TY 2013 Form 990

- TIN:

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)

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.

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 09-01-2013 , 2013, and ending 08-31-2014

BCheck if applicable: Address change Name change Initial return Terminated Amended return Application pending

CName of organization
Northwestern University

Doing Business As

Number and street (or P.O. box if mail is not delivered to street address)
633 Clark St

Room/suite

City or town, state or province, country, and ZIP or foreign postal code
Evanston, IL60208

D Employer identification number

36-2167817

E Telephone number

G Gross receipts $ 4,109,355,592

F Name and address of principal officer:
Ingrid S Stafford
633 Clark St
Evanston,IL60208

Tax-exempt status: 501(c)(3) 501(c) ( ) LeftBullet

(insert no.) 4947(a)(1) or 527

Website:

www.northwestern.edu

H(a)

Is this a group return for
subordinates? Yes No

H(b)

Are all subordinates
included?

Yes No

If "No," attach a list. (see instructions)

H(c)

Group exemption number MediumBullet

K Form of organization: Corporation Trust Association Other MediumBullet

L Year of formation: 1851

M State of legal domicile: IL

Part I

Summary

1	Briefly describe the organization’s mission or most significant activities: Education and research
2	Check this box
3	Number of voting members of the governing body (Part VI, line 1a) ........	3	36
4	Number of independent voting members of the governing body (Part VI, line 1b) .....	4	27
5	Total number of individuals employed in calendar year 2013 (Part V, line 2a) ......	5	23,393
6	Total number of volunteers (estimate if necessary) .............	6	148
7a	Total unrelated business revenue from Part VIII, column (C), line 12 ........	7a	-8,726,469
b	Net unrelated business taxable income from Form 990-T, line 34 .........	7b	0

		Prior Year	Current Year
8	Contributions and grants (Part VIII, line 1h) .........	331,106,325	625,656,043
9	Program service revenue (Part VIII, line 2g) .........	1,613,666,729	1,663,168,510
10	Investment income (Part VIII, column (A), lines 3, 4, and 7d ) ....	509,976,558	557,761,612
11	Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e)	431,183,414	49,256,473
12	Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)...................	2,885,933,026	2,895,842,638
13	Grants and similar amounts paid (Part IX, column (A), lines 1–3 )...	377,166,150	400,236,762
14	Benefits paid to or for members (Part IX, column (A), line 4).....	0	0
15	Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10)	1,051,137,198	1,096,969,922
16a	Professional fundraising fees (Part IX, column (A), line 11e).....	301,025	1,333,120
b	Total fundraising expenses (Part IX, column (D), line 25) 49,706,483
17	Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e)....	792,198,764	832,457,605
18	Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25)	2,220,803,137	2,330,997,409
19	Revenue less expenses. Subtract line 18 from line 12.......	665,129,889	564,845,229
		Beginning of Current Year	End of Year
20	Total assets (Part X, line 16).............	10,889,523,081	12,773,853,117
21	Total liabilities (Part X, line 26).............	1,754,330,717	2,106,944,047
22	Net assets or fund balances. Subtract line 21 from line 20.....	9,135,192,364	10,666,909,070

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

	Signature of officer	Date

	Type or print name and title

Paid Preparer Use Only

Print/Type preparer's name

Preparer's signature

Date

Check if
self-employed

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) ............YesNo

For Paperwork Reduction Act Notice, see the separate instructions.

Cat. No. 11282Y

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 ..............

Briefly describe the organization’s mission: Northwestern's mission is to provide the highest-quality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises.

Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? ...................... Yes No

If "Yes," describe these new services on Schedule O.

Did the organization cease conducting, or make significant changes in how it conducts, any program services? ............................ Yes No

If "Yes," describe these changes on Schedule O.

Describe the organization’s program service accomplishments for each of its three largest program services, as measured by expenses. Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported.


4a	(Code: ) (Expenses $ 1,558,101,203 including grants of $ 305,535,635 ) (Revenue $ 1,055,727,660 )
	Education of students: For the 2014 academic year, 8,375 undergraduates and 8,523 graduates and professional school students enrolled full-time at the University. The exempt purpose of Northwestern University is to provide educational services to its students. This includes superior undergraduate education for a diverse student body in a comprehensive range of academic and professional fields. At the graduate level, Northwestern's role encompasses offerings in the major academic and professional fields, closely related to research, creative activities, and clinical services.

4b	(Code: ) (Expenses $ 429,901,000 including grants of $ 94,701,127 ) (Revenue $ 535,208,689 )
	Research activities: The research program at Northwestern University is a major component of University efforts, assuring institutional leadership in scientific discovery, intellectual inquiry, and creative performance. The character of this research shapes all areas of University endeavor, especially graduate education as well as undergraduate studies.

4c	(Code: ) (Expenses $ 113,255,000 including grants of $ ) (Revenue $ 77,631,415 )
	Auxilliary enterprises serve the educational mission by primarily providing residences and food services, and other various goods and services to support University student, faculty, and staff activities.

4d	Other program services (Describe in Schedule O.)
	(Expenses $ including grants of $ ) (Revenue $ )
4e	Total program service expenses2,101,257,203

Form 990 (2013)

Page 3

Part IV

Checklist of Required Schedules

Yes

Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule A Click to see attachment

........................

Yes

Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? Click to see attachment

...

Yes

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 Click to see attachment

..........

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 II Click to see attachment

........

Yes

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 Click to see attachment

............................

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 Click to see attachment

........................

Yes

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 Click to see attachment

...

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

....................

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 Click to see attachment

..............

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 V Click to see attachment

......

Yes

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.

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

Did the organization report an amount for investments—other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VII Click to see attachment

.......

11b

Yes

Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIII Click to see attachment

.......

11c

Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part IX Click to see attachment

............

11d

Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part X Click to see attachment

11e

Yes

Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization’s liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part X Click to see attachment

.........................

11f

Yes

12a

Did the organization obtain separate, independent audited financial statements for the tax year?
If "Yes," complete Schedule D, Parts XI and XII Click to see attachment

.................

12a

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

Is the organization a school described in section 170(b)(1)(A)(ii)? If "Yes," complete Schedule E Click to see attachment

....

Yes

14a

Did the organization maintain an office, employees, or agents outside of the United States?.....

14a

Yes

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

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 Click to see attachment

Yes

Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other assistance to or for foreign individuals? If “Yes,” complete Schedule F, Parts III and IV... Click to see attachment

Yes

Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If "Yes," complete Schedule G, Part I (see instructions).... Click to see attachment

Yes

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

Yes

Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If "Yes," complete Schedule G, Part III................... Click to see attachment

20a

Did the organization operate one or more hospital facilities? If "Yes," complete Schedule H....

20a

If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return?

20b

Form 990 (2013)

Page 4

Part IV

Checklist of Required Schedules (continued)

Did the organization report more than $5,000 of grants or other assistance to any domestic organization or government on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II... Click to see attachment

Yes

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

Yes

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

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 attachment

24a

Yes

Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...

24b

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

Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?...

24d

25a

Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I........ Click to see attachment

25a

Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization’s prior Forms 990 or 990-EZ? If "Yes," complete Schedule L, Part I................... Click to see attachment

25b

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

Yes

Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons? If "Yes," complete Schedule L, Part III......... Click to see attachment

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 current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV .......................... Click to see attachment

28a

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

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

Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M.. Click to see attachment

Yes

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

Yes

Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N,
Part I...........................

Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule N, Part II......................

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

Yes

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

Yes

35a

Did the organization have a controlled entity within the meaning of section 512(b)(13)?

35a

Yes

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

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

Yes

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 Click to see attachment

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. ............

Yes

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

Enter the number reported in Box 3 of Form 1096 Enter -0- if not applicable ..

23,083

Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable .

Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? ..................

Yes

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 ..................

23,393

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)

Yes

Did the organization have unrelated business gross income of $1,000 or more during the year?...

Yes

If “Yes,” has it filed a Form 990-T for this year? If “No” to line 3b, provide an explanation in Schedule O...

Yes

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)?..........................

Yes

If "Yes," enter the name of the foreign country: MediumBullet

QA , UK
See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.

Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?..

Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?

If "Yes," to line 5a or 5b, did the organization file Form 8886-T? ............

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?...

If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible?........................

Organizations that may receive deductible contributions under section 170(c).

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?....................

Yes

If "Yes," did the organization notify the donor of the value of the goods or services provided?.....

Yes

Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282?...........................

If "Yes," indicate the number of Forms 8282 filed during the year ....

Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?............................

Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?..

If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?............................

If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?..........................

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?............

Sponsoring organizations maintaining donor advised funds.

Did the organization make any taxable distributions under section 4966?..........

Did the organization make a distribution to a donor, donor advisor, or related person?.......

Section 501(c)(7) organizations. Enter:

Initiation fees and capital contributions included on Part VIII, line 12 ...

10a

Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities

10b

Section 501(c)(12) organizations. Enter:

Gross income from members or shareholders .........

11a

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

If "Yes," enter the amount of tax-exempt interest received or accrued during the year. ....................

12b

Section 501(c)(29) qualified nonprofit health insurance issuers.

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

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

Enter the amount of reserves on hand ............

13c

14a

Did the organization receive any payments for indoor tanning services during the tax year?.....

14a

If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O..

14b

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

Enter the number of voting members of the governing body at the end of the tax year .....................

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.

Enter the number of voting members included in line 1a, above, who are independent ...................

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? .................

Yes

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? .

Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? ...........................

Did the organization become aware during the year of a significant diversion of the organization’s assets? .

Did the organization have members or stockholders? ................

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? ....................

Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ...................

Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:

The governing body? .........................

Yes

Each committee with authority to act on behalf of the governing body? ............

Yes

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.......

Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)

Yes

10a

Did the organization have local chapters, branches, or affiliates? ............

10a

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

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

Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ..........................

12b

Yes

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

Did the organization have a written whistleblower policy? ...............

Yes

Did the organization have a written document retention and destruction policy? .........

Yes

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?

The organization’s CEO, Executive Director, or top management official ...........

15a

Yes

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

If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization’s exempt status with respect to such arrangements? ............

16b

Section C. Disclosure

List the States with which a copy of this Form 990 is required to be filed MediumBullet

AK , CA , MA , MD , MI , MT , NH , NV , OH , OR , SC , WA , CO , KY , HI , LA , ND , OK

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.

Own website Another's website Upon request Other (explain in Schedule O)

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.

State the name, physical address, and telephone number of the person who possesses the books and records of the organization:
MediumBullet

Nancy Pinchar Interim Controller619 Clark StEvanstonIL60208 (847) 491-4724

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.

List all of the organization’s current key employees, if any. See instructions for definition of "key employee."

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.

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.

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
(A) Name and Title
(1) Peter J Barris........................................................................ Trustee	1.00 .......................	X	0	0	0
(2) John A Canning Jr........................................................................ Trustee	1.00 .......................	X	0	0	0
(3) A Steven Crown........................................................................ Trustee	1.00 .......................	X	0	0	0
(4) Richard H Dean........................................................................ Trustee	1.00 .......................	X	0	0	0
(5) Deborah L DeHaas........................................................................ Trustee	1.00 .......................	X	0	0	0
(6) Charles W Douglas........................................................................ Trustee	1.00 .......................	X	0	0	0
(7) D Cameron Findlay........................................................................ Trustee	1.00 .......................	X	0	0	0
(8) Dennis J FitzSimons........................................................................ Trustee	1.00 .......................	X	0	0	0
(9) T Bondurant French........................................................................ Trustee	1.00 .......................	X	0	0	0
(10) Christopher B Galvin........................................................................ Trustee	1.00 .......................	X	0	0	0
(11) J Douglas Gray........................................................................ Trustee	1.00 .......................	X	0	0	0
(12) Philip L Harris........................................................................ Trustee	1.00 .......................	X	0	0	0
(13) Jay C Hoag........................................................................ Trustee	1.00 .......................	X	0	0	0
(14) Nancy Trienens Kaehler........................................................................ Trustee	1.00 .......................	X	0	0	0
(15) Ellen Philips Katz........................................................................ Trustee	1.00 .......................	X	0	0	0
(16) Lester B Knight........................................................................ Trustee	1.00 .......................	X	0	0	0
(17) Timothy K Krauskopf........................................................................ Trustee	1.00 .......................	X	0	0	0

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
(A) Name and Title
(18) Edward M Liddy........................................................................ Trustee	1.00 .......................	X					0	0	0
(19) J Landis Martin........................................................................ Trustee	1.00 .......................	X					0	0	0
(20) Wendy M Nelson........................................................................ Trustee	1.00 .......................	X					0	0	0
(21) William A Osborn........................................................................ Trustee	1.00 .......................	X					0	0	0
(22) Jane DiRenzo Pigott........................................................................ Trustee	1.00 .......................	X					0	0	0
(23) JB Pritzker........................................................................ Trustee	1.00 .......................	X					0	0	0
(24) M Jude Reyes........................................................................ Trustee	1.00 .......................	X					0	0	0
(25) Patrick G Ryan Jr........................................................................ Trustee	1.00 .......................	X					0	0	0
(26) Paul L Sagan........................................................................ Trustee	1.00 .......................	X					0	0	0
(27) William E Sagan........................................................................ Trustee	1.00 .......................	X					0	0	0
(28) D Gideon Searle........................................................................ Trustee	1.00 .......................	X					0	0	0
(29) Andrew E Senyei MD........................................................................ Trustee	1.00 .......................	X					0	0	0
(30) Benjamin W Slivka........................................................................ Trustee	1.00 .......................	X					0	0	0
(31) Timothy P Sullivan........................................................................ Trustee	1.00 .......................	X					0	0	0
(32) Charles A Tribbett III........................................................................ Trustee	1.00 .......................	X					0	0	0
(33) Jeffrey W Ubben........................................................................ Trustee	1.00 .......................	X					0	0	0
(34) Frederick H Waddell........................................................................ Trustee	1.00 .......................	X					0	0	0
(35) David B Weinberg........................................................................ Trustee	1.00 .......................	X					0	0	0
(36) Miles D White........................................................................ Trustee	1.00 .......................	X					0	0	0
(37) Morton O Schapiro........................................................................ President	40.00 .......................		X				1,029,436	0	415,682
(38) Daniel I Linzer........................................................................ Provost	40.00 .......................		X				608,085	0	196,888
(39) Eugene S Sunshine........................................................................ Senior VP for Business	40.00 .......................		X				821,021	0	93,418
(40) Mary L Baglivo........................................................................ VP Global Marketing	40.00 .......................		X				77,650	0	6,871
(41) Thomas G Cline........................................................................ VP and General Counsel	40.00 .......................		X				522,851	0	101,755
(42) Alan K Cubbage........................................................................ VP University Relations	40.00 .......................		X				261,767	0	26,307
(43) Marilyn McCoy........................................................................ VP for Administration	40.00 .......................		X				297,022	0	41,445
(44) William H McLean........................................................................ VP and Chief Investment Of	40.00 .......................		X				2,462,397	0	1,134,315
(45) Robert E McQuinn........................................................................ VP for Development	40.00 .......................		X				515,782	0	80,435
(46) Eric G Neilson........................................................................ VP Medical Affairs	30.00 .......................		X				697,716	0	20,792
(47) James J Phillips........................................................................ VP Athletics	40.00 .......................		X				1,277,016	0	86,108
(48) Sean Reynolds........................................................................ VP Information Technology	40.00 .......................		X				428,176	0	31,690
(49) Patricia Telles-Irvin........................................................................ VP Student Affairs	40.00 .......................		X				377,517	0	46,998
(50) Joseph T Walsh Jr........................................................................ VP for Research	40.00 .......................		X				320,286	0	75,497
(51) Ronald Nayler........................................................................ Assoc.VP Facilities Mgmnt	40.00 .......................			X			351,602	0	40,257
(52) Patrick W Fitzgerald II........................................................................ Head Coach	40.00 .......................				X		2,439,572	0	51,286
(53) William D Carmody........................................................................ Former Head Coach	40.00 .......................				X		1,600,269	0	51,451
(54) Christopher R Collins........................................................................ Head Coach	40.00 .......................				X		929,420	0	19,019
(55) Peter A Belytschko........................................................................ Investment Manager	40.00 .......................				X		948,748	0	430,671
(56) John A Capelli........................................................................ Investment Manager	40.00 .......................				X		881,848	0	413,556
(57) Morteza A Rahimi........................................................................ Former VP Information Tech	40.00 .......................					X	158,595	0	32,872
(58) Jeffrey Glassroth........................................................................ Former Interim VP Medical	0.00 .......................					X	136,936	0	25,283

1b	Sub-Total................
c	Total from continuation sheets to Part VII, Section A....
d	Total (add lines 1b and 1c)............	17,143,712	0	3,422,596

Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organization MediumBullet

2,552

Yes

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 ..............

Yes

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...........................

Yes

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 ........

Section B. Independent Contractors

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
Northwestern Memorial Hospital251 East HuronChicagoIL60611	Clinical services	5,381,184
Natural Gas Partners125 E John Carpenter Freeway Ste 6IrvingTX75062	Investment management	4,756,960
Summit Partners222 Berkeley St 18th FlBostonMA02116	Investment management	3,378,767
Free Enterprise SystemOne Sodrel DriveJeffersonvilleIN47130	Transportation services	2,491,601
The Family Institute618 Library PlEvanstonIL60201	Instruction services	2,084,826
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 436

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
1a	Federated campaigns..1a
b	Membership dues....1b
c	Fundraising events....1c		1,638,909
d	Related organizations...1d
e	Government grants (contributions)1e		20,383,157

f	All other contributions, gifts, grants, and similar amounts not included above1f		603,633,977

g	Noncash contributions included in lines 1a-1f:$		54,710,379
h	Total. Add lines 1a-1f.......			625,656,043
			Business Code
2a	Tuition and fees		900099	876,211,487	876,211,487
b	Research activities		900099	535,208,689	535,208,689
c	Educational activities		900099	140,016,854	140,016,854
d	Auxilliary enterprises		900099	77,631,415	77,631,415
e	Medical departments		900099	26,305,387	26,305,387
f	All other program service revenue .			7,794,678	7,794,678
g	Total. Add lines 2a–2f........			1,663,168,510
3	Investment income (including dividends, interest, and other similar amounts).......			108,617,841	5,399,254		103,218,587
4	Income from investment of tax-exempt bond proceeds..
5	Royalties...........			54,671,017			54,671,017
		(i) Real	(ii) Personal
6a	Gross rents	5,035,092
b	Less: rental expenses	1,702,680
c	Rental income or (loss)	3,332,412
d	Net rental income or (loss).......			3,332,412		18,712	3,313,700
		(i) Securities	(ii) Other
7a	Gross amount from sales of assets other than inventory	1,169,966,771	490,569,000
b	Less: cost or other basis and sales expenses	716,361,000	495,031,000
c	Gain or (loss)	453,605,771	-4,462,000
d	Net gain or (loss)..........			449,143,771			449,143,771
8a	Gross income from fundraising events (not including $ 1,638,909 of contributions reported on line 1c). See Part IV, line 18 ..
	a		371,757
b	Less: direct expenses ...b		418,274
c	Net income or (loss) from fundraising events..			-46,517			-46,517
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...
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..
Miscellaneous Revenue			Business Code
11a	Alumni travel study		561520	217,044		217,044
b	Alumni affinity card		900099	57,142		12,400	44,742
c	Investment in partners		523000	-9,230,027		-9,230,027
d	All other revenue ....			255,402		255,402
e	Total. Add lines 11a–11d ......			-8,700,439
12	Total revenue. See Instructions......			2,895,842,638	1,668,567,764	-8,726,469	610,345,300

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	65,384,151	65,384,151
2	Grants and other assistance to individuals in the United States. See Part IV, line 22	327,970,673	327,970,673
3	Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16	6,881,938	6,881,938
4	Benefits paid to or for members
5	Compensation of current officers, directors, trustees, and key employees ....	20,566,308	9,186,957	10,783,134	596,217
6	Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) ....
7	Other salaries and wages	880,273,153	816,773,605	38,460,793	25,038,755
8	Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) ....	63,478,230	58,283,357	3,055,946	2,138,927
9	Other employee benefits .......	77,900,546	71,406,956	3,819,932	2,673,658
10	Payroll taxes ...........	54,751,685	50,206,171	2,673,953	1,871,561
11	Fees for services (non-employees):
a	Management ......
b	Legal .........	4,446,761		4,446,761
c	Accounting ...........	878,243		878,243
d	Lobbying ...........	636,701		636,701
e	Professional fundraising services. See Part IV, line 17	1,333,120			1,333,120
f	Investment management fees ......	51,995,168		51,995,168
g	Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........	155,760,076	148,068,115	5,820,397	1,871,564
12	Advertising and promotion ....	20,383,598	13,137,724	1,575,238	5,670,636
13	Office expenses .......	162,880,459	155,591,140	3,346,764	3,942,555
14	Information technology ......	16,540,390	12,577,808	3,913,829	48,753
15	Royalties ..	51,536,436	51,527,440	8,996
16	Occupancy ...........	112,548,945	110,867,388	1,234,561	446,996
17	Travel ............	47,317,803	45,630,295	563,061	1,124,447
18	Payments of travel or entertainment expenses for any federal, state, or local public officials ......
19	Conferences, conventions, and meetings ....	26,306,766	25,044,792	185,600	1,076,374
20	Interest ...........	40,504,221		40,504,221
21	Payments to affiliates .......
22	Depreciation, depletion, and amortization .....	117,276,057	111,625,418	3,777,719	1,872,920
23	Insurance ..............
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	Revenue refunds	19,476,377	19,476,377
b	Other	3,969,604	1,616,898	2,352,706
c
d
e	All other expenses
25	Total functional expenses. Add lines 1 through 24e	2,330,997,409	2,101,257,203	180,033,723	49,706,483
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 if following SOP 98-2 (ASC 958-720).

Form 990 (2013)

Page 11


				(A) Beginning of year		(B) End of year
1	Cash–non-interest-bearing .............				1
2	Savings and temporary cash investments .........			840,758,581	2	799,330,465
3	Pledges and grants receivable, net ...........			116,395,000	3	99,963,000
4	Accounts receivable, net .............			260,712,558	4	266,692,594
5	Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of Schedule L ..................
				3,884,810	5	3,728,656
6	Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary organizations (see instructions) Complete Part II of Schedule L
					6
7	Notes and loans receivable, net .............			85,904,426	7	145,889,370
8	Inventories for sale or use ..............			2,696,962	8	2,782,840
9	Prepaid expenses and deferred charges ..........			15,919,718	9	16,439,170
10a	Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D	10a	3,206,315,874
b	Less: accumulated depreciation .....	10b	1,346,464,856	1,683,638,872	10c	1,859,851,018
11	Investments—publicly traded securities ..........			719,753,814	11	3,213,955,281
12	Investments—other securities. See Part IV, line 11 .....			7,159,848,113	12	6,362,778,468
13	Investments—program-related. See Part IV, line 11 .....			7,946	13	7,982
14	Intangible assets ...............				14
15	Other assets. See Part IV, line 11 ...........			2,281	15	2,434,273
16	Total assets. Add lines 1 through 15 (must equal line 34)......			10,889,523,081	16	12,773,853,117
17	Accounts payable and accrued expenses .........			208,102,470	17	230,117,868
18	Grants payable .................				18
19	Deferred revenue ................			260,684,481	19	266,289,913
20	Tax-exempt bond liabilities .............			598,966,207	20	410,327,596
21	Escrow or custodial account liability. Complete Part IV of Schedule D..				21
22	Loans and other payables to current and former officers, directors, trustees, key employees, highest compensated employees, and disqualified
	persons. Complete Part II of Schedule L..........				22
23	Secured mortgages and notes payable to unrelated third parties ..			150,000,000	23	140,000,000
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....................			536,577,559	25	1,060,208,670
26	Total liabilities. Add lines 17 through 25.........			1,754,330,717	26	2,106,944,047
	Organizations that follow SFAS 117 (ASC 958), check here and complete lines 27 through 29, and lines 33 and 34.
27	Unrestricted net assets ..............			5,727,500,364	27	6,827,436,070
28	Temporarily restricted net assets ...........			2,226,495,000	28	2,585,463,000
29	Permanently restricted net assets ...........			1,181,197,000	29	1,254,010,000
	Organizations that do not follow SFAS 117 (ASC 958), check here and complete lines 30 through 34.
30	Capital stock or trust principal, or current funds ........				30
31	Paid-in or capital surplus, or land, building or equipment fund .....				31
32	Retained earnings, endowment, accumulated income, or other funds				32
33	Total net assets or fund balances ...........			9,135,192,364	33	10,666,909,070
34	Total liabilities and net assets/fund balances ........			10,889,523,081	34	12,773,853,117

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 ..............

Total revenue (must equal Part VIII, column (A), line 12) ............

2,895,842,638

Total expenses (must equal Part IX, column (A), line 25) ............

2,330,997,409

Revenue less expenses. Subtract line 2 from line 1 ..............

564,845,229

Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..

9,135,192,364

Net unrealized gains (losses) on investments ...............

947,686,000

Donated services and use of facilities .................

Investment expenses .....................

Prior period adjustments .....................

Other changes in net assets or fund balances (explain in Schedule O) ........

19,185,477

Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))

10,666,909,070

Part XII

Financial Statements and Reporting

Check if Schedule O contains a response or note to any line in this Part XII .............

Yes

Accounting method used to prepare the Form 990: Cash Accrual Other
If the organization changed its method of accounting from a prior year or checked "Other," explain in
Schedule O.

Were the organization’s financial statements compiled or reviewed by an independent accountant?

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:

Separate basis Consolidated basis Both consolidated and separate basis

Were the organization’s financial statements audited by an independent accountant?

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:

Separate basis Consolidated basis Both consolidated and separate basis

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?

Yes

If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.

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?

Yes

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.

Yes

Form 990 (2013)

Form 990, Special Condition Description:

Special Condition Description

Additional Data

Software ID:
Software Version:

- TIN:

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.

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

Northwestern University

Employer identification number

36-2167817

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.)

A church, convention of churches, or association of churches described in section 170(b)(1)(A)(i).

A school described in section 170(b)(1)(A)(ii). (Attach Schedule E.)

A hospital or a cooperative hospital service organization described in section 170(b)(1)(A)(iii).

A medical research organization operated in conjunction with a hospital described in section 170(b)(1)(A)(iii). Enter the hospital's name, city, and state:

An organization operated for the benefit of a college or university owned or operated by a governmental unit described in

section 170(b)(1)(A)(iv). (Complete Part II.)

A federal, state, or local government or governmental unit described in section 170(b)(1)(A)(v).

An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in section 170(b)(1)(A)(vi). (Complete Part II.)

A community trust described in section 170(b)(1)(A)(vi). (Complete Part II.)

An organization that normally receives: (1) more than 331/3% of its support from contributions, membership fees, and gross

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.)

An organization organized and operated exclusively to test for public safety. See section 509(a)(4).

An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). See section 509(a)(3). Check the box that describes the type of supporting organization and complete lines 11e through 11h.

Type I

Type II

Type III - Functionally integrated

Type III - Non-functionally integrated

By checking this box, I certify that the organization is not controlled directly or indirectly by one or more disqualified persons other than foundation managers and other than one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2).

If the organization received a written determination from the IRS that it is a Type I, Type II, or Type III supporting organization, check this box ..................................................

Since August 17, 2006, has the organization accepted any gift or contribution from any of the
following persons?

(i) A person who directly or indirectly controls, either alone or together with persons described in (ii)

Yes

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)

Provide the following information about the supported organization(s).

(i) Name of supported organization	(ii) EIN	(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
(i) Name of supported organization	(ii) EIN	Yes	No	Yes	No	Yes	No	(vii) Amount of monetary support


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

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)		(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.") ....	200,683,218	191,440,295	265,414,664	331,106,325	625,656,043	1,614,300,545
2	Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......
3	The value of services or facilities furnished by a governmental unit to the organization without charge..
4	Total. Add lines 1 through 3	200,683,218	191,440,295	265,414,664	331,106,325	625,656,043	1,614,300,545
5	The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f)..
6	Public support. Subtract line 5 from line 4.						1,614,300,545

Section B. Total Support

Calendar year (or fiscal year beginning in)		(a) 2009	(b) 2010	(c) 2011	(d) 2012	(e) 2013	(f) Total
7	Amounts from line 4..	200,683,218	191,440,295	265,414,664	331,106,325	625,656,043	1,614,300,545
8	Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources...	423,451,122	443,099,864	467,285,874	864,474,845	788,554,989	2,986,866,694
9	Net income from unrelated business activities, whether or not the business is regularly carried on..				14,524,514		14,524,514
10	Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)..	481,686	379,354	394,461	234,321	-1,775	1,488,047
11	Total support (Add lines 7 through 10).						4,617,179,800

Gross receipts from related activities, etc. (see instructions) ..................

7,881,554,254

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

Public support percentage for 2013 (line 6, column (f) divided by line 11, column (f)) .........

34.960 %

Public support percentage for 2012 Schedule A, Part II, line 14 ...............

16a

33 1/3% support test—2013. If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box
and stop here. The organization qualifies as a publicly supported organization ....................... right arrow

33 1/3% support test—2012. If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more, check this
box and stop here. The organization qualifies as a publicly supported organization ..................... right arrow

17a

10%-facts-and-circumstances test—2013. If the organization did not check a box on line 13, 16a, or 16b, and line 14
is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here. Explain
in Part IV how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported
organization ..................................................... right arrow

10%-facts-and-circumstances test—2012. If the organization did not check a box on line 13, 16a, 16b, or 17a, and line
15 is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here.
Explain in Part IV how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly
supported organization ................................................ right arrow

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

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)		(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)		(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.)..

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

Public support percentage for 2013 (line 8, column (f) divided by line 13, column (f)) .........

Public support percentage from 2012 Schedule A, Part III, line 15 ...............

Section D. Computation of Investment Income Percentage

Investment income percentage for 2013 (line 10c, column (f) divided by line 13, column (f)) ......

Investment income percentage from 2012 Schedule A, Part III, line 17 .............

19a

33 1/3% support tests—2013. If the organization did not check the box on line 14, and line 15 is more than 33 1/3%, and line 17 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization ........ right arrow

33 1/3% support tests—2012. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3% and line 18 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization ..... right arrow

Private foundation. If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions ..... right arrow

Schedule A (Form 990 or 990-EZ) 2013

Page 4

Part IV

Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and Part III, line 12. Also complete this part for any additional information. (See instructions).

Facts And Circumstances Test

Explanation

Schedule A (Form 990 or 990-EZ) 2013

Additional Data

Software ID:
Software Version:

- TIN:

Schedule B
(Form 990, 990-EZ,
or 990-PF)

Department of the Treasury
Internal Revenue Service

Schedule of Contributors

Attach to Form 990, 990-EZ, or 990-PF.

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

Northwestern University

Employer identification number

36-2167817

Organization type (check one):

Filers of:

Section:

Form 990 or 990-EZ

501(c)( ) (enter number) organization

4947(a)(1) nonexempt charitable trust not treated as a private foundation

527 political organization

Form 990-PF

501(c)(3) exempt private foundation

4947(a)(1) nonexempt charitable trust treated as a private foundation

501(c)(3) taxable private foundation

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

For an organization filing Form 990, 990-EZ, or 990-PF that received, during the year, $5,000 or more (in money or
property) from any one contributor. Complete Parts I and II.

Special Rules

For a section 501(c)(3) organization filing Form 990 or 990-EZ that met the 33¹/3% support test of the regulations
under sections 509(a)(1) and 170(b)(1)(A)(vi) and received from any one contributor, during the year, a contribution of the
greater of (1) $5,000 or (2) 2% of the amount on (i) Form 990, Part VIII, line 1h, or (ii) Form 990-EZ, line 1. Complete Parts I and II.

For a section 501(c)(7), (8), or (10) organization filing Form 990 or 990-EZ that received from any one contributor,
during the year, total contributions of more than $1,000 for use exclusively for religious, charitable,
scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals. Complete Parts I, II, and
III.

For a section 501(c)(7), (8), or (10) organization filing Form 990 or 990-EZ that received from any one contributor,
during the year, contributions for use exclusively for religious, charitable, etc., purposes, but these contributions did
not total more than $1,000. If this box is checked, enter here the total contributions that were received during
the year for an exclusively religious, charitable, etc., purpose. Do not complete any of the parts unless the General Rule
applies to this organization because it received nonexclusively religious, charitable, etc., contributions of $5,000 or more
during the year ......................... 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 Northwestern University

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

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
Northwestern University

Employer identification number

36-2167817

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

(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

(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

(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

(d) Description of how gift is held

(e) Transfer of gift
Transferee's name, address, and ZIP 4	Relationship of transferor to transferee

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Additional Data

Software ID:
Software Version:

- TIN:

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

Northwestern University

Employer identification number

36-2167817

Part I-A

Complete if the organization is exempt under section 501(c) or is a section 527 organization.

Provide a description of the organization’s direct and indirect political campaign activities in Part IV.

Political expenditures .................................... SchCMd Bullet

Volunteer hours ........................................

Part I-B

Complete if the organization is exempt under section 501(c)(3).

Enter the amount of any excise tax incurred by the organization under section 4955 ......... SchCMd Bullet

Enter the amount of any excise tax incurred by organization managers under section 4955 ...... SchCMd Bullet

If the organization incurred a section 4955 tax, did it file Form 4720 for this year? ..............

Yes No

Was a correction made? .........................................

Yes No

If "Yes," describe in Part IV.

Part I-C

Complete if the organization is exempt under section 501(c), except section 501(c)(3).

Enter the amount directly expended by the filing organization for section 527 exempt function activities SchCMd Bullet

Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities ................................... SchCMd Bullet

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

Did the filing organization file Form 1120-POL for this year? ..........................

Yes No

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

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 Bullet

if the filing organization belongs to an affiliated group (and list in Part IV each affiliated group member's name, address, EIN, expenses, and share of excess lobbying expenditures).
B Check SchCMd Bullet

if the filing organization checked box A and "limited control" provisions apply.

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) .......	863,962
c	Total lobbying expenditures (add lines 1a and 1b) ...................	863,962
d	Other exempt purpose expenditures ........................	2,332,039,352
e	Total exempt purpose expenditures (add lines 1c and 1d) ...............	2,332,903,314
f	Lobbying nontaxable amount. Enter the amount from the following table in both columns.	1,000,000
	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) .................	250,000
h	Subtract line 1g from line 1a. If zero or less, enter -0-. ................	0
i	Subtract line 1f from line 1c. If zero or less, enter -0-. ................	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? ......................................		Yes No

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	1,000,000	1,000,000	1,000,000	1,000,000	4,000,000

b	Lobbying ceiling amount (150% of line 2a, column(e))					6,000,000

c	Total lobbying expenditures	764,514	748,516	829,965	863,962	3,206,957

d	Grassroots nontaxable amount	250,000	250,000	250,000	250,000	1,000,000

e	Grassroots ceiling amount (150% of line 2d, column (e))					1,500,000

f	Grassroots lobbying expenditures

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)

Yes

(b)

Amount

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:

Volunteers? .........................................

Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ....

Media advertisements? ....................................

Mailings to members, legislators, or the public? .........................

Publications, or published or broadcast statements? .......................

Grants to other organizations for lobbying purposes? .......................

Direct contact with legislators, their staffs, government officials, or a legislative body? ........

Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......

Other activities? ..........................

Total. Add lines 1c through 1i ...............................

Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....

If "Yes," enter the amount of any tax incurred under section 4912 .................

If "Yes," enter the amount of any tax incurred by organization managers under section 4912 .....

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

Were substantially all (90% or more) dues received nondeductible by members? ................

Did the organization make only in-house lobbying expenditures of $2,000 or less? ................

Did the organization agree to carry over lobbying and political expenditures from the prior year? ..........

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."

Dues, assessments and similar amounts from members .....................

Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of political
expenses for which the section 527(f) tax was paid).

Current year .........................................

Carryover from last year ....................................

Total ............................................

Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues .

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? ................................

Taxable amount of lobbying and political expenditures (see instructions) ..............

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 (Form 990 or 990EZ) 2013

Additional Data

Software ID:
Software Version:

- TIN:

SCHEDULE D
(Form 990)

Department of the Treasury
Internal Revenue Service

Supplemental Financial Statements

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

Northwestern University

Employer identification number

36-2167817

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
1	Total number at end of year .........	1
2	Aggregate contributions to (during year) ...	1,660,368
3	Aggregate grants from (during year) .....	5,417,550
4	Aggregate value at end of year ........	14,280,344

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? ............

Yes No

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? ...................................

Yes No

Part II

Conservation Easements. Complete if the organization answered "Yes" to Form 990, Part IV, line 7.

Purpose(s) of conservation easements held by the organization (check all that apply).

Preservation of land for public use (e.g., recreation or education) Preservation of an historically important land area

Protection of natural habitat Preservation of a certified historic structure

Preservation of open space

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.


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

Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during
the tax year SchDMd Bullet

Number of states where property subject to conservation easement is located SchDMd Bullet

Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and
enforcement of the conservation easements it holds? .............................

Yes No

Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet

Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet

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)? .......................................

Yes No

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.

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.

If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items:

(i)

Revenues included in Form 990, Part VIII, line 1 ........................ SchDMd Bullet

(ii)

Assets included in Form 990, Part X .............................. SchDMd Bullet

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:

Revenues included in Form 990, Part VIII, line 1 .......................... SchDMd Bullet

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

Page 2

Part III

Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)

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):

Public exhibition

Loan or exchange programs

Scholarly research

Other

Preservation for future generations

Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in
Part XIII.

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?........

Yes No

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.

Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................

Yes No

If "Yes," explain the arrangement in Part XIII and complete the following table:


c	Beginning balance .................................	1c
d	Additions during the year ..............................	1d
e	Distributions during the year .............................	1e
f	Ending balance ...................................	1f

Did the organization include an amount on Form 990, Part X, line 21? .....................

Yes No

If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII ........

Part V

Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.

		(a)Current year	(b)Prior year	b (c)Two years back	(d)Three years back	(e)Four years back
1a	Beginning of year balance ....	6,283,130,000	5,574,319,000	5,474,935,000	4,726,940,000	4,398,200,000
b	Contributions ........	516,836,000	393,797,000	210,535,000	146,273,000	61,037,000
c	Net investment earnings, gains, and losses	1,075,117,000	594,849,000	204,262,000	856,610,000	400,914,000
d	Grants or scholarships .....	48,218,677	59,645,003	41,493,408	52,624,971	11,750,000
e	Other expenditures for facilities and programs ........	325,748,323	220,189,997	273,919,592	202,263,029	121,461,000
f	Administrative expenses ....
g	End of year balance ......	7,501,116,000	6,283,130,000	5,574,319,000	5,474,935,000	4,726,940,000

Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:

Board designated or quasi-endowment SchDMd Bullet

52.000 %

Permanent endowment SchDMd Bullet

16.000 %

Temporarily restricted endowment SchDMd Bullet

32.000 %

The percentages in lines 2a, 2b, and 2c should equal 100%.

Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes

(i) unrelated organizations ........................

3a(i)

(ii) related organizations ........................

3a(ii)

If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........

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		(b)Cost or other basis (other)	(c) Accumulated depreciation	(d) Book value
1a	Land .................	28,388,669		28,388,669
b	Buildings ................	2,665,134,263	981,301,316	1,683,832,947
c	Leasehold improvements ............	16,186,291	6,442,572	9,743,719
d	Equipment ................	496,606,651	358,720,968	137,885,683
e	Other .................
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......				1,859,851,018

Schedule D (Form 990) 2013

Page 3

Part VII

InvestmentsOther 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	1,952,226,656	F
(2)Closely-held equity interests
(3)Other (A) Equity, fixed income, real assets,etc	4,410,551,812	F








Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)	6,362,778,468

Part VIII

InvestmentsProgram 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.)

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.)...........

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
Deposits payable,actuarial liability of annuities payable		119,974,955
Government advances for student loans		38,775,000
Asset retirement obligations		115,458,715
Taxable bonds - series 2012		200,000,000
Taxable bonds - series 2013		586,000,000




Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)		1,060,208,670
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

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
Part III, Line 1a:	The University does not capitalize collections. As stated in the University notes to the financial statements, the accounting policy for library collections is to expense all purchases. Museum purchases are accounted for similarly. Gifts of art and similar tangible personal property are accounted for as gifts-in-kind.
Part V, Line 4:	The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction.
Part X, Line 2:	The University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the "more likely than not" standard for sustainability on examination by tax authorities.
Part X, line 5	Part X, line 5, Asset Retirement Obligations: The University records all known asset retirement obligations (ARO) for which the fair value of the liability can be reasonably estimated, including certain obligations relating to regulatory remediation. ARO covered include those for which an entity has a legal obligation to perform an asset retirement activity; however, the timing and/or method of settling the obligation are conditional on a future event that may or may not be within the control of the entity.

Schedule D (Form 990) 2013

Additional Data

Software ID:
Software Version:

- TIN:

SCHEDULE E(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service

Schools

Complete 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

Northwestern University

Employer identification number

36-2167817

Part I

YES

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? ......................

Yes

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? ......................................

Yes

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. .............................

Yes

Does the organization maintain the following?

Records indicating the racial composition of the student body, faculty, and administrative staff? ..........

Yes

Records documenting that scholarships and other financial assistance are awarded on a racially nondiscriminatory

basis? ...............................................

Yes

Copies of all catalogues, brochures, announcements, and other written communications to the public dealing

with student admissions, programs, and scholarships? ...........................

Yes

Copies of all material used by the organization or on its behalf to solicit contributions? ..............

Yes

If you answered "No" to any of the above, please explain. If you need more space, use Part II.

Does the organization discriminate by race in any way with respect to:

Students' rights or privileges? .....................................

Admissions policies? .........................................

Employment of faculty or administrative staff? ..............................

Scholarships or other financial assistance? ................................

Educational policies? .........................................

Use of facilities? ...........................................

Athletic programs? ..........................................

Other extracurricular activities? .....................................

If you answered "Yes" to any of the above, please explain. If you need more space, use Part II.

Does the organization receive any financial aid or assistance from a governmental agency? ...........

Yes

Has the organization's right to such aid ever been revoked or suspended? ...................

If you answered "Yes" to either line 6a or line 6b, explain on Part II.

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.

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	Policies are included in student, faculty, and staff handbooks. Policies are also anually reprinted in the school newspaper.
Schedule E, Part I, Line 6	The University receives financial support from agencies of the federal government for research purposes and for financial aid to students; additional financial aid support for students is received from agencies of the State of Illinois.
Schedule E, Part I, Line 7	Northwestern University does not discriminate or permit discrimination by any member of its community against any individual on the basis of race, color, religion, national origin, sex, pregnancy, sexual orientation, gender identity, gender expression, parental status, marital status, age, disability, citizenship, or veteran status, or genetic information, or any other classification protected by law in matters of admissions, employment, housing, or services or in the educational programs or activities it operates.

Schedule E (Form 990 or 990-EZ) 2013

Additional Data

Software ID:
Software Version:

- TIN:

SCHEDULE F(Form 990)

Department of the Treasury
Internal Revenue Service

Statement of Activities Outside the United States

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
Northwestern University

Employer identification number

36-2167817

Part I

General Information on Activities Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 14b.

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? ...............................

Yes

For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of its grants and other assistance outside the United States.

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
	Middle East and North Africa	1	147	Maintaining offices, employees or agents	International campus in Doha, Qatar for students in journalism and communications	38,221,812
	East Asia and the Pacific			Fundraising		13,977
	Europe			Fundraising		127,045
	Middle East and North Africa			Fundraising		26,648
	North America			Fundraising		24,657
	South Asia			Fundraising		2,056
	Central America and the Caribbean			Program services	Research	13,110
	East Asia and the Pacific			Program services	Research	338,513
	Europe			Program services	Research	2,181,146
	Middle East and North Africa			Program services	Research	106,133
	North America			Program services	Research	6,660,197
	Russia & Neighboring States			Program services	Research	7,798
	South America			Program services	Research	26,743
	South Asia			Program services	Research	21,816
	Sub-Saharan Africa			Program services	Research	12,852
	Central America and the Caribbean			Program services	Study abroad programs and courses abroad	196,620
	East Asia and the Pacific			Program services	Study abroad programs and courses abroad	3,086,342
	Europe			Program services	Study abroad programs and courses abroad	2,868,450
	Middle East and North Africa			Program services	Study abroad programs and courses abroad	2,055,235
	North America			Program services	Study abroad programs and courses abroad	1,173,780
	South America			Program services	Study abroad programs and courses abroad	271,949
	South Asia			Program services	Study abroad programs and courses abroad	116,170
	Sub-Saharan Africa			Program services	Study abroad programs and courses abroad	777,679
	Central America and the Caribbean			Unrelated trade or business		960
	East Asia and the Pacific			Unrelated trade or business		7,470
	Europe			Unrelated trade or business		18,958
	Middle East and North Africa			Unrelated trade or business		128
	North America			Unrelated trade or business		135
	Russia & Neighboring States			Unrelated trade or business		128
	South America			Unrelated trade or business		3,641
	South Asia			Unrelated trade or business		96
	Sub-Saharan Africa			Unrelated trade or business		2,905
	Central America and the Caribbean			Investments		1,299,360,000
	East Asia and the Pacific			Investments		30,000,000
	Europe			Investments		152,970,000
	North America			Investments		38,130,000
	South America			Investments		17,570,000
	Sub-Saharan Africa			Investments		78,480,000
	Central America and the Caribbean			Program services	Business travel abroad (includes travel to attend seminars and conferences)	109,101
	East Asia and the Pacific			Program services	Business travel abroad (includes travel to attend seminars and conferences)	1,638,328
	Europe			Program services	Business travel abroad (includes travel to attend seminars and conferences)	3,330,507
	Middle East and North Africa			Program services	Business travel abroad (includes travel to attend seminars and conferences)	968,382
	North America			Program services	Business travel abroad (includes travel to attend seminars and conferences)	433,249
	Russia & Neighboring States			Program services	Business travel abroad (includes travel to attend seminars and conferences)	66,146
	South America			Program services	Business travel abroad (includes travel to attend seminars and conferences)	355,179
	South Asia			Program services	Business travel abroad (includes travel to attend seminars and conferences)	187,764
	Sub-Saharan Africa			Program services	Business travel abroad (includes travel to attend seminars and conferences)	448,517
	Central America and the Caribbean			Grantmaking		111,318
	East Asia and the Pacific			Grantmaking		767,014
	Europe			Grantmaking		3,513,157
	Middle East and North Africa			Grantmaking		360,521
	North America			Grantmaking		1,279,245
	South America			Grantmaking		180,832
	South Asia			Grantmaking		194,570
	Sub-Saharan Africa			Grantmaking		437,005
	Russia & Neighboring States			Grantmaking		30,310
	Europe			Program-related investments		104,254
	East Asia and the Pacific			Program-related investments		5,167
3a	Sub-total .....	1	147			38,767,818
b	Total from continuation sheets to Part I ...	0	0			1,650,627,897
c	Totals (add lines 3a and 3b)	1	147			1,689,395,715

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.

(c) Region	(d) Purpose of grant	(e) Amount of cash grant	(f) Manner of cash disbursement
Central America	Grant subaward from sponsored research funds	94,501	ACH direct deposit or Check
East Asia	Grant subaward from sponsored research funds	146,667	ACH direct deposit or Check
East Asia	Grant subaward from sponsored research funds	157,305	ACH direct deposit or Check
East Asia	Grant subaward from sponsored research funds	157,992	ACH direct deposit or Check
East Asia	Grant subaward from sponsored research funds	151,514	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	57,600	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	126,339	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	14,326	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	133,876	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	670,601	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	51,370	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	29,410	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	174,953	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	86,985	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	176,823	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	83,500	ACH direct deposit or Check
Europe	Grant subaward from sponsored research funds	110,000	ACH direct deposit or Check
Middle East and North Africa	Grant subaward from sponsored research funds	212,349	ACH direct deposit or Check
Middle East and North Africa	Grant subaward from sponsored research funds	75,626	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	31,138	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	35,450	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	28,450	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	31,174	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	8,600	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	157,705	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	11,606	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	17,000	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	341,947	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	20,000	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	10,600	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	584,621	ACH direct deposit or Check
North America	Grant subaward from sponsored research funds	954	ACH direct deposit or Check
South Asia	Grant subaward from sponsored research funds	22,776	ACH direct deposit or Check
South Asia	Grant subaward from sponsored research funds	108,111	ACH direct deposit or Check
South Asia	Charitable contribution raised by student organization	24,100	ACH direct deposit or Check
Sub-Saharan Africa	Grant subaward from sponsored research funds	156,065	ACH direct deposit or Check
Sub-Saharan Africa	Grant subaward from sponsored research funds	6,148	ACH direct deposit or Check
Sub-Saharan Africa	Grant subaward from sponsored research funds	22,679	ACH direct deposit or Check
Sub-Saharan Africa	Grant subaward from sponsored research funds	64,131	ACH direct deposit or Check
Sub-Saharan Africa	Grant subaward from sponsored research funds	3,850	ACH direct deposit or Check
Sub-Saharan Africa	Grant subaward from sponsored research funds	39,908	ACH direct deposit or Check
Sub-Saharan Africa	Grant subaward from sponsored research funds	39,438	ACH direct deposit or Check
South Asia	Charitable contribution raised by student organization	27,221	ACH direct deposit or Check
Sub-Saharan Africa	Support of charitable organization	7,964	ACH direct deposit or Check

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

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.

	(b) Region	(c) Number of recipients	(d) Amount of cash grant	(e) Manner of cash disbursement
Grants disbursed during student's enrollment in international program	Central America and the Caribbean	1	16,817	Applied to student account; credits are refunded by check
Grants disbursed during student's enrollment in international program	East Asia and the Pacific	14	153,537	Applied to student account; credits are refunded by check
Grants disbursed during student's enrollment in international program	Europe (including Iceland and Greenland)	180	1,797,375	Applied to student account; credits are refunded by check
Grants disbursed during student's enrollment in international program	Middle East and North Africa	10	72,546	Applied to student account; credits are refunded by check
Grants disbursed during student's enrollment in international program	Russia and Neighboring States	2	30,310	Applied to student account; credits are refunded by check
Grants disbursed during student's enrollment in international program	South America	18	180,832	Applied to student account; credits are refunded by check
Grants disbursed during student's enrollment in international program	South Asia	2	12,362	Applied to student account; credits are refunded by check
Grants disbursed during student's enrollment in international program	Sub-Saharan Africa	14	104,786	Applied to student account; credits are refunded by check

Schedule F (Form 990) 2013

Page 4

Part IV

Foreign Forms

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
Part I, Line 2:	Grants or other assistance are awarded to foreign organizations or entities pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required.
Schedule F, Part I	The program services listed in Part I reflect international educational programs in which the University had material involvement in the design, development and/or control of the program and/or curriculum. While Northwestern University provides its students with access to a multitude of study abroad programs and exchanges located throughout the world, the University does not administer or operate the educational courses taught by all of these programs. Rather, under reciprocity and affiliation agreements, the University helps facilitate its student access to such international programs and recognizes credit earned by students at such foreign educational institutions, and such exchange programs are excluded from Schedule F, Part I. Under Northwestern University's current accounting procedures, all expenses associated with study abroad international programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f) of Schedule F. Program-related investments represent student loans disbursed during student's enrollment in international program.
Schedule F, Part I, column (f), line 3	Expenditures reported in the Form 990, Schedule F, Part I are prepared using the accrual method of accounting. University activities are assigned a unique identifying number. Direct expenses are recorded with respect to each activity in the University's electronic financial recording system. Such direct expenses, for the relevant tax year, are reflected in column (f).
Schedule F, Part II, line 1 and line 3	In connection with the monitoring of subawards through OSR, approved purchase orders and invoices are documented and accounted for in the University's electronic financial recording system, and such amounts are reflected in Part II, line 1. Of the 44 recipient organizations that received grants in Part II, 32 are universities, colleges, and hospitals; seven are research centers; three are section 501(c)(3) organizations.
Schedule F, Part III	Cash grants given to individuals are recorded in an electronic reporting tool. The data recorded includes information as to participation by undergraduate students in study abroad programming. Individual recipients of cash grants are coded with unique identifying numbers. Grants associated with undergraduate students coded as participating in a study abroad are reviewed to assess whether there is an overlap between the grant disbursement date and the dates of the applicable study abroad program. The number of such students, based on their unique identifying numbers, are summed and reflected in Part III, column (c).

Schedule F (Form 990) 2013

Additional Data

Software ID:
Software Version:

- TIN:

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 arrow

Attach to Form 990 or Form 990-EZ. right arrow

See separate instructions.
right arrow

Information 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
Northwestern University

Employer identification number

36-2167817

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.

Indicate whether the organization raised funds through any of the following activities. Check all that apply.

a	Mail solicitations	e	Solicitation of non-government grants
b	Internet and email solicitations	f	Solicitation of government grants
c	Phone solicitations	g	Special fundraising events
d	In-person solicitations

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?

Yes

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
	Meeting Achievements Inc 232 E 500 N Valparaiso, IN46383	Symposium sponsorship solicitor	Yes		424,000	114,619	309,381
	RuffaloCODY 65 Kirkwood North Rd SW Cedar Rapids, IA52406	Phone solicitation		No	174,186	53,743	120,443
	Foley Consulting 2405 Essington Rd 98 Joliet, IL60435	Fundraising campaign consultant		No	0	22,815	0
	Feats 3 East Read Street Baltimore, MD21202	Fundraising event planning		No	0	511,485	0
	Feats 3 East Read Street Baltimore, MD21202	Fundraising campaign logistics consultant		No	0	24,000	0
	Designer Event 505 North McClurg Court Suite 1805 Chicago, IL60611	Fundraising event production		No	0	7,500	0
	Stelter 10435 New York Ave Des Moines, IA50322	Fundraising Marketing Consultant		No	0	10,194	0
	Syndio Social 800 W Huron 301 Chicago, IL60642	Fundraising Consultant		No	0	8,000	0
	Seftel Productions 20 Jay Street Brooklyn, NY11201	Video production, additional production costs		No	0	294,700	0
	Studio Blue 800 West Huron Street Chicago, IL60642	Fundraising campaign consultant		No	0	286,064	0
Total .................					598,186	1,333,120	429,824

List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registration or licensing.

AL, AK, AR, CA, CO, DC, ME, MI, MS, MT, NH, NY, OH, OR, SC, VA, WA, UT

For Paperwork Reduction Act Notice, see the Instructions for Form 990or 990-EZ.

Cat. No. 50083H

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 Dance Marathon (event type)	(b) Event #2 Brain Tumor Institute Fundraiser (event type)	(c) Other events 11 (total number)	(d) Total events (add col. (a) through col. (c))
1	Gross receipts . . .	1,159,168	253,060	598,438	2,010,666
2	Less: Contributions . .	1,070,832	237,940	330,137	1,638,909
3	Gross income (line 1 minus line 2) . . .	88,336	15,120	268,301	371,757
4	Cash prizes . . .
5	Noncash prizes . .			9,296	9,296
6	Rent/facility costs . .	73,880	19,008	27,971	120,859
7	Food and beverages .		10,476	197,891	208,367
8	Entertainment . . .		5,000	4,975	9,975
9	Other direct expenses .	27,955	18,085	23,737	69,777
10	Direct expense summary. Add lines 4 through 9 in column (d) ...........				418,274
11	Net income summary. Subtract line 10 from line 3, column (d)...........				-46,517

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.

(a) Bingo

(b) Pull tabs/Instant
bingo/progressive bingo

(c) Other gaming

(d) Total gaming (add col.(a) through col.(c))

Gross revenue . . . .

Cash prizes . . . .

Non-cash prizes . . .

Rent/facility costs . . .

Other direct expenses . .

Volunteer labor . . .

	Yes %
	No

	Yes %
	No

	Yes %
	No

Direct expense summary. Add lines 2 through 5 in column (d) ........... right arrow

Net gaming income summary. Subtract line 7 from line 1, column (d) ......... right arrow

Enter the state(s) in which the organization operates gaming activities:

Is the organization licensed to operate gaming activities in each of these states? ............

YesNo

If "No," explain:

10a

Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year? .....

YesNo

If "Yes," explain:

Schedule G (Form 990 or 990-EZ) 2013

Page 3

Does the organization operate gaming activities with nonmembers? .................

YesNo

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? ..........................

YesNo

Indicate the percentage of gaming activity operated in:

The organization's facility ......................

13a

An outside facility ........................

13b

Enter the name and address of the person who prepares the organization's gaming/special events books and records:

Name

Address

15a

Does the organization have a contract with a third party from whom the organization receives gaming

revenue? ......................................

YesNo

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

$ .

If "Yes," enter name and address of the third party:

Name

Address

Gaming manager information:

Name

Gaming manager compensation right arrow

Description of services provided right arrow

Director/officer Employee Independent contractor

Mandatory distributions:

Is the organization required under state law to make charitable distributions from the gaming proceeds to

retain the state gaming license? ............................

YesNo

Enter the amount of distributions required under state law distributed to other exempt organizations or spent

in the organization's own exempt activities during the tax year right arrow

Part IV

Supplemental Information. Provide the explanations required by Part I, line 2b, columns (iii) and (v), and Part III, lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also complete this part to provide any additional information (see instructions).

Return Reference	Explanation
Schedule G, Part I, Line 2b, Column (v)	The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed are reflected): RuffaloCODY ($5,469) in accordance with the agreement with professional fundraiser which permits reimbursement for direct expenses such as mailing and shipping; Stelter ($10,194) as agreed for printing and postage; Seftel Productions ($44,853) as agreed for overhead and additional production costs.
Schedule G, Part I, Line 2b, Column 3	Meeting Achievements received $111,550 of funds on behalf of the University and remitted the entire amount to the University.
Schedule G, Part I, Line 3	No registration is required in Arizona, Delaware, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Minnesota, Missouri, Nebraska, New Mexico, Pennsylvania, Rhode Island, South Dakota, Tennessee, Texas, Vermont, West Virginia, and Wyoming. The University has requested confirmation of exemption from Connecticut, New Jersey and Wisconsin.

Schedule G (Form 990 or 990-EZ) 2013

Additional Data

Software ID:
Software Version:

- TIN:

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
Northwestern University

Employer identification number
36-2167817

Part I

General Information on Grants and Assistance

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? ....................................

Yes No

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	(h) Purpose of grant or assistance
(1) Access Community Health Network 222 N Canal St Chicago,IL60606	36-3317058	501(c)(3)	258,573	Support of research activities
(2) Access DuPage 511 Thornhill Dr M Carol Stream,IL60188	36-4448208	501(c)(3)	111,138	Support of research activities
(3) Advocate Lutheran General Hospital 1775 W Dempster St Park Ridge,IL60068	36-2169147	501(c)(3)	54,644	Support of research activities
(4) Aging and In-Home Services of Northeast Indiana 2927 Lake Ave Fort Wayne,IN46805	35-1341437	501(c)(3)	20,685	Support of research activities
(5) AIDS Arms Inc 219 Sunset Ave Dallas,TX75208	75-2306145	501(c)(3)	222,724	Support of research activities
(6) Alliance of Chicago Community Health Service LLC 215 W Ohio St Chicago,IL60654	36-4444309		436,062	Support of research activities
(7) American Institutes for Research 1000 Thomas Jefferson Street NW Washington,DC20007	25-0965219	501(c)(3)	49,890	Support of research activities
(8) American Society for Microbiology 1752 N Street NW Washington,DC20036	38-1616141	501(c)(3)	24,945	Support of research activities
(9) Ann & Robert H Lurie Children's Hospital of Chicago 225 E Chicago Avenue Chicago,IL60611	36-2170833	501(c)(3)	2,597,125	Support of research activities
(10) Applied Communications Sciences 150 Mount Airy Road Basking Ridge,NJ07920	45-2826612		132,392	Support of research activities
(11) Argonne National Laboratory 9700 S Cass Ave Lemont,IL60439	68-0628477	115	83,106	Support of research activities
(12) Arizona State University PO BOX 876011 Tempe,AZ85287	86-0196696	501(c)(3)	444,186	Support of research activities
(13) Arkansas Children's Hospital Research Institute One Childrens Way Little Rock,AR77202	71-0568795	501(c)(3)	130,777	Support of research activities
(14) Arkansas Site Management Services 7 Shakelford West Blvd Little Rock,AR72211	46-0743932		17,995	Support of research activities
(15) Art Institute of Chicago 111 S MICHIGAN AVE Chicago,IL60603	36-2167725	501(c)(3)	35,000	Support of charitable community organization
(16) Aurasense Therapuetics LLC 1801 Maple Ave Ste 4301 Evanston,IL60201	45-2638444		749,718	Support of research activities
(17) Banner Alzheimer's Institute 901 E Wiletta Street Phoenix,AZ85006	20-4862361	501(c)(3)	9,885	Support of research activities
(18) Baptist Hospital of Miami 8900 N Kendall Drive Miami,FL33176	59-0910342	501(c)(3)	41,910	Support of research activities
(19) Baylor College of Medicine 1 Baylor Plaza Houston,TX77030	74-1613878	501(c)(3)	14,396	Support of research activities
(20) Baylor Research Institute 3310 Live Oak Suite 501 Dallas,TX75204	75-1921898	501(c)(3)	60,369	Support of research activities
(21) Beth Israel Deaconess Medical Center 330 Brookline Ave Boston,MA02215	04-2103881	501(c)(3)	47,372	Support of research activities
(22) Boston Medical Center One Boston Medical Center Pl Boston,MA02118	04-3314093	501(c)(3)	774,618	Support of research activities
(23) Boston University One Silber Way Boston,MA02215	04-2103547	501(c)(3)	365,041	Support of research activities
(24) Boys & Girls Clubs of Chicago 550 W Van Buren Street Suite 350 Chicago,IL60607	36-2166997	501(c)(3)	37,255	Support of research activities
(25) Bridgeport Hospital 267 Grant St Bridgeport,CT06610	22-2908698	501(c)(3)	6,210	Support of research activities
(26) Brigham and Women's Hospital 75 Francis St Boston,MA02115	04-2312909	501(c)(3)	8,251	Support of research activities
(27) Brookings Institution 1775 Massachusetts Ave NW Washington,DC20036	53-0196577	501(c)(3)	53,181	Support of research activities
(28) Brown University 45 Prospect Street Providence,RI02912	05-0258809	501(c)(3)	107,164	Support of research activities
(29) California Institute of Technology 1200 East California Blvd Pasadena,CA91125	95-1643307	501(c)(3)	264,897	Support of research activities
(30) Camp Kesem National PO Box 452 Culver City,CA90232	51-0454157	501(c)(3)	32,221	Charitable fundraising conducted by student organization
(31) Campbell-Kibler Associates Inc 80 Lakeside Dr Groton,MA01450	04-3297519		59,323	Support of research activities
(32) Cancer Help Institute Ltd 1000 Skokie Blvd Ste 100 Wilmette,IL60091	36-3801000		15,261	Support of research activities
(33) Case Western Reserve University 10900 Euclid Ave Cleveland,OH44106	34-1018992	501(c)(3)	316,253	Support of research activities
(34) Center on Halsted 3656 Halsted Street Chicago,IL60613	51-0178807	501(c)(3)	22,216	Support of research activities
(35) Chicago Academy of Sciences 2430 N Cannon Dr Chicago,IL60614	36-0895575	501(c)(3)	25,000	Support of charitable community organization
(36) Chicago Association for Research and Education in Science Building One Rm C347 5000 S 5th Ave Ave Hines,IL60141	36-3334177	501(c)(3)	57,767	Support of research activities
(37) Chicago Botanic Garden(Chicago Horticultural Society) 1000 Lake Cook Rd Glencoe,IL60022	36-2225482	501(c)(3)	15,000	Support of charitable community organization
(38) Chicago Coalition for the Homeless 70 E Lake Street Suite 720 Chicago,IL60601	36-3292607	501(c)(3)	15,500	Support of research activities
(39) Chicago Cubs Charities Inc 1060 W Addison Street Chicago,IL60613	36-3443543	501(c)(3)	5,500	Support of charitable community organization
(40) Chicago Hispanic Health Coalition 2525 S Michigan Ave Chicago,IL60616	36-4193052	501(c)(3)	14,533	Support of research activities
(41) Chicago Women's Health Center 3435 N Sheffield Ave Chicago,IL60657	36-2922469	501(c)(3)	9,500	Support of research activities
(42) Chicago's North Shore Convention & Visitor's Bureau 8001 Lincoln Avenue Skokie,IL60077	36-4449110	501(c)(6)	25,000	Support of community organization
(43) Children's Hospital Los Angeles 4650 Sunset Blvd MS 130 Los Angeles,CA90027	95-1690977	501(c)(3)	16,245	Support of research activities
(44) Children's Hospital of Philadelphia The 34th Street and Civic Center Blvd Philadelphia,PA19104	23-1352166	501(c)(3)	307,592	Support of research activities
(45) Children's Research Fund 225 E Chicago Ave Chicago,IL60611	36-3841919	501(c)(3)	10,000	Support of research activities
(46) Chinese American Service League 2141 S Tan Ct Chicago,IL60616	36-2984043	501(c)(3)	43,704	Support of research activities
(47) City Colleges of Chicago 226 W Jackson Blvd Chicago,IL60606	36-2606236	501(c)(3)	14,092	Support of research activities
(48) City of Chicago Board of Education 125 South Clark Street 6th Floor Chicago,IL60603	36-6005821	115	719,829	Support of research activities
(49) Clemson University 300 Brackett Hall 321 Calhoun Drive Drive Clemson,SC29634	57-6000254	115	22,602	Support of research activities
(50) Cleveland Clinic Lerner College of Medicine of CWRU 9500 Euclid Ave Cleveland,OH44195	91-2153073	501(c)(3)	153,761	Support of research activities
(51) Colorado State University 203 Administration Building Fort Collins,CO80523	84-6000545	115	9,942	Support of research activities
(52) Columbia University 615 W 131st Street New York,NY10027	13-1624202	501(c)(3)	593,031	Support of research activities
(53) Community Action Project of Tulsa County Inc 4606 S Garnett Ste 100 Tulsa,OK74146	73-1019247	501(c)(3)	107,420	Support of research activities
(54) Community Counseling Centers of Chicago 4740 N Clark St Chicago,IL60640	23-7115384	501(c)(3)	6,048	Support of research activities
(55) Consulting Radiologists Ltd 1221 Nicollet Mall Ste 600 Minneapolis,MN55403	41-0974675		25,150	Support of research activities
(56) Cornell University 222 Day Hall Ithaca,NY14853	15-0532082	501(c)(3)	124,908	Support of research activities
(57) Curt's Cafe 2922 Central Street Evanston,IL60201	45-3934105	501(c)(3)	11,000	Support of research activities
(58) Dana-Farber Cancer Institute 44 Binney St Boston,MA02115	04-2263040	501(c)(3)	359,614	Support of research activities
(59) David Ostrow & Associates LLC 5455 N Sheridan Rd Ste 2503 Chicago,IL60640	20-5241516		29,264	Support of research activities
(60) Delve LLC 11971 Westline Industrial Dr 200 St Louis,MO63146	20-0684635		2,350,789	Support of research activities
(61) DePaul University 1 E Jackson Chicago,IL60604	36-2167048	501(c)(3)	33,388	Support of charitable community organization
(62) Development Alternatives Inc 7600 Wisconsin Blvd Ste 200 Bethesda,MD20814	52-0904808		117,252	Support of research activities
(63) Duke University Chapel Dr Durham,NC27705	56-0532129	501(c)(3)	953,367	Support of research activities
(64) East Carolina University 2200 Charles Blvd Rm 2906 Greenville,NC27858	56-6000403	115	18,250	Support of research activities
(65) Emory University 201 Dowman Dr Atlanta,GA30322	58-0566256	501(c)(3)	261,493	Support of research activities
(66) Erie Family Health Center 1701 W Superior St Chicago,IL60622	36-3088628	501(c)(3)	2,096,010	Support of research activities
(67) Evanston Community Foundation 1007 Church St Suite 108 Evanston,IL60201	36-3466802	501(c)(3)	105,569	Support of charitable community organization
(68) Evidera Inc 7101 Wisconsin Ave Suite 600 Bethesda,MD20814	54-1759539		44,505	Support of research activities
(69) EvMark 1560 Sherman Ave Evanston,IL60201	36-3571291	501(c)(6)	15,000	Support of charitable community organization
(70) Executive Frameworks Ltd 2705 W Agatite Ave 1 Chicago,IL60625	37-1450886		85,619	Support of research activities
(71) Florida International University 11200 SW 8th Street Miami,FL33174	65-0177616	501(c)(3)	27,149	Support of research activities
(72) Friends of Prentice 251 E Huron Street Galter Pavilion Chicago,IL60611	36-3930139	501(c)(3)	6,000	Support of charitable community organization
(73) Gastro-Intestinal Research Foundation 70 E Lake Street Suite 1015 Chicago,IL60601	36-6108156	501(c)(3)	12,500	Support of research activities
(74) Geisinger Health System 100 North Academy Avenue Danville,PA17822	23-1995911	501(c)(3)	250,306	Support of research activities
(75) Geneva Foundation The 917 Pacific Ave Suite 600 Tacoma,WA98402	91-1593913	501(c)(3)	19,876	Support of research activities
(76) Georgia State University Research Foundation Inc 30 Courtland St NE Ste 217 Atlanta,GA30303	58-1845423	501(c)(3)	112,749	Support of research activities
(77) Georgia Tech Research Institute 505 Tenth St Atlanta,GA30332	58-0603146	501(c)(3)	412,057	Support of research activities
(78) GFK Custom Research LLC 420 Lower Wabash Ave Chicago,IL60611	36-2948619		492,653	Support of research activities
(79) H Lee Moffitt Cancer Center & Research Institute 12902 Magnolia Ave Tampa,FL33612	59-2451713	501(c)(3)	244,488	Support of research activities
(80) Habitat For Humanity Lake County IL INC 315 N Martin Luther King Jr Ave Waukegan,IL60085	36-3659288	501(c)(3)	9,600	Charitable fundraising conducted by student organization
(81) Harvard University Massachusetts Hall Cambridge,MA02138	04-2103580	501(c)(3)	1,352,926	Support of research activities
(82) Health Research Inc Roswell Park Cancer Institute Division Elm Carlton Sts Buffalo,NY14263	14-1402155	501(c)(3)	199,055	Support of research activities
(83) Heartland Health Outreach 2200 W Touhy Avenue Chicago,IL60645	36-3775696	501(c)(3)	23,456	Support of research activities
(84) Hektoen Institute for Medical Research 2240 W Ogden Ave Chicago,IL60612	36-2244897	501(c)(3)	486,652	Support of research activities
(85) Henry M Jackson Foundation for the Advancement of Military Medicine 6720-A Rockledge Dr Bethesda,MD20817	52-1317896	501(c)(3)	146,327	Support of research activities
(86) Hoosier Cancer Research Network 351 W 10th St Suite 330 Indianapolis,IN46202	26-0303542	501(c)(3)	26,902	Support of research activities
(87) Horizon Research Inc 326 Cloister Ct Chapel Hill,NC27514	56-1550276		44,225	Support of research activities
(88) Indiana University Purdue University Indianapolis 420 University Blvd Indianapolis,IN46202	35-6001673	115	174,261	Support of research activities
(89) Inquire Learning LLC 2625 Weston Rd Weston,FL33331	26-0733745		97,888	Support of research activities
(90) Institute for Safe Medication Practices 200 Lakeside Drive Suite 200 Horsham,PA19044	23-2757559	501(c)(3)	13,733	Support of research activities
(91) J Craig Venter Institute 9704 Medical Center Drive Rockville,MD20850	52-1842938	501(c)(3)	517,393	Support of research activities
(92) Johns Hopkins University 1101 E 33rd St Baltimore,MD21210	52-0595110	501(c)(3)	560,135	Support of research activities
(93) Juvenile Protective Association 1707 N Halstead St Chicago,IL60614	36-2167765	501(c)(3)	25,000	Support of charitable community organization
(94) Kaiser Foundation Research Institute 3800 N Interstate Ave Portland,OR97227	94-1105628	501(c)(3)	452,827	Support of research activities
(95) Launch U (Chicago Professionals for Youth Organization) 416 W Ontario St Chicago,IL60654	20-3375570	501(c)(3)	27,221	Charitable fundraising conducted by student organization
(96) Les Turner ALS Foundation 5550 W Touhy Avenue Suite 302 Skokie,IL60077	36-2916466	501(c)(3)	10,000	Support of research activities
(97) Louisiana State University 3848 W Lakeshore Dr Baton Rouge,LA70808	72-6087770	115	69,502	Support of research activities
(98) Loyola University Chicago 1032 W Sheridan Rd Chicago,IL60660	36-1408475	501(c)(3)	66,797	Support of research activities
(99) Lynn Sage Cancer Research Foundation 251 E Huron St Chicago,IL60611	36-3727715	501(c)(3)	10,000	Support of research activities
(100) Lyric Opera of Chicago 20 North Wacker Drive Chicago,IL60606	36-6008929	501(c)(3)	22,500	Support of charitable community organization
(101) Magee-Womens Research Institute & Foundation 3339 Ward St Pittsburgh,PA15132	25-1462312	501(c)(3)	414,291	Support of research activities
(102) Massachusetts General Hospital 55 Fruit St Boston,MA02114	04-1564655	501(c)(3)	399,539	Support of research activities
(103) Massachusetts Institute of Technology 77 Massachusetts Ave Cambridge,MA02142	04-2103594	501(c)(3)	112,663	Support of research activities
(104) Materials & Electrochemical Research Corporation 7960 South Kolb Road Tucson,AZ85706	86-0530946		18,437	Support of research activities
(105) Mayo Clinic Florida 4500 San Pablo Rd Jacksonville,FL32224	59-3337028	501(c)(3)	63,191	Support of research activities
(106) Mayo Clinic Rochester 200 First St Rochester,MN55905	41-6011702	501(c)(3)	72,987	Support of research activities
(107) Mayo Clinic Scottsdale 13400 East Shea Blvd Scottsdale,AZ85259	86-0800150	501(c)(3)	170,666	Support of research activities
(108) McGaw YMCA 1420 Maple Ave Evanston,IL60201	36-2169194	501(c)(3)	34,733	Support of research activities
(109) Medical College of Wisconsin 8701 Watertown Plank Rd Milwaukee,WI53226	39-0806261	501(c)(3)	86,762	Support of research activities
(110) Medical University of South Carolina 179 Ashley Ave Charleston,SC29425	57-6000722	115	121,587	Support of research activities
(111) Memorial Sloan-Kettering Cancer Center 1275 York Avenue New York,NY10065	13-1624182	501(c)(3)	190,518	Support of research activities
(112) Mercy General Hospital 4001 J Street Sacramento,CA95819	94-1196203	501(c)(3)	44,300	Support of research activities
(113) Mercy Hospital & Medical Center 2525 S Michigan Ave Chicago,IL60616	36-2170152	501(c)(3)	73,715	Support of research activities
(114) Methodist Hospital Research Institute 6670 Bertner St Houston,TX77030	87-0721923	501(c)(3)	44,497	Support of research activities
(115) Metropolitan Asian Family Services Inc 7541 N Western Avenue Chicago,IL60645	36-3925432	501(c)(3)	24,803	Support of research activities
(116) Metropolitan Chicago Breast Cancer Task Force 1645 W Jackson Blvd Chicago,IL60612	26-2264895	501(c)(3)	11,324	Support of research activities
(117) Michigan State University 113 Angell Bldg East Lansing,MI48824	38-6005984	115	357,724	Support of research activities
(118) Midwestern University 555 31st St Downers Grove,IL60515	36-3377698	501(c)(3)	5,333	Support of research activities
(119) Millennium Park Inc DT 111 S Wacker Drive Chicago,IL60601	36-4244167	501(c)(3)	10,000	Support of charitable community organization
(120) Mind Research Network The 1101 Yale Blvd NE Albuquerque,NM87106	85-0457562	501(c)(3)	64,172	Support of research activities
(121) Missouri University of Science & Technology 300 W 12th St 202 Centennial Hall Rolla,MO65401	43-6003859	115	28,863	Support of research activities
(122) Montana State University 309 Montana Hall Bozeman,MT59717	81-6010045	115	145,207	Support of research activities
(123) Mount Sinai Beth Israel First Ave at 16th St New York,NY10003	13-5564934	501(c)(3)	11,441	Support of research activities
(124) Mount Sinai Hospital One Gustave L Levy Pl New York,NY10029	13-1624096	501(c)(3)	23,089	Support of research activities
(125) Mount Sinai School of Medicine One Gustave L Levy Pl New York,NY10029	13-6171197	501(c)(3)	90,441	Support of research activities
(126) MRIGlobal 425 Volker Boulevard Kansas City,MO64110	44-0545878	501(c)(3)	167,028	Support of research activities
(127) National Kidney Foundation of Illinois 215 W Illinois St Ste 1C Chicago,IL60654	36-6009226	501(c)(3)	7,568	Support of research activities
(128) National Opinion Research Center 1155 E 60th Street Chicago,IL60637	36-2167808	501(c)(3)	29,136	Support of research activities
(129) National Patient Safety Foundation 268 Summer St 6th Floor Boston,MA02210	36-7166993	501(c)(3)	21,634	Support of research activities
(130) National Resources Defense Council 40 W 20th Street New York,NY10011	13-2654926	501(c)(3)	6,000	Support of charitable community organization
(131) Near North Health Service Corporation 1276 N Clybourn Ave Chicago,IL60610	36-3197647	501(c)(3)	41,635	Support of research activities
(132) New York University 70 Washington Square South New York,NY10012	13-5562308	501(c)(3)	195,689	Support of research activities
(133) North Country Healthcare Inc 2920 N Fourth St Flagstaff,AZ86004	86-0663432	501(c)(3)	49,742	Support of research activities
(134) Northeastern Illinois University 5500 North St Louis Ave Chicago,IL60625	36-6009515	115	49,642	Support of research activities
(135) NorthShore University HealthSystem Research Institute 2650 Ridge Ave Evanston,IL60201	36-4191793	501(c)(3)	932,348	Support of research activities
(136) Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago,IL60611	36-3097297	501(c)(3)	697,034	Support of research activities
(137) Northwestern Memorial Hospital 251 E Huron St Chicago,IL60611	37-0960170	501(c)(3)	2,270,343	Support of research activities
(138) Northwestern University Settlement House (Evanston Board) 1400 West Augusta Blvd Chicago,IL60642	36-2167818	501(c)(3)	25,000	Support of charitable community organization
(139) Norton Neuroscience Institute 210 E Gray St 1105 Louisville,KY40202	31-0914919		67,956	Support of research activities
(140) Ohio State University 154 W 12th Ave Columbus,OH43210	31-6025986	115	45,990	Support of research activities
(141) Oklahoma Medical Research Foundation 825 NE 13th Street Oklahoma City,OK73104	73-0580274	501(c)(3)	30,767	Support of research activities
(142) Oklahoma State University 113 Student Union Stillwater,OK74078	73-6017987	115	404,953	Support of research activities
(143) Optimum Therapeutics LLC 9363 Towne Center Drive San Diego,CA92121	06-1595427		7,670	Support of research activities
(144) Oregon Health & Science University 3181 Southwest Sam Jackson Park Rd Portland,OR97239	93-1176109	115	49,256	Support of research activities
(145) Orlando Regional Medical Center 1414 Kuhl Ave Orlando,FL32806	59-1726273	501(c)(3)	19,720	Support of research activities
(146) Battelle Memorial Institute (DBA Pacific NW Natl Lab) 902 Battelle Blvd Richland,WA99354	31-4379427	501(c)(3)	25,000	Support of research activities
(147) Palo Alto Veterans Institute for Research and Education Inc 3801 Miranda Ave Bldg 101 Room A2-210 Palo Alto,CA94304	77-0207331	501(c)(3)	25,666	Support of research activities
(148) Pennsylvania State University 308 Old Main University Park,PA16802	24-6000376	115	541,857	Support of research activities
(149) Pervasive Health Inc 1 N Lasalle St Suite 1825 Chicago,IL60602	45-5186521		126,000	Support of research activities
(150) Piedmont Heart Institute Inc 1968 Peachtree Road NW BLDG 95 Suite 3025 Atlanta,GA30309	26-3553500	501(c)(3)	7,120	Support of research activities
(151) Protabit LLC 251 Lake Ave Suite 910 Pasadena,CA91101	29-3904491		59,928	Support of research activities
(152) Providence Health Center 6901 Medical Parkway Suite 301A Waco,TX76712	74-2696970	501(c)(3)	5,565	Support of research activities
(153) Purdue University Office of Administration West Lafayette,IN47906	35-6002041	115	8,807	Support of research activities
(154) Queen's Medical Center The 1301 Punchbowl St Honolulu,HI96813	99-0073524	501(c)(3)	6,500	Support of research activities
(155) QuesTek Innovations LLC 1820 Ridge Avenue Evanston,IL60201	36-4116425		116,027	Support of research activities
(156) Ravinia Festival 418 Sheridan Road Highland Park,IL60035	36-6002273	501(c)(3)	12,000	Support of charitable community organization
(157) Raytheon BBN Technologies 10 Moulton Atreet Cambridge,MA02138	41-2126829		482,141	Support of research activities
(158) Rehabilitation Institute Research Corporation 345 E Superior St Chicago,IL60611	36-3728711	501(c)(3)	160,712	Support of research activities
(159) Research Foundation of the City University of New York 230 West 41st Street 7th Floor New York,NY10036	13-1988190	501(c)(3)	147,956	Support of research activities
(160) Research Foundation SUNY 35 State Street Albany,NY12207	14-1368361	501(c)(3)	69,803	Support of research activities
(161) Research Triangle Institute 12 Davis Dr Research Triangle Park,NC27709	56-0686338	501(c)(3)	53,890	Support of research activities
(162) Rhode Island Hospital 593 Eddy St Providence,RI02903	05-0258954	501(c)(3)	11,465	Support of research activities
(163) Rice University 6100 Main St Houston,TX77005	74-1109620	501(c)(3)	7,855	Support of research activities
(164) Rockefeller University 1230 York Avenue New York,NY10065	13-1624158	501(c)(3)	372,444	Support of research activities
(165) Rush University Medical Center 1653 W Congress Parkway Chicago,IL60612	36-2174823	501(c)(3)	996,942	Support of research activities
(166) Saint Louis University One Grand Blvd St Louis,MO63103	43-0654872	501(c)(3)	79,216	Support of research activities
(167) Salk Institute 10010 North Torrey Pines Road La Jolla,CA92037	95-2160097	501(c)(3)	63,945	Support of research activities
(168) Sanford-Burnham Medical Research Institute 10901 North Torrey Pines Rd La Jolla,CA92037	51-0197108	501(c)(3)	294,542	Support of research activities
(169) Scripps Health 4275 Campus Point Ct San Diego,CA92121	95-1684089	501(c)(3)	54,302	Support of research activities
(170) Scripps Research Institute 10550 North Torrey Pines Road La Jolla,CA92037	33-0435954	501(c)(3)	985,042	Support of research activities
(171) Siena College 515 Loudon Rd Loudonville,NY12211	14-1338498	501(c)(3)	23,018	Support of research activities
(172) Society for Research on Educational Effectiveness 2040 Sheridan Rd Evanston,IL60208	26-4739791	501(c)(3)	460,861	Support of research activities
(173) Society of Hospital Medicine 1500 Spring Garden Ste 501 Philadelphia,PA19130	23-3057353	501(c)(3)	328,631	Support of research activities
(174) South Carolina Research Foundation 901 Sumter St Byrnes Bldg Ste 511 Columbia,SC29208	57-0967350	501(c)(3)	10,843	Support of research activities
(175) SRI International 201 Washington Rd Princeton,NJ08540	94-1160950	501(c)(3)	133,294	Support of research activities
(176) St Joseph's Hospital and Medical Center 350 W Thomas Road Phoenix,AZ85013	72-1561134	501(c)(3)	21,324	Support of research activities
(177) Stanford University 295 Galvez St Stanford,CA94305	94-1156365	501(c)(3)	981,481	Support of research activities
(178) SUPPLIES FOR DREAMS INC PO Box 8130 Evanston,IL60204	32-0270714	501(c)(3)	13,475	Charitable fundraising conducted by student organization
(179) TEAM JOSEPH 3050 Union Lake RdSuite 8F Commerce Township,MI48382	80-0613664	501(c)(3)	946,523	Charitable fundraising conducted by student organization
(180) Temple University 1801 N Broad Street Philadelphia,PA19122	23-1365971	501(c)(3)	67,750	Support of research activities
(181) Texas A&M Research Foundation 400 Harvey Mitchell Pkwy South Ste 300 College Station,TX77845	74-1238434	501(c)(3)	14,135	Support of research activities
(182) Texas Oncology PA 12221 Merit Drive Dallas,TX75251	75-2705785		14,725	Support of research activities
(183) THE SHANTI BHAVAN CHILDREN'S PROJECT 121 Hawkins Place Boonton,NJ07005	26-4188445	501(c)(3)	24,100	Charitable fundraising conducted by student organization
(184) Thomas Jefferson University 1020 Walnut St Philadelphia,PA19107	23-1352651	501(c)(3)	15,850	Support of research activities
(185) Tufts University Tufts University Medford,MA02155	04-2103634	501(c)(3)	61,904	Support of research activities
(186) Tulane University 6823 St Charles Ave New Orleans,LA70118	72-0423889	501(c)(3)	830,451	Support of research activities
(187) United Way of Metropolitan Chicago 560 W Lake St Chicago,IL60604	36-0200478	501(c)(3)	15,000	Support of charitable community organization
(188) UnitedHealth Group Inc PO Box 1459 Minneapolis,MN55440	41-1289245		107,823	Support of research activities
(189) University of Alabama at Birmingham 1530 3rd Ave South Birmingham,AL35294	63-6005396	115	53,746	Support of research activities
(190) University of Arizona 617 N Santa Rita Ave Tucson,AZ85721	74-2652689	115	37,391	Support of research activities
(191) University of California Berkeley 200 California Hall Berkeley,CA94720	94-6002123	115	68,249	Support of research activities
(192) University of California Davis One Shields Ave Davis,CA95616	94-6036494	115	1,232,169	Support of research activities
(193) University of California Irvine Office of Administration Irvine,CA92697	95-2226406	115	409,151	Support of research activities
(194) University of California Los Angeles Hillgard Ave Los Angeles,CA90095	95-6006143	115	370,085	Support of research activities
(195) University of California San Diego 9500 Gilman Dr La Jolla,CA92093	95-6006144	115	58,835	Support of research activities
(196) University of California San Francisco 505 Parnassus Ave San Francisco,CA94143	56-6001393	115	269,489	Support of research activities
(197) University of Chicago 5801 S Ellis Ave Chicago,IL60637	36-2177139	501(c)(3)	8,254,632	Support of research activities
(198) University of Colorado at Boulder 914 Broadway St Boulder,CO80302	84-6000555	115	141,595	Support of research activities
(199) University of Connecticut 438 Whitney Rd Storrs,CT06269	06-0772160	115	271,704	Support of research activities
(200) University of Connecticut Health Center 263 Farmington Ave Farmington,CT06030	52-1725543	115	18,255	Support of research activities
(201) University of Florida 201 Criser Hall Gainesville,FL32611	59-6002052	115	20,116	Support of research activities
(202) University of Illinois at Urbana-Champaign 601 E John St Champaign,IL61820	37-6000511	115	4,153,813	Support of research activities
(203) University of Kentucky 100 Funkhouser Bldg Lexington,KY40506	61-6001218	115	52,206	Support of research activities
(204) University of Maryland 2108 Mitchell Bldg College Park,MD20742	52-6002033	115	27,088	Support of research activities
(205) University of Massachusetts Amherst Office of Administration Amherst,MA01003	04-3167352	115	154,330	Support of research activities
(206) University of Miami 1252 Memorial Drive Coral Gables,FL33146	59-0624458	501(c)(3)	132,271	Support of research activities
(207) University of Michigan 515 E Jefferson Ann Arbor,MI48109	38-6000134	115	1,405,876	Support of research activities
(208) University of Minnesota 101 Pleasant St Minneapolis,MN55455	41-6007513	115	768,754	Support of research activities
(209) University of Nebraska-Lincoln University of Nebraska-Lincoln Lincoln,NE68588	47-0049123	115	635,728	Support of research activities
(210) University of North Carolina at Chapel Hill 9201 University City Blvd Charlotte,NC28223	56-6000642	115	449,024	Support of research activities
(211) University of Oregon 1585 E 13th Avenue Eugene,OR97403	48-1278531	115	10,507	Support of research activities
(212) University of Pennsylvania 3451 Walnut Street Philadelphia,PA19104	23-1352685	501(c)(3)	380,899	Support of research activities
(213) University of Pittsburgh 4227 Fifth Ave Pittsburgh,PA15260	25-0965591	501(c)(3)	339,753	Support of research activities
(214) University of Southern California 1540 Alcazar St Los Angeles,CA90089	95-1642394	501(c)(3)	498,005	Support of research activities
(215) University of Tennessee Knoxville 527 Andy Holt Tower Knoxville,TN37996	62-6001636	115	67,684	Support of research activities
(216) University of Texas at Austin 2100 San Jacinto Blvd Austin,TX78712	74-6000203	115	352,160	Support of research activities
(217) University of Texas at El Paso 500 W University Ave El Paso,TX79968	74-6000813	115	65,072	Support of research activities
(218) University of Texas at San Antonio One UTSA Circle San Antonio,TX78249	74-1717115	115	491,370	Support of research activities
(219) University of Texas M D Anderson Cancer Center 1515 Holcombe Blvd Houston,TX77030	76-0273984	115	206,481	Support of research activities
(220) University of Texas Southwestern Medical Center 5323 Harry Hines Blvd Dallas,TX75390	75-6002868	115	178,415	Support of research activities
(221) University of Texas Arlington 701 S Nedderman Drive Arlington,TX76019	75-6000121	115	122,357	Support of research activities
(222) University of Utah 201 S 1460 E Salt Lake City,UT84112	87-6000525	115	110,476	Support of research activities
(223) University of Virginia 1 College Park Wise,VA24293	54-6001796	115	540,443	Support of research activities
(224) University of Washington 1410 NE Campus Parkway Seattle,WA98195	91-6001537	115	770,379	Support of research activities
(225) University of Wisconsin-Madison 716 Langdon St Madison Madison,WI53706	39-1805963	115	1,306,583	Support of research activities
(226) UPMC Hamot 201 State Street Erie,PA16550	25-0965387	501(c)(3)	19,550	Support of research activities
(227) Urban Initiatives 650 W Lake Street Chicago,IL60661	83-0367521	501(c)(3)	14,000	Support of research activities
(228) UT-Battelle LLC Oak Ridge National Laboratory 1 Bethel Valley Rd Oak Ridge,TN37830	62-1788235	501(c)(3)	50,000	Support of research activities
(229) Vanderbilt University Office of Administration Nashville,TN37240	62-0476822	501(c)(3)	444,143	Support of research activities
(230) Virginia Commonwealth University PO BOX 843035 Richmond,VA23284	54-0757884	115	86,733	Support of research activities
(231) Wake Forest University School of Medicine Medical Center Blvd WinstonSalem,NC27157	56-0532138	501(c)(3)	29,739	Support of research activities
(232) Washington State University NE Wilson Road Pullman,WA99164	91-6001108	501(c)(3)	50,033	Support of research activities
(233) Washington University in St Louis One Brookings Dr St Louis,MO63130	43-0653611	501(c)(3)	381,757	Support of research activities
(234) Wayne State University PO Box 02759 Detroit,MI48202	38-3555142	501(c)(3)	34,849	Support of research activities
(235) Weill Medical College of Cornell University 445 E 69th Street New York,NY10021	13-1623978	501(c)(3)	8,500	Support of research activities
(236) West Virginia University Research Corporation 886 Chestnut Ridge Rd Suite 302 Morgantown,WV26506	55-0665758	501(c)(3)	13,750	Support of research activities
(237) Westside Institute for Science and Education 820 S Damon Ave Chicago,IL60612	36-3712391	501(c)(3)	118,925	Support of research activities
(238) Wright State University 3640 Colonel Glenn Hwy Dayton,OH45435	31-0732831	115	45,146	Support of research activities
(239) Writers' Theatre 321 Park Avenue Glencoe,IL60022	36-3847280	501(c)(3)	102,000	Support of charitable community organization
(240) Yale University 140 Prospect St New Haven,CT06511	06-0646973	501(c)(3)	450,911	Support of research activities
(241) YMCA of Metropolitan Chicago 824 N Hamlin Chicago,IL60651	36-2179782	501(c)(3)	32,895	Support of research activities
(242) YMCA of the USA 101 N Wacker Drive Suite 1600 Chicago,IL60606	36-3258696	501(c)(3)	5,205	Support of research activities
(243) YWCA Evanston 1215 Church Street Evanston,IL60201	36-2193618	501(c)(3)	11,000	Support of charitable community organization
(244) Cabrini Green Legal Aid 740 N Milwaukee Chicago,IL60642	36-2775706	501(c)(3)	55,212	Support of charitable community organization
(245) East Bay Community Law Center 2921 Adeline Street Berkeley,CA94703	94-3042565	501(c)(3)	50,000	Support of charitable community organization
(246) Family Violence Prevention Services Inc 7911 Broadway San Antonio,TX78209	74-1994151	501(c)(3)	50,000	Support of charitable community organization
(247) TeamChild 1225 S Weller Street Ste 420 Seattle,WA98144	91-1930194	501(c)(3)	57,200	Support of charitable community organization

Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image

230

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

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
(1) Student grants, scholarships, stipends, and fellowships are financial aid that can be used towards any type of educational related costs.	11733	284,298,362	0
(2) Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event.	281	475,848	0

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

Part I, Line 2:

Grants given to support of charitable community organizations. Such grants are extended only for charitable purposes to organizations that are exempt under Code Section 501(c)(3). After qualifications for the grant are met and the grant is disbursed to the charitable organization there is no subsequent monitoring by the University. Grants or other assistance are awarded to organizations or entities in the U.S. pursuant to the University policies and procedures for all grant subawards. Such subawards are monitored through the University's Office for Sponsored Research (OSR) and the University's Office of Accounting Services for Research and Sponsored Programs (ASRSP). All subaward documentation including purchase orders, related charges and invoices are reviewed and monitored by ASRSP and confirmed with the principal investigator. The principal investigator must certify that the subaward costs are in accordance with OMB A-21 cost principles; also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance. If the information is not furnished to ASRSP, payment may be withheld. Grants and other assistance are awarded to students on the basis of financial need following University policies developed to meet regulatory requirements (federal methodology) and guided by the College Board (institutional methodology). Merit scholarships are awarded based upon talent (eg, academic, music, and athletic). All of these awarded grants are allowed to be used by the students towards any type of costs; no subsequent monitoring is required.

Schedule I

Part III: Prizes and awards reflect prizes and awards extended to non-employees in recognition of an accomplishment, activity, or event. Prizes and awards given to employees are included as compensation and reported on an employee's Form W-2.

Schedule I (Form 990) 2013

Additional Data

Software ID:
Software Version:

- TIN:

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

Northwestern University

Employer identification number

36-2167817

Part I

Questions Regarding Compensation

Yes

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.

First-class or charter travel Housing allowance or residence for personal use

Travel for companions Payments for business use of personal residence

Tax idemnification and gross-up payments Health or social club dues or initiation fees

Discretionary spending account Personal services (e.g., maid, chauffeur, chef)

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....

Yes

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? ..

Yes

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.

Compensation committee Written employment contract

Independent compensation consultant Compensation survey or study

Form 990 of other organizations Approval by the board or compensation committee

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:

Receive a severance payment or change-of-control payment? ................

Yes

Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........

Yes

Participate in, or receive payment from, an equity-based compensation arrangement? .........

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.

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:

The organization? ...........................

Any related organization? .........................

If "Yes," to line 5a or 5b, describe in Part III.

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:

The organization? ...........................

Any related organization? .........................

If "Yes," to line 6a or 6b, describe in Part III.

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 ............

Yes

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 .............................

If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................

For Paperwork Reduction Act Notice, see the Instructions for Form 990.

Cat. No. 50053T

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
(A) Name and Title		(i) Base compensation	(ii) Bonus & incentive compensation	(iii) Other reportable 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
(1)Morton O SchapiroPresident	(i) (ii)	883,747 0	75,000 0	70,689 0	233,833 0	181,849 0	1,445,118 0	0 0
(2)Daniel I LinzerProvost	(i) (ii)	563,951 0	30,000 0	14,134 0	175,500 0	21,388 0	804,973 0	0 0
(3)Eugene S SunshineSenior VP for Business	(i) (ii)	649,823 0	25,000 0	146,198 0	72,167 0	21,251 0	914,439 0	0 0
(4)Thomas G ClineVP and General Counsel	(i) (ii)	479,319 0	25,000 0	18,532 0	72,167 0	29,588 0	624,606 0	0 0
(5)Alan K CubbageVP University Relations	(i) (ii)	239,583 0	0 0	22,184 0	25,467 0	840 0	288,074 0	0 0
(6)Marilyn McCoyVP for Administration	(i) (ii)	278,030 0	0 0	18,992 0	25,500 0	15,945 0	338,467 0	0 0
(7)William H McLeanVP and Chief Investment Of	(i) (ii)	710,768 0	1,546,977 0	204,652 0	1,107,304 0	27,011 0	3,596,712 0	511,668 0
(8)Robert E McQuinnVP for Development	(i) (ii)	424,880 0	30,000 0	60,902 0	52,167 0	28,268 0	596,217 0	0 0
(9)Eric G NeilsonVP Medical Affairs	(i) (ii)	500,546 0	189,500 0	7,670 0	16,575 0	4,217 0	718,508 0	0 0
(10)James J PhillipsVP Athletics	(i) (ii)	559,330 0	80,650 0	637,036 0	66,833 0	19,275 0	1,363,124 0	60,000 0
(11)Sean ReynoldsVP Information Technology	(i) (ii)	380,835 0	0 0	47,341 0	25,500 0	6,190 0	459,866 0	0 0
(12)Patricia Telles-IrvinVP Student Affairs	(i) (ii)	324,485 0	25,000 0	28,032 0	25,500 0	21,498 0	424,515 0	0 0
(13)Joseph T Walsh JrVP for Research	(i) (ii)	302,234 0	0 0	18,052 0	25,500 0	49,997 0	395,783 0	0 0
(14)Ronald NaylerAssoc.VP Facilities Mgmnt	(i) (ii)	322,054 0	10,000 0	19,548 0	25,500 0	14,757 0	391,859 0	0 0
(15)Patrick W Fitzgerald IIHead Coach	(i) (ii)	1,968,080 0	200,000 0	271,492 0	25,500 0	25,786 0	2,490,858 0	0 0
(16)William D CarmodyFormer Head Coach	(i) (ii)	189,120 0	0 0	1,411,149 0	25,500 0	25,951 0	1,651,720 0	0 0
(17)Christopher R CollinsHead Coach	(i) (ii)	888,588 0	0 0	40,832 0	0 0	19,019 0	948,439 0	0 0
(18)Peter A BelytschkoInvestment Manager	(i) (ii)	344,040 0	586,968 0	17,740 0	424,181 0	6,490 0	1,379,419 0	0 0
(19)John A CapelliInvestment Manager	(i) (ii)	324,854 0	538,466 0	18,528 0	385,466 0	28,090 0	1,295,404 0	0 0
(20)Morteza A RahimiFormer VP Information Tech	(i) (ii)	156,234 0	0 0	2,361 0	16,500 0	16,372 0	191,467 0	0 0
(21)Jeffrey GlassrothFormer Interim VP Medical	(i) (ii)	133,126 0	0 0	3,810 0	15,417 0	9,866 0	162,219 0	0 0

Schedule J (Form 990) 2013

Page 3

Part III

Supplemental Information

Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II.
Also complete this part for any additional information.

Return Reference	Explanation
Part I, Line 1a	Charter travel: Charter airplane travel was provided to four listed persons as an annual round-trip travel service to attend the annual Bowl game, where the University student football team competes. Pursuant to written University policy, the benefit was treated as a business expense and was not treated as taxable compensation. Charter airplane travel was provided to four listed persons and was treated as a business expense and was not treated as taxable compensation. Travel for companions: Spouses traveled with four listed persons to the annual Bowl game. Pursuant to written University policy, the benefit was treated as a business expense and was not treated as taxable compensation. Family members accompanied four listed person to the annual Bowl game and such costs were either reimbursed by the listed person or imputed to taxable income following the event. The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Spouses accompanied four listed persons for travel. Spousal travel was treated as taxable compensation for one listed person. Tax gross-up payments: Seven listed persons received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation. Housing allowance or residence for personal use: The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Five listed persons were provided with housing allowances and the amounts were treated as taxable compensation. Health or social club dues or initiation fees: The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. Six listed persons received reimbursement for social club initiation fees and/or dues. The club initiation fees were treated as taxable compensation. The club dues were treated as taxable compensation for three listed persons. Three listed persons received airline club memberships. One airline club membership was treated as taxable compensation for one listed person. Personal Services: In connection with the University provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit is apportioned between personal living quarters and public areas of the house, and the cleaning services associated with the personal living quarters are treated as taxable compensation. Nominal personal chauffeur services were provided to the President and the value of the benefit was treated as taxable compensation.
Part I, Lines 4a-b	Former coach, W. Carmody, received one million dollars in connection with separation and payments ceased after April 2013. The following participated in a 457(f) nonqualified retirement plan and the amounts are subject to substantial risk of forfeiture and vest after a number of years. Name Amount Contributed Morton O. Schapiro $208,333 Daniel I. Linzer $150,000 Eugene S. Sunshine $46,667 Thomas G. Cline $46,667 Robert E. McQuinn $26,667 James J. Phillips $41,333 William H. McLean $1,081,084(short-term deferral) Peter A. Belytschko $398,681(short-term deferral) John A. Capelli $359,966(short-term deferral) Name Amount Paid James J. Phillips $345,430 William H. McLean $573,684 Peter A. Belytschko $229,206 John A. Capelli $216,802 William D. Carmody $338,525
Part I, Line 7	The President, seven officers, and one key employee received a non-fixed payment related to a recognition bonus. One officer was offered non-fixed payment related to travel, domestic services, apparel and tickets.

Schedule J (Form 990) 2013

Additional Data

Software ID:
Software Version:

- TIN:

Schedule K
(Form 990)

Department of the Treasury
Internal Revenue Service

Supplemental Information on Tax Exempt Bonds

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.
SchKMediumBullet

Information 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
Northwestern University

Employer identification number
36-2167817

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
(a) Issuer name		(b) Issuer EIN	(c) CUSIP #	(d) Date issued	(e) Issue price	(f) Description of purpose	Yes	No	Yes	No	Yes	No
A	Illinois Educational Facilities Authority	52-1297563	4520018K9	10-29-2003	183,530,698	Refund bonds issued 5/13/97; acquire, construct or renovate Univ. facilities		X		X		X
B	Illinois Finance Authority	86-1091967	45200BFC7	09-09-2004	135,800,000	Acquire, construct or renovate University facilities		X		X		X
C	Illinois Finance Authority	86-1091967	45200BH50	10-03-2006	150,740,726	Refund bonds issued 12/3/97		X		X		X
D	Illinois Finance Authority	86-1091967	45200FKZ1	06-25-2008	125,000,000	Acquire, construct or renovate University facilities		X		X		X

Part II

Proceeds

	A		B		C		D
	1 Amount of bonds retired . . . . . . . . . . . . . .	185,010,000
2 Amount of bonds legally defeased . . . . . . . . . . .
3 Total proceeds of issue . . . . . . . . . . . . . .	194,022,795		144,677,217		150,740,726		126,815,680
4 Gross proceeds in reserve funds . . . . . . . . . . . .
5 Capitalized interest from proceeds . . . . . . . . . . .
6 Proceeds in refunding escrows . . . . . . . . . . . .
7 Issuance costs from proceeds . . . . . . . . . . . .	1,092,348		1,039,400		1,518,234		1,250,000
8 Credit enhancement from proceeds . . . . . . . . . . .
9 Working capital expenditures from proceeds . . . . . . . . .
10 Capital expenditures from proceeds . . . . . . . . . . .	158,297,067		143,637,817				125,565,680
11 Other spent proceeds . . . . . . . . . . . . . .
12 Other unspent proceeds . . . . . . . . . . . . . .
13 Year of substantial completion . . . . . . . . . . . .	2008		2008				2011
	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

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 . .	0 %		0 %		0 %		0 %
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . .	0 %		0 %		0 %		0 %
6 Total of lines 4 and 5 . . . . . . . . . . . . .	0 %		0 %		0 %		0 %
7 Does the bond issue meet the private security or payment test? . . . . .		X		X		X		X
8a Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?. . . . . . . . . . . . . . . . .		X		X		X		X
b If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of.
c If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . .
9 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under Regulations sections 1.141-12 and 1.145-2? . . . . . . .	X		X		X		X

Part IV

Arbitrage

	A		B		C		D
	Yes	No	Yes	No	Yes	No	Yes	No
1 Has the issuer filed Form 8038-T? . . . . .		X		X		X		X
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . .	X		X		X			X
b Exception to rebate? . . . . . . . .		X		X		X		X
c No rebate due? . . . . . . . .		X		X		X	X
If you checked "No rebate due" in line 2c, provide in Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . .		X	X			X	X
4a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue?		X	X			X	X
b Name of provider . . . . . . . . .	Morgan Stanley and other banks		Morgan Stanley and other banks				other banks other banks
c Term of hedge . . . . . . . . . .	9.000000000000						9.000000000000
d Was the hedge superintegrated? . . . .		X		X				X
e Was the hedge terminated? . . . . . .	X		X					X

Schedule K (Form 990) 2013

Page 3

Part IV

Arbitrage (Continued)

	A		B		C		D
	Yes	No	Yes	No	Yes	No	Yes	No
5a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . . . . .		X		X		X		X
b Name of provider . . . . . . . . .
c Term of GIC . . . . . . . . . .
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . .
6 Were any gross proceeds invested beyond an available temporary period? . . . . . . . .		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
Date Rebate Computation Performed	Issuer Name: Illinois Finance Authority Date the Rebate Computation was Performed: 06/25/2013
Part I, column (c)	The following bond issuances are associated with additional CUSIP numbers as noted: (B)IFA-Series 2004 CUSIP #45200BFD5; (D)IFA-Series 2008 CUSIP #45200FLA5 and #45200FLB3.
Part II, line 1	IEFA-Series 2003 Fixed Rate Revenue Bonds were retired December 1, 2013; the University used $185,010,000 of proceeds of the Taxable-Series 2013 Fixed Rate Revenue Bonds issued October 21, 2013 in the amount of $586,000,000.
Part II, line 3	The difference between issue price and proceeds of bonds (A), (B), and (D)are due to investment income earned on unspent proceeds of IEFA-Series 2003, IFA-Series 2004, and IFA-Series 2006 bonds, respectively.
Part III, line 3b	The University engages bond counsel and performs a review of management or services contracts at the time of any new bond issuances, generally every two years. At that time all existing bond issuances and private use are re-examined and re-documented. The University monitors changes in private use on an ongoing basis internally.
Part III, line 3d	The University engages bond counsel and performs a review of research agreements at the time of any new bond issuances, generally every two years. At that time all existing bond issuances and private use are re-examined and re-documented. The University monitors changes in private use on an ongoing basis internally.
Part III, line 4	The University finances acquisition, construction and renovation of University facilities with multiple funding sources including tax exempt bond issues. There is a small amount of monitored private use within the facilities partially funded by bonds; however, such usage was financed from other sources.
Part IV, line 4	On October 10, 2013 the University executed amendments to certain interest-rate swap agreements shortening their maturity date to August 21, 2023 from December 1, 2046, for IFA-Series 2008 bonds. Hedges were terminated for IFA-Series 2004 bonds.
Part IV, line 4b	Hedge providers are Morgan Stanley Capital Services, Bank of America, and JP Morgan for both(B) IFA-Series 2004 and (D)IFA-Series 2008 bonds.
Part IV, line 6	In November 2009 the University filed Form 8038-T for IFA-Series 2006 bonds and disclosed gross proceeds were invested beyond an available temporary period; the University calculated and made a yield reduction payment in the amount of $310,118.

Schedule K (Form 990) 2013

Additional Data

Software ID:
Software Version:

- TIN:

Schedule L
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service

Transactions with Interested Persons

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.
MediumBullet

Information 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

Northwestern University

Employer identification number

36-2167817

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	(c) Description of transaction	(d) Corrected?
1(a) Name of disqualified person	(c) Description of transaction	Yes	No

Enter the amount of tax incurred by organization managers or disqualified persons during the year under section 4958. ........................... Bullet Image

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?
(a) Name of interested person	(b) Relationship with organization	(c) Purpose of loan	To	From	(e)Original principal amount	(f)Balance due	Yes	No	Yes	No	Yes	No
(1) Patrick Fitzgerald II	Employee	Compensation package		X	2,500,000	2,567,080		No	Yes		Yes
(2) Robert McQuinn	Employee	Compensation package		X	130,000	141,178		No	Yes		Yes
(3) Robert McQuinn	Employee	Compensation package		X	50,000	53,731		No	Yes		Yes
(4) James Phillips	Employee	Compensation package		X	1,100,000	966,667		No	Yes		Yes


Total ...... $						3,728,656

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

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?
(a) Name of interested person		(c) Amount of transaction	(d) Description of transaction	Yes	No
(1) Northern Trust	Frederick H. Waddell, Trustee; was serving as a bank director	1,086,463	Bank and investment transaction fees less interest earned from bank		No
(2) Technology Crossover Ventures	Jay C. Hoag, Trustee; partner w/ ownership interest over 5%	5,281,407	Investment in three venture capital funds: Technology Crossover Ventures VI, VIIA and VIII		No
(3) Rndtable Hlthcare Ptnrs	Lester B. Knight, Trustee; was serving as a director	11,421,139	Investment in two private equity funds: Roundtable Healthcare Partners II and III		No
(4) Aon Corporation	Lester B. Knight, Trustee; was serving as a director	3,193,263	Insurance broker		No
(5) Madison Dearborn	John A. Canning, Jr., Trustee; partner w/ ownership interest over 5%	14,978,549	Investment in four private equity funds: Madison Dearborn III, IV, V and VI; and one private investment: MDCP Co-Investors (SP), LP		No
(6) Madison Dearborn	Timothy P. Sullivan, Trustee; was serving as managing director	14,978,549	Investment in four private equity funds: Madison Dearborn III, IV, V and VI; and one private investment: MDCP Co-Investors (SP), LP		No
(7) New Enterprise Associates	Peter J. Barris, Trustee; partner w/ ownership interest over 5%	14,464,560	Investment in seven venture capital funds: NEA VIII, VIIIA, IX, X, XI, XII, and XIV.		No
(8) VWR International Inc	Timothy P. Sullivan, Trustee; was serving as board member	7,243,344	Sale of labratory equipment		No
(9) RCPI Landmark Properties LLC	A. Steven Crown, Trustee; indirect ownership interest over 5%	390,087	Lease of office space		No
(10) JP Morgan Funds	Marilyn McCoy, Officer; was serving as board member	3,228,703	Investment in one fund; Prime Money Market Fund		No
(11) Charlotte Cubbage	Family member of Alan K. Cubbage, Officer	75,767	Employment		No
(12) Jennifer Linzer	Family member of Daniel I. Linzer, Officer	26,279	Employment		No
(13) Kristen Novelline	Family member of William A. Osborn, Trustee	54,878	Employment		No
(14) Emily Martin	Family member of J. Landis Martin, Trustee	26,455	Employment		No

Part V

Supplemental Information
Provide additional information for responses to questions on Schedule L (see instructions).

Return Reference	Explanation
Schedule L, Part IV	Amounts reflected with respect to the business transaction to Technology Crossover Ventures represent return of captial, capital gains and income less private equity fees, expenses and purchases during the tax year.
Schedule L, Part IV	Amounts reflected with respect to the business transaction to Roundtable Healthcare Partners represent return of capital, return of expenses, capital gain and income less private equity fees, expenses and purchases during the tax year.
Schedule L, Part IV	Amounts reflected with respect to the business transaction to Madison Dearborn represent return of capital, capital gains and income less private equity fees, expenses, and purchases during the tax year.
Schedule L, Part IV	Amounts reflected with respect to the business transaction to New Enterprise Associates represent return of capital and capital gains less venture capital purchases during the tax year.
Schedule L, Part IV	Investment of University assets is monitored by an Investment Committee of the Board of Trustees and governed by an Investment Policy, which includes a conflict of interest policy. That policy establishes criteria under which any investments will be made. Among other things, affected Trustees must recuse themselves from any vote related to the investment.
Schedule L, Part IV	Separate from the Investment Policy, a segment of University liquid assets and cash holdings is managed and invested by the Office of Treasury Operations. The amount reflected with respect to JP Morgan Funds represents account market value as of fiscal year end. Officer Marilyn McCoy, who is a board member of JP Morgan Funds, was not involved in the selection of this investment

Schedule L (Form 990 or 990-EZ) 2013

Additional Data

Software ID:
Software Version:

- TIN:

SCHEDULE M
(Form 990)

Department of the Treasury

Internal Revenue Service

Noncash Contributions

Complete 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 image

Information 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

Northwestern University

Employer identification number

36-2167817

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	10	394,458	FMV on date of gift
2 Art—Historical treasures .
3 Art—Fractional interests ..
4 Books and publications ..	X		83,870	FMV on date of gift
5 Clothing and household goods .......	X		9,752	FMV on date of gift
6 Cars and other vehicles ..
7 Boats and planes ....
8 Intellectual property ...
9 Securities—Publicly traded .	X	572	53,498,393	Proceeds from sale
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 ...	X	12	23,566	FMV on date of gift
20 Drugs and medical supplies .
21 Taxidermy ......
22 Historical artifacts ....
23 Scientific specimens ..
24 Archeological artifacts ...
25 Other ( Equip/softwre )	X	10	485,044	FMV on date of gift
26 Other ( Event/tickets )	X	239	215,296	FMV on date of gift
27 Other ( )
28 Other ( )

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 ...

Yes

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

If "Yes," describe the arrangement in Part II.

Does the organization have a gift acceptance policy that requires the review of any non-standard contributions?

Yes

32a

Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash

contributions? ..........................

32a

If "Yes," describe in Part II.

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)

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 (Form 990) (2013)

Additional Data

Software ID:
Software Version:

- TIN:

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

Northwestern University

Employer identification number

36-2167817

Return Reference	Explanation
Form 990, Part VI, Section A, line 1	Executive Committee of the Board of Trustees is comprised of 18 members of the governing body. The Executive Committee may exercise the power of the Board of Trustees between meetings with respect to ordinary business transactions.
Form 990, Part VI, Section A, line 2	Business Relationships: John A. Canning, Jr. and Eugene S. Sunshine John A. Canning, Jr. and Timothy P. Sullivan Lester B. Knight and John A. Canning, Jr. Lester B. Knight and Frederick H. Waddell Lester B. Knight and William A. Osborn Lester B. Knight and T. Bondurant French Lester B. Knight and M. Jude Reyes Lester B. Knight and D. Gideon Searle Lester B. Knight and Christopher B. Galvin Lester B. Knight and A. Steven Crown Lester B. Knight and Charles Tribbett III
Form 990, Part VI, Section A, line 2	Business Relationships continued: Edward M. Liddy and D. Cameron Findlay Edward M. Liddy and D. Gideon Searle Edward M. Liddy and Miles D. White William A. Osborn and Edward M. Liddy William A. Osborn and Miles D. White M. Jude Reyes and A. Steven Crown M. Jude Reyes and Frederick H. Waddell Frederick H. Waddell and Charles Tribbett III Jay C. Hoag and M. Jude Reyes Jay C. Hoag and Patrick G. Ryan Jr.
Form 990, Part VI, Section B, line 11	A hard copy of the University's final Form 990 (including all required schedules), was provided to each voting member of the University's governing body prior to filing. That version of the Form 990 is identical to the one ultimately filed with the IRS. Prior to providing a copy to the governing body, a draft of the Form 990 was provided for review to the Audit, Risk and Compliance Committee of the Board of Trustees, which is comprised of a subset of members from the governing body who review the accounting procedures and controls of the University.
Form 990, Part VI, Section B, line 12c	University ByLaws and Statutes require that any conflict of interest of any Trustee, Officer or their immediate families be disclosed to the Board of Trustees in writing. An Officer shall call any conflict of interest to the attention of the President. If the matter is being considered by the Board of Trustees or one of its committees, such Officer is not permitted to participate in or make recommendations about the conflict of interest under discussion, except to the extent the Officer is required by the Trustees or other officers to answer pertinent questions related to the conflict. A Trustee having a conflict of interest shall call it to the attention of the Board or committee and shall abstain on voting on the subject. The Trustee is encouraged to answer pertinent questions when the his/her knowledge of the subject will assist the Board or any of its committees. In addition, Trustees are subject to a Conflict of Interest Policy, which has been adopted by the Board of Trustees, and disclosures are reviewed annually. Potential conflicts of interest of Trustees and Officers are reviewed by the University's General Counsel. Pursuant to the University's staff and faculty Conflict of Interest Policies, employees are required to disclose potential conflicts of interest to the University on an annual basis. Employees receive annual reminders to complete a conflict of interest questionnaire and responses are submitted electronically and reviewed by each employee's supervisor. Potential conflicts are further reviewed by the University's Department of Human Resources and action taken by senior management as needed.
Form 990, Part VI, Section B, line 15	The Compensation Committee of the Board includes members of the University's governing body who are not related or controlled by the employees whose compensation they are reviewing. To assess the reasonableness of employee compensation, the Compensation Committee of the Board relies on formal surveys and comparability data prepared and compiled by outside consultants who have expertise in the field of executive compensation assessment and benchmarking. The Compensation Committee of the Board met in June 2012 to review and approve fiscal year 2013 (September 1, 2012 to August 31, 2013) salaries and met in June 2013 to review and approve fiscal year 2014 (September 1, 2013 to August 31, 2014) salaries. Actions undertaken by the Compensation Committee of the Board are contemporaneously documented in the minutes of each meeting. Compensation Committee of the Board reviewed and approved compensation of all current officers listed in Part VII, Section A.
Form 990, Part VI, Section C, line 19	Governing documents: The University maintains an Office for University Relations where information requests from the public are processed. The organizing document by which the University was created, its charter, is available upon request. Conflict of Interest Policies: The University's conflict of interest policies for faculty and staff are available on the University's website. Financial Statements: The University's annual audited consolidated financial statements are available on the University's website.
Form 990, Part VI, Line 10	The University does not have local chapters, branches, lodges, units or similar affiliates. As described in Schedule F, the University has one international campus, located in Doha, Qatar. The University has a number of affiliation agreements and arrangements with other research and educational institutions but the University does not have authority to exercise supervision and control of such institutions.
Form 990, Part VI, Line 16b	The University does not have a written policy regarding joint ventures in general. However, joint venture agreements are reviewed by the University's Office of General Counsel to evaluate whether the arrangement furthers the mission of the University and to ensure the safeguarding of University's assets. The University also has guidelines concerning joint ventures in its technology transfer and investment policies.
Form 990, Part XI, line 9:	Change in value of derivative instruments 5317000. Change in value of nonoperating items 13868477.
Form 990, Part XII, Line 2c	The Audit, Risk and Compliance Committee that assumes responsibility for oversight of the audit review, compilation of financial statements and selection of an independent accountant increased in its membership from ten to twelve members.

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.

Cat. No. 51056K

Schedule O (Form 990 or 990-EZ) 2013

Additional Data

Software ID:
Software Version:

- TIN:

SCHEDULE R
(Form 990)

Department of the Treasury
Internal Revenue Service

Related Organizations and Unrelated Partnerships

Complete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.
MediumBullet

Attach to Form 990. MediumBullet

See separate instructions.
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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

Northwestern University

Employer identification number

36-2167817

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)	(f) Direct controlling entity
(1) Northwestern Student Holdings LLC 1800 Sherman Ave Suite 504 Evanston,IL60201	Student enterprises	IL	Northwestern 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?
(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	Yes	No
(1) Rubicon Insurance Company 2020 Ridge Ave Evanston,IL60208 36-3694409	Providing medical malpractice coverage	IL	501(c)(3)	11b	Northwestern University	Yes
(2) Northwestern Medical Faculty Foundation 680 N Lakeshore Dr Chicago,IL60611 36-3097297	Patient care, teaching	IL	501(c)(3)	9	Northwestern University	Yes
(3) Students Publishing Company 1999 Sheridan Rd Evanston,IL60208 36-6002654	Publishes student periodicals	IL	501(c)(3)	11a			No
(4) Mcgaw Medical Center of Northwestern University 420 E Superior St Chicago,IL60611 36-2656113	Coordination of medical residents	IL	501(c)(3)	11a			No
(5) Northwestern Global Health Foundation PO Box 1969 Evanston,IL60204 27-3159956	Developing medical devices for people in need in developing countries	IL	501(c)(3)	9	Northwestern University	Yes
(6) The Big Ten Conference Inc 1500 W Higgins Rd Park Ridge,IL60068 36-3640583	Facilitate quality intercollegiate athletic competition	IL	501(c)(3)	11b			No
(7) Northwestern University Employees Benefit Trust PO Box 803878 Northern Trust at Tru Chicago,IL60680 36-3180819	Providing health insurance benefits to current and former eligible employees	IL	501(c)(9)		Northwestern University	Yes
(8) Northwestern University Employees Benefit Trust Dental PO Box 803878 Northern Trust at Tru Chicago,IL60680 36-3591834	Providing health insurance benefits to current and former eligible employees	IL	501(c)(9)		Northwestern University	Yes
(9) Northwestern University Disability Trust 135 S LaSalle St Bank of America as Chicago,IL60603 36-6784987	Providing disability benefits to current and former eligible employees	IL	501(c)(9)		Northwestern University	Yes
(10) SON Consortium Inc Campus Box 1058 One Brookings Dr St Louis,MO63130 46-2932954	Facilitate delivery of education of its member institutions	DE	501(c)(3)	Line 11a, I			No
(11) Committee on Institutional Cooperation 1819 S Neil St Champaign,IL61820 46-3254996	Academic consortium to advance mission of member institutions	IL	501(c)(3)	Line 11d, III-O			No
(12) Womans Educational Aid Assoc 804 Oakton St 1E Evanston,IL60202 36-3049387	Providing financial aid to students	IL	501(c)(3)	Line 11c, III-FI			No

For Paperwork Reduction Act Notice, see the Instructions for Form 990.

Cat. No. 50135Y

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	(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?
(a) Name, address, and EIN of related organization	(b) Primary activity	(c) Legal domicile (state or foreign country)	(d) Direct controlling entity	(f) Share of total income	(g) Share of end-of-year assets	Yes	No	(i) Code V-UBI amount in box 20 of Schedule K-1 (Form 1065)	Yes	No

Part IV

Identification of Related Organizations Taxable as a Corporation or Trust Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.

(a) Name, address, and EIN of related organization	(b) Primary activity	(c) Legal domicile (state or foreign country)	(d) Direct controlling entity	(e) Type of entity (C corp, S corp, or trust)	(f) Share of total income	(g) Share of end-of-year assets	(h) Percentage ownership	(i) Section 512(b)(13) controlled entity?
(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		Yes	No
(1) Charitable Remainder UniTrusts (115)		IL		T					No
(2) Charitable Remainder Annuity Trusts (20)		IL		T					No
(3) Bensell US Feeder LP 50 Lothian Rd Festival Square Edinburgh EH3 9WJ UK 98-0492320	Investments	UK	Northwestern University	C	-1,422,998	7,960,636	56.600 %	Yes
(4) Conquest Managed Futures Select Fund III Ltd 45 Market Street Suite 3205 Camana Bay,Grand CaymanKYI-9003 CJ	Investments	CJ	Northwestern University	C	808,417	51,432,912	100.000 %	Yes

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

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 . . . . . . . . . . . . . . . . . . . . . . .

b Gift, grant, or capital contribution to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

c Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

f Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

g Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

h Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

i Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

j Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

k Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .

l Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .

m Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .

n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .

o Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

p Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

q Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

r Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

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) Rubicon Insurance Company	R	21,285,219	cash
(2) Northwestern Global Health Foundation	S	1,394,872	cash
(3) Northwestern University Employees Benefit Trust Health	R	45,293,920	cash
(4) Northwestern University Employees Benefit Trust Dental	R	3,250,227	cash
(5) Northwestern Student Holdings	Q	129,494	cash

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)	(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?
(a) Name, address, and EIN of entity	(b) Primary activity	(c) Legal domicile (state or foreign country)	Yes	No	(f) Share of total income	(g) Share of end-of-year assets	Yes	No	(i) Code V?UBI amount in box 20 of Schedule K-1 (Form 1065)	Yes	No

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, Part IV	The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois.

Schedule R (Form 990) 2013

Additional Data

Software ID:
Software Version:

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)......................................	Yes	No
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).......................................	Yes	No
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)..............................	Yes	No
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)...............................................	Yes	No
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)....................................	Yes	No
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)................................................	Yes	No