2013-05-13T13:05:29-05:00 2012-06-30 251408703 SCHNEIDER DOWNS & CO INC 1133 PENN AVENUE PITTSBURGH PA 15222 990 2011-07-01 251035663 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT DUQU 4123966592 600 FORBES AVENUE PITTSBURGH PA 152820226 DAVID P GROUSOSKY 4123966592 2013-05-02 1 SUSAN M KIRSCH P00341397 4122613644 2011 2016-02-24 21:20:13Z CHARLES J DOUGHERTYPHD 600 FORBES AVENUE PITTSBURGH PA 152820226 425170276 0 X WWW.DUQ.EDU X 1878 PA DUQUESNE UNIVERSITY OF THE HOLY SPIRIT IS A CATHOLIC UNIVERSITY, FOUNDED BY MEMBERS OF THE CONGREGATION OF THE HOLY SPIRIT, THE SPIRITIANS, AND SUSTAINED THROUGH A PARTNERSHIP OF LAITY AND RELIGIOUS. DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, THE COMMUNITY, THE NATION AND THE WORLD. 29 26 5026 40 903323 -116959 27063187 26249378 296527486 304135040 8813566 13225931 767163 1427522 333171402 345037871 71646116 77552364 0 0 159011169 167037229 0 0 3012383 80608056 83325703 311265341 327915296 21906061 17122575 568260129 573179848 231291891 228877608 336968238 344302240 X DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, COMMUNITY, NATION AND THE WORLD. 0 0 186908708 77552364 264331820 EDUCATIONAL PROGRAMS, GENERAL/OTHER: INSTRUCTION - SCHOOL OF LIBERAL ARTS, BUSINESS ADMINISTRATION, EDUCATION, MUSIC, HEALTH SCIENCES, PHARMACY, LAW, NATURAL AND ENVIRONMENTAL SCIENCES, NURSING (10,011 STUDENTS) 45136870 38522412 AUXILIARY/STUDENT SERVICES:STUDENT SERVICES PROGRAMS, GENERAL/OTHER: STUDENT SERVICES, INSTITUTIONAL SUPPORT, AND AUXILIARY ENTERPRISES (12,982UNIVERSITY COMMUNITY). AUXILIARY SERVICES / GENERAL - ROOM & BOARD, FOOD SERVICE, INTERCOLLEGIATE ATHLETICS, TAMBURITZANS, PARKING EVENTS, CONFERENCES, RED RING RESTAURANT. 39618062 745204 EDUCATIONAL DELIVERY, GENERAL/OTHER: ACADEMIC SUPPORT - LIBRARY, DEANS OFFICE, PROVOST OFFICES, CATALOGS, COMMENCEMENT, CLERGY RESIDENCE (11,235 STUDENTS AND FACULTY) 7329908 202648 MEDIA AND COMMUNICATION PROGRAMS, GENERAL/OTHER: PUBLIC SERVICE - RADIO STATION - NATIONAL PUBLIC BROADCASTING RADIO/TELEVISION/ENGINEERING SERVICE, PUBLIC RESEARCH PROGRAMS, LAW LIBRARY PROGRAMS (39,050 LISTENERS AND VIEWERS / 3 MONTHS). WDUQ NPR RADIO STATION WAS SOLD 9/2011. 7922640 15239 SCIENCE & TECHNOLOGY RESEARCH, GENERAL/OTHER: RESEARCH -DHEW, NSF AND OTHER RESTRICTED FUNDS FOR RESEARCH (68 FUNDING AGENCIES) 15252548 217887 286916188 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 1 1 0 1 1 1 0 1 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 1 0 0 0 0 1 15286 0 1 5026 1 1 1 1 IT CJ 0 0 0 1 1 1 0 0 0 1 0 X 29 26 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 PA X RUSSELL C GRUNEBACH 4123966592 600 FORBES AVE ROOM 205 PITTSBURGH PA 15282 ARNOLD E BURCHANTI II 2.00 X 0 0 0 ESTHER L BUSH 2.00 X 0 0 0 SAMUEL A COSTANZO 2.00 X 0 0 0 SISTER MARY DACEY SSJ 2.00 X 0 0 0 VREVLAWRENCE A DINARDO MCHA 2.00 X 0 0 0 VREVJEFFREY T DUAIME CSSP 2.00 X 0 0 0 REVJOHN FOGARTY CSSP 2.00 X 0 0 0 RICHARD J GRATTAN 2.00 X 0 0 0 THOMAS B GREALISH 2.00 X 0 0 0 MARY R GREALY ESQ 2.00 X 0 0 0 ROBERT Z GUSSIN PHD 2.00 X 0 0 0 TERRENCE S JACOBS 2.00 X 0 0 0 MARY ADELE KROLIKOWSKI 2.00 X 0 0 0 SCOTT M LAMMIE 2.00 X 0 0 0 REV JAMES P MCCLOSKEY 55.00 X X 0 0 5304 JOHN R MCGINLEY JR 2.00 X 0 0 0 JOHN W MCGONIGLE 2.00 X 0 0 0 JAMES F MCGUIRK II 2.00 X 0 0 0 HELENE L NORBUT 2.00 X 0 0 0 IRENE M QUALTERS 2.00 X 0 0 0 REV JOHN A SAWICKI CSSP 12.00 X 0 0 5235 THADDEUS J SENKO 2.00 X 0 0 0 REV DANIEL WALSH CSSP 2.00 X 0 0 0 REV FREDDY WASHINGTON CSSP 2.00 X 0 0 0 PATRICIA D YODER 2.00 X 0 0 0 MARIE MILIE JONES 2.00 X X 0 0 0 ANTHONY J CARFANG 2.00 X X 0 0 0 WILLIAM J LYONS 2.00 X X 0 0 0 CHARLES J DOUGHERTY 55.00 X X 594033 0 84860 LINDA S DRAGO ESQ 55.00 X 166908 0 20489 REV SEAN HOGAN CSSP 55.00 X 0 0 5304 RALPH L PEARSON 55.00 X 251703 0 46145 JOHN P PLANTE 55.00 X 208849 0 41851 STEPHEN A SCHILLO 55.00 X 296515 0 42902 JDOUGLAS BRICKER 55.00 X 219072 0 29785 GREGORY H FRAZER 55.00 X 167626 0 40111 ALAN R MICIAK 55.00 X 218531 0 41324 RONALD C EVERHART II 55.00 X 427300 0 41144 ALEEM GANGJEE 55.00 X 342007 0 34483 KENNETH G GORMLEY 55.00 X 217163 0 63636 JOHN E MURRAY 35.00 X 390216 0 31688 VANESSA BROWNE BARBOUR 55.00 X 230213 0 14416 DAVID W SEYBERT-FORMER KEY EMPLOYEE 55.00 X 157623 0 69153 3887759 0 617830 196 1 1 0 PJ DICK INCORPORATED 225 N SHORE DRIVE PITTSBURGH PA 15212 CONSTRUCTION 21461676 ARAMARK CORPORATION 600 FORBES AVENUE PITTSBURGH PA 15282 FOOD SERVICE 11298966 RUTHRAUFF SAUER LLC 400 LOCUST STREET MCKEES ROCKS PA 15136 CONSTRUCTION 2486478 TEDCO CONSTRUCTION CORPORATION 1 TEDCO PLACE CARNEGIE PA 15106 CONSTRUCTION 2070193 RYCON CONSTRUCTION INC 2525 LIBERTY AVENUE PITTSBURGH PA 15222 CONSTRUCTION 2005482 58 458757 11308578 14482043 1356545 26249378 EDUCATIONAL PROGRAMS 611710 264331820 264331820 AUXILIARY SERVICES 611710 38840129 38522412 317717 0 ACADEMIC SUPPORT 611710 745204 745204 PUBLIC SERVICE 611710 202648 202648 SCIENCE&TECHN.RESEARCH 541700 15239 15239 304135040 5193238 -16490 5209728 489249 489249 425153 0 425153 425153 110780 314373 79192626 5279970 76369550 70353 2823076 5209617 8032693 8032693 302737 458757 267093 35644 35644 3902885 3425409 477476 491316 -13840 345037871 303817323 903323 14067847 76784689 76784689 767675 767675 2746419 1272440 964026 509953 126616768 109124020 16250061 1242687 7091066 5900838 1134919 55309 21717723 18419205 2956882 341636 8865253 6815147 1950616 99490 1231627 1231627 193050 193050 48879 48879 138635 138635 11809191 10788154 974140 46897 3378175 2387590 920752 69833 11171087 8605671 2381116 184300 3075810 838022 2237788 9038009 7561848 1405702 70459 6552789 6218666 185278 148845 352214 326620 21412 4182 6201085 5198105 1000140 2840 16718694 14014569 2675963 28162 1203539 70633 1132906 OTHER/GENERAL 11554702 11331274 19394 204034 MEMBERSHIPS 658217 491022 163439 3756 327915296 286916188 37986725 3012383 30988174 23552938 8075090 6053726 18815196 18969981 988354 923287 3714845 4776355 463273325 176813491 252410354 286459834 183625082 189568702 23235012 24265954 46408022 18609071 568260129 573179848 35934644 36178749 8323226 9054073 167549670 162346692 19484351 21298094 231291891 228877608 X 217731174 226559943 43722187 39274482 75514877 78467815 336968238 344302240 568260129 573179848 X 17122575 -9788573 X X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 48879 48879 327866417 327915296 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 49182 62415 54370 48879 214846 250000 250000 250000 250000 1000000 1500000 175675451 3044254 2047769 2839168 6365195 180197963 142397816 5411994 32729426 2848519 2015266 175675451 122584269 7144039 17182748 2615954 1897286 142397816 162745593 3286262 -37991041 1981494 3475051 122584269 0.42080 0.42500 0.15420 0 0 19518335 19518335 321777459 127542273 194235186 59077042 41489684 17587358 62900489 7781534 55118955 286459834 EQUIPMENT LEASE - MISCELLANEOUS 1722201 CONDITIONAL ASSET RETIREMENT OBLIGATION 5854245 FEDERAL LOAN FUNDS 11664072 URA GEYER GARAGE - PURCHASE FEE 92300 AGENCY FUNDS 1095546 ANNUITIES PAYABLE 869730 21298094 345037871 327915296 17122575 -9735695 -52878 -9788573 7334002 261362517 -9735695 233810 -9501885 270864402 74173469 74173469 345037871 254028515 233810 3431773 3665583 250362932 77552364 77552364 327915296 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE INTENDED USES OF DUQUESNE UNIVERSITY OF THE HOLY SPIRIT ENDOWMENT FUNDS ARE TO PRIMARILY PROVIDE FUNDS FOR STUDENT SCHOLARSHIPS, FELLOWSHIPS, LECTURESHIPS, FACULTY CHAIRS, AND RESOURCE FUNDS. ENDOWMENT FUNDS ALSO SUPPORT LIBRARY, ACADEMIC SUPPORT, REPAIR AND REPLACEMENT FACILITIES, AND GENERAL OPERATIONS. ALL USES ARE IN ACCORDANCE WITH APPLICABLE DONOR RESTRICTIONS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE UNIVERSITY ADOPTED GUIDANCE FOR UNCERTAINTY IN INCOME TAXES, WHICH PROVIDES CRITERIA FOR THE RECOGNITION AND MEASUREMENT OF UNCERTAIN TAX POSITIONS. THIS GUIDANCE REQUIRES THAT AN UNCERTAIN TAX POSITION SHOULD BE RECOGNIZED ONLY IF IT IS "MORE LIKELY THAN NOT" THAT THE POSITION IS SUSTAINABLE BASED ON ITS TECHNICAL MERITS. RECOGNIZABLE TAX POSITIONS SHOULD THEN BE MEASURED TO DETERMINE THE AMOUNT OF BENEFIT RECOGNIZED IN THE FINANCIAL STATEMENTS. THE UNIVERSITY FILES U.S. FEDERAL, STATE, AND LOCAL INFORMATION RETURNS, AND NO RETURNS ARE CURRENTLY UNDER EXAMINATION. THE STATUTE OF LIMITATIONS ON THE UNIVERSITY'S U.S. FEDERAL TAX RETURNS REMAINS OPEN FOR THE YEARS ENDED JUNE 30, 2008, THROUGH THE PRESENT. THE UNIVERSITY CONTINUES TO EVALUATE ITS TAX POSITIONS PURSUANT TO THE PRINCIPLES OF SUCH GUIDANCE AND HAS DETERMINED THAT THERE IS NO MATERIAL IMPACT ON THE UNIVERSITY'S FINANCIAL STATEMENTS. PART XI, LINE 8 - OTHER ADJUSTMENTS: SPECIAL EVENT ACTIVITIES -35,644. NONCASH CONTRIBUTIONS NOT ON THE FINANCIAL STATEMENTS -12,359. FEES (CARS) -4,875. TOTAL TO SCHEDULE D, PART XI, LINE 8: -52,878. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 77,552,364. SPECIAL EVENT ACTIVITIES 35,644. COST OF GOODS SOLD -3,425,409. LOSS ON SALES OF ASSETS -70,353. NONCASH CONTRIBUTIONS NOT ON THE FINANCIAL STATEMENTS 12,359. FEES (CARS) 4,875. COMPUTER STORE CHARGEBACKS 63,989. PART XIII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 3,425,409. LOSS ON SALES OF ASSETS 70,353. COMPUTER STORE CHARGEBACKS -63,989. PART XIII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID/SCHOLARSHIPS 77,552,364. 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 DUQUESNE UNIVERSITY'S NONDISCRIMINATORY POLICY IS PUBLISHED IN CATALOGS, REGISTRATION PUBLICATIONS, APPLICATIONS FOR ADMISSION AND FINANCIAL AID. THE POLICY IS ALSO AVAILABLE ON MULTIPLE AREAS OF THE UNIVERSITY'S WEB SITE AS WELL AS PUBLISHED IN THE PITTSBURGH POST GAZETTE ANNUALLY. THE POLICY IS ALSO PUBLISHED IN HUMAN RESOURCE / EMPLOYMENT PUBLICATIONS AND DOCUMENTS, THE PREAMBLE OF THE EXECUTIVE RESOLUTIONS OF THE BOARD AND IN ADMINISTRATIVE POLICIES. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 IN THE COURSE OF OUR BUSINESS AS A UNIVERSITY, THE INSTITUTION RECEIVES FEDERAL GRANT FUNDS FOR ADMINISTRATIVE ALLOWANCES FOR SEOG, PELL, CWS AND STATE INSTITIONAL ASSISTANCE GRANTS. 1 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 4500 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 37786 CENTRAL AMERICA & CARIBBEAN 0 0 INVESTMENTS 17399169 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD PROGRAM 221056 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 141467 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 27796 EUROPE 1 15 PROGRAM SERVICES STUDY ABROAD PROGRAM 922521 EUROPE 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 706129 EUROPE 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 1488737 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 5250 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 3027 NORTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 236191 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD PROGRAM 10074 SOUTH AMERICA 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 10500 SOUTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 39209 SOUTH ASIA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 5975 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES SCHOLARSHIPS / FINANCIAL AID 13500 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 94851 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 2276 1 15 0 0 1 15 19460424 1909590 21370014 STUDENT SCHOLARSHIP EUROPE 117 706129 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT STUDENT SCHOLARSHIP EAST ASIA AND THE PACIFIC 5 27796 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT STUDENT SCHOLARSHIP SOUTH AMERICA 2 10500 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT STUDENT SCHOLARSHIP CENTRAL AMERICA 1 4500 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT STUDENT SCHOLARSHIP MIDDLE EAST 1 5250 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT STUDENT SCHOLARSHIP SUB-SAHARAN-AFRICA 3 13500 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT 1 0 1 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENT'S RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEEDS ARE MONITORED TO ENSURE THEY MEET ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. FR. HOGAN'S CELEBRATION 232648 214316 18332 16901 1431 DAF GOLF OUTING #2 184076 79445 104631 3936 24075 40000 14067 10 344770 164996 179774 1319 40585 74453 1125 49201 761494 458757 302737 5255 64660 131354 1125 64699 267093 35644 1 ACADEMIC SCHOLARSHIPS 7748 57579669 0 ATHLETIC SCHOLARSHIPS 315 5539098 0 ENDOWED /NON-ENDOWED SCHOLARSHIPS 1259 2867713 0 RELIGIOUS / H.S., TEACHER, SCHOLARSHIPS 637 2345878 0 TAMBURITIZAN / ROTC 39 437677 0 NEED BASED 3148 8014654 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEEDS ARE MONITORED TO ENSURE THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. X X 1 1 X X X X X 1 1 0 0 0 0 0 0 0 CHARLES J DOUGHERTY 584784 0 0 0 9249 0 69600 0 15260 0 678893 0 0 0 LINDA S DRAGO ESQ 166908 0 0 0 0 0 13546 0 6943 0 187397 0 0 0 RALPH L PEARSON 242301 0 0 0 9402 0 19600 0 26545 0 297848 0 0 0 JOHN P PLANTE 200814 0 0 0 8035 0 16775 0 25076 0 250700 0 0 0 STEPHEN A SCHILLO 287182 0 0 0 9333 0 19600 0 23302 0 339417 0 0 0 JDOUGLAS BRICKER 219072 0 0 0 0 0 17544 0 12241 0 248857 0 0 0 GREGORY H FRAZER 161248 0 0 0 6378 0 13710 0 26401 0 207737 0 0 0 ALAN R MICIAK 218432 0 0 0 99 0 18021 0 23303 0 259855 0 0 0 RONALD C EVERHART II 424023 0 0 0 3277 0 19600 0 21544 0 468444 0 0 0 ALEEM GANGJEE 338443 0 0 0 3564 0 19834 0 14649 0 376490 0 0 0 KENNETH G GORMLEY 216227 0 0 0 936 0 17851 0 45785 0 280799 0 0 0 JOHN E MURRAY 380967 0 0 0 9249 0 24802 0 6886 0 421904 0 0 0 VANESSA BROWNE BARBOUR 229399 0 0 0 814 0 5942 0 8474 0 244629 0 0 0 DAVID W SEYBERT-FORMER KEY EMPLOYEE 149720 0 0 0 7903 0 15949 0 53204 0 226776 0 0 0 PART I, LINES 4A-B VANESSA BROWNE-BARBOUR - EMPLOYEE RECEIVED $153,778 REPRESENTING A BUYOUT OF FUTURE YEARS UNDER AN EMPLOYMENT CONTRACT. (1)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RXXX 2004-03-31 30020970 SEE PART V 0 0 0 (2)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RDC0 2005-12-02 18312888 SEE PART V 0 0 0 (3)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RDC0 2005-12-02 17401828 SEE PART V 0 0 0 (4)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728REN8 2007-08-23 15073128 SEE PART V 0 0 0 30075410 1118464 28956946 2004 0 0 1 1 19637033 479580 19157453 2007 0 0 1 1 17060288 288038 16772250 2005 1 0 1 1 15347821 373166 14947693 2008 0 0 1 1 0 1 1 1 0 0.00000 0.00000 0.00000 1 0 1 1 1 0 0.00000 0.00000 0.00000 1 0 1 1 1 0 0.00000 0.00000 0.00000 1 0 1 1 1 0 0.00000 0.00000 0.00000 1 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 SCHEDULE K SUPPLENTAL INFORMATION BOND (1)-DORMITORY ACQUISITION & CAPITAL PROJECTS BOND (2)-CONSTRUCTION OF ATHLETIC/RECREATION COMPLEX & PEDESTRIAN BRIDGE & MISCELLANEOUS CAPITAL PROJECTS & RENOVATIONS BOND (3)-REFUNDING OF 1996 BOND ESCROW BOND (4)-CAPITAL PROJECTS/RENOVATIONS BOND (5)-ACQUISITION OF BUILDING AND REFUNDING OF 2003 BOND ESCROW, 2005 C BOND ESCROW & 2007 B BOND ESCROW BOND (6)-CAPITAL PROJECTS PART V - THE UNIVERSITY DEVELOPED WRITTEN PROCEDURES REGARDING THE BOND POST ISSUANCE COMPLIANCE POLICY. THESE PROCEDURES WERE ADOPTED ON FEBRUARY 15, 2013. (5)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RFL8 2008-06-19 30780280 SEE PART V 0 0 0 (6)ALLEGHENY COUNTY HIGHER EDUCBUILDAUTH 251425398 01728RHG7 2011-02-10 53203859 SEE PART V 0 0 0 30780280 244023 4461383 26067000 2008 1 0 1 1 53014166 206872 43820574 10563067 2012 0 0 0 1 0 1 1 1 0 0.00000 0.00000 0.00000 1 0 1 0 0 0.00000 0.00000 0.00000 1 1 0 0 0 0 1 1 0 0 0 0 1 UPMC HEALTH PLANINSURANCE BUS RELATIONSHIP - SEE DESCRIPTION OF TRANSACTION 2796034 HEALTH SRVCS - S. LAMMIE, DUQUESNE UNIVERSITY BOARD MEMBER AND CFO, UPMC HEALTH PLAN / V.P., INSURANCE DIVISION TRANSACTIONS WITH UPMC HEALTH PLAN INCLUDED: HEALTH BENEFITS PLAN (DU-SELF INSURED) CLAIM PAYMENTS TO ALL UPMC HEALTH FACILITIES. 0 FEDERATED INVESTORS INC BUS RELATIONSHIP - SEE DESCRIPTION OF TRANSACTION 105620 FINANCIAL ADVISEMENT COMPANY - J. MCGONIGLE, DUQUESNE UNIVERISTY BOARD MEMBER AND DIRECTOR / OFFICER / SHAREHOLDER,FEDERATED INVESTORS. 0 X 18 16250 SALE PROCEEDS X 25 323273 FMV X 1 1004663 APPRAISAL VALUE X LAW SCHOOL RECEPTION 4 5064 FMV X MUSIC SCHOOL EQUIPMENT 1 500 FMV X FILMS FOR ARCHIVE 1 4500 FMV X TV MONITOR-FOOTBALL 1 2295 FMV 50 0 1 1 THIRD PARTY USE: PART I, LINE 32B: AUTOMOBILES ARE DONATED TO DUQUESNE UNIVERSITY OF THE HOLY SPIRIT - WDUQ PUBLIC RADIO STATION VIA CHARITABLE AUTO RESOURCES (CARS) IN SAN DIEGO, CA. NO SOLICITATION IS MADE BY CARS, ONLY VIA WDUQ AIR BROADCASTING ACTIVITIES. CARS SENDS A SIGNED ACKNOWLEDGEMENT LETTER ON WDUQ LETTERHEAD WITH FORM 8283 ON BEHALF OF WDUQ TO DONORS. DU/WDUQ RECEIVED CONTRIBUTIONS OF 18 AUTOMOBILES AND OTHER VEHICLES: 18 WDUQ AUTOMOBILES WERE RECEIVED VIA CARS WITH RECEIPTS OF $11,375. TOTAL ACKNOWLEDGED/RECEIVED BY (CARS) $16,250. 30% FEE/EXPENSE (CARS) ($ 4,875) TOTAL DU RECEIVED/DEPOSITED / TOTAL CARS & OTHER VEHICLES DONATED $11,375 DONATED STOCK IS IMMEDIATELY SOLD UPON RECEIPT VIA USB FINANCIAL SERVICES,INC. DONATED CONDOMINIUM WAS SOLD USING AN UNRELATED THIRD PARTY. NON REPORTING OF REVENUE: PART I, LINE 33: SMALL ITEMS WITH A DE MINIMIS FMV, SUCH AS FOOD INVENTORY, CLOTHING AND HOUSEHOLD GOODS, ARE NOT RECORDED IN THE FINANCIAL STATEMENTS. FORM 990, PART VI, SECTION A, LINE 2 JOHN MURRAY, JOHN MCGONIGLE - BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 6 DUQUESNE UNIVERSITY IS A PENNSYLVANIA NONPROFIT CORPORATION RECOGNIZED AS AN IRC SECTION 501(C)(3) ORGANIZATION. AS PER THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, IT SHALL HAVE MEMBERS. THE MEMBERS OF THE UNIVERSITY SHALL BE THE PROVINCIAL SUPERIOR, THE MEMBERS OF THE PROVINCIAL COUNCIL, AND SUCH OTHER VOWED MEMBERS OF THE CONGREGATION OF THE HOLY SPIRT PROVINCE OF THE UNITED STATES AS ARE APPOINTED BY THE PROVINCIAL SUPERIOR WITH THE CONSENT OF THE PROVINCIAL COUNCIL SO THAT THERE ARE AT ALL TIMES SIX MEMBERS BUT NO MORE THAN 10 MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A PURSUANT TO THE UNIVERSITY'S ARTICLES, THE BOARD OF DIRECTORS SHALL BE ELECTED ANNUALLY BY THE MEMBERS (AS DEFINED ABOVE). IN ADDITION, THERE ARE SEVEN EX-OFFICIO VOTING MEMBERS OF THE BOARD: THE PRESIDENT OF THE UNIVERSITY, THE VICAR/DIRECTOR OF THE ROMAN CATHOLIC DIOCESE OF PITTSBURGH, PA, THE CHAIRMAN, VICE-CHAIRMAN AND SECRETARY OF THE MEMBERS, THE VP FOR MISSION & IDENTITY AT THE UNIVERSITY AND THE PRESIDENT OF THE DUQUESNE UNIVERSITY ALUMNI ASSOCIATION. FORM 990, PART VI, SECTION A, LINE 7B CERTAIN POWERS ARE RESERVED TO THE MEMBERS INCLUDING BUT NOT LIMITED TO, ELECTION AND REMOVAL OF ANY INDIVIDUAL MEMBER OF THE BOARD OF DIRECTORS, THE RIGHT TO AMEND, ALTER, MODIFY OR REPEAL GOVERNING DOCUMENTS, APPROVE CERTAIN TRANSACTIONS AS SET FORTH IN THE BYLAWS, ISSUE STATEMENTS OF POLICY REGARDING PHILOSOPHY AND MISSION, APPROVE APPOINTMENT OF THE UNIVERSITY PRESIDENT AND CONFIRM OFFICER ELECTIONS, AND APPROVE EMPLOYMENT CONTRACTS OF UNIVERSITY OFFICERS. FORM 990, PART VI, SECTION B, LINE 11 THE DRAFT FORM 990, 990-T AND REQUIRED SCHEDULES ARE REVIEWED WITH THE ORGANIZATION'S INTERNAL MANAGEMENT AS WELL AS THE AUDIT AND FINANCE COMMITTEE. UPON COMPLETION OF THIS REVIEW, THE FORMS ARE FINALIZED AND A COMPLETE COPY IS PROVIDED TO THE BOARD OF DIRECTORS VIA AN INTRANET SITE IN ADVANCE OF FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, A CONFLICT OF INTEREST FORM IS GIVEN TO EMPLOYEES OF THE UNIVERSITY AND TO THE BOARD OF DIRECTORS INCLUDING THE CORPORATION MEMBERS, OFFICERS, HIGHEST PAID AND KEY EMPLOYEES. ALL MUST COMPLETE THIS FORM. THIS CONFLICT OF INTEREST FORM HAS BEEN ENHANCED TO INCLUDE MORE DETAILED QUESTIONS RELATING TO THE FY 2011 FORM 990, TO REQUEST INFORMATION REQUIRED BY THE FORM. FORM 990, PART VI, SECTION B, LINE 15A COMPENSATION OF THE PRESIDENT IS DETERMINED BY THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS. COMPENSATION OF OTHER OFFICERS IS DETERMINED BY THE PRESIDENT OF THE UNIVERSITY AND REVIEWED WITH CHAIRPERSON OF THE BOARD. COMPENSATION OF KEY EMPLOYEES: THE OFFICE OF HUMAN RESOURCES DEVELOPS AND MAINTAINS A WAGE AND SALARY PROGRAM TO ENSURE FAIR AND EQUITABLE COMPENSATION FOR ADMINISTRATIVE, PROFESSIONAL, AND CLERICAL STAFF OF THE UNIVERSITY. THE PLAN ESTABLISHES PAY RANGES FOR POSITIONS TO ESTABLISH INTERNAL EQUITY, AND ALSO USES SURVEYS OF LOCAL AND NATIONAL INSTITUTIONS, WHICH MAINTAIN SIMILAR OR COMPARABLE EMPLOYMENT SITUATIONS. THE DOCUMENTED RANGES ARE REVIEWED PERIODICALLY AND MODIFIED ACCORDINGLY. FACULTY SALARIES ARE SET BY THE DEAN IN CONSULTATION WITH THE PROVOST AND ARE BASED UPON RELEVANT MARKET AND DISCIPLINE BASED SURVEYS. FORM 990, PART VI, SECTION C, LINE 19 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT MAKES ITS GOVERNANCE DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENT AVAILABLE TO THE PUBLIC UPON REQUEST. PART VIII LINE 10, SALES OF INVENTORY: THE CENTER FOR PHARMACY SERVICES PROVIDES SERVICES TO DUQUESNE STUDENTS, EMPLOYEES AS WELL AS THE PITTSBURGH COMMUNITY. (THERE WERE 608 RECIPIENTS OF PHARMACY SERVICES). THIS ACTIVITY IS INCLUDED IN LINE 10 IN THE STATEMENT OF REVENUE. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -9,735,695. SPECIAL EVENT ACTIVITIES -35,644. NONCASH CONTRIBUTIONS NOT ON THE FINANCIAL STATEMENTS -12,359. FEES (CARS) -4,875. TOTAL TO FORM 990, PART XI, LINE 5: -9,788,573. FORM 990, PART XII, LINE 2C, OVERSIGHT OF FINANCIAL AUDIT: DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FINANCIAL STATEMENTS ARE AUDITED BY AN INDEPENDENT ACCOUNTING FIRM. IN ADDITION, DUQUESNE UNIVERSITY OF THE HOLY SPIRIT HAS A COMMITTEE THAT ASSUMES THE RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND ITS SELECTION OF THE INDEPENDENT ACCOUNTING FIRM. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. EASTERN CONGREGATION OF THE HOLY SPIRIT PROVINCE OF THE UNITED STATES 6230 BRUSH RUN ROAD BETHEL PARK PA 151022214 RELIGIOUS CONGREGATION PA 501(C)(3) 170(B)(1)(A)(I) N/A 0 THE DIETRICH FOUNDATION 600 GRANT STREET SUITE 5360 PITTSBURGH PA 15219 364711746 TO SUPPORT FUNCTIONS OF & CARRY OUT THE PURPOSES OF DUQUESNE PA 501(C)(3) 509(A)(3) N/A 0 DUQUESNE UNIVERSITY WOMEN'S ADVISORY BOARD 600 FORBES AVENUE PITTSBURGH PA 15282 232924542 PROVIDE SCHOLASTIC FUNDS TO DUQUESNE UNIVERSITY SCHOOL OF MUSIC. PA 501(C)(3) 509(A)(3) N/A 0 CRT - RAYMOND V BUNCH 2517 SUMMIT STREET BETHEL PARK PA 15102 CHARITABLE REMAINDER TRUST PA N/A T 1.00000 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0