Form990
Click to see attachment
Department of the Treasury
Internal Revenue Service
Return of Organization Exempt From Income Tax
Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except black lung benefit trust or private foundation)

MediumBullet The organization may have to use a copy of this return to satisfy state reporting requirements.
OMB No. 1545-0047
2010
Open to Public Inspection
A For the calendar year, or tax year beginning 07-01-2010 and ending 06-30-2011
BCheck if applicable:
CName of organization
DUKE UNIVERSITY
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
324 BLACKWELL ST WASHINGTON BLDG
 
Room/suite
City or town, state or country, and ZIP + 4
DURHAM, NC27701
D Employer identification number

56-0532129
E Telephone number

G Gross receipts $ 13,275,337,843
F Name and address of principal officer:
RICHARD H BRODHEAD
324 BLACKWELL STREET
DURHAM,NC27701
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
WWW.DUKE.EDU
H(a)
Is this a group return for
affiliates?
H(b)
Are all affiliates included?
If "No," attach a list. (see instructions)
H(c)
Group exemption number MediumBullet  
K Form of organization:
 
L Year of formation: 1841
M State of legal domicile: NC
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) .... 3 37
4 Number of independent voting members of the governing body (Part VI, line 1b) .... 4 28
5 Total number of individuals employed in calendar year 2010 (Part V, line 2a) ... 5 27,317
6 Total number of volunteers (estimate if necessary) .... 6  
7a Total unrelated business revenue from Part VIII, column (C), line 12 .. 7a 0
b Net unrelated business taxable income from Form 990-T, line 34 .. 7b 0
Revenues; Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 1,131,249,755 1,297,436,773
9 Program service revenue (Part VIII, line 2g) ......... 744,856,946 807,858,421
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 259,133,753 468,980,661
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 42,999,116 132,786,004
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 2,178,239,570 2,707,061,859
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 229,904,961 251,114,476
14 Benefits paid to or for members (Part IX, column (A), line 4) .... 0 0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 1,221,532,256 1,262,555,864
16a Professional fundraising fees (Part IX, column (A), line 11e).... 0 0
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet23,380,440    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24f).... 895,079,957 1,000,393,143
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 2,346,517,174 2,514,063,483
19 Revenue less expenses. Subtract line 18 from line 12...... -168,277,604 192,998,376
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............ 9,378,030,720 10,394,643,684
21 Total liabilities (Part X, line 26)............ 2,968,970,088 2,239,253,731
22 Net assets or fund balances. Subtract line 21 from line 20 ..... 6,409,060,632 8,155,389,953
Part II
Signature Block
Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.
Sign Here
JumboBullet
Signature of officer Date
JumboBullet
Type or print name and title.
Paid Preparer's Use Only Preparer's
signatureBig Right Arrow 		Date
right pointing bullet image Preparer’s taxpayer identification number
(see instructions)
Firm’s name (or yours
if self-employed),
address, and ZIP + 4Big Right Arrow




 		EIN right pointing bullet image
Phone no. right pointing bullet image
May the IRS discuss this return with the preparer shown above? (see instructions) .........
For Privacy Act and Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2010)
Form 990 (2010)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response to any question in this Part III . . . . . . . . . .
1
Briefly describe the organization’s mission: SEE SCHEDULE O
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? ....................
If “Yes,” describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program services? ..........................
If “Yes,” describe these changes on Schedule O.
4
Describe the exempt purpose achievements for each of the organization’s three largest program services by expenses.
Section 501(c)(3) and 501(c)(4) organizations and section 4947(a)(1) trusts are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported.
4a (Code:   ) (Expenses $ 1,317,502,139 including grants of $ 216,400,343 ) (Revenue $ 637,431,982 )
DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONAL DEGREES TO APPROXIMATELY 4300 STUDENTS ANNUALLY
4b (Code:   ) (Expenses $ 750,703,992 including grants of $ 33,698,234 ) (Revenue $ 617,548,014 )
DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORK SPONSORED BY NUMEROUS FEDERAL, STATE, AND LOCAL AGENCIES
4c (Code:   ) (Expenses $ 195,600,995 including grants of $ 1,015,899 ) (Revenue $ 94,401,181 )
DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORT SERVICES TO THE DUKE UNIVERSITY COMMUNITY
4d Other program services. (Describe in Schedule O.)
(Expenses $   including grants of $   ) (Revenue $   )
4e Total program service expensesMediumBullet$ 2,263,807,126
Form 990 (2010)
Form 990 (2010)
Page 3
Part IV
Checklist of Required Schedules
Yes
No
1
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If “Yes,” complete Schedule AClick to see attachment.....................
1
Yes
 
2
Is the organization required to complete Schedule B, Schedule of Contributors? Click to see attachment........
2
Yes
 
3
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If “Yes,” complete Schedule C, Part IClick to see attachment..........
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities? If “Yes,” complete Schedule C,
Part IIClick to see attachment.........................
4
Yes
 
5
Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19? If “Yes,” complete Schedule C, Part III........................
5
 
 
6
Did the organization maintain any donor advised funds or any similar funds or accounts where donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If “Yes,” complete
Schedule D, Part IClick to see attachment.......................
6
 
No
7
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas or historic structures? If “Yes,” complete Schedule D, Part IIClick to see attachment...
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If “Yes,” complete Schedule D, Part III Click to see attachment....................
8
Yes
 
9
Did the organization report an amount in Part X, line 21; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services? If “Yes,”
complete Schedule D, Part IVClick to see attachment...................
9
 
No
10
Did the organization, directly or through a related organization, hold assets in term, permanent,or quasi-endowments? If “Yes,” complete Schedule D, Part VClick to see attachment
10
Yes
 
11
If the organization’s answer to any of the following questions is ‘Yes,’ then complete Schedule D, Parts VI, VII, VIII, IX, or X as applicable:
a
Did the organization report an amount for land, buildings, and equipment in Part X, line10? If “Yes,” complete Schedule D, Part VI.Click to see attachment
11a
Yes
 
b
Did the organization report an amount for investments—other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If “Yes,” complete Schedule D, Part VII.Click to see attachment
11b
Yes
 
c
Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If “Yes,” complete Schedule D, Part VIII.Click to see attachment
11c
 
No
d
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If “Yes,” complete Schedule D, Part IX.Click to see attachment
11d
Yes
 
e
Did the organization report an amount for other liabilities in Part X, line 25? If “Yes,” complete Schedule D, Part X.Click to see attachment
11e
Yes
 
f
Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization’s liability for uncertain tax positions under FIN 48 (ASC 740)? If “Yes,” complete Schedule D, Part X.Click to see attachment
11f
 
No
12a
Did the organization obtain separate, independent audited financial statements for the tax year? If “Yes,” complete Schedule D, Parts XI, XII, and XIII Click to see attachment
12a
 
No
b
Was the organization included in consolidated, independent audited financial statements for the tax year? If “Yes,” and if the organization answered ‘No’ to line 12a, then completing Schedule D, Parts XI, XII, and XIII is optional Click to see attachment
12b
Yes
 
13
Is the organization a school described in section 170(b)(1)(A)(ii)? If “Yes,” complete Schedule EClick to see attachment
13
Yes
 
14a
Did the organization maintain an office, employees, or agents outside of the United States?....
14a
Yes
 
b
Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, and program service activities outside the United States? If “Yes,” complete Schedule F, Part I......... Click to see attachment
14b
Yes
 
15
Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to any organization or entity located outside the U.S.? If “Yes,” complete Schedule F, Part II.. Click to see attachment
15
Yes
 
16
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance to individuals located outside the U.S.? If “Yes,” complete Schedule F, Part III.. Click to see attachment
16
Yes
 
17
Did the organization report a total of more than $15,000, of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If “Yes,” complete Schedule G, Part IClick to see attachment
17
Yes
 
18
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If “Yes,” complete Schedule G, Part II.......... Click to see attachment
18
Yes
 
19
Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If “Yes,” complete Schedule G, Part III................... Click to see attachment
19
 
No
Form 990 (2010)
Form 990 (2010)
Page 4
Part IV
Checklist of Required Schedules (continued)
20a
Did the organization operate one or more hospitals? If “Yes,” complete Schedule H.....
20a
 
No
b
Did the organization attach its audited financial statement to this return? Note: All Form 990 filers that operate one or more hospitals must attach audited financial statements. .....
20b
 
 
21
Did the organization report more than $5,000 of grants and other assistance to governments and organizations in the United States on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II.. Click to see attachment
21
Yes
 
22
Did the organization report more than $5,000 of grants and other assistance to individuals in the United States on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III..... Click to see attachment
22
Yes
 
23
Did the organization answer “Yes” to Part VII, Section A, questions 3, 4, or 5, about compensation of the organization’s current and former officers, directors, trustees, key employees, and highest compensated employees? If “Yes,” complete Schedule J................ Click to see attachment
23
Yes
 
24a
Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If “Yes,” answer questions 24b–24d and complete Schedule K. If “No,” go to line 25................ Click to see attachment
24a
Yes
 
b
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...
24b
Yes
 
c
Did the organization maintain an escrow account other than a refunding escrow at any time during the year
to defease any tax-exempt bonds?......................
24c
 
No
d
Did the organization act as an “on behalf of” issuer for bonds outstanding at any time during the year?...
24d
 
No
25a
Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If “Yes,” complete Schedule L, Part I...... Click to see attachment
25a
 
No
b
Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization’s prior Forms 990 or 990-EZ? If “Yes,” complete Schedule L, Part I................ Click to see attachment
25b
 
No
26
Was a loan to or by a current or former officer, director, trustee, key employee, highly compensated employee, or disqualified person outstanding as of the end of the organization’s tax year? If “Yes,” complete Schedule L,
Part II........................... Click to see attachment
26
 
No
27
Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor, or a grant selection committee member, or to a person related to such an individual? If “Yes,” complete Schedule L, Part III............... Click to see attachment
27
Yes
 
28
Was the organization a party to a business transaction with one of the following parties? (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions):
a
A current or former officer, director, trustee, or key employee? If “Yes,” complete Schedule L, Part IV ......................... Click to see attachment
28a
Yes
 
b
A family member of a current or former officer, director, trustee, or key employee? If “Yes,”
complete Schedule L, Part IV................... Click to see attachment
28b
Yes
 
c
An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or owner? If “Yes,” complete Schedule L, Part IV.. Click to see attachment
28c
Yes
 
29
Did the organization receive more than $25,000 in non-cash contributions? If “Yes,” complete Schedule MClick to see attachment
29
Yes
 
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If “Yes,” complete Schedule M............ Click to see attachment
30
Yes
 
31
Did the organization liquidate, terminate, or dissolve and cease operations? If “Yes,” complete Schedule N,
Part I........................... Click to see attachment
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If “Yes,” complete Schedule N, Part II.......................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If “Yes,” complete Schedule R, Part I........ Click to see attachment
33
Yes
 
34
Was the organization related to any tax-exempt or taxable entity? If “Yes,” complete Schedule R, Parts II, III, IV, and V, line 1..................... Click to see attachment
34
Yes
 
35
Is any related organization a controlled entity within the meaning of section 512(b)(13)? .....
35
Yes
 
a
Did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If “Yes,” complete Schedule R, Part V, line 2... Click to see attachment
36
Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If “Yes,” complete Schedule R, Part V, line 2........... Click to see attachment
36
 
No
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If “Yes,” complete Schedule R, Part VIClick to see attachment
37
 
No
38
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11 and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Form 990 (2010)
Form 990 (2010)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response to any question in this Part V . . . . . . . . . .
Yes
No
1a
Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable. .......
1a
9,752
b
Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable.
1b
0
c
Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? ..................
1c
Yes
 
2a
Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements filed for the calendar year ending with or within the year covered by this return .....................
2a
27,317
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?

Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file. (see instructions)
2b
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?.............................
3a
 
No
b
If “Yes,” has it filed a Form 990-T for this year? If “No,” provide an explanation in Schedule O.....
3b
 
 
4a
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account or securities account)?.......................
4a
Yes
 
b
If "Yes," enter the name of the foreign country: MediumBulletSP , EC , IT , GM , UK , CH , SN , TZ
See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.
5a
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?..
5a
 
No
b
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?
5b
 
No
c
If “Yes” to line 5a or 5b, did the organization file Form 8886-T? ........
5c
 
 
6a
Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible?..........
6a
 
No
b
If “Yes,” did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible?........................
6b
 
 
7
Organizations that may receive deductible contributions under section 170(c).
a
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor?....................
7a
Yes
 
b
If “Yes,” did the organization notify the donor of the value of the goods or services provided?.....
7b
Yes
 
c
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282?...........................
7c
Yes
 
d
If “Yes,” indicate the number of Forms 8282 filed during the year ....
7d
0
e
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?..........................
7e
 
No
f
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?..
7f
 
No
g
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?...................
7g
 
 
h
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?...............
7h
 
 
8
Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year?................
8
 
 
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?.........
9a
 
 
b
Did the organization make a distribution to a donor, donor advisor, or related person?......
9b
 
 
10
Section 501(c)(7) organizations. Enter:
a
Initiation fees and capital contributions included on Part VIII, line 12 ...
10a
 
b
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
 
11
Section 501(c)(12) organizations. Enter:
a
Gross income from members or shareholders .........
11a
 
b
Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them.) ........
11b
 
12a
Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041?
12a
 
 
b
If “Yes,” enter the amount of tax-exempt interest received or accrued during the year.
12b
 
13
Section 501(c)(29) qualified nonprofit health insurance issuers.
a
Is the organization licensed to issue qualified health plans in more than one state?
Note. All 501(c)(29) organizations must list in Schedule O each state in which they are licensed to issue qualified health plans, the amount of reserves required by each state, and the amount of reserves the organization allocated to each state.
13a
 
 
b
Enter the aggregate amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans.
13b
 
c
Enter the aggregate amount of reserves on hand.
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
 
b
If "Yes," has it filed a Form 720 to report these payments? If “No,” provide an explanation in Schedule O..
14b
 
 
Form 990 (2010)
Form 990 (2010)
Page 6
Part VI
Governance, Management, and Disclosure For each “Yes” response to lines 2 through 7b below, and for a “No” response to lines 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.
Check if Schedule O contains a response to any question in this Part VI . . . . . . . . . .
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year ..............
1a
37
b
Enter the number of voting members included in line 1a, above, who are independent .................
1b
28
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
Yes
 
3
Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? ..
3
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed?
4
 
No
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Does the organization have members or stockholders? ................
6
 
No
7a
Does the organization have members, stockholders, or other persons who may elect one or more members of the governing body? .........................
7a
Yes
 
b
Are any decisions of the governing body subject to approval by members, stockholders, or other persons? ..
7b
 
No
8
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a
The governing body? .........................
8a
Yes
 
b
Each committee with authority to act on behalf of the governing body? ............
8b
Yes
 
9
Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization’s mailing address? If “Yes,” provide the names and addresses in Schedule O .....
9
 
No
Section B. Policies (This Section B requests information about policies not required by the Internal
Revenue Code.)
Yes
No
10a
Does the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If “Yes,” does the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with those of the organization? ....
10b
 
 
11a
Has the organization provided a copy of this Form 990 to all members of its governing body before filing the form?
11a
Yes
 
b
Describe in Schedule O the process, if any, used by the organization to review the Form 990. .....
12a
Does the organization have a written conflict of interest policy? If “No,” go to line 13.......
12a
Yes
 
b
Are officers, directors or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ...........................
12b
Yes
 
c
Does the organization regularly and consistently monitor and enforce compliance with the policy? If “Yes,” describe in Schedule O how this is done ....................
12c
Yes
 
13
Does the organization have a written whistleblower policy? ...............
13
Yes
 
14
Does the organization have a written document retention and destruction policy? .........
14
Yes
 
15
Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision?
a
The organization’s CEO, Executive Director, or top management official ...........
15a
Yes
 
b
Other officers or key employees of the organization ................
15b
Yes
 
If "Yes" to line a or b, describe the process in Schedule O. (See instructions.)
16a
Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? ......................
16a
Yes
 
b
If “Yes,” has the organization adopted a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and taken steps to safeguard the organization’s exempt status with respect to such arrangements? ............
16b
 
No
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be filedMediumBullet
AK , AZ , CO , DC , ME , MD , MA , MI , NH , NJ , NY , OR , SC , WA
18
Section 6104 requires an organization to make its Form 1023 (or 1024 if applicable), 990, and 990-T (501(c)(3)s only) available for public inspection. Indicate how you make these available. Check all that apply.
19
Describe in Schedule O whether (and if so, how), the organization makes its governing documents, conflict of interest policy, and financial statements available to the public.
20
State the name, physical address, and telephone number of the person who possesses the books and records of the organization: MediumBullet
DUKE UNIVERSITY
324 BLACKWELL ST SUITE 920
DURHAM,NC27701
(919) 684-2006
Form 990 (2010)
Form 990 (2010)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response to any question in this Part VII . . . . . . . . . .
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
1a Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization’s tax year.
RoundBullet List all of the organization’s current officers, directors, trustees (whether individuals or organizations), regardless of amount
of compensation, and current key employees. Enter -0- in columns (D), (E), and (F) if no compensation was paid.

RoundBullet List all of the organization’s current key employees, if any. See instructions for definition of "key employee."
RoundBullet List the organization’s five current highest compensated employees (other than an officer, director, trustee or key employee)
who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the
organization and any related organizations.

RoundBullet List all of the organization’s former officers, key employees, or highest compensated employees who received more than $100,000
of reportable compensation from the organization and any related organizations.

RoundBullet List all of the organization’s former directors or trustees that received, in the capacity as a former director or trustee of the
organization, more than $10,000 of reportable compensation from the organization and any related organizations.

List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highest
compensated employees; and former such persons.
Check this box if neither the organization nor any related organizations compensated any current or former officer, director, or trustee.
(A)
Name and Title 		(B)
Average hours per week (describe hours for related organizations in Schedule O) 		(C)
Position (check all that apply) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; Officer; Key Employee; Highest compensated employee; Former;
(1) ANNE T BASS
TRUSTEE
 1.0 X           0 0 0
(2) THE HONORABLE DANIEL TERRY BLUE JR
TRUSTEE
 1.0 X           0 0 0
(3) JACK O BOVENDER JR
TRUSTEE
 1.0 X           0 0 0
(4) RICHARD H BRODHEAD
PRESIDENT/TRUSTEE
 50.0 X   X       776,073 0 191,410
(5) PAULA PHILLIPS BURGER
TRUSTEE
 1.0 X           0 0 0
(6) PAULA HANNAWAY CROWN
TRUSTEE
 1.0 X           0 0 0
(7) RALPH EADS III
TRUSTEE
 1.0 X           0 0 0
(8) FRANK E EMORY JR
TRUSTEE
 1.0 X           0 0 0
(9) PAUL FARMER
TRUSTEE
 1.0 X           0 0 0
(10) ROBIN A FERRACONE
TRUSTEE
 1.0 X           0 0 0
(11) XIQING GAO
TRUSTEE
 1.0 X           0 0 0
(12) DAVID GERGEN
TRUSTEE
 1.0 X           0 0 0
(13) THOMAS M GORRIE
TRUSTEE
 1.0 X           0 0 0
(14) JANET HILL
TRUSTEE
 1.0 X           0 0 0
(15) KENNETH W HUBBARD
TRUSTEE
 1.0 X           0 0 0
(16) KIMBERLY J JENKINS
TRUSTEE
 1.0 X           37,500 0 4,565
(17) PETER J KAHN
TRUSTEE
 1.0 X           0 0 0
Form 990 (2010)
Form 990 (2010)
Page 8
Part VII
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)
(A)
Name and Title 		(B)
Average hours per week (describe hours for related organizations in Schedule O) 		(C)
Position (check all that apply) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; Officer; Key Employee; Highest compensated employee; Former;
(18) SUNNY KANTHA
TRUSTEE
 1.0 X           0 0 0
(19) BRUCE A KARSH
TRUSTEE
 1.0 X           0 0 0
(20) J J KISER III
TRUSTEE
 1.0 X           0 0 0
(21) ELIZABETH KISS
TRUSTEE
 1.0 X           0 0 0
(22) MARGUERITE W KONDRACKE
TRUSTEE
 1.0 X           0 0 0
(23) JOHN J MACK
TRUSTEE
 1.0 X           0 0 0
(24) MICHAEL MARSICANO
TRUSTEE
 1.0 X           0 0 0
(25) BISHOP J LAWRENCE MCCLESKEY
TRUSTEE
 1.0 X           0 0 0
(26) JAMES P MCDONALD
TRUSTEE
 1.0 X           0 0 0
(27) MARTHA L MONSERRATE
TRUSTEE
 1.0 X           0 0 0
(28) NANCY A NASHER
TRUSTEE
 1.0 X           0 0 0
(29) CLARENCE G NEWSOME
TRUSTEE
 1.0 X           0 0 0
(30) ANN PELHAM
TRUSTEE
 1.0 X           0 0 0
(31) DAVID M RUBENSTEIN
TRUSTEE
 1.0 X           0 0 0
(32) ALAN D SCHWARTZ
TRUSTEE
 1.0 X           0 0 0
(33) LAURENE SPERLING
TRUSTEE
 1.0 X           0 0 0
(34) SUSAN M STALNECKER
TRUSTEE
 1.0 X           0 0 0
(35) RYAN TODD
TRUSTEE
 1.0 X           0 0 0
(36) G RICHARD WAGONER JR
TRUSTEE
 1.0 X           0 0 0
(37) HOPE MORGAN WARD
TRUSTEE
 1.0 X           0 0 0
(38) PAMELA J BERNARD
VP & UNVERSITY COUNSEL
 20.0     X       402,037 0 44,429
(39) VICTOR J DZAU
CHANCELLOR HEALTH AFFAIRS
 40.0     X       2,037,221 0 759,796
(40) PETER LANGE
PROVOST
 65.0     X       504,619 26,222 37,590
(41) B HOFLER MILAM
VP OF FINANCE & TREASURER
 40.0     X       348,324 0 43,690
(42) RICHARD V RIDDELL
VP & UNIVERSITY SECRETARY
 60.0     X       272,228 0 37,050
(43) TALLMAN TRASK III
EXECUTIVE VICE PRESIDENT
 40.0     X       537,602 0 50,597
(44) NANCY C ANDREWS
VICE CHAN OF ACADEMIC AFFAIRS
 50.0       X     679,311 0 45,100
(45) ALVIN L CRUMBLISS
DEAN, TRINITY COLLEGE OF A & S
 50.0       X     280,615 0 34,926
(46) KEMEL DAWKINS
VP CAMPUS SERVICES
 40.0       X     743,317 0 35,321
(47) J SCOTT GIBSON
EXEC VICE DEAN OF ADMIN, SOM
 60.0       X     476,605 0 47,846
(48) ALICE E GOULD
INVESTMENT MANAGER
 40.0       X     634,513 0 103,894
(49) ANDERS W HALL
INVESTMENT MANAGER
 40.0       X     743,482 0 169,881
(50) GEORGE L MCLENDON
DEAN, TRINITY COLLEGE OF A & S
 40.0       X     185,688 0 29,807
(51) JOHN J NOONAN
ASSOCIATE VP OF FACILITIES
 40.0       X     247,185 0 45,971
(52) JAMES S ROBERTS
EXEC VICE-PROVOST FIN & ADMIN
 40.0       X     297,707 0 36,305
(53) NEAL F TRIPLETT
CHIEF INVESTMENT OFFICER
 55.0       X     1,668,437 0 636,042
(54) GAVIN BRITZ
ASSOCIATE PROFESSOR
 40.0         X   794,877 0 36,930
(55) DAVID N CUTCLIFFE
COACH
 40.0         X   1,738,780 0 46,176
(56) MICHAEL W KRZYZEWSKI
COACH
 40.0         X   5,769,057 0 1,459,836
(57) RALPH SNYDERMAN
CHANCELLOR EMERITUS
 40.0         X   1,034,676 0 41,336
(58) KEVIN M WHITE
VP & DIRECTOR OF ATHLETICS
 40.0         X   858,264 0 46,303
(59) REV CHARLES M SMITH
FORMER TRUSTEE
 15.0           X 29,273 0 0
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 21,097,391 26,222 3,984,801
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 in reportable compensation from the organizationMediumBullet2,082
Yes
No
3
Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a? If “Yes,” complete Schedule J for such individual .............
3
Yes
 
4
For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If “Yes,” complete Schedule J for such individual...........................
4
Yes
 
5
Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services rendered to the organization? If “Yes,” complete Schedule J for such person .....
5
 
No
Section B. Independent Contractors
1
Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization.
(A)
Name and business address 		(B)
Description of services 		(C)
Compensation
BOVIS LEND LEASE INC
PO BOX 32755
CHARLOTTE,NC282322755 		CONSTRUCTION SERVICE 11,524,640
SKANSKA USA BUILDING INC
4309 EMPEROR BLVD SUITE 200
DURHAM,NC27703 		CONSTRUCTION SERVICE 6,763,883
LECHASE CONSTRUCTION
324 BLACKWELL STREET SUITE 1200
DURHAM,NC27701 		CONSTRUCTION SERVICE 10,104,260
UNIVERSITY OF NORTH CAROLINA
104 AIRPORT DR SUITE 2200
CHAPEL HILL,NC275991350 		RESEARCH 10,705,691
PAREXEL INTERNATIONAL
5239 PAYSPHERE CIRCLE
CHICAGO,IL60674 		CONSULTING SERVICE 11,984,133
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 in compensation from the organization MediumBullet639
Form 990 (2010)
Form 990 (2010)
Page 9
Part VIII
Statement of Revenue
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512, 513, or 514
Contributions, gifts, grants and other similar amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 4,866,270
d Related organizations...1d 110,358,632
e Government grants (contributions)1e 612,449,274
f All other contributions, gifts, grants, and
similar amounts not included above1f 		569,762,597
g Noncash contributions included in lines 1a-1f:$ 17,168,866
h Total. Add lines 1a-1f.......MediumBullet 1,297,436,773
Program Service Revenue Business Code
2a TUITION AND FEES 611,600 570,597,385 570,597,385    
b CONFERENCE FEES 611,600 6,809,294 6,809,294    
c CONTINUING EDUCATION 611,600 60,025,303 60,025,303    
d ACADEMIC MEDICAL RESEARCH 611,600 5,098,740 5,098,740    
e ANCILLARY STUDENT SERVICES 611,600 94,401,181 94,401,181    
f All other program service revenue . 70,926,518 70,926,518    
g Total. Add lines 2a–2f........MediumBullet 807,858,421
Other Revenue 3 Investment income (including dividends, interest
and other similar amounts).....MediumBullet 84,651,272     84,651,272
4 Income from investment of tax-exempt bond proceeds..MediumBullet 31,584     31,584
5 Royalties............MediumBullet 108,769,384     108,769,384
(i) Real (ii) Personal
6a Gross Rents 6,492,698  
b Less: rental expenses 6,131,497  
c Rental income or (loss) 361,201  
d Net rental income or (loss).......MediumBullet 361,201     361,201
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 10,944,677,279 210,712
b Less: cost or other basis and sales expenses 10,557,979,000 2,611,186
c Gain or (loss) 386,698,279 -2,400,474
d Net gain or (loss)..........MediumBullet 384,297,805     384,297,805
8a Gross income from fundraising events (not including
$ 4,866,270
of contributions reported on line 1c). See Part IV, line 18 ...
a 873,139
b Less: direct expenses ...b 1,554,301
c Net income or (loss) from fundraising events..MediumBullet -681,162   -681,162
9a Gross income from gaming activities.
See Part IV, line 19 ...
a  
b Less: direct expenses ...b  
c Net income or (loss) from gaming activities...MediumBullet 0      
10a Gross sales of inventory, less
returns and allowances .
a  
b Less: cost of goods sold ..b  
c Net income or (loss) from sales of inventory..MediumBullet 0      
Miscellaneous Revenue Business Code
11a MISC. SALES 900,099 7,773,130 7,773,130    
b STUDENT DUES 900,099 1,387,792 1,387,792    
c VARIOUS FEES AND FINES 900,099 1,641,183 1,641,183    
d All other revenue .... 13,534,476 13,534,476    
e Total. Add lines 11a–11d ......MediumBullet 24,336,581
12 Total revenue. See Instructions....MediumBullet 2,707,061,859 832,195,002 0 577,430,084
Form 990 (2010)
Form 990 (2010)
Page 10
Part IX
Statement of Functional Expenses
Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A) but are not required to complete columns (B), (C), and (D).
Do not include amounts reported on lines 6b,
7b, 8b, 9b, and 10b of Part VIII. 		(A)
Total expenses 		(B)
Program service expenses 		(C)
Management and general expenses 		(D)
Fundraising expenses
1 Grants and other assistance to governments and organizations in the U.S. See Part IV, line 21 2,721,766 2,721,766
2 Grants and other assistance to individuals in the U.S. See Part IV, line 22 248,030,772 248,030,772
3 Grants and other assistance to governments, organizations, and individuals outside the U.S. See Part IV, lines 15 and 16 361,938 361,938
4 Benefits paid to or for members 0  
5 Compensation of current officers, directors, trustees, and key employees .... 10,822,918 720,114 9,407,730 695,074
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 721,037 588,100 132,937 0
7 Other salaries and wages 941,408,920 833,894,195 95,878,170 11,636,555
8 Pension plan contributions (include section 401(k) and section 403(b) employer contributions) .... 63,661,429 52,838,986 9,549,214 1,273,229
9 Other employee benefits ....... 169,983,291 153,096,500 14,820,548 2,066,243
10 Payroll taxes ........... 75,958,269 66,843,277 8,355,410 759,582
11 Fees for services (non-employees):        
a Management ...... 0      
b Legal ......... 8,779,352 2,058,305 6,710,914 10,133
c Accounting ........... 728,914 221,598 507,316 0
d Lobbying ........... 0      
e Professional fundraising. See Part IV, line 17.. 0  
f Investment management fees ...... 17,019,261 0 17,019,261 0
g Other .......... 139,173,889 117,040,602 20,252,343 1,880,944
12 Advertising and promotion .... 4,440,428 3,898,894 420,518 121,016
13 Office expenses ....... 86,417,729 82,290,135 3,763,105 364,489
14 Information technology ...... 0      
15 Royalties .. 26,449,149 17,001,621 9,447,528 0
16 Occupancy ........... 34,975,136 29,546,108 5,021,402 407,626
17 Travel ............ 55,174,086 52,724,441 1,500,153 949,492
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 5,933   5,933  
19 Conferences, conventions, and meetings .... 27,979,287 22,737,945 3,156,097 2,085,245
20 Interest ........... 82,273,903 44,325,009 37,948,894 0
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization ..... 182,430,041 158,779,017 23,651,024 0
23 Insurance .............. 4,876,697 3,131,658 1,739,612 5,427
24 Other expenses. Itemize expenses not covered above. (Expenses grouped together and labeled miscellaneous may not exceed 5% of total expenses shown on line 25 below.)
a POSTAGE & SHIPPING 6,241,549 5,441,901 442,481 357,167
b EQUIPMENT RENTAL & MAINTANANCE 59,563,808 77,566,928 -18,261,402 258,282
c PRINTING & PUBLICATION 10,883,053 8,340,747 2,066,023 476,283
d BOND REDEMPTION EXPENSE 56,283,000   56,283,000  
e COST OF GOODS SOLD 20,082,280 17,501,345 2,564,180 16,755
f All other expenses 176,615,648 262,105,224 -85,506,474 16,898
25 Total functional expenses. Add lines 1 through 24f 2,514,063,483 2,263,807,126 226,875,917 23,380,440
26 Joint costs. Check here MediumBullet if following
SOP 98-2 (ASC 958-720). Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation 		       
Form 990 (2010)
Form 990 (2010)
Page 11
Part X Balance Sheet
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash—non-interest-bearing ..........   1  
2 Savings and temporary cash investments ....... 149,162,129 2 82,111,247
3 Pledges and grants receivable, net ......... 282,238,452 3 313,416,867
4 Accounts receivable, net ......... 120,619,586 4 167,346,318
5 Receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..........   5  
6 Receivables from other disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B). Complete Part II of
Schedule L ..........   6  
7 Notes and loans receivable, net ............. 42,626,126 7 41,473,023
8 Inventories for sale or use .............. 17,294,810 8 18,197,086
9 Prepaid expenses and deferred charges ............ 63,408,408 9 131,104,170
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 3,626,690,257
b Less: accumulated depreciation. ..... 10b 1,930,348,859 1,719,378,573 10c 1,696,341,398
11 Investments—publicly traded securities .......... 1,309,282,148 11 1,585,859,186
12 Investments—other securities. See Part IV, line 11 ...... 5,079,099,000 12 5,661,521,012
13 Investments—program-related. See Part IV, line 11 ..   13  
14 Intangible assets .........   14  
15 Other assets. See Part IV, line 11 ........... 594,921,488 15 697,273,377
16 Total assets. Add lines 1 through 15 (must equal line 34)... 9,378,030,720 16 10,394,643,684
Liabilities 17 Accounts payable and accrued expenses . 246,395,009 17 250,545,391
18 Grants payable ..........   18  
19 Deferred revenue .......... 191,019,725 19 194,067,524
20 Tax-exempt bond liabilities .......... 1,090,590,000 20 1,089,205,000
21 Escrow or custodial account liability. Complete Part IV of Schedule D..   21  
22 Payables to current and former officers, directors, trustees, key
employees, highest compensated employees, and disqualified
persons. Complete Part II of Schedule L..........   22  
23 Secured mortgages and notes payable to unrelated third parties .. 6,510,000 23 6,351,000
24 Unsecured notes and loans payable to unrelated third parties .... 790,190,512 24 299,148,576
25 Other liabilities. Complete Part X of Schedule D..... 644,264,842 25 399,936,240
26 Total liabilities. Add lines 17 through 25..... 2,968,970,088 26 2,239,253,731
Net Assets or Fund Balance Organizations that follow SFAS 117, check here MediumBullet and complete lines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets ..... 2,782,818,260 27 3,807,926,733
28 Temporarily restricted net assets ..... 1,607,026,888 28 2,133,672,617
29 Permanently restricted net assets ..... 2,019,215,484 29 2,213,790,603
Organizations that do not follow SFAS 117, check here MediumBullet and complete lines 30 through 34.
30 Capital stock or trust principal, or current funds .....   30  
31 Paid-in or capital surplus, or land, building or equipment fund .....   31  
32 Retained earnings, endowment, accumulated income, or other funds   32  
33 Total net assets or fund balances ..... 6,409,060,632 33 8,155,389,953
34 Total liabilities and net assets/fund balances ..... 9,378,030,720 34 10,394,643,684
Form 990 (2010)
Form 990 (2010)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response to any question in this Part XI . . . . . . . . . .
1
Total revenue (must equal Part VIII, column (A), line 12) . . .
1
2,707,061,859
2
Total expenses (must equal Part IX, column (A), line 25) . . . . .
2
2,514,063,483
3
Revenue less expenses. Subtract line 2 from line 1 . . . .
3
192,998,376
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) . .
4
6,409,060,632
5
Other changes in net assets or fund balances (explain in Schedule O) . . . .
5
1,553,330,945
6
Net assets or fund balances at end of year. Combine lines 3, 4, and 5 (must equal Part X, line 33, column (B)) . . . . . .
6
8,155,389,953
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response to any question in this Part XII . . . . . . . . . .
Yes
No
1
Accounting method used to prepare the Form 990:  
If the organization changed its method of accounting from a prior year or checked "Other," explain in
Schedule O.
2a
Were the organization’s financial statements compiled or reviewed by an independent accountant?..
2a
 
No
b
Were the organization’s financial statements audited by an independent accountant?........
2b
Yes
 
c
If “Yes,” to 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant?
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O............................
2c
Yes
 
d
If “Yes” to line 2a or 2b, check a box below to indicate whether the financial statements for the year were issued on a separate basis, consolidated basis, or both:
3a
As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-133? ................
3a
Yes
 
b
If “Yes,” did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits. ..
3b
Yes
 
Form 990 (2010)
Additional Data


Software ID:  
Software Version:  
Form 990, Special Condition Description:
Special Condition Description
SCHEDULE A
(Form 990 or 990EZ)

Department of the Treasury
Internal Revenue Service
Public Charity Status and Public Support

Complete if the organization is a section 501(c)(3) organization or a section
4947(a)(1) nonexempt charitable trust.
right arrow Attach to Form 990 or Form 990-EZ. right arrow See separate instructions.
OMB No. 1545-0047
2010
Open to Public
Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Reason for Public Charity Status (All organizations must complete this part.) See instructions
The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)
1
2
3
4
5
section 170(b)(1)(A)(iv). (Complete Part II.)
6
7
8
9
receipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 331/3% of
its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses
acquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)
10
11
e
f
g
(i) a person who directly or indirectly controls, either alone or together with persons described in (ii)
Yes
No
and (iii) below, the governing body of the the supported organization? ................
11g(i)
 
 
(ii) a family member of a person described in (i) above? ......................
11g(ii)
 
 
(iii) a 35% controlled entity of a person described in (i) or (ii) above? ................
11g(iii)
 
 
h
(i)
Name of supported organization 		(ii)
EIN 		(iii)
Type of organization (described on lines 1- 9 above or IRC section (see instructions)) 		(iv)
Is the organization in col. (i) listed in your governing document? 		(v)
Did you notify the organization in col. (i) of your support? 		(vi)
Is the organization in col. (i) organized in the U.S.? 		(vii)
Amount of support?
Yes No Yes No Yes No
Total                  

For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2010
Schedule A (Form 990 or 990-EZ) 2010
Page 2
Part II
Support Schedule for Organizations Described in IRC 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)
(Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization fails to qualify under the tests listed below, please complete Part III.)
Section A. Public Support
Calendar year(or fiscal year beginning in) (a) 2006 (b) 2007 (c) 2008 (d) 2009 (e) 2010 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") ....            
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......            
3 The value of services or facilities furnished by a governmental unit to the organization without charge..            
4 Total. Add lines 1 through 3..            
5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f)..            
6 Public Support. Subtract line 5 from line 4.            
Section B. Total Support
Calendar year(or fiscal year beginning in) (a) 2006 (b) 2007 (c) 2008 (d) 2009 (e) 2010 (f) Total
7 Amounts from line 4..            
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..            
9 Net income from unrelated business activities, whether or not the business is regularly carried on..            
10 Other income. (Explain in Part IV.) Do not include gain or loss from the sale of capital assets..            
11 Total support (Add lines 7 through 10).            
12
12
 
13
Section C. Computation of Public Support Percentage
14
14
 
15
15
 
16a
b
17a
b
18
Schedule A (Form 990 or 990-EZ) 2010
Schedule A (Form 990 or 990-EZ) 2010
Page 3
Part III
Support Schedule for Organizations Described in IRC 509(a)(2)
(Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year(or fiscal year beginning in) (a) 2006 (b) 2007 (c) 2008 (d) 2009 (e) 2010 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .            
2 Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose......            
3 Gross receipts from activities that are not an unrelated trade or business under section 513..            
4 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...            
5 The value of services or facilities furnished by a governmental unit to the organization without charge..            
6 Total. Add lines 1 through 5.            
7a Amounts included on lines 1, 2, and 3 received from disqualified persons...            
b Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year.            
c Add lines 7a and 7b..            
8 Public Support (Subtract line 7c from line 6.)            
Section B. Total Support
Calendar year (or fiscal year beginning in) (a) 2006 (b) 2007 (c) 2008 (d) 2009 (e) 2010 (f) Total
9 Amounts from line 6...            
10a Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..            
b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.            
c Add lines 10a and 10b.            
11 Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on.            
12 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)            
13 Total support (Add lines 9, 10c, 11 and 12.).            
14
Section C. Computation of Public Support Percentage
15
15
 
16
16
 
Section D. Computation of Investment Income Percentage
17
17
 
18
18
 
19a
b
20
Schedule A (Form 990 or 990-EZ) 2010
Schedule A (Form 990 or 990-EZ) 2010
Page 4
Part IV
Supplemental Information. Supplemental Information. Complete this part to provide the explanation required by Part II, line 10; Part II, line 17a or 17b; or Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
 
Explanation
 
 
 
 
Schedule A (Form 990 or 990-EZ) 2010

Additional Data


Software ID:  
Software Version:  
Schedule B
(Form 990, 990-EZ,
or 990-PF)
Department of the Treasury
Internal Revenue Service
Schedule of Contributors
Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
OMB No. 1545-0047
2010
Name of organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Organization type (check one):
Filers of:
Section:
Form 990 or 990-EZ





Form 990-PF




Check if your organization is covered by the General Rule or a Special Rule.  
Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
General Rule—
Special Rules
......................... Arrow Bullet   $    
Caution. An Organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2 of its Form 990, or check the box in the heading of its
Form 990-EZ, or on line 2 of its Form 990-PF, to certify that it does not meet the filing requirements of Schedule B (Form 990,
990-EZ, or 990-PF).
For Paperwork Reduction Act Notice, see the Instructions
for Form 990, 990-EZ, or 990-PF.
Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2010)

Schedule B (Form 990, 990-EZ, or 990-PF) (2010)
Page 1 of 1 of Part I
Name of organization
DUKE UNIVERSITY
  		Employer identification number

56-0532129
Part I
Contributors (see Instructions)
     
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
RESTRICTED
RESTRICTED
 

     
RESTRICTED
RESTRICTED  
RESTRICTED, RESTRICTED   RESTRICTED

$RESTRICTED




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2010)

Schedule B (Form 990, 990-EZ, or 990-PF) (2010)
Page 1 of 1 of Part II
Name of organization
DUKE UNIVERSITY
  		Employer identification number

56-0532129
Part II
Noncash Property (see Instructions)
     
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
Schedule B (Form 990, 990-EZ, or 990-PF) (2010)

Schedule B (Form 990, 990-EZ, or 990-PF) (2010)
Page 1 of 1 of Part III
Name of organization
DUKE UNIVERSITY
  		Employer identification number

56-0532129
Part III
Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
aggregating more than $1,000 for the year. (Complete columns (a) through (e) and the following line entry.)
For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,
contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet $  
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
Schedule B (Form 990, 990-EZ, or 990-PF) (2010)

Additional Data


Software ID:  
Software Version:  
SCHEDULE C
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Political Campaign and Lobbying Activities

For Organizations Exempt From Income Tax Under section 501(c) and section 527
SchCMd Bullet Complete if the organization is described below.
SchCMd Bullet Attach to Form 990 or Form 990-EZ. SchCMd Bullet See separate instructions.
OMB No. 1545-0047
2010
Open to Public
Inspection
If the organization answered “Yes,” to Form 990, Part IV, Line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then
Round Bullet Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.
Round Bullet Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.
Round Bullet Section 527 organizations: Complete Part I-A only.
If the organization answered “Yes,” to Form 990, Part IV, Line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then
Round Bullet Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)) Complete Part II-A. Do not complete Part II-B.
Round Bullet Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part II-B. Do not complete Part II-A.
If the organization answered “Yes,” to Form 990, Part IV, Line 5 (Proxy Tax) or Form 990-EZ, Part V, line 35a (Proxy Tax), then
Round Bullet Section 501(c)(4), (5), or (6) organizations: Complete Part III.
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I-A
Complete if the organization is exempt under section 501(c) or is a section 527 organization.

1
Provide a description of the organization's direct and indirect political campaign activities on behalf of or in opposition to candidates for public office in Part IV.
2
Political expenditures ....................................SchCMd Bullet
$ 0
3
Volunteer hours ........................................
0

Part I-B
Complete if the organization is exempt under section 501(c)(3).
1
Enter the amount of any excise tax incurred by the organization under section 4955 .........SchCMd Bullet
$ 0
2
Enter the amount of any excise tax incurred by organization managers under section 4955 ......SchCMd Bullet
$ 0
3
If the organization incurred a section 4955 tax, did it file Form 4720 for this year? ..............
4a
Was a correction made? .........................................
b
If "Yes," describe in Part IV.
Part I-C
Complete if the organization is exempt under section 501(c) except section 501(c)(3).
1
Enter the amount directly expended by the filing organization for section 527 exempt function activities SchCMd Bullet
$  
2
Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt funtion activities ....................................SchCMd Bullet

$  
3
Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL, line 17b..SchCMd Bullet

$  
4
Did the filing organization file Form 1120-POL for this year? ..........................
5
Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing
organization made payments. For each organization listed, enter the amount paid from the filing organization’s funds. Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.
(a) Name (b) Address (c) EIN (d) Amount paid from filing organization's funds. If none, enter -0-. (e) Amount of political contributions received and promptly and directly delivered to a separate political organization. If none, enter -0-.










For Privacy Act and Paperwork Reduction Act Notice, see the instructions for Form 990.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2010

Schedule C (Form 990 or 990-EZ) 2010
Page 2
Part II-A
Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)).
A Check
B Check
Limits on Lobbying Expenditures
(The term "expenditures" means amounts paid or incurred.) 		(a) Filing
Organization's
Totals 		(b) Affiliated Group
Totals
1a Total lobbying expenditures to influence public opinion (grass roots lobbying) ......    
b Total lobbying expenditures to influence a legislative body (direct lobbying) .......    
c Total lobbying expenditures (add lines 1a and 1b) ...................    
d Other exempt purpose expenditures ........................    
e Total exempt purpose expenditures (add lines 1c and 1d) ...............    
f Lobbying nontaxable amount. Enter the amount from the following table in both
columns.		    
  If the amount on line 1e, column (a) or (b) is:The lobbying nontaxable amount is:    
  Not over $500,00020% of the amount on line 1e.    
  Over $500,000 but not over $1,000,000$100,000 plus 15% of the excess over $500,000.    
  Over $1,000,000 but not over $1,500,000$175,000 plus 10% of the excess over $1,000,000.    
  Over $1,500,000 but not over $17,000,000$225,000 plus 5% of the excess over $1,500,000.    
  Over $17,000,000$1,000,000.    
       
g Grassroots nontaxable amount (enter 25% of line 1f) .................    
h Subtract line 1g from line 1a. If zero or less, enter -0-. ................    
i Subtract line 1f from line 1c. If zero or less, enter -0-. ................    
j If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting
section 4911 tax for this year? ......................................

4-Year Averaging Period Under Section 501(h)
(Some organizations that made a section 501(h) election do not have to complete all of the five
columns below. See the instructions for lines 2a through 2f on page 4.)
Lobbying Expenditures During 4-Year Averaging Period
  Calendar year (or fiscal year
beginning in) 		(a) 2007 (b) 2008 (c) 2009 (d) 2010 (e) Total
             
2a Lobbying non-taxable amount          
             
b Lobbying ceiling amount
(150% of line 2a, column(e)) 		         
             
c Total lobbying expenditures          
             
d Grassroots non-taxable amount          
             
e Grassroots ceiling amount
(150% of line 2d, column (e))		          
             
f Grassroots lobbying expenditures          
Schedule C (Form 990 or 990-EZ) 2010


Schedule C (Form 990 or 990-EZ) 2010
Page 3
Part II-B
Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 (election under section 501(h)).
(a)
Yes
No
(b)
Amount
1
During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of:
a
Volunteers? .........................................
 
No
b
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ....
Yes
 
c
Media advertisements? ....................................
 
No
 
d
Mailings to members, legislators, or the public? .........................
 
No
 
e
Publications, or published or broadcast statements? .......................
 
No
 
f
Grants to other organizations for lobbying purposes? .......................
 
No
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
Yes
 
164,925
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? If "Yes," describe in Part IV ..........................
Yes
 
18,225
j
Total. lines 1c through 1i ...................................
183,150
2a
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....
 
No
b
If "Yes," enter the amount of any tax incurred under section 4912 .................
 
c
If "Yes," enter the amount of any tax incurred by organization managers under section 4912 .....
 
d
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? .......
 
No
Part III-A
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6).
Yes
No
1
Were substantially all (90% or more) dues received nondeductible by members? ................
1
 
 
2
Did the organization make only in-house lobbying expenditures of $2,000 or less? ................
2
 
 
3
Did the organization agree to carryover lobbying and political expenditures from the prior year? ..........
3
 
 
Part III-B
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) if BOTH Part III-A, lines 1 and 2 are answered “No” OR if Part III-A, line 3 is answered “Yes”.
1
Dues, assessments and similar amounts from members .....................
1
 
2
Section 162(e) non-deductible lobbying and political expenditures (do not include amounts of political
expenses for which the section 527(f) tax was paid).
a
Current year .........................................
2a
 
b
Carryover from last year ....................................
2b
 
c
Total ...........................................
2c
 
3
Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues .
3
 
4
If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? ................................
4
 
5
Taxable amount of lobbying and political expenditures (see instructions) ..............
5
 
Part IV
Supplemental Information
Complete this part to provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, line 5; and Part ll-B, line 1i.
Also, complete this part for any additional information.
Identifier Return Reference Explanation
MEMBERSHIP DUES SCHEDULE C, PART II-B, LINE 1I DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED.
Schedule C (Form 990 or 990EZ) 2010

Additional Data


Software ID:  
Software Version:  

SCHEDULE D
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Financial Statements
SchDMd Bullet Complete if the organization answered "Yes," to Form 990,
Part IV, line 6, 7, 8, 9, 10, 11, or 12.
SchDMd Bullet Attach to Form 990. SchDMd Bullet See separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" to Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year .......    
2 Aggregate contributions to (during year) ...    
3 Aggregate grants from (during year) ...    
4 Aggregate value at end of year .......    
5
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised
funds are the organization's property, subject to the organization's exclusive legal control? ............
6
Did the organization inform all grantees, donors, and donor advisors in writing that grant funds may be
used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring impermissible private benefit. ...................................
Part II
Conservation Easements. Complete if the organization answered "Yes" to Form 990, Part IV, line 7.
1
Purpose(s) of conservation easements held by the organization (check all that apply).
2
Complete lines 2a–2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year.
Held at the End of the Year
a Total number of conservation easements ....................... 2a  
b Total acreage restricted by conservation easements .................. 2b  
c Number of conservation easements on a certified historic structure included in (a) ..... 2c  
d Number of conservation easements included in (c) acquired after 8/17/06 ........ 2d  
3
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during
the taxable year SchDMd Bullet  
4
Number of states where property subject to conservation easement is located SchDMd Bullet  
5
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and
enforcement of the conservation easements it holds? .............................
6
Staff and volunteer hours devoted to monitoring, inspecting and enforcing conservation easements during the year SchDMd Bullet  
7
Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year SchDMd Bullet $  
8
Does each conservation easement reported on line 2(d) above satisfy the requirements of section
170(h)(4)(B)(i) and 170(h)(4)(B)(ii)? ....................................
9
In Part XIV, describe how the organization reports conservation easements in its revenue and expense statement, and
balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes
the organization’s accounting for conservation easements.
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
Complete if the organization answered "Yes" to Form 990, Part IV, line 8.
1a
If the organization elected, as permitted under SFAS 116, not to report in its revenue statement and balance sheet works of
art, historical treasures, or other similar assets held for public exhibition, education or research in furtherance of public service,
provide, in Part XIV, the text of the footnote to its financial statements that describes these items.
b
If the organization elected, as permitted under SFAS 116, to report in its revenue statement and balance sheet works of art,
historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service,
provide the following amounts relating to these items:
(i)
Revenues included in Form 990, Part VIII, line 1 ........................SchDMd Bullet $ 327,392
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $ 30,060,141
2
If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the
following amounts required to be reported under SFAS 116 relating to these items:
a
Revenues included in Form 990, Part VIII, line 1 ..........................SchDMd Bullet $  
b
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
For Privacy Act and Paperwork Reduction Act Notice, see the Intructions for Form 990
Cat. No. 52283D
Schedule D (Form 990) 2010

Schedule D (Form 990) 2010
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s accession and other records, check any of the following that are a significant use of its collection
items (check all that apply):
a
d
b
e
 
c
4
Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in
Part XIV.
5
During the year, did the organization solicit or receive donations of art, historical treasures or other similar
assets to be sold to raise funds rather than to be maintained as part of the organization’s collection?........
Part IV
Escrow and Custodial Arrangements. Complete if the organization answered "Yes" to Form 990,
Part IV, line 9, or reported an amount on Form 990, Part X, line 21.
1a
Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................
b
If "Yes," explain the arrangement in Part XIV and complete the following table:
Amount
c Beginning balance ................................. 1c  
d Additions during the year .............................. 1d  
e Distributions during the year ............................. 1e  
f Ending balance ................................... 1f  
2a
Did the organization include an amount on Form 990, Part X, line 21? .....................
b
If “Yes,” explain the arrangement in Part XIV.
Part V
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
(a)Current Year (b)Prior Year (c)Two Years Back (d)Three Years Back (e)Four Years Back
1a Beginning of year balance .... 4,802,051,000 4,430,172,000 6,112,750,000
b Contributions ........ 81,684,000 86,145,000 73,482,915
c Investment earnings or losses ... 1,123,743,485 530,625,628 -1,506,464,915
d Grants or scholarships ..... 73,647,646 55,616,571 52,113,849
e Other expenditures for facilities
and programs ........ 		205,483,839 189,275,057 197,482,151
f Administrative expenses ....      
g End of year balance ...... 5,728,347,000 4,802,051,000 4,430,172,000
2
Provide the estimated percentage of the year end balance held as:
a
Board designated or quasi-endowment: SchDMd Bullet31.000 %
b
Permanent endowment: SchDMd Bullet69.000 %
c
Term endowment: SchDMd Bullet  
3a
Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes
No
(i) unrelated organizations ........................
3a(i)
Yes
 
(ii) related organizations ........................
3a(ii)
Yes
 
b
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
Yes
 
4
Describe in Part XIV the intended uses of the organization's endowment funds.
Part VI
Investments—Land, Buildings, and Equipment. See Form 990, Part X, line 10.
Description of investment (a) Cost or other basis (investment) (b)Cost or other basis (other) (c) Accumulated depreciation (d) Book value
1a Land .................   22,959,502 22,959,502
b Buildings ................   2,412,545,566 1,095,757,359 1,316,788,207
c Leasehold improvements ............   139,331,056 81,801,629 57,529,427
d Equipment ................   594,360,893 456,163,402 138,197,491
e Other .................   457,493,240 296,626,469 160,866,771
Total. Add lines 1a-1e. (Column (d) should equal Form 990, Part X, column (B), line 10(c).)........SchDMdBullet 1,696,341,398
Schedule D (Form 990) 2010

Schedule D (Form 990) 2010
Page 3
Part VII
Investments—Other Securities. See Form 990, Part X, line 12.
(a) Description of security or category
(including name of security)		 (b)Book value (c) Method of valuation:
Cost or end-of-year market value
(1)Financial derivatives    
(2)Closely-held equity interests    
(3)Other
(A) SHORT TERM INVESTMENTS 		453,392,813 F

(B) US GOVERNMENT SECURITIES 		4,983,000 F

(C) REAL ESTATE 		703,105,649 F

(D) LONG TERM NOTES 		160,668,296 F

(E) DOMESTIC STOCKS 		260,152,227 F

(F) INTERNATIONAL STOCKS 		1,053,656,312 F

(G) LONG TERM NOTES 		78,390,966 F

(H) PRIVATE INVESTMENTS 		1,218,766,601 F

(I) HEDGE STRATEGIES 		918,768,008 F

(J) OTHER INVESTMENTS 		132,176,590 F

(K) NATURAL RESOURCES 		677,460,550 F
Total. (Column (b) should equal Form 990, Part X, col.(B) line 12.)Small Bullet 5,661,521,012
Part VIII
Investments—Program Related. See Form 990, Part X, line 13.
(a) Description of investment type (b) Book value (c) Method of valuation:
Cost or end-of-year market value








Total. (Column (b) should equal Form 990, Part X, col.(B) line 13.)Small Bullet  
Part IX
Other Assets. See Form 990, Part X, line 15.
(a) Description (b) Book value
(1) DEPOSITS WITH BOND TRUSTEE 12,932,393
(2) HELD BY OTHERS 684,340,984







Total. (Column (b) should equal Form 990, Part X, col.(B) line 15.)...........Small Bullet 697,273,377
Part X
Other Liabilities. See Form 990, Part X, line 25.
1.(a) Description of Liability (b) Amount
Federal Income Taxes 0
OBLIGATIONS 38,636,846
OBLIGATIONS 185,903,885
FUNDS HELD FOR OTHERS 68,466,112
CONDITIONAL ASSET RETIREMENT 43,199,888
REFUNDABLE FEDERAL STUDENT LOANS 34,537,589
FICA MEDICAL RESIDENT PAYABLE 29,191,920



Total. (Column (b) should equal Form 990, Part X, col.(B) line 25.)Small Bullet 399,936,240
2. Fin 48 (ASC 740) Footnote. In Part XIV, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48 (ASC740).
Schedule D (Form 990) 2010

Schedule D (Form 990) 2010
Page 4
Part XI Reconciliation of Change in Net Assets from Form 990 to Financial Statements
1 Total revenue (Form 990, Part VIII, column (A), line 12) .................... 1  
2 Total expenses (Form 990, Part IX, column (A), line 25) ..................... 2  
3 Excess or (deficit) for the year. Subtract line 2 from line 1 ............. 3  
4 Net unrealized gains (losses) on investments .......................... 4  
5 Donated services and use of facilities ............................. 5  
6 Investment expenses ................................... 6  
7 Prior period adjustments .................................. 7  
8 Other (Describe in Part XIV) ................................. 8  
9 Total adjustments (net). Add lines 4 - 8 ............................. 9  
10 Excess or (deficit) for the year per financial statements. Combine lines 3 and 9 ......... 10  
Part XII Reconciliation of Revenue per Audited Financial Statements With Revenue per Return
1 Total revenue, gains, and other support per audited financial statements ....... 1  
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a  
b Donated services and use of facilities ......... 2b  
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIV): ............ 2d  
e Add lines 2a through 2d ..................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b . 4a  
b Other (Describe in Part XIV): ........... 4b  
c Add lines 4a and 4b....................... 4c  
5 Total Revenue. Add lines 3 and 4c. (This should equal Form 990, Part I, line 12.) ...... 5  
Part XIII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return
1 Total expenses and losses per audited financial statements ............. 1  
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:
a Donated services and use of facilities .......... 2a  
b Prior year adjustments .............. 2b  
c Other losses ................ 2c  
d Other (Describe in Part XIV): ............ 2d  
e Add lines 2a through 2d...................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b .. 4a  
b Other (Describe in Part XIV): ............ 4b  
c Add lines 4a and 4b....................... 4c  
5 Total expenses. Add lines 3 and 4c. (This should equal Form 990, Part I, line 18.) ...... 5  
Part XIV
Supplemental Information
Complete this part to provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part lV, lines 1b and 2b;
Part V, line 4; Part X; Part XI, line 8; Part XII, lines 2d and 4b; and Part XIII, lines 2d and 4b. Also complete this part to provide any additional information.
Identifier Return Reference Explanation
ART COLLECTION SCHEDULE D, PART III, LINE 4 DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING.
USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID.
LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 SCHEDULE D, PART X DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FIN 48 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FIN 48 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FIN 48 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2011.
Schedule D (Form 990) 2010

Additional Data


Software ID:  
Software Version:  




SCHEDULE E(Form 990 or 990-EZ)
Department of the TreasuryInternal Revenue Service
Schools
Right pointing arrow large imageComplete if the organization answered "Yes" to Form 990, Part IV, line 13,
or Form 990-EZ, Part VI, line 48.
Right pointing arrow large image Attach to Form 990 or Form 990-EZ.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
YES
NO
1
Does the organization have a racially nondiscriminatory policy toward students by statement in its charter, bylaws,
other governing instrument, or in a resolution of its governing body? ......................
1
Yes
 
2
Does the organization include a statement of its racially nondiscriminatory policy toward students in all its
brochures, catalogues, and other written communications with the public dealing with student admissions,
programs, and scholarships? ......................................
2
Yes
 
3
Has the organization publicized its racially nondiscriminatory policy through newspaper or broadcast media during
the period of solicitation for students, or during the registration period if it has no solicitation program, in a way
that makes the policy known to all parts of the general community it serves? If "Yes," please describe. If "No,"
please explain. If you need more space use Part II. .............................
3
Yes
 
 
4
Does the organization maintain the following?
a
Records indicating the racial composition of the student body, faculty, and administrative staff? ..........
4a
Yes
 
b
Records documenting that scholarships and other financial assistance are awarded on a racially nondiscriminatory
basis? ...............................................
4b
Yes
 
c
Copies of all catalogues, brochures, announcements, and other written communications to the public dealing
with student admissions, programs, and scholarships? ...........................
4c
Yes
 
d
Copies of all material used by the organization or on its behalf to solicit contributions? ..............
4d
Yes
 
If you answered "No" to any of the above, please explain. If you need more space, use Part II.
 
5
Does the organization discriminate by race in any way with respect to:
a
Students' rights or privileges? .....................................
5a
 
No
b
Admissions policies? .........................................
5b
 
No
c
Employment of faculty or administrative staff? ..............................
5c
 
No
d
Scholarships or other financial assistance? ................................
5d
 
No
e
Educational policies? .........................................
5e
 
No
f
Use of facilities? ...........................................
5f
 
No
g
Athletic programs? ..........................................
5g
 
No
h
Other extracurricular activities? .....................................
5h
 
No
If you answered "Yes" to any of the above, please explain. If you need more space, use Part II.
 
6a
Does the organization receive any financial aid or assistance from a governmental agency? ............
6a
Yes
 
b
Has the organization's right to such aid ever been revoked or suspended? ...................
6b
 
No
If you answered "Yes" to either line 6a or line 6b, explain on Part II.
7
Does the organization certify that it has complied with the applicable requirements of sections 4.01 through 4.05
of Rev. Proc. 75-50, 1975-2 C.B. 587, covering racial nondiscrimination? If "No," explain on Part II.
7
Yes
 
Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50085D
Schedule E (Form 990 or 990-EZ) 2010
Schedule E (Form 990 or 990EZ) 2010
Page 2
Part II
Supplemental Information
Complete this part to provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable. Also complete this part to provide any other additional information (see instructions).
Identifier Return Reference Explanation
RACIALLY NONDISCRIMINATORY POLICY FORM 990, SCHEDULE E, LINE 3 DUKE UNIVERSITY IS COMMITTED TO ENCOURAGING AND SUSTAINING WORK AND LEARNING ENVIRONMENTS THAT ARE FREE FROM HARASSMENT AND PROHIBIT DISCRIMINATION. THE UNIVERSITY PROHIBITS DISCRIMINATION AND HARASSMENT IN THE ADMINISTRATION OF BOTH ITS EMPLOYMENT AND EDUCATIONAL POLICIES. EQUAL EMPLOYMENT AND EDUCATIONAL OPPORTUNITIES ARE PROVIDED WITHOUT REGARD TO RACE, COLOR, SEX, RELIGION, NATIONAL ORIGIN, DISABILITY, VETERAN STATUS, SEXUAL ORIENTATION, GENDER IDENTITY, AGE OR GENETIC INFORMATION. DUKE UNIVERSITY ALSO MAKES GOOD FAITH EFFORTS TO RECRUIT, HIRE AND PROMOTE QUALIFIED MINORITIES, WOMEN, INDIVIDUALS WITH DISABILITIES AND VETERANS. IN ACCORDANCE WITH TITLE IX OF THE EDUCATION AMENDMENTS OF 1972, DUKE UNIVERSITY PROHIBITS DISCRIMINATION ON THE BASIS OF SEX. SEXUAL HARASSMENT IS A FORM OF SEX DISCRIMINATION. DUKE UNIVERSITY HAS DESIGNATED DR. BENJAMIN D. REESE, VICE-PRESIDENT OF THE OFFICE FOR INSTITUTIONAL EQUITY AS ITS TITLE IX COORDINATOR. THE OFFICE FOR INSTITUTIONAL EQUITY IS LOCATED IN SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708. DR. REESE'S OFFICE TELEPHONE NUMBER IS (919) 684-8222. QUESTIONS OR CONCERNS REGARDING TITLE IX, HARASSMENT OR DISCRIMINATION MAY BE DIRECTED TO THE OFFICE FOR INSTITUTIONAL EQUITY. POLICIES AND RELATED PROCEDURES ARE COMMUNICATED TO ALL MEMBERS OF THE DUKE COMMUNITY THROUGH VARIOUS PUBLICATIONS, POSTINGS, ELECTRONIC MEDIA AND TRAINING SESSIONS FOR MANAGERS. PUBLICATIONS OF THE UNIVERSITY PICTURE BOTH MINORITY AND NON-MINORITY MEN AND WOMEN AND PERSONS WITH DISABILITIES. DUKE UNIVERSITY RECRUITING ADVERTISEMENTS STATE THAT THE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER.
FINANCIAL AID AND ASSISTANCE FROM GOVERNMENTAL AGENCIES FORM 990, SCHEDULE E, LINE 6A IN FURTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSTIY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, ACADEMIC COMPETITIVENESS GRANT (ACG) FUNDS, NATIONAL SCIENCE AND MATHEMATICS ACCESS TO RETAIN TALENT (SMART) GRANT FUNDS, FEDERAL HEALTH PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS.
Schedule E (Form 990 or 990-EZ) 2010
Additional Data


Software ID:  
Software Version:  
SCHEDULE F
(Form 990)

Department of the Treasury
Internal Revenue Service
Statement of Activities Outside the United States
Right pointing arrow large image Complete if the organization answered "Yes" to Form 990,
Part IV, line 14b, 15, or 16.
Right pointing arrow large image Attach to Form 990. Right pointing arrow large image See separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
General Information on Activities Outside the United States. Complete if the organization answered
“Yes” to Form 990, Part IV, line 14b.
1
For grantmakers. Does the organization maintain records to substantiate the amount of the grants or
assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award
the grants or assistance? ...................................
2
For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of grant funds outside the
United States.
3
Activites per Region. (Use Part V if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees or agents in region or independent contractors (d) Activities conducted in region (by type) (e.g., fundraising, program services, investments, grants to recipients located in the region) (e) If activity listed in (d) is a program service, describe specific type of
service(s) in region		 (f) Total
expenditures for region/investments
in region
Central America and the Caribbean 0 0 Program Services EDUCATION 7,838
Central America and the Caribbean 0 0 Program Services RESEARCH 182,968
Central America and the Caribbean 0 2 Program Services STUDY ABROAD 182,430
Central America and the Caribbean 0 0 Grantmaking   15,420
Central America and the Caribbean 0 0 Send agents to seminar   84,779
East Asia and the Pacific 0 0 Program Services EDUCATION 764,271
East Asia and the Pacific 1 2 Program Services RESEARCH 6,592,923
East Asia and the Pacific 0 25 Program Services STUDY ABROAD 2,115,742
East Asia and the Pacific 0 0 Grantmaking   831
East Asia and the Pacific 0 0 Send agents to seminar   1,764,352
Europe (Including Iceland and Greenland) 0 0 Fundraising   1,939
Europe (Including Iceland and Greenland) 0 0 Program Services EDUCATION 324,275
Europe (Including Iceland and Greenland) 0 1 Program Services RESEARCH 12,905,350
Europe (Including Iceland and Greenland) 6 48 Program Services STUDY ABROAD 5,411,404
Europe (Including Iceland and Greenland) 0 0 Grantmaking   18,000
Europe (Including Iceland and Greenland) 0 0 Send agents to seminar   3,115,792
Middle East and North Africa 0 0 Fundraising   162
Middle East and North Africa 0 0 Program Services EDUCATION 87,623
Middle East and North Africa 0 0 Program Services RESEARCH 181,275
Middle East and North Africa 0 3 Program Services STUDY ABROAD 1,311,584
Middle East and North Africa 0 0 Send agents to seminar   301,602
North America 0 0 Program Services EDUCATION 40,359
North America 0 0 Program Services RESEARCH 11,676,784
North America 0 2 Program Services STUDY ABROAD 100,220
North America 0 0 Grantmaking   1,000
North America 0 0 Send agents to seminar   293,789
Russia and the Newly Independent States 0 0 Program Services EDUCATION 29,323
Russia and the Newly Independent States 0 0 Program Services RESEARCH 200,904
Russia and the Newly Independent States 0 3 Program Services STUDY ABROAD 1,667,775
Russia and the Newly Independent States 0 0 Send agents to seminar   38,423
South America 0 0 Program Services EDUCATION 51,075
South America 0 0 Program Services RESEARCH 1,156,592
South America 0 0 Send agents to seminar   310,754
South America 0 5 Program Services STUDY ABROAD 283,218
South America 0 0 Grantmaking   1,744
South Asia 0 0 Program Services EDUCATION 176,187
South Asia 0 0 Program Services RESEARCH 3,215,811
South Asia 0 4 Program Services STUDY ABROAD 1,524,008
South Asia 0 0 Grantmaking   15,109
South Asia 0 0 Send agents to seminar   309,402
Sub-Saharan Africa 0 0 Program Services EDUCATION 128,418
Sub-Saharan Africa 0 1 Program Services RESEARCH 3,816,145
Sub-Saharan Africa 0 1 Program Services STUDY ABROAD 309,964
Sub-Saharan Africa 0 0 Grantmaking   318,275
Sub-Saharan Africa 0 0 Send agents to seminar   330,881
East Asia and the Pacific 0 0 Program Services ATHLETIC EVENTS 610,606
East Asia and the Pacific 0 0 Program Services DEVELOPMENT 51,248
3a Sub-total ..... 7 78 33,488,476
b Total from continuation sheets to Part I ... 0 19 28,540,098
c Totals (add lines 3a and 3b) 7 97 62,028,574
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2010
Schedule F (Form 990) 2010
Page 2
Part II
Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" to Form 990,
Part IV, line 15, for any recipient who received more than $5,000. Check this box if no one recipient received more than $5,000 ........ MediumBullet
Use Part V if additional space is needed.
1 (a) Name of organization (b) IRS code section
and EIN (if applicable)		 (c) Region (d) Purpose of
grant 		(e) Amount of
cash grant 		(f) Manner of
cash
disbursement 		(g) Amount of
of non-cash
assistance 		(h) Description
of non-cash
assistance 		(i) Method of
valuation
(book, FMV,
appraisal, other)
Cent. America/Caribbean BUILD CLINIC 12,000 WIRE      
South Asia AWARD 5,109 WIRE      
South Asia GENERAL SUPPORT 10,000 WIRE      
Sub-Saharan Africa GENERAL SUPPORT 12,495 WIRE      
Sub-Saharan Africa MEDICAL SUPPORT 10,000 WIRE      
Sub-Saharan Africa GENERAL SUPPORT 23,000 WIRE      
Sub-Saharan Africa GENERAL SUPPORT 271,334 WIRE      
             
             
             
             
             
             
             
             
             
2
Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter .....MediumBullet
3
3
Enter total number of other organizations or entities ........................MediumBullet
3
Schedule F (Form 990) 2010
Schedule F (Form 990) 2010Page 3
Part III
Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 16.
Use Part V if additional space is needed.
(a) Type of grant or assistance (b) Region (c) Number of recipients (d) Amount of
cash grant 		(e) Manner of cash
disbursement 		(f) Amount of
non-cash
assistance 		(g) Description
of non-cash
assistance 		(h) Method of
valuation
(book, FMV,
appraisal, other)
AWARD-SCIENTIFIC RESEARCH Europe/Iceland/Greenland 2 18,000 CHECK      
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2010
Schedule F (Form 990) 2010
Page 4
Part IV
Foreign Forms
1 Was the organization a U.S. transferor of property to a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 926 (see instructions for Form 926).................
2 Did the organization have an interest in a foreign trust during the tax year? If " Yes," the organization may be required to file Form 3520 and/or Form 3520-A. (see instructions for Forms 3520 and 3520-A)..........
3 Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 5471, Information Return of U.S. Persons with respect to Certain Foreign Corporations. (see instructions for Form 5471)..............................
4 Was the organization a direct or indirect shareholder of a passive foreign investment company or a qualified electing fund during the tax year? If "Yes," the organization may be required to file Form 8621, Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see instructions for Form 8621)
5 Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," the organization may be required to file Form 8865, Return of U.S. Persons with respect to Certain Foreign Partnerships. (see instructions for Form 8865)....................................
6 Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organization may be required to file Form 5713, International Boycott Report (see instructions for Form 5713)................................................
Schedule F (Form 990) 2010
Schedule F (Form 990) 2010
Page 5
Part V
Supplemental Information
Complete this part to provide the information (see instructions) required in Part I, line 2, and any additional information.
Identifier ReturnReference Explanation
PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE U.S. FORM 990, SCHEDULE F, LINE 2 DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY.
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
Schedule F (Form 990) 2010
Additional Data


Software ID:  
Software Version:  



SCHEDULE G
(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Supplemental Information Regarding
Fundraising or Gaming Activities
Complete if the organization answered "Yes" to Form 990, Part IV, lines 17, 18, or 19,
or if the organization entered more than $15,000 on Form 990-EZ, line 6a.
right arrow Attach to Form 990 or Form 990-EZ. right arrow See separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Fundraising Activities. Complete if the organization answered "Yes" to Form 990, Part IV, line 17.
1
Indicate whether the organization raised funds through any of the following activities. Check all that apply.
a e
b f
c g
d
2a
Did the organization have a written or oral agreement with any individual (including officers, directors, trustees
or key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services?
b
If “Yes,” list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is
to be compensated at least $5,000 by the organization. Form 990-EZ filers are not required to complete this table.
(i) Name and address of individual
or entity (fundraiser) 		(ii) Activity (iii) Did fundraiser have custody or control of contributions? (iv) Gross receipts
from activity 		(v) Amount paid to
(or retained by)
fundraiser listed in
col. (i) 		(vi) Amount paid to
(or retained by)
organization
Yes No
GRENZEBACH GLIER AND ASSOCIATES
401 N MICHIGAN AVE STE 2800
 
CHICAGO, IL60611 		CAMPAIGN CONSULTING   No   108,889  
TOM PERRIN ASSOCIATES CAMPAIGN CONSULTING   No   9,360  
DEAN KUHNLEIN
5 SAGAMORE PLACE
 
HILLSBOROUGH, NC27278 		CAMPAIGN CONSULTING   No   8,450  
ERICA LIEBERMAN
6010 NEW JERICHO RD
 
CHAPEL HILL, NC27516 		CAMPAIGN CONSULTING   No   6,863  
BOBBY WAYNE CLARK
2711 AUGUSTA DR
 
DURHAM, NC27707 		CAMPAIGN CONSULTING   No   6,858  
KAREN GAJEWSKI
102 SUGARHILL PLACE
 
CARY, NC27519 		CAMPAIGN CONSULTING   No   5,444  
Total .................right arrow   145,864  
3
List all states in which the organization is registered or licensed to solicit funds or has been notified it is exempt from registration or licensing.
AL, AK, AZ, AR, CA, CO, CT, DC, FL, GA, HI, IL, KS, LA, ME, MD, MA, MI, MN, MS, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, TN, UT, VA, WA, WV, WI
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2010
Schedule G (Form 990 or 990-EZ) 2010
Page 2
Part II
Fundraising Events. Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported more than $15,000 on Form 990-EZ, line 6a. List events with gross receipts greater than $5,000.
(a) Event #1

ANGELS AMONG US
(event type) 		(b) Event #2

2010 CMN
(event type) 		(c) Other Events

12
(total number) 		(d) Total Events
(Add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 1,518,142 1,487,136 2,734,131 5,739,409
2 Less: Charitable
contributions . . . 		1,454,849 1,489,144 1,922,277 4,866,270
3 Gross income (line 1
minus line 2) . . . 		63,293 -2,008 811,854 873,139
VerticalDirectExpenses 4 Cash prizes . . .        
5 Non-cash prizes . .     246,333 246,333
6 Rent/facility costs . .     2,982 2,982
7 Food and beverages . . 8,365   109,158 117,523
8 Entertainment . . .     13,718 13,718
9 Other direct expenses . 72,266 270,422 831,057 1,173,745
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 1,554,301
11 Net income summary. Combine lines 3 and 10 in column (d)............ right arrow -681,162
Part III
Gaming. Complete if the organization answered "Yes" to Form 990, Part IV, line 19, or reported more than $15,000 on Form 990-EZ, line 6a.
VerticalRevenue (a) Bingo (b) Pull tabs/Instant
bingo/progressive bingo 		(c) Other gaming (d) Total gaming (Add col. (a) through col. (c))
1 Gross revenue . . . .        
VerticalDirectExpenses 2 Cash prizes . . . .        
3 Non-cash prizes . . .        
4 Rent/facility costs . . .        
5 Other direct expenses . .        
6 Volunteer labor . . .
 
 
 
7 Direct expense summary. Add lines 2 through 5 in column (d) ........... right arrow  
8 Net gaming income summary. Combine lines 1 and 7 in column (d) .......... right arrow  
9
Enter the state(s) in which the organization operates gaming activities:
a
Is the organization licensed to operate gaming activities in each of these states? ............
b
If "No," Explain:
 
10a
Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year? .....
b
If "Yes," Explain:
 
11
Does the organization operate gaming activities with nonmembers? .................
12
Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entity
formed to administer charitable gaming? ...........................
Schedule G (Form 990 or 990-EZ) 2010
Schedule G (Form 990 or 990-EZ) 2010
Page 3
13
Indicate the percentage of gaming activity operated in:
a
The organization's facility ......................
13a
 
b
An outside facility ........................
13b
 
14
Provide the name and address of the person who prepares the organization's gaming/special events books and records:
Name right arrow
Address right arrow
15a
Does the organization have a contract with a third party from whom the organization receives gaming
revenue? ......................................
b
If "Yes," enter the amount of gaming revenue received by the organization right arrow $   and the
amount of gaming revenue retained by the third party right arrow $   .
c
If "Yes," enter name and address:
Name right arrow
Address right arrow
 
 
16
Gaming manager information:
Name right arrow
Gaming manager compensation right arrow $  
Description of services provided right arrow
 
17
Mandatory distributions:
a
Is the organization required under state law to make charitable distributions from the gaming proceeds to
retain the state gaming license? ............................
b
Enter the amount of distributions required under state law distributed to other exempt organizations or spent
in the organization's own exempt activities during the tax year right arrow$  
Part IV
Complete this part to provide additional information for responses to quuestion on Schedule G (see instructions.)
Identifier ReturnReference Explanation
FUNDRAISING ACTIVITIES SCHEDULE G, PART I, LINE 2(b), COLUMN (v) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH THE ENTITES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(b), COLUMN (v). THESE AGREEMENTS ALLOW FOR CERTAIN REIMBURSEMENTS OF EXPENSES SUCH AS: TRAVEL EXPENSES RELATED TO THE SERVICES PROVIDED. THE REIMBURSEMENT IS ANALYZED AND AUTHORIZED ON A CASE BY CASE BASIS. THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEES FOR SERVICES RENDERED.
Schedule G (Form 990 or 990-EZ) 2010
Additional Data


Software ID:  
Software Version:  
Schedule I
(Form 990)
Department of the Treasury
Internal Revenue Service
Grants and Other Assistance to Organizations,
Governments and Individuals in the United States
Complete if the organization answered "Yes," to Form 990, Part IV, line 21 or 22.
lBullet Attach to Form 990
OMB No. 1545-0047
2010
Open to Public
Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number
56-0532129
Part I
General Information on Grants and Assistance
1
Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and
the selection criteria used to award the grants or assistance? ....................................
2
Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.
Part II
Grants and Other Assistance to Governments and Organizations in the United States. Complete if the organization answered "Yes" to
Form 990, Part IV, line 21 for any recipient that received more than $5,000. Check this box if no one recipient received more than $5,000. Use
Part IV and Schedule I-1 (Form 990) if additional space is needed ......................... lBullet
(a) Name and address of organization
or government		 (b) EIN (c) IRC Code section
if applicable		 (d) Amount of cash grant (e) Amount of non-cash
assistance		 (f) Method of valuation
(book, FMV, appraisal,
other)		 (g) Description of
non-cash assistance		 (h) Purpose of grant
or assistance
(1) ALBERT SCHWEITZER FELLOWSHIP330 BROOKLINE AVE
BOSTON,MA02215 		13-1982786 501(C)(3) 20,000       FELLOWSHIP PROGRAM PAYMENT
(2) AMERICAN COUNCIL OF LEARNED SOCIETIES633 THIRD AVE
NEW YORK,NY10017 		13-1851145 501(C)(3) 50,000       ACLS UNIV CONSORTIUM
(3) AMERICAN MATHEMATICAL SOCIETYPO BOX 6248
PROVIDENCE,RI029042213 		05-0264797 501(C)(3) 5,644       KARL MENGER AWARDS
(4) ASSOCIATION OF RESEARCH LIBRARY21 DUPONT CIRCLE
WASHINGTON,DC20036 		52-0784198 501(C)(3) 16,000       SPONSORSHIP SCIENCE INSTITUTE
(5) CALVARY MINISTRIES OF THE WESTLAND COMMUNITIESPO BOX 51398
DURHAM,NC277171398 		56-1858174 501(C)(3) 24,117       GENERAL SUPPORT
(6) CARTER COMMUNITY SCHOOL1305 W CLUB BLVD
DURHAM,NC27705 		20-2701540 501(C)(3) 21,324       GENERAL SUPPORT
(7) CHILD AND PARENT SUPPORT SERVICES411 W CHAPEL HILL ST
DURHAM,NC27701 		58-1446309 501(C)(3) 6,270       MIDDLE SCHOOL INITIATIVE
(8) CITY OF DURHAM1903 FAYETTEVILLE ST
DURHAM,NC27703 		56-6000225 GOV'T ENTITY 525,000       FIRE CONTRIBUTION
(9) CLEAN ENERGY DURHAMPO BOX 2223
DURHAM,NC27702 		71-1032962 501(C)(3) 5,171       GENERAL SUPPORT
(10) CLEARCUT PRODUCTIONS INC820 N RIVER ST
PORTLAND,OR97227 		20-3973185   12,500       FESTIVAL AWARD
(11) COMMITTEE FOR ECONOMIC DEVELOPMENT2000 L STREET NW
WASHINGTON,DC20036 		13-1623973 501(C)(3) 10,000       GENERAL SUPPORT
(12) COUNCIL ON COMPETITIVENESS1500 K STREET NW
WASHINTON,DC20005 		52-1872849 501(C)(3) 27,500       GENERAL SUPPORT
(13) CREST STREET COMMUNITY COUNCIL2614 CREST ST
DURHAM,NC27705 		58-1399286 501(C)(4) 21,151       DONATION FOR AFTER SCHOOL PROGRAM
(14) DOC ARTS INC324 BLACKWELL ST
DURHAM,NC27701 		02-0548261 501(C)(3) 25,000       FESTIVAL SPONSORSHIP
(15) DURHAM CENTER FOR SENIOR LIFE406 RIGSBEE AVE STE 202
DURHAM,NC27701 		56-0886647 501(C)(3) 12,300       GENERAL SUPPORT
(16) DURHAM CHAMBER LEGACY FOUNDATIONPO BOX 3829
DURHAM,NC27702 		13-1132350 501(C)(3) 31,250       GENERAL SUPPORT
(17) DURHAM COMMUNITY LAND TRUSTEES1208 W CHAPEL HL ST
DURHAM,NC27701 		56-1203878 501(C)(3) 20,000       COMMUNITY AFFAIRS
(18) DURHAM COUNTY215 NORTH CHURCH ST
DURHAM,NC27701 		56-6000297 GOV'T ENTITY 26,992       GENERAL SUPPORT
(19) DURHAM CRISIS RESPONSE CENTER206 N DILLARD ST
DURHAM,NC277013404 		58-1496427 501(C)(3) 7,284       GENERAL SUPPORT
(20) DURHAM ECONOMIC RESOURCE CENTER904 N ROXBORO RD
DURHAM,NC27701 		23-7208424 501(C)(3) 5,400       GENERAL SUPPORT
(21) DURHAM PUBLIC SCHOOLSPO BOX 30002
DURHAM,NC27702 		56-6001021 GOV'T ENTITY 50,665 330,701 FMV COMP/OFFICE EQUIP GENERAL SUPPORT
(22) EL CENTRO HISPANO INC201 W MAIN STREET
DURHAM,NC27701 		56-2011661 501(C)(3) 14,372       GENERAL SUPPORT
(23) EMILY KRZYZEWSKI FAMILY CENTER904 W CHAPEL HILL ST
DURHAM,NC27701 		56-2230469 501(C)(3) 203,224       COMMUNITY AFFAIRS
(24) FAMILY HEALTH MINISTRIES INCPO BOX 16725
CHAPEL HILL,NC275166725 		56-2206165 501(C)(3) 103,027       HAITI SUPPORT
(25) GENESIS HOMEPO BOX 25426
DURHAM,NC27702 		56-1633998 501(C)(3) 8,395       GERNERAL SUPPORT
(26) HABITAT FOR HUMANITY OF DURHAM215 N CHURCH ST
DURHAM,NC27701 		58-1674794 501(C)(3) 25,000       GENERAL SUPPORT
(27) HEARTS WITH HAITI INC27 HORNE ST
RALEIGH,NC27607 		56-2267791 501(C)(3) 8,500       HAITI SUPPRT
(28) HOUSING FOR NEW HOPE18 W COLONY PLACE
DURHAM,NC27705 		58-2089068 501(C)(3) 10,000       GENERAL SUPPORT
(29) HYTOWER ENERGY STORAGE809 WILKERSON AVE
DURHAM,NC27701 		45-2284472   25,000       START UP CHALLENGE PRIZE
(30) INDIANA UNIVERSITYPO BOX 66057
INDIANAPOLIS,IN462666057 		35-6001673 501(C)(3) 85,000       SABBATICAL SUPPORT
(31) INSTITUTE FOR SUSTAINABLE DEVELOPMENT101 W MAIN ST
DURHAM,NC27701 		27-1976543   10,000       GENERAL SUPPORT
(32) JOHNS HOPKINS UNIVERSITY720 RUTLAND AVE
BALTIMORE,MD212052196 		52-0595110 501(C)(3) 10,000       MATERNAL HEALTH AWARD
(33) KIDZ NOTES120 MORRIS ST
DURHAM,NC27701 		27-0446845 501(C)(3) 10,000       GENERAL SUPPORT
(34) MICROLENDING FILM990 CANAL ST
MAGNOLIA,OH44643 		90-0695944   20,000       FILM PROJECT AWARD
(35) MONTANA STATE UNIVERSITYPO BOX 172470
BOZEMAN,MT59718 		81-6010045   15,500       STUDENT FELLOWSHIP
(36) NORTH CAROLINA NEW SCHOOLS PROJECT4600 MARRIOTT DRIVE
RALEIGH,NC27612 		20-4031703 501(C)(3) 100,000       PROJECT STEM SUPPORT
(37) NORTHSIDE BAPTIST CHURCH1239 BERKELEY ST
DURHAM,NC27705 		56-1169350   19,717       GENERAL SUPPORT
(38) PARTNERS FOR YOUTH1313 HALLEY ST
DURHAM,NC27707 		35-2206640 501(C)(3) 40,000       COMMUNITY AFFAIRS
(39) PHI LAMBDA UPSILON124 SCIENCE DR
DURHAM,NC27708 		23-7264553 501(C)(7) 8,500       GENERAL SUPPORT
(40) PROMISE OF PLAY INC206 NORTH DILLARD ST
DURHAM,NC27701 		61-1602902 501(C)(3) 5,611       GENERAL SUPPORT
(41) REALITY MINISTRYPO BOX 242
DURHAM,NC27702 		26-1514118 501(C)(3) 9,994       GENERAL SUPPORT
(42) REGENTS OF UNIV OF CALIFORNIA900 UNIVERSITY AVE
RIVERSIDE,CA92521 		95-6006142 501(C)(3) 10,000       RESEARCH SUPPORT
(43) REGENTS OF UNIV OF COLORADO1700 LINCOLN ST
DENVER,CO80203 		84-6000555 501(C)(3) 35,654       GENERAL SUPPORT
(44) RESTRIANGLE ENVIRONMENTAL HEALTH COLLABORATIVELESLIESHIRE DR
RALEIGH,NC276158103 		20-4594346 501(C)(3) 20,000       GENERAL SUPPORT
(45) RONALD MCDONALD HOUSE506 ALEXANDER DR
DURHAM,NC27705 		56-1220376 501(C)(3) 6,699       GENERAL SUPPORT
(46) SAVE THE CHILDREN54 WILTON RD
WESTPORT,CT06880 		06-0726487 501(C)(3) 5,540       JAPAN TSUNAMI
(47) SCOTT CARTER FOUNDATIONPO BOX 700448
TULSA,OK741700448 		73-1437230 501(C)(3) 10,000       GENERAL SUPPORT
(48) SENIOR PHARMASSIST INC406 RIGSBEE AVE
DURHAM,NC277012186 		56-2084639 501(C)(3) 8,688       GENERAL SUPPORT
(49) SHARE THE WARMTH526 S CHURCH ST
CHARLOTTE,NC28202 		58-1586283 501(C)(3) 5,096       GENERAL SUPPORT
(50) SOCIETY OF EDUCATION IN ANESTHNORTHWEST HWY
PARK RIDGE,IL600682573 		91-1237012 501(C)(3) 10,000       GENERAL SUPPORT
(51) STUDENT ACTION WITH FARMWORKER1317 W PETTIGREW ST
DURHAM,NC27705 		56-1789014 501(C)(3) 10,200       GENERAL SUPPORT
(52) STUDENT U3116 ACADEMY RD
DURHAM,NC27707 		56-0538019 501(C)(3) 9,791       GENERAL SUPPORT
(53) TROSA INC1820 JAMES ST
DURHAM,NC277072024 		56-1861158 501(C)(3) 6,000 6,777 FMV HOUSEHOLD FURNITURE GENERAL SUPPORT
(54) UNIVERSITY OF NORTH CAROLINACAMPUS BOX 8011
CHAPEL HILL,NC27599 		56-6001393 GOV'T ENTITY 12,300       GENERAL SUPPORT
(55) URBAN MINISTRIES OF DURHAMPO BOX 249
DURHAM,NC27702 		58-1505891 501(C)(3) 8,961 6,912 FMV HOUSEHOLD FURNITURE GENERAL SUPPORT
(56) US FUND FOR UNICEF125 MAIDEN LANE
NEW YORK,NY10038 		13-1760110 501(C)(3) 6,960       PAKISTAN FLOODING SUPPORT
(57) V FOUNDATION FOR CANCER RESEARCH106 TOWERVIEW CT
CARY,NC27513 		13-3705951 501(C)(3) 10,000       GENERAL SUPPORT
(58) WALLTOWN CHILDRENS THEATRE1225 BERKLEY ST
DURAHM,NC27705 		56-2214825 501(C)(3) 25,014       GENERAL SUPPORT
(59) WASHINGTON UNIVERSITY700 ROSEDALE AVE
ST LOUIS,MO63112 		14-3060536 501(C)(3) 45,000       RUTH K BROAD FOUNDATION GRANT
(60) WASHINGTON UNIVERSITY SCHOOL OF MEDICINE660 S EUCLID AVE
ST LOUIS,MO63110 		43-0653611 501(C)(3) 45,000       GENERAL SUPPORT
(61) WEST END COMMUNITY CENTER705 KENT STREET
DURHAM,NC27705 		58-2000463   20,000       GENERAL SUPPORT
(62) BELIEVERS UNITED FOR PROGRESS1306 FAYETTEVILLE STREET
DURHAM,NC27707 		35-2292442 501(C)(3)   8,454 FMV FURNITURE/ EQUIPMENT GENERAL SUPPORT
(63) CAARE INC214 BROADWAY STREET
DURHAM,NC27701 		56-1963988 501(C)(3)   8,482 FMV OFFICE FURNITURE GENERAL SUPPORT
(64) CARNIVORE PRESERVATION INC1940 HANKS CHAPEL ROAD
PITTSBORO,NC27312 		56-1522499 501(C)(3)   19,000 FMV EQUIPMENT GENERAL SUPPORT
(65) CHRISTIAN FAITH CENTER OF CREEDMOORPO BOX 100
CREEDMOOR,NC27522 		56-1526296 501(C)(3)   6,500 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(66) COALITION OF UNCHAIN DOGS3737 GLENWOOD AVE
RALEIGH,NC27612 		26-2584285 501(C)(3)   15,000 FMV EQUIPMENT GENERAL SUPPORT
(67) DURHAM RESCUE MISSIONPO BOX 11858
DURHAM,NC27703 		58-1482590 501(C)(3)   40,925 FMV FURNITURE/EQUIPMENT GENERAL SUPPORT
(68) DURHAM TECHNICAL COMMUNITY COLLEGE1637 LAWSON STREET
DURHAM,NC27703 		56-1423848 501(C)(3)   5,114 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(69) FFL RICHER LIFECARE INC2416 ORCUTT AVENUE
NEWPORT NEWS,VA23607 		04-3806663 501(C)(3)   7,800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(70) FIRST ASSEMBLY OF GOD1034 HAMLIN ROAD
DURHAM,NC27704 		44-0577787 501(C)(3)   25,782 FMV FURNITURE/EQUIPMENT GENERAL SUPPORT
(71) GLORY TO GOD MINISTRIES202 N TARBORO STREET
RALEIGH,NC27610 		56-2087324 501(C)(3)   22,485 FMV COMPUTERS/EQUIPMENT GENERAL SUPPORT
(72) THE HAWBRIDGE SCHOOL1735 BETHL CHURCH RD
SAXAPAHAW,NC27340 		56-2065889 501(C)(3)   7,856 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(73) HEAL TASK FORCEPO BOX 301
JAMESVILLE,NC27846 		20-4728964 501(C)(3)   7,800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(74) HOUSE OF REFUGE947 E MAIN STREET
DURHAM,NC27701 		56-1988451 501(C)(3)   7,946 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(75) J-JIREH SERVICES INCPO BOX 352
SOUTH HILL,VA23970 		02-0783242 501(C)(3)   26,511 FMV FURNITURE/EQUIPMENT GENERAL SUPPORT
(76) KESTREL HEIGHTS SCHOOL4700 S ALSTON AVENUE
DURHAM,NC27713 		56-1996482 501(C)(3)   5,391 FMV FURNITURE/EQUIPMENT GENERAL SUPPORT
(77) KRAMDEN INSTITUTE4915 PROSPECTUS DRIVE
DURHAM,NC27713 		74-3108814 501(C)(3)   29,910 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(78) MILLBROOK ELEMENTARY3317 DERBYSHIRE PLACE
RALEIGH,NC27604 		56-1137759 501(C)(3)   7,800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(79) MOUNT GILEAD PENTECOSTAL CHURCHPO BOX 72
BELHAVEN,NC27810 		26-2563827 501(C)(3)   7,460 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(80) MOUNT ZION CHRISTIAN CHURCH3519 FAYETTEVILLE STREET
DURHAM,NC27707 		56-1443711 501(C)(3)   25,805 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(81) OFFG OUTREACH MISSION3741 WAKE FOREST HWY
DURHAM,NC27703 		42-1716352 501(C)(3)   5,563 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(82) OLIVE HILL COMMUNITY ECONOMIC DEVELOPMENT CORPPO BOX 4008
MORGANTON,NC28680 		31-1639629 501(C)(3)   6,500 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(83) OE ENTERPRISES INC348 ELIZ BRADY RD
HILLSBOROUGH,NC27278 		57-0740781 501(C)(3)   5,300 FMV FURNITURE/EQUIPMENT GENERAL SUPPORT
(84) OXFORD HOUSE203 PEKOE STREET
DURHAM,NC27707 		52-1582231 501(C)(3)   19,500 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(85) PINES COMMUNITY CENTER INC107 JOHNSON STREET
CHAPEL HILL,NC27514 		56-1898531 501(C)(3)   7,800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(86) PROMISE CHILD MINISTRIES3022 WEDGEDALE AVENUE
DURHAM,NC27703 		39-2067626 501(C)(3)   7,800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(87) SHAW UNIVERSITY118 E SOUTH STREET
RALEIGH,NC27601 		56-0530235 501(C)(3)   16,374 FMV OFFICE FURNITURE GENERAL SUPPORT
(88) SUCCESS DYNAMICS COMMUNITY DEVELOPMENTPO BOX 214
FARMVILLE,NC27828 		56-2127031 501(C)(3)   7,800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(89) TEENS DESTINED TO SUCCEED OUTREACHN BEAUMONT AVE
BURLINGTON,NC27217 		26-3024874 501(C)(3)   5,525 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(90) TMO FOUNDATION INCRED OAK TREE DR
FUQUAY VARINA,NC27526 		56-2655343 501(C)(3)   7,449 FMV FURNITURE/EQUIPMENT GENERAL SUPPORT
(91) VETERANS EMPOWERING VETERANS11029 US HWY 301 S
BENSON,NC27504 		90-0520176 501(C)(3)   9,037 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(92) PARADOX FILMS68 E 131 ST 7TH FLOOR
NEW YORK,NY10037 		02-0586557   10,000       FILM DOCUMENTARY CONTRIBUTION
2
Enter total number of section 501(c)(3) and government organizations ......................... Bullet Image
82
3
Enter total number of other organizations ................................ . Bullet Image
10
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2010

Schedule I (Form 990) 2010
Page 2
Part III
Grants and Other Assistance to Individuals in the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 22.
Use Schedule I-1 (Form 990) if additional space is needed.
(a)Type of grant or assistance (b)Number of
recipients		 (c)Amount of
cash grant		 (d)Amount of
non-cash assistance		 (e)Method of valuation (book,
FMV, appraisal, other)		 (f)Description of non-cash assistance
(1) 1ST PLACE WINNER CONTEST AWARD 1 1,000      
(2) 2010 CHESTER P MIDLESWORTH AWARD 2 2,000      
(3) 2010 DISTINGUISHED SERVICE AWARD 1 500      
(4) 2010 DURDEN PRIZE 4 3,000      
(5) 2010 PERRY PRIZE 1 2,500      
(6) 2010 PILKINGTON MEMORIAL AWARD 1 500      
(7) 2010 RESEARCH CAREER DAY AWARD 3 1,500      
(8) 2010-11 AWARD FOR OUTSTANDING TEACHING CLASS 6 600      
(9) 2010-11 GRAD. VAIL AWARD 2 1,000      
(10) 2011 BME AWARD 1 469      
(11) 2011 GRADUATION-THOMAS JEFFERSON AWARD 1 250      
(12) 2011 GRADUATION- ANDREW C PUCKETT HUMANISM AWARD 1 500      
(13) 2011 GRADUATION-DEANS'S RECOGNITION AWARD 4 800      
(14) 2011 HELMHOLTZ AWARD 1 200      
(15) 2011 LEONARDO DA VINCI AWARD 2 400      
(16) 2011 RAINBOW OF HEROES WALK 1 5,000      
(17) 4TH ANNUAL COLE DISSERTATION COMPETITION 1 1,000      
(18) ADOPT A FAMILY CLOTHES & TOYS 1 192      
(19) ALDEN AWARD WINNER 1 250      
(20) ALEX VASILOS MEMORIAL AWARD 4 1,500      
(21) ALLEN STARLING JOHNSON JR AWARD 6 1,350      
(22) ANGELA MARTINEZ - ALDEN AWARD 1 250      
(23) ANGELS AMONG US 1 2,500      
(24) ANNE MCDOUGALL AWARD 1 1,500      
(25) ANN-MARIE PARSONS AWARD 1 250      
(26) AWARD 1 781      
(27) AWARD-CDS DEGRESS PROGRAM 1 1,500      
(28) AWARD-ITALY TRIP 1 1,000      
(29) AWARD FOR STUDENT ACHIEVEMENT 2 3,000      
(30) AWARD FOR SUMMER DISSERTATION FIELD WORK IN KENYA 1 2,000      
(31) AWARD NYC TRIP 1 200      
(32) AWARD TO ATTEND CLASSICAL SUMMER SCHOOL 2 3,400      
(33) AWARD WINNER KENAN INST. FOR ETHICS 1 500      
(34) BARBARA HERRNSTEIN SMITH AWARD 1 250      
(35) BEST RESEARCH AWARD 1 500      
(36) BIG BROTHER BIG SISTERS SPONSORSHIP 1 65      
(37) BOOK AWARD 1 750      
(38) CAMP KALEIDSCOPE PROJECT 1 10,500      
(39) CASE COMPETITION PRIZE MONEY 24 13,500      
(40) CHAMBER MUSIC AWARD 1 100      
(41) CHARLES ERNEST SEAGER MEMORIAL AWARD 2 1,000      
(42) CHARLES ROWE VAIL MEMORIAL AWARD 2 1,000      
(43) CHINA MEDEL FOR 2010-11 AWARD 1 2,400      
(44) CLAS MELLON GRADUATE STUDENT TRAVEL AWARD TO HAITI 2 2,400      
(45) CLASS OF 1990 SCHOLARSHIP AWARD 1 2,000      
(46) CLAY TALIAFERRO DANCE AWARD 1 250      
(47) CONTEST WINNER 1 50      
(48) CRITICAL ESSAY AWARD 1 250      
(49) DALE B.J. RANDALL AWARD 2 500      
(50) DANCE PROJECT AWARD 1 250      
(51) DANCE WRITING AWARD FOR SPRING 2011 1 250      
(52) DNP CAPSTONE AWARD 1 200      
(53) DORA LITTLE SERVICE AWARD 3 3,000      
(54) DPS-PRIZE WINNER 1 500      
(55) DUKE CHAPEL ASSISTANCE GIVEN 1 500      
(56) DUKE HOME CARE & HOSPICE PROJECT 1 3,375      
(57) DUKE HONOR COUNCIL ESSAY CONTEST 3 600      
(58) DUKE MAHATO EVENT- IMAGE CONTEST AWARD 1 500      
(59) DUKE START UP CHALLENGE WINNER FY 2011 5 5,650      
(60) ERNESTINE FRIEDL AWARD 2 2,000      
(61) ESSAY AWARD 2 1,281      
(62) EVA SALBER MEMORIAL AWARD 2 1,000      
(63) EXCEPTIONAL HONORS THESIS 1 200      
(64) FLEXNER POETRY AWARD 5 2,000      
(65) FOERSTER HONORABLE MENTION 1 400      
(66) FOERSTER PRIZE 1 1,200      
(67) GALLERY CHOICE ART CONTEST 1 100      
(68) GENDER & RACE RESEARCH AWARD 3 1,700      
(69) GEORGE SHERRERD III AWARD 1 500      
(70) HAAS ESSAY PRIZE 1 1,200      
(71) HAROLD BRODY AWARD 1 1,000      
(72) HELMETS AGAINST HEAD INJURY PROJECT 1 270      
(73) HENRY SCHUMAN MUSIC PRIZE 1 350      
(74) HORNE COSPONSORSHIP 1 1,800      
(75) INTRAMURAL AWARD 1 750      
(76) JACKSON PRIZE 1 500      
(77) JAMESON JONES PREACHING AWARD 1 500      
(78) JHF AWARD 1 1,500      
(79) JHFRC BOOK AWARD 1 10,000      
(80) JODY MCAULIFFE AWARD 1 500      
(81) JOHN M CLUM AWARD 1 500      
(82) JUDITH MCDADE PRIZE 2 200      
(83) JULIA DALE AWARD IN MATH 5 950      
(84) JULIA WILKINSON MUELLER PRIZE FOR EXCELLENCE IN MU 1 300      
(85) JULIA WRAY MEMORIAL DANCE AWARD 1 250      
(86) KARL E ZENER AWARD 1 100      
(87) KARL MENGER AWARD IN MATH 4 750      
(88) KENAN INST. FOR ETHICS ART CONTEST WINNER 2 800      
(89) KENNETH J REARDON AWARD 1 500      
(90) LAPRADE PRIZE WINNER 1 500      
(91) LP SMITH AWARD IN MATH 2009-10 2 5,000      
(92) HOLDEN AWARD 1 500      
(93) MARK EWING 1 11,667      
(94) MARY DUKE BIDDLE FOUND VISUAL ART AWARD 2 1,000      
(95) MARY MCLEOD BETHUNE WRITING AWARD 1 300      
(96) MCDOUGALL MERIT AWARD 1 1,500      
(97) MCMURRY RICHEY AWARD 3 750      
(98) MELCHER AWARD 1 100      
(99) MELLON RESEARCH TRAVEL AWARD 1 750      
(100) MEMS FACULTY AWARD 1 100      
(101) MENTOR AWARD 2 2,000      
(102) MICHAEL R NATHAN AWARD 2 5,000      
(103) MONETARY AWARD 1 600      
(104) MOST ORIGINAL HONOR THESIS AWARD 1 250      
(105) MUSICAL ACHIEVEMENT PRIZE 4 200      
(106) NC UROLOGY RESIDENT COMPETITION PRIZE 1 500      
(107) NESCENT GRADUATE STUDENT FELLOWSHIP 10 48,000      
(108) OUTSTANDING TEACHING AND MENTORING AWARD 1 156      
(109) OUTSTANDING UNDERGRADUATE RESEARCH AWARD 1 200      
(110) OVARIAN CANCER WALK PROJECT 1 500      
(111) PAUL FARMER AWARD 1 100      
(112) PEACE AWARD TRAVEL HONDURAS 4 6,894      
(113) PHOTO CONTEST WINNER 1 50      
(114) PI TAU SIGMA AWARD 3 300      
(115) POSTER AWARD 21 2,950      
(116) PRIZE FOR EXCEPTIONAL HONORS THESIS 1 200      
(117) SECOND PLACE EMORY CASE COMP. 5 671      
(118) PRIZES FOR SOCCER TOURNAMENT 1 300      
(119) RECEPTION CONTRIBUTION 1 300      
(120) REMEMBRANCE BOX PROGRAM 1 1,200      
(121) RESEARCH PORT-AU-PRINCE 1 2,000      
(122) REYNOLDS PRICE AWARD 1 500      
(123) RIPP PROGRAM 1 1,000      
(124) SABBATICAL SCHOLAR PAYMENT 39 187,773      
(125) SARA LABOSKEY MEMORIAL FUND 1 500      
(126) SCHUTTE SENIOR AWARD 1 1,000      
(127) SCRIPPS NATIONAL BEE 1 2,890      
(128) SOCIAL RELATIONSHIPS SURVEY WINNER 14 8,400      
(129) STANLEY FISH AWARD 1 250      
(130) START UP CHALLENGE WINNER 1 2,500      
(131) STEPHEN HORN TEACHING AWARD 2 600      
(132) SUE & LEE NOEL PRIZE IN VISUAL ARTS 1 500      
(133) SURVEY WINNER 2 1,200      
(134) SYMPOSIUM PRESENTATION PRIZE 1 500      
(135) THIRD PLACE ETHICS ART CONTEST 1 100      
(136) TIP LEADERSHIP MERIT AWARD 2 2,000      
(137) TRAVEL AWARD FOR SUMMER INTERNSHIP 11 13,584      
(138) TRIATHLON - CASH PRIZES 1 350      
(139) TYLER POETRY AWARD 2 1,025      
(140) UROLOGY RESIDENT COMPETITION PRIZE 5 500      
(141) URS GRADUATION W. DISTINCTION AWARD 1 699      
(142) UTKU AWARD 2 450      
(143) VIDEO CONTEST PRIZE 3 1,500      
(144) VISUAL STUDIES INITIATIVE AWARD 2 600      
(145) WILLIAM KLENZ PRIZE IN MUSIC COMPOSITION 1 225      
(146) 2011 FRITZ LONDON PRIZE 1 9,000      
(147) WOMEN'S STUDIES GENDER/RACE RESEARCH AWARD 1 781      
(148) RENT ASSISTANCE 1 143      
(149) INTERNSHIP STIPEND 37 330,129      
(150) UNDERGRADUATE TUITION PAYMENT 1 12,182      
(151) UNDERGRADUATE TUITION PAYMENT 5 40,800      
(152) UNDERGRADUATE STIPEND 172 1,866,433      
(153) GRADUATE TUITION SCHOLARSHIP 32 411,003      
(154) GRADUATE STIPEND 1160 18,978,000      
(155) POSTDOCTORAL STIPEND 4 93,348      
(156) UNDERGRADUATE ATHLETIC SCHOLARSHIPS 352 13,759,410      
(157) GRADUATE ATHLETIC SCHOLARSHIPS 8 307,711      
(158) UNDERGRADUATE SCHOLARSHIPS 3961 112,550,795      
(159) GRADUATE SCHOLARSHIPS 2970 63,703,873      
(160) PRE-DOCTORAL SCHOLARSHIPS 2876 35,583,897      
(161) ALDEN AWARD WINNER 1 250      

Part IV
Supplemental Information. Complete this part to provide the information required in Part I, line 2, and any other additional information.
Identifier Return Reference Explanation
ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. FORM 990, SCHEDULE I, LINE 2 DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT.
Schedule I (Form 990) 2010


Additional Data


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Software Version:  


Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet Complete if the organization answered "Yes" to Form 990,
Part IV, question 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed in Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes in line 1a are checked, did the organization follow a written policy regarding payment or reimbursement orprovision of all the expenses described above? If "No," complete Part III to explain....
1b
Yes
 
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
officers, directors, trustees, and the CEO/Executive Director, regarding the items checked in line 1a? ....
2
Yes
 
3
Indicate which, if any, of the following the organization uses to establish the compensation of the
organization's CEO/Executive Director. Check all that apply.
4
During the year, did any person listed in Form 990, Part VII, Section A, line 1a with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment? ...............
4a
Yes
 
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? ........
4b
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? ........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ...........................
5a
 
No
b
Any related organization? .........................
5b
 
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization? ...........................
6a
 
No
b
Any related organization? .........................
6b
 
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
 
No
8
Were any amounts reported in Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regs. section 53.4958-4(a)(3)? If "Yes," describe
in Part III .............................
8
 
No
9
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
 
 
For Privacy Act and Paperwork Reduction Act Notice, see the Intructions for Form 990
Cat. No. 50053T
Schedule J (Form 990) 2010

Schedule J (Form 990) 2010
Page 2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use Schedule J-1 if additional space needed.
For each individual whose compensation must be reported in Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.

Note. The sum of columns (B)(i)-(iii) must equal the applicable column (D) or column (E) amounts on Form 990, Part VII, line 1a.
(A) Name (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Retirement and other deferred compensation (D) Nontaxable
benefits		 (E) Total of columns
(B)(i)-(D) 		(F) Compensation
reported in prior
Form 990 or
Form 990-EZ
(i) Base compensation (ii) Bonus & incentive compensation (iii) Other reportable compensation
(1) RICHARD H BRODHEAD (i)
(ii)		 753,677
0 		0
0 		22,396
0 		130,029
0 		63,292
0 		969,394
0 		0
0
(2) PAMELA J BERNARD (i)
(ii)		 385,537
0 		0
0 		16,500
0 		30,029
0 		15,360
0 		447,426
0 		0
0
(3) VICTOR J DZAU (i)
(ii)		 1,019,765
0 		1,006,416
0 		11,040
0 		746,258
0 		16,175
0 		2,799,654
0 		0
0
(4) PETER LANGE (i)
(ii)		 488,119
26,222 		0
0 		16,500
0 		30,029
0 		8,786
0 		543,434
26,222 		0
0
(5) B HOFLER MILAM (i)
(ii)		 295,870
0 		35,954
0 		16,500
0 		30,029
0 		14,387
0 		392,740
0 		0
0
(6) RICHARD V RIDDELL (i)
(ii)		 254,559
0 		427
0 		17,242
0 		30,029
0 		7,641
0 		309,898
0 		0
0
(7) TALLMAN TRASK III (i)
(ii)		 519,110
0 		0
0 		18,492
0 		30,029
0 		21,874
0 		589,505
0 		0
0
(8) NANCY C ANDREWS (i)
(ii)		 446,697
0 		172,828
0 		59,786
0 		30,029
0 		16,189
0 		725,529
0 		0
0
(9) ALVIN L CRUMBLISS (i)
(ii)		 230,748
0 		33,367
0 		16,500
0 		30,029
0 		5,456
0 		316,100
0 		0
0
(10) KEMEL DAWKINS (i)
(ii)		 137,817
0 		0
0 		605,500
0 		30,029
0 		5,636
0 		778,982
0 		0
0
(11) J SCOTT GIBSON (i)
(ii)		 347,016
0 		112,991
0 		16,598
0 		30,029
0 		18,677
0 		525,311
0 		0
0
(12) ALICE E GOULD (i)
(ii)		 229,637
0 		404,876
0 		0
0 		103,894
0 		570
0 		738,977
0 		20,250
0
(13) ANDERS W HALL (i)
(ii)		 243,356
0 		483,626
0 		16,500
0 		158,246
0 		12,241
0 		913,969
0 		37,500
0
(14) GEORGE L MCLENDON (i)
(ii)		 184,962
0 		490
0 		236
0 		23,585
0 		6,695
0 		215,968
0 		0
0
(15) JOHN J NOONAN (i)
(ii)		 247,185
0 		0
0 		0
0 		30,029
0 		16,566
0 		293,780
0 		0
0
(16) JAMES S ROBERTS (i)
(ii)		 297,707
0 		0
0 		0
0 		30,029
0 		7,008
0 		334,744
0 		0
0
(17) NEAL F TRIPLETT (i)
(ii)		 427,591
0 		1,224,346
0 		16,500
0 		623,642
0 		13,483
0 		2,305,562
0 		163,333
0
(18) GAVIN BRITZ (i)
(ii)		 642,395
0 		152,482
0 		0
0 		30,029
0 		8,583
0 		833,489
0 		0
0
(19) DAVID N CUTCLIFFE (i)
(ii)		 1,392,292
0 		325,703
0 		20,785
0 		30,029
0 		19,714
0 		1,788,523
0 		0
0
(20) MICHAEL W KRZYZEWSKI (i)
(ii)		 1,979,257
0 		3,747,906
0 		41,894
0 		1,447,339
0 		17,580
0 		7,233,976
0 		0
0
(21) RALPH SNYDERMAN (i)
(ii)		 1,031,466
0 		0
0 		3,210
0 		30,029
0 		13,940
0 		1,078,645
0 		0
0
(22) KEVIN M WHITE (i)
(ii)		 775,467
0 		6,291
0 		76,506
0 		30,029
0 		18,243
0 		906,536
0 		0
0
(23) REV CHARLES M SMITH (i)
(ii)		 29,273
0 		0
0 		0
0 		0
0 		0
0 		29,273
0 		0
0
Schedule J (Form 990) 2010

Schedule J (Form 990) 2010
Page 3
Part III
Supplemental Information
Complete this part to provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 4c, 5a, 5b, 6a, 6b, 7, and 8. Also complete this part for any additional information.
Identifier Return Reference Explanation
CHARTER TRAVEL SCHEDULE J, PART 1, LINE 1A MICHAEL W. KRYZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL.
TRAVEL FOR COMPANIONS SCHEDULE J, PART 1, LINE 1A COMPANIONS HAVE TRAVELED WITH MICHAEL W. KRZYZEWSKI. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN HIS TAXABLE INCOME.
TAX INDEMNIFICATION SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD, J. SCOTT GIBSON, MICHAEL W. KRZYZEWSKI, GEORGE L. MCCLENDON, RICHARD V. RIDDELL, AND KEVIN M. WHITE RECEIVED SOME BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES.
RESIDENCE FOR PERSONAL USE SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD WAS PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME.
PERSONAL SERVICES SCHEDULE J, PART 1, LINE 1A THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITY USED BY THE UNIVERSITY'S PRESIDENT. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THIS FACILITY IS USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. RICHARD H. BRODHEAD WAS PROVIDED WITH PERSONAL FINANCIAL SERVICES. TO THE EXTENT SUCH SERVICES WERE NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN THE TAXABLE INCOME OF THESE INDIVIDUALS.
CLUB DUES SCHEDULE J, PART 1, LINE 1A DAVID N. CUTCLIFFE AND J. SCOTT GIBSON WERE PROVIDED WITH CLUB MEMBERSHIPS. THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME.
POLICY SCHEDULE J, PART 1, LINE 1B DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS.
SEVERENCE PAYMENT SCHEDULE J, PART I, LINE 4a KEMEL DAWKINS RECEIVED A SEVERANCE PACKAGE THAT INCLUDED $600,000 CASH PAYMENT. THE TERMS & CONDITIONS OF THE AGREEMENT DID NOT REQUIRE PARTICIPATION.
SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART I, LINE 4b THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $280,000, ALICE E. GOULD $30,375, ANDERS W. HALL $56,250, SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). VICTOR J. DZAU MD, MICHAEL W. KRZYZEWSKI AND RALPH SNYDERMAN, MD PARTICIPATE IN A PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE, HOWEVER THEY DID NOT RECEIVE ANY PAYMENTS DURING THE REPORTING PERIOD.
Schedule J (Form 990) 2010

Additional Data


Software ID:  
Software Version:  
Schedule K
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Information on Tax Exempt Bonds
SchKMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,
explanations, and any additional information in Schedule O (Form 990).
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
OMB No. 1545-0047
2010
Open to Public
Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number
56-0532129
Part I
Bond Issues
(a) Issuer Name (b) Issuer EIN (c) CUSIP # (d) Date Issued (e) Issue Price (f) Description of Purpose (g) Defeased (h) On
Behalf of
Issuer 		(i) Pool
financing
Yes No Yes No Yes No
A NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GCF3 06-24-2005 216,311,656 SEE SCHEDULE O   X   X   X
B NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GDR6 11-02-2006 397,964,337 SEE SCHEDULE O   X   X   X
C NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GES3 01-09-2007 128,278,030 SEE SCHEDULE O   X   X   X
D NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GFT0 02-25-2009 252,585,252 SEE SCHEDULE O   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired. . . . . 5,275,000 5,275,000    
2 Amount of bonds defeased . . . .        
3 Total proceeds of issue . . . . 220,394,024 405,128,364 128,278,030 253,146,208
4 Gross proceeds in reserve funds . .        
5 Capitalized interest from proceeds. 8,738,412 8,814,929   5,953,069
6 Proceeds in refunding escrow. . . . . 69,239,409 262,529,247 127,234,526 109,568,000
7 Issuance costs from proceeds . . . 1,647,641 2,807,772 1,043,504 2,182,146
8 Credit enhancement from proceeds.        
9 Working capital expenditures from proceeds . . 236,035      
10 Capital expenditures from proceeds . . 140,532,528 130,976,419   122,514,565
11 Other spent proceeds . .        
12 Other unspent proceeds. . . 12,928,428     12,928,428
13 Year of substantial completion . . . 2007 2008 2004
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? X   X   X X    
15 Were the bonds issued as part of an advance refunding issue?   X X   X     X
16 Has the final allocation of proceeds been made? . . X   X   X     X
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . X   X   X   X  
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . .   X   X   X   X
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . .   X   X   X   X
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2010
Schedule K (Form 990) 2010
Page 2
Part III
Private Business Use (Continued)
A B C D
Yes No Yes No Yes No Yes No
3a Are there any management or service contracts that may result in private business use? X   X   X   X  
b Are there any research agreements that may result in private business use of bond-financed property? . . X   X   X   X  
c Does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts or research agreements relating to the financed property? . X   X   X   X  
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . . . . . . . . . . . . SchKMediumBullet 0 % 0.320 % 0 % 0.010 %
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . SchKMediumBullet 0 % 0 % 0 % 0 %
6 Total of lines 4 and 5 . . .. . . . . . 0 % 0.320 % 0 % 0.010 %
7 Has the organization adopted management practices and procedures to ensure the post-issuance compliance of its tax-exempt bond liabilities? X   X   X   X  
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has a Form 8038-T, Arbitrage Rebate, Yield Reduction and Penalty in Lieu of Arbitrage Rebate, been filed with respect to the bond issue? . . .   X   X   X   X
2 Is the bond issue a variable rate issue?   X   X   X   X
3a Has the organization or the governmental issuer entered into a hedge with respect to the bond issue?   X   X   X   X
b Name of provider .  
  		 
  		 
  		 
 
c Term of hedge . .        
d Was the hedge superintegrated? .                
e Was a hedge terminated? .                
4a Were gross proceeds invested in a GIC? . X   X     X   X
b Name of provider . MORGAN STANLEY & CO
  		MORGAN STANLEY & CO
  		 
  		 
 
c Term of GIC . . 1.8 1.9    
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . X     X        
5 Were any gross proceeds invested beyond an available temporary period? . X     X   X   X
6 Did the bond issue qualify for an exception to rebate? . . .   X X   X     X
Schedule K (Form 990) 2010

Schedule K (Form 990) 2010
Page 3
Part V
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
SEE SCHEDULE O FOR ADDITIONAL DETAIL    
Schedule K (Form 990) 2010

Additional Data


Software ID:  
Software Version:  

Schedule L
(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Transactions with Interested Persons
MediumBullet Complete if the organization answered
"Yes" on Form 990, Part IV, lines 25a, 25b, 26, 27, 28a, 28b, or 28c,
or Form 990-EZ, Part V lines 38a or 40b.
MediumBullet Attach to Form 990 or Form 990-EZ. MediumBulletSee separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Excess Benefit Transactions (section 501(c)(3) and section 501 (c)(4) organizations only).
Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b.
1(a) Name of disqualified person (b) Description of transaction (c) Corrected?
Yes No





2
Enter the amount of tax imposed on the organization managers or disqualified persons during the year under section 4958. ......................... Bullet Image$
 
3
Enter the amount of tax, if any, on line 2, above, reimbursed by the organization ....... Bullet Image$
 

Part II
Loans to and/or From Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 26, or Form 990-EZ, Part V, line 38a.
(a) Name of interested person and purpose (b) Loan to or from the organization? (c)Original principal amount (d)Balance due (e) In default? (f) Approved by board or committee? (g)Written agreement?
To From Yes No Yes No Yes No
Total ...............Small Bullet $  
Part III
Grants or Assistance Benefitting Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 27.
(a) Name of interested person (b)Relationship between interested person and the organization (c)Amount of grant or type of assistance
(1) 3 RECIPIENTS GRANT SELECTION COMM. MEMBER 405,186
(2) 7 RECIPIENTS GRANT SELECTION COMM. MEMBER 362,000
(3) 1 RECIPIENT TRUSTEE 4,000
For Privacy Act and Paperwork Reduction Act Notice, see the
Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2010
Schedule L (Form 990 or 990-EZ) 2010
Page 2
Part IV
Business Transactions Involving Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 28a, 28b, or 28c.
(a) Name of interested person (b) Relationship between interested person and the organization (c) Amount of transaction (d) Description of transaction (e) Sharing of organization's revenues?
Yes No
(1) CYNTHIA BRODHEAD FAMILY MEM OF PRESIDENT 132,500 SALARY PAID   No
(2) CHRISTOPHER GERGEN FAMILY MEMBER OF TRUSTEE 31,150 SALARY PAID   No
(3) BRIGHT HORIZONS DIRECTOR IS TRUSTEE 362,470 PAYMENT FOR GOODS OR SERVICES   No
(4) BERNARD MATHEY-PREVOT FAMILY MEMBER OF KEY EMP 139,725 SALARY PAID   No
(5) PEPSI CO DIRECTOR IS OFFICER 226,507 PAYMENT FOR GOODS OR SERVICES   No
(6) LORI LEACHMAN FAMILY MEMBER OF OFFICER 73,800 SALARY PAID   No
(7) DEBORAH JAKUBS FAMILY MEMBER OF KEY EMP 260,000 SALARY PAID   No
(8) FELTON CAPEL FAMILY MEMBER OF TRUSTEE 14,736 SALARY PAID   No
(9) GENZYME DIRECTOR IS OFFICER 149,120 PAYMENT FOR GOODS OR SERVICES   No
(10) JULIETTE TRASK FAMILY MEMBER OF OFFICER 65,352 SALARY PAID   No
(11) HINES GLOBAL OFFICER IS TRUSTEE 7,735,361 PAYMENT FOR GOODS OR SERVICES   No
Part V
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule L (see instructions).
Identifier Return Reference Explanation
Schedule L (Form 990 or 990-EZ) 2010

Additional Data


Software ID:  
Software Version:  




SCHEDULE M
(Form 990)

Department of the Treasury
Internal Revenue Service
NonCash Contributions
Right pointing arrow large imageComplete if the organization answered "Yes" on Form 990, Part IV, lines 29 or 30.
Right pointing arrow large image Attach to Form 990.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Types of Property
(a)
Check if applicable 		(b)
Number of Contributions or items contributed 		(c)
Contribution amounts reported on
Form 990, Part VIII, line 1g 		(d)
Method of determining
contribution amounts
1 Art—Works of art .... X 18 327,392 FMV
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications .. X 29,441 FMV
5 Clothing and household
goods ....... 		     
6 Cars and other vehicles ..        
7 Boats and planes ....        
8 Intellectual property ...        
9 Securities—Publicly traded . X 524 15,022,431 FMV
10 Securities—Closely held stock .        
11 Securities—Partnership, LLC,
or trust interests .... 		       
12 Securities—Miscellaneous ..        
13 Qualified conservation
contribution—Historic
structures ..... 		       
14 Qualified conservation
contribution—Other ... 		       
15 Real estate—Residential . X 1 40,000 FMV
16 Real estate—Commercial ..        
17 Real estate—Other ...        
18 Collectibles .....        
19 Food inventory ...        
20 Drugs and medical supplies .        
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( RECREATIONAL EVENT TICKETS ) X 1,811 292,809 FMV
26 Other Right pointing arrow large image ( MISCELLANEOUS ) X 122 39,300 FMV
27 Other Right pointing arrow large image ( EQUIPMENT & ELECTRONICS ) X 11 1,045,634 FMV
28 Other Right pointing arrow large image ( ARCHIVED MATERIALS ) X 48 371,879 FMV
29
Number of Forms 8283 received by the organization during the tax year for contributions
for which the organization completed Form 8283, Part IV, Donee Acknowledgement ...
29
13
Yes
No
30a
During the year, did the organization receive by contribution any property reported in Part I, lines 1-28 that it
must hold for at least three years from the date of the initial contribution, and which is not required to be used
for exempt purposes for the entire holding period? ..................
30a
 
No
b
If "Yes," describe the arrangement in Part II.
31
Does the organization have a gift acceptance policy that requires the review of any non-standard contributions?
31
Yes
 
32a
Does the organization hire or use third parties or related organizations to solicit, process, or sell non-cash
contributions? ............................
32a
Yes
 
b
If "Yes," describe in Part II.
33
If the organization did not report revenues in column (c) for a type of property for which column (a) is checked,
describe in Part II.
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 51227J
Schedule M (Form 990) 2010
Schedule M (Form 990) 2010
Page 2
Part II
Supplemental Information. Complete this part to provide the information required by Part I, lines 30b,
32b, and 33. Also complete this part for any additional information.
Identifier Return Reference Explanation
USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART 1, LINE 32B DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASSIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES.
Schedule M (Form 990) 2010
Additional Data


Software ID:  
Software Version:  
SCHEDULE O
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Supplemental Information to Form 990 or 990-EZ

Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.
MediumBullet Attach to Form 990 or 990-EZ.
OMB No. 1545-0047
2010
Open to Public
Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Identifier Return Reference Explanation
UNRELATED BUSINESS GROSS INCOME FORM 990, PART V, LINE 3b THE ORGANIZATION DID NOT HAVE UNRELATED BUSINESS GROSS INCOME OF $1,000 OR MORE DURING THE FISCAL YEAR ENDING JUNE 30, 2011. THEREFORE, FORM 990-T IS NOT REQUIRED FOR THE FISCAL YEAR ENDING JUNE 30, 2011.
BUSINESS RELATIONSHIPS PART VI, SECTION A, LINE 2 TRUSTEES BRUCE A. KARSH, G. RICHARD WAGONER, JR., PRESIDENT RICHARD H. BRODHEAD, EXECUTIVE VICE PRESIDENT TALLLMAN TRASK III, AND CHIEF INVESTMENT OFFICER NEAL F. TRIPLETT ARE ALL DIRECTORS OF DUMAC, LLC. TRUSTEE DR. VICTOR J. DZAU AND OFFICER PAMELA J. BERNARD ARE BOTH DIRECTORS OF DURHAM CASUALTY COMPANY, LTD. TRUSTEE DR. VICTOR J. DZAU AND KEY EMPLOYEE J. SCOTT GIBSON ARE BOTH DIRECTORS OF DUKE MEDICAL STRATEGIES, INC.
ELECTION OF GOVERNING BODY MEMBERS PART VI, SECTION A, LINE 7A OF THE 36 ELECTED TRUSTEES FOR DUKE UNIVERSITY, TWELVE ARE ELECTED BY THE NORTH CAROLINA CONFERENCE OF THE UNITED METHODIST CHURCH AND ANOTHER TWELVE ARE ELECTED BY THE WESTERN NORTH CAROLINIA CONFERENCE OF THE UNITED METHODIST CHURCH.
REVIEW OF 990 BY BOARD PART VI, SECTION B, LINE 11B DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT COMMITTEE OF THE UNIVERSITY TRUSTEES IN ADVANCE OF THE MEETING. AT THE MEETING, THE DUKE UNIVERSITY TAX DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, REVIEWS THE FORM 990 WITH THE COMMITTEE. THE COMMITTEE IS OFFERED AN OPPORTUNITY TO ASK QUESTIONS BOTH AT THE MEETING AND ANYTIME THEREAFTER BY CONTACTING THE TAX DIRECTOR OR DUKE UNIVERSITY'S TAX ATTORNEY, WHO IS ALSO INVOLVED WITH THE PREPARATION OF DUKE UNIVERSITY'S FORM 990. SUBSQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER.
CONFLICT OF INTEREST POLICY PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY.
COMPENSATION REVIEW PART VI, SECTION B, LINE 15A & 15B AND SCHEDULE J, LINE 3 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING.
GOVERNING DOCUMENTS AVAILABILITY TO PUBLIC PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS.PDF
AVERAGE HOURS PER WEEK DEVOTED TO RELATED ORGANIZATIONS FORM 990, PART VII, SECTION A, COLUMN B THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO DUKE UNIVERSITY HEALTH SYSTEM, INC. (A RELATED ORGANIZATION OF DUKE UNIVERSITY): THE HONORABLE DANIEL T. BLUE, JR, JACK O. BOVENDER, JR, FRANK E. EMORY, JR, THOMAS M. GORRIE, SUSAN M. STALNECKER, AND NANCY C. ANDREWS MD. RICHARD H. BRODHEAD DEVOTED AN ESTIMATED AVERAGE OF TEN (10) HOURS PER WEEK TO DUKE UNIVERSITY HEALTH SYSTEM, INC. (A RELATED ORGANIZATION OF DUKE UNIVERSITY). VICTOR J. DZAU MD, DEVOTED AN ESTIMATED AVERAGE OF FORTY (40) HOURS PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY HEALTH SYSTEM, INC. B. HOFLER MILAM, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, HIGH POINT REALTY ASSOCIATES, INC. B. HOFLER MILAM, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DURHAM REALTY, INC. BRUCE A. KARSH AND NEAL F. TRIPLETT, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MANAGEMENT COMPANY. ANN PELHAM AND TALLMAN TRASK, III, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE ALUMNI ASSOCIATION, INC. TALLMAN TRASK, III, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, THE FSB SUPPORT FUND, INC. B. HOFLER MILAM, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE GIFT PROPERTIES, INC. B. HOFLER MILAM AND JAMES S. ROBERTS, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE SCHOLARLY EXHIBITS, INC. J. SCOTT GIBSON, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DURHAM ASSET MANAGEMENT COMPANY, INC. KIMBERLY J. JENKINS, PETER LANGE, AND MARTHA L. MONSERRATE, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, THE LORD FOUNDATION OF NORTH CAROLINA. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE GLOBAL, INC.: PETER LANGE, TALLMAN TRASK, III, B. HOFLER MILAM, JAMES S. ROBERTS, AND J. SCOTT GIBSON. NEAL F. TRIPLETT, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, RELATED ORGANIZATION, DUKE UNIVERSITY SPECIAL VENTURES FUND, INC. NEAL F. TRIPLETT, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, GOTHIC CORPORATION AND GOTHIC HSP CORPORATION. RALPH SNYDERMAN MD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, RUTH K BROAD BIOMEDICAL RESEARCH FOUNDATION. PETER LANGE AND TALLMAN TRASK, III, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE CORPORATE EDUCATION. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY SCHOOL OF MEDICINE RESEARCH FOUNDATION: VICTOR J. DZAU MD, J. SCOTT GIBSON, AND NANCY C. ANDREWS MD. PETER LANGE, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, RESEARCH TRIANGLE INSTITUTE. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MEDICINE GLOBAL SUPPORT CORPORATION: THOMAS M. GORRIE, VICTOR J. DZAU MD, TALLMAN TRASK, III, AND J. SCOTT GIBSON. JAMES S. ROBERTS, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, THE CENTER FOR DOCUMENTARY STUDIES, INC. VICTOR J. DZAU MD, AND J. SCOTT GIBSON, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MEDICAL STRATEGIES, INC. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUMAC, LLC: G. RICHARD WAGONER, RICHARD H. BRODHEAD, BRUCE A. KARSH, TALLMAN TRASK, III, AND NEAL F. TRIPLETT. RICHARD H. BRODHEAD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, ATLANTIC COAST CONFERENCE. VICTOR J. DZAU MD, AND PAMELA J. BERNARD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DURHAM CASUALTY COMPANY, LTD. VICTOR J. DZAU MD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DAVID H. MURDOCK RESEARCH INSTITUTE.
CHANGES IN NET ASSETS OR FUND BALANCES FORM 990, PART XI, LINE 5 UNREALIZED GAINS $ 978,068,485 CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS 111,608,000 NONPERIODIC CHANGES IN BENEFIT PLANS 99,563,000 TRANSFER FROM DUHS 51,000,000 CHANGES RELATED TO MINORITY INTEREST 317,713,000 OTHER CHANGES (4,624,540) ============== $1,553,330,945
TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART 1(C) CUSIP NUMBER OF TAX-EXEMPT BONDS BOND ISSUE (C): FORM 8038 LISTS THE CUSIP NUMBER AS 65819GEQ7, 65819GER5, 65819GES3. ALL CUSIPS HAVE THE SAME MATURITY DATE. BOND ISSUE (A2): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 6/16/2011 AND ONLY CUSIP 65818NQG2 WAS OUTSTANDING AS OF 6/30/2011 UNDER THE NEW ISSUE.
TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART 1(E) BOND ISSUE (A2): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($375,677,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($21,038,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM.
TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART 1(F) PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND $69,038,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED MARCH 17, 2005 TO PROVIDE INTERIM FINANCING FOR CONSTRUCTING AND EQUIPPING FOUR PROJECTS LOCATED ON THE WEST CAMPUS OF DUKE UNIVERSITY (2005A PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2005A PROJECTS. BOND ISSUE (B): TO (1) REFUND THE OUTSTANDING 1996B BONDS ISSUED 7/9/1996, (2) REFUND A PORTION OF THE 2001A BONDS ISSUED 1/8/2002, (3) REFUND $92,699,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 9/18/2006 AND $3,260,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 20 PROJECTS LOCATED ON THE WEST AND EAST CAMPUS OF DUKE UNIVERSITY (2006A PROJECTS), AND (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF COST OF CONSTRUCTING AND EQUIPPING THE 2006A PROJECTS. BOND ISSUE (C): TO REFUND THE OUTSTANDING 2002A BONDS ISSUED 7/30/2002. BOND ISSUE (D): TO (1) REFUND $104,184,000 AGGREGATE PRINCIPAL OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 5/13/2008 AND $5,384,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 28 PROJECTS LOCATED ON WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY (2009B PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2009B PROJECTS. BOND ISSUE (E): COMMERCIAL PAPER PROGRAM, THE PURPOSES OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 12/15/2009, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY
TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART II, LINE 13 BOND ISSUE (D): NO YEAR IS PROVIDED AT THIS TIME, BECAUSE NOT ALL PROJECTS ARE SUBSTANTIALLY COMPLETE. BOND ISSUE (A2): NO YEAR IS PROVIDED AT THIS TIME, BECAUSE NOT ALL PROJECTS ARE SUBSTANTIALLY COMPLETE.
TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART IV LINE 4D BOND ISSUE (B): ONLY TWO BIDS WERE RECEIVED FROM SIX PROVIDERS SOLICITED. LINE 6 BOND ISSUE (A2): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED.
ORGANIZATION'S MISSION FORM 990, PART III, LINE 1 "JAMES B. DUKE FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION;' AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO."
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2010

Additional Data


Software ID:  
Software Version:  
SCHEDULE R
(Form 990)
Department of the Treasury
Internal Revenue Service
Related Organizations and Unrelated Partnerships
MediumBulletComplete if the organization answered "Yes" to Form 990, Part IV, line 33, 34, 35, 36, or 37.
MediumBulletAttach to Form 990. MediumBullet See separate instructions.

OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Identification of Disregarded Entities (Complete if the organization answered "Yes" on Form 990, Part IV, line 33.)
(a)
Name, address, and EIN of disregarded entity


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Total income
(e)
End-of-year assets


 		(f)
Direct controlling
entity







(1) DUKE UK TRUST LIMITED
ALDER CASTLE 10 NOBLE
  LONDONEC2V 7QJ
UK
98-0555714 		DEVELOPMENT UK 508,353 129,313 NA
 










Part II
Identification of Related Tax-Exempt Organizations (Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related tax-exempt organizations during the tax year.)
(a)
Name, address, and EIN of related organization


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Exempt Code section
(e)
Public charity status
(if section 501(c)(3))

 		(f)
Direct controlling
entity

 		(g)
Section 512(b)(13) controlled organization
Yes No
(1) AMERICAN ASSOCIATION FOR GIFTED CHILDREN

324 BLACKWELL STREET STE 920

DURHAM,NC27701
56-1686219 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(2) DUKE SCHOLARLY EXHIBITS INC

324 BLACKWELL STREET STE 920

DURHAM,NC27701
56-1701245 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(3) DUKE ALUMNI ASSOCIATION INC

614 CHAPEL DRIVE

DURHAM,NC27708
56-1594088 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(4) DUKE GIFT PROPERTIES INC

324 BLACKWELL STREET STE 920

DURHAM,NC27701
57-1211078 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(5) DUKE MANAGEMENT COMPANY

280 S MANGUM STREET STE 210

DURHAM,NC27701
56-1748858 		INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(6) DUKE GLOBAL INC

324 BLACKWELL STREET STE 920

DURHAM,NC27701
61-1588319 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(7) DUKE UNIVERSITY PHILANTHROPIES INC

324 BLACKWELL STREET STE 920

DURHAM,NC27701
57-1211099 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(8) DUKE UNIV SCH OF MED RESEARCH FOUNDATION

324 BLACKWELL STREET STE 920

DURHAM,NC27701
56-2247203 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(9) DUKE UNIV SPECIAL VENTURES FUND INC

280 S MANGUM STREET STE 210

DURHAM,NC27701
56-1465177 		INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(10) DURHAM ASSET MANAGEMENT COMPANY INC

324 BLACKWELL STREET STE 920

DURHAM,NC27701
56-1757238 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(11) DURHAM REALTY INC

324 BLACKWELL STREET STE 920

DURHAM,NC27701
56-1917936 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(12) THE FSB SUPPORT FUND

324 BLACKWELL STREET STE 920

DURHAM,NC27701
56-1849290 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(13) GOTHIC CORPORATION

280 S MANGUM STREET STE 210

DURHAM,NC27701
56-1776668 		INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(14) HIGH POINT REALTY ASSOCIATES INC

324 BLACKWELL STREET STE 920

DURHAM,NC27701
56-1917939 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(15) THE LORD FOUNDATION OF NORTH CAROLINA

305 TEER BLDG

DURHAM,NC27708
56-1415423 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(16) RUTH K BROAD BIOMEDICAL RES FOUNDATION

324 BLACKWELL STREET STE 920

DURHAM,NC27701
65-0045051 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(17) DUKE HOSPITAL AUXILIARY INC

PO BOX 2895

DURHAM,NC27710
56-1825604 		SUPPORT NC 501(C)(3) 11 TYPE III NA
 
 
 
(18) DUKE MEDICINE GLOBAL SUPPORT CORP

324 BLACKWELL STREET STE 920

DURHAM,NC27701
61-1593721 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(19) THE CENTER FOR DOCUMENTARY STUDIES

1317 PETTIGREW STREET

DURHAM,NC27705
56-1655039 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(20) DUKE UNIVERSITY HEALTH SYSTEM INC

615 DOUGLAS ST

DURHAM,NC27705
56-2070036 		HEALTHCARE NC 501(C)(3) 3 DUKE UNIV
 
 
 
(21) DUKE CORPORATE EDUCATION

310 BLACKWELL ST

DURHAM,NC27701
42-1672476 		EDUCATION NC 501(C)(3) 11 TYPE 1 DUKE UNIV
 
 
 
(22) ANGIER B DUKE MEMORIAL INC

100 NORTH TRYON ST

CHARLOTTE,NC28202
13-6113895 		SCHOLARSHIPS NC 501(C)(3) 11 TYPE III DU ENDOWMENT
 
 
 
(23) NANALINE H DUKE TRUST

100 NORTH TRYON STREET

CHARLOTTE,NC28202
23-7270511 		MED. SUPPORT NY 501(C)(3) 11 TYPE III DU ENDOWMENT
 
 
 
(24) GOTHIC HSP CORPORATION

280 S MANGUM STREET STE 210

DURHAM,NC27701
27-1325761 		INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUHS INC
 
 
 
(25) DAVID H MURDOCK RESEARCH INSTITUTE

150 RESEARCH CAMPUS DR

KANNAPOLIS,NC28081
20-8730759 		RESEARCH NC 501(C)(3) 11 TYPE 1 NA
 
 
 
(26) RESEARCH TRIANGLE INSTITUTE

PO BOX 12194

RTP,NC27709
56-0686338 		RESEARCH NC 501(C)(3) 11 TYPE III NA
 
 
 
(27) ATLANTIC COAST CONFERENCE

PO DRAWER ACC

GREENSBORO,NC27417
56-0599082 		ATHLETIC NC 501(C)(3) 11 TYPE 1 NA
 
 
 
(28) THE PRIESTER FOUNDATION

713 CRESCENT AVENUE

GREENVILLE,SC296014349
31-1568201 		SUPPORT SC 501(C)(3) 11 TYPE III NA
 
 
 
(29) KATHRINE R EVERETT CHARITABLE

PO BOX 3001

DURHAM,NC27715
56-6473809 		SUPPORT NC 501(C)(3) 11 TYPE 1 NA
 
 
 
(30) C A CANNON CHAR TRUST NO 3

1525 W WT HARRIS BLVD D1114

CHARLOTTE,NC282881161
58-1360259 		SUPPORT NC 501(C)(3) 11 TYPE III NA
 
 
 
(31) SMITHSHAVER LAW SCHOOL SCHOLARSHIP FUND

ONE WEST FOURTH ST STE 1200

WINSTONSALEM,NC27101
20-2749954 		SCHOLARSHIPS NC 501(C)(3) 11 TYPE 1 NA
 
 
 
(32) DUKE UNIVERSITY AFFILIATED PHYSICIANS

615 DOUGLAS STREET SUITE 700

DURHAM,NC27705
56-1902501 		HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUHS INC
 
 
 
(33) ASSOCIATED HEALTH SERVICES INC

615 DOUGLAS STREET SUITE 700

DURHAM,NC27705
56-1845329 		HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUHS INC
 
 
 
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2010
Schedule R (Form 990) 2010
Page 2
Part III
Identification of Related Organizations Taxable as a Partnership (Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a partnership during the tax year.)
(a)
Name, address, and EIN of
related organization



 		(b)
Primary activity




 		(c)
Legal
domicile
(state or foreign
country)


 		(d)
Direct controlling
entity



 		(e)
Predominant income(related, unrelated, excluded from tax under sections 512-514)

(f)
Share of total income




 		(g)
Share of end-of-year
assets



 		(h)
Disproprtionate allocations?




 		(i)
Code V—UBI
amount in box 20 of
Schedule K-1
(Form 1065)
 		(j)
General or
managing
partner?



 		(k)
Percentage
ownership
Yes No Yes No
(1) DUMAC LLC

S MANGUM ST
DURHAM,NC27701
65-1319939 		INVESTMENTS NC DUKE UNIVERSITY
  		INVESTMENTS-EXCLUDED -290,969 2,138,223   No 0 Yes   74.390 %
(2) CD FUND LP

MCKINNEY AVE
DALLAS,TX75201
27-0130641 		INVESTMENTS TX NA
  		N/A                
(3) DREVER OPP FUND LP

PORTWEST DR
HOUSTON,TX77024
54-2063549 		INVESTMENTS TX NA
  		N/A                
(4) LIQUID REALTY PTR

MONTG ST
SAN FRANC,CA94104
05-0537755 		INVESTMENTS DE NA
  		N/A                
(5) BLACKWELL PTR LLC

S MANGUM ST
DURHAM,NC27701
20-8075455 		INVESTMENTS GA NA
  		N/A                
(6) GMO FORESTRY 6-B LP

ROWES WHARF
BOSTON,MA02110
48-1294791 		INVESTMENTS DE NA
  		N/A                
(7) CANYON BLUE INV FD

AVE OF STARS
LA,CA90067
27-0186996 		INVESTMENTS DE NA
  		N/A                
(8) SBER LUCKY STRIKE

BLACKWELL ST
DURHAM,NC27701
20-3891303 		REAL ESTATE NC NA
  		N/A                
(9) OCTAVIAN BLUE FD LP

650 MADISON AVE
NY,NY10022
27-2408711 		INVESTMENTS DE NA
  		N/A                
(10) TAIYO BLUE FUND LP

CARILLON
KIRKLAND,WA98033
80-0613746 		INVESTMENTS DE NA
  		N/A                
(11) LYRICAL BLUE RL PTR

N DEAN ST
ENGLEWOOD,NJ07631
27-2994514 		INVESTMENTS DE NA
  		N/A                
Part IV
Identification of Related Organizations Taxable as a Corporation or Trust (Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.)
(a)
Name, address, and EIN of related organization



 		(b)
Primary activity



 		(c)
Legal domicile
(state or
foreign
country)
 		(d)
Direct controlling
entity


 		(e)
Type of entity
(C corp, S corp,
or trust)

 		(f)
Share of total income



 		(g)
Share of
end-of-year
assets

 		(h)
Percentage
ownership
(1) DUKE MEDICAL STRATEGIES INC
324 BLACKWELL STREET STE 920
DURHAM,NC27701
56-1993799 		HEALTHCARE NC DUKE UNIV
  		C CORP 17,486 196,114 100.000 %
(2) COLCHESTER ALPHA FUND (BERMUDA) LTD
54-62 TOWNSEND ST
DUBLIN,IRELAND,2,
EI
INVESTMENTS BD NA
  		C CORP      
(3) COLCHESTER BETA THREE FUND LTD
CENTURY HOUSE 16 PAR-LA VILLE RD
HAMILTON,BERMUDA,HM HX,
BD
INVESTMENTS BD NA
  		C CORP      
(4) RA CAPITAL HEALTHCARE INTERNATIONAL FUND
PO BOX 309GT UGLAND HOUSE
GEORGETOWN,GRAND CAYMAN,  
CJ
INVESTMENTS CJ NA
  		C CORP      
(5) GOTHIC INTERNATIONAL LTD
113 S CHURCH STREET
QUEENSGATE HOUSE,GRAND CAYMAN,KY1-110,
CJ
INVESTMENTS CJ NA
  		C CORP      
(6) ZAIS MATRIX VI-D LTD
PO BOX 1373GT AALL BUILDING
GEORGETOWN,GRAND CAYMAN,  
CJ
INVESTMENTS CJ NA
  		C CORP      
(7) JOHN & PATRICIA KOSKINEN CLUT
PO BOX 185
PITTSBURGH,PA152300185
56-6532340 		INVESTMENTS PA NA
  		TRUST      
(8) DUKE UNIV QUADRANGLE FUND
PO BOX 185
PITTSBURGH,PA152300185
56-6218971 		INVESTMENTS PA NA
  		TRUST      
(9) DUKE UNIVERSITY TOWER FUND
PO BOX 185
PITTSBURGH,PA152300185
56-6147362 		INVESTMENTS PA NA
  		TRUST      
(10) INDOCHINA LAND INV 3 CORP
DORSET HOUSE TAIKOO PL
979 KINGS RD,HONG KONG,  
HK
INVESTMENTS CJ NA
  		C CORP      
(11) DUSVF EUROPEAN LP
7 CAVENISH SQUARE
LONDON,UNITED KINGDOM,W1G 0PE,
UK
98-0346042 		INVESTMENTS UK NA
  		C CORP      
(12) MARATHON BLUE CAYMAN FUND
REGATTA OFFICE PARK WEST BAY RD
GRAND CAYMAN   KY1-1205,
CJ
INVESTMENTS CJ NA
  		C CORP      
(13) RICHMOND PARTNERS LTD
PO BOX 309
GEORGETOWN,GRAND CAYMAN,BWI,
CJ
INVESTMENTS CJ NA
  		C CORP      
(14) DUKE CORPORATE EDUCATION LIMITED
165 FLEET STREET
LONDON   EC4A 2DY,
UK
42-1672476 		EDU CONSULT UK NA
  		C CORP      
(15) DUKE CORP EDU INDIA PRIVATE
 
 
42-1672476 		CONSULTING IN NA
  		C CORP      
(16) DUKE CORPORATE EDUCATION RSA
 
 
42-1672476 		CONSULTING SF NA
  		C CORP      
(17) DUKE CE LS INC
310 BLACKWELL STREET
DURHAM,NC27701
20-2004016 		REAL ESTATE NC NA
  		C CORP      
(18) DUKE GLOBAL CONSULTING (KUNSHAN)
1666 WEI CHEN NAN RD
KUNSHAN PR,KUNSHAN,215300,
CH
CONSULTING CH NA
  		C CORP      
(19) DUKE MEDICINE ASIA PTE LTD
5 SHENTON WAY 07-00 UIC BLD
SINGAPORE   0688,
SN
MEDICAL RESEARCH SN NA
  		C CORP      
(20) HEALTH SYSTEM MEDICAL STRATEGIES INC
615 DOUGLAS STREET SUITE 700
DURHAM,NC27705
56-2222444 		HEALTHCARE NC NA
  		C CORP      
(21) DURHAM CASUALTY COMPANY LTD
AON HOUSE 30 WOODBOURNE AVE
PEMBROKE,BERMUDAHM 08
BD
98-0113277 		INSURANCE BD NA
  		C CORP      
(22) LYRICAL OPPORTUNITY PARTNERS II LTD
45 PARERAWEG PO BOX 4761
CURACAO    
NL
INVESTMENTS CJ NA
  		C CORP      
(23) INDOCHINA LAND HOLDINGS 2 LP
DORSET HOUSE TAIKOO PL 979 KINGS RD
HONG KONG    
HK
INVESTMENTS CJ NA
  		C CORP      
Schedule R (Form 990) 2010
Schedule R (Form 990) 2010
Page 3
Part V
Transactions With Related Organizations (Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35, 35A, or 36.)
Note. Complete line 1 if any entity is listed in Parts II, III or IV.
Yes
No
1 During the tax year, did the orgranization engage in any of the following transactions with one or more related organizations listed in Parts II-IV?
a Receipt of (i) interest (ii) annuities (iii) royalties (iv) rent from a controlled entity . . . . . . . . . . . . . . . . . . . . . . .
1a
 
No
b Gift, grant, or capital contribution to other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1b
Yes
 
c Gift, grant, or capital contribution from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
Yes
 
d Loans or loan guarantees to or for other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
Yes
 
e Loans or loan guarantees by other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
No
f Sale of assets to other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Purchase of assets from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Exchange of assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Lease of facilities, equipment, or other assets to other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
Yes
 
k Performance of services or membership or fundraising solicitations for other organization(s) . . . . . . . . . . . . . . . . . . . . . .
1k
 
No
l Performance of services or membership or fundraising solicitations by other organization(s) . . . . . . . . . . . . . . . . . . . . . .
1l
 
No
m Sharing of facilities, equipment, mailing lists, or other assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1m
Yes
 
n Sharing of paid employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1n
Yes
 
o Reimbursement paid to other organization for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
Yes
 
p Reimbursement paid by other organization for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
Yes
 
q Other transfer of cash or property to other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
Yes
 
r Other transfer of cash or property from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
Yes
 
2
If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.
(a)
Name of other organization 		(b)
Transaction
type(a-r) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) DUKE GIFT PROPERTIES INC

 C 2,578,731  
(2) DURHAM REALTY INC

 C 1,053,912  
(3) DUKE CORPORATE EDUCATION

 J 302,988  
(4) DUKE CORPORATE EDUCATION

 Q 528,211  
(5) DUKE UK TRUST LIMITED

 R 389,216  
(6) DUKE GLOBAL INC

 B 3,357,969  
(7) DUKE MEDICINE GLOBAL SUPPORT CORPORATION

 B 182,766  
(8) HIGH POINT REALTY ASSOCIATES INC

 C 2,712,000  
(9) DUKE SCHOLARLY EXHIBITS INC

 B 85,000  
(10) DURHAM ASSET MANAGEMENT COMPANY INC

 C 5,078,000  
(11) DURHAM ASSET MANAGEMENT COMPANY INC

 B 483,740  
(12) THE LORD FOUNDATION OF NORTH CAROLINA

 C 1,000,000  
(13) RUTH K BROAD BIOMEDICAL RESEARCH FOUNDATION

 C 413,049  
(14) GOTHIC CORPORATION

 C 1,319,466,651  
(15) GOTHIC CORPORATION

 B 970,863,909  
(16) THE CENTER FOR DOCUMENTARY STUDIES

 B 602,530  
(17) DUKE UNIVERSITY SPECIAL VENTURES FUND INC

 B 148,512  
(18) DUKE UNIVERSITY SPECIAL VENTURES FUND INC

 C 19,715,153  
Schedule R (Form 990) 2010
Schedule R (Form 990) 2010
Page 4
Part VI
Unrelated Organizations Taxable as a Partnership (Complete if the organization answered "Yes" on Form 990, Part IV, line 37.)
Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization. See instructions regarding exclusion for certain investment partnerships.
(a)
Name, address, and EIN of entity 		(b)
Primary activity 		(c)
Legal domicile
(state or foreign
country) 		(d)
Are all
partners
section
501(c)(3)
organizations? 		(e)
Share of
end-of-year
assets 		(f)
Disproprtionate allocations? 		(g)
Code V—UBI
amount in box
20 of Schedule K-1
(Form 1065) 		(h)
General or
managing
partner?
Yes No Yes No Yes No






























Schedule R (Form 990) 2010
Schedule R (Form 990) 2010
Page 5
Part VII
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule R (see instructions).
Identifier Return Reference Explanation
DISCLOSURE OF RELATED ENTITIES SCHEDULE R, PART III & PART IV THE ENTITIES REPORTED ON SCHEDULE R, PART III AND IV ARE A RESULT OF THE REPORTING ENTITY'S AND ITS RELATED ORGANIZATIONS' CUMMULATIVE OWNERSHIP PERCENTAGE EXCEEDING FIFTY PRECENT. ONLY THOSE ENTITIES WHERE THE FILING ORGANIZATION HAS DIRECT OWNERSHIP INCLUDE THE DETAILS OF INCOME, ASSETS AND OWNERSHIP PERCENTAGE. PLEASE REFER TO THE SUPPORTING ORGANIZATIONS' FORM 990S FOR MORE DETAILS ON THEIR RESPECTIVE DIRECT OWNERSHIP PERCENTAGE.
Additional Data


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