2011-07-14T10:45:00-05:00 2010-08-31 Deloitte Tax LLP 111 S Wacker Drive Chicago IL 60606 990 2009-09-01 362167817 Northwestern University NORT 8474913741 633 Clark St Evanston IL 60208 Eugene Sunshine 8474913741 2011-07-14 3124861000 2009 2016-02-24 21:20:13Z Eugene Sunshine 633 Clark St Evanston IL 60208 3354539840 0 X www.northwestern.edu X 1851 IL Education and research 36 24 22161 0 -11277014 0 199295810 200683218 1347831746 1454577011 -55764935 353410782 82205410 87667763 1573568031 2096338774 235491275 279867991 0 791263543 849525993 253403 196264 28658760 878539844 853608939 1905548065 1983199187 -331980034 113139587 7920245885 8362828437 1590762503 1578804468 6329483382 6784023969 University Mission Statement: Northwestern is committed to excellent teaching, innovative research, and the personal and intellectual growth of its students in a diverse academic community. 0 0 1161182407 224972358 899428407 Education of students: For the 2010 academic year, 8,496 undergraduates and 8,150 graduates and professional school students enrolled full-time at the University. The exempt purpose of Northwestern University is to provide educational services to its students. This includes superior undergraduate education for a diverse student body in a comprehensive range of academic and professional fields. At the graduate level, Northwestern's role encompasses offerings in the major academic and professional fields, closely related to research, creative activities, and clinical services. 441906000 54895633 485302957 Research activities: The research program at Northwestern University is a major component of University efforts, assuring institutional leadership in scientific discovery, intellectual inquiry, and creative performance. The character of this research shapes all areas of University endeavor, especially graduate education as well as undergraduate studies. 109812000 74842418 Auxilliary enterprises serve the educational mission by primarily providing residences and food services, and other various goods and services to support University student, faculty, and staff activities. 1712900407 1 1 0 1 1 0 0 0 1 1 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 1 0 1 1 1 1 0 0 0 1 1 1 0 1 27305 0 1 22161 1 1 1 1 NI QA 0 0 0 1 1 0 0 0 0 0 36 24 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 0 AK AZ KY ME MD MI NH NY OH OR SC WA X Karl Turro Controller 8474914722 619 Clark St Evanston IL 60208 Peter J Barris 1.00 X 0 0 0 Judith S Block 1.00 X 0 0 0 John A Canning Jr 1.00 X 0 0 0 Nicholas D Chabraja 1.00 X 0 0 0 A Steven Crown 1.00 X 0 0 0 Richard H Dean 1.00 X 0 0 0 Charles W Douglas 1.00 X 0 0 0 D Cameron Findlay 1.00 X 0 0 0 Dennis J FitzSimons 1.00 X 0 0 0 T Bondurant French 1.00 X 0 0 0 Christopher B Galvin 1.00 X 0 0 0 J Douglas Gray 1.00 X 8450 6650 0 Philip L Harris 1.00 X 0 0 0 Thomas Z Hayward Jr 1.00 X 0 0 0 Jay C Hoag 1.00 X 0 0 0 Lester B Knight 1.00 X 0 0 0 Timothy K Krauskopf 1.00 X 0 0 0 Edward M Liddy 1.00 X 0 0 0 Ann Lurie 1.00 X 0 0 0 J Landis Martin 1.00 X 0 0 0 R Eden Martin 1.00 X 0 0 0 Lee M Mitchell 1.00 X 0 0 0 William A Osborn 1.00 X 0 0 0 JB Pritzker 1.00 X 0 0 0 M Jude Reyes 1.00 X 0 0 0 Patrick G Ryan 1.00 X 0 0 0 Patrick G Ryan Jr 1.00 X 0 0 0 Paul L Sagan 1.00 X 0 0 0 William E Sagan 1.00 X 0 0 0 D Gideon Searle 1.00 X 0 0 0 Andrew E Senyei MD 1.00 X 0 0 0 Benjamin W Slivka 1.00 X 0 0 0 Timothy P Sullivan 1.00 X 0 0 0 David B Weinberg 1.00 X 0 0 0 Miles D White 1.00 X 0 0 0 William Wrigley Jr 1.00 X 0 0 0 Morton O Schapiro 40.00 X 375649 0 222214 Daniel I Linzer 40.00 X 446935 0 33539 Eugene S Sunshine 40.00 X 766012 0 31314 William J Banis 40.00 X 214089 0 29081 Alan K Cubbage 40.00 X 229160 0 23892 J Larry Jameson 30.00 X 732335 745762 69991 Marilyn McCoy 40.00 X 243096 0 31388 Morteza A Rahimi 40.00 X 584031 0 31159 Sarah Risley Pearson 40.00 X 375454 0 51023 Joseph T Walsh Jr 40.00 X 258425 0 89335 William H McLean 40.00 X 1529011 0 65008 Thomas G Cline 40.00 X 415836 0 35934 Henry S Bienen 40.00 X 2124520 0 116255 Jeffrey C Miller 40.00 X 674936 0 33709 Ronald Nayler 40.00 X 295657 0 28274 Patrick M McCarthy 10.00 X 85972 1483667 50327 H Huntington Batjer 30.00 X 115747 1037100 62624 Patrick W Fitzgerald II 30.00 X 1156060 0 33901 Murad Alam 10.00 X 3000 1145819 36577 Thomas A Mustoe 30.00 X 178203 873289 60008 Lewis Landsberg 30.00 X 237631 174509 47347 11050209 5466796 1182900 1557 1 1 0 LBR Consolidated Services 440 Bonner Rd Wauconda IL 60084 Custodial services 6901403 LS Power Development 1700 Broadway New York NY 10019 Investment management 3294850 Natural Gas Partners 125 E John Carpenter Freeway Irving TX 75062 Investment management 2699440 Europa Capital LLP 132 Sloane St London UK SW1X9AX Investment management 1804703 Denham Capital Management 200 Clarendon St Boston MA 60601 Investment management 1547329 318 907988 199775230 11986031 200683218 Tuition and fees 900099 726246495 726246495 Research activities 900099 485302957 485302957 Educational activities 900099 116216209 116216209 Auxilliary enterprises 900099 74842418 74842418 Medical departments 900099 28732940 28732940 23235992 23235992 1454577011 126809581 4944170 121865411 95633145 95633145 5269348 2439402 2829946 2829946 2829946 668356014 813887184 633196178 622445819 35159836 191441365 226601201 52601 226548600 172781 907988 119667 53114 53114 Alumni affinity card 900099 428572 428572 Alumni travel study 561520 142910 142910 Investment in partners 523000 -11522149 -11522149 102225 102225 -10848442 2096338774 1459573782 -11277014 447358788 45348686 45348686 196307547 196307547 38211758 38211758 10117187 1443424 8247286 426477 678163317 610339360 51876083 15947874 56341318 50635848 4402661 1302809 56635113 50426218 4791132 1417763 48269058 43402627 3755211 1111220 4378527 4378527 691320 691320 595306 595306 196264 196264 88261058 88261058 181120120 158561573 20982083 1576464 14535082 10225204 927978 3381900 116993277 97131339 18718375 1143563 22360462 22310723 24151 25588 33268376 33268376 118711418 117782752 597160 331506 54924829 54023791 379406 521632 20281282 19921854 275014 84414 28948372 28948372 104963493 101250113 2705672 1007708 Sundry payments 63576017 62309214 1083225 183578 1983199187 1712900407 241640020 28658760 161110520 235882939 153886000 85689000 284670741 318612841 52717905 48636928 3597191 2772023 58356139 62973901 2465814024 984522309 1436227439 1481291715 521807695 493546481 5176284925 5611657293 13081496 167896 58505834 21597420 7920245885 8362828437 210922360 207729076 303351876 319148544 611165655 608412043 215000000 200000000 250322612 243514805 1590762503 1578804468 X 3699050382 4047334969 1621873000 1698125000 1008560000 1038564000 6329483382 6784023969 7920245885 8362828437 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 785982 785982 2007784036 2008570018 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 644715 732476 745207 785982 2908380 250000 250000 250000 250000 1000000 1500000 1 88059 607500 12697823 1 1 4398200000 61037000 400914000 11750000 121461000 4726940000 5378142000 49755000 -902883000 15536000 110979000 299000 4398200000 0.47000 0.20000 0.33000 0 0 28359768 28359768 2001584698 719455567 1282129131 4743374 2378131 2365243 431126184 262688611 168437573 1481291715 1413840073 F Equity, fixed income, real assets,etc 4197817220 F 5611657293 Deposits payable,actuarial liability of annuities payable 72165599 Reserves for self-insurance 16880000 Government advances for student loans 39143000 Asset retirement obligations 115326206 243514805 Part III, Line 1a: The University does not capitalize collections. As stated in the University notes to the financial statements, the accounting policy for library collections is to expense all purchases. Museum purchases are accounted for similarly. Gifts of art and similar tangible personal property are accounted for as gifts-in-kind. Part X: Description of Uncertain Tax Positions Under FIN 48: In accordance with the requirements of the FASB ASC Income Taxes Topic, the University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the "more likely than not" standard for sustainability on examination by tax authorities. Part X, line 25, Asset Retirement Obligations: The University follows the FASB Interpretation No. 47, "Accounting for Conditional Asset Retirement Obligations-An Interpretation of FASB Statement No. 143"(FIN 47). FIN 47 clarifies the term conditional asset retirement obligation as it is used in SFAS No. 143, " Accounting for Asset Retirement Obligations," and requires a liability to be recorded if the fair value of the obligation to retire an asset can be reasonably estimated. Asset retirement obligations covered by FIN 47 include those for which an entity has a legal obligation to perform an asset retirement activity; however, the timing and/or method of settling the obligation are conditional on a future event that may or may not be within the control of the entity. In accordance with FIN 47, the University records all known asset retirement obligations for which the fair value of the liability can be reasonably estimated, including certain obligations relating to regulatory remediation. 1 1 1 Policies are included in student, faculty, and staff handbooks Policies are also periodically reprinted in school newspapers 1 1 1 1 0 0 0 0 0 0 0 0 1 0 The University receives financial support from agencies of the federal government for research purposes and for financial aid to students; additional financial aid support for students is received from agencies of the State of Illinois. 1 Northwestern University does not discriminate or permit discrimination by any member of its community against any individual on the basis of race, color, religion, national origin, sex, sexual orientation, gender identity, gender expression, parental status, marital status, age, disability, citizenship, or veteran status in matters of admissions, employment, housing, or services or in the educational programs or activities it operates. 1 Middle East and North Africa 1 86 Maintaining offices, employees or agents International campus in Doha, Qatar for students in journalism and communications. 26413368 Central America and the Caribbean Program services Study abroad programs 51002 East Asia and the Pacific Program services Study abroad programs 845706 Europe Program Services Study abroad programs 1532448 East Asia and the Pacific Fundraising 78983 Central America and the Caribbean Program Services Business travel abroad (includes travel to attend seminars and conferences) 111824 East Asia and the Pacific Program services Business travel abroad (includes travel to attend seminars and conferences) 708104 Europe Program services Business travel abroad (includes travel to attend seminars and conferences) 1849208 Middle East and North Africa Program services Business travel abroad (includes travel to attend seminars and conferences) 318086 North America Program services Business travel abroad (includes travel to attend seminars and conferences) 350699 Russia and the Newly Independent States Program services Business travel abroad (includes travel to attend seminars and conferences) 14314 South America Program services Business travel abroad (includes travel to attend seminars and conferences) 201539 South Asia Program services Business travel abroad (includes travel to attend seminars and conferences) 107816 Sub-Saharan Africa Program services Business travel abroad (includes travel to attend seminars and conferences) 284913 Middle East and North Africa Program services Study abroad programs 1994786 Russia and the Newly Independent States Program services Study abroad program 8294 South America Program services Study abroad programs 403596 South Asia Program services Study abroad programs 207732 Sub-Saharan Africa Program services Study abroad programs 765886 Central America and the Caribbean Unrelated trade or business 722 East Asia and the Pacific Unrelated trade or business 243 Europe Unrelated trade or business 3135 Middle East and North Africa Unrelated trade or business 1472 Russia and the Newly Independent States Unrelated trade or business 473 South America Unrelated trade or business 2107 Central America and the Caribbean Investments Europe Investments North America Investments Sub-Saharan Africa Investments East Asia and the Pacific Program services Research 2143541 Europe Program services Research 1677078 Middle East and North Africa Program services Research 172274 North America Program services Research 2022052 South America Program services Research 10336 South Asia Program services Research 217 Sub-Saharan Africa Program services Research 164 Central America and the Caribbean Grantmaking 376758 East Asia and the Pacific Grantmaking 16666388 Europe Grantmaking 8455143 Middle East and North Africa Grantmaking 2531730 North America Grantmaking 4013008 Russia and the Newly Independent States Grantmaking 580210 South America Grantmaking 2123910 South Asia Grantmaking 3812349 Sub-Saharan Africa Grantmaking 1151165 1 86 81992779 East Asia and the Pacific Grant subaward from sponsored research funds 50668 ACH direct deposit or Check East Asia and the Pacific Grant subaward from sponsored research funds 66037 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 726225 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 136610 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 135065 ACH direct deposit or Check Europe Grant subaward from sponsored research funds 70875 ACH direct deposit or Check Middle East and North Africa Grant subaward from sponsored research funds 15563 ACH direct deposit or Check Middle East and North Africa Grant subaward from sponsored research funds 115385 ACH direct deposit or Check North America Grant subaward from sponsored research funds 25000 ACH direct deposit or Check North America Grant subaward from sponsored research funds 29595 ACH direct deposit or Check North America Grant subaward from sponsored research funds 10250 ACH direct deposit or Check North America Grant subaward from sponsored research funds 22148 ACH direct deposit or Check North America Grant subaward from sponsored research funds 29869 ACH direct deposit or Check North America Grant subaward from sponsored research funds 4158 ACH direct deposit or Check North America Grant subaward from sponsored research funds 75506 ACH direct deposit or Check North America Grant subaward from sponsored research funds 57940 ACH direct deposit or Check Sub-Saharan Africa Grant subaward from sponsored research funds 8865 ACH direct deposit or Check Sub-Saharan Africa Grant subaward from sponsored research funds 5190 ACH direct deposit or Check Sub-Saharan Africa Grant subaward from sponsored research funds 13851 ACH direct deposit or Check Sub-Saharan Africa Grant subaward from sponsored research funds 63989 ACH direct deposit or Check 20 Grants, stipends and awards to non-resident alien students Central America and the Caribbean 20 350542 ACH direct deposit or Check Grants, stipends and awards to non-resident alien students East Asia and the Pacific 839 16374286 ACH direct deposit or Check Grants, stipends and awards to non-resident alien students Europe 328 6673930 ACH direct deposit or Check Grants, stipends and awards to non-resident alien students Middle East and North Africa 106 2285770 ACH direct deposit or Check Grants, stipends and awards to non-resident alien students North America 129 2258525 ACH direct deposit or Check Grants, stipends and awards to non-resident alien students Russia and the Newly Independent States 23 580210 ACH direct deposit or Check Grants, stipends and awards to non-resident alien students South America 84 1720550 ACH direct deposit or Check Grants, stipends and awards to non-resident alien students South Asia 194 3764916 ACH direct deposit or Check Grants, stipends and awards to non-resident alien students Sub-Saharan Africa 53 997476 ACH direct deposit or Check Grants disbursed during student's enrollment in international program Central America and the Caribbean 2 26216 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program East Asia and the Pacific 45 175397 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Europe 110 702438 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Middle East and North Africa 13 115012 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program North America 1 11114 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South America 58 403360 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program South Asia 5 47433 Applied to student account; credits are refunded by check Grants disbursed during student's enrollment in international program Sub-Saharan Africa 14 61794 Applied to student account; credits are refunded by check Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Schedule F, Part IV Other Information Schedule F, Part I: The program services listed in Part I reflect international educational programs in which the University had material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its student access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad international programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f) of Schedule F. Schedule F, Part I, column(f), line 3: Expenditures reported in the Form 990, Schedule F, Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f). Schedule F, Part II, line 1: In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, line 1. Schedule F, Part III, method used to report cash grants and column (c): Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to non-resident alien status and participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Unique identifying numbers are summed with respect to grants extended to non-resident aliens and the numbers are reflected in Part III, column (c) based on the non-resident alien's country of citizenship. Separately, grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the dates of the applicable study abroad program. Similarly, grants disbursed to professional graduate students are reviewed to assess overlap with participation in international programming. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c). X X X X X X X 1 RuffaloCODY Phone solicitation 0 497870 119790 400172 Carol O'Brien Associates Campaign counseling 0 0 22960 0 R & R Newkirk Gift planning marketing 0 0 46689 0 Target Analytics Campaign counseling 0 0 6825 0 497870 196264 400172 AZ AK AR CT GA IL KS NM NC ND PA RI TN TX UT WV WI AL CA FL KY ME MN MO MI MS NY OR OH SC WA VA Dance Marathon 632640 586061 46579 60883 14208 Brain Tumor Institute Fundraiser 385895 301293 84602 7070 1 62234 20634 41600 5575 23425 3500 5006 1080769 907988 172781 66458 23425 10570 19214 119667 53114 1 Evanston Community Foundation Inc 1007 Church St Ste 108 Evanston IL 60201 363466802 501(c)(3) 62696 Charitable fundraising conducted by student org & support of charitable community organization Fabretto Children's Foundation 3124 North 10th Street Arlington VA 22201 363894824 501(c)(3) 13844 Charitable fundraising conducted by student organization Partners in Health PO Box 845578 Boston MA 02284 043567502 501(c)(3) 15341 Charitable fundraising conducted by student organization American Red Cross 2200 W Harrison St Chicago IL 60612 530196605 501(c)(3) 9078 Charitable fundraising conducted by student organization Metrosquash 5655 S University Ave Chicago IL 60637 202614486 501(c)(3) 8000 Charitable fundraising conducted by student organization Link Community Development 824 W Superior Street Ste312 Chicago IL 60642 208023219 501(c)(3) 8000 Charitable fundraising conducted by student organization Gift of Adoption PO Box 567 Techny IL 60082 361863217 501(c)(3) 8000 Charitable fundraising conducted by student organization Young America's Foundation 110 Elden St Herndon VA 20170 237042029 501(c)(3) 7500 Charitable fundraising conducted by student organization People's Music School Inc 931 W Eastwood Ave Chicago IL 60640 510192597 501(c)(3) 6800 Charitable fundraising conducted by student organization Habitat for Humanity Lake County IL Inc 315 N Martin Luther King Jr Ave Waukegan IL 60085 363659288 501(c)(3) 17000 Charitable fundraising conducted by student organization Chicago Academy of Sciences 2430 N Cannon Dr Chicago IL 60614 360895575 501(c)(3) 50000 Support of charitable community organizations Chicago Botanic Garden(Chicago Horticultural Society) 1000 Lake Cook Rd Glencoe IL 60022 362225482 501(c)(3) 115000 Support of charitable community organizations Lyric Opera of Chicago 20 North Wacker Drive Ste 860 Chicago IL 60606 366008929 501(c)(3) 7500 Support of charitable community organizations The Art Institute of Chicago 111 S Michigan Ave Chicago IL 60603 362167725 501(c)(3) 11000 Support of charitable community organizations Ravinia Festival 418 Sheridan Road Highland Park IL 60035 366002273 501(c)(3) 6000 Support of charitable community organizations United Way of Metropolitan Chicago 560 W Lake St Chicago IL 60661 360200478 501(c)(3) 15000 Support of charitable community organizations Orchestral Association of the Chicago Symphony 220 S Michigan Ave Chicago IL 60604 382167823 501(c)(3) 15000 Support of charitable community organizations Health for Humanity 415 Linden Ave Ste B Wilmette IL 60091 363820640 501(c)(3) 10000 Support of charitable community organizations Field Museum 1400 S Lake Shore Drive Chicago IL 60605 362167011 501(c)(3) 10000 Support of charitable community organizations Millennium Park Inc DT 111 S Wacker Drive Chicago IL 60602 364244167 501(c)(3) 10000 Support of charitable community organizations EVMark 1560 Sherman Ave Evanston IL 60201 363571291 501(c)(6) 19200 Support of charitable community organizations Chicago's North Shore Convention & Visitors' Bureau 8001 Lincoln Ave Ste715 Skokie IL 60077 364449110 501(c)(6) 25000 Support of charitable community organizations Evanston Public Library 1703 Orrington Ave Evanston IL 60201 363286198 501(c)(3) 10000 Support of charitable community organization Foundation 65 PO Box 750 Evanston IL 60204 364003165 501(c)(3) 36666 Support of charitable community organizations McGaw YMCA 1420 Maple Ave Evanston IL 60201 362169194 501(c)(3) 25000 Support of charitable community organizations City of Evanston 2100 Ridge Ave Evanston IL 60201 366005870 115 549485 Support of local governmental organization Garrett-Evangelical Theological Seminary 2121 Sheridan Rd Evanston IL 60201 362167085 501(c)(3) 7500 Support of charitable community organizations Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago IL 60611 363097297 501(c)(3) 1808483 Support of research activities 12th Man Foundation Bernard C Richardson Zone at Kyle Field Suite 12 College Station TX 77841 741185725 501(c)(3) 30236 Support of research activities AAAS 1200 New York Avenue NW Washington DC 20005 530196568 501(c)(3) 100762 Support of research activities Access Community Health Network 222 N Canal St Chicago IL 60606 363317058 501(c)(3) 183030 Support of research activities Access DuPage 511 Thornhill Dr M Carol Stream IL 60188 364448208 501(c)(3) 415819 Support of research activities Adler Planetarium & Astronomy Museum 1300 S Lake Shore Dr Chicago IL 60605 366210902 501(c)(3) 13874 Support of research activities ADT Security Services Inc 1 Town Center Road Boca Raton FL 33486 581814102 92743 Support of research activities Advocate Hope Childrens Hospital 4440 W 95th St Oak Lawn IL 60453 362169147 501(c)(3) 22364 Support of research activities Advocate Lutheran General Hospital 1775 W Dempster St Park Ridge IL 60068 362169147 501(c)(3) 22364 Support of research activities AIDS Arms Inc 219 Sunset Ave Dallas TX 75208 752306145 501(c)(3) 278450 Support of research activities Albert Einstein College of Medicine 1300 Morris Park Avenue Bronx NY 10461 131624225 501(c)(3) 66412 Support of research activities Amarillo Heart Group 1901 Port Lane Amarillo TX 79106 830362959 501(c)(3) 5590 Support of research activities American Cancer Society Illinois Division Inc 225 N Michigan Ste 1200 Chicago IL 60601 237040934 501(c)(3) 90649 Support of research activities American Institutes for Research 1000 Thomas Jefferson St NW Washington DC 20007 250965219 501(c)(3) 63637 Support of research activities American Lung Association 1301 Pennsylvania Ave NW Suite 800 Washington DC 20004 131632524 501(c)(3) 57152 Support of research activities Asian Human Services 4753 N Broadway Sutie 700 Chicago IL 60640 363005889 501(c)(3) 8625 Support of research activities Baptist Hospital of Miami 8900 N Kendall Drive Miami FL 33176 590910342 501(c)(3) 8960 Support of research activities Boston College 140 Commonwealth Ave Chestnut Hill MA 02467 042103545 501(c)(3) 39673 Support of research activities Boston Imaging Core Lab LLC 580 Harrison Avenue Boston MA 02118 261215497 41040 Support of research activities Boston Medical Center One Boston Medical Center Place Boston MA 02118 043314093 501(c)(3) 11905 Support of research activities Boys & Girls Clubs of Chicago 550 W Van Buren Street Suite 350 Chicago IL 60607 362166997 501(c)(3) 10824 Support of research activities Brentwood Biomedical Research Institute Inc 11301 Wilshire Blvd Los Angeles CA 90073 954183712 501(c)(3) 8840 Support of research activities Brigham and Women's Hospital 75 Francis St Boston MA 02115 042312909 501(c)(3) 614467 Support of research activities Cabot Security Materials Inc 325 E Middlefield Road Mountain View CA 94043 262158716 493039 Support of research activities Campbell-Kibler Associates Inc 80 Lakeside Dr Groton MA 01450 043297519 70135 Support of research activities Cardiology PC 801 Princeton Ave SW Birmingham AL 35211 630710054 92836 Support of research activities Carleton College One North College St Northfield MN 55057 410694747 501(c)(3) 60486 Support of research activities Case Western Reserve University 10900 Euclid Ave Cleveland OH 44106 341018992 501(c)(3) 33321 Support of research activities Chicago State University 9501 South King Drive Chicago IL 60628 362580815 115 29424 Support of research activities Children's Memorial Hospital 2300 N Lincoln Ave Chicago IL 60614 362170833 501(c)(3) 3095960 Support of research activities Christopher Newport University 1 University Pl Newport News VA 23606 540701501 115 14484 Support of research activities Cold Spring Harbor Laboratory One Bungtown Road Cold Spring Harbor NY 11724 112013303 501(c)(3) 19309 Support of research activities Colorado State University 203 Administration Building Fort Collins CO 80523 846000546 115 27106 Support of research activities Columbia University 615 W 131st Street New York NY 10027 131624202 501(c)(3) 44617 Support of research activities Cornell University 222 Day Hall Ithaca NY 14853 150532082 501(c)(3) 268862 Support of research activities Cutting Corporation 4940 Hampden Ln Bethesda MD 20814 520944767 6495 Support of research activities Dana-Farber Cancer Institute 44 Binney Street Boston MA 02115 076580745 72131 Support of research activities Dartmouth College 420 Lexington Ave New York NY 10170 020222111 501(c)(3) 22379 Support of research activities David Ostrow & Associates 5455 N Sheridan Road Suite 2503 Chicago IL 60640 205241516 25083 Support of research activities Duke University Chapel Dr Durham NC 27705 560532129 501(c)(3) 21889 Support of research activities East Bay Institute for Research and Education 150 Muir Road 151-I Martinez CA 64553 680177975 501(c)(3) 124065 Support of research activities Emory University 201 Dowman Dr Atlanta GA 30322 580566256 501(c)(3) 54360 Support of research activities Family Care Health Centers 401 Holly Hills Ave St Louis MO 63111 237076112 63413 Support of research activities Fisk University 1000 17th Ave N Nashville TN 37208 620202000 501(c)(3) 20705 Support of research activities G4 Capital Partners 14 Skillman Street Roslyn NY 11576 204262458 15000 Support of research activities GeoEngineers Inc 600 Stewart St Ste 1700 Seattle WA 98101 916237984 10638 Support of research activities George Washington University 2121 I Street NW Washington DC 20052 530196584 501(c)(3) 58690 Support of research activities H Lee Moffit Cancer Center & Research Institute 12902 Magnolia Ave Tampa FL 33612 592451713 501(c)(3) 10196 Support of research activities Hampton University 100 E Queen St Hampton VA 23668 540505990 501(c)(3) 34008 Support of research activities Harvard University Massachusetts Hall Cambridge MA 02138 042103580 501(c)(3) 103729 Support of research activities Health Research and Educational Trust 155 N Wacker Ste 400 Chicago IL 60606 362203931 501(c)(3) 17076 Support of research activities Health Research Incorporated Roswell Park Cancer Institute Division Elm Carlton Sts Buffalo NY 14263 141402155 78415 Support of research activities Hektoen Institute for Medical Research 2240 W Ogden Ave Chicago IL 60612 362244897 501(c)(3) 85621 Support of research activities Hematology Oncology Associates of Illinois Inc 676 N St Clair Street Suite 2140 Chicago IL 60611 364117454 36159 Support of research activities Hinshaw & Culbertson LLP 222 N LaSalle Street Suite 300 Chicago IL 60601 362128133 12500 Support of research activities Horizon Research Inc 326 Cloister Ct Chapel Hill NC 27514 561550276 8948 Support of research activities Howard Brown Health Center 4025 N Sheridan Road Chicago IL 60613 362894128 501(c)(3) 173241 Support of research activities Illinois Institute of Technology 3300 S Federal St Chicago IL 60616 362170136 501(c)(3) 30652 Support of research activities Indiana University 107 S Indiana Ave Bloomington IN 47405 356001673 115 297198 Support of research activities IP3 Inc 1320 N Michigan Avenue Saginaw MI 48602 200660686 7500 Support of research activities J Craig Venter Institute 9704 Medical Center Drive Rockville MD 20850 521842938 501(c)(3) 675512 Support of research activities Jasculca Terman and Associates Inc 730 N Franklin Street Suite 510 Chicago IL 60654 363136983 155080 Support of research activities Johns Hopkins University 1101 E 33rd St Baltimore MD 21218 520595110 501(c)(3) 228252 Support of research activities Kaiser Foundation Research Institute PO Box 378066 Denver CO 80237 941105628 501(c)(3) 24607 Support of research activities Lextech Labs 3080 Ogden Avenue Suite 200 Lisle IL 60532 263043481 25000 Support of research activities Louisiana State University 3848 W Lakeshore Dr Baton Rouge LA 70808 726087770 115 44323 Support of research activities Loyola University Chicago 1032 W Sheridan Rd Chicago IL 60660 361408475 501(c)(3) 83021 Support of research activities Massachusetts General Hospital 55 Fruit St Boston MA 02114 041564655 501(c)(3) 162999 Support of research activities Massachusetts Institute of Technology 77 Massachusetts Ave Cambridge MA 02142 042103594 501(c)(3) 77999 Support of research activities Materials & Electrochemical Research Corporation 7960 South Kolb Road Tucson AZ 85706 860530946 24503 Support of research activities Mayo Clinic Rochester 200 First St SW Rochester MN 55905 416011702 501(c)(3) 62406 Support of research activities Medical College of Wisconsin 8701 Watertown Plank Rd Milwaukee WI 53226 390806261 501(c)(3) 84071 Support of research activities Medical University of South Carolina 179 Ashley Avenue Charleston SC 29425 576000722 115 35968 Support of research activities Memorial Hospital of Rhode Island 111 Brewster St Pawtucket RI 02680 050259004 501(c)(3) 58851 Support of research activities Memorial Sloan-Kettering Cancer Center 1275 York Avenue New York NY 10065 131624182 501(c)(3) 180000 Support of research activities Michigan State University 113 Angell Bldg East Lansing MI 48824 386005984 115 403669 Support of research activities Morehouse College 830 Westview Dr SW Atlanta GA 30314 580566205 501(c)(3) 15342 Support of research activities Mount Sinai Hospital One Gustave L Levy Pl New York NY 10029 131624096 501(c)(3) 9354 Support of research activities Moveo Integrated Branding Inc 1 Parkview Plaza Suite 150 Oakbrook Terrace IL 60181 363528800 15000 Support of research activities Nanosonix Inc 8025 Lamon Avenue Skokie IL 60077 262268972 135603 Support of research activities National Comprehensive Cancer Network 275 Commerce Dr Suite 300 Fort Washington PA 19034 232818395 501(c)(3) 10000 Support of research activities National Geographic Society 1145 17th St NW Washington DC 20036 530193519 501(c)(3) 50638 Support of research activities neubottlecom 134 Crichton Ln Palatine IL 60067 202861821 16910 Support of research activities North Carolina State University Campus Box 7001 A Holladay Hall Raleigh NC 27695 566000756 115 26147 Support of research activities NorthShore University HealthSystem Research Institute 2650 Ridge Ave Evanston IL 60201 364191793 501(c)(3) 2142058 Support of research activities Northwestern Memorial Hospital 251 E Huron St Chicago IL 60611 370960170 501(c)(3) 1670281 Support of research activities NOVA Scripts Central Inc 6400 Arlington Blvd Falls Church VA 22042 651275162 78860 Support of research activities Ohio State University 154 W 12th Ave Columbus OH 43210 316025986 115 65842 Support of research activities Ohio University Cutler Hall 108 Athens OH 45701 316025986 115 51969 Support of research activities OhioHealth Research and Innovation Institute 3545 Olentangy River Road Columbus OH 43214 316059784 501(c)(3) 6580 Support of research activities Oncology Specialists SC 1700 Luther Lane Park Ridge IL 60068 364380012 5338 Support of research activities Oregon Health & Science University 3181 Southwest Sam Jackson Park Rd Portland OR 97239 931176109 115 53345 Support of research activities Orlando Regional Medical Center 1414 Kuhl Avenue Orlando FL 32806 591726273 501(c)(3) 7420 Support of research activities OSF Saint Francis Medical Center 530 NE Glen Oak Avenue Peoria IL 61637 370662569 21184 Support of research activities Pacific Health Research & Education Institute 3375 Koapaka Street Suite I-540 Honolulu HI 96819 990303308 501(c)(3) 7762 Support of research activities Parkinson's Institute and Clinical Center 675 Almanor Avenue Sunnyvale CA 94085 943061594 501(c)(3) 15558 Support of research activities Patient Safety Organization One Inc 4950 W Dickman Rd Battle Creek MI 49037 261107459 62773 Support of research activities Pennsylvania State University 308 Old Main University Park PA 16802 246000376 115 174238 Support of research activities Pinnacle Technology 681 Lawlins Road Wyckoff NJ 07481 742818617 209419 Support of research activities Princeton University Office of Administration Princeton NJ 08544 210634501 501(c)(3) 11564 Support of research activities Purdue University Office of Administration West Lafayette IN 47906 356002041 115 61276 Support of research activities Quest Clinical Research 2300 Sutter Street Suite 202 San Francisco CA 94115 943307206 23310 Support of research activities Rehabilitation Institute Research Corporation 345 E Superior St Chicago IL 60611 363728711 501(c)(3) 1169218 Support of research activities Rehabilitation Institute Research Corporation 345 E Superior St Chicago IL 60611 363728711 501(c)(3) 1000 Support of charitable community organization Rensselaer Polytechnic Institute 110 8th St Troy NY 12180 141340095 501(c)(3) 5490 Support of research activities Rice University 6100 Main St Houston TX 77005 741109620 501(c)(3) 10138 Support of research activities Rockefeller University 1230 York Avenue New York NY 10065 131624158 501(c)(3) 444428 Support of research activities Rush University Medical Center 1653 W Congress Parkway Chicago IL 60612 362174823 501(c)(3) 1861378 Support of research activities SA Ignite LLC 924 South Hillside Ave Elmhurst IL 60126 270288669 56250 Support of research activities Saint Francis Hospital and Medical Center 114 Woodland St Hartford CT 06105 470376601 501(c)(3) 118955 Support of research activities Salk Institute 10010 North Torrey Pines Road La Jolla CA 92037 952160097 501(c)(3) 54730 Support of research activities Santa Fe Institute 1399 Hyde Park Rd Santa Fe NM 87501 850325494 501(c)(3) 32265 Support of research activities Scott & White Memorial Hospital 2401 S 31st Street Temple TX 76508 741166904 501(c)(3) 18220 Support of research activities Scripps Research Institute 10550 North Torrey Pines Road La Jolla CA 92037 330435954 501(c)(3) 410823 Support of research activities SemanticBits LLC 13921 Park Center Rd Ste 420 Herndon VA 20171 200446789 206261 Support of research activities SRI International 201 Washington Road Princeton NJ 08540 941160950 501(c)(3) 27539 Support of research activities St Jude Children's Research Hospital 4619 N Ravenswood Ave Chicago IL 60640 620646012 501(c)(3) 25341 Support of research activities Stanford University 295 Galvez St Stanford CA 94305 941156365 501(c)(3) 742751 Support of research activities State University of New York Research Foundation 353 Broadway Albany NY 12246 141368361 501(c)(3) 101582 Support of research activities Tech-Synergy Inc 6789 Quail Hill Parkway Irvine CA 92603 954857456 38823 Support of research activities The Northeast Missouri Health Council Inc 314 E McPherson St Kirksville MO 63501 431606173 501(c)(3) 96447 Support of research activities Thomas Jefferson University 1020 Walnut St Philadelphia PA 19107 231352651 501(c)(3) 183521 Support of research activities UChicago Argonne LLC Argonne National Laboratory 9500 Cass Ave Argonne IL 60439 680628477 176405 Support of research activities United BioSource Corporation 7501 Wisconsin Ave Ste 705 Bethesda MD 20814 541759539 86080 Support of research activities University of Alabama at Birmingham 1530 3rd Ave South Birmingham AL 35294 636005396 115 59206 Support of research activities University of Arizona 617 N Santa Rita Ave Tucson AZ 85721 742652689 115 105763 Support of research activities University of California Davis One Shields Ave Davis CA 95616 946036494 115 57274 Support of research activities University of California Irvine Office of Administration Irvine CA 92697 952226406 115 303010 Support of research activities University of California Los Angeles Hillgard Ave Los Angeles CA 90095 956006143 115 408257 Support of research activities University of California San Diego 9500 Gilman Dr La Jolla CA 92093 956006144 115 25539 Support of research activities University of California San Francisco 505 Parnassus Ave San Francisco CA 94143 566001393 115 638687 Support of research activities University of California Santa Barbara 4105 Cheadle Hall Santa Barbara CA 93106 956006145 115 134615 Support of research activities University of California Santa Cruz 1156 High St Santa Cruz CA 95064 770289144 115 56987 Support of research activities University of Chicago 5801 S Ellis Ave Chicago IL 60637 362177139 501(c)(3) 5782845 Support of research activities University of Chicago National Opinion Research Center 5801 S Ellis Ave Chicago IL 60637 362177139 501(c)(3) 6737 Support of research activities University of Cincinnati 2600 Clifton Ave Cincinnati OH 45221 316000989 115 24907 Support of research activities University of Delaware 210 S College Ave Newark DE 19716 516000297 115 47397 Support of research activities University of Florida 201 Criser Hall Gainesville FL 32611 596002052 115 15423 Support of research activities University of Illinois 801 S Morgan St Chicago IL 60607 376000511 115 3725952 Support of research activities University of Kentucky 100 Funkhouser Bldg Lexington KY 40506 616001218 115 149704 Support of research activities University of Maryland 2108 Mitchell Bldg College Park MD 20742 526002033 115 37210 Support of research activities University of Massachusetts Amherst Office of Administration Amherst MA 01003 043167352 115 180653 Support of research activities University of Medicine and Dentistry of New Jersey 150 Bergen St Newark NJ 07103 221775306 34557 Support of research activities University of Miami 1252 Memorial Drive Coral Gables FL 33146 590624458 501(c)(3) 75030 Support of research activities University of Michigan 515 E Jefferson Ann Arbor MI 48109 386000134 115 2200726 Support of research activities University of Minnesota 101 Pleasant St Minneapolis MN 55455 416007513 115 166977 Support of research activities University of Missouri-Columbia 105 Jesse Hall Columbia MO 65211 436003859 115 66365 Support of research activities University of Nebraska Medical Center 984230 Nebraska Medical Center Omaha NE 68198 470491233 115 95636 Support of research activities University of New Mexico 1 University of New Mexico Albuquerque NM 87131 856000642 115 21919 Support of research activities University of Notre Dame 317 Main Building Notre Dame IN 46556 350868188 501(c)(3) 52833 Support of research activities University of Oklahoma 660 Parrington Oval Norman OK 73019 736017987 115 143310 Support of research activities University of Pennsylvania 3451 Walnut Street Philadelphia PA 19104 231352685 501(c)(3) 311499 Support of research activities University of Pittsburgh 4227 Fifth Ave Pittsburgh PA 15260 250965591 501(c)(3) 401317 Support of research activities University of Rochester Office of Administration Rochester NY 14627 160743209 501(c)(3) 432351 Support of research activities University of Southern California 1540 Alcazar St Los Angeles CA 90089 951642394 501(c)(3) 281840 Support of research activities University of Tennessee Knoxville 527 Andy Holt Tower Knoxville TN 37996 626001636 115 270331 Support of research activities University of Texas at Austin 2100 San Jacinto Blvd Austin TX 78712 746000203 115 102945 Support of research activities University of Texas at El Paso 500 W University Ave El Paso TX 79968 746000813 115 11446 Support of research activities University of Texas at San Antonio One UTSA Circle San Antonio TX 78249 741717115 115 342131 Support of research activities University of Texas M D Anderson Cancer Center 1515 Holcombe Blvd Houston TX 77030 760273984 115 153290 Support of research activities University of Texas Southwestern Med Ctr at Dallas 5323 Harry Hines Blvd Dallas TX 75390 756002868 115 635379 Support of research activities University of Virginia 1 College Park Wise VA 24293 546001796 115 1402189 Support of research activities University of Washington 1410 NE Campus Parkway Seattle WA 98195 916001537 115 91778 Support of research activities University of Wisconsin-Madison 716 Langdon St Madison WI 53706 391805963 115 234047 Support of research activities Vanderbilt University Office of Administration Nashville TN 37240 620476822 501(c)(3) 144300 Support of research activities Voices for Illinois Children 208 S La Salle Street Suite 1490 Chicago IL 60604 363480909 501(c)(3) 67500 Support of research activities Wake Forest University Health Sciences 1834 Wake Forest Rd WinstonSalem NC 27106 900222618 501(c)(3) 45652 Support of research activities Washington State University PO Box 1495 Spokane WA 99210 916001108 115 187879 Support of research activities Washington University in St Louis One Brookings Dr St Louis MO 63130 430653611 501(c)(3) 643376 Support of research activities Westat Inc 1600 Research Blvd Rockville MD 20850 840529566 6819 Support of research activities Wing Tech Inc 9916 Newhall Road Potomac MD 20854 251736195 132806 Support of research activities Wright State University 3640 Colonel Glenn Hwy Dayton OH 45435 310732831 30303 Support of research activities Yale University 140 Prospect St New Haven CT 06511 060646973 501(c)(3) 273552 Support of research activities StandUp for Kids 83 Walton St Ste 100 Atlanta GA 30303 330414855 501(c)(3) 496767 Charitable fundraising conducted by student organization 166 35 Student grants, scholarships, and fellowships are financial aid that can be used towards any type of educational related costs. 9483 175954155 Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 221 387369 Program-related investments: student loans 213 2416577 Other program-related investments 58 2938960 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required. Other Information: Part IV: Part III: Prizes and awards reflect prizes and awards extended to non-employees in recognition of an accomplishment, activity, or event. Prizes and awards given to employees are included as compensation and reported on an employee's Form W-2. Program-related investments: Long term student loan balances as of 8/31/2010 were $2,416,577 which represent outstanding loan balances of 213 individuals. Total short term and emergency student loans issued for the tax year were $804,071 which represent loans issued to 346 individuals. Other program-related investments reflects certain investment portfolio balances as of 8/31/2010. Such investment portfolios are managed by students enrolled in an asset management practicum under the guidance of faculty. X X X X X 1 1 X X X 0 0 0 0 0 0 0 0 0 Morton O Schapiro 361183 0 0 0 14466 0 173757 0 48457 0 597863 0 0 0 Daniel I Linzer 432760 0 0 0 14175 0 24500 0 9039 0 480474 0 0 0 Eugene S Sunshine 688045 0 0 0 77967 0 24500 0 6814 0 797326 0 0 0 William J Banis 213469 0 0 0 620 0 22238 0 6843 0 243170 0 0 0 Alan K Cubbage 227913 0 0 0 1247 0 22800 0 1092 0 253052 0 0 0 J Larry Jameson 731406 728436 0 0 929 17326 18350 24550 11566 15525 762251 785837 0 0 Marilyn McCoy 225800 0 0 0 17296 0 24500 0 6888 0 274484 0 0 0 Morteza A Rahimi 583747 0 0 0 284 0 24500 0 6659 0 615190 0 0 0 Sarah Risley Pearson 336551 0 0 0 38903 0 24500 0 26523 0 426477 0 0 0 Joseph T Walsh Jr 257873 0 0 0 552 0 24500 0 64835 0 347760 0 0 0 William H McLean 515056 0 867317 0 146638 0 24500 0 40508 0 1594019 0 0 0 Thomas G Cline 398385 0 0 0 17451 0 24500 0 11434 0 451770 0 0 0 Henry S Bienen 1898936 0 100000 0 125584 0 24500 0 91755 0 2240775 0 375000 0 Jeffrey C Miller 657897 0 0 0 17039 0 24500 0 9209 0 708645 0 0 0 Ronald Nayler 278618 0 0 0 17039 0 21417 0 6857 0 323931 0 0 0 Patrick M McCarthy 85917 1466753 0 0 55 16914 5213 29400 189 15525 91374 1528592 0 0 H Huntington Batjer 115081 1019723 0 0 666 17377 11256 29400 6443 15525 133446 1082025 0 0 Patrick W Fitzgerald II 1072340 0 31500 0 52220 0 24500 0 9401 0 1189961 0 0 0 Murad Alam 3000 1145750 0 0 0 69 180 29400 17 6980 3197 1182199 0 0 Thomas A Mustoe 177537 872515 0 0 666 774 14146 29400 937 15525 193286 918214 0 0 Lewis Landsberg 237369 171295 0 0 262 3214 24000 7200 923 15224 262554 196933 0 0 Part I, Line 1a Travel for companions: The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Tax gross-up payments: The Vice President of Business and Finance, Eugene Sunshine, received a tax-gross up payment for insurance policy premiums, which was treated as taxable compensation. The Vice President and Chief Investment Officer, William McLean, received a tax-gross up payment for retirement related contributions, which was treated as taxable compensation. The Vice President of Alumni Relations and Development, Sarah Pearson, received a tax-gross up payment in connection with a tuition payment for her dependent, which was treated as taxable compensation. Housing allowance or residence for personal use: The President, Morton Schapiro, resides in University-owned housing which is provided for the convenience of the employer pursuant to Internal Revenue Code Section 119 and not treated as taxable compensation. During a period in 2009 when Henry Bienen was President, he resided in University-owned housing which was provided for the convenience of the employer pursuant to Internal Revenue Code Section 119 and not treated as taxable compensation. Individuals provided with a housing allowance are (i) The Vice President of Business and Finance, Eugene Sunshine, (ii) The Provost, Daniel Linzer, and (iii) Head Coach, Patrick Fitzgerald II. The amounts are treated as taxable compensation. Health or social club dues or initiation fees: The President, Morton Schapiro, was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. Henry Bienen served as President for a period in calendar year 2009 and was extended memberships in organizations that were held in the then President's individual name but that reflected institutional business requirements and were not treated as taxable compensation. The Vice President and Chief Investment Officer, William McLean, received reimbursements for social club dues and such amount was not treated as taxable compensation. Head Coach, Patrick Fitzgerald II, received reimbursements for social club dues and such amount was treated as taxable compensation. Personal Services: In connection with the University provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit is apportioned between personal living quarters and public areas of the house, and the cleaning services associated with the personal living quarters are treated as taxable compensation. Illinois Educational Facilities Authority 521297563 4520018K9 2003-10-29 183530698 Refund bonds issued 5/13/97; acquire,construct,or renovate univ.facilities 0 0 Illinois Finance Authority 861091967 45200BFC7 2004-09-09 135800000 Acquire, construct or renovate University facilities 0 0 Illinois Finance Authority 861091967 45200BH50 2006-10-03 150740726 Refund bonds issued 12/3/97 0 0 Illinois Finance Authority 861091967 45200FKZ1 2008-06-25 125000000 Acquire, construct or renovate University facilities 0 0 194022795 1092348 158297067 2008 1 0 1 1 144677217 1039400 143637817 2008 0 0 1 1 150740726 1518234 0 1 1 1 126815680 21364003 1250000 104201677 0 0 0 1 0 1 1 1 0 0.00000 0.00000 1 0 1 1 1 0 0.00000 0.00000 1 0 1 1 1 0 0.00000 0.00000 1 0 0 0 0 0 1 0 0 0 0 0 0 1 1 1 Morgan Stanley and other banks 37.000000000000 0 1 0 0 0 0 0 0 0 0 1 1 Morgan Stanley and other banks 37.000000000000 0 0 0 na n/a merit-based scholarship Amount $ 2000. na n/a research grant Amount $ 41085. Northern Trust Nicholas D Chabraja,Trustee; was serving as a bank director 723931 Bank and investment transaction fees less interest earned from bank 0 Northern Trust William Osborn, Trustee; was serving as a bank director 723931 Bank and investment transaction fees less interest earned from bank 0 Technology Crossover Ventures Jay C. Hoag, Trustee; partner w/ ownership interest over 5% 2454084 Investment in two venture capital funds: Technology Crossover Ventures VI and VIIA 0 Rndtable Hlthcare Ptnrs Lester B. Knight, Trustee; was serving as a director 1335290 Investment in two private equity funds: Roundtable Healthcare Partners and Roundtable Healthcare Partners II 0 Nicor Gas R. Eden Martin, Trustee; was serving as a director 1270929 Utility services. 0 Aon Corporation Lester B. Knight, Trustee; was serving as a director 109240 Insurance broker 0 Aon Corporation R. Eden Martin, Trustee; was serving as a director 109240 Insurance broker 0 Thoma Cressey Fd Lee. M. Mitchell, Trustee; partner w/ ownership interest over 5% 3044872 Investment in three private equity funds: Thoma Cressey Fund VI, Thoma Cressey Fund VIII, and Thoma Bravo Fund IX 0 Madison Dearborn John A. Canning, Jr., Trustee; partner w/ ownership interest over 5% 309137 Investment in five private equity funds: Madison Dearborn II, III, IV, V and VI. 0 New Enterprise Associates Peter J. Barris, Trustee; partner w/ ownership interest over 5% 543242 Investment in six venture capital funds: NEA VIII, VIIIA, IX, X, XI, and XII. 0 RCPI Landmark Properties LLC A. Steven Crown, Trustee; partner w/ ownership interest over 5% 120138 Property rental 0 NanoInk Inc Ann Lurie, Trustee; direct and indirect ownership interest over 35% 45646 License of intellectual property 0 Leigh Bienen Family member of Henry S. Bienen, Key Employee 69657 Employment. 0 Charlotte Cubbage Family member of Alan K. Cubbage, Officer 69863 Employment 0 Jennifer Linzer Family member of Daniel I. Linzer, Officer 37561 Employment 0 Jennifer Cline Family member of Thomas G. Cline, Officer 17594 Employment 0 X 15 41722 FMV on date of gift X 107618 FMV on date of gift X 5250 FMV on date of gift X 360 10036205 Proceeds from sale X 1 875210 FMV on date of gift X 4 9945 FMV on date of gift X Event/tickets 78 107583 FMV on date of gift X Equip/softwre 6 802498 FMV on date of gift 3 0 1 0 Form 990, Part VI, Section A, line 2 Business Relationships: John A. Canning, Jr. and T. Bondurant French John A. Canning, Jr. and Lester B. Knight John A. Canning, Jr. and Timothy P. Sullivan John A. Canning, Jr. and Eugene Sunshine Lester B. Knight and D. Gideon Searle Lester B. Knight and Patrick G. Ryan Lester B. Knight and J.B. Pritzker Lester B. Knight and William A. Osborn Lester B. Knight and T. Bondurant French Lester B. Knight and A. Steven Crown Lester B. Knight and R. Eden Martin Lester B. Knight and M. Jude Reyes Form 990, Part VI, Section A, line 2 Business Relationships continued: R. Eden Martin and Charles W. Douglas William A. Osborn and Nicholas D. Chabraja William A. Osborn and Miles D. White M. Jude Reyes and A. Steven Crown M. Jude Reyes and William A. Osborn M. Jude Reyes and Patrick G. Ryan Family Relationships: Patrick G. Ryan and Patrick G. Ryan, Jr. Form 990, Part VI, Section B, line 11 A hard copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was reviewed by the Committee on Audit of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University. Form 990, Part VI, Section B, line 12c Conflict of Interest Policies: University ByLaws require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the Board of Trustees in writing. An Officer shall call any conflict of interest to the attention of the President. If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees or other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when the his/her knowledge of the subject will assist the Board or any of its committees. Potential conflicts of interest of Trustees and Officers are reviewed by the University's General Counsel. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed. Form 990, Part VI, Section B, line 15 The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the Compensation Committee of the Board relies on formal surveys and comparability data prepared and compiled by outside consultants who have expertise in the field of executive compensation assessment and benchmarking. The Compensation Committee of the Board met in June 2008 to review and approve fiscal year 2009 (September 1, 2008 to August 31, 2009) salaries and met in June 2009 to review and approve fiscal year 2010 (September 1, 2009 to August 31, 2010) salaries. Actions undertaken by the Compensation Committee of the Board are contemporaneously documented in the minutes of each meeting. Compensation Committee of the Board reviewed and approved compensation of all current officers listed in Part VII, Section A. The Committee reviewed and approved compensation of all current key employees listed in Part VII, Section A with the exception of Jeffrey Miller (Vice Dean and Chief Operating Officer of Feinberg School of Medicine). Jeffrey Miller's compensation is reviewed and approved annually by the Vice President for Medical Affairs and Dean of the Feinberg School of Medicine and comparability data prepared by third-party professional consultants is used to assess his compensation. Form 990, Part VI, Section C, line 19 Governing documents: The University maintains an Office for University Relations where information requests from the public are processed. Conflict of Interest Policies: The University's conflict of interest policy for faculty and staff is posted on the University's website. Additional detail policies, including the trustee policy, are available upon request. Financial Statements: The University's annual audited consolidated financial statements are available as pdf documents to be downloaded on demand from the University website. Schedule G, Part I, Line 2b, Column (v) Explanation of Fundraising Payments The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed paid are reflected): RuffaloCODY ($11,539) and Carol O'Brien Associates ($680). Agreements with professional fundraising services permit reimbursement for direct expenses such as printing, mailing and shipping. Schedule G, Part I, line 3 State exemptions and registrations No registration is required in Delaware, Idaho, Indiana, Iowa, Montana, Nebraska, Nevada, South Dakota, Vermont or Wyoming. University has requested confirmation of exemption from New Jersey. The University continues the process of registering, applying for exemption from registration or confirming exemption from registration in the states not listed in Part I, line 3 that require such action. Schedule J, Part I Average hours per week devoted to related organizations The following individuals listed in column A provided estimated average hours per week to related organizations as noted: J. Larry Jameson, 30 hours Patrick M. McCarthy, 40 hours Murad Alam, 40 hours Thomas A. Mustoe, 30 hours H. Huntington Batjer, 30 hours Lewis Landsberg, 30 hours Schedule K, Part I, column (c) Bond Issues; CUSIP # The following bond issuances are associated with additional CUSIP numbers as noted: (B) IFA - Series 2004 CUSIP #45200BFD5; (D) IFA-Series 2008 CUSIP #45200FLA5, and #45200FLB3. Schedule K, Part III, line 3c Private Business Use The University engages bond counsel and performs a review of management or service contracts and research agreements at the time of any new bond issuances, generally every two years. At that time all existing bond issuances and private use are re-examined and re-documented. The University monitors private use changes internally on an ongoing basis. Schedule K, Part IV, line 3 Arbitrage; Name of provider and term of hedge Hedge providers and terms of hedges for bonds (B) IFA-Series 2004 and (D) IFA-Series 2008 are as follows: Morgan Stanley Capital Services, 25 and 37 years; Bank of America, 25 and 37 years; JP Morgan, 25 and 37 years. Schedule K, Part II, Line 9 Bond (A) Form 8038 Bond (A)IEFA - Series 2003 bond proceeds were used in part to refund 1993 bonds on December 1, 2003, and therefore represent a current refunding of the 1993 bonds. Form 8038 line 27 states that it is a current refunding; however, there is a typographical error on line 35 indicating a final 1993 bond call date of December 1, 2013. The correct date is December 1, 2003; the University has requested that the issuer file an amended Form 8038 to correct this error. Schedule K, Part II, Line 9 Bond (C) Form 8038 Bond(C)IFA - Series 2006 bonds were issued to refund bondes issued December 3, 1997. Form 8038 incorrectly identified the costs of issuance on line 30 as non-refunding proceeds of the issue; these proceeds should be reflected on line 24. There were no non-refunding proceeds of the 2006 issue; the University has requested that the issuer file an amended Form 8038 to correct this error. Schedule K, Part III, line 4 Funding sources and private usage The University finances acquisition, construction, or renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private use within the facilities partially financed by bonds, however such usage was financed from other sources. Schedule K, Part IV, line 5 Gross proceeds investment period As disclosed on the Form 8038-T filed November 2009 for Bond (B) IFA - Series 2006, gross proceeds were invested beyond an available temporary period and the University calculated and made a yield reduction payment in the amount of $310,118. Schedule L, Part III; part IV Interested Persons Schedule L, Part III: Grant or assistance benefitting interested persons was given pursuant to objective criteria. Schedule L, Part IV: Amounts reflected with respect to the business transaction relating to Technology Crossover Ventures represent venture capital purchases less capital gains and income during the tax year. Amounts reflected with respect to the business transaction relating to Roundtable Healthcare Partners represent expenses and private equity purchases less capital gains and income during the tax year. Amounts reflected with respect to the business transactions relating to Aon Corporation represent payments made to its affiliate, Aon Risk Services of Illinois during the tax year. Amounts reflected with respect to the business transaction relating to Thoma Cressey Funds represent capital gains and income less expenses and private equity purchases during the tax year. Amounts reflected with respect to the business transaction relating to Madison Dearborn represent capital gains and income less expenses and private equity purchases during the tax year. Amounts reflected with respect to the business transaction relating to New Enterprise Associates represent capital gains less venture capital purchases during the tax year. Investment of University assets are governed by an Investment Policy and monitored by an Investment Committee of the Board of Trustees. Schedule R, Part II Identification of Related Tax-Exempt Organizations Northwestern Medical Faculty Foundation is included as a "related organization" because under its current bylaws, its clinical department chairs comprise a majority of its directors. These individuals are also employed as chairs of the corresponding academic departments within the Feinberg School of Medicine of Northwestern University. However, the two organizations do not stand in the roles of parent and subsidiary. They are separate legal entities, and Northwestern Medical Faculty Foundation is not subject to control by Northwestern University or vice-versa. Schedule R, Part V Method used to determine the value of services, cash, and other assets Transactions to and from external entities are recorded in the University's financial system. Payments received are identified and recorded into the appropriate chart string (account code) with a description of the purpose. Payments made to vendors are recorded into the appropriate chart string (account code) with a description of the payee and purpose. Part VI, Line 9 Local chapters, branches, or affiliates The University does not have local chapters, branches, lodges, units or similar affiliates. As described in Schedule F, the University has one international campus, located in Doha, Qatar. The University has a number of affiliation agreements and arrangements with other research and educational institutions but the University does not have authority to exercise supervision and control of such institutions. Part VI, Line 16b Joint venture arrangements The University does not have a written policy regarding joint ventures in general. However, joint venture agreements are reviewed by the University's Office of General Counsel to evaluate whether the arrangement furthers the mission of the University and to ensure the safeguarding of University's assets. The University also has guidelines concerning joint ventures in its technology transfer and investments policies. Rubicon Insurance Company 2020 Ridge Ave Evanston IL 60208 363694409 Providing medical malpractice coverage IL 501(c)(3) 11b N/A Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago IL 60611 363097297 Patient care, teaching IL 501(c)(3) 9 N/A Students Publishing Company 1999 Sheridan Rd Evanston IL 60208 366002654 Publishes student periodicals IL 501(c)(3) 11a N/A Mcgaw Medical Center of Northwestern University 420 E Superior St Chicago IL 60611 362656113 Coordination of medical residents IL 501(c)(3) 11a N/A The Big Ten Conference Inc 1500 W Higgins Rd Park Ridge IL 60068 363640583 Facilitate quality intercollegiate athletic competition IL 501(c)(3) 11b N/A Northwestern University Employees Benefit Trust PO Box 803878 Northern Trust at Tru Chicago IL 60680 363180819 Providing health insurance benefits to current and former eligible employees IL 501(c)(9) N/A Northwestern University Employees Benefit Trust Dental PO Box 803878 Northern Trust at Tru Chicago IL 60680 363591834 Providing health insurance benefits to current and former eligible employees IL 501(c)(9) N/A 0 0 1 0 0 0 0 0 1 0 0 0 0 1 1 1 1 1 Rubicon Insurance Company Q 7196436 Rubicon Insurance Company P -1109456 Northwestern Medical Faculty Foundation Q 2046638 Northwestern Medical Faculty Foundation P 43572070 Northwestern University Employees Benefit Trust Q 24280668 Northwestern University Employees Benefit Trust Dental Q 2369202