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Weldon 1.0 X 0 0 0 Gayle E Wilson 1.0 X 0 0 0 Jay S Wintrob 1.0 X 0 0 0 Suzanne H Woolsey 1.0 X 0 0 0 JEAN-LOU A CHAMEAU 40.0 X X 711609 0 81252 CHARLES ELACHI 40.0 X 558121 0 49154 DEAN CURRIE 40.0 X 513472 0 58609 EDWARD M STOLPER 40.0 X 467934 0 50940 SANDRA A ELL 40.0 X 397621 0 46617 HARRY M YOHALEM 40.0 X 341619 0 51794 ANNEILA I SARGENT 40.0 X 304565 0 53625 SHARON E PATTERSON 40.0 X 299352 0 42209 PETER D HERO 40.0 X 268440 0 31920 VICTORIA D STRATMAN 40.0 X 263604 0 52457 MARY L WEBSTER 40.0 X 206397 0 41725 MATTHEW W BREWER 40.0 X 173880 0 42664 MADELINE WAY LEE 40.0 X 130694 0 32124 SCOTT H RICHLAND 40.0 X 0 0 0 EUGENE L TATTINI 40.0 X 420421 0 44952 Dale M Johnson 40.0 X 381806 0 43827 Firouz M Naderi 40.0 X 337157 0 46333 Chris P Jones 40.0 X 303500 0 49609 KIP S THORNE 40.0 X 988111 0 43706 JOHN P GROTZINGER 40.0 X 896905 0 49254 GARY A LORDEN 40.0 X 681352 0 47548 SHARON E BORBON 40.0 X 508556 0 37592 EDWARD C STONE 40.0 X 399809 0 56882 DAVID BALTIMORE 40.0 X 385496 0 56195 ROBERT MCQUINN 40.0 X 302194 0 47402 ROBERT L O ROURKE 40.0 X 252398 0 49402 JOHN F HALL 40.0 X 208996 0 43971 10704009 0 1251763 3786 true true false Lockheed Martin Corporation 2401 e el segundo blvd 6th EL SEGUNDO CA 902454655 Aerospace 169637075 itt corporation 5009 centennial blvd COLORADO SPRINGS CO 809162153 OPERATING DSN 54584083 blue cross of california 21555 oxnard street ac-106 WOODLAND HILLS CA 913674943 healthcare 65230246 RAYTHEON 2000 EAST EL SEGUNDO BLVD EL SEGUNDO CA 902450902 DEFENSE TECHNOLOGY 25505808 lockheed martin integrated systems 7375 executive place SEABROOK MD 207062278 aerospace 30062422 594 307165000 90935000 5469727 398100000 JPL AND OTHER AWARDS 900099 1728902000 1728902000 STUDENT TUITION 611600 71918000 71918000 USE OF FACILITIES 900099 18088000 18088000 AUXILIARY ENTERPRISES 900099 18926000 14996000 3930000 1837834000 12029000 -5643000 17672000 0 28990000 28990000 73000 3000 70000 70000 70000 342526000 423000 240286000 295000 102240000 128000 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197705000 208047000 350000 350000 903400 1073859 505673000 556644000 1456606000 609400000 838624000 847206000 508395000 592368000 748756000 895075000 29890600 28739141 3511517000 3625352000 881593000 409800000 21116000 20032000 375095000 375307000 81093000 72980000 60100000 51830000 539632000 1418997000 1469581000 X 566186000 692704000 815190000 700740000 711144000 762327000 2092520000 2155771000 3511517000 3625352000 X false true true X true true X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false true false false false true 200000 true 2000 false true 118000 320000 false lobbying activity explanation schedule C, part II-B THE INSTITUTE RETAINS A CONSULTING FIRM TO MONITOR LEGISLATIVE DEVELOPMENTS AND TO COUNSEL IT ON GOVERNMENT RELATIONS MATTERS. THE CONSULTANT MAY ESTABLISH DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, AND LEGISLATIVE BODIES AND ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED COMMuNICATION WHICH ATTEMPTS TO INFLUENCE LEGISLATION. FURTHER, THE INSTITUTE'S STAFF IN THE COURSE OF NECESSARY COMMUNICATIONS WITH GOVERNMENT OFFICIALS AND INFORMATIONAL PUBLIC EDUCATION ACTIVITIES, MAY FROM TIME TO TIME ENGAGE IN COMMUNICATION WHICH MAY BE CONSIDERED TO INFLUENCE LEGISLATION. TOTAL LOBBYING EXPENDITURES INCLUDE THE TOTAL OF ALL EXPENDITURES IN ALL ACCOUNTS THAT MAY POTENTIALLY HAVE ANY RELATIONSHIP TO LOBBYING. THIS AMOUNT INCLUDES THE ENTIRE EXPENDITURES OF THE INSTITUTE'S OFFICE OF GOVERNMENT RELATIONS AND COMMUNITY AFFAIRS, OF WHICH ONLY A FRACTION IS EXPENDED FOR LOBBYING ACTIVITIES. THE INSTITUTE IS A MEMBER OF CERTAIN PROFESSIONAL AND ACADEMIC ORGANIZATIONS THAT HAVE EMPLOYEES REGISTERED TO LOBBY ON BEHALF OF MEMBERSHIP. ALTHOUGH A SMALL PORTION OF THE INSTITUTE'S MEMBERSHIP DUES MAY BE USED FOR LOBBYING, THE AMOUNT IS IMMATERIAL. CALTECH'S MEMBERSHIP IN THESE ORGANIZATIONS IS FOR THE PURPOSE OF HAVING ACCESS TO THE MOST CURRENT INFORMATION ON GOVERNMENT AND BUSINESS DEVELOPMENTS AS THEY RELATE TO COLLEGES AND UNIVERSITIES AND NOT FOR ANY LOBBYING EFFORT. X X false false true 1507019000 81279000 151556000 15015000 73401000 19479000 1631959000 1659458000 75041000 -125638000 19010000 82832000 1507019000 0.32500 0.66200 0.01300 false false 34191000 34191000 844015000 271208000 572807000 500475000 338192000 162283000 77925000 77925000 847206000 ABSOLUTE RETURN STRATEGIES 513511000 F PRIVATE EQUITY 176491000 F REAL ASSETS 205073000 F 895075000 0 ACCUMULATED POST RETIREMENT BENEFIT OBLIGATIONS 539632000 539632000 2388101000 2342038000 46063000 15712000 1476000 17188000 63251000 2361085000 15712000 -42332000 -26620000 2387705000 5469000 -5073000 396000 2388101000 2299310000 9200000 9200000 2290110000 5469000 46459000 51928000 2342038000 FORM 990, SCHEDULE D, PART III, LINE 1a The Institute does not capitalize its collection items. Due to the immateriality of the effect of collections practices on its financial statements, the Institute does not disclose its collections policies. FORM 990, SCHEDULE D, PART III, LINE 4 CALTECH MAINTAINS A COLLECTION OF INSTITUTIONAL RECORDS, DOCUMENTs, ARTIFACTS, and SPECIMENS FOR HISTORICAL PRESERVATION, INSTRUCTION, AND SCHOLARLY RESEARCH. FORM 990, SCHEDULE D, PART IV, LINE 2B The Institute holds donor annuities and trust agreements and manages investment funds for others, such as related organizations. The Institute does not own the funds associated with these programs. FORM 990, SCHEDULE D, PART V, LINE 4 The Institute's endowment functions to provide income to support the Institute's mission of scientific research and education. FORM 990, SCHEDULE D, PART XI, LINE 8 CHANGE IN POST EMPLOYMENT BENEFIT OBLIGATIONS $1,476,000 FORM 990, SCHEDULE D, PART XII, LINE 2D RECLASSify FINANCIAL AID NETTED WITH TUITION ($42,332,000) FORM 990, SCHEDULE D, PART XII, LINE 4B COST OF GOODS SOLD ($9,200,000) RECLASSification OF INTERNAL SALES $4,127,000 Total ($5,073,000) FORM 990, SCHEDULE D, PART XIII, LINE 2D COST OF GOODS SOLD $9,200,000 FORM 990, SCHEDULE D, PART XIII, LINE 4B RECLASSification of INTERNAL SALES $ 4,127,000 FINANCIAL AID EXPENSE $42,332,000 Total $46,459,000 true true true THE INSTITUTE'S RACIALLY NONDISCRIMINATORY POLICY IS CONTAINED IN THE MINUTES OF THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES OF FEBRUARY 1976. THE STATEMENT OF THIS POLICY OR REFERENCE THERETO APPEARS IN ALL of THE INSTITUTE'S CATALOGS, BROCHURES, AND OTHER WRITTEN COMMUNICATIONS WITH THE PUBLIC DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS. THE INSTITUTE SATISFIED THE PUBLICATIONS REQUIREMENT BY VIRTUE OF ITS COMPLIANCE WITH SECTION 4.02 AS PROVIDED IN SECTION 4.03-2(B). true true true true false false false false false false false false true false THE INSTITUTE RECEIVES GRANTS AND ENTERS INTO CONTRACTS WITH VARIOUS AGENCIES OF THE U.S. GOVERNMENT, STATE OF CALIFORNIA AND LOCAL GOVERNMENT UNITS FOR RESEARCH, TRAINING, AND STUDENT AID. true true Central America and the Caribbean Program Services scientific research North America Program Services scientific research Sub-Saharan Africa Program Services scientific research Central America and the Caribbean Investments Europe (Including Iceland and Greenland) 1 11 Program Services SCIENT. RESEARCH & ED Europe (Including Iceland and Greenland) Investments Russia and the Newly Independent States Program Services SCIENTIFIC RESEARCH South America 1 1 Program Services SCIENT. RESEARCH & ED. South Asia Program Services SCIENTIFIC RESEARCH East Asia and the Pacific Program Services SCIENTIFIC RESEARCH Middle East and North Africa Program Services SCIENTIFIC RESEARCH 2 12 Form 990, schedule f, Part I, line 2 Grants or assistance to foreign individuals consists of financial aid provided to institute students who study in a foreign country. the institute offices that coordinate foreign study monitor the students' satisfactory academic progress. Form 990, schedule f, Part I, line 3(f) The Institute has reported activities in various regions based on a general understanding of its activities in those regions. Pursuant to an IRS FAQ document, the Institute's current accounting procedures do not track expenditures related to activities in other countries separately and therefore such expenditures have not been recorded in column (f). true CALTECH Y 1200 E CALIFORNIA BLVD PASADENA CA 91125 951684790 501(C)(3) 75000 ASSIST RELATED ORG. TMT OBSERVATORY CORPORATION 1111 S ARROYO PKWY PASADENA CA 91105 200988966 501(C)(3) 6000000 Scientific Collab. 1 0 student aid 1668 58453000 form 990, schedule i, part i, line 2 The Institute's grants and assistance within the United States consists primarily of scholarships and fellowships awarded to students. Students are selected for scholarships and fellowships based on academic achievement, financial need, and similar standards. Various institute offices monitor eligibility and satisfactory academic progress by grantees. The Institute makes an annual $75,000 grant to the Caltech Y. The Caltech Y is a related organization whose mission is to support the students of Caltech through various activities. TMT Development corporation collaborates with the institute on the Thirty Meter Telescope project. Institute offices monitor the grantees' performance according to their respective program services goals and/or pursuant to other agreements. form 990, schedule i, Part III, column (C) Cash grants represent credit on accounts. X X X X true true X X X true false false false false false false true true true CHARLES ELACHI 476857 0 79200 0 2064 0 38012 0 11142 0 607275 0 0 0 DEAN CURRIE 500464 0 0 0 13008 0 38012 0 20597 0 572081 0 0 0 EDWARD M STOLPER 448837 0 0 0 19097 0 38012 0 12928 0 518874 0 0 0 SANDRA A ELL 395800 0 0 0 1821 0 38012 0 8605 0 444238 0 0 0 HARRY M YOHALEM 313872 0 0 0 27747 0 36597 0 15197 0 393413 0 0 0 ANNEILA I SARGENT 304192 0 0 0 373 0 38012 0 15613 0 358190 0 0 0 SHARON E PATTERSON 262517 0 0 0 36835 0 28212 0 13997 0 341561 0 0 0 PETER D HERO 247167 0 0 0 21273 0 25342 0 6578 0 300360 0 0 0 VICTORIA D STRATMAN 255605 0 0 0 7999 0 38012 0 14445 0 316061 0 0 0 MARY L WEBSTER 190897 0 0 0 15500 0 31533 0 10192 0 248122 0 0 0 MATTHEW W BREWER 173880 0 0 0 0 0 19112 0 23552 0 216544 0 0 0 MADELINE WAY LEE 130694 0 0 0 0 0 13326 0 18798 0 162818 0 0 0 EUGENE L TATTINI 362129 0 41280 0 17012 0 38012 0 6940 0 465373 0 0 0 Dale M Johnson 320824 0 38340 0 22642 0 28212 0 15615 0 425633 0 0 0 Firouz M Naderi 314310 0 5000 0 17847 0 38012 0 8321 0 383490 0 0 0 Chris P Jones 285784 0 0 0 17716 0 38012 0 11597 0 353109 0 0 0 KIP S THORNE 153576 0 0 0 834535 0 41951 0 1755 0 1031817 0 0 0 JOHN P GROTZINGER 266612 0 0 0 630293 0 28212 0 21042 0 946159 0 0 0 GARY A LORDEN 107143 0 0 0 574209 0 31285 0 16263 0 728900 0 0 0 SHARON E BORBON 128012 0 0 0 380544 0 30129 0 7463 0 546148 0 0 0 EDWARD C STONE 297424 0 0 0 102385 0 38012 0 18870 0 456691 0 0 0 DAVID BALTIMORE 342214 0 0 0 43282 0 38012 0 18183 0 441691 0 0 0 ROBERT MCQUINN 228170 0 68360 0 5664 0 28212 0 19190 0 349596 0 0 0 ROBERT L O ROURKE 240111 0 0 0 12287 0 32312 0 17090 0 301800 0 0 0 JOHN F HALL 192496 0 0 0 16500 0 32270 0 11701 0 252967 0 0 0 JEAN-LOU A CHAMEAU 693025 0 0 0 18584 0 38012 0 43240 0 792861 0 0 0 form 990, schedule j, part i, line 1a first class travel: Pursuant to a written policy, first class travel is permitted for certain senior officers for business purposes. Travel for business purposes is not included in taxable wages. Companion Travel: Pursuant to the individual's employment agreement and a written policy, spouses of certain senior officers are permitted to travel with the officer if a business purpose exists. Spousal travel for business purposes is not included in taxable wages. Tax Indemnification and Gross-up payments: Pursuant to a written policy, tax indemnification and gross-up payments are at the discretion of the President or his designee, and are considered on a case-by-case basis. During the year, the Institute made gross-up payments to persons listed in Part VII, Section A, line 1a on certain imputed compensation. Housing Allowance: Housing allowances are provided to certain officers, former officers, and highest compensated employees as part of the Institute's Salary Supplement Housing Program, which is governed by a written policy. Payments under this program are included in taxable wages. The President occupies an Institute-owned residence on its campus as a condition of employment for the convenience of the Institute. The President's nontaxable benefits in Schedule J-1, Part I, Column (D) include $27,256 as an estimate of the value of the personal space occupied in that residence. form 990, schedule j, part i, line 4a Schedule J-1, Part I, column B(iii) includes separation payments made in 2009 to Sharon E Borbon totaling $347,736. These payments meet the IRS definition of severance as per Schedule J instructions. Schedule J-1, Part I, column B(iii) includes compensation of $818,035 paid to Kip S. Thorne in 2009 and compensation of $557,709 paid to Gary A. Lorden in 2009 under the Institute's early retirement plan for faculty. form 990, schedule j, part i, line 7 Certain individuals listed in Part I of Schedule J-1 received bonuses in recognition of excellent job performance or as a negotiated payment at the beginning of an employment contract. Bonus recipients' names and amounts paid are shown in schedule J-1, part I, column (ii). form 990, schedule j, part i, line 8 & 9 Scott H. Richland - Chief Investment Officer Mr. Richland's initial employment contract describes his initial compensation and benefits. Peter D. Hero - Vice President for Development and Institute Relations Mr. Hero's initial employment contract describes his initial compensation and benefits. CEFA 2006 SERIES A & B 521705592 130178EZ5 2006-06-12 165000000 CONSTRUCTION AND REFUNDING false false CEFA 2009 SERIES 521705592 130178TE6 2009-07-28 80696800 CONSTRUCTION false false 181314595 79334107 1340000 93471835 2010 false true false true 80696800 1081800 56784720 2010 false false false true false true false true true 0.02390 0.00030 0.02420 true false true true false true true false true true BANK NEW YORK MELLON 30.3 true CITIGROUP GLOBAL TRA 2. true false true false false false false false true DEAN W CURRIE relocation loan X 350000 350000 false true true 350000 JEAN-LOU A CHAMEAU PRESIDENT 116167 FAMILY MEMBER EMPLOYED BY CIT false DALE M JOHNSON ASSOC. DIR, CFO, DBO, JPL 137602 FAMILY MEMBER EMPLOYED BY CIT false ANNEILA I SARGENT VP FOR STUDENT AFFAIRS 240887 FAMILY MEMBER EMPLOYED BY CIT false STEVEN ONDERDONK TRUSTEE 135960 FAMILY MEMBER EMPLOYED BY CIT false MARY L WEBSTER SECRETARY 58497 FAMILY MEMBER EMPLOYED BY CIT false VICTORIA D STRATMAN GENERAL COUNSEL 56841 FAMILY MEMBER EMPLOYED BY CIT false EDWARD M STOLPER PROVOST 160841 FAMILY MEMBERS EMPLOYED BY CIT false X 46 4864000 hi-lo avg X 2 605000 appraisal X 1 1 value as a placemark X portable composter 1 1 value of composter X cooking oven & accessories 1 725 retail value 2 false true true FORM 990, SCHEDULE M, part i, column(B) amounts on this column reflect number of contributors. FORM 990, SCHEDULE M, LINE 25 PORTABLE COMPOSTER DONATED FOR USE BY CAMPUS FACILITIES. FORM 990, SCHEDULE M, LINE 25 COOKING OVEN AND ACCESSORIES DONATED FOR STUDENT AFFAIRS EVENTS. FORM 990, SCHEDULE M, LINE 32B EXCEPT FOR BROKER AND CUSTODIAL SERVICES TO RECEIVE AND SELL GIFTS OF SECURITIES, THE INSTITUTE DOES NOT USE THIRD PARTIES OR RELATED ORGANIZATIONS TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS. FORM 990, PARTS I AND III, LINE 1 The mission of the California Institute of Technology is to expand human knowledge and benefit society through research integrated with education. We investigate the most challenging, fundamental problems in science and technology in a singularly collegial, interdisciplinary atmosphere, while educating outstanding students to become creative members of society. FORM 990, PART I, LINE 6 THE INSTITUTE DOES NOT FORMALLY TRACK VOLUNTEERS. THE NUMBER IDENTIFIED IS BASED ON A REASONABLE ESTIMATE. form 990, part iii, line 4d AUXILIARY ENTERPRISES (EXPENSES $22,610,000) (REVENUE $18,926,000) AUXILIARY ENTERPRISES IN SUPPORT OF INSTITUTE'S MISSION CALTECH Y ALLOCATION (GRANTS $75,000) CASH ALLOCATION TO RELATED ORGANIZATION SUPPORTING INSTITUTE'S MISSION FORM 990, PART IV, LINE 6 THE INSTITUTE HAS NO SEPARATE FUNDS OR ACCOUNTS WHERE DONORS HAVE THE RIGHT EITHER TO PROVIDE ADVICE ON THE INVESTMENT OF AMOUNTS IN THE FUNDS OR TO PROVIDE ADVICE ON DISTRIBUTION OF SUCH FUNDS OUTSIDE THE INSTITUTE. FORM 990, Part VI, Line 2 TRUSTEES THOMAS EVERHART AND PETER NORTON - BUSINESS RELATIONSHIP CHIEF INVESTMENT OFFICER SCOTT H. RICHLAND AND TRUSTEE JAY S. WINTROB - BUSINESS RELATIONSHIP FORM 990, PART VI, LINE 11a The Institute prepares Form 990 with the assistance of a paid preparer. A draft of the Form 990 is presented to the Audit and Compliance Committee for review and comment. A final copy of Form 990 is provided to each member of the Board of Trustees prior to filing with the IRS. An officer of the institute and its paid preparer, respectively sign the final form 990. FORM 990, PART VI, LINE 12c Each trustee and officer is required to complete annually a conflict of interest questionnaire disclosing potential or actual conflicts. Key employees are required to disclose in writing potential and actual conflicts on an ongoing basis throughout the year. All conflicts are resolved in accordance with the Institute's written conflict of interest policies. FORM 990, PART VI, LINE 15a, 15b The Executive Compensation Committee of the Board of Trustees reviews on an annual basis the compensation of officers and key employees of the Institute. The Executive Compensation Committee reviews comparability data from relevant surveys. The deliberations are contemporaneously documented in the committee's minutes. FORM 990, PART VI, LINE 19 The Institute's governing documents, financial statements and conflict of interest policy are available upon request. FORM 990, PART VII THE INSTITUTE HAS ESTIMATED THAT TRUSTEES DEVOTE, ON AVERAGE, AT LEAST ONE HOUR OF TIME PER WEEK. CERTAIN BOARD MEMBERS' TIME DEVOTED TO INSTITUTE BUSINESS MAY SUBSTANTIALLY EXCEED THIS ESTIMATE ON A REGULAR BASIS. SCHEDULE E, LINE 6A THE INSTITUTE RECEIVES GRANTS AND ENTERS INTO CONTRACTS WITH VARIOUS AGENCIES OF THE U.S. GOVERNMENT, THE STATE OF CALIFORNIA, AND LOCAL GOVERNMENT UNITS FOR RESEARCH, TRAINING, AND STUDENT AID. CIT MICROPROBE HOLDINGS LLC 1200 E CALIFORNIA BLVD PASADENA CA 91125 205217981 HOLDING CO. 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