Civic Intelligence

The Rockefeller University

990 • Fiscal year 2014 • EIN 13-1624158

Jul 01, 2013 to Jun 30, 2014 • Filed on Feb 14, 2015

Organization Profilewww.rockefeller.edu

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1230 York AvenueNew York, NY 10065-6307

(212) 327-8000

Siviq Scores

Precomputed percentiles for this filing year versus similar nonprofits in the same peer cohort.

Liabilities / Assets

38th percentile

0.30x

Higher debt load relative to assets than 38% of similar nonprofits.

2014 filings • 501(c)3 • $1B+ nonprofits • Source year 2014

Liabilities / Revenue

84th percentile

2.23x

Higher debt load relative to revenue than 84% of similar nonprofits.

2014 filings • 501(c)3 • $1B+ nonprofits • Source year 2014

Net Margin

75th percentile

18%

Higher net margin than 75% of similar nonprofits.

2014 filings • 501(c)3 • $1B+ nonprofits • Source year 2014

Top Officer Pay

49th percentile

$1,487,679

Higher top officer pay than 49% of similar nonprofits.

Top officer pay equals 0.3% of source-year revenue.

2014 filings • 501(c)3 • $1B+ nonprofits • Source year 2014

Asset Growth

41st percentile

6.9%

Faster asset growth than 41% of similar nonprofits.

2014 filings • 501(c)3 • $1B+ nonprofits • Annualized from 2013 to 2014

Revenue Growth

88th percentile

29%

Faster revenue growth than 88% of similar nonprofits.

2014 filings • 501(c)3 • $1B+ nonprofits • Annualized from 2013 to 2014

Balance Sheet
Liabilities / Assets38th percentile

Assets

Up

$3,214,164,130

Up $206,504,847 (+6.9%) from 2013

Net Assets

Up

$2,260,981,852

Up $204,426,386 (+9.9%) from 2013

Liabilities

Up

$953,182,278

Up $2,078,461 (+0.2%) from 2013

Revenue And Expenses
Liabilities / Revenue84th percentileNet Margin75th percentile

Revenue

Up

$426,890,178

Up $95,008,373 (+29%) from 2013

Expenses

Up

$350,429,792

Up $4,962,950 (+1.4%) from 2013

Net Income

Up

$76,460,386

Up $90,045,423 (+663%) from 2013

Historical Trend

Balance Sheet Trend

Asset Growth41st percentile

The highlighted filing sits inside the broader history for assets, liabilities, and net assets.

$6.0B$4.0B$2.0B$0Assets 2010: $2,791,046,695Liabilities 2010: $910,765,749Net Assets 2010: $1,880,280,9462010Assets 2011: $2,980,030,530Liabilities 2011: $915,552,810Net Assets 2011: $2,064,477,7202011Assets 2012: $2,910,477,154Liabilities 2012: $1,013,083,489Net Assets 2012: $1,897,393,6652012Assets 2013: $3,007,659,283Liabilities 2013: $951,103,817Net Assets 2013: $2,056,555,4662013Assets 2014: $3,214,164,130Liabilities 2014: $953,182,278Net Assets 2014: $2,260,981,8522014Assets 2015: $3,614,623,413Liabilities 2015: $1,106,323,102Net Assets 2015: $2,508,300,3112015Assets 2016: $3,535,715,584Liabilities 2016: $1,170,707,421Net Assets 2016: $2,365,008,1632016Assets 2017: $3,672,198,954Liabilities 2017: $1,134,995,474Net Assets 2017: $2,537,203,4802017Assets 2018: $3,908,917,821Liabilities 2018: $1,158,350,452Net Assets 2018: $2,750,567,3692018Assets 2019: $3,904,497,928Liabilities 2019: $1,319,160,976Net Assets 2019: $2,585,336,9522019Assets 2020: $3,879,645,094Liabilities 2020: $1,417,583,538Net Assets 2020: $2,462,061,5562020Assets 2021: $4,529,661,441Liabilities 2021: $1,520,746,998Net Assets 2021: $3,008,914,4432021Assets 2022: $4,263,008,941Liabilities 2022: $1,536,959,646Net Assets 2022: $2,726,049,2952022Assets 2023: $3,956,769,216Liabilities 2023: $1,375,789,375Net Assets 2023: $2,580,979,8412023Assets 2024: $4,025,810,239Liabilities 2024: $1,484,586,983Net Assets 2024: $2,541,223,2562024

Highlighted filing

2014

Assets$3,214,164,130
Liabilities$953,182,278
Net Assets$2,260,981,852
Open 2014 Filing

Operations Trend

Revenue Growth88th percentile

Revenue, expenses, and net income across loaded years, with this filing highlighted.

$1.0B$500M$0-$500MExpenses 2010: $311,754,2572010Expenses 2011: $316,944,0032011Expenses 2012: $321,730,8132012Revenue 2013: $331,881,805Expenses 2013: $345,466,842Net Income 2013: -$13,585,0372013Revenue 2014: $426,890,178Expenses 2014: $350,429,792Net Income 2014: $76,460,3862014Revenue 2015: $694,084,865Expenses 2015: $368,601,760Net Income 2015: $325,483,1052015Revenue 2016: $372,788,161Expenses 2016: $374,872,056Net Income 2016: -$2,083,8952016Revenue 2017: $344,163,555Expenses 2017: $402,753,451Net Income 2017: -$58,589,8962017Revenue 2018: $496,427,301Expenses 2018: $405,749,283Net Income 2018: $90,678,0182018Revenue 2019: $460,221,715Expenses 2019: $582,124,924Net Income 2019: -$121,903,2092019Revenue 2020: $455,447,251Expenses 2020: $549,309,305Net Income 2020: -$93,862,0542020Revenue 2021: $530,345,700Expenses 2021: $585,011,703Net Income 2021: -$54,666,0032021Revenue 2022: $535,346,959Expenses 2022: $596,078,177Net Income 2022: -$60,731,2182022Revenue 2023: $514,627,473Expenses 2023: $521,221,549Net Income 2023: -$6,594,0762023Revenue 2024: $501,030,765Expenses 2024: $571,330,484Net Income 2024: -$70,299,7192024

Highlighted filing

2014

Revenue$426,890,178
Expenses$350,429,792
Net Income$76,460,386
Open 2014 Filing
Jump To
Filing Snapshot
Filing Period
Jul 1, 2013 to Jun 30, 2014
Signed
Feb 14, 2015
Return Version
2013v4.0
Gross Receipts
$701,040,445
Mission and Program Overview

Mission

The rockefeller university (the university) is a world renowned center for research and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The university's 73 laboratories conduct both clinical and basic research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in nine research areas covering a wide spectrum of disciplines in the life sciences, including neuroscience, immunology, genetics, structural biology and bioinformatics. The university does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants.

The Rockefeller University (the University) is a world renowned center for research (see schedule O) and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The Universitys 72 laboratories conduct both basic and clinical research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in six research areas, including biochemistry, structural biology, and chemistry; medical sciences and human genetics; molecular, cell, and developmental biology; immunology, virology, and microbiology; neuroscience; and physics and mathematical biology. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants.

Balance Sheet Detail
LineBeginningEndChange
Assets
Investments in Publicly Traded Securities$1,249,713,545$1,335,962,468▲ $86,248,923
Land, Buildings, and Equipment, Net$758,983,525$751,351,159▼ $7,632,366
Investments Other Securities$595,659,288$701,912,344▲ $106,253,056
Pledges and Grants Receivable$193,952,239$226,590,148▲ $32,637,909
Savings and Temporary Cash Investments$133,884,764$121,634,811▼ $12,249,953
Other Notes and Loans Receivable, Net$20,296,138$20,974,779▲ $678,641
Receivables From Officers Etc$12,262,955$11,080,538▼ $1,182,417
Accounts Receivable$8,365,883$8,534,964▲ $169,081
Investments Program Related$3,826,018$4,388,104▲ $562,086
Prepaid Expenses and Deferred Charges$2,453,112$2,413,188▼ $39,924
Inventories for Sale or Use$730,167$839,897▲ $109,730
Cash and Non-Interest-Bearing Accounts$30,350$43,635▲ $13,285
Total Assets$3,007,659,283$3,214,164,130▲ $206,504,847
Other Assets Total$27,501,299$28,438,095▲ $936,796
Liabilities
Tax Exempt Bond Liabilities$622,841,318$617,249,968▼ $5,591,350
Other Liabilities$273,930,587$287,944,263▲ $14,013,676
Accounts Payable and Accrued Expenses$49,130,485$42,791,230▼ $6,339,255
Deferred Revenue$5,201,427$5,196,817▼ $4,610
Total Liabilities$951,103,817$953,182,278▲ $2,078,461
Net Assets / Fund Balance
Temporarily Rstr Net Assets$1,302,224,416$1,475,719,623▲ $173,495,207
Unrestricted Net Assets$497,904,189$522,210,011▲ $24,305,822
Permanently Rstr Net Assets$256,426,861$263,052,218▲ $6,625,357
Total Net Assets Fund Balance$2,056,555,466$2,260,981,852▲ $204,426,386
Total Liabilities and Net Assets / Fund Balance$3,007,659,283$3,214,164,130▲ $206,504,847

Asset Categories

AssetBook ValueDepreciationBasis
Buildings$705,664,629$399,422,335$1,105,086,964
Equipment$25,722,637$52,138,316$77,860,953
Land$19,124,071-$19,124,071
Other Land Buildings$839,822$723,254$1,563,076
Leasehold Improvements$0$424,726$424,726
Other Securities$78,374,865--

Endowment Activity

PeriodBeginningContrib.Gain/LossOther UsesEnd
2013$1,642,492,685$2,774,814▲ $287,158,774$96,005,032$1,836,421,241
2012$1,539,214,232$5,351,242▲ $194,327,582$96,400,371$1,642,492,685
2011$1,620,400,847$6,402,176▼ $6,743,511$80,845,280$1,539,214,232
2010$1,451,345,077$5,982,193▲ $266,875,779$103,802,202$1,620,400,847
2009$1,428,894,687$7,123,572▲ $127,372,135$112,045,317$1,451,345,077
Compensation and Service Providers
Top Officer Pay49th percentile

Employees

NameTitleFull / Part TimeBaseOtherTotal
Marc Tessier-Lavigne PhDPresidentFT$1,045,450$442,229$1,487,679
Amy FallsVP & CIOFT$472,000$662,688$1,134,688
Thomas LenehanDeputy CIOFT$313,650$501,578$815,228
Barry CollerVP & Physician-in-ChiefFT$507,900$125,097$632,997
Jean-Laurent CasanovaProfessor, Head of LaboratFT$353,500$252,277$605,777
Maren ImhoffVP, DevelopmentFT$472,000$130,570$602,570
Michael YoungVP, Academic AffairsFT$437,900$124,089$561,989
Robert RoederProfessor, Head of LaboratFT$410,000$146,107$556,107
Paul GreengardProfessor, Head of LaboratFT$436,450$104,114$540,564
Harriet RabbVP & General CounselFT$421,250$108,211$529,461
Timothy O'ConnorVP, University Strategy &FT$210,938$285,530$496,468
James LappleVP, Finance & TreasurerFT$380,650$89,459$470,109
Jeffery V RavetchProfessor, Head of LaboratFT$345,100$118,103$463,203
Virginia HuffmanVP, Human ResourcesFT$337,800$121,159$458,959
Sidney StricklandVP, Education AffairsFT$334,950$94,288$429,238
Thomas SakmarProfessor, Head of LaboratFT$316,600$90,542$407,142
John Tooze until 122013VP, Facilities & ScientifiFT$256,667$83,100$339,767
Jane RendallCorporate SecretaryFT$258,150$79,270$337,420
Roberta MaloneyAsst. VP, FinanceFT$232,000$69,077$301,077

Board Members and Trustees

NameTitle
Russell L CarsonTrustee, Chairman
David I Hirsch PhDTrustee, Vice Chair
Henry R KravisTrustee, Vice Chair
Marnie S PillsburyTrustee, Vice Chair
Richard E SalomonTrustee, Vice Chair
Ajit JainTrustee
Allen R AdlerTrustee
Andreas DracopoulosTrustee
Anna M Chapman MDTrustee
Anthony B Evnin PhDTrustee
David Botstein PhDTrustee
David H KochTrustee
David SzeTrustee
Debra BlackTrustee
Dinakar SinghTrustee
Edward J Benz Jr MDTrustee
Elizabeth R CurryTrustee
Evelyn G Lipper MDTrustee
H Rodgin CohenTrustee
Holly AndersenTrustee
James H Simons PhDTrustee
John M ShapiroTrustee
Jonathan NelsonTrustee
Joseph L GoldsteinTrustee
Judith Roth BerkowitzTrustee
Karen M LevyTrustee
Lewis A SandersTrustee
Lulu C WangTrustee
Marlene HessTrustee
Michael B HoffmanTrustee
Michael D FascitelliTrustee
Patricia RosenwaldTrustee
Paul B GuentherTrustee
Peter A FlahertyTrustee
Peter T GrauerTrustee
Robert M BassTrustee
Robin Chemers NeusteinTrustee
Sandra J HorbachTrustee
Surya MohapatraTrustee
Susan LyneTrustee
Sydney R ShumanTrustee
Thomas Maniatis PhDTrustee
Willard J Overlock JrTrustee
William E FordTrustee
William I Huyett JrTrustee

Highest Paid Contractors

ContractorServicesLocationCompensation
Turner Construction CoConstruction Services-$22,066,443
Nicholoson & Galloway INCConstruction Services-$5,141,335
Restaurant Associates CorpFood Services-$2,533,750
Rafael Vinoly Architects PCArchitectural Services-$2,438,085
Oracle USA INCIt Consulting-$1,128,707
Revenue and Support

Revenue Composition

Contributions and Grants
$197,291,706
Program Service Revenue
$32,786,633
Investment Income
$166,505,633
Other Revenue
$30,306,206
All Other Contributions
$111,941,221
Change in Net Assets
$76,460,386

Noncash Contribution Practices

Property subject to holding requirements
No
Reviewed unusual noncash gifts
Yes
Third parties used for noncash contributions
Yes

Noncash Contributions

Contribution TypeContribution CountReported AmountValuation Method
Other Non Cash Contri Table40$55,893,412Net Present Value
Other Non Cash Contri Table95$2,771,030Fair Market Value
Securities Publicly Traded22$828,788Fair Market Value
Total Noncash Contributions157$59,493,230-

Audited Revenue Reconciliation

Revenue per Audited Statements
$412,947,567
Revenue Not Reported on Financial Statements
$13,942,611
Revenue Not Reported on Form 990
$124,058,000
Other Revenue Adjustments
$11,710,201
Total Revenue per Audited Statements
$537,005,567
Total Revenue per Form 990
$426,890,178
Expenses and Functional Allocation

Major Expense Lines

Line ItemAmount
Other Expenses$184,090,244
Salaries, Compensation, and Employee Benefits$157,095,082
Grants and Similar Amounts Paid$9,244,466
Total Fundraising Expense$7,076,837
Professional Fundraising Fees$0

Functional Expense Allocation

Line ItemProgramManagementFundraisingTotal
Other Salaries and Wages$90,796,426$9,647,941$2,832,001$103,276,368
Office Expenses$52,824,300$2,159,166$180,547$55,164,013
Depreciation Depletion$37,146,027$2,437,371$929,511$40,512,909
Other Employee Benefits$26,726,585$3,970,037$942,278$31,638,900
Interest$26,890,237$3,090,207-$29,980,444
Fees for Services Other$11,954,709$1,223,452$245,585$13,423,746
Royalties$12,421,999--$12,421,999
Occupancy$11,500,007$740,369$99,103$12,339,479
Grants to Domestic Individuals$9,244,466--$9,244,466
Pension Plan Contributions$7,114,138$1,441,752$364,353$8,920,243
Other Expenses$8,179,343--$8,179,343
Payroll Taxes$6,369,660$811,229$222,627$7,403,516
Current Officers, Directors, Trustees, and Key Employees$1,297,000$3,997,630$479,000$5,773,630
Insurance$789,213$1,927,581-$2,716,794
Information Technology$1,017,840$1,178,751$385,644$2,582,235
Fees for Service Investment Mgmnt Fees-$2,232,410-$2,232,410
Conferences and Meetings$1,043,165$68,579$222,803$1,334,547
Advertising$889,115$108,510$148,449$1,146,074
Travel$918,984$45,719$24,936$989,639
Fees for Services Legal-$694,372-$694,372
Fees for Services Accounting$60,900$311,340-$372,240
Comp Disqual Persons$82,425--$82,425
Total Functional Expenses$307,266,539$36,086,416$7,076,837$350,429,792

Audited Expense Reconciliation

Line ItemAmount
Total Expenses per Form 990$350,429,792
Expenses per Audited Statements$336,077,750
Total Expenses per Audited Statements$332,697,715
Expenses Not Reported on Financial Statements$14,352,042
Other Expense Adjustments$12,119,632
Expenses Not Reported on Form 990$-3,380,035
International Activity

International Summary

Offices
0
Employees
0
Spending
$585,468,845

International Compliance

Activity in boycott countries
No
Foreign corporation ownership
Yes
Foreign partnership interest
Yes
Interest in foreign trust
No
Passive foreign investment company interest
Yes
Transfers to foreign corporations
Yes

International Activities

RegionActivityServicesOfficesEmployeesSpending
Central America & CaribbeanInvestments---$505,109,837
Europe (Including Iceland & Greenland) -Investments---$73,822,208
North AmericaInvestments---$5,523,784
Europe (Including Iceland & Greenland) -Travel---$911,715
East Asia and the PacificTravel---$101,301
Fundraising, Events, and Gaming
Fundraising activities
Yes
Gaming activities
No
Professional fundraiser used
No

Fundraising and Gaming Totals

Line ItemAmount
Fundraising Direct Expenses$409,431
Fundraising Gross Income$97,025
Professional Fundraising Fees$0

Fundraising Events

EventGross ReceiptsGross RevenueDirect ExpensesNet Income
Event 2$1,158,261$50,400$34,708$15,692
Event 1$1,778,686$31,375$9,350$22,025
Total Events$3,018,247$97,025$409,431$-312,406
Political and Lobbying Activity
Political campaign activity
No
Lobbying activity
No
Subject to proxy tax
No
Insider Transactions and Loans

Interested-Person Transactions

Interested PartyRelationshipDescriptionShared RevenueAmount
Anthony EvninRU TrusteeThe Rockefeller University's endowment is an investor in several partnerships where Anthony Evnin (RU Trustee) is General Partner or Member of the General Partner. Anthony Evnin is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. All transactions are conducted at arms length and at FMV.No$379,308
William J Overlock JrRU TrusteeThe son-in-law of Willard J. Overlock, Jr. (RU Trustee) is employed by The Rockefeller University. The salary paid was $82,425 + fringe benefits at 40% of salary.No$115,395
David SzeRU TrusteeThe Rockefeller University's endowment is an investor in several partnerships where David Sze (RU Trustee) is General Partner or Member of the General Partner. David Sze is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. All transactions are conducted at arms length and at FMV.No$82,346

Loans and Receivables

Line ItemBeginningEndChange
Receivables from Officers, Directors, Trustees, and Key Employees$12,262,955$11,080,538▼ $1,182,417
Debt and Bond Financing

Other Reported Liabilities

LiabilityAmount
Obligation under derivative instruments$122,899,681
Amounts held for others$108,939,004
Postretirement benefit obligation$47,976,000
Conditional asset retirement obligation$8,129,578

Bond Issues

BondIssuerIssuedIssue PricePurpose
B14-60002932008-01-31$103,215,000Const. & renov. of campus
A14-60002932009-08-12$101,554,000Const. & renov. of campus
D14-60002932009-04-08$100,000,000Const. & renov. of campus
A14-60002932005-06-02$65,000,000Const. & renov. of campus
C14-60002932009-04-08$62,119,152Current Refunding
D14-60002932012-04-04$56,441,595Current Refunding
B14-60002932010-09-01$53,818,500Const. & renov. of campus
C14-60002932012-03-08$30,018,979Current Refunding

Bond Proceeds

BondTotal ProceedsSpentRetiredIssuance Costs
B$104,734,474$29,370,179-$641,319
A$101,954,676--$836,150
D$100,578,341--$527,175
A$68,164,712$61,150,200-$494,117
C$62,119,152$55,654,504-$528,854
D$56,441,595--$321,511
B$54,003,548--$553,621
C$30,018,979--$390,846

Bond Financing Compliance

No rebate due
Yes
Rebate not yet due
No
Form 8038-T filed
Yes
Gross proceeds invested
Yes
Gross proceeds invested in GIC
No
Exception to rebate
Yes
Corrective action procedures
Yes
Governance and Compliance

Governance Checklist

Compiled or reviewed by an accountant
No
Annual disclosure for covered persons
Yes
Audit committee
Yes
Backup withholding compliance
Yes
Business relationship with family members
Yes
Business relationship with organization members
Yes
Material changes to governing documents
No
Compensation from other sources disclosed
No
CEO compensation reviewed
Yes
Other officer compensation reviewed
Yes
Conflict-of-interest policy
Yes
Audited financial statements prepared
Yes
Key decisions subject to board approval
No
Management duties delegated
No

Governance Explanations

Form 990, Part VI, Section A, line 2

“Michael Fascitelli (RU Trustee) has a business relationship in the ordinary course of business with another Rockefeller Trustee (Henry Kravis). William E. Ford (RU Trustee)has a business relationship in the ordinary course of business with Henry Kravis (RU Trustee). William E. Ford (RU Trustee)has a business relationship with Andreas C. Dracopoulos (RU Trustee). Andreas C. Dracopoulos (RU Trustee)has a business relationship with William E. Ford(RU Trusee). Henry Kravis (RU Trustee) has a business relationship in the ordinary course of business with other RU Trustees (Michael D. Fascitelli and William E. Ford). Thomas Maniatis (RU Trustee) has a business relationship in the ordinary course of business with another Rockefeller Trustee (Anthony Evnin). Anthony Evnin(RU Trustee) has a business relationship in the ordinary course of business with another Rockefeller Trustee (Thomas Maniatis).”

Form 990, Part VI, Section B, line 11

“The Organization made available to the governing Board of Trustees the completed form 990 on a restricted website prior to submission. Any comments or questions pertaining to the form 990 were sent to the Vice President, Finance or a member of the Audit Committee of the Board of Trustees. The Audit Committee of the Board of Trustee reviewed and approved the form 990 prior to its submission.”

Form 990, Part VI, Section B, line 12C

“All members of the University community are covered by the applicable University conflict of interest policies. Trustees, Officers, and Key Employees are covered by the Policy on Business Conflict of Interest and Family/Business Relationships. All other members of the University community are covered by the Conflict of Interest Policy Governing Business Practices. (a) For trustees (including the President), the conflict of interest disclosure form is submitted to the Executive Committee of the Board of Trustees. The Executive Committee, with help from others it may designate, investigates any conflicts or potential conflicts of interest and implements management plans where conflicts or potential conflicts are found to exist. Trustees having made disclosures of current or potential conflict of interest situations may participate in the information-gathering stage of the Executive Committee's review of the disclosures, but will be asked to excuse themselves during the Executive Committee discussion, consideration and vote on the matters in question. (b) For officers and key employees, the conflict of interest disclosure form is submitted to the President. The President, with the help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (c) For heads of laboratory, the conflict of interest disclosure form is submitted to the Vice President for Academic Affairs. The Vice President for Academic Affairs, with help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (d) For all other members of the University community, the conflict of interest disclosure form is submitted to the Vice President for Human Resources. The Vice President for Human Resources, with help from others she may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist.”

Form 990, Part VI, Section B, line 15

“Compensation for the President and Officers is established and approved by the Compensation Committee of the Board of Trustees. Such compensation is established through review of comparability data and contemporaneous substantiation of the deliberation and decision. The process includes use of an independent compensation consultant, compensation survey of peer institutions and review of other Form 990s. Specific reviews occur on an annual basis.”

Form 990, Part VI, Section C, line 19

“Conflict of interest policy and financial statements are available to the public through the University's website.”

Filing and Contact Details

Filer

EIN
13-1624158
Phone
2123278000

Signing Officer

Name
James H Lapple
Title
VP, Finance & Treasurer
Phone
2123278371
Signed
2015-02-14
Discuss with paid preparer
Yes

Organization Details

Principal Officer
James H Lapple
Formed
1901
Legal Domicile
Ny
Voting Board Members
46
Independent Board Members
43
Employees
1,737
Volunteers
0

Preparer

Phone
2123278704
Supplemental Narrative

Additional Explanations

Form 990, Part XI, line 9:

“Unrealized Loss on Derivatives - $(1,628,121) -1,628,121. Postretirement related changes - $ 3,908,000 3,908,000.”

Financial Statement Notes

Part III, Line 4:

“Works of art are displayed in various locations throughout the campus.”

Part V, Line 4:

“The primary role of the endowment is to advance the research mission of the University through support of the annual operating budget. The Investment Committee of the Board of Trustees is responsible for overseeing the endowment. With the support of the Office of Investments, the Committee is responsible for establishing the endowments investment policy and asset allocation; retaining and overseeing external investment managers; and monitoring the implementation and performance of the investment program. The endowments assets are invested in marketable securities, including U.S. and non-U.S. equity and fixed income securities, and private investments, including venture capital, private equity and real assets. The assets are invested by external investment managers through separate accounts or through commingled vehicles, including funds, trusts and limited partnerships.”

Part X, Line 2:

“The University is exempt from federal income taxes under the provisions of Section 501(c)(3) of the Internal Revenue Code. The University follows the guidance of ASC 740 10, Accounting for Income Taxes Overall, which addresses accounting for uncertainties in income taxes recognized in an enterprises financial statements. The University utilizes a threshold of more likely-than not for recognition and derecognition of tax positions taken or expected to be taken in a tax return.”

Part XI, Line 2D - Other Adjustments:

“Unrealized Net (loss) on Derivative Instruments - (1,628,121)”

Part XI, Line 4B - Other Adjustments:

“Fundraising expenses - 409,431 Royalty payments (net in Financials) - 12,119,632”

Part XII, Line 2D - Other Adjustments:

“RU Faculty & Students Club, Inc. - NET LOSS - 118,534 Postretirement related changes - (3,908,000) Fundraising expenses - 409,431”

Part XII, Line 4B - Other Adjustments:

“Royalty payments (net in Financials) - 12,119,632”

Raw XML AppendixShowing 400 of 2,072 raw XML fields

This appendix keeps the raw XML leaves available for debugging and edge-case review. The human report above is the primary experience.

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IRS990/Form990PartVIISectionAGrp/PersonNm28Evelyn G Lipper MD
IRS990/Form990PartVIISectionAGrp/PersonNm29Susan Lyne
IRS990/Form990PartVIISectionAGrp/PersonNm30Thomas Maniatis PhD
IRS990/Form990PartVIISectionAGrp/PersonNm31Surya Mohapatra
IRS990/Form990PartVIISectionAGrp/PersonNm32Jonathan Nelson
IRS990/Form990PartVIISectionAGrp/PersonNm33Robin Chemers Neustein
IRS990/Form990PartVIISectionAGrp/PersonNm34Willard J Overlock Jr
IRS990/Form990PartVIISectionAGrp/PersonNm35Marnie S Pillsbury
IRS990/Form990PartVIISectionAGrp/PersonNm36Patricia Rosenwald
IRS990/Form990PartVIISectionAGrp/PersonNm37Richard E Salomon
IRS990/Form990PartVIISectionAGrp/PersonNm38Lewis A Sanders
IRS990/Form990PartVIISectionAGrp/PersonNm39John M Shapiro
IRS990/Form990PartVIISectionAGrp/PersonNm40Sydney R Shuman
IRS990/Form990PartVIISectionAGrp/PersonNm41James H Simons PhD
IRS990/Form990PartVIISectionAGrp/PersonNm42Dinakar Singh
IRS990/Form990PartVIISectionAGrp/PersonNm43David Sze
IRS990/Form990PartVIISectionAGrp/PersonNm44Lulu C Wang
IRS990/Form990PartVIISectionAGrp/PersonNm45Marc Tessier-Lavigne PhD
IRS990/Form990PartVIISectionAGrp/PersonNm46Amy Falls
IRS990/Form990PartVIISectionAGrp/PersonNm47Barry Coller
IRS990/Form990PartVIISectionAGrp/PersonNm48Harriet Rabb
IRS990/Form990PartVIISectionAGrp/PersonNm49Maren Imhoff
IRS990/Form990PartVIISectionAGrp/PersonNm50John Tooze until 122013
IRS990/Form990PartVIISectionAGrp/PersonNm51Michael Young
IRS990/Form990PartVIISectionAGrp/PersonNm52James Lapple
IRS990/Form990PartVIISectionAGrp/PersonNm53Sidney Strickland
IRS990/Form990PartVIISectionAGrp/PersonNm54Virginia Huffman
IRS990/Form990PartVIISectionAGrp/PersonNm55Jane Rendall
IRS990/Form990PartVIISectionAGrp/PersonNm56Roberta Maloney
IRS990/Form990PartVIISectionAGrp/PersonNm57Timothy O'Connor
IRS990/Form990PartVIISectionAGrp/PersonNm58Jean-Laurent Casanova
IRS990/Form990PartVIISectionAGrp/PersonNm59Jeffery V Ravetch
IRS990/Form990PartVIISectionAGrp/PersonNm60Robert Roeder
IRS990/Form990PartVIISectionAGrp/PersonNm61Thomas Lenehan
IRS990/Form990PartVIISectionAGrp/PersonNm62Paul Greengard
IRS990/Form990PartVIISectionAGrp/PersonNm63Thomas Sakmar
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt00
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt10
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt20
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt30
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt40

Document Assets

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Filings

Displayed year

2014 • Form 990Detailed filing. Detailed filing data is available for this year.

Open filing
Assets
$3,214,164,130
Liabilities
$953,182,278
Net assets
$2,260,981,852
Revenue
$426,890,178
Expenses
$350,429,792
Net income
$76,460,386
Balance SheetOperations
YearAssetsLiabilitiesNet AssetsRevenueExpensesNet Income
2024Detailed filing. Detailed filing data is available for this year.$4,026$1,485$2,541$501$571$70.3
2023Detailed filing. Detailed filing data is available for this year.$3,957$1,376$2,581$515$521$6.59
2022XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$4,263$1,537$2,726$535$596$60.7
2021Facts available. Structured filing facts are available, but richer extracted sections are limited.$4,530$1,521$3,009$530$585$54.7
2020Facts available. Structured filing facts are available, but richer extracted sections are limited.$3,880$1,418$2,462$455$549$93.9
2019Facts available. Structured filing facts are available, but richer extracted sections are limited.$3,904$1,319$2,585$460$582$122
2018XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$3,909$1,158$2,751$496$406$90.7
2017XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$3,672$1,135$2,537$344$403$58.6
2016Detailed filing. Detailed filing data is available for this year.$3,536$1,171$2,365$373$375$2.08
2015Detailed filing. Detailed filing data is available for this year.$3,615$1,106$2,508$694$369$325
2014Detailed filing. Detailed filing data is available for this year.$3,214$953$2,261$427$350$76.5
2013Import issue. A filing source exists for this year, but detailed import did not complete cleanly.$3,008$951$2,057$332$345$13.6
2012Facts available. Structured filing facts are available, but richer extracted sections are limited.$2,910$1,013$1,897$322
2011Facts available. Structured filing facts are available, but richer extracted sections are limited.$2,980$916$2,064$317
2010Facts available. Structured filing facts are available, but richer extracted sections are limited.$2,791$911$1,880$312
Peer Organizations

Similar nonprofits based on the same Siviq industry and scale cohort. 2014 filings • 501(c)3 • $1B+ nonprofits