2014-04-11T08:48:15-05:00 2013-05-31 135565207 KPMG LLP 300 North Greene Street Suite 400 Greensboro NC 27401 990 2012-06-01 590624458 University of Miami UNIV 3052844877 PO Box 248106 Coral Gables FL 331242912 John R Shipley 3052846297 2014-04-03 Allison H Franklin P00448640 3362753394 2012 2015-11-30 17:44:51Z Donna E Shalala 1252 Memorial Dr Rm 230 CG FL 33146 5099358817 0 X WWW.MIAMI.EDU X 1925 FL The University of Miami's mission is to educate and nurture students, to create knowledge through its comprehensive research programs, and to provide patient care services to our community and beyond. 72 66 23047 1239 6763678 0 664112561 665082826 2088707356 2222586241 55368945 58409005 7965946 9934921 2816154808 2956012993 412766546 422663616 0 0 1468906808 1447200087 0 0 22903772 921416014 1030882631 2803089368 2900746334 13065440 55266659 3180301463 3338566084 1847235442 1785472291 1333066021 1553093793 X See Form 990, Part I, Line 1, Description of Organization Mission. 0 0 1000140202 371096256 701224872 See Schedule OInstruction, academic support, student services:The University of Miami (UM) is a private not-for-profit institution with more than 16,000 students. The University's 11 colleges and schools offer the following degree options: 110 undergraduate, 103 masters, and 62 doctoral (58 research/scholarship and 4 professional practice).The School of Architecture, founded in 1983, offers accredited professional undergraduate and graduate degrees in architecture and post-graduate degrees in architecture, urban design and real estate development. New programs include the Certificate in Historic Preservation and the Certificate in Classical Architecture; the post-professional Master of Science in Architecture; and the Master of Real Estate Development and Urbanism (MRED+U), an interdisciplinary one-year graduate program that draws on the real-life experience of Developers-in-Residence and faculty support from the Schools of Business Administration and Law as well as Architecture. In 2012, the School appeared for the first time among the top twenty architecture programs in the Design Intelligence annual survey.The College of Arts and Sciences enrolls over 4,300 undergraduate and over 650 graduate students in 20 departments and 10 interdisciplinary programs. Sixteen departments offer graduate degrees in the fine arts, natural sciences, humanities, and social sciences.The College of Engineering comprises five departments that offer degrees in aerospace, architectural, biomedical, civil, computer, electrical, environmental, industrial, and mechanical engineering, as well as engineering science. The College of Engineering offers a five-year B.S./M.S. degree program for our undergraduates, as well as traditional master's and doctoral degrees in a number of disciplines, with several specializations in each field of study. Consistent with the tradition of collaboration among the University of Miami schools and colleges, engineering students participate in a number of interdisciplinary programs, including partnerships between the biomedical engineering program and the School of Medicine (premedical concentration); the architectural engineering program and the School of Architecture; the audio engineering program and the School of Music; and the industrial engineering program and the School of Business Administration. Consisting of over 1,050 undergraduate students and over 250 graduate students, the College boasts an impressively diverse student body, consisting of students from 45 different countries including 29% Hispanic and 7% Black. Females represent 28% of the students (compared to an 18% national average, according to the most recent statistics from the American Society for Engineering Education).The School of Law presently enrolls nearly 1,300 candidates for either J.D., LL.M. or dual degrees, and has over 19,000 alumni worldwide. The J.D. program enrolls over 1,170 students from more than 126 colleges and universities throughout the United States. Of the entering J.D. students, approximately 45% are women, 39% are members of minority groups, and 45% are from outside Florida. Close to 50% speak more than one language. The School offers graduate programs in International Law (specializations in Inter-American Law, International Arbitration, International Law, and U.S. and Transnational Law for Foreign Lawyers), Ocean and Coastal Law, Taxation, Estate Planning, and Real Property Development, the latter offered online as well as on-campus. The graduate program in International Law and its four different specializations enroll over 45 foreign lawyers from nearly 20 nations. The School also offers several joint degree programs. It is the only law school to offer a J.D./Master's in Music Business, in addition to J.D./M.B.A., J.D./M.P.S. in Marine Affairs, J.D./M.P.H. in Public Health, J.D./M.A. in Law and Communications, J.D./M.D., J.D./M.P.A. in Public Administration, J.D./LL.M. in Tax, International Law, Ocean and Coastal Law, or Real Property Development, and a J.D./M.B.A./LL.M. in Tax. The School is regularly ranked among the top law schools by Hispanic Business Magazine and U.S. News and World Report for Tax Programs, and its alumni are regularly featured in Super Lawyers Magazine.The Leonard M. Miller School of Medicine has grown rapidly in both size and reputation, earning international acclaim for research, clinical care, and biomedical innovations. The school has more than 1,400 full-time clinical and basic science faculty members and an additional 1,460 professionals from the community serving as voluntary faculty in various departments. Along with the M.D. degree, the school offers two specialized B.S./M.D. programs, a combined M.D./Ph.D. program, an M.D./M.B.A. program, a 4-year M.D./M.P.H. program and 4-year M.D./M.S. in Genomic Medicine, a newly created M.D./J.D. program, graduate degrees in ten areas, postdoctoral programs, and continuing medical education courses. 362241581 35330080 115912316 See Schedule OResearch and Public Service:UM has been classified by the Carnegie Commission as a Very High Research University. The School of Architecture's areas of focus include new urbanism, classical and traditional architecture, and contemporary modernism. They also include health and the built environment, with health care design studios and courses and a continuing research partnership with faculty in the Miller School of Medicine; tropical and subtropical coastal design, building on faculty experience in locations such as Santo Domingo, Mumbai, Cape Town, and Barranquilla.The College of Arts and Sciences provides numerous community outreach activities, including student musical theatre and drama productions at the Jerry Herman Ring Theatre and Alvin Sherman Family Stage; student, faculty, and visiting artist exhibitions in the College of Arts and Sciences Gallery and the Project Space in the design district of downtown Miami; lectures and other educational programs sponsored by the Center for the Humanities; volunteer activities in the public schools, hospitals and community clinics for developmentally disabled children; technology workshops for Miami-Dade public school teachers sponsored by the Department of Modern Languages Laboratory; and a series of programs, hosted by several departments and funded by various federal agencies and private foundations, to enhance the diversity of students pursuing scientific careers through research opportunities for pre-college and undergraduate students; and career development opportunities for high-school and community-college faculty.The School of Law offers numerous domestic and international externship programs and foreign exchange programs in Belgium, Brazil, China,France, Germany, Ireland, Israel, Spain, and Switzerland. The School's award-winning clinics, currently ten focusing on different areas of the law, offer exceptional training grounds and give students practical, hands-on lawyering while also helping needy and underrepresented individuals. The School is also home to LawWithoutWalls (LWOW), an innovative academic model that brings together students, faculty, practitioners, and entrepreneurs from around the country and the world to explore innovation in legal education and practice.The Rosenstiel School of Marine & Atmospheric Science is one of the leading oceanographic research and education institutions in the nation. Known originally as the University's marine laboratory, it was founded in 1943. It evolved into the Institute for Marine Science in 1961, and eight years later became the Rosenstiel School of Marine & Atmospheric Science (RSMAS) within the University of Miami. The Virginia Key campus has grown to include modern research and teaching facilities, a dedicated academic library, and an internationally recognized Marine Invertebrate Museum. RSMAS also operates a state-of-the-art 96-foot catamaran research vessel, the F.G. Walton Smith, and pioneered the first-ever marine and atmospheric laboratory aboard a cruise ship, Royal Caribbean Cruise Lines' Explorer of the Seas. CSTARS (Center for Southeastern Tropical Advanced Remote Sensing), located on the Richmond campus in south Miami-Dade county was launched in 2003, and conducts research with remotely sensed data received from earth-orbiting satellite systems. This state-of-the-art real-time reception and analysis facility provides data for environmental monitoring from 16 commercial satellites, available 24/7. The predictive power concentrated on this 78-acre campus is helping to provide vital, life-saving information regarding earthquakes, hurricanes, typhoons, freak waves and other natural and manmade disasters, including in the past two years monitoring of the earthquakes in Haiti and Chile, and the Deepwater Horizon oil spill.The Leonard M. Miller School of Medicine has been designated a Center for AIDS Research (CFAR), the only such center in Florida, and is leading the University's prestigious Clinical and Translational Science Institute (CTSI), awarded by the NIH. Other clinical and research programs include the John P. Hussman Institute for Human Genomics, the Interdisciplinary Stem Cell Institute, the Dr. John T. Macdonald Foundation Biomedical Nanotechnology Institute, the Miami Transplant Institute, The Miami Project to Cure Paralysis, the Diabetes Research Institute, the Mailman Center for Child Development, and many more. 1189365042 101587 1316791769 See Schedule OHealth Care:Located north of downtown Miami near the Civic Center in the Miami Health District, the Leonard M. Miller School of Medicine's campus consists of approximately 72-acres of owned and leased land within the 153-acre University of Miami/Jackson Memorial Medical Center complex. Each year the University of Miami Health System's more than 900 faculty physicians have more than one million scheduled patient encounters in primary care and 100 medical specialties and sub-specialties. University of Miami Hospital is the flagship hospital of the University of Miami Health System (UHealth). The University also owns two other hospitals: Sylvester Comprehensive Cancer Center/UMHC - University of Miami Hospital & Clinics and Anne Bates Leach Eye Hospital, home of Bascom Palmer Eye Institute. For the tenth year in a row, Bascom Palmer was named the number one eye hospital in the country by U.S. News & World Report in its annual "America's Best Hospitals" issue. Six additional specialties were rated high-performing. Six pediatric specialties made the list of "America's Best Children's Hospitals." In addition to the three University-owned hospitals, there are also three primary hospitals affiliated with UHealth: Jackson Memorial Hospital, the primary teaching hospital for the medical school; Holtz Children's Hospital; and the Miami VA Healthcare System. There are also more than 30 outpatient clinics across Miami-Dade, Broward, Palm Beach, and Collier counties including multi-disciplinary clinics at UHealth at Kendall and UHealth at Plantation. 201216474 16135693 157001210 Expenses primarily represent auxiliary enterprises, including intercollegiate athletics, parking, student housing and student dining. Other program services revenues primarily represent auxiliary enterprises revenue, investment income, and investment losses. 201216474 16135693 157001210 2752963299 1 0 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 1 0 0 1 0 1 1 1 1 1 1 1 0 0 0 0 1 1 0 1 0 1 1 0 0 1 1 1 1 0 0 1 28136 0 1 23047 1 1 1 1 BD 0 0 0 1 1 0 0 0 0 0 X 72 66 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 FL X Ana C Paneda Interim Controller 3052844877 1320 S Dixie Highway Suite 150 Coral Gables FL 331462912 X Leonard Abess 20.00 X 0 0 0 Stuart A Miller 4.00 X 0 0 0 Wayne E Chaplin 2.00 X 0 0 0 William L Morrison 2.00 X 0 0 0 Aaron S Podhurst 10.00 X 0 0 0 Adrienne Arsht 1.00 X 0 0 0 Alex E Rodriguez 1.00 X 0 0 0 Alfred R Camner 3.00 X 0 0 0 Allan M Herbert 20.00 X 0 0 0 Arthur H Hertz 3.00 X 0 0 0 Arva Parks McCabe 5.00 X 0 0 0 Barbara A Weintraub 5.00 X 0 0 0 Barbara Hecht Havenick 3.00 X 0 0 0 Bernard J Kosar Jr 1.00 X 0 0 0 Betty G Amos 4.00 X 0 0 0 Carlos M de la Cruz Sr 1.00 X 0 0 0 Carlos M Gutierrez 2.00 X 0 0 0 Charles 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J DiMare 4.00 X 0 0 0 Peggy M Hollander 4.00 X 0 0 0 Phillip Frost 1.00 X 0 0 0 Phillip T George 4.00 X 0 0 0 Richard D Fain 2.00 X 0 0 0 Robert A Mann 12.00 X 0 0 0 Robert C Strauss 0.00 X 0 0 0 Roger A Saunders 1.00 X 0 0 0 Ronald G Stone 10.00 X 0 0 0 Rose Ellen Greene 1.00 X 0 0 0 Stanley H Arkin 0.00 X 0 0 0 Steven Brodie 3.00 X 0 0 0 Steven J Green 0.00 X 0 0 0 Steven J Saiontz 2.00 X 0 0 0 Steven Sonberg 5.00 X 0 0 0 T Kendall Hunt 1.00 X 0 0 0 Thelma VA Gibson 1.00 X 0 0 0 Thomas D Wood 3.00 X 0 0 0 Tracey Berkowitz 10.00 X 0 0 0 William A Koenigsberg 2.00 X 0 0 0 Donna E Shalala 80.00 X X 908520 0 344669 Thomas J LeBlanc 50.00 X 705618 0 46247 P Goldschmidt-Clermont 80.00 X 1199905 0 45635 Joseph T Natoli 70.00 X 671000 0 44150 Sergio M Gonzalez 60.00 X 571254 0 51248 John R Shipley 55.00 X 379628 0 41372 Rodolfo Fernandez 50.00 X 199080 0 33258 Larry D Marbert 65.00 X 346606 0 55901 Jacqueline R Menendez 60.00 X 228960 0 72570 Aileen M Ugalde 60.00 X 499277 0 40805 Patricia A Whitely 80.00 X 364046 0 59851 Nerissa Morris 60.00 X 333753 0 34000 Leslie Dellinger Aceituno 60.00 X 107105 0 27568 Jonathan Jack T Lord 55.00 X 794332 0 37827 Theresa L Ashman 50.00 X 263179 0 22859 Steven Cawley 80.00 X 398371 0 36334 Mark Diaz 70.00 X 339507 0 84615 Rudolph Rudy Green 50.00 X 0 0 0 David A Lubarsky 80.00 X 1195554 0 53562 Michele Chulick Ended 7712 55.00 X 910848 0 271 William W O'Neill 55.00 X 585482 0 25590 Alan S Livingstone MD 90.00 X 834025 0 43773 Alfred J Golden 84.00 X 2205758 0 45185 James J Larranaga 80.00 X 1153356 0 26991 Nestor de la Cruz-Munoz 60.00 X 1592367 0 48862 William Donelan Ended 53112 55.00 X 1374047 0 389 Steven E Lipshultz 55.00 X 1591788 0 76730 Diane M Cook 10.00 X 101808 0 15727 19940076 0 1441638 2282 1 1 0 Jackson Memorial Hospital 1611 NW 12 Avenue Miami FL 33136 Hospital Services 24593673 Moss and Associates LLC 2102 N Andrews Avenue Fort Lauderdale FL 33311 Construction Services 19531925 Arrellano Construction Co 7255 NW 19 St Suite B Miami FL 33126 Construction Services 16726906 Unicco Svc Co 7417 US Hwy 64E Suite 105-107 Knightdale NC 27545 Janitorial Services 16238214 Integrated Regional Laboratory 5361 NW 33 Avenue Fort Lauderdale FL 33309 Laboratory Services 9128589 431 894164 1922566 460187722 202078374 8180784 665082826 Hospitals and Clinics 900099 874900313 874900313 Tuition and Fees 900099 643382448 643382448 Medical Prof Practice 900099 406930459 406494630 435829 Local Grants and Contr 900099 147708165 147708165 Auxiliary Enterprises 900099 114170986 50654327 3039226 60477433 35493870 32761313 2732557 2222586241 19978743 19978743 982 982 8047236 8047236 5727996 3164925 2563071 2563071 2563071 2176337063 1017869 2137942491 983161 38394572 34708 38429280 425401 38003879 445569 1922566 1251620 -806051 -806051 10713 3627 7086 7086 Other Revenue 531390 90567 90567 Advertising 541800 33012 33012 123579 2956012993 2155901196 6763678 128265293 X 33042237 33042237 386179308 386179308 3442071 3442071 14304985 5761679 8251320 291986 124884 124884 1118659836 1058197101 47143347 13319388 106506782 98395759 6284414 1826609 138447101 129941554 6252011 2253536 69156499 63801612 4340154 1014733 6110324 3425298 2677301 7725 985975 36765 949210 301917 106783 187879 7255 8418392 8418392 218999236 196998061 21517344 483831 7969137 7557221 283379 128537 63548424 61126231 1191248 1230945 21982438 15794982 6186556 900 562005 562005 111429446 104774212 6477734 177500 20880184 20226010 286144 368030 19174096 17122645 952404 1099047 38506912 37523459 983453 121276433 116901957 4374476 24044209 22841754 1195016 7439 Medical Supplies 222142424 222142424 Goodwill impairment 99203913 99203913 Miscellaneous 45347166 39439866 5220989 686311 2900746334 2752963299 124879263 22903772 43514075 45164001 187822047 104245076 137171460 146633529 233695140 232481767 300000 300000 76421555 72690049 18684562 20770174 56392816 38066193 2744060707 1207911358 1465204154 1536149349 96113936 227772081 705179990 849905985 100330913 1127000 59470815 63260880 3180301463 3338566084 190323501 184030478 82322617 81103205 730067880 823598716 318478 148257301 100180292 695945665 596559600 1847235442 1785472291 X 786986990 769398516 146535036 367660735 399543995 416034542 1333066021 1553093793 3180301463 3338566084 X 55266659 86945776 77815337 X 0 1 X 1 1 1 X 0 301917 301917 2894974790 2895276707 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 295972 312283 300005 301917 1210177 250000 250000 250000 250000 1000000 1500000 2336259 54818034 0 0 X X X X 0 0 678694294 22091982 109828176 6177708 26489902 777946842 719851550 21377588 -32451356 5541013 24542475 678694294 618236320 15963186 116702475 5675165 25375267 719851550 538605730 25696152 86621587 5993766 26693383 618236320 736238938 20846313 -183817432 6488508 28173581 538605730 0.22060 0.46590 0.31350 0 0 94227582 94227582 1597951761 701894172 896057589 47872484 25836664 22035820 589318983 384901833 204417150 414689897 95278689 319411208 1536149349 -4599241 F Limited Partnerships 669437582 F Mutual Funds 122734729 F Other 62332915 F 849905985 Medical Self-Insurance Reserves 92418168 Refundable Deposits 424790 Accrued Postretirement Benefit Cost 301083794 Annuities Payable 8657210 Refundable Federal Student Loans 22591948 Other Liabilities 171383690 596559600 X 2658192337 86945776 -7915750 79030026 2579162311 8418392 368432290 376850682 2956012993 2523895652 0 2523895652 8418392 368432290 376850682 2900746334 Part III, Line 4: Part III, Line 4: Art Collection: The mission of the Lowe Art Museum, the art museum of the University of Miami, is to serve the University, the Greater South Florida communities, and national and international visitors as a teaching and exhibiting resource through its permanent and borrowed collections. The Museum: collects original, quality works of art primarily from Asia, Africa, Europe and the Americas; exhibits and preserves the permanent collection according to the highest professional standards; researches the permanent collection and publishes new findings in exhibition catalogues and articles; organizes traveling exhibitions and loans of individual works from the permanent collection to expand knowledge and appreciation of art both regionally and nationally; enhances the appreciation of the permanent collection through borrowed and organized traveling exhibitions and loans of individual works; and, supports, extends and enriches the mission of the University of Miami for students, faculty, scholars, residents, and visitors to South Florida to appreciate and more fully comprehend art and its history. More information on the Museum can be found on its website at www.miami.edu/lowe. Description of Intended Use of Endowment Funds: Part V, Line 4: Part V, Line 4: Endowment Funds: The University's endowment is used to support the University's mission which is to educate and nurture students, to create knowledge through its comprehensive research programs, and to provide patient care services to its community and beyond. Distributions from the University's endowment are mainly used for student scholarships and fellowships, endowed chairs, research, school/college support, academic program support, library support, and general University support. Description of Uncertain Tax Positions Under FIN 48: Part X, Line 2: Part X, Line 2: Fin 48 Footnote: The University is exempt from federal income taxes under section 501(c)(3) of the Internal Revenue Code. Accordingly, no provision for income taxes is made in the financial statements. At May 31, 2013, there were no uncertain tax positions. The University files tax returns with U.S. federal and other tax authorities for which the statute of limitations may go back to the year ended May 31, 2010. Part XI, Line 2d - Other Adjustments: Refunds of Program service Rev. - Hospitals.& Clinics - $7,824,000 Refunds of Contributions - $91,750 Part XI, Line 4b - Other Adjustments: See Part XI Part XII, Line 4b - Other Adjustments: See Part XI Part XI and XII, Line 4b: Other Revenue and Expense Reconciling Items: Tuition discounting $192,268,403 and grants and contracts pass-through transactions from sponsoring agencies $180,821,757. Less: non-program related rental expenses $3,164,925; cost of sales of inventories/other assets $241,325; and direct expenses related to fundraising events $1,251,620. 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 publishes its Equal Opportunity Policy and Non-discrimination Policy Statement in the following publications: * Equality Administration Web site * All UM web sites state our Non-discrimination policy under a link for "Privacy Statement and Legal Notices" * Students Rights and Responsibilities Handbook * Academic Bulletin * Student Handbook distributed at Orientation * Faculty Manual * Employee Handbook * Various public bulletin boards located throughout the various campuses, in contracts with other vendors, during University employee orientation, University Career Website, etc. Explanation of Government Financial Assistance Schedule E, Part I, Line 6 The University provides financial assistance in the form of grants to award scholarships and fellowships to students attending the University. In addition, government agencies award grants to the University for research. 1 East Asia and the Pacific 0 0 Program Services Grants to Recipients 47957 Europe 0 0 Program Services Grants to Recipients 316892 North America 0 0 Program Services Grants to Recipients 953419 South America 0 0 Program Services Grants to Recipients 494048 South Asia 0 0 Program Services Grants to Recipients 16369 Central America and the Caribbean 0 0 Program Services Grants to Recipients 996779 Sub-Saharan Africa 0 0 Program Services Grants to Recipients 482795 Middle East and North Africa 0 0 Program Services Grants to Recipients 133812 Antarctica 0 0 Program Services Travel - Institutional Research and Education 904 East Asia and the Pacific 0 0 Program Services Travel - Institutional Research and Education 394096 Europe 0 0 Program Services Travel - Institutional Research and Education 949958 North America 0 0 Program Services Travel - Institutional Research and Education 193875 South America 0 0 Program Services Travel - Institutional Research and Education 352018 South Asia 0 0 Program Services Travel - Institutional Research and Education 70624 Central America and the Caribbean 0 0 Program Services Travel - Institutional Research and Education 220107 Sub-Saharan Africa 0 0 Program Services Travel - Institutional Research and Education 70996 Middle East and North Africa 0 0 Program Services Travel - Institutional Research and Education 119650 Russia and the Newly Ind States 0 0 Program Services Travel - Institutional Research and Education 4012 Central America and the Caribbean 0 0 Investments N/A 90501206 Central America and the Caribbean 0 4 Program Services Independent Contractors-Public Service and Education 24638 East Asia and the Pacific 0 7 Program Services Independent Contractors-Institutional Research and Education 98574 Europe 0 23 Program Services Independent Contractors-Institutional Research and Education 530334 Middle East and North Africa 0 2 Program Services Independent Contractors-Institutional Research and Education 14375 North America 0 14 Program Services Independent Contractors-Institutional Research and Education 153903 Russia and the Newly Ind States 0 1 Program Services Independent Contractors-Institutional Research and Education 4600 South America 0 5 Program Services Independent Contractors-Institutional Research and Education 4389 South Asia 0 2 Program Services Independent Contractors-Institutional Research and Education 39138 Sub-Saharan Africa 0 2 Program Services Independent Contractors-Institutional Research and Education 6500 0 0 0 60 0 60 3442071 93753897 97195968 Central America & the Caribbean Research 173939 Wire Transfer N/A N/A Central America & the Caribbean Research 72795 Wire Transfer N/A N/A Central America & the Caribbean Research 18747 Wire Transfer N/A N/A Central America & the Caribbean Research 731298 Check N/A N/A East Asia & the Pacific Research 12940 Check N/A N/A East Asia & the Pacific Research 35018 Check N/A N/A Europe Research 52268 Wire Transfer N/A N/A Europe Research 35790 Wire Transfer N/A N/A Europe Research 12598 Check N/A N/A Europe Research 32400 Check N/A N/A Europe Research 107973 Check N/A N/A Europe Research 11200 Check N/A N/A Europe Research 64664 Check N/A N/A Middle East & North Africa Research 46232 Check N/A N/A Middle East & North Africa Research 73980 Wire Transfer N/A N/A Middle East & North Africa Research 3600 Check N/A N/A Middle East & North Africa General Support 10000 Wire Transfer N/A N/A North America Research 24743 Check N/A N/A North America Research 28260 Check N/A N/A North America Research 5400 Check N/A N/A North America Research 38340 Check N/A N/A North America Research 70824 Check N/A N/A North America Research 249946 Check N/A N/A North America Research 36720 Check N/A N/A North America Research 44280 Check N/A N/A North America Research 46010 Check N/A N/A North America Research 58501 Check N/A N/A North America Research 17281 Check N/A N/A North America Research 333113 Check N/A N/A South America Research 23450 Check N/A N/A South America Research 195480 Check N/A N/A South America Research 21750 Wire Transfer N/A N/A South America Research 195480 Wire Transfer N/A N/A South America Research 57888 Wire Transfer N/A N/A South Asia Research 16369 Check N/A N/A Sub-Saharan Africa Research 28012 Wire Transfer N/A N/A Sub-Saharan Africa Research 183575 Wire Transfer N/A N/A Sub-Saharan Africa Research 271207 Check N/A N/A 5 27 1 0 1 1 1 1 Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: Procedures for Monitoring Grants Outside the United States: The University awards grants as subcontracts to foreign organizations for the purpose of conducting research and research training. Prior to the University awarding the subcontract, the organization is required to submit the proposed scope of work and a budget. Once reviewed and approved, a formal subcontract is issued with the terms and conditions of the award. To comply with terms and conditions of the subcontract, the foreign organization must submit an invoice together with supporting documentation. Upon receipt of the invoice, the faculty member at the University responsible for the grant or his/her designee approves the invoice for payment. In addition, monitoring of the science is conducted by the University faculty member responsible for the grant via site visits, correspondence, phone calls, etc. Reports required under the terms and conditions of the subcontract are submitted by the grantee. Method Used to Acccount for Expenditures: Schedule F, Part I, Line 3: Activity Expenditures: Expenditures are recorded based on the accrual method of accounting and are recorded when incurred. Dinner Gala 761705 718962 42743 464 81693 91971 84492 Dinner Gala 395795 334055 61740 675 60726 15987 22193 13 1210635 869549 341086 1750 6062 50300 429078 143634 262595 2368135 1922566 445569 1750 7201 50300 571497 251592 369280 1251620 -806051 1 1 X 1 X 0 1 1 1 0 1 1 20327638 14726 20312912 0.00700 73748034 62977842 10770192 0.00370 94075672 62992568 31083104 0.01070 3686311 3686311 0.00130 15739666 3715846 12023820 0.00410 2158981 2158981 0.00070 183341464 938602 182402862 0.06290 231028 231028 0.00010 205157450 4654448 200503002 0.06910 299233122 67647016 231586106 0.07980 1514452 127644 1386808 0.00050 1514452 127644 1386808 0.00050 1 61665413 0 211207147 207901632 3305515 X 1 1 3 1 University of Miami Hospital

1400 NW 12 Avenue Miami FL 33136

X X X X 2 University of Miami Hospital & Clinics

1475 NW 12 Avenue Miami FL 33136

X X 3 Anne Bates Leach Eye Hospital

900 NW 17 Street Miami FL 33136

X X University of Miami Hospital 1 1 X X X X X X X X X 12 1 0 1 X X X X X X X 1 0 1 1 200.000000000000 0 1 X X X X X X X 1 1 X 1 1 X X X 1 X 0 0 University of Miami Hospital & Clinics 2 1 X X X X X X X X X 12 1 0 1 X X X X X X X 1 0 1 1 200.000000000000 1 400.000000000000 1 X X X 1 1 X 1 1 X X 0 X X 0 0 Anne Bates Leach Eye Hospital 3 1 X X X X X X X X X 12 1 0 1 X X X X X X X 1 0 1 1 200.000000000000 1 400.000000000000 1 X X X 1 1 X 1 1 X X 1 X 0 0 Part I, Line 3c: Although each of the organization's three hospitals determine eligibility for discounted care differently (as seen in Schedule H's Part V section B) we have answered the question in Part I line 3b using the organization's largest bed hospital's policy (UMH). At UMH an uninsured patient not qualifying for any federal assistance programs or charity write-off automatically is eligible for discounted emergency care. Part I, Line 7: The Medicare cost report was used. Part II: Community building activities include child abuse protection programs. Part III, Line 4: (1) A "ratio of cost to charges (RCC)" was used based on the Medicare/Medicaid cost report. (2) Total bad debt expense is determined using the hospital's patient accounting records. (3) Patients who render sufficient financial information to make a determination of eligibility under the hospitals' charity care policy are either treated as charity care (if they qualify) or given a "self- pay" discount (if they do not qualify as charity care). (4) The hospital's financial statements account for bad debt as a reduction of revenue. Part III, Line 8: The source of this information is the Medicare Cost Report data, which uses a "cost to charge" ratio methodology. The University of Miami Hospital and Anne Bates Leach Eye Hospital are reimbursed under the Medicare Prospective Payment System (PPS). For inpatient services, the reimbursement methodology is the Inpatient Prospective Payment System (IPPS), which uses the Diagnostic Related Groups (DRGS) methodology to reimburse the hospital. The DRG amounts are updated by the Medicare program annually by an updating factor. However, the amount of the updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. Thus, the hospital does not receive full reimbursement of its cost for inpatient services. For outpatient services, the reimbursement methodology is the Outpatient Prospective Payment System (OPPS), which uses ambulatory payment classifications (APCS) to reimburse the hospital. The APC amounts are updated by the Medicare program annually by an updating factor. However, the amount of the updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. Thus, the hospital does not receive full reimbursement for its cost for outpatient services. The University of Miami Hospital and Clinics is a cancer specialty hospital and, as such, is cost based reimbursement for both inpatient and outpatient services. For inpatient services, the limit is the TEFRA target limit. The hospital, on occasion, exceeds the target rate and does not receive full cost reimbursement. The TEFRA target amount is updated by the Medicare program annually by the TEFRA updating factor. However, the amount of the TEFRA updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. For outpatient services, the limit is the payment to cost ratio (PCR). The PCR was established using a base year, which was 1996, at a rate of 85.5% of cost. In calendar year 2012, the PCR was updated for all exempt cancer centers to 91%; therefore, the hospital currently does not receive payment for 9% of its cost. Part III, Line 9b: The Hospital provides care to patients who are financially unable to pay for the hospital services they receive, and because the Hospital does not pursue collection of amounts determined to qualify as charity care, they are not reported in revenue. University of Miami Hospital Part V, Section B, Line 3: The organization conducted focus groups to gather information about health concerns from particular interest groups in Miami-Dade County to add richness to the quantitative data collected. At University of Miami Hospital, three focus groups were conducted during December 4-6, 2012; two consultants from Carnahan Group facilitated each session at UMH. A total of 26 individuals participated in the focus groups, one of which consisted of Spanish-speaking adults, another of African American community members and one general group of adult community members. Community members consulted: Gepsie Metellus, Director, Sant La Haitian Neighborhood Center; Dr. Reynald Jean, Director, Tuberculosis Program, Miami-Dade County Health Department; Tori Gabriel, Director, Education and Prevention, Florida Heart Research Institute; Kathleen Ducasse, CEO, Florida Heart Research Institute; Pamela Toomer, Director, School Health Program, Miami-Dade County Health Department; Dr. Lillian Rivera, Administrator, Miami-Dade County Health Department; Betty Gomez-Galan, Specialist, American Diabetes Association; Angenys Gonzalez-Eilert, Executive Director, Colombian American Service Association; Helene Good, President and CEO, CCDH) formerly Community Committee for Developmental Handicaps); Dr. Erin Kobetz, Assistant Research Professor, Dept. of Epidemiology and Public Health, UM Miller School of Medicine, Director, SCCC Disparities and Community Outreach Core Resource, Director, Jay Weiss Center for Social Medicine and Health Equity; Dr. Noella Dietz, Research Assistant Professor, Dept. of Epidemiology and Public Health, UM Miller School of Medicine; Ann-Karen Weller, Director, Office of Community Health and Planning, Miami-Dade County Health Department; Dr. David Lubarsky, Chair, Dept. of Anesthesiology, Perioperative Medicine and Pain Management, University of Miami Hospital; Dr. Dan Brady, Executive Director, Douglas Gardens Community Mental Health Center of Miami Beach. University of Miami Hospital & Clinics Part V, Section B, Line 3: At University of Miami Hospital & Clinics, a focus group consisting of cancer patients, cancer survivors and caregivers was conducted on December 4, 2012 at Sylvester Comprehensive Cancer Center; the session was facilitated by two consultants from Carnahan Group. Community leaders consulted: Dr. Jerry Goodwin, Chief Medical Officer, SCCC; Dr. Teresa Neira, Social Worker, Courtelis Center, SCCC; Dr. Erin Kobetz, Assistant Research Professor, Dept. of Epidemiology and Public Health, UM Miller School of Medicine, Director, SCCC Disparities and Community Outreach Core Resource, Director, Jay Weiss Center for Social Medicine and Health Equity; Dr. Noella Dietz, Research Assistant Professor, Dept. of Epidemiology and Public Health, UM Miller School of Medicine; Dr. Ana Espinosa, Director of Outpatient Clinics, SCCC, Director, Ask for Ana Program, SCCC; Vivi Carreras, Nurse Navigator, SCCC; Dawn Albright, Nurse Navigator, SCCC; Dr. Jill MacKinnon, Project Director, Florida Cancer Data System; Richard Ballard, Chief Executive Officer, SCCC; Lazara Barreras-Pagan, Chief Operating and Nursing Officer, SCCC; Alyssia Crews, Director of Clinical Operations, SCCC; Antonieta Sauerteig, Associate Director of Administration, SCCC; Harry Rohrer, Chief Financial Officer, SCCC. Anne Bates Leach Eye Hospital Part V, Section B, Line 3: At Anne Bates Leach Eye Hospital, a focus group was conducted on December 6, 2012 at Bascom Palmer Eye Institute; the session was faciliated by two consultants from Carnahan Group. A total of 10 individuals participated in the focus group, which consisted of adult community members living with various eye conditions. Community leaders consulted: Betty Gomez-Galan, Specialist, American Diabetes Association; Charles Pappas, Chief Operations Officer, BPEI; Marla Bercuson, Director of Business Operations, BPEI. University of Miami Hospital Part V, Section B, Line 11: At UMH an uninsured patient not qualifying for any federal assistance programs or charity write-off automatically is eligible for discounted emergency care. Not applicable at UMHC and ABLEH. University of Miami Hospital Part V, Section B, Line 16e: At UMH the hospital's policy allows the following actions to be taken against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency, lawsuits, liens on residences. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. University of Miami Hospital & Clinics Part V, Section B, Line 16e: At UMHC hospital's policy allows the following actions to be taken against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. Anne Bates Leach Eye Hospital Part V, Section B, Line 16e: At Ableh the hospital's policy allows the following actions to be taken against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. University of Miami Hospital Part V, Section B, Line 17e: At UMH the hospital performed the following actions against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency, lawsuits, liens on residences. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. University of Miami Hospital & Clinics Part V, Section B, Line 17e: At UMHC the hospital performed the following actions against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. Anne Bates Leach Eye Hospital Part V, Section B, Line 17e: At Ableh the hospital performed the following actions against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. University of Miami Hospital Part V, Section B, Line 20d: Based upon 75% of the contracted managed care PPO payers for the hospital. University of Miami Hospital & Clinics Part V, Section B, Line 20d: Low income patients are charged based on FPG, and self-pay patients are entitled to a 30-40% discount for prompt payment. Anne Bates Leach Eye Hospital Part V, Section B, Line 20d: Low income patients are charged based on FPG, and self-pay patients are entitled to a 30-40% discount for prompt payment. University of Miami Hospital & Clinics Part V, Section B, Line 22: International patients pay full amounts if fees are not negotiated prior to admission. Patients who do not pay promptly are expected to pay full charges. Anne Bates Leach Eye Hospital Part V, Section B, Line 22: International patients pay full amounts if fees are not negotiated prior to admission. Patients who do not pay promptly are expected to pay full charges. Part VI, Line 2: The communities' healthcare needs are assessed by the organization in collaboration with the Miami-Dade County Public Health Trust (PHT). Part VI, Line 3: The organization informs and educates patients through public service announcements, advertising, and development activities. Further, patients are assisted with qualifying for Medicaid and other state programs. Part VI, Line 4: The community served by the organization is Miami-Dade County, Broward County and the Palm Beaches, which are large urban areas. Since these South Florida counties have a large immigrant population, many patients are uninsured, under-insured, or Medicaid recipients. The national economic crisis and the high level of unemployment have exacerbated this issue. Part VI, Line 5: (1) A majority of the Hospital's governing body is comprised of persons who reside in the Hospital's primary service area who are neither employees nor contractors of the Hospital, nor family members thereof. (2) The Hospital extends medical staff privileges to all qualified physicians in its community for some or all of its departments. (3) In order to improve patient care and access to the specialized healthcare services, the organization applies a significant portion of any surplus to new technology, new medical equipment, building renovations, and other betterments & improvements. 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501(c)(3) 14926 0 N/A N/A Research UNIVERSITY OF COLORADO DENVER 13123 E 16TH AVENUE BOX 055 AURORA CO 80045 846000555 State of CO 74075 0 N/A N/A Research UNIVERSITY OF DELAWARE 116 STUDENT SERVICES BLDG NEWARK DE 19716 516000297 501(c)(3) 338598 0 N/A N/A Research UNIVERSITY OF FLORIDA 123 GRINTER HALL BOX 113001 GAINESVILLE FL 32611 596002052 State of FL 2308568 0 N/A N/A Research UNIVERSITY OF HAWAII 2440 CAMPUS ROAD BOX 368 HONOLULU HI 96822 990085260 State of HI 288379 0 N/A N/A Research UNIVERSITY OF ILLINOIS PO BOX 20787 SPRINGFIELD IL 62708 376000511 State of IL 1259185 0 N/A N/A Research UNIVERSITY OF IOWA 200 HAWKINS DRIVE IOWA CITY IA 52242 426004813 State of IA 44356 0 N/A N/A Research UNIVERSITY OF KENTUCKY PO BOX 931113 CLEVELAND OH 44193 616033693 501(c)(3) 47539 N/A N/A Research UNIVERSITY OF MARYLAND PO BOX 41428 BALTIMORE MD 21203 526002033 State of MD 341140 0 N/A N/A Research UNIVERSITY OF MEDICINE & DENTISTRY PO BOX 2685 NEW BRUNSWICK NJ 08803 221775306 State of NJ 15626 0 N/A N/A Research UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL PO BOX 402420 ATLANTA GA 30384 566001393 State of NC 52654 0 N/A N/A Research UNIVERSITY OF OREGON PO BOX 3237 EUGENE OR 97403 481278531 State of OR 5713 0 N/A N/A Research UNIVERSITY OF PITTSBURGH PO BOX 371220 PITTSBURGH PA 15251 250965591 501(c)(3) 131968 0 N/A N/A Research UNIVERSITY OF SOUTH FLORIDA PO BOX 864568 ORLANDO FL 32886 593102112 State of FL 25226 0 N/A N/A Research UNIVERSITY OF SOUTHERN CALIFORNIA 3500 S FIGUEROA STREET ST 102 LOS ANGELES CA 90089 951642394 501(c)(3) 265418 0 N/A N/A Research UNIVERSITY OF TEXAS PO BOX 4390 HOUSTON TX 77210 746001118 State of TX 6964 0 N/A N/A Research UNIVERSITY OF TEXAS AT AUSTIN PO BOX 7159 AUSTIN TX 78713 746000203 State of TX 133346 0 N/A N/A Research UNIVERSITY OF UTAH 201 S PRESIDENTS CIRCLE RM 406 SALT LK CITY UT 84112 876000525 State of UT 10492 0 N/A N/A Research UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DRIVE CHICAGO IL 60693 916001537 State of WA 47149 0 N/A N/A Research UNIVERSITY OF WISCONSIN UW-MADISON OFF RESEARCH SPONSORED PROG DRAWER 538 MILWAUKEE WI 53278 391805963 501(c)(3) 71595 0 N/A N/A Research USF RESEARCH FOUNDATION INC PO BOX 864568 ORLANDO FL 32886 592959590 501(c)(3) 333319 0 N/A N/A Research VACCINE & GENE THERAPY INSTIT 9801 SW DISCOVERY WAY PORT ST LUCIE FL 34987 364631835 501(c)(3) 137037 0 N/A N/A Research VANDERBILT UNIVERSITY MEDICAL DEPT OF FINANCE DEPT AT 40303 ATLANTA GA 31192 620476822 501(c)(3) 1113926 0 N/A N/A Research VIRGINIA INSTITUTE OF MARINE SCIENCES PO BOX 1346 GLOUCESTER PT VA 23062 546001802 70708 0 N/A N/A Research WAKE FOREST UNIVERSITY HEALTH SERVICES MEDICAL CENTER BLVD WINSTONSALEM NC 27157 223849199 501(c)(3) 179143 0 N/A N/A Research WALSH COLLEGE 3838 LIVERNOIS ROAD PO BOX 7006 TROY MI 48007 381308480 501(c)(3) 125000 0 N/A N/A Research WASHINGTON UNIVERSITY 700 ROSEDALE AVE CAMPUS BOX 1034 SAINT LOUIS MO 63112 430653611 501(c)(3) 9671 0 N/A N/A Research WAYNE STATE UNIVERSITY 275 E HANCOCK RM 020 MOTT CENTER DETROIT MI 48201 386028429 State of MI 125000 0 N/A N/A Research WEILL CORNELL MEDICAL COLLEGE 575 LEXINGTON AVE 9 FLOOR NEW YORK NY 10022 131623978 501(c)(3) 65358 0 N/A N/A Research WEST VIRGINIA UNIVERSITY PO BOX 6002 MORGANTOWN WV 26506 550665758 501(c)(3) 10378 0 N/A N/A Research WINTHROP UNIVERSITY HOSPITAL 259 FIRST STREET MINEOLA NY 11501 111633486 501(c)(3) 22952 0 N/A N/A Research YALE UNIVERSITY 333 CEDAR STREET I-100 SHM TREAS OPER PO BOX 208087 NEW HAVEN CT 06520 060646973 501(c)(3) 6589 0 N/A N/A Research YMCA OF GREATER MIAMI 730 NW 107 AVE SUITE 200 MIAMI FL 33172 590624464 501(c)(3) 72120 0 N/A N/A Research GENETICS POLICY INSTITUTE 11924 FOREST HILL BLVD ST 22-290 WELLINGTON FL 33414 205509308 501(c)(3) 20000 0 N/A N/A General Support THE WASHINGTON ECONOMIC GROUP 2655 LE JEUNE ROAD SUITE 608 CORAL GABLES FL 33134 650376970 10000 0 N/A N/A General Support DUKE UNIVERSITY 200 WEST DUKE BLDG BOX 90743 DURHAM NC 27708 560532129 501(c)(3) 11500 0 N/A N/A General Support LATCRIT INC PO BOX 248243 CORAL GABLES FL 33124 593557150 501(c)(3) 40000 0 N/A N/A General Support THE ALS RECOVERY FUND ONE GROVE ISLE UNIT 1602 COCONUT GROVE FL 33133 650265802 501(c)(3) 10000 0 N/A N/A General Support LSU HEALTH SCIENCES CENTER FOUNDATION 450A SOUTH CLAIBORNE AVENUE NEW ORLEANS LA 70112 721115391 501(c)(3) 10000 0 N/A N/A General Support CITY OF CORAL GABLES 405 BILTMORE WAY CORAL GABLES FL 33134 596000293 M-Dade County 30000 0 N/A N/A General Support 159 21 Scholarships for tuition housing meals and books 13526 386139211 N/A N/A Grants and Other Assistance - Research 2 40097 N/A N/A Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: Procedure for Monitoring Grants: Grants to organizations and individuals awarded for the purpose of conducting research are monitored as follows: Subcontracts are issued with a defined scope of work and a budget and include other terms and conditions such as frequency of required reporting. The faculty member at the University of Miami responsible for the grant monitors the scientific progress via site visits, correspondence, reports, etc. Invoices submitted for payments by the outside organization or by an individual are approved by the University of Miami Faculty member responsible for the grant. Schedule I, Part III: Assistance to the University students in the form of scholarships are awarded for the purpose of aiding with the cost of attending the University (i.e., for tuition, housing and meals). Scholarships are based on need and academic achievement. Total scholarships, grants and loans cannot exceed the total cost of attendance. The University publishes criteria for the eligibility requirements needed to award a scholarship. The amount of aid awarded is based on a need analysis formula developed by the federal government and includes verification of the information submitted by the student. X X X X X X 1 1 X X X X 1 1 0 0 0 1 0 0 0 Donna E Shalala 840000 0 0 0 68520 0 27500 0 317169 0 1253189 0 0 0 Thomas J LeBlanc 646608 0 0 0 59010 0 27500 0 18747 0 751865 0 0 0 P Goldschmidt-Clermont 1109127 0 0 0 90778 0 27500 0 18135 0 1245540 0 0 0 Joseph T Natoli 637401 0 0 0 33599 0 25000 0 19150 0 715150 0 0 0 Sergio M Gonzalez 520750 0 0 0 50504 0 24033 0 27215 0 622502 0 0 0 John R Shipley 368692 0 0 0 10936 0 27142 0 14230 0 421000 0 0 0 Rodolfo Fernandez 198918 0 0 0 162 0 20548 0 12710 0 232338 0 0 0 Larry D Marbert 345832 0 0 0 774 0 25667 0 30234 0 402507 0 0 0 Jacqueline R Menendez 222608 0 0 0 6352 0 22362 0 50208 0 301530 0 0 0 Aileen M Ugalde 466180 0 0 0 33097 0 29614 0 11191 0 540082 0 0 0 Patricia A Whitely 281577 0 0 0 82469 0 35985 0 23866 0 423897 0 0 0 Nerissa Morris 326089 0 0 0 7664 0 25611 0 8389 0 367753 0 0 0 Jonathan Jack T Lord 684537 0 0 0 109795 0 20422 0 17405 0 832159 0 0 0 Theresa L Ashman 251649 0 0 0 11530 0 8531 0 14328 0 286038 0 0 0 Steven Cawley 396191 0 0 0 2180 0 23625 0 12709 0 434705 0 0 0 Mark Diaz 272558 0 0 0 66949 0 22485 0 62130 0 424122 0 0 0 David A Lubarsky 639400 0 200000 0 356154 0 27500 0 26062 0 1249116 0 0 0 Michele Chulick Ended 7712 194651 0 0 0 716197 0 0 0 271 0 911119 0 0 0 William W O'Neill 444717 0 0 0 140765 0 15235 0 10355 0 611072 0 0 0 Alan S Livingstone MD 763066 0 9562 0 61397 0 27500 0 16273 0 877798 0 0 0 Alfred J Golden 155466 0 115000 0 1935292 0 27583 0 17602 0 2250943 0 0 0 James J Larranaga 144408 0 0 0 1008948 0 10000 0 16991 0 1180347 0 0 0 Nestor de la Cruz-Munoz 591600 0 878525 0 122242 0 25000 0 23862 0 1641229 0 0 0 William Donelan Ended 53112 317851 0 0 0 1056196 0 0 0 389 0 1374436 0 0 0 Steven E Lipshultz 715632 0 0 0 876156 0 27500 0 49230 0 1668518 0 0 0 Diane M Cook 89103 0 0 0 12705 0 0 0 15727 0 117535 0 0 0 Part I, Line 1a Part I, Line 1a: First Class Travel: First class travel was provided to President, Donna E. Shalala and James J. Larranaga. The amounts were not included in taxable income. House and Household Assistance: A house and household assistance is provided to the President, Donna E. Shalala, at the convenience of the employer as a condition of employment. The amounts were not included in taxable income. Travel for Companions: Companion travel was provided for Sergio M. Gonzalez and James J. Larranaga. Amount was included in taxable income. Gross Up Payment: Gross up payment was provided to Alfred J. Golden, Steven E. Lipshultz, and Patricia A. Whitely. This amount was included in taxable income. Club Dues: Club dues were provided for Sergio M. Gonzalez, Thomas J. Leblanc, Joseph T. Natoli, Donna E. Shalala, James J. Larranaga and Alfred J. Golden. The amounts were included in taxable income. Social Club Dues: Social club dues were provided for Sergio M. Gonzalez and Donna E. Shalala. The amounts were not included in taxable income. Part I, Lines 4a-b Part I, Lines 4a-b: Severance Payments: Michele Chulick $554,585 and William J. Donelan $788,776. Supplemental Non-Qualified Retirement Plan: Steven E. Lipshultz participated in a split dollar benefit plan and made contributions of $30,417 on a pre-tax basis. Part I, Line 6 Bonus/Incentives: Based on School of Medicine (MSOM) performance metric. Target represents 100% payment expected under the bonus program if all goals are achieved and financial performance is on plan; additional bonus payments may be earned if MSOM operating income exceeds budget; no bonus is earned if budgeted operating income is not achieved. A Miami-Dade Co Educ Fac Authority 596000573 59333AFW6 2007-04-26 473302567 See Schedule K, Part VI 0 0 0 B Miami-Dade Co Educ Fac Authority 596000573 59333AJW2 2008-05-08 293597924 See Schedule K, Part VI 0 0 0 C Miami-Dade Co Educ Fac Authority 596000573 59333ALR0 2012-12-12 106138985 See Schedule K, Part VI 0 0 0 A 35440000 478963291 16255508 303488136 3097405 3351958 152770284 2009 1 1 1 1 B 294962040 5500732 2148447 287312862 2009 1 0 1 1 C 106138985 1362175 949210 25082030 60231356 18514214 2014 1 0 0 1 A 0 1 1 1 1 1 0.00250 0.00720 0.00970 0 0 1 B 0 1 1 1 1 1 0.01600 0.00000 0.01600 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 1 0 0 1 Bayerische Landesbank 2.100000000000 1 1 1 B 0 0 0 1 0 0 1 AEGONTransamerica Occidential Life 2.400000000000 1 1 C 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 Schedule K, Part I - Line A, Column F: Acquire, construct, equip and renovate University facilities and refunding of the following: Series 1993- Issue Date January 5, 1994; Series 1996A- Issue Date March 13, 1996; Series 1996B - Issue Date October 1, 1996; Series 1997A - Issue Date January 10, 1997; Series 1997B - Issue Date April 1, 1997; Series 2000A - Issue Date December 7, 1999; Series 2000B - Issue Date February 3, 2000; Series 2004A - Issue Date January 28, 2004. Schedule K, Part I - Line B, Column F: Acquire, construct, equip, and renovate University facilities and refunding of: Promissory Note - Executed November 28, 2008. Schedule K, Part I - Line C, Column F: Acquire, construct, equip, and renovate University facilities and refund working capital. Schedule K, Part II - Line 3, Column A: Variance of $5,660,724 when compared to Part I - Line A, Column (e) is due to interest earnings. Schedule K, Part II - Line 3, Column B: Variance of $1,364,116 when compared to Part I - Line B, Column (e) is due to interest earnings. Schedule K, Part IV - Line 6, Column B: Gross proceeds of the Series 2008 Bonds were not invested beyond the available temporary period. William O'Neil Key Employee Mortgage Assistance X 300000 300000 0 0 1 300000 197878 Disct Tuition Tuition Asst Susan Dandes See Part V 96421 See Part V 0 Brian LeBlanc See Part V 51577 See Part V 0 George Williamson See Part V 22000 See Part V 0 Lori Shipley See Part V 163500 See Part V 0 Jennifer McCafferty See Part V 263333 See Part V 0 Marlena Diaz See Part V 115285 See Part V 0 Sonia Mora See Part V 101346 See Part V 0 Jeanette Gonzalez-Calles See Part V 17462 See Part V 0 Eric Winter See Part V 53464 See Part V 0 Gino DiMare See Part V 115042 See Part V 0 Schedule L, Part II - Line 1 Loans to Interested Persons: The loan made to a key employee listed in schedule L for mortgage assistance was reflected as not approved by the board or a committee. However, the loan assistance program for faculty members relocating from other states was approved by the Board of Trustees, including eligibility criteria and loan terms and conditions. Schedule L, Part IV - Lines 1, 3, 8-10 Col B Relationship between interested person and the organization: Family member of trustee. Schedule L, Part IV - Lines 2, 4-7, Col B Relationship between interested person and the organization: Family member of officer. Schedule L, Part IV - Lines 1-10, Col D Description of Transaction: Family member employment. X 3931 2585072 Fair Market Value X 140 2502319 Fair Market Value X Equipment 142 3093393 Fair Market Value X Auction Items 281 0 See Part II 9 0 1 1 Method for Determining Number of Contributors: Part I, Column (b): Schedule M, Part I, Column (b): Number of Contributions: The number reported in column b represents the number of items received except for items donated for sale at fundraising event auctions and securities which are noted based on the number of contributions. Third Party Use: Part I, Line 32b: Schedule M, Line 32b: Third Party or Related Organizations Utilized: The University utilizes external brokers to sell securities when the donated securities are not deemed to fit into the University's investment portfolio. Non Reporting of Revenue: Part I, Line 33: Schedule M, Line 33: Items Included On Schedule M Not In Revenue: a. Part I, Line 17 - Real Estate Property: The University of Miami's policy is to record the value of donated real estate for accounting purposes at $1 if the University is not able to use the asset in its exempt mission. At such time as the real estate is sold, the proceeds of the sale are recorded as contribution revenue. b. Part I, Line 26 - Auction items: Columns B and C include items donated for sale at fundraising event auctions (such as gift certificates, etc.) which are subsequently sold at fundraising event auctions but which are not included on form 990, Part VIII, Line 1(g). Form 990, Part VI, Section A, line 2 Family and Business Relationships: Stuart Miller - Trustee, and Steven Saiontz - Trustee - Family Relationship; Stuart Miller - Trustee, and Steven Saiontz - Trustee - Business Relationship; George Feldenkreis - Trustee, Joseph Natoli - Officer - Business Relationship; Roger Medel - Trustee, Carlos Saladrigas - Trustee, Phillip Frost - Trustee - Business Relationship; Roger Medel - Trustee, Manuel Kadre - Trustee, Donna Shalala - Officer, Pascal Goldschmidt - Officer - Business Relationship; Charles Cobb-Trustee, Jorge Perez - Trustee - Business Relationship; Phillip T. Frost - Trustee, Phillip T. George - Trustee - Business Relationship; Marc Buoniconti - Trustee, Nicolas Buoniconti - Trustee, Paul DiMare - Trustee, Donna Shalala - Officer, Pascal Goldschmidt - Officer, Sergio Gonzalez - Officer - Business Relationship; Marc Buoniconti - Trustee, Nicolas Buoniconti - Trustee - Family Relationship Form 990, Part VI, Section B, line 11 Board Review of Form 990: Process by which the governing body was provided a copy of form 990 prior to filing: Form 990 is prepared by the University's Office of the Controller and reviewed by KPMG, LLP. Due to schedule constraints of committee chairs and members, the meeting dates for the Audit and Compliance Committee fluctuate from year to year. The University provides Form 990 to the Committee prior to filing. If the Committee's meeting dates do not coincide with the availability of the return, it is provided to the Committee electronically with time provided for questions and comments. Subsequent to the Committee's review a copy of the final return is shared with all voting members of the Board prior to filing. Form 990, Part VI, Section B, line 12c Monitoring and Compliance with Conflict of Interest Policy: The Office of the Secretary of the Board of Trustees sends an annual conflict of interest questionnaire together with the policy adopted by the Board to all trustees, officers and key employees. Once replies are received, they are reviewed by the Chair of The Conflict of Interest Review Sub-Committee. When there are apparent conflicts, the Sub-Committee Chair ensures the conflict is managed. Trustees who may have conflict, recuse themselves from deliberations and voting. Form 990, Part VI, Section B, line 15 Process for Review of Compensation of Officers and Key Employees: The following process is performed annually, typically at the April/May meeting of the Trustee Services Committee of the Board to approve compensation for all officers and key employees of the University, including the President: each officer's supervisor completes a written performance review and proposes a salary increase, prior to the meeting. The University participates in an annual comprehensive compensation survey compiled by an actuarial firm. The actuarial firm produces a survey of universities across the United States and, separately, data from for-profit corporations for positions that have a for-profit equivalent. The Trustee Services Committee receives the performance appraisals for each officer and key employee, the completed survey prepared by the actuary, and the current and proposed salaries and other cash compensation for each officer and key employee, including the President. After review and discussion, the Trustee Services Committee approves the compensation for the officers and key employees, including the President, who is excused while deliberation about his/her compensation is discussed. Once the compensation is approved, it is provided to the payroll office as a record of the committee's approval. Minutes of the meeting of the Trustee Services Committee are recorded and written by the Office of the Secretary. Form 990, Part VI, Section C, line 19 Form 990, Part VI, Section C, Line 19: Governing Documents, Conflict of Interest Policy and Financial Statements Made Available to the General Public: The State of Florida, Department of State, Division of Corporations requires an annual registration filing, including any changes to organizational documents. Once filed, the documents can be viewed on the State of Florida web site. Financial statements of the university are made available on the University's website. The University's financial statements are also made available to the general public on the federal government's census bureau website. The Board's Conflict of Interest Policy is not made available to the public. Form 990, Part VII, Section A, Officers, Directors, Trustees: Rudolph "Rudy" Green began employment with the University in 01/2013. Therefore, he is disclosed as a current officer but has no reportable compensation for the 2012 calendar year. Form 990, Part VII, Section A, Officers, Directors, Trustees: Edward A. Dauer is a Trustee and also serves as Research Associate Professor in the College of Engineering. Average hours per week estimate of 40 hours is based on a full time teaching load. Form 990, Part IX, Line 6, Compensation to disqualified persons: Amounts presented on this line represent compensation for former officers. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 9: Pension related changes other than Net Periodic Benefit Cost 85,731,087. Refunds of Program Service Revenue - Hospitals & Clinics -7,824,000. Refunds of Contributions -91,750. Biscayne View Properties LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 590624458 Real Estate FL 0 0 University of Miami Crestre LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 34820 743310 Biscayne View Properties LLC 1509 Venture LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 0 1804945 Biscayne View Properties LLC East Urban LLC 200 E Las Olas Boulevard Suite 2100 Fort Lauderdale FL 33301 202458426 Real Estate FL 33533 1071817 Biscayne View Properties LLC Tripop LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 0 4323880 Biscayne View Properties LLC 7th Avenue Market LLC 1535 Levante Avenue Suite 200 Coral Gables FL 33146 202458426 Real Estate FL 0 3031027 Biscayne View Properties LLC Equi Terra LLC 200 E Las Olas Boulevard Suite 2100 Fort Lauderdale FL 33301 590624458 Real Estate FL 0 0 University of Miami Ten Bor LLC 200 E Las Olas Boulevard Suite 2100 Fort Lauderdale FL 33301 273025289 Real Estate FL 0 0 Equi Terra LLC PT Property Holding LLC 200 E Las Olas Boulevard Suite 2100 Fort Lauderdale FL 33301 273025289 Real Estate FL 0 0 Equi Terra LLC ND 480 LLC 1535 Levante Avenue Suite 200 Coral Gables FL 33146 590624458 Real Estate ND 0 0 University of Miami ND 480 OGM LLC 1535 Levante Avenue Suite 200 Coral Gables FL 33146 590624458 Real Estate ND 67018 0 University of Miami University of Miami Preservation LLC 1252 Memorial Drive Room 230 Coral Gables FL 33146 590624458 Hold UM Designated Easement FL 0 0 University of Miami WVUM Inc PO Box 248191 Coral Gables FL 33124 591729614 Edu Radio FL 501(C)(3) Line 7 N/A 1 Miami Asset Management Company Inc 1320 S Dixie Highway Suite 150 Coral Gables FL 33146 113642657 Real Estate FL 501(C)(3) Line 11c, III-FI N/A 1 University Rathskeller Inc 1330 Miller Drive Coral Gables FL 33146 591410632 Studend Food & Beverage FL 501(C)(3) Line 5 N/A 1 Friends of the School of Music 12394 SW 82 Avenue Miami FL 33156 650201227 Fundraising FL 501(C)(3) Line 9 N/A 0 Ophthalmology Research Foundation Inc PO Box 015869 Miami FL 33101 237081974 Fundraising FL 501(C)(3) Line 11c, III-FI N/A 0 UMiami-Gumenick 5 CRAT-Imaco BNY Mellon NA PO BOX 185 Pittsburgh PA 152300185 207434523 Charitable Trust FL N/A T 0.70730 0 Hans Wedemeyer CRAT #2 co BNY Mellon NA PO BOX 185 Pittsburgh PA 152300185 650161141 Charitable Trust FL N/A T 0.66610 0 George A Lerner CRUT co BNY Mellon NA PO BOX 185 Pittsburgh PA 152300185 650697479 Charitable Trust FL N/A T 0.72530 0 Muriel Auerbach 2005 CRUT co BNY Mellon NA PO BOX 185 Pittsburgh PA 152300185 206460061 Charitable Trust FL N/A T 0.76690 0 Thomas A Curtis CRUT #2 co BNY Mellon NA PO BOX 185 Pittsburgh PA 152300185 656279899 Charitable Trust FL N/A T 0.76200 0 Thomas A Curtis CRUT #1 co BNY Mellon NA PO BOX 185 Pittsburgh PA 152300185 256229990 Charitable Trust FL N/A T 0.70910 0 Thomas A Curtis CRUT #5 co BNY Mellon NA PO BOX 185 Pittsburgh PA 152300185 256761823 Charitable Trust FL N/A T 0.71110 0 William & Flora Payne CRUT co BNY Mellon NA PO BOX 185 Pittsburgh PA 152300185 256761825 Charitable Trust FL N/A T 0.82290 0 Ena Scott Char Rem Nim CRUT co BNY Mellon NA PO BOX 185 Pittsburgh PA 152300185 656279896 Charitable Trust FL N/A T 0.70440 0 TUW W Roy Young co US Trust Bank Of America NA 1201 Main Street 8th Floor Dallas TX 75202 756487890 Charitable Trust FL N/A T 0.94340 0 Edgar Hall Educ Fund co Wells Fargo Bank NA 1 W 4TH ST 2nd Floor WinstonSalem NC 27101 Charitable Trust FL N/A T 1.00000 0 Muriel Gammage Trust co Wells Fargo Wealth Management One West 4th St 2nd Floor WinstonSalem NC 27101 596214920 Charitable Trust FL N/A T 0.99000 0 Michelle Bowman #2 co Northern Trust Bank 700 Brickell Avenue Miami FL 33131 366784342 Charitable Trust FL N/A T 0.52680 0 Brady (Dr) Hartman co Charles Schwab 211 Main Street San Francisco CA 94105 941737782 Charitable Trust FL N/A T 0.94340 0 University of Miami Insurance Co Ltd Clarendon House 2 Church St HM 11 BD Insurance BD UM C 10 160770 1.00000 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 WVUM Inc R 87799 See Part VII Miami Asset Management Company Inc D 830737 See Part VII Miami Asset Management Company Inc B 5448919 See Part VII Method of Quantification: Form 990 - Schedule, R, Part V, Line 2 Method used to determine the transaction amounts with controlled organizations is based on cash provided to, or received from each controlled organization.