2012-05-10T14:56:23-05:00 2011-06-30 990 2010-07-01 362177139 UNIVERSITY OF CHICAGO UNIV 7737021941 5801 S ELLIS AVENUE CHICAGO IL 60637 JOHN R KROLL 7737021941 2012-05-10 2010 2016-02-24 21:20:13Z ROBERT J ZIMMER 5801 S ELLIS AVENUE CHICAGO IL 60637 3872468303 0 X WWW.UCHICAGO.EDU X 1890 IL THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 48 42 19237 9282 15944781 0 632997704 704552617 1018768437 1102128862 199990386 412268177 72270336 52554613 1924026863 2271504269 308206734 337549289 0 0 1076844077 1154330959 0 0 56340369 703863769 560707120 2088914580 2052587368 -164887717 218916901 8525434000 9405971301 3387792000 3440257301 5137642000 5965714000 X THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS. 1 0 811519452 607643878 INSTRUCTION:IN 2010-2011, THE UNIVERSITY ENROLLED 15,644 STUDENTS, OF THAT TOTAL, 5,252 WERE UNDERGRADUATE STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE SCHOOL), 3,792 WERE GRADUATE STUDENTS, 5,776 WERE STUDENTS IN THE UNIVERSITY'S PROFESSIONAL SCHOOLS AND 824 WERE NON-DEGREE STUDENTS. 296715980 413037283 RESEARCH:UNIVERSITY OF CHICAGO FACULTY CROSS TRADITIONAL DISCIPLINARY BOUNDARIES TO TRANSFORM UNDERSTANDINGS IN BUSINESS, ECONOMICS, HISTORY, LAW, LITERATURE, RELIGION, PHYSICS, CHEMISTRY AND BIOLOGY AND MEDICINE, AMONG OTHER FIELDS. IN PURSUIT OF THESE RESEARCH ENDEAVORS, DURING FISCAL YEAR 2010-2011 THE UNIVERSITY WAS AWARDED A TOTAL OF $444.2 MILLION IN RESEARCH FUNDING FROM FEDERAL AGENCIES, NON-FEDERAL GOVERNMENT ENTITIES, CORPORATIONS, FOUNDATIONS AND OTHER SOURCES. THIS FISCAL YEAR $413.0 MILLION WAS EXPENDED FROM FEDERAL GOVERNMENT SPONSORS OF RESEARCH, WITH THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES AND THE NATIONAL SCIENCE FOUNDATION PROVIDING THE LARGEST AMOUNTS OF FUNDING. FOUNDATION RESEARCH SPONSORSHIP AWARDS TOTALED $37.3 MILLION, FOLLOWED BY CORPORATE RESEARCH SPONSORSHIP OF $24.6 MILLION.THE UNIVERSITY ALSO CONDUCTS SCIENTIFIC RESEARCH IN COLLABORATION WITH ARGONNE NATIONAL LABORATORY, OWNED BY THE UNITED STATES GOVERNMENT AND OPERATED BY THE UNIVERSITY THROUGH A RELATED ORGANIZATION, UNDER THE TERMS OF A COST REIMBURSEMENT CONTRACT WITH THE U.S. DEPARTMENT OF ENERGY. ARGONNE IS A MULTI-PURPOSE SCIENCE LABORATORY WITH A $695 MILLION ANNUAL BUDGET AND APPROXIMATELY 2800 EMPLOYEES. IN ADDITION, FERMI RESEARCH ALLIANCE, LLC, AN ENTITY JOINTLY OWNED BY THE UNIVERSITY AND UNIVERSITIES RESEARCH ASSOCIATION INC., OPERATES FERMI NATIONAL ACCELERATOR LABORATORY ("FERMILAB") FOR THE U.S. DEPARTMENT OF ENERGY. FERMILAB IS THE NATION'S PREEMINENT CENTER FOR HIGH-ENERGY PHYSICS AND AN INTERNATIONAL CENTER FOR SCIENTIFIC RESEARCH IN ELEMENTARY PARTICLE PHYSICS AND ASTROPHYSICS. FERMILAB HAS A $431 MILLION ANNUAL BUDGET AND OVER 1900 EMPLOYEES. 273917204 273917204 SCHOLARSHIPS & FELLOWSHIPS:THE UNIVERSITY IS A NEED BLIND INSTITUTION WITH AN EXTENSIVE FINANCIAL AID PROGRAM WHICH IS DESIGNED TO ENABLE THE MOST QUALIFIED STUDENTS TO ATTEND THE UNIVERSITY REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. FOR THE 2010-2011 ACADEMIC YEAR, APPROXIMATELY 57 PERCENT OF ALL STUDENTS IN THE COLLEGE RECEIVED FINANCIAL AID IN THE FORM OF GRANTS AND SCHOLARSHIPS. UNIVERSITY-WIDE EXPENDITURES FOR SCHOLARSHIPS AND FELLOWSHIPS AMOUNTED TO $273.9 MILLION. OF THIS AMOUNT, APPROXIMATELY $200.2 MILLION WAS PROVIDED FROM UNRESTRICTED FUNDS; THE REMAINING $73.7 MILLION CAME FROM RESTRICTED SOURCES. MORE THAN ELEVEN HUNDRED FIFTY STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE COLLEGE) CURRENTLY RECEIVE ODYSSEY SCHOLARSHIPS. THE ODYSSEY SCHOLARSHIPS PROVIDE INCREASED ACCESS FOR LOW-INCOME AND MODERATE-INCOME STUDENTS BY ELIMINATING LOANS FOR THOSE WITH FAMILY INCOME BELOW $75,000 AND REDUCING LOAN INDEBTEDNESS FOR MANY OTHERS. THE UNIVERSITY EXPANDED ITS GRADUATE AID INITIATIVE, A PROGRAM THAT INVESTS APPROXIMATELY $310,000 IN THE EDUCATION OF EACH PH.D. STUDENT IN THE HUMANITIES, SOCIAL SCIENCES AND DIVINITY SCHOOL. THESE PROGRAMS ARE IN ADDITION TO THE UNIVERSITY'S LONGSTANDING COMMITMENT TO FINANCIAL ASSISTANCE FOR STUDENTS. 404179594 494484984 THE OTHER PROGRAM SERVICES THAT SUPPORT THE MISSION OF INSTRUCTION AND RESEARCH ARE:AUXILIARY ENTERPRISESLIBRARYOTHER STUDENT SERVICESINFORMATION SERVICESOPERATION AND MAINTENANCE OF PLANT 404179594 494484984 1786332230 1 1 0 1 0 0 1 0 1 1 1 0 0 1 1 1 1 1 1 1 1 1 0 1 0 0 1 1 1 1 0 1 0 0 0 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 1 X 23721 0 1 19237 1 1 1 1 EG FR CH HK IN SN SP UK BG 0 0 0 1 1 0 0 0 0 X 48 42 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 OK WA X JOHN R KROLL 7737021941 6054 S DREXEL AVENUE CHICAGO IL 60637 ANDREW M ALPER 18.00 X 0 0 0 JACK W FULLER 18.00 X 0 0 0 PAUL G YOVOVICH 18.00 X 0 0 0 SEKHAR BAHADUR 2.00 X 0 0 0 DAVID G BOOTH 2.00 X 0 0 0 THOMAS A COLE 2.00 X 0 0 0 E DAVID COOLIDGE III 2.00 X 0 0 0 JAMES S CROWN 2.00 X 0 0 0 KATHARINE P DARROW 2.00 X 0 0 0 DANIEL L DOCTOROFF 2.00 X 0 0 0 CRAIG J DUCHOSSOIS 2.00 X 0 0 0 JAMES S FRANK 2.00 X 0 0 0 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2039356351 461690044 279413246 182276798 269613399 202477817 67135582 2354184950 CLOSELY HELD EQUITY INTERESTS 1135217817 F REAL ESTATE & NATURAL RESOURCES 1269700845 F ABSOLUTE RETURN 1092617045 F 3497535707 SELF INSURANCE LIABILITY 254529800 FUNDS HELD IN CUSTODY FOR OTHERS 99079305 ASSET RETIREMENT OBLIGATION 56507447 410116552 2271504269 2052587368 218916901 609151830 3269 609155099 828072000 2921423292 609151830 43048260 652200090 2269223202 2281067 2281067 2271504269 2093354561 43048260 43048260 2050306301 2281067 2281067 2052587368 PART III, LINE 4: THE UNIVERSITY OF CHICAGO HAS TWO MUSEUMS - THE DAVID AND ALFRED SMART MUSEUM OF ART (SMART MUSEUM) AND THE ORIENTAL INSTITUTE OF THE UNIVERSITY OF CHICAGO (ORIENTAL INSTITUTE MUSEUM). THE SMART MUSEUM PROMOTES THE UNDERSTANDING OF THE VISUAL ARTS AND THEIR IMPORTANCE TO CULTURAL AND INTELLECTUAL HISTORY THROUGH DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART AND THROUGH AN INTERDISCIPLINARY APPROACH TO ITS COLLECTIONS, EXHIBITIONS, PUBLICATIONS AND PROGRAMS. THE SCOPE OF ITS PERMANENT COLLECTIONS, SPECIAL EXHIBITIONS, FOCUS ON RESEARCH AND TEACHING BY THE UNIVERSITY OF CHICAGO SCHOLARS AND OUTREACH AND EDUCATIONAL PROGRAMS TO BOTH ADULTS AND SCHOOL AGE CHILDREN MAKE SMART MUSEUM ONE OF THE MIDWEST'S MOST DYNAMIC AND INNOVATIVE EDUCATIONAL INSTITUTIONS IN THE VISUAL ARTS. THE ORIENTAL INSTITUTE MUSEUM IS A WORLD RENOWNED SHOWCASE FOR THE HISTORY, ART AND ARCHAEOLOGY OF THE ANCIENT NEAR EAST. THE COLLECTIONS ARE USED EXTENSIVELY FOR RESEARCH, TEACHING AND EXHIBITIONS. ITS APPROACH TO INTEGRATE ARCHAEOLOGICAL, TEXTUAL AND ART HISTORICAL DATA TO UNDERSTAND THE DEVELOPMENT AND FUNCTIONS OF THE ANCIENT CIVILIZATIONS OF THE NEAR EAST MAKE IT AN EXCEPTIONAL RESOURCE FOR THE UNIVERSITY COMMUNITY AS WELL AS THE COMMUNITY AT LARGE. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE UNIVERSITY'S USE OF ENDOWMENT FUNDS IS INSEPARABLE FROM THE OVERALL ACADEMIC MISSION AS ONE OF THE WORLD'S LEADING RESEARCH UNIVERSITIES. ENDOWMENT FUNDS ARE USED TO SUPPORT INSTRUCTION AND RESEARCH PROGRAMS; SUPPORT PROFESSORSHIPS; SUPPORT FINANCIAL AID FOR UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS; SUPPORT THE ACQUISITION, RESTORATION AND PRESERVATION OF BOOKS AND OTHER MATERIALS IN THE LIBRARIES; AND SUPPORT THE ON-GOING OPERATIONS OF THE PHYSICAL PLANT, GROUNDS, AND EQUIPMENT. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE UNIVERSITY IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, EXCEPT TO THE EXTENT THAT THE UNIVERSITY HAS UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL INCOME TAXES. THERE WAS NO PROVISION FOR INCOME TAXES DUE ON UNRELATED BUSINESS INCOME IN FISCAL YEARS 2011 AND 2010. THE UNIVERSITY HAS NO UNCERTAIN TAX POSITIONS, WHICH THE UNIVERSITY CONSIDERS TO BE MATERIAL. PART XI, LINE 8 - OTHER ADJUSTMENTS: MISCELLANEOUS ROUNDING ADJUSTMENT PART XII, LINE 2D - OTHER ADJUSTMENTS: ADJUSTMENT FOR COST OF GOODS SOLD 27,679,310. COST OF DISPOSED EQUIPMENT 15,368,950. PART XIII, LINE 2D - OTHER ADJUSTMENTS: ADJUSTMENT FOR COST OF GOODS SOLD 27,679,310. COST OF DISPOSED EQUIPMENT 15,368,950. SCHEDULE D, PART XI, LINE 8 THERE IS A MISCELLANEOUS ROUNDING ADJUSTMENT OF $ 3,269. 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 THE UNIVERSITY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND AROUND THE WORLD, FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY, AS EMBODIED IN THE UNIVERSITY'S POLICY ON UNLAWFUL DISCRIMINATION AND HARASSMENT, AND INCLUDES A STATEMENT OF ITS NONDISCRIMINATORY POLICY ON ITS BROCHURES, CATALOGUES AND APPLICATION MATERIALS DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE UNIVERSITY OF CHICAGO RECEIVES FUNDING FROM VARIOUS GOVERNMENTAL AGENCIES FOR STUDENT FINANCIAL AID. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 2 35 PROGRAM SERVICES INSTRUCTION 17359266 EAST ASIA AND THE PACIFIC 1 19 PROGRAM SERVICES INSTRUCTION 13267077 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES INSTRUCTION 33897 SUB-SAHARAN AFRICA 4 PROGRAM SERVICES INSTRUCTION 300008 SOUTH ASIA PROGRAM SERVICES INSTRUCTION 165420 NORTH AMERICA PROGRAM SERVICES INSTRUCTION 86274 MIDDLE EAST AND NORTH AFRICA 1 PROGRAM SERVICES INSTRUCTION 221170 EUROPE (INCLUDING ICELAND & GREENLAND) 3 PROGRAM SERVICES RESEARCH 230964 EAST ASIA AND THE PACIFIC 1 5 PROGRAM SERVICES RESEARCH 2041089 SOUTH ASIA PROGRAM SERVICES RESEARCH 707723 MIDDLE EAST AND NORTH AFRICA 1 11 PROGRAM SERVICES RESEARCH 1405395 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES SUBAWARD 1124003 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES SUBAWARD 39617 SUB-SAHARAN AFRICA PROGRAM SERVICES SUBAWARD 278879 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SUBAWARD 475229 SOUTH ASIA PROGRAM SERVICES SUBAWARD 180431 NORTH AMERICA PROGRAM SERVICES SUBAWARD 228679 SOUTH AMERICA PROGRAM SERVICES SUBAWARD 190373 EUROPE (INCLUDING ICELAND & GREENLAND) PROGRAM SERVICES STUDENT AID/STIPENDS 2781609 RUSSIA & THE NEWLY INDEPENDENT STATES PROGRAM SERVICES STUDENT AID/STIPENDS 36585 SUB-SAHARAN AFRICA PROGRAM SERVICES STUDENT AID/STIPENDS 189665 EAST ASIA AND THE PACIFIC PROGRAM SERVICES STUDENT AID/STIPENDS 452091 SOUTH ASIA PROGRAM SERVICES STUDENT AID/STIPENDS 149072 NORTH AMERICA PROGRAM SERVICES STUDENT AID/STIPENDS 156915 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES STUDENT AID/STIPENDS 218087 SOUTH AMERICA PROGRAM SERVICES STUDENT AID/STIPENDS 24000 CENTRAL AMERICA AND THE CARIBBEAN PROGRAM SERVICES STUDENT AID/STIPENDS 6000 EUROPE (INCLUDING ICELAND & GREENLAND) FUNDRAISING 610551 EAST ASIA AND THE PACIFIC FUNDRAISING 352963 EAST ASIA AND THE PACIFIC UNRELATED BUSINESS INCOME 69127 CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 1839136597 EAST ASIA AND THE PACIFIC INVESTMENTS 74778071 EUROPE (INCLUDING ICELAND & GREENLAND) INVESTMENTS 285279930 NORTH AMERICA INVESTMENTS 35860864 SUB-SAHARAN AFRICA INVESTMENTS 47644875 3 62 2 16 5 78 31664076 2294418420 2326082496 X EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 28223 WIRE EAST ASIA AND THE PACIFIC SUBAWARD 31544 WIRE EAST ASIA AND THE PACIFIC SUBAWARD 52465 WIRE EAST ASIA AND THE PACIFIC SUBAWARD 292921 WIRE EAST ASIA AND THE PACIFIC SUBAWARD 98299 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 19393 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 39685 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 94333 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 172919 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 164967 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 39327 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 63929 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 49924 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 16690 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 48012 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 128471 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 181036 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 20288 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 56805 WIRE NORTH AMERICA SUBAWARD 55841 WIRE NORTH AMERICA SUBAWARD 106129 WIRE NORTH AMERICA SUBAWARD 66710 WIRE RUSSIA & THE NEWLY INDEPENDENT STATES SUBAWARD 39617 WIRE SOUTH AMERICA SUBAWARD 27410 WIRE SOUTH AMERICA SUBAWARD 32430 WIRE SOUTH AMERICA SUBAWARD 69000 WIRE SOUTH AMERICA SUBAWARD 61533 WIRE SOUTH ASIA SUBAWARD 169024 WIRE SOUTH ASIA SUBAWARD 11407 WIRE SUB-SAHARAN AFRICA SUBAWARD 52500 WIRE SUB-SAHARAN AFRICA SUBAWARD 24734 WIRE SUB-SAHARAN AFRICA SUBAWARD 201645 WIRE STUDENT AID EAST ASIA AND THE PACIFIC 27 336291 CHECK STUDENT AID EUROPE (INCLUDING ICELAND & GREENLAND) 195 2644555 CHECK STUDENT AID MIDDLE EAST AND NORTH AFRICA 15 179962 CHECK STUDENT AID NORTH AMERICA 11 140915 CHECK STUDENT AID RUSSIA & THE NEWLY INDEPENDENT STATES 1 15585 CHECK STUDENT AID SOUTH ASIA 11 137072 CHECK STUDENT AID SUB-SAHARAN AFRICA 12 156965 CHECK STUDENT SUMMER GRANTS CENTRAL AMERICA AND THE CARIBBEAN 2 6000 CHECK STUDENT SUMMER GRANTS EAST ASIA AND THE PACIFIC 37 115800 CHECK STUDENT SUMMER GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 48 137054 CHECK STUDENT SUMMER GRANTS MIDDLE EAST AND NORTH AFRICA 13 38125 CHECK STUDENT SUMMER GRANTS NORTH AMERICA 6 16000 CHECK STUDENT SUMMER GRANTS RUSSIA & THE NEWLY INDEPENDENT STATES 7 21000 CHECK STUDENT SUMMER GRANTS SOUTH AMERICA 8 24000 CHECK STUDENT SUMMER GRANTS SOUTH ASIA 4 12000 CHECK STUDENT SUMMER GRANTS SUB-SAHARAN AFRICA 10 32700 CHECK 1 1 1 0 1 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE. 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501(C)(3) OR GOVT 57678 SUBAWARD BAYSTATE MEDICAL CENTER 759 CHESTNUT STREET SPRINGFILED MA 01199 042790311 501(C)(3) OR GOVT 233103 SUBAWARD BECKMAN RESEARCH INSTITUTE OF THE CITY OF HOPE 1450 EAST DUARTE ROAD DUARTE CA 91010 953432210 501(C)(3) OR GOVT 126799 SUBAWARD BERRY COLLEGE P O BOX 490129 MOUNT BERRY GA 30149 580566133 501(C)(3) OR GOVT 64673 SUBAWARD BIOSPHERICAL INSTRUMENTS 5340 RILEY STREET SAN DIEGO CA 92110 953292603 501(C)(3) OR GOVT 82678 SUBAWARD BOSTON MEDICAL CENTER 660 HARRISON AVENUE GAMBRO 2 BOSTON MA 02118 043314093 501(C)(3) OR GOVT 20317 SUBAWARD BRIGHAM AND WOMEN'S HOSPITAL 101 HUNTINGTON STREET SUITE 305 BOSTON MA 02199 042312909 501(C)(3) OR GOVT 249934 SUBAWARD BRIGHAM YOUNG UNIVERSITY 150 E BULLDOG BLVD A-261 ASB PROVO UT 84602 870217280 501(C)(3) OR GOVT 319147 SUBAWARD BUTLER UNIVERSITY 4600 SUNSET AVE JH 104A INDIANAPOLIS IN 46208 350867977 501(C)(3) OR GOVT 52452 SUBAWARD CALIFORNIA INSTITUTE OF TECHNOLOGY 1200 E CALIFORNIA BLVD M/C 211-15 PASADENA CA 91125 951643307 501(C)(3) OR GOVT 33532 SUBAWARD CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 44106 341018992 501(C)(3) OR GOVT 644545 SUBAWARD CHICAGO PUBLIC SCHOOLS 125 S CLARK STREET14TH FLOOR CHICAGO IL 60603 366005821 501(C)(3) OR GOVT 58235 SUBAWARD CHICAGO STATE UNIVERSITY 9501 SOUTH KING DRIVE ADM-213 CHICAGO IL 60628 362580815 501(C)(3) OR GOVT 29357 SUBAWARD CHILD & FAMILY POLICY INSTITUTE OF CALIFORNIA 1331 GARDEN HIGHWAY SACRAMENTO CA 95833 830371079 501(C)(3) OR GOVT 51795 SUBAWARD CHILDREN'S HOSPITAL LOS ANGELES 4650 SUNSET BLVD LOS ANGELES CA 90027 951690977 501(C)(3) OR GOVT 10975 SUBAWARD CHILDREN'S HOSPITAL MEDICAL CENTER (CINCINNATI) 3333 BURNETT AVENUE CINCINNATI OH 45229 310833963 501(C)(3) OR GOVT 57232 SUBAWARD CLARIAN HEALTH PARTNERS INC 1-65 AND 21ST STREET INDIANAPOLIS IN 46202 351955872 501(C)(3) OR GOVT 156000 SUBAWARD COLUMBIA UNIVERSITY 615 W 135TH STREET NEW YORK NY 10027 135598093 501(C)(3) OR GOVT 959928 SUBAWARD CORNELL UNIVERSITY 395 PINE TREE ROAD SUITE 302 ITHACA NY 14850 150532082 501(C)(3) OR GOVT 90999 SUBAWARD CREIGHTON UNIVERSITY 2500 CALIFORNIA PLAZA OMAHA NE 68178 470376583 501(C)(3) OR GOVT 40621 SUBAWARD DARTMOUTH COLLEGE 11 ROPE FERRY ROAD HANOVER NH 03755 020222111 501(C)(3) OR GOVT 36287 SUBAWARD DECATUR MEMORIAL HOSPITAL 2300 NORTH EDWARD STREET DECATUR IL 62526 370661199 501(C)(3) OR GOVT 27500 SUBAWARD DUKE UNIVERSITY 2200 WEST MAIN STREET SUITE 300 DURHAM NC 27705 560532129 501(C)(3) OR GOVT 194396 SUBAWARD EMORY UNIVERSITY 1599 CLIFTON ROAD MS 1599/001/1BH ATLANTA GA 30322 580566256 501(C)(3) OR GOVT 10200 SUBAWARD EVANSTON NORTHWESTERN HEALTHCARE RESEARCH INSTITUTE 1001 UNIVERSITY PLACE EVANSTON IL 60201 362167060 501(C)(3) OR GOVT 29692 SUBAWARD FELLOWSHIP FOR INTERPRETATION OF GENOMES 15 W 155 81ST STREET BURR RIDGE IL 60527 141883085 501(C)(3) OR GOVT 610595 SUBAWARD FIELD MUSEUM OF NATURAL HISTORY 1400 SOUTH LAKE SHORE DRIVE CHICAGO IL 60605 362167011 501(C)(3) OR GOVT 94412 SUBAWARD FORDHAM UNIVERSITY 441 EAST FORDHAM ROAD BLDG 540 BRONX NY 10458 131740451 501(C)(3) OR GOVT 8972 SUBAWARD FORT WAYNE MEDICAL ONCOLOGY & HEMATOLOGY INC 4402 E STATE BLVD FORT WAYNE IN 46815 351400631 501(C)(3) OR GOVT 17500 SUBAWARD FRED HUTHCHINSON CANCER INSTITUTE 1100 FAIRVIEW AVE N PO BOX 19024 SEATTLE WA 98109 237156071 501(C)(3) OR GOVT 14703 SUBAWARD GEORGE WASHINGTON UNIVERSITY 44983 KNOLL SQUARE BLDG II ASHBURN VA 20147 530196584 501(C)(3) OR GOVT 187029 SUBAWARD GEORGIA STATE UNIVERSITY P O BOX 3999 ATLANTA GA 30302 586002050 501(C)(3) OR GOVT 83315 SUBAWARD HARVARD UNIVERSITY 667 HUNTINGTON AVENUE BOSTON MA 02115 042103580 501(C)(3) OR GOVT 352593 SUBAWARD HENRY FORD HEALTH SYSTEMS 2799 WEST GRAND BOULEVARD DETROIT MI 48202 381357020 501(C)(3) OR GOVT 141843 SUBAWARD ILLINOIS INSTITUTE OF TECHNOLOGY 3300 S FEDERAL STREET MAIN BLDG RM 308 CHICAGO IL 60616 362170136 501(C)(3) OR GOVT 86067 SUBAWARD INDIANA UNIVERSITY POPLARS 426 400 E 7TH ST BLOOMINGTON IN 47405 356001673 501(C)(3) OR GOVT 2799744 SUBAWARD INGALLS MEMORIAL HOSPITAL ONE INGALLS DRIVE HARVEY IL 60426 362170866 501(C)(3) OR GOVT 10000 SUBAWARD INNOVATIONS FOR POVERTY ACTION 101 WHITNEY AVE NEW HAVEN CT 06510 061660068 501(C)(3) OR GOVT 444128 SUBAWARD IOWA STATE UNIVERSITY 3606 ADMIN SVCS BLDG AMES IA 50011 426004224 501(C)(3) OR GOVT 32528 SUBAWARD IROBOT CORPORATION 8 BROSBY DRIVE M/S 10-2 BEDFORD MA 01730 770259335 501(C)(3) OR GOVT 33094 SUBAWARD ITT- EXELIS 12975 WORLDGATE DRIVE HERNDON VA 20170 452083813 501(C)(3) OR GOVT 37680 SUBAWARD JOHNS HOPKINS UNIVERSITY 1101 E 33RD STREET BALTIMORE MD 21218 520595110 501(C)(3) OR GOVT 381833 SUBAWARD KAISER FOUNDATION 1800 HARRISON STREET OAKLAND CA 94612 941105628 501(C)(3) OR GOVT 1299391 SUBAWARD KNOWLEDGE NEWORKS INC 1350 WILLOW ROAD SUITE 102 MENLO PARK CA 94025 943314617 501(C)(3) OR GOVT 561334 SUBAWARD LAWRENCE BERKELEY NATIONAL LAB ONE CYCLOTRON ROAD BERKELEY CA 94704 942951741 501(C)(3) OR GOVT 27343 SUBAWARD LAWRENCE UNIVERSITY PO BOX 599 SAMPSON HOUSE APPLETON WI 54912 390806297 501(C)(3) OR GOVT 54643 SUBAWARD LIQUIDIA TECHNOLOGIES 419 DAVIS DRIVE MORRISVILLE NC 27560 201926605 501(C)(3) OR GOVT 5742 SUBAWARD LOGOS CONSULTING 875 AVENUE OF THE AMERICAS NEW YORK NY 10001 501(C)(3) OR GOVT 37527 SUBAWARD LOS ANGELES BIOMEDICAL RESEARCH INSTITUTE 1124 W CARSON STREET BLDG N-14 TORRANCE CA 90502 952138184 501(C)(3) OR GOVT 304268 SUBAWARD LOUISIANA STATE UNIVERSITY 202 HIMES HALL BATON ROUGE LA 70803 726000848 501(C)(3) OR GOVT 1005322 SUBAWARD LOYOLA UNIVERSITY 820 N MICHIGAN AVENUE CHICAGO IL 60611 361408475 501(C)(3) OR GOVT 58104 SUBAWARD LUDWIG INSTITUTE FOR CANCER RESEARCH 9500 GILMAN DRIVE - RM 3041 LA JOLLA CA 92093 237121131 501(C)(3) OR GOVT 359214 SUBAWARD MARQUETTE UNIVERSITY P O BOX 1881 MILWAUKEE WI 53201 390806251 501(C)(3) OR GOVT 115144 SUBAWARD MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 02114 042697983 501(C)(3) OR GOVT 268777 SUBAWARD MASSACHUSETTS INSTITUTE OF TECHNOLOGY SUITE NE49-4161 CAMBRIDGE MA 02139 042103594 501(C)(3) OR GOVT 505028 SUBAWARD MDRC RESEARCH CORPORATION 16 EAST 34TH STREET NEW YORK NY 10016 237379473 501(C)(3) OR GOVT 152531 SUBAWARD MEDICAL COLLEGE OF WISCONSIN 8701 WATERTOWN PLANK ROAD MILWAUKEE WI 53226 390806261 501(C)(3) OR GOVT 1321111 SUBAWARD MICHIGAN STATE UNIVERSITY 301 ADMINISTRATION BLDG EAST LANSING MI 48824 386005984 501(C)(3) OR GOVT 32192 SUBAWARD MIDWEST CLINICIANS' NETWORK INC 7215 WESTSHIRE DRIVE LANSING MI 48917 383189461 501(C)(3) OR GOVT 59503 SUBAWARD MONTANA STATE UNIVERSITY 309 MONTANA HALL PO BOX 172470 BOZEMAN MT 59717 810302402 501(C)(3) OR GOVT 159679 SUBAWARD MORTON FOUNDATION C/O CALIBRE 930 WINTER STREET SUITE 1500 WALTHAM MA 02451 042103605 501(C)(3) OR GOVT 16979 SUBAWARD MPC CORPORATION 5000 FORBES AVENUE 509 UTDC PITTSBURGH PA 15213 251128244 501(C)(3) OR GOVT 4277321 SUBAWARD NATIONAL BUREAU OF ECONOMIC RESEARCH 1050 MASSACHUSETTS AVENUE CAMBRIDGE MA 02138 131641075 501(C)(3) OR GOVT 207899 SUBAWARD NATIONAL OPINION RESEARCH CENTER 55 EAST MONROE STREET CHICAGO IL 60603 362167808 501(C)(3) OR GOVT 188273 SUBAWARD NEW YORK UNIVERSITY 726 BROADWAY NEW YORK NY 10003 135562308 501(C)(3) OR GOVT 22469 SUBAWARD NORTH CAROLINA STATE UNIVERSITY CAMPUS BOX 7214 RALEIGH NC 27695 566000756 501(C)(3) OR GOVT 12538 SUBAWARD NORTHERN ILLINOIS UNIVERSITY LOWDEN HALL SUITE 201 DEKALB IL 60115 100064401 501(C)(3) OR GOVT 64521 SUBAWARD NORTHSHORE UNIVERSITY HEALTH SYSTEM 2650 RIDGE AVENUE - G221 EVANSTON IL 60201 362167060 501(C)(3) OR GOVT 195040 SUBAWARD NORTHWESTERN UNIVERSITY 633 CLARK STREET SUITE G-547 EVANSTON IL 60208 362167817 501(C)(3) OR GOVT 3004297 SUBAWARD OHIO STATE UNIVERSITY 901 WOODY HAYES DRIVE COLUMBUS OH 43210 316025986 501(C)(3) OR GOVT 884325 SUBAWARD ONCOLOGY CARE ASSOCIATES 820 LESTER AVE SUITE 119 ST JOSEPH MI 49085 383512985 501(C)(3) OR GOVT 21800 SUBAWARD ONCOLOGY HEMATOLOGY ASSOCIATES OF CENTRAL ILLINOIS 8940 N WOOD SAGE ROAD PEORIA IL 61615 371331017 501(C)(3) OR GOVT 7500 SUBAWARD PARKLAND HEALTH & HOSPITAL SYSTEM 5201 HARRY HINES BLVD DALLAS TX 75235 751662084 501(C)(3) OR GOVT 105664 SUBAWARD PENN STATE UNIVERSITY 513 JOAB L THOMAS BLDG UNIVERSITY PARK PA 16802 246000376 501(C)(3) OR GOVT 30660 SUBAWARD PRINCETON UNIVERSITY 5 NEW SOUTH BUILDING PO BOX 5292 PRINCETON NJ 08544 210634501 501(C)(3) OR GOVT 56766 SUBAWARD PROJECT HOPE 255 CARTER HALL LANE MILLWOOD VA 22646 530242962 501(C)(3) OR GOVT 42530 SUBAWARD PURDUE UNIVERSITY 302 WOOD STREET WEST LAFAYETTE IN 47907 356002041 501(C)(3) OR GOVT 1151371 SUBAWARD RCF ECONOMIC & FINANCIAL CONSULTANTS 333 NORTH MICHIGAN AVE CHICAGO IL 60601 363008203 501(C)(3) OR GOVT 100167 SUBAWARD REHABILITATION INSTITUTE 345 E SUPERIOR STREET - RM 1436 CHICAGO IL 60611 362253036 501(C)(3) OR GOVT 106469 SUBAWARD ROCKEFELLER UNIVERSITY 1230 YORK AVENUE NEW YORK NY 10065 131624158 501(C)(3) OR GOVT 345380 SUBAWARD ROI VENTURES LLC 213 W INSTITUTE PLACE SUITE 505 CHICAGO IL 60610 205385643 501(C)(3) OR GOVT 413745 SUBAWARD SAMUEL ROBERTS NOBEL FOUNDATION INC 2510 SAM NOBLE PARKWAY ARDMORE OK 73401 730606209 501(C)(3) OR GOVT 37952 SUBAWARD SCHWARTZ MSKCC FINANCE -MEMORIAL SLOAN KETTERING CAN CTR 1275 YORK AVE NEW YORK NY 10065 912154267 501(C)(3) OR GOVT 266668 SUBAWARD SCRIPPS RESEARCH INSTITUTE 10550 NORTH TORREY PINES ROAD LA JOLLA CA 92037 501(C)(3) OR GOVT 578720 SUBAWARD SEATTLE CHILDREN'S RESEARCH INSTITUTE 1900 NINTH AVENUE MS C95-5 SEATTLE WA 98101 910564748 501(C)(3) OR GOVT 423858 SUBAWARD SLOAN KETTERING CANCER CENTER 1275 YORK AVENUE NEW YORK NY 10065 912154267 501(C)(3) OR GOVT 81505 SUBAWARD SMITHSONIAN ASTROPHYSICAL OBSERVATORY 60 GARDEN STREET CAMBRIDGE MA 02138 530206027 501(C)(3) OR GOVT 217008 SUBAWARD SOUTHERN RESEARCH INSTITUTE 2000 NINTH AVENUE SOUTH BIRMINGHAM AL 35205 630288868 501(C)(3) OR GOVT 5211 SUBAWARD SRI INTERNATIONAL 333 RAVENSWOOD AVENUE MENLO PARK CA 94025 941160950 501(C)(3) OR GOVT 135856 SUBAWARD ST LOUIS UNIVERSITY 3545 LINDELL BLVD ST LOUIS MO 63103 430654872 501(C)(3) OR GOVT 30155 SUBAWARD ST JOHN'S MERCY MEDICAL CENTER 645 MARYVILLE CENTRE DRIVE SUITE 100 ST LOUIS MO 63141 430653493 501(C)(3) OR GOVT 7500 SUBAWARD ST JUDE CHILDREN'S RESEARCH HOSPITAL 332 NORTH LAUDERDALE STREET MEMPHIS TN 38105 620646012 501(C)(3) OR GOVT 740908 SUBAWARD ST LUKE'S HOSPITAL OF KANSAS 4401 WORNALL ROAD KANSAS CITY MO 64111 440545297 501(C)(3) OR GOVT 20052 SUBAWARD STANFORD UNIVERSITY 340 PANAMA STREET STANFORD CA 94305 941156365 501(C)(3) OR GOVT 970277 SUBAWARD SUNY RESEARCH FOUNDATION 1300 ELMWOOD AVE BISHOP HALL B17 BUFFALO NY 14222 141368361 501(C)(3) OR GOVT 96680 SUBAWARD TEXAS TECH UNIVERSITY BOX 41091 LUBBOCK TX 79409 756002622 501(C)(3) OR GOVT 5345 SUBAWARD THE CHILDREN'S MERCY HOSPITAL 2401 GILLHAM ROAD KANSAS CITY MO 64108 440605373 501(C)(3) OR GOVT 97523 SUBAWARD THE MITRE CORPORATION 202 BURLINGTON ROAD BEDFORD MA 01730 501(C)(3) OR GOVT 18654 SUBAWARD TOYOTA TECHNOLOGICAL INSTITUTE 1427 EAST 60TH STREET CHICAGO IL 60637 364479457 501(C)(3) OR GOVT 49836 SUBAWARD UNIVERISTY OF ILLINOIS-CHICAGO 809 SOUTH MARSHFIELD AVENUE CHICAGO IL 60612 376000511 501(C)(3) OR GOVT 29420 SUBAWARD UNIVERSITY CORPORATION FOR ATMOSPHERIC RESEARCH 1850 TABLE MESA DR BOULDER CO 80305 742439386 501(C)(3) OR GOVT 252969 SUBAWARD UNIVERSITY OF ALABAMA 1530 3RD AVENUE S AB 1170 BIRMINGHAM AL 35294 636005996 501(C)(3) OR GOVT 138525 SUBAWARD UNIVERSITY OF ARIZONA 888 N EUCLID ROOM 510 TUCSON AZ 85722 742652689 501(C)(3) OR GOVT 192972 SUBAWARD UNIVERSITY OF CALIFORNIA-BK 2150 SHATTUCK AVENUE SUITE 300 BERKELEY CA 94704 946002123 501(C)(3) OR GOVT 459859 SUBAWARD UNIVERSITY OF CALIFORNIA-DV ONE SHIELDS AVENUE DAVIS CA 95616 946036494 501(C)(3) OR GOVT 118628 SUBAWARD UNIVERSITY OF CALIFORNIA-LA 10920 WILSHIRE BOULEVARD SUITE 1200 1200 LOS ANGELES CA 90024 943067788 501(C)(3) OR GOVT 136377 SUBAWARD UNIVERSITY OF CALIFORNIA-SD 9500 GILMAN DRIVE - RM 3041 LA JOLLA CA 92093 956006144 501(C)(3) OR GOVT 4049026 SUBAWARD UNIVERSITY OF CALIFORNIA-SF 3333 CALIFORNIA STREET SUITE 315 SAN FRANCISCO CA 94118 946036493 501(C)(3) OR GOVT 776736 SUBAWARD UNIVERSITY OF COLORADO 3100 MARINE STREET BOULDER CO 80309 391481425 501(C)(3) OR GOVT 198809 SUBAWARD UNIVERSITY OF DENVER 2199 S UNIVERSITY BOULEVARD DENVER CO 80208 840404231 501(C)(3) OR GOVT 479292 SUBAWARD UNIVERSITY OF FLORIDA 219 GRINTER HALL PO BOX 1003628 GAINESVILLE FL 32611 590974739 501(C)(3) OR GOVT 95526 SUBAWARD UNIVERSITY OF ILLINOIS-CHICAGO 809 SOUTH MARSHFIELD AVENUE CHICAGO IL 60612 376000511 501(C)(3) OR GOVT 8230380 SUBAWARD UNIVERSITY OF ILLINOIS-URBANA 1901 S FIRST ST SUITE A MC-685 CHAMPAIGN IL 61820 376000511 501(C)(3) OR GOVT 1384139 SUBAWARD UNIVERSITY OF IOWA 201 GILMORE HALL IOWA CITY IA 52242 426004813 501(C)(3) OR GOVT 56262 SUBAWARD UNIVERSITY OF KENTUCKY 109 KINKEAD HALL LEXINGTON KY 40506 616001218 501(C)(3) OR GOVT 206673 SUBAWARD UNIVERSITY OF MARYLAND 3300 METZEROTT ROAD ADELPHI MD 20783 526002033 501(C)(3) OR GOVT 337756 SUBAWARD UNIVERSITY OF MASSACHUSETTS 55 LAKE AVENUE NORTH WORCESTER MA 01655 043167352 501(C)(3) OR GOVT 256618 SUBAWARD UNIVERSITY OF MEMPHIS 315 ADMINISTRATION BUILDING MEMPHIS TN 38152 626048540 501(C)(3) OR GOVT 15677 SUBAWARD UNIVERSITY OF MIAMI P O BOX 248106 CORAL GABLES FL 33124 590624458 501(C)(3) OR GOVT 43686 SUBAWARD UNIVERSITY OF MICHIGAN 3003 S STATE STREET 3089 WOLVERINE TOWER ANN ARBOR MI 48109 386006309 501(C)(3) OR GOVT 969871 SUBAWARD UNIVERSITY OF MINNESOTA 200 OAK STREET SE MINNEAPOLIS MN 55455 416007513 501(C)(3) OR GOVT 571142 SUBAWARD UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DRIVE CB1350 CHAPEL HILL NC 27599 566001393 501(C)(3) OR GOVT 444905 SUBAWARD UNIVERSITY OF NOTRE DAME 402 GRACE HALL NOTRE DAME IN 46556 350868188 501(C)(3) OR GOVT 143965 SUBAWARD UNIVERSITY OF PENNSYLVANIA 3451 WALNUT STREET P-221 FRANKLIN BLDG PHILADELPHIA PA 19104 231352685 501(C)(3) OR GOVT 52434 SUBAWARD UNIVERSITY OF PITTSBURGH 3100 CATHEDRAL OF LEARNING PITTSBURGH PA 15260 250965591 501(C)(3) OR GOVT 502868 SUBAWARD UNIVERSITY OF ROCHESTER 1325 MT HOPE AVENUE ROCHESTER NY 14620 161089052 501(C)(3) OR GOVT 12179 SUBAWARD MEDICAL UNIVERSITY OF SOUTH CAROLINA 19 HAGOOD AVENUE CHARLESTON SC 29425 576000722 501(C)(3) OR GOVT 26524 SUBAWARD UNIVERSITY OF SOUTHERN CALIFORNIA UNIVERSITY PARK CAMPUS - STO 330 LOS ANGELES CA 90089 951642394 501(C)(3) OR GOVT 597528 SUBAWARD UNIVERSITY OF TENNESSEE UTHSC 62 S DUNLAP MEMPHIS TN 38163 626001636 501(C)(3) OR GOVT 459266 SUBAWARD UNIVERSITY OF TEXAS -CANCER CENTER P O BOX 4390 HOUSON TX 77210 501(C)(3) OR GOVT 12166 SUBAWARD UNIVERSITY OF TEXAS-AUSTIN P O BOX 7159 AUSTIN TX 78713 746000203 501(C)(3) OR GOVT 4099969 SUBAWARD UNIVERSITY OF TEXAS-SAN ANTONIO ONE UTSA CIRCLE SAN ANTONIO TX 78249 741717115 501(C)(3) OR GOVT 83909 SUBAWARD UNIVERSITY OF UTAH 201 PRESIDENTS CIRCLE SALT LAKE CITY UT 84112 876000525 501(C)(3) OR GOVT 368143 SUBAWARD UNIVERSITY OF VIRGINIA P O BOX 400202 CHARLOTTESVILLE VA 22904 546001796 501(C)(3) OR GOVT 321631 SUBAWARD UNIVERSITY OF WASHINGTON 1100 NE 45TH STREET SUITE 300 SEATTLE WA 98105 916001537 501(C)(3) OR GOVT 163253 SUBAWARD UNIVERSITY OF WISCONSIN-MADISON 21 NORTH PARK STREET - SUITE 6401 MADISON WI 53715 396006492 501(C)(3) OR GOVT 914991 SUBAWARD URBAN INSTITUTE 2100 M STREET NW WASHINGTON DC 20037 520880375 501(C)(3) OR GOVT 53574 SUBAWARD US CIVILIAN RSCH & DEVLOPMENT FDN DBA CRDF GLOBAL 1530 WILSON BLVD ARLINGTON VA 22209 541773406 501(C)(3) OR GOVT 53102 SUBAWARD US DEPARTMENT OF AGRICULTURE 10300 BALTIMORE AVE BLDG 003 BARC-WEST BELTSVILLE MD 20705 720564834 501(C)(3) OR GOVT 96948 SUBAWARD VA PUGET HEALTH CARE 1660 S COLUMBIA WAY S-152 SEATTLE WA 98108 910656166 501(C)(3) OR GOVT 523880 SUBAWARD VALPARAISO UNIVERSITY 1700 CHAPEL DRIVE VALPARAISO IN 46383 620476822 501(C)(3) OR GOVT 100240 SUBAWARD VANDERBILT UNIVERSITY 3319 WEST END AVENUE SUITE 800 NASHVILLE TN 37203 620476822 501(C)(3) OR GOVT 378896 SUBAWARD VILLANOVA UNIVERSITY 800 LANCASTER AVENUE VILLANOVA PA 19085 231352688 501(C)(3) OR GOVT 30208 SUBAWARD VIRGINIA COMMONWEALTH UNIVERSITY 800 EAST LEIGH ST SUITE 113 PO BOX 980568 RICHMOND VA 23298 546001758 501(C)(3) OR GOVT 107949 SUBAWARD WAKE FOREST UNIVERSITY MEDICAL CENTER BOULEVARD WINSTONSALEM NC 27157 364669466 501(C)(3) OR GOVT 145691 SUBAWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE BOX 1034 ST LOUIS MO 63112 436053611 501(C)(3) OR GOVT 629981 SUBAWARD WAYNE STATE UNIVERSITY 5057 WOODWARD SUITE 6402 DETROIT MI 48202 386028429 501(C)(3) OR GOVT 17460 SUBAWARD WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 525 EAST 68TH STREET C-610 WMC BOX 113 NEW YORK NY 10065 136094042 501(C)(3) OR GOVT 224197 SUBAWARD WELLESLEY COLLEGE 106 CENTRAL STREET WELLESLEY MA 02481 042103637 501(C)(3) OR GOVT 28171 SUBAWARD WESTERN MICHIGAN UNIVERSITY 1903 W MICHIGAN AVE KALAMAZOO MI 49008 386007327 501(C)(3) OR GOVT 26091 SUBAWARD YALE UNIVERSITY 155 WHITNEY AVE SUITE 230 NEW HAVEN CT 06520 060646973 501(C)(3) OR GOVT 118528 SUBAWARD UNDERGADUATE STUDENT AID 2649 89438392 GRADUATE STUDENT AID 5874 180867467 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE UNIVERSITY OF CHICAGO FOLLOWS THESE PROCEDURES TO MONITOR THE USE OF GRANT FUNDS INSIDE THE UNITED STATES. THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO THE ALLOWABILITY AND APPROPRIATENESS OF THE CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFOMANCE. OTHER INFORMATION: PART IV: PART II, LINE 1: ONE SUBAWARD IN THE AMOUNT OF $97,937 WAS GIVEN TO A BUSINESS THAT OPERATES AS A SOLE PROPRIETOR AND IS NOT LISTED ABOVE. X X X X X X 1 1 X X X X X 1 1 0 0 0 0 0 1 0 ROBERT J ZIMMER 893254 0 0 0 80856 0 568512 0 55296 0 1597918 0 0 0 THOMAS F ROSENBAUM 521437 0 10000 0 0 0 19600 0 62273 0 613310 0 0 0 NIMALAN CHINNIAH 482471 0 10000 0 23687 0 19600 0 26796 0 562554 0 0 0 THOMAS FARRELL 239901 0 11250 0 1500 0 18900 0 12985 0 284536 0 0 0 DAVID B FITHIAN 252673 0 20000 0 22284 0 19600 0 6611 0 321168 0 0 0 LAWRENCE FURNSTAHL 0 692570 0 899024 0 0 0 18375 0 4126 0 1614095 0 0 KIMBERLY GOFF-CREWS 255441 0 0 0 0 0 19600 0 8880 0 283921 0 0 0 DAVID GREENE 411484 0 20000 0 18674 0 19600 0 50228 0 519986 0 0 0 BETH A HARRIS 363759 0 0 0 0 0 19600 0 106592 0 489951 0 0 0 DONALD H LEVY 312785 0 0 0 0 0 19600 0 11509 0 343894 0 0 0 ANN MARIE LIPINSKI 438184 0 0 0 0 0 19600 0 18843 0 476627 0 0 0 JAMES NONDORF 327455 0 57000 0 12500 0 19600 0 6820 0 423375 0 0 0 JULIE A PETERSON 334983 0 15000 0 29254 0 19600 0 24514 0 423351 0 0 0 KENNETH S POLONSKY 323745 0 0 0 0 0 19600 0 3771 0 347116 0 0 0 MARK SCHMID 502497 0 1382118 0 63316 0 519600 0 22740 0 2490271 0 0 0 EVERETT VOKES 931328 0 100000 0 0 0 19600 0 52402 0 1103330 0 0 0 ARIEH SHALHAV 844748 0 119840 0 0 0 19600 0 17146 0 1001334 0 0 0 RONALD STUART BURT 385049 0 560585 0 2273 0 19600 0 26588 0 994095 0 0 0 CHRISTOPHER LONGEE 334948 0 607538 0 0 0 266615 0 15482 0 1224583 0 113091 0 JOANNA RUPP 332330 0 600963 0 0 0 266615 0 21841 0 1221749 0 0 0 VALLUVAN JEEVANADAM 802187 0 161492 0 0 0 19600 0 21997 0 1005276 0 0 0 KINERT JAFFE 159754 0 0 0 0 0 13174 0 25550 0 198478 0 0 0 KERMIT DANIEL 365987 0 0 0 37351 0 19600 0 45529 0 468467 0 0 0 EDWARD SNYDER 716135 0 578493 0 0 0 19600 0 106529 0 1420757 0 0 0 JAMES L MADARA 0 0 0 0 1693093 0 0 0 0 0 1693093 0 1687428 0 PART I, LINE 1A PART I, LINE 1A. FIRST CLASS TRAVEL: UNDER WRITTEN UNIVERSITY POLICY, FIRST CLASS AIR TRAVEL IS ONLY ALLOWED WHEN APPROVED IN ADVANCE BY A DEAN, VICE PRESIDENT OR THE PROVOST. ONE OFFICER, ONE FORMER KEY EMPLOYEE AND ONE HIGHLY COMPENSATED PERSON OF THE UNIVERSITY WERE APPROVED FOR FIRST CLASS TRAVEL IN ACCORDANCE WITH THIS POLICY. NONE OF THESE BUSINESS TRIPS WERE DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. TRAVEL FOR COMPANIONS: UNDER WRITTEN UNIVERSITY POLICY, TRAVEL FOR COMPANIONS MUST BE PRE-APPROVED BY THE VICE PRESIDENT FOR ADMINISTRATION AND CHIEF FINANCIAL OFFICER, AND WILL ONLY BE APPROVED WHEN THE COMPANION TRAVEL SERVES A BONA FIDE BUSINESS PURPOSE. ONE OFFICER AND ONE FORMER KEY EMPLOYEE HAD COMPANION TRAVEL APPROVED IN ACCORDANCE WITH THIS POLICY. THE COST OF COMPANION TRAVEL WAS NOT DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. & 1B. TAX INDEMNIFICATION AND GROSS UP PAYMENTS: INDIVIDUALS MAY HAVE CERTAIN PAYMENTS GROSSED UP AT THE DISCRETION OF HEADS OF DEPARTMENTS OR OFFICES OF THE UNIVERSITY. ONE FORMER OFFICER RECEIVED A GROSS UP PAYMENT, WHICH WAS INCLUDED IN THE OFFICER'S TAXABLE COMPENSATION. PART I, LINE 1A. & 1B; AND PART II, COLUMN D FOR ROBERT J. ZIMMER. HOUSING ALLOWANCES AND RESIDENCE FOR PERSONAL USE: HOUSING ALLOWANCES ARE ONLY PERMITTED IF PRE-APPROVED BY THE PROVOST'S OFFICE OR UNIVERSITY HUMAN RESOURCES. SIX OFFICERS AND ONE FORMER OFFICER RECEIVED HOUSING ALLOWANCES, WHICH WERE INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. A PORTION OF THE VALUE OF THE PRESIDENT'S RESIDENCE WAS TREATED AS TAXABLE COMPENSATION. PART I, LINE 1A. SOCIAL AND HEALTH CLUB DUES: UNDER WRITTEN UNIVERSITY POLICY, SOCIAL AND HEALTH CLUB DUES ARE REIMBURSABLE ONLY IF THE BENEFITS OF THE MEMBERSHIP SUPPORT THE UNIVERSITY'S MISSION, AND ONLY IF THE REIMBURSEMENT IS APPROVED BY A DEAN, VICE PRESIDENT, PROVOST OR PRESIDENT OF THE UNIVERSITY. ANY PORTION OF THE DUES NOT USED FOR BUSINESS PURPOSES IS CONSIDERED TAXABLE COMPENSATION. OFFICERS OF THE UNIVERSITY MAINTAIN MEMBERSHIP IN THE QUADRANGLE CLUB, A RELATED ORGANIZATION THAT OPERATES A FACULTY CLUB ON THE CAMPUS OF THE UNIVERSITY, FOR PURPOSES OF CONDUCTING MEETINGS AND OTHER UNIVERSITY BUSINESS. THE UNIVERSITY REIMBURSES OFFICERS FOR THESE DUES, AND THE REIMBURSEMENT IS NOT DEEMED TAXABLE COMPENSATION. IN ADDITION, TWO OFFICERS HAD SOCIAL CLUB DUES REIMBURSED BY THE UNIVERSITY FOR BUSINESS PURPOSES, AND THE REIMBURSEMENT WAS NOT DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. PERSONAL SERVICES: THE UNIVERSITY CONTRACTS WITH AN INDEPENDENT CONTRACTOR TO PROVIDE THE PRESIDENT OF THE UNIVERSITY WITH A CAR AND DRIVER FOR USE ON UNIVERSITY BUSINESS. IN ADDITION, THE UNIVERSITY PROVIDES FOR THE MAINTENANCE AND CLEANING OF THE UNIVERSITY-OWNED HOUSE PROVIDED TO THE PRESIDENT. THESE SERVICES WERE NOT DEEMED A TAXABLE BENEFIT. PART I, LINES 4A-B PART I, LINE 4A. SEVERANCE PAY: FORMER OFFICER JAMES MADARA $1,687,428. PART I, LINE 4B. ROBERT ZIMMER $548,912. PART I, LINE 7 PART I, LINE 7. INVESTMENT OFFICE PERSONNEL PARTICIPATE IN AN INCENTIVE COMPENSATION PROGRAM BASED ON PERFORMANCE AND QUALITATIVE MEASUREMENTS. IFA 100000000 REVENUE BONDS SERIES 2004A 861091967 45200BHG6 2004-11-10 105454007 SEE SUPPLEMENTAL INFORMATION 0 0 0 IFA 100000000 REVENUE BONDS SERIES 2004B 861091967 45200BHH4 2004-11-10 100000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 IFA 80000000 ADJ RAT REV REFUNDING BONDS 2004C 861091967 45200BJG4 2004-11-30 80000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 IFA 244030000 REVENUE BONDS SERIES 2007 861091967 45200B6F0 2007-06-28 249996429 SEE SUPPLEMENTAL INFORMATION 0 0 0 105454007 712375 104741632 2010 0 0 1 1 100000000 469998 99530002 2010 0 0 1 1 80000000 73133710 2006 0 1 0 1 249996429 1630377 248366052 2010 0 0 1 1 0 0 1 1 1 0.00120 0.00120 1 0 0 1 1 1 0.00120 0.00120 1 0 0 0 1 1 0.00000 0.00000 1 0 0 1 1 1 0.00010 0.00010 1 0 0 0 0 1 0 1 0 0 1 0 1 1 MORGAN STANLEY CAP SRVS 35.000000000000 0 0 0 1 0 0 0 0 1 PART 1 (F) DESCRIPTION OF PURPOSE $100,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND PAY CERTAIN COSTS OF ISSUANCE. $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $244,030,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2007, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL, A LIBRARY ADDITION, STEAM AND CHILLED WATER UTILITY PLANT EXPANSION, THE CENTER FOR BIOMEDICAL DISCOVERY, AND AN OFFICE BUILDING, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $200,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003A (F) DESCRIPTION OF PURPOSE TO REFUND, FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR THE COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER AND TO PAY CERTAIN COSTS OF ISSUANCE. $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $500,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COST OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL AND DINING FACILITY, THE LOGAN ARTS CENTER, A LIBRARY ADDITION, AND THE CENTER FOR BIOMEDICAL DISCOVERY, AND PAY CERTAIN COSTS OF ISSUANCE. PART III, LINE 4 ANY POSSIBLE PRIVATE BUSINESS USE IS CONDUCTED IN THE PORTION OF PROJECTS ALLOCATED TO UNIVERSITY CONTRIBUTIONS AND THAT IS NOT FINANCED WITH TAX-EXEMPT BOND PROCEEDS, CONSISTENT WITH THE DOCUMENTATION OF EACH BOND ISSUE. IFA 123604000 ADJ RATE DEMAND REV SERIES 2008 861091967 45200FEG0 2008-04-03 123604000 SEE SUPPLEMENTAL INFORMATION 0 0 0 IEFA 200000000 REVENUE BONDS SERIES 2003A 521297563 4520016W5 2003-08-28 202182031 SEE SUPPLEMENTAL INFORMATION 0 0 0 IEFA 50000000 ADJ RATE REV BONDSSERIES 2003B 521297563 4520017E4 2003-08-28 50000000 SEE SUPPLEMENTAL INFORMATION 0 0 0 IFA 500000000 REVENUE BONDS SERIES 2008B 861091967 45200FSX8 2009-01-07 502370736 SEE SUPPLEMENTAL INFORMATION 0 0 0 123604000 221530 2004 1 0 1 1 202182031 865506 156945165 2006 1 0 1 1 50000000 274223 49725777 2006 0 0 1 1 502370736 3653493 471895845 30474891 2012 0 0 0 1 0 0 0 1 1 0.00000 0.00000 1 0 0 1 1 1 0.00150 0.00150 1 0 0 1 1 1 0.00010 0.00010 1 0 0 1 1 1 0.00000 0.00000 1 0 1 1 MERRILL LYNCH CAP SRVS 33.000000000000 0 0 0 1 0 0 0 0 1 0 1 0 0 1 0 0 0 0 1 CHINNIAH NIMALAN X 167000 122433 0 1 1 BURT RONALD X 400000 400000 0 1 1 FARRELL THOMAS X 200000 185390 0 1 1 FITHIAN DAVID B X 136000 120387 0 1 1 GREENEDAVID A X 60000 60000 0 1 1 KUMAR SUNIL X 450000 449327 0 1 1 MADARAJAMES L X 1635000 899250 0 1 1 SNYDER EDWARD X 454000 167046 0 1 1 2403833 NOT REQUIRED NOT REQUIRED TO BE DISCLOSED 15000 STIPEND NOT REQUIRED NOT REQUIRED TO BE DISCLOSED 1200 TCHG ASST NOT REQUIRED NOT REQUIRED TO BE DISCLOSED 44618 TUIT RMSN TISHMAN SPEYER CROWN EQUITIES SEE PART V 767589 SEE PART V 0 ARAMARK CORPORATION SEE PART V 16856198 SEE PART V 0 LAKE CAPITAL SEE PART V 490558 SEE PART V 0 TERESE SCHWARTZMAN SEE PART V 50125 SEE PART V 0 FORM 990, SCHEDULE L, PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS JAMES S. CROWN, A TRUSTEE OF THE UNIVERSITY, AND HIS FAMILY OWN AN INDIRECT INTEREST IN TISHMAN SPEYER CROWN EQUITIES, LLC ("TISHMAN SPEYER"), WHICH THROUGH A SUBSIDIARY OWNS AN OFFICE BUILDING IN WASHINGTON, D.C. IN WHICH THE UNIVERSITY OF CHICAGO LEASES OFFICE SPACE. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $217,000.06 IN RENT FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2011. THE UNIVERSITY ALSO LEASES OFFICE SPACE IN NEW YORK, NEW YORK FROM TISHMAN SPEYER. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $550,588.69 IN RENT FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2011.JOSEPH NEUBAUER, A TRUSTEE OF THE UNIVERSITY, IS CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR OF ARAMARK HOLDINGS CORPORATION, WHICH OWNS A MAJORITY OF ARAMARK CORPORATION, A DIVERSIFIED MANAGEMENT COMPANY. THE UNIVERSITY HAS RETAINED ARAMARK CORPORATION TO PROVIDE FOOD SERVICE IN VARIOUS UNIVERSITY RESIDENCE HALLS AND FACILITIES, AND TO PROVIDE CERTAIN UNIFORM SERVICES TO THE UNIVERSITY. DURING THE TAX YEAR ENDED JUNE 30, 2011, THE UNIVERSITY PAID ARAMARK CORPORATION APPROXIMATELY $16,856,198 FOR THESE SERVICES, AND ARAMARK CORPORATION PAID THE UNIVERSITY APPROXIMATELY $1,985,407 IN CONNECTION WITH THESE SERVICES. THE CONTRACTS FOR THESE SERVICES WERE NEGOTIATED AT ARMS' LENGTH AND WERE CONCLUDED ON MARKET TERMS.TERESE SCHWARTZMAN, WHO WAS UNTIL SEPTEMBER 2011 MARRIED TO ROBERT J. ZIMMER, PRESIDENT OF THE UNIVERSITY AND A TRUSTEE, IS EMPLOYED BY THE UNIVERSITY AS DIRECTOR OF STRATEGIC INITIATIVES IN THE UNIVERSITY'S URBAN EDUCATION INSTITUTE. DURING THE TAX YEAR ENDED JUNE 30, 2011, MS. SCHWARTZMAN WAS PAID A GROSS SALARY OF $50,125, IN CONNECTION WITH HER EMPLOYMENT IN THE URBAN EDUCATION INSTITUTE.PAUL YOVOVICH, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT OF LAKE CAPITAL, A PRIVATE EQUITY FIRM THAT MANAGES TWO PRIVATE EQUITY FUNDS IN WHICH A PORTION OF THE UNIVERSITY'S ENDOWMENT IS INVESTED. DURING THE TAX YEAR ENDED JUNE 30, 2011, THE UNIVERSITY PAID MANAGEMENT FEES OF APPROXIMATELY $490,558 IN CONNECTION WITH LAKE CAPITAL'S MANAGEMENT OF THESE TWO FUNDS. THE TERMS GOVERNING THE UNIVERSITY'S INVESTMENT IN THESE FUNDS WERE NEGOTIATED AT ARMS' LENGTH AND CONCLUDED ON MARKET TERMS. X 4 X 309496 OPINION OF EXPERTS X 279 24851377 COST/SELLING PRICE X 1 49477000 INDEPENDENT ESTIMATE 21 0 1 1 THIRD PARTY USE: PART I, LINE 32B: RELATED ORGANIZATIONS IN THE UK, FRANCE, SINGAPORE, HONG KONG AND INDIA SOLICIT CONTRIBUTIONS FOR THE BENEFIT OF THE UNIVERSITY AND ITS PROGRAMS. THE UNIVERSITY USES AN OUTSIDE BROKER TO SELL GIFTS OF SECURITIES. NON REPORTING OF REVENUE: PART I, LINE 33: THE UNIVERSITY OF CHICAGO DOES NOT RECORD GIFTS OF ART AS REVENUE AS PERMITTED UNDER SFAS 116. NEW PROGRAM SERVICES FORM 990, PART III, LINE 2 IN SEPTEMBER 2010, THE UNIVERSITY OPENED THE UNIVERSITY OF CHICAGO CENTER IN BEIJING, CHINA. THE CENTER IN BEIJING PROVIDES A 23,000 SQUARE FOOT PHYSICAL PRESENCE TO ENHANCE AND STRENGTHEN THE UNIVERSITY'S TRADITIONALLY STRONG TIES TO CHINESE THOUGHT AND CULTURE. BUILDING UPON MORE THAN A CENTURY OF COLLABORATION BETWEEN SCHOLARS FROM CHICAGO AND CHINA, THE CENTER IN BEIJING ENABLES THE UNIVERSITY TO EXPAND EXISTING ACTIVITIES AND FORM NEW ALLIANCES AND COLLABORATIONS WITH UNIVERSITIES, BUSINESSES, MEDICAL CENTERS, POLICY GROUPS, GOVERNMENT AGENCIES, AND CULTURAL ORGANIZATIONS IN CHINA. THE CENTER CREATES A BASE FOR UNIVERSITY OF CHICAGO FACULTY, GRADUATE STUDENTS, AND UNDERGRADUATES WORKING IN CHINA, SERVES AS A GATHERING SPACE FOR ALUMNI THROUGHOUT ASIA, AND ACTS AS A RESOURCE FOR CHINESE RESEARCHERS AND STUDENTS. DURING THE TAX YEAR, THE UNIVERSITY ALSO MOVED FORWARD WITH THE ESTABLISHMENT OF A NEW INSTITUTE FOR MOLECULAR ENGINEERING. THE INSTITUTE, CREATED IN PARTNERSHIP WITH ARGONNE NATIONAL LABORATORY, WILL EXPLORE INNOVATIVE TECHNOLOGIES THAT ADDRESS FUNDAMENTAL SOCIETAL PROBLEMS THROUGH MODERN ADVANCES IN NANOSCALE MANIPULATION AND THE ABILITY TO DESIGN AT A MOLECULAR SCALE. THE INSTITUTE IS THE LARGEST NEW ACADEMIC PROGRAM THAT THE UNIVERSITY HAS STARTED SINCE THE FOUNDING OF THE UNIVERSITY OF CHICAGO HARRIS SCHOOL OF PUBLIC POLICY STUDIES IN 1988. MOLECULAR ENGINEERING WILL HAVE A TARGET SIZE OF 24 FACULTY MEMBERS, MANY OF THEM WITH JOINT APPOINTMENTS AT ARGONNE NATIONAL LABORATORY, WHO WILL BE RECRUITED OVER THE NEXT DECADE TO WORK IN FOUR TO SIX THEMATIC AREAS TO BE DETERMINED BY THE DIRECTOR AND OTHER FACULTY. THE FACULTY OF THE INSTITUTE WILL DEVELOP INTRODUCTORY AND SPECIALIZED COURSES, AND LATER WILL PROPOSE A CURRICULUM IN MOLECULAR ENGINEERING TO SUPPORT AN UNDERGRADUATE MAJOR AS WELL AS GRADUATE DEGREES. FORM 990, PART VI, SECTION A, LINE 1 THE UNIVERSITY IS GOVERNED BY A BOARD OF TRUSTEES COMPRISED OF 48 TRUSTEES. UNDER THE UNIVERSITY'S BYLAWS, AN EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, CONSISTING OF 11 TRUSTEES, HAS THE AUTHORITY TO ACT FOR THE BOARD IN THE MANAGEMENT OF THE UNIVERSITY IN ALL MATTERS EXCEPT THOSE WHICH ARE PRECLUDED BY LAW, OR THOSE WHICH UNDER THE BYLAWS REQUIRE THE VOTE OF A MAJORITY OF THE TRUSTEES IN OFFICE, AND EXCEPT AS OTHERWISE PROVIDED BY RESOLUTION ADOPTED BY A MAJORITY OF THE TRUSTEES IN OFFICE. ALL MEMBERS OF THE EXECUTIVE COMMITTEE ARE ALSO MEMBERS OF THE UNIVERSITY'S BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 2 LAWRENCE J. FURNSTAHL, AN OFFICER OF THE UNIVERSITY DURING THE TAX YEAR, AND RODNEY L. GOLDSTEIN, A TRUSTEE OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. RODNEY L. GOLDSTEIN AND KING W. HARRIS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. ROBERT W. LANE AND JOSEPH NEUBAUER, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. THOMAS J. PRITZKER AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. JOHN R. ROGERS AND PAULA WOLFF, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. JAMES S. CROWN AND RODNEY L. GOLDSTEIN, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO FILING THE FORM 990, MEMBERS OF THE EXECUTIVE COMMITTEE, AUDIT COMMITTEE, COMPENSATION COMMITTEE, AND COMMITTEE ON TRUSTEESHIP OF THE UNIVERSITY'S BOARD OF TRUSTEES WERE GIVEN AN OPPORTUNITY TO REVIEW PORTIONS OF THE FORM 990 RELEVANT TO THE AREAS OF OVERSIGHT OF THOSE COMMITTEES. THESE PORTIONS OF THE FORM 990 WERE DISTRIBUTED TO COMMITTEE MEMBERS FOR CONVENED MEETINGS IN JANUARY - MARCH 2012, AT WHICH TRUSTEES ON THESE COMMITTEES WERE GIVEN THE OPPORTUNITY TO DISCUSS THE RELEVANT SECTIONS OF THE FORM 990 AND ASK QUESTIONS. IN ADDITION, IN EARLY APRIL 2012, THE COMPLETED DRAFT FORM 990 (AND FORM 990-T), INCLUDING ALL SCHEDULES, WAS POSTED ON A SECURE WEBSITE ACCESSIBLE TO ALL TRUSTEES TO ALLOW THEM TO REVIEW THE FORM, PROVIDE COMMENTS, AND ASK ANY QUESTIONS. INFORMATION ABOUT ACCESSING THE WEBSITE WAS DISTRIBUTED IN ADVANCE TO ALL TRUSTEES. THE DRAFT FORM REMAINED AVAILABLE ON THE WEBSITE FOR APPROXIMATELY TWO WEEKS, AFTER WHICH ONLINE ACCESS ENDED TO ALLOW THE UNIVERSITY TIME TO FINALIZE THE FORM 990 AND FORM 990T FOR FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ALL TRUSTEES, OFFICERS, FACULTY, SENIOR ADMINISTRATORS, AND OTHER EMPLOYEES OF THE UNIVERSITY ARE SUBJECT TO CONFLICT OF INTEREST POLICIES THAT, AMONG OTHER THINGS, DEFINE MATERIAL FINANCIAL CONFLICTS OF INTEREST, IDENTIFY THE CLASSES OF INDIVIDUALS COVERED BY THE POLICIES, FACILITATE DISCLOSURE OF INFORMATION,AND SPECIFY PROCEDURES TO BE FOLLOWED IN MNANGING THE CONFLICTS. THESE CONFLICT OF INTEREST POLICIES AND PROCEDURES INCLUDE: (1) THE UNIVERSITY OF CHICAGO CONFLICT OF INTEREST POLICY FOR TRUSTEES AND OFFICERS REQUIRES TRUSTEES AND OFFICERS TO ALERT THE CHAIR OF THE BOARD, THE COMMITTE ON TRUSTEESHIP, OR THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL OF ANY POTENTIAL CONFLICT OF INTEREST, AND ABSTAIN FROM PARTICIPATING IN OR VOTING ON THE MATTER. THE POLICY ALSO REQUIRES TRUSTEES AND OFFICERS TO DISCLOSE ON AN ANNUAL BASIS, ACTUAL AND POTENTIAL CONFLICTS OF INTEREST BY COMPLETING A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ALL CONFLICT OF INTEREST DISCLOSURES AND RELATED DISCUSSIONS ARE SHARED WITH THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, AND THE UNIVERSITY'S PRESIDENT, ITS GENERAL COUNSEL, AND ITS EXTERNAL AUDITORS. THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL, IN CONSULTATION WITH THE COMMITTEE ON TRUSTEESHIP AND SENIOR UNIVERSITY ADMINISTRATORS, COMPILES THE DISCLOSURES INTO A CONFIDENTIAL DATABASE AND PREPARES FOR EACH TRUSTEE AND OFFICER A WRITTEN ACKNOWLEDGMENT OF THE DISCLOSURE THAT IDENTIFIES ANY PENDING UNIVERSITY TRANSACTIONS THAT MAY BE AFFECTED BY THE DISCLOSURE. THE CHAIR OF THE BOARD ALSO REVIEWS ALL DISCLOSED POTENTIAL CONFLICTS OF INTEREST BEFORE MAKING BOARD COMMITTEE ASSIGNMENTS. 2) THE UNIVERSITY'S POLICY ON SERVICE TO OUTSIDE ORGANIZATIONS BY SENIOR ADMINISTRATORS REQUIRES OFFICERS AND SENIOR ADMINISTRATORS TO DISCLOSE ALL OFFICER, DIRECTOR, OR TRUSTEE POSITIONS THEY HOLD OR INTEND TO HOLD IN OUTSIDE ORGANIZATIONS, INCLUDING BUT NOT LIMITED TO ORGANIZATIONS IN WHICH THEY HAVE A FINANCIAL INTEREST OR FROM WHICH THEY RECEIVE COMPENSATION. THE UNIVERSITY'S OFFICE OF LEGAL COUNSEL MONITORS SUCH POTENTIAL CONFLICTS BY CIRCULATING ANNUALLY A DISCLOSURE FORM THAT MUST BE UPDATED AS CIRCUMSTANCES CHANGE, AND OFFICERS ARE ALSO REQUIRED TO DISCLOSE ALL SUCH RELATIONSHIPS IN ADVANCE TO THEIR IMMEDIATE SUPERVISOR. THIS INFORMATION MAY BE SHARED WITH THE UNIVERSITY'S TRUSTEES, PRESIDENT, PROVOST, GENERAL COUNSEL, AND OTHERS AS NECESSARY; COMPENSATED OUTSIDE SERVICE IS ALSO SUBJECT TO REVIEW BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. (3) ACADEMIC EMPLOYEES, INCLUDING THE PRESIDENT AND THE PROVOST, ARE SUBJECT TO THE UNIVERSITY'S POLICY ON OUTSIDE PROFESSIONAL AND COMMERCIAL INTERESTS OF FACULTY/CONFLICT OF INTEREST. THE OFFICE OF THE PROVOST IS THE ADMINISTRATIVE OFFICE CHARGED WITH ASSURING COMPLIANCE WITH THE FACULTY CONFLICT OF INTEREST POLICY. THE PROVOST HAS DELEGATED OVERSIGHT OF THE POLICY TO THE DEPUTY PROVOST FOR RESEARCH. THE PROVOST ALSO APPOINTS THE MEMBERS OF THE STANDING COMMITTEE ON INDIVIDUAL CONFLICTS OF INTEREST AND DESIGNATES THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST REPORTS PERIODICALLY TO THE STANDING COMMITTEE ON THE STATUS OF FACULTY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY; THE REPORT INCLUDES HOW RISKS HAVE BEEN ADDRESSED THROUGH MANAGEMENT PLANS OR OTHER PRACTICES INTENDED TO PROVIDE FOR THE REDUCTION, ELIMINATION OR MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS. THE DEPUTY PROVOST SEEKS ASSESSMENT OF THE RISKS AND RECOMMENDATIONS FOR RESPONSIBLE MANAGEMENT FROM DEPARTMENT CHAIRS AND DEANS AND OTHERS SUCH AS THE DIRECTOR OF UNIVERSITY RESEARCH ADMINISTRATION AND THE OFFICE OF LEGAL COUNSEL. (4) THE UNIVERSITY'S CONFLICT OF INTEREST POLICY REQUIRES ALL NON-ACADEMIC UNIVERSITY EMPLOYEES TO AVOID INVOLVEMENT IN ACTIVITIES WHICH MIGHT CONFLICT, OR MIGHT APPEAR TO CONFLICT, WITH THEIR INSTITUTIONAL RESPONSIBILITIES, INCLUDING, BUT NOT LIMITED TO BUSINESS OR FINANCIAL INTERESTS, TRANSACTIONS INVOLVING THE USE OF CONFIDENTIAL INFORMATION OR KNOWLEDGE GAINED AS A RESULT OF THE EMPLOYEE'S RELATIONSHIP WITH THE UNIVERSITY, THE USE OF UNIVERSITY RESOURCES FOR PERSONAL BENEFIT OR THE BENEFIT OF OTHERS, THE ACCEPTANCE OF GIFTS OF MORE THAN NOMINAL VALUE, AND NEPOTISM. CONFLICT OF INTEREST POLICY REQUIRES STAFF TO PROVIDE FULL DISCLOSURE OF ANY INTEREST THAT MIGHT INFLUENCE, OR APPEAR TO HAVE THE CAPACITY TO INFLUENCE, THE STAFF MEMBER'S OFFICIAL DECISIONS OR ACTIONS ON UNIVERSITY MATTERS. THE DISCLOSURES ARE TO BE IN WRITING, TENDERED TO THE EMPLOYEE'S IMMEDIATE SUPERVISOR, DEPARTMENT HEAD, OR THE APPROPRIATE VICE PRESIDENT OF THE UNIVERSITY. (5)THE UNIVERSITY'S POLICY ON BUSINESS CONDUCT AT THE UNIVERSITY OF CHICAGO REQUIRES ALL UNIVERSITY EMPLOYEES TO, AMONG OTHER THINGS, AVOID REAL OR PERCEIVED CONFLICTS OF INTEREST; USE UNIVERSITY RESOURCES ONLY FOR LEGITIMATE UNIVERSITY BUSINESS; AND REPORT POSSIBLE VIOLATIONS OF THE POLICY, OTHER UNIVERSITY POLICIES, OR APPLICABLE LAW. MEMBERS OF THE UNIVERSITY COMMUNITY ARE ENCOURAGED TO REPORT COMPLIANCE CONCERNS THROUGH NORMAL LINES OF COMMUNICATION INCLUDING DISCUSSIONS WITH SUPERVISORS OR ADVISORS AND, IF NECESSARY, THROUGH THE TOLL-FREE HOTLINE. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES ANNUALLY REVIEWS COMPENSATION FOR THE UNIVERSITY'S PRESIDENT AND ALL OTHER UNIVERSITY OFFICERS, BASED ON A RECOMMENDATION FROM THE CHAIRMAN OF THE BOARD OF TRUSTEES IN THE CASE OF THE PRESIDENT'S COMPENSATION, AND RECOMMENDATIONS FROM THE PRESIDENT IN THE CASE OF OFFICER COMPENSATION. THE COMPENSATION COMMITTEE REVIEWS THESE RECOMMENDATIONS, INCLUDING A REVIEW OF COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS. THE COMPENSATION COMMITTEE THEN MAKES A RECOMMENDATION REGARDING COMPENSATION TO THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, WHICH ALSO REVIEWS THE COMPARABILITY DATA AND MAKES ALL FINAL COMPENSATION DECISIONS. THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE AND THE DECISIONS OF THE EXECUTIVE COMMITTEE ARE DOCUMENTED IN MINUTES MAINTAINED BY THE UNIVERSITY. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, CONFLICTS OF INTEREST POLICIES, AND MOST RECENT FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ON THE UNIVERSITY'S WEBSITE, WWW.UCHICAGO.EDU. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 609,151,830. 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AS SUCH, THE INCOME AND ASSETS OF THE TRUST ARE NOT SHOWN ON THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS WHICH ARE THE BASIS FOR FORM 990 PART VIII, LINE 12 AND PART X, LINE 16. THE END OF YEAR ASSET BALANCE IS $76,733,301 AND THE INCOME FOR THE PERIOD ENDING DECEMBER 31, 2010 IS $15,040,259.