2014-05-15T09:08:54-05:00 2013-06-30 134008342 Pricewaterhousecoopers LLP 1301 K Street NW Suite 800W Washington DC 20005 990 2012-07-01 350868188 University of Notre Dame du Lac UNIV 5746313288 Controllers Office 731 Grace Hall Notre Dame IN 46556 John Affleck-Graves 5746313288 2014-05-13 1 P00369623 2024141042 2012 2015-11-30 17:44:51Z University of Notre Dame Rev John Jenkins CSC Controllers Office 731 Grace Hall Notre Dame IN 46556 2908175692 0 5067 X http://nd.edu X 1844 IN See Schedule O 47 35 17800 2485 16160420 -3409496 252639060 323314461 717430733 756847017 452044735 486649038 12518657 17340460 1434633185 1584150976 254340515 257370341 0 0 558128716 578754401 0 0 30030506 366605119 381963661 1179074350 1218088403 255558835 366062573 9330554649 10329365602 1799134455 2033230452 7531420194 8296135150 X See Schedule O 0 0 606092441 231497388 520596060 Instruction - Provided academic instruction and services to nearly 12,000 undergraduate and graduate students pursuing courses of study within five undergraduate colleges, a business school, a law school, and graduate school. Conferred over 3,500 baccalaureate, master's, doctoral and professional degrees. 198378391 4924622 220261962 Auxiliary enterprises - Provided services to the University community, its guests and other patrons including food services, student and visitor lodging, laundry services, and multiple recreational facilities. The University intercollegiate athletics program enabled student-athletes to compete in twenty-six sports programs at the NCAA Division I level. 117368503 17938606 5076332 Research - University researchers administered more than 800 awards for studies based within the disciplines of engineering, science and humanities. 79193916 3009725 19642336 Public service - The University holds many conferences and educational events on its campus throughout the year. Also, the University provides volunteers and financial support for other agencies in the community. The University's ACE program is a two-year service program offering college graduates the opportunity to serve as full-time teachers in under-resourced schools across the southern United States.Academic support - The University operates library facilities containing approximately 2,000,000 volumes, serving the University and local community. The University publishes numerous academic periodicals and volumes and operates a museum of art housing over 21,000 works. 79193916 3009725 19642336 1001033251 1 1 0 1 0 1 0 1 1 1 1 1 0 0 1 0 0 1 1 1 1 1 1 0 1 1 0 1 1 1 1 0 0 0 0 0 0 1 1 1 1 1 1 0 0 1 1 1 1 0 0 1 X 17347 0 1 17800 1 1 1 1 FR EI IT UK BR MP IS MX CI 0 0 0 1 1 1 7 0 0 1 0 0 0 0 X 47 35 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 IN X Andrew Paluf Controller's Office 5746313288 731 Grace Hall Notre Dame IN 46556 John F Affleck-Graves PhD 40.00 1.00 X X 580497 0 151263 Rev John I Jenkins CSC PhD 40.00 1.00 X X 686480 0 143639 Thomas G Burish PhD 40.00 X X 431640 0 299902 Rev Timothy R Scully CSCPhD 40.00 X 172682 0 14280 Anne E Thompson 2.00 X 0 0 0 Carol Hank Hoffmann 2.00 X 0 0 0 Cathleen P Black 2.00 X 0 0 0 Celeste Volz Ford 2.00 X 0 0 0 Drew W DeWalt 2.00 X 0 0 0 Enrique Hernandez Jr 2.00 X 0 0 0 Erin O'Connor French 2.00 X 0 0 0 Hon Ann Claire Williams 2.00 X 0 0 0 Hon Diana Lewis 2.00 X 0 0 0 J Christopher Reyes 2.00 X 0 0 0 James E Rohr 2.00 X 0 0 0 James F Flaherty III 2.00 X 0 0 0 James J Dunne III 2.00 X 0 0 0 John J Brennan 2.00 X 0 0 0 John P Calcutt 2.00 X 0 0 0 John W Jordan II 2.00 X 0 0 0 Jose Enrique Fernandez 2.00 X 0 0 0 Joseph I O'Neill III 2.00 X 0 0 0 Kati W Macaluso 2.00 X 0 0 0 Kenneth E Stinson 2.00 X 0 0 0 Most Rev Daniel Jenky CSC DD 2.00 X 0 0 0 Nancy M Haegel 2.00 X 0 0 0 Patrick F McCartan 2.00 X 0 0 0 Philip J Purcell III 2.00 X 0 0 0 Phillip B Rooney 2.00 X 0 0 0 Phyllis W Stone 2.00 X 0 0 0 Rev E William Beauchamp CSC 2.00 X 0 0 0 Rev James B King CSC 2.00 X 64206 0 11824 Rev Jose E Ahumada F CSC 2.00 X 0 0 0 Rev Thomas J O'Hara CSC 2.00 X 0 0 0 Richard A Nussbaum II 2.00 X 0 0 0 Richard C Notebaert 2.00 X 0 0 0 Robert M Conway 2.00 X 0 0 0 Roderick K West 2.00 X 0 0 0 Sara Martinez Tucker 2.00 X 0 0 0 Scott C Cowen 2.00 X 0 0 0 Shayla Keough Rumely 2.00 X 0 0 0 Stephanie A Gallo 2.00 X 0 0 0 Stephen J Brogan 2.00 X 0 0 0 Timothy F Sutherland 2.00 X 0 0 0 W Douglas Ford 2.00 X 0 0 0 William J Shaw 2.00 X 0 0 0 William M Goodyear 2.00 X 0 0 0 Scott C Malpass MBA 40.00 X 2959286 0 1293189 Marianne Corr JD 40.00 X 458240 0 34039 John B Swarbrick Jr 40.00 X 898653 0 244399 Robert A Diaco 40.00 X 623610 0 49214 Michael P Brey 40.00 X 757274 0 49214 Muffet McGraw 40.00 X 1002076 0 56763 Brian Kelly 40.00 X 1407869 0 49415 Michael D Donovan MBA JD 40.00 X 1276818 0 498369 Charles J Weis 0.00 X 2054744 0 0 Donald B Pope-Davis PhD 40.00 X 241700 0 90592 Christine M Maziar PhD 40.00 X 335730 0 33678 James J Lyphout MBA 40.00 X 221773 0 41002 John A Sejdinaj MBA CCM 40.00 X 375623 0 49443 Robert J Bernhard PhD 40.00 X 333707 0 88473 Rev Thomas P Doyle CSC 40.00 X 229980 0 13934 Louis M Nanni MA 40.00 X 451771 0 50415 15564359 0 3263047 884 1 1 1 Skanska USA Building Inc Suite 200 5250 Lovers Lane Portage MI 49002 Construction 14677269 Ziolkowski Construction Inc 4050 Ralph Jones Dr South Bend IN 46628 Construction 8521077 Congregation of Holy Cross US Provinc PO Box 774 Notre Dame IN 46556 Teaching/Admin Services 4710819 Hagerman Construction Corporation 510 W Washington Blvd Fort Wayne IN 46853 Construction 3402424 Havel Bros Inc 3210 Sugar Maple Court South Bend IN 46628 Construction 2849613 121 171741 82986048 240156672 75855825 323314461 Student tuition & fees 611310 504325158 504325158 Auxiliary enterprises 611710 218387790 211847756 6540034 Educational programs 900099 19354575 19093783 260792 Research contracts (go 611310 4551451 4551451 Student services 611710 3025818 3025818 7202225 7202225 756847017 105910962 8908227 97002735 6305159 6305159 11287414 9078471 2208943 2208943 2208943 1695528000 1314789924 380738076 380738076 380738076 200417 171741 155178 45239 45239 52590 1143 51447 51447 Alumni Association 900099 3555859 3104492 451367 5173813 5173813 8729672 1584150976 758324496 16160420 486351599 16178783 16178783 237496675 237496675 3694883 3694883 8102623 1539552 6100952 462119 436114258 359301685 60047289 16765284 37661625 26568083 9634957 1458585 71708344 44170812 25673635 1863897 25167551 20314017 3805990 1047544 1948446 889669 1058777 3180438 99108 3081330 274214 274214 10062512 10062512 19791200 11928845 6897606 964749 2934277 2779152 138188 16937 59946063 48844462 9423200 1678401 14851304 6904058 7686323 260923 551279 551279 59922096 52516476 6424816 980804 43474606 37556371 3643565 2274670 4249 4249 5195172 3685120 1442815 67237 25780541 21191160 3904527 684854 56251295 50690556 5328860 231879 937041 912063 24978 Food and entertainment 33571385 27498866 4916788 1155731 Other educational expen 28747838 25721576 2909370 116892 Investment Office expen 14539705 14539705 1218088403 1001033251 187024646 30030506 88556954 148564091 191725124 197702577 24894691 28094360 60087439 46007158 9921446 10412053 27456113 27423159 1917646958 567455077 1290422564 1350191881 628301866 1044368089 7004320890 7464965715 4867562 11636519 9330554649 10329365602 82161139 100855572 60334901 62248384 361597104 358973431 53576157 52946509 410000000 410000000 831465154 1048206556 1799134455 2033230452 X 3328245240 3710534611 2756155081 3070158894 1447019873 1515441645 7531420194 8296135150 9330554649 10329365602 X 366062573 354928403 43723980 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X 356017 356017 1207397262 1207753279 1000000 250000 0 0 1000000 1000000 1500000 356017 356017 0 0 Part IV, Supplemental Information: Part II-A, Line 2: The University of Notre Dame filed Form 5768 (election under section 501(h)) for the fiscal year beginning July 1, 2012 and ending June 30, 2013 and this election was not revoked at any time subsequently. 28 0 6033587 0 652500 0 17146760 0 1 1 0 0 0 0 X X X X 0 1 445 29089 29333 201 0 6444598397 109051302 725521322 90722736 229397578 0 6959050707 6383343071 162550384 177082485 85386397 192991146 6444598397 5340685012 167659430 1115963818 80194525 160770664 6383343071 4920742718 135156367 525883589 75825598 165272064 5340685012 6351854688 104550162 -1298974803 71071937 165615392 4920742718 0.38700 0.21400 0.39900 0 0 9300000 20598179 29898179 50927386 1391931733 381564559 1061294560 13690051 2727268 10962783 136022 255341956 125552667 129925311 4261649 171459982 57610583 118111048 1350191881 7915063 F 68466000 F Other short term investments 23868776 F Public equities: U.S. 361210599 F Public equities: Non U.S. 1011276503 F Public equities: Long- short strategies 1033159237 F Fixed income securities 309742258 F Marketable alternatives 1069684369 F Private equity 2293732832 F Real estate 638554112 F Other real assets 570409007 F Defined benefit pension plan assets 76946959 F 7464965715 Debt-related derivative instruments 13271784 Short-term borrowing 108000000 Refundable advances 13876427 Liabilities associated with investments 623272509 Obligations under split-interest agreements 107779368 Conditional asset retirement obligations 23442544 Pension and other postretirement benefit obligations 100935443 Government advances for student loans 29525080 Other liabilities 28103401 1048206556 1723981842 354928403 -187198903 167729500 1556252342 28054956 -156321 27898635 1584150977 959266886 156321 156321 959110565 28054956 230922882 258977838 1218088403 Part III, Line 1a: The University does not capitalize the cost of library books, nor the cost or fair value of its art collection. The latter is held for exhibition and educational purposes only and not for financial gain. Part III, Line 4: The Snite Museum of Art maintains a collection of over 27,000 original works of art which are utilized for exhibition, teaching, research and educational outreach programs. Part IV, Line 1b: Interest on Lawyer Trust Accounts (IOLTA) - The University of Notre Dame's Legal Aid Clinic opened a custodial bank account on 11/8/01. The purpose of the account is to hold client's funds in trust. The interest earned on the funds are remitted to the IN Bar Foundation and used to pay for filing fees, fees for medical records, and recording and various court fees for clients with limited financial means. Description of Intended Use of Endowment Funds: Part V, Line 4: Endowment distributions are used to fund a variety of operational needs, including scholarships and fellowships, faculty chairs, academic programs, libraries, other endowment programs and general operations. Part XI, Line 2d - Other Adjustments: Tuition discounts -226,857,153. Room & board discounts -4,065,729. Net gain/(loss) on debt-related derivative instruments 14,756,438. Net pension and postretirement benefits-related changes 23,638,870. Change in value of split-interest agreements 3,756,338. Other non-operating changes in net assets 1,572,333. Part XI, Line 4b - Other Adjustments: Direct expenses of fundraising events -155,178. Direct expenses from gaming activities -1,143. Part XII, Line 2d - Other Adjustments: Direct expenses from fundraising events 155,178. Direct expenses from gaming activities 1,143. Part XII, Line 4b - Other Adjustments: Tuition scholarships and fellowships 226,857,153. Room & board discounts 4,065,729. Part X: The University recognizes asset retirement obligations when incurred. A discounting technique is used to calculate the present value of the capitalized asset retirement costs and the related obligation. Asset retirement costs are depreciated over the estimated remaining useful life of the related asset and the asset retirement obligation is accreted annually to the current present value. Upon settlement of an obligation, any difference between the retirement obligation and the cost to settle is recognized as a gain or loss in the consolidated statement of changes in unrestricted net assets. The University's conditional asset retirement obligations relate primarily to asbestos remediation and will be settled upon undertaking associated renovation projects. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Explanation of Nondiscriminatory Policy Publication Schedule E, Part I, Line 3 The University nondiscrimination policy is disclosed in the Admission Policies and Procedures Handbook given to each student. The University draws students nationally and internationally and enrolls meaningful numbers of minority students. Explanation of Government Financial Assistance Schedule E, Part I, Line 6 The University receives financial assistance from various governmental agencies within the Federal Government and local jurisdictions. The governmental grants and contracts support certain research projects and student financial aid. 1 Central America and the Caribbean Investments 3087452266 East Asia and the Pacific Investments 4845375 Europe (Including Iceland & Greenland) Investments 604607798 Middle East and North Africa Investments 2674740 North America Investments 39147528 South America Investments 2238497 Sub-Saharan Africa Investments 135851909 East Asia and the Pacific 1 3 Program Services International Study Program 1990142 Europe (Including Iceland & Greenland) 4 64 Program Services International Study Program 18937205 Middle East and North Africa 2 Program Services International Study Program 144441 North America 1 Program Services International Study Program 224932 Russia & the Newly Independent States Program Services International Study Program 102520 South America 1 3 Program Services International Study Program 763011 Sub-Saharan Africa Program Services International Study Program 109967 East Asia and the Pacific Investment Operations 176305 Europe (Including Iceland & Greenland) Investment Operations 75194 North America Investment Operations 4154 South America Investment Operations 17579 South Asia Investment Operations 11095 Central America and the Caribbean Program Services Auxillary Enterprises 6914 Central America and the Caribbean Program Services Instruction 108443 Central America and the Caribbean Program Services Management & General 4220 Central America and the Caribbean 2 6 Program Services Other 156377 Central America and the Caribbean Program Services Research 1436435 East Asia and the Pacific Program Services Auxillary Enterprises 1089 East Asia and the Pacific Program Services Instruction 573097 East Asia and the Pacific Program Services Management & General 105008 East Asia and the Pacific Program Services Other 41645 East Asia and the Pacific Program Services Research 1061662 Europe (Including Iceland & Greenland) Program Services Auxillary Enterprises 1527889 Europe (Including Iceland & Greenland) Program Services Instruction 2093169 Europe (Including Iceland & Greenland) 1 Program Services Management & General 564251 Europe (Including Iceland & Greenland) Program Services Other 511312 Europe (Including Iceland & Greenland) Program Services Research 1912093 Middle East and North Africa Program Services Instruction 108007 Middle East and North Africa Program Services Management & General 42618 Middle East and North Africa Program Services Other 25333 Middle East and North Africa Program Services Research 54922 North America Program Services Auxillary Enterprises 40623 North America Program Services Instruction 212697 North America Program Services Management & General 20539 North America Program Services Other 54579 North America Program Services Research 134411 Russia & the Newly Independent States Program Services Instruction 12893 Russia & the Newly Independent States Program Services Management & General 1152 Russia & the Newly Independent States Program Services Research 17265 South America Program Services Instruction 406916 South America Program Services Management & General 63858 South America Program Services Other 64820 South America Program Services Research 45421 South Asia Program Services Instruction 73718 South Asia Program Services Management & General 22169 South Asia Program Services Other 3404 South Asia Program Services Research 25903 Sub-Saharan Africa Program Services Instruction 322625 Sub-Saharan Africa Program Services Management & General 32540 Sub-Saharan Africa Program Services Other 26417 Sub-Saharan Africa Program Services Research 286992 South America Fundraising 124205 1 3 7 77 8 80 3878808255 32894034 3911702289 Sub-Saharan Africa See Footnote 2, Part V 50000 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 27000 Check/Wire Central America and the Caribbean See Footnote 2, Part V 35747 Check/Wire Central America and the Caribbean See Footnote 2, Part V 580377 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 63616 Check/Wire Sub-Saharan Africa See Footnote 2, Part V 10350 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 411091 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 89803 Check/Wire Middle East and North Africa See Footnote 2, Part V 25865 Check/Wire Central America and the Caribbean See Footnote 2, Part V 771324 Check/Wire Central America and the Caribbean - Antigua & Barbuda, Aruba, Bahamas, See Footnote 2, Part V 13822 Wire Transfer Europe (Including Iceland & Greenland) See Footnote 2, Part V 394410 Check/Wire South Asia See Footnote 2, Part V 10234 Check/Wire East Asia and the Pacific See Footnote 2, Part V 500250 Check/Wire Sub-Saharan Africa See Footnote 2, Part V 20000 Check/Wire Sub-Saharan Africa See Footnote 2, Part V 27500 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 24821 Check/Wire East Asia and the Pacific See Footnote 2, Part V 15000 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 56151 Check/Wire Sub-Saharan Africa See Footnote 2, Part V 63387 Check/Wire Sub-Saharan Africa - Angola, Benin, Botswana, Burkina, Faso, See Footnote 2, Part V 14254 Wire Transfer East Asia and the Pacific See Footnote 2, Part V 300000 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 107257 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 5446 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 18701 Check/Wire North America See Footnote 2, Part V 53019 Check/Wire 2 24 Housing and Other Assistance East Asia and the Pacific - 3 1301 Check/Wire/Direct Deposit Prizes and Awards Europe (Including Iceland & Greenland) - 1 50000 Check/Wire/Direct Deposit Prizes and Awards South America 1 5000 Check/Wire/Direct Deposit Research/Travel Grant East Asia and the Pacific - 2 2694 Check/Wire/Direct Deposit Research/Travel Grant Europe (Including Iceland & Greenland) - 22 21904 Check/Wire/Direct Deposit Research/Travel Grant Middle East and North Africa 2 1782 Check/Wire/Direct Deposit Research/Travel Grant North America 1 849 Check/Wire/Direct Deposit Research/Travel Grant South America 1 2382 check/Wire/Direct Deposit 1 1 1 1 1 0 Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: All grants made for research activities are initiated by a formal sub-contract executed by both parties. The terms and conditions of each grant contain all the guidelines for Invoicing, billing, record retention, audits, etc. Research and Sponsored Programs Accounting ("RSPA") and the Office of Research work in tandem to ensure the guidelines are adhered to. Almost all sub-contracts for research activities are paid on a cost-reimbursement basis. All invoices paid for costs are approved by the Principal Investigator based on completion of work, deliverables met, etc. In addition, RSPA monitors the payments against the total budget to ensure payment is not made above the stipulated ceiling. The University has developed a policy containing guidelines surrounding sub-contracts, some of which were addressed above. This policy can be found at: http://controller.nd.edu/assets/91679/subrecipient_monitoring.pdf The University provides funding to students and other related individuals for research and other activities to support the furtherance of their education. Funds provided are monitored through applications, budgets and a requirement to document the use of funds either prior to the distribution of funds or upon completion of the activity. Part II, Line 1, Column (d) Payments related to work performed on research subcontract related to federal, state or private grant originally made to the University and other assistance in accordance with the University's exempt mission. NPC Research Event 226897 46600 180297 2314 62575 168 25423 Art Museum Dinner 115175 99855 15320 3159 33783 600 17643 1 30086 25286 4800 600 6813 600 1500 372158 171741 200417 2914 65734 40764 1200 44566 155178 45239 52590 622 521 0 52590 622 521 1143 51447 IN 1 0 1 0 1.00000 Deborah Gabaree Office of General Counsel 203 Main Building Notre Dame IN 46556 0 NA 0 1 Alzheimer's Disease Research Foundation 34 Washington Street Wellesley Hills MA 02481 522396428 501(c)(3) 250000 See Footnote 2, Part IV Ara Parseghian Medical Research Foundation 5050 North Via De La Granja Tucson AZ 857187407 860775966 501(c)(3) 300000 See Footnote 2, Part IV Arizona State University Post Office Box 873503 Tempe AZ 852870001 860196696 State of AZ 35734 See Footnote 2, Part IV Association of Research Libraries 21 Dupont Circle NW Suite 800 Washington DC 20036 520784198 501(c)(3) 10600 See Footnote 2, Part IV Basis Policy Research LLC Ste 103-296 9650 Strickland Rd Raleigh NC 276151902 270475968 53675 See Footnote 2, Part IV Battelle Memorial Institute Post Office Box 84391 Seattle WA 981245691 314379427 501(c)(3) 91804 See Footnote 2, Part IV Benetech Ste 201 480 South California Avenue Avenue Palo Alto CA 943061609 770555413 501(c)(3) 13987 See Footnote 2, Part IV The Trustees of Boston University 25 Buick Street 2nd Floor Boston MA 02215 042103547 501(c)(3) 111468 See Footnote 2, Part IV California Institute of Technology 1200 East California Boulevard Pasadena CA 911250002 951643307 501(c)(3) 70386 See Footnote 2, Part IV Carnegie Mellon University Post Office Box 371032 Pittsburgh PA 152507032 250969449 501(c)(3) 59111 See Footnote 2, Part IV Catholic Church Extension Society 150 S Wacker Dr Chicago IL 60606 366000520 501(c)(3) 40000 See Footnote 2, Part IV Catholic University of America 620 Michigan Avenue Northeast Washington DC 200640001 530196583 501(c)(3) 56502 See Footnote 2, Part IV Center for the Homeless 813 S Michigan Street South Bend IN 46601 351768544 501(c)(3) 429178 278740 FMV Rental Waiver See Footnote 2, Part IV Central Michigan University Accounting WA 304 Mount Pleasant MI 488590001 386004447 501(c)(3) 84479 See Footnote 2, Part IV City of Mishawaka 600 East Third Street Mishawaka IN 46544 356001115 City-Mishawaka 11813 See Footnote 2, Part IV City of South Bend 227 W Jefferson Blvd Suite 1400 South Bend IN 46601 356001201 City-South Bend 64970 See Footnote 2, Part IV Cold Spring Harbor Laboratory Association Inc PO Box 100 Cold Spring Harbor NY 11724 111631792 501(c)(3) 15000 See Footnote 2, Part IV Colorado School of Mines Post Office Box 911911 Denver CO 802911911 846000551 State of CO 41150 See Footnote 2, Part IV Congregation of Holy Cross Post Office Box 460 Notre Dame IN 46556 320344245 501(c)(3) 239492 See Footnote 2, Part IV Creative Thermal Solutions 2209 Willow Road Urbana IL 618027338 200946943 455432 See Footnote 2, Part IV Declan Drumm Sullivan Memorial Fund 3539 Long Grove Road Long Grove IL 60047 276886934 501(c)(3) 25000 See Footnote 2, Part IV Dominican University of California 50 Acacia Avenue San Rafael CA 949012298 941156525 501(c)(3) 80216 See Footnote 2, Part IV Downtown South Bend Inc PO Box 930 South Bend IN 46624 351546291 501(c)(3) 15000 See Footnote 2, Part IV Early Childhood Development Center 10 Child Care Center Notre Dame IN 46556 351188922 501(c)(3) 200000 See Footnote 2, Part IV EmNet LLC 520 East LaSalle Avenue South Bend IN 466172726 201118177 46298 See Footnote 2, Part IV Freedom to Learn Illinois Post Office Box 227 Chicago IL 60690 272479414 501(c)(3) 75000 See Footnote 2, Part IV Foundation of St Joseph Regional Medical Center 837 Cedar Street Suite 350 South Bend IN 46617 351654543 501(c)(3) 26520 See Footnote 2, Part IV enFocus Inc 506 West South Street South Bend IN 466012784 455638209 50000 See Footnote 2, Part IV Fischoff National Chamber Music Association 303 Brownson Hall Notre Dame IN 46556 351650154 501(c)(3) 20141 See Footnote 2, Part IV George Washington University 44983 Knoll Square Ashburn VA 201472692 530196584 501(c)(3) 269157 See Footnote 2, Part IV Georgetown University Post Office Box 571164 Washington DC 200570001 530196603 501(c)(3) 133512 See Footnote 2, Part IV Georgia Tech Research Corporation Post Office Box 100117 Atlanta GA 303840117 580603146 State of GA 9751 See Footnote 2, Part IV GFK Custom Research LLC Post Office Box 347353 Pittsburgh PA 152514353 362948619 61522 See Footnote 2, Part IV GFK Custom Research LLC Suite 210 2100 Geng Road Palo Alto CA 943033307 362948619 11851 See Footnote 2, Part IV Greater Kansas City Community Foundation 1055 Broadway Suite 130 Kansas City MO 64105 431152398 501(c)(3) 35000 See Footnote 2, Part IV Greater Twin Cities United Way 404 S Eighth St Minneapolis MN 55404 411973442 501(c)(3) 45000 See Footnote 2, Part IV Harvard University 1350 Massachusetts Avenue Cambridge MA 021383800 042103580 501(c)(3) 117037 See Footnote 2, Part IV Holy Trinity Catholic Church 1600 Corporate Drive Ladera Ranch CA 92694 202747543 501(c)(3) 20000 See Footnote 2, Part IV IBM 500 1st Avenue Pittsburgh PA 152193128 130871985 396196 See Footnote 2, Part IV IBM Post Office Box 218 Yorktown Heights NY 105980218 130871985 42479 See Footnote 2, Part IV Indiana University Post Office Box 66057 Indianapolis IN 462660001 356001673 State of IN 240462 See Footnote 2, Part IV Indiana University Foundation PO Box 500 Bloomington IN 47402 356018940 501(c)(3) 5200 See Footnote 2, Part IV Ionic Research Technologies LLC Unit 114 1400 East Angela Blvd South Bend IN 466171367 452355635 14403 See Footnote 2, Part IV Itasca Consulting Group IncHC Ita Suite 450 111 3rd Avenue South Minneapolis MN 554012546 411961811 16494 See Footnote 2, Part IV Johns Hopkins University 12529 Collections Center Drive Chicago IL 606930001 520595110 501(c)(3) 75346 See Footnote 2, Part IV Lawrence Berkeley National Laboratory Post Office Box 39000 San Francisco CA 941390001 942951741 Federal 504963 See Footnote 2, Part IV Lehigh University 526 Brodhead Avenue Bethlehem PA 180153008 240795445 501(c)(3) 181903 See Footnote 2, Part IV Logan Community Resources 1235 North Eddy Street South Bend IN 46617 350965639 501(c)(3) 23300 See Footnote 2, Part IV Loyola University Chicago 820 North Michigan Chicago IL 606112147 361408475 501(c)(3) 46506 See Footnote 2, Part IV Michigan State University 301 Administration Bldg East Lansing MI 488241046 386005984 State of MI 844361 See Footnote 2, Part IV Mid-Atlantic Technology Research & Innovation Center Post Office Box 8396 South Charleston WV 253030396 200208597 501(c)(3) 367288 See Footnote 2, Part IV MZA Associates Corporation Ste 150 2021 Girard Blvd SE Albuquerque NM 871063140 850400557 60042 See Footnote 2, Part IV National Opinion Research Center 55 East Monroe Street Chicago IL 606035991 362167808 501(c)(3) 152875 See Footnote 2, Part IV NOAA Great Lakes Environmental Research Laboratory Post Office Box 979008 St Louis MO 631970001 061834875 Federal 40793 See Footnote 2, Part IV Northeast Neighborhood Revitalization Organization 803 Lincolnway East South Bend IN 46616 352118149 501(c)(3) 150000 See Footnote 2, Part IV Northeastern University 360 Huntington Avenue Boston MA 021155000 041679980 501(c)(3) 218904 See Footnote 2, Part IV Northern Indiana Historical Society 808 Washington St South Bend IN 46601 351124156 501(c)(3) 14820 See Footnote 2, Part IV Northwestern University 633 Clark Street G547 Evanston IL 602080001 362167817 501(c)(3) 50484 See Footnote 2, Part IV Oberlin College 70 North Professor Street Oberlin OH 440741099 340714363 501(c)(3) 30000 See Footnote 2, Part IV Pennsylvania State University 227 West Beaver Avenue State College PA 168014842 246000376 State of PA 556795 See Footnote 2, Part IV Princeton University Post Office Box 5292 Princeton NJ 085445292 210634501 501(c)(3) 83599 See Footnote 2, Part IV Purdue University 23510 Network Place Chicago IL 606731235 356002041 State of IN 594993 See Footnote 2, Part IV Queens College of City University of New York 65-30 Kissena Boulevard Flushing NY 113671575 131988190 State of NY 28750 See Footnote 2, Part IV Regents of the Univ of California at Berkeley 2195 Hearst Avenue Berkeley CA 947200001 946002123 State of CA 445132 See Footnote 2, Part IV Regents of the Univ of California at Davis Post Office Box 989062 West Sacramento CA 957989062 946036494 State of CA 696632 See Footnote 2, Part IV Regents of the Univ of California at Riverside UCR Cashiers Office Riverside CA 925210001 956006142 State of CA 32345 See Footnote 2, Part IV Regents of the Univ of California at San Diego 9500 Gilman Drive 0009 La Jolla CA 920930001 956006144 State of CA 32204 See Footnote 2, Part IV Regents of the Univ of California at Santa Barbara SAASB Building Room 1212 Santa Barbara CA 931060001 956006145 State of CA 96206 See Footnote 2, Part IV Regents of University of Michigan Post Office Box 223131 Pittsburgh PA 152512131 386006309 State of MI 777161 See Footnote 2, Part IV Regents of the Univ of Wisconsin UW-Madison GAR Account Milwaukee WI 532780001 396006492 State of WI 135656 See Footnote 2, Part IV Rensselaer Polytechnic Inst 110 8th Street Troy NY 121803522 141340095 501(c)(3) 191466 See Footnote 2, Part IV Research Foundation of SUNY Post Office Box 9 Albany NY 122010009 141368361 501(c)(3) 90927 See Footnote 2, Part IV Resources for the Future Inc 1616 P Street Northwest Washington DC 200361400 530220900 501(c)(3) 21975 See Footnote 2, Part IV Rice University Post Office Box 1892 Houston TX 772511892 741109620 501(c)(3) 15840 See Footnote 2, Part IV Rockefeller University 1230 York Avenue New York NY 100656399 131624158 501(c)(3) 223891 See Footnote 2, Part IV Roots in the City Inc 1600 NW Third Avenue Building D Miami FL 33136 030524711 501(c)(3) 6078 See Footnote 2, Part IV Saint Michael's College 1 Winooski Park Colchester VT 054391000 030179403 501(c)(3) 17068 See Footnote 2, Part IV Sisters of Life 38 Montebello Rd Suffern NY 10901 061579167 501(c)(3) 10000 See Footnote 2, Part IV Social Science Research Council One Pierrepont Plaza 15th Floor Brooklyn NY 11201 131325070 501(c)(3) 100000 See Footnote 2, Part IV South Bend Medical Foundation Inc 530 N Lafayette Blvd South Bend IN 46601 350868178 501(c)(3) 9050 See Footnote 2, Part IV South Dakota Science & Technology Authority 630 East Summit Street Lead SD 577541700 841637203 State of SD 66548 See Footnote 2, Part IV Southern Methodist University Post Office Box 750259 Dallas TX 752750001 750800689 501(c)(3) 58521 See Footnote 2, Part IV St Ann School 2211 West 18th Place Chicago IL 60608 362284297 501(c)(3) 20264 See Footnote 2, Part IV St Anthony Catholic School 1015 E Harrison Harlingen TX 78550 741168921 501(c)(3) 6200 See Footnote 2, Part IV St Mary's College 153 Lemans Hall Notre Dame IN 46556 350868158 501(c)(3) 129600 See Footnote 2, Part IV St Matthias Apostle School 9475 Annapolis Rd Lanham MD 20706 520780162 501(c)(3) 6200 See Footnote 2, Part IV St Joseph County 227 W Jefferson Blvd 7th Floor South Bend IN 46601 356000194 County-St. Joe 40164 See Footnote 2, Part IV St Louis Art Museum Foundation 1 Fine Arts Drive Saint Louis MO 63110 431374479 501(c)(3) 32500 See Footnote 2, Part IV St Peter Claver Regional Catholic School 2560 Tilson Rd Decatur GA 30032 581918801 501(c)(3) 9000 See Footnote 2, Part IV Stanford University 355 Galvez Street Stanford CA 943056106 941156365 501(c)(3) 239070 See Footnote 2, Part IV The Center for Hospice and Palliative Care Inc 111 Sunnybrook Court South Bend IN 46637 310952866 501(c)(3) 9500 See Footnote 2, Part IV The Nature's Conservancy 101 East Grand River Avenue Lansing MI 489064374 530242652 501(c)(3) 217744 See Footnote 2, Part IV The Ohio State University 1960 Kenny Road Columbus OH 432101016 316025986 State of OH 543740 See Footnote 2, Part IV Trimeric Corporation Post Office Box 826 Buda TX 786100826 113695961 35569 See Footnote 2, Part IV Tulane University 102 Newcomb Hall New Orleans LA 70118 720423889 501(c)(3) 30000 See Footnote 2, Part IV United Way of Greater St Louis 910 N 11th Street Saint Louis MO 63101 430714167 501(c)(3) 100000 See Footnote 2, Part IV US Forest Service Post Office Box 301550 Los Angeles CA 900301550 720564834 Federal 13611 See Footnote 2, Part IV US Geological Survey MS 271 National Center Reston VA 20192 530196958 Federal 18661 See Footnote 2, Part IV UGA Research Foundation Inc 279 Williams Street Athens GA 306051746 581353149 501(c)(3) 108112 See Footnote 2, Part IV University of Alabama Box 870135 Tuscaloosa AL 354870135 636001138 State of AL 11280 See Footnote 2, Part IV University of Alaska Fairbanks Post Office Box 757880 Fairbanks AK 997757880 926000147 State of AK 9410 See Footnote 2, Part IV University of Chicago 6054 South Drexel Avenue Chicago IL 606372612 362177139 501(c)(3) 189513 See Footnote 2, Part IV University of Houston Post Office Box 988 Houston TX 770010988 746001399 State of TX 67317 See Footnote 2, Part IV University of Illinois Post Office Box 4610 Springfield IL 627084610 376000511 State of IL 287525 See Footnote 2, Part IV Univ of Kansas Center for Research Inc 2385 Irving Hill Road Lawrence KS 660450001 480680117 State of KS 62907 See Footnote 2, Part IV Univ of Kentucky Research Foundation Post Office Box 931113 Cleveland OH 441930001 616033693 State of KY 66346 See Footnote 2, Part IV University of Memphis Post Office Box 1000 Memphis TN 381480001 620648618 State of TN 33020 See Footnote 2, Part IV University of Minnesota Post Office Box 1450 Minneapolis MN 554855957 416007513 State of MN 56484 See Footnote 2, Part IV University of Missouri-Columbia Post Office Box 807012 Kansas City MO 641807012 436003859 State of MO 155275 See Footnote 2, Part IV University of New Hampshire 51 College Road Durham NH 038242620 026000937 State of NH 5112 See Footnote 2, Part IV University of New Mexico 1 University of New Mexico Albuquerque NM 871310001 856000642 State of NM 147755 See Footnote 2, Part IV University of North Carolina-Charlotte 9201 University City Blvd Charlotte NC 282230001 560791228 State of NC 30000 See Footnote 2, Part IV University of North Carolina-Chapel Hill Post Office Box 402420 Atlanta GA 303842420 566001393 State of NC 71294 See Footnote 2, Part IV University of North Carolina-Wilmington 601 South College Road Wilmington NC 284033201 561258660 State of NC 10719 See Footnote 2, Part IV University of Northern Iowa Office of Business Operations Cedar Falls IA 506140001 426004333 State of IA 49081 See Footnote 2, Part IV University of Pittsburgh Post Office Box 371220 Pittsburgh PA 152517220 250965591 State of PA 8750 See Footnote 2, Part IV Univ of South Carolina Research Foundation Post Office Box 751475 Charlotte NC 282751475 570967350 State of SC 127831 See Footnote 2, Part IV University of Texas at Austin Post Office Box 7159 Austin TX 787137159 746000203 State of TX 39815 See Footnote 2, Part IV University of Texas at Tyler 3900 University Blvd Tyler TX 757016699 751396988 State of TX 42982 See Footnote 2, Part IV University of Texas Dallas 800 West Campbell Road Richardson TX 750803021 751305566 State of TX 176051 See Footnote 2, Part IV University of Toledo Post Office Box 72327 Cleveland OH 441920002 346401483 State of OH 105135 See Footnote 2, Part IV University of Utah 201 Presidents Circle Salt Lake City UT 841129020 876000525 State of UT 736073 See Footnote 2, Part IV University of Virginia Post Office Box 400195 Charlottesville VA 229044195 546001796 State of VA 54886 See Footnote 2, Part IV University of Washington 12455 Collections Drive Chicago IL 606930001 916001537 State of WA 337455 See Footnote 2, Part IV University of Wyoming Post Office Box 3355 Laramie WY 820712001 836000331 State of WY 61506 See Footnote 2, Part IV Utah State University 2400 Old Main Hill Logan UT 843222400 876000528 State of UT 62151 See Footnote 2, Part IV Virginia Tech 1880 Pratt Drive Blacksburg VA 240603580 546001805 State of VA 17605 See Footnote 2, Part IV Wayne State University Post Office Box 02788 Detroit MI 482020788 386028429 State of MI 14283 See Footnote 2, Part IV Western Michigan University 1903 West Michigan Avenue Kalamazoo MI 490085200 386007327 State of MI 7317 See Footnote 2, Part IV Women's Care Center Inc 360 N Notre Dame Avenue South Bend IN 46617 351609945 501(c)(3) 5700 See Footnote 2, Part IV Wright State University 3640 Colonel Glenn Highway Dayton OH 454350002 310732831 State of OH 99816 See Footnote 2, Part IV YouGovPolimetrix 285 Hamilton Avenue Palo Alto CA 943012538 980547173 20000 See Footnote 2, Part IV History of Science Society Inc 440 Geddes Hall Univ of Notre Dame Notre Dame IN 46556 526050324 501(c)(3) 7158 See Footnote 2, Part IV 120 13 Tuition Scholarships, Fellowships, and Room and Board Discounts 7739 230922882 Athletics Grant-in-Aid 343 956499 Housing and Other Assistance 396 555635 Prizes and Awards 708 1135817 Research and Travel Grants 3684 3925843 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: All grants made for research activities are initiated by a formal sub-contract executed by both parties. The terms and conditions of each grant contain all the guidelines for invoicing, billing, record retention, audits, etc. Research and Sponsored Programs Accounting ("RSPA") and the Office of Research work in tandem to ensure the guidelines are adhered to. Almost all sub-contracts for research activities are paid on a cost-reimbursement basis. All invoices paid for costs are approved by the Principal Investigator based on completion of work, deliverables met, etc. In addition, RSPA monitors the payments against the total budget to ensure payment is not made above the stipulated ceiling. The University has developed a policy containing guidelines surrounding sub-contracts, some of which were addressed above. This policy can be found at: http://controller.nd.edu/assets/91679/subrecipient_monitoring.pdf Charitable Organizations that receive contributions from the University are carefully selected and require documentation to support the University's interest in the organization to ensure consistency with the core values of the University. Charitable contributions also require the approval of the Executive Vice President, except for charitable contributions made through the DAF Program. The University provides funding to students and other related individuals for research and other activities to support the furtherance of their education. Funds provided are monitored through applications, budgets and a requirement to document the use of funds either prior to the distribution of funds or upon completion of the activity. Part II, Line 1, Column (h): Payments related to work performed on research subcontract related to federal, state or private grant originally made to the University and other assistance in accordance with the University's exempt mission. X X X X X 1 1 X X X X 1 1 0 1 0 0 0 0 0 John F Affleck-Graves PhD 545767 0 0 0 34730 0 132600 0 18663 0 731760 0 0 0 Rev John I Jenkins CSC PhD 623980 0 0 0 62500 0 0 0 143639 0 830119 0 0 0 Thomas G Burish PhD 409190 0 0 0 22450 0 281313 0 18589 0 731542 0 0 0 Rev Timothy R Scully CSCPhD 156891 0 0 0 15791 0 0 0 14280 0 186962 0 0 0 Scott C Malpass MBA 870480 0 2020838 0 67968 0 1285000 0 8189 0 4252475 0 654289 0 Marianne Corr JD 437890 0 0 0 20350 0 25000 0 9039 0 492279 0 0 0 John B Swarbrick Jr 658176 0 170670 0 69807 0 175000 0 69399 0 1143052 0 0 0 Robert A Diaco 495804 0 88388 0 39418 0 25000 0 24214 0 672824 0 0 0 Michael P Brey 624445 0 75364 0 57465 0 25000 0 24214 0 806488 0 0 0 Muffet McGraw 722232 0 209019 0 70825 0 25000 0 31763 0 1058839 0 0 0 Brian Kelly 698140 0 607200 0 102529 0 25000 0 24415 0 1457284 0 0 0 Michael D Donovan MBA JD 477906 0 776017 0 22895 0 490000 0 8369 0 1775187 0 265195 0 Charles J Weis 0 0 0 0 2054744 0 0 0 0 0 2054744 0 0 0 Donald B Pope-Davis PhD 240890 0 0 0 810 0 24675 0 65917 0 332292 0 0 0 Christine M Maziar PhD 317740 0 0 0 17990 0 25000 0 8678 0 369408 0 0 0 James J Lyphout MBA 0 0 0 0 221773 0 22500 0 18502 0 262775 0 0 0 John A Sejdinaj MBA CCM 358443 0 0 0 17180 0 25000 0 24443 0 425066 0 0 0 Robert J Bernhard PhD 315511 0 0 0 18196 0 25000 0 63473 0 422180 0 0 0 Rev Thomas P Doyle CSC 208980 0 0 0 21000 0 0 0 13934 0 243914 0 0 0 Louis M Nanni MA 429640 0 0 0 22131 0 25000 0 25415 0 502186 0 0 0 Part I, Line 1a First Class or Charter travel Type of benefit (First class travel): Air travel other than coach class (typically business class) is allowed for travel to Alaska, Hawaii and destinations outside North America, or for necessary medical reasons (accompanied by appropriate supporting documentation), if the situation warrants it and with approval from a Dean or President's Leadership Council Member. Type of benefit (Charter travel): Travel on the University plane or other plane leased by the University requires approval by the President's Office. Recipients of the benefit and tax treatment: First class air travel and charter travel was provided to 17 persons included in Form 990, Part VII, Section A in 2012 and was reported as taxable compensation in those instances where there was not a business purpose for the travel. Travel for companions Type of benefit: Spouses of University employees are occasionally asked to travel on University business. Spousal travel reimbursement by the University requires approval by a Dean or President's Leadership Council Member, or their authorized representative, and if the business purpose of the spousal travel is not properly documented, it is treated as taxable compensation to the employee. Recipients of the benefit and tax treatment: Travel for companions was provided to seven persons included in Form 990, Part VII, Section A in 2012 and was reported as taxable compensation in those instances where there was not a business purpose for the travel. Tax indemnification and gross-up payments Type of benefit: Tax indemnification and gross-up payments may occasionally be provided to University employees. Recipients of the benefit and tax treatment: A gross-up payment was provided to one person included in Form 990, Part VII, Section A in 2012 and was reported as taxable compensation in that instance. Housing allowance or residence for personal use: Type of Benefit/Recipients of the benefit and tax treatment: Housing was provided to four persons included on Form 990, Part VII, Section A, in 2012. All four persons are members of the CSC Religious Order and live in University dormitories or apartments while providing guidance to students for the convenience of the University. As a result, the housing benefit to these four individuals was not included in gross income of the recipients under Section 119 of the Internal Revenue Code. Social club dues Type of benefit: Social club dues are occasionally paid on behalf of employees of the University, and these dues are added to the individual's income to reflect personal use (as reported on an annual basis). Recipients of the benefit and tax treatment: Social club dues were provided to 9 persons included in Form 990, Part VII, Section A in 2012 and were reported as taxable compensation in all of those instances. Part I, Lines 4a-b a(i)Termination payment of $2,054,744 was made during the reporting period to Charles J. Weis under a separation agreement that includes additional annual payments through December, 2015. 4a(ii)-Separation payment of $221,773 was made during the reporting period to James Lyphout under a separation agreement. 4b-John Affleck-Graves, Executive Vice President, Thomas Burish, Provost, John W. Swarbrick, Athletic Director, Scott Malpass, Vice President and Chief Investment Officer, and Michael Donovan, Investment Office Managing Director participated in nonqualified deferred compensation arrangements under Internal Revenue Code Section 457(f) during calendar 2012. Affleck-Graves received an accrued benefit of $107,600 in 2012. Burish received an accrued benefit of $256,313 under his nonqualified deferred compensation plan in 2012. Swarbrick received an accrued benefit of $150,000 during that calendar year. Malpass received an accrued benefit of $1,260,000 in 2012. Donovan received an accrued benefit of $465,000 in 2012. The accrued benefit and related earnings vest to Affleck-Graves, Burish, and Swarbrick at the end of the term of each plan (5 or 6 years) and over a 5 year period to Malpass and Donovan. Part I, Line 5 a(i)-Scott Malpass, Vice President and Chief Investment Officer, received incentive compensation which was in part calculated contingent on the performance of the University's unitized investment pool. Malpass received $2,020,838 in calendar 2012 related to this program. 5a(ii)-Michael D. Donovan, Managing Director, Investments, received incentive compensation which was in part calculated contingent on the performance of the University's unitized investment pool. Donovan received $776,017 in calendar 2012 related to this program. Supplemental Information Part III Schedule J, Part II-Compensation of the Congregation of Holy Cross, United States Province, Inc. a. There are amounts listed on Form 990, Part VII, in Columns D-F, as well as the amounts listed on Schedule J, Part II, Columns B-F for members of the Holy Cross religious order (Fr. Thomas Doyle, Fr. John Jenkins, Fr. James King, and Fr. Timothy Scully). The amounts listed are paid directly to their religious order, Congregation of Holy Cross, United States Province, Inc., rather than to these individuals. b. Fr. Timothy Scully is a member of the Congregation of Holy Cross, United States Province, Inc. religious order and received no compensation for his participation as a Trustee of the University. However, Fr. Scully is also a faculty member of the University. As a result of this faculty position (and not his position as a Trustee), he received the compensation indicated above, which was paid directly to his religious order. c. $121,938 of the amount included on Schedule J, Part II, Column D for Fr. Jenkins represents qualified tuition benefit offered to members of the Congregation of Holy Cross, United States Province, Inc. Form 990, Part VII, Line 5-Compensation from an Unrelated Organization: a) The current head football coach is permitted to receive compensation from external sources with prior written approval from the University. The University is not a party to any agreements between the coach and any third party for the payment of compensation to the coach, and the coach does not provide services to the University as a result of any such agreements. Therefore, any external income that the coach may receive is not reported for purposes of the University's response to the question raised on Form 990, Part VII, Line 5. b) Other reportable compensation: Name Unrelated Compensation Compensation Organization Type Amount Michael P. Brey Play by Play Sports Cash $720,000 Muffet McGraw Play by Play Sports Cash $272,500 A St Joseph County Indiana 356000194 79061ABD8 2003-12-16 65000000 See Part VI 0 0 0 B St Joseph County Indiana 356000194 79061ABA4 2005-12-08 185000000 See Part VI 0 0 0 C St Joseph County Indiana 356000194 79061ABE6 2007-12-14 75000000 See Part VI 0 0 0 D St Joseph County Indiana 356000194 79061ABK2 2009-09-30 153953342 See Part VI 0 0 0 A 17340000 65326176 510157 333733 29389306 35092980 2007 1 0 1 1 B 110000000 188456420 2389124 370716 70348646 115347934 2010 1 0 1 1 C 75546119 261689 246545 24337420 50700465 2012 1 0 1 1 D 153953386 953386 153000000 1 0 0 1 A 0 1 1 1 1 1 0.00030 0.00010 0.00040 0 0 1 B 0 1 1 1 1 1 0.00050 0.00020 0.00070 0 0 1 C 0 1 1 1 1 1 0.00020 0.00010 0.00030 0 0 1 D 0 0 0 0 0 0 1 A 0 0 1 0 1 1 See Part VI 0 0 0 NA 0 0 1 B 0 0 1 0 1 1 Goldman Sachs 25.000000000000 0 0 1 See Part VI 1 0 1 C 0 0 1 0 1 1 See Part VI 0 0 0 NA 0 0 1 D 0 0 1 0 0 0 NA 0 0 0 NA 0 0 1 A 1 B 1 C 1 D 1 Part I Bond Issues (f) Description of Purpose (A) $65,000,000 St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2003 originally issued on December 16, 2003. Bond proceeds were utilized to refund the Indiana Educational Facilities Authority Educational Facilities Revenue Bonds, Series 1992 dated November 5, 1992 and to refund the Indiana Educational Facilities Authority Educational Facilities Revenue Bonds, Series 1994 dated November 30, 1994. Proceeds were also applied to finance and reimburse a portion of the costs of various campus improvements. Those improvements include (i) construction of a performing arts center and science learning center, (ii) general repairs and improvements to the Alumni and Dillon Residence Halls, (iii) renovation and improvements to utility infrastructure, and (iv) general construction and renovation projects. (B) $185,000,000 St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2005 originally issued on December 8, 2005, with CUSIP number 79061ABA4 (reflected in Part I (c) and (d)). $75,000,000 of the Series 2005 Bonds were then converted from a weekly rate period to a term rate period commencing November 6, 2008, with a new CUSIP number 79061ABF3 and ending February 29, 2012. $75,000,000 of the Series 2005 Bonds were then converted from a term rate period to a weekly rate period commencing on March 1, 2012. $110,000,000 of the Series 2005 Bonds were refunded by the St. Joseph County Series 2009 Bonds (see Part I (D)). Bond proceeds were used to refund the Indiana Health and Educational Facility Financing Authority Educational Facilities Revenue Bonds, Series 1995 dated August 9, 1995, to refund the St. Joseph County, Indiana Educational Facilities Revenue Bonds, Series 1996 dated September 12, 1996, and to refund a portion of the St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2002 dated March 5, 2002. Proceeds were also utilized to finance and reimburse a portion of the costs of various campus improvements. Those improvements include (i) the construction of new roads along the south and east boundaries of the University's campus and the realignment of Angela Boulevard, Edison Road and Ivy Road in connection therewith, and the closing of Juniper Road, (ii) renovation and improvements to the Student Health Center, (iii) repair and regilding of the dome on top of the Administration Building, (iv) renovation and improvements to laboratory facilities within the Galvin Life Science Building, (v) general construction and renovation projects. (C) $75,000,000 St. Joseph County, Indiana Educational Facilities Refunding Revenue Bonds, Series 2007 originally issued on December 14, 2007. Bond proceeds were utilized to refund the St. Joseph County, Indiana Educational Facilities Revenue Bonds, Series 1997 dated November 20, 1997, and to refund the Indiana Educational Facilities Authority Educational Facilities Refunding Revenue Bonds, Series 1997 dated November 19, 1997. Proceeds were also applied to finance and reimburse a portion of the costs of various campus improvements. These improvements include (i) the construction of an addition to the Mason Support Services Center, (ii) the renovation and improvements to a laboratory facility within Nieuwland Science, (iii) general construction and renovation projects. (D) Total issue price of $153,953,341.65, comprised of an original issue premium of $7,388,341.65 and principal amount of $146,565,000 St. Joseph County, Indiana Educational Facilities Refunding Revenue Bonds, Series 2009 issued on September 30, 2009. Bond proceeds were used to refund the St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 1998 dated October 1, 1998 and ($110,000,000 of) the St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2005 dated December 8, 2005 (see Part I (B)). Part II Proceeds Line 1 Amount of bonds retired Line 1 (B) Reflects the amount of the Series 2005 Bonds refunded by the Series 2009 Bonds Line 3 Total proceeds of issue Line 3 (A), (B), (C), (D) - Amount reported on Line 3 includes investment earnings and as a result, does not agree to issue price listed on Part I. Line 3 (B) The original par amount of the Series 2005 Bonds was $185,000,000. The amount reported includes the $185,000,000 par plus investment earnings. $110,000,000 was later refunded as part of the Series 2009 bonds. $75,000,000 remain outstanding as the Series 2005 Bonds. Line 3 (D) The Series 2009 Bonds refunded the Series 1998 Bonds ($43,000,000) and a portion of the Series 2005 Bonds ($110,000,000 of $185,000,000). This amount reported includes the original issue price of $153,953,341.65 (including the original issue premium of $7,388,341.65, a portion of which is amortized each year) plus investment earnings of $44.66. Line 5 Capitalized interest from proceeds Line 5 (A) Includes capitalized interest and swap payments Line 10 Capital expenditures from proceeds Line 10 (D) The Series 2009 Bonds was a refunding issue that did not fund capital expenditures Line 11 Other spent proceeds Line 11 (A), (B), (C), (D) Includes refunded bonds Line 11 (B) Also includes capitalized line of credit fees that were not taken into account in determining the yield on the issue (per the Schedule K instructions) Line 13 Year of substantial completion Line 13 (D) Bonds only refunded previous issues and did not finance capital expenditures. Therefore, response was left blank. Line 16 Has the final allocation of proceeds been made? Line 16 (A), (B), (C) The University's intent upon issuance of the bonds was that equity contributions would first be allocated to any potential private business use in the financed facilities. Line 16 (D) Bonds only refunded previous issues and did not finance capital expenditures. Therefore, response was indicated as "NO". Part III Private Business Use Line 2 (D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was indicated as "NO". Line 3a (D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was indicated as "NO". Line 3c (D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was indicated as "NO". Line 3b & 3d (A), (B), (C) Internal General Counsel routinely reviews agreements. External counsel occasionally engaged to review agreements. Line 3b & 3d (D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was left blank. Line 4 (A), (B), (C) The University reported the private business use percentages in Part III of Schedule K after reviewing the private business activity on campus. The University's intent upon issuance of the bonds was that equity contributions would first be allocated to any potential private business use in the financed facilities. The University financed a number of infrastructure/renovation projects that met the criteria as Qualified Improvement Exceptions. Line 4 (D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was left blank. Line 5 (A), (B), (C) The University reported the private business use percentages in Part III of Schedule K after reviewing the private business activity on campus. The University's intent upon issuance of the bonds was that equity contributions would first be allocated to any potential private business use in the financed facilities. The University financed a number of infrastructure/renovation projects that met the criteria as Qualified Improvement Exceptions. Line 5 (D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond proje cts are considered and reflected in Column B of this Schedule. Therefore, response was left blank. Part IV Arbitrage Line 2 a, b, c (A) The University met the spend-down requirement for the Series 2003 Bonds and qualified for an exception to rebate. Line 2 a, b, c (B) The University met the spend-down requirement for the Series 2005 Bonds and qualified for an exception to rebate. Line 2 a, b, c (C) The University met the spend-down requirement for the Series 2007 Bonds and qualified for an exception to rebate. Line 2 a, b, c (D) The Series 2009 Bonds refunded the University's Series 1998 Bonds and a portion of the Series 2005 Bonds. The Series 1998 Bonds met the spend-down requirement, thereby qualifying for an exception to rebate. The Series 2005 Bonds are reflected in Column B and also qualified for an exception to rebate based on meeting the spend-down requirement. Line 4b (A) Name of provider: Goldman Sachs Line 4c (A) Term of hedge: 19.0 years Line 4b (A) Name of provider: HSBC Line 4c (A) Term of hedge: 29.2 years Line 4b (C) Name of provider: Goldman Sachs Line 4c (C) Term of hedge: 19.0 years Line 4b (C) Name of provider: HSBC Line 4c (C) Term of hedge: 29.2 years Line 5b (B) Name of provider: AIG Matched Funding Corp Line 5c (B) Term of GIC: 0.2 years Line 5b (B) Name of provider: AIG Matched Funding Corp Line 5c (B) Term of GIC: 2.0 years See Part V See Part V 266248 See Part V See Part V See Part V See Part V 14234 See Part V See Part V Pamela Burish See Part V 39918 See Part V 0 American Electric Power Co Inc See Part V 3421800 See Part V 0 Reinhart FoodService LLC See Part V 115360 See Part V 0 General Electric See Part V 422086 See Part V 0 Xerox Corporation See Part V 1663326 See Part V 0 AON See Part V 879593 See Part V 0 Daniel Nussbaum See Part V 11548 See Part V 0 Sprint See Part V 296958 See Part V 0 Joseph Lyphout See Part V 73553 See Part V 0 Part III (a) Name of interested person: N/A(b) Relationship between interested person and the organization: Employees(c) Amount of assistance: $266,248(d) Type of assistance: Qualified tuition reduction(e) Purpose of assistance: Financial aid(a) Name of interested person: N/A(b) Relationship between interested person and the organization: Children/siblings of Trustees(c) Amount of assistance: $14,234(d) Type of assistance: Financial assistance(e) Purpose of assistance: Financial aid Part IV 1. (a) Pamela Burish(b) Relationship between interested person and the organization: Spouse of Officer/Trustee Thomas Burish(d) Description of transaction: Compensation from University to Mrs. Burish as an Adjunct Instructor and Fellow for the Institute for Educational Initiatives 2. (a) American Electric Power Co., Inc.(b) Relationship between interested person and the organization: University Trustees Sara Martinez Tucker and Richard C. Notebaert are members of the Board of Directors for American Electric Power Co., Inc., which provides power for the University campus.(d) Description of transaction: American Electric Power Co., Inc.'s charges are determined by rates negotiated between American Electric Power Co., Inc. and the State of Indiana, at arm's length. These charges and the relationship between American Electric Power Co., Inc. and the University are in compliance with the University's overall conflict of interest policy.3. (a) Reinhart FoodService, LLC(b) Relationship between interested person and the organization: University Trustee J. Christopher Reyes is an owner and co-chairman of Reyes Holdings, LLC. Reinhart FoodService, LLC is a wholly-owned subsidiary of Reyes Holdings, LLC.(c) Represents less than 1 percent of total University food expenditures paid(d) Description of transaction: Reinhart FoodService, LLC provides food distribution services to the University. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy.4. (a) General Electric (GE)(b) Relationship between interested person and the organization: University Trustees John J. Brennan and James E. Rohr are members of the Board of Directors for GE.(d) Description of transaction: GE provides supplies and services to the University. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy.5. (a) Xerox Corporation(b) Relationship between interested person and the organization: University Trustee Sara Martinez Tucker is a member of the Board of Directors for Xerox Corporation.(d) Description of transaction: Xerox provides office equipment to the University and has an athletics sponsorship arrangement with the University as well. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy.6. (a) AON(b) Relationship between interested person and the organization: University Trustee Richard Notebaert is a member of the Board of Directors for AON.(d) Description of transaction: AON provides consulting and risk services to the University. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy.7. (a) Daniel Nussbaum(b) Relationship between interested person and the organization: Son of University Trustee Richard Nussbaum(d) Description of transaction: Compensation from University to Mr. Daniel Nussbaum as a Regional Development Associate Director.8. (a) Sprint(b) Relationship between interested person and the organization: University Trustee Sara Martinez Tucker is a member of the Board of Directors for Sprint.(d) Description of transaction: Sprint provides wireless services to the University and has an athletics sponsorship arrangement with the University as well. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy. 9. (a) Joseph Lyphout(b) Relationship between interested person and the organization: Son of Former University Officer James Lyphout(d) Description of transaction: Compensation from University to Mr. Joseph Lyphout as a Budget/Planning Assistant Director. X 21 0 X 0 X 1 1003475 Appraisal X 700 72619778 Proceeds from sale X 6 1928841 Proceeds/$1 token value X 1 0 X 1 303731 Note rec. at face value X 1 0 X Equipment 8 0 X Other 227 0 24 0 1 0 Method for Determining Number of Contributions: Part I, Column (b): The amounts shown for "Number of contributions or items contributed" represent number of contributions, not number of items contributed. Non Reporting of Revenue: Part I, Line 33: Other than for gifted securities, the University's policy is to record as revenue only those non-cash contributions in excess of one million dollars, if supported by an appraisal from a qualified third-party. For gifted securities, the University records the proceeds received upon liquidation, broken down between contribution (for the value at date of gift) and gain or loss (for the difference between contribution and proceeds). For gifted securities of closely held stock, the University records a token value of one dollar, unless furnished with an appraisal from a qualified third-party appraiser. However, the University will record liquidation proceeds for closely held stock if the University can obtain confirmation from the company that the company will purchase the shares at a specified price in the near future. University's Mission Form 990, Part I, Line 1 and Part III, Line 1 The University of Notre Dame is a Catholic academic community of higher learning, animated from its origins by the Congregation of Holy Cross. The University is dedicated to the pursuit and sharing of truth for its own sake. As a Catholic university, one of its distinctive goals is to provide a forum where, through free inquiry and open discussion, the various lines of Catholic thought may intersect with all the forms of knowledge found in the arts, sciences, professions, and every other area of human scholarship and creativity. The intellectual interchange essential to a university requires, and is enriched by, the presence and voices of diverse scholars and students. The Catholic identity of the University depends upon, and is nurtured by, the continuing presence of a predominant number of Catholic intellectuals. This ideal has been consistently maintained by the University leadership throughout its history. What the University asks of all its scholars and students, however, is not a particular creedal affiliation, but a respect for the objectives of Notre Dame and a willingness to enter into the conversation that gives it life and character. Therefore, the University insists upon academic freedom that makes open discussion and inquiry possible. The University prides itself on being an environment of teaching and learning that fosters the development in its students of those disciplined habits of mind, body, and spirit that characterize educated, skilled, and free human beings. In addition, the University seeks to cultivate in its students not only an appreciation for the great achievements of human beings but also a disciplined sensibility to the poverty, injustice and oppression that burden the lives of so many. The aim is to create a sense of human solidarity and concern for the common good that will bear fruit as learning becomes service to justice. Notre Dame also has a responsibility to advance knowledge in a search for truth through original inquiry and publication. This responsibility engages the faculty and students in all areas of the University, but particularly in graduate and professional education and research. The University is committed to constructive and critical engagement with the whole of human culture. The University encourages a way of living consonant with a Christian community and manifest in prayer, liturgy and service. Residential life endeavors to develop that sense of community and of responsibility that prepares students for subsequent leadership in building a society that is at once more human and more divine. Notre Dame's character as a Catholic academic community presupposes that no genuine search for the truth in the human or the cosmic order is alien to the life of faith. The University welcomes all areas of scholarly activity as consonant with its mission, subject to appropriate critical refinement. There is, however, a special obligation and opportunity, specifically as a Catholic university, to pursue the religious dimensions of all human learning. Only thus can Catholic intellectual life in all disciplines be animated and fostered and a proper community of scholarly religious discourse be established. In all dimensions of the University, Notre Dame pursues its objectives through the formation of an authentic human community graced by the Spirit of Christ. Form 990, Part VI, Section A, line 2 Sara Martinez Tucker, Trustee and Richard Notebaert, Trustee - Business relationship John J. Brennan, Trustee and James Rohr, Trustee - Business relationship Form 990, Part VI, Section B, line 11 After internal review of the completed Form 990 and external review by the University's outside tax accountants (PricewaterhouseCoopers), the return is presented to the University's Tax Strategy Committee, which includes University officers (Executive Vice President, Vice President for Finance and General Counsel), the Chief Audit Executive, the Controller and members of his tax and compliance staff, and PricewaterhouseCoopers. Following this internal process, the return is presented for review to the Audit Committee of the Board of Trustees, who review the return and discuss it at a meeting prior to filing the return. Upon completion of their review, it is provided to the full Board of Trustees, also prior to the filing of the return. Form 990, Part VI, Section B, line 12c All faculty, staff and students who are in a position to influence or commit resources of the University of Notre Dame are considered "members" who must complete and submit on no less than an annual basis a Conflict of Interest Disclosure Survey. Such surveys are evaluated by the appropriate "Reviewer". Each member's Reviewer depends on whether they are faculty, staff, department chair, or dean, but ultimately all actual, potential, and perceived conflicts of interest are reviewed by the University Conflicts Committee. The Reviewer determines whether an actual, potential, or perceived conflict of interest exists and makes a recommendation to the University Conflicts Committee as to what conditions or restrictions, if any, should be imposed by the University to manage, reduce, or eliminate such conflicts. The Reviewer, with input from the member if needed, develops a Management Plan for submission to the University Conflicts Committee. The University Conflicts Committee then makes a decision regarding disposition of a disclosure based on the Reviewer's recommendation, the details regarding the Member's actual, potential, or perceived conflict of interest, and the proposed Management Plan. Members of the University's Board of Trustees are governed by a separate conflict of interest policy and must disclose all financial interests and material facts pertinent to any potential conflict on their annual Conflict of Interest statement (or whenever potential conflicts arise) to the Audit Committee of the Board. This policy is coordinated, administered, reviewed, and monitored by the University's internal Audit & Advisory Services department. After any discussion or presentation of the financial interests and material facts to the Audit Committee, the individual must recuse himself/herself during the discussion of, and voting on, the potential conflict. The Audit Committee shall assess whether the potential conflict is reasonable and the result of arms-length negotiation conforming to the University's written policies, as well as if the action furthers the University's charitable purposes and is in the best interests of the University. The Chairman of the Audit Committee shall, if appropriate, appoint a disinterested person or Committee to investigate alternatives to the proposed transaction or arrangement. Should the Audit Committee have reason to believe a Trustee-member has failed to disclose all financial interests and material facts pertinent to a potential conflict of interest, it shall inform the individual of such, and afford the individual the opportunity to further explain all interests and facts pertinent to the potential conflict. If it is determined that an individual has not disclosed all financial interests and material facts pertinent to an actual or potential conflict of interest, corrective action shall be taken as deemed appropriate. The minutes of any meeting of the University's Board of Trustees or other governing board of the University considering a conflict of interest, including committees and sub-committees of such boards, shall include the names of those present for discussion and voting, as well as those recused from the discussion and voting, on any transaction, arrangement, relationship, or other action involving a potential conflict of interest. Form 990, Part VI, Section B, line 15 The Compensation Committee of the Board of Trustees develops, in conjunction with the President, Executive Vice President, and Vice President of Human Resources, an overall Total Reward Philosophy for Key Employees, which supports the University's overall mission, and shall recommend such Total Reward Philosophy to the Board for approval. The Committee acts on behalf of the Board to implement the executive compensation policy, approve executive compensation levels, adopt a benefit and perquisite policy, and justify reasonable compensation paid to the President, Executive Vice President, and Provost of the University, and other persons who are "disqualified persons" under Internal Revenue Code Section 4958 (intermediate sanctions). The Committee researches competitive and reasonable annual base salary levels, annual incentive plans, executive benefit plans, welfare benefits and supplemental benefits of the named executives and other key individuals. Upon completion of the research, the Committee approves the specific levels and amounts of total rewards that will be paid to, or provided for the benefit of, the named executives and other key individuals. The Committee examines the reasonableness of compensation levels. In so doing, the Committee assesses the nature and scope of the position by reviewing the basis on which compensation was paid. This includes a review of compensation for, but not limited to, exceptional performance, additional duties, and/or the unique background, experiences, personal skills and the abilities of the executive, as well as special challenges facing the University that require the use of such attributes or skills. The Committee's evaluation includes valid market data provided by an independent third party consultant that details each compensation component and the total package in light of the University's executive compensation philosophy. The Committee conducts such examination to be able to establish a presumption under Section 4958 that the total reward package offered to "disqualified persons" is reasonable. Form 990, Part VI, Section C, line 19 The University makes its governing documents (http://www.nd.edu/aboutnd/leadership/pdf/bylaws.pdf, http://www.nd.edu/aboutnd/leadership/pdf/statutes.pdf) and financial statements (http://controller.nd.edu/annual-reports/) available to the public on the University's website. Notre Dame makes its conflict of interest policy that applies to all employees available to the public by posting it on the University's website (http://policy.nd.edu/policy_files/ConflictofInterestPolicy.pdf). This information, as well as copies of Form 990 and Form 990-T, is also available upon request. Form 990 is also available on the charity websites Guidestar (http://www2.guidestar.org/) and Charity Navigator (www.charitynavigator.org/). Notre Dame does not make its trustees' conflict of interest policy available to the public. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 9: Net gain/(loss) on debt-related derivative instruments 14,756,438. Change in value of split-interest agreements 3,756,338. Net pension and postretirement benefits-related changes 23,638,870. Other non-operating changes in net assets 1,572,334. BCMR Feeder - TE GP LLC 518 17th Street Suite 1700 Denver CO 802024130 Feeder Fund DE 0 150094 University of Notre Dame du Lac Dynamo Brasil III LLC Corporation Trust Center 1209 Orang Wilmington DE 19801 Investments DE 0 113719641 University of Notre Dame du Lac ND Properties I LLC Controllers Office 731 Grace Hall Notre Dame IN 46556 Leasing IN 0 13757992 University of Notre Dame du Lac Cupula Holdings LLC Corporation Trust Center 1209 Orang Wilmington DE 19801 Dormant DE 0 0 University of Notre Dame du Lac Association of Notre Dame Clubs Inc Controllers Office 731 Grace Hall Notre Dame IN 46556 311050144 Alumni Association IN 501(c)(3) Line 11c, III-FI University of Notre Dame du Lac 1 Fundacion University of Notre Dame Chile Av Vicuna Mackenna 4860 Macul Pr Internacionales, Santiago CI Study Abroad Program CI 501(c)(3) University of Notre Dame du Lac 1 Univ of Notre Dame du Lac Gillen Foundation Controllers Office 731 Grace Hall Notre Dame IN 46556 237125378 Research Facility Operations MI 501(c)(3) Line 11a, I University of Notre Dame du Lac 1 Voice of the Fighting Irish Inc Controllers Office 731 Grace Hall Notre Dame IN 46556 311135580 Radio Station IN 501(c)(3) Line 11a, I University of Notre Dame du Lac 1 The University of Notre Dame (USA) in England 1 Suffolk Street London UK SW1Y 4HG Study Abroad Program UK 501(c)(3) University of Notre Dame du Lac 1 IPND Leverage Lender LLC Controllers Office 731 Grace Hall Notre Dame IN 46556 271678084 Finance IN University of Notre Dame du Lac Excluded 442549 13487874 0 1 0.99900 Magna NYC Co-Investment LP 300 Centerville Rd Suite 300 East Warwick RI 02886 261523052 Real Estate Investment DE GP Magna NYC Co-Investment LLC Excluded 914093 40748212 0 0 0.88210 Merit Energy Partners VIII LP 13727 Noel Rd Suite 1200 Dallas TX 75240 752530212 Direct Energy Investments DE Merit Partners LP Excluded 28308613 91712701 0 0 0.83130 Qiming II Investor Holdings LLC 350 106th Ave NE 1st Floor Bellevue WA 98004 270464551 Feeder Fund WA University of Notre Dame du Lac Excluded 50789 4034271 0 1 1.00000 Santa Fe Interests LLC 300 Park Blvd Suite 500 Itasca IL 60143 203977995 Rental Real Estate DE University of Notre Dame du Lac Excluded 379113 50456024 0 0 0.90000 SSGA US GovernmentCredit Bond Index NL QP CTF One Lincoln Street Boston MA 02111 276126714 Common Trust Fund MA State Street Bank Excluded 5419616 44896041 0 0 0.27520 Thor Palmer House Co-Investor LP 25 West 39th Street New York NY 10018 203283109 Real Estate Investment DE Thor Palmer House Co-Investor GP LLC Excluded -929553 60466532 0 0 0.68720 BCMR Feeder - TE LP 518 17th Street Suite 1700 Denver CO 80202 980582629 Feeder Fund CA University of Notre Dame du Lac C -302410 15012975 0.99000 1 Bradley-DeBartolo Inc Controllers Office 731 Grace Hall Notre Dame IN 46556 341765932 Real Estate Owner/Lessor OH University of Notre Dame du Lac C -260538 3255360 1.00000 1 India Equity Growth Fund (Investors) Limited 65 Chulia Street 39-08 OCBC Centr SN 049513 Feeder Fund MP University of Notre Dame du Lac C -902343 60712464 0.80690 1 Kingdom Ridge Capital Fund Ltd 81 Main Street Suite 209 White Plains NY 10601 Feeder Fund CJ University of Notre Dame du Lac C -3936019 115475484 0.93470 1 Tegean Offshore Fund Ltd Two Grand Central Tower 140 E 45th New York NY 100177157 Feeder Fund CJ University of Notre Dame du Lac C 2974537 85341884 0.89370 1 TDR Capital II C Holdings LP 50 Lothian Rd Festival Square Edinburgh UK EH3 9WJ 980648852 Feeder Fund UK University of Notre Dame du Lac C 946607 41143412 1.00000 1 Sorin Management Limited c/o Apex Fund Services Ltd 4th Fl CyberCity, Ebene MP Investments MP University of Notre Dame du Lac C 1.00000 1 Charitable Remainder Trusts (69) See Part VII IN T 0 0 1 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 1 BCMR Feeder - TE LP B 3386842 Funding Provided Kingdom Ridge Capital Fund Ltd S 10000000 Amount Received Magna NYC Co-Investment LP B 201504 Funding Provided Magna NYC Co-Investment LP S 1089539 Amount Received Merit Energy Partners VIII LP B 8712000 Funding Provided Merit Energy Partners VIII LP S 38610000 Amount Received Qiming II Investor Holdings LLC B 150000 Funding Provided India Equity Growth Fund (Investors) Limited S 52843158 Amount Received Santa Fe Interests LLC B 720000 Funding Provided Santa Fe Interests LLC K 391635 Expenses Incurred Sorin Management Limited B 52843158 Funding Provided SSGA US GovernmentCredit Bond Index NL QP CTF S 95000000 Amount Received TDR Capital II C Holdings LP B 6181748 Funding Provided Thor Palmer House Co-Investor LP B 1598638 Funding Provided University of Notre Dame Gillen Foundation B 714531 Funding Provided Voice of the Fighting Irish Inc B 65310 Funding Provided IPND Leverage Lender LLC S 125953 Amount Received Fundacion University of Notre Dame Chile B 405486 Funding Provided The University of Notre Dame (USA) in England B 4293070 Funding Provided/Exp Incurred Charitable Remainder Trusts (8) S 339937 Remainder Interest Received Part II, Identification of Related Tax-Exempt Organizations: The Association of Notre Dame Clubs, Inc. is a parent organization for 217 subordinate alumni clubs that individually file annual information returns (Forms 990, 990EZ, and 990N). Part IV, Identification of Related Orgs Taxable as a Corporation or Trust: (a) Name: Charitable Remainder Trusts (69) (b) Primary activity: Split-interest trusts in which Notre Dame is trustee and remainder beneficiary. University of Notre Dame Gillen Foundation Controllers Office 731 Grace Hall Notre Dame IN 46556 237125378 0 0 0 741864 741864 136280 34070 0 0 0 Voice of the Fighting Irish Inc Controllers Office 731 Grace Hall Notre Dame IN 46556 311135580 0 0 0 70610 70610 14122 3531 0 0 0