CALIFORNIA INSTITUTE OF TECHNOLOGY: Form 990, tax year 2012

View the entire original 990 at ProPublica ↗

Organization: CALIFORNIA INSTITUTE OF TECHNOLOGY (EIN 95-1643307)
Tax period: 2012-10-01 to 2013-09-30
Filed: 2014-08-11
IRS object ID: 201402239349301045
Schema version: 2012v2.3
Source: Download XML · Original 990 at ProPublica

Every field in the e-filed return. Faint text is the IRS element name, for citing.

Return header
Form 990
Schedule A
Schedule B
Schedule C
Schedule D
Schedule E
Schedule F
Schedule I
Schedule J
Schedule K
Schedule L
Schedule M
Schedule O
Schedule R

Return header ReturnHeader

Field	Value	IRS element (for citing)
Timestamp	2014-08-11T12:13:33-05:00	Timestamp
Tax Period End Date	2013-09-30	TaxPeriodEndDate

Preparer Firm PreparerFirm

Preparer Firm Business Name PreparerFirmBusinessName

Field	Value	IRS element (for citing)
Business Name Line1	PricewaterhouseCoopers LLP	BusinessNameLine1

Preparer Firm US Address PreparerFirmUSAddress

Field	Value	IRS element (for citing)
Address Line1	125 High Street	AddressLine1
City	Boston	City
State	MA	State
ZIP Code	02110	ZIPCode

Field	Value	IRS element (for citing)
Return Type	990	ReturnType
Tax Period Begin Date	2012-10-01	TaxPeriodBeginDate

Filer Filer

Field	Value	IRS element (for citing)
EIN	951643307	EIN

Name Name

Field	Value	IRS element (for citing)
Business Name Line1	California Institute of Technology	BusinessNameLine1

Field	Value	IRS element (for citing)
In Care Of Name	% MATTHEW W BREWER	InCareOfName
Name Control	CALI	NameControl
Phone	6263956744	Phone

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	1200 E California Blvd	AddressLine1
Address Line2	Suite 117-15	AddressLine2
City	Pasadena	City
State	CA	State
ZIP Code	91125	ZIPCode

Officer Officer

Field	Value	IRS element (for citing)
Name	MATTHEW W BREWER	Name
Title	CONTROLLER	Title
Phone	6263956744	Phone
Date Signed	2014-08-11	DateSigned
Authorize Third Party	true	AuthorizeThirdParty

Preparer Preparer

Field	Value	IRS element (for citing)
Name	PRICEWATERHOUSECOOPERS LLP	Name
Phone	6175305000	Phone

Field	Value	IRS element (for citing)
Tax Year	2012	TaxYear
Build TS	2015-11-30 17:44:51Z	BuildTS

Form 990 IRS990

Field	Value	IRS element (for citing)
Name Of Principal Officer Person	DR THOMAS F ROSENBAUM	NameOfPrincipalOfficerPerson

Address Principal Officer US AddressPrincipalOfficerUS

Field	Value	IRS element (for citing)
Address Line1	1200 E CALIFORNIA BLVD	AddressLine1
City	pasadena	City
State	CA	State
ZIP Code	91125	ZIPCode

Field	Value	IRS element (for citing)
Gross Receipts	2823917000	GrossReceipts
Group Return For Affiliates	false	GroupReturnForAffiliates
Organization501c3	X	Organization501c3
Web Site	www.caltech.edu	WebSite
Type Of Organization Corporation	X	TypeOfOrganizationCorporation
Year Formation	1891	YearFormation
State Legal Domicile	CA	StateLegalDomicile
Activity Or Mission Description	SEE SCHEDULE O	ActivityOrMissionDescription
Nbr Voting Members Governing Body	60	NbrVotingMembersGoverningBody
Nbr Independent Voting Members	50	NbrIndependentVotingMembers
Total Nbr Employees	10262	TotalNbrEmployees
Total Nbr Volunteers	514	TotalNbrVolunteers
Total Gross UBI	14868000	TotalGrossUBI
Contributions Grants Prior Year	415694000	ContributionsGrantsPriorYear
Contributions Grants Current Year	371146000	ContributionsGrantsCurrentYear
Program Service Revenue Prior Year	1720747000	ProgramServiceRevenuePriorYear
Program Service Revenue CY	1590743000	ProgramServiceRevenueCY
Investment Income Prior Year	93092000	InvestmentIncomePriorYear
Investment Income Current Year	114094000	InvestmentIncomeCurrentYear
Other Revenue Prior Year	21235000	OtherRevenuePriorYear
Other Revenue Current Year	40840000	OtherRevenueCurrentYear
Total Revenue Prior Year	2250768000	TotalRevenuePriorYear
Total Revenue Current Year	2116823000	TotalRevenueCurrentYear
Grants And Similar Amnts Prior Year	73520000	GrantsAndSimilarAmntsPriorYear
Grants And Similar Amnts CY	76614000	GrantsAndSimilarAmntsCY
Benefits Paid To Members Prior Year	0	BenefitsPaidToMembersPriorYear
Benefits Paid To Members CY	0	BenefitsPaidToMembersCY
Salaries Etc Prior Year	1165658000	SalariesEtcPriorYear
Salaries Etc Current Year	1167739000	SalariesEtcCurrentYear
Total Prof Fundrsng Exp Prior Year	0	TotalProfFundrsngExpPriorYear
Total Prof Fundrsng Exp CY	0	TotalProfFundrsngExpCY
Total Fundrsng Exp Current Year	12380000	TotalFundrsngExpCurrentYear
Other Expense Prior Year	1005864000	OtherExpensePriorYear
Other Expenses Current Year	862519000	OtherExpensesCurrentYear
Total Expenses Prior Year	2245042000	TotalExpensesPriorYear
Total Expenses Current Year	2106872000	TotalExpensesCurrentYear
Revenues Less Expenses Prior Year	5726000	RevenuesLessExpensesPriorYear
Revenues Less Expenses CY	9951000	RevenuesLessExpensesCY
Total Assets BOY	4115199000	TotalAssetsBOY
Total Assets EOY	4131634000	TotalAssetsEOY
Total Liabilities BOY	1934760000	TotalLiabilitiesBOY
Total Liabilities EOY	1769070000	TotalLiabilitiesEOY
Net Assets Or Fund Balances BOY	2180439000	NetAssetsOrFundBalancesBOY
Net Assets Or Fund Balances EOY	2362564000	NetAssetsOrFundBalancesEOY
Info In Schedule O Part III	X	InfoInScheduleOPartIII
Mission Description	SEE SCHEDULE O	MissionDescription
Significant New Program Services	false	SignificantNewProgramServices
Significant Change	false	SignificantChange
Expense	336056000	Expense
Grants	76495000	Grants
Revenue	153814000	Revenue
Description	INSTRUCTION AND ACADEMIC SUPPORT AT THE CAMPUS.	Description

Activity2 Activity2

Field	Value	IRS element (for citing)
Expense	258327000	Expense
Grants	0	Grants
Revenue	23741000	Revenue
Description	ORGANIZED RESEARCH AT THE CAMPUS.	Description

Activity3 Activity3

Field	Value	IRS element (for citing)
Expense	1399531000	Expense
Grants	0	Grants
Revenue	1399531000	Revenue
Description	Sponsored research at the Jet Propulsion Laboratory.	Description

Field	Value	IRS element (for citing)
Total Of Other Program Service Exp	24897000	TotalOfOtherProgramServiceExp
Total Of Other Program Service Grnt	119000	TotalOfOtherProgramServiceGrnt
Total Of Other Program Service Rev	13657000	TotalOfOtherProgramServiceRev
Total Program Service Expense	2018811000	TotalProgramServiceExpense
Described In501 C3	true	DescribedIn501C3
Schedule B Required	true	ScheduleBRequired
Political Activities	false	PoliticalActivities
Lobbying Activities	true	LobbyingActivities
Subject To Proxy Tax	false	SubjectToProxyTax
Donor Advised Funds	false	DonorAdvisedFunds
Conservation Easements	false	ConservationEasements
Collections Of Art	true	CollectionsOfArt
Credit Counseling	true	CreditCounseling
Term Or Permanent Endowments	true	TermOrPermanentEndowments
Report Land Bldg Equip	true	ReportLandBldgEquip
Report Invest Oth Securities	true	ReportInvestOthSecurities
Report Prog Rel Invest	false	ReportProgRelInvest
Report Other Assets	false	ReportOtherAssets
Report Other Liabilities	true	ReportOtherLiabilities
Report Fin48 Footnote	true	ReportFin48Footnote
Independent Audit Financial Stmt	true	IndependentAuditFinancialStmt
Consolidated Audit Financial Stmt	false	ConsolidatedAuditFinancialStmt
School	true	School
Foreign Office	true	ForeignOffice
Foreign Activities	true	ForeignActivities
More Than5000 K To Organizations	false	MoreThan5000KToOrganizations
More Than5000 K To Individuals	true	MoreThan5000KToIndividuals
Professional Fundraising	false	ProfessionalFundraising
Fundraising Activities	false	FundraisingActivities
Gaming	false	Gaming
Hospital	false	Hospital
Grants To Organizations	true	GrantsToOrganizations
Grants To Individuals	true	GrantsToIndividuals
Schedule J Required	true	ScheduleJRequired
Tax Exempt Bonds	true	TaxExemptBonds
Invest Tax Exempt Bonds	false	InvestTaxExemptBonds
Escrow Account	false	EscrowAccount
On Behalf Of Issuer	false	OnBehalfOfIssuer
Excess Benefit Transaction	false	ExcessBenefitTransaction
Prior Excess Benefit Transaction	false	PriorExcessBenefitTransaction
Loan To Officer Or DQP	true	LoanToOfficerOrDQP
Grant To Related Person	true	GrantToRelatedPerson
Bsnss Rltnshp With Organization	false	BsnssRltnshpWithOrganization
Bsnss Rltnshp Thru Family Member	true	BsnssRltnshpThruFamilyMember
Officer Entity With Bsnss Rltnshp	true	OfficerEntityWithBsnssRltnshp
Deductible Non Cash Contributions	true	DeductibleNonCashContributions
Deductible Contributions Of Art	false	DeductibleContributionsOfArt
Terminated	false	Terminated
Partial Liquidation	false	PartialLiquidation
Disregarded Entity	true	DisregardedEntity
Related Entity	true	RelatedEntity
Related Org Controlled Entity	true	RelatedOrgControlledEntity
Transaction Related Entity	false	TransactionRelatedEntity
Transfers To Exempt Non Chrtbl Org	false	TransfersToExemptNonChrtblOrg
Activities Conducted Partnership	false	ActivitiesConductedPartnership
Schedule O Required	true	ScheduleORequired
Info In Schedule O Part V	X	InfoInScheduleOPartV
Number Forms Transmitted With1096	2560	NumberFormsTransmittedWith1096
Number W2 G Included	0	NumberW2GIncluded
Compliance With Backup Witholding	true	ComplianceWithBackupWitholding
Number Of Employees	10262	NumberOfEmployees
Employment Tax Returns Filed	true	EmploymentTaxReturnsFiled
Unrelated Business Income	true	UnrelatedBusinessIncome
Form990-T Filed	true	Form990-TFiled
Foreign Financial Account	true	ForeignFinancialAccount
Name Of Foreign Country	CI	NameOfForeignCountry
Name Of Foreign Country	SZ	NameOfForeignCountry
Prohibited Tax Shelter Trans	false	ProhibitedTaxShelterTrans
Taxable Party Notification	false	TaxablePartyNotification
Non Deductible Contributions	false	NonDeductibleContributions
Quid Pro Quo Contributions	false	QuidProQuoContributions
Form8282 Property Disposed Of	false	Form8282PropertyDisposedOf
Funds To Pay Premiums	false	FundsToPayPremiums
Premiums Paid	false	PremiumsPaid
Indoor Tanning Services	false	IndoorTanningServices
Info In Schedule O Part VI	X	InfoInScheduleOPartVI
Nbr Voting Governing Body Members	60	NbrVotingGoverningBodyMembers
Number Independent Voting Members	50	NumberIndependentVotingMembers
Family Or Business Relationship	true	FamilyOrBusinessRelationship
Delegation Of Management Duties	false	DelegationOfManagementDuties
Changes To Organizing Docs	false	ChangesToOrganizingDocs
Material Diversion Or Misuse	false	MaterialDiversionOrMisuse
Members Or Stockholders	false	MembersOrStockholders
Election Of Board Members	false	ElectionOfBoardMembers
Decisions Subject To Approval	false	DecisionsSubjectToApproval
Minutes Of Governing Body	true	MinutesOfGoverningBody
Minutes Of Committees	true	MinutesOfCommittees
Officer Mailing Address	false	OfficerMailingAddress
Local Chapters	false	LocalChapters
Form990 Provided To Governing Body	true	Form990ProvidedToGoverningBody
Conflict Of Interest Policy	true	ConflictOfInterestPolicy
Annual Disclosure Covered Persons	true	AnnualDisclosureCoveredPersons
Regular Monitoring Enforcement	true	RegularMonitoringEnforcement
Whistleblower Policy	true	WhistleblowerPolicy
Document Retention Policy	true	DocumentRetentionPolicy
Compensation Process CEO	true	CompensationProcessCEO
Compensation Process Other	true	CompensationProcessOther
Investment In Joint Venture	false	InvestmentInJointVenture
States Where Copy Of Return Is Filed	CA	StatesWhereCopyOfReturnIsFiled
States Where Copy Of Return Is Filed	IL	StatesWhereCopyOfReturnIsFiled
Upon Request	X	UponRequest

The Books Are In Care Of TheBooksAreInCareOf

Field	Value	IRS element (for citing)
Name Person	MATTHEW W BREWER	NamePerson
Telephone Number	6263958818	TelephoneNumber

Address US AddressUS

Field	Value	IRS element (for citing)
Address Line1	1200 E CALIFORNIA BLVD	AddressLine1
City	pasadena	City
State	CA	State
ZIP Code	91125	ZIPCode

Field	Value	IRS element (for citing)
Info In Schedule O Part VII	X	InfoInScheduleOPartVII

Form990 Part VII Section A Form990PartVIISectionA (79 entries)

TitleTitle	Average Hours Per WeekAverageHoursPerWeek	Individual Trustee Or DirectorIndividualTrusteeOrDirector	Reportable Comp From OrganizationReportableCompFromOrganization	Reportable Comp From Related OrgsReportableCompFromRelatedOrgs	Other CompensationOtherCompensation	OfficerOfficer	Key EmployeeKeyEmployee	Highest Compensated EmployeeHighestCompensatedEmployee
Gordon M Binder
Trustee	1.0	X
Robert C Bonner
Trustee	1.0	X
LYNN A BOOTH
TRUSTEE	1.0	X
Brigitte M Bren
Trustee	1.0	X
John E Bryson
Trustee	1.0	X
Milton M Chang
Trustee	1.0	X
John S Chen
Trustee	1.0	X
WENCHI CHEN
TRUSTEE	1.0	X
PEGGY T CHERNG
TRUSTEE	1.0	X
Robert B Chess
Trustee	1.0	X
William H Davidow
Trustee	1.0	X
DAVID T DREIER
Trustee (SINCE 7/1/13)	1.0	X
Lounette M Dyer
Trustee	1.0	X
Gilad I Elbaz
Trustee	1.0	X
Thomas E Everhart
TRUSTEE	1.0	X
JOSHUA S FRIEDMAN
Trustee	1.0	X
William T Gross
Trustee	1.0	X
NARENDRA K GUPTA
TRUSTEE	1.0	X
B KIPLING HAGOPIAN
TRUSTEE	1.0	X	0	0	0
Frederick J Hameetman
Trustee	1.0	X
Shirley M Hufstedler
Trustee	1.0	X
MARIA D HUMMER-TUTTLE
TRUSTEE	1.0	X
Bobby R Inman
Trustee	1.0	X
Robert T Jenkins
Trustee	1.0	X
Peter D Kaufman
Trustee	1.0	X
Louise Kirkbride
Trustee	1.0	X
WALTER G KORTSCHAK
TRUSTEE	1.0	X
Kent Kresa
Trustee	1.0	X
Jon B Kutler
Trustee	1.0	X
Louis J Lavigne Jr
Trustee	1.0	X
David L Lee
Trustee	1.0	X
York Liao
Trustee	1.0	X
Alexander Lidow
Trustee	1.0	X
Ronald K Linde
Trustee	1.0	X
A Michael Lipper
Trustee	1.0	X
ANDREW N LIVERIS
Trustee (SINCE 4/1/13)	1.0	X
Shirley M Malcom
Trustee	1.0	X
Deborah D McWhinney
Trustee	1.0	X
Richard N Merkin
Trustee	1.0	X
Philip M Neches
Trustee	1.0	X
Patrick H Nettles Jr
Trustee	1.0	X
Peter Norton
Trustee	1.0	X
Ronald L Olson
Trustee	1.0	X
Stephen R Onderdonk
Trustee	1.0	X
Pedro J Pizarro
Trustee	1.0	X
Stewart A Resnick
Trustee	1.0	X
Nelson C Rising
Trustee	1.0	X
Stephen A Ross
Trustee	1.0	X
James F Rothenberg
Trustee	1.0	X
Marc I Stern
TRUSTEE	1.0	X
Donald W Tang
TRUSTEE	1.0	X
KEVIN M TAWEEL
Trustee	1.0	X
DAVID W THOMPSON
Trustee	1.0	X
Charles R Trimble
Trustee	1.0	X
Lewis W van Amerongen
Trustee	1.0	X
Walter L Weisman
Trustee	1.0	X
Gayle E Wilson
TRUSTEE	1.0	X
RICHMOND A WOLF
Trustee	1.0	X
Suzanne H Woolsey
TRUSTEE	1.0	X
JEAN-LOU A CHAMEAU
PRES/TRUSTEE (UNTIL 6/30/13)	40.0	X	890184		104165	X
EDWARD M STOLPER
INT PRES&PROVOST(SINCE 7/1/13)	40.0	X	519024		50082	X
MATTHEW W BREWER
CONTROLLER	40.0		210934		38621	X
DEAN CURRIE
VP FOR BUSINESS AND FINANCE	40.0		529065		60930	X
CHARLES ELACHI
VP & DIRECTOR, JET PROP LAB	40.0		706770		52423	X
MADELINE WAY LEE
Assistant Treasurer	32.0		136455		35756	X
JENNIFER THERESA LUM
DEPUTY GENERAL COUNSEL	40.0		217145		62945	X
SHARON E PATTERSON
Assoc. VP for fin. & treas.	40.0		316539		39395	X
SCOTT H RICHLAND
Chief Investment Officer	40.0		464633		296348	X
ANNEILA I SARGENT
vp for Student Affairs	40.0		312485		60352	X
VICTORIA D STRATMAN
General Counsel	40.0		381405		59108	X
MARY L WEBSTER
Secretary of board of trustees	40.0		219060		45757	X
BRIAN K LEE
VP for Dev & INSTIT. RELATIONS	40.0		641014		40881	X
EUGENE L TATTINI
Deputy Dir, Jet Prop Lab	40.0		477840		41679		X
JAKOB VAN ZYL
FAC ASSOC. & ASSOC DIR JPL	40.0		330580		48367		X
PETER B DERVAN
PROF CHEM& FMR VP DEV&INST REL	40.0		363731		64646			X
Firouz M Naderi
Director, Sol Sys Exploration	40.0		354476		48785			X
DAVID BALTIMORE
President Emeritus, Prof Bio	40.0		390300		62832			X
EDWARD STONE
PROF OF PHYSICS	40.0		398893		57676			X
COLIN CAMERER
PROFESSOR OF BEHAVIORAL ECON	40.0		353842		35687			X

Field	Value	IRS element (for citing)
Total Reportable Comp From Org	8214375	TotalReportableCompFromOrg
Total Reportable Comp Frm Rltd Orgs	0	TotalReportableCompFrmRltdOrgs
Total Other Compensation	1306435	TotalOtherCompensation
Number Individuals GT100 K	3816	NumberIndividualsGT100K
Formers Listed	false	FormersListed
Total Comp GT150 K	true	TotalCompGT150K
Compensation From Other Sources	false	CompensationFromOtherSources

Contractor Compensation ContractorCompensation (5 entries)

Address Line1AddressOfContractor/AddressUS/AddressLine1	CityAddressOfContractor/AddressUS/City	StateAddressOfContractor/AddressUS/State	ZIP CodeAddressOfContractor/AddressUS/ZIPCode	Description Of ServicesDescriptionOfServices	CompensationCompensation
ITT CORPORATION
5009 CENTENNIAL BLVD	COLORADO SPRINGS	CO	809192401	OPERATING DSN	55023073
LOCKHEED MARTIN CORP
12257 S WADSWORTH	LITTLETON	CO	80125	AEROSPACE	26053904
ADAPTIVE OPTICS ASSOCIATES INC
TEN WILSON ROAD	CAMBRIDGE	MA	02138	AEROSPACE	22339465
NORTHROP GRUMMAN SYSTEMS CORPORATIO
1 SPACE PARK DRIVE	REDONDO BEACH	CA	902781001	AEROSPACE	33694556
LOCKHEED MARTIN INTEGRATED SYSTEMS
7375 executive place	SEABROOK	MD	207062278	INSTITUTIONAL COMP.	33614256

Field	Value	IRS element (for citing)
Number Of Contractors GT100 K	869	NumberOfContractorsGT100K
Government Grants	273653000	GovernmentGrants
All Other Contributions	97493000	AllOtherContributions
Noncash Contributions	4807000	NoncashContributions
Total Contributions	371146000	TotalContributions

Program Service Revenue ProgramServiceRevenue (4 entries)

DescriptionDescription	Business CodeBusinessCode	Total Revenue ColumnTotalRevenueColumn	ExclusionExclusionAmount	Related Or Exempt Function IncomeRelatedOrExemptFunctionIncome	Unrelated Business RevenueUnrelatedBusinessRevenue
JPL AND OTHER AWARDS	900099	1468158000	$1,468,158,000
STUDENT TUITION	611600	86491000		86491000
USE OF FACILITIES	900099	22437000		22437000
AUXILIARY ENTERPRISES	900099	13657000		9566000	4091000

Field	Value	IRS element (for citing)
Total Program Service Revenue	1590743000	TotalProgramServiceRevenue

Investment Income InvestmentIncome

Field	Value	IRS element (for citing)
Total Revenue Column	38038000	TotalRevenueColumn
Unrelated Business Revenue	10762000	UnrelatedBusinessRevenue
Exclusion	$27,276,000	ExclusionAmount

Income From Invest Bond Proceeds IncomeFromInvestBondProceeds

Field	Value	IRS element (for citing)
Total Revenue Column	0	TotalRevenueColumn

Royalties Revenue RoyaltiesRevenue

Field	Value	IRS element (for citing)
Total Revenue Column	26408000	TotalRevenueColumn
Exclusion	$26,408,000	ExclusionAmount

Gross Rents GrossRents

Field	Value	IRS element (for citing)
Real	610000	Real

Less Rental Expenses LessRentalExpenses

Field	Value	IRS element (for citing)
Real	4000	Real

Rental Income Or Loss RentalIncomeOrLoss

Field	Value	IRS element (for citing)
Real	606000	Real
Personal	0	Personal

Net Rental Income Or Loss NetRentalIncomeOrLoss

Field	Value	IRS element (for citing)
Total Revenue Column	606000	TotalRevenueColumn
Exclusion	$606,000	ExclusionAmount

Gross Amount Sales Assets GrossAmountSalesAssets

Field	Value	IRS element (for citing)
Securities	778349000	Securities
Other	635000	Other

Less Cost Oth Basis Sales Expenses LessCostOthBasisSalesExpenses

Field	Value	IRS element (for citing)
Securities	702728000	Securities
Other	200000	Other

Gain Or Loss GainOrLoss

Field	Value	IRS element (for citing)
Securities	75621000	Securities
Other	435000	Other

Net Gain Or Loss Investments NetGainOrLossInvestments

Field	Value	IRS element (for citing)
Total Revenue Column	76056000	TotalRevenueColumn
Exclusion	$76,056,000	ExclusionAmount

Net Income From Fundraising Events NetIncomeFromFundraisingEvents

Field	Value	IRS element (for citing)
Total Revenue Column	0	TotalRevenueColumn

Net Income From Gaming NetIncomeFromGaming

Field	Value	IRS element (for citing)
Total Revenue Column	0	TotalRevenueColumn

Field	Value	IRS element (for citing)
Gross Sales Of Inventory	17973000	GrossSalesOfInventory
Cost Of Goods Sold	4162000	CostOfGoodsSold

Net Income Or Loss NetIncomeOrLoss

Field	Value	IRS element (for citing)
Total Revenue Column	13811000	TotalRevenueColumn
Exclusion	$13,811,000	ExclusionAmount

Other Revenue Misc OtherRevenueMisc

Field	Value	IRS element (for citing)
Description	ADVERTISING AND FILMING	Description
Business Code	900099	BusinessCode
Total Revenue Column	15000	TotalRevenueColumn
Unrelated Business Revenue	15000	UnrelatedBusinessRevenue

Field	Value	IRS element (for citing)
Total Other Revenue	15000	TotalOtherRevenue

Total Revenue TotalRevenue

Field	Value	IRS element (for citing)
Total Revenue Column	2116823000	TotalRevenueColumn
Related Or Exempt Function Income	118494000	RelatedOrExemptFunctionIncome
Unrelated Business Revenue	14868000	UnrelatedBusinessRevenue
Exclusion	$1,612,315,000	ExclusionAmount

Grants To Domestic Orgs GrantsToDomesticOrgs

Field	Value	IRS element (for citing)
Total	7619000	Total
Program Services	7619000	ProgramServices

Grants To Domestic Individuals GrantsToDomesticIndividuals

Field	Value	IRS element (for citing)
Total	68731000	Total
Program Services	68731000	ProgramServices

Foreign Grants ForeignGrants

Field	Value	IRS element (for citing)
Total	264000	Total
Program Services	264000	ProgramServices

Benefits To Members BenefitsToMembers

Field	Value	IRS element (for citing)
Total	0	Total
Program Services	0	ProgramServices

Comp Current Officers Directors CompCurrentOfficersDirectors

Field	Value	IRS element (for citing)
Total	7154000	Total
Program Services	2822000	ProgramServices
Management And General	3701000	ManagementAndGeneral
Fundraising	631000	Fundraising

Comp Disqual Persons CompDisqualPersons

Field	Value	IRS element (for citing)
Total	5396000	Total
Program Services	4184000	ProgramServices
Management And General	840000	ManagementAndGeneral
Fundraising	372000	Fundraising

Other Salaries And Wages OtherSalariesAndWages

Field	Value	IRS element (for citing)
Total	885605000	Total
Program Services	858406000	ProgramServices
Management And General	21783000	ManagementAndGeneral
Fundraising	5416000	Fundraising

Pension Plan Contributions PensionPlanContributions

Field	Value	IRS element (for citing)
Total	87619000	Total
Program Services	84891000	ProgramServices
Management And General	2264000	ManagementAndGeneral
Fundraising	464000	Fundraising

Other Employee Benefits OtherEmployeeBenefits

Field	Value	IRS element (for citing)
Total	125468000	Total
Program Services	110522000	ProgramServices
Management And General	14197000	ManagementAndGeneral
Fundraising	749000	Fundraising

Payroll Taxes PayrollTaxes

Field	Value	IRS element (for citing)
Total	56497000	Total
Program Services	53803000	ProgramServices
Management And General	2289000	ManagementAndGeneral
Fundraising	405000	Fundraising

Fees For Services Management FeesForServicesManagement

Field	Value	IRS element (for citing)
Total	0	Total
Program Services	0	ProgramServices

Fees For Services Legal FeesForServicesLegal

Field	Value	IRS element (for citing)
Total	12871000	Total
Program Services	6753000	ProgramServices
Management And General	6118000	ManagementAndGeneral

Fees For Services Accounting FeesForServicesAccounting

Field	Value	IRS element (for citing)
Total	979000	Total
Program Services	0	ProgramServices
Management And General	979000	ManagementAndGeneral

Fees For Services Lobbying FeesForServicesLobbying

Field	Value	IRS element (for citing)
Total	490000	Total
Program Services	0	ProgramServices
Management And General	490000	ManagementAndGeneral

Fees For Services Prof Fundraising FeesForServicesProfFundraising

Field	Value	IRS element (for citing)
Total	0	Total

Fees For Services Invst Mgmnt Fees FeesForServicesInvstMgmntFees

Field	Value	IRS element (for citing)
Total	5753000	Total
Program Services	0	ProgramServices
Management And General	5753000	ManagementAndGeneral

Fees For Services Other FeesForServicesOther

Field	Value	IRS element (for citing)
Total	19414000	Total
Program Services	14083000	ProgramServices
Management And General	4301000	ManagementAndGeneral
Fundraising	1030000	Fundraising

Advertising Advertising

Field	Value	IRS element (for citing)
Total	371000	Total
Program Services	197000	ProgramServices
Management And General	147000	ManagementAndGeneral
Fundraising	27000	Fundraising

Office Expenses OfficeExpenses

Field	Value	IRS element (for citing)
Total	281534000	Total
Program Services	276867000	ProgramServices
Management And General	2679000	ManagementAndGeneral
Fundraising	1988000	Fundraising

Information Technology InformationTechnology

Field	Value	IRS element (for citing)
Total	4079000	Total
Program Services	2460000	ProgramServices
Management And General	1618000	ManagementAndGeneral
Fundraising	1000	Fundraising

Royalties Royalties

Field	Value	IRS element (for citing)
Total	1729000	Total
Program Services	1696000	ProgramServices
Management And General	33000	ManagementAndGeneral

Occupancy Occupancy

Field	Value	IRS element (for citing)
Total	51969000	Total
Program Services	48992000	ProgramServices
Management And General	2582000	ManagementAndGeneral
Fundraising	395000	Fundraising

Travel Travel

Field	Value	IRS element (for citing)
Total	31106000	Total
Program Services	30113000	ProgramServices
Management And General	638000	ManagementAndGeneral
Fundraising	355000	Fundraising

Travel Entrtnmnt Public Officials TravelEntrtnmntPublicOfficials

Field	Value	IRS element (for citing)
Total	0	Total
Program Services	0	ProgramServices

Conferences Meetings ConferencesMeetings

Field	Value	IRS element (for citing)
Total	7070000	Total
Program Services	6580000	ProgramServices
Management And General	444000	ManagementAndGeneral
Fundraising	46000	Fundraising

Interest Interest

Field	Value	IRS element (for citing)
Total	25854000	Total
Program Services	25381000	ProgramServices
Management And General	404000	ManagementAndGeneral
Fundraising	69000	Fundraising

Payments To Affiliates PaymentsToAffiliates

Field	Value	IRS element (for citing)
Total	0	Total
Program Services	0	ProgramServices

Depreciation Depletion DepreciationDepletion

Field	Value	IRS element (for citing)
Total	67407000	Total
Program Services	64452000	ProgramServices
Management And General	2523000	ManagementAndGeneral
Fundraising	432000	Fundraising

Insurance Insurance

Field	Value	IRS element (for citing)
Total	6454000	Total
Program Services	4556000	ProgramServices
Management And General	1898000	ManagementAndGeneral

Other Expenses OtherExpenses (2 entries)

DescriptionDescription	TotalTotal	Program ServicesProgramServices
CONTRACT SERVICES	490222000	490222000
JPL POST EMPLYMNT OBLIGATION	-144783000	-144783000

Total Functional Expenses TotalFunctionalExpenses

Field	Value	IRS element (for citing)
Total	2106872000	Total
Program Services	2018811000	ProgramServices
Management And General	75681000	ManagementAndGeneral
Fundraising	12380000	Fundraising

Field	Value	IRS element (for citing)
Info In Schedule O Part X	X	InfoInScheduleOPartX

Cash Non Interest Bearing CashNonInterestBearing

Field	Value	IRS element (for citing)
BOY	0	BOY
EOY	0	EOY

Savings And Temp Cash Investments SavingsAndTempCashInvestments

Field	Value	IRS element (for citing)
BOY	145422000	BOY
EOY	206111000	EOY

Pledges And Grants Receivable PledgesAndGrantsReceivable

Field	Value	IRS element (for citing)
BOY	83602000	BOY
EOY	77898000	EOY

Accounts Receivable AccountsReceivable

Field	Value	IRS element (for citing)
BOY	221076000	BOY
EOY	216290000	EOY

Receivables From Officers Etc ReceivablesFromOfficersEtc

Field	Value	IRS element (for citing)
BOY	350000	BOY
EOY	350000	EOY

Receivables From Disqual Persons ReceivablesFromDisqualPersons

Field	Value	IRS element (for citing)
BOY	0	BOY
EOY	0	EOY

Other Notes Loans Receivable Net OtherNotesLoansReceivableNet

Field	Value	IRS element (for citing)
BOY	559052	BOY
EOY	507108	EOY

Inventories For Sale Or Use InventoriesForSaleOrUse

Field	Value	IRS element (for citing)
BOY	0	BOY
EOY	0	EOY

Prepaid Expenses Deferred Charges PrepaidExpensesDeferredCharges

Field	Value	IRS element (for citing)
BOY	674039000	BOY
EOY	559031000	EOY

Field	Value	IRS element (for citing)
Land Buildings Equipment Basis	1627494000	LandBuildingsEquipmentBasis
Land Bldg Equipment Accum Deprec	753206000	LandBldgEquipmentAccumDeprec

Land Buildings Equipment Basis Net LandBuildingsEquipmentBasisNet

Field	Value	IRS element (for citing)
BOY	873768000	BOY
EOY	874288000	EOY

Investments Pub Traded Securities InvestmentsPubTradedSecurities

Field	Value	IRS element (for citing)
BOY	884598000	BOY
EOY	979434000	EOY

Investments Other Securities InvestmentsOtherSecurities

Field	Value	IRS element (for citing)
BOY	1200908000	BOY
EOY	1187108000	EOY

Investments Program Related InvestmentsProgramRelated

Field	Value	IRS element (for citing)
BOY	0	BOY
EOY	0	EOY

Intangible Assets IntangibleAssets

Field	Value	IRS element (for citing)
BOY	0	BOY
EOY	0	EOY

Other Assets Total OtherAssetsTotal

Field	Value	IRS element (for citing)
BOY	30876948	BOY
EOY	30616892	EOY

Total Assets TotalAssets

Field	Value	IRS element (for citing)
BOY	4115199000	BOY
EOY	4131634000	EOY

Accounts Payable Accrued Expenses AccountsPayableAccruedExpenses

Field	Value	IRS element (for citing)
BOY	452452000	BOY
EOY	408913000	EOY

Grants Payable GrantsPayable

Field	Value	IRS element (for citing)
BOY	0	BOY
EOY	0	EOY

Deferred Revenue DeferredRevenue

Field	Value	IRS element (for citing)
BOY	30328000	BOY
EOY	34605000	EOY

Tax Exempt Bond Liabilities TaxExemptBondLiabilities

Field	Value	IRS element (for citing)
BOY	275621000	BOY
EOY	275598000	EOY

Escrow Account Liability EscrowAccountLiability

Field	Value	IRS element (for citing)
BOY	79505000	BOY
EOY	83550000	EOY

Loans From Officers Directors LoansFromOfficersDirectors

Field	Value	IRS element (for citing)
BOY	0	BOY
EOY	0	EOY

Mort Notes Pybl Secured Invest Prop MortNotesPyblSecuredInvestProp

Field	Value	IRS element (for citing)
BOY	0	BOY
EOY	0	EOY

Unsecured Notes Loans Payable UnsecuredNotesLoansPayable

Field	Value	IRS element (for citing)
BOY	433950000	BOY
EOY	451372000	EOY

Other Liabilities OtherLiabilities

Field	Value	IRS element (for citing)
BOY	662904000	BOY
EOY	515032000	EOY

Total Liabilities TotalLiabilities

Field	Value	IRS element (for citing)
BOY	1934760000	BOY
EOY	1769070000	EOY

Field	Value	IRS element (for citing)
Follow SFAS117	X	FollowSFAS117

Unrestricted Net Assets UnrestrictedNetAssets

Field	Value	IRS element (for citing)
BOY	589949000	BOY
EOY	665085000	EOY

Temporarily Restricted Net Assets TemporarilyRestrictedNetAssets

Field	Value	IRS element (for citing)
BOY	686637000	BOY
EOY	725844000	EOY

Permanently Restricted Net Assets PermanentlyRestrictedNetAssets

Field	Value	IRS element (for citing)
BOY	903853000	BOY
EOY	971635000	EOY

Total Net Assets Fund Balances TotalNetAssetsFundBalances

Field	Value	IRS element (for citing)
BOY	2180439000	BOY
EOY	2362564000	EOY

Total Liab Net Assets Fund Balances TotalLiabNetAssetsFundBalances

Field	Value	IRS element (for citing)
BOY	4115199000	BOY
EOY	4131634000	EOY

Field	Value	IRS element (for citing)
Info In Schedule O Part XI	X	InfoInScheduleOPartXI
Reconcilation Revenue Expenses	9951000	ReconcilationRevenueExpenses
Reconciliation Unrealized Invest	132648000	ReconciliationUnrealizedInvest
Reconcilation Other Changes	39526000	ReconcilationOtherChanges
Method Of Accounting Accrual	X	MethodOfAccountingAccrual
Accountant Compile Or Review	false	AccountantCompileOrReview
FS Audited	true	FSAudited

FS Audited Basis FSAuditedBasis

Field	Value	IRS element (for citing)
Financial Statement Separate	X	FinancialStatementSeparate

Field	Value	IRS element (for citing)
Audit Committee	true	AuditCommittee
Federal Grant Audit Required	true	FederalGrantAuditRequired
Federal Grant Audit Performed	true	FederalGrantAuditPerformed

Schedule A IRS990ScheduleA

Field	Value	IRS element (for citing)
School170b1 Aii	X	School170b1Aii

Schedule B IRS990ScheduleB

Contributor Info ContributorInfo

Field	Value	IRS element (for citing)
Contributor Number	RESTRICTED	ContributorNumber

Contributor Name Business ContributorNameBusiness

Field	Value	IRS element (for citing)
Business Name Line1	RESTRICTED	BusinessNameLine1

Contributor Address US ContributorAddressUS

Field	Value	IRS element (for citing)
Address Line1	RESTRICTED	AddressLine1
Address Line2	RESTRICTED	AddressLine2
City	RESTRICTED	City
State	RESTRICTED	State
ZIP Code	RESTRICTED	ZIPCode

Field	Value	IRS element (for citing)
Aggregate Contributions	RESTRICTED	AggregateContributions

Schedule C IRS990ScheduleC

Field	Value	IRS element (for citing)
Total Grassroots Lobbying		TotalGrassrootsLobbying
Total Direct Lobbying		TotalDirectLobbying
Total Lobbying Expenditures		TotalLobbyingExpenditures
Other Exempt Purpose Expenditures		OtherExemptPurposeExpenditures
Total Exempt Purpose Expenditures		TotalExemptPurposeExpenditures
Lobbying Nontaxable		LobbyingNontaxableAmount
Grassroots Nontaxable		GrassrootsNontaxableAmount
Tot Lobbying Grassroot Minus Non Tx		TotLobbyingGrassrootMinusNonTx
Tot Lobby Expend Mns Lobbying Nontx		TotLobbyExpendMnsLobbyingNontx
Volunteers	false	Volunteers
Paid Staff Or Management	true	PaidStaffOrManagement
Media Advertisements	false	MediaAdvertisements
Mailings Members	false	MailingsMembers
Publications Or Broadcast	false	PublicationsOrBroadcast
Grants Other Organizations	true	GrantsOtherOrganizations
Grants Other Organizations	$490,000	GrantsOtherOrganizationsAmount
Direct Contact Legislators	true	DirectContactLegislators
Direct Contact Legislators	$150,000	DirectContactLegislatorsAmount
Rallies Demonstrations	false	RalliesDemonstrations
Other Activities	true	OtherActivities
Total Lobbying Expenditures IIB	640000	TotalLobbyingExpendituresIIB
Not Described In501c3	false	NotDescribedIn501c3

Form990 Schedule C Part IV Form990ScheduleCPartIV

Field	Value	IRS element (for citing)
Identifier	lobbying activity explanation	Identifier
Return Reference	schedule C, part II-B	ReturnReference
Explanation	THE INSTITUTE RETAINS A CONSULTING FIRM TO MONITOR LEGISLATIVE DEVELOPMENTS AND TO COUNSEL IT ON GOVERNMENT RELATIONS MATTERS. THE CONSULTANT MAY ESTABLISH DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, AND LEGISLATIVE BODIES AND ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED COMMUNICATION WHICH ATTEMPTS TO INFLUENCE LEGISLATION. FURTHER, THE INSTITUTE'S STAFF IN THE COURSE OF NECESSARY COMMUNICATIONS WITH GOVERNMENT OFFICIALS AND INFORMATIONAL PUBLIC EDUCATION ACTIVITIES, MAY FROM TIME TO TIME ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED TO INFLUENCE LEGISLATION. TOTAL LOBBYING EXPENDITURES INCLUDE THE TOTAL OF ALL EXPENDITURES IN ALL ACCOUNTS THAT THE INSTITUTE BELIEVES MAY POTENTIALLY HAVE ANY RELATIONSHIP TO LOBBYING. THIS AMOUNT INCLUDES ALL OFFICE BUDGET EXPENDITURES OF THE INSTITUTE'S OFFICE OF GOVERNMENT RELATIONS, OF WHICH ONLY A FRACTION IS EXPENDED FOR LOBBYING ACTIVITIES. THE INSTITUTE IS A MEMBER OF CERTAIN PROFESSIONAL AND ACADEMIC ORGANIZATIONS THAT HAVE REGISTERED TO LOBBY ON BEHALF OF MEMBERSHIP. ALTHOUGH A SMALL PORTION OF THE INSTITUTE'S MEMBERSHIP DUES MAY BE USED FOR LOBBYING, THE AMOUNT IS IMMATERIAL. CALTECH'S MEMBERSHIP IN THESE ORGANIZATIONS IS FOR THE PURPOSE OF HAVING ACCESS TO THE MOST CURRENT INFORMATION ON GOVERNMENT AND BUSINESS DEVELOPMENTS AS THEY RELATE TO COLLEGES AND UNIVERSITIES AND NOT FOR ANY LOBBYING EFFORT.	Explanation

Schedule D IRS990ScheduleD

Field	Value	IRS element (for citing)
Art Public Exhibition Amts		ArtPublicExhibitionAmts
Held Works Of Art Amts		HeldWorksOfArtAmts
Collect Used For Scholar Research	X	CollectUsedForScholarResearch
Collect Used For Preservation	X	CollectUsedForPreservation
Solicited Assets For Sale	false	SolicitedAssetsForSale
Agent Trustee Etc	false	AgentTrusteeEtc
Included On FS	true	IncludedOnFS
Explanation In Part XIII	X	ExplanationInPartXIII

Current Year CurrentYear

Field	Value	IRS element (for citing)
Beginning Of Year Balance	1811497000	BeginningOfYearBalance
Contributions	63352000	Contributions
Investment Earnings Or Losses	194690000	InvestmentEarningsOrLosses
Grants Or Scholarships	17756000	GrantsOrScholarships
Other Expenditures	74748000	OtherExpenditures
Administrative Expenses	15724000	AdministrativeExpenses
End Of Year Balance	1961311000	EndOfYearBalance

Current Year Minus1 Year CurrentYearMinus1Year

Field	Value	IRS element (for citing)
Beginning Of Year Balance	1624331000	BeginningOfYearBalance
Contributions	48421000	Contributions
Investment Earnings Or Losses	247221000	InvestmentEarningsOrLosses
Grants Or Scholarships	15692000	GrantsOrScholarships
Other Expenditures	77320000	OtherExpenditures
Administrative Expenses	15464000	AdministrativeExpenses
End Of Year Balance	1811497000	EndOfYearBalance

Current Year Minus2 Years CurrentYearMinus2Years

Field	Value	IRS element (for citing)
Beginning Of Year Balance	1631959000	BeginningOfYearBalance
Contributions	106064000	Contributions
Investment Earnings Or Losses	-10788000	InvestmentEarningsOrLosses
Grants Or Scholarships	13767000	GrantsOrScholarships
Other Expenditures	75029000	OtherExpenditures
Administrative Expenses	14108000	AdministrativeExpenses
End Of Year Balance	1624331000	EndOfYearBalance

Current Year Minus3 Years CurrentYearMinus3Years

Field	Value	IRS element (for citing)
Beginning Of Year Balance	1507019000	BeginningOfYearBalance
Contributions	81279000	Contributions
Investment Earnings Or Losses	151556000	InvestmentEarningsOrLosses
Grants Or Scholarships	15015000	GrantsOrScholarships
Other Expenditures	73401000	OtherExpenditures
Administrative Expenses	19479000	AdministrativeExpenses
End Of Year Balance	1631959000	EndOfYearBalance

Current Year Minus4 Years CurrentYearMinus4Years

Field	Value	IRS element (for citing)
Beginning Of Year Balance	1659458000	BeginningOfYearBalance
Contributions	75041000	Contributions
Investment Earnings Or Losses	-125638000	InvestmentEarningsOrLosses
Grants Or Scholarships	19010000	GrantsOrScholarships
Other Expenditures	82832000	OtherExpenditures
End Of Year Balance	1507019000	EndOfYearBalance

Field	Value	IRS element (for citing)
Board Designated EOY Balance	0.30020	BoardDesignatedEOYBalance
Permanent Endowment EOY Balance	0.68520	PermanentEndowmentEOYBalance
Term Endowment EOY Balance	0.01460	TermEndowmentEOYBalance
Endowments Held By Unrelated Orgs	false	EndowmentsHeldByUnrelatedOrgs
Endowments Held By Related Orgs	false	EndowmentsHeldByRelatedOrgs

Land Land

Field	Value	IRS element (for citing)
Other Cost Or Other Basis	40817000	OtherCostOrOtherBasis
Book Value	40817000	BookValue

Buildings Buildings

Field	Value	IRS element (for citing)
Other Cost Or Other Basis	987256000	OtherCostOrOtherBasis
Depreciation	363693000	Depreciation
Book Value	623563000	BookValue

Field	Value	IRS element (for citing)
Leasehold Improvements		LeaseholdImprovements

Equipment Equipment

Field	Value	IRS element (for citing)
Other Cost Or Other Basis	539015000	OtherCostOrOtherBasis
Depreciation	389513000	Depreciation
Book Value	149502000	BookValue

Other Land Buildings OtherLandBuildings

Field	Value	IRS element (for citing)
Other Cost Or Other Basis	60406000	OtherCostOrOtherBasis
Book Value	60406000	BookValue

Field	Value	IRS element (for citing)
Total Of Book Value Land Buildings	874288000	TotalOfBookValueLandBuildings
Financial Derivatives		FinancialDerivatives
Closely Held Equity Interests		CloselyHeldEquityInterests

Other Securities OtherSecurities (3 entries)

DescriptionDescription	Book ValueBookValue	Method Of ValuationMethodOfValuation
ALTERNATIVE SECURITIES	651642000	F
PRIVATE EQUITY	196644000	F
REAL ASSETS	338822000	F

Field	Value	IRS element (for citing)
Total Of Book Value Securities	1187108000	TotalOfBookValueSecurities
Federal Income Tax Liability	0	FederalIncomeTaxLiability

Other Liabilities OtherLiabilities

Field	Value	IRS element (for citing)
Description	ACCUMULATED POST RET. BENEFIT	Description
Amount	$515,032,000	Amount

Field	Value	IRS element (for citing)
Total Of Amounts	515032000	TotalOfAmounts
Footnote In Part XIII	X	FootnoteInPartXIII
Tot Revenue Etc Audited Fincl Stmt	2196604000	TotRevenueEtcAuditedFinclStmt
Net Unrealized Gains Investments	132648000	NetUnrealizedGainsInvestments
Other Revenues	-57029000	OtherRevenues
Revenue Not Rptd F990	75619000	RevenueNotRptdF990
Revenue Subtotal	2120985000	RevenueSubtotal
Other Revenues Not Included	-4162000	OtherRevenuesNotIncluded
Revenue Not Rptd On Fin Stmt	-4162000	RevenueNotRptdOnFinStmt
Total Revenue Per Form990	2116823000	TotalRevenuePerForm990
Tot Expenses Etc Audited Fincl Stmt	2054005000	TotExpensesEtcAuditedFinclStmt
Other Expenses Included	8558000	OtherExpensesIncluded
Expenses Not Rptd F990	8558000	ExpensesNotRptdF990
Expenses Subtotal	2045447000	ExpensesSubtotal
Investment Expenses Not Included2	5753000	InvestmentExpensesNotIncluded2
Other Expenses Not Included	55672000	OtherExpensesNotIncluded
Expenses Not Rptd On Fin Stmt	61425000	ExpensesNotRptdOnFinStmt
Total Expenses Per Form990	2106872000	TotalExpensesPerForm990

Form990 Schedule D Part XIII Form990ScheduleDPartXIII

Field	Value	IRS element (for citing)
Identifier	FORM 990, SCHEDULE D, PART III, LINE 1a	Identifier
Return Reference	The Institute does not capitalize its collection items. Due to the	ReturnReference
Explanation	immateriality of the effect of collections practices on its financial statements, the Institute does not disclose its collections policies. FORM 990, SCHEDULE D, PART III, LINE 4 CALTECH MAINTAINS A COLLECTION OF INSTITUTIONAL RECORDS, DOCUMENTs, ARTIFACTS, and SPECIMENS FOR HISTORICAL PRESERVATION, INSTRUCTION, AND SCHOLARLY RESEARCH. FORM 990, SCHEDULE D, PART IV, LINE 2B The Institute IS THE TRUSTEE OF donor annuities and trust agreements and manages CERTAIN investment funds for others, such as related organizations. FORM 990, SCHEDULE D, PART V, LINE 4 The Institute's endowment functions to provide income to support the Institute's mission of scientific research and education. Form 990, Schedule D, Part VII, Line 3(A) Alternative Securities include, but are not limited to, substantial INVESTMENT holdings that are illiquid and/or contain various redemption restrictions. FORM 990, SCHEDULE D, PART X, LINE 2 THE INSTITUTE IS GENERALLY EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF INTERNAL REVENUE CODE ("IRC") SECTION 501(C)(3). THE INSTITUTE IS ALSO GENERALLY EXEMPT FROM PAYMENT OF CALIFORNIA STATE INCOME, GIFT, ESTATE, AND INHERITANCE TAXES. THE INSTITUTE HAS NO REPORTING REQUIREMENTS FOR UNCERTAIN TAX POSITIONS FOR THE YEARS ENDED SEPTEMBER 30, 2013 AND 2012. FORM 990, SCHEDULE D, PART XI, LINE 2D RECLASSify FINANCIAL AID NETTED WITH TUITION ($51,276,000) INVESTMENT EXPENSE ($5,753,000) TOTAL ($57,029,000) FORM 990, SCHEDULE D, PART XI, LINE 4B COST OF GOODS SOLD ($8,558,000) RECLASSification OF INTERNAL SALES $4,396,000 Total ($4,162,000) FORM 990, SCHEDULE D, PART XII, LINE 2D COST OF GOODS SOLD $8,558,000 FORM 990, SCHEDULE D, PART XII, LINE 4B RECLASSification of INTERNAL SALES $4,396,000 FINANCIAL AID EXPENSE $51,276,000 Total $55,672,000	Explanation

Schedule E IRS990ScheduleE

Field	Value	IRS element (for citing)
Nondiscriminatory Policy Stmt	true	NondiscriminatoryPolicyStmt
Policy Statement In Brochures Etc	true	PolicyStatementInBrochuresEtc
Policy Publ Via Broadcast Media	true	PolicyPublViaBroadcastMedia
Maint Racial Composition Records	true	MaintRacialCompositionRecords
Maint Scholarships Records	true	MaintScholarshipsRecords
Maint Copies Of Brochures Etc	true	MaintCopiesOfBrochuresEtc
Maint Copies Of All Solicitations	true	MaintCopiesOfAllSolicitations
Discriminate Race Students Rights	false	DiscriminateRaceStudentsRights
Discriminate Race Admiss Policies	false	DiscriminateRaceAdmissPolicies
Discriminate Race Emplmn Faculty	false	DiscriminateRaceEmplmnFaculty
Discriminate Race Scholarships	false	DiscriminateRaceScholarships
Discriminate Race Educ Policies	false	DiscriminateRaceEducPolicies
Discriminate Race Use Of Fclts	false	DiscriminateRaceUseOfFclts
Discriminate Race Athletic Prog	false	DiscriminateRaceAthleticProg
Discriminate Race Other Acty	false	DiscriminateRaceOtherActy
Government Financial Aid Received	true	GovernmentFinancialAidReceived
Government Financial Aid Revoked	false	GovernmentFinancialAidRevoked
Compliance With Rev Proc7550	true	ComplianceWithRevProc7550

Form990 Schedule E Part II Form990ScheduleEPartII

Field	Value	IRS element (for citing)
Identifier	SCHEDULE E, LINE 3	Identifier
Return Reference	THE INSTITUTE'S RACIALLY NONDISCRIMINATORY POLICY IS CONTAINED IN THE	ReturnReference
Explanation	MINUTES OF THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES OF FEBRUARY 1976. THE STATEMENT OF THIS POLICY OR REFERENCE THERETO APPEARS IN ALL OF THE INSTITUTE'S CATALOGS, BROCHURES, AND OTHER WRITTEN COMMUNICATIONS WITH THE PUBLIC DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS. THE INSTITUTE SATISFIED THE PUBLICATIONS REQUIREMENT BY VIRTUE OF ITS COMPLIANCE WITH SECTION 4.02 AS PROVIDED IN SECTION 4.03-2(B). SCHEDULE E, LINE 6A THE INSTITUTE RECEIVES GRANTS AND ENTERS INTO CONTRACTS WITH VARIOUS AGENCIES OF THE U.S. GOVERNMENT, THE STATE OF CALIFORNIA, AND LOCAL GOVERNMENT UNITS FOR RESEARCH, TRAINING, AND STUDENT AID.	Explanation

Schedule F IRS990ScheduleF

Accts Actvs Out US Table AcctsActvsOutUSTable (18 entries)

RegionRegion	Type Of Activities ConductedTypeOfActivitiesConducted	Specific Services ProvidedSpecificServicesProvided	Total ExpendituresTotalExpenditures	Number Of OfficesNumberOfOffices	Number Of EmployeesNumberOfEmployees
Antarctica	Program Services	SCIENTIFIC RESEARCH	12591
Central America and the Caribbean	Investments		524516951
Central America and the Caribbean	Program Services	SCIENTIFIC RESEARCH	99931
East Asia and the Pacific	Investments		3086852
East Asia and the Pacific	Program Services	SCI. RESEARCH & EDU	3086148
Europe (Including Iceland and Greenland)	Investments		106544556
Europe (Including Iceland and Greenland)	Program Services	SCI. RESEARCH & EDU	17107884	2	19
Middle East and North Africa	Investments		543526
Middle East and North Africa	Program Services	SCIENTIFIC RESEARCH	222833
North America	Investments		8389018
North America	Program Services	SCIENTIFIC RESEARCH	2470392
Russia and the Newly Independent States	Investments		4263645
Russia and the Newly Independent States	Program Services	SCIENTIFIC RESEARCH	56985
South America	Investments		42141916
South America	Program Services	SCIENTIFIC RESEARCH	633224
South Asia	Program Services	SCIENTIFIC RESEARCH	642039
Sub-Saharan Africa	Investments		1720344
Sub-Saharan Africa	Program Services	SCIENTIFIC RESEARCH	39753

Field	Value	IRS element (for citing)
Subtotal Number Of Offices	2	SubtotalNumberOfOffices
Subtotal Number Of Employees	19	SubtotalNumberOfEmployees
Total Number Of Offices	2	TotalNumberOfOffices
Total Number Of Employees	19	TotalNumberOfEmployees
Subtotal Amount Spent	715538835	SubtotalAmountSpent
Cont Amount Spent	39753	ContAmountSpent
Total Amount Spent	715578588	TotalAmountSpent

Grants To Ind Outside US GrantsToIndOutsideUS (2 entries)

Type Of AssistanceTypeOfAssistance	RegionRegion	Number Of RecipientsNumberOfRecipients	Amount Of Cash GrantAmountOfCashGrant	Manner Of Cash DisbursementMannerOfCashDisbursement
STUDY ABROAD	East Asia and the Pacific	1	20000	WIRE TRANS
STUDY ABROAD	Europe (Including Iceland and Greenland)	27	244000	WIRE TRANS

Field	Value	IRS element (for citing)
Transfer To Foreign Corp	true	TransferToForeignCorp
Interest In Foreign Trust	false	InterestInForeignTrust
Own Foreign Corp	true	OwnForeignCorp
Passive Foreign Invest Co	true	PassiveForeignInvestCo
Foreign Partnership	true	ForeignPartnership
Boycott Countries	true	BoycottCountries

Form990 Schedule F Part V Form990ScheduleFPartV

Field	Value	IRS element (for citing)
Identifier	Form 990, schedule f, Part I, LINES 1 AND 2	Identifier
Return Reference	RECORDS FOR THE INSTITUTE'S STUDY ABROAD PROGRAM ARE MAINTAINED BY THE	ReturnReference
Explanation	OFFICE OF FELLOWSHIPS ADVISING AND STUDY ABROAD. THIS OFFICE IS RESPONSIBLE FOR MONITORING THE USE OF FUNDS UNDER ESTABLISHED GUIDELINES. FORM 990, SCHEDULE F, PART I, LINE 3 THE ORGANIZATION IS ABLE TO IDENTIFY EXPENDITURES THROUGH ITS BOOKS AND RECORDS. EXPENDITURES FOR ALL PROGRAM SERVICES ARE MADE AT FAIR VALUE WITH THE OBJECTIVE OF OBTAINING THE BEST RATES AVAILABLE. THE INSTITUTE'S INVESTMENT OFFICE IS RESPONSIBLE FOR ALL FOREIGN AND DOMESTIC INVESTMENTS. ALL INVESTMENTS ARE MADE AT FAIR MARKET VALUE (FMV).	Explanation

Schedule I IRS990ScheduleI

Field	Value	IRS element (for citing)
Records Maintained	true	RecordsMaintained

Recipient Table RecipientTable (3 entries)

Address Line1AddressUS/AddressLine1	CityAddressUS/City	StateAddressUS/State	ZIP CodeAddressUS/ZIPCode	EIN Of RecipientEINOfRecipient	IRC SectionIRCSection	Amount Of Cash GrantAmountOfCashGrant	Purpose Of GrantPurposeOfGrant
CALTECH Y
1200 E CALIFORNIA BLVD	PASADENA	CA	91125	951684790	501(C)(3)	75000	ASSIST RELATED ORG.
TMT OBSERVATORY CORPORATION
1111 S ARROYO PKWY	PASADENA	CA	91105	200988966	501(c)(3)	7500000	Scientific Collab.
UNITED WAY GREATER LOS ANGELES
1150 S OLIVE ST SUITE T500	LOS ANGELES	CA	90015	952274801	501(C)(3)	44000	DESIGNATED ASSISTANCE

Field	Value	IRS element (for citing)
Total Nbr Of501 C3 And Govt Grants	3	TotalNbrOf501C3AndGovtGrants

Form990 Schedule I Part III Form990ScheduleIPartIII

Field	Value	IRS element (for citing)
Type Of Grant	STUDENT AID	TypeOfGrant
Number Of Recipients	1649	NumberOfRecipients
Amount Of Cash Grant	68731000	AmountOfCashGrant

Form990 Schedule I Part IV Form990ScheduleIPartIV

Field	Value	IRS element (for citing)
Identifier	form 990, schedule i, part i, line 2	Identifier
Explanation	THE INSTITUTE'S GRANTS AND ASSISTANCE WITHIN THE UNITED STATES CONSISTS PRIMARILY OF SCHOLARSHIPS AND FELLOWSHIPS AWARDED TO STUDENTS. STUDENTS ARE SELECTED FOR SCHOLARSHIPS AND FELLOWSHIPS BASED ON ACADEMIC ACHIEVEMENT, FINANCIAL NEED, AND SIMILAR STANDARDS. VARIOUS INSTITUTE OFFICES MONITOR ELIGIBILITY AND SATISFACTORY ACADEMIC PROGRESS BY GRANTEES. THE INSTITUTE MAKES AN ANNUAL $75,000 GRANT TO THE CALTECH Y. IN ADDITION, THE INSTITUTE ALLOWS THE CALTECH Y THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH Y IS A RELATED ORGANIZATION WHOSE MISSION IS TO SUPPORT THE STUDENTS OF CALTECH THROUGH VARIOUS ACTIVITIES. THE INSTITUTE ALLOWS THE CALTECH ALUMNI ASSOCIATION THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CALTECH ALUMNI ASSOCIATION IS A RELATED ORGANIZATION WHOSE MISSION IS TO PROVIDE EDUCATIONAL AND OTHER PROGRAMS FOR CALTECH ALUMNI AND STUDENTS. TMT DEVELOPMENT CORPORATION COLLABORATES WITH THE INSTITUTE ON THE THIRTY METER TELESCOPE PROJECT. THE INSTITUTE MAKES AN ANNUAL DONATION (DESIGNATED ASSISTANCE) TO THE UNITED WAY OF GREATER LOS ANGELES. THE INSTITUTE ALLOWS THE CHILDREN'S CENTER AT CALTECH THE USE OF FACILITIES ON CAMPUS FREE OF CHARGE. THE CHILDREN'S CENTER IS AN UNRELATED NONPROFIT ORGANIZATION WHOSE MISSION IS TO PROVIDE CHILD CARE SERVICES TO PARENTS THAT LIVE IN THE VICINITY OF CALTECH OR ARE EMPLOYED BY CALTECH. INSTITUTE OFFICES MONITOR THE GRANTEE'S PERFORMANCE ACCORDING TO THEIR RESPECTIVE PROGRAM SERVICES GOALS AND/OR PURSUANT TO OTHER AGREEMENTS. FORM 990, SCHEDULE I, PART III, COLUMN (C) CASH GRANTS REPRESENT CREDIT ON ACCOUNTS.	Explanation

Schedule J IRS990ScheduleJ

Field	Value	IRS element (for citing)
First Class Or Charter Travel	X	FirstClassOrCharterTravel
Travel For Companions	X	TravelForCompanions
Idemnification Gross Up Payments	X	IdemnificationGrossUpPayments
Housing Allowance Or Residence	X	HousingAllowanceOrResidence
Written Policy Re T And E Expenses	true	WrittenPolicyReTAndEExpenses
Substantiation Required	true	SubstantiationRequired
Compensation Committee	X	CompensationCommittee
Compensation Survey	X	CompensationSurvey
Board Or Committee Approval	X	BoardOrCommitteeApproval
Severance Payment	false	SeverancePayment
Supplemental Nonqual Retire Plan	true	SupplementalNonqualRetirePlan
Equity Based Comp Arrangement	false	EquityBasedCompArrangement
Comp Based On Revenue Of Filing Org	false	CompBasedOnRevenueOfFilingOrg
Comp Based On Revenue Related Orgs	false	CompBasedOnRevenueRelatedOrgs
Comp Based Net Earnings Filing Org	false	CompBasedNetEarningsFilingOrg
Comp Based Net Earnings Relate Orgs	false	CompBasedNetEarningsRelateOrgs
Any Non Fixed Payments	true	AnyNonFixedPayments
Initial Contract Exception	true	InitialContractException
Rebuttable Presumption Procedure	true	RebuttablePresumptionProcedure

Form990 Schedule J Part II Form990ScheduleJPartII (20 entries)

TitleTitle	Base Compensation Filing OrgBaseCompensationFilingOrg	Bonus Filing OrgBonusFilingOrg	Other Compensation Filing OrgOtherCompensationFilingOrg	Deferred Comp Filing OrgDeferredCompFilingOrg	Nontaxable Benefits Filing OrgNontaxableBenefitsFilingOrg	Total Compensation Filing OrgTotalCompensationFilingOrg	Comp Report Prior990 Filing OrgCompReportPrior990FilingOrg
JEAN-LOU A CHAMEAU
PRES/TRUSTEE (UNTIL 6/30/13)	872284	0	17900	38724	65441	994349	0
MATTHEW W BREWER
CONTROLLER	202694	7896	344	22074	16547	249555	0
DEAN CURRIE
VP FOR BUSINESS AND FINANCE	523232	0	5833	38724	22206	589995	0
PETER B DERVAN
PROF CHEM& FMR VP DEV&INST REL	313109	50000	622	38724	25922	428377	0
CHARLES ELACHI
VP & DIRECTOR, JET PROP LAB	482512	206400	17858	38724	13699	759193	0
MADELINE WAY LEE
Assistant Treasurer	136455	0	0	14023	21733	172211	0
JENNIFER THERESA LUM
DEPUTY GENERAL COUNSEL	216690	0	455	27242	35703	280090	0
SHARON E PATTERSON
Assoc. VP for fin. & treas.	298744	0	17795	28724	10671	355934	0
SCOTT H RICHLAND
Chief Investment Officer	368846	71923	23864	268724	27624	760981	71923
ANNEILA I SARGENT
vp for Student Affairs	311931	0	554	38724	21628	372837	0
EDWARD M STOLPER
INT PRES&PROVOST(SINCE 7/1/13)	501162	0	17862	38724	11358	569106	0
VICTORIA D STRATMAN
General Counsel	360114	0	21291	38724	20384	440513	0
MARY L WEBSTER
Secretary of board of trustees	203038	0	16022	33684	12073	264817	0
Firouz M Naderi
Director, Sol Sys Exploration	328879	8000	17597	38724	10061	403261	0
EUGENE L TATTINI
Deputy Dir, Jet Prop Lab	381723	78936	17181	38724	2955	519519	0
DAVID BALTIMORE
President Emeritus, Prof Bio	350184	0	40116	38724	24108	453132	0
BRIAN K LEE
VP for Dev & INSTIT. RELATIONS	353813	200000	87201	27377	13504	681895	0
JAKOB VAN ZYL
FAC ASSOC. & ASSOC DIR JPL	310080	4000	16500	37058	11309	378947	0
EDWARD STONE
PROF OF PHYSICS	305082	0	93811	38724	18952	456569	0
COLIN CAMERER
PROFESSOR OF BEHAVIORAL ECON	336842	0	17000	28724	6963	389529	0

Form990 Schedule J Part III Form990ScheduleJPartIII

Field	Value	IRS element (for citing)
Identifier	form 990, schedule j, part i, line 1a	Identifier
Return Reference	first class travel:	ReturnReference
Explanation	Pursuant to a written policy, first class or business class travel is permitted for certain employees under certain circumstances for business purposes. During fiscal year 2013, five officers, one key employee, and one highest compensated employee received first class or charter travel benefits. Travel for business purposes is not included in taxable wages. Companion Travel: Pursuant to the individual's employment agreement and a written policy, spouses of certain senior officers are permitted to travel with the officer for business purposes. During fiscal year 2013, one officer received companion first class or charter travel benefits. Spousal travel for business purposes is not included in taxable wages. Tax idemnification and gross up payments: During fiscal year 2013, one officer and one highest compensated employee received tax idemnification and gross up payments. Housing Allowance: Housing allowances are provided to certain officers and highest compensated employees as part of the Institute's Salary Supplement Housing Program, which is governed by a written policy. During fiscal year 2013, two officers and two highest compensated employees received housing allowance benefits. Payments under this program are included in taxable wages. The President occupies an Institute-owned residence on its campus as a condition of employment for the convenience of the Institute. The President's nontaxable benefits in Schedule J, Part I, Column (D) include $46,279 as an estimate of the value of the personal space occupied in that residence. RENTAL ALLOWANCE: RENTAL ALLOWANCES ARE PROVIDED TO CERTAIN OFFICERS AND HIGHEST COMPENSATED EMPLOYEES. THESE ALLOWANCES ARE GOVERNED BY INDIVIDUAL WRITTEN AGREEMENTS WITH THE RESPECTIVE EMPLOYEES. DURING FISCAL YEAR 2013, ONE OFFICER RECEIVED RENTAL ALLOWANCE BENEFITS THAT WERE GROSSED-UP FOR APPLICABLE TAXES AND INCLUDED IN TAXABLE WAGES. FORM 990, SCHEDULE J, PART I, LINE 4B TERMS AND CONDITIONS OF DEFERRED PERFORMANCE COMPENSATION PLAN FOR INVESTMENT PROFESSIONALS: IN 2011 THE INSTITUTE ESTABLISHED A PERFORMANCE COMPENSATION PLAN TO ASSIST WITH RECRUITMENT AND RETENTION FOR ITS INVESTMENT OFFICE. UNDER THE TERMS OF THE PLAN PARTICIPANTS ARE ELIGIBLE FOR CERTAIN AWARDS BASED ON THE PERFORMANCE OF THE INSTITUTE'S INVESTMENTS AS MEASURED BY CERTAIN QUANTITATIVE AND QUALITATIVE FACTORS. THE DEFERRED AMOUNTS ARE SUBJECT TO RISK OF FORFEITURE IF THE INDIVIDUAL IS NOT EMPLOYED BY THE INSTITUTE AS OF THE DATE ESTABLISHED FOR PAYMENT. During fiscal year 2013, one officer received such compensation. FORM 990, SCHEDULE J, PART I, LINES 8 AND 9 Brian K. Lee Vice President For Development and Institute Relations Mr. Lees Employment Contract Describes His Initial Compensation and Benefits. form 990, schedule j, part II, line 7 Certain individuals listed in Part I of Schedule J received bonuses in recognition of excellent job performance or as a negotiated payment at the beginning of an employment arrangement. Bonus recipients' names and amounts paid are shown in schedule J, part II, column (ii). SCOTT H. RICHLAND - CHIEF INVESTMENT OFFICER: THE INSTITUTE OFFERS INCENTIVE COMPENSATION TO CERTAIN INVESTMENT PROFESSIONALS BASED UPON THE INSTITUTE'S INVESTMENT PERFORMANCE. SEE RESPONSE TO QUESTION 4B ABOVE.	Explanation

Schedule K IRS990ScheduleK

Form990 Schedule K Part I Form990ScheduleKPartI (2 entries)

Bond ReferenceBondReferenceCd	Issuer EINIssuerEIN	CUSIP NumberCUSIPNumber	Date IssuedDateIssued	Issue PriceIssuePrice	Description Of PurposeDescriptionOfPurpose	DefeasedDefeased	On Behalf Of IssuerOnBehalfOfIssuer	Pool FinancingPoolFinancing
CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY
A	521705592	130178EZ5	2006-07-12	165000000	FIN VAR CAP PROJ,REFUND SER 2003	false	false	false
CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY
B	521705592	130178TE6	2009-07-28	80696800	CONST,ACQ,IMPROVE VAR CAP PROJ	false	false	false

Form990 Schedule K Part II Form990ScheduleKPartII (2 entries)

Bond ReferenceBondReferenceCd	Amount RetiredAmountRetired	Amount Bond DefeasedAmountBondDefeased	Total ProceedsTotalProceeds	Amount In Reserve FundAmountInReserveFund	Capitalized InterestCapitalizedInterest	Refunding EscrowRefundingEscrow	Issuance Costs From ProceedsIssuanceCostsFromProceeds	Credit EnhancementCreditEnhancement	Working Capital ExpendituresWorkingCapitalExpenditures	Capital ExpendituresCapitalExpenditures	Other Spent ProceedsOtherSpentProceeds	Amount UnspentAmountUnspent	Year Of Subst CompletionYearOfSubstCompletion	Current RefundingCurrentRefunding	Advance RefundingAdvanceRefunding	Final Allocation MadeFinalAllocationMade	Adequate Books And Recds MaintaindAdequateBooksAndRecdsMaintaind
A	0	0	184062305	0	0	0	1340471	0	0	93471834	89250000	0	2010	false	true	true	true
B	0	0	80796565	0	0	0	992698	0	0	79803867	0	0	2010	false	false	true	true

Form990 Schedule K Part III Form990ScheduleKPartIII (2 entries)

Bond ReferenceBondReferenceCd	Owning Bond Financed PropertyOwningBondFinancedProperty	Any Lease ArrangementsAnyLeaseArrangements	Mngment Cntrct Bond Financd PrprtyMngmentCntrctBondFinancdPrprty	Any Research AgreementsAnyResearchAgreements	Engage Bond Counsel ResearchEngageBondCounselResearch	Prcntge Prvt Business Use By OthersPrcntgePrvtBusinessUseByOthers	Percentage Of Prvt Business Re UBIPercentageOfPrvtBusinessReUBI	Total Private Business UseTotalPrivateBusinessUse	Bond Iss Meet Prvt Security Pay TestBondIssMeetPrvtSecurityPayTest	Change In Use Bond Financed PropChangeInUseBondFinancedProp	Remedial Action TakenRemedialActionTaken	Non Qualified Bond Remed ProcdrsNonQualifiedBondRemedProcdrs	Engage Bond Counsel ContractsEngageBondCounselContracts
A	false	true	false	true	true	0.01400	0.00400	0.01800	false	false	false	true
B	false	true	true	true	true	0			false	false	false	true	true

Form990 Schedule K Part IV Form990ScheduleKPartIV (2 entries)

Bond ReferenceBondReferenceCd	Form8038 T FiledForm8038TFiled	Rebate Not Due YetRebateNotDueYet	Exception To RebateExceptionToRebate	No Rebate DueNoRebateDue	Variable Rate IssueVariableRateIssue	Hedge Identified In Books And RecdsHedgeIdentifiedInBooksAndRecds	Term Of HedgeTermOfHedge	Superintegrated HedgeSuperintegratedHedge	Hedge TerminatedHedgeTerminated	Gross Proceeds Invested In GICGrossProceedsInvestedInGIC	Business Name Line1NameOfGICProvider/BusinessNameLine1	Term Of GICTermOfGIC	Regulatory Safe Harbor SatisfiedRegulatorySafeHarborSatisfied	Gross Proceeds InvestedGrossProceedsInvested	Written Proc To Monitor ReqsWrittenProcToMonitorReqs
THE BANK OF NEW YORK
A	false	false	true	true	true	true	30.3	false	false	true	CITIGROUP GLOBAL TRA	2.	true	false	true
0
B	false	false	true	true	false	false				false	0			false	true

Form990 Schedule K Part V Form990ScheduleKPartV (2 entries)

Bond ReferenceBondReferenceCd	Proc To Undertk Corrective ActionProcToUndertkCorrectiveAction
A	true
B	true

Form990 Schedule K Part VI Form990ScheduleKPartVI (2 entries)

IdentifierIdentifier	Return ReferenceReturnReference	ExplanationExplanation
COLUMN A:	0	DIFFERENCE BETWEEN AMOUNT IN PART I, (E) AND PART II, 3 IS DUE TO INTEREST EARNED ON INVESTED PROCEEDS. PART I, LINE A(F) - THE ISSUE DATE OF THE SERIES 2003 BONDS IS 01/15/2003. PART IV, LINE 2C - THE REBATE COMPUTATION WAS PERFORMED AS OF JULY 1, 2012.
COLUMN B:	0	VARIANCE BETWEEN AMOUNTS SHOWN IN PART I, (E) AND PART II, 3 IS DUE TO INTEREST EARNED ON INVESTED PROCEEDS. PART IV, LINE 2C - THE REBATE COMPUTATION WAS PERFORMED AS OF SEPTEMBER 30, 2011.

Schedule L IRS990ScheduleL

Loan Table LoanTable

Field	Value	IRS element (for citing)
Name Person	DEAN W CURRIE	NamePerson
Relationship With Organization	VP FOR BUS AND FIN	RelationshipWithOrganization
Purpose Of Loan	RELOCATION LOAN	PurposeOfLoan
Loan From Organization	X	LoanFromOrganization
Original Principal	$350,000	OriginalPrincipalAmount
Balance Due	350000	BalanceDue
Default	false	Default
Approved By Board	true	ApprovedByBoard
Written Agreement	true	WrittenAgreement

Field	Value	IRS element (for citing)
Total Balance Due	350000	TotalBalanceDue

Form990 Schedule L Part III Form990ScheduleLPartIII

Field	Value	IRS element (for citing)
Amount Of Grant	112155	AmountOfGrant
Type Of Assistance	SEE PART V	TypeOfAssistance
Purpose Of Assistance	SEE PART V	PurposeOfAssistance

Form990 Schedule L Part IV Form990ScheduleLPartIV (13 entries)

RelationshipRelationship	Amount Of TransactionAmountOfTransaction	Description Of TransactionDescriptionOfTransaction	Sharing Of RevenuesSharingOfRevenues
ROBERT BONNER
TRUSTEE	31697	FAMILY MEMBER EMPLOYED BY CIT	false
JEAN-LOU A CHAMEAU
PRESIDENT (UNTIL 6/30/13)	90666	FAMILY MEMBER EMPLOYED BY CIT	false
PETER DERVAN
FMR VP DEV AND INST REL	397835	FAMILY MEMBER EMPLOYED BY CIT	false
STEVEN ONDERDONK
TRUSTEE	213149	FAMILY MEMBERS EMPLOYED BY CIT	false
PEDRO J PIZARRO
TRUSTEE	111992	FAMILY MEMBER EMPLOYED BY CIT	false
EDWARD M STOLPER
PRO/INT PRES(SINCE7/1/13)	143857	FAMILY MEMBER EMPLOYED BY CIT	false
VICTORIA D STRATMAN
GENERAL COUNSEL	65959	FAMILY MEMBER EMPLOYED BY CIT	false
MARY L WEBSTER
SECRETARY	91006	FAMILY MEMBER EMPLOYED BY CIT	false
DR SHIRLEY M MALCOM
TRUSTEE	31089	FAMILY MEMBER EMPLOYED BY CIT	false
ORBITAL SCIENCES CORPORATION
SEE PART V	16789518	SEE PART V	false
GLENAIR INC
SEE PART V	315184	SEE PART V	false
DOW CHEMICAL CO
SEE PART V	2919134	SEE PART V	false
CANYON CAPITAL ADVISORS LLC
SEE PART V	4187758	SEE PART V	false

Form990 Schedule L Part V Form990ScheduleLPartV (2 entries)

IdentifierIdentifier	ExplanationExplanation	Return ReferenceReturnReference
PART III, LINE 1	FAMILY MEMBERS OF INTERESTED PERSONS RECEIVING GRADUATE FELLOWSHIPS WHILE ATTENDING CALTECH.
PART IV	Name of Person: ORBITAL SCIENCES CORPORATION ("ORBITAL") Relationship between Interested Person and Organization: DAVID W. THOMPSON, A TRUSTEE OF THE INSTITUTE IS ALSO CO-FOUNDER, CHAIRMAN, CEO AND PRESIDENT OF ORBITAL. Amount of Transaction: AGGREGATE $16,789,518 FOR THE YEAR ENDED SEPTEMBER 30, 2013. Description of Transaction: Orbital is a U.S. based company that specializes in the manufacturing and launch of satellites and is an industry leader in small and medium class space and rocket systems. In connection with certain space missions managed by the Institute for which NASA provides funding, the Institute has procured space hardware from Orbital in the normal course of business, at arm's length and in accordance with Institute procurement policies and procedures. Mr. Thompson did not participate in and was excluded from the Institute's deliberations and decisions with respect to these procurements. NAME OF PERSON: GLENAIR, INC. ("GLENAIR") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: PETER D. KAUFMAN, A TRUSTEE OF THE INSTITUTE, IS ALSO CHAIRMAN AND CHIEF EXECUTIVE OFFICER OF GLENAIR. AMOUNT OF TRANSACTION: AGGREGATE $315,184 FOR THE YEAR ENDED SEPTEMBER 30, 2013. DESCRIPTION OF TRANSACTION: GLENAIR IS A U.S. BASED COMPANY THAT SPECIALIZES IN THE MANUFACTURING OF ELECTRONIC COMPONENTS. THE INSTITUTE HAS PROCURED COMPONENTS FROM GLENAIR IN THE NORMAL COURSE OF BUSINESS, AT ARMS LENGTH AND IN ACCORDANCE WITH INSTITUTE PROCUREMENT POLICIES AND PROCEDURES. MR. KAUFMAN DID NOT PARTICIPATE IN AND WAS EXCLUDED FROM THE INSTITUTE'S DELIBERATIONS AND DECISIONS WITH RESPECT TO THESE PROCUREMENTS. NAME OF PERSON: DOW CHEMICAL CO. ("DOW") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: ANDREW N. LIVERIS, A TRUSTEE OF THE INSTITUTE, IS CHAIRMAN AND CHIEF EXECUTIVE OFFICER OF DOW. AMOUNT OF TRANSACTION: EXPENDITURES UNDER RESEARCH GRANTS OF $2,919,134 FOR THE YEAR ENDED SEPTEMBER 30, 2013. DESCRIPTION OF TRANSACTION: DOW IS A LEADING GLOBAL CHEMICAL COMPANY. DOW PROVIDES RESEARCH GRANTS TO THE INSTITUTE THAT MEET THE IRS DEFINITION OF BUSINESS TRANSACTIONS. THE GRANT AGREEMENTS PREDATE MR. LIVERIS' TENURE AS A TRUSTEE OF THE INSTITUTE. NAME OF PERSON: CANYON CAPITAL ADVISORS LLC ("CANYON") RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JOSHUA S. FRIEDMAN, A TRUSTEE OF THE INSTITUTE, IS ALSO A FOUNDING PARTNER, CO-CHAIRMAN AND CO-CEO OF CANYON. AMOUNT OF TRANSACTION: MANAGEMENT FEES AND EXPENSES OF $4,187,758. DESCRIPTION OF TRANSACTION: THE INSTITUTE IS AN INVESTOR IN A FUND MANAGED BY CANYON. THE INVESTMENT WAS MADE DURING THE INSTITUTE'S FISCAL 2012 AFTER AN INDEPENDENT COMMITTEE OF TRUSTEES CONSIDERED THE TRANSACTION IN ACCORDANCE WITH INSTITUTE POLICY AND DETERMINED THAT: THE TRANSACTION WAS FAIR AND REASONABLE AS TO THE INSTITUTE AND THE ECONOMIC BENEFIT PROVIDED BY THE INSTITUTE DID NOT EXCEED THE FAIR MARKET VALUE OF THE CONSIDERATION RECEIVED BY THE INSTITUTE; THE TRANSACTION WAS ENTERED INTO SOLELY FOR THE BENEFIT OF THE INSTITUTE; AND THE INSTITUTE COULD NOT HAVE OBTAINED A MORE ADVANTAGEOUS ARRANGEMENT WITH REASONABLE EFFORT UNDER THE CIRCUMSTANCES. THE TOTAL OF FEES AND EXPENSES PAID TO CANYON FROM THE INSTITUTE'S INVESTMENT IN THE CANYON STRUCTURED ASSETS FUND BETWEEN 10/1/2012 AND 9/30/2013 WAS $895,893. AS OF SEPTEMBER 30, 2013, A FURTHER $3,291,865 IN FEES AND EXPENSES WAS ACCRUED BY CANYON BUT UNPAID. AS OF SEPTEMBER 30, 2013, CANYON HAD TOTAL ASSETS UNDER MANAGEMENT OF APPROXIMATELY $24 BILLION.	BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS

Schedule M IRS990ScheduleM

Field	Value	IRS element (for citing)
Works Of Art		WorksOfArt
Art Historical Treasures		ArtHistoricalTreasures
Art Fractional Interest		ArtFractionalInterest
Books And Publications		BooksAndPublications

Clothing And Household Goods ClothingAndHouseholdGoods

Field	Value	IRS element (for citing)
Non Cash Checkbox	X	NonCashCheckbox
Noncash Contribs Rptd F990	75000	NoncashContribsRptdF990
Method Of Determining Revenues	INVENTORY&PLACE MARK	MethodOfDeterminingRevenues

Field	Value	IRS element (for citing)
Cars And Other Vehicles		CarsAndOtherVehicles
Boats And Planes		BoatsAndPlanes
Intellectual Property		IntellectualProperty

Securities Publicly Traded SecuritiesPubliclyTraded

Field	Value	IRS element (for citing)
Non Cash Checkbox	X	NonCashCheckbox
Number Of Contributions	57	NumberOfContributions
Noncash Contribs Rptd F990	3087000	NoncashContribsRptdF990
Method Of Determining Revenues	hi-lo avg	MethodOfDeterminingRevenues

Field	Value	IRS element (for citing)
Securities Closely Held Stock		SecuritiesCloselyHeldStock
Securities Prtnrshp Trust Intrsts		SecuritiesPrtnrshpTrustIntrsts
Securities Miscellaneous		SecuritiesMiscellaneous
Qualified Contrib Hist Struct		QualifiedContribHistStruct
Qualified Contrib Other		QualifiedContribOther

Real Estate Residential RealEstateResidential

Field	Value	IRS element (for citing)
Non Cash Checkbox	X	NonCashCheckbox
Number Of Contributions	2	NumberOfContributions
Noncash Contribs Rptd F990	1285000	NoncashContribsRptdF990
Method Of Determining Revenues	APPRAISAL	MethodOfDeterminingRevenues

Field	Value	IRS element (for citing)
Real Estate Commercial		RealEstateCommercial
Real Estate Other		RealEstateOther

Collectibles Collectibles

Field	Value	IRS element (for citing)
Non Cash Checkbox	X	NonCashCheckbox
Number Of Contributions	5	NumberOfContributions
Noncash Contribs Rptd F990	5000	NoncashContribsRptdF990
Method Of Determining Revenues	RETAIL & PLACE MARK	MethodOfDeterminingRevenues

Field	Value	IRS element (for citing)
Food Inventory		FoodInventory
Drugs And Medical Supplies		DrugsAndMedicalSupplies
Taxidermy		Taxidermy
Historical Artifacts		HistoricalArtifacts
Scientific Specimens		ScientificSpecimens
Archaeological Artifacts		ArchaeologicalArtifacts

Other Non Cash Contributions Table OtherNonCashContributionsTable (2 entries)

Non Cash CheckboxNonCashCheckbox	DescriptionDescription	Number Of ContributionsNumberOfContributions	Noncash Contribs Rptd F990NoncashContribsRptdF990	Method Of Determining RevenuesMethodOfDeterminingRevenues
X	EQUIPMENT	5	354000	INVENTORY&PLACE MARK
X	MISCELLANEOUS	2	1000	RETAIL&PLACE MARK

Field	Value	IRS element (for citing)
Any Property That Must Be Held	false	AnyPropertyThatMustBeHeld
Review Process Unusual NC Gifts	true	ReviewProcessUnusualNCGifts
Third Parties Used	true	ThirdPartiesUsed

Form990 Schedule M Part II Form990ScheduleMPartII

Field	Value	IRS element (for citing)
Identifier	FORM 990, SCHEDULE M, part i, column(B)	Identifier
Return Reference	amounts In this column reflect THE number of contributors.	ReturnReference
Explanation	FORM 990, SCHEDULE M, LINE 25 EQUIPMENT DONATED FOR RESEARCH AND INSTRUCTION. FORM 990, SCHEDULE M, LINE 26 MISCELLANEOUS EXPENSE: POSTAGE, TRAVEL, PRINTING, OTHER. FORM 990, SCHEDULE M, LINE 32A THE INSTITUTE MAY UTILIZE THIRD PARTY BROKERS TO SELL SECURITIES AND REAL ESTATE.	Explanation

Schedule O IRS990ScheduleO

General Explanation GeneralExplanation

Field	Value	IRS element (for citing)
Identifier	FORM 990, PARTS I AND III, LINE 1	Identifier
Return Reference	The mission of the California Institute of Technology ("The Institute" or	ReturnReference
Explanation	"CalTech") is to expand human knowledge and benefit society through research integrated with education. We investigate the most challenging, fundamental problems in science and technology in a singularly collegial, interdisciplinary atmosphere, while educating outstanding students to become creative members of society. FORM 990, PART I, LINE 6 THE NUMBER IDENTIFIED IS BASED ON A REASONABLE ESTIMATE. form 990, part iii, line 4d AUXILIARY ENTERPRISES (EXPENSES $24,897,000) (REVENUE $13,657,000) AUXILIARY ENTERPRISES IN SUPPORT OF INSTITUTE'S MISSION CALTECH Y ALLOCATION (GRANTS $75,000) CASH ALLOCATION TO RELATED ORGANIZATION SUPPORTING INSTITUTE'S MISSION UNITED WAY GREATER LOS ANGELES ALLOCATION (GRANTS $44,000) CASH ALLOCATION TO MATCH EMPLOYEE CONTRIBUTIONS TO UNITED WAY FORM 990, PART IV, LINE 6 THE INSTITUTE HAS NO SEPARATE FUNDS OR ACCOUNTS WHERE DONORS HAVE THE RIGHT EITHER TO PROVIDE ADVICE ON THE INVESTMENT OF AMOUNTS IN THE FUNDS OR TO PROVIDE ADVICE ON DISTRIBUTION OF SUCH FUNDS OUTSIDE THE INSTITUTE. FORM 990, Part VI, Line 2 Trustees Robert B. Chess and Dr. William H. Davidow - Business Relationship Trustees Dr. Thomas E. Everhart and Peter Norton - Business Relationship TRUSTEES JOSHUA S. FRIEDMAN AND B. KIPLING HAGOPIAN - BUSINESS RELATIONSHIP Trustees James F. Rothenberg and Dr. Richmond A. Wolf - Business Relationship TRUSTEES DONALD W. TANG AND Dr. DAVID L. LEE - BUSINESS RELATIONSHIP TRUSTEES DR. MILTON M. CHANG AND Dr. DAVID L. LEE - BUSINESS RELATIONSHIP TRUSTEES DR. PEGGY T. CHERNG AND Dr. DAVID L. LEE - BUSINESS RELATIONSHIP TRUSTEES DR. RICHARD MERKIN, MD AND Dr. DAVID L. LEE - BUSINESS RELATIONSHIP FORM 990, PART VI, LINE 11a The Institute prepares Form 990 with the assistance of a paid preparer. A draft of the Form 990 is presented to the Audit and Compliance Committee for review and comment. A final copy of Form 990 is provided to each member of the Board of Trustees prior to filing with the IRS. An officer of the institute and its paid preparer, respectively, sign the final form 990. FORM 990, PART VI, LINE 12c Each trustee and officer is required to complete annually a conflict of interest questionnaire disclosing potential or actual conflicts. Key employees are required to disclose in writing potential and actual conflicts on an ongoing basis throughout the year. All conflicts are resolved in accordance with the Institute's written conflict of interest policies. FORM 990, PART VI, LINE 15a, 15b The Executive Compensation Committee of the Board of Trustees NORMALLY reviews on an annual basis the compensation of officers and certain employees including key employees of the Institute. The Executive Compensation Committee reviews comparability data from relevant surveys. The deliberations are contemporaneously documented in the committee's minutes. FORM 990, PART VI, LINE 19 The Institute's governing documents, financial statements and conflict of interest policy are available upon request. FORM 990, PART VII, COLUMN B THE INSTITUTE HAS ESTIMATED THAT TRUSTEES DEVOTE, ON AVERAGE, AT LEAST ONE HOUR OF TIME PER WEEK. CERTAIN BOARD MEMBERS' TIME DEVOTED TO INSTITUTE BUSINESS MAY SUBSTANTIALLY EXCEED THIS ESTIMATE ON A REGULAR BASIS. FORM 990, PART X, LINE 11 Investments- publicly traded securities include, but are not limited to, investments held directly or in funds and managed accounts for which the underlying securities are primarily publicly traded, although certain restrictions on the liquidity of some of these holdings may exist. Form 990, Part XI, Line 9 Other Changes in Net Assets or Fund Balances Changes in Postemployment Benefit Obligations $41,284,000 LOSS ON DISPOSAL OF PROPERTY ($1,758,000) TOTAL $39,526,000	Explanation

Schedule R IRS990ScheduleR

Form990 Schedule R Part I Form990ScheduleRPartI (2 entries)

Address Line1AddressUS/AddressLine1	CityAddressUS/City	StateAddressUS/State	ZIP CodeAddressUS/ZIPCode	EINEIN	Primary ActivitiesPrimaryActivities	Legal Domicile StateLegalDomicileState	Total IncomeTotalIncome	EOY AssetsEOYAssets	Business Name Line1DirectControllingEntityName/BusinessNameLine1
CIT MICROPROBE HOLDINGS LLC
1200 E CALIFORNIA BLVD	PASADENA	CA	91125	205217981	HOLDING CO.	NV	-102000	1518000	CIT
WILSON AVENUE INVESTMENTS LLC
515 SOUTH FIGUEROA ST 9TH FLOOR	LOS ANGELES	CA	90017	461712999	HOLDING CO.	DE	0	0	CIT

Form990 Schedule R Part II Form990ScheduleRPartII (4 entries)

Address Line1AddressUS/AddressLine1	CityAddressUS/City	StateAddressUS/State	ZIP CodeAddressUS/ZIPCode	EINEIN	Primary ActivitiesPrimaryActivities	Legal Domicile StateLegalDomicileState	Exempt Code SectionExemptCodeSection	Public Charity StatusPublicCharityStatus	Business Name Line1DirectControllingEntityName/BusinessNameLine1	Controlled OrgControlledOrg
CALTECH Y
1201 E CALIFORNIA BLVD	PASADENA	CA	91125	951684790	recreation	CA	501(C)(3)	11,3,fi	NA	false
ALUMNI ASSOCIATION OF CALTECH
345 S HILL AVE	PASADENA	CA	91125	956047395	alumni	CA	501(C)(3)	11,type 1	NA	false
TOM AND VALLEY KNUDSEN FDN
C/O CALTECH GIFT PLANNING	PASADENA	CA	91125	956031188	support org	CA	501(C)(3)	11,type 1	NA	false
CAHILL CALTECH CHARITABLE TRUST
16830 VENTURA BLVD STE 500	ENCINO	CA	91436	576198664	SUPPORT ORG	CA	501(C)(3)	11,3,other	NA	false

Form990 Schedule R Part IV Form990ScheduleRPartIV (2 entries)

Primary ActivityPrimaryActivity	Legal Domicile StateLegalDomicileState	Business Name Line1DirectControllingEntityName/BusinessNameLine1	Type Of EntityTypeOfEntity	Controlled OrgControlledOrg
CRAT (6)
CHARITABLE TR	CA	CALTECH	TRUST	false
CRUT (116)
CHARITABLE TR	CA	CALTECH	TRUST	false

Field	Value	IRS element (for citing)
Receipt Of Int Ann Rents Royalties	false	ReceiptOfIntAnnRentsRoyalties
Gift Grant Or Cap Contr To Other Org	true	GiftGrantOrCapContrToOtherOrg
Gift Grant Or Cap Contr Fr Other Org	true	GiftGrantOrCapContrFrOtherOrg
Loans Or Guarantees To Other Org	false	LoansOrGuaranteesToOtherOrg
Loans Or Guarantees From Other Org	false	LoansOrGuaranteesFromOtherOrg
Dividends Related Organization	false	DividendsRelatedOrganization
Sale Of Assets To Other Org	false	SaleOfAssetsToOtherOrg
Purchase Of Assets From Other Org	false	PurchaseOfAssetsFromOtherOrg
Exchange Of Assets	false	ExchangeOfAssets
Rental Of Facilities To Other Orgs	true	RentalOfFacilitiesToOtherOrgs
Rental Of Facilities Fr Other Orgs	false	RentalOfFacilitiesFrOtherOrgs
Perform Of Services For Other Orgs	false	PerformOfServicesForOtherOrgs
Perform Of Services By Other Orgs	false	PerformOfServicesByOtherOrgs
Sharing Of Facilities	true	SharingOfFacilities
Sharing Of Paid Employees	true	SharingOfPaidEmployees
Reimbursement Paid To Other Org	false	ReimbursementPaidToOtherOrg
Reimbursement Paid By Other Org	false	ReimbursementPaidByOtherOrg
Other Transfer To Other Org	false	OtherTransferToOtherOrg
Other Transfer From Other Org	false	OtherTransferFromOtherOrg