2013-05-15T11:22:32-05:00 2012-06-30 263753134 CBIZ TOFIAS 500 BOYLSTON STREET BOSTON MA 02116 990 2011-07-01 050306206 JOHNSON & WALES UNIVERSITY JOHN 4015981900 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 WILLIAM MCARDLE 4015981900 2013-05-14 1 CRAIG KLEIN P00734640 6177610600 2011 2016-02-24 21:20:13Z JOHN BOWEN 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 504507189 0 X WWW.JWU.EDU X 1914 RI EDUCATIONAL ACTIVITIES 18 14 7576 258 6266496 665627 9881601 7845630 436152476 462511832 12731059 4251206 7622701 6292038 466387837 480900706 116110500 130841238 0 0 163158809 181538073 158535 159867 3620569 140279710 149140887 419707554 461680065 46680283 19220641 860437834 854464395 227536152 211250853 632901682 643213542 THE MISSION OF JOHNSON & WALES UNIVERSITY (JWU) IS TO PROVIDE AN EXCEPTIONAL EDUCATION THAT INSPIRES PROFESSIONAL SUCCESS AND LIFELONG PERSONAL AND INTELLECTURAL GROWTH. 0 0 406292868 130841238 460168862 DURING 2011/12, JWU EDUCATED OVER 17,000 STUDENTS (16,000 UNDERGRAD. & 1,000 GRADUATE) ON 4 CAMPUSES IN PROV., RI; N. MIAMI, FL; DENVER, CO; AND CHARLOTTE, NC., AND THROUGH ONLINE LEARNING; AWARDED 1,996 ASSOC., 2,564 BACHELOR'S, & 474 GRADUATE DEGREES. 517 FULL-TIME & 294 PART-TIME FACULTY TAUGHT & LED CAREER- FOCUSED PROGRAMS IN BUSINESS, HOSPITALITY, CULINARY ARTS, TECHNOLOGY, HUMANITIES AND EDUCATION. 4,107 STUDENTS PARTICIPATED IN 11-WEEK INTERNSHIPS (REQUIRED FOR MOST MAJORS). JWU RECRUITS THE BEST-QUALIFIED STUDENTS, REGARDLESS OF THEIR FINANCIAL NEEDS & OTHER CHALLENGES; 32% OF JWU STUDENTS WHO REPORTED THEIR PARENTS' EDUCATIONAL ATTAINMENT WERE THE FIRST IN THEIR FAMILIES TO ATTEND COLLEGE, AND 93% RECEIVED FINANCIAL AID, WITH AN AVERAGE AID OF $18,880/STUDENT; INSTITUTIONAL SCHOLARSHIPS EXCEEDED $130 MILLION. 406293618 1 1 0 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 1 1 1 0 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 0 1 1 1 1 0 0 0 1 1 1 1 0 0 1 29080 0 1 7576 1 1 1 0 0 0 0 1 1 0 0 0 0 X 18 14 0 0 0 0 1 1 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 AK AZ CO KY ME MD MA MI NH NY OH OK OR WA X ALAN RESTIVO 4015981175 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 X GERALD FERNANDEZ 1.00 X 0 0 0 JAMES H HANCE JR 1.00 X 0 0 0 WILLIAM J MURPHY 1.00 X 0 0 0 DON W HUBBLE 1.00 X 0 0 0 EMERIL LAGASSE 1.00 X 0 0 0 ERNEST ALMONTE 1.00 X 0 0 0 RICHARD L BREADY 1.00 X 0 0 0 CLAY A SNYDER 1.00 X 0 0 0 EDWARD P TRIANGOLO JR 1.00 X 0 0 0 WILLIAM E TRUEHEART 1.00 X 0 0 0 DAVID BROCHU 1.00 X 0 0 0 MICHELE BAILEY DIMARTINO 1.00 X 0 0 0 LAURA FREID 1.00 X 0 0 0 MERRILL W SHERMAN 1.00 X 0 0 0 M JOHN MARTIN 1.00 X 0 0 0 GUY B SNOWDEN 1.00 X 0 0 0 THOMAS SKAINS 1.00 X 0 0 0 JOHN A YENA 1.00 X X 0 0 0 JOHN HAZEN WHITE JR 1.00 X 0 0 0 JOHN J BOWEN 40.00 X X 626955 0 552494 THOMAS DWYER 40.00 X 451926 0 361950 WAYNE M KEZIRIAN 40.00 X 326844 0 25530 EMILY GILCREAST 40.00 X 90761 0 16908 MINNIE L RUNEY 40.00 X 286297 0 50850 WILLIAM MCARDLE 40.00 X 263202 0 149993 BARBARA BENNETT 40.00 X 237905 0 96682 JOSEPH J GREENE JR 40.00 X 205608 0 58291 VEERA S GAUL 40.00 X 261759 0 36403 IRVING SCHNEIDER 40.00 X 158755 0 444585 ROBIN P KRAKOWSKY 40.00 X 258152 0 138611 ARTHUR J GALLAGHER 40.00 X 247150 0 74630 KENNETH F DISAIA 40.00 X 227758 0 59530 AKHIL GUPTA 40.00 X 174723 0 72583 BETTE MATKOWSKI 40.00 X 213956 0 44488 TARUN MALIK 40.00 X 202781 0 73520 MARIE F BERNARDO 40.00 X 228322 0 40848 LOREEN M CHANT 40.00 X 224422 0 45979 LARRY RICE 40.00 X 174706 0 40785 DIANE D'AMBRA 40.00 X 217277 0 98061 RICHARD A WISCOTT 40.00 X 156567 0 33627 MORRIS J GAEBE 10.00 X 185006 0 48966 JEFFREY D SENESE 40.00 X 207857 0 38892 MERLIN A DECONTI JR 40.00 X 199868 0 143036 PATRICIA A MCLAUGHLIN 40.00 X 221966 0 29351 JOHN A SMITHERS 40.00 X 206756 0 64597 6257279 0 2841190 117 0 1 0 TURNER CONSTRUCTION 1000 NW 57TH COURT STE 220 MIAMI FL 33126 CONSTRUCTION 5299919 RODGERS DOOLEY INC P O BOX 18446 CHARLOTTE NC 28218 CONSTRUCTION 3272694 DIMEO CONSTRUCTION 75 CHAMPAN ST PROVIDENCE RI 02905 CONSTRUCTION 2205969 SODEXHO INC AND AFFILIATES PO BOX 905374 CHARLOTTE NC 28290 CUSTODIAL 1991805 JWR CONSTRUCTION SERVICES 1311 NEWPORT CENTER DR DEERFIELD BEACH FL 33442 CONSTRUCTION 1878308 73 31451 476357 3195314 4142508 964369 7845630 TUITION 611310 360533495 360533495 ROOM AND BOARD CHARGES 611310 67294528 67294528 STUDENT FEES 611310 19828987 19828987 DOUBLETREE HOTEL 721110 6221788 6221788 STUDENT PRACTICUM 611310 5734147 5734147 2898887 2898887 462511832 4710513 4710513 1181944 908525 273419 273419 44708 228711 21455467 408004 19722362 2600416 1733105 -2192412 -459307 -459307 188356 476357 375180 -186824 -186824 BOOKSTORE, VENDING, AN 611310 2279576 2279576 INTEREST FROM STUDENT 611310 1577655 1577655 CAREER EXPLORATION AND 611310 672388 672388 1675824 1628775 47049 6205443 480900706 460168862 6266496 6619718 170555 170555 130357208 130357208 313475 313475 8847236 2984897 5494410 367929 1284075 754292 529783 123181480 104230187 17653894 1297399 20712445 18589614 1898731 224100 18604399 15679705 2609136 315558 8908438 7363032 1425317 120089 242043 242043 346996 1368 345628 207412 6000 201412 169659 169659 159867 159867 576484 576484 2755185 2243146 512039 5108157 4074993 765847 267317 9466964 5841260 3395827 229877 5201639 5201639 364420 200586 163834 26260890 22770212 3227515 263163 7036761 5514677 1398782 123302 7704566 6596686 1032918 74962 28234227 24515368 3437020 281839 2667950 91909 2576041 STUDENT SERVICES EXPENS 17384601 17371423 13178 FOOD/BEVERAGE/KITCHEN S 12677846 12133806 544040 CLASSROOM AND EDUCATION 6320019 5701928 589902 28189 BAD DEBT 4182018 4385438 -290 -203130 12233050 9030555 3132387 70108 461680065 406293618 51765878 3620569 111 110 35701050 15675524 3428170 2232410 51540565 48464994 55672 53076 103778 99522 2790122 1936421 6360983 6193724 796464598 267425082 499999345 529039516 142231370 133730104 114164874 113250320 4061794 3788674 860437834 854464395 38983041 37040833 6691651 6589794 159747748 151873100 598921 334782 6935049 4180058 14579742 11232286 227536152 211250853 X 603694095 614842067 10410918 8754555 18796669 19616920 632901682 643213542 860437834 854464395 X 19220641 -8908781 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 167971 0 1 1688 169659 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: PART II-B, 1(G): DIRECT CONTACT: $167,471 PAID TO CONSULTING FIRMS TO MAINTAIN GOVERNMENT RELATIONS; $500 IS A PORTION OF EMPLOYEE'S SALARY RELATED TO GOVERNMENT RELATIONS PART II-B, 1(I): PORTION OF THE UNIVERSITY'S MEMBERSHIP DUES PAID TO THE ASSOCIATION OF INDEPENDENT COLLEGES & UNIVERSITIES OF RHODE ISLAND AND THE NATIONAL ASSOCIATION OF INDEPENDENT COLLEGES AND UNIVERISITIES, WHICH IS SPENT ON LOBBYING ACTIVITY 104930 X X X 0 0 1 249429874 1590507 -9260558 -1179460 -263312 240317051 208104331 1519933 41122442 -780868 -535964 249429874 187259413 363745 20843270 -362097 208104331 228742396 542330 -41663734 -1290131 928552 187259413 0.89600 0.07700 0.02700 0 0 59501017 59501017 589645824 183944820 405701004 7525944 4115571 3410373 134411584 79364691 55046893 5380229 5380229 529039516 CASH 2873655 F BUTTERFIELD FUND SERVICES 6286330 F DAVIDSON KEMPNER 11382510 F WINSTON GROWTH FUND 11577193 F COMMONFUND CEP VI 1737563 F COMMONFUND CEP V 919247 F COMMONFUND CEP VII 1462470 F GRACE VENTURE PARTNERS 111825 F PARK STREET CAPITAL V 1554080 F PARK STREET CAPITAL VI 4237741 F PARK STREET CAPITAL VIII 4218573 F WELLINGTON REAL ASSET PORTFOLIO 6271648 F 457B 940683 F CASH SURRENDER VALUE 482993 F DREYFUS CASH MANAGEMENT #288 26803 F LANKLER ASSETS 2619607 F LEHMAN BROTHERS 4274387 F NATIONAL STUDENT ORGANIZATION 169306 F PARK STREET NRF II 1478904 F PARK STREET NRF III 1966761 F EATON PARK OVERSEAS FUND 3449196 F FORESTER PARTNERS CLASS B 4452085 F COMMONFUND CVP VIII 853209 F PARK STREET CAPITAL NRF IV 1047176 F PARK STREET CAPITAL IX 3191693 F SIGULER GUFF DISTRESSED OPPORTUNITIES FUND 4630881 F KING STREET CAPITAL LTD 2671623 F BENNETT OFFSHORE RESTRUCTURING FUND 4093902 F CHILTON GLOBAL NATURAL RESOURCES 2738660 F FORESTER PARTNERS CLASS B-2 4508448 F FORESTER PARTNERS CLASS A-2 11691804 F COMMONFUND CVP IX 319401 F SIGULER GUFF DISTRESSED OPPORTUNITIES FUND IV 1236148 F ASIA ALTERNATIVE CAPITAL PARTNERS 320669 F ASTENBECK OFFSHORE COMMODITIES 3321175 F PAR STREET CAPITAL NRF V 109971 F PREFERRED STOCK CERTIFICATES 22000 F 113250320 STUDENT DEPOSITS 6248967 ANNUITY DEPOSITS 875013 REFUNDABLE U.S. GRANTS 4108306 11232286 PART III, LINE 4: THE CULINARY ARTS MUSEUM IS AN EDUCATIONAL RESOURCE FOR JOHNSON & WALES UNIVERSITY, THE COMMUNITY AT-LARGE, FOOD SCHOLARS AND THE FOOD SERVICE INDUSTRY WHICH SEEKS TO BOTH PRESERVE AND INTERPRET CULINARY AND HOSPITALITY HERITAGE. IT IS A SHOWCASE FOR THE WORK OF STUDENTS, FACULTY, ALUMNI AND DISTINGUISHED VISITING CHEFS. THROUGH EXHIBITIONS AND SPECIAL EVENTS, THE MUSEUM STRIVES TO INTERPRET THE EVOLUTION OF FOOD PREPARATION AND PRESENTATION, THE DEVELOPMENT OF CULINARY EQUIPMENT AND TECHNOLOGY, THE DIVERSE MENUS OFFERED AND THE PLACES WHERE PEOPLE PARTAKE OF FOOD. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: JOHNSON & WALES UNIVERSITY IS RECOGNIZED BY THE INTERNAL REVENUE SERVICE AS A UNIVERSITY DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND IS GENERALLY EXEMPT FROM FEDERAL AND STATE INCOME TAXES ON RELATED INCOME. THE UNIVERSITY HAS IDENTIFIED ITS TAX STATUS AS A TAX EXEMPT ENTITY AND ITS DECISION TO INCLUDE OR EXCLUDE ITEMS OF INCOME UNRELATED TO ITS OPERATIONS AS A TAX POSITION; HOWEVER, THE UNIVERSITY HAS DETERMINED THAT SUCH TAX POSITION DOES NOT RESULT IN AN UNCERTAINTY REQUIRING RECOGNITION. THE UNIVERSITY IS NOT CURRENTLY UNDER EXAMINATION BY ANY TAXING JURISDICTION. ITS FEDERAL AND STATE INCOME TAX RETURNS ARE GENERALLY OPEN FOR EXAMINATION FOR THREE YEARS FOLLOWING THE DATE OF THE RETURN BEING FILED. PART IV-2B THE UNIVERSITY HOLDS MONEY AS A CUSTODIAN FOR STUDENT CLUBS AND POTENTIAL FUTURE PROGRAMS TO BE REFUNDED IF PROGRAM IS NOT INITIATED. PART V-4 THE UNIVERSITY INTENDS TO USE ITS ENDOWMENT FUND FOR THE GENERAL BENEFIT OF THE UNIVERSITY'S CURRENT AND FUTURE STUDENTS (INCLUDING SCHOLARSHIPS AND LOAN FUNDS) AND FOR THE FUTHERANCE OF THE EDUCATIONAL MISSION OF THE UNIVERSITY. 1 1 0 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 JOHNSON & WALES UNIVERSITY RECRUITS THROUGHOUT THE U.S. AND DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM A LARGE GEOGRAPHICAL AREA. PER REV. PROC. 75-50, 1975-2 C.B. 587, SECTION 4.03 PARAGRAPH 2(B), SUCH A SCHOOL MAY SATISFY THE PUBLICITY REQUIREMENT BY COMPLYING WITH SECTION 4.02, WHICH REQUIRES THAT A SCHOOL'S NONDISCRIMINATORY POLICY AS TO STUDENTS BE INCLUDED IN ALL ITS BROCHURES AND CATALOGUES DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS. THE UNIVERSITY COMPLIES WITH THIS REQUIREMENT. MOREOVER, THE UNIVERSITY CURRENTLY ENROLLS STUDENTS OF RACIAL MINORITY GROUPS IN MEANINGFUL NUMBERS. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE UNIVERSITY PARTICIPATES IN THE TITLE IV FINANCIAL AID PROGRAMS AND RECEIVES GRANTS FROM THE U.S. DEPARTMENT OF EDUCATION, THE U.S. SMALL BUSINESS ADMINISTRATION, THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES, AND THE STATES OF RHODE ISLAND, FLORIDA, NORTH CAROLINA, MASSACHUSETTS, AND PENNSYLVANIA. 0 EAST ASIA AND THE PACIFIC 8 25 PROGRAM SERVICES STUDENT RECRUITING 543500 EUROPE (INCLUDING ICELAND & GREENLAND) 2 13 PROGRAM SERVICES STUDENT RECRUITING 54500 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 72060 SOUTH ASIA 1 6 PROGRAM SERVICES STUDENT RECRUITING 50500 MIDDLE EAST AND NORTH AFRICA 0 4 PROGRAM SERVICES STUDENT RECRUITING 14000 RUSSIA & THE NEWLY INDEPENDENT STATES 0 2 PROGRAM SERVICES STUDENT RECRUITING 2000 CENTRAL AMERICA AND THE CARIBBEAN 0 5 PROGRAM SERVICES STUDENT RECRUITING 7750 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 277676 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTING 22732096 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTING 5753726 NORTH AMERICA 0 2 PROGRAM SERVICES STUDENT RECRUITING 2000 SOUTH AMERICA 0 2 PRGORAM SERVICES STUDENT RECRUITING 2250 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 79691 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 1285275 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 107800 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 28129 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 52552 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 169392 SOUTH AMERICA 0 0 GRANTMAKING 37215 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 26187 11 55 0 4 11 59 1021986 30276313 31298299 STUDY ABROAD SCHOLARSHIP CENTRAL AMERICA 15 28129 CREDIT TO STUDENT ACCOUNT STUDY ABROAD SCHOLARSHIP EAST ASIA & THE PACIFIC 28 52552 CREDIT TO STUDENT ACCOUNT STUDY ABROAD SCHOLARSHIP EUROPE 108 169392 CREDIT TO STUDENT ACCOUNT STUDY ABROAD SCHOLARSHIP SOUTH AMERICA 21 37215 CREDIT TO STUDENT ACCOUNT STUDY ABROAD SCHOLARSHIP SUB-SAHARAN AFRICA 13 26187 CREDIT TO STUDENT ACCOUNT 1 0 1 1 1 0 X X X X X X 1 METROPOLITAN STRATEGIC 10873 NW 73RD TERRACE DORAL FL 33178 PROSPECT STRATEGY CONSULTING 0 40000 120739 -80739 VANDEVER BATTEN 119 E 7TH ST SUITE 2C CHARLOTTE NC 28202 PROSPECT STRATEGY CONSULTING 0 0 39128 -39128 40000 159867 -119867 AL AK AZ AR CA CO CT FL GA HI IL KS KY LA ME MD MA MI MN MO MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI GOLF TOURNAMENT 469421 319896 149525 2100 8000 46322 4000 273735 GOLF TOURNAMENT 67292 42286 25006 438 2 128000 114175 13825 8125 18023 14437 664713 476357 188356 2100 16125 64345 4000 288610 375180 -186824 1 UNITED WAY OF RI 228 WATERMAN AVENUE PROVIDENCE RI 02906 050276059 501C3 60000 DONOR-ADVISED PHILANTHROPY FUND TO ASSIST VARIOUS UNITED WAY ORGANIZATIONS FLORIDA RESTAURANT AND LODGING ASSOCIATION 230 ADAMS STREET TALLAHASSEE FL 32301 596194391 501C3 15000 SUPPORT THE PROSTART EDUCATION PROGRAM CROSSROADS RI 160 BROAD STREET PROVIDENCE RI 02903 050259094 501C3 7350 1242 FMV JACKETS AND COFFEE SUPPORT HOMELESS SHELTER MOSES BROWN SCHOOL 250 LLOYD AVENUE PROVIDENCE RI 02906 050258906 501C3 10000 FMV USE OF SPACE SUPPORT LOCAL SCHOOL'S ATHLETICS PROGRAMS COMMUNITY TELEVISION FOUNDATION PO BOX 61002 MIAMI FL 33261 590737868 501C3 10000 SUPPORT LOCAL PUBLIC TELEVISION PROGRAMMING SOPHIA ACADEMY 979 BRANCH AVENUE PROVIDENCE RI 02904 311736069 501C3 78359 FMV USE OF SPACE SUPPORT MIDDLE SCHOOL'S SPORTS, HEALTH, AND EDUCATION (S.H.E.) PROGRAM ST VINCENT DEPAUL MINISTRY 178 DEXTER STREET PROVIDENCE RI 02903 050258987 501C3 500 7867 FMV CAKES, PIES, PASTRIES, ROLLS SPONSORED PROGRAM TO OVERCOME AND PREVENT HOMELESSNESS COLLEGE CRUSADE OF RI 134 THURBERS AVE PROVIDENCE RI 02905 223031765 501C3 24292 FMV USE OF SPACE, SECURITY DETAIL SUPPORT ORGANIZATION SERVING LOW-INCOME,URBAN YOUTH GRODEN CENTER 610 MANTON AVENUE PROVIDENCE RI 02909 050369378 501C3 37500 FMV USE OF SPACE SUPPORT PROGRAM FOR YOUTH WITH DEVELOPMENTAL DISORDERS BUILDING A COMMUNITY OF LEARNING IN RETIREMENT 123 VALLEY STREET NORTH KINGSTON RI 02852 800201985 501C3 29750 FMV USE OF PARKING SPACES SUPPORT LOCAL CHAPTER OF ORGANIZATION SERVING RETIREES USE GYM BY LOCAL CHURCH'S YOUTH FOR VOLLEYBALL PRACTICE PROVIDENCE RESCUE 627 CRANSTON STREET PROVIDENCE RI 02907 050503326 501C3 14744 FMV CAKES, PIES, PASTRIES, ROLLS SUPPORT ORGANIZATION SERVING THE HOMELESS PROVIDENCE COLLEGE 1 CUNNINGHAM STREET PROVIDENCE RI 02918 050258932 501C3 21000 FMV USE OF GYM USE OF GYM BY LOCAL COLLEGE FOR VOLLEYBALL PRACTICE JAMESTOWN ROTARY CLUB PO BOX 652 JAMESTOWN RI 02835 056008886 501C4 33528 FMV TEXTBOOKS AND COMPUTERS SUPPORT LITERACY PROGRAM 12 1 SCHOLARSHIPS 15435 130357208 BOOK SCHOLARSHIPS PART III- THE UNIVERSITY PROVIDES ASSISTANCE IN THE FORM OF SCHOLARSHIPS THAT ARE ALL APPLIED TO STUDENTS' ACCOUNTS RECEIVABLE BALANCES AT THE BURSAR'S OFFICE. X X 1 1 X X X X X X 1 1 0 0 0 0 0 0 0 JOHN J BOWEN 593521 0 0 0 33434 0 503576 0 48918 0 1179449 0 0 0 THOMAS DWYER 411808 0 0 0 40118 0 343282 0 18668 0 813876 0 0 0 WAYNE M KEZIRIAN 300000 0 0 0 26844 0 24500 0 1030 0 352374 0 0 0 MINNIE L RUNEY 263964 0 0 0 22333 0 32190 0 18660 0 337147 0 0 0 WILLIAM MCARDLE 237556 0 0 0 25646 0 131938 0 18055 0 413195 0 0 0 BARBARA BENNETT 215702 0 0 0 22203 0 48780 0 47902 0 334587 0 0 0 JOSEPH J GREENE JR 196464 0 0 0 9144 0 39791 0 18500 0 263899 0 0 0 VEERA S GAUL 237356 0 0 0 24403 0 28241 0 8162 0 298162 0 0 0 IRVING SCHNEIDER 148019 0 0 0 10736 0 426380 0 18205 0 603340 0 0 0 ROBIN P KRAKOWSKY 233648 0 0 0 24504 0 130303 0 8308 0 396763 0 0 0 ARTHUR J GALLAGHER 225286 0 0 0 21864 0 56009 0 18621 0 321780 0 0 0 KENNETH F DISAIA 199464 0 0 0 28294 0 41007 0 18523 0 287288 0 0 0 AKHIL GUPTA 165814 0 0 0 8909 0 21134 0 51449 0 247306 0 0 0 BETTE MATKOWSKI 203556 0 0 0 10400 0 26536 0 17952 0 258444 0 0 0 TARUN MALIK 194414 0 0 0 8367 0 51193 0 22327 0 276301 0 0 0 MARIE F BERNARDO 203964 0 0 0 24358 0 22329 0 18519 0 269170 0 0 0 LOREEN M CHANT 216464 0 0 0 7958 0 27408 0 18571 0 270401 0 0 0 LARRY RICE 166964 0 0 0 7742 0 22387 0 18398 0 215491 0 0 0 DIANE D'AMBRA 181464 0 0 0 35813 0 45253 0 52808 0 315338 0 0 0 RICHARD A WISCOTT 148714 0 0 0 7853 0 15300 0 18327 0 190194 0 0 0 MORRIS J GAEBE 178856 0 0 0 6150 0 28920 0 20046 0 233972 0 0 0 JEFFREY D SENESE 199464 0 0 0 8393 0 20375 0 18517 0 246749 0 0 0 MERLIN A DECONTI JR 182036 0 0 0 17832 0 124564 0 18472 0 342904 0 0 0 PATRICIA A MCLAUGHLIN 206329 0 0 0 15637 0 20833 0 8518 0 251317 0 0 0 JOHN A SMITHERS 196464 0 0 0 10292 0 46079 0 18518 0 271353 0 0 0 PART I, LINE 1A TRAVEL FOR COMPANION - THE SPOUSES OF CERTAIN LISTED PERSONS OCCASIONALLY ACCOMPANY THEM ON BUSINESS TRIPS. THE SPOUSES ARE EMPLOYEES OF THE UNIVERSITY AND TRAVEL IN THEIR CAPACITY AS EMPLOYEES OF THE UNIVERSITY. SUCH TRAVEL IS NOT TREATED AS TAXABLE COMPENSATION. -HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES - SOCIAL CLUB DUES ARE PAID FOR CERTAIN OFFICERS OF THE UNIVERSITY IN ACCORDANCE WITH THEIR EMPLOYMENT CONTRACTS WHICH ARE APPROVED BY THE COMPENSATION COMMITTEE. IN ALL CASES, WHERE THE BENEFIT IS TAXABLE, IT IS TREATED AS COMPENSATION. PART I, LINES 4A-B PATRICIA A. MCLAUGHLIN RECEIVED A SEVERANCE PAYMENT IN THE AMOUNT OF $8,077. JOHN BOWEN AND THOMAS DWYER PARTICIPATE IN A SUPPLEMENTAL EMPLOYEE RETIREMENT PLAN (SERP), WHICH WAS ESTABLISHED UNDER SECTION 457(F) OF THE IRC. THE SERP WAS ESTABLISHED AND APPROVED BY THE BOARD OF TRUSTEES IN 2006 TO REWARD PERFORMANCE, LOYALTY, AND CONTINUOUS SERVICE OF SELECTED EXECUTIVES TO AGE 65. ONLY EXECUTIVES SPECIFICALLY DESIGNATED BY THE BOARD QUALIFY FOR PARTICIPATION, THEY MUST REMAIN EMPLOYED BY THE INSTITUTION THROUGH AGE 65 AND THE BENEFIT SUPPLEMENTS OTHER INSTITUTIONAL RETIREMENT PLANS SUCH THAT THE RECIPIENT WILL RECEIVE TOTAL RETIREMENT INCOME EQUAL TO 75% OF FINAL COMPENSATION. NORTH CAROLINA CAPITAL FACILITIES FINANCE AGENCY 561592154 65818PCV9 2003-04-15 51600798 NCCFA 2003A BONDS-PURCHASE OF NEW OR IMPROVEMENTS TO EXISTING FACILITIES. 0 0 0 COLORADO EDUCATIONAL AND CULTURAL FACILITIES AUTHORITY 840896727 196458SB0 2003-03-15 29997363 CO 2003A BONDS-PURCHASE OF NEW OR IMPROVEMENTS TO EXISTING FACILITIES. 0 0 0 RHODE ISLAND HEALTH AND EDUCATION BUILDING CORPORATION 521300173 7622427W9 2003-04-01 50686880 REFUNDING OF PRE-2003 BOND DEBT 0 0 0 CITY OF NORTH MIAMI FLORIDA EDUCATIONAL FACILITIES REVENUE REFUNDING BONDS 596000390 661057AW9 2003-03-15 26089596 REFUNDING OF PRE-2003 BOND DEBT 0 0 0 51600798 2597175 507214 1105224 47391185 2004 0 0 1 1 29997263 467539 627908 28901816 2004 0 0 1 1 50686880 49347456 469742 869682 2004 1 0 1 1 26089596 25302479 339664 447457 2004 0 1 1 1 0 0 1 1 0 1 0 0 1 1 0 1 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 TARUN MALIK RELOCATION LOAN X 75000 53076 0 1 1 53076 SEE SCHEDULE O 0 X 2 29825 SALE OF COMPARABLE ITEMS X 55 295580 SALE OF COMPARABLE ITEMS X HORSES 4 341650 OPINION OF EXPERT X CLASSROOM 28 167258 SALE OF COMPARABLE ITEMS X GIFTS-OTHER 16 92421 SALE OF COMPARABLE ITEMS X AUCTION ITEMS 23 37635 SALE OF COMPARABLE ITEMS 4 0 1 0 METHOD FOR DETERMINING NUMBER OF CONTRIBUTORS: PART I, COLUMN (B): SCHEDULE M, PART I, COLUMN (B), LINES 9,19,26,27, AND 28: THE NUMBER OF CONTRIBUTIONS IS THE NUMBER OF SEPARATE GIFTS MADE ON SEPARATE DATES; THAT IS, ONE DONOR MAY HAVE MADE MULTIPLE GIFTS DURING THE YEAR AND EACH GIFT MAY CONTAIN MULTIPLE ITEMS. SCHEDULE M, PART I, COLUMN (B), LINE 25: THE NUMBER OF CONTRIBUTIONS IS THE NUMBER OF ITEMS RECEIVED. FORM 990, PART VI, SECTION A, LINE 6 IN ADDITION TO THE GOVERNING BOARD (BOARD OF TRUSTEES) THE UNIVERSITY HAS A GROUP OF INDIVIDUALS REFERRED TO AS "THE CORPORATION". THE CORPORATION CONSISTS OF MEMBERS REPRESENTING VARIOUS CONSTITUENCIES AND AREAS OF BUSINESS THAT ARE RELEVANT TO THE INSTITUTION'S MISSION AND PURPOSES. THE ONLY DUTY AND AUTHORITY OF THE CORPORATION IS TO ELECT THE MEMBERS OF THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7A IN ADDITION TO THE GOVERNING BOARD (BOARD OF TRUSTEES) THE UNIVERSITY HAS A GROUP OF INDIVIDUALS REFERRED TO AS "THE CORPORATION". THE CORPORATION CONSISTS OF MEMBERS REPRESENTING VARIOUS CONSTITUENCIES AND AREAS OF BUSINESS THAT ARE RELEVANT TO THE INSTITUTION'S MISSION AND PURPOSES. THE ONLY DUTY AND AUTHORITY OF THE CORPORATION IS TO ELECT THE MEMBERS OF THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO FILING, A COMPLETE COPY OF THE 990 IS PROVIDED TO THE BOARD OF TRUSTEES. IN ADDITION, MEMBERS OF THE AUDIT COMMITTEE MEET WITH ACCOUNTING MANAGEMENT TO ADDRESS ANY QUESTIONS. ALL QUESTIONS MUST BE ADDRESSED TO THE SATISFACTION OF THE COMMITTEE MEMBERS PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C ON AN ANNUAL BASIS, ALL MEMBERS OF THE BOARD OF TRUSTEES, UNIVERSITY OFFICERS, PRESIDENTS AND VICE PRESIDENTS ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST QUESTIONNAIRE. THESE QUESTIONNAIRES ARE REVIEWED BY ACCOUNTING PERSONNEL FOR BUSINESS AND PERSONAL RELATIONSHIPS THAT MAY RESULT IN A CONFLICT OF INTEREST SITUATION. A LISTING OF THE INDIVIDUALS AND RELATED BUSINESSES AND / OR ORGANIZATIONS IS DEVELOPED AND DISTRIBUTED TO ACCOUTS PAYABLE / PROCUREMENT PERSONNEL WITH A DIRECTIVE TO MONITOR ALL OF THE TRANSACTIONS WITH ANY OF THE LISTED BUSINESSES AND / OR INDIVIDUALS. ALSO, AS PART OF THE ANNUAL INDEPENDENT AUDIT, ALL TRANSACTIONS WITH SUCH BUSINESSES AND / OR INDIVIDUALS MUST BE SUMMARIZED FOR PURPOSES OF THE REQUIRED FINANCIAL STATEMENT DISCLOSURE OF RELATED PARTY TRANSACTIONS. THIS PROVIDES AN ADDED OPPORTUNITY FOR MANAGEMENT TO REVIEW SUCH TRANSACTIONS AND RELATIONSHIPS FOR PROPRIETY. TRUSTEES, OFFICERS AND SENIOR EXECUTIVES MAY VOTE ON AND / OR PARTICIPATE IN APPROVING TRANSACTIONS WITH SUCH BUSINESSES AND / OR INDIVIDUALS IN CERTAIN PRESCRIBED CIRCUMSTANCES IN WHICH THE RELATIONSHIP IS CLEARLY DISCLOSED AND THE TRANSACTION IS APPROVED BY A MAJORITY OF THE DISINTERESTED TRUSTEES, OFFICERS AND / OR SENIOR EXECUTIVES THAT ARE CHARGED WITH MAKING THE DECISION REGARDING THE TRANSACTION IN QUESTION. FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS FOR DETERMINING THE COMPENSATION OF THE UNIVERSITY'S TOP MANAGEMENT OFFICIAL (THE UNIVERSITY CHANCELLOR) AS WELL AS THE NEXT HIGHEST RANKING OFFICIAL (THE VICE CHANCELLOR) INCLUDED ALL OF THE ELEMENTS OF THE REBUTTABLE PRESUMPTION OF REASONABLENESS. THE INDEPENDENT COMPENSATION COMMITTEE OF THE UNIVERSITY'S BOARD OF TRUSTEES INDEPENDENTLY ENGAGED A FIRM OF COMPENSATION SPECIALISTS TO PERFORM A STUDY TO EVALUATE THE COMPENSATION LEVELS OF SIMILARLY QUALIFIED PERSONS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED INSTITUTIONS. THIS INFORMATION WAS USED BY THE COMMITTEE TO EVALUATE THE COMPENSATION OF THESE TWO ADMINISTRATORS. THE RESULTING COMPENSATION AMOUNTS WERE OFFICIALLY APPROVED BY THE COMMITTEE AND DOCUMENTED IN THE MEETING MINUTES AS WELL AS IN SIGNED EMPLOYMENT CONTRACTS FOR EACH INDIVIDUAL. THE UNIVERSITY CHANCELLOR'S COMPENSATION WAS ALSO APPROVED BY THE ENTIRE BOARD OF TRUSTEES. THIS PROCESS OCCURRED IN 2005. THE CHANCELLOR'S AND VICE CHANCELLOR'S CONTRACTS ARE EFFECTIVE THROUGH JUNE 30, 2013 AND DECEMBER 31, 2012, RESPECTIVELY. THE COMMITTEE WILL FOLLOW A SIMILAR PROCESS IN ORDER TO ESTABLISH APPROPRIATE COMPENSATION LEVELS FOR THESE INDIVIDUALS FOR PERIODS BEYOND THE TERM OF THE CURRENT CONTRACTS. SIMILAR COMPENSATION STUDIES HAVE BEEN PERFORMED FOR ALL OF THE REMAINING INDIVIDUALS AND / OR POSITIONS REPORTED IN PART VII, EXCEPT FOR THE POSITION OF THE ASSISTANT SECRETARY. ALL OF THESE STUDIES WERE PERFORMED IN 2010. THE COMPENSATION FOR ALL OF THESE INDIVIDUALS IS REVIEWED BY THE GOVERNING BOARD ON AN ANNUAL BASIS. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S FINANCIAL STATEMENTS ARE AVAILABLE TO THE GENERAL PUBLIC VIA THE UNIVERSITY'S WEBSITE. THE UNIVERSITY'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE NOT MADE AVAILABLE TO THE GENERAL PUBLIC. FORM 990, PART VII: THE UNIVERSITY ENTERED INTO AN EMPLOYMENT AGREEMENT WITH MORRIS J. GAEBE DATED FEBRUARY 1, 2002, WHICH WAS SCHEDULED TO TERMINATE ON FEBRUARY 1, 2012. THE AGREEMENT PROVIDES FOR DISABILITY PAYMENTS OF 50% OF REGULAR COMPENSATION, FOR LIFE, IN THE CASE OF DISABILITY, AS DEFINED IN THE AGREEMENT. DURING CALENDAR YEAR 2011, THE EMPLOYEE WAS DETERMINED TO BE DISABLED AS DEFINED IN THE AGREEMENT AND PAYMENT AMOUNTS WERE ADJUSTED IN JANUARY, OF 2012, AND CONTINUE PURSUANT TO THE DISABILITY PROVISION. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -14,988,981. LIQUIDATIVE DISTRIBUTIONS FROM AND CHANGE IN INVESTMENT IN CORPORATE SUBS. 6,093,698. LOSSES ON PLEDGES -13,500. ROUNDING 2. TOTAL TO FORM 990, PART XI, LINE 5: -8,908,781. SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF PERSON: HILTON HOTELS (MANAGES THE UNIVERSITY-OWNED DOUBLETREE HOTEL IN CHARLOTTE, NC) (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: CLAY SNYDER, A TRUSTEE OF THE UNIVERSITY IS A DIRECTOR OF HILTON HOTELS (C) AMOUNT OF TRANSACTION: $303,397 (D) DESCRIPTION OF TRANSACTION: MANAGEMENT AND LICENSE FEES (E) SHARING OF ORGANIZATION REVENUES? = NO (A) NAME OF PERSON: SARAH C. MALIK (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF OFFICER, TRUSTEE, OR KEY EMPLOYEE (C) AMOUNT OF TRANSACTION: $76,121 (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION REVENUES? = NO (A) NAME OF PERSON: KATHLEEN A. HARNEY (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF OFFICER, TRUSTEE, OR KEY EMPLOYEE (C) AMOUNT OF TRANSACTION: $67,125 (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION REVENUES? = NO (A) NAME OF PERSON: JAMES C. GREENE (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF OFFICER, TRUSTEE, OR KEY EMPLOYEE (C) AMOUNT OF TRANSACTION: $60,783 (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION REVENUES? = NO (A) NAME OF PERSON: IRMA JULIE GREENE (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF OFFICER, TRUSTEE, OR KEY EMPLOYEE (C) AMOUNT OF TRANSACTION: $59,056 (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION REVENUES? = NO (A) NAME OF PERSON: BARBARA G. DISAIA (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF OFFICER, TRUSTEE, OR KEY EMPLOYEE (C) AMOUNT OF TRANSACTION: $65,035 (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION REVENUES? = NO (A) NAME OF PERSON: DONNA YENA (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF OFFICER, TRUSTEE, OR KEY EMPLOYEE (C) AMOUNT OF TRANSACTION: $112,090 (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION REVENUES? = NO (A) NAME OF PERSON: PIYA A. SARAWGI (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF OFFICER, TRUSTEE, OR KEY EMPLOYEE (C) AMOUNT OF TRANSACTION: $58,807 (D) DESCRIPTION OF TRANSACTION: COMPENSATION (E) SHARING OF ORGANIZATION REVENUES? = NO (A) NAME OF PERSON: DUKE ENERGY (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JAMES HANCE, JR., TRUSTEE OF THE UNIVERSITY IS ON THE BOARD OF DIRECTORS OF DUKE ENERGY (C) AMOUNT OF TRANSACTION: $814,740 (D) DESCRIPTION OF TRANSACTION: PURCHASE OF ELECTRICITY (E) SHARING OF ORGANIZATION REVENUES? = NO (A) NAME OF PERSON: SPRINT NEXTEL (NEXTEL COMMUNICATION) (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JAMES H. HANCE JR., A TRUSTEE OF THE UNIVERSITY IS A DIRECTOR OF SPRINT NEXTEL (C) AMOUNT OF TRANSACTION: $287,532 (D) DESCRIPTION OF TRANSACTION: PAYMENT FOR TELEPHONE SERVICES AND REVENUE FROM COMMUNICATION CHANNELS (E) SHARING OF ORGANIZATION REVENUES? = NO A) NAME OF PERSON: PIEDMONT NATURAL GAS (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: THOMAS SKAINS, A TRUSTEE OF THE UNIVERSITY IS THE CHAIRMAN, PRESIDENT AND CEO OF PIEDMONT NATURAL GAS (C) AMOUNT OF TRANSACTION: $168,555 (D) DESCRIPTION OF TRANSACTION: NATURAL GAS SERVICES (E) SHARING OF ORGANIZATION REVENUES? = NO CENTER FOR THE ADVANCEMENT OF FOODSERVICE EDUCATION LLC 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 262837995 RESOURCE FOR FOODSERVICE EDUCATION MD 74536 0 N/A WILDCAT REALTY HOLDINGS LLC 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 454834756 REAL ESTATE HOLDINGS RI 0 304155 N/A JWC CORP 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 050345038 RETAIL SALES RI N/A C -500 1.00000 GRIFFIN REALTY ENTERPRISES 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 050467393 REAL ESTATE RENTAL RI N/A C -38164 GRIFFIN REALTY OF RIFL 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 050517544 REAL ESTATE RENTAL FL GRIFFIN REALTY ENTERPRISES C J&W CORP 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 042794637 HOLD LIQUOR LICENSE MA N/A C -12732 1.00000 JOHNSON & WALES UNIVERSITY CLUB 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 050366691 RETAIL SALES RI N/A C -500 1.00000 CHARITABLE REMAINDER ANNUITY TRUST(1) CHARITABLE TRUST RI N/A T CHARITABLE REMAINDER UNITRUST(2) CHARITABLE TRUST RI N/A T 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 1 GRIFFIN REALTY ENTERPRISES J 102000 AMOUNT PAID FOR PARKING SPACES GRIFFIN REALTY ENTERPRISES R 4205800 FAIR MARKET VALUE