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
2012
Open to Public Inspection
A For the 2012 calendar year, or tax year beginning 07-01-2012 , 2012, and ending 06-30-2013
BCheck if applicable:
CName of organization
NORTHEASTERN UNIVERSITY
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
360 HUNTINGTON AVENUE
Suite
Room/suite
City or town, state or country, and ZIP + 4
BOSTON, MA02115
D Employer identification number

04-1679980
E Telephone number

G Gross receipts $ 1,346,492,553
F Name and address of principal officer:
Joseph E Aoun
360 Huntington Ave
Boston,MA02115
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
www.neu.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: 1898
M State of legal domicile: MA
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: SEE SCHEDULE O.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 28
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 22
5 Total number of individuals employed in calendar year 2011 (Part V, line 2a) ...... 5 14,943
6 Total number of volunteers (estimate if necessary) ............. 6 986
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 8,662,312
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b -3,190,585
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 165,358,991 136,157,007
9 Program service revenue (Part VIII, line 2g) ......... 958,218,544 1,016,136,628
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 27,298,808 46,181,491
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 13,201,710 13,104,145
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 1,164,078,053 1,211,579,271
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 230,900,624 244,795,654
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) 448,490,035 482,964,534
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 464,252 472,919
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet19,130,453    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 356,729,385 376,280,815
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 1,036,584,296 1,104,513,922
19 Revenue less expenses. Subtract line 18 from line 12....... 127,493,757 107,065,349
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 2,101,287,079 2,226,464,071
21 Total liabilities (Part X, line 26)............. 1,063,558,111 1,031,390,832
22 Net assets or fund balances. Subtract line 21 from line 20..... 1,037,728,968 1,195,073,239
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 MediumBullet

Firm's EIN MediumBullet
Firm's address MediumBullet



Phone no.
May the IRS discuss this return with the preparer shown above? (see instructions) ............
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2012)
Form 990 (2012)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response to any question in this Part III ...............
1
Briefly describe the organization’s mission: SEE SCHEDULE O.
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? ......................
If “Yes,” describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program services? ............................
If “Yes,” describe these changes on Schedule O.
4
Describe the 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 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 $ 344,357,000 including grants of $ 0 ) (Revenue $ 895,287,628 )
Instruction NORTHEASTERN ENABLES 31,891 STUDENTS TO FULFILL THEIR EDUCATIONAL GOALS BY PROVIDING TEACHING AND ADVISING THAT RESULT IN THE GRANTING OF ASSOCIATE, BACHELOR, MASTER AND DOCTORAL DEGREES IN A VARIETY OF ACADEMIC DISCIPLINES. THE UNIVERSITYS ACADEMIC AREA CONSISTS OF THE BOUVE COLLEGE OF HEALTH SCIENCE, COLLEGE OF ARTS, MEDIA AND DESIGN, D'AMORE-MCKIM SCHOOL OF BUSINESS, COLLEGE OF COMPUTER AND INFORMATION SCIENCE, COLLEGE OF ENGINEERING, COLLEGE OF PROFESSIONAL STUDIES, COLLEGE OF SCIENCE, COLLEGE OF SOCIAL SCIENCES AND HUMANITIES, AND SCHOOL OF LAW.
4b (Code:   ) (Expenses $ 229,079,707 including grants of $ 229,079,707 ) (Revenue $ 0 )
Student financial aid Northeastern awards grants and scholarships to students from several sources: federal and state governments, institutionally-funded and endowment/donor funded. The Office of Student Financial Services administers financial aid and is committed to working with students to identify financial aid options that can help make a Northeastern education affordable.
4c (Code:   ) (Expenses $ 104,139,000 including grants of $ 0 ) (Revenue $ 120,849,000 )
Auxiliary enterprises Northeastern provides student housing in 30 residential buildings and operates conference centers mainly use for University events.
4d Other program services (Describe in Schedule O.)
(Expenses $ 333,474,468 including grants of $ 15,715,947 ) (Revenue $ 0 )
4e Total program service expensesMediumBullet1,011,050,175
Form 990 (2012)
Form 990 (2012)
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 (see instructions)? 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, or have a section 501(h) election in effect during the tax year? 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
 
No
9
Did the organization report an amount in Part X, line 21 for escrow or custodial account liability; 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, line 10?
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 VIIClick 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 VIIIClick 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 IXClick 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 XClick 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 XClick to see attachment.........................
11f
 
No
12a
Did the organization obtain separate, independent audited financial statements for the tax year?
If “Yes,” complete Schedule D, Parts XI and XII Click to see attachment.................
12a
 
No
b
Was the organization included in consolidated, independent audited financial statements for the tax year? If “Yes,” and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII 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
 
No
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, Parts I and IV......... 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 United States? If “Yes,” complete Schedule F, Parts II and IVClick 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 United States? If “Yes,” complete Schedule F, Parts III and IV... Click to see attachment
16
 
No
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 (see instructions).... Click to see attachment
17
Yes
 
18
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If “Yes,” complete Schedule G, Part II............ Click to see attachment
18
Yes
 
19
Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If “Yes,” complete Schedule G, Part III................... Click to see attachment
19
 
No
20a
Did the organization operate one or more hospital facilities? If “Yes,” complete Schedule H....
20a
 
No
b
If “Yes” to line 20a, did the organization attach a copy of its audited financial statements to this return?
20b
 
 
Form 990 (2012)
Form 990 (2012)
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, line 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 lines 24b through 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, highest 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 direct or indirect 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 M..Click to see attachment
29
Yes
 
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If “Yes,” complete Schedule M............. Click to see attachment
30
Yes
 
31
Did the organization liquidate, terminate, or dissolve and cease operations? If “Yes,” complete Schedule N,
Part I...........................
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, Part II, III, or IV, and Part 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
 
No
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If “Yes,” complete Schedule R, Part VIClick to see attachment
37
 
No
38
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Form 990 (2012)
Form 990 (2012)
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
47,616
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
14,943
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, securities account, or other financial account)?..........................
4a
 
No
b
If "Yes," enter the name of the foreign country: MediumBullet
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 as charitable contributions?...
6a
 
No
b
If “Yes,” did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible?........................
6b
 
 
7
Organizations that may receive deductible contributions under section 170(c).
a
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor?....................
7a
Yes
 
b
If “Yes,” did the organization notify the donor of the value of the goods or services provided?.....
7b
Yes
 
c
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282?...........................
7c
 
No
d
If “Yes,” indicate the number of Forms 8282 filed during the year ....
7d
 
e
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?............................
7e
 
No
f
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?..
7f
 
No
g
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?............................
7g
 
 
h
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?..........................
7h
 
 
8
Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year?............
8
 
 
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. See the instructions for additional information the organization must report on Schedule O.
13a
 
 
b
Enter the 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 amount of reserves on hand ............
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If “No,” provide an explanation in Schedule O..
14b
 
 
Form 990 (2012)
Form 990 (2012)
Page 6
Part VI
Governance, Management, and Disclosure For each “Yes” response to lines 2 through 7b below, and for a “No” response to lines 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.
Check if Schedule O contains a response to any question in this Part VI ...............
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year .....................
1a
28
If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
b
Enter the number of voting members included in line 1a, above, who are independent ...................
1b
22
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
Yes
 
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
Yes
 
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 this 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
MA
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:
MediumBulletTHOMAS NEDELL360 HUNTINGTON AVEBOSTONMA02115 (617) 373-5374
Form 990 (2012)
Form 990 (2012)
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. 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 organization compensated any current officer, director, or trustee.
(A)
Name and Title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(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) JOSEPH E AOUN........................................................................
PRESIDENT/TRUSTEE
 40.0
.......................   		X   X       1,045,906 0 185,390
(2) PETER B CAMERON........................................................................
Trustee
 1.0
.......................   		X                
(3) CHAD GIFFORD........................................................................
Trustee
 1.0
.......................   		X                
(4) WILLIAM J COTTER........................................................................
Trustee
 1.0
.......................   		X                
(5) EDMOND J ENGLISH........................................................................
Trustee
 2.0
.......................   		X                
(6) WILLIAM S HOWARD........................................................................
Trustee
 2.0
.......................   		X                
(7) KATHERINE S MCHUGH........................................................................
Trustee
 2.0
.......................   		X                
(8) HENRY J NASELLA........................................................................
CHAIR/Trustee
 5.0
.......................   		X                
(9) KATHRYN M NICHOLSON........................................................................
Trustee
 1.0
.......................   		X                
(10) RONALD L ROSSETTI........................................................................
Trustee
 1.0
.......................   		X                
(11) CAROLE J SHAPAZIAN........................................................................
Trustee
 2.0
.......................   		X                
(12) ROBERT J SHILLMAN........................................................................
TRUSTEE
 1.0
.......................   		X                
(13) SEYMOUR STERNBERG........................................................................
Trustee
 1.0
.......................   		X                
(14) MICHAEL J ZAMKOW........................................................................
Trustee
 2.0
.......................   		X                
(15) MARGOT BOTSFORD........................................................................
TRUSTEE
 1.0
.......................   		X                
(16) NONNIE S BURNES........................................................................
TRUSTEE
 1.0
.......................   		X                
(17) VENETIA G KONTOGOURIS........................................................................
TRUSTEE
 1.0
.......................   		X                
Form 990 (2012)
Form 990 (2012)
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 (list any hours for related organizations below dotted line) 		(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) BARBARA C ALLEYNE........................................................................
TRUSTEE
 1.0
.......................   		X                
(19) Richard A D'Amore........................................................................
Trustee
 2.0
.......................   		X                
(20) Edward G Galante........................................................................
Trustee
 2.0
.......................   		X                
(21) ANTHONY R MANGANARO........................................................................
TRUSTEE
 1.0
.......................   		X                
(22) ALAN S MCKIM........................................................................
Trustee
 1.0
.......................   		X                
(23) RONALD L SARGENT........................................................................
Trustee
 1.0
.......................   		X                
(24) Joseph M Tucci........................................................................
Trustee
 1.0
.......................   		X                
(25) WILLIAM J CONLEY........................................................................
TRUSTEE
 1.0
.......................   		X                
(26) DAVID HOUSE........................................................................
TRUSTEE
 1.0
.......................   		X                
(27) JOHN PULICHINO........................................................................
TRUSTEE
 1.0
.......................   		X                
(28) ARTHUR ZAFIROPOULO........................................................................
TRUSTEE
 1.0
.......................   		X                
(29) PHILOMENA V MANTELLA........................................................................
SENIOR VP ENROLLMENT MGMT
 40.0
.......................   		    X       437,929 0 59,293
(30) SAMUEL B SOLOMON........................................................................
DIR. OF FINANCE & TREASURER
 40.0
.......................   		    X       185,118 0 45,994
(31) DIANE N MACGILLIVRAY........................................................................
SR VP OF UNIV. ADVANCEMENT
 40.0
.......................   		    X       420,517 0 93,056
(32) MICHAEL A ARMINI........................................................................
SENIOR VP - EXTERNAL AFFAIRS
 40.0
.......................   		    X       310,849 0 51,141
(33) STEPHEN W DIRECTOR........................................................................
PROVOST & SVP ACADEMIC AFFAIRS
 40.0
.......................   		    X       613,469 0 61,560
(34) RALPH C MARTIN II........................................................................
SR VP & GENERAL COUNSEL
 40.0
.......................   		    X       560,021 0 10,735
(35) THOMAS NEDELL........................................................................
VICE PRES & CFO
 40.0
.......................   		    X       402,148 0 53,832
(36) STEVE KADISH........................................................................
SR. VP & COO
 40.0
.......................   		    X       108,271 0 3,822
(37) NANCY MAY........................................................................
VP - FACILITIES
 40.0
.......................   		      X     202,232 0 33,225
(38) ALLEN SOYSTER........................................................................
INTERIM DEAN
 40.0
.......................   		      X     259,626 0 52,892
(39) JANE BROWN........................................................................
VP - ENROLLMENT MGMT
 40.0
.......................   		      X     278,736 0 48,419
(40) NADINE AUBRY........................................................................
DEAN - COLLEGE OF ENGINEERING
 40.0
.......................   		      X     222,746 0 19,622
(41) HUGH COURTNEY........................................................................
DEAN D'AMORE-MCKIM SCHL OF BUS
 40.0
.......................   		      X     179,642 0 26,701
(42) TERRY FULMER........................................................................
DEAN-BOUVE' COLL OF HEALTH SCI
 40.0
.......................   		      X     365,160 0 27,906
(43) JOHN H MCCARTHY........................................................................
SR ADVISOR TO THE PRESIDENT
 40.0
.......................   		        X   441,048 0 33,680
(44) MARC H MEYER........................................................................
PROFESSOR - ENTREPRENEURSHIP
 40.0
.......................   		        X   590,193 0 48,291
(45) ALEXANDROS MAKRIYANNIS........................................................................
PROFESSOR & BEHRAKIS CHAIR
 40.0
.......................   		        X   499,045 0 26,727
(46) Albert-Laszlo Barabasi........................................................................
Distinguished Professor
 40.0
.......................   		        X   485,486 0 50,923
(47) WILLIAM COEN........................................................................
HEAD COACH MEN'S BASKETBALL
 40.0
.......................   		        X   426,304 0 34,728
(48) ROBERT P GITTENS........................................................................
VP PUBLIC AFFAIRS
 40.0
.......................   		          X 206,200 0 43,653
(49) VINCENT J LEMBO........................................................................
VP AND SENIOR COUNSEL
 40.0
.......................   		          X 252,972 0 52,498
(50) JACK MOYNIHAN........................................................................
VP ALUMNI RELATIONS
 40.0
.......................   		          X 230,634 0 46,426
(51) KATHERINE N PENDERGAST........................................................................
VP HUMAN RESOURCES MANAGEMENT
 40.0
.......................   		          X 228,073 0 24,550
(52) DAVID LUZZI........................................................................
FORMER DEAN - ENGINEERING
 40.0
.......................   		          X 320,999 0 55,980
(53) HARRY LANE........................................................................
FORMER ACTING DEAN
 40.0
.......................   		          X 276,031 0 52,498
(54) GEORGES VAN DEN ABEELE........................................................................
FORMER DEAN - CSSH
 40.0
.......................   		          X 266,362 0 34,394
(55) STEPHEN ZOLOTH........................................................................
FORMER DEAN - BOUVE' COLLEGE
 40.0
.......................   		          X 304,582 0 53,238
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 10,120,299 0 1,331,174
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet827
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
SUFFOLK CONSTRUCTION CO INC, 65 ALLERTON STREETBOSTONMA02119 CONSTRUCTION 21,358,924
EMBANET, 225 SPARKS AVENUETORONTO, ON MSH 2S50CA ONLINE LEARNING SVCS 19,609,096
COMPASS GROUP, PO BOX 91337CHICAGOIL606931337 FOOD SERVICES 17,468,789
TURNER CONSTRUCTION COMPANY, 2 SEAPORT LANEBOSTONMA02210 CONSTRUCTION 10,727,629
CONSOLIDATED SERVICE CORP, 176 WILLIAMS STREETCHELSEAMA02150 CLEANING SERVICES 10,502,621
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet264
Form 990 (2012)
Form 990 (2012)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response to any question in this Part VIII ..............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512, 513, or 514
Contributions, Gifts, Grants and Other Similar Amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 166,615
d Related organizations...1d  
e Government grants (contributions)1e 75,768,007
f All other contributions, gifts, grants, and
similar amounts not included above1f 		60,222,385
g Noncash contributions included in lines
1a-1f:$ 		1,993,682
h Total. Add lines 1a-1f.......MediumBullet 136,157,007
Program Service Revenue Business Code
2a TUITION,RM BD,FEES 900099 1,006,831,440 1,006,831,440    
b PARKING 812930 6,965,789   3,321,159 3,644,630
c FOOD SERVICE 900099 2,339,399     2,339,399
d
e
f All other program service revenue .        
g Total. Add lines 2a–2f........MediumBullet 1,016,136,628
Other Revenue 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 10,986,291   -743,843 10,242,448
4 Income from investment of tax-exempt bond proceeds..MediumBullet 76     76
5 Royalties...........MediumBullet 0      
(i) Real (ii) Personal
6a Gross rents 7,153,675  
b Less: rental expenses 7,590  
c Rental income or (loss) 7,146,085 0
d Net rental income or (loss).......MediumBullet 7,146,085     7,146,085
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 154,636,956 15,264,295
b Less: cost or other basis and sales expenses 132,840,531 1,865,596
c Gain or (loss) 21,796,425 13,398,699
d Net gain or (loss)..........MediumBullet 35,195,124     35,195,124
8a Gross income from fundraising events (not including
$ 166,615
of contributions reported on line 1c). See Part IV, line 18 ..
a 72,629
b Less: direct expenses ...b 199,565
c Net income or (loss) from fundraising events..MediumBullet -126,936   -126,936
9a Gross income from gaming activities.
See Part IV, line 19 ...
a  
b Less: direct expenses ...b  
c Net income or (loss) from gaming activities...MediumBullet 0      
10a Gross sales of inventory, less
returns and allowances .
a  
b Less: cost of goods sold ..b  
c Net income or (loss) from sales of inventory..MediumBullet 0      
Miscellaneous Revenue Business Code
11a CONFERENCE CENTERS/ARENA 532000 5,136,628   5,136,628  
b ADVERTISING/SPORTS INCOME 900099 88,495   88,495  
c FEE FOR SERVICE INCOME 900099 859,873   859,873  
d All other revenue ....        
e Total. Add lines 11a–11d ...... MediumBullet 6,084,996
12 Total revenue. See Instructions......MediumBullet 1,211,579,271 1,006,831,440 8,662,312 58,440,826
Form 990 (2012)
Form 990 (2012)
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).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 15,657,204 15,657,204
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 229,079,707 229,079,707
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 58,743 58,743
4 Benefits paid to or for members 0  
5 Compensation of current officers, directors, trustees, and key employees .... 8,175,679 2,926,782 4,552,743 696,154
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 2,025,589 635,546 1,233,596 156,447
7 Other salaries and wages 384,854,239 356,101,626 20,114,908 8,637,705
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 21,283,017 19,709,876 1,099,788 473,353
9 Other employee benefits ....... 44,240,379 40,970,336 2,286,097 983,946
10 Payroll taxes ........... 22,385,631 20,730,990 1,156,765 497,876
11 Fees for services (non-employees):        
a Management ...... 612,815 612,815    
b Legal ......... 3,285,234 27,253 3,248,233 9,748
c Accounting ........... 453,376   453,376  
d Lobbying ........... 461,225 420,000 7,660 33,565
e Professional fundraising services. See Part IV, line 17 472,919 472,919
f Investment management fees ...... 1,271,880   1,271,880  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 12,888,758 12,880,050 8,708  
12 Advertising and promotion .... 8,769,898 5,177,555 3,579,413 12,930
13 Office expenses ....... 35,345,956 29,439,429 4,235,091 1,671,436
14 Information technology ...... 31,495,427 21,451,785 9,593,642 450,000
15 Royalties .. 145,453 145,453    
16 Occupancy ........... 50,199,794 48,259,194 1,795,976 144,624
17 Travel ............ 25,222,485 23,873,994 703,940 644,551
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0      
19 Conferences, conventions, and meetings .... 5,024,801 4,959,989 61,427 3,385
20 Interest ........... 30,233,000 28,782,317 1,048,130 402,553
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization ..... 53,965,529 47,622,343 4,583,002 1,760,184
23 Insurance .............. 1,650,598 855,978 794,620  
24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24e. If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule O.)
a CONSULTANTS 29,923,411 26,534,540 2,168,483 1,220,388
b EQUIPMENT 18,837,868 18,648,130 153,527 36,211
c MEAL PLAN AND FOOD COST 17,109,396 17,106,159 3,237  
d PUB, BOOKS, & SUBSCRIPTIONS 11,929,992 10,721,069 842,415 366,508
e All other expenses 37,453,919 27,661,312 9,336,637 455,970
25 Total functional expenses. Add lines 1 through 24e 1,104,513,922 1,011,050,175 74,333,294 19,130,453
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 (2012)
Form 990 (2012)
Page 11
Part X Balance Sheet Check if Schedule O contains a response to any question in this Part X ...............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash—non-interest-bearing ............. 0 1 0
2 Savings and temporary cash investments ......... 235,648,820 2 267,313,678
3 Pledges and grants receivable, net ........... 83,580,000 3 78,645,000
4 Accounts receivable, net ............. 44,803,725 4 44,768,771
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..................
1,880,000 5 1,840,000
6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary organizations (see instructions) Complete Part II of Schedule L
0 6 0
7 Notes and loans receivable, net ............. 33,249,000 7 32,998,000
8 Inventories for sale or use .............. 0 8 0
9 Prepaid expenses and deferred charges .......... 14,906,324 9 16,785,622
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 1,651,270,000
b Less: accumulated depreciation ..... 10b 592,019,000 1,012,974,210 10c 1,059,251,000
11 Investments—publicly traded securities .......... 290,293,000 11 341,141,000
12 Investments—other securities. See Part IV, line 11 ..... 367,173,000 12 370,101,000
13 Investments—program-related. See Part IV, line 11 ..... 0 13 0
14 Intangible assets ............... 0 14 0
15 Other assets. See Part IV, line 11 ........... 16,779,000 15 13,620,000
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 2,101,287,079 16 2,226,464,071
Liabilities 17 Accounts payable and accrued expenses ......... 135,706,111 17 141,089,832
18 Grants payable ................. 3,423,000 18 4,644,000
19 Deferred revenue ................ 60,702,000 19 65,366,000
20 Tax-exempt bond liabilities ............. 659,431,000 20 643,240,000
21 Escrow or custodial account liability. Complete Part IV of Schedule D.. 0 21 0
22 Loans and other payables to current and former officers, directors, trustees, key employees, highest compensated employees, and disqualified
persons. Complete Part II of Schedule L.......... 0 22 0
23 Secured mortgages and notes payable to unrelated third parties .. 74,095,000 23 73,080,000
24 Unsecured notes and loans payable to unrelated third parties .... 0 24 0
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.................... 130,201,000 25 103,971,000
26 Total liabilities. Add lines 17 through 25......... 1,063,558,111 26 1,031,390,832
Net Assets or Fund Balance Organizations that follow SFAS 117 (ASC 958), check here MediumBullet and complete lines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets .............. 699,384,968 27 825,275,239
28 Temporarily restricted net assets ........... 165,541,000 28 186,009,000
29 Permanently restricted net assets ........... 172,803,000 29 183,789,000
Organizations that do not follow SFAS 117 (ASC 958), 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 ........... 1,037,728,968 33 1,195,073,239
34 Total liabilities and net assets/fund balances ........ 2,101,287,079 34 2,226,464,071
Form 990 (2012)
Form 990 (2012)
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
1,211,579,271
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
1,104,513,922
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
107,065,349
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
1,037,728,968
5
Net unrealized gains (losses) on investments ...............
5
32,723,346
6
Donated services and use of facilities .................
6
 
7
Investment expenses .....................
7
 
8
Prior period adjustments .....................
8
 
9
Other changes in net assets or fund balances (explain in Schedule O) ........
9
17,555,576
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
1,195,073,239
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
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both:
b
Were the organization’s financial statements audited by an independent accountant?
2b
Yes
 
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis, or both:
c
If “Yes,” to line 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?
2c
Yes
 
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.
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 (2012)
Form 990, Special Condition Description:
Special Condition Description
Additional Data


Software ID:  
Software Version:  
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
2012
Open to Public
Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
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 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
Provide the following information about the supported organization(s).
(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 monetary support
Yes No Yes No Yes No
Total                  

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2012
Schedule A (Form 990 or 990-EZ) 2012
Page 2
Part II
Support Schedule for Organizations Described in Sections 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) right arrow (a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012 (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) right arrow (a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012 (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. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)..            
11 Total support (Add lines 7 through 10).            
12
12
 
13
First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization, check this box and stop here........................................right arrow
Section C. Computation of Public Support Percentage
14
14
 
15
15
 
16a
b
17a
b
18
Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions ..................................................... right arrow
Schedule A (Form 990 or 990-EZ) 2012
Schedule A (Form 990 or 990-EZ) 2012
Page 3
Part III
Support Schedule for Organizations Described in Section 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) right arrow (a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012 (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) right arrow (a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012 (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) 2012
Schedule A (Form 990 or 990-EZ) 2012
Page 4
Part IV
Supplemental Information. Complete this part to provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and 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) 2012

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
2012
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
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) (2012)

Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
Page 2
Name of organization
NORTHEASTERN UNIVERSITY
  		Employer identification number

04-1679980
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) (2012)

Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
Page 3
Name of organization
NORTHEASTERN UNIVERSITY
  		Employer identification number

04-1679980
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) (2012)

Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
Page 4
Name of organization
NORTHEASTERN UNIVERSITY
  		Employer identification number

04-1679980
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) (2012)

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
2012
Open to Public
Inspection
If the organization answered “Yes” to Form 990, Part IV, Line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then
Round Bullet Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.
Round Bullet Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.
Round Bullet Section 527 organizations: Complete Part I-A only.
If the organization answered “Yes” to Form 990, Part IV, Line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then
Round Bullet Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)): Complete Part II-A. Do not complete Part II-B.
Round Bullet Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part II-B. Do not complete Part II-A.
If the organization answered “Yes” to Form 990, Part IV, Line 5 (Proxy Tax) or Form 990-EZ, Part V, line 35c (Proxy Tax), then
Round Bullet Section 501(c)(4), (5), or (6) organizations: Complete Part III.
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
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 Paperwork Reduction Act Notice, see the instructions for Form 990 or 990-EZ.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2012

Schedule C (Form 990 or 990-EZ) 2012
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 SchCMd Bulletexpenses, and share of excess lobbying expenditures).
B Check SchCMd Bullet
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) 2009 (b) 2010 (c) 2011 (d) 2012 (e) Total
             
2a Lobbying nontaxable 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) 2012


Schedule C (Form 990 or 990-EZ) 2012
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)
No
Yes
(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? .........................
Yes
 
480
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
 
465,599
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
Yes
 
33,565
i
Other activities? ..........................
Yes
 
7,660
j
Total. Add lines 1c through 1i ...............................
507,304
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, line 5; Part II-A (affiliated group list); Part II-A, line 2; and Part ll-B, line 1. Also, complete this part for any additional information.
Identifier Return Reference Explanation
Schedule C, Part II-B, Line 1   The University retains legal counsel and other firms and employs staff who perform occasional lobbying activities. The University also pays membership dues to membership organizations which may engage in lobbying activities. Lobbying activities are focused on the interests of Northeastern University (including scientific research & student aid), its students and the higher education industry. During Fiscal Year 2013, payments for these services totaled $507,304.
Schedule C (Form 990 or 990EZ) 2012

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
2012
Open to Public Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
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 section 170(h)(4)(B)(ii)? .......................................
9
In Part XIII, 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 XIII, 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 Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 52283D
Schedule D (Form 990) 2012

Schedule D (Form 990) 2012
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s acquisition, 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 XIII.
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 XIII 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 XIII. Check here if the explanation has been provided in Part XIII ........
Part V
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
(a)Current year (b)Prior year b (c)Two years back (d)Three years back (e)Four years back
1a Beginning of year balance .... 618,924,000 611,478,000 532,487,000 507,346,000 676,987,000
b Contributions ........ 13,438,000 34,072,000 11,705,000 5,376,000 5,271,000
c Net investment earnings, gains, and losses 66,081,290 -280,000 93,060,000 30,370,000 -156,021,000
d Grants or scholarships ..... 21,862,000 22,502,000 23,780,000 7,808,000 17,982,000
e Other expenditures for facilities
and programs ........ 		3,426,000 2,353,000 601,000 1,767,000 909,000
f Administrative expenses .... 1,445,290 1,491,000 1,393,000 1,030,000  
g End of year balance ...... 671,710,000 618,924,000 611,478,000 532,487,000 507,346,000
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet61.980 %
b
Permanent endowment SchDMd Bullet35.860 %
c
Temporarily restricted endowment SchDMd Bullet2.160 %
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)
Yes
 
(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 XIII 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 ................. 0 26,206,000 26,206,000
b Buildings ................ 0 1,286,869,000 365,835,000 921,034,000
c Leasehold improvements ............        
d Equipment ................   338,195,000 226,184,000 112,011,000
e Other .................        
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 1,059,251,000
Schedule D (Form 990) 2012

Schedule D (Form 990) 2012
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) CASH AND CASH EQUIVALENTS 		20,598,000 F

(B) PRIVATE EQUITY 		125,763,000 F

(C) HEDGE FUNDS 		165,031,000 F

(D) OTHER ALTERNATIVE INVESTMENTS 		28,925,000 F

(E) OTHER INVESTMENTS 		29,784,000 F




Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 370,101,000
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 0
CAPITAL LEASE 30,125,000
INTEREST RATE SWAP AGREEMENTS 44,920,000
FEDERALLY FUNDED LOANS 28,926,000






Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 103,971,000
2. Fin 48 (ASC 740) Footnote. In Part XIII, 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 (ASC 740). Check here if the text of the footnote has been provided in Part XIII .....................................................
Schedule D (Form 990) 2012

Schedule D (Form 990) 2012
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return
1 Total revenue, gains, and other support per audited financial statements ....... 1  
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a  
b Donated services and use of facilities ......... 2b  
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIII.) ............ 2d  
e Add lines 2a through 2d ..................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b . 4a  
b Other (Describe in Part XIII.) ........... 4b  
c Add lines 4a and 4b....................... 4c  
5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ...... 5  
Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return
1 Total expenses and losses per audited financial statements ........... 1  
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:
a Donated services and use of facilities .......... 2a  
b Prior year adjustments .............. 2b  
c Other losses ................ 2c  
d Other (Describe in Part XIII.) ............ 2d  
e Add lines 2a through 2d...................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b .. 4a  
b Other (Describe in Part XIII.) ............ 4b  
c Add lines 4a and 4b....................... 4c  
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5  
Part XIII
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, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.
Identifier Return Reference Explanation
SCHEDULE D, PART V, LINE 4   SPENDING POLICY INCOME FROM QUASI ENDOWMENT FUNDS ARE TO BE USED AS DESIGNATED BY THE BOARD OF TRUSTEES FOR OPERATIONS. TERM ENDOWMENTS ARE TO BE USED AS PER THE DONOR WISHES UPON TERMINATION OF THE CONTRACT. SPENDING POLICY INCOME FROM TRUE ENDOWMENT FUNDS ARE TO BE USED AS SET FORTH BY THE DONOR. CURRENTLY THESE FUNDS PRIMARILY SUPPORT SCHOLARSHIPS AND PROFESSORSHIPS.
Schedule D (Form 990) 2012

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
2012
Open to Public Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
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) 2012
Schedule E (Form 990 or 990EZ) 2012
Page 2
Part II
Supplemental Information. Complete this part to provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable. Also complete this part to provide any other additional information (see instructions).
Identifier Return Reference Explanation
RACIALLY NONDISCRIMINATORY POLICY SCHEDULE E, LINE 3 THE UNIVERSITY PUBLISHES ITS RACIALLY NONDISCRIMINATORY POLICY IN THE LEGAL NOTICE SECTION OF LOCAL NEWSPAPERS AND IN ALL UNIVERSITY PUBLICATIONS AND ADVERTISEMENTS.
GOVERNMENTAL AID OR ASSISTANCE SCHEDULE E, LINE 6A THE UNIVERSITY RECEIVES FINANCIAL ASSISTANCE FOR ITS FINANCIAL AID PROGRAMS FROM VARIOUS PROGRAMS OF THE DEPARTMENT OF EDUCATION AND THE DEPARTMENT OF HEALTH AND HUMAN SERVICES.
Schedule E (Form 990 or 990-EZ) 2012
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
2012
Open to Public Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
Part I
General Information on Activities Outside the United States. Complete if the organization answered “Yes” to Form 990, Part IV, line 14b.
1
For grantmakers. Does the organization maintain records to substantiate the amount of the grants or
assistance, the grantees’ eligibility for the grants or assistance, and the selection criteria used to award
the grants or assistance? ...................................
2
For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of grant funds outside
the United States.
3
Activites per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees, agents, and independent contractors in region (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 and investments
in region
Central America and the Caribbean     Program Services CONFERENCE 2,968
Central America and the Caribbean     Program Services Research 3,312
Central America and the Caribbean     Program Services STUDY ABROAD 504,953
East Asia and the Pacific     Program Services Advancement 3,356
East Asia and the Pacific     Program Services Alumni Relations 4,366
East Asia and the Pacific     Program Services Conference 141,344
East Asia and the Pacific     Program Services Research 22,233
East Asia and the Pacific     Program Services RECRUITING 138,245
East Asia and the Pacific     Program Services Study Abroad 4,150,615
Europe (Including Iceland and Greenland)     Program Services Advancement 51,097
Europe (Including Iceland and Greenland)     Program Services Alumni Relations 45,113
Europe (Including Iceland and Greenland)     Program Services Conference 272,533
Europe (Including Iceland and Greenland)     Program Services Program Development 9,958
Europe (Including Iceland and Greenland)     Program Services Recruiting 92,163
Europe (Including Iceland and Greenland)     Program Services Research 107,168
Europe (Including Iceland and Greenland)     Program Services Study Abroad 7,669,755
Middle East and North Africa     Program Services Alumni Relations 15,516
Middle East and North Africa     Program Services Conference 27,702
Middle East and North Africa     Program Services Recruiting 35,454
Middle East and North Africa     Program Services Research 26,827
Middle East and North Africa     Program Services STUDY ABROAD 172,064
North America     Program Services Alumni Relations 223
North America     Program Services Conference 20,263
North America     Program Services Research 10,981
North America     Program Services Recruiting 11,543
North America     Program Services Study Abroad 226,126
North America     Program Services Team Travel 37,592
Russia and the Newly Independent States     Program Services Conference 9,838
South America     Program Services Conference 20,973
South America     Program Services Recruiting 35,355
South America     Program Services Study Abroad 221,552
South Asia     Program Services Alumni Relations 287
South Asia     Program Services Conference 24,484
South Asia     Program Services Co-op Job Development 190
South Asia     Program Services RESEARCH 2,864
South Asia     Program Services Recruiting 54,765
South Asia     Program Services Study Abroad 54,494
Sub-Saharan Africa     Program Services Conference 8,808
Sub-Saharan Africa     Program Services Study Abroad 673,320
Sub-Saharan Africa     Program Services Recruiting 1,183
Europe (Including Iceland and Greenland)     Investments   78,492,536
East Asia and the Pacific     Investments   766,317
Central America and the Caribbean     Investments   45,975,659
3a Sub-total .....     13,234,695
b Total from continuation sheets to Part I ...     126,911,400
c Totals (add lines 3a and 3b)     140,146,095
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2012
Schedule F (Form 990) 2012
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. Part II can be duplicated 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)
North America SUB-AWARD 9,424 Check      
Europe (Including Iceland and Greenland) SUB-AWARD 32,400 CHECK      
Europe (Including Iceland and Greenland) Sub-Award 16,919 Check      
             
             
             
             
             
             
             
             
             
             
             
             
             
2 Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter ....MediumBullet
1
3
Enter total number of other organizations or entities .......................MediumBullet
2
Schedule F (Form 990) 2012
Schedule F (Form 990) 2012Page 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.
Part III can be duplicated 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)
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2012
Schedule F (Form 990) 2012
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, Return by a U.S. Transferor of Property to a Foreign Corporation (see Instructions for Form 926)......................................
2 Did the organization have an interest in a foreign trust during the tax year? If “Yes,” the organizationmay be required to file Form 3520, Annual Return to Report Transactions with Foreign Trusts and Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust With a U.S. Owner (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) 2012
Schedule F (Form 990) 2012
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
SCHEDULE F, PART I, LINE 2   NORTHEASTERN UNIVERSITY (NU) HAS A FULL TIME EMPLOYEE TO MONITOR SUBAWARDS AND NU FOLLOWS FEDERAL REGULATIONS AS PART OF THE SUBRECIPIENT MONITORING UNDER A-133. NU REVIEWS THE FEDERAL AUDIT CLEARINGHOUSE AND INSTITUTION'S A-133 REPORTS. DESK REVIEWS ARE PERFORMED AND PRINCIPAL INVESTIGATORS APPROVE ALL INVOICES.
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
Schedule F (Form 990) 2012
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. Form 990-EZ filers are not required to complete this part. right arrowAttach to Form 990 or Form 990-EZ. right arrowSee separate instructions.
OMB No. 1545-0047
2012
Open to Public Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
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.
(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
Ruffalo Cody Phonathon Management   No 835,970 472,919 363,051
             
             
             
             
             
             
             
             
             
Total .................right arrow 835,970 472,919 363,051
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.
CT, FL, MD, MA, NY, WA
For Paperwork Reduction Act Notice, see the Instructions for Form 990or 990-EZ.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2012
Schedule G (Form 990 or 990-EZ) 2012
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 of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. List events with gross receipts greater than $5,000.
(a) Event #1

GOLF TOURNAMENT
(event type) 		(b) Event #2

50th anniv func
(event type) 		(c) Other events

1
(total number) 		(d) Total events
(add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 124,819 97,760 16,665 239,244
2 Less: Contributions . . 78,050 80,060 8,505 166,615
3 Gross income (line 1
minus line 2) . . . 		46,769 17,700 8,160 72,629
VerticalDirectExpenses 4 Cash prizes . . .        
5 Noncash prizes . . 18,770     18,770
6 Rent/facility costs . . 36,845     36,845
7 Food and beverages . 16,982 38,724 32,659 88,365
8 Entertainment . . .   750 1,600 2,350
9 Other direct expenses . 4,492 29,643 19,100 53,235
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 199,565
11 Net income summary. Combine line 3, column (d), and line 10. .......... right arrow -126,936
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:
 
Schedule G (Form 990 or 990-EZ) 2012
Schedule G (Form 990 or 990-EZ) 2012
Page 3
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? ..........................
13
Indicate the percentage of gaming activity operated in:
a
The organization's facility ......................
13a
 
b
An outside facility ........................
13b
 
14
Enter 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 of the third party:
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
Supplemental Information. Complete this part to provide the explanations required by Part I, line 2b, columns (iii) and (v), and Part III, lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also complete this part to provide any additional information (see instructions).
Identifier Return Reference Explanation
Schedule G (Form 990 or 990-EZ) 2012
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
2012
Open to Public
Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number
04-1679980
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. Part II can be duplicated if additional space is needed.
(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) Auburn University
126 Ingram Hall
Auburn,AL36849 		63-6000724 501c3 458,611       Sub-award
(2) Beth Israel Deaconess Medical Center
330 Brookline Avenue
Boston,MA02115 		04-1203881 501c3 607,630       Sub-award
(3) Boston University
25 Buick Street
Boston,MA02215 		04-2103547 501c3 585,279       Sub-award
(4) Brigham & Women's Hospital
75 Francis Street
Boston,MA02115 		04-2312909 501c3 86,082       Sub-award
(5) Children's Hospital Boston
300 Longwood Avenue
Boston,MA02115 		04-2774441 501c3 73,530       Sub-award
(6) Emory University
1599 Clifton road
Atlanta,GA30332 		58-0566256 501c3 152,305       Sub-award
(7) Georgia INSTITUTE OF TECHNOLOGY
505 10th Street NW
Atlanta,GA30332 		58-0603146 115 18,416       Sub-award
(8) Harvard University
1350 Massachusetts Ave
Cambridge,MA02138 		04-2103580 501c3 304,033       Sub-award
(9) Hyspeed Computing LLC
6830 SW 75Th Terrace
South Miami,FL33143 		21-3842314   13,822       Sub-award
(10) Indiana University
509 E 3rd Street
Bloomington,IN47401 		35-6001673 115 111,806       Sub-award
(11) Louisiana Tech University
1051 N First St
Baton Rouge,LA70804 		72-6000720 115 80,409       Sub-award
(12) Marine Biological Laboratory
7 MBL Street
Woods Hole,MA02543 		04-2104690 501c3 166,214       Sub-award
(13) Massachusetts General Hospital
55 Fruit Street
Boston,MA02114 		04-2697983 501c3 977,217       Sub-award
(14) McLean Hospital
115 Mill Street
Belmont,MA02478 		04-2697981 501c3 203,929       Sub-award
(15) Michigan State University
301 Admin Bldg
East Lansing,MI48824 		38-6005984 115 224,856       Sub-award
(16) Middlesex Community College
591 Springs Road
Bedford,MA01730 		04-6002284 115 29,352       Sub-award
(17) Morehouse College
830 Westview Drive
Atlanta,GA30314 		58-0566205 501c3 22,431       Sub-award
(18) Museum of Science
Science Park
Boston,MA02114 		04-2103916 501c3 94,947       Sub-award
(19) Nemucore Medical Innovations Inc
33 Kirkland Circle
Wellesley,MA02481 		26-1903758   125,066       Sub-award
(20) Nissan Technical Center NA
PO Box 9200
Farmington,MI48338 		99-2108010   344,744       Sub-award
(21) Northern Essex Community College
100 Elliott Street
Haverhill,MA01830 		04-6002284 115 12,695       Sub-award
(22) Northern Illinois University
201 Lowden Hall
Dekalb,IL60115 		36-6008480 115 82,873       Sub-award
(23) Public Health Advocacy Institute
102 the Fenway
Boston,MA02115 		04-2668916 501c3 306,479       Sub-award
(24) Purdue University
1065 Freehafer
West Lafayette,IN47907 		35-6002041 501c3 144,165       Sub-award
(25) Rensselaer Polytechnic Institute
110 8th Street
Troy,NY12180 		14-1340095 501c3 305,238       Sub-award
(26) Sandia National Laboratory
PO Box 840140
Dallas,TX75284 		85-0097942 US GOV'T 38,787       Sub-award
(27) Schepens Eye Research Institute
20 Staniford Street
Boston,MA02114 		04-2129889 501c3 54,854       Sub-award
(28) Spelman College
350 Spelman Lane SW
Atlanta,GA30314 		58-0566243 501c3 22,794       Sub-award
(29) Temple University
1853 N 10th Street
Philadelphia,PA19122 		23-1365971 501c3 12,026       Sub-award
(30) Texas Technical University
111 EAST 17TH STREET
AUSTIN,TX78711 		74-6000089 115 172,528       Sub-award
(31) Trilion Quality Systems
500 Davis Road
Plymouth Meeting,PA19462 		23-2980410   260,993       Sub-award
(32) Tufts University
169 Holland Street
Somerville,MA02144 		04-2103634 501c3 774,598       Sub-award
(33) Tuskegee University
Kresge Center
Tuskegee,AL36088 		63-0288878 501c3 85,670       Sub-award
(34) Umass Donahue Institute
70 Butterfield Terr
Amherst,MA01003 		04-3167352 501c3 56,214       Sub-award
(35) University of Connecticut
438 Whitney Street
Storrs,CT06269 		06-0772160 115 40,831       Sub-award
(36) University of Hawaii
2530 Dole Street
Honolulu,HI99164 		99-6000354 115 62,750       Sub-award
(37) University of Massachusetts Lowell
600 Suffolk Street
Lowell,MA01854 		04-3167352 115 955,175       Sub-award
(38) University of Michigan
3089 Wolverine Tower
Ann Arbor,MI48109 		38-6006309 115 582,923       Sub-award
(39) University of Minnesota
200 Oak Street
Minneapolis,MN55455 		41-6007513 115 52,095       Sub-award
(40) University of Missouri
118 University Hall
Columbia,MO65211 		43-6003859 115 66,250       Sub-award
(41) University of New Hampshire
51 College Road
Durham,NH03824 		02-6000937 115 498,988       Sub-award
(42) University of New Mexico
1700 Lomas NE
Albuquerque,NM87131 		85-6000642 115 226,755       Sub-award
(43) University of North Carolina
104 Airport Drive
Chapel Hill,NC27599 		56-6001393 115 18,695       Sub-award
(44) University of Notre Dame
415 Main bldg
Notre Dame,IN46556 		35-0868188 501C3 240,321       Sub-award
(45) University of Puerto Rico
1187 Flamboyan St
San Juan,PR00926 		66-0177776 115 1,038,112       Sub-award
(46) University of Tennessee
1st Floor State Capitol
Nashville,TN37243 		62-6001445 115 222,245       Sub-award
(47) University of Utah
2110 State Office
Salt Lake City,UT84114 		87-6000545 115 202,230       Sub-award
(48) University of Vermont
222 waterman Bldg
Burlington,VT05404 		03-0179440 115 66,537       Sub-award
(49) University of Washington
PO Box 43113
Olympia,WA98504 		91-6001089 115 60,080       Sub-award
(50) University of Wyoming
1000 E University Ave
Laramie,WY82071 		83-6000331 115 12,688       Sub-award
(51) Urban Institute
2100 M Street NW
Washington,DC20037 		52-0880375 501c3 36,661       Sub-award
(52) Virginia Polytechnic Institute
201 Burruss Hall
Blacksburg,PA24061 		54-0231393 115 6,801       Sub-award
(53) Washington State University
PO Box 64133
Pullman,WA99164 		91-6033434 115 150,624       Sub-award
(54) West Virginia University
One Waterfront Place
Morgantown,WV26506 		55-0665758 115 27,518       Sub-award
(55) Girls Inc of Lynn
50 High Street
Lynn,MA01902 		04-2104250 501c3 6,606       Sub-award
(56) BAE SYSTEMS
85 SPIT BROOK ROAD
NASHUA,NH03060 		52-2268742   387,898       SUB-AWARD
(57) CORNELL UNIVERSITY
617 DAY HALL
ITHACA,NY14853 		15-0532082 501C3 48,776       SUB-AWARD
(58) EARTH SCIENCE SYSTEMS LLC
11485 FRONTAGE RD
N WHEAT RIDGE,CO80033 		84-1438876   34,949       SUB-AWARD
(59) EINHORN ENGINEERING PLLC
6202 36TH AVE NE
SEATTLE,WA98115 		26-2737851   117,295       SUB-AWARD
(60) GEORGETOWN UNIVERSITY
37TH O STREET NW
WASHINGTON,DC20057 		53-0196603 115 32,285       SUB-AWARD
(61) INTERDISCIPLINARY SCIENTIFIC RESEARCH
PO BOX 15110
SEATTLE,WA98115 		75-3050164   129,225       SUB-AWARD
(62) MASSACHUSETTS INSTITUTE OF TECHNOLOGY
77 MASSACHUSETTS AVENUE
CAMBRIDGE,MA02139 		04-2103594 501C3 153,195       SUB-AWARD
(63) MASSBAY COMMUNITY COLLEGE
50 OAKLAND STREET
WELLESLEY,MA02481 		22-2581930 115 15,929       SUB-AWARD
(64) RECONNECTING AMERICA
1707 L ST NW STE 210
WASHINGTON,DC20036 		52-2020542 501C3 55,000       SUB-AWARD
(65) SEABED TECHNOLOGIES
66 ELM STREET
FALMOUTH,MA02536 		27-2334855   49,150       SUB-AWARD
(66) TEXAS A&M UNIVERSITY
UNIVERSITY DRIVE
COLLEGE STATION,TX77843 		74-1238434 115 85,270       SUB-AWARD
(67) UNIVERSITY OF CALIFORNIA
1111 FRANKLIN STREET
OAKLAND,CA94607 		94-6002123 115 107,817       SUB-AWARD
(68) UNIVERSITY OF COLORADO
633 17TH STREET
DENVER,CO80202 		84-0644739 115 79,048       SUB-AWARD
(69) UNIVERSITY OF ROCHESTER
1325 MT HOPE AVENUE
ROCHESTER,NY14620 		16-0743209 501C3 196,186       SUB-AWARD
(70) ABT SRBI Inc
275 Seventh Avenue
New York,NY10001 		13-3077900   213,958       SUB-AWARD
(71) Arnold Magnetic Technologies Corp
770 Linden Avenue
Rochester,NY14625 		20-2368759   31,384       SUB-AWARD
(72) Boston Medical Center
1 Boston Medical Place
Boston,MA02118 		04-3314093 501(C)(3) 33,770       SUB-AWARD
(73) Brown University
164 Angell Street
Providence,RI02912 		05-0258809 501(C)(3) 12,871       SUB-AWARD
(74) Columbia University
615 West 131st Street
New York,NY10027 		13-5598093 501(C)(3) 237,483       SUB-AWARD
(75) Dana Farber Cancer Institute
44 Binney Street
Boston,MA02115 		04-2263040 501(C)(3) 21,131       SUB-AWARD
(76) DB Consulting
8403 Colesville Rd
Silver Spring,MD20910 		52-2274227   46,365       SUB-AWARD
(77) EMITECH Inc
150 Harvard Street
Fall River,MA02720 		04-3613618   90,000       SUB-AWARD
(78) Florida State University
200 East Gaines St
Tallahassee,FL32399 		59-1961248 115 12,313       SUB-AWARD
(79) General Motors Corporation
300 Renaissance Center
Detroit,MI48265 		27-0283222   137,964       SUB-AWARD
(80) Health Research Inc
PO Box 2966
Buffalo,NY14240 		14-1402155   17,092       SUB-AWARD
(81) HXI Inc
12 Lancaster County Road
Harvard,MA01452 		26-3240462   79,605       SUB-AWARD
(82) Johns Hopkins University
3910 Keswick Road
Baltimore,MD21211 		52-0595110 501(C)(3) 93,223       SUB-AWARD
(83) Los Alamos National Laboratory
1112 Plaza Del Norte
Espanola,NM87532 		74-2853972 US GOVT 14,512       SUB-AWARD
(84) Nemours Children's Clinic
10140 Centurn Pkwy
Jacksonville,FL32256 		59-0634433 501(C)(3) 13,692       SUB-AWARD
(85) Pacific Biosciences of California
1505 Adams Drive
Menlo Park,CA94025 		16-1590339   12,621       SUB-AWARD
(86) Pennsylvania State University
408 Old Main St
University Park,PA16802 		24-6000376 115 70,592       SUB-AWARD
(87) Research Foundation for Mental Hygiene
150 Broadway
Menands,NY12204 		14-1410842 501(C)(3) 5,657       SUB-AWARD
(88) Research Foundation of Buffalo
402 Crofts Hall
Buffalo,NY14260 		14-1368361 501(C)(3) 108,839       SUB-AWARD
(89) Simpson Gumpertz & Heger Inc
41 Seyon St Building 1
Waltham,MA02453 		04-2256923   5,421       SUB-AWARD
(90) Spaulding Rehabilitation Hospital
125 Nashua Street
Boston,MA02114 		04-2551124 501(C)(3) 50,000       SUB-AWARD
(91) Square One Systems Design Inc
3500 South Park Dr
Jackson,WY83001 		13-4291472   90,183       SUB-AWARD
(92) State University of New York
230 West 41ST St
Albany,NY10036 		13-1988190 115 30,757       SUB-AWARD
(93) Tufts Medical Center
169 Holland St
Somerville,MA02144 		04-2103634 115 31,440       SUB-AWARD
(94) University of Florida Research Foundation
PO Box 115500
Tallahassee,FL32611 		59-2729133 501(C)(3) 29,620       SUB-AWARD
(95) University of Massachusetts
70 Butterfield Terr
Amherst,MA01003 		04-3167352 115 169,514       SUB-AWARD
(96) University of Mississippi Medical C
2500 North State Street
Jackson,MS39216 		64-6008520 115 11,912       SUB-AWARD
(97) University of Nebraska
3835 Holdrege Street
Lincoln,NE68583 		47-0049123 115 133,898       SUB-AWARD
(98) University Of Rhode Island
70 Lower College Road
Kingston,RI02881 		22-3011455 115 13,885       SUB-AWARD
(99) University of Southern California
2500 South Figueroa St
LA,CA90089 		95-1642394 115 84,708       SUB-AWARD
(100) University of Texas Austin
111 East 17th Street
Austin,TX78774 		74-6000089 115 29,283       SUB-AWARD
(101) University of Wisconsin
600 Highland Avenue
Madison,WI53792 		39-1835630 115 28,458       SUB-AWARD
(102) Western Michigan University
3081 Seibert Admin Bldg
Kalamazoo,MI49008 		38-6007327 115 23,191       SUB-AWARD
(103) A Better City
33 Broad Street
Boston,MA02109 		04-3036987 501(C)(6) 85,000       Sub-Award
(104) Conservation Law Foundation
62 Summer Street
Boston,MA02110 		04-6149986 501(C)(3) 70,000       Sub-Award
(105) Ledge Light Tech
88 Howard Street
New London,CT06320 		54-2071158   181,310       Sub-Award
2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image
91
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
23
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2012

Schedule I (Form 990) 2012
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.
Part III can be duplicated if additional space is needed.
(a)Type of grant or assistance (b)Number of
recipients		 (c)Amount of
cash grant		 (d)Amount of
non-cash assistance		 (e)Method of valuation (book,
FMV, appraisal, other)		 (f)Description of non-cash assistance
(1) STUDENT FINANCIAL AID 15812   229,079,707 COST TUITION OFFSET












Part IV
Supplemental Information.
Complete this part to provide the information required in Part I, line 2, Part III, column (b), and any other additional information.
Identifier Return Reference Explanation
SCHEDULE I, PART I, LINE 2   GRANT FUNDING IS AWARDED TO STUDENTS BY STUDENT FINANCIAL SERVICES WITHIN ESTABLISHED BUDGET LEVELS BASED ON UNIVERSITY POLICIES. GRANT FUNDS ARE CREDITED TO INDIVIDUAL STUDENT ACCOUNTS ELECTRONICALLY. STUDENT FINANCIAL SERVICES WORKS WITH ADVANCEMENT STAFF TO ENSURE THAT RESTRICTED FUNDS ARE AWARDED WITHIN ESTABLISHED CRITERIA, AND WITH FINANCE STAFF TO DETERMINE AVAILABILITY OF FUNDS. STUDENT FINANCIAL SERVICES MAINTAINS INTERNAL POLICIES AND PROCEDURES FOR THE CORRECT AWARDING AND ADJUSTING OF INSTITUTIONAL FUNDS. ANNUAL AUDITS ARE CONDUCTED TO ASSURE COMPLIANCE WITH ALL POLICIES AND PROCEDURES. NORTHEASTERN UNIVERSITY (NU) HAS A FULL TIME EMPLOYEE TO MONITOR SUBAWARDS. - NU FOLLOWS FEDERAL REGULATIONS AS PART OF THE SUBRECIPIENT MONITORING UNDER A-133. - NU REVIEWS THE FEDERAL AUDIT CLEARINGHOUSE AND INSTITUTION'S A-133 REPORTS. - DESK REVIEWS ARE PERFORMED, AND PRINCIPAL INVESTIGATOR'S APPROVE ALL INVOICES.
Schedule I (Form 990) 2012


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
2012
Open to Public Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
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 of 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 filing organization used 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
Yes
 
9
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
Yes
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2012

Schedule J (Form 990) 2012
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 (E) amounts for that individual.
(A) Name and Title (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)JOSEPH E AOUNPRESIDENT/TRUSTEE (i)
(ii)		 700,364
0 		85,000
  		260,542
  		60,445
0 		124,945
0 		1,231,296
0 		-168,930
0
(2)JOHN H MCCARTHYSR ADVISOR TO THE PRESIDENT (i)
(ii)		 364,725
0 		55,000
  		21,323
  		25,000
0 		8,680
0 		474,728
0 		0
0
(3)PHILOMENA V MANTELLASENIOR VP ENROLLMENT MGMT (i)
(ii)		 370,457
0 		36,400
  		31,072
  		56,250
0 		3,043
0 		497,222
0 		0
0
(4)SAMUEL B SOLOMONDIR. OF FINANCE & TREASURER (i)
(ii)		 176,701
0 		7,500
  		917
  		19,400
0 		26,594
0 		231,112
0 		0
0
(5)DIANE N MACGILLIVRAYSR VP OF UNIV. ADVANCEMENT (i)
(ii)		 366,743
0 		36,774
  		17,000
  		66,667
0 		26,389
0 		513,573
0 		0
0
(6)MICHAEL A ARMINISENIOR VP - EXTERNAL AFFAIRS (i)
(ii)		 275,877
0 		27,851
  		7,121
  		25,000
0 		26,141
0 		361,990
0 		0
0
(7)STEPHEN W DIRECTORPROVOST & SVP ACADEMIC AFFAIRS (i)
(ii)		 475,982
0 		57,000
  		80,487
  		25,000
0 		36,560
0 		675,029
0 		0
0
(8)RALPH C MARTIN IISR VP & GENERAL COUNSEL (i)
(ii)		 457,457
0 		45,000
  		57,564
  		0
0 		10,735
0 		570,756
0 		0
0
(9)THOMAS NEDELLVICE PRES & CFO (i)
(ii)		 364,525
0 		21,912
  		15,711
  		25,000
0 		28,832
0 		455,980
0 		0
0
(10)NANCY MAYVP - FACILITIES (i)
(ii)		 189,429
0 		11,000
  		1,803
  		20,600
0 		12,625
0 		235,457
0 		0
0
(11)DAVID LUZZIFORMER DEAN - ENGINEERING (i)
(ii)		 312,199
0 		 
  		8,800
  		25,000
0 		30,980
0 		376,979
0 		0
0
(12)MARC H MEYERPROFESSOR - ENTREPRENEURSHIP (i)
(ii)		 245,623
0 		 
  		344,570
  		25,000
0 		23,291
0 		638,484
0 		0
0
(13)ALEXANDROS MAKRIYANNISPROFESSOR & BEHRAKIS CHAIR (i)
(ii)		 335,362
0 		 
  		163,683
  		25,000
0 		1,727
0 		525,772
0 		0
0
(14)Albert-Laszlo BarabasiDistinguished Professor (i)
(ii)		 295,649
0 		 
  		189,837
  		25,000
0 		25,923
0 		536,409
0 		0
0
(15)HARRY LANEFORMER ACTING DEAN (i)
(ii)		 240,117
0 		 
  		35,914
  		25,000
0 		27,498
0 		328,529
0 		0
0
(16)ALLEN SOYSTERINTERIM DEAN (i)
(ii)		 254,538
0 		 
  		5,088
  		25,000
0 		27,892
0 		312,518
0 		0
0
(17)GEORGES VAN DEN ABEELEFORMER DEAN - CSSH (i)
(ii)		 262,545
0 		 
  		3,817
  		25,000
0 		9,394
0 		300,756
0 		0
0
(18)JANE BROWNVP - ENROLLMENT MGMT (i)
(ii)		 267,002
0 		5,000
  		6,734
  		25,000
0 		23,419
0 		327,155
0 		0
0
(19)WILLIAM COENHEAD COACH MEN'S BASKETBALL (i)
(ii)		 408,834
0 		 
  		17,470
  		25,000
0 		9,728
0 		461,032
0 		0
0
(20)STEPHEN ZOLOTHFORMER DEAN - BOUVE' COLLEGE (i)
(ii)		 294,821
0 		 
  		9,761
  		25,000
0 		28,238
0 		357,820
0 		0
0
(21)NADINE AUBRYDEAN - COLLEGE OF ENGINEERING (i)
(ii)		 122,435
0 		 
  		100,311
  		10,938
0 		8,684
0 		242,368
0 		0
0
(22)HUGH COURTNEYDEAN D'AMORE-MCKIM SCHL OF BUS (i)
(ii)		 164,304
0 		 
  		15,338
  		12,750
0 		13,951
0 		206,343
0 		0
0
(23)TERRY FULMERDEAN-BOUVE' COLL OF HEALTH SCI (i)
(ii)		 332,088
0 		 
  		33,072
  		25,000
0 		2,906
0 		393,066
0 		0
0
(24)ROBERT P GITTENSVP PUBLIC AFFAIRS (i)
(ii)		 203,293
0 		 
  		2,907
  		21,077
0 		22,576
0 		249,853
0 		0
0
(25)VINCENT J LEMBOVP AND SENIOR COUNSEL (i)
(ii)		 248,700
0 		 
  		4,272
  		25,000
0 		27,498
0 		305,470
0 		0
0
(26)JACK MOYNIHANVP ALUMNI RELATIONS (i)
(ii)		 225,900
0 		4,000
  		734
  		23,738
0 		22,688
0 		277,060
0 		 
0
(27)KATHERINE N PENDERGASTVP HUMAN RESOURCES MANAGEMENT (i)
(ii)		 213,574
0 		11,000
  		3,499
  		22,625
0 		1,925
0 		252,623
0 		0
0
Schedule J (Form 990) 2012

Schedule J (Form 990) 2012
Page 3
Part III
Supplemental Information
Complete this part to provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II.
Also complete this part for any additional information.
Identifier Return Reference Explanation
SCHEDULE J, PART I, LINE 1   THE UNIVERSITY WILL APPROVE BUSINESS CLASS AIR TRAVEL (OR FIRST CLASS IF BUSINESS CLASS IS NOT AVAILABLE) FOR THE PRESIDENT AS APPROPRIATE. TRAVEL FOR BUSINESS PURPOSES IS NOT INCLUDED IN TAXABLE WAGES. THE PRESIDENT HAS AUTHORITY TO APPROVE BUSINESS OR FIRST CLASS TRAVEL IF NECESSARY IN CERTAIN CIRCUMSTANCES FOR INDIVIDUALS LISTED IN SCHEDULE J, PART II. THE PRESIDENT'S SPOUSE TRAVELS ON OCCASION WITH THE PRESIDENT WHEN NECESSARY FOR BUSINESS PURPOSES AND UPON APPROVAL OF THE CHAIRMAN OF THE BOARD. TRAVEL FOR BUSINESS PURPOSES IS NOT INCLUDED IN TAXABLE WAGES. HOUSING IS PROVIDED FOR THE PRESIDENT AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE EMPLOYER AND IS NOT INCLUDED IN TAXABLE WAGES. A HOUSING ALLOWANCE IS PROVIDED TO THE PROVOST AND IS INCLUDED IN TAXABLE WAGES. HOUSING ALLOWANCES ARE PROVIDED TO DEAN COURTNEY AND DEAN FULMER AND ARE INCLUDED IN TAXABLE WAGES. SOCIAL CLUB DUES ARE PROVIDED FOR THE PRESIDENT UPON APPROVAL OF THE COMPENSATION COMMITTEE OF THE BOARD. USE OF THE SOCIAL CLUB IS FOR BUSINESS PURPOSES ONLY AND DUES ARE NOT INCLUDED IN TAXABLE WAGES.
SCHEDULE J, PART I, LINE 4B   CERTAIN INDIVIDUALS PARTICIPATED IN LONG TERM INCENTIVE PLANS UNDER WHICH A DEFERRED PAYMENT IS AWARDED CONTINGENT ON CONTINUED EMPLOYMENT FOR THREE YEARS AND/OR ACHIEVEMENT OF CERTAIN CRITICAL UNIVERSITY GOALS. INDIVIDUALS WHO RECEIVED PAYMENTS UNDER LONG TERM INCENTIVE PLANS ARE LISTED BELOW. A PORTION OF EACH PAYMENT REFLECTED BELOW WAS REPORTED ON PRIOR YEARS' FORMS 990, SCHEDULE J, PART II COLUMN C AS DEFERRED COMPENSATION. JOSEPH E AOUN $201,180
Schedule J, Part I, Line 7 Payments which are part of a Variable pay plan are included in the SECTION ON BONUS AND INCENTIVE COMPENSATION. THIS PLAN IS BASED ON ACHIEVEMENT OF PRE-ESTABLISHED GOALS. IT IS APPROVED BY THE BOARD OF TRUSTEES FOR THE PRESIDENT AND OTHER OFFICERS. OTHER EMPLOYEES HAVE RECEIVED BONUSES WHICH ARE AWARDED TO A LIMITED NUMBER OF EMPLOYEES FOR EXCEPTIONAL CONTRIBUTIONS.
Schedule J, Part I, Line 8   THE PROVOST HAS A LONG TERM CONTRACT.
Schedule J, Part II   STEVEN ZOLOTH, FORMER DEAN - BOUVE' COLLEGE, IS CURRENTLY SERVING AS DEAN OF ACADEMIC AFFAIRS FOR EXTERNAL PROGRAMS AND VICE PROVOST FOR HEALTH RESEARCH. DAVID LUZZI, FORMER DEAN - ENGINEERING, IS CURRENTLY SERVING AS PROFESSOR AND EXECUTIVE DIRECTOR, STRATEGIC SECURITY INITIATIVE MECHANICAL AND INDUSTRIAL ENGINEERING. AS OF 7/1/2009, THE BY-LAWS OF NORTHEASTERN UNIVERSITY WERE AMENDED SUCH THAT THE VICE PRESIDENTS ARE NO LONGER CONSIDERED OFFICERS OF THE UNIVERSITY. THEREFORE, THEY ARE DISCLOSED, AS APPLICABLE, AS FORMER OFFICERS.
Schedule J (Form 990) 2012

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
2012
Open to Public
Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number
04-1679980
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 MHEFA SERIES R
  		04-2456011 57586C2Z7 05-22-2008 92,267,988 REFUND SERIES N BONDS   X   X   X
B MHEFA SERIES T
  		04-2456011 57586CZ57 05-22-2008 210,795,125 REFUND SERIES P BONDS   X   X   X
C MHEFA SERIES Y
  		04-2456011 57586EFE6 02-05-2009 64,431,595 NEW PROJECT/REFUND SERIES F,H,K,   X   X   X
D MHEFA SERIES 2010A
  		04-2456011 57584ETH4 03-18-2010 266,921,019 REFUND SERIES I,Q,U,W   X   X   X
MDFA SERIES 2012
  		01-2456011 57583USRO 09-13-2012 58,405,024 REFUND SERIES S   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 9,320,256 742,335 14,965,827 26,284,136
2 Amount of bonds legally defeased . . . . . . . . . . . 0 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 92,267,998 225,893,991 66,093,741 266,921,019
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 8,470,410 1,517,334 0
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 0 0
7 Issuance costs from proceeds . . . . . . . . . . . . 396,997 1,078,308 536,194 1,281,074
8 Credit enhancement from proceeds . . . . . . . . . . . 0 0 0 0
9 Working capital expenditures from proceeds . . . . . . . . . 3,771,000 0 0 34,652,829
10 Capital expenditures from proceeds . . . . . . . . . . . 0 0 38,000,000 0
11 Other spent proceeds . . . . . . . . . . . . . . 88,110,000 209,716,817 25,895,401 230,987,116
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2010 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    
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X   X   X      
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2012
Schedule K (Form 990) 2012
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      
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      
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . .   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? .                
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0% 0% 0% 0%
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0%   % 0%   %
6 Total of lines 4 and 5 . . . . . . . . . . . . . . . 0% 0% 0%   %
7 Does the bond issue meet the private security or payment test? . . . . .   X   X   X    
8a Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?. . . . . . . . . . . . . . . . .   X   X   X    
b If “Yes” to line 8a, enter the percentage of bond-financed property sold or disposed of.   %   %   %   %
c If “Yes” to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . .   X   X   X    
9 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      
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has the issuer filed Form 8038-T? . . . . .   X   X   X   X
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . .   X   X X   X  
b Exception to rebate? . . . . . . . . X   X   X   X  
c No rebate due? . . . . . . . . . .
X   X   X   X  
If you checked "No rebate due" in line 2c, provide in Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . .   X X     X   X
4a 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 . . . . . . . . . 0
  		0
  		0
  		 
 
c Term of hedge . . . . . . . . . .        
d Was the hedge superintegrated? . . . . . .   X   X   X   X
e Was a hedge terminated? . . . . . . .   X   X   X   X
Schedule K (Form 990) 2012
Schedule K (Form 990) 2012
Page 3
Part IV
Arbitrage (Continued)
A B C D
Yes No Yes No Yes No Yes No
5a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . . . . .   X   X   X   X
b Name of provider . . . . . . . . . 0
  		0
  		0
  		0
 
c Term of GIC . . . . . . . . . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . .                
6 Were any gross proceeds invested beyond an available temporary period? . . . . . . . .   X   X   X   X
7 Has the organization established written procedures to monitor the requirements of section 148? . . . X   X   X   X  
Part V
Procedures To Undertake Corrective Action
A B C D
Yes No Yes No Yes No Yes No
1 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? X   X   X   X  
Part VI
Supplemental Information. Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
SCHEDULE K, PART VI 0 PART I, LINE C, COLUMN (E) IN APRIL 2012, SERIES T-2 BONDS FOR $70,000,000 WERE CONVERTED TO FULLY REGISTERED FIXED RATE BONDS IN THE AGGREGATE PRINCIPAL AMOUNT OF $66,315,000 WITH A FINAL MATURITY DATE IN OCTOBER 2037. THE BALANCE OF THE INITIAL AGGREGATE PRINCIPAL AMOUNT OF THE SERIES T-2 BONDS IN THE AMOUNT OF $3,685,000 WAS CANCELLED IN APRIL 2012. BOND ISSUANCE COSTS OF $395,335 ARE RECORDED IN PREPAID EXPENSES AND OTHER ASSETS AND WILL BE AMORTIZED OVER THE LIFE OF THE RESPECTIVE BONDS. THE SERIES T-2 BONDS WERE REMARKETED WITH A PREMIUM TOTALING $4,080,335 WHICH IS RECORDED IN LONG-TERM DEBT. THE PREMIUM WILL BE AMORTIZED USING THE EFFECTIVE INTEREST METHOD OVER THE LIFE OF THE RESPECTIVE BONDS. IN FEBRUARY 2012, SERIES T-1 BONDS FOR $70,000,000 WERE CONVERTED TO FULLY REGISTERED FIXED RATE BONDS IN THE AGGREGATE PRINCIPAL AMOUNT OF $63,260,000 WITH A FINAL MATURITY DATE IN OCTOBER 2037. THE BALANCE OF THE INITIAL AGGREGATE PRINCIPAL AMOUNT OF THE SERIES T-1 BONDS IN THE AMOUNT OF $6,740,000 WAS CANCELLED IN FEBRUARY 2012. BOND ISSUANCE COSTS OF $399,790 ARE RECORDED IN PREPAID EXPENSES AND OTHER ASSETS AND WILL BE AMORTIZED OVER THE LIFE OF THE RESPECTIVE BONDS. THE SERIES T-1 BONDS WERE REMARKETED WITH A PREMIUM TOTALING $7,139,790 WHICH IS RECORDED IN LONG-TERM DEBT. THE PREMIUM WILL BE AMORTIZED USING THE EFFECTIVE INTEREST METHOD OVER THE LIFE OF THE RESPECTIVE BONDS. PART I, LINE A, COLUMN (F) MHEFA SERIES R REFUNDED SERIES N BONDS WHICH WERE ISSUED JANUARY 23, 2003. PART I, LINE B, COLUMN (F) MHEFA SERIES T REFUNDED SERIES P BONDS WHICH WERE ISSUED JULY 18, 2007. PART I, LINE C, COLUMN (F) MHEFA SERIES Y (I) FINANCED THE CONSTRUCTION OF A DORMITORY, RENOVATIONS TO VARIOUS ACADEMIC AND ATHLETIC FACILITIES, AND MISCELLANEOUS FURNITURE AND EQUIPMENT ACQUISITIONS, AND (II) REFUNDED SERIES F, H, AND K BONDS WHICH WERE ISSUED JULY 6, 1999, JULY 9, 1998, AND JULY 11, 2000, RESPECTIVELY.
PART I, LINE D, COLUMN (F) 0 MHEFA SERIES 2010(A) REFUNDED SERIES I, Q, U, AND W. * SERIES I BONDS WERE ISSUED MAY 26, 1999 TO FINANCE VARIOUS CAPITAL PROJECTS. * SERIES Q BONDS WERE ISSUED MAY 28, 2008 FOR THE PURPOSE OF REFUNDING THE SERIES L BONDS WHICH WERE ISSUED JANUARY 25, 2001 TO FINANCE VARIOUS CAPITAL PROJECTS. * SERIES U BONDS WERE ISSUED JULY 31, 2008 FOR THE PURPOSE OF REFUNDING THE SERIES M BONDS WHICH WERE ISSUED JULY 3, 2002. SERIES M BONDS WERE ISSUED FOR THE PURPOSE OF REFUNDING THE SERIES E BONDS WHICH WERE ISSUED APRIL 1992. * SERIES W BONDS WERE ISSUED DECEMBER 17, 2008 FOR THE PURPOSE OF REFUNDING THE SERIES G BONDS WHICH WERE ISSUED APRIL 1998 TO FINANCE VARIOUS CAPITAL PROJECTS. PART I, LINE A, COLUMN (F) MHEFA SERIES 2012 REFUNDED SERIES S BONDS WHICH WERE ISSUED MAY 22, 2008. PART II, LINE 3 - TOTAL PROCEEDS OF ISSUE MHEFA SERIES T - PROCEEDS REPORTED ON LINE 3 INCLUDES $8,470,410 OF CAPITALIZED INTEREST AND $6,628,457 OF INVESTMENT EARNINGS. ACTUAL PROCEEDS OF ISSUE IS $210,000,000. MHEFA SERIES Y - PROCEEDS REPORTED ON LINE 3 INCLUDES $1,517,334 OF CAPITALIZED INTEREST AND $144,812 OF INVESTMENT EARNINGS. ACTUAL PROCEEDS OF ISSUE IS $64,431,595. PART II, LINE 9 - WORKING CAPITAL WORKING CAPITAL CONSISTS OF BOND PROCEEDS USED TO FINANCE TERMINATION PAYMENTS DUE TO SWAP COUNTERPARTIES. PART IV, LINE 2C, COLUMN (A) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES R - JULY 26, 2013 PART IV, LINE 2C, COLUMN (B) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES T - JULY 26, 2013 PART IV, LINE 2C, COLUMN (C) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES Y - JULY 18, 2013 PART IV, LINE 2C, COLUMN (D) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES 2010A - JULY 18, 2013 PART IV, LINE 2C, COLUMN (A) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES 2012 - APRIL 15, 2013 PART IV, LINE 3 - HEDGE THE UNIVERSITY HAS ENTERED INTO AN INTEREST RATE SWAP AGREEMENT WITH AIG FOR BOND ISSUE MHEFA SERIES T TO MANAGE THE INTEREST COST AND VARIABLE RATE RISK ASSOCIATED WITH ITS OUTSTANDING DEBT. THE INTEREST RATE SWAP AGREEMENT WAS NOT IDENTIFIED ON THE BOOKS AND RECORDS OF THE ISSUER OR THE INSTITUTION AND WERE NOT IDENTIFIED TO BE TREATED AS A "QUALIFYING HEDGE" WITH RESPECT TO THE SERIES T BONDS. THE INTEREST RATE SWAP AGREEMENT WAS NOT ENTERED INTO FOR TRADING OR SPECULATIVE PURPOSES. UNDER THE TERMS OF THE AGREEMENT, THE UNIVERSITY PAYS A FIXED RATE, DETERMINED AT INCEPTION, TO A THIRD PARTY WHO IN TURN PAYS THE UNIVERSITY A VARIABLE RATE ON THESE RESPECTIVE NOTIONAL PRINCIPAL AMOUNTS. THERE IS NO COLLATERAL POSTING REQUIREMENT FOR THE UNIVERSITY RELATED to the swap with aig.
Schedule K (Form 990) 2012

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
2012
Open to Public
Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number
04-1679980
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 MHEFA SERIES R
  		04-2456011 57586C2Z7 05-22-2008 92,267,988 REFUND SERIES N BONDS   X   X   X
B MHEFA SERIES T
  		04-2456011 57586CZ57 05-22-2008 210,795,125 REFUND SERIES P BONDS   X   X   X
C MHEFA SERIES Y
  		04-2456011 57586EFE6 02-05-2009 64,431,595 NEW PROJECT/REFUND SERIES F,H,K,   X   X   X
D MHEFA SERIES 2010A
  		04-2456011 57584ETH4 03-18-2010 266,921,019 REFUND SERIES I,Q,U,W   X   X   X
MDFA SERIES 2012
  		01-2456011 57583USRO 09-13-2012 58,405,024 REFUND SERIES S   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 9,320,256 742,335 14,965,827 26,284,136
2 Amount of bonds legally defeased . . . . . . . . . . . 0 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 92,267,998 225,893,991 66,093,741 266,921,019
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 8,470,410 1,517,334 0
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 0 0
7 Issuance costs from proceeds . . . . . . . . . . . . 396,997 1,078,308 536,194 1,281,074
8 Credit enhancement from proceeds . . . . . . . . . . . 0 0 0 0
9 Working capital expenditures from proceeds . . . . . . . . . 3,771,000 0 0 34,652,829
10 Capital expenditures from proceeds . . . . . . . . . . . 0 0 38,000,000 0
11 Other spent proceeds . . . . . . . . . . . . . . 88,110,000 209,716,817 25,895,401 230,987,116
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2010 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    
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X   X   X      
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2012
Schedule K (Form 990) 2012
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      
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      
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . .   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? .                
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0% 0% 0% 0%
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0%   % 0%   %
6 Total of lines 4 and 5 . . . . . . . . . . . . . . . 0% 0% 0%   %
7 Does the bond issue meet the private security or payment test? . . . . .   X   X   X    
8a Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?. . . . . . . . . . . . . . . . .   X   X   X    
b If “Yes” to line 8a, enter the percentage of bond-financed property sold or disposed of.   %   %   %   %
c If “Yes” to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . .   X   X   X    
9 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      
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has the issuer filed Form 8038-T? . . . . .   X   X   X   X
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . .   X   X X   X  
b Exception to rebate? . . . . . . . . X   X   X   X  
c No rebate due? . . . . . . . . . .
X   X   X   X  
If you checked "No rebate due" in line 2c, provide in Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . .   X X     X   X
4a 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 . . . . . . . . . 0
  		0
  		0
  		 
 
c Term of hedge . . . . . . . . . .        
d Was the hedge superintegrated? . . . . . .   X   X   X   X
e Was a hedge terminated? . . . . . . .   X   X   X   X
Schedule K (Form 990) 2012
Schedule K (Form 990) 2012
Page 3
Part IV
Arbitrage (Continued)
A B C D
Yes No Yes No Yes No Yes No
5a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . . . . .   X   X   X   X
b Name of provider . . . . . . . . . 0
  		0
  		0
  		0
 
c Term of GIC . . . . . . . . . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . .                
6 Were any gross proceeds invested beyond an available temporary period? . . . . . . . .   X   X   X   X
7 Has the organization established written procedures to monitor the requirements of section 148? . . . X   X   X   X  
Part V
Procedures To Undertake Corrective Action
A B C D
Yes No Yes No Yes No Yes No
1 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? X   X   X   X  
Part VI
Supplemental Information. Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
SCHEDULE K, PART VI 0 PART I, LINE C, COLUMN (E) IN APRIL 2012, SERIES T-2 BONDS FOR $70,000,000 WERE CONVERTED TO FULLY REGISTERED FIXED RATE BONDS IN THE AGGREGATE PRINCIPAL AMOUNT OF $66,315,000 WITH A FINAL MATURITY DATE IN OCTOBER 2037. THE BALANCE OF THE INITIAL AGGREGATE PRINCIPAL AMOUNT OF THE SERIES T-2 BONDS IN THE AMOUNT OF $3,685,000 WAS CANCELLED IN APRIL 2012. BOND ISSUANCE COSTS OF $395,335 ARE RECORDED IN PREPAID EXPENSES AND OTHER ASSETS AND WILL BE AMORTIZED OVER THE LIFE OF THE RESPECTIVE BONDS. THE SERIES T-2 BONDS WERE REMARKETED WITH A PREMIUM TOTALING $4,080,335 WHICH IS RECORDED IN LONG-TERM DEBT. THE PREMIUM WILL BE AMORTIZED USING THE EFFECTIVE INTEREST METHOD OVER THE LIFE OF THE RESPECTIVE BONDS. IN FEBRUARY 2012, SERIES T-1 BONDS FOR $70,000,000 WERE CONVERTED TO FULLY REGISTERED FIXED RATE BONDS IN THE AGGREGATE PRINCIPAL AMOUNT OF $63,260,000 WITH A FINAL MATURITY DATE IN OCTOBER 2037. THE BALANCE OF THE INITIAL AGGREGATE PRINCIPAL AMOUNT OF THE SERIES T-1 BONDS IN THE AMOUNT OF $6,740,000 WAS CANCELLED IN FEBRUARY 2012. BOND ISSUANCE COSTS OF $399,790 ARE RECORDED IN PREPAID EXPENSES AND OTHER ASSETS AND WILL BE AMORTIZED OVER THE LIFE OF THE RESPECTIVE BONDS. THE SERIES T-1 BONDS WERE REMARKETED WITH A PREMIUM TOTALING $7,139,790 WHICH IS RECORDED IN LONG-TERM DEBT. THE PREMIUM WILL BE AMORTIZED USING THE EFFECTIVE INTEREST METHOD OVER THE LIFE OF THE RESPECTIVE BONDS. PART I, LINE A, COLUMN (F) MHEFA SERIES R REFUNDED SERIES N BONDS WHICH WERE ISSUED JANUARY 23, 2003. PART I, LINE B, COLUMN (F) MHEFA SERIES T REFUNDED SERIES P BONDS WHICH WERE ISSUED JULY 18, 2007. PART I, LINE C, COLUMN (F) MHEFA SERIES Y (I) FINANCED THE CONSTRUCTION OF A DORMITORY, RENOVATIONS TO VARIOUS ACADEMIC AND ATHLETIC FACILITIES, AND MISCELLANEOUS FURNITURE AND EQUIPMENT ACQUISITIONS, AND (II) REFUNDED SERIES F, H, AND K BONDS WHICH WERE ISSUED JULY 6, 1999, JULY 9, 1998, AND JULY 11, 2000, RESPECTIVELY.
PART I, LINE D, COLUMN (F) 0 MHEFA SERIES 2010(A) REFUNDED SERIES I, Q, U, AND W. * SERIES I BONDS WERE ISSUED MAY 26, 1999 TO FINANCE VARIOUS CAPITAL PROJECTS. * SERIES Q BONDS WERE ISSUED MAY 28, 2008 FOR THE PURPOSE OF REFUNDING THE SERIES L BONDS WHICH WERE ISSUED JANUARY 25, 2001 TO FINANCE VARIOUS CAPITAL PROJECTS. * SERIES U BONDS WERE ISSUED JULY 31, 2008 FOR THE PURPOSE OF REFUNDING THE SERIES M BONDS WHICH WERE ISSUED JULY 3, 2002. SERIES M BONDS WERE ISSUED FOR THE PURPOSE OF REFUNDING THE SERIES E BONDS WHICH WERE ISSUED APRIL 1992. * SERIES W BONDS WERE ISSUED DECEMBER 17, 2008 FOR THE PURPOSE OF REFUNDING THE SERIES G BONDS WHICH WERE ISSUED APRIL 1998 TO FINANCE VARIOUS CAPITAL PROJECTS. PART I, LINE A, COLUMN (F) MHEFA SERIES 2012 REFUNDED SERIES S BONDS WHICH WERE ISSUED MAY 22, 2008. PART II, LINE 3 - TOTAL PROCEEDS OF ISSUE MHEFA SERIES T - PROCEEDS REPORTED ON LINE 3 INCLUDES $8,470,410 OF CAPITALIZED INTEREST AND $6,628,457 OF INVESTMENT EARNINGS. ACTUAL PROCEEDS OF ISSUE IS $210,000,000. MHEFA SERIES Y - PROCEEDS REPORTED ON LINE 3 INCLUDES $1,517,334 OF CAPITALIZED INTEREST AND $144,812 OF INVESTMENT EARNINGS. ACTUAL PROCEEDS OF ISSUE IS $64,431,595. PART II, LINE 9 - WORKING CAPITAL WORKING CAPITAL CONSISTS OF BOND PROCEEDS USED TO FINANCE TERMINATION PAYMENTS DUE TO SWAP COUNTERPARTIES. PART IV, LINE 2C, COLUMN (A) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES R - JULY 26, 2013 PART IV, LINE 2C, COLUMN (B) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES T - JULY 26, 2013 PART IV, LINE 2C, COLUMN (C) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES Y - JULY 18, 2013 PART IV, LINE 2C, COLUMN (D) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES 2010A - JULY 18, 2013 PART IV, LINE 2C, COLUMN (A) - DATE REBATE CALCULATION WAS PERFORMED MHEFA SERIES 2012 - APRIL 15, 2013 PART IV, LINE 3 - HEDGE THE UNIVERSITY HAS ENTERED INTO AN INTEREST RATE SWAP AGREEMENT WITH AIG FOR BOND ISSUE MHEFA SERIES T TO MANAGE THE INTEREST COST AND VARIABLE RATE RISK ASSOCIATED WITH ITS OUTSTANDING DEBT. THE INTEREST RATE SWAP AGREEMENT WAS NOT IDENTIFIED ON THE BOOKS AND RECORDS OF THE ISSUER OR THE INSTITUTION AND WERE NOT IDENTIFIED TO BE TREATED AS A "QUALIFYING HEDGE" WITH RESPECT TO THE SERIES T BONDS. THE INTEREST RATE SWAP AGREEMENT WAS NOT ENTERED INTO FOR TRADING OR SPECULATIVE PURPOSES. UNDER THE TERMS OF THE AGREEMENT, THE UNIVERSITY PAYS A FIXED RATE, DETERMINED AT INCEPTION, TO A THIRD PARTY WHO IN TURN PAYS THE UNIVERSITY A VARIABLE RATE ON THESE RESPECTIVE NOTIONAL PRINCIPAL AMOUNTS. THERE IS NO COLLATERAL POSTING REQUIREMENT FOR THE UNIVERSITY RELATED to the swap with aig.
Schedule K (Form 990) 2012

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, line 38a or 40b.
MediumBullet Attach to Form 990 or Form 990-EZ. MediumBullet See separate instructions.
OMB No. 1545-0047
2012
Open to Public Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
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) Relationship between disqualified person and organization (c) Description of transaction (d) Corrected?
Yes No





2
Enter the amount of tax incurred by 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-EZ, Part V, line 38a, or Form 990, Part IV, line 26; or if the organization reported an amount on Form 990, Part X, line 5, 6, or 22
(a) Name of interested person (b) Relationship with organization (c) Purpose of loan (d) Loan to or from the organization? (e)Original principal amount (f)Balance due (g) In default? (h) Approved by board or committee? (i)Written agreement?
To From Yes No Yes No Yes No
(1) Stephen W Director Officer Home Loan   X 2,000,000 1,840,000   No Yes   Yes  
Total ......Small Bullet $ 1,840,000
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 assistance (d) Type of assistance (e) Purpose of assistance
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2012
Schedule L (Form 990 or 990-EZ) 2012
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) Peter Lembo BROTHER OF NU FMR OFFICER 92,563 NU Employee   No
(2) Ruffalo Cody TRUSTEE RICHARD D'AMORE 493,159 Professional Fundraising Fees   No
(3) Sally Solomon SISTER OF NU OFFICER 58,440 NU Employee   No
(4) CLEAN HARBORS TRUSTEES GALANTE & MCKIM 138,275 CLEANING SERVICES   No
(5) Blue Cross Blue Shield OFFICER RALPH MARTIN 55,659,109 Health Insurance   No
(6) Staples TRUSTEE RONALD SARGENT 760,528 Provision of Goods   No
(7) Geoffrey Trussell TRUSTEE CHAD GIFFORD 199,284 NU EMPLOYEE   No
Part V
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule L (see instructions).
Identifier Return Reference Explanation
Schedule L (Form 990 or 990-EZ) 2012

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 organizations answered "Yes" on Form 990, Part IV, lines 29 or 30.
Right pointing arrow large image Attach to Form 990.
OMB No. 1545-0047
2012
Open to Public Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
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 ....        
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 45 1,240,750 MARKET VALUE
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 .. X 1 325,000 APPRAISAL
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 ( EQUIPMENT ) X 6 427,932 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
0
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
 
No
b
If "Yes," describe in Part II.
33
If the organization did not report an amount in column (c) for a type of property for which column (a) is checked,
describe in Part II.
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 51227J
Schedule M (Form 990) (2012)
Schedule M (Form 990) (2012)
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
SCHEDULE M, PART I, COLUMN (B)   NORTHEASTERN UNIVERSITY REPORTED THE NUMBER OF CONTRIBUTIONS.
SCHEDULE M, PART I, LINE 33   NORTHEASTERN UNIVERSITY'S ACCOUNTING POLICY STATES THAT NO REVENUE IS TO BE RECOGNIZED FOR GIFTS IN KIND UNLESS THERE IS AN IDENTIFIABLE USEFUL LIFE OR DETERMINABLE MARKET VALUE. ALL GIFTS IN KIND ARE REVIEWED TO DETERMINE IF THEY MEET EITHER CRITERIA.
Schedule M (Form 990) (2012)
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
2012
Open to Public
Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
Identifier Return Reference Explanation
Mission Statement Form 990, Parts I and III, line 1 To educate students for a life of fulfillment and accomplishment. To create and translate knowledge to meet global and societal needs. This mission statement will inspire members of the University in whatever they do-as scholars, as teachers, as mentors, and as members of the Northeastern community. Northeastern's commitment to excellence, distinctiveness, and innovation led to the identification of five strategic themes that characterize the University's uniqueness: Experiential Learning, Interdisciplinary and Translational Research, Intellectual Life and Creative Expression, Urban Engagement, Global Opportunities. By concentrating efforts on these initiatives the University is better positioned to set priorities, make decisions, and focus resources that allow the institution to achieve its ambitions. Form 990, Part III, Line 4d Other program services consist of: Research, academic support, student services, and cooperative education. Form 990, Part VI, Line 1a PURSUANT TO THE BYLAWS, THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES IS AUTHORIZED TO ACT WITH THE FULL AUTHORITY OF THE BOARD OF TRUSTEES IN THE MONTHS IN WHICH THE FULL BOARD DOES NOT MEET. All members of the Board of Trustees who are not appointed to serve on the Executive Committee shall be authorized to serve as alternates to the Executive Committee with full voting authority. The Secretary shall be authorized to select an alternatE whenever a member notifies the Secretary of his or her inability to attend any regular or special meeting of the Executive Committe. A majority of the members of the Executive Committee, including any alternate(s), shall constitute a quorum for any meeting of the Executive Committee. Form 990, Part VI, Line 2 Edward G. Galante Alan S. McKim Business Relationship
Form 990, Part VI, Line 7a   Members of the Corporation have the responsibility of electing members of the Corporation and the Board of Trustees. THE CHAIRMAN OF THE BOARD OF TRUSTEES HAS THE AUTHORITY TO APPOINT ONE EMERITUS/MEMBER ON AN ANNUAL BASIS TO SERVE AS A VOTING TRUSTEE.
Form 990, Part VI, Line 11B   The University's Form 990 review process is a collaborative effort. The core Form 990 and related schedules were reviewed by four committees of the Board of Trustees, senior management, an independent compensation consultant and a paid tax preparer. All feedback from the above parties was incorporated in the form. The Form 990 as filed is provided to the full board prior to filing with the IRS.
Form 990, Part VI, Line 12c   The Conflict of Interest Policy For Trustees, Overseers, Officers and Other Institutional Decision-Makers applies to all voting, lifetime and honorary members of the Board of Trustees; certain members of the Corporation; all officers; and all other Institutional Decision-Makers of Northeastern University. The policy requires that all Trustees, Officers and other Governing Board Members who serve on standing committees are required to adhere to a policy which requires disclosure in advance of any conflict; non-participation in decisions regarding the potential conflict; and an annual reporting of any conflicts for personal or third party involvement. The Secretary to the Board reviews the disclosures to determine whether any disclosures are sufficiently material that they should be brought to the attention of a sub-committee of the Trusteeship Committee. The sub-committee of the Trusteeship Committee shall determine whether any disclosed matter is of such significance that it merits reporting to the Board of Trustees or the Executive Committee. If so, the sub-committee shall recommend whether the disclosure requires approval or other action by the Board of Trustees or the Executive Committee. It shall be sole prerogative of the Board of Trustees or Executive Committee to approve or take other action related to a conflicts disclosure, including determining whether or not a transaction related to a disclosure should be permitted (if the transaction has not been finalized) or continued (if the transaction has already begun). Persons covered by this policy are required to refrain from making any decision about, and from participating in any consideration of, any transaction or other matter within the letter or spirit of this policy, except that he or she may respond to requests for information by the President or any disinterested Trustee concerning the matter. The Conflict of Interest and Commitment Policy in the Faculty Handbook applies to all members of Northeastern's faculty and research staff including faculty members serving as University officers (collectively referred to as 'the Faculty.') Annually, Faculty are required to submit a Conflict of Interest and Commitment Disclosure statement that requires disclosure of any relationships that would present the appearance of a conflict. These disclosure forms are reviewed by the Director of Institutional Audit, Compliance & Risk Services to determine whether any disclosures are sufficiently material that they should be brought to the attention of the appropriate College Dean for review. The policy provides College Deans with the primary responsibility for ensuring implementation of this policy and authority to review and approve exceptions to the policy. All employees are required to submit a Conflict of Interest and Commitment Disclosure statement that requires disclosure of any significant financial interest relationship as defined and disclosure of any gift over $100 from a single third party seeking benefit from the University. These disclosure forms are reviewed by the Director of Institutional Audit, Compliance & Risk Services to determine whether any disclosures are sufficiently material that they should be brought to the attention of the appropriate unit Dean, Vice-President or Director for review. The unit Dean, Vice-President or Director are responsible for reviewing the identified conflict and for resolving those conflicts appropriately.
Form 990, Part VI, Lines 15a & 15b   NORTHEASTERN UNIVERSITY FOLLOWS A CAREFULLY DEFINED PROCESS FOR REVIEWING SENIOR EXECUTIVE COMPENSATION LEVELS. THE POSITIONS INCLUDED IN THIS PROCESS DURING 2012 ARE THE PRESIDENT, SENIOR VICE PRESIDENT FOR ACADEMIC AFFAIRS AND PROVOST, SENIOR VICE PRESIDENT FOR UNIVERSITY ADVANCEMENT, SENIOR VICE PRESIDENT FOR ENROLLMENT MANAGEMENT AND STUDENT LIFE, SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT FOR EXTERNAL AFFAIRS, THE DIRECTOR OF FINANCE & TREASURER, AND SENIOR VICE PRESIDENT & GENERAL COUNSEL. OTHER POSITIONS INCLUDING, BUT NOT LIMITED TO, DEANS MAY BE INCLUDED EACH YEAR. THIS PROCESS EMBRACES THE BEST PRACTICES UTILIZED IN THE HIGHER EDUCATION INDUSTRY. IN 2012, A COMPETITIVE PAY ASSESSMENT WAS CONDUCTED BY A THIRD PARTY INDEPENDENT COMPENSATION CONSULTING FIRM, USING MULTIPLE MARKET REFERENCES, INCLUDING SURVEYS REPRESENTING SIMILAR UNIVERSITIES AND OTHER RELEVANT LABOR MARKETS (AS APPLICABLE FOR CERTAIN POSITIONS). THE ASSESSMENT IS BASED ON PEER REFERENCES THAT REFLECT OTHER UNIVERSITIES OF SIMILAR SIZE AND PROMINENCE WITH WHICH NORTHEASTERN COMPETES FOR EXECUTIVE TALENT. THE INDEPENDENT CONSULTANT ALSO PROVIDED ADDITIONAL PROPRIETARY COMPENSATION MARKET DATA AND AN ASSESSMENT OF THE REASONABLENESS OF THE DATA. THE COMPENSATION COMMITTEE CONSISTS OF THE CHAIRMAN OF THE BOARD OF TRUSTEES, ALSO SERVING AS THE CHAIR, ALONG WITH FIVE OTHER INDEPENDENT TRUSTEE MEMBERS. THIS COMMITTEE HAS CONTINUED TO ENGAGE TOWERS WATSON AS ITS INDEPENDENT COMPENSATION CONSULTANT, WITH THE EXPECTATION THAT ITS PROCESSES AND PROCEDURES WOULD CONTINUE TO EVOLVE TO REFLECT EMERGING BEST PRACTICES. THE COMPETITIVE PAY ASSESSMENT AND INDEPENDENT CONSULTANT REVIEW WERE PROVIDED TO THE PRESIDENT FOR HIS USE IN MAKING SALARY AND BONUS RECOMMENDATIONS TO THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES FOR THE POSITIONS INCLUDED IN THE PROCESS, EXCLUDING HIS OWN. THE PRESIDENT'S RECOMMENDATIONS TO THE COMPENSATION COMMITTEE TAKE INTO CONSIDERATION THE MARKET INFORMATION, AS WELL AS THE RESULTS OF A FORMAL ANNUAL PERFORMANCE ASSESSMENT PROCESS BASED ON PRE-DETERMINED GOALS AND OBJECTIVES. THE COMPENSATION COMMITTEE REVIEWED THE COMPETITIVE INFORMATION AND THE RESULTS OF THE PERFORMANCE ASSESSMENT PROCESS PRESENTED BY THE PRESIDENT, DISCUSSED POTENTIAL CHANGES, AND VOTED TO APPROVE THE FINAL RECOMMENDATIONS, WHICH WERE THEN PRESENTED TO THE FULL BOARD OF TRUSTEES. THE BOARD ALSO VOTED TO APPROVE THE RECOMMENDATIONS. THESE DISCUSSIONS AND RESULTING APPROVALS ARE DOCUMENTED IN THE MINUTES OF EACH MEETING. IN DETERMINING THE PRESIDENT'S COMPENSATION, THE INDEPENDENT CONSULTANT PROVIDED THE RESULTS OF THE MARKET PAY ASSESSMENT FOR THE PRESIDENT DIRECTLY TO THE COMMITTEE. THE COMMITTEE ALSO CONDUCTED A FORMAL PERFORMANCE ASSESSMENT OF THE PRESIDENT, UTILIZING PRE-DETERMINED GOALS AND OBJECTIVES. THE COMMITTEE THEN DISCUSSED POTENTIAL CHANGES TO THE PRESIDENT'S COMPENSATION BASED ON THE MARKET DATA AND THE RESULTS OF THE PERFORMANCE ASSESSMENT, AND PRESENTED ITS RECOMMENDATIONS TO THE FULL BOARD OF TRUSTEES FOR THEIR APPROVAL. THE BOARD VOTED TO APPROVE THE RECOMMENDATIONS. THESE DISCUSSIONS AND RESULTING APPROVALS ARE DOCUMENTED IN THE MINUTES OF EACH MEETING.
Form 990, Part VI, Line 19   Original hard copy Financial Statements and Governing documents are available upon request. The Conflict of interest policy and the annual financial statements are available via the internet at www.NEU.EDU. FORM 990, PART VII, COLUMN (A) STEPHEN ZOLOTH, FORMER DEAN - BOUVE COLLEGE, IS CURRENTLY SERVING AS DEAN OF ACADEMIC AFFAIRS FOR EXTERNAL PROGRAMS AND VICE PROVOST FOR HEALTH RESEARCH. DAVID LUZZI, FORMER DEAN - ENGINEERING, IS CURRENTLY SERVING AS PROFESSOR AND EXECUTIVE DIRECTOR, STRATEGIC SECURITY INITIATIVE MECHANICAL AND INDUSTRIAL ENGINEERING.
Form 990, Part VII, Column (B)   40 hours constitutes a full-time equivalent employee at Northeastern University.
Form 990, Part XI, Line 9   SWAP ADJUSTMENT $17,556,381 Rounding Variance ($805) ___________ $17,555,576
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2012

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
2012
Open to Public Inspection
Name of the organization
NORTHEASTERN UNIVERSITY
 
Employer identification number

04-1679980
Part I
Identification of Disregarded Entities (Complete if the organization answered "Yes" to Form 990, Part IV, line 33.)
(a)
Name, address, and EIN (if applicable) 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) Renaissance Park Garage LLC
1209 Orange St
Wilmington,DE19801
04-3480384 		Parking svcs DE 1,827,277 18,096,358 NORTHEASTERN
 
(2) NU Research LLC
360 Huntington Ave
Boston,MA02115
17-0388661 		Research Ctr MA   83 NORTHEASTERN
 
(3) NU Innovation LLC
360 Huntington Ave
Boston,MA02115
27-0388561 		Research Ctr MA   83 NORTHEASTERN
 






Part II
Identification of Related Tax-Exempt Organizations (Complete if the organization answered "Yes" to 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 entity?
Yes No
(1) NU Housing Corporation

c/o NU 716 Columbus Ave

Boston,MA02120
26-0874402 		Real Estate MA 501(C)(3) 9 NORTHEASTERN
 
Yes
 
(2) The Mass Green High Perf Computing Ctr

77 Mass Ave

Cambridge,MA02139
27-3014805 		Research Ctr MA 501(C)(3) 11A-I NA
 
 
No
(3) MGHPCC Holyoke Inc

77 Mass Ave

CAMBRIDGE,MA02139
45-2257442 		RESEARCH CTR MA 501(C)(3) 11A-I NA
 
 
No








For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2012
Schedule R (Form 990) 2012
Page 2
Part III
Identification of Related Organizations Taxable as a Partnership (Complete if the organization answered "Yes" to 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" to 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
 		(i)
Section 512(b)(13) controlled entity?
Yes No
(1) Azland Inc

c/o NU 360 Huntington Avenue
Boston,MA02115
04-2454917 		real estate DE NORTHEASTERN
  		c corp 25,459 221,099 100.000 % Yes  
(2) Charitable Remainder Trust (1)

 
 
INVESTING CA NORTHEASTERN
  		TRUST       Yes  
(3) Charitable Remainder Trust (1)

 
 
Investing ME NORTHEASTERN
  		TRUST       Yes  
(4) Charitable Remainder Trusts (9)

 
 
INVESTING MA NORTHEASTERN
  		TRUST       Yes  
(5) Charitable Remainder Trust (3)

 
 
INVESTING NH NORTHEASTERN
  		TRUST       Yes  
(6) Pooled Income Trust (1)

 
 
INVESTING MA NORTHEASTERN
  		TRUST       Yes  
(7) Perpetual Trust (1)

 
 
INVESTING MA NORTHEASTERN
  		TRUST       Yes  
(8) Perpetual Trust (1)

 
 
INVESTING ME NORTHEASTERN
  		TRUST       Yes  
Schedule R (Form 990) 2012
Schedule R (Form 990) 2012
Page 3
Part V
Transactions With Related Organizations (Complete if the organization answered "Yes" to Form 990, Part IV, line 34, 35b, or 36.)
Note. Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule.
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 or (iv) rent from a controlled entity . . . . . . . . . . . . . . . . . . . . . . .
1a
 
No
b Gift, grant, or capital contribution to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1b
 
No
c Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
 
No
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 Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
 
No
k Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1k
 
No
l Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
 
No
m Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .
1m
 
No
n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .
1n
 
No
o Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
 
No
p Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
 
No
q Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
 
No
r Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
Yes
 
s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1s
 
No
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-s) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) NU Housing Corporation

 R 1,600,000 FMV





Schedule R (Form 990) 2012
Schedule R (Form 990) 2012
Page 4
Part VI
Unrelated Organizations Taxable as a Partnership (Complete if the organization answered "Yes" to 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 section 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) 2012
Schedule R (Form 990) 2012
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

Additional Data


Software ID:  
Software Version: