2014-05-15T09:03:20-05:00 2013-06-30 990 2012-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL ST WASHINGTON BLDG NO 850 DURHAM NC 27701 TALLMAN TRASK III 9196842006 2014-05-09 0 2012 2015-11-30 17:44:51Z RICHARD H BRODHEAD 324 BLACKWELL STREET DURHAM NC 27701 12969895292 0 X WWW.DUKE.EDU X 1841 NC TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH 37 32 28765 0 0 0 1266450295 1433799156 845395298 879812019 239252699 605183768 47103614 51133480 2398201906 2969928423 265321386 289825385 0 0 1295102905 1360254256 544429 3028336 44261715 936855248 914197830 2497823968 2567305807 -99622062 402622616 10201759923 11376610214 2276463364 2214639349 7925296559 9161970865 X SEE SCHEDULE O 0 0 1286083473 250270216 700994237 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 4689 STUDENTS ANNUALLY 858825181 38681772 1041642321 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS 202869134 873397 84114043 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY 2347777788 1 1 0 1 0 0 0 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 1 0 0 0 0 1 1 0 1 1 1 1 0 0 1 1 1 1 0 0 1 X 9513 0 1 28765 1 0 1 SP EC IT GM UK CH SN TZ 0 0 0 1 1 0 0 0 0 X 37 32 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 0 AK CO DC ME MD MA MI NH NJ NY OR SC WA X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST STE 850 DURHAM NC 27701 ANNE T BASS 4.00 0.00 X 0 0 0 JACK O BOVENDER JR 6.00 1.20 X 0 0 0 RICHARD H BRODHEAD 60.00 11.00 X X 1037439 0 193203 PAULA PHILLIPS BURGER 5.00 0.00 X 0 0 0 PAULA HANNAWAY CROWN 2.00 0.00 X 0 0 0 ALLYSON KAY DUNCAN 2.00 0.00 X 4500 0 0 RALPH EADS III 2.00 0.00 X 0 0 0 FRANK E EMORY JR 4.00 0.00 X 0 0 0 PAUL E FARMER 2.00 0.00 X 0 0 0 ROBIN A FERRACONE 4.00 0.00 X 0 0 0 XIQING GAO 2.00 0.00 X 0 0 0 THOMAS M GORRIE 4.00 1.60 X 0 0 0 JOHN HARPHAM 7.00 0.00 X 0 0 0 GERALD L HASSELL 2.00 0.00 X 0 0 0 WILLIAM A HAWKINS III 2.30 1.90 X 0 0 0 JANET HILL 2.00 0.00 X 0 0 0 BETSY D HOLDEN 2.00 0.00 X 0 0 0 KENNETH W HUBBARD 2.00 0.00 X 0 0 0 PETER J KAHN 2.00 0.00 X 0 0 0 BRUCE A KARSH 4.00 1.80 X 0 0 0 ELIZABETH KISS 2.00 0.00 X 0 0 0 MARGUERITE W KONDRACKE 2.00 0.00 X 0 0 0 MICHAEL MARSICANO 4.00 0.00 X 0 0 0 MARTHA L MONSERRATE 2.00 1.00 X 0 0 0 CLARENCE G NEWSOME 2.00 0.00 X 0 0 0 ROBERT R PENN 2.00 0.00 X 0 0 0 DAVID M RUBENSTEIN 6.00 0.00 X 0 0 0 ISHTIAQ ES SAAEM 2.00 0.00 X 0 0 0 ALAN D SCHWARTZ 4.00 0.00 X 0 0 0 MICHELLE SOHN 2.00 0.00 X 0 0 0 LAURENE M SPERLING 4.00 0.00 X 0 0 0 SUSAN M STALNECKER 4.00 1.00 X 0 0 0 ASHLEY CROWDER STANLEY 2.00 0.00 X 0 0 0 HARDY VIEUX 10.00 8.00 X 0 0 0 JEFFERY N VINIK 2.00 0.00 X 0 0 0 G RICHARD WAGONER JR 10.00 2.00 X 0 0 0 HOPE MORGAN WARD 2.00 0.00 X 0 0 0 PAMELA J BERNARD 30.00 31.00 X 451897 0 45984 VICTOR J DZAU 40.00 46.00 X 2146241 0 740263 PETER LANGE 72.00 2.00 X 558996 26000 39164 RICHARD V RIDDELL 50.00 0.00 X 317992 0 43203 TALLMAN TRASK III 55.00 3.00 X 583908 0 79188 NANCY C ANDREWS 65.00 3.00 X 789644 0 47984 J SCOTT GIBSON 55.00 0.50 X 554462 0 50688 ALICE E GOULD 40.00 0.00 X 651100 0 51425 ANDERS W HALL 40.00 0.00 X 724841 0 72742 JOHN J NOONAN 40.00 0.00 X 280140 0 64543 LAURIE L PATTON 82.00 0.00 X 360338 0 35744 ERIC D PETERSON 80.00 20.00 X 383228 0 43585 JAMES S ROBERTS 40.00 1.00 X 325419 0 37664 NEAL F TRIPLETT 46.00 4.00 X 2134820 0 212681 DAVID N CUTCLIFFE 40.00 0.00 X 1786979 0 48895 MICHAEL B KASTAN 40.00 0.00 X 929831 0 42417 MICHAEL W KRZYZEWSKI 40.00 0.00 X 4040678 0 1996932 RALPH SNYDERMAN 40.00 0.00 X 6973913 0 43902 KEVIN M WHITE 40.00 0.00 X 903466 0 49029 ALVIN L CRUMBLISS 40.00 0.00 X 200365 0 32669 26140197 26000 3971905 2342 1 1 0 LEND LEASE US CONSTRUCTION INC 324 BLACKWELL ST STE 130 DURHAM NC 27701 CONSTRUCTION SERVICE 22001705 LECHASE CONSTRUCTION 324 BLACKWELL ST 1200 DURHAM NC 27701 CONSTRUCTION SERVICE 19911738 PAREXEL INTERNATIONAL 5239 PAYSPHERE CIRCLE CHICAGO IL 60674 CONSULTING SERVICE 19030209 BALFOUR BEATTY CONSTRUCTION 5420 WADE PARK BLVD RALEIGH NC 27607 CONSTRUCTION SERVICE 17549490 UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DR CHAPEL HILL NC 275991350 RESEARCH 8457562 662 4095855 93178589 584362755 752161957 36531648 1433799156 TUITION & FEES 611600 640544541 640544541 ANCILLARY STUDENT SVCS 611600 84114043 84114043 CONTINUING EDUCATION 611600 54092056 54092056 CONFERENCE FEES 611600 6357640 6357640 ACADEMIC MED. RESEARCH 611600 1976226 1976226 92727513 92727513 879812019 60928434 60928434 22632249 22632249 7588901 4313416 3275485 3275485 3275485 10537412933 893091 9988045000 6005690 549367933 -5112599 544255334 544255334 670255 4095855 1602763 -932508 -932508 MISC. SALES 900099 9309204 9309204 VARIOUS FEES AND FINES 900099 1783243 1783243 STUDENT DUES 900099 1409161 1409161 13656646 13656646 26158254 2969928423 905970273 0 630158994 11623518 11623518 278164445 278164445 37422 37422 12488713 831921 10842253 814539 1437594 1268758 168836 1083689660 941679726 121763120 20246814 77402945 66947730 8920000 1535215 109997060 95040500 12521949 2434611 75238284 64704924 9028594 1504766 11287955 1283988 10003967 674237 659505 14732 3028336 3028336 18733343 18733343 125633503 101202743 21748208 2682552 4615785 3692842 779548 143395 80831984 77329050 3044707 458227 12879939 12879939 31071023 19460404 11610619 64741757 60631372 3272452 837933 57950964 53806237 2077806 2066921 2697 2697 29024374 21859861 2995078 4169435 60209289 58883479 1325810 177939950 167085613 10854337 4401445 5245927 -863293 18811 SUBRECIPIENT PAYMENTS 156785240 156785240 PRINTING & PUBLICATION 10179935 6788794 2263685 1127456 EQUIP RENTAL & MAINTENA 42357140 65764207 -24131635 724568 COST OF GOODS SOLD 19077512 15864376 3197197 15939 5799758 71792014 -68429721 2437465 2567305807 2347777788 175266304 44261715 196703807 186307269 353246247 465485441 154197560 117987505 83890 67935 40658711 41884950 17450224 19121967 28766920 71253772 4004460089 2243159950 1694267178 1761300139 947329677 2562455501 6111813990 5443589979 657241719 707155756 10201759923 11376610214 255630806 258057872 160565970 158065135 1053900000 1053900000 6171000 6007482 328660313 367836456 471535275 370772404 2276463364 2214639349 X 3624323520 4334577206 1986864925 2303099009 2314108114 2524294650 7925296559 9161970865 10201759923 11376610214 X 402622616 282220532 551831158 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 1 0 0 0 0 1 192021 0 1 18757 210778 0 PART IV, SUPPLEMENTAL INFORMATION: DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES AND SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. 296247 31450649 X X X X 1 5537135706 91146456 685897075 74093846 220105517 6019979874 5728347000 79855209 -2357082 70629526 198079895 5537135706 4802051000 81684000 1123743485 73647646 205483839 5728347000 4430172000 86145000 530625628 55616571 189275057 4802051000 6112750000 73482915 -1506464915 52113849 197482151 4430172000 0.30000 0.70000 1 1 1 23811070 23811070 2586060596 1321456920 1264603676 151151546 101602011 49549535 635717963 489093952 146624011 607718914 331007067 276711847 1761300139 SHORT TERM INVESTMENTS 553750768 F US GOVERNMENT SECURITIES 3631000 F REAL ASSETS 1573285923 F PRIVATE CAPITAL 1361838085 F HEDGE STRATEGIES 812215620 F OTHER INVESTMENTS 34253119 F FIXED INCOME 172054912 F EQUITIES 932560552 F 5443589979 DEPOSITS WITH BOND TRUSTEE 9339474 INTEREST IN PERPETUAL TRUST HELD BY OTHERS 697816282 707155756 ANNUITY AND SPLIT INTEREST OBLIGATIONS 43662528 POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 174551032 FUNDS HELD FOR OTHERS 69177565 CONDITIONAL ASSET RETIREMENT 43890115 REFUNDABLE FEDERAL STUDENT LOANS 34576492 MISC PAYABLES 4914672 370772404 ART COLLECTION SCHEDULE D, PART III, LINE 4 DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCE WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING. USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 SCHEDULE D, PART X DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FIN 48 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FIN 48 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FIN 48 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2013. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 RACIALLY NONDISCRIMINATORY POLICY FORM 990, SCHEDULE E, LINE 3 DUKE UNIVERSITY IS COMMITTED TO ENCOURAGING AND SUSTAINING WORK AND LEARNING ENVIRONMENTS THAT ARE FREE FROM HARASSMENT AND PROHIBITED DISCRIMINATION. THE UNIVERSITY PROHIBITS DISCRIMINATION AND HARASSMENT IN THE ADMINISTRATION OF BOTH ITS EMPLOYMENT AND EDUCATIONAL POLICIES. EQUAL EMPLOYMENT AND EDUCATIONAL OPPORTUNITIES ARE PROVIDED WITHOUT REGARD TO RACE, COLOR, SEX, RELIGION, NATIONAL ORIGIN, DISABILITY, VETERAN STATUS, SEXUAL ORIENTATION, GENDER IDENTITY, AGE OR GENETIC INFORMATION. DUKE UNIVERSITY ALSO MAKES GOOD FAITH EFFORTS TO RECRUIT, HIRE AND PROMOTE QUALIFIED MINORITIES, WOMEN, INDIVIDUALS WITH DISABILITIES AND VETERANS. IN ACCORDANCE WITH TITLE IX OF THE EDUCATION AMENDMENTS OF 1972, DUKE UNIVERSITY PROHIBITS DISCRIMINATION ON THE BASIS OF SEX. SEXUAL HARASSMENT IS A FORM OF SEX DISCRIMINATION. DUKE UNIVERSITY HAS DESIGNATED DR. BENJAMIN D. REESE, VICE-PRESIDENT OF THE OFFICE FOR INSTITUTIONAL EQUITY AS ITS TITLE IX COORDINATOR. THE OFFICE FOR INSTITUTIONAL EQUITY IS LOCATED IN SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708. DR. REESE'S OFFICE TELEPHONE NUMBER IS (919) 684-8222. QUESTIONS OR CONCERNS REGARDING TITLE IX, HARASSMENT OR DISCRIMINATION MAY BE DIRECTED TO THE OFFICE FOR INSTITUTIONAL EQUITY. POLICIES AND RELATED PROCEDURES ARE COMMUNICATED TO ALL MEMBERS OF THE DUKE COMMUNITY THROUGH VAROIUS PUBLICATIONS, POSTINGS, ELECTRONIC MEDIA AND TRAINING SESSIONS FOR MANAGERS. PUBLICATIONS OF THE UNIVERSITY PICTURE BOTH MINORITY AND NON-MINORITY MEN AND WOMEN AND PERSONS WITH DISABILITIES. RECRUITING ADVERTISEMENTS STATE THAT THE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. EXPLANATION OF GOVERNMENT FINANCIAL AID FORM 990, SCHEDULE E, LINE 6 IN FUTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSITY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, MEDICAL PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS. 1 ANTARCTICA 0 0 PROGRAM SERVICES RESEARCH 4752 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 18500 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES ATHLETIC EVENT 3010 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 86207 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 100875 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 93215 CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEMINAR 89839 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 9118 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 3019527 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 5136629 EAST ASIA AND THE PACIFIC 2 2 PROGRAM SERVICES STUDY ABROAD 1579499 EAST ASIA AND THE PACIFIC 0 0 SEMINAR 2473725 EUROPE 0 0 FUNDRAISING 13375 EUROPE 0 0 GRANTMAKING 22880 EUROPE 0 0 PROGRAM SERVICES ATHLETIC EVENT 10757 EUROPE 0 0 PROGRAM SERVICES EDUCATION 843018 EUROPE 0 0 PROGRAM SERVICES ENTERTAINMENT EVENT 14013 EUROPE 0 0 PROGRAM SERVICES RESEARCH 10458561 EUROPE 2 57 PROGRAM SERVICES STUDY ABROAD 5180721 EUROPE 0 0 SEMINAR 4264398 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 1715 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATION 342537 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 206511 MIDDLE EAST AND NORTH AFRICA 2 2 PROGRAM SERVICES STUDY ABROAD 1075268 MIDDLE EAST AND NORTH AFRICA 0 0 SEMINAR 194325 NORTH AMERICA 0 0 GRANTMAKING 1000 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 60183 NORTH AMERICA 0 0 PROGRAM SERVICES ENTERTAINMENT EVENT 7576 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 9512934 NORTH AMERICA 0 2 PROGRAM SERVICES STUDY ABROAD 52209 NORTH AMERICA 0 0 SEMINAR 167068 RUSSIA 0 0 PROGRAM SERVICES EDUCATION 805025 RUSSIA 0 0 PROGRAM SERVICES RESEARCH 166697 RUSSIA 0 8 PROGRAM SERVICES STUDY ABROAD 450912 RUSSIA 0 0 SEMINAR 151762 SOUTH AMERICA 0 0 GRANTMAKING 3140 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 156396 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 918878 SOUTH AMERICA 3 10 PROGRAM SERVICES STUDY ABROAD 110210 SOUTH AMERICA 0 0 SEMINAR 561928 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 302719 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 3127893 SOUTH ASIA 1 5 PROGRAM SERVICES STUDY ABROAD 1084189 SOUTH ASIA 0 0 SEMINAR 268304 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 600 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 306576 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 3835432 SUB-SAHARAN AFRICA 1 12 PROGRAM SERVICES STUDY ABROAD 419885 SUB-SAHARAN AFRICA 0 0 SEMINAR 432936 0 0 11 98 11 98 405516 57741911 58147427 CENTRAL AMERICA AND THE CARIBBEAN GRANTMAKING 18500 WIRE 0 1 TUITION EUROPE (INCLUDING ICELAND & GREENLAND) 1 8567 WIRE TUITION MIDDLE EAST AND NORTH AFRICA 1 1715 WIRE DUKE BOOK AWARD SOUTH AMERICA 1 1000 CHECK TUITION SOUTH AMERICA 1 2140 WIRE TUITION EAST ASIA AND THE PACIFIC 1 5500 WIRE 0 0 1 0 0 1 PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES SCHEDULE F, PART I, LINE 2: DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO SEVERAL ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. X X X X X X 1 GRENZEBACH GLIER & ASSOCIATES SEE PART IV FOR ADDRESS SEE PART IV IL 60611 CAMPAIGN CONSULTING 0 0 94749 0 ERICA LIEBERMAN S SEE PART IV NC 27516 CAMPAIGN CONSULTING 0 0 37565 0 COPPER REEF ENTERPRISES SEE PART IV F CARLSBAD CA 92009 CAMPAIGN CONSULTING 0 0 79106 0 PW FEATS S BALTIMORE MD 21202 CAMPAIGN CONSULTING 0 0 2221318 0 SULLIVAN & COMPANY SEE PART IV F NEW YORK NY 10014 CAMPAIGN CONSULTING 0 0 310483 0 ORR ASSOCIATES INC SEE PART IV F WASHINGTON DC 20007 CAMPAIGN CONSULTING 0 0 29150 0 MSA MARKETING INC SEE PART IV FOR ADDRESS RALEIGH NC 27606 CAMPAIGN CONSULTING 0 0 25710 0 HOPKINS DESIGN GROUP LTD SEE PART IV FOR ADDRESS DURHAM NC 27705 CAMPAIGN CONSULTING 0 0 24058 0 DRAWBRIDGE MEDIA INC SEE PART IV FOR ADDRESS RALEIGH NC 27609 CAMPAIGN CONSULTING 0 0 72041 0 LUCY BYRD LYON SEE PART IV FOR ADDRESS DURHAM NC 27705 CAMPAIGN CONSULTING 0 0 23300 0 2917480 AL AK AR CA CO CT DC FL GA HI IL KS KY LA ME MD MA MI MN MO NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI 2012 CMN 2516960 2512645 4315 317444 2013 RADIOTHON 626833 549465 77368 18438 8 1622317 1033745 588572 258922 112509 18617 876833 4766110 4095855 670255 258922 112509 18617 1212715 1602763 -932508 SCHEDULE G, PART I, LINE 2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: GRENZEBACH GLIER & ASSOCIATES (I) ADDRESS OF FUNDRAISER: 401 N. MICHIGAN AVE, CHICAGO, IL 60611 (I) NAME OF FUNDRAISER: ERICA LIEBERMAN (I) ADDRESS OF FUNDRAISER: 6010 NEW JERICHO RD, CHAPEL HILL, NC 27516 (I) NAME OF FUNDRAISER: COOPER REEF ENTERPRISES (I) ADDRESS OF FUNDRAISER: 6965 EL CAMINO REAL SUITE, CARLSBAD, CA 92009 (I) NAME OF FUNDRAISER: P.W. FEATS (I) ADDRESS OF FUNDRAISER: 3 E. READ ST., BALTIMORE, MD 21202 (I) NAME OF FUNDRAISER: SULLIVAN & COMPANY (I) ADDRESS OF FUNDRAISER: 450 W. 14TH ST., NEW YORK, NY 10014 (I) NAME OF FUNDRAISER: ORR ASSOCIATES INC. (I) ADDRESS OF FUNDRAISER: 2801 M ST. NW, WASHINGTON, DC 20007 (I) NAME OF FUNDRAISER: MSA MARKETING INC. (I) ADDRESS OF FUNDRAISER: 5511 CAPITAL CENTER DR., RALEIGH, NC 27606 (I) NAME OF FUNDRAISER: HOPKINS DESIGN GROUP LTD (I) ADDRESS OF FUNDRAISER: 822 BROAD ST., DURHAM, NC 27705 (I) NAME OF FUNDRAISER: DRAWBRIDGE MEDIA INC. (I) ADDRESS OF FUNDRAISER: 507 W. PEACE ST., RALEIGH, NC 27609 (I) NAME OF FUNDRAISER: LUCY BYRD LYON (I) ADDRESS OF FUNDRAISER: 2616 ERWIN RD., DURHAM, NC 27705 SCHEDULE G, LINE 2(B), COLUMN (V) FUNDRAISING ACTIVITIES DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMN (V). THESE AGREEMENTS ALLOW FOR CERTAIN REIMBURSEMENTS OF EXPENSES SUCH AS: TRAVEL EXPENSES RELATED TO THE SERVICES PROVIDED. THE REIMBURSEMENT IS ANALYZED AND AUTHORIZED ON A CASE BY CASE BASIS. THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED. 1 ALBERT SCHWEITZER FELLOWSHIP 330 BROOKLINE AVE BOSTON MA 02215 131982786 501(C)(3) 20000 SCHWEITZER FELLOWSHIP PROGRAM AMERICAN CANCER SOCIETY 8300 HEALTH PARK SUITE 10 RALEIGH NC 27615 131788491 501(C)(3) 10000 GENERAL SUPPORT AMERICAN COUNCIL OF LEARNED SO 633 THIRD AVE 8TH FLOOR NEW YORK NY 10017 131851145 501(C)(3) 50000 ACLS UNIVERSITY CONSORTIUM CALVARY MINISTRIES OF THE PO BOX 51398 DURHAM NC 277171398 561858174 501(C)(3) 15500 2130 FMV COMPUTER EQUIPMENT GENERAL SUPPORT CAMRAS VISION PO BOX 12076 RTP NC 27709 273817958 - 10000 DUKE START UP CHALLENGE AWARD CHAMBER ORCHESTRA OF THE TRIAN 1213 E FRANKLIN STREET CHAPEL HILL NC 27514 561610461 501(C)(3) 12500 GENERAL SUPPORT COUNCIL ON COMPETITIVENESS 1500 K STREET NW SUITE 850 WASHINGTON DC 20005 521872849 501(C)(3) 10000 GENERAL SUPPORT DUKE CATHOLIC STUDENT CENTER PO BOX 90974 DURHAM NC 27708 561378592 - 180000 GENERAL SUPPORT DURASPACE 28 CHURCH ST SUITE 2 WINCHESTER MA 018902538 260389639 501(C)(3) 20000 GENERAL SUPPORT DURHAM AT RISK YOUTH COLLABORA 107 N DIVER ST DURHAM NC 27703 320263133 501(C)(3) 14000 610 FMV OFFICE EQUIPMENT GENERAL SUPPORT DURHAM COMMUNITY LAND TRUSTEES 1208 WEST CHAPEL HILL ST DURHAM NC 27701 561203878 501(C)(3) 23000 GENERAL SUPPORT DURHAM CONGREGATIONS IN ACTION 504 W CHAPEL HILL ST DURHAM NC 27701 237208424 501(C)(3) 6865 GENERAL SUPPORT DURHAM COUNTY PO BOX 3807 DURHAM NC 277023807 566000297 GOV'T ENTITY 41984 HABITAT FOR HUMANITY SUPPORT DURHAM COUNTY LITERACY COUNCIL PO BOX 52209 DURHAM NC 27707 561479534 501(C)(3) 6000 GENERAL SUPPORT DURHAM ECONOMIC RESOURCE CENTE 904 N ROXBORO ST DURHAM NC 27701 237208424 501(C)(3) 5700 GENERAL SUPPORT EMILY KRZYZEWSKI FAMILY LIFE C 904 W CHAPEL HILL ST DURHAM NC 27701 562230469 501(C)(3) 213950 GENERAL SUPPORT ETHOS CLINICAL GROUP 2500 REGENCY PKWY CARY NC 275188549 451995206 - 7500 GENERAL SUPPORT FAMILY HEALTH MINISTRIES INC 1921 NORTH POINTE DR SUITE 200 DURHAM NC 27705 562206165 501(C)(3) 64755 GENERAL SUPPORT GENESIS HOME PO BOX 25426 DURHAM NC 27702 561633998 501(C)(3) 10200 GENERAL SUPPORT HABITAT FOR HUMANITY DUKE CHA PO BOX 3807 DURHAM NC 27702 581674794 501(C)(3) 9525 GENERAL SUPPORT KIDZ NOTES 120 MORRIS ST DURHAM NC 27701 270446845 501(C)(3) 10746 COMMUNITY SUPPORT MATI INC 1212 W CHAPEL HILL ST APT 21 DURHAM NC 27701 455000591 - 11000 DUKE START UP CHALLENGE AWARD NANOLY BIOSCIENCE INC 9066 E COLORADO CIRCLE DENVER CO 80231 460847398 - 70000 GENERAL SUPPORT NATIONAL HUMANITIES CENTER 7 ALEXANDER DRIVE RTP NC 27709 591735367 501(C)(3) 125000 GENERAL SUPPORT NCIMED INC 114 PARRISH STREET DURHAM NC 27702 561579041 501(C)(3) 7500 GENERAL SUPPORT PARTNERS FOR YOUTH 1309 HALLEY ST DURHAM NC 27707 352206640 501(C)(3) 15346 COMMUNITY SUPPORT PHI LAMBDA UPSILON 124 SCIENCE DR DURHAM NC 27708 237264553 501(C)(7) 8600 GENERAL SUPPORT REFRESH INNOVATIONS 190 EL CAMINO REAL ATHERTON CA 94027 460617914 - 50000 DUKE START UP CHALLENGE AWARD REGENTS OF UNIV OF COLORADO 1700 LINCOLN ST DENVER CO 80203 846000555 501(C)(3) 15500 STUDENT FELLOWSHIP AWARD RESEARCH TRIANGLE ENVIRONMENTA 9200 LESLIESHIRE DR RALEIGH NC 276158103 204594346 501(C)(3) 10000 GENERAL SUPPORT SENIOR PHARMASSIST INC 406 RIGSBEE AVE STE 201 DURHAM NC 277012186 562084639 501(C)(3) 10600 GENERAL SUPPORT STOP HUNGER NOW 615 HILLSBOROUGH ST SUITE 200 RALEIGH NC 27603 161541024 501(C)(3) 10837 GENERAL SUPPORT STUDENT ACTION WITH FARMWORKER 1317 W PETTIGREW ST DURHAM NC 27705 561789014 501(C)(3) 32500 COMMUNITY SUPPORT SUDAN EDUCATION FOR LIBERTY FO 25 CAMP MCRAE LANE ORMOND BEACH FL 32174 262930141 501(C)(3) 10098 DAVIS PROJECTS AWARD UC REGENTS -UNIV OF CAL BERKEL 18 SPROUL HALL BERKELEY CA 94720 946002123 501(C)(3) 15500 STUDENT FELLOWSHIP AWARD UNIVERSITY OF COLORADO BOULDER 1700 LINCOLN ST LOWER LEVEL 3 DENVER CO 80274 846000555 501(C)(3) 15500 STUDENT FELLOWSHIP AWARD UNIVERSITY OF TEXAS AT ARLINGT 219 W MAIN ST ARLINGTON TX 760100136 756000121 501(C)(3) 15500 STUDENT FELLOWSHIP AWARD WALLTOWN CHILDRENS THEATRE 1225 BERKLEY ST DURHAM NC 27705 562214825 501(C)(3) 14350 COMMUNITY SUPPORT WASTEWATER & SEWER SOLUTIONS L 5448 APEX PEAKWAY 123 APEX NC 275023924 364758472 - 10000 DUKE START UP CHALLENGE AWARD DURHAM PUBLIC SCHOOLS PO BOX 30002 DURHAM NC 27705 566001021 GOV'T ENTITY 71703 61969 FMV COMPUTER EQUIPMENT GENERAL SUPPORT CHANGING A GENERATION WITH FACE PO BOX 11587 DURHAM NC 27703 562158704 501(C)(3) 62103 FMV OFFICE EQUIPMENT GENERAL SUPPORT CHILD EVANGELISM FELLOWSHIP INC 44 IONIA AVE S W GRAND RAPIDS MI 49502 561827691 501(C)(3) 250 98488 FMV OFFICE EQUIPMENT GENERAL SUPPORT CHURCH OF JESUS CHRIST OF NAZARETH (ERCTS) 4930-H BLACKWALNUT CT BROWNS SUMMIT NC 27214 264202492 501(C)(3) 7345 FMV COMPUTER EQUIPMENT GENERAL SUPPORT CHURCH WORLD SERVICE 212 S DUKE STREET DURHAM NC 27704 134080201 501(C)(3) 250 7301 FMV OFFICE EQUIPMENT GENERAL SUPPORT DURHAM RESCUE MISSION PO BOX 11858 DURHAM NC 27703 581482590 501(C)(3) 30398 FMV OFFICE EQUIPMENT GENERAL SUPPORT HOUSE OF REFUGE 947 E MAIN STREET DURHAM NC 27701 561988451 501(C)(3) 6454 FMV OFFICE EQUIPMENT GENERAL SUPPORT KESTREL HEIGHTS SCHOOL 4700 SOUTH ALSTON AVENUE DURHAM NC 27713 561996482 501(C)(3) 10241 FMV FITNESS EQUIPMENT GENERAL SUPPORT KRAMDEN INSTITUTE 4915 PROSPECTUS DRIVE DURHAM NC 27713 743108814 501(C)(3) 6500 FMV COMPUTER EQUIPMENT GENERAL SUPPORT THE NAVIGATORS 201 BAPTIST ROAD DURHAM NC 27704 846007896 501(C)(3) 6275 FMV COMPUTER EQUIPMENT GENERAL SUPPORT OFFG OUTREACH MISSION 3741 WAKE FOREST HWY DURHAM NC 27703 421716352 501(C)(3) 6626 FMV COMPUTER EQUIPMENT GENERAL SUPPORT THE CHURCH AT NC 5401 HARDRIAN DR DURHAM NC 27703 560556746 501(C)(3) 11200 FMV OFFICE EQUIPMENT GENERAL SUPPORT TROSA 1820 JAMES STREET DURHAM NC 27707 561861158 501(C)(3) 300 17280 FMV HOUSEHOLD EQUIPMENT GENERAL SUPPORT VOYAGER ACADEMY 101 HOCK PARC DURHAM NC 27704 651318240 501(C)(3) 25203 FMV COMPUTER EQUIPMENT GENERAL SUPPORT BOOK HARVEST 5802 BRISBANE DR DURHAM NC 27514 452610533 501(C)(3) 4000 1257 FMV OFFICE EQUIPMENT COMMUNITY CARE FUND GRANT RELIGIOUS COALITION FOR A NON-VIOLENT DURHAM 105 PINECREST ROAD DURHAM NC 27705 201356454 501(C)(3) 4000 2075 FMV COMPUTER EQUIPMENT COMMUNITY CARE FUND GRANT SPELMAN COLLEGE 350 SPELMAN LANE SW BOX 1209 ATLANTA NC 30314 580586243 501(C)(3) 44982 SABBATICAL SCHOLAR SUPPORT 48 8 UNDERGRADUATE ATHLETIC SCHOLARSHIPS 347 14922273 GARDUATE ATHLETIC SCHOLARSHIPS 8 253976 UNDERGRADUATE SCHOLARSHIPS 3335 114071709 GARDUATE SCHOLARSHIPS 3055 72505905 PRE-DOCTORAL SCHOLARSHIPS 2815 42323763 GRADUATE STIPENDS 1848 25418517 GRADUATE TUITION SCHOLARSHIPS 71 413085 INTERSHIP STIPENDS 1084 2777485 POSTDOCTORAL STIPENDS 34 791828 PRE-DOCTORAL STIPENDS 72 370131 PRE-DOCTORAL TUITION SCHOLARSHIPS 2 42210 UNDERGRADUATE STIPENDS 1126 3517801 UNDERGRADUATE TUITION PAYMENTS 188 482147 ACADEMIC AWARD 3 300 ALEX COHEN AWARD 2 1000 ALLEN STARLING JOHNSON JR AWARD 10 2100 AMERICAN LITERATURE AWARD 1 250 ANNE FIROR SCOTT AWARD 3 4000 ANNE FLEXNER AWARD 4 3000 BH SMITH AWARD 1 250 BME STUDIES AWARD 2 937 BRUCE J. HEIM FOUNDATION LEADERSHIP AWARD 2 2000 CAMP K PROJECT 1 16250 CAREER FAIR SCHOLARSHIP 3 1500 CHARLES ROWE VAIL MEMORIAL AWARD 1 500 CHESTER P MIDDLESWORTH AWARD 2 2000 CLACS RESEARCH AWARD 1 500 CLAY TALIAFOEER DANCE AWARD 1 250 COMPOSITION AWARD 1 500 DALE B.J. RANDALL AWARD 2 1000 DANA MARKS AWARD 1 500 DEANS RECOGNITION AWARD 9 900 DGHI CONTEST PRIZE WINNER 3 200 DHRC AWARD 12 13970 DORA ANN LITTLE AWARD 1 800 DUKE ARTS FESTIVAL WINNER 3 200 DUKE START UP CHALLENGE WINNER 35 18500 DURDEN PRIZE 4 3000 ELI SOCIAL ENTREPRENEURSHIP AWARD 1 12500 ESSAY AWARD 3 1500 EVA J SALBER AWARD 1 500 FIRST BOOK PRIZE 1 3000 FISH AWARD WINNER 1 250 FOERSTER PRIZE WINNER 3 2200 FUTRELL AWARD 1 1000 GALLERY CHOICE CONTEST WINNER 1 100 GEORGE SHERRERD III AWARD 1 500 HAAS ESSAY PRIZE 1 1200 HAROLD BRODY AWARD 1 500 HART FELLOWSHIP 1 1118 HASTAC SCHOLAR FELLOWSHIP 5 1500 HELMHOLTZ AWARD 2 400 HENRY SCHUMAN MUSIC PRIZE 1 350 HOLTON PRIZE 3 1500 INNOVATION CO-LAB CHALLENGE WINNER 4 5000 JH FRANKLIN AWARD 2 3000 JODY MCAULIFF AWARD 1 1000 JOHN HOPE FRANKLIN AWARD 1 1500 JOHN M CLUM DISTINGUISHED THEATER STUDIES 1 500 JUDITH MCDADE PRIZE 1 100 JULIA HARPER DAY AWARD 1 500 JULIA WILDINSON MUELLER PRIZE 3 300 JULIA WRAY MEMORIAL DANCE AWARD 2 500 KARL E ZENER AWARD 2 200 KENAN MORAL PURPOSE AWARD 1 1000 KENNETH J REARDON AWARD 2 1000 LEONARDO DA VINCI AWARD 1 200 LOUIS SADLER PRIZE 1 2000 MARY DUKE BIDDLE FOUNDATION IN VISUAL ARTS 2 1000 MARY MCLEOD BETHUNE WRITING AWARD 1 350 MAX KADA FAOUNDATION AWARD 1 1500 MELCHER AWARD 1 500 MELOSH WINNER 1 714 MEMORIAL AWARD 7 3631 MEMS RETREAT AWARD 13 2919 MICHAEL NATHAN AWARD 1 2500 MICHAEL RAMSEY PRIZE 1 84 MORAL PURPOST AWARD 1 1000 NANCY KANEB ART HISTORY AWARD 1 500 NEH SUMMER INSTITUTE 47 62910 PANHEL SCHOLARSHIP 2 779 PAUL FARMER AWARD 1 100 PAUL R BRYAN AWARD 3 375 PERRY PRIZE 1 7500 PHD DISSERTATION AWARD 3 3563 PHOTO/VIDEO CONTEST WINNER 10 4350 POSTER AWARD 24 12676 RADIOLOGICAL SOCIETY AWARD 1 3000 ROSE SCHOLARSHIP AWARD 1 200 SCHUBERT/RICHEY S-P AWARD 1 250 SCHUTT SENIOR AWARD 2 1000 SIMPSON AWARD 3 600 SPELLING BEE ASSISTANCE 1 3200 STEPHEN HORNE AWARD 1 1000 STUDENT ASSISTANCE 1 6728 STUDENT AWARD 4 8000 SUMMER RESEARCH AWARD 3 10150 SUMMER STUDY IN THE ARTS GRANT 4 2500 TEACHING AND MENTORING AWARD 2 311 TERRY WELBY TYLER JR AWARD 1 1000 THESIS AWARD 2 450 THOMAS JEFFERSON AWARD 1 250 TRAVEL ASSISTANCE 2 969 UNDERGRADUATE TEACHING AWARD 9 1637 UTKU AWARD 1 469 VAIL TA AWARD 2 1000 VISUAL STUDIES INITIATIVE AWARD 3 1500 WILLIAM KLENZE PRIZE IN MUSIC COMPOSITION 1 225 WORKSHOP AWARD 2 1200 WRITING CONTEST 12 1350 YOUTH CONTEST 5 350 SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE, A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT. X X X X X X 1 1 X X X X 0 1 0 0 0 0 0 0 0 RICHARD H BRODHEAD 817140 0 0 0 220299 0 130635 0 65169 0 1233243 0 100000 0 PAMELA J BERNARD 434897 0 0 0 17000 0 30635 0 17997 0 500529 0 0 0 VICTOR J DZAU 1064538 0 1069441 0 12262 0 722437 0 21274 0 2889952 0 0 0 PETER LANGE 541996 26000 0 0 17000 0 30635 0 10235 0 599866 26000 0 0 RICHARD V RIDDELL 300992 0 0 0 17000 0 30635 0 13491 0 362118 0 0 0 TALLMAN TRASK III 566908 0 0 0 17000 0 30635 0 50340 0 664883 0 0 0 NANCY C ANDREWS 499856 0 249301 0 40487 0 30635 0 18918 0 839197 0 0 0 J SCOTT GIBSON 371972 0 165490 0 17000 0 30635 0 21207 0 606304 0 0 0 ALICE E GOULD 325000 0 212250 0 113850 0 51425 0 1001 0 703526 0 113850 0 ANDERS W HALL 302730 0 221611 0 200500 0 59835 0 13854 0 798530 0 183500 0 JOHN J NOONAN 279970 0 170 0 0 0 30635 0 34763 0 345538 0 0 0 LAURIE L PATTON 343338 0 0 0 17000 0 30635 0 6164 0 397137 0 0 0 ERIC D PETERSON 340028 0 26200 0 17000 0 30635 0 14000 0 427863 0 0 0 JAMES S ROBERTS 310619 0 14800 0 0 0 30635 0 7983 0 364037 0 0 0 NEAL F TRIPLETT 576817 0 636740 0 921263 0 198861 0 15657 0 2349338 0 868263 0 DAVID N CUTCLIFFE 1391395 0 375000 0 20584 0 30635 0 22727 0 1840341 0 0 0 MICHAEL B KASTAN 678014 0 251817 0 0 0 30635 0 13928 0 974394 0 0 0 MICHAEL W KRZYZEWSKI 1976663 0 2007000 0 57015 0 1982757 0 20544 0 6043979 0 492500 0 RALPH SNYDERMAN 527267 0 0 0 6446646 0 30635 0 14925 0 7019473 0 0 0 KEVIN M WHITE 825677 0 0 0 77789 0 30635 0 21022 0 955123 0 0 0 ALVIN L CRUMBLISS 187615 0 0 0 12750 0 24431 0 8806 0 233602 0 0 0 PART I, LINE 1A CHARTER TRAVEL SCHEDULE J, PART 1, LINE 1A MICHAEL W. KRYZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. RICHARD H. BRODHEAD USED FIRST CLASS TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS SCHEDULE J, PART 1, LINE 1A COMPANIONS HAVE TRAVELED WITH MICHAEL W. KRZYZEWSKI, DAVID CUTCLIFFE, AND KEVIN WHITE. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. TAX INDEMNIFICATION SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD, MICHAEL W. KRZYZEWSKI, VICTOR J. DZAU, AND KEVIN M. WHITE RECEIVED SOME BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. RESIDENCE FOR PERSONAL USE SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD WAS PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES SCHEDULE J, PART 1, LINE 1A THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITY USED BY THE UNIVERSITY'S PRESIDENT. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THIS FACILITY IS USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. RICHARD H. BRODHEAD WAS PROVIDED WITH PERSONAL FINANCIAL SERVICES. TO THE EXTENT SUCH SERVICES WERE NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN THE TAXABLE INCOME OF THIS INDIVIDUAL. CLUB DUES SCHEDULE J, PART 1, LINE 1A DAVID N. CUTCLIFFE AND J. SCOTT GIBSON WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART 1, LINE 4B THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $904,263, ANDERS W. HALL $183,500, ALICE E. GOULD $113,850, RALPH SYNDERMAN $6,441,836, RICHARD BRODHEAD $200,000, SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). VICTOR J. DZAU MD PARTICIPATES IN A PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE, HOWEVER HE DID NOT RECEIVE ANY PAYMENTS DURING THE REPORTING PERIOD. A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GCF3 2005-06-24 216311656 SEE PART VI 0 0 0 B NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GDR6 2006-11-02 397964337 SEE PART VI 0 0 0 C NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GES3 2007-01-09 128278030 SEE PART VI 0 0 0 D NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GFT0 2009-02-25 252585252 SEE PART VI 0 0 0 A 220394024 8738412 69239409 1647641 236035 140532528 2007 1 0 1 1 B 8210000 405128364 8814929 262529247 2807772 130976419 2008 1 1 1 1 C 128278030 127234526 1043504 2004 0 1 1 1 D 253158413 7249152 109568000 2182146 124819643 9339472 1 0 0 1 A 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 1 1 1 1 0.00340 0.00000 0.00340 0 0 1 C 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 1 1 1 1 0.00020 0.00000 0.00020 0 0 1 A 0 0 0 1 0 0 1 MORGAN STANLEY & CO 1.800000000000 1 1 1 B 0 0 0 1 0 0 1 MORGAN STANLEY & CO 1.900000000000 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 0 0 0 0 0 0 0 1 A 1 B 1 C 1 D 1 FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND CUSIP NUMBER OF TAX-EXEMPT BONDS BOND ISSUE (C): FORM 8038 LISTS THE CUSIP NUMBER AS 65819GEQ7, 65819GER5, 65819GES3. ALL CUSIPS HAVE THE SAME MATURITY DATE. BOND ISSUE (A2): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 12/18/2012 AND CUSIPS 65818WAG9, 65818XAE2, 65818XAD4, 65818WAJ3, 65818XAF9, 65818WAK0, 65818WAL8, & 65818WAM6 WERE OUTSTANDING AS OF 6/30/2013 UNDER THE NEW ISSUE. FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (A2): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($579,077,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($48,150,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. FORM 990, SCHEDULE K, PART 1(F) PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND $69,038,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED MARCH 17, 2005 TO PROVIDE INTERIM FINANCING FOR CONSTRUCTING AND EQUIPPING FOUR PROJECTS LOCATED ON THE WEST CAMPUS OF DUKE UNIVERSITY (2005A PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2005A PROJECTS. BOND ISSUE (B): TO (1) REFUND THE OUTSTANDING 1996B BONDS ISSUED 7/9/1996, (2) REFUND A PORTION OF THE 2001A BONDS ISSUED 1/8/2002, (3) REFUND $92,699,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 9/18/2006 AND $3,260,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 20 PROJECTS LOCATED ON THE WEST AND EAST CAMPUS OF DUKE UNIVERSITY (2006A PROJECTS), AND (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF COST OF CONSTRUCTING AND EQUIPPING THE 2006A PROJECTS. BOND ISSUE (C): TO REFUND THE OUTSTANDING 2002A BONDS ISSUED 7/30/2002. BOND ISSUE (D): TO (1) REFUND $104,184,000 AGGREGATE PRINCIPAL OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 5/13/2008 AND $5,384,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 28 PROJECTS LOCATED ON WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY (2009B PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2009B PROJECTS. BOND ISSUE (A2): COMMERCIAL PAPER PROGRAM, THE PURPOSES OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 6/16/2011, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY FORM 990, SCHEDULE K, PART II, LINE 13 TAX-EXEMPT BOND BOND ISSUE (D): NO YEAR IS PROVIDED AT THIS TIME, BECAUSE NOT ALL PROJECTS ARE SUBSTANTIALLY COMPLETE. BOND ISSUE (A2): NO YEAR IS PROVIDED AT THIS TIME, BECAUSE NOT ALL PROJECTS ARE SUBSTANTIALLY COMPLETE. FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2C BOND ISSUE (A) - 6/24/2013 BOND ISSUE (B) - 11/1/2012 BOND ISSUE (C) - 1/1/2013 LINE 4D BOND ISSUE (B): ONLY TWO BIDS WERE RECEIVED FROM SIX PROVIDERS SOLICITED. LINE 6 BOND ISSUE (A2): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED. A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65818WAM6 2012-12-18 627227000 SEE PART VI 0 0 0 A 48150000 48150000 2012 1 0 0 1 A 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 0 1 0 0 0 1 A 1 LAURIE PATTON KEY EMPLOYEE MOVING X 88000 67935 0 0 1 67935 1 RECIPIENT SEE PART V 25000 AWARD GENERAL SUPP. 1 RECIPIENT SEE PART V 10000 AWARD GENERAL SUPP. 1 RECIPIENT SEE PART V 15600 AWARD GENERAL SUPP. 1 RECIPIENT SEE PART V 10000 GRANT GENERAL SUPP. CYNTHIA BRODHEAD SEE PART V 168836 SEE PART V 0 LORI LEACHMAN SEE PART V 87118 SEE PART V 0 DEBORAH JAKUBS SEE PART V 310813 SEE PART V 0 BERNARD MATHEY-PREVOT SEE PART V 170346 SEE PART V 0 ROSETTA STONE SEE PART V 106755 SEE PART V 0 BRIGHT HORIZONS SEE PART V 345419 SEE PART V 0 PEPSI CO SEE PART V 232557 SEE PART V 0 HINES GLOBAL SEE PART V 10448197 SEE PART V 0 SCHNEIDER ELECTRIC SEE PART V 792756 SEE PART V 0 SCH L, PART III, GRANTS OR ASSISTANCE BENEFITING INTERESTED PERSONS: (A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF GRANT SELECTION COMMITTEE(C) AMOUNT OF GRANT: $25,000(D) TYPE OF ASSISTANCE: AWARD(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $10,000(D) TYPE OF ASSISTANCE: AWARD(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $15,600(D) TYPE OF ASSISTANCE: AWARD(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT(A) NUMBER OF RECIPIENTS: 1(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: GRANT SELECTION COMMITTEE MEMBER(C) AMOUNT OF GRANT: $10,000(D) TYPE OF ASSISTANCE: GRANT(E) PURPOSE OF ASSISTANCE: GENERAL SUPPORT SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF INTERESTED PERSON: CYNTHIA BRODHEAD(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: CYNTHIA BRODHEAD IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $168,836(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: LORI LEACHMAN(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: LORI LEACHMAN IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $87,118(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: DEBORAH JAKUBS(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: DEBORAH JAKUBS IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $310,813(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: BERNARD MATHEY-PREVOT(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: BERNARD MATHEY-PREVOT IS A FAMILY MEMBER OF A DUKE UNIVERSITY KEY EMPLOYEE(C) AMOUNT OF TRANSACTION: $170,346(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: ROSETTA STONE(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: ROSETTA STONE DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $106,755(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: BRIGHT HORIZONS(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: BRIGHT HORIZONS DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $345,419(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: PEPSI CO.(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: PEPSI CO. DIRECTOR IS A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $232,557(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: HINES GLOBAL(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: HINES GLOBAL OWNER IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $10,448,197(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED ENTITY: SCHNEIDER ELECTRIC(B) RELATIONSHIP BETWEEN INTERESTED ENTITY AND ORGANIZATION: SCHNEIDER ELECTRIC DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $792,756(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS OR SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO X 39 1195036 VARIOUS X 119742 VARIOUS X 13785 VARIOUS X 735 34799677 MARKET QUOTE X EVENT TICKETS 1476 226665 FMV/FACE VALUE X MISCELLANEOUS 83 92672 VARIOUS X EQUIPMENT 13 71683 VARIOUS X DOCUMENTS 113 12388 VARIOUS 21 0 1 1 THIRD PARTY USE: PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART 1, LINE 32B DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASSIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. TOTAL NUMBER OF VOLUNTEERS FORM 990, PART I, LINE 6 DUKE UNIVERSITY HAS MANY VOLUNTEERS THAT FACILITATE MANY OF ITS ACTIVITIES. ORGANIZATION'S MISSION FORM 990, PART III, LINE 1 "JAMES B. DUKE'S FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION;' AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO." UNRELATED BUSINESS GROSS INCOME FORM 990, PART V, LINE 3B THE ORGANIZATION DID NOT HAVE UNRELATED BUSINESS GROSS INCOME OF $1,000 OR MORE DURING THE FISCAL YEAR ENDING JUNE 30, 2013. THEREFORE, FORM 990-T IS NOT REQUIRED FOR THE FISCAL YEAR ENDING JUNE 30, 2013. FORM 990, PART VI, SECTION A, LINE 2 OFFICERS VICTOR J. DZAU, MD AND PAMELA J. BERNARD ARE BOTH DIRECTORS OF DURHAM CASUALTY COMPANY, LTD. OFFICER VICTOR J. DZAU, MD AND KEY EMPLOYEE J. SCOTT GIBSON ARE BOTH DIRECTORS OF DUKE MEDICAL STRATEGIES, INC. TRUSTEES JANET HILL AND DAVID M. RUBENSTEIN ARE BOTH DIRECTORS OF THE CARLYLE GROUP. TRUSTEES JACK O BOVENDER JR, RICHARD H BRODHEAD, THOMAS M. GORRIE, WILLIAM A. HAWKINS III, SUSAN M. STALNECKER, AND G. RICHARD WAGONER JR., OFFICER VICTOR J. DZAU, AND KEY EMPLOYEE NANCY ANDREWS ARE ALL DIRECTORS OF DUKE UNIVERSITY HEALTH SYSTEM, INC. FORM 990, PART VI, SECTION A, LINE 7A OF THE 36 ELECTED TRUSTEES FOR DUKE UNIVERSITY, TWELVE ARE ELECTED BY THE NORTH CAROLINA CONFERENCE OF THE UNITED METHODIST CHURCH AND ANOTHER TWELVE ARE ELECTED BY THE WESTERN NORTH CAROLINIA CONFERENCE OF THE UNITED METHODIST CHURCH. FORM 990, PART VI, SECTION B, LINE 11 DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT COMMITTEE OF THE UNIVERSITY TRUSTEES IN ADVANCE OF THE MEETING. AT THE MEETING, THE DUKE UNIVERSITY TAX DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, REVIEWS THE FORM 990 WITH THE COMMITTEE. THE COMMITTEE IS OFFERED AN OPPORTUNITY TO ASK QUESTIONS BOTH AT THE MEETING AND ANYTIME THEREAFTER BY CONTACTING THE TAX DIRECTOR OR DUKE UNIVERSITY'S TAX ATTORNEY, WHO IS ALSO INVOLVED WITH THE PREPARATION OF DUKE UNIVERSITY'S FORM 990. SUBSQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER. FORM 990, PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY. FORM 990, PART VI, SECTION B, LINE 15 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING. FORM 990, PART VI, SECTION C, LINE 18 DUKE UNIVERSITY'S FORM 990 IS AVAILABLE TO THE PUBLIC ON WWW.GUIDESTAR.ORG. GUIDESTAR INDEPENDENTLY POSTS TAX-EXEMPT ORGANIZATION'S FORM 990'S ON THEIR WEBSITE, OBTAINED FROM THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS ORGANIZING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS.PDF CHANGES IN NET ASSETS OR FUND BALANCES FORM 990, PART XI, LINE 9 NONPERIODIC CHANGES IN BENEFIT PLANS 118,670,130 CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS 49,208,506 TRANSFER FROM DUHS 62,860,799 CHANGES RELATED TO NONCONTROLLING INT 293,533,935 MEDICAL RESIDENT FICA ADJUSTMENT 10,516,523 ADJUSTMENT TO ACCRUED VACATION FOR FRINGE BENEFIT COSTS 15,777,798 OTHER CHANGES 1,263,467 ============== $ 551,831,158 DUKE UK TRUST LIMITED ALDER CASTLE 10 NOBLE LONDON UK EC2V 7QJ 980555714 DEVELOPMENT UK 330582 20001 DUKE UNIVERSITY AMER ASSOC FOR GIFTED CHILDREN - 56-1686219 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 ANGIER B DUKE MEMORIAL INC 100 NORTH TRYON STREET CHARLOTTE NC 28202 136113895 SCHOLARSHIPS NC 501(C)(3) 11 TYPE III DUKE ENDOWMENT 0 ASSOCIATED HEALTH SVCS INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 561845329 HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 ATLANTIC COAST CONFERENCE PO DRAWER ACC GREENSBORO NC 27417 560599082 ATHLETIC NC 501(C)(3) 11 TYPE 1 N/A 0 C A CANNON CHAR TRUST NO 3 1525 W WT HARRIS BLVD D1114 CHARLOTTE NC 28288 581360259 SUPPORT NC 501(C)(3) 11 TYPE III N/A 0 DAVID H MURDOCK RESEARCH INSTITUTE 150 RESEARCH CAMPUS DR KANNAPOLIS NC 28081 208730759 RESEARCH NC 501(C)(3) 11 TYPE 1 N/A 0 DU SPECIAL VENTURES FUND INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 561465177 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE ALUMNI ASSOCIATION INC 614 CHAPEL DRIVE DURHAM NC 27708 561594088 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE CORPORATE EDUCATION 310 BLACKWELL ST DURHAM NC 27701 421672476 EDUCATION NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE GIFT PROPERTIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211078 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE GLOBAL INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 611588319 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE HOSPITAL AUXILIARY INC PO BOX 2895 DURHAM NC 27710 561825604 SUPPORT NC 501(C)(3) 11 TYPE III N/A 0 DUKE MEDICINE GLOBAL SUPP CORP- 61-1593721 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE SCHOLARLY EXHIBITS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561701245 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV AFFILIATED PHYSICIANS 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 561902501 HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE UNIV PHILANTHROPIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211099 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIV SCH OF MED RESEARCH FDN 56-2247203 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DUKE UNIVERSITY HEALTH SYSTEM INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 562070036 HEALTHCARE NC 501(C)(3) LINE 3 DUKE UNIVERSITY 1 DUMAC INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 900754895 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DURHAM ASSET MGMT COMPANY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561757238 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 DURHAM REALTY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917936 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 GOTHIC CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 561776668 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 GOTHIC HSP CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 271325761 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 HIGH POINT REALTY ASSOCIATES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917939 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 IPIHD INC 310 BLACKWELL ST DURHAM NC 27710 320358709 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 1 KATHRINE R EVERETT CHARITABLE PO BOX 3001 DURHAM NC 27715 566473809 SUPPORT NC 501(C)(3) 11 TYPE 1 N/A 0 NANALINE H DUKE TRUST 100 NORTH TRYON STREET CHARLOTTE NC 28202 237270511 MED. 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