2024-05-13T06:50:01-05:00 2023-06-30 251408703 SCHNEIDER DOWNS & CO INC ONE PPG PLACE SUITE 1700 PITTSBURGH PA 15222 990 2022-07-01 250969449 CARNEGIE MELLON UNIVERSITY CARN 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 ANGELA BLANTON V PRES/CFO 4122681358 2024-05-02 1 ANGELA BLANTON 999009999 0 SUSAN M KIRSCH P00341397 4122613644 3 AAL1 IAL1 2022 2023-04-26 12:10:37Z FARNAM JAHANIAN 5000 FORBES AVENUE PITTSBURGH PA 15213 3207122806 0 X WWW.CMU.EDU X 1900 PA HIGHER EDUCATION AND RESEARCH. 41 37 15791 37 14213154 0 741288509 711410210 975484557 1039367090 248933596 120396147 10682980 10654587 1976389642 1881828034 266409801 269831597 0 0 899275069 959290440 519464 441019 32037192 346908334 411413047 1513112668 1640976103 463276974 240851931 6497771735 6841480872 1246167551 1286306566 5251604184 5555174306 X TO CREATE A TRANSFORMATIVE EDUCATIONAL EXPERIENCE FOR STUDENTS FOCUSED ON DEEP DISCIPLINARY KNOWLEDGE; PROBLEM SOLVING; LEADERSHIP, COMMUNICATION, AND INTERPERSONAL SKILLS; AND PERSONAL HEALTH AND WELL-BEING.TO CULTIVATE A TRANSFORMATIVE UNIVERSITY COMMUNITY COMMITTED TO (A) ATTRACTING AND RETAINING DIVERSE, WORLD-CLASS TALENT; (B) CREATING A COLLABORATIVE ENVIRONMENT OPEN TO THE FREE EXCHANGE OF IDEAS, WHERE RESEARCH, CREATIVITY, INNOVATION, AND ENTREPRENEURSHIP CAN FLOURISH; AND (C) ENSURING INDIVIDUALS CAN ACHIEVE THEIR FULL POTENTIAL.TO IMPACT SOCIETY IN A TRANSFORMATIVE WAY - REGIONALLY, NATIONALLY, AND GLOBALLY - BY ENGAGING WITH PARTNERS OUTSIDE THE TRADITIONAL BORDERS OF THE UNIVERSITY CAMPUS. 0 0 898101585 234454924 948786481 INSTRUCTION:CARNEGIE MELLON IS A HYBRID OF A TECHNICAL INSTITUTE, FINE-ARTS CONSERVATORY AND TRADITIONAL RESEARCH UNIVERSITY, HAVING EVOLVED IN RESPONSE TO EMERGING SOCIAL NEEDS AND INTELLECTUAL DEVELOPMENT OF THE PAST CENTURY. UNITING TECHNOLOGY AND ARTS, FUSING THE PRACTICAL WITH THE IMAGINATIVE, MAINTAINING ITS EDUCATIONAL EMPHASIS ON DEVELOPING SKILLS TO SOLVE PROBLEMS.INCLUDES 7 COLLEGES AND SCHOOLS OFFERING DEGREE PROGRAMS AND MORE THAN 100 MAJORS AND MINORS TO APPROXIMATELY 16,800 UNDERGRADUATES, GRADUATES AND DOCTORAL STUDENTS. INSTRUCTION INCLUDES ACADEMIC SUPPORT AND STUDENT SERVICES.CARNEGIE MELLON HAS ITS MAIN CAMPUS IN PITTSBURGH, SATELLITE CAMPUSES IN SILICON VALLEY AND DOHA, QATAR, AND DEGREE-GRANTING PROGRAMS IN COORDINATION WITH GLOBAL PROGRAMS INCLUDING AUSTRALIA, JAPAN, PORTUGAL, RWANDA, AND THAILAND.NATIONALLY AND GLOBALLY, CARNEGIE MELLON HAS BECOME A MAJOR VOICE OF CONNECTIVITY IN TECHNOLOGY, EXPANSION OF EDUCATIONAL OPPORTUNITY AND ECONOMIC DEVELOPMENT. 421182676 35376673 0 RESEARCH:CARNEGIE MELLON HOLDS A PROUD VISION OF ITSELF AS A DISTINCTIVE AND DIFFERENT KIND OF RESEARCH UNIVERSITY WHERE NATIONALLY RECOGNIZED PROGRAMS FROM ACROSS THE LEADING DISCIPLINES, FROM COMPUTING AND ENGINEERING TO FINE ARTS, INTERSECT. IT IS A DECENTRALIZED COMMUNITY OF SCIENTISTS AND INTELLECTUALS, ARTISTS AND POLICYMAKERS, BUSINESS EXPERTS AND POETS. THE DIVERSE AND DECENTRALIZED COMMUNITY THAT CHARACTERIZES CARNEGIE MELLON CULTURE RESTS ON A SET OF CORE UNDERPINNINGS AND A STRONG COMMITMENT TO REAL-WORLD PROBLEM SOLVING, INTERDISCIPLINARY COLLABORATION AND HARD WORK, COMBINED WITH JOIE DE VIVRE.EACH OF THESE REQUIRES CONNECTIONS AMONG ENGINEERING, SCIENCE, POLICY AND MANAGEMENT, AND THE ARTS. BASIC RESEARCH IS PERFORMED IN ALL 7 COLLEGES AND SCHOOLS AND THE SOFTWARE ENGINEERING INSTITUTE. CARNEGIE MELLON IS ALSO THE HOME OF NUMEROUS RESEARCH INSTITUTES AND CENTERS FOCUSING ON SOME OF THE WORLD'S GREATEST CHALLENGES.CARNEGIE MELLON'S RESEARCH-INTENSIVE ENVIRONMENT PROVIDES A RICH SETTING FOR THE UNIVERSITY'S EDUCATIONAL OFFERINGS AND ASPIRATIONS. THE SEARCH FOR NEW KNOWLEDGE AND A SPIRIT OF ONGOING CRITICAL INQUIRY ARE THE IDEALS THAT PERMEATE ITS APPROACH TO TEACHING AND ITS EXPECTATIONS FOR WHAT STUDENTS WILL ACHIEVE. 135727782 0 79117818 AUXILIARY SERVICES:SERVICES TO SUPPORT THE INSTRUCTION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. THESE SERVICES INCLUDE BUT ARE NOT LIMITED TO HOUSING, DINING SERVICES, PARKING, BOOKSTORE, PRINTING, TELECOMMUNICATIONS, AND OTHER SERVICES RELATED TO THE DELIVERY OF EDUCATION AND RESEARCH. 9071732 0 11462791 OTHER PROGRAM SERVICES:OTHER FEES AND MEMBERSHIPS, EXTERNAL SUPPORT AND SERVICES AND OTHER MISCELLANEOUS PROGRAM SERVICE REVENUE THAT SUPPORTS THE INSTRUCTION, RESEARCH, AND AUXILIARY FUNCTIONS OF THE UNIVERSITY. 9071732 0 11462791 1464083775 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 0 0 1 24026 0 1 15791 1 1 1 1 AS QA RW 0 0 0 1 1 0 0 0 0 1 0 X 41 37 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 PA X CARRIE NELSON 4122681358 5000 FORBES AVENUE PITTSBURGH PA 15213 X EDWARD GREFENSTETTE VOTING TRUSTEE (PRES/CEO, DIETRICH FDN) 1.00 50.00 X 0 2134476 1854743 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 50.00 3.00 X X 1919046 25000 92161 NEIL DONAHUE EX-OFFICIO TRUSTEE/PROFESSOR 50.00 0.00 X 236503 0 36868 JAMES E ROHR VOTING TRUSTEE 1.00 0.00 X 0 25000 0 DAVID COULTER CHAIR/VOTING TRUSTEE 2.50 0.00 X X 0 0 0 TOD S JOHNSON VICE CHAIR/VOTING TRUSTEE 2.00 0.00 X X 0 0 0 ANNE M MOLLOY VICE CHAIR/VOTING TRUSTEE 3.50 0.00 X X 0 0 0 JOEL P ADAMS VOTING TRUSTEE 2.00 2.00 X 0 0 0 LANE M BESS VOTING TRUSTEE 2.50 0.00 X 0 0 0 RONALD BIANCHINI JR VOTING TRUSTEE 1.50 0.00 X 0 0 0 KEITH BLOCK VOTING TRUSTEE 1.50 0.00 X 0 0 0 DARRYL BRITT VOTING TRUSTEE 2.00 0.00 X 0 0 0 FRANK BRUNCKHORST VOTING TRUSTEE 2.00 0.00 X 0 0 0 NATHALIE COWAN VOTING TRUSTEE 1.00 0.00 X 0 0 0 RUSSELL CROCKETT VOTING TRUSTEE 1.00 5.00 X 0 0 0 JEANNE CUNICELLI VOTING TRUSTEE 1.44 0.00 X 0 0 0 SHRINIVAS V DEMPO VOTING TRUSTEE 0.16 0.00 X 0 0 0 FRANCISCO B D'SOUZA VOTING TRUSTEE 4.00 0.00 X 0 0 0 HOWARD L ELLIN VOTING TRUSTEE 5.00 0.00 X 0 0 0 BRIT MCCANDLESS FARMER EX-OFFICIO TRUSTEE 0.60 0.00 X 0 0 0 EDWARD H FRANK VOTING TRUSTEE 1.00 0.00 X 0 0 0 YOSHIAKI FUJIMORI VOTING TRUSTEE 0.50 0.00 X 0 0 0 MAYOR ED GAINEY EX-OFFICIO TRUSTEE 0.08 0.00 X 0 0 0 ERIC GILER VOTING TRUSTEE 1.00 0.00 X 0 0 0 AJEI GOPAL VOTING TRUSTEE 0.67 0.67 X 0 0 0 TORRENCE M HUNT JR VOTING TRUSTEE 2.00 0.00 X 0 0 0 LARRY E JENNINGS JR VOTING TRUSTEE 5.00 0.00 X 0 0 0 THERESA KAIL-SMITH EX-OFFICIO TRUSTEE 1.00 0.00 X 0 0 0 RAYMOND J LANE VOTING TRUSTEE 0.75 1.00 X 0 0 0 BRUCE M MCWILLIAMS VOTING TRUSTEE 3.00 0.00 X 0 0 0 DAVID L PORGES VOTING TRUSTEE 1.00 0.00 X 0 0 0 SAM REIMAN VOTING TRUSTEE 0.90 0.00 X 0 0 0 J LEA HILLMAN SIMONDS VOTING TRUSTEE 0.50 0.00 X 0 0 0 MANOJ P SINGH VOTING TRUSTEE 4.00 0.00 X 0 0 0 LUKE SKURMAN VOTING TRUSTEE 3.00 0.00 X 0 0 0 LIP-BU TAN VOTING TRUSTEE 1.00 1.00 X 0 0 0 DAVID A TEPPER VOTING TRUSTEE 5.00 0.00 X 0 0 0 THOMAS TULL VOTING TRUSTEE 0.50 0.00 X 0 0 0 TAMARA TUNIE VOTING TRUSTEE 0.20 0.00 X 0 0 0 PAULA KAUFFMAN WAGNER VOTING TRUSTEE 3.00 0.00 X 0 0 0 JOHN WATTS EX-OFFICIO TRUSTEE 2.00 0.00 X 0 0 0 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 50.00 1.00 X 1533626 0 649102 JAMES H GARRETT PROVOST & CAO 50.00 0.10 X 759095 0 49569 MARY JO DIVELY VPGENCOUN & SEC. OF THE CORPORATION 50.00 0.20 X 727026 0 47673 SCOTT MORY VP FOR UNIV. ADVANCEMENT 50.00 0.00 X 720291 0 37321 DARYL WEINERT VP FOR OPS & INTERIM V.P. FOR RESEARCH 50.00 0.00 X 619670 0 68077 NICHOLAS SCIBETTA VP FOR UNIV. COMM. & MARKET.(EXITED 4/23) 50.00 2.00 X 476666 0 205442 STAN WADDELL VP FOR INFO TECH & CHIEF INFO OFFICER 50.00 0.00 X 429826 0 111985 ANGELA BLANTON V.P. OF FINANCE & CFO 50.00 0.20 X 469555 0 63238 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 50.00 0.00 X 402206 0 25819 CARRIE NELSON ASSISTANT TREASURER 50.00 1.00 X 308495 0 26683 JOHN DOLAN TREASURER 50.00 0.00 X 271018 0 44283 KATE LIPPERT ASSISTANT SEC. OF THE CORP. 50.00 0.00 X 132686 0 36337 MARTIAL HEBERT PROF DEAN SCHOOL OF COMPUTER SCIENCE 50.00 0.00 X 511375 0 55425 WILLIAM SANDERS PROF DEAN COLLEGE OF ENGINEERING 50.00 0.00 X 528889 0 32490 MICHAEL TRICK DEAN, QATAR CAMPUS 50.00 0.00 X 915214 0 89479 ALLEN L ROBINSON DIRECTOR OF CMU-AFRICA 50.00 0.00 X 655608 0 113737 ISABELLE BAJEUX BESNAINOU PROF. & DEAN, TEPPER SCH. OF BUS. 50.00 0.00 X 687473 0 55143 PAUL D NIELSEN DIRECTOR & CEO, SEI 50.00 0.00 X 678863 0 34803 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 50.00 0.00 X 661428 0 46303 LAURIE WEINGART FORMER OFFICER/PROFESSOR 50.00 0.00 X 375015 0 49185 J MICHAEL MCQUADE FORMER OFFICER/SPEC. ADVISOR TO PRES. 7.50 0.00 X 143158 0 0 JONATHAN CAGAN FORMER KE/PROFESSOR 50.00 0.00 X 348839 0 84459 TOM MITCHELL FORMER KE/PROFESSOR 50.00 0.00 X 338519 0 42211 14850090 2184476 3952536 1919 1 1 0 MOSITES CONSTRUCTION 400 MOSITES WAY STE 100 PITTSBURGH PA 15205 CONSTRUCTION 30571657 PJ DICK INC 225 NORTH SHORE DRIVE PITTSBURGH PA 15212 CONSTRUCTION 26353280 MASCARO CONSTRUCTION CO LP 1720 METROPOLITAN ST PITTSBURGH PA 15233 CONSTRUCTION 20078118 ARAMARK CORP 5001 GREAT AMERICA PKWY SANTA CLARA CA 95054 CLEANING SERVICES 15666700 COMPASS GROUP USA 2400 YORKMONT ROAD CHARLOTTE NC 28217 DINING SERVICES 13070009 163 29765462 408107612 273537136 7555054 711410210 TUITION 900099 948786481 948786481 AUXILIARY SERVICES 611710 79117818 78626492 491326 OTHER PROGRAM SERVICES 900099 11462791 11462791 1039367090 76454997 13698987 62756010 5077284 5077284 2836016 3400 454370 0 2381646 3400 2385046 22841 2362205 1365614172 308862 1321981884 0 43632288 308862 43941150 43941150 38120 21794 16326 16326 6012655 2836724 3175931 3175931 1881828034 1038875764 14213154 117328906 35376673 35376673 202767924 202767924 31687000 31687000 11451302 2415729 7026866 2008707 1509356 1333961 116333 59062 778807328 709539204 52043608 17224516 45071218 40021757 3624292 1425169 81213512 76085324 2327051 2801137 41237724 36416808 3482639 1338277 5661969 3365797 2269639 26533 1926537 87176 1839361 472026 472026 441019 441019 9087460 9087460 33885824 20559181 12447198 879445 3743359 1802236 1925600 15523 12276150 9201453 2080569 994128 35645101 29698155 4282887 1664059 1419164 1419164 66550215 56404295 10139976 5944 36538369 29722813 5367626 1447930 407 407 16484964 14006085 1562328 916551 22818781 21598031 1220750 82622951 77761635 4861316 5015321 4328200 685388 1733 FOOD SERVICE OPERATIONS 24366622 24008498 358124 INFORMATION RESOURCES 10562661 10340863 125496 96302 NON-CAPITAL EQUIPMENT 9087823 5401355 3685223 1245 FABRICATED EQUIPMENT 2514201 2508349 5852 30733142 15753676 14289554 689912 1640976103 1464083775 144855136 32037192 62616 70836 759528903 972506063 296455613 395654888 43237889 29276583 60000 60000 1742457 1947981 21329656 18363412 2536144008 1225562946 1218115207 1310581062 1772226545 1708980430 2222508070 2247550178 162504779 156489439 6497771735 6841480872 195943214 189369486 171989637 162939629 522767063 516627200 235545480 314187973 119922157 103182278 1246167551 1286306566 X 2140485087 2265889736 3111119097 3289284570 5251604184 5555174306 6497771735 6841480872 X 240851931 57020070 5698121 X X 0 1 X 1 1 1 X 535341387 612326605 921966188 740589814 711465052 3521689046 535341387 612326605 921966188 740589814 711465052 3521689046 329185547 3192503499 58028833 47697739 40248451 43431771 84371697 273778491 3795467537 4607161327 0.84110 0.84810 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 472026 472026 472026 472026 1643354152 1644630211 1643826178 1645102237 1000000 1000000 250000 250000 0 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 485004 408991 425625 472026 1791646 250000 250000 250000 250000 1000000 1500000 493050 5877326 X X X X X AUGMENT TEACHING AND LEARNING 0 3030995181 132510133 84165181 27610042 95251205 7951805 3116857443 3090015040 156659189 -103322589 22758880 83063102 6534477 3030995181 2067357168 216973683 906059029 21191800 73125703 6057337 3090015040 2000803747 55715841 102387595 19689081 66445609 5415325 2067357168 1885377148 58617910 142695818 18523816 62487829 4875484 2000803747 0.17420 0.43920 0.38660 0 1 1 57776094 57776094 1735451174 831383897 904067277 37526449 24552195 12974254 380685408 281768306 98917102 324704883 87858548 236846335 1310581062 REAL ESTATE 162956021 F VENTURE CAP. & PRIV. EQ 1288058950 F AGGRESSIVE, DISTRESSED & ARBITRAGE FIXED INCOME 20975220 F NATURAL RESOURCES 120042617 F HEDGE FUNDS 298614367 F LOCAL REGION 7208775 F EMERGING MARKET 349694228 F 2247550178 CONTRACT RETENTIONS 7987964 GATE STUDENT LOAN PROGRAM 53406 ASSET RETIREMENT OBLIGATION-FIN 47 4863352 FEDERAL LOAN PROGRAMS & STUDENT DEPOSITS 5033845 PRESENT VALUE OF ANNUITIES DUE 14446321 SWAP AGREEMENTS/CONTRACTS 6917138 FEDERAL, STATE, AND LOCAL TAXES PAYABLE 359313 MISC. OTHER LIABILITIES 9886 PV ANNUITIES FOR PROPERTY ACQS 2171593 RIGHT OF USE LIABILITY 61306956 AGENCY FUNDING 32504 103182278 X 1780004669 57020070 15200874 33811362 106032306 1673972363 9087460 198768211 207855671 1881828034 1476391401 15200874 27948871 43149745 1433241656 9087460 198646987 207734447 1640976103 PART III, LINE 4: CARNEGIE MELLON UNIVERSITY MAINTAINS VARIOUS COLLECTIONS INCLUDING COLLECTIONS OF ART, HISTORIC ARTIFACTS, AND OTHER SIMILAR ASSETS TO SUPPORT THE EDUCATION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. PART V, LINE 4: THE CARNEGIE MELLON ENDOWMENT IS A COLLECTION OF INDIVIDUAL FUNDS PRIMARILY ESTABLISHED BY DONORS AND MANAGED BY THE UNIVERSITY AS A POOLED SET OF ASSETS. IN ACCORDANCE WITH THE PENNSYLVANIA ACT 141 AND DONOR INTENT, THE UNIVERSITY SPENDS A PREDETERMINED PORTION OF THE ENDOWMENT INCOME EACH YEAR ON FACULTY SUPPORT, STUDENT SUPPORT, AND GENERAL UNIVERSITY SUPPORT. PART X, LINE 2: CARNEGIE MELLON IS A NONPROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE "CODE") AND IS GENERALLY EXEMPT FROM INCOME TAXES ON RELATED INCOME PURSUANT TO SECTION 501(A) OF THE CODE. THE UNIVERSITY ACCOUNTS FOR UNCERTAINTIES IN INCOME TAXES IN ACCORDANCE WITH AUTHORITATIVE GUIDANCE, WHICH PRESCRIBES A RECOGNITION THRESHOLD OF MORE-LIKELY-THAN-NOT TO BE SUSTAINED UPON EXAMINATION BY THE APPROPRIATE TAXING AUTHORITY. MEASUREMENT OF THE TAX UNCERTAINTY OCCURS IF THE RECOGNITION THRESHOLD HAS BEEN MET. MANAGEMENT DETERMINED THERE WERE NO TAX UNCERTAINTIES THAT MET THE RECOGNITION THRESHOLD AT JUNE 30, 2023 AND 2022. THE UNIVERSITY'S FEDERAL EXEMPT ORGANIZATION BUSINESS INCOME TAX RETURNS REMAIN SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE FOR THE YEARS SUBSEQUENT TO JUNE 30, 2019. THE UNIVERSITY'S POLICY IS TO RECOGNIZE INTEREST RELATED TO UNRECOGNIZED TAX BENEFITS IN INTEREST EXPENSE AND PENALTIES IN OPERATING EXPENSES. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 2,836,724. SUBSIDIARY REVENUE 24,810,641. RENTAL EXPENSE 454,370. CHANGE IN SWAP VALUE NET OF INTEREST EXP 5,629,315. TRANSLATION ADJUSTMENT & OTHER 25,470. GAIN FROM ADJUSTMENTS OF PLEDGES RECEIVABLE 54,842. PART XI, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 198,674,484. GAIN ON SALE OF ASSETS -2,028. LAMME DISTRIBUTION 79,429. NET GAIN FROM FUNDRAISING EVENT 16,326. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 2,836,724. SUBSIDIARY EXPENSE 24,657,777. RENTAL EXPENSE 454,370. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 198,674,484. TRANSLATION ADJUSTMENT & OTHER -25,469. GAIN ON SALE OF ASSETS -2,028. PART XII: RECONCILIATION OF REVENUE PER AUDITED FINANCIAL STATEMENTS WITH REVENUE PER RETURN AND PART XIII - RECONCILIATION OF EXPENSES PER AUDITED FINANCIAL STATEMENTS WITH EXPENSES PER RETURN: LINE 1 OF EACH PART RESPECTIVELY CONSISTS OF CONSOLIDATED NUMBERS FROM THE AUDITED FINANCIAL STATEMENTS AND RECONCILES TO THE STAND-ALONE (SEPARATE BASIS) REVENUE AND EXPENSES AS REPORTED ON THE FORM 990, PART I, LINE 12. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE NON-DISCRIMINATORY POLICY AND STATEMENT OF ASSURANCE APPEARS ON PRINTED MATERIALS USED TO COMMUNICATE WITH PROSPECTIVE AND CURRENT STUDENTS AS WELL AS EMPLOYEES OF CARNEGIE MELLON UNIVERSITY. ADDITIONALLY, THE STATEMENT OF ASSURANCE CAN BE FOUND ON CMU'S WEBSITE. SCHEDULE E, PART I, LINE 6 MONETARY GRANTS WERE RECEIVED FROM FEDERAL AND STATE AGENCIES TO PROVIDE ASSISTANCE TO STUDENTS ATTENDING CARNEGIE MELLON UNIVERSITY. 1 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 1596324 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 14917381 SUB-SAHARAN AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 13957873 EAST ASIA AND THE PACIFIC 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 660840 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 506366 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION INTERNATIONAL STUDIES 48216 EAST ASIA AND THE PACIFIC 1 27 PROGRAM SERVICES EDUCATION 5368283 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PROGRAM SERVICES EDUCATION 4148456 MIDDLE EAST AND NORTH AFRICA 1 192 PROGRAM SERVICES EDUCATION 50974360 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 PROGRAM SERVICES EDUCATION 525402 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 190501 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 426901 SUB-SAHARAN AFRICA 2 167 PROGRAM SERVICES EDUCATION 16527454 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 89508 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EDUCATION 20669 SUB-SAHARAN AFRICA 0 0 PORTFOLIO INVESTMENTS 54525389 EAST ASIA AND THE PACIFIC 0 0 PORTFOLIO INVESTMENTS 20820677 NORTH AMERICA 0 0 PORTFOLIO INVESTMENTS 45673463 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PORTFOLIO INVESTMENTS 1085066962 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 PORTFOLIO INVESTMENTS 240196402 1 27 3 359 4 386 41203739 1515037688 1556241427 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM SUBCONTRACTS 713450 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A SUB-SAHARAN AFRICA SUBCONTRACTS 982098 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES SUBCONTRACTS 506366 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A EAST ASIA AND THE PACIFIC SUBCONTRACTS 260984 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A MIDDLE EAST AND NORTH AFRICA SUBCONTRACTS 229834 CASH; ELECTRONIC FUND TRANSFER 0 N/A N/A 11 13 STUDENT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 32 399856 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 294 14687547 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS SUB-SAHARAN AFRICA 291 12975775 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIU 42 879624 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A STUDENT SCHOLARSHIPS CENTRAL AMERICA AND THE CARIBBEAN 5 48216 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCOUNT N/A N/A 1 0 1 1 1 1 PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO STUDENTS AT ITS INTERNATIONAL LOCATIONS PURSUANT TO A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, AS WELL AS FINANCIAL NEED. SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. THESE FUNDS ARE MONITORED BY THE OFFICE OF SPONSORED PROJECTS AND SPONSORED PROJECTS ACCOUNTING. 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FOR STUDENTS, SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. OTHER TYPES OF GRANTS AND ASSISTANCE MIGHT INCLUDE, FOR EXAMPLE, RECIPIENTS OF PRIZES AND AWARDS WHO HAVE MET THE SPECIFIC CRITERIA FOR THE PARTICULAR PRIZE OR AWARD TO BE SELECTED. IN THE CASE OF SCHOLARSHIPS AND FELLOWSHIPS, THE RECIPIENT IS OFTEN REQUIRED TO UTILIZE THE FUNDS IN FURTHERANCE OF THEIR EDUCATION AND RESEARCH AT CMU. GRANTS ARE ALSO MADE IN THE CONTEXT OF ACADEMIC OR RESEARCH PROGRAMS AND RECIPIENTS SPEND THEIR GRANT FUNDS UNDER THE SUPERVISION OF THE PROGRAM FOR THE USE OF THE FUNDS. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. FUNDS ARE SPENT UNDER THE SUPERVISION OF THE PRINCIPAL INVESTIGATORS AND ARE ACCOUNTABLE TO FEDERAL AND SPONSOR TERMS AND CONDITIONS. X X X X X X X 1 1 X X X X X X 1 1 0 0 0 0 0 1 0 EDWARD GREFENSTETTE VOTING TRUSTEE (PRES/CEO, DIETRICH FDN) 0 789908 0 1087500 0 257068 0 1825333 0 29410 0 3989219 0 1337240 CHARLES A KENNEDY CHIEF INVESTMENT OFFICER 510311 0 976658 0 46657 0 619566 0 29536 0 2182728 0 662198 0 FARNAM JAHANIAN PRESIDENT/EX-OFFICIO TRUSTEE 1134646 25000 400000 0 384400 0 24400 0 67761 0 2011207 25000 0 0 MICHAEL TRICK DEAN, QATAR CAMPUS 446463 0 0 0 468751 0 24400 0 65079 0 1004693 0 0 0 JAMES H GARRETT PROVOST & CAO 646874 0 50000 0 62221 0 24400 0 25169 0 808664 0 0 0 MARY JO DIVELY VPGENCOUN & SEC. OF THE CORPORATION 635581 0 30000 0 61445 0 24400 0 23273 0 774699 0 0 0 ALLEN L ROBINSON DIRECTOR OF CMU-AFRICA 383357 0 0 0 272251 0 24400 0 89337 0 769345 0 0 0 SCOTT MORY VP FOR UNIV. ADVANCEMENT 577072 0 100000 0 43219 0 24400 0 12921 0 757612 0 0 0 ISABELLE BAJEUX BESNAINOU PROF. & DEAN, TEPPER SCH. OF BUS. 642801 0 0 0 44672 0 29829 0 25314 0 742616 0 0 0 PAUL D NIELSEN DIRECTOR & CEO, SEI 608031 0 25000 0 45832 0 24400 0 10403 0 713666 0 0 0 KRZYSZTOF MATYJASZEWSKI JC WARNER UNIV. PROF. OF NAT. SCI. 615929 0 0 0 45499 0 29829 0 16474 0 707731 0 0 0 DARYL WEINERT VP FOR OPS & INTERIM V.P. FOR RESEARCH 560954 0 30000 0 28716 0 24400 0 43677 0 687747 0 0 0 NICHOLAS SCIBETTA VP FOR UNIV. COMM. & MARKET.(EXITED 4/23) 419849 0 15000 0 41817 0 135125 0 70317 0 682108 0 0 0 MARTIAL HEBERT PROF DEAN SCHOOL OF COMPUTER SCIENCE 490452 0 0 0 20923 0 29829 0 25596 0 566800 0 0 0 WILLIAM SANDERS PROF DEAN COLLEGE OF ENGINEERING 517350 0 0 0 11539 0 29829 0 2661 0 561379 0 0 0 STAN WADDELL VP FOR INFO TECH & CHIEF INFO OFFICER 370244 0 15000 0 44582 0 24400 0 87585 0 541811 0 0 0 ANGELA BLANTON V.P. OF FINANCE & CFO 421620 0 15000 0 32935 0 24400 0 38838 0 532793 0 0 0 JONATHAN CAGAN FORMER KE/PROFESSOR 330701 0 0 0 18138 0 25335 0 59124 0 433298 0 0 0 GINA CASALEGNO VP FOR STUDENT AFFAIRS & DEAN OF STUDENTS 355197 0 30000 0 17009 0 24400 0 1419 0 428025 0 0 0 LAURIE WEINGART FORMER OFFICER/PROFESSOR 300995 0 0 0 74020 0 27269 0 21916 0 424200 0 0 0 TOM MITCHELL FORMER KE/PROFESSOR 314702 0 0 0 23817 0 24995 0 17216 0 380730 0 0 0 CARRIE NELSON ASSISTANT TREASURER 295283 0 10000 0 3212 0 23682 0 3001 0 335178 0 0 0 JOHN DOLAN TREASURER 249585 0 20000 0 1433 0 20968 0 23315 0 315301 0 0 0 NEIL DONAHUE EX-OFFICIO TRUSTEE/PROFESSOR 232561 0 0 0 3942 0 17488 0 19380 0 273371 0 0 0 KATE LIPPERT ASSISTANT SEC. OF THE CORP. 130789 0 0 0 1897 0 11368 0 24969 0 169023 0 0 0 J MICHAEL MCQUADE FORMER OFFICER/SPEC. ADVISOR TO PRES. 143125 0 0 0 33 0 0 0 0 0 143158 0 0 0 PART I, LINE 1A ALL ITEMS CHECKED IN LINE 1A ARE PROVIDED TO OR FOR A PERSON LISTED IN FORM 990, PART VII TO FURTHER THE BUSINESS, EDUCATIONAL, AND RESEARCH MISSION OF THE UNIVERSITY PURSUANT TO FEDERAL TAX REGULATIONS, IRS ACCOUNTABLE PLAN RULES, AND THE UNIVERSITY'S POLICIES AND PROCEDURES. NONTAXABLE BENEFITS DISCLOSED IN COLUMN D INCLUDE, FOR EXAMPLE, CONTRIBUTIONS TO EMPLOYER HEALTH AND WELFARE PLANS AND QUALIFIED TUITION BENEFITS. PART I, LINES 4A-B FARNAM JAHANIAN PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. THESE BENEFITS ARE REPORTED IN PART II, COLUMN (B). EFFECTIVE MAY 1, 2023, NICHOLAS SCIBETTA WAS NO LONGER EMPLOYED BY THE UNIVERSITY. IN CONJUNCTION WITH HIS DEPARTURE, THE UNIVERSITY AND NICHOLAS SCIBETTA NEGOTIATED SEVERANCE BENEFITS WHICH WERE ACCRUED AT JUNE 30, 2023 AND ARE INCLUDED IN PART II, COLUMN (C). PART I, LINE 7 ALL BONUSES PAID WERE AWARDED AS A RESULT OF PERFORMANCE AND WERE APPROVED BY THE COMPENSATION COMMITTEE. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729ELB1 2022-02-16 32395500 SEE PART VI. 0 0 0 B ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729ELA3 2022-01-27 83168063 SEE PART VI. 0 0 0 C ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RNC9 2020-02-05 60806037 SEE PART VI. 0 0 0 D ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMX4 2019-01-23 120435248 SEE PART VI. 0 0 0 A 33441319 113172 3377996 29950151 0 0 0 1 B 83168064 363064 82805000 1 0 0 1 C 60952282 287917 60662177 2188 2022 0 0 0 1 D 120495357 418774 120076497 86 1 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 0 0.00100 0.00000 0.00100 0 0 1 D 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 1 1 1 1 0 0 0 1 C 0 1 0 0 0 0 0 1 1 D 0 1 1 1 1 0 0 0 1 A 1 B 1 C 1 D 1 ENTITY 1: COLUMN A: PART I(F) - THE BONDS WERE ISSUED TO FINANCE NEW CONSTRUCTION. COLUMN A: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN A: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN B: PART I(F) - THE BONDS CURRENT REFUNDED THE SERIES 2012B REISSUED BONDS (ISSUED DECEMBER 27, 2017) AND SERIES 2012A BONDS (ISSUED MARCH 1, 2012). COLUMN B: PART II, LINE 13 - SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN B: PART III - BECAUSE PROCEEDS OF THE BONDS WERE USED TO REFUND BONDS ISSUED BEFORE JANUARY 1, 2003, THE ISSUER HAS NOT COMPLETED PART III WITH RESPECT TO THE BONDS. COLUMN B: PART IV, LINE 2(B) - THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN B: PART IV, LINE 2(C) - THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. COLUMN C: PART I(F) - THE BONDS WERE ISSUED TO FINANCE NEW CONSTRUCTION. COLUMN C: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN C: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN D: PART I(F) - THE BONDS WERE ISSUED TO REFUND SERIES 2009 BONDS ON AUGUST 20, 2009. COLUMN D: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN D: PART II, LINE 13 - SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN D: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN D: PART IV, LINE 2(B) - THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN D: PART IV, LINE 2(C) - THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. ENTITY 2: COLUMN A: PART I(F) - THE BONDS CURRENT REFUNDED PORTIONS OF THE SERIES 2009 BONDS (ISSUED AUGUST 20, 2009) AND TAXABLE COMMERCIAL PAPER NOTES (ISSUED FEBRUARY 24, 2015). COLUMN A: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN A: PART II, LINE 13 - SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN A: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN A: PART IV, LINE 2(B) - THE BONDS HAVE MET THE 6-MONTH EXPENDITURE EXCEPTION TO THE REBATE REQUIREMENT. COLUMN A: PART IV, LINE 2(C) - THE BONDS HAVE MET AN EXCEPTION TO THE REBATE REQUIREMENT; AND THEREFORE, NO REBATE HAS BEEN, OR EVER WILL BE, DUE ON THE BONDS. COLUMN B: PART I(F) - BONDS WERE ISSUED TO FINANCE NEW CONSTRUCTION. COLUMN B: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN B: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN B: PART IV, LINE 2(C) - THE MOST RECENT REBATE REPORT WAS PREPARED BY THE BORROWER AND DATED FEBRUARY 13, 2018. COLUMN C: PART I(F) - BONDS CURRENT REFUNDED SERIES 2006AB BONDS (ISSUED DECEMBER 13, 2006) AND SERIES 2007 BONDS (ISSUED MARCH 1, 2007). COLUMN C: THE DIFFERENCE BETWEEN PART I(E) AND PART II, LINE 3 IS DUE TO INTEREST EARNINGS ON BOND PROCEEDS. COLUMN C: PART II, LINE 13 - SINCE PROCEEDS OF THE BONDS WERE ISSUED FOR REFUNDING PURPOSES, THE YEAR OF SUBSTANTIAL COMPLETION IS NOT APPLICABLE. COLUMN C: PART III, LINE 7 - AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN C: PART IV, LINE 2(C) - THE MOST RECENT REBATE REPORT WAS PREPARED BY THE BORROWER AND DATED AUGUST 16, 2023. A ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RMP1 2017-07-19 77823681 SEE PART VI. 0 0 0 B ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01729EKY2 2013-02-14 60529980 SEE PART VI. 0 0 0 C ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RES4 2008-04-10 120820000 SEE PART VI. 0 0 0 A 77839863 341465 77498398 1 0 1 1 B 10000000 60575582 36398 463813 60045471 29900 2016 0 0 1 1 C 120821573 493831 120327742 1 0 1 1 A 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 1 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 1 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 1 0 0 0 1 A 1 B 1 C 1 L SMITH J. GARRETT - CMU OFFICER - BROTHER OF L. SMITH - CMU EMPLOYEE 90779 COMPENSATION FOR ASSOCIATE DIRECTOR OF STUDENT ACCOUNTS 0 SMITH POINT CAPITAL LLC K. BLOCK -CMU VOTING TRUSTEE-FOUNDER & CEO OF SMITH POINT-UNIVERSITY VENDOR 175466 PAYMENTS MADE TO SMITH POINT CAPITAL LLC FOR CAPITAL CALL 0 X 3 493050 APPRAISAL X 172 5314873 FAIR MARKET VALUE X EXTENDED DISCOUNT ON INSTRUMENTATION 20 1526970 COST X SOFTWARE AND LICENSES/CRYPTOCURRENCY 6 111417 FAIR MARKET VALUE X TOOLS/MISC. EQUIP./MISC. ITEMS/MUSIC EQUIPMENT 10 89639 FAIR MARKET VALUE AN X EVENT EXPENSE/ALUMNI EVENT EXPENSES 13 19105 COST 2 0 1 0 SCHEDULE M, PART I, COLUMN (B): THE NUMBER SHOWN IN COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS CARNEGIE MELLON UNIVERSITY RECEIVED FOR EACH TYPE OF PROPERTY FOR THE YEAR ENDED JUNE 30, 2023. FORM 990, PART VI, SECTION A, LINE 2 JAMES ROHR, EDWARD GREFENSTETTE, AND FARNAM JAHANIAN HAVE A BUSINESS RELATIONSHIP. FARNAM JAHANIAN AND LIP-BU TAN HAVE A BUSINESS RELATIONSHIP. FARNAM JAHANIAN AND LANE BESS HAVE A BUSINESS RELATIONSHIP. EDWARD GREFENSTETTE AND JOEL ADAMS HAVE A BUSINESS RELATIONSHIP. KEITH BLOCK AND DAVID TEPPER HAVE A BUSINESS RELATIONSHIP. KEITH BLOCK AND DAVID COULTER HAVE A BUSINESS RELATIONSHIP. KEITH BLOCK AND TOD JOHNSON HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 7A CARNEGIE MELLON HAS SIX EX-OFFICIO TRUSTEES WHO ARE MEMBERS OF THE BOARD OF TRUSTEES BY HOLDING THE FOLLOWING OFFICES: MAYOR OF THE CITY OF PITTSBURGH PRESIDENT OF COUNCIL OF THE CITY OF PITTSBURGH PRESIDENT OF CARNEGIE MELLON UNIVERSITY PRESIDENT OF CARNEGIE MELLON ALUMNI ASSOCIATION PRESIDENT OF THE ANDREW CARNEGIE SOCIETY OF CARNEGIE MELLON CHAIRMAN OF CARNEGIE MELLON FACULTY SENATE EX-OFFICIO TRUSTEES SHALL BE FULL VOTING MEMBERS OF THE BOARD OF TRUSTEES, WITH ALL RIGHTS AND RESPONSIBILITIES THERETO, EXCEPT AS FOLLOWS: THEY SHALL BE WELCOME AT ALL OPEN SESSIONS OF ALL FULL BOARD MEETINGS AND, IF REQUESTED BY THE CHAIR, AT CLOSED EXECUTIVE SESSIONS; AND THE PRESIDENT OF CARNEGIE MELLON UNIVERSITY SHALL HAVE NO VOTING RIGHTS WHEN SERVING AS A MEMBER OF THE AUDIT COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B CARNEGIE MELLON UNIVERSITY'S TAX DEPARTMENT IS RESPONSIBLE FOR GATHERING RELEVANT INFORMATION AND PREPARING THE ANNUAL FORM 990. ONCE THE FORM IS COMPLETE IN DRAFT STATUS, IT IS REVIEWED WITH CARNEGIE MELLON'S INDEPENDENT CERTIFIED PUBLIC ACCOUNTING (CPA) FIRM. UPON COMPLETION OF INDEPENDENT REVIEW BY THE CPA FIRM, THE FORM IS REVIEWED BY THE VICE PRESIDENT FOR FINANCE AND CHIEF FINANCIAL OFFICER, ASSOCIATE VICE PRESIDENT FOR FINANCE AND CONTROLLER, TAX DEPARTMENT AND THEN PROVIDED TO THE AUDIT COMMITTEE FOR APPROVAL. FINALLY, A COMPLETED COPY OF THE FORM IS PROVIDED TO THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO FILING FORM 990 WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CARNEGIE MELLON REQUIRES EACH TRUSTEE, OFFICER, AND MEMBER OF SENIOR MANAGEMENT TO DISCLOSE ANNUALLY THE EXISTENCE OF ANY CIRCUMSTANCES THAT MIGHT CONSTITUTE A CONFLICT OF INTEREST WITH THE INSTITUTION. THE PROCESS IS INITIATED EACH FISCAL YEAR BY THE OFFICE OF THE SECRETARY OF THE CORPORATION SENDING AN ELECTRONIC CONFLICT OF INTEREST QUESTIONNAIRE TO THE ABOVE NOTED INDIVIDUALS. COMPLETED QUESTIONNAIRES ARE RETURNED TO THE SECRETARY OF THE CORPORATION FOR EVALUATION OF ACTUAL OR PERCEIVED CONFLICTS BY THE INSTITUTION, REVIEWED BY THE OFFICE OF GENERAL COUNSEL, AND ANNUAL REPORTING IS PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. ALL OFFICERS AND MEMBERS OF THE BOARD ARE REQUIRED TO DISCLOSE CONFLICTS TO THE SECRETARY OF THE CORPORATION AS THEY ARISE THROUGHOUT THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE ANNUALLY REVIEWS AND RECOMMENDS TO THE EXECUTIVE COMMITTEE FOR APPROVAL THE PRESIDENT'S SALARY, COMPENSATION, AND BENEFIT PACKAGE (TOTAL COMPENSATION), AND REVIEWS AND APPROVES THE TOTAL COMPENSATION OF THE PROVOST, VICE PRESIDENTS, DEANS, OFFICERS AND KEY EMPLOYEES. THE COMMITTEE OBTAINS APPROPRIATE ANALYSES AND STUDIES PREPARED BY THE ADMINISTRATION AND INDEPENDENT EXTERNAL SOURCES WITH RESPECT TO COMPENSATION FOR SIMILAR POSITIONS IN SIMILAR ORGANIZATIONS TO AID IN EVALUATING COMPENSATION AND BENEFIT PLAN LEVELS, PRACTICES AND STRATEGIES TO ENSURE THAT THE UNIVERSITY'S COMPENSATION LEVELS AND PRACTICES ARE COMPARABLE TO SIMILAR ORGANIZATIONS AND APPROPRIATE TO ATTRACT, OBTAIN AND RETAIN QUALIFIED PERSONNEL. THIS INCLUDES REVIEWING SURVEY DATA FOR SIMILAR POSITIONS AMONG A SELECT GROUP OF PEER INSTITUTIONS. THE COMMITTEE SUBMITS ITS RECOMMENDATIONS FOR THE PRESIDENT'S TOTAL COMPENSATION PACKAGE TO THE EXECUTIVE COMMITTEE FOR REVIEW AND APPROVAL. THE EXECUTIVE COMMITTEE RECEIVES AN ANNUAL REPORT FROM THE UNIVERSITY'S COMPENSATION COMMITTEE INCLUDING SIGNIFICANT COMPENSATION AND BENEFIT PLAN POLICY CHANGES. IT REPORTS TO THE FULL BOARD ON THIS AND THE COMPETITIVENESS OF THE UNIVERSITY'S COMPENSATION LEVELS AND BENEFIT PLANS IN RELATION TO PEER INSTITUTIONS. FORM 990, PART VI, SECTION C, LINE 19 CARNEGIE MELLON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE FOR PUBLIC INSPECTION. THE DOCUMENTS ARE AVAILABLE UPON REQUEST OR CAN BE OBTAINED BY VISITING THE WEBSITE AT WWW.CMU.EDU. FORM 990, PART VII, SECTION A, LINE 1A: THE BOARD OF TRUSTEES MAY GRANT THE STATUS OF EMERITUS TRUSTEE TO THOSE MEMBERS WHO HAVE MADE DISTINGUISHED CONTRIBUTIONS TO THE UNIVERSITY AND WHO HAVE ATTAINED AT LEAST AGE 60 OR A MAXIMUM OF AGE 75. THE BOARD OF TRUSTEES MAY, AT ANY TIME OR FROM TIME TO TIME CHANGE THE AGE AT WHICH TRUSTEES MUST BE GRANTED EMERITUS/A STATUS, OR RESIGN FROM THE BOARD. EMERITUS/A TRUSTEES SHALL BE WELCOME AT ALL FULL BOARD MEETINGS; ALL MEETINGS OF THE ADVANCEMENT, EDUCATIONAL AFFAIRS AND ENROLLMENT, AND RESEARCH, INNOVATION AND ENTREPRENEURSHIP COMMITTEES OF THE BOARD OF TRUSTEES; SHALL RECEIVE ALL NOTICES, MINUTES AND REPORTS OF SAID MEETINGS, SHALL BE FREE TO PARTICIPATE IN DISCUSSIONS, BUT SHALL BE WITHOUT A VOTE ON ANY MATTER. EMERITUS TRUSTEES SHALL BE WELCOME AT ALL BOARD AND UNIVERSITY EVENTS. THE FOLLOWING INDIVIDUALS WERE EMERITUS TRUSTEES OF CARNEGIE MELLON'S BOARD OF TRUSTEES: JOHN BERTUCCI, CAROL R. BROWN, ROBERT M. BROWN III, ERIC COOPER, ERROLL B. DAVIS, JR., W. LOGAN DICKERSON, PHILIP L. DOWD, DINA DUBLON, WILLIAM B. ELLIS, CYNTHIA FRIEDMAN, CLAIRE W. GARGALLI, RICHARD D. HAMILTON, TERESA HEINZ, T. JEROME HOLLERAN, W. LEE HOSKINS, PATRICIA ASKWITH KENNER, DAVID M. KIRR, EDWARD E. LUCENTE, THOMAS A. MCCONOMY, JACK E. MCGRATH, REGINA GOUGER MILLER, ALESSANDRO OVI, E. KEARS POLLOCK, CHARLES J. QUEENAN, JR. ESQ, JOYCE B. SCOTT, DAVID S. SHAPIRA, AJIT SHETTY, RAYMOND W. SMITH, W. LOWELL STEINBRENNER, DONALD E. STITZENBERG, MARY ANN ULISHNEY. FORM 990, PART VII, SECTION A, COLUMN B: FOR EACH PERSON LISTED IN COLUMN A WHO IS AN EMPLOYEE OF CARNEGIE MELLON UNIVERSITY, THE AVERAGE NUMBER OF HOURS PER WEEK STATED IS 50 HOURS PER WEEK; HOWEVER, THE ACTUAL NUMBER OF HOURS WORKED VARIES BETWEEN 50-80 HOURS PER WEEK. FORM 990, PART XI, LINE 9: LAMME UNREALIZED GAINS/LOSS 30,292. CHANGE IN SWAP VALUE NET OF INTEREST EXPENSE & OTHER 5,629,313. GAIN FROM ADJUSTMENTS OF PLEDGES RECEIVABLE 54,842. NET GAIN FROM FUNDRAISING EVENTS -16,326. FORM 990, PART XII, FINANCIAL STATEMENTS AND REPORTING: CARNEGIE MELLON HAS AN AUDIT COMMITTEE OF THE BOARD OF TRUSTEES THAT IS RESPONSIBLE FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND THE SELECTION OF A CERTIFIED INDEPENDENT ACCOUNTING FIRM THAT AUDITS THE FINANCIAL STATEMENTS. CARNEGIE MELLON'S FINANCIAL STATEMENTS ARE CONSOLIDATED. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. 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