2014-03-17T13:03:46-05:00 2013-06-30 731413977 HOGANTAYLOR LLP 2222 S UTICA PL SUITE 200 TULSA OK 741147002 990 2012-07-01 716056774 UNIVERSITY OF ARKANSAS FOUNDATION INC UNIV 4795755581 535 RESEARCH CENTER BOULEVARD NO 120 FAYETTEVILLE AR 72701 DIANNA LEE 4795755581 2014-03-06 1 TONY UTH P00446737 9187452333 2012 2015-11-30 17:44:51Z DIANNA LEE 535 RESEARCH CENTER BOULEVARD SUITE 120 FAYETTEVILLE AR 72701 322339675 0 X WWW.UARKFOUNDATION.ORG X 1956 AR PROVIDE SUPPORT FOR THE UNIVERSITY OF ARKANSAS SYSTEM 22 22 9 0 -301904 -301904 59401412 50234702 107908 99896 54178720 65033961 0 0 113688040 115368559 84884833 68695019 0 0 1346529 1413030 0 0 0 480703 421173 86712065 70529222 26975975 44839337 734874695 788082802 19263746 23256041 715610949 764826761 PROVIDE SUPPORT FOR THE UNIVERSITY OF ARKANSAS SYSTEM 0 0 14232402 14232402 FUNDS ALLOCATED TO SUPPORTED ORGANIZATIONS FOR CONSTRUCTION & EQUIPMENT. 39654953 39654953 FUNDS ALLOCATED TO SUPPORTED ORGANIZATIONS FOR RESEARCH, FACULTY/STAFF SUPPORT AND SCHOLARSHIPS & AWARDS. 14807664 14807664 FUNDS ALLOCATED TO SUPPORTED ORGANIZATION FOR ALL OTHER PROGRAM EXPENSES. 68695019 1 1 0 0 0 0 1 0 0 1 1 1 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 0 0 0 1 137 0 9 1 1 1 1 SN 0 0 0 1 1 0 0 X 22 22 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X X X DIANNA LEE 4795755581 535 RESEARCH CENTER BOULEVARD SUITE FAYETTEVILLE AR 727016832 MR CHARLES SCHARLAU 0.00 X 0 0 0 MR LEWIS E EPLEY JR 0.00 X 0 0 0 MR MIKE AKIN 0.00 X 0 0 0 MR JIM VON GREMP 0.00 X 0 0 0 MR JULIAN C STEWART 0.00 X X 0 0 0 DR MARY ANN GREENWOOD 0.00 X 0 0 0 MR LEE RONNEL 0.00 X X 0 0 0 MR DICK TRAMMEL 0.00 X 0 0 0 MR PETER G KUMPE 0.00 X 0 0 0 MS CYNTHIA CONGER 0.00 X 0 0 0 MR LARRY COOPER 0.00 X 0 0 0 DR DIANE S GILLELAND 0.00 X 0 0 0 MR NED RAY PURTLE 0.00 X 0 0 0 MR ARCHIE SCHAFFER 0.00 X 0 0 0 MR FREDDIE BLACK 0.00 X 0 0 0 MR JAMES H FAULKNER 0.00 X 0 0 0 MR ED COPELAND 0.00 X 0 0 0 MR RICK CHAPMAN 0.00 X 0 0 0 MR DON L GIBSON 0.00 X 0 0 0 MS CHERYL F SHUFFIELD 0.00 X 0 0 0 MR KENNETH MANN 0.00 X 0 0 0 MR BILL WISNER 0.00 X 0 0 0 MR CLAY H DAVIS 40.00 X 268482 0 41203 MS DIANNA LEE 40.00 X 195683 0 32335 MS VICKIE FERGUSON 40.00 X 143045 0 14516 MR FRED HARRISON 0.00 X 0 0 0 MR ROBERT KOSTER 40.00 X 123813 0 30069 731023 0 118123 4 0 1 0 CAMBRIDGE ASSOCIATES LLC 110 SUMMER BOSTON MA 021102112 INVESTMENT MANAGEMENT SERVICES 2551318 WILLIAMS & ANDERSON PLC 111 CENTER ST LITTLE ROCK AR 72201 LEGAL SERVICES 395832 STATE STREET GLOBAL ADVISORS ONE LINCOLN STREET BOSTON MA 02110 INVESTMENT MANAGEMENT SERVICES 383967 ADAGE CAPITAL MANAGEMENT LP 200 CLARENDON STREET BOSTON MA 02116 INVESTMENT MANAGEMENT SERVICES 332100 WALTER SCOTT & PARTNERS LIMITED ONE CHARLOTTE SQUARE EDINBURGH UK EH2 4DR INVESTMENT MANAGEMENT SERVICES 326076 16 50234702 1995702 50234702 FEES & OTHER 900099 99896 99896 99896 25069784 -301904 25371688 246930293 5000 206966116 5000 39964177 0 39964177 39964177 115368559 40064073 -301904 25371688 68695019 68695019 732004 732004 391354 391354 111580 111580 109864 109864 68228 68228 25502 25502 49500 49500 17226 17226 46401 46401 144981 144981 63895 63895 31863 31863 41805 41805 70529222 68695019 1834203 0 51874709 38470190 1362586 255834 1106752 1106752 679169662 745144731 2723572 3361129 734874695 788082802 4460326 8052081 14803420 15203960 19263746 23256041 X 78209537 81420607 142134510 135972796 495266902 547433358 715610949 764826761 734874695 788082802 X 44839337 42668286 -38291811 X 0 1 X 1 0 X 60602085 89397966 66456125 59401412 50234702 326092290 60602085 89397966 66456125 59401412 50234702 326092290 25177135 300915155 21675799 15812944 21989600 25925487 25371688 110775518 436867808 5183620 0.68880 0.71980 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X 1 876.28 1 1 40.00 1500 1 501670279 11582869 63196889 23174910 553275127 499101552 15271769 7476602 20179644 501670279 415345255 23550128 81350544 21144375 499101552 377288562 10775437 51694656 24413400 415345255 505940110 16393989 -130673046 14372491 377288562 0.04080 0.93900 0.02020 1 1 0 1106752 1106752 255834 255834 0 1106752 EQUITY SECURITIES 37831487 F FIXED INCOME SECURITIES 15221150 F SHORT-TERM INVESTMENTS 10223562 F COMMINGLED FUNDS-EQUITIES 317347140 F OTHER PARTNERSHIPS 110405036 F NON-MARKETABLE ALTERNATIVES 113893354 F MARKETABLE ALTERNATIVES 118265957 F EXCHANGE TRADED FUNDS 21957045 F 745144731 ANNUITY OBLIGATIONS 15203960 15203960 X 131370920 42668286 42668286 88702634 26665925 26665925 115368559 82155108 11670644 11670644 70484464 44758 44758 70529222 DESCRIPTION OF HOW ORGANIZATION REPORTS CONSERVATION EASEMENTS: PART II, LINE 9: CONSERVATION EASEMENTS ARE RECORDED AS REVENUE AT FAIR MARKET VALUE ON THE DATE OF THE RECEIPT. THEY ARE CARRIED ON THE BALANCE SHEET AT THIS VALUE AND ARE SUBJECT TO IMPAIRMENT ANALYSIS. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: TO PROVIDE SUPPORT FOR THE UNIVERSITY OF ARKANSAS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: MANAGEMENT EVALUATED THE FOUNDATION'S TAX POSITIONS AND CONCLUDED THAT THE FOUNDATION HAD TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE ADJUSTMENT TO THE FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THIS GUIDANCE. GENERALLY, THE FOUNDATION IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS BY THE U.S. FEDERAL, STATE OR LOCAL TAX AUTHORITIES FOR YEARS BEFORE 2010. PART XI, LINE 4B - OTHER ADJUSTMENTS: PROVISION FOR LOSS ON UNCOLLECTIBLE PLEDGES -11,670,644. INCOME FROM PARTNERSHIPS NOT INCLUDED IN AUDITED FINANCIAL STATEMENTS 38,336,569. PART XII, LINE 2D - OTHER ADJUSTMENTS: PROVISION FOR LOSS ON UNCOLLECTIBLE PLEDGES 11,670,644. PART XII, LINE 4B - OTHER ADJUSTMENTS: CHANGE IN VALUE OF SPLIT INTEREST AGREEMENT 44,758. NOT APPLICABLE 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 1 UNIVERSITY OF ARKANSAS SYSTEM 2404 NORTH UNIVERSITY AVENUE LITTLE ROCK AR 72207 716003252 UA - SYSTEM 3637860 EDUCATIONAL/RESEARCH UNIVERSITY OF ARKANSAS FAYETTEVILLE UNIVERSITY OF ARKANSAS FAYETTEVILLE AR 72701 716003252 UA - SYSTEM 34505319 EDUCATIONAL/RESEARCH DIVISION OF AGRICULTURE 2301 SOUTH UNIVERSITY AVENUE LITTLE ROCK AR 72204 716003252 UA - SYSTEM 3180276 EDUCATIONAL/RESEARCH UNIVERSITY OF ARKANSAS AT LITTLE ROCK 2801 S UNIVERSITY AVENUE LITTLE ROCK AR 72204 710236904 UA - SYSTEM 5285332 EDUCATIONAL/RESEARCH UNIVERSITY OF ARKANSAS FOR MEDICAL SCIENCES 4301 W MARKHAM ST LITTLE ROCK AR 72205 716046242 UA - SYSTEM 11609922 EDUCATIONAL/RESEARCH UNIVERSITY OF ARKANSAS AT MONTICELLO UNIVERSITY OF MONTICELLO MONTICELLO AR 71656 716008509 UA - SYSTEM 1922920 EDUCATIONAL/RESEARCH UNIVERSITY OF ARKANSAS AT PINE BLUFF 1200 N UNIVERSITY DRIVE PINE BLUFF AR 71601 716010030 UA - SYSTEM 592856 EDUCATIONAL/RESEARCH ARKANSAS CANCER RESEARCH CENTER 4301 W MARKHAM ST 721 LITTLE ROCK AR 72205 716046242 UA - SYSTEM 9693126 EDUCATIONAL/RESEARCH UNIVERSITY OF ARKANSAS COMMUNITY COLLEGE AT BATESVILLE PO BOX 3350 BATESVILLE AR 72503 710445264 UA - SYSTEM 101611 EDUCATIONAL/RESEARCH 9 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE USE OF FUNDS IS MONITORED VIA THE ACCOUNTS PAYABLE PROCESS. ALL FUNDS DISBURSED ARE REVIEWED FOR COMPLIANCE WITH DONOR INTENT. X X X X 0 0 0 0 0 0 0 0 0 MR CLAY H DAVIS 254977 0 0 0 13505 0 25810 0 15393 0 309685 0 0 0 MS DIANNA LEE 177883 0 0 0 17800 0 17000 0 15335 0 228018 0 0 0 MS VICKIE FERGUSON 143045 0 0 0 0 0 14330 0 186 0 157561 0 0 0 MR ROBERT KOSTER 123813 0 0 0 0 0 12734 0 17335 0 153882 0 0 0 X 124 1995702 AVG. HIGH/LOW SELLING PR X AUTOMOBILE 1 5000 SALE PRICE 0 1 1 THIRD PARTY USE: PART I, LINE 32B: THE FOUNDATION DOES UTILIZE THIRD PARTY REAL ESTATE FIRMS, AGENTS AND STOCK BROKERS TO LIQUIDATE GIFTS OF PROPERTY. FORM 990, PART VI, SECTION A, LINE 7A THE 22 MEMBERS OF THE GOVERNING BODY ARE APPOINTED AS FOLLOWS: -4 MEMBERS BY THE BOARD OF TRUSTEES OF THE UNIVERSITY OF ARKANSAS -2 MEMBERS BY THE VOLUNTEER ADVANCEMENT ORGANIZATION OF THE FAYETTEVILLE CAMPUS OF THE UNIVERSITY OF ARKANSAS -2 MEMBERS BY THE VOLUNTEER ADVANCEMENT ORGANIZATION OF THE MEDICAL SCIENCES CAMPUS OF THE UNIVERSITY OF ARKANSAS -2 MEMBERS BY THE VOLUNTEER ADVANCEMENT ORGANIZATION OF THE LITTLE ROCK CAMPUS OF THE UNIVERSITY OF ARKANSAS -2 MEMBERS BY THE VOLUNTEER ADVANCEMENT ORGANIZATION OF THE MONTICELLO CAMPUS OF THE UNIVERSITY OF ARKANSAS -2 MEMBERS BY THE VOLUNTEER ADVANCEMENT ORGANIZATION OF THE PINE BLUFF CAMPUS OF THE UNIVERSITY OF ARKANSAS -2 MEMBERS BY THE VOLUNTEER ADVANCEMENT ORGANIZATION OF THE AGRICULTURAL DEVELOPMENT COUNCIL OF THE UNIVERSITY OF ARKANSAS -4 MEMBERS BY THE FOUNDATION'S BOARD OF DIRECTORS -2 MEMBERS BY THE VOLUNTEER ADVANCEMENT ORGANIZATION OF THE WINTHROP ROCKEFELLER CANCER INSTITUTE OF THE UNIVERSITY OF ARKANSAS FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE IN CONSULTATION WITH MANAGEMENT AND INDEPENDENT TAX ACCOUNTANT FORM 990, PART VI, SECTION B, LINE 12C ALL OFFICERS, DIRECTORS AND KEY EMPLOYEES ARE REQUIRED TO COMPLETE AND SIGN A CONFLICT OF INTEREST DISCLOSURE FORM ON AN ANNUAL BASIS DISCLOSING ACTUAL OR POTENTIAL CONFLICTS OF INTEREST OR AFFIRMATIVELY STATING THAT NO ACTUAL OR POTENTIAL CONFLICT EXISTS. IN ADDITION, BOARD MEMBERS RESPONSIBLE FOR INVESTMENT DECISIONS ARE PROVIDED A LIST OF ENTITIES PROVIDING SERVICES TO THE ENDOWMENT AND EACH MEMBER IS REQUIRED TO DISCLOSE IN WRITING ANY RELATIONSHIP WITH SUCH ENTITIES. THE EXECUTIVE DIRECTOR REVIEWS ALL BOARD CONFLICT OF INTEREST DISCLOSURE FORMS AND COUNTERSIGNS EACH AS PROOF OF REVIEW. ANY POTENTIAL CONFLICT OF INTEREST IS REPORTED TO THE EXECUTIVE COMMITTEE WHICH MUST APPROVE THE ARRANGEMENT BY A MAJORITY OF MEMBERS WITH THE BOARD MEMBER IN QUESTION ABSTAINING FROM SUCH VOTE. FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS FOR DETERMINING COMPENSATION FOR EXECUTIVE DIRECTOR, OTHER OFFICERS AND KEY EMPLOYEES INCLUDES REVIEW AND APPROVAL BY BOTH A COMPENSATION COMMITTEE AND THE EXECUTIVE COMMITTEE. AN INDEPENDENT COMPENSATION CONSULTANT PROVIDES COMPARABLE COMPENSATION DATA TO THE COMPENSATION COMMITTEE. CONTEMPORANEOUS DOCUMENTATION WITH RESPECT TO DELIBERATIONS AND DECISIONS IS MAINTAINED. THE PROCESS IS UNDERTAKEN ANNUALLY AND WAS LAST UNDERTAKEN FOR THE TAX YEAR BEING REPORTED. FORM 990, PART VI, SECTION C, LINE 19 THE FORM 990 IS AVAILABLE ON OUR WEBSITE. FINANCIAL STATEMENTS, CONFLICT OF INTEREST POLICY, & GOVERNING DOCS WILL BE SUPPLIED TO ANYONE WHO REQUESTS. (WITHIN TIME-FRAME DESIGNATED BY IRS) CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: CHANGE IN VALUE OF SPLIT-INTEREST AGREEMENTS 44,758. INCOME FROM PARTNERSHIPS NOT INCLUDED IN AUDITED FINANCIAL STATEMENTS -38,336,569. 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