2026-02-24T14:39:07-06:00 2025-06-30 991856619 GRANT THORNTON ADVISORS LLC 757 THIRD AVENUE NEW YORK NY 100172013 990 2024-07-01 131624158 THE ROCKEFELLER UNIVERSITY ROCK 2123278000 1230 YORK AVENUE NEW YORK NY 100656307 ROMAYNE L BOTTI VP FOR FINANCE, TREASURER 2123278301 2026-02-24 1 0 DANIEL ROMANO P00504182 2125429609 2024 2025-03-06 01:10:19Z RICHARD P LIFTON 1230 YORK AVENUE NEW YORK NY 10065 776090724 0 X WWW.ROCKEFELLER.EDU X 1901 NY A WORLD-RENOWNED CENTER FOR RESEARCH AND GRADUATE EDUCATION. 46 45 1657 0 7497169 0 273449128 216539628 34195323 34061855 155101220 169155819 38285094 38653092 501030765 458410394 13548980 14091997 0 0 214493839 217097486 0 0 10411069 343287665 273258497 571330484 504447980 -70299719 -46037586 4025810239 4127223897 1484586983 1498629556 2541223256 2628594341 X THE ROCKEFELLER UNIVERSITY (THE UNIVERSITY) IS A WORLD RENOWNED CENTER FOR RESEARCH AND GRADUATE EDUCATION IN THE BIOMEDICAL SCIENCES, CHEMISTRY, BIOINFORMATICS, AND PHYSICS. THE UNIVERSITY'S 73 LABORATORIES CONDUCT BOTH CLINICAL AND BASIC RESEARCH AND STUDY A DIVERSE RANGE OF BIOLOGICAL AND BIOMEDICAL PROBLEMS WITH THE MISSION OF IMPROVING THE UNDERSTANDING OF LIFE FOR THE BENEFIT OF HUMANITY. LABORATORIES ARE LOOSELY CLUSTERED IN NINE RESEARCH AREAS COVERING A WIDE SPECTRUM OF DISCIPLINES IN THE LIFE SCIENCES, INCLUDING NEUROSCIENCE, IMMUNOLOGY, GENETICS, STRUCTURAL BIOLOGY AND BIOINFORMATICS. THE UNIVERSITY DOES NOT CHARGE TUITION. ITS REVENUES ARE DERIVED PRIMARILY FROM INVESTMENT INCOME, GOVERNMENT GRANTS AND CONTRACTS, AND PRIVATE GIFTS AND GRANTS. 0 0 362126398 14091997 RESEARCH EDUCATION - 73 LABORATORIES (AND 15 EMERITUS LABORATORIES) INCLUDING 82 FACULTY MEMBERS, 211 POST-DOCTORAL SCHOLARS, 263 GRADUATE STUDENTS AND WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY MEDICAL STUDENTS. 17418087 HOSPITAL - CONSISTS OF 40 BEDS AND SERVES AS A CLINICAL RESEARCH CENTER FOR OUTPATIENTS AND INPATIENTS. THE ROCKEFELLER UNIVERSITY HOSPITAL EXISTS SOLELY TO CONDUCT CLINICAL RESEARCH. THE SPECIALIZED PERSONNEL AND OTHER RESOURCES AVAILABLE AT THE HOSPITAL FACILITATE CLINICAL RESEARCH FOR BOTH THE INVESTIGATOR AND THE RESEARCH PARTICIPANT. 3414234 LIBRARY CONTAINS 648,432 VOLUMES (OF WHICH 370,028 ARE ON-LINE) AND 8,383 ON-LINE SUBSCRIPTIONS AND IS MAINTAINED ON AN OPEN STOCK POLICY. THE LIBRARY STRIVES TO ADVANCE KNOWLEDGE BY SUPPORTING OUR UNIVERSITY'S WORLD CLASS RESEARCH COMMUNITY WITH TECHNOLOGY, INNOVATION, AND COLLABORATION IN THE FIELD OF SCIENCE INFORMATION AND COMMUNICATION. 41049921 34061855 AUXILIARY ENTERPRISES - HOUSING ON CAMPUS FOR SINGLE AND MARRIED STUDENTS; OFF CAMPUS HOUSING FOR FACULTY AND OTHER UNIVERSITY PERSONNEL; FOOD SERVICE CONSISTS OF CAFETERIA DINING FACILITIES; PRESS INCLUDES JOURNAL AND SUBSCRIPTIONS. 41049921 34061855 424008640 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 1 1 1 0 1 0 0 0 1 0 1 1 0 1 1 1 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 1 0 1 X 657 0 1 1657 1 1 1 1 AR UK MX BE CA 0 0 0 0 0 0 0 0 1 0 X 46 45 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X MICHAEL P VITALE 2123278704 1230 YORK AVENUE NEW YORK NY 100656307 RICHARD P LIFTON MD PHD PRESIDENT 50.00 0.50 X X 1308593 0 285349 PAULA VOLENT CHIEF INVESTMENT OFFICER 50.00 0.00 X 1928555 0 328903 BETTY Y CHEN - MANAGING DIRECTOR, INVESTMENTS (THRU 10/24) 50.00 0.00 X 926322 0 40771 MAREN IMHOFF SVP, DEVELOPMENT 50.00 1.00 X 803309 0 125996 BARRY COLLER VP & PHYSICIAN-IN-CHIEF 50.00 0.50 X 716817 0 123955 TIMOTHY O'CONNOR EXECUTIVE VICE PRESIDENT 50.00 0.00 X 706920 0 120747 MICHAEL YOUNG VP, ACADEMIC AFFAIRS (THRU 8/31/23) 50.00 0.00 X 660410 0 125497 DEBORAH YEOH VP & GENERAL COUNSEL 50.00 0.00 X 659343 0 93149 CHARLES M RICE PROFESSOR, HEAD OF LABORATORY 50.00 0.00 X 620822 0 91014 TIMOTHY STEARNS VP, EDUCATION AFFAIRS 50.00 0.00 X 566933 0 120932 ROMAYNE L BOTTI VP, FINANCE & TREASURER 50.00 1.00 X 567271 0 119799 NATHANIEL HEINTZ PROFESSOR, HEAD OF LABORATORY 50.00 0.00 X 545389 0 138395 JEANNE FARRELL AVP, TECHNOLOGY TRANSFER 50.00 0.00 X 569612 0 81561 VIRGINIA HUFFMAN VP, HUMAN RESOURCES 50.00 0.00 X 516593 0 125231 TITIA DE LANGE PROFESSOR, HEAD OF LABORATORY 50.00 0.00 X 539178 0 94239 CORNELIA BARGMANN VP, ACADEMIC AFFAIRS 50.00 0.00 X 526652 0 91100 SIDNEY STRICKLAND VP, EDUCATION AFFAIRS (THRU 8/31/22) 50.00 0.00 X 486251 0 119743 ANTHONY CARVALLOZA - CHIEF INFORMATION OFFICER (FROM 11/13/24) 50.00 0.00 X 374996 0 117218 KRETINA COOK ASST. VP, FINANCE 50.00 0.00 X 319204 0 115005 ASHTON MURRAY VP UNIV. LIFE & COMMUNITY ENGAGEMENT 50.00 0.00 X 366775 0 63499 KAREN AKINSANYA PHD TRUSTEE 2.00 0.00 X 0 0 0 HOLLY ANDERSEN MD TRUSTEE 2.00 0.00 X 0 0 0 SCOTT KH BESSENT TRUSTEE (UNTIL 1/15/25) 3.00 0.00 X 0 0 0 DEBRA BLACK TRUSTEE 2.00 0.00 X 0 0 0 VALENTINO CARLOTTI TRUSTEE 2.00 0.00 X 0 0 0 ELI CASDIN TRUSTEE 2.00 0.00 X 0 0 0 ANNA CHAPMAN MD TRUSTEE 2.00 0.00 X 0 0 0 CAROLINE CURRY TRUSTEE 2.00 0.00 X 0 0 0 JAMES G DINAN TRUSTEE 2.00 0.00 X 0 0 0 ANDREAS C DRACOPOULOS TRUSTEE, VICE CHAIR 3.00 0.00 X X 0 0 0 CHERYL COHEN EFFRON TRUSTEE 2.00 0.00 X 0 0 0 ANNE CHANDLER BASS EVANS TRUSTEES 2.00 0.00 X 0 0 0 KATHERINE G FARLEY TRUSTEE (UNTIL 5/28/25) 3.00 0.00 X 0 0 0 MICHAEL D FASCITELLI TRUSTEE, VICE CHAIR 3.00 0.00 X X 0 0 0 LEE FIXEL TRUSTEE 2.00 0.00 X 0 0 0 WILLIAM E FORD TRUSTEE, CHAIR 5.00 0.00 X X 0 0 0 DANIEL GILMER TRUSTEE (FROM 3/12/25) 2.00 0.00 X 0 0 0 DIANE HALVORSEN TRUSTEE 2.00 0.00 X 0 0 0 STEWART J HEN TRUSTEE (FROM 11/13/24) 2.00 0.00 X 0 0 0 MICHAEL B HOFFMAN TRUSTEE 2.00 0.00 X 0 0 0 JESSICA HOPFIELD PHD TRUSTEE 2.00 0.00 X 0 0 0 SANDRA J HORBACH TRUSTEE 2.00 0.00 X 0 0 0 WILLIAM I HUYETT TRUSTEE 2.00 0.00 X 0 0 0 REBECCA A JOHN TRUSTEE 2.00 0.00 X 0 0 0 PAULA JOHNSON MD TRUSTEE 2.00 0.00 X 0 0 0 JOELLE KAYDEN TRUSTEE 2.00 0.00 X 0 0 0 MARY KLOTMAN MD TRUSTEE 3.00 0.00 X 0 0 0 PABLO G LEGORRETA TRUSTEE, VICE CHAIR 3.00 0.00 X X 0 0 0 GREGG LEMKAU TRUSTEE (UNTIL 3/12/25) 2.00 0.00 X 0 0 0 KAREN M LEVY TRUSTEE 2.00 0.00 X 0 0 0 GE LI PHD TRUSTEE 2.00 0.00 X 0 0 0 SCOTT MACKESY TRUSTEE 2.00 0.00 X 0 0 0 DIANE MATHIS PHD TRUSTEE (UNTIL 5/28/25) 2.00 0.00 X 0 0 0 ALEXANDRA MONDRE TRUSTEE (FROM 3/12/25) 2.00 0.00 X 0 0 0 JOHN MONSKY TRUSTEE 2.00 0.00 X 0 0 0 JEREMY NATHANS MD PHD TRUSTEE 3.00 0.00 X 0 0 0 JONATHAN M NELSON TRUSTEE 2.00 0.00 X 0 0 0 ROBIN CHEMERS NEUSTEIN TRUSTEE, VICE CHAIR 3.00 0.00 X X 0 0 0 DANIEL PACTHOD TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL PRICE TRUSTEE 3.00 0.00 X 0 0 0 JOHN M SHAPIRO TRUSTEE 3.00 0.00 X 0 0 0 MARILYN H SIMONS PHD TRUSTEE (FROM 3/12/25) 2.00 0.00 X 0 0 0 BARRY R SLOANE TRUSTEE 2.00 0.00 X 0 0 0 ROBERT STEEL TRUSTEE, VICE CHAIR 3.00 0.00 X X 0 0 0 DAVID SZE TRUSTEE 2.00 0.00 X 0 0 0 SANDRA TAMER TRUSTEE 2.00 0.00 X 0 0 0 RONALD D VALE PHD TRUSTEE (FROM 5/28/25) 2.00 0.00 X 0 0 0 HUDA ZOGHBI MD TRUSTEE 2.00 0.00 X 0 0 0 XIAOWEI ZHUANG PHD TRUSTEE 2.00 0.00 X 0 0 0 13709945 0 2522103 415 1 1 0 BLANK ROME LLP 1271 AVENUE OF THE AMERICAS NEW YORK NY 10020 LEGAL SERVICES 7084056 ROPES & GRAY LLP 800 BOYLSTON STREET BOSTON MA 02199 LEGAL SERVICES 6552470 BRIGHT HORIZONS CHILDREN'S CTR LLC 2 WELLS AVENUE NEWTON MA 02199 CHILD CARE / SCHOOLING 4428620 GREAT PERFORMANCES 2417 THIRD AVENUE SUITE 300 BRONX NY 10451 FOOD SERVICES 3398932 SUNSHINE BUILDING SERVICES 64-36 84TH STREET MIDDLE VILLAGE NY 11379 CLEANING SERVICES 1635273 62 3268278 96807687 116463663 10665715 216539628 HOUSING 532000 21922012 21922012 PRESS OPERATIONS 513120 8113815 8113815 FOOD SERVICE 722210 4026028 4026028 34061855 3299499 3299499 26461023 26461023 9928711 0 9928711 9928711 512064 9416647 459097353 24000000 317239233 1800 141858120 23998200 165856320 6985105 158871215 45450 3268278 439297 -393847 -393847 HHMI REIMBURSEMENTS 900009 468425 468425 REIMBURSEMENT OF COSTS 900099 431429 431429 INSTITUTE FOR ADVANCED 900009 385821 385821 1371530 1371530 2657205 458410394 34061855 7497169 200311742 14091997 14091997 9076053 2756120 5620333 699600 138175731 120274841 13259971 4640919 13329887 10201282 2400796 727809 47108014 40408185 5205276 1494553 9407801 7753329 1324362 330110 2977648 2977648 563171 84405 478766 1266958 1266958 34846445 33220303 1222862 403280 644635 346733 235312 62590 65526422 63779869 1215048 531505 2859032 2848067 10866 99 12497706 12497706 15221806 14472359 420519 328928 1171041 1105703 60007 5331 1756562 1658555 90010 7997 46169618 33323271 12846347 54708143 49552213 3977582 1178348 5228935 1262658 3966277 SUBCONTRACTS 14371044 14371044 LITIGATION PAYMENTS 13449331 13449331 504447980 424008640 70028271 10411069 49893 52855 66907034 60610738 218373980 174230816 8974436 7121944 5321905 5190387 35367215 33629300 1314349 1268637 5461337 5730475 1983291887 940001101 1076321722 1043290786 1339281778 1436763742 1242548399 1332287140 2781814 2909325 23106377 24137752 4025810239 4127223897 55632564 51620628 23552159 19973980 783331335 780868344 200345000 250345000 100000000 100000000 321725925 295821604 1484586983 1498629556 X 67826252 -1365026 2473397004 2629959367 2541223256 2628594341 4025810239 4127223897 X -46037586 139060287 -5651616 X 0 1 X 1 1 1 X 239404552 230283347 265706105 273449128 216539628 1225382760 239404552 230283347 265706105 273449128 216539628 1225382760 1816435 1223566325 30975147 36679383 35674131 40851431 39689233 183869325 1705330 4573493 1200548 2244115 2702655 12426141 1421678226 159400962 0.86060 0.84100 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: TAX EXEMPT BOND INCOME / LOSS - FUNDRAISING EVENTS INCOME - LINE 8A - 2021 AMOUNT: $ 14,109. 2022 AMOUNT: $ 72,675. 2023 AMOUNT: $ 56,475. 2024 AMOUNT: $ 45,450. OTHER INCOME - LINE 11E - 2020 AMOUNT: $ 1,705,330. 2021 AMOUNT: $ 4,559,384. 2022 AMOUNT: $ 1,127,873. 2023 AMOUNT: $ 2,187,640. 2024 AMOUNT: $ 2,657,205. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 888864 X 0 2420100946 23754603 304251041 140204031 2607902559 2365419481 14273279 179167951 138759765 2420100946 2608216257 28194902 -9815274 261176404 2365419481 2816696877 26536326 -72618237 162398709 2608216257 2184690526 16318325 767476546 151788520 2816696877 0.11000 0.19300 0.69700 0 0 33091525 33091525 1813697613 841547294 972150319 460112 441836 18276 134398536 97256734 37141802 1644101 755237 888864 1043290786 ALT INV-PRIVATE-BUYOUT FUNDS 514923944 F ALT INV-PRIVATE-NATURAL RES/OTHER 158895551 F ALT INV-PRIVATE-REAL ESTATE FUNDS 91041560 F ALT INV-PRIVATE-VENTURE CAPITAL FUNDS 564238585 F NATURAL RESOURCES AND OTHER 3187500 C 1332287140 AMOUNTS HELD FOR OTHERS 160937477 CONDITIONAL ASSET RETIREMENT OBLIGATION 10231306 CONTINGENT LIABILITIES 3928818 OBLIGATION UNDER DERIVATIVE INSTRUMENTS 53231003 POSTRETIREMENT BENEFIT OBLIGATION 67493000 295821604 X 558313498 139060287 -1833616 137226671 421086827 1266958 36056609 37323567 458410394 495106404 4423088 4423088 490683316 1266958 12497706 13764664 504447980 PART III, LINE 4: WORKS OF ART ARE DISPLAYED IN VARIOUS LOCATIONS THROUGHOUT THE CAMPUS. PART V, LINE 4: THE PRIMARY ROLE OF THE ENDOWMENT IS TO ADVANCE THE RESEARCH MISSION OF THE UNIVERSITY THROUGH SUPPORT OF THE ANNUAL OPERATING BUDGET AND FUTURE BUDGETS. THE INVESTMENT COMMITTEE OF THE BOARD OF TRUSTEES IS RESPONSIBLE FOR OVERSEEING THE ENDOWMENT. WITH THE SUPPORT OF THE OFFICE OF INVESTMENTS, THE COMMITTEE IS RESPONSIBLE FOR ESTABLISHING THE ENDOWMENTS INVESTMENT POLICY AND ASSET ALLOCATION; RETAINING AND OVERSEEING EXTERNAL INVESTMENT MANAGERS; AND MONITORING THE IMPLEMENTATION AND PERFORMANCE OF THE INVESTMENT PROGRAM. THE ENDOWMENTS ASSETS ARE INVESTED IN MARKETABLE SECURITIES, INCLUDING U.S. AND NON-U.S. EQUITY AND FIXED INCOME SECURITIES, AND PRIVATE INVESTMENTS, INCLUDING VENTURE CAPITAL, PRIVATE EQUITY AND REAL ASSETS. THE ASSETS ARE INVESTED BY EXTERNAL INVESTMENT MANAGERS THROUGH COMMINGLED VEHICLES INCLUDING FUNDS, TRUSTS, AND LIMITED PARTNERSHIPS. PART X, LINE 2: THE UNIVERSITY IS EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. THE UNIVERSITY FOLLOWS THE GUIDANCE OF ASC SUBTOPIC 740 10, INCOME TAXES - OVERALL, WHICH ADDRESSES ACCOUNTING FOR UNCERTAINTIES IN INCOME TAXES RECOGNIZED IN AN ENTERPRISE'S FINANCIAL STATEMENTS. THE UNIVERSITY UTILIZES A THRESHOLD OF MORE LIKELY THAN NOT FOR RECOGNITION AND DERECOGNITION OF TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. THE UNIVERSITY EVALUATES ON AN ANNUAL BASIS, THE EFFECT OF ANY UNCERTAIN TAX POSITION ON ITS FINANCIAL STATEMENTS. AS OF JUNE 30, 2025, THE UNIVERSITY HAS NOT IDENTIFIED OR PROVIDED FOR ANY SUCH POSITIONS. PART XI, LINE 2D - OTHER ADJUSTMENTS: UNREALIZED LOSS ON DERIVATIVE INSTRUMENTS - $(1,833,616) PART XI, LINE 4B - OTHER ADJUSTMENTS: ROYALTY PAYMENTS (NETTED IN FINANCIALS) - $12,497,706 FUNDRAISING EXPENSES - $(439,297) GAIN ON SALE OF ART WORK - $23,998,200 PART XII, LINE 2D - OTHER ADJUSTMENTS: RU FACULTY & STUDENTS CLUB, INC. - NET LOSS - $165,791 POSTRETIREMENT RELATED CHANGES - $3,818,000 FUNDRAISING EXPENSES - $439,297 PART XII, LINE 4B - OTHER ADJUSTMENTS: ROYALTY PAYMENTS (NETTED IN FINANCIALS) - $12,497,706 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 ROCKEFELLER UNIVERSITY PROHIBITS AND WILL NOT TOLERATE DISCRIMINATION OR HARASSMENT ON THE BASIS OF RACE; CREED; COLOR; NATIONAL ORIGIN; RELIGION; SEX; GENDER; SEXUAL ORIENTATION; STATUS AS A VICTIM OF DOMESTIC VIOLENCE, SEXUAL VIOLENCE, OR STALKING; SEXUAL AND REPRODUCTIVE HEALTH DECISIONS; PREGNANCY OR RELATED CONDITIONS; AGE; DISABILITY; ALIENAGE OR CITIZENSHIP STATUS; MILITARY OR VETERAN STATUS; MARITAL OR PARTNERSHIP STATUS; CAREGIVER STATUS; GENETIC INFORMATION; HEIGHT; WEIGHT; OR ANY OTHER CHARACTERISTIC PROTECTED UNDER APPLICABLE LAW (EACH A "PROTECTED CHARACTERISTIC"). SCHEDULE E, PART I, LINE 6 THE UNIVERSITY RECEIVES FINANCIAL ASSISTANCE FROM THE STATE OF NEW YORK UNDER THE BUNDY AID PROGRAM. EUROPE (INCLUDING ICELAND & GREENLAND) - INVESTMENTS 113918116 CENTRAL AMERICA & CARIBBEAN INVESTMENTS 1323527260 NORTH AMERICA INVESTMENTS 6939823 CENTRAL AMERICA & CARIBBEAN PROGRAM RESEARCH RELATED TRAVEL 10248 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, INVESTMENTS 14144431 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, PROGRAM RESEARCH RELATED TRAVEL 101976 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM PROGRAM RESEARCH RELATED TRAVEL 863002 MIDDLE EAST AND NORTH AFRICA - ALGERIA, BAHRAIN, DJIBOUTI, EGYPT, PROGRAM RESEARCH RELATED TRAVEL 37181 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES PROGRAM RESEARCH RELATED TRAVEL 73123 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, PROGRAM RESEARCH RELATED TRAVEL 19762 SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, PROGRAM RESEARCH RELATED TRAVEL 4834 SUB-SAHARAN AFRICA PROGRAM RESEARCH RELATED TRAVEL 23452 0 0 0 0 0 0 1459542037 121171 1459663208 1 0 1 1 1 0 WOMEN & SCIENCE LUNCHEON 1063111 1041511 21600 154883 42810 14198 CELEBRATING SCIENCE 2250617 2226767 23850 139203 76080 12123 3313728 3268278 45450 294086 118890 26321 439297 -393847 FORM 990, SCHEDULE G, PART II, FUNDRAISING EVENTS THE WOMEN & SCIENCE PROGRAM IS AN IMPORTANT OUTREACH AND FUNDRAISING INITIATIVE OF THE ROCKEFELLER UNIVERSITY. COMPRISED OF A WIDE CIRCLE OF FRIENDS AND BENEFACTORS, WOMEN & SCIENCE PROVIDES SUPPORT FOR EDUCATION AND CAREER ADVANCEMENT OF SCIENTISTS IN BIOMEDICAL RESEARCH AND RELATED FIELDS. ONE COMPONENT OF THIS INITIATIVE IS THE ANNUAL WOMEN & SCIENCE LECTURE AND LUNCHEON. FORM 990, SCHEDULE G, PART II, FUNDRAISING EVENTS THE CELEBRATING SCIENCE BENEFIT IS THE UNIVERSITY'S SIGNATURE FUNDRAISING EVENT OF THE YEAR, BRINGING TOGETHER OUR BENEFACTORS, SCIENTISTS, AND FRIENDS TO CELEBRATE SCIENTIFIC DISCOVERY AT ROCKEFELLER. THE CELEBRATING SCIENCE BENEFIT RAISES UNRESTRICTED SUPPORT TO SUSTAIN ROCKEFELLER UNIVERSITY'S RESEARCH AND EDUCATIONAL MISSION. 0 1 1 17418087 3146893 14271194 0.02830 17418087 3146893 14271194 0.02830 17418087 3146893 14271194 0.02830 0 0 1 1 THE ROCKEFELLER UNIVERSITY HOSPITAL 1230 YORK AVENUE NEW YORK NY 10065 WWW.RUCARES.ORG 7002031H X X THE ROCKEFELLER UNIVERSITY HOSPITAL 1 0 0 1 X X X X X X X X X 22 1 1 1 1 X WWW.RUCARES.ORG X X 1 22 1 WWW.RUCARES.ORG 0 0 0 0 0 0 0 1 0 0 PART V, SECTION A: THE ROCKEFELLER UNIVERSITY HOSPITAL EXISTS SOLELY TO CONDUCT CLINICAL RESEARCH. THE SPECIALIZED PERSONNEL AND OTHER RESOURCES AVAILABLE AT THE HOSPITAL FACILITATE CLINICAL RESEARCH FOR BOTH THE INVESTIGATOR AND THE RESEARCH PARTICIPANT. THE HOSPITAL'S FACILITIES INCLUDE A LICENSED 40-BED INPATIENT UNIT (14 BEDS ARE ACTIVE) WHICH IS STAFFED 5 DAYS PER WEEK. ALL PATIENT ROOMS ARE SINGLE-OCCUPANCY, PRIVATE ACCOMMODATIONS. SPECIALIZED FACILITIES INCLUDE A FOUR-ROOM PROCEDURE SUITE, SUITABLE FOR ENDOSCOPY AND BIOPSY PROCEDURES. THE ROBERT & HARRIET HEILBRUNN OUTPATIENT RESEARCH CENTER OPENED IN JANUARY 2003 AND INCLUDES 9 EXAM ROOMS, 2 CONSULTATION ROOMS, AND 2 PHLEBOTOMY ROOMS, AS WELL AS OTHER PATIENT AND STAFF FACILITIES. THE OUTPATIENT RESEARCH CENTER IS OPEN WEEKDAYS FROM 8AM TO 4PM. THE ROCKEFELLER UNIVERSITY HOSPITAL AND CENTER FOR CLINICAL AND TRANSLATIONAL SCIENCE IS PARTICULARLY SUITABLE FOR CONDUCTING STUDIES INVOLVING MODERATE AND LOW ACUITY PATIENTS, AS WELL AS HIGH INTENSITY, HIGH-COMPLEXITY PROTOCOLS SUCH AS PHARMACOKINETICS AND METABOLIC STUDIES. THE HOSPITAL'S STRENGTHS INCLUDE A SPECIALIZED RESEARCH BIONUTRITION DEPARTMENT, AN ON-SITE RESEARCH PHARMACY. FULL CLINICAL LABORATORY SERVICES ARE PROVIDED VIA CONTRACT WITH MEMORIAL-SLOAN KETTERING CANCER CENTER; RADIOLOGY AND EKG INTERPRETATIONS ARE PROVIDED BY ARRANGEMENT WITH NEW YORK-PRESBYTERIAN HOSPITAL; ON-SITE APHERESIS SERVICES ARE PROVIDED BY CONTRACT WITH NEW YORK BLOOD CENTER. THE HOSPITAL IS LICENSED BY THE STATE OF NEW YORK. THE ROCKEFELLER UNIVERSITY HOSPITAL PART V, SECTION B, LINE 6A: MAIMONIDES MEDICAL CENTER AND NEW YORK COMMUNITY HOSPITALMEMORIAL SLOAN KETTERING CANCER CENTERNEW YORK-PRESBYTERIAN HOSPITALNIAGARA FALLS MEMORIAL MEDICAL CENTERST. JOHN'S RIVERSIDE HOSPITAL THE ROCKEFELLER UNIVERSITY HOSPITAL PART V, SECTION B, LINE 6B: MEDISYSHEALTH NETWORKMONTEFIORE HEALTH SYSTEMNORTHWELL HEALTHNUVANCEONE BROOKLYN HEALTH SYSTEMSBH HEALTH SYSTEMWMC HEALTHNETWORK THE ROCKEFELLER UNIVERSITY HOSPITAL PART V, SECTION B, LINE 7D: PUBLICIZED ANNUALLY IN THE ROCKEFELLER UNIVERSITY'S ENEWSLETTER. THE ROCKEFELLER UNIVERSITY HOSPITAL PART V, SECTION B, LINE 11: PART V, SECTION B, LINES 5 AND 11SEE PART VI FOR COMMUNITY BUILDING ACTIVITIES SCHEDULE H PART V, LINE 22 - 24 THE SECTION "CHARGES TO INDIVIDUALS ELIGIBLE FOR ASSISTANCE UNDER THE FINANCIAL ASSISTANCE POLICY" IS NOT APPLICABLE SINCE THE HOSPITAL NEITHER COLLECTS INSURANCE INFORMATION FROM ITS RESEARCH PARTICIPANTS (PATIENTS), NOR BILLS FOR SERVICES, NEITHER A COLLECTION POLICY NOR AN AMOUNTS GENERALLY BILLED CALCULATION ARE NECESSARY. SCHEDULE H PART VI, NARRATIVES PART I, LINES 3C, 6A AND 7 - NOT APPLICABLE.PART III, LINES 2,3,4 AND 8 - NOT APPLICABLE.PART VI, LINE 7 - THE ROCKEFELLER UNIVERSITY HOSPITAL IS NOT REQUIRED TO FILE A COMMUNITY BENEFIT REPORT WITH THE STATE OF NEW YORK. PART II, COMMUNITY BUILDING ACTIVITIES: THE ROCKEFELLER UNIVERSITY HOSPITAL IS LOCATED ON THE UPPER EAST SIDE OF MANHATTAN IN COMMUNITY DISTRICT 8. THE ROCKEFELLER UNIVERSITY HOSPITAL IS A UNIQUE INSTITUTION. AS AN INSTITUTION SOLELY COMMITTED TO CONDUCTING CLINICAL RESEARCH OUR COMMUNITY/SERVICE AREA IS DEFINED AS THE NEW YORK METROPOLITAN AREA. THE ROCKEFELLER UNIVERSITY HOSPITAL HAS PROVIDED AN ARRAY OF CLINICAL RESEARCH AND PATIENT CARE SERVICES SINCE ITS FOUNDING IN 1910. THE ROCKEFELLER UNIVERSITY HOSPITAL COMMUNITY SERVED/SERVICE AREA IS DETERMINED BASED ON RESEARCH BEING CONDUCTED. PRINCIPAL INVESTIGATORS IDENTIFY AN AREA OF INTEREST AND SUBMIT A PROTOCOL FOR REVIEW AND APPROVAL BY OUR INSTITUTIONAL REVIEW BOARD. WHEN THE PROTOCOL IS APPROVED, OUR RECRUITMENT OFFICE WORKS WITH THE INVESTIGATOR TO DEVELOP AND SUBMIT ADVERTISEMENTS IN LOCAL NEWSPAPERS, MAGAZINES AND ONLINE. IDENTIFICATION OF EFFECTIVE PLACES TO ADVERTISE IS DETERMINED BY CURRENT TRENDS IN READERSHIP AMONG LOCAL NEWSPAPERS, MAGAZINES AND VISITS TO PARTICULAR WEBSITES SUCH AS CRAIGSLIST AND FACEBOOK. RESEARCH PARTICIPANTS ARE CULLED FROM ALL OVER NEW YORK CITY AS WELL AS THROUGH COLLABORATIONS WITH NEIGHBORING HOSPITALS, UNIVERSITIES, AND CLINICS. AS A RESULT, OUR ENROLLED RESEARCH PARTICIPANT DEMOGRAPHICS ARE SIMILAR TO THOSE OF NEW YORK CITY OVERALL. IN CALENDAR YEAR 2024 20.14% OF RESEARCH PARTICIPANTS IDENTIFIED AS HISPANIC, 31.4% IDENTIFIED AS BLACK OR AFRICAN-AMERICAN AND 37.54% IDENTIFIED AS WHITE (RUH SUBJECT RACE AND ETHNICITY REPORT 2024), WHICH IS SIMILAR TO THE GEOGRAPHIC MAKEUP OF NEW YORK CITY (35.99% WHITE, 22.74% BLACK OR AFRICAN-AMERICAN, AND 28.49% HISPANIC). SOURCE:HTTPS://WWW.CENSUS.GOV/QUICKFACTS/FACT/TABLE/NEWYORKCOUNTYNEWYORK,NEWYORKCITYNEWYORK/PST045224 PART III, LINE 9B: THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT HAVE ANY NET PATIENT SERVICE REVENUE AS IT DOES NOT CHARGE ITS PATIENTS. THE PATIENTS, REFERRED TO AS PARTICIPANTS, ARE VOLUNTEERS WHO RECEIVE PARTICIPANT COMPENSATION FOR CERTAIN CLINICAL TRIALS AND RESEARCH STUDIES (PROTOCOLS) THAT ARE PERFORMED ON A ROUTINE BASIS. PART VI, LINE 2: VOLUNTEERS/PARTICIPANTS (PATIENTS) WHO CONSENT TO PARTICIPATE IN RESEARCH STUDIES (PROTOCOLS) PARTICIPATE (TREATED) WITHOUT CHARGE. UNLIKE MOST HOSPITALS, THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT ROUTINELY PROVIDE STANDARD DIAGNOSTIC AND TREATMENT SERVICES. ADMISSION IS SELECTIVE; RESEARCH PARTICIPANTS (PATIENTS) ARE ENROLLED IN STUDIES BY TRAINED STAFF SOLELY BECAUSE THEY MEET THE INCLUSION CRITERIA OF THE IRB APPROVED RESEARCH PROTOCOL. THUS, ALL RESEARCH PARTICIPANTS ARE VOLUNTEERS, AND AS SUCH ARE IMPORTANT PARTNERS IN THE RESEARCH PROCESS. WITHOUT VOLUNTEERS, SIGNIFICANT ADVANCES IN BIOMEDICAL KNOWLEDGE COULD NOT OTHERWISE BE ACHIEVED. PART VI, LINE 3: THE ROCKEFELLER UNIVERSITY HOSPITAL CONDUCTS RESEARCH FUNDED PRIMARILY BY A SUBSIDY FROM THE ROCKEFELLER UNIVERSITY. ALL RESEARCH PARTICIPANTS (PATIENTS) ARE VOLUNTARY RESEARCH SUBJECTS WHO ARE NOT CHARGED FOR PARTICIPATION IN CLINICAL RESEARCH STUDIES AT THE ROCKEFELLER UNIVERSITY HOSPITAL. IN THE PROCESS OF PERFORMING PATIENT-ORIENTED RESEARCH, THE NEED FOR MEDICALLY INDICATED AND THUS POTENTIALLY REIMBURSABLE CARE COULD ARISE; HOWEVER, THE HOSPITAL DOES NOT BILL PATIENTS OR THEIR INSURANCE COMPANIES FOR SUCH SERVICE. THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT COLLECT INSURANCE INFORMATION FROM RESEARCH PARTICIPANTS OUTSIDE OF THE REQUESTING THE TYPE OF INSURANCE THEY HAVE. WE ONLY ASK THAT THEY SELF-REPORT IF THEY ARE INSURED OR UNINSURED. IF A RESEARCH PARTICIPANT (PATIENT) NEEDS ACCESS TO SOCIAL SERVICES, AND ANY ADDITIONAL ANCILLARY SERVICES NOT PART OF THE RESEARCH PROTOCOL, THE ROCKEFELLER UNIVERSITY HOSPITAL PROVIDES ACCESS TO SOCIAL SERVICES TO HELP RESEARCH PARTICIPANTS ACCESS CARE EXTERNALLY SHOULD THE NEED ARISE. ALL RESEARCH PARTICIPANTS (PATIENTS) ARE AWARE AND ARE TOLD DURING THE CONSENT PROCESS WHEN THEY AGREE TO PARTICIPATE IN A RESEARCH PROTOCOL THAT THERE ARE NO FEES FOR SERVICES RENDERED. PART VI, LINE 4: THE ROCKEFELLER UNIVERSITY HOSPITAL IS LOCATED ON THE UPPER EAST SIDE OF MANHATTAN IN COMMUNITY DISTRICT 8. THE ROCKEFELLER UNIVERSITY HOSPITAL IS A UNIQUE INSTITUTION. AS AN INSTITUTION COMMITTED TO CONDUCTING CLINICAL RESEARCH, OUR COMMUNITY/SERVICE AREA IS DEFINED AS THE NEW YORK METROPOLITAN AREA. THE ROCKEFELLER UNIVERSITY HOSPITAL HAS PROVIDED AN ARRAY OF CLINICAL RESEARCH AND PATIENT CARE SERVICES SINCE ITS FOUNDING IN 1910. RESEARCH PARTICIPANTS ARE CULLED FROM ALL OVER NEW YORK CITY THROUGH COLLABORATIONS WITH NEIGHBORING HOSPITALS, UNIVERSITIES, AND CLINICS. PATIENTS WITH RARE DISEASE THAT ARE BEING STUDIED AT ROCKEFELLER COME FROM ALL OVER THE WORLD. AS AN INSTITUTION THAT PROVIDES SERVICES TO VOLUNTEERS WHO HAVE AGREED TO PARTICIPATE IN A RESEARCH STUDY OUR PARTICIPANT DEMOGRAPHICS GENERALLY FOLLOW THOSE OF NEW YORK CITY, WHICH IS 35.9% WHITE, 22.7% BLACK OR AFRICAN AMERICAN, AND 28.49% HISPANIC (HTTPS://WWW.CENSUS.GOV/). IN CALENDAR YEAR 2024 20.14% OF RESEARCH PARTICIPANTS IDENTIFIED AS HISPANIC, 31.4% IDENTIFIED AS BLACK OR AFRICAN AMERICAN AND 37.54% IDENTIFIED AS WHITE (RUH SUBJECT RACE AND ETHNICITY REPORT 2024), WHICH IS SIMILAR TO THE GEOGRAPHIC MAKEUP OF NEW YORK CITY (35.99% WHITE, 22.74% BLACK OR AFRICAN-AMERICAN AND 28.49% HISPANIC). THE ROCKEFELLER UNIVERSITY HOSPITAL IS OWNED BY THE UNIVERSITY AND IS LICENSED FOR 40 INPATIENT BEDS FOR CLINICAL RESEARCH. THE HOSPITAL PROVIDES RESEARCHERS WITH AN OPPORTUNITY TO CONDUCT CLINICAL STUDIES AND OFFERS BOTH NORMAL VOLUNTEERS AND PEOPLE WITH DISEASES UNDER STUDY THE OPPORTUNITY TO STAY IN THE HOSPITAL AND HELP TO CONTRIBUTE TO IMPORTANT ADVANCES IN SCIENCE. THE HOSPITAL HAS AN INPATIENT UNIT AS WELL AS AN OUTPATIENT CENTER WHERE PROSPECTIVE PATIENTS ARE SCREENED, AND MANY OUTPATIENT STUDIES ARE CONDUCTED. MEDICAL SERVICES, SURGICAL SERVICES, EMERGENCY CARE, SPECIALIZED CARE, RADIOLOGY AND AMBULATORY CARE IS PROVIDED BY NEW YORK PRESBYTERIAN HOSPITAL. IN ADDITION, CANCER CARE, EDUCATION AND RESEARCH ARE PROVIDED BY MEMORIAL SLOAN-KETTERING CANCER CENTER. BOTH INSTITUTIONS ARE LOCATED ADJACENT TO ROCKEFELLER UNIVERSITY HOSPITAL. THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT GENERALLY PROVIDE MEDICAL CARE FOR RESEARCH PARTICIPANTS BEYOND THAT NEEDED FOR PARTICIPATION IN THE RESEARCH STUDY. SHOULD A RESEARCH PARTICIPANT BECOME ACUTELY AND SEVERELY ILL, THEY ARE IMMEDIATELY TRANSFERRED TO NEW YORK PRESBYTERIAN HOSPITAL SINCE THEY ARE EQUIPPED TO RESPOND TO THE HEALTH NEEDS OF THE COMMUNITY. THE HOSPITAL INPATIENT UNIT IS STAFFED 5 DAYS A WEEK, 24 HOURS A DAY WITH PROFESSIONAL NURSES AND HAS NUTRITIONAL RESEARCH SERVICES, SOCIAL WORK, AS WELL AS ITS OWN RESEARCH PHARMACY. OUR STAFF HOSPITALIST AND ON-CALL PHYSICIANS PROVIDE ADDITIONAL MEDICAL SUPPORT TO THE CLINICAL RESEARCH TEAMS. SOCIAL SERVICE NEEDS, PRIMARY AND CHRONIC DISEASE NEEDS, HEALTH ISSUES OF UNINSURED PERSONS, LOW-INCOME PERSONS, AND MINORITY GROUPS ARE ASSESSED BY OUR ON-SITE SOCIAL WORKER. THE SOCIAL WORKER THEN REFERS RESEARCH PARTICIPANTS BASED ON NEEDS TO LOCAL INSTITUTIONS THAT CAN PROVIDE RESOURCES. IN 2020 THE CORONAVIRUS PANDEMIC HAD A SIGNIFICANT IMPACT ON HOW HEALTH CARE IS ACCESSED AND PROVIDED IN NEW YORK CITY. THE PANDEMIC SHED ADDITIONAL LIGHT ON THE MANY INEQUITIES IN HEALTH CARE INCLUDING ACCESS TO CARE AND THE MANY RACIAL DISPARITIES THAT EXIST BASED ON SOCIOECONOMIC STATUS AND RACE. THE GLOBAL PANDEMIC MADE CLEAR THAT EVERYONE CAN BE AFFECTED AND THAT ISOLATION, MENTAL AND EMOTIONAL HEALTH AS WELL AS THE ECONOMIC IMPACT WILL CONTINUE TO SHAPE HOW HEALTH CARE IS PROVIDED IN THIS COUNTRY AND WILL BE ANALYZED AND ASSESSED FOR YEARS TO COME. THE IMPACT ON OUR RESEARCH DURING THE GLOBAL PANDEMIC IMMEDIATELY AFFECTED PARTICIPATION IN RESEARCH AND CONTINUES TO HAVE AN IMPACT. IN 2024 THE ROCKEFELLER UNIVERSITY HOSPITAL HAD 0 INPATIENT DAYS(0 ADMISSIONS) AND OVER 1,266 OUTPATIENT VISITS. PART VI, LINE 5: THE ROCKEFELLER UNIVERSITY HOSPITAL CONDUCTED ITS COMMUNITY HEALTH NEEDS ASSESSMENT IN THE SUMMER OF 2022 IN COLLABORATION WITH THE GREATER NEW YORK HOSPITAL ASSOCIATION COMMUNITY HEALTH NEEDS ASSESSMENT (CHNA) SURVEY COLLABORATIVE TO DETERMINE HEALTH CONCERNS OF NEW YORK CITY RESIDENTS. A DIVERSE GROUP OF GNYHA HOSPITALS PARTICIPATED IN THE 2022 COLLABORATIVE INCLUDING COMMUNITY AND SAFETY NET HOSPITALS, SMALL HEALTH SYSTEMS, AND LARGE ACADEMIC MEDICAL CENTERS. THE SURVEY WAS DEVELOPED BY GNHYA WITH MEMBER INPUT AND WAS MADE AVAILABLE ACROSS NYC IN 11 LANGUAGES ONLINE AND IN PAPER FORM. GNHYA COLLECTED THE DATA, ANALYZED THE RESULTS, AND CREATED CUSTOM REPORTS FOR EACH PARTICIPATING INSTITUTION. MORE THAN 17,000 COMMUNITY MEMBERS SUBMITTED THE SURVEY WITH APPROXIMATELY 70 PERCENT OF RESPONDENTS COMPLETING THE ENTIRE SURVEY (CHNASURVEYCOLLAB-ES). WE REVIEWED AND ANALYZED DATA PROVIDED BY CHNA SURVEY COLLABORATIVE RESULTS, DOH 2021 HEALTH EQUITY REPORTS, THE NEW YORK STATE DEPARTMENT OF HEALTH AND THE NEW YORK CITY DEPARTMENT OF HEALTH AND MENTAL HYGIENE NEIGHBORHOOD HEALTH ATLAS, AND SNAPSHOTS WITH AN IN-DEPTH LOOK AT HEALTH NEEDS OF THE COMMUNITY IN DISTRICT 8 WHERE ROCKEFELLER UNIVERSITY HOSPITAL IS LOCATED AS WELL AS NEW YORK CITY AS A WHOLE. THIS ALLOWED US TO REVIEW KEY HEALTH TRENDS AMONG NEW YORK CITY RESIDENTS, AS WELL AS RESIDENTS LOCATED NEAR OUR RESEARCH HOSPITAL. NEW YORK CITY RESIDENTS IDENTIFIED THE FOLLOWING HEALTH CONCERNS: - VIOLENCE (INCLUDING GUN VIOLENCE)- MENTAL HEALTH/DEPRESSION- FALLS AMONG THE ELDERLY- DENTAL CARE- COVID-19- CANCER - HEART DISEASE- ACCESS TO HEALTHY/NUTRITIOUS FOOD- CARDIOVASCULAR DISEASE- CHRONIC DISEASE CARE - CLINIC/HOSPITAL ACCESS PROGRAMS- SUPPORT SERVICES THE NEW YORK METROPOLITAN AREA HAS AN ARRAY OF HEALTH NEEDS BASED ON GEOGRAPHIC LOCATION AND SOCIOECONOMIC STATUS. ACCORDING TO THE NEW YORK CITY DEPARTMENT OF HEALTH AND MENTAL HYGIENE 78% OF NEW YORK CITY ADULTS CONSIDERED THEMSELVES TO BE IN VERY GOOD OR GOOD HEALTH (COMMUNITY HEALTH PROFILES 2021). CHRONIC DISEASES SUCH AS DIABETES, HYPERTENSION AND OBESITY CONTINUE TO SEVERELY AFFECT THE COMMUNITIES WE SERVE. NEARLY 2.4 MILLION ADULT NEW YORKERS REPORTED HAVING HYPERTENSION, AN INCREASE OF APPROXIMATELY 33% OF THE TOTAL POPULATION SINCE 2016, AND MORE THAN 24 PERCENT OF NEW YORK CITY RESIDENTS ARE IDENTIFIED AS OVERWEIGHT OR OBESE (NEW YORK CITY DEPARTMENT OF HEALTH AND MENTAL HYGIENE. COMMUNITY HEALTH PROFILES-[UPPER WEST SIDE 108] HTTPS://NYC.GOV/HEALTH/PROFILES). THE NUMBER OF NEW YORKERS WHO ARE UNINSURED HAS DECREASED SINCE THE INITIATION OF THE AFFORDABLE CARE ACT (ACA) FROM 20 PRECENT TO 12 HOWEVER ACCESS AND HEALTH EQUITY IN HEALTH CARE CONTINUE TO BE CONCERN FOR MANY RESIDENTS AND RESEARCH PARTICIPANTS. WHILE MANY RESEARCH PARTICIPANTS TEND TO SEEK CARE WITH A PRIMARY CARE PHYSICIAN IN LIEU OF HIGH UTILIZATION OF THE EMERGENCY ROOM WHERE THERE WAS NO FOLLOW-UP CARE TO TRACK DISEASE PROGRESSION, WE KNOW THAT ENVIRONMENT, INCLUDING HOUSING, SAFETY, AND ACCESS TO CARE CONTINUE TO PLAGUE COMMUNITIES IN NEW YORK CITY. ALTHOUGH THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT PROVIDE DIRECT CARE TO RESEARCH PARTICIPANTS OUTSIDE OF THE RESEARCH PROTOCOL, THE HEALTH OF OUR PARTICIPANTS IS OUR HIGHEST PRIORITY AND SO, IN ADDITION TO PROVIDING CARE AS PER THE PROTOCOLS FREE OF CHARGE, WE IDENTIFY RESOURCES AND SERVICES TO ENSURE ACCESS TO SUPPORT SERVICES AND MEDICAL FACILITIES OUTSIDE OF OUR HOSPITAL TO MEET THE HEALTH NEEDS OF OUR PARTICIPANT COMMUNITY. TO THAT END, THE ROCKEFELLER UNIVERSITY HOSPITAL HAS A SOCIAL WORKER ON STAFF TO CONDUCT ONE-ON-ONE CONSULTATIONS WITH, AND ASSESSMENTS OF, RESEARCH PARTICIPANTS TO DETERMINE THEIR NEEDS AND IDENTIFY OUTSIDE RESOURCES THAT CAN FURTHER ASSIST THEM IN RECEIVING THE CARE THEY REQUIRE. AS PART OF THIS SERVICE, THE ROCKEFELLER UNIVERSITY HOSPITAL MAINTAINS STRONG RELATIONSHIP WITH ORGANIZATIONS IN THE NEW YORK METROPOLITAN AREA THAT CAN PROVIDE THESE SERVICES TO EXPEDITE REFERRALS. THE ROCKEFELLER UNIVERSITY HOSPITAL COMMUNITY SERVED/SERVICE AREA IS DETERMINED BASED ON RESEARCH BEING CONDUCTED. PRINCIPAL INVESTIGATORS IDENTIFY AN AREA OF INTEREST AND SUBMIT A PROTOCOL FOR REVIEW AND APPROVAL BY OUR INSTITUTIONAL REVIEW BOARD. WHEN THE PROTOCOL IS APPROVED, OUR RECRUITMENT OFFICE WORKS WITH THE INVESTIGATOR TO DEVELOP AND SUBMIT ADVERTISEMENTS IN LOCAL NEWSPAPERS, MAGAZINES AND ONLINE. IDENTIFICATION OF EFFECTIVE PLACES TO ADVERTISE IS DETERMINED BY CURRENT TRENDS IN READERSHIP AMONG LOCAL NEWSPAPERS, MAGAZINES, AND VISITS TO WEBSITES SUCH AS CRAIGSLIST'S AND FACEBOOK. DEMOGRAPHICS OF RESEARCH PARTICIPANTS RECRUITED IS SIMILAR TO THAT OF THE DEMOGRAPHIC OF NEW YORK CITY, 20.14% IDENTIFIED AS HISPANIC, 31.4% BLACK/AFRICAN AMERICAN AND 37.64% IDENTIFIED AS WHITE (RUH RECRUITMENT REPOSITORY DATA 2024). TO ASSIST THE HOSPITAL IN IDENTIFYING HEALTH CONCERNS TO ADDRESS AS PART OF OUR COMMUNITY SERVICE PLAN, THE ROCKEFELLER UNIVERSITY HOSPITAL REVIEWED STATISTICS FROM THE NEW YORK STATE DEPARTMENT OF HEALTH PREVENTION AGENDA TOWARDS A HEALTH STATE PREVENTION AGENDA 2019-2024), AND NEW YORK STATE HEALTH ASSESSMENT 2018. PART VI, LINE 6: THE ROCKEFELLER UNIVERSITY HOSPITAL IS NOT PART OF AN AFFILIATED HEALTH CARE SYSTEM. 1 RESEARCH FELLOWSHIPS 77 3506984 RESEARCH STIPENDS 229 10585013 PART I, LINE 2: STIPENDS AND RESEARCH FELLOWSHIPS ARE FUNDS PAID TO OFFSET LIVING EXPENSES FOR TRAINEES WHILE THEY FURTHER THEIR EDUCATION AT ROCKEFELLER. THESE AMOUNTS ARE NOT CONSIDERED SALARY OR WAGES GIVEN IN CONSIDERATION FOR SPECIFIC JOB DUTIES NOR ARE THEY GRANTS GIVEN IN ANTICIPATION OF SPECIFIC SCIENTIFIC ACHIEVEMENTS ON THE INDIVIDUALS PARTS. THERE IS NO RESTRICTION ON THE USE OF THE FUNDS ONCE THEY ARE RECEIVED BY THE TRAINEES. X 1 1 X X X X X 0 0 0 1 0 0 0 1 0 RICHARD P LIFTON MD PHD PRESIDENT 1137539 0 0 0 171054 0 59356 0 225993 0 1593942 0 0 0 PAULA VOLENT CHIEF INVESTMENT OFFICER 1078988 0 695289 0 154278 0 297134 0 31769 0 2257458 0 229636 0 BETTY Y CHEN - MANAGING DIRECTOR, INVESTMENTS (THRU 10/24) 368572 0 500000 0 57750 0 0 0 40771 0 967093 0 0 0 MAREN IMHOFF SVP, DEVELOPMENT 677169 0 50000 0 76140 0 59216 0 66780 0 929305 0 0 0 BARRY COLLER VP & PHYSICIAN-IN-CHIEF 643884 0 0 0 72933 0 59245 0 64710 0 840772 0 0 0 TIMOTHY O'CONNOR EXECUTIVE VICE PRESIDENT 641793 0 0 0 65127 0 59291 0 61456 0 827667 0 0 0 MICHAEL YOUNG VP, ACADEMIC AFFAIRS (THRU 8/31/23) 579155 0 0 0 81255 0 59223 0 66274 0 785907 0 0 0 DEBORAH YEOH VP & GENERAL COUNSEL 602609 0 0 0 56734 0 52930 0 40219 0 752492 0 0 0 CHARLES M RICE PROFESSOR, HEAD OF LABORATORY 565080 0 0 0 55742 0 59347 0 31667 0 711836 0 0 0 TIMOTHY STEARNS VP, EDUCATION AFFAIRS 525789 0 0 0 41144 0 59272 0 61660 0 687865 0 0 0 ROMAYNE L BOTTI VP, FINANCE & TREASURER 493893 0 0 0 73378 0 37404 0 82395 0 687070 0 0 0 NATHANIEL HEINTZ PROFESSOR, HEAD OF LABORATORY 497808 0 0 0 47581 0 59200 0 79195 0 683784 0 0 0 JEANNE FARRELL AVP, TECHNOLOGY TRANSFER 438622 0 0 0 130990 0 30578 0 50983 0 651173 0 0 0 VIRGINIA HUFFMAN VP, HUMAN RESOURCES 480289 0 0 0 36304 0 59171 0 66060 0 641824 0 0 0 TITIA DE LANGE PROFESSOR, HEAD OF LABORATORY 500048 0 0 0 39130 0 59270 0 34969 0 633417 0 0 0 CORNELIA BARGMANN VP, ACADEMIC AFFAIRS 493478 0 0 0 33174 0 59331 0 31769 0 617752 0 0 0 SIDNEY STRICKLAND VP, EDUCATION AFFAIRS (THRU 8/31/22) 458468 0 0 0 27783 0 59259 0 60484 0 605994 0 0 0 ANTHONY CARVALLOZA - CHIEF INFORMATION OFFICER (FROM 11/13/24) 355943 0 0 0 19053 0 38023 0 79195 0 492214 0 0 0 KRETINA COOK ASST. VP, FINANCE 280559 0 0 0 38645 0 48635 0 66370 0 434209 0 0 0 ASHTON MURRAY VP UNIV. LIFE & COMMUNITY ENGAGEMENT 358166 0 0 0 8609 0 30647 0 32852 0 430274 0 0 0 PART I, LINE 1A THE UNIVERSITY PROVIDES A RESIDENCE FOR THE PRESIDENT ON CAMPUS. THE RESIDENCE IS A CONDITION OF EMPLOYMENT AS STATED IN THE PRESIDENT'S APPOINTMENT LETTER. THE HOUSE IS PROVIDED TO ENABLE THE PRESIDENT TO BE ON CAMPUS 24/7 IN ORDER TO RESPOND TO EMERGENT SITUATIONS THAT MAY ARISE AND FOR OTHER BUSINESS PURPOSES. PART I, LINE 5 THE UNIVERSITY MAINTAINS A BONUS PLAN FOR THE CHIEF INVESTMENT OFFICER AND THE DEPUTY CHIEF INVESTMENT OFFICER WHICH IS PARTIALLY BASED UPON THE PERFORMANCE OF THE UNIVERSITY'S ENDOWMENT OVER 1-,3-, AND 5-YEAR PERIODS, IN ADDITION TO OTHER QUANTITATIVE AND QUALITATIVE MEASURES. THE PLAN WAS APPROVED BY THE UNIVERSITY'S COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. THE PLAN WAS DEVELOPED USING COMPARATIVE DATA FROM SIMILAR INSTITUTIONS. FOR RETENTION PURPOSES, A PORTION OF THE ANNUAL BONUS IS DEFERRED AND PAID IN SUBSEQUENT YEARS. CERTAIN INVESTMENT OFFICE STAFF ARE ALSO ELIGIBLE FOR A BONUS. PART I, LINE 7 BONUSES, AS REPORTED IN COLUMN B(II), ARE BASED ON EXTRAORDINARY OPERATIONAL ACHIEVEMENTS. BONUSES ARE APPROVED BY THE PRESIDENT AND THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. A DORMITORY AUTHORITY OF THE STATE OF NEW YORK (ISSUE DATE 013108) 146000293 649903YA3 2008-01-31 103215000 CONST. & RENOV. 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SUCH AMOUNTS WOULD BE IN ACCORDANCE WITH FINANCIAL AID OR GRANT PRACTICES AT ARM'S LENGTH, AND ARE PROTECTED UNDER FERPA, THEREFORE, WILL NOT BE DISCLOSED ON PART III. X 85 10665715 FAIR MARKET VALUE 0 1 1 PART I, LINE 32B: THE UNIVERSITY UTILIZES A THIRD PARTY TO SELL GIFTS OF STOCK THAT IT RECEIVES DURING THE FISCAL YEAR. FORM 990, PART VI, SECTION A, LINE 2 WILLIAM E. FORD (RU TRUSTEE) HAS A BUSINESS RELATIONSHIP WITH PABLO LEGORRETA (RU TRUSTEE). MICHAEL FASCITELLI (RU TRUSTEE) HAS A BUSINESS RELATIONSHIP WITH JAMIE DINAN (RU TRUSTEE). FORM 990, PART VI, SECTION B, LINE 11B THE ORGANIZATION MADE AVAILABLE TO THE GOVERNING BOARD OF TRUSTEES THE COMPLETED FORM 990 PRIOR TO ITS SUBMISSION. ANY COMMENTS OR QUESTIONS PERTAINING TO THE FORM 990 WERE SENT TO THE VICE PRESIDENT, FINANCE OR A MEMBER OF THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES REVIEWED AND APPROVED THE FORM 990 PRIOR TO ITS SUBMISSION. FORM 990, PART VI, SECTION B, LINE 12C ALL MEMBERS OF THE UNIVERSITY COMMUNITY ARE COVERED BY APPLICABLE UNIVERSITY CONFLICT OF INTEREST POLICIES. TRUSTEES OF THE UNIVERSITY'S BOARD OF TRUSTEES, NON-TRUSTEE COMMITTEE MEMBERS, OFFICERS, AND KEY EMPLOYEES ARE COVERED BY THE BUSINESS CONFLICT OF INTEREST AND FAMILY/BUSINESS RELATIONSHIPS POLICY. ALL MEMBERS OF THE UNIVERSITY COMMUNITY ARE COVERED BY THE CONFLICT OF INTEREST POLICY GOVERNING BUSINESS PRACTICES. (A) FOR TRUSTEES OF THE UNIVERSITY'S BOARD OF TRUSTEES, NON-TRUSTEE COMMITTEE MEMBERS, OFFICERS, AND KEY EMPLOYEES, THE CONFLICT OF INTEREST DISCLOSURE FORM IS SENT TO THE CORPORATE SECRETARY, WHO PROVIDES A COPY OF COMPLETED FORMS TO THE CHAIR OF THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. THE UNIVERSITY DETERMINES WHETHER ANY EXISTING OR PROPOSED TRANSACTION OR ITS CIRCUMSTANCES CREATES AN APPARENT, POTENTIAL, OR ACTUAL CONFLICT OF INTEREST, WARRANTING REVIEW AND APPROPRIATE ACTION. THE INDIVIDUAL MAKING THE DISCLOSURE MAY BE ASKED TO PROVIDE SUPPLEMENTAL INFORMATION, BUT WILL NOT PARTICIPATE IN, BE PRESENT AT, OR INAPPROPRIATELY INFLUENCE THE FINAL DELIBERATIONS OR VOTE ON THE MATTER. (B) FOR HEADS OF LABORATORY, THE CONFLICT OF INTEREST DISCLOSURE FORM IS SUBMITTED TO THE VICE PRESIDENT FOR ACADEMIC AFFAIRS FOR A DECISION REGARDING A DISCLOSURE. THE INDIVIDUAL MAKING THE DISCLOSURE MUST STOP PARTICIPATING IN ANY UNIVERSITY MATTER OR ACTIVITY THAT IS OR MAY BE AFFECTED BY SUCH CONFLICT UNTIL A DECISION HAS BEEN MADE, UNLESS OTHERWISE DIRECTED BY THE UNIVERSITY. (C) FOR ALL OTHER MEMBERS OF THE UNIVERSITY COMMUNITY, THE CONFLICT OF INTEREST DISCLOSURE FORM IS SUBMITTED TO THE VICE PRESIDENT FOR HUMAN RESOURCES FOR A DECISION REGARDING A DISCLOSURE. THE INDIVIDUAL MAKING THE DISCLOSURE MUST STOP PARTICIPATING IN ANY UNIVERSITY MATTER OR ACTIVITY THAT IS OR MAY BE AFFECTED BY SUCH CONFLICT UNTIL A DECISION HAS BEEN MADE, UNLESS OTHERWISE DIRECTED BY THE UNIVERSITY. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR THE PRESIDENT AND OFFICERS IS ESTABLISHED AND APPROVED BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. SUCH COMPENSATION IS ESTABLISHED THROUGH REVIEW OF COMPARABLE DATA AND CONTEMPORANEOUS DOCUMENTATION OF THE DELIBERATION AND DECISION. THE PROCESS INCLUDES PARTICIPATING IN SURVEYS CONDUCTED BY INDEPENDENT COMPENSATION CONSULTANTS AND REVIEWING FORM 990S FROM PEER INSTITUTIONS. SPECIFIC REVIEWS ARE CONDUCTED ANNUALLY. FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY'S GOVERNING DOCUMENTS WOULD BE MADE AVAILABLE UPON REQUEST. THE CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC THROUGH THE UNIVERSITY'S WEBSITE. FORM 990, PART XI, LINE 9: UNREALIZED LOSS ON DERIVATIVES -1,833,616. POSTRETIREMENT RELATED CHANGES -3,818,000. CLSI FORD CENTER INCUBATOR 1230 YORK AVENUE NEW YORK NY 10065 934227709 SUPPORT THE EXEMPT PURPOSES OF THE ROCKEFELLER UNIVERSITY NY 512064 892877 THE ROCKEFELLER UNIVERSITY THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC 1230 YORK AVENUE NEW YORK NY 10065 136066979 SOCIAL CLUB NY 501(C)(7) THE ROCKEFELLER UNIVERSITY 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 0 THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC M 261009 CASH THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC N 128360 CASH THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC R -223578 CASH FORM 990, SCHEDULE R, PART V, #2 THE ROCKEFELLER UNIVERSITY FACULTY AND STUDENTS CLUB, INC. (THE CLUB) IS A 501(C)(7) ORGANIZATION THAT OPERATES A SOCIAL CLUB ON THE CAMPUS OF THE ROCKEFELLER UNIVERSITY. THE PURPOSE OF THE CLUB IS TO ENCOURAGE THE FRIENDLY ASSOCIATION OF ITS MEMBERS AND THEIR GUESTS FOR SCIENTIFIC AND OTHER INTELLECTUAL DISCOURSE, AND/OR PLEASURE AND RECREATION. THE BOOKS AND RECORDS OF THE CLUB ARE MAINTAINED BY THE UNIVERSITY. THE UNIVERSITY COLLECTS ANNUAL CLUB DUES ON BEHALF OF THE CLUB. THE CLUB ALSO RELIES ON CERTAIN UNIVERSITY SYSTEMS IN ORDER TO OPERATE. THE CLUB HAS A LIABILITY TO THE UNIVERSITY WHICH REPRESENTS THE UNIVERSITY'S SUBSIDIZED PORTION OF THE CLUB'S OPERATIONS IN THE AMOUNT OF $3,485,288 AS OF JUNE 30, 2025.