2013-05-10T11:52:12-05:00 2012-06-30 ERNST & YOUNG US LLP 111 MONUMENT CIRCLE SUITE 2600 INDIANAPOLIS IN 46204 990 2011-07-01 310536715 University of Dayton % THOMAS E BURKHARDT UNIV 9372294333 300 College Park Dayton OH 454691640 THOMAS E BURKHARDT 2013-05-09 3176817000 2011 2016-02-24 21:20:13Z Daniel J Curran PhD 300 College Park Dayton OH 454691624 1043385304 false 0928 X www.udayton.edu X 1850 OH A comprehensive Catholic university, a diverse community committed in the Marianist tradition, to educating the whole person and to linking learning and scholarship with leadership and service. 38 30 7730 275 2363545 26753781 30564311 419169038 433758112 29250152 13588920 10392452 9577114 485565423 487488457 89527185 92771795 0 0 208928338 214821306 0 0 8026768 152504328 152348975 450959851 459942076 34605572 27546381 1198022155 1221585129 482497722 527028426 715524433 694556703 THE UNIVERSITY OF DAYTON IS AN INDEPENDENT, COMPREHENSIVE CATHOLIC EDUCATIONAL INSTITUTION FOUNDED IN 1850. THE PRIMARY EXEMPT PURPOSE IS PROVIDING POST SECONDARY EDUCATION THROUGH UNDERGRADUATE, GRADUATE, DOCTORAL AND CONTINUING EDUCATION PROGRAMS. THE UNIVERSITY IS COMMITTED, IN THE MARIANIST TRADITION, TO EDUCATING THE WHOLE PERSON AND TO LINKING LEARNING AND SCHOLARSHIP WITH LEADERSHIP AND SERVICE. false false 324098017 92771795 347802198 The University serves over 11,000 full and part time students, as well as hundreds of additional students through its other programs. The majority of our undergraduates reside on campus and the University provides living, learning, and working experiences through a wide variety of methods. The University also operates dormitories, food services, and a bookstore internally for the benefit of its students. In support of its educational mission, the University operates its fundraising division internally, which allows the funds raised to be directed to supporting its programs and students. Instruction Statistics for this fiscal year: 7,861 - Undergraduate Students 3,202 - Graduate, Law, Doctoral Students Degrees Awarded this fiscal year: 1,917 - Bachelor; 914 - Master; 36 - Doctorate; 180 - Law. In addition to degreed academic programs for students, the University conducts continuing education, speaker series, educational and services centers, and cultural events for its students, alumni, other life-long learners, and the public. An integral part of our Catholic and Marianist identity is service to the community. We encourage our students, as part of their educational experience, to become involved in service learning projects on a local, state, national and international level. 77205742 83635434 The University, as part of its educational mission, is also involved in basic and applied research. This activity provides hands-on learning opportunities and on campus employment for our students; support for our faculty by providing equipment and laboratories for their use; and a positive economic impact to the regional community through increased employment opportunities and training. Research Areas: US Government Contracts-81.8% State and Local Government-7.6% Business and Industry-7.2% Private Foundations/Universities/Non-U.S. Sponsors-3.4% 401303759 true true false true false false false false false true true true false false true true false true true true true false false false false false false false true true true false false false false false false true true true true true false false false true true false false false false true 16793 0 true 7730 true true true false false false false true true false false false false X 38 30 true false false false true true true true true false false true true true true true true true true true true OH X THOMAS E BURKHARDT 9372294333 300 COLLEGE PARK Dayton OH 454691660 Daniel J Curran 40.0 X X 513652 0 144791 H John Jack Proud 5.0 X Catherine V Babington 5.0 X Margaret A Cavanaugh PhD 5.0 X Richard P Davis 5.0 X Rev James F Fitz SM 40.0 X X 70394 0 21227 Allen M Hill 5.0 X Susan S Kettering 5.0 X Peter A Luongo 5.0 X Richard J Pfleger 5.0 X Katherine Schipper PhD 5.0 X David P Yeager 5.0 X Bro Edward M Brink SM 5.0 X Steven D Cobb 5.0 X John C Riazzi 5.0 X 0 0 0 Kurt P Sanford 5.0 X D Darlene Gutmann Marlowe 5.0 X George P Hanley 5.0 X Linda S Berning 5.0 X Mary H Boosalis 5.0 X Thomas G Breitenbach 5.0 X Bro Joseph H Kamis SM 5.0 X Lynton Scotland 5.0 X Rev Rudy A Vela SM 5.0 X Rev Martin A Solma SM 5.0 X Kevin Crotty 5.0 X Deborah Flanagan Tobias 5.0 X Bro Francisco Gonzalez SM MD 5.0 X Dennis Marx 5.0 X John M Forte 5.0 X 0 0 0 Joseph R Hinrichs 5.0 X 0 0 0 Anne Eiting Kalamar MD 5.0 X 0 0 0 Richard Omlor 5.0 X 0 0 0 Lawrence Woerner 5.0 X 0 0 0 Kevin P Maloney 5.0 X 0 0 0 Bro Bernard J Ploeger SM PhD 5.0 X 0 0 0 Michael A Ruffolo 5.0 X 0 0 0 Ty J Williams 5.0 X 0 0 0 Thomas E Burkhardt 40.0 X 222673 0 26263 Sundar Kumarasamy 40.0 X 173609 0 21586 Michael V McCabe 40.0 X 261472 0 39241 Joyce M Carter 40.0 X 156295 0 55587 Deborah A Read 40.0 X 267123 0 63441 Joseph E Saliba 40.0 X 268768 0 42140 Timothy J Wabler 40.0 X 197391 0 25736 Beth H Keyes 40.0 X 144813 0 12326 William M Fischer 40.0 X 143497 0 24546 Paul H Benson 40.0 X 173345 0 33339 Lisa A Kloppenberg 40.0 X 430080 0 102528 Thomas D Skill 40.0 X 179602 0 53846 Tony E Saliba 40.0 X 193886 0 59716 Paul M Vanderburgh 40.0 X 141047 0 46618 Kevin R Kelly 40.0 X 187328 0 16972 Patrick G Donnelly 40.0 X 151251 0 70055 Joseph F Castellano 40.0 X 137546 0 21630 Richard P Perna 40.0 X 226694 0 22818 Dilip R Ballal 40.0 X 218773 0 27165 Mikhail A Vorontsov 40.0 X 206387 0 24625 Ryan J Miller 40.0 X 316607 0 17410 John J Kanet 40.0 X 198708 0 22477 William C Schuerman 40.0 X 118203 0 17706 F Thomas Eggemeier 40.0 X 132141 0 11319 Thomas J Lasley 40.0 X 165711 0 26667 Matthew D Shank 40.0 X 119280 0 10655 Brian F Gregory 40.0 X 491276 0 14703 6207552 0 1077133 343 true true false One Sixty Over Ninety One South Broad Street 10th Floor PHILADELPHIA PA 19107 Marketing Consultant 752693 NanoSperse LLC 2000 Composite Drive KETTERING OH 45420 Engineering Subcont 790376 Danis Building Construction Co 3233 Newmark Drive MIAMISBURG OH 45342 General Contractor 1347131 Rixco LLC 1916 Lucille Drive DAYTON OH 45404 General Contractor 1221932 Ohio Valley Audio Visual 858 Distribution Drive DAYTON OH 45434 General Contractor 827409 22 1699264 28865047 1287481 30564311 TUITION & FEES 611310 281240709 281240709 ACADEMIC PROJECTS 611310 16781406 16781406 AUXILIARY ACTIVITY 611310 62833985 60513505 2320480 GOVERNMENT CONTRACTS 611310 72902012 72902012 433758112 9586676 25175 9561501 0 0 549223598 545221354 4002244 4002244 4002244 0 0 20252607 10675493 9577114 17890 9559224 0 487488457 431437632 2363545 23122969 0 92771795 92771795 0 0 4507244 4507244 859453 859453 155514164 136409074 14923613 4181477 13529771 11872797 1293026 363948 29243063 25102358 3371219 769486 11167611 9490059 1386644 290908 0 399407 399407 315130 315130 240549 240549 0 2564031 2564031 24255088 18336312 5918776 836680 554871 98403 183406 40183461 34405423 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PART II-B THE UNIVERSITY, THROUGH ITS GOVERNMENT RELATIONS OFFICE, PERIODICALLY ADDRESSES CORRESPONDENCE AND TELEPHONE CALLS TO ITS LOCAL, STATE AND FEDERAL ELECTED OFFICIALS. ISSUES IMPORTANT TO THE UNIVERSITY, ITS MISSION AND IDENTITY AND ITS STUDENTS ARE ADDRESSED, INCLUDING: STUDENT FINANCIAL AID PROGRAMS - FEDERAL AND STATE; LANDLORD/TENANT LAWS - STATE AND LOCAL; PUBLICLY FUNDED RESEARCH - FEDERAL AND STATE; ECONOMIC DEVELOPMENT - STATE AND LOCAL PART II-B LINE 1i PORTION OF MEMBERSHIP DUES PAID TO NATIONAL ASSOCIATION OF INDEPENDENT COLLEGES & UNIVERSITIES USED FOR LOBBYING. 423419316 5438960 -7564715 6661368 7274548 407357645 355550216 12397730 68551915 6317903 6762642 423419316 328967471 14083914 41605226 5585123 23521272 355550216 369572678 71592259 -97600168 6043281 8554017 328967471 0.56800 0.43200 false false 5163442 40119545 45362987 498512669 151213914 360330365 186439375 122678531 63760844 36797367 18753872 18043495 487497691 REAL ESTATE/PE PARTNERSHIPS 196716523 F 196716523 0 POST RETIREMENT BENEFITS 78524267 NDSL LOAN FUNDS 11723908 ANNUITY FUNDS 10763121 DEBT RETIRMENT 17513581 OTHER DEPOSITS AND PAYROLL WIT 8076972 MEDICAL CLAIMS ESTIMATED LIABI 1213877 COLLATERAL HELD FOR SECURITIES 7234207 135049933 PART V THE UNIVERSITY USES ITS ENDOWMENT FUNDS TO PROVIDE SCHOLARSHIPS AND GRANTS TO ITS STUDENTS; TO SUPPORT THE SCHOLARLY WORK OF ITS FACULTY MEMBERS; AND TO MAINTAIN AND ENHANCE ITS LIBRARY HOLDINGS. PART X THE UNIVERSITY COMPLETED AN ANALYSIS OF ITS TAX POSITION, IN ACCORDANCE WITH ASC 740 INCOME TAXES, AND DETERMINED THAT NO AMOUNTS WERE REQUIRED TO BE RECOGNIZED IN THE FINANCIAL STATEMENTS AT JUNE 30, 2012 OR 2011. true true true true true true true false false false false false false false false true false true Part I Line 3 THE UNIVERSITY OF DAYTON RECRUITS ON NATIONAL AND INTERNATIONAL LEVELS AND INCLUDES OUR NON-DISCRIMINATION POLICY IN OUR PRINTED AND WEB-BASED RECRUITMENT AND REGISTRATION MATERIALS. Part I Line 6a THE UNIVERSITY OF DAYTON RECEIVES FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF EDUCATION IN THE FORM OF FEDERAL FINANCIAL AID FOR ITS STUDENTS. South Asia 3 Program Services STUDENT RECRUITMENT 79721 East Asia and the Pacific 1 1 Program Services International Campus 5757 Sub-Saharan Africa Program Services Study Abroad 28850 Europe (Including Iceland and Greenland) Program Services Study Abroad 1083133 South America Program Services Study Abroad 7631 Central America and the Caribbean Program Services Study Abroad 11080 North America Program Services Study Abroad 29637 Central America and the Caribbean Investments 104209061 East Asia and the Pacific Program Services Study Abroad 82816 1 4 1 4 105537686 105537686 true false false true false false PART I, LINE 3 STUDENT RECRUITMENT EXPENDITURES ARE FOR THE SERVICES OF THE RECRUITING AGENTS AND ANY EXPENSES ASSOCIATED WITH STUDENT RECRUITMENT IN THAT SPECIFIC GEOGRAPHIC REGION. SERVICES ARE PAID ACCORDING TO A WRITTEN CONTRACT WITH THE AGENT AND ARE EVALUATED YEARLY. ALL EXPENSES ARE REIMBURSED AT COST. STUDY ABROAD EXPENSES ARE FOR THE PROGRAMS CONDUCTED BY THE UNIVERSITY FOR ITS STUDENTS DURING THE SUMMER TERM (MAY-JULY) AND DURING THE CHRISTMAS BREAK (DECEMBER-JANUARY). DURING THIS FISCAL YEAR, THERE WERE EIGHT PROGRAMS CONDUCTED IN EUROPE, TWO PROGRAMS IN EAST ASIA, ONE PROGRAM IN AFRICA, ONE PROGRAM IN CENTRAL AMERICA, ONE PROGRAM IN NORTH AMERICA AND ONE PROGRAM IN SOUTH AMERICA. IN 2011, THE UNIVERSITY SIGNED A MEMORANDUM OF UNDERSTANDING WITH SUZHOU INDUSTRIAL PARK THAT LEAD TO THE CREATION OF THE UNIVERSITY OF DAYTON CHINA INSTITUTE (UDCI LTD.) IN A GROWING INDUSTRIAL DEVELOPMENT SITE IN SUZHOU, JIANGSU PROVINCE, PEOPLE'S REPUBLIC OF CHINA. THE PURPOSE OF UDCI LTD. IS TO PROVIDE RESEARCH FACILITES TO UD FACULTY AND STUDENTS AND TO DELIVER COURSES, CONTINUING EDUCATION AND EXECUTIVE TRAINING TO COMPANIES LOCATED IN THE INDUSTRIAL PARK. true ACADEMIC SCHOLARSHIPS FOR UD STUDENTS 9448 92771795 NONE NONE PART I, LINE 2 THE UNIVERSITY OF DAYTON IS AN INDEPENDENT UNIVERSITY THAT PROVIDES SCHOLARSHIPS AND GRANTS TO ITS STUDENTS. THE STUDENTS QUALIFY TO RECEIVE THIS AID BASED UPON THEIR FINANCIAL NEED AND ACADEMIC TALENT. RECORDS ARE MAINTAINED THAT DOCUMENT THE STUDENTS' FINANCIAL NEED, ELIGIBILITY TO QUALIFY FOR THE SCHOLARSHIPS AND GRANTS, AND THE AMOUNTS AWARDED ON AN ANNUAL BASIS. X X X X X X true true X X X X X false true false false false false false false false Daniel J Curran 395620 0 0 0 118032 0 95900 0 52956 0 662508 0 0 0 Thomas E Burkhardt 208727 0 0 0 13946 0 17447 0 9870 0 249990 0 0 0 Sundar Kumarasamy 169925 0 0 0 3684 0 8653 0 13922 0 196184 0 0 0 Michael V McCabe 236941 0 0 0 24531 0 19600 0 20806 0 301878 0 0 0 William C Schuerman 116412 0 0 0 1791 0 10723 0 7572 0 136498 0 0 0 Joyce M Carter 133655 0 0 0 22640 0 10834 0 45628 0 212757 0 0 0 Deborah A Read 248692 0 0 0 18431 0 12250 0 52633 0 332006 0 0 0 Joseph E Saliba 244577 0 0 0 24191 0 22050 0 21675 0 312493 0 0 0 Timothy J Wabler 174130 0 0 0 23261 0 16200 0 10566 0 224157 0 0 0 Paul H Benson 172564 0 0 0 781 0 15869 0 18479 0 207693 0 0 0 F Thomas Eggemeier 130102 0 0 0 2039 0 11319 0 630 0 144090 0 0 0 Lisa A Kloppenberg 266227 0 0 0 163853 0 17656 0 86506 0 534242 0 0 0 Thomas J Lasley 164037 0 0 0 1674 0 15101 0 12401 0 193213 0 0 0 Matthew D Shank 84246 0 0 0 35034 0 4699 0 6525 0 130504 0 0 0 Thomas D Skill 178238 0 0 0 1364 0 16666 0 38216 0 234484 0 0 0 Brian F Gregory 485073 0 0 0 6203 0 3741 0 11442 0 506459 0 0 0 Richard P Perna 208092 0 0 0 18602 0 20442 0 3482 0 250618 0 0 0 Dilip R Ballal 198887 0 0 0 19886 0 19549 0 8546 0 246868 0 0 0 Tony E Saliba 177050 0 0 0 16836 0 17219 0 43092 0 254197 0 0 0 Mikhail A Vorontsov 204985 0 0 0 1402 0 10554 0 14899 0 231840 0 0 0 Paul M Vanderburgh 140155 0 0 0 892 0 10978 0 36478 0 188503 0 0 0 Kevin R Kelly 185945 0 0 0 1383 0 9356 0 8653 0 205337 0 0 0 Patrick G Donnelly 149636 0 0 0 1615 0 13746 0 57126 0 222123 0 0 0 Joseph F Castellano 136088 0 0 0 1458 0 10064 0 12159 0 159769 0 0 0 Beth H Keyes 141330 0 0 0 3483 0 12028 0 751 0 157592 0 0 0 William M Fischer 141215 0 0 0 2282 0 7133 0 18224 0 168854 0 0 0 Ryan J Miller 286016 0 25000 0 5591 0 6856 0 11689 0 335152 0 0 0 John J Kanet 195714 0 0 0 2994 0 13911 0 9539 0 222158 0 0 0 PART I, LINE 1A THE PRESIDENT TRAVELS BUSINESS CLASS WHEN AVAILABLE OR FIRST CLASS WHEN OTHER OPTIONS ARE NOT AVAILABLE ON INTERNATIONAL BUSINESS TRIPS. THE MEN'S BASKETBALL TEAM MAY TRAVEL VIA CHARTERED FLIGHTS TO GAMES TO MINIMIZE THE TIME SPENT AWAY FROM CAMPUS FOR THE PLAYERS. THE PRESIDENT RECEIVES A YEARLY TAXABLE HOUSING ALLOWANCE. SPOUSES OF THE PRESIDENT, VP FOR ATHLETICS, AND HEAD MEN'S BASKETBALL COACH MAY TRAVEL TO A LIMITED NUMBER OF EVENTS FOR BUSINESS PURPOSES EACH YEAR; THESE EVENTS INCLUDE ALUMNI EVENTS, MEN'S BASKETBALL CONFERENCE TOURNAMENTS, AND THE NCAA MEN'S BASKETBALL TOURNAMENT. THESE EMPLOYEES ARE TAXED ON SUCH TRAVEL. THE UNIVERSITY PAYS SOCIAL CLUB DUES FOR THE PRESIDENT, SOME VICE PRESIDENTS, AND DEANS. THESE EMPLOYEES ARE TAXED ON THEIR PERSONAL USE OF THESE CLUBS. THE UNIVERSITY GROSSED UP CERTAIN PAYMENTS FOR THE PRESIDENT, VP OF ATHLETICS, AND MEN'S BASKETBALL COACH TO MITIGATE THE TAX EFFECT OF THE PAYMENTS. PART I, LINE 4B PARTICIPATION IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN, 457(f) PLAN: DANIEL J. CURRAN $78,750 (FUNDING OF PLAN). DR. CURRAN IS THE ONLY EMPLOYEE PARTICIPATING IN THIS PLAN. PART VII AND SCHEDULE J REV. JAMES FITZ, SM IS A VOWED MEMBER OF THE SOCIETY OF MARY. FOR 2011 HIS TOTAL COMPENSATION WAS $91,621.00 (SALARY & BENEFITS). ALL OF THE COMPENSATION REV. FITZ RECEIVES FROM THE UNIVERSITY IS PAID DIRECTLY TO THE SOCIETY OF MARY, HE DOES NOT RECEIVE ANY FUNDS. THEREFORE, HE DOES NOT RECEIVE A W-2 FORM. HE IS INCLUDED ON PART VII AND SCHEDULE J BECAUSE THE POSITION OF RECTOR IS THE HIGHEST RANKING MARIANIST AT THE UNIVERSITY AND THE RESPONSIBILITIES ARE AT THE SAME LEVEL AS A VICE PRESIDENT. SCHEDULE J, PART I, SECTION B, COLUMN ii THE MEN'S BASKETBALL COACH RECEIVED A BONUS PAYMENT, AS SPECIFIED IN HIS CONTRACT, BASED ON THE ACADEMIC PERFORMANCE RATE OF THE MEN'S BASKETBALL TEAM. Ohio Higher Educational Facility Commission 346849674 67756AUF7 2004-12-02 16744216 2004 Rev. Bonds - Refunding false false false Ohio Higher Educational FAcility Commission 346849674 67756AUF7 2004-12-02 35082783 2004 Rev. Bonds - Construction false false false Ohio Higher Educational Facility Commission 346849674 67756AXP2 2006-08-04 92808635 2006 Rev. Bonds - Construction false false false Ohio Higher Educational Facility Foundation 346849674 67756AYD8 2006-08-04 22824354 2006 Rev. Bonds - Refunding false false false 0 0 17333251 0 0 0 153051 84495 0 0 17095705 0 2007 true true true true 0 0 35659187 0 181315 0 349435 433348 0 34695089 0 0 2007 false false true true 0 0 98559146 0 0 0 735623 707589 0 29081262 68034672 0 2010 true true true true 0 0 23533957 0 0 0 183956 0 0 0 23350001 0 2006 true false true true 0 false false false false 0.00000 0.01460 0.01460 true false false false true true 0.01130 0.01530 0.02660 true false false false 0 0.00930 0.00930 false false false 0 false 0 false false false false false 0 false 0 false false false false true Morgan Stanley 18.6 false false false 0 false true false false true Morgan Stanley 9.1 false false false 0 false true See Schedule O 0 Ohio Higher Educational Facility Commission 346849674 67756AYG1 2006-08-04 12154493 2006 Rev. Bonds - Refunding false false false Ohio Higher Educational Facility Commission 346849674 67756BXU9 2009-03-20 55124578 2009 Rev. 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Bonds - Construction false false false 0 0 12951780 0 0 0 99928 110152 0 0 12741700 0 2007 false true true true 0 0 55150712 0 343632 0 624578 0 0 54182502 0 0 2010 true false true true 0 0 19405396 0 0 0 217604 0 0 0 19187792 0 2009 true false true true 0 0 42589292 0 1174513 0 503144 0 0 13852810 0 27058825 2012 false false false true 0 false false false true true 0.00326 0.00910 0.01236 true 0 false false false true true 0.00044 0.00010 0.00054 true false false true Morgan Stanley 11.7 false false false 0 false true false false false 0 false 0 false false false false false 0 false 0 false false false true false 0 false 0 false false Ohio Higher Educational Facility Commission 346849674 67756BYY0 2011-03-16 19085647 2011 Rev. Bonds - Refunding false false false 0 0 19090430 0 0 0 190438 0 0 0 18899992 0 2011 true false true true 0 false true false 0 false 0 false false Thomas Burkhardt III Family member of officer 50673 EMPLOYMENT false Susan Saliba Family member of officer 128820 EMPLOYMENT false Susan Scott Family member of officer 127335 EMPLOYMENT false Matthew Luongo Family member of trustee 13910 EMPLOYMENT false Bro Raymond L Fitz SM Family member of officer 158367 EMPLOYMENT false Brenda Donnelly Family member of officer 82045 EMPLOYMENT false Alexandra Hall Family member of officer 66090 EMPLOYMENT false Steven Zabarnick Family member of officer 141996 Employment false Lexis Nexis Corporation See Part V 108547 See Part V false Porter Wright Morris Arthur LLP See Part V 216250 See Part V false Fifth Third Bank See Part V 1558278 See Part V false Part IV Line 28c Kurt P. Sanford is an officer of Lexis Nexis Corporation. The University purchases products and services from this company. H. John Proud, Esq. is an employee of Porter Wright Morris & Arthur LLP, the law firm the University uses for its primary legal services. Ty J. Williams is an officer of Fifth Third Bank in New York City, NY. Fifth Third is one of five banks the University uses for treasury services and merchant processing. X 30 150 Price guide X 4309 Adjusted cost X 14898 Cost X 2 27175 Cost X 43 836424 Price-date of sale X 2 250000 Face Value of Note X 1 5000 Price guide X Equipment 4 71969 Appraised value/cost X Event Items 6 77157 Cost X Gift Cards 3 400 Cost 1 false true false SCHEDULE O PART VI, SECTION A, LINE 1b EIGHT MEMBERS OF THE BOARD OF TRUSTEES ARE NOT CONSIDERED INDEPENDENT. ONE MEMBER RECEIVES COMPENSATION AS AN EMPLOYEE OF THE UNIVERSITY, TWO MEMBERS HAVE A FAMILY MEMBER WHO RECEIVES AN ACADEMIC SCHOLARSHIP FROM THE UNIVERSITY AS PART OF AN OVERALL STUDENT FINANCIAL AID PACKAGE, TWO MEMBERS HAVE FAMILY MEMBERS WHO ARE EMPLOYEES OF THE UNIVERSITY AND THREE MEMBERS RECEIVE COMPENSATION FROM UNRELATED ORGANIZATIONS WHO HAVE PROVIDED BUSINESS SERVICES TO THE UNIVERSITY THROUGH ARMS LENGTH TRANSACTIONS. THIS INFORMATION IS DISCLOSED ON SCHEDULE L, PARTS III & IV. PART VI, LINE 2 H. JOHN PROUD AND STEVEN D. COBB - BUSINESS RELATIONSHIP. PART VI, LINES 6, 7a & 7b THE MARIANISTS OF THE UNITED STATES, INC. ARE MEMBERS OF THE UNIVERSITY OF DAYTON CORPORATION AND AS SUCH, THEY MAY NOMINATE CANDIDATES FOR ELECTION/OR REMOVAL TO THE UNIVERSITY'S BOARD OF TRUSTEES AND THEY MUST APPROVE BY TWO-THIRDS VOTE, ANY ACTION OF THE BOARD OF TRUSTEES REGARDING MERGERS OF THE CORPORATION, SALES OF ASSETS OF THE CORPORATION, OR PARTIAL OR TOTAL DISSOLUTION OF THE CORPORATION. PART VI, SECTION B, LINE 11 THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES HAS THE RESPONSIBLITY TO REVIEW THE FORM 990 AT ONE OF ITS REGULARLY SCHEDULED MEETINGS. THESE COMMITTEE MEMBERS WILL REPORT THEIR OBSERVATIONS TO THE FULL BOARD OF TRUSTEES. ALL MEMBERS OF THE BOARD OF TRUSTEES MAY ACCESS THE RETURN ON AN INTERNALLY MANAGED BOARD OF TRUSTEES DISCUSSION SITE, TO ALLOW THEM TO REVIEW THE FINAL RETURN BEFORE IT IS FILED. PART VI, LINE 12 C THE UNIVERSITY'S LEGAL DEPARTMENT AND BOARD OF TRUSTEES OFFICE REVIEW THE RESPONSES TO ANNUAL QUESTIONNAIRES SENT TO OFFICERS, KEY EMPLOYEES AND BOARD OF TRUSTEE MEMBERS RESPECTIVELY. ANY ISSUES DISCLOSED ARE REVIEWED AND REPORTED TO THE PRESIDENT, BOARD OF TRUSTEES, AND APPROPRIATE VICE PRESIDENTS. IF A CONFLICT EXISTS, THE INDIVIDUAL IS EXCUSED FROM DISCUSSION AND VOTING ON THE MATTER IN QUESTION. PART VI, LINE 15A THE UNIVERSITY HAS A FORMAL, WRITTEN COMPENSATION POLICY FOR THE PRESIDENT. THERE IS ALSO A COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES WHO REVIEWS THIS POLICY, EXTERNAL COMPENSATION INFORMATION (COMPARABLE DATA SUCH AS COMPENSATION LEVELS PAID BY SIMILAR ORGANIZATIONS, THE LEVEL OF THE EMPLOYEE'S EDUCATION AND EXPERIENCE, AND THE RESPONSIBILITIES OF THE POSITION) AND PRIOR YEAR COMPENSATION INFORMATION TO DETERMINE YEARLY COMPENSATION. THIS INFORMATION, ALONG WITH THE COMMITTEE'S RECOMMENDATION IS DISCUSSED AT A REGULARLY SCHEDULED BOARD OF TRUSTEES MEETING AND VOTED ON BY BOARD MEMBERS. PART VI, LINE 15B COMPENSATION FOR OTHER OFFICERS AND KEY EMPLOYEES IS DETERMINED BY THE PRESIDENT AFTER AN ANNUAL REVIEW AND ACCORDING TO PRIOR WRITTEN COMPENSATION AGREEMENTS. DISCUSSIONS ON THE COMPENSATION OF ALL OTHER OFFICERS AND KEY EMPLOYEES ARE CONDUCTED AT MEETINGS OF THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. THE UNIVERSITY UTILIZES DATA FROM PEER INSTITUTIONS AS REPORTED IN THE ANNUAL ADMINISTRATIVE COMPENSATION CUPA-HR SURVEY TO ENSURE THAT COMPENSATION FOR THESE POSITIONS IS AT APPROPRIATE LEVELS. PART VI, LINE 19 THE PUBLIC MAY ACCESS THE UNIVERSITY'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS THROUGH THE UNIVERSITY'S WEBSITE. PART XI, LINE 5 OTHER CHANGES IN NET ASSETS OR FUND BALANCES NET UNREALIZED LOSSES ON INVESTMENTS $(22,858,864) CHANGE IN NET UNREALIZED LOSS ON INTEREST RATE SWAP (12,868,300) CHANGE IN POST RETIREMENT BENEFIT OBLIGATION (12,862,286) ___________ TOTAL (48,589,450) SCHEDULE K PART II LINE 3 FOR ALL BOND ISSUES ANY DIFFERENCE BETWEEN PART I, COLUMN (e) AND PART II, LINE 3 IS DUE TO INVESTMENT EARNINGS. SCHEDULE K PART VI SUPPLEMENTAL INFORMATION 2004 REVENUE BONDS - REFUNDING THE 2004 BOND PROCEEDS WERE USED TO REFUND THE BOND ISSUES DATED JUNE 30, 1994 AND JULY 2, 1997, WHICH WERE USED TO CONSTRUCT AND EQUIP THE LAW SCHOOL AND LIBRARY, INSTALL COMPUTER SYSTEMS, RENOVATE STUDENT RESIDENCE HALLS AND UPGRADE CLASSROOM AND OFFICE SPACE IN VARIOUS CAMPUS BUILDINGS. 2004 REVENUE BONDS - CONSTRUCTION THE 2004 BOND PROCEEDS WERE USED TO CONSTRUCT AND EQUIP A NEW STUDENT FITNESS AND RECREATION COMPLEX; TO RENOVATE STUDENT RESIDENCE HALLS; TO ACQUIRE AND RENOVATE STUDENT HOUSES; TO CONSTRUCT A NEW SOFTBALL FIELD; TO RENOVATE OFFICES AND CLASSROOMS IN SEVERAL ACADEMIC BUILDINGS. 2006 REVENUE BONDS - CONSTRUCTION THE 2006 BOND PROCEEDS WERE USED TO RENOVATE STUDENT RESIDENCE HALLS, APARTMENTS AND HOUSES; TO RENOVATE LABORATORY, RESEARCH AND CLASSROOM AREAS; AND TO RENOVATE THE UNIVERSITY RESEARCH INSTITUTE AND OTHER LABORATORY FACILITIES. 2006 REVENUE BONDS - REFUNDING THE 2006 BOND PROCEEDS WERE USED TO REFUND PORTIONS OF THE BOND ISSUES DATED JULY 2, 1997 AND JULY 20, 2000, WHICH WAS USED TO CONSTRUCT, IMPROVE AND EQUIP THE SCIENCE EDUCATION BUILDING; CONSTRUCT A NEW STUDENT APARTMENT BUILDING; AND RENOVATE ADMINISTRATIVE AND ACADEMIC BUILDINGS; TO REFUND THE BOND ISSUE DATED OCTOBER 29, 2003, WHICH WAS USED TO PAY COSTS ASSOCIATED WITH THE ISSUANCE OF THE 2006 BOND ISSUE. 2006 REVENUE BONDS - REFUNDING THE 2006 BOND PROCEEDS WERE USED TO REFUND PORTIONS OF THE BOND ISSUES DATED JULY 2, 1997 AND JULY 20, 2000, WHICH WAS USED TO CONSTRUCT, IMPROVE AND EQUIP THE SCIENCE EDUCATION BUILDING; CONSTRUCT A NEW STUDENT APARTMENT BUILDING; AND RENOVATE ADMINISTRATIVE AND ACADEMIC BUILDINGS; TO REFUND THE BOND ISSUE DATED OCTOBER 29, 2003, WHICH WAS USED TO PAY COSTS ASSOCIATED WITH THE ISSUANCE OF THE 2006 BOND ISSUE. 2009 REVENUE BONDS - CONSTRUCTION THE 2009 BOND PROCEEDS WERE USED TO RENOVATE STUDENT RESIDENCE FACILITES AND TO RENOVATE CLASSROOM AND LABORATORY FACILITIES. 2009 REVENUE BONDS - REFUNDING THE 2009 BOND PROCEEDS WERE USED TO REFUND A PORTION OF THE BOND ISSUE DATED JULY 2, 1997; TO REFUND A PORTION OF THE BOND ISSUE DATED JULY 9, 1998, WHICH WAS USED TO CONSTRUCT, IMPROVE AND EQUIP VARIOUS ACADEMIC AND ADMINISTRATIVE FACILITES; TO REFUND A PORTION OF THE BANK NOTE ISSUED ON APRIL 16, 2008 WHICH WAS USED TO REFUND THE STATE OF OHIO HIGHER EDUCATIONAL FACILITY COMMISSON REVENUE BONDS DATED MAY 1, 2002, WHICH WERE ISSUED TO RENOVATE THE ARENA ATHLETIC FACILITIES, CONSTRUCT SCIENCE LABORATORY FACILITES AND ACQUIRE AND RENOVATE STUDENT HOUSES. 2011 REVENUE BONDS - CONSTRUCTION THE 2011 BOND PROCEEDS WERE USED TO CONSTRUCT AND FURNISH A NEW APARTMENT STYLE STUDENT RESIDENCE COMPLEX; TO RENOVATE THE COLLEGE PARK CENTER TO PROVIDE SPACE FOR THE VISUAL ARTS DEPARTMENT, INCLUDING CLASSROOM AND STUDENT WORKSPACE; UPGRADE DINING AND FOOD SERVICE FACILITIES IN A CAMPUS RESIDENCE HALL; CONSTRUCT A CENTRAL CAMPUS MALL; ACQUIRE AND UPGRADE TECHNOLOGY EQUIPMENT FOR THE 1700 SOUTH PATTERSON STREET BUILDING. 2011 REVENUE BONDS - REFUNDING THE 2011 BOND PROCEEDS WERE USED TO REFUND THE REFUNDED 2001 BOND ISSUE DATED MARCH 9, 2001. 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