2011-05-13T10:31:02-05:00 2010-06-30 Pricewaterhousecoopers LLP 1301 K Street NW Washington DC 20005 990 2009-07-01 350868188 University of Notre Dame du Lac UNIV 5746313288 Controllers Office 731 Grace Hall Notre Dame IN 46556 John Affleck-Graves 5746313288 2011-05-13 1 2024141000 2009 2016-02-24 21:20:13Z University of Notre Dame Rev John Jenkins CSC Controllers Office 731 Grace Hall Notre Dame IN 46556 2744582237 0 X http://nd.edu X 1844 IN See Schedule O 49 42 16445 1449 1969642 -11938414 226689374 255777059 603878241 639671649 48685697 175288341 8541964 12122210 887795276 1082859259 162695814 179651346 0 0 442516158 502706911 0 0 21809106 319387367 325536481 924599339 1007894738 -36804063 74964521 7130072350 7753677014 1280033768 1437345461 5850038582 6316331553 See Schedule O 0 0 496835073 160938719 430982777 Instruction - Provided academic instruction and services to over 11,800 undergraduate and graduate students pursuing courses of study within four undergraduate colleges, a business school, a law school, and graduate school. Conferred over 3,300 baccalaureate, master's, doctoral and professional degrees. 181187802 4194661 192822724 Auxiliary enterprises - Provided services to the University community, its guests and other patrons including food services, student and visitor lodging, laundry services, and multiple recreational facilities. The University intercollegiate athletics program enabled student-athletes to compete in twenty-six sports programs at the NCAA Division I level. 83566318 13226185 8473396 Research - University researchers administered more than 700 new awards for studies based in disciplines of engineering, science and humanities. 65078493 1291781 14022633 Public service - The University holds many conferences and educational events on its campus throughout the year. Also, the University provides volunteers and financial support to other agencies in the community. The University's ACE program is a two-year service program offering college graduates the opportunity to serve as full-time teachers in under-resourced schools across the southern United States.Academic support - The University operates libray facilities containing nearly 3,000,000 volumes, serving the University and local community. The University publishes numerous academic periodicals and volumes and operates a museum of art housing over 21,000 works. 65078493 1291781 14022633 826667686 1 1 0 1 1 0 1 0 1 1 0 1 1 1 1 1 1 0 1 0 0 1 1 1 1 0 0 0 0 0 0 1 1 1 1 1 1 0 0 1 1 1 0 0 1 18861 0 1 16445 1 1 1 1 FR EI AU IT UK BR MP IS MX CI 0 0 0 1 1 1 2 0 0 1 0 0 0 49 42 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 IN X Controller's Office 5746313288 731 Grace Hall Notre Dame IN 46556 John F Affleck-Graves PhD 40.00 X X 939843 0 134372 Thomas G Burish PhD 40.00 X X 537827 0 136568 Rev John I Jenkins CSC PhD 40.00 X X 582167 0 123135 Rev Peter A Jarret CSC 2.00 X 3050 0 0 Rev Timothy R Scully CSCPhD 2.00 X 163324 0 80665 Rev Jose E Ahumada F CSC 2.00 X 0 0 0 David M Baron 2.00 X 0 0 0 Rev E William Beauchamp CSC 2.00 X 0 0 0 Robert F Biolchini 2.00 X 0 0 0 Cathleen P Black 2.00 X 0 0 0 John J Brennan 2.00 X 0 0 0 Stephen J Brogan 2.00 X 0 0 0 Holly A Colman 2.00 X 0 0 0 Robert M Conway 2.00 X 0 0 0 Jose Enrique Fernandez 2.00 X 0 0 0 James F Flaherty III 2.00 X 0 0 0 W Douglas Ford 2.00 X 0 0 0 Kathleen M Fox 2.00 X 0 0 0 Marye Anne Fox 2.00 X 0 0 0 Stephanie A Gallo 2.00 X 0 0 0 F Michael Geddes 2.00 X 0 0 0 John W Glynn Jr 2.00 X 0 0 0 William M Goodyear 2.00 X 0 0 0 Nancy M Haegel 2.00 X 0 0 0 Enrique Hernandez Jr 2.00 X 0 0 0 Carol Hank Hoffmann 2.00 X 0 0 0 Douglas Tong Hsu 2.00 X 0 0 0 Most Rev Daniel Jenky CSC DD 2.00 X 0 0 0 John W Jordan II 2.00 X 0 0 0 Thomas E Larkin Jr 2.00 X 0 0 0 Hon Diana Lewis 2.00 X 0 0 0 Patrick F McCartan 2.00 X 0 0 0 Terrence J McGlinn 2.00 X 0 0 0 Richard C Notebaert 2.00 X 0 0 0 Richard A Nussbaum II 2.00 X 0 0 0 Joseph I O'Neill III 2.00 X 0 0 0 Philip J Purcell III 2.00 X 0 0 0 J Christopher Reyes 2.00 X 0 0 0 Phillip B Rooney 2.00 X 0 0 0 Shayla Keough Rumely 2.00 X 0 0 0 John F Sandner 2.00 X 0 0 0 William J Shaw 2.00 X 0 0 0 Kenneth E Stinson 2.00 X 0 0 0 Phyllis W Stone 2.00 X 0 0 0 Sara Martinez Tucker 2.00 X 0 0 0 Rev David T Tyson CSC 2.00 X 0 0 0 Roderick K West 2.00 X 0 0 0 Hon Ann Claire Williams 2.00 X 0 0 0 Michael Wong 2.00 X 0 0 0 Robert J Bernhard PhD 40.00 X 310332 0 56462 Janet M Botz 40.00 X 311181 0 17290 Marianne Corr JD 40.00 X 422020 0 18313 Dennis C Jacobs PhD 40.00 X 224957 0 38808 James J Lyphout MBA 40.00 X 292870 0 39361 Scott C Malpass MBA 40.00 X 1532859 0 524968 Christine M Maziar PhD 40.00 X 298773 0 31241 Louis M Nanni MA 40.00 X 307783 0 44321 Rev Mark L Poorman CSC PhD 40.00 X 258387 0 11455 Donald B Pope-Davis PhD 40.00 X 244887 0 48537 John A Sejdinaj MBA CCM 40.00 X 316408 0 53386 John B Swarbrick Jr 40.00 X 733201 0 199031 Michael P Brey 40.00 X 528593 0 45381 Michael D Donovan MBA JD 40.00 X 812004 0 250438 Roger D Huang PhD 40.00 X 548168 0 48594 Muffet McGraw 40.00 X 590610 0 53303 Charles J Weis 40.00 X 7239194 0 45354 Jeffery Kantor Former Officer 40.00 X 240778 0 69650 Rev Edward T Malloy CSC 40.00 X 133477 0 11455 L Tyrone Willingham 0.00 X 650000 0 0 18222693 0 2082088 726 1 1 1 Barton Malow Company 26500 American Drive Southfield MI 48034 Construction 21857594 Pepper Construction 643 North Orleans Street Chicago IL 60654 Construction 17168054 Skanska USA Building Inc 5250 Lovers Lane Suite 200 Portage MI 49002 Construction 14069016 Ziolkowski Construction Inc 1005 South Lafayette Boulevard South Bend IN 46601 Construction 9456426 Geupel DeMars Hagerman LLC 7930 Castleway Drive Indianapolis IN 46250 Construction 8515247 110 78584 63117025 192581450 64143646 255777059 Student tuition and fe 611310 419270541 419270541 Auxiliary enterprises 611710 189986309 181842442 8143867 Educational programs 611310 14049155 13313843 735312 Research contracts (go 900099 7959105 7945605 13500 Student services 611710 2688053 2688053 5718486 5718486 639671649 49749794 -7156419 56906213 4863443 4863443 9200342 8579287 621055 621055 621055 1778612000 1653073453 125538547 125538547 125538547 73799 78584 65153 8646 8646 4270 5085 -815 -815 Alumni Association 900099 2736130 2502748 233382 3893751 3893751 6629881 1082859259 637175469 1969642 187937089 7734925 7734925 165865689 165865689 6050732 6050732 8371660 3181435 4316953 873272 375144577 313154310 51044939 10945328 28787087 18335266 9654357 797464 67103106 32481439 33199893 1421774 23300481 18853831 3647070 799580 1942087 505546 1436541 2854603 45334 2809269 299608 299608 5243066 5243066 19179699 12331596 5811428 1036675 2745411 2645639 82590 17182 53629094 44807609 6870076 1951409 10330890 4431370 5761156 138364 459023 459023 59765132 52010750 7023113 731269 33179128 28926916 2604017 1648195 1771 1771 4244119 2765419 1444975 33725 15774404 13584640 2016953 172811 43800486 41569918 2106764 123804 827552 788678 38874 Other educational expen 34250197 33122534 860888 266775 Food and entertainment 27004951 23015087 3138385 851479 Investment Office expen 10005260 10005260 1007894738 826667686 159417946 21809106 127647562 107363077 194586739 181605087 23539972 24729776 32891483 45836222 9664663 9608415 17529900 24572335 1605719197 451701348 1053919315 1154017849 358641267 482559276 5282084474 5706617665 29566975 16767312 7130072350 7753677014 82691181 81814586 68848028 70129659 369145000 367667649 39829514 53638301 150000000 150000000 569520045 714095266 1280033768 1437345461 X 2472162407 2755620326 2156660555 2266694050 1221215620 1294017177 5850038582 6316331553 7130072350 7753677014 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 351677 0 0 351677 0 Part IV, Supplemental Information: Part II-B, Line 1: The University has hired professional consultants who engage in direct and grassroots lobbying. Along with a few University employees, these consultants work on Notre Dame's behalf meeting with or calling government officials or legistlators requesting support for specific projects regarding the higher education funding authorization and other legislation which could impact the University. 7 0 350000 0 1728006 0 5545958 0 1 1 0 0 0 0 X X X X 0 4920742718 135156367 525883589 75825598 165272064 0 5340685012 6351854688 104550162 -1298974803 71071937 165615392 0 4920742718 0.42500 0.55900 0.01600 0 0 9300000 14007007 23307007 51802521 1157730004 283797432 925735093 12788677 1545757 11242920 67696 213504348 123194281 90377763 146518944 43163878 103355066 1154017849 19453276 F 52098696 F Other short-term investments 62457363 F Public equities: U.S. 270395135 F Public equities: Non-U.S. 581946565 F Public equities: Long/short strategies 870986025 F Fixed income securities 208701628 F Marketable alternatives 970764609 F Private equity 1676492608 F Real estate 392506777 F Other real assets 535318379 F Defined benefit pension plan assets 65496604 F 5706617665 Debt-related derivative instruments 15857875 Student organization funds and other deposits 13686047 Short-term borrowing 140094000 Refundable advances 16963891 Liabilities associated with investments 258687919 Obligations under split-interest agreements 58027969 Conditional asset retirement obligations 22242706 Pension and other postretirement benefit obligations 149031764 Government advances for student loans 30117651 Other liabilities 9385444 714095266 1082859259 1007894738 74964521 439198462 -47870012 391328450 466292971 1329462586 439198462 -175422427 263776035 1065686551 17242946 -70238 17172708 1082859259 863169616 34016618 34016618 829152998 17242946 161498794 178741740 1007894738 Part III, Line 1a: The University does not capitalize the cost of library books, nor the cost or fair value of its art collection. The latter is held for exhibition and educational purposes only and not for financial gain. Part III, Line 4: The Snite Museum of Art maintains a collection of over 25,000 original works of art which are utilized for exhibition, teaching, research and educational outreach programs. Part V, Line 4: Description of Intended Use of Endowment Funds: Endowment distributions are used to fund a variety of operational needs, including scholarships and fellowships, faculty chairs, academic programs, libraries, other endowment programs and general operations. Part X: Description of Uncertain Tax Positions Under FIN 48: The University recognizes asset retirement obligations when incurred. A discounting technique is used to calculate the present value of the capitalized asset retirement costs and the related obligation. Asset retirement costs are depreciated over the estimated remaining useful life of the related asset and the asset retirement obligation is accreted annually to the current present value. Upon settlement of an obligation, any difference between the retirement obligation and the cost to settle is recognized as a gain or loss in the consolidated statement of changes in unrestricted net assets. The University's conditional asset retirement obligations relate primarily to asbestos remediation and will be settled upon undertaking associated renovation projects. Part XI, Line 8 - Other Adjustments: Net gain/(loss) on debt-related derivative instruments: -20083086. Change in value of split-interest agreements: 1611537. Net pension and postretirement benefits-related changes: -33946380. Other non-operating changes in net assets: 4547917. Part XII, Line 2d - Other Adjustments: Tuition discounts: -XXX-XX-XXXX. Room discounts: -3224478. Net gain/(loss) on debt-related derivative instruments: -20083087. Change in value of split-interest agreements: 1611537. Other non-operating changes in net assets: 4547917. Part XII, Line 4b - Other Adjustments: Direct expenses of fundraising events: -65153. Direct expenses from gaming activities: -5085. Part XIII, Line 2d - Other Adjustments: Net pension and postretirement benefits-related changes: 33946380. Direct expenses of fundraising events: 65153. Direct expenses from gaming activities: 5085. Part XIII, Line 4b - Other Adjustments: Tuition scholarships and fellowships: XXX-XX-XXXX. Room & board discounts: 3224478. 1 1 1 The University nondiscrimination policy is disclosed in the Admission Policies and Procedures Handbook given to each student. The University draws students nationally and internationally and enrolls meaningful numbers of minority students. 1 1 1 1 0 0 0 0 0 0 0 0 1 0 The University receives financial assistance from various governmental agencies within the Federal Government and local jurisdictions. The governmental grants and contracts support certain research projects and student financial aid. 1 1 Central America and the Caribbean Program Services Agent of the University 0 East Asia and the Pacific Program Services Agent of the University 0 Europe (Including Iceland & Greenland) Program Services Agent of the University 0 Middle East and North Africa Program Services Agent of the University 0 North America Program Services Agent of the University 0 South America Program Services Agent of the University 0 South Asia Program Services Agent of the University 0 Central America and the Caribbean Program Services Conference 0 East Asia and the Pacific Program Services Conference 0 Europe (Including Iceland & Greenland) Program Services Conference 0 Middle East and North Africa Program Services Conference 0 North America Program Services Conference 0 Russia & the Newly Independent States Program Services Conference 0 South America Program Services Conference 0 Sub-Saharan Africa Program Services Conference 0 Central America and the Caribbean Program Services Housing and Other Assistance 0 East Asia and the Pacific Program Services Housing and Other Assistance 0 Europe (Including Iceland & Greenland) Program Services Housing and Other Assistance 6000 Middle East and North Africa Program Services Housing and Other Assistance 0 North America Program Services Housing and Other Assistance 0 South America Program Services Housing and Other Assistance 0 South Asia Program Services Housing and Other Assistance 0 Sub-Saharan Africa Program Services Housing and Other Assistance 0 East Asia and the Pacific 2 Program Services International Study Program 780070 Europe (Including Iceland & Greenland) 5 80 Program Services International Study Program 11972109 Middle East and North Africa 1 3 Program Services International Study Program 307703 North America 1 1 Program Services International Study Program 97208 Russia & the Newly Independent States Program Services International Study Program 153280 South America 1 2 Program Services International Study Program 465581 Sub-Saharan Africa Program Services International Study Program 110160 Central America and the Caribbean Program Services Research 0 East Asia and the Pacific Program Services Research 0 Europe (Including Iceland & Greenland) Program Services Research 0 Middle East and North Africa Program Services Research 0 North America Program Services Research 0 Russia & the Newly Independent States Program Services Research 0 South America Program Services Research 0 South Asia Program Services Research 0 Sub-Saharan Africa Program Services Research 0 Central America and the Caribbean Investment 0 Europe (Including Iceland & Greenland) Investment 0 North America Investment 0 Sub-Saharan Africa Investment 0 Europe (Including Iceland & Greenland) Program Services SUB Grant Award 2814507 Sub-Saharan Africa Program Services SUB Grant Award 830587 Central America and the Caribbean Program Services SUB Grant Award 595291 East Asia and the Pacific Program Services SUB Grant Award 1189208 South America Program Services SUB Grant Award 64600 Central America and the Caribbean Program Services Prizes and Awards 3000 Europe (Including Iceland & Greenland) Program Services Prizes and Awards 200200 South America Program Services Prizes and Awards 15000 8 88 19604504 Sub-Saharan Africa See Footnote 2, Part IV 38666 Check/Wire Central America and the Caribbean See Footnote 2, Part IV 266846 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 410591 Check/Wire East Asia and the Pacific See Footnote 2, Part IV 17208 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 135921 Check/Wire South America See Footnote 2, Part IV 60500 Check/Wire Central America and the Caribbean See Footnote 2, Part IV 323646 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 60116 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 165560 Check/Wire East Asia and the Pacific See Footnote 2, Part IV 32000 Check/Wire Sub-Saharan Africa See Footnote 2, Part IV 752907 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 892916 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 583711 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 201068 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 15419 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 124792 Check/Wire Sub-Saharan Africa See Footnote 2, Part IV 30505 Check/Wire East Asia and the Pacific See Footnote 2, Part IV 1140000 Check/Wire Sub-Saharan Africa See Footnote 2, Part IV 8510 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part IV 224414 Check/Wire Central America and the Caribbean Research 130938 Wire Transfer Central America and the Caribbean Research 263525 Wire Transfer Middle East and North Africa International Studies Program 162075 Wire Transfer 0 22 Housing and Other Assistance Europe (Including Iceland & Greenland) 2 6000 Check/Wire/Direct Deposit Housing and Other Assistance South Asia 1 2000 Check/Wire/Direct Deposit Housing and Other Assistance Sub-Saharan Africa 2 3900 Check/Wire/Direct Deposit Prizes and Awards Central America and the Caribbean 1 3000 Check/Wire/Direct Deposit Prizes and Awards Europe (Including Iceland & Greenland) 2 200200 Check/Wire/Direct Deposit Prizes and Awards South America 1 15000 Check/Wire/Direct Deposit Research/Travel Grant Central America and the Caribbean 4 11019 Check/Wire/Direct Deposit Research/Travel Grant Sub-Saharan Africa 1 1216 Check/Wire/Direct Deposit Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: All grants made for research activities are initiated by a formal sub-contract executed by both parties. The terms and conditions of each grant contain all the guidelines for invoicing, billing, record retention, audits, etc. Research and sponsored programs accounting ("RSPA") and the Office of Research work in tandem to ensure the guidelines are adhered to. All sub-contracts for research activities are paid on a cost-reimbursement basis. All invoices paid for costs are approved by the principal investigator based on completion of work, deliverables met, etc. In addition, RSPA monitors the payments against the total budget to ensure payment is not made above the stipulated ceiling. The University has developed a policy containing guidelines surrounding sub-contracts, some of which were addresssed above. The policy can be found at: http://controller.nd.edu/policies-and-procedures/rspa/subrecipient_monito The University provides funding to students and other related individuals for research and other activities to support the furtherance of their education. Funds provided are monitored through applications, budgets and a requirement to document the use of funds either prior to the distribution of funds or upon completion of the activity. Schedule F, Part IV Other Information Part II, Line 1, Column (d): Payments related to work performed on research subcontract related to federal, state or private grant originally made to the University. Christmas Dinner 92553 78584 13969 2978 1002 38413 20650 VIP Auction 59830 59830 1894 216 152383 78584 73799 1894 2978 1002 38413 20866 65153 8646 1 Air Products and Chemicals Department Ch 10200 Palatine IL 600550001 231274455 28380 See Footnote 2, Part IV Arizona State University Post Office Box 873503 Tempe AZ 852870001 860196696 State of AZ 53052 See Footnote 2, Part IV Ball Aerospace & Technologies Corp Post Office Box 70203 Chicago IL 606730203 841315001 7319 See Footnote 2, Part IV Caltech 1200 East California Boulevard Pasadena CA 911250002 951643307 501(c)(3) 88552 See Footnote 2, Part IV Catholic University of America 620 Michigan Avenue Northeast Washington DC 200640001 530196583 501(c)(3) 64211 See Footnote 2, Part IV Clinical Research Management Inc Ridge Road Suite A Hinkley OH 44233 541716562 9343 See Footnote 2, Part IV Colorado State University 6015 Campus Delivery-Osp Fort Collins CO 805230001 237098397 State of CO 81740 See Footnote 2, Part IV DePaul University 1 East Jackson Boulevard Chicago IL 606042287 362167048 501(c)(3) 54867 See Footnote 2, Part IV Duke University Post Office Box 90491 Durham NC 277054833 560532129 501(c)(3) 50014 See Footnote 2, Part IV EmNet LLC 12441 Beckley Street Granger IN 465309660 201118177 71959 See Footnote 2, Part IV Emory University 1599 Clifton Road Northeast Atlanta GA 303224250 580566256 501(c)(3) 526004 See Footnote 2, Part IV GA Tech Applied Research Corporation SC Sodipo Associate Atlanta GA 303840001 582374837 501(c)(3) 7406 See Footnote 2, Part IV George Washington University 44983 Knoll Square Ashburn VA 201472692 530196584 501(c)(3) 139362 See Footnote 2, Part IV Georgetown University Post Office Box 571164 Washington DC 200570001 530196603 501(c)(3) 49279 See Footnote 2, Part IV Georgia Tech Research Corporation Post Office Box 100117 Atlanta GA 303840117 580603146 501(c)(3) 41898 See Footnote 2, Part IV Hampton University Vice President For Business Hampton VA 236680001 540505990 501(c)(3) 15644 See Footnote 2, Part IV Harvard University 1350 Massachusetts Avenue Cambridge MA 021383800 042103580 501(c)(3) 126215 See Footnote 2, Part IV Host Diamond 2545 Lake Avenue Wilmette IL 600911211 271850741 6926 See Footnote 2, Part IV Illinois Institute of Technology Post Office Box 95152 Chicago IL 606940001 362170136 501(c)(3) 112847 See Footnote 2, Part IV Indiana University Post Office Box 66057 Indianapolis IN 462660001 356001673 State of IN 296103 See Footnote 2, Part IV Knowledge Networks Inc 75 Remittance Chicago IL 606750001 943314617 115200 See Footnote 2, Part IV Lake Superior State University 650 West Easterday Avenue Sault Sainte Marie MI 497831626 382576021 State of MI 19144 See Footnote 2, Part IV Lawrence Berkeley National Laboratory Post Office Box 39000 San Francisco CA 941390001 946036493 501(c)(3) 300844 See Footnote 2, Part IV LeTourneau University Post Office Box 7001 Longview TX 756077001 751081109 501(c)(3) 48436 See Footnote 2, Part IV Michigan State University 301 Administration Bldg East Lansing MI 488241046 386005984 State of MI 829746 See Footnote 2, Part IV MZA Associates Corporation 2021 Girard Boulevard SE Albuquerque NM 871063140 850400557 139275 See Footnote 2, Part IV National-Louis University 122 South Michigan Avenue Chicago IL 606036191 362167804 501(c)(3) 8562 See Footnote 2, Part IV New York Blood Center 1200 Prospect Avenue Westbury NY 115902723 131949477 501(c)(3) 116868 See Footnote 2, Part IV Northeastern University 360 Huntington Avenue Boston MA 021155000 041679980 501(c)(3) 6901 See Footnote 2, Part IV Northern Jet Post Office Box 888380 Grand Rapids MI 495888380 383261631 178450 See Footnote 2, Part IV Old Dominion Univ Research Foundation Post Office Box 6369 Norfolk VA 235080369 546068198 501(c)(3) 93854 See Footnote 2, Part IV Pennsylvania State University 227 West Beaver Avenue State College PA 168014842 246000376 State of PA 223658 See Footnote 2, Part IV Princeton University Post Office Box 5292 Princeton NJ 085446242 210634501 501(c)(3) 46621 See Footnote 2, Part IV Purdue University 23510 Network Place Chicago IL 606731235 356002041 State of IN 621334 See Footnote 2, Part IV Radio Bilingue 5005 East Belmont Avenue Fresno CA 937272441 942472322 501(c)(3) 7000 See Footnote 2, Part IV Regents of Univ Of California 2195 Hearst Avenue Berkeley CA 947200001 946002123 State of CA 19555 See Footnote 2, Part IV Regents of Univ of California Cashiers Office Riverside CA 925210001 956006142 State of CA 21171 See Footnote 2, Part IV Regents of Univ Of California 9500 Gilman Drive 0009 La Jolla CA 920930001 956006144 State of CA 46148 See Footnote 2, Part IV Regents of Univ Of California Post Office Box 989062 West Sacramento CA 957989062 946036494 State of CA 495568 See Footnote 2, Part IV Rensselaer Polytech Inst Post Office Box 33375 Hartford CT 061500001 141340095 501(c)(3) 76733 See Footnote 2, Part IV Rice University Post Office Box 1892 Houston TX 772511892 741109620 501(c)(3) 116230 See Footnote 2, Part IV Roosevelt University 430 Michigan Avenue Chicago IL 60612 362167854 501(c)(3) 25074 See Footnote 2, Part IV Salimetrics LLC 101 Innovation Boulevard Suite 302 State College PA 16803 251817651 501(c)(3) 6449 See Footnote 2, Part IV St Ann Catholic School 2211 West 18th Place Chicago IL 606082595 362284297 501(c)(3) 31500 See Footnote 2, Part IV St Pius X Parish 52553 Fir Road Granger IN 465308865 350940397 5918 See Footnote 2, Part IV The Nature's Conservancy 8 South Michigan Avenue Chicago IL 606033360 530242652 501(c)(3) 16828 See Footnote 2, Part IV The Ohio State University 1960 Kenny Road Columbus OH 432101016 316025986 State of OH 59793 See Footnote 2, Part IV Trimeric Corporation Post Office Box 826 Buda TX 786100826 113695961 79144 See Footnote 2, Part IV Univ of South Carolina Research Foundation Post Office Box 751475 Charlotte NC 282751475 570967350 State of SC 32454 See Footnote 2, Part IV Univ of Wisconsin-Madison Post Office Box 538 Milwaukee WI 532010538 396006492 State of WI 57586 See Footnote 2, Part IV Universities Space Research Association (USRA) 10211 Wincopin Circle Columbia MD 210443432 520892064 501(c)(3) 15879 See Footnote 2, Part IV University of Arizona Post Office Box 3520 Tucson AZ 857223520 742652689 State of AZ 14870 See Footnote 2, Part IV University of Chicago 1225 East 60th Street Chicago IL 606372801 362177139 501(c)(3) 291889 See Footnote 2, Part IV University of Illinois Post Office Box 4610 Springfield IL 627084610 376000511 State of IL 230301 See Footnote 2, Part IV University of Kansas 2385 Irving Hill Road Lawrence KS 660457563 480680117 State of KS 18596 See Footnote 2, Part IV University of Maryland 4101 Chesapeake Building College Park MD 207420001 526002033 State of MD 27510 See Footnote 2, Part IV University of Michigan Post Office Box 223131 Pittsburgh PA 152512131 386006309 State of MI 345894 See Footnote 2, Part IV University of Minnesota Post Office Box 1450 Minneapolis MN 554855957 416007513 State of MN 135269 See Footnote 2, Part IV University of New Mexico 1 University of New Mexico Albuquerque NM 871310001 856000642 State of NM 24303 See Footnote 2, Part IV University of New Mexico 1700 Lomas Boulevard Northeast Albuquerque NM 871063807 856000642 State of NM 43553 See Footnote 2, Part IV University of North Carolina-Chapel Hill 104 Airport Drive Chapel Hill NC 275990001 566001393 State of NC 117006 See Footnote 2, Part IV University of Texas Post Office Box 203382 Houston TX 772160001 746000203 State of TX 24061 See Footnote 2, Part IV University of Texas at Austin Post Office Box 7159 Austin TX 787137159 746000203 State of TX 64565 See Footnote 2, Part IV University of Texas Medical Branch Galveston 301 University Boulevard Galveston TX 775550001 741343044 State of TX 25435 See Footnote 2, Part IV University of Texas Medical Branch Galveston Post Office Box 4786-750 Houston TX 77210 741343044 State of TX 81753 See Footnote 2, Part IV University of Washington 12455 Collections Drive Chicago IL 606930001 916001537 State of WA 50480 See Footnote 2, Part IV University of Wyoming Post Office Box 3355 Laramie WY 820713355 836000331 State of WY 9283 See Footnote 2, Part IV Washington University St Louis 700 Rosedale Avenue St Louis MO 631121408 430653611 501(c)(3) 21030 See Footnote 2, Part IV Early Childhood Development Center 10 Child Care Center Notre Dame IN 46556 351188922 501(c)(3) 200000 See Footnote 2, Part IV City of South Bend 227 West Jefferson Blvd Suite 1400 South Bend IN 46601 356001201 City-South Bend 275000 See Footnote 2, Part IV St Joseph County 227 West Jefferson Blvd 7th Floor South Bend IN 46601 356000194 County-St. Joe 170000 See Footnote 2, Part IV Northeast Neighborhood Revitalization Organization Inc 803 Lincolnway West South Bend IN 46616 352118149 501(c)(3) 150000 See Footnote 2, Part IV City of Mishawaka 600 East Third Street Mishawaka IN 46544 356001115 City-Mishawaka 50000 See Footnote 2, Part IV Center for the Homeless Inc 813 South Michigan Street South Bend IN 46601 351768544 501(c)(3) 38185 280000 FMV Rental Waiver See Footnote 2, Part IV The Order of Saint Anne Chicago 1125 North LaSalle Street Chicago IL 60610 362373443 501(c)(3) 25000 See Footnote 2, Part IV Cold Spring Harbor Laboratory PO Box 100 Cold Springs Harbor NY 11724 112013303 501(c)(3) 15000 See Footnote 2, Part IV Foundation of St Joseph Regional Medical Center 837 Cedar Street Suite 350 South Bend IN 46617 351654543 501(c)(3) 16150 See Footnote 2, Part IV Logan Community Resources 1235 North Eddy Street South Bend IN 46617 350965639 501(c)(3) 9810 See Footnote 2, Part IV American Cancer Society 1599 Clifton Rd Ne Atlanta GA 30329 237040934 501(c)(3) 9294 See Footnote 2, Part IV South Bend Symphony Orchestra 120 West LaSalle Avenue South Bend IN 46601 356042189 501(c)(3) 9100 See Footnote 2, Part IV Fischoff National Chamber Music Association 303 Brownson Hall Notre Dame IN 46556 351650154 501(c)(3) 8220 See Footnote 2, Part IV Kelly Cares Foundation PO Box 518 Notre Dame IN 46556 263591070 501(c)(3) 7500 See Footnote 2, Part IV Asian Indian Classical Music Society 52318 Tallyho Drive South Bend IN 46635 351883192 501(c)(3) 6000 See Footnote 2, Part IV Holy Cross Foreign Mission Society Inc 5020 Sunnyside Ave Beltsville MD 20705 526044122 501(c)(3) 5550 See Footnote 2, Part IV 70 10 Tuition Scholarships, Fellowships, and Room and Board Discounts 7026 161498794 Athletics Grant-in-Aid 451 1075923 Housing and Other Assistance 775 323856 Prizes and Awards 390 484059 Research and Travel Grants 2322 2438779 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: All grants made for research activities are initiated by a formal sub-contract executed by both parties. The terms and conditions of each grant contain all the guidelines for invoicing, billing, record retention, audits, etc. Research and sponsored programs accounting ("RSPA") and the Office of Research work in tandem to ensure the guidelines are adhered to. All sub-contracts for research activities are paid on a cost-reimbursement basis. All invoices paid for costs are approved by the principal investigator based on completion of work, deliverables met, etc. In addition, RSPA monitors the payments against the total budget to ensure payment is not made above the stipulated ceiling. The University has developed a policy containing guidelines surrounding sub-contracts, some of which were addressed above. This policy can be found at: http://controller.nd.edu/policies-and-procedures/rspa/subrecipient_monitori Charitable organizations that receive contributions from the University are carefully selected and require documentation to support the University's interest in the organization to ensure consistency with the core values of the University. Charitable contributions also require approval by the Executive Vice President. The University provides funding to students and other related individuals for research and other activities to support the furtherance of their education. Funds provided are monitored through applications, budgets and a requirement to document the use of funds either prior to the distribution of funds or upon completion of the activity. Other Information: Part IV: Part II, Line 1, Column (h): Payments related to work performed on research subcontract related to federal, state or private grant originally made to the University. X X X X X 1 1 X X X X 1 1 0 1 0 0 0 0 0 John F Affleck-Graves PhD 476181 0 21336 0 442326 0 119500 0 14872 0 1074215 0 393480 0 Thomas G Burish PhD 500881 0 14669 0 22277 0 123620 0 12948 0 674395 0 0 0 Rev John I Jenkins CSC PhD 529167 0 0 0 53000 0 0 0 123135 0 705302 0 0 0 Rev Timothy R Scully CSCPhD 148401 0 0 0 14923 0 0 0 80665 0 243989 0 0 0 Robert J Bernhard PhD 280774 0 750 0 28808 0 24500 0 31962 0 366794 0 0 0 Janet M Botz 290890 0 930 0 19361 0 5167 0 12123 0 328471 0 0 0 Marianne Corr JD 382317 0 870 0 38833 0 10000 0 8313 0 440333 0 0 0 Dennis C Jacobs PhD 221639 0 750 0 2568 0 22500 0 16308 0 263765 0 0 0 James J Lyphout MBA 269170 0 930 0 22770 0 24500 0 14861 0 332231 0 0 0 Scott C Malpass MBA 700667 0 809337 0 22855 0 518696 0 6272 0 2057827 0 314390 0 Christine M Maziar PhD 280012 0 870 0 17891 0 24500 0 6741 0 330014 0 0 0 Louis M Nanni MA 295132 0 930 0 11721 0 24500 0 19821 0 352104 0 0 0 Rev Mark L Poorman CSC PhD 234367 0 500 0 23520 0 0 0 11455 0 269842 0 0 0 Donald B Pope-Davis PhD 225533 0 8180 0 11174 0 23000 0 25537 0 293424 0 0 0 John A Sejdinaj MBA CCM 299635 0 180 0 16593 0 24500 0 28886 0 369794 0 0 0 John B Swarbrick Jr 577192 0 100750 0 55259 0 174500 0 24531 0 932232 0 0 0 Michael P Brey 415843 0 68728 0 44022 0 24500 0 20881 0 573974 0 0 0 Michael D Donovan MBA JD 407039 0 388465 0 16500 0 244142 0 6296 0 1062442 0 168823 0 Roger D Huang PhD 526923 0 4649 0 16596 0 24500 0 24094 0 596762 0 0 0 Muffet McGraw 512163 0 40795 0 37652 0 24500 0 28803 0 643913 0 0 0 Charles J Weis 465498 0 55000 0 6718696 0 24500 0 20854 0 7284548 0 0 0 Jeffery Kantor (Former Officer) 235302 0 0 0 5476 0 24278 0 45372 0 310428 0 0 0 Rev Edward T Malloy CSC 121267 0 0 0 12210 0 0 0 11455 0 144932 0 0 0 L Tyrone Willingham 0 0 0 0 650000 0 0 0 0 0 650000 0 0 0 Part I, Line 1a First class travel-Air travel other than coach class (typically business class) is allowed for Officers and key employees for travel to Alaska, Hawaii and destinations outside North America or for necessary medical reasons (accompanied by appropriate supporting documentation), if the situation warrants and with approval from a Dean or Officer. Charter travel-Travel on the University plane or other plane leased by the University is available to Officers and key employees of the University, and requires approval by the President's Office. Any incidental personal use is taxed to the individual. Travel for companions-Spouses of faculty and staff are occasionally asked to travel on University business. Spouse travel reimbursement by the University requires approval by a Dean or Officer, or their authorized representative, and if the business purpose of the spousal travel is not properly documented, it will be taxed to the employee. Tax indemnification and gross-up payments-May occasionally be provided to officers or key employees of the University. An example of when this type of payment may be provided would be when tax treatment of an item is uncertain. Housing allowance or residence for personal use-May be provided to officers or key employees of the University, typically on a temporary basis (and appropriately included in the individual's income) to a new key employee or officer as they transition to the area. Certain officers or key employees are members of the CSC Religious Order and live in University dormitories or apartments, while providing guidance to students for the convenience of the University. Social club dues-Social club dues are occasionally provided as a benefit for certain highest compensated employees of the University, and these dues are added to the individual's income to reflect any personal use (as reported on an annual basis). Part I, Line 4a (i)-Termination payment of $650,000 was made during the reporting period to L. Tyrone Willingham under a separation agreement that includes annual payments through December, 2009. 4a(ii)-Termination payment of $6,638,403 was made during the reporting period to Charles J. Weis under a separation agreement that includes much smaller annual payments through December, 2015. 4b-John Affleck-Graves, Executive Vice President, Thomas Burish, Provost, and John W. Swarbrick, Athletic Director, participated in nonqualified deferred compensation arrangements under Internal Revenue Code Section 457(f) during calendar 2009. Affleck-Graves received an accrued benefit of $95,000 and was paid $416,238 as the vested benefit under his nonqualified deferred compensation plan in 2009. Burish received an accrued benefit of $99,120, and Swarbrick received an accrued benefit of $150,000 during that calendar year. The accrued benefit and related earnings vest to all three participants at the end of the term of each plan (5 or 6 years). Part I, Line 5 a(i)-Scott Malpass, Vice President and Chief Investment Officer, received incentive compensation which was in part calculated contingent on the performance of the University's unitized investment pool. Malpass received $808,857 in calendar 2009 related to this program. 5a(ii)-Michael D. Donovan, Managing Director, Investments, received incentive compensation which was in part calculated contingent on the performance of the University's unitized investment pool. Donovan received $388,465 in calendar 2009 related to this program. Supplemental Information Part III Schedule J, Part II-Compensation of Priests of Holy Cross (C.S.C.) a. There are amounts listed on Form 990, Part VII, in Columns D-F, as well as the amounts listed on Schedule J, Part II, Columns B-F for members of the Holy Cross religious order (Fr. Peter Jarret, Fr. John Jenkins, Fr. Edward Malloy, Fr. Mark Poorman, and Fr. Timothy Scully). The amounts listed are paid directly to their religious order, Priests of Holy Cross, Indiana Province, rather than to these individuals. b. Frs. Timothy Scully and Peter Jarret are members of the Holy Cross religious order and received no compensation for their participation as Trustees of the University. However, both Fr. Scully and Fr. Jarret are also faculty members of the University. As a result of these faculty positions (and not their positions as Trustees), they received the compensation indicated above, which was paid directly to their religious order. c. Most of the amount included on Schedule J, Part II, Column D for Fr. Jenkins and Fr. Scully represents a qualified tuition benefit offered to members of the Priests of Holy Cross, Indiana Province. Form 990, Part VII, Line 5-Compensation from an Unrelated Organization Name Unrelated Compensation Compensation Organization Type Amount Michael P. Brey Play by Play Sports Cash $120,000 Charles J. Weis Play by Play Sports Cash $1,384,727 St Joseph County Indiana 356000194 79061ABD8 2003-12-16 65000000 See Schedule O 0 0 St Joseph County Indiana 356000194 79061ABF3 2008-11-06 75000000 See Schedule O 0 0 St Joseph County Indiana 356000194 79061ABE6 2007-12-14 75000000 See Schedule O 0 0 St Joseph County Indiana 356000194 79061ABK2 2009-09-30 153953342 See Schedule O 0 0 55045000 333733 30287250 2007 1 0 1 1 75000000 370716 72737770 2010 1 0 1 1 75000000 246545 24599109 2010 1 0 1 1 153892649 953386 1 0 1 1 0 1 1 1 1 0.00010 0.00020 0.00030 1 0 1 1 1 1 0.00020 0.00050 0.00070 1 0 1 1 1 1 0.00000 0.00000 0.00000 1 0 1 1 1 1 0.00020 0.00050 0.00070 1 0 1 1 See Schedule O 0 0 1 0 1 1 Goldman Sachs 25.000000000000 1 See Schedule O 1 0 1 0 1 1 See Schedule O 0 0 1 0 0 0 0 0 1 NA Qualified Tuition Reduction See Col.(b) Amount $ 339983. Pamela Burish See Schedule O 38418 See Sched O 0 American Electric Power Co Inc See Schedule O 2338381 See Sched O 0 Reinhart FoodService LLC See Schedule O 162960 See Sched O 0 Jones Day See Schedule O 354414 See Sched O 0 Navigant Consulting Inc See Schedule O 433500 See Sched O 0 X 21 0 X 0 X 1 0 X 540 62891131 Proceeds from sale X 1 1252515 Proceeds from sale X 1 0 X Equipment 9 0 X Misc. 34 0 X Software & Licenses 1 0 11 0 1 0 Method for Determining Number of Contributors: Part I, Column (b): The amounts shown in Part I, Column B for "Number of Contributions" represent the total number of items contributed and not the total number of contributions contributed. Non Reporting of Revenue: Part I, Line 33: For gifted securities, the University records the proceeds received upon liquidation, broken down between contribution (for the value at date of gift) and gain or loss (for the difference between that and proceeds). Outside of gifted securities, the University's policy is to record as revenues only those non-cash contributions in excess of one million dollars. Form 990, Part VI, Section B, line 11 The review process for the completed Form 990 begins with several levels of internal review within the Controller's Office. The return is then reviewed by the University's outside tax accountants (PricewaterhouseCoopers) and presented to the University's Tax Strategy Committee, which includes University officers (Executive Vice President, Vice President for Finance and General Counsel), the Chief Audit Executive, the Controller and members of his tax and compliance staff, and PricewaterhouseCoopers. Following this internal process, the return is presented for review to the Audit Committee of the Board of Trustees, and upon completion of their review, it is provided to the full Board of Trustees. Form 990, Part VI, Section B, line 12c All faculty, staff and students who are in a position to influence or commit resources of the University of Notre Dame are considered "members" who must complete and submit on no less than an annual basis a Conflict of Interest Disclosure Survey. Such surveys are evaluated by the appropriate "Reviewer". Each member's Reviewer depends on whether they are faculty, staff, department chair, or dean, but ultimately all actual, potential, and perceived conflicts of interest are reviewed by the University Conflicts Committee. The Reviewer determines whether an actual, potential, or perceived conflict of interest exists and makes a recommendation to the University Conflicts Committee as to what conditions or restrictions, if any, should be imposed by the University to manage, reduce, or eliminate such conflicts. The Reviewer, with input from the member if needed, develops a Management Plan for submission to the University Conflicts Committee. The University Conflicts Committee then makes a decision regarding disposition of a disclosure based on the Reviewer's recommendation, the details regarding the Member's actual, potential, or perceived conflict of interest, and the proposed Management Plan. Members of the University's Board of Trustees are governed by a separate conflict of interest policy and must disclose all financial interests and material facts pertinent to any potential conflict on their annual Conflict of Interest statement (or whenever potential conflicts arise) to the Audit Committee of the Board. This policy is coordinated, administered, reviewed, and monitored by the University's internal Audit & Advisory Services department. After any discussion or presentation of the financial interests and material facts to the Audit Committee, the individual must recuse himself/herself during the discussion of, and voting on, the potential conflict. The Audit Committee shall assess whether the potential conflict is reasonable and the result of arms-length negotiation conforming to the University's written policies, as well as if the action furthers the University's charitable purposes and is in the best interests of the University. The Chairman of the Audit Committee shall, if appropriate, appoint a disinterested person or Committee to investigate alternatives to the proposed transaction or arrangement. Should the Audit Committee have reason to believe a Trustee-member has failed to disclose all financial interests and material facts pertinent to a potential conflict of interest, it shall inform the individual of such, and afford the individual the opportunity to further explain all interests and facts pertinent to the potential conflict. If it is determined that an individual has not disclosed all financial interests and material facts pertinent to an actual or potential conflict of interest, corrective action shall be taken as deemed appropriate. The minutes of any meeting of the University's Board of Trustees or other governing board of the University considering a conflict of interest, including committees and sub-committees of such boards, shall include the names of those present for discussion and voting, as well as those recused from the discussion and voting, on any transaction, arrangement, relationship, or other action involving a potential conflict of interest. Form 990, Part VI, Section B, line 15 The Compensation Committee of the Board of Trustees develops, in conjunction with the President, Executive Vice President, and Vice President of Human Resources, an overall Total Reward Philosophy for Key Employees, which supports the University's overall mission, and shall recommend such Total Reward Philosophy to the Board for approval. The Committee acts on behalf of the Board to implement the executive compensation policy, approve executive compensation levels, adopt a benefit and perquisite policy, and justify reasonable compensation paid to the President, Executive Vice President, and Provost of the University, and other persons who are "disqualified persons" under Internal Revenue Code Section 4958 (intermediate sanctions). The Committee researches competitive and reasonable annual base salary levels, annual incentive plans, executive benefit plans, welfare benefits and supplemental benefits of the named executives and other key individuals. Upon completion of the research, the Committee approves the specific levels and amounts of total rewards that will be paid to, or provided for the benefit of, the named executives and other key individuals. The Committee examines the reasonableness of compensation levels. In so doing, the Committee assesses the nature and scope of the position of each executive by reviewing the basis on which compensation was paid to the individual. This includes a review of compensation for, but not limited to, exceptional performance, additional duties, and/or the unique background, experiences, personal skills and the abilities of the executive, as well as special challenges facing the University that require the use of such attributes or skills. The Committee's evaluation includes valid market data provided by an independent third party consultant that details each compensation component and the total package in light of the University's executive compensation philosophy. The Committee conducts such examination to be able to establish a presumption under Section 4958 that the total reward package offered to "disqualified persons" is reasonable. Form 990, Part VI, Section C, line 19 The University makes its governing documents (http://nd.edu/leadership/pdf/Currentbylaws_July_2007.pdf, http://nd.edu/leadership/pdf/charter-statutes.pdf) and financial statements (http://cfweb-prod.nd.edu/controller/annual-report) available to the public on the University's website. Notre Dame makes its conflict of interest policy that applies to all employees available to the public by posting it on the University's website (http://policy.nd.edu/policy_files/ConflictofInterstPolicy.pdf). This information, as well as copies of Form 990 and Form 990-T, is also available upon request. Form 990 is also available on the charity websites Guidestar (http://www2.guidestar.org/) and Charity Navigator (http:www.charitynavigator.org/). Notre Dame does not make its trustees' conflict of interest policy available to the public. Form 990, Part VII, Section A, Columns (E) and (F): Reasonable Efforts As part of an annual filing that includes both compensation information and a conflict of interest questionnaire, the University requires all individuals reported on Part VII of Form 990 to complete and sign this questionnaire. These individuals also receive detailed documentation regarding the compensation items that the University will report for them on Form 990. The questionnaire document includes questions regarding compensation paid by related parties, and provides pertinent instructions and definitions releated to Form 990, Part VII, Section A, Columns (E) and (F). Schedule K, Part I, Line A Bond Issues Description of Purpose $65,000,000 St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2003 originally issued on December 16, 2003. Bond proceeds were utilized to refund the Indiana Educational Facilities Authority Educational Facilities Revenue Bonds, Series 1992 dated November 5, 1992 and to refund the Indiana Educational Facilities Authority Educational Facilities Revenue Bonds, Series 1994 dated November 30, 1994. Proceeds were also applied to finance and reimburse a portion of the costs of various campus improvements. Those improvements include (i) construction of a performing arts center and science learning center, (ii) general repairs and improvements to the Alumni and Dillon Residence Halls, (iii) renovation and improvements to utility infrastructure and (iv) general construction and renovation projects. Schedule K, Part I, Line B Bond Issues Description of Purpose $185,000,000 St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2005 originally issued on December 8, 2005. $75,000,000 of the Series 2005 Bonds were converted from a weekly rate period to a term rate period commencing November 6, 2008 and ending February 29, 2012. $110,000,000 of the Series 2005 Bonds were refunded by the St. Joseph County Series 2009 Bonds. Bond proceeds were used to refund the Indiana Health and Educational Facility Financing Authority Educational Facilities Revenue Bonds, Series 1995 dated August 9, 1995, to refund the St. Joseph County, Indiana Educational Facilities Revenue Bonds, Series 1996 dated September 12, 1996, and to refund a portion of the St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2002 dated March 5, 2002. Proceeds were also utilized to finance and reimburse a portion of the costs of various campus improvements.Those improvements include (i) the construction of new roads along the south and east boundaries of the University's campus and the realignment of Angela Boulevard, Edison Road and Ivy Road in connection therewith, and the closing of Juniper Road, (ii) renovation and improvements to the Student Health Center, (iii) repair and regilding of the dome on top of the Administration Building, (iv) renovation and improvements to laboratory facilities within the Galvin Life Science Building, (v) general construction and renovation projects. Schedule K, Part I, Line C Bond Issues Description of Purpose $75,000,000 St. Joseph County, Indiana Educational Facilities Refunding Revenue Bonds, Series 2007 originally issued on December 14, 2007. Bond proceeds were utilized to refund the St. Joseph County, Indiana Educational Facilities Revenue Bonds, Series 1997 dated November 20, 1997, and to refund the Indiana Educational Facilities Authority Educational Facilities Refunding Revenue Bonds, Series 1997 dated November 19, 1997. Proceeds were also applied to finance and reimburse a portion of the costs of various campus improvements. These improvements include (i) the construction of an addition to the Mason Support Services Center, (ii) the renovation and improvements to a laboratory facility within Nieuwland Science, (iii) general construction and renovation projects. Schedule K, Part I, Line D Bond Issues Description of Purpose $146,565,000 St. Joseph County, Indiana Educational Facilities Refunding Revenue Bonds, Series 2009 issued on September 30, 2009. Bond proceeds were used to refund the St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 1998 dated October 1, 1998 and the St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2005 dated December 8, 2005. Schedule K, Part II, Line 1B The original par amount of the Series 2005 Bonds was $185,000,000. $110,000,000 was later refunded as part of the Series 2009 bonds. $75,000,000 remain outstanding as the Series 2005 Bonds. Schedule K, Part II, Line 1D The Series 2009 Bonds refunded the Series 1998 Bonds ($43,000,000) and a portion of the Series 2005 Bonds ($110,000,000 of the $185,000,000 Series 2005 Bonds). Schedule K, Part II, Line 7 Includes capital expenditures and capitalized interest. Excludes capitalized line fees and swap payments. Schedule K, Part II, Line 8 Some projects that were financed with the Series 2007 bonds are still in progress. Reflected as 2010 but will be updated to 2011 on Schedule K for fiscal year 2011. Schedule K, Part III, Line 3c Internal General Counsel reviews agreements. Schedule K, Part III, Lines 4 and 5 The University reported the private business use percentages in Part III of Schedule K after reviewing the private business activity on campus. The University's intent upon issuance of the bonds was that equity contributions would first be allocated to any potential private business use in the financed facilities. While private use was identified for all of the bond issues, the percentage was so small that it does/may not appear when rounded to the nearest tenth of a percent. The University financed a number of infrastructure/renovation projects that met the criteria as Qualified Improvement Exceptions. Schedule K, Part IV, Line 3b and 3c Column A Name of provider: Goldman Sachs Term of hedge: 19.0 Name of provider: HSBC Term of hedge: 29.2 Schedule K, Part IV, Lines 3b and 3c Column C Name of provider: Goldman Sachs Term of hedge: 19.0 Name of provider: HSBC Term of hedge: 29.2 Schedule K, Part IV, Lines 4b and 4c Column B Name of provider: AIG Matched Funding Corp Term of hedge: 0.2 Name of provider: AIG Matched Funding Corp Term of hedge: 2.0 Schedule L, Part IV 1. (a) Pamela Burish (b) Relationship between interested person and the organization: Spouse of Officer/Trustee Thomas Burish (d) Description of transaction: Compensation from University to Mrs. Burish as an Adjunct Assistant Professional Specialist 2. (a) American Electric Power Co., Inc. (b) Relationship between interested person and the organization: University Trustee Sara Martinez Tucker is a Director of American Electric Power Co., Inc., which provides power for the University campus (c) Represents less than 11 percent of all University utilities expense (d) Description of transaction: American Electric Power Co., Inc.'s charges are determined by rates negotiated between American Electric Power Co., Inc. and the State of Indiana at arm's length. These charges and the relationship between American Electric Power Co., Inc. and the University are in compliance with the University's overall conflict of interest policy. 3. (a) Reinhart FoodService, LLC (b) Relationship between interested person and the organization: University Trustee J. Christopher Reyes is an owner and co-chairman of Reyes Holdings, LLC. Reinhart FoodService, LLC is a wholly-owned subsidiary of Reyes Holdings, LLC. (c) Represents less than 1 percent of total University food expenditures paid (d) Description of transaction: Reinhart FoodService, LLC provides food distribution services to the University. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy. 4. (a) Jones Day (b) Relationship between interested person and the organization: University Trustee Stephen Brogan is the Managing Partner of Jones Day. In addition, Patrick McCartan is also a University Trustee and a Senior Partner with Jones Day. (c) Represents less than 24 percent of all University legal fees paid (d) Description of transaction: Jones Day provides legal services to the University. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy. 5. (a) Navigant Consulting, Inc. (b) Relationship between interested person and the organization: University Trustee William Goodyear is the Chairman and CEO of Navigant Consulting, Inc. (d) Description of transaction: Navigant Consulting, Inc. provides consulting services to the University. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy. Schedule R, Part V, Column (c) Description of method used to determine the value of the services, cash, and other assets reported in column (c): All transactions with controlled entities within the meaning of section 512(b)(13) are entered into on an arm's length basis. For example, if the University leases space to a controlled entity, the lease agreement is for rent comparable to similar leased property. The preponderance of transactions with contolled entities are contributions in support of controlled tax-exempt entities or cash capital contributions to controlled endowment investment partnerships. Form 990, Part I, Line 1 and Part III, Line 1 University's Mission The University of Notre Dame is a Catholic academic community of higher learning, animated from its origins by the Congregation of Holy Cross. The University is dedicated to the pursuit and sharing of truth for its own sake. The University seeks to cultivate in its students not only an appreciation for the great achievements of human beings, but also a disciplined sensibility to the poverty, injustice, and oppression that burden the lives of so many. The aim is to create a sense of human solidarity and concern for the common good that will bear fruit as learning becomes service to justice. This statement speaks of the University of Notre Dame as a place of teaching and research, of scholarship and publication, and of service and community. *From the mission statement of the University of Notre Dame: http://nd.edu/aboutnd/mission-statement/ BCMR Feeder - TE GP LLC 518 17th Street Suite 1700 Denver CO 802024130 Feeder Fund DE -6020 4418 N/A Dynamo Brasil III LLC Ave Ataulfo de Paiva 7th E 8 2240-0 Andares, Rio de Janeiro BR Investments BR -833000 73353000 N/A ND Properties I LLC Controllers Office 731 Grace Hall Notre Dame IN 46556 Leasing IN 0 14832122 N/A Voice of the Fighting Irish Controllers Office 731 Grace Hall Notre Dame IN 46556 351135580 Radio Station IN 501(c)(3) Line 11a, I N/A University of Notre Dame du Lac Gillen Foundation Controllers Office 731 Grace Hall Notre Dame IN 46556 237125378 Research Facility Operations MI 501(c)(3) Line 11a, I N/A The University of Notre Dame (USA) in England 1 Suffolk Street London UK SW1Y 4HG University Study Abroad Program UK N/A N/A N/A Innovation Park at Notre Dame Inc Controllers Office 804 Grace Hall Notre Dame IN 46556 943445005 Research Park IN 501(c)(3) Line 11a, I N/A Fundacion University of Notre Dame Chile Av Vicuna Mackenna 4860 Macul Pr Internacionales, Santiago CI University Study Abroad Program CI N/A N/A N/A Association of Notre Dame Clubs Inc Controllers Office 731 Grace Hall Notre Dame IN 46556 311050144 Alumni Association IN 501(c)(3) Line 11c, III-FI N/A Merit Energy Partners VIII LP 13727 Noel Rd Suite 500 Dallas TX 75240 752530212 Direct Energy Investments DE N/A Investment 21496809 93323456 0 0 Santa Fe Interests LLC 300 Park Blvd Suite 500 Itasca IL 60143 203977995 Rental Real Estate DE N/A Investment -282932 51882992 0 0 Magna NYC Co-Investment LP 300 Centerville Rd Suite 300 East Warwick RI 02886 261523052 Real Estate Investment DE N/A Investment 293348 20094449 0 0 Thor Palmer House Co-Investor LP 25 West 39th Street New York NY 10018 203283109 Real Estate Investment DE N/A Investment -1719612 48523485 0 0 IPND Leverage Lender LLC Controllers Office 731 Grace Hall Notre Dame IN 46556 271678084 Finance IN N/A Investment 170425 11764505 0 0 SSGA US GovernmentCredit Bond Index NL QP CTF One Lincoln Street Boston MA 02111 276126714 Common Trust Fund MA N/A Investment 4119811 159243421 0 0 BCMR Feeder - TE LP 518 17th Street Suite 1700 Denver CO 80202 980582629 Feeder Fund CA N/A C -595950 437376 0.99000 Kingdom Ridge Capital Fund Ltd 81 Main Street Suite 209 White Plains NY 10601 Investments CJ N/A C -4152845 87569726 0.70800 India Equity Growth Fund (Investors) Limited 65 Chulia Street 39-08 OCBC Centr SN 049513 Investments MP N/A C -2683932 58944295 0.71200 Tegean Offshore Fund Ltd Two Grand Central Tower 140 E 45th New York NY 100177157 Feeder Fund CJ N/A C 2530841 74350518 0.96080 0 1 0 0 0 0 0 0 1 1 1 1 0 1 0 0 0 1 Voice of the Fighting Irish Inc B 64833 University of Notre Dame Gillen Foundation B 709838 The University of Notre Dame (USA) in England B 4203088 Innovation Park at Notre Dame Inc B 997989 Fundacion University of Notre Dame Chile B 248693 Magna NYC Co-Investment LP B 108607 Thor Palmer House Co-Investor LP B 1500000 IPND Leverage Lender LLC B 11594080 BCMR Feeder - TE LP B 1043728 India Equity Growth Fund (Investors) Limited B 30000000 Tegean Offshore Fund Ltd B 5000000 Santa Fe Interests LLC J 359689 Innovation Park at Notre Dame Inc N 52800 Merit Energy Partners VIII LP R 27992250 Santa Fe Interests LLC R 675000 Kingdom Ridge Capital Fund Ltd R 879873 SSGA US GovernmentCredit Bond Index NL QP CTF B 108574715 SSGA US GovernmentCredit Bond Index NL QP CTF R 133574715 Innovation Park at Notre Dame Inc I 80000