2013-11-08T07:56:26-06:00 2013-06-30 461497033 EKS&H LLLP 7979 E TUFTS AVENUE SUITE 400 DENVER CO 802372521 990 2012-07-01 846049811 UNIVERSITY OF COLORADO FOUNDATION UNIV 3035411200 4740 WALNUT STREET BOULDER CO 80301 RICHARD W LAWRENCE 3035411200 2013-11-07 1 CRAIG R CHOUN P00173718 3037409400 2012 2016-02-24 21:20:13Z RICHARD W LAWRENCE 4740 WALNUT STREET BOULDER CO 80301 460984604 0 X WWW.CUFUND.ORG X 1967 CO TO RAISE, MANAGE, AND INVEST PRIVATE SUPPORT FOR THE BENEFIT OF THE UNIVERSITY OF COLORADO. 18 17 275 99 2592 -920892 107240934 127619327 7392337 7624701 24157850 54141948 1044420 959295 139835541 190345271 109482115 116341901 0 0 16616934 17705969 769388 795704 16059219 12581586 12944426 139450023 147788000 385518 42557271 1202230932 1327866222 280464751 310839829 921766181 1017026393 X TO RAISE, MANAGE, AND INVEST PRIVATE SUPPORT FOR THE BENEFIT OF THE UNIVERSITY OF COLORADO. 0 0 116341901 116341901 SEE SCHEDULE O. 116341901 1 1 0 1 0 1 0 0 0 1 1 1 0 0 1 1 0 1 0 0 1 0 0 1 1 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 1 44 0 1 275 1 1 1 0 0 0 0 1 1 1 0 0 0 0 0 X 18 17 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AK AZ AR CA CO CT DC GA KY LA ME MD MA MI MN MS MO NH NJ NY OH OK OR SC TN UT VA WA WV WI X RICHARD W LAWRENCE 3035411266 4740 WALNUT STREET BOULDER CO 80301 JANDEL T ALLEN-DAVIS 1.00 X 0 0 0 GARY R ANDERSON 1.00 X 0 0 0 DAVID C BAKER 1.00 X 0 0 0 MARGARET M BATHGATE 1.00 X 0 0 0 FREDRICK J BRADFORD 1.00 X 0 0 0 CARL A EKLUND 1.00 X 0 0 0 MICHAEL F IMHOFF 1.00 X 0 0 0 RICHARD W LAWRENCE 40.00 X X 284437 0 29733 JAMES CT LINFIELD 1.00 X 0 0 0 BETSY A MANGONE 1.00 X 0 0 0 JEREMY O MAY 1.00 X 0 0 0 KILE MORGAN JR 1.00 X 0 0 0 EDWARD A OSBORNE 1.00 X 0 0 0 KAREN L POSSEHL 1.00 X 0 0 0 ANDREW J SAFIR 1.00 X 0 0 0 DAWN F WOOD 1.00 X 0 0 0 EARL L WRIGHT 1.00 X 0 0 0 J WILLIAM FREYTAG 1.00 X 0 0 0 A KELLER YOUNG ESQ 40.00 X 131742 0 19924 DAN B PALMQUIST 40.00 X 148647 0 9206 KATHLEEN A RASCO 40.00 X 140632 0 24019 DENNIS PIPER 40.00 X 54397 0 4667 CHERYL J KISLING 40.00 X 190831 0 16883 CAROLYN J WHITEHEAD 40.00 X 170881 0 23192 PATRICK KRAMER 40.00 X 156217 0 25355 RANDALL A STUBBS 40.00 X 148537 0 25120 JOHN BURTNESS 40.00 X 140232 0 23569 THOMAS SCHUYLER 40.00 X 145399 0 21623 KRISTEN DUGDALE 40.00 X 157481 0 22887 DAVID CHADWICK 40.00 X 164033 0 15331 J WAYNE HUTCHENS 40.00 X 250474 0 14764 2283940 0 276273 23 1 1 0 PERELLA WEINBERG PARTNERS 7979 E TUFTS AVENUE DENVER CO 80237 INVESTMENT MANAGER 2276892 BAUPOST VALUE PARTNERS 10 ST JAMES AVENUE SUITE 1700 BOSTON MA 02116 INVESTMENT MANAGER 948414 RUFFALO CODY LLC 65 KIRKWOOD N ROAD SW CEDAR RAPIDS IA 52406 CALL CENTER SERVICES 830964 HELIOS INVESTORS II LP PO BOX 309 UGLAND HOUSE GRAND CAYMAN CJ K11-104 INVESTMENT MANAGER 526144 EAGLE CAPITAL MANAGEMENT LLC 499 PARK AVE 17TH FLOOR NEW YORK NY 10022 INVESTMENT MANAGER 360131 33 157050 127462277 14871997 127619327 DVLPMT SVC FEE 611710 5100000 5100000 DVLPMT SVC FEE - 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THESE ENDOWMENTS ARE MANAGED IN ACCORDANCE WITH THE FOUNDATION BOARD APPROVED SPENDING POLICY, AND DISTRIBUTIONS FROM THESE ENDOWMENTS ARE MADE IN ACCORDANCE WITH SUCH POLICY AND ARE AVAILABLE TO THE UNIVERSITY OF COLORADO TO SUPPORT ITS PROGRAMS AND OPERATIONS, IN ACCORDANCE WITH THE APPLICABLE DONORS' RESTRICTIONS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE FOUNDATION APPLIES A MORE-LIKELY-THAN-NOT MEASUREMENT METHODOLOGY TO REFLECT THE FINANCIAL STATEMENT IMPACT OF UNCERTAIN TAX PROVISIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. AFTER EVALUATING THE TAX POSITIONS TAKEN, NONE ARE CONSIDERED TO BE UNCERTAIN; THEREFORE, NO AMOUNTS HAVE BEEN RECOGNIZED AS OF JUNE 30, 2013 OR 2012. IF INCURRED, INTEREST AND PENALTIES ASSOCIATED WITH TAX POSITIONS ARE RECORDED IN THE PERIOD ASSESSED AS GENERAL AND ADMINISTRATIVE EXPENSE. NO INTEREST OR PENALTIES HAVE BEEN ASSESSED AS OF JUNE 30, 2013 OR 2012. TAX YEARS THAT REMAIN SUBJECT TO EXAMINATION INCLUDE 2008 THROUGH THE CURRENT YEAR FOR FEDERAL AND STATE RETURNS. PART XI, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS 2,857,214. PART XI, LINE 4B - OTHER ADJUSTMENTS: UNRELATED BUSINESS INCOME 2,592. 1 EAST ASIA AND THE PACIFIC - 0 0 INVESTMENTS 8954000 CENTRAL AMERICA AND THE CARIBBEAN - 0 0 INVESTMENTS 7830000 0 0 0 0 0 0 16784000 0 16784000 1 0 1 0 1 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: THE FOUNDATION DOES NOT PROVIDE GRANTS OR OTHER ASSISTANCE OUTSIDE OF THE UNITED STATES. X X X X X X 1 RUFFALO CODY LLC 65 KIRKWOOD NORTH ROAD SW CEDAR RAPIDS IA 52404 OPER/MANAGE CALL CENTER 0 1060255 795704 264551 1060255 795704 264551 AK AZ AR CA CO CT DC GA HI IL KY LA ME MD MA MI MN MS MO NH NJ NY OH OK OR SC TN UT VA WA WI WV AL FL NC DINNER 195100 157050 38050 6500 43691 1900 23733 195100 157050 38050 6500 43691 1900 23733 75824 -37774 1 UNIVERSITY OF COLORADO 1800 GRANT ST SUITE 800 DENVER CO 80203 846000555 501(C)(3) 116106093 SEE PART IV UNIVERSITY OF COLORADO REAL ESTATE FOUNDATION 1800 GRANT ST STE 725 DENVER CO 80203 743066182 501(C)(3) 39330 GENERAL CONTRIBUTION UNIVERSITY OF COLORADO HOSPITAL FOUNDATION 12401 E 17TH AVE MS F485 AURORA CO 80045 208575263 501(C)(3) 150000 GENERAL CONTRIBUTION PIKES PEAK COMMUNITY COLLEGE FOUNDATION 5675 S ACADEMY BLVD C11 COLORADO SPRINGS CO 80906 742182257 501(C)(3) 10000 GENERAL CONTRIBUTION INNOVATIONS IN AGING COLLABORATIVE 1661 MESA AVE COLORADO SPRINGS CO 80906 460968566 501(C)(3) 33678 GENERAL CONTRIBUTION 5 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE USE OF GRANTS MADE BY THE UNIVERSITY OF COLORADO FOUNDATION ARE MONITORED BY THE UNIVERSITY OF COLORADO. PART II, LINE 1: UNIVERSITY OF COLORADO - GRANTS PAID GIFTS AND INCOME DISTRIBUTED TO THE UNIVERSITY OF COLORADO WERE APPLIED AS FOLLOWS: ACADEMICS - $33,810,950 ATHLETICS - $5,984,102 FACULTY AND STAFF COMPENSATION - $1,541,855 FINANCIAL AID - $15,515,473 LAND, BUILDINGS, AND EQUIPMENT - $30,705,688 LIBRARY - $503,967 PROFESSORSHIP CHAIRS - $8,979,119 RESEARCH - $10,490,598 OTHER ACADEMIC PURPOSES - $8,574,341 X 1 1 X X X 0 0 0 0 0 0 0 1 0 RICHARD W LAWRENCE 279937 0 4500 0 0 0 14700 0 15033 0 314170 0 0 0 A KELLER YOUNG ESQ 129719 0 2023 0 0 0 4591 0 15333 0 151666 0 0 0 DAN B PALMQUIST 146469 0 2178 0 0 0 8910 0 296 0 157853 0 0 0 KATHLEEN A RASCO 138548 0 2084 0 0 0 8588 0 15431 0 164651 0 0 0 CHERYL J KISLING 188006 0 2825 0 0 0 11491 0 5392 0 207714 0 0 0 CAROLYN J WHITEHEAD 168329 0 2552 0 0 0 10478 0 12714 0 194073 0 0 0 PATRICK KRAMER 153845 0 2372 0 0 0 9683 0 15672 0 181572 0 0 0 RANDALL A STUBBS 148537 0 0 0 0 0 9360 0 15760 0 173657 0 0 0 JOHN BURTNESS 138103 0 2129 0 0 0 8675 0 14894 0 163801 0 0 0 THOMAS SCHUYLER 143217 0 2182 0 0 0 8909 0 12714 0 167022 0 0 0 KRISTEN DUGDALE 155071 0 2410 0 0 0 8079 0 14808 0 180368 0 0 0 DAVID CHADWICK 138689 0 25344 0 0 0 9991 0 5340 0 179364 0 0 0 J WAYNE HUTCHENS 250474 0 0 0 0 0 10380 0 4384 0 265238 0 0 0 PART I, LINE 1A HEALTH AND SOCIAL CLUB DUES UNIVERSITY OF COLORADO FOUNDATION PRESIDENT/CEO IS NAMED ON A SOCIAL CLUB MEMBERSHIP HELD BY THE FOUNDATION. PART I, LINE 7 A SPECIAL PAYOUT TO REWARD EXTRAORDINARY PERFORMANCE FOR FISCAL YEAR 2012 WAS PAID IN AUGUST 2012. THE PAYOUT WAS A DISCRETIONARY PERCENTAGE OF THE EMPLOYEE'S BASE SALARY, DEPENDING ON THE ACCOMPLISHMENT AND PERFORMANCE LEVEL. GUIDELINES FOR THE INCENTIVE AWARD WERE BASED ON ACTUAL RESULTS RELATIVE TO ESTABLISHED GOALS AND SIGNIFICANT CONTRIBUTIONS IN THEIR ROLE WHICH TRULY MADE A DIFFERENCE IN FISCAL YEAR 2012. X 131 10740662 AVG HIGH/LOW PRICE X IRREVOC TRUST 1 25000 SEE SUPPLEMENTAL INFORMATION X BONDS 1 4072729 FMV X GOLD COINS 1 33606 FMV 1 0 1 1 THIRD PARTY USE: PART I, LINE 32B: THE FOUNDATION HAS ACCOUNTS AT UBS AND KASPICK WHERE SECURITIES ARE RECEIVED AND SOLD. SCHEDULE M, PART I, LINE 27: OTHER NONCASH CONTRIBUTIONS RECEIVED: IRREVOCABLE EXTERNAL TRUST/BEQUEST METHOD FOR DETERMINING CONTRIBUTION AMOUNT: ESTIMATED DISCOUNTED PRESENT VALUE OF DISTRIBUTIONS EXPECTED TO BE RECEIVED PROGRAM SERVICE STATEMENT FORM 990, PART III, LINE 4A UNIVERSITY OF COLORADO FOUNDATION'S CHARITABLE MISSION IS TO RAISE AND MANAGE PRIVATE GIFTS TO BENEFIT THE UNIVERSITY OF COLORADO. IN ACCORDANCE WITH THIS MISSION, THE FOUNDATION RAISED $127,619,327 IN DIRECT PUBLIC SUPPORT OF THE UNIVERSITY FOR THE FISCAL YEAR ENDED JUNE 30, 2013. IN ADDITION, AS OF JUNE 30, 2013, THE FOUNDATION INVESTED, ACCOUNTED FOR, AND MANAGED $1,017,026,393 IN NET ASSETS FOR THE BENEFIT OF THE UNIVERSITY. THE FOUNDATION DIRECTLY APPLIED AND DISTRIBUTED MONIES TO UNIVERSITY OF COLORADO IN THE AMOUNT OF $116,341,901. THESE APPLIED AND DISTRIBUTED MONIES WERE USED BY THE UNIVERSITY TO PROVIDE SCHOLARSHIPS, FELLOWSHIPS, FUND LECTURESHIPS AND PROFESSORSHIPS, CONSTRUCT FACILITIES, PURCHASE EQUIPMENT, PROVIDE LOANS, PURCHASE EDUCATIONAL AND RESEARCH MATERIALS AND TO FUND A MYRIAD OF OTHER PROJECTS AND ITEMS TO HELP THE UNIVERSITY PROVIDE EDUCATION TO THE GENERAL PUBLIC. FORM 990, PART VI, SECTION B, LINE 11 A FULL REVIEW BY THE FOUNDATION'S INDEPENDENT ACCOUNTING FIRM WILL BE PROVIDED TO THE AUDIT COMMITTEE. A SUMMARY OF THIS REVIEW WILL BE PRESENTED TO THE FULL BOARD BY THE AUDIT COMMITTEE CHAIR ALONG WITH A COPY OF THE FORM 990. FORM 990, PART VI, SECTION B, LINE 12C THE POLICY IS PROVIDED TO KEY EMPLOYEES, DIRECTORS, TRUSTEES AND COMMITTEE MEMBERS. EACH RECIPIENT IS ASKED TO COMPLETE A DISCLOSURE CERTIFICATION. THESE DOCUMENTS ARE COLLECTED AND THE INFORMATION COMPILED IN THE FOUNDATION'S LEGAL DEPARTMENT. WHEN THE FOUNDATION IS CONSIDERING ENTERING INTO MAJOR TRANSACTIONS AND/OR CONTRACTS WITH OUTSIDE PARTIES, POTENTIAL CONFLICTS OF INTEREST ARE RESEARCHED. IF THERE IS AN IDENTIFIED CONFLICT, THE FOUNDATION DOCUMENTS SUCH AND RESOLVES THE ISSUE BASED ON THE POLICY REQUIREMENTS. FORM 990, PART VI, SECTION B, LINE 15 THE UNIVERSITY OF COLORADO FOUNDATION HAS A COMPENSATION COMMITTEE OF SEVEN DIRECTORS. ANNUALLY MANAGEMENT PROVIDES THIS COMMITTEE WITH COMPARATIVE MARKET SALARY SURVEY INFORMATION. BASED ON THIS MARKET DATA AND PERFORMANCE, RECOMMENDATIONS FOR SALARY ADJUSTMENTS ARE REVIEWED. THIS COMMITTEE SPECIFICALLY REVIEWS AND APPROVES SALARY ADJUSTMENTS AND ANY ADDITIONAL COMPENSATION FOR THE CEO AND VP'S. SALARY RANGE REVIEW AND RECOMMENDATIONS ARE MADE TO THIS COMMITTEE ON AN ANNUAL BASIS. DELIBERATION AND CONCLUSION OF THE COMPENSATION DISCUSSION IS DOCUMENTED IN THE MINUTES MAINTAINED BY THE COMPENSATION COMMITTEE. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND AUDITED FINANCIAL STATEMENTS ARE MADE AVAILABLE UPON REQUEST. AUDITED FINANCIALS ARE ALSO AVAILABLE ON THE CUF WEBSITE WWW.CUFUND.ORG. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS 2,857,214. UNRELATED BUSINESS INCOME -2,592. CUF BOULDER II LLC 4740 WALNUT STREET BOULDER CO 80301 271020656 REAL ESTATE CO 0 0 CU FOUNDATION CU FOUNDATION HOLDINGS INC 4740 WALNUT STREET BOULDER CO 80301 311608076 REAL ESTATE CO 501(C)(3) 509(A)(3) CU FOUNDATION 1 CHARITABLE REMAINDER TRUSTS (23) CRAT CO CUF T 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0