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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
615 WEST 131ST STREET MC 8741
Suite
Room/suite
City or town, state or country, and ZIP + 4
NEW YORK, NY100277922
D Employer identification number

13-5598093
E Telephone number

G Gross receipts $ 6,250,277,695
F Name and address of principal officer:
Lee C Bollinger
615 West 131st St MC 8741
New York,NY100277922
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
www.columbia.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: 1754
M State of legal domicile: NY
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: SEE STATEMENT 1
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 24
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 16
5 Total number of individuals employed in calendar year 2011 (Part V, line 2a) ...... 5 31,775
6 Total number of volunteers (estimate if necessary) ............. 6 6,218
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 7,788,744
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b 0
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 1,419,840,375 1,427,694,060
9 Program service revenue (Part VIII, line 2g) ......... 2,164,623,741 2,269,479,380
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 419,888,453 602,187,622
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 156,131,305 146,344,228
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 4,160,483,874 4,445,705,290
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 543,943,633 526,644,384
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) 2,125,734,457 2,235,300,138
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 531,810 1,041,480
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet100,376,949    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 1,022,660,158 999,264,953
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 3,692,870,058 3,762,250,955
19 Revenue less expenses. Subtract line 18 from line 12....... 467,613,816 683,454,335
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 13,627,251,849 14,639,477,138
21 Total liabilities (Part X, line 26)............. 3,069,444,413 3,021,886,164
22 Net assets or fund balances. Subtract line 21 from line 20..... 10,557,807,436 11,617,590,974
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: COLUMBIA UNIVERSITY IS ONE OF THE WORLD'S MOST IMPORTANT CENTERS OF RESEARCH AND AT THE SAME TIME A DISTINCTIVE AND DISTINGUISHED LEARNING ENVIRONMENT FOR UNDERGRADUATES AND GRADUATE STUDENTS IN MANY SCHOLARLY AND PROFESSIONAL FIELDS. THE UNIVERSITY RECOGNIZES THE IMPORTANCE OF ITS LOCATION IN NEW YORK CITY AND SEEKS TO LINK ITS RESEARCH AND TEACHING TO THE VAST RESOURCES OF A GREAT METROPOLIS. IT SEEKS TO ATTRACT A DIVERSE AND INTERNATIONAL FACULTY AND STUDENT BODY, TO SUPPORT RESEARCH AND TEACHING ON GLOBAL ISSUES, AND TO CREATE ACADEMIC RELATIONSHIPS WITH MANY COUNTRIES AND REGIONS. IT EXPECTS ALL AREAS OF THE UNIVERSITY TO ADVANCE KNOWLEDGE AND LEARNING AT THE HIGHEST LEVEL AND TO CONVEY THE PRODUCTS OF ITS EFFORTS TO THE WORLD.
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 $ 1,279,289,444 including grants of $ 400,733,954 ) (Revenue $ 1,141,490,882 )
COLUMBIA UNIVERSITY IS A PRIVATE, NONSECTARIAN, NONPROFIT INSTITUTION OF HIGHER EDUCATION WHOSE ACTIVITIES ARE CONCENTRATED AT TWO LOCATIONS IN NEW YORK CITY BUT EXTEND ACROSS THE GLOBE. THE UNIVERSITY PROVIDES INSTRUCTION THROUGH SIXTEEN UNDERGRADUATE, GRADUATE, AND PROFESSIONAL SCHOOLS. IT OPERATES A VARIETY OF RESEARCH INSTITUTES AND A LIBRARY SYSTEM TO SUPPORT ITS TEACHING AND LEARNING, BASIC AND APPLIED RESEARCH, PATIENT CARE, AND PUBLIC SERVICE ACTIVITIES. THE UNIVERSITY ENROLLS APPROXIMATELY 28,824 FULL-TIME AND PART-TIME STUDENTS AND EMPLOYS APPROXIMATELY 30,000 FULL-TIME AND PART-TIME EMPLOYEES, INCLUDING 5,575 FULL-TIME FACULTY MEMBERS.
4b (Code:   ) (Expenses $ 718,849,394 including grants of $ 4,404,641 ) (Revenue $ 860,281,578 )
THE UNIVERSITY, THROUGH THE COLUMBIA UNIVERSITY MEDICAL CENTER AND ITS MEDICAL FACULTY PRACTICE PLAN, PROVIDES DIRECT PATIENT CARE AND OTHER CLINICAL AND EDUCATIONAL SERVICES TO HOSPITALS AND OTHER HEALTH CARE INSTITUTIONS THROUGH CONTRACTUAL AGREEMENTS FOR SERVICES. THE CLINICAL FACULTY HANDLED APPROXIMATELY 1.8 MILLION OUTPATIENT AND EMERGENCY ROOM VISITS AND PARTICIPATED IN INSTRUCTION AND SUPERVISION OF 662 UNIVERSITY MEDICAL STUDENTS AND 923 RESIDENTS AND FELLOWS AT NEW YORK PRESBYTERIAN HOSPITAL AND OTHER AFFILIATED HOSPITALS.
4c (Code:   ) (Expenses $ 566,686,711 including grants of $ 108,705,830 ) (Revenue $ 131,424,931 )
THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS AND CONTRACTS WITH AGENCIES OF THE FEDERAL GOVERNMENT AND OTHER SPONSORING ORGANIZATIONS.
(Code:   ) (Expenses $ 62,220,925 including grants of $ 0 ) (Revenue $ 0 )
LIBRARY
(Code:   ) (Expenses $ 217,305,478 including grants of $ 0 ) (Revenue $ 0 )
CAMPUS OPERATIONS
(Code:   ) (Expenses $ 227,110,898 including grants of $ 0 ) (Revenue $ 0 )
INSTITUTIONAL SUPPORT
(Code:   ) (Expenses $ 107,028,743 including grants of $ 0 ) (Revenue $ 132,853,436 )
AUXILIARY ENTERPRISES
(Code:   ) (Expenses $ 147,759,210 including grants of $ 12,799,959 ) (Revenue $ 3,428,553 )
OTHER SOURCES
4d Other program services (Describe in Schedule O.)
(Expenses $ 761,425,254 including grants of $ 12,799,959 ) (Revenue $ 136,281,989 )
4e Total program service expensesMediumBullet3,326,250,803
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
Yes
 
7
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas, or historic structures? If “Yes,” complete Schedule D, Part IIClick to see attachment...
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If “Yes,” complete Schedule D, Part III Click to see attachment....................
8
Yes
 
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
Yes
 
b
Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000 or more? If “Yes,” complete Schedule F, 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
Yes
 
17
Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If “Yes,” complete Schedule G, Part I (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
Yes
 
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
 
No
28
Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions):
a
A current or former officer, director, trustee, or key employee? If “Yes,” complete Schedule L, Part IV .......................... Click to see attachment
28a
Yes
 
b
A family member of a current or former officer, director, trustee, or key employee? If “Yes,”
complete Schedule L, Part IV..................... Click to see attachment
28b
Yes
 
c
An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or 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
38,687
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
31,775
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
Yes
 
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
 
No
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?..........
9a
 
No
b
Did the organization make a distribution to a donor, donor advisor, or related person?.......
9b
 
No
10
Section 501(c)(7) organizations. Enter:
a
Initiation fees and capital contributions included on Part VIII, line 12 ...
10a
 
b
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
 
11
Section 501(c)(12) organizations. Enter:
a
Gross income from members or shareholders .........
11a
 
b
Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them.) ..........
11b
 
12a
Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041?
12a
 
 
b
If “Yes,” enter the amount of tax-exempt interest received or accrued during the year. ....................
12b
 
13
Section 501(c)(29) qualified nonprofit health insurance issuers.
a
Is the organization licensed to issue qualified health plans in more than one state?
Note. 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
 
No
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
24
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
16
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
Yes
 
3
Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? .
3
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? ...........................
4
 
No
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Did the organization have members or stockholders? ................
6
 
No
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? ....................
7a
 
No
b
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ...................
7b
 
No
8
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a
The governing body? .........................
8a
Yes
 
b
Each committee with authority to act on behalf of the governing body? ............
8b
Yes
 
9
Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization’s mailing address? If “Yes,” provide the names and addresses in Schedule O.......
9
 
No
Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)
Yes
No
10a
Did the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If “Yes,” did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes?
10b
 
 
11a
Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? ............................
11a
Yes
 
b
Describe in Schedule O the process, if any, used by the organization to review 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
CA
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:
MediumBulletRENOTTA YOUNG DEP CONTROLL615 W 131ST MC 8749New YorkNY10027 (212) 854-4684
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) LEE C BOLLINGER........................................................................
PRESIDENT
 60.0
.......................   		X   X       3,011,238 0 404,424
(2) KENNETH A FORDE MD........................................................................
TRUSTEE
 3.0
.......................   		X           789,000 0 2,592
(3) ROLANDO T ACOSTA........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(4) ARMEN A AVANESSIANS........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(5) A'LELIA BUNDLES........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(6) JOSE A CABRANES........................................................................
TRUSTEE (THROUGH 9/3/2012)
 3.0
.......................   		X           0 0 0
(7) WILLIAM V CAMPBELL........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(8) LISA CARNOY........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(9) NOAM GOTTESMAN........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(10) JOSEPH A GREENAWAY JR........................................................................
TRUSTEE
 3.0
.......................   		X           13,500 0 0
(11) JAMES HARDEN........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(12) BENJAMIN HOROWITZ........................................................................
TRUSTEE (AS OF 9/4/2012)
 3.0
.......................   		X           0 0 0
(13) ANN F KAPLAN........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(14) MARK E KINGDON........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(15) JONATHAN LAVINE........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(16) GERRY LENFEST........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(17) CHARLES LI........................................................................
TRUSTEE (AS OF 10/5/2012)
 3.0
.......................   		X           0 0 0
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) PAUL J MADDON........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(19) PHILIP MILSTEIN........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(20) VIKRAM PANDIT........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(21) MICHAEL B ROTHFELD........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(22) JONATHAN D SCHILLER........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(23) ESTA STECHER........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(24) KYRIAKOS TSAKOPOULOS........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(25) FAYE WATTLETON........................................................................
TRUSTEE
 3.0
.......................   		X           0 0 0
(26) RICHARD E WITTEN........................................................................
TRUSTEE (THROUGH 9/3/2012)
 3.0
.......................   		X           39,062 0 0
(27) JANE E BOOTH........................................................................
GENERAL COUNSEL
 60.0
.......................   		    X       549,960 0 44,831
(28) JOHN COATSWORTH........................................................................
PROVOST
 60.0
.......................   		    X       665,173 0 43,754
(29) JEROME DAVIS........................................................................
SECRETARY
 60.0
.......................   		    X       324,108 0 39,316
(30) ROBERT KASDIN........................................................................
SENIOR EXECUTIVE VP
 60.0
.......................   		    X       716,498 0 56,139
(31) ANNE R SULLIVAN........................................................................
EXECUTIVE VP FOR FINANCE
 60.0
.......................   		    X       494,533 0 68,258
(32) NICHOLAS B DIRKS........................................................................
EXEC VP- A&S (THROUGH 12/2012)
 60.0
.......................   		      X     492,170 0 74,515
(33) DR LEE GOLDMAN MD........................................................................
EXEC VP FOR HEALTH SCIENCES
 60.0
.......................   		      X     1,176,220 0 489,047
(34) PETER HOLLAND........................................................................
EXEC VP OF INVESTMENT MGMT
 60.0
.......................   		      X     3,029,142 0 2,017,979
(35) JOSEPH A IENUSO........................................................................
EXEC VP OF FACILITIES
 60.0
.......................   		      X     424,817 0 71,098
(36) NIRMAL NARVEKAR........................................................................
PRESIDENT OF INVESTMENT MGMT
 60.0
.......................   		      X     3,372,593 0 2,229,720
(37) FREDERICK M VAN SICKLE........................................................................
EXEC VP - UNIV. DEV & ALUM REL
 60.0
.......................   		      X     511,468 0 59,708
(38) DAVID N SILVERS........................................................................
CLINICAL PROFESSOR
 60.0
.......................   		        X   5,316,325 0 39,624
(39) JEFFREY W MOSES........................................................................
PROFESSOR OF MEDICINE
 60.0
.......................   		        X   3,084,928 0 76,827
(40) CRAIG R SMITH........................................................................
PROFESSOR OF SURGERY
 60.0
.......................   		        X   2,076,573 0 54,702
(41) EMILE BACHA........................................................................
PROFESSOR OF SURGERY
 60.0
.......................   		        X   1,843,205 0 81,564
(42) MARTIN B LEON........................................................................
PROFESSOR OF SURGERY
 60.0
.......................   		        X   1,609,928 0 59,424
(43) ALAN BRINKLEY........................................................................
PROVOST (FORMER)
 60.0
.......................   		          X 435,949 0 66,377
(44) SUSAN K FEAGIN........................................................................
EXEC VP-UNIV. DEV&ALUM(FORMER)
 60.0
.......................   		          X 527,676 0 34,787
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 30,504,066 0 6,014,686
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet4,379
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
DAVIS BRODY BOND LLP, 315 HUDSON STNEW YORKNY10013 ARCHITECTURAL 10,388,013
ACCENTURE LLP, 161 N CLARK STCHICAGOIL60601 CONSULTING 9,737,852
CAULDWELL WINGATE, 380 LEXINGTON AVENUENEW YORKNY10168 CONSTRUCTION 7,992,797
FXFOWLE ARCHITECTS LLP, 22 WEST 19TH STNEW YORKNY10011 ARCHITECTURE 4,941,269
BAKER BOTTS LLP, PO BOX 201626HOUSTONTX77216 LAW SERVICES 3,474,375
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet213
Form 990 (2012)
Form 990 (2012)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response to any question in this Part VIII ..............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512, 513, or 514
Contributions, Gifts, Grants and Other Similar Amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 5,217,458
d Related organizations...1d  
e Government grants (contributions)1e 801,017,670
f All other contributions, gifts, grants, and
similar amounts not included above1f 		621,458,932
g Noncash contributions included in lines
1a-1f:$ 		40,834,267
h Total. Add lines 1a-1f.......MediumBullet 1,427,694,060
Program Service Revenue Business Code
2a TUITION & FEES 611600 1,141,490,882 1,141,490,882    
b OTHER EDUCATION & RESEARCH 541700 131,424,931 131,424,931    
c PATIENT CARE REVENUE 621110 860,281,578 860,281,578    
d AUXILIARY ENTERPRISES 900099 132,853,436 126,257,385 6,596,051  
e OTHER SOURCES 900099 1,356,119 1,356,119    
f All other program service revenue . 2,072,434 2,072,434    
g Total. Add lines 2a–2f........MediumBullet 2,269,479,380
Other Revenue 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 30,218,303     30,218,303
4 Income from investment of tax-exempt bond proceeds..MediumBullet 0      
5 Royalties...........MediumBullet 69,673,404     69,673,404
(i) Real (ii) Personal
6a Gross rents 153,047,817  
b Less: rental expenses 136,166,757  
c Rental income or (loss) 16,881,060 0
d Net rental income or (loss).......MediumBullet 16,881,060   37,089 16,843,971
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 2,239,293,017  
b Less: cost or other basis and sales expenses 1,667,323,698  
c Gain or (loss) 571,969,319  
d Net gain or (loss)..........MediumBullet 571,969,319     571,969,319
8a Gross income from fundraising events (not including
$ 5,217,458
of contributions reported on line 1c). See Part IV, line 18 ..
a 790,395
b Less: direct expenses ...b 1,081,950
c Net income or (loss) from fundraising events..MediumBullet -291,555   -291,555
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 PARTNERSHIP INCOME 900099 60,081,319   1,155,604 58,925,715
b            
c            
d All other revenue ....        
e Total. Add lines 11a–11d ...... MediumBullet 60,081,319
12 Total revenue. See Instructions......MediumBullet 4,445,705,290 2,262,883,329 7,788,744 747,339,157
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 83,963,944 83,963,944
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 400,389,469 400,389,469
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 42,290,971 42,290,971
4 Benefits paid to or for members 0  
5 Compensation of current officers, directors, trustees, and key employees .... 17,967,009   17,967,009  
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 1,375,445 347,993 1,027,452  
7 Other salaries and wages 1,780,332,587 1,617,929,320 115,075,602 47,327,665
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 124,218,940 111,384,762 9,372,627 3,461,551
9 Other employee benefits ....... 214,463,635 152,051,367 46,518,139 15,894,129
10 Payroll taxes ........... 96,942,522 88,099,353 6,266,087 2,577,082
11 Fees for services (non-employees):        
a Management ...... 0      
b Legal ......... 30,428,417 8,847,232 21,420,059 161,126
c Accounting ........... 1,757,065   1,757,065  
d Lobbying ........... 651,942   651,942  
e Professional fundraising services. See Part IV, line 17 1,041,480 1,041,480
f Investment management fees ...... 22,723,358   22,723,358  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 144,505,309 116,740,141 20,339,151 7,426,017
12 Advertising and promotion .... 11,930,792 9,786,229 1,024,841 1,119,722
13 Office expenses ....... 176,773,076 160,738,907 8,876,723 7,157,446
14 Information technology ...... 17,865,784 6,073,580 10,844,491 947,713
15 Royalties .. 0      
16 Occupancy ........... 181,609,844 160,592,968 18,761,480 2,255,396
17 Travel ............ 58,599,685 51,928,899 4,943,222 1,727,564
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0      
19 Conferences, conventions, and meetings .... 30,218,548 22,287,733 2,744,616 5,186,199
20 Interest ........... 47,386,440 43,275,440 3,456,936 654,064
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization ..... 182,012,577 171,875,577 8,524,194 1,612,806
23 Insurance .............. 26,866,552 25,745,127 1,116,910 4,515
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 LIBRARY 24,590,379 24,590,379    
b EMPLOYEE EDUCATION 6,736,973 6,630,845 67,102 39,026
c DUES & SUBSCRIPTIONS 8,486,963 6,096,707 2,202,636 187,620
d UNRELATED BUS INCOME TAX EXP 389,824   389,824  
e All other expenses 25,731,425 14,583,860 9,551,737 1,595,828
25 Total functional expenses. Add lines 1 through 24e 3,762,250,955 3,326,250,803 335,623,203 100,376,949
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 ......... 825,719,295 2 1,286,707,034
3 Pledges and grants receivable, net ........... 1,039,384,000 3 978,343,805
4 Accounts receivable, net ............. 241,100,795 4 278,529,522
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..................
1,475,000 5 1,688,419
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 ............. 111,108,803 7 115,695,910
8 Inventories for sale or use .............. 1,547,000 8 1,879,687
9 Prepaid expenses and deferred charges .......... 41,433,948 9 38,270,328
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 6,276,608,171
b Less: accumulated depreciation ..... 10b 2,381,636,709 3,718,959,273 10c 3,894,971,462
11 Investments—publicly traded securities .......... 2,737,609,594 11 2,601,291,177
12 Investments—other securities. See Part IV, line 11 ..... 4,455,342,462 12 5,078,626,530
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 ........... 453,571,679 15 363,473,264
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 13,627,251,849 16 14,639,477,138
Liabilities 17 Accounts payable and accrued expenses ......... 227,280,816 17 264,758,054
18 Grants payable ................. 0 18 0
19 Deferred revenue ................ 239,703,597 19 255,332,844
20 Tax-exempt bond liabilities ............. 1,333,131,000 20 1,288,657,000
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 .. 0 23 0
24 Unsecured notes and loans payable to unrelated third parties .... 202,769,000 24 190,239,233
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.................... 1,066,560,000 25 1,022,899,033
26 Total liabilities. Add lines 17 through 25......... 3,069,444,413 26 3,021,886,164
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 .............. 4,634,928,039 27 5,088,780,879
28 Temporarily restricted net assets ........... 3,646,550,000 28 4,017,343,216
29 Permanently restricted net assets ........... 2,276,329,397 29 2,511,466,880
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 ........... 10,557,807,436 33 11,617,590,974
34 Total liabilities and net assets/fund balances ........ 13,627,251,849 34 14,639,477,138
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
4,445,705,290
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
3,762,250,955
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
683,454,335
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
10,557,807,436
5
Net unrealized gains (losses) on investments ...............
5
312,440,165
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
63,889,038
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
11,617,590,974
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK 		Employer identification number

13-5598093
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK 		Employer identification number

13-5598093
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK 		Employer identification number

13-5598093
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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? .........................
 
No
 
e
Publications, or published or broadcast statements? .......................
 
No
 
f
Grants to other organizations for lobbying purposes? .......................
Yes
 
19,370
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
Yes
 
56,939
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? ..........................
Yes
 
575,633
j
Total. Add lines 1c through 1i ...............................
651,942
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
SUPPLEMENTAL INFORMATION SCHEDULE C LINE 1A - VOLUNTEERS: N/A LINE 1B - PAID STAFF OR MANAGEMENT: THE UNIVERSITY HAS OFFICES OF GOVERNMENT AND COMMUNITY AFFAIRS AT BOTH ITS MORNINGSIDE AND MEDICAL CENTER CAMPUSES WHOSE FUNCTION IS TO KEEP THE UNIVERSITY COMMUNITY INFORMED ABOUT NATIONAL, STATE AND LOCAL LEGISLATION AND POLICY THAT HAS AN IMPACT ON THE UNIVERSITY AND, WHEN APPROPRIATE, TO ADVOCATE FOR THE UNIVERSITY'S INTERESTS WITH RESPECT TO THIS POLICY. EMPLOYEES REGULARLY INVOLVED IN THESE ACTIVITIES INCLUDE: EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS PROJECT, COORDINATOR FOR STATE AND FEDERAL RELATIONS, DEPUTY VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER. LINE 1C - MEDIA ADVERTISEMENTS: NONE LINE 1D - MAILINGS TO MEMBERS, LEGISLATORS OR THE PUBLIC: NONE LINE 1E - PUBLICATIONS, OR PUBLISHED OR BROADCAST STATEMENTS: NONE LINE 1F - GRANTS TO OTHER ORGANIZATIONS FOR LOBBYING PURPOSES: THE UNIVERSITY BELONGS TO CERTAIN HIGHER EDUCATION TRADE ASSOCIATIONS. A SMALL PORTION OF THE MEMBERSHIP FEES PAID TO SOME OF THOSE ORGANIZATIONS GOES TO SUPPORT LOBBYING-RELATED ACTIVITIES. THESE FEES ARE REGULARLY REPORTED ON THE UNIVERSITY'S LOBBYING DISCLOSURE FILINGS. LINE 1G - DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, GOVERNMENT OFFICIALS, OR A LEGISLATIVE BODY: THE PRESIDENT, THE SENIOR EXECUTIVE VICE PRESIDENT, THE EXECUTIVE VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT RELATIONS, THE PROJECT COORDINATOR FOR STATE AND FEDERAL RELATIONS CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR POLICY STAFFS ON HIGHER EDUCATION ISSUES. THE EXECUTIVE VICE PRESIDENT FOR HEALTH SCIENCE, THE DEPUTY VICE PRESIDENT AND ASSOCIATE DEAN FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, AND THE ASSISTANT VICE PRESIDENT FOR GOVERNMENT AND COMMUNITY AFFAIRS, COLUMBIA UNIVERSITY MEDICAL CENTER, CONTACTED FEDERAL, STATE AND LOCAL LEGISLATORS AND THEIR POLICY STAFFS ON HIGHER EDUCATION ISSUES, HEALTH SCIENCES ISSUES AND OTHER ISSUES AFFECTING ACADEMIC MEDICAL CENTERS. THE AMOUNTS SHOWN ON LINE 1G REFLECT PAID STAFF AND MANAGEMENT ACTIVITIES. LINE 1H - RALLIES, DEMONSTRATIONS, SEMINARS, CONVENTIONS, SPEECHES, LECTURES OR ANY OTHER MEANS: N/A LINE 1I - OTHER ACTIVITIES: DURING THE REPORTING PERIOD, THE UNIVERSITY RETAINED OUTSIDE FIRMS FOR ADVOCACY AT THE FEDERAL, STATE AND LOCAL LEVELS. THE AMOUNTS SHOWN ON LINE 1I INCLUDE AMOUNTS PAID TO SUCH OUTSIDE FIRMS FOR ALL ACTIVITIES CONDUCTED BY SUCH FIRMS, INCLUDING CERTAIN OF THE ACTIVITIES DESCRIBED ABOVE AND GENERAL ADVISORY SERVICES TO THE UNIVERSITY IN CONNECTION WITH ITS LOBBYING ACTIVITIES.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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 ......... 6  
2 Aggregate contributions to (during year) ...    
3 Aggregate grants from (during year) ..... 68,000  
4 Aggregate value at end of year ........ 28,885,929  
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 .... 7,654,152,000 7,789,579,000 6,516,512,000 5,892,798,000 7,345,226,000
b Contributions ........ 165,932,000 183,419,000 202,175,000 159,335,000 159,922,000
c Net investment earnings, gains, and losses 871,686,632 161,239,000 1,503,257,000 946,146,321 -1,138,085,412
d Grants or scholarships ..... 81,338,000 84,742,000 71,786,000 72,771,000 81,367,000
e Other expenditures for facilities
and programs ........ 		374,447,000 363,392,000 329,582,000 387,564,000 365,444,000
f Administrative expenses .... 38,105,632 31,951,000 30,998,000 21,432,321 27,453,588
g End of year balance ...... 8,197,880,000 7,654,152,000 7,789,578,000 6,516,512,000 5,892,798,000
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet39.000 %
b
Permanent endowment SchDMd Bullet61.000 %
c
Temporarily restricted endowment SchDMd Bullet  
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 .................   437,927,000 437,927,000
b Buildings ................   4,372,581,271 1,923,103,328 2,449,477,943
c Leasehold improvements ............        
d Equipment ................   382,137,000 203,560,000 178,577,000
e Other ................. 1,083,962,900   254,973,381 828,989,519
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 3,894,971,462
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) GLOBAL EQUITIES 		506,154,526 F

(B) ABSOLUTE RETURN STRATEGIES 		1,401,451,610 F

(C) PRIVATE EQUITY 		1,750,449,028 F

(D) REAL ESTATE ASSETS 		1,420,324,572 F

(E) FIXED INCOME 		246,794 F




Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 5,078,626,530
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
LIABILITY FOR SECURITIES PURCH 37,565,452
SECURITIES LOAN AGRMT PAYABLE 3,057,163
CAPITAL LEASE OBLIGATIONS 120,426,681
COND'L ASSET RETIREMENT OBLIGA 106,289,574
ACCRUED EMPLOYEE BENEFIT LIAB. 196,025,511
FEDERAL STUDENT LOAN FUNDS 79,603,006
ACTUARIAL LIAB- SPLIT INT AGRM 44,409,291
OTHER LONG TERM LIABILITIES 435,522,355

Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 1,022,899,033
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
DETAIL OF UNIVERSITY COLLECTIONS/TEXT OF AUDIT FOOTNOTE SCHEDULE D, PART III, LINES 1A, 2A & 4 COLLECTIONS AT THE UNIVERSITY INCLUDE WORKS OF ART, LITERARY WORKS, HISTORICAL TREASURES, AND ARTIFACTS THAT ARE MAINTAINED IN THE UNIVERSITY'S GALLERIES, LIBRARIES, AND BUILDINGS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE AND, THEREFORE, ARE NOT RECOGNIZED AS ASSETS ON THE CONSOLIDATED BALANCE SHEET. COSTS ASSOCIATED WITH PURCHASING ADDITIONS AND MAINTAINING THESE COLLECTIONS ARE RECORDED AS OPERATING EXPENSES IN THE PERIOD IN WHICH THE ITEMS ARE ACQUIRED.
INTENDED USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 COLUMBIA UNIVERSITY'S ENDOWMENT FUNDS SUPPORT A RANGE OF PURPOSES IN ACCORDANCE WITH THE UNIVERSITY'S MISSION, INCLUDING: FINANCIAL AID; FACULTY SALARIES AND SUPPORT; RESEARCH; CAPITAL PROJECTS; GENERAL SUPPORT OF THE UNIVERSITY, SCHOOLS, DEPARTMENTS, INSTITUTES AND CENTERS.
PART X, LINE 2 (FIN 48)   THE UNIVERSITY BELIEVES THAT ITS TAX POSITIONS AS THEY RELATE TO THE IMPACT ON THE FINANCIAL STATEMENTS OF FIN 48 ARE HIGHLY CERTAIN.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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
SCHEDULE E, LINE 3   COLUMBIA UNIVERSITY CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM ACROSS THE NATION AND THE WORLD. ITS EDUCATIONAL PROGRAMS SEEK A BROAD CROSS-SECTION OF STUDENTS FROM THE METROPOLITAN AREA. IT FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY OF ADMISSION AND INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARDS STUDENTS IN ALL SCHOOL AND PROGRAM BULLETINS. IT ALSO REFERS TO THIS POLICY IN ALL WRITTEN ADVERTISING. IT THEREFORE MEETS THE CRITERIA UNDER REV. PROC. 75-50, SECTION 4.03-2(B)FOR EXEMPTION FROM THE PUBLICITY REQUIREMENTS OF SECTION 4.03-1.
SCHEDULE E, LINE 6A   COLUMBIA UNIVERSITY RECEIVES FEDERAL, STATE AND LOCAL GOVERNMENTAL FUNDING THAT SUPPORTS ITS CORE INSTRUCTIONAL AND RESEARCH PROGRAMS.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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
ANTARCTICA   2 Program Services EDUC/RESEARCH/OUTREACH 1,467
Central America and the Caribbean   197 Program Services EDUC/RESEARCH/OUTREACH 1,317,265
Central America and the Caribbean     Grantmaking   321,958
Central America and the Caribbean     Fundraising   461
Central America and the Caribbean     Investments   3,620,697,798
East Asia and the Pacific 7 849 Program Services EDUC/RESEARCH/OUTREACH 8,401,949
East Asia and the Pacific     Grantmaking   2,829,213
East Asia and the Pacific     Fundraising   266,344
East Asia and the Pacific     Investments   454,327,584
Europe (Including Iceland and Greenland) 15 2,249 Program Services EDUC/RESEARCH/OUTREACH 14,337,603
Europe (Including Iceland and Greenland)     Grantmaking   6,700,166
Europe (Including Iceland and Greenland)     Fundraising   371,410
Europe (Including Iceland and Greenland)     Investments   579,461,379
Middle East and North Africa 3 267 Program Services EDUC/RESEARCH/OUTREACH 3,162,776
Middle East and North Africa     Grantmaking   1,044,426
Middle East and North Africa     Fundraising   43,609
North America   414 Program Services EDUC/RESEARCH/OUTREACH 1,080,086
North America     Grantmaking   4,289,707
North America     Fundraising   22,389
North America     Investments   28,224,187
Russia and the Newly Independent States 2 149 Program Services EDUC/RESEARCH/OUTREACH 1,490,965
Russia and the Newly Independent States     Grantmaking   177,844
Russia and the Newly Independent States     Fundraising   8,265
South America 4 331 Program Services EDUC/RESEARCH/OUTREACH 2,693,702
South America     Grantmaking   1,233,932
South America     Fundraising   164,013
South America     Investments   15,330
South Asia 5 308 Program Services EDUC/RESEARCH/OUTREACH 5,547,312
South Asia     Grantmaking   3,821,410
South Asia     Fundraising   73,696
Sub-Saharan Africa 36 1,703 Program Services EDUC/RESEARCH/OUTREACH 93,497,880
Sub-Saharan Africa     Grantmaking   21,872,316
Sub-Saharan Africa     Fundraising   33,124
Sub-Saharan Africa     Investments   70,214,924
3a Sub-total ..... 25 3,978 4,694,365,494
b Total from continuation sheets to Part I ... 47 2,491 233,380,996
c Totals (add lines 3a and 3b) 72 6,469 4,927,746,490
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)
Sub-Saharan Africa RESEARCH 412,383 CHECK/WIRE   N/A N/A
Sub-Saharan Africa RESEARCH 174,730 CHECK/WIRE   N/A N/A
Sub-Saharan Africa RESEARCH 75,927 CHECK/WIRE   N/A N/A
Sub-Saharan Africa RESEARCH 524,455 CHECK/WIRE   N/A N/A
South America Educ/Research 17,499 CHECK/WIRE   N/A N/A
Middle East and North Africa Educ/Research 640,519 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 52,148 CHECK/WIRE   N/A N/A
South Asia Educ/Research 18,523 CHECK/WIRE   N/A N/A
South America Educ/Research 82,139 CHECK/WIRE   N/A N/A
North America Educ/Research 11,100 CHECK/WIRE   N/A N/A
Europe Educ/Research 70,000 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research 57,462 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 76,961 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research 69,000 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 71,057 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 411,920 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 247,154 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 137,992 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 9,368 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 5,437 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research 22,880 CHECK/WIRE   N/A N/A
North America Educ/Research 60,153 CHECK/WIRE   N/A N/A
Europe Educ/Research 138,121 CHECK/WIRE   N/A N/A
South America DONATION 8,406 Wire Transfe   N/A N/A
Europe Tuition 15,067 Wire Transfe   N/A N/A
Central America and the Caribbean Educ/Research 59,502 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research 198,154 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 11,074 Wire Transfe   N/A N/A
East Asia and the Pacific Educ/Research 129,750 CHECK/WIRE   N/A N/A
Europe Educ/Research 200,991 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 90,000 CHECK/WIRE   N/A N/A
South Asia Educ/Research 2,598,756 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 1,274,536 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 110,821 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research 79,591 CHECK/WIRE   N/A N/A
South America Educ/Research 79,629 CHECK/WIRE   N/A N/A
South Asia Educ/Research 60,044 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 100,000 CHECK/WIRE   N/A N/A
Europe Educ/Research 60,675 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 254,176 CHECK/WIRE   N/A N/A
Europe Educ/Research 96,040 CHECK/WIRE   N/A N/A
Europe Educ/Research 32,400 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research 69,068 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 84,000 CHECK/WIRE   N/A N/A
North America Educ/Research 15,334 CHECK/WIRE   N/A N/A
North America Educ/Research 8,874 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 100,494 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 6,599 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 427,809 CHECK/WIRE   N/A N/A
South Asia Educ/Research 27,794 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 103,677 CHECK/WIRE   N/A N/A
South Asia Educ/Research 41,592 CHECK/WIRE   N/A N/A
Europe Educ/Research 200,567 CHECK/WIRE   N/A N/A
Europe Educ/Research 2,078,927 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 106,945 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 402,258 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 104,459 CHECK/WIRE   N/A N/A
South Asia Educ/Research 12,683 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 570,196 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research 145,304 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 56,738 CHECK/WIRE   N/A N/A
Russia and the Newly Independent States Educ/Research 54,355 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 12,389 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 26,670 CHECK/WIRE   N/A N/A
South Asia Educ/Research 44,740 CHECK/WIRE   N/A N/A
North America Educ/Research 1,029,218 CHECK/WIRE   N/A N/A
North America Educ/Research 5,100 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 43,096 CHECK/WIRE   N/A N/A
Europe Educ/Research 65,854 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 855,736 CHECK/WIRE   N/A N/A
South Asia Educ/Research 30,393 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 16,389 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 85,252 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research RELATED SPORTS EQUIPMENT AND REFRESHMENTS 50,000 CHECK/WIRE   N/A N/A
South America Educ/Research 190,575 CHECK/WIRE   N/A N/A
Europe Educ/Research 10,000 CHECK/WIRE   N/A N/A
Europe Educ/Research 13,776 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 6,189 CHECK/WIRE   N/A N/A
Europe Educ/Research 32,818 CHECK/WIRE   N/A N/A
North America Educ/Research 78,592 CHECK/WIRE   N/A N/A
Europe Educ/Research 10,000 CHECK/WIRE   N/A N/A
Europe Educ/Research 39,099 CHECK/WIRE   N/A N/A
Europe Educ/Research 298,726 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 151,069 CHECK/WIRE   N/A N/A
South Asia Educ/Research 17,749 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 247,955 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research 55,380 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 402,894 CHECK/WIRE   N/A N/A
Europe Educ/Research 276,024 CHECK/WIRE   N/A N/A
Europe Educ/Research 63,561 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 44,112 CHECK/WIRE   N/A N/A
North America Educ/Research 42,443 CHECK/WIRE   N/A N/A
Europe Educ/Research 22,768 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 99,000 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 438,720 CHECK/WIRE   N/A N/A
Europe Educ/Research 38,763 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 569,332 CHECK/WIRE   N/A N/A
East Asia and the Pacific Educ/Research 84,548 CHECK/WIRE   N/A N/A
Central America and the Caribbean General support 10,348 Check   N/A N/A
Sub-Saharan Africa Educ/Research 422,572 CHECK/WIRE   N/A N/A
Europe Educ/Research 5,219 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 69,456 CHECK/WIRE   N/A N/A
Sub-Saharan Africa Educ/Research 9,817 CHECK/WIRE   N/A N/A
Sub-Saharan Africa EDUC/RESEARCH 8,725 CHECK/WIRE   N/A N/A
Sub-Saharan Africa EDUC/RESEARCH 73,626 CHECK/WIRE   N/A N/A
Sub-Saharan Africa EDUC/RESEARCH 11,181,985 CHECK/WIRE   N/A N/A
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
106
3
Enter total number of other organizations or entities .......................MediumBullet
 
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)
General Support Central America and the Caribbean 14 9,995 CHECK   N/A N/A
Internship Award Central America and the Caribbean 1 4,600 WIRE TRANSFE   N/A N/A
Scholarship Central America and the Caribbean 1 30,560 CHECK   N/A N/A
Scholarship Central America and the Caribbean 3 176,190 WIRE TRANSFE   N/A N/A
Stipend Central America and the Caribbean 4 4,000 DIRECT DEPOS   N/A N/A
Travel Central America and the Caribbean 20 26,763 CHECK   N/A N/A
General Support East Asia and the Pacific 1 5,898 CHECK   N/A N/A
General Support East Asia and the Pacific 4 52,758 WIRE TRANSFE   N/A N/A
Honorarium East Asia and the Pacific 19 16,975 CHECK   N/A N/A
Honorarium East Asia and the Pacific 2 3,500 WIRE TRANSFE   N/A N/A
Internship Award East Asia and the Pacific 7 15,300 WIRE TRANSFE   N/A N/A
PHD Grant East Asia and the Pacific 1 2,500 CHECK   N/A N/A
Prize East Asia and the Pacific 12 16,000 CHECK   N/A N/A
Prize East Asia and the Pacific 4 4,298 WIRE TRANSFE   N/A N/A
Research East Asia and the Pacific 44 123,796 CHECK   N/A N/A
Scholarship East Asia and the Pacific 14 306,605 CHECK   N/A N/A
Scholarship East Asia and the Pacific 15 803,988 WIRE TRANSFE   N/A N/A
Stipend East Asia and the Pacific 28 34,434 CHECK   N/A N/A
Stipend East Asia and the Pacific 115 336,975 DIRECT DEPOS   N/A N/A
Travel East Asia and the Pacific 25 142,799 CHECK   N/A N/A
Travel East Asia and the Pacific 2 2,250 DIRECT DEPOS   N/A N/A
General Support Europe 7 6,250 CHECK   N/A N/A
General Support Europe 3 49,615 WIRE TRANSFE   N/A N/A
Honorarium Europe 56 61,230 CHECK   N/A N/A
Honorarium Europe 10 7,743 WIRE TRANSFE   N/A N/A
Internship Award Europe 8 19,600 WIRE TRANSFE   N/A N/A
PHD Grant Europe 2 2,260 CHECK   N/A N/A
PHD Grant Europe 12 20,656 WIRE TRANSFE   N/A N/A
Prize Europe 14 38,851 CHECK   N/A N/A
Prize Europe 1 270,000 WIRE TRANSFE   N/A N/A
Research Europe 5 14,036 CHECK   N/A N/A
Research Europe 1 4,660 WIRE TRANSFE   N/A N/A
Scholarship Europe 21 520,160 CHECK   N/A N/A
Scholarship Europe 22 1,185,860 WIRE TRANSFE   N/A N/A
Stipend Europe 21 78,498 CHECK   N/A N/A
Stipend Europe 161 382,650 DIRECT DEPOS   N/A N/A
Stipend Europe 7 14,000 WIRE TRANSFE   N/A N/A
Travel Europe 72 233,829 CHECK   N/A N/A
Travel Europe 2 4,874 WIRE TRANSFE   N/A N/A
Travel Europe 1 16,000 DIRECT DEPOS   N/A N/A
General Support Middle East and North Africa 1 500 CHECK   N/A N/A
Honorarium Middle East and North Africa 14 21,000 CHECK   N/A N/A
Internship Award Middle East and North Africa 3 1,800 WIRE TRANSFE   N/A N/A
Prize Middle East and North Africa 4 2,600 CHECK   N/A N/A
Prize Middle East and North Africa 1 2,650 WIRE TRANSFE   N/A N/A
Research Middle East and North Africa 25 25,221 CHECK   N/A N/A
Scholarship Middle East and North Africa 4 127,332 CHECK   N/A N/A
Scholarship Middle East and North Africa 2 91,038 WIRE TRANSFE   N/A N/A
Stipend Middle East and North Africa 11 18,696 CHECK   N/A N/A
Stipend Middle East and North Africa 22 37,670 DIRECT DEPOS   N/A N/A
Stipend Middle East and North Africa 13 25,200 WIRE TRANSFE   N/A N/A
Travel Middle East and North Africa 5 50,200 CHECK   N/A N/A
General Support North America 15 4,578 CHECK   N/A N/A
General Support North America 1 14,690 WIRE TRANSFE   N/A N/A
Honorarium North America 9 5,729 CHECK   N/A N/A
Honorarium North America 1 1,000 WIRE TRANSFE   N/A N/A
Internship Award North America 9 9,800 WIRE TRANSFE   N/A N/A
Prize North America 8 47,000 CHECK   N/A N/A
Prize North America 1 270,000 WIRE TRANSFE   N/A N/A
Scholarship North America 10 190,951 CHECK   N/A N/A
Scholarship North America 51 2,350,603 WIRE TRANSFE   N/A N/A
Stipend North America 1 1,200 CHECK   N/A N/A
Stipend North America 10 81,457 DIRECT DEPOS   N/A N/A
Travel North America 23 46,223 CHECK   N/A N/A
Travel North America 2 15,663 DIRECT DEPOS   N/A N/A
Honorarium Russia and the Newly Independent States 1 500 CHECK   N/A N/A
Internship Award Russia and the Newly Independent States 1 2,900 WIRE TRANSFE   N/A N/A
Prize Russia and the Newly Independent States 1 630 CHECK   N/A N/A
Research Russia and the Newly Independent States 1 1,000 CHECK   N/A N/A
Scholarship Russia and the Newly Independent States 1 58,329 WIRE TRANSFE   N/A N/A
Stipend Russia and the Newly Independent States 8 60,130 DIRECT DEPOS   N/A N/A
Honorarium South America 2 2,286 CHECK   N/A N/A
Internship Award South America 4 13,670 WIRE TRANSFE   N/A N/A
Internship Award South America 0 11,269 DIRECT DEPOS   N/A N/A
PHD Grant South America 1 1,500 CHECK   N/A N/A
Prize South America 3 10,500 CHECK   N/A N/A
Research South America 4 8,571 CHECK   N/A N/A
Scholarship South America 5 193,940 CHECK   N/A N/A
Scholarship South America 7 288,270 WIRE TRANSFE   N/A N/A
Stipend South America 73 207,698 DIRECT DEPOS   N/A N/A
Travel South America 70 114,504 CHECK   N/A N/A
Travel South America 1 1,200 WIRE TRANSFE   N/A N/A
Travel South America 1 2,275 DIRECT DEPOS   N/A N/A
General Support South Asia 5 41,383 CHECK   N/A N/A
General Support South Asia 1 9,143 WIRE TRANSFE   N/A N/A
Honorarium South Asia 2 800 CHECK   N/A N/A
Internship Award South Asia 3 7,500 WIRE TRANSFE   N/A N/A
Prize South Asia 1 4,795 CHECK   N/A N/A
Research South Asia 2 2,850 CHECK   N/A N/A
Scholarship South Asia 14 386,987 CHECK   N/A N/A
Scholarship South Asia 7 352,478 WIRE TRANSFE   N/A N/A
Stipend South Asia 9 25,689 CHECK   N/A N/A
Stipend South Asia 54 135,110 DIRECT DEPOS   N/A N/A
Travel South Asia 1 2,400 DIRECT DEPOS   N/A N/A
General Support Sub-Saharan Africa 2 78,386 WIRE TRANSFE   N/A N/A
Honorarium Sub-Saharan Africa 4 1,800 CHECK   N/A N/A
Internship Award Sub-Saharan Africa 6 15,500 WIRE TRANSFE   N/A N/A
PHD Grant Sub-Saharan Africa 2 5,000 CHECK   N/A N/A
Prize Sub-Saharan Africa 1 5,000 CHECK   N/A N/A
Research Sub-Saharan Africa 2 3,956 CHECK   N/A N/A
Scholarship Sub-Saharan Africa 5 161,182 CHECK   N/A N/A
Scholarship Sub-Saharan Africa 14 742,230 WIRE TRANSFE   N/A N/A
Stipend Sub-Saharan Africa 6 9,375 CHECK   N/A N/A
Stipend Sub-Saharan Africa 21 80,090 DIRECT DEPOS   N/A N/A
Travel Sub-Saharan Africa 2 1,500 CHECK   N/A N/A
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
SUPPLEMENTAL INFORMATION SCHEDULE F, PART I, LINE 2 ORGANIZATION'S PROCEDURES FOR MONITORING GRANT FUNDS THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF ALL SPONSORED PROJECT GRANT FUNDING. THIS POLICY IS CONTAINED IN THE "SPONSORED PROJECTS HANDBOOK". THE POLICY STATES THAT THE PRIMARY OBLIGATION FOR THE DAY-TO-DAY MANAGEMENT OF SPONSORED PROJECTS AND INSURING COMPLIANCE WITH FEDERAL AND OTHER SPONSOR REGULATIONS IS THE RESPONSIBILITY OF THE PRINCIPAL INVESTIGATOR SUPPORTED, AS NECESSARY, BY HIS OR HER ADMINISTRATIVE STAFF. ADDITIONALLY, THE POLICY SPECIFIES THE FOLLOWING MONITORING PROCEDURES: - MONTHLY ACCOUNT RECONCILIATION - REVIEW OF SALARY AND BENEFIT CHARGES - REVIEW OF VENDOR INVOICES - REVIEW OF CHARGES INITIATED BY SERVICE OR RECHARGE CENTERS - REVIEW OF FACILITIES AND ADMINISTRATIVE CHARGES - MONITORING OF SUB-AWARDS THROUGH REVIEW OF CHARGES AND TECHNICAL PERFORMANCE REPORTS, CONDUCTING PERIODIC ONSITE VISITS, AND INITIATING AUDITS/REVIEWS WHEN NECESSARY EXPENDITURES RELATED TO FOREIGN ACTIVITY EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. EXPENDITURES RELATED TO FOREIGN ACTIVITY ARE GENERATED FROM A NUMBER OF SCHOOLS AND CENTERS AS WELL AS THROUGH CERTAIN CENTRAL ADMINISTRATIVE ACTIVITY. MOST OF THE ACTIVITY RELATES TO U.S. GOVERNMENT FUNDED PROGRAM SERVICES. OTHER ACTIVITY INCLUDES FACULTY AND STAFF TRAVEL FOR EDUCATIONAL, RESEARCH, FUNDRAISING AND OTHER PROGRAM SERVICES. NOT ALL OF THE OVERSEAS EXPENDITURES ARE SEPARATELY TRACKED AS FOREIGN ACTIVITY. THE AMOUNTS REPRESENTED ON SCHEDULE F REPRESENT THE UNIVERSITY'S GOOD FAITH EFFORTS TO CAPTURE FOREIGN ACTIVITY. -------------------------------------------------------------- FORM 990, SCHEDULE F, PART I THE AMOUNTS LISTED ON SCHEDULE F, PART I AS TOTAL EXPENDITURES FOR INVESTMENTS FOR CERTAIN REGIONS INCLUDES BOTH THE BOOK VALUE OF INVESTMENTS AND SEPARATELY TRACKED INVESTMENT EXPENDITURES IN THAT REGION. THE BREAKOUT OF THE AMOUNTS ARE AS FOLLOWS: 1) CENTRAL AMERICA AND THE CARIBBEAN - BOOK VALUE $3,620,697,798 2) EAST ASIA AND THE PACIFIC - BOOK VALUE $454,179,859 AND EXPENDITURES $147,725 3) EUROPE - BOOK VALUE $579,319,294 AND EXPENDITURES $142,085 4) NORTH AMERICA - BOOK VALUE $28,220,265 AND EXPENDITURES $3,922 5) SOUTH AMERICA - EXPENDITURES $15,330 6) SUB-SAHARAN AFRICA - BOOK VALUE $70,214,924 -----------------------------------------------------------
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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 AND ASSOCIATES
PO BOX 3018
 
CEDAR RAPIDS, IA52406 		CONSULTING   No 1,644,883 488,317 1,156,566
MARILYN SILVERSTEIN
24 MERRIL ROAD
 
WATERTOWN, MA02472 		CONSULTING   No 17,316,000 79,249 17,236,751
KIMBA INC
1050 E 11TH ST
 
AUSTIN, TX78702 		CONSULTING   No 6,855,455 60,000 6,795,455
STORY WORLDWIDE LLC
16017 COLLECTIONS CENTER DR
 
CHICAGO, IL60693 		CONSULTING   No 6,855,455 404,429 6,451,026
ANDREA RETZY COMMUNICATIONS
215 WEST 84TH
 
NEW YORK, NY10024 		CONSULTING   No 858,651 9,485 849,166
             
             
             
             
             
Total .................right arrow 33,530,444 1,041,480 32,488,964
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.
NY
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

ANNUAL DINNER
(event type) 		(b) Event #2

AWARDS DINNER
(event type) 		(c) Other events

43
(total number) 		(d) Total events
(add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 1,345,110 580,179 4,082,563 6,007,852
2 Less: Contributions . . 1,186,710 447,279 3,583,468 5,217,457
3 Gross income (line 1
minus line 2) . . . 		158,400 132,900 499,095 790,395
VerticalDirectExpenses 4 Cash prizes . . .        
5 Noncash prizes . .   2,800   2,800
6 Rent/facility costs . .   44,737   44,737
7 Food and beverages . 297,584 140,231   437,815
8 Entertainment . . .        
9 Other direct expenses . 30,462 67,041 499,095 596,598
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 1,081,950
11 Net income summary. Combine line 3, column (d), and line 10. .......... right arrow -291,555
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number
13-5598093
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) AETHLABS
2180 FOLSOM STREET
3RD FLOOR
SAN FRANCISCO,CA94110 		45-2532548 501(C)(3) 80,599   N/A N/A RESEARCH
(2) ALBANY MEDICAL CENTERCOLLEGE
SPONSORED PROGRAMS MC-107
47 NEW SCOTLAND AVE
ALBANY,NY12208 		14-1338310 501(C)(3) 534,351   N/A N/A RESEARCH
(3) ALIANZA DOMINICANA
2410 AMSTERDAM AVE
NEW YORK,NY10033 		13-3402057 501(C)(3) 83,448   N/A N/A RESEARCH
(4) AMERICAN MUSEUM OF NATURAL HISTORY
79TH ST AT CENTRAL PARK WEST
NY,NY10024 		13-6162659 501(C)(3) 71,239   N/A N/A RESEARCH
(5) AMERICAN UNIVERSITY
4400 MASSACHUSETTS AVE
WASHINGTON,DC20016 		53-0196549 501(C)(3) 12,676   N/A N/A RESEARCH
(6) ARC XVI FORT WASHINGTON INC SENIOR
4111 BROADWAY
NEW YORK,NY10033 		13-2745426 501(C)(3) 33,419   N/A N/A RESEARCH
(7) ARIZONA STATE UNIVERSITY
PO BOX 876011 TEMPLE AZ 85287
TEMPE,AZ852876011 		86-0196696 501(C)(3) 136,539   N/A N/A RESEARCH
(8) ARTSTOR
151 EAST 61ST STREET
NEW YORK,NY10065 		30-0152767 501(C)(3) 252,137   N/A N/A RESEARCH
(9) ATMOSPHERIC AND ENVIRONMENTAL RESEARCH
PO BOX 5175
NEW YORK,NY100875175 		04-2608324 501(C)(3) 179,337   N/A N/A RESEARCH
(10) BARNARD COLLEGE
HOUSING OFF
110 SULZBERGER HALL 3009 BROADWAY
NEW YORK,NY10027 		13-1628149 501(C)(3) 219,584   N/A N/A RESEARCH
(11) BATTELLE
ATTN CASHIER
PO BOX 84262
SEATTLE,WA981245562 		31-4379427 501(C)(3) 34,363   N/A N/A RESEARCH
(12) BAYLOR COLLEGE OF MEDICINE
ONE BAYLOR PLAZA MS 225
HOUSTON,TX77030 		74-1613878 501(C)(3) 639,803   N/A N/A RESEARCH
(13) BERMUDA INSTITUTE OF OCEAN SCIENCES
PO BOX 604
ALEXANDRIA,VA22313 		06-0706038 501(C)(3) 124,411   N/A N/A RESEARCH
(14) BETH ISRAEL DEACONESS MEDICAL CENTER
330 BROOKLINE AVENUE
BOSTON,MA02215 		04-2103881 501(C)(3) 129,032   N/A N/A RESEARCH
(15) BOSTON UNIVERSITY
ACCOUNTS RECEIVABLE
4TH FLOOR 881 COMMONWEALTH AVE
BOSTON,MA02215 		04-2103547 501(C)(3) 1,037,994   N/A N/A RESEARCH
(16) BOWDOIN COLLEGE
KERRI MORTHLAND
5400 COLLEGE STATION
BRUNSWICK,ME04011 		01-0215213 501(C)(3) 88,115   N/A N/A RESEARCH
(17) BRANDEIS UNIVERSITY
PO BOX 549110
WALTHAM,MA024549110 		04-2103552 501(C)(3) 351,306   N/A N/A RESEARCH
(18) BROADWAY HOUSING COMMUNITIES
583 Riverside Dr
NEW YORK,NY10031 		13-3212867 501(C)(3) 5,500   N/A N/A RESEARCH
(19) BRONX LEBANON HOSPITAL CENTER
1276 FULTON AVE
BRONX,NY10456 		13-1974191 501(C)(3) 491,524   N/A N/A RESEARCH
(20) CALIFORNIA INSTITUTE OF TECHNOLOGY
TREASURY SERVICES
MAIL CODE 117-15 1200 E CALIFORNIA
PASADENA,CA91125 		95-1643307 501(C)(3) 112,355   N/A N/A RESEARCH
(21) CALLEN-LORDE COMMUNITY HEALTH CENTER
356 WEST 18TH STREET
NEW YORK,NY10011 		13-3409680 501(C)(3) 62,110   N/A N/A RESEARCH
(22) CANCER PREVENTION INSTITUTE OF
2201 WALNUT AVENUE
SUITE 300
FREEMONT,CA945382334 		23-7427232 501(C)(3) 414,649   N/A N/A RESEARCH
(23) CARNEGIE-MELLON UNIVERSITY
P O BOX 371032M
PITTSBURGH,PA152507032 		25-0969449 501(C)(3) 10,901   N/A N/A RESEARCH
(24) CAROLINA BEHAVIORAL CARE
725 BROAD STREET
DURHAM,NC27705 		56-1780933 501(C)(3) 83,780   N/A N/A RESEARCH
(25) CASE WESTERN RESERVE UNIVERSITY
CWRU NPDPSC
PO BOX 92910
CLEVELAND,OH44194 		34-1018992 501(C)(3) 17,464   N/A N/A RESEARCH
(26) CATHOLIC CHARITIES COMMITY SERVICES
1011 FIRST AVENUE
6TH FLOOR
NEW YORK,NY10022 		13-5562185 501(C)(3) 93,512   N/A N/A RESEARCH
(27) CENTER FOR CHILDREN'S INITIATIVES INC
322 EIGHTH AVE 4TH FL NEW YORK N
NEW YORK,NY10001 		13-3039812 501(C)(3) 12,000   N/A N/A RESEARCH
(28) CENTRAL TEXAS VETERANS HEALTH CARE
CTVRF
1901 SOUTH 1ST 151N
TEMPLE,TX76504 		74-2623309 501(C)(3) 75,630   N/A N/A RESEARCH
(29) CHILDFUND
2821 EMERYWOOD PKWY RICHMOND VA 232
RICHMOND,VA232616484 		54-0536100 501(C)(3) 82,988   N/A N/A RESEARCH
(30) CHILDRENS HEALTH FUND
215 West 125th St
SUITE 301
NEW YORK,NY10027 		13-3468427 501(C)(3) 180,214   N/A N/A RESEARCH
(31) CHILDRENS HOSPITAL BOSTON
300 LONGWOOD AVE
RES FINANCE DEPT
BOSTON,MA02115 		04-2774441 501(C)(3) 51,378   N/A N/A RESEARCH
(32) CHILDRENS HOSPITAL MEDICAL CENTER
3333 BURNET AVENUE CINCINNATI OH 45
CINCINNATI,OH452293039 		31-0833936 501(C)(3) 173,292   N/A N/A RESEARCH
(33) CHILDRENS HOSPITAL OF LOS ANGELES
4650 SUNSET BLVD
LOS ANGELES,CA90027 		95-1690977 501(C)(3) 264,375   N/A N/A RESEARCH
(34) CHRISTIANA CARE HEALTH SYSTEM
200 HYGEIA DR
SUITE 2400
NEWARK,DE19713 		51-0103684 501(C)(3) 1,405,221   N/A N/A RESEARCH
(35) CICATELLI ASSOCIATES INC
505 8TH AVE
16TH FLOOR
NY,NY100186505 		13-3020576 501(C)(3) 398,561   N/A N/A RESEARCH
(36) CLEVELAND VA MEDICAL RESEARCH AND
VAMC 151C W 10701 E BLVD CLEVELAND
CLEVELAND,OH44106 		34-1710663 501(C)(3) 62,820   N/A N/A RESEARCH
(37) CLIMATE CENTRAL
1 PALMER SQUARE
SUITE 330
PRINCETON,NJ08542 		26-1797336 501(C)(3) 36,260   N/A N/A RESEARCH
(38) CLINICAL DIRECTORS NETWORK INC
5 WEST 37TH STREET
10TH FL
NEW YORK,NY10018 		14-1717344 501(C)(3) 360,071   N/A N/A RESEARCH
(39) COLORADO STATE UNIVERSITY
2002 CAMPUS DELIVERY
FORT COLLINS,CO80523 		84-6000545 501(C)(3) 19,255   N/A N/A RESEARCH
(40) COMMUNITY AIDS RESOURCE INC
3510 BISCAYNE BLVD
SUITE 300
MIAMI,FL33137 		59-2564198 501(C)(3) 5,494   N/A N/A RESEARCH
(41) COMMUNITY LEAGUE OF THE HEIGHTS INC
500 W 159TH STREET
NY,NY10032 		13-2564241 501(C)(3) 23,642   N/A N/A RESEARCH
(42) COOK FOR YOUR LIFE
32 BROADWAY
SUITE 1101
NEW YORK,NY10004 		26-0525634 501(C)(3) 11,106   N/A N/A RESEARCH
(43) COOPER HEALTH SYSTEMCOOPER UNIVERSITY
3 COOPER PLAZA SUITE 220
CAMDEN,NJ08103 		21-0634462 501(C)(3) 51,727   N/A N/A RESEARCH
(44) CORNELL UNIVERSITY
501 OLIN LIBRARY
ITHACA,NY14853 		15-0532082 501(C)(3) 1,245,724   N/A N/A RESEARCH
(45) CORNELL UNIVERSITY MEDICAL COLLEGE
575 LEXINGTON AVE 9TH FL NEW YORK N
NEW YORK,NY10022 		13-1623978 501(C)(3) 1,299,719   N/A N/A RESEARCH
(46) CREIGHTON UNIVERSITY
2500 CALIFORNIA PLAZA
CONTROLLER S OFFICE
OMAHA,NE681780410 		47-0376583 501(C)(3) 99,598   N/A N/A RESEARCH
(47) DEPARTMENTS OF NYS STATE
NYC DEPT OF HEALTH
AND MENTAL HYGIENE GOTHAM CENTER
LIC,NY111014132 		13-6400434 501(C)(3) 188,621   N/A N/A RESEARCH
(48) DOMINICAN WOMENS DEVELOPMENT CENTER
519 WEST 189TH STREET
NY,NY10040 		13-3593885 501(C)(3) 5,750   N/A N/A RESEARCH
(49) DREXEL UNIV
COMMERCE BANK
P O BOX 95000-1090
PHILADELPHIA,PA191951090 		23-1352630 501(C)(3) 76,832   N/A N/A RESEARCH
(50) DREXEL UNIVERSITY COLLEGE OF MEDICINE
p o box 95000-1010
PHILADELPHIA,PA191951010 		23-2979433 501(C)(3) 248,733   N/A N/A RESEARCH
(51) DUKE UNIVERSITY
PO BOX 602651
CHARLOTTE,NC282602651 		56-0532129 501(C)(3) 351,684   N/A N/A RESEARCH
(52) EARTH IMAGES FOUNDATION INC
470 CAVOUR STREET
OAKLAND,CA94618 		07-7032389 501(C)(3) 37,019   N/A N/A RESEARCH
(53) ECO OPP COMM OF NASSAU COUNTY
OF NASSAU COUNTY INC
134 JACKSON STREET
HEMPSTEAD,NY11550 		11-2195458 501(C)(3) 214,212   N/A N/A RESEARCH
(54) EMORY UNIVERSITY
101 WOODRUFF CIRCLE
SUITE 6215
ATLANTA,GA30322 		58-0566256 501(C)(3) 802,286   N/A N/A RESEARCH
(55) EXAMINATION MANAGEMENT SERVICES INC
POBOX 202669
DALLAS,TX753202669 		75-1444139 501(C)(3) 123,543   N/A N/A RESEARCH
(56) FAMILY HEALTH INTERNATIONAL
2224 E NC HIGHWAY 54
DURHAM,NC27713 		23-7413005 501(C)(3) 169,658   N/A N/A RESEARCH
(57) FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH
5 DAKOTA DR SUITE 307 LAKE SUCCESS
LAKE SUCCESS,NY11042 		11-2673595 501(C)(3) 179,723   N/A N/A RESEARCH
(58) FORDHAM UNIVERSITY
411 E FORDHAM ROAD
BRONX,NY10458 		13-1740451 501(C)(3) 29,032   N/A N/A RESEARCH
(59) FOX CHASE CANCER CENTER
604 COTTMAN AVENUE
CHELTENHAM,PA19012 		23-2003072 501(C)(3) 119,696   N/A N/A RESEARCH
(60) FRED HUTCHINSON CANCER RESEARCH CENTER
CANCER RES CTR
1100 FAIRVIEW AVE N PO BOX 19024
SEATTLE,WA981091024 		23-7156071 501(C)(3) 362,612   N/A N/A RESEARCH
(61) FUNDACONCIENCIA INC
3785 NW 62 Ave
214
DORAL,FL33166 		27-0824212 501(C)(3) 185,996   N/A N/A RESEARCH
(62) FUTURES INSTITUTE INC
41-A NEW LONDON TPKE GLASTONBURY CT
GLASTONBURY,CT06033 		20-4816286 501(C)(3) 21,262   N/A N/A RESEARCH
(63) GARDEN STATE INFECTIOUS DISEASE
709 HADDONFIELD-BERLIN RD VOORHEES
VOORHEES,NJ08043 		22-3310855 501(C)(3) 173,303   N/A N/A RESEARCH
(64) GEISINGER HEALTH SYSTEM
100 NORTH ACADEMY AVENUE
ATTN YVONNE KNIGHT WEIS CENTER FOR
DANVILLE,PA17822 		23-6291113 501(C)(3) 54,236   N/A N/A RESEARCH
(65) GEORGE MASON UNIVERSITY
4400 UNIVERSITY DRIVE
FAIRFAX,VA22030 		54-0836354 501(C)(3) 918,216   N/A N/A RESEARCH
(66) GEORGE WASHINGTON UNIVERSITY
44983 KNOLL SQUARE
ASHBURN,VA201472692 		53-0196584 501(C)(3) 297,860   N/A N/A RESEARCH
(67) GEORGETOWN UNIVERSITY
PO BOX 571164
WASHINGTON,DC200571164 		53-0196603 501(C)(3) 399,714   N/A N/A RESEARCH
(68) GEORGIA INSTITUTE OF TECHNOLOGY
PO BOX 100117
ATLANTA,GA30384 		58-0603146 501(C)(3) 126,852   N/A N/A RESEARCH
(69) GREAT LAKES MEDICAL RESEARCH LLC
138 EAST MAIN STREET
WESTFIELD,NY14787 		16-1602698 501(C)(3) 51,472   N/A N/A RESEARCH
(70) HARBOR-UCLA RESEARCH & ED INST
PO BOX 60637 LOS ANGELES CA 90060
LOS ANGELES,CA90060 		95-2138184 501(C)(3) 27,297   N/A N/A RESEARCH
(71) HARLEM UNITED COMMUNITY AIDS CENTER
123-125 WEST 124TH STREET NEW YORK
NEW YORK,NY10027 		13-3461695 501(C)(3) 224,200   N/A N/A RESEARCH
(72) HARVARD UNIVERSITY
PO BOX 415649
BOSTON,MA022415649 		04-2103580 501(C)(3) 651,809   N/A N/A RESEARCH
(73) HASTINGS CTR
21 MALCOLM GORDON RD GARRISON NY 10
GARRISON,NY105245555 		13-2662222 501(C)(3) 56,309   N/A N/A RESEARCH
(74) HEALTH AND CLIMATE FOUNDATION
1425 K St NW
SUITE 350
WASHINGTON,DC20005 		26-1671380 501(C)(3) 16,285   N/A N/A RESEARCH
(75) HEALTH RESEARCH INCORPORATED
PO BOX 2833 BUFFALO NY 14240-2833
BUFFALO,NY142402833 		14-1402155 501(C)(3) 433,632   N/A N/A RESEARCH
(76) HEBREW HOME FOR THE AGED AT RIVERDALE
5901 PALISADE AVE
RIVERDALE,NY10471 		13-1739971 501(C)(3) 407,670   N/A N/A RESEARCH
(77) HEKTOEN INSTITUTE OF MEDICINE
2240 W OGDEN AVENUE
SECOND FLOOR
CHICAGO,IL606129982 		36-2244897 501(C)(3) 25,264   N/A N/A RESEARCH
(78) HENRY JACKSON FOUNDATION
C/O MS LIZ CHIPCHOSKY
EDU500-100-10064-00-101232 1401
ROCKVILLE,MD20852 		52-1317896 501(C)(3) 45,655   N/A N/A RESEARCH
(79) HOSPITAL FOR SPECIAL SURGERY
MOTION ANALYSIS LAB
535 EAST 70TH STREET
NEW YORK,NY10021 		13-1624135 501(C)(3) 196,298   N/A N/A RESEARCH
(80) ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI
ONE GUSTAVE L LEVY PLACE
BOX 3500 ATTN JOHN A PERSAUD
NEW YORK,NY10029 		13-6171197 501(C)(3) 2,704,151   N/A N/A RESEARCH
(81) INDIANA UNIVERSITY
PO BOX 66057
OFFICE OF RESEARCH ADMIN
INDIANAPOLIS,IN462666057 		35-6001673 501(C)(3) 46,057   N/A N/A RESEARCH
(82) INTEGRATED GENETICS
3400 COMPUTER DRIVE
WESTBOROUGH,MA01581 		27-3267315 501(C)(3) 126,043   N/A N/A RESEARCH
(83) INTERNATIONAL FOOD POLICY RESEARCH
2033 K STREET NW
WASHINGTON,DC200061002 		52-1041632 501(C)(3) 49,993   N/A N/A RESEARCH
(84) INTERVISION MEDIA
261 EAST 12TH AVENUE
SUITE 100
EUGENE,OR97401 		93-1095523 501(C)(3) 26,520   N/A N/A RESEARCH
(85) IOWA STATE UNIVERSITY
SPONSORED PROGRAMS ACCOUNTING AMES
AMES,IA50011 		42-6004224 501(C)(3) 20,187   N/A N/A RESEARCH
(86) JET PROPULSION LABORATORY CALIFORNIA
4800 OAK GROVE DRIVE
ATTN RAYMOND WILKENS
PASADENA,CA91109 		53-0201509 501(C)(3) 54,566   N/A N/A RESEARCH
(87) JOHNS HOPKINS UNIVERSITY
JOURNALS PUB DIV
PO BOX 19966
BALTIMORE,MD21211 		52-0595110 501(C)(3) 1,107,074   N/A N/A RESEARCH
(88) KAISER PERMANENTE
1800 HARRISON ST 16TH FLR
OAKLAND,CA94612 		94-1105628 501(C)(3) 334,899   N/A N/A RESEARCH
(89) LOUISIANA STATE UNIVERSITY
433 BOLIVAR STREET
NEW ORLEANS,LA70112 		72-6087770 501(C)(3) 109,491   N/A N/A RESEARCH
(90) MAGEE-WOMENS RESEARCH INSTITUTE
3339 WARD STREET
PITTSBURGH,PA15213 		25-1462312 501(C)(3) 11,875   N/A N/A RESEARCH
(91) MAINE GEOLOGICAL SURVEY
93 STATE HOUSE STATION
AUGUSTA,ME04333 		01-6000001 501(C)(3) 8,876   N/A N/A RESEARCH
(92) MAINE MEDICAL CENTER RESEARCH INSTITUTE
22 BRAMHALL STREET
PORTLAND,ME04102 		01-0238552 501(C)(3) 83,314   N/A N/A RESEARCH
(93) MASSACHUSETTS GENERAL HOSPITAL
BANK OF AMERICA NA
PO BOX 3829
BOSTON,MA022413829 		04-2697983 501(C)(3) 190,850   N/A N/A RESEARCH
(94) MASSACHUSETTS INSTITUTE OF TECHNOLOGY
238 MAIN STREET
SUITE 402
CAMBRIDGE,MA02142 		04-2103594 501(C)(3) 685,649   N/A N/A RESEARCH
(95) MAYO CLINIC IN JACKSONVILLE
4500 SAN PABLO ROAD
DEPT OF NEUROLOGY
JACKSONVILLE,FL32224 		59-3337028 501(C)(3) 25,883   N/A N/A RESEARCH
(96) MAYO CLINIC IN ROCHESTER
200 FIRST ST SW
ROCHESTER,MN55905 		41-6011702 501(C)(3) 306,323   N/A N/A RESEARCH
(97) MEDICAL COLLEGE OF GEORGIA
PO BOX 945552
ATTN CLAIMS
ATLANTA,GA30394 		58-1418202 501(C)(3) 64,010   N/A N/A RESEARCH
(98) MEMORIAL SLOAN-KETTERING CANCER CENTER
CANCER CTR FINANCE
GENERAL POST OFFICE PO BOX 26338
NEW YORK,NY10087 		13-1924236 501(C)(3) 912,987   N/A N/A RESEARCH
(99) MENTAL HEALTH MENTAL RETARDATION OF
3840 HULEN STREET
FORT WORTH,TX76107 		75-1249456 501(C)(3) 318,223   N/A N/A RESEARCH
(100) METROPOLITAN DETROIT RESEARCH AND
4646 JOHN R ST 11R
DETROIT,MI48201 		38-3086750 501(C)(3) 53,600   N/A N/A RESEARCH
(101) MICHIGAN STATE UNIVERSITY
CONTRACT GRANT ADM
301 ADMINISTRATION BLDG
EAST LANSING,MI48824 		38-6005984 501(C)(3) 819,745   N/A N/A RESEARCH
(102) MIDWEST BIOMEDICAL RESEARCH FOUNDATION
4801 LINWOOD BLVD
KANSAS CITY,MO64128 		43-1496422 501(C)(3) 103,280   N/A N/A RESEARCH
(103) MIDWESTERN UNIVERSITY
555 31ST ST
DOWNERS GROVE,IL60515 		36-3377698 501(C)(3) 28,567   N/A N/A RESEARCH
(104) MILLENNIUM PROMISE ALLIANCE
475 RIVERSIDE DRIVE
SUITE 1040
NEW YORK,NY10115 		20-3042135 501(C)(3) 420,437   N/A N/A RESEARCH
(105) MONTEFIORE MEDICAL CENTER
PO BOX 4398 CHURCH ST NEW YORK NY 1
NEW YORK,NY10261 		13-1740114 501(C)(3) 143,236   N/A N/A RESEARCH
(106) MOUNTAIN STUDIES INSTITUTE
PO BOX 426
SILVERTON,CO81433 		73-1644103 501(C)(3) 6,663   N/A N/A RESEARCH
(107) NATIONAL BUREAU OF ECONOMIC RESEARCH
1050 MASSACHUSETTS AVE
CAMBRIDGE,MA02138 		13-1641075 501(C)(3) 33,923   N/A N/A RESEARCH
(108) NATIONAL COALITION ON HEALTH CARE
1120 G STREET NW
SUITE 810
WASHINGTON,DC20005 		52-1687849 501(C)(3) 90,144   N/A N/A RESEARCH
(109) NATIONAL JEWISH MEDICAL AND RESEARCH
1400 JACKSON ST ROOM M213
ATTN DIANE SULLIVAN
DENVER,CO80206 		74-2044647 501(C)(3) 25,801   N/A N/A RESEARCH
(110) NEW YORK ACADEMY OF MEDICINE
1216 FIFTH AVENUE
ATTN SR VP OF FINANCE ADMIN
NEW YORK,NY10029 		13-1656674 501(C)(3) 15,000   N/A N/A RESEARCH
(111) NEW YORK BLOOD CENTER
ACCOUNTS REC DEPT
PO BOX 9674
UNIONDALE,NY115539814 		13-1949477 501(C)(3) 847,361   N/A N/A RESEARCH
(112) NEW YORK CITY HEALTH AND HOSPITALS
506 LENOX AVE
NEW YORK,NY10037 		13-2655001 501(C)(3) 1,595,181   N/A N/A RESEARCH
(113) NEW YORK HOSPITAL OF QUEENS
56-45 MAIN STREET
ATTN MEDICAL STAFF SOC DIRECTOR CLO
FLUSHING,NY11355 		11-1839362 501(C)(3) 542,442   N/A N/A RESEARCH
(114) NEW YORK MEDICAL COLLEGE
DEPT OF OB/GYN
1901 FIRST AVE 4B05
NEW YORK,NY10029 		13-1099420 501(C)(3) 170,049   N/A N/A RESEARCH
(115) NEW YORK STEM CELL FOUNDATION
1995 BROADWAY
SUITE 600
NEW YORK,NY10023 		20-2905531 501(C)(3) 92,531   N/A N/A RESEARCH
(116) NEW YORK UNIVERSITY
726 BROADWAY
9TH FLOOR
NEW YORK,NY10003 		13-5562308 501(C)(3) 346,427   N/A N/A RESEARCH
(117) NEW YORK UNIVERSITY MEDICAL CENTER
520 FIRST AVENUE
NEW YORK,NY100166402 		13-5562309 501(C)(3) 1,342,483   N/A N/A RESEARCH
(118) NORTH CAROLINA A&T STATE UNIVERSITY
1601 E MARKET STREET
GREENSBORO,NC27411 		56-6000007 501(C)(3) 81,149   N/A N/A RESEARCH
(119) NORTH PACIFIC WILDLIFE CONSULTING LLC
12600 ELMORE ROAD
ANCHORAGE,AK99516 		46-0470251 501(C)(3) 29,150   N/A N/A RESEARCH
(120) NORTHERN CALIFORNIA INSTITUTE FOR RESEARCH
4150 CLEMENT STREET
SAN FRANCISCO,CA94121 		94-3084159 501(C)(3) 109,443   N/A N/A RESEARCH
(121) NORTHERN ILLINOIS UNIVERSITY
LOWDEN HALL 201
C/O JULIE WEBER DIRECTOR GRANT FISC
DEKALB,IL60115 		36-6008480 501(C)(3) 79,211   N/A N/A RESEARCH
(122) NORTHWESTERN UNIVERSITY
2001 SHERIDAN RD
C/O C GRIMSTED LEVERONE HALL
EVANSTON,IL60208 		36-2167817 501(C)(3) 174,116   N/A N/A RESEARCH
(123) NUNAHEALTH
1111 LANTERN BAY
HERCULES,CA94547 		80-0570221 501(C)(3) 25,000   N/A N/A RESEARCH
(124) OFM RESEARCH INC
28430 NE 47TH PLACE
REDMOND,WA980538841 		57-1222227 501(C)(3) 43,492   N/A N/A RESEARCH
(125) OHIO STATE UNIVERSITY RESEARCH
1960 KENNY ROAD
COLUMBUS,OH432101063 		31-6025986 501(C)(3) 141,109   N/A N/A RESEARCH
(126) OKLAHOMA MEDICAL RESEARCH FOUNDATION
825 NORTHEAST 13TH STREET OKLAHOMA
OKLAHOMA,OK73104 		73-0580274 501(C)(3) 49,661   N/A N/A RESEARCH
(127) OREGON RESEARCH INSTITUTE
1715 FRANKLIN BOULEVARD
EUGENE,OR97403 		93-0495655 501(C)(3) 16,981   N/A N/A RESEARCH
(128) OREGON STATE UNIVERSITY
PO BOX 1086
CORVALLIS,OR973391086 		48-1278540 501(C)(3) 147,112   N/A N/A RESEARCH
(129) PALO ALTO INSTITUTE FOR RESEACH AND
PO BOX V-38
PALO ALTO,CA943040038 		94-1179505 501(C)(3) 11,070   N/A N/A RESEARCH
(130) PARTNERS HEALTHCARE SYSTEMS INC
PO BOX 3829
BOSTON,MA022413829 		04-3230035 501(C)(3) 29,707   N/A N/A RESEARCH
(131) PATH
PO BOX 900922
SEATTLE,WA98109 		91-1157127 501(C)(3) 216,661   N/A N/A RESEARCH
(132) PENNSYLVANIA STATE UNIVERSITY
105 BOA CAREER SER UNIVERSITY PARK
UNIVERSITY PARK,PA16802 		24-6000376 501(C)(3) 461,080   N/A N/A RESEARCH
(133) PHYSICIANS FOR REPRODUCTIVE HEALTH INC
55 WEST 39TH STREET
10TH FLOOR
NEW YORK,NY10018 		13-3693391 501(C)(3) 18,125   N/A N/A RESEARCH
(134) PITTSBURGH PARKS CONSERVANCY
2000 Technology Drive
SUITE 300
PITTSBURGH,PA14129 		23-2882145 501(C)(3) 7,530   N/A N/A RESEARCH
(135) POLYTECHNIC UNIVERSITY
PO BOX 353 BROOKLYN NY 11201
BROOKLYN,NY11201 		11-1630820 501(C)(3) 63,654   N/A N/A RESEARCH
(136) PRINCETON UNIVERSITY
PO BOX 33
PRINCETON,NJ08544 		21-0634501 501(C)(3) 490,504   N/A N/A RESEARCH
(137) PUBLIC HEALTH INSTITUTE
555 12TH STREET
10TH FLOOR
OAKLAND,CA946074046 		94-1646278 501(C)(3) 157,989   N/A N/A RESEARCH
(138) PUBLIC HEALTH SOLUTIONS
40 WORTH STREET
5TH FLOOR
NEW YORK,NY10013 		13-5669201 501(C)(3) 93,550   N/A N/A RESEARCH
(139) PURDUE UNIVERSITY
23510 NETWORK PLACE
CHICAGO,IL606731235 		35-6002041 501(C)(3) 246,507   N/A N/A RESEARCH
(140) QUEENS COMPREHENSIVE PERINATAL COUNCIL
PERINATAL COUNCIL INC
FAMILY DEV CENTER 111-06 MERRICK BL
JAMAICA,NY11433 		11-2870422 501(C)(3) 197,357   N/A N/A RESEARCH
(141) RAND CORPORATION
FILE 53174
LOS ANGELES,CA900743174 		95-1958142 501(C)(3) 294,110   N/A N/A RESEARCH
(142) RARITAN BAY MEDICAL CENTER
530 NEW BRUNSWICK AVE PERTH AMBOY N
PERTH AMBOY,NJ08861 		22-1494442 501(C)(3) 64,480   N/A N/A RESEARCH
(143) RENSSELAER POLYTECHNIC INSTITUTE
PO BOX 33375
HARTFORD,CT061503375 		14-1340095 501(C)(3) 13,271   N/A N/A RESEARCH
(144) RESEARCH FOUNDATION OF THE CITY
230 WEST 41ST ST 7TH FL
ATTN MARINA VASILYEVA
NEW YORK,NY10036 		13-1988190 501(C)(3) 1,012,441   N/A N/A RESEARCH
(145) RESEARCH FOUNDATION OF THE STATE
PO BOX 9
CASH RECEIPT DEPT
ALBANY,NY122010009 		14-1368361 501(C)(3) 2,474,642   N/A N/A RESEARCH
(146) RESEARCH INSTITUTE AT NATIONWIDE
PO BOX 715245
COLUMBUS,OH432715245 		31-6056230 501(C)(3) 108,351   N/A N/A RESEARCH
(147) RESEARCH TRIANGLE INSTITUTE
RTI
PO BOX 900002
RALEIGH,NC276759000 		56-0686338 501(C)(3) 88,342   N/A N/A RESEARCH
(148) RETINA FOUNDATION OF THE SOUTHWEST
9900 N CENTRAL EXPRESSWAY
SUITE 400
DALLAS,TX75231 		51-0151514 501(C)(3) 252,469   N/A N/A RESEARCH
(149) RHODE ISLAND HOSPITAL
ALDRICH 3 593 EDDY ST PROVIDENCE RI
PROVIDENCE,RI02903 		05-0258954 501(C)(3) 41,262   N/A N/A RESEARCH
(150) RICE UNIVERSITY
PO BOX 1892
HOUSTON,TX77251 		74-1109620 501(C)(3) 10,122   N/A N/A RESEARCH
(151) ROCKEFELLER UNIVERSITY
1230 YORK AVE
BOX 259
NEW YORK,NY100656399 		13-1624158 501(C)(3) 1,420,791   N/A N/A RESEARCH
(152) ROCKY MOUNTAIN TREE-RING
2901 MOORE LANE
FORT COLLINS,CO80526 		84-1413400 501(C)(3) 5,490   N/A N/A RESEARCH
(153) RUSH UNIVERSITY MEDICAL CENTER
1700 WEST VAN BUREN
FUND ACCOUNTING ROOM 277
CHICAGO,IL60612 		36-2174823 501(C)(3) 124,935   N/A N/A RESEARCH
(154) RUTGERS UNIVERSITY
3 RUTGERS PLAZA
NEW BRUNSWICK,NJ08901 		22-6001086 501(C)(3) 101,950   N/A N/A RESEARCH
(155) SAINT LUKES ROOSEVELT HOSPITAL CENTER
555 W 57TH ST
FUND ACCOUNTING DEPT
NEW YORK,NY10019 		13-2997301 501(C)(3) 620,028   N/A N/A RESEARCH
(156) SAINT PETERS UNIVERSITY HOSPITAL
254 EASTON AVENUE
4TH FLOOR MOB ROOM 4010
NEW BRUNSWICK,NJ08901 		22-1487330 501(C)(3) 367,147   N/A N/A RESEARCH
(157) SANDIA NATIONAL LABORATORIES
C/O BANK OF AMERICA
PO BOX 840140
DALLAS,TX752840140 		85-0097942 501(C)(3) 129,250   N/A N/A RESEARCH
(158) SANFORD HEALTH
2301 E 60TH ST NORTH SIOUX FALLS SD
SIOUX FALLS,SD57104 		46-0450378 501(C)(3) 26,941   N/A N/A RESEARCH
(159) SARC
24 FRANK LLOYD WRIGHT DR ANN ARBOR
ANN ARBOR,MI48106 		86-1087705 501(C)(3) 13,278   N/A N/A RESEARCH
(160) SEATTLE CHILDRENS HOSPITAL
SEATTLE CHILDRN RSRCH SEATTLE WA 98
SEATTLE,WA981240728 		91-0564748 501(C)(3) 55,378   N/A N/A RESEARCH
(161) SEATTLE INSTITUTE FOR BIOMEDICAL
1660 S CLUMBIAN WAY S-151F SEATTLE
SEATTLE,WA98108 		91-1452438 501(C)(3) 14,870   N/A N/A RESEARCH
(162) SIGNATURE GENOMIC LABORATORIES
POBOX 4474
SPOKANE,WA99220 		86-1072115 501(C)(3) 14,449   N/A N/A RESEARCH
(163) SOUTH CAROLINA RESEARCH FOUNDATION
901 SUMTER STREET
COLUMBIA,SC29208 		57-0967350 501(C)(3) 21,062   N/A N/A RESEARCH
(164) SOUTHERN METHODIST UNIVERSITY
PO BOX 750259
DALLAS,TX752750259 		75-0800689 501(C)(3) 552,511   N/A N/A RESEARCH
(165) SOUTHWEST ONCOLOGY GROUP
24 FRANK LLOYD WRIGHT DR ANN ARBOR
ANN ARBOR,MI48106 		26-1146046 501(C)(3) 213,188   N/A N/A RESEARCH
(166) SOUTHWEST RESEARCH INSTITUTE
6220 CULEBRA RD SAN ANTONIO TX 7823
SAN ANTONIO,TX782385166 		74-1070544 501(C)(3) 46,359   N/A N/A RESEARCH
(167) SPOKANE MENTAL HEALTH
400 S JEFFERSON STREET
SUITE 109
SPOKANE,WA99204 		91-0853801 501(C)(3) 9,920   N/A N/A RESEARCH
(168) ST LUKES'S ROOSEVELT HOSPITAL
1111 AMSTERDAM AVENUE
NEW YORK,NY10025 		13-2997301 501(C)(3) 38,191   N/A N/A RESEARCH
(169) ST LUKES-ROOSEVELT INSTITUTE FOR
CONTINUUM SERVICES
FINANCE SERVICE 555 WEST 57TH STREE
NEW YORK,NY10019 		13-2914343 501(C)(3) 34,056   N/A N/A RESEARCH
(170) STANFORD UNIVERSITY
PO BOX 44253
SAN FRANCISCO,CA94144 		94-1156365 501(C)(3) 642,201   N/A N/A RESEARCH
(171) STEVENS INSTITUTE OF TECHNOLOGY
CASTLE PT ON THE HUDSON
HOBOKEN,NJ07030 		22-1487354 501(C)(3) 9,130   N/A N/A RESEARCH
(172) STOCKHOLM INSTITUTE U S
11 CURTIS AVE
SOMERVILLE,MA02144 		20-4659308 501(C)(3) 44,713   N/A N/A RESEARCH
(173) SUFFOLK COUNTY PERINATAL COALITION
PERINATAL COALITION INC
475 EAST MAIN STREET SUITE 207
PATCHOGUE,NY11772 		11-2978393 501(C)(3) 203,952   N/A N/A RESEARCH
(174) SYMANTEC
PO BOX 742345
LOS ANGELES,CA900742345 		77-0181864 501(C)(3) 600,000   N/A N/A RESEARCH
(175) TEACHERS COLLEGE
ATT BURSAR
525 W 120 ST BOX 305
NEW YORK,NY10027 		13-1624202 501(C)(3) 1,295,024   N/A N/A RESEARCH
(176) TEMPLE UNIVERSITY
PO BOX 824242
PHILADELPHIA,PA19182 		23-1365971 501(C)(3) 47,118   N/A N/A RESEARCH
(177) TEXAS A&M RESEARCH FOUNDATION
C/O WELLS FARGO BANK
POBOX 201918
DALLAS,TX753201918 		74-1238434 501(C)(3) 114,872   N/A N/A RESEARCH
(178) TEXAS NEUROLOGY PA
C/O SHARI HAND
TEXAS NEUROLOGY PA-RES DPT 6301 GAS
DALLAS,TX75214 		75-2654757 501(C)(3) 29,012   N/A N/A RESEARCH
(179) TGEN
445 N FIFTH STREET
SUITE 600
PHOENIX,AZ85004 		75-3065445 501(C)(3) 154,503   N/A N/A RESEARCH
(180) THE BRIGHAM AND WOMENS HOSPITAL INC
PO BOX 3887
BOSTON,MA022413887 		04-2312909 501(C)(3) 219,820   N/A N/A RESEARCH
(181) THE CHILDRENS HOSPITAL OF PHILADELPHIA
PO BOX 8500 PHILADELPHIA PA 19178-1
PHILADELPHIA,PA191781457 		23-1352166 501(C)(3) 281,099   N/A N/A RESEARCH
(182) THE RESEARCH FOUNDATION FOR MENTAL
RIVERVIEW CENTER
150 BROADWAY SUITE 301
MENANDS,NY12204 		14-1410842 501(C)(3) 4,553,251   N/A N/A RESEARCH
(183) THE SCRIPPS RESEARCH INSTITUTE
1030 COLUMBIA AVE
CLAREMONT,CA91711 		33-0435954 501(C)(3) 55,533   N/A N/A RESEARCH
(184) THE VILLAGE SOUTH INC
3050 BISCAYNE BOULEVARD
SUITE 900
MIAMI,FL33137 		59-1452736 501(C)(3) 7,299   N/A N/A RESEARCH
(185) THOMAS JEFFERSON UNIVERSITY
SPONSORED PROGRAMS ACCT OFF
1020 WALNUT ST RM 525 SCOTT BLDG
PHIL,PA19107 		23-1352651 501(C)(3) 446,476   N/A N/A RESEARCH
(186) TRUDEAU INSTITUTE INC
154 ALGONQUIN AVENUE
SARANAC LAKE,NY12983 		14-1401413 501(C)(3) 157,833   N/A N/A RESEARCH
(187) TULANE UNIVERSITY
TULANE UNIVERSITY NEW ORLEANS LA 70
NEW ORLEANS,LA701185549 		72-0423889 501(C)(3) 75,670   N/A N/A RESEARCH
(188) US ARMY MEDICAL RESEARCH INSTITUTE OF
1425 PORTER STREET
FORT DETRICK,MD21702 		35-1996956 501(C)(3) 119,042   N/A N/A RESEARCH
(189) UNAVCO INC
LUCY MORGAN
6350 NAUTILUS DRIVE
BOULDER,CO80301 		84-1588357 501(C)(3) 38,449   N/A N/A RESEARCH
(190) UNC WILMINGTON
CONTROLLER
601 S COLLEGE ROAD - H0155
WILMINGTON,NC284035934 		56-1258660 501(C)(3) 101,034   N/A N/A RESEARCH
(191) UNIV OF NORTH CAROLINA AT CHAPEL HILL
104 AIRPORT DR CHAPEL HILL NC 27599
CHAPEL HILL,NC275991350 		94-2984524 501(C)(3) 6,582   N/A N/A RESEARCH
(192) UNIV OF TEXAS AT ARLINGTON
PO BOX 19136
ARLINGTON,TX760190136 		75-6000121 501(C)(3) 929,608   N/A N/A RESEARCH
(193) UNIVERSITY CORPORATION FOR ATMOSPHERIC
UCAR/NCAR
P O BOX 3000
BOULDER,CO803073000 		84-0412668 501(C)(3) 21,030   N/A N/A RESEARCH
(194) UNIVERSITY OF ALABAMA
AB 990 1530 3RD AVE S BIRMINGHAM AL
BIRMINGHAM,AL352940109 		63-6005396 501(C)(3) 95,820   N/A N/A RESEARCH
(195) UNIVERSITY OF ALASKA AT FAIRBANKS
109 ADMIN SVCS CTR FAIRBANKS AK 997
FAIRBANKS,AK997757880 		92-6000147 501(C)(3) 36,231   N/A N/A RESEARCH
(196) UNIVERSITY OF ARIZONA
DEPT OF GEOSCIENCES
GOULD-SIMPSON BLDG RM 208
TUCSON,AZ857210077 		86-6004791 501(C)(3) 67,881   N/A N/A RESEARCH
(197) UNIVERSITY OF CALIFORNIA AT SAN FRANCISCO
WATER RESOURCES
BERKELEY,CA94720 		94-6036493 501(C)(3) 198,456   N/A N/A RESEARCH
(198) UNIVERSITY OF CALIFORNIA DAVIS
PO BOX 989062 WEST SACREMENTO CA 9
WEST SACREMENTO,CA957989062 		95-6006143 501(C)(3) 130,559   N/A N/A RESEARCH
(199) UNIVERSITY OF CALIFORNIA IRVINE
228 ALDRICH HALL
UNIVERSITY OF CALIFORNIA
IRVINE,CA92697 		95-2226406 501(C)(3) 1,094,790   N/A N/A RESEARCH
(200) UNIVERSITY OF CALIFORNIA BERKELEY
2195 HEARST AVE BERKELEY CA 94720-1
BERKELEY,CA947201103 		94-6002123 501(C)(3) 125,364   N/A N/A RESEARCH
(201) UNIVERSITY OF CALIFORNIA LOS ANGELES
1125 MURPHY HALL LOS ANGELES CA 900
LOS ANGELES,CA90095 		95-6006143 501(C)(3) 248,018   N/A N/A RESEARCH
(202) UNIVERSITY OF CALIFORNIA SAN DIEGO
9500 GILMAN DR
LA JOLLA,CA920930009 		95-6006144 501(C)(3) 1,571,632   N/A N/A RESEARCH
(203) UNIVERSITY OF CHICAGO
6054 SOUTH DREXEL AVENUE
CHICAGO,IL60637 		36-2177139 501(C)(3) 2,179,662   N/A N/A RESEARCH
(204) UNIVERSITY OF CINCINNATI
ACCOUTANTS REC
PO BOX 691031
CINCINNATI,OH45269 		31-6000989 501(C)(3) 144,600   N/A N/A RESEARCH
(205) UNIVERSITY OF COLORADO
SPONSORED PROJ ACCNTG DENVER CO 802
DENVER,CO802910220 		84-6000555 501(C)(3) 481,533   N/A N/A RESEARCH
(206) UNIVERSITY OF CONNECTICUT HEALTH CENTER
263 FARMINGTON AVENUE
FARMINGTON,CT06030 		52-1725543 501(C)(3) 37,986   N/A N/A RESEARCH
(207) UNIVERSITY OF DELAWARE
CASHIERS OFFICE
116 STUDENT SERVICES BLDG
NEWARK,DE19716 		51-6000297 501(C)(3) 7,727   N/A N/A RESEARCH
(208) UNIVERSITY OF FLORIDA
PO BOX 113001 GAINESVILLE FL 32611-
GAINESVILLE,FL326113001 		59-6002052 501(C)(3) 587,203   N/A N/A RESEARCH
(209) UNIVERSITY OF HAWAII
ACCESS SERVICES DEPT
HAMILTON LIBRARY ROOM 101 255 MCCAR
HONOLULU,HI96822 		99-6000354 501(C)(3) 56,715   N/A N/A RESEARCH
(210) UNIVERSITY OF ILLINOIS
ATTN FADY CHARBEL
912 S WOOD ST MC 799
CHICAGO,IL60612 		37-6000511 501(C)(3) 9,195   N/A N/A RESEARCH
(211) UNIVERSITY OF IOWA
UNIV OF IA BUS OFF
B5 JESSUP HALL
IOWA CITY,IA52242 		42-6004813 501(C)(3) 509,262   N/A N/A RESEARCH
(212) UNIVERSITY OF KANSAS
ACCOUNTS RECEIVABLE
2385 IRVING HILL RD CAMPUS WEST
LAWRENCE,KS660447552 		48-0680117 501(C)(3) 140,868   N/A N/A RESEARCH
(213) UNIVERSITY OF KANSAS MEDICAL CENTER
3901 RAINBOW BLVD KANSAS CITY KS 66
KANSAS CITY,KS661607702 		48-1108830 501(C)(3) 25,243   N/A N/A RESEARCH
(214) UNIVERSITY OF KENTUCKY RESEARCH
C/O NATIONAL CITY BANK
P O BOX 931113
CLEVELAND,OH44193 		61-6033693 501(C)(3) 26,808   N/A N/A RESEARCH
(215) UNIVERSITY OF MAINE
5717 CORBETT HALL
ORONO,ME04469 		01-6000769 501(C)(3) 19,655   N/A N/A RESEARCH
(216) UNIVERSITY OF MARYLAND
OFF OF THE COMPTRLLR COLLEGE PK MD
COLLEGE PARK,MD20742 		52-6002033 501(C)(3) 532,890   N/A N/A RESEARCH
(217) UNIVERSITY OF MASSACHUSETTS
BURSARS OFFICE
55 LAKE AVENUE NORTH
WORCHESTER,MA01605 		04-3167352 501(C)(3) 331,979   N/A N/A RESEARCH
(218) UNIVERSITY OF MEDICINE AND DENTISTRY OF NJ
335 GEORGE ST NEW BRUNSWICK NJ 0890
NEW BRUNSWICK,NJ089032685 		22-1775306 501(C)(3) 2,032,746   N/A N/A RESEARCH
(219) UNIVERSITY OF MIAMI
SPONSORED PROGRAMS
PO BOX 405803
ATLANTA,GA303845803 		59-0624458 501(C)(3) 512,566   N/A N/A RESEARCH
(220) UNIVERSITY OF MICHIGAN
BOX 223131
PITTSBURGH,PA15251 		38-6006309 501(C)(3) 2,538,381   N/A N/A RESEARCH
(221) UNIVERSITY OF MINNESOTA
NW 5957
PO BOX 1450
MINNEAPOLIS,MN55485 		41-6007513 501(C)(3) 232,896   N/A N/A RESEARCH
(222) UNIVERSITY OF MISSOURI
P O BOX 807012
KANSAS CITY,MO641807012 		43-6003859 501(C)(3) 341,537   N/A N/A RESEARCH
(223) UNIVERSITY OF NEBRASKA MEDICAL CENTER
UNIVERSITY OF NEBRASKA
982045 NEBRASKA MEDICAL CENTER
OMAHA,NE681982045 		47-0049123 501(C)(3) 12,323   N/A N/A RESEARCH
(224) UNIVERSITY OF NEW HAMPSHIRE
SERVICE BUILDING ROOM 109
DURHAM,NH03824 		02-6000937 501(C)(3) 22,643   N/A N/A RESEARCH
(225) UNIVERSITY OF NEW MEXICO
1 UNIV OF NEW MEXICO ALBUQUERQUE NM
ALBUQUERQUE,NM871313106 		85-6000642 501(C)(3) 110,278   N/A N/A RESEARCH
(226) UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL
Cb 1260 104 Airport Rd CHAPEL HILL
CHAPEL HILL,NC27599 		56-6001393 501(C)(3) 743,618   N/A N/A RESEARCH
(227) UNIVERSITY OF PENNSYLVANIA
3451 WALNUT ST PHILADELPHIA PA 1910
PHILADELPHIA,PA191046205 		23-1352685 501(C)(3) 850,406   N/A N/A RESEARCH
(228) UNIVERSITY OF PITTSBURGH
PO BOX 371220
PITTSBURGH,PA15251 		25-0965591 501(C)(3) 119,118   N/A N/A RESEARCH
(229) UNIVERSITY OF ROCHESTER
910 GENESEE ST
ROCHESTER,NY146113847 		16-0743209 501(C)(3) 439,308   N/A N/A RESEARCH
(230) UNIVERSITY OF SOUTH FLORIDA
PO BOX 864568
RESEARCH PROJECTS RECEIVABLES
ORLANDO,FL328864568 		59-3102112 501(C)(3) 297,249   N/A N/A RESEARCH
(231) UNIVERSITY OF SOUTHERN CALIFORNIA
SPONSORED PROJ ACCNTG LOS ANGELES C
LOS ANGELES,CA90074 		95-1642394 501(C)(3) 389,528   N/A N/A RESEARCH
(232) UNIVERSITY OF TENNESSEE
BURSARS OFFICE
210 STUDENT SERV BLDG
KNOXVILLE,TN37996 		62-6001636 501(C)(3) 41,123   N/A N/A RESEARCH
(233) UNIVERSITY OF TEXAS
AMEGY BANK OF TEXAS
PO BOX 4786-750
HOUSTON,TX77210 		74-6000949 501(C)(3) 257,067   N/A N/A RESEARCH
(234) UNIVERSITY OF TEXAS AT AUSTIN
POBOX 7159
AUSTIN,TX787137159 		74-6000203 501(C)(3) 426,169   N/A N/A RESEARCH
(235) UNIVERSITY OF TEXAS AT DALLAS
800 W CAMPBELL RD
RICHARDSON,TX75080 		75-1305566 501(C)(3) 30,737   N/A N/A RESEARCH
(236) UNIVERSITY OF TEXAS SOUTHWESTERN
GRANTS ACCTING
PO BOX 841765
DALLAS,TX75284 		75-6002868 501(C)(3) 140,775   N/A N/A RESEARCH
(237) UNIVERSITY OF UTAH
30 N 1900 EAST
5C124 SOM
SALT LAKE CITY,UT84132 		87-6000525 501(C)(3) 395,458   N/A N/A RESEARCH
(238) UNIVERSITY OF VERMONT AND STATE
PO BOX 1389
WILLISTON,VT054951389 		03-0179440 501(C)(3) 27,960   N/A N/A RESEARCH
(239) UNIVERSITY OF VIRGINIA
PO BOX 400195 CHARLOTTESVILLE VA 22
CHARLOTTESVILLE,VA229044195 		54-6046419 501(C)(3) 284,320   N/A N/A RESEARCH
(240) UNIVERSITY OF WASHINGTON
3917 UNIVER WAY NE SEATTLE WA 98105
SEATTLE,WA981056692 		91-6001537 501(C)(3) 538,634   N/A N/A RESEARCH
(241) VANDERBILT UNIVERSITY
2301 Vanderbilt Pl
NASHVILLE,TN37235 		62-0476822 501(C)(3) 310,741   N/A N/A RESEARCH
(242) VIRGINIA COMMONWEALTH UNIVERSITY
PO BOX 843039
DIRECTOR GRANTS CONTRACTS
RICHMOND,VA23284 		54-6001758 501(C)(3) 30,000   N/A N/A RESEARCH
(243) VISITING NURSE SERVICE OF NEW YORK
5 PENN PLAZA
12TH FLOOR
NEW YORK,NY10001 		13-3189926 501(C)(3) 322,734   N/A N/A RESEARCH
(244) WAKE FOREST UNIVERSITY SCHOOL OF
HEALTH SCIENCES
CONTROLLER S OFFICE MEDICAL CENTER
WINSTON SALEM,NC27157 		56-0532138 501(C)(3) 39,137   N/A N/A RESEARCH
(245) WASHINGTON UNIVERSITY ST LOUIS
700 ROSEDALE AVE CAMPUS ST LOUIS MO
ST LOUIS,MO631121408 		43-0653611 501(C)(3) 71,119   N/A N/A RESEARCH
(246) WEILL MED COLLEGE OF CORNELL UNIV
1300 YORK AVENUE BOX 288
NEW YORK,NY10001 		13-1623978 501(C)(3) 23,186   N/A N/A RESEARCH
(247) WEST HARLEM ENVIRONMENTAL ACTION INC
1854 AMSTERDAM AVENUE
2ND FLOOR
NY,NY10031 		13-3800068 501(C)(3) 108,798   N/A N/A RESEARCH
(248) WEST PENN ALLEGHENY HEALTH SYSTEM
2 ALLEGHENY CTR 11TH FL PITTSBURGH
PITTSBURGH,PA15212 		25-1320493 501(C)(3) 13,691   N/A N/A RESEARCH
(249) WESTERN ENVIRONMENTAL TECHNOLOGY LABS
16326 COLLECTIONS CTR DR CHICAGO IL
CHICAGO,IL60693 		93-1072453 501(C)(3) 107,024   N/A N/A RESEARCH
(250) WOODROW WILSON INTERNATIONAL CENTER FOR
FOR SCHOLARS
1300 PENNSYLVANIA AVE NW
WASHINGTON,DC20004 		52-1067541 501(C)(3) 5,973   N/A N/A RESEARCH
(251) WOODS HOLE OCEANOGRAPHIC INSTITUTION
MAIL STOP 8
ATTN SUSAN HANDWORK
WOODS HOLE,MA02543 		04-2105850 501(C)(3) 212,681   N/A N/A RESEARCH
(252) WOODS HOLE RESEARCH CENTER
149 WOODS HOLE ROAD
FALMOUTH,MA02540 		04-3005094 501(C)(3) 48,166   N/A N/A RESEARCH
(253) YALE UNIVERSITY
ADMIN PO BOX 1873 NEW HAVEN CT 0650
NEW HAVEN,CT065081873 		06-0646973 501(C)(3) 2,259,504   N/A N/A RESEARCH
(254) YESHIVA UNIVERSITY
OF YESHIVA UNIV
JACK AND PEARL RESNICK CAMPUS BELFE
BRONX,NY10461 		13-1624225 501(C)(3) 1,504,783   N/A N/A RESEARCH
(255) NATIONAL MUSEUM OF AMERICAN JEWISH HISTORY
101 S INDEP MALL EAST PHILADELPHIA
PHILADELPHIA,PA191062517 		23-7479280 501(C)(3) 18,000   N/A N/A FINANCIAL AID
(256) COLUMBIA COMMUNITY IMPACT
2980 BRDWAY105 EARL HALL NEW YORK
NEW YORK,NY10027 		13-3386904 501(C)(3) 60,000   N/A N/A RESEARCH
(257) Adults and Children in Trust Childrens' Quest Fin
1047 Amsterdam Avenue
New York,NY10025 		13-1623934 501(C)(3) 7,000   N/A N/A FINANCIAL AID
(258) Alexander Robertson School
3 West 95th Street
New York,NY10025 		13-1760095 501(C)(3) 8,000   N/A N/A FINANCIAL AID
(259) Behind the Book Inc
356 West 123rd Street
New York,NY10025 		32-0086097 501(C)(3) 7,500   N/A N/A PROGRAM SVCS
(260) Broadway Community Inc
601 West 114th Street
New York,NY10025 		13-3652817 501(C)(3) 12,162   N/A N/A FOOD SUPPLIES
(261) Broadway Presbyterian Nursery School
601 West 114th Street
New York,NY10025 		13-1623916 501(C)(3) 9,000   N/A N/A FINANCIAL AID
(262) Cathedral Community Cares of St John the Divine -
1047 Amsterdam Avenue
New York,NY10025 		13-1623934 501(C)(3) 8,000   N/A N/A FOOD AND EQUIP
(263) Children's Learning Center of Morningside Heights
90 La Salle Street
New York,NY10025 		13-4111840 501(C)(3) 10,000   N/A N/A FINANCIAL AID
(264) Doing Art Together Inc
127 West 127th Street
1st floor
New York,NY10027 		13-3363579 501(C)(3) 5,500   N/A N/A INTERNSHIP
(265) Figure Skating In Harlem
361 West 125th Street
2nd floor
New York,NY10027 		13-3945168 501(C)(3) 6,500   N/A N/A PROGRAM SVCS
(266) Graham Windham- Beacon Center Youth Literacy Progr
33 Irving Place
7th Floor
New York,NY10003 		13-2926426 501(C)(3) 6,000   N/A N/A PROGRAM SVCS
(267) Hale House Center Inc
152 West 122nd Street
New York,NY10027 		13-2700687 501(C)(3) 10,000   N/A N/A PROGRAM SVCS
(268) Harlem Academy
1330 Fifth Avenue
New York,NY10026 		56-2454573 501(C)(3) 9,000   N/A N/A FINANCIAL AID
(269) Purple Circle Day Care
251 West 100th Street
New York,NY10022 		13-3073319 501(C)(3) 10,000   N/A N/A FINANCIAL AID
(270) Red Balloon Day Care Center Inc
560 Riverside Drive
New York,NY10027 		13-2772534 501(C)(3) 10,000   N/A N/A FINANCIAL AID
(271) Rev Linnette C Williamson Memorial Park Associat
141 West 139th Street
C44
New York,NY10030 		13-3861293 501(C)(3) 6,000   N/A N/A PROGRAM SVCS
(272) St Mary's Episcopal Church Soup Kitchen and Food
521 West 126th Street
New York,NY10027 		13-1624179 501(C)(3) 6,000   N/A N/A FOOD SUPPLIES
(273) Top Honors Inc
PO Box 7473
New York,NY10023 		75-3062601 501(C)(3) 10,000   N/A N/A PROGRAM SVCS
(274) Uptown Inner City League Inc
3333 Broadway Tower 1E
13K
New York,NY10031 		13-3823616 501(C)(3) 7,214   N/A N/A TRANSPORTATION
(275) Veritas Therapeutic Community Inc
138-02 Queens Blvd
Briarwood,NY11435 		13-3082021 501(C)(3) 8,000   N/A N/A PROGRAM SVCS
(276) Wendy Hilliard Foundation
550 West 155th Street
New York,NY10025 		13-3879321 501(C)(3) 10,000   N/A N/A PROGRAM SVCS
(277) West Side Campaign Against Hunger
263 West 86th Street
New York,NY10024 		71-0908184 501(C)(3) 10,000   N/A N/A FOOD SUPPLIES
(278) REID HALL INC
205 LOW MEMORIAL LIBRARY
NEW YORK,NY10027 		13-1611126 501(C)(3) 344,485   N/A N/A CAPITAL CONTR
(279) COLUMBIA OPHTHALMOLOGY CONSULTANTS INC
635 WEST 165TH STREET
NEW YORK,NY10032 		13-3908637 501(C)(3) 1,316,111   N/A N/A CAPITAL CONTR
(280) COLUMBIA UNIVERSITY HEALTH CARE INC
630 WEST 168TH STREET
NEW YORK,NY10032 		13-3948652 501(C)(3) 3,088,530   N/A N/A CAPITAL CONTR
(281) COLUMBIA UNIVERSITY PRESS
61 WEST 62ND STREET 3RD FL
NEW YORK,NY10023 		13-1623968 501(C)(3) 1,000,000   N/A N/A CAPITAL CONTR
2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image
281
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
0
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 TUITION GRANTS AND SCHOLARSHIPS 24113 400,377,469   N/A N/A
(2) CS NANCY RUPP COMMUNITY SCHOLARSHIP 4 12,000   N/A N/A










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
DESCRIPTION OF ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANTS FORM 990, SCHEDULE I THE UNIVERSITY MAINTAINS A WRITTEN POLICY THAT GOVERNS THE MONITORING OF THE USE OF SPONSORED PROJECT GRANT FUNDING BY SUBRECIPIENTS. THE POLICY MANDATES MONITORING IN TWO AREAS: (A) SUBRECIPIENT INSTITUTION COMPLIANCE WITH THE AUDITING REQUIREMENTS OF OMB CIRCULAR A-133, AND (B) SUBRECIPIENT INSTITUTION'S APPROPRIATE MANAGEMENT OF SUBAWARD. THE UNIVERSITY'S SPONSORED PROJECTS FINANCE GROUP COLLECTS A-133 REPORTS FROM SUBRECIPIENT INSTITUTIONS, AND THE PRINCIPAL INVESTIGATORS CARRY OUT THE SECOND TYPE OF MONITORING, PRINCIPALLY BY: - ROUTINELY GATHERING AND REVIEWING TECHNICAL PERFORMANCE REPORTS; - ROUTINELY REVIEWING INVOICES AND EXPENSES RELATIVE TO BUDGET; - CONDUCTING PERIODIC ON-SITE VISITS, WHEN NECESSARY; AND - INITIATING AUDITS, WHEN NECESSARY.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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
Yes
 
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)LEE C BOLLINGERPRESIDENT (i)
(ii)		 1,012,707
0 		405,250
0 		1,593,281
0 		25,745
0 		378,679
0 		3,415,662
0 		1,260,167
0
(2)JANE E BOOTHGENERAL COUNSEL (i)
(ii)		 549,960
0 		0
0 		 
0 		25,745
0 		19,086
0 		594,791
0 		0
0
(3)JOHN COATSWORTHPROVOST (i)
(ii)		 617,813
0 		6,200
0 		41,160
0 		25,745
0 		18,009
0 		708,927
0 		0
0
(4)JEROME DAVISSECRETARY (i)
(ii)		 324,108
0 		0
0 		 
0 		25,745
0 		13,571
0 		363,424
0 		0
0
(5)NICHOLAS B DIRKSEXEC VP- A&S (THROUGH 12/2012) (i)
(ii)		 487,260
0 		4,900
0 		10
0 		38,245
0 		36,270
0 		566,685
0 		0
0
(6)KENNETH A FORDE MDTRUSTEE (i)
(ii)		 0
0 		0
0 		789,000
0 		 
0 		2,592
0 		791,592
0 		0
0
(7)DR LEE GOLDMAN MDEXEC VP FOR HEALTH SCIENCES (i)
(ii)		 1,092,668
0 		9,645
0 		73,907
0 		481,745
0 		7,302
0 		1,665,267
0 		0
0
(8)PETER HOLLANDEXEC VP OF INVESTMENT MGMT (i)
(ii)		 760,102
0 		2,269,040
0 		 
0 		1,980,358
0 		37,621
0 		5,047,121
0 		2,006,210
0
(9)JOSEPH A IENUSOEXEC VP OF FACILITIES (i)
(ii)		 420,520
0 		4,287
0 		10
0 		25,745
0 		45,353
0 		495,915
0 		0
0
(10)ROBERT KASDINSENIOR EXECUTIVE VP (i)
(ii)		 716,498
0 		0
0 		 
0 		25,745
0 		30,394
0 		772,637
0 		0
0
(11)NIRMAL NARVEKARPRESIDENT OF INVESTMENT MGMT (i)
(ii)		 847,887
0 		2,524,706
0 		 
0 		2,200,593
0 		29,127
0 		5,602,313
0 		2,232,262
0
(12)ANNE R SULLIVANEXECUTIVE VP FOR FINANCE (i)
(ii)		 489,858
0 		4,675
0 		 
0 		25,745
0 		42,513
0 		562,791
0 		0
0
(13)FREDERICK M VAN SICKLEEXEC VP - UNIV. DEV & ALUM REL (i)
(ii)		 511,468
0 		0
0 		 
0 		25,745
0 		33,963
0 		571,176
0 		0
0
(14)DAVID N SILVERSCLINICAL PROFESSOR (i)
(ii)		 2,996,436
0 		2,319,889
0 		0
0 		30,173
0 		9,451
0 		5,355,949
0 		0
0
(15)JEFFREY W MOSESPROFESSOR OF MEDICINE (i)
(ii)		 3,084,928
0 		0
0 		0
0 		29,798
0 		47,029
0 		3,161,755
0 		0
0
(16)CRAIG R SMITHPROFESSOR OF SURGERY (i)
(ii)		 2,076,573
0 		0
0 		0
0 		34,668
0 		20,034
0 		2,131,275
0 		0
0
(17)EMILE BACHAPROFESSOR OF SURGERY (i)
(ii)		 1,843,205
0 		0
0 		0
0 		27,856
0 		53,708
0 		1,924,769
0 		0
0
(18)MARTIN B LEONPROFESSOR OF SURGERY (i)
(ii)		 1,609,928
0 		0
0 		0
0 		29,798
0 		29,626
0 		1,669,352
0 		0
0
(19)ALAN BRINKLEYPROVOST (FORMER) (i)
(ii)		 395,949
0 		0
0 		40,000
0 		38,245
0 		28,132
0 		502,326
0 		0
0
(20)SUSAN K FEAGINEXEC VP-UNIV. DEV&ALUM(FORMER) (i)
(ii)		 522,474
0 		5,202
0 		0
0 		25,745
0 		9,042
0 		562,463
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
SUPPLEMENTAL COMPENSATION INFORMATION   NOTES TO PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN CERTAIN LIMITED CIRCUMSTANCES, CERTAIN INDIVIDUALS MAY TRAVEL FIRST CLASS WHEN THE TRAVEL IS SUBSTANTIATED AS REASONABLE EXPENSES TO SUPPORT THE MISSION OF THE UNIVERSITY. ANY FIRST CLASS EXCEPTIONS TO THE UNIVERSITY'S POLICY ARE SUBJECT TO REVIEW AND APPROVAL. TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT OR OTHER KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS, AS WELL AS REPRESENTING THE UNIVERSITY AT AWARDS PRESENTATIONS OR INAUGURATIONS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS AS APPROVED BY THE BOARD OF TRUSTEES, THE UNIVERSITY PAID CERTAIN MEDICAL, DENTAL AND DISABILITY INSURANCE PREMIUMS ON THE PRESIDENT'S BEHALF, INCLUDING A TAX GROSS-UP ON THOSE AMOUNTS. THE TOTAL AMOUNT FOR PREMIUMS, FEES AND THE TAXES THEREON $29,312 IS SHOWN IN COLUMN (B)(III) AS OTHER REPORTABLE COMPENSATION. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT IS REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. THE PRESIDENT'S HOUSING HAS BEEN VALUED AT $352,553 AND IS REPORTED AS A NON-TAXABLE BENEFIT. THE UNIVERSITY ALSO PROVIDES A CAR AND DRIVER TO BE USED BY THE PRESIDENT IN CONNECTION WITH HIS DUTIES. THE PRESIDENT IS RESPONSIBLE FOR ANY PERSONAL USE OF THE HOUSEHOLD STAFF OR CAR AND DRIVER AND OTHER PERSONAL EXPENSES. PERSONAL SERVICES OTHER REPORTABLE COMPENSATION INCLUDES $4,307 IMPUTED TO DR. GOLDMAN WITH RESPECT TO PERSONAL USE OF A CAR AND DRIVER PROVIDED BY THE UNIVERSITY (SEE PART I, COLUMN (B)(III)). NOTE TO PART I, LINE 4B CONSISTENT WITH THE 990 REPORTING REQUIREMENTS THE TOTAL COMPENSATION SHOWN PART II, COLUMN (E) INCLUDES SOME DOUBLE REPORTING. THE ACTUAL AMOUNT EARNED DURING THE CALENDAR YEAR REPORTING PERIOD WAS $2,155,495 (CALCULATED BY SUBTRACTING COLUMN F FROM COLUMN E). THE ADDITIONAL AMOUNT SHOWN IN COLUMN E INCLUDES PREVIOUSLY REPORTED DEFERRED COMPENSATION THAT WAS VESTED AND PAID DURING THE REPORTING PERIOD. DEFERRED COMPENSATION INCLUDES AMOUNTS FOR ACHIEVING PERFORMANCE MEASURES WHICH ARE SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICE TO THE UNIVERSITY. NOTE TO PART I, LINE 5A DR. DAVID SILVERS' COMPENSATION IS COMPRISED OF BASE COMPENSATION AND INCENTIVE COMPENSATION DETERMINED FROM HIS PERFORMANCE OF, AND REVENUES FROM, CLINICAL DUTIES IN THE UNIVERSITY'S DERMATOPATHOLOGY PRACTICE WHERE HE IS THE DIRECTOR, AND IS SUBJECT TO A CAP FOR EACH ACADEMIC YEAR. NOTE TO PART I, LINE 7 NOTE TO N.P. NARVEKAR AND PETER HOLLAND'S COMPENSATION THE UNIVERSITY HAS IMPLEMENTED A BONUS PROGRAM UNDER WHICH MR. NARVEKAR AND MR. HOLLAND ARE AWARDED PERFORMANCE-BASED BONUSES, A PORTION OF WHICH IS PAID CURRENTLY AND A PORTION OF WHICH IS SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICE WITH THE UNIVERSITY. BONUS AMOUNTS AWARDED AND DEFERRED FROM PREVIOUS PERIODS WITH EARNINGS THEREON PAID DURING THE CALENDAR YEAR REPORTING PERIOD ARE INCLUDED AS BONUS AND INCENTIVE COMPENSATION IN COLUMN B(II). AMOUNTS AWARDED DURING THE CALENDAR YEAR REPORTING PERIOD BUT SUBJECT TO VESTING ARE INCLUDED AS DEFERRED COMPENSATION IN COLUMN C. THIS AMOUNT IS ALSO INCLUDED IN COLUMN (E), PART II. THEREFORE, THE NUMBER IN COLUMN E REPRESENTS SOME DOUBLE REPORTING. THE ACTUAL AMOUNT EARNED DURING THE CALENDAR YEAR REPORTING PERIOD (CALCULATED BY SUBTRACTING COLUMN F FROM COLUMN E) IS $3,370,051 FOR MR. NARVEKAR AND $3,040,911 FOR MR. HOLLAND. NOTE TO PROVOST BRINKLEY'S COMPENSATION PROFESSOR BRINKLEY STEPPED DOWN AS PROVOST ON AUGUST 30, 2010. THE AMOUNT SHOWN REFLECTS COMPENSATION PAID TO HIM AS CHAIR PROFESSOR OF HISTORY. NOTE TO DR. GOLDMAN'S COMPENSATION THE UNIVERSITY HAS AGREED TO PROVIDE DR. GOLDMAN WITH SUPPLEMENTAL RETIREMENT INCOME BASED ON CUMULATIVE ANNUAL CREDITS INCLUDING AMOUNTS FOR ACHIEVING PERFORMANCE MEASURES, SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICES TO THE UNIVERSITY. CREDITS AWARDED FOR THE CALENDAR YEAR REPORTING PERIOD ($456,000) ARE INCLUDED AS DEFERRED COMPENSATION. NOTE TO KENNETH FORDE'S COMPENSATION KENNETH FORDE'S REPORTED COMPENSATION WAS PAID FROM A DEFERRED COMPENSATION AGREEMENT IN EFFECT WHEN DR. FORDE WAS A PROFESSOR OF SURGERY AT THE UNIVERSITY AND THE REPORTED NON-TAXABLE BENEFITS REFLECT BENEFITS FROM PARTICIPATION IN A RETIREE BENEFITS PLAN. DR. FORDE IS RETIRED FROM HIS UNIVERSITY POSITION AND RECEIVES NO COMPENSATION OR OTHER BENEFITS FOR HIS DUTIES AS A TRUSTEE. NOTE TO DR. MOSES', DR. SMITH'S, DR. BACHA'S, & DR. LEON'S COMPENSATION. THE COMPENSATION OF DR. MOSES, DR. SMITH, DR. BACHA, AND DR. LEON IS SUPPORTED BY THEIR CLINICAL ACTIVITIES, GRANTS, AND SUPPORT FROM THE UNIVERSITY'S HOSPITAL AFFILIATES. NOTE ON TRUSTEES TRUSTEES' TIME DEVOTED TO POSITION (3 HOURS PER WEEK) REPRESENTS AN AVERAGE FOR ALL TRUSTEES BASED ON ATTENDANCE AT QUARTERLY MEETINGS AND REGULARLY SCHEDULED TELEPHONIC CONFERENCES THROUGHOUT THE YEAR. BOARD OFFICERS, COMMITTEE CHAIRS AND OTHER TRUSTEES MAY DEVOTE SIGNIFICANTLY MORE TIME TO THE POSITION.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number
13-5598093
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 DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B
  		14-6000293 649901R49 03-05-2003 122,696,491 FUND NEW QUALIFIED PROJECTS X     X   X
B DORMITORY AUTHORITY OF STATE OF NEW YORK 2004A
  		14-6000293 64983TSW4 06-08-2004 75,547,466 REFUND 1994A BONDS   X   X   X
C DORMITORY AUTHORITY OF STATE OF NEW YORK 2004B&C
  		14-6000293 64983TZD8 06-30-2004 158,627,817 FUND NEW QUALIFIED PROJECTS   X   X   X
D DORMITORY AUTHORITY OF STATE OF NEW YORK 2006A
  		14-6000293 64983QUE7 01-18-2006 239,661,669 FUND NEW QUALIFIED PROJECTS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2006B
  		14-6000293 64983QUE7 01-18-2006 167,228,781 REFUND 1998A, 2000A & 2002B BONDS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2008A
  		14-6000293 649903ZN4 04-23-2008 293,606,826 FUND NEW QUALIFIED PROJECTS X     X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A
  		14-6000293 649905DF0 05-14-2009 117,000,000 FUND NEW QUALIFIED PROJECTS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2011A
  		14-6000293 649906AV6 02-16-2011 312,102,192 FUND NEW QUALIFIED PROJECTS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A
  		14-6000293 649906F33 06-07-2012 174,118,498 REFUNDING AND FUND NEW PROJECTS   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 24,665,000 62,550,000 35,600,000 34,370,000
2 Amount of bonds legally defeased . . . . . . . . . . . 63,120,000 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 123,718,793 75,547,466 159,406,375 246,367,334
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 0 0 0
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 0 0
7 Issuance costs from proceeds . . . . . . . . . . . . 802,880 0 1,020,611 1,516,885
8 Credit enhancement from proceeds . . . . . . . . . . . 0 0 0 0
9 Working capital expenditures from proceeds . . . . . . . . . 0 0 0 0
10 Capital expenditures from proceeds . . . . . . . . . . . 122,097,219 0 157,343,063 243,286,427
11 Other spent proceeds . . . . . . . . . . . . . . 818,694 75,547,466 1,042,701 1,564,052
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2004 2009 2007 2009
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . .   X X     X   X
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X   X   X   X
16 Has the final allocation of proceeds been made? . . . . . . . . X   X   X   X  
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X   X   X   X  
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . . . . . .   X   X   X   X
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X   X   X   X  
For 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   X  
b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property? . . . . . . . . . . . . . . . . X   X   X   X  
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . . X   X   X   X  
d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? . X   X   X   X  
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0% 0% 0.00000% 0%
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0.00000% 0% 0.00000% 0%
6 Total of lines 4 and 5 . . . . . . . . . . . . . . . 0.00000% 0% 0.00000% 0%
7 Does the bond issue meet the private security or payment test? . . . . .   X   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   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   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   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? . . . . . .                
e Was a hedge terminated? . . . . . . .                
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 II, LINE 3 0 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED ON SCHEDULE K, PART II, LINE 11 REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE WITH THE EXCEPTION OF THE 2012A BOND ISSUE. ------------------------------------------------------------- SCHEDULE K, PART II, LINE 13 YEAR OF SUBSTANTIAL COMPLETION, LINE 13, HAS BEEN LEFT BLANK FOR SERIES 2004A AND 2006B ISSUES SINCE THESE WERE REFUNDING ISSUES AND AS SUCH NO PROJECTS WERE ASSOCIATED WITH THE BONDS. --------------------------------------------------------------
SCHEDUEL K, PART III, LINES 4-5 0 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2004B&C, SERIES 2011A AND SERIES 2012A ISSUES AND MINIMAL PRIVATE BUSINESS USE FOR THE REMAINING ISSUES ON SCHEDULE K. --------------------------------------------------------------
SCHEDULE K, PART I, COLUMN (G) 0 COLUMN (G) OF PART I HAS BEEN ANSWERED YES FOR THE 2003A&B AND 2008A BOND ISSUES. THE 2003A BOND ISSUE WAS FULLY DEFEASED AND THE 2008A BOND ISSUE WAS PARTIALLY DEFEASED. --------------------------------------------------------------
SCHEDULE K, PART IV, LINE 2 0 THE LATEST ARBITRAGE COMPUTATION DATE FOR DASNY 2003A&B, 2004A, 2004B&C, 2006A, 2006B, 2008A, 2009A, 2011A AND 2012A WAS DECEMBER 31, 2012.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number
13-5598093
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 DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B
  		14-6000293 649901R49 03-05-2003 122,696,491 FUND NEW QUALIFIED PROJECTS X     X   X
B DORMITORY AUTHORITY OF STATE OF NEW YORK 2004A
  		14-6000293 64983TSW4 06-08-2004 75,547,466 REFUND 1994A BONDS   X   X   X
C DORMITORY AUTHORITY OF STATE OF NEW YORK 2004B&C
  		14-6000293 64983TZD8 06-30-2004 158,627,817 FUND NEW QUALIFIED PROJECTS   X   X   X
D DORMITORY AUTHORITY OF STATE OF NEW YORK 2006A
  		14-6000293 64983QUE7 01-18-2006 239,661,669 FUND NEW QUALIFIED PROJECTS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2006B
  		14-6000293 64983QUE7 01-18-2006 167,228,781 REFUND 1998A, 2000A & 2002B BONDS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2008A
  		14-6000293 649903ZN4 04-23-2008 293,606,826 FUND NEW QUALIFIED PROJECTS X     X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A
  		14-6000293 649905DF0 05-14-2009 117,000,000 FUND NEW QUALIFIED PROJECTS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2011A
  		14-6000293 649906AV6 02-16-2011 312,102,192 FUND NEW QUALIFIED PROJECTS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A
  		14-6000293 649906F33 06-07-2012 174,118,498 REFUNDING AND FUND NEW PROJECTS   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 24,665,000 62,550,000 35,600,000 34,370,000
2 Amount of bonds legally defeased . . . . . . . . . . . 63,120,000 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 123,718,793 75,547,466 159,406,375 246,367,334
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 0 0 0
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 0 0
7 Issuance costs from proceeds . . . . . . . . . . . . 802,880 0 1,020,611 1,516,885
8 Credit enhancement from proceeds . . . . . . . . . . . 0 0 0 0
9 Working capital expenditures from proceeds . . . . . . . . . 0 0 0 0
10 Capital expenditures from proceeds . . . . . . . . . . . 122,097,219 0 157,343,063 243,286,427
11 Other spent proceeds . . . . . . . . . . . . . . 818,694 75,547,466 1,042,701 1,564,052
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2004 2009 2007 2009
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . .   X X     X   X
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X   X   X   X
16 Has the final allocation of proceeds been made? . . . . . . . . X   X   X   X  
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X   X   X   X  
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . . . . . .   X   X   X   X
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X   X   X   X  
For 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   X  
b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property? . . . . . . . . . . . . . . . . X   X   X   X  
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . . X   X   X   X  
d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? . X   X   X   X  
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0% 0% 0.00000% 0%
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0.00000% 0% 0.00000% 0%
6 Total of lines 4 and 5 . . . . . . . . . . . . . . . 0.00000% 0% 0.00000% 0%
7 Does the bond issue meet the private security or payment test? . . . . .   X   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   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   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   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? . . . . . .                
e Was a hedge terminated? . . . . . . .                
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 II, LINE 3 0 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED ON SCHEDULE K, PART II, LINE 11 REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE WITH THE EXCEPTION OF THE 2012A BOND ISSUE. ------------------------------------------------------------- SCHEDULE K, PART II, LINE 13 YEAR OF SUBSTANTIAL COMPLETION, LINE 13, HAS BEEN LEFT BLANK FOR SERIES 2004A AND 2006B ISSUES SINCE THESE WERE REFUNDING ISSUES AND AS SUCH NO PROJECTS WERE ASSOCIATED WITH THE BONDS. --------------------------------------------------------------
SCHEDUEL K, PART III, LINES 4-5 0 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2004B&C, SERIES 2011A AND SERIES 2012A ISSUES AND MINIMAL PRIVATE BUSINESS USE FOR THE REMAINING ISSUES ON SCHEDULE K. --------------------------------------------------------------
SCHEDULE K, PART I, COLUMN (G) 0 COLUMN (G) OF PART I HAS BEEN ANSWERED YES FOR THE 2003A&B AND 2008A BOND ISSUES. THE 2003A BOND ISSUE WAS FULLY DEFEASED AND THE 2008A BOND ISSUE WAS PARTIALLY DEFEASED. --------------------------------------------------------------
SCHEDULE K, PART IV, LINE 2 0 THE LATEST ARBITRAGE COMPUTATION DATE FOR DASNY 2003A&B, 2004A, 2004B&C, 2006A, 2006B, 2008A, 2009A, 2011A AND 2012A WAS DECEMBER 31, 2012.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number
13-5598093
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 DORMITORY AUTHORITY OF STATE OF NEW YORK 2003A&B
  		14-6000293 649901R49 03-05-2003 122,696,491 FUND NEW QUALIFIED PROJECTS X     X   X
B DORMITORY AUTHORITY OF STATE OF NEW YORK 2004A
  		14-6000293 64983TSW4 06-08-2004 75,547,466 REFUND 1994A BONDS   X   X   X
C DORMITORY AUTHORITY OF STATE OF NEW YORK 2004B&C
  		14-6000293 64983TZD8 06-30-2004 158,627,817 FUND NEW QUALIFIED PROJECTS   X   X   X
D DORMITORY AUTHORITY OF STATE OF NEW YORK 2006A
  		14-6000293 64983QUE7 01-18-2006 239,661,669 FUND NEW QUALIFIED PROJECTS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2006B
  		14-6000293 64983QUE7 01-18-2006 167,228,781 REFUND 1998A, 2000A & 2002B BONDS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2008A
  		14-6000293 649903ZN4 04-23-2008 293,606,826 FUND NEW QUALIFIED PROJECTS X     X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2009A
  		14-6000293 649905DF0 05-14-2009 117,000,000 FUND NEW QUALIFIED PROJECTS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2011A
  		14-6000293 649906AV6 02-16-2011 312,102,192 FUND NEW QUALIFIED PROJECTS   X   X   X
DORMITORY AUTHORITY OF STATE OF NEW YORK 2012A
  		14-6000293 649906F33 06-07-2012 174,118,498 REFUNDING AND FUND NEW PROJECTS   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 24,665,000 62,550,000 35,600,000 34,370,000
2 Amount of bonds legally defeased . . . . . . . . . . . 63,120,000 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 123,718,793 75,547,466 159,406,375 246,367,334
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 0 0 0
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 0 0
7 Issuance costs from proceeds . . . . . . . . . . . . 802,880 0 1,020,611 1,516,885
8 Credit enhancement from proceeds . . . . . . . . . . . 0 0 0 0
9 Working capital expenditures from proceeds . . . . . . . . . 0 0 0 0
10 Capital expenditures from proceeds . . . . . . . . . . . 122,097,219 0 157,343,063 243,286,427
11 Other spent proceeds . . . . . . . . . . . . . . 818,694 75,547,466 1,042,701 1,564,052
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2004 2009 2007 2009
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . .   X X     X   X
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X   X   X   X
16 Has the final allocation of proceeds been made? . . . . . . . . X   X   X   X  
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X   X   X   X  
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . . . . . .   X   X   X   X
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X   X   X   X  
For 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   X  
b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property? . . . . . . . . . . . . . . . . X   X   X   X  
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . . X   X   X   X  
d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? . X   X   X   X  
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0% 0% 0.00000% 0%
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0.00000% 0% 0.00000% 0%
6 Total of lines 4 and 5 . . . . . . . . . . . . . . . 0.00000% 0% 0.00000% 0%
7 Does the bond issue meet the private security or payment test? . . . . .   X   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   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   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   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? . . . . . .                
e Was a hedge terminated? . . . . . . .                
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 II, LINE 3 0 DIFFERENCES IN AMOUNTS ENTERED IN PART I, COLUMN (E) AND PART II, LINE 3 REPRESENT INVESTMENT EARNINGS. -------------------------------------------------------------- SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS AMOUNTS REPORTED ON SCHEDULE K, PART II, LINE 11 REPRESENT THE NEW YORK STATE BOND TAX ASSOCIATED WITH EACH ISSUE WITH THE EXCEPTION OF THE 2012A BOND ISSUE. ------------------------------------------------------------- SCHEDULE K, PART II, LINE 13 YEAR OF SUBSTANTIAL COMPLETION, LINE 13, HAS BEEN LEFT BLANK FOR SERIES 2004A AND 2006B ISSUES SINCE THESE WERE REFUNDING ISSUES AND AS SUCH NO PROJECTS WERE ASSOCIATED WITH THE BONDS. --------------------------------------------------------------
SCHEDUEL K, PART III, LINES 4-5 0 FOR ALL ISSUES, THE UNIVERSITY HAS ALLOCATED EQUITY INVESTED IN THE FINANCED PROPERTIES TO SOURCES OF PRIVATE BUSINESS USE, WITH THE EXCEPTION OF ISSUANCE COSTS, WITHIN THE REQUIRED TIME FRAME AND HAS CAREFULLY MANAGED THE TYPES OF ACTIVITIES CONDUCTED IN BOND-FINANCED FACILITIES. AS SUCH, THE UNIVERSITY HAS REPORTED 0% PRIVATE BUSINESS USE FOR THE SERIES 2003A&B, SERIES 2004B&C, SERIES 2011A AND SERIES 2012A ISSUES AND MINIMAL PRIVATE BUSINESS USE FOR THE REMAINING ISSUES ON SCHEDULE K. --------------------------------------------------------------
SCHEDULE K, PART I, COLUMN (G) 0 COLUMN (G) OF PART I HAS BEEN ANSWERED YES FOR THE 2003A&B AND 2008A BOND ISSUES. THE 2003A BOND ISSUE WAS FULLY DEFEASED AND THE 2008A BOND ISSUE WAS PARTIALLY DEFEASED. --------------------------------------------------------------
SCHEDULE K, PART IV, LINE 2 0 THE LATEST ARBITRAGE COMPUTATION DATE FOR DASNY 2003A&B, 2004A, 2004B&C, 2006A, 2006B, 2008A, 2009A, 2011A AND 2012A WAS DECEMBER 31, 2012.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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) JOHN COATSWORTH OFFICER HOUSING   X 1,475,000 1,688,419   No Yes   Yes  
Total ......Small Bullet $ 1,688,419
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) EVANGELINE MORPHOS SPOUSE OF FORMER OFFICER 116,400 EMPLOYMENT   No
(2) JANAKI BAKHLE SPOUSE OF KEY EMPLOYEE 138,396 EMPLOYMENT   No
(3) JILL S GOLDMAN SPOUSE OF KEY EMPLOYEE 93,196 EMPLOYMENT   No
(4) CITIGROUP TRUSTEE IS OFFICER 374,431 RENT/INTEREST PMTS TO UNIV   No
(5) CITIGROUP TRUSTEE IS OFFICER 110,474 CARD PAYMENTS/ACCOUNT FEES   No
(6) GOLDMAN SACHS TRUSTEES ARE OFFICER/DIR 7,476,003 CONTRACTS, FEES & COMMISSIONS   No
(7) GOLDMAN SACHS TRUSTEES ARE OFFICER/DIR 2,164,768 DISTRIBUTIONS AND INTEREST   No
(8) APPLE COMPUTER TRUSTEE IS DIRECTOR 2,593,117 PURCHASE OF GOODS   No
(9) BAIN CAPITAL AFFILIATES TRUSTEE IS OFFICER/DIR 4,581,420 INVESTMENT FEES   No
(10) BAIN CAPITAL AFFILIATES TRUSTEE IS OFFICER/DIR 52,477,485 INVESTMENT DISTRIBUTIONS   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
NOTES TO SCHEDULE L   EXCEPT FOR THE AMOUNTS REPORTED ON LINES 4,7, AND 10, ALL AMOUNTS SHOWN ON SCHEDULE L REPRESENT PAYMENTS BY THE UNIVERSITY TO THE INTERESTED PERSON. THE SPOUSES OF KEY EMPLOYEES/OFFICERS LISTED IN SCHEDULE L WERE EMPLOYEES OF THE UNIVERSITY DURING THE REPORTING PERIOD. THEIR COMPENSATION REPORTED ON SCHEDULE L WAS DETERMINED IN ACCORDANCE WITH THE UNIVERSITY'S REGULAR COMPENSATION PRACTICES APPLICABLE TO SIMILARLY SITUATED EMPLOYEES. ALL OF THE BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS DESCRIBED IN SCHEDULE L, PART IV WERE CONDUCTED IN THE ORDINARY COURSE OF BUSINESS AND AT ARM'S LENGTH. NO UNIVERSITY OFFICIAL WHO WAS ALSO AN OFFICER OR DIRECTOR OF AN INTERESTED PERSON PARTICIPATED IN OR INFLUENCED THE UNIVERSITY'S DECISION ABOUT ANY TRANSACTION. SCHEDULE L, PART II THE LOAN REPORTED IN PART II IS INTEREST BEARING AND SECURED BY AN INTEREST IN A PRIMARY RESIDENCE.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
Part I
Types of Property
(a)
Check if applicable 		(b)
Number of contributions or items contributed 		(c)
Noncash contribution amounts reported on
Form 990, Part VIII, line 1g 		(d)
Method of determining
noncash contribution amounts
1 Art—Works of art .... X 9 0  
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 .        
10 Securities—Closely held stock .        
11 Securities—Partnership, LLC,
or trust interests .... 		X 436 40,834,267 COST/SALES PRICE
12 Securities—Miscellaneous ..        
13 Qualified conservation
contribution—Historic
structures ..... 		       
14 Qualified conservation
contribution—Other ... 		       
15 Real estate—Residential .        
16 Real estate—Commercial .. X 1 0  
17 Real estate—Other ...        
18 Collectibles ..... X 2 0  
19 Food inventory ... X 12 0  
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 3 0 0
26 Other Right pointing arrow large image ( PERSONAL PAPERS ) X 3 0 0
27 Other Right pointing arrow large image ( BOOKS ) X 2 0 0
28 Other Right pointing arrow large image ( HOUSEHOLD GOODS ) X 1 0 0
Other Right pointing arrow large image ( SOFTWARE ) X 4 0 0
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
15
Yes
No
30a
During the year, did the organization receive by contribution any property reported in Part I, lines 1-28 that it
must hold for at least three years from the date of the initial contribution, and which is not required to be used
for exempt purposes for the entire holding period? ..................
30a
 
No
b
If "Yes," describe the arrangement in Part II.
31
Does the organization have a gift acceptance policy that requires the review of any non-standard contributions?
31
Yes
 
32a
Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash
contributions? ..........................
32a
Yes
 
b
If "Yes," describe in Part II.
33
If the organization did not report 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
DESCRIPTION OF CONTRIBUTED PROPERTY FOR WHICH REVENUES ARE NOT REPORTED SCHEDULE M, PART I LINE 33 UNDER FAS 116, CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. BECAUSE THE UNIVERSITY UTILIZES CONTRIBUTIONS OF ART AND HISTORICAL TREASURES IN FURTHERANCE OF PUBLIC SERVICE, THESE CONTRIBUTIONS ARE NOT RECOGNIZED AS REVENUE FOR FINANCIAL STATEMENT PURPOSES. IN ADDITION, MINOR GIFTS, SUCH AS FOOD OR SUPPLIES, ARE CONSIDERED DE MINIMUS.
NUMBER OF CONTRIBUTIONS SCHEDULE M, PART I, COLUMN (B) THE FIGURES IN COLUMN (B) REPRESENT THE NUMBER OF CONTRIBUTIONS RECEIVED.
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
Identifier Return Reference Explanation
SUPPLEMENTAL DISCLOSURES   FORM 990, PART I, LINE 4 AND PART VI, LINE 1B DETAIL REGARDING THE NUMBER OF INDEPENDENT VOTING MEMBERS THE UNIVERSITY'S PRESIDENT, A VOTING MEMBER OF THE BOARD, IS NOT COUNTED AS INDEPENDENT BECAUSE HE IS AN EMPLOYEE OF THE UNIVERSITY. IN ACCORDANCE WITH THE FORM 990 REPORTING INSTRUCTIONS, THE UNIVERSITY HAS ALSO NOT COUNTED AS INDEPENDENT FOR THE PURPOSES OF THIS QUESTION THE FIVE TRUSTEES WHO SERVE AS OFFICERS OR DIRECTORS OF ENTITIES LISTED AS INTERESTED PERSONS ON SCHEDULE L, NOR THE TRUSTEE LISTED ON SCHEDULE J WHO IS RETIRED FROM THE UNIVERSITY AND RECEIVED PREVIOUSLY-ACCRUED COMPENSATION DURING THE REPORTING PERIOD BASED UPON HIS PRIOR UNIVERSITY EMPLOYMENT. ------------------------------------------------------------- FORM 990, PART I, LINE 6 DETAIL REGARDING THE NUMBER OF VOLUNTEERS THE NUMBER SHOWN IS AN ESTIMATE OF ALUMNI VOLUNTEERS WHO WORK WITH THE UNIVERSITY'S CENTRAL ALUMNI OFFICE. ADDITIONAL VOLUNTEERS WORK IN MANY OF THE UNIVERSITY'S SCHOOLS, CENTERS AND OTHER PROGRAMS. ------------------------------------------------------------- FORM 990, PART V, LINE 4B FOREIGN COUNTRY LIST BANGLADESH BRAZIL CHILE CHINA CONGO ETHIOPIA FRANCE GERMANY INDIA ITALY COTE D'IVOIRE (IVORY COAST) JAPAN JORDAN KAZAKHSTAN KENYA KYRGYZSTAN LESOTHO MALAWI MALI MOZAMBIQUE NIGERIA RWANDA SENEGAL SOUTH AFRICA SWAZILAND TAJIKISTAN TANZANIA TURKEY UNITED KINGDOM (ENGLAND, NORTHERN IRELAND, SCOTLAND, AND WALES) ZAMBIA ------------------------------------------------------------- FORM 990, PART V, LINES 7G AND 7H CONTRIBUTIONS OF CERTAIN TYPES OF PROPERTY DURING THE YEAR ENDED JUNE 30, 2013, THE UNIVERSITY DID NOT RECEIVE ANY CONTRIBUTIONS OF QUALIFIED INTELLECTUAL PROPERTY, CARS, BOATS, AIRPLANES, OR OTHER VEHICLES. AS A RESULT, THE UNIVERSITY WAS NOT REQUIRED TO FILE FORMS 8899 OR 1098-C TO REPORT SUCH CONTRIBUTIONS. ------------------------------------------------------------- FORM 990, PART VI, LINE 2 DETAIL OF FAMILY/BUSINESS RELATIONSHIPS ARMEN AVANESSIANS AND ESTA STECHER - BUSINESS RELATIONSHIP ANN KAPLAN AND ESTA STECHER - BUSINESS RELATIONSHIP ------------------------------------------------------------- FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW 990 A SUBCOMMITTEE COMPRISED OF MEMBERS OF TRUSTEES AUDIT COMMITTEE REVIEWED THE FORM 990. FOLLOWING THAT REVIEW, THE FORM 990 WAS MADE AVAILABLE TO ALL TRUSTEES VIA A SECURE WEBSITE AND THEN PRESENTED TO THE FULL BOARD OF TRUSTEES AT A MEETING ON MAY 7, 2014. CHANGES MADE SUBSEQUENT TO THE MAY 7, 2014 MEETING WERE REPORTED TO THE SUBCOMMITTEE, AND ALL TRUSTEES WERE NOTIFIED OF THE CHANGES VIA ELECTRONIC MAIL. THE REVISED FORM WAS POSTED ON THE SECURE WEBSITE FOR TRUSTEE REVIEW PRIOR TO FILING. ------------------------------------------------------------- FORM 990, PART VI, LINE 12C DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST ALL TRUSTEES ARE SUBJECT TO THE "STATEMENT OF CONFLICT OF INTEREST POLICY FOR THE TRUSTEES OF COLUMBIA UNIVERSITY." WHEN A TRUSTEE BECOMES AWARE OF AN EXISTING OR POTENTIAL CONFLICT OF INTEREST, HE OR SHE HAS A DUTY TO: (A) DISCLOSE THE CIRCUMSTANCES TO THE BOARD CHAIR OR OTHERS, AS APPROPRIATE, (B) REFRAIN FROM ACTING TO INFLUENCE ANY DECISION WHICH MIGHT IN IMPROPERLY BENEFIT THE TRUSTEE OR A FAMILY MEMBER; AND (C) RECUSE HIMSELF OR HERSELF FROM PARTICIPATION IN ANY DISCUSSIONS OR DECISIONS ABOUT THE POTENTIAL TRANSACTION OR ACTIVITY. IN ADDITION, ALL TRUSTEES ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THE DISCLOSURES ARE REVIEWED FOR APPROPRIATE ACTION. ALL OFFICERS AND KEY EMPLOYEES ARE SUBJECT TO THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST," AND ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD GIVE RISE TO CONFLICTS. THESE DISCLOSURES ARE REVIEWED THROUGH A FORMAL ADMINISTRATIVE PROCESS. ANY DISCLOSURES THAT COULD GIVE RISE TO CONFLICTS AS IDENTIFIED THROUGH SUCH REVIEW ARE REPORTED TO AN APPROPRIATE SENIOR OFFICER. ANY SUBSTANTIVE CONCERNS ARE ALSO REPORTED TO THE CHAIR OF THE BOARD OF TRUSTEES. ------------------------------------------------------------- FORM 990, PART VI, LINES 15A AND 15B COMPENSATION PROCESS THE UNIVERSITY FOLLOWS THE REVIEW PROCESS DESCRIBED BELOW FOR ALL OFFICERS AND KEY EMPLOYEES. THIS PROCESS HAS BEEN IN PLACE SINCE AT LEAST 2000. THE COMPENSATION FOR THE ORGANIZATION'S PRESIDENT IS REVIEWED BY A COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES AND APPROVED BY THE INDEPENDENT TRUSTEES ON THE FULL BOARD. THE COMPENSATION OF OTHER OFFICERS AND KEY EMPLOYEES IS REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF INDEPENDENT TRUSTEES. IN CONNECTION WITH THE PRESIDENT'S COMPENSATION, THE COMPENSATION COMMITTEE AND THE BOARD REVIEW COMPARABILITY DATA AND MINUTES OF DELIBERATIONS ARE RECORDED CONTEMPORANEOUSLY WITH ANY ACTION. WITH RESPECT TO OTHER OFFICERS AND KEY EMPLOYEES, THE COMMITTEE FOLLOWS THE SAME PROCESS FOR REVIEW OF COMPARABILITY DATA AND CONTEMPORANEOUS DOCUMENTATION OF ITS ACTIONS. IN THE CASE OF THE ORGANIZATION'S PRESIDENT AND CERTAIN OTHER OFFICERS AND KEY EMPLOYEES, THE COMPENSATION COMMITTEE HAS ALSO CONSULTED WITH INDEPENDENT COMPENSATION CONSULTANTS IN DETERMINING COMPENSATION. THE COMPENSATION OF THE PRESIDENT AND THE EXECUTIVE VICE PRESIDENT OF THE INVESTMENT MANAGEMENT COMPANY IS ALSO REVIEWED AND APPROVED BY A COMPENSATION COMMITTEE OF THE INVESTMENT MANAGEMENT COMPANY'S BOARD OF MANAGERS. SUCH COMPENSATION COMMITTEE IS COMPRISED OF INDEPENDENT MEMBERS OF THE BOARD MANAGERS. "INDEPENDENT TRUSTEE" OR "INDEPENDENT MEMBER" AS USED IN THIS FOOTNOTE MEANS WITHOUT A CONFLICT OF INTEREST WITHIN THE MEANING OF PARAGRAPH (c)(1)(iii) OF REGULATION 53.4958-6 OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE FORM 990 INSTRUCTIONS, PART VI, LINE 1B ABOVE USES A DIFFERENT DEFINITION. ------------------------------------------------------------- FORM 990, PART VI, QUESTION 19 DOCUMENTS AVAILABILITY TO PUBLIC THE ORGANIZATION'S CHARTER AND STATUTES, FINANCIAL STATEMENTS AND THE "STATEMENT OF UNIVERSITY POLICY ON CONFLICTS OF INTEREST" ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE AT WWW.COLUMBIA.EDU. -------------------------------------------------------------
FORM 990, PART VII   COMPENSATION OF TRUSTEES NOTE TO JOSEPH GREENAWAY'S COMPENSATION: JOSEPH GREENAWAY BECAME A TRUSTEE ON JUNE 1, 2012. HIS REPORTED COMPENSATION WAS PAID IN CONNECTION WITH HIS DUTIES AS AN ADJUNCT PROFESSOR AT THE UNIVERSITY IN THE SPRING 2012 SEMESTER, PRIOR TO BECOMING A TRUSTEE. JUDGE GREENAWAY NO LONGER SERVES AS AN ADJUNCT PROFESSOR AND RECEIVES NO COMPENSATION OR OTHER BENEFITS FOR HIS DUTIES AS A TRUSTEE. NOTE TO RICHARD WITTEN'S COMPENSATION: RICHARD WITTEN STEPPED DOWN AS A TRUSTEE ON SEPTEMBER 3, 2012. HIS REPORTED COMPENSATION WAS PAID IN CONNECTION WITH HIS DUTIES AS A NON-KEY/NON-OFFICER EMPLOYEE OF THE UNIVERSITY SUBSEQUENT TO HIS SERVICE AS A TRUSTEE, AND WAS APPROVED BY THE TRUSTEES COMPENSATION COMMITTEE IN THE MANNER DESCRIBED IN SCHEDULE O. MR. WITTEN RECEIVED NO COMPENSATION OR OTHER BENEFITS FOR HIS DUTIES AS A TRUSTEE. ------------------------------------------------------------- FORM 990, PART VIII DETAIL REGARDING ROYALTY INCOME/EXPENSE THE UNIVERSITY PERIODICALLY FUNDS AND DEVELOPS PATENTS FOR CERTAIN TECHNOLOGIES, THEN LICENSES THE USAGE OF THESE PATENTS TO COMPANIES. THE REVENUE, NET OF PAYMENTS DUE TO THIRD PARTIES, IS RECORDED IN "REVENUE FROM OTHER EDUCATIONAL AND RESEARCH ACTIVITIES" IN THE CONSOLIDATED STATEMENT OF ACTIVITIES. COSTS INCURRED WITH DEVELOPING AND MAINTAINING THESE PATENTS ARE EXPENSED AS INCURRED SO THAT WHILE ROYALTIES ARE PAID TO FACULTY AND OTHERS IN CERTAIN CIRCUMSTANCES THESE AMOUNTS ARE NOT REFLECTED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART VIII, LINE 8 AND SCHEDULE G, PART II DESCRIPTION OF ACCOUNTING FOR FUNDRAISING EVENTS AMOUNTS REPORTED FOR FUNDRAISING EVENTS REPRESENT REVENUE AND EXPENSES THAT ARE SEPARATELY TRACKED. THE REVENUE AND EXPENSES FROM ADDITIONAL FUNDRAISING ACTIVITIES ARE NOT SEPARATELY TRACKED AND ARE INCLUDED WITHIN CONTRIBUTION REVENUE AND FUNDRAISING EXPENSES. ------------------------------------------------------------- FORM 990, PART IX, LINE 11F INVESTMENT MANAGEMENT FEES THE INVESTMENT MANAGEMENT FEES REPORTED ON THE STATEMENT OF FUNCTIONAL EXPENSES REPRESENT FEES TO THIRD PARTY INVESTMENT MANAGERS AND INCLUDE MANAGEMENT FEE AND PERFORMANCE FEE EXPENSES ASSOCIATED WITH SEPARATELY MANAGED ACCOUNTS. INVESTMENT MANAGEMENT FEES ASSOCIATED WITH FUND INVESTMENTS ARE REPORTED NET AGAINST INVESTMENT INCOME AND THEREFORE ARE NOT INCLUDED IN THE STATEMENT OF FUNCTIONAL EXPENSES. ------------------------------------------------------------- FORM 990, PART IX FUNCTIONAL EXPENSES FORM 990, PART IX FUNCTIONAL EXPENSE TOTALS REFLECT THE ELIMINATION OF DEPARTMENTAL OVERHEAD RECOVERIES INCURRED BY PROGRAMMATIC BUSINESS UNITS. THE MAJORITY OF RECOVERED EXPENSES ARE SHOWN IN LINE 24F, OTHER EXPENSES. -------------------------------------------------------------
FORM 990, PART X, LINE 7   LOANS RECEIVABLE FROM STUDENTS TOTAL $99,295,000. LOANS RECEIVABLE FROM NON-KEY EMPLOYEES TOTAL $16,728,336. THE LOANS FROM NON-KEY EMPLOYEES HAVE VARIOUS INTEREST RATES RANGING FROM 1.95% TO 6.5%, WITH MATURITY DATES RANGING FROM 2013 THROUGH 2042. THE OUTSTANDING BALANCES RANGE FROM $1,263 TO $2,585,629 AND A PORTION OF WHICH ARE SECURED BY A PRINCIPAL RESIDENCE. LOANS RECEIVABLE FROM OTHER 501(C)(3) ORGANIZATIONS TOTAL $1,192,574. ------------------------------------------------------------------------ FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS OR FUND BALANCE CHANGE IN FUNDS HELD BY OTHER IN PERPETUITY 10,198,236 PRESENT VALUE ADJUSTMENT TO SPLIT INTEREST AGREEMENTS (4,474,273) CHANGES IN PENSION AND POST-RETIREMENT OBLIGATIONS 45,027,996 OTHER NON-OPERATING ACTIVITIES 13,137,079 -------------- TOTAL OTHER CHANGES IN NET ASSETS 63,889,038 ------------------------------------------------------------------------ FORM 990, PART XII, LINE 2 AUDIT OF THE UNIVERSITY'S FINANCIAL STATEMENTS THE CONSOLIDATED FINANCIAL STATEMENTS OF THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK ARE AUDITED BY PRICEWATERHOUSECOOPERS, AN INDEPENDENT AUDITOR. THE UNCONSOLIDATED FINANCIAL STATEMENTS REFLECTED IN THIS RETURN REPRESENT APPROXIMATELY 99% OF THE NET ASSETS OF THE CONSOLIDATED GROUP. THE UNIVERSITY'S BOARD OF TRUSTEES HAS AN AUDIT COMMITTEE, COMPRISED OF NON-EMPLOYEE TRUSTEES, WHICH IS RESPONSIBLE FOR OVERSIGHT OF THE AUDIT, REVIEW, AND COMPILATION OF THE FINANCIAL STATEMENTS AND SELECTION OF THE INDEPENDENT AUDITOR. -----------------------------------------------------------------------
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
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number

13-5598093
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) COLUMBIA INVESTMENT MGT COMPANY LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		INVEST MGMT NY 0 0 COLUMBIA
 
(2) CIM I LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901851 		INVEST HOLDNG DE 39,813,733 462,513,342 COLUMBIA
 
(3) CIM II LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901854 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(4) CIM III LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901855 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(5) CIM IV LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901856 		INVEST HOLDNG DE 32,573,900 0 COLUMBIA
 
(6) CIM V LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901861 		INVEST HOLDNG DE -2,027,637 26,317,224 COLUMBIA
 
(7) CONQUEST MANAGED FUTURES SELECT FUND II
540 MADISON AVENUE 20TH FLOOR
NEW YORK,NY10022
13-5598093 		INVESTMENTS DE -2,027,637 26,317,224 CIM V
 
(8) CIM VI LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901857 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(9) CIM VII LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901858 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(10) CIM VIII LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901859 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(11) CIM IX LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901860 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(12) CIM X LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901862 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(13) CIM XI LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901863 		INVEST HOLDNG DE 58,031 0 COLUMBIA
 
(14) CIM XII LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901864 		INVEST HOLDNG DE 1,182,127 35,156,984 COLUMBIA
 
(15) CIM XIII LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901865 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(16) CIM PARENT LLC
15 PIEDMONT CENTER SUITE 1250
ATLANTA,GA30305
13-5598093 		INVESTMENTS DE 0 0 CIM XIII LLC
 
(17) CIM XIV LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901866 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(18) CIM XV LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3901868 		INVEST HOLDNG DE 6,065,463 18,029,135 COLUMBIA
 
(19) CIM XVI LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-3951901 		INVEST HOLDNG DE 2,232 0 COLUMBIA
 
(20) CIM XVII LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
14-1977498 		INVEST HOLDNG DE 0 1,762,331 COLUMBIA
 
(21) CIM XVIII LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
14-1977500 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(22) CIM XIX LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
14-1977503 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(23) CIM XX LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
14-1977505 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(24) CIM XXI LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
14-1977507 		INVEST HOLDNG DE 0 0 COLUMBIA
 
(25) DYNAMO BRASIL VI LLC
1209 ORANGE STREET
WILMINGTON,DE19801
13-5598093 		INVESTMENTS DE 0 141,480,622 COLUMBIA
 
(26) COLUMBIA AFFILIATED PHYSICIANS IPA LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
26-2162648 		PHYSICNS PRAC NY 478,050 1,079,847 COLUMBIA
 
(27) COLUMBIA DIGITAL KNOWLEDGE VENTURES LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
06-1576880 		NEW MEDIA NY 0 0 COLUMBIA
 
(28) HITHER PROPERTY LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
27-0201222 		REAL ESTATE DE 0 0 COLUMBIA
 
(29) CU GSAPP LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		EDUCATION NY 72,630 0 COLUMBIA
 
(30) EI RWANDA LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTH RESCH NY 0 9,383 COLUMBIA
 
(31) MSPH ETHIOPIA LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 3,539,530 COLUMBIA
 
(32) MSPH KENYA LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 2,138,448 COLUMBIA
 
(33) MSPH LESOTHO LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 443,944 COLUMBIA
 
(34) MSPH MOZAMBIQUE LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 2,220,535 COLUMBIA
 
(35) MSPH NIGERIA LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 150,721 COLUMBIA
 
(36) MSPH RWANDA LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 83,398 COLUMBIA
 
(37) MSPH SOUTH AFRICA LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 770,013 COLUMBIA
 
(38) MSPH TANZANIA LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 2,751,870 COLUMBIA
 
(39) MSPH TAJIKISTAN LLC
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 132,042 COLUMBIA
 
(40) MSPH KG
615 WEST 131ST STREET MC8741
NEW YORK,NY10027
13-5598093 		HEALTHCARE NY 0 104,368 COLUMBIA
 
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) CIS I LLC

615 WEST 131ST STREET MC8741

NEW YORK,NY10027
13-3901821 		TITLE HOLDING NY 501(C)(2) N/A COLUMBIA
 
Yes
 
(2) CIS II LLC

615 WEST 131ST STREET MC8741

NEW YORK,NY10027
13-3901826 		TITLE HOLDING NY 501(C)(2) N/A COLUMBIA
 
Yes
 
(3) COLUMBIA OPHTHALMOLOGY CONSULTANTS INC

635 WEST 165TH STREET ROOM 218

NEW YORK,NY10032
13-3908637 		HEALTHCARE NY 501(C)(3) 7 COLUMBIA
 
Yes
 
(4) COLUMBIA UNIVERSITY HEALTH CARE INC

630 WEST 168TH STREET

NEW YORK,NY10032
13-3948652 		HEALTHCARE NY 501(C)(3) 9 COLUMBIA
 
Yes
 
(5) COL PRESBYTERIAN MEDICAL CENTER FUND INC

630 WEST 168TH STREET

NEW YORK,NY10032
13-6162924 		FUNDRAISING NY 501(C)(3) 11A NA
 
 
No
(6) COL UNIV RETIREE MED LIFE INS BNFITS TR

535 WEST 116TH STREET

NEW YORK,NY10027
13-3800106 		BENEFITS SUPP NY 501(C)(3) 11A COLUMBIA
 
Yes
 
(7) COLUMBIA UNIVERSITY PRESS

136 SOUTH BROADWAY

IRVINGTON,NY10533
13-1623968 		ACADEMIC PUB NY 501(C)(3) 11A COLUMBIA
 
Yes
 
(8) FRIENDS OF COLUMBIA PSYCHOANALYTIC CTR

1051 RIVERSIDE DRIVE

NEW YORK,NY10032
13-3118570 		EDUC SUPPORT NY 501(C)(3) 11A NA
 
 
No
(9) MORNINGSIDE HEIGHTS LEGAL SERVICES INC

435 WEST 116TH STREET BOX C16 RM8

NEW YORK,NY10027
51-0192355 		CLINICAL EDUC NY 501(C)(3) 11A COLUMBIA
 
Yes
 
(10) REID HALL INC

535 WEST 116TH STREET

NEW YORK,NY10027
13-1611126 		EDU/CUL EXCH NY 501(C)(3) 11A COLUMBIA
 
Yes
 
(11) CENTRE UNIVERSITAIRE AMERICAN REID HALL

535 WEST 116TH STREET

NEW YORK,NY10027
 EDUCATION FR N/A N/A REID HALL
 
Yes
 
(12) COLUMBIA UNIVERSITY PROGRAMS IN PARIS

4 RUE DE CHEVREUSE
  PARIS75006
FR
EDUCATION FR N/A N/A REID HALL
 
Yes
 
(13) CU NEW YORK

4 RUE DE CHEVREUSE
  PARIS75006
FR
EDUCATION FR N/A N/A REID HALL
 
Yes
 
(14) RESEARCH COLLECTIONS AND PRES CONSORTIUM

400 FORRESTAL ROAD

PRINCETON,NJ08540
22-3751732 		LIBRARY COLL NJ 501(C)(3) 11A NA
 
 
No
(15) FOUNDATION FOR CTR FOR ENERGY MARINE

3225 GALLOWS RD

FAIRFAX,VA22037
54-1962639 		EDUC SUPPORT DE 501(C)(3) 11D NA
 
 
No
(16) THE CLYDE & HELEN WU FAMILY FOUNDATION

1275 AUDOBON AVENUE

GROSSE POINTE PARK,MI48230
38-3441481 		EDUC SUPPORT MI 501(C)(3) 11D NA
 
 
No
(17) CENTER FOR ENVIRONMENT ECONOMY & SOCIETY

2852 BROADWAY

NEW YORK,NY10025
 RESEARCH DR N/A N/A CIP
 
Yes
 
(18) CENTER FOR NATL HLTH DEVELP IN ETHIOPIA

KEBELE 06 H NO 447
P.O BOX 664,ADDIS ABABACODE 1250
ET
HEALTHCARE ET N/A N/A COLUMBIA
 
Yes
 
(19) CENTERS FOR INTERNATIONAL PROJECTS TRUST

APT 101 K-62 HAUZ KHAS ENCLAVE
NEW DELHI   110016
IN
RESEARCH IN N/A N/A CIP
 
Yes
 
(20) COLUMBIA GLOBAL CENTER IN INDIA

630 W 168TH STREET

NEW YORK,NY10032
 RESEARCH IN N/A N/A CGC LLC
 
Yes
 
(21) COLUMBIA UK FUND LTD

615 WEST 131ST STREET MC8741

NEW YORK,NY10027
 FUNDRAISING UK N/A N/A COLUMBIA
 
Yes
 
(22) COLUMBIA UNIVERSITY HONG KONG FUND

 
 
FUNDRAISING HK N/A N/A COLUMBIA
 
Yes
 
(23) MSPH SWAZILAND

615 WEST 131ST STREET MC8741

NEW YORK,NY10027
 HEALTHCARE WZ N/A N/A CIP
 
Yes
 
(24) FUNDACION COLUMBIA U GLOBAL CTR - CHILE

AVDAG HAMMASKJOLD 32691ST FL
VITACURA,SANTIAGO  
CI
RESEARCH CI N/A N/A COLUMBIA
 
Yes
 
(25) ASSOCIACAO COLUMBIA GLOBAL CENTERBRASIL

RUA DA CANDELARIA 9 3O ANDAR
CENTRO,RIO DE JANEIRO  
BR
RESEARCH BR N/A N/A GCG LLC
 
Yes
 
(26) INSTITUTE ON MEDICINE AS A PROFESSION

C/O 630 WEST 168TH STREET PS BOX

NEW YORK,NY10032
33-1033330 		HEALTHCARE DE 501(C)(3) 11C 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
(1) AP MC FUND I LP

ENTSUJI GADELIUS BLDG 1F 2-39
AKASAKA 5-CHOME, TOKYO,MI107-0052
JA
98-0504300 		INVESTMENTS JA COLUMBIA
  		excluded 7 5,113,891   No 0   No 66.478 %
(2) AP RX FUND I LP

STRATEGIC SCENARIO CO BLDG 1F 2-39
AKASAKA 5-CHOME, TOKYO,MI107-0052
JA
98-0515907 		INVESTMENTS JA COLUMBIA
  		EXCLUDED 11 8,628,580   No 0   No 99.503 %
(3) MERIT ENERGY PARTNERS V LP

13727 NOEL ROAD SUITE 500
DALLAS,TX75240
75-2411038 		INVESTMENTS TX COLUMBIA
  		EXCLUDED 15,490,051 28,736,838   No 0   No 98.121 %
(4) PRIDES MONSTER FUND LP

200 HIGH STREET SUITE 700
BOSTON,MA02110
27-0574628 		INVESTMENTS DE COLUMBIA
  		EXCLUDED 0 3,560,023   No 0   No 100.000 %
(5) EMPIRE INSTOPP I

6617 N SCOTTSDALE RD STE 101
SCOTTSDALE,AZ85250
45-2787490 		INVESTMENTS AZ COLUMBIA
  		EXCLUDED 13,396,240 38,239,926   No 0   No 99.206 %
(6) WAYPOINT FUND I LP

1999 HARRISON STREET 22ND FLOOR
OAKLAND,CA94612
45-2787363 		INVESTMENTS CA COLUMBIA
  		EXCLUDED 570,070 23,811,082   No 0   No 99.010 %
(7) WC SELECT LP

3 BETHESDA METRO CTR STE 810
BETHESDA,MD20814
20-5041324 		INVESTMENTS MD COLUMBIA
  		EXCLUDED 11,252,672 0   No 0   No 0 %
(8) GCM GROSVENOR BLUE LP

ONE MADISON AVENUE
NEW YORK,NY10010
30-0773582 		INVESTMENTS DE COLUMBIA
  		excluded 0 0   No 0   No 99.724 %
(9) Q INDIA EQUITY FUND LIMITED

 
 
98-0494924 		INVESTMENTS MP COLUMBIA
  		EXCLUDED 1,312,655 45,185,584   No 0   No 54.100 %
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) 16 EAST 60TH STREET CORPORATION

615 WEST 131ST STREET MC 8741
NEW YORK,NY10027
13-3675222 		REAL ESTATE NY COLUMBIA
  		C-CORP 0 0 100.000 % Yes  
(2) 2301 12TH AVENUE OWNERS CORP

615 WEST 131ST STREET MC 8741
NEW YORK,NY10027
99-1786950 		REAL ESTATE NY COLUMBIA
  		C-CORP 0 0 100.000 % Yes  
(3) COLUMBIA PRESBYTERIAN IPA

161 FORT WASHINGTON AVE SUITE 132
NEW YORK,NY10032
13-3396165 		PHYS PRACTICE NY COLUMBIA
  		C-CORP 0 0 100.000 % Yes  
(4) FATHOM KNOWLEDGE NETWORK INC

615 WEST 131ST STREET MC 8741
NEW YORK,NY10027
13-4054997 		NEW MEDIA NY COLUMBIA
  		C-CORP 0 0 100.000 % Yes  
(5) FREEZER BOX INC

615 WEST 131ST STREET MC 8741
NEW YORK,NY10027
99-1596696 		REAL ESTATE NY COLUMBIA
  		C-CORP 0 0 100.000 % Yes  
(6) MORNINGSIDE INC

311 LOW MEMORIAL LIBRARY
NEW YORK,NY10027
06-1430120 		REAL ESTATE NY COLUMBIA
  		C-CORP 0 0 100.000 % Yes  
(7) COLUMBIA DOCTORS OF NEW JERSEY

630 WEST 168TH STREET
NEW YORK,NY10032
26-4364931 		HEALTHCARE NJ COLUMBIA
  		C-CORP 3,689,317 925,259 100.000 % Yes  
(8) COLUMBIA INTERNATIONAL CENTER IN BEIJING

TOWERA TSINGHUA SCIENCEPARK
CHENGFURD,HAIDIAN100084
CH
EDUCATION CH COLUMBIA
  		FOREIGN CORP 0 62,896 100.000 % Yes  
(9) COL GLOBAL CENTER EASTERN & SOUTH AFRICA

PO BOX 51412
NAIROBI   00100
KE
RESEARCH KE COLUMBIA
  		LTD GUARANTEE 0 3,050,024 100.000 % Yes  
(10) ASM HUDSON RIVER FUND

WALKER HOUSE 87 MARY STREET
GEORGE TOWN,GRAND CAYMANKY1-9002
CJ
INVESTMENTS CJ COLUMBIA
  		REG MUTUAL FUND 0 125,987,207 100.000 % Yes  
(11) CALUNIUS LITIGATION RISK FUND LP

1ST FLOOR DOREY COURT ADMIRAL PARK
ST PETER PORT,GUERNSEYGY1 6HJ
GK
98-0684876 		INVESTMENTS GK COLUMBIA
  		FOREIGN CORP 0 15,233,735 75.030 % Yes  
(12) COLUMBIAPATRON SCOTLAND LP

50 LOTHIAN ROAD FESTIVAL SQUARE
EDINBURGH,SCOTLANDEH3 9BY
UK
INVESTMENTS UK COLUMBIA
  		FOREIGN CORP 0 5,573,739 100.000 % Yes  
(13) FPCM INFLATION LINKED OPPORTUNITIES LTD

WALKER HOUSE 87 MARY STREET
GEORGE TOWN,GRAND CAYMANKY1-9002
CJ
INVESTMENTS CJ COLUMBIA
  		FOREIGN CORP 39,813,733 462,513,342 100.000 % Yes  
(14) HARBOUR LITIGATION INVEST OFFSHORE FUND

PO BOX 309 UGLAND HOUSE
  GRAND CAYMANKY1-1104
CJ
98-0660716 		INVESTMENTS CJ COLUMBIA
  		FOREIGN CORP -120,622 12,990,404 100.000 % Yes  
(15) NCH INVESTORS FUND (CU) CORP

UGLAND S CHURCH ST PO BOX 309
GEORGE TOWN,GRAND CAYMANKY1-1104
CJ
INVESTMENTS CJ COLUMBIA
  		FOREIGN CORP 0 1,078,456 100.000 % Yes  
(16) CHARITABLE REMAINDER TRUSTS (49)

 
 
N/A NY COLUMBIA
  		TRUST       Yes  
(17) POOLED INCOME FUNDS (3)

 
 
N/A NY COLUMBIA
  		TRUST       Yes  
(18) CENTERS FOR INTERNATIONAL PROG

535 WEST 116TH STREET
NEW YORK,NY10027
13-5598093 		RESEARCH DE COLUMBIA
  		C-CORP 0 635,697   Yes  
(19) GLOBAL HEALTH RESEARCH CNTR-CE

1255 AMSTERDAM AVENUE
NEW YORK,NY10027
 RESEARCH DE COLUMBIA
  		C-CORP 0 345,922   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
Yes
 
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
Yes
 
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
 
No
s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1s
Yes
 
2
If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.
(a)
Name of other organization 		(b)
Transaction
type (a-s) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) GCM GROSVENOR BLUE LP

 B 24,985,373 FMV
(2) GCM GROSVENOR BLUE LP

 S 4,765,755 FMV
(3) EMPIRE INSTITUTIONAL OPPORTUNITY FUND I LP

 S 39,915,565 FMV
(4) MERIT ENERGY PARTNERS V LP

 S 10,692,000 FMV
(5) Q INDIA EQUITY FUND LIMITED

 B 40,000,000 FMV
(6) WAYPOINT FUND I LP

 S 1,274,959 FMV
(7) WC SELECT LP

 S 54,069,354 FMV
(8) CALUNIUS LITIGATION RISK FUND LP

 B 10,578,520 FMV
(9) COLUMBIAPATRON SCOTLAND LP

 S 91,384 FMV
(10) FPCM INFLATION LINKED OPPORTUNITIES LTD

 S 75,000,000 FMV
(11) HARBOUR LITIGATION INVESTMENT OFFSHORE FUND

 B 7,083,524 FMV
(12) HARBOUR LITIGATION INVESTMENT OFFSHORE FUND

 S 989,255 FMV
(13) REID HALL INC

 B 344,485 FMV
(14) COLUMBIA OPHTHALMOLOGY CONSULTANTS INC

 B 1,316,111 FMV
(15) COLUMBIA UNIVERSITY HEALTH CARE INC

 B 3,088,530 FMV
(16) COLUMBIA UNIVERSITY PRESS

 B 1,000,000 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
SCHEDULE R   COLUMBIA UNIVERSITY OWNS AN 81.57% INTEREST IN 2700 BROADWAY CONDOMINIUM, WHICH IS TREATED AS A CONDOMINIUM ASSOCIATION UNDER NEW YORK STATE LAW. -------------------------------------------------------------- SCHEDULE R, PART I END-OF-YEAR ASSET REPORTING CERTAIN DISREGARDED ENTITIES LISTED IN SCHEDULE R, PART I MAY HOLD VEHICLES, OFFICE EQUIPMENT AND RELATED ITEMS, THE VALUE OF WHICH IS INCLUDED IN THE UNIVERSITY'S BALANCE SHEET IN PART X OF THIS FORM 990 BUT IS NOT REFLECTED IN COLUMN (E) END-OF-YEAR ASSETS. ------------------------------------------------------------------- SCHEDULE R, PART I INCOME/ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM I, LLC WHICH OWNS 100% OF THE SHARES ENTITLED TO THE INCOME AND ASSETS OF FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM I, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO FPCM INFLATION-LINKED OPPORTUNITIES FUND, LIMITED AS REPORTED IN SCHEDULE R, PART IV. THE SHARES OWNED BY CIM I ARE NON-VOTING SHARES. --------------------------------------------------------------------- SCHEDULE R, PART I, COLUMNS (D) AND (E) INCOME AND ASSETS ATTRIBUTABLE TO CERTAIN DISREGARDED ENTITIES COLUMBIA UNIVERSITY IS THE SOLE MEMBER OF CIM V, LLC, WHICH IS THE SOLE MEMBER OF CONQUEST MANAGED FUTURES SELECT FUND II, LLC. TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CIM V, LLC REPRESENT A 100% SHARE OF TOTAL INCOME AND END-OF-YEAR ASSETS ATTRIBUTABLE TO CONQUEST MANAGED FUTURES SELECT FUND II, LLC, AS REPORTED IN SCHEDULE R, PART I. --------------------------------------------------------------------- SCHEDULE R, PART I, COLUMN F CONSISTENT WITH CURRENT YEAR INSTRUCTIONS, THE DIRECT CONTROLLING ENTITY IS NOW NAMED AS COLUMBIA UNIVERSITY WHERE RELEVANT. --------------------------------------------------------------------- SCHEDULE R, PART III, COLUMN D CONSISTENT WITH THE CURRENT YEAR INSTRUCTIONS, COLUMBIA UNIVERSITY IS LISTED AS THE DIRECT CONTROLLING ENTITY BY VIRTUE OF ITS CAPITAL INTEREST IN THE PARTNERSHIP. COLUMBIA UNIVERSITY IS NOT THE GENERAL PARTNER OR MANAGING PARTNER OF THESE PARTNERSHIPS AND DOES NOT EXERCISE CONTROL OVER THE INVESTMENT OR MANAGEMENT DECISIONS. --------------------------------------------------------------------- SCHEDULE R, PART IV, COLUMN D CONSISTENT WITH THE CURRENT YEAR INSTRUCTIONS, AND FOR THOSE ENTITIES IDENTIFIED AS INVESTMENTS IN THE PRIMARY ACTIVITY COLUMN, COLUMBIA UNIVERSITY IS LISTED AS THE DIRECT CONTROLLING ENTITY BY VIRTUE OF ITS STOCK OWNERSHIP IN THE CORPORATION AND DOES NOT EXERCISE CONTROL OVER THE INVESTMENT OR MANAGEMENT DECISIONS. --------------------------------------------------------------------- SCHEDULE R, PART IV CONSISTENT WITH GAAP, THE UNIVERSITY DOES NOT CONSOLIDATE THE ENTITIES LISTED IN PART IV SCHEDULE R WHICH HAVE INVESTMENTS AS THEIR PRIMARY PURPOSE. THIS IS BECAUSE THE UNIVERSITY DOES NOT HAVE SUFFICIENT VOTING POWER WITH RESPECT TO THESE ENTITIES TO SATISFY THE CONTROL TEST FOR CONSOLIDATION UNDER GAAP. THE AMOUNTS SHOWN IN SCHEDULE R, PART IV, COLUMN (G) REFLECT THE UNIVERSITY'S SHARE OF THE NET ASSETS OF THESE ENTITIES FOR THE FISCAL YEAR REPORTING PERIOD WHICH, CONSISTENT WITH GAAP, IS REFLECTED ON LINE 16 OF THE BALANCE SHEET IN PART X OF THIS FORM 990. SIMILARLY, THE UNIVERSITY'S SHARE OF ANY CURRENT INCOME AND REALIZED GAINS FROM THESE ENTITIES IS REFLECTED IN COLUMN (F) OF SCHEDULE R, PART IV AND ON THE STATEMENT OF REVENUE IN PART VIII. THESE ENTITIES EACH OPERATE ON A CALENDAR-YEAR BASIS, AND THE UNIVERSITY'S SHARE OF THE GROSS INCOME AND TOTAL ASSETS FOR EACH OF THESE ENTITIES FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2012 IS SET FORTH BELOW: ASM HUDSON RIVER FUND SHARE OF TOTAL (GROSS) INCOME: $7,650,956 SHARE OF END-OF-YEAR (GROSS) ASSETS: $148,265,874 CALUNIUS LITIGATION RISK FUND LP SHARE OF TOTAL (GROSS) INCOME: $(48,680) SHARE OF END-OF-YEAR (GROSS) ASSETS: $11,617,922 COLUMBIA/PATRON SCOTLAND LP SHARE OF TOTAL (GROSS) LOSS: $37,083 SHARE OF END-OF-YEAR (GROSS) ASSETS: $6,469,038 FPCM INFLATION-LINKED OPPORTUNITIES FUND, LTD SHARE OF TOTAL (GROSS) INCOME: $56,645,643 SHARE OF END-OF-YEAR (GROSS) ASSETS: $1,592,640,851 HARBOUR LITIGATION INVESTMENT OFFSHORE FUND SHARE OF TOTAL (GROSS) INCOME: $0 SHARE OF END-OF-YEAR (GROSS) ASSETS: $9,719,888 NCH INVESTORS FUND (CU) CORP SHARE OF TOTAL (GROSS) LOSS: $(33,622) SHARE OF END-OF-YEAR (GROSS) ASSETS: $2,135,823 --------------------------------------------------------------------- SCHEDULE R, PART IV AS OF JUNE 30, 2013, THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK HELD MORE THAN A 50% BENEFICIAL INTEREST IN 49 CHARITABLE REMAINDER TRUSTS DOMICILED IN NEW YORK AND 3 POOLED INCOME FUNDS DOMICILED IN NEW YORK.

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