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OTHERS 39361997 F OTHER INVESTMENTS & SECURITIES 146456404 F CLOSELY-HELD EQUITY INTERESTS 7337165 C INV ALLOCABLE TO MINORITY INT 199248663 F 3002011814 80246 ACTUARIAL LIAB-ANNUITIES PAYAB 32775464 GOV ADV FOR STUDENT LOANS 21035692 ACTUARIAL LIAB-SELF INSURANCE 111347984 FV OF INT RATE EXCHG AGREEMENT 135026031 300265417 DESCRIPTION OF COLLECTIONS OF ART FORM 990, SCHEDULE D, PART III, LINE 4 VANDERBILT UNIVERSITY MAINTAINS VARIOUS COLLECTIONS OF ART, HISTORICAL TREASURES, AND OTHER SIMILAR ASSETS IN DEPARTMENTS ACROSS THE UNIVERSITY. SUCH COLLECTIONS INCLUDE, BUT ARE NOT LIMITED TO, HISTORICAL DRAWINGS; HISTORICAL SCIENTIFIC INSTRUMENTS; HISTORICAL FURNITURE; PAINTINGS; PHOTOGRAPHY; BOOK COLLECTIONS; AND OTHER SIMILAR ITEMS AND ARTIFACTS. ALL SUCH COLLECTIONS FURTHER VANDERBILT'S EXEMPT PURPOSE BY PROVIDING HISTORICAL MATERIALS FOR STUDENTS AND RESEARCHERS, AND BY PROVIDING CULTURAL, HISTORICAL, AND EDUCATIONAL OPPORTUNITIES TO VANDERBILT UNIVERSITY STUDENTS AND THE COMMUNITY AT LARGE THROUGH EXHIBITS, DISPLAYS, AND LOAN OR EXCHANGE PROGRAMS. Form 990, Schedule D, Part III, Line 5 Solicitation of art, historical treasures, or other similar assets to be sold Vanderbilt University solicited works of art to be sold at fundraising events in silent auctions. The fair market value of these items can range in value, and in FY11 the fair market value of these items did not meet the thresholds required for Form 8282 to be filed. EXPLANATION OF ESCROW AND CUSTODIAL ARRANGEMENTS FORM 990, SCHEDULE D, PART IV, LINE 2B AGENCY FUNDS ARE HELD BY VANDERBILT UNIVERSITY, WHICH SERVES AS A CUSTODIAN OR FISCAL AGENT FOR STUDENTS, STUDENT GROUPS, FACULTY, STAFF MEMBERS, AND OTHER UNIVERSITY RELATED ORGANIZATIONS. INTENDED USE OF ENDOWMENT FUNDS FORM 990, SCHEDULE D, PART V, LINE 4 VANDERBILT UNIVERSITY'S ENDOWMENT FUNDS, AS RELATED TO PART V, ARE INTENDED TO BE USED FOR SCHOLARSHIPS, FELLOWSHIPS, ENDOWED ACADEMIC CHAIR SUPPORT, CAPITAL AND OPERATIONAL SUPPORT. true true true true true true true false false false false false false false false true false true NONDISCRIMINATION POLICY FORM 990, SCHEDULE E, QUESTION 3 VANDERBILT UNIVERSITY'S NONDISCRIMINATION POLICY IS WIDELY DISSEMINATED THROUGH VARIOUS UNIVERSITY-RELATED WEBSITES, ONLINE APPLICATION PORTALS, ORIENTATION SESSIONS, AND PUBLICATION IN CATALOGS, APPLICATION MATERIALS, AND HANDBOOKS. A SUMMARY OF VANDERBILT UNIVERSITY'S NONDISCRIMINATION POLICY IS AS FOLLOWS: IN COMPLIANCE WITH FEDERAL LAW, INCLUDING THE PROVISIONS OF TITLE VII OF THE CIVIL RIGHTS ACT OF 1964, TITLE IX OF THE EDUCATION AMENDMENTS OF 1972, SECTIONS 503 AND 504 OF THE REHABILITATION ACT OF 1973, THE AMERICANS WITH DISABILITIES ACT (ADA) OF 1990, THE ADA AMENDMENTS ACT OF 2008, EXECUTIVE ORDER 11246, AND THE UNIFORMED SERVICES EMPLOYMENT AND REEMPLOYMENT RIGHTS ACT, AS AMENDED, AND THE GENETIC INFORMATION NONDISCRIMINATION ACT OF 2008, VANDERBILT UNIVERSITY DOES NOT DISCRIMINATE AGAINST INDIVIDUALS ON THE BASIS OF THEIR RACE, SEX, RELIGION, COLOR, NATIONAL OR ETHNIC ORIGIN, AGE, DISABILITY, OR MILITARY SERVICE, OR GENETIC INFORMATION IN ITS ADMINISTRATION OF EDUCATIONAL POLICIES, PROGRAMS, OR ACTIVITIES; ADMISSIONS POLICIES; SCHOLARSHIP AND LOAN PROGRAMS; ATHLETIC OR OTHER UNIVERSITY-ADMINISTERED PROGRAMS; OR EMPLOYMENT. IN ADDITION, THE UNIVERSITY DOES NOT DISCRIMINATE AGAINST INDIVIDUALS ON THE BASIS OF THEIR SEXUAL ORIENTATION, GENDER IDENTITY, OR GENDER EXPRESSION CONSISTENT WITH THE UNIVERSITY'S NONDISCRIMINATION POLICY. FINANCIAL AID OR ASSISTANCE FROM A GOVERNMENTAL AGENCY FORM 990, SCHEDULE E, QUESTION 6A VANDERBILT UNIVERSITY PARTICIPATES IN THE FOLLOWING PROGRAMS: FEDERAL PELL GRANTS, FEDERAL ACADEMIC COMPETITIVENESS GRANTS (ACG), FEDERAL NATIONAL SCIENCE AND MATHEMATICS ACCESS TO RETAIN TALENT GRANTS (NATIONAL SMART GRANTS), FEDERAL SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS (FSEOG), FEDERAL DIRECT STAFFORD SUBSIDIZED/UNSUBSIDIZED LOANS, FEDERAL PERKINS LOANS, FEDERAL DIRECT GRADUATE PLUS LOANS, FEDERAL DIRECT PARENT LOAN FOR UNDERGRADUATE STUDENTS (PLUS LOANS), FEDERAL WORK STUDY PROGRAM, TENNESSEE STUDENT ASSISTANCE AWARDS, AND THE TENNESSEE EDUCATION LOTTERY SCHOLARSHIP PROGRAM. VANDERBILT UNIVERSITY ALSO RECEIVES VARIOUS FEDERAL AND STATE GRANTS AND CONTRACTS FOR ACADEMIC AND SCIENTIFIC RESEARCH. true East Asia and the Pacific 0 0 Fundraising N/A 16929 Middle East and North Africa 0 0 Fundraising N/A 2003 Central America and the Caribbean 0 23 Grantmaking N/A 866270 East Asia and the Pacific 0 1 Grantmaking N/A 1224446 Europe (Including Iceland and Greenland) 0 2 Grantmaking N/A 2154011 Middle East and North Africa 0 1 Grantmaking N/A 206768 North America 0 5 Grantmaking N/A 460745 South America 0 30 Grantmaking N/A 1568626 South Asia 0 0 Grantmaking N/A 166301 Sub-Saharan Africa 0 0 Grantmaking N/A 10729667 Central America and the Caribbean 0 0 Investments N/A 939977518 East Asia and the Pacific 0 0 Investments N/A 57119441 Europe (Including Iceland and Greenland) 0 0 Investments N/A 189061411 North America 0 0 Investments N/A 15672549 South America 0 0 Investments N/A 55839921 South Asia 0 0 Investments N/A 30274988 Sub-Saharan Africa 0 0 Investments N/A 10334465 Central America and the Caribbean 0 17 Program Services EDUC/RSCH/HCARE/PUBSVC 583342 East Asia and the Pacific 0 3 Program Services EDUC/RSCH/HCARE/PUBSVC 671220 Europe (Including Iceland and Greenland) 2 29 Program Services EDUC/RSCH/HCARE/PUBSVC 3592357 Middle East and North Africa 0 0 Program Services EDUC/RSCH/HCARE/PUBSVC 691217 North America 0 4 Program Services EDUC/RSCH 781851 Russia and the Newly Independent States 0 1 Program Services EDUC/RSCH 78553 South America 0 31 Program Services EDUC/RSCH/HCARE/PUBSVC 610373 South Asia 0 0 Program Services EDUC/PUBSVC/HCARE 114616 Sub-Saharan Africa 0 4 Program Services EDUC/RSCH/HCARE/PUBSVC 569057 East Asia and the Pacific 0 0 Send agents to seminar N/A 34063 Europe (Including Iceland and Greenland) 0 0 Send agents to seminar N/A 101060 Middle East and North Africa 0 0 Send agents to seminar N/A 2552 North America 0 0 Send agents to seminar N/A 46866 South America 0 0 Send agents to seminar N/A 9730 South Asia 0 0 Send agents to seminar N/A 8910 Sub-Saharan Africa 0 0 Send agents to seminar N/A 819 0 62 2 89 2 151 1315676059 7896586 1323572645 Cent. 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America/Caribbean Training 15965 Wire 0 N/A N/A Sub-Sarahan Africa Training 143019 Check 0 N/A N/A Europe/Iceland/Greenland MED. RSCH. 117787 Check 0 N/A N/A Sub-Sarahan Africa Training 6943 Check 0 N/A N/A Sub-Sarahan Africa MED. RSCH. 6020 Wire 0 N/A N/A Sub-Sarahan Africa Patient Care 10204793 Wire 0 N/A N/A 60 18 true false true true true true MONITORING USE OF GRANT FUNDS Form 990, SCHEDULE F, PART I, Line 2 VANDERBILT UNIVERSITY MAINTAINS A FORMAL POLICY DEFINING ITS PROCEDURES FOR MONITORING THE USE OF SPONSORED FUNDS BY SUBRECIPIENTS LOCATED OUTSIDE OF THE UNITED STATES WHO ARE PERFORMING A PORTION OF A SPONSORED PROJECT EXTERNALLY AWARDED TO VANDERBILT. THE POLICY PROVIDES GUIDANCE TO ENSURE THAT SUBRECIPIENTS CONDUCT THEIR PORTIONS OF SPONSORED PROJECTS IN COMPLIANCE WITH LAWS, REGULATIONS, TERMS AND CONDITIONS OF AWARDS AND SUBAWARDS, AND THAT REIMBURSED COSTS INCURRED BY SUBRECIPIENTS ARE ALLOWED. THE POLICY ADDRESSES THE ROLES AND RESPONSIBILITIES OF CENTRAL OFFICES AND ACADEMIC DEPARTMENTS OF THE UNIVERSITY AND DESCRIBES THE MONITORING PROCEDURES FOR EACH AREA. THE FULL TEXT OF VANDERBILT'S SUBRECIPIENT MONITORING GUIDELINES ARE AVAILABLE ONLINE AT THE FOLLOWING WEB ADDRESS: HTTP://WWW.VANDERBILT.EDU/OCGA/VUPOLICIES/SUBRECIPIENT/SUBRECIPIENTMONITOR INGGUIDELINESFINAL.PDF Accounting Method for Reporting Expenses Form 990, Schedule F, Part I, Line 3, Part II, LINE 1 EXPENSES REPORTED IN SCHEDULE F, PART I, LINE 3 AND PART II, LINE 1 ARE DERIVED FROM VANDERBILT'S BOOKS AND RECORDS, WHICH ARE MAINTAINED ON AN ACCRUAL BASIS. X X X X X X X true RUFFALOCODY LLC CALL CENTER false 731893 424701 307192 731893 424701 307192 RASCAL FLATTS 300694 128695 171999 0 0 40223 18981 3071 60651 FRIENDS&FASHION 119993 61281 58712 0 0 0 30721 1307 24757 13 547607 343496 204111 0 2387 50519 59547 23184 85744 968294 533472 434822 0 2387 90742 109249 27562 171152 401092 33730 AMOUNT PAID TO FUNDRAISER FORM 990, SCHEDULE G, PART I, LINE 2B, COLUMN V THE TOTAL AMOUNT PAID TO RUFFALOCODY FOR FISCAL YEAR 2011 WAS $424,701, WHICH INCLUDES PROFESSIONAL FUNDRAISING FEES OF $415,480 AND FUNDRAISING EXPENSES OF $9,221. THE CONTRACT BETWEEN VANDERBILT UNIVERSITY AND RUFFALOCODY CALLS FOR THE REIMBURSEMENT OF FUNDRAISING EXPENSES INCURRED BY RUFFALOCODY, SUCH AS PRINTING AND POSTAGE, WHICH ARE INVOICED SEPARATE FROM TELEMARKETING SERVICE FEES. true true X true X true X true true false true true 104219783 0 104219783 0.02930 297073426 249265957 47807469 0.01340 401293209 249265957 152027252 0.04270 5282756 0 5282756 0.00150 99583050 25507464 74075586 0.02080 23074642 20467704 2606938 0.00070 493244534 0 493244534 0.13870 621184982 45975168 575209814 0.16170 1022478191 295241125 727237066 0.20440 true 33728637 3385221 295486038 357889601 -62403563 X true true SUPPLEMENTAL INFO 2 1 VANDERBILT UNIV HOSPITALS and Clinics

1211 22ND AVENUE SOUTH NASHVILLE TN 37232

X X X X X X 2 VANDERBILT STALLWORTH REHAB HOSPITAL

2201 CHILDRENS WAY NASHVILLE TN 37212

X VANDERBILT UNIV HOSPITALS and Clinics 1 VANDERBILT STALLWORTH REHAB HOSPITAL 2 MANAGEMENT COMPANIES AND JOINT VENTURES FORM 990, SCHEDULE H, PART IV NAME: AMBULATORY SURGERY CENTER OF COOL SPRINGS, LLC DESCRIPTION: AMBULATORY SURGERY CENTER ORGANIZATION'S %: 51.02% OFFICERS' %: 0.00% PHYSICIANS' %: 16.26% NAME: VANDERBILT IMAGING SERVICES, LLC DESCRIPTION: RADIOLOGY SERVICES ORGANIZATION'S %: 66.67% OFFICERS' %: 0.00% PHYSICIANS' %: 33.33% NAME: NEW LIGHT IMAGING, LLC DESCRIPTION: OUTPATIENT DIAGNOSTIC IMAGING ORGANIZATION'S %: 66.67% OFFICERS' %: 0.00% PHYSICIANS' %: 33.33% NAME: ONE HUNDRED OAKS IMAGING, LLC DESCRIPTION: OUTPATIENT DIAGNOSTIC IMAGING ORGANIZATION'S %: 80.00% OFFICERS' %: 0.00% PHYSICIANS' %: 20.00% NAME: VANDERBILT ST. THOMAS IMAGING, GP* DESCRIPTION: OUTPATIENT DIAGNOSTIC IMAGING ORGANIZATION'S %: 34.00% OFFICERS' %: 0.00% PHYSICIANS' %: 17.00% *100% OWNED BY VIS AS OF 4/28/11 NAME: WILLIAMSON IMAGING, LLC DESCRIPTION: OUTPATIENT DIAGNOSTIC IMAGING ORGANIZATION'S %: 53.34% OFFICERS' %: 0.00% PHYSICIANS' %: 26.66% NAME: VIP MIDSOUTH, LLC DESCRIPTION: PEDIATRIC CLINICS ORGANIZATION'S %: 49.25% OFFICERS' %: 0.00% PHYSICIANS' %: 50.75% NAME: SPRINGFIELD VIP REALTY, LLC DESCRIPTION: OWN REAL ESTATE USED AS MEDICAL FACILITY ORGANIZATION'S %: 49.00% OFFICERS' %: 0.00% PHYSICIANS' %: 51.00% PART I, LINE 6a VANDERBILT'S PROGRAMS AND SERVICES THAT PROMOTE THE HEALTH OF THE COMMUNITIES IT SERVES HAVE BEEN DISCLOSED ON SCHEDULE H OF FORM 990 WHICH BY REFERENCE IS THE COMMUNITY BENEFIT REPORT FOR VANDERBILT UNIVERSITY. APART FROM SCHEDULE H, VANDERBILT UNIVERSITY DID NOT PREPARE A SEPARATE AND DISTINCT COMMUNITY BENEFIT REPORT DURING THE TAX YEAR. PART I, LINE 6B VANDERBILT UNIVERSITY INCLUDES A FOOTNOTE IN ITS AUDITED YEARLY FINANCIAL REPORT SUMMARIZING THE COMMUNITY BENEFIT INFORMATION REPORTED ON SCHEDULE H OF FORM 990. THE AUDITED FINANCIAL REPORT INCLUDING FOOTNOTES OF VANDERBILT UNIVERSITY IS MADE AVAILABLE TO THE PUBLIC AND CAN BE LOCATED AT HTTP://FINANCIALREPORT.VANDERBILT.EDU/ PART I, LINE 7, COLUMN (F) THE AMOUNT OF BAD DEBT EXPENSE (BASED ON CHARGES) INCLUDED ON FORM 990, PART IX, LINE 25, COLUMN (A) BUT REMOVED FROM THE DENOMINATOR ON PART I, LINE 7, COLUMN (F) IS $107,659,230. PART I, LINE 7(K), COLUMN (F) THE TOTAL COMMUNITY BENEFIT EXPENSE USING PART I, LINE 7, COLUMN (C) (BEFORE DIRECT OFFSETTING REVENUE) AS A PERCENTAGE OF TOTAL EXPENSES IS 28.76%. PART I, LINE 7 THE COSTING METHODOLOGY USED TO CALCULATE CHARITY CARE AND CERTAIN OTHER COMMUNITY BENEFIT COSTS REPORTED WAS BASED ON AN OVERALL COST-TO-CHARGE RATIO FOR ALL PATIENT POPULATIONS. PART III, LINES 2,3 THE COSTING METHODOLOGY USED TO CALCULATE BAD DEBT EXPENSE REPORTED IN PART III, LINES 2 AND 3 WAS BASED ON AN OVERALL COST-TO-CHARGE RATIO FOR ALL PATIENT POPULATIONS. DISCOUNTS AND PAYMENTS ON ACCOUNTS CONSIDERED AS BAD DEBT OFFSET THE TOTAL BAD DEBT EXPENSE RECORDED. THE APPLICABLE ACCOUNTS ARE ESTIMATED TO BE 20% OF THE TOTAL BAD DEBTS RECORDED. PART III, LINE 4 THE AUDITED FINANCIAL STATEMENTS OF VANDERBILT UNIVERSITY DISCLOSE THE CONSOLIDATED AMOUNT OF BAD DEBT EXPENSE, THE PREPONDERANT PORTION OF WHICH IS ATTRIBUTABLE TO ITS HOSPITALS AND CLINICS. PART III, LINE 8 THE COSTING METHODOLOGY USED TO CALCULATE MEDICARE ALLOWABLE COSTS REPORTED IN PART III, LINE 6 WAS BASED ON AN OVERALL COST-TO-CHARGE RATIO FOR ALL PATIENT POPULATIONS. ALTHOUGH SCHEDULE H DOES NOT ALLOW THE REPORTING OF MEDICARE SHORTFALLS AS A COMMUNITY BENEFIT ITEM, THE HOSPITAL BELIEVES THAT SHORTFALLS FROM GOVERNMENT PROGRAMS SUCH AS MEDICARE AND TRICARE (FEDERAL HEALTH PLAN FOR MILITARY AND THEIR FAMILIES) SHOULD BE INCLUDED IN THE COMMUNITY BENEFIT CALCULATION SIMILAR TO MEDICAID SHORTFALLS. PART III, LINE 9B IF A PATIENT QUALIFIES FOR A 100% CHARITY CARE WRITE OFF, THE ACCOUNT IS CLOSED AND NO FURTHER COLLECTION EFFORTS ARE MADE. IF A PATIENT QUALIFIES FOR A PARTIAL CHARITY CARE WRITE OFF, THE ACCOUNT IS REDUCED FOR THE APPLICABLE CHARITY DISCOUNT AND NORMAL COLLECTION EFFORTS ARE MADE. THE SAME COLLECTION EFFORT IS MADE FOR THESE PATIENTS AS IS MADE FOR ALL OTHER TYPES OF PATIENTS INCLUDING INSURED PATIENTS WHO OWE DEDUCTIBLES AND CO-INSURANCE. PART VI, LINE 2 THE MEDICAL CENTER ASSESSES THE HEALTH CARE NEEDS OF THE COMMUNITIES IT SERVES BY STRATEGICALLY TARGETING AND PROVIDING ESSENTIAL HEALTH CARE SERVICES THAT WOULD OTHERWISE NOT BE AVAILABLE TO THESE PATIENT POPULATIONS. THESE SERVICES INCLUDE HIGH RISK OBSTETRICS, CHILDREN'S SPECIALTY SERVICES SUCH AS NEONATAL INTENSIVE CARE, PEDIATRIC INTENSIVE CARE, A HEMOPHILIA CLINIC AS WELL AS AN ADULT AIDS PROGRAM THAT IS ADMINISTERED THROUGH THE DEPARTMENT OF MEDICINE. SERVICES HAVE ALSO BEEN STRATEGICALLY IMPLEMENTED FOR UNDERSERVED AND ECONOMICALLY DISADVANTAGED AREAS AND INCLUDE THE VINE HILL COMMUNITY CLINIC WHICH IS STAFFED BY NURSE PRACTITIONERS, CERTIFIED NURSE MIDWIVES, AND PSYCHIATRIC MENTAL HEALTH NURSE PRACTITIONERS FROM VANDERBILT UNIVERSITY SCHOOL OF NURSING AND THE SHADE TREE FAMILY CLINIC, A FREE HEALTH CLINIC RUN BY VANDERBILT MEDICAL STUDENTS AND FACULTY. PART VI, LINE 3 PATIENTS ARE NOTIFIED OF POTENTIAL ASSISTANCE UNDER FEDERAL, STATE, OR LOCAL GOVERNMENT PROGRAMS OR UNDER THE ORGANIZATION'S CHARITY CARE POLICY VIA SIGNAGE POSTED IN THE PATIENT CARE REGISTRATION POINTS, BROCHURES AVAILABLE AT THE REGISTRATION POINTS, AND LANGUAGE INCLUDED ON ALL STATEMENTS MAILED TO THE PATIENTS. PART VI, LINE 4 BECAUSE THE HOSPITAL IS A LEVEL I TRAUMA CENTER AND A REGIONAL TERTIARY CARE FACILITY, THE PATIENT POPULATION SERVED INCLUDES NOT ONLY THE MIDDLE TENNESSEE AREA BUT THE ENTIRE STATE OF TENNESSEE, SOUTHERN KENTUCKY, AND NORTHERN ALABAMA. FOR MORE INFORMATION PLEASE SEE THE "DETAILED INFORMATION - 2011 FACT BOOK" FOUND ON THE WEBSITE, AS WELL AS READ THE "ABOUT US" SECTION AT HTTP://WWW.MC.VANDERBILT.EDU/ABOUT true Albert Einstein College of Medicine 1300 Morris Park Avenue Bronx NY 10461 110521739 501 (C) (3) 9478 0 N/A N/A Subcontract-Research Alignment Nashville 1 Public Square Nashville TN 37201 450549393 501 (C) (3) 50000 0 N/A N/A Contribution American Cancer Society 2000 Charlotte Avenue Nashville TN 37203 131788491 501 (C) (3) 13500 0 N/A N/A Contribution American Heart Association 1818 Patterson Street Nashville TN 37203 135613799 501 (C) (3) 135738 0 N/A N/A Contribution American Medical Informatics Association Inc 4720 Montgomery Lane Bethesda MD 20814 521615853 501 (C) (3) 10000 0 N/A N/A Contribution Americans for the Arts 1000 Vermont Ave NW F1 6 Washington DC 20005 521996467 501 (C) (3) 11700 0 N/A N/A Contribution Arizona State University administration box 873503 Tempe AZ 85287 860196696 501 (C) (3) 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78245 741109630 501 (C) (3) 54746 0 N/A N/A Subcontract-Research Thomas Jefferson University 1020 Walnut St Philadelphia PA 19107 231352651 501 (C) (3) 124049 0 N/A N/A Subcontract-Research Transit Alliance of Middle Tennessee 511 Union Street Nashville TN 37219 271568117 501 (C) (3) 100000 0 N/A N/A Contribution Trustees of Dartmouth College Dartmouth College Hanover NH 03755 020222111 501 (C) (3) 41774 0 N/A N/A Subct/inst/rsch Trustees of Tufts University 136 Harrison Ave Boston MA 02111 042103634 501 (C) (3) 79617 0 N/A N/A Subct/inst/rsch Tufts Medical Center 800 Washington St Boston MA 02111 043400617 501 (C) (3) 13205 0 N/A N/A Subct/inst/rsch United Way of the Mid South 6775 Lenox CTr CT Memphis TN 38115 561010742 501 (C) (3) 7000 0 N/A N/A Contribution University Community Health Services 618 S 8th Street Nashville TN 37206 621438461 501 (C) (3) 159672 0 N/A N/A Subct/inst/rsch University of Alabama at Birmingham 701 20th St South Birmingham AL 35233 636005396 501 (C) (3) 302302 0 N/A N/A Subct/inst/rsch University of Arizona P O Box 3308 Tucson AZ 85722 866004791 501 (C) (3) 389146 0 N/A N/A Research University of Arkansas 120 Ozark HaLL Fayetteville AR 72701 716003252 501 (C) (3) 9076 0 N/A N/A Research University of California - Los Angeles Box 951406 Los Angeles CA 90095 956006143 501 (C) (3) 277153 0 N/A N/A Research University of California San Diego 9500 Gilman Dr La Jolla CA 92093 956006144 501 (C) (3) 458044 0 N/A N/A Subct/inst/rsch University of Chicago 1225 East 60th Street Chicago IL 60637 362177139 501 (C) (3) 843367 0 N/A N/A Subcontract-Research University of Cincinnati 2600 Clifton Ave Cincinnati OH 45221 316000989 501 (C) (3) 125075 0 N/A N/A Subcontract-Research University of Colorado 3100 Marine St Room 479 Boulder CO 80309 846000555 501 (C) (3) 526225 0 N/A N/A Research, Public Service University of Connecticut 263 Farmington Ave Farmington CT 06030 521725543 501 (C) (3) 58007 0 N/A N/A Subcontract-Research University of Delaware 116 Student SVCs Building Newark DE 19716 516000297 501 (C) (3) 12081 0 N/A N/A Subct/inst/rsch University of Florida PO Box 115500 Gainesville FL 32611 596002052 501 (C) (3) 307340 0 N/A N/A Research, Instruction University of Hawaii 2530 Dole Street Honolulu HI 96822 996000354 501 (C) (3) 5712 0 N/A N/A Subcontract-Research University of Houston E Cullen Building Houston TX 77204 746001399 501 (C) (3) 20934 0 N/A N/A Research University of Illinois GCO 1901 S First St Champaign IL 61820 376000511 501 (C) (3) 256747 0 N/A N/A Public Service University of Iowa 201 Gilmore Hall Iowa City IA 52242 426004813 501 (C) (3) 5305 0 N/A N/A Subcontract-Research University of Kansas 2385 Irving Hall Rd Lawrence KS 66045 480680117 501 (C) (3) 44770 0 N/A N/A Research University of Kentucky Research 201 Kinkead Hall Lexington KY 40506 616033693 501 (C) (3) 365735 0 N/A N/A Subct/inst/rsch University of Louisville Research Foundation MS 01-06 Jouett Hall Louisville KY 40292 611029626 501 (C) (3) 8813 0 N/A N/A Instruction University of Maryland 4101 Chesapeake BLDNG College Park MD 20742 526002033 501 (C) (3) 586878 0 N/A N/A Research, Public Service University of Massachusetts 225 Franklin St Boston MA 02110 043167352 501 (C) (3) 1569517 0 N/A N/A Subcontract-Research University of Medicine & Dentistry of NJ 335 George St New Brunswick NJ 08903 221775306 501 (C) (3) 103025 0 N/A N/A Research University of Medicine and Denistry of New Jersey PO Box 2685 New Brunswick NJ 08903 237313160 501 (C) (3) 9006 0 N/A N/A Subcontract-Research University of Memphis ADMIN BLDG Memphis TN 38152 620648618 501 (C) (3) 139768 0 N/A N/A Instruction, Research University of Miami 1200 Campo Sano Ave Miami FL 33146 590624458 501 (C) (3) 1298258 0 N/A N/A Subcontract-Research University of Minnesota 200 Oak Street SE Minneapolis MN 55455 416007513 501 (C) (3) 161873 0 N/A N/A Research University of Missouri-Columbia 310 Jesse Hall Columbia MO 65211 436003859 501 (C) (3) 149161 0 N/A N/A Research University of New Mexico 1 Univ of NM Albuquerque NM 87131 856000642 501 (C) (3) 56594 0 N/A N/A Subcontract-Research University of Norte Dame 511 Main Building Notre Dame IN 46556 350868188 501 (C) (3) 1057803 0 N/A N/A Research University of North Carolina 104 Airport Dr Chapel Hill NC 27599 566001393 501 (C) (3) 1824433 0 N/A N/A Research University of Pennsylvania 3440 Market Street Philadelphia PA 19104 231352685 501 (C) (3) 1510896 0 N/A N/A Research University of Pittsburgh 3130 Cathedral of LrnG Pittsburgh PA 15620 250965591 501 (C) (3) 490995 0 N/A N/A Research University of South Carolina 514 Main St Columbia SC 29208 576001153 501 (C) (3) 11070 0 N/A N/A Subcontract-Research University of South Florida 4202 E Fowler Ave Tampa FL 33620 596001874 501 (C) (3) 231662 0 N/A N/A Research, Public Service University of Southern California University Gardens Los Angeles CA 90089 951642394 501 (C) (3) 543795 0 N/A N/A Subcontract-Research University of Tennessee 201 Andy Holt Tower Knoxville TN 37996 626001636 501 (C) (3) 372387 0 N/A N/A Instruction, Research University of Texas 1 University Station Austin TX 78712 746001118 501 (C) (3) 423327 0 N/A N/A Subcontract-Research University of Texas - Southwestern 5323 Harry Hines Blvd Dallas TX 75390 756002868 501 (C) (3) 798236 0 N/A N/A Subcontract-Research University of Texas at Austin PO Box 8029 Austin TX 78713 746000203 501 (C) (3) 114628 0 N/A N/A Research University of Texas Health Science 7703 Floyd Curl Drive San Antonio TX 78284 741586031 501 (C) (3) 389412 0 N/A N/A Subcontract-Research University of Texas-Pan American 1201 West UniversitY DR Edinburg TX 78541 746002942 501 (C) (3) 14466 0 N/A N/A Research University of Utah 201 Presidents Cir Salt Lake City UT 84112 876000525 501 (C) (3) 305610 0 N/A N/A Subcontract-Research University of Virgina PO Box 400195 Charlottesville VA 22904 546001786 501 (C) (3) 57592 0 N/A N/A Subcontract-Research University of Washington OSP Box 359472 Seattle WA 98195 916001537 501 (C) (3) 1423962 0 N/A N/A Research, Instruction University of Wisconsin-Madison 21 North Park St Madison WI 53715 396006492 501 (C) (3) 716883 0 N/A N/A Research US Math Recovery Council 4117 Hillsboro Pike Nashville TN 37215 050538927 501 (C) (3) 30523 0 N/A N/A Research Virginia Polytechnic Institute 460 Turner Street Blacksburg VA 24060 546001805 501 (C) (3) 72208 0 N/A N/A Research Washington University One Brooking DR St Louis MO 63130 430653611 501 (C) (3) 316654 0 N/A N/A Research Western Carolina University Cordelia Camp Bld Cullowhee NC 28723 566001440 501 (C) (3) 26345 0 N/A N/A Research Yale University 47 College St Ste 203 New Haven CT 06520 060646973 501 (C) (3) 83596 0 N/A N/A Subct/inst/rsch YMCA of Middle Tennessee 900 Church Street Nashville TN 37203 620476243 501 (C) (3) 145384 0 N/A N/A Public Service Zero to Three 2000 M Street NW Washington DC 20036 521105189 501 (C) (3) 107792 0 N/A N/A Public Service ABT Associates Inc 4550 Montgomery Avenue Bethesda MD 20814 526041929 N/A 7453 0 N/A N/A Research Acocda Therapeutics Inc 15 Skyline Drive Hawthorne NY 10532 133831168 N/A 180000 0 N/A N/A Subcontract-Research Aerospace Corporation 2310 E El Segundo Blvd El Segundo CA 90245 952102389 N/A 187500 0 N/A N/A Research Anatomic & Clinical Laboratory 2010 Church St Nashville TN 37203 621051717 N/A 22183 0 N/A N/A Subct/inst/rsch Arizona Geological Survey 416 West Congress St Tuscon AZ 85701 866004791 N/A 10902 0 N/A N/A Research Avid Radiopharmaceuticals 3711 Market St Philadelphia PA 19104 201811104 N/A 8176 0 N/A N/A Subcontract-Research Bell Helicopter Textron Inc PO Box 482 Dept Ft Worth TX 76101 050393946 N/A 35332 0 N/A N/A Research Boeing IDS Cashier MS 42-10 Seattle WA 98124 910425694 N/A 421566 0 N/A N/A Research Center for Biomedical Research LLC 1415 Old Weisgarber Rd Knoxville TN 37909 270952972 N/A 72188 0 N/A N/A Subcontract-Research CFD Research Corporation 601 Genome Way Huntsville AL 35806 639044385 N/A 187994 0 N/A N/A Research Colorado School of Mines 1500 Illinois St Golden CO 80401 846000551 N/A 10349 0 N/A N/A Research Defense Finance Accounting Service 4555 Overlook Ave SW Washington DC 20375 N/A 75000 0 N/A N/A Research Education Development Center Inc 55 Chapel Street Newton MA 02458 042241718 N/A 87874 0 N/A N/A research Erlanger Health System 975 E Third St Chattanooga TN 37403 626000101 N/A 36861 0 N/A N/A Subct/inst/rsch Georgia Institute of Technology 505 Tenth St Atlanta GA 30332 580603146 N/A 325259 0 N/A N/A Research Gibson Consulting Group 901 S Mopac Expwy Austin TX 78746 742898858 N/A 24638 0 N/A N/A Research International Epidemiology Institute Inc 1455 Rsch Blvd Rockville MD 20850 521882011 N/A 4652120 0 N/A N/A Subcontract-Research Jones Clinic 7710 Wolf River Cir Germantown TN 38138 621717770 N/A 12620 0 N/A N/A Subcontract-Public Service Learning Point Associates 1120 E Diehl Road Naperville IL 60563 371161423 N/A 76200 0 N/A N/A Research Medelis 98 River Front Dr Reno NV 89523 200331456 N/A 131380 0 N/A N/A Subcontract-Research Meharry Medical College 1005 DB Todd Blvd Nashville TN 37208 620488046 N/A 3251370 0 N/A N/A Research Metro Parks and Recreation 511 Oman Street Nashville TN 37203 620694743 N/A 124146 0 N/A N/A Subcontract-Research Object Computing Inc 12140 Woodcrest Exec Pkwy St Louis MO 63141 431695110 N/A 57810 0 N/A N/A Research Pathology Associates of St Thomas 4220 Harding Pike Nashville TN 37205 621436754 N/A 11667 0 N/A N/A Subct/inst/rsch Precise Clinical Research Inc 1230 SW Harvey Topeka KS 66604 201725871 N/A 37380 0 N/A N/A Subcontract-Research Purchase Cancer Group 100 Kiana Court Paducah KY 42001 743112051 N/A 5800 0 N/A N/A Subcontract-Research Rambiss LLC 938 E Swan Creek Rd Fort Washington MD 20744 201240325 N/A 79970 0 N/A N/A Subct/inst/rsch Rehabilitation Associates of Naples 1855 Vet Park Dr Naples FL 34109 593579939 N/A 6622 0 N/A N/A Subcontract-Research Shepherd Center Inc 2020 Peachtree Rd NW Atlanta GA 30309 510141601 N/A 25057 0 N/A N/A Research Stanford University 450 Serra Mall Stanford CA 94305 941156365 N/A 746054 0 N/A N/A Research State of Indiana Department of Education Room 229 State House Indianapolis IN 46204 356000158 N/A 474786 0 N/A N/A Research Symbolene Systems Inc 2130 Bold Springs Road Monroe GA 30656 582584962 N/A 39808 0 N/A N/A Research Tennessee Cancer Specialist PLLC 1415 Old Weisgarber Rd Knoxville TN 37909 N/A 8525 0 N/A N/A Subcontract-Research Tennessee Valley Healthcare System 1310 24th Ave S Nashville TN 37212 620484828 N/A 18916 0 N/A N/A Subct/inst/rsch The Urban Institute 2100 M St N W Washington DC 20037 520880375 N/A 20000 0 N/A N/A Research Topaz Canyon Group LLC 1330 Weber St Alameda CA 94501 202388726 N/A 134184 0 N/A N/A Subcontract-Public Service US Army Institute of Surgical Research 400 RAwly E ChAMbER Ave Ft Sam Houston CA 78234 300440374 N/A 91000 0 N/A N/A Research UT-Battelle LLC 1201 Oak Ridge Tpk Oak Ridge TX 37830 621788235 N/A 24000 0 N/A N/A Subcontract-Research VA Tennessee Valley Healthcare System 1310 24th Avenue S Nashville TN 37212 620484828 N/A 17033 0 N/A N/A Subcontract-Research Weill Medical College of Cornell 1300 York Box 89 New York TN 10065 131623978 N/A 444085 0 N/A N/A Research Westat Inc 1600 Research Blvd Rockville NY 20850 840529566 N/A 224361 0 N/A N/A Subcontract-Research 200 41 PATIENT ASSISTANCE 119 167107 0 N/A N/A PATIENT ASSISTANCE 6017 0 33094 FMV FOOD patient assistance 388 0 65489 FMV MEDICAL SUPPLIES SUBCONTRACT 1 63333 0 N/A N/A STUDENT FINANCIAL ASSISTANCE 6573 220761020 0 N/A N/A Procedures for Monitoring use of Grants Form 990, Schedule I, Part I, Line 2 Subrecipient Grants - Vanderbilt University maintains a formal policy defining its procedures for monitoring the use of sponsored funds by subrecipients who are performing a portion of a sponsored project externally awarded to Vanderbilt. The policy provides guidance to ensure that subrecipients conduct their portions of sponsored projects in compliance with laws, regulations, terms and conditions of awards and subawards, and that reimbursed costs incurred by subrecipients are allowed. The policy addresses the roles and responsibilities of central offices and academic departments of the university and describes the monitoring procedures for each area. The full text of Vanderbilt's Subrecipient POLICY IS available online at the following web address: http://www.vanderbilt.edu/ocga/vupolicies/subrecipient/SubrecipientMonitor ingGuidelinesfinal.pdf Other Assistance - Assistance offered from institutional funds by Vanderbilt to our students is awarded on the basis of merit and/or financial need. Such assistance helps students and their families support the cost of attendance which includes tuition, mandatory fees, room & board, books, other course materials/supplies, and allowances for personal/miscellaneous and travel expenses. Merit-based awards are competitively awarded in recognition of academic achievement, leadership, commitment to community service, contributions to society, and other forms of accomplishment. Need-based assistance is awarded on the basis of documented financial need, resulting from a need analysis evaluation accomplished in accordance with relevant and applicable federal, state, and/or institutional programs, policies, and eligibility requirements. Financial Aid - The units responsible for administering student financial aid at Vanderbilt regularly initiate system-generated reviews, as well as other cross-checks on an ad hoc basis. Results from these reviews, along with recurring management reports, are regularly evaluated. Subsequently, follow-up corrective actions are taken when appropriate and potentially include award revisions or cancellations. These provisions are designed to help ensure that student assistance funds are awarded to eligible recipients, in accordance with applicable federal, state, institutional, and other program legislation, as well as relevant internal university policies and operational guidelines/criteria. X X X X true true X X X X X true true false false false false false true false Nicholas S Zeppos JD 637288 0 258271 0 1107314 0 164688 0 60788 0 2228349 0 1086963 0 Jeffrey R Balser MD PhD 893775 0 114017 0 213424 0 212103 0 46442 0 1479761 0 200000 0 Jerry G Fife BS 409746 0 0 0 42306 0 12103 0 19652 0 483807 0 0 0 Beth A Fortune MA 337782 0 0 0 16365 0 12103 0 7910 0 374160 0 0 0 Richard C McCarty MS PhD 542292 0 128315 0 16284 0 212103 0 17980 0 916974 0 0 0 Susie S Stalcup BA 495110 0 38400 0 14310 0 12103 0 14862 0 574785 0 0 0 Brett C Sweet MBA 594549 0 147480 0 12432 0 12103 0 17342 0 783906 0 0 0 David Williams II MA MBA JD L 772665 0 188994 0 2041305 0 193921 0 42793 0 3239678 0 2009952 0 Matthew W Wright MBA 590761 0 113771 0 47474 0 93357 0 23173 0 868536 0 0 0 Kevin B Churchwell MD 567423 0 141680 0 1843243 0 12103 0 18579 0 2583028 0 0 0 CHARLES L GREGORY 397372 0 57350 0 12062 0 12103 0 22400 0 501287 0 0 0 Larry M Goldberg MHA 620448 0 158000 0 29443 0 12103 0 22860 0 842854 0 0 0 John F Manning Jr PhD MBA 460173 0 47125 0 11886 0 112103 0 16716 0 648003 0 0 0 Charles W Pinson MD MBA 902212 0 198897 0 13177 0 191933 0 8722 0 1314941 0 0 0 Robert A Johnson MA 1462616 0 95721 0 14663 0 9260 0 9632 0 1591892 0 0 0 JOHN W KLEKAMP MD 1202073 0 0 0 11310 0 11933 0 17096 0 1242412 0 0 0 Kevin E Stallings MS 1689512 0 177937 0 30108 0 131072 0 27780 0 2056409 0 0 0 PAUL A THOMAS MD 2127265 0 0 0 12822 0 7350 0 18902 0 2166339 0 0 0 RANDALL S THOMAS BA JD PhD 480180 0 0 0 769519 0 174496 0 20209 0 1444404 0 0 0 Harry R Jacobson MD 540517 0 0 0 6002266 0 12103 0 5430 0 6560316 0 5221955 0 Betty L Price MBA CPA 435382 0 0 0 11747 0 12103 0 10461 0 469693 0 0 0 Martin P Sandler MD 597006 0 228863 0 14247 0 11933 0 8927 0 860976 0 0 0 Part I, Line 1a First-class or Charter travel - Travelers should fly via commercial airline and work to obtain the lowest fare possible. International trips that span over six time zones are pre-approved for business class travel. Additionally, for both domestic and international travel, if an airline provides business class or first class seating and the length is over four hours, the traveler may petition the Chancellor and with approval fly business or first class. In cases where it is not possible to fly commercial due to scheduling commitments, and the travel is of the highest importance, travelers may request that the Chancellor approve a charter flight, after weighing the benefits of the trip against the cost of the charter. The Board of Trust has approved the first class travel or charter for the Chancellor when necessitated by his schedule. Per Vanderbilt's athletics travel policy, family members are allowed, with the approval of the Vice-Chancellor for University Affairs and Athletics, to charter with the team when there are extra seats, without having to reimburse the University since the charter fee is not determined by the number of actual passengers. Tax indemnification and gross-up payments - Vanderbilt University, in certain instances, will gross-up payments. All such gross-ups are included in the taxable income of the applicable individual. Health or Social Club Dues or Initiation Fees - Vanderbilt University pays for certain social club dues, all of which are corporate memberships, and serve a documented business purpose. Part I, Line 4a Former Officer (Vice Chancellor for Health Affairs) Harry R. Jacobson, MD terminated employment with Vanderbilt University in May 2010. He received a severance payment totaling $758,333.38, which is included in his 2010 W-2. Kevin B. Churchwell, MD, CEO and Executive Director, Monroe Carell, Jr. Children's Hospital at Vanderbilt, terminated employment with Vanderbilt University in November 2010. He received a severance payment totaling $1,830,000, which is included in his 2010 W-2. PART I, LINE 4B The following individuals received payments from Vanderbilt University's Supplemental Executive Retirement Plan, a nonqualified retirement plan, during 2010. Distributions of remaining accruals were made in 2010 as follows: Nicholas S. Zeppos, Chancellor - $1,086,963.00 David Williams, II, Vice Chancellor for University Affairs and Athletics; General Counsel; and Secretary of the University - $2,009,952.00 Harry R. Jacobson, Former Officer (Vice Chancellor for Health Affairs) - $5,221,955.00 The Supplemental Executive Retirement Plan (SERP) as approved by the Compensation Committee of the Board of Trust, is a nonqualified deferred compensation plan, the purpose of which is to provide supplemental retirement, disability, and death benefits for a select group of highly compensated employees as a retention strategy. As such, the participant (or his or her beneficiary in the case of death) will receive his or her accrued benefit based on a vesting and payment schedule as set forth in the plan agreement. If prior to a participant's payment date, disability, retirement date or death, a participant's employment with the university is terminated either involuntarily for cause or voluntarily other than for good reason, the participant and his or her beneficiaries will forfeit any kind of benefits accrued under the plan. Part I, Line 7 Chancellor Nicholas S. Zeppos achieved various incentive goals where judgment was determined by the Board of Trust. Total incentive compensation earned from these measures was $210,027 and is included in his 2010 W-2. The following individuals achieved various incentive goals where judgment was determined by the Chancellor or the Board of Trust. Total incentive compensation earned from these measures during 2010 for each individual follows, and is included in their respective 2010 W-2s. Provost and Vice Chancellor for Academic Affairs Richard C. McCarty - $59,620 Vice Chancellor for Finance and Chief Financial Officer Brett C. Sweet - $87,540 Vice Chancellor for University Affairs and Athletics; General Counsel; and Secretary of the University David Williams, II - $84,552 HEFB VANDERBILT UNIV SERIES 2009A&B 626139016 592041RJ8 2009-04-01 328850840 SEE SCHEDULE O false false false HEFB VANDERBILT UNIV SERIES 2008A&B 626139016 592041QB6 2008-04-23 274405009 SEE SCHEDULE O false false false HEFB VANDERBILT UNIV SERIES 2005A&B 626139016 592041NW3 2005-01-20 413607549 SEE SCHEDULE O false false false HEFB VANDERBILT UNIV SERIES 2003A 626139016 592041MZ7 2003-05-29 40155000 SEE SCHEDULE O false false false 328896899 2245733 100365260 226285906 2011 true false true true 17050000 275052312 1774403 273277909 true false true true 277750000 419396776 1636343 2751364 185832783 229176286 2007 true false true true 19255000 40155000 351832 39803168 true false true true false false true true true 0.00000 0.00000 0.00000 true false false true true true 0.00000 0.00000 0.00000 true false false true true true 0.00000 0.00000 0.00000 true false false false false true 0.00000 0.00000 0.00000 true false false false false false true false false false false false true false true true GOLDMAN SACHS - FXP 35.83 false false false false true false true false false false true SEE SCHEDULE O SEE PART V 353064 SEE PART V GRANTS OR ASSISTANCE BENEFITING INTERESTED PERSONS FORM 990, SCHEDULE L, PART III $133,718 - Aggregate of educational assistance provided to seven interested persons under the Tuition Benefit Program, which is available to qualifying dependents of all eligible employees (e.g. those meeting minimum period of service requirements). $219,346 - Aggregate of merit-based scholarships and assistance provided to six interested persons. BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS FORM 990, SCHEDULE L, PART IV (A) SUMMIT PARTNERS (B) Trustee Bruce R. Evans is an owner/investor and board member of Summit Partners, a private equity and venture capital firm. (C) ($4,689) (D) Vanderbilt's net capital contributions of $4,078,540 & distributions of ($4,083,229) from Summit's Funds in FY11 (E) NO REVENUE SHARING (A) Dell, Inc. (B) Trustee Nancy Perot Mulford's brother, Trustee H. Ross Perot, Jr. serves on the board of Dell, Inc. (C) $5,229,102 (D) Purchases of computer hardware, software, accessories, and services (E) NO REVENUE SHARING (A) Kinetic Concepts, Inc. (B) Former Vice Chancellor Harry R. Jacobson, MD serves on the board of Kinetic Concepts, Inc. (C) $1,614,357 (D) Purchase and rental of medical supplies & equipment (E) NO REVENUE SHARING (A) LifeCell, Inc. (B) Former Vice Chancellor Harry R. Jacobson, MD serves on the board of LifeCell, Inc. (C) $1,139,133 (D) Purchase of medical supplies (E) NO REVENUE SHARING (A) Informatics Corporation of America, Inc. (B) Associate Vice Chancellor John F. Manning & Vice Chancellor Brett C. Sweet serve on the board of Informatics Corporation of America. (C) $223,900 (D) Payments for engineering and research services (E) NO REVENUE SHARING (A) First American Bancorp (B) Trustee Dennis Bottorff serves on the board of First American Bancorp (C) $1,956,654 (D) Payments for rent and lease of Financial Equipment (E) No Revenue Sharing (A) Coca-Cola Enterprises, Inc. (B) Trustee Orrin Ingram serves on the board of Coca-Cola Enterprises, Inc. (C) $1,031,424 (D) Purchase of food and beverages and services (E) No Revenue Sharing (A) SunTrust Banks, Inc. (B) Trustees Joanne Hayes and J. Hicks Lanier both serve on the board of SunTrust Banks, Inc. (C) $198,192 (D) Vehicle lease payments (E) No Revenue Sharing (A) Courage Special Situations Fund, LP (B) A family member to Trustees Martha Ingram, Orrin Ingram, and John Ingram is the owner and manager of Courage Special Situations Fund, L.P (C) $57,008,886 (D) Net Capital Distributions to VU from Courage Special Situations Fund, L.P. in FY11 (E) No Revenue Sharing (A) Julia A Fesmire, PhD (B) Family Member of Trustee Karen Fesmire (C) $54,490 (D) Employment at Vanderbilt (E) No revenue Sharing (A) Barbara Engelhardt, MD (B) Family Member of Trustee William Wilson (C) $127,947 (D) Employment at Vanderbilt (E) No revenue Sharing (A) Andre Churchwell, MD (B) Family Member of Current Key Employee Kevin Churchwell, MD (C) $669,620 (D) Employment at Vanderbilt (E) No revenue Sharing (A) Keith Churchwell, MD (B) Family Member of Current Key Employee Kevin Churchwell, MD (C) $597,694 (D) Employment at Vanderbilt (E) No revenue Sharing (A) Taylor Fife, APRN-BC (B) Family Member of Current Officer Jerry Fife (C) $58,361 (D) Employment at Vanderbilt (E) No revenue Sharing (A) Hava Fife, APRN-BC (B) Family Member of Current Officer Jerry Fife (C) $109,672 (D) Employment at Vanderbilt (E) No revenue Sharing (A) Ryan L. McCarty (B) Family Member of Current Officer Richard McCarty (C) $63,040 (D) Employment at Vanderbilt (E) No revenue Sharing (A) Gail P. Williams, JD (B) Family Member of Current Officer David Williams, II (C) $121,700 (D) Employment at Vanderbilt (E) No revenue Sharing X 44 11066 FMV X 32184 VARIOUS X 87125 SELLING PRICE X 1 9685 SELLING PRICE X 264 12650319 MARKET QUOTE X 1 218263 SELLING PRICE X 74 8002 VARIOUS X 24 115957 COST X 1 670000 APPRAISAL X SOFTWARE 1 2838077 COST X SEE PART II 274 57845 VARIOUS 2 false true false NUMBER OF CONTRIBUTIONS FORM 990, SCHEDULE M, PART I, COLUMN (B) VANDERBILT UNIVERSITY REPORTS THE NUMBER OF CONTRIBUTIONS RECEIVED THROUGHOUT THE YEAR FOR EACH TYPE OF PROPERTY LISTED. OTHER TYPES OF PROPERTY FORM 990, SCHEDULE M, PART I, LINE 26 THIS LINE INCLUDES DONOR OUT-OF-POCKET EXPENSES FOR HOSTING VANDERBILT EVENTS, AND DONATIONS FOR VARIOUS FUNDRAISING EFFORTS AND SILENT AUCTIONS, SUCH AS DINING GIFTCARDS, AND TICKETS TO PERFORMANCES AND ATHLETIC EVENTS. MISSION STATEMENT FORM 990, PART I, LINE 1 AND PART III, LINE 1 VANDERBILT UNIVERSITY IS A CENTER FOR SCHOLARLY RESEARCH, INFORMED AND CREATIVE TEACHING, AND SERVICE TO THE COMMUNITY AND SOCIETY AT LARGE. VANDERBILT WILL UPHOLD THE HIGHEST STANDARDS AND BE A LEADER IN THE QUEST FOR NEW KNOWLEDGE THROUGH SCHOLARSHIP, DISSEMINATION OF KNOWLEDGE THROUGH TEACHING AND OUTREACH, AND CREATIVE EXPERIMENTATION OF IDEAS AND CONCEPTS. IN PURSUIT OF THESE GOALS, VANDERBILT VALUES MOST HIGHLY THE INTELLECTUAL FREEDOM THAT SUPPORTS OPEN INQUIRY AND EQUALITY, COMPASSION AND EXCELLENCE IN ALL ENDEAVORS. FORM 990, PARTS I, VIII, IX AND X FOR THE CURRENT YEAR, VANDERBILT UNIVERSITY IS REPORTING AMOUNTS FOR REVENUE AND EXPENSE ACTIVITY AS WELL AS FOR BALANCE SHEETS FOR JUST THE UNIVERSITY AND CERTAIN JOINT VENTURES AND DISREGARDED ENTITIES, I.E., ON A "DECONSOLIDATED" BASIS. THIS PRESENTATION IS CONTRASTED WITH THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS, WHICH IS ON A CONSOLIDATED BASIS WHICH INCLUDES SUBSIDIARIES THAT FILE DISCRETE SEPARATE TAX RETURNS. PRIOR YEAR BALANCE SHEET AMOUNTS (AS REFLECTED IN PART X, COLUMN (A) AND PART I) AND PRIOR YEAR REVENUES AND EXPENSES (AS REFLECTED IN PART I) HAVE NOT BEEN RECLASSIFIED TO PRECISELY CONFORM WITH THE CURRENT YEAR'S PRESENTATION. PROGRAM SERVICE ACTIVITY- EDUCATION FORM 990, PART III, LINE 4A VANDERBILT UNIVERSITY OFFERS UNDERGRADUATE PROGRAMS IN THE LIBERAL ARTS AND SCIENCE, ENGINEERING, MUSIC, EDUCATION AND HUMAN DEVELOPMENT, AS WELL AS A FULL RANGE OF GRADUATE AND PROFESSIONAL DEGREES. VANDERBILT'S TEN SCHOOLS AND COLLEGES INCLUDE: COLLEGE OF ARTS AND SCIENCE, GRADUATE SCHOOL, BLAIR SCHOOL OF MUSIC, DIVINITY SCHOOL, SCHOOL OF ENGINEERING, LAW SCHOOL, SCHOOL OF MEDICINE, SCHOOL OF NURSING, OWEN GRADUATE SCHOOL OF MANAGEMENT, AND PEABODY COLLEGE (OF EDUCATION AND HUMAN DEVELOPMENT). VANDERBILT UNIVERSITY HAS APPROXIMATELY 6,900 UNDERGRADUATE STUDENTS, 5,800 GRADUATE AND PROFESSIONAL STUDENTS, AND MORE THAN 3,800 FACULTY MEMBERS. VANDERBILT UNIVERSITY RANKED 17TH AMONG THE NATION'S BEST UNIVERSITIES, AND RANKED 14TH AMONG NATIONAL UNIVERSITIES IN THE "GREAT SCHOOLS, GREAT PRICES" CATEGORY IN AN ANNUAL SURVEY CONDUCTED BY U.S. NEWS & WORLD REPORT. VANDERBILT'S PEABODY COLLEGE OF EDUCATION AND HUMAN DEVELOPMENT RANKED AS THE BEST GRADUATE SCHOOL OF EDUCATION IN THE NATION BY U.S. NEWS & WORLD REPORT FOR THE THIRD CONSECUTIVE YEAR. THE SPECIAL EDUCATION PROGRAM HAS BEEN RANKED AT NO. 1, WITH THE EXCEPTION OF ONE YEAR AT NO. 2, SINCE 2003. OTHER VANDERBILT SCHOOLS WITH NOTABLE RANKINGS INCLUDE: SCHOOL OF MEDICINE, RANKED 15TH FOR RESEARCH HOSPITALS IN THE NATION; LAW SCHOOL RANKED 16TH; AND THE VANDERBILT OWEN GRADUATE SCHOOL OF MANAGEMENT RANKED 28TH. IN THE FIRST RANKING OF NURSING SCHOOLS BY U.S. NEWS & WORLD REPORT SINCE 2007, THE VANDERBILT SCHOOL OF NURSING TIED FOR NO. 15, AND ITS MIDWIFERY PROGRAM WAS NAMED NO. 3 IN THE NATION. PROGRAMS IN CLINICAL NURSE SPECIALIST - PSYCHIATRIC/MENTAL HEALTH, NURSE PRACTITIONER-FAMILY AND NURSING SERVICE ADMINISTRATION ALL RANKED IN THE TOP 10. FOR MORE INFORMATION REGARDING EDUCATION AT VANDERBILT UNIVERSITY, VISIT HTTP://WWW.VANDERBILT.EDU PROGRAM SERVICE ACTIVITY- ACADEMIC AND SCIENTIFIC RESEARCH FORM 990, PART III, LINE 4B VANDERBILT IS AN INTERNATIONALLY RECOGNIZED RESEARCH UNIVERSITY. A MAJORITY OF VANDERBILT UNIVERSITY'S RESEARCH FUNDING IS RECEIVED FROM THE FEDERAL GOVERNMENT. FUNDING IS ALSO RECEIVED FROM FOUNDATIONS, ASSOCIATIONS, CORPORATIONS, AND OTHER SOURCES. VANDERBILT UNIVERSITY'S RESEARCHERS ARE AT THE FOREFRONT OF POSING INNOVATIVE SOLUTIONS TO SOME OF THE MOST CHALLENGING QUESTIONS FACING THE WORLD TODAY. FOR MORE INFORMATION REGARDING RESEARCH AT VANDERBILT UNIVERSITY, VISIT HTTP://RESEARCH.VANDERBILT.EDU PROGRAM SERVICE ACTIVITY- PATIENT CARE FORM 990, PART III, LINE 4C VANDERBILT UNIVERSITY HOSPITALS AND CLINICS PROVIDE QUALITY MEDICAL HEALTH CARE REGARDLESS OF RACE, CREED, SEX, NATIONAL ORIGIN, HANDICAP, AGE, OR ABILITY TO PAY. ALTHOUGH REIMBURSEMENT FOR SERVICES RENDERED IS CRITICAL TO THE OPERATION AND STABILITY OF VANDERBILT UNIVERSITY HOSPITALS AND CLINICS, IT IS RECOGNIZED THAT NOT ALL INDIVIDUALS POSSESS THE ABILITY TO PURCHASE ESSENTIAL MEDICAL SERVICES, AND FURTHER THAT PART OF VANDERBILT'S MISSION IS TO SERVE THE COMMUNITY. THEREFORE, IN KEEPING WITH VANDERBILT'S COMMITMENT TO SERVE ALL MEMBERS OF ITS COMMUNITY, FREE CARE AND/OR SUBSIDIZED CARE, CARE PROVIDED TO PERSONS COVERED BY GOVERNMENTAL PROGRAMS AT BELOW COST, AND HEALTH ACTIVITIES AND PROGRAMS TO SUPPORT THE COMMUNITY ARE PROVIDED WHERE THE NEED AND/OR AN INDIVIDUAL'S INABILITY TO PAY COEXISTS. THESE ACTIVITIES INCLUDE WELLNESS PROGRAMS, COMMUNITY EDUCATION PROGRAMS, SPECIAL PROGRAMS FOR THE ELDERLY, HANDICAPPED, MEDICALLY UNDERSERVED, AND A VARIETY OF BROAD COMMUNITY SUPPORT ACTIVITIES. CHARITY CARE IS ALSO PROVIDED THROUGH MANY REDUCED PRICE SERVICES AND FREE PROGRAMS OFFERED THROUGHOUT THE YEAR BASED UPON ACTIVITIES AND SERVICES WHICH VANDERBILT BELIEVES WILL SERVE A BONA FIDE COMMUNITY HEALTH NEED. DURING THE FISCAL YEAR, VANDERBILT SERVICED 52,453 INPATIENTS AND 1,696,382 EMERGENCY AND OUTPATIENT CLINIC VISITS. VANDERBILT UNIVERSITY MEDICAL CENTER FINISHED FISCAL 2011 IN THE U.S. NEWS AND WORLD REPORT ANNUAL RANKING OF AMERICA'S BEST HOSPITALS WITH A BEST-EVER NUMBER 14 RANKING ON THE NATIONAL "HONOR ROLL," POSTING AN ALL-TIME HIGH OF 11 RANKED SPECIALTIES OUT OF A POSSIBLE 16 CATEGORIES. SPECIALTY PROGRAMS RANKING AMONG THE TOP 50 IN THEIR RESPECTIVE FIELDS INCLUDE; UROLOGY, NEPHROLOGY, DIABETES AND ENDOCRINOLOGY, EAR, NOSE AND THROAT, PULMONOLOGY, GASTROENTEROLOGY, CARDIOLOGY AND HEART SURGERY, CANCER, NEUROLOGY AND NEUROSURGERY, ORTHOPEDICS, AND GYNECOLOGY. IN ADDITION, THE MONROE CARELL JR. CHILDREN'S HOSPITAL AT VANDERBILT WAS INCLUDED AMONG THE NATION'S LEADERS IN PEDIATRIC HEALTH CARE IN U.S. NEWS & WORLD REPORT MAGAZINE'S BEST CHILDREN'S HOSPITAL RANKING. THE HOSPITAL ACHIEVED RANKINGS IN A MAXIMUM 10 OUT OF 10 SPECIALTIES: UROLOGY, NEONATOLOGY, CARDIOLOGY AND HEART SURGERY, GASTROENTEROLOGY, DIABETES AND ENDOCRINOLOGY, ORTHOPEDICS, PULMONOLOGY, NEPHROLOGY, NEUROLOGY AND NEUROSURGERY, AND CANCER. ALONG WITH THE VARIOUS NATIONAL RANKINGS, THERE ARE SEVERAL VANDERBILT UNIVERSITY MEDICAL CENTER PROGRAMS UNIQUE TO THE MIDDLE TENNESSEE REGION, WHICH INCLUDE: - THE VANDERBILT-INGRAM CANCER CENTER, THE ONLY CANCER CENTER IN TENNESSEE THAT CONDUCTS RESEARCH AND CARES FOR BOTH CHILDREN AND ADULTS; IT IS ONE OF 40 NATIONAL CANCER INSTITUTE-DESIGNATED COMPREHENSIVE CANCER CENTERS IN THE UNITED STATES, AND IS ALSO A MEMBER OF THE ELITE NATIONAL COMPREHENSIVE CANCER NETWORK COMPRISING THE TOP 21 CLINICAL CANCER INSTITUTES IN THE COUNTRY; - THE ONLY LEVEL 1 TRAUMA CENTER IN MIDDLE TENNESSEE; - A COMPREHENSIVE REGIONAL ADULT AND PEDIATRIC BURN CENTER; - LIFEFLIGHT, AN INTEGRATED AIR AND GROUND EMERGENCY PATIENT TRANSPORT SYSTEM; - THE TENNESSEE POISON CONTROL CENTER; - THE ONLY COMPREHENSIVE SOLID ORGAN TRANSPLANT PROGRAM IN TENNESSEE; AND - 19 SPECIALTY SERVICES WITH THE MONROE CARELL JR. CHILDREN'S HOSPITAL, INCLUDING A LEVEL IV NEONATAL INTENSIVE CARE UNIT, A DEDICATED PEDIATRIC EMERGENCY DEPARTMENT, AND PEDIATRIC TRAUMA PROGRAM. FOR MORE INFORMATION REGARDING HEALTH CARE AT VANDERBILT UNIVERSITY, VISIT HTTP://WWW.MC.VANDERBILT.EDU PROGRAM SERVICE ACTIVITY- OTHER PROGRAM SERVICES FORM 990, PART III, LINE 4D OTHER PROGRAM SERVICES INCLUDE PUBLIC SERVICE, ACADEMIC SUPPORT, INSTITUTIONAL SUPPORT, STUDENT SERVICES, ROOM AND BOARD, AND OTHER AUXILIARY SERVICES. VANDERBILT UNIVERSITY ENGAGES IN A VARIETY OF PUBLIC SERVICE PROJECTS, INCLUDING, BUT NOT LIMITED TO: SUPPORTING HIV CARE AND TREATMENT PROGRAMS IN RURAL MOZAMBIQUE AND NIGERIA, AFRICA; DEVELOPING TRAINING MATERIALS FOR CURRENT AND FUTURE SCHOOL PERSONNEL; FORMULATING NEW APPROACHES TO INCREASE HEALTH, SAFETY, QUALITY AND OUTCOMES, WHILE DECREASING TOTAL COSTS; AND MANY OTHER SPONSORED COMMUNITY HEALTH AND EDUCATIONAL PROGRAMS. FINANCIAL ACCOUNTS IN FOREIGN COUNTRIES FORM 990, PART V, LINE 4B FOREIGN COUNTRIES WHERE VANDERBILT HAS AN INTEREST IN, OR A SIGNATURE OR OTHER AUTHORITY OVER A FINANCIAL ACCOUNT (SUCH AS A BANK ACCOUNT, SECURITIES ACCOUNT, OR OTHER FINANCIAL ACCOUNT) BRAZIL, CANADA, CAYMAN ISLANDS, CHINA, ENGLAND, FRANCE, GERMANY, INDIA, INDONESIA, KOREA, LUXEMBOURG, MALAYSIA, TAIWAN - REPUBLIC OF CHINA, SCOTLAND, SPAIN. DONATIONS OF QUALIFIED VEHICLES FORM 990, PART V, LINE 7H In Fiscal Year 2011, Vanderbilt received a donation of a van from the inventory of a car dealer. According to the Form 1098-C instructions, Form 1098-C is only required to be filed for donations of qualified vehicles, and "property held by the donor primarily for sale to customers, such as inventory of a car dealer, is not a qualified vehicle". Since the donated vehicle is not considered a qualified vehicle, Vanderbilt did not file Form 1098-C for this donation, and, accordingly, has left line 7h blank. MEMBERS OF THE GOVERNING BODY FORM 990, PART VI, LINE 1A Per VANDERBILT UNIVERSITY Bylaws, the Executive Committee is composed of the following board members: Chairman of the Board, who shall serve as chair; the Vice-Chairmen of the Board; the Secretary of the Board; the Chancellor, who shall serve as Secretary; the chairman of the Audit Committee; the chairman of the Budget Committee; the chairman of the Compensation Committee; the chairman of the Governance and Board Affairs Committee; the chairman of the Investment Committee; the chairman of the Medical Center Affairs Committee; the chairman of any special University-wide fund raising campaign; the senior Young Alumni Trustee and the senior Alumni Trustee; and up to eight additional members of the Board. At least two of the members of the Executive Committee shall reside outside of Nashville. The Executive Committee shall be empowered to act upon all questions and transact business of every kind when the Board is not in session, and its action shall be final provided it shall be without authority to alter, modify, or rescind any affirmative action or policy taken or approved by the Board. All actions taken by the Committee shall be reported to the Board at its next regular meeting, or through the distribution of minutes of the Executive Committee meetings. FAMILY AND BUSINESS RELATIONSHIPS FORM 990, PART VI, LINE 2 -Trustees Jackson W. Moore and Rebecca W. Wilson have a family relationship. -Board Chairman Martha R. Ingram and Trustees John R. Ingram and Orrin H. Ingram have family and business relationships. -Trustees Nancy P. Mulford and H. Ross. Perot, Jr. have family and business relationships. -Board Chairman Martha R. Ingram, Trustees Dennis C. Bottorff, John R. Ingram, and Orrin H. Ingram have a business relationship. -Trustees Cecil D. Conlee and J. Hicks Lanier have a business relationship. -Trustees Joe L. Roby and Mark F. Dalton have a business relationship. -Trustees Joanne F. Hayes and J. Hicks Lanier have a business relationship. REVIEW OF FORM 990 FORM 990, PART VI, LINE 11B The Form 990 is prepared by Vanderbilt University Finance Staff and provided to Vanderbilt University's independent audit firm for review. After preparation and review by the independent audit firm, Vanderbilt University provides a draft copy of the Form 990 and all required schedules for review to all General Officers, which includes the Chancellor and Chief Financial Officer. Once this review process is complete, the Full Board of Trust and its Audit Committee are provided a hard copy of the draft Form 990 and all required schedules for review. The final Form 990 and all required schedules are made available to the full Board of Trust for review via Vanderbilt's secure Board of Trust website prior to the filing of the return. CONFLICT OF INTEREST POLICY FORM 990, PART VI, LINE 12C Vanderbilt University requires that for any faculty or staff member disclosing a potential conflict of interest, the conflict be reviewed by the individual's manager, as well as by the conflict of interest and commitment management office or Vanderbilt University Medical Center faculty affairs office, and the reported conflict be managed, reduced, or eliminated. The manager is required to respond that any recommended management plan has been implemented or that the reported conflict no longer exists. For those conflicts in which Vanderbilt may have an institutional interest, those in which human subject research is performed, or those deemed unmanageable, the university conflicts committee reviews and determines appropriate actions. The university conflicts committee members are appointed by the chancellor and are made up of a faculty member representing each of the university schools, the vice chancellor for administration, the director of technology transfer, the director of the institutional review board, the assistant vice chancellor of internal audit, and the heads of research for both the university and medical center. The university conflicts committee is chaired by the vice chancellor for university affairs and athletics, general counsel, and secretary of the university. The university conflicts committee reports bi-annually to the audit committee of the Board of Trust the matters brought before the committee and the resulting actions. Board of Trust members and senior executive management of the university also must complete annual conflict of interest disclosures and management plans are developed to manage, reduce, or eliminate any potential conflicts of interest. Trustees are notified of their plans and the plans are thoroughly discussed with them to ensure compliance. Those with disclosed potential conflict of interest are presented to the audit committee of the board of trust, along with their respective management action plans, where applicable. Management plans may include restrictions on members such as recusing themselves during deliberations and decisions in which a potential conflict may exist, with the minutes of the meeting reflecting their recusal. Additionally, all members of the Vanderbilt community are required to disclose potential conflicts as they arise throughout the year. The same processes noted above occur for these disclosures. Form 900, Part VI, Line 14 Written Document Retention and Destruction Policy Vanderbilt University has a written document retention and destruction policy, which will be presented to the Board of Trust for approval in April 2012. COMPENSATION DETERMINATION FORM 990, PART VI, LINE 15 To ensure that Vanderbilt is paying reasonable total compensation, is not violating the private inurement prohibition, which requires that none of the organization's income or assets unreasonably benefit any of its trustees, officers, or key employees, and is in compliance with the intermediate sanctions provisions with respect to the general officers, Vanderbilt's Board of Trust has designated a Compensation Committee made up of outside, independent, Board members to review and recommend to the Executive Committee of the Board of Trust the total compensation annually for the general officers. The committee utilizes an outside consulting firm to provide expert information regarding industry-wide compensation norms and compliance with all internal revenue service rules concerning executive compensation, including the Internal Revenue Code provision related to intermediate sanctions, deferred compensation, and private inurement. The Compensation Committee reviews the executive compensation philosophy and affirms that it is in line with the Board's expectation. The compensation of the general officers is disclosed in the annual Form 990, which is available to the public in accordance with regulations sections 301.6104(d)-1 through 3. Each year the total compensation review and recommendations are recorded in the minutes of the Compensation Committee meetings. The approval of the recommendations is recorded in the Executive Committee meetings. The full Board is informed annually of the total compensation of the general officers during private session. PUBLIC DISCLOSURE OF GOV DOCUMENTS, CONFLICT OF INT POLICY, AND FIN STMTS FORM 990, PART VI, LINE 19 -Vanderbilt University makes its governing documents available to the public through its Board of Trust website located at http://www.vanderbilt.edu/boardoftrust -Vanderbilt University makes its conflict of interest policy available to the public through its Compliance Program website located at http://www.vanderbilt.edu/compliance, and the Vanderbilt University Medical Center's Office of Compliance and Corporate Integrity website located at http://www.mc.vanderbilt.edu/compliance. -Vanderbilt University makes its financial statements available to the public through its website located at http://financialreport.vanderbilt.edu OFFICERS, DIRECTORS, TRUSTEES, KEY EMP, & HIGHEST COMPENSATED EMP TITLES FORM 990, PART VII, SECTION A - NICHOLAS S. ZEPPOS, JD - CHANCELLOR - JEFFREY R. BALSER, MD, PHD - VICE CHANCELLOR FOR HEALTH AFFAIRS; DEAN, SCHOOL OF MEDICINE; ASSOCIATE VICE CHANCELLOR FOR RESEARCH - JERRY G. FIFE, BS - VICE CHANCELLOR OF ADMINISTRATION - BETH A. FORTUNE, MA - VICE CHANCELLOR FOR PUBLIC AFFAIRS - RICHARD C. MCCARTY, MS, PHD- PROVOST AND VICE CHANCELLOR FOR ACADEMIC AFFAIRS, PROFESSOR OF PSYCHOLOGY - SUSIE S. STALCUP, BA - VICE CHANCELLOR FOR DEVELOPMENT AND ALUMNI RELATIONS - BRETT C. SWEET, MBA - VICE CHANCELLOR FOR FINANCE AND CHIEF FINANCIAL OFFICER - DAVID WILLIAMS, II, MA, MBA, JD, LLM - VICE CHANCELLOR FOR UNIVERSITY AFFAIRS AND ATHLETICS; GENERAL COUNSEL; AND SECRETARY OF THE UNIVERSITY - MATTHEW W. WRIGHT, MBA - VICE CHANCELLOR FOR INVESTMENTS - KEVIN B. CHURCHWELL, MD - CEO AND EXECUTIVE DIRECTOR, MONROE CARELL JR. CHILDREN'S HOSPITAL AT VANDERBILT, THROUGH NOVEMBER 2010 - CHARLES L. GREGORY, MA, MBA, MHA - ASSISTANT VICE CHANCELLOR AND CEO, MONROE CARELL, JR. CHILDREN'S HOSPITAL AT VANDERBILT; CHIEF BUSINESS DEVELOPMENT OFFICER - LARRY M. GOLDBERG, MHA - CEO, VANDERBILT UNIVERSITY HOSPITAL - JOHN F. MANNING, JR., PHD, MBA - ASSOCIATE VICE CHANCELLOR FOR HEALTH AFFAIRS AND CHIEF ADMINISTRATIVE OFFICER, VANDERBILT UNIVERSITY MEDICAL CENTER; SENIOR ASSOCIATE DEAN FOR OPERATIONS AND ADMINISTRATION, SCHOOL OF MEDICINE - CHARLES W. PINSON, MD, MBA - DEPUTY VICE CHANCELLOR FOR HEALTH AFFAIRS; SENIOR ASSOCIATE DEAN FOR CLINICAL AFFAIRS; CEO OF THE VANDERBILT HEALTH SYSTEM - ROBERT A. JOHNSON, MA - HEAD FOOTBALL COACH, THROUGH AUGUST 2010 - JOHN W. KLEKAMP, MD - ASSISTANT PROFESSOR OF CLINICAL ORTHOPAEDIC SURGERY - KEVIN E. STALLINGS, MS - HEAD MEN'S BASKETBALL COACH - PAUL A THOMAS, MD - ASSOCIATE PROFESSOR OF CLINICAL ORTHOPAEDIC SURGERY - RANDALL S. THOMAS, BA, JD, PHD - DIRECTOR, LAW & BUSINESS PROGRAM; DIRECTOR LLM PROGRAM; PROFESSOR OF MANAGEMENT - HARRY R. JACOBSON, MD - FORMER OFFICER (VICE CHANCELLOR FOR HEALTH AFFAIRS); TERMINATED STATUS AS AN OFFICER IN JUNE 2009 - BETTY L. PRICE, MBA, CPA - FORMER OFFICER (INTERIM VICE CHANCELLOR FOR FINANCE AND CFO); TERMINATED STATUS AS AN OFFICER IN AUGUST 2009 - MARTIN P. SANDLER, MD - FORMER KEY EMPLOYEE (ASSOCIATE VICE CHANCELLOR FOR HOSPITAL AFFAIRS); TERMINATED STATUS AS A KEY EMPLOYEE IN JUNE 2009; PROFESSOR OF RADIOLOGY AND RADIOLOGICAL SCIENCES THE FOLLOWING INDIVIDUALS DEVOTED TIME TO RELATED ORGANIZATIONS: FORM 990, PART VII Larry A. Goldberg, MHA - .4 HOURS Charles W. Pinson, MD, MBA - 3.1 HOURS Kevin B. Churchwell, MD - 2 HOURS Charles L. Gregory, MA, MBA, MHA - 1.5 HOURS Brett C. Sweet, MBA - 1.1 HOURS David Williams, II, MA, MBA, JD, LLM - 0.1 HOURS Matthew W. Wright, MBA - 0.1 HOURS INVESTMENT MANAGEMENT FEES FORM 990, PART IX, LINE 11F THE INVESTMENT MANAGEMENT FEES OF $7,927,724 REPORTED IN FORM 990, PART IX, LINE 11F REPRESENT FEES PAID DIRECTLY TO INVESTMENT MANAGERS (I.E., SEPARATELY MANAGED ACCOUNTS PROCESSED THROUGH THE UNIVERSITY'S ASSET CUSTODIAN). VANDERBILT ALSO INCURS INDIRECT INVESTMENT MANAGEMENT FEES, WHICH ARE DEDUCTED BY THE INVESTMENT FUND MANAGER PRIOR TO REPORTING THE INVESTMENT'S NET ASSET VALUE THROUGH THE UNIVERSITY'S ASSET CUSTODIAN AND THUS ARE NOT DIRECTLY INVOICED TO THE UNIVERSITY. AS A RESULT, VANDERBILT INCLUDES SUCH FEES AS PART OF THE NET UNREALIZED GAINS AND LOSSES ON INVESTMENTS, WHICH ARE REPORTED IN FORM 990, PART XI, LINE 5. THIS METHODOLOGY IS CONSISTENT WITH VANDERBILT'S REPORTING OF INVESTMENT MANAGEMENT FEES IN ITS AUDITED FINANCIAL STATEMENTS. RECONCILIATION OF NET ASSETS FORM 990, PART XI, LINE 5 $602,184,437 INCLUDES: $9,294,836 ADJUSTMENT RESULTING FROM DECONSOLIDATION OF ORGANIZATIONS HAVING DIFFERENT FEIN'S $382,892,834 NET UNREALIZED GAINS ON INVESTMENTS $10,748,104 INVESTMENT EXPENSES $199,248,663 NET ASSETS RELATED TO NON-CONTROLLING INTERESTS FULL ISSUER NAME FORM 990, SCHEDULE K, PART I, COLUMN A, ALL ROWS THE HEALTH AND EDUCATIONAL FACILITIES BOARD OF METROPOLITAN GOVERNMENT OF NASHVILLE AND DAVIDSON COUNTY, TN. DESCRIPTION OF PURPOSE FORM 990, SCHEDULE K, PART I, COLUMN F 1ST GROUP (SERIES 2009A&B, 2008A&B, 2005A&B, & 2003A) ROW A- TO REFUND TAX-EXEMPT COMMERCIAL PAPER (ISSUED ON JUNE 28, 2007) USED TO FINANCE VARIOUS CAPITAL PROJECTS; REFUND SERIES 2005 B-1 & B-2 BONDS (BOTH ISSUED ON JANUARY 20, 2005); FINANCE VARIOUS CAPITAL IMPROVEMENTS; TO PAY FOR COSTS ASSOCIATED WITH ISSUANCE OF BONDS. ROW B- TO REFUND TAX-EXEMPT COMMERCIAL PAPER (ISSUED ON JUNE 28, 2007) USED TO FINANCE CAPITAL PROJECTS OF THE UNIVERSITY AND HOSPITALS; TO PAY FOR COSTS ASSOCIATED WITH ISSUANCE OF BONDS. ROW C- TO PAY COSTS OF UNIVERSITY PROJECTS AND HOSPITAL PROJECTS; REFUND SERIES 2000 C BONDS (ISSUED ON MAY 16, 2000); REFUND SERIES 2002 B BONDS (ISSUED ON JUNE 20, 2002); REFUND SERIES 1985 A BONDS (ISSUED ON JUNE 23, 2004); TO PAY FOR COSTS ASSOCIATED WITH ISSUANCE OF BONDS; TO PAY FOR COSTS ASSOCIATED WITH CREDIT ENHANCEMENTS. ROW D- TO REFUND SERIES 1993 A BONDS (ISSUED ON SEPTEMBER 14, 2003); TO PAY FOR COSTS ASSOCIATED WITH ISSUANCE OF BONDS. 2ND GROUP (CP PROGRAM 5, SERIES 2005 A1 & A2, & SERIES 2004A,B,C,D) ROW A- TAX EXEMPT COMMERCIAL PAPER ISSUED TO REFUND SERIES 2005 B-3 BONDS (ISSUED ON JANUARY 20, 2005) AND TO REFUND TAX-EXEMPT COMMERCIAL PAPER (ISSUED JUNE 28,2007) USED TO FINANCE VARIOUS CAPITAL PROJECTS AND IMPROVEMENTS. ROW B- SERIES 2005 A-1 & A-2 BONDS ISSUED AS A PRIVATE PLACEMENT TO FUND PURCHASE OF MEDICAL TRANSPORT HELICOPTERS. ROW C- SERIES 2004 A THROUGH D BONDS ISSUED AS A PRIVATE PLACEMENT TO FUND HOSPITAL EQUIPMENT. TOTAL PROCEEDS OF ISSUE SCHEDULE K, PART III, LINE 3 DIFFERENCE BETWEEN PART I, COLUMN (E) AND LINE 3 IS INVESTMENT EARNINGS. PRIVATE BUSINESS USE SCHEDULE K, PART III VANDERBILT UNIVERSITY IS REPORTING PRIVATE BUSINESS USE PERCENTAGES ON A NET BASIS. REPORTING ON A NET BASIS MEANS THAT PRIVATE BUSINESS USE HAS BEEN ALLOCATED TO THE EQUITY PORTION OF ANY DEBT-FINANCED BUILDINGS AND EQUIPMENT WHERE PRIVATE BUSINESS USE HAS OCCURRED. IN VANDERBILT'S CASE, EQUITY HAS SUBSTANTIALLY EXCEEDED RELATIVELY MINOR PRIVATE BUSINESS USE, RESULTING IN ZERO REPORTED AMOUNTS ON A NET BASIS. 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HALLENDALE BEACH BLVD. PH-A, HALLENDALE, FL 33009 ATHENA REAL ESTATE PARTNERS II-B L.P. 42-1667787 712 FIFTH AVE., 8TH FLOOR, NEW YORK, NY 10019 DORE CAPITAL, L.P. 26-4337679 2100 WEST END, STE. 1000, NASHVILLE, TN 37203 DORE CAPITAL REAL ESTATE, L.P. 26-4581574 2100 WEST END, STE. 1000, NASHVILLE, TN 37203 AMBULATORY SURGERY CENTER OF COOL SPRINGS, LLC 62-1809227 40 BURTON HILLS BLVD., STE. 500, NASHVILLE, TN 37215 NEW LIGHT IMAGING, LLC 14-1895171 4525 HARDING ROAD, STE. 102, NASHVILLE, TN 37205 ONE HUNDRED OAKS IMAGING, LLC 26-3762022 4525 HARDING ROAD, STE. 102, NASHVILLE, TN 37205 SPRINGFIELD VIP REALTY, LLC 26-1237360 3319 WEST END, STE. 700, NASHVILLE, TN 37203 VANDERBILT GATEWAY CANCER CENTER, G.P. 20-3844791 3319 WEST END, STE. 700, NASHVILLE, TN 37203 VANDERBILT IMAGING SERVICES, LLC (VIS) 62-1787098 1909 ACKLEN AVE., NASHVILLE, TN 37212 VANDERBILT ST. THOMAS IMAGING, G.P. 20-4803261 4525 HARDING ROAD, STE. 102, NASHVILLE, TN 37205 VANDERBILT STALLWORTH REHABILITATION HOSPITAL, L.P. 63-1077470 3660 GRANDVIEW PARKWAY, STE. 200, BIRMINGHAM, AL 35243 VIP MIDSOUTH, LLC 62-1654580 3319 WEST END, STE. 700, NASHVILLE, TN 37203 WILLIAMSON IMAGING, LLC 62-1855535 2009 MALLORY LANE, STE. 150, FRANKLIN, TN 37067 THIRD EYE CAPITAL CREDIT OPP FUND - INSIGHT FUND 98-0691142 19 RUE DE BITBOURG, L-1273, LUXEMBOURG, FC INVESTEC INSTITUTIONAL PAN AFRICAN FUND LLC 26-2188279 666 5TH AVENUE, 15TH FLOOR, NEW YORK, NY 10103 FULL NAME AND ADDRESS OF RELATED ORGANIZATIONS FORM 990, SCHEDULE R, PART IV VANDERBILT LEGENDS CLUB, INC. 1500 LEGENDS CLUB LANE, FRANKLIN, TN 37069 ZTIPS, INC. (ZTIPS) 2100 WEST END, STE. 750, NASHVILLE, TN 37203 COMMODORE SCOTTISH PATRON II LP 50 LOTHIAN ROAD, FESTIVAL SQUARE, EDINBURGH, SCOTLAND PROMETHEAN II OFFSHORE, LP 90 FORT STREET, BOX 32021, SMB, GRAND CAYMAN, CAYMAN ISLANDS CALLAO PARTNERS, LTD. APPLEBY TRUST (CAYMAN) LTD. CLIFTON HOUSE, 75 FORT STREET, P.O. BOX 1350, GEORGE TOWN, CAYMAN ISLANDS KY1-1108 EMERGENT PRO ALIA FUND, SUB FUND EMERGENT AFRICAN LAND FUND 20, BOULEVARD EMMANUEL SERVAIS, L-2535, LUXEMBOURG VISION EMERGING ASSET-BACKED FUND IV, SPC SEGREGATED PORT 5 WALKER HOUSE, P.O. BOX 908, MARY STREET, GEORGE TOWN, CAYMAN ISLANDS KY1-9002 HEALTH 1-2-3, INC. 7100 COMMERCE WAY, STE. 285, BRENTWOOD, TN 37027 VANDERBILT INTEGRATED PROVIDERS (VIP) 3319 WEST END, STE. 700, NASHVILLE, TN 37203 AMOUNT INVOLVED FORM 990, SCHEDULE R, PART V, COLUMN (C) THE AMOUNTS REPORTED ARE DERIVED FROM THE BOOKS AND RECORDS OF VANDERBILT UNIVERSITY, WHICH ARE MAINTAINED ON AN ACCRUAL BASIS IN ACCORDANCE WITH U.S. GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. VALUATION OF THE AMOUNTS REPORTED IN SCHEDULE R, PART V, COLUMN (C) IS CONSISTENT WITH THE VALUATION REFLECTED IN THE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS.