2013-05-13T16:48:47-05:00 2012-06-30 910189318 MOSS ADAMS LLP 3121 WEST MARCH LANE SUITE 100 STOCKTON CA 952192303 990 2011-07-01 951667177 OCCIDENTAL COLLEGE OCCI 3232591417 1600 CAMPUS ROAD LOS ANGELES CA 90041 AMOS R HIMMELSTEIN 3232591417 2013-05-09 1 TRACY S PAGLIA P00366884 2099556100 2011 2016-02-24 21:20:13Z JONATHAN VEITCH 1600 CAMPUS ROAD LOS ANGELES CA 90041 333629166 0 X WWW.OXY.EDU X 1887 CA TO PROVIDE STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY. 42 39 2554 705 293512 -686047 24241970 20676161 105508686 113577946 16363483 23229891 0 0 146114139 157483998 35108737 38598408 0 0 58819082 60199941 0 0 6973912 41306357 42844900 135234176 141643249 10879963 15840749 592890493 586642099 124803349 124166871 468087144 462475228 X SEE SCHEDULE OTHE MISSION OF OCCIDENTAL COLLEGE IS TO PROVIDE A GIFTED AND DIVERSE GROUP OF STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY - ONE THAT PREPARES THEM FOR LEADERSHIP IN AN INCREASINGLY COMPLEX, INTERDEPENDENT AND PLURALISTIC WORLD. THE DISTINCTIVE INTERDISCIPLINARY AND MULTICULTURAL FOCUS OF THE COLLEGE'S ACADEMIC PROGRAM SEEKS TO FOSTER BOTH THE FULFILLMENT OF INDIVIDUAL ASPIRATIONS AND A DEEPLY ROOTED COMMITMENT TO THE PUBLIC GOOD. THIS MISSION IS ANCHORED BY FOUR CORNERSTONES: EXCELLENCE, EQUITY, COMMUNITY AND SERVICE. THESE BUILDING BLOCKS, IN ONE FORM OR ANOTHER, HAVE LONG BEEN THE BASIS FOR THE COLLEGE'S COMMITMENT TO PROVIDING RESPONSIBLE LEADERS AND CITIZENS FOR OUR DEMOCRATIC SOCIETY. CHOOSING THEM TO SUPPORT THE FUTURE HELPS TO ENSURE THAT THE COLLEGE REMAINS TRUE TO ITS MISSION WHILE ADAPTING TO A CHANGING WORLD. 0 0 89740815 37990142 90004284 SEE SCHEDULE OACADEMIC PROGRAM:AS THE FIRST AND STILL ONLY COLLEGE OF THE LIBERAL ARTS AND SCIENCES IN THE CITY OF LOS ANGELES, OCCIDENTAL'S ACADEMIC PROGRAM IS ESSENTIAL TO ITS EDUCATIONAL MISSION. OCCIDENTAL'S 30 ACADEMIC DEPARTMENTS OFFER 36 MAJORS AND MINORS IN THE SCIENCES, ARTS, HUMANITIES AND SOCIAL SCIENCES (30 MAJORS AND 6 PROGRAMS THAT ARE MINORS ONLY). AS AT ALL COLLEGES, THIS IS A LABOR-INTENSIVE MISSION. OCCIDENTAL EMPLOYS 182 FULL-TIME AND 21 PART-TIME FACULTY TO TEACH AND MENTOR ITS STUDENTS. IN ADDITION TO CLASSES TAUGHT AT OCCIDENTAL, THE COLLEGE ALSO SUPPORTS A PROGRAM OF WHAT IT TERMS COMMUNITY-BASED LEARNING, WHICH TIES SERVICE LEARNING DIRECTLY TO THE CURRICULUM, ONE OF THE COUNTRY'S BEST UNDERGRADUATE RESEARCH PROGRAMS; AN ACADEMICALLY RIGOROUS STUDY ABROAD PROGRAM WITH COMPETITIVE ADMISSION; AND A UNITED NATIONS PROGRAM IN NEW YORK THAT COMBINES ACADEMIC COURSE WORK WITH INTERNSHIPS. OCCIDENTAL ALSO PROVIDES PROGRAMS TO HELP STUDENTS IMPROVE WRITING, RESEARCH, AND OTHER ACADEMIC SKILLS; ASSIST STUDENTS WITH LEARNING AND PHYSICAL CHALLENGES; AND HELPS FACULTY IDENTIFY AND PROMOTE EFFECTIVE TEACHING METHODS. IN SUPPORT OF ITS ACADEMIC PROGRAMS, OCCIDENTAL OPERATES A LIBRARY FULLY EQUIPPED WITH PRINT AND DIGITAL RESOURCES OPEN SEVEN DAYS A WEEK DURING THE ACADEMIC YEAR, A CAMPUS COMPUTER NETWORK, SERVER SYSTEM AND WIDE ARRAY OF HARDWARE AND SOFTWARE, SCIENCE LABRATORIES, ART STUDIOS, THEATER SPACE, MUSIC REHEARSAL AND PERFORMANCE SPACES, AND VIDEO AND FILM EQUIPMENT. 28682935 76357 22003048 SEE SCHEDULE OCO-CURRICULAR PROGRAM:AS AN INTENTIONALLY RESIDENTIAL COLLEGE OF THE LIBERAL ARTS AND SCIENCES, OCCIDENTAL REGARDS THE INTERACTION BETWEEN STUDENTS, FACULTY AND STAFF, AND BETWEEN STUDENTS THEMSELVES OUTSIDE THE CLASSROOM AS AN ESSENTIAL PART OF A LIBERAL ARTS EDUCATION THAT EDUCATES THE WHOLE STUDENT. OCCIDENTAL STUDENTS ARE REQUIRED TO LIVE ON CAMPUS FOR THEIR FIRST THREE YEARS, AND ALMOST 80 PERCENT OF STUDENTS CURRENTLY RESIDE IN COLLEGE RESIDENCE HALLS. THE RESIDENCE LIFE OFFICE STAFFS THE COLLEGE'S 13 RESIDENCE HALLS AND TOGETHER WITH THE OFFICE OF STUDENT AFFAIRS OFFERS A WIDE VARIETY OF CO-CURRICULAR PROGRAMMING FOR STUDENTS. STUDENT AFFAIRS ALSO SUPPORTS STUDENT GOVERNMENT AND MORE THAN 80 OTHER STUDENT CLUBS AND ORGANIZATIONS, ALL OF WHICH PROVIDE OPPORTUNITIES FOR THE DEVELOPMENT OF STUDENT LEADERSHIP AND INITIATIVE. THROUGHOUT ITS HISTORY, OCCIDENTAL HAS REGARDED ATHLETICS AS AN ESSENTIAL CO-CURRICULAR PROGRAM. A FOUNDER OF INTERCOLLEGIATE ATHLETIC COMPETITION IN SOUTHERN CALIFORNIA, OCCIDENTAL OFFERS 21 INTERCOLLEGIATE SPORTS FOR MEN AND WOMEN AT THE NCAA DIVISION III LEVEL, AS WELL AS CLUB AND INTRAMURAL SPORTS. 4278535 531909 338475 SEE SCHEDULE OPUBLIC SERVICE:OCCIDENTAL'S FORMAL RECORD OF INSTITUTIONAL COMMUNITY SERVICE EXTENDS BACK ALMOST HALF A CENTURY TO THE FOUNDING OF ITS COMMUNITY LITERACY CENTER IN 1963 TO PROVIDE ONE-ON-ONE TUTORING TO LOCAL ELEMENTARY SCHOOL STUDENTS. OCCIDENTAL HAS BEEN NAMED TO THE PRESIDENT'S HONOR ROLL FOR FIVE CONSECUTIVE YEARS, AND WAS DESIGNATED A COMMUNITY ENGAGEMENT INSTITUTION BY THE CARNEGIE FOUNDATION FOR THE ADVANCEMENT OF TEACHING IN 2008. OCCIDENTAL'S UPWARD BOUND PROGRAM, LAUNCHED IN 1966 AS ONE OF THE COLLEGE ACCESS PROGRAM'S PILOT PROGRAMS, IS ONE OF THE LARGEST AND MOST SUCCESSFUL PROGRAMS IN CALIFORNIA. IT HAS BEEN EXPANDED INTO UNDERSERVED MIDDLE SCHOOLS IN NORTHEAST LOS ANGELES THROUGH OCCIDENTAL'S "GEAR UP" PARTNERSHIP WITH LOS ANGELES UNIFIED SCHOOL DISTRICT. THE COLLEGE'S CENTER FOR COMMUNITY BASED LEARNING AND URBAN AND ENVIRONMENTAL POLICY INSTITUTE COMBINE ACADEMIC AND OUTREACH PROGRAMS IN A NUMBER OF AREAS RANGING FROM IMPROVING HIGH SCHOOL GRADUATION RATES THROUGH THE DEVELOPMENT OF INNOVATIVE MATHEMATICS CURRICULA TO IMPROVING STUDENT NUTRITION AND SUPPORTING SMALL FAMILY FARMS THROUGH THE NATIONAL FARM TO SCHOOL PROGRAM. 122702285 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 0 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 1 1 1 0 0 1 3013 0 1 2554 1 1 1 0 0 0 1 1 1 1 1 0 0 0 0 X 42 39 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 0 1 1 0 CA X BARBARA VALIENTE 3232591417 1600 CAMPUS ROAD LOS ANGELES CA 90041 JONATHAN VEITCH 50.00 X X 488651 0 149028 PETER ADAMSON 1.00 X 0 0 0 DAVID H ANDERSON 1.00 X 0 0 0 PATRICIA LEBRE ALIREZA 1.00 X 0 0 0 CARL A BALLTON 1.00 X 0 0 0 DAVID W BERKUS 1.00 X 0 0 0 JOHN G BRANCA 1.00 X 0 0 0 EILEEN ANISGARTEN BROWN 1.00 X 0 0 0 CHRISTOPHER C CALKINS 1.00 X X 0 0 0 DON R CONLAN 1.00 X 0 0 0 HECTOR DE LA TORRE 1.00 X 0 0 0 GLORIA C DUFFY 1.00 X 0 0 0 LOUISE EDGERTON 1.00 X 0 0 0 ANNE CANNON 1.00 X 0 0 0 JOHN R FARMER 1.00 X X 0 0 0 GARY STEVEN FINDLEY 1.00 X 0 0 0 J EUGENE GRIGSBY III 1.00 X 0 0 0 RONALD R HAHN 1.00 X 0 0 0 FRED HAMEETMAN 1.00 X 0 0 0 OCTAVIO HERRERA 1.00 X 0 0 0 STEPHEN F HINCHLIFFE 1.00 X X 0 0 0 JULIE DEES JOHNSON 1.00 X 0 0 0 WILLIAM M KAHANE 1.00 X 0 0 0 JOHN KEISTER 1.00 X 0 0 0 BARBARA KEMP 1.00 X 0 0 0 CHARLENE CONRAD LIEBAU 1.00 X 0 0 0 GORDON MACINNES 1.00 X 0 0 0 SUSAN MALLORY 1.00 X X 0 0 0 JANET MCINTYRE 1.00 X 0 0 0 ROBERT H NEITHART 1.00 X 0 0 0 JOAN A PAYDEN 1.00 X 0 0 0 JOHN B POWER 1.00 X 0 0 0 VALERIE REECE 1.00 X 0 0 0 STEVEN R ROBINSON 1.00 X 0 0 0 STEPHEN D ROUNTREE 1.00 X X 0 0 0 RICHARD RUGANI 1.00 X 0 0 0 JANETTE SADIK-KHAN 1.00 X 0 0 0 CATHERINE YOUNG SELLECK 1.00 X 0 0 0 ROBERT A SKOTHEIM 1.00 X 0 0 0 BERNARD J TYSON 1.00 X 0 0 0 ANDREA L VAN DE KAMP 1.00 X 0 0 0 CHRISTOPHER VARELAS 1.00 X 0 0 0 PAUL RUBIN 1.00 X 0 0 0 IAN MCKINNON 1.00 X 0 0 0 JORGE GONZALEZ 50.00 X 253492 0 36994 MICHAEL GROENER 50.00 X 208987 0 38526 BARBARA AVERY 50.00 X 187217 0 85157 PAMELA ANN MCQUESTEN 50.00 X 193181 0 42625 AMOS R HIMMELSTEIN 50.00 X 223080 0 29384 DENNIS COLLINS 50.00 X 291849 0 31072 ROZITA AFAR 50.00 X 107456 0 34087 VINCE CUSEO 50.00 X 177257 0 34172 PHOEBE DEA 50.00 X 204379 0 21613 ERIC FRANK 50.00 X 215917 0 31284 DEREK SHEARER 50.00 X 183375 0 27296 CHRIS CRANEY 50.00 X 184726 0 26856 IRENE GIRTON 50.00 X 185193 0 25359 3104760 0 613453 85 0 1 0 TOVEYSHULTZ CONSTRUCTION INC 18261 COLLIER AVE UNIT A LAKE ELSINORE CA 92530 GENERAL CONTRACTOR 6344346 HIGHLAND CONSTRUCTION AND MANAGEMENT 5000 EDENHURST LOS ANGELES CA 90039 GENERAL CONTRACTOR 1576106 GALLAGHER KOSTER 500 VICTORY ROAD QUINCY MA 02171 GENERAL CONTRACTOR 1515463 MARTIFER SOLAR 2040 ARMACOST LOS ANGELES CA 90025 GENERAL CONTRACTOR 1224303 TOWER GENERAL CONTRACTORS 10923 RANDALL SUN VALLEY CA 91352 GENERAL CONTRACTOR 750892 21 3268968 17407193 2545349 20676161 TUITION AND FEES 900099 89149193 89149193 ROOM AND BOARD 900099 18693266 18693266 CONFERENCES AND EVENTS 900099 1873700 641561 1232139 BOOKSTORE 900099 1399703 1399703 FOOD SERVICE 900099 286213 286213 2175871 2175871 113577946 6331373 -938627 7270000 193043686 176145168 16898518 16898518 16898518 157483998 112345807 293512 24168518 471039 471039 38127369 38127369 2517564 766072 1510338 241154 208754 208754 44085591 38523355 2425260 3136976 3506534 2997741 227904 280889 6721354 5667552 527699 526103 3160144 2624746 291628 243770 109584 109584 250725 250725 3827929 3827929 4060988 2940472 412398 708118 79163 22385 12485 44293 5413480 4034460 432511 946509 1399597 1131350 33000 235247 2692911 2528685 164226 1284457 1170114 50915 63428 942005 572779 88836 280390 4090721 3982665 108056 6409245 6096836 241314 71095 627249 52296 573570 1383 COST OF SALES 4622723 4622723 INTERNATIONAL PROGRAMS 3746704 3746704 DUES & SUBSCRIPTIONS 944990 837295 70323 37372 CAPITAL EXPENDITURES 744304 703007 41297 1598125 873886 567054 157185 141643249 122702285 11967052 6973912 4781007 5126313 40207225 40852588 11280502 10122849 529606 479619 534233 617026 208052 423086 237585591 80505185 142534041 157080406 307898652 284669074 48070174 51159465 22223896 23118995 14623105 12992678 592890493 586642099 12930263 13740070 4698378 5095869 85125000 83450000 4167567 4167567 17882141 17713365 124803349 124166871 X 134557615 136384919 190732089 178066163 142797440 148024146 468087144 462475228 592890493 586642099 X 15840749 -21452665 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 1 1 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: THE ORGANIZATION PAYS MEMBERSHIPS DUES TO MEMBER ORGANIZATIONS WHICH MAY ENGAGE IN LOBBYING ACTIVITIES. THEREFORE, A PORTION OF THE DUES MAY BE ATTRIBUTABLE TO LOBBYING ACTIVITIES. X X X 0 342393345 9543320 280756 8444692 9437903 3614940 330719886 298890606 5250937 59330921 8187431 9236913 3654775 342393345 276460804 1575099 41856335 7752517 9759667 3489448 298890606 356935132 2595148 -64158810 7053833 8527783 3329050 276460804 0.17010 0.37640 0.45350 0 0 964497 6338280 7302777 180424637 66061623 114363014 19663374 14443562 5219812 30194803 30194803 157080406 PRIVATE EQUITY & VENTURE CAPITAL 51159465 F 51159465 ANNUITIES PAYABLE 13277802 BONDS PREMIUM, NET 1606378 ASSET RETIREMENT OBLIGATION 2829185 17713365 157483998 141643249 15840749 -21197136 -255529 -21452665 -5611916 95197509 -21197136 -21197136 116394645 3827929 37261424 41089353 157483998 100809425 0 100809425 3827929 37005895 40833824 141643249 PART III, LINE 1A: COLLECTIONS, SUCH AS RARE BOOK AND WORKS OF ART, WHICH WERE ACQUIRED THROUGH PURCHASES AND CONTRIBUTIONS SINCE THE COLLEGE'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS ON THE BALANCE SHEETS. THESE COLLECTIONS ARE HELD SOLELY FOR THEIR POTENTIAL EDUCATIONAL VALUE OR HISTORICAL SIGNIFICANCE. MANAGEMENT HAS DETERMINED THAT THE COST TO ESTABLISH THE CURRENT MARKET VALUE IS DEEMED TO EXCEED THE BENEFIT AND THEREFORE THE COLLECTIONS WERE NOT ASSIGNED A VALUE FOR THE PURPOSE OF THE CAPITALIZATION. PURCHASES OF COLLECTION ITEMS ARE RECORDED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE YEAR IN WHICH THE ITEMS ARE ACQUIRED OR AS TEMPORARILY OR PERMANENTLY RESTRICTED NET ASSETS IF THE ASSETS USED TO PURCHASE THE ITEMS HAVE BEEN RESTRICTED BY DONORS. CONTRIBUTED COLLECTION ITEMS ARE NOT RELECTED IN THE FINANCIAL STATEMENTS. PROCEEDS FROM DEASCCESSIONS OR INSURANCE RECOVERIES ARE REFLECTED AS INCREASES IN THE APPROPRIATE NET ASSET CATEGORY. PART III, LINE 4: THE COLLEGE MAINTAINS COLLECTIONS OF ART FOR DISPLAY AND EDUCATIONAL PURPOSES. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE COLLEGE'S ENDOWMENT FUNCTIONS TO SUPPORT STUDENT SCHOLARSHIPS, PROFESSORSHIPS, THE LIBRARY, VISITING SPEAKERS, AND OTHER GENERAL COLLEGE ACTIVITY. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: AS REQUIRED BY GAAP, THE COLLEGE HAS IDENTIFIED AND EVALUATED ITS SIGNIFICANT TAX POSITIONS FOR WHICH THE STATUTE OF LIMITATION REMAIN OPEN AND HAS DETERMINED THAT THERE IS NO MATERIAL UNRECOGNIZED BENEFIT OR LIABILITY TO BE RECORDED. THE OPEN TAX YEARS ARE THE YEARS ENDED JUNE 30, 2008 THROUGH JUNE 30, 2012 FOR FEDERAL TAX PURPOSES AND THE YEARS ENDED JUNE 30, 2007 THROUGH JUNE 30, 2012 FOR CALIFORNIA TAX PURPOSES. THERE HAVE BEEN NO MATERIAL CHANGES IN UNRECOGNIZED BENEFITS AS OF JUNE 30, 2012, NOR ARE ANY MATERAL CHANGES ANTICIPATED IN THE TWELVE MONTHS FOLLOWING JUNE 20, 2012. THERE HAVE BEEN NO RELATED TAX PENALTIES OR INTEREST, WHICH WOULD BE CLASSIFIED AS A TAX EXPENSE IN THE STATEMENT OF ACTIVITIES. PART XI, LINE 8 - OTHER ADJUSTMENTS: CHANGE IN FAIR VALUE OF ASSETS HELD IN TRUST BY OTHERS -10,453. ANNUITIES ADJUSTMENT -245,076. TOTAL TO SCHEDULE D, PART XI, LINE 8: -255,529. PART XII, LINE 4B - OTHER ADJUSTMENTS: ANNUITIES ADJUSTMENT 245,076. CHANGE IN FAIR VALUE OF ASSETS HELD IN TRUST BY OTHERS 10,453. FINANCIAL AID 37,005,895. PART XIII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 37,005,895. 1 1 1 1 1 1 1 0 0 0 1 0 0 0 0 1 0 1 EXPLANATION OF NONDISCRIMINATORY POLICY PUBLICATION SCHEDULE E, PART I, LINE 3 THE COLLEGE ADVERTISES THE POLICY IN BROCHURES TO POTENTIAL STUDENTS AND ON THE COLLEGE'S WEBSITE. EXPLANATION OF RACIAL DISCRIMINATION SCHEDULE E, PART I, LINE 5 GENERALLY, OCCIDENTAL COLLEGE AWARDS SCHOLARSHIPS AND OTHER FINANCIAL ASSISTANCE IN A WAY TO AFFIRM OUR MISSION, "TO PROVIDE A GIFTED AND DIVERSE GROUP OF STUDENTS WITH A TOTAL EDUCATIONAL EXPERIENCE OF THE HIGHEST QUALITY -- ONE THAT PREPARES THEM FOR LEADERSHIP IN AN INCREASINGLY COMPLEX, INTERDEPENT AND PLURALISTIC WORLD." IN PARTICULAR, THE ACHIEVEMENT AWARD IS USED TO ENSURE THAT OUR STUDENT POPULATION MAINTAINS AS ETHNICALLY DIVERSE POPULATION AS POSSIBLE, AND IN THIS CASE, THE AWARD MIGHT BE USED TO MAKE IT POSSIBLE TO INCREASE THE ATTENDANCE OF MINORITIES. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 OCCIDENTAL COLLEGE PARTICIPATES IN THE FEDERAL PELL GRANT, WORK STUDY PROGRAMS AND THE SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANT. CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 136415 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 705529 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 2107411 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 102024 RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES STUDY ABROAD 13110 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 344619 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 68264 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 269332 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 26980613 NORTH AMERICA 0 0 INVESTMENTS 3713109 0 0 0 0 0 0 3746704 30693722 34440426 1 0 0 0 1 0 1 NATIONAL CENTER FOR APPROPRIATE TECHNOLOGY PO BOX 3838 BUTTE MT 59701 810361047 501(C)(3) 15198 TO SUPPORT COMMUNITY BASED FOOD SYSTEMS, STRENGTHEN FAMILY FARMS, AND REDUCE CHILDHOOD OBESITY BY ESTABLISHING A VIABLE AND SUSTAINABLE FARM TO SCHOOL NETWORK. TO PROMOTE AND EXPAND THE FARM TO SCHOOL MOVEMENT AT THE STATE, REGIONAL, AND NATIONAL LEVELS. TO INCREASE THE STRENGTH AND REACH OF THE NATIONAL FOOD TO SCHOOL NETWORK THROUGH STRATEGIC PARTNERSHIPS AND A MEMBERSHIP PROGRAM. TO SYNERGIZE FARM TO SCHOOL EFFORTS, AND TO DEVELOP AN EXTERNAL COMMUNICATIONS PLAN. NEW NORTH FLORIDA COOPERATIVE ASSOC 3806 UNION ROAD MARIANNA FL 32446 503388881 501(C)(3) 20725 TO INCREASE THE STRENGTH AND REACH OF THE NATIONAL FOOD TO SCHOOL NETWORK THROUGH STRATEGIC PARTNERSHIPS AND A MEMBERSHIP PROGRAM. TO SYNERGIZE FARM TO SCHOOL EFFORTS, AND TO DEVELOP AN EXTERNAL COMMUNICATIONS PLAN. UNIVERSITY OF WISCONSIN - MADISON DRAWER 538 MILWAUKEE WI 53278 396006492 501(C)(3) 17440 TO SUPPORT COMMUNITY BASED FOOD SYSTEMS, STRENGTHEN FAMILY FARMS, AND REDUCE CHILDHOOD OBESITY BY ESTABLISHING A VIABLE AND SUSTAINABLE FARM TO SCHOOL NETWORK. TO PROMOTE AND EXPAND THE FARM TO SCHOOL MOVEMENT AT THE STATE, REGIONAL, AND NATIONAL LEVELS. VERMONT FOOD EDUCATION EVERY DAY - SHELBURNE FARMS 1611 HARBOR ROAD SHELBURNE VT 05482 030229347 501(C)(3) 20294 TO INCREASE THE STRENGTH AND REACH OF THE NATIONAL FOOD TO SCHOOL NETWORK THROUGH STRATEGIC PARTNERSHIPS AND A MEMBERSHIP PROGRAM. TO SYNERGIZE FARM TO SCHOOL EFFORTS, AND TO DEVELOP AN EXTERNAL COMMUNICATIONS PLAN. FARM TO TABLE 618B PASEO DE PERALTA SANTA FE NM 87501 850438238 501(C)(3) 44241 TO SUPPORT COMMUNITY BASED FOOD SYSTEMS, STRENGTHEN FAMILY FARMS, AND REDUCE CHILDHOOD OBESITY BY ESTABLISHING A VIABLE AND SUSTAINABLE FARM TO SCHOOL NETWORK. TO PROMOTE AND EXPAND THE FARM TO SCHOOL MOVEMENT AT THE STATE, REGIONAL, AND NATIONAL LEVELS. APPALACHIAN SUSTAINABLE AGRICULTURE 306 W HAYWOOD STREET SUITE 200 ASHEVILLE NC 28801 061642769 501(C)(3) 48111 ASAP, A REGIONAL LEAD AGENCY TO SUPPORT THE CORE FUNCTIONS OF THE NFSN AT THE REGIONAL LEVEL THROUGH UPHOLDING AND PROMOTING THE VISION OF THE NFSN. PARTICIPATING IN STRATEGIC PLANNING FOR THE NETWORK, MARKETING AND FUNDRAISING, DEVELOPING PARTNERSHIPS, AND INFORMATION SHARING. THE FOOD TRUST 1 PENN CTR 1617 JFK BLVD STE 900 PHILADELPHIA PA 19103 232678383 501(C)(3) 23175 TO SUPPORT COMMUNITY BASED FOOD SYSTEMS, STRENGTHEN FAMILY FARMS, AND REDUCE CHILDHOOD OBESITY BY ESTABLISHING A VIABLE AND SUSTAINABLE FARM TO SCHOOL NETWORK. TO PROMOTE AND EXPAND THE FARM TO SCHOOL MOVEMENT AT THE STATE, REGIONAL, AND NATIONAL LEVELS. TO INCREASE THE STRENGTH AND REACH OF THE NATIONAL FOOD TO SCHOOL NETWORK THROUGH STRATEGIC PARTNERSHIPS AND A MEMBERSHIP PROGRAM. TO SYNERGIZE FARM TO SCHOOL EFFORTS, AND TO DEVELOP AN EXTERNAL COMMUNICATIONS PLAN. ECOTRUST 721 NW NINTH AVENUE SUITE 200 PORTLAND OR 97209 931050144 501(C)(3) 21478 TO INCREASE THE STRENGTH AND REACH OF THE NATIONAL FOOD TO SCHOOL NETWORK THROUGH STRATEGIC PARTNERSHIPS AND A MEMBERSHIP PROGRAM. TO SYNERGIZE FARM TO SCHOOL EFFORTS, AND TO DEVELOP AN EXTERNAL COMMUNICATIONS PLAN. UNIVERSITY OF NORTH CAROLINA- CHAPEL HILL 14 AIRPORT DRIVE SUITE 2200-CB1350 CHAPEL HILL NC 27599 566001393 501(C)(3) 20097 DEVELOPED EVALUATION TOOLS AND EVALUATED THE NSFN PROJECT, INCLUDING THE AREAS OF STRATEGIC PLANNING, MARKETING, POLICY, MEDIA, TRAINING, AND TECHNICAL ASSISTANCE, AND INFORMATION DEVELOPMENT AND DISSEMINATION. COMMUNITY FOOD SECURITY COALITION 3830 SE DIVISION STREET PORTLAND OR 94612 061495135 501(C)(3) 58652 TO INCREASE THE STRENGTH AND REACH OF THE NATIONAL FOOD TO SCHOOL NETWORK THROUGH STRATEGIC PARTNERSHIPS AND A MEMBERSHIP PROGRAM. TO SYNERGIZE FARM TO SCHOOL EFFORTS, AND TO DEVELOP AN EXTERNAL COMMUNICATIONS PLAN. CALIFORNIA FOOD POLICY ADVOCATES 436 14TH STREET SUITE 1220 OAKLAND CA 94612 943163142 501(C)(3) 12890 TO SUPPORT AND IMPLEMENT HEALTHIER FOOD CHOICES IN LA SCHOOLS, TO CONDUCT ADVOCACY TO SCHEDULE ADEQUATE TIME TO EAT BREAKFAST SUCH OFFERING BREAKFAST IN THE CLASSROOM OPPORTUNITIES AND DURING RECESS, TO ENSURE STUDENTS AND PARENTS ARE MORE INVOLVED IN THE DECISIONS THAT SHAPE THEIR SCHOOL NUTRITION ENVIRONMENT, AND CONTRIBUTE TO A VISIBLE REDUCTION IN THE PRESENCE OF COMPETITIVE FOODS AT THE SCHOOL SITES, PARTICULARLY SECONDARY SCHOOLS. NATIONAL FARM TO SCHOOL NETWORK - TIDES CENTER 8770 WEST BRYN MAWR AVENUE SUITE 1300 CHICAGO IL 60631 66925 SUPPORTING ACCESS TO AND INTEREST IN HEALTHY FOOD AND SCHOOL INITIATIVES TO PREVENT CHILDHOOD OBESITY. THE RESEARCH FOUNDATION PO BOX 9 ALBANY NY 12201 141368361 501(C)(3) 24498 TO SUPPORT A FLOURISHING, INTERDISCIPLINARY PROGRAM TO EDUCATE THE CHEMICAL AND PHYSICAL PROPERTIES OF BACTERIAL BIOFILMS AND BACTERIAL PREDATION WITHIN THESE BIOFILMS, WITH POTENTIAL APPLICATION TO AGRICULTURE, MEDICINE, AND BIODEFENSE. MOUNT HOLYOKE COLLEGE 50 COLLEGE ST SKINNER HALL RM 2 SOUTH HADLEY MA 01075 043103578 501(C)(3) 76317 TO SUPPORT A FLOURISHING, INTERDISCIPLINARY PROGRAM TO EDUCATE THE CHEMICAL AND PHYSICAL PROPERTIES OF BACTERIAL BIOFILMS AND BACTERIAL PREDATION WITHIN THESE BIOFILMS, WITH POTENTIAL APPLICATION TO AGRICULTURE, MEDICINE, AND BIODEFENSE. 13 1 PRIZES AND AWARDS 83 52061 STIPENDS 479 914722 STUDY GRANTS 114 154691 SCHOLARSHIPS 1505 37005895 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ALL GRANT AND CONTRACT ACTIVITY IS MONITORED AS NECESSARY TO ASSURE THAT ALL ACTIVITY IS IN COMPLIANCE WITH THE AWARDING AGENCIES STIPULATED TERMS AND CONDITIONS, AND THEIR REGULATIONS. ALL EXPENDITURES ARE REVIEWED ON A WEEKLY BASIS FOR ALLOWABILITY. X X X 1 1 X X X X 0 0 0 0 0 0 0 0 0 JONATHAN VEITCH 482287 0 0 0 6364 0 36500 0 112528 0 637679 0 0 0 JORGE GONZALEZ 251194 0 0 0 2298 0 23942 0 13052 0 290486 0 0 0 MICHAEL GROENER 205401 0 0 0 3586 0 21500 0 17026 0 247513 0 0 0 BARBARA AVERY 185057 0 0 0 2160 0 19256 0 65901 0 272374 0 0 0 PAMELA ANN MCQUESTEN 191985 0 0 0 1196 0 20200 0 22425 0 235806 0 0 0 AMOS R HIMMELSTEIN 222859 0 0 0 221 0 20375 0 9009 0 252464 0 0 0 DENNIS COLLINS 288064 0 0 0 3785 0 0 0 31072 0 322921 0 0 0 VINCE CUSEO 176606 0 0 0 651 0 32763 0 1409 0 211429 0 0 0 PHOEBE DEA 200952 0 0 0 3427 0 20618 0 995 0 225992 0 0 0 ERIC FRANK 215392 0 0 0 525 0 19813 0 11471 0 247201 0 0 0 DEREK SHEARER 182042 0 0 0 1333 0 18658 0 8638 0 210671 0 0 0 CHRIS CRANEY 184160 0 0 0 566 0 18257 0 8599 0 211582 0 0 0 IRENE GIRTON 184855 0 0 0 338 0 16797 0 8562 0 210552 0 0 0 PART I, LINE 1A HOUSING IS PROVIDED FOR CERTAIN INDIVIDUALS LISTED IN PART VII AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE COLLEGE. SOCIAL CLUB DUES ARE PROVIDED TO TWO OFFICERS AS A CONDITION OF EMPLOYMENT AND ARE NOT INCLUDED IN TAXABLE WAGES. USE OF THE SOCIAL CLUB IS FOR BUSINESS PURPOSES ONLY. PERSONAL SERVICES ARE PROVIDED TO CERTAIN OFFICERS AND ARE INCLUDED IN TAXABLE WAGES. SUPPLEMENTAL INFORMATION PART III SCHEDULE J, PART II, COLUMN D: NONTAXABLE BENEFITS INCLUDE THE VALUE OF ON-CAMPUS HOUSING PROVIDED TO JONATHAN VEITCH, PRESIDENT, BARBARA AVERY, VICE PRESIDENT OF STUDENT AFFAIRS AND DEAN OF STUDENTS, AND DENNIS COLLINS, SENIOR VICE PRESIDENT OF INSTITUTIONAL ADVANCEMENT, AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE COLLEGE. CEFA SERIES 2005A 521705592 1301752J0 2005-04-12 56486748 SEE SUPPLEMENTAL INFORMATION 0 0 0 CEFA SERIES 2005B 521705592 1301753J9 2005-04-12 16038768 SEE SUPPLEMENTAL INFORMATION 0 0 0 CEFA SERIES 2008 521705592 130178ND4 2008-03-06 19747741 SEE SUPPLEMENTAL INFORMATION 0 0 0 60293086 1941721 582150 573000 42782555 14413660 2012 0 1 0 1 16038768 121150 130000 15787618 2007 0 1 0 1 19919397 394835 18584502 940060 2012 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 PART I, LINE A, COLUMN F: DESCRIPTION OF PURPOSE: FINANCE THE ACQUISITION, CONSTRUCTION, RENOVATION, REHABILITATION, FURNISHING AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES OF THE COLLEGE PART I, LINE B, COLUMN F: DESCRIPTION OF PURPOSE: REFUND A PORTION OF THE OUTSTANDING 1997 BONDS AND PAY COSTS INCURRED IN CONNECTION WITH THE ISSUANCE OF THE BONDS PART I, LINE C, COLUMN F: DESCRIPTION OF PURPOSE: FINANCE THE ACQUISITION, CONSTRUCTION, RENOVATION, REHABILITATION, FURNISHING AND EQUIPPING OF CERTAIN EDUCATIONAL FACILITIES OF THE COLLEGE SCHEDULE K, PART II, LINE 3 THE DIFFERENCE BETWEEN THE PROCEEDS AMOUNT ON LINE 3 AND THE ISSUE PRICE IN PART I REPRESENTS INTEREST EARNED. SCHEDULE K, PART II, LINE 13 FINAL ALLOCATION WAS DONE IN 2013 FOR THE CEFA SERIES 2005 BONDS AND IS EXPECTED TO BE DONE FOR THE CEFA SERIES 2008. SCHEDULE K, PART V ON APRIL 30, 2013, THE COLLEGE ESTABLISHED WRITTEN PROCEDURES TO ENSURE THAT VIOLATIONS OF FEDERAL TAX REQUIREMENTS ARE TIMELY IDENTIFIED AND CORRECTED THROUGH THE VOLUNTARY CLOSING AGREEMENT PROGRAM IF SELF-REMEDIATION IS NOT AVAILABLE UNDER APPLICABLE REGULATIONS. MATTHEW CALKINS FAMILY MEMBER OF CHRISTOPHER CALKINS, VICE CHAIR 104862 EMPLOYMENT 0 ANDREW SHTULMAN FAMILY MEMBER OF STEPHEN ROUNTREE, TRUSTEE 103892 EMPLOYMENT 0 X 3 726 DONOR RECEIPTS X 2 471 FMV X 4 FMV X 13567 DONOR RECEIPTS X 7 1258622 FMV X 2 904000 PROFESSIONAL APPRAISAL X 25 4919 DONOR RECEIPTS X GIFT CERTIFICATES 40 5238 FMV X ADMISSION TICKETS 12 1285 FMV X TECHNOLOGY 7 116020 FMV X MISCELLANEOUS ITEMS 6 240497 FMV 0 0 1 1 THIRD PARTY USE: PART I, LINE 32B: THE COLLEGE WILL UTILIZE OUTSIDE VENDORS ON AN AS NEEDED BASIS DEPENDING UPON THE TYPE OF NON-CASH GIFT. FORM 990, PART VI, SECTION B, LINE 11 THE COLLEGE PROVIDES THE FORM 990 INFORMATION TO THE INDEPENDENT TAX PREPARER. ONCE THEY HAVE COMPLETED THE FORM 990, THEY RETURN A DRAFT TO THE COLLEGE. THE ASSOCIATE VICE PRESIDENT FOR FINANCE AND VICE PRESIDENT FOR FINANCE AND PLANNING PERFORM A THOROUGH REVIEW OF THE DRAFT RETURN. ALL NECESSARY CORRECTIONS ARE MADE TO THE FORM 990. THE AUDIT COMMITTEE REVIEWS THE DRAFT PUBLIC DISCLOSURE COPY OF THE FORM 990 (SCHEDULE B DOES NOT INCLUDE DONOR NAMES AND ADDRESSES). THE FULL DRAFT FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE CHAIR. THE INDEPENDENT TAX PREPARER PRESENTS THE DRAFT PUBLIC DISCLOSURE COPY OF THE RETURN TO THE AUDIT COMMITTEE AND ALLOWS FOR QUESTIONS AND DISCUSSION. ANY CHANGES THAT ARE IDENTIFIED BY THE AUDIT COMMITTEE ARE MADE TO THE FORM 990. AT THAT POINT, THE PUBLIC INSPECTION COPY OF THE FORM 990 IS MADE AVAILABLE TO THE FULL BOARD OF TRUSTEES. THE FORM 990 IS SIGNED BY THE INDEPENDENT TAX PREPARER AND SUBMITTED TO THE INTERNAL REVENUE SERVICE BY THE DUE DATE. FORM 990, PART VI, SECTION B, LINE 12C EVERY YEAR THE COLLEGE SENDS THE CONFLICT OF INTEREST QUESTIONNAIRE TO APPROPRIATE PERSONS. RESPONSES ARE FOLLOWED UP ON TO ENSURE WE RECEIVE 100% OF ALL QUESTIONNAIRES. RESPONSES ARE REVIEWED BY THE OFFICE OF THE VICE PRESIDENT OF FINANCE AND PLANNING. ANY CONFLICTS THAT HAVE NOT BEEN BROUGHT TO THE AUDIT COMMITTEE PREVIOUSLY ARE BROUGHT TO THE AUDIT COMMITTEE TO DISCUSS. IF A CONFLICT EXISTS, THE INDIVIDUAL WILL RECUSE HIMSELF/HERSELF FROM INVOLVEMENT IN THE MATTER. FORM 990, PART VI, SECTION B, LINE 14: THE COLLEGE HAS A CAMPUS-WIDE POLICY IN PLACE FOR DOCUMENT RETENTION AND DESTRUCTION THAT HAS BEEN APPROVED BY MANAGEMENT. THE POLICY NEEDS TO BE REVISED AND THE COLLEGE INTENDS TO PRESENT THE REVISED POLICY TO THE COLLEGE'S GOVERNING BOARD FOR APPROVAL. FORM 990, PART VI, SECTION B, LINE 15 THE COLLEGE'S PROCESS IN FISCAL YEAR 2012 FOR DETERMINING OFFICER COMPENSATION IS 1) OBTAINING COMPARISON DATA 2) COMPENSATION IS DETERMINED BASED ON THE COMPARISON DATA 3) COMPENSATION IS APPROVED BY THE EXECUTIVE COMPENSATION COMMITTEE 4) THE EXECUTIVE COMPENSATION COMMITTEE'S DELIBERATION AND DECISION MAKING PROCESS REGARDING OFFICER COMPENSATION IS CONTEMPORANEOUSLY SUBSTANTIATED. FORM 990, PART VI, SECTION C, LINE 19 THE COLLEGE MAKES ITS FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON THE COLLEGE'S WEBSITE WHICH IS ACCESSIBLE TO THE PUBLIC. THE GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE NOT AVAILABLE FOR PUBLIC INSPECTION. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -21,197,136. CHANGE IN FAIR VALUE OF ASSETS HELD IN TRUST BY OTHERS -10,453. ANNUITIES ADJUSTMENT -245,076. TOTAL TO FORM 990, PART XI, LINE 5: -21,452,665. CHARITABLE REMAINDER TRUSTS (36) 1600 CAMPUS ROAD LOS ANGELES CA 90041 FUNDRAISING CA N/A T 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 CHARITABLE REMAINDER TRUST (3) C 2771473 FMV