2012-05-15T15:03:51-05:00 2011-06-30 MOSS ADAMS LLP 975 OAK STREET SUITE 500 EUGENE OR 97401 990 2010-07-01 936015767 UNIVERSITY OF OREGON FOUNDATION UNIV 5413020300 1720 E 13TH AVE NO 410 EUGENE OR 974032253 ERIKA FUNK 5413020300 2012-05-14 1 PAUL D KELLER 5416861040 2010 2016-02-24 21:20:13Z X NORMAN H BROWN JR 1720 E 13TH AVE NO 410 EUGENE OR 974032253 281450968 0 X WWW.UOFOUNDATION.ORG X 1951 OR THE PURPOSE AND MISSION OF THE FOUNDATION ARE, ACTING ON ITS OWN OR THROUGH AFFILIATES, TO SUPPORT AND ASSIST THE UNIVERSITY OF OREGON IN ITS ACTIVITIES BY MANAGEMENT AND ADMINISTRATION OF FOUNDATION ASSETS REPRESENTING PRIVATELY DONATED FUNDS, BY LEADING ADVOCACY FOR THE UNIVERSITY, AND BY DEVELOPING, FINANCING, CONSTRUCTING, ACQUIRING AND OPERATING FACILITIES FOR OR ON BEHALF OF THE UNIVERSITY. 44 44 49 0 -1818208 -1818208 81974788 103700107 0 0 7936332 29679142 601973 -425343 90513093 132953906 100546370 93563251 0 0 3459996 3892834 0 0 1325052 17675053 10095104 121681419 107551189 -31168326 25402717 737052822 807068206 82743428 92344757 654309394 714723449 X IN SUPPORT OF THE FOUNDATION'S MISSION, STAFF ENDEAVORS TO POSITIVELY IMPACT SOCIETY BY SUPPORTING THE UNIVERSITY OF OREGON'S MISSION OF EDUCATION, RESEARCH AND ENTREPRENEURSHIP THROUGH EXEMPLARY STEWARDSHIP OF RELATIONSHIPS AND RESOURCES. 0 0 14519859 14519859 FUNDS ARE DISBURSED FROM CONTRIBUTIONS TO THE UNIVERSITY OF OREGON AT THE REQUEST OF AUTHORIZED UNIVERSITY OFFICIALS FOR THE DONOR DESIGNATED PURPOSE OF THE CONTRIBUTION: STUDENT AID; ACADEMIC MERIT AND NEEDS SCHOLARSHIPS; STUDENT ATHLETIC SCHOLARSHIPS; STUDENT LOANS AND WAGES. 24179122 24179122 FUNDS ARE DISBURSED FROM CONTRIBUTIONS TO THE UNIVERSITY OF OREGON AT THE REQUEST OF AUTHORIZED UNIVERSITY OFFICIALS FOR THE DONOR DESIGNATED PURPOSE OF THE CONTRIBUTION: OTHER UNIVERSITY SUPPORT; SUPPLIES AND OPERATING EXPENSES AND PERSONNEL EXPENSES. 49205157 49205157 FUNDS ARE DISBURSED FROM CONTRIBUTIONS TO THE UNIVERSITY OF OREGON AT THE REQUEST OF AUTHORIZED UNIVERSITY OFFICIALS FOR THE DONOR DESIGNATED PURPOSE OF THE CONTRIBUTION: ACADEMIC FACILITIES AND EQUIPMENT; NON-ACADEMIC FACILITIES AND EQUIPMENT. 5659113 5659113 FUNDS ARE DISBURSED FROM CONTRIBUTIONS TO THE UNIVERSITY OF OREGON AT THE REQUEST OF AUTHORIZED UNIVERSITY OFFICIALS FOR THE DONOR DESIGNATED PURPOSE OF THE CONTRIBUTION: INSTRUCTIONAL AND RESEARCH PROGRAMS; OTHER FACULTY SUPPORT. 5659113 5659113 93563251 1 1 0 1 0 0 0 0 1 1 1 0 0 1 0 1 0 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 0 0 0 0 1 X 224 0 1 49 1 1 1 1 CA CJ CY LU 0 0 0 1 1 1 3 0 0 0 X 44 44 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 OR CA X UNIVERSITY OF OREGON FOUNDATION 5413020300 1720 E 13TH AVE SUITE 410 EUGENE OR 974032253 STEVEN J HOLWERDA 2.00 X 0 0 0 NORMAN H BROWN JR 2.00 X 0 0 0 JON P ANDERSON 2.00 X 0 0 0 DAN W HOLLINGSHEAD 2.00 X 0 0 0 THOMAS COSTABILE 1.00 X 0 0 0 KEITH L THOMSON 1.00 X 0 0 0 JOSEPH H GONYEA II 1.00 X 0 0 0 LARRY S BRUTON 1.00 X 0 0 0 ROBERT C FULTON 1.00 X 0 0 0 GEORGE E GLASS 1.00 X 0 0 0 ALLEN L GUMMER 1.00 X 0 0 0 GWENDOLYN H LILLIS 1.00 X 0 0 0 LORRY I LOKEY 1.00 X 0 0 0 SAMMIE MCCORMACK 1.00 X 0 0 0 JANICE M MONTI 1.00 X 0 0 0 CHERYL D PERRIN 1.00 X 0 0 0 ROBERT F TURNER 1.00 X 0 0 0 CAROL B WILLIAMS 1.00 X 0 0 0 MICHAEL D COUCH 1.00 X 0 0 0 EDWIN J HAGERTY 1.00 X 0 0 0 EDWARD L MALETIS 1.00 X 0 0 0 DOUGLAS W OAS 1.00 X 0 0 0 GINEVRA REED RALPH 1.00 X 0 0 0 ROHN M ROBERTS 1.00 X 0 0 0 COLIN SLADE 1.00 X 0 0 0 STACEY M SQUIRES 1.00 X 0 0 0 MICHAEL B WILKES 1.00 X 0 0 0 CHERYL RAMBERG FORD 0.80 X 0 0 0 J SCOTT ANDREWS 1.00 X 0 0 0 AMY RITTENBERG-KARI 1.00 X 0 0 0 SUSIE YANCEY PAPE 1.00 X 0 0 0 MARK RICHARDS 1.00 X 0 0 0 DWAYNE RICHARDSON 1.00 X 0 0 0 CHRIS A SMITH 1.00 X 0 0 0 DANA L WADE 1.00 X 0 0 0 TIMOTHY FOO 1.00 X 0 0 0 KATHERINE H GURUN 0.80 X 0 0 0 STUART W JACKSON 0.80 X 0 0 0 J DOUGLAS MCKAY 0.80 X 0 0 0 IAIN E MORE 0.80 X 0 0 0 RICHARD SEOW 0.80 X 0 0 0 JAMES WILLIAM SHEPHARD 0.80 X 0 0 0 DAVID B TAYLOR 1.00 X 0 0 0 ANTHONY S O WONG 0.80 X 0 0 0 R PAUL WEINHOLD 40.00 X 274584 0 63726 JAY D NAMYET 40.00 X 236818 0 63926 ERIKA FUNK 40.00 X 91631 0 24350 GARY F LIVESAY 40.00 X 182865 0 39110 MELINDA MULHORN 40.00 X 132303 0 27472 918201 0 218584 4 0 1 0 JACOBSON CONSULTING 575 EIGHTH AVE 21ST FL NEW YORK NY 10018 SOFTWARE CONSULTING 344531 SUNGARD HIGHER EDUCATION 14083 COLLECTIONS CTR DR CHICAGO IL 60693 SOFTWARE CONSULTING 270786 MOSS ADAMS LLP 975 OAK STREET SUITE 500 EUGENE OR 97401 ACCOUNTING SERVICES 163731 SQL DOCTOR LLC 228 153RD PLACE SE BELLEVUE WA 98007 SOFTWARE CONSULTING 161188 SUNGARD HE MANAGED SERVICES 2300 MAITLAND CENTER PKWY STE 340 MAITLAND FL 32751 SOFTWARE CONSULTING 153447 6 103700107 1956139 103700107 3931446 3931446 871188 564161 307027 307027 49717 257310 171191022 2489575 145211620 2721281 25979402 -231706 25747696 25747696 OTHER REVENUE 900099 938737 938737 GIVING ASSESSMENT 900099 196818 196818 PARTNERSHIP FLOW THROU 900000 -1867925 -1867925 -732370 132953906 196818 -1818208 30875189 93563251 93563251 1170986 1170986 1778888 1778888 335981 335981 382568 382568 224411 224411 86843 86843 163731 163731 5181888 5181888 1008584 1008584 18703 18703 131359 131359 537941 537941 259543 259543 204290 204290 5500 5500 487959 487959 175103 175103 UO FUNDRAISING SUPPORT 1325052 1325052 MISCELLANEOUS 334000 334000 SPECIAL EXPENSES 87757 87757 RECRUITMENT 79208 79208 PROPERTY EXPENSES 7643 7643 107551189 93563251 12662886 1325052 32253655 18320024 46606946 39695242 145938651 151665059 21487 20579 482675 156337 0 17299581 643542 15560709 16656039 193970676 190384789 291248517 377927647 10813169 12398827 737052822 807068206 5268098 10592892 24004813 24109048 53470517 57642817 82743428 92344757 X 4307619 6555546 331341494 366616498 318660281 341551405 654309394 714723449 737052822 807068206 X 25402717 35011339 X 0 1 1 X 0 X 84223129 230160650 65064309 81974788 103700107 565122983 84223129 230160650 65064309 81974788 103700107 565122983 58904770 506218213 13546733 19283965 1816894 3893871 4802634 43344097 634926 257662 3459748 2177969 938737 7469042 615936122 1025004 0.82190 0.81270 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 208132 0 208132 208132 13954482 14162614 858131 214533 0 0 858131 858131 1287197 208132 208132 214533 214533 321800 ORGANIZATIONS DIRECT AND INDIRECT POLITICAL CAMPAIGN ACTIVITIES: PART I-A, LINE 1: THE FOUNDATION ENGAGED IN DIRECT LOBBYING ACTIVITIES IN SUPPORT OF ITS MISSION "TO SUPPORT AND ASSIST THE UNIVERSITY OF OREGON BY LEADING ADVOCACY FOR THE UNIVERSITY." 388495901 17320999 53025991 4411186 9991653 3962932 440477120 368010579 5576187 31269526 3982524 8777965 3599902 388495901 453063163 6810456 -75338457 4462288 8826657 3235638 368010579 0.00000 1.00000 0.00000 0 0 2070000 6588214 8658214 2964480 491071 2473409 5676887 152471 5524416 16656039 INVESTMENT IN LIMITED PARTNERSHIPS 377927647 F 377927647 DEPOSITS HELD IN CUSTODY 11742089 OBLIGATIONS TO BENEFICIARIES UNDER SPLIT-INTEREST AGREEMENTS 45900728 57642817 132953906 107551189 25402717 35011339 35011339 60414056 162783357 35011339 35011339 127772018 5181888 5181888 132953906 102369301 0 102369301 5181888 5181888 107551189 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: TO SUPPORT THE UNIVERSITY OF OREGON. PART XI, LINE 8 - OTHER ADJUSTMENTS: FAIR VALUE ADJUSTMENT FOR INVESTMENTS 35,011,339. PART XII, LINE 2D - OTHER ADJUSTMENTS: FAIR VALUE ADJUSTMENT FOR INVESTMENTS 35,011,339. PART XI LINE 8 AND PART XII LINE 2D: REPRESENTS NET INVESTMENT GAINS/LOSSES REALIZED AND REPORTED IN FORM 990 IN FISCAL YEAR 2011 BUT REPORTED IN PRIOR YEARS' AUDITED FINANCIAL STATEMENTS, LESS NET UNREALIZED INVESTMENT GAINS/LOSSES RECOGNIZED IN FISCAL YEAR 2011 AUDITED FINANCIAL STATEMENTS BUT NOT REPORTED IN FORM 990. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS N/A 86953000 0 0 0 0 0 0 86953000 0 86953000 1 0 0 1 1 0 1 UNIVERSITY OF OREGON 1278 UNIVERSITY OF OREGON EUGENE OR 974031278 481278531 GOVERNMENTAL 14519859 STUDENT AID, SCHOLARSHIPS, LOANS AND WAGES UNIVERSITY OF OREGON 1278 UNIVERSITY OF OREGON EUGENE OR 974031278 481278531 GOVERNMENTAL 24179122 UNIVERSITY SUPPORT, SUPPLIES AND OPERATING EXPENSES AND PERSONNEL EXPENSES UNIVERSITY OF OREGON 1278 UNIVERSITY OF OREGON EUGENE OR 974031278 481278531 GOVERNMENTAL 49205157 ACADEMIC FACILITIES AND EQUIPMENT AND NON-ACADEMIC FACILITIES AND EQUIPMENT UNIVERSITY OF OREGON 1278 UNIVERSITY OF OREGON EUGENE OR 974031278 481278531 GOVERNMENTAL 5659113 INSTRUCTIONAL AND RESEARCH PROGRAMS AND OTHER FACULTY SUPPORT 1 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ALL FUNDS RECEIVED BY THE FOUNDATION FROM A DONOR ARE ADMINISTERED IN ACCORDANCE WITH THE WRITTEN INTENT OF THE DONOR. ORIGINAL GIFT DOCUMENTS ARE RETAINED IN ACCORDANCE WITH THE FOUNDATION'S RECORDS MANAGEMENT POLICY. IN ORDER TO ENSURE COMPLIANCE WITH DONOR INTENT, THE FOUNDATION PLACES ALL ASSETS INTO IDENTIFIABLE FUNDS. IT IS THE ROLE OF THE FOUNDATION TO ONLY APPROVE THOSE EXPENDITURES THAT ARE IN ALIGNMENT WITH DONOR INTENT. EACH EXPENDITURE REQUEST MUST BE SIGNED BY AN AUTHORIZED SIGNER ON THE SOURCE OF FUNDS EQUITY. THIS SIGNATURE AUTHORIZES THE FOUNDATION TO RELEASE THE FUNDS AND ATTESTS THAT THE EXPENDITURE IS CONSISTENT WITH ALL RESTRICTIONS ON THE USE OF THE EQUITY AND HAS NOT BEEN PAID FROM ANY OTHER SOURCE. THE FOUNDATION SHALL DENY A REQUEST IF IT IS DETERMINED UPON REVIEW THAT THE EXPENDITURE DOES NOT MATCH THE DONOR INTENT. X X 1 1 X X X X 1 0 0 0 0 0 0 0 0 R PAUL WEINHOLD 274494 0 0 0 90 0 44884 0 18842 0 338310 0 0 0 JAY D NAMYET 236680 0 0 0 138 0 44232 0 19694 0 300744 0 0 0 GARY F LIVESAY 136805 0 0 0 46060 0 28276 0 10834 0 221975 0 0 0 MELINDA MULHORN 98422 0 0 0 33881 0 20517 0 6955 0 159775 0 0 0 PART I, LINE 1A THE PRESIDENT/CEO WAS REIMBURSED FOR SPOUSAL TRAVEL, DECEMBER 2010 AND APRIL 2011, THAT DID NOT MEET THE IRS REQUIREMENT FOR BUSINESS PURPOSE. THE SPOUSAL TRAVEL BENEFIT WAS TREATED AS TAXABLE COMPENSTATION. THE REIMBURSEMENT AND TREATEMENT AS COMPENSATION WAS APPROVED BY THE BOARD FOR $915.50. PART I, LINE 4A GARY LIVESAY, FORMER CHIEF OPERATIONS OFFICER, MELINDA MULHORN, FORMER VICE PRESIDENT BUSINESS AND FINANCIAL SERVICES, X 115 1909802 AVERGE HIGH/LOW QUOTE X 1 40000 APPRAISAL X LIFE INS PLCY 1 6337 CASH SURRENDER VALUE 0 0 1 1 THIRD PARTY USE: PART I, LINE 32B: THE FOUNDATION RECEIVES GIFTS OF NONCASH CONTRIBUTIONS MOST COMMONLY IN THE FORM OF MARKETABLE SECURITIES AND REAL PROPERTY. IT IS THE FOUNDATION'S POLICY TO CONVERT GIFTS INTO CASH AS SOON AS PRACTICALLY AND PRUDENTLY POSSIBLE TO MEET THE NEEDS AND DIRECTIVES OF DONORS. THIRD PARTIES MAY FACILITATE THE ACCEPTANCE PROCESS AND SALE OF NONCASH GIFTS BY (1) PROVIDING EXPERT INFORMATION AND SERVICES ON MARKET VALUE AND MARKETABILITY, (2) PROVIDING TITLE SEARCH, APPRAISALS, ENVIRONMENTAL AUDITS, AND OTHER PROFESSIONAL REPORTS, AND (3) COMPLETION OF RELATED LEGAL DOCUMENTS. FORM 990, PART VI, SECTION B, LINE 11 THE AUDIT COMMITTEE MEETS TO REVIEW AND APPROVE THE 990 PRIOR TO FILING. MEETING MINUTES ARE PROVIDED TO ALL TRUSTEES. A COPY OF THE FORM 990 IS PROVIDED ELECTRONICALLY TO ALL TRUSTEES PRIOR TO FILING. THE FOUNDATION ANNUALLY, PRIOR TO THE FILING DATE, PROVIDES TRAINING TO THE TRUSTEES TO UNDERSTAND THE CONTENT OF THE FORM 990 BOTH IN GENERAL AND AS TO SPECIFIC INFORMATION FOR THE CURRENT FILING YEAR. FORM 990, PART VI, SECTION B, LINE 12C THE REVIEW OF COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY IS DOCUMENTED IN THE MANAGEMENT OF DISCLOSURE OF POTENTIAL CONFLICT OF INTEREST STATEMENT POLICY. BOTH TRUSTEES AND EMPLOYEES COMPLETE A CONFLICT OF INTEREST DISCLOSURE FORM ANNUALLY AND UPON OCCURRENCE OF A MATERIAL CHANGE IN THE INFORMATION DISCLOSED. ALL FORMS ARE LOGGED AND REVIEWED TO IDENTIFY THOSE WHO HAVE INDICATED A POTENTIAL CONFLICT. A DESIGNATED EXECUTIVE MANAGEMENT GROUP REVIEWS THOSE WITH POTENTIAL CONFLICTS TO DETERMINE IF THERE TRULY IS A CONFLICT OF INTEREST. FOR TRUSTEES, A CONFLICT OF INTEREST LOG IS MAINTAINED AND AVAILABLE FOR REFERENCE AT ALL BOARD MEETINGS. PRIOR TO VOTE, THE BOARD CHAIR WILL IDENTIFY ANY INDIVIDUALS WHO MUST ABSTAIN FROM VOTING DUE TO A CONFLICT OF INTEREST. FOR EMPLOYEES, ANY TRUE CONFLICTS ARE DISCUSSED WITH THE EMPLOYEE AND HUMAN RESOURCES AND THE EMPLOYEE WILL BE RESTRAINED FROM PARTICIPATION IN A TRANSACTION DIRECTLY RELATED TO THE CONFLICT. FORM 990, PART VI, SECTION B, LINE 15A THE BOARD OF TRUSTEE'S EXECUTIVE COMPENSATION COMMITTEE DEVELOPS AND RECOMMENDS FOR BOARD APPROVAL A COMPENSATION PHILOSOPHY, THE PRESIDENT/CEO TOTAL COMPENSATION PACKAGE IN ACCORDANCE WITH THE REBUTTABLE PRESUMPTION OF REASONABLENESS, AND REVIEW AND APPROVE MEASURABLE GOALS AND OBJECTIVES FOR THE PRESIDENT/CEO. FORM 990, PART VI, SECTION C, LINE 19 THE FOUNDATION WEBSITE, WWW.UOFOUNDATION.ORG, PROVIDES THE PUBLIC WITH ACCESS TO VIEW AND PRINT THE MOST RECENT FOUR ANNUAL REPORTS, CONFIDENTIALITY AND OTHER POLICIES. ADDITIONALLY, ALL TRUSTEES HAVE ACCESS TO, VIA THE WEBSITE, THE ARTICLES OF INCORPORATION, BYLAWS, COMMITTEE CHARTERS, ALL COMMITTEE AND FULL BOARD MEETING MINUTES, MEMO OF UNDERSTANDING WITH THE UNIVERSITY, WHISTLEBLOWER AND CONFLICT OF INTEREST POLICIES, STATEMENT OF ETHICAL VALUES, AND STANDARDS OF ETHICAL CONDUCT. THE FOUNDATION ALSO PROVIDES HARDCOPIES OF THE ANNUAL REPORTS UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: FAIR VALUE ADJUSTMENT FOR INVESTMENTS 35,011,339. TOTAL TO FORM 990, PART XI, LINE 5: 35,011,339. NATIONAL CHAMPIONSHIP PROPERTIES LLC C/O U OF O FOUNDATION 1720 E 13TH A EUGENE OR 97403 201644870 TO FACILITATE THE CONSTRUCTION OF A NEW BASKETBALL ARENA OR 3051 130189 UNIVERSITY OF OREGON FOUNDATION OREGON FUTURE EXPANSION II LLC C/O U OF O FOUNDATION 1720 E 13TH A EUGENE OR 97403 936015767 TO ACQUIRE CERTAIN REAL PROPERTY INTENDED FOR THE USE BY THE UO OR -853353 775942 UNIVERSITY OF OREGON FOUNDATION OREGON FUTURE EXPANSION III LLC C/O U OF O FOUNDATION 1720 E 13TH A EUGENE OR 97403 936015767 TO ACQUIRE CERTAIN REAL PROPERTY INTENDED FOR THE USE BY THE UO OR 102568 4434231 UNIVERSITY OF OREGON FOUNDATION PHIT LLC C/O U OF O FOUNDATION 1720 E 13TH A EUGENE OR 97403 264501534 TO EXPEDITE RENOVATION AND CONSTRUCTION OF FACILITIES FOR THE UO OR 16034690 15407427 UNIVERSITY OF OREGON FOUNDATION OREGON FUTURE EXPANSION PK LLC C/O U OF O FOUNDATION 1720 E 13TH A EUGENE OR 97403 936015767 TO FACILITATE FUNDING FOR THE EXPANSION OF THE BASEBALL FACILITIES OR 1796 10816597 UNIVERSITY OF OREGON FOUNDATION OREGON FUTURE EXPANSION FRANKLIN LLC C/O U OF O FOUNDATION 1720 E 13TH A EUGENE OR 97403 936015767 TO ACQUIRE CERTAIN REAL PROPERTY INTENDED FOR THE USE BY THE UO OR 231198 2170543 UNIVERSITY OF OREGON FOUNDATION OREGON FUTURE EXPANSION TIGARD LLC C/O U OF O FOUNDATION 1720 E 13TH A EUGENE OR 97403 936015767 TO RECEIVE AND MANAGE A GIFT OF COMMERCIAL PROPERTY FOR THE UO OR -46761 -100 UNIVERSITY OF OREGON FOUNDATION OREGON FUTURE EXPANSION COKE LLC C/O U OF O FOUNDATION 1720 E 13TH A EUGENE OR 97403 936015767 TO MAKE FUTURE PROPERTY ACQUISITIONS FOR THE UO OR 0 -100 UNIVERSITY OF OREGON FOUNDATION 2 CHARITABLE REMAINDER TRUST OR 37 CHARITABLE REMAINDER UNITRUST OR 5 CHARITABLE REMAINDER ANNUITY TRUST OR 1 POOLED INCOME FUND OR 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0