2013-05-09T17:30:07-05:00 2012-06-30 990 2011-07-01 362177139 UNIVERSITY OF CHICAGO UNIV 7737021941 5801 S ELLIS AVENUE CHICAGO IL 60637 JOHN R KROLL 7737021941 2013-05-09 2011 2016-02-25 16:41:14Z ROBERT J ZIMMER 5801 S ELLIS AVENUE CHICAGO IL 60637 2454194243 0 X WWW.UCHICAGO.EDU X 1890 IL THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 52 41 19618 10660 10577578 0 704552617 717944430 1102128862 1095101204 412268177 335854342 52554613 58812749 2271504269 2207712725 337549289 346290502 0 0 1154330959 1212115872 0 0 59469000 560707120 743076639 2052587368 2301483013 218916901 -93770288 9405971301 9619035065 3440257301 3814462065 5965714000 5804573000 X THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 0 0 822043321 629288242 INSTRUCTION:IN 2011-2012, THE UNIVERSITY ENROLLED 15,393 STUDENTS, OF THAT TOTAL, 5,369 WERE UNDERGRADUATE STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE SCHOOL), 3,753 WERE GRADUATE STUDENTS, 5,441 WERE STUDENTS IN THE UNIVERSITY'S PROFESSIONAL SCHOOLS AND 830 WERE NON-DEGREE STUDENTS. 270846268 382863375 RESEARCH:UNIVERSITY OF CHICAGO FACULTY CROSS TRADITIONAL DISCIPLINARY BOUNDARIES TO TRANSFORM UNDERSTANDINGS IN BUSINESS, ECONOMICS, HISTORY, LAW, LITERATURE, RELIGION, PHYSICS, CHEMISTRY AND BIOLOGY AND MEDICINE, AMONG OTHER FIELDS. IN PURSUIT OF THESE RESEARCH ENDEAVORS, DURING FISCAL YEAR 2011-2012 THE UNIVERSITY WAS AWARDED A TOTAL OF $466.3 MILLION IN RESEARCH FUNDING FROM FEDERAL AGENCIES, NON-FEDERAL GOVERNMENT ENTITIES, CORPORATIONS, FOUNDATIONS AND OTHER SOURCES. THIS FISCAL YEAR $382.9 MILLION WAS EXPENDED FROM FEDERAL GOVERNMENT SPONSORS OF RESEARCH, WITH THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES AND THE NATIONAL SCIENCE FOUNDATION PROVIDING THE LARGEST AMOUNTS OF FUNDING. FOUNDATION RESEARCH SPONSORSHIP AWARDS TOTALED $45.8 MILLION, FOLLOWED BY CORPORATE RESEARCH SPONSORSHIP OF $41.7 MILLION.THE UNIVERSITY ALSO CONDUCTS SCIENTIFIC RESEARCH IN COLLABORATION WITH ARGONNE NATIONAL LABORATORY, OWNED BY THE UNITED STATES GOVERNMENT AND OPERATED BY THE UNIVERSITY THROUGH A RELATED ORGANIZATION, UNDER THE TERMS OF A COST REIMBURSEMENT CONTRACT WITH THE U.S. DEPARTMENT OF ENERGY. ARGONNE IS A MULTI-PURPOSE SCIENCE LABORATORY WITH A $768 MILLION ANNUAL BUDGET AND APPROXIMATELY 3400 EMPLOYEES. IN ADDITION, FERMI RESEARCH ALLIANCE, LLC, AN ENTITY JOINTLY OWNED BY THE UNIVERSITY AND UNIVERSITIES RESEARCH ASSOCIATION INC., OPERATES FERMI NATIONAL ACCELERATOR LABORATORY ("FERMILAB") FOR THE U.S. DEPARTMENT OF ENERGY. FERMILAB IS THE NATION'S PREEMINENT CENTER FOR HIGH-ENERGY PHYSICS AND AN INTERNATIONAL CENTER FOR SCIENTIFIC RESEARCH IN ELEMENTARY PARTICLE PHYSICS AND ASTROPHYSICS. FERMILAB HAS A $434 MILLION ANNUAL BUDGET AND OVER 1800 EMPLOYEES. 294393426 SCHOLARSHIPS & FELLOWSHIPS:THE UNIVERSITY IS A NEED BLIND INSTITUTION WITH AN EXTENSIVE FINANCIAL AID PROGRAM WHICH IS DESIGNED TO ENABLE THE MOST QUALIFIED STUDENTS TO ATTEND THE UNIVERSITY REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. FOR THE 2011-2012 ACADEMIC YEAR, APPROXIMATELY 55 PERCENT OF ALL STUDENTS IN THE COLLEGE RECEIVED FINANCIAL AID IN THE FORM OF GRANTS AND SCHOLARSHIPS. UNIVERSITY-WIDE EXPENDITURES FOR SCHOLARSHIPS AND FELLOWSHIPS AMOUNTED TO $294.3 MILLION. OF THIS AMOUNT, APPROXIMATELY $211.2 MILLION WAS PROVIDED FROM UNRESTRICTED FUNDS; THE REMAINING $83.1 MILLION CAME FROM RESTRICTED SOURCES. MORE THAN ELEVEN HUNDRED STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE COLLEGE) CURRENTLY RECEIVE ODYSSEY SCHOLARSHIPS. THE ODYSSEY SCHOLARSHIPS PROVIDE INCREASED ACCESS FOR LOW-INCOME AND MODERATE-INCOME STUDENTS BY ELIMINATING LOANS FOR THOSE WITH FAMILY INCOME BELOW $75,000 AND REDUCING LOAN INDEBTEDNESS FOR MANY OTHERS. THE UNIVERSITY EXPANDED ITS GRADUATE AID INITIATIVE, A PROGRAM THAT INVESTS APPROXIMATELY $310,000 IN THE EDUCATION OF EACH PH.D. STUDENT IN THE HUMANITIES, SOCIAL SCIENCES AND DIVINITY SCHOOL. THESE PROGRAMS ARE IN ADDITION TO THE UNIVERSITY'S LONGSTANDING COMMITMENT TO FINANCIAL ASSISTANCE FOR STUDENTS. 668315202 465812962 THE OTHER PROGRAM SERVICES THAT SUPPORT THE MISSION OF INSTRUCTION AND RESEARCH ARE:AUXILIARY ENTERPRISESLIBRARYOTHER STUDENT SERVICESINFORMATION SERVICESOPERATION AND MAINTENANCE OF PLANT 668315202 465812962 2055598217 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 1 1 1 1 1 1 0 1 0 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 0 0 0 1 1 1 1 1 0 1 X 22913 0 1 19618 1 1 1 1 EG FR CH HK IN SN UK BG BR RS SF 0 0 1 1 1 1 0 0 0 0 X 52 41 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 OK WA X JOHN R KROLL 7737021941 6054 S DREXEL AVENUE CHICAGO IL 60637 ANDREW M ALPER 18.00 X 0 0 0 JACK W FULLER 18.00 X 0 0 0 PAUL G YOVOVICH 18.00 X 0 0 0 SEKHAR BAHADUR 2.00 X 0 0 0 DAVID G BOOTH 2.00 X 0 0 0 DAVID B BROOKS 2.00 X 0 0 0 THOMAS A COLE 2.00 X 0 0 0 E DAVID COOLIDGE III 2.00 X 0 0 0 JAMES S CROWN 2.00 X 0 0 0 KATHARINE P DARROW 2.00 X 0 0 0 DANIEL L DOCTOROFF 2.00 X 0 0 0 BRADY W DOUGAN 2.00 X 0 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X X X X 0 5691013000 82079000 265909000 43210000 277366000 17006000 5701419000 4904717000 128430000 1009407000 42632000 294918000 13991000 5691013000 4535634000 126671000 695590000 39774000 402328000 11076000 4904717000 5933761000 110214000 33303000 258775000 9422000 4535634000 0.32000 0.23000 0.45000 0 0 68426219 68426219 3013627634 877603595 2136024039 432079011 255525855 176553156 287270917 216139375 71131542 2452134956 CLOSELY HELD EQUITY INTERESTS 2785648785 F REAL ESTATE & NATURAL RESOURCES 1347315486 F 4132964271 SELF INSURANCE LIABILITY 256032099 FUNDS HELD IN CUSTODY FOR OTHERS 99642161 ASSET RETIREMENT OBLIGATION 56257280 411931540 2207712725 2301483013 -93770288 -67369889 -823 -67370712 -161141000 2168443203 -67369889 31367426 -36002463 2204445666 3267059 3267059 2207712725 2329583380 31367426 31367426 2298215954 3267059 3267059 2301483013 PART III, LINE 4: THE UNIVERSITY OF CHICAGO HAS TWO MUSEUMS - THE DAVID AND ALFRED SMART MUSEUM OF ART (SMART MUSEUM) AND THE ORIENTAL INSTITUTE MUSEUM OF THE UNIVERSITY OF CHICAGO (ORIENTAL INSTITUTE MUSEUM). THE SMART MUSEUM PROMOTES THE UNDERSTANDING OF THE VISUAL ARTS AND THEIR IMPORTANCE TO CULTURAL AND INTELLECTUAL HISTORY THROUGH DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART AND THROUGH AN INTERDISCIPLINARY APPROACH TO ITS COLLECTIONS, EXHIBITIONS, PUBLICATIONS AND PROGRAMS. THE SCOPE OF ITS PERMANENT COLLECTIONS, SPECIAL EXHIBITIONS, FOCUS ON RESEARCH AND TEACHING BY THE UNIVERSITY OF CHICAGO SCHOLARS AND OUTREACH AND EDUCATIONAL PROGRAMS TO BOTH ADULTS AND SCHOOL AGE CHILDREN MAKE SMART MUSEUM ONE OF THE MIDWEST'S MOST DYNAMIC AND INNOVATIVE EDUCATIONAL INSTITUTIONS IN THE VISUAL ARTS. THE ORIENTAL INSTITUTE MUSEUM IS A WORLD RENOWNED SHOWCASE FOR THE HISTORY, ART AND ARCHAEOLOGY OF THE ANCIENT NEAR EAST. THE COLLECTIONS ARE USED EXTENSIVELY FOR RESEARCH, TEACHING AND EXHIBITIONS. ITS APPROACH TO INTEGRATE ARCHAEOLOGICAL, TEXTUAL AND ART HISTORICAL DATA TO UNDERSTAND THE DEVELOPMENT AND FUNCTIONS OF THE ANCIENT CIVILIZATIONS OF THE NEAR EAST MAKE IT AN EXCEPTIONAL RESOURCE FOR THE UNIVERSITY COMMUNITY AS WELL AS THE COMMUNITY AT LARGE. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE UNIVERSITY'S USE OF ENDOWMENT FUNDS IS INSEPARABLE FROM THE OVERALL ACADEMIC MISSION AS ONE OF THE WORLD'S LEADING RESEARCH UNIVERSITIES. ENDOWMENT FUNDS ARE USED TO SUPPORT INSTRUCTION AND RESEARCH PROGRAMS; SUPPORT PROFESSORSHIPS; SUPPORT FINANCIAL AID FOR UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS; SUPPORT THE ACQUISITION, RESTORATION AND PRESERVATION OF BOOKS AND OTHER MATERIALS IN THE LIBRARIES; AND SUPPORT THE ON-GOING OPERATIONS OF THE PHYSICAL PLANT, GROUNDS, AND EQUIPMENT. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE UNIVERSITY IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, EXCEPT TO THE EXTENT THAT THE UNIVERSITY HAS UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL INCOME TAXES. THERE WAS NO PROVISION FOR INCOME TAXES DUE ON UNRELATED BUSINESS INCOME IN FISCAL YEARS 2012 AND 2011. THE UNIVERSITY HAS NO UNCERTAIN TAX POSITIONS, WHICH THE UNIVERSITY CONSIDERS TO BE MATERIAL. PART XI, LINE 8 - OTHER ADJUSTMENTS: MISCELLANEOUS ROUNDING ADJUSTMENT -823. PART XII, LINE 2D - OTHER ADJUSTMENTS: ADJUSTMENT FOR COST OF GOODS SOLD 26,055,150. COST OF DISPOSED EQUIPMENT 5,312,276. PART XIII, LINE 2D - OTHER ADJUSTMENTS: ADJUSTMENT FOR COST OF GOODS SOLD 26,055,150. COST OF DISPOSED EQUIPMENT 5,312,276. SCHEDULE D, PART XI, LINE 8 THERE IS A MISCELLANEOUS ROUNDING ADJUSTMENT OF $823 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 DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND AROUND THE WORLD, FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY, AS EMBODIED IN THE UNIVERSITY'S POLICY ON UNLAWFUL DISCRIMINATION AND HARASSMENT, AND INCLUDES A STATEMENT OF ITS NONDISCRIMINATORY POLICY ON ITS BROCHURES, CATALOGUES AND APPLICATION MATERIALS DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE UNIVERSITY OF CHICAGO RECEIVES FUNDING FROM VARIOUS GOVERNMENTAL AGENCIES FOR STUDENT FINANCIAL AID. 0 EUROPE (INCLUDING ICELAND & GREENLAND) 2 31 PROGRAM SERVICES INSTRUCTION 18897439 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES INSTRUCTION 71147 SUB-SAHARAN AFRICA 4 PROGRAM SERVICES INSTRUCTION 311733 EAST ASIA AND THE PACIFIC 1 18 PROGRAM SERVICES INSTRUCTION 13974162 SOUTH ASIA PROGRAM SERVICES INSTRUCTION 185634 NORTH AMERICA PROGRAM SERVICES INSTRUCTION 87076 MIDDLE EAST AND NORTH AFRICA 1 PROGRAM SERVICES INSTRUCTION 244214 SOUTH ASIA 3 PROGRAM SERVICES RESEARCH 1237387 EAST ASIA AND THE PACIFIC 1 6 PROGRAM SERVICES RESEARCH 2190489 MIDDLE EAST AND NORTH AFRICA 1 11 PROGRAM SERVICES RESEARCH 638570 EUROPE (INCLUDING ICELAND & GREENLAND) 2 PROGRAM SERVICES RESEARCH 79005 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SUBAWARD 1374879 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES SUBAWARD 46866 SUB-SAHARAN AFRICA PROGRAM SERVICES SUBAWARD 333043 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SUBAWARD 160269 SOUTH ASIA PROGRAM SERVICES SUBAWARD 607397 NORTH AMERICA PROGRAM SERVICES SUBAWARD 273751 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES SUBAWARD 130003 SOUTH AMERICA PROGRAM SERVICES SUBAWARD 67995 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES STUDENT AID/STIPENDS 3240955 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES STUDENT AID/STIPENDS 18100 SUB-SAHARAN AFRICA PROGRAM SERVICES STUDENT AID/STIPENDS 158134 EAST ASIA AND THE PACIFIC PROGRAM SERVICES STUDENT AID/STIPENDS 398988 SOUTH ASIA PROGRAM SERVICES STUDENT AID/STIPENDS 195473 NORTH AMERICA PROGRAM SERVICES STUDENT AID/STIPENDS 9000 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES STUDENT AID/STIPENDS 194256 SOUTH AMERICA PROGRAM SERVICES STUDENT AID/STIPENDS 35500 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES STUDENT AID/STIPENDS 3000 EUROPE (INCLUDING ICELAND & GREENLAND) FUNDRAISING 622443 EAST ASIA AND THE PACIFIC FUNDRAISING 522068 EAST ASIA AND THE PACIFIC UNRELATED BUSINESS INCOME 43349 CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 1726193871 EAST ASIA AND THE PACIFIC INVESTMENTS 76073384 EUROPE (INCLUDING ICELAND & GREENLAND) INVESTMENTS 316621960 NORTH AMERICA INVESTMENTS 54339543 EUROPE (INCLUDING ICELAND & GREENLAND) INVESTMENTS 42147499 3 57 2 19 5 76 35008792 2226719790 2261728582 X EAST ASIA AND THE PACIFIC SUBAWARD 160269 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 274923 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 7824 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 166924 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 5758 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 153391 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 98577 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 108486 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 167143 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 119916 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 70783 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 59159 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 84996 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 57000 WIRE MIDDLE EAST AND NORTH AFRICA SUBAWARD 130003 WIRE NORTH AMERICA SUBAWARD 150235 WIRE NORTH AMERICA SUBAWARD 20016 WIRE NORTH AMERICA SUBAWARD 103500 WIRE RUSSIA & THE NEWLY INDEPENDENT STATES SUBAWARD 46866 WIRE SOUTH AMERICA SUBAWARD 27410 WIRE SOUTH AMERICA SUBAWARD 40584 WIRE SOUTH ASIA SUBAWARD 48300 WIRE SOUTH ASIA SUBAWARD 517760 WIRE SOUTH ASIA SUBAWARD 41337 WIRE SUB-SAHARAN AFRICA SUBAWARD 134413 WIRE SUB-SAHARAN AFRICA SUBAWARD 5673 WIRE SUB-SAHARAN AFRICA SUBAWARD 192957 WIRE STUDENT AID EAST ASIA AND THE PACIFIC 22 256688 CHECK STUDENT AID EUROPE (INCLUDING ICELAND & GREENLAND) 223 3114580 CHECK STUDENT AID MIDDLE EAST AND NORTH AFRICA 14 154806 CHECK STUDENT AID RUSSIA & THE NEWLY INDEPENDENT STATES 1 5100 CHECK STUDENT AID SOUTH ASIA 12 152423 CHECK STUDENT AID SUB-SAHARAN AFRICA 13 141934 CHECK SUMMER STUDENT GRANTS CENTRAL AMERICA AND THE CARIBBEAN 1 3000 CHECK SUMMER STUDENT GRANTS EAST ASIA AND THE PACIFIC 44 142300 CHECK SUMMER STUDENT GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 43 126375 CHECK SUMMER STUDENT GRANTS MIDDLE EAST AND NORTH AFRICA 14 39450 CHECK SUMMER STUDENT GRANTS NORTH AMERICA 3 9000 CHECK SUMMER STUDENT GRANTS RUSSIA & THE NEWLY INDEPENDENT STATES 4 13000 CHECK SUMMER STUDENT GRANTS SOUTH AMERICA 13 35500 CHECK SUMMER STUDENT GRANTS SOUTH ASIA 13 43050 CHECK SUMMER STUDENT GRANTS SUB-SAHARAN AFRICA 5 16200 CHECK 1 1 1 1 1 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. 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501(C)(3) OR GOV 151559 SUBAWARD BERRY COLLEGE P O BOX 490129 MOUNT BERRY GA 30149 580566133 501(C)(3) OR GOV 78793 SUBAWARD BETH ISRAEL MEDICAL CENTER 330 BROOKLINE AVENUE BOSTON MA 02215 042103881 501(C)(3) OR GOV 16500 SUBAWARD BIOSPHERICAL INSTRUMENTS 5340 RILEY STREET SAN DIEGO CA 92110 953292603 146790 SUBAWARD BOSTON MEDICAL CENTER 660 HARRISON AVENUE GAMBRO 2 BOSTON MA 02118 043314093 501(C)(3) OR GOV 14985 SUBAWARD BRIGHAM AND WOMEN'S HOSPITAL 101 HUNTINGTON STREET SUITE 305 BOSTON MA 02199 042312909 501(C)(3) OR GOV 111706 SUBAWARD BRIGHAM YOUNG UNIVERSITY 150 E BULLDOG BLVD A-261 ASB PROVO UT 84602 870217280 501(C)(3) OR GOV 268342 SUBAWARD CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 44106 341018992 501(C)(3) OR GOV 796223 SUBAWARD CHICAGO STATE UNIVERSITY 9501 SOUTH KING DRIVE ADM-213 CHICAGO IL 60628 362580815 501(C)(3) OR GOV 21391 SUBAWARD CHILD & FAMILY POLICY INSTITUTE OF CALIFORNIA 1331 GARDEN HIGHWAY SACRAMENTO CA 95833 830371079 501(C)(3) OR GOV 94172 SUBAWARD CHILDREN'S HOSPITAL LOS ANGELES 4650 SUNSET BLVD LOS ANGELES CA 90027 951690977 501(C)(3) OR GOV 22593 SUBAWARD CHILDREN'S HOSPITAL MEDICAL CENTER (CINCINNATI) 3333 BURNETT AVENUE CINCINNATI OH 46202 310833963 501(C)(3) OR GOV 224746 SUBAWARD CLARIAN HEALTH PARTNERS INC 1-65 AND 21ST STREET INDIANAPOLIS IN 46202 351955872 501(C)(3) OR GOV 41014 SUBAWARD COLUMBIA UNIVERSITY 615 W 135TH STREET NEW YORK NY 10027 135598093 501(C)(3) OR GOV 568657 SUBAWARD COMPLETE GENOMICS INC 2071 STIERLIN COURT MOUNTAIN VIEW CA 94043 203226545 501(C)(3) OR GOV 444000 SUBAWARD CORNELL UNIVERSITY 395 PINE TREE ROAD SUITE 302 ITHACA NY 14850 150532082 501(C)(3) OR GOV 328826 SUBAWARD CRDF GLOBAL DBA US CIVILIAN RESEARCH 1530 WILSON BLVD 3RD FLOOR ARLINGTON VA 22209 541773406 501(C)(3) OR GOV 61650 SUBAWARD DARTMOUTH COLLEGE 11 ROPE FERRY ROAD HANOVER NH 03755 020222111 501(C)(3) OR GOV 148018 SUBAWARD DE PAUL UNIVERSITY 1 EAST JACKSON BOULEVARD CHICAGO IL 60604 362167048 501(C)(3) OR GOV 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30302 586002050 501(C)(3) OR GOV 95314 SUBAWARD HARVARD UNIVERSITY 667 HUNTINGTON AVENUE BOSTON MA 02115 042103580 501(C)(3) OR GOV 318947 SUBAWARD HEKTOEN INSTITUTE OF MEDICINE 2240 W OGDEN AVENUE 2ND FLOOR CHICAGO IL 60612 362244897 501(C)(3) OR GOV 33580 SUBAWARD HENRY FORD HEALTH SYSTEMS 2799 WEST GRAND BOULEVARD DETROIT MI 48202 381357020 501(C)(3) OR GOV 47795 SUBAWARD HOLY CROSS HOSPITAL 2701 W 68TH STREET CHICAGO IL 60629 362170133 501(C)(3) OR GOV 34195 SUBAWARD ILLINOIS CANCER CARE 8940 N WOOD SAGE ROAD PEORIA IL 61615 371409840 501(C)(3) OR GOV 20450 SUBAWARD ILLINOIS INSTITUTE OF TECHNOLOGY 3300 S FEDERAL STREET MAIN BLDG RM 308 CHICAGO IL 60616 362170136 501(C)(3) OR GOV 137334 SUBAWARD INDIANA UNIVERSITY POPLARS 426 400 E 7TH ST BLOOMINGTON IN 47405 356001673 501(C)(3) OR GOV 1095424 SUBAWARD INGALLS MEMORIAL HOSPITAL ONE INGALLS DRIVE HARVEY IL 60426 362170866 501(C)(3) OR GOV 22500 SUBAWARD INNOVATIONS FOR POVERTY ACTION 101 WHITNEY AVENUE NEW HAVEN CT 06510 061660068 501(C)(3) OR GOV 246857 SUBAWARD IOWA STATE UNIVERSITY 3606 ADMIN SVDS BLDG 1099 ADDRESS ONLY AMES IA 50011 426004224 501(C)(3) OR GOV 109730 SUBAWARD ITT- AES INC 12975 WORLDGATE DRIVE HERNDON VA 20170 452083813 109143 SUBAWARD JOHNS HOPKINS UNIVERSITY 1101 E 33RD STREET BALTIMORE MD 21218 520595110 501(C)(3) OR GOV 504834 SUBAWARD KAISER FOUNDATION 1800 HARRISON STREET MENLO PARK CA 94025 941105628 501(C)(3) OR GOV 1176509 SUBAWARD KENNEDY KING COLLEGE 6301 SOUTH HALSTED CHICAGO IL 60621 362606236 501(C)(3) OR GOV 57845 SUBAWARD KNOWLEDGE NETWORKS INC 1350 WILLOW ROAD SUITE 102 MENLO PARK CA 94025 943314617 663526 SUBAWARD KUMC RESEARCH INSTITUTE INC 3901 RAINBOW BOULEVARD KANSAS CITY KS 66160 481108830 501(C)(3) OR GOV 53530 SUBAWARD LAWRENCE BERKELEY NATIONAL LAB ONE CYCLOTRON ROAD BERKELEY CA 94704 942951741 501(C)(3) OR GOV 22450 SUBAWARD LOCAL INITIATIVE SUPORT CORP 501 SEVENTH AVENUE 7TH FLOOR NEW YORK NY 10018 133030229 46200 SUBAWARD LOS ANGELES BIOMEDICAL RESEARCH INSTITUTE 1124 W CARSON STREET BLDG N-14 TORRANCE CA 90502 952138184 501(C)(3) OR GOV 18929 SUBAWARD LOUISIANA STATE UNIVERSITY 202 HIMES HALL BATON ROUGE LA 70803 726000848 501(C)(3) OR GOV 209133 SUBAWARD LOYOLA UNIVERSITY 820 N MICHIGAN AVENUE CHICAGO IL 60611 361408475 501(C)(3) OR GOV 71683 SUBAWARD LUDWIG INSTITUTE FOR CANCER RESEARCH 9500 GILMAN DRIVE - RM 3041 LA JOLLA CA 92093 237121131 501(C)(3) OR GOV 18832 SUBAWARD MARQUETTE UNIVERSITY P O BOX 1881 MILWAUKEE WI 53201 390806251 501(C)(3) OR GOV 70907 SUBAWARD MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 02114 042697983 501(C)(3) OR GOV 395491 SUBAWARD MASSACHUSETTS INSTITUTE OF TECHNOLOGY SUITE NE49-4161 CAMBRIDGE MA 02139 042103594 501(C)(3) OR GOV 780418 SUBAWARD MDRC RESEARCH CORPORATION 16 EAST 34TH STREET NEW YORK NY 10016 237379473 501(C)(3) OR GOV 151896 SUBAWARD MEDICAL COLLEGE OF WISCONSIN 8701 WATERTOWN PLANK ROAD MILWAUKEE WI 53226 390806261 501(C)(3) OR GOV 510361 SUBAWARD MERCY HOSPITALS EAST COMMUNITIES 615 SOUTH NEW BALLAS ROAD ST LOUIS MO 63141 430653493 501(C)(3) OR GOV 7725 SUBAWARD MICHIGAN STATE UNIVERSITY 301 ADMINISTRATION BLDG EAST LANSING MI 48917 386005984 501(C)(3) OR GOV 171794 SUBAWARD MIDWEST CLINICIANS' NETWORK INC 7215 WESTSHIRE DRIVE LANSING MI 48917 383189461 501(C)(3) OR GOV 49606 SUBAWARD MONTANA STATE UNIVERSITY 309 MONTANA HALL PO BOX 172470 BOZEMAN MT 59717 810302402 501(C)(3) OR GOV 49170 SUBAWARD MPC CORPORATION 5000 FORBES AVENUE 509 UTDC PITTSBURGH PA 15213 251128244 501(C)(3) OR GOV 1539715 SUBAWARD NATIONAL BUREAU OF ECONOMIC RESEARCH 1050 MASSACHUSETTS AVENUE CAMBRIDGE MA 02138 131641075 501(C)(3) OR GOV 359244 SUBAWARD NATIONAL OPINION RESEARCH CENTER 55 EAST MONROE STREET CHICAGO IL 60603 362167808 501(C)(3) OR GOV 284866 SUBAWARD NATIONWIDE CHILDREN'S HOSPITAL GROUP 700 CHILDRENS DRIVE COLUMBUS OH 43205 010782751 501(C)(3) OR GOV 5625 SUBAWARD NEUROPSYCHIATRIC RESEARCH INSTITUTE 700 FIRST AVENUE SOUTH FARGO ND 58107 450274828 501(C)(3) OR GOV 10526 SUBAWARD NEW YORK UNIVERSITY 726 BROADWAY NEW YORK NY 10003 135562308 501(C)(3) OR GOV 76531 SUBAWARD NORTHEASTERN UNIVERSITY 360 HUNTINGTON AVENUE BOSTON MA 02115 041679980 501(C)(3) OR GOV 12275 SUBAWARD NORTHERN ILLINOIS UNIVERSITY LOWDEN HALL SUITE 201 DEKALB IL 60115 100064401 501(C)(3) OR GOV 77709 SUBAWARD NORTHSHORE UNIVERSITY HEALTH SYSTEM 2650 RIDGE AVENUE - G221 EVANSTON IL 60201 362167060 501(C)(3) OR GOV 95799 SUBAWARD NORTHWESTERN UNIVERSITY 633 CLARK STREET SUITE G-547 EVANSTON IL 60208 362167817 501(C)(3) OR GOV 2138215 SUBAWARD OHIO STATE UNIVERSITY 901 WOODY HAYES DRIVE COLUMBUS OH 43210 316025986 501(C)(3) OR GOV 573343 SUBAWARD ONCOLOGY HEMATOLOGY ASSOCIATES OF CENTRAL ILLINOIS 8940 N WOOD SAGE ROAD PEORIA IL 61615 371331017 15000 SUBAWARD OUNCE OF PREVENTION 33 W MONROE STREET SUITE 2400 CHICAGO IL 60603 363186328 501(C)(3) OR GOV 101350 SUBAWARD PENN STATE UNIVERSITY 513 JOAB L THOMAS BLDG UNIVERSITY PARK PA 16802 246000376 501(C)(3) OR GOV 167077 SUBAWARD PRESIDENT AND FELLOW OF HARVARD COLLEGE 1033 MASSACHUSETTS AVENUE 3RD FLOOR CAMBRIDGE MA 02138 042103580 501(C)(3) OR GOV 230873 SUBAWARD PRINCETON UNIVERSITY 5 NEW SOUTH BUILDING PO BOX 5292 PRINCETON NJ 08544 210634501 501(C)(3) OR GOV 52072 SUBAWARD PROJECT HOPE 255 CARTER HALL LANE MILLWOOD VA 22646 530242962 501(C)(3) OR GOV 35952 SUBAWARD PURDUE UNIVERSITY 302 WOOD STREET WEST LAFAYETTE IN 47907 356002041 501(C)(3) OR GOV 845747 SUBAWARD ROCKEFELLER UNIVERSITY 1230 YORK AVENUE NEW YORK NY 10065 131624158 501(C)(3) OR GOV 129699 SUBAWARD ROI VENTURES LLC 213 W INSTITUTE PLACE SUITE 505 CHICAGO IL 60610 205385643 584530 SUBAWARD SANTEC SYSTEMS 2924 MALMO DRIVE ARLINGTON HEIGHTS IL 60005 363635977 74025 SUBAWARD SCRIPPS RESEARCH INSTITUTE 10550 NORTH TORREY PINES ROAD LA JOLLA CA 92037 330435954 501(C)(3) OR GOV 486563 SUBAWARD SEATTLE CHILDREN'S RESEARCH INSTITUTE 1900 NINTH AVENUE MS C95-5 SEATTLE WA 98101 910564748 501(C)(3) OR GOV 171052 SUBAWARD SMITHSONAN ASTROPHYSICAL OBSERVATORY 60 GARDEN STREET CAMBRIDGE MA 02138 530206027 501(C)(3) OR GOV 155525 SUBAWARD SOUTHERN RESEARCH INSTITUTE 2000 NINTH AVENUE SOUTH BIRMINGHAM AL 35205 630288868 501(C)(3) OR GOV 63611 SUBAWARD SRI INTERNATIONAL 333 RAVENSWOOD AVENUE MENLO PARK CA 94025 941160950 501(C)(3) OR GOV 67507 SUBAWARD ST LOUIS UNIVERSITY 3545 LINDELL BLVD ST LOUIS MO 63103 430654872 501(C)(3) OR GOV 159861 SUBAWARD ST JOHN'S MERCY MEDICAL CENTER 645 MARYVILLE CENTRE DRIVE SUITE 100 ST LOUIS MO 63141 430653493 501(C)(3) OR GOV 15000 SUBAWARD ST JUDE CHILDREN'S RESEARCH HOSPITAL 332 NORTH LAUDERDALE STREET MEMPHIS TN 38105 620646012 501(C)(3) OR GOV 329745 SUBAWARD STANFORD UNIVERSITY 340 PANAMA STREET STANFORD CA 94305 941156365 501(C)(3) OR GOV 1166130 SUBAWARD SUNY RESEARCH FOUNDATION 1300 ELMWOOD AVE BISHOP HALL B17 BUFFALO NY 14222 141368361 501(C)(3) OR GOV 45342 SUBAWARD TEMPLE UNIVERSITY 1805 NORTH BROAD STREET PHILADELPHIA PA 19122 231365971 501(C)(3) OR GOV 17194 SUBAWARD TEXAS TECH UNIVERSITY BOX 41091 LUBBOCK TX 79409 756002622 501(C)(3) OR GOV 7463 SUBAWARD TUFTS UNIVERSITY 169 HOLLAND STREET SOMERVILLE MA 02144 042103634 501(C)(3) OR GOV 7500 SUBAWARD UNIVERSIDAD CENTRAL CARIBE AVE LAUREL URB SANTA JUANITA BOX 60 BAYAMON PR 00960 660349669 501(C)(3) OR GOV 5248 SUBAWARD UNIVERSITY CORPORATION FOR ATMOSPHERIC RESEARCH 1850 TABLE MESA DR BOULDER CO 80305 742439386 501(C)(3) OR GOV 303018 SUBAWARD UNIVERSITY OF ALABAMA 1530 3RD AVENUE S AB 1170 BIRMINGHAM AL 35294 636005996 501(C)(3) OR GOV 144097 SUBAWARD UNIVERSITY OF ARIZONA 888 N EUCLID ROOM 510 TUCSON AZ 85722 742652689 501(C)(3) OR GOV 70360 SUBAWARD UNIVERSITY OF CALIFORNIA-BK 2150 SHATTUCK AVENUE SUITE 300 BERKELEY CA 94704 946002123 501(C)(3) OR GOV 666660 SUBAWARD UNIVERSITY OF CALIFORNIA-DV ONE SHIELDS AVENUE DAVIS CA 95616 946036494 501(C)(3) OR GOV 220943 SUBAWARD UNIVERSITY OF CALIFORNIA-IR 4255 CAMPUS DRIVE IRVINE CA 92697 952226406 501(C)(3) OR GOV 182155 SUBAWARD UNIVERSITY OF CALIFORNIA-LA 10920 WILSHIRE BOULEVARD SUITE 1200 1200 LOS ANGELES CA 90024 943067788 501(C)(3) OR GOV 91406 SUBAWARD UNIVERSITY OF CALIFORNIA-SD 9500 GILMAN DRIVE - RM 3041 LA JOLLA CA 92093 956006144 501(C)(3) OR GOV 2488572 SUBAWARD UNIVERSITY OF CALIFORNIA-SF 3333 CALIFORNIA STREET SUITE 315 SAN FRANCISCO CA 94118 946036493 501(C)(3) OR GOV 676001 SUBAWARD UNIVERSITY OF CINCINNATI 2600 CLIFTON AVENUE CINCINNATI OH 45221 316000989 501(C)(3) OR GOV 178251 SUBAWARD UNIVERSITY OF COLORADO 3100 MARINE STREET BOULDER CO 80309 391481425 501(C)(3) OR GOV 189763 SUBAWARD UNIVERSITY OF DENVER 2199 S UNIVERSITY BOULEVARD DENVER CO 80208 840404231 501(C)(3) OR GOV 210635 SUBAWARD UNIVERSITY OF FLORIDA 219 GRINTER HALL PO BOX 1003628 GAINESVILLE FL 32611 590974739 501(C)(3) OR GOV 30372 SUBAWARD UNIVERSITY OF ILLINOIS-CHICAGO 809 SOUTH MARSHFIELD AVENUE CHICAGO IL 60612 376000511 501(C)(3) OR GOV 4326609 SUBAWARD UNIVERSITY OF ILLINOIS-URBANA 1901 S FIRST ST SUITE A MC-685 CHAMPAIGN IL 61820 376000511 501(C)(3) OR GOV 1129534 SUBAWARD UNIVERSITY OF IOWA 201 GILMORE HALL IOWA CITY IA 52242 426004813 501(C)(3) OR GOV 226629 SUBAWARD UNIVERSITY OF KENTUCKY 109 KINKEAD HALL LEXINGTON KY 40506 616001218 501(C)(3) OR GOV 103793 SUBAWARD UNIVERSITY OF MARYLAND 3300 METZEROTT ROAD ADELPHI MD 20783 526002033 501(C)(3) OR GOV 692619 SUBAWARD UNIVERSITY OF MASSACHUSETTS 55 LAKE AVENUE NORTH WORCESTER MA 01655 043167352 501(C)(3) OR GOV 105739 SUBAWARD UNIVERSITY OF MIAMI P O BOX 248106 CORAL GABLES FL 33124 590624458 501(C)(3) OR GOV 73281 SUBAWARD UNIVERSITY OF MICHIGAN 3003 S STATE STREET 3089 WOLVERINE TOWER ANN ARBOR MI 48109 386006309 501(C)(3) OR GOV 671513 SUBAWARD UNIVERSITY OF MINNESOTA 200 OAK STREET SE MINNEAPOLIS MN 55455 416007513 501(C)(3) OR GOV 114585 SUBAWARD UNIVERSITY OF MISSISSIPPI P O BOX 9750 UNIVERISTY MS 38677 646001159 501(C)(3) OR GOV 42346 SUBAWARD UNIVERSITY OF NEW MEXICO 1 UNIVERSITY OF NEW MEXICO ALBUQUERQUE NM 87131 856000642 501(C)(3) OR GOV 99513 SUBAWARD UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DRIVE CB1350 CHAPEL HILL NC 27599 566001393 501(C)(3) OR GOV 785707 SUBAWARD UNIVERSITY OF NOTRE DAME 402 GRACE HALL NOTRE DAME IN 46556 350868188 501(C)(3) OR GOV 221211 SUBAWARD UNIVERSITY OF PENNSYLVANIA 3451 WALNUT STREET P-221 FRANKLIN BLDG PHILADELPHIA PA 19104 231352685 501(C)(3) OR GOV 146027 SUBAWARD UNIVERSITY OF PITTSBURGH 3100 CATHEDRAL OF LEARNING PITTSBURGH PA 15260 250965591 501(C)(3) OR GOV 1182563 SUBAWARD UNIVERSITY OF ROCHESTER 1325 MT HOPE AVENUE ROCHESTER NY 14620 161089052 501(C)(3) OR GOV 165739 SUBAWARD UNIVERSITY OF SOUTHERN CALIFORNIA UNIVERSITY PARK CAMPUS - STO 330 LOS ANGELES CA 90089 951642394 501(C)(3) OR GOV 431687 SUBAWARD UNIVERSITY OF TENNESSEE UTHSC 62 S DUNLAP MEMPHIS TN 38163 626001636 501(C)(3) OR GOV 1498169 SUBAWARD UNIVERSITY OF TEXAS- AUSTIN P O BOX 7159 AUSTIN TX 78713 746000203 501(C)(3) OR GOV 3049438 SUBAWARD UNIVERSITY OF TEXAS -CANCER CENTER P O BOX 4390 HOUSTON TX 77210 746001118 501(C)(3) OR GOV 99107 SUBAWARD UNIVERSITY OF UTAH 201 PRESIDENTS CIRCLE SALT LAKE CITY UT 84112 876000525 501(C)(3) OR GOV 110087 SUBAWARD UNIVERSITY OF VIRGINIA P O BOX 400202 CHARLOTTESVILLE VA 22904 546001796 501(C)(3) OR GOV 492023 SUBAWARD UNIVERSITY OF WASHINGTON 1100 NE 45TH STREET SUITE 300 SEATTLE WA 98105 916001537 501(C)(3) OR GOV 140393 SUBAWARD UNIVERSITY OF WISCONSIN-MADISON 21 NORTH PARK STREET - SUITE 6401 MADISON WI 53715 396006492 501(C)(3) OR GOV 1443417 SUBAWARD URBAN INSTITUTE 2100 M STREET NW WASHINGTON DC 20037 520880375 501(C)(3) OR GOV 66292 SUBAWARD US DEPARTMENT OF AGRICULTURE 1030 BALTIMORE AVE BLD 003 BARC-WEST BELTSVILLE MD 20705 720564834 501(C)(3) OR GOV 87000 SUBAWARD VA PUGET HEALTH CARE 1660 S COLUMBIA WAY S-152 SEATTLE WA 98108 910656166 501(C)(3) OR GOV 353740 SUBAWARD VALPARAISO UNIVERSITY 1700 CHAPEL DRIVE VALPARAISO IN 46383 620476822 501(C)(3) OR GOV 99760 SUBAWARD VANDERBILT UNIVERSITY MEDICAL CENTER 3319 WEST END AVENUE SUITE 800 NASHVILLE TN 37203 620476822 501(C)(3) OR GOV 411027 SUBAWARD VILLANOVA UNIVERSITY 800 LANCASTER AVENUE VILLANOVA PA 19085 231352688 501(C)(3) OR GOV 48037 SUBAWARD VIRGINIA COMMONWEALTH UNIVERSITY 800 EAST LEIGH ST SUITE 113 PO BOX 980568 RICHMOND VA 23298 546001758 501(C)(3) OR GOV 20153 SUBAWARD VIRGINIA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY 201 SOUTHGATE CENTER DRIVE BLACKSBURG VA 24061 546001805 501(C)(3) OR GOV 11147 SUBAWARD WAKE FOREST UNIVERSITY MEDICAL CENTER BOULEVARD WINSTONSALEM NC 27157 364669466 501(C)(3) OR GOV 36511 SUBAWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE BOX 1034 ST LOUIS MO 63112 436053611 501(C)(3) OR GOV 494003 SUBAWARD WAYNE STATE UNIVERSITY 5057 WOODWARD SUITE 6402 DETROIT MI 48202 386028429 501(C)(3) OR GOV 27875 SUBAWARD WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 525 EAST 68TH STREET C-610 WMC BOX 113 NEW YORK NY 10065 136094042 501(C)(3) OR GOV 217422 SUBAWARD WELLESLEY COLLEGE 106 CENTRAL STREET WELLESLEY MA 02481 042103637 501(C)(3) OR GOV 15793 SUBAWARD WESTERN MICHIGAN UNIVERSITY 1903 W MICHIGAN AVE KALAMAZOO MI 49008 386007327 501(C)(3) OR GOV 13570 SUBAWARD YALE UNIVERSITY 155 WHITNEY AVE SUITE 230 PO BOX 208250 NEW HAVEN CT 06520 060646973 501(C)(3) OR GOV 67196 SUBAWARD UNDERGADUATE STUDENT AID 2676 93937687 GRADUATE STUDENT AID 6041 196630207 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE UNIVERSITY OF CHICAGO FOLLOWS THESE PROCEDURES TO MONITOR THE USE OF GRANT FUNDS INSIDE THE UNITED STATES. THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO THE ALLOWABILITY AND APPROPRIATENESS OF THE CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFOMANCE. PART II LINE 1 TWO SUBAWARDS IN THE AMOUNT OF $382,852.30 AND $19,777.97 ARE NOT LISTED ABOVE AS THE RECIPIENTS OPERATE AS SOLE PROPRIETORS. X X X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 ROBERT J ZIMMER 917993 0 200000 0 1638478 0 454800 0 147452 0 3358723 0 1345000 0 THOMAS F ROSENBAUM 567618 0 1500 0 3599 0 19600 0 67283 0 659600 0 0 0 NIMALAN CHINNIAH 518378 0 0 0 19528 0 19600 0 29678 0 587184 0 0 0 THOMAS FARRELL 449070 0 37500 0 1387 0 19600 0 25739 0 533296 0 0 0 DAVID B FITHIAN 265067 0 20000 0 19194 0 19600 0 6956 0 330817 0 0 0 KIMBERLY GOFF-CREWS 266331 0 0 0 956 0 19600 0 9440 0 296327 0 0 0 DAVID GREENE 462103 0 35000 0 15056 0 19600 0 43132 0 574891 0 0 0 BETH A HARRIS 379577 0 0 0 2888 0 19600 0 103987 0 506052 0 0 0 DONALD H LEVY 338057 0 0 0 0 0 19600 0 12152 0 369809 0 0 0 ANN MARIE LIPINSKI 222159 0 0 0 0 0 18035 0 10108 0 250302 0 0 0 JAMES NONDORF 354839 0 25000 0 635 0 19600 0 7176 0 407250 0 0 0 JULIE A PETERSON 349324 0 0 0 31164 0 19600 0 35683 0 435771 0 0 0 KENNETH S POLONSKY 1332807 0 400000 0 10459 0 19600 0 17982 0 1780848 0 0 0 MARK SCHMID 530213 0 1294250 0 43508 0 519600 0 24184 0 2411755 0 500000 0 SUNIL KUMAR 500660 0 0 0 322604 0 19600 0 15266 0 858130 0 0 0 MICHAEL E EDLESON 433182 0 826626 0 0 0 343600 0 18199 0 1621607 0 0 0 PATRICK O'HARA 349473 0 787541 0 0 0 276496 0 1661 0 1415171 0 145303 0 CHRISTOPHER LONGEE 354735 0 813042 0 0 0 281435 0 19659 0 1468871 0 392318 0 JOANNA RUPP 357585 0 844742 0 0 0 288847 0 22895 0 1514069 0 247015 0 MATTHEW STONE 349249 0 780720 0 0 0 278966 0 58907 0 1467842 0 145303 0 KINERT JAFFE 159723 0 0 0 0 0 13435 0 19902 0 193060 0 0 0 EVERETT VOKES 703866 0 120000 0 0 0 19600 0 55140 0 898606 0 0 0 EDWARD SNYDER 357824 0 0 0 415 0 19600 0 10516 0 388355 0 0 0 PART I, LINE 1A PART I, LINE 1A. FIRST CLASS TRAVEL: UNDER WRITTEN UNIVERSITY POLICY, FIRST CLASS AIR TRAVEL IS ONLY ALLOWED WHEN APPROVED IN ADVANCE BY A DEAN, VICE PRESIDENT OR THE PROVOST. THREE OFFICERS AND ONE HIGHLY COMPENSATED PERSON OF THE UNIVERSITY WERE APPROVED FOR FIRST CLASS TRAVEL IN ACCORDANCE WITH THIS POLICY. NONE OF THESE BUSINESS TRIPS WERE DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. TRAVEL FOR COMPANIONS: UNDER WRITTEN UNIVERSITY POLICY, TRAVEL FOR COMPANIONS MUST BE PRE-APPROVED BY THE VICE PRESIDENT FOR ADMINISTRATION AND CHIEF FINANCIAL OFFICER, AND WILL ONLY BE APPROVED WHEN THE COMPANION TRAVEL SERVES A BONA FIDE BUSINESS PURPOSE. ONE OFFICER HAD COMPANION TRAVEL APPROVED IN ACCORDANCE WITH THIS POLICY. THE COST OF COMPANION TRAVEL WAS NOT DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. & 1B. TAX INDEMNIFICATION AND GROSS UP PAYMENTS: INDIVIDUALS MAY HAVE CERTAIN PAYMENTS GROSSED UP AT THE DISCRETION OF HEADS OF DEPARTMENTS OR OFFICES OF THE UNIVERSITY. NO LISTED PERSON HAD GROSS UP PAYMENTS. PART I, LINE 1A. & 1B; AND PART II, COLUMN D FOR ROBERT J. ZIMMER. HOUSING ALLOWANCES AND RESIDENCE FOR PERSONAL USE: HOUSING ALLOWANCES ARE ONLY PERMITTED IF PRE-APPROVED BY THE PROVOST'S OFFICE OR UNIVERSITY HUMAN RESOURCES. FOUR OFFICERS AND ONE KEY EMPLOYEE RECEIVED HOUSING ALLOWANCES, WHICH WERE INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. OF THE AMOUNT IN COLUMN D FOR ROBERT J. ZIMMER, $102,632 REPRESENTS THE VALUE OF UNIVERSITY-OWNED HOUSING PROVIDED TO THE PRESIDENT, WHICH IS NOT DEEMED A TAXABLE BENEFIT. PART I, LINE 1A. SOCIAL AND HEALTH CLUB DUES: UNDER WRITTEN UNIVERSITY POLICY, SOCIAL AND HEALTH CLUB DUES ARE REIMBURSABLE ONLY IF THE BENEFITS OF THE MEMBERSHIP SUPPORT THE UNIVERSITY'S MISSION, AND ONLY IF THE REIMBURSEMENT IS APPROVED BY A DEAN, VICE PRESIDENT, PROVOST OR PRESIDENT OF THE UNIVERSITY. ANY PORTION OF THE DUES NOT USED FOR BUSINESS PURPOSES IS CONSIDERED TAXABLE COMPENSATION. OFFICERS OF THE UNIVERSITY MAINTAIN MEMBERSHIP IN THE QUADRANGLE CLUB, A RELATED ORGANIZATION THAT OPERATES A FACULTY CLUB ON THE CAMPUS OF THE UNIVERSITY, FOR PURPOSES OF CONDUCTING MEETINGS AND OTHER UNIVERSITY BUSINESS. THE UNIVERSITY REIMBURSES OFFICERS FOR THESE DUES, AND THE REIMBURSEMENT IS NOT DEEMED TAXABLE COMPENSATION. IN ADDITION, THREE OFFICERS AND ONE KEY EMPLOYEE HAD SOCIAL CLUB DUES REIMBURSED BY THE UNIVERSITY FOR BUSINESS PURPOSES, AND THE REIMBURSEMENT WAS NOT DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. PERSONAL SERVICES: THE UNIVERSITY CONTRACTS WITH AN INDEPENDENT CONTRACTOR TO PROVIDE THE PRESIDENT OF THE UNIVERSITY WITH A CAR AND DRIVER FOR USE ON UNIVERSITY BUSINESS. IN ADDITION, THE UNIVERSITY PROVIDES FOR THE MAINTENANCE AND CLEANING OF THE UNIVERSITY-OWNED HOUSE PROVIDED TO THE PRESIDENT. THESE SERVICES WERE NOT DEEMED A TAXABLE BENEFIT. PART I, LINE 4B PART I, LINE 4B. ROBERT ZIMMER $435,800. PART I, LINE 7 PART I, LINE 7. INVESTMENT OFFICE PERSONNEL PARTICIPATE IN AN INCENTIVE COMPENSATION PROGRAM BASED ON PERFORMANCE AND QUALITATIVE MEASUREMENTS. IFA 100000000 REVENUE BONDS SERIES 2004A 861091967 45200BHG6 2004-11-10 105454007 SEE SUPPLEMENTAL INFORMATION 0 0 0 IFA 100000000 REVENUE BONDS SERIES 2004B 861091967 45200BHH4 2004-11-10 100000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 IFA 80000000 ADJ RAT REV REFUNDING BONDS 2004C 861091967 45200BJG4 2004-11-30 80000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 IFA 244030000 REVENUE BONDS SERIES 2007 861091967 45200B6F0 2007-06-28 249996429 SEE SUPPLEMENTAL INFORMATION 0 0 0 105454007 712375 104741632 2010 0 0 1 1 100000000 469998 99530002 2010 0 0 1 1 80000000 463838 79536162 2006 0 1 1 1 249996429 1630377 248366051 2010 0 0 1 1 0 0 1 1 1 1 0.00120 0.00000 0.00120 1 0 0 1 1 1 1 0.00040 0.00000 0.00040 1 0 0 0 1 1 0.00000 0.00000 0.00000 1 0 0 1 1 1 1 0.00010 0.00000 0.00010 1 0 0 0 0 1 0 1 0 0 1 0 1 1 MORGAN STANLEY CAP SRVS 35.000000000000 0 0 0 1 0 0 0 0 1 PART 1 (F) DESCRIPTION OF PURPOSE $100,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND PAY CERTAIN COSTS OF ISSUANCE. $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $244,030,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2007, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL, A LIBRARY ADDITION, STEAM AND CHILLED WATER UTILITY PLANT EXPANSION, THE CENTER FOR BIOMEDICAL DISCOVERY, AND AN OFFICE BUILDING, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $200,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003A (F) DESCRIPTION OF PURPOSE TO REFUND, FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR THE COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER AND TO PAY CERTAIN COSTS OF ISSUANCE. $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $500,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COST OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL AND DINING FACILITY, THE LOGAN ARTS CENTER, A LIBRARY ADDITION, AND THE CENTER FOR BIOMEDICAL DISCOVERY, AND PAY CERTAIN COSTS OF ISSUANCE. $369,570,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2012A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, THE MULTIPURPOSE ECONOMICS RESEARCH BUILDING, AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 1985A BONDS AND THE 2004A BONDS; AND PAY CERTAIN COSTS OF ISSUANCE. IFA 123604000 ADJ RATE DEMAND REV SERIES 2008 861091967 45200FEG0 2008-04-03 123604000 SEE SUPPLEMENTAL INFORMATION 0 0 0 IEFA 200000000 REVENUE BONDS SERIES 2003A 521297563 4520016W5 2003-08-28 202182031 SEE SUPPLEMENTAL INFORMATION 0 0 0 IEFA 50000000 ADJ RATE REV BONDSSERIES 2003B 521297563 4520017E4 2003-08-28 50000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 IFA 500000000 REVENUE BONDS SERIES 2008B 861091967 45200FSX8 2009-01-07 502370736 SEE SUPPLEMENTAL INFORMATION 0 0 0 123604000 221530 123382470 2004 1 0 1 1 202182031 865506 156945165 44371359 2006 1 0 1 1 50000000 274223 49725777 2006 0 0 1 1 502370736 3653493 471895845 30474891 2012 0 0 0 1 0 0 0 1 1 0.00000 0.00000 0.00000 1 0 0 1 1 1 1 0.00160 0.00000 0.00160 1 0 0 1 1 1 1 0.00000 0.00000 0.00000 1 0 0 1 1 1 1 0.00000 0.00000 0.00000 1 0 1 1 MERRILL LYNCH CAP SRVS 33.000000000000 0 0 0 1 0 0 0 0 1 0 1 0 0 1 0 0 0 0 1 IFA 369570000 REVENUE BONDS SERIES 2012A 861091967 45203HFF4 2012-02-02 421065981 SEE SUPPLEMENTAL INFORMATION 0 0 0 421065981 1982388 150001291 269082300 0 1 0 1 0 0 1 1 1 1 0.00070 0.00000 0.00070 1 CHINNIAH NIMALAN X 167000 110433 0 1 1 FARRELL THOMAS X 200000 170125 0 1 1 FITHIAN DAVID B X 136000 115842 0 1 1 GREENEDAVID A X 60000 60000 0 1 1 KUMAR SUNIL X 450000 441045 0 1 1 897445 NOT REQUIRED NOT REQUIRED TO BE DISCLOSED STIPEND NOT REQUIRED NOT REQUIRED TO BE DISCLOSED TUIT RMSN NOT REQUIRED NOT REQUIRED TO BE DISCLOSED TUIT RMSN TISHMAN SPEYER CROWN EQUITIES SEE PART V 1245062 SEE PART V 0 ARAMARK CORPORATION SEE PART V 13293353 SEE PART V 0 TERESE SCHWARTZMAN SEE PART V 24909 SEE PART V 0 LAKE CAPITAL SEE PART V 110500 SEE PART V 0 BLOOMBERG LLP SEE PART V 333465 SEE PART V 0 QFS ASSET MANAGEMENT LP SEE PART V 2165103 SEE PART V 0 TRIAN PARTNERS SEE PART V 368000 SEE PART V 0 CDW LLC SEE PART V 1100000 SEE PART V 0 WILLIAM BLAIR & COMPANY LLC SEE PART V 54261 SEE PART V 0 SHADI BARTSCH- ZIMMER SEE PART V 204885 SEE PART V 0 TAMAR POLONSKY SEE PART V 57611 SEE PART V 0 SWAPNA SHAW CHINNIAH SEE PART V 26013 SEE PART V 0 FORM 990, SCHEDULE L, PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS JAMES S. CROWN, A TRUSTEE OF THE UNIVERSITY, AND HIS FAMILY OWN AN INDIRECT INTEREST IN TISHMAN SPEYER CROWN EQUITIES, LLC ("TISHMAN SPEYER"), WHICH THROUGH A SUBSIDIARY OWNS AN OFFICE BUILDING IN WASHINGTON, D.C. IN WHICH THE UNIVERSITY OF CHICAGO LEASES OFFICE SPACE. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $359,263.94 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2012. THE UNIVERSITY ALSO LEASES OFFICE SPACE IN NEW YORK, NEW YORK FROM TISHMAN SPEYER. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $885,798.56 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2012.JOSEPH NEUBAUER, A TRUSTEE OF THE UNIVERSITY, IS CHAIRMAN AND DIRECTOR OF ARAMARK HOLDINGS CORPORATION, WHICH OWNS A MAJORITY OF ARAMARK CORPORATION, A DIVERSIFIED MANAGEMENT COMPANY. THE UNIVERSITY HAS RETAINED ARAMARK CORPORATION TO PROVIDE FOOD SERVICE IN VARIOUS UNIVERSITY RESIDENCE HALLS AND FACILITIES, AND TO PROVIDE CERTAIN UNIFORM AND VENDING SERVICES TO THE UNIVERSITY. DURING THE TAX YEAR ENDED JUNE 30, 2012, THE UNIVERSITY PAID ARAMARK CORPORATION APPROXIMATELY $13,293,353 FOR THESE SERVICES, AND ARAMARK CORPORATION PAID THE UNIVERSITY APPROXIMATELY $3,686,560 IN CONNECTION WITH THESE SERVICES. THE CONTRACTS FOR THESE SERVICES WERE NEGOTIATED AT ARMS' LENGTH AND WERE CONCLUDED ON MARKET TERMS.TERESE SCHWARTZMAN, WHO FOR A PORTION OF THE TAX YEAR WAS MARRIED TO ROBERT J. ZIMMER, PRESIDENT OF THE UNIVERSITY AND A TRUSTEE, IS EMPLOYED BY THE UNIVERSITY AS DIRECTOR OF STRATEGIC INITIATIVES IN THE UNIVERSITY'S URBAN EDUCATION INSTITUTE. FROM JULY 1, 2011 THROUGH THE DATE OF HER DIVORCE, MS. SCHWARTZMAN WAS PAID A GROSS SALARY OF $24,909,IN CONNECTION WITH HER EMPLOYMENT IN THE URBAN EDUCATION INSTITUTE.PAUL YOVOVICH, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT OF LAKE CAPITAL, A PRIVATE EQUITY FIRM THAT MANAGES TWO PRIVATE EQUITY FUNDS IN WHICH A PORTION OF THE UNIVERSITY'S ENDOWMENT IS INVESTED. DURING THE TAX YEAR ENDED JUNE 30, 2012, THE UNIVERSITY PAID MANAGEMENT FEES OF APPROXIMATELY $110,500 IN CONNECTION WITH LAKE CAPITAL'S MANAGEMENT OF THESE TWO FUNDS. THE TERMS GOVERNING THE UNIVERSITY'S INVESTMENT IN THESE FUNDS WERE NEGOTIATED AT ARMS' LENGTH AND CONCLUDED ON MARKET TERMS.DANIEL L. DOCTOROFF, A TRUSTEE OF THE UNIVERSITY, IS CHIEF EXECUTIVE OFFICER OF BLOOMBERG, LP, FROM WHICH THE UNIVERSITY PURCHASED VARIOUS INVESTMENT DATA PRODUCTS ON STANDARD, ARMS' LENGTH TERMS. THE UNIVERSITY PAID BLOOMBERG LP AND ITS AFFILIATES APPROXIMATELY $333,465 FOR THESE PRODUCTS DURING THE YEAR ENDED JUNE 30, 2012.SANFORD GROSSMAN, A TRUSTEE OF THE UNIVERSITY, WAS CHAIRMAN, CEO AND SOLE SHAREHOLDER OF QFS ASSET MANAGEMENT, INC., THE GENERAL PARTNER OF QFS ASSET MANAGEMENT, L.P., A LIMITED PARTNERSHIP IN WHICH THE UNIVERSITY, THROUGH AN AFFILIATE, OWNS A LIMITED PARTNERSHIP INTEREST AS A RESULT OF A CHARITABLE GIFT FROM MR. GROSSMAN. THE UNIVERSITY RECEIVED $2,165,102.70 IN DISTRIBUTIONS ON ITS AFFILIATE'S LIMITED PARTNERSHIP INTEREST IN QFS ASSET MANAGEMENT, L.P. IN THE TAX YEAR ENDED JUNE 30, 2012.PETER MAY, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT AND FOUNDING PARTNER OF TRIAN PARTNERS, AN INVESTMENT MANAGEMENT FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. TRIAN RECEIVED APPROXIMATELY $368,000 IN MANAGEMENT AND INCENTIVE FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT IN THE TAX YEAR ENDED JUNE 30, 2012.JOHN A. EDWARDSON, A TRUSTEE OF THE UNIVERSITY, DURING THE TAX YEAR WAS CHAIRMAN AND CHIEF EXECUTIVE OFFICER OF CDW LLC, FROM WHICH THE UNIVERSITY FROM TIME TO TIME PURCHASES CERTAIN COMPUTER HARDWARE AND SOFTWARE PRODUCTS, AND RELATED SERVICES. DURING THE TAX YEAR ENDED JUNE 30, 2012, THE UNIVERSITY PAID CDW LLC APPROXIMATELY $1.1 MILLION FOR SUCH PURCHASES.WILLIAM BLAIR & COMPANY, LLC, OF WHICH E. DAVID COOLIDGE III IS VICE CHAIRMAN, SERVED AS CO-MANAGER ON A 2012 TAX-EXEMPT BOND ISSUANCE FOR THE BENEFIT OF THE UNIVERSITY. FOR ITS SERVICES AS CO-MANAGER DURING THE TAX YEAR ENDED JUNE 30, 2012, WILLIAM BLAIR RECEIVED APPROXIMATELY $54,261 IN COMPENSATION.SHADI BARTSCH-ZIMMER, WHO MARRIED PRESIDENT ROBERT J. ZIMMER DURING THE TAX YEAR, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR OF CLASSICS. FROM THE DATE OF HER MARRIAGE THROUGH JUNE 30, 2012, MS. BARTSCH WAS PAID A GROSS SALARY OF $204,885 IN CONNECTION WITH HER EMPLOYMENT.TAMAR POLONSKY, THE DAUGHTER OF KENNETH POLONSKY, DEAN AND EXECUTIVE VICE PRESIDENT FOR MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS AN ASSISTANT PROFESSOR IN THE DEPARTMENT OF MEDICINE.SWAPNA SHAW CHINNIAH, WHO FOR A PORTION OF THE TAX YEAR WAS MARRIED TO NIMALAN CHINNIAH, VICE PRESIDENT FOR ADMINISTRATION AND CHIEF FINANCIAL OFFICER, IS EMPLOYED BY THE UNIVERSITY AS AN ADVISER IN THE COLLEGE. FROM JULY 1, 2011 THROUGH THE DATE OF HER DIVORCE, MS. CHINNIAH WAS PAID A GROSS SALARY OF $26,013 IN CONNECTION WITH HER EMPLOYMENT IN THE COLLEGE. X 7 X 244 15734760 COST/SELLING PRICE X COMPUTER EQUIPMENT 1 165238 MARKET VALUE 23 0 1 1 THIRD PARTY USE: PART I, LINE 32B: RELATED ORGANIZATIONS IN THE UK, FRANCE, SINGAPORE, HONG KONG AND INDIA SOLICIT CONTRIBUTIONS FOR THE BENEFIT OF THE UNIVERSITY AND ITS PROGRAMS. THE UNIVERSITY USES AN OUTSIDE BROKER TO SELL GIFTS OF SECURITIES. NON REPORTING OF REVENUE: PART I, LINE 33: THE UNIVERSITY OF CHICAGO DOES NOT RECORD GIFTS OF ART AS REVENUE AS PERMITTED UNDER SFAS 116. FORM 990, PART VI, SECTION A, LINE 2 RODNEY L. GOLDSTEIN AND KING W. HARRIS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. ROBERT W. LANE AND JOSEPH NEUBAUER, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. THOMAS J. PRITZKER AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. JOHN W. ROGERS, JR. AND PAULA WOLFF, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO FILING THE FORM 990, MEMBERS OF THE EXECUTIVE COMMITTEE AND AUDIT COMMITTEE OF THE UNIVERSITY'S BOARD OF TRUSTEES WERE GIVEN AN OPPORTUNITY TO REVIEW PORTIONS OF THE FORM 990 RELEVANT TO THE AREAS OF OVERSIGHT OF THOSE COMMITTEES. THESE PORTIONS OF THE FORM 990 WERE DISTRIBUTED TO COMMITTEE MEMBERS FOR CONVENED MEETINGS IN FEBRUARY - MARCH 2013, AT WHICH TRUSTEES ON THESE COMMITTEES WERE GIVEN THE OPPORTUNITY TO DISCUSS THE RELEVANT SECTIONS OF THE FORM 990 AND ASK QUESTIONS. IN ADDITION, IN EARLY APRIL 2013, THE COMPLETED DRAFT FORM 990 (AND FORM 990-T), INCLUDING ALL SCHEDULES, WAS POSTED ON A SECURE WEBSITE ACCESSIBLE TO ALL TRUSTEES TO ALLOW THEM TO REVIEW THE FORM, PROVIDE COMMENTS, AND ASK ANY QUESTIONS. INFORMATION ABOUT ACCESSING THE WEBSITE WAS DISTRIBUTED IN ADVANCE TO ALL TRUSTEES. THE DRAFT FORM REMAINED AVAILABLE ON THE WEBSITE FOR APPROXIMATELY TWO WEEKS, AFTER WHICH ONLINE ACCESS ENDED TO ALLOW THE UNIVERSITY TIME TO FINALIZE THE FORM 990 AND FORM 990T FOR FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ALL TRUSTEES, OFFICERS, FACULTY, SENIOR ADMINISTRATORS, AND OTHER EMPLOYEES OF THE UNIVERSITY ARE SUBJECT TO CONFLICT OF INTEREST POLICIES THAT, AMONG OTHER THINGS, DEFINE MATERIAL FINANCIAL CONFLICTS OF INTEREST, IDENTIFY THE CLASSES OF INDIVIDUALS COVERED BY THE POLICIES, FACILITATE DISCLOSURE OF INFORMATION, AND SPECIFY PROCEDURES TO BE FOLLOWED IN MANAGING THE CONFLICTS. THESE CONFLICT OF INTEREST POLICIES AND PROCEDURES INCLUDE: (1) THE UNIVERSITY OF CHICAGO CONFLICT OF INTEREST POLICY FOR TRUSTEES AND OFFICERS REQUIRES TRUSTEES AND OFFICERS TO ALERT THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, OR THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL OF ANY POTENTIAL CONFLICT OF INTEREST, AND ABSTAIN FROM PARTICIPATING IN OR VOTING ON THE MATTER. THE POLICY ALSO REQUIRES TRUSTEES AND OFFICERS TO DISCLOSE ON AN ANNUAL BASIS, ACTUAL AND POTENTIAL CONFLICTS OF INTEREST BY COMPLETING A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ALL CONFLICT OF INTEREST DISCLOSURES AND RELATED DISCUSSIONS ARE SHARED WITH THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, AND THE UNIVERSITY'S PRESIDENT, ITS GENERAL COUNSEL, AND ITS EXTERNAL AUDITORS. THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL, IN CONSULTATION WITH THE COMMITTEE ON TRUSTEESHIP AND SENIOR UNIVERSITY ADMINISTRATORS, COMPILES THE DISCLOSURES INTO A CONFIDENTIAL DATABASE AND PREPARES FOR EACH TRUSTEE AND OFFICER A WRITTEN ACKNOWLEDGMENT OF THE DISCLOSURE THAT IDENTIFIES ANY PENDING UNIVERSITY TRANSACTIONS THAT MAY BE AFFECTED BY THE DISCLOSURE. THE CHAIR OF THE BOARD ALSO REVIEWS ALL DISCLOSED POTENTIAL CONFLICTS OF INTEREST BEFORE MAKING BOARD COMMITTEE ASSIGNMENTS. 2) THE UNIVERSITY'S POLICY ON SERVICE TO OUTSIDE ORGANIZATIONS BY SENIOR ADMINISTRATORS REQUIRES OFFICERS AND SENIOR ADMINISTRATORS TO DISCLOSE ALL OFFICER, DIRECTOR, OR TRUSTEE POSITIONS THEY HOLD OR INTEND TO HOLD IN OUTSIDE ORGANIZATIONS, INCLUDING BUT NOT LIMITED TO ORGANIZATIONS IN WHICH THEY HAVE A FINANCIAL INTEREST OR FROM WHICH THEY RECEIVE COMPENSATION. THE UNIVERSITY'S OFFICE OF LEGAL COUNSEL MONITORS SUCH POTENTIAL CONFLICTS BY CIRCULATING ANNUALLY A DISCLOSURE FORM THAT MUST BE UPDATED AS CIRCUMSTANCES CHANGE, AND OFFICERS ARE ALSO REQUIRED TO DISCLOSE ALL SUCH RELATIONSHIPS IN ADVANCE TO THEIR IMMEDIATE SUPERVISOR. THIS INFORMATION MAY BE SHARED WITH THE UNIVERSITY'S TRUSTEES, PRESIDENT, PROVOST, GENERAL COUNSEL, AND OTHERS AS NECESSARY; COMPENSATED OUTSIDE SERVICE IS ALSO SUBJECT TO REVIEW BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. (3) ACADEMIC EMPLOYEES, INCLUDING THE PRESIDENT AND THE PROVOST, ARE SUBJECT TO THE UNIVERSITY'S CONFLICT OF INTEREST AND CONFLICT OF COMMITMENT POLICY FOR FACULTY AND OTHER ACADEMIC APPOINTEES. THE OFFICE OF THE PROVOST IS THE ADMINISTRATIVE OFFICE CHARGED WITH ASSURING COMPLIANCE WITH THE FACULTY CONFLICT OF INTEREST POLICY. THE PROVOST HAS DELEGATED OVERSIGHT OF THE POLICY TO THE DEPUTY PROVOST FOR RESEARCH. THE PROVOST ALSO APPOINTS THE MEMBERS OF THE STANDING COMMITTEE ON INDIVIDUAL CONFLICTS OF INTEREST AND DESIGNATES THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST REPORTS PERIODICALLY TO THE STANDING COMMITTEE ON THE STATUS OF FACULTY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY; THE REPORT INCLUDES HOW RISKS HAVE BEEN ADDRESSED THROUGH MANAGEMENT PLANS OR OTHER PRACTICES INTENDED TO PROVIDE FOR THE REDUCTION, ELIMINATION OR MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS. THE DEPUTY PROVOST SEEKS ASSESSMENT OF THE RISKS AND RECOMMENDATIONS FOR RESPONSIBLE MANAGEMENT FROM DEPARTMENT CHAIRS AND DEANS AND OTHERS SUCH AS THE DIRECTOR OF UNIVERSITY RESEARCH ADMINISTRATION AND THE OFFICE OF LEGAL COUNSEL. (4) THE UNIVERSITY'S CONFLICT OF INTEREST POLICY REQUIRES ALL NON-ACADEMIC UNIVERSITY EMPLOYEES TO AVOID INVOLVEMENT IN ACTIVITIES WHICH MIGHT CONFLICT, OR MIGHT APPEAR TO CONFLICT, WITH THEIR INSTITUTIONAL RESPONSIBILITIES, INCLUDING, BUT NOT LIMITED TO BUSINESS OR FINANCIAL INTERESTS, TRANSACTIONS INVOLVING THE USE OF CONFIDENTIAL INFORMATION OR KNOWLEDGE GAINED AS A RESULT OF THE EMPLOYEE'S RELATIONSHIP WITH THE UNIVERSITY, THE USE OF UNIVERSITY RESOURCES FOR PERSONAL BENEFIT OR THE BENEFIT OF OTHERS, THE ACCEPTANCE OF GIFTS OF MORE THAN NOMINAL VALUE, AND NEPOTISM. CONFLICT OF INTEREST POLICY REQUIRES STAFF TO PROVIDE FULL DISCLOSURE OF ANY INTEREST THAT MIGHT INFLUENCE, OR APPEAR TO HAVE THE CAPACITY TO INFLUENCE, THE STAFF MEMBER'S OFFICIAL DECISIONS OR ACTIONS ON UNIVERSITY MATTERS. THE DISCLOSURES ARE TO BE IN WRITING, TENDERED TO THE EMPLOYEE'S IMMEDIATE SUPERVISOR, DEPARTMENT HEAD, OR THE APPROPRIATE VICE PRESIDENT OF THE UNIVERSITY. (5)THE UNIVERSITY'S POLICY ON BUSINESS CONDUCT AT THE UNIVERSITY OF CHICAGO REQUIRES ALL UNIVERSITY EMPLOYEES TO, AMONG OTHER THINGS, AVOID REAL OR PERCEIVED CONFLICTS OF INTEREST; USE UNIVERSITY RESOURCES ONLY FOR LEGITIMATE UNIVERSITY BUSINESS; AND REPORT POSSIBLE VIOLATIONS OF THE POLICY, OTHER UNIVERSITY POLICIES, OR APPLICABLE LAW. MEMBERS OF THE UNIVERSITY COMMUNITY ARE ENCOURAGED TO REPORT COMPLIANCE CONCERNS THROUGH NORMAL LINES OF COMMUNICATION INCLUDING DISCUSSIONS WITH SUPERVISORS OR ADVISORS AND, IF NECESSARY, THROUGH THE TOLL-FREE HOTLINE. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES ANNUALLY REVIEWS COMPENSATION FOR THE UNIVERSITY'S PRESIDENT AND ALL OTHER UNIVERSITY OFFICERS, BASED ON A RECOMMENDATION FROM THE CHAIRMAN OF THE BOARD OF TRUSTEES IN THE CASE OF THE PRESIDENT'S COMPENSATION, AND RECOMMENDATIONS FROM THE PRESIDENT IN THE CASE OF OFFICER COMPENSATION. THE COMPENSATION COMMITTEE REVIEWS THESE RECOMMENDATIONS, INCLUDING A REVIEW OF COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS. THE COMPENSATION COMMITTEE THEN MAKES A RECOMMENDATION REGARDING COMPENSATION TO THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, WHICH ALSO REVIEWS THE COMPARABILITY DATA AND MAKES ALL FINAL COMPENSATION DECISIONS. THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE AND THE DECISIONS OF THE EXECUTIVE COMMITTEE ARE DOCUMENTED IN MINUTES MAINTAINED BY THE UNIVERSITY. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, CONFLICTS OF INTEREST POLICIES, AND MOST RECENT FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ON THE UNIVERSITY'S WEBSITE, WWW.UCHICAGO.EDU. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -67,369,889. MISCELLANEOUS ROUNDING ADJUSTMENT -823. TOTAL TO FORM 990, PART XI, LINE 5: -67,370,712. 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AS SUCH, THE INCOME AND ASSETS OF THE TRUST ARE NOT SHOWN ON THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS WHICH ARE THE BASIS FOR THE 990 PART VIII, LINE 12 AND PART X, LINE 16. THE END OF THE YEAR ASSET BALANCE IS $74,190,893 AND THE INCOME FOR THE PERIOD ENDING DECEMBER 31, 2011 IS $9,413,136.