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 09-01-2010 and ending 08-31-2011
BCheck if applicable:
CName of organization
Northwestern University
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
633 Clark St
 
Room/suite
City or town, state or country, and ZIP + 4
Evanston, IL60208
D Employer identification number

36-2167817
E Telephone number

G Gross receipts $ 3,585,229,624
F Name and address of principal officer:
Eugene Sunshine
633 Clark St
Evanston,IL60208
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
www.northwestern.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: 1851
M State of legal domicile: IL
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: Education and research
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) .... 3 36
4 Number of independent voting members of the governing body (Part VI, line 1b) .... 4 26
5 Total number of individuals employed in calendar year 2010 (Part V, line 2a) ... 5 22,142
6 Total number of volunteers (estimate if necessary) .... 6 0
7a Total unrelated business revenue from Part VIII, column (C), line 12 .. 7a -9,177,342
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) ......... 200,683,218 191,440,295
9 Program service revenue (Part VIII, line 2g) ......... 1,454,577,011 1,545,225,391
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 353,410,782 528,461,744
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 87,667,763 101,051,025
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 2,096,338,774 2,366,178,455
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 279,867,991 310,452,467
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) 849,525,993 901,697,344
16a Professional fundraising fees (Part IX, column (A), line 11e).... 196,264 154,958
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet31,730,985    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24f).... 853,608,939 809,001,977
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 1,983,199,187 2,021,306,746
19 Revenue less expenses. Subtract line 18 from line 12...... 113,139,587 344,871,709
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............ 8,362,828,437 9,335,729,608
21 Total liabilities (Part X, line 26)............ 1,578,804,468 1,527,416,817
22 Net assets or fund balances. Subtract line 21 from line 20 ..... 6,784,023,969 7,808,312,791
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: Northwestern's mission is to provide the highest-quality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises.
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 $ 1,206,573,126 including grants of $ 246,828,794 ) (Revenue $ 945,790,230 )
Education of students: For the 2011 academic year, 8,547 undergraduates and 8,422 graduates and professional school students enrolled full-time at the University. The exempt purpose of Northwestern University is to provide educational services to its students. This includes superior undergraduate education for a diverse student body in a comprehensive range of academic and professional fields. At the graduate level, Northwestern's role encompasses offerings in the major academic and professional fields, closely related to research, creative activities, and clinical services.
4b (Code:   ) (Expenses $ 475,626,000 including grants of $ 63,623,673 ) (Revenue $ 528,848,442 )
Research activities: The research program at Northwestern University is a major component of University efforts, assuring institutional leadership in scientific discovery, intellectual inquiry, and creative performance. The character of this research shapes all areas of University endeavor, especially graduate education as well as undergraduate studies.
4c (Code:   ) (Expenses $ 109,812,000 including grants of $   ) (Revenue $ 75,186,601 )
Auxilliary enterprises serve the educational mission by primarily providing residences and food services, and other various goods and services to support University student, faculty, and staff activities.
4d Other program services. (Describe in Schedule O.)
(Expenses $   including grants of $   ) (Revenue $   )
4e Total program service expensesMediumBullet$ 1,792,011,126
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
Yes
 
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
 
No
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
 
No
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
Yes
 
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
 
No
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
Yes
 
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
 
No
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
 
No
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
 
No
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
Yes
 
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
26,920
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
22,142
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
Yes
 
b
If “Yes,” has it filed a Form 990-T for this year? If “No,” provide an explanation in Schedule O.....
3b
Yes
 
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: MediumBulletNI , QA , UK
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
 
No
d
If “Yes,” indicate the number of Forms 8282 filed during the year ....
7d
 
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
 
No
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?.........
9a
 
No
b
Did the organization make a distribution to a donor, donor advisor, or related person?......
9b
 
No
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
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If “No,” provide an explanation in Schedule O..
14b
 
No
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
36
b
Enter the number of voting members included in line 1a, above, who are independent .................
1b
26
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
 
No
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
 
No
14
Does the organization have a written document retention and destruction policy? .........
14
 
No
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 , KY , ME , MD , MI , NH , NY , OH , 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
Karl Turro Controller
619 Clark St
Evanston,IL60208
(847) 491-4722
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) Peter J Barris
Trustee
 1.00 X           0 0 0
(2) Judith S Block
Trustee
 1.00 X           0 0 0
(3) John A Canning Jr
Trustee
 1.00 X           0 0 0
(4) Nicholas D Chabraja
Trustee
 1.00 X           0 0 0
(5) A Steven Crown
Trustee
 1.00 X           0 0 0
(6) Richard H Dean
Trustee
 1.00 X           0 0 0
(7) Charles W Douglas
Trustee
 1.00 X           0 0 0
(8) D Cameron Findlay
Trustee
 1.00 X           0 0 0
(9) Dennis J FitzSimons
Trustee
 1.00 X           0 0 0
(10) T Bondurant French
Trustee
 1.00 X           0 0 0
(11) Christopher B Galvin
Trustee
 1.00 X           0 0 0
(12) J Douglas Gray
Trustee
 1.00 X           0 0 3,300
(13) Philip L Harris
Trustee
 1.00 X           0 0 0
(14) Jay C Hoag
Trustee
 1.00 X           0 0 0
(15) Ellen Philips Katz
Trustee
 1.00 X           0 0 0
(16) Lester B Knight
Trustee
 1.00 X           0 0 0
(17) Timothy K Krauskopf
Trustee
 1.00 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) Edward M Liddy
Trustee
 1.00 X           0 0 0
(19) Ann Lurie
Trustee
 1.00 X           0 0 0
(20) J Landis Martin
Trustee
 1.00 X           0 0 0
(21) Lee M Mitchell
Trustee
 1.00 X           0 0 0
(22) William A Osborn
Trustee
 1.00 X           0 0 0
(23) Jane DiRenzo Pigott
Trustee
 1.00 X           0 0 0
(24) JB Pritzker
Trustee
 1.00 X           0 0 0
(25) M Jude Reyes
Trustee
 1.00 X           0 0 0
(26) Patrick G Ryan
Trustee
 1.00 X           0 0 0
(27) Patrick G Ryan Jr
Trustee
 1.00 X           0 0 0
(28) Paul L Sagan
Trustee
 1.00 X           0 0 0
(29) William E Sagan
Trustee
 1.00 X           0 0 0
(30) D Gideon Searle
Trustee
 1.00 X           0 0 0
(31) Andrew E Senyei MD
Trustee
 1.00 X           0 0 0
(32) Benjamin W Slivka
Trustee
 1.00 X           0 0 0
(33) Timothy P Sullivan
Trustee
 1.00 X           0 0 0
(34) David B Weinberg
Trustee
 1.00 X           0 0 0
(35) Miles D White
Trustee
 1.00 X           0 0 0
(36) William Wrigley Jr
Trustee
 1.00 X           0 0 0
(37) Morton O Schapiro
President
 40.00     X       909,426 0 346,227
(38) Daniel I Linzer
Provost
 40.00     X       453,951 0 47,697
(39) Eugene S Sunshine
Senior VP for Business
 40.00     X       777,842 0 39,527
(40) William J Banis
VP Student Affairs
 40.00     X       216,670 0 37,513
(41) Thomas G Cline
VP and General Counsel
 40.00     X       422,576 0 41,245
(42) Alan K Cubbage
VP University Relations
 40.00     X       234,159 0 24,371
(43) Jeffrey Glassroth
Interim VP Medical Affairs
 5.00     X       80,097 836,504 57,509
(44) J Larry Jameson
VP for Medical Affairs and
 30.00     X       735,261 727,845 83,305
(45) Marilyn McCoy
VP for Administration
 40.00     X       247,943 0 41,497
(46) William H McLean
VP and Chief Investment Of
 40.00     X       1,070,918 0 153,583
(47) Robert E McQuinn
VP for Development
 40.00     X       97,364 0 16,555
(48) Sarah Risley Pearson
VP for Development
 40.00     X       359,884 0 48,423
(49) Sean Reynolds
VP Information Technology
 0.00     X       0 0 0
(50) Patricia Telles-Irvin
VP Student Affairs
 0.00     X       0 0 0
(51) Patricia H Todus
Interim VP Information Technology
 40.00     X       246,212 0 48,404
(52) Joseph T Walsh Jr
VP for Research
 40.00     X       263,785 0 83,351
(53) Jeffrey C Miller
Vice Dean,COO Medical Sch
 40.00       X     721,602 0 31,708
(54) Ronald Nayler
Assoc.VP Facilities Mgmnt
 40.00       X     306,229 0 43,171
(55) Patrick M McCarthy
Professor, Medical School
 6.00         X   188,096 1,796,058 60,535
(56) H Huntington Batjer
Professor, Medical School
 6.00         X   125,592 1,123,501 65,328
(57) Patrick W Fitzgerald II
Head Coach
 40.00         X   1,234,566 0 46,185
(58) Murad Alam
Asst.Professor,Medical S
 .20         X   3,000 1,180,111 38,198
(59) Steven T Rosen
Professor, Medical School
 50.00         X   963,349 202,158 63,666
(60) Morteza A Rahimi
Former VP Information Technology
 40.00           X 489,147 0 39,289
(61) Lewis Landsberg
Former VP Medical Affairs
 48.00           X 237,510 58,786 50,578
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 10,385,179 5,924,963 1,511,165
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 in reportable compensation from the organizationMediumBullet1,624
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
LBR Consolidated Services
440 Bonner Rd
Wauconda,IL60084 		Custodial services 8,453,633
Encap Energy Fund
11100 Louisiana Ste 3150
Houston,TX77002 		Investment management 3,823,335
Carmichael Lynch Inc
110 North Fifth St
Minneapolis,MN55403 		Media services 3,286,085
Bridgewater Associates
One Glendinning Place
Westport,CT06880 		Investment management 2,703,774
Family Institute
618 Library Place
Evanston,IL60608 		Instruction services 1,812,213
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 in compensation from the organization MediumBullet438
Form 990 (2010)
Form 990 (2010)
Page 9
Part VIII
Statement of Revenue
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512, 513, or 514
Contributions, gifts, grants and other similar amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 1,506,145
d Related organizations...1d  
e Government grants (contributions)1e 10,046,347
f All other contributions, gifts, grants, and
similar amounts not included above1f 		179,887,803
g Noncash contributions included in lines 1a-1f:$ 27,878,314
h Total. Add lines 1a-1f.......MediumBullet 191,440,295
Program Service Revenue Business Code
2a Tuition and fees 900,099 767,939,280 767,939,280    
b Research activities 900,099 528,848,442 528,848,442    
c Educational activities 900,099 119,558,651 119,558,651    
d Auxilliary enterprises 900,099 75,186,601 75,186,601    
e Medical departments 900,099 29,371,569 29,371,569    
f All other program service revenue . 24,320,848 24,320,848    
g Total. Add lines 2a–2f........MediumBullet 1,545,225,391
Other Revenue 3 Investment income (including dividends, interest
and other similar amounts).....MediumBullet 144,214,536 4,599,882   139,614,654
4 Income from investment of tax-exempt bond proceeds..MediumBullet        
5 Royalties............MediumBullet 105,496,887     105,496,887
(i) Real (ii) Personal
6a Gross Rents 6,548,028  
b Less: rental expenses 2,195,902  
c Rental income or (loss) 4,352,126  
d Net rental income or (loss).......MediumBullet 4,352,126     4,352,126
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 764,440,736 836,367,866
b Less: cost or other basis and sales expenses 637,079,881 579,481,513
c Gain or (loss) 127,360,855 256,886,353
d Net gain or (loss)..........MediumBullet 384,247,208     384,247,208
8a Gross income from fundraising events (not including
$ 1,506,145
of contributions reported on line 1c). See Part IV, line 18 ...
a 283,360
b Less: direct expenses ...b 293,873
c Net income or (loss) from fundraising events..MediumBullet -10,513   -10,513
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        
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        
Miscellaneous Revenue Business Code
11a Alumni affinity card 900,099 389,867     389,867
b Alumni travel study 561,520 293,576   293,576  
c Investment in partners 523,000 -9,554,739   -9,554,739  
d All other revenue .... 83,821   83,821  
e Total. Add lines 11a–11d ......MediumBullet -8,787,475
12 Total revenue. See Instructions....MediumBullet 2,366,178,455 1,549,825,273 -9,177,342 634,090,229
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 53,599,147 53,599,147
2 Grants and other assistance to individuals in the U.S. See Part IV, line 22 252,760,886 252,760,886
3 Grants and other assistance to governments, organizations, and individuals outside the U.S. See Part IV, lines 15 and 16 4,092,434 4,092,434
4 Benefits paid to or for members    
5 Compensation of current officers, directors, trustees, and key employees .... 10,964,286 2,100,314 8,455,665 408,307
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) ....        
7 Other salaries and wages 717,706,019 658,766,107 42,247,535 16,692,377
8 Pension plan contributions (include section 401(k) and section 403(b) employer contributions) .... 56,692,955 52,311,408 3,008,267 1,373,280
9 Other employee benefits ....... 67,695,590 62,517,396 3,555,226 1,622,968
10 Payroll taxes ........... 48,638,494 44,920,818 2,552,469 1,165,207
11 Fees for services (non-employees):        
a Management ......        
b Legal ......... 4,350,484   4,350,484  
c Accounting ........... 869,611   869,611  
d Lobbying ........... 609,515   609,515  
e Professional fundraising. See Part IV, line 17.. 154,958 154,958
f Investment management fees ...... 79,530,305   79,530,305  
g Other .......... 171,305,700 161,771,590 8,422,048 1,112,062
12 Advertising and promotion .... 16,909,532 11,450,809 961,046 4,497,677
13 Office expenses ....... 134,673,752 129,009,831 3,381,245 2,282,676
14 Information technology ...... 19,155,758 15,984,842 3,007,165 163,751
15 Royalties .. 38,061,836 38,060,059 1,777  
16 Occupancy ........... 91,484,892 89,593,065 1,811,857 79,970
17 Travel ............ 56,442,339 55,000,338 578,272 863,729
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ......        
19 Conferences, conventions, and meetings .... 23,542,609 22,419,385 664,966 458,258
20 Interest ........... 30,184,312   30,184,312  
21 Payments to affiliates .......        
22 Depreciation, depletion, and amortization ..... 108,144,007 105,784,494 1,718,943 640,570
23 Insurance ..............        
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 Sundry payments 33,737,325 31,868,203 1,653,927 215,195
b
c
d
e
f All other expenses        
25 Total functional expenses. Add lines 1 through 24f 2,021,306,746 1,792,011,126 197,564,635 31,730,985
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 ....... 235,882,939 2 340,241,344
3 Pledges and grants receivable, net ......... 85,689,000 3 61,341,000
4 Accounts receivable, net ......... 318,612,841 4 325,259,064
5 Receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..........   5 2,682,452
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 ............. 48,636,928 7 55,820,322
8 Inventories for sale or use .............. 2,772,023 8 2,358,173
9 Prepaid expenses and deferred charges ............ 62,973,901 9 13,797,217
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 2,592,777,487
b Less: accumulated depreciation. ..... 10b 1,063,721,775 1,481,291,715 10c 1,529,055,712
11 Investments—publicly traded securities .......... 493,546,481 11 527,187,065
12 Investments—other securities. See Part IV, line 11 ...... 5,611,657,293 12 6,477,054,590
13 Investments—program-related. See Part IV, line 11 .. 167,896 13 166,568
14 Intangible assets .........   14  
15 Other assets. See Part IV, line 11 ........... 21,597,420 15 766,101
16 Total assets. Add lines 1 through 15 (must equal line 34)... 8,362,828,437 16 9,335,729,608
Liabilities 17 Accounts payable and accrued expenses . 207,729,076 17 204,988,091
18 Grants payable ..........   18  
19 Deferred revenue .......... 319,148,544 19 309,024,098
20 Tax-exempt bond liabilities .......... 608,412,043 20 605,458,446
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 .. 200,000,000 23 170,000,000
24 Unsecured notes and loans payable to unrelated third parties ....   24  
25 Other liabilities. Complete Part X of Schedule D..... 243,514,805 25 237,946,182
26 Total liabilities. Add lines 17 through 25..... 1,578,804,468 26 1,527,416,817
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 ..... 4,047,334,969 27 4,718,287,791
28 Temporarily restricted net assets ..... 1,698,125,000 28 2,015,356,000
29 Permanently restricted net assets ..... 1,038,564,000 29 1,074,669,000
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 ..... 6,784,023,969 33 7,808,312,791
34 Total liabilities and net assets/fund balances ..... 8,362,828,437 34 9,335,729,608
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
2,366,178,455
2
Total expenses (must equal Part IX, column (A), line 25) . . . . .
2
2,021,306,746
3
Revenue less expenses. Subtract line 2 from line 1 . . . .
3
344,871,709
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) . .
4
6,784,023,969
5
Other changes in net assets or fund balances (explain in Schedule O) . . . .
5
679,417,113
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
7,808,312,791
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
Northwestern University
 
Employer identification number

36-2167817
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
Northwestern University
 
Employer identification number

36-2167817
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
Northwestern University
  		Employer identification number

36-2167817
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
Northwestern University
  		Employer identification number

36-2167817
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
Northwestern University
  		Employer identification number

36-2167817
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
Northwestern University
 
Employer identification number

36-2167817
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
$  
3
Volunteer hours ........................................
 

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
$  
2
Enter the amount of any excise tax incurred by organization managers under section 4955 ......SchCMd Bullet
$  
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) ....... 764,514  
c Total lobbying expenditures (add lines 1a and 1b) ................... 764,514  
d Other exempt purpose expenditures ........................ 2,022,672,030  
e Total exempt purpose expenditures (add lines 1c and 1d) ............... 2,023,436,544  
f Lobbying nontaxable amount. Enter the amount from the following table in both
columns.		 1,000,000  
  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) ................. 250,000  
h Subtract line 1g from line 1a. If zero or less, enter -0-. ................ 0  
i Subtract line 1f from line 1c. If zero or less, enter -0-. ................ 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 1,000,000 1,000,000 1,000,000 1,000,000 4,000,000
             
b Lobbying ceiling amount
(150% of line 2a, column(e)) 		        6,000,000
             
c Total lobbying expenditures 732,476 745,207 785,982 764,514 3,028,179
             
d Grassroots non-taxable amount 250,000 250,000 250,000 250,000 1,000,000
             
e Grassroots ceiling amount
(150% of line 2d, column (e))		         1,500,000
             
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? .........................................
 
 
b
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ....
 
 
c
Media advertisements? ....................................
 
 
 
d
Mailings to members, legislators, or the public? .........................
 
 
 
e
Publications, or published or broadcast statements? .......................
 
 
 
f
Grants to other organizations for lobbying purposes? .......................
 
 
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
 
 
 
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
 
 
i
Other activities? If "Yes," describe in Part IV ..........................
 
 
 
j
Total. lines 1c through 1i ...................................
 
2a
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....
 
 
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? .......
 
 
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
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
Northwestern University
 
Employer identification number

36-2167817
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 ....... 1  
2 Aggregate contributions to (during year) ... 534,863  
3 Aggregate grants from (during year) ... 329,000  
4 Aggregate value at end of year ....... 14,906,214  
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 $  
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $  
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 .... 4,726,940,000 4,398,200,000 5,378,142,000
b Contributions ........ 146,273,000 61,037,000 49,755,000
c Investment earnings or losses ... 856,610,000 400,914,000 -902,883,000
d Grants or scholarships ..... 52,624,971 11,750,000 15,536,000
e Other expenditures for facilities
and programs ........ 		202,263,029 121,461,000 110,979,000
f Administrative expenses ....     299,000
g End of year balance ...... 5,474,935,000 4,726,940,000 4,398,200,000
2
Provide the estimated percentage of the year end balance held as:
a
Board designated or quasi-endowment: SchDMd Bullet48.000 %
b
Permanent endowment: SchDMd Bullet18.000 %
c
Term endowment: SchDMd Bullet34.000 %
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)
 
No
(ii) related organizations ........................
3a(ii)
 
No
b
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
 
 
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 .................   28,388,669 28,388,669
b Buildings ................   2,115,914,969 781,612,369 1,334,302,600
c Leasehold improvements ............   4,743,374 2,963,078 1,780,296
d Equipment ................   443,730,475 279,146,328 164,584,147
e Other .................        
Total. Add lines 1a-1e. (Column (d) should equal Form 990, Part X, column (B), line 10(c).)........SchDMdBullet 1,529,055,712
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 1,639,906,174 F
(2)Closely-held equity interests    
(3)Other
(A) Equity, fixed income, real assets,etc 		4,837,148,416 F








Total. (Column (b) should equal Form 990, Part X, col.(B) line 12.)Small Bullet 6,477,054,590
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








Total. (Column (b) should equal Form 990, Part X, col.(B) line 15.)...........Small Bullet  
Part X
Other Liabilities. See Form 990, Part X, line 25.
1.(a) Description of Liability (b) Amount
Federal Income Taxes  
Deposits payable,actuarial liability of annuities payable 77,887,012
Government advances for student loans 38,968,000
Asset retirement obligations 121,091,170






Total. (Column (b) should equal Form 990, Part X, col.(B) line 25.)Small Bullet 237,946,182
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
  Part III, Line 1a: The University does not capitalize collections. As stated in the University notes to the financial statements, the accounting policy for library collections is to expense all purchases. Museum purchases are accounted for similarly. Gifts of art and similar tangible personal property are accounted for as gifts-in-kind.
Description of Intended Use of Endowment Funds: Part V, Line 4: The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction.
Description of Uncertain Tax Positions Under FIN 48: Part X: The University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the "more likely than not" standard for sustainability on examination by tax authorities.
    Part X, line 25, Asset Retirement Obligations: The University records all known asset retirement obligations (ARO) for which the fair value of the liability can be reasonably estimated, including certain obligations relating to regulatory remediation. ARO covered include those for which an entity has a legal obligation to perform an asset retirement activity; however, the timing and/or method of settling the obligation are conditional on a future event that may or may not be within the control of the entity.
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
Northwestern University
 
Employer identification number

36-2167817
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
Explanation of Nondiscriminatory Policy Publication Schedule E, Part I, Line 3 Policies are included in student, faculty, and staff handbooks. Policies are also periodically reprinted in school newspapers
Explanation of Government Financial Assistance Schedule E, Part I, Line 6 The University receives financial support from agencies of the federal government for research purposes and for financial aid to students; additional financial aid support for students is received from agencies of the State of Illinois.
Explanation of Racial Nondiscrimination Compliance Schedule E, Part I, Line 7 Northwestern University does not discriminate or permit discrimination by any member of its community against any individual on the basis of race, color, religion, national origin, sex, sexual orientation, gender identity, gender expression, parental status, marital status, age, disability, citizenship, or veteran status in matters of admissions, employment, housing, or services or in the educational programs or activities it operates.
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
Northwestern University
 
Employer identification number

36-2167817
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
Middle East and North Africa 1 119 Maintaining offices, employees or agents International campus in Doha, Qatar for students in journalism and communications. 31,616,103
East Asia and the Pacific     Fundraising   96,726
Europe (Including Iceland & Greenland)     Fundraising   73,107
Middle East and North Africa     Fundraising   8,483
North America     Fundraising   1,929
South America     Fundraising   3,117
South Asia     Fundraising   6,703
Central America and the Caribbean     Program Services Business travel abroad (includes travel to attend seminars and conferences) 73,199
East Asia and the Pacific     Program services Business travel abroad (includes travel to attend seminars and conferences) 950,338
Europe     Program services Business travel abroad (includes travel to attend seminars and conferences) 2,395,121
Middle East and North Africa     Program services Business travel abroad (includes travel to attend seminars and conferences) 473,712
North America     Program services Business travel abroad (includes travel to attend seminars and conferences) 380,517
Russia and the Newly Independent States     Program services Business travel abroad (includes travel to attend seminars and conferences) 38,096
South America     Program services Business travel abroad (includes travel to attend seminars and conferences) 246,891
South Asia     Program services Business travel abroad (includes travel to attend seminars and conferences) 127,671
Sub-Saharan Africa     Program services Business travel abroad (includes travel to attend seminars and conferences) 377,913
Central America and the Caribbean     Program services Study abroad programs 130,490
East Asia and the Pacific     Program services Study abroad programs 1,222,688
Europe     Program services Study abroad programs 2,051,110
Middle East and North Africa     Program services Study abroad programs 1,025,475
South America     Program services Study abroad programs 334,560
South Asia     Program services Study abroad programs 171,807
Sub-Saharan Africa     Program services Study abroad programs 610,726
Central America and the Caribbean     Unrelated trade or business   289
East Asia and the Pacific     Unrelated trade or business   354
Europe     Unrelated trade or business   10,130
Middle East and North Africa     Unrelated trade or business   665
North America     Unrelated trade or business   164
Russia and the Newly Independent States     Unrelated trade or business   239
South America     Unrelated trade or business   333
Central America and the Caribbean     Investments   1,614,043,000
Europe     Investments   286,120,000
North America     Investments   60,711,000
Sub-Saharan Africa     Investments   34,892,000
Central America and the Caribbean     Program services Research 761
East Asia and the Pacific     Program services Research 136,791
Europe     Program services Research 1,581,737
Middle East and North Africa     Program services Research 169,745
North America     Program services Research 1,647,181
Russia and the Newly Independent States     Program services Research 280
South America     Program services Research 10,647
South Asia     Program services Research 246
Sub-Saharan Africa     Program services Research 10,991
Central America and the Caribbean     Grantmaking   15,217
East Asia and the Pacific     Grantmaking   229,229
Europe     Grantmaking   2,269,821
Middle East and North Africa     Grantmaking   143,248
North America     Grantmaking   1,117,416
South America     Grantmaking   151,595
South Asia     Grantmaking   61,443
Sub-Saharan Africa     Grantmaking   104,465
3a Sub-total .....   119 31,879,367
b Total from continuation sheets to Part I ...   0 2,013,966,102
c Totals (add lines 3a and 3b)   119 2,045,845,469
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)
East Asia and the Pacific Grant subaward from sponsored research funds 87,165 ACH direct deposit or Check      
East Asia and the Pacific Grant subaward from sponsored research funds 33,028 ACH direct deposit or Check      
Europe Grant subaward from sponsored research funds 976,392 ACH direct deposit or Check      
Europe Grant subaward from sponsored research funds 165,758 ACH direct deposit or Check      
Europe Grant subaward from sponsored research funds 123,039 ACH direct deposit or Check      
Europe Grant subaward from sponsored research funds 44,650 ACH direct deposit or Check      
Europe Grant subaward from sponsored research funds 12,240 ACH direct deposit or Check      
Middle East and North Africa Grant subaward from sponsored research funds 121,926 ACH direct deposit or Check      
North America Grant subaward from sponsored research funds 988,066 ACH direct deposit or Check      
North America Grant subaward from sponsored research funds 66,837 ACH direct deposit or Check      
North America Grant subaward from sponsored research funds 20,845 ACH direct deposit or Check      
North America Grant subaward from sponsored research funds 14,168 ACH direct deposit or Check      
North America Grant subaward from sponsored research funds 27,500 ACH direct deposit or Check      
Sub-Saharan Africa Grant subaward from sponsored research funds 39,562 ACH direct deposit or Check      
South Asia Charitable support 23,209 Check      
             
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
2
3
Enter total number of other organizations or entities ........................MediumBullet
13
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)
Grants disbursed during student's enrollment in international program Central America and the Caribbean 2 15,217 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program East Asia and the Pacific 22 109,036 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program Europe 102 947,742 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program Middle East and North Africa 3 21,322 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program South America 26 151,595 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program South Asia 4 38,234 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program Sub-Saharan Africa 8 64,903 Applied to student account; credits are refunded by 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
Procedure for Monitoring Grants Outside the U.S.:   Schedule F, Part I, Line 2: Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants given to support charitable organizations are extended for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required.
Other Information Schedule F, Part V Schedule F, Part I: The program services listed in Part I reflect international educational programs in which the University had material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its student access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad international programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f) of Schedule F. Schedule F, Part I, column(f), line 3: Expenditures reported in the Form 990, Schedule F, Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f). Schedule F, Part II, line 1: In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, line 1. Schedule F, Part II, line 3: Foreign recipient organizations are universities, colleges, or hospitals. Schedule F, Part III, method used to report cash grants and column (c): Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the dates of the applicable study abroad program. Similarly, grants disbursed to certain professional graduate students are reviewed to assess overlap with participation in international programming. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c).
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
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
Northwestern University
 
Employer identification number

36-2167817
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
 
RuffaloCODY
65 Kirkwood North Rd SW
 
Cedar Rapids, IA52406 		Phone solicitation   No 314,207 93,657 220,550
Sheila Smith
2357 Colts Neck Rd
 
Blacklick, OH43004 		Campaign counseling   No 0 5,539 0
 
R & R Newkirk
8695 S Archer 10
 
Willow Springs, IL60480 		Gift planning marketing   No 0 37,762 0
 
MindFrame
2831 W Wilshire Blvd
 
Oklahoma City, OK73119 		Communication consultant   No 0 18,000 0
Total .................right arrow 314,207 154,958 220,550
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.
AZ, AK, AR, CT, GA, IL, KS, NM, NC, ND, PA, RI, TN, TX, UT, WV, WI, AL, CA, FL, HI, KY, MD, ME, MI, MO, MN, NH, MS, NY, OR, OK, OH, SC, WA, VA
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

Dance Marathon
(event type) 		(b) Event #2

Brain Tumor Institute Fundraiser
(event type) 		(c) Other Events

7
(total number) 		(d) Total Events
(Add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 830,722 530,195 428,588 1,789,505
2 Less: Charitable
contributions . . . 		761,197 456,218 288,730 1,506,145
3 Gross income (line 1
minus line 2) . . . 		69,525 73,977 139,858 283,360
VerticalDirectExpenses 4 Cash prizes . . .   500   500
5 Non-cash prizes . .        
6 Rent/facility costs . . 66,572   9,181 75,753
7 Food and beverages . .   62,777 67,672 130,449
8 Entertainment . . .   4,500 4,555 9,055
9 Other direct expenses . 14,208 41,846 22,062 78,116
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 293,873
11 Net income summary. Combine lines 3 and 10 in column (d)............ right arrow -10,513
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
Explanation of Fundraising Payments Schedule G, Part I, Line 2b, Column (v) The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed are reflected): RuffaloCODY ($10,526) in accordance with the agreement with the professional fundraiser which permits reimbursement for direct expenses such as printing, mailing, and shipping, and Sheila Smith ($539) as agreed for transportation and lodging.
  Schedule G, Part I, line 3 No registration is required in Delaware, Idaho, Indiana, Iowa, Montana, Nebraska, Nevada, South Dakota, Vermont or Wyoming. The University has requested confirmation of exemption from New Jersey.
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
Northwestern University
 
Employer identification number
36-2167817
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) Evanston Community Foundation Inc1007 Church St Ste 108
Evanston,IL60201 		36-3466802 501(c)(3) 107,639       Charitable fundraising conducted by student org & support of charitable community organization
(2) Children's Heart FoundationPO Box 244
Lincolnshire,IL60069 		36-4077528 501(c)(3) 642,503       Charitable fundraising conducted by student organization
(3) Family Promise Chicago North ShorePO Box 484
Glencoe,IL60022 		27-0288849 501(c)(3) 5,699       Charitable fundraising conducted by student organization
(4) Good News Partners1600 Jonquil Terrace
Chicago,IL60626 		36-3107283 501(c)(3) 33,650       Charitable fundraising conducted by student organization
(5) Wings Program IncPO Box 95615
Palatine,IL60095 		36-3456061 501(c)(3) 19,000       Charitable fundraising conducted by student organization
(6) Working in the School27 E Monroe
Chicago,IL60603 		36-3891846 501(c)(3) 19,000       Charitable fundraising conducted by student organization
(7) One Acre Fund1954 First St 183
Highland Park,IL60035 		20-3668110 501(c)(3) 19,000       Charitable fundraising conducted by student organization
(8) Fabretto Children's Foundation3124 North 10th Street
Arlington,VA22201 		36-3894824 501(c)(3) 14,131       Charitable fundraising conducted by student organization
(9) American Red Cross2200 W Harrison St
Chicago,IL60612 		53-0196605 501(c)(3) 5,387       Charitable fundraising conducted by student organization
(10) Chicago Academy of Sciences2430 N Cannon Dr
Chicago,IL60614 		36-0895575 501(c)(3) 30,000       Support of charitable community organizations
(11) Chicago Botanic Garden(Chicago Horticultural Society)1000 Lake Cook Rd
Glencoe,IL60022 		36-2225482 501(c)(3) 115,000       Support of charitable community organizations
(12) Lyric Opera of Chicago20 North Wacker Drive Ste 860
Chicago,IL60606 		36-6008929 501(c)(3) 22,500       Support of charitable community organizations
(13) The Art Institute of Chicago111 S Michigan Ave
Chicago,IL60603 		36-2167725 501(c)(3) 10,000       Support of charitable community organizations
(14) Ravinia Festival418 Sheridan Road
Highland Park,IL60035 		36-6002273 501(c)(3) 6,000       Support of charitable community organizations
(15) United Way of Metropolitan Chicago560 W Lake St
Chicago,IL60661 		36-0200478 501(c)(3) 15,000       Support of charitable community organizations
(16) Health for Humanity415 Linden Ave Ste B
Wilmette,IL60091 		36-3820640 501(c)(3) 10,000       Support of charitable community organizations
(17) Millennium Park IncDT 111 S Wacker Drive
Chicago,IL60602 		36-4244167 501(c)(3) 10,000       Support of charitable community organizations
(18) Northwestern University Settlement House1400 West Augusta Blvd
Chicago,IL60642 		36-2167818 501(c)(3) 25,000       Support of charitable community organizations
(19) Juvenile Protective Association1707 N Halstead St
Chicago,IL60614 		36-2167765 501(c)(3) 20,000       Support of charitable community organizations
(20) EVMark1560 Sherman Ave
Evanston,IL60201 		36-3571291 501(c)(6) 25,900       Support of charitable community organizations
(21) Chicago's North Shore Convention & Visitors' Bureau8001 Lincoln Ave Ste715
Skokie,IL60077 		36-4449110 501(c)(6) 25,000       Support of charitable community organizations
(22) Evanston Public Library1703 Orrington Ave
Evanston,IL60201 		36-3286198 501(c)(3) 10,000       Support of charitable community organization
(23) Foundation 65PO Box 750
Evanston,IL60204 		36-4003165 501(c)(3) 76,666       Support of charitable community organizations
(24) City of Evanston2100 Ridge Ave
Evanston,IL60201 		36-6005870 115 253,549       Support of local governmental organization
(25) Chicago CARES2 N Riverside Ste 2200
Chicago,IL60606 		36-3777709 501(c)(3) 8,000       Support of charitable community organizations
(26) Northwestern Medical Faculty Foundation680 N Lakeshore Dr
Chicago,IL60611 		36-3097297 501(c)(3) 5,531,758       Support of research activities
(27) Northeastern Illinois University5500 N St Louis Ave
Chicago,IL60625 		36-6009515 115 24,664       Support of research activities
(28) 12th Man FoundationBernard C Richardson Zone at Kyle
Field Suite 12
College Station,TX77841 		74-1185725 501(c)(3) 33,405       Support of research activities
(29) Access Community Health Network222 N Canal St
Chicago,IL60606 		36-3317058 501(c)(3) 176,991       Support of research activities
(30) Access DuPage511 Thornhill Dr M
Carol Stream,IL60188 		36-4448208 501(c)(3) 220,471       Support of research activities
(31) Adler Planetarium & Astronomy Museum1300 S Lake Shore Dr
Chicago,IL60605 		36-6210902 501(c)(3) 17,327       Support of research activities
(32) Advocate Hope Childrens Hospital4440 W 95th St
Oak Lawn,IL60453 		36-2169147 501(c)(3) 23,986       Support of research activities
(33) Advocate Lutheran General Hospital1775 W Dempster St
Park Ridge,IL60068 		36-2169147 501(c)(3) 23,986       Support of research activities
(34) AIDS Arms Inc219 Sunset Ave
Dallas,TX75208 		75-2306145 501(c)(3) 215,017       Support of research activities
(35) Alaska Cardiovascular Research Foundation3841 Piper St
Anchorage,AK99508 		74-3076026 501(c)(3) 19,925       Support of research activities
(36) Albert Einstein College of Medicine1300 Morris Park Avenue
Bronx,NY10461 		13-1624225 501(c)(3) 50,667       Support of research activities
(37) Amarillo Heart Group1901 Port Lane
Amarillo,TX79106 		83-0362959 501(c)(3) 12,445       Support of research activities
(38) American Cancer Society Illinois Division Inc225 N Michigan Ste 1200
Chicago,IL60601 		23-7040934 501(c)(3) 6,031       Support of research activities
(39) American Institutes for Research1000 Thomas Jefferson St NW
Washington,DC20007 		25-0965219 501(c)(3) 59,590       Support of research activities
(40) American Lung Association1301 Pennsylvania Ave NW Suite 800
Washington,DC20004 		13-1632524 501(c)(3) 231,616       Support of research activities
(41) Baptist Hospital of Miami8900 N Kendall Drive
Miami,FL33176 		59-0910342 501(c)(3) 27,180       Support of research activities
(42) Beth Israel Deaconess Center330 Brookline Ave
Boston,MA02115 		04-2103881 501(c)(3) 29,664       Support of research activities
(43) Boston College140 Commonwealth Ave
Chestnut Hill,MA02467 		04-2103545 501(c)(3) 39,957       Support of research activities
(44) Boston Imaging Core Lab LLC580 Harrison Avenue
Boston,MA02118 		26-1215497   70,720       Support of research activities
(45) Boston Medical CenterOne Boston Medical Center Place
Boston,MA02118 		04-3314093 501(c)(3) 20,954       Support of research activities
(46) Boys & Girls Clubs of Chicago550 W Van Buren Street Suite 350
Chicago,IL60607 		36-2166997 501(c)(3) 23,656       Support of research activities
(47) Brigham and Women's Hospital75 Francis St
Boston,MA02115 		04-2312909 501(c)(3) 143,301       Support of research activities
(48) Cabot Security Materials Inc325 E Middlefield Road
Mountain View,CA94043 		26-2158716   173,157       Support of research activities
(49) California Cancer Care Inc1350 S Eliseo Dr
Greenbrae,CA94904 		94-2765776   8,500       Support of research activities
(50) Campbell-Kibler Associates Inc80 Lakeside Dr
Groton,MA01450 		04-3297519   115,605       Support of research activities
(51) Cardiology PC801 Princeton Ave SW
Birmingham,AL35211 		63-0710054   7,786       Support of research activities
(52) Carleton CollegeOne North College St
Northfield,MN55057 		41-0694747 501(c)(3) 38,781       Support of research activities
(53) Case Western Reserve University10900 Euclid Ave
Cleveland,OH44106 		34-1018992 501(c)(3) 52,886       Support of research activities
(54) Children's Memorial Hospital2300 N Lincoln Ave
Chicago,IL60614 		36-2170833 501(c)(3) 3,676,361       Support of research activities
(55) Cleveland Clinic9500 Euclid Ave
Cleveland,OH44195 		91-2153073 501(c)(3) 7,997       Support of research activities
(56) Cold Spring Harbor LaboratoryOne Bungtown Road
Cold Spring Harbor,NY11724 		11-2013303 501(c)(3) 41,666       Support of research activities
(57) College of American Pathologists325 Waukegan Rd
Northfield,IL60039 		36-2118323 501(c)(3) 15,605       Support of research activities
(58) Colorado State University203 Administration Building
Fort Collins,CO80523 		84-6000546 115 12,677       Support of research activities
(59) Columbia University615 W 131st Street
New York,NY10027 		13-1624202 501(c)(3) 107,544       Support of research activities
(60) Cornell University222 Day Hall
Ithaca,NY14853 		15-0532082 501(c)(3) 410,357       Support of research activities
(61) Dartmouth College420 Lexington Ave
New York,NY10170 		02-0222111 501(c)(3) 25,898       Support of research activities
(62) David Ostrow & Associates5455 N Sheridan Road Suite 2503
Chicago,IL60640 		20-5241516   51,615       Support of research activities
(63) Duke UniversityChapel Dr
Durham,NC27705 		56-0532129 501(c)(3) 102,868       Support of research activities
(64) East Bay Institute for Research and Education150 Muir Road 151-I
Martinez,CA64553 		68-0177975 501(c)(3) 238,254       Support of research activities
(65) Emory University201 Dowman Dr
Atlanta,GA30322 		58-0566256 501(c)(3) 182,677       Support of research activities
(66) Family Care Health Centers401 Holly Hills Ave
St Louis,MO63111 		23-7076112   44,614       Support of research activities
(67) Florida State University600 W College Ave
Tallahassee,FL32306 		59-1961248 115 158,333       Support of research activities
(68) GeoEngineers Inc600 Stewart St Ste 1700
Seattle,WA98101 		91-6237984   15,702       Support of research activities
(69) George Washington University2121 I Street NW
Washington,DC20052 		53-0196584 501(c)(3) 35,292       Support of research activities
(70) H Lee Moffit Cancer Center & Research Institute12902 Magnolia Ave
Tampa,FL33612 		59-2451713 501(c)(3) 27,676       Support of research activities
(71) Harvard UniversityMassachusetts Hall
Cambridge,MA02138 		04-2103580 501(c)(3) 476,740       Support of research activities
(72) Health Research Incorporated Roswell Park Cancer Institute DivisionElm Carlton Sts
Buffalo,NY14263 		14-1402155   159,538       Support of research activities
(73) Hektoen Institute for Medical Research2240 W Ogden Ave
Chicago,IL60612 		36-2244897 501(c)(3) 760,836       Support of research activities
(74) Henry Ford Health System14500 Hall Rd
Sterling Heights,MI48313 		38-1357020 501(c)(3) 6,580       Support of research activities
(75) Horizon Research Inc326 Cloister Ct
Chapel Hill,NC27514 		56-1550276   25,722       Support of research activities
(76) Howard Brown Health Center4025 N Sheridan Road
Chicago,IL60613 		36-2894128 501(c)(3) 520,060       Support of research activities
(77) Indiana University107 S Indiana Ave
Bloomington,IN47405 		35-6001673 115 388,699       Support of research activities
(78) J Craig Venter Institute9704 Medical Center Drive
Rockville,MD20850 		52-1842938 501(c)(3) 421,293       Support of research activities
(79) James Madison University800 S Main St
Harrisonburg,VA22807 		54-6001756 501(c)(3) 7,043       Support of research activities
(80) Jasculca Terman and Associates Inc730 N Franklin Street Suite 510
Chicago,IL60654 		36-3136983   150,214       Support of research activities
(81) Johns Hopkins University1101 E 33rd St
Baltimore,MD21218 		52-0595110 501(c)(3) 388,211       Support of research activities
(82) Kaiser Foundation Research InstitutePO Box 378066
Denver,CO80237 		94-1105628 501(c)(3) 45,797       Support of research activities
(83) Louisiana State University3848 W Lakeshore Dr
Baton Rouge,LA70808 		72-6087770 115 103,491       Support of research activities
(84) Loyola University Chicago1032 W Sheridan Rd
Chicago,IL60660 		36-1408475 501(c)(3) 57,980       Support of research activities
(85) Lutheran Medical Group LLC7916 W Jefferson Blvd
Fort Wayne,IN46804 		26-4213839   12,100       Support of research activities
(86) Massachusetts General Hospital55 Fruit St
Boston,MA02114 		04-1564655 501(c)(3) 108,439       Support of research activities
(87) Massachusetts Institute of Technology77 Massachusetts Ave
Cambridge,MA02142 		04-2103594 501(c)(3) 202,334       Support of research activities
(88) Materials & Electrochemical Research Corporation7960 South Kolb Road
Tucson,AZ85706 		86-0530946   133,685       Support of research activities
(89) Mayo Clinic Rochester200 First St SW
Rochester,MN55905 		41-6011702 501(c)(3) 160,176       Support of research activities
(90) Medical College of Wisconsin8701 Watertown Plank Rd
Milwaukee,WI53226 		39-0806261 501(c)(3) 11,219       Support of research activities
(91) Medical University of South Carolina179 Ashley Avenue
Charleston,SC29425 		57-6000722 115 8,311       Support of research activities
(92) Memorial Hospital of Rhode Island111 Brewster St
Pawtucket,RI02680 		05-0259004 501(c)(3) 22,385       Support of research activities
(93) Memorial Sloan-Kettering Cancer Center1275 York Avenue
New York,NY10065 		13-1624182 501(c)(3) 324,971       Support of research activities
(94) Methodist Hospital Research Institute6670 Bertner St
Houston,TX77030 		87-0721923 501(c)(3) 116,285       Support of research activities
(95) Metropolitan Cardiology Consultants LLC4040 Coon Rapids Blvd
Coon Rapids,MN55433 		41-1787141   7,550       Support of research activities
(96) Michigan State University113 Angell Bldg
East Lansing,MI48824 		38-6005984 115 234,523       Support of research activities
(97) Mount Sinai HospitalOne Gustave L Levy Pl
New York,NY10029 		13-1624096 501(c)(3) 28,555       Support of research activities
(98) Nanosonix Inc8025 Lamon Avenue
Skokie,IL60077 		26-2268972   374,932       Support of research activities
(99) National Geographic Society1145 17th St NW
Washington,DC20036 		53-0193519 501(c)(3) 40,157       Support of research activities
(100) North Carolina State UniversityCampus Box 7001 A Holladay Hall
Raleigh,NC27695 		56-6000756 115 39,162       Support of research activities
(101) NorthShore University HealthSystem Research Institute2650 Ridge Ave
Evanston,IL60201 		36-4191793 501(c)(3) 1,959,285       Support of research activities
(102) Northwestern Memorial Hospital251 E Huron St
Chicago,IL60611 		37-0960170 501(c)(3) 1,867,287       Support of research activities
(103) NOVA Scripts Central Inc6400 Arlington Blvd
Falls Church,VA22042 		65-1275162   143,505       Support of research activities
(104) Ohio State University154 W 12th Ave
Columbus,OH43210 		31-6025986 115 45,614       Support of research activities
(105) OhioHealth Research and Innovation Institute3545 Olentangy River Road
Columbus,OH43214 		31-6059784 501(c)(3) 5,810       Support of research activities
(106) Oregon Health & Science University3181 Southwest Sam Jackson Park Rd
Portland,OR97239 		93-1176109 115 76,642       Support of research activities
(107) Orlando Regional Medical Center1414 Kuhl Avenue
Orlando,FL32806 		59-1726273 501(c)(3) 43,045       Support of research activities
(108) Pacific Health Research & Education Institute3375 Koapaka Street Suite I-540
Honolulu,HI96819 		99-0303308 501(c)(3) 13,944       Support of research activities
(109) Park Nicollet Institute3800 Park Nicollet Blvd
St Louis Park,MN55416 		41-0961862 501(c)(3) 33,824       Support of research activities
(110) Parkinson's Institute and Clinical Center675 Almanor Avenue
Sunnyvale,CA94085 		94-3061594 501(c)(3) 21,037       Support of research activities
(111) Pennsylvania State University308 Old Main
University Park,PA16802 		24-6000376 115 130,184       Support of research activities
(112) Pinnacle Technology681 Lawlins Road
Wyckoff,NJ07481 		74-2818617   489,303       Support of research activities
(113) Princeton UniversityOffice of Administration
Princeton,NJ08544 		21-0634501 501(c)(3) 65,477       Support of research activities
(114) Purdue UniversityOffice of Administration
West Lafayette,IN47906 		35-6002041 115 67,287       Support of research activities
(115) Quest Clinical Research2300 Sutter Street Suite 202
San Francisco,CA94115 		94-3307206   6,115       Support of research activities
(116) Rehabilitation Institute Research Corporation345 E Superior St
Chicago,IL60611 		36-3728711 501(c)(3) 380,701       Support of research activities and support of charitable community organization
(117) Rensselaer Polytechnic Institute110 8th St
Troy,NY12180 		14-1340095 501(c)(3) 64,384       Support of research activities
(118) Rice University6100 Main St
Houston,TX77005 		74-1109620 501(c)(3) 14,928       Support of research activities
(119) Rockefeller University1230 York Avenue
New York,NY10065 		13-1624158 501(c)(3) 416,598       Support of research activities
(120) Rocky Mountain Heart Associaties PC3655 Lutheran Pkqy Ste 201
Wheat Ridge,CO80033 		84-0644785   6,550       Support of research activities
(121) Rush University Medical Center1653 W Congress Parkway
Chicago,IL60612 		36-2174823 501(c)(3) 1,684,665       Support of research activities
(122) Saint Francis Hospital and Medical Center114 Woodland St
Hartford,CT06105 		47-0376601 501(c)(3) 23,378       Support of research activities
(123) Saint Thomas Research Institute4230 Harding Rd Ste 105
Nashville,TN37205 		20-8018726   6,450       Support of research activities
(124) Salk Institute10010 North Torrey Pines Road
La Jolla,CA92037 		95-2160097 501(c)(3) 387,808       Support of research activities
(125) Santa Fe Institute1399 Hyde Park Rd
Santa Fe,NM87501 		85-0325494 501(c)(3) 18,361       Support of research activities
(126) Scott & White Memorial Hospital2401 S 31st Street
Temple,TX76508 		74-1166904 501(c)(3) 16,445       Support of research activities
(127) Scripps Research Institute10550 North Torrey Pines Road
La Jolla,CA92037 		33-0435954 501(c)(3) 461,166       Support of research activities
(128) SemanticBits LLC13921 Park Center Rd Ste 420
Herndon,VA20171 		20-0446789   242,558       Support of research activities
(129) SRI International201 Washington Road
Princeton,NJ08540 		94-1160950 501(c)(3) 26,262       Support of research activities
(130) St Jude Children's Research Hospital4619 N Ravenswood Ave
Chicago,IL60640 		62-0646012 501(c)(3) 5,992       Support of research activities
(131) Stanford University295 Galvez St
Stanford,CA94305 		94-1156365 501(c)(3) 568,569       Support of research activities
(132) Tech-Synergy Inc6789 Quail Hill Parkway
Irvine,CA92603 		95-4857456   5,350       Support of research activities
(133) Thomas Jefferson University1020 Walnut St
Philadelphia,PA19107 		23-1352651 501(c)(3) 47,675       Support of research activities
(134) United BioSource Corporation7501 Wisconsin Ave Ste 705
Bethesda,MD20814 		54-1759539   76,052       Support of research activities
(135) University of Alabama at Birmingham1530 3rd Ave South
Birmingham,AL35294 		63-6005396 115 45,487       Support of research activities
(136) University of Arizona617 N Santa Rita Ave
Tucson,AZ85721 		74-2652689 115 139,846       Support of research activities
(137) University of California Berkeley200 California Hall
Berkeley,CA94720 		94-6002123 115 72,508       Support of research activities
(138) University of California DavisOne Shields Ave
Davis,CA95616 		94-6036494 115 85,750       Support of research activities
(139) University of California IrvineOffice of Administration
Irvine,CA92697 		95-2226406 115 273,533       Support of research activities
(140) University of California Los AngelesHillgard Ave
Los Angeles,CA90095 		95-6006143 115 613,350       Support of research activities
(141) University of California San Diego9500 Gilman Dr
La Jolla,CA92093 		95-6006144 115 24,535       Support of research activities
(142) University of California San Francisco505 Parnassus Ave
San Francisco,CA94143 		56-6001393 115 470,561       Support of research activities
(143) University of California Santa Cruz1156 High St
Santa Cruz,CA95064 		77-0289144 115 114,571       Support of research activities
(144) University of Chicago5801 S Ellis Ave
Chicago,IL60637 		36-2177139 501(c)(3) 8,194,770       Support of research activities
(145) University of Cincinnati2600 Clifton Ave
Cincinnati,OH45221 		31-6000989 115 34,984       Support of research activities
(146) University of Delaware210 S College Ave
Newark,DE19716 		51-6000297 115 55,740       Support of research activities
(147) University of Florida201 Criser Hall
Gainesville,FL32611 		59-6002052 115 119,596       Support of research activities
(148) University of Illinois801 S Morgan St
Chicago,IL60607 		37-6000511 115 4,172,673       Support of research activities
(149) University of Kentucky100 Funkhouser Bldg
Lexington,KY40506 		61-6001218 115 84,845       Support of research activities
(150) University of Maryland2108 Mitchell Bldg
College Park,MD20742 		52-6002033 115 467,609       Support of research activities
(151) University of Massachusetts AmherstOffice of Administration
Amherst,MA01003 		04-3167352 115 66,076       Support of research activities
(152) University of Medicine and Dentistry of New Jersey150 Bergen St
Newark,NJ07103 		22-1775306   43,443       Support of research activities
(153) University of Miami1252 Memorial Drive
Coral Gables,FL33146 		59-0624458 501(c)(3) 56,000       Support of research activities
(154) University of Michigan515 E Jefferson
Ann Arbor,MI48109 		38-6000134 115 1,100,299       Support of research activities
(155) University of Minnesota101 Pleasant St
Minneapolis,MN55455 		41-6007513 115 73,699       Support of research activities
(156) University of Missouri-Columbia105 Jesse Hall
Columbia,MO65211 		43-6003859 115 89,118       Support of research activities
(157) University of Nebraska Medical Center984230 Nebraska Medical Center
Omaha,NE68198 		47-0491233 115 12,050       Support of research activities
(158) University of New Mexico1 University of New Mexico
Albuquerque,NM87131 		85-6000642 115 71,401       Support of research activities
(159) University of North Carolina at Chappel Hill9201 University City Blvd
Charlotte,NC28223 		56-6001393 115 94,855       Support of research activities
(160) University of Notre Dame317 Main Building
Notre Dame,IN46556 		35-0868188 501(c)(3) 46,467       Support of research activities
(161) University of Oklahoma660 Parrington Oval
Norman,OK73019 		73-6017987 115 68,734       Support of research activities
(162) University of Pennsylvania3451 Walnut Street
Philadelphia,PA19104 		23-1352685 501(c)(3) 89,956       Support of research activities
(163) University of Pittsburgh4227 Fifth Ave
Pittsburgh,PA15260 		25-0965591 501(c)(3) 614,627       Support of research activities
(164) University of RochesterOffice of Administration
Rochester,NY14627 		16-0743209 501(c)(3) 581,956       Support of research activities
(165) University of Southern California1540 Alcazar St
Los Angeles,CA90089 		95-1642394 501(c)(3) 91,095       Support of research activities
(166) University of Tennessee Knoxville527 Andy Holt Tower
Knoxville,TN37996 		62-6001636 115 230,084       Support of research activities
(167) University of Texas at Austin2100 San Jacinto Blvd
Austin,TX78712 		74-6000203 115 43,692       Support of research activities
(168) University of Texas at San AntonioOne UTSA Circle
San Antonio,TX78249 		74-1717115 115 372,700       Support of research activities
(169) University of Texas M D Anderson Cancer Center1515 Holcombe Blvd
Houston,TX77030 		76-0273984 115 67,878       Support of research activities
(170) University of Texas Southwestern Med Ctr at Dallas5323 Harry Hines Blvd
Dallas,TX75390 		75-6002868 115 510,622       Support of research activities
(171) University of VermontWaterman Bldg
Burlington,VT05405 		03-0179440 115 25,015       Support of research activities
(172) University of Virginia1 College Park
Wise,VA24293 		54-6001796 115 790,443       Support of research activities
(173) University of Washington1410 NE Campus Parkway
Seattle,WA98195 		91-6001537 115 160,068       Support of research activities
(174) University of Wisconsin-Madison716 Langdon St
Madison,WI53706 		39-1805963 115 292,262       Support of research activities
(175) Vanderbilt UniversityOffice of Administration
Nashville,TN37240 		62-0476822 501(c)(3) 83,529       Support of research activities
(176) Voices for Illinois Children208 S La Salle Street Suite 1490
Chicago,IL60604 		36-3480909 501(c)(3) 22,500       Support of research activities
(177) Washington University in St LouisOne Brookings Dr
St Louis,MO63130 		43-0653611 501(c)(3) 550,159       Support of research activities
(178) Westat Inc1600 Research Blvd
Rockville,MD20850 		84-0529566   37,978       Support of research activities
(179) Wing Tech Inc9916 Newhall Road
Potomac,MD20854 		25-1736195   170,692       Support of research activities
(180) Wright State University3640 Colonel Glenn Hwy
Dayton,OH45435 		31-0732831   36,604       Support of research activities
(181) Yale University140 Prospect St
New Haven,CT06511 		06-0646973 501(c)(3) 301,758       Support of research activities
(182) Research Foundation SUNY35 State Street
Albany,NY12207 		14-1368361 501(c)(3) 149,353       Support of research activities
(183) Alliance of Chicago Community Health Service215 W Ohio St 4th Floor
Chicago,IL60654 		36-4444309   100,557       Support of research activities
(184) Argonne National Labratory9700 S Cass Ave
Lemont,IL60439 		68-0628477 115 69,788       Support of research activities
(185) Austin Heart PLLC3801 N Lamar Suite 300
Austin,TX78756 		74-2082653   19,310       Support of research activities
(186) Boston UniversityOne Silber Way
Boston,MA02215 		04-2103547 501(c)(3) 250,612       Support of research activities
(187) Sanford-Burnham Medical Research Institute10901 North Torrey Pines Rd
La Jolla,CA92037 		51-0197108 501(c)(3) 35,346       Support of research activities
(188) California Institute of Techonology1200 East California Blvd
Pasadena,CA91125 		95-1643307 501(c)(3) 331,080       Support of research activities
(189) Cambria Pharmaceuticals Inc14 Cambridge Center Building 1
Cambridge,MA02142 		26-2047755   192,755       Support of research activities
(190) CANCER HELP INSTITUTE LTD1000 Skokie Blvd Suite 100
Wilmette,IL60091 		36-3801000   175,776       Support of research activities
(191) National Colorectal Cancer Research Alliance1201 West 5th St Suite T-700
Los Angeles,CA90017 		20-5224621 501(c)(3) 23,402       Support of research activities
(192) Chicago Association for Research and Education in ScienceBuilding One Room C347 5000 S 5th
Ave
Hines,IL60141 		36-3334177 501(c)(3) 76,669       Support of research activities
(193) CHILDRENS HOSPITAL BOSTON300 Longwood Ave
Boston,MA02115 		04-2774441 501(c)(3) 13,399       Support of research activities
(194) FARR ASSOCIATES ARCHITECTURE & URBAN DESIGN53 W Jackson Blvd Suite 650
Chicago,IL60604 		36-4319943   80,000       Support of research activities
(195) INQUIRE LEARNING LLC2625 Weston Rd
Weston,FL33331 		26-0733745   41,558       Support of research activities
(196) INSTITUTE FOR NEURODEGENERATIVE DISORDERS60 Temple St 8th Floor
New Haven,CT06510 		06-1582206 501(c)(3) 16,233       Support of research activities
(197) Justice Resource Institute Inc545 Boylston St Suite 700
Boston,MA02116 		04-2526357 501(c)(3) 38,553       Support of research activities
(198) JUSTIN ZUBROD & COMPANY LLC560 Green Bay Rd
Winnetka,IL60093 		27-0297962   32,500       Support of research activities
(199) KINEA DESIGN LLC1711-1 Darrow Ave
Evanston,IL60201 		74-3099129   14,810       Support of research activities
(200) LA RABIDA CHILDRENS'S HOSPITAL6501 South Promontory Dr
Chicago,IL60649 		36-2170143 501(c)(3) 10,800       Support of research activities
(201) Lahey Clinic Foundation Inc41 Mall Rd
Burlington,MA01805 		04-2704683 501(c)(3) 31,732       Support of research activities
(202) LANCASTER HEART & STROKE FOUNDATION131 East Frederick St
Lancaster,PA17602 		23-2714178   11,750       Support of research activities
(203) Comprehensive Cardiology ConsultantsSt Clare Medical Office Building
Suite 320 1203 Langhorne-Newtown Rd
Langhorne,PA19047 		59-2874324   5,050       Support of research activities
(204) LITTLE ROCK CARDIOLOGY CLINIC PA7 Shackleford West Blvd
Little Rock,AR72211 		71-0470243   16,990       Support of research activities
(205) MAIMONIDES MEDICAL CENTER4802 Tenth Ave
Brooklyn,NY11219 		11-1635081 501(c)(3) 25,820       Support of research activities
(206) Mayo Clinic Arizona13400 East Shea Blvd
Scottsdale,AZ85259 		86-0800150 501(c)(3) 37,316       Support of research activities
(207) Mayo Clinic Florida4500 San Pablo Rd
Jacksonville,FL32224 		59-3337028 501(c)(3) 6,463       Support of research activities
(208) NATIONWIDE CHILDRENS HOSPITAL700 Childrens Dr
Columbus,OH43201 		31-1036372 501(c)(3) 6,359       Support of research activities
(209) NEW YORK UNIVERSITY70 Washington Square South
New York,NY10012 		13-5562308 501(c)(3) 69,477       Support of research activities
(210) NORTH CASCADE CARDIOLOGY PLLC2979 Squalicum Parkway Suite 101
Bellingham,WA98225 		91-1747914   9,350       Support of research activities
(211) Northeast Missouri Health Council1416 Crown Dr
Kirksville,MO63501 		43-1606173 501(c)(3) 19,878       Support of research activities
(212) NORTHEASTERN ILLINOIS UNIVERSITY5500 North St Louis Ave
Chicago,IL60625 		23-7034689 115 36,264       Support of research activities
(213) PROVIDENCE HEALTH ALLIANCE3rd Floor - Medical Plaza 6901
Medical Parkway Suite 301A
Waco,TX76712 		74-2696970 501(c)(3) 26,200       Support of research activities
(214) RESEARCH SUPPORT SERVICES906 Ridge Ave
Evanston,IL60202 		36-4289990   19,392       Support of research activities
(215) RHODE ISLAND HOSPITAL593 Eddy St
Providence,RI02903 		05-0258954 501(c)(3) 14,590       Support of research activities
(216) SCRIPPS HEALTH4275 Campus Point Ct
San Diego,CA92121 		95-1684089 501(c)(3) 7,642       Support of research activities
(217) SEATTLE CHILDREN'S HOSPITAL4800 Sand Point Way NE
Seattle,WA98105 		91-0564748 501(c)(3) 12,281       Support of research activities
(218) Society for Research on Educational Effectiveness2040 Sheridan Rd
Evanston,IL60208 		26-4739791 501(c)(3) 173,906       Support of research activities
(219) STERN CARDIOVASCULAR FOUNDATION INC8060 Wolf River Blvd
Germantown,TN38138 		27-4396698   15,050       Support of research activities
(220) THE METROHEALTH SYSTEM2500 MetroHealth Dr
Cleveland,OH44109 		34-6607695 501(c)(3) 5,100       Support of research activities
(221) THE RAND CORPORATION1776 Main St PO Box 2138
Santa Monica,CA90407 		95-1958142 501(c)(3) 32,525       Support of research activities
(222) TUFTS UNIVERSITY200 Boston Avenue
Medford,MA02155 		04-2103634 501(c)(3) 33,201       Support of research activities
(223) UNIV OF WISCONSIN MILWAUKEE2200 E Kenwood Blvd PO Box 413
Milwaukee,WI53201 		39-1805963 115 10,284       Support of research activities
(224) UNIVERSITY HOSPITALS OF CLEVELAND11100 Euclid Ave
Cleveland,OH44106 		34-1567805   9,657       Support of research activities
(225) UNIVERSITY OF CONNECTICUT HEALTH CENTER263 Farmington Ave
Farmington,CT06030 		36-6009515 115 16,628       Support of research activities
(226) UNIVERSITY OF IOWA100 Mossman Business Services
Building
Iowa City,IA52245 		42-6004813 115 16,096       Support of research activities
(227) UNIVERSITY OF NEBRASKA LINCOLN1400 R Street Lincoln
Lincoln,NE68588 		47-0049123 115 589,085       Support of research activities
(228) WILLIAM BEAUMONT HOSPITAL3601 W Thirteen Mile Rd
Royal Oak,MI48073 		38-1459362 501(c)(3) 6,400       Support of research activities
(229) Winthrop-University Hospital259 First St
Mineola,NY11501 		11-1633486 501(c)(3) 16,360       Support of research activities
(230) Best Practice Project Management Inc7500 Old Georgetown Road Suite 601
Bethesda,MD20814 		52-2337527   36,657       Support of research activities
2
Enter total number of section 501(c)(3) and government organizations ......................... Bullet Image
185
3
Enter total number of other organizations ................................ . Bullet Image
45
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) Student grants, scholarships, stipends, and fellowships are financial aid that can be used towards any type of educational related costs. 10431 194,475,820      
(2) Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 281 386,624      
(3) Program-related investments: student loans 479 3,173,006      
(4) Other program-related investments 64 4,090,008      







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
Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required.
Other Information: Part IV: Part III: Prizes and awards reflect prizes and awards extended to non-employees in recognition of an accomplishment, activity, or event. Prizes and awards given to employees are included as compensation and reported on an employee's Form W-2. Program-related investments: Long term student loan balances as of 8/31/2011 were $2,539,041 which represent outstanding loan balances of 204 individuals. Total short term and emergency student loans issued for the tax year were $633,965 which represent loans issued to 275 individuals. Other program-related investments reflects certain investment portfolio balances as of 8/31/2011. Such investment portfolios are managed by students enrolled in an asset management practicum under the guidance of faculty.
Schedule I (Form 990) 2010


Additional Data


Software ID:  
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
Northwestern University
 
Employer identification number

36-2167817
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
 
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? ........
4b
 
No
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
Yes
 
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) Morton O Schapiro (i)
(ii)		 738,131
0 		0
0 		171,295
0 		174,500
0 		171,727
0 		1,255,653
0 		0
0
(2) Daniel I Linzer (i)
(ii)		 439,803
0 		0
0 		14,148
0 		24,500
0 		23,197
0 		501,648
0 		0
0
(3) Eugene S Sunshine (i)
(ii)		 698,126
0 		0
0 		79,716
0 		24,500
0 		15,027
0 		817,369
0 		0
0
(4) William J Banis (i)
(ii)		 214,931
0 		0
0 		1,739
0 		22,540
0 		14,973
0 		254,183
0 		0
0
(5) Thomas G Cline (i)
(ii)		 405,214
0 		0
0 		17,362
0 		24,500
0 		16,745
0 		463,821
0 		0
0
(6) Alan K Cubbage (i)
(ii)		 232,293
0 		0
0 		1,866
0 		23,238
0 		1,133
0 		258,530
0 		0
0
(7) Jeffrey Glassroth (i)
(ii)		 80,097
818,500 		0
0 		0
18,004 		9,000
29,400 		16,670
2,439 		105,767
868,343 		0
0
(8) J Larry Jameson (i)
(ii)		 734,427
710,003 		0
0 		834
17,842 		15,925
29,400 		15,502
22,478 		766,688
779,723 		0
107,503
(9) Marilyn McCoy (i)
(ii)		 230,759
0 		0
0 		17,184
0 		24,500
0 		16,997
0 		289,440
0 		0
0
(10) William H McLean (i)
(ii)		 544,575
0 		367,154
0 		159,189
0 		127,571
0 		26,012
0 		1,224,501
0 		0
0
(11) Sarah Risley Pearson (i)
(ii)		 340,972
0 		0
0 		18,912
0 		24,500
0 		23,923
0 		408,307
0 		0
0
(12) Patricia H Todus (i)
(ii)		 227,873
0 		0
0 		18,339
0 		24,500
0 		23,904
0 		294,616
0 		0
0
(13) Joseph T Walsh Jr (i)
(ii)		 262,243
0 		0
0 		1,542
0 		24,500
0 		58,851
0 		347,136
0 		0
0
(14) Jeffrey C Miller (i)
(ii)		 704,870
0 		0
0 		16,732
0 		24,334
0 		7,374
0 		753,310
0 		0
0
(15) Ronald Nayler (i)
(ii)		 284,265
0 		5,000
0 		16,964
0 		27,000
0 		16,171
0 		349,400
0 		0
0
(16) Patrick M McCarthy (i)
(ii)		 187,167
1,777,933 		0
0 		929
18,125 		14,342
29,400 		936
15,857 		203,374
1,841,315 		0
0
(17) H Huntington Batjer (i)
(ii)		 125,000
1,104,588 		0
0 		592
18,913 		12,500
29,400 		682
22,746 		138,774
1,175,647 		0
0
(18) Patrick W Fitzgerald II (i)
(ii)		 1,071,692
0 		110,000
0 		52,874
0 		24,500
0 		21,685
0 		1,280,751
0 		0
0
(19) Murad Alam (i)
(ii)		 3,000
1,179,922 		0
0 		0
189 		180
29,400 		16
8,602 		3,196
1,218,113 		0
0
(20) Steven T Rosen (i)
(ii)		 762,683
200,868 		200,000
0 		666
1,290 		20,997
18,856 		1,067
22,746 		985,413
243,760 		0
0
(21) Morteza A Rahimi (i)
(ii)		 489,006
0 		0
0 		141
0 		24,500
0 		14,789
0 		528,436
0 		0
0
(22) Lewis Landsberg (i)
(ii)		 237,369
53,100 		0
0 		141
5,686 		24,000
7,200 		905
18,473 		262,415
84,459 		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
  Part I, Line 1a Charter travel: Charter airplane travel was provided to six listed persons as a one-time round-trip travel service to attend the 2010 Outback Bowl in Tampa, Florida, where the University student football team competed. Pursuant to written University policy, the benefit was treated as a business expense and was not treated as taxable compensation. Travel for companions: Family members accompanied five listed persons to the Outback Bowl. Such costs were paid for directly by the individuals or imputed as taxable income. The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Tax gross-up payments: Four officers received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation. Housing allowance or residence for personal use: The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Three listed persons were provided with housing allowances and the amounts were treated as taxable compensation, and one listed person was provided temporary housing. Health or social club dues or initiation fees: The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. Two listed persons received reimbursements for social club initiation fees or dues and such amounts were treated as taxable compensation. Personal Services: In connection with the University provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit is apportioned between personal living quarters and public areas of the house, and the cleaning services associated with the personal living quarters are treated as taxable compensation.
  Part I, Line 7 One key employee received a non-fixed payment related to a recognition bonus.
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
Northwestern University
 
Employer identification number
36-2167817
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 Illinois Educational Facilities Authority
  		52-1297563 4520018K9 10-29-2003 183,530,698 Refund bonds issued 5/13/97; acquire,construct,or renovate univ.facilities   X   X   X
B Illinois Finance Authority
  		86-1091967 45200BFC7 09-09-2004 135,800,000 Acquire, construct or renovate University facilities   X   X   X
C Illinois Finance Authority
  		86-1091967 45200BH50 10-03-2006 150,740,726 Refund bonds issued 12/3/97   X   X   X
D Illinois Finance Authority
  		86-1091967 45200FKZ1 06-25-2008 125,000,000 Acquire, construct or renovate University facilities   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired. . . . .        
2 Amount of bonds defeased . . . .        
3 Total proceeds of issue . . . . 194,022,795 144,677,217 150,740,726 126,815,680
4 Gross proceeds in reserve funds . .        
5 Capitalized interest from proceeds.        
6 Proceeds in refunding escrow. . . . .        
7 Issuance costs from proceeds . . . 1,092,348 1,039,400 1,514,655 1,250,000
8 Credit enhancement from proceeds.        
9 Working capital expenditures from proceeds . .        
10 Capital expenditures from proceeds . . 158,297,067 143,637,817   125,565,680
11 Other spent proceeds . .        
12 Other unspent proceeds. . .        
13 Year of substantial completion . . . 2008 2008 2011
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    
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 % 0 % 0 %
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 % 0 % 0 %
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 . Morgan Stanley and
other banks 		Morgan Stanley and
other banks 		 
  		other banks
other banks
c Term of hedge . . 24.000000000000 24.000000000000   24.000000000000
d Was the hedge superintegrated? .   X   X       X
e Was a hedge terminated? .   X   X       X
4a Were gross proceeds invested in a GIC? .   X   X   X   X
b Name of provider .  
  		 
  		 
  		 
 
c Term of GIC . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? .                
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
Part I, column (c) Bond issues; CUSIP # The following bond issuances are associated with additional CUSIP numbers as noted: (B) IFA-Series 2004 CUSIP #45200BFD5; (D) IFA-Series 2008 CUSIP #45200FLA5, and #45200FLB3.
Part III, line 3c Private Business Use The University engages bond counsel and performs a review of management or services contracts and research agreements at the time of any new bond issuances, generally every two years. At that time, all existing bond issuances and private use are re-examined and re-documented. The University monitors private use changes internally on an ongoing basis.
Part IV, line 3 Arbitrage; name of provider and term of hedge Hedge providers and terms of hedges for bonds (B) IFA-Series 2004 and (D) IFA-Series 2008 are as follows: Morgan Stanley Capital Services, 4 and 24 years; Bank of America, 4 and 24 years; JP Morgan, 4 and 24 years.
Part II, line 9 Bond (A) Form 8038 Bond (A) IEFA-Series 2003 bond proceeds were used in part to refund 1993 bonds on December 1, 2003, and therefore represent a current refunding of the 1993 bonds. Form 8038 line 27 states that it is a current refunding; however, there is a typographical error on line 35 indicating a final 1993 bond call date of December 1, 2013. The correct date is December 1, 2003; the issuer filed an amended Form 8038 in November, 2011,to correct this error.
Part II, line 9 Bond (C) Form 8038 Bond (C) IFA-Series 2006 bonds were issued to refund bonds issued December 3, 1997. Form 8038 incorrectly identified the costs of issuance on line 30 as non-refunding proceeds of the issue; these proceeds should be reflected on line 24. There were no non-refunding proceeds of the 2006 issue; the issuer filed an amended Form 8038 in November, 2011, to correct this error.
Part III, line 4 Funding sources and private usage The University finances acquisition, construction, or renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private use within the facilities partially financed by bonds, however such usage was financed from other sources.
Part IV, line 5 Gross proceeds investment period As disclosed on the Form 8038-T filed November 2009 for Bond (B) IFA-Series 2006, gross proceeds were invested beyond an available temporary period and the University calculated and made a yield reduction payment in the amount of $310,118.
Part II, line 3 Issue price and proceeds of Bonds (A), (B), (D) The difference between issue price and proceeds of Bonds (A), (B), and (D) are due to investment income earned on unspent proceeds of IEFA-Series 2003, IFA-Series 2004 and IFA-Series 2006 bonds, respectively.
Schedule K (Form 990) 2010

Additional Data


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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
Northwestern University
 
Employer identification number

36-2167817
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
(1) Patrick Fitzgerald II
Compensation package 		  X 2,500,000 2,500,000   No Yes   Yes  
(2) Robert McQuinn
Compensation package 		  X 130,000 131,752   No Yes   Yes  
(3) Robert McQuinn
Compensation package 		  X 50,000 50,700   No Yes   Yes  
Total ...............Small Bullet $ 2,682,452
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) na n/a 1,333
(2) na n/a 60,004
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) Northern Trust
  		Nicholas D Chabraja,Trustee; was serving as a bank director 972,096 Bank and investment transaction fees less interest earned from bank   No
(2) Technology Crossover Ventures
  		Jay C. Hoag, Trustee; partner w/ ownership interest over 5% 266,348 Investment in two venture capital funds: Technology Crossover Ventures VI and VIIA   No
(3) Rndtable Hlthcare Ptnrs
  		Lester B. Knight, Trustee; was serving as a director 5,499,657 Investment in three private equity funds: Roundtable Healthcare Partners, Roundtable Healthcare Partners II and III   No
(4) Aon Corporation
  		Lester B. Knight, Trustee; was serving as a director 400,205 Insurance broker   No
(5) Thoma Cressey Fd
  		Lee. M. Mitchell, Trustee; partner w/ ownership interest over 5% 10,859,510 Investment in four private equity funds: Thoma Cressey Fund VI, VII, and VIII, and Thoma Bravo Fund IX   No
(6) Madison Dearborn
  		John A. Canning, Jr., Trustee; partner w/ ownership interest over 5% 13,894,191 Investment in four private equity funds: Madison Dearborn III, IV, V and VI.   No
(7) Madison Dearborn
  		Timothy P. Sullivan, Trustee; was serving as managing director 13,894,191 Investment in four private equity funds: Madison Dearborn III, IV, V and VI.   No
(8) New Enterprise Associates
  		Peter J. Barris, Trustee; partner w/ ownership interest over 5% 1,623,834 Investment in six venture capital funds: NEA VIII, VIIIA, IX, X, XI, and XII.   No
(9) NanoInk Inc
  		Ann Lurie, Trustee; direct and indirect ownership interest over 35% 136,795 License of intellectual property   No
(10) Charlotte Cubbage Family member of Alan K. Cubbage, Officer 70,240 Employment   No
(11) Jennifer Linzer Family member of Daniel I. Linzer, Officer 37,627 Employment   No
(12) Jennifer Cline Family member of Thomas G. Cline, Officer 18,450 Employment   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, Part IV   Amounts reflected with respect to the business transaction to Technology Crossover Ventures represent capital gains less venture capital purchases during the tax year.
Schedule L, Part IV   Amounts reflected with respect to the business transaction to Roundtable Healthcare Partners represent capital gains less fees, expenses, and private equity purchases during the tax year.
Schedule L, Part IV   Amounts reflected with respect to the business transaction to Thoma Cressey Funds represent capital gains and income less expenses and private equity purchases during the tax year.
Schedule L, Part IV   Amounts reflected with respect to the business transaction to Madison Dearborn represent capital gains and income less fees, expenses, and private equity purchases during the tax year.
Schedule L, Part IV   Amounts reflected with respect to the business transaction to New Enterprise Associates represent capital gains less venture capital purchases during the tax year.
Schedule L, Part IV   Investment of University assets are monitored by an Investment Committee of the Board of Trustees and governed by an Investment Policy, which includes a conflict of interest policy. That policy establishes criteria under which any investments will be made. Among other things, affected Trustees must recuse themselves of any vote related to the investment.
Schedule L, Part III   Grants or assistance benefitting interest persons weere given pursuant to objective criteria.
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
Northwestern University
 
Employer identification number

36-2167817
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 12 111,744 FMV on date of gift
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications .. X 215,801 FMV on date of gift
5 Clothing and household
goods ....... 		X 2,307 FMV on date of gift
6 Cars and other vehicles ..        
7 Boats and planes ....        
8 Intellectual property ...        
9 Securities—Publicly traded . X 409 26,999,947 Proceeds from sale
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 .        
16 Real estate—Commercial ..        
17 Real estate—Other ...        
18 Collectibles .....        
19 Food inventory ... X 7 9,821 FMV on date of gift
20 Drugs and medical supplies .        
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( Event/tickets ) X 32 79,018 FMV on date of gift
26 Other Right pointing arrow large image ( Equip/softwre ) X 25 459,676 FMV on date of gift
27 Other Right pointing arrow large image( )
28 Other Right pointing arrow large image ( )
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
1
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
 
No
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
Method for Determining Number of Contributors: Part I, Column (b): The amounts reported represent the number of contributions received; each contribution may represent one or more items.
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
Northwestern University
 
Employer identification number

36-2167817
Identifier Return Reference Explanation
Form 990, Part VI, Section A, line 2   Business Relationships: John A. Canning, Jr. and T. Bondurant French John A. Canning, Jr. and Lester B. Knight John A. Canning, Jr. and Timothy P. Sullivan John A. Canning, Jr. and Eugene Sunshine Lester B. Knight and Patrick G. Ryan Lester B. Knight and William A. Osborn Lester B. Knight and T. Bondurant French Lester B. Knight and A. Steven Crown Lester B. Knight and M. Jude Reyes Lester B. Knight and William Wrigley, Jr.
Form 990, Part VI, Section A, line 2   Business Relationships continued: Edward M. Liddy and D. Gidean Searle Edward M. Liddy and Miles D. White William A. Osborn and Edward M. Liddy William A. Osborn and Nicholas D. Chabraja William A. Osborn and Miles D. White M. Jude Reyes and A. Steven Crown Family Relationships: Patrick G. Ryan and Patrick G. Ryan, Jr.
Form 990, Part VI, Section B, line 11   A hard copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was reviewed by the Committee on Audit of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University.
  Form 990, Part VI, Section B, line 12c University ByLaws and Statutes, which have been adopted by the Board of Trustees, require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the Board of Trustees in writing. An Officer shall call any conflict of interest to the attention of the President. If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees or other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when the his/her knowledge of the subject will assist the Board or any of its committees. Potential conflicts of interest of Trustees and Officers are reviewed by the University's General Counsel. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed.
  Form 990, Part VI, Section B, line 15 The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the Compensation Committee of the Board relies on formal surveys and comparability data prepared and compiled by outside consultants who have expertise in the field of executive compensation assessment and benchmarking. The Compensation Committee of the Board met in June 2009 to review and approve fiscal year 2010 (September 1, 2009 to August 31, 2010) salaries and met in June 2010 to review and approve fiscal year 2011 (September 1, 2010 to August 31, 2011) salaries. Actions undertaken by the Compensation Committee of the Board are contemporaneously documented in the minutes of each meeting. Compensation Committee of the Board reviewed and approved compensation of all current officers listed in Part VII, Section A with the exception of Jeffrey Glassroth. Mr. Glassroth served as interim Vice President for Medical Affairs from July 1, 2011 to August 31, 2011. The Committee reviewed and approved compensation of all current key employees listed in Part VII, Section A with the exception of Jeffrey Miller, who served as Vice Dean and Chief Operating Officer of Feinberg School of Medicine in 2010. 2010 compensation for Mr. Glassroth and Mr. Miller were reviewed and approved by the Vice President for Medical Affairs and Dean of the Feinberg School of Medicine.
  Form 990, Part VI, Section C, line 19 Governing documents: The University maintains an Office for University Relations where information requests from the public are processed. Conflict of Interest Policies: The University's conflict of interest policy for faculty and staff is posted on the University's website. Additional detail policies, including the trustee policy, are available upon request. Financial Statements: The University's annual audited consolidated financial statements are available as pdf documents to be downloaded on demand from the University website.
Local chapters, branches, or affiliates Form 990, Part VI, Line 10 The University does not have local chapters, branches, lodges, units or similar affiliates. As described in Schedule F, the University has one international campus located in Doha, Qatar. The University has a number of affiliation agreements and arrangements with other research and educational institutions but the University does not have authority to exercise supervision and control of such institutions.
Whistleblower Policy Form 990, Part VI, Line 13 The University's whistleblower policy has not been adopted by the Board of Trustees but is applicable to staff and faculty.
Document Retention and Destruction Policy Form 990, Part VI, Line 14 The University's written document retention and detruction policy has not been adopted by the Board of Trustees but is applicable to staff and faculty.
Joint Venture Arrangements Form 990, Part VI, Line 16b The University does not have a written policy regarding joint ventures in general. However, joint ventures are reviewed by the University's Office of General Counsel to evaluate whether the arrangement furthers the mission of the University and to ensure the safeguarding of University's assets. The University also has guidelines concerning joint ventures in its technology transfer and investments policies.
Average hours per week devoted to related organizations Part VII The following individuals listed in column A work an estimated average hours per week for duties at Northwestern Medical Faculty Foundation, which bases hours devoted to that organization on a 60-hour work week: J. Larry Jameson, 30 hours Patrick M. McCarthy, 54 hours Huntington H. Batjer, 54 hours Murad Alam, 60 hour Steven T. Rosen, 10 hours Lewis Landsberg, 12 hours Jeffrey Glassroth, 55 hours
Reconciliation of net assets Part XI, line 5 Other changes in net assets reflects unrealized net gains (losses) on investments.
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
Northwestern University
 
Employer identification number

36-2167817
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

















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) Rubicon Insurance Company

2020 Ridge Ave

Evanston,IL60208
36-3694409 		Providing medical malpractice coverage IL 501(c)(3) 11b Northwestern University
 
Yes
 
(2) Northwestern Medical Faculty Foundation

680 N Lakeshore Dr

Chicago,IL60611
36-3097297 		Patient care, teaching IL 501(c)(3) 9 Northwestern University
 
Yes
 
(3) Students Publishing Company

1999 Sheridan Rd

Evanston,IL60208
36-6002654 		Publishes student periodicals IL 501(c)(3) 11a  
 
No
(4) Mcgaw Medical Center of Northwestern University

420 E Superior St

Chicago,IL60611
36-2656113 		Coordination of medical residents IL 501(c)(3) 11a  
 
No
(5) Northwestern Global Health Foundation

PO Box 1969

Evanston,IL60204
27-3159956 		Developing medical devices for people in need in developing countries IL 501(c)(3) Line 9 Northwestern University
 
Yes
 
(6) The Big Ten Conference Inc

1500 W Higgins Rd

Park Ridge,IL60068
36-3640583 		Facilitate quality intercollegiate athletic competition IL 501(c)(3) 11b  
 
No
(7) Northwestern University Employees Benefit Trust

PO Box 803878 Northern Trust at Tru

Chicago,IL60680
36-3180819 		Providing health insurance benefits to current and former eligible employees IL 501(c)(9)   Northwestern University
 
Yes
 
(8) Northwestern University Employees Benefit Trust Dental

PO Box 803878 Northern Trust at Tru

Chicago,IL60680
36-3591834 		Providing health insurance benefits to current and former eligible employees IL 501(c)(9)   Northwestern University
 
Yes
 
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) Bensell US Feeder LP

50 Lothian Rd Festival Square
Edinburgh   EH3 9WJ
UK
98-0492320 		Investments UK  
investment 682,543 12,584,762   No     No 56.000 %












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) 125 Charitable Remainder UniTrusts
 
 
  IL  
T      
(2) 23 Charitable Remainder Annuity Trusts
 
 
  IL  
T      










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
 
No
c Gift, grant, or capital contribution from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
Yes
 
d Loans or loan guarantees to or for other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
 
No
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
Yes
 
j Lease of facilities, equipment, or other assets from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
 
No
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
 
No
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) Rubicon Insurance Company

 P 130,752  
(2) Rubicon Insurance Company

 Q 5,402,509  
(3) Northwestern Medical Faculty Foundation

 P 6,839,264  
(4) Northwestern Medical Faculty Foundation

 Q 2,004,235  
(5) Northwestern Medical Faculty Foundation

 R 45,630,628  
(6) Northwestern Global Health Foundation

 Q 1,322,589  
(7) Northwestern University Employees Benefit Trust

 Q 33,455,772  
(8) Northwestern University Employees Benefit Trust Dental

 Q 2,485,655  
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
Identification of Related Tax-Exempt Organizations Schedule R, Part II Northwestern Medical Faculty Foundation is included as a "related organization" because under its current bylaws, its clinical department chairs comprise a majority of its directors. These individuals are also employed as chairs of the corresponding academic departments within the Feinberg School of Medicine of Northwestern University. However, the two organizations do not stand in the roles of parent and subsidiary. They are separate legal entities, and Northwestern Medical Faculty Foundation is not subject to control by Northwestern University or vice-versa.
Charitable Remainder Trusts Schedule R, Part IV The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois.
Additional Data


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