Form990
Department of the TreasuryInternal Revenue Service
Return of Organization Exempt From Income Tax
Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except private foundations)
MediumBullet Do not enter social security numbers on this form as it may be made public.
MediumBullet Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2019
Open to Public Inspection
A For the 2019 calendar year, or tax year beginning 09-01-2017 , and ending 08-31-2018
BCheck if applicable:
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 $ 4,640,511,397
F Name and address of principal officer:
Craig Johnson
633 Clark St
Evanston,IL60208
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
www.northwestern.edu
H(a)
Is this a group return for
subordinates?
H(b)
Are all subordinates
included?
If "No," attach a list. (see instructions)
H(c)
Group exemption number MediumBullet  
K Form of organization:  
L Year of formation: 1851
M State of legal domicile: IL
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: Education and research
2 Check this box MediumBullet
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 34
5 Total number of individuals employed in calendar year 2019 (Part V, line 2a) ...... 5 25,684
6 Total number of volunteers (estimate if necessary) ............. 6 151
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a -16,001,127
b Net unrelated business taxable income from Form 990-T, line 39 ......... 7b -19,623,733
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 395,669,600 373,724,245
9 Program service revenue (Part VIII, line 2g) ......... 1,874,935,178 2,001,064,987
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 647,482,893 774,539,687
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 37,063,687 -5,541,174
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12) 2,955,151,358 3,143,787,745
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 498,938,464 528,829,620
14 Benefits paid to or for members (Part IX, column (A), line 4).....   0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 1,344,111,489 1,420,530,610
16a Professional fundraising fees (Part IX, column (A), line 11e) ..... 698,550 424,469
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet62,824,192    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 922,911,404 1,007,862,169
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 2,766,659,907 2,957,646,868
19 Revenue less expenses. Subtract line 18 from line 12....... 188,491,451 186,140,877
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 14,485,530,707 15,469,351,745
21 Total liabilities (Part X, line 26)............. 2,804,562,684 3,227,581,845
22 Net assets or fund balances. Subtract line 21 from line 20..... 11,680,968,023 12,241,769,900
Part II
Signature Block
Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.
Sign Here
JumboBullet
Signature of officer Date
JumboBullet
Type or print name and title
Paid Preparer Use Only
Print/Type preparer's name
Preparer's signature
Date
PTIN
Firm's name MediumBullet

Firm's EIN MediumBullet
Firm's address MediumBullet



Phone no.
May the IRS discuss this return with the preparer shown above? (see instructions) ..........
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y Form 990 (2019)
Form 990 (2019)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response or note to any line in this Part III..............
1
Briefly describe the organization’s mission: 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.
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? .....................
If "Yes," describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program
services? ...........................
If "Yes," describe these changes on Schedule O.
4
Describe the organization’s program service accomplishments for each of its three largest program services, as measured by expenses. Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported.
4a (Code:   ) (Expenses $ 2,035,524,999 including grants of $ 419,653,230 ) (Revenue $ 1,307,266,687 )
EDUCATION OF STUDENTS: FOR THE 2018 ACADEMIC YEAR, 8,159 UNDERGRADUATES AND 9,588 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 $ 486,912,000 including grants of $ 109,176,390 ) (Revenue $ 613,843,760 )
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 $ 136,913,000 including grants of $   ) (Revenue $ 83,906,819 )
AUXILIARY 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 expensesMediumBullet2,659,349,999
Form 990 (2019)
Form 990 (2019)
Page 3
Part IV
Checklist of Required Schedules
Yes
No
1
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule AClick to see attachment.....................
1
Yes
 
2
Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? Click to see attachment...
2
Yes
 
3
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If "Yes," complete Schedule C, Part I.............
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h) election in effect during the tax year? If "Yes," complete Schedule C, Part IIClick to see attachment.........
4
Yes
 
5
Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19? If "Yes," complete Schedule C, Part III..
5
 
 
6
Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If "Yes," complete Schedule D, Part IClick to see attachment.........................
6
Yes
 
7
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part II....
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes,"
complete Schedule D, Part III..............
8
 
No
9
Did the organization report an amount in Part X, line 21 for escrow or custodial account liability; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services? If "Yes," complete Schedule D, Part IV..............
9
 
No
10
Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent endowments, or quasi endowments? If "Yes," complete Schedule D, Part V......
10
 
 
11
If the organization’s answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, VII, VIII, IX, or X as applicable.
a
Did the organization report an amount for land, buildings, and equipment in Part X, line 10? If "Yes," complete
Schedule D, Part VI. Click to see attachment...................
11a
Yes
 
b
Did the organization report an amount for investments—other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIIClick to see attachment.......
11b
Yes
 
c
Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIII.......
11c
 
No
d
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part IX............
11d
 
No
e
Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part XClick to see attachment
11e
Yes
 
f
Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization’s liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part XClick to see attachment
11f
Yes
 
12a
Did the organization obtain separate, independent audited financial statements for the tax year? If "Yes," complete
Schedule D, Parts XI and XII......................
12a
 
No
b
Was the organization included in consolidated, independent audited financial statements for the tax year? If "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional Click to see attachment
12b
Yes
 
13
Is the organization a school described in section 170(b)(1)(A)(ii)? If "Yes," complete Schedule EClick to see attachment
13
Yes
 
14a
Did the organization maintain an office, employees, or agents outside of the United States? .....
14a
Yes
 
b
Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts I and IV.........Click to see attachment
14b
Yes
 
15
Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or for any foreign organization? If “Yes,” complete Schedule F, Parts II and IV.....Click to see attachment
15
Yes
 
16
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other assistance to or for foreign individuals? If “Yes,” complete Schedule F, Parts III and IV...Click to see attachment
16
Yes
 
17
Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If "Yes," complete Schedule G, Part I(see instructions) ....Click to see attachment
17
Yes
 
18
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If "Yes," complete Schedule G, Part II............ Click to see attachment
18
Yes
 
19
Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If "Yes," complete Schedule G, Part III...................
19
 
No
20a
Did the organization operate one or more hospital facilities? If "Yes," complete Schedule H....
20a
 
No
b
If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return?
20b
 
 
21
Did the organization report more than $5,000 of grants or other assistance to any domestic organization or domestic government on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II.....Click to see attachment
21
Yes
 
Form 990 (2019)
Form 990 (2019)
Page 4
Part IV
Checklist of Required Schedules (continued)
Yes
No
22
Did the organization report more than $5,000 of grants or other assistance to or for domestic individuals on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III........Click to see attachment
22
Yes
 
23
Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization’s current and former officers, directors, trustees, key employees, and highest compensated employees? If "Yes," complete Schedule J....................... Click to see attachment
23
Yes
 
24a
Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If “Yes,” answer lines 24b through 24d and complete Schedule K. If “No,” go to line 25a...............Click to see attachment
24a
Yes
 
b
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...
24b
 
No
c
Did the organization maintain an escrow account other than a refunding escrow at any time during the year
to defease any tax-exempt bonds? ...............
24c
 
No
d
Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?...
24d
 
No
25a
Section 501(c)(3), 501(c)(4), and 501(c)(29) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I ....
25a
 
No
b
Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization’s prior Forms 990 or 990-EZ? If "Yes," complete Schedule L, Part I.......................
25b
 
No
26
Did the organization report any amount on Part X, line 5 or 22 for receivables from or payables to any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or 35% controlled entity or family member of any of these persons? If "Yes," complete Schedule L, Part IIClick to see attachment...........
26
Yes
 
27
Did the organization provide a grant or other assistance to any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or employee thereof, a grant selection committee member, or to a 35% controlled entity (including an employee thereof) or family member of any of these persons?
If "Yes," complete
Schedule L, Part IIIClick to see attachment.........................
27
Yes
 
28
Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions):
a
A current or former officer, director, trustee, key employee, creator or founder, or substantial contributor? If "Yes," complete Schedule L, Part IV......................
28a
 
No
b
A family member of any individual described in line 28a? If "Yes," complete Schedule L, Part IV.....Click to see attachment
28b
Yes
 
c
A 35% controlled entity of one or more individuals and/or organizations described in lines 28a or 28b? If "Yes," complete Schedule L, Part IV.....................
28c
 
 
29
Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M..Click to see attachment
29
Yes
 
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M .................Click to see attachment
30
Yes
 
31
Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N, Part I
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule N, Part II........................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If "Yes," complete Schedule R, Part I............Click to see attachment
33
Yes
 
34
Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part II, III, or IV, and Part V, line 1.........................Click to see attachment
34
Yes
 
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
Yes
 
b
If ‘Yes’ to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2 ...Click to see attachment
35b
Yes
 
36
Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If "Yes," complete Schedule R, Part V, line 2.............
36
 
No
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VI
37
 
No
38
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response or note to any line in this Part V...........
Yes
No
1a
Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable ..
1a
23,912
b
Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable .
1b
0
c
Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? ..................
1c
Yes
 
Form 990 (2019)
Form 990 (2019)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance (continued)
2a
Enter the number of employees reported on Form W-3, Transmittal of Wage and
Tax Statements, filed for the calendar year ending with or within the year covered by this return ..................
2a
25,684
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file (see instructions)
2b
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?...
3a
Yes
 
b
If “Yes,” has it filed a Form 990-T for this year? If “No” to line 3b, provide an explanation in Schedule O...
3b
Yes
 
4a
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)? ..
4a
Yes
 
b
If "Yes," enter the name of the foreign country: MediumBulletQA , UK
See instructions for filing requirements for FinCEN Form 114, Report of Foreign Bank and Financial Accounts (FBAR).
5a
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? ..
5a
 
No
b
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?
5b
 
No
c
If "Yes," to line 5a or 5b, did the organization file Form 8886-T? ............
5c
 
 
6a
Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible as charitable contributions? ...
6a
 
No
b
If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible? ......................
6b
 
 
7
Organizations that may receive deductible contributions under section 170(c).
a
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor? ....................
7a
Yes
 
b
If "Yes," did the organization notify the donor of the value of the goods or services provided? .....
7b
Yes
 
c
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282? .........................
7c
Yes
 
d
If "Yes," indicate the number of Forms 8282 filed during the year ....
7d
 
e
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?
7e
 
No
f
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? ..
7f
 
No
g
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required? ......................
7g
 
 
h
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C? ..........................
7h
 
 
8
Sponsoring organizations maintaining donor advised funds. Did a donor advised fund maintained by the sponsoring organization have excess business holdings at any time during the year? ........
8
 
No
9
Sponsoring organizations maintaining donor advised funds.
a
Did the sponsoring organization make any taxable distributions under section 4966?........
9a
 
No
b
Did the sponsoring organization make a distribution to a donor, donor advisor, or related person?...
9b
 
No
10
Section 501(c)(7) organizations. Enter:
a
Initiation fees and capital contributions included on Part VIII, line 12 ...
10a
 
b
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
 
11
Section 501(c)(12) organizations. Enter:
a
Gross income from members or shareholders .........
11a
 
b
Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them.) ..........
11b
 
12a
Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041?
12a
 
 
b
If "Yes," enter the amount of tax-exempt interest received or accrued during the year.
12b
 
13
Section 501(c)(29) qualified nonprofit health insurance issuers.
a
Is the organization licensed to issue qualified health plans in more than one state? .........
Note. See the instructions for additional information the organization must report on Schedule O.
13a
 
 
b
Enter the amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans ....
13b
 
c
Enter the amount of reserves on hand ............
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O..
14b
 
 
15
Is the organization subject to the section 4960 tax on payment(s) of more than $1,000,000 in remuneration or excess parachute payment(s) during the year? ....................
If "Yes," see instructions and file Form 4720, Schedule N.
15
 
 
16
Is the organization an educational institution subject to the section 4968 excise tax on net investment income? ..
If "Yes," complete Form 4720, Schedule O.
16
 
 
Form 990 (2019)
Form 990 (2019)
Page 6
Part VI
Governance, Management, and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" response to lines 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.
Check if Schedule O contains a response or note to any line in this Part VI..............
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year
1a
36
If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
b
Enter the number of voting members included in line 1a, above, who are independent
1b
34
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
Yes
 
3
Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? .
3
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? .
4
 
No
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Did the organization have members or stockholders? ................
6
 
No
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? ....................
7a
 
No
b
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ...................
7b
 
No
8
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a
The governing body? .......................
8a
Yes
 
b
Each committee with authority to act on behalf of the governing body? ............
8b
Yes
 
9
Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization’s mailing address? If "Yes," provide the names and addresses in Schedule O.......
9
 
No
Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)
Yes
No
10a
Did the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes?
10b
 
 
11a
Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? ............................
11a
Yes
 
b
Describe in Schedule O the process, if any, used by the organization to review this Form 990. .....
12a
Did the organization have a written conflict of interest policy? If "No," go to line 13.......
12a
Yes
 
b
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ..........................
12b
Yes
 
c
Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe in Schedule O how this was done...................
12c
Yes
 
13
Did the organization have a written whistleblower policy? ...............
13
Yes
 
14
Did the organization have a written document retention and destruction policy? .........
14
Yes
 
15
Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision?
a
The organization’s CEO, Executive Director, or top management official ...........
15a
Yes
 
b
Other officers or key employees of the organization ................
15b
Yes
 
If "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions).
16a
Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? ......................
16a
Yes
 
b
If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization’s exempt status with respect to such arrangements? ............
16b
 
No
Section C. Disclosure
17
List the states with which a copy of this Form 990 is required to be filedMediumBullet
CA , CO , MD , MA , MI , NH , OH , OR , SC
18
Section 6104 requires an organization to make its Form 1023 (or 1024-A if applicable), 990, and 990-T (501(c)(3)s only) available for public inspection. Indicate how you made these available. Check all that apply.
19
Describe in Schedule O whether (and if so, how) the organization made its governing documents, conflict of interest policy, and financial statements available to the public during the tax year.
20
State the name, address, and telephone number of the person who possesses the organization's books and records:
MediumBulletNicole Van Laan Controller619 Clark St   Evanston,IL60208 (847) 491-4722
Form 990 (2019)
Form 990 (2019)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response or note to any line in this Part VII..............
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
1a Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization’s tax year.
RoundBullet List all of the organization’s current officers, directors, trustees (whether individuals or organizations), regardless of amount
of compensation. Enter -0- in columns (D), (E), and (F) if no compensation was paid.

RoundBullet List all of the organization’s current key employees, if any. See instructions for definition of "key employee."
RoundBullet List the organization’s five current highest compensated employees (other than an officer, director, trustee or key employee)
who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the
organization and any related organizations.

RoundBullet List all of the organization’s former officers, key employees, or highest compensated employees who received more than $100,000
of reportable compensation from the organization and any related organizations.

RoundBullet List all of the organization’s former directors or trustees that received, in the capacity as a former director or trustee of the
organization, more than $10,000 of reportable compensation from the organization and any related organizations.

See instructions for the order in which to list the persons above.
Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee.
(A)
Name and title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W-2/1099-MISC) 		(E)
Reportable compensation from related organizations (W-2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(1) Peter J Barris
 
Trustee
 1.0
.................
  		X           0 0 0
(2) Carol L Bernick
 
Trustee
 1.0
.................
  		X           0 0 0
(3) Christine E Brennan
 
Trustee
 1.0
.................
  		X           0 0 0
(4) A Steven Crown
 
Trustee
 1.0
.................
  		X           0 0 0
(5) Deborah L DeHaas
 
Trustee
 1.0
.................
  		X           0 0 0
(6) Charles W Douglas
 
Trustee
 1.0
.................
  		X           0 0 0
(7) D Cameron Findlay
 
Trustee
 1.0
.................
  		X           0 0 0
(8) Dennis J FitzSimons
 
Trustee
 1.0
.................
  		X           0 0 0
(9) T Bondurant French
 
Trustee
 1.0
.................
  		X           0 0 0
(10) Christopher B Galvin
 
Trustee
 1.0
.................
  		X           0 0 0
(11) H Patrick Hackett Jr
 
Trustee
 1.0
.................
  		X           0 0 0
(12) Jay C Hoag
 
Trustee
 1.0
.................
  		X           0 0 0
(13) Nancy Trienens Kaehler
 
Trustee
 1.0
.................
  		X           0 0 0
(14) Ellen Philips Katz
 
Trustee
 1.0
.................
  		X           0 0 0
(15) Harreld N Kirkpatrick III
 
Trustee
 1.0
.................
  		X           0 0 0
(16) Lester B Knight
 
Trustee
 1.0
.................
  		X           0 0 0
(17) J Landis Martin
 
Trustee
 1.0
.................
  		X           0 0 0
Form 990 (2019)
Form 990 (2019)
Page 8
Part VII
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)
(A)
Name and title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W-2/1099-MISC) 		(E)
Reportable compensation from related organizations (W-2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(18) Wendy M Nelson
 
Trustee
 1.0
.......................   		X           0 0 0
(19) William A Osborn
 
Trustee
 1.0
.......................   		X           0 0 0
(20) Jane DiRenzo Pigott
 
Trustee
 1.0
.......................   		X           0 0 0
(21) JB Pritzker
 
Trustee
 1.0
.......................   		X           0 0 0
(22) Kimberly Querrey
 
Trustee
 1.0
.......................   		X           0 0 0
(23) M Jude Reyes
 
Trustee
 1.0
.......................   		X           0 0 0
(24) Patrick G Ryan Jr
 
Trustee
 1.0
.......................   		X           0 0 0
(25) David A Sachs
 
Trustee
 1.0
.......................   		X           0 0 0
(26) Muneer A Satter
 
Trustee
 1.0
.......................   		X           0 0 0
(27) Andrew E Senyei MD
 
Trustee
 1.0
.......................   		X           0 0 0
(28) Michael S Shannon
 
Trustee
 1.0
.......................   		X           0 0 0
(29) Benjamin W Slivka
 
Trustee
 1.0
.......................   		X           0 0 0
(30) Timothy P Sullivan
 
Trustee
 1.0
.......................   		X           0 0 0
(31) Charles A Tribbett III
 
Trustee
 1.0
.......................   		X           0 0 0
(32) Jeffrey W Ubben
 
Trustee
 1.0
.......................   		X           0 0 0
(33) Frederick H Waddell
 
Trustee
 1.0
.......................   		X           0 0 0
(34) David B Weinberg
 
Trustee
 1.0
.......................   		X           0 0 0
(35) Miles D White
 
Trustee
 1.0
.......................   		X           0 0 0
(36) Stephen R Wilson
 
Trustee
 1.0
.......................   		X           0 0 0
(37) Morton O Schapiro
 
President
 40.0
.......................   		    X       1,590,081 0 436,752
(38) Jonathan Holloway
 
Provost
 40.0
.......................   		    X       487,487 0 37,421
(39) Mary L Baglivo
 
VP Global Marketing
 40.0
.......................   		    X       353,652 0 48,830
(40) Pamela S Beemer
 
VP for Human Resources
 40.0
.......................   		    X       415,663 0 31,658
(41) Paul Castellucci
 
VP Budget and Planning
 40.0
.......................   		    X       396,273 0 27,680
(42) Nimalan Chinniah
 
Executive Vice President
 40.0
.......................   		    X       1,016,844 0 135,296
(43) Alan K Cubbage
 
VP University Relations
 40.0
.......................   		    X       332,215 0 42,834
(44) John L D'Angelo
 
VP for Facilities Management
 40.0
.......................   		    X       566,467 0 50,696
(45) Devora Grynspan
 
VP International Relations
 40.0
.......................   		    X       237,207 0 33,809
(46) Philip L Harris
 
VP General Counsel
 40.0
.......................   		    X       812,892 0 80,966
(47) Craig A Johnson
 
Interim Senior Vice President
 40.0
.......................   		    X       614,082 0 134,580
(48) Marilyn McCoy
 
VP Administration & Planning
 40.0
.......................   		    X       455,505 0 50,640
(49) William H McLean
 
VP and Chief Investment Officer
 40.0
.......................   		    X       1,881,386 0 489,296
(50) Robert E McQuinn
 
VP for Development
 40.0
.......................   		    X       913,561 0 226,118
(51) Eric G Neilson
 
VP Medical Affairs
 30.0
.......................   		    X       584,435 0 22,323
(52) James J Phillips
 
VP Athletics
 40.0
.......................   		    X       1,894,530 0 170,473
(53) Sean Reynolds
 
VP and Chief Information Officer
 40.0
.......................   		    X       498,550 0 34,688
(54) Ingrid S Stafford
 
VP for Financial Operations
 40.0
.......................   		    X       357,493 0 34,760
(55) Patricia Telles-Irvin
 
VP Student Affairs
 40.0
.......................   		    X       503,949 0 50,696
(56) Joseph T Walsh Jr
 
VP for Research
 40.0
.......................   		    X       389,432 0 67,567
(57) Patrick W Fitzgerald II
 
Head Coach
 40.0
.......................   		        X   5,086,657 0 58,280
(58) Christopher R Collins
 
Head Coach
 40.0
.......................   		        X   2,457,172 0 108,057
(59) Maciej S Lesniak
 
Professor Neurological Surgery
 40.0
.......................   		        X   1,363,881 0 27,704
(60) Sally E Blount
 
Dean, Kellogg
 40.0
.......................   		        X   1,093,988 0 37,238
(61) Peter A Belytschko
 
Managing Director, Investments
 40.0
.......................   		        X   994,521 0 288,147
(62) Daniel I Linzer
 
Former Provost
 40.0
.......................   		          X 645,716 0 292,294
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)...........MediumBullet 25,943,639 0 3,018,803
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organization MediumBullet2,660
Yes
No
3
Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a? If "Yes," complete Schedule J for such individual ..............
3
Yes
 
4
For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If "Yes," complete Schedule J for such
individual...........................
4
Yes
 
5
Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services rendered to the organization? If "Yes," complete Schedule J for such person ........
5
 
No
Section B. Independent Contractors
1
Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization. Report compensation for the calendar year ending with or within the organization’s tax year.
(A)
Name and business address 		(B)
Description of services 		(C)
Compensation
The Family Institute

618 Library Pl
Evanston,IL60201 		Instruction services 12,517,834
Jenner & Block LLP

353 North Clark Street
Chicago,IL60654 		Legal services 5,736,987
NORTHWESTERN MEMORIAL HOSPITAL

251 EAST HURON
CHICAGO,IL60611 		Clinical services 4,356,499
Realterm Global LLC

201 West Street
Annapolis,MD21401 		Investment management 3,938,977
Huron Consulting Group LLC

550 W Van Buren Street
Chicago,IL60607 		Consulting services 3,556,034
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet553
Form 990 (2019)
Form 990 (2019)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII.............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512 - 514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a  
b Membership dues..1b  
c Fundraising events..1c 2,730,314
d Related organizations1d  
e Government grants (contributions)1e 34,165,247
f All other contributions, gifts, grants, and similar amounts not included above1f 336,828,684
g Noncash contributions included in lines 1a - 1f:$ 1g 70,480,723
h Total. Add lines 1a-1f.......MediumBullet 373,724,245
Program Service RevenueAmt Business Code
2a Tuition and fees 611310 1,071,401,610 1,071,401,610    
b Research activities 611310 613,843,760 613,843,760    
c Educational activities 611310 185,464,515 185,464,515    
d Auxiliary enterprises 611310 83,906,819 83,906,819    
e Medical activities 611310 38,448,347 38,448,347    
f All other program service revenue. 7,999,936 7,999,936 0 0
g Total. Add lines 2a–2f .....MediumBullet 2,001,064,987
OtherAmtRevenueAmt 3 Investment income (including dividends, interest, and othersimilar amounts) ......MediumBullet 83,016,433 3,952,279 2,095,329 76,968,825
4 Income from investment of tax-exempt bond proceedsMediumBullet        
5 Royalties...........MediumBullet 10,500,372   907,101 9,593,271
(ii) Personal (i) Real
6a Gross rents   3,763,062 6a
b Less: rental expenses   951,878 6b
c Rental income or (loss) 0 2,811,184 6c
d Net rental income or (loss).......MediumBullet 2,811,184     2,811,184
(ii) Other (i) Securities
7a Gross amount from sales of assets other than inventory 713,254,826 1,473,401,131 7a
b Less: cost or other basis and sales expenses 673,052,621 822,080,082 7b
c Gain or (loss) 40,202,205 651,321,049 7c
d Net gain or (loss).........MediumBullet 691,523,254     691,523,254
8a Gross income from fundraising events (not including $ 2,730,314of contributions reported on line 1c). See Part IV, line 18 ....
8a 789,898
b Less: direct expenses ... 8b 639,071
c Net income or (loss) from fundraising events..MediumBullet 150,827   150,827
9a Gross income from gaming activities.
See Part IV, line 19 ...
9a  
b Less: direct expenses ... 9b  
c Net income or (loss) from gaming activities..MediumBullet        
10a Gross sales of inventory, less
returns and allowances ..
10a  
b Less: cost of goods sold .. 10b  
c Net income or (loss) from sales of inventory..MediumBullet        
Business Code Miscellaneous Revenue
11a Investment in LPs 523920 -25,102,567   -25,102,567  
b Parking facilities 812930 4,927,268   4,927,268  
c Scientific services/rental 541990 924,601   924,601  
d All other revenue .... 247,141 0 247,141 0
e Total. Add lines 11a–11d ...... MediumBullet -19,003,557
12 Total revenue. See instructions.....MediumBullet 3,143,787,745 2,005,017,266 -16,001,127 781,047,361
Form 990 (2019)
Form 990 (2019)
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 domestic organizations and domestic governments. See Part IV, line 21 .... 75,011,143 75,011,143
2 Grants and other assistance to domestic individuals. See Part IV, line 22 ........... 448,999,442 448,999,442
3 Grants and other assistance to foreign organizations, foreign governments, and foreign individuals. See Part IV, lines 15 and 16. ............. 4,819,035 4,819,035
4 Benefits paid to or for members .......    
5 Compensation of current officers, directors, trustees, and key employees ........... 21,252,276 5,395,932 14,716,665 1,139,679
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) ......... 176,441   176,441  
7 Other salaries and wages........ 1,126,781,559 1,053,180,309 38,740,585 34,860,665
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 81,951,082 75,701,241 3,447,113 2,802,728
9 Other employee benefits ....... 121,503,192 112,128,430 5,170,669 4,204,093
10 Payroll taxes ........... 68,866,060 63,657,859 2,872,594 2,335,607
11 Fees for services (non-employees):        
a Management ......        
b Legal ......... 14,331,559   14,331,559  
c Accounting ........... 1,453,718   1,453,718  
d Lobbying ........... 505,262   505,262  
e Professional fundraising services. See Part IV, line 17 424,469 424,469
f Investment management fees ...... 50,682,840   50,682,840  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) 212,818,349 202,487,854 9,099,873 1,230,622
12 Advertising and promotion .... 26,368,768 17,363,109 2,112,669 6,892,990
13 Office expenses ....... 165,732,310 159,172,372 3,151,695 3,408,243
14 Information technology ...... 44,270,427 42,323,930 1,077,496 869,001
15 Royalties .. 7,246,544 7,241,101 5,443  
16 Occupancy ........... 140,803,700 136,317,647 3,801,198 684,855
17 Travel ............ 53,440,003 51,191,965 678,170 1,569,868
18 Payments of travel or entertainment expenses for any federal, state, or local public officials .        
19 Conferences, conventions, and meetings .... 37,144,330 35,493,073 999,673 651,584
20 Interest ........... 68,648,085   68,648,085  
21 Payments to affiliates .......        
22 Depreciation, depletion, and amortization .. 150,731,967 140,797,588 8,718,544 1,215,835
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
b
c
d
e All other expenses 33,684,307 28,067,969 5,082,385 533,953
25 Total functional expenses. Add lines 1 through 24e 2,957,646,868 2,659,349,999 235,472,677 62,824,192
26 Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here MediumBullet if following SOP 98-2 (ASC 958-720).        
Form 990 (2019)
Form 990 (2019)
Page 11
Part X
Balance Sheet
Check if Schedule O contains a response or note to any line in this Part IX..............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash–non-interest-bearing ........   1  
2 Savings and temporary cash investments ......... 299,641,547 2 269,243,813
3 Pledges and grants receivable, net ...... 318,780,000 3 311,458,000
4 Accounts receivable, net ............. 263,424,491 4 273,953,767
5 Loans and other payables to any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or 35% controlled entity or family member of any of these persons .......
686,667 5 493,333
6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), and persons described in section 4958(c)(3)(B) ...
0 6 0
7 Notes and loans receivable, net ........... 150,992,629 7 151,173,126
8 Inventories for sale or use ............ 2,707,272 8 2,658,715
9 Prepaid expenses and deferred charges ...... 15,092,926 9 9,382,570
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 5,073,611,914
b Less: accumulated depreciation 10b 1,815,577,289 2,933,678,917 10c 3,258,034,625
11 Investments—publicly traded securities . 1,970,556,838 11 1,859,646,588
12 Investments—other securities. See Part IV, line 11 ..... 8,529,796,793 12 9,333,297,024
13 Investments—program-related. See Part IV, line 11 .. 0 13  
14 Intangible assets ...............   14  
15 Other assets. See Part IV, line 11 ........... 172,627 15 10,184
16 Total assets. Add lines 1 through 15 (must equal line 33)... 14,485,530,707 16 15,469,351,745
Liabilities 17 Accounts payable and accrued expenses ..... 364,108,195 17 191,220,386
18 Grants payable ...   18  
19 Deferred revenue ......... 277,852,598 19 302,708,944
20 Tax-exempt bond liabilities ......... 403,323,182 20 399,636,291
21 Escrow or custodial account liability. Complete Part IV of Schedule D   21  
22 Loans and other payables to any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or 35% controlled entity or family member of any of these persons .........
0 22 0
23 Secured mortgages and notes payable to unrelated third parties .. 175,669,948 23 283,197,471
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 1,583,608,761 25 2,050,818,753
26 Total liabilities. Add lines 17 through 25.. 2,804,562,684 26 3,227,581,845
Net Assets or Fund Balance Organizations that follow FASB ASC 958, check here MediumBullet and complete lines 27, 28, 32, and 33.
27 Net assets without donor restrictions ..........   27  
28 Net assets with donor restrictions ...........   28  
Organizations that do not follow FASB ASC 958, check here MediumBullet and complete lines 29 through 33.
29 Capital stock or trust principal, or current funds .....   29  
30 Paid-in or capital surplus, or land, building or equipment fund ...   30  
31 Retained earnings, endowment, accumulated income, or other funds   31  
32 Total net assets or fund balances ........... 11,680,968,023 32 12,241,769,900
33 Total liabilities and net assets/fund balances ........ 14,485,530,707 33 15,469,351,745
Form 990 (2019)
Form 990 (2019)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response or note to any line in this Part XI..............
1
Total revenue (must equal Part VIII, column (A), line 12) ............
1
3,143,787,745
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
2,957,646,868
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
186,140,877
4
Net assets or fund balances at beginning of year (must equal Part X, line 32, column (A)) ..
4
11,680,968,023
5
Net unrealized gains (losses) on investments ...............
5
368,628,000
6
Donated services and use of facilities .................
6
 
7
Investment expenses .....................
7
 
8
Prior period adjustments .....................
8
 
9
Other changes in net assets or fund balances (explain in Schedule O) ........
9
6,033,000
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 32, column (B))
10
12,241,769,900
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response or note to any line in this Part XII.............
Yes
No
1
Accounting method used to prepare the Form 990:  
If the organization changed its method of accounting from a prior year or checked "Other," explain in
Schedule O.
2a
Were the organization’s financial statements compiled or reviewed by an independent accountant?
2a
 
No
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both:
b
Were the organization’s financial statements audited by an independent accountant?
2b
Yes
 
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis, or both:
c
If "Yes," to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant?
2c
Yes
 
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.
3a
As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-133?
3a
Yes
 
b
If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits.
3b
Yes
 
Form 990 (2019)
Form 990 (2019)
Additional Data


Software ID: 17005876
Software Version: 2017v2.2
Form 990, Special Condition Description:
Special Condition Description
SCHEDULE A
(Form 990 or 990EZ)

Department of the Treasury
Internal Revenue Service
Public Charity Status and Public Support
Complete if the organization is a section 501(c)(3) organization or a section 4947(a)(1) nonexempt charitable trust.
right arrow Attach to Form 990 or Form 990-EZ.
right arrow Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2019
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 12, check only one box.)
1
2
3
4
5
6
7
8
9
10
11
12
a
b
c
d
e
f
Enter the number of supported organizations ...............................  
g
Provide the following information about the supported organization(s).
(i) Name of supported organization (ii) EIN (iii) Type of organization (described on lines 1- 10 above (see instructions)) (iv) Is the organization listed in your governing document? (v) Amount of monetary support (see instructions) (vi) Amount of other support (see instructions)
Yes No
Total
 
   
For Paperwork Reduction Act Notice, see the Instructions for
Form 990 or 990-EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2019

Schedule A (Form 990 or 990-EZ) 2019
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 failed to qualify under the tests listed below, please complete Part III.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2015 (b) 2016 (c) 2017 (d) 2018 (e) 2019 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grant.") .. 625,656,043 501,895,829 457,650,977 395,669,600 373,724,245 2,354,596,694
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf....           0
3 The value of services or facilities furnished by a governmental unit to the organization without charge..           0
4 Total. Add lines 1 through 3 625,656,043 501,895,829 457,650,977 395,669,600 373,724,245 2,354,596,694
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).. 271,295,170
6 Public support. Subtract line 5 from line 4. 2,083,301,524
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2015 (b) 2016 (c) 2017 (d) 2018 (e) 2019 (f) Total
7 Amounts from line 4.. 625,656,043 501,895,829 457,650,977 395,669,600 373,724,245 2,354,596,694
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources... 788,554,989 686,844,013 591,284,260 494,054,135 464,049,403 3,024,786,800
9 Net income from unrelated business activities, whether or not the business is regularly carried on..   27,897,331 0 0 0 27,897,331
10 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part VI.).. 416,499 549,545 1,370,565 1,386,550 789,898 4,513,057
11 Total support. Add lines 7 through 10 5,411,793,882
12
12
9,077,260,801
13
First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization, check this box and stop here........................................right arrow
Section C. Computation of Public Support Percentage
14
14
38.50 %
15
15
36.94 %
16a
b
17a
b
18
Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions ..................................................... right arrow
Schedule A (Form 990 or 990-EZ) 2019

Schedule A (Form 990 or 990-EZ) 2019
Page 3
Part III
Support Schedule for Organizations Described in Section 509(a)(2)
(Complete only if you checked the box on line 10 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2015 (b) 2016 (c) 2017 (d) 2018 (e) 2019 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .            
2 Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose            
3 Gross receipts from activities that are not an unrelated trade or business under section 513 .....            
4 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...            
5 The value of services or facilities furnished by a governmental unit to the organization without charge            
6 Total. Add lines 1 through 5            
7a Amounts included on lines 1, 2, and 3 received from disqualified persons            
b Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year.            
c Add lines 7a and 7b..            
8 Public support. (Subtract line 7c from line 6.)  
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2015 (b) 2016 (c) 2017 (d) 2018 (e) 2019 (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 VI.) ..            
13 Total support. (Add lines 9, 10c, 11, and 12.)..            
14
Section C. Computation of Public Support Percentage
15
15
 
16
16
 
Section D. Computation of Investment Income Percentage
17
17
 
18
18
 
19a
b
20
Schedule A (Form 990 or 990-EZ) 2019

Schedule A (Form 990 or 990-EZ) 2019
Page 4
Part IV
Supporting Organizations
(Complete only if you checked a box on line 12 of Part I. If you checked 12a of Part I, complete Sections A and B. If you checked 12b of Part I, complete Sections A and C. If you checked 12c of Part I, complete Sections A, D, and E. If you checked 12d of Part I, complete Sections A and D, and complete Part V.)
Section A. All Supporting Organizations
Yes
No
1
Are all of the organization’s supported organizations listed by name in the organization’s governing documents?
If "No," describe in Part VI how the supported organizations are designated. If designated by class or purpose,
describe the designation. If historic and continuing relationship, explain.
1
 
 
2
Did the organization have any supported organization that does not have an IRS determination of status under section 509(a)(1) or (2)? If "Yes," explain in Part VI how the organization determined that the supported organization was described in section 509(a)(1) or (2).
2
 
 
3a
Did the organization have a supported organization described in section 501(c)(4), (5), or (6)? If "Yes," answer (b) and (c) below.
3a
 
 
b
Did the organization confirm that each supported organization qualified under section 501(c)(4), (5), or (6) and satisfied the public support tests under section 509(a)(2)? If "Yes," describe in Part VI when and how the organization made the determination.
3b
 
 
c
Did the organization ensure that all support to such organizations was used exclusively for section 170(c)(2)(B) purposes? If "Yes," explain in Part VI what controls the organization put in place to ensure such use.
3c
 
 
4a
Was any supported organization not organized in the United States ("foreign supported organization")? If “Yes” and if you checked 12a or 12b in Part I, answer (b) and (c) below.
4a
 
 
b
Did the organization have ultimate control and discretion in deciding whether to make grants to the foreign supported organization? If “Yes,” describe in Part VI how the organization had such control and discretion despite being controlled or supervised by or in connection with its supported organizations.
4b
 
 
c
Did the organization support any foreign supported organization that does not have an IRS determination under sections 501(c)(3) and 509(a)(1) or (2)? If “Yes,” explain in Part VI what controls the organization used to ensure that all support to the foreign supported organization was used exclusively for section 170(c)(2)(B) purposes.
4c
 
 
5a
Did the organization add, substitute, or remove any supported organizations during the tax year? If “Yes,” answer (b) and (c) below (if applicable). Also, provide detail in Part VI, including (i) the names and EIN numbers of the supported organizations added, substituted, or removed; (ii) the reasons for each such action; (iii) the authority under the organization's organizing document authorizing such action; and (iv) how the action was accomplished (such as by amendment to the organizing document).
5a
 
 
b
Type I or Type II only. Was any added or substituted supported organization part of a class already designated in the organization's organizing document?
5b
 
 
c
Substitutions only. Was the substitution the result of an event beyond the organization's control?
5c
 
 
6
Did the organization provide support (whether in the form of grants or the provision of services or facilities) to anyone other than (i) its supported organizations, (ii) individuals that are part of the charitable class benefited by one or more of its supported organizations, or (iii) other supporting organizations that also support or benefit one or more of the filing organization’s supported organizations? If “Yes,” provide detail in Part VI.
6
 
 
7
Did the organization provide a grant, loan, compensation, or other similar payment to a substantial contributor (defined in section 4958(c)(3)(C)), a family member of a substantial contributor, or a 35% controlled entity with regard to a substantial contributor? If “Yes,” complete Part I of Schedule L (Form 990 or 990-EZ) .
7
 
 
8
Did the organization make a loan to a disqualified person (as defined in section 4958) not described in line 7? If “Yes,” complete Part I of Schedule L (Form 990 or 990-EZ).
8
 
 
9a
Was the organization controlled directly or indirectly at any time during the tax year by one or more disqualified persons as defined in section 4946 (other than foundation managers and organizations described in section 509(a)(1) or (2))? If “Yes,” provide detail in Part VI.
9a
 
 
b
Did one or more disqualified persons (as defined in line 9a) hold a controlling interest in any entity in which the supporting organization had an interest? If “Yes,” provide detail in Part VI.
9b
 
 
c
Did a disqualified person (as defined in line 9a) have an ownership interest in, or derive any personal benefit from, assets in which the supporting organization also had an interest? If “Yes,” provide detail in Part VI.
9c
 
 
10a
Was the organization subject to the excess business holdings rules of section 4943 because of section 4943(f) (regarding certain Type II supporting organizations, and all Type III non-functionally integrated supporting organizations)? If “Yes,” answer line 10b below.
10a
 
 
b
Did the organization have any excess business holdings in the tax year? (Use Schedule C, Form 4720, to determine whether the organization had excess business holdings).
10b
 
 
Schedule A (Form 990 or 990-EZ) 2019

Schedule A (Form 990 or 990-EZ) 2019
Page 5
Part IV
Supporting Organizations (continued)
Yes
No
11
Has the organization accepted a gift or contribution from any of the following persons?
a
A person who directly or indirectly controls, either alone or together with persons described in (b) and (c) below, the governing body of a supported organization?
11a
 
 
b
A family member of a person described in (a) above?
11b
 
 
c
A 35% controlled entity of a person described in (a) or (b) above? If “Yes” to a, b, or c, provide detail in Part VI.
11c
 
 
Section B. Type I Supporting Organizations
Yes
No
1
Did the directors, trustees, or membership of one or more supported organizations have the power to regularly appoint or elect at least a majority of the organization’s directors or trustees at all times during the tax year? If “No,” describe in Part VI how the supported organization(s) effectively operated, supervised, or controlled the organization’s activities. If the organization had more than one supported organization, describe how the powers to appoint and/or remove directors or trustees were allocated among the supported organizations and what conditions or restrictions, if any, applied to such powers during the tax year.
1
 
 
2
Did the organization operate for the benefit of any supported organization other than the supported organization(s) that operated, supervised, or controlled the supporting organization? If “Yes,” explain in Part VI how providing such benefit carried out the purposes of the supported organization(s) that operated, supervised or controlled the supporting organization.
2
 
 
Section C. Type II Supporting Organizations
Yes
No
1
Were a majority of the organization’s directors or trustees during the tax year also a majority of the directors or trustees of each of the organization’s supported organization(s)? If “No,” describe in Part VI how control or management of the supporting organization was vested in the same persons that controlled or managed the supported organization(s).
1
 
 
Section D. All Type III Supporting Organizations
Yes
No
1
Did the organization provide to each of its supported organizations, by the last day of the fifth month of the organization’s tax year, (i) a written notice describing the type and amount of support provided during the prior tax year, (ii) a copy of the Form 990 that was most recently filed as of the date of notification, and (iii) copies of the organization’s governing documents in effect on the date of notification, to the extent not previously provided?
1
 
 
2
Were any of the organization’s officers, directors, or trustees either (i) appointed or elected by the supported organization(s) or (ii) serving on the governing body of a supported organization? If "No," explain in Part VI how the organization maintained a close and continuous working relationship with the supported organization(s).
2
 
 
3
By reason of the relationship described in (2), did the organization’s supported organizations have a significant voice in the organization’s investment policies and in directing the use of the organization’s income or assets at all times during the tax year? If "Yes," describe in Part VI the role the organization’s supported organizations played in this regard.
3
 
 
Section E. Type III Functionally-Integrated Supporting Organizations
1
Check the box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions):
a
b
c
2
Activities Test. Answer (a) and (b) below.
Yes
No
a
Did substantially all of the organization’s activities during the tax year directly further the exempt purposes of the supported organization(s) to which the organization was responsive? If "Yes," then in Part VI identify those supported organizations and explain how these activities directly furthered their exempt purposes, how the organization was responsive to those supported organizations, and how the organization determined that these activities constituted substantially all of its activities.
2a
 
 
b
Did the activities described in (a) constitute activities that, but for the organization’s involvement, one or more of the organization’s supported organization(s) would have been engaged in? If "Yes," explain in Part VI the reasons for the organization’s position that its supported organization(s) would have engaged in these activities but for the organization’s involvement.
2b
 
 
3
Parent of Supported Organizations. Answer (a) and (b) below.
a
Did the organization have the power to regularly appoint or elect a majority of the officers, directors, or trustees of each of the supported organizations? Provide details in Part VI.
3a
 
 
b
Did the organization exercise a substantial degree of direction over the policies, programs and activities of each of its supported organizations? If "Yes," describe in Part VI. the role played by the organization in this regard.
3b
 
 
Schedule A (Form 990 or 990-EZ) 2019

Schedule A (Form 990 or 990-EZ) 2019
Page 6
Part V
Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations
1
Section A - Adjusted Net Income (A) Prior Year (B) Current Year
(optional)
1 Net short-term capital gain 1    
2 Recoveries of prior-year distributions 2    
3 Other gross income (see instructions) 3    
4 Add lines 1 through 3 4    
5 Depreciation and depletion 5    
6 Portion of operating expenses paid or incurred for production or collection of gross income or for management, conservation, or maintenance of property held for production of income (see instructions) 6    
7 Other expenses (see instructions) 7    
8 Adjusted Net Income (subtract lines 5, 6 and 7 from line 4) 8    
Section B - Minimum Asset Amount (A) Prior Year (B) Current Year
(optional)
1 Aggregate fair market value of all non-exempt-use assets (see instructions for short tax year or assets held for part of year): 1
a Average monthly value of securities 1a    
b Average monthly cash balances 1b    
c Fair market value of other non-exempt-use assets 1c    
d Total (add lines 1a, 1b, and 1c) 1d    
e Discount claimed for blockage or other factors
(explain in detail in Part VI):  
2 Acquisition indebtedness applicable to non-exempt use assets 2    
3 Subtract line 2 from line 1d 3    
4 Cash deemed held for exempt use. Enter 1-1/2% of line 3 (for greater amount, see instructions). 4    
5 Net value of non-exempt-use assets (subtract line 4 from line 3) 5    
6 Multiply line 5 by .035 6    
7 Recoveries of prior-year distributions 7    
8 Minimum Asset Amount (add line 7 to line 6) 8    
Section C - Distributable Amount Current Year
1 Adjusted net income for prior year (from Section A, line 8, Column A) 1  
2 Enter 85% of line 1 2  
3 Minimum asset amount for prior year (from Section B, line 8, Column A) 3  
4 Enter greater of line 2 or line 3 4  
5 Income tax imposed in prior year 5  
6 Distributable Amount. Subtract line 5 from line 4, unless subject to emergency temporary reduction (see instructions) 6  
7
Schedule A (Form 990 or 990-EZ) 2019

Schedule A (Form 990 or 990-EZ) 2019
Page 7
Part V
Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations(continued)
Section D - Distributions Current Year
1 Amounts paid to supported organizations to accomplish exempt purposes  
2 Amounts paid to perform activity that directly furthers exempt purposes of supported organizations, in
excess of income from activity		  
3 Administrative expenses paid to accomplish exempt purposes of supported organizations  
4 Amounts paid to acquire exempt-use assets  
5 Qualified set-aside amounts (prior IRS approval required)  
6 Other distributions (describe in Part VI). See instructions  
7Total annual distributions. Add lines 1 through 6.  
8 Distributions to attentive supported organizations to which the organization is responsive (provide
details in Part VI). See instructions		  
9 Distributable amount for 2019 from Section C, line 6  
10 Line 8 amount divided by Line 9 amount  
Section E - Distribution Allocations (see instructions) (i)
Excess Distributions 		(ii)
Underdistributions
Pre-2019 		(iii)
Distributable
Amount for 2019
1 Distributable amount for 2019 from Section C, line 6  
2 Underdistributions, if any, for years prior to 2019 (reasonable cause required-- explain in Part VI).
See instructions.		  
3 Excess distributions carryover, if any, to 2019:
a From 2014.......  
b From 2015.......  
c From 2016.......  
d From 2017.......  
e From 2018.......  
fTotal of lines 3a through e  
g Applied to underdistributions of prior years  
h Applied to 2019 distributable amount  
i Carryover from 2014 not applied (see
instructions) 		 
j Remainder. Subtract lines 3g, 3h, and 3i from 3f.  
4Distributions for 2019 from Section D, line 7:
$  
a Applied to underdistributions of prior years  
b Applied to 2019 distributable amount  
c Remainder. Subtract lines 4a and 4b from 4.  
5 Remaining underdistributions for years prior to
2019, if any. Subtract lines 3g and 4a from line 2.
If the amount is greater than zero, explain in Part VI.
See instructions.		  
6 Remaining underdistributions for 2019. Subtract
lines 3h and 4b from line 1. If the amount is greater
than zero, explain in Part VI. See instructions.		  
7 Excess distributions carryover to 2020. Add lines
3j and 4c.		  
8 Breakdown of line 7:
a Excess from 2015.....  
b Excess from 2016.....  
c Excess from 2017.....  
d Excess from 2018.....  
e Excess from 2019.....  
Schedule A (Form 990 or 990-EZ) (2019)

Schedule A (Form 990 or 990-EZ) 2019
Page 8
Part VI
Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; Part III, line 12; Part IV, Section A, lines 1, 2, 3b, 3c, 4b, 4c, 5a, 6, 9a, 9b, 9c, 11a, 11b, and 11c; Part IV, Section B, lines 1 and 2; Part IV, Section C, line 1; Part IV, Section D, lines 2 and 3; Part IV, Section E, lines 1c, 2a, 2b, 3a and 3b; Part V, line 1; Part V, Section B, line 1e; Part V Section D, lines 5, 6, and 8; and Part V, Section E, lines 2, 5, and 6. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
 
Return Reference Explanation
Schedule A, Part II, Line 10 Other Income DESCRIPTION - FUNDRAISING, COLUMN A - 416499.0, COLUMN B - 549545.0, COLUMN C - 1370565.0, COLUMN D - 1386550.0, COLUMN E - 789898.0, COLUMN F - 4513057.0;
Schedule A (Form 990 or 990-EZ) 2019


Additional Data


Software ID: 17005876
Software Version: 2017v2.2
Schedule B
(Form 990, 990-EZ,
or 990-PF)
Department of the Treasury
Internal Revenue Service
Schedule of Contributors

Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
Arrow Bullet Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2019
Name of the organization
Northwestern University
 
Employer identification number

36-2167817
Organization type (check one):
Filers of:
Section:
Form 990 or 990-EZ






Form 990-PF




Check if your organization is covered by the General Rule or a Special Rule.  
Note: Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
General Rule
Special Rules
......... Arrow Bullet $  
Caution: An organization that isn't covered by the General Rule and/or the Special Rules doesn't 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 doesn't 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) (2019)
Schedule B (Form 990, 990-EZ, or 990-PF) (2019) Page 2
Name of organization
Northwestern University
  		Employer identification number
36-2167817
Part I
Contributors
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
 
 
 
 

$  


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

$  


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

$  


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

$  


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

$  


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

$  


(Complete Part II for noncash contributions.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2019)
Schedule B (Form 990, 990-EZ, or 990-PF) (2019)
Page 3
Name of organization
Northwestern University
  		Employer identification number

36-2167817
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) (2019)
Schedule B (Form 990, 990-EZ, or 990-PF) (2019)
Page 4
Name of organization
Northwestern University
  		Employer identification number

36-2167817
Part III
Exclusively religious, charitable, etc., contributions to organizations described in section 501(c)(7), (8), or (10) that total more than $1,000 for the year from any one contributor. Complete columns (a) through (e) and the following line entry. For organizations completing Part III, enter the total of exclusively religious, charitable, etc., contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet$  
Use duplicate copies of Part III if additional space is needed.
(a)
No. from Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a)
No. from Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a)
No. from Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a)
No. from Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
Schedule B (Form 990, 990-EZ, or 990-PF) (2019)

Additional Data


Software ID: 17005876
Software Version: 2017v2.2
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 BulletGo to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2019
Open to Public
Inspection
If the organization answered "Yes" on 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" on 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" on Form 990, Part IV, Line 5 (Proxy Tax) (see separate instructions) or Form 990-EZ, Part V, line 35c (Proxy Tax) (see separate instructions), 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.

1
Provide a description of the organization’s direct and indirect political campaign activities in Part IV (see instructions for definition of “political campaign activities")

2
Political campaign activity expenditures (see instructions) ....................................................................SchCMd Bullet
$  
3
Volunteer hours for political campaign activities (see instructions) ..................................................................
 

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

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

$  
4
Did the filing organization file Form 1120-POL for this year? ...................................................................
5
Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing
organization made payments. For each organization listed, enter the amount paid from the filing organization’s funds. Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.
(a) Name (b) Address (c) EIN (d) Amount paid from filing organization's funds. If none, enter -0-. (e) Amount of political contributions received and promptly and directly delivered to a separate political organization. If none, enter -0-.
1
2
3
4
5
6
For Paperwork Reduction Act Notice, see the instructions for Form 990 or 990-EZ.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2019

Schedule C (Form 990 or 990-EZ) 2019
Page 2
Part II-A
Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)).
A Check SchCMd Bulletexpenses, and share of excess lobbying expenditures).
B Check SchCMd Bullet
Limits on Lobbying Expenditures
(The term "expenditures" means amounts paid or incurred.) 		(a) Filing
organization's
totals 		(b) Affiliated group totals
1a Total lobbying expenditures to influence public opinion (grass roots lobbying) ...................... 0  
b Total lobbying expenditures to influence a legislative body (direct lobbying) ........................ 672,552  
c Total lobbying expenditures (add lines 1a and 1b) ............................................................ 672,552  
d Other exempt purpose expenditures ............................................................................... 2,957,470,679  
e Total exempt purpose expenditures (add lines 1c and 1d) .................................................. 2,958,143,231  
f Lobbying nontaxable amount. Enter the amount from the following table in both
columns.		 1,000,000 0
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? ...................................................................................................................

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 separate instructions for lines 2a through 2f.)
Lobbying Expenditures During 4-Year Averaging Period
Calendar year (or fiscal year
beginning in) 		(a) 2016 (b) 2017 (c) 2018 (d) 2019 (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 778,346 693,210 545,895 672,552 2,690,003
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 0 0 0 0 0
Schedule C (Form 990 or 990-EZ) 2019


Schedule C (Form 990 or 990-EZ) 2019
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 on lines 1a through 1i below, provide in Part IV a detailed description of the lobbying activity.
(a)
Yes|No
(b)
Amount
1
During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of:
a
Volunteers? ...........................................................................................................
 
 
b
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ........
 
 
c
Media advertisements? ...................................................................................................
 
 
 
d
Mailings to members, legislators, or the public? .............................................................................
 
 
 
e
Publications, or published or broadcast statements? ...........................................................
 
 
 
f
Grants to other organizations for lobbying purposes? ..........................................................
 
 
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? .......................
 
 
 
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ..................
 
 
 
i
Other activities? ...................................................................................................................
 
 
 
j
Total. Add lines 1c through 1i ....................................................................................................
 
2a
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....
 
 
b
If "Yes," enter the amount of any tax incurred under section 4912 ...........................................
 
c
If "Yes," enter the amount of any tax incurred by organization managers under section 4912 ...................
 
d
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? ........................
 
 
Part III-A
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6).
Yes
No
1
Were substantially all (90% or more) dues received nondeductible by members? ...............................................
1
 
 
2
Did the organization make only in-house lobbying expenditures of $2,000 or less? ............................................
2
 
 
3
Did the organization agree to carry over lobbying and political expenditures from the prior year? .................................
3
 
 
Part III-B
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2, are answered "No" OR (b) Part III-A, line 3, is answered “Yes."
1
Dues, assessments and similar amounts from members ......................................................................
1
 
2
Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of political expenses for which the section 527(f) tax was paid).
a
Current year .............................................................................................................................
2a
 
b
Carryover from last year ............................................................................................................
2b
 
c
Total ...........................................................................................................................................
2c
 
3
Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues .
3
 
4
If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? ......................................................................................................................
4
 
5
Taxable amount of lobbying and political expenditures (see instructions) .........................................
5
 
Part IV
Supplemental Information
Provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, line 5; Part II-A (affiliated group list); Part II-A, lines 1 and 2 (see instructions), and Part ll-B, line 1. Also, complete this part for any additional information.
Return Reference Explanation
Schedule C (Form 990 or 990EZ) 2019


Additional Data


Software ID: 17005876
Software Version: 2017v2.2

SCHEDULE D
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Financial Statements
SchDMd Bullet Complete if the organization answered "Yes," on 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 Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2019
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" on Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year ......... 1 1
2 Aggregate value of contributions to (during year) 372,127 0
3 Aggregate value of grants from (during year) 20,186,550 0
4 Aggregate value at end of year ........ 7,048,208 2,711,967
5
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds are the organization’s property, subject to the organization’s exclusive legal control? ............
6
Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring impermissible private benefit? ...................................
Part II
Conservation Easements.
Complete if the organization answered "Yes" on Form 990, Part IV, line 7.
1
Purpose(s) of conservation easements held by the organization (check all that apply).
2
Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year.
Held at the End of the Year
a Total number of conservation easements ...................... 2a  
b Total acreage restricted by conservation easements .................... 2b  
c Number of conservation easements on a certified historic structure included in (a) ..... 2c  
d Number of conservation easements included in (c) acquired after 7/25/06, and not on a historic structure listed in the National Register ... 2d  
3
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the
tax year SchDMd Bullet  
4
Number of states where property subject to conservation easement is located SchDMd Bullet  
5
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and enforcement of the conservation easements it holds? ............
6
Staff and volunteer hours devoted to monitoring, inspecting, handling of violations, and enforcing conservation easements during the year
SchDMd Bullet  
7
Amount of expenses incurred in monitoring, inspecting, handling of violations, and enforcing conservation easements during the year
SchDMd Bullet $  
8
Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(i) and section 170(h)(4)(B)(ii)? .............................
9
In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and
balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes
the organization’s accounting for conservation easements.
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
Complete if the organization answered "Yes" on Form 990, Part IV, line 8.
1a
If the organization elected, as permitted under FASB ASC 958, not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII, the text of the footnote to its financial statements that describes these items.
b
If the organization elected, as permitted under FASB 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)
Revenue included on Form 990, Part VIII, line 1 .........................SchDMd Bullet $  
(ii)
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
2
If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the
following amounts required to be reported under FASB ASC 958 relating to these items:
a
Revenue included on Form 990, Part VIII, line 1 ..........................SchDMd Bullet $  
b
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 52283D
Schedule D (Form 990) 2019

Schedule D (Form 990) 2019
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply):
a
d
b
e
 
c
4
Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in
Part XIII.
5
During the year, did the organization solicit or receive donations of art, historical treasures or other similar
assets to be sold to raise funds rather than to be maintained as part of the organization’s collection?...
Part IV
Escrow and Custodial Arrangements. Complete if the organization answered "Yes" on Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21.
1a
Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................
b If "Yes," explain the arrangement in Part XIII and complete the following table: Amount
c Beginning balance ............................. 1c  
d Additions during the year ............................ 1d  
e Distributions during the year .......................... 1e  
f Ending balance ................................ 1f  
2a
Did the organization include an amount on Form 990, Part X, line 21, for escrow or custodial account liability? ...
b
If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII ....
Part V
Endowment Funds.
Complete if the organization answered "Yes" on Form 990, Part IV, line 10.
(a) Current year (b) Prior year (c) Two years back (d) Three years back (e) Four years back
1a Beginning of year balance .... 7,947,574,000 7,478,167,000 7,588,029,000 7,501,116,000 6,283,130,000
b Contributions ... 142,330,000 137,388,000 210,532,000 269,199,000 516,836,000
c Net investment earnings, gains, and losses 666,151,000 699,060,000 75,343,000 157,310,000 1,075,117,000
d Grants or scholarships ... 59,278,629 57,423,395 54,569,108 53,907,452 48,218,677
e Other expenditures for facilities
and programs ... 		309,858,371 309,617,605 341,167,892 285,688,548 325,748,323
f Administrative expenses ....       0 0
g End of year balance ...... 8,386,918,000 7,947,574,000 7,478,167,000 7,588,029,000 7,501,116,000
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet50.4 %
b
Permanent endowment SchDMd Bullet18.8 %
c
Term endowment SchDMd Bullet30.8 %
The percentages on lines 2a, 2b, and 2c should equal 100%.
3a
Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes
No
(i) Unrelated organizations .................
3a(i)
 
No
(ii) Related organizations .................
3a(ii)
 
No
b
If "Yes" on 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
 
 
4
Describe in Part XIII the intended uses of the organization's endowment funds.
Part VI
Land, Buildings, and Equipment.
Complete if the organization answered "Yes" on Form 990, Part IV, line 11a. See Form 990, Part X, line 10.
Description of property (a) Cost or other basis
(investment) 		(b) Cost or other basis (other) (c) Accumulated depreciation (d) Book value
1a Land .....   31,036,168 31,036,168
b Buildings ....   4,351,713,264 1,329,284,430 3,022,428,834
c Leasehold improvements   39,829,487 17,866,525 21,962,962
d Equipment ....   651,032,995 468,426,334 182,606,661
e Other .....        
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).)..SchDMdBullet 3,258,034,625
Schedule D (Form 990) 2019

Schedule D (Form 990) 2019
Page 3
Part VII
Investments—Other Securities.
Complete if the organization answered "Yes" on Form 990, Part IV, line 11b. See Form 990, Part X, line 12.
(a) Description of security or category
(including name of security)		 (b) Book value (c) Method of valuation:
Cost or end-of-year market value
(1) Financial derivatives......... 2,424,851,151 F
(2) Closely-held equity interests........    
(3) Other
(A) Equity, fixed income, real assets, etc		 6,908,445,873 F
(C)
(D)
(E)
(F)
(G)
(H)
(I)
Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 9,333,297,024
Part VIII
Investments—Program Related. Complete if the organization answered 'Yes' on 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
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 13.)Small Bullet  
Part IX
Other Assets.
Complete if the organization answered 'Yes' on Form 990, Part IV, line 11d. See Form 990, Part X, line 15.
(a) Description (b) Book value
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........Small Bullet  
Part X
Other Liabilities.
Complete if the organization answered 'Yes' on Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.
1.(a) Description of liability (b) Book value
(1) Federal income taxes 1,443,376
(9)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 2,050,818,753
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) 2019

Schedule D (Form 990) 2019
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return. Complete if the organization answered 'Yes' on 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 (losses) 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' on Form 990, Part IV, line 12a.
1 Total expenses and losses per audited financial statements ........... 1  
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:
a Donated services and use of facilities ......... 2a  
b Prior year adjustments ............ 2b  
c Other losses ................ 2c  
d Other (Describe in Part XIII.) ............ 2d  
e Add lines 2a through 2d.................... 2e  
3 Subtract line 2e from line 1................... 3  
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b .. 4a  
b Other (Describe in Part XIII.) ............ 4b  
c Add lines 4a and 4b..................... 4c  
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5  
Part XIII
Supplemental Information
Provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part lV, lines 1b and 2b; Part V, line 4; Part X, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.
Return Reference Explanation
Schedule D, Part III, Line 1a ART COLLECTIONS EXPLANATION: 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.
Schedule D, Part X LINE 1(4) - 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, Part V, Line 4 Intended uses of endowment funds The University's endowment funds purposes include instruction, research, library collections, scholarships and awards, and building construction.
Schedule D, Part X, Line 2 FIN 48 (ASC 740) footnote 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.
Schedule D (Form 990) 2019


Additional Data


Software ID: 17005876
Software Version: 2017v2.2




SCHEDULE E(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Schools

Right pointing arrow large image Complete if the organization answered "Yes" on 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 Go to www.irs.gov/Form990EZ for the latest information.
OMB No. 1545-0047 2019Open to Public Inspection
Name of the organization
Northwestern University
 
Employer identification number

36-2167817
Part I
YES
NO
1
Does the organization have a racially nondiscriminatory policy toward students by statement in its charter, bylaws,
other governing instrument, or in a resolution of its governing body? . . . . . . . . . . . . . . . . . . .
1
Yes
 
2
Does the organization include a statement of its racially nondiscriminatory policy toward students in all its
brochures, catalogues, and other written communications with the public dealing with student admissions,
programs, and scholarships? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
Yes
 
3
Has the organization publicized its racially nondiscriminatory policy through newspaper or broadcast media during
the period of solicitation for students, or during the registration period if it has no solicitation program, in a way
that makes the policy known to all parts of the general community it serves? If "Yes," please describe. If "No,"
please explain. If you need more space use Part II. . . . . . . . . . . . . . . . . . . . . . . . .
3
Yes
 
 
4
Does the organization maintain the following?
a
Records indicating the racial composition of the student body, faculty, and administrative staff? . . . . . . . . .
4a
Yes
 
b
Records documenting that scholarships and other financial assistance are awarded on a racially nondiscriminatory
basis? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4b
Yes
 
c
Copies of all catalogues, brochures, announcements, and other written communications to the public dealing
with student admissions, programs, and scholarships? . . . . . . . . . . . . . . . . . . . . . . .
4c
Yes
 
d
Copies of all material used by the organization or on its behalf to solicit contributions? . . . . . . . . . . . .
4d
Yes
 
If you answered "No" to any of the above, please explain. If you need more space, use Part II.
 
5
Does the organization discriminate by race in any way with respect to:
a
Students' rights or privileges? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5a
 
No
b
Admissions policies? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5b
 
No
c
Employment of faculty or administrative staff? . . . . . . . . . . . . . . . . . . . . . . . . .
5c
 
No
d
Scholarships or other financial assistance? . . . . . . . . . . . . . . . . . . . . . . . . . .
5d
 
No
e
Educational policies? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5e
 
No
f
Use of facilities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5f
 
No
g
Athletic programs? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5g
 
No
h
Other extracurricular activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5h
 
No
If you answered "Yes" to any of the above, please explain. If you need more space, use Part II.
 
6a
Does the organization receive any financial aid or assistance from a governmental agency? . . . . . . . . . .
6a
Yes
 
b
Has the organization's right to such aid ever been revoked or suspended? . . . . . . . . . . . . . . . .
6b
 
No
If you answered "Yes" to either line 6a or line 6b, explain on Part II.
7
Does the organization certify that it has complied with the applicable requirements of sections 4.01 through 4.05
of Rev. Proc. 75-50, 1975-2 C.B. 587, covering racial nondiscrimination? If "No," explain on Part II. . . . . . . . .
7
Yes
 
Paperwork Reduction Act Notice, see the Instructions for Form 990 or Form 990-EZ.
Cat. No. 50085D
Schedule E (Form 990 or 990-EZ) (2019)
Schedule E (Form 990 or 990EZ) (2019)
Page 2
Part II
Supplemental Information. Provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable. Also provide
any other additional information. See instructions.
Return Reference Explanation
Schedule E, Part I, Line 3 RACIALLY NONDISCRIMINATORY POLICY Policies are included in student, faculty, and staff handbooks and the student course catalog. Policies are posted on University websites, posted throughout campus including student centers and the admissions office, and distributed to undergraduate students.
Schedule E, Part I, Line 6(a) FINANCIAL AID OR ASSISTANCE FROM A GOVERNMENT The University receives financial support from agencies of the federal and state government for research and instructional purposes, including for financial aid to students.
Schedule E, Part I, Line 7 RACIAL NONDISCRIMINATION COMPLIANCE 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 STATUS, 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) (2019)
Additional Data


Software ID: 17005876
Software Version: 2017v2.2
SCHEDULE F(Form 990)
Department of the Treasury
Internal Revenue Service
Statement of Activities Outside the United States
Right pointing arrow large image Complete if the organization answered "Yes" to Form 990, Part IV, line 14b, 15, or 16.Right pointing arrow large image Attach to Form 990.Right pointing arrow large image Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2019
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" on Form 990, Part IV, line 14b.
1
For grantmakers. Does the organization maintain records to substantiate the amount of its grants and
other assistance, the grantees’ eligibility for the grants or assistance, and the selection criteria used
to award the grants or assistance? . . . . . . . . . . . . . . . . . . . . . . . . .
2
For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of its grants and other assistance outside the United States.
3
Activites per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees, agents, and independent contractors in the region (d) Activities conducted in region (by type) (such as, 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 the region		 (f) Total expenditures
for and investments
in the region
Middle East and North Africa 1 424 ,Maintaining offices, employees, or agents International campus in Doha, Qatar for students in journalism and communication 50,641,657
East Asia and the Pacific 0 0 Grantmaking   567,685
Europe (Including Iceland and Greenland) 0 0 Grantmaking   2,497,282
Middle East and North Africa 0 0 Grantmaking   140,406
North America (Canada & Mexico only) 0 0 Grantmaking   789,948
South America 0 0 Grantmaking   131,645
South Asia 0 0 Grantmaking   29,792
Sub-Saharan Africa 0 0 Grantmaking   662,277
East Asia and the Pacific 0 0 ,Program-Related Investments   10,000
Europe (Including Iceland and Greenland) 0 0 ,Program-Related Investments   36,234
Central America and the Caribbean 0 0 Unrelated Business Activities   784
East Asia and the Pacific 0 0 Unrelated Business Activities   1,018
Europe (Including Iceland and Greenland) 0 0 Unrelated Business Activities   8,822
Middle East and North Africa 0 0 Unrelated Business Activities   2,947
North America (Canada & Mexico only) 0 0 Unrelated Business Activities   1,038
South America 0 0 Unrelated Business Activities   416
Sub-Saharan Africa 0 0 Unrelated Business Activities   682
Central America and the Caribbean 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 88,836
East Asia and the Pacific 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 1,842,974
Europe (Including Iceland and Greenland) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 3,657,880
Middle East and North Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 914,437
North America (Canada & Mexico only) 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 554,279
Russia and Neighboring States 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 66,142
South America 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 269,052
South Asia 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 161,466
Sub-Saharan Africa 0 0 Program Services Business travel abroad (includes travel to attend seminars and conferences and research-related travel) 351,397
Central America and the Caribbean 0 0 Program Services Study abroad programs and courses abroad 577,681
East Asia and the Pacific 0 0 Program Services Study abroad programs and courses abroad 2,280,988
Europe (Including Iceland and Greenland) 0 0 Program Services Study abroad programs and courses abroad 3,769,835
Middle East and North Africa 0 0 Program Services Study abroad programs and courses abroad 1,044,384
North America (Canada & Mexico only) 0 0 Program Services Study abroad programs and courses abroad 742,027
South America 0 0 Program Services Study abroad programs and courses abroad 411,156
South Asia 0 0 Program Services Study abroad programs and courses abroad 152,065
Sub-Saharan Africa 0 0 Program Services Study abroad programs and courses abroad 889,278
East Asia and the Pacific 0 0 Fundraising   210,288
Europe (Including Iceland and Greenland) 0 0 Fundraising   103,539
Middle East and North Africa 0 0 Fundraising   17,296
North America (Canada & Mexico only) 0 0 Fundraising   10,848
Central America and the Caribbean 0 0 Investments   2,586,000,000
Europe (Including Iceland and Greenland) 0 0 Investments   361,200,000
North America (Canada & Mexico only) 0 0 Investments   85,360,000
Sub-Saharan Africa 0 0 Investments   105,260,000
3a Sub-total .... 1 424 55,521,951
b Total from continuation sheets to Part I ... 0 0 3,155,936,530
c Totals (add lines 3a and 3b) 1 424 3,211,458,481
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2019
Schedule F (Form 990) 2019
Page 2
Part II
Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" on Form 990, Part IV, line 15, for any recipient who received more than $5,000. Part II can be duplicated if additional space is needed.
1 (a) Name of organization (b) IRS code section
and EIN (if applicable)		 (c) Region (d) Purpose of
grant 		(e) Amount of
cash grant 		(f) Manner of
cash
disbursement 		(g) Amount
of noncash
assistance 		(h) Description
of noncash
assistance 		(i) Method of
valuation
(book, FMV,
appraisal, other)
South Asia Support of charitable organization 12,500 ACH Direct Deposit or Check      
Middle East and North Africa Support of research activities 29,006 ACH Direct Deposit or Check      
Europe (Including Iceland and Greenland) Support of research activities 149,040 ACH Direct Deposit or Check      
North America (Canada & Mexico only) Support of research activities 11,860 ACH Direct Deposit or Check      
North America (Canada & Mexico only) Support of research activities 16,440 ACH Direct Deposit or Check      
Europe (Including Iceland and Greenland) Support of research activities 41,382 ACH Direct Deposit or Check      
Europe (Including Iceland and Greenland) Support of research activities 191,886 ACH Direct Deposit or Check      
Sub-Saharan Africa Support of research activities 148,735 ACH Direct Deposit or Check      
Sub-Saharan Africa Support of research activities 43,951 ACH Direct Deposit or Check      
Sub-Saharan Africa Support of research activities 20,941 ACH Direct Deposit or Check      
North America (Canada & Mexico only) Support of research activities 119,729 ACH Direct Deposit or Check      
North America (Canada & Mexico only) Support of research activities 5,650 ACH Direct Deposit or Check      
Middle East and North Africa Support of research activities 85,842 ACH Direct Deposit or Check      
East Asia and the Pacific Support of research activities 93,611 ACH Direct Deposit or Check      
South Asia Support of charitable organization 12,000 ACH Direct Deposit or Check      
Sub-Saharan Africa Support of research activities 130,672 ACH Direct Deposit or Check      
North America (Canada & Mexico only) Support of research activities 9,230 ACH Direct Deposit or Check      
North America (Canada & Mexico only) Support of research activities 16,655 ACH Direct Deposit or Check      
North America (Canada & Mexico only) Support of research activities 22,753 ACH Direct Deposit or Check      
North America (Canada & Mexico only) Support of research activities 580,404 ACH Direct Deposit or Check      
East Asia and the Pacific Support of research activities 118,373 ACH Direct Deposit or Check      
Sub-Saharan Africa Support of research activities 67,276 ACH Direct Deposit or Check      
Europe (Including Iceland and Greenland) Support of research activities 14,929 ACH Direct Deposit or Check      
Sub-Saharan Africa Support of research activities 22,317 ACH Direct Deposit or Check      
Sub-Saharan Africa Support of research activities 106,415 ACH Direct Deposit or Check      
Europe (Including Iceland and Greenland) Support of research activities 130,538 ACH Direct Deposit or Check      
South Asia Support of research activities 5,292 ACH Direct Deposit or Check      
2 Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter .......MediumBullet
1
3 Enter total number of other organizations or entities .......................MediumBullet
26
Schedule F (Form 990) 2019
Schedule F (Form 990) 2019Page 3
Part III
Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" on Form 990, Part IV, line 16.
Part III can be duplicated if additional space is needed.
(a) Type of grant or assistance (b) Region (c) Number of recipients (d) Amount of
cash grant 		(e) Manner of cash
disbursement 		(f) Amount of
noncash
assistance 		(g) Description
of noncash
assistance 		(h) Method of
valuation
(book, FMV,
appraisal, other)
Grants disbursed during student's enrollment in international program East Asia and the Pacific 23 355,701 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program Europe (Including Iceland and Greenland) 151 1,969,507 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program Middle East and North Africa 3 25,558 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program North America (Canada & Mexico only) 4 7,227 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program South America 15 131,645 Applied to student account; credits are refunded by check      
Grants disbursed during student's enrollment in international program Sub-Saharan Africa 16 121,970 Applied to student account; credits are refunded by check      
               
               
               
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2019
Schedule F (Form 990) 2019
Page 4
Part IV
Foreign Forms
1 Was the organization a U.S. transferor of property to a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 926, Return by a U.S. Transferor of Property to a Foreign Corporation (see Instructions for Form 926). . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2 Did the organization have an interest in a foreign trust during the tax year? If "Yes," the organization may be required to separately 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; don't file with Form 990). . . . . . . . . . . . . . . . . . . . . . . .
3 Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 5471, Information Return of U.S. Persons with Respect to Certain Foreign Corporations. (see Instructions for Form 5471). . . . . . . . . . . . . . . . . . . . . . . . . . . .
4 Was the organization a direct or indirect shareholder of a passive foreign investment company or a qualified electing fund during the tax year? If “Yes,” the organization may be required to file Form 8621, Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see Instructions for Form 8621) .
5 Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," the organization may be required to file Form 8865, Return of U.S. Persons with Respect to Certain Foreign Partnerships (see Instructions for Form 8865). . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
6 Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organization may be required to separately file Form 5713, International Boycott Report (see Instructions for Form 5713; don't file with Form 990).. . . . . . . . . . . . . . . . . . . . . . . . . . . .
Schedule F (Form 990) 2019
Schedule F (Form 990) 2019
Page 5
Part V
Supplemental Information
Provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information. See instructions.
ReturnReference Explanation
Schedule F, Part I, Line 2 Procedures for monitoring use of grant funds 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 the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld.
Schedule F, Part II, Line 1 Method used to account for cash grants 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 27 organizations that received grants in Part II, 19 are universities, colleges, and hospitals; 3 are research centers; one is a healthcare NGO; and one is a section 501(c)(3) organization.
Schedule F, Part III(c) Estimated number of recipients 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 date 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, Part I, Line 1 Program Services The program services listed in Part I reflect international educational programs in which the University has 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 students' 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 programs are not separately tracked, and therefore some expenditures per program are not listed in Part I, column (f).
Schedule F, Part I, Line 3(f) Method used to account for expenditures Expenditures reported in 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 (Form 990) 2019
Additional Data


Software ID: 17005876
Software Version: 2017v2.2



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" on Form 990, Part IV, lines 17, 18, or 19, or if the organization entered more than $15,000 on Form 990-EZ, line 6a. right arrowAttach to Form 990 or Form 990-EZ.
right arrowGo to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2019
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" on Form 990, Part IV, line 17.
Form 990-EZ filers are not required to complete this part.
1
Indicate whether the organization raised funds through any of the following activities. Check all that apply.
a e
b f
c g
d
2a
Did the organization have a written or oral agreement with any individual (including officers, directors, trustees
or key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services?
b
If "Yes," list the 10 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
 
Alexander Ross Group
2406 Prairie Ave
 
Evanston, IL60201 		Fundraising campaign consultant   No   97,837 -97,837
 
Elisa Lewis Kline
578 Woodland Lane N
 
Northfield, IL60093 		Fundraising campaign consultant   No   23,769 -23,769
 
Marcy B Waldinger Consulting LLC
3228 West Dobson Place
 
Ann Arbor, MI48105 		Grant application assistance   No   43,133 -43,133
 
Meeting Achievements Inc
232 E 500 N
 
Valparaiso, IN46383 		Symposium sponsorship solicitor Yes   824,575 125,183 699,392
 
Stelter
10435 New York Ave
 
Des Moines, IA50322 		Fundraising marketing consultant   No   119,960 -119,960
 
Timothy Volpe
1360 Verano Drive
 
Palm Springs, CA92264 		Grant application assistance   No   14,587 -14,587
             
             
             
             
Total . . . . . . . . . . . . . . . . . . . . right arrow 824,575 424,469 400,106
3
List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registration or licensing.
CA, CO, CT, DE, DC, FL, GA, AL, HI, ID, IL, IN, IA, KS, KY, LA, ME, AK, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, AZ, RI, SC, SD, TN, TX, UT, VT, VA, WA, WV, WI, WY
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2019
Schedule G (Form 990 or 990-EZ) 2019
Page 2
Part II
Fundraising Events. Complete if the organization answered "Yes" on 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.









VerticalRevenue
(a) Event #1

Dance Marathon
(event type) 		(b) Event #2

Global Health Benefit
(event type) 		(c) Other events

13
(total number) 		(d) Total events
(add col. (a) through col. (c))

1
Gross receipts . . . . .
1,286,421
802,560
1,431,231
3,520,212

2
Less: Contributions . . . .
1,047,548
787,380
895,386
2,730,314
3 Gross income (line 1 minus
line 2) . . . . . .
238,873
15,180
535,845
789,898



VerticalDirectExpenses
4 Cash prizes . . . . . 0 0 0 0
5 Noncash prizes . . . . 0 0 0 0
6 Rent/facility costs . . . . 104,285 0 139,350 243,635
7 Food and beverages . . . 0 66,641 150,540 217,181
8 Entertainment . . . .   900 7,749 8,649
9 Other direct expenses . . . 15,689 28,446 125,471 169,606
10 Direct expense summary. Add lines 4 through 9 in column (d) . . . . . . . . . . right arrow 639,071
11 Net income summary. Subtract line 10 from line 3, column (d). . . . . . . . . . right arrow 150,827
Part III
Gaming. Complete if the organization answered "Yes" on Form 990, Part IV, line 19, or reported more than $15,000 on Form 990-EZ, line 6a.
VerticalRevenue
(a) Bingo (b) Pull tabs/Instant
bingo/progressive bingo 		(c) Other gaming (d) Total gaming (add col.(a) through col.(c))

1
Gross revenue . . . . .
 
 
 
 
VerticalDirectExpenses

2
Cash prizes . . . . .
 
 
 
 

3
Noncash prizes . . . .
 
 
 
 

4
Rent/facility costs . . . .
 
 
 
 

5
Other direct expenses . . .
 
 
 
 


6

Volunteer labor . . . .
%
%
%


7
Direct expense summary. Add lines 2 through 5 in column (d) . . . . . . . . . . right arrow
 

8
Net gaming income summary. Subtract line 7 from line 1, column (d). . . . . . . . . right arrow
 

9
Enter the state(s) in which the organization conducts gaming activities:
a
Is the organization licensed to conduct gaming activities in each of these states? . . . . . . . .
b
If "No," explain:
 
10a
Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year? . . .
b
If "Yes," explain:
 
Schedule G (Form 990 or 990-EZ) 2019
Schedule G (Form 990 or 990-EZ) 2019
Page 3
11
Does the organization conduct gaming activities with nonmembers? . . . . . . . . . . .
12
Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entity
formed to administer charitable gaming? . . . . . . . . . . . . . . . . .
13
Indicate the percentage of gaming activity conducted in:
a
The organization's facility . . . . . . . . . . . . . . . . . .
13a
%
b
An outside facility . . . . . . . . . . . . . . . . . . . .
13b
%
14
Enter the name and address of the person who prepares the organization's gaming/special events books and records:
Name right arrow
Address right arrow
15a
Does the organization have a contract with a third party from whom the organization receives gaming
revenue? . . . . . . . . . . . . . . . . . . . . . . . .
b
If "Yes," enter the amount of gaming revenue received by the organization right arrow $   and the
amount of gaming revenue retained by the third party right arrow $   .
c
If "Yes," enter name and address of the third party:
Name right arrow
Address right arrow
16
Gaming manager information:
Name right arrow
Gaming manager compensation right arrow $  
Description of services provided right arrow
 
17
Mandatory distributions:
a
Is the organization required under state law to make charitable distributions from the gaming proceeds to
retain the state gaming license? . . . . . . . . . . . . . . . . . . .
b
Enter the amount of distributions required under state law distributed to other exempt organizations or spent
in the organization's own exempt activities during the tax year right arrow$  
Part IV
Supplemental Information. Provide the explanations required by Part I, line 2b, columns (iii) and (v); and Part III, lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also provide any additional information. See instructions.
Return Reference Explanation
Schedule G, Part I, Line 3 State Solicitation Registrations No registration is required in Arizona, Delaware, Idaho, Indiana, Iowa, Nebraska, South Dakota, Texas, Vermont, and Wyoming.
Schedule G, Part I, Line 2b(v) Reimbursement of Expenses The following professional fundraisers received reimbursements for expenses associated with their services to the University (the amount of expenses reimbursed as reflected): Alexander Ross Group ($4,892), Marcy B. Waldinger Consulting LLC ($1,533), Meeting Achievements ($1,914), and Stelter ($11,663), all in accordance with written agreements specifying reimbursement of expenses.
Schedule G, Part I, Line 2b(iii) Custody of funds Meeting Achievements received $230,000 of funds on behalf of the University and remitted the entire amount to the University.
Schedule G, Part I, Line 2b(ii) Describe the custody or control arrangement. MEETING ACHIEVEMENTS INC.-MEETING ACHIEVEMENTS RECEIVED $230,000 OF FUNDS ON BEHALF OF THE UNIVERSITY AND REMITTED THE ENTIRE AMOUNT TO THE UNIVERSITY.;
Schedule G, Part I, Line 2b(v) payment of fees or payment of expenses ALEXANDER ROSS GROUP-ALEXANDER ROSS GROUP RECEIVED $4,892 FOR EXPENSES AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.;MARCY B. WALDINGER CONSULTING, LLC-MARCY B. WALDINGER CONSULTING, LLC RECEIVED REIMBURSEMENTS FOR EXPENSES OF $1,533 AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.;MEETING ACHIEVEMENTS INC.-MEETING ACHIEVEMENTS RECEIVED REIMBURSEMENTS FOR EXPENSES OF $1,914 AS AGREED IN ASSOCIATION WITH SERVICES TO THE UNIVERSITY.;STELTER-STELTER RECEIVED REIMBURSEMENTS FOR EXPENSES OF $11,663 AS AGREED FOR PRINTING AND POSTAGE IN ASSOCIATION WITH SERVICES PROVIDED TO THE UNIVERSITY.;
Schedule G (Form 990 or 990-EZ) 2019
Additional Data


Software ID: 17005876
Software Version: 2017v2.2

Note: To capture the full content of this document, please select landscape mode (11" x 8.5") when printing.

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," on Form 990, Part IV, line 21 or 22.
lBullet Attach to Form 990.
lBullet Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2019
Open to Public
Inspection
Name of the organization
Northwestern University
 
Employer identification number
36-2167817
Part I
General Information on Grants and Assistance
1
Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and
the selection criteria used to award the grants or assistance? ........................
2
Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.
Part II
Grants and Other Assistance to Domestic Organizations and Domestic Governments. Complete if the organization answered "Yes" on 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 section
(if applicable)		 (d) Amount of cash grant (e) Amount of non-cash
assistance		 (f) Method of valuation
(book, FMV, appraisal,
other)		 (g) Description of
noncash assistance		 (h) Purpose of grant
or assistance
(1) Access Community Health Network
222 N Canal St
Chicago,IL60606 		36-3317058 501(c)(3) 69,918       Support of research activities
(2) Adler Planetarium & Astronomy Museum
1300 South Lake Shore Drive
Chicago,IL60605 		36-6210902 501(c)(3) 69,064       Support of research activities
(3) Adventist Health SystemSunbelt Inc
601 E Rollins St
Orlando,FL32803 		59-1479658 501(c)(3) 6,649       Support of research activities
(4) Aging & In-Home Services of Northeast Indiana Inc
2927 Lake Avenue
Fort Wayne,IN46805 		35-1341437 501(c)(3) 16,702       Support of research activities
(5) AHS Hospital Corp
475 South Street
Morristown,NJ07962 		52-1958352   22,620       Support of research activities
(6) AIDS Arms Inc
219 Sunset Ave
Dallas,TX75208 		75-2306145 501(c)(3) 326,105       Support of research activities
(7) AIDS Foundation of Chicago
200 W Jackson Blvd Suite 2100
Chicago,IL60606 		36-3412054 501(c)(3) 6,259       Support of research activities
(8) Albany Medical College
47 New Scotland Ave MC70
Albany,NY12208 		14-1338310 501(c)(3) 13,655       Support of research activities
(9) Albert Einstein College of Medicine Inc
1300 Morris Park Avenue
Bronx,NY10461 		47-2209056 501(c)(3) 48,141       Support of research activities
(10) Alliance of Chicago Community Health Services LLC
215 W Ohio St 4th Floor
Chicago,IL60654 		36-4444309   1,291,684       Support of research activities
(11) American Institutes for Research
1000 Thomas Jefferson St NW
Washington,DC20007 		25-0965219 501(c)(3) 86,759       Support of research activities
(12) American Medical Association
515 N State Street
Chicago,IL60654 		36-6080517 501(c)(3) 264,512       Support of research activities
(13) Ann & Robert H Lurie Children's Hospital of Chicago
225 E Chicago Avenue
Chicago,IL60611 		36-2170833 501(c)(3) 4,632,908       Support of research activities
(14) Arizona State University
Office of Research and Spon Proj
PO BOX 876011
Tempe,AZ85287 		86-0196696 501(c)(3) 14,764       Support of research activities
(15) Augusta University Research Institute Inc
PO Box 945552
Atlanta,GA303945552 		58-1418202 501(c)(3) 8,752       Support of research activities
(16) Banner Health
10515 W Santa Fe Drive
Sun City,AZ85351 		45-0233470 501(c)(3) 12,390       Support of research activities
(17) Baptist Hospital of Miami
8900 N Kendall Dr
Miami,FL33176 		59-0910342 501(c)(3) 5,020       Support of research activities
(18) Baylor College of Medicine
1 Baylor Plaza
Houston,TX77030 		74-1613878 501(c)(3) 93,447       Support of research activities
(19) Baylor Research Institute
3310 Live Oak Street
Suite 501
Dallas,TX75204 		74-1613878 501(c)(3) 123,387       Support of research activities
(20) Beckman Research Institute of the City of Hope
1500 East Duarte Road
Duarte,CA91010 		95-3432210 501(c)(3) 22,298       Support of research activities
(21) Boston Medical Center
One Boston Medical Center Pl
Boston,MA02118 		04-3314093 501(c)(3) 924,908       Support of research activities
(22) Boston University
One Silber Way
Boston,MA02115 		04-2103547 501(c)(3) 562,671       Support of research activities
(23) Boys & Girls Clubs of Chicago
550 W Van Buren Street
Suite 350
Chicago,IL60607 		36-2166997 501(c)(3) 59,610       Support of research activities
(24) Brigham and Women's Hospital
75 Francis St
Boston,MA02115 		04-2312909 501(c)(3) 573,754       Support of research activities
(25) Brigham Young University
A-285 ASB
Provo,UT846021231 		87-0217280 501(c)(3) 5,610       Support of research activities
(26) Brown University
45 Prospect Street
Providence,RI02912 		05-0258809 501(c)(3) 117,847       Support of research activities
(27) California State University Fullerton
800 North State College Blvd
Fullerton,CA92831 		95-2081258 115 20,374       Support of research activities
(28) California State University Northridge
18111 Nordhoff Street
Northridge,CA91330 		95-4358677 115 179,237       Support of research activities
(29) Campbell-Kibler Associates Inc
80 Lakeside Dr
Groton,MA01450 		04-3297519   16,540       Support of research activities
(30) Canfield Scientific Inc
253 Passaic Avenue
Fairfield,NJ070042524 		22-2938062   7,078       Support of research activities
(31) Cardiac Surgery Clinical Research Center Inc
4400 West 95th St Suite 205
Oak Lawn,IL60453 		36-4437722 501(c)(3) 18,667       Support of research activities
(32) CareIT Health LLC
5307 S Hyde Park Blvd
Unit 2N
Chicago,IL60615 		37-1760920   56,216       Support of research activities
(33) Carnegie Mellon University
5000 Forbes Ave
Pittsburgh,PA15213 		25-0969449 501(c)(3) 48,093       Support of research activities
(34) Case Western Reserve University
10900 Euclid Ave
Cleveland,OH44106 		34-1018992 501(c)(3) 15,093       Support of research activities
(35) Cedars-Sinai Medical Center
8700 Beverly Blvd
Hollywood,CA90048 		95-1644600 501(c)(3) 465,106       Support of research activities
(36) Center on Halsted
3656 Halsted Street
Chicago,IL60613 		51-0178807 501(c)(3) 9,057       Support of research activities
(37) Chicago Academy of Sciences
2430 North Cannon Drive
Chicago,IL60614 		36-0895575 501(c)(3) 25,000       Support of research activities
(38) Chicago Association for Research and Education in Science
5000 S 5th Avenue
Building One Room C303
Hines,IL60141 		36-3334177 501(c)(3) 47,910       Support of research activities
(39) Chicago Botanic Garden
1000 Lake Cook Road
Glencoe,IL60022 		36-2225482 501(c)(3) 415,000       Support of research activities
(40) Children's Hospital Boston
300 Longwood Avenue
Boston,MA021155724 		04-2774441 501(c)(3) 161,146       Support of research activities
(41) Children's Hospital Los Angeles
4650 Sunset Blvd Mail Stop 97
Los Angeles,CA90027 		95-6121916 501(c)(3) 9,278       Support of research activities
(42) Children's Hospital of Philadelphia
34th Street and Civic Center Blvd
Philadelphia,PA19104 		23-1352166 501(c)(3) 278,467       Support of research activities
(43) Children's Research Institute
111 Michigan Ave NW
Washington,DC20010 		52-1654453 501(c)(3) 192,297       Support of research activities
(44) Chinese American Service League
2141 S Tan Ct
Chicago,IL60616 		36-2984043 501(c)(3) 78,327       Support of research activities
(45) Cincinnati Children's Hospital Medical Center
3333 Burnet Ave
Cincinnati,OH45229 		31-0833936 501(c)(3) 261,893       Support of research activities
(46) Citizens United for Research in Epilepsy
430 West Erie Street
Chicago,IL60654 		36-4253176 501(c)(3) 6,000       Support of research activities
(47) City of Evanston
2100 Ridge Ave
Evanston,IL60201 		36-6005870 115 1,000,000       Support of commmunity organization
(48) CJE SeniorLife
Bernard Horwich Building
3003 W Touhy Ave
Chicago,IL60645 		36-2727597 501(c)(3) 16,228       Support of research activities
(49) Clark University
950 Main Street
Worcester,MA01610 		04-2111203 501(c)(3) 53,965       Support of research activities
(50) Clemson University
300 Brackett Hall 321 Calhoun Drive
Clemson,SC29634 		57-6000254 115 6,608       Support of research activities
(51) Cleveland Clinic
9500 Euclid Avenue
Cleveland,OH44195 		34-0714585 501(c)(3) 166,554       Support of research activities
(52) Clinical Directors Network Inc
5 W 37th Street 10th Floor
New York,NY10010 		14-1717344   16,517       Support of research activities
(53) Colorado School of Mines
1500 Illinois Street
Golden,CO80401 		84-6000551 115 224,289       Support of research activities
(54) Columbia University
615 W 131st St
New York,NY10027 		13-1624202 501(c)(3) 392,684       Support of research activities
(55) Community Action Project of Tulsa County Inc
4606 S Garnett Ste 100
Tulsa,OK74146 		73-1019247 501(c)(3) 89,047       Support of research activities
(56) Construction Technology Laboratories Inc
5400 Old Orchard Road
Skokie,IL60077 		36-3478051   23,586       Support of research activities
(57) Cornell University
222 Day Hall
Ithaca,NY14853 		15-0532082 501(c)(3) 677,256       Support of research activities
(58) Corporation for the Advancement of Policy Evaluation
PO Box 2393
Princeton,NJ08543 		52-1645606   221,568       Support of research activities
(59) Cradles to Crayons
150 North Beacon Street
Brighton,MA02135 		04-3584367 501(c)(3) 896,881       Charitable fundraising conducted by student organization
(60) Dana-Farber Cancer Institute
44 Binney St
Boston,MA02115 		04-2263040 501(c)(3) 34,346       Support of research activities
(61) Dartmouth College
420 Lexington Ave
New York,NY10170 		02-0222111 501(c)(3) 7,110       Support of research activities
(62) Denver Nephrology
130 Rampart Way Suite 300B
Denver,CO80230 		84-0591433   32,563       Support of research activities
(63) DePaul University
1 E Jackson
Chicago,IL60604 		36-2167048 501(c)(3) 212,086       Support of research activities
(64) Dimension Inx LLC
303 E Superior St
Chicago,IL60611 		81-3581892   32,376       Support of research activities
(65) Drexel University
Office of Research
3201 Arch Street Suite 100
Philadelphia,PA19104 		23-1352630 501(c)(3) 14,790       Support of research activities
(66) Duke University
2200 West Main St
Erwin Square Suite 820
Durham,NC27705 		56-0532129 501(c)(3) 1,353,712       Support of research activities
(67) Eastern Virginia Medical School
PO Box 1980
Norfolk,VA23501 		54-6055378 115 313,305       Support of research activities
(68) Emory University
201 Dowman Dr
Atlanta,GA30322 		58-0566256 501(c)(3) 292,776       Support of research activities
(69) Engineering and Software System Solutions Inc
550 West C Street Suite 1630
San Diego,CA92101 		33-0976413   44,325       Support of research activities
(70) Enlace Chicago
2756 South Harding Ave
Chicago,IL60623 		36-3727669 501(c)(3) 15,230       Support of research activities
(71) Erie Family Health Center
1701 W Superior St
Chicago,IL60622 		36-3088628 501(c)(3) 1,341,346       Support of research activities
(72) Evanston Community Foundation
1560 Sherman Avenue No 535
Evanston,IL60201 		36-3466802 501(c)(3) 104,875       Charitable fundraising conducted by student organization
(73) Evanston Township High School District 202
1600 Dodge Avenue
Evanston,IL60201 		36-6004393 115 16,031       Support of research activities
(74) EvanstonSkokie School District 65
1500 McDaniel Avenue
Evanston,IL60201 		36-6007570 115 47,384       Support of research activities
(75) Executive Frameworks Ltd
2705 W Agatite Ave 1
Chicago,IL60625 		37-1450886   82,631       Support of research activities
(76) Exploratorium
Pier 17 Suite 100
San Francisco,CA941111456 		94-1696494 501(c)(3) 6,011       Support of research activities
(77) Fairview Health Services
2450 Riverside Avenue
Minneapolis,MN55454 		41-0991680 501(c)(3) 26,862       Support of research activities
(78) Fayetteville State University
1200 Murchison Rd
Fayetteville,NC28301 		56-1238736 501(c)(3) 120,921       Support of research activities
(79) Feinstein Institute for Medical Research
350 Community Dr
Manhasset,NY11030 		11-2673595 501(c)(3) 32,192       Support of research activities
(80) FirstVitals Health and Wellness Inc
PO Box 94526
Danville,CA94526 		27-3446639   13,325       Support of research activities
(81) Florida International University
Modesto A Maidique Campus
11200 SW 8 Street MARC 430
Miami,FL331990001 		65-0177616 501(c)(3) 84,486       Support of research activities
(82) Florida State University
600 W College Ave
Tallahassee,FL32306 		59-1961248 115 62,617       Support of research activities
(83) Fordham University
441 E Fordham Road
Bronx,NY10458 		13-1740451 501(c)(3) 62,102       Support of research activities
(84) Fred Hutchinson Cancer Research Center
1100 Fairview Ave N PO Box 19024
Seattle,WA98109 		12-3715607 501(c)(3) 273,799       Support of research activities
(85) Friends of the Robert Crown Center
PO Box 8064
Evanston,IL60204 		81-3741773 501(c)(3) 333,333       Support of commmunity organization
(86) Geisinger Clinic
100 North Academy Avenue
Danville,PA17822 		23-1995911 501(c)(3) 379,844       Support of research activities
(87) Geneva Foundation
917 Pacific Ave Suite 600
Tacoma,WA98402 		91-1593913 501(c)(3) 18,052       Support of research activities
(88) George Mason University
4400 University Drive MSN 4C6
University Hall Suite 3100
Fairfax,VA22030 		54-0836354 501(c)(3) 26,832       Support of research activities
(89) George Washington University
2121 I St NW
Washington,DC20052 		53-0196584 501(c)(3) 199,554       Support of research activities
(90) Georgetown University
37th O Streets NW Box 571168
Washington,DC200571168 		53-0196603 501(c)(3) 17,598       Support of research activities
(91) Georgia Institute of Technology
505 Tenth St
Atlanta,GA30332 		58-0603146 501(c)(3) 97,394       Support of research activities
(92) Georgia State University
30 Courtland St NE Ste 217
Atlanta,GA30303 		58-1845423 501(c)(3) 24,201       Support of research activities
(93) Gilda's Club
537 N Wells
Chicago,IL60654 		36-4115144 501(c)(3) 10,000       Support of research activities
(94) Gingiber Labs
901 S Cedar St
Palatine,IL600677176 		46-5472360   113,765       Support of research activities
(95) H Lee Moffitt Cancer Center & Research Institute
12902 Magnolia Ave
Tampa,FL33612 		59-2451713 501(c)(3) 9,449       Support of research activities
(96) Harvard University
Massachusetts Hall
Cambridge,MA02138 		04-2103580 501(c)(3) 634,272       Support of research activities
(97) HDT Expeditionary Systems Inc
30500 Aurora Road
Solon,OH44139 		54-1251757   84,972       Support of research activities
(98) Health Quest Medical Practice PC
45 Reade Pl
Poughkeepsie,NY12601 		56-2669185 501(c)(3) 12,425       Support of research activities
(99) HealthPartners Institute
3311 E Old Shakopee Rd
Bloomington,MN554251361 		41-1670163 501(c)(3) 161,630       Support of research activities
(100) Hektoen Institute for Medical Research
2240 W Ogden Ave
Chicago,IL60612 		36-2244897 501(c)(3) 520,119       Support of research activities
(101) Help at Home LLC
1 N State St Suite 800
Chicago,IL60602 		36-2820808   6,000       Support of research activities
(102) Henry M Jackson Foundation for the Advancement of Military Medicine
6720-A Rockledge Dr
Bethesda,MD20817 		52-1317896 501(c)(3) 24,374       Support of research activities
(103) Hoosier Cancer Research Network Inc
500 N Meridian Street
Suite 100
Indianapolis,IN46204 		26-0303542 501(c)(3) 9,000       Support of research activities
(104) Horizon Research Inc
326 Cloister Ct
Chapel Hill,NC27514 		56-1550276   12,670       Support of research activities
(105) Howard Brown Health Center
4025 N Sheridan Road
Chicago,IL60613 		36-2894128 501(c)(3) 21,062       Support of research activities
(106) Icahn School of Medicine at Mount Sinai
One Gustave L Levy Place Box 1075
New York,NY10029 		13-6171197 501(c)(3) 598,021       Support of research activities
(107) Illinois Department of Public Health
535 West Jefferson Street
Springfield,IL62761 		01-0632628 115 73,155       Support of research activities
(108) Illinois Institute of Technology
3300 South Federal Street
Chicago,IL60616 		36-2170136 501(c)(3) 75,996       Support of research activities
(109) Illinois Public Health Association
223 S 3rd St
Springfield,IL62701 		36-6108790 501(c)(3) 73,220       Support of research activities
(110) Illinois Science and Technology Institute
222 W Merchandise Mart Plaza
Chicago,IL60654 		45-4092094 501(c)(3) 23,917       Support of research activities
(111) Indiana Hemophilia & Thrombosis Center Inc
8402 Harcourt Road
Indianapolis,IN46260 		35-2047838   20,841       Support of research activities
(112) Indiana University
509 E 3rd Street
Bloomington,IN47401 		35-6001673 115 424,140       Support of research activities
(113) Innovations for Poverty Action
101 Whitney Ave
New Haven,CT06510 		06-1660068   8,304       Support of research activities
(114) Institute for Cancer Research (aka Fox Chase Cancer Center)
333 Cottman Ave
Philadelphia,PA191112434 		23-6296135 501(c)(3) 170,909       Support of research activities
(115) Institute for Clinical Research Inc
PO Box 29545
Washington,DC200170745 		52-1336656 501(c)(3) 74,367       Support of research activities
(116) Iowa State University
3810 Beardshear Hall
Ames,IA50011 		42-6004224 115 11,155       Support of research activities
(117) J Craig Venter Institute
9704 Medical Center Dr
Rockville,MD20850 		52-1842938 501(c)(3) 59,385       Support of research activities
(118) Jackson Laboratory
600 Main Street
Bar Harbor,ME04609 		01-0211513 501(c)(3) 234,160       Support of research activities
(119) Jewish Federation of Metropolitan Chicago
30 S Wells
Chicago,IL60606 		36-2167034 501(c)(3) 619,613       Charitable fundraising conducted by student organization
(120) Johns Hopkins University
Charles St and University
Baltimore,MD21210 		52-0595110 501(c)(3) 772,092       Support of research activities
(121) Joslin Diabetes Center Inc
One Joslin Place
Boston,MA02215 		04-2203836 501(c)(3) 129,693       Support of research activities
(122) Juvenile Protective Association
1707 N Halsted Street
Chicago,IL60614 		36-2167765 501(c)(3) 25,000       Support of research activities
(123) Kaiser Foundation Research Institute
3800 N Interstate Ave
Portland,OR97227 		94-1105628 501(c)(3) 81,864       Support of research activities
(124) Kentucky Refugee Ministries
969-B Cherokee Road
Louisville,KY40204 		61-1229842 501(c)(3) 50,000       Support of community organization
(125) Les Turner ALS foundation
5550 Touhy Avenue
Suite 302
Skokie,IL60077 		36-2916466 501(c)(3) 5,500       Support of research activities
(126) Louis Stokes Cleveland VA Medical Center
10701 East Boulevard
Cleveland,OH44106 		34-1710663 501(c)(3) 81,560       Support of research activities
(127) Loyola University Chicago
1032 W Sheridan Rd
Chicago,IL60660 		36-1408475 501(c)(3) 34,361       Support of research activities
(128) Lynn Sage Cancer Research Foundation
541 North Fairbanks Court
Chicago,IL60611 		36-3727715 501(c)(3) 10,000       Support of research activities
(129) Lyric Opera of Chicago
20 N Wacker Drive
Chicago,IL60606 		36-6008929 501(c)(3) 7,500       Support of research activities
(130) MarketLab Research Inc
100 Penn Square East Suite 1200
Philadelphia,PA19107 		23-2502559   1,254,373       Support of research activities
(131) Massachusetts General Hospital
55 Fruit St
Boston,MA02114 		04-1564655 501(c)(3) 481,911       Support of research activities
(132) Massachusetts Institute of Technology
77 Massachusetts Ave
Cambridge,MA02142 		04-2103594 501(c)(3) 91,563       Support of research activities
(133) Mayo Clinic Arizona
13400 East Shea Blvd
Scottsdale,AZ85259 		86-0800150 501(c)(3) 388,573       Support of research activities
(134) Mayo Clinic Jacksonville
4500 San Pablo Rd
Jacksonville,FL32224 		59-3337028 501(c)(3) 215,685       Support of research activities
(135) Mayo Clinic Rochester
200 First St SW
Rochester,MN55905 		41-6011702 501(c)(3) 222,365       Support of research activities
(136) Medical College of Wisconsin
8701 Watertown Plank Rd
Milwaukee,WI53226 		39-0806261 501(c)(3) 335,678       Support of research activities
(137) Medical Research Analytics and Informatics Alliance
20 North Wacker Drive c/o TechNexus
Chicago,IL60606 		45-3007467   244,544       Support of research activities
(138) Medical University of South Carolina
179 Ashley Ave
Charleston,SC29425 		57-6000722 115 106,716       Support of research activities
(139) Memorial Hospital of Rhode Island
111 Brewster St
Pawtucket,RI02680 		05-0259004 501(c)(3) 30,841       Support of research activities
(140) Memorial Sloan-Kettering Cancer Center
1275 York Ave
New York,NY10065 		13-1624182 501(c)(3) 183,888       Support of research activities
(141) Mercy Hospital & Medical Center
2525 S Michigan Ave
Chicago,IL60616 		36-2170152 501(c)(3) 141,296       Support of research activities
(142) MetaStar Inc
2909 Landmark Place
Madison,WI53713 		39-1332612 501(c)(3) 234,534       Support of research activities
(143) Methodist Hospital
6670 Bertner Street
Houston,TX77030 		87-0721923 501(c)(3) 34,688       Support of research activities
(144) Metropolitan Asian Family Services
505 N Roselle
Roselle,IL601721013 		36-3925432   20,165       Support of research activities
(145) Michigan State University
113 Angell Bldg
East Lansing,MI48824 		38-6005984 115 98,095       Support of research activities
(146) Midwestern University
555 31st St
Downers Grove,IL60515 		36-3377698 501(c)(3) 6,508       Support of research activities
(147) Millennium Park Foundation
201 East Randolph
Chicago,IL60601 		36-4244167 501(c)(3) 10,000       Support of research activities
(148) Mind Research Network
1101 Yale Blvd NE
Albuquerque,NM87106 		85-0457562 501(c)(3) 60,027       Support of research activities
(149) Missouri University of Science and Technology
300 W 12th St 202 Centennial Hall
Rolla,MO65401 		43-6003859 115 26,872       Support of research activities
(150) Myomo Inc
One Broadway
14th Floor
Cambridge,MA02142 		47-0944526   51,951       Support of research activities
(151) National Bureau of Economic Research Inc
1050 Massachusetts Ave
Cambridge,MA02138 		13-1641075 501(c)(3) 22,395       Support of research activities
(152) National Jewish Health
1400 Jackson St
Denver,CO80206 		74-2044647 501(c)(3) 64,283       Support of research activities
(153) Neighborhood Health Group LLC
5860 W Higgins Ave
Chicago,IL60630 		98-1107218   354,762       Support of research activities
(154) New Jersey Institute of Technology
323 Dr Martin Luther King Jr Blvd
Newark,NJ07102 		22-6000910 115 35,624       Support of research activities
(155) New York University (aka New York University School of Medicine)
665 Broadway
New York,NY100122331 		13-5562308 501(c)(3) 222,204       Support of research activities
(156) North Carolina State University
2711 Founders Dr
Raleigh,NC27695 		56-6000756 115 32,299       Support of research activities
(157) Northern Illinois University
1425 W Lincoln Hwy
DeKalb,IL60115 		36-6086819 501(c)(3) 557,539       Support of research activities
(158) NorthShore University HealthSystem Research Institute
2650 Ridge Ave
Evanston,IL60201 		36-4191793 501(c)(3) 1,127,357       Support of research activities
(159) Northwestern Medical Faculty Foundation Inc
680 N Lake Shore Dr
Chicago,IL60611 		36-3097297 501(c)(3) 856,000       Support of research activities
(160) Northwestern Memorial Hospital
240 E Ontario Street
Chicago,IL60611 		37-0960170 501(c)(3) 13,827       Support of research activities
(161) Northwestern University Settlement House
1400 West Augusta Blvd
Chicago,IL60642 		36-2167818 501(c)(3) 25,000       Support of research activities
(162) Objective Arts Inc
20 N Wacker Drive
Chicago,IL60606 		75-2975237   126,720       Support of research activities
(163) Ochsner Clinic Foundation
1514 Jefferson Hwy
New Orleans,LA701212429 		72-0502505 501(c)(3) 61,480       Support of research activities
(164) Ohio State University
154 W 12th Ave
Columbus,OH43210 		31-6025986 115 111,241       Support of research activities
(165) Oklahoma State University
113 Student Union
Stillwater,OK74078 		73-1383996 115 283,898       Support of research activities
(166) OptoNet Inc
828 Davis Street
Suite 206
Evanston,IL60201 		74-3092128   42,968       Support of research activities
(167) Oregon Health & Science University
3181 Southwest Sam Jackson Park Rd
Portland,OR97239 		93-1176109 115 197,330       Support of research activities
(168) Oregon State University
Office of Sponsored Programs
312 Kerr Administration Building
Corvallis,OR973312140 		48-1278540 501(c)(3) 92,892       Support of research activities
(169) OSF Saint Francis Medical Center
530 NE Glen Oak Avenue
Peoria,IL61637 		37-0813229 501(c)(3) 48,924       Support of research activities
(170) Pacific Health Research and Education Institute
3375 Koapaka St Ste I-540
Honolulu,HI96819 		99-0303308 501(c)(3) 7,560       Support of research activities
(171) Palo Alto University
1791 Arastradero Road
Palo Alto,CA94304 		94-2340692 501(c)(3) 15,180       Support of research activities
(172) Park Street Solutions Company
One Energy Center
40 Shuman Blvd Suite 295
Naperville,IL60563 		20-1152430   46,675       Support of research activities
(173) Pennsylvania State University
308 Old Main
University Park,PA16802 		24-6000376 115 279,826       Support of research activities
(174) Portland VA Research Foundation Inc
PO Box 69539
Portland,OR97239 		94-3090170 501(c)(3) 41,123       Support of research activities
(175) Presence Health Network
200 S Wacker Dr 11th Floor
Chicago,IL60606 		36-1649520 501(c)(3) 52,401       Support of research activities
(176) Primodal US Incorporated
305 Burrows Rd
Kalamazoo,MI49006 		26-0701716   7,250       Support of research activities
(177) Princeton University
PO BOX 36 ORPA 4 New South Building
Princeton,NJ08544 		21-0634501 501(c)(3) 47,045       Support of research activities
(178) Product Development & Analysis LLC
1776 Legacy Circle
Suite 115
Naperville,IL60563 		36-4121041   20,600       Support of research activities
(179) Prosthetic Design Inc
700 Harco Drive
Clayton,OH45315 		31-1341713   30,706       Support of research activities
(180) Purdue University
610 Purdue Mall
West Lafayette,IN47906 		35-6002041 115 593,277       Support of research activities
(181) QuesTek Innovations LLC
1820 Ridge Avenue
Evanston,IL60201 		36-4116425   272,885       Support of research activities
(182) Rancho Research Institute
PO Box 3500
Downey,CA90242 		95-1911180 501(c)(3) 22,994       Support of research activities
(183) Ravinia Festival Association
418 Sheridan Road
Highland Park,IL60035 		36-6002273 501(c)(3) 14,000       Support of research activities
(184) Rehabilitation Institute of Chicago
345 E Superior St
Chicago,IL60611 		36-2256036 501(c)(3) 699,518       Support of research activities
(185) Research Foundation for Mental Hygiene Inc
150 Broadway Suite 301
Menands,NY12204 		14-1410842 501(c)(3) 8,745       Support of research activities
(186) Research Foundation of The City University of New York
65-30 Kissena Blvd
Queens,NY11367 		13-1988190 501(c)(3) 380,157       Support of research activities
(187) Research Triangle Institute
12 Davis Dr
RESEARCH TRIANGLE PARK,NC27709 		56-0686338 501(c)(3) 110,422       Support of research activities
(188) Rho Federal Systems Division Inc
6330 Quadrangle Dr
Chapel Hill,NC27517 		56-1927659   9,440       Support of research activities
(189) Rice University
6100 Main St
Houston,TX77005 		74-1109620 501(c)(3) 58,858       Support of research activities
(190) Rocky Mountain Movement Disorders Center PC
701 E Hampden Ave Suite 510
Englewood,CO80113 		26-0756771   16,570       Support of research activities
(191) Rosalind Franklin University of Medicine & Science
3333 Green Bay Road
North Chicago,IL600643037 		36-2181973 501(c)(3) 7,877       Support of research activities
(192) Rush University Medical Center
1653 W Congress Parkway
Chicago,IL60612 		36-2174823 501(c)(3) 1,594,031       Support of research activities
(193) Rutgers University
57 US Highway 1
New Brunswick,NJ08901 		22-6001086 501(c)(3) 23,612       Support of research activities
(194) Saint Luke's Hospital (Kansas City MO)
4401 Wornall Road
Kansas City,MO64111 		44-0545297 501(c)(3) 34,832       Support of research activities
(195) Sanford Burnham Prebys Medical Discovery Institute
10901 N Torrey Pines Rd
La Jolla,CA92037 		51-0197108 501(c)(3) 304,111       Support of research activities
(196) Scheck & Siress Prosthetics Inc
1S376 Summit Avenue Court E
Oakbrook Terrace,IL60181 		36-3217435   63,872       Support of research activities
(197) Schneider Electric Engineering Services LLC
1415 S Roselle Rd
Palatine,IL600677337 		36-2440683   5,575       Support of research activities
(198) Scripps Research Institute
10550 N Torrey Pines Rd
La Jolla,CA92037 		33-0435954 501(c)(3) 551,089       Support of research activities
(199) Seattle Children's Research Institute
1904 9th Ave
Seattle,WA98105 		91-1156519 501(c)(3) 15,539       Support of research activities
(200) Sentara Healthcare
6015 Poplar Hall Dr
Norfolk,VA23502 		52-1271901 501(c)(3) 21,465       Support of research activities
(201) Siemens Corporation
300 New Jersey Avenue Suite 1000
Washington,DC20001 		13-2623358   224,892       Support of research activities
(202) SocialWorks
12100 Wilshire Blvd
Los Angeles,CA90025 		81-3662609 501(c)(3) 5,809       Charitable fundraising conducted by student organization
(203) SRI International
333 Ravenswood Ave
Menlo Park,CA94025 		94-1160950   13,034       Support of research activities
(204) St Vincent Medical Group Inc
8333 Naab Rd
Indianapolis,IN462601992 		27-2039417   12,137       Support of research activities
(205) Stanford University
295 Galvez St
Stanford,CA94305 		94-1156365 501(c)(3) 437,114       Support of research activities
(206) Start Small Think Big
8 W 126th Street
New York,NY10027 		27-1821066 501(c)(3) 53,151       Support of community organization
(207) Syracuse University
113 Bowne Hall
Syracuse,NY13244 		15-0532081 501(c)(3) 89,160       Support of research activities
(208) Telligen Inc
1776 West Lakes Pkwy
West Des Moines,IA50266 		42-0992483   291,133       Support of research activities
(209) Temple University
1801 N Broad Street
Philadelphia,PA19122 		23-1365971 501(c)(3) 332,666       Support of research activities
(210) Texas Tech University
2500 Broadway
Lubbock,TX79409 		75-6002622 501(c)(3) 133,458       Support of research activities
(211) The Art Institute of Chicago
111 S Michigan Ave
Chicago,IL60603 		36-2167725 501(c)(3) 10,000       Support of research activities
(212) Tidemark Institute
73 Bristol Road
Damariscotta,ME04543 		45-5139751 501(c)(3) 42,560       Support of research activities
(213) Tufts Medical Center
800 Washington Street
Boston,MA02111 		27-0440772 501(c)(3) 38,613       Support of research activities
(214) Tufts University
Office of Research Administration
136 Harrison Ave
Boston,MA02155 		04-2103634 501(c)(3) 35,715       Support of research activities
(215) Tulane University
6823 St Charles Ave
New Orleans,LA70118 		72-0423889 501(c)(3) 888,113       Support of research activities
(216) UChicago Argonne LLC Argonne National Laboratory
9700 S Cass Ave
Lemont,IL60439 		68-0628477 115 59,366       Support of research activities
(217) United States Drug Testing Laboratories Inc
1700 S Mount Prospect Rd
Des Plaines,IL60018 		42-1612910   242,989       Support of research activities
(218) United Way of Metropolitan Chicago
333 South Wabash Avenue
Chicago,IL60604 		30-0200478 501(c)(3) 15,000       Support of research activities
(219) Universidad Popular
2801 S Hamlin Ave
Chicago,IL60623 		36-3028729 501(c)(3) 13,277       Support of research activities
(220) University of Alabama at Birmingham
1530 3rd Ave South
Birmingham,AL35294 		63-6005396 115 550,318       Support of research activities
(221) University of Arizona
617 N Santa Rita Ave
Tucson,AZ85721 		74-2652689 115 87,764       Support of research activities
(222) University of California Berkeley
200 California Hall
Berkeley,CA94720 		94-6002123 115 162,465       Support of research activities
(223) University of California Davis
One Shields Ave
Davis,CA95616 		94-6036494 115 182,076       Support of research activities
(224) University of California Irvine
Office of Administration
5171 California Ave Suite 150
Irvine,CA92697 		95-2226406 115 128,295       Support of research activities
(225) University of California Los Angeles
11000 Kinross Ave Suite 211
Los Angeles,CA90095 		95-6006143 115 143,309       Support of research activities
(226) University of California San Diego
9500 Gilman Dr
La Jolla,CA92093 		95-6006144 115 445,615       Support of research activities
(227) University of California San Francisco
505 Parnassus Ave
San Francisco,CA94143 		56-6001393 115 841,936       Support of research activities
(228) University of California Santa Cruz
Office of Sponsored Projects
Santa Cruz,CA950641077 		94-1539563 115 16,564       Support of research activities
(229) University of Central Florida
12201 Research Parkway Suite 501
Orlando,FL328263246 		59-2924021 501(c)(3) 92,936       Support of research activities
(230) University of Chicago
5801 S Ellis Ave
Chicago,IL60637 		36-2177139 501(c)(3) 8,111,344       Support of research activities
(231) University of Chicago National Opinion Research Center
1155 East 60th Street
Chicago,IL60637 		36-2167808 501(c)(3) 314,127       Support of research activities
(232) University of Cincinnati
2600 Clifton Ave
Cincinnati,OH45221 		31-6000989 115 80,416       Support of research activities
(233) University of Colorado
13001 East 17th Place
Bldg 500 Room W1126
Aurora,CO80045 		84-6000555 501(c)(3) 903,156       Support of research activities
(234) University of Connecticut Health Center
263 Farmington Ave
Farmington,CT06030 		36-6009515 115 103,889       Support of research activities
(235) University of Delaware
Hullihen Hall 175 S College Av
Newark,DE19716 		51-6000297 501(c)(3) 110,293       Support of research activities
(236) University of Florida
201 Criser Hall
Gainesville,FL32611 		59-6002052 115 425,265       Support of research activities
(237) University of Idaho
875 Permimeter Dr
Moscow,ID838443020 		82-6000945 115 65,349       Support of research activities
(238) University of Illinois at Chicago
809 S Marshfield Avenue
MB 502 M/C 551
Chicago,IL606124305 		37-6000511 115 5,330,377       Support of research activities
(239) University of Illinois at Urbana-Champaign
601 E John St
Champaign,IL61820 		37-6000511 115 955,425       Support of research activities
(240) University of Iowa
100 Mossman Business Svcs Bldg
Iowa City,IA52245 		42-6004813 115 256,708       Support of research activities
(241) University of Kansas Medical Center Research Institute
3901 Rainbow Boulevard MSN 1039
Kansas City,KS66160 		48-1108830 501(c)(3) 87,412       Support of research activities
(242) University of Kentucky
100 Funkhouser Bldg
Lexington,KY40506 		61-6001218 115 156,071       Support of research activities
(243) University of Louisiana at Lafayette
104 University Circle
Lafayette,LA70503 		72-6000820 115 194,721       Support of research activities
(244) University of Maryland
2108 Mitchell Bldg
College Park,MD20742 		52-6002033 115 197,351       Support of research activities
(245) University of Massachusetts Amherst
70 Butterfield Terrace
Amherst,MA01003 		04-3167352 115 93,021       Support of research activities
(246) University of Miami
1252 Memorial Dr
Coral Gables,FL33146 		59-0624458 501(c)(3) 401,404       Support of research activities
(247) University of Michigan
515 E Jefferson
Ann Arbor,MI48109 		38-6000134 115 958,984       Support of research activities
(248) University of Minnesota
101 Pleasant St
Minneapolis,MN55455 		41-6007513 115 384,833       Support of research activities
(249) University of Missouri-Columbia
310 Jesse Hall
Columbia,MO652111230 		43-6003859 115 33,246       Support of research activities
(250) University of Nebraska Medical Center
987835 Nebraska Medical Center
Omaha,NE68198 		47-0491233 115 14,187       Support of research activities
(251) University of Nebraska-Lincoln
3835 Holdrege St
Lincoln,NE68583 		47-0049123 115 48,041       Support of research activities
(252) University of Nevada Las Vegas
Office of Sponsored Programs
Las Vegas,NV891541055 		88-6000024 115 25,035       Support of research activities
(253) University of North Carolina at Chapel Hill
9201 University City Blvd
Charlotte,NC28223 		56-6000642 115 862,623       Support of research activities
(254) University of Notre Dame
317 Main Building
Notre Dame,IN46556 		35-0868188 501(c)(3) 7,846       Support of research activities
(255) University of Pennsylvania
3451 Walnut St
Philadelphia,PA19104 		23-1352685 501(c)(3) 514,145       Support of research activities
(256) University of Pittsburgh
4227 Fifth Ave
Pittsburgh,PA15260 		25-0965591 501(c)(3) 627,411       Support of research activities
(257) University Of Puerto Rico Medical Sciences Campus
P O Box 365067
San Juan,PR009365067 		66-0433760   100,732       Support of research activities
(258) University of Rochester
518 Hylan Building
Rochester,NY14627 		16-0743209 501(c)(3) 982,340       Support of research activities
(259) University of South Carolina
1600 Hampton Street Room 612
Columbia,SC29208 		57-6001153 501(c)(3) 7,565       Support of research activities
(260) University of South Florida - Tampa
4202 E Fowler Ave
Tampa,FL33620 		59-3102112 115 32,403       Support of research activities
(261) University of Southern California
1540 Alcazar St
Los Angeles,CA90089 		95-1642394 501(c)(3) 634,241       Support of research activities
(262) University of Texas at Austin
2100 San Jacinto Blvd
Austin,TX78712 		74-6000203 115 501,491       Support of research activities
(263) University of Texas at San Antonio
One UTSA Circle
San Antonio,TX78249 		74-1717115 115 40,228       Support of research activities
(264) University of Texas Health Science Center at Houston
7000 Fannin UCT 1006
Houston,TX77030 		74-1761309 115 23,537       Support of research activities
(265) University of Texas M D Anderson Cancer Center
1515 Holcombe Blvd
Houston,TX77030 		76-0273984 115 12,077       Support of research activities
(266) University of Texas Medical Branch at Galveston
301 University Boulevard
Galveston,TX775550657 		74-6000949 501(c)(3) 14,645       Support of research activities
(267) University of Texas Southwestern Med Ctr at Dallas
5323 Harry Hines Blvd
Dallas,TX75390 		75-6002868 115 282,229       Support of research activities
(268) University of Utah
201 S 1460 E
Salt Lake City,UT84112 		87-6000121 115 634,205       Support of research activities
(269) University of Virginia
1 College Park
Wise,VA24293 		54-6001796 115 733,890       Support of research activities
(270) University of Washington
1410 NE Campus Parkway
Seattle,WA98195 		91-6001537 115 533,524       Support of research activities
(271) University of Wisconsin-Madison
750 University Avenue 4th Floor
AW Peterson Building
Madison,WI537061490 		39-1805963 501(c)(3) 916,873       Support of research activities
(272) Van Andel Research Institute
333 Bostwick Ave NE
Grand Rapids,MI49503 		52-2000823 501(c)(3) 60,415       Support of research activities
(273) Vanderbilt University
2201 West End Ave
Nashville,TN37235 		62-0476822 501(c)(3) 852,407       Support of research activities
(274) Vanderbilt University Medical Center
CCC-3322 Medical Center North
Nashville,TN372322103 		62-0476822 501(c)(3) 20,657       Support of research activities
(275) Veterans Medical Research Foundation of San Diego
3350 La Jolla Village Dr
San Diego,CA92161 		33-0189397 501(c)(3) 34,383       Support of research activities
(276) Village of Skokie Health Department
5127 Oakton Street
Skokie,IL60077 		36-6006103 115 88,594       Support of research activities
(277) Virginia Commonwealth University
PO Box 980568
Richmond,VA232980568 		54-6001758 501(c)(3) 14,401       Support of research activities
(278) Virginia Polytechnic Institute and State University
Office of Sponsored Programs
300 Turner Street NW
Blacksburg,VA24061 		54-6001805 501(c)(3) 15,038       Support of research activities
(279) Wake Forest University Health Sciences
1834 Wake Forest Rd
WinstonSalem,NC27106 		90-0222618 501(c)(3) 19,637       Support of research activities
(280) Walter Reed National Military Medical Center
8901 Rockville Pike
Bethesda,MD20889 		77-0706389 115 42,965       Support of research activities
(281) Washington University in St Louis
One Brookings Dr
St Louis,MO63130 		43-0653611 501(c)(3) 718,315       Support of research activities
(282) Wayne State University
PO Box 02759
Detroit,MI48202 		38-3555142 501(c)(3) 57,303       Support of research activities
(283) Weill Cornell Medical College
445 E 69th Street
New York,NY10021 		13-1623978 501(c)(3) 109,209       Support of research activities
(284) WestEd
730 Harrison Street
San Francisco,CA94107 		94-3233542 115 19,642       Support of research activities
(285) Westside Institute for Science and Education
820 S Damen Avenue
Chicago,IL60612 		36-3712391 501(c)(3) 68,568       Support of research activities
(286) Wright State University
3640 Colonel Glenn Hwy
Dayton,OH45435 		31-0732831 115 16,360       Support of research activities
(287) Yale University
140 Prospect St
New Haven,CT06511 		06-0646973 501(c)(3) 199,476       Support of research activities
(288) YMCA of the USA
101 North Wacker Drive
Chicago,IL60606 		36-3258696 501(c)(3) 13,501       Support of research activities
2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................. Bullet Image
247
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
41
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2019

Schedule I (Form 990) 2019
Page 2
Part III
Grants and Other Assistance to Domestic Individuals. Complete if the organization answered "Yes" on 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
noncash assistance		 (e) Method of valuation (book,
FMV, appraisal, other)		 (f) Description of noncash assistance
(1) Student grants, scholarships, and fellowships are financial aid that can be used towards educational related costs. 18261 398,534,261 186,176 Book Winter gear and computers
(2) Prizes and awards reflect prizes and awards to non-employees in recognition of an accomplishment, activity, or event. 228 490,396      
(2)
(3)
(4)
(5)
(6)
(7)
Part IV
Supplemental Information. Provide the information required in Part I, line 2; Part III, column (b); and any other additional information.
Return Reference Explanation
Schedule I, Part III PRIZES AND AWARDS 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, Part I, Line 2 Procedures for monitoring use of grant funds. Explanation: 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 the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld.
Schedule I (Form 990) 2019



Additional Data


Software ID: 17005876
Software Version: 2017v2.2


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" on Form 990, Part IV, line 23.
SchJMediumBullet Attach to Form 990.
SchJMediumBullet Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2019
Open to Public Inspection
Name of the organization
Northwestern University
 
Employer identification number

36-2167817
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed on Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes on Line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain .........
1b
Yes
 
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked on Line 1a? ..
2
Yes
 
3
Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
4
During the year, did any person listed on Form 990, Part VII, Section A, line 1a, with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment? .............
4a
Yes
 
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........
4b
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? .........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.
5
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ....................
5a
Yes
 
b
Any related organization? .......................
5b
 
No
If "Yes," on line 5a or 5b, describe in Part III.
6
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization? ..................
6a
 
No
b
Any related organization? ......................
6b
 
No
If "Yes," on line 6a or 6b, describe in Part III.
7
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
Yes
 
8
Were any amounts reported on Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III ..........................
8
 
No
9
If "Yes" on line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
 
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2019

Schedule J (Form 990) 2019
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 on 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 in column (B) reported as deferred on prior Form 990
(i) Base
compensation 		(ii) Bonus & incentive
compensation 		(iii) Other reportable compensation
1Morton O Schapiro
 
President 		(i)

(ii)		 1,096,539
-------------
0 		250,000
-------------
0 		243,542
-------------
0 		238,012
-------------
0 		198,740
-------------
0 		2,026,833
-------------
0 		89,253
-------------
0
2Jonathan Holloway
 
Provost 		(i)

(ii)		 317,950
-------------
0 		20,000
-------------
0 		149,537
-------------
0 		24,333
-------------
0 		13,088
-------------
0 		524,908
-------------
0 		0
-------------
0
3Mary L Baglivo
 
VP Global Marketing 		(i)

(ii)		 338,432
-------------
0 		0
-------------
0 		15,220
-------------
0 		27,000
-------------
0 		21,830
-------------
0 		402,482
-------------
0 		0
-------------
0
4Pamela S Beemer
 
VP for Human Resources 		(i)

(ii)		 386,079
-------------
0 		10,000
-------------
0 		19,584
-------------
0 		27,000
-------------
0 		4,658
-------------
0 		447,321
-------------
0 		0
-------------
0
5Paul Castellucci
 
VP Budget and Planning 		(i)

(ii)		 299,105
-------------
0 		46,928
-------------
0 		50,240
-------------
0 		27,000
-------------
0 		680
-------------
0 		423,953
-------------
0 		0
-------------
0
6Nimalan Chinniah
 
Executive Vice President 		(i)

(ii)		 840,410
-------------
0 		100,000
-------------
0 		76,434
-------------
0 		117,000
-------------
0 		18,296
-------------
0 		1,152,140
-------------
0 		0
-------------
0
7Alan K Cubbage
 
VP University Relations 		(i)

(ii)		 305,200
-------------
0 		0
-------------
0 		27,015
-------------
0 		27,000
-------------
0 		15,834
-------------
0 		375,049
-------------
0 		0
-------------
0
8John L D'Angelo
 
VP for Facilities Management 		(i)

(ii)		 416,842
-------------
0 		50,000
-------------
0 		99,625
-------------
0 		27,000
-------------
0 		23,696
-------------
0 		617,163
-------------
0 		0
-------------
0
9Devora Grynspan
 
VP International Relations 		(i)

(ii)		 235,492
-------------
0 		0
-------------
0 		1,715
-------------
0 		24,000
-------------
0 		9,809
-------------
0 		271,016
-------------
0 		0
-------------
0
10Philip L Harris
 
VP General Counsel 		(i)

(ii)		 711,513
-------------
0 		100,000
-------------
0 		1,379
-------------
0 		57,000
-------------
0 		23,966
-------------
0 		893,858
-------------
0 		0
-------------
0
11Craig A Johnson
 
Interim Senior Vice President 		(i)

(ii)		 480,842
-------------
0 		115,000
-------------
0 		18,240
-------------
0 		127,000
-------------
0 		7,580
-------------
0 		748,662
-------------
0 		0
-------------
0
12Marilyn McCoy
 
VP Administration & Planning 		(i)

(ii)		 437,290
-------------
0 		0
-------------
0 		18,215
-------------
0 		27,000
-------------
0 		23,640
-------------
0 		506,145
-------------
0 		0
-------------
0
13William H McLean
 
VP and Chief Investment Officer 		(i)

(ii)		 863,176
-------------
0 		998,626
-------------
0 		19,584
-------------
0 		468,108
-------------
0 		21,188
-------------
0 		2,370,682
-------------
0 		0
-------------
0
14Robert E McQuinn
 
VP for Development 		(i)

(ii)		 593,077
-------------
0 		136,250
-------------
0 		184,234
-------------
0 		192,000
-------------
0 		34,118
-------------
0 		1,139,679
-------------
0 		86,667
-------------
0
15Eric G Neilson
 
VP Medical Affairs 		(i)

(ii)		 576,294
-------------
0 		0
-------------
0 		8,141
-------------
0 		19,167
-------------
0 		3,156
-------------
0 		606,758
-------------
0 		0
-------------
0
16James J Phillips
 
VP Athletics 		(i)

(ii)		 1,021,688
-------------
0 		585,500
-------------
0 		287,342
-------------
0 		147,000
-------------
0 		23,473
-------------
0 		2,065,003
-------------
0 		0
-------------
0
17Sean Reynolds
 
VP and Chief Information Officer 		(i)

(ii)		 458,390
-------------
0 		0
-------------
0 		40,160
-------------
0 		27,000
-------------
0 		7,688
-------------
0 		533,238
-------------
0 		0
-------------
0
18Ingrid S Stafford
 
VP for Financial Operations 		(i)

(ii)		 336,909
-------------
0 		0
-------------
0 		20,584
-------------
0 		27,000
-------------
0 		7,760
-------------
0 		392,253
-------------
0 		0
-------------
0
19Patricia Telles-Irvin
 
VP Student Affairs 		(i)

(ii)		 395,765
-------------
0 		50,000
-------------
0 		58,184
-------------
0 		27,000
-------------
0 		23,696
-------------
0 		554,645
-------------
0 		0
-------------
0
20Joseph T Walsh Jr
 
VP for Research 		(i)

(ii)		 370,400
-------------
0 		0
-------------
0 		19,032
-------------
0 		27,000
-------------
0 		40,567
-------------
0 		456,999
-------------
0 		0
-------------
0
21Patrick W Fitzgerald II
 
Head Coach 		(i)

(ii)		 4,064,960
-------------
0 		307,500
-------------
0 		714,197
-------------
0 		27,000
-------------
0 		31,280
-------------
0 		5,144,937
-------------
0 		0
-------------
0
22Christopher R Collins
 
Head Coach 		(i)

(ii)		 2,356,097
-------------
0 		50,000
-------------
0 		51,075
-------------
0 		77,000
-------------
0 		31,057
-------------
0 		2,565,229
-------------
0 		0
-------------
0
23Maciej S Lesniak
 
Professor Neurological Surgery 		(i)

(ii)		 1,363,521
-------------
0 		0
-------------
0 		360
-------------
0 		27,000
-------------
0 		704
-------------
0 		1,391,585
-------------
0 		0
-------------
0
24Sally E Blount
 
Dean, Kellogg 		(i)

(ii)		 696,916
-------------
0 		0
-------------
0 		397,072
-------------
0 		27,000
-------------
0 		10,238
-------------
0 		1,131,226
-------------
0 		0
-------------
0
25Peter A Belytschko
 
Managing Director, Investments 		(i)

(ii)		 442,656
-------------
0 		533,505
-------------
0 		18,360
-------------
0 		278,071
-------------
0 		10,076
-------------
0 		1,282,668
-------------
0 		0
-------------
0
26Daniel I Linzer
 
Former Provost 		(i)

(ii)		 424,382
-------------
0 		0
-------------
0 		221,334
-------------
0 		252,000
-------------
0 		40,294
-------------
0 		938,010
-------------
0 		0
-------------
0
Schedule J (Form 990) 2019

Schedule J (Form 990) 2019
Page 3
Part III
Supplemental Information
Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II. Also complete this part for any additional information.
Return Reference Explanation
Schedule J, Part I, Line 1a SCHEDULE J SUPPLEMENTAL INFORMATION
Schedule J, Part I, Line 1a First-class or charter travel Charter airplane travel to the University's annual Bowl game was provided to two listed persons and their family members and was not treated as taxable compensation under the excess seating capacity exception. Six interested persons were provided charter travel and was treated as a business expense for four of those individuals and for two of those individuals was treated as taxable compensation. Four listed persons traveled first class and was treated as a business expense and not treated as taxable compensation.
Schedule J, Part I, Line 1a Travel for companions The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Three listed persons received companion travel. Companion travel for family members of two interested persons qualified under the excess seating capacity exception for charter travel, and companion travel for one interested person was treated as a business expense.
Schedule J, Part I, Line 1a Tax indemnification and gross-up payments Two listed persons received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation.
Schedule J, Part I, Line 1a 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). Six listed persons were provided with housing or a housing allowance and the amounts were treated as taxable compensation.
Schedule J, Part I, Line 1a 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. Five listed persons received reimbursement for social club dues, which were treated as taxable compensation.
Schedule J, Part I, Line 1a 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 for cleaning services associated with the personal living quarters is treated as taxable compensation. Nominal chauffeur services were provided to the President and the value of the benefit is treated as taxable compensation. Personal services related to housing was extended to one other interested person.
Schedule J, Part I, Line 4a Severance or change-of-control payment In connection with his retirement from Northwestern University, Daniel Linzer received compensation in the amount of $218,750, which is included in Part II, Column B(iii).
Schedule J, Part I, Line 4b Supplemental nonqualified retirement plan 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 and amount contributed: Morton O. Schapiro ($211,012), Daniel I. Linzer ($225,000), Craig A. Johnson ($100,000), Nimalan Chinniah ($90,000), Philip L. Harris ($30,000), Robert E. McQuinn ($165,000), James J. Phillips ($120,000). William H. McLean ($441,108), Peter A. Belytschko ($251,071), Chris Collins ($50,000) Name and amount paid: Morton O. Schapiro ($164,948), William H. McLean ($757,176), Peter A. Belytschko ($330,166), Robert E. McQuinn ($145,150), Sally E. Blount ($330,663)
Schedule J, Part I, Line 5a Compensation contingent on revenues of the organization The Chief Investment Officer and Managing Director of Investments received incentive compensation which was in part calculated contingent on the performance of the University's long term investments.
Schedule J (Form 990) 2019

Additional Data


Software ID: 17005876
Software Version: 2017v2.2

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Schedule K
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Information on Tax-Exempt Bonds
SchKMediumBullet Complete if the organization answered "Yes" to Form 990, Part Ⅵ, line 24a. Provide descriptions,
explanations, and any additional information in Part Ⅵ.
SchKMediumBullet Attach to Form 990.
SchKMediumBulletGo to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2019
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
Yes No Yes No Yes No
A ILLINOIS FINANCE AUTHORITY
  		86-1091967 45200BFC7 09-09-2004 135,800,000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES & Equipment   X   X   X
B ILLINOIS FINANCE AUTHORITY
  		86-1091967 45200FKZ1 06-25-2008 125,000,000 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES   X   X   X
C Illinois Finance Authority
  		86-1091967 45203H2A9 06-04-2015 146,017,057 ACQUIRE, CONSTRUCT OR RENOVATE UNIVERSITY FACILITIES   X   X   X
Part Ⅱ
Proceeds
A B C D
1 Amount of bonds retired ..................        
2 Amount of bonds legally defeased ..............        
3 Total proceeds of issue .................. 144,677,217 126,815,680 146,081,419  
4 Gross proceeds in reserve funds .............        
5 Capitalized interest from proceeds .............        
6 Proceeds in refunding escrows ...............        
7 Issuance costs from proceeds ............... 1,039,400 1,250,000 886,268  
8 Credit enhancement from proceeds .............        
9 Working capital expenditures from proceeds .............        
10 Capital expenditures from proceeds ............. 143,637,817 125,565,680 145,195,151  
11 Other spent proceeds .............        
12 Other unspent proceeds .............        
13 Year of substantial completion ............. 2008 2011 2017
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue of tax-exempt
bonds (or, if issued prior to 2018, a current refunding issue)? ........ 		               
15 Were the bonds issued as part of an advance refunding issue of taxable
bonds (or, if issued prior to 2018, an advance refunding issue)? ........ 		               
16 Has the final allocation of proceeds been made? .......... X   X   X      
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? .................. X   X   X      
Part Ⅲ
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? .............   X   X   X    
2 Are there any lease arrangements that may result in private business use of bond-financed property? ............... X   X     X    
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2019

Schedule K (Form 990) 2019
Page 2
Part Ⅲ
Private Business Use (Continued)
A B C D
Yes No Yes No Yes No Yes No
3a Are there any management or service contracts that may result in private business use of bond-financed property? ............. X   X   X      
b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property?   X   X   X    
c Are there any research agreements that may result in private business use of bond-financed property? ............. X   X     X    
d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property?   X   X        
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government ....SchKMediumBullet        
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government ......... SchKMediumBullet 0.65 % 0.39 % 1.58 %  
6 Total of lines 4 and 5 ............. 0.65 % 0.39 % 1.58 %  
7 Does the bond issue meet the private security or payment test? ...   X   X   X    
8a Has there been a sale or disposition of any of the bond-financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?.............   X   X   X    
b If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of. ..        
c If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? .............                
9 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2? ........ 		X   X   X      
Part Ⅳ
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has the issuer filed Form 8038-T, Arbitrage Rebate, Yield Reduction and Penalty in Lieu of Arbitrage Rebate? ...   X   X   X    
2 If "No" to line 1, did the following apply? ....
a Rebate not due yet? .......   X   X X      
b Exception to rebate? ........   X   X   X    
c No rebate due? ......... X   X     X    
If "Yes" to 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    
4a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue?   X X     X    
b Name of provider ..........  
  		See Part VI
  		 
  		 
 
c Term of hedge .........   500 %    
d Was the hedge superintegrated? ......       X        
e Was the hedge terminated? ........       X        
Schedule K (Form 990) 2019

Schedule K (Form 990) 2019
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    
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      
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      
Part Ⅵ
Supplemental Information. Provide additional information for responses to questions on Schedule K. (See instructions).
Return Reference Explanation
Schedule K, Part I, Column (c) Bond Issue B: IFA - Series 2008 Additional CUSIPs: 45200F LA5, 45200F LB3
Schedule K, Part IV, Line 4b Bond Issue B: IFA - Series 2008 Morgan Stanley Capital Services LLC; Bank of America, NA; JP Morgan
Schedule K, Part II, Line 3 Total proceeds of issue The difference between issue prices and proceeds of bonds are a result of investment income earned.
Schedule K, Part III, Line 3b Reviews by Bond Counsel 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.
Schedule K, Part III, Line 4 Private Business Use 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 business use within the facilities partially funded by bonds; however, such usage was financed from other sources.
Schedule K, Part I, Column (f) Purposes In addition to the purposes listed in Part I, Column (f), bonds were also issued to pay costs of issuance.
Schedule K, Part I, Column (c) Bond Issue A: IFA-Series 2004 Additional CUSIP: 45200B FD5
Schedule K, Part IV, Line 2c COLUMN A Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 09/09/2009
Schedule K, Part IV, Line 2c COLUMN B Issuer name: ILLINOIS FINANCE AUTHORITY The calculation for computing no rebate due was performed on 06/25/2018
Schedule K (Form 990) 2019

Additional Data


Software ID: 17005876
Software Version: 2017v2.2

Schedule L
(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Transactions with Interested Persons
MediumBullet Complete if the organization answered "Yes" on Form 990, Part IV, lines 25a, 25b, 26, 27, 28a, 28b, or 28c, or Form 990-EZ, Part V, line 38a or 40b.
MediumBullet Attach to Form 990 or Form 990-EZ.
MediumBulletGo to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2019
Open to Public Inspection
Name of the organization
Northwestern University
 
Employer identification number

36-2167817
Part I
Excess Benefit Transactions (section 501(c)(3), section 501(c)(4), and section 501(c)(29) organizations only).
Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b.
1(a) Name of disqualified person (b) Relationship between disqualified person and organization (c) Description of transaction (d) Corrected?
Yes No
2
Enter the amount of tax incurred by the organization managers or disqualified persons during the year under section 4958. ........................... Bullet Image$
 
3
Enter the amount of tax, if any, on line 2, above, reimbursed by the organization ........ Bullet Image$
 

Part II
Loans to and/or From Interested Persons.
Complete if the organization answered "Yes" on Form 990-EZ, Part V, line 38a, or Form 990, Part IV, line 26; or if the organization reported an amount on Form 990, Part X, line 5, 6, or 22
(a) Name of interested person (b) Relationship with organization (c) Purpose of loan (d) Loan to or from the organization? (e) Original principal amount (f) Balance due (g) In default? (h) Approved by board or committee? (i) Written agreement?
To From Yes No Yes No Yes No
(1) James Phillips
  		EMPLOYEE COMPENSATION   X 1,100,000 193,333   No Yes   Yes  
(2) James Phillips
  		EMPLOYEE COMPENSATION   X 300,000 300,000   No Yes   Yes  
Total ...............Small Bullet $ 493,333
Part III
Grants or Assistance Benefiting Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 27.
(a) Name of interested person (b) Relationship between interested person and the organization (c) Amount of assistance (d) Type of assistance (e) Purpose of assistance
(1)  
  		  7,695 Scholarship Educational Scholarship
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2019
Schedule L (Form 990 or 990-EZ) 2019
Page 2
Part IV
Business Transactions Involving Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 28a, 28b, or 28c.
(a) Name of interested person (b) Relationship between interested person and the organization (c) Amount of transaction (d) Description of transaction (e) Sharing of organization's revenues?
Yes No
(1) Charlotte Cubbage
  		Family member of Alan K. Cubbage, Officer 40,902 Employment   No
(2) Jennifer Burke
  		Family member of Joseph T. Walsh, Officer 58,416 Employment   No
(3) Great Lakes Coca-Cola
  		M. Jude Reyes, Trustee, ownership interest over 35% 966,539 Soft drink purchases and vending commissions   No
(4) SQ Advisors LLC
  		Kimberly Querrey, Trustee, ownership interest over 35% 1,374,871 Investment manager fees   No
(5) Constadina Castellucci
  		Family member of Paul Castellucci, Officer 66,551 Employment   No
(6) Alissa Schapiro
  		Family member of Morton Schapiro, Officer 10,572 Graduate Assistant Employment   No
Part V
Supplemental Information
Provide additional information for responses to questions on Schedule L (see instructions).
Return Reference Explanation
Schedule L (Form 990 or 990-EZ) 2019


Additional Data


Software ID: 17005876
Software Version: 2017v2.2




SCHEDULE M
(Form 990)

Department of the Treasury
Internal Revenue Service
Noncash Contributions
Right pointing arrow large imageComplete if the organizations answered "Yes" on Form 990, Part IV, lines 29 or 30.
Right pointing arrow large image Attach to Form 990.
Right pointing arrow large imageGo to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2019
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 43 4,140,745 Market value
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications .. X 12,266,308 Market value
5 Clothing and household
goods ....... 		X 1,824 Market value
6 Cars and other vehicles ..        
7 Boats and planes ....        
8 Intellectual property ...        
9 Securities—Publicly traded . X 776 35,376,131 Market value
10 Securities—Closely held stock .        
11 Securities—Partnership, LLC,
or trust interests .... 		X 1 16,190,270 Market value
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 16 22,640 Market value
20 Drugs and medical supplies .        
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( equipment, software ) X 15 1,359,419 Market value
26 Other Right pointing arrow large image ( Events, tickets ) X 218 1,123,386 Market value
27 Other Right pointing arrow large image ( )
28 Other Right pointing arrow large image ( )
29
Number of Forms 8283 received by the organization during the tax year for contributions
for which the organization completed Form 8283, Part IV, Donee Acknowledgement
29
5
Yes
No
30a
During the year, did the organization receive by contribution any property reported in Part I, lines 1 through 28, that it must hold for at least three years from the date of the initial contribution, and which isn't required to be used for exempt purposes for the entire holding period? ...................
30a
 
No
b
If "Yes," describe the arrangement in Part II.
31
Does the organization have a gift acceptance policy that requires the review of any nonstandard contributions?
31
Yes
 
32a
Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash
contributions? ..........................
32a
 
No
b
If "Yes," describe in Part II.
33
If the organization didn't 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) (2019)
Schedule M (Form 990) (2019)
Page 2
Part IISupplemental Information. Provide the information required by Part I, lines 30b, 32b, and 33, and whether the organization is reporting in Part I, column (b), the number of contributions, the number of items received, or a combination of both. Also complete this part for any additional information.
Return Reference Explanation
Schedule M, Part I Column (b) The University is reporting the number of contributions received.
Schedule M (Form 990) (2019)

Additional Data


Software ID: 17005876
Software Version: 2017v2.2
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 990-EZ or to provide any additional information.
MediumBullet Attach to Form 990 or 990-EZ.
MediumBullet Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2019
Open to Public
Inspection
Name of the organization
Northwestern University
 
Employer identification number

36-2167817
Return Reference Explanation
Form 990, Part VI, Line 10a LOCAL CHAPTERS, BRANCHES 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 JOINT VENTURES 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 AGREEMENT 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 VI, Line 1a Delegate broad authority to a committee Executive Committee of the Board of Trustees is comprised of 20 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, Line 2 Family/business relationships amongst interested persons Jay C. Hoag and Patrick G. Ryan Jr. - Business relationship, M. Jude Reyes and A. Steven Crown - Business relationship, M. Jude Reyes and Patrick Ryan Jr. - Business relationship, M. Jude Reyes and Frederick H. Waddell - Business relationship, David B. Weinberg and M. Jude Reyes - Business relationship, Miles D. White and William A. Osborn - Business relationship, Muneer A. Satter and William A. Osborn - Business relationship, Muneer A. Satter and Patrick Ryan Jr. - Business relationship, Muneer A. Satter and Christopher B. Galvin - Business relationship, Frederick H. Waddell and William A. Osborn - Business relationship, Jay C. Hoag and William McLean - Business relationship
Form 990, Part VI, Line 11b Review of form 990 by governing body An electronic 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, Line 12c Conflict of interest policy 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 of 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 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. Potential conflicts of interest are further scrutinized under a University investment policy governing Trustee Relationship Investments whereby, among other things, affected trustees must recuse themselves from any discussion and vote related to the investment. 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, Line 15a Process to establish compensation of top management official 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 (i) formal survey and comparability data prepared and compiled by an outside consultant who has expertise in the field of executive compensation assessment and benchmarking and (ii) compensation recommendations from the President and Provost for their direct reports. The Compensation Committee of the Board meets every June for the purpose of reviewing and approving executive compensation recommendations for the next fiscal year. After review and the approval, the Committee's decisions are documented with internal communications to executive leadership except that the President's compensation is communicated solely to the Vice President & General Counsel. The offices of the President, Provost and Executive Vice President separately then send the final compensation decisions to the payroll department and the Vice President of Human Resources for implementation and processing other than the compensation information of the President, which is provided by the Vice President & General Counsel to the Vice President of Human Resources.
Form 990, Part VI, Line 15b Process to establish compensation of other employees Compensation Committee of the Board reviewed and approved compensation of all current officers listed in Part VII, Section who received compensation in calendar year 2017.
Form 990, Part VI, Line 19 Required documents available to the public Governing documents: The University maintains an Office for Global Marketing and Communication where information requests from the public are processed. The organizing document by which the University was created, its charter, is available upon request. The University's employee conflict of interest policy and financial statements are available on the University website.
Form 990, Part VIII, Line 2f Other Program Service Revenue Plant - Total Revenue: 7999936, Related or Exempt Function Revenue: 7999936, Unrelated Business Revenue: , Revenue Excluded from Tax Under Sections 512, 513, or 514: ;
Form 990, Part VIII, Line 11d Other Miscellaneous Revenue all other - Total Revenue: 247141, Related or Exempt Function Revenue: , Unrelated Business Revenue: 247141, Revenue Excluded from Tax Under Sections 512, 513, or 514: ;
Form 990, Part XI, Line 9 Other changes in net assets or fund balances Change in value of derivative instruments - 7419000; Change in value of nonoperating items - -1386000;
Schedule F, Part I, Line 3 Program-related Investments Program-related investments represent student loans disbursed during student's enrollment in international program.
Schedule F, Part I, Line 2 PROCEDURES FOR MONITORING USE OF GRANT FUNDS 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 the Office of Management and Budget's (OMB) Uniform Guidance (Uniform Administrative Requirements, Cost Principles, and Audit Requirements); also, ASRSP requests and collects audit reports from subaward recipients to monitor compliance, as required by the Uniform Guidance. If the information is not furnished to ASRSP, payment may be withheld.
Schedule J, Part I, Line 7 Non-fixed payments The President and eight interested persons received a non-fixed payment related to a recognition bonus. One officer was offered non-fixed payment related to apparel and tickets.
Part I, Line 7a Qualified transportation fringe and qualified parking The University's unrelated business taxable income for fiscal year ended August 31, 2018 included income created under IRC 512(a)(7) related to qualified transportation fringe benefits. The unrelated business revenue reported on Form 990, Part VIII, Statement of Revenue does not include the expenses that create unrelated business taxable income under 512(a)(7).
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2019


Additional Data


Software ID: 17005876
Software Version: 2017v2.2
SCHEDULE R
(Form 990)
Department of the Treasury
Internal Revenue Service
Related Organizations and Unrelated Partnerships
MediumBulletComplete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.
MediumBulletAttach to Form 990.
MediumBullet Go to www.irs.gov/Form990 for instructions and the latest information.

OMB No. 1545-0047
2019
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)

 		(d)
Total income


 		(e)
End-of-year assets


 		(f)
Direct controlling
entity
(1) Triad WIS NWU LLC
550 N Green Bay Rd
Lake Forest,IL60045
47-3504918 		Investment IL 0 5,044,803 Northwestern University
 
(2) Northwestern University USA Foundation Limited
21 Holborn Viaduct
London,EnglandEC1A2DY
UK
98-1458225 		Fundraising UK 0 0 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?
Yes No
(1)RUBICON INSURANCE COMPANY
2020 RIDGE AVENUE

EVANSTON,IL60208
36-3694409 		PROVIDING MEDICAL MALPRACTICE COVERAGE IL 501(c)(3) Type II NORTHWESTERN UNIVERSITY
 
Yes
 
(2)STUDENTS PUBLISHING COMPANY
1999 SHERIDAN RD

EVANSTON,IL60208
36-6002654 		PUBLISHES STUDENT PERIODICALS IL 501(c)(3) Type II N/A
 
No
(3)MCGAW MEDICAL CENTER OF NORTHWESTERN UNIVERSITY
420 E SUPERIOR ST

CHICAGO,IL60611
36-2656113 		COORDINATION OF MEDICAL RESIDENTS IL 501(c)(3) Type I N/A
 
No
(4)THE BIG TEN CONFERENCE INC
1500 W HIGGINS RD

PARK RIDGE,IL60068
36-3640583 		FACILITATE QUALITY INTERCOLLEGIATE ATHLETIC COMPETITION IL 501(c)(3) Type II N/A
 
No
(5)COMMITTEE ON INSTITUTIONAL COOPERATION
1819 S NEIL ST

CHAMPAIGN,IL61820
46-3254996 		ACADEMIC CONSORTIUM TO ADVANCE MISSION OF MEMBER INSTITUTIONS IL 501(c)(3) Type III-FI N/A
 
No
(6)WOMANS EDUCATIONAL AID ASSOC
804 OAKTON ST 1E

EVANSTON,IL60202
36-3049387 		PROVIDING FINANCIAL AID TO STUDENTS IL 501(c)(3) Type III-O N/A
 
No


For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2019
Schedule R (Form 990) 2019
Page 2
Part III
Identification of Related Organizations Taxable as a Partnership. Complete if the organization answered "Yes" on Form 990, Part IV, line 34, because it had one or more related organizations treated as a partnership during the tax year.
(a)
Name, address, and EIN of
related organization



 		(b)
Primary activity




 		(c)
Legal
domicile
(state or foreign
country)


 		(d)
Direct controlling
entity



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

(f)
Share of total income




 		(g)
Share of end-of-year
assets



 		(h)
Disproprtionate allocations?




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



 		(k)
Percentage
ownership
Yes No Yes No
(1) Kuramo Africa Opportunity Fund II LP

500 5th Ave 44th Fl
New York,NY10110
47-3117325 		Investment NY Northwestern University
  		Excluded 177,548 6,912,317   No 0   No 99 %
(2) KCG 64 CI-1 LP

7121 Fairway Dr Ste 410
Palm Beach Gardens,FL33418
82-3391115 		Investment FL Northwestern University
  		Excluded -41,553 11,548,410   No 0   No 100 %










Part IV
Identification of Related Organizations Taxable as a Corporation or Trust. Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.
(a)
Name, address, and EIN of
related organization
 		(b)
Primary activity
 		(c)
Legal
domicile
(state or foreign
country)
 		(d)
Direct controlling
entity
 		(e)
Type of entity
(C corp, S corp,
or trust) 		(f)
Share of total income
 		(g)
Share of end-of-year
assets
 		(h)
Percentage
ownership
 		(i)
Section 512(b)(13) controlled entity?
Yes No
(1) CHARITABLE REMAINDER UNITRUSTS (#103)

 
 
  IL N/A
 Trust       Yes  
(2) Charitable Remainder Annuity Trusts (#12)

 
 
  IL N/A
 Trust       Yes  
(3) Bensell US Feeder LP

 
 
98-0492320 		Investments UK Northwestern University
  		C Corporation 713,285 2,955,989 56.6 % Yes  
(4) Conquest Managed Futures Select Fund III Ltd

45 Market Street Suite 3205
Camana Bay,Grand CaymanKYI9003
CJ
Investments CJ Northwestern University
  		C Corporation   63,937,632 100 % Yes  
(5) Gotham Neutral Strategies Ltd

Corporate Services Cayman Limited
190 Elgin Ave
George Town,Grand CaymanKT19005
CJ
Investment CJ Northwestern University
  		C Corporation 3,604,778 120,531,106 70.1 % Yes  




Schedule R (Form 990) 2019
Schedule R (Form 990) 2019
Page 3
Part V
Transactions With Related Organizations. Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35b, or 36.
Note. Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule.
Yes
No
1 During the tax year, did the orgranization engage in any of the following transactions with one or more related organizations listed in Parts II-IV?
a Receipt of (i) interest, (ii) annuities, (iii) royalties, or (iv) rent from a controlled entity .....................
1a
 
No
b Gift, grant, or capital contribution to related organization(s) ............................
1b
 
No
c Gift, grant, or capital contribution from related organization(s) ............................
1c
Yes
 
d Loans or loan guarantees to or for related organization(s) ............................
1d
 
No
e Loans or loan guarantees by related organization(s) ............................
1e
 
No
f Dividends from related organization(s) ............................
1f
 
No
g Sale of assets to related organization(s) ............................
1g
 
No
h Purchase of assets from related organization(s) ............................
1h
 
No
i Exchange of assets with related organization(s) ............................
1i
 
No
j Lease of facilities, equipment, or other assets to related organization(s) .......................
1j
Yes
 
k Lease of facilities, equipment, or other assets from related organization(s) ......................
1k
 
No
l Performance of services or membership or fundraising solicitations for related organization(s) .....................
1l
 
No
m Performance of services or membership or fundraising solicitations by related organization(s) .................
1m
 
No
n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) ...................
1n
Yes
 
o Sharing of paid employees with related organization(s) ............................
1o
Yes
 
p Reimbursement paid to related organization(s) for expenses ............................
1p
Yes
 
q Reimbursement paid by related organization(s) for expenses ............................
1q
Yes
 
r Other transfer of cash or property to related organization(s) ............................
1r
Yes
 
s Other transfer of cash or property from related organization(s) ............................
1s
Yes
 
2
If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.
(a)
Name of related organization 		(b)
Transaction
type (a-s) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) Rubicon Insurance Company

 Q 2,397,145 cash
(2) Rubicon Insurance Company

 R 7,040,851 cash
(3) Kuramo Africa Opportunity Fund II LP

 R 3,386,627 Cash
(4) KCG 64 CI-1 LP

 R 10,158,663 Cash
(5) Gotham Neutral Strategies Ltd

 R 20,000,000 Cash

Schedule R (Form 990) 2019
Schedule R (Form 990) 2019
Page 4
Part VI
Unrelated Organizations Taxable as a Partnership. Complete if the organization answered "Yes" on Form 990, Part IV, line 37.
Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization. See instructions regarding exclusion for certain investment partnerships.
(a)
Name, address, and EIN of entity 		(b)
Primary activity 		(c)
Legal domicile
(state or foreign
country) 		(d)
Predominant income (related, unrelated, excluded from tax under sections 512-514)

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




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






























Schedule R (Form 990) 2019
Schedule R (Form 990) 2019
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, Column (c) The Charitable Remainder Unitrusts and Charitable Remainder Annuity Trusts are predominantly domiciled in Illinois
Schedule R (Form 990) 2019

Additional Data


Software ID: 17005876
Software Version: 2017v2.2