2011-09-14T08:53:49-05:00 2010-06-30 SCHNEIDER DOWNS & CO INC 1133 PENN AVENUE PITTSBURGH PA 15222 990 2009-07-01 251035663 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT DUQU 4123966592 600 FORBES AVENUE PITTSBURGH PA 152820226 STEPHEN A SCHILLO 4123966592 2011-09-14 1 Susan M Kirsch 4122613644 2009 2016-03-07 17:11:31Z X CHARLES J DOUGHERTYPHD 600 FORBES AVENUE PITTSBURGH PA 152820226 400308446 0 X WWW.DUQ.EDU X 1878 PA CATHOLIC UNIVERSITY SUSTAINED PARTNERSHIP OF LAITY AND RELIGIOUS. 24 19 5090 42 564758 0 21551128 21010811 274714154 323729351 -6363681 4775199 615939 488990 290517540 350004351 60177462 65652261 0 150442104 155045124 0 3402765 84480846 83226202 295100412 303923587 -4582872 46080764 437717483 465541410 181863812 180495480 255853671 285045930 DUQUESNE SERVES GOD BY SERVING STUDENTS-THROUGH COMMITMENT TO EXCELLENCE IN LIBERAL AND PROFESSIONAL EDUCATION, THROUGH PROFOUND CONCERN FOR MORAL AND SPIRITUAL VALUES, THROUGH THE MAINTENANCE OF AN ECUMENICAL ATMOSPHERE OPEN TO DIVERSITY, AND THROUGH SERVICE TO THE CHURCH, COMMUNITY, NATION AND THE WORLD. 0 0 171065500 65652261 279081753 EDUCATIONAL PROGRAMS, GENERAL/OTHER: INSTRUCTION - SCHOOL OF LIBERAL ARTS, BUSINESS ADMINISTRATION, EDUCATION, MUSIC, HEALTH SERVICES, PHARMACY, LAW, NATURAL AND ENVIRONMENTAL SCIENCES, NURSING (10,363 STUDENTS) 43386834 522290 STUDENT SERVICES PROGRAMS, GENERAL/OTHER: STUDENT SERVICES, INSTITUTIONAL SUPPORT, AND AUXILIARY ENTERPRISES (13,625 UNIVERSITY COMMUNITY) 34683685 521466 EDUCATIONAL DELIVERY, GENERAL/OTHER: ACADEMIC SUPPORT - LIBRARY, DEANS OFFICE, PROVOST OFFICES, CATALOGS, COMMENCEMENT, CLERGY RESIDENCE (11,576 STUDENTS AND FACULTY) 7501240 1194472 MEDIA AND COMMUNICATION PROGRAMS, GENERAL/OTHER: PUBLIC SERVICE - RADIO STATION - NATIONAL PUBLIC BROADCASTING RADIO/TELEVISION/ENGINEERING SERVICE, PUBLIC RESEARCH PROGRAMS, LAW LIBRARY PROGRAMS (185,500 LISTENERS AND VIEWERS). 8665560 881918 SCIENCE & TECHNOLOGY RESEARCH, GENERAL/OTHER: RESEARCH -DHEW, NSF AND OTHER RESTRICTED FUNDS FOR RESEARCH (76 FUNDING AGENCIES) 2990976 AUXILIARY SERVICES/GENERAL- ROOM & BOARD, FOOD SERVICE, INTERCOLLEGIATE ATHLETICS, TAMBURITZANS, PARKING EVENTS, CONFERENCES, RED RING RESTAURANT. 16166800 5067366 265302819 1 0 0 1 0 0 0 0 1 1 1 0 1 1 1 0 1 0 1 0 0 0 1 1 1 0 0 0 0 0 0 1 0 0 1 1 1 0 0 0 1 0 0 0 1 15489 0 1 5090 1 1 1 1 IT CJ 0 0 0 1 1 0 0 0 0 1 24 19 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 PA X RUSSELL C GRUNEBACH 4123966592 600 FORBES AVE ROOM 205 PITTSBURGH PA 15282 ESTHER L BUSH 2.00 X 0 0 0 ANTHONY CARFANG 2.00 X 0 0 0 SISTER MARY DACEYSSJ 2.00 X 0 0 0 VREVLAWRENCE A DINARDO MCHA 2.00 X 0 0 0 THOMAS R DONAHUE 2.00 X 0 0 0 VREVJEFFREY T DUAIME CSSP 2.00 X 0 0 0 REVJOHN FOGARTY CSSP 2.00 X 0 0 0 MARY R GREALY ESQ 2.00 X 0 0 0 THOMAS GREALISH 2.00 X 0 0 0 ROBERT Z GUSSIN PHD 2.00 X 0 0 0 TERRENCE S JACOBS 2.00 X 0 0 0 REV JAMES MCCLOSKEY CSSP 55.00 X 0 0 2545 JOHN W MCGONIGLE 2.00 X 0 0 0 JAMES F MCGUIRK II 2.00 X 0 0 0 WINSTON PITTMAN SR 2.00 X 0 0 0 IRENE M QUALTERS 2.00 X 0 0 0 REVJOHN A SAWICKI CSSP 12.00 X 0 0 5035 THADDEUS J SENKO 2.00 X 0 0 0 REVJOHN P SKAJ CSSP 2.00 X 0 0 69 PATRICIA D YODER 2.00 X 0 0 0 GREGORY BABE 2.00 X X 0 0 0 WILLIAM J LYONS 12.00 X X 3500 0 0 MARIE MILLIE JONES 2.00 X X 0 0 0 CHARLES J DOUGHERTY 55.00 X X 602386 0 99273 LINDA S DRAGO ESQ 55.00 X 145712 0 20199 REVSEAN HOGAN CSSP 55.00 X 0 0 5035 RALPH L PEARSON 55.00 X 251026 0 42968 JOHN P PLANTE 55.00 X 206935 0 39784 STEPHEN A SCHILLO 55.00 X 297279 0 40298 JDOUGLAS BRICKER 55.00 X 214562 0 29018 GREGORY H FRAZER 55.00 X 163610 0 38616 KENNETH G GORMLEY 55.00 X 239024 0 67962 ALAN R MICIAK 55.00 X 218792 0 39672 DAVID W SEYBERT 55.00 X 150114 0 95185 NICHOLAS P CAFARDI 55.00 X 202327 0 31656 RONALD C EVERHART II 55.00 X 442248 0 40164 ALEEM GANGJEE 55.00 X 342508 0 32039 JOHN E MURRAY 35.00 X 393618 0 30528 THOMAS A POLLOCK 55.00 X 192494 0 19806 JAMES CRUTCHFIELD 35.00 X 97048 0 12370 4163183 0 692222 179 0 1 0 ARAMARK CORPORATION 600 FORBES AVENUE PITTSBURGH PA 15282 FOOD SERVICE 9287511 RYCON CONSTRUCTION INC 2525 Liberty Avenue PITTSBURGH PA 15222 CONSTRUCTION 2822220 DIRECT ENERGY MARKETING CORP PO BOX 643249 PITTSBURGH PA 15264 ENERGY SUPPLIER 2208487 SCHINDLER ELEVATOR CORP PO BOX 93050 CHICAGO IL 60673 ELEVATOR SERVICE 1334485 VERSATILE SYSTEMS INC 100 STERLING PKWY SUITE 307 MECHANICSBURG PA 17050 BUSINESS INFORMATION TECHNOLOGY 1210982 41 144449 11735852 9130510 491098 21010811 EDUCATIONAL PROGRAMS 900099 279081753 279081753 AUXILIARY SERVICES 722100 41527452 2990976 553597 37982879 MEDIA & COMMUNICATION 532000 1194472 1194472 SCIENCE&TECHN.RESEARCH 812930 881918 881918 STUDENT SRVC PROGRAMS 900099 522290 522290 521466 521466 323729351 3930185 11161 3919024 513683 513683 29008 29008 29008 29008 50953763 16503 50125252 828511 16503 845014 845014 125142 144449 178843 -53701 -53701 350004351 285192875 564758 43235907 64928118 64928118 724143 724143 2887731 1588888 856107 442736 115901671 100332771 13965222 1603678 6936185 5510113 1331748 94324 21381634 16936016 4105274 340344 7937903 6293724 1524077 120102 545605 545605 216187 216187 62415 62415 138028 138028 13346244 11942254 1362931 41059 2925477 2162210 719360 43907 11939814 9390095 2407072 142647 2564452 2169325 379193 15934 12393990 10384366 1938012 71612 5266033 4980119 139977 145937 363907 327864 29439 6604 5813831 4871118 939873 2840 15025538 12589147 2412731 23660 1197553 376287 821266 OTHER/GENERAL 10668791 9563386 803428 301977 MEMBERSHIPS 758337 232875 520058 5404 303923587 265302819 35218003 3402765 17231497 24686299 5144466 5407070 24142199 20209662 3134 964805 1062782 3524351 3650643 378721237 148949039 228911907 229772198 130873455 150836785 16609000 20334512 10312669 9581459 437717483 465541410 27767973 31383284 9195210 8678057 124289332 119520826 20611297 20913313 181863812 180495480 X 166020880 185823537 21690026 29202556 68142765 70019837 255853671 285045930 437717483 465541410 X 0 1 1 X 1 1 X 62415 62415 303877674 303940089 1000000 250000 0 0 1000000 1000000 2000000 3000000 49182 62415 111597 250000 250000 500000 750000 49182 62415 111597 122584269 7144039 17182748 2615954 1897286 142397816 162745593 3286262 -37991041 1981494 3475051 122584269 0.40000 0.47500 0.12500 0 0 18074229 18074229 288638838 108304131 180334707 49673383 35058727 14614656 22334787 5586181 16748606 229772198 EQUIPMENT LEASE - MISCELLANEOUS 666277 CONDITIONAL ASSET RETIREMENT OBLIGATION 7312884 FEDERAL LOAN FUNDS 10355132 URA GEYER GARAGE - PURCHASE FEE 92300 AGENCY FUNDS 1291254 ANNUITIES PAYABLE 1195466 20913313 350004351 303923587 46080764 -16797757 -90748 -16888505 29192259 268621968 -16797757 1141878 -65635756 -81291635 349913603 90748 90748 350004351 239429709 1141878 -65635756 -64493878 303923587 0 303923587 Part V, Line 4: Description of Intended Use of Endowment Funds: THE INTENDED USES OF DUQUESNE UNIVERSITY OF THE HOLY SPIRIT ENDOWMENT FUNDS ARE TO PRIMARILY PROVIDE FUNDS FOR STUDENT SCHOLARSHIPS, FELLOWSHIPS, LECTURESHIPS, FACULTY CHAIRS, AND RESOURCE FUNDS. ENDOWMENT FUNDS ALSO SUPPORT LIBRARY, ACADEMIC SUPPORT, REPAIR AND REPLACEMENT FACILITIES, AND GENERAL OPERATIONS. ALL USES ARE IN ACCORDANCE WITH APPLICABLE DONOR RESTRICTIONS. Part X: Description of Uncertain Tax Positions Under FIN 48: THE UNIVERSITY ADOPTED GUIDANCE FOR UNCERTAINTY IN INCOME TAXES, WHICH PROVIDES CRITERIA FOR THE RECOGNITION AND MEASUREMENT OF UNCERTAIN TAX POSITIONS. THIS GUIDANCE REQUIRES THAT AN UNCERTAIN TAX POSITION SHOULD BE RECOGNIZED ONLY IF IT IS "MORE LIKELY THAN NOT" THAT THE POSITION IS SUSTAINABLE BASED ON ITS TECHNICAL MERITS. RECOGNIZABLE TAX POSITIONS SHOULD THEN BE MEASURED TO DETERMINE THE AMOUNT OF BENEFIT RECOGNIZED IN THE FINANCIAL STATEMENTS. THE UNIVERSITY FILES U.S. FEDERAL, STATE, AND LOCAL INFORMATION RETURNS, AND NO RETURNS ARE CURRENTLY UNDER EXAMINATION. THE STATUTE OF LIMITATIONS ON THE UNIVERSITY'S U.S. FEDERAL TAX RETURNS REMAINS OPEN FOR THE YEARS ENDED JUNE 30, 2007 THROUGH THE PRESENT. THE UNIVERSITY CONTINUES TO EVALUATE ITS TAX POSITIONS PURSUANT TO THE PRINCIPLES OF SUCH GUIDANCE AND HAS DETERMINED THAT THERE IS NO MATERIAL IMPACT ON THE UNIVERSITY'S FINANCIAL STATEMENTS. PART XI, LINE 8: SPECIAL EVENT REVENUE: $(144,449) PART XI, LINE 8: NET SPECIAL EVENT ACTIVITY: $53,701 TOTAL PART XI, LINE 8 - OTHER ADJUSTMENTS: $(90,748) PART XII, LINE 2B: VINCENTIAN ACADEMY RENT: $858,563 PART XII, LINE 2B: CONTRIBUTED SERVICES: $283,315 TOTAL PART XII, LINE 2B: $1,141,878 PART XII, LINE 2D: FINANCIAL AID/SCHOLARSHIPS: $(65,652,261) PART XII, LINE 2D: GAIN ON DISPOSAL OF ASSET: $16,505 TOTAL PART XII, LINE 2D - OTHER ADJUSTMENTS: $(65,635,756) PART XII, LINE 4B: SPECIAL EVENT REVENUE: $144,449 PART XII, LINE 4B: NET SPECIAL EVENT ACTIVITY: $(53,701) TOTAL PART XII, LINE 4B - OTHER ADJUSTMENTS: $90,748 PART XIII, LINE 2A: VINCENTIAN ACADEMY RENT: $858,563 PART XIII, LINE 2A: CONTRIBUTED SERVICES: $283,315 TOTAL PART XIII, LINE 2A: $1,141,878 PART XIII, LINE 2D: FINANCIAL AID/SCHOLARSHIPS: $(65,652,261) PART XIII, LINE 2D: RECLASS OF GAIN ATTRIBUTABLE TO DISPOSAL OF ASSET: $16,505 TOTAL PART XIII, LINE 2D - OTHER ADJUSTMENTS: $(65,635,756) 1 1 1 DUQUESNE UNIVERSITY'S NONDISCRIMINATORY POLICY IS PUBLISHED IN CATALOGS, REGISTRATION PUBLICATIONS, APPLICATIONS FOR ADMISSION AND FINANCIAL AID. THE POLICY IS ALSO AVAILABLE ON MULTIPLE AREAS OF THE UNIVERSITY'S WEB SITE AS WELL AS PUBLISHED IN THE PITTSBURGH POST GAZETTE ANNUALLY. THE POLICY IS ALSO PUBLISHED IN HUMAN RESOURCE / EMPLOYMENT PUBLICATIONS AND DOCUMENTS, THE PREAMBLE OF THE EXECUTIVE RESOLUTIONS OF THE BOARD AND IN ADMINISTRATIVE POLICIES. 1 1 1 1 0 0 0 0 0 0 0 0 1 0 IN THE COURSE OF OUR BUSINESS AS A UNIVERSITY, THE INSTITUTION RECEIVES FEDERAL GRANT FUNDS FOR ADMINISTRATIVE ALLOWANCES FOR SEOG, PELL, CWS AND STATE INSTITIONAL ASSISTANCE GRANTS. 1 1 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD PROGRAM 5326 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES MISSIONARY 35518 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 8448 CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES RECRUITMENT 1301 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD PROGRAM 106505 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES MISSIONARY 9155 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 16841 EUROPE 1 15 PROGRAM SERVICES STUDY ABROAD PROGRAM 1939168 EUROPE 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 162732 EUROPE 0 0 PROGRAM SERVICES RECRUITMENT 4473 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD PROGRAM 28778 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD PROGRAM 6720 NORTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 149915 SOUTH AMERICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 51315 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD PROGRAM 70327 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD PROGRAM 95559 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES MISSIONARY 28856 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 64430 CENTRAL AMERICA & CARIBBEAN 0 0 INVESTMENTS 0 Russia & the Newly Independent States 0 0 PROGRAM SERVICES INSTRUCTIONAL CONFERENCE 2939 1 15 2788306 STUDENT SCHOLARSHIP EUROPE 128 688008 Financial Aid Award on Student's Account STUDENT SCHOLARSHIP EAST ASIA AND THE PACIFIC 13 27250 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT STUDENT SCHOLARSHIP NORTH AMERICA 1 2385 FINANCIAL AID AWARD ON STUDENT'S ACCOUNT STUDENT SCHOLARSHIP SOUTH AMERICA 1 6500 Financial Aid Award on Student's Account Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING APART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEEDS ARE MONITORED TO INSURE THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. PHARMACY GOLF OUTING 62680 39144 23536 27070 3875 GREALISH GOLF OUTING 43850 11850 32000 30449 3450 5 163061 93455 69606 1598 71614 11582 29205 269591 144449 125142 1598 129133 11582 36530 178843 -53701 1 ACADEMIC SCHOLARSHIPS 7183 46367688 ATHLETIC SCHOLARSHIPS 939 5991184 ENDOWED /NON-ENDOWED SCHOLARSHIPS 1000 2689823 RELIGIOUS / H.S., TEACHER, DISCOUNTS 440 1522655 TAMBURITIZAN / ROTC 33 434533 NEED BASED 3446 7922235 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: A SCHOLARSHIP IS AN ACHIEVEMENT AWARD. AWARDS CAN BE BASED ON THE STUDENT'S AFFILIATION WITH A PARTICULAR MAJOR, BEING A PART OF A CLUB/GROUP, OR BASED ON THE STUDENT'S ACADEMIC RECORD. STUDENTS RECEIVING SCHOLARSHIPS AND GRANTS FROM THE UNIVERSITY ARE MONITORED TO ENSURE THAT THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE AWARD. FINANCIAL ASSISTANCE BASED ON FINANCIAL NEED IS ALSO PROVIDED TO STUDENTS. STUDENTS RECEIVING FINANCIAL ASSISTANCE BASED ON NEEDS ARE MONITORED TO ENSURE THEY MEET THE ACADEMIC REQUIREMENTS OR OTHER CRITERIA ASSOCIATED WITH THE FINANCIAL ASSISTANCE. X 1 1 X X X 0 0 0 0 0 0 0 0 0 CHARLES J DOUGHERTY 569220 0 0 0 33166 0 87277 0 11996 0 701659 0 0 0 LINDA S DRAGO ESQ 145537 0 0 0 175 0 11856 0 8343 0 165911 0 0 0 RALPH L PEARSON 224508 0 0 0 26518 0 19600 0 23368 0 293994 0 0 0 JOHN P PLANTE 201220 0 0 0 5715 0 16727 0 23057 0 246719 0 0 0 STEPHEN A SCHILLO 287587 0 0 0 9692 0 19600 0 20698 0 337577 0 0 0 JDOUGLAS BRICKER 214562 0 0 0 0 0 17482 0 11536 0 243580 0 0 0 GREGORY H FRAZER 161581 0 0 0 2029 0 13698 0 24918 0 202226 0 0 0 KENNETH G GORMLEY 238529 0 0 0 495 0 19794 0 48168 0 306986 0 0 0 ALAN R MICIAK 201912 0 0 0 16880 0 18006 0 21666 0 258464 0 0 0 DAVID W SEYBERT 149340 0 0 0 774 0 15936 0 79249 0 245299 0 0 0 NICHOLAS P CAFARDI 188098 0 0 0 14229 0 15399 0 16257 0 233983 0 0 0 RONALD C EVERHART II 437978 0 0 0 4270 0 19882 0 20282 0 482412 0 0 0 ALEEM GANGJEE 338944 0 0 0 3564 0 19328 0 12711 0 374547 0 0 0 JOHN E MURRAY 384368 0 0 0 9250 0 19600 0 10928 0 424146 0 0 0 THOMAS A POLLOCK 191821 0 0 0 673 0 14723 0 5083 0 212300 0 0 0 ALLEGHENY COUNTY HIGHER EDUCATBUILDAUTHORITY 251425398 01728rxxx 2004-03-31 30020970 SEE SCHEDULE O 0 0 ALLEGHENY COUNTY HIGHER EDUCATBUILDAUTHORITY 251425398 01728RDC0 2005-12-02 18312888 SEE SCHEDULE O 0 0 ALLEGHENY COUNTY HIGHER EDUCATBUILDAUTHORITY 251425398 01728RDC0 2005-12-02 17401828 SEE SCHEDULE O 0 0 ALLEGHENY COUNTY HIGHER EDUCATBUILDAUTHORITY 251425398 01728REN8 2007-08-23 15073128 SEE SCHEDULE O 0 0 ALLEGHENY COUNTY HIGHER EDUCATBUILDAUTHORITY 251425398 01728RFL8 2008-06-19 30780280 SEE SCHEDULE O 0 0 30075410 1118464 28956946 2004 0 0 1 1 19637033 479580 19157453 2007 0 0 1 1 17060288 16772250 288038 2005 1 0 1 1 15347821 373166 14947693 2008 0 0 1 1 30780280 26067000 244023 4461383 2008 1 0 1 1 0 1 1 0 1 0.00000 0.00000 0.00000 1 0 1 1 0 1 0.00000 0.00000 0.00000 1 0 1 1 0 1 0.00000 0.00000 0.00000 1 0 1 1 0 1 0.00000 0.00000 0.00000 1 0 1 1 0 1 0.00000 0.00000 0.00000 1 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 BOARD MEMBER FAMILY MEMBER OF SCHOLARSHIP RECIPIENT 35669 PNC FINANCIAL SERVICES BUS RELATIONSHIP - SEE DESCRIPTION OF TRANSACTION 652195 J. GUYAUX, FORMER DUQUESNE UNIVERSITY BOARD MEMBER AND PRESIDENT OF PNC FINANCIAL SERVICES. TRANSACTIONS WITH PNC BANK INCLUDED: LENDER, MERCHANT CARD AND OTHER BANKING SERVICES 0 FEDERATED INVESTORS BUS RELATIONSHIP - SEE DESCRIPTION OF TRANSACTION 155450 T. DONAHUE, DUQUESNE UNIVERSITY BOARD MEMBER AND CFO OF FEDERATED INVESTORS, INC. AND J. MCGONIGLE, DUQUESNE UNIVERSITY BOARD MEMBER AND DIRECTOR/OFFICER OF FEDERATED INVESTORS, INC.TRANSACTIONS INCLUDED: MANAGING ENDOWMENT ACCOUNTS (FY2010 ADVISORY FEE OF $110,040). SERVICES PROVIDED BY FEDERATED INVESTORS, INC. 0 X 1 18000 FMV X 0 X 243 92435 FMV X 15 380663 FMV X 1 0 266 0 1 1 Method for Determining Number of Contributors: Part I, Column (b): LINE 29: THE UNIVERSITY ADVANCEMENT OFFICE PROCESSES ANY REQUIRED FORM 8283 IN CONNECTION WITH DONOR ACKNOWLEDGEMENT RESPONSIBILITIES. SCHEDULE M, PART I, LINE 32B: AUTOMOBILES ARE DONATED TO DUQUESNE UNIVERSITY OF THE HOLY SPIRIT - WDUQ PUBLIC RADIO STATION VIA CHARITABLE AUTO RESOURCES, (CARS) IN SAN DIEGO, CA. NO SOLICITATION IS MADE BY CARS, ONLY VIA WDUQ AIR BROADCASTING ACTIVITIES. CARS SENDS A SIGNED ACKNOWLEDGMENT LETTER ON WDUQ LETTERHEAD WITH FORM 8283 ON BEHALF OF WDUQ TO DONORS. DU/WDUQ RECEIVED CONTRIBUTIONS OF 243 CARS WITH RECEIPTS OF $92,435. TOTAL ACKNOWLEDGED/RECEIVED BY (CARS) $132,050 30% FEE/EXPENSE (CARS) ($39,615) TOTAL DU RECEIVED/DEPOSITED $92,435 Third Party Use: Part I, Line 32b: DONATED STOCK IS IMMEDIATELY SOLD UPON RECEIPT VIA USB FINANCIAL SERVICES,INC. Non Reporting of Revenue: Part I, Line 33: SMALL ITEMS WITH A DE MINIMIS FMV, SUCH AS FOOD INVENTORY, CLOTHING AND HOUSEHOLD GOODS, ARE NOT REPORTED IN THE FINANCIAL STATEMENTS. Form 990, Part VI, Section A, line 2 BUSINESS RELATIONSHIP: THOMAS R. DONAHUE AND JOHN W. MCGONIGLE Form 990, Part VI, Section A, line 6 DUQUESNE UNIVERSITY IS A PENNSYLVANIA NONPROFIT CORPORATION RECOGNIZED AS A IRC SECTION 501(C)(3) ORGANIZATION. AS PER THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, IT SHALL HAVE MEMBERS. THE MEMBERS OF THE UNIVERSITY SHALL BE THE PROVINCIAL SUPERIOR, THE PROVINCIAL COUNCILLORS, AND SUCH OTHER VOWED MEMBERS OF THE CONGREGATION OF THE HOLY SPIRT PROVINCE OF THE UNITED STATES AS ARE APPOINTED BY THE PROVINCIAL SUPERIOR WITH THE CONSENT OF THE PROVINCIAL COUNCIL SO THAT THERE ARE AT ALL TIMES SIX MEMBERS BUT NO MORE THAN 10 MEMBERS. Form 990, Part VI, Section A, line 7a PURSUANT TO THE UNIVERSITY'S ARTICLES, THE BOARD OF DIRECTORS SHALL BE ELECTED ANNUALLY BY THE MEMBERS (AS DEFINED ABOVE). IN ADDITION, THERE ARE SEVEN EX-OFFICIO VOTING MEMBERS OF THE BOARD: THE PRESIDENT OF THE UNIVERSITY, THE VICAR/DIRECTOR OF THE ROMAN CATHOLIC DIOCESE OF PITTSBURGH, PA, THE CHAIRMAN, VICE-CHAIRMAN AND SECRETARY OF THE MEMBERS, THE VP FOR MISSION & IDENTITY AT THE UNIVERSITY AND THE PRESIDENT OF THE DUQUESNE UNIVERSITY ALUMNI ASSOCIATION. Form 990, Part VI, Section A, line 7b CERTAIN POWERS ARE RESERVED TO THE MEMBERS INCLUDING BUT NOT LIMITED TO, ELECTION AND REMOVAL OF ANY INDIVIDUAL MEMBER OF THE BOARD OF DIRECTORS, THE RIGHT TO AMEND, ALTER, MODIFY OR REPEAL GOVERNING DOCUMENTS, APPROVE CERTAIN TRANSACTIONS AS SET FORTH IN THE BYLAWS, ISSUE STATEMENTS OF POLICY REGARDING PHILOSOPHY AND MISSION, APPROVE APPOINTMENT OF THE UNIVERSITY PRESIDENT AND CONFIRM OFFICER ELECTIONS, AND APPROVE EMPLOYMENT CONTRACTS OF UNIVERSITY OFFICERS. Form 990, Part VI, Section B, line 11 THE DRAFT FORM 990, 990-T AND REQUIRED SCHEDULES ARE REVIEWED WITH THE ORGANIZATION'S INTERNAL MANAGEMENT AS WELL AS THE AUDIT AND FINANCE COMMITTEE. UPON COMPLETION OF THIS REVIEW, THE FORMS ARE FINALIZED AND A COMPLETE COPY IS PROVIDED TO THE BOARD OF TRUSTEES VIA AN INTRANET SITE IN ADVANCE OF FILING WITH THE INTERNAL REVENUE SERVICE. Form 990, Part VI, Section B, line 12c ANNUALLY, A CONFLICT OF INTEREST FORM IS GIVEN TO EMPLOYEES OF THE UNIVERSITY AND TO THE BOARD OF DIRECTORS INCLUDING THE CORPORATION MEMBERS, OFFICERS, HIGHEST PAID AND KEY EMPLOYEES. ALL MUST COMPLETE THIS FORM. THIS CONFLICT OF INTEREST FORM HAS BEEN ENHANCED TO INCLUDE MORE DETAILED QUESTIONS RELATING TO THE FY 2009 FORM 990, TO DISCLOSE THE SPECIFIC INFORMATION REQUIRED BY THE FORM. Form 990, Part VI, Section B, line 15a COMPENSATION OF THE PRESIDENT IS DETERMINED BY THE BOARD OF DIRECTORS. COMPENSATION OF OTHER OFFICERS IS DETERMINED BY THE PRESIDENT OF THE UNIVERSITY AND REVIEWED WITH CHAIRPERSON OF THE BOARD. COMPENSATION OF KEY EMPLOYEES: THE OFFICE OF HUMAN RESOURCES DEVELOPS AND MAINTAINS A WAGE AND SALARY PROGRAM TO ENSURE FAIR AND EQUITABLE COMPENSATION FOR ADMINISTRATIVE, PROFESSIONAL, AND CLERICAL STAFF OF THE UNIVERSITY. THE PLAN ESTABLISHES PAY RANGES FOR POSITIONS TO ESTABLISH INTERNAL EQUITY, AND ALSO USES SURVEYS OF LOCAL AND NATIONAL INSTITUTIONS, WHICH MAINTAIN SIMILAR OR COMPARABLE EMPLOYMENT SITUATIONS. THE DOCUMENTED RANGES ARE REVIEWED PERIODICALLY AND MODIFIED ACCORDINGLY. FACULTY SALARIES ARE SET BY THE DEAN IN CONSULTATION WITH THE PROVOST AND ARE BASED UPON RELEVANT MARKET AND DISCIPLINE BASED SURVEYS. Form 990, Part VI, Section C, line 19 DUQUESNE UNIVERSITY OF THE HOLY SPIRIT MAKES ITS GOVERNANCE DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENT AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 2C OVERSIGHT OF FINANCIAL AUDIT THE ORGANIZATION'S FINANCIAL STATEMENTS ARE AUDITED BY AN INDEPENDENT ACCOUNTING FIRM. IN ADDITION, THE ORGANIZATION HAS A COMMITTEE THAT ASSUMES THE RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND ITS SELECTION OF THE INDEPENDENT ACCOUNTING FIRM. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. Schedule K Supplental Information BOND A-DORMITORY ACQUISITION & CAPITAL PROJECTS BOND B-CONSTRUCTION OF ATHLETIC/RECREATION COMPLEX & PEDESTRIAN BRIDGE & MISCELLANEOUS CAPITAL PROJECTS & RENOVATIONS BOND C-REFUNDING OF 1996 BOND ESCROW BOND D-CAPITAL PROJECTIONS/RENOVATIONS BOND E-ACQUISITION OF BUILDING AND REFUNDING OF 2003 BOND ESCROW, 2005 C BOND ESCROW & 2007 B BOND ESCROW PART II, LINE 3, PROCEEDS IN REFUNDING OR DEFEASANCE ESCROWS, BOND D: UNIVERSITY REVENUE BONDS, SERIES A/B OF 2007 (DUQUESNE UNIVERSITY) SERIES 2007 B BONDS HAVE BEEN REFUNDED AND WERE REFINANCED BY 2008 BONDS. ONLY 2007 A BONDS REMAIN OUTSTANDING. PART II, LINE 3, PROCEEDS IN REFUNDING OR DEFEASANCE ESCROWS, BOND C & E: THE AMOUNTS ON LINE #3 WERE REFUNDING PROCEEDS FOR INFORMATIONAL PURPOSE. AS OF 6/30/10 THERE ARE NO FUNDS REMAINING IN THE REFUNDING ACCOUNTS AS THE FUNDS HAVE BEEN FULLY REFUNDED/EXHAUSTED TO A ZERO BALANCE. FORM 990 PART V, LINE 7H REASON FOR AMENDED RETURN THE DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FORM 990 FOR THE YEAR ENDED JUNE 30, 2010 IS BEING AMENDED TO REFLECT THE FILING OF FORMS 1098-C FOR AUTOMOBILE DONATIONS TO THE UNIVERSITY. FORM 990, PART VI, LINE 2 REASON FOR AMENDED RETURN THE DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FORM 990 FOR THE YEAR ENDED JUNE 30, 2010 IS BEING AMENDED TO REFLECT A BUSINESS RELATIONSHIP BETWEEN TWO BOARD MEMBERS. FORM 990, PART VI, LINE 15A REASON FOR AMENDED RETURN THE DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FORM 990 FOR THE YEAR ENDED JUNE 30, 2010 IS BEING AMENDED TO REFLECT A CHANGE IN THE DESCRIPTION OF THE COMPENSATION REVIEW PROCESS WITH REGARD TO COMPENSATION OF OTHER OFFICERS. FORM 990, SCHEDULE L, PART IV REASON FOR AMENDED RETURN THE DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FORM 990 FOR THE YEAR ENDED JUNE 30, 2010 IS BEING AMENDED TO REFLECT A BUSINESS TRANSACTION INVOLVING J. MCGONIGLE, DIRECTOR AND OFFICER OF FEDERATED INVESTORS. FORM 990, SCHEDULE M, PART II REASON FOR AMENDED RETURN THE DUQUESNE UNIVERSITY OF THE HOLY SPIRIT'S FORM 990 FOR THE YEAR ENDED JUNE 30, 2010 IS BEING AMENDED TO REFLECT AN ADDITIONAL DISCLOSURE REGARDING AUTOMOBILE DONATIONS TO THE UNIVERSITY. EASTERN CONGREGATION OF THE HOLY SPIRIT PROVINCE OF THE UNITED STATES 6230 BRUSH RUN ROAD BETHEL PARK PA 151022214 RELIGIOUS CONGREGATION PA 501(c)(3) 170(b)(1)(A)(i) N/A PITTSBURGH COUNCIL ON HIGHER EDUCATION 201 WOOD STREET BOX 647 PITTSBURGH PA 152221912 237303727 PROVIDE A MEANS FOR SHARING RESOURCES, INSIGHTS, AND INFORMATION. PA 501(c)(3) 509(a)(3) N/A DUQUESNE UNIVERSITY WOMEN'S ADVISORY BOARD 600 FORBES AVENUE PITTSBURGH PA 15282 232924542 PROVIDE SCHOLASTIC FUNDS TO DUQUESNE UNIVERSITY SCHOOL OF MUSIC. PA 501(c)(3) 509(a)(3) N/A 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0