2014-07-14T09:45:38-05:00 2013-08-31 134008324 PricewaterhouseCoopers LLP 600 13th Street NW Suite 1000 Washington DC 20005 990 2012-09-01 362167817 Northwestern University NORT 8474913741 633 Clark St Evanston IL 60208 Eugene Sunshine 8474913741 2014-07-14 1 Travis L Patton P00369623 2124141000 2012 2015-11-30 17:44:51Z Eugene Sunshine 633 Clark St Evanston IL 60208 4521056005 0 X www.northwestern.edu X 1851 IL Education and research 36 25 23159 149 14524514 0 265414664 331106325 1582568067 1613666729 346027966 509976558 125525219 431183414 2319535916 2885933026 336067759 377166150 0 0 989249620 1051137198 155359 301025 44479202 774600821 792198764 2100073559 2220803137 219462357 665129889 9839073934 10889523081 1739966403 1754330717 8099107531 9135192364 Northwestern's mission is to provide the highest-quality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises. 0 0 1482885007 289452080 1000323932 Education of students: For the 2013 academic year, 8,446 undergraduates and 8,473 graduates and professional school students enrolled full-time at the University. The exempt purpose of Northwestern University is to provide educational services to its students. This includes superior undergraduate education for a diverse student body in a comprehensive range of academic and professional fields. At the graduate level, Northwestern's role encompasses offerings in the major academic and professional fields, closely related to research, creative activities, and clinical services. 430651000 87714070 538996897 Research activities: The research program at Northwestern University is a major component of University efforts, assuring institutional leadership in scientific discovery, intellectual inquiry, and creative performance. The character of this research shapes all areas of University endeavor, especially graduate education as well as undergraduate studies. 102521000 76980241 Auxilliary enterprises serve the educational mission by primarily providing residences and food services, and other various goods and services to support University student, faculty, and staff activities. 2016057007 1 1 0 1 0 1 0 0 0 1 1 1 0 0 1 1 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 0 0 1 1 1 1 0 0 1 1 1 0 1 0 1 23136 0 1 23159 1 1 1 1 QA UK 0 0 0 1 1 0 0 0 0 0 0 0 X 36 25 1 0 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 1 0 AK AZ KY MD MI NH NY OH OR SC X Karl Turro Controller 8474914722 619 Clark St Evanston IL 60208 X Peter J Barris 1.00 X 0 0 0 John A Canning Jr 1.00 X 0 0 0 Nicholas D Chabraja 1.00 X 0 0 0 A Steven Crown 1.00 X 0 0 0 Richard H Dean 1.00 X 0 0 0 Deborah L DeHaas 1.00 X 0 0 0 Charles W Douglas 1.00 X 0 0 0 D Cameron Findlay 1.00 X 0 0 0 Dennis J FitzSimons 1.00 X 0 0 0 T Bondurant French 1.00 X 0 0 0 Christopher B Galvin 1.00 X 0 0 0 J Douglas Gray 1.00 X 0 12250 0 Philip L Harris 1.00 X 0 0 0 Jay C Hoag 1.00 X 0 0 0 Ellen Philips Katz 1.00 X 0 0 0 Lester B Knight 1.00 X 0 0 0 Timothy K Krauskopf 1.00 X 0 0 0 Edward M Liddy 1.00 X 0 0 0 J Landis Martin 1.00 X 0 0 0 Lee M Mitchell 1.00 X 0 0 0 Wendy M Nelson 1.00 X 0 0 0 William A Osborn 1.00 X 0 0 0 Jane DiRenzo Pigott 1.00 X 0 3850 0 JB Pritzker 1.00 X 0 0 0 M Jude Reyes 1.00 X 0 0 0 Patrick G Ryan Jr 1.00 X 0 0 0 Paul L Sagan 1.00 X 0 0 0 William E Sagan 1.00 X 0 0 0 D Gideon Searle 1.00 X 0 0 0 Andrew E Senyei MD 1.00 X 0 0 0 Benjamin W Slivka 1.00 X 0 0 0 Timothy P Sullivan 1.00 X 0 0 0 Jeffrey W Ubben 1.00 X 0 0 0 Frederick H Waddell 1.00 X 0 0 0 David B Weinberg 1.00 X 0 0 0 Miles D White 1.00 X 0 0 0 Morton O Schapiro 40.00 X 940027 0 392219 Daniel I Linzer 40.00 X 572969 0 196437 Eugene S Sunshine 40.00 X 782652 0 66880 Thomas G Cline 40.00 X 458227 0 91712 Alan K Cubbage 40.00 X 251233 0 25416 Marilyn McCoy 40.00 X 294786 0 43671 William H McLean 40.00 X 1892865 0 979306 Robert E McQuinn 40.00 X 428435 0 53544 Eric G Neilson 30.00 30.00 X 570962 564229 69292 Sean Reynolds 40.00 X 389750 0 30753 Patricia Telles-Irvin 40.00 X 348099 0 41877 Joseph T Walsh Jr 40.00 X 308793 0 76619 James J Phillips 40.00 X 829400 0 101485 Ronald Nayler 40.00 X 334840 0 38251 Patrick M McCarthy 6.00 54.00 X 198428 1791190 59002 Tyler Robert Koski 0.30 59.70 X 6500 1510991 53856 Patrick W Fitzgerald II 40.00 X 2434005 0 46982 Murad Alam 0.10 59.90 X 1000 1566078 38805 Jayesh Mehta 6.00 54.00 X 156329 1326202 53679 William J Banis 0.00 X 185886 0 27649 Jeffrey Glassroth 18.00 42.00 X 274800 651505 63242 Morteza A Rahimi 40.00 X 160939 0 31501 11820925 7426295 2582178 2393 1 1 0 LBR Consolidated Services 440 Bonner Rd Wauconda IL 60084 Custodial services 6914963 Northwestern Memorial Hospital 251 East Huron Chicago IL 60611 Clinical services 3843305 Free Enterprise System One Sodrel Drive Jeffersonville IN 47130 Transportation services 2501440 Yorktown Energy Partners 150 East 42nd St 8th Fl New York NY 10017 Investment management 1931208 Midwest Moving & Storage Inc 1255 Tonne Rd Elk Grove Village IL 60007 Moving services 1888206 510 1727405 9441660 319937260 28281762 331106325 Tuition and fees 900099 840247388 840247388 Research activities 900099 538996897 538996897 Educational activities 900099 123051360 123051360 Auxilliary enterprises 900099 76980241 76980241 Medical departments 900099 26638314 26638314 7752529 7752529 1613666729 120848440 5592352 115256088 412859502 412859502 5277930 1689946 3587984 3587984 22907 3565077 1276656799 745418547 950652670 682294558 326004129 63123989 389128118 -2958011 392086129 305032 1727405 485805 -180773 -180773 Investment in partners 523000 14103919 14103919 Alumni affinity card 900099 415094 415094 Alumni travel study 561520 205080 205080 192608 192608 14916701 2885933026 1616301070 14524514 924001117 78241350 78241350 293060069 293060069 5864731 5864731 14134622 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1713443260 F Equity, fixed income, real assets,etc 5446404853 F 7159848113 Deposits payable,actuarial liability of annuities payable 165772552 Government advances for student loans 38748000 Asset retirement obligations 132057007 Taxable bonds - series 2012 200000000 536577559 X Part III, Line 1a: The University does not capitalize collections. As stated in the University notes to the financial statements, the accounting policy for library collections is to expense all purchases. Museum purchases are accounted for similarly. Gifts of art and similar tangible personal property are accounted for as gifts-in-kind. Description of Intended Use of Endowment Funds: Part V, Line 4: The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction. Description of Uncertain Tax Positions Under FIN 48: Part X, Line 2: The University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the "more likely than not" standard for sustainability on examination by tax authorities. Part X, line 5, Asset Retirement Obligations: The University records all known asset retirement obligations (ARO) for which the fair value of the liability can be reasonably estimated, including certain obligations relating to regulatory remediation. ARO covered include those for which an entity has a legal obligation to perform an asset retirement activity; however, the timing and/or method of settling the obligation are conditional on a future event that may or may not be within the control of the entity. 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 Policies are included in student, faculty, and staff handbooks. Policies are also anually reprinted in the school newspaper. Explanation of Government Financial Assistance Schedule E, Part I, Line 6 The University receives financial support from agencies of the federal government for research purposes and for financial aid to students; additional financial aid support for students is received from agencies of the State of Illinois. Explanation of Racial Nondiscrimination Compliance Schedule E, Part I, Line 7 Northwestern University does not discriminate or permit discrimination by any member of its community against any individual on the basis of race, color, religion, national origin, sex, sexual orientation, gender identity, gender expression, parental status, marital status, age, disability, citizenship, or veteran status, or genetic information in matters of admissions, employment, housing, or services or in the educational programs or activities it operates. 1 Middle East and North Africa 1 165 Maintaining offices, employees or agents International campus in Doha, Qatar for students in journalism and communications. 38237634 East Asia and the Pacific Fundraising 166989 Europe (Including Iceland & Greenland) - Fundraising 14247 Middle East and North Africa Fundraising 7581 North America - Canada and Mexico, but Fundraising 1590 South America - Argentina, Bolivia, Fundraising 6323 South Asia Fundraising 3942 East Asia and the Pacific Program services Research 171448 Europe Program services Research 2376450 Middle East and North Africa Program services Research 180507 North America Program services Research 1448122 South Asia Program services Research 44877 Sub-Saharan Africa Program services Research 4500 Central America and the Caribbean Program services Study abroad programs and courses abroad 216515 East Asia and the Pacific Program services Study abroad programs and courses abroad 2348625 Europe Program services Study abroad programs and courses abroad 2793285 Middle East and North Africa Program services Study abroad programs and courses abroad 1723981 North America Program services Study abroad programs and courses abroad 567179 South America Program services Study abroad programs and courses abroad 263833 South Asia Program services Study abroad programs and courses abroad 81033 Sub-Saharan Africa Program services Study abroad programs and courses abroad 746743 Unrelated trade or business 998 East Asia and the Pacific Unrelated trade or business 4380 Europe Unrelated trade or business 19427 Middle East and North Africa Unrelated trade or business 1004 Russia & the Newly Independent States Unrelated trade or business 4528 South America Unrelated trade or business 2097 Sub-Saharan Africa Unrelated trade or business 7026 Central America and the Caribbean Investments 1539500000 Europe Investments 206605000 North America Investments 47517000 South America Investments 13894000 Sub-Saharan Africa Investments 50988000 Program services Business travel abroad (includes travel to attend seminars and conferences) 6521 Central America and the Caribbean Program services Business travel abroad (includes travel to attend seminars and conferences) 91315 East Asia and the Pacific Program services Business travel abroad (includes travel to attend seminars and conferences) 1492883 Europe Program services Business travel abroad (includes travel to attend seminars and conferences) 3146155 Middle East and North Africa Program services Business travel abroad (includes travel to attend seminars and conferences) 464763 North America Program services Business travel abroad (includes travel to attend seminars and conferences) 428703 Russia & the Newly Independent States Program services Business travel abroad (includes travel to attend seminars and conferences) 50891 South America Program services Business travel abroad (includes travel to attend seminars and conferences) 266619 South Asia Program services Business travel abroad (includes travel to attend seminars and conferences) 236267 Sub-Saharan Africa Program services Business travel abroad (includes travel to attend seminars and conferences) 226920 Central America and the Caribbean Grantmaking 69716 East Asia and the Pacific Grantmaking 416638 Europe Grantmaking 3456169 Middle East and North Africa Grantmaking 246249 North America Grantmaking 1049068 South America Grantmaking 175337 South Asia Grantmaking 32884 Sub-Saharan Africa Grantmaking 409671 Europe (Including Iceland & Greenland) Program-related investments 25000 1 165 0 0 1 165 38609754 1883630879 1922240633 East Asia and the Pacific Grant subaward from sponsored research funds 25885 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 924818 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 43090 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 82165 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 102380 ACH direct deposit or Check Middle East and North Africa Grant subaward from sponsored research funds 119014 ACH direct deposit or Check North America Grant subaward from sponsored research funds 911612 ACH direct deposit or Check North America Grant subaward from sponsored research funds 5960 ACH direct deposit or Check North America - Canada and Mexico, but Grant subaward from sponsored research funds 5252 ACH direct deposit or Check North America - Canada and Mexico, but Grant subaward from sponsored research funds 26429 ACH direct deposit or Check North America - Canada and Mexico, but Grant subaward from sponsored research funds 23636 ACH direct deposit or Check Middle East and North Africa Grant subaward from sponsored research funds 30908 ACH direct deposit or Check East Asia and the Pacific Grant subaward from sponsored research funds 70450 ACH direct deposit or Check North America - Canada and Mexico, but Grant subaward from sponsored research funds 8900 ACH direct deposit or Check Sub-Saharan Africa Grant subaward from sponsored research funds 9558 ACH direct deposit or Check North America Grant subaward from sponsored research funds 7300 ACH direct deposit or Check Middle East and North Africa Grant subaward from sponsored research funds 44034 ACH direct deposit or Check East Asia and the Pacific Grant subaward from sponsored research funds 11902 ACH direct deposit or Check North America Grant subaward from sponsored research funds 59979 ACH direct deposit or Check Sub-Saharan Africa Grant subaward from sponsored research funds 262899 ACH direct deposit or Check East Asia and the Pacific Grant subaward from sponsored research funds 84946 ACH direct deposit or Check Europe (Including Iceland & Greenland) Grant subaward from sponsored research funds 46648 ACH direct deposit or Check Europe (Including Iceland & Greenland) Grant subaward from sponsored research funds 59841 ACH direct deposit or Check East Asia and the Pacific Grant subaward from sponsored research funds 14884 ACH direct deposit or Check 24 Grants disbursed during student's enrollment in international program Central America and the Caribbean 3 54832 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program East Asia and the Pacific 11 223455 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Europe 115 2206227 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Middle East and North Africa 6 52292 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South America 9 175337 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South Asia 3 32884 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Sub-Saharan Africa 11 137214 Applied to student account; credits are refunded by check 1 0 1 1 1 1 Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Schedule F, Part I The program services listed in Part I reflect international educational programs in which the University had material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its student access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad international programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f) of Schedule F. Program-related investments represent student loans disbursed during student's enrollment in international program. Schedule F, Part I, column (f), line 3 Expenditures reported in the Form 990, Schedule F, Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f). Schedule F, Part II, line 1 and line 3 In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, line 1. Twenty-one foreign recipient organizations are universities, colleges, and hospitals. Three are research centers and a research company. Schedule F, Part III Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the dates of the applicable study abroad program. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c). X X X X X X X 1 RuffaloCODY 65 Kirkwood North Rd SW Cedar Rapids IA 52406 Phone solicitation 0 128313 41629 86684 Foley Consulting 2405 Essington Rd 98 Joliet IL 60435 Fundraising Campaign Consultant 0 0 84971 0 Anne Reusche 2433 Simpson St Evanston IL 60201 Fundraising Consultant 0 0 5400 0 Campbell and Company 1 E Wacker Dr 3350 Chicago IL 60601 Fundraising Consultant 0 0 7000 0 Lipman Hearne 200 S Michigan Ave 2600 Chicago IL 60604 Fundraising Consultant 0 0 119640 0 Stelter 10435 New York Ave Des Moines IA 50322 Fundraising Marketing Consultant 0 0 7290 0 Syndio Social 800 W Huron 301 Chicago IL 60642 Fundraising Consultant 0 0 6000 0 Kelly Anderson & Assoc 424 N Washington Alexandria VA 22314 Services for Grant Application 0 0 10140 0 Commonwealth Partners Inc 704 E California Blvd Pasadena CA 91106 Fundraising Consultant 0 0 18955 0 128313 301025 86684 AZ AK AR CT GA IL KS NM NC ND PA RI TN TX UT WV WI AL CA FL HI KY MD ME MI MO MN NH MS NY OR OK OH SC WA VA Dance Marathon 903282 831282 72000 82813 20094 Brain Tumor Institute Fundraiser 402790 349670 53120 5879 58620 6000 40379 7 726365 546453 179912 27089 172438 8245 64248 2032437 1727405 305032 115781 231058 14245 124721 485805 -180773 Explanation of Fundraising Payments Schedule G, Part I, Line 2b, Column (v) The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed are reflected): RuffaloCODY ($1,560) in accordance with the agreement with professional fundraiser which permits reimbursement for direct expenses such as mailing and shipping; Foley Consulting ($272) as agreed for travel. State charitable solicitation Schedule G, Part I, Line 3 No registration is required in Delaware, Idaho, Indiana, Iowa, Montana, Nebraska, Nevada, South Dakota, Vermont or Wyoming. University has requested confirmation of exemption from New Jersey. 1 Evanston Community Foundation Inc 1007 Church St Ste 108 Evanston IL 60201 363466802 501(c)(3) 108387 Charitable fundraising conducted by student org & support of charitable community organization Danny Did Foundation PO Box 46576 Chicago IL 60646 271642251 501(c)(3) 719905 Charitable fundraising conducted by student organization Family Promise Chicago North Shore PO Box 484 Glencoe IL 60022 270288849 501(c)(3) 7389 Charitable fundraising conducted by student organization Shanti Bhavan Children's Project 121 Hawkins Pl Pmb 192 Boonton NJ 07005 264188445 501(c)(3) 11000 Charitable fundraising conducted by student organization Ladder-up (City-Wide Tax Assistance Program) 233 S Wacker Drive Suite 9100 Chicago IL 60606 364070692 501(c)(3) 23277 Charitable fundraising conducted by student organization EGBOK Mission 226 N Clinton St Apt 328 Chicago IL 60661 271492346 501(c)(3) 29597 Charitable fundraising conducted by student organization Youth Job Center of Evanston 1114 Church St Evanston IL 60201 363252809 501(c)(3) 23377 Charitable fundraising conducted by student organization Habitat for Humanity Lake County IL 315 N Martin Luther King Jr Ave Waukegan IL 60085 363659288 501(c)(3) 8000 Charitable fundraising conducted by student organization Chicago's North Shore Convention & Visitor's Bureau 8001 Lincoln Avenue Skokie IL 60077 364449110 501(c)(6) 25000 Support of community organization American Jewish Committee Jacob Blaustein Building 165 East 56th Street New York NY 10022 135563393 501(c)(3) 10000 Support of charitable organization IBIO Institute 65 E Wacker Pl Ste 1600 Chicago IL 60601 320092551 501(c)(3) 10500 Support of charitable organization Holocaust Memorial Foundation of Illinois 9603 Woods Drive Skokie IL 60077 363156154 501(c)(3) 9000 Support of charitable organization Lynn Sage Cancer Research Foundation 251 E Huron St Chicago IL 60611 363727715 501(c)(3) 8500 Support of charitable organization Biotechnology Industry Organization 1201 Maryland Ave Sw Ste 900 Washington DC 20024 521224577 501(c)(6) 25000 Convention sponsorship Natural Resources Defense Council Inc 40 West 20th Street New York NY 10011 132654926 501(c)(3) 8000 Support of charitable organization Chicago Academy of Sciences 2430 N Cannon Dr Chicago IL 60614 360895575 501(c)(3) 25000 Support of charitable community organizations Chicago Botanic Garden(Chicago Horticultural Society) 1000 Lake Cook Rd Glencoe IL 60022 362225482 501(c)(3) 115000 Support of charitable community organizations Lyric Opera of Chicago 20 North Wacker Drive Ste 860 Chicago IL 60606 366008929 501(c)(3) 22500 Support of charitable community organizations The Art Institute of Chicago 111 S Michigan Ave Chicago IL 60603 362167725 501(c)(3) 10000 Support of charitable community organizations Ravinia Festival 418 Sheridan Road Highland Park IL 60035 366002273 501(c)(3) 12500 Support of charitable community organizations United Way of Metropolitan Chicago 560 W Lake St Chicago IL 60661 360200478 501(c)(3) 15000 Support of charitable community organizations Health for Humanity 415 Linden Ave Ste B Wilmette IL 60091 363820640 501(c)(3) 10000 Support of charitable community organizations Millennium Park Inc DT 111 S Wacker Drive Chicago IL 60602 364244167 501(c)(3) 10000 Support of charitable community organizations Field Museum 1400 S Lake Shore Drive Chicago IL 60605 362167011 501(c)(3) 20000 Support of charitable community organizations Northwestern University Settlement House 1400 West Augusta Blvd Chicago IL 60642 362167818 501(c)(3) 25000 Support of charitable community organizations Juvenile Protective Association 1707 N Halstead St Chicago IL 60614 362167765 501(c)(3) 25000 Support of charitable community organizations EVMark 1560 Sherman Ave Evanston IL 60201 363571291 501(c)(6) 23000 Support of charitable community organization Allergy Asthma and Immunology Education and Research 555 E Wells St Ste 1100 Milwaukee WI 53202 451495723 501(c)(3) 15000 Support of charitable organization American Spinal Injury Association Shepherd Center 2020 Atlanta GA 30309 840660449 501(c)(3) 7500 Support of charitable organization Friends of Prentice 251 East Huron St Galter Pavilion Chicago IL 60611 363930139 501(c)(3) 7500 Support of charitable community organization Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago IL 60611 363097297 501(c)(3) 27794691 Support of research activities Access Community Health Network 222 N Canal St Chicago IL 60606 363317058 501(c)(3) 397441 Support of research activities Access DuPage 511 Thornhill Dr M Carol Stream IL 60188 364448208 501(c)(3) 226925 Support of research activities Adler Planetarium & Astronomy Museum 1300 S Lake Shore Dr Chicago IL 60605 366210902 501(c)(3) 17143 Support of research activities Advocate Hope Childrens Hospital 4440 W 95th St Oak Lawn IL 60453 362169147 501(c)(3) 49726 Support of research activities Advocate Lutheran General Hospital 1775 W Dempster St Park Ridge IL 60068 362169147 501(c)(3) 49726 Support of research activities AIDS Arms Inc 219 Sunset Ave Dallas TX 75208 752306145 501(c)(3) 324877 Support of research activities Alliance of Chicago Community Health Service 215 W Ohio St 4th Floor Chicago IL 60654 364444309 501(c)(3) 418525 Support of research activities Ann & Robert H Lurie Children's Hospital of Chicago 225 E Chicago Avenue Chicago IL 60611 362170833 501(c)(3) 3699962 Support of research activities Arizona State University PO BOX 876011 Tempe AZ 85287 860196696 501(c)(3) 331599 Support of research activities Arkansas Children's Hospital Research One Childrens Way Little Rock AR 77202 710568795 501(c)(3) 158309 Support of research activities Arkansas Site Management Services 7 Shakelford West Blvd Little Rock AR 72211 460743932 8000 Support of research activities Aurasense Therapuetics LLC 1801 Maple Ave Ste 4301 Evanston IL 60201 452638444 81114 Support of research activities Banner Alzheimer's Institute 901 E Wiletta Street Phoenix AZ 85006 204862361 501(c)(3) 8692 Support of research activities Baptist Hospital of Miami 8900 N Kendall Drive Miami FL 33176 590910342 501(c)(3) 14245 Support of research activities Battelle Memorial Institute 505 King Ave Columbus OH 43201 314379427 501(c)(3) 25000 Support of research activities Baylor College of Medicine 1 Baylor Plaza Houston TX 77030 741613878 501(c)(3) 13391 Support of research activities Beth Israel Deaconess Center 330 Brookline Ave Boston MA 02115 042103881 501(c)(3) 9655 Support of research activities Beth Israel Medical Center First Ave at 16th St New York NY 10003 135564934 501(c)(3) 29008 Support of research activities Black United Fund of Illinois Inc 1809 E 71st Street Chicago IL 60649 363397908 501(c)(3) 13125 Support of research activities Board of Education City of Chicago 125 S Clark Street Chicago IL 60603 366005821 115 762801 Support of research activities Boston University One Silber Way Boston MA 02215 042103547 501(c)(3) 116041 Support of research activities Boys & Girls Clubs of Chicago 550 W Van Buren Street Suite 350 Chicago IL 60607 362166997 501(c)(3) 31478 Support of research activities Brookings Institution 1775 Massachusetts Ave NW Washington DC 20036 530196577 501(c)(3) 58968 Support of research activities Brown University 45 Prospect Street Providence RI 02912 050258809 501(c)(3) 73814 Support of research activities BUILD 5100 W Harrison Chicago IL 60644 237022085 501(c)(3) 25000 Support of research activities California Institute of Technology 1200 East California Blvd Pasadena CA 91125 951643307 501(c)(3) 345149 Support of research activities Campbell-Kibler Associates Inc 80 Lakeside Dr Groton MA 01450 043297519 65787 Support of research activities Cancer Help Institute Ltd 1000 Skokie Blvd Ste 100 Wilmette IL 60091 363801000 65954 Support of research activities Capital Health System Foundation 750 Brunswick Avenue Trenton NJ 08638 222230681 501(c)(3) 8090 Support of research activities Case Western Reserve University 10900 Euclid Ave Cleveland OH 44106 341018992 501(c)(3) 267364 Support of research activities Centerstone Research Institute 565 S Park Ridge Rd 103 Bloomington IN 47401 262505456 501(c)(3) 22825 Support of research activities Chaddock 205 S 24th St QUINCY IL 62301 370661191 46460 Support of research activities Chicago Association for Research and Education in Science Building One Rm C347 5000 S 5th Ave Ave Hines IL 60141 363334177 501(c)(3) 29416 Support of research activities Chicago Women's Health Center 3435 N Sheffield Ave Chicago IL 60657 362922469 501(c)(3) 25000 Support of research activities Children's Hospital Los Angeles 4650 Sunset Blvd MS 130 Los Angeles CA 90027 951690977 501(c)(3) 18050 Support of research activities Cincinnati Children's Hospital Medical Center 3333 Burnet Ave Cincinnati OH 45229 310833936 501(c)(3) 64567 Support of research activities City Colleges of Chicago 226 W Jackson Blvd Chicago IL 60606 362606236 22437 Support of research activities Cleveland Clinic 9500 Euclid Ave Cleveland OH 44195 912153073 501(c)(3) 50647 Support of research activities College of American Pathologists 325 Waukegan Rd Northfield IL 60039 362118323 501(c)(3) 33624 Support of research activities Colorado State University 203 Administration Building Fort Collins CO 80523 846000546 115 13407 Support of research activities Columbia University 615 W 131st Street New York NY 10027 131624202 501(c)(3) 297757 Support of research activities Community Action Project of Tulsa County 4606 S Garnett Ste 100 Tulsa OK 74146 731019247 26878 Support of research activities Consulting Radiologists Ltd 1221 Nicollet Mall Ste 600 Minneapolis MN 55403 410974675 10450 Support of research activities Cornell University 222 Day Hall Ithaca NY 14853 150532082 501(c)(3) 420599 Support of research activities Dana-Farber Cancer Institute 44 Binney St Boston MA 02115 042263040 501(c)(3) 115506 Support of research activities David Ostrow & Associates 5455 N Sheridan Road Suite 2503 Chicago IL 60640 205241516 56980 Support of research activities Delve LLC 11971 Westline Industrial Dr 200 St Louis MO 63146 200684635 613847 Support of research activities DePaul University 1 E Jackson Chicago IL 60604 362167048 501(c)(3) 12773 Support of research activities Development Alternatives Inc 7600 Wisconsin Blvd Ste 200 Bethesda MD 20814 520904808 122186 Support of research activities Duke University Chapel Dr Durham NC 27705 560532129 501(c)(3) 373910 Support of research activities East Carolina University 2200 Charles Blvd Rm 2906 Greenville NC 27858 566000403 115 26300 Support of research activities Edward Hospital 801 S Washington Street Naperville IL 60540 363297173 501(c)(3) 17305 Support of research activities Emory University 201 Dowman Dr Atlanta GA 30322 580566256 501(c)(3) 215041 Support of research activities Erie Family Health Center Inc 1701 W Superior ST Chicago IL 60622 363088628 501(c)(3) 1464226 Support of research activities Executive Frameworks Ltd 2705 W Agatitie Ave 1 Chicago IL 60625 371450886 19438 Support of research activities Florida International University 11200 SW 8th Street Miami FL 33174 650177616 21195 Support of research activities Georgia State University Research Foundation Inc 30 Courtland St NE Ste 217 Atlanta GA 30303 581845423 501(c)(3) 54058 Support of research activities Georgia Tech Research Corporation 505 Tenth St Atlanta GA 30332 580603146 501(c)(3) 22296 Support of research activities GFK Custom Research North America 420 Lower Wabash Ave Chicago IL 60611 362948619 222383 Support of research activities H Lee Moffit Cancer Center & Research Institute 12902 Magnolia Ave Tampa FL 33612 592451713 501(c)(3) 48506 Support of research activities Harvard University Massachusetts Hall Cambridge MA 02138 042103580 501(c)(3) 1072526 Support of research activities Health Research Incorporated Roswell Park Cancer Institute Division Elm Carlton Sts Buffalo NY 14263 141402155 501(c)(3) 763103 Support of research activities Heartland Health Outreach 2200 W Touhy Avenue Chicago IL 60645 363775696 501(c)(3) 42784 Support of research activities Hektoen Institute for Medical Research 2240 W Ogden Ave Chicago IL 60612 362244897 501(c)(3) 711078 Support of research activities Horizon Research Inc 326 Cloister Ct Chapel Hill NC 27514 561550276 50949 Support of research activities Indiana University 107 S Indiana Ave Bloomington IN 47405 356001673 115 310029 Support of research activities Inquire Learning LLC 2625 Weston Rd Weston FL 33331 260733745 68808 Support of research activities Inspiration Corporation 4554 N Broadway St Chicago IL 60640 363673980 501(c)(3) 25000 Support of research activities J Craig Venter Institute 9704 Medical Center Drive Rockville MD 20850 521842938 501(c)(3) 475439 Support of research activities Jasculca Terman and Associates Inc 730 N Franklin Street Suite 510 Chicago IL 60654 363136983 47524 Support of research activities Johns Hopkins University 1101 E 33rd St Baltimore MD 21218 520595110 501(c)(3) 230916 Support of research activities Justice Resource Institute Inc 545 Boylston St Ste 700 Boston MA 02116 042526357 501(c)(3) 50924 Support of research activities Kaiser Foundation Research Institute 3800 N Interstate Ave Portland OR 97227 941105628 501(c)(3) 313011 Support of research activities Kidz Express NFP 342 S Laramie Ave Chicago IL 60644 200942452 501(c)(3) 15000 Support of research activities La Rabida Children's Hospital 6501 South Promontory Dr Chicago IL 60649 362170143 501(c)(3) 13275 Support of research activities Lahey Clinic Foundation Inc 41 Mall Rd Burlington MA 01805 042704683 501(c)(3) 79651 Support of research activities Louisiana State University 3848 W Lakeshore Dr Baton Rouge LA 70808 726087770 115 186612 Support of research activities Loyola University Chicago 1032 W Sheridan Rd Chicago IL 60660 361408475 501(c)(3) 75192 Support of research activities Magee Women's Research Institute and Foundation 3339 Ward St Pittsburgh PA 15132 251462312 501(c)(3) 129402 Support of research activities Massachusetts General Hospital 55 Fruit St Boston MA 02114 041564655 501(c)(3) 236430 Support of research activities Massachusetts Institute of Technology 77 Massachusetts Ave Cambridge MA 02142 042103594 501(c)(3) 146102 Support of research activities Materials & Electrochemical Research Corporation 7960 South Kolb Road Tucson AZ 85706 860530946 46563 Support of research activities Mayo Clinic Arizona 13400 East Shea Blvd Scottsdale AZ 85259 860800150 501(c)(3) 181986 Support of research activities Mayo Clinic Florida 4500 San Pablo Rd Jacksonville FL 32224 593337028 501(c)(3) 7150 Support of research activities McGaw YMCA 1420 Maple Ave Evanston IL 60201 362169194 501(c)(3) 28236 Support of research activities and charitable community organization McGuckin Methods International INC MMI 115 East Athens Ave Ardmore PA 19003 232642918 55000 Support of research activities Medical College of Wisconsin 8701 Watertown Plank Rd Milwaukee WI 53226 390806261 501(c)(3) 40166 Support of research activities Medical University of South Carolina 179 Ashley Ave Charleston SC 29425 576000722 115 9216 Support of research activities Memorial Sloan-Kettering Cancer Center 1275 York Avenue New York NY 10065 131624182 501(c)(3) 463286 Support of research activities Mental Health Cooperative Inc 275 Cumberland Bend Nashville TN 37228 582018687 501(c)(3) 11292 Support of research activities Methodist Hospital Research Institute 6670 Bertner St Houston TX 77030 870721923 501(c)(3) 38610 Support of research activities Metropolitan Asian Family Services Inc 7541 N Western Avenue Chicago IL 60645 363925432 501(c)(3) 30500 Support of research activities Michigan State University 113 Angell Bldg East Lansing MI 48824 386005984 115 238043 Support of research activities Missouri University of Science & Technology 300 W 12th St 202 Centennial Hall Rolla MO 65401 436003859 115 56293 Support of research activities Montana State University 309 Montana Hall Bozeman MT 59717 816010045 115 39167 Support of research activities Mount Sinai Hospital One Gustave L Levy Pl New York NY 10029 131624096 501(c)(3) 40378 Support of research activities Mount Sinai School of Medicine One Gustave L Levy Pl New York NY 10029 136171197 501(c)(3) 47994 Support of research activities MRIGlobal 425 Volker Boulevard Kansas City MO 64110 440545878 501(c)(3) 9865 Support of research activities Multicare Health Systems 315 Martin Luther King Jr Way Tacoma WA 98405 911352172 501(c)(3) 7880 Support of research activities National Kidney Foundation of Illinois 215 W Illinois St Ste 1C Chicago IL 60654 366009226 501(c)(3) 47433 Support of research activities National Opinion Research Center 1155 E 60th Street CHicago IL 60637 362167808 501(c)(3) 68503 Support of research activities Nationwide Children's Hospital 700 Childrens Dr Columbus OH 43201 311036372 501(c)(3) 28054 Support of research activities Near North Health Service Corporation 1276 N Clybourn Ave Chicago IL 60610 363197647 501(c)(3) 61026 Support of research activities New York University 70 Washington Square South New York NY 10012 135562308 501(c)(3) 320959 Support of research activities North Country Healthcare Inc 2920 N Fourth St Flagstaff AZ 86004 860663432 501(c)(3) 71312 Support of research activities Northeastern Illinois University 5500 North St Louis Ave Chicago IL 60625 366009515 115 32182 Support of research activities NorthShore University HealthSystem Research Institute 2650 Ridge Ave Evanston IL 60201 364191793 501(c)(3) 1133863 Support of research activities Northwestern Memorial Hospital 251 E Huron St Chicago IL 60611 370960170 501(c)(3) 2115719 Support of research activities Northwestern Specialists in Plastic Surgery SC 676 N St Clair St Ste 1525A Chicago IL 60611 270491346 121981 Support of research activities Norwegian American Hospital 1044 North Francisco Avenue Chicago IL 60622 361564290 501(c)(3) 17760 Support of research activities NOVA Scripts Central Inc 6400 Arlington Blvd Falls Church VA 22042 651275162 501(c)(3) 74422 Support of research activities Ohio State University 154 W 12th Ave Columbus OH 43210 316025986 115 14632 Support of research activities OhioHealth Research Institute 3545 Olentangy River Road Suite 408 408 Columbus OH 43214 316059784 43049 Support of research activities Oklahoma State University 113 Student Union Stillwater OK 74078 736017987 115 102651 Support of research activities Optimum Therapeutics LLC 9363 Towne Center Drive San Diego CA 92121 061595427 10840 Support of research activities Oregon Health & Science University 3181 Southwest Sam Jackson Park Rd Portland OR 97239 931176109 115 31127 Support of research activities Pennsylvania State University 308 Old Main University Park PA 16802 246000376 115 485252 Support of research activities Princeton University Office of Administration Princeton NJ 08544 210634501 501(c)(3) 49609 Support of research activities PTV America Inc 9755 W Barnes Road Suite 550 Portland OR 97225 931298868 30232 Support of research activities Quest Clinical Research 2300 Sutter St Ste 202 San Francisco CA 94115 943307206 14010 Support of research activities Raytheon BBN Technologies 10 Moulton Atreet Cambridge MA 02138 412126829 66000 Support of research activities Rehabilitation Institute Research Corporation 345 E Superior St Chicago IL 60611 363728711 501(c)(3) 474384 Support of research activities and support of charitable community organization Research Foundation of the City University of New York 230 West 41st Street 7th Floor New York NY 10036 131988190 501(c)(3) 143524 Support of research activities Research Foundation SUNY 35 State Street Albany NY 12207 141368361 501(c)(3) 38667 Support of research activities Research Triangle Institute 12 Davis Dr Research Triangle Park NC 27709 560686338 501(c)(3) 17380 Support of research activities Rhode Island Hospital 593 Eddy St Providence RI 02903 050258954 501(c)(3) 6505 Support of research activities Rice University 6100 Main St Houston TX 77005 741109620 501(c)(3) 14280 Support of research activities Rockefeller University 1230 York Avenue New York NY 10065 131624158 501(c)(3) 358381 Support of research activities Rush University Medical Center 1653 W Congress Parkway Chicago IL 60612 362174823 501(c)(3) 1397867 Support of research activities Sage Bionetworks 1100 Fairview Ave North MI-C108 Seattle WA 98109 264489946 501(c)(3) 18219 Support of research activities Salk Institute 10010 North Torrey Pines Road La Jolla CA 92037 952160097 501(c)(3) 83172 Support of research activities Sanford-Burnham Medical Research Institute 10901 North Torrey Pines Rd La Jolla CA 92037 510197108 501(c)(3) 308974 Support of research activities Scripps Health 4275 Campus Point Ct San Diego CA 92121 951684089 501(c)(3) 30488 Support of research activities Scripps Research Institute 10550 North Torrey Pines Road La Jolla CA 92037 330435954 501(c)(3) 725222 Support of research activities Society for Research on Educational Effectiveness 2040 Sheridan Rd Evanston IL 60208 264739791 501(c)(3) 451058 Support of research activities Society of Hospital Medicine 1500 Spring Garden Ste 501 Philadelphia PA 19130 233057353 501(c)(3) 376500 Support of research activities South Carolina Research Foundation 901 Sumter St Byrnes Bldg Ste 511 Columbia SC 29208 570967350 501(c)(3) 37237 Support of research activities SRI International 201 Washington Rd Princeton NJ 08540 941160950 501(c)(3) 124575 Support of research activities St Joseph's Hospital and Medical Center 350 W Thomas Road Phoenix AZ 85013 721561134 6012 Support of research activities Stanford University 295 Galvez St Stanford CA 94305 941156365 501(c)(3) 756651 Support of research activities Teachers College 525 W 120th St New York NY 10027 131624202 501(c)(3) 33758 Support of research activities Texas A&M Research Foundation 400 Harvey Mitchell Pkwy South Ste 300 College Station TX 77845 741238434 501(c)(3) 19926 Support of research activities The Henry M Jackson Foundation for Advancement of Military Medicine Inc 6720-A Rockledge Dr Bethesda MD 20817 521317896 501(c)(3) 186402 Support of research activities Thomas Jefferson University 1020 Walnut St Philadelphia PA 19107 231352651 501(c)(3) 10450 Support of research activities Tufts University Tufts University Medford MA 02155 042103634 501(c)(3) 72217 Support of research activities Tulane Educational Fund 6823 St Charles Ave New Orleans LA 70118 720423889 501(c)(3) 382415 Support of research activities United BioSource Corporation 7501 Wisconsin Ave Ste 705 Bethesda MD 20814 541759539 76119 Support of research activities University of Alabama at Birmingham 1530 3rd Ave South Birmingham AL 35294 636005396 115 96775 Support of research activities University of Arizona 617 N Santa Rita Ave Tucson AZ 85721 742652689 115 35968 Support of research activities University of California Berkeley 200 California Hall Berkeley CA 94720 946002123 115 98979 Support of research activities University of California Davis One Shields Ave Davis CA 95616 946036494 115 621619 Support of research activities University of California Irvine Office of Administration Irvine CA 92697 952226406 115 83630 Support of research activities University of California Los Angeles Hillgard Ave Los Angeles CA 90095 956006143 115 606456 Support of research activities University of California San Francisco 505 Parnassus Ave San Francisco CA 94143 566001393 115 238795 Support of research activities University of Chicago 5801 S Ellis Ave Chicago IL 60637 362177139 501(c)(3) 5232580 Support of research activities University of Colorado at Boulder 914 Broadway St Boulder CO 80302 846000555 115 90552 Support of research activities University of Connecticut 438 Whitney Rd Storrs CT 06269 060772160 115 230353 Support of research activities University of Connecticut Health Center 263 Farmington Ave Farmington CT 06030 521725543 115 32538 Support of research activities University of Florida 201 Criser Hall Gainesville FL 32611 596002052 115 16510 Support of research activities University of Houston 316 E Cullen Building Houston TX 77204 746001399 115 30800 Support of research activities University of Illinois 801 S Morgan St Chicago IL 60607 376000511 115 2359628 Support of research activities University of Iowa 100 Mossman Business Services Building Iowa City IA 52245 426004813 115 24814 Support of research activities University of Kentucky 100 Funkhouser Bldg Lexington KY 40506 616001218 115 38513 Support of research activities University of Maryland 2108 Mitchell Bldg College Park MD 20742 526002033 115 20532 Support of research activities University of Massachusetts Office of Administration Amherst MA 01003 043167352 115 88713 Support of research activities University of Miami 1252 Memorial Drive Coral Gables FL 33146 590624458 501(c)(3) 43989 Support of research activities University of Michigan 515 E Jefferson Ann Arbor MI 48109 386000134 115 999349 Support of research activities University of Minnesota 101 Pleasant St Minneapolis MN 55455 416007513 115 450192 Support of research activities University of Nebraska Lincoln 1400 R St Lincoln NE 68588 470049123 115 725025 Support of research activities University of Nevada Reno 1664 N Virginia St Reno NV 89557 886000024 11616 Support of research activities University of North Carolina at Chappel Hill 9201 University City Blvd Charlotte NC 28223 566001393 115 404234 Support of research activities University of Oklahoma 660 Parrington Oval Norman OK 73019 736017987 115 275641 Support of research activities University of Pennsylvania 3451 Walnut Street Philadelphia PA 19104 231352685 501(c)(3) 457901 Support of research activities University of Pittsburgh 4227 Fifth Ave Pittsburgh PA 15260 250965591 501(c)(3) 755829 Support of research activities University of Rochester Office of Administration Rochester NY 14627 160743209 501(c)(3) 42515 Support of research activities University of Southern California 1540 Alcazar St Los Angeles CA 90089 951642394 501(c)(3) 376432 Support of research activities University of Tennessee 527 Andy Holt Tower Knoxville TN 37996 626001636 115 225672 Support of research activities University of Texas at Austin 2100 San Jacinto Blvd Austin TX 78712 746000203 115 204387 Support of research activities University of Texas at San Antonio One UTSA Circle San Antonio TX 78249 741717115 115 337083 Support of research activities University of Texas M D Anderson Cancer Center 1515 Holcombe Blvd Houston TX 77030 760273984 115 33830 Support of research activities University of Texas Southwestern Med Ctr at Dallas 5323 Harry Hines Blvd Dallas TX 75390 756002868 115 140863 Support of research activities University of Texas Arlington 701 S Nedderman Drive Arlington TX 76019 756000121 115 32194 Support of research activities University of Utah 201 S 1460 E Salt Lake City UT 84112 876000525 115 145348 Support of research activities University of Virginia 1 College Park Wise VA 24293 546001796 115 702378 Support of research activities University of Washington 1410 NE Campus Parkway Seattle WA 98195 916001537 115 631561 Support of research activities University of Wisconsin 716 Langdon St Madison WI 53706 391805963 115 1145713 Support of research activities Vanderbilt University Office of Administration Nashville TN 37240 620476822 501(c)(3) 346691 Support of research activities Virginia Commonwealth University PO BOX 843035 Richmond VA 23284 540757884 115 90543 Support of research activities Wake Forest University School of Medicine Medical Center Blvd WinstonSalem NC 27157 560532138 501(c)(3) 24092 Support of research activities Washington University in St Louis One Brookings Dr St Louis MO 63130 430653611 501(c)(3) 356254 Support of research activities Winthrop-University Hospital 259 First St Mineola NY 11501 111633486 501(c)(3) 10275 Support of research activities Wright State University 3640 Colonel Glenn Hwy Dayton OH 45435 310732831 115 76621 Support of research activities Yale University 140 Prospect St New Haven CT 06511 060646973 501(c)(3) 343648 Support of research activities YMCA of Greater Indianapolis 615 N Alabama St Ste 200 Indianapolis IN 46204 350868211 501(c)(3) 5525 Support of research activities YMCA of Metropolitan Chicago 824 N Hamlin Chicago IL 60651 362179782 501(c)(3) 14264 Support of research activities YMCA of the USA 101 N Wacker Drive Suite 1600 Chicago IL 60606 363258696 501(c)(3) 37952 Support of research activities Youth Guidance 1 N LaSalle St Suite 900 Chicago IL 60602 362167032 501(c)(3) 10000 Support of research activities 198 30 Student grants, scholarships, stipends, and fellowships are financial aid that can be used towards any type of educational related costs. 11608 265281198 Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 282 620348 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Schedule I Part III: Prizes and awards reflect prizes and awards extended to non-employees in recognition of an accomplishment, activity, or event. Prizes and awards given to employees are included as compensation and reported on an employee's Form W-2. X X X X X X 1 1 X X X X 1 1 0 0 0 0 0 1 1 1 Morton O Schapiro 829616 0 50000 0 60411 0 208333 0 183886 0 1332246 0 0 0 Daniel I Linzer 529929 0 25000 0 18040 0 175000 0 21437 0 769406 0 0 0 Eugene S Sunshine 699235 0 0 0 83417 0 51667 0 15213 0 849532 0 0 0 Thomas G Cline 439795 0 0 0 18432 0 51667 0 40045 0 549939 0 0 0 Alan K Cubbage 243249 0 0 0 7984 0 24333 0 1083 0 276649 0 0 0 Marilyn McCoy 251430 0 25000 0 18356 0 25000 0 18671 0 338457 0 0 0 William H McLean 670497 0 1031892 0 190476 0 934563 0 44743 0 2872171 0 0 0 Robert E McQuinn 402966 0 0 0 25469 0 31667 0 21877 0 481979 0 0 0 Eric G Neilson 561458 345407 0 200000 9504 18822 16250 30000 6569 16473 593781 610702 0 0 Sean Reynolds 363432 0 0 0 26318 0 25000 0 5753 0 420503 0 0 0 Patricia Telles-Irvin 310729 0 0 0 37370 0 25000 0 16877 0 389976 0 0 0 Joseph T Walsh Jr 303681 0 0 0 5112 0 25000 0 51619 0 385412 0 0 0 James J Phillips 527609 0 103750 0 198041 0 85000 0 16485 0 930885 0 0 0 Ronald Nayler 309792 0 5000 0 20048 0 25000 0 13251 0 373091 0 0 0 Patrick M McCarthy 196396 1132896 0 640000 2032 18294 13589 30000 770 14643 212787 1835833 0 0 Tyler Robert Koski 6500 568274 0 834481 0 108236 650 30000 20 23186 7170 1564177 0 0 Patrick W Fitzgerald II 1969820 0 200000 0 264185 0 25000 0 21982 0 2480987 0 0 0 Murad Alam 1000 347152 0 1218651 0 275 60 30000 5 8740 1065 1604818 0 0 Jayesh Mehta 5079 574391 151250 751428 0 383 508 30000 27 23144 156864 1379346 0 0 William J Banis 0 0 0 0 185886 0 18055 0 9594 0 213535 0 0 0 Jeffrey Glassroth 266880 308000 0 325000 7920 18505 15417 30000 15530 2295 305747 683800 0 0 Morteza A Rahimi 157058 0 0 0 3881 0 16500 0 15001 0 192440 0 0 0 Part I, Line 1a Charter travel: Charter airplane travel was provided to two listed persons as an annual round-trip travel service to attend the annual Bowl game, where the University student football team competes. Pursuant to written University policy, the benefit was treated as a business expense and was not treated as taxable compensation. Charter airplane travel was provided to one listed person and was treated as a business expense and was not treated as taxable compensation. Travel for companions: Family members accompanied three listed person to the annual Bowl game and such costs were either reimbursed by the listed person or imputed to taxable income following the event. Spouses traveled with three listed persons to the annual Bowl game. Pursuant to written University policy, the benefit was treated as a business expense and was not treated as taxable compensation. The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Spouses accompanied two listed persons for travel. Spousal travel was treated as taxable compensation for one listed person. Tax gross-up payments: Three listed persons received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation. Housing allowance or residence for personal use: The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Five listed persons were provided with housing allowances and the amounts were treated as taxable compensation. Health or social club dues or initiation fees: The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. Four listed persons received reimbursement for social club initiation fees and/or dues. Club initiation fees were treated as taxable compensation. Club dues were treated as taxable compensation for two listed persons Personal Services: In connection with the University provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit is apportioned between personal living quarters and public areas of the house, and the cleaning services associated with the personal living quarters are treated as taxable compensation. Part I, Lines 4a-b Former officer, W. Banis, received $154,794 in connection with separation and payments ceased on August 31, 2012. The following participated in a 457(f) nonqualified retirement plan and the amounts are subject to substantial risk of forfeiture and vest after a number of years. Name Amount Contributed Morton O. Schapiro $183,333 Daniel I. Linzer $150,000 Eugene S. Sunshine $26,667 Thomas G. Cline $26,667 Robert E. McQuinn $6,667 James J. Phillips $60,000 William H. McLean $909,563 (short-term deferral) Name Amount Paid William H. McLean $122,329 Part I, Line 7 The President, three officers, and one key employee received a non-fixed payment related to a recognition bonus. One officer was offered non-fixed payment related to travel, domestic services, apparel and tickets. Part I, Line 8 One officer was extended loans pursuant to an initial contract with a portion forgiven that was treated as taxable compensation. A Illinois Educational Facilities Authority 521297563 4520018K9 2003-10-29 183530698 Refund bonds issued 5/13/97; acquire, construct or renovate Univ. facilities 0 0 0 B Illinois Finance Authority 861091967 45200BFC7 2004-09-09 135800000 Acquire, construct or renovate University facilities 0 0 0 C Illinois Finance Authority 861091967 45200BH50 2006-10-03 150740726 Refund bonds issued 12/3/97 0 0 0 D Illinois Finance Authority 861091967 45200FKZ1 2008-06-25 125000000 Acquire, construct or renovate University facilities 0 0 0 A 194022795 1092348 158297067 2008 1 0 1 1 B 144677217 1039400 143637817 2008 0 0 1 1 C 150740726 1518234 0 1 1 1 D 126815680 1250000 125565680 2011 0 0 1 1 A 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 0 1 0 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 0 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 1 0 0 1 1 Morgan Stanley and other banks 1.000000000000 0 0 0 1 C 0 1 0 0 0 0 0 0 1 D 0 0 0 1 1 1 Morgan Stanley and other banks 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: Illinois Finance Authority Date the Rebate Computation was Performed: 06/25/2013 Part I, column (c) Bond issues,CUSIP numbers The following bond issuances are associated with additional CUSIP numbers as noted: (B)IFA-Series 2004 CUSIP #45200BFD5; (D)IFA-Series 2008 CUSIP #45200FLA5 and #45200FLB3. Part II, line 3 Issue price and proceeds of bonds (A), (B), (D) The difference between issue price and proceeds of bonds (A), (B), and (D)are due to investment income earned on unspent proceeds of IEFA-Series 2003, IFA-Series 2004, and IFA-Series 2006 bonds, respectively. Part III, line 3b Private Business Use The University engages bond counsel and performs a review of management or services contracts at the time of any new bond issuances, generally every two years. At that time all existing bond issuances and private use are re-examined and re-documented. The University monitors changes in private use on an ongoing basis internally. Part III, line 3d The University engages bond counsel and performs a review of research agreements at the time of any new bond issuances, generally every two years. At that time all existing bond issuances and private use are re-examined and re-documented. The University monitors changes in private use on an ongoing basis internally. Part III, line 4 Funding Sources and Private Usage The University finances acquisition, construction and renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private use within the facilities partially funded by bonds; however, such usage was financed from other sources. Part IV, line 4b Arbitrage, name of provider Hedge providers are Morgan Stanley Capital Services, Bank of America, and JP Morgan for both(B) IFA-Series 2004 and (D)IFA-Series 2008 bonds. Part IV, line 6 Gross Proceeds Invested In November 2009 the University filed Form 8038-T for IFA-Series 2006 bonds and disclosed gross proceeds were invested beyond an available temporary period; the University calculated and made a yield reduction payment in the amount of $310,118. Patrick Fitzgerald II Compensation package X 2500000 2567080 0 1 1 Robert McQuinn Compensation package X 130000 137424 0 1 1 Robert McQuinn Compensation package X 50000 52528 0 1 1 James Phillips Compensation package X 1100000 1100000 0 1 1 James Phillips Compensation package X 350000 27778 0 1 1 3884810 Northern Trust Nicholas D Chabraja,Trustee; was serving as a bank director 1081157 Bank and investment transaction fees less interest earned from bank 0 Northern Trust Frederick H. Waddell, Trustee; was serving as a bank director 1081157 Bank and investment transaction fees less interest earned from bank 0 Technology Crossover Ventures Jay C. Hoag, Trustee; partner w/ ownership interest over 5% 6086053 Investment in two venture capital funds: Technology Crossover Ventures VI and VIIA 0 Rndtable Hlthcare Ptnrs Lester B. Knight, Trustee; was serving as a director 2668355 Investment in three private equity funds: Roundtable Healthcare Partners, Roundtable Healthcare Partners II and III 0 Aon Corporation Lester B. Knight, Trustee; was serving as a director 2973456 Insurance broker 0 Thoma Cressey Fd Lee. M. Mitchell, Trustee; partner w/ ownership interest over 5% 5441075 Investment in five private equity funds: Thoma Cressey Fund VI, VII, and VIII, and Thoma Bravo Fund IX and X-A 0 Madison Dearborn John A. Canning, Jr., Trustee; partner w/ ownership interest over 5% 4549722 Investment in four private equity funds: Madison Dearborn III, IV, V and VI; and two private investments: MDCP Co-Investors (SP), LP and MDCP Co-Investors Varietal 0 Madison Dearborn Timothy P. Sullivan, Trustee; was serving as managing director 4549722 Investment in four private equity funds: Madison Dearborn III, IV, V and VI; and two private investments: MDCP Co-Investors (SP), LP and MDCP Co-Investors Varietal 0 New Enterprise Associates Peter J. Barris, Trustee; partner w/ ownership interest over 5% 2449225 Investment in four venture capital funds: NEA X, XI, XII, and XIV. 0 VWR International Inc Timothy P. Sullivan, Trustee; was serving as board member 7073840 Sale of labratory equipment 0 RCPI Landmark Properties LLC A. Steven Crown, Trustee; indirect ownership interest over 5% 390352 Lease of office space 0 Charlotte Cubbage Family member of Alan K. Cubbage, Officer 74240 Employment 0 Jennifer Linzer Family member of Daniel I. Linzer, Officer 25646 Employment 0 Kristen Novelline Family member of William A. Osborn, Trustee 29902 Employment 0 Schedule L, Part IV Amounts reflected with respect to the business transaction to Technology Crossover Ventures represent venture capital gains less capital purchases during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to Roundtable Healthcare Partners represent fees, expenses, and private equity purchases less return of capital during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to Thoma Cressey Funds represent return of capital, capital gains and income less fees, expenses and private equity purchases during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to Madison Dearborn represent fees, expenses, and private equity purchases less return of capital and capital gains during the tax year. Schedule L, Part IV Amounts reflected with respect to the business transaction to New Enterprise Associates represent return of capital and capital gains less venture capital purchases and capital losses during the tax year. Schedule L, Part IV Investment of University assets are monitored by an Investment Committee of the Board of Trustees and governed by an Investment Policy, which includes a conflict of interest policy. That policy establishes criteria under which any investments will be made. Among other things, affected Trustees must recuse themselves of any vote related to the investment. X 6 1175575 FMV on date of gift X 30498 FMV on date of gift X 485 26746738 Proceeds from sale X Event/tickets 134 216788 FMV on date of gift X Equip/softwre 4 112163 FMV on date of gift 3 0 1 0 Form 990, Part VI, Section A, line 1 Executive Committee of the Board of Trustees is comprised of 19 members of the governing body. The Executive Committee may exercise the power of the Board of Trustees between meetings with respect to ordinary business transactions. Form 990, Part VI, Section A, line 2 Business Relationships: Christopher B. Galvin and D. Gidean Searle Christopher B. Galvin and Patrick G. Ryan Jr. Christopher B. Galvin and John A. Canning, Jr. John A. Canning, Jr. and Eugene S. Sunshine John A. Canning, Jr. and Timothy P. Sullivan Eugene S. Sunshine and Timothy P. Sullivan Lester B. Knight and John A. Canning, Jr. Lester B. Knight and Frederick H. Waddell Lester B. Knight and William A. Osborn Lester B. Knight and T. Bondurant French Lester B. Knight and M. Jude Reyes Lester B. Knight and D. Gidean Searle Lester B. Knight and Christopher B. Galvin Form 990, Part VI, Section A, line 2 Business Relationships continued: Edward M. Liddy and D. Cameron Findlay Edward M. Liddy and D. Gideon Searle Edward M. Liddy and Miles D. White William A. Osborn and Edward M. Liddy William A. Osborn and Nicholas D. Chabraja William A. Osborn and Miles D. White M. Jude Reyes and A. Steven Crown M. Jude Reyes and Frederick H. Waddell Frederick H. Waddell and Nicholas D. Chabraja Form 990, Part VI, Section A, line 4 The University made the following changes to its governing documents since the prior Form 990 was filed: (i) The Bylaws further formalized existing practices by the Committee on Audit, Risk and Compliance, including that such committee shall oversee the integrity of the University's financial statements and the management of and process by which significant risks are brought to the Committee's attention; (ii) Prior Bylaws provided that special committees may be appointed by the Chairman of the Board, and a Committee on Innovation and Entrepreneurship was formed to have oversight of the technology transfer and work with the Board and administration on issues relating to parents, inventions, innovation, and new venture strategies; (iii) The ByLaws now address resignation and removal of a Trustee. A Trustee must offer resignation to the Chairman of the Board should the Trustee be unable or unwilling to fulfill Trustee responsibilities and in the event of a significant change in personal circumstances including a change in employer or principal responsibilities. A Trustee may be removed by a two-thirds vote of the Board; (iv) An increase in the number of National Trustees from 30 to 31 and an increase of one Ex Officio Trustee. Form 990, Part VI, Section B, line 11 A hard copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was reviewed by the Committee on Audit of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University. Form 990, Part VI, Section B, line 12c University ByLaws and Statutes, which have been adopted by the Board of Trustees, require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the Board of Trustees in writing. An Officer shall call any conflict of interest to the attention of the President. If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees or other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when the his/her knowledge of the subject will assist the Board or any of its committees. Potential conflicts of interest of Trustees and Officers are reviewed by the University's General Counsel. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed. Form 990, Part VI, Section B, line 15 The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the Compensation Committee of the Board relies on formal surveys and comparability data prepared and compiled by outside consultants who have expertise in the field of executive compensation assessment and benchmarking. The Compensation Committee of the Board met in June 2011 to review and approve fiscal year 2012 (September 1, 2011 to August 31, 2012) salaries and met in June 2012 to review and approve fiscal year 2013 (September 1, 2012 to August 31, 2013) salaries. Actions undertaken by the Compensation Committee of the Board are contemporaneously documented in the minutes of each meeting. Compensation Committee of the Board reviewed and approved compensation of all current officers listed in Part VII, Section A. Form 990, Part VI, Section C, line 19 Governing documents: The University maintains an Office for University Relations where information requests from the public are processed. The organizing document by which the University was created, its charter, is available upon request. Conflict of Interest Policies: The University's conflict of interest policies for faculty and staff are available on the University's website. Financial Statements: The University's annual audited consolidated financial statements are available on the University's website. Local chapters, branches, or affiliates Form 990, Part VI, Line 10 The University does not have local chapters, branches, lodges, units or similar affiliates. As described in Schedule F, the University has one international campus, located in Doha, Qatar. The University has a number of affiliation agreements and arrangements with other research and educational institutions but the University does not have authority to exercise supervision and control of such institutions. Whistleblower Form 990, Part VI, Line 13 The University's whistleblower policy is applicable to staff and faculty for the reporting tax year and was adopted by the Board of Trustees after the close of the tax year. Document Retention and Destruction Policy Form 990, Part VI, Line 14 The University's written document retention and destruction policy is applicable to staff and faculty for the reporting tax year and has been adopted by the Board of Trustees after the close of the tax year. Joint Venture Arrangements Form 990, Part VI, Line 16b The University does not have a written policy regarding joint ventures in general. However, joint venture agreements are reviewed by the University's Office of General Counsel to evaluate whether the arrangement furthers the mission of the University and to ensure the safeguarding of University's assets. The University also has guidelines concerning joint ventures in its technology transfer and investment policies. Average hours per week devoted to related organizations Form 990, Part VII The individuals listed in column A who have hours associated with a related organization have duties at Northwestern Medical Faculty Foundation, which bases hours devoted to that organization on a 60-hour work week. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 9: Change in value of derivative instruments 40334000. Change in value of nonoperating items 2169944. Form 990, Part XII, Line 2c The Audit, Risk and Compliance Committee that assumes responsibility for oversight of the audit review, compilation of financial statements and selection of an independent accountant approved an increase in its membership from ten to twelve members. Northwestern Student Holdings LLC 1800 Sherman Ave Suite 504 Evanston IL 60201 Student enterprises IL 70000 0 Northwestern University Rubicon Insurance Company 2020 Ridge Ave Evanston IL 60208 363694409 Providing medical malpractice coverage IL 501(c)(3) 11b Northwestern University 1 Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago IL 60611 363097297 Patient care, teaching IL 501(c)(3) 9 Northwestern University 1 Students Publishing Company 1999 Sheridan Rd Evanston IL 60208 366002654 Publishes student periodicals IL 501(c)(3) 11a 0 Mcgaw Medical Center of Northwestern University 420 E Superior St Chicago IL 60611 362656113 Coordination of medical residents IL 501(c)(3) 11a 0 Northwestern Global Health Foundation PO Box 1969 Evanston IL 60204 273159956 Developing medical devices for people in need in developing countries IL 501(c)(3) 9 Northwestern University 1 The Big Ten Conference Inc 1500 W Higgins Rd Park Ridge IL 60068 363640583 Facilitate quality intercollegiate athletic competition IL 501(c)(3) 11b 0 Northwestern University Employees Benefit Trust PO Box 803878 Northern Trust at Tru Chicago IL 60680 363180819 Providing health insurance benefits to current and former eligible employees IL 501(c)(9) Northwestern University 1 Northwestern University Employees Benefit Trust Dental PO Box 803878 Northern Trust at Tru Chicago IL 60680 363591834 Providing health insurance benefits to current and former eligible employees IL 501(c)(9) Northwestern University 1 SON Consortium Inc Campus Box 1058 One Brookings Dr St Louis MO 63130 462932954 Facilitate delivery of education of its member institutions DE 501(c)(3) Line 11a, I 0 Bensell US Feeder LP 50 Lothian Rd Festival Square Edinburgh UK EH3 9WJ 980492320 Investments UK Investment 13243423 0 0 0.56000 Conquest Managed Futures Select Fund III Ltd 45 Market Street Suite 3205 Camana Bay Grand Cayman CJ KYI-9003 Investments CJ Investment 55000000 0 0 1.00000 Charitable Remainder UniTrusts (119) IL T 0 Charitable Remainder Annuity Trusts (22) IL T 0 0 0 1 0 0 0 0 0 0 1 0 0 0 0 1 1 1 1 1 Rubicon Insurance Company P 3952061 cash Rubicon Insurance Company R 4978678 cash Northwestern Medical Faculty Foundation A 4364216 cash Northwestern Medical Faculty Foundation P 4064941 cash Northwestern Medical Faculty Foundation R 785114 cash Northwestern Medical Faculty Foundation C 60774840 cash Northwestern Global Health Foundation S 1535759 cash Student Publishing Company R 175728 cash Northwestern University Employees Benefit Trust Health R 40865978 cash Northwestern University Employees Benefit Trust Dental R 3119800 cash Related Tax-Exempt Organization Schedule R, Part II SON Consortium Inc. applied for Section 501(c)(3) tax-exemption in November 2013. Identification of Related Tax-Exempt Organization Schedule R, Part II Northwestern Medical Faculty Foundation is included as a "related organization" because under its current bylaws, its clinical department chairs comprise a majority of its directors. These individuals are also employed as chairs of the corresponding academic departments within the Feinberg School of Medicine of Northwestern University. However, the two organizations do not stand in the roles of parent and subsidiary. They are separate legal entities, and Northwestern Medical Faculty Foundation is not subject to control by Northwestern University or vice-versa. Charitable Remainder Trusts Schedule R, Part IV The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois.