Civic Intelligence

The Rockefeller University

990 • Fiscal year 2020 • EIN 13-1624158

Jul 01, 2019 to Jun 30, 2020 • Filed on Feb 25, 2021

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

49th percentile

0.37x

Higher debt load relative to assets than 49% of similar nonprofits.

2020 filings • 501(c)3 • $1B+ nonprofits • Source year 2020

Liabilities / Revenue

88th percentile

3.11x

Higher debt load relative to revenue than 88% of similar nonprofits.

2020 filings • 501(c)3 • $1B+ nonprofits • Source year 2020

Net Margin

5th percentile

-21%

Higher net margin than 5% of similar nonprofits.

2020 filings • 501(c)3 • $1B+ nonprofits • Source year 2020

Top Officer Pay

52nd percentile

$1,828,843

Higher top officer pay than 52% of similar nonprofits.

Top officer pay equals 0.4% of source-year revenue.

2020 filings • 501(c)3 • $1B+ nonprofits • Source year 2020

Asset Growth

12th percentile

-0.6%

Faster asset growth than 12% of similar nonprofits.

2020 filings • 501(c)3 • $1B+ nonprofits • Annualized from 2019 to 2020

Revenue Growth

33rd percentile

-1.0%

Faster revenue growth than 33% of similar nonprofits.

2020 filings • 501(c)3 • $1B+ nonprofits • Annualized from 2019 to 2020

Balance Sheet
Liabilities / Assets49th percentile

Assets

Down

$3,879,645,094

Down $24,852,834 (-0.6%) from 2019

Net Assets

Down

$2,462,061,556

Down $123,275,396 (-4.8%) from 2019

Liabilities

Up

$1,417,583,538

Up $98,422,562 (+7.5%) from 2019

Revenue And Expenses
Liabilities / Revenue88th percentileNet Margin5th percentile

Revenue

Down

$455,447,251

Down $4,774,464 (-1.0%) from 2019

Expenses

Down

$549,309,305

Down $32,815,619 (-5.6%) from 2019

Net Income

Up

-$93,862,054

Up $28,041,155 (+23%) from 2019

Historical Trend

Balance Sheet Trend

Asset Growth12th 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

2020

Assets$3,879,645,094
Liabilities$1,417,583,538
Net Assets$2,462,061,556
Open 2020 Filing

Operations Trend

Revenue Growth33rd 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

2020

Revenue$455,447,251
Expenses$549,309,305
Net Income-$93,862,054
Open 2020 Filing
Jump To
Filing Snapshot
Filing Period
Jul 1, 2019 to Jun 30, 2020
Signed
Feb 25, 2021
Return Version
2019v5.1
Gross Receipts
$906,677,792
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 University's 82 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.

Balance Sheet Detail
LineBeginningEndChange
Assets
Investments Other Securities$1,026,023,689$1,195,688,985▲ $169,665,296
Land, Buildings, and Equipment, Net$1,205,856,387$1,171,360,181▼ $34,496,206
Investments in Publicly Traded Securities$1,279,900,855$1,142,058,651▼ $137,842,204
Pledges and Grants Receivable$243,701,417$213,249,491▼ $30,451,926
Savings and Temporary Cash Investments$72,839,187$82,573,981▲ $9,734,794
Other Notes and Loans Receivable, Net$33,833,780$33,933,257▲ $99,477
Accounts Receivable$6,802,748$8,789,670▲ $1,986,922
Investments Program Related$3,985,948$3,979,320▼ $6,628
Prepaid Expenses and Deferred Charges$3,254,069$3,515,408▲ $261,339
Receivables From Officers Etc$3,605,887$3,222,632▼ $383,255
Inventories for Sale or Use$756,195$1,023,791▲ $267,596
Cash and Non-Interest-Bearing Accounts$33,230$38,433▲ $5,203
Total Assets$3,904,497,928$3,879,645,094▼ $24,852,834
Other Assets Total$23,904,536$20,211,294▼ $3,693,242
Liabilities
Tax Exempt Bond Liabilities$704,232,262$795,709,598▲ $91,477,336
Other Liabilities$522,992,531$464,419,781▼ $58,572,750
Mortgage Notes Payable Secured by Investment Property$25,000,000$100,345,000▲ $75,345,000
Accounts Payable and Accrued Expenses$55,110,334$42,196,323▼ $12,914,011
Deferred Revenue$6,710,849$14,912,836▲ $8,201,987
Unsecured Notes Loans Payable$5,115,000$0▼ $5,115,000
Total Liabilities$1,319,160,976$1,417,583,538▲ $98,422,562
Net Assets / Fund Balance
Net Assets With Donor Restrictions$1,949,469,308$2,099,143,068▲ $149,673,760
Net Assets Without Donor Restrictions$635,867,644$362,918,488▼ $272,949,156
Total Net Assets Fund Balance$2,585,336,952$2,462,061,556▼ $123,275,396
Total Liabilities and Net Assets / Fund Balance$3,904,497,928$3,879,645,094▼ $24,852,834

Asset Categories

AssetBook ValueDepreciationBasis
Buildings$1,096,705,864$596,958,918$1,693,664,782
Equipment$41,202,209$70,917,282$112,119,491
Land$32,553,820-$32,553,820
Other Land Buildings$888,464$755,237$1,643,701
Leasehold Improvements$9,824$425,288$435,112
Other Securities$197,618,993--

Endowment Activity

PeriodBeginningContrib.Gain/LossOther UsesEnd
2019$2,112,311,806$9,513,481▲ $207,297,121$144,431,882$2,184,690,526
2018$2,045,998,544$14,302,877▲ $164,735,013$112,724,628$2,112,311,806
2017$1,913,005,463$24,492,167▲ $208,529,824$100,028,910$2,045,998,544
2016$1,766,474,995$6,779,012▲ $225,832,477$86,081,021$1,913,005,463
2015$1,801,930,543$12,189,791▼ $13,109,097$34,536,242$1,766,474,995
Compensation and Service Providers
Top Officer Pay52nd percentile

Employees

NameTitleFull / Part TimeBaseOtherTotal
Amy FallsVP & CIOFT$598,050$1,230,793$1,828,843
Richard P Lifton MD PhDPresidentFT$1,007,200$392,208$1,399,408
Thomas LenehanDeputy CIOFT$378,500$841,259$1,219,759
Maren ImhoffSVP, DevelopmentFT$615,500$199,263$814,763
Michael YoungVP, Academic AffairsFT$602,500$176,369$778,869
Barry CollerVP & Physician-in-ChiefFT$594,130$154,184$748,314
Timothy O'ConnorExecutive Vice PresidentFT$565,300$165,953$731,253
Robert RoederProfessor, Head of LaboratFT$489,650$188,519$678,169
Deborah YeohVP & General CounselFT$460,000$192,498$652,498
Thomas SakmarProfessor, Head of LaboratFT$406,260$241,719$647,979
James LappleVP, Finance & TreasurerFT$492,300$115,097$607,397
Virginia HuffmanVP, Human ResourcesFT$432,700$162,429$595,129
Charles M RiceProfessor, Head of LaboratFT$453,800$108,538$562,338
Sean BradyProfessor, Head of LaboratFT$251,700$290,569$542,269
Sidney StricklandVP, Education AffairsFT$415,350$122,229$537,579
Roberta MaloneyAsst. VP, FinanceFT$287,950$94,745$382,695
Theresa DesmondSpec. Asst/Corp SecretaryFT$194,700$48,641$243,341

Board Members and Trustees

NameTitle
William E FordTrustee, Chair
Andreas C DracopoulosTrustee, Vice Chair
Marlene HessTrustee, Vice Chair
Robert K SteelTrustee, Vice Chair
Robin Chemers NeusteinTrustee, Vice Chair
Allen R AdlerTrustee
Anna M Chapman MDTrustee
Caroline Rivers CurryTrustee
D Scott MackesyTrustee
Daniel PacthodTrustee
David SzeTrustee
Debra BlackTrustee
Diane MathisTrustee
Edward J Benz Jr MDTrustee
Evelyn G Lipper MDTrustee
Holly S Andersen MDTrustee
Huda Y Zoghbi MDTrustee
Jeremy Nathans MD PhDTrustee
Joan A Steitz PhDTrustee
Joelle KaydenTrustee
John M ShapiroTrustee
Jonathan M NelsonTrustee
Karen M LevyTrustee
Katherine FarleyTrustee
Lewis A SandersTrustee
Lulu C WangTrustee
Michael B HoffmanTrustee
Michael D FascitelliTrustee
Michael J PriceTrustee
Michael LyntonTrustee
Michael M KellenTrustee
Miriam O Adelson MDTrustee
Pablo G LegorretaTrustee
Peter T GrauerTrustee
Robert M BassTrustee
Sandra J HorbachTrustee
Sandra TamerTrustee
Scott KH BessentTrustee
Surya N Mohapatra PhDTrustee
Weslie R JanewayTrustee
Willard J Overlock JrTrustee
William A AckmanTrustee
William I Huyett JrTrustee
Peter AFlahertyTrustee (Emeritus 11/11/20
Evan G GreenbergTrustee (resigned 7/14/20)

Highest Paid Contractors

ContractorServicesLocationCompensation
Turner Construction CoConstruction Services375 HUDSON STREET, New York, NY 10014$40,951,080
M&j Mecanical CorpConstruction Services1123 bROADWAY SUITE 416, New York, NY 10010$2,908,125
Mgs Cleaning ServicesCleaning Services133 WEST 25TH STREET FL 8W, New York, NY 10001$1,412,702
Sunshine Building Services INCPorter Services64-36 84TH STREET, Middle Village, NY 11379$1,305,201
Metropolitan Construction & MaintenanceConstruction Services45-48 51ST STREET, Woodside, NY 11377$1,012,759
Revenue and Support

Revenue Composition

Contributions and Grants
$176,863,709
Program Service Revenue
$32,531,806
Investment Income
$180,279,702
Other Revenue
$65,772,034
All Other Contributions
$87,827,895
Change in Net Assets
$-93,862,054

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 Table33$20,968,810Net Present Value
Securities Publicly Traded33$4,666,841Fair Market Value
Total Noncash Contributions66$25,635,651-

Audited Revenue Reconciliation

Revenue per Audited Statements
$422,403,082
Revenue Not Reported on Financial Statements
$33,044,169
Revenue Not Reported on Form 990
$-27,203,342
Other Revenue Adjustments
$31,604,931
Total Revenue per Audited Statements
$395,199,740
Total Revenue per Form 990
$455,447,251
Expenses and Functional Allocation

Major Expense Lines

Line ItemAmount
Other Expenses$337,902,695
Salaries, Compensation, and Employee Benefits$199,725,366
Grants and Similar Amounts Paid$11,681,244
Total Fundraising Expense$9,186,192
Professional Fundraising Fees$0

Functional Expense Allocation

Line ItemProgramManagementFundraisingTotal
Other Salaries and Wages$111,669,870$14,702,305$4,121,210$130,493,385
Depreciation Depletion$50,295,254$3,838,831$1,204,247$55,338,332
Office Expenses$45,992,853$993,126$96,394$47,082,373
Other Employee Benefits$33,974,689$6,196,751$1,400,375$41,571,815
Interest$35,396,307$1,283,640-$36,679,947
Royalties$31,922,373--$31,922,373
Fees for Services Other$21,341,555$623,205$127,678$22,092,438
Pension Plan Contributions$9,856,435$1,415,895$530,675$11,803,005
Grants to Domestic Individuals$11,681,244--$11,681,244
Other Expenses$10,613,311$110,340,319-$10,613,311
Occupancy$9,919,152$481,692$115,184$10,516,028
Payroll Taxes$7,333,649$1,025,487$304,234$8,663,370
Current Officers, Directors, Trustees, and Key Employees$1,538,034$4,981,157$674,600$7,193,791
Insurance$904,946$2,658,896-$3,563,842
Information Technology$2,866,560$2,147$439,536$3,308,243
Fees for Service Investment Mgmnt Fees-$1,439,238-$1,439,238
Conferences and Meetings$1,203,097$116,831$6,187$1,326,115
Fees for Services Legal-$1,209,217-$1,209,217
Advertising$441,997$540,078$161,747$1,143,822
Travel$802,065$77,887$4,125$884,077
Fees for Services Accounting$68,533$374,487-$443,020
Total Functional Expenses$387,821,924$152,301,189$9,186,192$549,309,305

Audited Expense Reconciliation

Line ItemAmount
Total Expenses per Form 990$549,309,305
Total Expenses per Audited Statements$518,620,081
Expenses per Audited Statements$515,947,694
Expenses Not Reported on Financial Statements$33,361,611
Other Expense Adjustments$31,922,373
Expenses Not Reported on Form 990$2,672,387
International Activity

International Summary

Offices
0
Employees
0
Spending
$944,598,413

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---$869,989,040
Europe (Including Iceland & Greenland) -Investments---$30,066,684
East Asia and the Pacific - Australia, Brunei, Burma, Cambodia,Investments---$28,453,302
North AmericaInvestments---$15,418,638
Europe (Including Iceland & Greenland) - Albania, Andorra, Austria, BelgiumTravel---$436,278
East Asia and the Pacific - Australia, Brunei, Burma, Cambodia,Travel---$128,033
Middle East and North Africa - Algeria, Bahrain, Djibouti, Egypt,Travel---$43,115
North America - Canada and Mexico, but not the United StatesTravel---$31,946
South America - Argentina, Bolivia, Brazil, Chile, Columbia, Ecuador,Travel---$16,943
Central America & CaribbeanTravel---$10,027
South Asia - Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal,Travel---$2,497
Sub-Saharan Africa - Angola, Benin, Botswana, Burkina Faso,Travel---$1,523
Russia and Neighboring StatesTravel---$387
Fundraising, Events, and Gaming
Fundraising activities
Yes
Gaming activities
No
Professional fundraiser used
No

Fundraising and Gaming Totals

Line ItemAmount
Fundraising Direct Expenses$317,442
Fundraising Gross Income$118,800
Professional Fundraising Fees$0

Fundraising Events

EventGross ReceiptsGross RevenueDirect ExpensesNet Income
Parents & Science Benefit$2,341,693$118,800$86,393$32,407
Total Events$2,341,693$118,800$317,439$-198,639
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
William AckmanRU TrusteeWilliam Ackman (RU Trustee) is the Portfolio Manager for Pershing Square Capital Management which owns a postiton in Agilent Technologies which is an equipment supplier to the Rockefeller University. Mr. Ackman did not participate in any Agilent procurement decisions at the University.No$292,792
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$197,719
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$80,244

Loans and Receivables

Line ItemBeginningEndChange
Receivables from Officers, Directors, Trustees, and Key Employees$3,605,887$3,222,632▼ $383,255
Debt and Bond Financing

Other Reported Liabilities

LiabilityAmount
Obligation under derivative instruments$217,049,168
Amounts held for others$132,277,506
Postretirement benefit obligation$84,945,000
Contingent Liabilities$20,996,002
Conditional asset retirement obligation$9,152,105

Bond Issues

BondIssuerIssuedIssue PricePurpose
CDormitory Authority of the State of New York (issue date 112619)2019-11-26$190,862,275Current Refunding & const & renov of campus
DDormitory Authority of the State of New York (issue date 052015)2015-05-20$163,190,000Current Refunding & const & renov of campus
ADormitory Authority of the State of New York (issue date 013108)2008-01-31$103,215,000Const. & renov. of campus
Adormitory Authority of the State of New York (issue date 08317)2017-08-03$100,445,000Current Refunding
BDormitory Authority of the State of New York (issue date 121119)2019-12-11$59,618,654Current Refunding
CDormitory Authority of the State of New York (issue date 040412)2012-04-04$56,441,595Current Refunding
DDormitory Authority of the State of New York (issue date 043020)2020-04-30$50,966,897Current Refunding
BDormitory Authority of the State of New York (issue date 030812)2012-03-08$30,018,979Current Refunding

Bond Proceeds

BondTotal ProceedsSpentRetiredIssuance Costs
C$190,990,794$50,422,102-$897,959
D$163,373,239$100,000,000-$445,000
A$104,734,474$29,370,179-$641,319
A$100,445,000$59,292,301-$320,000
B$59,618,654$99,996,882-$297,306
C$56,441,595$62,650,000-$321,511
D$50,972,891--$425,789
B$30,018,979$55,654,504-$390,846

Bond Financing Compliance

No rebate due
Yes
Rebate not yet due
No
Form 8038-T filed
No
Gross proceeds invested
No
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 35% controlled entity
Yes
Business relationship with family members
No
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

“William E Ford (RU Trustee) has a business relationship with Pablo Legoretta (RU Trustee), Andreas Dracopoulos (RU Trustee) and Evan Greenberg (RU Trustee).”

Form 990, Part VI, Section A, line 2

“Michael J Price (RU Trustee) has a business relationship with Pablo Legoretta (RU Trustee)”

Form 990, Part VI, Section A, line 2

“Evan Greenberg (RU Trustee) resigned from the Board in light of his position with Chubb Limited/Chubb Group, an entity with which the University has a dispute.”

Form 990, Part VI, Section B, line 11B

“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 Audit Committee of the Board of Trustees. The Audit 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 Audit Committee's review of the disclosures, but will be asked to excuse themselves during the Audit 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 documentation 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.”

Form 990, Part VII, section A (Directors):

“* Evan Greenberg resigned from the board over a business conflict with Rockefeller University.”

Filing and Contact Details

Filer

Filer Name
The Rockefeller University
EIN
13-1624158
Phone
2123278000
Address
1230 YORK AVENUE, NEW YORK, NY 10065-6307

Signing Officer

Name
James H Lapple
Title
VP for Finance, Treasurer
Phone
2123278301
Signed
2021-02-25
Discuss with paid preparer
Yes

Organization Details

Principal Officer
Richard P Lifton
Formed
1901
Legal Domicile
Ny
Voting Board Members
43
Independent Board Members
40
Employees
1,813
Volunteers
0

Preparer

Firm
Grant Thornton LLP
Address
757 Third Avenue, New York, NY 10017-2013
Phone
2125429609
Supplemental Narrative

Additional Explanations

Form 990, Part XI, line 9:

“Unrealized Loss on Derivatives - $(63,938,640) -63,938,640. Postretirement related changes - $ (2,210,000) -2,210,000.”

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 - $(63,938,640)”

Part XI, Line 4B - Other Adjustments:

“Fundraising expenses - $(317,442) Royalty payments (netted in Financials) - $31,922,373”

Part XII, Line 2D - Other Adjustments:

“RU Faculty & Students Club, Inc. - NET LOSS - $144,945 Postretirement related changes - $2,210,000 Fundraising expenses - $317,442”

Part XII, Line 4B - Other Adjustments:

“Royalty payments (netted in Financials) - $31,922,373”

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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/PersonNm18Michael B Hoffman
IRS990/Form990PartVIISectionAGrp/PersonNm19Sandra J Horbach
IRS990/Form990PartVIISectionAGrp/PersonNm20William I Huyett Jr
IRS990/Form990PartVIISectionAGrp/PersonNm21Weslie R Janeway
IRS990/Form990PartVIISectionAGrp/PersonNm22Joelle Kayden
IRS990/Form990PartVIISectionAGrp/PersonNm23Michael M Kellen
IRS990/Form990PartVIISectionAGrp/PersonNm24Pablo G Legorreta
IRS990/Form990PartVIISectionAGrp/PersonNm25Karen M Levy
IRS990/Form990PartVIISectionAGrp/PersonNm26Evelyn G Lipper MD
IRS990/Form990PartVIISectionAGrp/PersonNm27Michael Lynton
IRS990/Form990PartVIISectionAGrp/PersonNm28D Scott Mackesy
IRS990/Form990PartVIISectionAGrp/PersonNm29Diane Mathis
IRS990/Form990PartVIISectionAGrp/PersonNm30Surya N Mohapatra PhD
IRS990/Form990PartVIISectionAGrp/PersonNm31Jeremy Nathans MD PhD
IRS990/Form990PartVIISectionAGrp/PersonNm32Jonathan M Nelson
IRS990/Form990PartVIISectionAGrp/PersonNm33Robin Chemers Neustein
IRS990/Form990PartVIISectionAGrp/PersonNm34Willard J Overlock Jr
IRS990/Form990PartVIISectionAGrp/PersonNm35Daniel Pacthod
IRS990/Form990PartVIISectionAGrp/PersonNm36Michael J Price
IRS990/Form990PartVIISectionAGrp/PersonNm37Lewis A Sanders
IRS990/Form990PartVIISectionAGrp/PersonNm38John M Shapiro
IRS990/Form990PartVIISectionAGrp/PersonNm39Robert K Steel
IRS990/Form990PartVIISectionAGrp/PersonNm40Joan A Steitz PhD
IRS990/Form990PartVIISectionAGrp/PersonNm41David Sze
IRS990/Form990PartVIISectionAGrp/PersonNm42Sandra Tamer
IRS990/Form990PartVIISectionAGrp/PersonNm43Lulu C Wang
IRS990/Form990PartVIISectionAGrp/PersonNm44Huda Y Zoghbi MD
IRS990/Form990PartVIISectionAGrp/PersonNm45Richard P Lifton MD PhD
IRS990/Form990PartVIISectionAGrp/PersonNm46Amy Falls
IRS990/Form990PartVIISectionAGrp/PersonNm47Barry Coller
IRS990/Form990PartVIISectionAGrp/PersonNm48Maren Imhoff
IRS990/Form990PartVIISectionAGrp/PersonNm49Michael Young
IRS990/Form990PartVIISectionAGrp/PersonNm50James Lapple
IRS990/Form990PartVIISectionAGrp/PersonNm51Sidney Strickland
IRS990/Form990PartVIISectionAGrp/PersonNm52Virginia Huffman
IRS990/Form990PartVIISectionAGrp/PersonNm53Roberta Maloney
IRS990/Form990PartVIISectionAGrp/PersonNm54Theresa Desmond
IRS990/Form990PartVIISectionAGrp/PersonNm55Timothy O'Connor
IRS990/Form990PartVIISectionAGrp/PersonNm56Deborah Yeoh
IRS990/Form990PartVIISectionAGrp/PersonNm57Robert Roeder
IRS990/Form990PartVIISectionAGrp/PersonNm58Thomas Lenehan
IRS990/Form990PartVIISectionAGrp/PersonNm59Charles M Rice
IRS990/Form990PartVIISectionAGrp/PersonNm60Thomas Sakmar
IRS990/Form990PartVIISectionAGrp/PersonNm61Sean Brady
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt00
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt10
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt20
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt30
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt40
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt50
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt60
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt70
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt80
IRS990/Form990PartVIISectionAGrp/ReportableCompFromOrgAmt90

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Filings

Displayed year

2020 • Form 990Detailed filing. Detailed filing data is available for this year.

Open filing
Assets
$3,879,645,094
Liabilities
$1,417,583,538
Net assets
$2,462,061,556
Revenue
$455,447,251
Expenses
$549,309,305
Net income
-$93,862,054
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
2020Detailed filing. Detailed filing data is available for this year.$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. 2020 filings • 501(c)3 • $1B+ nonprofits