2012-05-09T15:03:15-05:00 2011-06-30 CBIZ TOFIAS 500 BOYLSTON STREET BOSTON MA 02116 990 2010-07-01 050306206 JOHNSON & WALES UNIVERSITY JOHN 4015981900 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 WILLIAM MCARDLE 4015981900 2012-04-27 1 CRAIG KLEIN 6177610600 2010 2016-02-24 21:20:13Z JOHN BOWEN 8 ABBOTT PARK PLACE PROVIDENCE RI 02903 528362100 0 X WWW.JWU.EDU X 1914 RI EDUCATIONAL ACTIVITIES 21 17 7467 262 5899718 633821 7854233 9881601 410741966 436152476 -99498 12731059 9403099 7622701 427899800 466387837 104568042 116110500 0 0 156027604 163158809 0 158535 4417221 134022151 140279710 394617797 419707554 33282003 46680283 809292672 860437834 251790184 227536152 557502488 632901682 THE MISSION OF JOHNSON & WALES UNIVERSITY IS TO EMPOWER ITS DIVERSE STUDENT BODY TO SUCCEED IN TODAY'S DYNAMIC WORLD BY INTEGRATING GENERAL EDUCATION, PROFESSIONAL SKILLS AND CAREER FOCUSED EDUCATION. 0 0 366010097 116110500 434195828 TO THIS END, THE UNIVERSITY EMPLOYS ITS FACULTY, SERVICES, CURRICULA, AND FACILITIES TO EQUIP STUDENTS WITH THE CONCEPTUAL AND PRACTICAL TOOLS REQUIRED TO BECOME CONTRIBUTING MEMBERS OF SOCIETY.CORE VALUES:* STUDENT CENTERED.* EXPERIENTIALLY BASED.* INDUSTRY RELEVANT.* EMPLOYMENT FOCUSED.* GLOBALLY ORIENTED.THE UNIVERSITY HAS A TOTAL OF 17,086 STUDENTS. 366010097 1 1 0 1 0 0 1 1 1 1 1 0 0 1 1 0 1 1 1 1 0 0 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 31775 0 1 7467 1 1 1 0 0 0 0 1 1 0 0 0 0 X 21 17 0 0 0 0 1 1 0 1 1 0 1 1 1 1 1 1 1 0 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 JOHN J BOWEN 40.00 X X 616495 0 298362 JOHN A YENA 21.00 X X 161675 0 12356 GERALD FERNANDEZ 1.00 X 0 0 0 JAMES H HANCE JR 1.00 X 0 0 0 EDWARD P GRACE III 1.00 X 0 0 0 DON W HUBBLE 1.00 X 0 0 0 WALTER ISENBERG 1.00 X 0 0 0 EMERIL LAGASSE 1.00 X 0 0 0 SYLVIA E ROBINSON 1.00 X 0 0 0 JOHN HAZEN WHITE JR 1.00 X 0 0 0 RICHARD L BREADY 1.00 X 0 0 0 PETER H COORS 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 THOMAS DWYER 40.00 X 432498 0 170140 WAYNE M KEZIRIAN 40.00 X 151119 0 4115 EMILY GILCREAST 40.00 X 84833 0 15606 MINNIE L RUNEY 40.00 X 263422 0 49564 WILLIAM MCARDLE 40.00 X 266019 0 84120 BARBARA BENNETT 40.00 X 235214 0 87140 JOSEPH J GREENE JR 40.00 X 199805 0 47921 VEERA S GAUL 40.00 X 239356 0 37914 IRVING SCHNEIDER 40.00 X 275119 0 56194 ROBIN P KRAKOWSKY 40.00 X 256780 0 89773 ARTHUR J GALLAGHER 40.00 X 240994 0 55855 KENNETH F DISAIA 40.00 X 206141 0 48018 AKHIL GUPTA 40.00 X 201178 0 57943 BETTE MATKOWSKI 40.00 X 218616 0 40341 TARUN MALIK 40.00 X 200167 0 51830 MARIE F BERNARDO 40.00 X 202170 0 42386 LOREEN M CHANT 40.00 X 224085 0 46870 LARRY RICE 40.00 X 179883 0 37884 DIANE D'AMBRA 40.00 X 184772 0 84151 MORRIS J GAEBE 40.00 X 191012 0 48275 JEFFREY D SENESE 40.00 X 205167 0 36838 MERLIN A DECONTI JR 40.00 X 205122 0 40317 PATRICIA A MCLAUGHLIN 40.00 X 217281 0 28612 JOHN A SMITHERS 40.00 X 206007 0 48052 6064930 0 1620577 112 0 1 0 BACON CONSTRUCTION 241 NARRAGANSETT PARK DR EAST PROVIDENCE RI 02916 CONSTRUCTION 7090749 JWR CONSTRUCTION SERVICES INC 1311 NEWPORT CENTER DR DEERFIELD BEACH FL 33442 CONSTRUCTION 4172197 SHAWMUT DESIGN 3 DAVOL SQUARE STE A275 PROVIDENCE RI 02903 CONSTRUCTION 2990826 RODGERS DOOLEY INC P O BOX 18446 CHARLOTTE NC 28218 CONSTRUCTION 1975047 SODEXHO INC AND AFFILIATES 7150 MONTVIEW BLVD DENVER CO 80220 CUSTODIAL 1901492 49 28085 446206 3446027 5961283 919046 9881601 TUITION 611310 340509189 340509189 ROOM AND BOARD CHARGES 611310 61544683 61544683 STUDENT FEES 611310 18675114 18675114 STUDENT PRACTICUM 611310 6152721 6152721 DOUBLETREE HOTEL 721110 5879653 5879653 3391116 3391116 436152476 4287314 4287314 1313749 582074 731675 731675 20065 711610 69263251 134956 60549556 404906 8713695 -269950 8443745 8443745 299445 446206 437727 -138282 -138282 BOOKSTORE, VENDING, AN 611310 2980925 2980925 INTEREST FROM STUDENT 611310 1626877 1626877 CAREER EXPLORATION AND 611310 749290 749290 1672216 1546838 125378 7029308 466387837 434195828 5899718 16410690 281553 281553 115828947 115828947 6161588 2362268 3475269 324051 1507896 767162 740734 115495583 97071766 16885491 1538326 12959511 11617282 1201422 140807 18846505 15959419 2548892 338194 8187726 6798143 1256147 133436 223498 223498 308555 1229 300826 6500 213420 6125 207295 183077 183077 158535 158535 497982 497982 2669060 2157925 511135 5318072 4296741 728797 292534 9640883 5662819 3691652 286412 3154745 3154745 380263 172130 208133 25397151 22028223 3115453 253475 7492540 5968701 1274123 249716 8197254 6978638 1139313 79303 26225624 22777982 3186456 261186 2882212 87941 2794271 STUDENT SERVICES EXPENS 12378057 12349298 28759 FOOD/BEVERAGE/KITCHEN S 11752959 11297855 455104 BAD DEBT 5577204 5360547 246 216411 CLASSROOM AND EDUCATION 5074382 5002267 37301 34814 UNRELATED BUSINESS INCO 145477 145477 12567295 7837314 4626460 103521 419707554 366010097 49280236 4417221 114 111 40094370 35701050 2575997 3428170 54301249 51540565 58172 55672 107861 103778 2416267 2790122 5741416 6360983 751180655 251181310 484923573 499999345 119138700 142231370 95600039 114164874 4334914 4061794 809292672 860437834 55162922 38983041 6926764 6691651 167442396 159747748 536021 598921 8609745 6935049 13112336 14579742 251790184 227536152 X 533320601 603694095 8816118 10410918 15365769 18796669 557502488 632901682 809292672 860437834 X 46680283 28718911 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 182327 0 1 750 183077 0 EXPLANATION OF OTHER LOBBYING ACTIVITIES: PART II-B, LINE 1I: PORTION OF THE UNIVERSITY'S MEMBERSHIP DUES PAID TO THE AICU (ASSOCIATION OF INDEPENDENT COLLEGES & UNIVERSITIES OF RHODE ISLAND), WHICH IS SPENT ON LOBBYING ACTIVITY. 104930 X X X 0 0 1 208104331 175938 41312682 120352 249472599 187259413 111988 20843270 110339 208104331 228742396 38824 -41663734 -141927 187259413 0.90000 0.07000 0.03000 0 0 51766299 51766299 564396626 175602818 388793808 6984957 3368961 3615996 122327544 72209531 50118013 5705229 5705229 499999345 CASH 3776050 F BUTTERFIELD FUND SERVICES 6318639 F DAVIDSON KEMPNER 11272988 F WINSTON GROWTH FUND 9781014 F COMMONFUND CEP VI 1576869 F COMMONFUND CEP V 946146 F COMMONFUND CEP VII 1298314 F GRACE VENTURE PARTNERS 112953 F PARK STREET CAPITAL V 1824548 F PARK STREET CAPITAL VI 4371313 F PARK STREET CAPITAL VIII 3623039 F WELLINGTON REAL ASSET PORTFOLIO 7249704 F 457B 869607 F CASH SURRENDER VALUE 889352 F DREYFUS CASH MANAGEMENT #288 9858 F LANKLER ASSETS 2798145 F LEHMAN BROTHERS 4271542 F NATIONAL STUDENT ORGANIZATION 165244 F PARK STREET NRF II 1902780 F PARK STREET NRF III 1766642 F EATON PARK OVERSEAS FUND 5540088 F FORESTER PARTNERS CLASS B 4411769 F COMMONFUND CVP VIII 611142 F PARK STREET CAPITAL NRF IV 709034 F PARK STREET CAPITAL IX 1911784 F SIGULER GUFF DISTRESSED OPPORTUNITIES FUND 4659268 F KING STREET CAPITAL LTD 2643446 F BENNETT OFFSHORE RESTRUCTURING FUND 5583652 F CHILTON GLOBAL NATURAL RESOURCES 6495732 F FORESTER PARTNERS 4467621 F FORESTER PARTNERS 11589002 F COMMONFUND CVP IX 112758 F SIGULER GUFF DISTRESSED OPPORTUNITIES FUND IV 604831 F 114164874 STUDENT DEPOSITS 9536814 ANNUITY DEPOSITS 936628 REFUNDABLE U.S. GRANTS 4106300 14579742 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 THE PAST 3 YEARS. 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 PLANS TO USE A PORTION OF THE EARNINGS FROM THE ENDOWMENT TO AWARD SCHOLARSHIPS TO STUDENTS HAVING FINANCIAL NEED. ALSO, THE ENDOWMENT WILL BE MANAGED TO PROVIDE FINANCIAL STABILITY FOR THE UNIVERSITY AND BE AVAILABLE IN TIMES OF ECONOMIC DOWNTURN. 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. CORPORATION FOR NATIONAL AND COMMUNITY SERVICE, THE U.S ENVIRONMENTAL PROTECTION AGENCY, THE U.S. DEPARTMENT OF AGRICULTURE, THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES, AND THE U.S. NATIONAL ENDOWMENT FOR THE HUMANITIES. EAST ASIA AND THE PACIFIC 5 24 PROGRAM SERVICES STUDENT RECRUITING 485750 EUROPE (INCLUDING ICELAND & GREENLAND) 0 8 PROGRAM SERVICES STUDENT RECRUITING 47500 CENTRAL AMERICA AND THE CARIBBEAN 0 3 PROGRAM SERVICES STUDY ABROAD 4500 SOUTH ASIA 0 2 PROGRAM SERVICES STUDENT RECRUITING 6000 MIDDLE EAST AND NORTH AFRICA 0 4 PROGRAM SERVICES STUDENT RECRUITING 19500 RUSSIA & THE NEWLY INDEPENDENT STATES 0 2 PROGRAM SERVICES STUDENT RECRUITING 2250 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 59898 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 1960186 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTING 20930991 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTING 5753726 5 43 0 0 5 43 2585584 26684717 29270301 1 0 1 1 1 0 X X X X X X 1 VANDEVER BATTEN 119 E 7TH ST SUITE 2C CHARLOTTE NC 28202 PROSPECT STRATEGY CONSULTING 0 0 38500 -38500 METROPOLITAN STRATEGIC 10873 NW 73RD TERRACE DORAL FL 33178 PROSPECT STRATEGY CONSULTING 0 0 120035 -120035 158535 -158535 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 421922 210198 211724 3025 34200 45416 224554 GOLF TOURNAMENT 210129 139193 70936 112 16995 11874 57622 1 113600 96815 16785 8501 35428 745651 446206 299445 3137 51195 65791 317604 437727 -138282 1 UNITED WAY OF RI 50 VALLEY ST PROVIDENCE RI 02909 050276059 501C3 50091 DONOR-ADVISED PHILANTHROPY FUND TO ASSIST VARIOUS UNITED WAY ORGANIZATIONS ARTHRITIS FOUNDATION 2348 POST ROAD SUITE 104 WARWICK RI 02886 060672782 501C3 10000 SUPPORT FUNDRAISING MISSION SPECIAL PROJECT CROSSROADS RI 160 BROAD STREET PROVIDENCE RI 02903 050259094 501C3 9600 EVENT WITH WATERFIRE, SPONSOR FUNDRAISING FOR ANNUAL EVENT RI PHILHARMONIC 667 WATERMAN AVENUE EAST PROVIDENCE RI 02914 050267451 501C3 6000 EVENT WITH WATERFIRE SAVE THE BAY 100 SAVE THE BAY DRIVE PROVIDENCE RI 02905 050343046 501C3 5100 SUPPORT FUNDRAISING FOR SPECIAL PROJECT WPBT2 PO BOX 610002 MIAMI FL 33261 590737868 501C3 10000 UNDERWRITING CHECK BCLIR 123 VALLEY STREET NORTH KINGSTON RI 02852 800201985 501C3 29350 FMV USE OF SPACE USE OF SPACE FOR BOARD MEETING AND LIFELONG LEARNING CLASSES COLLEGE CRUSADE OF RI 134 THURBERS AVE PROVIDENCE RI 02905 223031765 501C3 31484 FMV USE OF SPACE, SECURITY DETAIL USE OF SPACE FOR BOARD MEETINGS AND A CLUB EVENT FREE GEEK PROVIDENCE 11 HAWTHORNE ST PROVIDENCE RI 02907 263653345 501C3 36365 FMV COMPUTER & FURNITURE DONATION, USE OF SPACE USE OF SPACE FOR MONTHLY MEETINGS OSHEAN 6946 POST ROAD STE 4 NORTH KINGSTON RI 02852 050509325 501C3 5750 FMV DISCOUNTED ADMISSION TO MUSEUM DISCOUNTED MUSEUM RENTAL FEE FOR DAY CAMP PROGRAM PROVIDENCE AFTERSCHOOL ALLIANCE 17 GORDIN AVE STE 104 PROVIDENCE RI 02905 260319193 501C3 6750 FMV USE OF SPACE DONATE COMPUTERS FOR USE IN AFTERSCHOOL PROGRAM RI DONATION EXCHANGE PROGRAM 20 RIVER AVE PROVIDENCE RI 02908 222603126 501C3 11780 FMV DONATE FURNITURE USE OF MUSEUM SPACE FOR MEETINGS RI SCHOOL SUPERINTENDENTS ASSOCIATION 600 MOUNT PLEASANT AVE BLDG 6 PROVIDENCE RI 02908 050422764 501C3 17000 FMV USE OF SPACE USE OF MUSEUM SPACE FOR MEETINGS SOPHIA ACADEMY 979 BRANCH AVE PROVIDENCE RI 02904 311736069 501C3 80000 FMV USE OF SPACE USE OF THE GYM FOR SPORTS HEALTH CLINIC SPECIAL OLYMPICS 33 COLLEGE HILL RD BLDG 31 WARWICK RI 02886 050377867 501C3 10772 FMV SECURITY, FOOD AND USE OF SPACE USE OF GYM FOR BASKETBALL AND VOLLEYBALL LEAGUES AS WELL AS SECURITY DETAIL FOR EVENTS WARWICK FIREFIGHTERS SOCCER CLUB P O BOX 8605 WARWICK RI 02888 222579451 501C3 10000 FMV USE OF SPACE USE OF GYM FOR SOCCER PRACTICE MOSES BROWN SCHOOL 250 LLOYD AVE PROVIDENCE RI 02906 050258906 501C3 10000 FMV USE OF SPACE USE OF GYM FOR BASKETBALL PRACTICE JAMESTOWN ROTARY CLUB P O BOX 652 JAMESTOWN RI 02835 056008886 501C4 6400 FMV TEXTBOOK DONATION DONATED TEXTBOOKS FOR THE GHANA LITERACY PROJECT 17 1 SCHOLARSHIPS 14320 115828947 BOOK SCHOLARSHIPS OTHER INFORMATION: PART IV: 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 0 1 0 0 0 0 0 0 0 JOHN J BOWEN 572630 0 10000 0 33865 0 251862 0 46500 0 914857 0 0 0 JOHN A YENA 108733 0 50000 0 2942 0 4387 0 7969 0 174031 0 0 0 THOMAS DWYER 396296 0 10000 0 26202 0 153140 0 17000 0 602638 0 0 0 WAYNE M KEZIRIAN 146538 0 0 0 4581 0 3722 0 393 0 155234 0 0 0 MINNIE L RUNEY 217380 0 40000 0 6042 0 32674 0 16890 0 312986 0 0 0 WILLIAM MCARDLE 223316 0 17513 0 25190 0 67746 0 16374 0 350139 0 0 0 BARBARA BENNETT 203368 0 10000 0 21846 0 41653 0 45487 0 322354 0 0 0 JOSEPH J GREENE JR 181880 0 10000 0 7925 0 31147 0 16774 0 247726 0 0 0 VEERA S GAUL 221512 0 10000 0 7844 0 30515 0 7399 0 277270 0 0 0 IRVING SCHNEIDER 229296 0 26500 0 19323 0 39200 0 16994 0 331313 0 0 0 ROBIN P KRAKOWSKY 224252 0 10000 0 22528 0 82187 0 7586 0 346553 0 0 0 ARTHUR J GALLAGHER 212796 0 10000 0 18198 0 38948 0 16907 0 296849 0 0 0 KENNETH F DISAIA 184380 0 10000 0 11761 0 31165 0 16853 0 254159 0 0 0 AKHIL GUPTA 176730 0 10000 0 14448 0 21029 0 36914 0 259121 0 0 0 BETTE MATKOWSKI 198296 0 10000 0 10320 0 23488 0 16853 0 258957 0 0 0 TARUN MALIK 181880 0 10000 0 8287 0 33813 0 18017 0 251997 0 0 0 MARIE F BERNARDO 184380 0 10000 0 7790 0 25588 0 16798 0 244556 0 0 0 LOREEN M CHANT 199380 0 16798 0 7907 0 30049 0 16821 0 270955 0 0 0 LARRY RICE 155380 0 16798 0 7705 0 21217 0 16667 0 217767 0 0 0 DIANE D'AMBRA 166880 0 10000 0 7892 0 38329 0 45822 0 268923 0 0 0 MORRIS J GAEBE 179012 0 0 0 12000 0 28920 0 19355 0 239287 0 0 0 JEFFREY D SENESE 186880 0 10000 0 8287 0 20075 0 16763 0 242005 0 0 0 MERLIN A DECONTI JR 177296 0 10000 0 17826 0 23514 0 16803 0 245439 0 0 0 PATRICIA A MCLAUGHLIN 199252 0 10000 0 8029 0 21125 0 7487 0 245893 0 0 0 JOHN A SMITHERS 186880 0 10000 0 9127 0 31260 0 16792 0 254059 0 0 0 PART I, LINE 1A TRAVEL FOR COMPANION - THE SPOUSES OF CERTAIN OFFICERS OCCASIONALLY ACCOMPANY THEM ON BUSINESS TRIPS. THE SPOUSES ARE EMPLOYEES OF THE UNIVERSITY AND TRAVEL IN THEIR CAPACITY OF EMPLOYEES OF THE UNIVERSITY. SUCH TRAVEL IS NOT TREATED AS TAXABLE COMPENSATION. -HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES - 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, LINE 4B 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 0 1 1 0 0 1 0 1 1 0 0 0 0 0 0 0 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 0 TARUN MALIK RELOCATION LOAN X 75000 55672 0 1 1 55672 SEE SCHEDULE O 0 X 74 300276 SALE OF COMPARABLE ITEMS X HORSES 4 280000 OPINION OF EXPERT X CLASSROOM 19 187248 SALE OF COMPARABLE ITEMS X GIFTS-OTHER 83 71135 SALE OF COMPARABLE ITEMS X AUCTION ITEMS 112 80387 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 19 AND 28: THE NUMBER OF CONTRIBUTIONS IS THE NUMBER OF SEPARATE GIFTS MADE ON SEPARATE DATES AND ACKNOWLEDGED AS SUCH TO THE DONOR; 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), LINES 25, 26, AND 27: 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 PRESIDENT) AS WELL AS THE NEXT HIGHEST RANKING OFFICIAL (THE EXECUTIVE VICE PRESIDENT) 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 PRESIDENT'S COMPENSATION WAS ALSO APPROVED BY THE ENTIRE BOARD OF TRUSTEES. THIS PROCESS OCCURRED IN 2005. THE PRESIDENT'S AND EXECUTIVE VICE PRESIDENT'S CONTRACTS ARE EFFECTIVE THROUGH JUNE 30, 2013 AND JUNE 30, 2011, 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. MOST OF THESE STUDIES WERE PERFORMED IN JANUARY OF 2005, WHILE SOME WERE PERFORMED MORE RECENTLY AS NEW INDIVIDUALS WERE PROMOTED INTO CERTAIN POSITIONS. ALL OF THESE STUDIES HAVE BEEN REPEATED 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. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 28,845,526. ADJUSTMENT FOR ROUNDING 1. CHANGE IN INVESTMENT IN SUBSIDIARIES -126,616. TOTAL TO FORM 990, PART XI, LINE 5: 28,718,911. SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF PERSON: SHAMUT DESIGN & CONSTRUCTION (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: EDWARD GRACE, A TRUSTEE OF THE UNIVERSITY IS A DIRECTOR OF SHAMUT DESIGN (C) AMOUNT OF TRANSACTION: $2,277,640 (D) DESCRIPTION OF TRANSACTION: CONSTRUCTION SERVICES (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: $71,070 (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: $64,143 (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: $51,584 (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: $55,017 (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: $64,117 (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: $187,887 (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: $65,877 (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: $736,604 (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 HANCE, A TRUSTEE OF THE UNIVERSITY IS A DIRECTOR OF SPRINT NEXTEL (C) AMOUNT OF TRANSACTION: $292,110 (D) DESCRIPTION OF TRANSACTION: TELEPHONE SERVICES (E) SHARING OF ORGANIZATION REVENUES? = NO FORM 990, SCHEDULE R, PART IV: ACTUAL TRUST NAMES HAVE BEEN OMITTED TO PROTECT THE PRIVACY OF THE CONTRIBUTORS. SUCH INFORMATION IS AVAILABLE TO THE IRS UPON REQUEST. FORM 990, PART VI, SECTION B, #14: THE UNIVERSITY MAINTAINS AND FOLLOWS WRITTEN DOCUMENT AND RETENTION POLICIES. THE UNIVERSITY CHECKED "NO" TO THIS QUESTION ON FORM 990 BECAUSE A UNIVERSITY-WIDE POLICY HAD NOT BEEN ADOPTED BY THE BOARD OR BY AN AUTHORIZED COMMITTEE OF THE BOARD AS OF JUNE 30, 2011. A UNIVERSITY-WIDE DOCUMENT AND RETENTION POLICY IS CURRENTLY BEING COMPILED AND WILL BE ADOPTED BY THE BOARD. 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