TY 2019 Form 990

(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)
(1) DR ALAN GINTZLER DIRECTOR	5.0 ................. 0.0	X	0	0
(2) DR ANNE KRESS DIRECTOR	1.0 ................. 0.0	X	0	0
(3) DR D BRUCE JOHNSTONE DIRECTOR	2.5 ................. 0.0	X	0	0
(4) DR GRACE WANG DIRECTOR	13.0 ................. 0.0	X	0	0
(5) DR HARVEY G STENGER JR DIRECTOR	17.0 ................. 0.0	X	125,000	12,500
(6) DR MENG-LING HSIAO DIRECTOR	2.0 ................. 0.0	X	0	0
(7) DR SATISH K TRIPATHI DIRECTOR	4.0 ................. 0.0	X	0	0
(8) MR DANIEL C TOMSON ESQ DIRECTOR	6.0 ................. 0.0	X	0	0
(9) MR ERIC L COCHRAN DIRECTOR	2.0 ................. 0.0	X	0	0
(10) MR JEFFREY H BLACK DIRECTOR, CHAIR	4.0 ................. 0.0	X	0	0
(11) MR ROBERT MEGNA DIRECTOR	5.0 ................. 0.0	X	0	0
(12) MR ROBERT P BALACHANDRAN ESQ DIRECTOR	1.0 ................. 0.0	X	0	0
(13) MR ROBERT S AZEKE DIRECTOR	1.0 ................. 0.0	X	0	0
(14) MR STEVEN N FISCHER DIRECTOR	2.0 ................. 0.0	X	0	0
(15) MS DIANE M MINAS DIRECTOR	1.0 ................. 0.0	X	0	0
(16) MS EILEEN WHELLEY DIRECTOR	2.0 ................. 0.0	X	0	0
(17) MS PATRICIA CALDWELL DIRECTOR	1.2 ................. 0.0	X	0	0

(A) Name and business address	(B) Description of services	(C) Compensation
EXYTE US INCORPORATED 201 FULLER ROAD SUITE 401 ALBANY,NY12203	ENGINEERING SERVICES	4,450,358
NFRASTRUCTURE 5 ENTERPRISE AVENUE CLIFTON PARK,NY12065	INFO. TECH. SUPPORT	2,552,912
AIR LIQUIDE ELECTRONICS US LP 9811 KATY FREEWAY SUITE 100 HOUSTON,TX77024	GAS AND CHEMICAL MGT	2,325,189
ANALOG PHOTONICS LLC ONE MARINA PARK DRIVE SUITE 205 BOSTON,MA022101874	PHOTONICS TECH. SVCS	1,615,614
UNITED STATES INTERNATIONAL UNIVERSITY PO BOX 14634-00800 NAIROBI,EAST AFRICA KE	FOREIGN PAYMASTER SERVICES	1,573,978
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 102

- TIN:

SCHEDULE A
(Form 990 or 990EZ)

Department of the Treasury
Internal Revenue Service

Public Charity Status and Public Support

Complete if the organization is a section 501(c)(3) organization or a section 4947(a)(1) nonexempt charitable trust.
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Attach to Form 990 or Form 990-EZ.
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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

The Research Foundation for The State University of New York

Employer identification number

14-1368361

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.)

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

A school described in section 170(b)(1)(A)(ii). (Attach Schedule E (Form 990 or 990-EZ).)

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

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

An organization operated for the benefit of a college or university owned or operated by a governmental unit described in section 170(b)(1)(A)(iv). (Complete Part II.)

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

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

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

An agricultural research organization described in 170(b)(1)(A)(ix) operated in conjunction with a land-grant college or university or a non-land grant college of agriculture. See instructions. Enter the name, city, and state of the college or university:

An organization that normally receives: (1) more than 331/3% of its support from contributions, membership fees, and gross receipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 331/3% of its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses acquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)

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

An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). See section 509(a)(3). Check the box in lines 12a through 12d that describes the type of supporting organization and complete lines 12e, 12f, and 12g.

Type I. A supporting organization operated, supervised, or controlled by its supported organization(s), typically by giving the supported organization(s) the power to regularly appoint or elect a majority of the directors or trustees of the supporting organization. You must complete Part IV, Sections A and B.

Type II. A supporting organization supervised or controlled in connection with its supported organization(s), by having control or management of the supporting organization vested in the same persons that control or manage the supported organization(s). You must complete Part IV, Sections A and C.

Type III functionally integrated. A supporting organization operated in connection with, and functionally integrated with, its supported organization(s) (see instructions). You must complete Part IV, Sections A, D, and E.

Type III non-functionally integrated. A supporting organization operated in connection with its supported organization(s) that is not functionally integrated. The organization generally must satisfy a distribution requirement and an attentiveness requirement (see instructions). You must complete Part IV, Sections A and D, and Part V.

Check this box if the organization received a written determination from the IRS that it is a Type I, Type II, Type III functionally integrated, or Type III non-functionally integrated supporting organization.

Enter the number of supported organizations ...............................

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

(i) Name of supported organization	(ii) EIN	(iv) Is the organization listed in your governing document?		(v) Amount of monetary support (see instructions)	(vi) Amount of other support (see instructions)
(i) Name of supported organization	(ii) EIN	Yes	No	(v) Amount of monetary support (see instructions)	(vi) Amount of other support (see instructions)


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

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)		(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.") ..	874,381,283	890,383,803	949,557,563	957,792,336	1,341,231,620	5,013,346,605
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	874,381,283	890,383,803	949,557,563	957,792,336	1,341,231,620	5,013,346,605
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)..						309,227,020
6	Public support. Subtract line 5 from line 4.						4,704,119,585

Section B. Total Support

Calendar year (or fiscal year beginning in)		(a) 2015	(b) 2016	(c) 2017	(d) 2018	(e) 2019	(f) Total
7	Amounts from line 4..	874,381,283	890,383,803	949,557,563	957,792,336	1,341,231,620	5,013,346,605
8	Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources...	11,984,439	8,076,010	11,531,697	13,326,564	12,127,829	57,046,539
9	Net income from unrelated business activities, whether or not the business is regularly carried on..		224			25,796	26,020
10	Other income. Do not include gain or loss from the sale of capital assets (Explain in Part VI.)..	235,690,307	233,070,779	217,923,117	213,788,440	215,526,830	1,115,999,473
11	Total support. Add lines 7 through 10						6,186,418,637

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

35,712,606

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

Public support percentage for 2019 (line 6, column (f) divided by line 11, column (f)) .........

76.04 %

Public support percentage for 2018 Schedule A, Part II, line 14 ...............

73.8 %

16a

33 1/3% support test—2019. If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box
and stop here. The organization qualifies as a publicly supported organization ....................... right arrow

33 1/3% support test—2018. If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more, check this
box and stop here. The organization qualifies as a publicly supported organization ..................... right arrow

17a

10%-facts-and-circumstances test—2019. If the organization did not check a box on line 13, 16a, or 16b, and line 14
is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here. Explain
in Part VI how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported
organization ..................................................... right arrow

10%-facts-and-circumstances test—2018. If the organization did not check a box on line 13, 16a, 16b, or 17a, and line
15 is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here.
Explain in Part VI how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly
supported organization ................................................ right arrow

Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions ..................................................... right arrow

Schedule A (Form 990 or 990-EZ) 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)		(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)		(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.)..

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

Public support percentage for 2019 (line 8, column (f) divided by line 13, column (f)) .........

Public support percentage from 2018 Schedule A, Part III, line 15 ...............

Section D. Computation of Investment Income Percentage

Investment income percentage for 2019 (line 10c, column (f) divided by line 13, column (f)) ......

Investment income percentage from 2018 Schedule A, Part III, line 17 .............

19a

331/3% support tests—2019. If the organization did not check the box on line 14, and line 15 is more than 33 1/3%, and line 17 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization ....... right arrow

33 1/3% support tests—2018. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3% and line 18 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization .... right arrow

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

Schedule A (Form 990 or 990-EZ) 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

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.

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).

Did the organization have a supported organization described in section 501(c)(4), (5), or (6)? If "Yes," answer (b) and (c) below.

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.

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.

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.

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.

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.

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).

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?

Substitutions only. Was the substitution the result of an event beyond the organization's control?

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.

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) .

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).

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.

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.

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.

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

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

Page 5

Part IV

Supporting Organizations (continued)

Yes

Has the organization accepted a gift or contribution from any of the following persons?

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

A family member of a person described in (a) above?

11b

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

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.

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.

Section C. Type II Supporting Organizations

Yes

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).

Section D. All Type III Supporting Organizations

Yes

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?

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).

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.

Section E. Type III Functionally-Integrated Supporting Organizations

Check the box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions):

The organization satisfied the Activities Test. Complete line 2 below.

The organization is the parent of each of its supported organizations. Complete line 3 below.

The organization supported a governmental entity. Describe in Part VI how you supported a government entity (see instructions)

Activities Test. Answer (a) and (b) below.

Yes

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.

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.

Parent of Supported Organizations. Answer (a) and (b) below.

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.

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.

Schedule A (Form 990 or 990-EZ) 2019

Page 6

Part V

Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations

Check here if the organization satisfied the Integral Part Test as a qualifying trust on Nov. 20, 1970 (explain in Part VI). See instructions. All other Type III non-functionally integrated supporting organizations must complete Sections A through E.

	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

Check here if the current year is the organization's first as a non-functionally-integrated Type III supporting organization (see instructions)

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 OTHER INCOME	SEE ATTACHMENT
Schedule A, Part II, Line 10 Other Income	DESCRIPTION - AGENCY DIRECT, COLUMN A - XXX-XX-XXXX.0, COLUMN B - XXX-XX-XXXX.0, COLUMN C - XXX-XX-XXXX.0, COLUMN D - XXX-XX-XXXX.0, COLUMN E - XXX-XX-XXXX.0, COLUMN F - XXX-XX-XXXX.0; DESCRIPTION - EQUITY P'SHIP, COLUMN A - 2345191.0, COLUMN B - 2049622.0, COLUMN C - 2485005.0, COLUMN D - 2478438.0, COLUMN E - 2574840.0, COLUMN F - 11933096.0; DESCRIPTION - AGENCY FEES, COLUMN A - 7745440.0, COLUMN B - 7645985.0, COLUMN C - 8054785.0, COLUMN D - 7029653.0, COLUMN E - 7146522.0, COLUMN F - 37622385.0; DESCRIPTION - FIXED PRICE AWARD REVENUE, COLUMN A - 3751957.0, COLUMN B - 13207222.0, COLUMN C - 6055515.0, COLUMN D - 7493907.0, COLUMN E - 4712716.0, COLUMN F - 35221317.0; DESCRIPTION - SERVICE CENTER REVENUE, COLUMN A - 12000378.0, COLUMN B - , COLUMN C - , COLUMN D - , COLUMN E - , COLUMN F - 12000378.0; DESCRIPTION - OTHER EDUC. SUPPORT SERVICES, COLUMN A - 12859619.0, COLUMN B - 13665502.0, COLUMN C - 17291918.0, COLUMN D - 13267993.0, COLUMN E - 21630955.0, COLUMN F - 78715987.0;

Return Reference

Explanation

Schedule A, Part II OTHER INCOME

SEE ATTACHMENT

Schedule A, Part II, Line 10 Other Income

DESCRIPTION - AGENCY DIRECT, COLUMN A - XXX-XX-XXXX.0, COLUMN B - XXX-XX-XXXX.0, COLUMN C - XXX-XX-XXXX.0, COLUMN D - XXX-XX-XXXX.0, COLUMN E - XXX-XX-XXXX.0, COLUMN F - XXX-XX-XXXX.0; DESCRIPTION - EQUITY P'SHIP, COLUMN A - 2345191.0, COLUMN B - 2049622.0, COLUMN C - 2485005.0, COLUMN D - 2478438.0, COLUMN E - 2574840.0, COLUMN F - 11933096.0; DESCRIPTION - AGENCY FEES, COLUMN A - 7745440.0, COLUMN B - 7645985.0, COLUMN C - 8054785.0, COLUMN D - 7029653.0, COLUMN E - 7146522.0, COLUMN F - 37622385.0; DESCRIPTION - FIXED PRICE AWARD REVENUE, COLUMN A - 3751957.0, COLUMN B - 13207222.0, COLUMN C - 6055515.0, COLUMN D - 7493907.0, COLUMN E - 4712716.0, COLUMN F - 35221317.0; DESCRIPTION - SERVICE CENTER REVENUE, COLUMN A - 12000378.0, COLUMN B - , COLUMN C - , COLUMN D - , COLUMN E - , COLUMN F - 12000378.0; DESCRIPTION - OTHER EDUC. SUPPORT SERVICES, COLUMN A - 12859619.0, COLUMN B - 13665502.0, COLUMN C - 17291918.0, COLUMN D - 13267993.0, COLUMN E - 21630955.0, COLUMN F - 78715987.0;

Schedule A (Form 990 or 990-EZ) 2019

Additional Data

Software ID:	19010655
Software Version:	2019v5.0

- TIN:

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

Department of the Treasury
Internal Revenue Service

Schedule of Contributors

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

Go to www.irs.gov/Form990 for the latest information.

OMB No. 1545-0047

2019

Name of the organization

The Research Foundation for The State University of New York

Employer identification number

14-1368361

Organization type (check one):

Filers of:

Section:

Form 990 or 990-EZ

501(c)( ) (enter number) organization

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

527 political organization

Form 990-PF

501(c)(3) exempt private foundation

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

501(c)(3) taxable private foundation

Check if your organization is covered by the General Rule or a Special Rule.
Note: Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.

General Rule

For an organization filing Form 990, 990-EZ, or 990-PF that received, during the year, contributions totaling $5,000 or more (in money or other property) from any one contributor. Complete Parts I and II. See instructions for determining a contributor's total contributions.

Special Rules

For an organization described in section 501(c)(3) filing Form 990 or 990-EZ that met the 33¹/3% support test of the regulations
under sections 509(a)(1) and 170(b)(1)(A)(vi), that checked Schedule A (Form 990 or 990-EZ), Part II, line 13, 16a, or 16b, and that received from any one contributor, during the year, total contributions of the greater of (1) $5,000 or (2) 2% of the amount on (i) Form 990, Part VIII, line 1h, or (ii) Form 990-EZ, line 1. Complete Parts I and II.

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

For an organization described in section 501(c)(7), (8), or (10) filing Form 990 or 990-EZ that received from any one contributor,
during the year, contributions exclusively for religious, charitable, etc., purposes, but no such contributions totaled more than $1,000. If this box is checked, enter here the total contributions that were received during the year for an exclusively religious, charitable, etc., purpose. Don't complete any of the parts unless the General Rule applies to this organization because it received nonexclusively religious, charitable, etc., contributions totaling $5,000 or more during the year ......... 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 The Research Foundation for The State University of New York

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
RESTRICTED	,	$ RESTRICTED	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2019)

Schedule B (Form 990, 990-EZ, or 990-PF) (2019)

Page 3

Name of organization The Research Foundation for The State University of New York		Employer identification number 14-1368361

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 The Research Foundation for The State University of New York			Employer identification number 14-1368361
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.) $ Use duplicate copies of Part III if additional space is needed.

(a)
No. from Part I

(b) Purpose of gift

(d) Description of how gift is held

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

(a)
No. from Part I

(b) Purpose of gift

(d) Description of how gift is held

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

(a)
No. from Part I

(b) Purpose of gift

(d) Description of how gift is held

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

(a)
No. from Part I

(b) Purpose of gift

(d) Description of how gift is held

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

Schedule B (Form 990, 990-EZ, or 990-PF) (2019)

Additional Data

Software ID:	19010655
Software Version:	2019v5.0

- TIN:

SCHEDULE C
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service

Political Campaign and Lobbying Activities

For Organizations Exempt From Income Tax Under section 501(c) and section 527

SchCMd Bullet

Complete if the organization is described below. SchCMd Bullet

Attach to Form 990 or Form 990-EZ.
SchCMd Bullet

Go 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

The Research Foundation for The State University of New York

Employer identification number

14-1368361

Part I-A

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

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

Political campaign activity expenditures (see instructions) .................................................................... SchCMd Bullet

Volunteer hours for political campaign activities (see instructions) ..................................................................

Part I-B

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

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

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

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

Yes No

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

Yes No

If "Yes," describe in Part IV.

Part I-C

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

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

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

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

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

Yes No

Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing
organization made payments. For each organization listed, enter the amount paid from the filing organization’s funds. Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.

(a) Name	(b) Address	(c) EIN	(d) Amount paid from filing organization's funds. If none, enter -0-.	(e) Amount of political contributions received and promptly and directly delivered to a separate political organization. If none, enter -0-.
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

Page 2

Part II-A

Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)).

A Check SchCMd Bullet

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

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

Limits on Lobbying Expenditures (The term "expenditures" means amounts paid or incurred.)		(b) Affiliated group totals
1a	Total lobbying expenditures to influence public opinion (grass roots lobbying) ......................
b	Total lobbying expenditures to influence a legislative body (direct lobbying) ........................
c	Total lobbying expenditures (add lines 1a and 1b) ............................................................
d	Other exempt purpose expenditures ...............................................................................
e	Total exempt purpose expenditures (add lines 1c and 1d) ..................................................
f	Lobbying nontaxable amount. Enter the amount from the following table in both columns.
	If the amount on line 1e, column (a) or (b) is:The lobbying nontaxable amount is:
	Not over $500,00020% of the amount on line 1e.
	Over $500,000 but not over $1,000,000$100,000 plus 15% of the excess over $500,000.
	Over $1,000,000 but not over $1,500,000$175,000 plus 10% of the excess over $1,000,000.
	Over $1,500,000 but not over $17,000,000$225,000 plus 5% of the excess over $1,500,000.
	Over $17,000,000$1,000,000.

g	Grassroots nontaxable amount (enter 25% of line 1f) .................................................
h	Subtract line 1g from line 1a. If zero or less, enter -0-. ................................................
i	Subtract line 1f from line 1c. If zero or less, enter -0-. ................................................
j	If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting section 4911 tax for this year? ...................................................................................................................	Yes No

4-Year Averaging Period Under Section 501(h) (Some organizations that made a section 501(h) election do not have to complete all of the five columns below. See the 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

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

c	Total lobbying expenditures

d	Grassroots nontaxable amount

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

f	Grassroots lobbying expenditures

Schedule C (Form 990 or 990-EZ) 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

During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of:

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

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

Yes

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

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

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

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

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

Yes

139,143

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

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

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

139,143

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

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

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

If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? ........................

Part III-A

Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6).

Yes

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

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

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

Part III-B

Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2, are answered "No" OR (b) Part III-A, line 3, is answered “Yes."

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

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

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

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

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

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

If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? ......................................................................................................................

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

Part IV

Supplemental Information

Provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, line 5; Part II-A (affiliated group list); Part II-A, 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, Part II-B DESCRIPTION OF LOBBYING ACTIVITIES	THE REPORTED EXPENDITURES ARE INCURRED BY THE RF AS FISCAL AGENT FOR THE STATE UNIVERSITY OF NEW YORK (SUNY) SYSTEM ADMINISTRATION AND MANY OF SUNY'S 64 MEMBER INSTITUTIONS WITH REGARD TO FEDERAL, STATE, AND LOCAL LEGISLATION AND DIRECT FUNDING SUPPORT FOR VARIOUS PROJECTS TO BE SPONSORED BY OR ADMINISTERED BY NUMEROUS SUNY CAMPUSES. BECAUSE THE RF ACTS AS FISCAL AGENT FOR SUNY AND ITS MEMBER INSTITUTIONS, EXPENDITURES INCURRED BY SUNY AND THE RF REGARDING FEDERAL LEGISLATION AND FUNDING ARE REPORTED ON THE APPROPRIATE FEDERAL LOBBY DISCLOSURE ACT (LDA) FORM LD-2. EXPENDITURES FOR STATE AND LOCAL LEGISLATION AND APPROPRIATIONS ARE REPORTED BY SUNY CONSISTENT WITH APPLICABLE NEW YORK STATE AND NEW YORK CITY LAW AND REGULATIONS.

Return Reference

Explanation

Schedule C, Part II-B DESCRIPTION OF LOBBYING ACTIVITIES

THE REPORTED EXPENDITURES ARE INCURRED BY THE RF AS FISCAL AGENT FOR THE STATE UNIVERSITY OF NEW YORK (SUNY) SYSTEM ADMINISTRATION AND MANY OF SUNY'S 64 MEMBER INSTITUTIONS WITH REGARD TO FEDERAL, STATE, AND LOCAL LEGISLATION AND DIRECT FUNDING SUPPORT FOR VARIOUS PROJECTS TO BE SPONSORED BY OR ADMINISTERED BY NUMEROUS SUNY CAMPUSES. BECAUSE THE RF ACTS AS FISCAL AGENT FOR SUNY AND ITS MEMBER INSTITUTIONS, EXPENDITURES INCURRED BY SUNY AND THE RF REGARDING FEDERAL LEGISLATION AND FUNDING ARE REPORTED ON THE APPROPRIATE FEDERAL LOBBY DISCLOSURE ACT (LDA) FORM LD-2. EXPENDITURES FOR STATE AND LOCAL LEGISLATION AND APPROPRIATIONS ARE REPORTED BY SUNY CONSISTENT WITH APPLICABLE NEW YORK STATE AND NEW YORK CITY LAW AND REGULATIONS.

Schedule C (Form 990 or 990EZ) 2019

Additional Data

Software ID:	19010655
Software Version:	2019v5.0

- TIN:

SCHEDULE D
(Form 990)

Department of the Treasury
Internal Revenue Service

Supplemental Financial Statements

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

The Research Foundation for The State University of New York

Employer identification number

14-1368361

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 .........
2	Aggregate value of contributions to (during year)
3	Aggregate value of grants from (during year)
4	Aggregate value at end of year ........

Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds are the organization’s property, subject to the organization’s exclusive legal control? ............

Yes No

Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring impermissible private benefit? ...................................

Yes No

Part II

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

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

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

Protection of natural habitat Preservation of a certified historic structure

Preservation of open space

Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year.


a	Total number of conservation easements ......................	2a
b	Total acreage restricted by conservation easements ....................	2b
c	Number of conservation easements on a certified historic structure included in (a) .....	2c
d	Number of conservation easements included in (c) acquired after 7/25/06, and not on a historic structure listed in the National Register ...	2d

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

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

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

Yes No

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

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

Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(i) and section 170(h)(4)(B)(ii)? .............................

Yes No

In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and
balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes
the organization’s accounting for conservation easements.

Part III

Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
Complete if the organization answered "Yes" on Form 990, Part IV, line 8.

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.

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

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:

Revenue included on Form 990, Part VIII, line 1 .......................... SchDMd Bullet

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

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

Cat. No. 52283D

Schedule D (Form 990) 2019

Page 2

Part III

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

Using the organization’s acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply):

Public exhibition

Loan or exchange programs

Scholarly research

Other

Preservation for future generations

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

During the year, did the organization solicit or receive donations of art, historical treasures or other similar
assets to be sold to raise funds rather than to be maintained as part of the organization’s collection?...

Yes No

Part IV

Escrow and Custodial Arrangements. Complete if the organization answered "Yes" on Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21.

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

Yes No


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

Did the organization include an amount on Form 990, Part X, line 21, for escrow or custodial account liability? ...

Yes No

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

Part V

Endowment Funds.
Complete if the organization answered "Yes" 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 ....	12,403,732	7,979,153	3,904,940	2,010,667	0
b	Contributions ...	8,000,000	4,200,000	4,000,000	1,800,000	2,000,000
c	Net investment earnings, gains, and losses	614,445	570,711	301,073	214,722	14,000
d	Grants or scholarships ...
e	Other expenditures for facilities and programs ...	674,050	200,000	171,653	95,800
f	Administrative expenses ....	147,371	146,132	55,207	24,649	3,333
g	End of year balance ......	20,196,756	12,403,732	7,979,153	3,904,940	2,010,667

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

Board designated or quasi-endowment SchDMd Bullet

0 %

Permanent endowment SchDMd Bullet

0 %

Term endowment SchDMd Bullet

100 %

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

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

Yes

(i) Unrelated organizations .................

3a(i)

Yes

(ii) Related organizations .................

3a(ii)

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

Describe in Part XIII the intended uses of the organization's endowment funds.

Part VI

Land, Buildings, and Equipment.
Complete if the organization answered "Yes" 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 .....
b	Buildings ....	324,204,048	151,263,773	172,940,275
c	Leasehold improvements
d	Equipment ....	456,610,779	148,697,022	307,913,757
e	Other .....	88,243,242	25,462,324	62,780,918
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).)..				543,634,950

Schedule D (Form 990) 2019

Page 3

Part VII

InvestmentsOther 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) Closely-held equity interests........
(3) Other (A) ABSOLUTE MULTISTRATEGY FUNDS	45,300,706	F
(B) INVEST IN EQUITY PARTNERSHIP	3,384,964	F
(C) CREDIT SECURITIES FUNDS	12,864,220	F
(D) GLOBAL EQUITIES FUNDS	68,231,675	F
(E) HEDGED EQUITIES FUNDS	70,156,592	F
(F) PRIVATE EQUITY FUNDS	22,783,099	F
(G) POOLED ENDOWMENT	16,196,756	F
(H)
(I)
Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)	238,918,012

Part VIII

InvestmentsProgram 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.)

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

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
(4)
(5)
(6)
(7)
(8)
(9)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)	171,127,959
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

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	1,399,809,828
2	Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a	Net unrealized gains (losses) on investments ....	2a	8,899,650
b	Donated services and use of facilities .........	2b
c	Recoveries of prior year grants ...........	2c
d	Other (Describe in Part XIII.) ............	2d	-178,511
e	Add lines 2a through 2d .....................			2e	8,721,139
3	Subtract line 2e from line 1..................			3	1,391,088,689
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	2,335,223
b	Other (Describe in Part XIII.) ...........	4b	179,461,797
c	Add lines 4a and 4b....................			4c	181,797,020
5	Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ......			5	1,572,885,709

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	1,013,776,423
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	44,694,326
e	Add lines 2a through 2d....................			2e	44,694,326
3	Subtract line 2e from line 1...................			3	969,082,097
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	2,335,223
b	Other (Describe in Part XIII.) ............	4b	179,461,797
c	Add lines 4a and 4b.....................			4c	181,797,020
5	Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ......			5	1,150,879,117

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 V, Line 4 Intended uses of endowment funds	THE ENDOWMENT FUNDS DESCRIBED IN THIS SECTION CONSIST OF TWO AWARDS FROM THE NATIONAL INSTITUTE ON MINORITY HEALTH AND HEALTH DISPARITIES (NIMHD), BOTH WITH CONTRIBUTIONS TO BE MADE OVER FIVE-YEAR PERIODS. NIMHD SPECIFIES THAT THE FUNDS EACH BE MAINTAINED FOR TWENTY YEARS, WITH INVESTMENT INCOME AVAILABLE DURING THAT TIME FOR RESEARCH SPENDING.
Schedule D, Part X, Line 2 FIN 48 (ASC 740) footnote	FOOTNOTE 2(O) OF THE JUNE 30, 2020 AUDITED FINANCIAL STATEMENTS CONTAINS THE FOLLOWING LANGUAGE REGARDING FIN 48 (ASC 740): "THE RF RECOGNIZES THE EFFECTS OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT TO BE SUSTAINED. MANAGEMENT HAS DETERMINED THERE ARE NO UNCERTAIN TAX POSITIONS AS OF JUNE 30, 2020 AND 2019."
Schedule D, Part XI, Line 2(d) Other revenues in audited financial statements not in form 990	Loss on Interest Rate Swap - -178511
Schedule D, Part XI, Line 4(b) Other revenues in form 990 not in audited financial statements	Agency Program Service Revenue - XXX-XX-XXXX
Schedule D, Part XII, Line 2(d) Other expenses in audited financial statements not in form 990	Post-retirement change in net assets - 44694326
Schedule D, Part XII, Line 4(b) Other expenses in form 990 not in audited financial statements	Agency Program Service Expense - XXX-XX-XXXX

Schedule D (Form 990) 2019

Additional Data

Software ID:	19010655
Software Version:	2019v5.0

- TIN:

SCHEDULE F(Form 990)

Department of the Treasury
Internal Revenue Service

Statement of Activities Outside the United States

Complete if the organization answered "Yes" to Form 990, Part IV, line 14b, 15, or 16. Right pointing arrow large image

Attach to Form 990. Right pointing arrow large image

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
The Research Foundation for The State University of New York

Employer identification number

14-1368361

Part I

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

For grantmakers. Does the organization maintain records to substantiate the amount of its grants and

other assistance, the grantees’ eligibility for the grants or assistance, and the selection criteria used

to award the grants or assistance? . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

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

Activites per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.)

(a) Region		(b) Number of offices in the region	(c) Number of employees, agents, and independent contractors in 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
	Antarctica		2	Program Services	ORGANIZED RESEARCH	21,859
	Central America and the Caribbean		9	Program Services	ORGANIZED RESEARCH	257,738
	East Asia and the Pacific		23	Program Services	ORGANIZED RESEARCH	765,511
	East Asia and the Pacific			Program Services	PUBLIC SERVICES	14,332
	East Asia and the Pacific		5	Program Services	TRAINING	388,322
	Europe (Including Iceland and Greenland)		26	Program Services	ORGANIZED RESEARCH	12,084,939
	Europe (Including Iceland and Greenland)		3	Program Services	EDUCATIONAL SUPPORT	148,237
	Middle East and North Africa		3	Program Services	ORGANIZED RESEARCH	105,596
	Middle East and North Africa		5	Program Services	PUBLIC SERVICES	8,657
	North America (Canada & Mexico only)		5	Program Services	ORGANIZED RESEARCH	96,434
	North America (Canada & Mexico only)		1	Program Services	EDUCATIONAL SUPPORT	50,537
	Russia and Neighboring States		2	Program Services	ORGANIZED RESEARCH	47,907
	Russia and Neighboring States			Program Services	EDUCATIONAL SUPPORT	15,403
	Russia and Neighboring States		3	Program Services	PUBLIC SERVICES	21,057
	South America		6	Program Services	ORGANIZED RESEARCH	205,624
	South Asia		4	Program Services	ORGANIZED RESEARCH	158,067
	Sub-Saharan Africa	1	6	Program Services	ORGANIZED RESEARCH	247,894
	Sub-Saharan Africa	3	4	Program Services	PUBLIC SERVICES	6,341,221
	Sub-Saharan Africa		2	Program Services	TRAINING	263,194
	Central America and the Caribbean			Investments	INVESTMENTS	205,181,433
	Europe (Including Iceland and Greenland)			Investments	INVESTMENTS	134,756
3a	Sub-total ....	1	103			14,390,220
b	Total from continuation sheets to Part I ...	3	6			212,168,498
c	Totals (add lines 3a and 3b)	4	109			226,558,718

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)

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 .......
3	Enter total number of other organizations or entities .......................

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)

Schedule F (Form 990) 2019

Page 4

Part IV

Foreign Forms

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 1 EXPENDITURE RECORDS AND REPORTING	THE RF IS NOT A GRANTMAKER, AND WHILE IT DOES NOT MAKE GRANTS TO FOREIGN ORGANIZATIONS OR TO FOREIGN INDIVIDUALS, IT DOES ADMINISTER GRANTS, CONTRACTS AND OTHER SPONSORED PROGRAMS FUNDED BY OTHERS, INCLUDING GRANTS WITH ACTIVITY IN FOREIGN COUNTRIES. THE RF COMPLIES WITH SPONSOR REQUIREMENTS AS WELL AS OMB UNIFORM GUIDANCE IN ITS COSTING, ADMINISTRATION, AND RECORD-KEEPING PRACTICES INCLUDING RECORDS OF ALL DISBURSEMENTS AND REPORTS ON THE USAGE OF THE SPONSORS' FUNDS.

Schedule F (Form 990) 2019

Additional Data

Software ID:	19010655
Software Version:	2019v5.0

- TIN:

Schedule J
(Form 990)

Department of the Treasury
Internal Revenue Service

Compensation Information

For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet

Complete if the organization answered "Yes" 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

The Research Foundation for The State University of New York

Employer identification number

14-1368361

Part I

Questions Regarding Compensation

Yes

Check the appropiate box(es) if the organization provided any of the following to or for a person listed on Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.

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

Travel for companions Payments for business use of personal residence

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

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

If any of the boxes 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 .........

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? ..

Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.

Compensation committee Written employment contract

Independent compensation consultant Compensation survey or study

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

During the year, did any person listed on Form 990, Part VII, Section A, line 1a, with respect to the filing organization or a related organization:

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

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

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

If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.

Only 501(c)(3), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.

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:

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

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

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

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:

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

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

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

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

Yes

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

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

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

Cat. No. 50053T

Schedule J (Form 990) 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
(A) Name and Title		(i) Base compensation	(ii) Bonus & incentive compensation	(iii) Other reportable compensation	(C) Retirement and other deferred compensation	(D) Nontaxable benefits	(E) Total of columns (B)(i)-(D)
1DR JEFFREY CHEEK PRESIDENT	(i) (ii)	324,486 ------------- 0	0 ------------- 0	400 ------------- 0	22,400 ------------- 0	12,823 ------------- 0	360,109 ------------- 0	0 ------------- 0
2MR CHRISTOPHER ASHLEY GENERAL COUNSEL AND SECRETARY	(i) (ii)	270,750 ------------- 0	0 ------------- 0	210 ------------- 0	21,986 ------------- 0	14,388 ------------- 0	307,334 ------------- 0	0 ------------- 0
3MS EMILY KUNCHALA CHIEF FINANCIAL OFFICER	(i) (ii)	234,279 ------------- 0	0 ------------- 0	410 ------------- 0	24,472 ------------- 0	36,466 ------------- 0	295,627 ------------- 0	0 ------------- 0
4MR JOSHUA TOAS CHIEF COMPLIANCE OFFICER	(i) (ii)	204,338 ------------- 0	0 ------------- 0	200 ------------- 0	21,033 ------------- 0	25,128 ------------- 0	250,699 ------------- 0	0 ------------- 0
5MR RYAN P FARRELL VP OF INTERNAL AUDIT	(i) (ii)	145,274 ------------- 0	0 ------------- 0	560 ------------- 0	14,759 ------------- 0	11,752 ------------- 0	172,345 ------------- 0	0 ------------- 0
6MR DAVID MARCUS CIO, STONY BROOK FOUNDATION	(i) (ii)	345,790 ------------- 0	30,000 ------------- 0	0 ------------- 0	22,400 ------------- 0	34,764 ------------- 0	432,954 ------------- 0	0 ------------- 0
7MS EILEEN M PEZZI VP FOR DEVELOPMENT, UPSTATE MEDICAL UNIV	(i) (ii)	266,710 ------------- 0	20,000 ------------- 0	0 ------------- 0	28,000 ------------- 0	35,963 ------------- 0	350,673 ------------- 0	0 ------------- 0
8MS DEBORAH LOWEN-KLEIN INTERIM VP OF ADVANCEMENT, STONY BROOK	(i) (ii)	288,433 ------------- 0	0 ------------- 0	0 ------------- 0	28,000 ------------- 0	12,388 ------------- 0	328,821 ------------- 0	0 ------------- 0
9MS LORRAINE L MANZELLA ADMN DIR UPSTATE UNIV MED ASSOCIATION	(i) (ii)	271,556 ------------- 0	0 ------------- 0	0 ------------- 0	32,616 ------------- 0	14,888 ------------- 0	319,060 ------------- 0	0 ------------- 0
10MR JASON W HSUEH COO - CFO, STONY BROOK FOUNDATION	(i) (ii)	263,251 ------------- 0	0 ------------- 0	0 ------------- 0	27,107 ------------- 0	26,906 ------------- 0	317,264 ------------- 0	0 ------------- 0

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 3 Compensation Of President	THE PROCESS TO ESTABLISH THE RF PRESIDENT'S COMPENSATION IS DESCRIBED FURTHER IN SCHEDULE O.
Schedule J, Part I, Line 7 NON-FIXED PAYMENTS	NON-FIXED PAYMENTS (OTHER REPORTABLE COMPENSATION) INCLUDE PAYMENTS TO MR. DAVID MARCUS AND MS. EILLEEN PEZZI FOR PERFORMANCE AWARDS. INDIVIDUAL INCENTIVES UNDER THE RF WELLNESS PROGRAM AND RECOGNITION AWARDS.

Schedule J (Form 990) 2019

Additional Data

Software ID:	19010655
Software Version:	2019v5.0

- TIN:

SCHEDULE O
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service

Supplemental Information to Form 990 or 990-EZ

Complete to provide information for responses to specific questions on
Form 990 or 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

The Research Foundation for The State University of New York

Employer identification number

14-1368361

Return Reference	Explanation
Form 990, Part I, Line 1 Mission	MISSION OF THE RESEARCH FOUNDATION FOR THE STATE UNIVERSITY OF NEW YORK: A. TO ASSIST IN DEVELOPING AND INCREASING THE FACILITIES OF THE STATE UNIVERSITY OF NEW YORK TO PROVIDE MORE EXTENSIVE EDUCATIONAL OPPORTUNITIES FOR AND SERVICE TO ITS STUDENTS, FACULTY, STAFF AND ALUMNI, AND TO THE PEOPLE OF THE STATE OF NEW YORK, BY MAKING AND ENCOURAGING GIFTS, GRANTS, CONTRIBUTIONS AND DONATIONS OF REAL AND PERSONAL PROPERTY TO OR FOR THE BENEFIT OF THE STATE UNIVERSITY OF NEW YORK; B.TO RECEIVE, HOLD AND ADMINISTER GIFTS OR GRANTS, AND TO ACT WITHOUT PROFIT AS TRUSTEE OF EDUCATIONAL OR CHARITABLE TRUSTS, OF BENEFIT TO AND IN KEEPING WITH THE EDUCATIONAL PURPOSES AND OBJECTS OF THE STATE UNIVERSITY OF NEW YORK; AND C. TO FINANCE THE CONDUCT OF STUDIES AND RESEARCH IN ANY AND ALL FIELDS OF THE ARTS AND SCIENCES, OF BENEFIT TO AND IN KEEPING WITH THE EDUCATIONAL PURPOSES AND OBJECTS OF THE STATE UNIVERSITY OF NEW YORK.
Form 990, Part III, Line 4a Program Service Accomplishments- Research	THE RF PROVIDES SUNY FACULTY AND STAFF WITH ADMINISTRATIVE SUPPORT FOR RESEARCH GRANTS AND AWARDS THAT ARE FUNDED BY SPONSORS (FEDERAL AND STATE GOVERNMENTS, PRIVATE SECTOR COMPANIES AND NONPROFIT FOUNDATIONS). THE ADMINISTRATIVE SUPPORT INCLUDES SERVICES SUCH AS HIRING PERSONNEL NECESSARY TO CONDUCT THE RESEARCH, PURCHASING EQUIPMENT AND SUPPLIES, PREFUNDING EXPENSES PRIOR TO SPONSOR REIMBURSEMENT AND PROVIDING FINANCIAL REPORTS TO THE SPONSORS. THESE RESEARCH GRANTS AND AWARDS ENCOMPASS A WIDE RANGE OF DISCIPLINES INCLUDING IN LIFE SCIENCES AND MEDICINE; ENGINEERING AND NANOTECHNOLOGY; PHYSICAL SCIENCES AND ENERGY; SOCIAL SCIENCES, AND COMPUTER AND INFORMATION SCIENCES. THE RF SUPPORTED 5,453 RESEARCH GRANTS AND AWARDS THAT WERE CONDUCTED BY 2,391 FACULTY MEMBERS (PRINCIPAL INVESTIGATORS) DURING THE FISCAL YEAR ENDED JUNE 30, 2020. THIS YEAR, RESEARCH AT SUNY LED TO 247 INVENTION DISCLOSURES, 75 U.S. PATENTS, 46 LICENSE AGREEMENTS, AND 231 PATENT APPLICATIONS FILED.
Form 990, Part III, Line 4b Program Service Accomplishments- Public Service	SUNY FACULTY AND STAFF CONDUCT VARIOUS PROGRAMS THAT BENEFIT LOCAL COMMUNITIES AND BEYOND SUCH AS PROVIDING WORKFORCE DEVELOPMENT SERVICES, EDUCATIONAL AND THERAPEUTIC SERVICES TO CHILDREN THROUGH EARLY INTERVENTION PROGRAMS AND COORDINATING SMALL BUSINESS DEVELOPMENT CENTER ACTIVITIES. FUNDING FOR THESE GRANTS AND PROGRAMS IS PROVIDED BY SPONSORS TO THE RF ON BEHALF OF SUNY. THE RF SUPPORTS THE FACULTY AND STAFF BY PERFORMING THE FOLLOWING ADMINISTRATIVE TASKS: HIRING PERSONNEL THE FACULTY NEEDED TO HELP CONDUCT THE PROGRAM, PURCHASING NECESSARY EQUIPMENT AND SUPPLIES AND REIMBURSING TRAVEL COSTS THAT ARE PROVIDED FOR BY THE GRANT, SUBMITTING FINANCIAL REPORTS REQUIRED BY THE SPONSORS, AND ENSURING COMPLIANCE WITH FEDERAL AND STATE REGULATIONS AND THE SPONSOR'S TERMS AND CONDITIONS. THE RF SUPPORTED 794 PUBLIC SERVICE GRANTS AND AWARDS THAT WERE CONDUCTED BY 356 PRINCIPAL INVESTIGATORS DURING THE FISCAL YEAR ENDED JUNE 30, 2020.
Form 990, Part III, Line 4c Program Service Accomplishments- Training and Education	SUNY FACULTY AND STAFF ARE AWARDED GRANTS AND CONTRACTS FOR TRAINING AND EDUCATION PROGRAMS THAT HELP BUILD SKILLS AND DISSEMINATE SUNY EXPERTISE. THE PROGRAMS ARE DESIGNED TO HELP PEOPLE OF ALL AGES IN NEW YORK STATE AND AROUND THE WORLD, SUCH AS TEACHERS AND HEALTH CARE WORKERS. THE RF PROVIDES ADMINISTRATIVE SERVICES THAT ALLOW SUNY FACULTY AND STAFF TO FOCUS ON THESE PROGRAMS. THESE ADMINISTRATIVE SERVICES INCLUDE: HIRING PERSONNEL TO HELP CONDUCT PROGRAMS, PURCHASING NECESSARY EQUIPMENT AND SUPPLIES AND REIMBURSING TRAVEL COSTS THAT ARE PROVIDED FOR BY THE GRANT, SUBMITTING FINANCIAL REPORTS REQUIRED BY THE SPONSOR, AND ENSURING COMPLIANCE WITH FEDERAL AND STATE REGULATIONS AND THE SPONSOR'S TERMS AND CONDITIONS. THE RF SUPPORTED 670 TRAINING AND EDUCATIONAL GRANTS AND AWARDS THAT WERE CONDUCTED BY 432 PRINCIPAL INVESTIGATORS DURING THE FISCAL YEAR ENDED JUNE 30, 2020. UNDER THE PROGRAM SERVICES INCLUDED ON LINES 4A THROUGH 4C, THE RF EMPLOYED APPROXIMATELY 10,400 INDIVIDUALS.
Form 990, Part III, Line 4d Description of other program services	(Expenses $ 215,661,505 including grants of $)(Revenue $ 213,041,924) THE RF PROVIDES SERVICES TO CAMPUS-RELATED ORGANIZATIONS ACROSS 31 SUNY LOCATIONS AND TO RF AFFILIATES - SEPARATE, PRIVATE CORPORATIONS THAT SUPPORT CAMPUS GOALS TO CONDUCT COLLABORATIVE RESEARCH PROJECTS, EMPOWER SMALL BUSINESS INCUBATION, AND MANAGE AND DEVELOP REAL ESTATE. THE RF OFFERS HUMAN RESOURCES/PAYROLL AND PURCHASING/PAYABLES ADMINISTRATIVE SERVICES TO THESE ORGANIZATIONS. CAMPUS-RELATED ORGANIZATIONS ARE CREATED TO SUPPORT SUNY'S MISSION; EXAMPLES OF SUCH ORGANIZATIONS ARE CAMPUS FOUNDATIONS AND CLINICAL PRACTICE PLANS AT THE SUNY MEDICAL INSTITUTIONS. APPROXIMATELY 2,400 INDIVIDUALS WERE EMPLOYED BY THE RF FOR THESE PROGRAM SERVICES. THE RF ALSO ADMINISTERS GRANTS AND CONTRACTS SUCH AS SCHOLARSHIPS AND FELLOWSHIPS FOR SUNY STUDENTS THAT ARE FUNDED BY EXTERNAL SPONSORS, AND ADMINISTERS PROGRAMS SUCH AS THE SUNY TECHNOLOGY ACCELERATOR FUND (TAF), WHICH ENABLES FACULTY INVENTORS AND SCIENTISTS TO DEMONSTRATE THAT THEIR PROMISING IDEAS HAVE COMMERCIAL POTENTIAL THROUGH FEASIBILTY STUDIES, PROTOTYPING AND TESTING; AND START-UP NY, NEW YORK STATE'S INITIATIVE TO GROW BUSINESS THROUGH TAX-FREE ZONES AND ACCESS TO SUNY'S FACILITIES AND TALENT. THE REMAINING 2,200 INDIVIDUALS EMPLOYED BY THE RF WERE MAINLY CORPORATE STAFF SUPPORTING THE PROGRAMS DESCRIBED IN LINES 4A THROUGH 4D. FOR MORE INFORMATION ABOUT THE RF GO TO WWW.RFSUNY.ORG.
Form 990, Part VI, Line 2 Business and Family Relationships	The following individuals are or were members of the RF Board during the tax year and were also employed by the State University of New York (SUNY): Directors Gintzler, Kress, Megna, Stenger, Tripathi, and Wang. These business relationships are not reportable on schedule L, nor did they give rise to transactions reportable on schedule L.
Form 990, Part VI, Line 11b Review of form 990 by governing body	THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS THE FORM 990 PRIOR TO SUBMISSION ACCORDING TO THE AUDIT COMMITTEE CHARTER. THE RF PROVIDED A COMPLETE COPY OF THE FINAL FORM 990 (INCLUDING ALL REQUIRED SCHEDULES), AS ULTIMATELY FILED WITH THE IRS, TO EACH PERSON WHO WAS A VOTING MEMBER OF THE GOVERNING BODY AT THE TIME THE FORM 990 WAS FILED WITH THE IRS.
Form 990, Part VI, Line 12c Conflict of interest policy	THE RF MONITORS CONFLICTS OF INTEREST FOR DIRECTORS, OFFICERS AND KEY EMPLOYEES BY DOING AN ANNUAL CERTIFICATION OF BUSINESS AND FAMILY RELATIONSHIPS. ANY DIRECTOR WITH A RELATIONSHIP THAT MAY BE PERCEIVED AS CONSTITUTING A CONFLICT OF INTEREST WILL RECUSE HIM/HERSELF FROM THE VOTE ON THAT ISSUE. UNDER THE RF'S CONFLICT OF INTEREST POLICY AND MANAGEMENT OF CONFLICTS OF INTEREST PROCEDURE, IF A POTENTIAL CONFLICT IS IDENTIFIED, IT IS REVIEWED BY AN IMPARTIAL INDIVIDUAL OR GROUP WITH CONSULTATION AS NEEDED WITH THE CHIEF COMPLIANCE OFFICER. IF A CONFLICT IS DETERMINED TO EXIST, A MANAGEMENT PLAN IS PUT IN PLACE TO MITIGATE THE CONFLICT.
Form 990, Part VI, Line 15a Process to establish compensation of top management official	THE PROCESS FOR DETERMINING THE COMPENSATION OF THE ORGANIZATION'S TOP MANAGEMENT OFFICIAL, OFFICERS, AND EMPLOYEES MEETS THE REQUIREMENTS OF THE REBUTTABLE PRESUMPTION PROVISION UNDER TREAS. REG. §53.4958-6. THE RF BOARD HAS DESIGNATED THE EXECUTIVE COMMITTEE, MADE UP OF INDEPENDENT MEMBERS, TO ACT AS THE COMPENSATION COMMITTEE FOR THE RF ACCORDING TO THE EXECUTIVE COMMITTEE CHARTER. FOR RF PRESIDENT DR. JEFFREY CHEEK, AN RF EMPLOYEE, HIS COMPENSATION WAS SET BY THE RF BOARD OF DIRECTORS AS PER THE RF'S EXECUTIVE COMPENSATION POLICY. THIS REVIEW OF REASONABLENESS IS BASED UPON APPROPRIATE BENCHMARKING DATA PROVIDED BY AN INDEPENDENT COMPENSATION CONSULTANT. THAT CONSULTANT WAS RETAINED BY THE EXECUTIVE COMMITTEE DURING THE TAX YEAR TO GATHER COMPARABLE LOCAL MARKET AND NATIONAL DATA TO CREATE BENCHMARKS FOR ALL OFFICER POSITIONS AND THE RF RETAINS CONTEMPORANEOUS DOCUMENTATION OF THE COMPENSATION REVIEW AND APPROVAL PROCESS IN ORDER TO CONFORM WITH THE TREASURY DEPARTMENT'S REBUTTABLE PRESUMPTION RULES UNDER TREAS. REG. §53.4958-6.
Form 990, Part VI, Line 15b Process to establish compensation of other employees	AS NOTED ABOVE, THE PROCESS FOR DETERMINING THE COMPENSATION OF THE ORGANIZATION'S TOP MANAGEMENT OFFICIAL, OFFICERS, AND EMPLOYEES MEETS THE REQUIREMENTS OF THE REBUTTABLE PRESUMPTION PROVISION UNDER TREAS. REG. §53.4958-6. THE RF BOARD HAS DESIGNATED THE EXECUTIVE COMMITTEE, MADE UP OF INDEPENDENT MEMBERS, TO ACT AS THE COMPENSATION COMMITTEE FOR THE RF ACCORDING TO THE EXECUTIVE COMMITTEE CHARTER. IN ADDITION TO THE RF PRESIDENT, OTHER RF OFFICERS LISTED IN PART VII ARE ALSO RF EMPLOYEES AND THEREFORE SUBJECT TO THE RF'S EXECUTIVE COMPENSATION POLICY. THAT POLICY STATES, "COMPENSATION OF OTHER RF OFFICERS WILL BE SET BY THE RF PRESIDENT AND WILL BE REVIEWED FOR REASONABLENESS BY THE RF BOARD OF DIRECTORS IN ACCORDANCE WITH THE PROCEDURE FOR REVIEWING EXECUTIVE COMPENSATION." THIS REVIEW OF REASONABLENESS IS BASED UPON APPROPRIATE BENCHMARKING DATA PROVIDED BY AN INDEPENDENT COMPENSATION CONSULTANT. THAT CONSULTANT WAS RETAINED BY THE EXECUTIVE COMMITTEE DURING THE TAX YEAR TO GATHER COMPARABLE LOCAL MARKET AND NATIONAL DATA TO CREATE BENCHMARKS FOR ALL OFFICER POSITIONS AND THE RF RETAINS CONTEMPORANEOUS DOCUMENTATION OF THE COMPENSATION REVIEW AND APPROVAL PROCESS IN ORDER TO CONFORM WITH THE TREASURY DEPARTMENT'S REBUTTABLE PRESUMPTION RULES UNDER TREAS. REG. §53.4958-6.
Form 990, Part VI, Line 19 Required documents available to the public	THE RESEARCH FOUNDATION CHARTER, THE 1977 AGREEMENT WITH THE STATE UNIVERSITY OF NEW YORK, THE CONFLICT OF INTEREST POLICY AND THE FINANCIAL STATEMENTS ARE ALL AVAILABLE ON THE RF'S PUBLIC WEB SITE AT WWW.RFSUNY.ORG.
Form 990, Part VII, Section A, Line 1a Compensation of Directors, Officers, et. al.	COMPENSATION IS PAID TO DIRECTORS WHO ARE ALSO FACULTY MEMBERS, CAMPUS PRESIDENTS, OR WHO HAVE OTHER ADMINISTRATIVE ROLES UNRELATED TO THEIR ACTIVITIES AS MEMBERS OF THE BOARD OF DIRECTORS; SUCH COMPENSATION IS RELATED TO THEIR ROLE AS PRINCIPAL INVESTIGATORS, RESEARCH SCIENTISTS, OR AS CAMPUS ADMINISTRATORS. DURING THE TAX YEAR, THE RF PAID DIRECT COMPENSATION TO DIRECTORS STENGER FOR SERVICES PROVIDED IN HIS ADMINISTRATIVE ROLES. THE RF PAID AN UNRELATED TAX-EXEMPT ENTITY $129,284 TOWARD SALARY SUPPLEMENTATION TO BE MADE TO DR. SATISH TRIPATHI, MEMBER OF THE RF BOARD DURING TAX YEAR 2019 FOR SERVICES RENDERED TO SUNY IN HIS CAPACITY AS PRESIDENT OF A SUNY CAMPUS. REVIEW AND DOCUMENTATION OF DIRECTOR TRIPATHI'S SALARY APPROVAL PROCESS IS MANAGED BY THE STATE UNIVERSITY OF NEW YORK.
Form 990, Part VIII, Line 11d Other Miscellaneous Revenue	Other Revenue - Total Revenue: 21630955, Related or Exempt Function Revenue: 21630955, Unrelated Business Revenue: , Revenue Excluded from Tax Under Sections 512, 513, or 514: ;
Form 990, Part IX, Line 21 Payments to affiliates	BROOKHAVEN SCIENCE ASSOCIATES LLC: Total Expense: 2,708 Program Service ex: 2,499 Management & General: 209 LONG ISLAND HIGH TECH INCUBATOR: Total Expense: 1,500 Program Service ex: 1,500 NEW YORK GENOME CENTER: Total Expense: 223,320 Program Service ex: 223,320
Form 990, Part XI, Line 9 Other changes in net assets or fund balances	LOSS ON INTEREST RATE SWAP - -178511; POST-RETIREMENT CHANGE IN NET ASSETS - -44694326;

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:	19010655
Software Version:	2019v5.0

- TIN:

SCHEDULE R
(Form 990)

Department of the Treasury
Internal Revenue Service

Related Organizations and Unrelated Partnerships

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

Attach to Form 990.
MediumBullet

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

The Research Foundation for The State University of New York

Employer identification number

14-1368361

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

Part II

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

(a) Name, address, and EIN of related organization	(b) Primary activity	(c) Legal domicile (state or foreign country)	(d) Exempt Code section	(e) Public charity status (if section 501(c)(3))	(f) Direct controlling entity	(g) Section 512(b)(13) controlled entity?
(a) Name, address, and EIN of related organization	(b) Primary activity	(c) Legal domicile (state or foreign country)	(d) Exempt Code section	(e) Public charity status (if section 501(c)(3))	(f) Direct controlling entity	Yes	No
(1)RESEARCH FOUNDATION POST-RETIREMENT BENEFITS PLAN PO BOX 9 ALBANY,NY12201 80-0412424	BENEFITS	NY	501(c)(9)		RESEARCH FOUNDATION FOR THE STATE UNIVERSITY OF NEW YORK	Yes

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

Cat. No. 50135Y

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

Part IV

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

(a) Name, address, and EIN of related organization	(b) Primary activity	(c) Legal domicile (state or foreign country)	(d) Direct controlling entity	(e) Type of entity (C corp, S corp, or trust)	(f) Share of total income	(g) Share of end-of-year assets	(i) Section 512(b)(13) controlled entity?
(a) Name, address, and EIN of related organization	(b) Primary activity	(c) Legal domicile (state or foreign country)	(d) Direct controlling entity	(e) Type of entity (C corp, S corp, or trust)	(f) Share of total income	(g) Share of end-of-year assets	Yes	No

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

1 During the tax year, did the orgranization engage in any of the following transactions with one or more related organizations listed in Parts II-IV?

a Receipt of (i) interest, (ii) annuities, (iii) royalties, or (iv) rent from a controlled entity .....................

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

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

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

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

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

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

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

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

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

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

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

Yes

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

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

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

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

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

Yes

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

Yes

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

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) RF POST-RETIREMENT BENEFITS PLAN	Q	10,869,029	CASH
(2) RF POST-RETIREMENT BENEFITS PLAN	R	5,983,804	CASH

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)	(e) Are all partners section 501(c)(3) organizations?		(f) Share of total income	(g) Share of end-of-year assets	(h) Disproprtionate allocations?		(i) Code V-UBI amount in box 20 of Schedule K-1 (Form 1065)	(j) General or managing partner?
(a) Name, address, and EIN of entity	(b) Primary activity	(c) Legal domicile (state or foreign country)	Yes	No	(f) Share of total income	(g) Share of end-of-year assets	Yes	No	(i) Code V-UBI amount in box 20 of Schedule K-1 (Form 1065)	Yes	No

Schedule R (Form 990) 2019

Page 5

Part VII

Supplemental Information

Provide additional information for responses to questions on Schedule R. (see instructions).

Return Reference

Explanation

RESEARCH FOUNDATION POST-RETIREMENT BENEFITS PLAN

THE RELATED ORGANIZATION, "RESEARCH FOUNDATION POST-RETIREMENT BENEFITS PLAN," EIN 80-0412424, IS A SECTION 501(C)(9) VOLUNTARY EMPLOYEE BENEFITS ASSOCIATION (VEBA) TRUST THAT HAS BEEN ESTABLISHED TO PROVIDE POST-RETIREMENT BENEFITS TO ELIGIBLE PARTICIPANTS. THE FILING ORGANIZATION IS THE CONTRIBUTING EMPLOYER AND SPONSORING ORGANIZATION FOR THIS VEBA TRUST. THE TRANSACTIONS LISTED IN SCHEDULE R, PART V, INCLUDE GOVERNANCE PROVIDED BY THE FILING ORGANIZATION OVER THE VEBA'S TRUSTEE (LINE 1L), REIMBURSEMENTS MADE BY THE VEBA TRUST FOR BENEFITS PAID BY THE FILING ORGANIZATION (LINE 1Q) AND THE FILING ORGANIZATION'S FUNDING OF THE ASSETS IN THE VEBA TRUST (LINE 1R).

Schedule R (Form 990) 2019

Additional Data

Software ID:	19010655
Software Version:	2019v5.0

1	Briefly describe the organization’s mission or most significant activities: SEE SCHEDULE O
2	Check this box
3	Number of voting members of the governing body (Part VI, line 1a) ........	3	15
4	Number of independent voting members of the governing body (Part VI, line 1b) .....	4	14
5	Total number of individuals employed in calendar year 2019 (Part V, line 2a) ......	5	15,071
6	Total number of volunteers (estimate if necessary) .............	6	709
7a	Total unrelated business revenue from Part VIII, column (C), line 12 ........	7a	41,212
b	Net unrelated business taxable income from Form 990-T, line 39 .........	7b	25,796

		Prior Year	Current Year
8	Contributions and grants (Part VIII, line 1h) .........	957,792,336	1,341,231,620
9	Program service revenue (Part VIII, line 2g) .........	183,518,449	179,461,797
10	Investment income (Part VIII, column (A), lines 3, 4, and 7d ) ....	10,806,333	8,290,760
11	Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e)	46,575,409	43,901,532
12	Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)	1,198,692,527	1,572,885,709
13	Grants and similar amounts paid (Part IX, column (A), lines 1–3 )...		0
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)	594,595,025	613,055,789
16a	Professional fundraising fees (Part IX, column (A), line 11e) .....		0
b	Total fundraising expenses (Part IX, column (D), line 25) 0
17	Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e)....	552,983,897	537,823,328
18	Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25)	1,147,578,922	1,150,879,117
19	Revenue less expenses. Subtract line 18 from line 12.......	51,113,605	422,006,592
		Beginning of Current Year	End of Year
20	Total assets (Part X, line 16).............	1,188,734,604	1,346,216,783
21	Total liabilities (Part X, line 26).............	1,122,907,679	894,356,453
22	Net assets or fund balances. Subtract line 21 from line 20.....	65,826,925	451,860,330

Sign Here

	Signature of officer	Date

	Type or print name and title


4a	(Code: ) (Expenses $ 609,988,971 including grants of $ ) (Revenue $ 256,592 )
	RESEARCH- PROGRAM SERVICE ACCOMPLISHMENTS- SEE SCHEDULE O

4b	(Code: ) (Expenses $ 106,635,408 including grants of $ ) (Revenue $ 3,493,728 )
	PUBLIC SERVICE- PROGRAM SERVICE ACCOMPLISHMENTS- SEE SCHEDULE O

4c	(Code: ) (Expenses $ 78,061,541 including grants of $ ) (Revenue $ 0 )
	TRAINING AND EDUCATION- PROGRAM SERVICE ACCOMPLISHMENTS - SEE SCHEDULE O

	(Code: ) (Expenses $ 215,661,505 including grants of $ ) (Revenue $ 213,041,924 )
	THE RF PROVIDES SERVICES TO CAMPUS-RELATED ORGANIZATIONS ACROSS 31 SUNY LOCATIONS AND TO RF AFFILIATES - SEPARATE, PRIVATE CORPORATIONS THAT SUPPORT CAMPUS GOALS TO CONDUCT COLLABORATIVE RESEARCH PROJECTS, EMPOWER SMALL BUSINESS INCUBATION, AND MANAGE AND DEVELOP REAL ESTATE. THE RF OFFERS HUMAN RESOURCES/PAYROLL AND PURCHASING/PAYABLES ADMINISTRATIVE SERVICES TO THESE ORGANIZATIONS. CAMPUS-RELATED ORGANIZATIONS ARE CREATED TO SUPPORT SUNY'S MISSION; EXAMPLES OF SUCH ORGANIZATIONS ARE CAMPUS FOUNDATIONS AND CLINICAL PRACTICE PLANS AT THE SUNY MEDICAL INSTITUTIONS. APPROXIMATELY 2,400 INDIVIDUALS WERE EMPLOYED BY THE RF FOR THESE PROGRAM SERVICES. THE RF ALSO ADMINISTERS GRANTS AND CONTRACTS SUCH AS SCHOLARSHIPS AND FELLOWSHIPS FOR SUNY STUDENTS THAT ARE FUNDED BY EXTERNAL SPONSORS, AND ADMINISTERS PROGRAMS SUCH AS THE SUNY TECHNOLOGY ACCELERATOR FUND (TAF), WHICH ENABLES FACULTY INVENTORS AND SCIENTISTS TO DEMONSTRATE THAT THEIR PROMISING IDEAS HAVE COMMERCIAL POTENTIAL THROUGH FEASIBILTY STUDIES, PROTOTYPING AND TESTING; AND START-UP NY, NEW YORK STATE'S INITIATIVE TO GROW BUSINESS THROUGH TAX-FREE ZONES AND ACCESS TO SUNY'S FACILITIES AND TALENT. THE REMAINING 2,200 INDIVIDUALS EMPLOYED BY THE RF WERE MAINLY CORPORATE STAFF SUPPORTING THE PROGRAMS DESCRIBED IN LINES 4A THROUGH 4D. FOR MORE INFORMATION ABOUT THE RF GO TO WWW.RFSUNY.ORG.

4d	Other program services (Describe in Schedule O.)
	(Expenses $ 215,661,505 including grants of $ ) (Revenue $ 213,041,924 )
4e	Total program service expenses1,010,347,425

(A) Name and title	(B) Average hours per week (list any hours for related organizations below dotted line)	(C) Position (do not check more than one box, unless person is both an officer and a director/trustee)			(D) Reportable compensation from the organization (W-2/1099-MISC)	(E) Reportable compensation from related organizations (W-2/1099-MISC)	(F) Estimated amount of other compensation from the organization and related organizations
(A) Name and title
(18) MS VIRGINIA C GREGG DIRECTOR	1.0 .......................0.0	X			0	0	0
(19) DR JEFFREY CHEEK PRESIDENT	37.5 .......................0.0		X		324,886	0	35,223
(20) MR CHRISTOPHER ASHLEY GENERAL COUNSEL AND SECRETARY	37.5 .......................0.0		X		270,960	0	36,374
(21) MR JOSHUA TOAS CHIEF COMPLIANCE OFFICER	37.5 .......................0.0		X		204,538	0	46,161
(22) MR RYAN P FARRELL VP OF INTERNAL AUDIT	37.5 .......................0.0		X		145,834	0	26,511
(23) MS EMILY KUNCHALA CHIEF FINANCIAL OFFICER	37.5 .......................0.0		X		234,689	0	60,938
(24) MR DAVID MARCUS CIO, STONY BROOK FOUNDATION	37.5 .......................0.0			X	375,790	0	57,164
(25) MR JASON W HSUEH COO - CFO, STONY BROOK FOUNDATION	37.5 .......................0.0			X	263,251	0	54,013
(26) MS DEBORAH LOWEN-KLEIN INTERIM VP OF ADVANCEMENT, STONY BROOK	37.5 .......................0.0			X	288,433	0	40,388
(27) MS EILEEN M PEZZI VP FOR DEVELOPMENT, UPSTATE MEDICAL UNIV	37.5 .......................0.0			X	286,710	0	63,963
(28) MS LORRAINE L MANZELLA ADMN DIR UPSTATE UNIV MED ASSOCIATION	37.5 .......................0.0			X	271,556	0	47,504

1b	Sub-Total................
c	Total from continuation sheets to Part VII, Section A....
d	Total (add lines 1b and 1c)...........	2,791,647	0	480,739

1a	Federated campaigns..		1a
b	Membership dues..		1b
c	Fundraising events..		1c
d	Related organizations		1d
e	Government grants (contributions)		1e	1,036,624,135

f	All other contributions, gifts, grants, and similar amounts not included above		1f	304,607,485

g	Noncash contributions included in lines 1a - 1f:$		1g	23,000

h Total. Add lines 1a-1f.......		1,341,231,620

		Business Code
2a	AGENCY ACTIVITY	561000	179,461,797	179,461,797
b
c
d
e
f	All other program service revenue.		0	0	0	0
g	Total. Add lines 2a–2f .....		179,461,797

3 Investment income (including dividends, interest, and othersimilar amounts) ......			8,131,584		-25,644	8,157,228
4 Income from investment of tax-exempt bond proceeds
5 Royalties...........			6,571,085			6,571,085
		(ii) Personal	(i) Real
6a	Gross rents			6a
b	Less: rental expenses			6b
c	Rental income or (loss)	0	0	6c
d	Net rental income or (loss).......
		(ii) Other	(i) Securities
7a	Gross amount from sales of assets other than inventory	9,801,585	332,982,632	7a
b	Less: cost or other basis and sales expenses	14,312,404	328,312,637	7b
c	Gain or (loss)	-4,510,819	4,669,995	7c
d	Net gain or (loss).........			159,176		66,856	92,320
8a	Gross income from fundraising events (not including $ of contributions reported on line 1c). See Part IV, line 18 ....
			8a
b	Less: direct expenses ...		8b
c	Net income or (loss) from fundraising events..
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..
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..
Business Code			Miscellaneous Revenue
11a	AGENCY FEES		561000	7,146,522	7,146,522
b	SERVICE CENTER REVENUE		541380	3,840,254	3,840,254
c	FIXED PRICE AWARD REVENUE		611710	4,712,716	4,712,716
d	All other revenue ....			21,630,955	21,630,955	0	0
e	Total. Add lines 11a–11d ......			37,330,447
12	Total revenue. See instructions.....			1,572,885,709	216,792,244	41,212	14,820,633

1	Grants and other assistance to domestic organizations and domestic governments. See Part IV, line 21 ....
2	Grants and other assistance to domestic individuals. See Part IV, line 22 ...........
3	Grants and other assistance to foreign organizations, foreign governments, and foreign individuals. See Part IV, lines 15 and 16. .............
4	Benefits paid to or for members .......
5	Compensation of current officers, directors, trustees, and key employees ...........	1,538,639	0	1,538,639	0
6	Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .........
7	Other salaries and wages........	456,343,448	389,846,844	66,496,604
8	Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) ....	29,019,073	24,707,221	4,311,852
9	Other employee benefits .......	97,849,314	82,459,396	15,389,918
10	Payroll taxes ...........	28,305,315	24,099,518	4,205,797
11	Fees for services (non-employees):
a	Management ......
b	Legal .........	352,082	129,669	222,413
c	Accounting ...........	449,589		449,589
d	Lobbying ...........	139,143		139,143
e	Professional fundraising services. See Part IV, line 17
f	Investment management fees ......	1,665,024		1,665,024
g	Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O)	75,395,212	65,482,667	9,912,545	0
12	Advertising and promotion ....	1,561,184	815,332	745,852
13	Office expenses .......	88,365,238	83,496,627	4,868,611
14	Information technology ......	9,594,917	4,024,735	5,570,182
15	Royalties ..	6,046,651	6,046,651
16	Occupancy ...........	32,787,668	28,707,375	4,080,293
17	Travel ............	15,329,721	13,086,069	2,243,652
18	Payments of travel or entertainment expenses for any federal, state, or local public officials .
19	Conferences, conventions, and meetings ....	7,309,742	5,296,127	2,013,615
20	Interest ...........	20,962,744	18,890,386	2,072,358
21	Payments to affiliates .......	226,528	226,319	209
22	Depreciation, depletion, and amortization ..	65,124,927	60,498,605	4,626,322
23	Insurance ...	1,945,423	799,540	1,145,883
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	SUBCONTRACTS	99,858,748	99,798,534	60,214
b	TUITION AND FEES	18,011,714	17,617,659	394,055
c	FELLOWSHIPS	18,437,661	17,612,854	824,807
d	EQUIPMENT	50,900,558	49,086,311	1,814,247
e	All other expenses	23,358,854	17,618,986	5,739,868	0
25	Total functional expenses. Add lines 1 through 24e	1,150,879,117	1,010,347,425	140,531,692	0
26	Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here if following SOP 98-2 (ASC 958-720).

1	Cash–non-interest-bearing ........				1
2	Savings and temporary cash investments .........			122,065,965	2	207,245,363
3	Pledges and grants receivable, net ......			230,964,653	3	196,371,100
4	Accounts receivable, net .............			13,601,366	4	14,414,412
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 .......
				0	5	0
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 ...........			2,732	7	2,584
8	Inventories for sale or use ............				8
9	Prepaid expenses and deferred charges ......			199,468	9	114,579
10a	Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D	10a	869,058,069
b	Less: accumulated depreciation	10b	325,423,119	496,053,812	10c	543,634,950
11	Investments—publicly traded securities .			112,702,558	11	129,137,264
12	Investments—other securities. See Part IV, line 11 .....			184,764,967	12	238,918,012
13	Investments—program-related. See Part IV, line 11 ..			0	13
14	Intangible assets ...............			16,076,728	14	7,373,546
15	Other assets. See Part IV, line 11 ...........			12,302,355	15	9,004,973
16	Total assets. Add lines 1 through 15 (must equal line 33)...			1,188,734,604	16	1,346,216,783

17	Accounts payable and accrued expenses .....	156,068,317	17	150,899,584
18	Grants payable ...		18
19	Deferred revenue .........	559,932,587	19	342,787,635
20	Tax-exempt bond liabilities .........	3,850,000	20	3,630,000
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 ..	239,749,970	23	221,911,275
24	Unsecured notes and loans payable to unrelated third parties ..	17,800,000	24	4,000,000
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	145,506,805	25	171,127,959
26	Total liabilities. Add lines 17 through 25..	1,122,907,679	26	894,356,453

	Organizations that follow FASB ASC 958, check here and complete lines 27, 28, 32, and 33.
27	Net assets without donor restrictions ..........	53,423,193	27	431,663,574
28	Net assets with donor restrictions ...........	12,403,732	28	20,196,756
	Organizations that do not follow FASB ASC 958, check here 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 ...........	65,826,925	32	451,860,330
33	Total liabilities and net assets/fund balances ........	1,188,734,604	33	1,346,216,783

1	Was the organization a U.S. transferor of property to a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 926, Return by a U.S. Transferor of Property to a Foreign Corporation (see Instructions for Form 926). . . . . . . . . . . . . . . . . . . . . . . . . . . . . .	Yes	No
2	Did the organization have an interest in a foreign trust during the tax year? If "Yes," the organization may be required to 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). . . . . . . . . . . . . . . . . . . . . . . .	Yes	No
3	Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 5471, Information Return of U.S. Persons with Respect to Certain Foreign Corporations. (see Instructions for Form 5471). . . . . . . . . . . . . . . . . . . . . . . . . . . .	Yes	No
4	Was the organization a direct or indirect shareholder of a passive foreign investment company or a qualified electing fund during the tax year? If “Yes,” the organization may be required to file Form 8621, Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see Instructions for Form 8621) .	Yes	No
5	Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," the organization may be required to file Form 8865, Return of U.S. Persons with Respect to Certain Foreign Partnerships (see Instructions for Form 8865). . . . . . . . . . . . . . . . . . . . . . . . . . . . . .	Yes	No
6	Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organization may be required to separately file Form 5713, International Boycott Report (see Instructions for Form 5713; don't file with Form 990).. . . . . . . . . . . . . . . . . . . . . . . . . . . .	Yes	No