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
2011
Open to Public Inspection
A For the calendar year, or tax year beginning 07-01-2011 and ending 06-30-2012
BCheck if applicable:
CName of organization
UNIVERSITY OF CHICAGO
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
5801 S ELLIS AVENUE
 
Room/suite
City or town, state or country, and ZIP + 4
CHICAGO, IL60637
D Employer identification number

36-2177139
E Telephone number

G Gross receipts $ 2,454,194,243
F Name and address of principal officer:
ROBERT J ZIMMER
5801 S ELLIS AVENUE
CHICAGO,IL60637
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
WWW.UCHICAGO.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: 1890
M State of legal domicile: IL
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a)..... 3 52
4 Number of independent voting members of the governing body (Part VI, line 1b) .... 4 41
5 Total number of individuals employed in calendar year 2011 (Part V, line 2a) ... 5 19,618
6 Total number of volunteers (estimate if necessary) .... 6 10,660
7a Total unrelated business revenue from Part VIII, column (C), line 12 .. 7a 10,577,578
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) ......... 704,552,617 717,944,430
9 Program service revenue (Part VIII, line 2g) ......... 1,102,128,862 1,095,101,204
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 412,268,177 335,854,342
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 52,554,613 58,812,749
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 2,271,504,269 2,207,712,725
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 337,549,289 346,290,502
14 Benefits paid to or for members (Part IX, column (A), line 4)..... 0 0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 1,154,330,959 1,212,115,872
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 0 0
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet59,469,000    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24f).... 560,707,120 743,076,639
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 2,052,587,368 2,301,483,013
19 Revenue less expenses. Subtract line 18 from line 12....... 218,916,901 -93,770,288
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 9,405,971,301 9,619,035,065
21 Total liabilities (Part X, line 26)............. 3,440,257,301 3,814,462,065
22 Net assets or fund balances. Subtract line 21 from line 20..... 5,965,714,000 5,804,573,000
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 use only
Print/type preparer's name
 
Preparer's signature
Date
PTIN
Firm's name Right pointing arrowhead image

Firm's EIN Right pointing arrowhead image
Firm's address Right pointing arrowhead image



Phone no.
May the IRS discuss this return with the preparer shown above? See instructions .........bullet
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2011)
Form 990 (2011)
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: THE MISSION OF THE UNIVERSITY OF CHICAGO HAS BEEN TO SUSTAIN AT THE HIGHEST LEVEL OF EXCELLENCE, THE COMMUNICATION OF KNOWLEDGE, THE CREATION OF KNOWLEDGE AND THE FOSTERING OF A DYNAMIC COMMUNITY OF SCHOLARS AND STUDENTS.
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 organization’s program service accomplishments for each of its three largest program services, as measured 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 $ 822,043,321 including grants of $   ) (Revenue $ 629,288,242 )
INSTRUCTION:IN 2011-2012, THE UNIVERSITY ENROLLED 15,393 STUDENTS, OF THAT TOTAL, 5,369 WERE UNDERGRADUATE STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE SCHOOL), 3,753 WERE GRADUATE STUDENTS, 5,441 WERE STUDENTS IN THE UNIVERSITY'S PROFESSIONAL SCHOOLS AND 830 WERE NON-DEGREE STUDENTS.
4b (Code:   ) (Expenses $ 270,846,268 including grants of $   ) (Revenue $ 382,863,375 )
RESEARCH:UNIVERSITY OF CHICAGO FACULTY CROSS TRADITIONAL DISCIPLINARY BOUNDARIES TO TRANSFORM UNDERSTANDINGS IN BUSINESS, ECONOMICS, HISTORY, LAW, LITERATURE, RELIGION, PHYSICS, CHEMISTRY AND BIOLOGY AND MEDICINE, AMONG OTHER FIELDS. IN PURSUIT OF THESE RESEARCH ENDEAVORS, DURING FISCAL YEAR 2011-2012 THE UNIVERSITY WAS AWARDED A TOTAL OF $466.3 MILLION IN RESEARCH FUNDING FROM FEDERAL AGENCIES, NON-FEDERAL GOVERNMENT ENTITIES, CORPORATIONS, FOUNDATIONS AND OTHER SOURCES. THIS FISCAL YEAR $382.9 MILLION WAS EXPENDED FROM FEDERAL GOVERNMENT SPONSORS OF RESEARCH, WITH THE U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES AND THE NATIONAL SCIENCE FOUNDATION PROVIDING THE LARGEST AMOUNTS OF FUNDING. FOUNDATION RESEARCH SPONSORSHIP AWARDS TOTALED $45.8 MILLION, FOLLOWED BY CORPORATE RESEARCH SPONSORSHIP OF $41.7 MILLION.THE UNIVERSITY ALSO CONDUCTS SCIENTIFIC RESEARCH IN COLLABORATION WITH ARGONNE NATIONAL LABORATORY, OWNED BY THE UNITED STATES GOVERNMENT AND OPERATED BY THE UNIVERSITY THROUGH A RELATED ORGANIZATION, UNDER THE TERMS OF A COST REIMBURSEMENT CONTRACT WITH THE U.S. DEPARTMENT OF ENERGY. ARGONNE IS A MULTI-PURPOSE SCIENCE LABORATORY WITH A $768 MILLION ANNUAL BUDGET AND APPROXIMATELY 3400 EMPLOYEES. IN ADDITION, FERMI RESEARCH ALLIANCE, LLC, AN ENTITY JOINTLY OWNED BY THE UNIVERSITY AND UNIVERSITIES RESEARCH ASSOCIATION INC., OPERATES FERMI NATIONAL ACCELERATOR LABORATORY ("FERMILAB") FOR THE U.S. DEPARTMENT OF ENERGY. FERMILAB IS THE NATION'S PREEMINENT CENTER FOR HIGH-ENERGY PHYSICS AND AN INTERNATIONAL CENTER FOR SCIENTIFIC RESEARCH IN ELEMENTARY PARTICLE PHYSICS AND ASTROPHYSICS. FERMILAB HAS A $434 MILLION ANNUAL BUDGET AND OVER 1800 EMPLOYEES.
4c (Code:   ) (Expenses $ 294,393,426 including grants of $   ) (Revenue $   )
SCHOLARSHIPS & FELLOWSHIPS:THE UNIVERSITY IS A NEED BLIND INSTITUTION WITH AN EXTENSIVE FINANCIAL AID PROGRAM WHICH IS DESIGNED TO ENABLE THE MOST QUALIFIED STUDENTS TO ATTEND THE UNIVERSITY REGARDLESS OF THEIR FINANCIAL CIRCUMSTANCES. FOR THE 2011-2012 ACADEMIC YEAR, APPROXIMATELY 55 PERCENT OF ALL STUDENTS IN THE COLLEGE RECEIVED FINANCIAL AID IN THE FORM OF GRANTS AND SCHOLARSHIPS. UNIVERSITY-WIDE EXPENDITURES FOR SCHOLARSHIPS AND FELLOWSHIPS AMOUNTED TO $294.3 MILLION. OF THIS AMOUNT, APPROXIMATELY $211.2 MILLION WAS PROVIDED FROM UNRESTRICTED FUNDS; THE REMAINING $83.1 MILLION CAME FROM RESTRICTED SOURCES. MORE THAN ELEVEN HUNDRED STUDENTS IN THE COLLEGE (THE UNIVERSITY'S UNDERGRADUATE COLLEGE) CURRENTLY RECEIVE ODYSSEY SCHOLARSHIPS. THE ODYSSEY SCHOLARSHIPS PROVIDE INCREASED ACCESS FOR LOW-INCOME AND MODERATE-INCOME STUDENTS BY ELIMINATING LOANS FOR THOSE WITH FAMILY INCOME BELOW $75,000 AND REDUCING LOAN INDEBTEDNESS FOR MANY OTHERS. THE UNIVERSITY EXPANDED ITS GRADUATE AID INITIATIVE, A PROGRAM THAT INVESTS APPROXIMATELY $310,000 IN THE EDUCATION OF EACH PH.D. STUDENT IN THE HUMANITIES, SOCIAL SCIENCES AND DIVINITY SCHOOL. THESE PROGRAMS ARE IN ADDITION TO THE UNIVERSITY'S LONGSTANDING COMMITMENT TO FINANCIAL ASSISTANCE FOR STUDENTS.
(Code:   ) (Expenses $ 668,315,202 including grants of $   ) (Revenue $ 465,812,962 )
THE OTHER PROGRAM SERVICES THAT SUPPORT THE MISSION OF INSTRUCTION AND RESEARCH ARE:AUXILIARY ENTERPRISESLIBRARYOTHER STUDENT SERVICESINFORMATION SERVICESOPERATION AND MAINTENANCE OF PLANT
4d Other program services (Describe in Schedule O.)
(Expenses $ 668,315,202 including grants of $   ) (Revenue $ 465,812,962 )
4e Total program service expensesMediumBullet$ 2,055,598,217
Form 990 (2011)
Form 990 (2011)
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 IIIClick to see attachment........................
5
 
No
6
Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If “Yes,” complete Schedule D, Part IClick to see attachment....................
6
 
No
7
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas or historic structures? If “Yes,” complete Schedule D, Part IIClick to see attachment...
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If “Yes,” complete Schedule D, Part III Click to see attachment....................
8
Yes
 
9
Did the organization report an amount in Part X, line 21; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services? If “Yes,”
complete Schedule D, Part IVClick to see attachment...................
9
 
No
10
Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent endowments, 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
Yes
 
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, investment, and program service activities outside the United States or aggregate foreign investments valued at $100,000 or more? 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 I
17
 
No
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..........
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...................
19
 
No
20a
Did the organization operate one or more hospitals? If “Yes,” complete Schedule H.....
20a
 
No
b
If “Yes” to line 20a, did the organization attach a copy of its audited financial statement to this return? Note. All Form 990 filers that operated one or more hospitals must attach audited financial statements.
20b
 
 
Form 990 (2011)
Form 990 (2011)
Page 4
Part IV
Checklist of Required Schedules (continued)
21
Did the organization report more than $5,000 of grants and other assistance to any government or organization 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 list of attachments
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 employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons? 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...........................
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If “Yes,” complete Schedule N, Part II.......................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If “Yes,” complete Schedule R, Part I........ Click to see attachment
33
Yes
 
34
Was the organization related to any tax-exempt or taxable entity? If “Yes,” complete Schedule R, Parts II, III, IV, and V, line 1..................... Click to see attachment
34
Yes
 
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
Yes
 
b
If ‘Yes’ to line 35a, 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
35b
Yes
 
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 (2011)
Form 990 (2011)
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
22,913
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
19,618
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: MediumBulletEG , FR , CH , HK , IN , SN , UK , BG , BR , RS , SF
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
Yes
 
b
If “Yes,” did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible?........................
6b
Yes
 
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
 
 
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?.........
9a
 
 
b
Did the organization make a distribution to a donor, donor advisor, or related person?......
9b
 
 
10
Section 501(c)(7) organizations. Enter:
a
Initiation fees and capital contributions included on Part VIII, line 12 ...
10a
 
b
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
 
11
Section 501(c)(12) organizations. Enter:
a
Gross income from members or shareholders .........
11a
 
b
Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them) ........
11b
 
12a
Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041?
12a
 
 
b
If “Yes,” enter the amount of tax-exempt interest received or accrued during the year.
12b
 
13
Section 501(c)(29) qualified nonprofit health insurance issuers.
a
Is the organization licensed to issue qualified health plans in more than one state?
Note. All 501(c)(29) organizations must list in Schedule O each state in which they are licensed to issue qualified health plans, the amount of reserves required by each state, and the amount of reserves the organization allocated to each state.
13a
 
 
b
Enter the aggregate amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans.
13b
 
c
Enter the aggregate amount of reserves on hand.
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
 
b
If "Yes," has it filed a Form 720 to report these payments? If “No,” provide an explanation in Schedule O..
14b
 
 
Form 990 (2011)
Form 990 (2011)
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
If the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
1a
52
b
Enter the number of voting members included in line 1a, above, who are independent .................
1b
41
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
Did the organization have members or stockholders? ................
6
 
No
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? .................
7a
 
No
b
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ............
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
Did the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If “Yes,” did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes? ....
10b
 
 
11a
Has the organization provided a complete 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
Did the organization have a written conflict of interest policy? If “No,” go to line 13.......
12a
Yes
 
b
Were officers, directors or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ........................
12b
Yes
 
c
Did the organization regularly and consistently monitor and enforce compliance with the policy? If “Yes,” describe in Schedule O how this was done ....................
12c
Yes
 
13
Did the organization have a written whistleblower policy? ...............
13
Yes
 
14
Did the organization have a written document retention and destruction policy? .........
14
Yes
 
15
Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision?
a
The organization’s CEO, Executive Director, or top management official ...........
15a
Yes
 
b
Other officers or key employees of the organization ................
15b
Yes
 
If "Yes," to line 15a or 15b, 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
 
No
b
If “Yes,” did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization’s exempt status with respect to such arrangements? ............
16b
 
 
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be filedMediumBullet
OK , 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 made these available. Check all that apply.
19
Describe in Schedule O whether (and if so, how), the organization made its governing documents, conflict of interest policy, and financial statements available to the public during the tax year.
20
State the name, physical address, and telephone number of the person who possesses the books and records of the organization: MediumBullet
JOHN R KROLL
6054 S DREXEL AVENUE
CHICAGO,IL60637
(773) 702-1941
Form 990 (2011)
Form 990 (2011)
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 (do not check more than one box, unless person is both an officer and a director/trustee) 		(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) ANDREW M ALPER
CHAIR
 18.00 X           0 0 0
(2) JACK W FULLER
VICE CHAIR
 18.00 X           0 0 0
(3) PAUL G YOVOVICH
VICE CHAIR
 18.00 X           0 0 0
(4) SEKHAR BAHADUR
BOARD MEMBER
 2.00 X           0 0 0
(5) DAVID G BOOTH
BOARD MEMBER
 2.00 X           0 0 0
(6) DAVID B BROOKS
BOARD MEMBER
 2.00 X           0 0 0
(7) THOMAS A COLE
BOARD MEMBER
 2.00 X           0 0 0
(8) E DAVID COOLIDGE III
BOARD MEMBER
 2.00 X           0 0 0
(9) JAMES S CROWN
BOARD MEMBER
 2.00 X           0 0 0
(10) KATHARINE P DARROW
BOARD MEMBER
 2.00 X           0 0 0
(11) DANIEL L DOCTOROFF
BOARD MEMBER
 2.00 X           0 0 0
(12) BRADY W DOUGAN
BOARD MEMBER
 2.00 X           0 0 0
(13) CRAIG J DUCHOSSOIS
BOARD MEMBER
 2.00 X           0 0 0
(14) JOHN A EDWARDSON
BOARD MEMBER
 2.00 X           0 0 0
(15) JAMES S FRANK
BOARD MEMBER
 2.00 X           0 0 0
(16) TIMOTHY M GEORGE
BOARD MEMBER
 2.00 X           0 0 0
(17) RODNEY L GOLDSTEIN
BOARD MEMBER
 2.00 X           0 0 0
Form 990 (2011)
Form 990 (2011)
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 (do not check more than one box, unless person is both an officer and a director/trustee) 		(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) MARY LOUISE GORNO
BOARD MEMBER
 2.00 X           0 0 0
(19) KATHRYN C GOULD
BOARD MEMBER
 2.00 X           0 0 0
(20) SANFORD J GROSSMAN
BOARD MEMBER
 2.00 X           0 0 0
(21) KING W HARRIS
BOARD MEMBER
 2.00 X           0 0 0
(22) KENNETH M JACOBS
BOARD MEMBER
 2.00 X           3,000 0 0
(23) KAREN L KATEN
BOARD MEMBER
 2.00 X           0 0 0
(24) DENNIS J KELLER
BOARD MEMBER
 2.00 X           0 0 0
(25) STEVEN A KERSTEN
BOARD MEMBER
 2.00 X           0 0 0
(26) JAMES M KILTS
BOARD MEMBER
 2.00 X           0 0 0
(27) MICHAEL J KLINGENSMITH
BOARD MEMBER
 2.00 X           0 0 0
(28) MICHAEL L KLOWDEN
BOARD MEMBER
 2.00 X           0 0 0
(29) ROBERT W LANE
BOARD MEMBER
 2.00 X           0 0 0
(30) CHARLES A LEWIS
BOARD MEMBER
 2.00 X           0 0 0
(31) JOHN LIEW
BOARD MEMBER
 2.00 X           0 0 0
(32) PETER W MAY
BOARD MEMBER
 2.00 X           0 0 0
(33) JOSEPH NEUBAUER
BOARD MEMBER
 2.00 X           0 0 0
(34) EMILY NICKLIN
BOARD MEMBER
 2.00 X           0 0 0
(35) HARVEY B PLOTNICK
BOARD MEMBER
 2.00 X           0 0 0
(36) MICHAEL P POLSKY
BOARD MEMBER
 2.00 X           0 0 0
(37) MYRTLE STEPHENS POTTER
BOARD MEMBER
 2.00 X           0 0 0
(38) THOMAS J PRITZKER
BOARD MEMBER
 2.00 X           0 0 0
(39) THOMAS A REYNOLDS III
BOARD MEMBER
 2.00 X           0 0 0
(40) JOHN W ROGERS JR
BOARD MEMBER
 2.00 X           0 0 0
(41) ANDREW M ROSENFIELD
BOARD MEMBER
 2.00 X           0 0 0
(42) DAVID M RUBENSTEIN
BOARD MEMBER
 2.00 X           0 0 0
(43) ALVARO J SAIEH
BOARD MEMBER
 2.00 X           0 0 0
(44) STEVE G STEVANOVICH
BOARD MEMBER
 2.00 X           0 0 0
(45) ELIZABETH M THOMPSON
BOARD MEMBER
 2.00 X           0 0 0
(46) MARY A TOLAN
BOARD MEMBER
 2.00 X           0 0 0
(47) BRYON D TROTT
BOARD MEMBER
 2.00 X           0 0 0
(48) MARSHALL I WAIS JR
BOARD MEMBER
 2.00 X           0 0 0
(49) GREGORY W WENDT
BOARD MEMBER
 2.00 X           0 0 0
(50) PAULA WOLFF
BOARD MEMBER
 2.00 X           0 0 0
(51) FRANCIS T F YUEN
BOARD MEMBER
 2.00 X           0 0 0
(52) ROBERT J ZIMMER
PRESIDENT AND TRUSTEE
 40.00 X   X       2,756,471 0 602,252
(53) THOMAS F ROSENBAUM
PROVOST
 40.00     X       572,717 0 86,883
(54) NIMALAN CHINNIAH
VP FOR ADMIN & CFO
 40.00     X       537,906 0 49,278
(55) THOMAS FARRELL
VP - ALUMI RELATIONS
 40.00     X       487,957 0 45,339
(56) DAVID B FITHIAN
SECRETARY OF THE BOARD
 40.00     X       304,261 0 26,556
(57) KIMBERLY GOFF-CREWS
VP - DEAN OF STUDENTS
 40.00     X       267,287 0 29,040
(58) DAVID GREENE
VP STRATEGIC INITIATIVES
 40.00     X       512,159 0 62,732
(59) BETH A HARRIS
VP & GENERAL COUNSEL
 40.00     X       382,465 0 123,587
(60) DONALD H LEVY
VP FOR RESEARCH & NATL. LA
 40.00     X       338,057 0 31,752
(61) ANN MARIE LIPINSKI
VP FOR CIVIC ENGAGEMENT
 40.00     X       222,159 0 28,143
(62) KEN MANOTTI
VP - ALUMI RELATIONS
 40.00     X       66,599 0 6,062
(63) JAMES NONDORF
VP & DEAN OF ADMISSIONS
 40.00     X       380,474 0 26,776
(64) JULIE A PETERSON
VP FOR UNIV. COMMUNICATION
 40.00     X       380,488 0 55,283
(65) KENNETH S POLONSKY
VP FOR MEDICAL AFFAIRS
 40.00     X       1,743,266 0 37,582
(66) MARK SCHMID
VP & CHIEF INVESTMENT OFC.
 40.00     X       1,867,971 0 543,784
(67) SUNIL KUMAR
DEAN BOOTH SCH OF BUSINESS
 40.00       X     823,264 0 34,866
(68) MICHAEL E EDLESON
CHIEF RISK OFFICER INVEST
 40.00         X   1,259,808 0 361,799
(69) PATRICK O'HARA
MGR DIR OF PRIV EQUITY INV
 40.00         X   1,137,014 0 278,157
(70) CHRISTOPHER LONGEE
MGR DIR OF REAL ASSET INVE
 40.00         X   1,167,777 0 301,094
(71) JOANNA RUPP
CHIEF OPER. OFFICER INVEST
 40.00         X   1,202,327 0 311,742
(72) MATTHEW STONE
MGR DIR OF PUB MKTS & ABSOL.
 40.00         X   1,129,969 0 337,873
(73) KINERT JAFFE
DIR OF CULTURAL PARTNERS
 40.00           X 159,723 0 33,337
(74) EVERETT VOKES
INTERIM VP FOR MED. AFFAIR
 40.00           X 823,866 0 74,740
(75) EDWARD SNYDER
FORMER DEAN BOOTH SCH. OF
 40.00           X 358,239 0 30,116
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 18,885,224 0 3,518,773
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet2,111
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. Report compensation for the calendar year ending with or within the organization’s tax year.
(A)
Name and business address 		(B)
Description of services 		(C)
Compensation
ALLIED BARTON SECURITY SERVICES
PO BOX 828854
PHILADELPHIA,PA19182 		SECURITY 2,901,134
US EQUITIES ASSET MANAGEMENT LLC
20 N MICHIGAN AVENUE
CHICAGO,IL60602 		PROPERTY MANAGEMENT 2,696,726
ZELLER 401 PROPERTY LLC
37403 EAGLE WAY
CHICAGO,IL60678 		PROPERTY MANAGEMENT & RENT 2,264,003
TOD WILLIAMS BILLIE TSIEN ARCHITECTS LLP
222 CENTRAL PARK SOUTH
NEW YORK,NY10019 		ARCHITECTS 1,259,091
DLA PIPER USA LLP
203 N LASALLE ST
CHICAGO,IL60601 		LEGAL FEES 893,482
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet66
Form 990 (2011)
Form 990 (2011)
Page 9
Part VIII
Statement of Revenue
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512, 513, or 514
Contributions, Gifts, Grants and Other Similar Amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 572,043
d Related organizations...1d 63,000,000
e Government grants (contributions)1e 382,863,375
f All other contributions, gifts, grants, and
similar amounts not included above1f 		271,509,012
g Noncash contributions included in lines 1a-1f:$ 60,411,812
h Total. Add lines 1a-1f.......MediumBullet 717,944,430
Program Service Revenue Business Code
2a TUITION AND FEES 900,099 629,288,242 629,288,242    
b SALES & SERVICES EDU A 900,099 329,859,462 329,859,462    
c SALES & SERVICE AUX EN 900,099 131,195,909 131,195,909    
d FEES FR GOVT AGENCIES 900,099 4,757,591 4,757,591    
e
f All other program service revenue .        
g Total. Add lines 2a–2f........MediumBullet 1,095,101,204
Other Revenue 3 Investment income (including dividends, interest
and other similar amounts).....MediumBullet 103,329,481   3,823,080 99,506,401
4 Income from investment of tax-exempt bond proceeds..MediumBullet 242,074     242,074
5 Royalties............MediumBullet 9,612,744     9,612,744
(i) Real (ii) Personal
6a Gross rents    
b Less: rental expenses    
c Rental income or (loss)    
d Net rental income or (loss).......MediumBullet        
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 452,444,434  
b Less: cost or other basis and sales expenses 214,849,372 5,312,275
c Gain or (loss) 237,595,062 -5,312,275
d Net gain or (loss)..........MediumBullet 232,282,787     232,282,787
8a Gross income from fundraising events (not including
$ 572,043
of contributions reported on line 1c). See Part IV, line 18 ...
a 236,990
b Less: direct expenses ...b 264,721
c Net income or (loss) from fundraising events..MediumBullet -27,731   -27,731
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 67,174,460
b Less: cost of goods sold ..b 26,055,150
c Net income or (loss) from sales of inventory..MediumBullet 41,119,310     41,119,310
Miscellaneous Revenue Business Code
11a CONFERENCES & CATERING 722,320 6,498,564   6,498,564  
b ACTUARIAL ADJUSTMENT 900,099 4,103,547 4,103,547    
c ADVERTISING 541,800 255,934   255,934  
d All other revenue .... -2,749,619 -2,749,619    
e Total. Add lines 11a–11d ......MediumBullet 8,108,426
12 Total revenue. See Instructions....MediumBullet 2,207,712,725 1,096,455,132 10,577,578 382,735,585
Form 990 (2011)
Form 990 (2011)
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).
Check if Schedule O contains a response to any question in this Part IX. .........
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 United States. See Part IV, line 21 48,474,998 48,474,998
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 290,567,894 290,567,894
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 7,247,610 7,247,610
4 Benefits paid to or for members    
5 Compensation of current officers, directors, trustees, and key employees .... 11,624,363   10,467,278 1,157,085
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 931,122,472 804,613,252 81,194,755 45,314,465
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 72,415,093 54,614,785 14,400,068 3,400,240
9 Other employee benefits ....... 140,890,129 106,258,015 28,016,639 6,615,475
10 Payroll taxes ........... 56,063,815 42,282,804 11,148,543 2,632,468
11 Fees for services (non-employees):        
a Management ...... 20,642,193 18,457,117 2,175,459 9,617
b Legal ......... 4,595,500   4,595,500  
c Accounting ........... 710,943   710,943  
d Lobbying ........... 295,441   295,441  
e Professional fundraising. See Part IV, line 17..    
f Investment management fees ...... 3,267,059 3,267,059    
g Other ..........        
12 Advertising and promotion .... 5,735,237 5,735,237    
13 Office expenses ....... 124,894,681 111,673,976 13,162,519 58,186
14 Information technology ...... 16,380,546 14,668,879 1,684,880 26,787
15 Royalties .. 4,989,690 4,989,690    
16 Occupancy ........... 49,592,587 44,443,953 5,069,566 79,068
17 Travel ............ 31,763,968 28,401,599 3,347,571 14,798
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ......        
19 Conferences, conventions, and meetings .... 30,158,430 26,966,015 3,178,365 14,050
20 Interest ........... 77,908,511 77,908,511    
21 Payments to affiliates .......        
22 Depreciation, depletion, and amortization ..... 143,220,237 143,220,237    
23 Insurance .............. 25,933,498 23,163,892 2,730,411 39,195
24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24f. If line 24f amount exceeds 10% of line 25, column (A) amount, list line 24f expenses on Schedule O.)
a PENSION PLAN ADJUSTMENT 92,724,507 92,724,507    
b SWAP VALUATION 34,849,961 34,849,961    
c EQUIPMENT RENTAL & MAIN 21,914,992 21,914,992    
d ALTERATIONS AND REPAIRS 13,194,387 13,194,387    
e
f All other expenses 40,304,271 35,958,847 4,237,858 107,566
25 Total functional expenses. Add lines 1 through 24f 2,301,483,013 2,055,598,217 186,415,796 59,469,000
26 Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here MediumBullet if following SOP 98-2 (ASC 958-720).        
Form 990 (2011)
Form 990 (2011)
Page 11
Part X Balance Sheet
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash—non-interest-bearing .......... 54,280,196 1 71,930,057
2 Savings and temporary cash investments ....... 198,280,716 2 278,924,667
3 Pledges and grants receivable, net ......... 380,616,770 3 393,076,041
4 Accounts receivable, net ......... 80,697,441 4 91,900,381
5 Receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L .......... 2,403,833 5 897,445
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 ............. 44,782,252 7 43,059,635
8 Inventories for sale or use .............. 7,673,511 8 6,014,629
9 Prepaid expenses and deferred charges ............ 25,656,906 9 28,229,286
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 3,801,403,781
b Less: accumulated depreciation. ..... 10b 1,349,268,825 2,354,184,950 10c 2,452,134,956
11 Investments—publicly traded securities .......... 2,749,676,385 11 2,104,557,275
12 Investments—other securities. See Part IV, line 11 ...... 3,497,535,707 12 4,132,964,271
13 Investments—program-related. See Part IV, line 11 ..   13  
14 Intangible assets .........   14  
15 Other assets. See Part IV, line 11 ........... 10,182,634 15 15,346,422
16 Total assets. Add lines 1 through 15 (must equal line 34)... 9,405,971,301 16 9,619,035,065
Liabilities 17 Accounts payable and accrued expenses . 771,839,888 17 873,488,278
18 Grants payable ..........   18  
19 Deferred revenue .......... 88,711,400 19 89,520,977
20 Tax-exempt bond liabilities .......... 1,672,589,461 20 1,780,921,204
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 ..   23  
24 Unsecured notes and loans payable to unrelated third parties .... 497,000,000 24 658,600,066
25 Other liabilities (including federal income tax, payables to related third parties, and other liabilities not included on lines 17-24). Complete Part X of Schedule D..... 410,116,552 25 411,931,540
26 Total liabilities. Add lines 17 through 25..... 3,440,257,301 26 3,814,462,065
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 ..... 1,488,387,000 27 1,296,967,000
28 Temporarily restricted net assets ..... 3,078,927,000 28 3,055,179,000
29 Permanently restricted net assets ..... 1,398,400,000 29 1,452,427,000
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 ..... 5,965,714,000 33 5,804,573,000
34 Total liabilities and net assets/fund balances ..... 9,405,971,301 34 9,619,035,065
Form 990 (2011)
Form 990 (2011)
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
2,207,712,725
2
Total expenses (must equal Part IX, column (A), line 25) ....
2
2,301,483,013
3
Revenue less expenses. Subtract line 2 from line 1 ...
3
-93,770,288
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
5,965,714,000
5
Other changes in net assets or fund balances (explain in Schedule O) ...
5
-67,370,712
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
5,804,573,000
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 (2011)
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
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
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) 2011
Schedule A (Form 990 or 990-EZ) 2011
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) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (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) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (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) 2011
Schedule A (Form 990 or 990-EZ) 2011
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) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (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) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (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) 2011
Schedule A (Form 990 or 990-EZ) 2011
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) 2011

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
2011
Name of organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
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 on line H of its
Form 990-EZ or on Part I, 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) (2011)

Page 2
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
Name of organization
UNIVERSITY OF CHICAGO
  		Employer identification number

36-2177139
Part I
Contributors (see Instructions). Use duplicate copies of Part I if additional space is needed.
     
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total 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)
Total contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




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

     
 
   

$  




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

     
 
   

$  




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

     
 
   

$  




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

     
 
   

$  




(Complete Part II if there is a noncash contribution.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

Page 3
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
Name of organization
UNIVERSITY OF CHICAGO
  		Employer identification number

36-2177139
Part II
Noncash Property (see Instructions). Use duplicate copies of Part II if additional space is needed.
     
(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) (2011)

Page 4
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
Name of organization
UNIVERSITY OF CHICAGO
  		Employer identification number

36-2177139
Part III
Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
that total 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 $  
Use duplicate copies of Part III if additional space is needed
(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) (2011)

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
2011
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, line 35c (Proxy Tax), then
Round Bullet Section 501(c)(4), (5), or (6) organizations: Complete Part III.
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
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 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 function 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) 2011

Schedule C (Form 990 or 990-EZ) 2011
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 expenses, and share of excess lobbying expenditures).
B Check
Limits on Lobbying Expenditures
(The term "expenditures" means amounts paid or incurred.) 		(a) Filing
organization's
totals 		(b) Affiliated group
totals
1a Total lobbying expenditures to influence public opinion (grass roots lobbying) ......    
b Total lobbying expenditures to influence a legislative body (direct lobbying) .......    
c Total lobbying expenditures (add lines 1a and 1b) ...................    
d Other exempt purpose expenditures ........................    
e Total exempt purpose expenditures (add lines 1c and 1d) ...............    
f Lobbying nontaxable amount. Enter the amount from the following table in both
columns.		    
  If the amount on line 1e, column (a) or (b) is:The lobbying nontaxable amount is:    
  Not over $500,00020% of the amount on line 1e.    
  Over $500,000 but not over $1,000,000$100,000 plus 15% of the excess over $500,000.    
  Over $1,000,000 but not over $1,500,000$175,000 plus 10% of the excess over $1,000,000.    
  Over $1,500,000 but not over $17,000,000$225,000 plus 5% of the excess over $1,500,000.    
  Over $17,000,000$1,000,000.    
       
g Grassroots nontaxable amount (enter 25% of line 1f) .................    
h Subtract line 1g from line 1a. If zero or less, enter -0-. ................    
i Subtract line 1f from line 1c. If zero or less, enter -0-. ................    
j If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting
section 4911 tax for this year? ......................................

4-Year Averaging Period Under Section 501(h)
(Some organizations that made a section 501(h) election do not have to complete all of the five
columns below. See the instructions for lines 2a through 2f on page 4.)
Lobbying Expenditures During 4-Year Averaging Period
  Calendar year (or fiscal year
beginning in) 		(a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) Total
             
2a Lobbying non-taxable amount          
             
b Lobbying ceiling amount
(150% of line 2a, column(e)) 		         
             
c Total lobbying expenditures          
             
d Grassroots nontaxable amount          
             
e Grassroots ceiling amount
(150% of line 2d, column (e))		          
             
f Grassroots lobbying expenditures          
Schedule C (Form 990 or 990-EZ) 2011


Schedule C (Form 990 or 990-EZ) 2011
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)).
For each “Yes” response to lines 1a through 1i below, provide in Part IV a detailed description of the lobbying activity.
(a)
Yes
No
(b)
Amount
1
During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of:
a
Volunteers? .........................................
 
No
b
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ....
Yes
 
c
Media advertisements? ....................................
 
No
 
d
Mailings to members, legislators, or the public? .........................
 
No
 
e
Publications, or published or broadcast statements? .......................
 
No
 
f
Grants to other organizations for lobbying purposes? .......................
 
No
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
Yes
 
394,258
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? ..........................
 
No
 
j
Total. Add lines 1c through 1i ...............................
394,258
2a
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....
 
No
b
If "Yes," enter the amount of any tax incurred under section 4912 .................
 
c
If "Yes," enter the amount of any tax incurred by organization managers under section 4912 .....
 
d
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? .......
 
 
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 carry over 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) and if either (a) BOTH Part III-A, lines 1 and 2 are answered “No” OR (b) Part III-A, line 3 is answered “Yes”.
1
Dues, assessments and similar amounts from members .....................
1
 
2
Section 162(e) nondeductible 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, Part II-A; line 5; and Part ll-B, line 1.
Also, complete this part for any additional information.
Identifier Return Reference Explanation
PART IV, SUPPLEMENTAL INFORMATION:   PART II-B, LINE 1(B) AND (G) THE UNIVERSITY OF CHICAGO IS INVOLVED IN ISSUES THAT AFFECT HIGHER EDUCATION AND RESEARCH.
Schedule C (Form 990 or 990EZ) 2011

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, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b
SchDMd Bullet Attach to Form 990. SchDMd Bullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
Part I
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" to Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year .......    
2 Aggregate contributions to (during year) ...    
3 Aggregate grants from (during year) ...    
4 Aggregate value at end of year .......    
5
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised
funds are the organization's property, subject to the organization's exclusive legal control? ............
6
Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can 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 through 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, and not on a historic structure listed in the National Register .................... 2d  
3
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during
the tax 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 (ASC 958), 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 (ASC 958), 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 (ASC 958), 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) 2011

Schedule D (Form 990) 2011
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 .... 5,691,013,000 4,904,717,000 4,535,634,000 5,933,761,000
b Contributions ........ 82,079,000 128,430,000 126,671,000 110,214,000
c Net investment earnings, gains, and losses ... 265,909,000 1,009,407,000 695,590,000  
d Grants or scholarships ..... 43,210,000 42,632,000 39,774,000 33,303,000
e Other expenditures for facilities
and programs ........ 		277,366,000 294,918,000 402,328,000 258,775,000
f Administrative expenses .... 17,006,000 13,991,000 11,076,000 9,422,000
g End of year balance ...... 5,701,419,000 5,691,013,000 4,904,717,000 4,535,634,000
2
Provide the estimated percentage of the year end balance (line 1g) held as:
a
Board designated or quasi-endowment SchDMd Bullet32.000 %
b
Permanent endowment SchDMd Bullet23.000 %
c
Temporarily restricted endowment SchDMd Bullet45.000 %
The percentages in lines 2a, 2b, and 2c should equal 100%.
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
Land, Buildings, and Equipment. See Form 990, Part X, line 10.
Description of property (a) Cost or other basis (investment) (b)Cost or other basis (other) (c) Accumulated depreciation (d) Book value
1a Land .................   68,426,219 68,426,219
b Buildings ................   3,013,627,634 877,603,595 2,136,024,039
c Leasehold improvements ............        
d Equipment ................   432,079,011 255,525,855 176,553,156
e Other .................   287,270,917 216,139,375 71,131,542
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 2,452,134,956
Schedule D (Form 990) 2011

Schedule D (Form 990) 2011
Page 3
Part VII
Investments—Other Securities. See Form 990, Part X, line 12.
(a) Description of security or category
(including name of security)		 (b)Book value (c) Method of valuation:
Cost or end-of-year market value
(1)Financial derivatives    
(2)Closely-held equity interests    
(3)Other
(A) CLOSELY HELD EQUITY INTERESTS 		2,785,648,785 F

(B) REAL ESTATE & NATURAL RESOURCES 		1,347,315,486 F







Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 4,132,964,271
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) must 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) must 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) Book value
Federal Income Taxes  
SELF INSURANCE LIABILITY 256,032,099
FUNDS HELD IN CUSTODY FOR OTHERS 99,642,161
ASSET RETIREMENT OBLIGATION 56,257,280






Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 411,931,540
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) 2011

Schedule D (Form 990) 2011
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 2,207,712,725
2 Total expenses (Form 990, Part IX, column (A), line 25) ..................... 2 2,301,483,013
3 Excess or (deficit) for the year. Subtract line 2 from line 1 ............. 3 -93,770,288
4 Net unrealized gains (losses) on investments .......................... 4 -67,369,889
5 Donated services and use of facilities ............................. 5  
6 Investment expenses ................................... 6  
7 Prior period adjustments .................................. 7  
8 Other (Describe in Part XIV.) ................................. 8 -823
9 Total adjustments (net). Add lines 4 through 8 ......................... 9 -67,370,712
10 Excess or (deficit) for the year per financial statements. Combine lines 3 and 9 ......... 10 -161,141,000
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 2,168,443,203
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a -67,369,889
b Donated services and use of facilities ......... 2b  
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIV.) ............ 2d 31,367,426
e Add lines 2a through 2d ..................... 2e -36,002,463
3 Subtract line 2e from line 1..................... 3 2,204,445,666
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 3,267,059
b Other (Describe in Part XIV.) ........... 4b  
c Add lines 4a and 4b....................... 4c 3,267,059
5 Total Revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ...... 5 2,207,712,725
Part XIII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return
1 Total expenses and losses per audited financial statements ............. 1 2,329,583,380
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 31,367,426
e Add lines 2a through 2d...................... 2e 31,367,426
3 Subtract line 2e from line 1..................... 3 2,298,215,954
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 3,267,059
b Other (Describe in Part XIV.) ............ 4b  
c Add lines 4a and 4b....................... 4c 3,267,059
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5 2,301,483,013
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 4: THE UNIVERSITY OF CHICAGO HAS TWO MUSEUMS - THE DAVID AND ALFRED SMART MUSEUM OF ART (SMART MUSEUM) AND THE ORIENTAL INSTITUTE MUSEUM OF THE UNIVERSITY OF CHICAGO (ORIENTAL INSTITUTE MUSEUM). THE SMART MUSEUM PROMOTES THE UNDERSTANDING OF THE VISUAL ARTS AND THEIR IMPORTANCE TO CULTURAL AND INTELLECTUAL HISTORY THROUGH DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART AND THROUGH AN INTERDISCIPLINARY APPROACH TO ITS COLLECTIONS, EXHIBITIONS, PUBLICATIONS AND PROGRAMS. THE SCOPE OF ITS PERMANENT COLLECTIONS, SPECIAL EXHIBITIONS, FOCUS ON RESEARCH AND TEACHING BY THE UNIVERSITY OF CHICAGO SCHOLARS AND OUTREACH AND EDUCATIONAL PROGRAMS TO BOTH ADULTS AND SCHOOL AGE CHILDREN MAKE SMART MUSEUM ONE OF THE MIDWEST'S MOST DYNAMIC AND INNOVATIVE EDUCATIONAL INSTITUTIONS IN THE VISUAL ARTS. THE ORIENTAL INSTITUTE MUSEUM IS A WORLD RENOWNED SHOWCASE FOR THE HISTORY, ART AND ARCHAEOLOGY OF THE ANCIENT NEAR EAST. THE COLLECTIONS ARE USED EXTENSIVELY FOR RESEARCH, TEACHING AND EXHIBITIONS. ITS APPROACH TO INTEGRATE ARCHAEOLOGICAL, TEXTUAL AND ART HISTORICAL DATA TO UNDERSTAND THE DEVELOPMENT AND FUNCTIONS OF THE ANCIENT CIVILIZATIONS OF THE NEAR EAST MAKE IT AN EXCEPTIONAL RESOURCE FOR THE UNIVERSITY COMMUNITY AS WELL AS THE COMMUNITY AT LARGE.
DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE UNIVERSITY'S USE OF ENDOWMENT FUNDS IS INSEPARABLE FROM THE OVERALL ACADEMIC MISSION AS ONE OF THE WORLD'S LEADING RESEARCH UNIVERSITIES. ENDOWMENT FUNDS ARE USED TO SUPPORT INSTRUCTION AND RESEARCH PROGRAMS; SUPPORT PROFESSORSHIPS; SUPPORT FINANCIAL AID FOR UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS; SUPPORT THE ACQUISITION, RESTORATION AND PRESERVATION OF BOOKS AND OTHER MATERIALS IN THE LIBRARIES; AND SUPPORT THE ON-GOING OPERATIONS OF THE PHYSICAL PLANT, GROUNDS, AND EQUIPMENT.
DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE UNIVERSITY IS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND, EXCEPT TO THE EXTENT THAT THE UNIVERSITY HAS UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL INCOME TAXES. THERE WAS NO PROVISION FOR INCOME TAXES DUE ON UNRELATED BUSINESS INCOME IN FISCAL YEARS 2012 AND 2011. THE UNIVERSITY HAS NO UNCERTAIN TAX POSITIONS, WHICH THE UNIVERSITY CONSIDERS TO BE MATERIAL.
PART XI, LINE 8 - OTHER ADJUSTMENTS:   MISCELLANEOUS ROUNDING ADJUSTMENT -823.
PART XII, LINE 2D - OTHER ADJUSTMENTS:   ADJUSTMENT FOR COST OF GOODS SOLD 26,055,150. COST OF DISPOSED EQUIPMENT 5,312,276.
PART XIII, LINE 2D - OTHER ADJUSTMENTS:   ADJUSTMENT FOR COST OF GOODS SOLD 26,055,150. COST OF DISPOSED EQUIPMENT 5,312,276.
    SCHEDULE D, PART XI, LINE 8 THERE IS A MISCELLANEOUS ROUNDING ADJUSTMENT OF $823
Schedule D (Form 990) 2011

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
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
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) 2011
Schedule E (Form 990 or 990EZ) 2011
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 THE UNIVERSITY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND AROUND THE WORLD, FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY, AS EMBODIED IN THE UNIVERSITY'S POLICY ON UNLAWFUL DISCRIMINATION AND HARASSMENT, AND INCLUDES A STATEMENT OF ITS NONDISCRIMINATORY POLICY ON ITS BROCHURES, CATALOGUES AND APPLICATION MATERIALS DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS.
EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE UNIVERSITY OF CHICAGO RECEIVES FUNDING FROM VARIOUS GOVERNMENTAL AGENCIES FOR STUDENT FINANCIAL AID.
Schedule E (Form 990 or 990-EZ) 2011
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
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
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 its grants
and other 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 its grants and other
assistance 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
EUROPE (INCLUDING ICELAND & GREENLAND) 2 31 PROGRAM SERVICES INSTRUCTION 18,897,439
RUSSIA & THE NEWLY INDEPENDENT STATES     PROGRAM SERVICES INSTRUCTION 71,147
SUB-SAHARAN AFRICA   4 PROGRAM SERVICES INSTRUCTION 311,733
EAST ASIA AND THE PACIFIC 1 18 PROGRAM SERVICES INSTRUCTION 13,974,162
SOUTH ASIA     PROGRAM SERVICES INSTRUCTION 185,634
NORTH AMERICA     PROGRAM SERVICES INSTRUCTION 87,076
MIDDLE EAST AND NORTH AFRICA   1 PROGRAM SERVICES INSTRUCTION 244,214
SOUTH ASIA   3 PROGRAM SERVICES RESEARCH 1,237,387
EAST ASIA AND THE PACIFIC 1 6 PROGRAM SERVICES RESEARCH 2,190,489
MIDDLE EAST AND NORTH AFRICA 1 11 PROGRAM SERVICES RESEARCH 638,570
EUROPE (INCLUDING ICELAND & GREENLAND)   2 PROGRAM SERVICES RESEARCH 79,005
EUROPE (INCLUDING ICELAND & GREENLAND)     PROGRAM SERVICES SUBAWARD 1,374,879
RUSSIA & THE NEWLY INDEPENDENT STATES     PROGRAM SERVICES SUBAWARD 46,866
SUB-SAHARAN AFRICA     PROGRAM SERVICES SUBAWARD 333,043
EAST ASIA AND THE PACIFIC     PROGRAM SERVICES SUBAWARD 160,269
SOUTH ASIA     PROGRAM SERVICES SUBAWARD 607,397
NORTH AMERICA     PROGRAM SERVICES SUBAWARD 273,751
MIDDLE EAST AND NORTH AFRICA     PROGRAM SERVICES SUBAWARD 130,003
SOUTH AMERICA     PROGRAM SERVICES SUBAWARD 67,995
EUROPE (INCLUDING ICELAND & GREENLAND)     PROGRAM SERVICES STUDENT AID/STIPENDS 3,240,955
RUSSIA & THE NEWLY INDEPENDENT STATES     PROGRAM SERVICES STUDENT AID/STIPENDS 18,100
SUB-SAHARAN AFRICA     PROGRAM SERVICES STUDENT AID/STIPENDS 158,134
EAST ASIA AND THE PACIFIC     PROGRAM SERVICES STUDENT AID/STIPENDS 398,988
SOUTH ASIA     PROGRAM SERVICES STUDENT AID/STIPENDS 195,473
NORTH AMERICA     PROGRAM SERVICES STUDENT AID/STIPENDS 9,000
MIDDLE EAST AND NORTH AFRICA     PROGRAM SERVICES STUDENT AID/STIPENDS 194,256
SOUTH AMERICA     PROGRAM SERVICES STUDENT AID/STIPENDS 35,500
CENTRAL AMERICA AND THE CARIBBEAN     PROGRAM SERVICES STUDENT AID/STIPENDS 3,000
EUROPE (INCLUDING ICELAND & GREENLAND)     FUNDRAISING   622,443
EAST ASIA AND THE PACIFIC     FUNDRAISING   522,068
EAST ASIA AND THE PACIFIC     UNRELATED BUSINESS INCOME   43,349
CENTRAL AMERICA AND THE CARIBBEAN     INVESTMENTS   1,726,193,871
EAST ASIA AND THE PACIFIC     INVESTMENTS   76,073,384
EUROPE (INCLUDING ICELAND & GREENLAND)     INVESTMENTS   316,621,960
NORTH AMERICA     INVESTMENTS   54,339,543
EUROPE (INCLUDING ICELAND & GREENLAND)     INVESTMENTS   42,147,499
3a Sub-total ..... 3 57 35,008,792
b Total from continuation sheets to Part I ... 2 19 2,226,719,790
c Totals (add lines 3a and 3b) 5 76 2,261,728,582
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2011
Schedule F (Form 990) 2011
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 SUBAWARD 160,269 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 274,923 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 7,824 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 166,924 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 5,758 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 153,391 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 98,577 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 108,486 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 167,143 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 119,916 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 70,783 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 59,159 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 84,996 WIRE      
EUROPE (INCLUDING ICELAND & GREENLAND) SUBAWARD 57,000 WIRE      
MIDDLE EAST AND NORTH AFRICA SUBAWARD 130,003 WIRE      
NORTH AMERICA SUBAWARD 150,235 WIRE      
NORTH AMERICA SUBAWARD 20,016 WIRE      
NORTH AMERICA SUBAWARD 103,500 WIRE      
RUSSIA & THE NEWLY INDEPENDENT STATES SUBAWARD 46,866 WIRE      
SOUTH AMERICA SUBAWARD 27,410 WIRE      
SOUTH AMERICA SUBAWARD 40,584 WIRE      
SOUTH ASIA SUBAWARD 48,300 WIRE      
SOUTH ASIA SUBAWARD 517,760 WIRE      
SOUTH ASIA SUBAWARD 41,337 WIRE      
SUB-SAHARAN AFRICA SUBAWARD 134,413 WIRE      
SUB-SAHARAN AFRICA SUBAWARD 5,673 WIRE      
SUB-SAHARAN AFRICA SUBAWARD 192,957 WIRE      
2
Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter .....MediumBullet
 
3
Enter total number of other organizations or entities ........................MediumBullet
 
Schedule F (Form 990) 2011
Schedule F (Form 990) 2011Page 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)
STUDENT AID EAST ASIA AND THE PACIFIC 22 256,688 CHECK      
STUDENT AID EUROPE (INCLUDING ICELAND & GREENLAND) 223 3,114,580 CHECK      
STUDENT AID MIDDLE EAST AND NORTH AFRICA 14 154,806 CHECK      
STUDENT AID RUSSIA & THE NEWLY INDEPENDENT STATES 1 5,100 CHECK      
STUDENT AID SOUTH ASIA 12 152,423 CHECK      
STUDENT AID SUB-SAHARAN AFRICA 13 141,934 CHECK      
SUMMER STUDENT GRANTS CENTRAL AMERICA AND THE CARIBBEAN 1 3,000 CHECK      
SUMMER STUDENT GRANTS EAST ASIA AND THE PACIFIC 44 142,300 CHECK      
SUMMER STUDENT GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 43 126,375 CHECK      
SUMMER STUDENT GRANTS MIDDLE EAST AND NORTH AFRICA 14 39,450 CHECK      
SUMMER STUDENT GRANTS NORTH AMERICA 3 9,000 CHECK      
SUMMER STUDENT GRANTS RUSSIA & THE NEWLY INDEPENDENT STATES 4 13,000 CHECK      
SUMMER STUDENT GRANTS SOUTH AMERICA 13 35,500 CHECK      
SUMMER STUDENT GRANTS SOUTH ASIA 13 43,050 CHECK      
SUMMER STUDENT GRANTS SUB-SAHARAN AFRICA 5 16,200 CHECK      
               
               
               
Schedule F (Form 990) 2011
Schedule F (Form 990) 2011
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) 2011
Schedule F (Form 990) 2011
Page 5
Part V
Supplemental Information
Complete this part to provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information (see instructions).
Identifier ReturnReference Explanation
PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.:   SCHEDULE F, PART I, LINE 2: THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO ALLOWABILITY AND APPROPRIATENESS OF CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFORMANCE.
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
Schedule F (Form 990) 2011
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 arrowAttach to Form 990 or Form 990-EZ. right arrowSee separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
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
Total .................right arrow      
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.
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2011
Schedule G (Form 990 or 990-EZ) 2011
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

LAB SCHOOL
(event type) 		(b) Event #2

COURT THEATRE
(event type) 		(c) Other Events

0
(total number) 		(d) Total Events
(Add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 564,299 244,734   809,033
2 Less: Charitable
contributions . . . 		350,119 221,924   572,043
3 Gross income (line 1
minus line 2) . . . 		214,180 22,810   236,990
VerticalDirectExpenses 4 Cash prizes . . . 5,000 1,000   6,000
5 Non-cash prizes . . 1,500 28,300   29,800
6 Rent/facility costs . . 25,917     25,917
7 Food and beverages . . 57,325 49,100   106,425
8 Entertainment . . . 9,200 18,704   27,904
9 Other direct expenses . 60,254 8,421   68,675
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 264,721
11 Net income summary. Combine lines 3 and 10 in column (d)............ right arrow -27,731
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) 2011
Schedule G (Form 990 or 990-EZ) 2011
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
Schedule G (Form 990 or 990-EZ) 2011
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
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number
36-2177139
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) ACCESS COMMUNITY HEALTH NETWORK1501 S CALIFORNIA AVENUE
CHICAGO,IL60608 		36-3317058 501(C)(3) OR GOV 133,870       SUBAWARD
(2) ADVOCATE HEALTH AND HOSPITAL CORPORATION2025 WINDSOR DRIVE
OAK BROOK,IL60523 		36-2169147 501(C)(3) OR GOV 77,814       SUBAWARD
(3) ARIZONA STATE UNIVERSITYP O BOX 875812
TEMPE,AZ85287 		86-0196696 501(C)(3) OR GOV 182,718       SUBAWARD
(4) ASSESSMENT SYSTEM2233 UNIVERSITY AVENUE SUITE 200
ST PAUL,MN55114 		41-1354204   143,889       SUBAWARD
(5) BATTELLE INSTITUTE505 KING AVENUE
COLUMBUS,OH43201 		31-4379427 501(C)(3) OR GOV 52,500       SUBAWARD
(6) BAYLOR UNIVERSITYONE BEAR PLACE
WACO,TX76798 		74-1159753 501(C)(3) OR GOV 57,678       SUBAWARD
(7) BAYSTATE MEDICAL CENTER759 CHESTNUT STREET
SPRINGFIELD,MA01199 		04-2790311 501(C)(3) OR GOV 413,242       SUBAWARD
(8) BECKMAN RESEARCH INSTITUTE1450 EAST DUARTE ROAD
DUARTE,CA91010 		95-3432210 501(C)(3) OR GOV 151,559       SUBAWARD
(9) BERRY COLLEGEP O BOX 490129
MOUNT BERRY,GA30149 		58-0566133 501(C)(3) OR GOV 78,793       SUBAWARD
(10) BETH ISRAEL MEDICAL CENTER330 BROOKLINE AVENUE
BOSTON,MA02215 		04-2103881 501(C)(3) OR GOV 16,500       SUBAWARD
(11) BIOSPHERICAL INSTRUMENTS5340 RILEY STREET
SAN DIEGO,CA92110 		95-3292603   146,790       SUBAWARD
(12) BOSTON MEDICAL CENTER660 HARRISON AVENUE GAMBRO 2
BOSTON,MA02118 		04-3314093 501(C)(3) OR GOV 14,985       SUBAWARD
(13) BRIGHAM AND WOMEN'S HOSPITAL101 HUNTINGTON STREET SUITE 305
BOSTON,MA02199 		04-2312909 501(C)(3) OR GOV 111,706       SUBAWARD
(14) BRIGHAM YOUNG UNIVERSITY150 E BULLDOG BLVD A-261 ASB
PROVO,UT84602 		87-0217280 501(C)(3) OR GOV 268,342       SUBAWARD
(15) CASE WESTERN RESERVE UNIVERSITY10900 EUCLID AVENUE
CLEVELAND,OH44106 		34-1018992 501(C)(3) OR GOV 796,223       SUBAWARD
(16) CHICAGO STATE UNIVERSITY9501 SOUTH KING DRIVE ADM-213
CHICAGO,IL60628 		36-2580815 501(C)(3) OR GOV 21,391       SUBAWARD
(17) CHILD & FAMILY POLICY INSTITUTE OF CALIFORNIA1331 GARDEN HIGHWAY
SACRAMENTO,CA95833 		83-0371079 501(C)(3) OR GOV 94,172       SUBAWARD
(18) CHILDREN'S HOSPITAL LOS ANGELES4650 SUNSET BLVD
LOS ANGELES,CA90027 		95-1690977 501(C)(3) OR GOV 22,593       SUBAWARD
(19) CHILDREN'S HOSPITAL MEDICAL CENTER (CINCINNATI)3333 BURNETT AVENUE
CINCINNATI,OH46202 		31-0833963 501(C)(3) OR GOV 224,746       SUBAWARD
(20) CLARIAN HEALTH PARTNERS INC1-65 AND 21ST STREET
INDIANAPOLIS,IN46202 		35-1955872 501(C)(3) OR GOV 41,014       SUBAWARD
(21) COLUMBIA UNIVERSITY615 W 135TH STREET
NEW YORK,NY10027 		13-5598093 501(C)(3) OR GOV 568,657       SUBAWARD
(22) COMPLETE GENOMICS INC2071 STIERLIN COURT
MOUNTAIN VIEW,CA94043 		20-3226545 501(C)(3) OR GOV 444,000       SUBAWARD
(23) CORNELL UNIVERSITY395 PINE TREE ROAD SUITE 302
ITHACA,NY14850 		15-0532082 501(C)(3) OR GOV 328,826       SUBAWARD
(24) CRDF GLOBAL DBA US CIVILIAN RESEARCH1530 WILSON BLVD 3RD FLOOR
ARLINGTON,VA22209 		54-1773406 501(C)(3) OR GOV 61,650       SUBAWARD
(25) DARTMOUTH COLLEGE11 ROPE FERRY ROAD
HANOVER,NH03755 		02-0222111 501(C)(3) OR GOV 148,018       SUBAWARD
(26) DE PAUL UNIVERSITY1 EAST JACKSON BOULEVARD
CHICAGO,IL60604 		36-2167048 501(C)(3) OR GOV 22,328       SUBAWARD
(27) DECATUR MEMORIAL HOSPITAL2300 NORTH EDWARD STREET
DECATUR,IL62526 		37-0661199 501(C)(3) OR GOV 42,500       SUBAWARD
(28) DUKE UNIVERSITY2200 WEST MAIN STREET SUITE 300
DURHAM,NC27705 		56-0532129 501(C)(3) OR GOV 88,626       SUBAWARD
(29) EVANSTON NORTHWESTERN HEALTHCARE RESEARCH INSTITUTE1001 UNIVERSITY PLACE
EVANSTON,IL60201 		36-2167060 501(C)(3) OR GOV 5,000       SUBAWARD
(30) FELLOWSHIP FOR INTERPRETATION OF GENOMES15 W 155 81ST STREET
BURR RIDGE,IL60527 		14-1883085 501(C)(3) OR GOV 712,872       SUBAWARD
(31) FIELD MUSEUM OF NATURAL HISTORY1400 SOUTH LAKE SHORE DRIVE
CHICAGO,IL60605 		36-2167011 501(C)(3) OR GOV 69,154       SUBAWARD
(32) FLORIDA INTERNATIONAL UNIVERSITY11200 SW 8TH STREEET CSC 310
MIAMI,FL33199 		65-0177616 501(C)(3) OR GOV 226,072       SUBAWARD
(33) FORT WAYNE MEDICAL ONCOLOGY & HEMATOLOGY INC4402 E STATE BLVD
FORT WAYNE,IN46815 		35-1400631   22,500       SUBAWARD
(34) GEORGE WASHINGTON UNIVERSITY44983 KNOLL SQUARE BLDG II
ASHBURN,VA20147 		53-0196584 501(C)(3) OR GOV 99,130       SUBAWARD
(35) GEORGIA STATE UNIVERSITYP O BOX 3999
ATLANTA,GA30302 		58-6002050 501(C)(3) OR GOV 95,314       SUBAWARD
(36) HARVARD UNIVERSITY667 HUNTINGTON AVENUE
BOSTON,MA02115 		04-2103580 501(C)(3) OR GOV 318,947       SUBAWARD
(37) HEKTOEN INSTITUTE OF MEDICINE2240 W OGDEN AVENUE 2ND FLOOR
CHICAGO,IL60612 		36-2244897 501(C)(3) OR GOV 33,580       SUBAWARD
(38) HENRY FORD HEALTH SYSTEMS2799 WEST GRAND BOULEVARD
DETROIT,MI48202 		38-1357020 501(C)(3) OR GOV 47,795       SUBAWARD
(39) HOLY CROSS HOSPITAL2701 W 68TH STREET
CHICAGO,IL60629 		36-2170133 501(C)(3) OR GOV 34,195       SUBAWARD
(40) ILLINOIS CANCER CARE8940 N WOOD SAGE ROAD
PEORIA,IL61615 		37-1409840 501(C)(3) OR GOV 20,450       SUBAWARD
(41) ILLINOIS INSTITUTE OF TECHNOLOGY3300 S FEDERAL STREET MAIN BLDG RM
308
CHICAGO,IL60616 		36-2170136 501(C)(3) OR GOV 137,334       SUBAWARD
(42) INDIANA UNIVERSITYPOPLARS 426 400 E 7TH ST
BLOOMINGTON,IN47405 		35-6001673 501(C)(3) OR GOV 1,095,424       SUBAWARD
(43) INGALLS MEMORIAL HOSPITALONE INGALLS DRIVE
HARVEY,IL60426 		36-2170866 501(C)(3) OR GOV 22,500       SUBAWARD
(44) INNOVATIONS FOR POVERTY ACTION101 WHITNEY AVENUE
NEW HAVEN,CT06510 		06-1660068 501(C)(3) OR GOV 246,857       SUBAWARD
(45) IOWA STATE UNIVERSITY3606 ADMIN SVDS BLDG 1099 ADDRESS
ONLY
AMES,IA50011 		42-6004224 501(C)(3) OR GOV 109,730       SUBAWARD
(46) ITT- AES INC12975 WORLDGATE DRIVE
HERNDON,VA20170 		45-2083813   109,143       SUBAWARD
(47) JOHNS HOPKINS UNIVERSITY1101 E 33RD STREET
BALTIMORE,MD21218 		52-0595110 501(C)(3) OR GOV 504,834       SUBAWARD
(48) KAISER FOUNDATION1800 HARRISON STREET
MENLO PARK,CA94025 		94-1105628 501(C)(3) OR GOV 1,176,509       SUBAWARD
(49) KENNEDY KING COLLEGE6301 SOUTH HALSTED
CHICAGO,IL60621 		36-2606236 501(C)(3) OR GOV 57,845       SUBAWARD
(50) KNOWLEDGE NETWORKS INC1350 WILLOW ROAD SUITE 102
MENLO PARK,CA94025 		94-3314617   663,526       SUBAWARD
(51) KUMC RESEARCH INSTITUTE INC3901 RAINBOW BOULEVARD
KANSAS CITY,KS66160 		48-1108830 501(C)(3) OR GOV 53,530       SUBAWARD
(52) LAWRENCE BERKELEY NATIONAL LABONE CYCLOTRON ROAD
BERKELEY,CA94704 		94-2951741 501(C)(3) OR GOV 22,450       SUBAWARD
(53) LOCAL INITIATIVE SUPORT CORP501 SEVENTH AVENUE 7TH FLOOR
NEW YORK,NY10018 		13-3030229   46,200       SUBAWARD
(54) LOS ANGELES BIOMEDICAL RESEARCH INSTITUTE1124 W CARSON STREET BLDG N-14
TORRANCE,CA90502 		95-2138184 501(C)(3) OR GOV 18,929       SUBAWARD
(55) LOUISIANA STATE UNIVERSITY202 HIMES HALL
BATON ROUGE,LA70803 		72-6000848 501(C)(3) OR GOV 209,133       SUBAWARD
(56) LOYOLA UNIVERSITY820 N MICHIGAN AVENUE
CHICAGO,IL60611 		36-1408475 501(C)(3) OR GOV 71,683       SUBAWARD
(57) LUDWIG INSTITUTE FOR CANCER RESEARCH9500 GILMAN DRIVE - RM 3041
LA JOLLA,CA92093 		23-7121131 501(C)(3) OR GOV 18,832       SUBAWARD
(58) MARQUETTE UNIVERSITYP O BOX 1881
MILWAUKEE,WI53201 		39-0806251 501(C)(3) OR GOV 70,907       SUBAWARD
(59) MASSACHUSETTS GENERAL HOSPITAL55 FRUIT STREET
BOSTON,MA02114 		04-2697983 501(C)(3) OR GOV 395,491       SUBAWARD
(60) MASSACHUSETTS INSTITUTE OF TECHNOLOGYSUITE NE49-4161
CAMBRIDGE,MA02139 		04-2103594 501(C)(3) OR GOV 780,418       SUBAWARD
(61) MDRC RESEARCH CORPORATION16 EAST 34TH STREET
NEW YORK,NY10016 		23-7379473 501(C)(3) OR GOV 151,896       SUBAWARD
(62) MEDICAL COLLEGE OF WISCONSIN8701 WATERTOWN PLANK ROAD
MILWAUKEE,WI53226 		39-0806261 501(C)(3) OR GOV 510,361       SUBAWARD
(63) MERCY HOSPITALS EAST COMMUNITIES615 SOUTH NEW BALLAS ROAD
ST LOUIS,MO63141 		43-0653493 501(C)(3) OR GOV 7,725       SUBAWARD
(64) MICHIGAN STATE UNIVERSITY301 ADMINISTRATION BLDG
EAST LANSING,MI48917 		38-6005984 501(C)(3) OR GOV 171,794       SUBAWARD
(65) MIDWEST CLINICIANS' NETWORK INC7215 WESTSHIRE DRIVE
LANSING,MI48917 		38-3189461 501(C)(3) OR GOV 49,606       SUBAWARD
(66) MONTANA STATE UNIVERSITY309 MONTANA HALL PO BOX 172470
BOZEMAN,MT59717 		81-0302402 501(C)(3) OR GOV 49,170       SUBAWARD
(67) MPC CORPORATION5000 FORBES AVENUE 509 UTDC
PITTSBURGH,PA15213 		25-1128244 501(C)(3) OR GOV 1,539,715       SUBAWARD
(68) NATIONAL BUREAU OF ECONOMIC RESEARCH1050 MASSACHUSETTS AVENUE
CAMBRIDGE,MA02138 		13-1641075 501(C)(3) OR GOV 359,244       SUBAWARD
(69) NATIONAL OPINION RESEARCH CENTER55 EAST MONROE STREET
CHICAGO,IL60603 		36-2167808 501(C)(3) OR GOV 284,866       SUBAWARD
(70) NATIONWIDE CHILDREN'S HOSPITAL GROUP700 CHILDRENS DRIVE
COLUMBUS,OH43205 		01-0782751 501(C)(3) OR GOV 5,625       SUBAWARD
(71) NEUROPSYCHIATRIC RESEARCH INSTITUTE700 FIRST AVENUE SOUTH
FARGO,ND58107 		45-0274828 501(C)(3) OR GOV 10,526       SUBAWARD
(72) NEW YORK UNIVERSITY726 BROADWAY
NEW YORK,NY10003 		13-5562308 501(C)(3) OR GOV 76,531       SUBAWARD
(73) NORTHEASTERN UNIVERSITY360 HUNTINGTON AVENUE
BOSTON,MA02115 		04-1679980 501(C)(3) OR GOV 12,275       SUBAWARD
(74) NORTHERN ILLINOIS UNIVERSITYLOWDEN HALL SUITE 201
DEKALB,IL60115 		10-0064401 501(C)(3) OR GOV 77,709       SUBAWARD
(75) NORTHSHORE UNIVERSITY HEALTH SYSTEM2650 RIDGE AVENUE - G221
EVANSTON,IL60201 		36-2167060 501(C)(3) OR GOV 95,799       SUBAWARD
(76) NORTHWESTERN UNIVERSITY633 CLARK STREET SUITE G-547
EVANSTON,IL60208 		36-2167817 501(C)(3) OR GOV 2,138,215       SUBAWARD
(77) OHIO STATE UNIVERSITY901 WOODY HAYES DRIVE
COLUMBUS,OH43210 		31-6025986 501(C)(3) OR GOV 573,343       SUBAWARD
(78) ONCOLOGY HEMATOLOGY ASSOCIATES OF CENTRAL ILLINOIS8940 N WOOD SAGE ROAD
PEORIA,IL61615 		37-1331017   15,000       SUBAWARD
(79) OUNCE OF PREVENTION33 W MONROE STREET SUITE 2400
CHICAGO,IL60603 		36-3186328 501(C)(3) OR GOV 101,350       SUBAWARD
(80) PENN STATE UNIVERSITY513 JOAB L THOMAS BLDG
UNIVERSITY PARK,PA16802 		24-6000376 501(C)(3) OR GOV 167,077       SUBAWARD
(81) PRESIDENT AND FELLOW OF HARVARD COLLEGE1033 MASSACHUSETTS AVENUE 3RD FLOOR
CAMBRIDGE,MA02138 		04-2103580 501(C)(3) OR GOV 230,873       SUBAWARD
(82) PRINCETON UNIVERSITY5 NEW SOUTH BUILDING PO BOX 5292
PRINCETON,NJ08544 		21-0634501 501(C)(3) OR GOV 52,072       SUBAWARD
(83) PROJECT HOPE255 CARTER HALL LANE
MILLWOOD,VA22646 		53-0242962 501(C)(3) OR GOV 35,952       SUBAWARD
(84) PURDUE UNIVERSITY302 WOOD STREET
WEST LAFAYETTE,IN47907 		35-6002041 501(C)(3) OR GOV 845,747       SUBAWARD
(85) ROCKEFELLER UNIVERSITY1230 YORK AVENUE
NEW YORK,NY10065 		13-1624158 501(C)(3) OR GOV 129,699       SUBAWARD
(86) ROI VENTURES LLC213 W INSTITUTE PLACE SUITE 505
CHICAGO,IL60610 		20-5385643   584,530       SUBAWARD
(87) SANTEC SYSTEMS2924 MALMO DRIVE
ARLINGTON HEIGHTS,IL60005 		36-3635977   74,025       SUBAWARD
(88) SCRIPPS RESEARCH INSTITUTE10550 NORTH TORREY PINES ROAD
LA JOLLA,CA92037 		33-0435954 501(C)(3) OR GOV 486,563       SUBAWARD
(89) SEATTLE CHILDREN'S RESEARCH INSTITUTE1900 NINTH AVENUE MS C95-5
SEATTLE,WA98101 		91-0564748 501(C)(3) OR GOV 171,052       SUBAWARD
(90) SMITHSONAN ASTROPHYSICAL OBSERVATORY60 GARDEN STREET
CAMBRIDGE,MA02138 		53-0206027 501(C)(3) OR GOV 155,525       SUBAWARD
(91) SOUTHERN RESEARCH INSTITUTE2000 NINTH AVENUE SOUTH
BIRMINGHAM,AL35205 		63-0288868 501(C)(3) OR GOV 63,611       SUBAWARD
(92) SRI INTERNATIONAL333 RAVENSWOOD AVENUE
MENLO PARK,CA94025 		94-1160950 501(C)(3) OR GOV 67,507       SUBAWARD
(93) ST LOUIS UNIVERSITY3545 LINDELL BLVD
ST LOUIS,MO63103 		43-0654872 501(C)(3) OR GOV 159,861       SUBAWARD
(94) ST JOHN'S MERCY MEDICAL CENTER645 MARYVILLE CENTRE DRIVE SUITE
100
ST LOUIS,MO63141 		43-0653493 501(C)(3) OR GOV 15,000       SUBAWARD
(95) ST JUDE CHILDREN'S RESEARCH HOSPITAL332 NORTH LAUDERDALE STREET
MEMPHIS,TN38105 		62-0646012 501(C)(3) OR GOV 329,745       SUBAWARD
(96) STANFORD UNIVERSITY340 PANAMA STREET
STANFORD,CA94305 		94-1156365 501(C)(3) OR GOV 1,166,130       SUBAWARD
(97) SUNY RESEARCH FOUNDATION1300 ELMWOOD AVE BISHOP HALL B17
BUFFALO,NY14222 		14-1368361 501(C)(3) OR GOV 45,342       SUBAWARD
(98) TEMPLE UNIVERSITY1805 NORTH BROAD STREET
PHILADELPHIA,PA19122 		23-1365971 501(C)(3) OR GOV 17,194       SUBAWARD
(99) TEXAS TECH UNIVERSITYBOX 41091
LUBBOCK,TX79409 		75-6002622 501(C)(3) OR GOV 7,463       SUBAWARD
(100) TUFTS UNIVERSITY169 HOLLAND STREET
SOMERVILLE,MA02144 		04-2103634 501(C)(3) OR GOV 7,500       SUBAWARD
(101) UNIVERSIDAD CENTRAL CARIBEAVE LAUREL URB SANTA JUANITA BOX 60
BAYAMON,PR00960 		66-0349669 501(C)(3) OR GOV 5,248       SUBAWARD
(102) UNIVERSITY CORPORATION FOR ATMOSPHERIC RESEARCH1850 TABLE MESA DR
BOULDER,CO80305 		74-2439386 501(C)(3) OR GOV 303,018       SUBAWARD
(103) UNIVERSITY OF ALABAMA1530 3RD AVENUE S AB 1170
BIRMINGHAM,AL35294 		63-6005996 501(C)(3) OR GOV 144,097       SUBAWARD
(104) UNIVERSITY OF ARIZONA888 N EUCLID ROOM 510
TUCSON,AZ85722 		74-2652689 501(C)(3) OR GOV 70,360       SUBAWARD
(105) UNIVERSITY OF CALIFORNIA-BK2150 SHATTUCK AVENUE SUITE 300
BERKELEY,CA94704 		94-6002123 501(C)(3) OR GOV 666,660       SUBAWARD
(106) UNIVERSITY OF CALIFORNIA-DVONE SHIELDS AVENUE
DAVIS,CA95616 		94-6036494 501(C)(3) OR GOV 220,943       SUBAWARD
(107) UNIVERSITY OF CALIFORNIA-IR4255 CAMPUS DRIVE
IRVINE,CA92697 		95-2226406 501(C)(3) OR GOV 182,155       SUBAWARD
(108) UNIVERSITY OF CALIFORNIA-LA10920 WILSHIRE BOULEVARD SUITE 1200
1200
LOS ANGELES,CA90024 		94-3067788 501(C)(3) OR GOV 91,406       SUBAWARD
(109) UNIVERSITY OF CALIFORNIA-SD9500 GILMAN DRIVE - RM 3041
LA JOLLA,CA92093 		95-6006144 501(C)(3) OR GOV 2,488,572       SUBAWARD
(110) UNIVERSITY OF CALIFORNIA-SF3333 CALIFORNIA STREET SUITE 315
SAN FRANCISCO,CA94118 		94-6036493 501(C)(3) OR GOV 676,001       SUBAWARD
(111) UNIVERSITY OF CINCINNATI2600 CLIFTON AVENUE
CINCINNATI,OH45221 		31-6000989 501(C)(3) OR GOV 178,251       SUBAWARD
(112) UNIVERSITY OF COLORADO3100 MARINE STREET
BOULDER,CO80309 		39-1481425 501(C)(3) OR GOV 189,763       SUBAWARD
(113) UNIVERSITY OF DENVER2199 S UNIVERSITY BOULEVARD
DENVER,CO80208 		84-0404231 501(C)(3) OR GOV 210,635       SUBAWARD
(114) UNIVERSITY OF FLORIDA219 GRINTER HALL PO BOX 1003628
GAINESVILLE,FL32611 		59-0974739 501(C)(3) OR GOV 30,372       SUBAWARD
(115) UNIVERSITY OF ILLINOIS-CHICAGO809 SOUTH MARSHFIELD AVENUE
CHICAGO,IL60612 		37-6000511 501(C)(3) OR GOV 4,326,609       SUBAWARD
(116) UNIVERSITY OF ILLINOIS-URBANA1901 S FIRST ST SUITE A MC-685
CHAMPAIGN,IL61820 		37-6000511 501(C)(3) OR GOV 1,129,534       SUBAWARD
(117) UNIVERSITY OF IOWA201 GILMORE HALL
IOWA CITY,IA52242 		42-6004813 501(C)(3) OR GOV 226,629       SUBAWARD
(118) UNIVERSITY OF KENTUCKY109 KINKEAD HALL
LEXINGTON,KY40506 		61-6001218 501(C)(3) OR GOV 103,793       SUBAWARD
(119) UNIVERSITY OF MARYLAND3300 METZEROTT ROAD
ADELPHI,MD20783 		52-6002033 501(C)(3) OR GOV 692,619       SUBAWARD
(120) UNIVERSITY OF MASSACHUSETTS55 LAKE AVENUE NORTH
WORCESTER,MA01655 		04-3167352 501(C)(3) OR GOV 105,739       SUBAWARD
(121) UNIVERSITY OF MIAMIP O BOX 248106
CORAL GABLES,FL33124 		59-0624458 501(C)(3) OR GOV 73,281       SUBAWARD
(122) UNIVERSITY OF MICHIGAN3003 S STATE STREET 3089 WOLVERINE
TOWER
ANN ARBOR,MI48109 		38-6006309 501(C)(3) OR GOV 671,513       SUBAWARD
(123) UNIVERSITY OF MINNESOTA200 OAK STREET SE
MINNEAPOLIS,MN55455 		41-6007513 501(C)(3) OR GOV 114,585       SUBAWARD
(124) UNIVERSITY OF MISSISSIPPIP O BOX 9750
UNIVERISTY,MS38677 		64-6001159 501(C)(3) OR GOV 42,346       SUBAWARD
(125) UNIVERSITY OF NEW MEXICO1 UNIVERSITY OF NEW MEXICO
ALBUQUERQUE,NM87131 		85-6000642 501(C)(3) OR GOV 99,513       SUBAWARD
(126) UNIVERSITY OF NORTH CAROLINA104 AIRPORT DRIVE CB1350
CHAPEL HILL,NC27599 		56-6001393 501(C)(3) OR GOV 785,707       SUBAWARD
(127) UNIVERSITY OF NOTRE DAME402 GRACE HALL
NOTRE DAME,IN46556 		35-0868188 501(C)(3) OR GOV 221,211       SUBAWARD
(128) UNIVERSITY OF PENNSYLVANIA3451 WALNUT STREET P-221 FRANKLIN
BLDG
PHILADELPHIA,PA19104 		23-1352685 501(C)(3) OR GOV 146,027       SUBAWARD
(129) UNIVERSITY OF PITTSBURGH3100 CATHEDRAL OF LEARNING
PITTSBURGH,PA15260 		25-0965591 501(C)(3) OR GOV 1,182,563       SUBAWARD
(130) UNIVERSITY OF ROCHESTER1325 MT HOPE AVENUE
ROCHESTER,NY14620 		16-1089052 501(C)(3) OR GOV 165,739       SUBAWARD
(131) UNIVERSITY OF SOUTHERN CALIFORNIAUNIVERSITY PARK CAMPUS - STO 330
LOS ANGELES,CA90089 		95-1642394 501(C)(3) OR GOV 431,687       SUBAWARD
(132) UNIVERSITY OF TENNESSEEUTHSC 62 S DUNLAP
MEMPHIS,TN38163 		62-6001636 501(C)(3) OR GOV 1,498,169       SUBAWARD
(133) UNIVERSITY OF TEXAS- AUSTINP O BOX 7159
AUSTIN,TX78713 		74-6000203 501(C)(3) OR GOV 3,049,438       SUBAWARD
(134) UNIVERSITY OF TEXAS -CANCER CENTERP O BOX 4390
HOUSTON,TX77210 		74-6001118 501(C)(3) OR GOV 99,107       SUBAWARD
(135) UNIVERSITY OF UTAH201 PRESIDENTS CIRCLE
SALT LAKE CITY,UT84112 		87-6000525 501(C)(3) OR GOV 110,087       SUBAWARD
(136) UNIVERSITY OF VIRGINIAP O BOX 400202
CHARLOTTESVILLE,VA22904 		54-6001796 501(C)(3) OR GOV 492,023       SUBAWARD
(137) UNIVERSITY OF WASHINGTON1100 NE 45TH STREET SUITE 300
SEATTLE,WA98105 		91-6001537 501(C)(3) OR GOV 140,393       SUBAWARD
(138) UNIVERSITY OF WISCONSIN-MADISON21 NORTH PARK STREET - SUITE 6401
MADISON,WI53715 		39-6006492 501(C)(3) OR GOV 1,443,417       SUBAWARD
(139) URBAN INSTITUTE2100 M STREET NW
WASHINGTON,DC20037 		52-0880375 501(C)(3) OR GOV 66,292       SUBAWARD
(140) US DEPARTMENT OF AGRICULTURE1030 BALTIMORE AVE BLD 003
BARC-WEST
BELTSVILLE,MD20705 		72-0564834 501(C)(3) OR GOV 87,000       SUBAWARD
(141) VA PUGET HEALTH CARE1660 S COLUMBIA WAY S-152
SEATTLE,WA98108 		91-0656166 501(C)(3) OR GOV 353,740       SUBAWARD
(142) VALPARAISO UNIVERSITY1700 CHAPEL DRIVE
VALPARAISO,IN46383 		62-0476822 501(C)(3) OR GOV 99,760       SUBAWARD
(143) VANDERBILT UNIVERSITY MEDICAL CENTER3319 WEST END AVENUE SUITE 800
NASHVILLE,TN37203 		62-0476822 501(C)(3) OR GOV 411,027       SUBAWARD
(144) VILLANOVA UNIVERSITY800 LANCASTER AVENUE
VILLANOVA,PA19085 		23-1352688 501(C)(3) OR GOV 48,037       SUBAWARD
(145) VIRGINIA COMMONWEALTH UNIVERSITY800 EAST LEIGH ST SUITE 113 PO BOX
980568
RICHMOND,VA23298 		54-6001758 501(C)(3) OR GOV 20,153       SUBAWARD
(146) VIRGINIA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY201 SOUTHGATE CENTER DRIVE
BLACKSBURG,VA24061 		54-6001805 501(C)(3) OR GOV 11,147       SUBAWARD
(147) WAKE FOREST UNIVERSITYMEDICAL CENTER BOULEVARD
WINSTONSALEM,NC27157 		36-4669466 501(C)(3) OR GOV 36,511       SUBAWARD
(148) WASHINGTON UNIVERSITY700 ROSEDALE AVENUE BOX 1034
ST LOUIS,MO63112 		43-6053611 501(C)(3) OR GOV 494,003       SUBAWARD
(149) WAYNE STATE UNIVERSITY5057 WOODWARD SUITE 6402
DETROIT,MI48202 		38-6028429 501(C)(3) OR GOV 27,875       SUBAWARD
(150) WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY525 EAST 68TH STREET C-610 WMC BOX
113
NEW YORK,NY10065 		13-6094042 501(C)(3) OR GOV 217,422       SUBAWARD
(151) WELLESLEY COLLEGE106 CENTRAL STREET
WELLESLEY,MA02481 		04-2103637 501(C)(3) OR GOV 15,793       SUBAWARD
(152) WESTERN MICHIGAN UNIVERSITY1903 W MICHIGAN AVE
KALAMAZOO,MI49008 		38-6007327 501(C)(3) OR GOV 13,570       SUBAWARD
(153) YALE UNIVERSITY155 WHITNEY AVE SUITE 230 PO BOX
208250
NEW HAVEN,CT06520 		06-0646973 501(C)(3) OR GOV 67,196       SUBAWARD
2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................. Bullet Image
 
3
Enter total number of other organizations listed in the line 1 table ......................... . Bullet Image
 
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2011

Schedule I (Form 990) 2011
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) UNDERGADUATE STUDENT AID 2676 93,937,687      
(2) GRADUATE STUDENT AID 6041 196,630,207      











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: THE UNIVERSITY OF CHICAGO FOLLOWS THESE PROCEDURES TO MONITOR THE USE OF GRANT FUNDS INSIDE THE UNITED STATES. THE UNIVERSITY WILL PERFORM A RISK ASSESSMENT AT THE PROPOSAL STAGE BEFORE FUNDING IS APPROVED. UNIVERSITY DEPARTMENT ADMINISTRATORS AND THE PRINCIPAL INVESTIGATOR WILL REVIEW INVOICES AND CERTIFY AS TO THE ALLOWABILITY AND APPROPRIATENESS OF THE CHARGES. CENTRAL SPONSORED AWARD ACCOUNTING WILL ALSO PERFORM A REVIEW THAT THE EXPENDITURES FALL WITHIN THE CONTRACT AMOUNT AND PERIOD OF PERFOMANCE.
PART II LINE 1   TWO SUBAWARDS IN THE AMOUNT OF $382,852.30 AND $19,777.97 ARE NOT LISTED ABOVE AS THE RECIPIENTS OPERATE AS SOLE PROPRIETORS.
Schedule I (Form 990) 2011


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
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
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 or provision 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. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
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
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? ........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ...........................
5a
 
No
b
Any related organization? .........................
5b
 
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization? ...........................
6a
 
No
b
Any related organization? .........................
6b
 
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
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 Regulations 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) 2011

Schedule J (Form 990) 2011
Page 2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is 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) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and column (E) for that individual.
(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 as deferred
in prior Form 990
(i) Base compensation (ii) Bonus & incentive compensation (iii) Other reportable compensation
(1) ROBERT J ZIMMER (i)
(ii)		 917,993
0 		200,000
0 		1,638,478
0 		454,800
0 		147,452
0 		3,358,723
0 		1,345,000
0
(2) THOMAS F ROSENBAUM (i)
(ii)		 567,618
0 		1,500
0 		3,599
0 		19,600
0 		67,283
0 		659,600
0 		0
0
(3) NIMALAN CHINNIAH (i)
(ii)		 518,378
0 		0
0 		19,528
0 		19,600
0 		29,678
0 		587,184
0 		0
0
(4) THOMAS FARRELL (i)
(ii)		 449,070
0 		37,500
0 		1,387
0 		19,600
0 		25,739
0 		533,296
0 		0
0
(5) DAVID B FITHIAN (i)
(ii)		 265,067
0 		20,000
0 		19,194
0 		19,600
0 		6,956
0 		330,817
0 		0
0
(6) KIMBERLY GOFF-CREWS (i)
(ii)		 266,331
0 		0
0 		956
0 		19,600
0 		9,440
0 		296,327
0 		0
0
(7) DAVID GREENE (i)
(ii)		 462,103
0 		35,000
0 		15,056
0 		19,600
0 		43,132
0 		574,891
0 		0
0
(8) BETH A HARRIS (i)
(ii)		 379,577
0 		0
0 		2,888
0 		19,600
0 		103,987
0 		506,052
0 		0
0
(9) DONALD H LEVY (i)
(ii)		 338,057
0 		0
0 		0
0 		19,600
0 		12,152
0 		369,809
0 		0
0
(10) ANN MARIE LIPINSKI (i)
(ii)		 222,159
0 		0
0 		0
0 		18,035
0 		10,108
0 		250,302
0 		0
0
(11) JAMES NONDORF (i)
(ii)		 354,839
0 		25,000
0 		635
0 		19,600
0 		7,176
0 		407,250
0 		0
0
(12) JULIE A PETERSON (i)
(ii)		 349,324
0 		0
0 		31,164
0 		19,600
0 		35,683
0 		435,771
0 		0
0
(13) KENNETH S POLONSKY (i)
(ii)		 1,332,807
0 		400,000
0 		10,459
0 		19,600
0 		17,982
0 		1,780,848
0 		0
0
(14) MARK SCHMID (i)
(ii)		 530,213
0 		1,294,250
0 		43,508
0 		519,600
0 		24,184
0 		2,411,755
0 		500,000
0
(15) SUNIL KUMAR (i)
(ii)		 500,660
0 		0
0 		322,604
0 		19,600
0 		15,266
0 		858,130
0 		0
0
(16) MICHAEL E EDLESON (i)
(ii)		 433,182
0 		826,626
0 		0
0 		343,600
0 		18,199
0 		1,621,607
0 		0
0
(17) PATRICK O'HARA (i)
(ii)		 349,473
0 		787,541
0 		0
0 		276,496
0 		1,661
0 		1,415,171
0 		145,303
0
(18) CHRISTOPHER LONGEE (i)
(ii)		 354,735
0 		813,042
0 		0
0 		281,435
0 		19,659
0 		1,468,871
0 		392,318
0
(19) JOANNA RUPP (i)
(ii)		 357,585
0 		844,742
0 		0
0 		288,847
0 		22,895
0 		1,514,069
0 		247,015
0
(20) MATTHEW STONE (i)
(ii)		 349,249
0 		780,720
0 		0
0 		278,966
0 		58,907
0 		1,467,842
0 		145,303
0
(21) KINERT JAFFE (i)
(ii)		 159,723
0 		0
0 		0
0 		13,435
0 		19,902
0 		193,060
0 		0
0
(22) EVERETT VOKES (i)
(ii)		 703,866
0 		120,000
0 		0
0 		19,600
0 		55,140
0 		898,606
0 		0
0
(23) EDWARD SNYDER (i)
(ii)		 357,824
0 		0
0 		415
0 		19,600
0 		10,516
0 		388,355
0 		0
0
Schedule J (Form 990) 2011

Schedule J (Form 990) 2011
Page 3
Part III
Supplemental Information
Complete this part to provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4c, 5a, 5b, 6a, 6b, 7, and 8. Also complete this part for any additional information.
Identifier Return Reference Explanation
  PART I, LINE 1A PART I, LINE 1A. FIRST CLASS TRAVEL: UNDER WRITTEN UNIVERSITY POLICY, FIRST CLASS AIR TRAVEL IS ONLY ALLOWED WHEN APPROVED IN ADVANCE BY A DEAN, VICE PRESIDENT OR THE PROVOST. THREE OFFICERS AND ONE HIGHLY COMPENSATED PERSON OF THE UNIVERSITY WERE APPROVED FOR FIRST CLASS TRAVEL IN ACCORDANCE WITH THIS POLICY. NONE OF THESE BUSINESS TRIPS WERE DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. TRAVEL FOR COMPANIONS: UNDER WRITTEN UNIVERSITY POLICY, TRAVEL FOR COMPANIONS MUST BE PRE-APPROVED BY THE VICE PRESIDENT FOR ADMINISTRATION AND CHIEF FINANCIAL OFFICER, AND WILL ONLY BE APPROVED WHEN THE COMPANION TRAVEL SERVES A BONA FIDE BUSINESS PURPOSE. ONE OFFICER HAD COMPANION TRAVEL APPROVED IN ACCORDANCE WITH THIS POLICY. THE COST OF COMPANION TRAVEL WAS NOT DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. & 1B. TAX INDEMNIFICATION AND GROSS UP PAYMENTS: INDIVIDUALS MAY HAVE CERTAIN PAYMENTS GROSSED UP AT THE DISCRETION OF HEADS OF DEPARTMENTS OR OFFICES OF THE UNIVERSITY. NO LISTED PERSON HAD GROSS UP PAYMENTS. PART I, LINE 1A. & 1B; AND PART II, COLUMN D FOR ROBERT J. ZIMMER. HOUSING ALLOWANCES AND RESIDENCE FOR PERSONAL USE: HOUSING ALLOWANCES ARE ONLY PERMITTED IF PRE-APPROVED BY THE PROVOST'S OFFICE OR UNIVERSITY HUMAN RESOURCES. FOUR OFFICERS AND ONE KEY EMPLOYEE RECEIVED HOUSING ALLOWANCES, WHICH WERE INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. OF THE AMOUNT IN COLUMN D FOR ROBERT J. ZIMMER, $102,632 REPRESENTS THE VALUE OF UNIVERSITY-OWNED HOUSING PROVIDED TO THE PRESIDENT, WHICH IS NOT DEEMED A TAXABLE BENEFIT. PART I, LINE 1A. SOCIAL AND HEALTH CLUB DUES: UNDER WRITTEN UNIVERSITY POLICY, SOCIAL AND HEALTH CLUB DUES ARE REIMBURSABLE ONLY IF THE BENEFITS OF THE MEMBERSHIP SUPPORT THE UNIVERSITY'S MISSION, AND ONLY IF THE REIMBURSEMENT IS APPROVED BY A DEAN, VICE PRESIDENT, PROVOST OR PRESIDENT OF THE UNIVERSITY. ANY PORTION OF THE DUES NOT USED FOR BUSINESS PURPOSES IS CONSIDERED TAXABLE COMPENSATION. OFFICERS OF THE UNIVERSITY MAINTAIN MEMBERSHIP IN THE QUADRANGLE CLUB, A RELATED ORGANIZATION THAT OPERATES A FACULTY CLUB ON THE CAMPUS OF THE UNIVERSITY, FOR PURPOSES OF CONDUCTING MEETINGS AND OTHER UNIVERSITY BUSINESS. THE UNIVERSITY REIMBURSES OFFICERS FOR THESE DUES, AND THE REIMBURSEMENT IS NOT DEEMED TAXABLE COMPENSATION. IN ADDITION, THREE OFFICERS AND ONE KEY EMPLOYEE HAD SOCIAL CLUB DUES REIMBURSED BY THE UNIVERSITY FOR BUSINESS PURPOSES, AND THE REIMBURSEMENT WAS NOT DEEMED TAXABLE COMPENSATION. PART I, LINE 1A. PERSONAL SERVICES: THE UNIVERSITY CONTRACTS WITH AN INDEPENDENT CONTRACTOR TO PROVIDE THE PRESIDENT OF THE UNIVERSITY WITH A CAR AND DRIVER FOR USE ON UNIVERSITY BUSINESS. IN ADDITION, THE UNIVERSITY PROVIDES FOR THE MAINTENANCE AND CLEANING OF THE UNIVERSITY-OWNED HOUSE PROVIDED TO THE PRESIDENT. THESE SERVICES WERE NOT DEEMED A TAXABLE BENEFIT.
  PART I, LINE 4B PART I, LINE 4B. ROBERT ZIMMER $435,800.
  PART I, LINE 7 PART I, LINE 7. INVESTMENT OFFICE PERSONNEL PARTICIPATE IN AN INCENTIVE COMPENSATION PROGRAM BASED ON PERFORMANCE AND QUALITATIVE MEASUREMENTS.
Schedule J (Form 990) 2011

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 Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number
36-2177139
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 IFA 100000000 REVENUE BONDS SERIES 2004A
  		86-1091967 45200BHG6 11-10-2004 105,454,007 SEE SUPPLEMENTAL INFORMATION   X   X   X
B IFA 100000000 REVENUE BONDS SERIES 2004B
  		86-1091967 45200BHH4 11-10-2004 100,000,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
C IFA 80000000 ADJ RAT REV REFUNDING BONDS 2004C
  		86-1091967 45200BJG4 11-30-2004 80,000,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
D IFA 244030000 REVENUE BONDS SERIES 2007
  		86-1091967 45200B6F0 06-28-2007 249,996,429 SEE SUPPLEMENTAL INFORMATION   X   X   X
IFA 123604000 ADJ RATE DEMAND REV SERIES 2008
  		86-1091967 45200FEG0 04-03-2008 123,604,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
IEFA 200000000 REVENUE BONDS SERIES 2003A
  		52-1297563 4520016W5 08-28-2003 202,182,031 SEE SUPPLEMENTAL INFORMATION   X   X   X
IEFA 50000000 ADJ RATE REV BONDSSERIES 2003B
  		52-1297563 4520017E4 08-28-2003 50,000,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
IFA 500000000 REVENUE BONDS SERIES 2008B
  		86-1091967 45200FSX8 01-07-2009 502,370,736 SEE SUPPLEMENTAL INFORMATION   X   X   X
IFA 369570000 REVENUE BONDS SERIES 2012A
  		86-1091967 45203HFF4 02-02-2012 421,065,981 SEE SUPPLEMENTAL INFORMATION   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . .        
2 Amount of bonds legally defeased . . . . . . . . . .        
3 Total proceeds of issue . . . . . . . . . . . . . 105,454,007 100,000,000 80,000,000 249,996,429
4 Gross proceeds in reserve funds . . . . . . . .        
5 Capitalized interest from proceeds . . . . . . . . . .        
6 Proceeds in refunding escrows . . . . . . . . . . .        
7 Issuance costs from proceeds . . . . . . . . . . . 712,375 469,998 463,838 1,630,377
8 Credit enhancement from proceeds . . . . . . . . . .        
9 Working capital expenditures from proceeds . . . . . . .        
10 Capital expenditures from proceeds . . . . . . . . . . 104,741,632 99,530,002 49,725,777 248,366,051
11 Other spent proceeds . . . . . . . . . . . 79,536,162 44,371,359 79,536,162  
12 Other unspent proceeds . . . . . . . . . . . 30,474,891     30,474,891
13 Year of substantial completion . . . . . . . . . . . 2010 2010 2006 2010
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) 2011
Schedule K (Form 990) 2011
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 of bond-financed property? . . . . . . . . . X   X     X X  
b If ‘Yes’ to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property? . . . . . X   X   X   X  
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . X   X   X   X  
d If ‘Yes’ to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? . X   X   X   X  
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0% 0% 0.00000% 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 0.00000% 0.00000% 0.00000% 0.00000%
6 Total of lines 4 and 5 . . .. . . . . . . . . 0% 0% 0.00000% 0%
7 Does the bond issue meet the private security or payment test? . . . X   X   X   X  
8 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2?
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 qualified hedge with respect to the bond issue?   X   X X     X
b Name of provider . . . . . . . . MORGAN STANLEY CAP
SRVS 		 
  		MORGAN STANLEY CAP
SRVS 		 
 
c Term of hedge . . . . . . . . 35.000000000000   35.000000000000  
d Was the hedge superintegrated? . . . .   X       X    
e Was a hedge terminated? . . . . .   X       X    
4a Were gross proceeds invested in a guaranteed investment contract (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? . . . . . .                
6 Did the bond issue qualify for an exception to rebate? . X   X   X   X  
7 Has the organization established written procedures to monitor the requirements of section 148? . . . X   X   X   X  
Schedule K (Form 990) 2011

Schedule K (Form 990) 2011
Page 3
Part V
Procedures To Undertake Corrective Action
Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations? . . . . . . . . . . . . . .
Part VI
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
PART 1 (F) DESCRIPTION OF PURPOSE   $100,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND PAY CERTAIN COSTS OF ISSUANCE. $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $244,030,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2007, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL, A LIBRARY ADDITION, STEAM AND CHILLED WATER UTILITY PLANT EXPANSION, THE CENTER FOR BIOMEDICAL DISCOVERY, AND AN OFFICE BUILDING, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $200,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003A (F) DESCRIPTION OF PURPOSE TO REFUND, FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR THE COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER AND TO PAY CERTAIN COSTS OF ISSUANCE. $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $500,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COST OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL AND DINING FACILITY, THE LOGAN ARTS CENTER, A LIBRARY ADDITION, AND THE CENTER FOR BIOMEDICAL DISCOVERY, AND PAY CERTAIN COSTS OF ISSUANCE. $369,570,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2012A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, THE MULTIPURPOSE ECONOMICS RESEARCH BUILDING, AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 1985A BONDS AND THE 2004A BONDS; AND PAY CERTAIN COSTS OF ISSUANCE.
Schedule K (Form 990) 2011

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 Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number
36-2177139
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 IFA 100000000 REVENUE BONDS SERIES 2004A
  		86-1091967 45200BHG6 11-10-2004 105,454,007 SEE SUPPLEMENTAL INFORMATION   X   X   X
B IFA 100000000 REVENUE BONDS SERIES 2004B
  		86-1091967 45200BHH4 11-10-2004 100,000,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
C IFA 80000000 ADJ RAT REV REFUNDING BONDS 2004C
  		86-1091967 45200BJG4 11-30-2004 80,000,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
D IFA 244030000 REVENUE BONDS SERIES 2007
  		86-1091967 45200B6F0 06-28-2007 249,996,429 SEE SUPPLEMENTAL INFORMATION   X   X   X
IFA 123604000 ADJ RATE DEMAND REV SERIES 2008
  		86-1091967 45200FEG0 04-03-2008 123,604,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
IEFA 200000000 REVENUE BONDS SERIES 2003A
  		52-1297563 4520016W5 08-28-2003 202,182,031 SEE SUPPLEMENTAL INFORMATION   X   X   X
IEFA 50000000 ADJ RATE REV BONDSSERIES 2003B
  		52-1297563 4520017E4 08-28-2003 50,000,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
IFA 500000000 REVENUE BONDS SERIES 2008B
  		86-1091967 45200FSX8 01-07-2009 502,370,736 SEE SUPPLEMENTAL INFORMATION   X   X   X
IFA 369570000 REVENUE BONDS SERIES 2012A
  		86-1091967 45203HFF4 02-02-2012 421,065,981 SEE SUPPLEMENTAL INFORMATION   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . .        
2 Amount of bonds legally defeased . . . . . . . . . .        
3 Total proceeds of issue . . . . . . . . . . . . . 105,454,007 100,000,000 80,000,000 249,996,429
4 Gross proceeds in reserve funds . . . . . . . .        
5 Capitalized interest from proceeds . . . . . . . . . .        
6 Proceeds in refunding escrows . . . . . . . . . . .        
7 Issuance costs from proceeds . . . . . . . . . . . 712,375 469,998 463,838 1,630,377
8 Credit enhancement from proceeds . . . . . . . . . .        
9 Working capital expenditures from proceeds . . . . . . .        
10 Capital expenditures from proceeds . . . . . . . . . . 104,741,632 99,530,002 49,725,777 248,366,051
11 Other spent proceeds . . . . . . . . . . . 79,536,162 44,371,359 79,536,162  
12 Other unspent proceeds . . . . . . . . . . . 30,474,891     30,474,891
13 Year of substantial completion . . . . . . . . . . . 2010 2010 2006 2010
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) 2011
Schedule K (Form 990) 2011
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 of bond-financed property? . . . . . . . . . X   X     X X  
b If ‘Yes’ to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property? . . . . . X   X   X   X  
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . X   X   X   X  
d If ‘Yes’ to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? . X   X   X   X  
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0% 0% 0.00000% 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 0.00000% 0.00000% 0.00000% 0.00000%
6 Total of lines 4 and 5 . . .. . . . . . . . . 0% 0% 0.00000% 0%
7 Does the bond issue meet the private security or payment test? . . . X   X   X   X  
8 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2?
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 qualified hedge with respect to the bond issue?   X   X X     X
b Name of provider . . . . . . . . MORGAN STANLEY CAP
SRVS 		 
  		MORGAN STANLEY CAP
SRVS 		 
 
c Term of hedge . . . . . . . . 35.000000000000   35.000000000000  
d Was the hedge superintegrated? . . . .   X       X    
e Was a hedge terminated? . . . . .   X       X    
4a Were gross proceeds invested in a guaranteed investment contract (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? . . . . . .                
6 Did the bond issue qualify for an exception to rebate? . X   X   X   X  
7 Has the organization established written procedures to monitor the requirements of section 148? . . . X   X   X   X  
Schedule K (Form 990) 2011

Schedule K (Form 990) 2011
Page 3
Part V
Procedures To Undertake Corrective Action
Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations? . . . . . . . . . . . . . .
Part VI
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
PART 1 (F) DESCRIPTION OF PURPOSE   $100,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND PAY CERTAIN COSTS OF ISSUANCE. $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $244,030,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2007, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL, A LIBRARY ADDITION, STEAM AND CHILLED WATER UTILITY PLANT EXPANSION, THE CENTER FOR BIOMEDICAL DISCOVERY, AND AN OFFICE BUILDING, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $200,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003A (F) DESCRIPTION OF PURPOSE TO REFUND, FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR THE COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER AND TO PAY CERTAIN COSTS OF ISSUANCE. $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $500,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COST OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL AND DINING FACILITY, THE LOGAN ARTS CENTER, A LIBRARY ADDITION, AND THE CENTER FOR BIOMEDICAL DISCOVERY, AND PAY CERTAIN COSTS OF ISSUANCE. $369,570,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2012A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, THE MULTIPURPOSE ECONOMICS RESEARCH BUILDING, AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 1985A BONDS AND THE 2004A BONDS; AND PAY CERTAIN COSTS OF ISSUANCE.
Schedule K (Form 990) 2011

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 Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number
36-2177139
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 IFA 100000000 REVENUE BONDS SERIES 2004A
  		86-1091967 45200BHG6 11-10-2004 105,454,007 SEE SUPPLEMENTAL INFORMATION   X   X   X
B IFA 100000000 REVENUE BONDS SERIES 2004B
  		86-1091967 45200BHH4 11-10-2004 100,000,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
C IFA 80000000 ADJ RAT REV REFUNDING BONDS 2004C
  		86-1091967 45200BJG4 11-30-2004 80,000,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
D IFA 244030000 REVENUE BONDS SERIES 2007
  		86-1091967 45200B6F0 06-28-2007 249,996,429 SEE SUPPLEMENTAL INFORMATION   X   X   X
IFA 123604000 ADJ RATE DEMAND REV SERIES 2008
  		86-1091967 45200FEG0 04-03-2008 123,604,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
IEFA 200000000 REVENUE BONDS SERIES 2003A
  		52-1297563 4520016W5 08-28-2003 202,182,031 SEE SUPPLEMENTAL INFORMATION   X   X   X
IEFA 50000000 ADJ RATE REV BONDSSERIES 2003B
  		52-1297563 4520017E4 08-28-2003 50,000,000 SEE SUPPLEMENTAL INFORMATION   X   X   X
IFA 500000000 REVENUE BONDS SERIES 2008B
  		86-1091967 45200FSX8 01-07-2009 502,370,736 SEE SUPPLEMENTAL INFORMATION   X   X   X
IFA 369570000 REVENUE BONDS SERIES 2012A
  		86-1091967 45203HFF4 02-02-2012 421,065,981 SEE SUPPLEMENTAL INFORMATION   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . .        
2 Amount of bonds legally defeased . . . . . . . . . .        
3 Total proceeds of issue . . . . . . . . . . . . . 105,454,007 100,000,000 80,000,000 249,996,429
4 Gross proceeds in reserve funds . . . . . . . .        
5 Capitalized interest from proceeds . . . . . . . . . .        
6 Proceeds in refunding escrows . . . . . . . . . . .        
7 Issuance costs from proceeds . . . . . . . . . . . 712,375 469,998 463,838 1,630,377
8 Credit enhancement from proceeds . . . . . . . . . .        
9 Working capital expenditures from proceeds . . . . . . .        
10 Capital expenditures from proceeds . . . . . . . . . . 104,741,632 99,530,002 49,725,777 248,366,051
11 Other spent proceeds . . . . . . . . . . . 79,536,162 44,371,359 79,536,162  
12 Other unspent proceeds . . . . . . . . . . . 30,474,891     30,474,891
13 Year of substantial completion . . . . . . . . . . . 2010 2010 2006 2010
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) 2011
Schedule K (Form 990) 2011
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 of bond-financed property? . . . . . . . . . X   X     X X  
b If ‘Yes’ to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property? . . . . . X   X   X   X  
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . X   X   X   X  
d If ‘Yes’ to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? . X   X   X   X  
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0% 0% 0.00000% 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 0.00000% 0.00000% 0.00000% 0.00000%
6 Total of lines 4 and 5 . . .. . . . . . . . . 0% 0% 0.00000% 0%
7 Does the bond issue meet the private security or payment test? . . . X   X   X   X  
8 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2?
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 qualified hedge with respect to the bond issue?   X   X X     X
b Name of provider . . . . . . . . MORGAN STANLEY CAP
SRVS 		 
  		MORGAN STANLEY CAP
SRVS 		 
 
c Term of hedge . . . . . . . . 35.000000000000   35.000000000000  
d Was the hedge superintegrated? . . . .   X       X    
e Was a hedge terminated? . . . . .   X       X    
4a Were gross proceeds invested in a guaranteed investment contract (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? . . . . . .                
6 Did the bond issue qualify for an exception to rebate? . X   X   X   X  
7 Has the organization established written procedures to monitor the requirements of section 148? . . . X   X   X   X  
Schedule K (Form 990) 2011

Schedule K (Form 990) 2011
Page 3
Part V
Procedures To Undertake Corrective Action
Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations? . . . . . . . . . . . . . .
Part VI
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
PART 1 (F) DESCRIPTION OF PURPOSE   $100,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND PAY CERTAIN COSTS OF ISSUANCE. $100,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE NEW GRADUATE SCHOOL OF BUSINESS, A NEW RESEARCH BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING, AND NEW RESIDENCE HALLS, AND CERTAIN COSTS OF ISSUANCE. $80,000,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE REFUNDING BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2004C, (F) DESCRIPTION OF PURPOSE TO ADVANCE REFUND $70,965,000 OF THE UNIVERSITY'S SERIES 2001A BONDS, AND PAY CERTAIN COSTS OF ISSUANCE. $244,030,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2007, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL, A LIBRARY ADDITION, STEAM AND CHILLED WATER UTILITY PLANT EXPANSION, THE CENTER FOR BIOMEDICAL DISCOVERY, AND AN OFFICE BUILDING, AND PAY CERTAIN COSTS OF ISSUANCE. $123,604,000 ILLINOIS FINANCE AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008, (F) DESCRIPTION OF PURPOSE TO CURRENTLY REFUND THE UNIVERSITY'S SERIES 1998A BONDS, AND (B) PAY CERTAIN COSTS OF ISSUANCE. $200,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003A (F) DESCRIPTION OF PURPOSE TO REFUND, FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR THE COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER AND TO PAY CERTAIN COSTS OF ISSUANCE. $50,000,000 ILLINOIS EDUCATIONAL FACILITIES AUTHORITY ADJUSTABLE RATE REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2003B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE OR REIMBURSE THE UNIVERSITY FOR COSTS OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW GRADUATE SCHOOL OF BUSINESS BUILDING, A NEW INTERDIVISIONAL RESEARCH BUILDING AND A NEW ATHLETICS AND RECREATION CENTER, AND PAY CERTAIN COSTS OF ISSUANCE. $500,000,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2008B, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR COST OF THE ACQUISITION, CONSTRUCTION, RENOVATION AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING A NEW RESIDENCE HALL AND DINING FACILITY, THE LOGAN ARTS CENTER, A LIBRARY ADDITION, AND THE CENTER FOR BIOMEDICAL DISCOVERY, AND PAY CERTAIN COSTS OF ISSUANCE. $369,570,000 ILLINOIS FINANCE AUTHORITY REVENUE BONDS, THE UNIVERSITY OF CHICAGO, SERIES 2012A, (F) DESCRIPTION OF PURPOSE TO FINANCE, REFINANCE AND REIMBURSE THE UNIVERSITY FOR ALL OR A PORTION OF THE COSTS OF ACQUISITION, CONSTRUCTION, RENOVATION, IMPROVEMENT AND EQUIPPING OF CERTAIN OF ITS EDUCATIONAL FACILITIES, INCLUDING THE WILLIAM ECKHARDT RESEARCH CENTER, THE LABORATORY SCHOOLS, THE MULTIPURPOSE ECONOMICS RESEARCH BUILDING, AND VARIOUS OTHER ADMINISTRATIVE, ACADEMIC, RESEARCH, INFRASTRUCTURE AND CAMPUS PROJECTS; TO ADVANCE OR CURRENTLY REFUND ALL OR A PORTION OF THE SERIES 1985A BONDS AND THE 2004A BONDS; AND PAY CERTAIN COSTS OF ISSUANCE.
Schedule K (Form 990) 2011

Additional Data


Software ID:  
Software Version:  

Schedule L
(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Transactions with Interested Persons
MediumBullet Complete if the organization answered
"Yes" on Form 990, Part IV, lines 25a, 25b, 26, 27, 28a, 28b, or 28c,
or Form 990-EZ, Part V lines 38a or 40b.
MediumBullet Attach to Form 990 or Form 990-EZ. MediumBulletSee separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
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) CHINNIAH NIMALAN
 
  		  X 167,000 110,433   No Yes   Yes  
(2) FARRELL THOMAS
 
  		  X 200,000 170,125   No Yes   Yes  
(3) FITHIAN DAVID B
 
  		  X 136,000 115,842   No Yes   Yes  
(4) GREENEDAVID A
 
  		  X 60,000 60,000   No Yes   Yes  
(5) KUMAR SUNIL
 
  		  X 450,000 441,045   No Yes   Yes  
Total ...............Small Bullet $ 897,445
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) NOT REQUIRED
  		NOT REQUIRED TO BE DISCLOSED STIPEND
(2) NOT REQUIRED
  		NOT REQUIRED TO BE DISCLOSED TUIT RMSN
(3) NOT REQUIRED
  		NOT REQUIRED TO BE DISCLOSED TUIT RMSN
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) 2011
Schedule L (Form 990 or 990-EZ) 2011
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) TISHMAN SPEYER CROWN EQUITIES
  		SEE PART V 1,245,062 SEE PART V   No
(2) ARAMARK CORPORATION
  		SEE PART V 13,293,353 SEE PART V   No
(3) TERESE SCHWARTZMAN
  		SEE PART V 24,909 SEE PART V   No
(4) LAKE CAPITAL
  		SEE PART V 110,500 SEE PART V   No
(5) BLOOMBERG LLP
  		SEE PART V 333,465 SEE PART V   No
(6) QFS ASSET MANAGEMENT LP
  		SEE PART V 2,165,103 SEE PART V   No
(7) TRIAN PARTNERS
  		SEE PART V 368,000 SEE PART V   No
(8) CDW LLC
  		SEE PART V 1,100,000 SEE PART V   No
(9) WILLIAM BLAIR & COMPANY LLC
  		SEE PART V 54,261 SEE PART V   No
(10) SHADI BARTSCH- ZIMMER
  		SEE PART V 204,885 SEE PART V   No
(11) TAMAR POLONSKY
  		SEE PART V 57,611 SEE PART V   No
(12) SWAPNA SHAW CHINNIAH
  		SEE PART V 26,013 SEE PART V   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
FORM 990, SCHEDULE L, PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS JAMES S. CROWN, A TRUSTEE OF THE UNIVERSITY, AND HIS FAMILY OWN AN INDIRECT INTEREST IN TISHMAN SPEYER CROWN EQUITIES, LLC ("TISHMAN SPEYER"), WHICH THROUGH A SUBSIDIARY OWNS AN OFFICE BUILDING IN WASHINGTON, D.C. IN WHICH THE UNIVERSITY OF CHICAGO LEASES OFFICE SPACE. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $359,263.94 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2012. THE UNIVERSITY ALSO LEASES OFFICE SPACE IN NEW YORK, NEW YORK FROM TISHMAN SPEYER. THE LEASE BETWEEN THE UNIVERSITY AND TISHMAN SPEYER WAS NEGOTIATED AT ARMS' LENGTH AND WAS CONCLUDED ON FAIR MARKET TERMS. THE UNIVERSITY PAID TISHMAN SPEYER A TOTAL OF $885,798.56 IN RENT, TAXES AND EXPENSES FOR THIS PROPERTY DURING THE TAX YEAR ENDED JUNE 30, 2012.JOSEPH NEUBAUER, A TRUSTEE OF THE UNIVERSITY, IS CHAIRMAN AND DIRECTOR OF ARAMARK HOLDINGS CORPORATION, WHICH OWNS A MAJORITY OF ARAMARK CORPORATION, A DIVERSIFIED MANAGEMENT COMPANY. THE UNIVERSITY HAS RETAINED ARAMARK CORPORATION TO PROVIDE FOOD SERVICE IN VARIOUS UNIVERSITY RESIDENCE HALLS AND FACILITIES, AND TO PROVIDE CERTAIN UNIFORM AND VENDING SERVICES TO THE UNIVERSITY. DURING THE TAX YEAR ENDED JUNE 30, 2012, THE UNIVERSITY PAID ARAMARK CORPORATION APPROXIMATELY $13,293,353 FOR THESE SERVICES, AND ARAMARK CORPORATION PAID THE UNIVERSITY APPROXIMATELY $3,686,560 IN CONNECTION WITH THESE SERVICES. THE CONTRACTS FOR THESE SERVICES WERE NEGOTIATED AT ARMS' LENGTH AND WERE CONCLUDED ON MARKET TERMS.TERESE SCHWARTZMAN, WHO FOR A PORTION OF THE TAX YEAR WAS MARRIED TO ROBERT J. ZIMMER, PRESIDENT OF THE UNIVERSITY AND A TRUSTEE, IS EMPLOYED BY THE UNIVERSITY AS DIRECTOR OF STRATEGIC INITIATIVES IN THE UNIVERSITY'S URBAN EDUCATION INSTITUTE. FROM JULY 1, 2011 THROUGH THE DATE OF HER DIVORCE, MS. SCHWARTZMAN WAS PAID A GROSS SALARY OF $24,909,IN CONNECTION WITH HER EMPLOYMENT IN THE URBAN EDUCATION INSTITUTE.PAUL YOVOVICH, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT OF LAKE CAPITAL, A PRIVATE EQUITY FIRM THAT MANAGES TWO PRIVATE EQUITY FUNDS IN WHICH A PORTION OF THE UNIVERSITY'S ENDOWMENT IS INVESTED. DURING THE TAX YEAR ENDED JUNE 30, 2012, THE UNIVERSITY PAID MANAGEMENT FEES OF APPROXIMATELY $110,500 IN CONNECTION WITH LAKE CAPITAL'S MANAGEMENT OF THESE TWO FUNDS. THE TERMS GOVERNING THE UNIVERSITY'S INVESTMENT IN THESE FUNDS WERE NEGOTIATED AT ARMS' LENGTH AND CONCLUDED ON MARKET TERMS.DANIEL L. DOCTOROFF, A TRUSTEE OF THE UNIVERSITY, IS CHIEF EXECUTIVE OFFICER OF BLOOMBERG, LP, FROM WHICH THE UNIVERSITY PURCHASED VARIOUS INVESTMENT DATA PRODUCTS ON STANDARD, ARMS' LENGTH TERMS. THE UNIVERSITY PAID BLOOMBERG LP AND ITS AFFILIATES APPROXIMATELY $333,465 FOR THESE PRODUCTS DURING THE YEAR ENDED JUNE 30, 2012.SANFORD GROSSMAN, A TRUSTEE OF THE UNIVERSITY, WAS CHAIRMAN, CEO AND SOLE SHAREHOLDER OF QFS ASSET MANAGEMENT, INC., THE GENERAL PARTNER OF QFS ASSET MANAGEMENT, L.P., A LIMITED PARTNERSHIP IN WHICH THE UNIVERSITY, THROUGH AN AFFILIATE, OWNS A LIMITED PARTNERSHIP INTEREST AS A RESULT OF A CHARITABLE GIFT FROM MR. GROSSMAN. THE UNIVERSITY RECEIVED $2,165,102.70 IN DISTRIBUTIONS ON ITS AFFILIATE'S LIMITED PARTNERSHIP INTEREST IN QFS ASSET MANAGEMENT, L.P. IN THE TAX YEAR ENDED JUNE 30, 2012.PETER MAY, A TRUSTEE OF THE UNIVERSITY, IS PRESIDENT AND FOUNDING PARTNER OF TRIAN PARTNERS, AN INVESTMENT MANAGEMENT FIRM WITH WHICH THE UNIVERSITY HAS INVESTED A PORTION OF ITS ENDOWMENT. TRIAN RECEIVED APPROXIMATELY $368,000 IN MANAGEMENT AND INCENTIVE FEES IN CONNECTION WITH THE UNIVERSITY'S INVESTMENT IN THE TAX YEAR ENDED JUNE 30, 2012.JOHN A. EDWARDSON, A TRUSTEE OF THE UNIVERSITY, DURING THE TAX YEAR WAS CHAIRMAN AND CHIEF EXECUTIVE OFFICER OF CDW LLC, FROM WHICH THE UNIVERSITY FROM TIME TO TIME PURCHASES CERTAIN COMPUTER HARDWARE AND SOFTWARE PRODUCTS, AND RELATED SERVICES. DURING THE TAX YEAR ENDED JUNE 30, 2012, THE UNIVERSITY PAID CDW LLC APPROXIMATELY $1.1 MILLION FOR SUCH PURCHASES.WILLIAM BLAIR & COMPANY, LLC, OF WHICH E. DAVID COOLIDGE III IS VICE CHAIRMAN, SERVED AS CO-MANAGER ON A 2012 TAX-EXEMPT BOND ISSUANCE FOR THE BENEFIT OF THE UNIVERSITY. FOR ITS SERVICES AS CO-MANAGER DURING THE TAX YEAR ENDED JUNE 30, 2012, WILLIAM BLAIR RECEIVED APPROXIMATELY $54,261 IN COMPENSATION.SHADI BARTSCH-ZIMMER, WHO MARRIED PRESIDENT ROBERT J. ZIMMER DURING THE TAX YEAR, IS EMPLOYED BY THE UNIVERSITY AS A PROFESSOR OF CLASSICS. FROM THE DATE OF HER MARRIAGE THROUGH JUNE 30, 2012, MS. BARTSCH WAS PAID A GROSS SALARY OF $204,885 IN CONNECTION WITH HER EMPLOYMENT.TAMAR POLONSKY, THE DAUGHTER OF KENNETH POLONSKY, DEAN AND EXECUTIVE VICE PRESIDENT FOR MEDICAL AFFAIRS, IS EMPLOYED BY THE UNIVERSITY AS AN ASSISTANT PROFESSOR IN THE DEPARTMENT OF MEDICINE.SWAPNA SHAW CHINNIAH, WHO FOR A PORTION OF THE TAX YEAR WAS MARRIED TO NIMALAN CHINNIAH, VICE PRESIDENT FOR ADMINISTRATION AND CHIEF FINANCIAL OFFICER, IS EMPLOYED BY THE UNIVERSITY AS AN ADVISER IN THE COLLEGE. FROM JULY 1, 2011 THROUGH THE DATE OF HER DIVORCE, MS. CHINNIAH WAS PAID A GROSS SALARY OF $26,013 IN CONNECTION WITH HER EMPLOYMENT IN THE COLLEGE.
Schedule L (Form 990 or 990-EZ) 2011

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
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
Part I
Types of Property
(a)
Check if applicable 		(b)
Number of Contributions or items contributed 		(c)
Noncash contribution amounts reported on
Form 990, Part VIII, line 1g 		(d)
Method of determining
noncash contribution amounts
1 Art—Works of art .... X 7    
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications ..      
5 Clothing and household
goods ....... 		     
6 Cars and other vehicles ..        
7 Boats and planes ....        
8 Intellectual property ...        
9 Securities—Publicly traded . X 244 15,734,760 COST/SELLING PRICE
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 ...        
20 Drugs and medical supplies .        
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( COMPUTER EQUIPMENT ) X 1 165,238 MARKET VALUE
26 Other Right pointing arrow large image( )
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
23
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 noncash
contributions? ............................
32a
Yes
 
b
If "Yes," describe in Part II.
33
If the organization did not report revenues in column (c) for a type of property for which column (a) is checked,
describe in Part II.
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 51227J
Schedule M (Form 990) 2011
Schedule M (Form 990) 2011
Page 2
Part II
Supplemental Information. Complete this part to provide the information required by Part I, lines 30b,
32b, and 33 and whether the organization is reporting in Part I, column (b) the number of contributions, the number of items received, or a combination of both. Also complete this part for any additional information.
Identifier Return Reference Explanation
THIRD PARTY USE: PART I, LINE 32B: RELATED ORGANIZATIONS IN THE UK, FRANCE, SINGAPORE, HONG KONG AND INDIA SOLICIT CONTRIBUTIONS FOR THE BENEFIT OF THE UNIVERSITY AND ITS PROGRAMS. THE UNIVERSITY USES AN OUTSIDE BROKER TO SELL GIFTS OF SECURITIES.
NON REPORTING OF REVENUE: PART I, LINE 33: THE UNIVERSITY OF CHICAGO DOES NOT RECORD GIFTS OF ART AS REVENUE AS PERMITTED UNDER SFAS 116.
Schedule M (Form 990) 2011
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
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
Identifier Return Reference Explanation
  FORM 990, PART VI, SECTION A, LINE 2 RODNEY L. GOLDSTEIN AND KING W. HARRIS, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. ROBERT W. LANE AND JOSEPH NEUBAUER, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. THOMAS J. PRITZKER AND BYRON D. TROTT, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP. JOHN W. ROGERS, JR. AND PAULA WOLFF, BOTH TRUSTEES OF THE UNIVERSITY, HAVE A BUSINESS RELATIONSHIP.
  FORM 990, PART VI, SECTION B, LINE 11 PRIOR TO FILING THE FORM 990, MEMBERS OF THE EXECUTIVE COMMITTEE AND AUDIT COMMITTEE OF THE UNIVERSITY'S BOARD OF TRUSTEES WERE GIVEN AN OPPORTUNITY TO REVIEW PORTIONS OF THE FORM 990 RELEVANT TO THE AREAS OF OVERSIGHT OF THOSE COMMITTEES. THESE PORTIONS OF THE FORM 990 WERE DISTRIBUTED TO COMMITTEE MEMBERS FOR CONVENED MEETINGS IN FEBRUARY - MARCH 2013, AT WHICH TRUSTEES ON THESE COMMITTEES WERE GIVEN THE OPPORTUNITY TO DISCUSS THE RELEVANT SECTIONS OF THE FORM 990 AND ASK QUESTIONS. IN ADDITION, IN EARLY APRIL 2013, THE COMPLETED DRAFT FORM 990 (AND FORM 990-T), INCLUDING ALL SCHEDULES, WAS POSTED ON A SECURE WEBSITE ACCESSIBLE TO ALL TRUSTEES TO ALLOW THEM TO REVIEW THE FORM, PROVIDE COMMENTS, AND ASK ANY QUESTIONS. INFORMATION ABOUT ACCESSING THE WEBSITE WAS DISTRIBUTED IN ADVANCE TO ALL TRUSTEES. THE DRAFT FORM REMAINED AVAILABLE ON THE WEBSITE FOR APPROXIMATELY TWO WEEKS, AFTER WHICH ONLINE ACCESS ENDED TO ALLOW THE UNIVERSITY TIME TO FINALIZE THE FORM 990 AND FORM 990T FOR FILING WITH THE IRS.
  FORM 990, PART VI, SECTION B, LINE 12C ALL TRUSTEES, OFFICERS, FACULTY, SENIOR ADMINISTRATORS, AND OTHER EMPLOYEES OF THE UNIVERSITY ARE SUBJECT TO CONFLICT OF INTEREST POLICIES THAT, AMONG OTHER THINGS, DEFINE MATERIAL FINANCIAL CONFLICTS OF INTEREST, IDENTIFY THE CLASSES OF INDIVIDUALS COVERED BY THE POLICIES, FACILITATE DISCLOSURE OF INFORMATION, AND SPECIFY PROCEDURES TO BE FOLLOWED IN MANAGING THE CONFLICTS. THESE CONFLICT OF INTEREST POLICIES AND PROCEDURES INCLUDE: (1) THE UNIVERSITY OF CHICAGO CONFLICT OF INTEREST POLICY FOR TRUSTEES AND OFFICERS REQUIRES TRUSTEES AND OFFICERS TO ALERT THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, OR THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL OF ANY POTENTIAL CONFLICT OF INTEREST, AND ABSTAIN FROM PARTICIPATING IN OR VOTING ON THE MATTER. THE POLICY ALSO REQUIRES TRUSTEES AND OFFICERS TO DISCLOSE ON AN ANNUAL BASIS, ACTUAL AND POTENTIAL CONFLICTS OF INTEREST BY COMPLETING A CONFLICT OF INTEREST DISCLOSURE STATEMENT. ALL CONFLICT OF INTEREST DISCLOSURES AND RELATED DISCUSSIONS ARE SHARED WITH THE CHAIR OF THE BOARD, THE COMMITTEE ON TRUSTEESHIP, AND THE UNIVERSITY'S PRESIDENT, ITS GENERAL COUNSEL, AND ITS EXTERNAL AUDITORS. THE UNIVERSITY'S VICE PRESIDENT AND GENERAL COUNSEL, IN CONSULTATION WITH THE COMMITTEE ON TRUSTEESHIP AND SENIOR UNIVERSITY ADMINISTRATORS, COMPILES THE DISCLOSURES INTO A CONFIDENTIAL DATABASE AND PREPARES FOR EACH TRUSTEE AND OFFICER A WRITTEN ACKNOWLEDGMENT OF THE DISCLOSURE THAT IDENTIFIES ANY PENDING UNIVERSITY TRANSACTIONS THAT MAY BE AFFECTED BY THE DISCLOSURE. THE CHAIR OF THE BOARD ALSO REVIEWS ALL DISCLOSED POTENTIAL CONFLICTS OF INTEREST BEFORE MAKING BOARD COMMITTEE ASSIGNMENTS. 2) THE UNIVERSITY'S POLICY ON SERVICE TO OUTSIDE ORGANIZATIONS BY SENIOR ADMINISTRATORS REQUIRES OFFICERS AND SENIOR ADMINISTRATORS TO DISCLOSE ALL OFFICER, DIRECTOR, OR TRUSTEE POSITIONS THEY HOLD OR INTEND TO HOLD IN OUTSIDE ORGANIZATIONS, INCLUDING BUT NOT LIMITED TO ORGANIZATIONS IN WHICH THEY HAVE A FINANCIAL INTEREST OR FROM WHICH THEY RECEIVE COMPENSATION. THE UNIVERSITY'S OFFICE OF LEGAL COUNSEL MONITORS SUCH POTENTIAL CONFLICTS BY CIRCULATING ANNUALLY A DISCLOSURE FORM THAT MUST BE UPDATED AS CIRCUMSTANCES CHANGE, AND OFFICERS ARE ALSO REQUIRED TO DISCLOSE ALL SUCH RELATIONSHIPS IN ADVANCE TO THEIR IMMEDIATE SUPERVISOR. THIS INFORMATION MAY BE SHARED WITH THE UNIVERSITY'S TRUSTEES, PRESIDENT, PROVOST, GENERAL COUNSEL, AND OTHERS AS NECESSARY; COMPENSATED OUTSIDE SERVICE IS ALSO SUBJECT TO REVIEW BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. (3) ACADEMIC EMPLOYEES, INCLUDING THE PRESIDENT AND THE PROVOST, ARE SUBJECT TO THE UNIVERSITY'S CONFLICT OF INTEREST AND CONFLICT OF COMMITMENT POLICY FOR FACULTY AND OTHER ACADEMIC APPOINTEES. THE OFFICE OF THE PROVOST IS THE ADMINISTRATIVE OFFICE CHARGED WITH ASSURING COMPLIANCE WITH THE FACULTY CONFLICT OF INTEREST POLICY. THE PROVOST HAS DELEGATED OVERSIGHT OF THE POLICY TO THE DEPUTY PROVOST FOR RESEARCH. THE PROVOST ALSO APPOINTS THE MEMBERS OF THE STANDING COMMITTEE ON INDIVIDUAL CONFLICTS OF INTEREST AND DESIGNATES THE DEPUTY PROVOST FOR RESEARCH AS ITS CHAIR. THE PROVOST REPORTS PERIODICALLY TO THE STANDING COMMITTEE ON THE STATUS OF FACULTY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY; THE REPORT INCLUDES HOW RISKS HAVE BEEN ADDRESSED THROUGH MANAGEMENT PLANS OR OTHER PRACTICES INTENDED TO PROVIDE FOR THE REDUCTION, ELIMINATION OR MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS. THE DEPUTY PROVOST SEEKS ASSESSMENT OF THE RISKS AND RECOMMENDATIONS FOR RESPONSIBLE MANAGEMENT FROM DEPARTMENT CHAIRS AND DEANS AND OTHERS SUCH AS THE DIRECTOR OF UNIVERSITY RESEARCH ADMINISTRATION AND THE OFFICE OF LEGAL COUNSEL. (4) THE UNIVERSITY'S CONFLICT OF INTEREST POLICY REQUIRES ALL NON-ACADEMIC UNIVERSITY EMPLOYEES TO AVOID INVOLVEMENT IN ACTIVITIES WHICH MIGHT CONFLICT, OR MIGHT APPEAR TO CONFLICT, WITH THEIR INSTITUTIONAL RESPONSIBILITIES, INCLUDING, BUT NOT LIMITED TO BUSINESS OR FINANCIAL INTERESTS, TRANSACTIONS INVOLVING THE USE OF CONFIDENTIAL INFORMATION OR KNOWLEDGE GAINED AS A RESULT OF THE EMPLOYEE'S RELATIONSHIP WITH THE UNIVERSITY, THE USE OF UNIVERSITY RESOURCES FOR PERSONAL BENEFIT OR THE BENEFIT OF OTHERS, THE ACCEPTANCE OF GIFTS OF MORE THAN NOMINAL VALUE, AND NEPOTISM. CONFLICT OF INTEREST POLICY REQUIRES STAFF TO PROVIDE FULL DISCLOSURE OF ANY INTEREST THAT MIGHT INFLUENCE, OR APPEAR TO HAVE THE CAPACITY TO INFLUENCE, THE STAFF MEMBER'S OFFICIAL DECISIONS OR ACTIONS ON UNIVERSITY MATTERS. THE DISCLOSURES ARE TO BE IN WRITING, TENDERED TO THE EMPLOYEE'S IMMEDIATE SUPERVISOR, DEPARTMENT HEAD, OR THE APPROPRIATE VICE PRESIDENT OF THE UNIVERSITY. (5)THE UNIVERSITY'S POLICY ON BUSINESS CONDUCT AT THE UNIVERSITY OF CHICAGO REQUIRES ALL UNIVERSITY EMPLOYEES TO, AMONG OTHER THINGS, AVOID REAL OR PERCEIVED CONFLICTS OF INTEREST; USE UNIVERSITY RESOURCES ONLY FOR LEGITIMATE UNIVERSITY BUSINESS; AND REPORT POSSIBLE VIOLATIONS OF THE POLICY, OTHER UNIVERSITY POLICIES, OR APPLICABLE LAW. MEMBERS OF THE UNIVERSITY COMMUNITY ARE ENCOURAGED TO REPORT COMPLIANCE CONCERNS THROUGH NORMAL LINES OF COMMUNICATION INCLUDING DISCUSSIONS WITH SUPERVISORS OR ADVISORS AND, IF NECESSARY, THROUGH THE TOLL-FREE HOTLINE.
  FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES ANNUALLY REVIEWS COMPENSATION FOR THE UNIVERSITY'S PRESIDENT AND ALL OTHER UNIVERSITY OFFICERS, BASED ON A RECOMMENDATION FROM THE CHAIRMAN OF THE BOARD OF TRUSTEES IN THE CASE OF THE PRESIDENT'S COMPENSATION, AND RECOMMENDATIONS FROM THE PRESIDENT IN THE CASE OF OFFICER COMPENSATION. THE COMPENSATION COMMITTEE REVIEWS THESE RECOMMENDATIONS, INCLUDING A REVIEW OF COMPARABILITY DATA PROVIDED BY EXTERNAL CONSULTANTS. THE COMPENSATION COMMITTEE THEN MAKES A RECOMMENDATION REGARDING COMPENSATION TO THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, WHICH ALSO REVIEWS THE COMPARABILITY DATA AND MAKES ALL FINAL COMPENSATION DECISIONS. THE RECOMMENDATIONS OF THE COMPENSATION COMMITTEE AND THE DECISIONS OF THE EXECUTIVE COMMITTEE ARE DOCUMENTED IN MINUTES MAINTAINED BY THE UNIVERSITY.
  FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS, CONFLICTS OF INTEREST POLICIES, AND MOST RECENT FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ON THE UNIVERSITY'S WEBSITE, WWW.UCHICAGO.EDU.
CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -67,369,889. MISCELLANEOUS ROUNDING ADJUSTMENT -823. TOTAL TO FORM 990, PART XI, LINE 5: -67,370,712.
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2011

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
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF CHICAGO
 
Employer identification number

36-2177139
Part I
Identification of Disregarded Entities (Complete if the organization answered "Yes" on Form 990, Part IV, line 33.)
(a)
Name, address, and EIN of disregarded entity


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

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


 		(f)
Direct controlling
entity







(1) UCHICAGO ARGONNE LLC
5801 S ELLIS AVENUE
CHICAGO,IL60637
68-0628477 		MANAGE LAB IL 3,736,500 0 UNIV OF CHICAGO
 
(2) UNIVERSITY OF CHICAGO FOUNDATION LTD
5T FL ALDER CASTER 10 NOBLE
LONDON    
UK
98-0525557 		FUNDRAISING UK 628,849 16,359 UNIV OF CHICAGO
 
(3) THEORY & COMPUTING SCIENCES BLDG TRUST
5801 S ELLIS AVENUE
CHICAGO,IL60637
51-6596577 		RESEARCH BLDG IL 9,413,136 74,190,893 SEE PART VII
 
(4) UCHICAGO TRADING
5801 S ELLIS AVENUE
CHICAGO,IL60637
30-0517735 		INVESTING IL 7,716,963 4,034,294 UNIV OF CHICAGO
 
(5) MAROON INVESTMENTS LLC
5801 S ELLIS AVENUE
CHICAGO,ID60637
 HOLDING COMPANY DE 2,165,103 40,000,000 UNIV OF CHICAGO
 
(6) UCHICAGO IMPACT LLC
5801 S ELLIS AVENUE
CHICAGO,IL60637
61-1682394 		EDUCATION CONSULTING IL   1,345,452 UNIV OF CHICAGO
 
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) UNIVERSITY OF CHICAGO MEDICAL CTR

5841 S MARYLAND AVENUE

CHICAGO,IL60637
36-3488183 		HOSPITAL IL 501 (C) (3) LINE 3 UNIV OF CHICAGO
 
 
No
(2) UNIVERSITY OF CHICAGO PROPERTY HOLDING CORP

5801 S ELLIS AVENUE

CHICAGO,IL60637
36-6108743 		PROPERTY HOLDING IL 501 (C) (2)   UNIV OF CHICAGO
 
 
No
(3) LAKE PARK ASSOCIATES

5801 S ELLIS AVENUE

CHICAGO,IL60637
36-6111317 		PROPERTY HOLDING IL 501 (C) (2)   UNIV OF CHICAGO
 
 
No
(4) ARCH DEVELOPMENT CORPORATION

5555 S WOODLAWN AVENUE

CHICAGO,IL60637
36-3485244 		TECH TRANSFER IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO
 
 
No
(5) UNIV OF CHICAGO CHARTER SCHOOL CORP

5801 S ELLIS AVENUE

CHICAGO,IL60637
36-4225812 		EDUCATION IL 501 (C) (3) LINE 2 UNIV OF CHICAGO
 
 
No
(6) COURT THEATRE FUND

5535 S ELLIS AVENUE

CHICAGO,IL60637
36-3203660 		SUPP THE ARTS IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO
 
 
No
(7) UNIVERSITY OF CHICAGO CANCER RESEARCH FOUNDATION

5801 S ELLIS AVENUE

CHICAGO,IL60637
36-6056201 		SUPP RESEARCH IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO
 
 
No
(8) UNIVERSITY OF CHICAGO SELF INSURANCE TRUST

5801 S ELLIS AVENUE

CHICAGO,IL60637
36-3020034 		MALPTRACTICE TRUST IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO
 
 
No
(9) UNIVERSITY OF CHICAGO RETIREE MEDICAL TRUST

5801 S ELLIS AVENUE

CHICAGO,IL60637
36-3999692 		MEDICAL TRUST IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO
 
 
No
(10) CHICAGO TUMOR INSTITUTE

5801 S ELLIS AVENUE

CHICAGO,IL60637
23-7136019 		SUPP RESEARCH IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO
 
 
No
(11) NATIONAL OPINION RESEARCH CENTER

55 E MONROE AVENUE

CHICAGO,IL60603
36-2167808 		SO SCI SURVEYS IL 501 (C) (3) LINE 7 N/A
 
No
(12) THE QUADRANGLE CLUB

5801 S ELLIS AVENUE

CHICAGO,IL60637
36-1655190 		SOCIAL CLUB IL 501 (C) (7)   UNIV OF CHICAGO
 
 
No
(13) FERMI RESEARCH ALLIANCE LLC

PO BOX 500

BATAVIA,IL60510
57-1239010 		MANAGE LAB IL 501 (C) (3) LINE 7 N/A
 
No
(14) UNIVERSITY OF CHICAGO CENTER IN PARIS

6 RUE THOMAS MANN 75013
PARIS    
FR
EDUCATION FR     UNIV OF CHICAGO
 
 
No
(15) UNIV OF CHGO BOOTH SCHL OF BUSINESS

WOOLGATE EXCHANGE 25 BASINGHAL
LONDON    
UK
EDUCATION UK     UNIV OF CHICAGO
 
 
No
(16) UNIV OF CHGO BOOTH SCHL OF BUSINESS

101PENANG RD 238466
SINGAPORE    
SN
EDUCATION SN     UNIV OF CHICAGO
 
 
No
(17) UNIVERSITY OF CHICAGO TRUST

GB10-12 CLAIRMONT APTS RST HSE
BANGALORE    
IN
FUNDRAISING IN     UNIV OF CHICAGO
 
 
No
(18) UNIV OF CHGO FOUNDATION IN HONG KONG

RM100 FAR EAST CTR C/O WM FAN CO
HONG KONG    
HK
FUNDRAISING HK     UNIV OF CHICAGO
 
 
No
(19) UCHICAGO RESEARCH INTERNATIONAL LTD

5801 S ELLIS AVENUE

CHICAGO,IL60637
26-2741573 		RESEARCH IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO
 
 
No
(20) UCHICAGO RESEARCH BANGLADESH LTD

HSE 388 ROAD 24 NEW DOH
DHAKA    
BG
RESEARCH BG     UCHGO RSCH INTL
 
 
No
(21) UNIVERSITY OF CHICAGO CLOISTERS CLUB

1212 E 59TH STREET

CHICAGO,IL60637
 SOCIAL CLUB IL     UNIV OF CHICAGO
 
 
No
(22) PHOENIX OVERLAY FUND LTD

401 N MICHIGAN AVE C/O INVST OFFICE

CHICAGO,IL60611
 INVESTING CJ     UNIV OF CHICAGO
 
 
No
(23) SOUTHEAST CHICAGO COMMISSION

1511 EAST 53RD STREET

CHICAGO,IL60615
36-2226282 		COMMUNITY SERVICES IL 501 (C) (3) LINE 7 UNIV OF CHICAGO
 
 
No
(24) UCMC COMMUNITY PHYSICIANS LLC

5841 S MARYLAND AVENUE

CHICAGO,IL60637
38-3865637 		PHYSICIAN SERVICES IL     UNIV OF CHGO MEDICAL CENTER
 
 
No
(25) UCMCSCH ONCOLOGY JV LLC

1850 SILVER CROSS BLVD

NEW LENOX,IL60451
35-2436795 		HEALTHCARE SERVICES IL     UNIV OF CHGO MEDICAL CENTER
 
 
No
(26) THE JOHN CRERAR FOUNDATION

5730 S ELLIS AVENUE

CHICAGO,IL60637
36-3155157 		SUPPORT THE LIBRARY IL 501 (C) (3) LINE 11A, I UNIV OF CHICAGO
 
 
No
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
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












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) UCHICAGO (BEIJING) CONSULTING COMPANY LTD CHINA
UNIT1-10 CULTURE PL OF REMMIN UNIV
BEIJING    
CH
CONSULTING CH  
  1,834,857 2,424,123 100.000 %
(2) CHARITABLE REMAINDER TRUSTS (87)
5801 S ELLIS AVENUE
CHICAGO,IL60637
 CHARITABLE RMDR TR IL  
T     93.000 %
(3) CHARITABLE LEAD TRUST (2)
5801 S ELLIS AVENUE
CHICAGO,IL60637
 CHARITABLE LEAD TRUST IL  
T     100.000 %
(4) POOLED INCOME FUND (1)
5801 S ELLIS AVENUE
CHICAGO,IL60637
 POOLED INCOME FUND IL  
T     100.000 %






Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
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
Yes
 
b Gift, grant, or capital contribution to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1b
Yes
 
c Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
Yes
 
d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
 
No
e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
No
f Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
 
No
k Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1k
 
No
l Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
 
No
m Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .
1m
Yes
 
n Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1n
Yes
 
o Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
Yes
 
p Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
Yes
 
q Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
Yes
 
r Other transfer of cash or property from related 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) UNIVERSITY OF CHICAGO MEDICAL CENTER

 A 6,497 CASH VALUE
(2) UNIVERSITY OF CHICAGO MEDICAL CENTER

 B 7,132,083 CASH VALUE
(3) UNIVERSITY OF CHICAGO MEDICAL CENTER

 C 63,000,000 CASH VALUE
(4) UNIVERSITY OF CHICAGO MEDICAL CENTER

 M 389,562 CASH VALUE
(5) UNIVERSITY OF CHICAGO MEDICAL CENTER

 N 87,471,318 CASH VALUE
(6) UNIVERSITY OF CHICAGO MEDICAL CENTER

 O 46,127,368 CASH VALUE
(7) UNIVERSITY OF CHICAGO MEDICAL CENTER

 P 89,418,021 CASH VALUE
(8) UNIVERSITY OF CHICAGO MEDICAL CENTER

 Q 45,676,108 CASH VALUE
(9) UNIVERSITY OF CHICAGO MEDICAL CENTER

 R 82,256,744 CASH VALUE
(10) PROPERTY HOLDING CORP

 N 54,906 CASH VALUE
(11) PROPERTY HOLDING CORP

 R 97,351 CASH VALUE
(12) LAKE PARK ASSOCIATES

 B 18,930,780 CASH VALUE
(13) UNIVERSITY OF CHICAGO CHARTER SCHOOL

 O 3,620,214 CASH VALUE
(14) UNIVERSITY OF CHICAGO CANCER RESEARCH FDN

 C 990,020 CASH VALUE
(15) UNIVERSITY OF CHICAGO CANCER RESEARCH FDN

 N 342,478 CASH VALUE
(16) UNIVERSITY OF CHICAGO SELF INSURANCE TRUST

 B 25,546,337 CASH VALUE
(17) UNIVERSITY OF CHICAGO SELF INSURANCE TRUST

 P 42,710,000 CASH VALUE
(18) UNIVERSITY OF CHICAGO RETIREE MEDICAL TRUST

 P 4,120,654 CASH VALUE
(19) NATIONAL OPINION RESEARCH CENTER

 A 880,023 CASH VALUE
(20) NATIONAL OPINION RESEARCH CENTER

 P 62,785 CASH VALUE
(21) QUADRANGLE CLUB

 Q 651,824 CASH VALUE
(22) FERMI RESEARCH ALLIANCE

 R 1,021,091 CASH VALUE
(23) UNIVERSITY OF CHICAGO CENTER IN PARIS

 Q 2,171,426 CASH VALUE
(24) UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK)

 M 1,637,627 CASH VALUE
(25) UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK)

 N 385,903 CASH VALUE
(26) UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK)

 P 529,326 CASH VALUE
(27) UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK)

 Q 281,297 CASH VALUE
(28) UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK)

 R 4,365,518 CASH VALUE
(29) UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK)

 M 1,957,371 CASH VALUE
(30) UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK)

 P 2,663,540 CASH VALUE
(31) UNIV OF CHGO BOOTH SCHOOL OF BUSINESS LTD (UK)

 R 1,006,286 CASH VALUE
(32) UNIVERSITY OF CHICAGO TRUST

 C 34,950 CASH VALUE
(33) UCHICAGO RESEARCH INTERNATIONAL LTD

 B 2,175,000 CASH VALUE
(34) UNIVERSITY RESEARCH BANGLADESH

 Q 1,110,000 CASH VALUE
(35) UNIVERSITY OF CHICAGO FOUNDATION HONG KONG

 C 260,154 CASH VALUE
(36) SOUTH EAST CHICAGO COMMISSION

 Q 386,808 CASH VALUE
(37) PHOENIX OVERLAY

 R 250,000 CASH VALUE
Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
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)
Predominant income(related, unrelated, excluded from tax under sections 512-514)

(e)
Are all
partners
section
501(c)(3)
organizations? 		(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 Yes No






























Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
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
  PART I IDENTIFICATION OF DISREGARDED ENTITIES THEORY & COMPUTING SCIENCES BUIDING TRUST - THE UNIVERSITY IS THE 100% BENEFICIARY OF THE TRUST, BUT DOES NOT CONTROL THE TRUST. AS SUCH, THE INCOME AND ASSETS OF THE TRUST ARE NOT SHOWN ON THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS WHICH ARE THE BASIS FOR THE 990 PART VIII, LINE 12 AND PART X, LINE 16. THE END OF THE YEAR ASSET BALANCE IS $74,190,893 AND THE INCOME FOR THE PERIOD ENDING DECEMBER 31, 2011 IS $9,413,136.
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