2025-05-14T16:30:52-05:00 2024-06-30 135565207 KPMG LLP 500 W 5TH ST SUITE 800 WINSTON SALEM NC 27101 990 2023-07-01 561776668 GOTHIC CORPORATION GOTH 9196686829 280 S MANGUM STREET 210 DURHAM NC 27701 JANNINE M LALL TREASURER 9196686829 2025-05-12 1 1 KAVITA GADA P01773072 3362753394 2023 2025-03-06 01:10:19Z NEAL F TRIPLETT 280 S MANGUM ST STE 210 DURHAM NC 27701 1766141866 0 X N/A X 1992 NC SEE SCHEDULE O FOR ORGANIZATION'S MISSION STATEMENT 3 0 0 0 -5276633 0 1056312983 651651625 0 0 566898229 1048031030 95988895 66459211 1719200107 1766141866 1417259958 1427503584 0 0 0 0 0 0 0 309754662 472333201 1727014620 1899836785 -7814513 -133694919 8367573592 8237275357 0 0 8367573592 8237275357 X SEE SCHEDULE O FOR ORGANIZATION'S MISSION STATEMENT. 0 0 1899836785 1427503584 GOTHIC CORPORATION WAS FORMED TO SUPPORT THE EXEMPT PURPOSES OF DUKE UNIVERSITY. A PORTION OF THE EXPENSES INCURRED ARE RELATED TO THE MANAGEMENT OF ASSETS MAINTAINED FOR THE SUPPORT OF DUKE UNIVERSITY. ALLOCATIONS TOTALING $1,427,503,584 WERE MADE TO DUKE UNIVERSITY IN SUPPORT OF ITS TAX EXEMPT PURPOSES. 1899836785 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 X 0 0 1 0 1 1 1 AR BG BC BR CI CH CO CS CA EZ DA EG GH GR HK HU IN ID EI IS JA KE KU LH MY MP MO NI NO MU PK PE PL PO QA RS SI KS CE SW TW TZ TS TU UG AE UK VM ZA ZI 0 0 0 0 0 0 0 0 0 0 X 3 0 1 0 0 0 0 1 1 1 1 0 0 1 0 0 0 0 0 1 0 X X JANNINE M LALL 9196686829 280 S MANGUM STREET SUITE 210 DURHAM NC 27701 NEAL F TRIPLETT DIRECTOR/PRESIDENT 0.10 50.30 X X 0 4539339 161024 ROBERT MCGRAIL DIRECTOR/SECRETARY 0.10 40.30 X X 0 518864 82382 JANNINE M LALL DIRECTOR/TREASURER 0.10 40.20 X X 0 335177 63671 0 5393380 307077 0 0 1 0 0 X 651651625 651651625 482136657 -8754496 490891153 66459211 66459211 557484807 8409566 0 0 557484807 8409566 565894373 3477863 562416510 1766141866 0 -5276633 111976687 1427503584 1427503584 26077745 26077745 PARTNERSHIP DEDUCTIONS 441354925 441354925 4900531 4900531 1899836785 1899836785 0 0 763789347 758073732 7601308344 7474556663 2475901 4644962 8367573592 8237275357 0 0 X 0 0 0 0 8367573592 8237275357 8367573592 8237275357 8367573592 8237275357 X -133694919 3396684 X X 0 1 X 0 0 X X 1 DUKE UNIVERSITY 560532129 2 1 1427503584 0 1 1427503584 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 FIXED INCOME SECURITIES 167610046 F EQUITIES 1472992711 F PARTNERSHIP INVESTMENTS 5833953906 C 7474556663 X PART X, LINE 2: ASC 740 DISCLOSURE: THE FOLLOWING ASC 740 DISCLOSURE COMES FROM THE AUDITED FINANCIAL STATEMENTS OF DUKE UNIVERSITY, WITHIN WHOSE FINANCIAL STATEMENTS THE ACTIVITIES OF GOTHIC CORPORATION ARE CONSOLIDATED. DUKE IS A TAX-EXEMPT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE OF 1986, AS AMENDED (THE CODE). AS SUCH, DUKE IS EXEMPT FROM FEDERAL INCOME TAXES TO THE EXTENT PROVIDED UNDER SECTION 501 OF THE CODE. AS OF JUNE 30, 2024 AND 2023, THERE WERE NO MATERIAL UNCERTAIN TAX POSITIONS. SCHEDULE D, PARTS XI - XII FINANCIAL STATEMENTS AUDIT GOTHIC CORPORATION IS INCLUDED IN THE CONSOLIDATED ANNUAL FINANCIAL STATEMENTS OF DUKE UNIVERSITY, WHICH ARE PREPARED IN ACCORDANCE WITH GAAP AND REVIEWED BY AN INDEPENDENT AUDITOR. PURSUANT TO THE 2023 FORM 990 INSTRUCTIONS, GOTHIC CORPORATION HAS ELECTED NOT TO COMPLETE PARTS XI-XII OF SCHEDULE D. CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 0 INVESTMENTS 2074719682 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 INVESTMENTS 405030960 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 INVESTMENTS 615115845 MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, 0 0 INVESTMENTS 70328457 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 INVESTMENTS 67861825 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 0 0 INVESTMENTS 2618477 SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, 0 0 INVESTMENTS 109626598 SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, 0 0 INVESTMENTS 313035544 RUSSIA AND NEIGHBORING STATES 0 0 INVESTMENTS 3502761 0 0 0 0 0 0 3658337388 3502761 3661840149 0 0 1 0 1 1 1 1 1 DUKE UNIVERSITY 2200 W MAIN STREET STE 300 DURHAM NC 27705 560532129 501(C)(3) 1427503584 0 FMV SUPPORT 1 0 PART I, LINE 2: GOTHIC CORPORATION WAS FORMED SPECIFICALLY AS A SUPPORTING ORGANIZATION OF DUKE UNIVERSITY. IN FURTHERANCE OF ITS SUPPORT TO DUKE UNIVERSITY, GOTHIC CORPORATION PROVIDES SUPPORT AND GRANTS FUNDING TO DUKE UNIVERSITY, AN IRC SECTION 501(C)(3) ENTITY ORGANIZED AS A SCHOOL DESCRIBED UNDER IRC SECTION 170(B)(1)(A)(II). DUKE UNIVERSITY MAINTAINS DOCUMENTATION OF ALL EXPENDITURES IN THE ORDINARY COURSE OF BUSINESS. 0 1 0 0 0 0 0 0 0 NEAL F TRIPLETT DIRECTOR/PRESIDENT 0 816839 0 3700000 0 22500 0 40376 0 123274 0 4702989 0 0 ROBERT MCGRAIL DIRECTOR/SECRETARY 0 251616 0 231228 0 36020 0 71076 0 13404 0 603344 0 13520 JANNINE M LALL DIRECTOR/TREASURER 0 172272 0 135335 0 27570 0 51371 0 14222 0 400770 0 5070 PART I, LINE 3 METHODS USED TO ESTABLISH THE COMPENSATION OF THE TOP MANAGEMENT OFFICIAL: GOTHIC CORPORATION RELIED ON DUMAC, INC., A RELATED TAX-EXEMPT ORGANIZATION, TO ESTABLISH THE COMPENSATION OF THE TOP MANAGEMENT OFFICIAL. DUMAC, INC. USED VARIOUS METHODS TO ESTABLISH THE TOP MANAGEMENT OFFICIAL'S COMPENSATION SUCH AS INFORMATION ABOUT COMPENSATION PAID BY SIMILARLY SITUATED TAXABLE OR TAX-EXEMPT ORGANIZATIONS FOR SIMILAR SERVICES, OR CURRENT COMPENSATION SURVEYS. 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: ROBERT MCGRAIL $13,520 AND JANNINE LALL $5,070. SUCH AMOUNT WAS SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). FORM 990, PART I & PART III LINE 1: DESCRIPTION OF ORGANIZATION'S MISSION GOTHIC CORPORATION WAS FORMED TO OWN AND INVEST ASSETS EXCLUSIVELY FOR THE BENEFIT OF DUKE UNIVERSITY AND TO SUPPORT ITS EXEMPT PURPOSES. FORM 990, PART VI, SECTION A, LINE 2 NEAL F. TRIPLETT IS A KEY EMPLOYEE OF DUKE UNIVERSITY. THE FOLLOWING DIRECTORS AND OFFICERS OF GOTHIC CORPORATION ARE ALSO EMPLOYEES OF DUKE UNIVERSITY: JANNINE M. LALL AND ROBERT MCGRAIL FORM 990, PART VI, SECTION A, LINE 7A THE MEMBERS OF THE BOARD OF GOTHIC CORPORATION SHALL BE APPOINTED BY THE EXECUTIVE COMMITTEE OF THE DUKE UNIVERSITY BOARD OF TRUSTEES. THE MEMBERS OF THE BOARD OF DIRECTORS OF DUMAC, INC. SHALL BE APPOINTED BY THE EXECUTIVE COMMITTEE OF THE DUKE UNIVERSITY BOARD OF TRUSTEES AND CONFIRMED BY DUKE UNIVERSITY'S BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B DUMAC, INC. MANAGES THE INVESTMENTS OF GOTHIC CORPORATION. PURSUANT TO AUTHORIZATION PROVIDED BY DUKE UNIVERSITY, OFFICERS OF DUMAC, INC. ACT AS THE AUTHORIZED AGENT FOR GOTHIC CORPORATION IN APPROVING INVESTMENTS OF GOTHIC CORPORATION ASSETS AND ENTERING INTO AGREEMENTS AND OTHER TRANSACTIONS RELATED TO SUCH INVESTMENTS. CERTAIN DECISIONS OF THE GOVERNING BODY ARE SUBJECT TO APPROVAL BY THE BOARD OF TRUSTEES OF DUKE UNIVERSITY. FORM 990, PART VI, SECTION B, LINE 11B GOTHIC CORPORATION PROVIDES THE MEMBERS OF THE GOVERNING BODY WITH A DRAFT OF FORM 990 FOR INDIVIDUAL REVIEW PRIOR TO FILING. FORM 990, PART VI, LINE 12A CONFLICT OF INTEREST POLICY: GOTHIC CORPORATION DOES NOT HAVE A WRITTEN CONFLICT OF INTEREST POLICY, BUT ALL BOARD MEMBERS ARE SUBJECT TO COMPLIANCE WITH DUMAC INC.'S WRITTEN CONFLICT OF INTEREST POLICY AND MUST DISCLOSE ANY CONFLICTS ANNUALLY. FORM 990, PART VI, LINE 13 WHISTLEBLOWER POLICY: GOTHIC CORPORATION DOES NOT HAVE A WRITTEN WHISTLEBLOWER POLICY, BUT ALL BOARD MEMBERS ARE SUBJECT TO COMPLIANCE WITH DUMAC, INC.'S WRITTEN WHISTLEBLOWER POLICY. FORM 990, PART VI, LINE 14 DOCUMENT RETENTION AND DESTRUCTION: GOTHIC CORPORATION DOES NOT HAVE A WRITTEN DOCUMENT RETENTION AND DESTRUCTION POLICY, BUT FOLLOWS DUMAC, INC.'S WRITTEN DOCUMENT RETENTION AND DESTRUCTION POLICY. FORM 990, PART VI, LINE 16B JOINT VENTURES: GOTHIC CORPORATION HAS ENACTED ADEQUATE SAFEGUARDS FOR ITS PARTNERSHIP INVESTMENTS TO ENSURE THAT THESE ACTIVITIES DO NOT JEOPARDIZE THE ORGANIZATION'S TAX EXEMPT STATUS. 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 GOTHIC CORPORATION'S GOVERNING DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. THE ORGANIZATION DOES NOT HAVE A SEPARATE CONFLICT OF INTEREST POLICY BUT FOLLOWS DUMAC INC.'S CONFLICT OF INTEREST POLICY. GOTHIC CORPORATION IS INCLUDED IN THE CONSOLIDATED, INDEPENDENTLY AUDITED FINANCIAL STATEMENTS OF DUKE UNIVERSITY, WHICH ARE AVAILABLE AT HTTPS://FINANCE.DUKE.EDU/RESOURCES/DOCS. FORM 990, PART VIII, LINE 7: GROSS SALES OF ASSETS OTHER THAN INVENTORY DUKE UNIVERSITY (AND THEREFORE DUMAC, INC.) MANAGES ITS INVESTMENT FUNDS IN ACCORDANCE WITH THE UNIFORM PRUDENT MANAGEMENT OF INSTITUTIONAL FUNDS ACT OF NORTH CAROLINA. AS PERMITTED BY THE ACT, THE UNIVERSITY (AND THEREFORE DUMAC, INC.) UTILIZES TWO INVESTMENT POOLS TO INVEST ITS FUNDS AND THESE FUNDS OPERATE ON A TOTAL RETURN CONCEPT. FORM 990, PART XI, LINE 9: THE RECONCILIATION AMOUNT ON LINE 9 IS THE CURRENT YEAR BOOK/TAX INCOME DIFFERENCES FROM THE ORGANIZATION'S PARTNERSHIP INVESTMENTS. 3,396,684. FORM 990, PART XII, LINE 1: METHOD OF ACCOUNTING GOTHIC CORPORATION UTILIZES THE ACCRUAL ACCOUNTING METHOD IN ACCORDANCE WITH GAAP FOR ALL ITEMS OTHER THAN REPORTING OF ITS PARTNERSHIP INVESTMENTS. PARTNERSHIP INVESTMENTS ARE REPORTED ON A TAX BASIS. 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SERIES A - 20-8075455 280 S MANGUM ST STE 210 DURHAM NC 27701 INVESTMENTS DE GOTHIC CORPORATION INVES-EXCLUDED 341888488 3579515495 0 -34051 1 0.56480 LYRICAL BLUE RL PT 27-2994514 32 N DEAN ST ENGLEWOOD NJ 07631 INVESTMENTS DE GOTHIC CORPORATION INVES-EXCLUDED -723479 25100457 0 0 0.54980 SBER LUCKY STRIKE 20-3891303 310 BLACKWELL ST DURHAM NC 27701 REAL ESTATE NC N/A N/A 0 0 MANGUM II LLC - 46-5135858 280 S MANGUM STREET STE 210 DURHAM NC 27701 INVESTMENTS NC GOTHIC CORPORATION INVES-EXCLUDED 2204010 54247593 0 1 0.57840 LS INVESTOR LLC 20-3891381 310 BLACKWELL ST DURHAM NC 27701 REAL ESTATE NC N/A N/A 0 0 DILWEG BLUE PF LP 47-1225569 5310 S ALSTON AVE STE 210 DURHAM NC 27713 INVESTMENTS DE GOTHIC CORPORATION INVES-EXCLUDED -6645334 85671505 0 0 0.55220 LYRICAL BLUE RL PT IV 32 N DEAN ST ENGLEWOOD NJ 07631 471542108 INVESTMENTS DE GOTHIC CORPORATION INVES-EXCLUDED 353798 12679938 0 0 0.57140 STRATUS SCP II INVESTORS - C LP 50 LOTHIAN ROAD FESTIVAL SQUARE EDINBURGH UK EH3 9WJ INVESTMENTS UK GOTHIC CORPORATION INVES-EXCLUDED -2004579 12318134 0 0 0.57400 ALTOS HYBRID D LLC - 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