2013-05-15T08:06:18-05:00 2012-06-30 990 2011-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL ST WASHINGTON BLDG NO 850 DURHAM NC 27701 TALLMAN TRASK III 9196842006 2013-05-10 0 2011 2016-02-24 21:20:13Z X RICHARD H BRODHEAD 324 BLACKWELL STREET DURHAM NC 27701 12508014756 0 X WWW.DUKE.EDU X 1841 NC TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH 37 31 28065 0 0 0 1297436773 1266450295 807858421 845395298 468980661 239252699 132786004 47103614 2707061859 2398201906 251114476 265321386 0 0 1262555864 1295102905 0 544429 27080514 1000393143 936855248 2514063483 2497823968 192998376 -99622062 10394643684 10201759923 2239253731 2276463364 8155389953 7925296559 X SEE SCHEDULE O 0 0 1407239424 237786349 672466077 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 4603 STUDENTS ANNUALLY 722950932 26885659 1018364268 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS 198554689 649378 81897182 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY 2328745045 1 1 0 1 0 0 0 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 1 0 0 0 0 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 1 X 10732 0 1 28065 1 0 1 SP EC IT GM UK CH SN TZ 0 0 0 1 1 1 1 0 0 0 X 37 31 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AK AZ CO DC MD MA MI NH NJ NY OR WA X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST STE 850 DURHAM NC 27701 X ANNE T BASS 1.00 X 0 0 0 JACK O BOVENDER JR 1.00 X 0 0 0 RICHARD H BRODHEAD 50.00 X X 985763 0 191905 PAULA PHILLIPS BURGER 4.00 X 0 0 0 ADRIENNE C CLOUGH 0.50 X 0 0 0 PAULA HANNAWAY CROWN 1.00 X 0 0 0 ALLYSON KAY DUNCAN 1.00 X 4500 0 0 RALPH EADS III 1.00 X 0 0 0 FRANK E EMORY JR 1.00 X 0 0 0 PAUL E FARMER 4.00 X 0 0 0 ROBIN A FERRACONE 1.00 X 0 0 0 XIQING GAO 2.50 X 0 0 0 DAVID GERGEN 0.00 X 0 0 0 THOMAS M GORRIE 2.00 X 0 0 0 JOHN HARPHAM 6.00 X 0 0 0 GERALD L HASSELL 1.00 X 0 0 0 WILLIAM A HAWKINS III 3.00 X 0 0 0 JANET HILL 1.00 X 0 0 0 BETSY D HOLDEN 0.00 X 0 0 0 KENNETH W HUBBARD 1.00 X 0 0 0 PETER J KAHN 2.00 X 0 0 0 ABHISEKH SUNNY K KANTHA 1.00 X 0 0 0 BRUCE A KARSH 1.00 X 0 0 0 ELIZABETH KISS 1.70 X 0 0 0 MARGUERITE W KONDRACKE 1.00 X 0 0 0 MICHAEL MARSICANO 0.40 X 0 0 0 MARTHA L MONSERRATE 0.10 X 0 0 0 CLARENCE G NEWSOME 9.00 X 0 0 0 ROBERT R PENN 1.00 X 0 0 0 DAVID M RUBENSTEIN 2.00 X 0 0 0 ALAN D SCHWARTZ 1.00 X 0 0 0 LAURENE M SPERLING 1.00 X 0 0 0 SUSAN M STALNECKER 1.00 X 0 0 0 ASHLEY CROWDER STANLEY 1.00 X 0 0 0 HARDY VIEUX 1.00 X 0 0 0 G RICHARD WAGONER JR 1.00 X 0 0 0 HOPE MORGAN WARD 1.00 X 0 0 0 PAMELA J BERNARD 40.00 X 422842 0 45925 VICTOR J DZAU 40.00 X 2060599 0 711844 PETER LANGE 65.00 X 524582 26000 37745 RICHARD V RIDDELL 60.00 X 291166 0 41212 TALLMAN TRASK III 60.00 X 550433 0 57606 NANCY C ANDREWS 60.00 X 743157 0 46514 ALVIN L CRUMBLISS 40.00 X 299610 0 35356 J SCOTT GIBSON 60.00 X 529027 0 48967 ALICE E GOULD 40.00 X 614784 0 103840 ANDERS W HALL 50.00 X 642015 0 164403 JOHN J NOONAN 40.00 X 257608 0 77258 LAURIE L PATTON 62.00 X 198673 0 24697 ERIC D PETERSON 100.00 X 281928 0 42201 JAMES S ROBERTS 40.00 X 312015 0 36245 NEAL F TRIPLETT 55.00 X 2001069 0 511105 DAVID N CUTCLIFFE 40.00 X 1740975 0 46977 MICHAEL B KASTAN 40.00 X 757354 0 34757 MICHAEL W KRZYZEWSKI 40.00 X 7680591 0 1995260 RALPH SNYDERMAN 40.00 X 1050805 0 41799 KEVIN M WHITE 40.00 X 886903 0 47112 22836399 26000 4342728 2203 0 1 0 SKANSKA USA BUILDING INC 4309 EMPEROR BLVD DURHAM NC 27703 CONSTRUCTION SERVICE 22666702 PAREXEL INTERNATIONAL 5239 PAYSPHERE CIRCLE CHICAGO IL 60674 CONSULTING SERVICE 16646100 BALFOUR BEATTY CONSTRUCTION 5420 WADE PARK BLVD RALEIGH NC 27607 CONSTRUCTION SERVICE 14071828 HC BECK LTD 3500 LENOX RD ATLANTA GA 30326 CONSTRUCTION SERVICE 9914934 UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DR CHAPEL HILL NC 275991350 RESEARCH 9288622 655 6031575 102741490 588309799 569367431 7256559 1266450295 TUITION & FEES 611600 608725878 608725878 ANCILLARY STUDENT SERV 611600 81897182 81897182 CONTINUING EDUCATION 611600 56138687 56138687 CONFERENCE FEES 611600 7601512 7601512 ACADEMIC MEDICAL RESEA 611600 2356765 2356765 88675274 88675274 845395298 71173723 71173723 14244 14244 19403232 19403232 6886487 3927194 2959293 2959293 2959293 10271464325 612283 10101282000 2729876 170182325 -2117593 168064732 168064732 899308 6031575 1873780 -974472 -974472 MISC. SALES 900099 9834668 9834668 STUDENT DUES 900099 1883525 1883525 VARIOUS FEES AND FINES 900099 1820289 1820289 12177079 12177079 25715561 2398201906 871110859 0 260640752 2047728 2047728 262827201 262827201 446457 446457 11504230 1533895 9176426 793909 776102 639602 136500 958781822 843507330 102327952 12946540 70543901 62078633 7054390 1410878 177133487 156395980 18156473 2581034 76363363 67199759 8399970 763634 10653216 2052811 8527288 73117 739180 229907 509273 544429 544429 15901242 15901242 135142577 113500041 20491544 1150992 4501414 3905707 453746 141961 78823676 75817548 2637173 368955 28684361 17623907 11060454 41369067 38382710 2776743 209614 60238889 57460119 1707499 1071271 28245104 22690326 3175243 2379535 61068065 59698748 1369317 184331320 166027220 18304100 9630769 6833109 2792116 5544 SUBRECIPIENT PAYMENTS 154876171 154876171 PRINTING & PUBLICATION 10528945 7995035 1697245 836665 EQUIP RENTAL & MAINTENA 71217350 84242244 -13338308 313414 COST OF GOODS SOLD 20621493 17291462 3309672 20359 20282409 103441395 -84627649 1468663 2497823968 2328745045 141998409 27080514 82111247 196703807 313416867 353246247 167346318 154197560 0 83890 41473023 40658711 18197086 17450224 131104170 28766920 3780931764 2086664586 1696341398 1694267178 1585859186 947329677 5661521012 6111813990 697273377 657241719 10394643684 10201759923 250545391 255630806 194067524 160565970 1089205000 1053900000 6351000 6171000 299148576 328660313 399936240 471535275 2239253731 2276463364 X 3807926733 3624323520 2133672617 1986864925 2213790603 2314108114 8155389953 7925296559 10394643684 10201759923 X -99622062 -130471332 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 1 0 0 0 0 1 180485 0 1 24239 204724 0 PART IV, SUPPLEMENTAL INFORMATION: DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES AND SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. 232780 31327107 X X X X 1 5728347000 79855209 -2357082 70629526 198079895 5537135706 4802051000 81684000 1123743485 73647646 205483839 5728347000 4430172000 86145000 530625628 55616571 189275057 4802051000 6112750000 73482915 -1506464915 52113849 197482151 4430172000 0.31000 0.69000 1 1 1 23363177 23363177 2487551683 1212368369 1275183314 145643949 91462846 54181103 620215685 459393481 160822204 504157270 323439890 180717380 1694267178 SHORT TERM INVESTMENTS 450608583 F US GOVERNMENT SECURITIES 3581000 F REAL ESTATE 837260250 F DOMESTIC BONDS & LONG TERM NOTES 96300289 F DOMESTIC STOCKS 245650510 F INTERNATIONAL STOCKS 877444535 F INTERNATIONAL BOND & LONG TERM NOTES 88780491 F PRIVATE INVESTMENTS 1327531875 F HEDGE STRATEGIES 859791858 F OTHER INVESTMENTS 657317676 F NATURAL RESOURCES 667546923 F 6111813990 DEPOSITS WITH BOND TRUSTEE 9528225 INTEREST IN PERPETUAL TRUST HELD BY OTHERS 647713494 657241719 ANNUITY AND SPLIT INTEREST OBLIGATIONS 42888203 POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 248606415 FUNDS HELD BY OTHERS 66881573 CONDITIONAL ASSET RETIREMENT 42474948 REFUNDABLE FEDERAL STUDENT LOANS 34288120 FICA MEDICAL RESIDENT PAYABLE 29191920 INTERCOMPANY PAYABLE 7204096 471535275 ART COLLECTION SCHEDULE D, PART III, LINE 4 DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCE WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING. USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 SCHEDULE D, PART X DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FIN 48 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FIN 48 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FIN 48 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2012. 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 SEE SUPPLEMENTAL PAGE EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 SEE SUPPLEMENTAL PAGE RACIALLY NONDISCRIMINATORY POLICY FORM 990, SCHEDULE E, LINE 3 DUKE UNIVERSITY IS COMMITTED TO ENCOURAGING AND SUSTAINING WORK AND LEARNING ENVIRONMENTS THAT ARE FREE FROM HARASSMENT AND PROHIBITED DISCRIMINATION. THE UNIVERSITY PROHIBITS DISCRIMINATION AND HARASSMENT IN THE ADMINISTRATION OF BOTH ITS EMPLOYMENT AND EDUCATIONAL POLICIES. EQUAL EMPLOYMENT AND EDUCATIONAL OPPORTUNITIES ARE PROVIDED WITHOUT REGARD TO RACE, COLOR, SEX, RELIGION, NATIONAL ORIGIN, DISABILITY, VETERAN STATUS, SEXUAL ORIENTATION, GENDER IDENTITY, AGE OR GENETIC INFORMATION. DUKE UNIVERSITY ALSO MAKES GOOD FAITH EFFORTS TO RECRUIT, HIRE AND PROMOTE QUALIFIED MINORITIES, WOMEN, INDIVIDUALS WITH DISABILITIES AND VETERANS. IN ACCORDANCE WITH TITLE IX OF THE EDUCATION AMENDMENTS OF 1972, DUKE UNIVERSITY PROHIBITS DISCRIMINATION ON THE BASIS OF SEX. SEXUAL HARASSMENT IS A FORM OF SEX DISCRIMINATION. DUKE UNIVERSITY HAS DESIGNATED DR. BENJAMIN D. REESE, VICE-PRESIDENT OF THE OFFICE FOR INSTITUTIONAL EQUITY AS ITS TITLE IX COORDINATOR. THE OFFICE FOR INSTITUTIONAL EQUITY IS LOCATED IN SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708. DR. REESE'S OFFICE TELEPHONE NUMBER IS 684-8222. QUESTIONS OR CONCERNS REGARDING TITLE IX, HARASSMENT OR DISCRIMINATION MAY BE DIRECTED TO THE OFFICE FOR INSTITUTIONAL EQUITY. POLICIES AND RELATED PROCEDURES ARE COMMUNICATED TO ALL MEMBERS OF THE DUKE COMMUNITY THROUGH VARIOUS PUBLICATIONS, POSTINGS, ELECTRONIC MEDIA AND TRAINING SESSIONS FOR MANAGERS. PUBLICATIONS OF THE UNIVERSITY PICTURE BOTH MINORITY AND NON-MINORITY MEN AND WOMEN AND PERSONS WITH DISABILITIES. RECRUITING ADVERTISEMENTS STATE THAT THE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. FORM 990, SCHEDULE E, LINE 21 FINANCIAL AID AND ASSISTANCE FROM GOVERNMENTAL AGENCIES IN FUTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSITY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, FEDERAL PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 573 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 40913 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RECRUITMENT 866 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 48610 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 181874 CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEMINARS 94567 EAST ASIA AND THE PACIFIC 0 0 FUNDRAISING 1126 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 4133 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES ATHLETIC EVENTS 18578 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 2055007 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES MUSIC EVENT 7229 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RECRUITMENT 87465 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 5584049 EAST ASIA AND THE PACIFIC 2 2 PROGRAM SERVICES STUDY ABROAD 1859653 EAST ASIA AND THE PACIFIC 0 0 SEMINARS 1932067 EUROPE 0 0 FUNDRAISING 20796 EUROPE 0 0 GRANTMAKING 34100 EUROPE 0 0 PROGRAM SERVICES EDUCATION 188292 EUROPE 0 0 PROGRAM SERVICES RECRUITMENT 25516 EUROPE 0 0 PROGRAM SERVICES RESEARCH 10689519 EUROPE 2 57 PROGRAM SERVICES STUDY ABROAD 5987722 EUROPE 0 0 SEMINARS 3553018 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATION 10394 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RECRUITMENT 12738 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 269243 MIDDLE EAST AND NORTH AFRICA 2 2 PROGRAM SERVICES STUDY ABROAD 980315 MIDDLE EAST AND NORTH AFRICA 0 0 SEMINARS 219618 NORTH AMERICA 0 0 FUNDRAISING 685 NORTH AMERICA 0 0 GRANTMAKING 600 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 15010 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 8666180 NORTH AMERICA 0 2 PROGRAM SERVICES STUDY ABROAD 38905 NORTH AMERICA 0 0 SEMINARS 143071 RUSSIA 0 0 PROGRAM SERVICES EDUCATION 33830 RUSSIA 0 0 PROGRAM SERVICES RECRUITMENT 13870 RUSSIA 0 0 PROGRAM SERVICES RESEARCH 111937 RUSSIA 0 8 PROGRAM SERVICES STUDY ABROAD 1155518 RUSSIA 0 0 SEMINARS 88108 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 24619 SOUTH AMERICA 0 0 PROGRAM SERVICES RECRUITMENT 19380 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 952974 SOUTH AMERICA 3 10 PROGRAM SERVICES STUDY ABROAD 136475 SOUTH AMERICA 0 0 SEMINARS 400499 SOUTH ASIA 0 0 FUNDRAISING 15060 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 121112 SOUTH ASIA 0 0 PROGRAM SERVICES RECRUITMENT 27473 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 2942876 SOUTH ASIA 1 5 PROGRAM SERVICES STUDY ABROAD 1146556 SOUTH ASIA 0 0 SEMINARS 323988 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 407052 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 115699 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RECRUITMENT 3917 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 3990293 SUB-SAHARAN AFRICA 1 12 PROGRAM SERVICES STUDY ABROAD 411598 SUB-SAHARAN AFRICA 0 0 SEMINARS 419136 0 0 11 98 11 98 372662 55261740 55634402 SUB-SUHARAN AFRICA GENERAL SUPPORT 16461 WIRE SUB-SUHARAN AFRICA GENERAL SUPPORT 368154 WIRE SUB-SUHARAN AFRICA GENERAL SUPPORT 16000 MEDICAL EQUIPMENT FMV 3 0 FELLOWSHIP EUROPE (INCLUDING ICELAND & GREENLAND) 1 15500 WIRE BEST ARTICLE AWARD EUROPE (INCLUDING ICELAND & GREENLAND) - 1 1500 CHECK DESANCTIS AWARD EUROPE (INCLUDING ICELAND & GREENLAND) - 1 250 CHECK TRAVEL AWARD EUROPE (INCLUDING ICELAND & GREENLAND) - 2 850 CHECK 0 0 1 0 0 1 PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES SCHEDULE F, PART I, LINE 2: DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO SEVERAL ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. X X X X X X 1 GRENZEBACH GLIER & ASSOCIATES MICHIGAN AVE CHICAGO IL 60611 CAMPAIGN CONSULTING 0 0 182506 0 ERICA LIEBERMAN NEW JERICHO RD CHAPEL HILL NC 27516 CAMPAIGN CONSULTING 0 0 23705 0 PLUS DELTA PARTNERS EL CAMINO REAL CARLSBAD CA 92009 CAMPAIGN CONSULTING 0 0 22607 0 PW FEATS 3 E READ ST BALTIMORE MD 21202 CAMPAIGN CONSULTING 0 0 45000 0 SULLIVAN & COMPANY W 14TH ST NEW YORK NY 10014 CAMPAIGN CONSULTING 0 0 188682 0 VEGA METALS 214 HUNT ST DURHAM NC 27701 CAMPAIGN CONSULTING 0 0 19500 0 MSA MARKETING INC CAPITAL CENTER DR RALEIGH NC 27606 CAMPAIGN CONSULTING 0 0 10484 0 PETRIE CREATIVE W JOHNSON ST RALEIGH NC 27603 CAMPAIGN CONSULTING 0 0 12835 0 CONBRIO GREENBRIAR LANE DALLAS TX 75208 CAMPAIGN CONSULTING 0 0 10176 0 REEHER GROUP LLC 165 WESTERN AVE ST PAUL MI 55102 CAMPAIGN CONSULTING 0 0 11600 0 527095 AL AK AZ AR CA CO CT DC FL GA HI IL KS LA ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV KY WI 2011 RADIOTHON 2081082 2079287 1795 451065 ANGELS AMONG US 1893593 1831394 62199 1361 27870 10640 41358 11 2956208 2120894 835314 335453 4434 134773 20305 846521 6930883 6031575 899308 336814 32304 145413 20305 1338944 1873780 -974472 SCHEDULE G, LINE 2(B), COLUMN (V) FUNDRAISING ACTIVITIES DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMN (V). THESE AGREEMENTS ALLOW FOR CERTAIN REIMBURSEMENTS OF EXPENSES SUCH AS: TRAVEL EXPENSES RELATED TO THE SERVICES PROVIDED. THE REIMBURSEMENT IS ANALYZED AND AUTHORIZED ON A CASE BY CASE BASIS. THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED. 1 70 SESAME LLC 824 W BRIDGETOWNE CT DUNLOP IL 61525 452922243 10000 DUKE START UP CHALLENGE PRIZE ALBERT SCHWEITZER FELLOWSHIP 330 BROOKLINE AVE BOSTON MA 02215 131982786 501(C)(3) 20000 SCHWEITZER FELLOWSHIP PROGRAM AMERICAN ACADEMY OF ALLERGY 555 WELLS ST SUITE 1100 MILWAUKEE WI 53202 396061326 501(C)(3) 6000 GENERAL SUPPORT AMERICAN COUNCIL OF LEARNED SOCIETIES 633 THIRD AVE 8TH FLOOR NEW YORK NY 10017 131851145 501(C)(3) 50000 ACLS UNIVERSITY CONSORTIUM ANTILLES JESUIT AID INC 12725 SW 6TH STREET MIAMI FL 33184 650341705 501(C)(3) 8000 HAITI SUPPORT ARIZONA STATE UNIVERSITY PO BOX 872402 TEMPE AZ 85287 860196696 GOV'T ENTITY 15500 GRADUATE STUDENT FELLOWSHIP CAARE INC 214 BROADWAY STREET DURHAM NC 27701 561963988 501(C)(3) 8811 FMV MEDICAL/OFFICE EQUIP GENERAL SUPPORT CALVARY MINISTRIES OF THE W END COMM INC 1311 MOREHEAD AVENUE DURHAM NC 27707 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SUITE 850 WASHINGTON DC 20005 521872849 501(C)(3) 10000 GENERAL SUPPORT CREST STREET COMMUNITY COUNCIL 2616 CREST ST DURHAM NC 27705 581399286 501(C)(4) 10000 GENERAL SUPPORT DELTA GAMMA FOUNDATION 3520 RIVERSIDE DRIVE COLUMBUS OH 43221 316034001 501(C)(3) 7930 GENERAL SUPPORT DURHAM CHAMBER LEGACY FOUNDATION PO BOX 3829 DURHAM NC 27702 131132350 501(C)(3) 31250 VISION 3D- 2012 CONTRIBUTION DURHAM COUNTY 215 NORTH CHURCH ST DURHAM NC 27701 566000297 GOV'T ENTITY 59500 HABITAT FOR HUMANITY SUPPORT DURHAM CRISIS RESPONSE CENTER 206 N DILLARD ST DURHAM NC 277013404 581496427 501(C)(3) 6244 7394 FMV OFFICE EQUIPMENT GENERAL SUPPORT DURHAM PUBLIC SCHOOLS PO BOX 30002 DURHAM NC 27702 566001021 GOV'T ENTITY 19300 260949 FMV COMP/ OFFICE EQUIP GENERAL SUPPORT DUHRAM RESCUE MISSION PO BOX 11858 DURHAM NC 27703 581482590 501(C)(3) 72769 FMV OFFICE EQUIPMENT GENERAL SUPPORT DURHAM SCHOOL OF THE ARTS 400 NORTH DUKE STREET DURHAM NC 27701 566001021 GOV'T ENTITY 16561 COMMUNITY SUPPORT E K POWE ELEMENTARY SCHOOL 913 NINTH STREET DURHAM NC 27705 566001021 GOV'T ENTITY 16464 COMMUNITY SUPPORT E-CLEAN RDIF TECH LLC 2406 FARTHING ST DURHAM NC 27704 452898077 10000 START UP CHALLENGE PRIZE EDGE ATHLETIC APPAREL 621 E MEHRING WAY APT 702 CINCINNATI OH 45202 455366562 10000 START UP CHALLENGE PRIZE EISENBRAUNS INC PO BOX 275 WINONA LAKE IN 465900275 351844412 10000 GENERAL SUPPORT EL CENTRO HISPANO INC 600 E MAIN STREET DURHAM NC 27701 562011661 501(C)(3) 16264 COMMUNITY SUPPORT EMILY KRZYZEWSKI FAMILY CENTER 904 WEST CHAPEL HILL STREET DURHAM NC 27701 562230469 501(C)(3) 215033 GENERAL SUPPORT FAMILY HEALTH MINISTRIES INC PO BOX 16725 CHAPEL HILL NC 275166725 562206165 501(C)(3) 14231 1287 FMV OFFICE EQUIPMENT GENERAL SUPPORT FOCUS ON LIVING - AR-RAZZAQ COMMUNITY DEVELOPMENT 1009 W CHAPEL HILL STREET DURHAM NC 27701 900079920 501(C)(3) 5664 FMV OFFICE EQUIPMENT GENERAL SUPPORT FOREST VIEW ELEMENTARY PTA 3007 MT SINAI RD DURHAM NC 27705 566001021 GOV'T ENTITY 21973 COMMUNITY SUPPORT GENESIS HOME CIRCLE OF SUPPORT 324 BLACKWELL STREET SUITE 122 DURHAM NC 27701 561633998 501(C)(3) 7000 GENERAL SUPPORT GEORGE WATTS MONTESSORI SCHOOL 700 WATTS STREET DURHAM NC 27701 566001021 GOV'T ENTITY 13739 COMMUNITY SUPPORT GORDON RESEARCH CONFERENCES 512 LIBERTY LANE WEST KINGSTON RI 028921502 260150662 501(C)(3) 10000 GENERAL SUPPORT HOUSE OF REFUGE 947 E MAIN STREET DURHAM NC 27701 561988451 501(C)(3) 40006 FMV OFFICE EQUIPMENT GENERAL SUPPORT HOUSING FOR NEW HOPE 18 W COLONY PLACE SUITE 250 DURHAM NC 27705 582089068 501(C)(3) 5750 858 FMV COMPUTER EQUIPMENT GENERAL SUPPORT HYTOWER ENERGY STORAGE 809 WILKERSON AVE DURHAM NC 27701 452284472 25000 START UP CHALLENGE PRIZE INFORMED HORIZONS LLC 1860 MONTREAL RD SUITE 2 TUCKER GA 30084 582531702 12500 GENERAL SUPPORT INTER-FAITH FOOD SHUTTLE PO BOX 14638 RALEIGH NC 27620 561753180 501(C)(3) 7882 COMMUNITY SUPPORT INTERNET2 PO BOX 7855 ANN ARBOR MI 48107 522060187 501(C)(3) 20000 GENERAL SUPPORT KIDZ NOTES 120 MORRIS ST DURHAM NC 27701 270446845 501(C)(3) 8500 COMMUNITY SUPPORT KIRAN 1012 OBERLIN RD RALEIGH NC 27605 562203528 501(C)(3) 7400 GENERAL SUPPORT KRAMDEN INSTITUTE 4916 PROSPECTUS DRIVE DURHAM NC 27713 743108814 501(C)(3) 7975 FMV COMPUTER EQUIPMENT GENERAL SUPPORT KUALI FOUNDATION INC 601 E KIRKWOOD AVE FH116 BLOOMINGTON IN 47405 205118023 501(C)(3) 9666 GENERAL SUPPORT LAKEWOOD ELEMENTARY SCHOOL 2520 VESSON AVENUE DURHAM NC 27707 566001021 GOV'T ENTITY 28743 COMMUNITY SUPPORT LIFE CHANGING OUTREACH MINISTRIES 112 E PINE ST GRAHAM NC 27253 421645375 501(C)(3) 7470 FMV COMPUTER EQUIPMENT GENERAL SUPPORT LOST SOULS MINISTRIES 908 HARRIS ST BURLINGTON NC 27217 203594981 501(C)(3) 8300 FMV COMPUTER EQUIPMENT GENERAL SUPPORT MILBROOK ELEMENTARY 3317 DERBYSHIRE PLACE RALEIGH NC 27604 561137759 501(C)(3) 8300 FMV COMPUTER EQUIPMENT GENERAL SUPPORT MOREHEAD MONTESSORI SCHOOL 909 COBB ST DURHAM NC 27707 566001021 GOV'T ENTITY 7029 COMMUNITY SUPPORT NATIONAL ACADEMY OF SCIENCES 500 5TH ST NW ROOM GR422A WASHINGTON DC 20001 530196932 501(C)(3) 6000 GENERAL SUPPORT NATIONAL HUMANITIES CENTER 7 ALEXANDER DRIVE RTP NC 27709 591735367 501(C)(3) 85000 GENERAL SUPPORT NC BETA PI BETA PHI 929 MORREENE ROAD APT C34 DURHAM NC 277054494 560606085 501(C)(7) 5600 GENERAL SUPPORT NORTH CAROLINA NEW SCHOOLS PROJECT INC 4600 MARRIOTT DRIVE STE 510 RALEIGH NC 27612 204031703 501(C)(3) 15000 STEM NETWORK SUPPORT NORTH CAROLINA STATE UNIVERSITY CAMPUS BOX 7566 RALEIGH NC 276957566 566000756 GOV'T ENTITY 15500 GRADUATE STUDENT FELLOWSHIP OKLAHOMA STATE UNIVERSITY 401 WHITEHURST STILLWATER OK 74076 736017987 GOV'T ENTITY 15500 GRADUATE STUDENT FELLOWSHIP OXFORD HOUSE 203 PEKOE STREET DURHAM NC 27707 521582231 501(C)(3) 6225 FMV COMPUTER EQUIPMENT GENERAL SUPPORT PARTNERS FOR YOUTH 1309 HALLEY ST DURHAM NC 27707 352206640 501(C)(3) 20750 830 FMV COMPUTER EQUIPMENT COMMUNITY SUPPORT REALITY MINISTRIES 4309 MEDICAL PARK DRIVE STE 200 DURHAM NC 27704 261514118 501(C)(3) 5112 FMV COMP/ OFFICE EQUIP GENERAL SUPPORT RICHARDS ADVANTAGE 100 CASCADE POINTE LANE CARY NC 27513 371289163 63150 SUPPORT FOR RONALD MCDONALD HOUSE ROGERS-HERR MIDDLE SCHOOL 911 CORNWALLS ROAD DURHAM NC 27707 566001021 GOV'T ENTITY 18579 COMMUNITY SUPPORT RONALD MCDONALD HOUSE 506 ALEXANDER AVE DURHAM NC 27705 561220376 501(C)(3) 25514 GENERAL SUPPORT ROXBORO CHRISTIAN ACADEMY PO BOX 1357 ROXBORO NC 27573 561141649 501(C)(3) 12633 FMV COMP/ OFFICE EQUIP GENERAL SUPPORT SCOTT CARTER FOUNDATION PO BOX 700448 TULSA OK 741700448 731437230 501(C)(3) 10000 GENERAL SUPPORT SENIOR PHARMASSIST INC 406 RIGSBEE AVE STE 201 DURHAM NC 277012186 562084639 501(C)(3) 27000 GENERAL SUPPORT SHARE THE WARMTH 526 S CHURCH ST CHARLOTTE NC 28202 581586283 501(C)(3) 5459 GENERAL SUPPORT SHELFRELIEF 7801 NW 37TH ST TOP 102 MIAMI FL 33166 275204810 10000 GENERAL SUPPORT SOCIETY OF BLACK ACADEMIC SURGEONS 3800 RESERVOIR RD NW WASHINGTON DC 20007 161444395 501(C)(3) 10000 GENERAL SUPPORT SPECIAL OLYMPICS OF NORTH CAROLINA INC 2200 GATEWAY CENTRE BLVD STE 2 MORRISVILLE NC 27560 561149607 501(C)(3) 12000 100 FMV OFFICE EQUIPMENT GENERAL SUPPORT ST MICHAELS EPISCOPAL CHURCH 647 DUNDEE AVE BARRINGTON IL 60010 362541957 501(C)(3) 6000 GENERAL SUPPORT STOP HUNGER NOW 615 HILLSBOROUGH ST SUITE 200 RALEIGH NC 27603 161541024 501(C)(3) 18788 GENERAL SUPPORT STUDENT U 3116 ACADEMY RD DURHAM NC 27707 560538019 501(C)(3) 45000 FELLOWSHIP TMO FOUNDATION INC 720 RED OAK TREE DRIVE FUQUAY VARINA NC 27526 562655343 501(C)(3) 5640 FMV COMP/ OFFICE EQUIP GENERAL SUPPORT TREASURE COAST COMM HEALTH FDN 2770 INDIAN RIVER BLVD STE 203 VERO BEACH FL 32960 272073611 501(C)(3) 12990 FMV MEDICAL EQUIPMENT GENERAL SUPPORT UNIVERSITY OF CHICAGO 1427 E 60TH ST SUITE 120 CHICAGO IL 60637 362177139 501(C)(3) 15500 GRADUATE STUDENT FELLOWSHIP UNIVERSITY OF IDAHO 6TH DEAKIN ROOM 101 MOSCOW ID 838444291 826000945 501(C)(3) 15500 GRADUATE STUDENT FELLOWSHIP UNIVERSITY OF MARYLAND PO BOX 41428 BALTIMORE MD 212036428 526002033 GOV'T ENTITY 75000 GENERAL SUPPORT UNIVERSITY OF NORTH CAROLINA 207 CALDWELL HALL CB 3125 CHAPEL HILL NC 27599 566001393 GOV'T ENTITY 5063 GENERAL SUPPORT VOYAGER ACADEMY 101 HOCK PARC DURHAM NC 27704 651318240 501(C)(3) 8575 FMV COMPUTER EQUIPMENT GENERAL SUPPORT WAKE FOREST UNIVERSITY REYNOLDA HALL ROOM 4 WINSTONSALEM NC 27106 560532138 501(C)(3) 15500 GRADUATE STUDENT FELLOWSHIP WALLTOWN CHILDRENS THEATRE 1225 BERKLEY ST DURHAM NC 27705 562214825 501(C)(3) 15150 COMMUNITY SUPPORT WALLTOWN NEIGHBORHOOD MINISTRIES INC 917 ONSLOW STREET DURHAM NC 27705 562157465 501(C)(3) 13050 GENERAL SUPPORT WASHINGTON UNIVERSITY 700 ROSEDALE AVE CB 1034 ST LOUIS MO 63112 143060536 501(C)(3) 90000 GENERAL SUPPORT WATER IS LIFE INTERNATIONAL INC 399 CAROLINA AVENUE SUITE 200 WINTER PARK FL 32789 205951140 501(C)(3) 27500 GENERAL SUPPORT 75 10 PHD AWARD 1 2000 1ST PLACE ANNE FLEXNER AWARD FICTION 2 2000 POSTER AWARD 12 1781 2011 CHESTER MIDDLESWORTH AWARD 2 2000 2011 PILKINGTON MEMORIAL AWARD 1 500 2011 STANLEY JACKSON PRIZE 1 500 2011-12 CHARLES ROWE VAIL MEMORIAL SCHOLARSHIP AWARD 1 500 2011-12 OUTSTANDING TEACHING ASSIST. AWARD 8 775 2012 BME EXCELLENCE IN MS STUDIES AWARD 2 600 2012 HELMHOLTZ AWARD 3 600 2012 LEONARDO DA VINCI AWARD 1 200 2012 UTKU AWARD 2 450 2ND PL ALLEN STARLING JOHNSON JR. PRIZE 1 125 2ND PLACE ANNE FLEXNER AWARD FICTION 2 1000 2ND PLACE WINNER IN DUKE ARTS FESTIVAL 1 200 3RD PLACE IN DART CONTEST 1 100 ALEX COHEN AWARD 2 2000 ALLAN STARLING JOHNSON JR OUSTANDG HONORS POSTER 2 250 ALLAN STARLING JOHNSON, JR BEST THESIS FINALIST 4 500 ANGELS AMONG US PROJECT 1 2500 ANNE FIROR SCOTT AWARD 6 5000 ANNE MARIE PERSONS AWARD 1 350 ANNE PHILLIPS RESEARCH AWARD 2 990 ANNUAL COMPUTER SCIENCE GRADUATE STUDENT AWARDS 7 2564 AWARD 20 11025 AWARD 2011 SUMMER READING 2 1000 AWARD FOR FOREIGN LANGUAGE SUMMER 2012 3 7500 AWARD FOR RESEARCH IN ITALY 1 2700 AWARD FOR SUMMER STUDY IN THE ARTS 3 1875 LILLY LIBRARY CONTEST AWARD 7 700 BARABARA HERRSTEIN SMITH AWARD 1 250 BERGENE LI TROPHYCENT AWARD 2 1399 BETSY ALDEN OUTSTANDING SERVICE LEARNING AWARD 2 500 CAMP KALEISSCOPE PROJECT 1 12750 CASE SEED PRIZE AWARD 2 10000 CHARLES ERNEST SEAGER MEMORIAL AWARD 1 500 CHARLES ROWE VAIL MEMORIAL TEACHING AWARD 1 500 CLACS AWARD 2 1900 CLASS OF 2012 OUTSTANDING AWARD WINNER 2 4000 CLAY TALIAFERRO DANCE AWARD/SUMMER STUDY ARTS AWD. 1 875 CONTEST AWARD MAHATO EVENT 2 1031 CONTEST AWARD WINNER 2 1000 CRITICAL ESSAY COMPETITION AWARD 2 500 D.T STALLINGS MENTORING AWARD 1 100 DALE B.J. RANDALL AWARD 1 500 DALMI AWARD 1 500 DANCE WRITING AWARD 1 250 DEAN'S RECOGNITION AWARD 6 1200 DEPT OF MUSIC EXCELLENCE AWARD 1 150 DORIS DUKE AWARD 1 750 DUKE CHAPEL ASSISTANCE 1 500 DUKE START UP CHALLENGE WINNER 4 7050 DUSS MUSIC PRIZE 2 100 ELI SOCIAL ENTREPRENEURSHIP YEAR TO LAUNCH AWARD 1 12500 ESSAY AWARD 2 1000 EVA SALBER AWARD 1 500 INTERNATIONAL STUDENT RESEARCH FELLOWSHIP 11 19008 FILMMAKER AWARD 1 500 FIRST PLACE ART CONTEST AWARD 1 781 FOERSTER PRIZE WINNER 3 2200 GALLERY CHOICE PRIZE 1 50 GALLOWAY FDN FUND GRANT 3 3335 GEORGE SHERRERD III AWARD IN ELECTRICAL ENG. 1 781 GOTCHA! LIVING GREEN PRIZE 1 500 GRAD. RES. TRAINING AWARD 1 2235 GRAD. STUDENT AWARD 1 781 HAAS ESSAY PRIZE 2012 1 1200 HAROLD BRODY AWARDS 1 500 HIGHEST GPA IN SOCIOLOGY 1 250 HOLTON RESEARCH AWARD 4 1000 HONORABLE MENTION FOR ETHNICS ART CONTEST 2 129 HOPE SUMMER INSTITUTE 2 17 34500 IST PL. ALLEN STARLING JOHNSON, JR BEST THESIS 1 781 JAMESON JONES PREACHING AWARD 1 500 JODY MCAULIFFE AWARD 1 500 JOHN M CLUM AWARD 1 500 JUDITH MCDADEPRIZE 2 256 JULIA HARPER DAY AWARD 1 500 JULIA WRAY MEMORIAL DANCE AWARD 1 250 KAMMERER AWARD 2 424 KARL E ZENER AWARD 3 300 KARLA FC HOLLOWAY AWARD 2 300 KATHERINE PAYNE 1 1000 KENAN MORAL PURPOSE AWARD 1 1000 KENAN-BIDDLE GRANT 4 400 KENNETH J REARDON AWARD 1 500 KEWAUNEE POSTER COMPETITION 2 200 LINDSEY ANDREWS WOMEN'S STUDIES SCHOLARS AWARD 1 2400 LOUIS BUDD AWARD 1 250 LOUIS SUDLER PRIZE 2 2563 MARY DUKE BIDDLE FOUNDATION VISUAL ARTS AWARD 2 1000 MARY MCLEOD BETHUNE WRITING AWARD 1 150 MCMURRY RICHIE AWARD 4 750 MEMS AWARD 3 425 MICHAEL NATHAN AWARD 1 2500 MORAL PURPOSE AWARD WINNER 1 1000 MUSICAL ACHIEVEMENT PRIZE 1 50 NANCY KANEB ART HISTORY AWARD 2 1000 GRAD VAIL AWARD 2 1281 OUTSTANDING ACTING STUDENT AWARD 2 1000 OUTSTANDING GRAD. TEACHING ASSIT. AWARD 2 500 PAUL FARMER AWARD 1 100 PH CHALLENGE GRAND PRIZE 2 300 PI TAU SIGMA AWARD 2 200 PRIZE AWARD 2 750 RENTAL ASSISTANCE 1 1600 RESIDENT COMPETITION PRIZE 1 100 REYNOLDS PRICE AWARD 1 500 SCHOLARSHIPS 5 13811 SCHUTTE SENIOR CREATIVE WRITING AWARD 1 1000 SECON PLACE AWARD ART CONTEST 1 469 SERVICE AWARD-KENNETH PARKER 1 62 SOCIAL RELATIONSHIPS SURVEY WINNER 1 600 STALLINGS AWARD 1 100 STANLEY E FISH AWARD 1 390 STEPHEN HORNE TEACHING AWARD 5 1500 STUDENT WINNER FOR PRINT MADE 1 165 SUE AND LEE NOEL PRIZE 1 500 SUMMER 2012 TRAVEL GRANT 1 500 SUMMER INSTITUTE 2012 20 40000 SUMMER RESEARCH FELLOWSHIP 7 26068 TAMAR SHIRINIAN WOMEN'S STUDIES SCHOLARS AWARD 1 2400 THE HENRY SCHUMAN MUSIC PRIZE 1 350 THE JULIA WILKINSON MUELLER PRIZE 2 300 THE WILLIAM KLENZ PRIZE 1 225 THIRD PLACE AWARD ART CONTEST 1 100 THOMAS JEFFERSON AWARD - 2012 1 250 TIP AWARD 7 1806 POSTDOC MENTOR AWARD 1 1000 TRINITY RESEARCH ENHANCEMT AWARD 9 12728 TW AWARD WINNER-ARTS&SCIENCES COURSE RENUMBERGING 1 1000 URS ARTS GRANT 2 608 VISUAL STUDIES INITIATIVE AWARD 1 500 WELBY TAYLOR AWARD 1 1000 WOLA-DUKE BOOK AWARD 1 1000 YOUTH CONTEST 5 340 UNDERGRADUATE ATHLETIC SCHOLARSHIPS 339 14142853 GRADUATE ATHLETIC SCHOLARSHIPS 8 296435 UNDERGRADUATE SCHOLARSHIPS 3680 108835469 GRADUATE SCHOLARSHIPS 3078 69216365 PRE-DOCTORAL SCHOLARSHIPS 2726 39958096 INTERNSHIP STIPEND 897 2030356 UNDERGRADUATE TUITION PAYMENT 153 303214 UNDERGRADUATE STIPEND 1150 3232558 GRADUATE TUITION SCHOLARSHIP 66 416052 GRADUATE STIPEND 1796 23164163 POSTDOCTORAL STIPEND 34 589357 PRE-DOCTORAL TUITION SCHOLARSHIP 3 18978 PRE-DOCTORAL STIPEND 68 294629 SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE, A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT. X X X X X X 1 1 X X X X 1 1 0 0 0 0 0 0 0 RICHARD H BRODHEAD 765292 0 0 0 220471 0 129975 0 64289 0 1180027 0 100000 0 PAMELA J BERNARD 404342 0 2000 0 16500 0 29975 0 18462 0 471279 0 0 0 VICTOR J DZAU 1035303 0 1013580 0 11716 0 697579 0 17515 0 2775693 0 0 0 PETER LANGE 508082 26000 0 0 16500 0 29975 0 9319 0 563876 26000 0 0 RICHARD V RIDDELL 274666 0 0 0 16500 0 29975 0 12051 0 333192 0 0 0 TALLMAN TRASK III 533933 0 0 0 16500 0 29975 0 29262 0 609670 0 0 0 NANCY C ANDREWS 469490 0 211951 0 61716 0 29975 0 17967 0 791099 0 0 0 ALVIN L CRUMBLISS 281193 0 1296 0 17121 0 29975 0 6215 0 335800 0 0 0 J SCOTT GIBSON 361161 0 151366 0 16500 0 29975 0 20078 0 579080 0 0 0 ALICE E GOULD 249695 0 365089 0 0 0 103840 0 735 0 719359 0 0 0 ANDERS W HALL 243196 0 382319 0 16500 0 152192 0 12943 0 807150 0 18000 0 JOHN J NOONAN 257608 0 0 0 0 0 29975 0 48050 0 335633 0 0 0 LAURIE L PATTON 157173 0 25000 0 16500 0 21918 0 3244 0 223835 0 0 0 ERIC D PETERSON 262803 0 2625 0 16500 0 29975 0 13020 0 324923 0 0 0 JAMES S ROBERTS 302015 0 10000 0 0 0 29975 0 7170 0 349160 0 0 0 NEAL F TRIPLETT 427357 0 1557212 0 16500 0 498055 0 14362 0 2513486 0 376600 0 DAVID N CUTCLIFFE 1391928 0 325572 0 23475 0 29975 0 21335 0 1792285 0 0 0 MICHAEL B KASTAN 257769 0 490136 0 9449 0 29975 0 5575 0 792904 0 0 0 MICHAEL W KRZYZEWSKI 1978401 0 5642574 0 59616 0 1982097 0 19344 0 9682032 0 775000 0 RALPH SNYDERMAN 1046835 0 20 0 3950 0 29975 0 15070 0 1095850 0 0 0 KEVIN M WHITE 791435 0 8229 0 87239 0 29975 0 19579 0 936457 0 0 0 PART I, LINE 1A CHARTER TRAVEL SCHEDULE J, PART 1, LINE 1A MICHAEL W. KRYZYZEWSKI AND KEVIN WHITE HAVE USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. RICHARD H. BRODHEAD AND JOHN HARPHAM USED FIRST CLASS TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS SCHEDULE J, PART 1, LINE 1A COMPANIONS HAVE TRAVELED WITH MICHAEL W. KRZYZEWSKI, KEVIN WHITE, AND VICTOR J. DZAU, MD TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. TAX INDEMNIFICATION SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD, MICHAEL W. KRZYZEWSKI, NANCY ANDREWS, ALVIN CRUMBLISS, MICHAEL KASTAN, AND KEVIN M. WHITE RECEIVED SOME BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. RESIDENCE FOR PERSONAL USE SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD WAS PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES SCHEDULE J, PART 1, LINE 1A THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITY USED BY THE UNIVERSITY'S PRESIDENT. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THIS FACILITY IS USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. RICHARD H. BRODHEAD WAS PROVIDED WITH PERSONAL FINANCIAL SERVICES. TO THE EXTENT SUCH SERVICES WERE NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN THE TAXABLE INCOME OF THESE INDIVIDUALS. CLUB DUES SCHEDULE J, PART 1, LINE 1A DAVID N. CUTCLIFFE, J. SCOTT GIBSON, AND NANCY ANDREWS WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS. PART I, LINES 4A-B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART 1, LINE 4B THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $477,600, ANDERS W. HALL $18,000, MICHAEL W. KRZYZEWSKI $450,000, RICHARD BRODHEAD $200,000, SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). VICTOR J. DZAU MD AND RALPH SNYDERMAN, MD PARTICIPATE IN A PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE, HOWEVER THEY DID NOT RECEIVE ANY PAYMENTS DURING THE REPORTING PERIOD. NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GCF3 2005-06-24 216311656 SEE SCHEDULE O 0 0 0 NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GDR6 2006-11-02 397964337 SEE SCHEDULE O 0 0 0 NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GES3 2007-01-09 128278030 SEE SCHEDULE O 0 0 0 NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GFT0 2009-02-25 252585252 SEE SCHEDULE O 0 0 0 220394024 8738412 69239409 1647641 236035 140532528 2007 1 0 1 1 6720000 405128364 8814929 262529247 2807772 130976419 2008 1 1 1 1 128278030 127234526 1043504 2004 0 1 1 1 253158413 7060401 109568000 2182146 124819643 9528223 1 0 0 1 0 0 1 1 1 1 0.00000 0.00000 0.00000 1 0 0 1 1 1 1 0.00310 0.00000 0.00310 1 0 0 1 1 1 1 0.00000 0.00000 0.00000 1 0 0 1 1 1 1 0.00020 0.00000 0.00020 1 0 0 0 1 MORGAN STANLEY & CO 1.800000000000 1 1 0 0 0 0 1 MORGAN STANLEY & CO 1.900000000000 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 X FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND CUSIP NUMBER OF TAX-EXEMPT BONDS BOND ISSUE (C): FORM 8038 LISTS THE CUSIP NUMBER AS 65819GEQ7, 65819GER5, 65819GES3. ALL CUSIPS HAVE THE SAME MATURITY DATE. BOND ISSUE (A2): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 6/16/2011 AND CUSIPS 65818NVW1, 65818NQU1, 65818NQV9, & 65818NVV3 WERE OUTSTANDING AS OF 6/30/2012 UNDER THE NEW ISSUE. FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (A2): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($375,677,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($21,038,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. FORM 990, SCHEDULE K, PART 1(F) PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND $69,038,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED MARCH 17, 2005 TO PROVIDE INTERIM FINANCING FOR CONSTRUCTING AND EQUIPPING FOUR PROJECTS LOCATED ON THE WEST CAMPUS OF DUKE UNIVERSITY (2005A PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2005A PROJECTS. BOND ISSUE (B): TO (1) REFUND THE OUTSTANDING 1996B BONDS ISSUED 7/9/1996, (2) REFUND A PORTION OF THE 2001A BONDS ISSUED 1/8/2002, (3) REFUND $92,699,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 9/18/2006 AND $3,260,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 20 PROJECTS LOCATED ON THE WEST AND EAST CAMPUS OF DUKE UNIVERSITY (2006A PROJECTS), AND (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF COST OF CONSTRUCTING AND EQUIPPING THE 2006A PROJECTS. BOND ISSUE (C): TO REFUND THE OUTSTANDING 2002A BONDS ISSUED 7/30/2002. BOND ISSUE (D): TO (1) REFUND $104,184,000 AGGREGATE PRINCIPAL OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 5/13/2008 AND $5,384,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 28 PROJECTS LOCATED ON WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY (2009B PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2009B PROJECTS. BOND ISSUE (A2): COMMERCIAL PAPER PROGRAM, THE PURPOSES OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 12/15/2009, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY FORM 990, SCHEDULE K, PART II, LINE 13 TAX-EXEMPT BOND BOND ISSUE (D): NO YEAR IS PROVIDED AT THIS TIME, BECAUSE NOT ALL PROJECTS ARE SUBSTANTIALLY COMPLETE. BOND ISSUE (A2): NO YEAR IS PROVIDED AT THIS TIME, BECAUSE NOT ALL PROJECTS ARE SUBSTANTIALLY COMPLETE. FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 4D BOND ISSUE (B): ONLY TWO BIDS WERE RECEIVED FROM SIX PROVIDERS SOLICITED. LINE 6 BOND ISSUE (A2): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED. NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65818NVV3 2011-06-16 396715000 SEE SCHEDULE O 0 0 0 3284000 21038000 21038000 1 0 0 1 0 0 1 1 1 1 0.00000 0.00000 0.00000 1 0 1 0 0 0 0 LAURIE PATTON RELOCATION ASSISTANCE X 88000 83890 0 0 1 83890 1 RECIPIENT FAMILY MEMBER OF GRANT SELECTION COMMITTEE MEMBER 2000 SCHOLARSHIP 1 RECIPIENT GRANT SELECTION COMMITTEE MEMBER 100000 AWARD CYNTHIA BRODHEAD FAMILY MEMBER OF PRESIDENT 136500 SALARY PAID 0 CHRISTOPHER GERGEN FAMILY MEMBER OF TRUSTEE 35000 SALARY PAID 0 LORI LEACHMAN FAMILY MEMBER OF OFFICER 70560 SALARY PAID 0 DEBORAH JAKUBS FAMILY MEMBER OF KEY EMP 267800 SALARY PAID 0 FELTON CAPEL FAMILY MEMBER OF FORMER TRUSTEE 119531 SALARY PAID 0 BERNARD MATHEY-PREVOT FAMILY MEMBER OF KEY EMPLOYEE 146711 SALARY PAID 0 MADISION SQUARE GARDEN DIRECTOR IS TRUSTEE 321030 PAYMENT FOR GOODS OR SERVICES 0 BRIGHT HORIZONS DIRECTOR IS TRUSTEE 366469 PAYMENT FOR GOODS OR SERVICES 0 KAPLAN INC OWNER IS TRUSTEE 64233 PAYMENT FOR GOODS OR SERVICES 0 HINES GLOBAL OFFICER IS TRUSTEE 10332494 PAYMENT FOR GOODS OR SERVICES 0 X 31 232780 VARIOUS X 80557 VARIOUS X 467 6460770 MARKET QUOTE X 1 107000 COST X EVENT TICKETS 1484 215809 FMV X MISCELLANEOUS 210 52499 VARIOUS X EQUIPMENT 13 110144 VARIOUS 11 0 1 1 THIRD PARTY USE: PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART 1, LINE 32B DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASSIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. ORGANIZATION'S MISSION FORM 990, PART III, LINE 1 "JAMES B. DUKE'S FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION;' AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO." UNRELATED BUSINESS GROSS INCOME FORM 990, PART V, LINE 3B THE ORGANIZATION DID NOT HAVE UNRELATED BUSINESS GROSS INCOME OF $1,000 OR MORE DURING THE FISCAL YEAR ENDING JUNE 30, 2012. THEREFORE, FORM 990-T IS NOT REQUIRED FOR THE FISCAL YEAR ENDING JUNE 30, 2012. FORM 990, PART VI, SECTION A, LINE 2 TRUSTEES BRUCE A. KARSH, G. RICHARD WAGONER, JR., PRESIDENT RICHARD H. BRODHEAD, EXECUTIVE VICE PRESIDENT TALLLMAN TRASK III, AND CHIEF INVESTMENT OFFICER NEAL F. TRIPLETT ARE ALL DIRECTORS OF DUMAC, LLC. OFFICERS VICTOR J. DZAU, MD AND PAMELA J. BERNARD ARE BOTH DIRECTORS OF DURHAM CASUALTY COMPANY, LTD. OFFICER VICTOR J. DZAU, MD AND KEY EMPLOYEE J. SCOTT GIBSON ARE BOTH DIRECTORS OF DUKE MEDICAL STRATEGIES, INC. TRUSTEES JANET HILL AND DAVID M. RUBENSTEIN ARE BOTH DIRECTORS OF THE CARLYLE GROUP. FORM 990, PART VI, SECTION A, LINE 7A OF THE 36 ELECTED TRUSTEES FOR DUKE UNIVERSITY, TWELVE ARE ELECTED BY THE NORTH CAROLINA CONFERENCE OF THE UNITED METHODIST CHURCH AND ANOTHER TWELVE ARE ELECTED BY THE WESTERN NORTH CAROLINIA CONFERENCE OF THE UNITED METHODIST CHURCH. FORM 990, PART VI, SECTION B, LINE 11 DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT COMMITTEE OF THE UNIVERSITY TRUSTEES IN ADVANCE OF THE MEETING. AT THE MEETING, THE DUKE UNIVERSITY TAX DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, REVIEWS THE FORM 990 WITH THE COMMITTEE. THE COMMITTEE IS OFFERED AN OPPORTUNITY TO ASK QUESTIONS BOTH AT THE MEETING AND ANYTIME THEREAFTER BY CONTACTING THE TAX DIRECTOR OR DUKE UNIVERSITY'S TAX ATTORNEY, WHO IS ALSO INVOLVED WITH THE PREPARATION OF DUKE UNIVERSITY'S FORM 990. SUBSQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER. FORM 990, PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY. FORM 990, PART VI, SECTION B, LINE 15 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING. FORM 990, PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS ORGANIZING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS.PDF AVERAGE HOURS PER WEEK DEVOTED TO RELATED ORGANIZATIONS FORM 990, PART VII, SECTION A, COLUMN B THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO DUKE UNIVERSITY HEALTH SYSTEM, INC. (A RELATED ORGANIZATION OF DUKE UNIVERSITY): JACK O. BOVENDER, JR, FRANK E. EMORY, JR, THOMAS M. GORRIE, SUSAN M. STALNECKER, G. RICHARD WAGONER, JR, AND NANCY C. ANDREWS MD. RICHARD H. BRODHEAD DEVOTED AN ESTIMATED AVERAGE OF TEN (10) HOURS PER WEEK TO DUKE UNIVERSITY HEALTH SYSTEM, INC. (A RELATED ORGANIZATION OF DUKE UNIVERSITY). VICTOR J. DZAU MD, DEVOTED AN ESTIMATED AVERAGE OF FORTY (40) HOURS PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY HEALTH SYSTEM, INC. BRUCE A. KARSH AND NEAL F. TRIPLETT, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MANAGEMENT COMPANY. HARDY VIEUX AND TALLMAN TRASK, III, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE ALUMNI ASSOCIATION, INC. TALLMAN TRASK, III, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, THE FSB SUPPORT FUND, INC. J. SCOTT GIBSON, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DURHAM ASSET MANAGEMENT COMPANY, INC. PETER LANGE AND MARTHA L. MONSERRATE, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, THE LORD FOUNDATION OF NORTH CAROLINA. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE GLOBAL, INC.: PETER LANGE, TALLMAN TRASK, III, JAMES S. ROBERTS, AND J. SCOTT GIBSON. NEAL F. TRIPLETT, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATIONS: GOTHIC CORPORATION, GOTHIC HSP CORPORATION, AND DUKE UNIVERSITY SPECIAL VENTURES FUND, INC. RALPH SNYDERMAN MD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, RUTH K BROAD BIOMEDICAL RESEARCH FOUNDATION. PETER LANGE AND TALLMAN TRASK, III, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE CORPORATE EDUCATION. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY SCHOOL OF MEDICINE RESEARCH FOUNDATION: VICTOR J. DZAU MD, J. SCOTT GIBSON, AND NANCY C. ANDREWS MD. PETER LANGE, LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, RESEARCH TRIANGLE INSTITUTE. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MEDICINE GLOBAL SUPPORT CORPORATION: THOMAS M. GORRIE, VICTOR J. DZAU MD, TALLMAN TRASK, III, J. SCOTT GIBSON, AND ERIC D. PETERSON. JAMES S. ROBERTS, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, THE CENTER FOR DOCUMENTARY STUDIES, INC. VICTOR J. DZAU MD, AND J. SCOTT GIBSON, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MEDICAL STRATEGIES, INC. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUMAC, LLC: G. RICHARD WAGONER, RICHARD H. BRODHEAD, BRUCE A. KARSH, AND TALLMAN TRASK, III. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF FORTY (40) HOURS PER WEEK TO RELATED ORGANIZATION, DUMAC, INC.: NEAL F. TRIPLETT, ALICE GOULD, AND ANDERS HALL. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUMAC, INC.: G. RICHARD WAGONER, RICHARD H. BRODHEAD, BRUCE A. KARSH, AND TALLMAN TRASK, III. RICHARD H. BRODHEAD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF TEN (10) HOURS PER WEEK TO RELATED ORGANIZATION, ATLANTIC COAST CONFERENCE. VICTOR J. DZAU MD, AND PAMELA J. BERNARD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DURHAM CASUALTY COMPANY, LTD. VICTOR J. DZAU MD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, INTERNATIONAL PARTNERSHIP FOR INNOVATIVE HEALTHCARE DELIVERY, INC. CHANGES IN NET ASSETS OR FUND BALANCES FORM 990, PART XI, LINE 5 UNREALIZED GAINS $ (148,125,177) CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS (41,092,751) NONPERIODIC CHANGES IN BENEFIT PLANS (162,657,389) TRANSFER FROM DUHS 40,389,215 CHANGES RELATED TO MINORITY INTEREST 177,725,054 OTHER CHANGES 3,289,716 ============== $ (130,471,332) DUKE UK TRUST LIMITED ALDER CASTLE 10 NOBLE LONDON UK EC2V 7QJ 980555714 DEVELOPMENT UK 1412407 22160 DUKE UNIVERSITY AMER ASSOC FOR GIFTED CHILDREN - 56-1686219 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 ANGIER B DUKE MEMORIAL INC 100 NORTH TRYON STREET CHARLOTTE NC 28202 136113895 SCHOLARSHIPS NC 501(C)(3) 11 TYPE III DUKE ENDOWMENT 0 ASSOCIATED HEALTH SVCS INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 561845329 HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 ATLANTIC COAST CONFERENCE PO DRAWER ACC GREENSBORO NC 27417 560599082 ATHLETIC NC 501(C)(3) 11 TYPE 1 N/A 0 C A CANNON CHAR TRUST NO 3 1525 W WT HARRIS BLVD D1114 CHARLOTTE NC 28288 581360259 SUPPORT NC 501(C)(3) 11 TYPE III N/A 0 DAVID H MURDOCK RESEARCH INSTITUTE 150 RESEARCH CAMPUS DR KANNAPOLIS NC 28081 208730759 RESEARCH NC 501(C)(3) 11 TYPE 1 N/A 0 DU SPECIAL VENTURES FUND INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 561465177 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE ALUMNI ASSOCIATION INC 614 CHAPEL DRIVE DURHAM NC 27708 561594088 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE CORPORATE EDUCATION 310 BLACKWELL ST DURHAM NC 27701 421672476 EDUCATION NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE GIFT PROPERTIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211078 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE GLOBAL INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 611588319 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE HOSPITAL AUXILIARY INC PO BOX 2895 DURHAM NC 27710 561825604 SUPPORT NC 501(C)(3) 11 TYPE III N/A 0 DUKE MANAGEMENT COMPANY 280 S MANGUM STREET STE 210 DURHAM NC 27701 561748858 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE MEDICINE GLOBAL SUPP CORP- 61-1593721 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE SCHOLARLY EXHIBITS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561701245 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV AFFILIATED PHYSICIANS 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 561902501 HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE UNIV PHILANTHROPIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211099 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV SCH OF MED RESEARCH FDN 56-2247203 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIVERSITY HEALTH SYSTEM INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 562070036 HEALTHCARE NC 501(C)(3) LINE 3 DUKE UNIVERSITY 1 DUMAC INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 900754895 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DURHAM ASSET MGMT COMPANY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561757238 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DURHAM REALTY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917936 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 GOTHIC CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 561776668 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 GOTHIC HSP CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 271325761 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 HIGH POINT REALTY ASSOCIATES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917939 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 IPIHD INC 310 BLACKWELL ST DURHAM NC 27710 320358709 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 KATHRINE R EVERETT CHARITABLE PO BOX 3001 DURHAM NC 27715 566473809 SUPPORT NC 501(C)(3) 11 TYPE 1 N/A 0 NANALINE H DUKE TRUST 100 NORTH TRYON STREET CHARLOTTE NC 28202 237270511 MED. SUPPORT NY 501(C)(3) 11 TYPE III DUKE ENDOWMENT 0 RESEARCH TRIANGLE INSTITUTE PO BOX 12194 RTP NC 27709 560686338 RESEARCH NC 501(C)(3) 11 TYPE III N/A 0 RUTH K BROAD BIOMED RES FDN 324 BLACKWELL STREET STE 850 DURHAM NC 27701 650045051 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 SMITHSHAVER LAW SCHOOL SCHOLARSHIP FUND ONE WEST FOURTH ST STE 1200 WINSTONSALEM NC 27101 202749954 SCHOLARSHIPS NC 501(C)(3) 11 TYPE 1 N/A 0 THE CTR FOR DOCUMENTARY STUDIES 1317 PETTIGREW STREET DURHAM NC 27705 561655039 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 THE FSB SUPPORT FUND 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561849290 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 THE LORD FDN OF NORTH CAROLINA 305 TEER BLDG DURHAM NC 27708 561415423 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 AVENUE BLUE TC FD 27-4011571 PARK AVENUE NEW YORK NY 10022 INVESTMENTS DE N/A N/A 0 0 BLACKWELL PTR LLC 20-8075455 280 S MANGUM STREET STE 210 DURHAM NC 27701 INVESTMENTS GA N/A N/A 0 0 CANYON BLUE INV FD 27-0186996 AVE OF STARS LA CA 90067 INVESTMENTS DE N/A N/A 0 0 CD FUND LP - 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