2014-02-15T08:36:11-06:00 2013-06-30 273858252 DEAN DORTON ALLEN FORD PLLC 106 W VINE STREET SUITE 600 LEXINGTON KY 40507 990 2012-07-01 610444788 UNIVERSITY OF PIKEVILLE FKA PIKEVILLE COLLEGE INC UNIV 6062185250 147 SYCAMORE STREET PIKEVILLE KY 41501 PAUL E PATTON 6062185250 2014-02-12 1 LEIGH MCKEE P00169845 8592552341 2012 2015-11-30 17:44:51Z PAUL E PATTON 147 SYCAMORE STREET PIKEVILLE KY 41501 46748270 0 X WWW.UPIKE.EDU X 1889 KY UNDERGRADUATE AND OSTEOPATHIC MEDICAL EDUCATION OF STUDENTS PRIMARILY FROM APPALACHIA. 39 38 733 40 0 0 3063750 4640895 34418279 39756354 688005 823494 1517409 1527527 39687443 46748270 8979226 10195091 0 0 15321401 16972853 0 0 509489 14152797 19690541 38453424 46858485 1234019 -110215 81172816 83692435 40505999 42829851 40666817 40862584 X LOCATED IN THE HEART OF CENTRAL APPALACHIA, THE UNIVERSITY OF PIKEVILLE WAS FOUNDED BY MISSIONARIES IN 1889 TO EDUCATE THE "YOUTH OF THE MOUNTAINS."WITH CONSECUTIVE RECORD ENROLLMENTS, THE UNIVERSITY, OR UPIKE, IS ONE OF THE FASTEST GROWING FOUR-YEAR INSTITUTIONS IN THE SOUTH. THE COLLEGE OF ARTS AND SCIENCES, THE COLEMAN COLLEGE OF BUSINESS AND THE KENTUCKY COLLEGE OF OSTEOPATHIC MEDICINE PROVIDE EDUCATIONAL OPPORTUNITIES TO MORE THAN 2,000 STUDENTS FROM 41 STATES AND 17 COUNTRIES. FORTY-SIX PERCENT OF OUR UNDERGRADUATE STUDENTS ARE THE FIRST IN THEIR FAMILIES TO ATTEND COLLEGE. ALMOST ALL RECEIVE SOME FORM OF FINANCIAL AID.OUR 125-YEAR HISTORY IS BUILT ON FAITH, A COMMITMENT TO STUDENT LEARNING AND SERVICE TO THE REGION. WE ARE AN OPPORTUNITY SCHOOL, PROVIDING A QUALITY, AFFORDABLE EDUCATION, MENTORING AND SUPPORT TO A DIVERS COMMUNITY OF LEARNERS. AS A CAMPUS FAMILY, OUR MISSION HAS A SPECIAL SIGNIFICANCE. WE BELIEVE IN IT. WE LIVE IT. 0 0 22229940 10195091 34519405 INSTRUCTIONAL - INCLUDES ALL ACTIVITIES THAT ARE PART OF THE INSTITUTION'S PRIMARY MISSION.SINCE OUR FOUNDING, MORE THAN 13,000 UPIKE ALUMNI HAVE GONE ON TO BECOME LEADERS IN BUSINESS, EDUCATION, LAW, NURSING AND MANY OTHER FIELDS, INCLUDING MEDICINE.THE UNIVERSITY OF PIKEVILLE OFFERS AN OUTSTANDING LIBERAL-ARTS BASED EDUCATION WITH 26 BACHELOR DEGREE PROGRAMS, NINE PRE-PROFESSIONAL PROGRAMS AND THREE GRADUATE PROGRAMS, INCLUDING A MASTER OF BUSINESS ADMINISTRATION, A MASTER'S DEGREE IN SPORT MANAGEMENT AND A DOCTOR OF OSTEOPATHIC MEDICINE DEGREE (D.O.). STUDY ABROAD, EXPERIENTIAL AND SERVICE LEARNING AND ATHLETIC OPPORTUNITIES ARE CENTRAL TO THE UPIKE EXPERIENCE AND STUDENT SUCCESS.FROM OUR FACLUTLY AND STAFF - WHO ARE THE HEART OF THE INSTITUTION - TO OUR BOARD OF TRUSTEES, ALUMNI AND FRIENDS, WE STAND TOGETHER IN CHARTING THE COURSE AS THE LEADING UNIVERSITY OF CENTRAL APPALACHIA. 4278693 5022219 AUXILARY ENTERPRISES - FOOD SERVICE, STUDENT, BOOKSTORE, AND PUBLIC SERVICE. 8727568 1727464 STUDENT SERVICES AND ACADEMIC SUPPORT - INCLUDES FUNDS FOR OFFICES OF ADMISSIONS AND REGISTRAR WHOSE PRIMARY PURPOSE IS TO CONTRIBUTE TO THE STUDENT ENROLLMENT AND CLASS SCHEDULES. STUDENT SERVICES CONTRIBUTE TO THE EMOTIONAL AND PHYSICAL WELL-BEING OF THE STUDENTS. 35236201 1 1 0 0 0 0 0 0 0 1 1 0 0 1 1 1 0 1 1 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 1 71 0 1 733 1 0 0 0 0 0 0 0 0 0 0 X 39 38 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 KY X THE ORGANIZATION 6062185250 147 SYCAMORE STREET PIKEVILLE KY 41501 TERRY DOTSON 10.00 X 0 0 0 WILLIAM J BAIRD III 2.00 X 0 0 0 DANIEL P STRATTON 2.00 X 0 0 0 JAMES H BOOTH 2.00 X 0 0 0 CLAYTON CLINE 2.00 X 0 0 0 BALLARD W CASSADY JR 2.00 X 0 0 0 JAMIE S BOWLING 2.00 X 0 0 0 SARA WALTER COMBS 2.00 X 0 0 0 LINDA SCOTT DEROSIER 2.00 X 0 0 0 RACHEL A BREEDING 2.00 X 0 0 0 JOHN DUVALL ELLIOTT 2.00 X 0 0 0 DONALD F CECIL 2.00 X 0 0 0 HE MIKE GARDNER JR 2.00 X 0 0 0 GREGORY V HAZELETT DO 2.00 X 0 0 0 RYAN C JOHNS 2.00 X 0 0 0 ROBERT SCOTT MADDEN 2.00 X 0 0 0 WILLIAM P MALONE 2.00 X 0 0 0 TIMOTHY B MATTHEWS 2.00 X 0 0 0 ROY PALK 2.00 X 0 0 0 REED D POTTER JR 2.00 X 0 0 0 WILLIAM N RAMSEY JR 2.00 X 0 0 0 ROBERT B SPARKS 2.00 X 0 0 0 RICHARD A STURGILL 2.00 X 0 0 0 JEAN R HALE 2.00 X 0 0 0 GEORGE THOMAS DO 2.00 X 0 0 0 MICHAEL THORNSBURY 2.00 X 0 0 0 JOHN M TRIPLETT DO 2.00 X 0 0 0 RONNIE R HAMPTON 2.00 X 0 0 0 BOB HUTCHISON 2.00 X 0 0 0 BILL A WEBB DO 2.00 X 0 0 0 JED WEINBERG 2.00 X 0 0 0 JODY JOHNSON DO 2.00 X 0 0 0 SHANNON WRIGHT 2.00 X 0 0 0 M LYNN PARRISH 2.00 X 0 0 0 DANNY VANHOOSE 2.00 X 0 0 0 GREG WELLS 2.00 X 0 0 0 GREGORY WILSON 2.00 X 0 0 0 E BRUCE WALTERS II 2.00 X 0 0 0 PAUL E PATTON 40.00 X X 227250 0 8756 ERIC BECHER 40.00 X 97992 0 10284 BOYD R BUSER 40.00 X 314401 0 26491 RONALD D DAMRON 40.00 X 98403 0 10895 DOUGLAS LANGE 40.00 X 107424 0 11454 THOMAS R HESS 40.00 X 103494 0 11343 JAMES L HURLEY 40.00 X 87078 0 14971 RANDY LITMAN 40.00 X 209534 0 16756 EDWARD STILES 40.00 X 182664 0 21517 LAURA GRIFFIN 40.00 X 195842 0 13454 PETER ZAJAC 40.00 X 183133 0 16694 WILLIAM BETZ 40.00 X 240297 0 25388 2047512 0 188003 19 0 1 0 CODELL CONTRUCTION COMPANY PO BOX 17 WINCHESTER KY 40392 CONSTRUCTION 9602273 ARAMARK MANAGEMENT SERVICES PO BOX 198532 ATLANTA GA 30384 FACILITIES MANAGEMENT 2640110 PREMIUM CONTRACTING 369 INDUSTRIAL DRIVE PIKEVILLE KY 41501 CONTRACTOR 829235 LSM CONTRACTING 417 E MOUNTAIN PKWY SALYERSVILLE KY 41465 CONTRACTOR 716553 ELLUCIAN 4375 FAIR LAKES CT FAIRFAX VA 22033 TECHNOLOGY SOLUTIONS 251776 12 1409991 3230904 132000 4640895 TUITION & FEES 611310 34519405 34519405 AUXILARY SERVICES 611310 5022219 5022219 FINES & OTHER CHARGES 611310 169367 169367 SALES & SERVICE 611310 45363 45363 39756354 823494 823494 14793 0 14793 14793 14793 MISCELLANEOUS 611310 1512734 1512734 1512734 46748270 41269088 0 838287 10195091 10195091 1066221 1066221 13072269 11600787 1229299 242183 621265 563449 44348 13468 1264217 690577 566446 7194 948881 779926 151671 17284 255271 225 255046 89352 89352 50754 50754 374196 335653 20543 18000 150994 25692 115153 10149 206368 82573 75003 48792 1935975 1566547 364382 5046 1079298 913913 76287 89098 1662179 1662179 1398598 1317706 74722 6170 619619 298436 321183 CONTRACTED SERVICES 2361039 2285787 51643 23609 LEASE EXPENSE 2052757 206906 1845851 MATERIALS & SUPPLIES 1941066 1824700 110592 5774 DEBT COLLECTION 1939177 1939177 3573898 2548233 1002943 22722 46858485 35236201 11112795 509489 1187303 1569460 4468627 2982277 1333164 1361253 27505562 27505562 23274 427868 45198403 21484414 23168483 23713989 12015735 18244442 456142 382098 11014526 7505486 81172816 83692435 2963291 4377324 837500 774019 31092176 33012599 3245228 2147908 2367804 2518001 40505999 42829851 X 19230767 21019698 10691803 8815941 10744247 11026945 40666817 40862584 81172816 83692435 X -110215 216468 89514 X X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 17624352 393972 1130165 716977 50754 18380758 17955987 1182961 -85230 1375871 53495 17624352 15493646 6103465 1660054 5271233 29945 17955987 14175981 3212668 1105166 2990631 9538 15493646 17645520 2369314 -1266798 4541469 30586 14175981 0.05640 0.59670 0.34690 1 0 1230926 1230926 38448018 18787367 19660651 3876561 1894256 1982305 1642898 802791 840107 23713989 BOND ISSUANCE COSTS 90363 ASSETS HELD IN TRUSTS BY OTHERS 7415123 7505486 ANNUITY LIABILITIES 18001 SHORT TERM NOTES PAYABLE 2500000 2518001 X DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE ENDOWMENT IS A POOL OF ASSETS THAT, AS DIRECTED BY RESTRICTIONS OF DONORS (PERMANENT ENDOWMENT) OR DECISIONS OF THE BOARD OF TRUSTEES (QUASI ENDOWMENT), IS TO BE HELD IN PERPETUITY FOR THE BENEFIT OF THE UNIVERSITY AND ITS ONGOING PROGRAMS. A KEY PART OF THE UNIVERSITY'S LONG-TERM FINANCIAL STRATEGY IS TO DEVELOP AND MAINTAIN A COMPETITIVE ADVANTAGE IN ITS CAPITAL BASE, IN PARTICULAR THE ENDOWMENT. THE BOARD STRIVES TO MEET THE CURRENT FINANCIAL NEEDS OF THE UNIVERSITY AND TO SUPPORT CURRENT OPERATIONS WITH THE LONG TERM GOAL OF DEVELOPING AND MAINTAINING A STRATEGIC ADVANTAGE COMPARED TO INSTITUTIONS WITH WHICH THE UNIVERSITY COMPETES FOR STUDENTS AND FACULTY. IN PARTICULAR, THE CONTINUED GROWTH OF THE ENDOWMENT IS THE UNIVERSITY'S STRONGEST COMPETITIVE ADVANTAGE TO FUND SCHOLARSHIPS AND FINANCIAL AID ESSENTIAL TO ATTRACT THE MOST TALENTED PROSPECTIVE STUDENTS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE UNIVERSITY IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE, EXCEPT FOR ANY UNRELATED BUSINESS INCOME ACTIVITIES. NO PROVISION FOR INCOME TAXES HAS BEEN MADE. GAAP REQUIRES THE UNIVERSITY TO EVALUATE ITS TAX POSITIONS AND RECOGNIZE A TAX LIABILITY (OR ASSET) IF IT HAS TAKEN AN UNCERTAIN POSITION IN ANY OPEN TAX YEAR THAT MORE LIKELY THAN NOT WOULD NOT BE SUSTAINED UPON EXAMINATION BY THE INTERNAL REVENUE SERVICE. THE UNIVERSITY HAS EVALUATED ITS TAX POSITIONS AND HAS CONCLUDED THAT THERE ARE NO UNCERTAIN POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OF A LIABILITY (OR ASSET) OR DISCLOSURE IN THE FINANCIAL STATEMENTS. THE UNIVERSITY IS SUBJECT TO ROUTINE AUDITS BY TAXING JURISDICTIONS; HOWEVER, THERE ARE CURRENTLY NO AUDITS FOR ANY TAX PERIODS IN PROGRESS. THE UNIVERSITY BELIEVES IT IS GENERALLY NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS FOR YEARS PRIOR TO 2010. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 EXPLANATION OF NONDISCRIMINATORY POLICY PUBLICATION SCHEDULE E, PART I, LINE 3 THE NONDISCRIMINATORY POLICY IS PRINTED IN THE UNIVERSITY HANDBOOK. EVERY STUDENT RECEIVES A COPY DURING REGISTRATION. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE UNIVERSITY RECEIVES NO DIRECT ASSISTANCE OR FINANCIAL AID FROM THE GOVERNMENT, HOWEVER THE UNIVERSITY DOES ACT AS A FIDUCIARY BETWEEN GOVERNMENT AGENCIES AND THE STUDENTS IT SERVES. ALL FINANCIAL AID RECEIVED BY THE UNIVERSITY IS ON BEHALF OF INDIVIDUAL STUDENTS. 1 INSTITUTIONAL SCHOLARSHIPS 1314 10195091 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: UNIVERSITY OF PIKEVILLE MONITORS THE USE OF GRANT FUNDS BY ENTERING EACH STUDENT AND THEIR INSTITUTIONAL SCHOLARSHIP ON THE UNIVERSITY'S ACCOUNTING SOFTWARE, DATATEL. SCHOLARSHIPS ARE GRANTED BASED ON CRITERIA SET FORTH BY THE UNIVERSITY ADMINISTRATION AND FINANCIAL AID OFFICE. X X X 0 0 0 0 0 0 0 0 0 PAUL E PATTON 227250 0 0 0 0 0 8470 0 286 0 236006 0 0 0 BOYD R BUSER 314401 0 0 0 0 0 17500 0 8991 0 340892 0 0 0 RANDY LITMAN 209534 0 0 0 0 0 12809 0 3947 0 226290 0 0 0 EDWARD STILES 182664 0 0 0 0 0 13376 0 8141 0 204181 0 0 0 LAURA GRIFFIN 195842 0 0 0 0 0 8007 0 5447 0 209296 0 0 0 PETER ZAJAC 183133 0 0 0 0 0 13059 0 3635 0 199827 0 0 0 WILLIAM BETZ 240297 0 0 0 0 0 17421 0 7967 0 265685 0 0 0 A CITY OF PIKEVILLE 721342AB9 2011-04-01 26985215 PIKEVILLE COLLEGE OF OSTEOPATHIC MEDICINE PROJECT 0 0 0 A 26985215 2014000 281167 24690048 2013 0 0 1 1 A 1 0 0 0 0.00000 0.00000 0.00000 1 0 1 A 0 0 0 0 0 0 0 0 0 X 2 17000 FMV X 1 115000 FMV 0 0 1 0 FORM 990, PART VI, SECTION B, LINE 11 ONCE COMPLETED, THE FORM 990 IS REVIEWED BY THE BUSINESS AFFARIS COMMITTEE WHICH THEN RECOMMENDS APPROVAL BY THE FULL BOARD. IF APPROVAL IS REQUIRED BETWEEN REGULARLY SCHEDULED BOARD MEETINGS, THE FORM 990 IS PROVIDED ELECTRONICALLY TO ALL MEMBERS WHO THEN ACKNOWLEDGE ACCEPTANCE BY RETURN EMAIL. FORM 990, PART VI, SECTION B, LINE 12C PRIOR TO CONSUMMATING A TRANSACTION OR ACTING UPON A MATTER INVOLVING THE POSSIBLE EXISTENCE OF A DUALITY OR CONFLICT OF INTEREST, THE INDIVIDUAL INVOLVED SHALL MAKE A FULL DISCLOSURE OF ALL RELEVANT FACTS. IN THE CASE OF THE PRESIDENT OF THE UNIVERSITY, SUCH DISCLOSURE WILL BE MADE TO THE CHAIRMAN OF THE BOARD OF TRUSTEES. DISCLOSURE SHALL BE MADE TO THE HUMAN RESOURCES DEPARTMENT BY OTHER EMPLOYEES WITH EXECUTIVE OR ADMINISTRATIVE RESPONSIBILITIES. IN ADDITION, SUCH INDIVIDUALS SHALL PERIODICALLY REPORT IN A SIMILAR MANNER ALL AFFILIATIONS, WHETHER AS AN OWNER, DIRECTOR, OFFICER, PARTNER, MANAGEMENT EMPLOYEE, CONSULTANT OR OTHER SIGNIFICANT RELATIONSHIP INVOLVING OWNERSHIP OR GOVERNANCE, WITH ANY OTHER FOR-PROFIT OR NON-PROFIT ENTITY, (I) FROM WHICH THE UNIVERSITY OBTAINS OR MAY BE EXPECTED TO OBTAIN GOODS OR SERVICES; (II) TO WHICH THE UNIVERSITY PROVIDES OR MAY BE EXPECTED TO PROVIDE GOODS OR SERVICES; OR (III) WHICH COMPETES OR MAY BE EXPECTED TO COMPETE IN ANY RESPECT WITH THE UNIVERSITY. ANY SUCH EXISTING OR POTENTIAL RELATIONSHIP WITH A SUBSIDIARY, JOINT VENTURE OR THE LIKE SHOULD BE DISCLOSED AS WELL. THE TERM "GOODS OR SERVICES" INCLUDES COMMERCIAL, INDUSTRIAL, BANKING AND PROFESSIONAL SERVICES OR GOODS. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES REVIEWS THE PERFORMANCE OF THE PRESIDENT ANNUALLY AND RECOMMENDS ANY CHANGES IN HIS COMPENSATION. TYPICALLY THEY REVIEW EXECUTIVE COMPENSATION STUDIES FROM SOURCES LIKE THE KENTUCKY COUNCIL ON POST-SECONDARY EDUCATION (CPE), CUPA-HR AND YAFFE. THE BOARDS ACTS ON THE RECOMMENDATIONS OF THE EXECUTIVE COMMITTEE BY RESOLUTION. KEY EMPLOYEES COMPENSATION IS SET UPON REVIEW OF SIMILAR STUDIES AND APPROVED BY THE BOARD AS A PART OF THE PRESIDENT'S RECOMMENDED ANNUAL BUDGET. IN ADDITION TO THE ABOVE MENTIONED STUDIES, THE COLLEGE OF OSTEOPATHIC MEDICINE REVIEWS SPECIFIC SALARY STUDIES RELATED TO MEDICAL EDUCATION IN SETTING PROFESSIONAL COMPENSATION. THESE COMPENSATION LEVELS ARE ALSO APPROVED BY THE BOARD IN APPROVING THE ANNUAL BUDGET. FORM 990, PART VI, SECTION C, LINE 18 UNIVERSITY OF PIKEVILLE IS A PRIVATE INSTITUTION, AND AS SUCH, THE FINANCIAL STATEMENTS, GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE ONLY MADE AVAILABLE TO UNIVERSITY PERSONEL. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S FORM 1023 AND 990 ARE AVAILABLE UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: ANNUITY LIABLITY ADJUSTMENT -688. CHANGE IN INTEREST IN ASSETS HELD BY OTHERS 90,202. FORM 990, PART XI, LINE 2C: PROCESS FOR THE SELECTION AND OVERSIGHT OF INDEPENDENT AUDITORS HAS NOT CHANGED FROM THE PRIOR YEAR. THE BOOTH FUND TO IMPROVE EDUCATIONAL OPPORTUNITIES INC 147 SYCAMORE STREET PIKEVILLE KY 41051 300055124 FINANCIAL AID ASSISTANCE KY 501(C)(3) LINE 11A, I UNIVERSITY OF PIKEVILLE 1 PCSOM REAL ESTATE LLC 147 SYCAMORE STREET PIKEVILLE KY 41051 CONSTRUCT AND OWN AN EDUCATIONAL BUILDING KY UNIVERSITY OF PIKEVILLE RELATED -643694 37682781 0 1 0.90000 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 PCSOM REAL ESTATE LLC K 1650000 FMV