2025-05-15T07:30:18-05:00 2024-06-30 990 2023-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 2200 W MAIN STREET STE 300 DURHAM NC 27705 RACHEL L SATTERFIELD TREASURER/VP FINANCE 9196842006 2025-05-07 1 2023 2025-03-06 01:10:19Z VINCENT E PRICE 2200 W MAIN STREET DURHAM NC 27705 4498312295 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 34 31 31534 16624 6728195 908509 1964557359 1974843265 1320374965 1388719243 323632413 986358110 138632538 129302460 3747197275 4479223078 438172420 470027162 0 0 2071953805 2305819318 1387210 1522552 89592382 1328748376 1366034532 3840261811 4143403564 -93064536 335819514 20396848043 21158472538 4631285047 4582462353 15765562996 16576010185 X SEE SCHEDULE O 0 0 2103603333 411543467 1072199374 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONALDEGREES TO APPROXIMATELY 6,743 STUDENTS ANNUALLY 1237800555 58483695 1509600314 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORKSPONSORED BY NUMEROUS FEDERAL, STATE, LOCAL AGENCIES, AND PRIVATE GRANTS 419272905 214305194 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORTSERVICES TO THE DUKE UNIVERSITY COMMUNITY 3760676793 1 1 0 1 0 0 1 1 0 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 1 1 1 0 1 0 1 X 12407 0 1 31534 1 1 1 1 SP UK TZ CH SN MA IN KE SW NO PL GM IS HU CA 0 0 0 1 1 0 0 0 1 0 1 1 X 34 31 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MD MA MI NH NJ NY OR SC X X X DUKE UNIVERSITY 9196842006 2200 W MAIN STREET STE 300 DURHAM NC 27705 ADAM SILVER TRUSTEE 6.00 0.00 X 0 0 0 ANN PELHAM TRUSTEE 2.00 0.00 X 0 0 0 CARMICHAEL S ROBERTS TRUSTEE 1.00 1.10 X 0 0 0 DAVID S TAYLOR TRUSTEE 2.00 0.00 X 0 0 0 DOHA ALI TRUSTEE 2.00 0.00 X 0 0 0 EDDY H CUE TRUSTEE 2.00 0.00 X 0 0 0 EDGAR VIRGUEZ TRUSTEE 2.00 0.00 X 0 0 0 EDWARD A GILHULY TRUSTEE 4.00 0.00 X 0 0 0 GRANT H HILL TRUSTEE 2.00 0.00 X 0 0 0 GREGORY V PALMER TRUSTEE 2.00 0.00 X 0 0 0 JB PRITZKER TRUSTEE 2.00 0.00 X 0 0 0 JAMES C ZELTER TRUSTEE 2.00 0.10 X 0 0 0 JEFFREY W UBBEN TRUSTEE 4.00 0.00 X 0 0 0 KACIA A ANDERSON TRUSTEE 2.00 0.00 X 0 0 0 KAREN M KING TRUSTEE 2.00 0.00 X 0 0 0 KATHRYN A HOLLISTER TRUSTEE 4.00 0.00 X 0 0 0 L FREDERICK SUTHERLAND TRUSTEE 2.00 0.00 X 0 0 0 LAURENE M SPERLING TRUSTEE 6.00 8.10 X 0 0 0 LISA M BORDERS TRUSTEE 4.00 0.00 X 0 0 0 MARY T BARRA TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL G RHODES TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL J BINGLE TRUSTEE 2.00 0.00 X 0 0 0 NANCY M SCHLICHTING TRUSTEE 2.00 2.00 X 0 0 0 NANCY-ANN DEPARLE TRUSTEE 2.00 0.00 X 0 0 0 ROBERT R PENN TRUSTEE 2.00 0.00 X 0 0 0 SHARON MARCIL TRUSTEE 2.00 0.00 X 0 0 0 STEPHEN G PAGLIUCA TRUSTEE 1.00 0.00 X 0 0 0 THOMAS H LISTER TRUSTEE 2.00 6.00 X 0 0 0 TIMOTHY D COOK TRUSTEE 2.00 0.00 X 0 0 0 VIKAS J PATEL TRUSTEE 2.00 0.10 X 0 0 0 VINCENT E PRICE PRESIDENT/TRUSTEE 48.00 3.30 X X 1888010 0 59568 WILLIAM G KAELIN JR TRUSTEE 2.00 0.00 X 0 0 0 XIQING GAO TRUSTEE 2.00 0.00 X 0 0 0 PATRICIA RODERICK MORTON TRUSTEE 4.00 0.00 X 0 0 0 ALEC GALLIMORE PROVOST 50.00 0.30 X 590015 13375 58837 DANIEL G ENNIS EXECUTIVE VICE PRESIDENT 40.00 0.30 X 1352969 0 74880 MARGARET W EPPS UNIVERSITY SECRETARY 40.00 0.00 X 457220 0 58868 MARY E KLOTMAN MD EXECUTIVE VICE PRESIDENT FOR HEALTH AFFAIRS & DEAN 44.00 12.20 X 1372322 0 55122 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 55.00 0.10 X 837150 0 57224 RACHEL SATTERFIELD TREASURER & VP FOR FINANCE 40.00 0.40 X 631069 0 102094 EVAN L JONES INVESTMENT MANAGER 40.00 0.00 X 1662265 0 299768 GARY BENNETT DEAN, COLLEGE OF A & S 60.00 0.00 X 965991 0 58829 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN, SOM 55.00 0.40 X 867451 0 68548 JOHN J NOONAN VP FOR FACILITIES 40.00 0.00 X 470987 0 67038 JUSTIN B NIXON INVESTMENT MANAGER 40.00 0.00 X 1657940 0 312916 KAVITA NAYAR INVESTMENT MANAGER 40.00 0.00 X 1382597 0 235705 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 50.00 0.40 X 4539339 0 161024 A EUGENE WASHINGTON MD CHANCELLOR EMERITUS FOR HEALTH AFFAIRS 33.00 0.10 X 3135552 0 62149 ANIL MADHOK CHIEF OPERATING OFFICER DUMAC 40.00 0.10 X 1591560 0 296062 GERALD GRANT CHAIR OF NEUROSURGERY DEPARTMENT 40.00 0.00 X 1766482 0 74880 JONATHAN SCHEYER COACH 40.00 0.00 X 2319892 0 59728 MICHAEL ELKO COACH 0.00 40.00 X 3816742 0 82891 JENNIFER FRANCIS FORMER OFFICER 40.00 0.00 X 980832 26750 55506 MOHAMED NOOR FORMER KEY EMPLOYEE 40.00 0.10 X 672924 0 59225 32959309 40125 2360862 6598 1 1 0 FORTREA INC PO BOX 931220 ATLANTA GA 31193 SPONSORED RESEARCH 23134657 UNC-CH OFC OF SPONSORED RESEARCH FRANKLIN ST CHAPEL HILL NC 27599 SPONSORED RESEARCH 19229314 ALLEGIS GROUP HOLDING INC 3689 COLLECTION CTR DR CHICAGO IL 60693 TEMPORARY SERVICES 16736417 GALLAGHER AFFINITY INSURANCE SERVICE PO BOX 74715 CHICAGO IL 60694 INSURANCE SERVICES 16698862 LECHASE CONSTRUCTION SERVICES LLC 320 RONEY ST STE 100 DURHAM NC 27701 CONSTRUCTION SERVICES 15589872 862 3013796 85452643 1095593394 790783432 56866985 1974843265 TUITION & FEES 611600 1019328897 1019328897 ANCILLARY STUDENT SVCS 611600 214305194 214305194 CONTINUING EDUCATION 611600 45466322 45466322 CONFERENCE FEES 611600 7404155 7404155 ACADEMIC MED. RESEARCH 611600 2560574 2560574 99654101 92925906 6728195 1388719243 349671935 349671935 79330874 79330874 15979923 2907767 13072156 13072156 13072156 651949401 73794 14497981 839039 637451420 -765245 636686175 636686175 84952 3013796 844430 -759478 -759478 MISC SALES 611710 23915192 23915192 STUDENT DUES 611710 4156104 4156104 VARIOUS FEES AND FINES 611710 2037461 2037461 7550151 7550151 37658908 4479223078 1419649956 6728195 1078001662 39274592 39274592 403418478 403418478 27334092 27334092 21113837 578619 19693897 841321 5631692 2242351 2913445 475896 1821751657 1561006929 213876348 46868380 128870931 109185295 16171222 3514414 201968564 170481659 25963796 5523109 126482637 106644867 16377879 3459891 15338591 3655865 11659713 23013 688446 7147 681299 1522552 1522552 35825406 35825406 200818459 149129194 47938594 3750671 7735399 5457341 1251752 1026306 119710715 115954826 1945208 1810681 49662529 29142617 19614785 905127 71830889 34681931 37148958 112786545 90811995 21535531 439019 53370910 50134402 593627 2642881 54932766 40346829 3764093 10821844 86301123 86300661 462 265279736 251670886 13608850 6259200 1150916 5101757 6527 SUBRECIPIENT PAYMENTS 233992993 233992993 0 0 EQUIP RENTAL & MAINTENA 72151540 71584726 0 566814 COST OF GOODS SOLD 21910268 18875147 2606117 429004 PRINTING & PUBLICATIONS 5915060 4231509 389911 1293640 -48476043 153380926 -205527799 3670830 4143403564 3760676793 293134389 89592382 47270158 225617165 544998024 591242544 156091800 201061330 14699834 12729788 21939757 22709615 232223271 270638346 7105062532 4570246327 2556626158 2534816205 3617498643 3952381281 11455996232 11626453966 1749504166 1720822298 20396848043 21158472538 451393882 440355452 247508989 235488465 356845000 349845000 2661408 2324647 2265875717 2235136104 1307000051 1319312685 4631285047 4582462353 X 6941218857 7404738850 8824344139 9171271335 15765562996 16576010185 20396848043 21158472538 X 335819514 174000028 300627647 X X 0 1 X 1 1 1 X 1566915508 1644602647 1744843238 1964557359 1974843265 8895762017 1566915508 1644602647 1744843238 1964557359 1974843265 8895762017 3485161761 5410600256 162807744 159171847 147086200 398398704 442074965 1309539460 318402196 1861829048 1449609975 64490019 674345083 4368676321 14573977798 6155233284 0.37130 0.39580 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: GAIN/LOSS ON SECURITIES - 2019 AMOUNT: $ 282,550,326. 2020 AMOUNT: $ 1,825,869,704 2021 AMOUNT: $ 1,407,117,622 2022 AMOUNT: $ 25,438,675. 2023 AMOUNT: $ 636,686,175. OTHER REVENUE - 2019 AMOUNT: $ 35,851,870. 2020 AMOUNT: $ 35,959,344. 2021 AMOUNT: $ 42,492,353. 2022 AMOUNT: $ 39,051,344. 2023 AMOUNT: $ 37,658,908. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 453688 0 1 33681 487369 0 FORM 990, SCHEDULE C, PART II-B DUKE UNIVERSITY EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES HAVE AND SOME 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. X 1 0.21 0 0 1 1 590500 55484364 X X X X 1 11563067500 140177288 697427505 136834060 391403769 23502841 11848931622 12075706572 184965874 -254889234 116237714 302106147 24371851 11563067500 12650280988 152726663 -309426343 111275744 287787237 18811755 12075706572 8446092302 179916138 4490240275 103342939 342917950 19706838 12650280988 8580756409 386986275 -41907680 93600293 366342134 19800275 8446092302 0.61740 0.28440 0.09820 1 1 1 37241144 37241144 4967274551 2991186257 1976088294 345558446 265197430 80361016 949083179 751007693 198075486 805905212 562854947 243050265 2534816205 SHORT TERM INVESTMENTS 300820370 F REAL ASSETS 1563229576 F PRIVATE CAPITAL 4989971512 F HEDGED STRATEGIES 2484657803 F OTHER INVESTMENTS -68818925 F FIXED INCOME 1956736326 F EQUITIES 399857304 F 11626453966 INTEREST IN PERPETUAL TRUST HELD BY OTHERS 1161234192 OPERATING LEASE RIGHT-OF-USE ASSET 559588106 1720822298 ANNUITY AND SPLIT INTEREST OBLIGATIONS 70948343 POSTRETIREMENT HEALTHCARE BENEFIT OBLIGATIONS 400043708 FUNDS HELD FOR OTHERS 108651851 REFUNDABLE FEDERAL STUDENT LOANS 10525534 CONDITIONAL ASSET RETIREMENT 38369673 INTERNATIONAL LOAN RESERVE 5801314 GENERAL INSURANCE IBNR 63307100 OTHER 698 OPERATING LEASE LIABILITY 613750925 NET INVESTMENT INCOME TAX 7913539 1319312685 PART II, LINE 5: DUKE FOREST, A DEPARTMENT WITHIN DUKE UNIVERSITY, IS COMMITTED TO PROTECTING THE PURPOSE OF THE CONSERVATION EASEMENT. ACCORDINGLY, A WRITTEN MONITORING PROGRAM WAS DEVELOPED TO MAINTAIN AND PROTECT 12 SIGNIFICANT NATURAL HERITAGE AREAS WITHIN NORTH CAROLINA, INCLUDING THE CONSERVATION EASEMENT NOTED ON SCHEDULE D, PART II. THE POLICY INCLUDES DETAILS ABOUT CONDUCTING AN ONSITE INSPECTION, DOCUMENTING ALL FINDINGS ACCORDING TO A SITE-SPECIFIC MONITORING CHECKLIST. A POST-MONITORING REPORT AND OTHER DOCUMENTATION IS COMPLETED AS NECESSARY. DUKE FOREST STAFF (AND OTHER EXPERTS AS NECESSARY) ARE CONSULTED TO DETERMINE IF STEWARDSHIP EFFORTS ARE NECESSARY TO ENSURE THE PURPOSE OF THE CONSERVATION EASEMENT. WHILE NOT IN THE WRITTEN DOCUMENT, THE INITIAL STEP TAKEN BY DUKE FOREST WOULD BE TO CONTACT THE RESPONSIBLE PARTY TO REQUEST REMEDY OF THE INFRACTION. SUBSEQUENT STEPS WOULD INCLUDE, BUT ARE NOT LIMITED TO CONSULTING WITH UNIVERSITY COUNSEL. THE EASEMENT DOCUMENTS DO NOT INCLUDE THE POLICY AS THE EASEMENT DOCUMENTS WERE CREATED BEFORE THE POLICY DOCUMENT. PART II, LINE 9: THE CONSERVATION EASEMENT REPORTED ABOVE WAS NOT INCLUDED IN DUKE UNIVERSITY'S STATEMENT OF ACTIVITIES, BALANCE SHEET, NOR FOOTNOTES TO THE FINANCIAL STATEMENTS. SCHEDULE D, PART III, LINE 4 ART COLLECTION 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. SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. SCHEDULE D, PART X LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FASB ASC 740 DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FASB ASC 740 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FASB ASC 740 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FASB ASC 740 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2024. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 FORM 990, SCHEDULE E, LINE 3 EQUAL OPPORTUNITY AND NON DISCRIMINATION STATEMENT DUKE UNIVERSITY AND DUKE UNIVERSITY HEALTH SYSTEM ("DUKE") ARE COMMITTED TO ENCOURAGING AND SUSTAINING A LEARNING AND WORK COMMUNITY FREE FROM DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT. DUKE IS COMMITTED TO MAINTAINING AN INCLUSIVE COMMUNITY THAT RESPECTS AND VALUES ALL OF ITS MEMBERS, INCLUDING, BUT IS NOT LIMITED TO, FULL AND PART-TIME STUDENTS AND EMPLOYEES, INCLUDING FACULTY MEMBERS, PHYSICIANS, STAFF EMPLOYEES, UNDERGRADUATE STUDENTS, GRADUATE AND PROFESSIONAL STUDENTS, DOCTORAL STUDENTS, POSTDOCTORAL SCHOLARS AND FELLOWS, MEDICAL RESIDENTS, STUDENT EMPLOYEES, AND TEMPORARY AND CONTRACT EMPLOYEES, INCLUDING HOUSE STAFF, AND THIRD PARTIES WHO ARE WITHIN DUKE'S PROGRAMS AND ACTIVITIES, INCLUDING APPLICANTS FOR ADMISSION AND EMPLOYMENT, VISITORS, VISITING SCHOLARS, PATIENTS, EMPLOYEES OF DUKE CONTRACTORS, AND PROGRAM PARTICIPANTS. THE OFFICE FOR INSTITUTIONAL EQUITY (OIE) IS RESPONSIBLE FOR ADMINISTERING THE POLICY ON PROHIBITED DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT ("POLICY") AND ITS IMPLEMENTING PROCEDURES. THE VICE PRESIDENT FOR INSTITUTIONAL EQUITY IS DUKE'S DESIGNATED COORDINATOR FOR SECTION 504 OF THE REHABILITATION ACT OF 1973 AND THE AGE DISCRIMINATION ACT OF 1975. THE ASSISTANT VICE PRESIDENT, HARASSMENT AND DISCRIMINATION PREVENTION AND COMPLIANCE IS DUKE'S DESIGNATED COORDINATOR FOR TITLE IX OF THE EDUCATION AMENDMENTS OF 1972. THESE OFFICERS MAY BE CONTACTED AT THE OFFICE FOR INSTITUTIONAL EQUITY, SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708, (919) 684-8222, OIE-HELP@DUKE.EDU. THIS POLICY PROHIBITS DISCRIMINATION AND HARASSMENT ON THE BASIS OF AGE, COLOR, DISABILITY, GENDER, GENDER EXPRESSION, GENDER IDENTITY, GENETIC INFORMATION, NATIONAL ORIGIN, RACE, RELIGION, SEX (INCLUDING PREGNANCY), SEXUAL ORIENTATION, OR VETERAN STATUS (COLLECTIVELY, "PROTECTED STATUS OR "PROTECTED CHARACTERISTICS"). THIS PROHIBITION INCLUDES DISCRIMINATION AND HARASSMENT BASED ON THE PERCEPTION OF AN INDIVIDUAL'S PROTECTED STATUS, EVEN IF THAT PERCEPTION IS INCORRECT. THE POLICY ALSO PROHIBITS RELATED MISCONDUCT, SUCH AS SEXUAL ASSAULT, RELATIONSHIP VIOLENCE, STALKING, AND RETALIATION. THIS POLICY APPLIES TO ALL OPERATIONS OF DUKE UNIVERSITY AND DUKE UNIVERSITY HEALTH SYSTEM. THE POLICY SHOULD BE READ CONSISTENTLY WITH ALL APPLICABLE FEDERAL, STATE AND LOCAL LAWS ADDRESSING DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT. ADDITIONAL INFORMATION, INCLUDING THE COMPLETE TEXT OF THE POLICY ON PROHIBITED DISCRIMINATION, HARASSMENT, AND RELATED MISCONDUCT AND APPROPRIATE COMPLAINT PROCEDURES, MAY BE FOUND BY VISITING THE OFFICE FOR INSTITUTIONAL EQUITY'S WEBSITE AT: HTTPS://OIE.DUKE.EDU/. FOR FURTHER INFORMATION ON NOTICE OF NONDISCRIMINATION, YOU CAN CONTACT THE UNIVERSITY OFFICE NOTED ABOVE,OR VISIT HTTPS://WWW2.ED.GOV/ABOUT/OFFICES/LIST/OCR/INDEX.HTML, FOR THE ADDRESS AND PHONE NUMBER OF THE OFFICE FOR CIVIL RIGHTS, U.S. DEPARTMENT OF EDUCATION, OFFICE THAT SERVES YOUR AREA, OR CALL 1-800-421-3481. DISSEMINATION THE EQUAL EMPLOYMENT OPPORTUNITY POLICY IS DISTRIBUTED TO ALL MEMBERS OF THE DUKE COMMUNITY. POLICY INFORMATION IS PROVIDED TO NEW EMPLOYEES AT ORIENTATION SESSIONS AND TO UNION OFFICIALS REPRESENTING DUKE EMPLOYEES. THE EQUAL EMPLOYMENT OPPORTUNITY STATEMENT IS PUBLISHED IN HUMAN RESOURCE POLICY MANUALS, THE FACULTY HANDBOOK, THE STAFF HANDBOOK, AND IS POSTED ON BULLETIN BOARDS THROUGHOUT DUKE. THE POLICY IS DISCUSSED IN MANAGEMENT TRAINING PROGRAMS AND IS DESCRIBED IN VARIOUS LITERATURE DISTRIBUTED BY DUKE. NONDISCRIMINATION CLAUSES ARE INCLUDED IN ALL UNION AGREEMENTS AND ALL SUCH CONTRACTUAL PROVISIONS ARE REVIEWED TO ENSURE THAT THEY ARE NONDISCRIMINATORY [41 CFR 60-300.44(F) AND (G) & 41 CFR 60-741.44(F) AND (G)]. PURSUANT TO REGULATIONS, ALL DUKE PURCHASE ORDERS, LEASES, AND CONTRACTS INCORPORATE THE FOLLOWING EQUAL OPPORTUNITY CLAUSE SETTING FORTH DUKE'S EXPECTATIONS: THE CONTRACTOR AND SUBCONTRACTOR SHALL ABIDE BY THE REQUIREMENTS OF 1 CFR 60-1.4(A), 60-300.5(A) AND 60-741.5(A). THESE REGULATIONS PROHIBIT DISCRIMINATION AGAINST QUALIFIED INDIVIDUALS BASED ON THEIR STATUS AS PROTECTED VETERANS OR INDIVIDUALS WITH DISABILITIES, AND PROHIBIT DISCRIMINATION AGAINST ALL INDIVIDUALS BASED ON THEIR RACE, COLOR, RELIGION, SEX, SEXUAL ORIENTATION, GENDER IDENTITY OR NATIONAL ORIGIN. MOREOVER, THESE REGULATIONS REQUIRE THAT COVERED PRIME CONTRACTORS AND SUBCONTRACTORS TAKE AFFIRMATIVE ACTION TO EMPLOY AND ADVANCE IN EMPLOYMENT INDIVIDUALS WITHOUT REGARD TO RACE, COLOR, RELIGION, SEX, SEXUAL ORIENTATION, GENDER IDENTITY, GENDER EXPRESSION, NATIONAL ORIGIN, DISABILITY OR VETERAN STATUS. PUBLICATIONS AND OTHER DUKE MATERIALS REPRESENT ALL INDIVIDUALS, REGARDLESS OF DEMOGRAPHIC PROFILE AND INCLUDE SPECIAL CONSIDERATION OF PERSONS THAT CLAIM DISABILITY OR VETERAN STATUS. RECRUITING ADVERTISEMENTS STATE THAT DUKE IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. AN EXPANDED STATEMENT TO CONVEY DUKE'S COMMITMENT TO DIVERSITY AND INCLUSION IS INCLUDED IN DOCUMENTS AND POSITION DESCRIPTIONS: DUKE IS AN AFFIRMATIVE ACTION/EQUAL OPPORTUNITY EMPLOYER COMMITTED TO PROVIDING EMPLOYMENT OPPORTUNITY WITHOUT REGARD TO AN INDIVIDUAL'S AGE, COLOR, DISABILITY, GENDER, GENDER EXPRESSION, GENDER IDENTITY, GENETIC INFORMATION, NATIONAL ORIGIN, RACE, RELIGION, SEX, SEXUAL ORIENTATION, OR VETERAN STATUS. FORM 990, SCHEDULE E, LINE 6 EXPLANATION OF GOVERNMENT FINANCIAL AID 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 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 13000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 140000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RESEARCH 103000 CENTRAL AMERICA AND THE CARIBBEAN 0 1 PROGRAM SERVICES STUDY ABROAD 142000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEMINAR 183000 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 26953000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 769000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH 3288000 EAST ASIA AND THE PACIFIC 0 8 PROGRAM SERVICES STUDY ABROAD 577000 EAST ASIA AND THE PACIFIC 0 0 SEMINAR 2227000 EUROPE 0 0 GRANTMAKING 306000 EUROPE 0 0 PROGRAM SERVICES EDUCATION 1327000 EUROPE 0 0 PROGRAM SERVICES RESEARCH 5569000 EUROPE 1 30 PROGRAM SERVICES STUDY ABROAD 1994000 EUROPE 0 0 SEMINAR 5138000 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 22000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EDUCATION 77000 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RESEARCH 226000 MIDDLE EAST AND NORTH AFRICA 0 4 PROGRAM SERVICES STUDY ABROAD 98000 MIDDLE EAST AND NORTH AFRICA 0 0 SEMINAR 289000 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 91000 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 5676000 NORTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 4000 NORTH AMERICA 0 0 SEMINAR 662000 RUSSIA 0 0 PROGRAM SERVICES EDUCATION 12000 RUSSIA 0 0 PROGRAM SERVICES RESEARCH 87000 RUSSIA 0 0 SEMINAR 10000 SOUTH AMERICA 0 0 GRANTMAKING 15000 SOUTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 128000 SOUTH AMERICA 0 0 PROGRAM SERVICES RESEARCH 2661000 SOUTH AMERICA 0 5 PROGRAM SERVICES STUDY ABROAD 298000 SOUTH AMERICA 0 0 SEMINAR 460000 SOUTH ASIA 0 0 PROGRAM SERVICES EDUCATION 253000 SOUTH ASIA 0 0 PROGRAM SERVICES RESEARCH 972000 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 297000 SOUTH ASIA 0 0 SEMINAR 232000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES EDUCATION 274000 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH 4418000 SUB-SAHARAN AFRICA 0 11 PROGRAM SERVICES STUDY ABROAD 300000 SUB-SAHARAN AFRICA 0 0 SEMINAR 646000 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 25000 0 1 1 58 1 59 31591000 35371000 66962000 CENTRAL AMERICA AND THE CARIBBEAN GENERAL SUPPORT 13413 WIRE 0 EAST ASIA AND THE PACIFIC GENERAL SUPPORT 26948596 WIRE 0 SOUTH AMERICA GENERAL SUPPORT 15000 WIRE 0 EUROPE (INCLUDING ICELAND & GREENLAND) GENERAL SUPPORT 298904 WIRE 0 SUB-SAHARAN AFRICA GENERAL SUPPORT 25025 WIRE 0 0 6 CASE COMPETITION EAST ASIA AND THE PACIFIC 1 250 WIRE BOOK AWARD EUROPE (INCLUDING ICELAND & GREENLAND) 1 1000 WIRE CASE COMPETITION EUROPE (INCLUDING ICELAND & GREENLAND) 3 750 WIRE POSTER AWARD EUROPE (INCLUDING ICELAND & GREENLAND) 1 153 WIRE HOPE SCHOLAR MIDDLE EAST AND NORTH AFRICA 1 22000 WIRE CLIMATECAP FELLOWSHIP EAST ASIA AND THE PACIFIC 1 3000 WIRE CLIMATECAP FELLOWSHIP EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIU 1 3000 WIRE 1 0 1 0 0 1 SCHEDULE F, PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES 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 X 1 ONE SIXTY OVER NINETY LLC SEE PART IV FOR ADDRESS LOS ANGELES CA 90006 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 306705 HURON CONSULTING SEE PART IV FOR ADDRESS CHICAGO IL 60689 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 229514 STAGWELL GLOBAL LLC SEE PART IV FOR ADDRESS CHICAGO IL 60695 FUNDRAISING RELATED MARKETING & ADVERTISING 0 0 0 168650 SULLIVAN & CO MARKETING COLLATERAL SEE PART IV FOR ADDRESS NEW YORK NY 10017 FUNDRAISING RELATED MARKETING & ADVERTISING 0 0 0 137831 COPPER REEF ENTERPRISES SEE PART IV FOR ADDRESS CARLSBAD CA 92009 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 125016 STANFORD UNIVERSITY SEE PART IV FOR ADDRESS STANFORD CA 94305 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 75000 BNY MELLON NA SEE PART IV FOR ADDRESS NEW YORK NY 10286 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 60735 GRENZEBACH GLIER & ASSOCIATES SEE PART IV FOR ADDRESS CHICAGO IL 60611 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 59215 3 STORIES CONSULTING LLC SEE PART IV FOR ADDRESS LONGMONT CO 80501 FUNDRAISING CONSULTING, STRATEGIC PLANNING, COMMU. 0 0 0 53598 QUICKBROWNFOX STUDIO LLC SEE PART IV FOR ADDRESS DURHAM NC 27707 FUNDRAISING RELATED GRAPHIC DESIGN & PHOTOGRAPHY 0 0 0 47750 1264014 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI CMN 2239404 2238197 1207 750 450093 RADIOTHON 483695 470256 13439 1500 154071 4 375649 305343 70306 27303 10085 31068 595 168965 3098748 3013796 84952 27303 12335 31068 595 773129 844430 -759478 SCHEDULE G, PART I, LINE 2B, LIST OF TEN HIGHEST PAID FUNDRAISERS: (I) NAME OF FUNDRAISER: ONE SIXTY OVER NINETY LLC (I) ADDRESS OF FUNDRAISER: 1801 W OLYMPIC BLVD, LOS ANGELES CA 90006 (I) NAME OF FUNDRAISER: HURON CONSULTING GROUP INC (I) ADDRESS OF FUNDRAISER: 3005 MOMENTUM PLACE, CHICAGO IL 60689 (I) NAME OF FUNDRAISER: STAGWELL GLOBAL LLC (I) ADDRESS OF FUNDRAISER: 88178 EXPEDITE WAY, CHICAGO IL 60695 (I) NAME OF FUNDRAISER: SULLIVAN & CO MARKETING COLLATERAL (I) ADDRESS OF FUNDRAISER: 292 MADISON AVE, NEW YORK NY 10017 (I) NAME OF FUNDRAISER: COPPER REEF ENTERPRISES (I) ADDRESS OF FUNDRAISER: 6965 EL CAMINO REAL STE 105-488, CARLSBAD, CA 92009 (I) NAME OF FUNDRAISER: STANFORD UNIVERSITY (I) ADDRESS OF FUNDRAISER: 691 PAMPAS LANE, STANFORD, CA 94305 (I) NAME OF FUNDRAISER: BNY MELLON NA (I) ADDRESS OF FUNDRAISER: 1 WALL ST, NEW YORK, NY 10286 (I) NAME OF FUNDRAISER: GRENZEBACH GLIER & ASSOCIATES (I) ADDRESS OF FUNDRAISER: 401 N. MICHIGAN AVE, CHICAGO, IL 60611 (I) NAME OF FUNDRAISER: 3 STORIES CONSULTING LLC (I) ADDRESS OF FUNDRAISER: 912 PRATT STREET, LONGMONT, CO 80501 (I) NAME OF FUNDRAISER: QUICKBROWNFOX STUDIO LLC (I) ADDRESS OF FUNDRAISER: 1812 CHAPEL HILL RD, DURHAM, NC 27707 SCHEDULE G, LINE 2(B), COLUMN (V) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH ENTITIES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(B), COLUMNS (I-V). THE AGREEMENTS PROVIDE THAT THE PAYMENT FOR REIMBURSEMENT OF SUCH EXPENSES WILL BE ISSUED IN ADDITION TO THE FEE FOR SERVICES RENDERED. THERE ARE NO AGREEMENTS THAT PROVIDE EXCLUSIVELY FOR EXPENSES, BUT NOT FOR PROFESSIONAL FUNDRAISING SERVICES. 1 50 HOOPS 2000 W 15TH ST FLOOR 01 PLANO TX 75075 752754368 501(C)(3) 10000 0 GENERAL SUPPORT AMERICAN HEART ASSOCIATION INC 7272 GREENVILLE AVENUE DALLAS TX 25231 135613797 501(C)(3) 15000 0 GENERAL SUPPORT AMERICAN MATHEMATICAL SOCIETY PO BOX 6248 PROVIDENCE RI 029042213 050264797 501(C)(3) 7610 0 GENERAL SUPPORT AUTISM SUPPORT AND ADVOCACY CENTER 1901 CHAPEL HILL RD DURHAM NC 27707 264613218 501(C)(3) 7150 0 COMMUNITY SUPPORT BAPTIST HEALTH SOUTH FLORIDA INC PO BOX 748853 ATLANTA GA 303748853 650267668 501(C)(3) 20000 0 FELLOWSHIP AWARD BRIGHAM AND WOMENS HOSPITAL INC 116 HUNTINGTON AVE 3RD FLOOR BOSTON MA 02116 042312909 501(C)(3) 253726 0 RESEARCH GIFT CAMPUS CRUSADE FOR CHRIST INC 100 LAKE HART DR ORLANDO FL 32832 956006173 501(C)(3) 5304 0 GENERAL SUPPORT CHARLES HAMILTON HOUSTON FOUNDATION PO BOX 25138 DURHAM NC 27702 474992302 501(C)(3) 9000 0 EDUCATION GRANT CHARLOTTE 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GENERAL SUPPORT INTL SOCIETY FOR BAYESIAN ANALYSIS 2772 CHEEKWOOD CIRCLE ELLICOTT CITY MD 21042 421517735 501(C)(3) 6000 0 SPONSORSHIP JOHNSON C SMITH UNIVERSITY 100 BEATTIES FORD RD CHARLOTTE NC 28216 250983069 501(C)(3) 15000 0 GENERAL SUPPORT JUBILEE HOME PO BOX 289 DURHAM NC 27702 461954060 501(C)(3) 7500 0 GENERAL SUPPORT LEGAL AID OF NORTH CAROLINA INC 319 CHAPANOKE RD STE 104 RALEIGH NC 27603 311784161 501(C)(3) 8000 0 SPONSORSHIP LEUKEMIA & LYMPHOMA SOCIETY PO BOX 22443 NEW YORK NY 100872443 135644916 501(C)(3) 30000 0 SPONSORSHIP LGBTQ CENTER OF DURHAM INC 1007 BROAD STREET DURHAM NC 27705 271277498 501(C)(3) 5000 180 FMV OFFICE FURNITURE / SUPPLIES / HOUSEWARES SPONSORSHIP MEADOWSWEET GARDENS & PATIOS INC 2217 MYERS ST DURHAM NC 27707 542073725 7500 0 GENERAL SUPPORT MENNONITE CENTRAL COMMITTEE 21 S 12TH ST AKRON PA 17501 236002702 501(C)(3) 8083 0 GENERAL SUPPORT MOUNT PLEASANT BAPTIST CHURCH 934 W LITTLE CREEK RD NORFOLK VA 23505 541260921 501(C)(3) 10215 0 COMMUNITY 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15000 0 GENERAL SUPPORT RESEARCH TRIANGLE REGIONAL 2626 GLENWOOD AVENUE RALEIGH NC 27608 561720732 501(C)(6) 6000 0 SPONSORSHIP RISE AGAINST HUNGER INC 4801 GLENWOOD AVE STE 200 RALEIGH NC 27612 161541024 501(C)(3) 14377 0 GENERAL SUPPORT SANCTIFIED ART LLC 109 4TH ST BLACK MOUNTAIN NC 28711 813432493 10000 0 2023 TRADITIONED INNOVATION AWARD SCOTT CARTER FOUNDATION PO BOX 700448 TULSA OK 741700448 731437230 501(C)(3) 8000 0 GENERAL SUPPORT SOC FOR VASCULAR SURGERY FOUNDATION 35312 EAGLE WAY CHICAGO IL 60678 043580038 501(C)(3) 6500 0 SPONSORSHIP ST JOSEPHS HISTORIC FOUNDATION PO BOX 11548 DURHAM NC 277030548 561152267 501(C)(3) 7500 0 SPONSORSHIP STANFORD UNIVERSITY 485 BROADWAY MC 8838 REDWOOD CITY CA 94063 941156365 501(C)(3) 149452 0 RESEARCH GIFT STEPUP DURHAM 112 BROADWAY ST SUITE B DURHAM NC 27701 474578727 501(C)(3) 18500 0 SPONSORSHIP STUDENT U 600 E UMSTEAD ST DURHAM NC 27701 273460491 501(C)(3) 9500 0 GENERAL SUPPORT THRESHOLD PO BOX 11706 DURHAM NC 27703 561458745 501(C)(3) 6750 0 GENERAL SUPPORT TOXIC FREE NORTH CAROLINA 331 W MAIN ST 411 DURHAM NC 27701 591715833 501(C)(3) 9918 0 GENERAL SUPPORT TROSA 1820 JAMES ST DURHAM NC 27707 561861158 501(C)(3) 0 155310 FMV OFFICE FURNITURE / SUPPLIES / HOUSEWARES GENERAL SUPPORT TRUSTEES OF COLUMBIA UNIV IN THE CI 435 WEST 116TH ST C/O BARBARA DIAMO NEW YORK NY 10027 135598093 501(C)(3) 50000 0 GENERAL SUPPORT UNC HEALTH FOUNDATION INC PO BOX 1050 CB 7565 CHAPEL HILL NC 27514 566057494 501(C)(3) 500000 0 RESEARCH GIFT UNIVERSITY OF NORTH CAROLINA CB 7100 - 3356 GENOME SCIENCE CHAPEL HILL NC 27599 566001393 501(C)(3) 13150 0 GENERAL SUPPORT URBAN MINISTRIES OF DURHAM 410 LIBERTY ST DURHAM NC 27701 581505891 501(C)(3) 5500 1660 FMV OFFICE FURNITURE / SUPPLIES COMMUNITY SUPPORT WE ARE ONE DURHAM 2000 CHAPEL HILL RD 38A DURHAM NC 27707 884387059 501(C)(3) 6360 0 GENERAL SUPPORT WEST END COMMUNITY FOUNDATION PO BOX 51398 DURHAM NC 277171398 561858174 501(C)(3) 6000 0 SPONSORSHIP WESTERN NORTH CAROLINA CONFERENCE PO 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2667 FUTRELL AWARD 1 1100 KIRBYGRANDPRIZE 1 150000 L P AND BARBARA SMITH AWARD 1 3000 LEMKIN PRIZE 1 10000 LIGHTNING TALK AWARD 3 950 M. CROAL PRIZES MARCH 3 1411 MISC. AWARD 17 4315 PERFECT PITCH PRIZE 2 750 PERRY PRIZE 2 16000 PIC 2024 AWARD 3 300 PRELAW PROGRAM FELLOWSHIP 22 22000 SUMMER ENRICHMENT AWARD 1 3500 TEACHHOUSE FELLOWSHIP 10 34911 GRADUATE SCHOLARSHIPS & STIPENDS 2412 40459991 INTERNSHIP STIPENDS 634 2368773 POSTDOC SCHOLARSHIPS & STIPENDS 37 412148 PRE-DOC SCHOLARSHIPS & STIPENDS 112 897179 UNDERGRADUATE SCHOLARSHIPS & STIPENDS 1138 6602012 MISC. SCHOLARSHIPS & STIPENDS 10909 311413221 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 X X 0 1 0 0 0 0 0 0 0 NEAL F TRIPLETT CHIEF INVESTMENT OFFICER 816839 0 3700000 0 22500 0 40376 0 123274 0 4702989 0 0 0 MICHAEL ELKO COACH 3432992 0 350000 0 33750 0 40376 0 42529 0 3899647 0 0 0 A EUGENE WASHINGTON MD CHANCELLOR EMERITUS FOR HEALTH AFFAI 1632022 0 1480816 0 22714 0 40376 0 27106 0 3203034 0 0 0 JONATHAN SCHEYER COACH 1264107 0 1025000 0 30785 0 40376 0 23501 0 2383769 0 0 0 JUSTIN B NIXON INVESTMENT MANAGER 412897 0 1109843 0 135200 0 280776 0 33450 0 1972166 0 135200 0 EVAN L JONES INVESTMENT MANAGER 394722 0 1109843 0 157700 0 280776 0 20218 0 1963259 0 135200 0 VINCENT E PRICE PRESIDENT/TRUSTEE 1865510 0 0 0 22500 0 40376 0 25300 0 1953686 0 0 0 ANIL MADHOK CHIEF OPERATING OFFICER DUMAC 371269 0 1062591 0 157700 0 274856 0 22353 0 1888769 0 135200 0 GERALD GRANT CHAIR OF NEUROSURGERY DEPARTMENT 1328726 0 415256 0 22500 0 40376 0 38830 0 1845688 0 0 0 KAVITA NAYAR INVESTMENT MANAGER 389546 0 946576 0 46475 0 210276 0 26637 0 1619510 0 46475 0 DANIEL G ENNIS EXECUTIVE VICE PRESIDENT 1262134 0 0 0 90835 0 40376 0 38609 0 1431954 0 0 0 MARY E KLOTMAN MD EXECUTIVE VICE PRESIDENT FOR HEALTH 949306 0 400516 0 22500 0 40376 0 17813 0 1430511 0 0 0 JENNIFER FRANCIS FORMER OFFICER 734226 26750 246606 0 0 0 40376 0 17483 0 1038691 26750 0 0 GARY BENNETT DEAN, COLLEGE OF A & S 494162 0 449329 0 22500 0 40376 0 20033 0 1026400 0 0 0 JAMES SCOTT GIBSON EXEC VICE DEAN OF ADMIN, SOM 543885 0 301066 0 22500 0 40376 0 29892 0 937719 0 0 0 PAMELA J BERNARD VP & UNIVERSITY COUNSEL 814650 0 0 0 22500 0 40376 0 19467 0 896993 0 0 0 RACHEL SATTERFIELD TREASURER & VP FOR FINANCE 618481 0 12588 0 0 0 40376 0 63687 0 735132 0 0 0 MOHAMED NOOR FORMER KEY EMPLOYEE 193055 0 457369 0 22500 0 40376 0 19404 0 732704 0 0 0 ALEC GALLIMORE PROVOST 481278 13375 97405 0 11332 0 40376 0 20032 0 650423 13375 0 0 JOHN J NOONAN VP FOR FACILITIES 447977 0 510 0 22500 0 40376 0 28064 0 539427 0 0 0 MARGARET W EPPS UNIVERSITY SECRETARY 457220 0 0 0 0 0 40376 0 19925 0 517521 0 0 0 PART I, LINE 1A CHARTER TRAVEL JONATHAN SCHEYER USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. VINCENT E. PRICE, DANIEL G. ENNIS AND MARGARET W. EPPS USED FIRST CLASS OR CHARTER TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS COMPANIONS HAVE TRAVELED WITH VINCENT E. PRICE AND JONATHAN SCHEYER. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. RESIDENCE FOR PERSONAL USE VINCENT E. PRICE 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 THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITIES USED BY THE UNIVERSITY'S PRESIDENT. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THE FACILITIES ARE USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. CLUB DUES JAMES SCOTT GIBSON WAS 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. TAX INDEMNIFICATION DANIEL G. ENNIS RECEIVED A BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: EVAN L. JONES $135,200; ANIL MADHOK 135,200; JUSTIN B. NIXON $135,200 AND KAVITA NAYAR $46,475. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). A NC CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GLE6 2016-11-03 380642978 SEE PART VI 0 0 0 B NC CAPITAL FACILITIES FINANCE AGENCY 561592154 99VARIOUS 2018-06-27 472535000 SEE PART VI 0 0 0 A 380642978 378939046 1703932 2008 1 0 1 1 B 33860000 33860000 33860000 2015 1 0 0 1 A 0 0 1 1 1 1 0.00000 0.00190 0.00190 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 0 0 0 0 0 1 A 1 B 1 FORM 990, SCHEDULE K, PART 1(C) TAX-EXEMPT BOND BOND ISSUE (B): FORM 8038 LISTS THE CUSIP NUMBERS AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 6/27/2018 AND THERE WERE NO CUSIPS OUTSTANDING AS OF 6/30/2023 UNDER THE NEW ISSUE. FORM 990, SCHEDULE K, PART 1(E) TAX-EXEMPT BONDS BOND ISSUE (B): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($472,535,000) AND FIRST GENERATION CURRENT REFUNDING COMMERCIAL PAPER NOTES ($33,860,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. FORM 990, SCHEDULE K, PART 1(F) DESCRIPTION OF PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND A PORTION OF THE 2006A BONDS ISSUED 11/02/2006, (2) A PORTION OF THE 2006B BONDS ISSUED 01/09/2007. BOND ISSUE (B): COMMERCIAL PAPER PROGRAM, THE PURPOSE OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 07/16/2014 AND (2) FINANCE PROJECTS ON THE WEST, EAST AND CENTRAL CAMPUS OF DUKE UNIVERSITY. FORM 990, SCHEDULE K, PART IV TAX-EXEMPT BOND LINE 2 BOND ISSUE (A) - 11/01/2022 BOND ISSUE (B): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED QUALTRICS LLC SEE PART V 218460 SEE PART V 0 JOHN CLEMENTS SEE PART V 402079 SEE PART V 0 ELIZABETH MONAHAN SEE PART V 39642 SEE PART V 0 SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF INTERESTED PERSON: QUALTRICS LLC(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: QUALTRICS LLC DIRECTOR IS A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $218,460(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR GOODS AND SERVICES(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: JOHN CLEMENTS(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: JOHN CLEMENTS IS A FAMILY MEMBER OF A DUKE UNIVERSITY OFFICER(C) AMOUNT OF TRANSACTION: $402,079(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO(A) NAME OF INTERESTED PERSON: ELIZABETH MONAHAN(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: ELIZABETH MONAHAN IS A FAMILY MEMBER OF A DUKE UNIVERSITY TRUSTEE(C) AMOUNT OF TRANSACTION: $39,642(D) DESCRIPTION OF TRANSACTION: PAYMENT FOR SALARY AND BENEFITS(E) SHARING OF ORGANIZATION REVENUE? = NO X 22 1142394 VARIOUS X 44356 VARIOUS X 1094 54388671 MARKET QUOTE X EVENT TICKETS 3462 1016564 FMV/FACE VALUE X EQUIPMENT 3 158194 FMV X MISCELLANEOUS 187 116807 VARIOUS 13 0 1 1 PART I, LINE 32B: USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION "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." FORM 990, PART VI, SECTION A, LINE 2 TRUSTEES KAREN M. KING AND MICHAEL J. BINGLE BOTH HOLD SENIOR LEADERSHIP POSITIONS (MANAGING DIRECTOR AND VICE CHAIRMAN RESPECTIVELY) AT SILVER LAKE GROUP. FORM 990, PART VI, SECTION A, LINE 7A GRADUATES OF DUKE UNIVERSITY HAVE THE RIGHT TO ELECT TWELVE TRUSTEES TO SERVE ON THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT & COMPLIANCE COMMITTEE OF THE UNIVERSITY TRUSTEES. AT THE MEETING, THE DUKE UNIVERSITY TAX SENIOR DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, IS AVAILABLE FOR QUESTIONS FROM THE COMMITTEE. NOT ONLY IS THE COMMITTEE OFFERED AN OPPORTUNITY TO ASK QUESTIONS AT THE MEETING, BUT ALSO ANYTIME THEREAFTER BY CONTACTING THE TAX SENIOR DIRECTOR OR DUKE UNIVERSITY'S OFFICE OF COUNSEL, WHO IS ALSO INVOLVED WITH THE REVIEW OF DUKE UNIVERSITY'S FORM 990. SUBSEQUENTLY, 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 SENIOR DIRECTOR 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 CERTAIN 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, ADVISE REGARDING COMPARATIVE COMPENSATION NORMS, AND ENSURE COMPLIANCE WITH IRS EXECUTIVE COMPENSATION RULES, INCLUDING INTERMEDIATE SANCTIONS, DEFERRED COMPENSATION, AND PRIVATE INUREMENT. 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 IN ADDITION TO PROVIDING THE ORGANIZATION'S FORM 990 UPON REQUEST, THE ORGANIZATION'S FORM 990 IS AVAILABLE TO THE PUBLIC ON SEVERAL THIRD PARTY WEBSITES. WHILE THE ORGANIZATION DOES NOT PROVIDE THE FORM 990 DIRECTLY TO THESE THIRD PARTIES, THE FORM 990 IS OBTAINED FROM THE INTERNAL REVENUE SERVICE. THE THIRD PARTIES SUBSEQUENTLY AND INDEPENDENTLY PROVIDE ACCESS TO THE FORM 990 ON THEIR PLATFORM. 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. FORM 990, PART XI, LINE 9: CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS 26,444,960. TRANSFERS FROM DUHS 224,057,606. NONPERIODIC CHANGES 48,596,000. OTHER CHANGES 1,529,081. FORM 990, PART XII, LINE 3B FEDERAL AWARDS RECEIVED BY THE ORGANIZATION ARE INCLUDED IN THE DUKE UNIVERSITY FY2023 SINGLE AUDIT. ITS AUDIT UNDER THE UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS WAS ISSUED BY THE DUE DATE OF MARCH 31, 2025. 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