2014-05-07T18:53:58-05:00 2013-06-30 910189318 MOSS ADAMS LLP 3121 WEST MARCH LANE SUITE 100 STOCKTON CA 952192303 990 2012-07-01 951667177 OCCIDENTAL COLLEGE OCCI 3232591417 1600 CAMPUS ROAD LOS ANGELES CA 90041 AMOS R HIMMELSTEIN 3232591417 2014-05-05 1 TRACY S PAGLIA P00366884 2099556100 2012 2015-11-30 17:44:51Z JONATHAN VEITCH 1600 CAMPUS ROAD LOS ANGELES CA 90041 449187866 0 X WWW.OXY.EDU X 1887 CA TO PROVIDE STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY. 44 41 2546 612 -432994 -1128023 20676161 20584866 113577946 120115186 23229891 22072531 0 0 157483998 162772583 38598408 40556057 0 0 60199941 61474415 0 0 6507501 42844900 43265431 141643249 145295903 15840749 17476680 586642099 639138087 124166871 140549197 462475228 498588890 X SEE SCHEDULE OTHE MISSION OF OCCIDENTAL COLLEGE IS TO PROVIDE A GIFTED AND DIVERSE GROUP OF STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY - ONE THAT PREPARES THEM FOR LEADERSHIP IN AN INCREASINGLY COMPLEX, INTERDEPENDENT AND PLURALISTIC WORLD. THE DISTINCTIVE INTERDISCIPLINARY AND MULTICULTURAL FOCUS OF THE COLLEGE'S ACADEMIC PROGRAM SEEKS TO FOSTER BOTH THE FULFILLMENT OF INDIVIDUAL ASPIRATIONS AND A DEEPLY ROOTED COMMITMENT TO THE PUBLIC GOOD. THIS MISSION IS ANCHORED BY FOUR CORNERSTONES: EXCELLENCE, EQUITY, COMMUNITY AND SERVICE. THESE BUILDING BLOCKS, IN ONE FORM OR ANOTHER, HAVE LONG BEEN THE BASIS FOR THE COLLEGE'S COMMITMENT TO PROVIDING RESPONSIBLE LEADERS AND CITIZENS FOR OUR DEMOCRATIC SOCIETY. CHOOSING THEM TO SUPPORT THE FUTURE HELPS TO ENSURE THAT THE COLLEGE REMAINS TRUE TO ITS MISSION WHILE ADAPTING TO A CHANGING WORLD. 0 0 88927363 40185406 95486684 SEE SCHEDULE OACADEMIC PROGRAM:AS THE FIRST AND STILL ONLY COLLEGE OF THE LIBERAL ARTS AND SCIENCES IN THE CITY OF LOS ANGELES, OCCIDENTAL'S ACADEMIC PROGRAM IS ESSENTIAL TO ITS EDUCATIONAL MISSION. OCCIDENTAL'S 30 ACADEMIC DEPARTMENTS OFFER 37 MAJORS AND MINORS IN THE SCIENCES, ARTS, HUMANITIES AND SOCIAL SCIENCES (31 MAJORS AND 6 PROGRAMS THAT ARE MINORS ONLY). AS AT ALL COLLEGES, THIS IS A LABOR-INTENSIVE MISSION. OCCIDENTAL EMPLOYS 174 FULL-TIME AND 29 PART-TIME FACULTY TO TEACH AND MENTOR ITS STUDENTS. IN ADDITION TO CLASSES TAUGHT AT OCCIDENTAL, THE COLLEGE ALSO SUPPORTS A PROGRAM OF WHAT IT TERMS COMMUNITY-BASED LEARNING, WHICH TIES SERVICE LEARNING DIRECTLY TO THE CURRICULUM, ONE OF THE COUNTRY'S BEST UNDERGRADUATE RESEARCH PROGRAMS; AN ACADEMICALLY RIGOROUS STUDY ABROAD PROGRAM WITH COMPETITIVE ADMISSION; AND ONE OF THE COUNTRY'S FEW UNITED NATIONS PROGRAM FOR THE UNDERGRADUATES. OCCIDENTAL ALSO PROVIDES PROGRAMS TO HELP STUDENTS IMPROVE WRITING, RESEARCH, AND OTHER ACADEMIC SKILLS; ASSIST STUDENTS WITH LEARNING AND PHYSICAL CHALLENGES; AND HELPS FACULTY IDENTIFY AND PROMOTE EFFECTIVE TEACHING METHODS. IN SUPPORT OF ITS ACADEMIC PROGRAMS, OCCIDENTAL OPERATES A LIBRARY FULLY EQUIPPED WITH PRINT AND DIGITAL RESOURCES OPEN SEVEN DAYS A WEEK DURING THE ACADEMIC YEAR, A WIRELESS CAMPUS COMPUTER NETWORK WITH A WIDE ARRAY OF HARDWARE AND SOFTWARE, SCIENCE LABORATORIES, ART STUDIOS, THEATER SPACE, MUSIC REHEARSAL AND PERFORMANCE SPACES, AND VIDEO AND FILM EQUIPMENT. 32728301 109254 23527096 SEE SCHEDULE OCO-CURRICULAR PROGRAM:AS AN INTENTIONALLY RESIDENTIAL COLLEGE OF THE LIBERAL ARTS AND SCIENCES, OCCIDENTAL REGARDS THE INTERACTION BETWEEN STUDENTS, FACULTY AND STAFF, AND BETWEEN STUDENTS THEMSELVES OUTSIDE THE CLASSROOM AS AN ESSENTIAL PART OF A LIBERAL ARTS EDUCATION. OCCIDENTAL STUDENTS ARE REQUIRED TO LIVE ON CAMPUS FOR THEIR FIRST THREE YEARS, AND ALMOST 80 PERCENT OF STUDENTS CURRENTLY LIVE IN COLLEGE RESIDENCE HALLS. THE RESIDENCE EDUCATION AND HOUSING OFFICE STAFFS THE COLLEGE'S 13 RESIDENCE HALLS AND TOGETHER WITH THE OFFICE OF STUDENT AFFAIRS OFFERS A WIDE VARIETY OF CO-CURRICULAR PROGRAMMING FOR STUDENTS. STUDENT AFFAIRS ALSO SUPPORTS STUDENT GOVERNMENT AND MORE THAN 100 OTHER STUDENT CLUBS AND ORGANIZATIONS, ALL OF WHICH PROVIDE OPPORTUNITIES FOR THE DEVELOPMENT OF STUDENT LEADERSHIP AND INITIATIVE. THROUGHOUT ITS HISTORY, OCCIDENTAL HAS REGARDED ATHLETICS AS AN ESSENTIAL CO-CURRICULAR PROGRAM. A FOUNDER OF INTERCOLLEGIATE ATHLETIC COMPETITION IN SOUTHERN CALIFORNIA, OCCIDENTAL OFFERS 21 INTERCOLLEGIATE SPORTS FOR MEN AND WOMEN AT THE NCAA DIVISION III LEVEL, AS WELL AS CLUB AND INTRAMURAL SPORTS. 4046869 261397 391388 SEE SCHEDULE OPUBLIC SERVICE:OCCIDENTAL'S FORMAL RECORD OF INSTITUTIONAL COMMUNITY SERVICE EXTENDS BACK ALMOST HALF A CENTURY TO THE FOUNDING OF ITS COMMUNITY LITERACY CENTER IN 1963 TO PROVIDE ONE-ON-ONE TUTORING TO LOCAL ELEMENTARY SCHOOL STUDENTS. TODAY, HALF OF OCCIDENTAL'S STUDENTS PARTICIPATE IN SOME KIND OF COMMUNITY PROJECT; OCCIDENTAL WAS ONE OF THE FIRST LIBERAL ARTS COLLEGES TO BE DESIGNATED A COMMUNITY ENGAGEMENT INSTITUTION BY THE CARNEGIE FOUNDATION FOR THE ADVANCEMENT OF TEACHING. OCCIDENTAL'S UPWARD BOUND PROGRAM, LAUNCHED IN 1966 AS ONE OF THE COLLEGE ACCESS PROGRAM'S PILOT PROGRAMS, IS ONE OF THE LARGEST AND MOST SUCCESSFUL PROGRAMS IN CALIFORNIA. IT HAS BEEN EXPANDED TO SERVED MIDDLE SCHOOLS IN NORTHEAST LOS ANGELES THROUGH OCCIDENTAL'S "GEAR UP" PARTNERSHIP WITH LOS ANGELES UNIFIED SCHOOL DISTRICT. THE COLLEGE'S CENTER FOR COMMUNITY BASED LEARNING AND URBAN AND ENVIRONMENTAL POLICY INSTITUTE COMBINE ACADEMIC AND OUTREACH PROGRAMS IN A NUMBER OF AREAS RANGING FROM IMPROVING HIGH SCHOOL GRADUATION RATES THROUGH THE DEVELOPMENT OF INNOVATIVE MATHEMATICS CURRICULA TO IMPROVING STUDENT NUTRITION AND SUPPORTING SMALL FAMILY FARMS THROUGH THE NATIONAL FARM TO SCHOOL PROGRAM. 125702533 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 0 0 0 0 0 0 1 1 1 1 1 0 0 0 0 0 0 0 1 0 1 1 0 0 0 1 1 1 0 0 1 3000 0 1 2546 1 1 1 0 0 0 0 1 1 1 2 0 0 0 X 44 41 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 CA X BARBARA VALIENTE 3232591417 1600 CAMPUS ROAD LOS ANGELES CA 90041 JONATHAN VEITCH 50.00 X X 521774 0 158666 PETER ADAMSON 1.00 X 0 0 0 DAVID H ANDERSON 1.00 X 0 0 0 PATRICIA LEBRE ALIREZA 1.00 X 0 0 0 CARL A BALLTON 1.00 X 0 0 0 DAVID W BERKUS 1.00 X 0 0 0 JOHN G BRANCA 1.00 X 0 0 0 EILEEN ANISGARTEN BROWN 1.00 X 0 0 0 CHRISTOPHER C CALKINS 1.00 X X 0 0 0 DON R CONLAN 1.00 X 0 0 0 JENNIFER CROSTHWAITE 1.00 X 0 0 0 HECTOR DE LA TORRE 1.00 X 0 0 0 GLORIA C DUFFY 1.00 X 0 0 0 LOUISE EDGERTON 1.00 X 0 0 0 ANNE CANNON 1.00 X 0 0 0 JOHN R FARMER 1.00 X X 0 0 0 GARY STEVEN FINDLEY 1.00 X 0 0 0 CHARLES GOLD 1.00 X 0 0 0 J EUGENE GRIGSBY III 1.00 X 0 0 0 RONALD R HAHN 1.00 X 0 0 0 FRED HAMEETMAN 1.00 X 0 0 0 OCTAVIO HERRERA 1.00 X 0 0 0 STEPHEN F HINCHLIFFE 1.00 X X 0 0 0 ASAD JUMABHOY 1.00 X 0 0 0 JULIE DEES JOHNSON 1.00 X 0 0 0 JOHN KEISTER 1.00 X 0 0 0 BARBARA KEMP 1.00 X 0 0 0 CHARLENE CONRAD LIEBAU 1.00 X 0 0 0 GORDON MACINNES 1.00 X 0 0 0 SUSAN MALLORY 1.00 X X 0 0 0 JANET MCINTYRE 1.00 X 0 0 0 ROBERT H NEITHART 1.00 X 0 0 0 JOAN A PAYDEN 1.00 X 0 0 0 JOHN B POWER 1.00 X 0 0 0 ADAM PORTNOY 1.00 X 0 0 0 STEVEN R ROBINSON 1.00 X 0 0 0 STEPHEN D ROUNTREE 1.00 X X 0 0 0 RICHARD RUGANI 1.00 X 0 0 0 JANETTE SADIK-KHAN 1.00 X 0 0 0 REID SAMUELSON 1.00 X 0 0 0 CATHERINE YOUNG SELLECK 1.00 X 0 0 0 ANDREA L VAN DE KAMP 1.00 X 0 0 0 CHRISTOPHER VARELAS 1.00 X 0 0 0 JEFFREY DENNIS 1.00 X 0 0 0 JORGE GONZALEZ 50.00 X 259528 0 45486 MICHAEL GROENER 50.00 X 229927 0 41467 BARBARA AVERY 50.00 X 195356 0 81785 PAMELA ANN MCQUESTEN 50.00 X 116394 0 25505 AMOS R HIMMELSTEIN 50.00 X 242240 0 72365 SHELBY RADCLIFFE 50.00 X 170790 0 23904 ROZITA AFAR 50.00 X 109209 0 36395 VINCENT CUSEO 50.00 X 182788 0 34911 PHOEBE DEA 50.00 X 200908 0 21303 CARL BOTTERUD 50.00 X 189561 0 44739 DEREK SHEARER 50.00 X 190182 0 29016 BRETT SCHRAEDER 50.00 X 169425 0 31762 IRENE GIRTON 50.00 X 181613 0 25359 2959695 0 672663 87 0 1 0 WE O'NEIL CONSTRUCTION CO FO CA 9485 HAVEN AVE RANCHO CUCAMONGA CA 91730 CONSTRUCTION & PROJECT MGMT 5011950 MARTIFER SOLAR 2040 ARMACOST 2ND FLOOR W LOS ANGELES CA 90025 CONSTRUCTION & PROJECT MGMT 1909541 TOVEYSHULTZ CONSTRUCTION INC 18261 COLLIER AVE UNIT A LAKE ELSINORE CA 92530 CONSTRUCTION & PROJECT MGMT 909862 SCHWANKE DAVID 19681 PHOENIX LANE HUNTINGTON BEACH CA 92646 PROJECT & FACILITIES MGMT SVCS 578462 VANCREST CONSTRUCTION CORPORATION 7171 N FIGUEROA ST LOS ANGELES CA 90042 CONSTRUCTION & PROJECT MGMT 410678 33 3451929 17132937 4044417 20584866 TUITION AND FEES 900099 94680642 94680642 ROOM AND BOARD 900099 19725424 19725424 CONFERENCES AND EVENTS 900099 1951971 1241953 710018 BOOKSTORE 900099 1347401 1347401 FOOD SERVICE 900099 281029 281029 2128719 2128719 120115186 9249281 -1143012 10392293 299238533 286415283 12823250 12823250 12823250 162772583 119405168 -432994 23215543 124122 124122 40431935 40431935 2102293 723557 1164065 214671 222683 192853 29830 45356179 39235535 3034488 3086156 3625642 3080393 291448 253801 6959078 5844635 623593 490850 3208540 2661484 318608 228448 284604 192047 92557 150656 150656 3982474 3982474 4122593 2887458 672364 562771 112419 26855 21383 64181 5005303 3804213 395196 805894 1434831 1244293 134354 56184 3286544 2811050 475494 1386892 1223656 66195 97041 403963 324116 48549 31298 3655512 3567556 87956 7157311 6821760 185205 150346 471712 48541 422079 1092 COST OF SALES 4805497 4805497 INTERNATIONAL PROGRAMS 3568614 3568614 DUES & SUBSCRIPTIONS 1061533 913039 84188 64306 CAPITAL EXPENDITURES 684027 638674 45353 1690946 530650 759834 400462 145295903 125702533 13085869 6507501 5126313 8036573 40852588 54366199 10122849 9732491 479619 339051 617026 592967 423086 579998 249518743 85603374 157080406 163915369 284669074 314879510 51159465 49978272 23118995 23237509 12992678 13480148 586642099 639138087 13740070 15511432 5095869 5185425 83450000 92270000 4167567 4167567 17713365 23414773 124166871 140549197 X 136384919 157213541 178066163 188847256 148024146 152528093 462475228 498588890 586642099 639138087 X 17476680 23283914 -4646932 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X 0 330719886 6251016 42241910 8743489 9719783 3982474 356767066 342393345 9543320 280756 8444692 9437903 3614940 330719886 298890606 5250937 59330921 8187431 9236913 3654775 342393345 276460804 1575099 41856335 7752517 9759667 3489448 298890606 356935132 2595148 -64158810 7053833 8527783 3329050 276460804 0.17700 0.35990 0.46310 1 0 1158071 1481532 2639603 208819379 69370898 139448481 5665896 2330115 3335781 19338618 13902361 5436257 13055247 13055247 163915369 PRIVATE EQUITY & VENTURE CAPITAL 49978272 F 49978272 ANNUITIES PAYABLE 13121755 BONDS PREMIUM, NET 7663669 ASSET RETIREMENT OBLIGATION 2629349 23414773 X 138267541 23283914 687116 23971030 114296511 3982474 44493598 48476072 162772583 102153879 0 102153879 3982474 39159550 43142024 145295903 PART III, LINE 1A: COLLECTIONS, SUCH AS RARE BOOK AND WORKS OF ART, WHICH WERE ACQUIRED THROUGH PURCHASES AND CONTRIBUTIONS SINCE THE COLLEGE'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS ON THE BALANCE SHEETS. THESE COLLECTIONS ARE HELD SOLELY FOR THEIR POTENTIAL EDUCATIONAL VALUE OR HISTORICAL SIGNIFICANCE. MANAGEMENT HAS DETERMINED THAT THE COST TO ESTABLISH THE CURRENT MARKET VALUE IS DEEMED TO EXCEED THE BENEFIT AND THEREFORE THE COLLECTIONS WERE NOT ASSIGNED A VALUE FOR THE PURPOSE OF THE CAPITALIZATION. PURCHASES OF COLLECTION ITEMS ARE RECORDED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE YEAR IN WHICH THE ITEMS ARE ACQUIRED OR AS TEMPORARILY OR PERMANENTLY RESTRICTED NET ASSETS IF THE ASSETS USED TO PURCHASE THE ITEMS HAVE BEEN RESTRICTED BY DONORS. CONTRIBUTED COLLECTION ITEMS ARE NOT RELECTED IN THE FINANCIAL STATEMENTS. PROCEEDS FROM DEASCCESSIONS OR INSURANCE RECOVERIES ARE REFLECTED AS INCREASES IN THE APPROPRIATE NET ASSET CATEGORY. PART III, LINE 4: THE COLLEGE MAINTAINS COLLECTIONS OF ART FOR DISPLAY AND EDUCATIONAL PURPOSES. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE COLLEGE'S ENDOWMENT FUNCTIONS TO SUPPORT STUDENT SCHOLARSHIPS, PROFESSORSHIPS, THE LIBRARY, VISITING SPEAKERS, AND OTHER GENERAL COLLEGE ACTIVITY. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: AS REQUIRED BY GAAP, THE COLLEGE HAS IDENTIFIED AND EVALUATED ITS SIGNIFICANT TAX POSITIONS FOR WHICH THE STATUTE OF LIMITATIONS REMAIN OPEN AND HAS DETERMINED THAT THERE IS NO MATERIAL UNRECOGNIZED BENEFIT OR LIABILITY TO BE RECORDED. THE OPEN TAX YEARS ARE THE YEARS ENDED JUNE 30, 2010 THROUGH JUNE 30, 2013 FOR FEDERAL TAX PURPOSES AND THE YEARS ENDED JUNE 30, 2009 THROUGH JUNE 30, 2013 FOR CALIFORNIA TAX PURPOSES. THERE HAVE BEEN NO MATERIAL CHANGES IN UNRECOGNIZED BENEFITS AS OF JUNE 30, 2013, NOR ARE ANY MATERIAL CHANGES ANTICIPATED IN THE TWELVE MONTHS FOLLOWING JUNE 30, 2013. THERE HAVE BEEN NO RELATED TAX PENALTIES OR INTEREST, WHICH WOULD BE CLASSIFIED AS A TAX EXPENSE IN THE STATEMENT OF ACTIVITIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN FAIR VALUE OF ASSETS HELD IN TRUST BY OTHERS 687,116. PART XI, LINE 4B - OTHER ADJUSTMENTS: ANNUITIES ADJUSTMENT 576,768. FINANCIAL AID 39,159,550. LOSS ON BOND DEFEASANCE 4,757,280. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 39,159,550. 1 1 1 1 1 1 1 0 0 0 1 0 0 0 0 1 0 1 EXPLANATION OF NONDISCRIMINATORY POLICY PUBLICATION SCHEDULE E, PART I, LINE 3 THE COLLEGE ADVERTISES THE POLICY IN BROCHURES TO POTENTIAL STUDENTS AND ON THE COLLEGE'S WEBSITE. EXPLANATION OF RACIAL DISCRIMINATION SCHEDULE E, PART I, LINE 5 GENERALLY, OCCIDENTAL COLLEGE AWARDS SCHOLARSHIPS AND OTHER FINANCIAL ASSISTANCE IN A WAY TO AFFIRM OUR MISSION, "TO PROVIDE A GIFTED AND DIVERSE GROUP OF STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY -- ONE THAT PREPARES THEM FOR LEADERSHIP IN AN INCREASINGLY COMPLEX, INTERDEPENT AND PLURALISTIC WORLD." IN PARTICULAR, THE ACHIEVEMENT AWARD IS USED TO ENSURE THAT OUR STUDENT POPULATION MAINTAINS AS ETHNICALLY DIVERSE POPULATION AS POSSIBLE, AND IN THIS CASE, THE AWARD MIGHT BE USED TO MAKE IT POSSIBLE TO INCREASE THE ATTENDANCE OF MINORITIES. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 OCCIDENTAL COLLEGE PARTICIPATES IN THE FEDERAL PELL GRANT, WORK STUDY PROGRAMS AND THE SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANT. CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 207888 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 767622 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 1790312 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 125463 RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES STUDY ABROAD 59758 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 341522 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 62724 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 213326 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 36863729 NORTH AMERICA 0 0 INVESTMENTS 2239173 0 0 0 0 0 0 3568615 39102902 42671517 1 0 1 1 1 0 1 CALIFORNIA FOOD POLICY ADVOCATES 436 14TH STREET SUITE 1220 OAKLAND CA 94612 943163142 501(C)(3) 47375 TO IMPROVE EATING ENVIRONMENTS IN SCHOOLS IN THE LOS ANGELES, AND LONG BEACH AREA, BY ENGAGING PARENTS AND STUDENTS IN ADVOCACY EFFORTS, SHARING BEST PRACTICES AND EDUCATING DECISION-MAKERS. THE RESEARCH FOUNDATION PO BOX 9 ALBANY NY 12201 141368361 501(C)(3) 25894 TO SUPPORT A FLOURISHING, INTERDISCIPLINARY PROGRAM TO EDUCATE THE CHEMICAL AND PHYSICAL PROPERTIES OF BACTERIAL BIOFILMS AND BACTERIAL PREDATION WITHIN THESE BIOFILMS, WITH POTENTIAL APPLICATION TO AGRICULTURE, MEDICINE, AND BIODEFENSE. MOUNT HOLYOKE COLLEGE 50 COLLEGE STREET SOUTH HADLEY MA 01075 043103578 501(C)(3) 35699 TO SUPPORT A FLOURISHING, INTERDISCIPLINARY PROGRAM TO EDUCATE THE CHEMICAL AND PHYSICAL PROPERTIES OF BACTERIAL BIOFILMS AND BACTERIAL PREDATION WITHIN THESE BIOFILMS, WITH POTENTIAL APPLICATION TO AGRICULTURE, MEDICINE, AND BIODEFENSE. ESPERANZA COMMUNITY HOUSING CORP 2337 SOUTH FIGUERO STREET LOS ANGELES CA 90007 954230345 501(C)(3) 15154 TO ASSIST IN THE DEVELOPMENT AND IMPLEMENT A COMMUNITY HEALTH ENGAGEMENT PROGRAM, THAT CAN FACILITATE A PATHWAY FOR UNDERGRADUATE STUDENTS TO CONNECT WITH AND ULTIMATELY ENTER THE PUBLIC HEALTH FIELD THROUGH RECIPROCAL PARTNERSHIPS WITH COMMUNITY HEALTH ORGANIZATIONS WORKING TO IMPROVE THE HEALTH AND WELLNESS OF UNDERSERVED COMMUNITIES. 4 0 PRIZES AND AWARDS 62 28076 STIPENDS 486 1054911 STUDY GRANTS 68 189398 SCHOLARSHIPS 1515 39159550 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ALL GRANT AND CONTRACT ACTIVITY IS MONITORED ON A CONSTANT BASIS TO ASSURE THAT ALL ACTIVITY IS IN COMPLIANCE WITH THE AWARDING AGENCIES STIPULATED TERMS AND CONDITIONS AND REGULATIONS. ALL EXPENDITURES ARE REVIEWED ON A WEEKLY BASIS FOR ALLOWABILITY, AND ASSURANCE THAT THEY MEET ALL REGULATIONS AND THE OBJECTIVES OF THE AWARD. X X X 1 1 X X X X 0 0 0 0 0 0 0 0 0 JONATHAN VEITCH 513626 0 0 0 8148 0 37875 0 120791 0 680440 0 0 0 JORGE GONZALEZ 257421 0 0 0 2107 0 20883 0 24603 0 305014 0 0 0 MICHAEL GROENER 228012 0 0 0 1915 0 22754 0 18713 0 271394 0 0 0 BARBARA AVERY 193150 0 0 0 2206 0 19592 0 62193 0 277141 0 0 0 AMOS R HIMMELSTEIN 241936 0 0 0 304 0 22750 0 49615 0 314605 0 0 0 SHELBY RADCLIFFE 170188 0 0 0 602 0 15883 0 8021 0 194694 0 0 0 VINCENT CUSEO 182109 0 0 0 679 0 33318 0 1593 0 217699 0 0 0 PHOEBE DEA 197982 0 0 0 2926 0 20211 0 1092 0 222211 0 0 0 CARL BOTTERUD 188787 0 0 0 774 0 20000 0 24739 0 234300 0 0 0 DEREK SHEARER 188761 0 0 0 1421 0 19376 0 9640 0 219198 0 0 0 BRETT SCHRAEDER 166773 0 0 0 2652 0 17815 0 13947 0 201187 0 0 0 IRENE GIRTON 181247 0 0 0 366 0 16797 0 8562 0 206972 0 0 0 PART I, LINE 1A HOUSING IS PROVIDED FOR CERTAIN INDIVIDUALS LISTED IN PART VII AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE COLLEGE. SOCIAL CLUB DUES ARE PROVIDED TO ONE OFFICER AS A CONDITION OF EMPLOYMENT AND ARE NOT INCLUDED IN TAXABLE WAGES. USE OF THE SOCIAL CLUB IS FOR BUSINESS PURPOSES ONLY. PERSONAL SERVICES ARE PROVIDED TO CERTAIN OFFICERS AND ARE INCLUDED IN TAXABLE WAGES. SUPPLEMENTAL INFORMATION PART III SCHEDULE J, PART II, COLUMN D: NONTAXABLE BENEFITS INCLUDE THE VALUE OF ON-CAMPUS HOUSING PROVIDED TO JONATHAN VEITCH, PRESIDENT, BARBARA AVERY, VICE PRESIDENT OF STUDENT AFFAIRS AND DEAN OF STUDENTS, AND AMOS R. HIMMELSTEIN, VICE PRESIDENT OF FINANCE AND PLANNING, AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE COLLEGE. A CEFA SERIES 2005A 521705592 1301752J0 2005-04-12 56486748 SEE SUPPLEMENTAL INFORMATION 0 0 0 B CEFA SERIES 2005B 521705592 1301753J9 2005-04-12 16038768 SEE SUPPLEMENTAL INFORMATION 0 0 0 C CEFA SERIES 2008 521705592 130178ND4 2008-03-06 19747741 SEE SUPPLEMENTAL INFORMATION 0 0 0 D CEFA SERIES 2013A 521705592 1301782F2 2013-06-05 55981744 SEE SUPPLEMENTAL INFORMATION 0 0 0 A 4265000 44435000 60293086 1941721 582150 573000 42782555 14413660 2012 0 1 1 1 B 3310000 16038768 121150 130000 15787618 2007 0 1 1 1 C 1050000 19919704 372268 19547436 2013 0 0 1 1 D 55981744 43454069 527675 12000000 0 1 0 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 1 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 1 1 D 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 SCHEDULE K PART IV, ARBITRAGE, LINE 2C DATE REBATE COMPUTATION PERFORMED ISSUER NAME: CEFA SERIES 2005A DATE THE REBATE COMPUTATION WAS PERFORMED: 04/12/2012 ISSUER NAME: CEFA SERIES 2005B DATE THE REBATE COMPUTATION WAS PERFORMED: 04/12/2012 ISSUER NAME: CEFA SERIES 2008 DATE THE REBATE COMPUTATION WAS PERFORMED: 03/06/2013 PART I, LINE A, COLUMN F: DESCRIPTION OF PURPOSE: FINANCE THE ACQUISITION, CONSTRUCTION, RENOVATION, REHABILITATION, FURNISHING AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES OF THE COLLEGE PART I, LINE B, COLUMN F: DESCRIPTION OF PURPOSE: REFUND A PORTION OF THE OUTSTANDING 1997 BONDS AND PAY COSTS INCURRED IN CONNECTION WITH THE ISSUANCE OF THE BONDS PART I, LINE C, COLUMN F: DESCRIPTION OF PURPOSE: FINANCE THE ACQUISITION, CONSTRUCTION, RENOVATION, REHABILITATION, FURNISHING AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES OF THE COLLEGE PART I, LINE D, COLUMN F: DESCRIPTION OF PURPOSE: TO REFUND A PORTION OF THE OUTSTANDING 2005 BONDS AND TO PROVIDE FUNDS FOR CERTAIN CAPITAL PROJECTS. PART II, LINE 3: THE DIFFERENCE BETWEEN THE PROCEEDS AMOUNT ON LINE 3 AND THE ISSUE PRICE IN PART I REPRESENTS INTEREST EARNED. MATTHEW CALKINS FAMILY MEMBER OF CHRISTOPHER CALKINS, VICE CHAIR 104421 EMPLOYMENT 0 ANDREW SHTULMAN FAMILY MEMBER OF STEPHEN ROUNTREE, TRUSTEE 88433 EMPLOYMENT 0 JOSEPH ARREDONDO FAMILY MEMBER OF STEPHEN ROUNTREE, TRUSTEE 29829 EMPLOYMENT 0 X 2 1200 DONOR RECEIPTS/FMV X 5200 DONOR RECEIPTS/FMV X 21772 DONOR RECEIPTS/FMV X 46 3063409 FMV X 1 132000 FMV X 1 498000 FMV X 2 627 DONOR RECEIPTS/FMV X 15 3430 DONOR RECEIPTS/FMV X GIFT CERTIFICATES/GIFT CARDS/TICKETS 34 3506 DONOR RECEIPTS/FMV X ENTERTAINMENT/PARTY 38 2319 DONOR RECEIPTS/FMV X OTHER 9 44619 DONOR RECEIPTS/FMV X INSURANCE POLICY 3 264335 POLICY SUMMARY 1 0 1 1 THIRD PARTY USE: PART I, LINE 32B: AS A GENERAL RULE, IF THE COLLEGE RECEIVES A NONCASH CONTRIBUTION OF A SPECIALTY NATURE, THEY WOULD HIRE A SPECIALTY ORGANIZATION TO SELL THE ITEMS. NO ITEMS WERE SOLD IN FY13. FORM 990, PART VI, SECTION B, LINE 11 THE COLLEGE PROVIDES THE FORM 990 INFORMATION TO THE INDEPENDENT TAX PREPARER. ONCE THEY HAVE COMPLETED THE FORM 990, THEY RETURN A DRAFT TO THE COLLEGE. THE ASSOCIATE VICE PRESIDENT FOR FINANCE AND VICE PRESIDENT FOR FINANCE AND PLANNING PERFORM A THOROUGH REVIEW OF THE DRAFT RETURN. ALL NECESSARY CORRECTIONS ARE MADE TO THE FORM 990. THE AUDIT COMMITTEE REVIEWS THE DRAFT PUBLIC DISCLOSURE COPY OF THE FORM 990 (SCHEDULE B DOES NOT INCLUDE DONOR NAMES AND ADDRESSES). THE FULL DRAFT FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE CHAIR. THE INDEPENDENT TAX PREPARER PRESENTS THE DRAFT PUBLIC DISCLOSURE COPY OF THE RETURN TO THE AUDIT COMMITTEE AND ALLOWS FOR QUESTIONS AND DISCUSSION. ANY CHANGES THAT ARE IDENTIFIED BY THE AUDIT COMMITTEE ARE MADE TO THE FORM 990. AT THAT POINT, THE PUBLIC INSPECTION COPY OF THE FORM 990 IS MADE AVAILABLE TO THE FULL BOARD OF TRUSTEES. THE FORM 990 IS SIGNED BY THE INDEPENDENT TAX PREPARER AND SUBMITTED TO THE INTERNAL REVENUE SERVICE BY THE DUE DATE. FORM 990, PART VI, SECTION B, LINE 12C EVERY YEAR THE COLLEGE SENDS THE CONFLICT OF INTEREST QUESTIONNAIRE TO APPROPRIATE PERSONS. RESPONSES ARE FOLLOWED UP ON TO ENSURE WE RECEIVE 100% OF ALL QUESTIONNAIRES. RESPONSES ARE REVIEWED BY THE OFFICE OF THE VICE PRESIDENT OF FINANCE AND PLANNING. ANY CONFLICTS THAT HAVE NOT BEEN BROUGHT TO THE AUDIT COMMITTEE PREVIOUSLY ARE BROUGHT TO THE AUDIT COMMITTEE TO DISCUSS. IF A CONFLICT EXISTS, THE INDIVIDUAL WILL RECUSE HIMSELF/HERSELF FROM INVOLVEMENT IN THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 THE COLLEGE'S PROCESS IN FISCAL YEAR 2013 FOR DETERMINING OFFICER COMPENSATION IS 1) OBTAINING COMPARISON DATA 2) COMPENSATION IS DETERMINED BASED ON THE COMPARISON DATA 3) COMPENSATION IS APPROVED BY THE EXECUTIVE COMPENSATION COMMITTEE 4) THE EXECUTIVE COMPENSATION COMMITTEE'S DELIBERATION AND DECISION MAKING PROCESS REGARDING OFFICER COMPENSATION IS CONTEMPORANEOUSLY SUBSTANTIATED. FORM 990, PART VI, SECTION C, LINE 19 THE COLLEGE MAKES ITS FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON THE COLLEGE'S WEBSITE WHICH IS ACCESSIBLE TO THE PUBLIC. THE GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE NOT AVAILABLE FOR PUBLIC INSPECTION. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: CHANGE IN FAIR VALUE OF ASSETS HELD IN TRUST BY OTHERS 687,116. ANNUITIES ADJUSTMENT -576,768. LOSS ON BOND DEFEASANCE -4,757,280. CHARITABLE REMAINDER TRUSTS (45) 1600 CAMPUS ROAD LOS ANGELES CA 90041 FUNDRAISING CA N/A T 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 CHARITABLE REMAINDER TRUST (1) C 169754 FMV