2014-05-12T09:51:56-05:00 2013-06-30 990 2012-07-01 362177139 UNIVERSITY OF CHICAGO UNIV 7737021941 5801 S ELLIS AVENUE CHICAGO IL 60637 JOHN R KROLL 7737021941 2014-05-12 2012 2015-11-30 17:44:51Z ROBERT J ZIMMER 5801 S ELLIS AVENUE CHICAGO IL 60637 4527982241 0 X WWW.UCHICAGO.EDU X 1890 IL THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 53 43 24196 12354 -2126167 0 717944430 1464776423 1095101204 1200157025 335854342 368665198 58812749 58299865 2207712725 3091898511 346290502 347581254 0 0 1212115872 1663310552 0 451699 64527728 743076639 898493783 2301483013 2909837288 -93770288 182061223 9619035065 9703508112 3814462065 3520333112 5804573000 6183175000 X THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 0 0 863162354 671779125 INSTRUCTION: IN 2012-2013, THE UNIVERSITY ENROLLED 15,539 STUDENTS, OF THAT TOTAL, 5,607 WERE UNDERGRADUATE STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE SCHOOL), 3,787 WERE GRADUATE STUDENTS, 5,392 WERE STUDENTS IN THE UNIVERSITY'S PROFESSIONAL SCHOOLS AND 753 WERE NON-DEGREE STUDENTS. 800959771 37526022 387251984 UNIVERSITY OF CHICAGO FACULTY CROSS TRADITIONAL DISCIPLINARY BOUNDARIES TO TRANSFORM UNDERSTANDINGS IN BUSINESS, ECONOMICS, HISTORY, LAW, LITERATURE, RELIGION, PHYSICS, CHEMISTRY AND BIOLOGY AND MEDICINE, AMONG OTHER FIELDS. IN PURSUIT OF THESE RESEARCH ENDEAVORS, DURING FISCAL YEAR 2012-2013 THE UNIVERSITY WAS AWARDED A TOTAL OF $449.8 MILLION IN RESEARCH FUNDING FROM FEDERAL AGENCIES, NON-FEDERAL GOVERNMENT ENTITIES, CORPORATIONS, FOUNDATIONS AND OTHER SOURCES. THIS FISCAL YEAR $330.7 MILLION WAS EXPENDED FROM FEDERAL GOVERNMENT SPONSORS OF RESEARCH, WITH THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES AND THE NATL SCIENCE FDN PROVIDING THE LARGEST AMOUNTS OF FUNDING. FOUNDATION RESEARCH SPONSORSHIP AWARDS TOTALED $54.6 MILLION, FOLLOWED BY CORPORATE RESEARCH SPONSORSHIP OF $48.3 MILLION.THE UNIVERSITY ALSO CONDUCTS SCIENTIFIC RESEARCH IN COLLABORATION WITH ARGONNE NATIONAL LABORATORY, OWNED BY THE UNITED STATES GOVERNMENT AND OPERATED BY THE UNIVERSITY THROUGH A DISREGARDED ENTITY, UNDER THE TERMS OF A COST REIMBURSEMENT CONTRACT WITH THE U.S. DEPARTMENT OF ENERGY. ARGONNE IS A MULTI-PURPOSE SCIENCE LABORATORY WITH A $769.7 MILLION ANNUAL BUDGET AND APPROXIMATELY 3900 EMPLOYEES. ARGONNE PROGRAM SERVICE RESEARCH EXPENDITURES WERE $538.7 MILLION AND ARE INCLUDED IN THE RESEARCH PROGRAM SERVICE EXPENSE AMOUNT, AS IS REQUIRED FOR A DISREGARDED ENTITY.IN ADDITION, FERMI RESEARCH ALLIANCE, LLC, AN ENTITY JOINTLY OWNED BY THE UNIVERSITY AND UNIVERSITIES RESEARCH ASSOCIATION INC., OPERATES FERMI NATIONAL ACCELERATOR LABORATORY ("FERMILAB") FOR THE U.S. DEPARTMENT OF ENERGY. FERMILAB IS THE NATION'S PREEMINENT CENTER FOR HIGH-ENERGY PHYSICS AND AN INTERNATIONAL CENTER FOR SCIENTIFIC RESEARCH IN ELEMENTARY PARTICLE PHYSICS AND ASTROPHYSICS. FERMILAB HAS A $420 MILLION ANNUAL BUDGET AND OVER 1700 EMPLOYEES. 310055232 310055232 SCHOLARSHIPS & FELLOWSHIPS:THE UNIVERSITY IS A NEED BLIND INSTITUTION WITH AN EXTENSIVE FINANCIAL AID PROGRAM WHICH IS DESIGNED TO ENABLE THE MOST QUALIFIED STUDENTS TO ATTEND THE UNIVERSITY REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. FOR THE 2012-2013 ACADEMIC YEAR, APPROXIMATELY 58 PERCENT OF ALL STUDENTS IN THE COLLEGE RECEIVED FINANCIAL AID IN THE FORM OF GRANTS AND SCHOLARSHIPS. UNIVERSITY-WIDE EXPENDITURES FOR SCHOLARSHIPS AND FELLOWSHIPS AMOUNTED TO $310.0 MILLION. OF THIS AMOUNT, APPROXIMATELY $232.6 MILLION WAS PROVIDED FROM UNRESTRICTED FUNDS; THE REMAINING $77.4 MILLION CAME FROM RESTRICTED SOURCES. MORE THAN ELEVEN HUNDRED STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE COLLEGE) CURRENTLY RECEIVE ODYSSEY SCHOLARSHIPS. THE ODYSSEY SCHOLARSHIPS PROVIDE INCREASED ACCESS FOR LOW-INCOME AND MODERATE-INCOME STUDENTS BY ELIMINATING LOANS FOR THOSE WITH FAMILY INCOME BELOW $75,000 AND REDUCING LOAN INDEBTEDNESS FOR MANY OTHERS. THE UNIVERSITY EXPANDED ITS GRADUATE AID INITIATIVE, A PROGRAM THAT INVESTS APPROXIMATELY $310,000 IN THE EDUCATION OF EACH PH.D. STUDENT IN THE HUMANITIES, SOCIAL SCIENCES AND DIVINITY SCHOOL. THESE PROGRAMS ARE IN ADDITION TO THE UNIVERSITY'S LONGSTANDING COMMITMENT TO FINANCIAL ASSISTANCE FOR STUDENTS. 461099768 182346343 THE OTHER PROGRAM SERVICES THAT SUPPORT THE MISSION OF INSTRUCTION AND RESEARCH ARE:AUXILIARY ENTERPRISESLIBRARYOTHER STUDENT SERVICESINFORMATION SERVICESOPERATION AND MAINTENANCE OF PLANT 461099768 182346343 2435277125 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 1 0 0 1 1 1 1 1 0 1 X 24075 0 1 24196 1 1 1 1 BR BG CH FR EG HK IN RS SN SF UK 0 0 1 1 1 1 0 0 0 0 X 53 43 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 OK WA X JOHN R KROLL 7737021941 6054 S DREXEL AVENUE CHICAGO IL 60637 ANDREW M ALPER 18.00 X 0 0 0 SEKHAR BAHADUR 2.00 X 0 0 0 DAVID G BOOTH 2.00 X 0 0 0 DAVID B BROOKS 2.00 X 0 0 0 THOMAS A COLE 2.00 X 0 0 0 E DAVID COOLIDGE III 2.00 X 0 0 0 JAMES S CROWN 2.00 X 0 0 0 KATHARINE P DARROW 2.00 X 0 0 0 DANIEL L DOCTOROFF 2.00 X 0 0 0 BRADY W DOUGAN 2.00 X 0 0 0 CRAIG J DUCHOSSOIS 2.00 X 0 0 0 JOHN A EDWARDSON 2.00 X 0 0 0 JAMES S FRANK 2.00 X 0 0 0 JACK W FULLER 2.00 X 0 0 0 TIMOTHY M GEORGE 2.00 X 0 0 0 RODNEY L GOLDSTEIN 2.00 X 0 0 0 MARY LOUISE GORNO 2.00 X 0 0 0 KATHRYN C GOULD 2.00 X 0 0 0 SANFORD J GROSSMAN 2.00 X 0 0 0 KING W HARRIS 2.00 X 0 0 0 KENNETH M JACOBS 2.00 X 0 0 0 KAREN L KATEN 2.00 X 0 0 0 DENNIS J KELLER 2.00 X 0 0 0 STEVEN A KERSTEN 2.00 X 0 0 0 JAMES M KILTS 2.00 X 0 0 0 MICHAEL J KLINGENSMITH 2.00 X 0 0 0 MICHAEL L KLOWDEN 2.00 X 0 0 0 RACHEL D KOHLER 2.00 X 0 0 0 ROBERT W LANE 2.00 X 0 0 0 CHARLES ASHBY LEWIS 2.00 X 0 0 0 JOHN LIEW 2.00 X 0 0 0 PETER W MAY 2.00 X 0 0 0 JOSEPH NEUBAUER 18.00 X 0 0 0 EMILY NICKLIN 2.00 X 0 0 0 HARVEY B PLOTNICK 2.00 X 0 0 0 MICHAEL P POLSKY 2.00 X 0 0 0 MYRTLE S POTTER 2.00 X 0 0 0 THOMAS J PRITZKER 2.00 X 0 0 0 THOMAS A REYNOLDS 2.00 X 0 0 0 JOHN W ROGERS JR 2.00 X 0 0 0 ANDREW M ROSENFIELD 2.00 X 0 0 0 DAVID M RUBENSTEIN 2.00 X 0 0 0 ALVARO J SAIEH 2.00 X 0 0 0 NASSEF O SAWIRIS 2.00 X 0 0 0 STEVE G STEVANOVICH 2.00 X 0 0 0 ELIZABETH M THOMPSON 2.00 X 0 0 0 MARY A TOLAN 2.00 X 0 0 0 BRYON D TROTT 2.00 X 0 0 0 MARSHALL I WAIS 2.00 X 0 0 0 GREGORY W WENDT 2.00 X 0 0 0 DONALD R WILSON JR 2.00 X 0 0 0 PAULA WOLFF 2.00 X 0 0 0 PAUL G YOVOVICH 18.00 X 0 0 0 FRANCIS TF YUEN 2.00 X 0 0 0 ROBERT J ZIMMER 40.00 15.00 X X 1192225 0 702431 THOMAS F ROSENBAUM 40.00 10.00 X 649144 0 89693 NIMALAN CHINNIAH 40.00 11.00 X 623351 0 48349 KAREN WARREN COLEMAN 40.00 X 218749 0 36867 DEREK RB DOUGLAS 40.00 3.00 X 436139 0 53960 DAVID B FITHIAN 40.00 4.00 X 342305 0 27241 DAVID A GREENE 40.00 1.00 X 683963 0 201551 BETH A HARRIS 40.00 12.00 X 424573 0 92398 DONALD H LEVY 40.00 9.00 X 381042 0 32692 KENNETH MANOTTI 40.00 X 414830 0 30907 JAMES G NONDORF 40.00 X 442043 0 27476 JULIE PETERSON 40.00 X 396969 0 80322 KENNETH S POLONSKY 40.00 21.00 X 1850726 0 410291 MARK A SCHMID 40.00 X 1989833 0 596909 THOMAS FARRELL 40.00 X 668555 0 20867 KIM GOFF CREWS 40.00 X 138407 0 16332 MICHAEL EDLESON 40.00 X 1594104 0 377871 PHUONG-QUE NGUYEN 40.00 X 1129960 0 329557 VALLUVAN JEEVANANDAM 40.00 X 1095720 0 44207 SANJAY DHAR 40.00 X 1054703 0 49417 CHRISTOPHER LONGEE 40.00 X 1005422 0 369112 EVERETT VOKES 40.00 X 821310 0 60768 SUNIL P KUMAR 40.00 X 571875 0 40400 18125948 0 3739618 3367 1 1 0 TURNER CONSTRUCTION CO 55 E MONROE ST CHICAGO IL 60603 CONSTRUCTION & RELATED SERVICES 38941237 BOVIS LEND LEASE CO 1 N WACKER DR CHICAGO IL 60606 CONSTRUCTION & RELATED SERVICES 29196110 W E O'NEIL CONSTRUCTION 1245 W WASHINGTON BLVD CHICAGO IL 60607 CONSTRUCTION & RELATED SERVICES 19430594 ARAMARK SERVICES 1101 MARKET STREET PHILADELPHIA PA 19107 FOOD SERVICE MANAGEMENT 14050162 BULLEY & ANDREWS LLC 1755 W ARMITAGE AVE CHICAGO IL 60622 CONSTRUCTION & RELATED SERVICES 13310495 686 1013200 71750000 1033180428 358832795 74919234 1464776423 TUITION & FEES 611310 671779125 671779125 SALES & SERVICES EDUC ACTIVITIES 900099 330244114 330244114 SALES & SERVICES AUX ENTERPRISE 611710 141125916 141125916 ARGONNE - OTHER 541900 52298407 52298407 FEES FROM GOVT AGENCIES 900099 4709463 4709463 1200157025 118502365 -8509502 127011867 8898 8898 10692278 10692278 1660163477 1397254321 12755221 262909156 -12755221 250153935 250153935 478950 1013200 475125 3825 3825 63898694 25599063 38299631 38299631 CONFERENCES & CATERING 561000 6247402 6247402 ANNUITY ADJUSTMENT 900099 590202 590202 ADVERTISING 519100 135933 135933 2330594 2330594 9304131 3091898511 1241377452 -2126167 387870803 34756212 34756212 306427650 306427650 6397392 6397392 10789511 10346800 442711 1273367175 1059048257 183128076 31190842 73786596 57749077 13455285 2582234 225061469 176919340 39178476 8963653 80305801 63160032 14142775 3002994 25811299 20669231 4541645 600423 6303503 23734 6279769 851801 851801 296015 296015 451699 451699 4403983 4403983 99436986 82881160 16555826 6574942 6396548 178394 200500003 148113557 46371527 6014919 32182501 20923836 10649409 609256 5790782 5768782 22000 85478073 77376586 7038800 1062687 48617525 39116813 7930431 1570281 37374860 29419873 6455479 1499508 88436980 88436980 152674269 152674269 24056462 21131467 2883708 41287 EQUIPMENT RENTAL & MAIN 62294779 57248101 3906796 1139882 SUPPORT SERVICES 26526125 21312996 4035651 1177478 SWAP VALUATION -23207143 -23207143 PENSION & BENEFIT ADJ -87961708 -87961708 102051746 66090100 31783772 4177874 2909837288 2435277125 410032435 64527728 71930057 -20839492 278924667 66009075 393076041 449038440 91900381 104130733 897445 705367 43059635 46448238 6014629 6349042 28229286 32968446 4026998874 1483234057 2452134956 2543764817 2104557275 1538104374 4132964271 4922122091 15346422 14706981 9619035065 9703508112 873488278 593611490 89520977 89391147 1780921204 1864295796 658600066 868129739 411931540 104904940 3814462065 3520333112 X 1296967000 1478986000 3055179000 3158451000 1452427000 1545738000 5804573000 6183175000 9619035065 9703508112 X 182061223 37687789 158852988 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 296015 0 0 296015 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: THE UNIVERSITY OF CHICAGO IS INVOLVED IN ISSUES THAT AFFECT HIGHER EDUCATION AND RESEARCH. X X X X 0 5701419000 117250000 399315000 41748000 272226000 17042000 5886968000 5691013000 82079000 265909000 43210000 277366000 17006000 5701419000 4904717000 128430000 1009407000 42632000 294918000 13991000 5691013000 4535634000 126671000 695590000 39774000 402328000 11076000 4904717000 5933761000 110214000 -1206841000 33303000 258775000 9422000 4535634000 0.31000 0.24000 0.45000 0 0 94368393 94368393 3176359513 970550645 2205808868 447977757 281099401 166878356 308293211 231584011 76709200 2543764817 VENTURE CAPITAL 4642112986 F REAL ESTATE 280009105 F 4922122091 FUNDS HELD IN CUSTODY FOR OTHERS 97313221 OTHER 7591719 104904940 X 2460517292 37687789 12755221 50443010 2410074282 4403983 677420246 681824229 3091898511 2197591268 -10737485 -10737485 2208328753 4403983 697104552 701508535 2909837288 PART III, LINE 4: THE UNIVERSITY OF CHICAGO HAS TWO MUSEUMS THE DAVID AND ALFRED SMART MUSEUM OF ART (SMART MUSEUM) AND THE ORIENTAL INSTITUTE OF THE UNIVERSITY OF CHICAGO (ORIENTAL INSTITUTE MUSEUM). THE SMART MUSEUM PROMOTES THE UNDERSTANDING OF THE VISUAL ARTS AND THEIR IMPORTANCE TO CULTURAL AND INTELLECTUAL HISTORY THROUGH DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART AND THROUGH AN INTERDISCIPLINARY APPROACH TO ITS COLLECTIONS, EXHIBITIONS, PUBLICATIONS AND PROGRAMS. THE SCOPE OF ITS PERMANENT COLLECTIONS, SPECIAL EXHIBITIONS, FOCUS ON RESEARCH AND TEACHING BY THE UNIVERSITY OF CHICAGO SCHOLARS AND OUTREACH AND EDUCATIONAL PROGRAMS TO BOTH ADULTS AND SCHOOL AGE CHILDREN MAKE SMART MUSEUM ONE OF THE MIDWEST'S MOST DYNAMIC AND INNOVATIVE EDUCATIONAL INSTITUTIONS IN THE VISUAL ARTS. THE ORIENTAL INSTITUTE MUSEUM IS A WORLD RENOWNED SHOWCASE FOR THE HISTORY, ART AND ARCHAEOLOGY OF THE ANCIENT NEAR EAST. THE COLLECTIONS ARE USED EXTENSIVELY FOR RESEARCH, TEACHING AND EXHIBITIONS. ITS APPROACH TO INTEGRATE ARCHAEOLOGICAL, TEXTUAL AND ART HISTORICAL DATA TO UNDERSTAND THE DEVELOPMENT AND FUNCTIONS OF THE ANCIENT CIVILIZATIONS OF THE NEAR EAST MAKE IT AN EXCEPTIONAL RESOURCE FOR THE UNIVERSITY COMMUNITY AS WELL AS THE COMMUNITY AT LARGE. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE UNIVERSITY'S USE OF ENDOWMENT FUNDS IS INSEPARABLE FROM THE OVERALL ACADEMIC MISSION AS ONE OF THE WORLDS LEADING RESEARCH UNIVERSITIES. ENDOWMENT FUNDS ARE USED TO SUPPORT INSTRUCTION AND RESEARCH PROGRAMS; SUPPORT PROFESSORSHIPS; SUPPORT FINANCIAL AID FOR UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS; SUPPORT THE ACQUISITION, RESTORATION AND PRESERVATION OF BOOKS AND OTHER MATERIALS IN THE LIBRARIES; AND SUPPORT THE ON-GOING OPERATIONS OF THE PHYSICAL PLANT, GROUNDS, AND EQUIPMENT. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE UNIVERSITY IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, EXCEPT TO THE EXTENT THAT THE UNIVERSITY HAS UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL INCOME TAXES. THERE WAS NO PROVISION FOR INCOME TAXES DUE ON UNRELATED BUSINESS INCOME IN FISCAL YEARS 2013 AND 2012. THE UNIVERSITY HAS NO UNCERTAIN TAX POSITIONS, WHICH THE UNIVERSITY CONSIDERS TO BE MATERIAL. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF DISPOSED EQUIPMENT 12,755,221. PART XI, LINE 4B - OTHER ADJUSTMENTS: ARGONNE 735,458,836. LESS COST OF GOODS SOLD -25,599,063. ROUNDING 31,975. EXCLUSION OF RELATED ORGS THAT FILE THEIR OWN 990 -32,471,502. PART XII, LINE 2D - OTHER ADJUSTMENTS: EXCLUSION OF RELATED ORGS THAT FILE THEIR OWN 990 -10,737,485. PART XII, LINE 4B - OTHER ADJUSTMENTS: ARGONNE 735,458,836. DISPOSAL OF EQUIPMENT -12,755,221. COST OF GOODS SOLD -25,599,063. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 EXPLANATION OF NONDISCRIMINATORY POLICY PUBLICATION SCHEDULE E, PART I, LINE 3 THE UNIVERSITY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND AROUND THE WORLD, FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY, AS EMBODIED IN THE UNIVERSITY'S POLICY ON UNLAWFUL DISCRIMINATION AND HARASSMENT, AND INCLUDES A STATEMENT OF ITS NONDISCRIMINATORY POLICY ON ITS BROCHURES, CATALOGUES AND APPLICATION MATERIALS DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE UNIVERSITY OF CHICAGO RECEIVES FUNDING FROM VARIOUS GOVERNMENTAL AGENCIES FOR STUDENT FINANCIAL AID. EUROPE (INCLUDING ICELAND & GREENLAND) 2 29 PROGRAM SERVICES INSTRUCTION 18795917 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES INSTRUCTION 36666 EAST ASIA AND THE PACIFIC 1 17 PROGRAM SERVICES INSTRUCTION 13525363 SOUTH ASIA PROGRAM SERVICES INSTRUCTION 168109 NORTH AMERICA PROGRAM SERVICES INSTRUCTION 87490 MIDDLE EAST AND NORTH AFRICA 2 PROGRAM SERVICES INSTRUCTION 138531 EUROPE (INCLUDING ICELAND & GREENLAND) 2 PROGRAM SERVICES RESEARCH 77548 EAST ASIA AND THE PACIFIC 1 8 PROGRAM SERVICES RESEARCH 2417083 SOUTH ASIA 3 PROGRAM SERVICES RESEARCH 1479022 MIDDLE EAST AND NORTH AFRICA 1 10 PROGRAM SERVICES RESEARCH 880093 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SUBAWARD 916873 SUB-SAHARAN AFRICA PROGRAM SERVICES SUBAWARD 273836 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SUBAWARD 270048 SOUTH ASIA PROGRAM SERVICES SUBAWARD 395027 NORTH AMERICA PROGRAM SERVICES SUBAWARD 415167 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES SUBAWARD 66834 SOUTH AMERICA PROGRAM SERVICES SUBAWARD 81540 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 2589529 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 7000 SUB-SAHARAN AFRICA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 67391 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 382126 SOUTH ASIA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 365273 NORTH AMERICA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 225203 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 283142 SOUTH AMERICA PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 53404 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES SCHOLARSHIP AND STIPENDS 5000 EAST ASIA AND THE PACIFIC UNRELATED BUSINESS INCOME 94787 EUROPE (INCLUDING ICELAND & GREENLAND) FUNDRAISING 739164 EAST ASIA AND THE PACIFIC FUNDRAISING 299498 CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 2190382502 EAST ASIA AND THE PACIFIC INVESTMENTS 27507858 EUROPE (INCLUDING ICELAND & GREENLAND) INVESTMENTS 404822954 NORTH AMERICA INVESTMENTS 62484396 SUB-SAHARAN AFRICA INVESTMENTS 47356170 4 58 1 13 5 71 35246707 2742443837 2777690544 EAST ASIA AND THE PACIFIC SUBAWARD 31824 WIRE EAST ASIA AND THE PACIFIC SUBAWARD 238224 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 129785 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 80000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 16782 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 7158 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 3861 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 42308 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 45717 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 30466 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 1446 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 1015 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 41175 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 166793 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 119076 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 49727 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 49831 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 80579 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 2957 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 832 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 36967 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 9037 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 1362 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD 35680 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD 31154 WIRE NORTH AMERICA SUBAWARD 8640 WIRE NORTH AMERICA SUBAWARD 303938 WIRE NORTH AMERICA SUBAWARD 81962 WIRE NORTH AMERICA SUBAWARD 20627 WIRE NORTH AMERICA SUBAWARD 46130 WIRE NORTH AMERICA SUBAWARD 35410 WIRE SOUTH ASIA SUBAWARD 35010 WIRE SOUTH ASIA SUBAWARD 222150 WIRE SOUTH ASIA SUBAWARD 137867 WIRE SUB-SAHARAN AFRICA SUBAWARD 39975 WIRE SUB-SAHARAN AFRICA SUBAWARD 41179 WIRE SUB-SAHARAN AFRICA SUBAWARD 74069 WIRE SUB-SAHARAN AFRICA SUBAWARD 30000 WIRE SUB-SAHARAN AFRICA SUBAWARD 55813 WIRE SUB-SAHARAN AFRICA SUBAWARD 32800 WIRE STUDENT AID EAST ASIA AND THE PACIFIC 24 272776 CHECK STUDENT AID EUROPE (INCLUDING ICELAND & GREENLAND) 215 2481884 CHECK STUDENT AID MIDDLE EAST AND NORTH AFRICA 26 248673 CHECK STUDENT AID NORTH AMERICA 17 222203 CHECK STUDENT AID SOUTH AMERICA 1 18054 CHECK STUDENT AID SOUTH ASIA 30 343273 CHECK STUDENT AID SUB-SAHARAN AFRICA 4 40720 CHECK SUMMER STUDENT GRANTS CENTRAL AMERICA AND THE CARIBBEAN 2 5000 CHECK SUMMER STUDENT GRANTS EAST ASIA AND THE PACIFIC 31 109350 CHECK SUMMER STUDENT GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 36 107645 CHECK SUMMER STUDENT GRANTS MIDDLE EAST AND NORTH AFRICA 9 34469 CHECK SUMMER STUDENT GRANTS NORTH AMERICA 1 3000 CHECK SUMMER STUDENT GRANTS RUSSIA & THE NEWLY INDEPENDENT STATES 2 7000 CHECK SUMMER STUDENT GRANTS SOUTH AMERICA 12 35350 CHECK SUMMER STUDENT GRANTS SOUTH ASIA 6 22000 CHECK SUMMER STUDENT GRANTS SUB-SAHARAN AFRICA 7 26671 CHECK 1 0 1 1 1 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. X X 1 RUFFALO CODY 65 KIRKWOOD NORTH ROAD SW CEDAR RAPIDS IA 52404 TELEMARKETING 0 1237989 451699 786290 1237989 451699 786290 IL NJ WA LAB SCHOOL 595891 371130 224761 18208 87041 2278 39252 SMART MUSEUM 451100 415550 35550 77368 17662 24886 2 445159 226520 218639 28200 66008 49910 25050 39262 1492150 1013200 478950 28200 84216 214319 44990 103400 475125 3825 EXPLANATION OF FUNDRAISING PAYMENTS SCHEDULE G, PART I, LINE 2B, COLUMN (V) RUFFALO CODY PROVIDED PROFESSIONAL FUNDRAISING SERVICES FOR FISCAL YEAR 2013 AND PAYMENTS FOR THESE SERVICES WERE PROCESSED FROM AUGUST 2012 TO JUNE 2013, DETAILS OF ALL PAYMENTS IS AS FOLLOWS: MONTHLY INSTALLMENTS $485,931 MAILING CHARGES 3,793 POSTAGE CHARGES 8,661 CREDITS (46,686) TOTAL PAID $451,699 0 ACCESS COMMUNITY HEALTH NETWORK 1501 S CALIFORNIA AVENUE CHICAGO IL 60608 363317058 501 (C) (3) OR GOV 74975 SUBAWARD ADVOCATE HEALTH AND HOSPITAL CORPORATION 2025 WINDSOR DRIVE OAK BROOK IL 60523 362169147 501 (C) (3) OR GOV 61260 SUBAWARD ALLIANCE OF CHICAGO COMMUNITY HEALTH SERVICES L3C 215 W OHIO STREET 4TH FLOOR CHICAGO IL 60654 364444309 501 (C) (3) OR GOV 46795 SUBAWARD ANTI CANCER INC 7917 OSTROW STREET SAN DIEGO CA 92111 330074191 92397 SUBAWARD ASTRONOMICAL SOCIETY OF THE PACIFIC 390 ASHTON AVENUE SAN FRANCISCO CA 94112 940294860 501 (C) (3) OR GOV 9576 SUBAWARD AURORA MEDICAL GROUP POBOX 341457 MILWAUKEE WI 53234 391678306 501 (C) (3) OR GOV 12353 SUBAWARD BAYSTATE MEDICAL CENTER 759 CHESTNUT STREET SPRINGFIELD MA 01199 042790311 501 (C) (3) OR GOV 20499 SUBAWARD BECKMAN RESEARCH INSTITUTE 1450 EAST DUARTE ROAD DUARTE CA 91010 953432210 501 (C) (3) OR GOV 119542 SUBAWARD BELOVED COMMUNITY FAMILY 6430 SOUTH HARVARD CHICAGO IL 60621 202273383 501 (C) (3) OR GOV 34692 SUBAWARD BIOSPHERICAL INSTRUMENTS 5340 RILEY STREET SAN DIEGO CA 92110 953292603 171295 SUBAWARD BOARD OF EDUCATION - CHICAGO 125 S CLARK STREET 14TH FL CHICAGO IL 60603 366005821 501 (C) (3) OR GOV 97423 SUBAWARD BOSTON MEDICAL CENTER 660 HARRISON AVENUE GAMBRO 2 BOSTON MA 02118 043314093 501 (C) (3) OR GOV 31453 SUBAWARD BRIGHAM AND WOMEN'S HOSPITAL 150 E BULLDOG BLVD BOSTON MA 02199 042312909 501 (C) (3) OR GOV 22420 SUBAWARD BRIGHAM YOUNG UNIVERSITY A-261 ASB PROVO UT 84602 870217280 501 (C) (3) OR GOV 243722 SUBAWARD CARNEGIE MELLON UNIVERSITY 5000 FORBES AVENUE PITTSBURGH PA 15213 250969449 501 (C) (3) OR GOV 62508 SUBAWARD CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 44106 341018992 501 (C) (3) OR GOV 452041 SUBAWARD CENTERS FOR NEW HORIZONS 4150 SOTH KING DRIVE CHICAGO IL 60653 362729721 501 (C) (3) OR GOV 33280 SUBAWARD CHICAGO FAMILY HEALTH CENTERFORMERLY CLARETIAN MED CTR 9119 S EXCHANGE AVENUE CHICAGO IL 60617 362893854 501 (C) (3) OR GOV 44000 SUBAWARD CHILDREN'S HOSPITAL BOSTON 300 LONGWOOD AVENUE BOSTON MA 02115 042774441 501 (C) (3) OR GOV 7821 SUBAWARD CHILDREN'S HOSPITAL LOS ANGELES 4650 SUNSET BLVD LOS ANGELES CA 90027 951690977 501 (C) (3) OR GOV 33467 SUBAWARD CHILDREN'S HOSPITAL MEDICAL CENTER (CINCINNATI) 3333 BURNETT AVENUE CINCINNATI OH 46202 310833963 501 (C) (3) OR GOV 458766 SUBAWARD CHILDREN'S MEMORIAL HOSPITAL 2300 CHILDRENS PLAZA BOX 268 CHICAGO IL 60614 362170833 501 (C) (3) OR GOV 15581 SUBAWARD CLARK UNIVERSITY 20 DOWNING STREET WORCESTER MA 01610 042111203 501 (C) (3) OR GOV 12346 SUBAWARD COLLEGE OF WILLIAM AND MARY 102 RICHMOND ROAD WILLIAMSBURG VA 23187 546001718 501 (C) (3) OR GOV 40041 SUBAWARD COLUMBIA UNIVERSITY 615 W 135TH STREET NEW YORK NY 10027 135598093 501 (C) (3) OR GOV 290931 SUBAWARD COMBLU INC 875 N MICHIGAN AVE SUITE 1340 CHICAGO IL 60611 363037806 25000 SUBAWARD COMPLETE GENOMICS 2071 STIERLIN COURT MOUNTAIN VIEW CA 10027 203226545 501 (C) (3) OR GOV 747000 SUBAWARD CORNELL UNIVERSITY 395 PINE TREE ROAD SUITE 302 ITHACA NY 14850 150532082 501 (C) (3) OR GOV 189096 SUBAWARD DANA FARBER CANCER INSTITUTE 44 BINNEY STREET MS OS-385 BOSTON MA 02115 042263040 501 (C) (3) OR GOV 42866 SUBAWARD DARTMOUTH COLLEGE 11 ROPE FERRY ROAD HANOVER NH 03755 020222111 501 (C) (3) OR GOV 63364 SUBAWARD DE PAUL UNIVERSITY 1 EAST JACKSON BOULEVARD CHCIAGO IL 60604 362167048 501 (C) (3) OR GOV 127049 SUBAWARD DECATUR MEMORIAL HOSPITAL 2300 NORTH EDWARD STREET DECATUR IL 62526 370661199 501 (C) (3) OR GOV 52849 SUBAWARD DENVER HEALTH AND HOSPITAL AUTHORITY 777 BANCOCK STREET DENVER CO 80204 841343242 501 (C) (3) OR GOV 87193 SUBAWARD DUKE UNIVERSITY 2200 WEST MAIN STREET SUITE 300 DURHAM NC 27705 560532129 501 (C) (3) OR GOV 158697 SUBAWARD ENH RESEARCH INSTITUTE 1001 UNIVERSITY PLACE EVANSTON IL 60201 362167060 501 (C) (3) OR GOV 5510 SUBAWARD FELLOWSHIP FOR INTERPRETATION OF GENOMES 15 W 155 81ST STREET BURR RIDGE IL 60527 141883085 501 (C) (3) OR GOV 857738 SUBAWARD FIELD MUSEUM 1400 SOUTH LAKE SHORE DRIVE CHICAGO IL 60605 362167011 501 (C) (3) OR GOV 67552 SUBAWARD FLORIDA INTERNATIONAL UNIVERSITY 11200 SW 8TH STREEET CSC 310 MIAMI FL 33199 650177616 501 (C) (3) OR GOV 164310 SUBAWARD FORT WAYNE MEDICAL ONCOLOGY & HEMATOLOGY INC 4402 E STATE BLVD FORT WAYNE IN 46815 351400631 501 (C) (3) OR GOV 20300 SUBAWARD FRANKLIN COUNTY HISTORICAL SOCIETY DBA COSI COLUMBUS 333 WEST BROAD STREET COLUMBUS OH 43215 314383802 501 (C) (3) OR GOV 20000 SUBAWARD FREQUENCY 540 LLC 640 NORTH LASALLE SUITE 490 CHICAGO IL 60654 611652976 410143 SUBAWARD FRIEND FAMILY HEALTH CENTER 800 E 55TH STREET CHICAGO IL 60615 364161801 501 (C) (3) OR GOV 93054 SUBAWARD FSG INC 500 BOYLSTON STREET SUITE 600 BOSTON MA 02116 202776974 501 (C) (3) OR GOV 317559 SUBAWARD GEORGE WASHINGTON UNIVERSITY 44983 KNOLL SQUARE BLDG II ASHBURN VA 20147 530196584 501 (C) (3) OR GOV 102064 SUBAWARD GEORGIA STATE UNIVERSITY P O BOX 3999 ATLANTA GA 30302 586002050 501 (C) (3) OR GOV 15842 SUBAWARD GFK CUSTOM RESEARCH LLC 1350 WILLOW ROAD DEPT L-1694 MENLO CA 94025 522339690 265801 SUBAWARD GREATER AUBURN GRESHAM DEVELOPMENT CORPORATIION 1159 WEST 79TH STREET CHICAGO IL 60620 364377387 501 (C) (3) OR GOV 32062 SUBAWARD HARVARD UNIVERSITY 667 HUNTINGTON AVENUE BOSTON MA 02115 042103580 501 (C) (3) OR GOV 402470 SUBAWARD HEALTH RESEARCH INC- ROSWELL PARK CANCER INSTITUTE RIVERVIEW CENTER 150 BROADWAY MENANDS NY 12204 141402155 501 (C) (3) OR GOV 11362 SUBAWARD HEKTOEN INSTITUTE 2240 W OGDEN AVENUE 2ND FLOOR CHICAGO IL 60612 362244897 501 (C) (3) OR GOV 84393 SUBAWARD HOLY CROSS HOSPITAL 2701 W 68TH STREET CHICAGO IL 60629 362170133 501 (C) (3) OR GOV 64899 SUBAWARD ILLINOIS CANCER CARE 8940 N WOOD SAGE ROAD PEORIA IL 61615 371409840 501 (C) (3) OR GOV 29566 SUBAWARD ILLINOIS INSTITUTE OF TECHNOLOGY 3300 S FEDERAL STREET MAIN BLDG RM 308 CHICAGO IL 60616 362170136 501 (C) (3) OR GOV 398840 SUBAWARD INDIANA UNIVERSITY POPLARS 426 400 E 7TH ST BLOOMINGTON IN 47405 356001673 501 (C) (3) OR GOV 1370206 SUBAWARD INGALLS MEMORIAL HOSPITAL ONE INGALLS DRIVE HARVEY IL 60426 362170866 501 (C) (3) OR GOV 9125 SUBAWARD INNOVATIONS FOR POVERTY ACTION 101 WHITNEY AVE NEW HAVEN CT 06510 061660068 501 (C) (3) OR GOV 275939 SUBAWARD JOHNS HOPKINS UNIVERSITY 1101 E 33RD STREET BALTIMORE MD 21218 520595110 501 (C) (3) OR GOV 714752 SUBAWARD KAISER FOUNDATION 1800 HARRISON STREET MENLO PARK CA 94025 941105628 501 (C) (3) OR GOV 207866 SUBAWARD LAWRENCE BERKELEY NATIONAL LAB ONE CYCLOTRON ROAD BERKELEY CA 94704 942951741 501 (C) (3) OR GOV 29233 SUBAWARD LOUISIANA STATE UNIVERSITY 202 HIMES HALL BATON ROUGE LA 70803 726000848 501 (C) (3) OR GOV 121128 SUBAWARD LOYOLA UNIVERSITY 820 N MICHIGAN AVENUE CHICAGO IL 60611 361408475 501 (C) (3) OR GOV 100248 SUBAWARD LURIE CHILDREN'S HOSPITAL DBA CHILDREN'S MEMORIAL HOSPITAL 2300 CHILDRENS PLAZA BOX 268 CHICAGO IL 60614 362170833 501 (C) (3) OR GOV 9098 SUBAWARD MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 02114 042697983 501 (C) (3) OR GOV 131388 SUBAWARD MASSACHUSETTS INSTITUTE OF TECHNOLOGY SUITE NE49-4161 CAMBRIDGE MA 02139 042103594 501 (C) (3) OR GOV 324406 SUBAWARD MDRC RESEARCH CORPORATION 16 EAST 34TH STREET NEW YORK NY 10016 237379473 501 (C) (3) OR GOV 88310 SUBAWARD MEDICAL COLLEGE OF WISCONSIN 8701 WATERTOWN PLANK ROAD MILWAUKEE WI 53226 390806261 501 (C) (3) OR GOV 615057 SUBAWARD MERCY HOSPITAL ST LOUIS 615 SOUTH NEW BALLAS ROAD ST LOUIS MO 63141 430653493 501 (C) (3) OR GOV 18025 SUBAWARD MICHIGAN STATE UNIVERSITY 301 ADMINISTRATION BLDG EAST LANSING MI 48917 386005984 501 (C) (3) OR GOV 393678 SUBAWARD MIDWEST BIOMEDICAL RESEARCH FOUNDATION 4801 LINWOOD BOULEVARD KANSAS CITY MO 64128 431496422 501 (C) (3) OR GOV 10600 SUBAWARD MIDWEST CLINICIANS NETWORK 7215 WESTSHIRE DRIVE LANSING MI 48917 383189461 501 (C) (3) OR GOV 52661 SUBAWARD MISSISSIPPI STATE UNIVERSITY P O BOX 5227 MS STATE UNIV MS 39762 646000819 501 (C) (3) OR GOV 43526 SUBAWARD MONTANA STATE UNIVERSITY 309 MONTANA HALL PO BOX 172470 BOZEMAN MT 59717 810302402 501 (C) (3) OR GOV 22725 SUBAWARD MPC CORPORATION 5000 FORBES AVENUE 509 UTDC PITTSBURGH PA 15213 251128244 501 (C) (3) OR GOV 30812 SUBAWARD MS BIOWORKS LLC 3950 VASITY DRIVE ANN ARBOR MI 48108 272507618 84500 SUBAWARD NATIONAL BUREAU OF ECONOMIC RESEARCH 1050 MASSACHUSETTS AVENUE CAMBRIDGE MA 02138 131641075 501 (C) (3) OR GOV 181274 SUBAWARD NATIONAL OPINION RESEARCH CENTER 55 EAST MONROE STREET CHICAGO IL 60603 362167808 501 (C) (3) OR GOV 271228 SUBAWARD NEAR NORTH HEALTH SERVICE 1276 N CLYBOURN AVENUE CHICAGO IL 60610 363197647 501 (C) (3) OR GOV 82174 SUBAWARD NEIMAND COLLABORATIVE 1025 VERMONT AVENUE NW SUITE 830 WASHINGTON DC 20005 521806524 139999 SUBAWARD NEUROPSYCHIATRIC RESEARCH INSTITUTE 700 FIRST AVENUE SOUTH FARGO ND 58107 450274828 501 (C) (3) OR GOV 12399 SUBAWARD NEW YORK UNIVERSITY 726 BROADWAY NEW YORK NY 10003 135562308 501 (C) (3) OR GOV 166037 SUBAWARD NORTHSHORE UNIVERSITY HEALTH SYSTEM 2650 RIDGE AVENUE - G221 EVANSTON IL 60201 362167060 501 (C) (3) OR GOV 118789 SUBAWARD NORTHWESTERN UNIVERSITY 633 CLARK STREET SUITE G-547 EVANSTON IL 60208 362167817 501 (C) (3) OR GOV 2649699 SUBAWARD OHIO STATE UNIVERSITY 901 WOODY HAYES DRIVE COLUMBUS OH 43210 316025986 501 (C) (3) OR GOV 348232 SUBAWARD ORCID INC 6 WEST 77TH STREET NEW YORK NY 10024 275142743 501 (C) (3) OR GOV 200000 SUBAWARD OUNCE OF PREVENTION FUND 33 W MONROE STREET SUITE 2400 CHICAGO IL 60603 363186328 501 (C) (3) OR GOV 158874 SUBAWARD PENN STATE UNIVERSITY 513 JOAB L THOMAS BLDG UNIVERSITY PARK PA 16802 246000376 501 (C) (3) OR GOV 293209 SUBAWARD PLANNED PARENTHOOD OF ILLINOIS 18 S MICHIGAN AVENUE 6TH FLOOR CHICAGO IL 60603 362710901 501 (C) (3) OR GOV 51395 SUBAWARD PMAC LABORATORIES INC 10636 SCRIPPS SUMMIT CT SAN DIEGO CA 92131 270938257 34252 SUBAWARD PRESIDENT AND FELLOW OF HARVARD COLLEGE 1033 MASSACHUSETTS AVENUE 3RD FL CAMBRIDGE MA 02138 042103580 501 (C) (3) OR GOV 40784 SUBAWARD PRINCETON UNIVERSITY 5 NEW SOUTH BUILDING PO BOX 5292 PRINCETON NJ 08544 210634501 501 (C) (3) OR GOV 110167 SUBAWARD PROJECT EXPLORATION 950 E 61ST STREET CHICAGO IL 60637 364305660 501 (C) (3) OR GOV 20000 SUBAWARD PROJECT HOPE 255 CARTER HALL LANE MILLWOOD VA 22646 530242962 501 (C) (3) OR GOV 18741 SUBAWARD PURDUE UNIVERSITY 302 WOOD STREET WEST LAFAYETTE IN 47907 356002041 501 (C) (3) OR GOV 236624 SUBAWARD RESEARCH INSTITUTE AT THE NATIONWIDE CHILDREN'S HOSPITAL 700 CHILDRENS DRIVE COLUMBUS OH 43205 316056230 501 (C) (3) OR GOV 11250 SUBAWARD ROCKEFELLER UNIVERSITY 1230 YORK AVENUE NEW YORK NY 10065 131624158 501 (C) (3) OR GOV 247519 SUBAWARD ROI VENTURES LLC 213 W INSTITUTE PLACE SUITE 505 CHCIAGO IL 60610 205385643 199115 SUBAWARD RUSH UNIVERSITY MEDICAL CENTER 1700 WEST VAN BUREN STREET ROOM NO CHICAGO IL 60612 362174823 501 (C) (3) OR GOV 28924 SUBAWARD SANTA FE INSTITUTE 1399 HYDE PARK ROAD SANTA FE NM 87501 850325494 501 (C) (3) OR GOV 35386 SUBAWARD SANTEC SYSTEMS 2924 MALMO DRIVE ARLINGTON HEIGHTS IL 60005 363635977 44737 SUBAWARD SCRIPPS RESEARCH INSTITUTE 10550 NORTH TORREY PINES ROAD LA JOLLA CA 92037 330435954 378161 SUBAWARD SEATTLE CHILDREN'S RESEARCH INSTITUTE 1900 NINTH AVENUE MS C95-5 SEATTLE WA 98101 910564748 501 (C) (3) OR GOV 233001 SUBAWARD SMITHSONIAN ASTROPHYSICAL OBSERVATORY 60 GARDEN STREET CAMBRIDGE MA 02138 530206027 501 (C) (3) OR GOV 365893 SUBAWARD SOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE STATE ROUTE 157 EDWARDSVILLE IL 62026 370986220 501 (C) (3) OR GOV 38930 SUBAWARD SOUTHERN RESEARCH INSTITUTE 2000 NINTH AVENUE SOUTH BIRMINGHAM AL 35205 630288868 501 (C) (3) OR GOV 25544 SUBAWARD SOUTHSIDE HELP CENTER 10420 S HALSTED CHICAGO IL 60628 363532259 501 (C) (3) OR GOV 70249 SUBAWARD ST JUDE CHILDREN'S RESEARCH HOSPITAL 332 NORTH LAUDERDALE STREET MEMPHIS TN 38105 620646012 501 (C) (3) OR GOV 467321 SUBAWARD STANFORD UNIVERSITY 340 PANAMA STREET STANFORD CA 94305 941156365 501 (C) (3) OR GOV 1391843 SUBAWARD SUNY RESEARCH FOUNDATION 1300 ELMWOOD AVE BISHOP HALL B17 BUFFALO NY 14222 141368361 501 (C) (3) OR GOV 66945 SUBAWARD TCA HEALTH INC 1029 E 130TH STREET CHICAGO IL 60628 362743287 501 (C) (3) OR GOV 31761 SUBAWARD TEMPLE UNIVERSITY 1805 NORTH BROAD STREET PHILADELPHIA PA 19122 231365971 501 (C) (3) OR GOV 179122 SUBAWARD TRINITY UNIVERSITY 1 TRINITY PLACE SAN ANTOINIO TX 78212 741109633 501 (C) (3) OR GOV 44000 SUBAWARD UNITED SITE NATIONAL SERVICES 200 FRIEBERG PARKWAY WESTBOROUGH MA 01581 260674933 13615 SUBAWARD UNIVERISTY OF CENTRAL FLORIDA 12424 RESEARCH PARKWAY ORLANDO FL 32826 592924021 501 (C) (3) OR GOV 90620 SUBAWARD UNIVERSITY OF ALABAMA 1530 3RD AVENUE S AB 1170 BIRMINGHAM AL 35294 636005996 501 (C) (3) OR GOV 138775 SUBAWARD UNIVERSITY OF ALASKA P O BOX 756540 FAIRBANKS AK 99775 916000147 501 (C) (3) OR GOV 51215 SUBAWARD UNIVERSITY OF ARIZONA 888 N EUCLID ROOM 510 TUCSON AZ 85722 742652689 501 (C) (3) OR GOV 34776 SUBAWARD UNIVERSITY OF CALIFORNIA -SF 3333 CALIFORNIA STREET SUITE 315 SAN FRANCISCO CA 94118 946036493 501 (C) (3) OR GOV 265939 SUBAWARD UNIVERSITY OF CALIFORNIA-BK 2150 SHATTUCK AVENUE SUITE 300 BERKELEY CA 94704 946002123 501 (C) (3) OR GOV 345861 SUBAWARD UNIVERSITY OF CALIFORNIA-DV ONE SHIELDS AVENUE DAVIS CA 95616 946036494 501 (C) (3) OR GOV 430152 SUBAWARD UNIVERSITY OF CALIFORNIA-IR 4255 CAMPUS DRIVE IRVINE AZ 90024 952226406 501 (C) (3) OR GOV 129240 SUBAWARD UNIVERSITY OF CALIFORNIA-LA 10920 WILSHIRE BOULEVARD SUITE 1200 1200 LOS ANGELES CA 90024 943067788 501 (C) (3) OR GOV 106289 SUBAWARD UNIVERSITY OF CALIFORNIA-SC 9500 GILMAN DRIVE - RM 3041 LA JOLLA CA 92093 956006144 501 (C) (3) OR GOV 25438 SUBAWARD UNIVERSITY OF CALIFORNIA-SD 9500 GILMAN DRIVE - RM 3041 LA JOLLA CA 92093 956006144 501 (C) (3) OR GOV 679147 SUBAWARD UNIVERSITY OF CALIFORNIA-SF 3333 CALIFORNIA STREET SUITE 315 SAN FRANCISCO CA 94118 946036493 501 (C) (3) OR GOV 1319411 SUBAWARD UNIVERSITY OF CINCINNATI 2600 CLIFTON AVENUE CINCINNATI OH 45221 316000989 501 (C) (3) OR GOV 196250 SUBAWARD UNIVERSITY OF COLORADO 3100 MARINE STREET BOULDER CO 80309 391481425 501 (C) (3) OR GOV 262831 SUBAWARD UNIVERSITY OF DENVER 2199 S UNIVERSITY BOULEVARD DENVER CO 80208 840404231 501 (C) (3) OR GOV 247034 SUBAWARD UNIVERSITY OF FLORIDA 219 GRINTER HALL PO BOX 1003628 GAINESVILLE FL 32611 590974739 501 (C) (3) OR GOV 11994 SUBAWARD UNIVERSITY OF GEORGIA 424 EAST BROAD STREET ATHENS GA 30602 586001998 501 (C) (3) OR GOV 8617 SUBAWARD UNIVERSITY OF HEALTHSYSTEM CONSORTIUM 155 N WACKER DRIVE CHICAGO IL 60606 363740243 48333 SUBAWARD UNIVERSITY OF ILLINOIS-CHICAGO 809 SOUTH MARSHFIELD AVENUE CHICAGO IL 60612 376000511 501 (C) (3) OR GOV 1747087 SUBAWARD UNIVERSITY OF ILLINOIS-URBANA 1901 S FIRST ST SUITE A MC-685 CHAMPAIGN IL 61820 376000511 501 (C) (3) OR GOV 711399 SUBAWARD UNIVERSITY OF IOWA 201 GILMORE HALL IOWA CITY IA 52242 426004813 501 (C) (3) OR GOV 290539 SUBAWARD UNIVERSITY OF KANSAS 2385 IRVING HILL ROAD LAWRENCE KS 66045 480680117 501 (C) (3) OR GOV 45909 SUBAWARD UNIVERSITY OF KENTUCKY 109 KINKEAD HALL LEXINGTON KY 40506 616001218 501 (C) (3) OR GOV 155856 SUBAWARD UNIVERSITY OF MARYLAND 3300 METZEROTT ROAD ADELPHI MD 20783 526002033 501 (C) (3) OR GOV 263640 SUBAWARD UNIVERSITY OF MARYLAND BALTIMORE 220 ARCH STREET OFFICE LEVEL 2 BALTIMORE MD 21201 526002033 501 (C) (3) OR GOV 6759 SUBAWARD UNIVERSITY OF MASSACHUSETTS 55 LAKE AVENUE NORTH WORCESTER MA 01655 043167352 501 (C) (3) OR GOV 55147 SUBAWARD UNIVERSITY OF MIAMI P O BOX 248106 CORAL GABLES FL 33124 590624458 501 (C) (3) OR GOV 17124 SUBAWARD UNIVERSITY OF MICHIGAN 3003 S STATE STREET 3089 WOLVERINE TOWER ANN ARBOR MI 48109 386006309 501 (C) (3) OR GOV 830240 SUBAWARD UNIVERSITY OF MINNESOTA 200 OAK STREET SE MINNEAPOLIS MN 55455 416007513 501 (C) (3) OR GOV 55487 SUBAWARD UNIVERSITY OF NEW MEXICO 1 UNIVERSITY OF NEW MEXICO ALBUQUERQUE NM 87131 856000642 501 (C) (3) OR GOV 285133 SUBAWARD UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DRIVE CB1350 CHAPEL HILL NC 27599 566001393 501 (C) (3) OR GOV 190352 SUBAWARD UNIVERSITY OF NORTH CAROLINA PRESS 116 S BOUNDARY STREET CHAPEL HILL NC 27514 566001394 501 (C) (3) OR GOV 46750 SUBAWARD UNIVERSITY OF NOTRE DAME 402 GRACE HALL NOTRE DAME IN 46556 350868188 501 (C) (3) OR GOV 172500 SUBAWARD UNIVERSITY OF PENNSYLVANIA 3451 WALNUT STREET P-221 FRANKLIN BLDG PHILADELPHIA PA 19104 231352685 501 (C) (3) OR GOV 92464 SUBAWARD UNIVERSITY OF PITTSBURGH 3100 CATHEDRAL OF LEARNING PITTSBURGH PA 15260 250965591 501 (C) (3) OR GOV 762204 SUBAWARD UNIVERSITY OF PUERTO RICO P O BOX 21790 SAN JUAN PR 00931 660362666 501 (C) (3) OR GOV 13292 SUBAWARD UNIVERSITY OF ROCHESTER 1325 MT HOPE AVENUE ROCHESTER NY 14620 161089052 501 (C) (3) OR GOV 30788 SUBAWARD UNIVERSITY OF SCIENCES IN PHILIADELPHIA 600 SOUTH 43RD STREET PHILADELLPHIA PA 19104 231352668 501 (C) (3) OR GOV 18819 SUBAWARD UNIVERSITY OF SOUTHERN CALIFORNIA UNIVERSITY PARK CAMPUS - STO 330 LOS ANGELES CA 90089 951642394 501 (C) (3) OR GOV 190484 SUBAWARD UNIVERSITY OF TENNESSEE UTHSC 62 S DUNLAP MEMPHIS TN 38163 626001636 501 (C) (3) OR GOV 327255 SUBAWARD UNIVERSITY OF TEXAS MD ANDERSEN CANCER CENTER PO BOX 7159 AUSTIN TX 78713 746001118 501 (C) (3) OR GOV 15461 SUBAWARD UNIVERSITY OF UTAH 201 PRESIDENTS CIRCLE SALT LAKE CITY UT 84112 876000525 501 (C) (3) OR GOV 6329 SUBAWARD UNIVERSITY OF VIRGINIA P O BOX 400202 CHARLOTTESVILLE VA 22904 546001796 501 (C) (3) OR GOV 389311 SUBAWARD UNIVERSITY OF WASHINGTON 1100 NE 45TH STREET SUITE 300 SEATTLE WA 98105 916001537 501 (C) (3) OR GOV 120951 SUBAWARD UNIVERSITY OF WISCONSIN-MADISON 21 NORTH PARK STREET - SUITE 6401 MADISON WI 53715 396006492 501 (C) (3) OR GOV 939788 SUBAWARD URBAN INSTITUTE 2100 M STREET NW WASHINGTON DC 20037 520880375 501 (C) (3) OR GOV 84083 SUBAWARD USDA- US DEPARTMENT OF AGRICULTURE 1030 BALTIMORE AVE BLD 003 BARC-WEST BELTSVILLE MD 20705 720564834 501 (C) (3) OR GOV 80534 SUBAWARD VA PUGET HEALTH CARE 1660 S COLUMBIA WAY S-152 SEATTLE WA 98105 910656166 501 (C) (3) OR GOV 52491 SUBAWARD VANDERBILT UNIVERSITY 3319 WEST END AVENUE SUITE 800 NASHVILLE TN 37203 620476822 501 (C) (3) OR GOV 436030 SUBAWARD VIRGINIA COMMONWEALTH UNIVERSITY 800 EAST LEIGH ST SUITE 113 PO BOX 980568 RICHMOND VA 23298 546001758 501 (C) (3) OR GOV 21197 SUBAWARD WASHINGTON PARK CONSORTIUM 6357 S COTTAGE GROVE CHICAGO IL 60637 263873131 501 (C) (3) OR GOV 28715 SUBAWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE BOX 1034 ST LOUIS MO 63112 436053611 501 (C) (3) OR GOV 407721 SUBAWARD WAUKESHA MEMORIAL HOSPITAL 725 AMERICA AVENUE WAUKESHA WI 53188 390910727 501 (C) (3) OR GOV 16529 SUBAWARD WESTERN MICHIGAN UNIVERSITY 1903 W MICHIGAN AVE KALAMAZOO MI 49008 386007327 501 (C) (3) OR GOV 27600 SUBAWARD YOUTH GUIDANCE 1 NORTH LASALLE ST SUITE 900 CHICAGO IL 60602 362167032 501 (C) (3) OR GOV 154000 SUBAWARD UNDERGRADUATE STUDENT AID 3173 99488098 GRADUATE STUDENT AID 6080 206939552 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE UNIVERSITY OF CHICAGO FOLLOWS THESE PROCEDURES TO MONITOR THE USE OF GRANT FUNDS INSIDE THE UNITED STATES. THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATORS WILL REVIEW INVOICES AND CERTIFY AS TO THE ALLOWABILITY AND APPROPRIATENESS OF THE CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. PART II, LINE 1 TWO SUBAWARDS IN THE AMOUNT OF $227,073 AND $26,401 ARE NOT LISTED ABOVE AS THE RECIPIENTS OPERATE AS SOLE PROPRIETORS. X X X X X X 1 1 X X X X X 1 1 0 0 0 0 0 1 0 ROBERT J ZIMMER 916620 0 170000 0 105605 0 524800 0 177631 0 1894656 0 0 0 THOMAS F ROSENBAUM 617469 0 22800 0 8875 0 20000 0 69693 0 738837 0 0 0 NIMALAN CHINNIAH 576788 0 30690 0 15873 0 20000 0 28349 0 671700 0 0 0 KAREN WARREN COLEMAN 218351 0 0 0 398 0 18000 0 18867 0 255616 0 0 0 DEREK RB DOUGLAS 359875 0 39200 0 37064 0 20000 0 33960 0 490099 0 0 0 DAVID B FITHIAN 304974 0 20983 0 16348 0 20000 0 7241 0 369546 0 0 0 DAVID A GREENE 583091 0 28750 0 72122 0 145000 0 56551 0 885514 0 0 0 BETH A HARRIS 399120 0 18320 0 7133 0 20000 0 72398 0 516971 0 0 0 DONALD H LEVY 365988 0 15054 0 0 0 20000 0 12692 0 413734 0 0 0 KENNETH MANOTTI 406069 0 0 0 8761 0 20000 0 10907 0 445737 0 0 0 JAMES G NONDORF 392232 0 47000 0 2811 0 20000 0 7476 0 469519 0 0 0 JULIE PETERSON 366188 0 15412 0 15369 0 20000 0 60322 0 477291 0 0 0 KENNETH S POLONSKY 1407051 0 418000 0 25675 0 20000 368862 21429 0 1892155 368862 0 0 MARK A SCHMID 559418 0 1359000 0 71415 0 570000 0 26909 0 2586742 0 500000 0 THOMAS FARRELL 154417 0 348 0 513790 0 12600 0 8267 0 689422 0 0 0 KIM GOFF CREWS 136365 0 30 0 2012 0 11090 0 5242 0 154739 0 0 0 MICHAEL EDLESON 454101 0 1140003 0 0 0 356960 0 20911 0 1971975 0 324000 0 PHUONG-QUE NGUYEN 421516 0 708444 0 0 0 328880 0 677 0 1459517 0 0 0 VALLUVAN JEEVANANDAM 838002 0 257718 0 0 0 20000 0 24207 0 1139927 0 0 0 SANJAY DHAR 289493 0 765210 0 0 0 20000 0 29417 0 1104120 0 0 0 CHRISTOPHER LONGEE 374224 0 631198 0 0 0 297546 0 71566 0 1374534 0 261835 0 EVERETT VOKES 721310 0 100000 0 0 0 20000 0 40768 0 882078 0 0 0 SUNIL P KUMAR 516819 0 52900 0 2156 0 20000 0 20400 0 612275 0 0 0 SUPPLEMENTAL INFORMATION PART III PART I, LINE 1A: FIRST CLASS TRAVEL: UNDER WRITTEN UNIVERSITY POLICY, FIRST CLASS AIR TRAVEL IS ONLY ALLOWED WHEN APPROVED IN ADVANCE BY A DEAN, VICE PRESIDENT OR THE PROVOST. TWO OFFICERS OF THE UNIVERSITY WERE APPROVED FOR FIRST CLASS TRAVEL IN ACCORDANCE WITH THIS POLICY. NONE OF THESE BUSINESS TRIPS WERE DEEMED TAXABLE COMPENSATION. PART I, LINE 1A: TRAVEL FOR COMPANION: UNDER WRITTEN UNIVERSITY POLICY, TRAVEL FOR COMPANIONS MUST BE PRE-APPROVED BY THE EXECUTIVE VICE PRESIDENT FOR ADMINISTRATION AND CHIEF FINANCIAL OFFICER, AND WILL ONLY BE APPROVED WHEN THE COMPANION TRAVEL SERVES A BONA FIDE BUSINESS PURPOSE. ONE OFFICER HAD COMPANION TRAVEL APPROVED IN ACCORDANCE WITH THIS POLICY. THE COST OF COMPANION TRAVEL WAS NOT DEEMED TAXABLE COMPENSATION. PART I, LINE 1A & 1B: TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: INDIVIDUALS MAY HAVE CERTAIN PAYMENTS GROSSED UP AT THE DISCRETION OF HEADS OF DEPARTMENTTS OR OFFICERS OF THE UNIVERSITY. ONE LISTED PERSON HAD A GROSS-UP PAYMENT WHICH WAS INCLUDED IN THE INDIVIDUAL'S TAXABLE INCOME. PART I, LINE 1A & 1B AND PART II, COLUMN D FOR ROBERT J. ZIMMER. HOUSING ALLOWANCES AND RESIDENCE FOR PERSONAL USE: HOUSING ALLOWANCES ARE ONLY PERMITTED IF PRE-APPROVED BY THE PROVOST'S OFFICE OR UNIVERSITY HUMAN RESOURCES. FIVE OFFICERS RECEIVED HOUSING ALLOWANCES, WHICH WERE INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. OF THE AMOUNT IN COLUMN D FOR ROBERT J. ZIMMER, $106,580 REPRESENTS THE VALUE OF UNIVERSITY-OWNED HOUSING PROVIDED TO THE PRESIDENT, WHICH IS NOT DEEMED A TAXABLE BENEFIT. PART I, LINE 1A. SOCIAL AND HEALTH CLUB DUES: UNDER WRITTEN UNIVERSITY POLICY, SOCIAL AND HEALTH CLUB DUES ARE REIMBURSABLE ONLY IF THE BENEFITS OF THE MEMBERSHIP SUPPORT THE UNIVERSITY'S MISSION, AND ONLY IF THE REIMBURSEMENT IS APPROVED BY A DEAN,VICE-PRESIDENT, PROVOST OR PRESIDENT OF THE UNIVERSITY. ANY PORTION OF THE DUES NOT USED FOR BUSINESS PURPOSES IS CONSIDERED TAXABLE COMPENSATION. OFFICERS OF THE UNIVERSITY MAINTAIN MEMBERSHIP IN THE QUADRANGLE CLUB, A RELATED ORGANIZATION THAT OPERATES A FACULTY CLUB ON THE CAMPUS OF THE UNIVERSITY, FOR PURPOSES OF CONDUCTING MEETINGS AND OTHER UNIVERSITY BUSINESS. THE UNIVERSITY REIMBURSES OFFICERS FOR THESE DUES, AND THE REIMBURSEMENT IS NOT DEEMED TAXABLE COMPENSATION. IN ADDITION, THREE OFFICERS AND ONE FORMER KEY EMPLOYEE HAD SOCIAL CLUB DUES REIMBURSED BY THE UNIVERSITY FOR BUSINESS PURPOSES, AND THE REIMBURSEMENT WAS NOT DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. PERSONAL SERVICES: THE UNIVERSITY CONTRACTS WITH AN INDEPENDENT CONTRACTOR TO PROVIDE THE PRESIDENT OF THE UNIVERSITY WITH A CAR AND DRIVER FOR USE ON UNIVERSITY BUSINESS. IN ADDITION, THE UNIVERSITY PROVIDES FOR THE MAINTENANCE AND CLEANING OF THE UNIVERSITY-OWNED HOUSE PROVIDED TO THE PRESIDENT. THESE SERVICES WERE NOT DEEMED A TAXABLE BENEFIT. PART I, LINE 4A:THOMAS FARRELL $511,875 PART I, LINE 4B: ROBERT ZIMMER $504,800, DAVID GREENE $125,000, KENNETH POLONSKY $368,862. PART I, LINE 7: INVESTMENT OFFICE PERSONNEL PARTICIPATE IN AN INCENTIVE COMPENSATION PROGRAM BASED ON PERFORMANCE AND QUALITATIVE MEASUREMENTS. A IFA 100000000 REVENUE BONDS SERIES 2004B 861091967 45200BHH4 2004-11-10 100000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IFA 80000000 ADJ RAT REV REFUNDING BONDS 2004C 861091967 45200BJG4 2004-11-30 80000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 244030000 REVENUE BONDS SERIES 2007 861091967 45200B6F0 2007-06-28 249996429 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA XXX-XX-XXXX ADJ RATE DEMAND REV SERIES 2008 861091967 45200FEG0 2008-04-03 123604000 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 13193000 102437189 469999 101967190 2010 0 0 1 1 B 2131000 80000000 463838 79536162 2006 1 0 1 1 C 4530000 256001810 1630377 254371433 2010 0 0 1 1 D 11724000 123604000 752575 122851425 2004 1 0 1 1 A 0 0 1 1 1 1 0.00300 0.00000 0.00300 0 0 1 B 0 0 1 1 1 1 0.00300 0.00000 0.00300 0 0 1 C 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 1 1 1 1 0.00800 0.00000 0.00800 0 1 0.00040 0 1 A 0 0 1 1 1 0 0 0 1 B 0 0 1 1 1 1 MORGAN STANLEY CAP 35.000000000000 0 0 0 0 1 C 0 0 1 1 0 0 0 0 1 D 0 0 0 1 1 1 MERRILL LYNCH CAP 33.000000000000 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K PART IV, ARBITRAGE, LINE 2C DATE REBATE COMPUTATION PERFORMED ISSUER NAME: IFA 100,000,000 REVENUE BONDS, SERIES 2004B DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2009 ISSUER NAME: IFA 80,000,000 ADJ RAT REV REFUNDING BONDS 2004C DATE THE REBATE COMPUTATION WAS PERFORMED: 12/22/2011 ISSUER NAME: IFA 244,030,000 REVENUE BONDS, SERIES 2007 DATE THE REBATE COMPUTATION WAS PERFORMED: 07/12/2012 ISSUER NAME: IFA 123,604,000 ADJ RATE DEMAND REV SERIES 2008 DATE THE REBATE COMPUTATION WAS PERFORMED: 03/26/2013 ISSUER NAME: IEFA 200,000,000 REVENUE BONDS, SERIES 2003A DATE THE REBATE COMPUTATION WAS PERFORMED: 04/28/2009 ISSUER NAME: IEFA 50,000,000 ADJ RATE REV BONDS,SERIES 2003B DATE THE REBATE COMPUTATION WAS PERFORMED: 04/02/2009 PART I COLUMN F DESCRIPTION OF PURPOSE 100,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND PAY CERTAIN COSTS OF ISSUANCE. $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $244,030,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2007, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL, A LIBRARY ADDITION, STEAM AND CHILLED WATER UTILITY PLANT EXPANSION, THE CENTER FOR BIOMEDICAL DISCOVERY, AND AN OFFICE BUILDING, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $200,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003A (F) DESCRIPTION OF PURPOSE TO REFUND, FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR THE COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER AND TO PAY CERTAIN COSTS OF ISSUANCE. $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $500,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COST OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL AND DINING FACILITY, THE LOGAN ARTS CENTER, A LIBRARY ADDITION, AND THE CENTER FOR BIOMEDICAL DISCOVERY, AND PAY CERTAIN COSTS OF ISSUANCE. $369,570,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2012A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, THE MULTIPURPOSE ECONOMICS RESEARCH BUILDING, AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 1985A BONDS AND THE 2004A BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. $149,090,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2013A, (F) DESCRIPTION OF PURPOSE: TO FINANCE, REFINANCE, AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, ADAPTIVE REUSE OF 5757 S. UNIVERSITY AVENUE AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 2001A BONDS, THE 2004A BONDS AND THE 2008B BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. PART II COLUMN C, LINE 3: SERIES 2004B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $2,437,189. SERIES 2007: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $6,005,381. SERIES 2003A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $1,543,963. SERIES 2003B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $141,933. SERIES 2008B: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $646,698. SERIES 2012A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $8,069. SERIES 2013A: THE DIFFERENCE BETWEEN THE ISSUE PRICE AND TOTAL PROCEEDS OF THE ISSUE IS THE INTEREST EARNED ON INVESTMENTS OF $466. PART IV, LINE 2C - DATE OF REBATE COMPUTATION A IEFA 200000000 REVENUE BONDS SERIES 2003A 521297563 4520016W5 2003-08-28 202182031 SEE SUPPLEMENTAL INFORMATION 0 0 0 B IEFA 50000000 ADJ RATE REV BONDSSERIES 2003B 521297563 4520017E4 2003-08-28 50000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 C IFA 500000000 REVENUE BONDS SERIES 2008B 861091967 45200FSX8 2009-01-07 502370736 SEE SUPPLEMENTAL INFORMATION 0 0 0 D IFA 369570000 REVENUE BONDS SERIES 2012A 861091967 45203HFF4 2012-02-02 421065981 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 196570000 203725994 1118187 158489129 44118678 2006 1 0 1 1 B 8534000 50141933 274223 49867740 2006 0 0 1 1 C 44325000 503017434 3487166 499530268 2012 0 0 1 1 D 115000 421074049 1982388 150009360 269082300 2013 0 1 1 1 A 0 0 1 1 1 1 0.00500 0.00000 0.00500 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 1 1 1 1 0.00200 0.00000 0.00200 0 0 1 A 0 0 1 1 0 0 0 0 1 B 0 0 1 1 1 0 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 A IFA 149090000 REVENUE BONDS SERIES 2013A 861091967 45203HRE4 2013-05-15 159766350 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 159766816 1179561 9204160 58586789 90796305 1 1 0 1 A 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 A 1 SUNIL KUMAR X 450000 432383 0 1 1 NIM CHINNIAH X 167000 101977 0 1 1 DAVID GREENE X 60000 60000 0 1 1 DAVID FITHIAN X 136000 111007 0 1 1 705367 NOT REQUIRED NOT REQUIRED 2924 STUDENT AID TISHMAN SPEYER CROWN EQUITY SEE PART V 1196159 SEE PART V 0 BLOOMBERG LP SEE PART V 510000 SEE PART V 0 QFS ASSET MANAGEMENT LP SEE PART V 2500000 SEE PART V 0 TRIAN PARTNERS SEE PART V 897252 SEE PART V 0 ARAMARK CORPORATION SEE PART V 20866522 SEE PART V 0 HYATT HOTELS CORPORATION SEE PART V 1700000 SEE PART V 0 CDW LLC SEE PART V 945925 SEE PART V 0 SHADI BARTSCH-ZIMMER SEE PART V 233625 SEE PART V 0 SUMATI MURLI SEE PART V 88544 SEE PART V 0 DANIEL ROSENBAUM SEE PART V 13706 SEE PART V 0 FRANCES J SCHMID SEE PART V 33448 SEE PART V 0 TAMARA VOKES SEE PART V 218050 SEE PART V 0 TAMAR POLONSKY SEE PART V 160100 SEE PART V 0 FORM 990, SCHEDULE L, PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS JAMES S. CROWN, A TRUSTEE OF THE UNIVERSITY, AND HIS FAMILY OWN AN INDIRECT INTEREST IN TISHMAN SPEYER CROWN EQUITIES, LLC (TISHMAN SPEYER), WHICH THROUGH A SUBSIDIARY OWNS AN OFFICE BUILDING IN WASHINGTON D.C. IN WHICH THE UNIVERSITY OF CHICAGO LEASES OFFICE SPACE. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $756,787 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2013. THE UNIVERSITY ALSO LEASES OFFICE SPACE IN NEW YORK, NEW YORK FROM TISHMAN SPEYER. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $439,372 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2013.DANIEL L. DOCTOROFF, A TRUSTEE OF THE UNIVERSITY, IS CHIEF EXECUTIVE OFFICER OF BLOOMBERG LP, FROM WHICH THE UNIVERSITY PURCHASED VARIOUS INVESTMENT DATA PRODUCTS ON STANDARD, ARMS' LENGTH TERMS. THE UNIVERSITY PAID BLOOMBERG LP AND ITS AFFILIATES APPROXIMATELY $510,000 FOR THESE PRODUCTS DURING THE TAX YEAR ENDED JUNE 30, 2013. JOHN A. EDWARDSON, A TRUSTEE OF THE UNIVERSITY, DURING A PORTION OF THE TAX YEAR WAS CHAIRMAN OF CDW LLC, FROM WHICH THE UNIVERSITY FROM TIME TO TIME PURCHASES CERTAIN COMPUTER HARDWARE AND SOFTWARE PRODUCTS, AND RELATED SERVICES. DURING THE TAX YEAR ENDED JUNE 30, 2013, THE UNIVERSITY PAID CDW LLC APPROXIMATELY $945,925 IN CONNECTION WITH SUCH PURCHASES.SANFORD GROSSMAN, A TRUSTEE OF THE UNIVERSITY, WAS DURING A PORTION OF THE YEAR, CHAIRMAN, CEO AND SOLE SHAREHOLDER OF QFS ASSET MANAGEMENT, INC., THE GENERAL PARTNER OF QFS ASSET MANAGEMENT, L.P., A LIMITED PARTNERSHIP IN WHICH THE UNIVERSITY, THROUGH AN AFFILIATE, OWNS A LIMITED PARTNERSHIP INTEREST AS A RESULT OF A CHARITABLE GIFT FROM MR. GROSSMAN. THE UNIVERSITY RECEIVED APPROXIMATELY $2.5 MILLION IN DISTRIBUTIONS FROM QFS ASSET MANAGEMENT, L.P. IN THE TAX YEAR ENDED JUNE 30, 2013.PETER MAY, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT AND FOUNDING PARTNER OF TRIAN PARTNERS, AN INVESTMENT MANAGEMENT FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. TRIAN PARTNERS RECEIVED APPROXIMATELY $897,000 IN MANAGEMENT AND INCENTIVE FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT FOR THE TAX YEAR ENDED JUNE 30, 2013. JOSEPH NEUBAUER, A TRUSTEE OF THE UNIVERSITY, IS CHAIRMAN AND DIRECTOR OF ARAMARK HOLDINGS CORPORATION, WHICH OWNS A MAJORITY OF ARAMARK CORPORATION, A DIVERSIFIED MANAGEMENT COMPANY. THE UNIVERSITY HAS RETAINED ARAMARK CORPORATION TO PROVIDE FOOD SERVICE IN VARIOUS UNIVERSITY RESIDENCE HALLS AND FACILITIES, AND TO PROVIDE CERTAIN UNIFORM AND VENDING SERVICES TO THE UNIVERSITY. DURING THE TAX YEAR ENDED JUNE 30, 2013, THE UNIVERSITY PAID ARAMARK CORPORATION APPROXIMATELY $14,000,000 FOR THESE SERVICES, AND ARAMARK CORPORATION PAID THE UNIVERSITY APPROXIMATELY $2,247,000 IN CONNECTION WITH THESE SERVICES. THE CONTRACTS FOR THESE SERVICES WERE NEGOTIATED AT ARMS' LENGTH AND WERE CONCLUDED ON MARKET TERMS.THOMAS J. PRITZKER, A TRUSTEE OF THE UNIVERSITY, IS EXECUTIVE CHAIRMAN OF THE HYATT HOTELS CORPORATION, AND RACHEL D. KOHLER, A TRUSTEE OF THE UNIVERSITY, IS MARRIED TO THE CEO OF HYATT HOTELS CORPORATION. DURING THE TAX YEAR ENDED JUNE 30, 2013,THE UNIVERSITY SPENT APPROXIMATELY $1.7 MILLION ON FOOD, LODGING AND EVENTS AT VARIOUS HYATT HOTELS. THESE TRANSACTIONS WERE ALL DONE IN THE ORDINARY COURSE OF BUSINESS.SHADI BARTSCH-ZIMMER, THE WIFE OF THE UNIVERSITY OF CHICAGO PRESIDENT ROBERT J. ZIMMER, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR OF CLASSICS. MS. BARTSCH-ZIMMER WAS PAID A GROSS SALARY OF $233,625 FOR THE CALENDAR YEAR 2012 IN CONNECTION WITH HER EMPLOYMENT.SUMATI MURLI, THE WIFE OF SUNIL KUMAR, DEAN OF THE BOOTH SCHOOL OF BUSINESS, IS EMPLOYED BY THE UNIVERSITY AS A DIRECTOR FOR CLINICAL RESEARCH OPERATIONS. MS. MURLI WAS PAID $88,544 FOR THE CALENDAR YEAR 2012 IN CONNECTION WITH HER EMPLOYMENT.DANIEL ROSENBAUM, THE SON OF THOMAS ROSENBAUM, THE PROVOST OF THE UNIVERSITY, IS EMPLOYED AS A STUDENT WORKER. MR. ROSENBAUM WAS PAID $13,706 FOR THE CALENDAR YEAR 2012 IN CONNECTION WITH HIS EMPLOYMENT.FRANCES J. SCHMID, THE DAUGHTER OF MARK SCHMID, VICE PRESIDENT AND CHIEF INVESTMENT OFFICER, IS EMPLOYED BY THE UNIVERSITY AS AN ASSISTANT IN THE OFFICE OF DEVELOPMENT. MS. SCHMID WAS PAID $33,448 FOR THE CALENDAR YEAR 2012 IN CONNECTION WITH HER EMPLOYMENT.TAMARA VOKES, THE WIFE OF EVERETT VOKES, THE FORMER DEAN AND VICE PRESIDENT FOR MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR IN CLINICAL MEDICINE. DR. VOKES WAS PAID $218,050 FOR THE CALENDAR YEAR 2012 IN CONNECTION WITH HER EMPLOYMENT.TAMAR POLONSKY, THE DAUGHTER OF KENNETH POLONSKY, DEAN AND EXECUTIVE VICE PRESIDENT FOR MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS AN ASSISTANT PROFESSOR IN THE DEPARTMENT OF MEDICINE. DR. POLONSKY WAS PAID $160,100 FOR THE CALENDAR YEAR 2012 IN CONNECTION WITH HER EMPLOYMENT. X 12 0 X 323 26720594 COST/SELLING PRICE X EQUIPMENT 2 538530 MARKET VALUE X AIRLINE TICKETS 2 44000 MARKET VALUE X SOFTWARE 1 203995 MARKET VALUE 14 0 1 1 THIRD PARTY USE: PART I, LINE 32B: RELATED ORGANIZATIONS IN THE UK, FRANCE, SINGAPORE, HONG KONG AND INDIA SOLICIT CHARITABLE CONTRIBUTIONS FOR THE BENEFIT OF THE UNIVERSITY AND ITS PROGRAMS. THE UNIVERSITY USES AN OUTSIDE BROKER TO SELL GIFTS OF SECURITIES. NON REPORTING OF REVENUE: PART I, LINE 33: THE UNIVERSITY OF CHICAGO DOES NOT RECORD GIFTS OF ART AS REVENUE AS PERMITTED UNDER SFAS 116. FORM 990, PART VI, SECTION A, LINE 2 RODNEY L. GOLDSTEIN AND JAMES S. CROWN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. ROBERT W. LANE AND JOSEPH NEUBAUER, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. THOMAS J. PRITZKER AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. JOHN W. ROGERS AND PAULA WOLFF, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO FILING THE FORM 990, MEMBERS OF THE EXECUTIVE COMMITTEE AND AUDIT COMMITTEE OF THE UNIVERSITY'S BOARD OF TRUSTEES WERE GIVEN AN OPPORTUNITY TO REVIEW PORTIONS OF THE FORM 990 RELEVANT TO THE AREAS OF OVERSIGHT OF THOSE COMMITTEES. THESE PORTIONS OF THE FORM 990 WERE DISTRIBUTED TO COMMITTEE MEMBERS FOR CONVENED MEETINGS IN FEBRUARY - MARCH 2014, AT WHICH TRUSTEES OF THESE COMMITTEES WERE GIVEN THE OPPORTUNITY TO DISCUSS THE RELEVANT SECTIONS OF THE FORM 990 AND ASK QUESTIONS. IN ADDITION, IN EARLY APRIL 2014, THE COMPLETED DRAFT FORM 990 (AND FORM 990-T), INCLUDING ALL SCHEDULES, WAS POSTED ON A SECURE WEBSITE ACCESSIBLE TO ALL TRUSTEES TO ALLOW THEM TO REVIEW THE FORM, PROVIDE COMMENTS, AND ASK ANY QUESTIONS. INFORMATION ABOUT ACCESSING THE WEBSITE WAS DISTRIBUTED IN ADVANCE TO ALL TRUSTEES. THE DRAFT FORM REMAINED AVAILABLE ON THE WEBSITE FOR APPROXIMATELY TWO WEEKS, AFTER WHICH ONLINE ACCESS ENDED TO ALLOW THE UNIVERSITY TIME TO FINALIZE THE FORM 990 AND FORM 990T FOR FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ALL TRUSTEES, OFFICERS, FACULTY, SENIOR ADMINISTRATORS, AND OTHER EMPLOYEES OF THE UNIVERSITY ARE SUBJECT TO CONFLICT OF INTEREST POLICIES THAT, AMONG OTHER THINGS, DEFINE MATERIAL FINANCIAL CONFLICTS OF INTEREST, IDENTIFY THE CLASSES OF INDIVIDUALS COVERED BY THE POLICIES, FACILITATE DISCLOSURE OF INFORMATION, AND SPECIFY PROCEDURES TO BE FOLLOWED IN MANAGING THE CONFLICTS. THESE CONFLICT OF INTEREST POLICIES AND PROCEDURES INCLUDE: (1) THE UNIVERSITY OF CHICAGO CONFLICT OF INTEREST POLICY FOR TRUSTEES AND OFFICERS REQUIRES TRUSTEES AND OFFICERS TO ALERT THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, OR THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL OF ANY POTENTIAL CONFLICT OF INTEREST, AND ABSTAIN FROM PARTICIPATING IN OR VOTING ON THE MATTER. THE POLICY ALSO REQUIRES TRUSTEES AND OFFICERS TO DISCLOSE ON AN ANNUAL BASIS, ACTUAL AND POTENTIAL CONFLICTS OF INTEREST BY COMPLETING A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ALL CONFLICT OF INTEREST DISCLOSURES AND RELATED DISCUSSIONS ARE SHARED WITH THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, AND THE UNIVERSITY'S PRESIDENT, ITS GENERAL COUNSEL, AND ITS EXTERNAL AUDITORS. THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL, IN CONSULTATION WITH THE COMMITTEE ON TRUSTEESHIP AND SENIOR UNIVERSITY ADMINISTRATORS, COMPILES THE DISCLOSURES INTO A CONFIDENTIAL DATABASE AND PREPARES FOR EACH TRUSTEE AND OFFICER A WRITTEN ACKNOWLEDGEMENT OF THE DISCLOSURE THAT IDENTIFIES ANY PENDING UNIVERSITY TRANSACTIONS THAT MAY BE AFFECTED BY THE DISCLOSURE. THE CHAIR OF THE BOARD ALSO REVIEWS ALL DISCLOSED POTENTIAL CONFLICTS OF INTEREST BEFORE MAKING BOARD COMMITTEE ASSIGNMENTS. (2) THE UNIVERSITY'S POLICY ON SERVICE TO OUTSIDE ORGANIZATIONS BY SENIOR ADMINISTRATORS REQUIRES OFFICER AND SENIOR ADMINISTRATORS TO DISCLOSE ALL OFFICER, DIRECTOR, OR TRUSTEE POSITIONS THEY HOLD OR INTEND TO HOLD IN OUTSIDE ORGANIZATIONS, INCLUDING BUT NOT LIMITED TO ORGANIZATIONS IN WHICH THEY HAVE A FINANCIAL INTEREST OR FROM WHICH THEY RECEIVE COMPENSATION. THE UNIVERSITY'S OFFICE OF LEGAL COUNSEL MONITORS SUCH POTENTIAL CONFLICTS BY CIRCULATING ANNUALLY A DISCLOSURE FORM THAT MUST BE UPDATED AS CIRCUMSTANCES CHANGE, AND OFFICERS ARE ALSO REQUIRED TO DISCLOSE ALL SUCH RELATIONSHIPS IN ADVANCE TO THEIR IMMEDIATE SUPERVISOR. THIS INFORMATION MAY BE SHARED WITH THE UNIVERSITY'S TRUSTEES, PRESIDENT, PROVOST, GENERAL COUNSEL, AND OTHERS AS NECESSARY; COMPENSATED OUTSIDE SERVICE IS ALSO SUBJECT TO REVIEW BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. (3) ACADEMIC EMPLOYEES, INCLUDING THE PRESIDENT AND THE PROVOST, ARE SUBJECT TO THE UNIVERSITY'S CONFLICT OF INTEREST AND CONFLICT OF COMMITMENT POLICY FOR FACULTY AND OTHER ACADEMIC APPOINTEES. THE OFFICE OF THE PROVOST IS THE ADMINISTRATIVE OFFICE CHARGED WITH ASSURING COMPLIANCE WITH THE FACULTY CONFLICT OF INTEREST POLICY. THE PROVOST HAS DELEGATED OVERSIGHT OF THIS POLICY TO THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST ALSO APPOINTS THE MEMBERS OF THE STANDING COMMITTEE ON INDIVIDUAL CONFLICTS OF INTEREST AND DESIGNATES THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST REPORTS PERIODICALLY TO THE STANDING COMMITTEE ON THE STATUS OF FACULTY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY; THE REPORT INCLUDES HOW RISKS HAVE BEEN ADDRESSED THROUGH MANAGEMENT PLANS OR OTHER PRACTICES INTENDED TO PROVIDE FOR THE REDUCTION, ELIMINATION OR MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS. THE DEPUTY PROVOST SEEKS ASSESSMENTS OF THE RISKS AND RECOMMENDATIONS FOR RESPONSIBLE MANAGEMENT FROM DEPARTMENT CHAIRS AND DEANS AND OTHERS SUCH AS THE DIRECTOR OF UNIVERSITY RESEARCH ADMINISTRATION AND THE OFFICE OF LEGAL COUNSEL. (4) THE UNIVERSITY'S CONFLICT OF INTEREST POLICY REQUIRES ALL NON-ACADEMIC EMPLOYEES TO AVOID INVOLVEMENT IN ACTIVITIES WHICH MIGHT CONFLICT, OR MIGHT APPEAR TO CONFLICT, WITH THEIR INSTITUTIONAL RESPONSIBILITIES, INCLUDING, BUT NOT LIMITED TO BUSINESS OR FINANCIAL INTERESTS, TRANSACTIONS INVOLVING THE USE OF CONFIDENTIAL INFORMATION OR KNOWLEDGE GAINED AS A RESULT OF THE EMPLOYEE'S RELATIONSHIP WITH THE UNIVERSITY, THE USE OF UNIVERSITY RESOURCES FOR PERSONAL BENEFIT OR THE BENEFIT OF OTHERS, THE ACCEPTANCE OF GIFTS OF MORE THAN NOMINAL VALUE, AND NEPOTISM. CONFLICT OF INTEREST POLICY REQUIRES STAFF TO PROVIDE FULL DISCLOSURE OF ANY INTEREST THAT MIGHT INFLUENCE, OR APPEAR TO HAVE THE CAPACITY TO INFLUENCE, THE STAFF MEMBER'S OFFICIAL DECISIONS OR ACTIONS ON UNIVERSITY MATTERS. THE DISCLOSURES ARE TO BE IN WRITING, TENDERED TO THE EMPLOYEE'S IMMEDIATE SUPERVISOR, DEPARTMENT HEAD, OR THE APPROPRIATE VICE PRESIDENT OF THE UNIVERSITY. (5) THE UNIVERSITY'S POLICY ON BUSINESS CONDUCT AT THE UNIVERSITY OF CHICAGO REQUIRES ALL UNIVERSITY EMPLOYEES TO, AMONG OTHER THINGS, AVOID REAL OR PERCEIVED CONFLICTS OF INTEREST; USE UNIVERSITY RESOURCES ONLY FOR LEGITIMATE UNIVERSITY BUSINESS; AND REPORT POSSIBLE VIOLATIONS OF THE POLICY, OTHER UNIVERSITY POLICIES, OR APPLICABLE LAW. MEMBERS OF THE UNIVERSITY COMMUNITY ARE ENCOURAGED TO REPORT COMPLIANCE CONCERNS THROUGH NORMAL LINES OF COMMUNICATION INCLUDING DISCUSSIONS WITH SUPERVISORS OR ADVISORS AND, IF NECESSARY, THROUGH THE TOLL-FREE HOTLINE. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES ANNUALLY REVIEWS COMPENSATION FOR THE UNIVERSITY'S PRESIDENT AND ALL OTHER UNIVERSITY OFFICERS, BASED ON A RECOMMENDATION FROM THE CHAIRMAN OF THE BOARD OF TRUSTEES IN THE CASE OF THE PRESIDENT'S COMPENSATION, AND RECOMMENDATIONS FROM THE PRESIDENT IN THE CASE OF OFFICER COMPENSATION. THE COMPENSATION COMMITTEE REVIEWS THESE RECOMMENDATIONS, INCLUDING A REVIEW OF COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS. THE COMPENSATION COMMITTEE THEN MAKES A RECOMMENDATION REGARDING COMPENSATION TO THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, WHICH ALSO REVIEWS THE COMPARABILITY DATA AND MAKES ALL FINAL COMPENSATION DECISIONS. THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE AND THE DECISIONS OF THE EXECUTIVE COMMITTEE ARE DOCUMENTED IN MINUTES MAINTAINED BY THE UNIVERSITY. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, CONFLICTS OF INTEREST POLICIES, AND MOST RECENT FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ON THE UNIVERSITY'S WEBISTE, WWW.UCHICAGO.EDU . CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: EXCLUSION OF RELATED ORGS THAT FILE THEIR OWN 990 158,852,988. UCHICAGO ARGONNE LLC 5801 S ELLIS AVENUE CHICAGO IL 60637 680628477 MANAGE LAB IL 3736500 0 UNIV OF CHICAGO UNIV OF CHICAGO FOUNDATION LTD 5T FL ALDER CASTER10 NOBLE LONDON UK 980525557 FUNDRAISING UK 650413 18215 UNIV OF CHICAGO THEORY AND COMPUTING SCIENCES 5801 S ELLIS AVENUE CHICAGO IL 60637 516596577 RESEARCH BUILDING IL 9277671 72070726 SEE PART VII UCHICAGO TRADING 5801 S ELLIS AVENUE CHICAGO IL 60637 300517735 INVESTING IL 0 11572644 UNIV OF CHICAGO MAROON INVESTMENTS LLC 5801 S ELLIS AVENUE CHICAGO IL 60637 HOLDING COMPANY IL 2509752 40000000 UNIV OF CHICAGO UCHICAGO IMPACT LLC 1307 E 60TH STREET CHICAGO IL 60637 611682394 EDUCATION IL 4821603 2687080 UNIV OF CHICAGO UNIVERSITY OF CHICAGO MEDICAL CTR 5841 S MARYLAND AVENUE CHICAGO IL 60637 363488183 HOSPITAL IL 501 (C) (3) LINE 3 UNIV OF CHICAGO 0 UNIVERSITY OF CHICAGO PROPERTY HOLDING CORP 5801 S ELLIS AVENUE CHICAGO IL 60637 366108743 PROPERTY HOLDING IL 501 (C) (2) UNIV OF CHICAGO 0 LAKE PARK ASSOCIATES 5801 S ELLIS AVENUE CHICAGO IL 60637 366111317 PROPERTY HOLDING IL 501 (C) (2) UNIV OF CHICAGO 0 ARCH DEVELOPMENT CORPORATION 5555 S WOODLAWN AVENUE CHICAGO IL 60637 363485244 TECH TRANSFER IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO 0 UNIV OF CHICAGO CHARTER SCHOOL CORP 5801 S ELLIS AVENUE CHICAGO IL 60637 364225812 EDUCATION IL 501 (C) (3) LINE 2 UNIV OF CHICAGO 0 COURT THEATRE FUND 5535 S ELLIS AVENUE CHICAGO IL 60637 363203660 SUPP THE ARTS IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO 0 UNIVERSITY OF CHICAGO CANCER RESEARCH FUND 5801 S ELLIS AVENUE CHICAGO IL 60637 366056201 SUPP RESEARCH IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO 0 UNIVERSITY OF CHICAGO SELF INSURANCE TRUST 5801 S ELLIS AVENUE CHICAGO IL 60637 363020034 MALPRACTICE TRUST IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO 0 UNIVERSITY OF CHICAGO RETIREE MEDICAL TRUST 5801 S ELLIS AVENUE CHICAGO IL 60637 363999692 MEDICAL TRUST IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO 0 CHICAGO TUMOR INSTITUTE 5801 S ELLIS AVENUE CHICAGO IL 60637 237136019 SUPP RESEARCH IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO 0 NATIONAL OPINION RESEARCH CENTER 55 E MONROE AVENUE CHICAGO IL 60603 362167808 SO SCI SURVEYS IL 501 (C) (3) LINE 7 N/A 0 THE QUADRANGLE CLUB 5801 S ELLIS AVENUE CHICAGO IL 60637 361655190 SOCIAL CLUB IL 501 (C) (7) UNIV OF CHICAGO 0 FERMI RESEARCH ALLIANCE LLC PO BOX 500 BATAVIA IL 60510 571239010 MANAGE LAB IL 501 (C) (3) LINE 7 N/A 0 UNIVERSITY OF CHICAGO CENTER IN PARIS 6 RUE THOMAS MANN 75013 PARIS FR EDUCATION FR UNIV OF CHICAGO 0 UNIV OF CHGO BOOTH SCHL OF BUSINESS WOOLGATE EXCHANGE 25 BASINGHAL LONGON UK EDUCATION UK UNIV OF CHICAGO 0 UNIV OF CHGO BOOTH SCHL OF BUSINESS 101PENANG RD 238466 SINGAPORE SN EDUCATION SN UNIV OF CHICAGO 0 UNIVERSITY OF CHICAGO TRUST GB10-12 CLAIRMONT APTS RST HSE BANGALORE IN FUNDRAISING IN UNIV OF CHICAGO 0 UNIV OF CHGO FOUNDATION IN HONG KONG RM100 FAR EAST CTR C/O WM FAN CO HONG KONG HK FUNDRAISING HK UNIV OF CHICAGO 0 UCHICAGO RESEARCH INTERNATIONAL LTD 5801 S ELLIS AVENUE CHICAGO IL 60637 262741573 RESEARCH IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO 0 UCHICAGO RESEARCH BANGLADESH LTD HSE 388 ROAD 24 NEW DOH DHAKA BG RESEARCH BG UCHGO RSCH INTL 0 UNIVERSITY OF CHICAGO CLOISTERS CLUB 1212 E 59TH STREET CHICAGO IL 60637 SOCIAL CLUB IL UNIV OF CHICAGO 0 PHOENIX OVERLAY FUND LTD 401 N MICHIGAN AVE C/O INVST OFFICE CHICAGO IL 60611 INVESTING CJ UNIV OF CHICAGO 0 SOUTHEAST CHICAGO COMMISSION 1511 EAST 53RD STREET CHICAGO IL 60615 362226282 COMMUNITY SERVICES IL 501 (C) (3) LINE 7 UNIV OF CHICAGO 0 UCMC COMMUNITY PHYSICIANS LLC 5841 S MARYLAND AVENUE CHICAGO IL 60637 383865637 PHYSICIAN SERVICES IL UNIV OF CHGO MEDICAL CTR 0 THE JOHN CRERAR FOUNDATION 5730 S ELLIS AVENUE CHICAGO IL 60637 363155157 SUPPORT THE LIBRARY IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO 0 HYMEN MILGROM SUPPORTING ORGANIZATION 33 N LASALLE ST SUITE 2131 CHICAGO IL 60602 466789522 SUPP EDUCATION RESEARCH VA 0 CHAPIN HALL CENTER FOR CHILDREN 1313 E 60TH STREET CHICAGO IL 60637 362167012 POLICY RESEARCH CENTER IL 501(C)(3) LINE 7 0 UCHICAGO (BEIJING) CONSULTING COMPANY LTD CHINA UNIT 1-10 CULTURE PL OF REMMIN UNI BEIJING CH CONSULTING CH UCHICAGO RESEARCH INTL 0 CHARITABLE REMAINDER TRUSTS (90) 5801 S ELLIS AVENUE CHICAGO IL 60637 CHARITABLE RMDR TR IL T 0 CHARITABLE LEAD TRUST (1) 5801 S ELLIS AVENUE CHICAGO IL 60637 CHARITABLE LEAD TR IL T 0 POOLED INCOME FUND (1) 5801 S ELLIS AVENUE CHICAGO IL 60637 POOLED INCOME FUND IL T 0 UCHICAGO CENTER IN INDIA PRIVATE LIMITED 2/11 B JANGPURA A NEW DEHLI IN CONSULTING IN 466471 0.51000 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 1 1 1 1 UNIVERSITY OF CHICAGO MEDICAL CENTER A 7399 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER B 5046809 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER C 71750000 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER N 1591415 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER O 91784563 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER P 45068195 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER Q 88734064 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER R 34808196 CASH VALUE UNIVERSITY OF CHICAGO MEDICAL CENTER S 79306752 CASH VALUE PROPERTY HOLDING CORP O 55923 CASH VALUE PROPERTY HOLDING CORP S 100393 CASH VALUE LAKE PARK ASSOCIATES B 25561810 CASH VALUE UNIVERSITY OF CHICAGO CHARTER SCHOOL P 5328728 CASH VALUE UNIVERSITY OF CHICAGO CANCER RESEARCH FDN C 1300921 CASH VALUE UNIVERSITY OF CHICAGO CANCER RESEARCH FDN O 364464 CASH VALUE UNIVERSITY OF CHICAGO SELF INSURANCE TRUST B 22466290 CASH VALUE UNIVERSITY OF CHICAGO SELF INSURANCE TRUST Q 38500000 CASH VALUE UNIVERSITY OF CHICAGO RETIREE MEDICAL TRUST B 5000000 CASH VALUE NATIONAL OPINION RESEARCH CENTER A 843218 CASH VALUE NATIONAL OPINION RESEARCH CENTER Q 60338 CASH VALUE QUADRANGLE CLUB B 200000 CASH VALUE QUADRANGLE CLUB S 72422 CASH VALUE FERMI RESEARCH ALLIANCE R 972963 CASH VALUE UNIVERSITY OF CHICAGO CENTER IN PARIS R 1240204 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK) N 1312111 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK) O 2834984 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK) Q 683127 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK) R 5353 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK) S 3598196 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (SING) N 1764877 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (SING) O 2619096 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (SING) Q 788701 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (SING) R 428868 CASH VALUE UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (SING) S 5292394 CASH VALUE UNIVERSITY OF CHICAGO TRUST C 50000 CASH VALUE UCHICAGO RESEARCH INTERNATIONAL LTD R 2333510 CASH VALUE UNIVERSITY RESEARCH BANGLADESH R 600000 CASH VALUE UNIVERSITY OF CHICAGO FOUNDATION HONG KONG C 796537 CASH VALUE SOUTH EAST CHICAGO COMMISSION O 166724 CASH VALUE SOUTH EAST CHICAGO COMMISSION R 251968 CASH VALUE CHAPIN HALL CENTER FOR CHILDREN R 350000 CASH VALUE PART I IDENTIFICATION OF DISREGARDED ENTITIES THEORY & COMPUTING SCIENCES BUILDING TRUST - THE UNIVERSITY IS THE 100% BENEFICIARY OF THE TRUST, BUT DOES NOT CONTROL THE TRUST. AS SUCH, THE INCOME AND ASSETS OF THE TRUST ARE NOT SHOWN ON THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS WHICH ARE THE BASIS FOR THE 990 PART VIII, LINE 12 AND PART X, LINE 16. THE END OF THE YEAR ASSET BALANCE IS $$72,070,726 AND THE INCOME FOR THE PERIOD ENDING DECEMBER 31, 2012 IS $9,277,671. UCHICAGO ARGONNE LLC MANAGES ARGONNE NATIONAL LABORATORY. UCHICAGO ARGONNE LLC EARNED A MANAGEMENT FEE OF $3,736,500 FOR THE TAX YEAR. THE TOTAL EXPENDITURES AT ARGONNE NATIONAL LABORATORY WERE OVER $735 MILLION FOR THE TAX YEAR. THE FUNDING AND THE EXPENDITURES AT ARGONNE HAVE BEEN INCLUDED IN PARTS III, VIII, AND IX OF THE FORM 990.