353698 472950 0 40549 0 1791943 0 0 0 PHILIP A PIZZO PROF & FORMER DEAN, SCH OF MED 619321 0 0 0 76032 0 174250 0 6485 0 876088 0 0 0 PART I, LINE 1A FIRST-CLASS OR CHARTER TRAVEL STANFORD UNIVERSITY TRAVEL POLICY GENERALLY REQUIRES ALL EMPLOYEES, INCLUDING PERSONS LISTED ON FORM 990, PART VII, LINE 1A, TO USE THE MOST ECONOMICAL MODE OF TRANSPORTATION AVAILABLE CONSISTENT WITH THE AUTHORIZED BUSINESS PURPOSE OF THE TRAVEL. FIRST CLASS TRAVEL IS AUTHORIZED IN SOME INSTANCES, SUCH AS ON INTERNATIONAL FLIGHTS OVER A CERTAIN LENGTH, IF NO BUSINESS CLASS SERVICE IS AVAILABLE ON THE FLIGHT. FIRST CLASS TRAVEL IS ALSO AUTHORIZED IN CASE OF A MEDICAL NEED OR OTHER EXIGENCY APPROVED BY THE PROVOST. IN ADDITION, THE PRESIDENT HAS PERMISSION TO FLY FIRST CLASS ON CERTAIN DOMESTIC FLIGHTS DEPENDING ON LENGTH. OCCASIONALLY, THE UNIVERSITY MAY PURCHASE CHARTERED AIRCRAFT SERVICES WHEN DEEMED APPROPRIATE FOR THE CONDUCT OF UNIVERSITY BUSINESS AND PURSUANT TO UNIVERSITY POLICY RELATED TO CHARTER TRAVEL. IN COMPLIANCE WITH THE UNIVERSITY'S TRAVEL POLICY DESCRIBED ABOVE, SIX PERSONS LISTED ON PART VII USED FIRST CLASS TRAVEL SERVICES AND SIX PERSONS USED CHARTER TRAVEL DURING CALENDAR YEAR 2013. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. PRESIDENT AND PROVOST HOUSING AS A CONDITION OF HIS EMPLOYMENT AS PRESIDENT OF THE UNIVERSITY, PRESIDENT HENNESSY, IS REQUIRED TO LIVE IN THE PRESIDENT'S HOME ON THE CAMPUS OF THE UNIVERSITY. THE RESIDENCE IS USED FREQUENTLY FOR UNIVERSITY BUSINESS INCLUDING OFFICIAL GATHERINGS OF FACULTY, STAFF, STUDENTS, ALUMNI, DONORS AND THEIR FAMILIES. AS PART OF A PROGRAM OF APPROPRIATE AND REGULAR MAINTENANCE OF THIS HOUSE, THE UNIVERSITY PROVIDED CLEANING SERVICE FOR THE PUBLIC AND PRIVATE AREAS. THE UNIVERSITY HAS INCLUDED AS NONTAXABLE COMPENSATION IN COLUMN D THE ESTIMATED RENTAL VALUE OF THE AREAS OF THIS RESIDENCE RESERVED FOR THE PERSONAL USE OF THE EMPLOYEE, BASED UPON THE PREVAILING RENTAL RATES IN PALO ALTO AND ACTUAL COSTS OF RELATED SERVICES, INCLUDING MAINTENANCE, CLEANING AND UTILITIES. AS A CONDITION OF HIS EMPLOYMENT AS PROVOST OF THE UNIVERSITY, PROVOST ETCHEMENDY IS REQUIRED TO LIVE ON THE CAMPUS OF THE UNIVERSITY. THE RESIDENCE IS USED FREQUENTLY FOR UNIVERSITY BUSINESS INCLUDING OFFICIAL GATHERINGS OF FACULTY, STAFF, STUDENTS, ALUMNI, DONORS AND THEIR FAMILIES. AS PART OF A PROGRAM OF APPROPRIATE AND REGULAR MAINTENANCE OF THIS HOUSE, THE UNIVERSITY PROVIDED CLEANING SERVICE FOR THE PUBLIC AND PRIVATE AREAS. THE UNIVERSITY HAS INCLUDED AS NONTAXABLE COMPENSATION IN COLUMN D THE ESTIMATED RENTAL VALUE OF THE AREAS OF THIS RESIDENCE RESERVED FOR THE PERSONAL USE OF THE EMPLOYEE, BASED UPON THE PREVAILING RENTAL RATES IN PALO ALTO AND ACTUAL COSTS OF RELATED SERVICES, INCLUDING MAINTENANCE, CLEANING AND UTILITIES. THE FOLLOWING INDIVIDUALS RECEIVED TAXABLE HOUSING BENEFITS: LLOYD B. MINOR, WILLIAM MADIA, MARTIN SHELL, RICHARD SALLER, DAVID SHAW, AND JOHNNY DAWKINS. THESE AMOUNTS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN (B)(III). PART I, LINE 4A SEVERANCE PLAN CERTAIN LISTED PERSONS PARTICIPATE IN A SEVERANCE PLAN THAT PROVIDES FOR PAYMENT OF SALARY BASED ON THE INDIVIDUAL'S YEARS OF SERVICE, FOR A PERIOD RANGING FROM OF 3 TO 12 MONTHS. SEVERANCE IS PAID FOR POSITION ELIMINATION OR OTHER INVOLUNTARY TERMINATION, BASED ON PLAN GUIDELINES EXCEPT WHEN THE PRESIDENT OR THE VICE PRESIDENT OF UNIVERSITY HUMAN RESOURCES OR HIS/HER DESIGNEE DETERMINES THE TERMINATION IS FOR MISCONDUCT. INDIVIDUALS WHO VOLUNTARILY RESIGN ARE NOT ENTITLED TO SEVERANCE PAY. NO SEVERANCE PAYMENTS TO LISTED PERSONS WERE MADE DURING CALENDAR YEAR 2013. PART I, LINE 4B DEFERRED COMPENSATION PLAN PROVISIONS CERTAIN OFFICERS AND OTHERS LISTED IN SCHEDULE J, PART II PARTICIPATE IN A DEFERRED COMPENSATION PLAN. ANNUALLY, AMOUNTS ARE CREDITED TO THE PLAN BASED ON PERFORMANCE AND CERTAIN OTHER FACTORS. THESE AMOUNTS APPEAR IN SCHEDULE J, PART II, COLUMN (C). PLAN BALANCES ARE SUBJECT TO FORFEITURE AND/OR PAYMENT ONLY IF CERTAIN CONDITIONS ARE MET. CERTAIN BONUS AMOUNTS MAY BE DEFERRED AND PAID IN A LATER YEAR SUBJECT TO IRC SECTION 457(F). SUCH AMOUNTS ARE REPORTED IN SCHEDULE J, PART II, COLUMN (C) IN THE YEAR OF DEFERRAL AND REPORTED IN SCHEDULE J, PART II, COLUMN (B)(III) AND COLUMN (F) IN THE YEAR OF PAYMENT, IF APPLICABLE. THE FOLLOWING INDIVIDUALS RECEIVED PAYMENT FROM THEIR DEFERRED COMPENSATION ACCOUNT DURING CALENDAR YEAR 2013: JOHN POWERS - $708,172; ROBERT C. REIDY - $704,438. SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (SERP) THE UNIVERSITY HAS PROVIDED THE PRESIDENT WITH TWO SUPPLEMENTAL EXECUTIVE RETIREMENT PLANS (SERPS) DURING HIS TERM OF SERVICE AS AN OFFICER TO SUPPLEMENT HIS SOCIAL SECURITY AND 403(B) RETIREMENT BENEFITS. ONE SERP WAS EARNED GRADUALLY (PRIOR SERP) AND ANOTHER SERP IS TO BE EARNED GRADUALLY (CURRENT SERP) OVER SPECIFIED PERIODS DURING HIS TERM OF SERVICE AS AN OFFICER. UNDER THE CURRENT SERP, IF THE PRESIDENT REMAINS IN HIS POSITION THROUGH AUGUST 31, 2018, HE IS ELIGIBLE TO RECEIVE A BENEFIT APPROXIMATELY EQUAL TO AN ANNUAL PAYMENT FOR LIFE OF 12% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY (2.0 PERCENTAGE POINTS OF WHICH WAS EARNED IN FY 2014), OFFSET BY THE ANNUITY EQUIVALENT OF HIS ANTICIPATED SOCIAL SECURITY BENEFIT AND AMOUNTS CONTRIBUTED BY THE UNIVERSITY DIRECTLY TO HIS 403(B) DEFINED CONTRIBUTION RETIREMENT PLAN WHILE HE IS AN OFFICER. THE SERP BENEFIT IS SUBJECT TO FORFEITURE IF CERTAIN CONDITIONS ARE NOT MET. FOR THE YEAR ENDED AUGUST 31, 2014, THE VALUE OF THE ANNUAL ACCRUAL OF THIS BENEFIT WAS $148,428 AND IS INCLUDED ON SCHEDULE J COLUMN (C) AS DEFERRED COMPENSATION. THE PRIOR SERP WAS EARNED OVER THE 12 YEARS ENDING AUGUST 31, 2012. HAVING SERVED IN HIS POSITION THROUGH AUGUST 31, 2012, THE PRESIDENT IS ELIGIBLE TO RECEIVE A BENEFIT APPROXIMATELY EQUAL TO AN ANNUAL PAYMENT FOR LIFE OF 35.5% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY DURING THE 12 YEAR PERIOD, OFFSET BY THE ANNUITY EQUIVALENT OF HIS ANTICIPATED SOCIAL SECURITY BENEFIT AND AMOUNTS CONTRIBUTED BY THE UNIVERSITY DIRECTLY TO HIS 403(B) DEFINED CONTRIBUTION RETIREMENT PLAN WHILE HE IS AN OFFICER. THERE WERE NO ACCRUALS TO THIS SERP AFTER AUGUST 31, 2012. THIS SERP BENEFIT REMAINS SUBJECT TO FORFEITURE IF CERTAIN CONDITIONS ARE NOT MET. THE UNIVERSITY ALSO PROVIDES THE PROVOST WITH A SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (SERP) TO SUPPLEMENT HIS SOCIAL SECURITY AND 403(B) RETIREMENT BENEFITS. THE SERP IS EARNED GRADUALLY THROUGH HIS TERM OF SERVICE AS PROVOST. IF THE PROVOST REMAINS IN HIS POSITION THROUGH AUGUST 31, 2015, HE WILL BE ELIGIBLE TO RECEIVE A BENEFIT APPROXIMATELY EQUAL TO AN ANNUAL PAYMENT FOR LIFE OF 42% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY (3.0 PERCENTAGE POINTS OF WHICH WAS EARNED IN FY 2014), OFFSET BY THE ANNUITY EQUIVALENT OF HIS ANTICIPATED SOCIAL SECURITY BENEFIT AND AMOUNTS CONTRIBUTED BY THE UNIVERSITY DIRECTLY TO HIS 403(B) DEFINED CONTRIBUTION RETIREMENT PLAN WHILE HE IS AN OFFICER. THE SERP BENEFIT IS SUBJECT TO FORFEITURE IF CERTAIN CONDITIONS ARE NOT MET. FOR THE YEAR ENDED AUGUST 31, 2014, THE VALUE OF THE ANNUAL ACCRUAL OF THIS BENEFIT WAS $256,015 AND IS INCLUDED ON SCHEDULE J COLUMN (C) AS DEFERRED COMPENSATION. VARIABLE COMPENSATION OF SCHOOL OF MEDICINE FACULTY TOTAL COMPENSATION FOR FACULTY IN THE SCHOOL OF MEDICINE IS MADE UP OF THE FOLLOWING INTEGRAL COMPONENTS: SALARY AND BENEFITS, ADMINISTRATIVE SUPPLEMENTS, AND BONUSES AWARDED UNDER DEPARTMENTAL PLANS. BASE SALARY IS BASED ON ACADEMIC RANK (E.G., PROFESSOR, ASSISTANT PROFESSOR). A VARIABLE COMPONENT OF SALARY IS DETERMINED BY THE CONTRIBUTION OF THE INDIVIDUAL TO THE DEPARTMENT/DIVISION AND THE CLINICAL SPECIALTY OF THE FACULTY MEMBER. OTHER SALARY SUPPLEMENTS ARE OCCASIONALLY USED TO PROVIDE FOR COMPENSATION GIVEN UP BY A FACULTY MEMBER WHEN ASSUMING A POSITION AT STANFORD. ADMINISTRATIVE SUPPLEMENTS ARE PAID TO FACULTY WHO TAKE ON DUTIES WHICH ARE OUTSIDE THEIR USUAL FACULTY RESPONSIBILITIES AND OUTSIDE NORMAL COMMITTEE WORK. INCENTIVE BONUSES ARE CONSIDERED A FUNDAMENTAL COMPONENT OF TOTAL COMPENSATION. THEY ARE PAID OUT BY THE DEPARTMENTS BASED ON THE DEPARTMENTS' INCENTIVE BONUS PLAN MEASURING THE FACULTY'S EFFORTS IN ADMINISTRATIVE LEADERSHIP, CLINICAL, RESEARCH, AND/OR TEACHING AREAS AS DEFINED BY THE PLAN. IN ADDITION, THE DEAN HAS A BONUS PLAN FOR CLINICAL CHAIRS BASED ON ACHIEVEMENT OF LEADERSHIP GOALS. SOME DEPARTMENTS HAVE "ON-CALL" AND "COVERAGE" BONUSES TO PROVIDE COMPENSATION FOR A FACULTY MEMBER'S PROVIDING OFF-HOURS COVERAGE. VARIABLE COMPENSATION OF INVESTMENT PROFESSIONALS A PORTION OF THE COMPENSATION PAID TO EACH LISTED INVESTMENT PROFESSIONAL IS BASED ON A COMBINATION OF THREE FACTORS: THREE YEAR ANNUALIZED PERFORMANCE VERSUS THE RELEVANT POLICY portfolio BENCHMARK RETURN FOR THAT PERIOD, THREE YEAR MERGED POOL ANNUALIZED PERFORMANCE VERSUS THE PERFORMANCE OF THE NINETEEN LARGEST COLLEGE AND UNIVERSITY ENDOWMENT INVESTMENT POOLS IN THE UNITED STATES, AND INDIVIDUAL PERFORMANCE. VARIABLE COMPENSATION OF ATHLETICS PROFESSIONALS LISTED ATHLETICS PROFESSIONALS ARE ELIGIBLE TO RECEIVE BONUSES AND INCENTIVE COMPENSATION BASED ON THE ACADEMIC PERFORMANCE OF THE STUDENT-ATHLETES, ATHLETIC PERFORMANCE, ATTENDANCE AT ATHLETIC EVENTS, AND/OR LEADERSHIP, AS PROVIDED IN THE PROFESSIONALS' COMPENSATION AGREEMENTS. VARIABLE COMPENSATION OF OFFICERS AND OTHERS OFFICERS AND OTHERS ARE ELIGIBLE TO RECEIVE BONUSES AND INCENTIVE COMPENSATION BASED ON PERFORMANCE. CURRENT YEAR BONUS AMOUNTS ARE REPORTED IN SCHEDULE J, PART II, COLUMN B(II). CERTAIN BONUS AMOUNTS MAY BE DEFERRED AND PAID IN A LATER YEAR SUBJECT TO IRC SECTION 457(F). SUCH AMOUNTS ARE REPORTED IN SCHEDULE J, PART II, COLUMN (C) IN THE YEAR OF DEFERRAL AND REPORTED IN SCHEDULE J, PART II, COLUMN (B)(III) AND COLUMN (F) IN THE YEAR OF PAYMENT, IF APPLICABLE. PART II, COLUMN (B) (iii) OTHER REPORTABLE COMPENSATION IN PART II, COLUMN (B)(III) INCLUDES HOUSING ASSISTANCE AND OTHER MISCELLANEOUS COMPENSATION. THIS DOES NOT INCLUDE VARIOUS ITEMS OF "LISTED PROPERTY" (E.G., COMPUTERS AND PERIPHERALS) THAT STANFORD HAS PROVIDED TO THE ABOVE LISTED EMPLOYEES PRINCIPALLY FOR THEIR BUSINESS USE AND NOT AS COMPENSATION. Part II, Columns (C) AND (D) LISTED PERSONS ACCRUE FUTURE BENEFITS THAT ARE AVAILABLE TO ALL STANFORD EMPLOYEES, SUCH AS POST-RETIREMENT MEDICAL INSURANCE AND TUITION BENEFITS, AND LISTED PERSONS WHO ARE ALSO FACULTY ACCRUE FUTURE FACULTY BENEFITS SUCH AS SABBATICAL AND TENURE BUYOUT PROVISIONS. THESE BENEFITS ARE SUBJECT TO CERTAIN ELIGIBILITY REQUIREMENTS SUCH AS AGE, YEARS OF SERVICE, AND EMPLOYEE CLASSIFICATION. FOR SOME BENEFIT PLANS, THE UNIVERSITY RESERVES THE RIGHT TO CHANGE ELIGIBILITY REQUIREMENTS AND/OR THE NATURE AND EXTENT OF THE BENEFIT BEING PROMISED. THE VALUE OF THESE BENEFITS IS REPORTED FOR EACH LISTED PERSON IN THE YEAR, IF ANY, SUCH BENEFITS ARE RECEIVED. PART II, COLUMN (F) AMOUNTS APPEARING IN COLUMN (F) ARE DEFERRED COMPENSATION PAYMENTS REPORTED IN COLUMN (C) IN PRIOR YEARS AND THAT ARE REPORTED (A SECOND TIME) IN COLUMN (B)(III) IN THE CURRENT YEAR. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY CP 521705592 13018AAA8 2013-06-27 300000000 SEE SCHEDULE O false false false B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY S 521705592 130175P89 2004-06-24 181196530 SEE SCHEDULE O false false false C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-1&3 521705592 130178JD9 2007-09-06 153277097 SEE SCHEDULE O false false false D CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-5 521705592 130178TQ9 2009-08-04 59147724 SEE SCHEDULE O false false false A 0 0 300218010 0 1851659 0 0 0 0 49142752 218010 0 2010 true false false true B 9790000 0 182429497 0 1198734 0 992205 0 0 147790592 32447966 0 2006 true false true true C 0 0 156107342 0 595440 0 661216 0 0 64355560 90495126 0 2009 true false true true D 0 0 59148032 0 0 0 1644 0 0 0 59146388 0 2003 false true true true A false true false true true 0.00000 0.00000 0.00000 false false 0.00000 false true B false true false true true 0.00000 0.00000 0.00000 false false 0.00000 false true C false true false true true 0.00000 0.00000 0.00000 false false 0.00000 false true D 0 A false false true false true false 0 false 0 false true B false false true true true false 0 false 0 false true C false false true true false false 0 false 0 false true D false false true false false false 0 false 0 false true A true B true C true D true SCHEDULE K TAX-EXEMPT BONDS FOR MORE THAN 30 YEARS, STANFORD AND THE MANY COMMUNITIES AND CONSTITUENCIES IT SERVES HAVE BENEFITED FROM TAX-EXEMPT BORROWING THROUGH THE CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY. THE UNIVERSITY USES GENEROUS DONOR GIFTS, UNIVERSITY RESERVES AND TAXABLE DEBT, IN ADDITION TO PROCEEDS FROM TAX EXEMPT BORROWING, TO FUND THE CONSTRUCTION OF ACADEMIC BUILDINGS, RESEARCH SUPPORT FACILITIES, RESIDENCES AND OTHER CAMPUS HOUSING, ROADS AND INFRASTRUCTURE. THESE FACILITIES HAVE, IN TURN, ENABLED THE UNIVERSITY TO ATTRACT OUTSTANDING FACULTY AND STUDENTS AND TO MORE EFFECTIVELY PERFORM INTERDISCIPLINARY RESEARCH DESIGNED TO ADDRESS FUNDAMENTAL WORLD PROBLEMS. THE NEW FACILITIES PROVIDE THE STANFORD COMMUNITY WITH THE MOST ADVANCED TECHNOLOGY AND ENVIRONMENT FOR TEACHING, LEARNING AND RESEARCH. THE FUNDING ALSO HAS PLAYED A KEY ROLE IN ENABLING STANFORD TO MEET SEISMIC AND OTHER FEDERAL AND STATE BUILDING REQUIREMENTS. THE FOLLOWING ARE EXAMPLES OF BUILDINGS FUNDED IN PART THROUGH TAX-EXEMPT DEBT: i. THE YANG YAMAZAKI ENVIRONMENTAL AND ENERGY BUILDING IS THE HUB OF STANFORD'S ENVIRONMENTAL SUSTAINABILITY TEACHING AND RESEARCH. IT IS A MODEL FOR SUSTAINABILITY BUILDING STANDARDS, USING 56 PERCENT LESS ENERGY AND 90 PERCENT LESS POTABLE WATER THAN A TRADITIONALLY CONSTRUCTED BUILDING OF ITS SIZE. IT HAS BEEN RECOGNIZED WITH LEED PLATINUM CERTIFICATION. ii. THE LI KA SHING CENTER FOR LEARNING AND KNOWLEDGE BRINGS TOGETHER CUTTING-EDGE MEDICINE, MODERN EDUCATION AND ADVANCED TECHNOLOGY TO TRAIN THE PHYSICIANS OF TOMORROW. MEDICAL STUDENTS PRACTICE LIFE-SAVING SKILLS IN REALISTIC SIMULATIONS AND LEARN TO APPLY RESEARCH TO BEDSIDE TREATMENTS. THE CENTER IS A GATHERING PLACE FOR MEDICAL EXPERTS TO SHARE RESEARCH AND HEALTH CARE INSIGHTS AND TO BRING THEIR COMBINED EXPERTISE TO BEAR ON THE WORLD'S GREATEST HEALTH CHALLENGES. iii. THE JAMES AND ANNA MARIE SPILKER ENGINEERING AND APPLIED SCIENCES BUILDING FOSTERS COLLABORATIVE DEVELOPMENT IN THE BURGEONING FIELD OF NANOTECHNOLOGY. SCIENTISTS AT THE CENTER ARE STUDYING HOW TO CREATE MATERIALS AND DEVICES NO BIGGER THAN ONE-BILLIONTH OF A METER, WITH DIRECT AND ECONOMICALLY VIABLE APPLICATIONS TO MEDICINE, ENERGY AND COMMUNICATIONS. iv. THE HUANG ENGINEERING CENTER HOUSES THE SCHOOL OF ENGINEERING, WHOSE TIES TO THE HIGH-TECHNOLOGY INDUSTRY CONTINUE TO FUEL THE GROWTH AND ECONOMY OF SILICON VALLEY AND NORTHERN CALIFORNIA. THE SCHOOL OF ENGINEERING IS WORLD RENOWNED FOR PUSHING THE FRONTIERS OF MODERN SCIENCE AND ENGINEERING, ESPECIALLY IN THE FIELDS OF COMPUTER SCIENCE, BIOENGINEERING AND ENVIRONMENTAL SUSTAINABILITY. v. THE LORRY I. LOKEY STEM CELL RESEARCH BUILDING OPENED IN 2010 AND IS THE LARGEST DEDICATED STEM CELL RESEARCH BUILDING IN THE COUNTRY. THE BUILDING HOUSES THE STANFORD STEM CELL BIOLOGY AND REGENERATIVE MEDICINE INSTITUTE, WHICH INTEGRATES RESEARCHERS FROM CANCER, NEUROSCIENCE, CARDIOVASCULAR MEDICINE, TRANSPLANTATION, IMMUNOLOGY, BIOENGINEERING AND DEVELOPMENTAL BIOLOGY. ALL ARE FOCUSED ON MAKING DISCOVERIES IN STEM CELL RESEARCH AND QUICKLY TRANSLATING THEM INTO PRECLINICAL APPLICATIONS, INNOVATIVE THERAPIES AND TREATMENTS. vi. THE MUNGER GRADUATE RESIDENCE IS A FIVE-BUILDING HOUSING COMPLEX FOR 600 STANFORD LAW AND OTHER GRADUATE STUDENTS. IT IS A SIGNIFICANT INVESTMENT BY STANFORD IN MITIGATING TRAFFIC AND OTHER ENVIRONMENTAL CONCERNS AS IT GREATLY REDUCES THE NUMBER OF PEOPLE DRIVING TO CAMPUS DAILY. vii. THE WILLIAM H. NEUKOM BUILDING, WHICH HOUSES THE CLINICS OF THE STANFORD LAW SCHOOL, OPENED IN 2011 AND WAS BUILT TO SATISFY THE EQUIVALENT OF A LEED GOLD CERTIFICATION FOR SUSTAINABILITY. THE BUILDING USES 30 PERCENT LESS ENERGY THAN REQUIRED BY CODE. THE BUILDING HOUSES THE MILLS LEGAL CLINIC, WHICH INCLUDES 12 CLINICS THAT TEACH THROUGH EXPERIENTIAL EDUCATION. LAW STUDENTS LEARN THE PRACTICE OF LAW BY REPRESENTING, FOR INSTANCE, LOW-INCOME OR INDIGENT PEOPLE IN CIVIL AND CRIMINAL LITIGATIONS, AND BY PROVIDING LEGAL COUNSEL ON ENVIRONMENTAL ISSUES, HUMAN RIGHTS, NONPROFIT CORPORATE GOVERNANCE, EDUCATION, AND RELIGIOUS FREEDOM. FORM 990, SCHEDULE K, PART I, COLUMN C CUSIP NUMBER CEFA TAX EXEMPT COMMERCIAL PAPER ("TECP") DATED 5/22/08 WAS ASSIGNED A UNIQUE BLOCK OF 900 CUSIP NUMBERS UPON ISSUANCE. A NEW CUSIP NUMBER IS ASSIGNED TO EACH TRANCHE OF TECP THAT IS ISSUED. THE CUSIP NUMBER LISTED IS THE FIRST CUSIP NUMBER IN THE SERIES AND WAS ASSIGNED AT THE ORIGINAL ISSUANCE DATE, 5/22/08. FORM 990, SCHEDULE K, PART I, COLUMN F DESCRIPTION OF PURPOSE FOR TAX-EXEMPT BONDS A. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY CP - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES. REFUND PRIOR COMMERCIAL PAPER NOTES ISSUED 5/2/2008 AND 3/24/2008 THAT WERE PART OF THE SAME PROGRAM. COSTS OF ISSUANCE. B. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY S - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES. REFUND CEFA SERIES L-8 ISSUED 10/30/2000, REFUND CEFA SERIES L-9 ISSUED 10/31/2001, REFUND CEFA TAX EXEMPT COMMERCIAL PAPER REVENUE NOTES ISSUED 3/18/03. CONVERSION OF SERIES S BONDS ON MAY 15, 2013 FROM VARIABLE RATE TO FIXED RATE AND CANCELLATION OF $9,790,000 AGGREGATE PRINCIPAL AMOUNT OF THE BONDS. COSTS OF ISSUANCE. C. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-1 AND T-3 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. REFUND CEFA TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES. COSTS OF ISSUANCE. D. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-5 - REFUND $59,180,000 OF CEFA SERIES P REVENUE BONDS - ISSUED MARCH 30, 1999. E. CALIFORNIA EDUCATIONAL FACILITES AUTHORITY U-1 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES, AND SYSTEMS. REFUND CEFA TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES. COSTS OF ISSUANCE. F. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-2 - REFUND TAXABLE COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES THAT WERE USED TO REFUND CEFA SERIES Q ISSUED ON 5/3/2001. COSTS OF ISSUANCE. G. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-3 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. REFUND CEFA TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES. COSTS OF ISSUANCE. H. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-4 - ADVANCE REFUND CEFA SERIES P BONDS ISSUED ON 3/30/1999. COSTS OF ISSUANCE. I. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-5 - REFUND TAXABLE COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES THAT WERE USED TO REFUND CEFA SERIES T-4 ISSUED ON MAY 15, 2008. J. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-6 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. REFUND TAX EXEMPT COMMERCIAL PAPER NOTES. FORM 990, SCHEDULE K, PART II COMMERCIAL PAPER DEBT FOR CEFA CP, PART II, LINE 3 IS THE MAXIMUM AMOUNT OF COMMERCIAL PAPER THAT IS AUTHORIZED UNDER THAT ISSUE. AT AUGUST 31, 2014, COMMERCIAL PAPER DEBT OUTSTANDING WAS $49,142,752. ADDITIONAL AMOUNTS SPENT REPRESENT INVESTMENT EARNINGS. FORM 990, SCHEDULE K, PART II, LINE 3 TOTAL PROCEEDS THE DIFFERENCE BETWEEN LINE 3 AND SCHEDULE K, PART I, COLUMN (E) AMOUNTS REPRESENTS INVESTMENT EARNINGS. FORM 990, SCHEDULE K, PART III REFINANCING CEFA SERIES T-5, U-2, U-4 & U-5 PROCEEDS WERE USED TO REFINANCE DEBT ISSUED PRIOR TO JANUARY 1, 2003. ACCORDINGLY, PART III IS NOT COMPLETED FOR THESE ISSUES. FORM 990, SCHEDULE K, PART III, LINES 4-5 PRIVATE BUSINESS USE STANFORD UNIVERSITY FINANCES ITS FACILITIES WITH A COMBINATION OF TAX-EXEMPT DEBT, TAXABLE DEBT, GIFTS AND OTHER UNIVERSITY FUNDS. OCCASIONALLY, SOME OF THESE FACILITIES WILL HOUSE ACTIVITIES THAT MAY CONSTITUTE "PRIVATE BUSINESS USE", AS DEFINED IN IRC SECTION 141. FOR INSTANCE, STANFORD MAY RENT A SMALL PORTION OF A FACILITY TO A FOR-PROFIT OPERATOR OF CAFETERIAS (PRIMARILY FOR THE CONVENIENCE OF FACULTY, STAFF, STUDENTS AND THEIR GUESTS). IN OTHER SITUATIONS, STANFORD MAY RECEIVE A GENEROUS CORPORATE GIFT TO FUND A PORTION OF A BUILDING AND MAY CHOOSE TO ACKNOWLEDGE SUCH GENEROSITY BY NAMING A CLASSROOM, LIBRARY OR AUDITORIUM IN HONOR OF THE CORPORATE DONOR. IN SUCH CASES, STANFORD ELECTS THE "UNDIVIDED PORTION ALLOCATION METHOD" DESCRIBED IN PROPOSED TREASURY REGULATION SECTION 1.141-D(6), AND THUS ALLOCATES SUCH "PRIVATE BUSINESS USE" FIRST TO THAT PORTION OF THE FACILITY FUNDED BY TAXABLE DEBT, GIFTS OR OTHER UNIVERSITY FUNDS. ACCORDINGLY, STANFORD REPORTS 0% AS THE PERCENTAGE OF FINANCED PROPERTY USED IN PRIVATE BUSINESS USE (PART III, QUESTION 4). IN ADDITION TO THE CONSTRUCTION COST OF BUILDINGS, TAX-EXEMPT DEBT ALSO FUNDED A SIGNIFICANT PORTION OF THE UNIVERSITY'S INFRASTRUCTURE, INCLUDING ROADS AND UNDERGROUND UTILITIES. THE PORTION OF THE FUNDING OF THESE IMPROVEMENTS BY SOURCES OTHER THAN TAX-EXEMPT DEBT AS A PERCENTAGE OF TOTAL FUNDING WAS WELL IN EXCESS OF THE MEASURED AMOUNT OF PRIVATE BUSINESS USE TO TOTAL USE. ACCORDINGLY, THE AMOUNTS REPORTED ON PART III, LINES 4 AND 5, FOR THE A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-1 521705592 130178VU7 2010-05-06 251631228 SEE SCHEDULE O false false false B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-2 521705592 130178M86 2012-04-17 99193766 SEE SCHEDULE O false false false C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-3 521705592 130178X76 2013-05-15 351795122 SEE SCHEDULE O false false false D CALIFORNIA EDUCATIONAL FACILITIES SERIES U-4 521705592 130178X84 2013-05-15 52773978 SEE SCHEDULE O false false false A 0 0 251878327 0 1309386 0 1631228 0 0 112490614 136447099 0 2012 true false true true B 0 0 99194474 0 0 0 572646 0 0 0 98621828 0 2003 true false true true C 0 0 351884550 0 5327382 0 1249348 0 0 339484863 5825277 0 2013 true false true true D 0 0 52773988 0 0 0 191291 0 0 0 52582697 0 2003 false true true true A false true false true true 0.00000 0.00000 0.00000 false false 0.00000 false true B 0 C false true false true true 0.00000 0.00000 0.00000 false false 0.00000 false true D 0 A false true true false false false 0 false 0 false true B false true true false false false 0 false 0 false true C false true false false false false 0 false 0 false true D false true true false false false 0 false 0 false true A true B true C true D true A CALIFORNIA EDUCATIONAL FACILITIES SERIES U-5 521705592 1301783X2 2014-05-14 150450962 SEE SCHEDULE O false false false B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY U-6 521705592 1301783W4 2014-05-14 350002728 SEE SCHEDULE O false false false A 0 0 150451763 0 0 0 2211 0 0 0 150449552 0 2014 true false true true B 0 0 350065369 0 87808 0 0 0 0 46384554 3071287 300521720 2014 true false false true A 0 B false true false true true 0.00000 0.00000 0.00000 false false 0.00000 false true A false true true false false false 0 false 0 false true B false true false false false false 0 false 0 false true A true B true BOND ISSUANCE COSTS (BIC) AS A PERCENTAGE OF THE TOTAL PROCEEDS BY BOND ISSUE ARE: ISSUE: BIC% CEFA CP 0.0000% CEFA SERIES S 0.5476% CEFA SERIES T-1 0.4314% CEFA SERIES T-5 0.0028% CEFA SERIES U-1 0.6483% CEFA SERIES U-2 0.5773% CEFA SERIES U-3 0.3551% CEFA SERIES U-4 0.3625% CEFA SERIES U-5 0.0015% CEFA SERIES U-6 0.0000% FORM 990, SCHEDULE K, PART IV FORM 8038-T: DURING THE PERIODS SINCE THESE BONDS WERE ISSUED, THE INTEREST COST ON THE BONDS HAS EXCEEDED THE INVESTMENT RETURN ON ANY UNSPENT PROCEEDS. ACCORDINGLY, NO FORM 8038-T HAS BEEN ISSUED. FORM 990, SCHEDULE K, PART IV, LINE 2(C) REBATE CALCULATIONS B. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY S HAD A REBATE CALCULATION PERFORMED ON DECEMBER 3, 2007. C. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-1 AND T-3 HAD A REBATE CALCULATION PERFORMED ON JULY 21, 2010. PHILIP PIZZO FORMER KEY EMPLOYEE HOUSING X 1211800 1146955 false true true PHILIP PIZZO FORMER KEY EMPLOYEE HOUSING X 1500000 1500000 false true true RICHARD SALLER KEY EMPLOYEE HOUSING X 25000 25000 false true true RICHARD SALLER KEY EMPLOYEE HOUSING X 300000 90000 false true true RICHARD SALLER KEY EMPLOYEE HOUSING X 300000 250000 false true true MARTIN SHELL OFFICER HOUSING X 1000000 900000 false true true LLOYD MINOR KEY EMPLOYEE HOUSING X 719466 719466 false true true LLOYD MINOR KEY EMPLOYEE HOUSING X 780534 780534 false true true LLOYD MINOR KEY EMPLOYEE HOUSING X 1150000 1150000 false true true LLOYD MINOR KEY EMPLOYEE HOUSING X 700000 700000 false true true LLOYD MINOR KEY EMPLOYEE HOUSING X 1695000 1684732 false true true DAVID SHAW HIGHEST COMPENSATED HOUSING X 700000 700000 false true true THOMAS KRUMMEL HIGHEST COMPENSATED HOUSING X 500000 500000 false true true 10146687 IBM Corporation SEE PART V 804081 PURCHASES OF GOODS & SERVICES false GOOGLE SEE PART V 1627785 PURCHASES OF GOODS & SERVICES false CISCO SYSTEMS INC SEE PART V 6732110 PURCHASES OF GOODS & SERVICES false PACIFIC BIOSCIENCES INC SEE PART V 395897 PURCHASES OF GOODS & SERVICES false COSTCO WHOLESALE INC SEE PART V 382278 PURCHASES OF GOODS & SERVICES false THOMSON REUTERS CORPORATION SEE PART V 403178 PURCHASES OF GOODS & SERVICES false ALTAMONT CAPITAL PARTNERS SEE PART V 55907993 INVESTMENTS false MORGAN STANLEY SEE PART V 227671 BROKERAGE SERVICES false OAK HILL CAPITAL PARTNERS SEE PART V 73373352 INVESTMENTS false KLEINER PERKINS CAUFIELD AND BYERS SEE PART V 83509768 INVESTMENTS false GENERAL ATLANTIC PARTNERS SEE PART V 136100065 INVESTMENTS false PACIFIC INVESTMENT MANAGEMENT CO SEE PART V 40410981 INVESTMENTS, INVEST MANAGEMENT false JEANNE MARIE DAVILA SEE PART V 181546 COMPENSATION false THOMAS BYERS SEE PART V 393275 COMPENSATION false BETH MCLELLAN SEE PART V 83923 COMPENSATION false PART II - LOANS TO AND/OR FROM INTERESTED PERSONS AS LISTED ON ATTACHMENT I, EACH LOAN TO AN INTERESTED PERSON IS MADE FROM STANFORD TO THE INDIVIDUAL (COLUMN D). NONE OF THE LOANS IS IN DEFAULT (COLUMN G). ALL LOANS HAVE BEEN APPROVED BY THE BOARD OF TRUSTEES (COLUMN H) AND FOR EACH LOAN ISSUED, THERE EXISTS A WRITTEN AGREEMENT BETWEEN STANFORD AND THE BORROWER (COLUMN I). MORTGAGE TERMS GOVERN THE CALCULATION AND PAYMENT OF INTEREST WHICH APPROXIMATE MARKET RATES. PURSUANT TO PROGRAMS INTENDED TO FACILITATE HOUSING FOR EMPLOYEES, THE UNIVERSITY HOLDS MORTGAGES AND LEASEHOLDS ON CERTAIN HOUSES ON OR NEAR CAMPUS OWNED AND OCCUPIED BY EMPLOYEES AND THEIR FAMILIES, WHICH, FROM TIME TO TIME, COULD INCLUDE OFFICERS AND KEY EMPLOYEES OF THE UNIVERSITY. PART III - GRANTS OR ASSISTANCE BENEFITING INTERESTED PERSONS THESE DISCLOSURES DO NOT INCLUDE TRANSACTIONS IN WHICH A TRUSTEE, OFFICER, OR FAMILY MEMBER THEREOF PAYS TUITION, ROOM AND/OR BOARD COSTS OR RECEIVES FINANCIAL AID, WORK/STUDY ASSISTANCE, AND/OR RESEARCH GRANTS FOR A STUDENT AT THE UNIVERSITY, AS SUCH AMOUNTS WOULD BE IN ACCORDANCE WITH FINANCIAL AID OR GRANT PRACTICES AND ARE PROTECTED UNDER FERPA. PART IV - BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS AS DESCRIBED IN FURTHER DETAIL ON FORM 990, SCHEDULE O, THE UNIVERSITY HAS A WRITTEN CONFLICT OF INTEREST POLICY THAT REQUIRES, AMONG OTHER THINGS, THAT NO MEMBER OF THE BOARD CAN PARTICIPATE IN ANY DECISION IN WHICH HE OR SHE (OR AN IMMEDIATE FAMILY MEMBER) HAS A MATERIAL FINANCIAL INTEREST. EACH TRUSTEE IS REQUIRED TO CERTIFY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY ON AN ANNUAL BASIS AND INDICATE WHETHER THE UNIVERSITY DOES BUSINESS WITH AN ENTITY IN WHICH THE TRUSTEE HAS A MATERIAL FINANCIAL INTEREST. SIMILARLY, FOR SENIOR MANAGEMENT, THE UNIVERSITY REQUIRES ANNUAL DISCLOSURE OF SIGNIFICANT FINANCIAL INTERESTS IN, OR EMPLOYMENT OR CONSULTING RELATIONSHIPS WITH, ENTITIES DOING BUSINESS WITH THE UNIVERSITY. THESE ANNUAL DISCLOSURES COVER BOTH SENIOR MANAGEMENT AND THEIR IMMEDIATE FAMILY MEMBERS. WHEN SUCH RELATIONSHIP EXISTS, MEASURES ARE TAKEN TO MITIGATE ANY ACTUAL OR PERCEIVED CONFLICT, INCLUDING REQUIRING THAT SUCH TRANSACTIONS BE CONDUCTED AT ARM'S LENGTH, FOR GOOD AND SUFFICIENT CONSIDERATION, BASED ON TERMS THAT ARE FAIR AND REASONABLE TO AND FOR THE BENEFIT OF THE UNIVERSITY. MEMBERS OF THE BOARD OF DIRECTORS OF STANFORD MANAGEMENT COMPANY ("SMC") ARE ALSO COVERED UNDER THE SMC BOARD'S CONFLICT OF INTEREST POLICY, WHICH GENERALLY PROHIBITS SMC FROM ENTERING INTO AN INVESTMENT TRANSACTION IN WHICH A DIRECTOR OR A MEMBER OF HIS OR HER IMMEDIATE FAMILY HAS A MATERIAL DIRECT OR INDIRECT FINANCIAL INTEREST. SMC WAS ESTABLISHED BY THE UNIVERSITY'S BOARD OF TRUSTEES AS AN UNINCORPORATED DIVISION OF THE UNIVERSITY. SMC IS GOVERNED BY A "BOARD OF DIRECTORS" THAT IS DELEGATED AUTHORITY BY, AND IS SUBJECT TO THE DIRECTION AND CONTROL OF, THE UNIVERSITY'S BOARD OF TRUSTEES. THE PRIMARY PURPOSE OF SMC IS TO PROVIDE INVESTMENT MANAGEMENT SERVICES FOR THE UNIVERSITY'S ENDOWMENT AND CERTAIN OTHER UNIVERSITY INVESTMENT ASSETS. AS OF AUGUST 31, 2014 THERE WERE 11 MEMBERS OF SMC'S BOARD OF DIRECTORS, OF WHICH 4 WERE TRUSTEES OF THE UNIVERSITY. MEMBERS OF THE BOARD OF DIRECTORS OF SMC ARE SUBJECT TO SMC'S WRITTEN CONFLICT OF INTEREST POLICY AND MUST CERTIFY COMPLIANCE WITH THE POLICY ON AN ANNUAL BASIS. SUBJECT TO THE POLICIES AND PROVISIONS OUTLINED ABOVE, AND WITHIN A WELL-DIVERSIFIED PORTFOLIO OF OVER 600 INDIVIDUAL ALTERNATIVE INVESTMENTS THAT SPAN MOST REGIONS OF THE WORLD AND MOST OF THE APPROPRIATE ASSET CLASSES FOR INVESTMENTS OF THIS NATURE, THE UNIVERSITY MAY FROM TIME TO TIME INVEST ASSETS IN CERTAIN PARTNERSHIPS IN WHICH A TRUSTEE HAS A DIRECT OR INDIRECT PARTNERSHIP INTEREST. SUCH INVESTMENTS ARE MADE BASED ON COMPELLING HISTORICAL PERFORMANCE AND TRACK RECORDS OF THE MANAGERS. IN THE YEAR ENDED AUGUST 31, 2014, TRANSACTIONS WITH THE FOLLOWING INTERESTED PERSONS ROSE TO THE LEVEL OF DISCLOSURE REQUIRED BY THE IRS: (A) NAME OF THE INTERESTED PERSON: IBM CORPORATION (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: WILLIAM BRODY, TRUSTEE, IS A DIRECTOR OF IBM CORPORATION (C) AMOUNT OF TRANSACTION: $804,081 (D) DESCRIPTION OF TRANSACTION: PURCHASES OF GOODS & SERVICES (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: GOOGLE (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: JOHN HENNESSY, PRESIDENT AND TRUSTEE AND KAVITARK RAM SHRIRAM, TRUSTEE ARE DIRECTORS OF GOOGLE (C) AMOUNT OF TRANSACTION: $1,627,785 (D) DESCRIPTION OF TRANSACTION: PURCHASES OF GOODS & SERVICES (E) SHARING OF ORGANIZATION'S REVENUES? NO IN ADDITION TO PURCHASES OF GOODS AND SERVICES DESCRIBED ABOVE, AND CONSISTENT WITH THE UNIVERSITY MISSION OF SHARING AND DISSEMINATING KNOWLEDGE, STANFORD PROVIDED BOOKS TO THE GOOGLE BOOK SEARCH PROJECT, WHICH IS CURRENTLY THE SUBJECT OF LITIGATION. TO DATE, GOOGLE HAS SCANNED APPROXIMATELY 3 MILLION BOOKS OWNED BY STANFORD AT NO COST TO STANFORD. PRESIDENT HENNESSY AND TRUSTEE SHRIRAM HAVE NOT BEEN INVOLVED IN ANY OF THE NEGOTIATIONS OR DECISIONS INVOLVING THE GOOGLE BOOK SEARCH PROJECT. (A) NAME OF THE INTERESTED PERSON: CISCO SYSTEMS, INC. (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: JOHN HENNESSY, PRESIDENT AND TRUSTEE IS A DIRECTOR OF CISCO SYSTEMS, INC. (C) AMOUNT OF TRANSACTION: $6,732,110 (D) DESCRIPTION OF TRANSACTION: PURCHASES OF GOODS & SERVICES (E) SHARING OF ORGANIZATION'S REVENUES? NO THE UNIVERSITY PURCHASES GOODS AND SERVICES FROM CISCO AND GOOGLE IN THE NORMAL COURSE OF BUSINESS AND ALL PURCHASES ARE MADE, AT ARM'S LENGTH, IN ACCORDANCE WITH STANFORD PROCUREMENT POLICIES AND PROCEDURES. PRESIDENT HENNESSY DOES NOT PARTICIPATE IN ANY DECISIONS WITH RESPECT TO THESE COMPANIES. (A) NAME OF THE INTERESTED PERSON: PACIFIC BIOSCIENCES, INC. (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: BROOK BYERS, TRUSTEE AND RANDALL LIVINGSTON, OFFICER ARE DIRECTORS OF PACIFIC BIOSCIENCES, INC. (C) AMOUNT OF TRANSACTION: $395,897 (D) DESCRIPTION OF TRANSACTION: PURCHASES OF GOODS & SERVICES (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: COSTCO WHOLESALE, INC. (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: JEFFREY RAIKES, TRUSTEE IS A DIRECTOR OF COSTCO WHOLESALE CORPORATION (C) AMOUNT OF TRANSACTION: $382,278 (D) DESCRIPTION OF TRANSACTION: PURCHASES OF GOODS & SERVICES (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: THOMSON REUTERS CORPORATION (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: STEVEN DENNING, TRUSTEE, IS A DIRECTOR OF THOMSON REUTERS CORPORATION (C) AMOUNT OF TRANSACTION: $403,178 (D) DESCRIPTION OF TRANSACTION: PURCHASES OF GOODS & SERVICES (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: ALTAMONT CAPITAL PARTNERS (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: MINDY ROGERS, TRUSTEE, IS A FAMILY MEMBER OF THE MANAGING DIRECTOR OF ALTAMONT CAPITAL PARTNERS (C) AMOUNT OF TRANSACTION: $55,907,993 THE ABOVE AMOUNT IS THE TOTAL AMOUNT INVESTED BY STANFORD IN ALTAMONT CAPITAL PARTNERS FUNDS AS OF THE END OF THE TAX YEAR AND REPRESENTS 0.20% OF STANFORD'S TOTAL INVESTMENTS AS OF THE END OF THE TAX YEAR. (D) DESCRIPTION OF TRANSACTION: INVESTMENTS (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: MORGAN STANLEY (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: RUTH PORAT, TRUSTEE, WAS THE CFO OF MORGAN STANLEY. (C) AMOUNT OF TRANSACTION: $227,671 (D) DESCRIPTION OF TRANSACTION: BROKERAGE SERVICES (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: OAK HILL CAPITAL PARTNERS (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: ROBERT BASS, TRUSTEE IS THE FOUNDER AND A LEAD INVESTOR IN OAK HILL CAPITAL PARTNERS (C) AMOUNT OF TRANSACTION: $73,373,352 THE ABOVE AMOUNT IS THE TOTAL AMOUNT INVESTED BY STANFORD IN OAK HILL CAPITAL PARTNERS FUNDS AS OF THE END OF THE TAX YEAR AND REPRESENTS 0.26% OF STANFORD'S TOTAL INVESTMENTS AS OF THE END OF THE TAX YEAR. (D) DESCRIPTION OF TRANSACTION: INVESTMENTS (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: KLEINER PERKINS CAUFIELD AND BYERS (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: BROOK BYERS, TRUSTEE, IS THE CO-FOUNDER OF AND PARTNER IN KLEINER PERKINS CAUFIELD AND BYERS. (C) AMOUNT OF TRANSACTION: $83,509,768 THE ABOVE AMOUNT IS THE TOTAL AMOUNT INVESTED BY STANFORD IN KLEINER PERKINS CAUFIELD AND BYERS FUNDS AS OF THE END OF THE TAX YEAR AND REPRESENTS 0.30% OF STANFORD'S TOTAL INVESTMENTS AS OF THE END OF THE TAX YEAR. (D) DESCRIPTION OF TRANSACTION: INVESTMENTS (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: GENERAL ATLANTIC PARTNERS (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: STEVEN DENNING, TRUSTEE, IS THE CHAIRMAN OF GENERAL ATLANTIC (C) AMOUNT OF TRANSACTION: $136,100,065 THE ABOVE AMOUNT IS THE TOTAL AMOUNT INVESTED BY STANFORD IN GENERAL ATLANTIC PARTNERS FUNDS AS OF THE END OF THE TAX YEAR AND REPRESENTS 0.48% OF STANFORD'S TOTAL INVESTMENTS AS OF THE END OF THE TAX YEAR. (D) DESCRIPTION OF TRANSACTION: INVESTMENTS (E) SHARING OF ORGANIZATION'S REVENUES? NO (A) NAME OF THE INTERESTED PERSON: PACIFIC INVESTMENT MANAGEMENT COMPANY (B) RELATIONSHIP BETWEEN THE INTERESTED PERSON AND THE ORGANIZATION: DEBORAH DECOTIS, TRUSTEE IS A DIRECTOR OF PIMCO (C) AMOUNT OF TRANSACTION: $40,410,981 THE ABOVE AMOUNT IS THE SUM OF THE TOTAL AMOUNT INVESTED BY STANFORD IN PIMCO FUNDS AS OF THE END OF THE TAX YEAR AND INVESTMENT MANAGEMENT FEES PAID BY STANFORD TO PIMCO DURING THE TAX YEAR. (D) DESCRIPTION OF TRANSACTION: INVESTMENTS, INVESTMENT MANAGEMENT (E) SHARING OF ORGANIZATION'S REVENUES? NO CERTAIN STANFORD EMPLOYEES HAVE A FAMILY RELATIONSHIP WITH A LISTED PERSON. IN THE CASES REPORTED BELOW, SUCH EMPLOYEES HAD BEEN EMPLOYED BY STANFORD PRIOR TO APPOINTMENT OF THE LISTED PERSON TO THE POSITION OF OFFICER OR TRUSTEE AND, IN NO CASE, WAS THE LISTED PERSON RESPONSIBLE FOR THE COMPENSATION, DIRECTION, EVALUATION OR CONTINUE X 96 N/A X 4 58130 RESALE VALUE X 2251 234862030 FAIR MARKET VALUE X 5 3019661 FAIR VALUE X 33 5234813 FAIR VALUE X 3 198332 APPRAISAL X 2 576870 APPRAISAL X 229 N/A X HORSES 6 0 N/A X MUSICAL INSTRUMENTS 5 200253 FAIR MARKET VALUE X COMPUTERS 2 134100 FAIR MARKET VALUE X OTHER EQUIPMENT 10 734193 FAIR MARKET VALUE 53 false true true SCHEDULE M, PART I IN COLUMN B, STANFORD IS REPORTING THE NUMBER OF ITEMS CONTRIBUTED. IN THE CASE OF SECURITIES, STANFORD IS REPORTING THE NUMBER OF CONTRIBUTIONS. LINE 32A, USE OF THIRD-PARTY - STANFORD MAY, FROM TIME TO TIME, ENGAGE THIRD PARTIES (E.G., REAL ESTATE BROKERS) TO SELL CERTAIN NON-CASH CONTRIBUTIONS. LINE 33, NON-CASH CONTRIBUTIONS - WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS, ARTIFACTS, AND THE LIKE, WHICH ARE PRESERVED AND PROTECTED FOR EDUCATIONAL, RESEARCH AND PUBLIC EXHIBITION PURPOSES, ARE NOT CAPITALIZED. DONATIONS OF SUCH COLLECTIONS ARE NOT RECORDED FOR FINANCIAL STATEMENT PURPOSES. FORM 990, PAGE 1, LINE K FORM OF ORGANIZATION THE LELAND STANFORD JUNIOR UNIVERSITY WAS FOUNDED BY SENATOR AND MRS. LELAND STANFORD ON NOVEMBER 11, 1885, IN MEMORY OF THEIR ONLY CHILD, LELAND, JR. THE FOUNDING WAS ACCOMPLISHED BY A GRANT OF ENDOWMENT, KNOWN AS THE FOUNDING GRANT, WHICH CONVEYED IN TRUST TO A BOARD OF TRUSTEES CERTAIN PROPERTIES, DIRECTED THAT A UNIVERSITY BE ESTABLISHED AND OUTLINED THE OBJECTIVES AND GOVERNMENT OF THE UNIVERSITY. SUBSEQUENT LEGISLATION IN THE STATE OF CALIFORNIA GRANTED THE UNIVERSITY CORPORATE POWERS EFFECTIVE 1901. ACCORDINGLY, STANFORD HAS ELECTED TO BE TREATED AS A CORPORATION FOR THE PURPOSES OF THE ADMINISTRATION OF FEDERAL AND STATE INCOME TAX LAW. FORM 990, PART I, LINE 6 VOLUNTEERS THERE ARE THOUSANDS OF ALUMNI AND FRIENDS OF STANFORD UNIVERSITY WHO VOLUNTEERED THEIR SERVICES TO STANFORD OVER THE COURSE OF THE YEAR. EXAMPLES OF THE WIDE SPECTRUM OF VOLUNTEER SERVICES INCLUDE SERVING AS A MEMBER OF THE BOARD OF TRUSTEES OF THE UNIVERSITY, SERVING ON A FUNDRAISING COMMITTEE, AND SERVING ON AN ADVISORY BOARD OF AN INSTITUTE. WHILE STANFORD DOES NOT FORMALLY TRACK THE TOTAL NUMBER OF VOLUNTEERS, IT ESTIMATES THAT APPROXIMATELY 11,000 ALUMNI VOLUNTEERED DURING THE TAX YEAR. Form 990, Parts I and III, Line 1 Organization's Mission - CONTINUED FROM PART I, LINE 1 & PART III, LINE 1 STANFORD IS INTERNATIONALLY RECOGNIZED FOR THE QUALITY OF ITS TEACHING AND RESEARCH, ITS DISTINGUISHED FACULTY, AND ITS OUTSTANDING STUDENT BODY. IN THE YEARS SINCE ITS FOUNDING IN 1885, STANFORD HAS GROWN TO OVER 2,100 FACULTY MEMBERS AND AN ENROLLMENT OF APPROXIMATELY 7,000 UNDERGRADUATE AND 9,100 GRADUATE STUDENTS. THE OBJECTIVE AND PURPOSES OF STANFORD UNIVERSITY, JANE AND LELAND STANFORD WROTE IN THEIR FOUNDING GRANT IN 1885, ARE "TO QUALIFY ITS STUDENTS FOR PERSONAL SUCCESS, AND DIRECT USEFULNESS IN LIFE; ... TO PROMOTE THE PUBLIC WELFARE BY EXERCISING AN INFLUENCE IN BEHALF OF HUMANITY AND CIVILIZATION, TEACHING THE BLESSINGS OF LIBERTY REGULATED BY LAW, AND INCULCATING LOVE AND REVERENCE FOR THE GREAT PRINCIPLES OF GOVERNMENT AS DERIVED FROM THE INALIENABLE RIGHTS OF MAN TO LIFE, LIBERTY, AND THE PURSUIT OF HAPPINESS." FORM 990, PART III, LINE 4A STATEMENT OF PROGRAM SERVICE ACCOMPLISHMENTS, CONTINUED FROM PAGE 3 (EXPENSES $1,492,359,889 INCLUDING GRANTS OF $34,980,642, REVENUE $719,761,507) INSTRUCTION AND DEPARTMENTAL RESEARCH: INCLUDES THE SALARIES, FRINGE BENEFITS AND SUPPLIES NECESSARY TO TEACH 16,136 STUDENTS, INCLUDING 7,018 UNDERGRADUATE AND 9,118 GRADUATE AND PROFESSIONAL SCHOOL STUDENTS. STANFORD'S 2,118-PERSON FACULTY INCLUDES 21 NOBEL PRIZE WINNERS AND FIVE PULITZER PRIZE WINNERS. STANFORD HAS SEVEN SCHOOLS: BUSINESS, EARTH, ENERGY & ENVIRONMENTAL SCIENCES (F/K/A EARTH SCIENCES), EDUCATION, ENGINEERING, HUMANITIES AND SCIENCES, LAW, AND MEDICINE. UNDERGRADUATES CHOOSE AMONG 60 MAJORS AND ARE ENCOURAGED TO LEARN CRITICAL THINKING SKILLS THROUGH RESEARCH. STANFORD STRIVES FOR CLOSE INTERACTION WITH FACULTY TO PREPARE STUDENTS TO BE TOMORROW'S LEADERS. FORM 990, PART III, LINE 4B (EXPENSES $1,075,576,597 INCLUDING GRANTS OF $21,843,993, REVENUE "NON PUBLIC" ONLY $230,055,514; AMOUNT EXCLUDES FEDERAL RESEARCH SUPPORT) ORGANIZED RESEARCH: RESEARCH IS INTEGRAL TO THE EDUCATIONAL MISSION OF STANFORD AND INVOLVES FACULTY, GRADUATE STUDENTS, AND UNDERGRADUATES WHO SEEK NEW KNOWLEDGE IN SERVICE TO HUMANITY. STANFORD FACULTY MEMBERS HAVE CONTRIBUTED TO ADVANCEMENTS IN HIGH TECHNOLOGY, INCLUDING THE CREATION OF DIGITAL SUBSCRIBER LINES, IDENTITY-BASED ENCRYPTION, GLOBAL POSITIONING SYSTEMS AND THE REDUCED INSTRUCTION SET COMPUTER, AMONG OTHER DISCOVERIES; DISEASE IDENTIFICATION AND MANAGEMENT, INCLUDING PROGRAMS USED BY MORE THAN 500 ORGANIZATIONS WORLDWIDE CONCERNED WITH CHRONIC HEALTH PROBLEMS SUCH AS ARTHRITIS AND HIV/AIDS; AND GENOME SEQUENCING, INCLUDING DISCOVERIES THAT CREATED THE FIELD OF GENETIC ENGINEERING. TODAY'S STANFORD FACULTY MEMBERS ARE LEADERS IN NEUROSCIENCE, ENERGY, STEM CELL RESEARCH, NANOTECHNOLOGY, BIOENGINEERING, COMPUTING TECHNOLOGY, REFORM OF OUR NATION'S SCHOOLS AND ENVIRONMENTAL SUSTAINABILITY. THROUGH BOTH BASIC AND APPLIED RESEARCH, STANFORD IS COMMITTED TO PROVIDING NEW KNOWLEDGE THAT FUELS OUR NATIONAL ECONOMY AND TO TRAINING GRADUATE STUDENTS WHO WILL BECOME TOMORROW'S TEACHERS AND RESEARCHERS. ENTREPRENEURIAL STANFORD FACULTY MEMBERS ARE KNOWN FOR THEIR ABILITY TO CROSS INTERDISCIPLINARY BOUNDARIES TO CREATE TEAMS OF RESEARCHERS ABLE TO PROVIDE NEW INSIGHTS TO COMPLEX, WORLDWIDE PROBLEMS. FORM 990, PART III, LINE 4C (EXPENSES $896,358,713 INCLUDING GRANTS OF $1,254,656, REVENUE $848,817,699) UNIVERSITY AUXILIARY ACTIVITIES: INCLUDES AMONG OTHERS PATIENT CARE, RESIDENTIAL & DINING ENTERPRISES (R&DE), AND INTER-COLLEGIATE ATHLETIC PROGRAMS. STANFORD SCHOOL OF MEDICINE FACULTY MEMBERS ARE HEALTH-CARE PRACTITIONERS AS WELL AS TEACHERS, COMBINING EXPERTISE HONED BY RESEARCH WITH THE MOST ADVANCED TECHNOLOGY TO TREAT PATIENTS AT STANFORD HEALTH CARE AND THE LUCILE PACKARD CHILDREN'S HOSPITAL. STANFORD FACULTY PROVIDE APPROXIMATELY 84 PERCENT OF THE PATIENT CARE AT STANFORD HEALTH CARE AND 96 PERCENT OF THE PEDIATRIC CARE AT LUCILE PACKARD CHILDREN'S HOSPITAL. RESIDENTIAL & DINING ENTERPRISES (R&DE) IS THE STEWARD FOR A $1.7 BILLION ASSET PORTFOLIO COMPRISING ONE-THIRD OF STANFORD'S PHYSICAL PLANT (OVER 1/3 OF CAMPUS) AND GENERATES REVENUES PRIMARILY THROUGH STUDENT ROOM AND BOARD, CONFERENCE FEES, AND OTHER ENTERPRISES. R&DE HOUSES 6,503 UNDERGRADUATE STUDENTS (96% OF TOTAL UNDERGRADUATE STUDENTS ELIGIBLE FOR HOUSING, EXCLUDING OVERSEAS) AND 5,477 GRADUATE STUDENTS (62% OF TOTAL GRADUATE STUDENTS ELIGIBLE FOR HOUSING) AND SERVES OVER 6.5M MEALS ANNUALLY TO STUDENTS (4,053 UNDERGRADUATE MEAL PLANS AND 4,250 GRADUATE STUDENTS PURCHASING VOLUNTARY MEALS). R&DE COMPLEMENTS STANFORD'S PREMIER ACADEMIC PROGRAMS WITH A ROBUST RESIDENTIAL LIVING AND LEARNING ENVIRONMENT. THE UNIVERSITY AND R&DE HAVE BEEN INVESTING IN THE RESIDENTIAL EDUCATION PROGRAM TO FOSTER AN ENVIRONMENT OF INTELLECTUAL, EDUCATIONAL, AND COMMUNITY-BUILDING ACTIVITIES IN STUDENT RESIDENCES. FORM 990, PART III, LINE 4D OTHER PROGRAM SERVICES (EXPENSES $644,217,432 INCLUDING GRANTS OF $355,258,811, REVENUE $402,714,638) ACADEMIC SUPPORT AND PUBLIC SERVICE $352,633,506 STUDENT FINANCIAL AID $248,847,732 SLAC CONSTRUCTION AND OTHER $42,736,194 ______________ TOTAL OTHER PROGRAM SERVICE EXPENSES $644,217,432 ACADEMIC SUPPORT AND PUBLIC SERVICE: STANFORD SUPPORTS 20 LIBRARIES. THE COLLECTIONS OF BOOKS, JOURNALS, SCORES AND PRINTED REFERENCE WORKS COMPRISE MORE THAN 9.3 MILLION PHYSICAL VOLUMES, 1.5 MILLION E-BOOKS, 2.5 MILLION AUDIOVISUAL MATERIALS, MORE THAN 77,000 SERIALS, THOUSANDS OF OTHER DIGITAL RESOURCES AND NEARLY 6 MILLION MICROFORM HOLDINGS. SPECIAL COLLECTIONS INCLUDE ABOUT 300,000 RARE BOOKS AND MORE THAN 59 MILLION PAGES OF MATERIALS. THE STANFORD UNIVERSITY INFORMATION TECHNOLOGY NETWORK AND INFRASTRUCTURE INCLUDES MORE THAN 250,000 ACTIVE DEVICES WITH ASSIGNED INTERNET PROTOCOL ADDRESSES. STANFORD UNIVERSITY NETWORK TRANSPORTS 38 TERABYTES OF INCOMING DATA AND 26 TERABYTES OF DATA OUTGOING BETWEEN STANFORD AND THE INTERNET EACH DAY. STUDENT SERVICES INCLUDE, AMONG OTHERS, THE DEAN OF STUDENT LIFE OFFICE, THE REGISTRAR, THE ADMISSIONS OFFICE, THE FINANCIAL AID OFFICE, AND THE OFFICE FOR RELIGIOUS LIFE. STUDENT FINANCIAL AID: INCLUDES MERIT AND NEED-BASED SCHOLARSHIPS AND FELLOWSHIPS. SLAC CONSTRUCTION AND OTHER: THE UNIVERSITY MANAGES AND OPERATES THE SLAC NATIONAL ACCELERATOR LABORATORY FOR THE U.S. DEPARTMENT OF ENERGY ("DOE") UNDER A MANAGEMENT AND OPERATING CONTRACT. REVENUES AND EXPENDITURES ARE INCLUDED IN STANFORD'S FINANCIAL STATEMENTS; ASSETS AND LIABILITIES ARE OWNED BY DOE AND THEREFORE CARRIED ON DOE'S BOOKS. ACCORDINGLY, CONSTRUCTION EXPENDITURES ARE RECORDED AS EXPENDITURES HEREIN. FORM 990 PART IV, LINES 12A AND 12B HOW THE FINANCIAL STATEMENTS WERE AUDITED STANFORD'S CONSOLIDATED FINANCIAL STATEMENTS AS OF AND FOR THE YEARS ENDED AUGUST 31, 2014 AND AUGUST 31, 2013 WERE AUDITED BY THE ACCOUNTING FIRM OF PRICEWATERHOUSECOOPERS ("PWC"). AS REQUIRED BY GENERALLY ACCEPTED ACCOUNTING PRINCIPLES, THE UNIVERSITY'S FINANCIAL STATEMENTS ARE PREPARED ON A CONSOLIDATED BASIS AND INCLUDE THE UNIVERSITY ACCOUNTS AND THOSE OF STANFORD HEALTH CARE AND THE LUCILE SALTER PACKARD CHILDREN'S HOSPITAL AT STANFORD ("THE HOSPITALS"). THE FINANCIAL STATEMENTS DISCLOSE SEPARATELY THE ACCOUNTS OF THE UNIVERSITY FROM THOSE OF THE HOSPITALS. UNDER SEPARATE COVER, THE HOSPITALS PROVIDE AUDITED FINANCIAL STATEMENTS OF THEIR OWN ACCOUNTS. PWC UTILIZES SEPARATE AUDIT TEAMS TO CONDUCT THE AUDIT ENGAGEMENTS OF STANFORD AND THE HOSPITALS. EACH AUDIT IS CONDUCTED BY QUALIFIED PROFESSIONAL ACCOUNTANTS WITH AUDIT PLANS DESIGNED FROM THE SEPARATE ACCOUNTS FOR THE RESPECTIVE ENTITIES, IN ACCORDANCE WITH GENERALLY ACCEPTED AUDITING STANDARDS. FORM 990, PART V, LINE 4B STANFORD HAS AN INTEREST IN OR SIGNATURE AUTHORITY OVER BANK OR INVESTMENT ACCOUNTS IN THE FOLLOWING COUNTRIES: AUSTRALIA; AUSTRIA; BELGIUM; BERMUDA; BRAZIL; BRITISH VIRGIN ISLANDS; CANADA; CAYMAN ISLANDS; CHANNEL ISLANDS; CHILE; CHINA; CZECH REPUBLIC; DENMARK; FINLAND; FRANCE; GERMANY; GHANA; GIBRALTAR; GREECE; HONG KONG; HUNGARY; INDIA; INDONESIA; IRELAND; ISLE OF MAN; ISRAEL; ITALY; JAPAN; LIECHTENSTEIN; LUXEMBOURG; MALAYSIA; MARSHALL ISLANDS; MAURITIUS; MEXICO; NETHERLANDS; NEW ZEALAND; NORWAY; PHILIPPINES; PORTUGAL; SINGAPORE; SOUTH AFRICA; SOUTH KOREA; SPAIN; SWEDEN; SWITZERLAND; TAIWAN; THAILAND; TURKEY; UNITED KINGDOM. FORM 990, PART VI, SECTION A, LINE 2 BUSINESS RELATIONSHIPS THE FOLLOWING INDIVIDUALS LISTED ON PART VII HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER: - JOHN HENNESSY AND KAVITARK RAM SHRIRAM ARE BOTH DIRECTORS OF GOOGLE. - BROOK H. BYERS AND RANDALL LIVINGSTON ARE BOTH DIRECTORS OF PACIFIC BIOSCIENCES, INC. - BROOK H. BYERS IS A DIRECTOR OF ENJOY, WHERE RONALD B. JOHNSON SERVES AS CHIEF EXECUTIVE OFFICER. - ISAAC STEIN IS A DIRECTOR OF IRVINE FOUNDATION, WHERE JAMES E. CANALES SERVED AS CHIEF EXECUTIVE OFFICER IN THE TAX YEAR. FORM 990, PART VI, SECTION A, LINE 4 CHANGES IN THE BYLAWS THE UNIVERSITY'S BYLAWS WERE AMENDED IN FY 13 TO INCREASE THE MAXIMUM NUMBER OF TRUSTEES FROM 35 TO 38 AND TO INCREASE THE MAXIMUM NUMBER OF TRUSTEES ELECTED PURSUANT TO THE BOARD'S GENERAL ELECTION PROCEDURE FROM 26 TO 29. FORM 990, PART VI, SECTION B, LINES 11A & B REVIEW OF THE FORM 990 THE FORM 990 IS PREPARED BY THE UNIVERSITY'S TAX DEPARTMENT IN CONSULTATION WITH THE OFFICE OF GENERAL COUNSEL, PAYROLL AND OTHER UNIVERSITY DEPARTMENTS. THE RETURN IS REVIEWED BY EXTERNAL ACCOUNTANTS, OUTSIDE COUNSEL, AND SENIOR MANAGEMENT. THE RETURN IS THEN DISTRIBUTED TO THE AUDIT AND COMPLIANCE COMMITTEE OF THE BOARD FOR THEIR REVIEW IN ADVANCE OF THE COMMITTEE MEETING. THE COMMITTEE IS OFFERED AN OPPORTUNITY TO ASK QUESTIONS OF THE TAX DIRECTOR AND THE CONTROLLER BOTH AT THE MEETING AND ANYTIME THEREAFTER. SUBSEQUENT TO THE MEETING, A COMPLETE COPY OF THE FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST MEMBERS OF THE UNIVERSITY'S BOARD OF TRUSTEES ("TRUSTEES"), OFFICERS AND FACULTY MAY, FROM TIME TO TIME, BE ASSOCIATED, EITHER DIRECTLY OR INDIRECTLY, WITH ENTITIES DOING BUSINESS WITH THE UNIVERSITY. THE UNIVERSITY HAS CONFLICT OF INTEREST POLICIES THAT ARE STRICTLY ENFORCED TO ENSURE THAT ALL TRANSACTIONS WITH THESE PARTIES ARE ARM'S LENGTH, AND THERE IS NO FAVORABLE TREATMENT AS A RESULT OF THESE RELATIONSHIPS. CONFLICTS OF INTEREST ARE REGULARLY MONITORED, AND APPLICABLE POLICY IS CONSISTENTLY ENFORCED. UNIVERSITY-WIDE COMPLIANCE INITIATIVES INCLUDE TRAINING AND DOCUMENTATION, REQUIRED ANNUAL DISCLOSURE AND FOLLOW-UP; MANAGEMENT CONTROLS; ENTERPRISE RISK MANAGEMENT; REGULAR INTERNAL AND EXTERNAL AUDITS; WHISTLE-BLOWER PROVISIONS; SUPERVISION; AND REVIEW. PERCEIVED VIOLATIONS WOULD BE INVESTIGATED AND ADDRESSED AS APPROPRIATE THROUGH VARIOUS SANCTIONS, INCLUDING FINANCIAL PENALTIES AND TERMINATION, DEPENDING UPON THE NATURE AND DEGREE OF THE CONFLICT. FOR OFFICERS, THE UNIVERSITY REQUIRES ANNUAL DISCLOSURE OF SIGNIFICANT FINANCIAL INTERESTS IN EMPLOYMENT OR CONSULTING RELATIONSHIPS WITH ENTITIES DOING BUSINESS WITH THE UNIVERSITY. THESE ANNUAL DISCLOSURES COVER BOTH OFFICERS AND THEIR IMMEDIATE FAMILY. WHEN SUCH ASSOCIATIONS EXIST, MEASURES ARE TAKEN TO APPROPRIATELY MANAGE, IN THE BEST INTERESTS OF THE UNIVERSITY, ANY ACTUAL OR PERCEIVED CONFLICT. FACULTY MUST COMPLY WITH THE FACULTY CONFLICT OF INTEREST POLICY, WHICH REQUIRES ANNUAL CERTIFICATION OF COMPLIANCE WITH THE POLICY AND DISCLOSURE OF INTERESTS IN OUTSIDE ENTITIES THAT ARE SPONSORS OF THEIR TEACHING OR RESEARCH OR OTHER TRANSACTIONS WITH THE UNIVERSITY IN WHICH THEY ARE INVOLVED. ALL PERSONAL FINANCIAL INTERESTS RELATED TO STANFORD ACTIVITIES MUST BE REPORTED, REGARDLESS OF DOLLAR AMOUNT. FOR TRUSTEES, THE UNIVERSITY HAS A WRITTEN CONFLICT OF INTEREST POLICY THAT REQUIRES, AMONG OTHER THINGS, THAT NO MEMBER OF THE BOARD OF TRUSTEES IS PERMITTED TO PARTICIPATE IN ANY DECISION RELATING TO AN ENTITY IN WHICH HE OR SHE (OR AN IMMEDIATE FAMILY MEMBER) HAS A MATERIAL FINANCIAL INTEREST. THE CONFLICT OF INTEREST POLICY ALSO PRECLUDES THE UNIVERSITY FROM ENTERING INTO CERTAIN TRANSACTIONS WITH AN ENTITY IN WHICH A TRUSTEE HAS A MATERIAL FINANCIAL INTEREST UNLESS MEASURES ARE TAKEN TO MITIGATE ANY ACTUAL OR PERCEIVED CONFLICT. NAMELY, THE POLICY REQUIRES THAT SUCH TRANSACTIONS ARE CONDUCTED AT ARM'S LENGTH, FOR GOOD AND SUFFICIENT CONSIDERATION, BASED ON TERMS THAT ARE FAIR AND REASONABLE TO AND FOR THE BENEFIT OF THE UNIVERSITY, AND OTHERWISE IN ACCORDANCE WITH SOUND CONFLICT MANAGEMENT PRACTICES. THE CONFLICT OF INTEREST POLICY REQUIRES EACH TRUSTEE TO CERTIFY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY ON AN ANNUAL BASIS. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION DETERMINATION THE ANNUAL PROCESS FOR DETERMINING COMPENSATION OF BOTH THE TOP MANAGEMENT OFFICIAL (PRESIDENT OF THE UNIVERSITY) AND OF OTHER OFFICERS/KEY EMPLOYEES INCLUDES REVIEW AND APPROVAL BY INDEPENDENT PERSONS, USE OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF THE DELIBERATION AND DECISION. IN THE CASE OF THE UNIVERSITY'S PRESIDENT, THE VICE PRESIDENT OF HUMAN RESOURCES, AT A PRELIMINARY MEETING WITH A SUBCOMMITTEE OF THE COMMITTEE ON COMPENSATION, PRESENTS AN ANALYSIS OF CURRENT RELEVANT MARKET DATA OBTAINED FROM AN INDEPENDENT HUMAN RESOURCE CONSULTING FIRM. THE SAME MATERIALS ARE SENT TO THE FULL COMMITTEE. AT THE MEETING OF THE FULL COMMITTEE AND IN THE ABSENCE OF THE PRESIDENT, DISCUSSION OCCURS PRIOR TO A VOTE. MINUTES OF BOTH MEETINGS ARE ON FILE IN THE OFFICE OF THE VICE PRESIDENT OF HUMAN RESOURCES. IN THE CASE OF OTHER OFFICERS/KEY EMPLOYEES, PER GUIDELINES IN THE COMMITTEE'S EXECUTIVE COMPENSATION POLICY AND PROCEDURES DOCUMENT, EACH YEAR THE VICE PRESIDENT OF HUMAN RESOURCES PROVIDES CURRENT RELEVANT MARKET DATA AND THE HISTORICAL PAY INFORMATION RELATING TO THESE PERSONS TO THE PRESIDENT OR TO THE PROVOST BASED ON THE REPORTING STRUCTURE. THE PRESIDENT AND PROVOST PROPOSE CHANGES IN COMPENSATION BASED ON EACH INDIVIDUAL'S PERFORMANCE AND ON THE MARKET DATA. THE COMMITTEE ON COMPENSATION REVIEWS THE RECOMMENDATIONS AND, FOLLOWING DISCUSSION, APPROVES THE RECOMMENDATIONS AS SUBMITTED OR WITH MODIFICATIONS. MINUTES OF THE MEETING ARE ON FILE IN THE OFFICE OF THE VICE PRESIDENT OF HUMAN RESOURCES. FORM 990, PART VI, SECTION C, LINE 19 STANFORD UNIVERSITY MAKES ITS FOUNDING GRANT, FACULTY AND STAFF CONFLICT OF INTEREST POLICIES, AND FINANCIAL STATEMENTS AVAILABLE TO THE GENERAL PUBLIC ON STANFORD'S WEBSITE, AND UPON REQUEST TO THE OFFICE OF UNIVERSITY COMMUNICATIONS. FORM 990, PART VII, SECTION A, COLUMN B HOURS FOR RELATED ORGANIZATIONS IN CONNECTION WITH THEIR POSITIONS AT STANFORD, CERTAIN LISTED INDIVIDUALS MAY, FROM TIME TO TIME, PARTICIPATE IN ACTIVITIES OF A RELATED ORGANIZATION. WHERE THE LISTED INDIVIDUALS ARE TRUSTEES, DIRECTORS, OFFICERS, OR EMPLOYEES OF THE RELATED ORGANIZATION, THE TIME DEVOTED TO THE RELATED ORGANIZATION BY SUCH INDIVIDUALS IS GENERALLY REPORTED AS RELATED ORGANIZATION HOURS IN PART VII, SECTION A, LINE 1A, COLUMN (B), BELOW THE DOTTED LINE. IN ALL OTHER CASES, THE HOURS IN CONNECTION WITH SUCH PARTICIPATION ARE INCLUDED IN THE HOURS REPORTED FOR THE INDIVIDUALS' POSITIONS AT STANFORD UNIVERSITY IN PART VII, SECTION A, LINE 1A, COLUMN (B), ABOVE THE DOTTED LINE. FORM 990, PART VII, SECTION B INDEPENDENT CONTRACTORS IN THE PRESENTATION OF THE DATA APPEARING IN FORM 990, PART VII, SECTION B, STANFORD REPORTS DIRECT CASH COMPENSATION PAID TO PROFESSIONAL INDEPENDENT CONTRACTORS. COMMISSIONS, DISCOUNTS, AND MANAGEMENT FEES EMBEDDED IN AND/OR DEDUCTED FROM INVESTMENT RETURNS AND AMOUNTS PROVIDED TO VENTURE CAPITAL, PRIVATE EQUITY, AND HEDGE FUND GENERAL PARTNERS DUE TO THEIR "CARRIED INTEREST" IN PARTNERSHIPS IN WHICH STANFORD PARTICIPATES ARE NOT CONSIDERED IN THIS REPORTING. FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCES CHANGE IN POST RETIREMENT BENEFIT OBLIGATION $ 11,952,000 PAYMENTS TO LIVING TRUST BENEFICIARIES (39,182,494) NET HOSPITAL TRANSFERS 69,017,915 CHANGE IN VALUE OF SWAP AGREEMENTS (8,616,644) ------------- $ 33,170,777 STANFORD UNIVERSITY OTL LLC 3145 PORTER DRIVE PALO ALTO CA 94304 941156365 TECHNOLOGY CA 3858 62283 STANFORD SU ACQUISITION LLC 3145 PORTER DRIVE PALO ALTO CA 94304 941156365 REAL ESTATE DE 402948 2000000 STANFORD SAA SIERRA PROGRAMS LLC 3145 PORTER DRIVE PALO ALTO CA 94304 941156365 ALUM RELATION CA 6093562 9877799 STANFORD ANTS AT WORK LLC 3145 PORTER DRIVE PALO ALTO CA 94304 941156365 research NM 0 55000 STANFORD SHR HOTEL LLC 3145 PORTER DRIVE PALO ALTO CA 94304 412277925 REAL ESTATE CA 48448834 131613971 STANFORD SPECIALTY EVENTS LLC 3145 PORTER DRIVE PALO ALTO CA 94304 273665473 GEN. BUS. 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