2012-10-12T14:58:16-05:00 2012-05-31 410746749 CLIFTONLARSONALLEN LLP 220 SOUTH SIXTH STREET SUITE 300 MINNEAPOLIS MN 55402 990 2011-06-01 410694721 AUGSBURG COLLEGE AUGS 6123301333 2211 RIVERSIDE AVENUE MINNEAPOLIS MN 554541351 TAMMY MCGEE 6123301333 2012-10-10 1 XIAOYAN LUO P01305207 6123764500 2011 2016-02-24 21:20:13Z PAUL PRIBBENOW 2211 RIVERSIDE AVENUE MINNEAPOLIS MN 554541351 105623956 0 X WWW.AUGSBURG.EDU X 1872 MN A PRIVATE LUTHERAN 4-YEAR COLLEGE LOCATED IN DOWNTOWN MINNEAPOLIS. 33 32 1997 32 121858 -35939 9612717 11798813 88782109 90153963 476628 412456 1426718 1547547 100298172 103912779 24907158 25886238 0 0 47374760 47736023 91987 81199 1567932 25947919 24793117 98321824 98496577 1976348 5416202 128040620 127453234 54795872 52355057 73244748 75098177 X AUGSBURG COLLEGE EDUCATES STUDENTS TO BE INFORMED CITIZENS, THOUGHTFUL STEWARDS, CRITICAL THINKERS, AND RESPONSIBLE LEADERS.THE AUGSBURG EXPERIENCE IS SUPPORTED BY AN ENGAGED COMMUNITY THAT IS COMMITTED TO INTENTIONAL DIVERSITY IN ITS LIFE AND WORK. AN AUGSBURG EDUCATION IS DEFINED BY EXCELLENCE IN THE LIBERAL ARTS AND PROFESSIONAL STUDIES, GUIDED BY THE FAITH AND VALUES OF THE LUTHERAN CHURCH, AND SHAPED BY ITS URBAN AND GLOBAL SETTINGS. 0 0 57213415 25886238 80808264 POSTSECONDARY EDUCATION SET IN A VIBRANT NEIGHBORHOOD AT THE HEART OF THE TWIN CITIES, AUGSBURG COLLEGE OFFERS MORE THAN 50 UNDERGRADUATE MAJORS AND NINE GRADUATE DEGREES TO MORE THAN 4,000 STUDENTS OF DIVERSE BACKGROUNDS. THE TRADEMARK OF AN AUGSBURG EDUCATION IS ITS EMPHASIS UPON DIRECT, PERSONAL EXPERIENCE AND ITS DEEP COMMITMENTS TO EDUCATING STUDENTS AT THE INTERSECTIONS OF FAITH, LEARNING, AND SERVICE. AUGSBURG IS ONE OF SIX COLLEGES AND UNIVERSITIES TO BE AWARDED THE PRESIDENTIAL AWARD IN THE 2010 PRESIDENT'S HIGHER EDUCATION COMMUNITY SERVICE HONOR ROLL FROM THE CORPORATION FOR NATIONAL AND COMMUNITY SERVICE. RECOGNIZED AS ONE OF THE COUNTRY'S LEADING INSTITUTIONS FOR COMMUNITY ENGAGEMENT, AUGSBURG ALSO RANKS AMONG THE TOP PRODUCERS OF NATIONAL AND INTERNATIONAL STUDENT FELLOWSHIP AWARDEES. WITH THIS PASSION FOR ACCESS AND EXCELLENCE IN THE LIBERAL ARTS AND PROFESSIONAL STUDIES, AUGSBURG IS GUIDED BY THE FAITH AND VALUES OF THE LUTHERAN CHURCH AND EDUCATES STUDENTS TO BE INFORMED CITIZENS, THOUGHTFUL STEWARDS, CRITICAL THINKERS, AND RESPONSIBLE LEADERS. 22199912 0 1651718 ACADEMIC SUPPORT AND STUDENT SERVICESAUGSBURG COLLEGE PROVIDES INNOVATIVE PROGRAMMING AND SUPPORT SERVICES TO A DIVERSE COMMUNITY OF MORE THAN 4,000 UNDERGRADUATE AND GRADUATE LEARNERS. THE GAGE CENTER FOR STUDENT SUCCESS PROVIDES ADVISING, TUTORING, AND OTHER ACADEMIC SUPPORT SERVICES TO ALL UNDERGRADUATE AND GRADUATE STUDENTS. THE GAGE CENTER INCLUDES CLASS ACADEMIC SPECIALISTS WHO PROVIDE INDIVIDUALIZED ACCOMMODATIONS FOR STUDENTS WITH COGNITIVE, LEARNING, AND PHYSICAL DISABILITIES. THE GAGE CENTER ALSO OFFERS SUPPORT PROGRAMS FOR FIRST-GENERATION AND LOW-INCOME STUDENTS. ADDITIONALLY, AUGSBURG'S STEPUP PROGRAM, ONE OF THE NATION'S ONLY COLLEGIATE RECOVERY COMMUNITIES, SUPPORTS MORE THAN 75 STUDENTS EACH YEAR WITH COUNSELING, SUBSTANCE-FREE HOUSING, AND LEADERSHIP DEVELOPMENT. FINALLY, THROUGH THE INTEGRATED SERVICES OF THE ENROLLMENT CENTER, STUDENTS AND FAMILIES CAN RECEIVE COUNSELING AND SUPPORT WITH TUITION PAYMENT PLANS, SCHOLARSHIPS, FINANCIAL AID, AND REGISTRATION. 8740065 0 9039123 AUXILIARY SERVICESAUGSBURG COLLEGE'S RESIDENTIAL LIFE PROGRAM SEEKS TO DEVELOP RESIDENTS WHO ARE BOTH STUDENTS AND NEIGHBORS IN AN URBAN COLLEGIATE SETTING WHILE BEING GROUNDED IN LIBERAL ARTS, INTENTIONAL DIVERSITY, AND FAITH. THE COLLEGE HAS FIVE RESIDENCE HALLS AND THREE DINING VENUES. DURING 2011-12, AUGSBURG WAS HOME TO 1,066 STUDENTS WITH 810 STUDENTS PARTICIPATING IN THE RESIDENCE STUDENT MEAL PLANS. A'VIANDS DINING SERVICE STRIVES TO PROVIDE A WIDE VARIETY OF MEALS THAT MEET NUTRITIONAL AND CULTURAL REQUIREMENTS AND EDUCATE STUDENTS ABOUT NUTRITION AND SUSTAINABLE FOOD PRACTICES. A CAMPUS BOOKSTORE SERVES STUDENTS, FACULTY, STAFF, AND THE GENERAL PUBLIC, OFFERING A VARIETY OF FAIR TRADE GOODS. 88153392 1 1 0 0 0 0 0 0 1 1 1 1 0 0 1 1 1 0 1 1 1 0 1 1 1 0 0 0 1 1 1 0 0 0 0 0 1 0 0 0 1 1 0 0 0 0 1 1 0 0 0 1 X 294 0 1997 1 1 1 1 MX GT ES NU WA 0 0 0 1 1 0 0 0 0 X 33 32 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 MN X TAMMY MCGEE 6123301027 2211 RIVERSIDE AVENUE MINNEAPOLIS MN 554541351 PAUL PRIBBENOW 40.00 X X 240789 0 36472 MICHAEL GOOD 2.00 X X 0 0 0 JODI HARPSTEAD 2.00 X X 0 0 0 DAN ANDERSON 2.00 X X 0 0 0 PAUL MUELLER 2.00 X X 0 0 0 ANDRA ADOLFSON 2.00 X 0 0 0 ANN ASHTON-PIPER 2.00 X 0 0 0 KAREN DURANT 2.00 X 0 0 0 MATT ENTENZA 2.00 X 0 0 0 MARK EUSTIS 2.00 X 0 0 0 ANTHONY GENIA 2.00 X 0 0 0 ALEXANDER GONZALEZ 2.00 X 0 0 0 NORMAN HAGFORS 2.00 X 0 0 0 RICHARD HARTNACK 2.00 X 0 0 0 ROLF JACOBSON 2.00 X 0 0 0 ERIC JOLLY 2.00 X 0 0 0 CYNTHIA JONES 2.00 X 0 0 0 DEAN KENNEDY 2.00 X 0 0 0 TOBY PIPER LABELLE 2.00 X 0 0 0 LAJUNE THOMAS LANGE 2.00 X 0 0 0 ANDRE LEWIS 2.00 X 0 0 0 JENNIFER MARTIN 2.00 X 0 0 0 MARIE MCNEFF 2.00 X 0 0 0 JEFFREY NODLAND 2.00 X 0 0 0 LISA NOVOTNY 2.00 X 0 0 0 PETER ROGNESS 2.00 X 0 0 0 PHILIP STYRLUND 2.00 X 0 0 0 GARY TANGWALL 2.00 X 0 0 0 DAVID TIEDE 2.00 X 0 0 0 HAROLD USGAARD 2.00 X 0 0 0 NORMAN WAHL 2.00 X 0 0 0 BONNIE WALLACE 2.00 X 0 0 0 MARK WILHELM 2.00 X 0 0 0 TAMMY MCGEE 40.00 X 157809 0 8805 LEIF ANDERSON 40.00 X 120653 0 14240 JULIE EDSTROM 40.00 X 123581 0 14088 BARBARA FARLEY 40.00 X 154855 0 17275 ANN GARVEY 40.00 X 103306 0 12827 REBECCA JOHN 40.00 X 118988 0 8536 CHRISTINE SZAJ 40.00 X 167844 0 9261 JEREMY WELLS 40.00 X 154340 0 20383 MARK ENGEBRETSON 40.00 X 124783 0 2800 CASSIDY TITCOMB 40.00 X 116139 0 2281 THOMAS MORGAN 40.00 X 115071 0 18032 ANDREA TURNER 40.00 X 108981 0 5219 AMY GORT 40.00 X 106698 0 18929 1913837 0 189148 20 0 1 0 A'VIANDS LLC 1751 W COUNTY ROAD B SUITE 300 ROSEVILLE MN 55113 FOOD SERVICE 2567404 CONTINUUM CONSTRUCTION INC 8035 COOPER AVENUE INVER GROVE HEIGHTS MN 55076 CONSTRUCTION 517927 MCGOUGH CONSTRUCTION INC 2737 FAIRVIEW AVENUE N ST PAUL MN 55113 CONSTRUCTION 503798 BWBR ARCHITECTS INC 380 SAINT PETER STREET SUITE 600 ST PAUL MN 55102 ARCHITECTURAL DESIGN 464441 METROPOLITAN MECHANICAL CONTRACTOR 7450 FLYING CLOUD DRIVE EDEN PRAIRIE MN 55344 CONSTRUCTION 406241 26 3775 3185719 8609319 264219 11798813 TUITION AND FEES 611710 80808264 80808264 AUXILIARY ENTERPRISES 711210 9039123 9039123 EDUCATIONAL ACTIVITIES 611710 306576 306576 90153963 500092 3222 496870 807608 796690 10918 10918 10918 690945 710835 67746 -19890 -67746 -87636 -87636 219675 3775 135906 83769 83769 MISCELLANEOUS REVENUE 900099 1452860 1345142 107718 1452860 103912779 91499105 121858 493003 24791585 24791585 1094653 1094653 1455501 424503 824053 206945 38209001 33886780 3526519 795702 2268562 2024738 190342 53482 3275234 2844616 332130 98488 2527725 2191087 260871 75767 178327 83910 94417 81199 81199 67530 67530 3942109 3695388 206385 40336 692246 352786 339460 675295 721655 -51985 5625 1336803 962272 371464 3067 5258581 4551092 707489 2875851 2663041 152357 60453 1438301 1155896 282405 2249304 1786231 463073 4097597 3348453 748797 347 34682 34604 78 DUES AND FEES 921818 777992 127650 16176 REFERENCE MATERIALS 585042 543061 39555 2426 BAD DEBT EXPENSE 298893 151856 30270 116767 EMPLOYEE TRAINING/RECRT 86583 18033 58300 10250 54155 49160 4093 902 98496577 88153392 8775253 1567932 6268140 8144042 18865 926890 3444785 3594352 3388815 2607311 0 271128 5841651 5835846 64585 37523 535756 895781 117229796 49312555 68758597 67917241 25257787 21696292 9821457 11937263 4640182 3589565 128040620 127453234 9487878 9393698 2072822 2237439 34695000 32900000 98252 371373 1755000 1150000 6686920 6302547 54795872 52355057 X 29769566 32819493 16304203 14350038 27170979 27928646 73244748 75098177 128040620 127453234 X 5416202 -3562773 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 33268035 741606 -3039472 1084164 137110 29199 29778094 28641054 1307888 4286424 1009119 91473 49685 33268035 26221137 426000 3754289 1029258 731114 28641054 33692462 577905 -6911549 998887 138794 26221137 0.00000 0.86930 0.13070 1 0 3530439 3530439 68737043 26186188 42550855 32711447 16870336 15841111 10298394 6256031 4042363 1952473 1952473 67917241 CSV LIFE INSURANCE 205687 F REAL ESTATE PROPERTY 39881 F ALTERNATIVE INVESTMENTS 8864847 F SECURITIES HELD FOR RESALE 2826848 F 11937263 ANNUITIES PAYABLE 819225 PERKINS LOAN GRANTS 4968728 PV CAPITAL LEASE OBLIGATIONS 514594 6302547 103912779 98496577 5416202 -3580842 18069 -3562773 1853429 75396520 -3580842 950665 -2630177 78026697 67530 25818552 25886082 103912779 73543091 1000282 1000282 72542809 67530 25886238 25953768 98496577 PART IV, LINE 2B: FUNDS HELD IN CUSTODY FOR OTHERS RELATES TO AGENCY FUNDS THAT AUGSBURG COLLEGE HELPS TO ADMINISTER. THERE ARE APPROXIMATELY 20 AGENCIES THAT AUGSBURG COLLEGE CURRENTLY WORKS WITH IN THIS TYPE OF RELATIONSHIP. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE COLLEGE ENDOWMENT CONSISTS OF APPROXIMATELY 350 INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES BASED ON DONOR RESTRICTIONS AND BOARD DESIGNATIONS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE COLLEGE HAS RECEIVED A DETERMINATION LETTER FROM THE INTERNAL REVENUE SERVICE INDICATING IT IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND IS SUBJECT TO FEDERAL AND STATE INCOME TAX ONLY ON NET UNRELATED BUSINESS INCOME. THE COLLEGE ENGAGES IN ACTIVITIES THAT ARE CONSIDERED UNRELATED TO ITS EXEMPT PURPOSE. THESE ACTIVITIES ARE SUBJECT TO FEDERAL AND STATE INCOME TAXES. SUCH ACTIVITIES GENERATED AN INCOME POSITION IN FISCAL 2012 AND 2011. FURTHER, THE COLLEGE HAS A NET OPERATING LOSS CARRYFORWARD AVAILABLE TO OFFSET ANY TAXABLE INCOME FROM THESE UNRELATED ACTIVITIES. ACCORDINGLY, NO FEDERAL OR STATE TAX PROVISION IS REQUIRED. THE NET OPERATING LOSSES BEGIN TO EXPIRE IN 2019. THE COLLEGE ADOPTED ACCOUNTING STANDARDS FOR CONTINGENCIES IN EVALUATING UNCERTAIN TAX POSITIONS AND FILES AS A TAX EXEMPT ORGANIZATION. NO ADJUSTMENTS TO THE FINANCIAL STATEMENTS WERE REQUIRED AS A RESULT OF THE IMPLEMENTATION OF THIS STANDARD. THE COLLEGE HAS NO CURRENT OBLIGATION FOR UNRELATED BUSINESS INCOME TAX. THE COLLEGE TAX RETURNS ARE SUBJECT TO REVIEW AND EXAMINATION BY FEDERAL AUTHORITIES. SHOULD THAT STATUS BE CHALLENGED IN THE FUTURE, THE TAX RETURNS FOR THE YEARS 2009 THROUGH 2011 ARE SUBJECT TO REVIEW BY FEDERAL AUTHORITIES. PART XI, LINE 8 - OTHER ADJUSTMENTS: ADJUSTMENT OF ACTUARIAL LIABILITY 61,905. CHANGE IN ALLOWANCE FOR UNCOLLECTIBLE PLEDGES -43,836. TOTAL TO SCHEDULE D, PART XI, LINE 8: 18,069. PART XII, LINE 2D - OTHER ADJUSTMENTS: ADJUSTMENT OF ACTUARIAL LIABILITY 61,905. CHANGE IN ALLOWANCE FOR UNCOLLECTIBLE PLEDGES -43,836. SPECIAL EVENT EXPENSES 135,906. RENTAL EXPENSES 796,690. PART XII, LINE 4B - OTHER ADJUSTMENTS: SCHOLARSHIPS AND GRANTS 25,886,238. LOSS ON DISPOSAL OF FIXED ASSETS -67,686. PART XIII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 135,906. RENTAL EXPENSES 796,690. LOSS ON DISPOSAL OF FIXED ASSETS 67,686. PART XIII, LINE 4B - OTHER ADJUSTMENTS: SCHOLARSHIPS AND GRANTS 25,886,238. 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 STATEMENT IS PUBLISHED AT VARIOUS TIMES THROUGHOUT THE YEAR IN REGIONAL NEWSPAPERS ANNOUNCING REGISTRATION DATES AND PROGRAMS OFFERED. THE COLLEGE FOLLOWS A NONDISCRIMINATORY POLICY REGARDING ALL PROGRAMS. ENROLLMENT OF STUDENTS IS WITHOUT DISCRIMINATION AS TO RACE, RELIGION, SEX, COLOR OR NATIONAL ORIGIN. RECRUITMENT PROCEDURES ARE DESIGNED AND CARRIED OUT TO REACH STUDENTS OF ALL RACIAL SEGMENTS IN THE GEOGRAPHICAL AREA SERVED. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE COLLEGE RECEIVES SUPPORT FROM THE STATE OF MINNESOTA AND FROM THE UNITED STATES GOVERNMENT IN CONNECTION WITH STUDENT AID PROGRAMS SUCH AS FEDERAL AND MINNESOTA COLLEGE WORK-STUDY PROGRAMS, PELL GRANTS, SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS AND PERKINS LOAN FUNDS. THE COLLEGE ALSO RECEIVES VARIOUS OTHER FEDERAL AND STATE EDUCATIONAL AND RESEARCH GRANTS OR SUBSIDIES. 1 CENTRAL AMERICA AND THE CARIBBEAN 3 8 PROGRAM SERVICES INSTRUCTION 850000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INSTRUCTION 28596 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES INSTRUCTION 31118 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES INSTRUCTION 20270 NORTH AMERICA 1 6 PROGRAM SERVICES INSTRUCTION 362708 SUB-SAHARAN AFRICA 1 8 PROGRAM SERVICES INSTRUCTION 470315 NORTH AMERICA 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 8895 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 460 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 2000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDENT SERVICES 6645 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES GENERAL ADMINSTRATION 19667 5 22 0 0 5 22 1772362 28312 1800674 TUITION ASSISTANCE AND SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN - 1 27497 OTHER CHARGES 0 N/A N/A TUITION ASSISTANCE AND SCHOLARSHIPS EAST ASIA AND THE PACIFIC - 26 420833 OTHER CHARGES 0 N/A N/A TUITION ASSISTANCE AND SCHOLARSHIPS EUROPE (INCLUDING ICELAND & GREENLAND) - 39 302629 OTHER CHARGES 0 N/A N/A TUITION ASSISTANCE AND SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA - 6 115724 OTHER CHARGES 0 N/A N/A TUITION ASSISTANCE AND SCHOLARSHIPS RUSSIA & THE NEWLY INDEPENDENT STATES - 2 18678 OTHER CHARGES 0 N/A N/A TUITION ASSISTANCE AND SCHOLARSHIPS SOUTH AMERICA - ARGENTINA, BOLIVIA, 2 34812 OTHER CHARGES 0 N/A N/A TUITION ASSISTANCE AND SCHOLARSHIPS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 6 93061 OTHER CHARGES 0 N/A N/A TUITION ASSISTANCE AND SCHOLARSHIPS SUB-SAHARAN AFRICA - ANGOLA, 4 81419 OTHER CHARGES 0 N/A N/A 1 0 1 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: THE MAJORITY OF EXPENDITURES RELATE TO WIRE TRANSFERS MADE TO FOREIGN OFFICES TO COVER PAYMENTS MADE DIRECTLY OUT OF THESE OFFICES FOR EXPENDITURES INCURRED FOR INSTRUCTION OF STUDENTS WHILE ATTENDING COURSES AT THESE LOCATIONS. REMAINING EXPENDITURES RELATE TO PAYMENTS MADE DIRECTLY TO VENDORS FOR SERVICES PROVIDED TO THE COLLEGE BY FOREIGN VENDORS. ALL REQUESTS FOR PAYMENTS/WIRES ARE REVIEWED AND APPROVED BY APPROPRIATE SUPERVISORS OF THE RELATED DEPARTMENT. AUGSBURG COLLEGE OFFERS SCHOLARSHIPS AND GRANTS TO QUALIFIED STUDENTS TO HELP REDUCE THEIR OUT-OF-POCKET TUITION COSTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE OF THIS FORM MUST MEET SPECIFIC CRITERIA SUCH AS ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS WHETHER PUT IN PLACE BY THE COLLEGE OR BY DONORS. METHOD USED TO ACCCOUNT FOR EXPENDITURES: SCHEDULE F, PART I, LINE 3: ACCRUAL X X X X X X X 1 JOHNSON GROSSNICKLE & ASSOCIATES INC 29 SOUTH PARK BLVD GREENWOOD IN 46143 CAMPAIGN COUNSEL 0 0 87199 0 87199 MN STEP-UP-GALA 144034 3775 140259 78819 6007 19614 0 5757 STEP-UP GOLF TOURNAMENT 47050 0 47050 0 0 10043 0 0 3134 1 32366 0 32366 250 0 5170 4182 0 2930 223450 3775 219675 250 78819 21220 23796 11821 135906 83769 1 TUITION ASSISTANCE AND SCHOLARSHIPS 2216 24791585 0 N/A N/A PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: AUGSBURG COLLEGE OFFERS SCHOLARSHIPS AND GRANTS TO QUALIFIED STUDENTS TO HELP REDUCE THEIR OUT-OF-POCKET TUITION COSTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE OF THIS FORM MUST MEET SPECIFIC CRITERIA SUCH AS ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS WHETHER PUT IN PLACE BY THE COLLEGE OR BY DONORS OF RESTRICTED FUNDS. X 1 1 X X 0 0 0 0 0 0 0 0 0 PAUL PRIBBENOW 236809 0 0 0 3980 0 24844 0 11628 0 277261 0 0 0 TAMMY MCGEE 157200 0 0 0 609 0 7905 0 900 0 166614 0 0 0 BARBARA FARLEY 153609 0 0 0 1246 0 15856 0 1419 0 172130 0 0 0 CHRISTINE SZAJ 166893 0 0 0 951 0 8726 0 535 0 177105 0 0 0 JEREMY WELLS 145801 0 0 0 8539 0 9881 0 10502 0 174723 0 0 0 PART I, LINE 1A PAUL PRIBBENOW - RESIDENCE FOR PERSONAL USE - NO AMOUNT WAS REPORTED AS TAXABLE INCOME - THE HOUSE IS OWNED BY THE COLLEGE AND IS USED TO HOST COLLEGE FUNCTIONS MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 60416HEM2 2005-04-13 6938389 PAY OFF SERIES 4 F-1 AND 4-W BONDS 0 0 0 MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 60416HHR8 2006-07-26 15644110 CONSTRUCTION OF OREN GATEWAY CENTER 0 0 0 MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 60416HHS6 2006-07-26 5000000 MULTIPLE FACILITIES 0 0 0 MINNESOTA HIGHER EDUCATION FACILITIES AUTHORITY 410988525 60416HUF9 2010-10-13 8936602 REFINANCE SERIES 4-Y BONDS 0 0 0 6938389 700303 11607 6125437 134952 2008 0 1 1 1 1325000 15644110 1040750 56532 267315 14336045 2008 0 0 1 1 1200000 5000000 99000 26500 4874500 2008 0 0 1 1 870000 8936602 837609 8294681 172187 8294681 1 1 1 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 1 0 0 0 0 0 1 0 0 0 0 0 1 1 0 0 0 0 1 0 0 0 0 0 WILLIAM FRAME LOAN AGAINST LIFE INSURANCE POLICY X 194965 271128 0 1 1 271128 US BANCORP RICHARD HARTNACK, BOARD MEMBER; VICE CHR/HEAD OF CONSUMER BANKING U.S. BANC 379766 THE COLLEGE USES U.S. BANCORP FOR MULTIPLE PURPOSES. U.S. BANCORP WAS THE FORMER HSA PROVIDER UNTIL DECEMBER, 2011. THE COLLEGE CURRENTLY MAKES PAYMENTS TO U.S.BANCORP FOR LEASE PAYMENTS ON THE PRESIDENT'S VEHICLE AND ALSO FOR THE OUTSTANDING HENNEPIN COUNTY LOAN OBLIGATION FOR THE ICE ARENA. 0 X 28 168282 STOCK MARKET QUOTES X 11 34971 APPRAISAL VALUE X SILENT AUCTION ITEMS 206 60745 ESTIMATED FMV X GIFTS IN KIND 3 221 ESTIMATED FMV 1 0 1 1 METHOD FOR DETERMINING NUMBER OF CONTRIBUTORS: PART I, COLUMN (B): THE NUMBER OF ITEMS CONTRIBUTED WAS THE BASIS FOR THE ESTIMATED NUMBER OF CONTRIBUTORS EXCEPT IN THE CASE OF SECURITIES WHICH REPRESENTS THE NUMBER OF INDIVIDUALS THAT DONATED SECURITIES. THIRD PARTY USE: PART I, LINE 32B: THE COLLEGE USED A REALTOR FOR THE SALE OF PROPERTY. FORM 990, PART VI, SECTION A, LINE 1 THE EXECUTIVE COMMITTEE CONSISTS OF THE CHAIR AND OTHER OFFICERS, PLUS AT LEAST FOUR OTHER MEMBERS ELECTED BY THE BOARD OF REGENTS. THE EXECUTIVE COMMITTEE SHALL HAVE THE AUTHORITY OF THE BOARD OF REGENTS IN THE MANAGEMENT OF THE BUSINESS OF THIS CORPORATION IN THE INTERVAL BETWEEN MEETINGS OF THE BOARD OF REGENTS, AND THE EXECUTIVE COMMITTEE SHALL AT ALL TIMES BE SUBJECT TO THE CONTROL AND DIRECTION OF THE BOARD OF REGENTS. FORM 990, PART VI, SECTION B, LINE 11 THE DRAFT VERSION OF THE FORM 990 IS PROVIDED TO THE FINANCE COMMITTEE FOR THEIR REVIEW AND APPROVAL FOR SUBMISSION. A COPY OF THE FORM 990 IS PROVIDED TO THE BOARD OF REGENTS PRIOR TO SUBMISSION. FORM 990, PART VI, SECTION B, LINE 12C AUGSBURG COLLEGE HAS A CONFLICT OF INTEREST POLICY THAT COVERS THE BOARD OF REGENTS AND ALSO A CONFLICT OF INTEREST POLICY INCLUDED IN THE EMPLOYEE HANDBOOK. THE ENTIRE BOARD OF REGENTS IS REQUIRED TO ANNUALLY SUBMIT A SIGNED STATEMENT OF COMPLIANCE INTENDED TO ASSIST IN IDENTIFYING AND HANDLING POTENTIAL OR ACTUAL CONFLICTS OF INTEREST THAT MAY BE ENCOUNTERED BY REGENTS IN THEIR SERVICE TO AUGSBURG COLLEGE. EACH INSTANCE OF A POTENTIAL CONFLICT IS THEN DISCUSSED INDIVIDUALLY WITH THAT REGENT BY THE BOARD CHAIR. THIS CONVERSATION INCLUDES THE APPROPRIATE ACTION BY THE REGENT TO TAKE IF SUCH A CONFLICT OF INTEREST DOES MATERIALIZE IN THE PERFORMANCE OF HIS/HER DUTIES AS A REGENT. PRIOR TO BOARD OR COMMITTEE ACTION ON A CONTRACT OF TRANSACTION INVOLVING A CONFLICT OF INTEREST, A REGENT OR COMMITTEE MEMBER HAVING A CONFLICT OF INTEREST AND WHO IS IN ATTENDANCE AT THE MEETING SHALL DISCLOSE ALL FACTS MATERIAL TO THE CONFLICT OF INTEREST. SUCH DISCLOSURE SHALL BE REFLECTED IN THE MINUTES OF THE MEETING. A PERSON WHO HAS A CONFLICT OF INTEREST SHALL NOT PARTICIPATE IN OR BE PERMITTED TO HEAR THE REGENT'S OR COMMITTEE'S DISCUSSION OF THE MATTER EXCEPT TO DISCLOSE MATERIAL FACTS AND TO RESPOND TO QUESTIONS. THE PERSON HAVING A CONFLICT OF INTEREST MAY NOT VOTE ON THE CONTRACT OR TRANSACTION AND SHALL NOT BE PRESENT IN THE MEETING ROOM WHEN THE VOTE IS TAKEN, UNLESS THE VOTE IS BY SECRET BALLOT. SUCH PERSON'S INELIGIBILITY TO VOTE SHALL BE REFLECTED IN THE MINUTES OF THE MEETING. IT IS THE COLLEGE'S INTENT TO AVOID CONFLICTS BETWEEN THE PERSONAL INTERESTS OF EMPLOYEES AND THE INTERESTS OF THE COLLEGE. IN THE EVENT AN EMPLOYEE, OR THEIR FAMILY MEMBER, MAY HAVE A FINANCIAL, PERSONAL OR PROFESSIONAL INTEREST THAT COULD POTENTIALLY CREATE A CONFLICT OF INTEREST IN ANY DECISION OR TRANSACTION INVOLVING THE COLLEGE, THE EMPLOYEE MUST DISCLOSE CLEARLY AND FULLY IN WRITING TO THE APPROPRIATE DIVISION VICE PRESIDENT THE NATURE OF THE DECISION OR TRANSACTION AND THE POTENTIAL CONFLICT OF INTEREST AND REFRAIN FROM PARTICIPATING IN THE COLLEGE'S CONSIDERATION OF THE TRANSACTION OR THE PROCESSING OF THE TRANSACTION. FORM 990, PART VI, SECTION B, LINE 15 THE PRESIDENT'S COMPENSATION IS REVIEWED, AND ADJUSTED IF NECESSARY, ANNUALLY BY THE BOARD OF REGENTS EXECUTIVE COMMITTEE. HUMAN RESOURCES PROVIDES SURVEY DATA FROM THE COLLEGE AND UNIVERSITY PROFESSIONAL ASSOCIATION FOR HUMAN RESOURCES. TYPICALLY, THIS INFORMATION IS BASED ON APPROXIMATELY 15-20 SCHOOLS THAT COMPARE TO AUGSBURG REGARDING ENROLLMENT SIZE, ENDOWMENT, UNDERGRADUATE AND GRADUATE PROGRAMS AS WELL AS OTHER LUTHERAN COLLEGES. THIS INFORMATION IS SENT TO THE EXECUTIVE COMMITTEE EACH SUMMER AND THEN THE REVIEW OCCURS DURING THE NEXT FEW MONTHS BEFORE BEING COMMUNICATED TO THE PRESIDENT IN FALL BY THE HUMAN RESOURCES DIRECTOR. THIS PROCESS WAS LAST UNDERTAKEN IN SUMMER AND FALL, 2011 FOR THE PRESIDENT, P. PRIBBENOW. THE PRESIDENT ANNUALLY REVIEWS THE COMPENSATION FOR ALL CABINET MEMBERS. HE DETERMINES THE COMPENSATION FOR DIRECT REPORTS, BUT LEAVES THE FINAL DECISION TO THE APPROPRIATE VICE PRESIDENT FOR CABINET MEMBERS THAT DO NOT REPORT DIRECTLY TO HIM. HUMAN RESOURCES PROVIDES SURVEY DATA FROM THE COLLEGE AND UNIVERSITY PROFESSIONAL ASSOCIATION FOR HUMAN RESOURCES, AS WELL AS INDUSTRY SPECIFIC COMPENSATION INFORMATION FOR CERTAIN POSITIONS. TYPICALLY, THIS INFORMATION IS BASED ON APPROXIMATELY 15-20 NEARBY SCHOOLS, AS WELL AS OTHER LUTHERAN COLLEGES. HUMAN RESOURCES PROVIDES THIS INFORMATION TO THE PRESIDENT IN THE SPRING OF EACH YEAR AND THE REVIEW OCCURS DURING THE NEXT FEW MONTHS. THE HUMAN RESOURCES DIRECTOR THEN COMMUNICATES THE COMPENSATION TO THE APPROPRIATE CABINET MEMBER AND ENSURES A PERSONNEL ACTION REQUEST FORM IS COMPLETED. THIS REVIEW LAST OCCURRED IN SPRING 2012. FORM 990, PART VI, SECTION C, LINE 19 THE COLLEGE MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -3,580,842. ADJUSTMENT OF ACTUARIAL LIABILITY 61,905. CHANGE IN ALLOWANCE FOR UNCOLLECTIBLE PLEDGES -43,836. TOTAL TO FORM 990, PART XI, LINE 5: -3,562,773. ZEBRA INVESTMENTS SIX LIMITED FIVE SIMPSON STREET WINDHOEK, WEST WA FOREIGN CAMPUS WA AUGSBURG COLLEGE C 73994 412181 1.00000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0