2013-08-14T14:52:40-05:00 2012-09-30 454084437 WARREN AVERETT LLC 3815 INTERSTATE CT MONTGOMERY AL 36109 990 2011-10-01 636067755 TROY UNIVERSITY FOUNDATION TROY 3346703108 ADAMS ADMINISTRATION BUILDING NO 241 TROY AL 36082 DR JAMES BOOKOUT 3346703108 2013-08-08 1 TATIA W KNIGHT CPA P00848736 3342712200 2013-08-08 2011 2016-02-25 16:41:14Z DR JAMES BOOKOUT 241 ADAMS ADMINISTRATION TROY AL 36082 21038980 0 X WWW.TROY.EDU/DEVELOPMENT/FOUNDATION X 1968 AL SUPPORT OF TROY UNIVERSITY STUDENTS, FACULTY, STAFF AND ALUMNI 23 23 1 19 134847 80831 3799474 6154168 0 0 923012 1107452 2723822 3485423 7446308 10747043 2499246 5320034 0 0 49735 12027 0 0 0 2853176 2839479 5402157 8171540 2044151 2575503 81852305 93514577 31149401 35952900 50702904 57561677 TO ASSIST TROY UNIVERSITY IN BUILDING ITS ENDOWMENT THROUGH A COORDINATED DONOR PROGRAM AND SOUND INVESTMENT POLICY THEREBY ENSURING RELIABLE RESOURCES FOR THE FUTURE. 0 0 5687883 5320034 SUPPORT OF TROY UNIVERSITY SYSTEM ACADEMICS, LIBRARY, FACULTY, STAFF, ALUMNI AND STUDENT PROGRAMS FOR APPROXIMATELY 15,000 STUDENTS AND 100,000 ALUMNI. 5687883 1 1 0 0 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0 0 0 0 0 1 0 0 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 0 0 1 12 0 1 1 1 1 0 0 0 0 0 0 0 0 0 X 23 23 1 0 0 0 0 0 0 1 1 0 0 0 1 1 0 0 0 0 0 0 AL X X DR JAMES BOOKOUT 3346703108 ADAMS ADMINISTRATION BUILDING TROY AL 36082 X DR JAMES R ANDREWS 1.00 X 0 0 0 DR JAMES BOOKOUT 1.00 X X 0 0 0 DAN BROUGHTON 1.00 X 0 0 0 WILLIAM H CARR 1.00 X 0 0 0 KAREN CARTER 1.00 X X 0 0 0 KYLE COX 1.00 X 0 0 0 TOM CUNDY 1.00 X 0 0 0 RONALD DEVANE 1.00 X 0 0 0 DR JEFFREY DUGAS 1.00 X 0 0 0 DR JACK HAWKINS 1.00 X X 0 0 0 LARRY HUGHES 1.00 X X 0 0 0 JOHN R FERGUSON 1.00 X 0 0 0 DR MANUEL JOHNSON 1.00 X 0 0 0 DR JEAN LALIBERTE 1.00 X X 0 0 0 DOUG MIMS 1.00 X 0 0 0 DR HARREL MCKINNEY 1.00 X 0 0 0 RANDALL MOORE 1.00 X 0 0 0 DR AMY MORRIS 1.00 X 0 0 0 CLAUDENE NICHOLS 1.00 X 0 0 0 DR JOHN SCHMIDT 1.00 X X 0 0 0 GARY L SMITH 1.00 X 0 0 0 H WILLIAM WASDEN 1.00 X 0 0 0 ROY DRINKARD 1.00 X 0 0 0 DR EARL JOHNSON 1.00 X 0 0 0 0 0 0 0 0 0 0 0 95546 6058622 1947314 6154168 874860 874860 255000 120153 134847 134847 134847 10098585 9865993 232592 232592 232592 228386 95546 305791 -77405 -77405 OTHER INCOME 900099 3152828 3152828 AFFINITY CARD AND ROYA 900099 180401 180401 VENDING COMMISSIONS 900099 94752 94752 3427981 10747043 3427981 134847 1030047 5320034 5320034 11172 11172 855 855 1420 1420 55050 2000 53050 27100 27100 52907 52907 188189 92841 95348 1567 1567 79715 13289 66426 13464 640 12824 978478 7244 971234 863179 863179 25416 5727 19689 REPAIRS & MAINTENANCE 130792 10254 120538 REFUNDS 104590 99166 5424 MEALS & ENTERTAINMENT 63468 27152 36316 MISCELLANEOUS 56784 53463 3321 197360 56073 141287 8171540 5687883 2483657 0 136024 162337 18518801 19167274 1110178 2075952 421144 401889 42000 35790563 4467324 30085557 31323239 278364 328535 28793708 36897523 2508529 3115828 81852305 93514577 924832 1868005 2056284 2069907 1873582 5174158 26294703 26840830 31149401 35952900 X 13919968 15044860 18908701 24180980 17874235 18335837 50702904 57561677 81852305 93514577 X 2575503 4283270 X 0 1 1 X 0 X 3726573 2486595 2531276 3608387 6154168 18506999 3726573 2486595 2531276 3608387 6154168 18506999 1049429 17457570 1260012 1229399 863896 852463 1129860 5335630 23842629 0.73220 0.72470 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 16250 X 0 0 1 29111165 759063 4891219 426324 34335123 27290336 1825982 364588 369741 29111165 24661184 534392 2432092 337332 27290336 24239777 262347 507509 510240 161791 24661184 0.23000 0.52000 0.25000 0 0 95198 1421660 1516858 29549257 3310098 26239159 1278850 1157226 121624 3445598 3445598 31323239 MUTUAL FUNDS & OTHER 36897523 F 36897523 GIFT ANNUITY LIABILITY 103582 CAPITAL LEASE OBLIGATION 20011303 NOTES PAYABLE 6725945 26840830 10747043 8171540 2575503 4248056 35214 4283270 6858773 15456257 4248056 461158 4709214 10747043 0 10747043 8597484 425944 425944 8171540 0 8171540 PART IV, LINE 2B: THE FOUNDATION SERVES AS CUSTODIAN FOR A TITLE III GRANT FOR THE DOTHAN CAMPUS OF TROY UNIVERSITY TOTALING $468,758. THE FOUNDATION HOLDS ESCROW FUNDS FOR CERTAIN FRATERNITIES TOTALING $192,496. THE FOUNDATION ADMINISTERS FUNDS FOR INTERNATIONAL STUDENTS TOTALING $1,880,467. TROY UNIVERSITY INVESTED $2,000,000 IN THE FOUNDATION'S POOLED ENDOWMENT. EARNINGS ALLOCATED TO THE UNIVERSITY FUND WERE $83,696. CENTER SERVICES, INC. (CSI) INVESTED $526,700 IN THE FOUNDATION'S POOLED ENDOWMENT. EARNINGS ALLOCATED TO THE CSI FUND WERE $22,041. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE FOUNDATION ESTABLISHES ENDOWED FUNDS TO SUPPORT DONOR(S) PURPOSES IN PERPETUITY. GIFTS OF CASH OR CASH GENERATED FROM CONVERSION OF A NON-CASH ASSET ARE INVESTED IN THE TROY FOUNDATION ENDOWED INVESTMENT POOL. IT IS THE GOAL OF THE FOUNDATION ENDOWMENT INVESTMENT POLICY TO PROVIDE A REAL TOTAL RETURN FROM ASSETS INVESTED THAT WILL PRESERVE AND INCREASE THE PURCHASING POWER OF THE ENDOWMENT CAPITAL, WHILE GENERATING THE MAXIMUM YIELD TO SUPPORT THE ACTIVITIES OF THE FUNDS HELD FOR THE COLLEGES, SCHOOLS, DEPARTMENTS, UNITS AND PROGRAMS OF THE UNIVERSITY. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE FOUNDATION IS RECOGNIZED BY THE INTERNAL REVENUE SERVICE AS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. CERTAIN TYPES OF INCOME MAY BE SUBJECT TO TAX FROM UNRELATED BUSINESS INCOME AS DEFINED BY THE TAX CODE. AT TIMES, THE FOUNDATION RECEIVES ROYALTY AND OTHER INCOME THAT MAY BE TAXABLE. HOWEVER, NO UNRELATED BUSINESS INCOME TAX LIABILITY EXISTED AS OF SEPTEMBER 30, 2012 AND 2011. THE FOUNDATION FOLLOWS THE ACCOUNTING GUIDANCE FOR UNCERTAINTY IN INCOME TAXES USING THE PROVISIONS OF FASB ACCOUNTING STANDARDS CODIFICATION (ASC) 740, INCOME TAXES. AS OF SEPTEMBER 30, 2012 AND 2011, THE FOUNDATION HAS NO UNCERTAIN TAX POSITIONS THAT QUALIFY FOR RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS AND NO INTEREST AND PENALTIES RELATED TO INCOME TAXES. THE FOUNDATION HAS FILED ITS TAX RETURNS THROUGH SEPTEMBER 30, 2011. THE TAX RETURNS FOR YEARS ENDED SEPTEMBER 30, 2009 AND THEREAFTER ARE SUBJECT TO AUDIT BY THE TAXING AUTHORITIES. PART XI, LINE 8 - OTHER ADJUSTMENTS: CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS 35,214. PART XII, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS 35,214. FUNDRAISING EXPENSES 305,791. RENTAL EXPENSES 120,153. PART XIII, LINE 2D - OTHER ADJUSTMENTS: FUNDRAISING EXPENSES 305,791. RENTAL EXPENSES 120,153. FOOTBALL APPRECIATION NIGHT 33850 0 33850 16753 MIDDLE SCHOOL SEUS CLINIC 28183 0 28183 2810 4 156750 95546 61204 2051 22311 105550 218783 95546 123237 4861 22311 122303 149475 -26238 1 TROY UNIVERSITY TROY MAIN CAMPUS TROY AL 36082 636001102 528802 STUDENT SCHOLARSHIPS TROY UNIVERSITY TROY MAIN CAMPUS TROY AL 36082 636001102 146127 EMINENT SCHOLAR PROFESSORSHIPS TROY UNIVERSITY TROY MAIN CAMPUS TROY AL 36082 636001102 1279079 ATHLETIC DEPARTMENT TROY UNIVERSITY TROY MAIN CAMPUS TROY AL 36082 636001102 3366026 OTHER EXPENSES 1 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE CHANCELLOR, EXECUTIVE VICE CHANCELLOR, SENIOR VICE CHANCELLORS AND VICE CHANCELLORS ARE SOLELY RESPONSIBLE FOR DISBURSEMENTS FROM FUNDS WHICH THEY CONTROL. UPON APPROVAL OF THE APPROPRIATE AUTHORITY, THE DEAN OR DIRECTOR OF A COLLEGE, SCHOOL, DEPARTMENT, UNIT OR PROGRAM IS RESPONSIBLE FOR RECOMMENDING APPROVAL OF ALL FOUNDATION DISBURSEMENTS FROM THE APPROPRIATE FUNDS. FINAL EXPENDITURE OF FOUNDATION FUNDS REQUIRES THE APPROVAL OF THE ASSOCIATE VICE CHANCELLOR FOR DEVELOPMENT AND THE TREASURER FOR DISBURSEMENTS OF LESS THAN $500. FOR DISBURSEMENTS GREATER THAN $500, THE APPROVAL OF THE SENIOR VICE CHANCELLOR FOR ADMINISTRATION AND THE CHANCELLOR IS REQUIRED. X 500 FMV X 5410 FMV X 1 3893 BLUE BOOK VALUE X 4 1928303 APPRAISAL X GIFT CERTIFICATES 5 3996 FMV X FOOD AND SUPPLIES 3 802 COST X TREES 1 4410 FMV 0 0 0 0 FORM 990, PART VI, SECTION A, LINE 2 DR. JAMES BOOKOUT, DR. JACK HAWKINS, DR. JOHN SCHMIDT, AND DR. JEAN LALIBERTE - BUSINESS RELATIONSHIP WILLIAM H. CARR AND DOUG MIMS - BUSINESS RELATIONSHIP FORM 990, PART VI, SECTION B, LINE 11 THE TREASURER, VICE PRESIDENT, AND SECRETARY OF THE FOUNDATION REVIEWED THE FORM 990 PRIOR TO ITS FILING WITH THE IRS. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, POLICIES, AND FINANCIAL STATEMENTS ARE AVAILABLE UPON WRITTEN REQUEST TO THE FOUNDATION OFFICE. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 4,248,056. CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS 35,214. TOTAL TO FORM 990, PART XI, LINE 5: 4,283,270. TROY UNIVERSITY HOUSING LLC 260 ADAMS ADMINISTRATION BUILDING TROY AL 36079 636067755 BUYING, SELLING, AND LEASING REAL AND PERSONAL PROPERTY AL 1514701 19134858 TROY UNIVERSITY FOUNDATION