2013-05-08T18:18:23-05:00 2012-06-30 KPMG LLP 3975 Freedom Circle Dr Suite 100 Santa Clara CA 95054 990 2011-07-01 946090626 UNIVERSITY OF CALIFORNIA BERKELEY FOUNDATION % LORAINE BINION TREASURER UNIV 5106421212 2080 ADDISON STREET BERKELEY CA 947204200 Loraine Binion 2013-05-03 true 4083675764 2011 2016-02-25 16:41:14Z SCOTT BIDDY 2080 ADDISON ST SUITE 4200 BERKELEY CA 947204200 398914642 false X HTTP://FOUNDATION.BERKELEY.EDU X 1948 CA TO ADVANCE THE INTEREST AND PROMOTE THE WELFARE OF THE UNIVERSITY OF CALIFORNIA, BERKELEY, TO DEVELOP AND INCREASE THE FACILITIES OF THE UNIVERSITY AND TO PROVIDE BROADER EDUCATIONAL OPPORTUNITIES. 120 119 0 177 -122452 -122452 221317384 186661557 0 0 86579344 39110761 863165 247028 308759893 226019346 99163720 110602122 0 0 0 0 0 0 0 3322256 4259972 102485976 114862094 206273917 111157252 1374206537 1428789714 84742302 84705329 1289464235 1344084385 X SEE SCHEDULE O false false 112298720 110602122 GRANTS AND ALLOCATIONS TO UNIVERSITY OF CALIFORNIA, 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LAU 1.0 X X 0 0 0 WILLIAM F AUSFAHL 1.0 X 0 0 0 COLLEEN C MCANDREWS 1.0 X 0 0 0 WILLIAM K BOWES JR 0.02 X 0 0 0 JEFFREY C F CHAN 0.02 X 0 0 0 LI-CHIANG CHU 0.02 X 0 0 0 NATHANIEL E DAVID 0.02 X 0 0 0 THOMAS R HORNADAY 0.02 X 0 0 0 PROVERB G JACOBS JR 0.02 X 0 0 0 DAVID E KEPLER II 0.02 X 0 0 0 THOMAS K MCKISSICK 0.02 X 0 0 0 CAROL M MEYER 0.02 X 0 0 0 MARK J ROBINSON 0.02 X 0 0 0 ANDREW RUDD 0.02 X 0 0 0 SHIRLEY A SANDERSON 0.02 X 0 0 0 STEVEN M SHAFRAN 0.02 X 0 0 0 CHRISTOPHER G SILBERMANN 0.02 X 0 0 0 MYRON G SUGARMAN 0.02 X 0 0 0 CHARLES N TRAVERS 0.02 X 0 0 0 JAMES DA VAN HOFTEN 0.02 X 0 0 0 RAMSAY WIESENFELD 0.02 X 0 0 0 SHERYL L WONG 0.02 X 0 0 0 MIDGE ZISCHKE 0.02 X 0 0 0 EDWARD D BAKER III 0.02 X 0 0 0 LAURA BURTON CAPPS 0.02 X 0 0 0 RICHARD Y CHEN 0.02 X 0 0 0 DAVID CORVO 0.02 X 0 0 0 FRITHJOF J DALE 0.02 X 0 0 0 DAVID L DESJARDINS 0.02 X 0 0 0 MARC J DESOER 0.02 X 0 0 0 H GIFFORD FONG 0.02 X 0 0 0 CATHERINE HUTTO GORDON 0.02 X 0 0 0 KATHRYN W HALL 0.02 X 0 0 0 KEVIN M JOHNSON 0.02 X 0 0 0 NICOLE E LEDERER 0.02 X 0 0 0 DORIS S LEE 0.02 X 0 0 0 LESTER JOHN LLOYD 0.02 X 0 0 0 JEFFREY A MCDERMOTT 0.02 X 0 0 0 JUDITH C MOORAD 0.02 X 0 0 0 MAUREEN A ORTH 0.02 X 0 0 0 RICHARD K PALMER 0.02 X 0 0 0 PAMELA H ROSENBERG 0.02 X 0 0 0 TAHIR 0.02 X 0 0 0 RONALD K TANEMURA 0.02 X 0 0 0 DAVID B WALROD 0.02 X 0 0 0 MICHAEL C WOOD 0.02 X 0 0 0 LAURA W YOUNG 0.02 X 0 0 0 MARK A BERTELSEN 0.02 X 0 0 0 SUSAN C CHAMBERLIN 0.02 X 0 0 0 KAREN WEBER DABBY 0.02 X 0 0 0 MICHAEL M GARLAND 0.02 X 0 0 0 JONATHAN M GLASER 0.02 X 0 0 0 ANDREW GOLDFARB 0.02 X 0 0 0 DOUGLAS E GOLDMAN 0.02 X 0 0 0 JEFFREY A JACOBS 0.02 X 0 0 0 FREADA KAPOR KLEIN 0.02 X 0 0 0 KATHY A KWAN 0.02 X 0 0 0 LIZ G LUTZ 0.02 X 0 0 0 ALAN C MENDELSON 0.02 X 0 0 0 EDWARD E PENHOET 0.02 X 0 0 0 RUMMI A SARIN 0.02 X 0 0 0 MICHELLE J SCHWARTZ 0.02 X 0 0 0 DIANA S STRANDBERG 0.02 X 0 0 0 RICHARD H BEAHRS 0.02 X 0 0 0 D CLAYTON BENTLEY II 0.02 X 0 0 0 JAMES S FETHERSTON 0.02 X 0 0 0 DAVID A FRIEDMAN 0.02 X 0 0 0 CLIFFORD H HIGGERSON 0.02 X 0 0 0 STACY BRACKEN JACOBS 0.02 X 0 0 0 JOHN S LEWIS 0.02 X 0 0 0 RICHARD V SANDLER 0.02 X 0 0 0 THOMAS C SCHNEIDER 0.02 X 0 0 0 JAMES C SHA 0.02 X 0 0 0 ALFREDO TERRAZAS JR 1.0 X 0 0 0 JUDY C WEBB 1.0 X 0 0 0 KHALID AYZ ALIREZA 0.02 X 0 0 0 LISTER TS CHANG 0.02 X 0 0 0 KATHLEEN G CORREIA 0.02 X 0 0 0 RICK HOLMSTROM 0.02 X 0 0 0 JOHN F HOTCHKIS 0.02 X 0 0 0 NANCY S OLSON 0.02 X 0 0 0 ANDREA ROTH 0.02 X 0 0 0 CARL J STONEY JR 0.02 X 0 0 0 CHERYL ANN VALENTINE 0.02 X 0 0 0 MARIA C BANATAO 0.02 X 0 0 0 ROBERT B BEIM 0.02 X 0 0 0 PAMELA P FONG 0.02 X 0 0 0 S ALLAN JOHNSON 0.02 X 0 0 0 ROBERT J LALANNE 2.0 X 0 0 0 GEORGIA LEE 1.0 X 0 0 0 CHARLENE CONRAD LIEBAU 0.02 X 0 0 0 STEPHEN M SILBERSTEIN 0.02 X 0 0 0 MICHAEL TORRES 1.0 X 0 0 0 LEA KOWALSKI ZAFFARONI 0.02 X 0 0 0 MARK BIESTMAN 0.02 X 0 0 0 KAREN L CLANCY 0.02 X 0 0 0 HOWARD FRIESEN 0.02 X 0 0 0 BRADFORD R HOWARD 0.02 X 0 0 0 WANDA KOWNACKI 0.02 X 0 0 0 JAMES MCMANIS 0.02 X 0 0 0 THOMAS D MEAD 0.02 X 0 0 0 JOON S MOON 0.02 X 0 0 0 JAY L PAXTON 0.02 X 0 0 0 ANN BAXTER PERRIN 0.02 X 0 0 0 J LEIGHTON READ MD 0.02 X 0 0 0 JOHN E SCHARFFENBERGER 0.02 X 0 0 0 JUDY L WADE 0.02 X 0 0 0 THEO S ZANINOVICH 0.02 X 0 0 0 F SCOTT BIDDY 40.0 X 0 472464 31203 IRENE KIM 40.0 X 0 179173 32401 DAVID BLINDER 40.0 X 0 273361 29609 KEVIN T CRILLY 40.0 X 0 155904 19969 MIHI AHN 40.0 X 0 91415 15492 SYLVIE L MEHNER 40.0 X 0 58564 11759 LORAINE BINION 40.0 X 0 139609 21208 LINA WANG 40.0 X 0 99119 26622 SYLVIA A WORTHINGTON 40.0 X 0 70519 12445 0 1957743 235708 0 false true false VASTARDIS CAPITAL SERVICES 41 MADISON AVENUE 30TH FLR NEW YORK NY 10010 INVST PRFM RPT SERV 154481 THE BANK OF NEW YORKMELLON P O BOX 11293 NEW YORK NY 102770411 CUSTODIAN 143186 DSM CAPITAL PARTNERS LLC 320 EAST MAIN STREET MOUNT KISCO NY 10549 INVST MGT FEES 137484 KPMG DEPT 0922 PO BOX 120001 DALLAS TX 753120922 AUDITING & TAX 109400 4 3269861 183391696 186661557 0 9251446 -308649 9560095 0 247028 247028 202754611 172895296 29859315 29859315 186197 29673118 0 0 0 0 226019346 -122452 39480241 110602122 110602122 0 0 0 0 0 0 0 0 0 0 29907 29907 109873 109873 0 0 2295379 2295379 525022 525022 0 3461 3461 0 0 0 2360 2360 0 112265 112265 0 0 0 10129 10129 GIFT FEES TO UC BERKELEY 1171576 1171576 0 0 114862094 112298720 2563374 0 0 0 2968792 2482571 95410672 126553664 0 0 0 0 0 0 422054 267134 0 0 1957509 1780906 0 875063582 875605193 389429071 414274458 0 0 0 0 8954857 7825788 1374206537 1428789714 809264 358956 0 0 0 25000 0 0 57716328 54706966 0 0 0 0 0 0 26216710 29614407 84742302 84705329 X 1055214 29168 644372722 633439217 644036299 710616000 1289464235 1344084385 1374206537 1428789714 X 111157252 -56537102 X false true true X false X 141729000 111033067 112721438 221317384 186661557 773462446 141729000 111033067 112721438 221317384 186661557 773462446 50545441 722917005 10428000 7148894 5700471 10030249 9807123 43114737 0 0 0 218000 0 0 0 0 218000 816795183 0.88506 0.89635 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false true 1157962637 104917390 -13110955 47609216 0 1306624 1200853232 891717205 162138015 154228262 48965615 0 1155230 1157962637 779720000 77077390 82304877 46107738 0 1277324 891717205 916102000 86591000 -177001000 44268000 0 1704000 779720000 0.33000 0.66000 0.01000 true false EXTERNAL IRREVOCABLE TRUSTS 2474846 F PRIVATE EQUITY/VENTURE CAPITAL 173238272 F REAL ESTATE 0 F ABSOLUTE RETURN 238561340 F 414274458 0 PV OF ANNUITIES PAYABLE 21635970 FUND HELD FOR OTHERS 7978437 29614407 226019346 114862094 111157252 -33304216 -23232886 -56537102 54620150 169482244 -33304216 -5222877 -38527093 208009337 18010009 18010009 226019346 114862094 114862094 114862094 DISCLOSURE FOR ESCROW OR CUSTODIAL BOND LIABILITIES SCHEDULE D, PART IV, LINE 2 ALL TRUSTS ARE MANAGED BY OUR TRUST ADMINISTRATOR, KASPICK & CO AND THE TRUST FUNDS CUSTODIAN IS CHARLES SCHWAB & CO. INTENDED USES OF THE ORGANIZATION'S ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE INTENDED USE OF THE ENDOWMENT FUNDS IS TO PROVIDE FUNDING FOR SCHOLARSHIPS, STUDENT ASSISTANCE PROGRAMS AND ACADEMIC RESEARCH FOR THE STUDENTS, EMPLOYEES AND FACULTY OF THE UNIVERSITY OF CALIFORNIA BERKELEY. OTHER ADJUSTMENTS Schedule D, PART XI, LINE 8 Adjustment to gift annuity & trust liability (5,222,877) Adjustment for K-1 Partnership income (18,010,009) --------------- Total Adjustments (23,232,886) REVENUES ON BOOKS NOT ON RETURN Schedule d, PART XII, LINE 2D Adjustment to gift annuity & trust liability (5,222,877) REVENUES ON RETURN NOT ON BOOKS Schedule D, PART XII, LINE 4B K-1 PARTNERSHIP INCOME 18,010,009 true University of California Berkeley 2080 ADDISION STREET BERKELEY CA 94720 946002123 UC Berkeley 110602122 0 n/a none SUPPORT EDUCATION 1 GRANTS - SUPPLEMENTAL INFORMATION SCHEDULE I, PART I CRITERIA FOR SELECTION OF RECIPIENTS ARE BASED ON BOUNDARIES SET BY THE ESTABLISHMENT OF THE SCHOLARSHIP. THE FOUNDATION TRANSFERS MONIES TO THE UNIVERSITY OF CALIFORNIA AT BERKELEY, WHICH ASSUMES RESPONSIBILITY FOR ACTUAL DISBURSEMENT. false false false false false false false false false ROBERT J BIRGENEAU 0 417615 0 0 0 0 0 10000 0 25000 0 452615 0 0 F SCOTT BIDDY 0 328437 0 144027 0 0 0 7401 0 23802 0 503667 0 0 IRENE KIM 0 179173 0 0 0 0 0 4732 0 27669 0 211574 0 0 DAVID BLINDER 0 273361 0 0 0 0 0 7663 0 21946 0 302970 0 0 KEVIN T CRILLY 0 155904 0 0 0 0 0 4048 0 15921 0 175873 0 0 LORAINE BINION 0 139609 0 0 0 0 0 3508 0 17700 0 160817 0 0 FORM 990, SCHEDULE J THE FOUNDATION DOES NOT HAVE ANY EMPLOYEES. NONE OF THE LISTED INDIVIDUALS RECEIVED ANY COMPENSATION FROM THE FILING ORGANIZATION. DURING FISCAL YEAR 2011, EACH WAS AN EMPLOYEE OF THE UNIVERSITY OF CALIFORNIA, BERKELEY, A RELATED ORGANIZATION. Schedule J, Part I, Item 3 THE FOUNDATION RELIED ON THE UNIVERSITY OF CALIFORNIA, BERKELEY, THAT USED ONE OR MORE OF THE METHODS DESCRIBED IN SCHEDULE J, PART I, LINE 3, TO ESTABLISH THE FOUNDATION'S TOP MANAGEMENT OFFICIAL'S COMPENSATION. X 447 12779000 Avg market value X 2 411000 Appraisal 3 false true true SCHEDULE M, column(B) column(B) IS BASED ON NUMBER OF ITEMS CONTRIBUTED. SCHEDULE M, LINE 32 THE FOUNDATION MAINTAINS NUMEROUS BROKERAGE ACCOUNTS TO FACILITATE THE SALE OF PUBLICLY TRADED STOCK. THE FOUNDATION CONTRACTS WITH LOCAL REAL ESTATE AGENTS TO ASSIST IN THE SALE OF REAL PROPERTY WHEN GIFTED. THE FOUNDATION ALSO UTILIZES THE SERVICES OF THE UNIVERSITY OF CALIFORNIA, BERKELEY TO ASSIST WITH THE SOLICITATION AND PROCESSING OF NON-CASH GIFTS. ORGANIZATION'S MISSION FORM 990, PART III, LINE 1 THE UNIVERSITY OF CALIFORNIA BERKELEY FOUNDATION'S MISSION IS TO ADVANCE THE INTEREST AND PROMOTE THE WELFARE OF THE UNIVERSITY OF CALIFORNIA, BERKELEY (THE "UNIVERSITY"), TO DEVELOP AND INCREASE THE FACILITIES OF THE UNIVERSITY AND TO PROVIDE BROADER EDUCATIONAL OPPORTUNITIES BY ENCOURAGING CHARITABLE GIFTS AND DONATIONS TO THE UNIVERSITY, TO PROVIDE FUNDING FOR SCHOLARSHIPS, STUDENT ASSISTANCE PROGRAMS AND ACADEMIC RESEARCH FOR THE STUDENTS, EMPLOYEES AND FACULTY OF THE UNIVERSITY. FAMILY AND BUSINESS RELATIONSHIPS FORM 990, PART VI, LINE 2 JEFF JACOBS AND STACY JACOBS HAVE A FAMILY RELATIONSHIP. PROCESS USED BY THE ORGANIZATION TO REVIEW 990 FORM 990, PART VI, LINE 11A INFORMATION TO PREPARE THE FORM 990 was GATHERED BY FOUNDATION PERSONNEL. THE RETURN was PREPARED WITH THE ASSISTANCE OF KPMG, LLP. THE FORM 990 was REVIEWED BY THE ORGANIZATION'S AUDIT COMMITTEE, WHICH HAS AUTHORITY AND OVERSIGHT OF THE ORGANIZATION'S AUDIT AND TAX PREPARATION. KPMG, LLP SIGNed THE RETURN AS PAID PREPARER. A complete COPY was PROVIDED TO THE FULL BOARD AFTER THE AUDIT COMMITTEE REVIEWed THE FORM 990 and PRIOR TO FILING WITH THE IRS. CONFLICT OF INTEREST POLICY FORM 990, PART VI, LINE 12C ON AN ANNUAL BASIS, THE FOUNDATION DISTRIBUTES CONFLICT OF INTEREST QUESTIONNAIRES WHICH THE BOARD MEMBERS, OFFICERS, AND KEY EMPLOYEES COMPLETE AND RETURN. THE TREASURER OF THE FOUNDATION REVIEWS THE RETURNED FORMS FOR COMPLIANCE. IF A CONFLICT IS DISCOVERED IT IS ESCALATED TO THE APPROPRIATE PARTY WITHIN THE ORGANIZATION and the person recuses himself or herself from the governing body's delilberations and decisions in the transaction. PROCESS OF determining COMPENSATION FORM 990, PART VI, LINE 15 THE FOUNDATION DOES NOT HAVE ANY EMPLOYEES. NONE OF THE LISTED INDIVIDUALS RECEIVED ANY COMPENSATION FROM THE FILING ORGANIZATION. DURING FISCAL YEAR 2010, EACH WAS AN EMPLOYEE OF THE UNIVERSITY OF CALIFORNIA BERKELEY, A RELATED ORGANIZATION. AVAILABILITY OF GOVERNING DOCUMENTS AND POLICIES FORM 990, PART VI, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. RECONCILIATION OF NET ASSETS FORM 990, PART XI, LINE 5 NET UNREALIZED GAINS AND LOSSES 33,304,216 ADJUSTMENT TO GIFT ANNUITY & TRUST LIABILITY 5,222,877 K-1 PARTNERSHIP INCOME 18,010,009 -------------- TOTAL 56,537,102 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:ROBERT J. BIRGENEAU TITLE:CHANCELLOR HOURS:39 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:KATHERINE LAU TITLE:IMMEDIATE PAST UCBF CHAIR HOURS:1 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:WILLIAM F. AUSFAHL TITLE:TRUSTEE HOURS:1 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:IRENE KIM TITLE:EXECUTIVE VICE PRESIDENT HOURS:2 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:LORAINE BINION TITLE:TREASURER HOURS:10 UNIVERSITY OF CALIFORNIA BERKELEY 2080 ADDISION STREET BERKELEY CA 94720 EDUCATION CA 6 NA false BERKELEY ENDOWMENT MANAGEMENT COMPANY 2080 ADDISION STREET BERKELEY CA 94720 270652636 INVESTMENT CA 501(c)(3) 11a ucbf true Charitable Remainder Trust (165) TRUST CA UCBF Trust Charitable Remainder Annunity Trust (9) Trust CA UCBF Trust Pooled Income Fund (2) Trust CA UCBF Trust false true true false false false false false false false false true false false false false false true BERKELEY ENDOWMENT MANAGEMENT COMPANY L 2295379 per agreement CHARITABLE REMAINDER TRUST (8) R 1936806 book value TRANSACTIONS WITH RELATED ORGANIZATIONS SCHEDULE R, PART V, LINE 2, COLUMN (C) THE METHOD USED BY THE UNIVERSITY OF CALIFORNIA BERKELEY FOUNDATION TO DETERMINE THE VALUE OF THE AMOUNTS LISTED IN PART V, LINE 2, COLUMN (C) OF SCHEDULE R WERE: REIMBURSEMENT OF OTHER EXPENSES (O): ALLOCATION OF NON-PAYROLL COST INCURRED BASED ON PERCENTAGE OF SERVICES PERFORMED AT ARM'S LENGTH.