2014-05-14T09:53:34-05:00 2013-06-30 990 2012-07-01 042103580 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PRES 6174957792 1033 MASSACHUSETTS AVENUE THIRD FLOOR CAMBRIDGE MA 02138 MAUREEN H FORRESTER 6174957792 2014-05-12 2012 2015-11-30 17:44:51Z DREW G FAUST MASSACHUSETTS HALL CAMBRIDGE MA 02138 83181439574 0 X WWW.HARVARD.EDU X 1650 MA SEE SCHEDULE O 12 9 34635 23000 28042614 0 1543769248 1856072877 1370131168 1418109927 1073942365 2502972318 66656701 63194335 4054499482 5840349457 640715440 651074543 0 0 1901264720 1980054394 309785 324568 150495775 1818986927 1950459770 4361276872 4581913275 -306777390 1258436182 56370683000 72763619000 20893292000 35024442000 35477391000 37739177000 UNDERGRADUATE, GRADUATE, AND PROFESSIONAL EDUCATION AND RESEARCH ACROSS A BROAD ARRAY OF ACADEMIC DOMAINS. 0 0 3303194363 651074543 1100196682 INSTRUCTION AND RESEARCHHARVARD UNIVERSITY CONSISTS OF ONE UNDERGRADUATE COLLEGE ANDELEVEN GRADUATE AND PROFESSIONAL SCHOOLS.HARVARD ENROLLMENT: 21,330 DEGREE CANDIDATES 666538000 317913245 STUDENT LIFE AND AUXILIARY SERVICESREPRESENTS VARIOUS STUDENT SERVICES DEPARTMENTS, INCLUDING FACILITIES MAINTENANCE, FOOD SERVICES, DORMITORIES, HEALTH SERVICES,COMPUTER CENTER, PARKING, SECURITY, ETC. 3969732363 1 1 0 1 0 1 0 1 1 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 1 0 0 0 0 1 0 0 1 1 1 1 0 0 1 1 1 1 1 0 1 X 9378 0 1 34635 1 1 1 1 AR AS BD BR CA CJ CI CH EC FR GM IN JE LG LU MP NL NZ NU PM PE RO SF UK UY 0 0 0 1 1 1 34 0 0 0 0 0 0 X 12 9 0 0 0 0 0 0 1 1 1 0 0 1 1 1 1 1 1 1 1 0 MA IL CA X OFFICE OF THE CONTROLLER HARVARD UNIVERSITY 6174957792 1033 MASSACHUSETTS AVENUE 3RD FLOOR CAMBRIDGE MA 02138 X LAWRENCE S BACOW 10.00 1.00 X 19999 0 789 PAUL J FINNEGAN 5.00 1.00 X 0 0 0 SUSAN L GRAHAM 5.00 1.00 X 0 0 0 NANNERL O KEOHANE 5.00 1.00 X 2000 0 0 PATRICIA A KING 5.00 1.00 X 0 0 0 WILLIAM F LEE 5.00 1.00 X 0 0 0 JESSICA T MATHEWS 5.00 1.00 X 0 0 0 JOSEPH J O'DONNELL 5.00 1.00 X 0 0 0 ROBERT D REISCHAUER 5.00 1.00 X 0 0 0 ROBERT E RUBIN 5.00 1.00 X 0 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HYMAN 60.00 X 454185 0 43231 A CLAYTON SPENCER 0.00 X 183204 0 21539 11545364 0 1497312 3232 1 1 0 SKANSKA USA BUILDING INC 253 SUMMER STREET BOSTON MA 02210 CONTRACTOR 75507944 BOND BROTHERS INC 145 SPRING STREET EVERETT MA 02149 CONTRACTOR 47926721 SHAWMUT DESIGN AND CONSTRUCTION 560 HARRISON AVENUE BOSTON MA 02118 CONTRACTOR 40128295 BRIGHAM AND WOMEN'S HOSPITAL 75 FRANCIS STREET BOSTON MA 02115 RESEARCH SUBCONTRACTOR 39902923 UGL SERVICES UNICCO OPERATIONS CO 275 GROVE STREET AUBURNDALE MA 02466 MAINTENANCE 34493583 1300 1696992 60250 653371756 1200943879 147685233 1856072877 STUDENT TUITION, R&B, 900099 1180290988 1180290988 AUXILIARY HEALTH SERVI 621400 50671268 50671268 STUDENT/EMPLOYEE SERVI 611710 42323272 5469328 36853944 PUBLICATIONS 511130 35088539 34993045 95494 LAB AND OTHER SERVICES 541900 31674692 29340588 2334104 78061168 33460213 20289907 24311048 1418109927 313971629 -146219 314117848 -268061 -268061 35211657 35211657 71128876 43109579 28019297 28019297 28019297 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BOOKS/PUBLICATIONS 37329767 36838377 314580 176810 PUBLISHING 25345879 20926541 1183299 3236039 TAXES AND FEES 12730610 10371131 1562797 796682 40446470 7813464 22640784 9992222 4581913275 3969732363 461685137 150495775 X 126046000 17620000 5008000 10033000 978202000 1323401000 86428000 58595000 3424000 3929000 359919000 361553000 9861000 8672000 150502000 138085000 9152620000 3604861000 5452157000 5547759000 23718086000 31994262000 17004497000 17044319000 8476553000 16255391000 56370683000 72763619000 424582000 446037000 147094000 165974000 3520720000 3317255000 2518419000 2370752000 14282477000 28724424000 20893292000 35024442000 X 8140394000 8154128000 21276828000 23132078000 6060169000 6452971000 35477391000 37739177000 56370683000 72763619000 X 1258436182 1343464693 -340114875 X 0 1 X 1 1 1 X SCHEDULE A, PART IV, SUPPLEMENTAL INFORMATION: PRESIDENT AND FELLOWS OF HARVARD COLLEGE MEETS THE 33 1/3% PUBLIC SUPPORT TEST. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 1 0 1 200 1 38131 1 192615 1 196469 0 1 427415 0 PART IV, SUPPLEMENTAL INFORMATION: SCHEDULE C, PART I-A AND PART I-B: THE UNIVERSITY DOES NOT ENGAGE IN DIRECT OR INDIRECT POLITICAL CAMPAIGN ACTIVITIES ON BEHALF OF OR IN OPPOSITION TO CANDIDATES FOR PUBLIC OFFICE. THEREFORE, THE UNIVERSITY DOES NOT INCUR ANY EXCISE TAX IMPOSED UNDER SECTION 4955 REPORTABLE ON IRS FORM 4720, RETURN OF CERTAIN EXCISE TAXES UNDER CHAPTERS 41 AND 42 OF THE INTERNAL REVENUE CODE. SCHEDULE C, PART II-B, LOBBYING ACTIVITY: THE UNIVERSITY ENGAGED IN LOBBYING ACTIVITIES BUT DID NOT MAKE A SECTION 501(H) LOBBYING EXPENDITURE ELECTION BY FILING FORM 5768. THE UNIVERSITY HAS ENGAGED IN DIRECT INTERACTION WITH LEGISLATORS AND STAFF BY TELEPHONE, EMAIL, DIRECT MAIL AND IN PERSON. LOBBYING DISCLOSURES FOR FORM 990 JULY 1, 2012 THROUGH JUNE 30, 2013: ISSUES LOBBIED AT THE FEDERAL LEVEL INCLUDE: ISSUES RELATED TO EXPANSION AND SIMPLIFICATION OF THE TUITION TAX CREDITS AND DEDUCTIONS, EXTENSION OF IRA CHARITABLE ROLL-OVER PROVISION AND RELATED CHARITABLE GIVING INCENTIVES ISSUES REGARDING TAX ADMINISTRATION, EMPLOYEE BENEFITS AND HEALTH CARE REFORM ISSUES RELATED TO COLLEGE AND UNIVERSITY ENDOWMENTS BUDGET AND APPROPRIATIONS FOR STUDENT FINANCIAL AID, RESEARCH IN NIH, NSF, DOD, DOE, NASA, EPA, HUD, TRANSPORTATION, INTERIOR, HEALTH PROFESSIONS, HUMANITIES AND ARTS ENDOWMENTS IMMIGRATION LEGISLATION AND STUDENT VISA ISSUES STUDENT LENDING ISSUES, COLLEGE COST, ACCOUNTABILITY, GRADUATE EDUCATION, INTERNATIONAL EDUCATION, HIGHER EDUCATION ACT REAUTHORIZATION AND VETERANS AND MILITARY EDUCATION ISSUES LEGISLATION CONCERNING EDUCATION AND THE INTERNET, COMMUNITY SERVICE BY STUDENTS, EDUCATIONAL DATA AND ANALYSIS, AND MUSEUM AND HUMANITIES ISSUES LEGISLATION RELATING TO RESEARCH AND CLEAN ENERGY ISSUES ISSUES LOBBIED FOR THE STATE OF MASSACHUSETTS: ISSUES RELATED TO TAX POLICY REGARDING NON-PROFITS ISSUES RELATED TO PRIVATE HIGHER EDUCATION ENDOWMENT FUNDS ISSUES RELATED TO MUNICIPAL RELIEF FUNDS ISSUES RELATED TO REPORTING REQUIREMENTS FOR NON-PROFITS ISSUES RELATED TO EDUCATION REFORM SCHEDULE C, PART II-B, LINE I, OTHER ACTIVITIES: THE UNIVERSITY PAYS MEMBERSHIP DUES TO MEMBER ORGANIZATIONS WHICH MAY ENGAGE IN LOBBYING ACTIVITIES. THEREFORE, A PORTION OF THE DUES MAY BE ATTRIBUTABLE TO LOBBYING ACTIVITIES. 36 5585567 14077223 169803149 1 1 X X X X 0 1 0 8945755 8945755 0 0 29733245000 320079000 3159164000 242576000 1168178000 173962000 31627772000 30974930000 305850000 708000 239374000 1172548000 136321000 29733245000 26768706000 223000000 5374404000 216754000 1035938000 138488000 30974930000 25279430000 284812000 3312945000 215812000 1751538000 141131000 26768706000 35854269000 239625000 -9227682000 234855000 1131073000 220854000 25279430000 0.25000 0.18000 0.57000 1 1 1 535670000 535670000 6605931000 2844904000 3761027000 144658000 144658000 1015481000 759957000 255524000 11151000 839729000 850880000 5547759000 PRIVATE EQUITIES 7271042000 F REAL ASSETS 9773277000 F 17044319000 COLLATERAL-SEC BORROWG AGRMTS 12825161000 OTHER INVESTMENTS 3078161000 INT. IN TRUSTS HELD BY OTHERS 352069000 16255391000 DEPOSITS AND OTHER LIABILITIES 289543000 SECURITIES LENDING AND OTHER INVESTMENT LIABILITIES 26895350000 LIABILITIES DUE UNDER SPLIT INTEREST AGREEMENTS 717325000 ACCRUED RETIREMENT OBLIGATIONS 753957000 GOVERNMENT LOAN ADVANCES 68249000 28724424000 PART III, LINE 1A: PART III, LINE 1A: THE UNIVERSITY'S VAST ARRAY OF MUSEUMS AND LIBRARIES HOUSES PRICELESS WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS, AND ARTIFACTS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE. THEY ARE NEITHER DISPOSED OF FOR FINANCIAL GAIN NOR ENCUMBERED IN ANY MANNER. ACCORDINGLY, SUCH COLLECTIONS ARE NOT RECORDED FOR FINANCIAL STATEMENT PURPOSES. PART III, LINE 4: PART III, LINE 4: HARVARD ART MUSEUMS: THE HARVARD ART MUSEUMS ARE THREE MUSEUMS (FOGG MUSEUM, BUSCH-REISINGER MUSEUM, ARTHUR M. SACKLER MUSEUM) AND FOUR RESEARCH CENTERS (STRAUS CENTER FOR CONSERVATION AND TECHNICAL STUDIES, CENTER FOR THE TECHNICAL STUDY OF MODERN ART, HARVARD ART MUSEUM ARCHIVES, ARCHAEOLOGICAL EXPLORATION OF SARDIS, TURKEY). THE HARVARD ART MUSEUMS' COLLECTION CONSISTS OF MORE THAN 250,000 OBJECTS IN ALL MEDIA, RANGING IN DATE FROM ANTIQUITY TO THE PRESENT, AND COMING FROM EUROPE, NORTH AMERICA, NORTH AFRICA, THE MIDDLE EAST, SOUTH ASIA, EAST ASIA, AND SOUTHEAST ASIA. THE HARVARD MUSEUMS' ART COLLECTION IS AN IMPORTANT RESOURCE FOR THE HARVARD UNIVERSITY COMMUNITY, AS WELL AS TO A BROADER AUDIENCE OF STUDENTS, SCHOLARS, AND THE GENERAL PUBLIC. THE COLLECTION IS USED TO ADVANCE THE KNOWLEDGE AND APPRECIATION OF ART AND ART MUSEUMS THROUGH PROGRAMS INVOLVING RESEARCH, TEACHING, PROFESSIONAL TRAINING, AND PUBLIC EDUCATION. ARNOLD ARBORETUM: THE ARNOLD ARBORETUM OF HARVARD UNIVERSITY IS THE OLDEST PUBLIC ARBORETUM IN NORTH AMERICA AND ONE OF THE WORLD'S LEADING CENTERS FOR THE STUDY OF PLANTS. ADMINISTERED BY THE OFFICE OF THE PROVOST OF HARVARD UNIVERSITY AND A LINK IN BOSTON'S EMERALD NECKLACE OF PARKS, THE ARNOLD ARBORETUM IS A UNIQUE BLEND OF RESPECTED RESEARCH INSTITUTION AND BELOVED PUBLIC LANDSCAPE. WE PROVIDE AND SUPPORT WORLD-CLASS RESEARCH, HORTICULTURE, AND EDUCATION PROGRAMS THAT FOSTER THE UNDERSTANDING, APPRECIATION, AND PRESERVATION OF TREES. COLLECTION OF HISTORICAL SCIENTIFIC INSTRUMENTS: HARVARD UNIVERSITY HAS BEEN ACQUIRING SCIENTIFIC INSTRUMENTS ON A CONTINUOUS BASIS FOR TEACHING AND RESEARCH SINCE 1672. THE COLLECTION OF HISTORICAL SCIENTIFIC INSTRUMENTS, WHICH WAS ESTABLISHED IN 1948 TO PRESERVE THIS APPARATUS AS A RESOURCE FOR TEACHING AND RESEARCH IN THE HISTORY OF SCIENCE AND TECHNOLOGY, HAS BECOME ONE OF THE THREE LARGEST UNIVERSITY COLLECTIONS OF ITS KIND IN THE WORLD. THE COLLECTION CONTAINS OVER 20,000 OBJECTS DATING FROM ABOUT 1400 TO THE PRESENT. A BROAD RANGE OF SCIENTIFIC DISCIPLINES ARE REPRESENTED, INCLUDING ASTRONOMY, NAVIGATION, HOROLOGY, SURVEYING, GEOLOGY, CALCULATING, PHYSICS, BIOLOGY,MEDICINE, PSYCHOLOGY, ELECTRICITY, AND COMMUNICATION. SIGNIFICANT INSTRUMENTS, MADE OBSOLETE BY NEW TECHNOLOGIES, CONTINUE TO BE INCORPORATED. MANY OF THE DOCUMENTS DETAILING THE PURCHASE AND USE OF THE INSTRUMENTS HAVE BEEN PRESERVED, AND ARE AVAILABLE FOR RESEARCH IN THE COLLECTION'S ADJUNCT LIBRARY. MUSEUM OF COMPARATIVE ZOOLOGY (WITHIN THE MUSEUM OF NATURAL HISTORY): THE MUSEUM OF COMPARATIVE ZOOLOGY (THE MCZ) WAS FOUNDED IN 1859 ON THE CONCEPT THAT COLLECTIONS ARE AN INTEGRAL AND FUNDAMENTAL COMPONENT OF ZOOLOGICAL RESEARCH AND TEACHING. THIS 150-YEAR-OLD COMMITMENT REMAINS A STRONG AND PROUD TRADITION FOR THE MCZ. THE PRESENT-DAY MCZ CONTAINS OVER 21-MILLION SPECIMENS IN TEN RESEARCH COLLECTIONS WHICH COMPRISE ONE OF THE WORLD'S RICHEST AND MOST VARIED RESOURCES FOR STUDYING THE DIVERSITY OF LIFE. THE MUSEUM SERVES AS THE PRIMARY REPOSITORY FOR ZOOLOGICAL SPECIMENS COLLECTED BY PAST AND PRESENT HARVARD FACULTY-CURATORS, STAFF AND ASSOCIATES CONDUCTING RESEARCH AROUND THE WORLD. AS A PREMIER UNIVERSITY MUSEUM AND RESEARCH INSTITUTION, THE SPECIMENS AND THEIR RELATED DATA ARE AVAILABLE TO RESEARCHERS OF THE SCIENTIFIC AND MUSEUM COMMUNITY. USE OF THE COLLECTIONS IN STUDENT RESEARCH, WHETHER AS THESIS WORK OR INDEPENDENT STUDY, IS ALSO ENCOURAGED. FISHER MUSEUM HARVARD FOREST: THE FISHER MUSEUM'S MAIN EXHIBIT DISPLAYS TWENTY-THREE INTERNATIONALLY ACCLAIMED MODELS (DIORAMAS) PORTRAYING THE HISTORY, CONSERVATION AND MANAGEMENT OF CENTRAL NEW ENGLAND FORESTS. OTHER EXHIBITS AT THE MUSEUM REPRESENT THE RANGE OF HARVARD FOREST'S RESEARCH. HARVARD UNIVERSITY HERBARIA (WITHIN MUSEUM OF NATURAL HISTORY): THE HARVARD UNIVERSITY HERBARIA ARE AMONG SOME SEVERAL THOUSAND COLLECTIONS OF PRESSED, DRIED PLANT SPECIMENS WORLDWIDE THAT ARE USED BY RESEARCHERS TO FURTHER OUR UNDERSTANDING OF THE PLANT WORLD. SOME OF THE EARLIEST HERBARIA WERE FOUNDED IN EUROPE IN THE EARLY 1600'S, DURING THE DAYS OF EXPLORATION, WHEN KNOWLEDGE OF THE EARTH'S FLORA WAS GROWING AT SUCH A RAPID PACE THAT BOTANICAL GARDENS COULD NO LONGER MAINTAIN LIVING EXAMPLES OF EVERY KNOWN SPECIES. WHILE HERBARIUM COLLECTIONS OF ALL SIZES EXIST TODAY, THERE ARE FEWER THAN 75 HERBARIA WORLDWIDE WITH MORE THAN ONE MILLION SPECIMENS. HERBARIUM COLLECTIONS HAVE BEEN BUILT UP OVER THE YEARS BY THE EFFORTS OF NUMEROUS BOTANISTS AND PLANT COLLECTORS WHO HAVE SEARCHED FROM REMOTE AND ISOLATED JUNGLES TO INNER CITY WASTE LOTS AND RAILROAD TRACKS TO DOCUMENT THE DIVERSITY AND DISTRIBUTION OF THE EARTH'S FLORA. REPRESENTATIVES OF MOST KNOWN SPECIES OF PLANTS CAN BE FOUND IN HERBARIA TODAY, CAREFULLY MOUNTED ON SHEETS OF ARCHIVAL QUALITY PAPER, LABELED WITH IMPORTANT INFORMATION ABOUT THEM, AND STORED ON SHELVES IN CABINETS. IN ESSENCE, A HERBARIUM IS ANALOGOUS TO A LIBRARY OF CAREFULLY PRESERVED PLANTS WHERE THE SPECIMENS THEMSELVES AND THE LABELS ASSOCIATED WITH THEM PROVIDE A WEALTH OF INFORMATION ONCE THEY HAVE BEEN "READ" AND STUDIED BY SCIENTISTS. THE SPECIMENS ARE THE KEY TO UNDERSTANDING PLANT RELATIONSHIPS,GEOGRAPHIC DISTRIBUTIONS, ECONOMIC USEFULNESS, EVEN THEIR MOLECULAR MAKEUP. AS WE LOSE NATURAL HABITATS THE WORLD OVER, HERBARIA INCREASINGLY SERVE AS A RECORD OF THE RECENT HISTORY OF PLANT LIFE, AND AS A REPOSITORY OF PRECIOUS GENETIC INFORMATION. HERBARIA HOLD THE TOOLS FOR OUR UNDERSTANDING OF THE PLANT WORLD. MINERALOGICAL AND GEOLOGICAL MUSEUM (WITHIN MUSEUM OF NATURAL HISTORY): THE HARVARD MINERAL COLLECTION RANKS AMONG THE WORLD'S FINEST DUE TO ITS VERY BROAD REPRESENTATION, WEALTH OF RARE SPECIES, LARGE NUMBER OF SPECIMENS DESCRIBED IN THE SCIENTIFIC LITERATURE, AND THE QUALITY OF ITS DISPLAY SPECIMENS. A RICH SYSTEMATIC MINERAL COLLECTION AND DISPLAYS OF GEMSTONES ARE THE PRINCIPAL EXHIBITS IN THE MINERAL GALLERY. THE MUSEUM IS COMMITTED TO THE DEVELOPMENT AND PRESERVATION OF WORLD-CLASS COLLECTIONS OF MINERALS, GEMS, ROCKS, ORES, AND METEORITES FOR RESEARCH, EDUCATION, AND PUBLIC DISPLAY. ITS EARLIEST COLLECTIONS DATE BACK TO THE LATE 18TH CENTURY. THE MUSEUM CATERS TO THE NEEDS OF STUDENTS AND FACULTY AT HARVARD UNIVERSITY AS WELL THE GEOLOGICAL COMMUNITY AT LARGE BY SERVING AS A UNIQUELY RICH RESOURCE OF MATERIALS AND INFORMATION. PEABODY MUSEUM OF ARCHAEOLOGY AND ETHNOLOGY: THE PEABODY MUSEUM OF ARCHAEOLOGY AND ETHNOLOGY IS STEWARD TO ONE OF THE OLDEST AND LARGEST COLLECTIONS OF CULTURAL OBJECTS IN THE WESTERN HEMISPHERE. SINCE THE LATE NINETEENTH CENTURY, THE MUSEUM HAS PLAYED AN ACTIVE PART IN THE HISTORY OF AMERICAN ANTHROPOLOGY AND IN THE EVOLVING RELATIONSHIP BETWEEN MUSEUMS AND NATIVE PEOPLES. AS A UNIVERSITY MUSEUM SITUATED IN AN ACADEMIC AND REGIONAL COMMUNITY CENTRAL TO THE DEVELOPMENT AND THE STUDY OF AMERICAN CIVIC CULTURE, THE PEABODY STRIVES TO MAKE COLLECTIONS WIDELY ACCESSIBLE AND ENGAGE ISSUES OF CONCERN TO DIVERSE AUDIENCES. TODAY, THE PEABODY HOUSES MORE THAN SIX MILLION INDIVIDUAL OBJECTS, 500,000 PHOTOGRAPHIC IMAGES, AND SUBSTANTIAL ARCHIVAL RECORDS. STRONGEST IN THE CULTURES OF NORTH, CENTRAL, AND SOUTH AMERICA, AND THE PACIFIC ISLANDS, THE PEABODY IS ALSO CARETAKER TO IMPORTANT COLLECTIONS FROM AFRICA, EUROPE, AND ASIA. COLLECTION TYPES INCLUDE ARCHAEOLOGY; ETHNOGRAPHY; OSTEOLOGY; AND PAINTING, DRAWING, AND PRINTS. SEMITIC MUSEUM: THE SEMITIC MUSEUM IS HOME TO THE UNIVERSITY'S COLLECTIONS OF NEAR EASTERN ARCHAEOLOGICAL ARTIFACTS. THESE ARTIFACTS COMPRISE OVER 40,000 ITEMS, INCLUDING POTTERY, CYLINDER SEALS, SCULPTURE, COINS AND CUNEIFORM TABLETS. MANY ARE FROM MUSEUM-SPONSORED EXCAVATIONS IN ISRAEL, JORDAN, IRAQ, EGYPT, CYPRUS, AND TUNISIA. THE MUSEUM IS DEDICATED TO THE USE OF THESE COLLECTIONS FOR THE TEACHING, RESEARCH, AND PUBLICATION OF NEAR EASTERN ARCHAEOLOGY, HISTORY, AND CULTURE. WARREN ANATOMICAL MUSEUM: THE WARREN ANATOMICAL MUSEUM'S PRESENT COLLECTION CONTAINS APPROXIMATELY 15,000 ARTIFACTS AND CASES INCLUDING: ANATOMICAL AND PATHOLOGICAL PREPARATIONS; VARIOUS WAX, PAPER MACHE, AND DRY PREPARATION ANATOMICAL MODELS; PHOTOGRAPHS, PRINTS, PAINTINGS, AND DRAWINGS; MEDICAL INSTRUMENTS AND MACHINES; AND OTHER MEDICAL MEMORABILIA. ALONG WITH THE WELL-KNOWN SKULL OF PHINEAS GAGE, THE MUSEUM HOLDS MANY OTHER RARE AND INTERESTING ITEMS. AMONG THESE ARE THE PHRENOLOGICAL COLLECTION OF JOHANN GASPAR SPURZHEIM, THE BOSTON SOCIETY FOR MEDICAL IMPROVEMENT COLLECTION, AND A W. T. G. MORTON-TYPE ETHER INHALER. THE MUSEUM PROMOTES THE COLLECTION FOR THE PURPOSES OF MEDICAL EDUCATION IN ALL FORMS WHENEVER POSSIBLE, BY EXPANDING ITS SCOPE TO PROVIDE PUBLIC PROGRAMMING AND EDUCATIONAL RESOURCES TO THE LARGER COMMUNITY. PART IV, LINE 1B: PART IV, LINE 1B: AGENCY FUNDS REPRESENT AWARDS UNDER WHICH HARVARD SERVES AS AN INTERMEDIARY AGENT BETWEEN THE SPONSOR (USUALLY FEDERAL) AND THE ULTIMATE THIRD PARTY RECIPIENT. THE TRANSFER OF THE ASSETS TO HARVARD IS NOT A CONTRIBUTION RECEIVED BY HARVARD AND THE TRANSFER OF ASSETS TO THE RECIPIENT IS NOT A CONTRIBUTION MADE BY HARVARD. HARVARD DRAWS DOWN ON ITS FEDERAL LINES OF CREDIT MONTHLY TO COVER THOSE COSTS INCURRED ON FEDERAL AWARDS. THEREFORE, THERE IS NO BEGINNING OR ENDING BALANCE FOR THESE AGENCY FUNDS. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: PART V, LINE 4: THE PRIMARY GOAL OF THE ENDOWMENT IS TO SUPPORT THE UNIVERSITY'S TEACHING AND RESEARCH MISSION. PART V, ENDOWMENT FUNDS: THE ENDOWMENT ROLLFORWARDS ON SCHEDULE D, PART V HAVE BEEN RESTATED FOR THE FISCAL YEARS ENDED JUNE 30, 2009, 2010, AND 2011 TO PROPERLY EXCLUDE THE ENDOWMENTS OF CERTAIN RELATED ORGANIZATIONS THAT WERE PREVIOUSLY INCLUDED IN THE REPORTED TOTAL. THIS RESTATEMENT DOES NOT CHANGE NET ASSETS REPORTED ON THE FORM 990 BALANCE SHEET FOR THE FISCAL YEARS ENDED JUNE 30, 2009, 2010, AND 2011. PART X, LINE 2, FIN 48: EFFECTIVE JULY 1, 2007, THE UNIVERSITY ADOPTED FASB INTERPRETATION NO. 48, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES (FIN 48). FIN 48 SETS A MINIMUM THRESHOLD FOR FINANCIAL STATEMENT RECOGNITION OF THE BENEFIT OF A TAX POSITION TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. TAX POSITIONS FOR THE OPEN TAX YEARS AS OF JUNE 30, 2013 WERE REVIEWED AND IT WAS DETERMINED THAT NO PROVISION FOR UNCERTAIN TAX PROVISONS WAS REQUIRED. ACCORDINGLY, THERE IS NO DISCLOSURE IN THE JUNE 30, 2013 FINANCIAL STATEMENTS REGARDING UNCERTAIN TAX POSITIONS. 1 1 0 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 ORGANIZATION MEETS THE CRITERIA ESTABLISHED IN SECTION 4.0 REVENUE PROCEDURE 75-50. THE UNIVERSITY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS NATIONWIDE AND WORLDWIDE AND FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY AS TO STUDENTS. IT SATISFIES THE PUBLICITY REQUIREMENT BY INCLUDING A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY AS TO STUDENTS IN ALL ITS BROCHURES AND CATALOGUES DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS. IT ALSO REFERENCES ITS RACIALLY NONDISCRIMINATORY POLICY IN OTHER WRITTEN ADVERTISING THAT IT USES AS A MEANS OF INFORMING PROSPECTIVE STUDENTS OF ITS PROGRAMS. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THIS ORGANIZATION RECEIVES FUNDS FOR RESEARCH AND ADMINISTERS FEDERAL AID PROGRAMS TO STUDENTS ENROLLED IN POST-SECONDARY EDUCATION. 1 CENTRAL AMERICA AND THE CARIBBEAN - GRANTMAKING 9515 CENTRAL AMERICA AND THE CARIBBEAN - PROGRAM SERVICES ACADEMIC SUPPORT 16918 CENTRAL AMERICA AND THE CARIBBEAN - PROGRAM SERVICES INSTRUCTION 57913 CENTRAL AMERICA AND THE CARIBBEAN - 1 30 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 36516 EAST ASIA AND THE PACIFIC - FUNDRAISING 35224 EAST ASIA AND THE PACIFIC - GRANTMAKING 2021395 EAST ASIA AND THE PACIFIC - PROGRAM SERVICES SERVICE CENTERS 72803 EAST ASIA AND THE PACIFIC - PROGRAM SERVICES ACADEMIC SUPPORT 674607 EAST ASIA AND THE PACIFIC - PROGRAM SERVICES INSTITUTIONAL SUPPORT 75651 EAST ASIA AND THE PACIFIC - PROGRAM SERVICES INSTRUCTION 2397498 EAST ASIA AND THE PACIFIC - 3 36 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 7341438 EAST ASIA AND THE PACIFIC - PROGRAM SERVICES STUDENT SERVICES 1064554 EAST ASIA AND THE PACIFIC - INVESTMENTS 1606321392 EUROPE (INCLUDING ICELAND & GREENLAND) - FUNDRAISING 135308 EUROPE (INCLUDING ICELAND & GREENLAND) - GRANTMAKING 8125788 EUROPE (INCLUDING ICELAND & GREENLAND) - PROGRAM SERVICES SERVICE CENTERS 733347 EUROPE (INCLUDING ICELAND & GREENLAND) - PROGRAM SERVICES ACADEMIC SUPPORT 1424259 EUROPE (INCLUDING ICELAND & GREENLAND) - PROGRAM SERVICES INSTITUTIONAL SUPPORT 198805 EUROPE (INCLUDING ICELAND & GREENLAND) - PROGRAM SERVICES INSTRUCTION 5186240 EUROPE (INCLUDING ICELAND & GREENLAND) - 2 45 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 6218208 EUROPE (INCLUDING ICELAND & GREENLAND) - PROGRAM SERVICES STUDENT SERVICES 1760426 EUROPE (INCLUDING ICELAND & GREENLAND) - INVESTMENTS 403038060 MIDDLE EAST AND NORTH AFRICA - FUNDRAISING 5332 MIDDLE EAST AND NORTH AFRICA - GRANTMAKING 251269 MIDDLE EAST AND NORTH AFRICA - PROGRAM SERVICES SERVICE CENTERS 5500 MIDDLE EAST AND NORTH AFRICA - PROGRAM SERVICES ACADEMIC SUPPORT 16023 MIDDLE EAST AND NORTH AFRICA - PROGRAM SERVICES INSTITUTIONAL SUPPORT 217791 MIDDLE EAST AND NORTH AFRICA - PROGRAM SERVICES INSTRUCTION 537983 MIDDLE EAST AND NORTH AFRICA - 1 1 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 137708 MIDDLE EAST AND NORTH AFRICA - PROGRAM SERVICES STUDENT SERVICES 3150 MIDDLE EAST AND NORTH AFRICA - INVESTMENTS 9966976 NORTH AMERICA - CANADA AND MEXICO, BUT FUNDRAISING 61515 NORTH AMERICA - CANADA AND MEXICO, BUT GRANTMAKING 698868 NORTH AMERICA - CANADA AND MEXICO, BUT PROGRAM SERVICES SERVICE CENTERS 67307 NORTH AMERICA - CANADA AND MEXICO, BUT PROGRAM SERVICES ACADEMIC SUPPORT 538784 NORTH AMERICA - CANADA AND MEXICO, BUT PROGRAM SERVICES INSTITUTIONAL SUPPORT 150076 NORTH AMERICA - CANADA AND MEXICO, BUT PROGRAM SERVICES INSTRUCTION 771169 NORTH AMERICA - CANADA AND MEXICO, BUT 2 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 435306 NORTH AMERICA - CANADA AND MEXICO, BUT PROGRAM SERVICES STUDENT SERVICES 39329 NORTH AMERICA - CANADA AND MEXICO, BUT INVESTMENTS 164613069 RUSSIA & THE NEWLY INDEPENDENT STATES - GRANTMAKING 186852 RUSSIA & THE NEWLY INDEPENDENT STATES - PROGRAM SERVICES ACADEMIC SUPPORT 1050 RUSSIA & THE NEWLY INDEPENDENT STATES - PROGRAM SERVICES INSTRUCTION 29212 RUSSIA & THE NEWLY INDEPENDENT STATES - PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 38779 RUSSIA & THE NEWLY INDEPENDENT STATES - PROGRAM SERVICES STUDENT SERVICES 157 RUSSIA & THE NEWLY INDEPENDENT STATES - INVESTMENTS 16327508 SOUTH AMERICA - ARGENTINA, BOLIVIA, FUNDRAISING 4506 SOUTH AMERICA - ARGENTINA, BOLIVIA, GRANTMAKING 1116237 SOUTH AMERICA - ARGENTINA, BOLIVIA, PROGRAM SERVICES SERVICE CENTERS 1950 SOUTH AMERICA - ARGENTINA, BOLIVIA, PROGRAM SERVICES ACADEMIC SUPPORT 224272 SOUTH AMERICA - ARGENTINA, BOLIVIA, PROGRAM SERVICES INSTITUTIONAL SUPPORT 9365 SOUTH AMERICA - ARGENTINA, BOLIVIA, PROGRAM SERVICES INSTRUCTION 835380 SOUTH AMERICA - ARGENTINA, BOLIVIA, 1 5 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 554307 SOUTH AMERICA - ARGENTINA, BOLIVIA, PROGRAM SERVICES STUDENT SERVICES 183879 SOUTH AMERICA - ARGENTINA, BOLIVIA, INVESTMENTS 459036065 SOUTH ASIA - AFGHANISTAN, BANGLADESH, FUNDRAISING 6429 SOUTH ASIA - AFGHANISTAN, BANGLADESH, GRANTMAKING 885814 SOUTH ASIA - AFGHANISTAN, BANGLADESH, PROGRAM SERVICES SERVICE CENTERS 61797 SOUTH ASIA - AFGHANISTAN, BANGLADESH, PROGRAM SERVICES ACADEMIC SUPPORT 123282 SOUTH ASIA - AFGHANISTAN, BANGLADESH, PROGRAM SERVICES INSTITUTIONAL SUPPORT 30690 SOUTH ASIA - AFGHANISTAN, BANGLADESH, PROGRAM SERVICES INSTRUCTION 1121725 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 17 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 2203938 SOUTH ASIA - AFGHANISTAN, BANGLADESH, PROGRAM SERVICES STUDENT SERVICES 145372 SOUTH ASIA - AFGHANISTAN, BANGLADESH, INVESTMENTS 144011402 SUB-SAHARAN AFRICA - ANGOLA, GRANTMAKING 14905725 SUB-SAHARAN AFRICA - ANGOLA, PROGRAM SERVICES ACADEMIC SUPPORT 141098 SUB-SAHARAN AFRICA - ANGOLA, PROGRAM SERVICES INSTITUTIONAL SUPPORT 17672 SUB-SAHARAN AFRICA - ANGOLA, PROGRAM SERVICES INSTRUCTION 343678 SUB-SAHARAN AFRICA - ANGOLA, 15 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 2088239 SUB-SAHARAN AFRICA - ANGOLA, PROGRAM SERVICES STUDENT SERVICES 2148 SUB-SAHARAN AFRICA - ANGOLA, INVESTMENTS 22241802 1 30 7 121 8 151 2924891 2889418459 2892343350 EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 281894 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 266516 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 245304 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 164260 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 107390 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 88866 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 84142 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 80098 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 71184 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 62910 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 43312 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 36788 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 22532 EFT OR CHECK EAST ASIA AND PACIFIC SPONSORED RESEARCH SUB-AWARD 11715 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 1126801 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 625765 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 512111 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 448899 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 387654 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 381502 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 181088 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 159590 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 156560 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 147648 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 142067 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 127627 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 100277 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 94504 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 92164 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 90000 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 86732 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 71224 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 70254 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 69510 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 59400 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 57084 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 50000 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 44496 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 36819 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 29842 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 28500 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 16524 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 13730 EFT OR CHECK MIDDLE EAST AND NORTH AFRICA SPONSORED RESEARCH SUB-AWARD 53083 EFT OR CHECK MIDDLE EAST AND NORTH AFRICA SPONSORED RESEARCH SUB-AWARD 47887 EFT OR CHECK MIDDLE EAST AND NORTH AFRICA SPONSORED RESEARCH SUB-AWARD 7111 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 160000 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 73600 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 73348 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 50926 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 46404 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 33903 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 9000 EFT OR CHECK RUSSIA AND THE NEWLY INDEPENDENT STATES SPONSORED RESEARCH SUB-AWARD 160547 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 451951 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 130815 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 39958 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 29189 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 28280 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 28126 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 28000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 27000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 26985 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 26000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 24000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 23076 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 20600 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 19895 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 19882 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 19678 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 16600 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 15086 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 15025 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 14855 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 14642 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 9195 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 9150 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 191316 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 169532 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 126041 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 114524 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 44214 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 32945 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 30342 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 8041325 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 2185493 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 1233917 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 771740 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 664267 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 490929 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 192456 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 183566 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 167890 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 145991 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 140248 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 116998 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 111692 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 99901 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 58395 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 53199 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 40180 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 39379 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 32265 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 20702 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 16923 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 15440 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 10000 EFT OR CHECK 30 77 GRADUATE STUDENT STIPEND GRANTS EAST ASIA AND THE PACIFIC - 14 42775 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) - 16 44744 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS MIDDLE EAST AND NORTH AFRICA - 1 1060 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS NORTH AMERICA - CANADA AND MEXICO, BUT 4 6560 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 4 15000 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS SUB-SAHARAN AFRICA - ANGOLA, 1 500 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS CENTRAL AMERICA AND THE CARIBBEAN - 3 2250 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS EAST ASIA AND THE PACIFIC - 15 105852 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS EUROPE (INCLUDING ICELAND & GREENLAND) - 43 1830418 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS MIDDLE EAST AND NORTH AFRICA - 5 106250 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS NORTH AMERICA - CANADA AND MEXICO, BUT 11 116573 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS RUSSIA & THE NEWLY INDEPENDENT STATES - 1 17621 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS SOUTH AMERICA - ARGENTINA, BOLIVIA, 5 6730 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 4 18610 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS SUB-SAHARAN AFRICA - ANGOLA, 10 47716 EFT OR CHECK STUDENT PRIZES AND AWARDS EAST ASIA AND THE PACIFIC - 14 57336 EFT OR CHECK STUDENT PRIZES AND AWARDS EUROPE (INCLUDING ICELAND & GREENLAND) - 29 161243 EFT OR CHECK STUDENT PRIZES AND AWARDS MIDDLE EAST AND NORTH AFRICA - 6 11087 EFT OR CHECK STUDENT PRIZES AND AWARDS NORTH AMERICA - CANADA AND MEXICO, BUT 29 60521 EFT OR CHECK STUDENT PRIZES AND AWARDS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 4 23000 EFT OR CHECK STUDENT PRIZES AND AWARDS SUB-SAHARAN AFRICA - ANGOLA, 3 9222 EFT OR CHECK OTHER UNDERGRADUATE GRANTS, PRIZES, AND AWARDS EAST ASIA AND THE PACIFIC - 6 23490 EFT OR CHECK OTHER UNDERGRADUATE GRANTS, PRIZES, AND AWARDS EUROPE (INCLUDING ICELAND & GREENLAND) - 4 14767 EFT OR CHECK OTHER UNDERGRADUATE GRANTS, PRIZES, AND AWARDS MIDDLE EAST AND NORTH AFRICA - 1 2500 EFT OR CHECK OTHER UNDERGRADUATE GRANTS, PRIZES, AND AWARDS SOUTH AMERICA - ARGENTINA, BOLIVIA, 1 3650 EFT OR CHECK OTHER UNDERGRADUATE GRANTS, PRIZES, AND AWARDS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 1 2500 EFT OR CHECK STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS EAST ASIA AND THE PACIFIC - 3 99500 EFT OR CHECK STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS EUROPE (INCLUDING ICELAND & GREENLAND) - 13 513879 EFT OR CHECK STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS NORTH AMERICA - CANADA AND MEXICO, BUT 2 5500 EFT OR CHECK STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS SOUTH AMERICA - ARGENTINA, BOLIVIA, 3 40143 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS CENTRAL AMERICA AND THE CARIBBEAN - 1 7265 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS EAST ASIA AND THE PACIFIC - 19 125531 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS EUROPE (INCLUDING ICELAND & GREENLAND) - 18 152362 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS MIDDLE EAST AND NORTH AFRICA - 5 22292 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS NORTH AMERICA - CANADA AND MEXICO, BUT 5 62534 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS RUSSIA & THE NEWLY INDEPENDENT STATES - 4 8684 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS SOUTH AMERICA - ARGENTINA, BOLIVIA, 6 27727 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 35 117790 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS SUB-SAHARAN AFRICA - ANGOLA, 3 15391 EFT OR CHECK 1 0 1 1 1 1 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: ALL DISBURSEMENTS MADE BY THIS INSTITUTION IN FURTHERANCE OF ITS EXEMPT PROGRAMS ARE REVIEWED AND APPROVED BY DULY CONSTITUTED COMMITTEES OR INDIVIDUALS. ALL SCHOLARSHIPS AND STUDENT LOANS ARE REVIEWED AND APPROVED BY HARVARD'S FINANCIAL AID OFFICES. IN ADDITION, HARVARD UNIVERSITY IS RESPONSIBLE FOR THE PROGRAMMATIC AND FINANCIAL MONITORING OF ITS SPONSORED RESEARCH AWARD SUBRECIPIENTS. PRINCIPAL INVESTIGATORS AND PROJECT STAFF PERFORM ONGOING REVIEWS OF PROJECT ACTIVITIES. IN ADDITION, ON AN ANNUAL BASIS, UNIVERSITY RESEARCH ADMINISTRATORS REVIEW ALL ACTIVE SUBCONTRACTS AND INQUIRE FURTHER INTO THOSE THAT ARE DEEMED TO REQUIRE CLOSER SCRUTINY IN LIGHT OF A VARIETY OF ATTRIBUTES. UPON IDENTIFICATION OF SUBRECIPIENTS THAT MANDATE CLOSER SCRUTINY, HARVARD IMPLEMENTS ADDITIONAL MONITORING ACTIONS TO ENSURE COMPLIANCE WITH SUBAGREEMENT PERFORMANCE, FINANCIAL TERMS AND CONDITIONS, AND WITH ALL APPLICABLE FEDERAL RULES AND REGULATIONS. BEGINNING IN 2010, HARVARD BEGAN COORDINATING WITH THE U.S. GOVERNMENT ON A TRANSITION PLAN THAT WOULD SHIFT ITS ROLE AS PRIME RECIPIENT OF THE PEPFAR GRANT TO LOCALLY CHARTERED, NOT-FOR-PROFIT ENTITIES IN NIGERIA, TANZANIA, AND BOTSWANA. THE LOCAL ENTITIES, APIN IN NIGERIA, BHP IN BOTSWANA, AND MDH IN TANZANIA, WERE SET UP EXPRESSLY WITH THE PURPOSE OF TAKING OVER PEPFAR ACTIVITIES AND ARE STAFFED PRIMARILY BY CITIZENS OF THOSE COUNTRIES, WITH LOCAL CITIZENS ALSO CONSTITUTING A MAJORITY ON EACH OF THE BOARDS OF DIRECTORS. ACTIVITIES WERE TRANSITIONED INCREMENTALLY AND, AS OF THE END OF 2013, ALL FUNDS HAD BEEN TRANSFERRED TO THE LOCAL PARTNERS. FOR THIS REASON, AND AS PART OF A DELIBERATE PLAN FOR BUILDING LOCAL CAPACITY AND PROMOTING PROGRAM SUSTAINABILITY, HARVARD'S SUBCONTRACTS TO PUBLIC HEALTH ENTITIES IN AFRICA HAS DECLINED SIGNIFICANTLY THROUGH 2013. X X X X X X X 1 ANNE LOCKETT ENTERPRISES 12424 WILSHIRE BLVD STE 1060 LOS ANGELES CA 90025 PRIN. GIFTS 0 12410825 315273 12095552 LESTER INC 19 BUSINESS PARK DR BRANFORD CT 06405 PHONE SOLICITATION 0 70915 9295 61620 12481740 324568 12157172 CA MA IL DINNER 65950 60250 5700 20820 150 21349 65950 60250 5700 20820 150 21349 42319 -36619 SCHEDULE G, PART I, LINE 2B, FUNDRAISING: THE FUNDRAISING EFFORT IS A LONG TERM EFFORT OFTEN SPANNING YEARS AND DECADES TO BRING IN ONE GIFT. THE TOTAL LISTED HERE IS FOR CASH RECEIVED IN FY13 BUT THE DONOR(S) MAY HAVE MADE THE ORIGINAL PLEDGE(S) IN PRIOR YEARS. 1 BRIGHAM AND WOMEN'S HOSPITAL 75 FRANCIS ST BOSTON MA 02115 042312909 IRC 501(C)(3) 17780560 SPONSORED RESEARCH SUB-AWARD FRONTIER SCIENCE TECH RESEARCH FDN INC 4033 MAPLE RD AMHERST NY 14226 161056814 IRC 501(C)(3) 11908301 SPONSORED RESEARCH SUB-AWARD MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT ST BOSTON MA 02114 041564655 IRC 501(C)(3) 11602033 SPONSORED RESEARCH SUB-AWARD DANA FARBER CANCER INSTITUTE 44 BINNEY ST DA-1230 BOSTON MA 02115 042263040 IRC 501(C)(3) 7439748 SPONSORED RESEARCH SUB-AWARD CHILDREN'S HOSPITAL CORP 300 LONGWOOD AVE BOSTON MA 02115 042774441 IRC 501(C)(3) 6905668 SPONSORED RESEARCH SUB-AWARD BETH ISRAEL DEACONESS MEDICAL CTR 330 BROOKLINE AVE BOSTON MA 02215 042103881 IRC 501(C)(3) 4513182 SPONSORED RESEARCH SUB-AWARD JOHNS HOPKINS UNIVERSITY 3910 KESWICK RD N-4327B BALTIMORE MD 21211 520595110 IRC 501(C)(3) 3138667 SPONSORED RESEARCH SUB-AWARD MASSACHUSETTS INSTITUTE OF TECHNOLOGY 77 MASS AVE NE 49-3131 CAMBRIDGE MA 02139 042103594 IRC 501(C)(3) 3008057 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF MASSACHUSETTS 140 HICKS WAY AMHERST MA 01003 043167352 IRC 115 2226643 SPONSORED RESEARCH SUB-AWARD REGENTS OF THE UNIVERSITY OF CALIFORNIA - SAN DIEGO 9500 GILMAN DR MAIL CODE 0954 LA JOLLA CA 92093 956006144 IRC 501(C)(3) 2102963 SPONSORED RESEARCH SUB-AWARD THE BROAD INSTITUTE 7 CAMBRIDGE CTR CAMBRIDGE MA 02142 263428781 IRC 501(C)(3) 2065276 SPONSORED RESEARCH SUB-AWARD REGENTS OF THE UNIVERSITY OF MICHIGAN 3003 S STATE ST G395 ANN ARBOR MI 48109 386006309 IRC 501(C)(3) 1951113 SPONSORED RESEARCH SUB-AWARD TOPCODER INC 95 GLASTONBURY BLVD GLASTONBURY CT 06033 NOT EXEMPT 1631918 SPONSORED RESEARCH SUB-AWARD COMMUNITIES IN SCHOOLS OF NORTH CAROLINA 222 NORTH PERSON ST RALEIGH NC 27601 561677831 IRC 501(C)(3) 1297374 SPONSORED RESEARCH SUB-AWARD BOSTON UNIVERSITY 25 BUICK ST BOSTON MA 02215 042103547 IRC 501(C)(3) 1268631 SPONSORED RESEARCH SUB-AWARD STANFORD UNIVERSITY 345 PORTER DR PALO ALTO CA 94304 941156365 IRC 501(C)(3) 1073816 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF SOUTHERN CALIFORNIA UNIVERSITY GARDENS-UGB 203 LOS ANGELES CA 90089 951642394 IRC 501(C)(3) 1068782 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF MEDICINE AND DENTISTRY OF NEW JERSEY 185 SOUTH ORANGE AVE NEWARK NJ 07107 221775306 IRC 115 1043803 SPONSORED RESEARCH SUB-AWARD TUFTS UNIVERSITY 169 HOLLAND ST SOMERVILLE MA 02144 042103634 IRC 501(C)(3) 1041688 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF FLORIDA 925 NW 56TH TER GAINESVILLE FL 32605 596002052 IRC 115 1028915 SPONSORED RESEARCH SUB-AWARD CHILDREN'S MEMORIAL HOSPITAL OF CHICAGO 2300 CHILDRENS PLAZA CHICAGO IL 60614 362170833 IRC 501(C)(3) 954976 SPONSORED RESEARCH SUB-AWARD VANDERBILT UNIVERSITY 2301 VANDERBILT PLACE NASHVILLE TN 37232 620476822 IRC 501(C)(3) 922918 SPONSORED RESEARCH SUB-AWARD YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 06520 911864328 IRC 501(C)(3) 908228 SPONSORED 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OVAL NORMAN OK 73019 736017987 IRC 115 58180 SPONSORED RESEARCH SUB-AWARD COUNCIL ON LIBRARY AND INFORMATION RESOURCES 1752 N ST NW STE 800 WASHINGTON DC 20036 521576808 IRC 501(C)(3) 57940 SPONSORED RESEARCH SUB-AWARD NATIONAL OPINION RESEARCH CENTER 55 E MONROE ST 20TH FL CHICAGO IL 60603 362167808 IRC 501(C)(3) 55511 SPONSORED RESEARCH SUB-AWARD CAMBRIDGE HEALTH ALLIANCE 1493 CAMBRIDGE ST CAMBRIDGE MA 02139 043320571 EXEMPT 53436 SPONSORED RESEARCH SUB-AWARD COMMITTEE FOR BOSTON PUBLIC HOUSING 100 TERRACE ST STE B BOSTON MA 02120 042730930 IRC 501(C)(3) 52821 SPONSORED RESEARCH SUB-AWARD GENZYME CORP 500 KENDALL ST CAMBRIDGE MA 02142 061047163 NOT EXEMPT 51205 SPONSORED RESEARCH SUB-AWARD CHILDREN'S HOSPITAL OF PHILADELPHIA 34TH ST AND CIVIC CTR BLVD PHILADELPHIA PA 19104 231352166 IRC 501(C)(3) 50663 SPONSORED RESEARCH SUB-AWARD AMERICAN COUNCIL OF LEARNED SOCIETIES 633 3RD AVE 8TH FL NEW YORK NY 10017 131851145 IRC 501(C)(3) 50000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS BLUE STATE DIGITAL INC 406 7TH ST NW 3RD FL WASHINGTON DC 20004 NOT EXEMPT 50000 SPONSORED RESEARCH SUB-AWARD KNOWLEDGE NETWORKS 2100 GENG RD STE 210 PALO ALTO CA 94303 NOT EXEMPT 49500 SPONSORED RESEARCH SUB-AWARD BATTELLE MEMORIAL INSTITUTE 505 KING AVE COLUMBUS OH 43201 314379427 IRC 501(C)(3) 47620 SPONSORED RESEARCH SUB-AWARD NORFOLK PUBLIC SCHOOLS 800 E CITY HALL AVE NORFOLK VA 23510 GOVERNMENTAL UNIT 46545 SPONSORED RESEARCH SUB-AWARD PHILLIPS BROOKS HOUSE HARVARD UNIVERSITY CAMBRIDGE MA 02138 046046123 IRC 501(C)(3) 46160 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS TEXAS BIOMEDICAL RESEARCH INSTITUTE 7620 N W LOOP 410 SAN ANTONIO TX 78227 741109630 IRC 501(C)(3) 45833 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF ROCHESTER 910 GENESEE ST STE 200 ROCHESTER NY 14611 160743209 IRC 501(C)(3) 43439 SPONSORED RESEARCH SUB-AWARD FBREAGENTS 199 AUBURN ST CAMBRIDGE MA 02139 NOT EXEMPT 42830 SPONSORED RESEARCH SUB-AWARD LIFEPLANS INC 51 SAWYER RD STE 340 WALTHAM MA 02453 NOT EXEMPT 40376 SPONSORED RESEARCH SUB-AWARD ATMOSPHERIC & ENVIRONMENTAL RESEARCH INC 840 MEMORIAL DR CAMBRIDGE MA 02139 NOT EXEMPT 40000 SPONSORED RESEARCH SUB-AWARD POMONA COLLEGE 550 N COLLEGE AVE CLAREMONT CA 91711 951664112 IRC 501(C)(3) 38136 SPONSORED RESEARCH SUB-AWARD SUCCESS FOR ALL FOUNDATION INC 200 W TOWSONTOWN BLVD BALTIMORE MD 21204 522061820 IRC 501(C)(3) 37147 SPONSORED RESEARCH SUB-AWARD SOUTH CAROLINA COUNCIL ON COMPETITIVENESS 1411 GERVAIS ST STE 315 COLUMBIA SC 29201 201690146 IRC 501(C)(3) 36823 SPONSORED RESEARCH SUB-AWARD FAULKNER HOSPITAL 1153 CENTRE ST BOSTON MA 02130 042768256 IRC 501(C)(3) 36183 SPONSORED RESEARCH SUB-AWARD MOREHOUSE SCHOOL OF MEDICINE 720 WESTVIEW DR SW ATLANTA GA 30310 581438873 IRC 501(C)(3) 35509 SPONSORED RESEARCH SUB-AWARD HEALTHPARTNERS INST FOR EDUC AND RES 8170 33RD AVE SOUTH MINNEAPOLIS MN 55440 411670163 IRC 501(C)(3) 34850 SPONSORED RESEARCH SUB-AWARD WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 445 E 69TH ST NEW YORK NY 10021 150532082 IRC 501(C)(3) 34831 SPONSORED RESEARCH SUB-AWARD COLLEGE POSSIBLE INC 450 N SYNDICATE ST NO 200 SAINT PAUL MN 55104 411968798 IRC 501(C)(3) 34284 SPONSORED RESEARCH SUB-AWARD HELEN KELLER INTERNATIONAL 352 PARK AVE SOUTH 12TH FL NEW YORK NY 10010 135562162 IRC 501(C)(3) 33585 SPONSORED RESEARCH SUB-AWARD HARVARD PILGRIM HEALTH CARE FDN 93 WORCESTER ST STE 100 WELLESLEY MA 02481 042708004 IRC 501(C)(3) 31885 SPONSORED RESEARCH SUB-AWARD FLORIDA INTERNATIONAL UNIVERSITY 11200 SW 8TH ST MIAMI FL 33199 650177616 IRC 501(C)(3) 31375 SPONSORED RESEARCH SUB-AWARD YMCA OF GREATER BOSTON 316 HUNTINGTON AVE BOSTON MA 02115 GOVERNMENTAL UNIT 31175 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS NATIONAL ARCHIVES AND RECORDS ADMINISTRATION 700 PENNSYLVANIA AVE NW WASHINGTON DC 20408 GOVERNMENTAL UNIT 30801 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF COLORADO AT BOULDER 2055 REGENT DR BOULDER CO 80309 846000555 IRC 501(C)(3) 29756 SPONSORED RESEARCH SUB-AWARD OREGON BUSINESS COUNCIL 1100 SW 6TH AVE STE 1608 PORTLAND OR 97204 930884244 IRC 501(C)(6) 28125 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF UTAH 201 PRESIDENTS CIR RM 411 SALT LAKE CITY UT 84112 876000525 IRC 501(C)(3) 26500 SPONSORED RESEARCH SUB-AWARD RESEARCH TRIANGLE INSTITUTE INTERNATIONAL 3040 E CORNWALLIS RD HANES BLDG RSCH TRIANGLE PARK NC 27709 560686338 IRC 501(C)(3) 26440 SPONSORED RESEARCH SUB-AWARD INTEGRATED BIOTHERAPEUTICS INC 4539 METROPOLITAN CTR FREDERICK MD 21704 NOT EXEMPT 25391 SPONSORED RESEARCH SUB-AWARD BOSTON HEALTH CARE FOR THE HOMELESS PROGRAM 780 ALBANY ST BOSTON MA 02118 043160480 IRC 501(C)(3) 25294 SPONSORED RESEARCH SUB-AWARD SAGE BIONETWORKS 1100 FAIRVIEW AVE NORTH SEATTLE WA 98109 264489946 IRC 501(C)(3) 25221 SPONSORED RESEARCH SUB-AWARD MEDICAL UNIVERSITY OF SOUTH CAROLINA 169 ASHLEY AVE CHARLESTON SC 29403 576000722 IRC 115 24732 SPONSORED RESEARCH SUB-AWARD CHILDREN'S HOSPITAL OF ALABAMA 1600 7TH AVE SOUTH BIRMINGHAM AL 35233 630307306 IRC 501(C)(3) 24030 SPONSORED RESEARCH SUB-AWARD MAYO CLINIC 4500 SAN PABLO RD JACKSONVILLE FL 32224 593337028 IRC 501(C)(3) 23864 SPONSORED RESEARCH SUB-AWARD GARDNER PILOT ACADEMY 30 ATHOL ST BOSTON MA 02134 GOVERNMENTAL UNIT 23410 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS TEXAS A&M UNIVERSITY 3000 BRIARCREST DR STE 101 BRYAN TX 77802 742648747 IRC 115 23154 SPONSORED RESEARCH SUB-AWARD LAHEY CLINIC 41 MALL RD BURLINGTON MA 02115 042704683 IRC 501(C)(3) 23082 SPONSORED RESEARCH SUB-AWARD CAMBRIDGE MEDICAL CARE FDN 1493 CAMBRIDGE ST CAMBRIDGE MA 02139 042752962 IRC 501(C)(3) 22990 SPONSORED RESEARCH SUB-AWARD MASSACHUSETTS ASSOCIATION OF HEALTH BOARDS 56 TAUNTON ST PLAINVILLE MA 02762 042774252 IRC 501(C)(3) 20281 SPONSORED RESEARCH SUB-AWARD HEBREW SENIORLIFE 1200 CENTRE ST ROSLINDALE MA 02131 900183119 IRC 501(C)(3) 20227 SPONSORED RESEARCH SUB-AWARD EDUCATIONAL TESTING SERVICE ROSEDALE RD MS 56D PRINCETON NJ 08541 210634479 IRC 501(C)(3) 20098 SPONSORED RESEARCH SUB-AWARD EXPONENT INC 149 COMMONWEALTH DR MENLO PARK CA 94025 NOT EXEMPT 20078 SPONSORED RESEARCH SUB-AWARD INSTITUTE FOR WILDLIFE STUDIES PO BOX 1104 ARCATA CA 95518 942612613 IRC 501(C)(3) 20076 SPONSORED RESEARCH SUB-AWARD MUSEUM OF SCIENCE ONE SCIENCE PARK BOSTON MA 02114 042103916 IRC 501(C)(3) 20040 SPONSORED RESEARCH SUB-AWARD MOUNT GRACE LAND CONSERVATION TRUST 1461 OLD KEENE RD ATHOL MA 01331 042938967 IRC 501(C)(3) 20000 SPONSORED RESEARCH SUB-AWARD RELAY GRADUATE SCHOOL OF EDUCATION 40 WEST 20TH ST 7TH FL NEW YORK NY 10011 275316628 IRC 501(C)(3) 20000 SPONSORED RESEARCH SUB-AWARD INTERNATIONAL SOCIETY OF PSYCHIATRIC GENETICS 5034 THOROUGHBRED LN STE A BRENTWOOD TN 37027 880293000 IRC 501(C)(3) 20000 SPONSORED RESEARCH SUB-AWARD WELLESLEY COLLEGE 106 CENTRAL ST WELLESLEY MA 02481 042103637 IRC 501(C)(3) 19487 SPONSORED RESEARCH SUB-AWARD LOS ALAMOS NATIONAL LABORATORY 4200 W JEMEZ RD 300 LOS ALAMOS NM 87544 GOVERNMENTAL UNIT 19311 SPONSORED RESEARCH SUB-AWARD BRIDGE OVER TROUBLED WATERS INC 47 WEST ST BOSTON MA 02111 042472126 IRC 501(C)(3) 18700 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS FII NATIONAL 1203 PRESERVATION PARK WAY OAKLAND CA 94612 020784790 IRC 501(C)(3) 17330 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS READ TO A CHILD INC 20 WILLIAM ST WELLSESLEY MA 02481 203526239 IRC 501(C)(3) 17250 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS CTR FOR THE STUDY OF SERVICES 1625 K ST NW 8TH FL WASHINGTON DC 20006 521000466 IRC 501(C)(3) 17015 SPONSORED RESEARCH SUB-AWARD CAMBRIDGE COMMUNITY CENTER 5 CALLENDER ST CAMBRIDGE MA 02139 042477881 IRC 501(C)(3) 17000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS BOSTON PUBLIC SCHOOLS 26 COURT ST 5TH FL BOSTON MA 02108 GOVERNMENTAL UNIT 16687 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS ACTION CTR FOR COLLEGE EDUC SVCS AND SCHOLARSHIP FDN 31 ST JAMES AVE STE 520 BOSTON MA 02116 043564307 IRC 501(C)(3) 16496 SPONSORED RESEARCH SUB-AWARD WGBH EDUCATIONAL FOUNDATION ONE GUEST ST BOSTON MA 02135 042104397 IRC 501(C)(3) 15790 SPONSORED RESEARCH SUB-AWARD HYDE SQUARE TASK FORCE 375 CENTRE ST JAMAICA PLAIN MA 02130 043118543 IRC 501(C)(3) 15000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS INSTITUTE FOR URBAN DESIGN 17 WEST 17TH ST 7TH FL NEW YORK NY 10011 132954111 IRC 501(C)(3) 15000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS DUDLEY STREET NEIGHBORHOOD INITIATIVE 504 DUDLEY ST ROXBURY MA 02119 042859066 IRC 501(C)(3) 13800 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS COLLEGE OF CHARLESTON 66 GEORGE ST CHARLESTON SC 29424 576000265 IRC 115 13635 SPONSORED RESEARCH SUB-AWARD WEST END HOUSE INC 105 ALLSTON ST ALLSTON MA 02134 042105825 IRC 501(C)(3) 13500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS UNIVERSITY OF WISCONSIN-MADISON 500 LINCOLN DR MADISON WI 53706 396006492 IRC 115 13493 SPONSORED RESEARCH SUB-AWARD LABORERS' HEALTH AND SAFETY FUND OF NORTH AMERICA 905 16TH ST NW WASHINGTON DC 20006 521569286 IRC 501(C)(5) 13038 SPONSORED RESEARCH SUB-AWARD EMMANUEL COLLEGE 400 THE FENWAY BOSTON MA 02115 042105769 IRC 501(C)(3) 13022 SPONSORED RESEARCH SUB-AWARD CRADLES TO CRAYONS 155 NORTH BEACON ST BRIGHTON MA 02135 043584367 IRC 501(C)(3) 12500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS MASSACHUSETTS COLLEGE OF PHARMACY AND HEALTH SCIENCES 179 LONGWOOD AVE BOSTON MA 02115 042104700 IRC 501(C)(3) 12403 SPONSORED RESEARCH SUB-AWARD FORT WORTH INDEPENDENT SCHOOL DISTRICT 100 NORTH UNIVERSITY DR NW FORT WORTH TX 76107 GOVERNMENTAL UNIT 12311 SPONSORED RESEARCH SUB-AWARD BOSTON CHILDREN'S MUSEUM 300 CONGRESS ST BOSTON MA 02210 042103993 IRC 501(C)(3) 11728 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF VERMONT 85 SO PROSPECT ST RM 333 BURLINGTON VT 05405 030179440 IRC 501(C)(3) 11579 SPONSORED RESEARCH SUB-AWARD FENWAY COMMUNITY HEALTH CTR 1340 BOYLSTON ST BOSTON MA 02215 042510564 IRC 501(C)(3) 10670 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF MISSOURI-COLUMBIA 319 JESSE HALL COLUMBIA MO 65211 436003859 IRC 115 10649 SPONSORED RESEARCH SUB-AWARD ALLSTON BRIGHTON COMMUNITY DEVELOPMENT CORP 20 LINDEN ST ALLSTON MA 02134 042716278 IRC 501(C)(3) 10500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS PRIMARY SOURCE INC 101 WALNUT ST WATERTOWN MA 02472 042911053 IRC 501(C)(3) 10250 SPONSORED RESEARCH SUB-AWARD HEBREW REHABILITATION CENTER FOR AGED 1200 CENTRE ST ROSLINDALE MA 02131 042104298 IRC 501(C)(3) 10218 SPONSORED RESEARCH SUB-AWARD MIT MUSEUM 265 MASS AVE CAMBRIDGE MA 02139 EXEMPT 10000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS FOUNDATION FOR BIOMEDICAL RESEARCH 818 CONNECTICUT AVE WASHINGTON DC 20006 042746997 IRC 501(C)(3) 10000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS JOSEPH M SMITH COMMUNITY HEALTH CENTER INC 287 WESTERN AVE ALLSTON MA 02134 237221597 IRC 501(C)(3) 10000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS NATIONAL DEVELOPMENT AND RESEARCH INSTITUTE INC 71 W 23RD ST 8TH FL NEW YORK NY 10010 237009089 IRC 501(C)(3) 9417 SPONSORED RESEARCH SUB-AWARD EMPHATIC COMMUNICATIONS 120 STATE AVE NE NO 304 OLYMPIA WA 98501 NOT EXEMPT 9044 SPONSORED RESEARCH SUB-AWARD MONTANA STATE UNIVERSITY 101 MONTANA HALL BOZEMAN MT 59717 816010045 IRC 115 8893 SPONSORED RESEARCH SUB-AWARD INSTITUTE FOR LEARNING INNOVATION 3168 BRAVERTON ST STE 280 EDGEWATER MD 21037 521467051 IRC 501(C)(3) 8783 SPONSORED RESEARCH SUB-AWARD JAMES W HENNIGAN ELEMENTARY SCHOOL 200 HEATH ST JAMAICA PLAIN MA 02130 GOVERNMENTAL UNIT 8100 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS MISSION HILL YOUTH COLLABORATIVE 31 LENOX ST BOSTON MA 02118 GOVERNMENTAL UNIT 7750 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS CAMBRIDGE FAMILY AND CHILDREN'S SERVICE 60 GORE ST CAMBRIDGE MA 02141 042104057 IRC 501(C)(3) 7500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS CHARLES RIVER CONSERVANCY 4 BRATTLE ST CAMBRIDGE MA 02138 043503656 IRC 501(C)(3) 7500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS MARGARET FULLER NEIGHBORHOOD HOUSE 71 CHERRY ST CAMBRIDGE MA 02139 042103782 IRC 501(C)(3) 7500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS ONE FUND BOSTON INC 800 BOYLSTON ST BOSTON MA 02199 462547157 IRC 501(C)(3) 7500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS SPEAKER THOMAS P O'NEILL MEMORIAL FOUNDATION 31 NEW CHARDON ST BOSTON MA 02114 043424189 IRC 501(C)(3) 7500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS ON THE RISE INC 341 BROADWAY CAMBRIDGE MA 02139 043290689 IRC 501(C)(3) 7300 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS UNIVERSITY OF HAWAII 2444 DOLE ST HONOLULU HI 96822 996000354 IRC 115 6708 SPONSORED RESEARCH SUB-AWARD CINCINNATI CHILDREN'S HOSPITAL MEDICAL CTR 3333 BURNET AVE CINCINNATI OH 45229 310833936 IRC 501(C)(3) 6667 SPONSORED RESEARCH SUB-AWARD FOOD FOR FREE COMMITTEE INC 11 INMAN ST CAMBRIDGE MA 02139 222561771 IRC 501(C)(3) 6000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS INSTITUTE FOR HEALTHCARE IMPROVEMENT 20 UNIVERSITY RD 7TH FL CAMBRIDGE MA 02138 383017223 IRC 501(C)(3) 5754 SPONSORED RESEARCH SUB-AWARD CREIGHTON UNIVERSITY SCHOOL OF DENTISTRY 2500 CALIFORNIA PLAZA OMAHA NE 68154 470376583 IRC 501(C)(3) 5257 SPONSORED RESEARCH SUB-AWARD BOSTON FOUNDATION 75 ARLINGTON ST 10TH FL BOSTON MA 02116 042104021 IRC 501(C)(3) 5250 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS EPIPHANY SCHOOL 154 CENTRE ST DORCHESTER MA 02124 043391788 IRC 501(C)(3) 5181 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS ESPERANZA ACADEMY 198 GARDEN ST LAWRENCE MA 01840 731722348 IRC 501(C)(3) 5181 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS RUSH UNIVERSITY MEDICAL CENTER 1700 W VAN BUREN RM 150 CHICAGO IL 60612 362174823 IRC 501(C)(3) 5148 SPONSORED RESEARCH SUB-AWARD AMOUNTS 5000 OR LESS VARIOUS CAMBRIDGE MA 02135 VARIOUS 144940 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS 241 22 GRADUATE STUDENT STIPEND GRANTS 5750 82505951 GRADUATE STUDENT TUITION AND FEES GRANTS 9249 192472023 GRANTS AND AWARDS TO NON-HARVARD STUDENTS 733 6530608 OTHER UNDERGRADUATE GRANTS, PRIZES AND AWARDS 1006 4006702 STUDENT PRIZES AND AWARDS 3616 9886175 STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS 1125 29091474 TRAINING GRANTS 14 595219 UNDERGRADUATE TUITION, FEES, AND STIPEND GRANTS 4301 166542218 STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS 542 5276363 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ALL DISBURSEMENTS MADE BY THIS INSTITUTION IN FURTHERANCE OF ITS EXEMPT PROGRAMS ARE REVIEWED AND APPROVED BY DULY CONSTITUTED COMMITTEES OR INDIVIDUALS. ALL SCHOLARSHIPS AND STUDENT LOANS ARE REVIEWED AND APPROVED BY HARVARD'S FINANCIAL AID OFFICES. IN ADDITION, HARVARD UNIVERSITY IS RESPONSIBLE FOR THE PROGRAMMATIC AND FINANCIAL MONITORING OF ITS SPONSORED RESEARCH AWARD SUBRECIPIENTS. PRINCIPAL INVESTIGATORS AND PROJECT STAFF PERFORM ONGOING REVIEWS OF PROJECT ACTIVITIES. IN ADDITION, ON AN ANNUAL BASIS, UNIVERSITY RESEARCH ADMINISTRATORS REVIEW ALL ACTIVE SUBCONTRACTS AND INQUIRE FURTHER INTO THOSE THAT ARE DEEMED TO REQUIRE CLOSER SCRUTINY IN LIGHT OF A VARIETY OF ATTRIBUTES. UPON IDENTIFICATION OF SUBRECIPIENTS THAT MANDATE CLOSER SCRUTINY, HARVARD IMPLEMENTS ADDITIONAL MONITORING ACTIONS TO ENSURE COMPLIANCE WITH SUBAGREEMENT PERFORMANCE, FINANCIAL TERMS AND CONDITIONS, AND WITH ALL APPLICABLE FEDERAL RULES AND REGULATIONS. X X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 1 1 DREW GILPIN FAUST 751960 0 0 0 18927 0 131995 0 137755 0 1040637 0 0 0 ALAN M GARBER 604313 0 0 0 14780 0 31995 0 99797 0 750885 0 0 0 MARC L GOODHEART 314161 0 0 0 319 0 31995 0 30457 0 376932 0 0 0 MARILYN M HAUSAMMANN 332716 0 10000 0 5747 0 31995 0 23005 0 403463 0 0 0 CHRISTINE M HEENAN 371614 0 20000 0 1295 0 31995 0 23006 0 447910 0 0 0 LISA HOGARTY 354515 0 20000 0 1803 0 31995 0 16195 0 424508 0 0 0 ROBERT W IULIANO 450102 0 25000 0 10996 0 31995 0 22100 0 540193 0 0 0 MARK R JOHNSON 271115 0 5000 0 108 0 31995 0 8398 0 316616 0 0 0 KATHERINE N LAPP 569123 0 30000 0 1225 0 31995 0 10638 0 642981 0 0 0 ANNE H MARGULIES 327279 0 20000 0 3265 0 31995 0 22512 0 405051 0 0 0 TAMARA E ROGERS 352259 0 0 0 7325 0 31995 0 19399 0 410978 0 0 0 DANIEL S SHORE 355150 0 10000 0 789 0 31995 0 23004 0 420938 0 0 0 JEFFREY S FLIER 572911 0 0 0 9332 0 31995 0 19855 0 634093 0 0 0 NITIN NOHRIA 515173 0 20000 0 2298 0 31995 0 111607 0 681073 0 0 0 MICHAEL D SMITH 420899 0 0 0 82532 0 31995 0 18944 0 554370 0 0 0 AMARTYA K SEN 303450 0 0 0 888282 0 31995 0 11271 0 1234998 0 0 0 ROY D SHAPIRO 211869 0 5000 0 725583 0 27645 0 9200 0 979297 0 0 0 JULIO FRENK 512756 0 0 0 46068 0 31995 0 21005 0 611824 0 0 0 MICHAEL J KLARMAN 269505 0 0 0 249835 0 31995 0 19855 0 571190 0 0 0 NADARAJAN CHETTY 287553 0 0 0 229868 0 19495 0 7336 0 544252 0 0 0 ROBERT B CASHION 271927 0 0 0 249 0 31995 0 21369 0 325540 0 0 0 STEVEN E HYMAN 446823 0 0 0 7362 0 31995 0 11236 0 497416 0 0 0 A CLAYTON SPENCER 146490 0 0 0 36714 0 16795 0 4744 0 204743 0 0 0 PART I, LINE 1A PART I, LINE 1A: FIRST CLASS OR CHARTER TRAVEL: UNIVERSITY TRAVEL POLICY ALLOWS FOR FIRST CLASS TRAVEL FOR UNIVERSITY BUSINESS PURPOSES IN LIMITED CIRCUMSTANCES. IN ACCORDANCE WITH THIS POLICY, OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES MAY TRAVEL FIRST CLASS ON A SMALL NUMBER OF TRIPS DURING THE YEAR. TRAVEL EXPENSES ARE INCURRED FOR UNIVERSITY PURPOSES AND THEREFORE ARE NOT TREATED AS TAXABLE COMPENSATION. PART I, LINE 1A: TRAVEL FOR COMPANIONS: UNIVERSITY TRAVEL POLICY ALLOWS REIMBURSEMENT FOR COMPANION TRAVELERS WHEN THE COMPANION'S ATTENDANCE AT A PROFESSIONAL FUNCTION OR INVOLVEMENT IN FUNDRAISING ACTIVITIES SERVES A LEGITIMATE BUSINESS PURPOSE. IN ACCORDANCE WITH THIS POLICY, THE UNIVERSITY MAY REIMBURSE OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES FOR COMPANION TRAVEL DURING THE YEAR. IN THESE CIRCUMSTANCES, THE REIMBURSEMENT OF COMPANION AND FAMILY MEMBER TRAVEL EXPENSES WAS A LEGITIMATE BUSINESS EXPENSE FOR THE UNIVERSITY AND THEREFORE IT WAS NOT REPORTED IN THE EMPLOYEES' TAXABLE COMPENSATION. PART I, LINE 1A: TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: THE UNIVERSITY ELECTED TO PAY THE TAX OBLIGATIONS THAT AROSE FROM CERTAIN COMPENSATION TRANSACTIONS AND REIMBURSEMENTS. ONE OFFICER AND TWO HIGHEST COMPENSATED EMPLOYEES RECEIVED THIS BENEFIT DURING THE CALENDAR YEAR ENDED DECEMBER 31, 2012. THESE TAX REIMBURSEMENTS ARE REPORTED TO EACH INDIVIDUAL AS TAXABLE COMPENSATION. PART I, LINE 1A: HOUSING ALLOWANCE/PERSONAL SERVICES: THE UNIVERSITY PROVIDES PRESIDENT FAUST WITH A RESIDENCE IN CAMBRIDGE AND REQUIRES ITS USE AS CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE UNIVERSITY. THE TOTAL ESTIMATED VALUE OF THE ANNUAL USE OF THE RESIDENCE IS $180,000, OF WHICH $121,916 IS ESTIMATED TO BE THE VALUE OF THE PERSONAL USE AND IS REPORTED AS A NONTAXABLE BENEFIT IN PART VII, LINE 1A AND SCHEDULE J, PART II. DURING THE PERFORMANCE OF REGULAR UNIVERSITY DUTIES, A UNIVERSITY EMPLOYEE MAY, ON OCCASION, PERFORM INCIDENTAL PERSONAL SERVICES FOR THE PRESIDENT (E.G., PURCHASING OF SMALL HOUSEHOLD ITEMS, WITH THE COST OF SUCH ITEMS REIMBURSED IN FULL BY THE PRESIDENT). THE UNIVERSITY REGARDS SUCH SERVICES AS A NONTAXABLE "DE MINIMIS" FRINGE BENEFIT. HARVARD BUSINESS SCHOOL (HBS) PROVIDES DEAN NOHRIA WITH A RESIDENCE IN ALLSTON AND REQUIRES ITS USE AS CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF HBS. THE TOTAL ESTIMATED VALUE OF THE ANNUAL USE OF THE RESIDENCE IS $132,000, OF WHICH $90,544 IS ESTIMATED TO BE THE VALUE OF THE PERSONAL USE AND IS REPORTED AS A NONTAXABLE BENEFIT IN PART VII, LINE 1A AND SCHEDULE J, PART II. THE UNIVERSITY PROVIDES PROVOST GARBER WITH A RESIDENCE IN CAMBRIDGE AND REQUIRES ITS USE AS CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE UNIVERSITY. THE PROVOST MOVED INTO THE RESIDENCE IN JULY, 2012. THE TOTAL ESTIMATED VALUE OF THE USE OF THE RESIDENCE FROM JULY 1, 2012 THROUGH DECEMBER 31, 2012 IS $87,000, OF WHICH $74,928 IS ESTIMATED TO BE THE VALUE OF THE PERSONAL USE AND IS REPORTED AS A NONTAXABLE BENEFIT IN PART VII, LINE 1A AND SCHEDULE J, PART II. BETWEEN AUGUST 2011 AND JUNE 2012, THE UNIVERSITY PROVIDED PROVOST GARBER WITH A TEMPORARY RESIDENCE IN CAMBRIDGE AND REQUIRED ITS USE AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE UNIVERSITY. THE ESTIMATED RENTAL VALUE OF THE TEMPORARY RESIDENCE FROM JANUARY 1 THROUGH JUNE 30, 2012 WAS $19,044, WHICH HAS BEEN REPORTED AS A NONTAXABLE BENEFIT IN PART VII, LINE 1A AND SCHEDULE J, PART II. DEAN SMITH'S COLUMN B(III) OTHER REPORTABLE COMPENSATION INCLUDES $81,100 OF TAXABLE TRANSITIONAL PAYMENTS TO COVER HIS HOUSING EXPENSES WHILE HIS UNIVERSITY HOUSING UNDERGOES RENOVATIONS. THE RENOVATIONS BEGAN DURING CALENDAR YEAR 2011. TWO HIGHEST COMPENSATED EMPLOYEES RECEIVED MORTGAGE SUBSIDIES AND/OR HOUSING ALLOWANCES. THESE AMOUNTS ARE INCLUDED IN EACH EMPLOYEE'S TAXABLE COMPENSATION. PART I, LINE 1B: COMPENSATION POLICIES: THE UNIVERSITY FOLLOWS WRITTEN POLICIES REGARDING FIRST CLASS TRAVEL AND TRAVEL FOR COMPANIONS. THE UNIVERSITY ALSO FOLLOWS WRITTEN GUIDELINES ON HOUSING ALLOWANCES, WHICH ARE OFFERED ON A LIMITED BASIS TO SENIOR FACULTY AND SENIOR ADMINISTRATORS. PART I, LINE 3: COMPENSATION REVIEW PROCESS: SEE SCHEDULE O "COMPENSATION REVIEW PROCESS" FOR A DISCUSSION OF THE METHODS USED TO ESTABLISH THE PRESIDENT'S COMPENSATION. PART I, LINE 4B SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN: IN CALENDAR YEAR 2012, THE HARVARD CORPORATION ESTABLISHED A NON-QUALIFIED DEFERRED COMPENSATION PLAN OF WHICH PRESIDENT FAUST IS A BENEFICIARY. DURING THE CALENDAR YEAR, THE UNIVERSITY CONTRIBUTED $100,000 TO HER DEFERRED COMPENSATION ACCOUNT. THE $100,000 IS REPORTED ON SCHEDULE J, PART II, COLUMN (C), "RETIREMENT AND OTHER DEFERRED COMPENSATION". IF THE PRESIDENT REMAINS IN HER ROLE AT THE UNIVERSITY, THE AMOUNT WILL FULLY VEST AND BE REPORTED AS TAXABLE INCOME TO THE PRESIDENT IN CALENDAR YEAR 2015. HARVARD BUSINESS SCHOOL'S VOLUNTARY RETIREMENT INCENTIVE PLAN ALLOWS ELIGIBLE FACULTY MEMBERS TO ELECT TO RETIRE AT A SET DATE IN EXCHANGE FOR A LUMP-SUM PAYMENT. THE FACULTY MEMBER FORFEITS THE PAYMENT IF HE/SHE TERMINATES EMPLOYMENT BEFORE THE RETIREMENT DATE. THE AMOUNT FULLY VESTS AND IS DISTRIBUTED WHEN THE FACULTY MEMBER RETIRES. UNDER THIS PLAN, PROFESSOR SHAPIRO RECEIVED $720,660 WHICH HAS BEEN REPORTED IN COLUMN (B)(III) OTHER REPORTABLE COMPENSATION. AS PART OF PROFESSOR SEN'S RECRUITMENT PACKAGE IN 1987, HARVARD AGREED TO SUPPLEMENT HIS RETIREMENT INCOME WITH A ONE-TIME LUMP SUM PAYMENT CONTINGENT ON HIS FUTURE EMPLOYMENT AT THE UNIVERSITY. THE PAYMENT WAS MADE DURING CALENDAR YEAR 2012 AND IS REPORTED IN PROFESSOR SEN'S COLUMN (B)(III) OTHER REPORTABLE COMPENSATION. PART I, LINE 7 BONUS AND INCENTIVE PAYMENTS: THE UNIVERSITY OFFERS INCENTIVE COMPENSATION FOR OUTSTANDING PERFORMANCE. BONUS AND INCENTIVE PAYMENTS FOR OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES ARE LISTED IN PART II, COLUMN (B)(II). PART I, LINE 8 INITIAL CONTRACT: PROVOST GARBER WAS COMPENSATED UNDER AN INITIAL CONTRACT THROUGH JUNE 30, 2012. THIS COMPENSATION ARRANGEMENT WAS APPROVED IN ADVANCE BY THE COMPENSATION COMMITTEE. THE COMPENSATION COMMITTEE OBTAINED AND RELIED UPON APPROPRIATE DATA AS TO COMPARABILITY PRIOR TO MAKING ITS DETERMINATION. HIS COMPENSATION AFTER JULY 1, 2012 WAS DETERMINED BY THE COMPENSATION COMMITTEE USING THE PROCESS DISCUSSED IN SCHEDULE O "COMPENSATION REVIEW PROCESS". SUPPLEMENTAL INFORMATION PART III SCHEDULE J SUPPLEMENTAL INFORMATION STEPHEN BLYTH IS A MANAGING DIRECTOR AND THE HEAD OF PUBLIC MARKETS FOR HARVARD MANAGEMENT COMPANY (HMC), A RELATED ORGANIZATION OF THE UNIVERSITY. DURING THE CALENDAR YEAR 2012, DR. BLYTH WAS APPOINTED TO A SENIOR FACULTY POSITION AT THE UNIVERSITY FOR WHICH HE RECEIVED A NOMINAL SALARY OF $1 PER MONTH. CONCURRENTLY, DR. BLYTH WAS A KEY EMPLOYEE OF HMC, WHICH HAS DISCLOSED HIS COMPENSATION FROM HMC, TOTALING $5,349,613, ON ITS FORM 990 FOR THE YEAR ENDED JUNE 30, 2013. NONE OF DR. BLYTH'S COMPENSATION FROM HMC RELATED TO HIS TEACHING POSITION AT THE UNIVERSITY. THE UNIVERSITY HAS NOT LISTED DR. BLYTH AS ONE OF ITS HIGHEST COMPENSATED EMPLOYEES GIVEN THE DISCLOSURE ON THE HMC FORM 990 AND IN ORDER TO HIGHLIGHT THE FIVE HIGHEST COMPENSATED EMPLOYEES WHO RECEIVED COMPENSATION FROM THE UNIVERSITY. FORMER PROVOST HYMAN AND FORMER ACTING VICE PRESIDENT CASHION CONTINUE TO BE EMPLOYED BY THE UNIVERSITY. THEY ARE REPORTED AS "FORMER" BECAUSE THEY DID NOT SERVE IN AN OFFICER CAPACITY DURING FISCAL YEAR 2013. FORMER VICE PRESIDENT SPENCER REMAINED IN HER ROLE THROUGH JUNE, 2012. SHE WAS NOT AN EMPLOYEE AT ANY TIME DURING THE FISCAL YEAR ENDED JUNE 30, 2013. HER COMPENSATION LISTED ON SCHEDULE J PART II REPRESENTS HER EARNINGS AS AN OFFICER FROM JANUARY 1, 2012 THROUGH JUNE 30, 2012. FORM 990, PART VII, SECTION A SUPPLEMENTAL INFORMATION FELLOWS BACOW AND KEOHANE RECEIVED HONORARIA UNRELATED TO THEIR WORK AS MEMBERS OF THE HARVARD CORPORATION. FELLOW BACOW WAS ALSO GRANTED A PAID FACULTY APPOINTMENT DURING CALENDAR YEAR 2012. THESE AMOUNTS ARE ALL REPORTED IN FORM 990, PART VII, SECTION A, COLUMN (D). A MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57585KGP7 2004-01-15 103670000 SERIES R 1-5 (SEE PART VI) 0 0 0 B MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57585KGP7 2005-04-14 13490000 SERIES R 6 (SEE PART VI) 0 0 0 C MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57585KGP7 2006-04-03 14040000 SERIES R 7 (SEE PART VI) 0 0 0 D MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586CFV2 2005-05-18 199814639 SERIES 2005A/B (SEE PART VI) 0 0 0 A 103670000 103670000 1 0 1 1 B 13491079 13491079 1 0 1 1 C 14043650 14043650 1 0 1 1 D 200761080 1059385 6740000 192961696 2007 1 0 1 1 A 0 0 0 0 0 0 1 B 0 0 0 0 0 0 1 C 0 0 0 0 0 0 1 D 0 1 1 1 1 1 0.00250 0.00250 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 1 0 1 0 0 0 1 C 0 0 1 0 1 0 0 0 1 D 0 0 1 0 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K, PART I, BOND ISSUES: COLUMNS A AND B (GENERAL NOTE): THE MASSACHUSETTS HEALTH AND EDUCATIONAL FACILITIES AUTHORITY (EIN: 04-2456011) WAS THE ORIGINAL ISSUER OF THE FOLLOWING ISSUES LISTED ON THIS SCHEDULE: SERIES R 1-5, SERIES R 6, SERIES R 7, SERIES 2005A/B, SERIES 2005C, SERIES 2007EE, SERIES 2008B, SERIES 2009A, SERIES 2009EE, AND SERIES 2010A. IT WAS MERGED INTO THE MASSACHUSETTS DEVELOPMENT FINANCE AGENCY (EIN: 04-3431814) ON OCTOBER 1, 2010. ROW A (SERIES R 1-5), COLUMN F: SERIES R, TRANCHE 1-5 WAS ISSUED TO REFUND PORTIONS OF THE FOLLOWING BOND ISSUES WHICH WERE ISSUED ON THE FOLLOWING DATES: SERIES A (7/1/72), SERIES B (7/1/73), SERIES C (4/7/76), SERIES D (6/23/77), SERIES I (5/7/85), SERIES M (2/6/91), SERIES N (9/1/91), SERIES P (6/13/95), SERIES Q-1 (8/29/96), SERIES Q-2 (9/2/97), SERIES Q-3 (9/15/98), SERIES Z (10/1/00), AND SERIES AA (10/4/01). ROW B (SERIES R 6), COLUMN F: SERIES R, TRANCHE 6 WAS ISSUED TO REFUND PORTIONS OF THE FOLLOWING BOND ISSUES WHICH WERE ISSUED ON THE FOLLOWING DATES: SERIES P (6/13/95), SERIES Z (10/1/00), AND SERIES AA (10/4/01). ROW C (SERIES R 7), COLUMN F: SERIES R, TRANCHE 7 WAS ISSUED TO REFUND PORTIONS OF THE FOLLOWING BOND ISSUES WHICH WERE ISSUED ON THE FOLLOWING DATES: SERIES P (6/13/95), SERIES Z (10/1/00), AND SERIES AA (10/4/01). ROW D (SERIES 2005A/B), COLUMN F: SERIES 2005A WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 12/18/03, AND TO FINANCE CAPITAL EXPENDITURES OF THE UNIVERSITY RELATING TO THE HARVARD DEPOSITORY, SOUTHBOROUGH, AND THE WIDENER LIBRARY, CAMBRIDGE. SERIES 2005B WAS ISSUED TO REFUND SERIES P, ISSUED 6/13/95. ROW A (SERIES 2005C), COLUMN F: SERIES 2005C WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 9/5/02 AND ON 12/18/03. ROW B (SERIES 2007EE), COLUMN C: SERIES 2007EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, AND THUS WAS REPRESENTED BY MULTIPLE CUSIPS. ROW B (SERIES 2007EE), COLUMN E: SERIES 2007EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, WITH AN AUTHORIZED AMOUNT OF $1,000,000,000. APPROXIMATELY $229 MILLION WAS OUTSTANDING ON 6/30/13. ROW B (SERIES 2007EE), COLUMN F: SERIES 2007EE, CONSISTING OF TAX-EXEMPT COMMERCIAL PAPER, WAS ISSUED TO PROVIDE SHORT-TERM FINANCING FOR THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING FOR THE ARNOLD ARBORETUM FOR RESEARCH AND ADMINISTRATION LOCATED AT WELD HILL, 1300 CENTRE STREET, BOSTON; (II) INSTALLATION OF A SATELLITE CHILLED WATER PLANT AND AN ELECTRICAL SUBSTATION LOCATED ON THE EAST SIDE OF OXFORD STREET BETWEEN HAMMOND AND KIRKLAND STREETS, CAMBRIDGE; (III) A RENOVATION OF BUILDING SPACE AT 46 BLACKSTONE STREET, CAMBRIDGE AND A BOILER REPLACEMENT AND ANCILLARY SYSTEM UPGRADE IN THE BLACKSTONE PLANT LOCATED AT THE SAME SITE (THE CORNER OF MEMORIAL DRIVE AND WESTERN AVENUE, CAMBRIDGE); (IV) AN UNDERGROUND PARKING FACILITY LOCATED AT 6-8 EVERETT STREET, CAMBRIDGE; (V) INSTALLATION OF UNDERGROUND PIPES AND WIRES IN THE HARVARD LAW SCHOOL AREA, WEST OF OXFORD STREET BETWEEN EVERETT STREET AND KIRKLAND STREET, CAMBRIDGE; (VI) RENOVATION OF ROCKEFELLER HALL, 47 FRANCIS AVENUE, CAMBRIDGE; (VII) RENOVATIONS AND UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (VIII) RENOVATION OF THE FIRE ALARM AND SPRINKLER SYSTEM, ROOF, AND ROOM INTERIORS AT RESIDENTIAL BUILDINGS IN THE HARVARD LAW SCHOOL AREA, 16-22 EVERETT STREET, CAMBRIDGE; (IX) RENOVATION AND EXTERIOR RESTORATION OF BYERLY HALL, 6-8 GARDEN STREET, CAMBRIDGE; (X) A RENOVATION OF THE MALKIN ATHLETIC CENTER, 39 HOLYOKE STREET, CAMBRIDGE; (XI) CONSTRUCTION AND EQUIPPING OF THE LABORATORY FOR INTERFACE SCIENCE AND ENGINEERING, 15 OXFORD STREET, CAMBRIDGE; (XII) CONSTRUCTION OF A RESEARCH FACILITY LOCATED AT 16 DIVINITY AVENUE, CAMBRIDGE; (XIII) AN ADDITION TO THE NEW COLLEGE THEATRE, 10-12 HOLYOKE STREET, CAMBRIDGE; (XIV) CONSTRUCTION OF THE NORTHWEST BUILDING, A SCIENCE FACILITY AT 52 OXFORD STREET, CAMBRIDGE; (XV) RENOVATION AND EXTERIOR RESTORATION OF GALLATIN HALL, 24 HARVARD WAY, BOSTON; (XVI) CLASSROOM RENOVATIONS AT THE MCCOLLUM CENTER, 47 HARVARD WAY, BOSTON; (XVII) RENOVATION OF BUILDINGS AT 641 AND 643 HUNTINGTON AVENUE, BOSTON; (XVIII) CONSTRUCTION OF A HOUSING DEVELOPMENT AT 387 WESTERN AVENUE, 28 HINGHAM STREET AND 30 HINGHAM STREET, CAMBRIDGE; (XIX) CONSTRUCTION OF THE ALLSTON SCIENCE COMPLEX, INCLUDING A PARKING FACILITY AND AN ENERGY FACILITY AT 150 WESTERN AVENUE, BOSTON; (XX) DESIGN FOR NEW INFRASTRUCTURE SYSTEMS FOR UTILITIES TUNNELS, MATERIALS HANDLING TUNNELS, WATER UTILITIES, WASTEWATER SYSTEMS, AND TRANSMISSION SUBSTATION TO SUPPORT THE ALLSTON CAMPUS, BOSTON; AND (XXI) A RENOVATION OF THE BUILDING FIRE SPRINKLER AND FIRE ALARM AT DUNSTER HOUSE, 945 MEMORIAL DRIVE, CAMBRIDGE. ROW C (SERIES 2008B), COLUMN F: SERIES 2008B WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 3/9/06 AND 12/21/07, AND TO REFINANCE CAPITAL EXPENDITURES OF THE UNIVERSITY RELATING TO QUINCY HOUSE, 58 PLYMPTON STREET, CAMBRIDGE. ROW D (SERIES 2009A), COLUMN F: SERIES 2009A WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 3/9/06 AND 12/21/07, AND TO REFUND SERIES GG-1, ISSUED 7/1/04, AND SERIES 2006B, ISSUED 7/20/06 AND PAY RELATED COSTS. ROW A (SERIES 2009EE), COLUMN C: SERIES 2009EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, AND THUS WAS REPRESENTED BY MULTIPLE CUSIPS. ROW A (SERIES 2009EE), COLUMN E: SERIES 2009EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, WITH AN AUTHORIZED AMOUNT OF $1,000,000,000. APPROXIMATELY $60 MILLION WAS OUTSTANDING ON 6/30/13. ROW A (SERIES 2009EE), COLUMN F: SERIES 2009EE, CONSISTING OF TAX-EXEMPT COMMERCIAL PAPER, WAS ISSUED TO PROVIDE SHORT-TERM FINANCING FOR THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING FOR THE ARNOLD ARBORETUM FOR RESEARCH AND ADMINISTRATION LOCATED AT WELD HILL, 1300 CENTRE STREET, BOSTON; (II) AN UNDERGROUND PARKING FACILITY LOCATED AT 6-8 EVERETT STREET, CAMBRIDGE; (III) INSTALLATION OF A SATELLITE CHILLED WATER PLANT AND AN ELECTRICAL SUBSTATION LOCATED ON THE EAST SIDE OF OXFORD STREET BETWEEN HAMMOND AND KIRKLAND STREETS, CAMBRIDGE; (IV) RENOVATION OF ROCKEFELLER HALL, 47 FRANCIS AVENUE, CAMBRIDGE; (V) CONSTRUCTION OF A BUILDING AND RELATED RENOVATIONS AND UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (VI) LIFE SAFETY FIRE SYSTEM UPGRADES, OTHER RENOVATIONS, AND STRATEGIC PLANNING FOR ADDITIONAL RENEWAL AND RENOVATIONS AT STUDENT RESIDENCES LOCATED AT 45 FLAGG STREET, 10 HOLYOKE PLACE, 56 PLYMPTON STREET, 10 LINDEN STREET, 13-21 & 53 BOW STREET, 26 PLYMPTON STREET, 966 MEMORIAL DRIVE, 967 MEMORIAL DRIVE, 35-39 OXFORD STREET, 36 OXFORD STREET, 1651 MASSACHUSETTS AVENUE, AND 1533-1544 MASSACHUSETTS AVENUE, CAMBRIDGE; (VII) CONSTRUCTION AND EQUIPPING OF THE LABORATORY FOR INTERFACE SCIENCE AND ENGINEERING, 15 OXFORD STREET, CAMBRIDGE; (VIII) AN ADDITION TO THE NEW COLLEGE THEATRE, 10-12 HOLYOKE STREET, CAMBRIDGE; (IX) CONSTRUCTION OF THE NORTHWEST BUILDING, A SCIENCE FACILITY AT 52 OXFORD STREET, CAMBRIDGE; (X) RENOVATIONS TO EXPAND TEACHING LAB SPACE IN THE NORTHWEST BUILDING, 52 OXFORD STREET, CAMBRIDGE; (XI) ROOF, LIFE SAFETY, AND INFRASTRUCTURE UPGRADES TO PERKINS HALL, 35-39 OXFORD STREET, CAMBRIDGE; (XII) COSMETIC, ROOF, INFRASTRUCTURE AND LIFE SAFETY UPGRADES TO BAKER HALL, 45 HARVARD WAY, BOSTON; (XIII) RENOVATION OF BUILDINGS AT 641 AND 643 HUNTINGTON AVENUE, BOSTON; (XIV) A RENOVATION OF OFFICE SPACE IN GORDON HALL, 25 SHATTUCK STREET, BOSTON; AND (XV) CONSTRUCTION OF THE ALLSTON SCIENCE COMPLEX, INCLUDING A PARKING FACILITY AND AN ENERGY FACILITY AT 150 WESTERN AVENUE, BOSTON. ROW B (SERIES 2010A), COLUMN F: SERIES 2010A WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 3/9/06, 12/21/07 AND 7/22/09; TO REFUND PORTIONS OF SERIES Z, ISSUED 11/9/00, AND SERIES FF, ISSUED 7/24/02 AND PAY RELATED COSTS; AND TO FINANCE THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING AND RELATED RENOVATIONS AND UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (II) A RENOVATION OF BUILDING SPACE AND A BOILER REPLACEMENT AND ANCILLARY SYSTEM UPGRADE IN THE BLACKSTONE PLANT, 46 BLACKSTONE STREET, CAMBRIDGE; (III) A RETROFIT OF EXISTING HVAC SYSTEMS FOR LARSEN HALL, 14 APPIAN WAY, CAMBRIDGE; (IV) MAINTENANCE AND TOWER RESTORATION AT LOWELL HOUSE, 10 HOLYOKE PLACE, CAMBRIDGE; (V) RENOVATION OF ADMINISTRATIVE OFFICE AND CLASSROOM SPACE IN PIERCE HALL, 25 OXFORD STREET, CAMBRIDGE; AND (VI) RENOVATION, RECONSTRUCTION, AND EXPANSION OF HARVARD UNIVERSITY ART MUSEUMS, 32 QUINCY STREET, CAMBRIDGE. ROW C (SERIES 2010B), COLUMN F: SERIES 2010B WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 12/21/07 AND 7/22/09; TO REFUND SERIES L, ISSUED 10/4/89, SERIES BB, ISSUED 11/9/00, AND SERIES HH, ISSUED 10/29/03, AND PORTIONS OF SERIES FF, ISSUED 7/24/02 AND PAY RELATED COSTS; AND TO FINANCE THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING AND RELATED RENOVATIONS AND UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (II) RENOVATION, RECONSTRUCTION, AND EXPANSION OF HARVARD UNIVERSITY ART MUSEUMS, 32 QUINCY STREET, CAMBRIDGE; (III) UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (IV) RENOVATIONS AND ADDITIONS AT THE HARVARD DEPOSITORY, 1 PINE HILL DRIVE, SOUTHBOROUGH; (V) RENOVATION OF ADMINISTRATIVE OFFICE SPACE IN HOLYOKE CENTER, 1350 MASSACHUSETTS AVENUE, CAMBRIDGE; (VI) RENEWAL AND RENOVATIONS AT WINTHROP HOUSE, 8 MILL STREET, CAMBRIDGE; AND (VII) MAINTENANCE AND TOWER RESTORATION AT ADAMS HOUSE, 10 LINDEN STREET, 13-21 & 53 BOW STREET, AND 26 PLYMPTON STREET, CAMBRIDGE. ROW D (SERIES 2011EE), COLUMN C: SERIES 2011EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, AND THUS WAS REPRESENTED BY MULTIPLE CUSIPS. ROW D (SERIES 2011EE), COLUMN E: SERIES 2011EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, WITH AN AUTHORIZED AMOUNT OF $1,000,000,000. APPROXIMATELY $84,000 WAS OUTSTANDING ON 6/30/13. ROW D (SERIES 2011EE), COLUMN F: SERIES 2011EE, CONSISTING OF TAX-EXEMPT COMMERCIAL PAPER, WAS ISSUED TO PROVIDE SHORT-TERM FINANCING FOR THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING FOR THE ARNOLD ARBORETUM FOR RESEARCH AND ADMINISTRATION LOCATED AT WELD HILL, 1300 CENTRE STREET, BOSTON; AND (II) STRATEGIC PLANNING FOR RENEWAL AND RENOVATIONS AT STUDENT RESIDENCES LOCATED AT 45 FLAGG STREET, 10 HOLYOKE PLACE, 56 PLYMPTON STREET, 10 LINDEN STREET, 13-21 & 53 BOW STREET, 26 PLYMPTON STREET, 966 MEMORIAL DRIVE, 967 MEMORIAL DRIVE, 35-39 OXFORD STREET, 36 OXFORD STREET, 1651 MASSACHUSETTS AVENUE, AND 1533-1544 MASSACHUSETTS AVENUE, CAMBRIDGE. ROW A (SERIES 2012EE), COLUMN C: SERIES 2012EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, AND THUS WAS REPRESENTED BY MULTIPLE CUSIPS. ROW A (SERIES 2012EE), COLUMN E: SERIES 2012EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, WITH AN AUTHORIZED AMOUNT OF $1,000,000,000. $564,000 WAS OUTSTANDING ON 6/30/13. ROW A (SERIES 2012EE), COLUMN F: SERIES 2012EE, CONSISTING OF TAX-EXEMPT COMMERCIAL PAPER, WAS ISSUED TO PROVIDE SHORT-TERM FINANCING FOR THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING FOR THE ARNOLD ARBORETUM FOR RESEARCH AND ADMINISTRATION LOCATED AT WELD HILL, 1300 CENTRE STREET, BOSTON. SCHEDULE K, PART II, PROCEEDS: LINE 3 (GENERAL NOTE): THE DIFFERENCE BETWEEN AMOUNTS REPORTED IN LINE 3 AND IN COLUMN E OF PART I REPRESENTS INVESTMENT EARNINGS, EXCEPT IN THE CASE OF THE COMMERCIAL PAPER ISSUES (SERIES 2007EE, 2009EE, 2011EE AND 2012EE), FOR WHICH LINE 3 REPRESENTS THE BALANCE OUTSTANDING ON JUNE 30, 2013 AND COLUMN E OF PART I REPRESENTS THE FULL AUTHORIZED AMOUNT OF THE COMMERCIAL PAPER PROGRAM. LINE 13, COLUMN B (SERIES 2007EE): ONE OR MORE PROJECTS FINANCED BY THIS BOND SERIES WAS NOT SUBSTANTIALLY COMPLETE AS OF JUNE 30, 2013. LINE 13, COLUMN A (SERIES 2009EE): ONE OR MORE PROJECTS FINANCED BY THIS BOND SERIES WAS NOT SUBSTANTIALLY COMPLETE AS OF JUNE 30, 2013. LINE 13, COLUMN B (SERIES 2010A): ONE OR MORE PROJECTS FINANCED BY THIS BOND SERIES WAS NOT SUBSTANTIALLY COMPLETE AS OF JUNE 30, 2013. LINE 13, COLUMN C (SERIES 2010B): ONE OR MORE PROJECTS FINANCED BY THIS BOND SERIES WAS NOT SUBSTANTIALLY COMPLETE AS OF JUNE 30, 2013. SCHEDULE K, PART III, PRIVATE BUSINESS USE: SERIES R1-5, R6, AND R7: THESE BONDS WERE ISSUED SOLELY TO REFUND PRE-JANUARY 1, 2003 ISSUES AND ARE NOT SUBJECT TO PART III REPORTING. SOFTWARE LIMITATIONS PREVENTED CERTAIN FIELDS FROM BEING LEFT BLANK; "NO" RESPONSES IN PART III FOR THESE ISSUES SHOULD BE DISREGARDED. SCHEDULE K, PART IV, ARBITRAGE: LINE 2C (SERIES 2007E, 2009E, 2011E, 2012E): NO REBATE COMPUTATION WAS NEEDED IN RELATION TO THE UNIVERSITY'S COMMERCIAL PAPER SERIES BECAUSE NO PROCEEDS WERE INVESTED PRIOR TO BEING SPENT. LINE 6 (SERIES 2010B): "YES" RESPONSE REFLECTS AMOUNTS REMAINING IN THE PROJECT FUND BEYOND THE TEMPORARY PERIOD; AMOUNTS WERE HELD AND INVESTED IN COMPLIANCE WITH ARBITRAGE RESTRICTIONS. A MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586CNN1 2005-12-15 130469345 SERIES 2005C (SEE PART VI) 0 0 0 B MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 MULTIPLES 2007-12-21 1000000000 SERIES 2007EE (SEE PART VI) 0 0 0 C MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586C6U4 2008-06-10 216886431 SERIES 2008B (SEE PART VI) 0 0 0 D MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586EDD0 2009-01-07 987282950 SERIES 2009A (SEE PART VI) 0 0 0 A 131725452 793845 130931608 2007 1 0 1 1 B 361581550 228692757 228692757 0 0 1 1 C 216895190 216895190 2008 1 0 1 1 D 987678695 5861589 981817105 2013 1 0 1 1 A 0 0 1 1 1 1 0.00080 0.00020 0.00100 0 0 1 B 0 0 1 1 0 0 0 1 C 0 0 1 1 1 1 0.00010 0.00010 0 0 1 D 0 1 1 1 1 1 0.00020 0.00020 0 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 0 1 1 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 A MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 MULTIPLES 2009-07-22 1000000000 SERIES 2009EE (SEE PART VI) 0 0 0 B MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586EQE4 2010-01-20 531814469 SERIES 2010A (SEE PART VI) 0 0 0 C MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57583R5Q4 2010-11-17 663862239 SERIES 2010B (SEE PART VI) 0 0 0 D MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 MULTIPLES 2011-02-08 1000000000 SERIES 2011EE (SEE PART VI) 0 0 0 A 100318242 60036758 60036758 0 0 0 1 B 533205724 20489954 2755155 198239905 311723511 1 1 0 1 C 664812368 13656636 2437073 91566574 516556981 40595103 1 1 0 1 D 2916454 83546 83546 2011 0 0 1 1 A 0 0 1 1 0 0 0 1 B 0 1 1 1 1 1 0.01020 0.00070 0.01090 0 0 1 C 0 0 1 1 1 1 0.00010 0.00010 0 0 1 D 0 0 0 0 0 0 1 A 0 0 0 1 1 0 0 0 1 B 0 1 0 0 0 0 0 0 1 C 0 1 0 0 0 0 0 1 1 D 0 0 0 1 1 0 0 0 1 A 1 B 1 C 1 D 1 A MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 MULTIPLES 2012-08-08 1000000000 SERIES 2012EE (SEE PART VI) 0 0 0 A 564000 564000 2011 0 0 1 1 A 0 0 0 0 0 0 1 A 0 0 0 1 1 0 0 0 1 A 1 JEFFREY FLIER KEY EMPLOYEE DEPENDENT'S EDUCATION X 47000 25000 0 1 1 JULIO FRENK HIGHEST COMPENSATED EMPLOYEE PURCHASE OF HOME X 1163000 1163000 0 1 1 JULIO FRENK HIGHEST COMPENSATED EMPLOYEE DEPENDENT'S EDUCATION X 68000 54000 0 1 1 STEVEN HYMAN FORMER OFFICER PURCHASE OF HOME X 750000 750000 0 1 1 MICHAEL KLARMAN HIGHEST COMPENSATED EMPLOYEE PURCHASE OF HOME X 1400000 1400000 0 1 1 MICHAEL KLARMAN HIGHEST COMPENSATED EMPLOYEE DEPENDENT'S EDUCATION X 76000 64000 0 1 1 NADARAJAN CHETTY HIGHEST COMPENSATED EMPLOYEE PURCHASE OF HOME X 500000 473000 0 1 1 3929000 DR SOHEYLA GHARIB EMPLOYEE/FAMILY MEMBER OF DIRECTOR 322704 COMPENSATION 0 ROSEMARY KEANE EMPLOYEE/FAMILY MEMBER OF CURRENT OFFICER 60330 COMPENSATION 0 BHARAT ANAND EMPLOYEE/FAMILY MEMBER OF KEY EMPLOYEE 349186 COMPENSATION 0 WILMERHALE EMPLOYER OF DIRECTOR 1365677 LEGAL SERVICES 0 SUGARMAN ROGERS BARSHAK EMPLOYER OF FAMILY MEMBER 717787 LEGAL SERVICES 0 STAPLES INC HARVARD OFFICER IS A STAPLES DIRECTOR 501221 OFFICE SUPPLIES 0 X 52 X 1 X 1145 108057586 MEAN MKT VALUE X 7 10521426 APPRAISED VALUE/FMV X 4 28046731 APPRAISED VALUE/FMV X 1 942865 APPRAISED VALUE/FMV X 5 X 1 X 1 X AUCTION 11 X EQUIPMENT 5 X ARCHIVAL RECORDS/BOOKS 13 X VARIOUS OTHER 4 116625 CASH SURRENDER VALUE/FMV 34 0 1 1 METHOD FOR DETERMINING NUMBER OF CONTRIBUTIONS: PART I, COLUMN (B): SCHEDULE M, PART I, COLUMN (B): THE UNIVERSITY IS REPORTING A COMBINATION OF BOTH THE NUMBER OF CONTRIBUTIONS AND THE NUMBER OF ITEMS RECEIVED. THIRD PARTY USE: PART I, LINE 32B: SCHEDULE M, LINE 32B: THIRD PARTIES, SUCH AS AUCTION HOUSES OR BROKERS, MAY BE USED TO SELL NON-CASH CONTRIBUTIONS FOR THE UNIVERSITY, BUT NOT TO PROCESS OR SOLICIT ANY CONTRIBUTIONS FOR THE UNIVERSITY. NON REPORTING OF REVENUE: PART I, LINE 33: WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS: SFAS 116 PROVIDES THAT CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS THAT ARE HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. THE UNIVERSITY DOES NOT REPORT REVENUES FOR GIFTS-IN-KIND INTENDED FOR DISPLAY OR IMMATERIAL AMOUNTS. THE FOLLOWING IS THE TEXT OF THE FOOTNOTE DESCRIBING COLLECTIONS FROM THE UNIVERSITY'S FINANCIAL STATEMENTS: "THE UNIVERSITY'S VAST ARRAY OF MUSEUMS AND LIBRARIES HOUSES PRICELESS WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS, AND ARTIFACTS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICES. THEY ARE NEITHER DISPOSED OF FOR FINANCIAL GAIN NOR ENCUMBERED IN ANY MANNER. ACCORDINGLY, SUCH COLLECTIONS ARE NOT RECORDED FOR FINANCIAL STATEMENT PURPOSES." NOT ALL GIFTS ARE ART GIVEN WITH THE INTENTION OF BEING DISPLAYED. THERE MAY BE INSTANCES WHERE A GIFT OF ART IS MADE WITH THE PURPOSE OF BEING SOLD AND THE PROCEEDS BENEFITING A SPECIFIC PURPOSE OR UNIT AT THE UNIVERSITY. IN SUCH CASES, THE SALE PROCEEDS WOULD BE RECORDED AS GIFT REVENUE AT THE TIME OF SALE. SCHEDULE M, LINE 33: OTHER NONCASH CONTRIBUTIONS: CERTAIN NONCASH CONTRIBUTIONS LISTED IN PART I HAVE NOT REPORTED AN AMOUNT IN PART I, COLUMN (C). NO AMOUNT IS REPORTED FOR THESE CONTRIBUTIONS EITHER BECAUSE THEY ARE INTENDED FOR DISPLAY, AS DISCUSSED ABOVE, OR BECAUSE THE VALUE OF THE NONCASH CONTRIBUTION IS IMMATERIAL. ORGANIZATION MISSION STATEMENT FORM 990, PART I, LINE 1 SIGNIFICANT ACTIVITIES: UNDERGRADUATE, GRADUATE, AND PROFESSIONAL EDUCATION AND RESEARCH ACROSS A BROAD ARRAY OF ACADEMIC DOMAINS FORM 990, PART I, LINE 6, VOLUNTEERS: HARVARD IS FORTUNATE TO BENEFIT FROM THE SERVICES OF VOLUNTEERS ACROSS ITS NUMEROUS SCHOOLS, DEPARTMENTS, AND PROGRAMS. WHILE HARVARD DOES NOT TRACK OR ELSEWHERE REPORT THE NUMBER OF ITS VOLUNTEERS, THE UNIVERSITY ESTIMATES THAT THIS FIGURE EXCEEDS 23,000. FORM 990, PART I, LINE 5, TOTAL NUMBER OF INDIVIDUALS EMPLOYED: AS REQUIRED BY THE FORM 990 INSTRUCTIONS, THE NUMBER REPORTED ON PART I, LINE 5 REPRESENTS THE TOTAL NUMBER OF FORMS W-2 PRODUCED BY THE UNIVERSITY DURING CALENDAR YEAR 2012. THIS INCLUDES PAYMENTS FOR WORK STUDY AND CERTAIN TEACHING FELLOWS, AS WELL AS SHORT-TERM EMPLOYMENT. THE TOTAL HEAD COUNT FOR FACULTY AND STAFF AS REPORTED ON THE HARVARD UNIVERSITY FACT BOOK FOR OCTOBER 31, 2012 WAS 17,149. FORM 990, PART VI, SECTION A, LINE 7B GOVERNANCE DECISIONS: CERTAIN ACTIONS OF THE HARVARD CORPORATION, SUCH AS THE ELECTION OF NEW CORPORATION MEMBERS, THE CONFERRAL OF DEGREES, AND AMENDMENTS TO THE UNIVERSITY STATUTES, ARE SUBJECT TO THE CONSENT OF THE UNIVERSITY'S BOARD OF OVERSEERS. FORM 990, PART VI, SECTION B, LINE 11 REVIEW PROCESS: THE FORM 990 WAS REVIEWED BY THE UNIVERSITY'S TAX RETURN REVIEW COMMITTEES, COMPRISING SENIOR FINANCE STAFF AND INTERNAL AND EXTERNAL COUNSEL. FORM 990 WAS ALSO REVIEWED BY THE UNIVERSITY'S JOINT COMMITTEE ON INSPECTION, CONSISTING OF MEMBERS OF THE HARVARD CORPORATION AND THE BOARD OF OVERSEERS. THE FINAL FORM 990 WAS PROVIDED TO THE ENTIRE HARVARD CORPORATION BEFORE IT WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY: ANNUALLY, THE UNIVERSITY'S OFFICE OF THE GENERAL COUNSEL DISTRIBUTES A COPY OF THE HARVARD UNIVERSITY POLICY ON CONFLICTS OF INTEREST AND COMMITMENT FOR SENIOR OFFICERS AND SENIOR ADMINISTRATORS, AND AN ANNUAL DISCLOSURE FORM, TO THE INDIVIDUALS SUBJECT TO THE POLICY. THE COMPLETED FORMS ARE REVIEWED BY THE OFFICE OF THE GENERAL COUNSEL. A PARALLEL PROCESS IS CARRIED OUT ANNUALLY BY THE OFFICE OF THE GOVERNING BOARDS FOR THE UNIVERSITY'S GOVERNING BODY. THE COMPLETED DISCLOSURE FORMS OF MEMBERS OF THE GOVERNING BODY ARE REVIEWED BY BOTH THE OFFICE OF THE GENERAL COUNSEL AND THE SECRETARY OF THE UNIVERSITY. FORM 990, PART VI, SECTION B, LINE 15 AND SCHEDULE J, PART I, LINE 3: COMPENSATION REVIEW PROCESS: THE FOLLOWING IS A DESCRIPTION OF THE ANNUAL COMPENSATION REVIEW PROCESS. THE MOST RECENT REVIEW CONDUCTED PRIOR TO THE CLOSE OF THE FISCAL YEAR 2013 OCCURED IN MAY 2013. THE OFFICE OF HUMAN RESOURCES INITIATES AN ANNUAL REVIEW PROCESS TIMED SO THAT A FINAL REVIEW CAN BE CONDUCTED BY THE HARVARD CORPORATION DURING ITS APRIL/MAY MEETING. ALL INTERNAL REVIEWS AND NEW SALARY RECOMMENDATIONS ARE CONDUCTED IN ADVANCE OF THE CORPORATION MEETING, GENERALLY INCLUDING RECOMMENDATION BY THE PRESIDENT OF COMPENSATION OTHER THAN THE PRESIDENT'S OWN. THE PROVOST AND THE EXECUTIVE VICE PRESIDENT ADDITIONALLY PROVIDE RECOMMENDATIONS ON THOSE INDIVIDUALS FOR WHOM THEY HAVE ORGANIZATIONAL RESPONSIBILITY, SUBJECT TO THE APPROVAL OF THE PRESIDENT. DURING THE MEETING, THE CORPORATION, WHICH IN FULL SERVES AS THE COMPENSATION COMMITTEE, REVIEWS EACH OF THE PRESIDENT'S PROPOSALS FOR FINAL APPROVAL. THE PRESIDENT DOES NOT PARTICIPATE IN THE DELIBERATIONS OR THE VOTE ON THE PRESIDENT'S OWN COMPENSATION. ALL VOTES ARE MEMORIALIZED IN MINUTES AND PRESERVED, TOGETHER WITH ALL BACKGROUND DATA AND MATERIALS PROVIDED BY THE OFFICE OF HUMAN RESOURCES. THIS ANNUAL REVIEW PROCESS INCLUDES THE COMPILATION OF APPROPRIATE COMPARABILITY COMPENSATION DATA FOR EACH POSITION INCLUDED IN THE REVIEW. FOR THIS PURPOSE, THE PRINCIPAL SOURCE OF SUCH DATA IS AN ANNUAL REPORT PROVIDED BY AN OUTSIDE CONSULTANT. ADDITIONAL COMPARABILITY DATA FOR REVIEW OF THE PRESIDENT'S COMPENSATION HAS BEEN DRAWN FROM A SECOND EXTERNAL SOURCE THAT IS COMPILED ANNUALLY AND FROM PUBLICLY AVAILABLE FORM 990 INFORMATION. THE INDIVIDUALS TO WHOM THE PROCESS IS APPLIED ARE THE FOLLOWING: 1. THE OFFICERS OF THE UNIVERSITY, INCLUDING THE PRESIDENT, PROVOST, SECRETARY, EXECUTIVE VICE PRESIDENT, AND ALL VICE PRESIDENTS; 2. THE DEANS OF THE FACULTIES; 3. CERTAIN OTHER SENIOR UNIVERSITY PERSONNEL FORM 990, PART VI, SECTION C, LINE 19 PUBLIC DOCUMENTS: HARVARD UNIVERSITY MAKES ITS ANNUAL FINANCIAL STATEMENTS AVAILABLE ON ITS WEBSITE. HARVARD'S CONFLICT OF INTEREST POLICY IS AVAILABLE ON HARVARD'S INTRANET, ACCESSIBLE TO MEMBERS OF THE HARVARD COMMUNITY. HARVARD'S PUBLIC CHARTER IS AVAILABLE UPON REQUEST. FORM 990, PART VII, LINE 1A, COLUMN (B), AVERAGE HOURS PER WEEK: THE UNIVERSITY DOES NOT TRACK HOURS WORKED BY TRUSTEES, OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES. THE AVERAGE HOURS WORKED REPORTED ON PART VII, COLUMN (B) ARE ESTIMATES, WITH 60 HOURS PER WEEK AS AN APPROXIMATION FOR FULL-TIME EMPLOYMENT. THE HOURS PER WEEK DEVOTED TO RELATED ORGANIZATIONS REPRESENTS AN ESTIMATE OF TIME THE INDIVIDUAL SPENDS IN HIS/HER CAPACITY AS A MEMBER OF THE BOARD OF DIRECTORS OF HARVARD AFFILIATES. ALLOCATION OF EXPENSES FORM 990, PART IX, STATEMENT OF FUNCTIONAL EXPENSES BEGINNING IN THE TAX YEAR ENDED JUNE 30, 2013, THE UNIVERSITY REFINED ITS PROCESS OF ALLOCATING EXPENSES AMONG PROGRAM SERVICES, MANAGEMENT AND GENERAL, AND FUNDRAISING. THE SHIFT DOES NOT REPRESENT A GENERAL CHANGE IN SPENDING PRACTICES. FORM 990, PART X, LINE 33, NET ASSETS: AS REPORTED IN THE UNIVERSITY'S FY13 FINANCIAL STATEMENTS, THE UNIVERSITY HAS CONSOLIDATED CERTAIN NON-CONTROLLING INTERESTS RELATING TO ITS INVESTMENTS IN REAL ASSETS UNDER ASU 2010-7. THESE NON-CONTROLLING INTERESTS REPRESENT THE PORTION OF THE REAL ASSETS NOT CONTROLLED BY THE UNIVERSITY, BUT REQUIRED TO BE PRESENTED ON THE UNIVERSITY'S BALANCE SHEET UNDER GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. THESE INTERESTS WERE $453.9 MILLION AS OF JUNE 30, 2013. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: NON-CONTROLLING INTERESTS IN REAL ASSET INVESTMENTS -616,196,000. CHANGES IN POST-RETIREMENT HEALTH BENEFITS 389,845,456. TRANSFERS TO AFFILIATED ORGANIZATIONS -75,112,987. OTHER CHANGES IN NET ASSETS -38,651,344. 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