2014-05-15T13:07:06-05:00 2013-06-30 410746749 CLIFTONLARSONALLEN LLP 1301 W 22ND ST STE 1100 OAK BROOK IL 60523 990 2012-07-01 362177133 SAINT XAVIER UNIVERSITY SAIN 7732983000 3700 WEST 103RD ST CHICAGO IL 60655 RAYMOND P CATANIA 7732983000 2014-05-14 1 GREGORY S ADAMS P00095597 6305738600 2012 2015-11-30 17:44:51Z RAYMOND P CATANIA 3700 WEST 103RD ST CHICAGO IL 60655 102857795 0 X WWW.SXU.EDU X 1846 IL SAINT XAVIER UNIVERSITY (SXU) EDUCATES MEN AND WOMEN TO SEARCH FOR THE TRUTH, THINK CRITICALLY, COMMUNICATE EFFECTIVELY, AND SERVE WISELY AND COMPASSIONATELY IN SUPPORT OF HUMAN DIGNITY AND THE COMMON GOOD. 26 25 1887 3 503829 0 7721857 5051683 98245532 94883328 364805 303254 1110016 1065466 107442210 101303731 24963629 25370267 0 0 45456036 44598053 93000 266433 1827407 30681524 29763677 101194189 99998430 6248021 1305301 139857728 138762544 66880107 64064919 72977621 74697625 X SAINT XAVIER UNIVERSITY (SXU) EDUCATES MEN AND WOMEN TO SEARCH FOR THE TRUTH, THINK CRITICALLY, COMMUNICATE EFFECTIVELY, AND SERVE WISELY AND COMPASSIONATELY IN SUPPORT OF HUMAN DIGNITY AND THE COMMON GOOD. 0 0 70933466 25370267 86445512 SAINT XAVIER UNIVERSITY IS AN INDEPENDENT, CATHOLIC, COMPREHENSIVE UNIVERSITY OFFERING BACHELORS AND MASTER'S DEGREES TO A DIVERSE POPULATION OF NEARLY 4,400 STUDENTS. SXU OFFERS GRADUATE AND UNDERGRADUATE PROGRAMS IN BUSINESS ADMINISTRATION, LIBERAL AND SCIENCES, NURSING AND EDUCATION. BASED ON FALL SEMESTER STATISTICS, FULL-TIME EQUIVALENT STUDENTS ("FTES") ENROLLED IN THE UNIVERSITY IN THE 2013 FISCAL YEAR AT THE UNDERGRADUATE LEVEL WERE 2,639 AND AT THE GRADUATE LEVEL WERE 788, HEADCOUNTS WERE 2,843 FOR UNDERGRADUATE AND 1,541 FOR GRADUATE. DURING THE FISCAL YEAR 2012, FALL SEMESTER FTE'S AT THE UNDERGRADUATE LEVEL WERE 2,755 AND AT THE GRADUATE LEVEL WERE 823, HEADCOUNTS WERE 2,993 FOR UNDERGRADUATE AND 1,716 FOR GRADUATE ADDITIONALLY, DURING THE 2013 FISCAL YEAR, THE UNIVERSITY'S FACULTY CONSISTED OF 188 FULL-TIME EMPLOYEES. COMPARABLE COUNTS FOR FISCAL YEAR 2012 WERE 184 FULL-TIME. SAINT XAVIER UNIVERSITY'S FULL-TIME UNDERGRADUATE ENROLLMENT RANGED FROM 2300 TO 2590 BETWEEN 2004-2012, AND EIGHT NEW FACILITIES WERE ADDED OVER THE LAST TEN YEARS. WITH 39 UNDERGRADUATE DEGREE PROGRAMS AND OVER 40 GRADUATE PROGRAM OPTIONS IN THE COLLEGE OF ARTS AND SCIENCES, THE SCHOOL OF EDUCATION, THE SCHOOL OF NURSING, THE GRAHAM SCHOOL OF MANAGEMENT, AND THE SCHOOL FOR CONTINUING AND PROFESSIONAL STUDIES, SAINT XAVIER OFFERS A FIRM FOUNDATION IN THE LIBERAL ARTS ALONG WITH SOLID CAREER PREPARATION. SAINT XAVIER CONTINUES TO RANK AS ONE OF THE TOP 40 COMPREHENSIVE MASTER'S UNIVERSITIES IN THE MIDWEST BY US NEWS & WORLD REPORT'S AMERICA'S BEST COLLEGES. 70933466 1 1 0 1 0 0 1 0 0 1 1 0 0 0 1 1 1 0 1 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 245 0 1 1887 1 1 1 0 0 0 0 1 1 0 0 0 0 X 26 25 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X SAINT XAVIER UNIVERSITY 7732983000 3700 WEST 103RD ST CHICAGO IL 60655 JOSEPH A BALASA 1.00 X 0 0 0 SISTER GILMARY BAUERRSM 1.00 X 0 0 0 JOHN J BENISH JR 1.00 X 0 0 0 SISTER MARY ANN BERGFELD RSM 1.00 X 0 0 0 BARBARA J BRADEN 1.00 X 0 0 0 REVEREND JOHN F CANARY 1.00 X 0 0 0 JOHN T COSTELLO 1.00 X X 0 0 0 DANIEL K CURLEY 1.00 X 0 0 0 TERRENCE A DUFFY 1.00 X 0 0 0 SISTER NANCY J HOULIHAN RSM 1.00 X 0 0 0 SISTER MARGARET MARY KNITTEL RSM 1.00 X 0 0 0 SISTER GEORGINE SCARPINO RSM 1.00 X X 0 0 0 BRIAN O SHANNON JR 1.00 X 0 0 0 CHRISTINE M WISEMAN 40.00 X X 357807 0 29731 SISTER SUSAN SANDERS 40.00 X 0 0 15617 RAYMOND L KRATZER 1.00 X 0 0 0 MARY MACLAREN 1.00 X 0 0 0 HOPE L FLACK 1.00 X 0 0 0 CAROL A KEENE 1.00 X 0 0 0 WILLIAM G LAIRD 1.00 X 0 0 0 MARY CLARE LOFTUS 1.00 X 0 0 0 ALEXANDRA J MORAN 1.00 X 0 0 0 JOHN L SIMMONS 1.00 X 0 0 0 SISTER MARYANNE STEVENS RSM 1.00 X 0 0 0 SISTER LOIS GRAVER RSM 1.00 X 0 0 0 ROGER O CROCKETT 1.00 X 0 0 0 PATRICK SHEAHAN 1.00 X 0 0 0 ANGELA DURANTE 40.00 X 187745 0 19418 ROBERT TENCZAR 40.00 X 134823 0 14989 JOHN PELRINE 40.00 X 127847 0 6521 RAYMOND CATANIA 40.00 X 215387 0 85584 KATHLEEN RINEHART 40.00 X 179406 0 15675 GLORIA JACOBSON 40.00 X 151395 0 25727 KENNETH RAKOW 40.00 X 129089 0 3185 ANTON LEWIS 40.00 X 117504 0 14389 JEAN MEHTA 40.00 X 115663 0 14890 SUSAN SWISHER 40.00 X 110160 0 28796 MITRA FALLAHI 40.00 X 108324 0 23213 1935150 0 297735 17 0 1 0 CHARTWELLS DINING SERVICES PO BOX 91337 CHICAGO IL 60693 FOOD SERVICE 3429184 DELTAK EDU INC 1415 W 22ND STREET OAK BROOK IL 60523 ONLINE EDUCATION SERVICES 1685973 ELLUCIAN INC 4375 FAIR LAKES CT FAIRFAX VA 22033 INFORMATION TECHNOLOGY 625463 INTERNATIONAL RENEWAL INSTITUTE INC 310 KEYSTONE COURT GLENCOE IL 60022 COURSE PROGRAM FEES 438143 ROYALL & COMPANY 1920 E PARHAM RD RICHMOND VA 23228 RECRUITMENT 406767 17 370148 1865566 2815969 67699 5051683 TUITION 611310 85679158 85679158 ROOM AND BOARD 611310 7234002 7234002 BOOKSTORE REVENUE 611310 1114950 1114950 WORKSHOP REVENUE 611310 164272 164272 690946 690946 94883328 150311 150311 212895 0 212895 212895 212895 1544955 1303148 88864 241807 -88864 152943 -88864 241807 162052 370148 162052 0 RESTAURANT FOOD SALES 722210 465453 465453 PARKING FEE REVENUE 611600 348742 348742 HEALTH CENTER REVENUE 621400 38376 38376 852571 101303731 86445512 503829 9302707 25370267 25370267 2247432 1089900 1028917 128615 34106296 25875380 7546795 684121 951349 705660 224420 21269 4658117 3455146 1098833 104138 2634859 1954399 621554 58906 138644 138644 124656 124656 79132 79132 266433 266433 7429697 6777508 406147 246042 1106779 30446 1048508 27825 2514686 894792 1569722 50172 753824 422057 331008 759 2757786 1143340 1614446 85483 67813 13162 4508 1073196 874008 77899 121289 1642207 1642207 5778729 5778729 860717 69942 790775 TUITION WAIVERS 1730362 292307 1438055 BAD DEBT 1546742 15744 1530998 PRODUCT COSTS 1027224 1025712 984 528 STUDENT EVENTS 510339 454506 4575 51258 603474 414539 127391 61544 99998430 70933466 27237557 1827407 9345161 10210972 1797571 281667 1234335 3006323 3167783 2642425 3021550 2953584 651757 0 2810772 2696815 177455358 68715963 110387591 108739395 5393700 6047234 680483 719328 1367025 1464801 139857728 138762544 6123631 6440152 1993827 2026524 46800000 43600000 5000000 5000000 6962649 6998243 66880107 64064919 X 61468054 63319683 4050916 3658434 7458651 7719508 72977621 74697625 139857728 138762544 1305301 414703 0 X X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 79132 0 0 79132 0 PART IV, SUPPLEMENTAL INFORMATION: SAINT XAVIER UNIVERSITY RETAINS A PROFESSIONAL SERVICE FIRM, MCALLISTER & QUINN, TO ASSIST IN LOBBYING VARIOUS FEDERAL DEPARTMENTS, INCLUDING THE U.S. DEPARTMENT OF EDUCATION. SAINT XAVIER'S LOBBYING EFFORTS SUPPORT HIGHER EDUCATION POLICY AND FUNDING ISSUES. X 1 21.40 0 0 1 0 7968066 203035 632087 153981 8649207 8016905 235149 -166209 117779 7968066 7543156 283892 1030102 134509 705736 8016905 9680208 119676 1232014 149093 3323743 15906 7543156 12482378 200402 -2486957 103356 412259 9680208 0.15000 0.83000 0.02000 1 0 15760873 15760873 124349064 40018709 84330355 35913180 28697254 7215926 1432241 1432241 108739395 CONDITIONAL ASSET RETIREMENT OBLIGATION 3707798 STUDENT DEPOSITS 135520 REFUNDABLE GOVERNMENT LOANS 3154925 6998243 X 76348167 414703 414703 75933464 25370267 25370267 101303731 74628163 0 74628163 25370267 25370267 99998430 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE PURPOSE OF THE ENDOWMENT FUND IS TO FACILITATE DONORS' DESIRES TO MAKE SUBSTANTIAL LONG-TERM GIFTS TO THE COMMUNITY AND TO DEVELOP A NEW AND SIGNIFICANT SOURCE OF REVENUE FOR THE UNIVERSITY. IN SO DOING, THE ENDOWMENT FUND WILL PROVIDE A SECURE, LONG-TERM SOURCE OF FUNDS TO 1) STABILIZE AGENCY FUNDING DURING PERIODS OF BELOW NORMAL ANNUAL CAMPAIGNS, 2) FUND SPECIAL GRANTS 3) ENSURE LONG-TERM GROWTH 4) ENHANCE OUR ABILITY TO MEET CHANGING COMMUNITY NEEDS IN BOTH THE SHORT AND LONG-TERM, AND, 5) SUPPORT THE ADMINISTRATIVE EXPENSES OF THE UNIVERSITY AS DEEMED APPROPRIATE. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE UNIVERSITY IS EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. THE UNIVERSITY DETERMINED THAT IS WAS NOT REQUIRED TO RECORD A LIABILITY FOR ANY UNCERTAIN TAX POSITIONS AS OF JUNE 30, 2013. THE FEDERAL AND STATETAX RETURNS OF THE UNIVERSITY FOR 2010, 2011 AND 2012 ARE SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE AND STATE TAXING AUTHORITIES, GENERALLY FOR THREE YEARS AFTER THEY WERE FILED. PART XI, LINE 4B - OTHER ADJUSTMENTS: INSTITUTIONAL FINANCIAL AID 25,370,267. PART XII, LINE 4B - OTHER ADJUSTMENTS: INSTITUTIONAL FINANCIAL AID 25,370,267. 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 SXU PUBLISHES THEIR RACIALLY NONDISCRIMINATORY POLICY ON THEIR WEBSITE AT WWW.SXU.EDU. THE UNIVERSITY SEEKS STUDENTS OF DIVERSE TALENTS, EXPERIENCES, KNOWLEDGE, INTERESTS, AND CULTURES WHO ARE WILLING TO LEARN, AND TO SEEK EXCELLENCE IN THEMSELVES AND OTHERS. ONE OF THE CORE VALUES OF THE UNIVERSITY IS DIVERSITY. DIVERSITY BUILDS A COMMUNITY THAT FOSTERS A CLIMATE THAT IS OPEN AND WELCOMING TO DIVERSE PEOPLE, IDEAS, AND PERSPECTIVES, THAT PROMOTES A CONSTRUCTIVE DISCOURSE ON THE NATURE OF DIVERSITY, AND THAT ENGAGES FACULTY, STAFF AND STUDENTS IN ACTIVITIES THAT PROMOTE THE UNIVERSITY'S CORE VALUES. SXU ADMITS QUALIFIED STUDENTS WITHOUT REGARD TO RACE, RELIGION, AGE, SEX, NATIONAL OR ETHNIC ORIGIN. THE UNIVERSITY DOES NOT DISCRIMINATE AGAINST HANDICAPPED PERSONS WHO ARE OTHERWISE QUALIFIED TO PARTICIPATE IN THE INTELLECTUAL AND SOCIAL LIFE OF THE UNIVERSITY. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 U.S. DEPARTMENT OF EDUCATION - $1,294,468 ILLINOIS BOARD OF HIGHER EDUCATION - $ 300,969 ILLINOIS STATE BOARD OF EDUCATION - $ 104,457 NATIONAL SCIENCE FOUNDATION - $ 165,671 X X X X X X X 1 LAURUS BRUNI PARTNERS LLC 55 W MONROE STREET CHICAGO IL 60603 CONSULTING RELATED TO CAPITAL CAMPAIGN 0 840616 266433 574183 840616 266433 574183 IL ANNUAL DINNER 388441 267381 121060 121060 GOLF OUTING 143759 102767 40992 40992 532200 370148 162052 162052 162052 0 1 INSTITUTIONAL AWARDS 2628 24924899 ENDOWED AND NAMED SCHOLARSHIPS 49 445368 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE UNIVERSITY'S OFFICE OF FINANCIAL AID, ADMINISTERS A WIDE VARIETY OF FEDERAL, STATE, INSTITUTIONAL AND PRIVATE FINANCIAL ASSISTANCE PROGRAMS. ITS MAJOR OBJECTIVE IS THE EQUITABLE DISTRIBUTION OF FINANCIAL AID TO ALL STUDENTS. THE ORGANIZATION SERVICES IN ORDER TO HELP STUDENTS FINANCE THEIR EDUCATION. RECIPIENTS ARE DETERMINED BY ACADEMIC MERIT, AS WELL AS FEDERAL, STATE AND INSTITUTIONAL GUIDELINES. FINANCIAL AID AND SCHOLARSHIPS ARE APPLIED TOWARD TUITION CHARGES ONLY AND RECIPIENTS MUST MAINTAIN CERTAIN ELIGIBLITY REQUIREMENTS TO RECEIVE THEM. X 1 1 X X X X 0 0 0 0 0 0 0 0 0 CHRISTINE M WISEMAN 357807 0 0 0 0 0 0 0 29731 0 387538 0 0 0 ANGELA DURANTE 187745 0 0 0 0 0 0 0 19418 0 207163 0 0 0 RAYMOND CATANIA 215387 0 0 0 0 0 0 0 85584 0 300971 0 0 0 KATHLEEN RINEHART 179406 0 0 0 0 0 0 0 15675 0 195081 0 0 0 GLORIA JACOBSON 151395 0 0 0 0 0 0 0 25727 0 177122 0 0 0 A ILLINOIS FINANCE AUTHORITY SERIES 2008 BONDS 861091967 45200FLH0 2008-06-25 25000000 RESIDENCE HALL CONSTRUCTION 0 0 0 B ILLINOIS FINANCE AUTHORITY SERIES 2006 BONDS 861091967 45200BYZ5 2006-06-08 10000000 RESIDENCE HALL CONSTRUCTION 0 0 0 A 2009 0 0 1 1 B 2007 0 0 1 1 A 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 A 0 0 0 0 1 0 0 0 0 B 0 0 0 0 1 0 0 0 0 X 1768 ESTIMATED VALUE X 5 38925 COST BASIS TOTALS X 2 1330 ESTIMATED VALUE X EVENT TICKETS 11 4315 ESTIMATED VALUE OF TICKETS X BOAT CRUISES/VACATION SPOTS 2 1900 ESTIMATED VALUE OF TICKETS X GIFT CERTIFICATES 11 2395 DOLLAR VALUE OF GIFT CERTIFICATES X MISCELLEANOUS 15 17066 ESTIMATED VALUE OF ITEMS FROM INTERNET 0 1 0 FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO FILING, COPIES OF THE COMPLETED DRAFT FORM 990 (INCLUDING REQUIRED SCHEDULES) WILL BE DISTRIBUTED TO THE AUDIT COMMITTEE IN EITHER ELECTRONIC OR PAPER FORM FOR REVIEW AND APPROVAL. ANY QUESTIONS OR CONCERNS WILL BE NOTED AND ADDRESSED, AND MANAGEMENT STAFF WILL ENSURE THAT CHANGES ARE INCORPORATED INTO THE FORM 990 AS APPROPRIATE. COPIES OF THE DRAFT FORM 990 WILL THEN BE DISTRIBUTED TO THE BOARD OF TRUSTEES IN EITHER ELECTRONIC OR PAPER FORM FOR REVIEW AND APPROVAL. BOARD MEMBERS WILL BE PROVIDED WITH AT LEAST FIVE BUSINESS DAYS TO REVIEW THE FORM. THE FORM 990 WILL BE FILED ONCE A MOTION TO APPROVE HAS BEEN PASSED BY THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION'S CONFLICT OF INTEREST POLICY COVERS ALL OFFICERS, DIRECTORS, TRUSTEES, AND KEY EMPLOYEES. THESE INDIVIDUALS ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST QUESTIONAIRE TO DISCLOSE ANY POTENTIAL OR ACTUAL CONFLICTS OF INTEREST THEY MAY HAVE WITH THE ORGANIZATION. CONFLICT OF INTEREST QUESTIONNAIRES ARE COMPLETED ON AN ANNUAL BASIS BY ALL INTERESTED PERSONS. COMPLETED CONFLICT OF INTEREST QUESTIONAIRRES WILL BE REVIEWED BY THE ORGANIZATION'S COMPLIANCE OFFICER (OR CHAIRMAN). IF IT IS DETERMINED AN ACTUAL CONFLICT OF INTEREST EXISTS, THE INDIVIDUAL WITH A CONFLICT WILL BE EXCUSED FROM ANY DISCUSSION OR VOTE ON THE MATTER FOR WHICH THEY HAVE A CONFLICT. FORM 990, PART VI, SECTION B, LINE 15 THE UNIVERSITY'S INDEPENDENT EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES UTILIZES COMPARABILITY DATA FROM COMPENSATION SURVEYS AND STUDIES TO DETERMINE, EVALUATE AND ADJUST THE COMPENSATION OF THE ORGANIZATION'S TOP MANAGEMENT OFFICIAL, THE PRESIDENT, ON AN ANNUAL BASIS. THE FINAL COMPENSATION PACKAGE IS SUBJECT TO THE FULL EXECUTIVE COMMITTEE'S REVIEW AND APPROVAL AND IS DOCUMENTED IN A WRITTEN EMPLOYEE CONTRACT. DELIBERATIONS AND DECISIONS REGARDING THE COMPENSATION PACKAGE ARE DOCUMENTED IN THE MINUTES OF THE MEETING. PROCESS USED TO ESTABLISH COMPENSATION FOR OTHER OFFICERS FORM 990, PART VI, SECTION B, LINE 15B COMPENSATION OF THE UNIVERSITY'S OTHER OFFICERS IS DETERMINED, EVALUATED AND REVIEWED BY UNIVERSITY PRESIDENT AND SUBSEQUENTLY APPROVED BY THE BOARD OF TRUSTEES ON AN ANNUAL BASIS. THE PRESIDENT UTILIZES COMPARABILITY DATA FROM COMPENSATION SURVEYS AS A BASIS FOR THIS DETERMINATION. THE FINAL COMPENSATION PACKAGES OF THE UNIVERSITY'S OTHER OFFICERS IS DOCUMENTED IN A WRITTEN EMPLOYMENT CONTRACT. DELIBERATIONS AND DECISIONS REGARDING THE COMPENSATION PACKAGES ARE DOCUMENTED IN THE MINUTES OF THE BOARD MEETING. FACULTY COMPENSATION IS BASED ON COLLECTIVE BARGAINING AGREEMENT WHICH IS RENEWED EVERY THREE YEARS. FORM 990, PART VI, SECTION C, LINE 19 FINANCIAL STATEMENTS, GOVERNING DOCUMENTS, AND CONFLICT OF INTEREST POLICIES ARE NOT REQUIRED DISCLOSURES PURSUANT TO INTERNAL REVENUE CODE SECTION 6104. THESE DOCUMENTS ARE NOT AVAILABLE TO THE PUBLIC AT THIS TIME. FORM 990, PART XII, LINE 2C THE BOARD OF TRUSTEES ASSUMES RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT AND SELECTION OF THE INDEPENDENT AUDITOR. THIS POLICY HAS NOT CHANGED FROM PRIOR YEARS.