2013-05-14T09:17:53-05:00 2012-06-30 990 2011-07-01 530199180 TRUSTEES FOR HARVARD UNIVERSITY TRUS 6174957792 1033 MASSACHUSETTS AVENUE THIRD FLOOR CAMBRIDGE MA 02138 MAUREEN H FORRESTER 6174957792 2013-05-09 2011 2016-02-24 21:20:13Z DREW GILPIN FAUST MASSACHUSETTS HALL CAMBRIDGE MA 02138 2196378015 0 X N/A X 1941 DC TO FACILITATE HARVARD UNIVERSITY'S SCIENTIFIC, LITERARY, AND EDUCATIONAL ACTIVITIES IN WASHINGTON, DC. 10 8 202 25 0 0 223015 321133 941568 613521 42185426 39334189 53301 400430 43403310 40669273 1144028 1307877 0 0 9373180 10001431 0 0 4526 10834123 15882269 21351331 27191577 22051979 13477696 1048383337 1009031371 1628653 1591617 1046754684 1007439754 X TO FACILITATE HARVARD UNIVERSITY'S SCIENTIFIC, LITERARY, AND EDUCATIONAL ACTIVITIES IN WASHINGTON, DC. 0 0 17433377 818444 567945 DUMBARTON OAKS IS A MUSEUM, RESEARCH LIBRARY, AND EDUCATIONAL FACILITY FOR THE STUDY OF BYZANTINE AND MEDIEVAL HUMANITIES, PRE-COLUMBIAN ART, AND LANDSCAPE ARCHITECTURE. THE FACILITY SERVES APPROXIMATELY 46 FELLOWS. 4996899 489433 45576 CENTER FOR HELLENIC STUDIES IS AN EDUCATIONAL CENTER IN THE FIELD OF HELLENIC STUDIES DESIGNED TO REDISCOVER HUMANISM OF THE HELLENIC GREEKS. HELLENISM FOR THE CENTER ENCOMPASSES THE EVOLUTION OF THE GREEK LANGUAGE AND ITS CULTURE AS A CENTRAL POINT OF CONTACT FOR ALL OF THE DIFFERENT CIVILIZATIONS OF THE ANCIENT MEDITERRANEAN WORLD. IT ALSO INCLUDES INTERACTIONS WITH FOREIGN CULTURES AND THE DIFFUSION OF ROMAN INFLUENCES. THIS HUMANISTIC VISION ANIMATES THE CENTER'S MAIN ACTIVITIES: (1) BUILDING AND MAINTAINING A WORLD-CLASS COLLECTION OF RESOURCES FOR THE STUDY OF THE ANCIENT GRECO-ROMAN WORLD; (2) MAKING THESE RESOURCES AVAILABLE TO THE COMMUNITY OF SCHOLARS, OFFERING RESIDENTIAL AND NON-RESIDENTIAL FELLOWSHIPS TO SUPPORT RESEARCH IN THE FIELD, AND PROVIDING A VENUE WHERE THE FELLOWS AND OTHER SCHOLARS CAN COLLABORATE AND SHARE THEIR INSIGHTS WITH DIVERSE AUDIENCES BOTH AT THE CENTER AND BEYOND THROUGH SEMINARS, OTHER FORMS OF LIVE PRESENTATIONS, AND PUBLICATIONS; (3) DISSEMINATING SCHOLARSHIP ON THE HELLENIC WORLD IN PRINTED AND ELECTRONIC FORMATS AND DEVELOPING INFORMATION TECHNOLOGIES TO ENHANCE EXISTING METHODS AND PIONEER NEW AVENUES OF RESEARCH AND TEACHING; AND (4) DESIGNING AND ORCHESTRATING ACTIVITIES FOR A GLOBAL AUDIENCE WITH THE GOAL OF ENABLING A WIDE RANGE OF PARTICIPANTS, INCLUDING NON-TRADITIONAL STUDENTS, UNDERGRADUATES, GRADUATE STUDENTS, SCHOLARS FROM OTHER DISCIPLINES, AND LIFE-LONG LEARNERS TO ENGAGE IN THE STUDY AND APPRECIATION OF HELLENIC CULTURE. DURING CALENDAR YEAR 2012 THE CENTER FOR HELLENIC STUDIES WAS ABLE TO PROVIDE THE FOLLOWING RESOURCES: SUPPORT TO 40 RESEARCH FELLOWS, 36 OF WHOM VISITED OR LIVED ON CAMPUS; FUNDING FOR 9 INTERNSHIPS IN WASHINGTON, DC AND 21 SCHOLARSHIPS FOR AMERICAN AND GREEK STUDENTS PARTICIPATING IN ITS PROGRAMS IN GREECE; ORGANIZATION OF 5 SEMINARS IN WHICH 75 FACULTY MEMBERS AND 9 UNDERGRADUATES WERE ABLE TO PARTICIPATE; AND HOST 10 FACULTY MEMBERS AND 26 UNDERGRADUATES FOR 2 RESEARCH SYMPOSIUMS IT HELD DURING THE YEAR. 22430276 1 1 0 0 0 0 0 1 0 1 1 1 0 1 0 0 0 1 0 1 1 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 123 0 1 202 1 0 1 GR 0 0 0 0 0 0 0 0 X 10 8 1 0 0 0 0 0 1 1 1 0 0 1 1 1 1 1 1 1 1 0 X OFFICE OF THE CONTROLLER HARVARD UNIVERSITY 6174957792 1033 MASSACHUSETTS AVENUE 3RD FLOOR CAMBRIDGE MA 02138 X LAWRENCE S BACOW BEGAN 711 1.00 X 0 3634 0 SUSAN L GRAHAM BEGAN 711 1.00 X 0 0 0 NANNERL O KEOHANE 1.00 X 0 0 0 PATRICIA A KING 1.00 X 0 0 0 WILLIAM F LEE 1.00 X 0 0 0 JOSEPH J O'DONNELL BEGAN 711 1.00 X 0 0 0 ROBERT D REISCHAUER 1.00 X 0 0 0 ROBERT E RUBIN 1.00 X 0 0 0 DREW GILPIN FAUST 1.00 X X 0 729106 170628 JAMES F ROTHENBERG 5.00 X X 0 0 0 MARC L GOODHEART 1.00 X 0 311090 56211 GREGORY NAGY 40.00 X 15000 193602 120360 JAN M ZIOLKOWSKI 40.00 X 169438 1602 154419 DOUGLAS G FRAME 40.00 X 106044 0 17565 MARGARET MULLETT 40.00 X 111715 0 23154 GUDRUN BUEHL 40.00 X 112664 0 17599 MICHAEL STEEN 40.00 X 147145 0 82806 SUZANNE DAY 40.00 X 151733 0 18896 813739 1239034 661638 8 0 1 0 THE WHITING-TURNER CONTRACTING COMPANY PO BOX 17596 BALTIMORE MD 21297 CONSTRUCTION 1327661 G4S PO BOX 277469 ATLANTA GA 30384 SECURITY SERVICES 350796 CUNNINGHAM QUILL ARCHITECTS PLLC 1054 31ST ST SUITE 315 WASHINGTON DC 20007 ARCHITECTURE SERVICES 265812 DH VEIRS CONTRACTING LLC 9920 OLD SPRING ROAD KENSINGTON MD 21074 CONSTRUCTION 106004 4 93525 227608 321133 PUBLICATIONS & MATERIA 900099 329040 329040 ADMISSIONS AND RELATED 900099 284481 284481 613521 964413 964413 17321 17321 486458 103349 383109 383109 383109 2193975169 2155605393 38369776 38369776 38369776 40669273 613521 0 39734619 917021 917021 390856 390856 211216 168973 38019 4224 7249505 5608829 1640676 559002 432491 126511 1449179 1121207 327972 532529 411776 120451 302 55915 39208 16707 123104 11917 111187 11252 11252 1607812 1571849 35963 13672 5394 8278 964309 773040 191269 288987 254451 34536 2599653 2423583 176070 591026 496539 94487 373203 337120 36083 3056464 2518203 538261 169476 60057 109419 ADMIN FEES TO HU 4562936 3758752 804184 BOOKS AND SUBSCRIPTIONS 570014 549674 20340 PUBLISHING 471075 465840 5235 TAXES AND FEES 76210 24059 52151 347161 89437 257724 27191577 22430276 4756775 4526 183269 674913 32777 3998 337701 14432 103261594 25707210 78967272 77554384 461848687 417770079 275282533 310896780 231731098 202116785 1048383337 1009031371 1377023 1344384 251630 247233 1628653 1591617 X 961245144 895672164 16005001 5326246 69504539 106441344 1046754684 1007439754 1048383337 1009031371 X 13477696 -52792626 X X 0 1 1 X 0 X X X 0 0 0 PRESIDENT AND FELLOWS OF HARVARD COLLEGE 042103580 2 1 1 1 10090846 1 10090846 SCHEDULE A, PART IV, SUPPLEMENTAL INFORMATION: SCHEDULE A, PART I, LINE H THE SUPPORT TO PRESIDENT AND FELLOWS OF HARVARD COLLEGE (PRESIDENT AND FELLOWS) LISTED IN COLUMN (VII) IN LINE H IS TREATED BY PRESIDENT AND FELLOWS AS A CAPITAL CONTRIBUTION AND REPORTED AS SUCH IN SCHEDULE R, PART V, ON THE PRESIDENT AND FELLOWS' FORM 990 FOR THE YEAR ENDED JUNE 30, 2012. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X X 0 910795000 4210000 -352000 906000 16913000 3164000 893670000 675213000 117320000 160245000 1075000 37744000 3164000 910795000 643523000 68294000 697000 32836000 3071000 675213000 924447000 -240022000 594000 38551000 1757000 643523000 0.08000 0.11000 0.81000 0 1 1 3172680 3172680 96405679 22890002 73515677 3683235 2817208 866027 77554384 PRIVATE EQUITIES 128900718 F REAL ASSETS 181996062 F 310896780 COLLATERAL ADVANCED UNDER SECURITY BORROWING AGREEMENT 107529150 OTHER INVESTMENTS 41163718 DUE FROM HARVARD UNIVERSITY 16659224 CASH AND EQUIV HELD BY HARVARD UNIVERSITY 36764693 202116785 PART III, LINE 1A: PART III, LINE 1A: THE UNIVERSITY'S VAST ARRAY OF MUSEUMS AND LIBRARIES HOUSES PRICELESS WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS, AND ARTIFACTS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE. THEY ARE NEITHER DISPOSED OF FOR FINANCIAL GAIN NOR ENCUMBERED IN ANY MANNER. ACCORDINGLY, SUCH COLLECTIONS ARE NOT RECORDED FOR FINANCIAL STATEMENT PURPOSES. PART III, LINE 4: PART III, LINE 4: CENTER FOR HELLENIC STUDIES COLLECTIONS THE CENTER FOR HELLENIC STUDIES COLLECTIONS IS MAINLY A LIBRARY COLLECTION COMPRISING APPROXIMATELY 60,000 VOLUMES IN THE FIELD OF HELLENIC STUDIES COVERING A WIDE RANGE OF DISCIPLINES. THE LIBRARY COLLECTION IS A VALUABLE RESOURCE TO RESEARCHERS. DUMBARTON OAKS COLLECTIONS THE DUMBARTON OAKS MUSEUM COMPRISES THREE COLLECTIONS (THE BYZANTINE COLLECTION, THE ROBERT WOODS BLISS COLLECTION OF PRE-COLUMBIAN ART, AND THE HOUSE COLLECTION). THE DUMBARTON OAKS MUSEUM HAS 35,000 OBJECTS RECORDED AND MANAGED THROUGH AN ELECTRONIC DATABASE IN A WIDE RANGE OF MEDIA - MINOR ART, SCULPTURE, ANTIQUE FURNITURE, TEXTILES AND WALL TAPESTRIES, FLOOR MOSAICS, PRINTS, PAINTING AND MONUMENTAL FRESCO REPLICA PAINTING COMING FROM EUROPE, MIDDLE AND SOUTH AMERICA, NORTH AMERICA, AND ASIA. THE DUMBARTON OAKS MUSEUM'S COLLECTIONS ARE AN IMPORTANT RESOURCE FOR THE SCHOLARLY COMMUNITY OF THE DUMBARTON OAKS RESEARCH INSTITUTE AS WELL AS TO STUDENTS AND A BROADER GENERAL PUBLIC. THE MISSION OF THE DUMBARTON OAKS MUSEUM IS TO CONNECT SCHOLARS WITH ART AND ART SCHOLARSHIP WITH THE PUBLIC. THROUGH AN ACTIVE PROGRAM OF RESEARCH AND EXHIBITIONS, THE MUSEUM STRIVES TO ADVANCE KNOWLEDGE AND STIMULATE APPRECIATION OF ART BY ENGAGING VISITORS AESTHETICALLY, VISUALLY, AND INTELLECTUALLY. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE PRIMARY GOAL OF THE ENDOWMENT IS TO SUPPORT TRUSTEES' MISSION OF FACILITATING HARVARD UNIVERSITY'S SCIENTIFIC, LITERARY, AND EDUCATIONAL ACTIVITIES IN WASHINGTON, DC. PART X, LINE 2: FIN 48 EFFECTIVE JULY 1, 2007, HARVARD UNIVERSITY, WHICH INCLUDES TRUSTEES, ADOPTED FASB INTERPRETATION NO. 48, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES (FIN 48). FIN 48 SETS A MINIMUM THRESHOLD FOR FINANCIAL STATEMENT RECOGNITION OF THE BENEFIT OF A TAX POSITION TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. NO DISCLOSURE IN THE JUNE 30, 2012 FINANCIAL STATEMENTS REGARDING UNCERTAIN TAX POSITIONS WAS REQUIRED. PART V, LINE 1B THE $4,210,000 LISTED AS CONTRIBUTIONS IN PART V, LINE 1B REPRESENTS A CHANGE IN PRESENTATION TO THE CURRENT YEAR ENDOWMENT BEGINNING BALANCE. THIS CHANGE IN PRESENTATION DOES NOT AFFECT TOTAL NET ASSETS. 1 EUROPE (INCLUDING ICELAND & GREENLAND) - 1 4 PROGRAM SERVICES CLASSICAL STUDIES 802592 EAST ASIA AND THE PACIFIC - 0 0 GRANTMAKING 22889 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 GRANTMAKING 285883 MIDDLE EAST AND NORTH AFRICA - 0 0 GRANTMAKING 1463 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 GRANTMAKING 35534 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 GRANTMAKING 43634 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 GRANTMAKING 1453 1 4 0 0 1 4 1193448 0 1193448 FELLOWSHIPS EAST ASIA AND THE PACIFIC - 2 22889 EFT OR CHECK STIPENDS, SCHOLARSHIPS, AND RESEARCH-RELATED REIMBURSEMENTS. EUROPE (INCLUDING ICELAND & GREENLAND) - 15 57574 EFT OR CHECK FELLOWSHIPS EUROPE (INCLUDING ICELAND & GREENLAND) - 29 228309 EFT OR CHECK FELLOWSHIPS MIDDLE EAST AND NORTH AFRICA - 1 1463 EFT OR CHECK FELLOWSHIPS RUSSIA & THE NEWLY INDEPENDENT STATES - 1 35534 EFT OR CHECK FELLOWSHIPS SOUTH AMERICA - ARGENTINA, BOLIVIA, 3 43634 EFT OR CHECK FELLOWSHIPS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 1 1453 EFT OR CHECK 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: ALL DISBURSEMENTS MADE BY THIS INSTITUTION IN FURTHERANCE OF ITS EXEMPT PROGRAMS ARE REVIEWED AND APPROVED BY DULY CONSTITUTED COMMITTEES OR INDIVIDUALS. ALL SCHOLARSHIPS ARE REVIEWED AND APPROVED BY HARVARD'S FINANCIAL AID OFFICES. 1 STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS 16 271250 TRAVEL GRANTS 8 20000 RESEARCH-RELATED REIMBURSEMENTS FOR FELLOWS 21 69329 OTHER GRANTS 22 44280 FELLOWSHIPS 41 384163 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ALL DISBURSEMENTS MADE BY THIS INSTITUTION IN FURTHERANCE OF ITS EXEMPT PROGRAMS ARE REVIEWED AND APPROVED BY DULY CONSTITUTED COMMITTEES OR INDIVIDUALS. X X 1 1 0 0 0 0 0 0 0 1 0 DREW GILPIN FAUST 0 720441 0 0 0 8665 0 31410 0 139218 0 899734 0 0 MARC L GOODHEART 0 310784 0 0 0 306 0 31410 0 24801 0 367301 0 0 GREGORY NAGY 15000 193290 0 0 0 312 0 24967 73500 21893 88500 240462 0 0 JAN M ZIOLKOWSKI 166893 0 0 0 2545 1602 22560 0 131718 141 323716 1743 0 0 MICHAEL STEEN 142264 0 4500 0 381 0 17160 0 65646 0 229951 0 0 0 SUZANNE DAY 151686 0 0 0 47 0 17611 0 1285 0 170629 0 0 0 PART I, LINE 1A TRAVEL FOR COMPANIONS TRUSTEES' TRAVEL POLICY ALLOWS REIMBURSEMENT FOR COMPANION TRAVELERS WHEN THE COMPANION'S ATTENDANCE AT A PROFESSIONAL FUNCTION OR INVOLVEMENT IN FUNDRAISING ACTIVITIES SERVES A LEGITIMATE BUSINESS PURPOSE. IN ACCORDANCE WITH THIS POLICY, TRUSTEES REIMBURSED CERTAIN EMPLOYEES FOR COMPANION TRAVEL DURING THE YEAR. IN THESE CIRCUMSTANCES, THE REIMBURSEMENT OF COMPANION AND FAMILY MEMBERS TRAVEL EXPENSES WAS A LEGITIMATE BUSINESS EXPENSE FOR TRUSTEES AND THEREFORE IT WAS NOT REPORTED IN THE EMPLOYEES' TAXABLE COMPENSATION. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE TRUSTEES FOR HARVARD UNIVERSITY PROVIDES HOUSING TO PROFESSOR ZIOLKOWSKI AND PROFESSOR NAGY, KEY EMPLOYEES, AND TO MR. STEEN, A REPORTABLE EMPLOYEE. THEY ARE REQUIRED TO RESIDE IN THE RESPECTIVE HOUSES AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF DUMBARTON OAKS AND THE CENTER FOR HELLENIC STUDIES. THE ESTIMATED VALUE OF THE NONTAXABLE HOUSING BENEFITS REPORTED ON FORM 990, PART VIII, SECTION A, COLUMN F, ARE $104,940 FOR PROFESSOR ZIOLKOWSKI, $73,500 FOR PROFESSOR NAGY, AND $39,000 FOR MR. STEEN. PART I, LINE 3 AS DISCUSSED IN SCHEDULE O, OFFICERS ARE NOT COMPENSATED IN THEIR CAPACITY AS OFFICERS OF TRUSTEES FOR HARVARD UNIVERSITY. TRUSTEES' OFFICERS ALSO SERVE AS OFFICERS OF THE PRESIDENT AND FELLOWS OF HARVARD COLLEGE. THE PRESIDENT IS COMPENSATED FOR HER POSITION AT PRESIDENT AND FELLOWS OF HARVARD COLLEGE. PART I, LINE 7 TRUSTEES FOR HARVARD UNIVERSITY OFFERS INCENTIVE COMPENSATION FOR OUTSTANDING PERFORMANCE. BONUS AND INCENTIVE PAYMENTS FOR EMPLOYEES ARE LISTED IN PART II, COLUMN (B)(II). FORM 990, PART VI, SECTION A, LINE 2 THE GOVERNING BOARD OF TRUSTEES FOR HARVARD UNIVERSITY IS COMPRISED OF THE SAME INDIVIDUALS AS THE GOVERNING BOARD OF THE PRESIDENT AND FELLOWS OF HARVARD COLLEGE. CERTAIN OFFICERS AND KEY EMPLOYEES OF TRUSTEES ARE EMPLOYED BY PRESIDENT AND FELLOWS OF HARVARD COLLEGE, INCLUDING PRESIDENT FAUST, SECRETARY GOODHEART, AND KEY EMPLOYEE NAGY. KEY EMPLOYEE ZIOLKOWSKI HAS A FACULTY APPOINTMENT AT THE PRESIDENT AND FELLOWS OF HARVARD UNIVERSITY. FORM 990, PART VI, SECTION A, LINE 7B CERTAIN ACTIONS OF THE TRUSTEES GOVERNING BODY, SUCH AS THE ELECTION OF NEW DIRECTORS AND AMENDMENTS TO THE CORPORATE STATUTES, ARE SUBJECT TO THE CONSENT OF HARVARD UNIVERSITY'S BOARD OF OVERSEERS. FORM 990, PART VI, SECTION B, LINE 11 THE TRUSTEES FOR HARVARD UNIVERSITY FORM 990 WAS REVIEWED BY THE UNIVERSITY'S TAX RETURN REVIEW COMMITTEES, COMPRISING SENIOR FINANCE STAFF AND INTERNAL AND EXTERNAL COUNSEL. FORM 990 WAS ALSO REVIEWED BY THE UNIVERSITY'S JOINT COMMITTEE ON INSPECTION, CONSISTING OF MEMBERS OF THE HARVARD CORPORATION AND THE BOARD OF OVERSEERS. THE FINAL FORM 990 WAS PROVIDED TO THE ENTIRE HARVARD CORPORATION BEFORE IT WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C AS PART OF HARVARD UNIVERSITY, TRUSTEES' IS SUBJECT TO SAME THE CONFLICT OF INTEREST POLICIES AND PROCEDURES AS THE PRESIDENT AND FELLOWS OF HARVARD COLLEGE. ANNUALLY, HARVARD UNIVERSITY'S OFFICE OF THE GENERAL COUNSEL DISTRIBUTES A POLICY ON CONFLICTS OF INTEREST AND COMMITMENT FOR SENIOR OFFICERS AND SENIOR ADMINISTRATORS, AND AN ANNUAL DISCLOSURE FORM, TO THE INDIVIDUALS SUBJECT TO THE POLICY. THE COMPLETED FORMS ARE REVIEWED BY THE OFFICE OF THE GENERAL COUNSEL. A PARALLEL PROCESS IS CARRIED OUT ANNUALLY BY THE OFFICE OF THE GOVERNING BOARDS FOR THE UNIVERSITY'S CORPORATE DIRECTORS. THE COMPLETED FORMS OF DIRECTORS ARE REVIEWED BY BOTH THE OFFICE OF THE GENERAL COUNSEL AND THE SECRETARY OF THE UNIVERSITY. FORM 990, PART VI, SECTION B, LINE 15 AS PART OF HARVARD UNIVERSITY, TRUSTEES' IS SUBJECT TO THE SAME POLICIES AND PROCEDURES AS THE PRESIDENT AND FELLOWS OF HARVARD COLLEGE FOR DETERMINING AND REVIEWING COMPENSATION. THE PRESIDENT AND FELLOWS OF HARVARD COLLEGE HAS DISCLOSED IN ITS FORM 990 THE PROCESS UNDERTAKEN TO DETERMINE COMPENSATION FOR ITS OFFICERS. OFFICERS ARE NOT COMPENSATED IN THEIR CAPACITY AS OFFICERS OF TRUSTEES FOR HARVARD UNIVERSITY. CERTAIN TRUSTEES' OFFICERS ALSO SERVE AS OFFICERS OF THE PRESIDENT AND FELLOWS OF HARVARD COLLEGE AND ARE COMPENSATED BY PRESIDENT AND FELLOWS OF HARVARD COLLEGE FOR SERVICES PERFORMED FOR THAT ORGANIZATION. EACH KEY EMPLOYEE OF TRUSTEES IS ALSO A HARVARD UNIVERSITY FACULTY MEMBER WITHIN THE FACULTY OF ARTS AND SCIENCES AND THE PROCESS FOR DETERMINING THIER COMPENSATION IS DESCRIBED BELOW: THE SALARIES ARE SET ANNUALLY BY THE DIVISIONAL DEAN AND APPROVED BY THE DEAN OF THE FACULTY OF ARTS AND SCIENCES (FAS). THE PROCESS FOLLOWS THAT IN PLACE FOR ALL FAS FACULTY MEMBERS. THE AMOUNT IS SET ON A STANDARD 9-MONTH BASIS, AND DOES NOT INCLUDE ANY DIRECT RECOGNITION OF DIRECTOR DUTIES. IN RECOGNITION OF THEIR RESPECTIVE ROLES, EACH KEY EMPLOYEE IS PROVIDED WITH A SUPPLEMENTAL COMPENSATION AMOUNT WHICH IS INCLUDED IN THE FIGURES REPORTED ON PART VII AND SCHEDULE J. IN ADDITION, BOTH INDIVIDUALS ARE ELIGIBLE TO EARN SALARY DURING THE SUMMER MONTHS, PROVIDED THEY HAVE EXTERNAL FUNDING. FORM 990, PART VI, SECTION C, LINE 19 TRUSTEES FOR HARVARD UNIVERSITY'S FINANCIAL STATEMENTS ARE INCORPORATED IN HARVARD UNIVERSITY'S CONSOLIDATED FINANCIAL STATEMENTS, WHICH ARE AVAILABLE ON HARVARD UNIVERSITY'S WEBSITE. HARVARD UNIVERSITY'S CONFLICT OF INTERST POLICY IS AVAILABLE ON HARVARD'S INTRANET, ACCESSIBLE TO MEMBERS OF THE HARVARD COMMUNITY. TRUSTEES' CHARTER IS AVAILABLE UPON REQUEST. HOURS PER WEEK PROVIDED TO A RELATED ORGANIZATION PART VII, LINE 1A, COLUMN B THE LIST BELOW DETAILS AVERAGE HOURS PER WEEK THAT INDIVIDUALS LISTED ON PART VII, LINE 1A DEVOTED TO PRESIDENT AND FELLOWS OF HARVARD COLLEGE, A RELATED ORGANIZATION. JAMES F. ROTHENBERG 10 HOURS WILLIAM F. LEE 5 HOURS NANNERL O. KEOHANE 5 HOURS PATRICIA A. KING 5 HOURS ROBERT D. REISCHAUER 5 HOURS ROBERT E. RUBIN 5 HOURS DREW FILPIN FAUST 60 HOURS MARC L. GOODHEART 60 HOURS LAWRENCE S. BACOW 5 HOURS SUSAN L GRAHAM 5 HOURS JOSEPH J. O'DONNELL 5 HOURS GREGORY NAGY 20 HOURS JAN ZIOLKOWSKI 5 HOURS AVERAGE HOURS PER WEEK PART VII, LINE 1A, COLUMN B THE UNIVERSITY DOES NOT TRACK HOURS WORKED BY TRUSTEES, OFFICERS, KEY EMPLOYEES OR HIGHEST COMPENSATED EMPLOYEES. THE AVERAGE HOURS WORKED REPORTED ON PART VII, LINE 1A, COLUMN (B) ARE ESTIMATES, WITH 40 HOURS PER WEEK REPRESENTING FULL TIME EMPLOYMENT. ACTUAL HOURS WORKED PER WEEK MAY VARY. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -42,701,780. TRANSFERS TO AFFILIATED ORGS -10,090,846. TOTAL TO FORM 990, PART XI, LINE 5: -52,792,626. FINANCIAL STATEMENTS AND REPORTING FORM 990, PART XII, LINE 2 HARVARD UNIVERSITY'S FINANCIAL STATEMENTS INCLUDE THE ACTIVITIES OF CERTAIN SUBSIDIARIES THAT FILE SEPARATE TAX RETURNS, INCLUDING TRUSTEES FOR HARVARD UNIVERSITY. THE FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2012 WERE AUDITED BY AN INDEPENDENT ACCOUNTANT. 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ONE STANHOPE GATE LONDON UK W1K 1AF 980471766 INVESTMENTS UK N/A C TERENA SA JUNCAL 1327 FL 21 MONTEVIDEO UY 11000 INVESTMENTS UY N/A C TERRACAL ALIMENTOS E BIOENERGIA - UNIDADE BAHIA LTDA FAZENDA BOQUEIRAO S/N ZONA RURAL BARRA BR CEP 47100 INVESTMENTS BR N/A C TERRACAL ALIMENTOS E BIOENERGIA - UNIDADE MARANHAO LTDA FAZENDA SANTO ANTONIO DA MANGA S/N ZONA RURAL MARANHAO BR CEP 65660 INVESTMENTS BR N/A C TERRACAL ALIMENTOS E BIOENERGIA - UNIDADE MINAS GERAIS LTDA FAZENDA FLEXAS S/N ZONA RURAL MINAS GERAIS BR CEP 39290 INVESTMENTS BR N/A C TERRACAL ALIMENTOS E BIOENERGIA - UNIDADE PIAUI LTDA FAZENDA OITEIROS S/N ZONA RURAL GUADALUPE BR CEP 64840 INVESTMENTS BR N/A C TERRACAL ALIMENTOS E BIOENERGIA - UNIDADE TOCANTINS LTDA FAZENDA ESPIANADA RODOVIA ESTADUAL PEIXE BR CEP 77460 INVESTMENTS BR N/A C TERRACAL ALIMENTOS E BIOENERGIA LTDA AV DAS AMERICAS 700 BLOCO 5 CIDADE DO RIO DE JANEIRO BR CEP 22640 INVESTMENTS BR N/A C TERRACAL PARTICIPACOES LTDA AV DAS AMERICAS 700 BLOCO 5 CIDADE DO RIO DE JANEIRO BR CEP 22640 INVESTMENTS BR N/A C TERRACAL PROPRIEDADES LTDA AV DAS AMERICAS 700 BLOCO 5 CIDADE DO RIO DE JANEIRO BR CEP 22640 INVESTMENTS BR N/A C TINAMOU PO BOX 309 UGLAND HOUSE GRAND CAYMAN CJ KY1-1104 981014421 INVESTMENTS CJ N/A C TOUCANET SA PLAZA 2000 16TH FL 50TH ST REPUBLIC OF PANAMA PM INVESTMENTS PM N/A C TUNUYAN SA VILLA FINTANA DEL CLUB TERRAZA 2 C MANAGUA NU INVESTMENTS NU N/A C UNITECA AGROFLORESTAL SA AVENIDA GOVERNADOR PONCE DE ARRUDA VAREZEA GRANDE MATO GROSSO BR CEP 78110 INVESTMENTS BR N/A C USRA ATLANTIC NET LEASE CAPITAL CORP 1370 AVE OF AMERICAS NEW YORK NY 10019 452732642 INVESTMENTS DE N/A C VALHOLL LTD PO BOX 309 UGLAND HOUSE GRAND CAYMAN CJ KY1-1104 980668673 INVESTMENTS CJ N/A C VERIWASTE LP 20-22 BEDFORD ROW LONDON UK WC1R 4JS 980656246 INVESTMENTS UK N/A C VISTA VERDE AGROINDUSTRIAL LTDA AV PEDROSO DE MORAES 1201 2 ANDA PINHEIROS SAO PAULO BR INVESTMENTS BR N/A C CHARITABLE LEAD TRUSTS (53) CHARITABLE TRUST MA N/A T CHARITABLE REMAINDER TRUSTS (730) CHARITABLE TRUST MA N/A T POOLED INCOME FUNDS (4) CHARITABLE TRUST MA N/A T 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 AS A TRUST SCHEDULE R, PART IV, IDENTIFICATION OF RELATED ORGANIZATIONS TAXABLE IN ORDER TO PRESERVE DONOR PRIVACY, AND IN ACCORDANCE WITH THE 2011 IRS INSTRUCTIONS FOR SCHEDULE R, THE ORGANIZATION HAS REFRAINED FROM DISCLOSING THE DETAILS OF SPLIT INTEREST TRUSTS AND HAS INSTEAD REPORTED THE AGGREGATE NUMBER OF CHARITABLE REMAINDER TRUSTS, CHARITABLE LEAD TRUSTS AND POOLED INCOME FUNDS. THE TRUSTS LISTED ARE DOMICILED IN MASSACHUSETTS, NEW YORK, AND WASHINGTON, D.C.