2024-05-15T19:03:05-05:00 2023-06-30 910189318 MOSS ADAMS LLP 3121 W MARCH LN STE 200 STOCKTON CA 952192367 990 2022-07-01 941156617 PRESIDENT-BOARD OF TRUSTEES SANTA CLARA COLLEGE PRES 4085544398 500 EL CAMINO REAL SANTA CLARA CA 95053 RAMONA SAUTER AVP FOR FINANCE 4085544398 2024-05-15 1 RAMONA SAUTER XXX-XX-XXXX 0 TRACY S PAGLIA P00366884 2099556100 2024-05-15 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z SANTA CLARA UNIVERSITY JULIE SULLIVAN 500 EL CAMINO REAL SANTA CLARA CA 95053 856079035 0 X WWW.SCU.EDU X 1851 CA SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. 36 35 5242 2204 9601972 323062 108556279 61654837 497684403 526840284 132476995 34934290 -1314261 -1412148 737403416 622017263 125506680 127264480 0 0 264649414 284466960 0 0 13059311 174335340 192317663 564491434 604049103 172911982 17968160 2905592698 2898674493 625735658 604005988 2279857040 2294668505 X SEE SCHEDULE O 0 0 524371351 127264480 526840284 SANTA CLARA UNIVERSITY IS AN INSTITUTION OF HIGHER EDUCATION OFFERING DEGREES AT THE UNDERGRADUATE AND GRADUATE LEVEL AND LAW DEGREES. THE UNIVERSITY CONSISTS OF THE COLLEGE OF ARTS AND SCIENCES, THE SCHOOL OF ENGINEERING, THE LEAVEY SCHOOL OF BUSINESS, THE SCHOOL OF EDUCATION AND COUNSELING PSYCHOLOGY, THE SCHOOL OF LAW, AND THE JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA UNIVERSITY. CURRENT ENROLLMENT IS 9,178 STUDENTS CONSISTING OF 6,115 UNDERGRADUATE, 2,389 GRADUATE AND 674 LAW STUDENTS. IN 2022, THE UNIVERSITY AWARDED 2,808 DEGREES AT ALL ACADEMIC LEVELS. 524371351 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 0 0 1 1 1 1 0 0 0 1 0 0 1 1 1 1 0 0 0 0 0 1 0 1 1 1 1 1 0 0 1 1 1 1 0 0 1 10179 0 1 5242 1 1 1 1 ES 0 0 0 1 1 0 0 0 0 0 0 X 36 35 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA X X RAMONA SAUTER 4085542757 500 EL CAMINO REAL SANTA CLARA CA 95053 HERBERT SENDEK HEAD COACH, MEN'S BASKETBALL 40.00 0.00 X 871797 0 99942 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 40.00 0.00 X 781237 0 52431 LISA KLOPPENBERG PROFESSOR 40.00 0.00 X 627708 0 64088 JIM LYONS VICE PRESIDENT, UNIVERSITY RELATIONS 40.00 0.00 X 630500 0 52507 RENEE BAUMGARTNER EXECUTIVE DIRECTOR, ATHLETICS 40.00 0.00 X 550529 0 64337 MICHAEL KAUFMAN DEAN, SCHOOL OF LAW 40.00 0.00 X 506257 0 37875 JOHN OTTOBONI SENIOR COUNSEL & SPECIAL ADVISOR 40.00 0.00 X 464561 0 43440 MICHAEL CROWLEY - ASST TREAS VP FINANCE & ADMIN (THRU 12/22) 40.00 0.00 X 447505 0 59491 MOLLY MCDONALD CHIEF OF STAFF 40.00 0.00 X 367791 0 122244 ED GRIER DEAN, SCHOOL OF BUSINESS 40.00 0.00 X 436468 0 37474 DONALD HEIDER EXECUTIVE DIRECTOR, MARKKULA CENTER 40.00 0.00 X 415476 0 26793 JULIE SULLIVAN PRESIDENT (AS OF 07/22) 40.00 0.00 X X 416590 0 9808 EVANGELINA BLANCO VP FOR ENROLLMENT MANAGEMENT 40.00 0.00 X 331613 0 49932 DANIEL PRESS DEAN, COLLEGE OF ARTS AND SCIENCES 40.00 0.00 X 306728 0 59036 ED RYAN - ACTING PROVOST VICE PROVOST FOR PLANNING AND INSTITUTIONAL EFFE 40.00 0.00 X 331608 0 22306 KATE MORRIS -ACTING PROVOST VICE PROVOST FOR ACADEMIC AFFAIRS 40.00 0.00 X 291149 0 46131 GODFREY MUNGAL - FORMER DEAN OF THE SCHOOL OF ENGINEERING 40.00 0.00 X 213677 0 59146 RAMONA SAUTER ASST. TREASURER, AVP FOR FINANCE 40.00 0.00 X 241377 0 29207 LARRY W SONSINI CHAIR 2.00 0.00 X X 0 0 0 MATTHEW MATT E CARNES SJ VICE CHAIR 2.00 0.00 X X 0 0 0 KRISTI M BOWERS SECRETARY 2.00 0.00 X X 0 0 0 STEVEN STEVE J SORDELLO TREASURER 5.00 0.00 X X 0 0 0 LUIS ARRIAGA VALENZUELA SJ TRUSTEE 2.00 0.00 X 0 0 0 MARGARET PEGGY M BRADSHAW TRUSTEE 2.00 0.00 X 0 0 0 LUIS CALERO SJ TRUSTEE 2.00 3.00 X 0 0 0 WILLIAM BILL S CARTER TRUSTEE 2.00 0.00 X 0 0 0 LOUIS LOU M CASTRUCCIO TRUSTEE 2.00 0.00 X 0 0 0 HOWARD S CHARNEY TRUSTEE 3.00 0.00 X 0 0 0 GERALD JERRY T COBB SJ TRUSTEE 2.00 0.00 X 0 0 0 WILLIAM DUFFY TRUSTEE 2.00 0.00 X 0 0 0 KATHLEEN DUNCAN TRUSTEE 2.00 0.00 X 0 0 0 STEPHEN A FINN TRUSTEE 2.00 0.00 X 0 0 0 REBECCA M GUERRA TRUSTEE 2.00 0.00 X 0 0 0 TIMOTHY TIM HALEY TRUSTEE 2.00 0.00 X 0 0 0 RICHARD RICH D HAUGHEY TRUSTEE 2.00 0.00 X 0 0 0 MOLLY JOSEPH TRUSTEE 2.00 0.00 X 0 0 0 WILLIAM BILL P LEAHY SJ TRUSTEE 0.50 0.00 X 0 0 0 HEIDI LE BARON LEUPP TRUSTEE 2.00 0.00 X 0 0 0 ROBERT LLOYD TRUSTEE 2.00 0.00 X 0 0 0 JOSEPH M MCSHANE SJ TRUSTEE 2.00 0.00 X 0 0 0 JEFFREY JEFF A MILLER TRUSTEE 2.00 0.00 X 0 0 0 KAPIL K NANDA TRUSTEE 2.00 0.00 X 0 0 0 EDWARD ED A PANELLI TRUSTEE (THRU 09/22) 4.00 0.00 X 0 0 0 RISE JONES PINCHON TRUSTEE 2.00 0.00 X 0 0 0 GISEL RUIZ TRUSTEE 2.00 0.00 X 0 0 0 SAHIL SAGAR TRUSTEE 2.00 0.00 X 0 0 0 STEPHEN C SCHOTT TRUSTEE 0.50 0.00 X 0 0 0 ROBERT H SMITH TRUSTEE 2.00 0.00 X 0 0 0 TIMOTHY TIM SMITH TRUSTEE 2.00 0.00 X 0 0 0 JOHN A SOBRATO TRUSTEE 2.00 0.00 X 0 0 0 MARY STEVENS TRUSTEE 2.00 0.00 X 0 0 0 SUSAN VALERIOTE TRUSTEE 2.00 0.00 X 0 0 0 GREGORY GREG VAUGHAN TRUSTEE 2.00 0.00 X 0 0 0 PAUL VU SJ TRUSTEE 2.00 0.00 X 0 0 0 AGNIESZKA WINKLER TRUSTEE 6.00 3.00 X 0 0 0 WILSON GARONE - ASST TREAS VP FINANCE & ADMIN (AS OF 05/23) 40.00 0.00 X 0 0 0 KELLY CAPEN DOUGLAS GENERAL COUNSEL (AS OF 4/23) 40.00 0.00 X 0 0 0 8232571 0 936188 762 1 1 0 DEVCON CONSTRUCTION INC 690 GIBRALTAR DRIVE MILPITAS CA 95035 CONSTRUCTION 68145705 BON APPETIT - SANTA CLARA 201 REDWOOD SHORES PARKWAY SUITE 10 REDWOOD SHORES CA 94065 DINING SERVICES 27481724 EVERSPRING INC 123 N WACKER DRIVE CHICAGO IL 60606 DIGITAL EDUCATIONAL SERVICES 14588780 COLOR HEALTH INC 831 MITTEN ROAD SUITE 100 BURLINGAME CA 94010 HEALTH TESTING 7197659 ABLE BUILDING MAINTENANCE CO PO BOX 884651 LOS ANGELES CA 90088 FACILITIES MAINTENANCE 5248205 227 14795 1184321 2075176 2240693 56139852 2742908 61654837 TUITION FEES 525990 452202695 452202695 AUXILIARY ACTIVITIES 611710 48993242 48993242 FED GRANTS & CONTRACTS 900099 11435316 11435316 PROGRAM FEES 611710 9284459 9284459 PROGRAM SALES INCOME 611710 4400166 4400166 524406 524406 526840284 22193786 1408525 20785261 244520485 231765845 14136 12754640 -14136 12740504 7669041 5071463 869643 1184321 2281791 -1412148 -1412148 622017263 526315878 9601972 24444576 186296 186296 127078184 127078184 5955510 798107 4440815 716588 67245 67245 208333436 178824981 22727985 6780470 19896707 17117639 2322721 456347 36035276 29267264 5337821 1430191 14178786 12000663 1647960 530163 1870441 288496 1581945 442134 442134 2173 2173 5249893 244606 5005287 33360493 29896385 2706086 758022 1654173 1378695 213487 61991 23190002 20065551 2794264 330187 8820106 7437861 1376394 5851 8268863 7760250 274162 234451 14269083 8104529 5366770 797784 15861768 15335147 526621 52531562 49588786 2939125 3651 10448313 6771620 3654255 22438 IT SOFTWARE & MAINTENAN 5622426 3485670 2132274 4482 LIBRARY ACQUISITIONS 4688165 4688165 DUES AND MEMBERSHIPS 1353939 1003614 336265 14060 INDIRECT COSTS SPONSORE 1115904 1115904 3568225 1865693 789897 912635 604049103 524371351 66618441 13059311 66915432 57039091 37769281 118738237 59313487 51533817 7561190 8385591 520678 905928 865350 860274 1680126381 587210243 1115180106 1092916138 546103444 520691724 1034372426 1011002482 2170585 1700253 34820719 34900958 2905592698 2898674493 65718796 58550225 30112422 28624779 325456956 313112902 204447484 203718082 625735658 604005988 X 1015865034 1022628592 1263992006 1272039913 2279857040 2294668505 2905592698 2898674493 X 17968160 -3582041 425346 X 0 1 X 1 1 1 X 97942929 72182560 83991764 108521279 61654837 424293369 97942929 72182560 83991764 108521279 61654837 424293369 46872302 377421067 23660412 18207988 15618209 14040250 20785261 92312120 5566205 6956696 12522901 7280 7280 529135670 1844187480 0.71330 0.73800 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2018 AMOUNT: $ 7,280. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 2173 2173 0 PART II-B, LINE 1: SCU PAYS ANNUAL DUES TO MEMBERSHIP ORGANIZATIONS; A PORTION OF THE ANNUAL DUES ARE USED BY THE ORGANIZATIONS FOR LOBBYING ACTIVITIES. X X X 0 1417914424 33772541 26813826 19659993 26551355 7451000 1424838443 1480709489 46798394 -60558975 17124047 23637437 8273000 1417914424 995887403 13116787 518220847 16268598 22275950 7971000 1480709489 982121122 12515306 44830126 14172070 23063081 6344000 995887403 943597741 17973970 64253445 15416940 22715094 5572000 982121122 0.16670 0.27760 0.55570 1 0 29559579 85922607 115482186 10596430 1201928152 388621677 823902905 118145619 73082487 45063132 173482503 122439112 51043391 60491491 3066967 57424524 1092916138 VENTURE CAPITAL & PRIVATE EQUITY 465537833 F OTHER ALTERNATIVE INVESTMENTS 66330816 F HEDGE FUNDS 471081970 F NOTES RECEIVABLE 2596150 F PENDING TRADES 5455713 F 1011002482 AMOUNTS HELD ON BEHALF OF OTHERS 146323473 ANNUITY OBLIGATIONS 7565745 REFUNDABLE ADVANCES - US GOVERNMENT 1961880 ASSET RETIREMENT OBLIGATION 3372670 OBLIGATIONS UNDER CAPITALIZED LEASE 44494314 203718082 491113331 -3582041 6946621 3364580 487748751 134268512 134268512 622017263 476611515 6651577 6651577 469959938 134089165 134089165 604049103 PART III, LINE 1A: THE UNIVERSITY'S COLLECTIONS ARE MADE UP OF ARTIFACTS OF HISTORICAL SIGNIFICANCE AND ART OBJECTS THAT ARE HELD FOR EDUCATIONAL, RESEARCH, AND CURATORIAL PURPOSES. THE COLLECTIONS, WHICH HAVE BEEN ACQUIRED THROUGH CONTRIBUTIONS SINCE THE UNIVERSITY'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS IN THE ACCOMPANYING CONSOLIDATED STATEMENT OF FINANCIAL POSITION. PART III, LINE 4: THE UNIVERSITY MAINTAINS THE DE SAISSET MUSEUM FOR STUDENTS WHICH IS ALSO OPEN TO THE PUBLIC. THE DE SAISSET MUSEUM SUPPORTS SANTA CLARA UNIVERSITY'S GOAL OF EDUCATING THE WHOLE PERSON THROUGH A DIVERSE AND ACCESSIBLE RANGE OF EXHIBITIONS, COLLECTIONS, AND EDUCATIONAL PROGRAMS THAT HIGHLIGHT THE ART AND HISTORY OF THE SAN FRANCISCO BAY AREA AND THE LOCAL SANTA CLARA VALLEY. PART V, LINE 4: ENDOWED GIFTS ARE MEANT TO EXIST IN PERPETUITY, AND ARE INVESTED FOR LONG-TERM GROWTH. EACH YEAR, A PORTION OF THE FUND'S EARNINGS IS MADE AVAILABLE IN THE FORM OF AN ALLOCATION TO SUPPORT STUDENT SCHOLARSHIPS, FACULTY CHAIRS, AND OTHER ENDOWED PROGRAMS THAT FURTHER THE UNIVERSITY'S STRATEGIC PRIORITIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: JESUIT SCHOOL OF THEOLOGY REVENUE & INVESTMENT REALIZED GAINS 3,734,379. BRONCO BENCH FUND REVENUE 325,758. SPECIAL EVENT EXPENSE 2,281,791. ACTUARIAL CHANGES TO SPLIT INTEREST AGREEMENTS 604,693. PART XI, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT EXPENSES 3,477,483. STUDENT FINANCIAL AID 125,592,945. LOSS ON UNCOLLECTIBLE PLEDGES 179,347. ALLOWANCE FOR DOUBTFUL ACCOUNTS (PLEDGES)/OTHER ADJUSTMENTS 1,045,464. LOAN FUND EXPENSE 217,307. ANNUITY FUND EXPENSE 372,277. OTHER INVESTMENT FUND RELATED TO SALARIES AND WAGES 1,791,706. OTHER MANAGEMENT FEES 987,403. ENDOWMENT ASSOCIATED EXPENSES 604,580. PART XII, LINE 2D - OTHER ADJUSTMENTS: JESUIT SCHOOL OF THEOLOGY EXPENSES 4,224,330. BRONCO BENCH FUND STUDENT SERVICES EXPENSES 145,456. SPECIAL EVENT EXPENSE 2,281,791. PART XII, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT EXPENSES 3,477,483. STUDENT FINANCIAL AID 125,592,945. ALLOWANCE FOR DOUBTFUL ACCOUNTS (PLEDGES) 1,045,464. LOAN FUND EXPENSE 217,307. ANNUITY FUND EXPENSE 372,277. OTHER INVESTMENT FUND RELATED TO SALARIES AND WAGES 1,791,706. OTHER MANAGEMENT FEES 987,403. ENDOWMENT ASSOCIATED EXPENSES 604,580. 1 1 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE UNIVERSITY MEETS THE CRITERIA UNDER SUBSECTION 4.03.2(B) OF REVENUE PROCEDURE 1975-50. SCHEDULE E, PART I, LINE 6 FINANCIAL AID OR ASSISTANCE FROM GOVERNMENTAL AGENCIES CONSISTS OF STUDENT FINANCIAL AID RECEIVED FROM SUCH AGENCIES. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 4550 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 255467 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 3251944 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 17950 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 2773 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 13164 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 336532425 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 29582254 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 17871710 0 0 0 0 0 0 369660527 17871710 387532237 1 0 1 1 1 0 PART III ACCOUNTING METHOD: GOLDEN CIRCLE 1278960 1110260 168700 155102 295801 1183696 47660 KASNER SYMPOSIUM 334821 334821 98889 174840 257 100848 7 440183 74061 366122 2181 107829 58265 10750 45673 2053964 1184321 869643 2181 361820 528906 1194703 194181 2281791 -1412148 1 CITY OF SANTA CLARA 1500 WARBURTON AVENUE SANTA CLARA CA 95050 946000426 GOVERNMENT 75000 0 DONATION FOR COMMUNITY SUPPORT BAY AREA COUNCIL 353 SACRAMENTO ST 10TH FLOOR SAN FRANCISCO CA 94111 201826827 501(C)(3) 32000 0 DONATION FOR COMMUNITY SUPPORT THE PANETTA INSTITUTE FOR PUBLIC POLICY 100 CAMPUS CENTER BUILDING 86E CSU MONTEREY BAY SEASIDE CA 93955 770495799 501(C)(3) 13000 0 SUPPORT OF THE PANETTA INSTITUTE HOOVER INSTITUTION 434 GALVEZ MALL STANFORD CA 94305 941156365 501(C)(3) 10000 0 SUPPORT OF STANFORD UNIVERSITY'S HOOVER INSTITUTION INTERNATIONAL FOOD & AGRIBUSINESS MANAGEMENT ASSOCIATION 922 NW CIRCLE BOULEVARD SUITE 160 234 CORVALLIS OR 97330 742585021 501(C)(3) 10000 0 SPONSORSHIP FOR 2023 IFAMA WORLD CONFERENCE SACRED HEART COMMUNITY SERVICES 1381 SOUTH FIRST STREET SAN JOSE CA 95110 237179787 501(C)(3) 5200 0 SUPPORT OF COMMUNITY PARTNER SACRED HEART NATIVITY SCHOOL 310 EDWARDS AVENUE SAN JOSE CA 95110 952206754 501(C)(3) 7180 0 EVENT SPONSORSHIP 7 0 FINANCIAL AID AND SCHOLARSHIPS 5934 124859799 BOOK NA SCHOLARSHIPS & FELLOWSHIPS (FEDERAL WORK STUDY) 764 1485239 BOOK NA OTHER GRANTS TO STUDENTS 104 733146 BOOK NA PART I, LINE 2: THE UNIVERSITY PROVIDES GRANTS AND OTHER ASSISTANCE TO DOMESTIC CHARITABLE ORGANIZATIONS TO SUPPORT PROGRAMS AND ACTIVITIES IN LINE WITH OUR MISSION. SOME OF THESE DONATIONS ARE COLLECTED DURING MASS AT THE MISSION CHURCH AND THEN PROVIDED TO VARIOUS CHARITABLE ORGANIZATIONS. THE UNIVERSITY PROVIDES GRANTS FOR SCHOLARSHIPS, FELLOWSHIPS, AND STUDENT LOANS USING GUIDELINES ESTABLISHED BY THE ORGANIZATION'S BOARD OF TRUSTEES TO ENSURE THEY ARE MADE BASED ON NEED AND OR MERIT. SCU MAKES FINANCIAL AID GRANTS TO STUDENT ACCOUNT TO OFFSET AMOUNTS THAT STUDENTS OWE THE UNIVERSITY FOR TUITION AND FEES. SCHEDULE I, PART III COLUMN (B): THE NUMBERS OF RECIPIENTS ARE OBTAINED FROM OUR STUDENT FINANCIAL ACCOUNTING RECORDS. X X X 1 1 X X X X 0 0 0 0 0 0 0 1 0 HERBERT SENDEK HEAD COACH, MEN'S BASKETBALL 816694 0 13000 0 42103 0 21750 0 78192 0 971739 0 0 0 JOHN KERRIGAN CHIEF INVESTMENT OFFICER 538399 0 234733 0 8105 0 21750 0 30681 0 833668 0 0 0 LISA KLOPPENBERG PROFESSOR 516950 0 3000 0 107758 0 24400 0 39688 0 691796 0 0 0 JIM LYONS VICE PRESIDENT, UNIVERSITY RELATIONS 523607 0 78000 0 28893 0 21750 0 30757 0 683007 0 0 0 RENEE BAUMGARTNER EXECUTIVE DIRECTOR, ATHLETICS 445101 0 88000 0 17428 0 13200 0 51137 0 614866 0 0 0 MICHAEL KAUFMAN DEAN, SCHOOL OF LAW 456322 0 3000 0 46935 0 0 0 37875 0 544132 0 0 0 JOHN OTTOBONI SENIOR COUNSEL & SPECIAL ADVISOR 453267 0 3000 0 8294 0 21750 0 21690 0 508001 0 0 0 MICHAEL CROWLEY - ASST TREAS VP FINANCE & ADMIN (THRU 12/22) 436602 0 3000 0 7903 0 21750 0 37741 0 506996 0 0 0 MOLLY MCDONALD CHIEF OF STAFF 355668 0 3000 0 9123 0 18273 0 103971 0 490035 0 0 0 ED GRIER DEAN, SCHOOL OF BUSINESS 397163 0 3000 0 36305 0 0 0 37474 0 473942 0 0 0 DONALD HEIDER EXECUTIVE DIRECTOR, MARKKULA CENTER 374518 0 3000 0 37958 0 21350 0 5443 0 442269 0 0 0 JULIE SULLIVAN PRESIDENT (AS OF 07/22) 411875 0 0 0 4715 0 0 0 9808 0 426398 0 0 0 EVANGELINA BLANCO VP FOR ENROLLMENT MANAGEMENT 273542 0 23000 0 35071 0 27000 0 22932 0 381545 0 0 0 DANIEL PRESS DEAN, COLLEGE OF ARTS AND SCIENCES 276883 0 3000 0 26845 0 18000 0 41036 0 365764 0 0 0 ED RYAN - ACTING PROVOST VICE PROVOST FOR PLANNING AND INSTITUTION 248072 0 3000 0 80536 0 8600 0 13706 0 353914 0 0 0 KATE MORRIS -ACTING PROVOST VICE PROVOST FOR ACADEMIC AFFAIRS 249717 0 3000 0 38432 0 21675 0 24456 0 337280 0 0 0 GODFREY MUNGAL - FORMER DEAN OF THE SCHOOL OF ENGINEERING 210372 0 3000 0 305 0 27000 0 32146 0 272823 0 0 0 RAMONA SAUTER ASST. TREASURER, AVP FOR FINANCE 232926 0 7000 0 1451 0 12000 0 17207 0 270584 0 0 0 PART I, LINE 1A SCWE PROVIDED FIRST CLASS TRAVEL TO EMPLOYEES FOR INTERNATIONAL TRAVEL IN ACCORDANCE WITH OUR POLICY. NO PORTION IS TAXABLE TO THE EMPLOYEE. WE PROVIDED GOLF CLUB MEMBERSHIPS TO INDIVIDUALS WHO HAVE RESPONSIBILITIES FOR FUNDRAISING. THERE IS NO WRITTEN POLICY REGARDING GOLF MEMBERSHIPS. THE UNIVERSITY HAS PROCEDURES IN PLACE TO ENSURE THAT NO PERSONAL CHARGES ARE REIMBURSED, AND NO PORTION IS TAXABLE TO THE EMPLOYEE. RENTAL/HOUSING ASSISTANCE MAY BE PROVIDED IN ACCORDANCE WITH UNIVERSITY COMPENSATION POLICIES, AND IS CONSIDERED TAXABLE INCOME. SUCH ASSISTANCE MAY BE PROVIDED IN THE FORM OF UNIVERSITY FUNDED PROMISSORY NOTES (SEE SCHEDULE L FOR FURTHER DETAIL), AND THESE AMOUNTS ARE CONSIDERED TAXABLE INCOME. PART I, LINE 7 VARIOUS UNIVERSITY EMPLOYEES INCLUDED ON SCHEDULE J RECEIVED BONUS PAYMENTS FOR THEIR SERVICES AND PERFORMANCE DURING THE FISCAL YEAR. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179BS2 2015-08-28 117173098 SEE PART VI 0 0 0 B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179JX3 2017-08-10 30404213 SEE PART VI 0 0 0 C CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130179NF7 2017-12-28 63096951 SEE PART VI 0 0 0 D CALIFORNIA MUNICIPAL FINANCE AUTHORITY 201563466 2019-06-12 4875127 SEE PART VI 0 0 0 A 11745000 118724575 681875 59744970 58297730 2018 0 1 1 1 B 1185000 31399376 146330 31249613 3433 0 1 1 1 C 1965000 64096872 3221316 426308 60439062 10185 0 0 1 1 D 2400000 4875127 45127 4830000 2019 0 1 0 1 A 0 1 1 1 0 0.00100 0.00000 0.00100 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 0 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 0 0 0 0 1 C 0 0 0 1 0 0 0 0 1 D 0 1 1 0 0 0 0 0 1 A 1 B 1 C 1 D 1 COLUMN A: PART I (F) THE PROCEEDS OF THIS BOND ISSUE WERE USED TO REFUND A PORTION OF THE BORROWER SERIES 2008 (ISSUED 12/11/2008) AND TO FINANCE CONSTRUCTION AND IMPROVEMENTS OF CERTAIN FACILITIES AND PAY COSTS OF ISSUANCE. COLUMN A: PART II, LINE 3 THE TOTAL PROCEEDS SHOWN IN PART II, LINE 3 DIFFERS FROM THE ISSUE PRICE SHOWN IN PART I, (E) DUE TO INTEREST EARNINGS ON INVESTED PROCEEDS. COLUMN A: PART III, LINE 7 AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN A: PART 4, LINE 2C THE REBATE COMPUTATION FOR SERIES 2015 WAS COMPLETED BY BLX GROUP LLC ON SEPTEMBER 16, 2020. COLUMN B: PART 1(F) THE PROCEEDS OF THE BOND ISSUE WERE USED TO REFUND A PORTION OF THE BORROWER'S SERIES 2010 (ISSUED 9/15/2010). COLUMN B: PART II, LINE 3 THE TOTAL PROCEEDS SHOWN IN PART II, LINE 3 DIFFERS FROM THE ISSUE PRICE SHOWN IN PART I, (E) DUE TO INTEREST EARNINGS ON INVESTED PROCEEDS. COLUMN B: PART III, LINE 7 AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN B: PART IV, LINE 2C THE REBATE COMPUTATION FOR SERIES 2017B WAS COMPLETED BY BLX GROUP LLC ON AUGUST 25, 2022 AND NO REBATE WAS DUE AT THAT TIME. COLUMN C: PART II, LINE 3 THE TOTAL PROCEEDS SHOWN IN PART II, LINE 3 DIFFERS FROM THE ISSUE PRICE SHOWN IN PART I, (E) DUE TO INTEREST EARNINGS ON INVESTED PROCEEDS. COLUMN C: PART III, LINE 7 AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN C: PART IV, LINE 2C THE REBATE COMPUTATION FOR 2017C WAS COMPLETED BY BLX GROUP LLC ON MARCH 8, 2023 AND NO REBATE WAS DUE AT THAT TIME. COLUMN D: PART I (F) THE PROCEEDS OF THIS BOND ISSUE WERE USED TO REFINANCE THE BORROWER'S TAXABLE LOAN (ISSUED 6/25/2014). COLUMN D: PART III, LINE 7 AS PROVIDED IN TREASURY REGULATION SECTION 1.141-4(C)(2)(I)(B), THE AMOUNT OF PRIVATE PAYMENTS TAKEN INTO ACCOUNT UNDER THE PRIVATE SECURITY OR PAYMENT TEST MAY NOT EXCEED THE AMOUNT OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE. ACCORDINGLY, THE AMOUNT OF PRIVATE PAYMENTS FOR THE REPORTING PERIOD DOES NOT EXCEED THE AMOUNT STATED IN PART III, LINE 6. THE ORGANIZATION HAS NOT UNDERTAKEN AN ANALYSIS OF THE PRIVATE SECURITY OR PAYMENT TEST WITH RESPECT TO THE BONDS, AS THE LEVEL OF PRIVATE BUSINESS USE AND/OR UNRELATED TRADE OR BUSINESS USE REPORTED IN PART III, LINE 6 IS NOT IN EXCESS OF AMOUNTS PERMITTED UNDER SECTION 145 OF THE CODE. COLUMN D: PART IV, LINE 2(B) - THE CURRENT REFUNDING PORTION OF BONDS HAS MET THE 6-MONTH EXCEPTION TO REBATE. LISA KLOPPENBERG KEY EMPLOYEE NOTE RECEIVABLE X 250000 59099 0 0 1 JIM LYONS KEY EMPLOYEE NOTE RECEIVABLE X 250000 196887 0 0 1 DANIEL PRESS KEY EMPLOYEE NOTE RECEIVABLE X 250000 192548 0 0 1 EVANGELINA BLANCO KEY EMPLOYEE NOTE RECEIVABLE X 250000 209276 0 0 1 WILSON GARONE OFFICER NOTE RECEIVABLE X 250000 248118 0 0 1 905928 KELLEN ZUNICH FAMILY MEMBER OF LISA KLOPPENBERG 41451 EMPLOYMENT 0 SI 53 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES & FORMER 2420952 LONG-TERM LEASE 0 SI 23 LLC ENTITY MORE THAN 35% OWNED BY JOHN A AND JOHN M SOBRATO, TRUSTEES & FORMER 790969 LONG-TERM LEASE 0 MICHAEL BOWES FAMILY MEMBER OF STEPHEN C. SCHOTT 25704 EMPLOYMENT 0 X 85 1638993 AVERAGE MKT VALUE X 1 1000000 FMV X EQUIPMENT 7 69230 SELLING PRICE X MISC SUPPLIES 33 34685 SELLING PRICE 0 0 1 1 PART I, COLUMN (B): NUMBER OF CONTRIBUTION PART I, LINE 32B: THE UNIVERSITY USES STOCK BROKERS TO SELL DONATED SECURITIES AND REAL ESTATE BROKERS TO SELL DONATED REAL ESTATE. FORM 990, PART III, LINE 1: SANTA CLARA UNIVERSITY IS A CATHOLIC AND JESUIT INSTITUTION THAT MAKES STUDENT LEARNING ITS CENTRAL FOCUS, PROMOTES FACULTY AND STAFF LEARNING IN ITS VARIOUS FORMS, AND EXHIBITS ORGANIZATIONAL LEARNING. STUDENT LEARNING TAKES PLACE AT THE UNDERGRADUATE AND GRADUATE LEVEL IN AN EDUCATIONAL ENVIRONMENT THAT INTEGRATES RIGOROUS INQUIRY AND SCHOLARSHIP, CREATIVE IMAGINATION, REFLECTIVE ENGAGEMENT WITH SOCIETY, AND A COMMITMENT TO FASHIONING A MORE HUMANE AND JUST WORLD. AS AN ACADEMIC COMMUNITY, WE EXPAND THE BOUNDARIES OF KNOWLEDGE AND INSIGHT THROUGH TEACHING, RESEARCH, ARTISTIC EXPRESSION, AND OTHER FORMS OF SCHOLARSHIP. IT IS PRIMARILY THROUGH DISCOVERING, COMMUNICATING, AND APPLYING KNOWLEDGE THAT WE EXERCISE OUR INSTITUTIONAL RESPONSIBILITY AS A VOICE OF REASON AND CONSCIENCE IN SOCIETY, WE OFFER CHALLENGING ACADEMIC PROGRAMS AND DEMONSTRATE A COMMITMENT TO THE DEVELOPMENT OF: 1) UNDERGRADUATE STUDENTS WHO SEEK AN EDUCATION WITH A STRONG HUMANISTIC ORIENTATION IN A PRIMARILY RESIDENTIAL SETTING. 2) GRADUATE STUDENTS, MANY OF THEM WORKING PROFESSIONALS IN SILICON VALLEY, WHO SEEK ADVANCED DEGREE PROGRAMS THAT PREPARE THEM TO MAKE SIGNIFICANT CONTRIBUTIONS TO THEIR FIELDS. IN ADDITION TO THESE CORE PROGRAMS, WE ALSO PROVIDE A VARIETY OF CONTINUING EDUCATION AND PROFESSIONAL DEVELOPMENT OPPORTUNITIES FOR NON-MATRICULATED STUDENTS. FORM 990, PART VI, SECTION B, LINE 11B THE BOARD OF TRUSTEES HAS DELEGATED THE REVIEW OF THE FORM 990 TO THE AUDIT COMMITTEE. THE ORGANIZATION'S CONTROLLER'S OFFICE WORKED CLOSELY WITH THE OUTSIDE ACCOUNTING FIRM IT ENGAGED TO PREPARE THE RETURN. INFORMATION FOR THE RETURN WAS ALSO OBTAINED THROUGH DISCUSSIONS WITH SENIOR ADMINISTRATION AND THE GENERAL COUNSEL. THE AUDIT AND RISK OVERSIGHT COMMITTEE ALSO MET WITH THE CONTROLLER'S OFFICE AND THE ACCOUNTING FIRM HIRED TO PREPARE THE FORM 990 AND THE RETURN WAS ACCEPTED. THE FINAL DRAFT WAS PROVIDED TO THE ENTIRE VOTING BOARD BEFORE THE RETURN WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF TRUSTEES HAS A CONFLICT OF INTEREST POLICY AS PART OF THE BYLAWS. THE ASSISTANT TREASURER IS RESPONSIBLE FOR MONITORING POTENTIAL CONFLICT OF INTEREST. ANNUALLY, A QUESTIONNAIRE IS SENT TO THE BOARD OF TRUSTEES, OFFICERS AND KEY EMPLOYEES ASKING FOR ANY POSSIBLE BUSINESS OR PERSONAL CONNECTION TO THE ORGANIZATION THAT MAY CAUSE A POTENTIAL CONFLICT. THE PROCEDURES FOR ADDRESSING ANY CONFLICT OF INTEREST INCLUDES, BUT IS NOT LIMITED TO, THE FOLLOWING: (1) THE CONFLICTING INTEREST IS FULLY DISCLOSED TO THE PRESIDENT AND BOARD; (2) THE INTERESTED PERSON RESPONDS TO FACTUAL QUESTIONS RELATED TO THE SUBSTANCE OF THE TRANSACTION OR ARRANGEMENT BEING CONSIDERED, AFTER WHICH HE/SHE SHALL LEAVE THE MEETING; (3) THE PERSON WITH THE CONFLICT OF INTEREST IS EXCLUDED FROM THE DISCUSSION AND APPROVAL OF SUCH TRANSACTION; (4) ALTERNATIVES TO THE PROPOSED TRANSACTION ARE INVESTIGATED, COMPETITIVE BIDS OR COMPARABLE VALUATIONS ARE OBTAINED; (5) THE TRANSACTION OR ACTION MUST BE APPROVED BY A MAJORITY OF DISINTERESTED PERSONS. FORM 990, PART VI, SECTION B, LINE 15A THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES HAS THE AUTHORITY TO REVIEW AND DETERMINE THE PRESIDENT'S COMPENSATION. DISCUSSIONS OF THE PRESIDENT'S COMPENSATION WERE DOCUMENTED IN THE MINUTES OF MEETINGS OF THE EXECUTIVE COMMITTEE. THE COMPENSATION OF THE PROVOST AND VICE PRESIDENTS ARE DETERMINED BY THE PRESIDENT. OTHER KEY EMPLOYEES' COMPENSATION IS DETERMINED BY THE RESPECTIVE VICE PRESIDENT OR PROVOST. IN ALL CASES, COMPARABLE DATA FROM SIMILAR ORGANIZATIONS AND POSITIONS WERE USED TO DETERMINE COMPENSATION LEVELS. THIS INFORMATION COMES FROM INDEPENDENT SURVEY DATA. EACH EMPLOYEE'S COMPENSATION IS DOCUMENTED IN THEIR RESPECTIVE PERSONNEL FILES AND THEY ARE PERSONALLY NOTIFIED OF ANY CHANGES IN COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 WHILE FEDERAL TAX LAWS DO NOT MANDATE THAT THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS BE MADE AVAILABLE FOR PUBLIC INSPECTION, THE ORGANIZATION MAKES ITS CONFLICT OF INTEREST POLICY AVAILABLE UPON REQUEST. THE ORGANIZATION'S FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC ON THE ORGANIZATION'S WEBSITE. FORM 990, PART XI, LINE 9: LOSS ON UNCOLLECTIBLE PLEDGES -179,347. ACTUARIAL CHANGES TO SPLIT INTEREST AGREEMENTS 604,693. ADOBE MANAGEMENT A LLC 500 EL CAMINO REAL SANTA CLARA CA 95053 811570359 INVESTING PURPOSES DE 99267 3902585 SANTA CLARA UNIVERSITY BRONCO BENCH FOUNDATION SANTA CLARA UNIVERSITY SANTA CLARA CA 95053 946121957 FUNDRAISING CA 501(C)(3) LINE 12B, II PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA 1735 LE ROY AVE BERKELEY CA 94709 941156462 EDUCATION CA 501(C)(3) LINE 1 PRESIDENT-BOARD OF TRUSTEE SANTA CLARA COLLEGE 1 WEST COAST CONFERENCE 1111 BAYHILL DRIVE STE 405 SAN BRUNO CA 94066 237286818 COLLEGIATE ATHLETICS CA 501(C)(3) LINE 12A, I N/A 0 MAKENA STRATEGIC OPPORTUNITIES FUND - KH LP 2755 SAND HILL ROAD SUITE 200 MENLO PARK CA 94025 812032432 INVESTING PURPOSES DE SANTA CLARA UNIVERSITY REVENUE EXCLUDED 736819 16117655 0 0 0.73750 CHARITABLE REMAINDER TRUST (21) HOLDINGS CA N/A T 0 0 0 1 1 0 0 0 0 0 0 0 1 1 1 1 0 0 1 0 BRONCO BENCH FOUNDATION C 2075176 FMV JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA D 23613029 FMV JESUIT SCHOOL OF THEOLOGY OF SANTA CLARA R 2242308 FMV