Form990
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
WILLIAM MARSH RICE UNIVERSITY
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
6100 Main Street - MS70
 
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
Houston, TX77005
D Employer identification number

74-1109620
E Telephone number

G Gross receipts $ 1,524,562,955
F Name and address of principal officer:
 
6100 Main Street - MS70
Houston,TX77005
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
 
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: 1908
M State of legal domicile: TX
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: RESEARCH AND EDUCATION.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 24
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 21
5 Total number of individuals employed in calendar year 2013 (Part V, line 2a) ...... 5 7,955
6 Total number of volunteers (estimate if necessary) ............. 6 1,000
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a -4,437,702
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b -4,845,075
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 231,265,085 193,000,326
9 Program service revenue (Part VIII, line 2g) ......... 301,357,722 319,469,712
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 380,130,125 405,712,105
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 37,435,839 25,909,207
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 950,188,771 944,091,350
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 110,089,234 120,063,776
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) 332,376,098 359,506,974
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 0 0
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet10,521,135    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 239,121,814 215,514,103
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 681,587,146 695,084,853
19 Revenue less expenses. Subtract line 18 from line 12....... 268,601,625 249,006,497
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 6,691,304,246 7,333,606,892
21 Total liabilities (Part X, line 26)............. 1,021,105,157 1,039,837,777
22 Net assets or fund balances. Subtract line 21 from line 20..... 5,670,199,089 6,293,769,115
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: AS A LEADING RESEARCH UNIVERSITY WITH A DISTINCTIVE COMMITMENT TO UNDERGRADUATE EDUCATION, RICE UNIVERSITY ASPIRES TO PATH BREAKING RESEARCH, UNSURPASSED TEACHING, AND CONTRIBUTIONS TO THE BETTERMENT OF OUR WORLD. IT SEEKS TO FULFILL THIS MISSION BY CULTIVATING A DIVERSE COMMUNITY OF LEARNING AND DISCOVERY THAT PRODUCES LEADERS ACROSS THE SPECTRUM OF HUMAN ENDEAVOR. THE UNIVERSITY ENROLLS APPROXIMATELY 3,900 UNDERGRADUATE AND 2,600 GRADUATE STUDENTS. APPROXIMATELY 70% OF UNDERGRADUATE STUDENTS RECEIVE FINANCIAL AID, AS DO ALMOST ALL DOCTORAL STUDENTS.
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? ......................
If "Yes," describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program services? ............................
If "Yes," describe these changes on Schedule O.
4
Describe the organization’s program service accomplishments for each of its three largest program services, as measured by expenses. Section 501(c)(3) and 501(c)(4) organizations 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 $ 490,912,820 including grants of $ 120,063,776 ) (Revenue $ 309,188,805 )
DEPARTMENTAL RESEARCH AND INSTRUCTION, AND OTHER INSTITUTIONAL ACTIVITIES. RICE UNIVERSITY (UNIVERSITY) IS ACCREDITED BY THE SOUTHERN ASSOCIATION OF COLLEGES AND SCHOOLS COMMISSION ON COLLEGES (SACS-COC), ACCREDITATION BOARD FOR ENGINEERING AND TECHNOLOGY (ABET), INTERNATIONAL ASSOCIATION FOR MANAGEMENT EDUCATION (AACSB INTERNATIONAL), NATIONAL ARCHITECTURAL ACCREDITING BOARD (NAAB), AND THE TEXAS EDUCATION AGENCY (TEA). RICE SERVES APPROXIMATELY 3,900 UNDERGRADUATE AND 2,600 GRADUATE STUDENTS, AS WELL AS 13,000 LIFE-LONG LEARNERS. THE SIX-YEAR UNDERGRADUATE GRADUATION RATE IS 92 PERCENT. RICE OFFERS MORE THAN 50 UNDERGRADUATE MAJORS ACROSS SIX DIVISIONS OF STUDY: SOCIAL SCIENCES, NATURAL SCIENCES, ENGINEERING, HUMANITIES, MUSIC AND ARCHITECTURE. IN CONJUNCTION WITH VARIOUS MAJORS, STUDENTS CAN TAKE COURSES THAT SATISFY THE REQUIREMENTS FOR ADMISSION TO MEDICAL, DENTAL, LAW OR GRADUATE SCHOOL, OR THAT LEAD TO TEACHER CERTIFICATION. RICE UNIVERSITY HAS AN UNDERGRADUATE STUDENT-TO-FACULTY RATIO OF 6 TO 1. IN GENERAL, CLASSES ARE SMALL ENOUGH FOR EACH PROFESSOR TO KNOW EVERY STUDENT'S NAME, SO THERE IS AMPLE OPPORTUNITY FOR PERSONAL ATTENTION. RICE WAS RANKED AMONG THE TOP 20 NATIONALLY BY THE US NEWS AND WORLD REPORT IN 2013, AND THE PRINCETON REVIEW RANKED RICE FIRST IN "BEST QUALITY OF LIFE" AND SECOND IN "HAPPIEST STUDENTS" IN THE 2013 EDITION. IN 2013, FOR THE FIFTH YEAR IN A ROW, KIPLINGER'S PERSONAL FINANCE MAGAZINE RANKED RICE IN THE TOP FIVE FOR BEST VALUE IN PRIVATE COLLEGES. RICE OFFERS ADVANCED DEGREES IN THE HUMANITIES, LIBERAL STUDIES, SOCIAL SCIENCES, NATURAL SCIENCES, ENGINEERING, ARCHITECTURE, MUSIC, AND BUSINESS. GRADUATE PROGRAMS ARE SMALL TO MEDIUM-SIZED, OFFERING THE OPPORTUNITY TO WORK VERY CLOSELY WITH GRADUATE ADVISORS. EIGHT AREAS OF GRADUATE STUDY AT RICE UNIVERSITY ARE RANKED AMONG THE TOP 20 NATIONALLY IN U.S. NEWS & WORLD REPORT'S 2013 EDITION OF "BEST GRADUATE SCHOOLS." PROXIMITY TO BOTH THE HOUSTON MUSEUM DISTRICT AND THE RENOWNED TEXAS MEDICAL CENTER ALLOWS FOR EXCEPTIONAL ACCESS TO THE VISUAL ARTS AS WELL AS CUTTING-EDGE BIOMEDICAL RESEARCH. THE MANY INTERDISCIPLINARY CENTERS AND INSTITUTES ENHANCE THE EXPERIENCE OF GRADUATE STUDENTS ACROSS ALL DISCIPLINES. THE SUSANNE M. GLASSCOCK SCHOOL OF CONTINUING STUDIES PROVIDES LIFELONG PERSONAL AND PROFESSIONAL DEVELOPMENT OPPORTUNITIES TO THE LARGER COMMUNITY. THE SCHOOL ATTRACTS MORE THAN 13,000 ENROLLMENTS EACH YEAR TO ITS NON-CREDIT AND CREDIT PROGRAMS AND IS THE LEADING UNIVERSITY CONTINUING EDUCATION PROGRAM IN HOUSTON. RICE IS LOCATED IN HOUSTON, TEXAS, THE NATION'S FOURTH-LARGEST CITY, THE ENERGY CAPITAL OF THE WORLD AND A DYNAMIC INTERNATIONAL BUSINESS AND CULTURAL CENTER, ON A 300-ACRE, TREE-LINED CAMPUS JUST A FEW MILES FROM DOWNTOWN. UNDERGRADUATE STUDENTS ARE GIVEN FREE METRO PASSES FOR PUBLIC TRANSPORTATION; INCLUDING THE LIGHT RAIL SYSTEM WHICH HAS TWO STATIONS LOCATED A BLOCK FROM CAMPUS. THE UNIVERSITY OPERATES A FREE SHUTTLE BUS ROUTE THAT INCLUDES THE CAMPUS, OFF-CAMPUS STUDENT HOUSING, AND LOCAL SHOPPING CENTERS AND ATTRACTIONS. HOUSTON BOASTS 18 MUSEUMS, OPERA, BALLET, SYMPHONY AND THEATER, AND FOUR PROFESSIONAL MAJOR LEAGUE SPORTS TEAMS. RICE'S RESIDENTIAL COLLEGE SYSTEM LIES AT THE CORE OF EVERY UNDERGRADUATE'S EXPERIENCE. EVERY UNDERGRADUATE STUDENT, WHETHER LIVING ON CAMPUS OR NOT, IS A MEMBER OF ONE OF 11 SELF-GOVERNED COEDUCATIONAL RESIDENTIAL COLLEGES. EACH COLLEGE HAS A RESIDENT COLLEGE MASTER OR MASTERS. OTHER MEMBERS OF THE FACULTY ARE INVITED TO BECOME RESIDENT AND NONRESIDENT ASSOCIATES OF EACH COLLEGE. FACULTY ASSOCIATES ACT AS ADVISORS TO THE STUDENTS AND PARTICIPATE IN THE CAMARADERIE AND ACTIVITIES OF THEIR RESPECTIVE COLLEGE. COLLEGES ALSO HAVE NON-FACULTY UNIVERSITY ASSOCIATES AND COMMUNITY ASSOCIATES FROM THE HOUSTON AREA, DRAWN FROM VARIOUS PROFESSIONS. EACH COLLEGE BUILDING INCLUDES A COMMONS AREA THAT SERVES AS A DINING HALL AS WELL AS PUBLIC ROOMS, WHICH ARE AVAILABLE TO BOTH RESIDENT AND NONRESIDENT MEMBERS, AND LIVING QUARTERS FOR APPROXIMATELY 230 STUDENTS FROM ALL CLASSES AND ALL ACADEMIC DISCIPLINES. WHEELCHAIR-ACCESSIBLE ROOMS ARE AVAILABLE IN ALL COLLEGES. RICE FIELDS 16 MEN'S AND WOMEN'S VARSITY TEAMS AT THE NCAA DIVISION 1A LEVEL. THE BASEBALL TEAM HAS CAPTURED 17 CONSECUTIVE CONFERENCE CHAMPIONSHIPS AND EARNED SIX TRIPS TO THE COLLEGE WORLD SERIES, WINNING THE NCAA TITLE IN 2003. RICE'S FOOTBALL TEAM HAS QUALIFIED FOR THREE BOWL GAMES SINCE 2006 AND WAS CHAMPION OF THE 2008 TEXAS BOWL AND 2013 C-USA WEST. RICE PLACED A RECORD 227 STUDENT-ATHLETES ON THE C-USA COMMISSIONER'S HONOR ROLL WHICH IS RESERVED FOR ATHLETES WHO MAINTAIN A CUMULATIVE GPA OF 3.0 OR BETTER. SEVEN OF THE RICE SPORTS TEAMS RANK IN THE TOP 10 PERCENT OF INTERCOLLEGIATE ATHLETICS TEAMS IN TERMS OF PROGRESSION TOWARDS A DEGREE. STUDENT MEDIA INCLUDES THE WEEKLY NEWSPAPER, THE RICE THRESHER, THE INTERNET/HD RADIO STATION KTRU, CAMPUS TELEVISION STATION RTV5, AND SEVERAL MAGAZINES. OPENED IN THE FALL OF 2009, THE BARBARA AND DAVID GIBBS RECREATION AND WELLNESS CENTER IS A $41 MILLION COMPLEX WITH TWO INDOOR BASKETBALL COURTS, FOUR RACQUETBALL COURTS, TWO SQUASH COURTS, CARDIO AND WEIGHT AREAS, A DANCE STUDIO, TWO OUTDOOR-LIGHTED BASKETBALL COURTS AND HEATED OUTDOOR RECREATION AND COMPETITION POOLS. THROUGH THE RICE OUTDOOR PROGRAMS AND EDUCATION (ROPE) PROGRAM, STUDENTS MAY TAKE PART IN SPONSORED OUTDOOR TREKS THAT INCLUDE EVERYTHING FROM CAMPING TO KAYAKING. STUDENTS CAN RENT EQUIPMENT, SIGN UP FOR TRIPS OR VOLUNTEER TO LEAD ROPE EXPEDITIONS.
4b (Code:   ) (Expenses $ 112,111,815 including grants of $ 0 ) (Revenue $ 10,044,421 )
BASIC SCIENTIFIC RESEARCH AND TRAINING CONDUCTED BY FACULTY AND STAFF AND OTHER SPONSORED EDUCATIONAL PROGRAMS. FROM ITS INCEPTION, RICE HAS BEEN DEDICATED, IN THE WORDS OF ITS FIRST PRESIDENT EDGAR ODELL LOVETT, "AS MUCH TO INVESTIGATION AS TO INSTRUCTION" AND TO PROVIDING A SETTING IN WHICH FACULTY WOULD JOIN THE "PLEASURES OF TEACHING" WITH "THE PRIVILEGES OF RESEARCH." THE UNIVERSITY HAS REALIZED MUCH OF THIS AMBITION WITH DISTINCTION IN OUR UNDERGRADUATE EDUCATION AND RESEARCH EXCELLENCE ACROSS MANY DISCIPLINES. RICE IS HOME TO MORE THAN 40 INTERDISCIPLINARY RESEARCH CENTERS, INSTITUTES AND CONSORTIA, AND RESEARCH IS A FUNDAMENTAL PART OF THE UNDERGRADUATE EXPERIENCE. THE UNIVERSITY HAS PRODUCED 101 FULBRIGHT SCHOLARS, 20 MARSHALL SCHOLARS, 65 WATSON FELLOWS, 25 MELLON FELLOWSHIPS, 336 NATIONAL SCIENCE FOUNDATION FELLOWSHIPS, AND 12 RHODES SCHOLARS AMONG OTHER HONORS AND AWARDS. THE UNIVERSITY HAS A VERY HIGH LEVEL OF RESEARCH ACTIVITY FOR ITS SIZE, WITH $117.8 MILLION IN SPONSORED RESEARCH FUNDING IN 2013. RICE IS NOTED FOR ITS APPLIED SCIENCE PROGRAMS IN THE FIELDS OF ARTIFICIAL HEART RESEARCH, STRUCTURAL CHEMICAL ANALYSIS, SIGNAL PROCESSING, SPACE SCIENCE AND NONTECHNOLOGY. IT WAS RANKED FIRST IN THE WORLD IN CITATIONS IN MATERIALS SCIENCE RESEARCH BY THE TIMES HIGHER EDUCATION IN 2010. RICE HAS 643 FULL-TIME AND 136 PART-TIME FACULTY MEMBERS. NINTY-SEVEN PERCENT OF FULL-TIME FACULTY HOLD PH.D.S OR EQUIVALENT TERMINAL DEGREES IN THEIR FIELD. BECAUSE OF THEIR PIONEERING RESEARCH, RICE FACULTY HAVE BEEN HONORED WITH NUMEROUS PRESTIGIOUS AWARDS AND ACCOLADES OVER THE YEARS. IN 1996, RICE PROFESSORS RICHARD SMALLEY (NOW DECEASED) AND ROBERT CURL RECEIVED THE NOBEL PRIZE FOR THEIR DISCOVERY OF A UNIQUE MOLECULAR FORM OF CARBON THAT HERALDED THE NEW ERA OF NANOTECHNOLOGY RESEARCH. IN 2011, RICHARD TAPIA, A RICE MATHEMATICIAN AND LONGTIME CHAMPION OF DIVERSITY IN U.S. EDUCATION, RECEIVED THE NATIONAL MEDAL OF SCIENCE FROM PRESIDENT BARACK OBAMA FOR HIS WORK IN OPTIMIZATION THEORY AND NUMERICAL ANALYSIS, AS WELL AS FOR HIS MENTORING OF WOMEN AND UNDER-REPRESENTED MINORITIES IN THE FIELDS OF MATHEMATICS AND SCIENCE. AS OF MAY 2013, RICE HAD 14 FACULTY MEMBERS IN THE NATIONAL ACADEMY OF ENGINEERING, SEVEN IN THE NATIONAL ACADEMY OF SCIENCE, FOUR IN THE INSTITUTE OF MEDICINE, FIVE IN THE NATIONAL HUMANITIES CENTER, AND TWO ALUMNI HAVE WON THE PULITZER PRIZE. RICE'S COMMITMENT TO SCIENTIFIC RESEARCH CAN BE SEEN IN THE CONSTRUCTION OF THE BIOSCIENCE RESEARCH COLLABORATIVE, A 477,000-SQUARE-FOOT FACILITY WHERE SCIENTISTS AND EDUCATORS FROM RICE AND OTHER TEXAS MEDICAL CENTER INSTITUTIONS WORK TOGETHER ON RESEARCH THAT BENEFITS HUMAN MEDICINE AND HEALTH, AND THE BROCKMAN HALL FOR PHYSICS, A STATE-OF-THE-ART 110,000 SQUARE-FOOT FACILITY THAT INCLUDES VIBRATION AND NOISE CONTROLLED UNDERGROUND LABORATORIES. RICE ALSO HAS AN ACTIVE RESEARCH AGENDA IN THE SOCIAL SCIENCES AND HUMANITIES. THE BAKER INSTITUTE FOR PUBLIC POLICY IS ONE OF THE LEADING NONPARTISAN PUBLIC POLICY THINK TANKS IN THE COUNTRY AND CONDUCTS RESEARCH ON DOMESTIC AND FOREIGN POLICY ISSUES. THE HUMANITIES RESEARCH CENTER FOSTERS INTERNATIONAL AND INTERDISCIPLINARY CONNECTIONS WITH WORKSHOPS AND LARGE CONFERENCES. FOCUS AREAS INCLUDE QUESTIONS OF ENERGY AND ENERGY TRANSITIONS, THE CIVIC HUMANISTS PROGRAM, AND THE OUR AMERICAS ARCHIVE PARTNERSHIP.
4c (Code:   ) (Expenses $ 29,946,697 including grants of $ 0 ) (Revenue $ 236,486 )
OPERATIONS OF A LIBRARY THAT SERVES STUDENTS, FACULTY, STAFF, ALUMNI, AND FRIENDS OF WILLIAM MARSH RICE UNIVERSITY AND IS OPEN TO THE PUBLIC BY CHARTER. THE FONDREN LIBRARY SUBSCRIBES TO APPROXIMATELY 72,000 CURRENT JOURNALS (PRINT AND ELECTRONIC) AND HOUSES OVER 2,570,000 PRINT VOLUMES AND 3,276,000 UNITS OF MICROFORMS. THE COLLECTIONS INCLUDE AUDIOVISUALS, MUSIC RECORDINGS, SCORES AND OTHER SPECIAL FORMATS. AN INCREASING AMOUNT OF LIBRARY RESOURCES ARE PROVIDED ONLINE. THE LIBRARY IS A SELECTIVE DEPOSITORY FOR U.S. AND TEXAS GOVERNMENT PUBLICATIONS AND A DEPOSITORY FOR DOCUMENTATION OF U.S. PATENTS AND TRADEMARKS. THE BROWN FINE ARTS LIBRARY CONTAINS OVER 200,000 VOLUMES RELATED TO ART, ARCHITECTURE, CLASSICAL ARCHAEOLOGY AND MUSIC. ALL LIBRARY PATRONS ARE WELCOME TO USE FINE ARTS MATERIALS AND FACILITIES, INCLUDING LISTENING EQUIPMENT, VHS, DVD AND LASERDISC PLAYERS.
4d Other program services (Describe in Schedule O.)
(Expenses $   including grants of $   ) (Revenue $   )
4e Total program service expensesMediumBullet632,971,332
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 I..........
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 III............................
5
 
 
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 I........................
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 II...
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 IV..............
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 VII.......
11b
 
No
c
Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIII.......
11c
 
No
d
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part IX............
11d
 
No
e
Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part XClick to see attachment
11e
Yes
 
f
Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization’s liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part XClick to see attachment.........................
11f
Yes
 
12a
Did the organization obtain separate, independent audited financial statements for the tax year?
If "Yes," complete Schedule D, Parts XI and XII .................
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 IV
15
 
No
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...
16
 
No
17
Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If "Yes," complete Schedule G, Part I (see instructions)....
17
 
No
18
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If "Yes," complete Schedule G, Part II............ 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...................
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...
21
 
No
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
 
No
c
Did the organization maintain an escrow account other than a refunding escrow at any time during the year
to defease any tax-exempt bonds?......................
24c
 
No
d
Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?...
24d
 
No
25a
Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I........
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...................
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
Yes
 
27
Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons? If "Yes," complete Schedule L, Part III.........
27
 
No
28
Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions):
a
A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV .......................... Click to see attachment
28a
Yes
 
b
A family member of a current or former officer, director, trustee, or key employee? If "Yes,"
complete Schedule L, Part IV..................... Click to see attachment
28b
Yes
 
c
An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV... Click to see attachment
28c
Yes
 
29
Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M..Click to see attachment
29
Yes
 
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M............. Click to see attachment
30
Yes
 
31
Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N,
Part I...........................
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule N, Part II......................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If "Yes," complete Schedule R, Part I........ Click to see attachment
33
Yes
 
34
Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part II, III, or IV, and Part V, line 1........................ Click to see attachment
34
Yes
 
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
Yes
 
b
If ‘Yes’ to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2... Click to see attachment
35b
Yes
 
36
Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If "Yes," complete Schedule R, Part V, line 2............. Click to see attachment
36
Yes
 
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VI
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
11,448
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
7,955
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file (see instructions)
2b
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?...
3a
Yes
 
b
If “Yes,” has it filed a Form 990-T for this year? If “No” to line 3b, provide an explanation in Schedule O...
3b
Yes
 
4a
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)?..........................
4a
Yes
 
b
If "Yes," enter the name of the foreign country: MediumBulletFR
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
24
If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
b
Enter the number of voting members included in line 1a, above, who are independent ...................
1b
21
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
Yes
 
3
Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? .
3
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? ...........................
4
 
No
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Did the organization have members or stockholders? ................
6
 
No
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? ....................
7a
 
No
b
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ...................
7b
 
No
8
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a
The governing body? .........................
8a
Yes
 
b
Each committee with authority to act on behalf of the governing body? ............
8b
Yes
 
9
Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization’s mailing address? If "Yes," provide the names and addresses in Schedule O.......
9
 
No
Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)
Yes
No
10a
Did the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes?
10b
 
 
11a
Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? ............................
11a
Yes
 
b
Describe in Schedule O the process, if any, used by the organization to review this Form 990. .....
12a
Did the organization have a written conflict of interest policy? If "No," go to line 13.......
12a
Yes
 
b
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ..........................
12b
Yes
 
c
Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe in Schedule O how this was done.......................
12c
Yes
 
13
Did the organization have a written whistleblower policy? ...............
13
Yes
 
14
Did the organization have a written document retention and destruction policy? .........
14
Yes
 
15
Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision?
a
The organization’s CEO, Executive Director, or top management official ...........
15a
Yes
 
b
Other officers or key employees of the organization ................
15b
Yes
 
If "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions).
16a
Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? ......................
16a
Yes
 
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
Yes
 
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be filedMediumBullet
CO , KS , MA , NM , ND , OK , VT
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:
MediumBulletBradley Fralic6100 Main Street MS-70HoustonTX77005 (713) 348-4927
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) DAVID W LEEBRON........................................................................
PRESIDENT
 40.00
.......................   		X   X       968,996 0 330,931
(2) ALBERT Y CHAO........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(3) BEN HOLLINGSWORTH........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(4) CHARLES SZALKOWSKI........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(5) DOUGLAS LEE FOSHEE........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(6) DOYLE L ARNOLD........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(7) EDWARD B ADAMS JR........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(8) GUILLERMO TREVINO........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(9) JAMES S TURLEY........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(10) JD BUCKY ALLSHOUSE........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(11) JEFFREY A SMISEK........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(12) JOHN V JAGGERS........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(13) JUDGE LEE H ROSENTHAL........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(14) KEITH T ANDERSON........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(15) LARRY KELLNER........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(16) LAURA ARNOLD........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(17) LAWRENCE H GUFFEY........................................................................
TRUSTEE
 2.00
.......................   		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) LYNN LAVERTY ELSENHANS........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(19) MARK DANKBERG........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(20) R RALPH PARKS........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(21) RANDA DUNCAN WILLIAMS........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(22) ROBERT B TUDOR III........................................................................
CHAIR, BOARD OF TRUSTEES
 15.00
.......................   		X           0 0 0
(23) ROBERT M TAYLOR JR........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(24) T JAY COLLINS........................................................................
TRUSTEE
 2.00
.......................   		X           0 0 0
(25) ALLISON THACKER........................................................................
CHIEF INVESTMENT OFFICER
 40.00
.......................   		    X       514,648 0 47,041
(26) CHRISTOPHER MUNOZ........................................................................
VP FOR ENROLLMENT
 40.00
.......................   		    X       316,990 0 55,546
(27) CLAIRE NELSON........................................................................
ASSOCIATE TREASURER
 40.00
.......................   		    X       253,315 0 61,805
(28) DARROW ZEIDENSTEIN........................................................................
VP FOR RESOURCE DEVELOPMENT
 40.00
.......................   		    X       434,715 0 64,808
(29) GEORGE L MCLENDON........................................................................
PROVOST
 40.00
.......................   		    X       542,797 0 73,624
(30) JOSEPH DAVIDSON........................................................................
ASSISTANT SECRETARY
 40.00
.......................   		    X       227,550 0 54,288
(31) KATHERINE COLLINS........................................................................
VP FOR FINANCE
 40.00
.......................   		    X       359,721 0 68,562
(32) KEVIN KIRBY........................................................................
VP FOR ADMINISTRATION
 40.00
.......................   		    X       508,785 0 93,404
(33) LARRY PEREZ........................................................................
ASSOCIATE TREASURER
 40.00
.......................   		    X       169,655 0 48,982
(34) LINDA THRANE........................................................................
VP FOR PUBLIC AFFAIRS
 40.00
.......................   		    X       342,244 0 44,613
(35) RENEE BLOCK........................................................................
ASSISTANT SECRETARY
 40.00
.......................   		    X       103,158 0 22,246
(36) RICHARD ZANSITIS........................................................................
GENERAL COUNSEL
 40.00
.......................   		    X       377,465 0 63,120
(37) RONALD LONG........................................................................
ASSOCIATE TREASURER
 40.00
.......................   		    X       369,710 0 53,851
(38) VETA BYRD-PEREZ........................................................................
ASSISTANT SECRETARY
 40.00
.......................   		    X       140,667 0 29,056
(39) DANIEL CARSON........................................................................
DEAN OF NATURAL SCIENCES
 40.00
.......................   		      X     354,806 0 61,293
(40) EDWIN THOMAS........................................................................
DEAN OF ENGINEERING
 40.00
.......................   		      X     413,809 0 49,026
(41) WILLIAM GLICK........................................................................
DEAN OF GRADUATE SCHOOL OF BUSINESS
 40.00
.......................   		      X     483,166 0 54,920
(42) BENJAMIN BRAUN........................................................................
HEAD BASKETBALL COACH
 40.00
.......................   		        X   609,150 0 34,911
(43) BRENT SMITH........................................................................
ASSOCIATE PROFESSOR
 40.00
.......................   		        X   789,121 0 40,351
(44) DAVID BAILIFF........................................................................
HEAD FOOTBALL COACH
 40.00
.......................   		        X   743,548 0 61,540
(45) RICHARD GREENSPAN........................................................................
DIRECTOR OF ATHLETICS RECREATION AND FITNESS
 40.00
.......................   		        X   575,550 0 81,412
(46) VIKAS MITTAL........................................................................
PROFESSOR
 40.00
.......................   		        X   765,788 0 50,532
(47) CARLOS GARCIA........................................................................
FORMER OFFICER
 40.00
.......................   		          X 237,306 0 31,494
(48) EUGENE LEVY........................................................................
FORMER OFFICER
 40.00
.......................   		          X 396,118 0 48,594
(49) EVELYN STEWART........................................................................
ASSOCIATE TREASURER
 40.00
.......................   		          X 311,770 0 19,549
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 11,310,548 0 1,645,499
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet663
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
TELLEPSEN BUILDERS LP777 BENMAR SUITE 400HOUSTONTX77060 CONSTRUCTION 14,534,240
AUSTIN COMMERCIAL LP3000 WILCREST DRIVE 240HOUSTONTX77042 CONSTRUCTION 4,364,793
WORDS AND NUMBERS INC2050 ROCKROSE AVEBALTIMOREMD21211 INSTRUCTIONAL DESIGN 1,963,688
SOFTWAY SOLUTIONS INC7324 SOUTHWEST FREEWAY SUITE 1600HOUSTONTX77074 WEB DEVELOPMENT 1,357,977
B BELL BUILDERS LP104 INDUSTRIAL BOULEVARD 100SUGAR LANDTX77478 CONSTRUCTION 1,105,451
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet78
Form 990 (2013)
Form 990 (2013)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII .............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512-514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a 0
b Membership dues....1b 0
c Fundraising events....1c 2,372,817
d Related organizations...1d 0
e Government grants (contributions)1e 104,087,942
f All other contributions, gifts, grants, and
similar amounts not included above1f 		86,539,567
g Noncash contributions included in lines
1a-1f:$ 		20,850,786
h Total. Add lines 1a-1f.......MediumBullet 193,000,326
Program Service RevenueAmt Business Code
2a TUITION AND FEES 900099 239,681,075 239,681,075    
b AUXILIARY OPERATIONS 900099 46,932,252 46,932,252    
c DEPARTMENT SALES 541900 22,514,207 22,319,603 194,604  
d RESEARCH CONTRACTS 900099 10,044,421 10,044,421    
e STUDENT LOAN INTEREST 900099 297,757 297,757    
f All other program service revenue . 0 0 0 0
g Total. Add lines 2a–2f........MediumBullet 319,469,712
OtherAmt RevenueAmt 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 74,498,457   -4,632,306 79,130,763
4 Income from investment of tax-exempt bond proceeds..MediumBullet 0      
5 Royalties...........MediumBullet 217,783 217,783    
(i) Real (ii) Personal
6a Gross rents    
b Less: rental expenses    
c Rental income or (loss) 0 0
d Net rental income or (loss).......MediumBullet 0      
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 907,360,898 3,362,737
b Less: cost or other basis and sales expenses 575,862,408 3,647,579
c Gain or (loss) 331,498,490 -284,842
d Net gain or (loss)..........MediumBullet 331,213,648     331,213,648
8a Gross income from fundraising events (not including
$ 2,372,817
of contributions reported on line 1c). See Part IV, line 18 ..
a 268,949
b Less: direct expenses ...b 961,618
c Net income or (loss) from fundraising events..MediumBullet -692,669   -692,669
9a Gross income from gaming activities.
See Part IV, line 19 ...
a  
b Less: direct expenses ...b  
c Net income or (loss) from gaming activities...MediumBullet 0      
10a Gross sales of inventory, less
returns and allowances .
a  
b Less: cost of goods sold ..b  
c Net income or (loss) from sales of inventory..MediumBullet 0      
Miscellaneous Revenue Business Code
11a OIL AND GAS 211110 26,384,093     26,384,093
b     0      
c     0      
d All other revenue .... 0 0 0 0
e Total. Add lines 11a–11d ...... MediumBullet 26,384,093
12 Total revenue. See Instructions......MediumBullet 944,091,350 319,492,891 -4,437,702 436,035,835
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 0  
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 120,063,776 120,063,776
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 0  
4 Benefits paid to or for members 0  
5 Compensation of current officers, directors, trustees, and key employees .... 7,409,989 2,111,568 4,379,208 919,213
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 0      
7 Other salaries and wages 276,556,859 247,209,470 23,695,249 5,652,140
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 21,167,490 18,945,819 1,725,557 496,114
9 Other employee benefits ....... 38,425,372 34,392,369 3,132,406 900,597
10 Payroll taxes ........... 15,947,264 14,273,491 1,300,008 373,765
11 Fees for services (non-employees):        
a Management ...... 0      
b Legal ......... 358,446   358,446  
c Accounting ........... 521,599   521,599  
d Lobbying ........... 423,746   423,746  
e Professional fundraising services. See Part IV, line 17 0  
f Investment management fees ...... 5,570,634   5,570,634  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 18,875,827 16,952,866 1,386,688 536,273
12 Advertising and promotion .... 2,564,259 2,206,164 291,344 66,751
13 Office expenses ....... 6,806,581 6,300,705   505,876
14 Information technology ...... 12,697,736 10,378,726 2,090,171 228,839
15 Royalties .. 701,224 700,207 1,017  
16 Occupancy ........... 37,257,623 33,985,070 3,233,714 38,839
17 Travel ............ 14,396,763 13,353,448 795,887 247,428
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0      
19 Conferences, conventions, and meetings .... 10,292,158 9,271,948 464,910 555,300
20 Interest ........... 24,368,055 24,368,055    
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization ..... 60,999,855 58,794,793 2,205,062  
23 Insurance .............. 3,226,977 3,210,237 16,740  
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 RESEARCH SUBCONTRACTS 16,452,620 16,452,620    
b
c
d
e All other expenses 0 0 0 0
25 Total functional expenses. Add lines 1 through 24e 695,084,853 632,971,332 51,592,386 10,521,135
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). 0      
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 ......... 7,065,839 2 12,547,219
3 Pledges and grants receivable, net ........... 195,354,392 3 181,563,205
4 Accounts receivable, net ............. 21,648,144 4 25,681,786
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..................
100,000 5 100,000
6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary organizations (see instructions) Complete Part II of Schedule L
0 6 0
7 Notes and loans receivable, net ............. 191,730,731 7 189,381,820
8 Inventories for sale or use .............. 1,286,979 8 1,261,880
9 Prepaid expenses and deferred charges .......... 4,352,908 9 6,332,386
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 1,633,273,817
b Less: accumulated depreciation ..... 10b 673,122,548 1,007,565,737 10c 960,151,269
11 Investments—publicly traded securities .......... 4,941,518,242 11 5,950,159,780
12 Investments—other securities. See Part IV, line 11 ..... 118,344 12 2,741,521
13 Investments—program-related. See Part IV, line 11 ..... 0 13 0
14 Intangible assets ...............   14  
15 Other assets. See Part IV, line 11 ........... 320,562,930 15 3,686,026
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 6,691,304,246 16 7,333,606,892
Liabilities 17 Accounts payable and accrued expenses ......... 55,190,910 17 54,773,836
18 Grants payable .................   18  
19 Deferred revenue ................ 32,057,280 19 37,580,290
20 Tax-exempt bond liabilities ............. 821,334,342 20 815,777,330
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.......... 0 22 0
23 Secured mortgages and notes payable to unrelated third parties ..   23  
24 Unsecured notes and loans payable to unrelated third parties ....   24  
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.................... 112,522,625 25 131,706,321
26 Total liabilities. Add lines 17 through 25......... 1,021,105,157 26 1,039,837,777
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 .............. 2,684,950,636 27 2,959,076,696
28 Temporarily restricted net assets ........... 1,929,439,072 28 2,261,951,006
29 Permanently restricted net assets ........... 1,055,809,381 29 1,072,741,413
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 ........... 5,670,199,089 33 6,293,769,115
34 Total liabilities and net assets/fund balances ........ 6,691,304,246 34 7,333,606,892
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
944,091,350
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
695,084,853
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
249,006,497
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
5,670,199,089
5
Net unrealized gains (losses) on investments ...............
5
448,844,347
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
-74,280,818
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
6,293,769,115
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: 13000248
Software Version: 2013v3.1
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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
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.") .... 168,896,350 204,916,519 212,038,399 231,265,085 193,000,326 1,010,116,679
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf....... 0 0 0 0 0 0
3 The value of services or facilities furnished by a governmental unit to the organization without charge.. 0 0 0 0 0 0
4 Total. Add lines 1 through 3 168,896,350 204,916,519 212,038,399 231,265,085 193,000,326 1,010,116,679
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).. 0
6 Public support. Subtract line 5 from line 4. 1,010,116,679
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.. 168,896,350 204,916,519 212,038,399 231,265,085 193,000,326 1,010,116,679
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources... 132,753,677 225,263,306 280,937,126 380,138,499 354,312,501 1,373,405,109
9 Net income from unrelated business activities, whether or not the business is regularly carried on.. -7,489,624 -5,971,457 -4,989,461 -9,598,804 -4,632,306 -32,681,652
10 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)..           0
11 Total support (Add lines 7 through 10). 2,350,840,136
12
12
1,358,881,427
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
42.960 %
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: 13000248
Software Version: 2013v3.1
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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
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
WILLIAM MARSH RICE UNIVERSITY
  		Employer identification number

74-1109620
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
WILLIAM MARSH RICE UNIVERSITY
  		Employer identification number

74-1109620
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
WILLIAM MARSH RICE UNIVERSITY
  		Employer identification number

74-1109620
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: 13000248
Software Version: 2013v3.1
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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
Part I-A
Complete if the organization is exempt under section 501(c) or is a section 527 organization.

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

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

$  
3
Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL, line 17b..SchCMd Bullet

$  
4
Did the filing organization file Form 1120-POL for this year? ..........................
5
Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing
organization made payments. For each organization listed, enter the amount paid from the filing organization’s funds. Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.
(a) Name (b) Address (c) EIN (d) Amount paid from filing organization's funds. If none, enter -0-. (e) Amount of political contributions received and promptly and directly delivered to a separate political organization. If none, enter -0-.










For Paperwork Reduction Act Notice, see the instructions for Form 990 or 990-EZ.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 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
 
413,746
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? ..........................
Yes
 
10,000
j
Total. Add lines 1c through 1i ...............................
423,746
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
Schedule C, Part II-B, Line 1, Description of the activities reported on Lines 1a through 1i OTHER ACTIVITIES INCLUDE DUES PAID TO PROFESSIONAL ORGANIZATIONS WHICH EMPLOY LOBBYISTS. AN INSUBSTANTIAL PORTION OF THE UNIVERSITY'S TOTAL ACTIVITIES ARE INVOLVED IN LEGISLATIVE AND REGULATORY MATTERS OF DIRECT CONCERN TO HIGHER EDUCATION OR OF A COMPELLING IMPORTANCE TO RICE IN PARTICULAR. INSTITUTIONAL EFFORTS TO INFLUENCE LEGISLATION ARE DIRECTED BY THE OFFICE OF PUBLIC AFFAIRS. THE UNIVERSITY DOES NOT NOW HAVE A LOBBYING OFFICE IN WASHINGTON OR AUSTIN OR EMPLOY ANYONE IN THOSE CITIES TO ENGAGE IN LOBBYING. DURING THIS PERIOD, THE UNIVERSITY EMPLOYED A FULL-TIME PERSON WHOSE PRIMARY ASSIGNMENT INCLUDED FEDERAL AND STATE LOBBYING ACTIVITY AND AN OUTSIDE REGISTERED LOBBYING FIRM IN WASHINGTON. ACTIVITIES INCLUDED CONTACTS BY LETTERS, PHONE CALLS, AND MEETINGS WITH LEGISLATORS, MEMBERS OF THEIR STAFFS, OR OTHER GOVERNMENT OFFICIALS AND MEETINGS WITH LOCAL CITIZENS REGARDING ISSUES. THE TOTAL AMOUNT SPENT BY RICE IN LOBBYING REPRESENTS AN INSIGNIFICANT PART OF THE UNIVERSITY'S TOTAL EXPENDITURES, EVEN TAKING INTO CONSIDERATION THE MOST GENEROUS ALLOWANCES FOR ANY ACTIVITIES THAT MAY BE DEFINED AS LOBBYING BY RICE EMPLOYEES OUTSIDE THE OFFICE OF PUBLIC AFFAIRS WORKING ON BEHALF OF THE UNIVERSITY. RICE ALSO PAYS MEMBERSHIP DUES TO ASSOCIATIONS OF EDUCATIONAL INSTITUTIONS AND THOSE ORGANIZATIONS MAY IN TURN LOBBY ON BEHALF OF THE INTERESTS OF THEIR MEMBERS.
Schedule C (Form 990 or 990EZ) 2013

Additional Data


Software ID: 13000248
Software Version: 2013v3.1

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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
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 $ 477,508
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $ 10,635,973
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 .... 4,885,299,000 4,438,069,000 4,488,951,000 3,825,723,000 3,655,267,000
b Contributions ........ 46,464,000 68,322,000 27,061,000 46,130,000 31,610,000
c Net investment earnings, gains, and losses 853,580,000 605,840,000 142,208,000 837,479,000 359,723,000
d Grants or scholarships ..... 23,489,518 22,063,452 21,028,249 20,032,196 22,052,502
e Other expenditures for facilities
and programs ........ 		202,566,598 200,912,727 195,695,293 196,489,964 196,560,818
f Administrative expenses .... 5,569,884 3,955,821 3,427,458 3,858,840 2,263,680
g End of year balance ...... 5,553,717,000 4,885,299,000 4,438,069,000 4,488,951,000 3,825,723,000
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet43.900 %
b
Permanent endowment SchDMd Bullet19.100 %
c
Temporarily restricted endowment SchDMd Bullet37.000 %
The percentages in lines 2a, 2b, and 2c should equal 100%.
3a
Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes
No
(i) unrelated organizations ........................
3a(i)
 
No
(ii) related organizations ........................
3a(ii)
 
No
b
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
 
 
4
Describe in Part 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 .................   4,644,323 4,644,323
b Buildings ................   1,218,779,084 401,767,732 817,011,352
c Leasehold improvements ............       0
d Equipment ................   388,351,119 271,354,816 116,996,303
e Other .................   21,499,291   21,499,291
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 960,151,269
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    
Other








Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet  
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








Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........Small Bullet  
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 0
GOVERNMENT AND OTHER AMOUNTS REFUNDABLE 7,354,083
ACTUARIAL LIABILITY FOR ANNUITIES PAYABLE 124,352,238







Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 131,706,321
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, Collections of art - description of collections THE UNIVERSITY ACCEPTS, FROM TIME TO TIME, DONATIONS OF ART, HISTORICAL TREASURES OR SIMILAR ASSETS. SUCH ITEMS ARE AVAILABLE FOR PUBLIC EXHIBITION AND SCHOLARLY RESEARCH. THE UNIVERSITY IS A STEWARD OF THESE ASSETS, PRESERVING THEM FOR FUTURE GENERATIONS. THE ASSET AMOUNT REPORTED FOR ART HELD FOR PUBLIC EXHIBITION INCLUDES THE CONSTRUCTION AND INSTALLATION COSTS FOR OUTDOOR SCULPTURE.
Schedule D, Part V, Line 4, Intended uses of endowment funds THE UNIVERSITY'S ENDOWMENT EARNINGS DISTRIBUTION POLICY GUIDES THE RATE AT WHICH FUNDS ARE RELEASED FROM THE ENDOWMENT FOR CURRENT SPENDING. THE POLICY REFLECTS THE DESIRE TO BALANCE THE CURRENT RESOURCE NEEDS OF THE UNIVERSITY WITH THE LONG-TERM OBJECTIVE OF PRESERVING THE PURCHASING POWER OF THE ENDOWMENT FOR FUTURE GENERATIONS AND ENSURING REASONABLE YEAR-OVER-YEAR STABILITY OF FUTURE ENDOWMENT PAYOUTS. UNDER THE POLICY, ENDOWMENT SPENDING IS BETWEEN FOUR PERCENT AND SIX AND ONE-HALF PERCENT OF THE TRAILING THREE YEAR AVERAGE ENDOWMENT MARKET VALUE, WITH A TARGETED RANGE OF FOUR AND ONE-HALF PERCENT TO FIVE AND ONE-HALF PERCENT IN THE INTERMEDIATE RANGE. ENDOWMENT CONTRIBUTIONS AMOUNT INCLUDES $17,793,000 OF TRANSFERS FROM OTHER INSTITUTIONAL FUNDS AND OTHER ADDITIONS FOR WHICH THERE IS NO SPECIFIC LINE ON THE SCHEDULE.
Schedule D, Part X, Line 2, FIN 48 (ASC 740) footnote THE UNIVERSITY AND ITS SUBSIDIARY CORPORATIONS DID NOT HAVE ANY MATERIAL INCOME TAX LIABILITIES FOR THE YEARS ENDED JUNE 30, 2014 AND 2013. THE UNIVERSITY HAS NO FINANCIAL REPORTING REQUIREMENTS FOR UNCERTAIN TAX POSITIONS FOR THE YEARS ENDED JUNE 30, 2014 AND 2013.
Schedule D (Form 990) 2013

Additional Data


Software ID: 13000248
Software Version: 2013v3.1




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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
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
 
No
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, Racially nondiscriminatory policy THE UNIVERSITY INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARD STUDENTS IN BROCHURES, CATALOGUES, AND OTHER WRITTEN COMMUNICATIONS WITH THE PUBLIC DEALING WITH STUDENT ADMISSIONS, PROGRAMS AND SCHOLARSHIPS.
Schedule E, Part I, Line 4d, Records and copies maintained by the organization RICE MAKES EVERY EFFORT WITHIN THE CONTEXT OF A LARGE UNIVERSITY TO RETAIN COPIES OF ALL CATALOGUES, BROCHURES, ANNOUNCEMENTS, AND OTHER WRITTEN COMMUNICATIONS TO THE PUBLIC DEALING WITH STUDENT ADMISSION, PROGRAMS AND SCHOLARSHIPS.
Schedule E, Part I, Line 6a, Financial aid or assistance from a governmental agency THE UNIVERSITY RECEIVES RESEARCH AND INSTRUCTIONAL GRANTS AND CONTRACTS, FELLOWSHIPS AND STUDENT AID AWARDS, AND OCCASIONAL CONSTRUCTION GRANTS AND CONTRACTS FROM VARIOUS STATE AND FEDERAL AGENCIES.
Schedule E (Form 990 or 990-EZ) 2013
Additional Data


Software ID: 13000248
Software Version: 2013v3.1
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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
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
CENTRAL AMERICA AND THE CARIBBEAN 0 0 FUNDRAISING, PROGRAM SERVICES PROGRAMS WITH LOCAL UNIVERSITIES, RESEARCH FIELD WORK, CONFERENCE TRAVEL 634,827
SOUTH ASIA 0   FUNDRAISING, PROGRAM SERVICES PROGRAMS WITH LOCAL UNIVERSITIES, RESEARCH FIELD WORK, CONFERENCE TRAVEL 703,330
RUSSIA AND NEIGHBORING STATES 0   PROGRAM SERVICES RESEARCH FIELD WORK 34,234
NORTH AMERICA (CANADA & MEXICO ONLY) 0   FUNDRAISING, PROGRAM SERVICES PROGRAMS WITH LOCAL UNIVERSITIES, RESEARCH FIELD WORK, CONFERENCE TRAVEL 576,950
MIDDLE EAST AND NORTH AFRICA 0   PROGRAM SERVICES PROGRAMS WITH LOCAL UNIVERSITIES, RESEARCH FIELD WORK, CONFERENCE TRAVEL 431,859
EAST ASIA AND THE PACIFIC 0   FUNDRAISING, PROGRAM SERVICES PROGRAMS WITH LOCAL UNIVERSITIES, RESEARCH FIELD WORK, CONFERENCE TRAVEL 1,597,192
EUROPE (INCLUDING ICELAND AND GREENLAND) 1   FUNDRAISING, PROGRAM SERVICES EDUCATIONAL PROGRAM FOR ARCHITECTURE STUDENTS, PROGRAMS WITH LOCAL UNIVERSITIES, RESEARCH FIELD WORK, CONFERENCE TRAVEL 4,288,956
SUB-SAHARAN AFRICA 0   PROGRAM SERVICES RESEARCH FIELD WORK 357,800
SOUTH AMERICA 0   PROGRAM SERVICES PROGRAMS WITH LOCAL UNIVERSITIES, RESEARCH FIELD WORK 770,138
CENTRAL AMERICA AND THE CARIBBEAN     INVESTMENTS   1,184,506,996
EUROPE (INCLUDING ICELAND AND GREENLAND)     INVESTMENTS   70,013,745
NORTH AMERICA (CANADA & MEXICO ONLY)     INVESTMENTS   4,916,567
           
           
           
           
           
3a Sub-total .....      
b Total from continuation sheets to Part I ...      
c Totals (add lines 3a and 3b) 1 0 1,268,832,594
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)
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
2 Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter ....MediumBullet
 
3
Enter total number of other organizations or entities .......................MediumBullet
 
Schedule F (Form 990) 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)
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
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, DOES NOT AWARD GRANTS THE UNIVERSITY DOES NOT AWARD GRANTS OR ASSISTANCE OUTSIDE THE UNITED STATES. THE UNIVERSITY PARTICIPATES IN A NUMBER OF ALTERNATIVE INVESTMENT ARRANGEMENTS, INCLUDING PARTNERSHIPS BASED IN FOREIGN COUNTRIES. THE UNIVERSITY DOES NOT HAVE ACCESS TO ANY BANK ACCOUNTS THAT MAY BE MAINTAINED BY THE PARTNERSHIP NOR DIRECT CONTROL OVER ANY PARTNERSHIP ASSETS. THE UNIVERSITY IS IN COMPLIANCE WITH REPORTING REQUIREMENTS AND FILES IRS FORMS 926, 5471, AND 8865 AS REQUIRED AS WELL AS TDF FORM 90.22-1 (FINCEN 114). THE UNIVERSITY HAS A BANK ACCOUNT IN FRANCE ASSOCIATED WITH AN EDUCATIONAL PROGRAM IN THE SCHOOL OF ARCHITECTURE. ALL OTHER ACCOUNTS LISTED ARE ALTERNATIVE INVESTMENTS AS DESCRIBED ABOVE.
Schedule F, Part I, Line 3, Method to account for expenditures on org.'s financial statements CENTRAL AMERICA AND THE CARIBBEAN: ACCRUAL EAST ASIA AND THE PACIFIC: ACCRUAL EUROPE (INCLUDING ICELAND AND GREENLAND): ACCRUAL MIDDLE EAST AND NORTH AFRICA: ACCRUAL NORTH AMERICA (CANADA & MEXICO ONLY): ACCRUAL RUSSIA AND NEIGHBORING STATES: ACCRUAL SOUTH AMERICA: ACCRUAL SOUTH ASIA: ACCRUAL SUB-SAHARAN AFRICA: ACCRUAL
Schedule F, Part I, Line 3, Method to account for expenditures on org.'s financial statements CENTRAL AMERICA AND THE CARIBBEAN: ACCRUAL EAST ASIA AND THE PACIFIC: ACCRUAL EUROPE (INCLUDING ICELAND AND GREENLAND): ACCRUAL MIDDLE EAST AND NORTH AFRICA: ACCRUAL NORTH AMERICA (CANADA & MEXICO ONLY): ACCRUAL RUSSIA AND NEIGHBORING STATES: ACCRUAL SOUTH AMERICA: ACCRUAL SOUTH ASIA: ACCRUAL SUB-SAHARAN AFRICA: ACCRUAL
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule F (Form 990) 2013
Additional Data


Software ID: 13000248
Software Version: 2013v3.1



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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
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
             
             
             
             
             
             
             
             
             
             
Total .................right arrow      
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.
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

GALA
(event type) 		(b) Event #2

GOLF TOURN
(event type) 		(c) Other events

10
(total number) 		(d) Total events
(add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 2,135,692 213,916 292,158 2,641,766
2 Less: Contributions . . 2,023,024 166,910 182,883 2,372,817
3 Gross income (line 1
minus line 2) . . . 		112,668 47,006 109,275 268,949
VerticalDirectExpenses 4 Cash prizes . . .       0
5 Noncash prizes . .       0
6 Rent/facility costs . .       0
7 Food and beverages . 732,930 32,982 107,773 873,685
8 Entertainment . . .       0
9 Other direct expenses . 55,532 9,504 22,897 87,933
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 961,618
11 Net income summary. Subtract line 10 from line 3, column (d)........... right arrow -692,669
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
, LINE 1 AND 3 THE FUNDRAISING EVENT REVENUE INCLUDES TICKET SALES FOR PAID ADMISSIONS. THE EVENT EXPENSE INCLUDES COSTS FOR PAID ATTENDEES AND GUESTS INVITED BY RICE. RICE INVITED A NUMBER OF GUESTS AT ITS EXPENSE FOR DONOR DEVELOPMENT PURPOSES. RICE UNIVERSITY EMPLOYEES CONDUCT ALL FUNDRAISING ACTIVITIES. THE UNIVERSITY DOES NOT CONTRACT WITH PROFESSIONAL FUNDRAISING SERVICES.
Schedule G (Form 990 or 990-EZ) 2013
Additional Data


Software ID: 13000248
Software Version: 2013v3.1
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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number
74-1109620
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






















2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image
 
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
 
For 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) SCHOLARSHIPS APPLIED TO STUDENT ACCOUNTS 3738 101,163,706   FMV  
(2) SCHOLARSHIPS PAID OUT TO INDIVIDUALS 1408 18,900,070      










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, Procedures for monitoring use of grant funds AWARDS TO UNDERGRADUATES ARE BASED PRIMARILY ON FINANCIAL NEED DETERMINED BY DOCUMENTED FINANCIAL AID ELIGIBILITY. INSTITUTIONAL NEED AND MERIT AWARDS, GOVERNMENT GRANTS AND OUTSIDE SCHOLARSHIPS PROVIDED AID TO 3,738 STUDENTS DURING THE YEAR. GRADUATE STUDENTS ARE ADMITTED BASED ON MERIT AS DETERMINED BY THE DEPARTMENT TO WHICH THEY ARE ADMITTED FOR STUDY AND THEY RECEIVE AID FROM THAT DEPARTMENT OR FROM EXTERNAL AGENCIES. LOANS ARE AWARDED TO ELIGIBLE STUDENTS BASED ON NEED. OVER $18 MILLION WAS PAID DIRECTLY TO STUDENTS (FORM 990, PART III, LINE 4A) WITH THE REMAINDER APPLIED INTERNALLY TO TUITION, FEES, AND ROOM AND BOARD.
Schedule I (Form 990) 2013


Additional Data


Software ID: 13000248
Software Version: 2013v3.1


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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
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
Yes
 
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........
4b
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? .........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ...........................
5a
 
No
b
Any related organization? .........................
5b
 
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization? ...........................
6a
 
No
b
Any related organization? .........................
6b
 
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
Yes
 
8
Were any amounts reported in Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III .............................
8
 
No
9
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
 
 
For 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)DAVID W LEEBRONPRESIDENT (i)
(ii)		 802,175
0 		84,150
0 		82,671
0 		232,565
0 		98,366
0 		1,299,927
0 		0
0
(2)GEORGE L MCLENDONPROVOST (i)
(ii)		 477,297
0 		25,000
0 		40,500
0 		62,565
0 		11,059
0 		616,421
0 		0
0
(3)ALLISON THACKERCHIEF INVESTMENT OFFICER (i)
(ii)		 479,648
0 		0
0 		35,000
0 		24,915
0 		22,126
0 		561,689
0 		0
0
(4)RONALD LONGASSOCIATE TREASURER (i)
(ii)		 279,210
0 		50,000
0 		40,500
0 		32,565
0 		21,286
0 		423,561
0 		0
0
(5)KATHERINE COLLINSVP FOR FINANCE (i)
(ii)		 326,721
0 		10,000
0 		23,000
0 		57,565
0 		10,997
0 		428,283
0 		0
0
(6)DARROW ZEIDENSTEINVP FOR RESOURCE DEVELOPMENT (i)
(ii)		 369,215
0 		25,000
0 		40,500
0 		32,565
0 		32,243
0 		499,523
0 		0
0
(7)KEVIN KIRBYVP FOR ADMINISTRATION (i)
(ii)		 370,680
0 		0
0 		138,105
0 		62,565
0 		30,839
0 		602,189
0 		60,000
0
(8)CHRISTOPHER MUNOZVP FOR ENROLLMENT (i)
(ii)		 273,490
0 		3,000
0 		40,500
0 		32,565
0 		22,981
0 		372,536
0 		0
0
(9)LINDA THRANEVP FOR PUBLIC AFFAIRS (i)
(ii)		 291,744
0 		10,000
0 		40,500
0 		32,565
0 		12,048
0 		386,857
0 		0
0
(10)RICHARD ZANSITISGENERAL COUNSEL (i)
(ii)		 340,465
0 		0
0 		37,000
0 		32,565
0 		30,555
0 		440,585
0 		0
0
(11)LARRY PEREZASSOCIATE TREASURER (i)
(ii)		 146,655
0 		0
0 		23,000
0 		17,751
0 		31,231
0 		218,637
0 		0
0
(12)CLAIRE NELSONASSOCIATE TREASURER (i)
(ii)		 241,715
0 		0
0 		11,600
0 		32,565
0 		29,240
0 		315,120
0 		0
0
(13)EVELYN STEWARTASSOCIATE TREASURER (i)
(ii)		 288,770
0 		0
0 		23,000
0 		11,769
0 		7,780
0 		331,319
0 		0
0
(14)JOSEPH DAVIDSONASSISTANT SECRETARY (i)
(ii)		 221,050
0 		6,500
0 		0
0 		30,006
0 		24,282
0 		281,838
0 		0
0
(15)VETA BYRD-PEREZASSISTANT SECRETARY (i)
(ii)		 131,736
0 		3,000
0 		5,931
0 		12,056
0 		17,000
0 		169,723
0 		0
0
(16)DANIEL CARSONDEAN OF NATURAL SCIENCES (i)
(ii)		 314,306
0 		0
0 		40,500
0 		32,565
0 		28,728
0 		416,099
0 		0
0
(17)WILLIAM GLICKDEAN OF GRADUATE SCHOOL OF BUSINESS (i)
(ii)		 442,666
0 		0
0 		40,500
0 		32,565
0 		22,355
0 		538,086
0 		0
0
(18)EDWIN THOMASDEAN OF ENGINEERING (i)
(ii)		 373,309
0 		0
0 		40,500
0 		32,565
0 		16,461
0 		462,835
0 		0
0
(19)VIKAS MITTALPROFESSOR (i)
(ii)		 730,788
0 		0
0 		35,000
0 		24,915
0 		25,617
0 		816,320
0 		0
0
(20)BRENT SMITHASSOCIATE PROFESSOR (i)
(ii)		 771,621
0 		0
0 		17,500
0 		24,915
0 		15,436
0 		829,472
0 		0
0
(21)DAVID BAILIFFHEAD FOOTBALL COACH (i)
(ii)		 559,880
0 		134,168
0 		49,500
0 		32,565
0 		28,975
0 		805,088
0 		0
0
(22)BENJAMIN BRAUNHEAD BASKETBALL COACH (i)
(ii)		 495,860
0 		58,493
0 		54,797
0 		32,565
0 		2,346
0 		644,061
0 		0
0
(23)RICHARD GREENSPANDIRECTOR OF ATHLETICS RECREATION AND FITNESS (i)
(ii)		 343,852
0 		0
0 		231,698
0 		70,449
0 		10,963
0 		656,962
0 		100,000
0
(24)EUGENE LEVYFORMER OFFICER (i)
(ii)		 295,282
0 		0
0 		100,836
0 		32,565
0 		16,029
0 		444,712
0 		64,836
0
(25)CARLOS GARCIAFORMER OFFICER (i)
(ii)		 237,306
0 		0
0 		0
0 		30,006
0 		1,488
0 		268,800
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
Schedule J, Part I, Line 1a, First-class or charter travel THE UNIVERSITY'S WRITTEN TRAVEL POLICY PERMITS PAYMENT ONLY OF NECESSARY AND REASONABLE EXPENSES FOR TRAVEL ON UNIVERSITY BUSINESS. THE UNIVERSITY'S POLICIES CONSTITUTE AN ACCOUNTABLE PLAN AND ARE DESIGNED TO COMPLY WITH APPLICABLE INTERNAL REVENUE SERVICE RULES. COACH CLASS AIRFARE IS REQUIRED EXCEPT IN CERTAIN LIMITED CIRCUMSTANCES; THESE INCLUDE MEDICAL NECESSITY, CONTRACTUAL OBLIGATIONS, AND SCHEDULED FLIGHT SEGMENTS OVER SIX HOURS IN LENGTH, WHEN BUSINESS CLASS FARES MAY BE USED WITH PRIOR APPROVAL. IN RARE CASES, WHEN AN EXCEPTION APPLIES AND NO BUSINESS CLASS FARE IS AVAILABLE, A FIRST CLASS FARE MAY BE USED, AGAIN WITH PRIOR APPROVAL AND DOCUMENTATION. CHARTER TRAVEL IS SOMETIMES EMPLOYED FOR ATHLETICS TEAMS, INCLUDING COACHES, WHEN SUCH TRAVEL IS THE LEAST COSTLY METHOD OF TRANSPORTATION.
Schedule J, Part I, Line 1a, Travel for companions UNDER THE UNIVERSITY'S TRAVEL POLICY, THE UNIVERSITY DOES NOT PAY THE TRAVEL COST OF COMPANIONS, UNLESS THERE IS A VALID UNIVERSITY BUSINESS PURPOSE FOR THE COMPANION'S TRAVEL. WRITTEN APPROVAL MUST BE OBTAINED IN ADVANCE FROM THE APPROPRIATE DEAN OR VICE PRESIDENT DOCUMENTING THE REASON FOR INCURRING THE EXPENSE. WHEN THE UNIVERSITY USES CHARTERED AIR OR GROUND TRANSPORTATION, TRAVEL FOR COMPANIONS MAY OCCASIONALLY BE PROVIDED IF THE UNIVERSITY INCURS NO ADDITIONAL COST.
Schedule J, Part I, Line 1a, Housing allowance or residence for personal use THE PRESIDENT OF THE UNIVERSITY IS REQUIRED TO OCCUPY UNIVERSITY-OWNED HOUSING AS A CONDITION OF EMPLOYMENT. HOUSEKEEPING STAFF AND GROUNDSKEEPERS ARE PROVIDED FOR SUCH PROPERTY. THE COST OF SUCH SERVICES NOT RELATED TO PUBLIC AREAS OF THE HOUSE IS INCLUDED IN COMPENSATION REPORTED. THE FAIR MARKET VALUE OF THE HOUSING PROVIDED, BASED ON THE APPRAISED VALUE OF THE HOUSE, IS REPORTED IN THE PRESIDENT'S COMPENSATION AS A NON-TAXABLE BENEFIT.
Schedule J, Part I, Line 1a, Health or social club dues or initiation fees SOCIAL CLUB DUES WERE PAID FOR THE PRESIDENT, HEAD BASEBALL COACH, AND HEAD BASKETBALL COACH OF THE UNIVERSITY AND INCLUDED IN COMPENSATION REPORTED.
Schedule J, Part I, Line 1a, Personal services SEE THE RESPONSE TO SCHEDULE J, PART I, LINE 1A FOR HOUSING
Schedule J, Part I, Line 3, Arrangement used to establish the top management official's compensation THE CORD (COMPENSATION AND ORGANIZATIONAL DEVELOPMENT) COMMITTEE OF THE BOARD OF TRUSTEES OF RICE UNIVERSITY HAS A WRITTEN PROCEDURE IN PLACE TO ASSURE THE BOARD OF TRUSTEES THAT COMPENSATION ARRANGEMENTS FOR THE PRESIDENT AND OTHER ORGANIZATION OFFICERS AND MANAGERS ARE REASONABLE. THE PROCEDURE IS DESIGNED TO COMPLY WITH THE REQUIREMENTS OF SECTION 4958 OF THE INTERNAL REVENUE CODE AND INTERNAL REVENUE SERVICE REGULATIONS. THE CORD COMMITTEE MAINTAINS A ROSTER OF DISQUALIFIED PERSONS, AS DEFINED BY THE IRS, FOR WHOSE COMPENSATION THE PROCEDURE IS USED. THE ROSTER IS REVISED PERIODICALLY BUT AT LEAST ANNUALLY. THE PROCEDURE WAS DISCUSSED WITH THE FULL BOARD IN MARCH 2011. THE PROCEDURE REQUIRES THREE ELEMENTS AS FOLLOWS: 1) THE TERMS OF TRANSACTIONS ARE APPROVED BY THE ORGANIZATION'S GOVERNING BODY, OR A COMMITTEE THEREOF, WHOSE MEMBERS HAVE NO CONFLICT OF INTEREST WITH RESPECT TO THE ARRANGEMENT. THE BOARD OF TRUSTEES DELEGATED AUTHORITY TO THE CORD COMMITTEE TO ACT ON BEHALF OF THE BOARD IN THESE MATTERS AT ITS MEETING ON MARCH 25, 1999. COMPENSATION ARRANGEMENTS ARE REVIEWED AND APPROVED BY THE CORD COMMITTEE BEFORE THE EFFECTIVE DATE. MEMBERS OF THE CORD COMMITTEE RECUSE THEMSELVES FROM ANY VOTE IN WHICH THERE IS A POTENTIAL OR ACTUAL CONFLICT OF INTEREST. 2) THE GOVERNING BODY OR COMMITTEE OBTAINS AND RELIES UPON APPROPRIATE, COMPARABLE DATA BEFORE MAKING ITS DETERMINATION. RICE PARTICIPATES IN THE ANNUAL SURVEY BY TOWERS WATSON OF SELECT UNIVERSITIES' EXECUTIVE COMPENSATION, AND ADDITIONAL APPROPRIATE PEER SURVEYS. THESE REPORTS REFLECT EXECUTIVE COMPENSATION IN UNIVERSITIES OF A STATURE SIMILAR TO THAT OF RICE, AND WITH WHICH RICE COMPETES FOR FACULTY AND STAFF. THE CORD COMMITTEE MAY ALSO SEEK AND RELY ON OTHER RELEVANT INFORMATION, INCLUDING COMPENSATION PAID BY OTHER TAXABLE AND TAX-EXEMPT ORGANIZATIONS FOR FUNCTIONALLY COMPARABLE POSITIONS, GEOGRAPHIC MARKET FORCES, AND ACTUAL WRITTEN OFFERS FROM SIMILAR INSTITUTIONS COMPETING FOR SERVICES. THE CORD COMMITTEE RELIES ON THIS DATA AND DOCUMENTS ANY DETERMINATIONS THAT REASONABLE COMPENSATION IS AN AMOUNT MORE THAN THE RANGE OF COMPARABLE DATA. 3) THE GOVERNING BODY OR COMMITTEE ADEQUATELY DOCUMENTS THE BASIS FOR MAKING DETERMINATIONS CONCURRENTLY WITH MAKING DECISIONS. MINUTES DOCUMENTING THE DELIBERATIONS OF THE CORD COMMITTEE ARE PREPARED CONTEMPORANEOUSLY FOR REVIEW AND APPROVAL AT ITS NEXT MEETING.
Schedule J, Part I, Line 4a, Severance or change-of-control payment EVELYN STEWART RETIRED FROM THE UNIVERSITY ON JUNE 30, 2013, AND RECEIVED $197,571 FOR PAST SERVICES TO THE UNIVERSITY.
Schedule J, Part I, Line 4b, Supplemental nonqualified retirement plan THE FOLLOWING OFFICER(S), DIRECTOR(S), TRUSTEE(S), KEY EMPLOYEE(S) AND/OR HIGHEST COMPENSATED EMPLOYEES PARTICIPATED IN OR RECEIVED PAYMENT FROM A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN IN CALENDAR YEAR 2012, SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICE TO THE UNIVERSITY. AWARDS ARE INCLUDED IN THE AMOUNTS SHOWN IN PART II, COLUMN C. AMOUNTS THAT ARE TAXABLE UPON VESTING OR DISTRIBUTION ARE INCLUDED IN PART II, COLUMN B (III). DAVID LEEBRON: $200,000 AWARD; $194,888 DISTRIBUTION OF A PRIOR AWARD EUGENE LEVY: $64,836 VESTING OF A PRIOR AWARD OF WHICH $17,411 WAS DISTRIBUTED GEORGE MCLENDON: $30,000 AWARD KEVIN KIRBY: $30,000 AWARD, $60,000 VESTING OF A PRIOR AWARD, $97,605 WAS DISTRIBUTED KATHERINE COLLINS: $25,000 AWARD RICHARD GREENSPAN: $50,000 AWARD, $100,000 VESTING OF A PRIOR AWARD, $161,448 WAS DISTRIBUTED
Schedule J, Part I, Line 7, Non-fixed payments CONTRACTS OF CERTAIN INDIVIDUALS INCLUDE PROVISIONS THAT ALLOW THEM TO RECEIVE ADDITIONAL COMPENSATION IF SPECIFIC CRITERIA ARE MET OR PERFORMANCE THRESHOLDS ARE ACHIEVED. PAYMENTS WERE MADE UNDER SUCH CONTRACTS IN CALENDAR YEAR 2013 TO DAVID LEEBRON, ALLISON THACKER, DAVID BAILIFF, BENJAMIN BRAUN. BONUSES WERE PAID TO DAVID LEEBRON, JOSEPH DAVIDSON, VETA BYRD-PEREZ, GEORGE MCLENDON, RONALD LONG, KATHERINE COLLINS, DARROW ZEIDENSTIN, CHRISTOPHER MUNOZ, LINDA THRANE, DAVID BAILIFF, BENJAMIN BRAUN.
Schedule J (Form 990) 2013

Additional Data


Software ID: 13000248
Software Version: 2013v3.1
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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number
74-1109620
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 CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSX5 06-18-2014 2,300,000 ROLLOVER CP   X   X   X
B CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSU1 04-02-2014 4,550,000 ROLLOVER CP   X   X   X
C CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 442378DA0 06-12-2007 314,632,113 CONSTRUCTION BOND   X   X   X
D CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSV9 05-01-2014 4,700,000 ROLLOVER CP   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 442378DZ5 06-02-2010 139,887,000 CONSTRUCTION BOND   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSW7 06-11-2014 9,535,000 ROLLOVER CP   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSS6 04-01-2014 4,610,000 ROLLOVER CP   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 442378EU5 06-26-2013 247,180,000 REFUNDING (6/4/08 & 3/29/06)   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 0 0 11,125,000 0
2 Amount of bonds legally defeased . . . . . . . . . . . 0 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 2,300,000 4,550,000 314,632,113 4,700,000
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 0 10,609,470 0
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 47,400,000 0
7 Issuance costs from proceeds . . . . . . . . . . . . 0 0 2,493,655 0
8 Credit enhancement from proceeds . . . . . . . . . . . 0 0 0 0
9 Working capital expenditures from proceeds . . . . . . . . . 0 0 0 0
10 Capital expenditures from proceeds . . . . . . . . . . . 0 0 254,128,988 0
11 Other spent proceeds . . . . . . . . . . . . . . 2,300,000 4,550,000 0 4,700,000
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2010 2010
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . . X   X   X   X  
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X   X   X   X
16 Has the final allocation of proceeds been made? . . . . . . . . X   X   X   X  
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X   X   X   X  
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . . . . . .   X   X   X   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  
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  
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 % 1.650 % 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 % 1.650 % 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 . . . . . . . . . JP MORGAN CHASE
  		 
  		 
  		 
 
c Term of hedge . . . . . . . . . . 0.0 0.0 0.0 0.0
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 . . . . . . . . . JP MORGAN CHASE
  		 
  		JP MORGAN CHASE
  		 
 
c Term of GIC . . . . . . . . . . 0.0 0.0 1.9 0.0
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
, BOND ISSUES SCHEDULE K, PART I, BOND ISSUES: (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION CHHEFC RICE UNIVERSITY SERIES 2007A AND 2007B HAVE THE FOLLOWING CUSIP NUMBERS: 442378CD5 442378CE3 442378CF0 442378CG8 442378CH6 442378CJ2 442378CK9 442378CL7 442378CM5 442378CN3 442378CP8 442378CQ6 442378CR4 442378CS2 442378CT0 442378CU7 442378CV5 442378CW3 442378CX1 442378CY9 442378CZ6 442378DA0 442378CB9 442378CC7 CCHEFC RICE UNIVERSITY SERIES 2013A HAS CUSIP NUMBER 442378ET8 AND SERIES 2013B HAS CUSIP NUMBER 442378EU5. CCHEFC RICE UNIVERSITY SERIES 2010A HAS CUSIP NUMBERS 442378DX0 AND 442378DY8. SERIES 2010B HAS CUSIP NUMBER 442378DZ5. THE UNIVERSITY HAS PRACTICES AND PROCEDURES TO MONITOR PRIVATE BUSINESS USE IN DEBT-FINANCED BUILDINGS TO ENSURE THAT IT DOES NOT EXCEED PERMITTED LIMITS. THE UNIVERSITY HAS A POLICY ALLOCATING EQUITY FIRST TO ANY FACILITY INCLUDING PRIVATE BUSINESS USE. COMMERCIAL PAPER ISSUES ARE CURRENT REFUNDING ISSUES. 6/26/13 REFUNDING ISSUE FOR 6/4/08 AND 3/29/06 ISSUES. 3/29/06 ISSUE REFUNDING ISSUE FOR 7/20/99 AND 2/3/06 ISSUES.
Schedule K (Form 990) 2013

Additional Data


Software ID: 13000248
Software Version: 2013v3.1

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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number
74-1109620
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 CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSX5 06-18-2014 2,300,000 ROLLOVER CP   X   X   X
B CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSU1 04-02-2014 4,550,000 ROLLOVER CP   X   X   X
C CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 442378DA0 06-12-2007 314,632,113 CONSTRUCTION BOND   X   X   X
D CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSV9 05-01-2014 4,700,000 ROLLOVER CP   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 442378DZ5 06-02-2010 139,887,000 CONSTRUCTION BOND   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSW7 06-11-2014 9,535,000 ROLLOVER CP   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSS6 04-01-2014 4,610,000 ROLLOVER CP   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 442378EU5 06-26-2013 247,180,000 REFUNDING (6/4/08 & 3/29/06)   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 0 0 11,125,000 0
2 Amount of bonds legally defeased . . . . . . . . . . . 0 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 2,300,000 4,550,000 314,632,113 4,700,000
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 0 10,609,470 0
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 47,400,000 0
7 Issuance costs from proceeds . . . . . . . . . . . . 0 0 2,493,655 0
8 Credit enhancement from proceeds . . . . . . . . . . . 0 0 0 0
9 Working capital expenditures from proceeds . . . . . . . . . 0 0 0 0
10 Capital expenditures from proceeds . . . . . . . . . . . 0 0 254,128,988 0
11 Other spent proceeds . . . . . . . . . . . . . . 2,300,000 4,550,000 0 4,700,000
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2010 2010
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . . X   X   X   X  
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X   X   X   X
16 Has the final allocation of proceeds been made? . . . . . . . . X   X   X   X  
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X   X   X   X  
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . . . . . .   X   X   X   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  
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  
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 % 1.650 % 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 % 1.650 % 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 . . . . . . . . . JP MORGAN CHASE
  		 
  		 
  		 
 
c Term of hedge . . . . . . . . . . 0.0 0.0 0.0 0.0
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 . . . . . . . . . JP MORGAN CHASE
  		 
  		JP MORGAN CHASE
  		 
 
c Term of GIC . . . . . . . . . . 0.0 0.0 1.9 0.0
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
, BOND ISSUES SCHEDULE K, PART I, BOND ISSUES: (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION CHHEFC RICE UNIVERSITY SERIES 2007A AND 2007B HAVE THE FOLLOWING CUSIP NUMBERS: 442378CD5 442378CE3 442378CF0 442378CG8 442378CH6 442378CJ2 442378CK9 442378CL7 442378CM5 442378CN3 442378CP8 442378CQ6 442378CR4 442378CS2 442378CT0 442378CU7 442378CV5 442378CW3 442378CX1 442378CY9 442378CZ6 442378DA0 442378CB9 442378CC7 CCHEFC RICE UNIVERSITY SERIES 2013A HAS CUSIP NUMBER 442378ET8 AND SERIES 2013B HAS CUSIP NUMBER 442378EU5. CCHEFC RICE UNIVERSITY SERIES 2010A HAS CUSIP NUMBERS 442378DX0 AND 442378DY8. SERIES 2010B HAS CUSIP NUMBER 442378DZ5. THE UNIVERSITY HAS PRACTICES AND PROCEDURES TO MONITOR PRIVATE BUSINESS USE IN DEBT-FINANCED BUILDINGS TO ENSURE THAT IT DOES NOT EXCEED PERMITTED LIMITS. THE UNIVERSITY HAS A POLICY ALLOCATING EQUITY FIRST TO ANY FACILITY INCLUDING PRIVATE BUSINESS USE. COMMERCIAL PAPER ISSUES ARE CURRENT REFUNDING ISSUES. 6/26/13 REFUNDING ISSUE FOR 6/4/08 AND 3/29/06 ISSUES. 3/29/06 ISSUE REFUNDING ISSUE FOR 7/20/99 AND 2/3/06 ISSUES.
Schedule K (Form 990) 2013

Additional Data


Software ID: 13000248
Software Version: 2013v3.1

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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number
74-1109620
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 CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSX5 06-18-2014 2,300,000 ROLLOVER CP   X   X   X
B CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSU1 04-02-2014 4,550,000 ROLLOVER CP   X   X   X
C CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 442378DA0 06-12-2007 314,632,113 CONSTRUCTION BOND   X   X   X
D CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSV9 05-01-2014 4,700,000 ROLLOVER CP   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 442378DZ5 06-02-2010 139,887,000 CONSTRUCTION BOND   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSW7 06-11-2014 9,535,000 ROLLOVER CP   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 44237LSS6 04-01-2014 4,610,000 ROLLOVER CP   X   X   X
CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION
  		76-0387014 442378EU5 06-26-2013 247,180,000 REFUNDING (6/4/08 & 3/29/06)   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 0 0 11,125,000 0
2 Amount of bonds legally defeased . . . . . . . . . . . 0 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 2,300,000 4,550,000 314,632,113 4,700,000
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 0 10,609,470 0
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 47,400,000 0
7 Issuance costs from proceeds . . . . . . . . . . . . 0 0 2,493,655 0
8 Credit enhancement from proceeds . . . . . . . . . . . 0 0 0 0
9 Working capital expenditures from proceeds . . . . . . . . . 0 0 0 0
10 Capital expenditures from proceeds . . . . . . . . . . . 0 0 254,128,988 0
11 Other spent proceeds . . . . . . . . . . . . . . 2,300,000 4,550,000 0 4,700,000
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2010 2010
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . . X   X   X   X  
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X   X   X   X
16 Has the final allocation of proceeds been made? . . . . . . . . X   X   X   X  
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X   X   X   X  
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . . . . . .   X   X   X   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  
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  
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 % 1.650 % 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 % 1.650 % 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 . . . . . . . . . JP MORGAN CHASE
  		 
  		 
  		 
 
c Term of hedge . . . . . . . . . . 0.0 0.0 0.0 0.0
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 . . . . . . . . . JP MORGAN CHASE
  		 
  		JP MORGAN CHASE
  		 
 
c Term of GIC . . . . . . . . . . 0.0 0.0 1.9 0.0
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
, BOND ISSUES SCHEDULE K, PART I, BOND ISSUES: (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION (A) ISSUER NAME: CITY OF HOUSTON HIGHER EDUCATION FINANCE CORPORATION CHHEFC RICE UNIVERSITY SERIES 2007A AND 2007B HAVE THE FOLLOWING CUSIP NUMBERS: 442378CD5 442378CE3 442378CF0 442378CG8 442378CH6 442378CJ2 442378CK9 442378CL7 442378CM5 442378CN3 442378CP8 442378CQ6 442378CR4 442378CS2 442378CT0 442378CU7 442378CV5 442378CW3 442378CX1 442378CY9 442378CZ6 442378DA0 442378CB9 442378CC7 CCHEFC RICE UNIVERSITY SERIES 2013A HAS CUSIP NUMBER 442378ET8 AND SERIES 2013B HAS CUSIP NUMBER 442378EU5. CCHEFC RICE UNIVERSITY SERIES 2010A HAS CUSIP NUMBERS 442378DX0 AND 442378DY8. SERIES 2010B HAS CUSIP NUMBER 442378DZ5. THE UNIVERSITY HAS PRACTICES AND PROCEDURES TO MONITOR PRIVATE BUSINESS USE IN DEBT-FINANCED BUILDINGS TO ENSURE THAT IT DOES NOT EXCEED PERMITTED LIMITS. THE UNIVERSITY HAS A POLICY ALLOCATING EQUITY FIRST TO ANY FACILITY INCLUDING PRIVATE BUSINESS USE. COMMERCIAL PAPER ISSUES ARE CURRENT REFUNDING ISSUES. 6/26/13 REFUNDING ISSUE FOR 6/4/08 AND 3/29/06 ISSUES. 3/29/06 ISSUE REFUNDING ISSUE FOR 7/20/99 AND 2/3/06 ISSUES.
Schedule K (Form 990) 2013

Additional Data


Software ID: 13000248
Software Version: 2013v3.1

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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
Part I
Excess Benefit Transactions (section 501(c)(3) and section 501(c)(4) organizations only).
Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b.
1(a) Name of disqualified person (b) Relationship between disqualified person and organization (c) Description of transaction (d) Corrected?
Yes No





2
Enter the amount of tax incurred by organization managers or disqualified persons during the year under section 4958. ........................... Bullet Image$
 
3
Enter the amount of tax, if any, on line 2, above, reimbursed by the organization ....... Bullet Image$
 

Part II
Loans to and/or From Interested Persons.
Complete if the organization answered "Yes" on Form 990-EZ, Part V, line 38a, or Form 990, Part IV, line 26; or if the organization reported an amount on Form 990, Part X, line 5, 6, or 22
(a) Name of interested person (b) Relationship with organization (c) Purpose of loan (d) Loan to or from the organization? (e)Original principal amount (f)Balance due (g) In default? (h) Approved by board or committee? (i)Written agreement?
To From Yes No Yes No Yes No
(1) GEORGE MCLENDON
  		OFFICER RELOCATION   X 100,000 100,000   No Yes   Yes  
Total ......Small Bullet $ 100,000
Part III
Grants or Assistance Benefitting Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 27.
(a) Name of interested person (b) Relationship between interested person and the organization (c) Amount of assistance (d) Type of assistance (e) Purpose of assistance
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 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) Y PING SUN
  		PRESIDENT'S SPOUSE 72,104 EMPLOYEE   No
(2) MARY FARACH-CARSON
  		KEY EMPL SPOUSE 214,598 EMPLOYEE   No
(3) SEVIN ROSEN FUNDS
  		TRUSTEE MANAGING PARTNER 130,545 INV FEE   No
(4) BLACK STONE NATURAL RESOURCES LLC
  		OFFICER ON BOARD 49,482 INV FEE   No
(5) DIANA L STRASSMAN
  		SPOUSE OF TRUSTEE 109,063 EMPLOYEE   No
Part V
Supplemental Information
Provide additional information for responses to questions on Schedule L (see instructions).
Return Reference Explanation
SCHEDULE L, PART II, LOANS TO AND FROM INTERESTED PERSONS: (A) NAME OF PERSON: GEORGE MCLENDON (C) PURPOSE OF LOAN: RELOCATION
SCHEDULE L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF PERSON: SEVIN ROSEN FUNDS (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: TRUSTEE MANAGING PARTNER (A) NAME OF PERSON: BLACK STONE NATURAL RESOURCES LLC (B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION OFFICER ON BOARD
Schedule L (Form 990 or 990-EZ) 2013

Additional Data


Software ID: 13000248
Software Version: 2013v3.1




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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
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 11 477,508 OPINIONS OF EXPERTS
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications .. X 1 NOMINAL VALUE
5 Clothing and household
goods ....... 		     
6 Cars and other vehicles ..        
7 Boats and planes ....        
8 Intellectual property ...        
9 Securities—Publicly traded . X 193 20,084,315 MARKET VALUE
10 Securities—Closely held stock .        
11 Securities—Partnership, LLC,
or trust interests .... 		       
12 Securities—Miscellaneous ..        
13 Qualified conservation
contribution—Historic
structures ..... 		       
14 Qualified conservation
contribution—Other ... 		       
15 Real estate—Residential .        
16 Real estate—Commercial ..        
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 ( USED EQUIPMENT ) X 2 2 NOMINAL VALUE
26 Other Right pointing arrow large image ( MINERAL RIGHTS ) X 1 288,960 OPINIONS OF EXPERTS
27 Other Right pointing arrow large image( )
28 Other Right pointing arrow large image ( )
29
Number of Forms 8283 received by the organization during the tax year for contributions
for which the organization completed Form 8283, Part IV, Donee Acknowledgement ...
29
0
Yes
No
30a
During the year, did the organization receive by contribution any property reported in Part I, lines 1 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
 
No
b
If "Yes," describe in Part II.
33
If the organization did not report an amount in column (c) for a type of property for which column (a) is checked,
describe in Part II.
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 51227J
Schedule M (Form 990) (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
Schedule M, Part I, Explanations of reporting method for number of contributions ART - WORKS OF ART: 11 WORKS OF ART RECEIVED FROM 6 DONORS SECURITIES - PUBLICLY TRADED: NUMBER OF CONTRIBUTIONS BOOKS AND PUBLICATIONS: 1 COLLECTION OF BOOKS PERIODICALS SCORES CDS RECORDS AND TEACHING MATERIALS FOR BRASS INSTRUMENTS OTHER: USED FOOSBALL TABLE AND USED THERMAL CONDUCTIVITY MEASUREMENT SYSTEM OTHER: ONE DONATION OF MINERAL RIGHTS FOR 11 RECORDED DEEDS
Schedule M, part I, column (b), Line 1, Number of contributions or items contributed. 11 WORKS OF ART RECEIVED FROM 6 DONORS
Schedule M, part I, column (b), Line 9, Number of contributions or items contributed. NUMBER OF CONTRIBUTIONS
Schedule M, part I, column (b), Line 4, Number of contributions or items contributed. 1 COLLECTION OF BOOKS PERIODICALS SCORES CDS RECORDS AND TEACHING MATERIALS FOR BRASS INSTRUMENTS
Schedule M, part I, column (b), Line other, Number of contributions or items contributed. OTHER=USED EQUIPMENT : USED FOOSBALL TABLE AND USED THERMAL CONDUCTIVITY MEASUREMENT SYSTEM
Schedule M (Form 990) (2013)
Additional Data


Software ID: 13000248
Software Version: 2013v3.1
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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
Return Reference Explanation
Form 990, Part VI, Sec A, Line 2, Family/business relationships amongst interested persons TRUSTEES MARK DANKBERG AND JEFFREY SMISEK - BUSINESS RELATIONSHIP
Form 990, Part VI, Sec B, Line 11b, Review of form 990 by governing body A DRAFT COPY OF FORM 990 IS DISCUSSED WITH THE AUDIT COMMITTEE AND THE COMPENSATION AND ORGANIZATIONAL DEVELOPMENT (CORD) COMMITTEE OF THE BOARD OF TRUSTEES AND THE FINAL FORM 990 IS PROVIDED TO ALL OF THE TRUSTEES BEFORE IT IS FILED. THE FORM 990 IS PREPARED BY THE CONTROLLER'S OFFICE IN CONSULTATION WITH OTHER UNIVERSITY OFFICES, REVIEWED WITHIN THE CONTROLLER'S OFFICE, REVIEWED BY PRICEWATERHOUSECOOPERS AS THE PAID PREPARER, REVIEWED BY THE VICE PRESIDENT FOR FINANCE AND THE PRESIDENT TOGETHER WITH SENIOR MANAGEMENT BEFORE IT IS PROVIDED TO THE TRUSTEES.
Form 990, Part VI, Sec B, Line 12c, Conflict of interest policy A CONFLICT OF INTEREST QUESTIONNAIRE IS COMPLETED ANNUALLY BY OFFICERS, DIRECTORS, TRUSTEES, KEY EMPLOYEES AND OTHER DISQUALIFIED PERSONS. MEMBERS OF THE UNIVERSITY'S BOARD OF TRUSTEES AND SENIOR MANAGEMENT MAY, FROM TIME TO TIME, BE ASSOCIATED, EITHER DIRECTLY OR THROUGH INTERLOCKING BOARD MEMBERSHIPS, WITH ENTITIES DOING BUSINESS WITH THE UNIVERSITY. THE UNIVERSITY EMPLOYS A CONFLICT OF INTEREST POLICY THAT REQUIRES ANY SUCH ASSOCIATIONS BE DISCLOSED IN WRITING ON AN ANNUAL BASIS. WHEN SUCH ASSOCIATIONS EXIST, MEASURES ARE TAKEN TO MITIGATE ANY ACTUAL OR PERCEIVED CONFLICT, INCLUDING RECUSAL OF THE BOARD MEMBER FROM ANY DECISIONS INVOLVING THE ENTITY DOING BUSINESS WITH THE UNIVERSITY. THE TRANSACTIONS WITH THE ENTITIES ASSOCIATED WITH TRUSTEES OR SENIOR MANAGEMENT ARE NOT CONSIDERED TO BE SIGNIFICANT AND MAY INCLUDE INVESTMENT MANAGEMENT, COMMON PARTICIPATION IN INVESTMENT VEHICLES, OR THE PURCHASES OF GOODS OR SERVICES. WHEN THE UNIVERSITY ENTERS INTO SUCH TRANSACTIONS, THE PRICES ARE SET AT FAIR MARKET VALUE AND THE TERMS ARE NO LESS BENEFICIAL THAN THOSE OFFERED TO OTHERS IN THE ORDINARY COURSE OF BUSINESS.
Form 990, Part VI, Sec B, Line 15a, Process to establish compensation of top management official COMPENSATION OF THE ORGANIZATIONS' OFFICERS IS DETERMINED BY THE CORD COMMITTEE OF THE BOARD OF TRUSTEES BASED ON COMPARABILITY DATA. THE DELIBERATIONS AND DECISIONS OF THE CORD COMMITTEE OF THE BOARD OF TRUSTEES ARE CONTEMPORANEOUSLY DOCUMENTED AS ARE ALL MEETINGS OF THE BOARD AND ITS COMMITTEES. FURTHER DETAIL IS PROVIDED IN SCHEDULE J, PART III.
Form 990, Part VI, Sec B, Line 15b, Process to establish compensation of other employees SEE PT VI, LINE 15A
FORM 990, PART VI, LINE 16B, DID THE ORGANIZATION FOLLOW A WRITTEN POLICY JOINT VENTURE OR SIMILAR ARRANGEMENTS ARE INVESTMENTS BY THE ENDOWMENT POOL IN PARTNERSHIPS THAT MAY GENERATE UNRELATED BUSINESS INCOME AS REPORTED ON THE UNIVERSITY'S FORM 990-T. THE ORGANIZATION CONDUCTS INVESTMENTS IN PARTNERSHIPS UNDER UNIVERSITY POLICY #838.
Form 990, Part VI, Sec C, Line 19, Required documents available to the public THE ARTICLES OF INCORPORATION ARE FILED WITH THE STATE AND ARE PUBLICLY AVAILABLE. THE FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC ON THE UNIVERSITY'S WEBSITE AND BY REQUEST. COPIES OF THE FORM 990 AND FORM 990T TAX RETURNS ARE AVAILABLE TO THE PUBLIC ON REQUEST. THE UNIVERSITY'S CONFLICT OF INTEREST POLICY IS AVAILABLE ON THE UNIVERSITY'S WEBSITE.
Form 990 , Part XI, Line 9, Other changes in net assets or fund balances LIFE INCOME - -33347756; OTHER - -40933062;
Schedule M, part I, column (b), Line other, Number of contributions or items contributed. OTHER=MINERAL RIGHTS : ONE DONATION OF MINERAL RIGHTS FOR 11 RECORDED DEEDS
Schedule M, part I, column (b), Line 1, Number of contributions or items contributed. 11 WORKS OF ART RECEIVED FROM 6 DONORS
Schedule M, part I, column (b), Line 9, Number of contributions or items contributed. NUMBER OF CONTRIBUTIONS
Schedule M, part I, column (b), Line 4, Number of contributions or items contributed. 1 COLLECTION OF BOOKS PERIODICALS SCORES CDS RECORDS AND TEACHING MATERIALS FOR BRASS INSTRUMENTS
Schedule M, part I, column (b), Line other, Number of contributions or items contributed. OTHER=USED EQUIPMENT : USED FOOSBALL TABLE AND USED THERMAL CONDUCTIVITY MEASUREMENT SYSTEM
Schedule M, part I, column (b), Line other, Number of contributions or items contributed. OTHER=MINERAL RIGHTS : ONE DONATION OF MINERAL RIGHTS FOR 11 RECORDED DEEDS
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: 13000248
Software Version: 2013v3.1
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
WILLIAM MARSH RICE UNIVERSITY
 
Employer identification number

74-1109620
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) PARTNERSHIP - RICE AND JTVP
6100 MAIN STREET
HOUSTON,TX77005
 ARCHITECTURAL EDUCATION FR 184,800 17,000 WILLIAM MARSH RICE 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) VILLAGE REAL PROPERTY INC

6100 MAIN STREET

HOUSTON,TX77005
76-0353959 		REAL ESTATE TITLE HOLDING TX 501(C)(2) N/A WILLIAM MARSH RICE UNIVERSITY
 
Yes
 
(2) VILLAGE PROJECT INC

6100 MAIN STREET

HOUSTON,TX77005
76-0371337 		REAL ESTATE TITLE HOLDING TX 501(C)(2) N/A WILLIAM MARSH RICE UNIVERSITY
 
Yes
 
(3) JTVP CORPORATION

6100 MAIN STREET

HOUSTON,TX77005
76-0258573 		REAL ESTATE TITLE HOLDING TX 501(C)(2) N/A WILLIAM MARSH RICE UNIVERSITY
 
Yes
 
(4) VILLAGE VENTURERS INC

6100 MAIN STREET

HOUSTON,TX77005
76-0258561 		REAL ESTATE TITLE HOLDING TX 501(C)(2) N/A WILLIAM MARSH RICE UNIVERSITY
 
Yes
 
(5) RICE LAND LUMBER CO

6100 MAIN STREET

HOUSTON,TX77005
74-6045400 		REAL ESTATE TITLE HOLDING TX 501(C)(2) N/A WILLIAM MARSH RICE UNIVERSITY
 
Yes
 
(6) RU CORPORATION

6100 MAIN STREET

HOUSTON,TX77005
74-6081393 		REAL ESTATE TITLE HOLDING TX 501(C)(2) N/A WILLIAM MARSH RICE UNIVERSITY
 
Yes
 
(7) RICE TRUST INC

6100 MAIN STREET

HOUSTON,TX77005
74-1698122 		TRUST COMPANY TX 501(C)(4) N/A WILLIAM MARSH RICE UNIVERSITY
 
Yes
 
(8) CCR INC

6100 MAIN STREET

HOUSTON,TX77005
38-3751177 		TYPE I SUPPORTING ORGANIZATION TX 501(C)(3) 11 - Type I WILLIAM MARSH RICE UNIVERSITY
 
Yes
 
(9) HATRC

6100 MAIN STREET

HOUSTON,TX77005
45-5431287 		TYPE I SUPPORTING ORGANIZATION TX 501(C)(3) 11 - Type I WILLIAM MARSH RICE UNIVERSITY
 
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) 201 NORTH TRYON CO-INVESTMENT I LP

701 BRICKELL AVE SUITE 2020
MIAMI,FL33131
45-5564948 		REAL ESTATE FL WILLIAM MARSH RICE UNIVERSITY
  		EXCLUDED 533,243 8,644,400   No 0   No 66.67 %












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) RI PATENTS

6100 MAIN STREET
HOUSTON,TX77005
74-6067201 		PATENT COMPANY TX WILLIAM MARSH RICE UNIVERSITY
  		C CORPORATION     100 % Yes  
(2) PEABODY INC

6100 MAIN STREET
HOUSTON,TX77005
41-2049836 		REAL ESTATE TITLE HOLDING TX WILLIAM MARSH RICE UNIVERSITY
  		C CORPORATION     100 % Yes  
(3) CHARITABLE REMAINDER TRUSTS (68)

6100 MAIN STREET
HOUSTON,TX77005
 SUPPORT TX NA
  		TRUST          
(4) ACCELERATE LEARNING INC

6100 MAIN STREET
HOUSTON,TX77005
46-4015703 		PUBLISH ELECTRONIC TEXTBOOKS DE WILLIAM MARSH RICE UNIVERSITY
  		C CORPORATION     80 % Yes  






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
 
No
d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
 
No
e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
No
f Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
Yes
 
g Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
Yes
 
h Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
Yes
 
k Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1k
Yes
 
l Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
Yes
 
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
Yes
 
o Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
Yes
 
p Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
 
No
q Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
Yes
 
r Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
Yes
 
s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1s
 
No
2
If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.
(a)
Name of related organization 		(b)
Transaction
type (a-s) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) RU CORPORATION

 F 58,356 FMV
(2) VILLAGE PROJECT INC

 F 896,974 FMV
(3) VILLAGE REAL PROPERTY INC

 F 808,046 FMV
(4) VILLAGE VENTURERS INC

 F 113,504 FMV
(5) JTVP CORPORATION

 F 636,126 FMV
(6) RICE LAND LUMBER CO

 F 5,818,277 FMV
(7) CCR INC

 J 2,000,000 FMV
(8) CCR INC

 Q 5,003,436 FMV
(9) CCR INC

 K 10,871,768 FMV
(10) RICE TRUST INC

 O 164,065 FMV
(11) CCR INC

 G 2,029,776 FMV
(12) CCR INC

 R 2,006,052 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


Software ID: 13000248
Software Version: 2013v3.1