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 private foundations)
MediumBullet Do not enter Social Security numbers on this form as it may be made public. By law, the IRS
generally cannot redact the information on the form.
MediumBullet Information about Form 990 and its instructions is at www.IRS.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
A For the 2013 calendar year, or tax year beginning 07-01-2013 , 2013, and ending 06-30-2014
BCheck if applicable:
CName of organization
DUKE UNIVERSITY
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
324 BLACKWELL ST WASHINGTON BLDG NO
850
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
DURHAM, NC27701
D Employer identification number

56-0532129
E Telephone number

G Gross receipts $ 12,118,998,124
F Name and address of principal officer:
RICHARD H BRODHEAD
324 BLACKWELL STREET
DURHAM,NC27701
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
WWW.DUKE.EDU
H(a)
Is this a group return for
subordinates?
H(b)
Are all subordinates
included?
If "No," attach a list. (see instructions)
H(c)
Group exemption number MediumBullet  
K Form of organization:
 
L Year of formation: 1841
M State of legal domicile: NC
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 37
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 32
5 Total number of individuals employed in calendar year 2013 (Part V, line 2a) ...... 5 29,161
6 Total number of volunteers (estimate if necessary) ............. 6 0
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 0
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b 0
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 1,433,799,156 1,351,838,332
9 Program service revenue (Part VIII, line 2g) ......... 879,812,019 918,531,299
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 605,183,768 732,801,271
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 51,133,480 57,531,622
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 2,969,928,423 3,060,702,524
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 289,825,385 299,445,318
14 Benefits paid to or for members (Part IX, column (A), line 4)..... 0 0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 1,360,254,256 1,376,707,745
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 3,028,336 1,479,417
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet43,950,671    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 914,197,830 979,349,362
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 2,567,305,807 2,656,981,842
19 Revenue less expenses. Subtract line 18 from line 12....... 402,622,616 403,720,682
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 11,376,610,214 13,105,945,107
21 Total liabilities (Part X, line 26)............. 2,214,639,349 2,432,389,676
22 Net assets or fund balances. Subtract line 21 from line 20..... 9,161,970,865 10,673,555,431
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 (2013)
Form 990 (2013)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response or note to any line in this Part III ..............
1
Briefly describe the organization’s mission: SEE SCHEDULE O
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? ......................
If "Yes," describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program services? ............................
If "Yes," describe these changes on Schedule O.
4
Describe the organization’s program service accomplishments for each of its three largest program services, as measured by expenses. Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported.
4a (Code:   ) (Expenses $ 1,301,048,469 including grants of $ 258,975,572 ) (Revenue $ 727,039,237 )
DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 4761 STUDENTS ANNUALLY
4b (Code:   ) (Expenses $ 881,709,169 including grants of $ 40,091,837 ) (Revenue $ 1,056,410,380 )
DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS
4c (Code:   ) (Expenses $ 229,341,928 including grants of $ 377,909 ) (Revenue $ 91,239,646 )
DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY
4d Other program services (Describe in Schedule O.)
(Expenses $   including grants of $   ) (Revenue $   )
4e Total program service expensesMediumBullet2,412,099,566
Form 990 (2013)
Form 990 (2013)
Page 3
Part IV
Checklist of Required Schedules
Yes
No
1
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule AClick to see attachment........................
1
Yes
 
2
Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? Click to see attachment...
2
Yes
 
3
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If "Yes," complete Schedule C, Part IClick to see attachment..........
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h) election in effect during the tax year? If "Yes," complete Schedule C, Part IIClick to see attachment........
4
Yes
 
5
Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19? If "Yes," complete Schedule C,
Part IIIClick to see attachment............................
5
 
No
6
Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If "Yes," complete Schedule D, Part IClick to see attachment........................
6
 
No
7
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part IIClick to see attachment...
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes," complete Schedule D, Part III Click to see attachment....................
8
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
Yes
 
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 other assistance to or for any foreign organization? 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 other assistance to or for foreign individuals? 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 (2013)
Form 990 (2013)
Page 4
Part IV
Checklist of Required Schedules (continued)
21
Did the organization report more than $5,000 of grants or other assistance to any domestic organization or government 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 or 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 25a................ 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
Yes
 
c
Did the organization maintain an escrow account other than a refunding escrow at any time during the year
to defease any tax-exempt bonds?......................
24c
 
No
d
Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?...
24d
 
No
25a
Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I........ Click to see attachment
25a
 
No
b
Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization’s prior Forms 990 or 990-EZ? If "Yes," complete Schedule L, Part I................... Click to see attachment
25b
 
No
26
Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons? If so, complete Schedule L, Part II.................... Click to see attachment
26
 
No
27
Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons? If "Yes," complete Schedule L, Part III......... Click to see attachment
27
Yes
 
28
Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions):
a
A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV .......................... Click to see attachment
28a
 
No
b
A family member of a current or former officer, director, trustee, or key employee? If "Yes,"
complete Schedule L, Part IV..................... Click to see attachment
28b
Yes
 
c
An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV... Click to see attachment
28c
Yes
 
29
Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M..Click to see attachment
29
Yes
 
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M............. Click to see attachment
30
Yes
 
31
Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N,
Part I...........................
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule N, Part II......................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If "Yes," complete Schedule R, Part I........ Click to see attachment
33
Yes
 
34
Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part II, III, or IV, and Part V, line 1........................ Click to see attachment
34
Yes
 
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
Yes
 
b
If ‘Yes’ to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2... Click to see attachment
35b
Yes
 
36
Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If "Yes," complete Schedule R, Part V, line 2............. Click to see attachment
36
 
No
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VIClick to see attachment
37
 
No
38
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Form 990 (2013)
Form 990 (2013)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response or note to any line in this Part V ..............
Yes
No
1a
Enter the number reported in Box 3 of Form 1096 Enter -0- if not applicable ..
1a
9,746
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
29,161
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file (see instructions)
2b
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?...
3a
 
No
b
If “Yes,” has it filed a Form 990-T for this year? If “No” to line 3b, provide an explanation in Schedule O...
3b
 
 
4a
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)?..........................
4a
Yes
 
b
If "Yes," enter the name of the foreign country: MediumBulletSP , EC , IT , GM , UK , CH , SN , TZ , MA , GR
See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.
5a
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?..
5a
 
No
b
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?
5b
 
No
c
If "Yes," to line 5a or 5b, did the organization file Form 8886-T? ............
5c
 
 
6a
Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible as charitable contributions?...
6a
 
No
b
If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible?........................
6b
 
 
7
Organizations that may receive deductible contributions under section 170(c).
a
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor?....................
7a
Yes
 
b
If "Yes," did the organization notify the donor of the value of the goods or services provided?.....
7b
Yes
 
c
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282?...........................
7c
 
No
d
If "Yes," indicate the number of Forms 8282 filed during the year ....
7d
 
e
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?............................
7e
 
No
f
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?..
7f
 
No
g
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?............................
7g
 
 
h
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?..........................
7h
 
 
8
Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year?............
8
 
 
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?..........
9a
 
 
b
Did the organization make a distribution to a donor, donor advisor, or related person?.......
9b
 
 
10
Section 501(c)(7) organizations. Enter:
a
Initiation fees and capital contributions included on Part VIII, line 12 ...
10a
 
b
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
 
11
Section 501(c)(12) organizations. Enter:
a
Gross income from members or shareholders .........
11a
 
b
Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them.) ..........
11b
 
12a
Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041?
12a
 
 
b
If "Yes," enter the amount of tax-exempt interest received or accrued during the year. ....................
12b
 
13
Section 501(c)(29) qualified nonprofit health insurance issuers.
a
Is the organization licensed to issue qualified health plans in more than one state?
Note. See the instructions for additional information the organization must report on Schedule O.
13a
 
 
b
Enter the amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans ....
13b
 
c
Enter the amount of reserves on hand ............
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O..
14b
 
 
Form 990 (2013)
Form 990 (2013)
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 or note to any line in this Part VI ..............
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year .....................
1a
37
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
32
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
Yes
 
3
Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? .
3
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? ...........................
4
 
No
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Did the organization have members or stockholders? ................
6
 
No
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? ....................
7a
Yes
 
b
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ...................
7b
 
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
AK , CO , DC , MD , MA , MI , NH , NJ , NY , OR , SC , WA
18
Section 6104 requires an organization to make its Form 1023 (or 1024 if applicable), 990, and 990-T (501(c)(3)s only) available for public inspection. Indicate how you 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:
MediumBulletDUKE UNIVERSITY324 BLACKWELL ST STE 850DURHAMNC27701 (919) 684-2006
Form 990 (2013)
Form 990 (2013)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response or note to any line 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; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(1) ANNE T BASS........................................................................
TRUSTEE
 4.00
.......................0.00 		X           0 0 0
(2) JACK O BOVENDER JR........................................................................
TRUSTEE
 6.00
.......................2.00 		X           0 0 0
(3) RICHARD H BRODHEAD........................................................................
TRUSTEE/PRESIDENT
 50.00
.......................12.00 		X   X       1,093,650 0 194,315
(4) GREGORY MALIK BURNETT........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(5) PAULA CROWN........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(6) KAVEH DANESH........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(7) ALLYSON K DUNCAN........................................................................
TRUSTEE
 2.00
.......................0.00 		X           4,500 0 0
(8) RALPH EADS........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(9) FRANK E EMORY JR........................................................................
TRUSTEE
 4.00
.......................0.00 		X           0 0 0
(10) PAUL E FARMER........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(11) ROBIN A FERRACONE........................................................................
TRUSTEE
 4.00
.......................0.00 		X           0 0 0
(12) GAO XIQING........................................................................
TRUSTEE
 4.20
.......................0.00 		X           0 0 0
(13) EDWARD A GILHULY........................................................................
TRUSTEE
 4.00
.......................3.00 		X           0 0 0
(14) THOMAS M GORRIE........................................................................
TRUSTEE
 4.00
.......................21.00 		X           0 0 0
(15) GERALD HASSELL........................................................................
TRUSTEE
 6.00
.......................0.00 		X           0 0 0
(16) WILLIAM HAWKINS........................................................................
TRUSTEE
 4.00
.......................2.00 		X           0 0 0
(17) JANET HILL........................................................................
TRUSTEE
 3.00
.......................0.00 		X           0 0 0
Form 990 (2013)
Form 990 (2013)
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; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(18) BETSY D HOLDEN........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(19) JEFFREY C HOWARD........................................................................
TRUSTEE
 6.00
.......................6.00 		X           0 0 0
(20) PETER J KAHN........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(21) BRUCE KARSH........................................................................
TRUSTEE
 4.00
.......................2.00 		X           0 0 0
(22) ELIZABETH KISS........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(23) MARGUERITE W KONDRACKE........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(24) MICHAEL MARSICANO........................................................................
TRUSTEE
 6.00
.......................1.00 		X           0 0 0
(25) MARTHA MONSERRATE........................................................................
TRUSTEE
 2.00
.......................3.00 		X           0 0 0
(26) CLARENCE G NEWSOME........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(27) STEPHEN G PAGLIUCA........................................................................
TRUSTEE
 .10
.......................0.00 		X           0 0 0
(28) ROBERT R PENN........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(29) CARMICHAEL ROBERTS........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(30) DAVID M RUBENSTEIN........................................................................
TRUSTEE
 6.00
.......................2.00 		X           0 0 0
(31) ALAN D SCHWARTZ........................................................................
TRUSTEE
 5.00
.......................0.00 		X           0 0 0
(32) MICHELLE SOHN........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(33) LAURENE M SPERLING........................................................................
TRUSTEE
 4.00
.......................0.00 		X           0 0 0
(34) SUSAN M STALNECKER........................................................................
TRUSTEE
 6.00
.......................2.00 		X           0 0 0
(35) ASHLEY CROWDER STANLEY........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(36) JEFFERY N VINIK........................................................................
TRUSTEE
 1.30
.......................0.00 		X           0 0 0
(37) HOPE MORGAN WARD........................................................................
TRUSTEE
 2.00
.......................0.00 		X           0 0 0
(38) PAMELA J BERNARD........................................................................
VP & UNIVERSITY COUNSEL
 35.00
.......................16.00 		    X       471,060 0 72,428
(39) VICTOR J DZAU........................................................................
CHANCELLOR HEALTH AFFAIRS
 40.00
.......................48.00 		    X       2,040,018 0 732,795
(40) PETER LANGE........................................................................
PROVOST
 65.00
.......................5.00 		    X       599,341 26,000 38,503
(41) RICHARD RIDDELL........................................................................
VP & UNIVERSITY SECRETARY
 60.00
.......................0.00 		    X       325,692 0 44,815
(42) TALLMAN TRASK III........................................................................
EXECUTIVE VICE PRESIDENT
 60.00
.......................20.00 		    X       620,774 0 74,294
(43) NANCY CATHERINE ANDREWS........................................................................
VICE CHAN OF ACADEMIC AFFAIRS
 40.00
.......................5.00 		      X     742,900 0 82,236
(44) WILLIAM BOULDING........................................................................
DEAN, FUQUA SCHOOL OF BUSINESS
 75.00
.......................2.00 		      X     497,265 0 45,667
(45) ROBERT M CALIFF MD........................................................................
VICE CHAN FOR CLINICAL RESEARCH
 40.00
.......................1.00 		      X     513,548 0 46,600
(46) JAMES SCOTT GIBSON........................................................................
EXEC VICE DEAN OF ADMIN, SOM
 60.00
.......................2.00 		      X     553,885 0 52,947
(47) ALICE GOULD........................................................................
INVESTMENT MANAGER
 40.00
.......................0.00 		      X     979,712 0 112,166
(48) ANDERS HALL........................................................................
INVESTMENT MANAGER
 40.00
.......................0.00 		      X     829,201 0 40,225
(49) JOHN J NOONAN........................................................................
ASSOCIATE VP OF FACILITIES
 50.00
.......................0.00 		      X     296,003 0 85,274
(50) LAURIE L PATTON........................................................................
DEAN, COLLEGE OF A & S
 68.30
.......................0.00 		      X     377,365 0 36,591
(51) ERIC PETERSON........................................................................
DIRECTOR, DCRI
 80.00
.......................10.00 		      X     437,989 0 61,002
(52) JAMES S ROBERTS........................................................................
EXEC VICE-PROVOST FIN & ADMIN
 38.00
.......................2.00 		      X     333,284 0 38,503
(53) NEAL TRIPLETT........................................................................
CHIEF INVESTMENT OFFICER
 40.00
.......................20.00 		      X     2,577,433 0 296,792
(54) DAVID N CUTCLIFFE........................................................................
COACH
 40.00
.......................0.00 		        X   1,992,685 0 50,919
(55) MICHAEL B KASTAN........................................................................
EXEC DIRECTOR, CANCER INSTITUTE
 40.00
.......................0.00 		        X   903,712 0 43,999
(56) MICHAEL W KRZYZEWSKI........................................................................
COACH
 40.00
.......................0.00 		        X   6,020,977 0 1,271,449
(57) JOANNE MCCALLIE........................................................................
COACH
 40.00
.......................0.00 		        X   943,268 0 52,476
(58) KEVIN M WHITE........................................................................
VP & DIRECTOR OF ATHLETICS
 40.00
.......................0.00 		        X   896,100 0 51,054
(59) ALVIN L CRUMBLISS........................................................................
FORMER KEY EMPLOYEE
 40.00
.......................0.00 		          X 205,097 0 34,111
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 24,255,459 26,000 3,559,161
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet2,519
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
LEND LEASE US CONSTRUCTION INC324 BLACKWELL ST STE 130DURHAMNC27701 CONSTRUCTION SERVICE 37,449,187
LECHASE CONSTRUCTION324 BLACKWELL ST 1200DURHAMNC27701 CONSTRUCTION SERVICE 31,552,391
ROMEO GUEST ASSOCIATES INC1715 CAMDEN AVEDURHAMNC27704 CONSTRUCTION SERVICE 24,431,307
PAREXEL INTERNATIONAL5239 PAYSPHERE CIRCLECHICAGOIL60674 CONSULTING SERVICE 23,971,257
SKANSKA USA BUILDING INC4309 EMPEROR BLVD SUITE 200DURHAMNC27703 CONSTRUCTION SERVICE 21,015,390
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet671
Form 990 (2013)
Form 990 (2013)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII .............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512-514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 4,094,197
d Related organizations...1d 80,101,643
e Government grants (contributions)1e 577,204,625
f All other contributions, gifts, grants, and
similar amounts not included above1f 		690,437,867
g Noncash contributions included in lines
1a-1f:$ 		49,049,351
h Total. Add lines 1a-1f.......MediumBullet 1,351,838,332
Program Service RevenueAmt Business Code
2a TUITION & FEES 611600 665,685,603 665,685,603    
b ANCILLARY STUDENT SVCS 611600 91,239,646 91,239,646    
c CONTINUING EDUCATION 611600 55,529,194 55,529,194    
d CONFERENCE FEES 611600 5,824,440 5,824,440    
e ACADEMIC MED. RESEARCH 611600 4,615,334 4,615,334    
f All other program service revenue . 95,637,082 95,637,082    
g Total. Add lines 2a–2f........MediumBullet 918,531,299
OtherAmt RevenueAmt 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 118,243,338     118,243,338
4 Income from investment of tax-exempt bond proceeds..MediumBullet        
5 Royalties...........MediumBullet 26,378,857     26,378,857
(i) Real (ii) Personal
6a Gross rents 8,257,968  
b Less: rental expenses 5,307,955  
c Rental income or (loss) 2,950,013  
d Net rental income or (loss).......MediumBullet 2,950,013     2,950,013
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 9,665,911,678 115,534
b Less: cost or other basis and sales expenses 9,038,149,000 13,320,279
c Gain or (loss) 627,762,678 -13,204,745
d Net gain or (loss)..........MediumBullet 614,557,933     614,557,933
8a Gross income from fundraising events (not including
$ 4,094,197
of contributions reported on line 1c). See Part IV, line 18 ..
a 493,690
b Less: direct expenses ...b 1,518,366
c Net income or (loss) from fundraising events..MediumBullet -1,024,676   -1,024,676
9a Gross income from gaming activities.
See Part IV, line 19 ...
a  
b Less: direct expenses ...b  
c Net income or (loss) from gaming activities...MediumBullet        
10a Gross sales of inventory, less
returns and allowances .
a  
b Less: cost of goods sold ..b  
c Net income or (loss) from sales of inventory..MediumBullet        
Miscellaneous Revenue Business Code
11a MISC. SALES 900099 14,127,495 14,127,495    
b VARIOUS FEES AND FINES 900099 4,347,090 4,347,090    
c STUDENT DUES 900099 4,070,084 4,070,084    
d All other revenue .... 6,682,759 6,682,759    
e Total. Add lines 11a–11d ...... MediumBullet 29,227,428
12 Total revenue. See Instructions......MediumBullet 3,060,702,524 947,758,727 0 761,105,465
Form 990 (2013)
Form 990 (2013)
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 or note to any line 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 7,640,508 7,640,508
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 291,740,863 291,740,863
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 63,947 63,947
4 Benefits paid to or for members    
5 Compensation of current officers, directors, trustees, and key employees .... 14,518,984 1,284,096 12,223,891 1,010,997
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 1,053,732 879,385 174,347  
7 Other salaries and wages 1,103,925,616 952,335,017 129,378,534 22,212,065
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 80,758,496 70,672,362 8,488,964 1,597,170
9 Other employee benefits ....... 95,609,606 84,966,604 7,837,268 2,805,734
10 Payroll taxes ........... 80,841,311 68,715,115 10,509,370 1,616,826
11 Fees for services (non-employees):        
a Management ......        
b Legal ......... 10,406,955 1,662,807 8,733,808 10,340
c Accounting ........... 628,647   616,147 12,500
d Lobbying ...........        
e Professional fundraising services. See Part IV, line 17 1,479,417 1,479,417
f Investment management fees ...... 21,916,277   21,916,277  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 124,120,273 96,405,156 23,966,302 3,748,815
12 Advertising and promotion .... 5,151,955 3,965,141 1,051,384 135,430
13 Office expenses ....... 88,465,708 83,174,836 4,441,376 849,496
14 Information technology ...... 9,297,284 6,427,621 2,869,663  
15 Royalties .. 37,362,559 22,826,508 14,536,051  
16 Occupancy ........... 67,473,170 65,702,412 1,349,724 421,034
17 Travel ............ 56,164,183 51,694,462 2,341,953 2,127,768
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 2,043 2,043    
19 Conferences, conventions, and meetings .... 34,225,001 25,923,702 5,304,930 2,996,369
20 Interest ........... 59,373,953 40,159,705 19,216,915 -2,667
21 Payments to affiliates .......        
22 Depreciation, depletion, and amortization ..... 184,856,707 172,582,222 12,274,485  
23 Insurance .............. 3,918,829 5,595,899 -1,682,741 5,671
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 SUBRECIPIENT PAYMENTS 179,982,016 179,982,016    
b EQUIP RENTAL & MAINTENA 46,860,624 62,176,309 -15,761,100 445,415
c COST OF GOODS SOLD 18,851,046 15,866,200 2,977,337 7,509
d PRINTING & PUBLICATIONS 11,126,709 7,866,591 2,091,976 1,168,142
e All other expenses 19,165,423 91,788,039 -73,925,256 1,302,640
25 Total functional expenses. Add lines 1 through 24e 2,656,981,842 2,412,099,566 200,931,605 43,950,671
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 (2013)
Form 990 (2013)
Page 11
Part X Balance Sheet Check if Schedule O contains a response or note to any line in this Part X ..............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash–non-interest-bearing .............   1  
2 Savings and temporary cash investments ......... 186,307,269 2 177,661,248
3 Pledges and grants receivable, net ........... 465,485,441 3 487,854,140
4 Accounts receivable, net ............. 117,987,505 4 136,898,553
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..................
67,935 5 0
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
  6  
7 Notes and loans receivable, net ............. 41,884,950 7 43,985,796
8 Inventories for sale or use .............. 19,121,967 8 17,135,562
9 Prepaid expenses and deferred charges .......... 71,253,772 9 99,284,494
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 4,247,074,077
b Less: accumulated depreciation ..... 10b 2,405,326,745 1,761,300,139 10c 1,841,747,332
11 Investments—publicly traded securities .......... 2,562,455,501 11 1,755,216,520
12 Investments—other securities. See Part IV, line 11 ..... 5,443,589,979 12 7,743,801,439
13 Investments—program-related. See Part IV, line 11 .....   13  
14 Intangible assets ...............   14  
15 Other assets. See Part IV, line 11 ........... 707,155,756 15 802,360,023
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 11,376,610,214 16 13,105,945,107
Liabilities 17 Accounts payable and accrued expenses ......... 258,057,872 17 295,098,254
18 Grants payable .................   18  
19 Deferred revenue ................ 158,065,135 19 160,077,346
20 Tax-exempt bond liabilities ............. 1,053,900,000 20 1,050,845,000
21 Escrow or custodial account liability. Complete Part IV of Schedule D..   21  
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..........   22  
23 Secured mortgages and notes payable to unrelated third parties .. 6,007,482 23 8,467,970
24 Unsecured notes and loans payable to unrelated third parties .... 367,836,456 24 495,339,889
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.................... 370,772,404 25 422,561,217
26 Total liabilities. Add lines 17 through 25......... 2,214,639,349 26 2,432,389,676
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 .............. 4,334,577,206 27 5,166,020,994
28 Temporarily restricted net assets ........... 2,303,099,009 28 2,872,682,056
29 Permanently restricted net assets ........... 2,524,294,650 29 2,634,852,381
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 ........... 9,161,970,865 33 10,673,555,431
34 Total liabilities and net assets/fund balances ........ 11,376,610,214 34 13,105,945,107
Form 990 (2013)
Form 990 (2013)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response or note to any line in this Part XI ..............
1
Total revenue (must equal Part VIII, column (A), line 12) ............
1
3,060,702,524
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
2,656,981,842
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
403,720,682
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
9,161,970,865
5
Net unrealized gains (losses) on investments ...............
5
692,453,994
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
415,409,890
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
10,673,555,431
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response or note to any line 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 (2013)
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.
right arrow Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Reason for Public Charity Status (All organizations must complete this part.) See instructions.
The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)
1
2
3
4
5
section 170(b)(1)(A)(iv). (Complete Part II.)
6
7
8
9
receipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 331/3% of
its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses
acquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)
10
11
e
f
g
(i) A person who directly or indirectly controls, either alone or together with persons described in (ii)
Yes
No
and (iii) below, the governing body of the 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) 2013
Schedule A (Form 990 or 990-EZ) 2013
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) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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) 2013
Schedule A (Form 990 or 990-EZ) 2013
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) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 4
Part IV
Supplemental Information. 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) 2013

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.
Arrow Bullet Information about Schedule B (Form 990, 990-EZ, or 990-PF) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

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





Form 990-PF




Check if your organization is covered by the General Rule or a Special Rule.  
Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
General Rule
Special Rules
......................... Arrow Bullet $  
Caution. An organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its
Form 990-EZ or on its Form 990PF, Part I, line 2, 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) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 2
Name of organization
DUKE UNIVERSITY
  		Employer identification number

56-0532129
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, RESTRICTEDRESTRICTED

$RESTRICTED


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

   
 
 

$  


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

   
 
 

$  


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

   
 
 

$  


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

   
 
 

$  


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

   
 
 

$  


(Complete Part II for noncash contributions.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 3
Name of organization
DUKE UNIVERSITY
  		Employer identification number

56-0532129
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) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 4
Name of organization
DUKE UNIVERSITY
  		Employer identification number

56-0532129
Part III
Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
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) (2013)

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.SchCMd Bullet Information about Schedule C (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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
DUKE UNIVERSITY
 
Employer identification number

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

1
Provide a description of the organization’s direct and indirect political campaign activities in Part IV.
2
Political expenditures ....................................SchCMd Bullet
$ 0
3
Volunteer hours ........................................
0

Part I-B
Complete if the organization is exempt under section 501(c)(3).
1
Enter the amount of any excise tax incurred by the organization under section 4955 .........SchCMd Bullet
$ 0
2
Enter the amount of any excise tax incurred by organization managers under section 4955 ......SchCMd Bullet
$ 0
3
If the organization incurred a section 4955 tax, did it file Form 4720 for this year? ..............
4a
Was a correction made? .........................................
b
If "Yes," describe in Part IV.
Part I-C
Complete if the organization is exempt under section 501(c), except section 501(c)(3).
1
Enter the amount directly expended by the filing organization for section 527 exempt function activities SchCMd Bullet
$  
2
Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt 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) 2013

Schedule C (Form 990 or 990-EZ) 2013
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) 2010 (b) 2011 (c) 2012 (d) 2013 (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) 2013


Schedule C (Form 990 or 990-EZ) 2013
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? .......................
 
No
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
Yes
 
212,624
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? ..........................
Yes
 
6,935
j
Total. Add lines 1c through 1i ...............................
219,559
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
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.
Return Reference Explanation
FORM 990, SCHEDULE C, PART II-B DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES AND SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED.
Schedule C (Form 990 or 990EZ) 2013

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. SchDMd Bullet Information about Schedule D (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" to Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year .........    
2 Aggregate contributions to (during year) ...    
3 Aggregate grants from (during year) .....    
4 Aggregate value at end of year ........    
5
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised
funds are the organization's property, subject to the organization's exclusive legal control? ............
6
Did the organization inform all grantees, donors, and donor advisors in writing that grant funds 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 $ 74,111
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $ 34,859,461
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) 2013

Schedule D (Form 990) 2013
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 .... 6,019,979,874 5,537,135,706 5,728,347,000 4,802,051,000 4,430,172,000
b Contributions ........ 125,705,635 91,146,456 79,855,209 81,684,000 86,145,000
c Net investment earnings, gains, and losses 1,150,829,206 685,897,075 -2,357,082 1,123,743,485 530,625,628
d Grants or scholarships ..... 76,193,058 74,093,846 70,629,526 73,647,646 55,616,571
e Other expenditures for facilities
and programs ........ 		207,698,098 220,105,517 198,079,895 205,483,839 189,275,057
f Administrative expenses ....          
g End of year balance ...... 7,012,623,559 6,019,979,874 5,537,135,706 5,728,347,000 4,802,051,000
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet30.000 %
b
Permanent endowment SchDMd Bullet70.000 %
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)
Yes
 
b
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
Yes
 
4
Describe in Part XIII the intended uses of the organization's endowment funds.
Part VI
Land, Buildings, and Equipment. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11a. 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 .................   24,639,422 24,639,422
b Buildings ................   2,766,434,302 1,435,078,955 1,331,355,347
c Leasehold improvements ............   165,125,491 110,920,459 54,205,032
d Equipment ................   654,186,076 510,215,542 143,970,534
e Other .................   636,688,786 349,111,789 287,576,997
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 1,841,747,332
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 3
Part VII
Investments—Other Securities. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11b. See Form 990, Part X, line 12.
(a) Description of security or category
(including name of security)		 (b)Book value (c) Method of valuation:
Cost or end-of-year market value
(1)Financial derivatives    
(2)Closely-held equity interests    
(3)Other
(A) SHORT TERM INVESTMENTS 		2,045,814,957 F

(B) US GOVERNMENT SECURITIES 		3,146,000 F

(C) REAL ASSETS 		1,550,028,532 F

(D) PRIVATE CAPITAL 		1,647,212,949 F

(E) HEDGE STRATEGIES 		798,577,354 F

(F) OTHER INVESTMENTS 		56,506,240 F

(G) FIXED INCOME 		328,274,392 F

(H) EQUITIES 		1,314,241,015 F

Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 7,743,801,439
Part VIII
Investments—Program Related. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11c. See Form 990, Part X, line 13.
(a) Description of investment (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. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11d. See Form 990, Part X, line 15.
(a) Description (b) Book value
(1) DEPOSITS WITH BOND TRUSTEE 2
(2) INTEREST IN PERPETUAL TRUST HELD BY OTHERS 802,360,021







Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........Small Bullet 802,360,023
Part X
Other Liabilities. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.
1.(a) Description of liability (b) Book value
Federal income taxes  
ANNUITY AND SPLIT INTEREST OBLIGATIONS 47,110,373
POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 201,299,185
FUNDS HELD FOR OTHERS 88,805,210
REFUNDABLE FEDERAL STUDENT LOANS 34,778,599
CONDITIONAL ASSET RETIREMENT 45,288,852
MISC PAYABLES 5,278,998



Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 422,561,217
2. Liability for uncertain tax positions 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) 2013

Schedule D (Form 990) 2013
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
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. Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
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
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.
Return Reference Explanation
SCHEDULE D, PART III, LINE 4 ART COLLECTION DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCE WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING.
SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID.
SCHEDULE D, PART X LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FIN 48 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FIN 48 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FIN 48 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2014.
Schedule D (Form 990) 2013

Additional Data


Software ID:  
Software Version:  




SCHEDULE E(Form 990 or 990-EZ)
Department of the Treasury
Internal 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.
Right pointing arrow large image Information about Schedule E (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
YES
NO
1
Does the organization have a racially nondiscriminatory policy toward students by statement in its charter, bylaws,
other governing instrument, or in a resolution of its governing body? ......................
1
Yes
 
2
Does the organization include a statement of its racially nondiscriminatory policy toward students in all its
brochures, catalogues, and other written communications with the public dealing with student admissions,
programs, and scholarships? ......................................
2
Yes
 
3
Has the organization publicized its racially nondiscriminatory policy through newspaper or broadcast media during
the period of solicitation for students, or during the registration period if it has no solicitation program, in a way
that makes the policy known to all parts of the general community it serves? If "Yes," please describe. If "No,"
please explain. If you need more space use Part II. .............................
3
Yes
 
 
4
Does the organization maintain the following?
a
Records indicating the racial composition of the student body, faculty, and administrative staff? ..........
4a
Yes
 
b
Records documenting that scholarships and other financial assistance are awarded on a racially nondiscriminatory
basis? ...............................................
4b
Yes
 
c
Copies of all catalogues, brochures, announcements, and other written communications to the public dealing
with student admissions, programs, and scholarships? ...........................
4c
Yes
 
d
Copies of all material used by the organization or on its behalf to solicit contributions? ..............
4d
Yes
 
If you answered "No" to any of the above, please explain. If you need more space, use Part II.
 
5
Does the organization discriminate by race in any way with respect to:
a
Students' rights or privileges? .....................................
5a
 
No
b
Admissions policies? .........................................
5b
 
No
c
Employment of faculty or administrative staff? ..............................
5c
 
No
d
Scholarships or other financial assistance? ................................
5d
 
No
e
Educational policies? .........................................
5e
 
No
f
Use of facilities? ...........................................
5f
 
No
g
Athletic programs? ..........................................
5g
 
No
h
Other extracurricular activities? .....................................
5h
 
No
If you answered "Yes" to any of the above, please explain. If you need more space, use Part II.
 
6a
Does the organization receive any financial aid or assistance from a governmental agency? ...........
6a
Yes
 
b
Has the organization's right to such aid ever been revoked or suspended? ...................
6b
 
No
If you answered "Yes" to either line 6a or line 6b, explain on Part II.
7
Does the organization certify that it has complied with the applicable requirements of sections 4.01 through 4.05
of Rev. Proc. 75-50, 1975-2 C.B. 587, covering racial nondiscrimination? If "No," explain on Part II.
7
Yes
 
Paperwork Reduction Act Notice, see the Instructions for Form 990 or Form 990-EZ.
Cat. No. 50085D
Schedule E (Form 990 or 990-EZ) 2013
Schedule E (Form 990 or 990EZ) 2013
Page 2
Part II
Supplemental Information. 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).
Return Reference Explanation
SCHEDULE E, PART I, LINE 3 SEE PART II
FORM 990, SCHEDULE E, LINE 3 NONDISCRIMINATORY POLICY DUKE UNIVERSITY IS COMMITTED TO ENCOURAGING AND SUSTAINING WORK AND LEARNING ENVIRONMENTS THAT ARE FREE FROM HARASSMENT AND PROHIBITED DISCRIMINATION. THE UNIVERSITY PROHIBITS DISCRIMINATION AND HARASSMENT IN THE ADMINISTRATION OF BOTH ITS EMPLOYMENT AND EDUCATIONAL POLICIES. EQUAL EMPLOYMENT AND EDUCATIONAL OPPORTUNITIES ARE PROVIDED WITHOUT REGARD TO RACE, COLOR, SEX, RELIGION, NATIONAL ORIGIN, DISABILITY, VETERAN STATUS, SEXUAL ORIENTATION, GENDER IDENTITY, AGE OR GENETIC INFORMATION. DUKE UNIVERSITY ALSO MAKES GOOD FAITH EFFORTS TO RECRUIT, HIRE AND PROMOTE QUALIFIED MINORITIES, WOMEN, INDIVIDUALS WITH DISABILITIES AND VETERANS. IN ACCORDANCE WITH TITLE IX OF THE EDUCATION AMENDMENTS OF 1972, DUKE UNIVERSITY PROHIBITS DISCRIMINATION ON THE BASIS OF SEX. SEXUAL HARASSMENT IS A FORM OF SEX DISCRIMINATION. DUKE UNIVERSITY HAS DESIGNATED DR. BENJAMIN D. REESE, VICE-PRESIDENT OF THE OFFICE FOR INSTITUTIONAL EQUITY AS ITS TITLE IX COORDINATOR. THE OFFICE FOR INSTITUTIONAL EQUITY IS LOCATED IN SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708. DR. REESE'S OFFICE TELEPHONE NUMBER IS (919) 684-8222. QUESTIONS OR CONCERNS REGARDING TITLE IX, HARASSMENT OR DISCRIMINATION MAY BE DIRECTED TO THE OFFICE FOR INSTITUTIONAL EQUITY. POLICIES AND RELATED PROCEDURES ARE COMMUNICATED TO ALL MEMBERS OF THE DUKE COMMUNITY THROUGH VARIOUS PUBLICATIONS, POSTINGS, ELECTRONIC MEDIA AND TRAINING SESSIONS FOR MANAGERS. PUBLICATIONS OF THE UNIVERSITY PICTURE BOTH MINORITY AND NON-MINORITY MEN AND WOMEN AND PERSONS WITH DISABILITIES. RECRUITING ADVERTISEMENTS STATE THAT THE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER.
FORM 990, SCHEDULE E, LINE 6 EXPLANATION OF GOVERNMENT FINANCIAL AID IN FUTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSITY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, MEDICAL PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS.
Schedule E (Form 990 or 990-EZ) 2013
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.Right pointing arrow large image Information about Schedule F (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
General Information on Activities Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 14b.
1
For grantmakers.Does the organization maintain records to substantiate the amount of its grants and
other assistance, the grantees’ eligibility for the grants or assistance, and the selection criteria used
to award the grants or assistance? ...............................
2
For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of its grants and other assistance outside the United States.
3
Activites per Region. (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 0 0 PROGRAM SERVICES RESEARCH 5,295
CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 123,451
CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 39,961
CENTRAL AMERICA AND THE CARIBBEAN 0 1 PROGRAM SERVICES STUDY ABROAD 62,217
CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEMINAR   98,824
EAST ASIA AND THE PACIFIC 0 0 FUNDRAISING   4,954
EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING   33,825
EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 6,520,419
EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CULTURAL EVENT 9,418
EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 4,268,692
EAST ASIA AND THE PACIFIC 0 13 PROGRAM SERVICES STUDY ABROAD 1,101,461
EAST ASIA AND THE PACIFIC 0 0 SEMINAR   1,765,540
EUROPE 0 0 FUNDRAISING   6,841
EUROPE 0 0 GRANTMAKING   22,499
EUROPE 0 0 PROGRAM SERVICES EDUCATION 808,061
EUROPE 0 0 PROGRAM SERVICES RESEARCH 9,842,126
EUROPE 6 61 PROGRAM SERVICES STUDY ABROAD 4,378,220
EUROPE 0 0 SEMINAR   3,250,048
MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATION 136,838
MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 542,659
MIDDLE EAST AND NORTH AFRICA 0 3 PROGRAM SERVICES STUDY ABROAD 864,333
MIDDLE EAST AND NORTH AFRICA 0 0 SEMINAR   195,075
NORTH AMERICA 0 0 GRANTMAKING   1,575
NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 97,080
NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 11,349,853
NORTH AMERICA 0 2 PROGRAM SERVICES STUDY ABROAD 4,678
NORTH AMERICA 0 0 SEMINAR   413,235
RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EDUCATION 104,683
RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES RESEARCH 83,050
RUSSIA AND NEIGHBORING STATES 0 4 PROGRAM SERVICES STUDY ABROAD 388,967
RUSSIA AND NEIGHBORING STATES 0 0 SEMINAR   75,005
SOUTH AMERICA 0 0 GRANTMAKING   6,998
SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 203,614
SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 796,028
SOUTH AMERICA 0 5 PROGRAM SERVICES STUDY ABROAD 92,546
SOUTH AMERICA 0 0 SEMINAR   355,515
SOUTH ASIA 0 0 GRANTMAKING   6,250
SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 213,480
SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 2,747,355
SOUTH ASIA 0 2 PROGRAM SERVICES STUDY ABROAD 696,753
SOUTH ASIA 0 0 SEMINAR   193,480
SUB-SAHARAN AFRICA 0 0 GRANTMAKING   8,300
SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 500,367
SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 3,327,107
SUB-SAHARAN AFRICA 0 12 PROGRAM SERVICES STUDY ABROAD 364,792
SUB-SAHARAN AFRICA 0 0 SEMINAR   447,944
3a Sub-total ..... 0 1 6,888,946
b Total from continuation sheets to Part I ... 6 102 49,670,466
c Totals (add lines 3a and 3b) 6 103 56,559,412
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
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 non-cash
assistance 		(h) Description
of non-cash
assistance 		(i) Method of
valuation
(book, FMV,
appraisal, other)
SOUTH AMERICA GENERAL SUPPORT     6,998 MEDICAL EQUIPMENT FMV
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
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
0
3
Enter total number of other organizations or entities .......................MediumBullet
1
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013Page 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)
AWARD EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 1 3,000 WIRE      
TUITION EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 3 15,325 WIRE      
TUITION EUROPE 1 21,048 WIRE      
GIFT NORTH AMERICA 1 1,575 CHECK      
CONTRIBUTION SUB-SAHARAN AFRICA 9 5,000 WIRE      
TUITION SUB-SAHARAN AFRICA 1 1,800 WIRE      
               
               
               
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
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 organization may 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, Information 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) 2013
Schedule F (Form 990) 2013
Page 5
Part V
Supplemental Information
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).
ReturnReference Explanation
SCHEDULE F, PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO SEVERAL ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY.
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule F (Form 990) 2013
Additional Data


Software ID:  
Software Version:  



SCHEDULE G (Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Supplemental Information Regarding
Fundraising or Gaming Activities
Complete if the organization answered "Yes" to Form 990, Part IV, lines 17, 18, or 19, or if the organization entered more than $15,000 on Form 990-EZ, line 6a. right arrowAttach to Form 990 or Form 990-EZ. right arrowSee separate instructions.
right arrowInformation about Schedule G (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Fundraising Activities. Complete if the organization answered "Yes" to Form 990, Part IV, line 17.
Form 990-EZ filers are not required to complete this part.
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
 
GRENZEBACH GLIER & ASSOCIATES
SEE PART IV FOR ADDRESS
 
SEE PART IV, IL60611 		CAMPAIGN CONSULTING   No 0 23,175 0
 
COPPER REEF ENTERPRISES
SEE PART IV FOR ADDRESS
 
CARLSBAD, CA92009 		CAMPAIGN CONSULTING   No 0 102,797 0
 
PW FEATS
SEE PART IV FOR AD
 
BALTIMORE, MD21202 		CAMPAIGN CONSULTING   No 0 1,001,489 0
 
SULLIVAN & COMPANY
SE
 
NEW YORK, NY10014 		CAMPAIGN CONSULTING   No 0 144,550 0
 
HOPKINS DESIGN GROUP LTD
SEE PART IV FOR ADDRESS
 
DURHAM, NC27705 		CAMPAIGN CONSULTING   No 0 6,069 0
 
CMG PARTNERS LLC
SEE PART IV FOR ADDRESS
 
SURFSIDE BEACH, SC29575 		CAMPAIGN CONSULTING   No 0 24,349 0
 
CREWS CONTROL CORPORATION
SEE PART IV FOR ADDRESS
 
FULTON, MD20759 		CAMPAIGN CONSULTING   No 0 11,029 0
 
EVENT MEDIA
SEE PART IV FOR ADD
 
CHICAGO, IL60647 		CAMPAIGN CONSULTING   No 0 81,561 0
 
PHASE FIVE CREATIVE INC
SEE PART IV FOR ADDRESS
 
DURHAM, NC27707 		CAMPAIGN CONSULTING   No 0 7,971 0
 
STANFORD UNIVERITY
SEE PART IV FOR ADDRESS
 
STANFORD, CA94305 		CAMPAIGN CONSULTING   No 0 60,000 0
Total .................right arrow   1,462,990  
3
List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registration or licensing.
AL, AK, AR, CA, CO, CT, DC, FL, GA, HI, IL, KS, KY, LA, ME, MD, MA, MI, MN, MS, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, TN, UT, VA, WA, WV, WI
For Paperwork Reduction Act Notice, see the Instructions for Form 990or 990-EZ.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2013
Schedule G (Form 990 or 990-EZ) 2013
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

2013 CMN
(event type) 		(b) Event #2

2014 RADIOTHON
(event type) 		(c) Other events

7
(total number) 		(d) Total events
(add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 2,547,067 533,399 1,507,421 4,587,887
2 Less: Contributions . . 2,542,067 508,982 1,043,148 4,094,197
3 Gross income (line 1
minus line 2) . . . 		5,000 24,417 464,273 493,690
VerticalDirectExpenses 4 Cash prizes . . .        
5 Noncash prizes . .     230,710 230,710
6 Rent/facility costs . .     13,380 13,380
7 Food and beverages .     109,982 109,982
8 Entertainment . . .     7,867 7,867
9 Other direct expenses . 352,517 22,508 781,402 1,156,427
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 1,518,366
11 Net income summary. Subtract line 10 from line 3, column (d)........... right arrow -1,024,676
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. Subtract line 7 from line 1, 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) 2013
Schedule G (Form 990 or 990-EZ) 2013
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. 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).
Return Reference Explanation
SCHEDULE G, PART I, LINE 2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: GRENZEBACH GLIER & ASSOCIATES (I) ADDRESS OF FUNDRAISER: 401 N. MICHIGAN AVE, CHICAGO, IL 60611 (I) NAME OF FUNDRAISER: COOPER REEF ENTERPRISES (I) ADDRESS OF FUNDRAISER: 6965 EL CAMINO REAL, CARLSBAD, CA 92009 (I) NAME OF FUNDRAISER: P.W. FEATS (I) ADDRESS OF FUNDRAISER: 3 E. READ ST., BALTIMORE, MD 21202 (I) NAME OF FUNDRAISER: SULLIVAN & COMPANY (I) ADDRESS OF FUNDRAISER: 450 W. 14TH ST, NEW YORK, NY 10014 (I) NAME OF FUNDRAISER: HOPKINS DESIGN GROUP LTD (I) ADDRESS OF FUNDRAISER: 822 BROAD ST, DURHAM, NC 27705 (I) NAME OF FUNDRAISER: CMG PARTNERS LLC (I) ADDRESS OF FUNDRAISER: 1413 HWY 17 SOUTH, SURFSIDE BEACH, SC 29575 (I) NAME OF FUNDRAISER: CREWS CONTROL CORPORATION (I) ADDRESS OF FUNDRAISER: 8161 MAPLE LAWN BLVD, FULTON, MD 20759 (I) NAME OF FUNDRAISER: EVENT MEDIA INC. (I) ADDRESS OF FUNDRAISER: 2334 W. NORTH AVE, CHICAGO, IL 60647 (I) NAME OF FUNDRAISER: PHASE FIVE CREATIVE INC. (I) ADDRESS OF FUNDRAISER: 3623 CARLISLE DR, DURHAM, NC 27707 (I) NAME OF FUNDRAISER: STANFORD UNIVERSITY (I) ADDRESS OF FUNDRAISER: 450 SERRA MALL, STANFORD, CA 94305
SCHEDULE G, LINE 2(B), COLUMN (V) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMNS (I-V). THESE AGREEMENTS ALLOW FOR CERTAIN REIMBURSEMENTS OF EXPENSES SUCH AS: TRAVEL EXPENSES RELATED TO THE SERVICES PROVIDED. THE REIMBURSEMENT IS ANALYZED AND AUTHORIZED ON A CASE BY CASE BASIS. THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED.
Schedule G (Form 990 or 990-EZ) 2013
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
lBullet Information about Schedule I (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number
56-0532129
Part I
General Information on Grants and Assistance
1
Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and
the selection criteria used to award the grants or assistance? ....................................
2
Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.
Part II
Grants and Other Assistance to Governments and Organizations in the United States. Complete if the organization answered "Yes" to
Form 990, Part IV, line 21, for any recipient that received more than $5,000. 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) 501CARBON
731 9TH STREET SUITE 53
DURHAM,NC27705 		46-3128604 501(C)(3) 10,000       ACC COMPETITION AWARD
(2) ALBERT SCHWEITZER FELLOWSHIP
109 BROOKLINE AVE
BOSTON,MA02215 		13-1982786 501(C)(3) 35,000       SCHWEITZER FELLOWSHIP PROGRAM
(3) AMERICAN ACADEMY OF ALLERGY
555 WELLS ST SUITE 1100
MILWAUKEE,WI53202 		39-6061326 501(C)(3) 16,500       GENERAL SUPPORT
(4) AMERICAN CANCER SOCIETY
250 WILLIAMS ST NW STE 600
ATLANTA,GA30303 		13-1788491 501(C)(3) 25,300       GENERAL SUPPORT
(5) AMERICAN DANCE FESTIVAL
715 BROAD STREET
DURHAM,NC27705 		06-0932294 501(C)(3) 30,000 400 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(6) AMERICAN HEART ASSOCIATION
7272 GREENVILLE AVE
DALLAS,TX752319955 		13-5613797 501(C)(3) 6,000       GENERAL SUPPORT
(7) AMERICAN MATHEMATICAL SOCIETY
PO BOX 6248
PROVIDENCE,RI029042213 		05-0264797 501(C)(3) 8,645       GENERAL SUPPORT
(8) AMERICAN SOCIETY OF NEPHROLOGY
1510 H ST NW SUITE 800
WASHINGTON,DC20005 		52-6078378 501(C)(3) 70,000       LECTURESHIP SUPPORT
(9) BENEVOLENT HEALTHCARE FOUNDATION (PROJECT CURE)
PO BOX 651
EVERGREEN,CO80437 		84-1568566 501(C)(3)   52,355 FMV MEDICAL EQUIPMENT GENERAL SUPPORT
(10) BETHLEHEM TEMPLE APOSTOLIC FAITH CHURCH
600 N ROXBORO ST
DURHAM,NC27704 		58-2526080 501(C)(3)   6,310 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(11) BLACKWELL STREET MGMT COMPANY
201 W MAIN ST SUITE 100
DURHAM,NC27701 		20-5544239 - 40,000       GENERAL SUPPORT
(12) CALVARY MINISTRIES OF THE WEST END
1311 MOREHEAD AVENUE
DURHAM,NC27707 		56-1858174 501(C)(3) 8,000 2,600 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(13) CAMPAIGN 4 CHANGE
PO BOX 3355
DURHAM,NC27702 		26-0096724 501(C)(3) 10,450       COMMUNITY SUPPORT
(14) CARING HOUSE INC
2625 PICKETT RD
DURHAM,NC277055603 		56-1647154 501(C)(3) 5,000       GENERAL SUPPORT
(15) CHAMBER ORCHESTRA OF THE TRIAN
1213 E FRANKLIN STREET
CHAPEL HILL,NC27514 		56-1610461 501(C)(3) 8,000       GENERAL SUPPORT
(16) CHANGING A GENERATION WITH FACE
PO BOX 11587
DURHAM,NC27703 		56-2158704 501(C)(3)   52,380 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(17) CHILD EVANGELISM FELLOWSHIP INC
44 IONIA AVE S W
GRAND RAPIDS,MI49502 		56-1827691 501(C)(3)   103,398 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(18) CHURCH WORLD SERVICE
212 S DUKE STREET
DURHAM,NC27701 		13-4080201 501(C)(3)   10,421 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(19) CITY OF DURHAM
101 CITY HALL PLAZA DEPT EOEA
DURHAM,NC27701 		56-6000225 GOV'T ENTITY 751,075       GENERAL SUPPORT
(20) COMMUNITY EMPOWERMENT FUND
133 E FRANKLIN ST SUITE 105
CHAPEL HILL,NC27514 		27-0428981 501(C)(3) 5,700       GENERAL SUPPORT
(21) DUKE CATHOLIC STUDENT CENTER
PO BOX 90974
DURHAM,NC27708 		56-1378592 - 225,000       GENERAL SUPPORT
(22) FEDORA COMMONS INC
28 CHURCH ST SUITE 2
WINCHESTER,MA018902538 		26-0389639 501(C)(3) 20,000       GENERAL SUPPORT
(23) DURHAM COMMUNITY LAND TRUSTEES
1208 W CHAPEL HILL ST
DURHAM,NC27701 		56-1203878 501(C)(3) 21,100       GENERAL SUPPORT
(24) DURHAM CONGREGATIONS IN ACTION
504 W CHAPEL HILL ST
DURHAM,NC27701 		23-7208424 501(C)(3) 9,606       GENERAL SUPPORT
(25) DURHAM LITERACY CENTER
PO BOX 52209
DURHAM,NC27701 		56-1479534 501(C)(3) 7,250       GENERAL SUPPORT
(26) DURHAM PUBLIC SCHOOLS
PO BOX 30002
DURHAM,NC27701 		56-6001021 GOV'T ENTITY 103,706 4,670 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(27) DURHAM RESCUE MISSION
PO BOX 11858
DURHAM,NC27703 		58-1482590 501(C)(3)   6,849 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(28) EMILY KRZYZEWSKI FAMILY LIFE C
904 W CHAPEL HILL ST
DURHAM,NC27701 		56-2230469 501(C)(3) 211,600       GENERAL SUPPORT
(29) FAMILY HEALTH MINISTRIES INC
1921 NORTH POINTE DR SUITE 200
DURHAM,NC27705 		56-2206165 501(C)(3) 13,595       GENERAL SUPPORT
(30) GENESIS HOME
PO BOX 25426
DURHAM,NC27702 		56-1633998 501(C)(3) 6,000       COMMUNITY SUPPORT
(31) HABITAT FOR HUMANITY OF DURHAM
215 N CHURCH ST
DURHAM,NC27701 		58-1674794 501(C)(3) 56,675       COMMUNITY SUPPORT
(32) HOPESPRINGS VILLAGE
PO BOX 4466
CARY,NC27519 		46-1033863 501(C)(3) 22,100       GENERAL SUPPORT
(33) HOUSE OF REFUGE
947 E MAIN STREET
DURHAM,NC27701 		56-1988451 501(C)(3)   9,509 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(34) HOUSING FOR NEW HOPE
602 HOLLOWAY STREET
DURHAM,NC27701 		58-2089068 501(C)(3) 10,100 800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(35) IMG COLLEGE LLC
PO BOX 16533
PALATINE,IL60055 		27-3646546 - 33,900       GENERAL SUPPORT
(36) INTERNET2
PO BOX 7855
ANN ARBOR,MI48107 		52-2060187 501(C)(3) 20,000       GENERAL SUPPORT
(37) KIDZ NOTES
120 MORRIS ST
DURHAM,NC27701 		27-0446845 501(C)(3) 7,250       GENERAL SUPPORT
(38) KRAMDEN INSTITUTE
4915 PROSPECTUS DRIVE
DURHAM,NC27713 		74-3108814 501(C)(3)   120,800 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(39) LIGHT OF GOD PRAYER AND HOLINESS CHURCH
PO BOX 39753
GREENSBORO,NC27438 		45-1344100 501(C)(3)   5,264 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(40) LITTLE GREEN PIG THEATRICAL CONCERN
2646 LAWNDALE AVE
DURHAM,NC27705 		56-2123719 501(C)(3)   12,900 FMV THEATER EQUIPMENT GENERAL SUPPORT
(41) LUMBEE LAND DEVELOPMENT
6989 HWY 711 W
PEMBROKE,NC28372 		56-2259380 501(C)(3)   8,000 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(42) MDC INC
307 W MAIN ST
DURHAM,NC277013215 		56-0894222 501(C)(3) 100,000       COMMUNITY SUPPORT
(43) MEALS ON WHEELS OF DURHAM INC
2522 ROSS ROAD
DURHAM,NC27703 		56-1729111 501(C)(3) 8,650       COMMUNITY SUPPORT
(44) MICHIGAN STATE UNIVERSITY
426 AUDITORIUM RD ROOM 2
EAST LANSING,MI48824 		38-6005984 501(C)(3) 105,986       FELLOWSHIP AWARD
(45) MODEL CITIZEN
110 E 25TH ST
NEW YORK,NY10010 		61-1731644 - 10,000       CONSTITUTION OF DIVINITY STUDENT COUNCIL AWARD
(46) MUSEUM OF DURHAM HISTORY
PO BOX 25411
DURHAM,NC27702 		94-3455685 501(C)(3) 5,000 28 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(47) NATIONAL HUMANITIES CENTER
7 ALEXANDER DRIVE
RTP,NC27709 		59-1735367 501(C)(3) 85,000       GENERAL SUPPORT
(48) NORTH CAROLINA NEW SCHOOLS PRO
4600 MARRIOTT DRIVE STE 510
RALEIGH,NC27612 		20-4031703 501(C)(3) 50,000       GENERAL SUPPORT
(49) NORTH CAROLINA STATE UNIV LIBR
CAMPUS BOX 7111
RALEIGH,NC27695 		56-6000756 GOV'T ENTITY 15,000       GENERAL SUPPORT
(50) PARTNERS FOR YOUTH
1309 HALLEY STREET
DURHAM,NC27707 		35-2206640 501(C)(3) 17,250 28 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(51) PENNSYLVANIA STATE UNIVERSITY
101 HAMMOND BUILDING
UNIVERSITY PARK,PA16802 		24-6000376 501(C)(3) 15,500       FELLOWSHIP AWARD
(52) PHI LAMBDA UPSILON
124 SCIENCE DR
DURHAM,NC27708 		23-7264553 501(C)(7) 7,500       GENERAL SUPPORT
(53) PRESERVATION DURHAM
PO BOX 25411
DURHAM,NC27702 		23-7361218 501(C)(3) 11,000       GENERAL SUPPORT
(54) REBOUND ALTERNATIVES FOR YOUTH
1101 CORNELL STREET
DURHAM,NC27701 		46-2746995 501(C)(3) 7,250       GENERAL SUPPORT
(55) REFRACKT
14308 EASTMAN DR
DURHAM,NC27705 		46-3480443 - 10,000       DUKE START-UP CHALLENGE AWARD
(56) RELIGIOUS COALITION FOR A NON-VIOLENT DURHAM
105 PINECREST ROAD
DURHAM,NC27705 		20-1356454 501(C)(3) 1,120 4,750 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(57) RESEARCH FOUNDATION OF SUNY
W 5510 FRANK MELVILLE JR MEM LI
STONY BROOK,NY11794 		14-1368361 501(C)(3) 16,667       FELLOWSHIP AWARD
(58) RESEARCH TRIANGLE ENVIRONMENTAL HLTH COLL
9200 LESLIESHIRE DR
RALEIGH,NC276158103 		20-4594346 501(C)(3) 10,000       GENERAL SUPPORT
(59) SCOTT CARTER FOUNDATION
PO BOX 700448
TULSA,OK741700448 		73-1437230 501(C)(3) 10,000       GENERAL SUPPORT
(60) SENIOR PHARMASSIST INC
406 RIGSBEE AVE STE 201
DURHAM,NC277012186 		56-2084639 501(C)(3) 7,500       GENERAL SUPPORT
(61) SOCIAL SCIENCE RESEARCH COUNCI
1 PIERREPONT PLAZA 15TH FLOOR
NEW YORK,NY11201 		13-1325070 501(C)(3) 50,000       GENERAL SUPPORT
(62) STOP HUNGER NOW
615 HILLSBOROUGH ST SUITE 200
RALEIGH,NC27603 		16-1541024 501(C)(3) 8,125       GENERAL SUPPORT
(63) STUDENT U
3116 ACADEMY ROAD
DURHAM,NC27707 		56-0538019 501(C)(3) 18,125       GENERAL SUPPORT
(64) THE CHURCH AT NC
5401 HARDRIAN DR
DURHAM,NC27703 		56-0556746 501(C)(3)   8,722 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(65) TROSA
1820 JAMES STREET
DURHAM,NC27707 		56-1861158 501(C)(3) 6,000 2,520 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(66) UC REGENTS
3333 CALIFORNIA ST SUITE 450
SAN FRANSISCO,CA94118 		94-6036493 501(C)(3) 20,000       STUDENT FELLOWSHIP AWARD
(67) UNITED WAY
5151 MCCRIMM PKWY
MORRISVILLE,NC27560 		56-1949103 501(C)(3)   70,575 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(68) UNIV OF NORTH CAROLINA WILMING
601 SOUTH COLLEGE RD
WILMINGTON,NC28403 		56-1258660 501(C)(3) 15,500       FELLOWSHIP AWARD
(69) UNIVERSITY OF ARIZONA
PO BOX 210036
TUCSON,AZ85721 		86-6050388 501(C)(3) 16,100       FELLOWSHIP AWARD
(70) UNIVERSITY OF NORTH CAROLINA
CB 7075
CHAPEL HILL,NC275997075 		56-6001093 GOV'T ENTITY 610,212       GENERAL SUPPORT
(71) UNIVERSITY OF NOTRE DAME
830 GRACE HALL - RESEARCH SPON
NOTRE DAME,IN465565612 		35-0868188 501(C)(3) 20,835       FELLOWSHIP AWARD
(72) UNIVERSITY OF PITTSBURGH
3100 CATHERAL OF LEARNING
PITTSBURGH,PA15260 		25-0965591 501(C)(3) 68,000       FELLOWSHIP AWARD
(73) URBAN HOPE
1902 PERRY ST
DURHAM,NC27701 		84-6007896 501(C)(3) 100 6,000 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(74) URBAN MINISTRIES OF DURHAM
PO BOX 249
DURHAM,NC27702 		58-1505891 501(C)(3) 5,100 1,191 FMV OFFICE EQUIPMENT GENERAL SUPPORT
(75) VOYAGER ACADEMY
101 HOCK PARC
DURHAM,NC27704 		65-1318240 501(C)(3)   23,750 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(76) WALLTOWN CHILDRENS THEATRE
1225 BERKLEY ST
DURHAM,NC27705 		56-2214825 501(C)(3) 7,300       GENERAL SUPPORT
(77) YALE UNIVERSITY
60 COLLEGE STREET
NEW HAVEN,CT065208034 		06-0646973 501(C)(3) 6,000       BUSSE RESEARCH AWARD
(78) MEDICAL MISSIONARIES
19 BUTLER ST
IRVINE,CA92612 		54-1990595 501(C)(3)   7,500 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
(79) WAKE FOREST ELEMENTARY SCHOOL
136 W SYCAMORE AVE
WAKE FOREST,NC27587 		56-1137759 GOV'T ENTITY   15,250 FMV COMPUTER EQUIPMENT GENERAL SUPPORT
2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image
73
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
6
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2013

Schedule I (Form 990) 2013
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) ALEX COHEN AWARD 2 2,100      
(2) ALEX VASILOS MEMORIAL AWARD 1 500      
(3) APTMAN PRIZE 1 1,000      
(4) ART HISTORY AWARD 2 1,000      
(5) BETSY ALDEN SL AWARD 1 250      
(6) BIOMEDICAL ENGINEERING AWARD 1 50      
(7) BLUE DEVILISH IMAGES PRIZE 6 1,026      
(8) BRAIN TUMOR CENTER AWARD 1 19,522      
(9) CENTER FOR THE ENVIRONMENTAL IMPLICATIONS OF NANO TECHNOLOGY 1 100      
(10) CHANGEWORKS COMPETITION 1 2,000      
(11) CHRISTIAN COMMUNITY DEVELOPMENT ASSOCIATION 8 1,200      
(12) DALE BJ RANDALL AWARD 2 500      
(13) DANA MARKS AWARD 1 500      
(14) DANCE AWARD 4 1,000      
(15) DEANS'S RECOGNITION AWARD 4 400      
(16) DOCUMENTARY AWARD 1 1,500      
(17) DUKE ARTS FESTIVAL AWARD 4 1,019      
(18) DUKE FOREST GIFT 1 850      
(19) DUKE HACKER AWARD 6 6,083      
(20) DUKE HUMAN RIGHTS CENTER AWARD 10 17,340      
(21) DUKE START UP CHALLENGE 8 4,000      
(22) DUKE STEAM CHALLENGE 16 17,640      
(23) ELECTRICAL & COMPUTER ENGINEERING AWARD 6 1,913      
(24) ENERGY IN EMERGING MARKETS AWARD 5 1,500      
(25) FOERSTER PRIZE 1 500      
(26) FRITZ LONDON PRIZE 3 30,000      
(27) GRANDOVER AWARD 1 200      
(28) GREEN IN 3 PRIZE 4 2,000      
(29) GREEN ROSSITER AWARD 1 200      
(30) HAROLD BRODY AWARD 1 500      
(31) HART FELLOWSHIPS 5 12,980      
(32) HASTAC FELLOWSHIP AWARD 6 1,800      
(33) HEIM FOUNDATION LEADERSHIP AWARD 2 2,000      
(34) HOLTON AWARD 3 1,500      
(35) INNOVATION AWARD 7 5,900      
(36) INTERNSHIP AWARD 1 1,348      
(37) JEFFERSON AWARD 1 250      
(38) JODY MCAULIFFE AWARD 1 500      
(39) JOHN M CLUM AWARD 1 500      
(40) JULIE DALE AWARD 13 1,568      
(41) KARL MENGER PRIZE IN MATHEMATICS 3 763      
(42) KENAN MORAL PURPOST AWARD 1 1,000      
(43) KENNETH J REARDIN AWARD 1 500      
(44) KIE LORAL AWARD 2 200      
(45) MAHATO MEMORIAL IMAGE CONTEST 2 375      
(46) MELOSH AWARD 1 714      
(47) MEMS AWARD 4 1,626      
(48) MIDDLESWORTH AWARD 2 2,000      
(49) MUSIC AWARD 3 600      
(50) PEOPLE'S CHOICE AWARD 2 1,300      
(51) PHOTO CONTEST PRIZE 3 200      
(52) PI TAU SIGMA SCHOLARSHIP AWARD 1 500      
(53) POETRY CONTEST 2 100      
(54) POST DOC MENTOR AWARD 1 1,000      
(55) POSTER AWARD 16 2,460      
(56) RAPID FIRE AWARD 1 100      
(57) RAYMOND C GAUGLER AWARD 1 781      
(58) READING CONTEST 1 500      
(59) RESEARCH AWARD 2 750      
(60) REYNOLDS PRICE AWARD 1 500      
(61) ROBERTSON SCHOLAR AWARD 2 525      
(62) SARA LAVOSKEY MEMORIAL AWARD 2 1,000      
(63) STUDENT AWARD 115 61,512      
(64) SUMMER INSTITUTE 22 44,000      
(65) TALK AWARD 1 100      
(66) TEACHING ASSISTANT AWARD 11 2,300      
(67) VISUAL ARTS AWARD 2 1,000      
(68) W KOONZ AWARD 2 500      
(69) WHITE HOUSE INTERNSHIP PRIZE 1 2,000      
(70) WRITING AWARD 15 9,731      
(71) UNDERGRADUATE INSTITUTIONAL AWARDS 159 2,101,870      
(72) GRADUATE STIPENDS 1875 25,642,563      
(73) PRE-DOCTORAL STIPENDS 79 509,035      
(74) UNDERGRADUATE STIPENDS 1108 2,002,836      
(75) GRADUATE SCHOLARSHIPS 3143 78,647,265      
(76) PREDOCTORAL TUITION SCHOLARSHIPS 1 7,165      
(77) UNDERGRADUATE SCHOLARSHIPS 3841 138,741,282      
(78) PREDOCTORAL SCHOLARSHIPS 2777 43,805,471      
Part IV
Supplemental Information. Provide the information required in Part I, line 2, Part III, column (b), and any other additional information.
Return Reference Explanation
SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE, A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT.
Schedule I (Form 990) 2013


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, line 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
SchJMediumBullet Information about Schedule J (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed in Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes in line 1a are checked, did the organization follow a written policy regarding payment or reimbursement 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
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked in line 1a? ..
2
Yes
 
3
Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
4
During the year, did any person listed in Form 990, Part VII, Section A, line 1a with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment? ................
4a
 
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........
4b
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? .........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ...........................
5a
 
No
b
Any related organization? .........................
5b
 
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization? ...........................
6a
 
No
b
Any related organization? .........................
6b
 
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
 
No
8
Were any amounts reported in Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III .............................
8
 
No
9
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
 
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
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)RICHARD H BRODHEADTRUSTEE/PRESIDENT (i)
(ii)		 873,792
0 		0
0 		219,858
0 		131,276
0 		66,205
0 		1,291,131
0 		100,000
0
(2)PAMELA J BERNARDVP & UNIVERSITY COUNSEL (i)
(ii)		 453,560
0 		0
0 		17,500
0 		31,276
0 		42,762
0 		545,098
0 		0
0
(3)VICTOR J DZAUCHANCELLOR HEALTH AFFAIRS (i)
(ii)		 1,094,130
0 		933,638
0 		12,250
0 		716,303
0 		20,526
0 		2,776,847
0 		0
0
(4)PETER LANGEPROVOST (i)
(ii)		 581,841
26,000 		0
0 		17,500
0 		31,276
0 		9,312
0 		639,929
26,000 		0
0
(5)RICHARD RIDDELLVP & UNIVERSITY SECRETARY (i)
(ii)		 308,192
0 		0
0 		17,500
0 		31,276
0 		14,611
0 		371,579
0 		0
0
(6)TALLMAN TRASK IIIEXECUTIVE VICE PRESIDENT (i)
(ii)		 603,274
0 		0
0 		17,500
0 		31,276
0 		45,184
0 		697,234
0 		0
0
(7)NANCY CATHERINE ANDREWSVICE CHAN OF ACADEMIC AFFAIRS (i)
(ii)		 511,948
0 		213,452
0 		17,500
0 		31,276
0 		52,787
0 		826,963
0 		0
0
(8)WILLIAM BOULDINGDEAN, FUQUA SCHOOL OF BUSINESS (i)
(ii)		 497,265
0 		0
0 		0
0 		31,276
0 		16,164
0 		544,705
0 		0
0
(9)ROBERT M CALIFF MDVICE CHAN FOR CLINICAL RESEARCH (i)
(ii)		 506,548
0 		7,000
0 		0
0 		31,276
0 		17,143
0 		561,967
0 		0
0
(10)JAMES SCOTT GIBSONEXEC VICE DEAN OF ADMIN, SOM (i)
(ii)		 380,609
0 		155,776
0 		17,500
0 		31,276
0 		23,012
0 		608,173
0 		0
0
(11)ALICE GOULDINVESTMENT MANAGER (i)
(ii)		 324,200
0 		467,562
0 		187,950
0 		111,366
0 		1,931
0 		1,093,009
0 		46,200
0
(12)ANDERS HALLINVESTMENT MANAGER (i)
(ii)		 201,355
0 		350,480
0 		277,366
0 		31,276
0 		9,667
0 		870,144
0 		124,000
0
(13)JOHN J NOONANASSOCIATE VP OF FACILITIES (i)
(ii)		 294,473
0 		1,530
0 		0
0 		31,276
0 		55,020
0 		382,299
0 		0
0
(14)LAURIE L PATTONDEAN, COLLEGE OF A & S (i)
(ii)		 359,865
0 		0
0 		17,500
0 		31,276
0 		6,579
0 		415,220
0 		0
0
(15)ERIC PETERSONDIRECTOR, DCRI (i)
(ii)		 371,579
0 		48,910
0 		17,500
0 		31,276
0 		31,033
0 		500,298
0 		0
0
(16)JAMES S ROBERTSEXEC VICE-PROVOST FIN & ADMIN (i)
(ii)		 318,481
0 		14,803
0 		0
0 		31,276
0 		8,337
0 		372,897
0 		0
0
(17)NEAL TRIPLETTCHIEF INVESTMENT OFFICER (i)
(ii)		 576,082
0 		1,026,151
0 		975,200
0 		282,401
0 		16,476
0 		2,876,310
0 		548,950
0
(18)DAVID N CUTCLIFFECOACH (i)
(ii)		 1,490,783
0 		475,201
0 		26,701
0 		31,276
0 		25,094
0 		2,049,055
0 		0
0
(19)MICHAEL B KASTANEXEC DIRECTOR, CANCER INSTITUTE (i)
(ii)		 743,211
0 		160,501
0 		0
0 		31,276
0 		15,418
0 		950,406
0 		0
0
(20)MICHAEL W KRZYZEWSKICOACH (i)
(ii)		 1,975,621
0 		1,008,000
0 		3,037,356
0 		1,256,125
0 		22,564
0 		7,299,666
0 		2,310,681
0
(21)JOANNE MCCALLIECOACH (i)
(ii)		 761,143
0 		156,000
0 		26,125
0 		31,276
0 		23,970
0 		998,514
0 		0
0
(22)KEVIN M WHITEVP & DIRECTOR OF ATHLETICS (i)
(ii)		 863,504
0 		0
0 		32,596
0 		31,276
0 		22,906
0 		950,282
0 		0
0
(23)ALVIN L CRUMBLISSFORMER KEY EMPLOYEE (i)
(ii)		 205,097
0 		0
0 		0
0 		25,082
0 		9,782
0 		239,961
0 		0
0
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
Page 3
Part III
Supplemental Information
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.
Return Reference Explanation
PART I, LINE 1A CHARTER TRAVEL MICHAEL W. KRYZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. RICHARD H. BRODHEAD, TALLMAN TRASK III, PAMELA J. BERNARD, ALICE E. GOULD, AND RICHARD RIDDELL USED FIRST CLASS TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS COMPANIONS HAVE TRAVELED WITH MICHAEL W. KRZYZEWSKI, DAVID CUTCLIFFE, WILLIAM BOULDING, AND KEVIN WHITE. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. TAX INDEMNIFICATION JAMES S. ROBERTS AND MICHAEL B. KASTAN RECEIVED SOME BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. RESIDENCE FOR PERSONAL USE RICHARD H. BRODHEAD WAS PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITY USED BY THE UNIVERSITY'S PRESIDENT. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THIS FACILITY IS USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. CLUB DUES DAVID N. CUTCLIFFE, JAMES SCOTT GIBSON, AND RICHARD RIDDELL WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS.
PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $548,950, ANDERS W. HALL $124,000, ALICE E. GOULD $46,200, RICHARD BRODHEAD $200,000, MICHAEL W. KRZYZEWSKI $2,985,000. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). VICTOR J. DZAU MD PARTICIPATES IN A PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE, HOWEVER HE DID NOT RECEIVE ANY PAYMENTS DURING THE REPORTING PERIOD.
Schedule J (Form 990) 2013

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.
SchKMediumBulletInformation about Schedule K (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number
56-0532129
Part I
Bond Issues
(a) Issuer name (b) Issuer EIN (c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased (h) On
behalf of
issuer 		(i) Pool
financing
Yes No Yes No Yes No
A NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GCF3 06-24-2005 216,311,656 SEE PART VI   X   X   X
B NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GDR6 11-02-2006 397,964,337 SEE PART VI   X   X   X
C NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GES3 01-09-2007 128,278,030 SEE PART VI   X   X   X
D NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GFT0 02-25-2009 252,585,252 SEE PART VI   X   X   X
NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65818XBE1 12-18-2012 627,227,000 SEE PART VI   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 8,210,000 8,210,000    
2 Amount of bonds legally defeased . . . . . . . . . . .        
3 Total proceeds of issue . . . . . . . . . . . . . . 220,394,024 405,128,364 128,278,030 253,158,413
4 Gross proceeds in reserve funds . . . . . . . . . . . .        
5 Capitalized interest from proceeds . . . . . . . . . . . 8,738,412 8,814,929   7,249,152
6 Proceeds in refunding escrows . . . . . . . . . . . . 69,239,409 262,529,247 127,234,526 109,568,000
7 Issuance costs from proceeds . . . . . . . . . . . . 1,647,641 2,807,772 1,043,504 2,182,146
8 Credit enhancement from proceeds . . . . . . . . . . .        
9 Working capital expenditures from proceeds . . . . . . . . . 236,035      
10 Capital expenditures from proceeds . . . . . . . . . . . 140,532,528 130,976,419   134,159,115
11 Other spent proceeds . . . . . . . . . . . . . .        
12 Other unspent proceeds . . . . . . . . . . . . . .        
13 Year of substantial completion . . . . . . . . . . . . 2007 2008 2004 2013
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) 2013
Schedule K (Form 990) 2013
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 % 0.890 % 0 % 0 %
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0 % 0 % 0 % 0 %
6 Total of lines 4 and 5 . . . . . . . . . . . . . 0 % 0.890 % 0 % 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? . . . . . . . . . . . . .                
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 . . . . . . . . . MORGAN STANLEY & CO
  		MORGAN STANLEY & CO
  		 
  		 
 
c Term of hedge . . . . . . . . . . 1.800000000000 1.900000000000    
d Was the hedge superintegrated? . . . .   X   X        
e Was the hedge terminated? . . . . . .   X   X        
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
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 . . . . . . . . .  
  		 
  		 
  		 
 
c Term of GIC . . . . . . . . . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . . X     X        
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
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. Provide additional information for responses to questions on Schedule K (see instructions).
Return Reference Explanation
FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND CUSIP NUMBER OF TAX-EXEMPT BONDS BOND ISSUE (C): FORM 8038 LISTS THE CUSIP NUMBER AS 65819GEQ7, 65819GER5, 65819GES3. ALL CUSIPS HAVE THE SAME MATURITY DATE. BOND ISSUE (A2): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 12/18/2012 AND CUSIPS 65818WBM5, 65818WB68, 65818WBN3, 65818WBT0, 65818WBR4, 65818WBS2, 65818WBQ6, 65818WBU7, 65818WBV5, 65818XAZ5, 65818XAD3, 65818XAY8, 65818XAX0, 65818XAE1, 65818XAB7 AND 658818XAC5 WERE OUTSTANDING AS OF 6/30/2014 UNDER THE NEW ISSUE.
FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (A2): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($579,077,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($48,150,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM.
FORM 990, SCHEDULE K, PART 1(F) PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND $69,038,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED MARCH 17, 2005 TO PROVIDE INTERIM FINANCING FOR CONSTRUCTING AND EQUIPPING FOUR PROJECTS LOCATED ON THE WEST CAMPUS OF DUKE UNIVERSITY (2005A PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2005A PROJECTS. BOND ISSUE (B): TO (1) REFUND THE OUTSTANDING 1996B BONDS ISSUED 7/9/1996, (2) REFUND A PORTION OF THE 2001A BONDS ISSUED 1/8/2002, (3) REFUND $92,699,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 9/18/2006 AND $3,260,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 20 PROJECTS LOCATED ON THE WEST AND EAST CAMPUS OF DUKE UNIVERSITY (2006A PROJECTS), AND (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF COST OF CONSTRUCTING AND EQUIPPING THE 2006A PROJECTS. BOND ISSUE (C): TO REFUND THE OUTSTANDING 2002A BONDS ISSUED 7/30/2002. BOND ISSUE (D): TO (1) REFUND $104,184,000 AGGREGATE PRINCIPAL OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 5/13/2008 AND $5,384,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 28 PROJECTS LOCATED ON WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY (2009B PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2009B PROJECTS. BOND ISSUE (A2): COMMERCIAL PAPER PROGRAM, THE PURPOSES OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 6/16/2011, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY.
FORM 990, SCHEDULE K, PART II, LINE 13 TAX-EXEMPT BOND BOND ISSUE (A2): NO YEAR IS PROVIDED AT THIS TIME DUE TO NEW COMMERCIAL PAPER ISSUED IN THE CURRENT YEAR FOR PROJECTS THAT ARE NOT SUBSTANTIALLY COMPLETE.
FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2C BOND ISSUE (A) - 6/24/2014 BOND ISSUE (B) - 11/1/2013 BOND ISSUE (C) - 1/1/2014 BOND ISSUE (D) - 2/1/2014 LINE 4D BOND ISSUE (B): ONLY TWO BIDS WERE RECEIVED FROM SIX PROVIDERS SOLICITED. LINE 6 BOND ISSUE (A2): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED.
Schedule K (Form 990) 2013

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.
SchKMediumBulletInformation about Schedule K (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number
56-0532129
Part I
Bond Issues
(a) Issuer name (b) Issuer EIN (c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased (h) On
behalf of
issuer 		(i) Pool
financing
Yes No Yes No Yes No
A NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GCF3 06-24-2005 216,311,656 SEE PART VI   X   X   X
B NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GDR6 11-02-2006 397,964,337 SEE PART VI   X   X   X
C NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GES3 01-09-2007 128,278,030 SEE PART VI   X   X   X
D NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65819GFT0 02-25-2009 252,585,252 SEE PART VI   X   X   X
NC CAPITAL FACILITIES FINANCE AGENCY
  		56-1592154 65818XBE1 12-18-2012 627,227,000 SEE PART VI   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 8,210,000 8,210,000    
2 Amount of bonds legally defeased . . . . . . . . . . .        
3 Total proceeds of issue . . . . . . . . . . . . . . 220,394,024 405,128,364 128,278,030 253,158,413
4 Gross proceeds in reserve funds . . . . . . . . . . . .        
5 Capitalized interest from proceeds . . . . . . . . . . . 8,738,412 8,814,929   7,249,152
6 Proceeds in refunding escrows . . . . . . . . . . . . 69,239,409 262,529,247 127,234,526 109,568,000
7 Issuance costs from proceeds . . . . . . . . . . . . 1,647,641 2,807,772 1,043,504 2,182,146
8 Credit enhancement from proceeds . . . . . . . . . . .        
9 Working capital expenditures from proceeds . . . . . . . . . 236,035      
10 Capital expenditures from proceeds . . . . . . . . . . . 140,532,528 130,976,419   134,159,115
11 Other spent proceeds . . . . . . . . . . . . . .        
12 Other unspent proceeds . . . . . . . . . . . . . .        
13 Year of substantial completion . . . . . . . . . . . . 2007 2008 2004 2013
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) 2013
Schedule K (Form 990) 2013
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 % 0.890 % 0 % 0 %
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0 % 0 % 0 % 0 %
6 Total of lines 4 and 5 . . . . . . . . . . . . . 0 % 0.890 % 0 % 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? . . . . . . . . . . . . .                
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 . . . . . . . . . MORGAN STANLEY & CO
  		MORGAN STANLEY & CO
  		 
  		 
 
c Term of hedge . . . . . . . . . . 1.800000000000 1.900000000000    
d Was the hedge superintegrated? . . . .   X   X        
e Was the hedge terminated? . . . . . .   X   X        
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
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 . . . . . . . . .  
  		 
  		 
  		 
 
c Term of GIC . . . . . . . . . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . . X     X        
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
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. Provide additional information for responses to questions on Schedule K (see instructions).
Return Reference Explanation
FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND CUSIP NUMBER OF TAX-EXEMPT BONDS BOND ISSUE (C): FORM 8038 LISTS THE CUSIP NUMBER AS 65819GEQ7, 65819GER5, 65819GES3. ALL CUSIPS HAVE THE SAME MATURITY DATE. BOND ISSUE (A2): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 12/18/2012 AND CUSIPS 65818WBM5, 65818WB68, 65818WBN3, 65818WBT0, 65818WBR4, 65818WBS2, 65818WBQ6, 65818WBU7, 65818WBV5, 65818XAZ5, 65818XAD3, 65818XAY8, 65818XAX0, 65818XAE1, 65818XAB7 AND 658818XAC5 WERE OUTSTANDING AS OF 6/30/2014 UNDER THE NEW ISSUE.
FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (A2): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($579,077,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($48,150,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM.
FORM 990, SCHEDULE K, PART 1(F) PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND $69,038,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED MARCH 17, 2005 TO PROVIDE INTERIM FINANCING FOR CONSTRUCTING AND EQUIPPING FOUR PROJECTS LOCATED ON THE WEST CAMPUS OF DUKE UNIVERSITY (2005A PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2005A PROJECTS. BOND ISSUE (B): TO (1) REFUND THE OUTSTANDING 1996B BONDS ISSUED 7/9/1996, (2) REFUND A PORTION OF THE 2001A BONDS ISSUED 1/8/2002, (3) REFUND $92,699,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 9/18/2006 AND $3,260,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 20 PROJECTS LOCATED ON THE WEST AND EAST CAMPUS OF DUKE UNIVERSITY (2006A PROJECTS), AND (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF COST OF CONSTRUCTING AND EQUIPPING THE 2006A PROJECTS. BOND ISSUE (C): TO REFUND THE OUTSTANDING 2002A BONDS ISSUED 7/30/2002. BOND ISSUE (D): TO (1) REFUND $104,184,000 AGGREGATE PRINCIPAL OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 5/13/2008 AND $5,384,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 28 PROJECTS LOCATED ON WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY (2009B PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2009B PROJECTS. BOND ISSUE (A2): COMMERCIAL PAPER PROGRAM, THE PURPOSES OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 6/16/2011, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY.
FORM 990, SCHEDULE K, PART II, LINE 13 TAX-EXEMPT BOND BOND ISSUE (A2): NO YEAR IS PROVIDED AT THIS TIME DUE TO NEW COMMERCIAL PAPER ISSUED IN THE CURRENT YEAR FOR PROJECTS THAT ARE NOT SUBSTANTIALLY COMPLETE.
FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2C BOND ISSUE (A) - 6/24/2014 BOND ISSUE (B) - 11/1/2013 BOND ISSUE (C) - 1/1/2014 BOND ISSUE (D) - 2/1/2014 LINE 4D BOND ISSUE (B): ONLY TWO BIDS WERE RECEIVED FROM SIX PROVIDERS SOLICITED. LINE 6 BOND ISSUE (A2): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED.
Schedule K (Form 990) 2013

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.
MediumBulletInformation about Schedule L (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Excess Benefit Transactions (section 501(c)(3) and section 501(c)(4) organizations only).
Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b.
1(a) Name of disqualified person (b) 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
Total ......Small Bullet $  
Part III
Grants or Assistance Benefitting Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 27.
(a) Name of interested person (b) Relationship between interested person and the organization (c) Amount of assistance (d) Type of assistance (e) Purpose of assistance
(1) 1 RECIPIENT SEE PART V 21,000 GRANT GENERAL SUPP.
(2) 1 RECIPIENT SEE PART V 117,593 GRANT GENERAL SUPP.
(3) 1 RECIPIENT SEE PART V 15,000 GRANT GENERAL SUPP.
(4) 1 RECIPIENT SEE PART V 50,000 GRANT GENERAL SUPP.
(5) 1 RECIPIENT SEE PART V 41,800 GRANT GENERAL SUPP.
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2013
Schedule L (Form 990 or 990-EZ) 2013
Page 2
Part IV
Business Transactions Involving Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 28a, 28b, or 28c.
(a) Name of interested person (b) Relationship between interested person and the organization (c) Amount of transaction (d) Description of transaction (e) Sharing of organization's revenues?
Yes No
(1) CYNTHIA BRODHEAD SEE PART V 156,156 SEE PART V   No
(2) LORI LEACHMAN SEE PART V 120,840 SEE PART V   No
(3) DEBORAH JAKUBS SEE PART V 281,350 SEE PART V   No
(4) BERNARD MATHEY-PREVOT SEE PART V 155,632 SEE PART V   No
(5) BRIGHT HORIZONS
  		SEE PART V 306,724 SEE PART V   No
(6) PEPSI CO
  		SEE PART V 226,170 SEE PART V   No
(7) SCHNEIDER ELECTRIC
  		SEE PART V 638,208 SEE PART V   No
(8) MADISON SQUARE GARDEN INC
  		SEE PART V 102,802 SEE PART V   No
Part V
Supplemental Information
Provide additional information for responses to questions on Schedule L (see instructions).
Return Reference Explanation
SCH L, PART III, GRANTS OR ASSISTANCE BENEFITING INTERESTED PERSONS: (A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $21,000(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $117,593(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $15,000(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $50,000(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $41,800(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT
SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF INTERESTED PERSON: CYNTHIA BRODHEAD(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: CYNTHIA BRODHEAD IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $156,156(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: LORI LEACHMAN(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: LORI LEACHMAN IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $120,840(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: DEBORAH JAKUBS(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DEBORAH JAKUBS IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $281,350(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: BERNARD MATHEY-PREVOT(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: BERNARD MATHEY-PREVOT IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $155,632(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: BRIGHT HORIZONS(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: BRIGHT HORIZONS DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $306,724(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: PEPSI CO.(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: PEPSI CO. DIRECTOR IS A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $226,170(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: SCHNEIDER ELECTRIC(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: SCHNEIDER ELECTRIC DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $638,208(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: MADISON SQUARE GARDEN, INC.(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: MADISON SQUARE GARDEN, INC. DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $102,802(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO
Schedule L (Form 990 or 990-EZ) 2013

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.
Right pointing arrow large imageInformation about Schedule M (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Types of Property
(a)
Check if applicable 		(b)
Number of contributions or items contributed 		(c)
Noncash contribution amounts reported on
Form 990, Part VIII, line 1g 		(d)
Method of determining
noncash contribution amounts
1 Art—Works of art .... X 37 3,648,264 VARIOUS
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications .. X 143,404 VARIOUS
5 Clothing and household
goods ....... 		X 3,247 VARIOUS
6 Cars and other vehicles ..        
7 Boats and planes ....        
8 Intellectual property ...        
9 Securities—Publicly traded . X 1,191 44,145,028 MARKET QUOTE
10 Securities—Closely held stock .        
11 Securities—Partnership, LLC,
or trust interests .... 		       
12 Securities—Miscellaneous ..        
13 Qualified conservation
contribution—Historic
structures ..... 		       
14 Qualified conservation
contribution—Other ... 		       
15 Real estate—Residential .        
16 Real estate—Commercial ..        
17 Real estate—Other ...        
18 Collectibles .....        
19 Food inventory ...        
20 Drugs and medical supplies .        
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( MISCELLANEOUS ) X 161 378,972 VARIOUS
26 Other Right pointing arrow large image ( EVENT TICKETS ) X 2,028 309,444 FMV/FACE VALUE
27 Other Right pointing arrow large image ( DOCUMENTS ) X 40 273,422 VARIOUS
28 Other Right pointing arrow large image ( EQUIPMENT ) X 18 147,570 VARIOUS
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
17
Yes
No
30a
During the year, did the organization receive by contribution any property reported in Part I, lines 1 through 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) (2013)
Schedule M (Form 990) (2013)
Page 2
Part II
Supplemental Information. 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.
Return Reference Explanation
PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES.
Schedule M (Form 990) (2013)
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.
MediumBullet Information about Schedule O (Form 990 or 990-EZ) and its instructions is at
www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Return Reference Explanation
FORM 990, PART I, LINE 6 TOTAL NUMBER OF VOLUNTEERS DUKE UNIVERSITY HAS MANY VOLUNTEERS THAT FACILITATE MANY OF ITS ACTIVITIES.
FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION "JAMES B. DUKE'S FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION;' AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO."
FORM 990, PART V, LINE 3B THE ORGANIZATION DID NOT HAVE UNRELATED BUSINESS GROSS INCOME OF $1,000 OR MORE DURING THE FISCAL YEAR ENDED JUNE 30, 2014. THEREFORE, FORM 990-T IS NOT REQUIRED FOR THE FISCAL YEAR ENDED JUNE 30, 2014.
FORM 990, PART VI, SECTION A, LINE 2 OFFICERS VICTOR J. DZAU, MD AND PAMELA J. BERNARD ARE BOTH DIRECTORS OF DURHAM CASUALTY COMPANY, LTD. OFFICER VICTOR J. DZAU, MD AND KEY EMPLOYEE JAMES SCOTT GIBSON ARE BOTH DIRECTORS OF DUKE MEDICAL STRATEGIES, INC. TRUSTEES JANET HILL AND DAVID M. RUBENSTEIN ARE BOTH DIRECTORS OF THE CARLYLE GROUP.
FORM 990, PART VI, SECTION A, LINE 7A OF THE 36 ELECTED TRUSTEES FOR DUKE UNIVERSITY, TWELVE ARE ELECTED BY THE NORTH CAROLINA CONFERENCE OF THE UNITED METHODIST CHURCH AND ANOTHER TWELVE ARE ELECTED BY THE WESTERN NORTH CAROLINIA CONFERENCE OF THE UNITED METHODIST CHURCH.
FORM 990, PART VI, SECTION B, LINE 11 DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT COMMITTEE OF THE UNIVERSITY TRUSTEES IN ADVANCE OF THE MEETING. AT THE MEETING, THE DUKE UNIVERSITY TAX DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, REVIEWS THE FORM 990 WITH THE COMMITTEE. THE COMMITTEE IS OFFERED AN OPPORTUNITY TO ASK QUESTIONS BOTH AT THE MEETING AND ANYTIME THEREAFTER BY CONTACTING THE TAX DIRECTOR OR DUKE UNIVERSITY'S TAX ATTORNEY, WHO IS ALSO INVOLVED WITH THE PREPARATION OF DUKE UNIVERSITY'S FORM 990. SUBSQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER.
FORM 990, PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY.
FORM 990, PART VI, SECTION B, LINE 15 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING.
FORM 990, PART VI, SECTION C, LINE 18 DUKE UNIVERSITY'S FORM 990 IS AVAILABLE TO THE PUBLIC ON WWW.GUIDESTAR.ORG. GUIDESTAR INDEPENDENTLY POSTS TAX-EXEMPT ORGANIZATION'S FORM 990'S ON THEIR WEBSITE, OBTAINED FROM THE INTERNAL REVENUE SERVICE.
FORM 990, PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS ORGANIZING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS.PDF
FORM 990, PART XI, LINE 9: CHANGES RELATED TO NONCONTROLLING INT 274,057,577. CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS 104,544,245. CHANGES IN COMPENSATED ABSENCES -11,096,853. TRANSFER FROM DUHS 63,557,344. NONPERIODIC CHANGE IN BENEFIT PLANS -792,694. ALLOWANCE INCREASE ON PLEDGES RECEIVABLE -6,492,039. OTHER CHANGES -8,367,690.
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2013

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" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.
MediumBulletAttach to Form 990. MediumBullet See separate instructions.
MediumBullet Information about Schedule R (Form 990) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Identification of Disregarded Entities Complete if the organization answered "Yes" on Form 990, Part IV, line 33.
(a)
Name, address, and EIN (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) DUKE UK TRUST LIMITED
ALDER CASTLE 10 NOBLE
LONDON   EC2V 7QJ
UK
98-0555714 		DEVELOPMENT UK 541,452 58,233 DUKE UNIVERSITY
 
(2) LTPPMCO LLC
280 S MANGUM STREET STE 210
DURHAM,NC27701
 INVESTMENTS NC 9,971,163 341,055,519 DUKE UNIVERSITY
 








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


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Exempt Code section


 		(e)
Public charity status
(if section 501(c)(3))

 		(f)
Direct controlling
entity

 		(g)
Section 512(b)(13) controlled entity?
Yes No
(1) AMER ASSOC FOR GIFTED CHILDREN - 56-1686219

324 BLACKWELL STREET STE 850

DURHAM,NC27701
 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(2) ANGIER B DUKE MEMORIAL INC

100 NORTH TRYON STREET

CHARLOTTE,NC28202
13-6113895 		SCHOLARSHIPS NC 501(C)(3) 11 TYPE III-O DUKE ENDOWMENT
 
 
No
(3) ASSOCIATED HEALTH SVCS INC

615 DOUGLAS STREET SUITE 700

DURHAM,NC27705
56-1845329 		HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC
 
Yes
 
(4) ATLANTIC COAST CONFERENCE

PO DRAWER ACC

GREENSBORO,NC27417
56-0599082 		ATHLETIC NC 501(C)(3) 11 TYPE 1 N/A
 
No
(5) C A CANNON CHAR TRUST NO 3

1525 W WT HARRIS BLVD D1114

CHARLOTTE,NC28288
58-1360259 		SUPPORT NC 501(C)(3) 11 TYPE III-O N/A
 
No
(6) DAVID H MURDOCK RESEARCH INSTITUTE

150 RESEARCH CAMPUS DR

KANNAPOLIS,NC28081
20-8730759 		RESEARCH NC 501(C)(3) 11 TYPE 1 N/A
 
No
(7) DU SPECIAL VENTURES FUND INC

280 S MANGUM STREET STE 210

DURHAM,NC27701
56-1465177 		INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(8) DUKE ALUMNI ASSOCIATION INC

614 CHAPEL DRIVE

DURHAM,NC27708
56-1594088 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(9) DUKE CORPORATE EDUCATION

310 BLACKWELL ST

DURHAM,NC27701
42-1672476 		EDUCATION NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(10) DUKE GIFT PROPERTIES INC

324 BLACKWELL STREET STE 850

DURHAM,NC27701
57-1211078 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(11) DUKE GLOBAL INC

324 BLACKWELL STREET STE 850

DURHAM,NC27701
61-1588319 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(12) DUKE HOSPITAL AUXILIARY INC

PO BOX 2895

DURHAM,NC27710
56-1825604 		SUPPORT NC 501(C)(3) 11 TYPE III-O N/A
 
No
(13) DUKE MEDICINE GLOBAL SUPP CORP- 61-1593721

324 BLACKWELL STREET STE 850

DURHAM,NC27701
 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(14) DUKE SCHOLARLY EXHIBITS INC

324 BLACKWELL STREET STE 850

DURHAM,NC27701
56-1701245 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(15) DUKE UNIV AFFILIATED PHYSICIANS

615 DOUGLAS STREET SUITE 700

DURHAM,NC27705
56-1902501 		HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC
 
Yes
 
(16) DUKE UNIV PHILANTHROPIES INC

324 BLACKWELL STREET STE 850

DURHAM,NC27701
57-1211099 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(17) DUKE UNIV SCH OF MED RESEARCH FDN 56-2247203

324 BLACKWELL STREET STE 850

DURHAM,NC27701
 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(18) DUKE UNIVERSITY HEALTH SYSTEM INC

615 DOUGLAS STREET SUITE 700

DURHAM,NC27705
56-2070036 		HEALTHCARE NC 501(C)(3) LINE 3 DUKE UNIVERSITY
 
Yes
 
(19) DUMAC INC

280 S MANGUM STREET STE 210

DURHAM,NC27701
90-0754895 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(20) DURHAM ASSET MGMT COMPANY INC

324 BLACKWELL STREET STE 850

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

324 BLACKWELL STREET STE 850

DURHAM,NC27701
56-1917936 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(22) GOTHIC CORPORATION

280 S MANGUM STREET STE 210

DURHAM,NC27701
56-1776668 		INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(23) GOTHIC HSP CORPORATION

280 S MANGUM STREET STE 210

DURHAM,NC27701
27-1325761 		INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC
 
Yes
 
(24) HIGH POINT REALTY ASSOCIATES INC

324 BLACKWELL STREET STE 850

DURHAM,NC27701
56-1917939 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(25) IPIHD INC

324 BLACKWELL STREET STE 850

DURHAM,NC27701
32-0358709 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(26) KATHRINE R EVERETT CHARITABLE

PO BOX 3001

DURHAM,NC27715
56-6473809 		SUPPORT NC 501(C)(3) 11 TYPE 1 N/A
 
No
(27) NANALINE H DUKE TRUST

100 NORTH TRYON STREET

CHARLOTTE,NC28202
23-7270511 		MED. SUPPORT NY 501(C)(3) 11 TYPE III-O DUKE ENDOWMENT
 
 
No
(28) RESEARCH TRIANGLE INSTITUTE

PO BOX 12194

RTP,NC27709
56-0686338 		RESEARCH NC 501(C)(3) 11 TYPE III-O N/A
 
No
(29) RUTH K BROAD BIOMED RES FDN

324 BLACKWELL STREET STE 850

DURHAM,NC27701
65-0045051 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(30) SMITHSHAVER LAW SCHOOL SCHOLARSHIP FUND

ONE WEST FOURTH ST STE 1200

WINSTONSALEM,NC27101
20-2749954 		SCHOLARSHIPS NC 501(C)(3) 11 TYPE 1 N/A
 
No
(31) THE CTR FOR DOCUMENTARY STUDIES

1317 PETTIGREW STREET

DURHAM,NC27705
56-1655039 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(32) THE LORD FDN OF NORTH CAROLINA

305 TEER BLDG

DURHAM,NC27708
56-1415423 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(33) DUKE INTEGRATED NETWORK INC

615 DOUGLAS STREET SUITE 700

DURHAM,NC27705
46-3129771 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC
 
Yes
 
(34) DUKE QUALITY NETWORK INC

615 DOUGLAS STREET SUITE 700

DURHAM,NC27705
46-1340679 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC
 
Yes
 
(35) DUKE JANJUN SERVICES INC

324 BLACKWELL STREET STE 850

DURHAM,NC27701
47-1150667 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(36) DUKE JULDEC SERVICES INC

324 BLACKWELL STREET STE 850

DURHAM,NC27101
47-1143245 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(37) DUKE ALLMO SERVICES INC

324 BLACKWELL STREET STE 850

DURHAM,NC27101
47-1133466 		SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY
 
Yes
 
(38) DUKE UNIVERSITY FEDERAL CREDIT UNION

2200 WEST MAIN ST STE L100

DURHAM,NC27705
56-1632379 		BANKING NC 501(C)(1)   DUKE UNIVERSITY HEALTH SYSTEM INC
 
Yes
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 2
Part III
Identification of Related Organizations Taxable as a Partnership Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a partnership during the tax year.
(a)
Name, address, and EIN of
related organization



 		(b)
Primary activity




 		(c)
Legal
domicile
(state or foreign
country)


 		(d)
Direct controlling
entity



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

(f)
Share of total income




 		(g)
Share of end-of-year
assets



 		(h)
Disproprtionate allocations?




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



 		(k)
Percentage
ownership
Yes No Yes No
(1) AVENUE BLUE TC FD 27-4011571

PARK AVENUE
NEW YORK,NY10022
 INVESTMENTS DE N/A
 N/A       No     No  
(2) BLACKWELL PTR LLC 20-8075455

280 S MANGUM STREET STE 210
DURHAM,NC27701
 INVESTMENTS GA N/A
 N/A       No     No  
(3) CANYON BLUE INV FD 27-0186996

AVE OF STARS
LA,CA90067
 INVESTMENTS DE N/A
 N/A       No     No  
(4) CD FUND LP - 27-0130641

MCKINNEY AVE
DALLAS,TX75201
 INVESTMENTS TX N/A
 N/A       No     No  
(5) LIQUID REALTY PTR 05-0537755

LINDA MESA
DANVILLE,CA94526
 INVESTMENTS DE N/A
 N/A       No     No  
(6) LYRICAL BLUE RL PT 27-2994514

32 N DEAN ST
ENGLEWOOD,NJ07631
 INVESTMENTS DE N/A
 N/A       No     No  
(7) LYRICAL-BLUE RGNT 45-3626577

32 N DEAN ST
ENGLEWOOD,NJ07631
 INVESTMENTS DE N/A
 N/A       No     No  
(8) OCTAVIAN BLUE FD 27-2408711

5TH AVENUE
NY,NY10151
 INVESTMENTS DE N/A
 N/A       No     No  
(9) SBER LUCKY STRIKE 20-3891303

310 BLACKWELL ST
DURHAM,NC27701
 REAL ESTATE NC N/A
 N/A       No     No  
(10) TAIYO BLUE FUND LP 80-0613746

5300 CARILLON POINT
KIRKLAND,WA98033
 INVESTMENTS DE N/A
 N/A       No     No  
(11) MANGUM LLC - 46-1275587

280 S MANGUM STREET STE 210
DURHAM,NC27701
 INVESTMENTS DE N/A
 N/A       No     No  
(12) TVV CAPITAL III-A 90-0909850

4TH AVE
NASHVILLE,TN37219
 INVESTMENTS DE N/A
 N/A       No     No  
(13) MANGUM II LLC - 46-5135858

280 S MANGUM STREET STE 210
DURHAM,NC27701
 INVESTMENTS NC N/A
 N/A       No     No  
Part IV
Identification of Related Organizations Taxable as a Corporation or Trust Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.
(a)
Name, address, and EIN of
related organization
 		(b)
Primary activity
 		(c)
Legal
domicile
(state or foreign
country)
 		(d)
Direct controlling
entity
 		(e)
Type of entity
(C corp, S corp,
or trust) 		(f)
Share of total income
 		(g)
Share of end-of-year
assets
 		(h)
Percentage
ownership
 		(i)
Section 512(b)(13) controlled entity?
Yes No
(1) COLCHESTER ALPHA FUND (BERMUDA) LTD

59-62 TOWNSEND ST 2
DUBLIN    
EI
INVESTMENTS BD N/A
 C         No
(2) COLCHESTER BETA THREE FUND LTD

CENTURY HOUSE 16 PAR-LA VILLE RD
HAMILTON   HM HX
BD
INVESTMENTS BD N/A
 C         No
(3) DUKE CE LS INC

310 BLACKWELL STREET
DURHAM,NC27701
20-2004016 		REAL ESTATE NC N/A
 C         No
(4) DUKE CORP EDU INDIA PRIVATE

ACADEMIC BLOCK NEW CAMPUS
VASTRAPUR,AHMEDABAD380015
IN
42-1672476 		CONSULTING IN N/A
 C         No
(5) DUKE CORPORATE EDUCATION LIM

165 FLEET STREET
LONDON   EC4A 2DY
UK
42-1672476 		EDU CONSULT UK N/A
 C         No
(6) DUKE CORPORATE EDUCATION RSA

GROUND FLOOR TWICKEHNHAM BLDG
BRYANSTON,JOHANNESBURG02021
SF
42-1672476 		CONSULTING SF N/A
 C         No
(7) DUKE GLOBAL CONSULTING (KUNSHAN)

1666 WEI CHEN NAN RD
KUNSHAN PR,KUNSHAN215300
CH
CONSULTING CH N/A
 C         No
(8) DUKE MEDICAL STRATEGIES INC

2200 WEST MAIN STREET STE 920
DURHAM,NC27705
56-1993799 		HEALTHCARE NC DUKE UNIVERSITY
  		C 14,219 544,283 100.000 % Yes  
(9) DUKE MEDICINE ASIA PTE LTD

5 SHENTON WAY 07-00 UIC BLD
SING   0688
SN
MEDICAL RESEARCH SN N/A
 C         No
(10) DUKE UNIV QUADRANGLE FUND

PO BOX 185
PITTSBURGH,PA152300185
56-6218971 		INVESTMENTS PA N/A
 T         No
(11) DUKE UNIVERSITY TOWER FUND

PO BOX 185
PITTSBURGH,PA152300185
56-6147362 		INVESTMENTS PA N/A
 T         No
(12) DURHAM CASUALTY COMPANY LTD

AON HOUSE 30 WOODBOURNE AVE
PEMBROKE   HM 08
BD
98-0113277 		INSURANCE BD N/A
 C         No
(13) DUSVF EUROPEAN LP

7 CAVENDISH SQUARE
LONDON   W1G 0PE
UK
98-0346042 		INVESTMENTS UK N/A
 C         No
(14) GOTHIC INTERNATIONAL LTD

113 S CHURCH STREET QUEENSGATE HOU
GRAND CAYMAN   KY1-1108
CJ
INVESTMENTS CJ N/A
 C         No
(15) INDOCHINA LAND HOLDINGS III

11F CHINA HONG KONG TOWER 8 HENNE
HONG KONG    
HK
INVESTMENTS CJ N/A
 C         No
(16) JOHN & PATRICIA KOSKINEN CLUT

PO BOX 185
PITTSBURGH,PA152300185
56-6532340 		INVESTMENTS PA N/A
 T         No
(17) MARATHON BLUE CAYMAN FUND

89 NEXUS WAY PO BOX 31106
GRAND CAYMAN   KY1-1205
CJ
INVESTMENTS CJ N/A
 C         No
(18) GHI HOLDINGS MAURITIUS

9TH FL ORANGE TOWER CYBERCITY
EBENE    
MP
INVESTMENTS MP N/A
 C         No
(19) GHI ERP LTD

9TH FL ORANGE TOWER CYBERCITY
EBENE    
MP
INVESTMENTS MP N/A
 C         No
(20) GHI HSP LTD

9TH FL ORANGE TOWER CYBERCITY
EBENE    
MP
INVESTMENTS MP N/A
 C         No
(21) GHI JBD LTD

9TH FL ORANGE TOWER CYBERCITY
EBENE    
MP
INVESTMENTS MP N/A
 C         No
(22) GHI LTP LTD

9TH FL ORANGE TOWER CYBERCITY
EBENE    
MP
INVESTMENTS MP N/A
 C         No
(23) QUORUM FUND LIMITED

PO BOX 1043 GEORGE TOWN
GRAND CAYMAN   KY1-1102
CJ
INVESTMENTS CJ N/A
 C         No
(24) DUKE CE (SEA) PRIVATE LIMITED

1 RAFFLES PLACE TOWER 2
SINGAPORE   048616
SN
SUPPORT SN N/A
 C         No
(25) MCP PRIVATE CAPITAL (FEEDER) FUND I LP

6 RUE GABRIEL LIPPMAN
LUXEMBOURG   L-5365
LU
INVESTMENTS LU N/A
 C         No
(26) DUKE INDIA SERVICES PRIVATE LIMITED

302 PRIDE ELITE 10 MUSEUM ROAD
BANGALORE,KARNATAKA560001
IN
MEDICAL RESEARCH IN N/A
 C         No
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 3
Part V
Transactions With Related Organizations Complete if the organization answered "Yes" on 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
Yes
 
d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
Yes
 
e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
No
f Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
 
No
k Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1k
 
No
l Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
 
No
m Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .
1m
 
No
n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .
1n
 
No
o Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
 
No
p Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
 
No
q Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
 
No
r Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
Yes
 
s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1s
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 related organization 		(b)
Transaction
type (a-s) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) THE RUTH K BROAD BIOMEDICAL RESEARCH FOUNDATION

 C 448,153 FMV
(2) THE LORD FOUNDATION OF NORTH CAROLINA

 C 1,131,524 FMV
(3) THE CENTER FOR DOCUMENTARY STUDIES

 B 897,973 FMV
(4) HIGH POINT REALTY ASSOCIATES INC

 C 2,712,000 FMV
(5) GOTHIC CORPORATION

 S 1,072,397,457 FMV
(6) GOTHIC CORPORATION

 R 697,476,225 FMV
(7) DURHAM REALTY INC

 C 1,402,566 FMV
(8) DURHAM ASSET MANAGEMENT COMPANY INC

 C 2,297,512 FMV
(9) DURHAM ASSET MANAGEMENT COMPANY INC

 B 1,215,185 FMV
(10) DUKE UNIVERSITY SPECIAL VENTURES FUND INC

 S 1,287,714 FMV
(11) DUKE UNIVERSITY SPECIAL VENTURES FUND INC

 R 81,367 FMV
(12) DUKE UNIVERSITY PHILANTHROPIES INC

 C 970,664 FMV
(13) DUKE UNIVERSITY HEALTH SYSTEM INC

 R 69,045,327 FMV
(14) DUKE SCHOLARLY EXHIBITS INC

 B 77,000 FMV
(15) DUKE GIFT PROPERTIES INC

 C 2,282,842 FMV
(16) DUKE GIFT PROPERTIES INC

 B 200,000 FMV
(17) DUKE ALUMNI ASSOCIATION INC

 B 70,000 FMV
(18) DUKE GLOBAL INC

 C 4,700,712 FMV
(19) DUKE GLOBAL INC

 B 3,789,262 FMV
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 4
Part VI
Unrelated Organizations Taxable as a Partnership Complete if the organization answered "Yes" on Form 990, Part IV, line 37.
Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization. See instructions regarding exclusion for certain investment partnerships.
(a)
Name, address, and EIN of entity 		(b)
Primary activity 		(c)
Legal domicile
(state or foreign
country) 		(d)
Predominant income (related, unrelated, excluded from tax under sections 512-514)

(e)
Are all partners
section
501(c)(3)
organizations? 		(f)
Share of total income




 		(g)
Share of
end-of-year
assets 		(h)
Disproprtionate allocations? 		(i)
Code V?UBI
amount in box 20
of Schedule K-1
(Form 1065) 		(j)
General or
managing
partner? 		(k)
Percentage
ownership
Yes No Yes No Yes No






























Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 5
Part VII
Supplemental Information
Provide additional information for responses to questions on Schedule R (see instructions).
Return Reference Explanation
Schedule R (Form 990) 2013
Additional Data


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