2013-05-15T10:11:08-05:00 2012-06-30 141555429 UHY ADVISORS NY INC 66 SOUTH PEARL STREET SUITE 400 ALBANY NY 12207 990 2011-07-01 141338371 THE COLLEGE OF SAINT ROSE COLL 5184542066 432 WESTERN AVENUE ALBANY NY 12203 MARCUS BUCKLEY 5184542066 2013-05-10 1 JAMES P DANIELS P00603621 5184493166 2011 2016-02-24 21:20:13Z DR R MARK SULLIVAN 432 WESTERN AVENUE ALBANY NY 12203 167031862 0 X WWW.STROSE.EDU X 1920 NY TO PROVIDE HIGHER EDUCATIONAL OPPORTUNITIES. 36 36 2388 263 0 0 13262537 12453369 101787033 103763679 1251979 1627238 667567 825899 116969116 118670185 30309449 32325292 0 0 50057694 53186400 0 0 1727768 30910689 30872387 111277832 116384079 5691284 2286106 188007114 211277966 61350312 89392521 126656802 121885445 X THE COLLEGE OF SAINT ROSE COMMUNITY ENGAGES HIGHLY MOTIVATED UNDERGRADUATE AND GRADUATE STUDENTS IN RIGOROUS EDUCATIONAL EXPERIENCES. IN THE PROGRESSIVE TRADITION OF THE FOUNDING SISTERS OF ST. JOSEPH OF CARONDELET, WE WELCOME MEN AND WOMEN FROM ALL RELIGIOUS AND CULTURAL BACKGROUNDS. IN ADDITION TO DEVELOPING THEIR INTELLECTUAL CAPACITIES, STUDENTS HAVE THE OPPORTUNITY TO CULTIVATE THEIR CREATIVE AND SPIRITUAL GIFTS IN A DIVERSE LEARNING COMMUNITY THAT FOSTERS INTEGRITY, INTERDEPENDENCE, AND MUTUAL RESPECT.THE COLLEGE DELIVERS DISTINCTIVE AND COMPREHENSIVE LIBERAL ARTS AND PROFESSIONAL PROGRAMS THAT INSPIRE OUR GRADUATES TO BE PRODUCTIVE ADULTS, CRITICAL THINKERS, AND MOTIVATED, CARING CITIZENS. OUR ENGAGEMENT WITH THE URBAN ENVIRONMENT EXPANDS THE SETTING FOR EDUCATIONAL OPPORTUNITIES AND ENCOURAGES THE SAINT ROSE COMMUNITY'S ENERGETIC INVOLVEMENT AND EFFECTIVE LEADERSHIP IN SOCIETY. 0 0 103398098 90390300 THE COLLEGE PROVIDES POST-SECONDARY EDUCATION TO BOTH UNDERGRADUATE AND GRADUATE STUDENTS. 103398098 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 1 1 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 180 0 2388 1 0 0 0 0 0 1 1 0 0 0 0 X 36 36 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 0 1 1 1 0 X DEBRA LEE POLLEY 5184542066 432 WESTERN AVE ALBANY NY 12203 SR MARY ANNE HEENAN CSJ 0.50 X 0 0 0 DR KATHLEEN SULLIVAN RICKER 0.50 X 0 0 0 MR ALBERT W BROOKS 0.50 X 0 0 0 MS JUDITH CALOGERO 0.50 X 0 0 0 MRS RITA DILLON 0.50 X 0 0 0 MRS RITA B CROTTY 0.50 X 0 0 0 MR JOHN DUNNE 0.50 X 0 0 0 SR KATHLEEN M EAGAN CSJ 0.50 X 0 0 0 MS JOANNE ESPOSITO 0.50 X 0 0 0 SR ELIZABETH GIARRUSSO CSJ 0.50 X 0 0 0 SR KATHERINE HANLEY CSJ 0.50 X 0 0 0 SR MARY LOUISE DOLAN CSJ 0.50 X 0 0 0 GEORGE R HEARST III 0.50 X 0 0 0 DR ZELDA J HOLCOMB 0.50 X 0 0 0 SR JOAN LESCINSKI CSJ 0.50 X 0 0 0 DR MATTHEW H MATARASO 0.50 X 0 0 0 TONITA F MCKONE 0.50 X 0 0 0 MR DANIEL P NOLAN 0.50 X 0 0 0 MR KEVIN O'CONNOR 0.50 X 0 0 0 MS ELIZABETH SIMCOE 0.50 X 0 0 0 MR GREGORY V SERIO 0.50 X 0 0 0 SR PATRICIA A ST JOHN CSJ 0.50 X 0 0 0 MR CHARLES TOUHEY 0.50 X 0 0 0 MS MARCIA J WHITE 0.50 X 0 0 0 MR HAROLD L WILLIAMS 0.50 X 0 0 0 SR DIANE ZIGO CSJ 0.50 X 0 0 0 MR MICHAEL S MILLER 0.50 X 0 0 0 SR ANNE BRYAN SMOLLIN CSJ 0.50 X 0 0 0 I NORMAN MASSRY 0.50 X 0 0 0 RICHARD J HUETHER 0.50 X 0 0 0 ROBERT H BARLOW 0.50 X 0 0 0 MARTIN J BARRINGTON 0.50 X 0 0 0 SR ANN CHRISTI BRINK CSJ 0.50 X 0 0 0 SR MARGARET M EDIC CSJ 0.50 X 0 0 0 DR LEE A MCELROY JR 0.50 X 0 0 0 JEFFREY B SCOTT 0.50 X 0 0 0 DR R MARK SULLIVAN 40.00 X 335704 0 36308 DR DAVID SZCZERBACKI 40.00 X 274194 0 35861 MARCUS BUCKLEY 40.00 X 215830 0 34058 DEBRA LIBERATORE LEBLANC 40.00 X 85702 0 26453 MARGARET KIRWIN 40.00 X 144343 0 19900 MARY GRONDAHL 40.00 X 155741 0 32627 KARIN CARR 40.00 X 176639 0 26741 DENNIS MCDONALD 40.00 X 123011 0 25765 RICHARD PULICE 40.00 X 131892 0 7711 1643056 0 245424 23 0 1 0 SANO-RUBIN CONSTRUCTION PO BOX 9078 ALBANY NY 12209 CONSTRUCTION 13029476 UW MARX INC 20 GURLEY AVE TROY NY 12182 CONSTRUCTION 4249968 ARAMARK CORPORATION PO BOX 198532 ATLANTA GA 30384 MAINT/FOOD SERVICE 3519680 EASTERN BUILDING AND RENOVATIONS 2 COMMERCE AVE ALBANY NY 12206 CONSTRUCTION 1376588 BENNETT CONTRACTING INC 693 S PEARL ST ALBANY NY 12202 CONSTRUCTION 494408 24 6392428 6060941 117881 12453369 TUITION AND FEES 611710 90390300 90390300 AUXILIARY SERVICES 900099 13373379 13373379 103763679 931082 931082 49057833 48361677 696156 696156 696156 OTHER REVENUE 900099 825899 825899 825899 118670185 90390300 0 15826516 31823298 31823298 501994 501994 911430 911430 37958509 33078831 3824884 1054794 3785459 3176206 539727 69526 7667922 6473156 1016697 178069 2863080 2471454 320917 70709 405951 405951 163773 163773 121922 121922 171330 171330 3519680 3519680 1261151 322019 879233 59899 1940484 1884835 11270 44379 946766 852689 85027 9050 809659 692745 101288 15626 113936 113936 1682196 1439287 210443 32466 6648669 5688602 831748 128319 622591 532757 77827 12007 EDUCATIONAL 6409966 6409966 AUXILIARY 1615591 1615591 OTHER CONTRACTUAL SERVI 995704 672121 305351 18232 OTHER - ATHLETICS SUPPL 762034 733593 28441 2680984 1103323 1542969 34692 116384079 103398098 11258213 1727768 9661877 13030269 2507460 2985677 4419409 5498077 894235 881194 219952534 83183156 115995529 136769378 35976053 29669142 16072352 19862112 2480199 2582117 188007114 211277966 11660150 14940106 32200000 59085000 8715232 1581685 8774930 13785730 61350312 89392521 X 108965566 101992286 7780403 8763844 9910833 11129315 126656802 121885445 188007114 211277966 X 2286106 -7057463 X X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 172982 X X 0 31663866 1073734 -376777 -435755 31925068 26763849 1182636 4609637 -892256 31663866 23144335 292767 2042632 -1284115 26763849 25961101 196289 -3255158 -242103 23144335 0.50000 0.35000 0.15000 0 0 1974545 1974545 159668935 52234848 107434087 19746447 16722295 3024152 38562607 14226013 24336594 136769378 CERTIFICATES OF DEPOSIT 10519398 F PRIVATE HEDGE FUND 6890025 F PRIVATE EQUITY FUND 487964 F REAL ESTATE 1488821 F LIMITED PARTNERSHIP 475904 F 19862112 DEFERRED STUDENT TUITION AND FEES 1313358 INTERST RATE SWAP LIABILITY 11168795 U.S. GOVERNMENT ADVANCES 1303577 13785730 118670185 116384079 2286106 -2232111 -4825352 -7057463 -4771357 92267939 0 92267939 26402246 26402246 118670185 97039296 2232111 4825352 7057463 89981833 26402246 26402246 116384079 PART III, LINE 4: COLLECTIONS OF ART AND HISTORICAL MATERIALS ARE USED TO ENRICH THE LIBERAL ARTS EDUCATION PROVIDED BY THE COLLEGE. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE PRIMARY USES OF THE ENDOWMENT ARE SCHOLARSHIPS AND AWARDS (BASED ON THE AGREEMENT WITH THE DONOR), TO FUND NECESSARY CAPITAL PROJECTS, AND TO ADDRESS OTHER NEEDS OF THE COLLEGE AS APPROVED BY THE BOARD OF TRUSTEES. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE COLLEGE IS A NOT-FOR-PROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND IS EXEMPT FROM FEDERAL INCOME TAXES PURSUANT TO SECTION 501(A) OF THE CODE. THE COLLEGE BELIEVES THAT THERE ARE NO UNCERTAIN TAX POSITIONS THAT ARE MATERIAL TO THE FINANCIAL STATEMENTS. NONE OF THE COLLEGE'S RETURNS ARE CURRENTLY UNDER EXAMINATION BY THE INTERNAL REVENUE SERVICE("IRS") OR STATE AUTHORITIES. INFORMATION RETURNS FOR FISCAL YEAR 2009 AND LATER ARE SUBJECT TO EXAMINATION BY THE IRS. PART XI, LINE 8 - OTHER ADJUSTMENTS: SWAP LIABILITY ADJUSTMENT -4,825,352. PART XII, LINE 4B - OTHER ADJUSTMENTS: INSTITUTIONAL AID 26,402,246. PART XIII, LINE 2D - OTHER ADJUSTMENTS: SWAP LIABILITY ADJUSTMENT 4,825,352. PART XIII, LINE 4B - OTHER ADJUSTMENTS: INSTITUTIONAL AID 26,402,246. 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 POLICY IS PUBLISHED IN STUDENT HANDBOOK AND OTHER COLLEGE PUBLICATIONS, AS WELL AS THE COLLEGE'S WEBSITE. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE COLLEGE RECEIVES GRANTS FROM THE FEDERAL GOVERNMENT TO HELP ACHIEVE AND FURTHER ITS EDUCATIONAL MISSION. THE COLLEGE ALSO RECEIVES FEDERAL AND NEW YORK STATE FUNDS THROUGH ITS STUDENTS IN THE FORM OF FEDERAL AND STATE STUDENT FINANCIAL AID AND ASSISTANCE. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 STUDY ABROAD PROGRAM 27201 EUROPE 0 0 STUDY ABROAD PROGRAM 444274 EAST ASIA AND THE PACIFIC 0 0 STUDY ABROAD PROGRAM 11011 SOUTH AMERICA 0 0 STUDY ABROAD PROGRAM 19508 0 0 0 0 0 0 501994 0 501994 CENTRAL AMERICA AND THE CARIBBEAN STUDY ABROAD PROGRAM FOR STUDENTS 10235 EUROPE STUDY ABROAD PROGRAM FOR STUDENTS 83377 EUROPE STUDY ABROAD PROGRAM FOR STUDENTS 23715 EUROPE STUDY ABROAD PROGRAM FOR STUDENTS 84847 4 0 STUDY ABROAD PROGRAM FOR STUDENTS CENTRAL AMERICA AND THE CARIBBEAN 2 16966 WIRE STUDY ABROAD PROGRAM FOR STUDENTS EUROPE 20 252335 WIRE STUDY ABROAD PROGRAM FOR STUDENTS EAST ASIA AND THE PACIFIC 1 11011 WIRE STUDY ABROAD PROGRAM FOR STUDENTS SOUTH AMERICA 1 19508 WIRE 0 0 0 0 0 0 1 SCHOLARSHIPS 2887 31823298 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: SCHOLARSHIPS ARE AWARDED BASED ON NEED AND MONITORED ANNUALLY BASED ON STUDENTS' ACADEMIC PROFILES AND GUIDELINES AS PROVIDED TO STUDENTS. X 0 0 X X 0 0 0 0 0 0 0 0 0 DR R MARK SULLIVAN 335704 0 0 0 0 0 22050 0 14258 0 372012 0 0 0 DR DAVID SZCZERBACKI 274194 0 0 0 0 0 22050 0 13811 0 310055 0 0 0 MARCUS BUCKLEY 215830 0 0 0 0 0 19800 0 14258 0 249888 0 0 0 MARGARET KIRWIN 144343 0 0 0 0 0 12931 0 6969 0 164243 0 0 0 MARY GRONDAHL 155741 0 0 0 0 0 14229 0 18398 0 188368 0 0 0 KARIN CARR 176639 0 0 0 0 0 15948 0 10793 0 203380 0 0 0 PART I, LINE 1A THE OFFICIAL RESIDENCE OF THE PRESIDENT IS OWNED AND MAINTAINED BY THE COLLEGE AND IS SITUATED IN CLOSE PROXIMITY TO THE COLLEGE'S URBAN CAMPUS. THE PRESIDENT RESIDES IN HIS OFFICIAL RESIDENCE AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE COLLEGE AND CERTAIN FUNDRAISING AND OTHER COLLEGE FUNCTIONS ARE HOSTED BY THE PRESIDENT IN HIS OFFICIAL RESIDENCE UNDER STIPULATION IN HIS EMPLOYMENT CONTRACT. CITY OF ALBANY INDUSTRIAL DEVELOPMENT AGENCY 146002058 012440LU5 2007-06-28 34000000 TO FINANCE VARIOUS CAPITAL PROJECTS AT THE COLLEGE 0 0 0 CITY OF ALBANY INDUSTRIAL DEVELOPMENT AGENCY 146002058 012440LV3 2007-06-28 6600000 TO FINANCE VARIOUS CAPITAL PROJECTS AT THE COLLEGE 0 0 0 CITY OF ALBANY CAPITAL RESOURCE CORPORATION 273467899 012432AN0 2011-07-01 21235000 TO FINANCE VARIOUS CAPITAL PROJECTS AT THE COLLEGE 0 0 0 34000000 2311192 15816416 784026 613000 16068895 2010 1 0 1 1 6600000 467110 6536649 136542 115000 2007 1 0 1 1 21235000 1506432 1079918 571611 17951548 2012 0 0 1 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 1 1 BANK OF AMERICA 30.000000000000 0 0 0 0 0 0 1 1 BANK OF AMERICA 20.000000000000 0 0 0 0 0 0 0 0 0 0 0 X 17 117881 MARKET QUOTE X VARIOUS IN KIND 93 74129 FAIR VALUE 0 0 0 FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS MADE AVAILABLE FOR THE REVIEW OF THE GOVERNING BODY BEFORE FILING AND THEIR OBSERVATIONS ARE INCORPORATED AS APPROPRIATE IN THE PRESENTATION OF THE INFORMATION. FORM 990, PART VI, SECTION B, LINE 12C ANNUAL CERTIFICATION OF COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY IS REQUIRED OF ALL MEMBERS OF THE GOVERNING BODY AND OFFICERS IN FEBRUARY EACH YEAR, AND OF NEWLY-APPOINTED INDIVIDUALS AT THE TIME OF APPOINTMENT. APPLICABLE CONFLICTS OF INTEREST ARE REPORTED TO THE AUDIT COMMITTEE AND INDIVIDUALS SUBJECT RECUSE THEMSELVES FROM THE DELIBERATIVE AND DECISION-MAKING PROCESSES WITH RESPECT TO MATTERS WHERE CONFLICT MAY EXIST. FORM 990, PART VI, SECTION B, LINE 15 PERFORMANCE AND COMPARABILITY DATA RELATED TO OFFICERS' COMPENSATION IS REVIEWED BY INDEPENDENT MEMBERS OF THE EXECUTIVE COMMITTEE, WHOSE DELIBERATIONS AND DECISIONS ARE CONTEMPORANEOUSLY DOCUMENTED. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -2,232,111. SWAP LIABILITY ADJUSTMENT -4,825,352. TOTAL TO FORM 990, PART XI, LINE 5: -7,057,463. FORM 990, PART XII, LINE 2C: COMMITTEE PROCEDURES WITH RESPECT TO AUDIT OF ANNUAL FINANCIAL STATEMENTS AND SELECTION OF INDEPENDENT ACCOUNTANT HAVE NOT CHANGED FROM PRIOR YEAR.