2014-05-12T08:11:04-05:00 2013-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2012-07-01 251035663 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT DUQU 4123966592 600 FORBES AVENUE PITTSBURGH PA 152820226 DAVID R BEAUPRE 4123966592 2014-05-08 1 SUSAN M KIRSCH P00341397 4122613644 2012 2015-11-30 17:44:51Z CHARLES J DOUGHERTYPHD 600 FORBES AVENUE PITTSBURGH PA 152820226 451461263 0 X WWW.DUQ.EDU X 1878 PA DUQUESNE UNIVERSITY OF THE HOLY SPIRIT IS A CATHOLIC UNIVERSITY, FOUNDED BY MEMBERS OF THE CONGREGATION OF THE HOLY SPIRIT, THE SPIRITIANS, AND SUSTAINED THROUGH A PARTNERSHIP OF LAITY AND RELIGIOUS. DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, THE COMMUNITY, THE NATION AND THE WORLD. 28 23 5055 23 853522 -5696 26249378 20067038 304135040 322510511 13225931 13658309 1427522 1586667 345037871 357822525 77552364 85919598 0 0 167037229 161018871 0 0 2879334 83325703 90424947 327915296 337363416 17122575 20459109 573179848 649983929 228877608 271572996 344302240 378410933 X DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, COMMUNITY, NATION AND THE WORLD. 0 0 194673023 85919598 278350994 EDUCATIONAL PROGRAMS, GENERAL/OTHER: INSTRUCTION - SCHOOL OF LIBERAL ARTS, BUSINESS ADMINISTRATION, EDUCATION, MUSIC, HEALTH SCIENCES, PHARMACY, LAW, NATURAL AND ENVIRONMENTAL SCIENCES, NURSING (10,045 STUDENTS) 44843533 43062159 AUXILIARY/STUDENT SERVICES:STUDENT SERVICES PROGRAMS, GENERAL/OTHER: STUDENT SERVICES, INSTITUTIONAL SUPPORT, AND AUXILIARY ENTERPRISES (12,805UNIVERSITY COMMUNITY). AUXILIARY SERVICES / GENERAL - ROOM & BOARD, FOOD SERVICE, INTERCOLLEGIATE ATHLETICS, TAMBURITZANS, PARKING EVENTS, CONFERENCES, RED RING RESTAURANT. 41487737 723439 EDUCATIONAL DELIVERY, GENERAL/OTHER: ACADEMIC SUPPORT - LIBRARY, DEANS OFFICE, PROVOST OFFICES, CATALOGS, COMMENCEMENT, CLERGY RESIDENCE (11,009) STUDENTS AND FACULTY) 9056363 97116 MEDIA AND COMMUNICATION PROGRAMS, GENERAL/OTHER: PUBLIC SERVICE, PUBLIC RESEARCH PROGRAMS, 1531 PHARMACY CUSTOMERS, 34,608 PRESCRIPTIONS DISPENSED, LAW LIBRARY PROGRAMS 7110047 45878 SCIENCE & TECHNOLOGY RESEARCH, GENERAL/OTHER: RESEARCH -DHEW, NSF AND OTHER RESTRICTED FUNDS FOR RESEARCH (69 FUNDING AGENCIES) 16166410 142994 297170703 1 1 0 1 0 0 0 0 0 1 1 0 0 1 1 1 1 0 1 1 1 0 1 0 1 0 0 0 1 1 1 0 0 0 0 0 0 1 0 0 1 1 0 0 0 0 1 0 0 0 1 15093 0 1 5055 1 1 1 1 IT CJ 0 0 0 1 1 0 0 0 0 X 28 23 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 PA MN OR KY OH NH CO MA ME X RUSSELL C GRUNEBACH 4123966592 600 FORBES AVE ROOM 205 PITTSBURGH PA 15282 ARNOLD E BURCHIANTI II 2.00 X 0 0 0 ESTHER L BUSH 2.00 X 0 0 0 SAMUEL A COSTANZO 2.00 X 0 0 0 SISTER MARY DACEY SSJ 2.00 X 0 0 0 VREVLAWRENCE A DINARDO MCHA 2.00 X 0 0 0 VREVJEFFREY T DUAIME CSSP 2.00 X 0 0 0 RICHARD J GRATTAN 2.00 X 0 0 0 THOMAS B GREALISH 2.00 X 0 0 0 MARY R GREALY ESQ 2.00 X 0 0 0 TERRENCE S JACOBS 2.00 X 0 0 0 MARY ADELE KROLIKOWSKI 2.00 X 0 0 0 SCOTT M LAMMIE 2.00 X 0 0 0 REV JAMES P MCCLOSKEY 55.00 X X 0 0 5599 JOHN R MCGINLEY JR 2.00 X 0 0 0 JOHN W MCGONIGLE 2.00 X 0 0 0 JAMES F MCGUIRK II 2.00 X 0 0 0 HELENE L NORBUT 2.00 X 0 0 0 IRENE M QUALTERS 2.00 X 0 0 0 REV JOHN A SAWICKI CSSP 12.00 X 0 0 5599 THADDEUS J SENKO 2.00 X 0 0 0 REV DANIEL WALSH CSSP 2.00 X 0 0 2407 REV FREDDY WASHINGTON CSSP 2.00 X 0 0 0 PATRICIA D YODER 2.00 X 0 0 0 MARIE MILIE JONES 2.00 X X 0 0 0 ANTHONY J CARFANG 2.00 X X 0 0 0 WILLIAM J LYONS 2.00 X X 0 0 0 CHARLES J DOUGHERTY 55.00 X X 603310 0 109686 REV JAMES OKOYE CS SP 2.00 X 0 0 5564 LINDA S DRAGO ESQ 55.00 X 173936 0 21168 REV SEAN HOGAN CSSP 55.00 X 0 0 5599 RALPH L PEARSON 55.00 X 255243 0 47906 JOHN P PLANTE 55.00 X 227575 0 70180 STEPHEN A SCHILLOEXIT 1-11-13 55.00 X 299676 0 44004 DAVID P GROUSOSKY 55.00 X 160446 0 25192 JDOUGLAS BRICKER 55.00 X 218297 0 29774 GREGORY H FRAZER 55.00 X 170300 0 40464 ALAN R MICIAK 55.00 X 221194 0 39134 JAMES C SWINDAL 55.00 X 167579 0 36448 ALEEM GANGJEE 55.00 X 346903 0 32048 JOHN E MURRAY 35.00 X 392874 0 36144 JAMES A FERRY 55.00 X 440035 0 30529 KELLEN MCCLENDON ESQ 55.00 X 414051 0 13312 THOMAS A POLLACK 55.00 X 296125 0 12707 KENNETH G GORMLEY FORMER KEY EMPLOY 55.00 X 215810 0 86161 DAVID W SEYBERT-FORMER KEY EMPLOYEE 55.00 X 153521 0 68262 4756875 0 767887 209 1 1 0 ARAMARK CORPORATION 600 FORBES AVE PITTSBURGH PA 15282 FOOD SERVICE 13550931 PJ DICK INCORPORATED 225 N SHORE DR PITTSBURGH PA 15212 CONSTRUCTION 3765890 TEDCO CONSTRUCTION CORPORATION 1 TEDCO PLACE CARNEGIE PA 15106 CONSTRUCTION 3659425 RUTHRAUFF SAUER LLC 400 LOCUTS ST MCKEES ROCKS PA 15136 CONSTRUCTION 1742140 DIRECT ENERGY MARKETING INC 2525 LIBERTY AVENUE PITTSBURGH PA 15222 ENERGY SUPPLIER 1596888 5 X 252441 10025428 9789169 831428 20067038 EDUCATIONAL PROGRAMS 611710 278350994 278350994 STUDENT SRVC PROGRAMS 611710 43293084 43062159 230925 ACADEMIC SUPPORT 611710 723439 723439 PUBLIC SERVICE 611710 97116 97116 SCIENCE&TECHN.RESEARCH 541700 45878 45878 322510511 6479227 47681 6431546 1402 1402 504398 504398 429957 99710 330247 330247 38712 291535 95610092 88040691 391721 7569401 -391721 7177680 7177680 235008 252441 194957 40051 40051 5623630 4911659 711971 536204 175767 357822525 322279586 853522 14622379 85277199 85277199 642399 642399 3039294 1450832 1051254 537208 121875112 105960014 14691003 1224095 6807051 5745940 1014023 47088 21242028 18195663 2737084 309281 8055386 6641366 1307838 106182 871029 871029 200643 200643 90092 90092 156889 156889 14315691 12294846 2016161 4684 3528875 2439507 1025862 63506 11046028 8553654 2252453 239921 3385406 945334 2409027 31045 8400852 7109692 1217409 73751 6376782 6093555 173389 109838 403217 329943 65257 8017 7968208 6718291 1247077 2840 19383424 16346415 2997502 39507 1285542 59050 1226492 OTHER/GENERAL 12396291 11936431 382949 76911 MEMBERSHIPS 615978 430572 179946 5460 337363416 297170703 37313379 2879334 23552938 40642834 6053726 5094961 18969981 19470467 923287 945306 4776355 5135977 488578019 193621623 286459834 294956396 189568702 230531831 24265954 15286520 18609071 37919637 573179848 649983929 36178749 37187086 9054073 13260414 162346692 199681404 21298094 21444092 228877608 271572996 X 226559943 247901809 39274482 47790919 78467815 82718205 344302240 378410933 573179848 649983929 X 20459109 13689637 -40053 X X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 90092 90092 337273324 337363416 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 62415 54370 48879 90092 255756 250000 250000 250000 250000 1000000 1500000 180197963 8531619 23579765 2672284 3833677 205803386 175675451 14040647 -2047769 2839168 4631198 180197963 142397816 5411994 32729426 2848519 2015266 175675451 122584269 7144039 17182748 2615954 1897286 142397816 162745593 3286262 -37991041 1981494 3475051 122584269 0.42610 0.39400 0.17990 0 0 19518335 19518335 375344907 139045762 236299145 65104763 45586267 19518496 28610014 8989594 19620420 294956396 ASSETS IN ESCROW FOR DEBT SERVICE AND PROJECT FUNDS 37919637 37919637 EQUIPMENT LEASE - MISCELLANEOUS 1978163 CONDITIONAL ASSET RETIREMENT OBLIGATION 5626596 FEDERAL LOAN FUNDS 12161518 URA GEYER GARAGE - PURCHASE FEE 92300 AGENCY FUNDS 959034 ANNUITIES PAYABLE 626481 21444092 X 290989388 13689637 193741 13883378 277106010 80716515 80716515 357822525 256880695 193741 5243136 5436877 251443818 85919598 85919598 337363416 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE INTENDED USES OF DUQUESNE UNIVERSITY OF THE HOLY SPIRIT ENDOWMENT FUNDS ARE TO PRIMARILY PROVIDE FUNDS FOR STUDENT SCHOLARSHIPS, FELLOWSHIPS, LECTURESHIPS, FACULTY CHAIRS, AND RESOURCE FUNDS. ENDOWMENT FUNDS ALSO SUPPORT LIBRARY, ACADEMIC SUPPORT, REPAIR AND REPLACEMENT FACILITIES, AND GENERAL OPERATIONS. ALL USES ARE IN ACCORDANCE WITH APPLICABLE DONOR RESTRICTIONS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE UNIVERSITY ADOPTED GUIDANCE FOR UNCERTAINTY IN INCOME TAXES, WHICH PROVIDES CRITERIA FOR THE RECOGNITION AND MEASUREMENT OF UNCERTAIN TAX POSITIONS. THIS GUIDANCE REQUIRES THAT AN UNCERTAIN TAX POSITION SHOULD BE RECOGNIZED ONLY IF IT IS "MORE LIKELY THAN NOT" THAT THE POSITION IS SUSTAINABLE BASED ON ITS TECHNICAL MERITS. RECOGNIZABLE TAX POSITIONS SHOULD THEN BE MEASURED TO DETERMINE THE AMOUNT OF BENEFIT RECOGNIZED IN THE FINANCIAL STATEMENTS. THE UNIVERSITY FILES U.S. FEDERAL, STATE, AND LOCAL INFORMATION RETURNS, AND NO RETURNS ARE CURRENTLY UNDER EXAMINATION. THE STATUTE OF LIMITATIONS ON THE UNIVERSITY'S U.S. FEDERAL TAX RETURNS REMAINS OPEN FOR THE YEARS ENDED JUNE 30, 2010, THROUGH THE PRESENT. THE UNIVERSITY CONTINUES TO EVALUATE ITS TAX POSITIONS PURSUANT TO THE PRINCIPLES OF SUCH GUIDANCE AND HAS DETERMINED THAT THERE IS NO MATERIAL IMPACT ON THE UNIVERSITY'S FINANCIAL STATEMENTS. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 85,919,598. SPECIAL EVENT ACTIVITIES 40,051. COST OF GOODS SOLD -4,911,659. LOSS ON SALES OF ASSETS -391,721. INVESTMENT INCOME RE-CLASS 111,401. ROUNDING -2. COMPUTER STORE CHARGEBACKS 48,557. CONFERENCE RENTAL EXPENSE RECLASSED AGAINST REVENUE -99,710. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 4,911,659. LOSS ON SALES OF ASSETS 391,721. COMPUTER STORE CHARGEBACKS -48,557. ROUNDING 4. RECLASS INVESTMENT MANAGEMENT FEES -111,401. RECLASS CONFERENCE EXPENSES AGAINST INCOME 99,710. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 85,919,598. 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 DUQUESNE UNIVERSITY'S NONDISCRIMINATORY POLICY IS PUBLISHED IN CATALOGS, REGISTRATION PUBLICATIONS, APPLICATIONS FOR ADMISSION AND FINANCIAL AID. THE POLICY IS ALSO AVAILABLE ON MULTIPLE AREAS OF THE UNIVERSITY'S WEB SITE AS WELL AS PUBLISHED IN THE PITTSBURGH POST GAZETTE ANNUALLY. THE POLICY IS ALSO PUBLISHED IN HUMAN RESOURCE / EMPLOYMENT PUBLICATIONS AND DOCUMENTS, THE PREAMBLE OF THE EXECUTIVE RESOLUTIONS OF THE BOARD AND IN ADMINISTRATIVE POLICIES. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 IN THE COURSE OF OUR BUSINESS AS A UNIVERSITY, THE INSTITUTION RECEIVES FEDERAL GRANT FUNDS FOR ADMINISTRATIVE ALLOWANCES FOR FEDERAL SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS,PELL GRANTS,FEDERAL COLLEGE WORK STUDY GRANTS,AND STATE INSTITIONAL ASSISTANCE GRANTS. 1 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 33035 CENTRAL AMERICA & CARIBBEAN 0 0 INVESTMENTS 18768744 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD PROGRAM 166745 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 69757 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 7500 EUROPE 1 16 PROGRAM SERVICES STUDY ABROAD PROGRAM 1685194 EUROPE 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 628649 EUROPE 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 475602 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 1688 NORTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 122707 SOUTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 5143 SOUTH ASIA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 20420 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 6357 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 821 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 1000 EUROPE 0 0 PROGRAM SERVICES EDUCATIONAL EXPENSE 9997 NORTH AMERICA 0 0 PROGRAM SERVICES RECRUITMENT 51600 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 13610 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES FINANCIAL AID 6250 1 16 0 0 1 16 21835226 239593 22074819 STUDENT SCHOLARSHIP EUROPE 108 628649 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT STUDENT SCHOLARSHIP EAST ASIA AND THE PACIFIC 1 7500 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT STUDENT SCHOLARSHIP SUB-SAHARAN-AFRICA 1 6250 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT 0 0 1 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENT'S RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEEDS ARE MONITORED TO ENSURE THEY MEET ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. 9-19-12 LAUREL VALLEY GOLF OUTING 221496 112524 108972 5479 90744 5-13-13 PGH FIELD CLUB GOLF OUTING 68090 41832 26258 2591 27740 8 197863 98085 99778 6831 61572 487449 252441 235008 14901 180056 194957 40051 1 ACADEMIC SCHOLARSHIPS 8803 65813848 ATHLETIC SCHOLARSHIPS 372 6483298 ENDOWED /NON-ENDOWED SCHOLARSHIPS 1190 2657623 RELIGIOUS / H.S., TEACHER, SCHOLARSHIPS 976 2428668 TAMBURITIZAN / ROTC 38 421127 NEED BASED 2736 7472635 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEEDS ARE MONITORED TO ENSURE THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. X X 1 1 X X X X X 1 1 0 0 0 0 0 0 0 CHARLES J DOUGHERTY 590699 0 0 0 12611 0 93165 0 16521 0 712996 0 0 0 LINDA S DRAGO ESQ 173936 0 0 0 0 0 13923 0 7245 0 195104 0 0 0 RALPH L PEARSON 244487 0 0 0 10756 0 20000 0 27906 0 303149 0 0 0 JOHN P PLANTE 221227 0 0 0 6348 0 17333 0 52847 0 297755 0 0 0 STEPHEN A SCHILLOEXIT 1-11-13 290343 0 0 0 9333 0 20000 0 24004 0 343680 0 0 0 DAVID P GROUSOSKY 160446 0 0 0 0 0 12917 0 12275 0 185638 0 0 0 JDOUGLAS BRICKER 218297 0 0 0 0 0 17489 0 12285 0 248071 0 0 0 GREGORY H FRAZER 163138 0 0 0 7162 0 13667 0 26797 0 210764 0 0 0 ALAN R MICIAK 221194 0 0 0 0 0 17965 0 21169 0 260328 0 0 0 JAMES C SWINDAL 156251 0 0 0 11328 0 12942 0 23506 0 204027 0 0 0 ALEEM GANGJEE 343339 0 0 0 3564 0 17781 0 14267 0 378951 0 0 0 JOHN E MURRAY 383624 0 0 0 9250 0 24325 0 11819 0 429018 0 0 0 JAMES A FERRY 432446 0 0 0 7589 0 16915 0 13614 0 470564 0 0 0 KELLEN MCCLENDON ESQ 412527 0 0 0 1524 0 6758 0 6554 0 427363 0 0 0 THOMAS A POLLACK 295541 0 0 0 584 0 7252 0 5455 0 308832 0 0 0 KENNETH G GORMLEY FORMER KEY EMPLOY 215423 0 0 0 387 0 17795 0 68366 0 301971 0 0 0 DAVID W SEYBERT-FORMER KEY EMPLOYEE 150950 0 0 0 2571 0 14303 0 53959 0 221783 0 0 0 SUPPLEMENTAL INFORMATION PART III PART I, LINE 4A: KELLEN MCCLENDON- EMPLOYEE RECEIVED A $330,000 PAYMENT UNDER A CONFIDENTIAL SETTLEMENT AGREEMENT AND GENERAL RELEASE. A (1)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RXXX 2004-03-31 30020970 SEE PART V 0 0 0 B (2)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RDC0 2005-12-02 35714716 SEE PART V 0 0 0 C (4)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728REN8 2007-08-23 15073128 SEE PART V 0 0 0 D (5)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RFL8 2008-06-19 30780280 SEE PART V 0 0 0 A 26825000 30075410 1118464 28956946 2004 0 0 1 1 B 2940000 36697321 767618 19157453 16772250 2007 1 0 1 1 C 5000000 15347821 373166 26962 14947693 2008 1 0 1 1 D 8475000 30780280 244023 7874 4461383 26067000 2008 0 0 1 1 A 0 1 1 1 0 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 0 0.00000 0.00000 0.00000 0 0 1 D 0 1 1 1 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 C 0 0 1 0 0 0 0 0 1 D 0 0 1 0 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K, SUPPLEMENTAL INFORMATION: BOND (1)- DORMITORY ACQUISITION & CAPITAL PROJECTS BOND (2) - CONSTRUCTION OF ATHLETIC/RECREATION COMPLEX & PEDESTRIAN BRIDGE & MISCELLANEOUS CAPITAL PROJECTS & RENOVATIONS AND REFUNDING OF 1996 BOND ESCROW BOND (4) - CAPITAL PROJECTS/RENOVATIONS BOND (5) - ACQUISTION OF BUILDING AND REFUNDING OF 2003 BOND ESCROW, 2005 C BOND ESCROW & 2007 B BOND ESCROW BOND (6) - CAPITAL PROJECTS BOND (7) - CAPITAL PROJECTS PART V - THE UNIVERSITY DEVELOPED WRITTEN PROCEDURES REGARDING THE BOND POST ISSUANCE COMPLIANCE POLICY. THESE PROCEDURES WERE ADOPTED ON FEBRUARY 15, 2013. PART II, LINE 3, ENTITY 1, COLUMNS A,B,C AND ENTITY 2, COLUMN A- THE DIFFERENCE BETWEEN ISSUE PRICE FROM PART I COLUMN E AND THE TOTAL PROCEEDS SHOWN IN PART II IS INVESTMENTS EARNINGS WHICH ARE INCLUDED IN PART II. A (6)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RHG7 2011-02-10 53203859 SEE PART V 0 0 0 B (7)ALLEGHENY COUNTY HIGHER EDUC BUILD AUTH 251425398 01728RKC2 2013-03-19 43044915 SEE PART V 0 0 0 A 15000 53427667 1975452 403026 51046332 2857 2012 0 0 0 1 B 43046317 25835984 335654 12035166 4839513 2014 0 1 0 1 A 0 1 1 1 0 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 0 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 A 1 B 1 12000 MERIT BASED AWARD SCHOLARSHIP UPMC HEALTH PLANINSURANCE BUS RELATIONSHIP - SEE DESCRIPTION OF TRANSACTION 4406628 HEALTH SRVCS - S. LAMMIE, DUQUESNE UNIVERSITY BOARD MEMBER AND CFO, UPMC HEALTH PLAN / V.P., INSURANCE DIVISION. TRANSACTIONS WITH UPMC HEALTH PLAN INCLUDED: HEALTH BENEFITS PLAN (DU-SELF INSURED) CLAIM PAYMENTS TO ALL UPMC HEALTH FACILITIES. 0 FEDERATED INVESTORS INC BUS RELATIONSHIP - SEE DESCRIPTION OF TRANSACTION 113879 FINANCIAL ADVISEMENT COMPANY - J. MCGONIGLE, DUQUESNE UNIVERISTY BOARD MEMBER AND DIRECTOR / OFFICER / SHAREHOLDER, FEDERATED INVESTORS. 0 BANK OF AMERICA MERRILL LYNCH BUS RELATIONSHIP - SEE DESCRIPTION OF TRANSACTION 138376 BANK OF AMERICA MERRILL LYNCH - HELENE L. NORBUT IS A SENIOR VICE PRESIDENT OF THE BANK OF AMERICA MERRILL LYNCH. DUQUESNE PAID A $138,376 UNDERWRITER FEE AT THE ISSUANCE OF ITS 2013 BOND TO BANK OF AMERICA MERRILL LYNCH. 0 X 36 831429 FMV 0 1 1 NON REPORTING OF REVENUE: PART I, LINE 33: DONATED STOCK IS SOLD UPON RECEIPT. FORM 990, PART VI, SECTION A, LINE 6 DUQUESNE UNIVERSITY IS A PENNSYLVANIA NONPROFIT CORPORATION RECOGNIZED AS AN IRC SECTION 501(C)(3) ORGANIZATION. AS PER THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, IT SHALL HAVE MEMBERS. THE MEMBERS OF THE UNIVERSITY SHALL BE THE PROVINCIAL SUPERIOR, THE MEMBERS OF THE PROVINCIAL COUNCIL, AND SUCH OTHER VOWED MEMBERS OF THE CONGREGATION OF THE HOLY SPIRT PROVINCE OF THE UNITED STATES AS ARE APPOINTED BY THE PROVINCIAL SUPERIOR WITH THE CONSENT OF THE PROVINCIAL COUNCIL SO THAT THERE ARE AT ALL TIMES SIX MEMBERS BUT NO MORE THAN 10 MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A PURSUANT TO THE UNIVERSITY'S ARTICLES, THE BOARD OF DIRECTORS SHALL BE ELECTED ANNUALLY BY THE MEMBERS (AS DEFINED ABOVE). IN ADDITION, THERE ARE SEVEN EX-OFFICIO VOTING MEMBERS OF THE BOARD: THE PRESIDENT OF THE UNIVERSITY, THE VICAR/DIRECTOR OF THE ROMAN CATHOLIC DIOCESE OF PITTSBURGH, PA, THE CHAIRMAN, VICE-CHAIRMAN AND SECRETARY OF THE MEMBERS, THE VP FOR MISSION & IDENTITY AT THE UNIVERSITY AND THE PRESIDENT OF THE DUQUESNE UNIVERSITY ALUMNI ASSOCIATION. FORM 990, PART VI, SECTION A, LINE 7B CERTAIN POWERS ARE RESERVED TO THE MEMBERS INCLUDING BUT NOT LIMITED TO, ELECTION AND REMOVAL OF ANY INDIVIDUAL MEMBER OF THE BOARD OF DIRECTORS, THE RIGHT TO AMEND, ALTER, MODIFY OR REPEAL GOVERNING DOCUMENTS, APPROVE CERTAIN TRANSACTIONS AS SET FORTH IN THE BYLAWS, ISSUE STATEMENTS OF POLICY REGARDING PHILOSOPHY AND MISSION, APPROVE APPOINTMENT OF THE UNIVERSITY PRESIDENT AND CONFIRM OFFICER ELECTIONS, AND APPROVE EMPLOYMENT CONTRACTS OF UNIVERSITY OFFICERS. FORM 990, PART VI, SECTION B, LINE 11 THE DRAFT FORM 990, 990-T AND REQUIRED SCHEDULES ARE REVIEWED WITH THE ORGANIZATION'S INTERNAL MANAGEMENT AS WELL AS THE AUDIT AND FINANCE COMMITTEE. UPON COMPLETION OF THIS REVIEW, THE FORMS ARE FINALIZED AND A COMPLETE COPY IS PROVIDED TO THE BOARD OF DIRECTORS VIA AN INTRANET SITE IN ADVANCE OF FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, A CONFLICT OF INTEREST FORM IS GIVEN TO EMPLOYEES OF THE UNIVERSITY AND TO THE BOARD OF DIRECTORS INCLUDING THE CORPORATION MEMBERS, OFFICERS, HIGHEST PAID AND KEY EMPLOYEES. ALL MUST COMPLETE THIS FORM. THIS CONFLICT OF INTEREST FORM HAS BEEN ENHANCED TO INCLUDE MORE DETAILED QUESTIONS RELATING TO THE 2012 FORM 990, TO REQUEST INFORMATION REQUIRED BY THE FORM. FORM 990, PART VI, SECTION B, LINE 15A COMPENSATION OF THE PRESIDENT IS DETERMINED BY THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS. COMPENSATION OF OTHER OFFICERS IS DETERMINED BY THE PRESIDENT OF THE UNIVERSITY AND REVIEWED WITH CHAIRPERSON OF THE BOARD. COMPENSATION OF KEY EMPLOYEES: THE OFFICE OF HUMAN RESOURCES DEVELOPS AND MAINTAINS A WAGE AND SALARY PROGRAM TO ENSURE FAIR AND EQUITABLE COMPENSATION FOR ADMINISTRATIVE, PROFESSIONAL, AND CLERICAL STAFF OF THE UNIVERSITY. THE PLAN ESTABLISHES PAY RANGES FOR POSITIONS TO ESTABLISH INTERNAL EQUITY, AND ALSO USES SURVEYS OF LOCAL AND NATIONAL INSTITUTIONS, WHICH MAINTAIN SIMILAR OR COMPARABLE EMPLOYMENT SITUATIONS. THE DOCUMENTED RANGES ARE REVIEWED PERIODICALLY AND MODIFIED ACCORDINGLY. FACULTY SALARIES ARE SET BY THE DEAN IN CONSULTATION WITH THE PROVOST AND ARE BASED UPON RELEVANT MARKET AND DISCIPLINE BASED SURVEYS. FORM 990, PART VI, SECTION C, LINE 19 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT MAKES ITS GOVERNANCE DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENT AVAILABLE TO THE PUBLIC UPON REQUEST. PART VIII LINE 10, SALES OF INVENTORY: THE CENTER FOR PHARMACY SERVICES PROVIDES SERVICES TO DUQUESNE STUDENTS, EMPLOYEES AS WELL AS THE PITTSBURGH COMMUNITY. (THERE WERE 1531 RECIPIENTS OF PHARMACY SERVICES WHO RECEIVED 34,608 PRESCRIPTIONS). THIS ACTIVITY IS INCLUDED IN LINE 10 IN THE STATEMENT OF REVENUE. THE RED RING RESTAURANT PROVIDES SERVICES TO THE DUQUESNE CAMPUS; THESE REVENUES WERE INCLUDED IN LINE 10. THE COMPUTER STORE PROVIDES SERVICES TO THE DUQUESNE CAMPUS; THESE REVENUES WERE INCLUDED IN LINE 10. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: NET SPECIAL EVENT HELD IN AGENCY FUND LIABILITY -40,051. ROUNDING -2. FORM 990, PART XII, LINE 2C, OVERSIGHT OF FINANCIAL AUDIT: DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FINANCIAL STATEMENTS ARE AUDITED BY AN INDEPENDENT ACCOUNTING FIRM. IN ADDITION, DUQUESNE UNIVERSITY OF THE HOLY SPIRIT HAS A COMMITTEE THAT ASSUMES THE RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND ITS SELECTION OF THE INDEPENDENT ACCOUNTING FIRM. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. PART VI 1A THE EXECUTIVE COMMITTEE SHALL HAVE THE POWER TO TRANSACT ALL REGULAR BUSINESS OF THE UNIVERSITY BETWEEN MEETINGS OF THE BOARD. ALL MATTERS OF MAJOR IMPORTANCE WILL BE REPORTED TO THE BOARD. THE EXECUTIVE COMMITTEE SHALL MEET AS NECESSARY. EASTERN CONGREGATION OF THE HOLY SPIRIT PROVINCE OF THE UNITED STATES 6230 BRUSH RUN ROAD BETHEL PARK PA 151022214 RELIGIOUS CONGREGATION PA 501(C)(3) 170(B)(1)(A)(I) N/A 0 THE DIETRICH FOUNDATION 600 GRANT STREET SUITE 5360 PITTSBURGH PA 15219 364711746 TO SUPPORT FUNCTIONS OF & CARRY OUT THE PURPOSES OF DUQUESNE PA 501(C)(3) 509(A)(3) N/A 0 DUQUESNE UNIVERSITY SCHOOL OF BUSINESS ALUMNI ASSOCIATION 600 FORBES AVE SCH OF BUSINESS PITTSBURGH PA 15282 251661703 TO SUPPORT SCHOOL OF BUSINESS THROUGH RELATIONSHIPS WITH ALUMNI PA 501(C)(3) 170(B)(1)(A)(VI) N/A 0 CHARITABLE REMAINDER TRUST 2517 SUMMIT STREET BETHEL PARK PA 15102 CHARITABLE REMAINDER TRUST PA N/A T 1.00000 0 CHARITABLE FOUNDATION 1300 CHAPLINE STREET WHEELING WV 26003 272498681 PROVIDE SUPPORT DUQUESNE UNIVERSITY SCHOOL OF EDUCATION WITH SCHOLARSHIPS PA N/A T 4074 0 CHARITABLE FOUNDATION C/O PNC BANK 620 LIBERTY AVE PITTSBURGH PA 15222 256285631 ENDOW A CHAIR IN BUSINESS LAW AT DUQUESNE UNIVERSITY PA N/A T 10732 0 0 0 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0