IRS Form 990 Information Return – Highlights Arizona State University (ASU or University) is the largest public university in the United States under a single administration. It has the critical mass and quality to effect much-needed change in American higher education. ASU has established itself as the model for a New American University, measured not by who it excludes, but rather by who it includes and how they succeed; pursuing research and discovery that benefits the public good; and assuming major responsibility for the economic, social and cultural vitality, health and well-being of the community. Fiscal   year   2014   marked   a   continuance   of   the   University’s   growth   and   success   and   further   validation that the principles, purpose and objectives of the New American University are achievable — Newsweek has  reported  that  ASU  “is  reinventing  the  university  for  the  global  age.”   The  ASU  Foundation  was  incorporated  in  1955  to  meet  the  demands  of  Arizona’s  fastest-growing university. In the nearly six decades since, the pace of ASU, its progress as an institution and its growth as an educational and economic force in the state has only increased. Today, ASU is regularly listed among the most successful and innovative public research universities in the world. It is the largest public research university in the U.S., with more than 15,000 students receiving degrees each year and colleges, institutions and research centers that span six locations throughout the state, and a physical presence on both coasts that includes facilities in Washington, D.C., and Santa Monica, CA. A university with this amount of energy and momentum requires an ever-increasing level of support. As ASU has reshaped itself into a New American University during the last decade, the organization that advances it has reimagined what a university foundation can be, recreating itself to match the needs of ASU as a New American University foundation. The mission of the ASU Foundation for A New American University (Foundation) is simple and direct: to ensure the success of ASU as a New American University. The Foundation does this by uniting the University and the community as a force for positive change through a variety of means:  The   Foundation’s   model   of   donor   relations   identifies   each   investor’s   passion,   then   facilitates a sustainable affiliation between the investor and the ASU college or institute that shares their passion.  The Foundation also supports the activities of ASU through fundraising and development services, through investment and asset management services, and through community outreach and donor cultivation.  The Foundation encourages and enables private citizens and organizations to partner with ASU through perpetual and annual gifts. The   Foundation’s   assets   have   continued   to   grow   amid   market   and   economic   volatility. The Foundation closely manages its spending and continues to control costs to provide for maximum use of its revenue streams and to allow for asset recovery. Page 1 of 4 The Foundation was again recognized as the top-scoring nonprofit of the universities, graduate schools  and  technological  institutes  ranked  by  Charity  Navigator,  the  country’s  largest  and  mostutilized evaluator of charities. The Foundation earned an overall score of 96.95 points out of a possible 100. For the third consecutive year, Charity Navigator awarded the Foundation its premier four-star rating. The Foundation has organized its operations to focus on its business lines, which include Philanthropy, Technology, Assets, Investments and Ventures. The   Foundation’s   supporting   services provide support to the Foundation business lines and University units through Development Communications, Legal, Human Resources, Operations & Services, Strategic Initiatives & Outreach, and Finance. Today,  under  the  stewardship  of  CEO  R.F.  “Rick”  Shangraw  Jr.,  the  ASU  Foundation  for  A  New   American University helps advance ASU by working closely with philanthropists to engage them in  the  university’s  efforts  to  produce  meaningful  change.  Philanthropy  is a tradition of giving and sharing that is primary to the success of the university. During the last 13-year period, alumni, parents, foundations, corporations and other individuals and organizations have committed $1.66 billion in  support  of  ASU’s  students,  faculty,  research,  academics  and  facilities. There  are  many  forms  those  investments  have  taken,  including  endowments  which  expand  ASU’s   permanent financial base and create reliable, virtually perpetual income streams for such advancements as endowed faculty positions, student scholarships, broad-based interdisciplinary research projects or even entire academic programs. Deeply committed to advancing the philanthropic spirit of its donors, a primary responsibility of the foundation is the growthmanagement of the endowment, with an overarching goal of balancing the needs of the university for both current and future generations. Additionally, the foundation has been hard at work creating entrepreneurial partnership opportunities for the benefit of the institution and establishing a portfolio of income-producing, long-term investment and development properties. These, in addition to the endowment, comprise the  foundation’s  total  assets,  which  have  grown  from  $228 million to more than $942 million. Such growth is evident of the transformative ways the ASU Foundation has helped further the success of ASU as a New American University. The Foundation reports its gifts in a variety of ways to satisfy different reporting agencies or internal productivity measurements. One reporting method the Foundation uses is New Gifts and Commitments,  which  measures  the  productivity  of  the  Foundation’s  fundraising  efforts  across  all   areas of the University and its affiliates. This method includes gifts, pledges, gifts-in-kind, bequests and more. The New Gifts and Commitments for the Foundation in 2014 was $147 million, and $137 million in 2013. Another method the Foundation uses to report gifts is a counting methodology developed by the Council for Aid to Education (CAE) which emphasizes cash in the door  counted  for  all  supporting  entities  of  ASU,  in  addition  to  the  Foundation’s  gift  receipts.    These   gift receipts were $99 million in 2014, a small change from $108 million in 2013. Page 2 of 4 Our Form 990 shows direct public support of $60 million for fiscal year 2014. The accounting method used for this form more closely represents Generally Accepted Accounting Principles (GAAP), a full accrual accounting methodology, than it does the New Gifts and Commitments or the CAE counting methodology. One of the main differences between the CAE method and the Form 990 and GAAP is the recognition of pledges. CAE counts the gift as the pledge payments are made, while GAAP and the Form 990 count the entire gift at the time the pledge promise is made. The Foundation received $18.7 million of expense reimbursement from ASU to provide development, fundraising, investment, marketing and technology transfer services for ASU in fiscal year 2014. The Foundation provided $73.1 million to ASU for support of faculty, scholarships and programs. Below are some general information items that are intended to aid the reader in understanding the information that is presented in the IRS Form 990. Like all information that must be presented using a prescribed format, the financial information of the Foundation has been grouped and aligned to meet the requirements and definitions of the IRS Form 990. It may not be the best format for presenting the Foundation’s  financial  information  in  terms  of  understanding  financial   relationships, levels of materiality and priority, or providing the narrative information that gives a comprehensive view of the Foundation’s  financial and operational activities. This Form 990 should be read in conjunction with the Foundation’s  audited  financial  statements,   which can be found on our website (asufoundation.org). Dates: The 2013 Form 990 return covers the fiscal year from July 1, 2013, to June 30, 2014. General: IRS Form 990 is intended to disclose selected information about a tax exempt organization’s  financial, governance and operational activities. While most of the information is presented closely aligns with Generally Accepted Accounting Principles (GAAP), it will not depict the activities of the organization in the same manner as the audited financial statements. Revenue: The ASU Foundation recognizes revenue from many different sources for fiscal year ended (FYE) June 30, 2014.    Expense: $60.0 million of contributions (shown on Part I, line 8). $88.7 million of investment return (Part I, line 10). $11.1 million of other revenue (line 11), the details of which can be seen on page 9 of the return, Part VIII, lines 5, 6d, and 11e. The ASU Foundation incurs many different types of expenses during the fiscal year in support of its objectives. Page 3 of 4  Total expenses (line 18) are broken down into functional categories on page 10, Part IX, of the Form 990. These breakdowns are predetermined by the IRS and organizations cannot deviate from the defined line items.  Statement of Functional Expenses (Part IX, lines 1-25) is presented to allow the reader to see how each natural category of expense is spread across the functions of Program (direct ASU support), Management and General, and Fundraising. Some elements of revenue and expense recognized in the audited financial statements are not included in the Form 990 totals. There is a reconciliation of the Form 990 revenue and expense to the audited statements on Schedule D, Parts XI, XII and XIII of the Form 990. Balance Sheet Information: The assets and liabilities of the Foundation (Part X, lines 1 – 34) are presented to allow the reader to understand the investment holdings, receivables, and payables of the Foundation. Balance sheet items are explained fully in the footnotes to the Foundation’s  audited  financial  statements. Page 4 of 4 Form 990 Return of Organization Exempt From Income Tax Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except private foundations) Do not enter Social Security numbers on this form as it may be made public. Department of the Treasury Internal Revenue Service A IFor?re_20_13 calendar year, or tax year beginning Information about Form 990 and its instructions is at 07/01, 2013, and ending .gov/form990. Jill .L- in am? Open to Public Inspection 06/30, 20 Name OIOFganiZaliOH ARIZONA UNIVERSITY FOUNDATION FOR A new Employer identificatIOn number AI-IERICAN UNIVERSITY 355,23? Doing Business As ASU FOUNDATION Name change Number and street (or 0 box if mail is not delivered to street address) Room/suite Telephone number P.O. BOX 2260 (480) 965L3759 Terminated City or town. state or province, counlry and ZIP or foreign postal code 2113f? TEMPE, AZ 85280 Gross receipts 1, 044 747, 994. Application Name and address of principal officer I I SHANGRAW JR I Is this a group return for yes No pending subordinatesAre all subordinates Included? YES N0 Tax-exempt status: I I501(c)(3) 4_ (insert no) I I4947(a)(1)or If "No attach a list (see instructions) Website: . ASUFOUNDATION . ORG H(c) Group exemption number K?Form of organization: I I Corporation I Il-Tnfist I Assgiatim I Other . Year of formation: 1 955 State of legal dom?icile: AZ __Surnmary II 1 Briefly describe the organization's mission or most significant activities: a T9 muse Tee eyeglasses were see. 2:8 2 Check this box I if the organization discontinued its operations or disposed of more than 25% of its net assets 8 3 Number of voting members of the governing body (Part VI, line 1aNumber of independent voting members of the governing body (Part VI, line 1bTotal number of indivrduals employed in calendar year 2013 (Part V, line 2a277. 2'2 6 Total number of volunteers (estimate if necessaryTotal unrelated business revenue from Part column (C), line __b_Net ugrelatedbusiness taxable income from Form line 670 O62 Prior Year Current Year a, 8 Contributionsandgrants 82,237, 898. 59, 971, 207. 9 Program service revenue (Part line 29COPY FOR 4 995, 909. 5,652, 011. . . PUBLIC INSPECTION 10 Investmentincome (Part column (A),Iines 23, 376, 367. 88, 749, 371. 11 Other revenue (Part column (A),Iines 5,6d,8c, 9c, 10c, and11e4,411,325. 11, 126, 000. 12 Total revenue - add lines 8 through 11 (must equal Part column (A). line 12589_- 13 Grants and similar amounts paid (Part IX, column (A), lines 1-095 813. 66 388, 588 . 14 Benefits paid to or for members (Part IX, column (A), line Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-101.53 3- 8,13 9, 8 6O . 2 163 Professional fundraising fees (Part IX, column (A), line 11aTotal fundraising expenses (Part IX, column (D), line 25) 17 Other expenses (Part IX, column 11f-24e18, 267, 620 . 23, 172, 927. 18 Total expenses Add lines 13?17 (must equal Part IX, column (A), line 25Revenue less expenses Subtractline181rom line 31:3561964 - 57, 547; 500- 3a Beginning ofCurrent Year End of Year ?g 20 ?"91586018581067' 940r081r141- as 21 Total liabilitiesrPartx, Iine26206.1421322- 2218897296- g? 22 Net assets or fund balances. Subtract line 21 from line 712.191 . 845- Signature Block Under penalties of perjury, I declare that I have examined this return. including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete Declaration ofpreparer (other than officer) lgbased on all information of which preparer has any knowledge. Sign SignaerIicer Date 1 Here - Jro 6? Dogma CPO era-In. Type or pri ame and title PrintIType preparers name Preparers signature WWII Date Check If PTIN :a'd BETHANN KY 1 1 /1 4/2014 self-employed arer - 1 Useponly Firm's name .- THORNTQIIL LLP Firms EIN 3 6 6 055 558 Firm's address 101 .4. rue FRANCISCO, CA 9? [1 Phone May the IRS discuss this return with the preparer shown above? (see instructionsFor Paperwork Reduction Act Notice, see the separate instructions. Form 990 (2013) JSA 3E1065 2 000 5887BC 700W 0179143.00004 PAGE 2 6.. ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 X TO ENSURE THE SUCCESS OF ARIZONA STATE UNIVERSITY AS A NEW AMERICAN UNIVERSITY. X X 18,245,229. 15,813,676. 3,463,231. SPECIFIC UNIVERSITY PROGRAMS - THE ASU FOUNDATION PROVIDED MORE THAN $18M TO ASU IN SUPPORT OF PROGRAMS THAT CONTRIBUTE TO ASU'S RANKING AS ONE OF THE 100 TOP UNIVERSITIES IN THE WORLD. THESE FUNDS SUPPORT SUSTAINABILITY EDUCATION AND OUTREACH ACTIVITIES (SCHOOL OF SUSTAINABILITY, WRIGLEY GLOBAL INSTITUTE OF SUSTAINABILITY); STARTUP SUPPORT FOR ENTREPRENEURIAL COMPANIES (ARIZONA TECHNOLOGY ENTERPRISES); BUSINESS JOURNALISM (CRONKITE SCHOOL OF JOURNALISM, W. P. CAREY SCHOOL OF BUSINESS); EDUCATIONAL AND PROGRAMMING ACTIVITIES FOR PUBLIC EVENTS; FAMILY JUSTICE ISSUES (SCHOOL OF PUBLIC PROGRAMS, O'CONNOR SCHOOL OF LAW); AND MANY OTHER PROGRAMS. 15,005,748. 6,361,037. 2,833,553. STUDENT AND FACULTY SUPPORT - THE FOUNDATION PROVIDED MORE THAN $8M FOR ASU PROGRAMS THAT ASSIST UNDERGRADUATE AND GRADUATE STUDENTS WITH THE COST OF ATTENDING COLLEGE AND THAT RECOGNIZE STUDENTS' ACADEMIC ACHIEVEMENTS. THESE INCLUDE NEW AMERICAN UNIVERSITY SCHOLARSHIPS, WHICH WERE PROVIDED TO 2,856 STUDENTS. MORE THAN $6.7M FROM THE FOUNDATION SUPPORTED FACULTY RECOGNITION AND PROFESSORSHIPS, ALLOWING ASU STUDENTS THE OPPORTUNITY TO LEARN FROM NOBEL LAUREATES, MEMBERS OF THE NATIONAL ACADEMY OF SCIENCES AND AMERICAN ACADEMY OF ARTS AND SCIENCES, FULBRIGHT SCHOLARS, GUGGENHEIM FELLOWS, AND MEMBERS OF THE ROYAL SOCIETY. 8,620,206. 7,728,115. 1,574,196. RESEARCH SUPPORT - CLASSIFIED BY THE CARNEGIE FOUNDATION AS A RESEARCH UNIVERSITY WITH VERY HIGH RESEARCH ACTIVITY, ASU UTILIZED MORE THAN $8.6M IN RESEARCH FUNDING FROM THE ASU FOUNDATION. THESE FUNDS SUPPORTED RESEARCH IN INFORMATION PRIVACY AND SECURITY (W.P. CAREY SCHOOL OF BUSINESS); SUPPLY CHAIN MANAGEMENT (W. P. CAREY SCHOOL OF BUSINESS); ENVIRONMENT AND SUSTAINABILITY (SCHOOL OF SUSTAINABILITY, WRIGLEY GLOBAL INSTITUTE OF SUSTAINABILITY); EARLY CHILDHOOD EDUCATION (MARY LOU FULTON TEACHERS COLLEGE); AND MANY OTHER AREAS. 42,007,710. 36,485,760. 7,870,981. 83,878,893. 5887BC 700W 0179143.00004 PAGE 3 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 If "Yes," X X complete Schedule A Schedule B, Schedule of Contributors X If "Yes," complete Schedule C, Part I X If "Yes," complete Schedule C, Part II If "Yes," complete Schedule C, X Part III If X "Yes," complete Schedule D, Part I X If "Yes," complete Schedule D, Part II If "Yes," X complete Schedule D, Part III X If "Yes," complete Schedule D, Part IV X If "Yes," complete Schedule D, Part V If "Yes," X complete Schedule D, Part VI X If "Yes," complete Schedule D, Part VII X If "Yes," complete Schedule D, Part VIII If "Yes," complete Schedule D, Part IX If "Yes," complete Schedule D, Part X X X X If "Yes," complete Schedule D, Part X If "Yes," X complete Schedule D, Parts XI and XII If "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional X X X If "Yes," complete Schedule E If "Yes," complete Schedule F, Parts I and IV X X If "Yes," complete Schedule F, Parts II and IV X If "Yes," complete Schedule F, Parts III and IV If "Yes," complete Schedule G, Part I (see instructions) X If "Yes," complete Schedule G, Part II If "Yes," complete Schedule G, Part III If "Yes," complete Schedule H 5887BC 700W X 0179143.00004 X X PAGE 4 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 (continued) X If "Yes," complete Schedule I, Parts I and II X If "Yes," complete Schedule I, Parts I and III X If "Yes," complete Schedule J If "Yes," answer lines 24b X X through 24d and complete Schedule K. If “No,” go to line 25a X X X If "Yes," complete Schedule L, Part I X If "Yes," complete Schedule L, Part I X X If "Yes," complete Schedule L, Part III X If "Yes," complete Schedule L, Part IV If "Yes," complete X Schedule L, Part IV If "Yes," complete Schedule L, Part IV If "Yes," complete Schedule M X X X If "Yes," complete Schedule M If "Yes," complete Schedule N, X Part I If "Yes," X complete Schedule N, Part II If "Yes," complete Schedule R, Part I If "Yes," complete Schedule R, Part II, III, X X X or IV, and Part V, line 1 If "Yes," complete Schedule R, Part V, line 2 X X If "Yes," complete Schedule R, Part V, line 2 If "Yes," complete Schedule R, X Part VI X 5887BC 700W 0179143.00004 PAGE 5 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 195 0 X 277 X e-file If "No" to line 3b, provide an explanation in Schedule O X X X X X X X X X X X X If "No," provide an explanation in Schedule O 5887BC 700W 0179143.00004 PAGE 6 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 For each "Yes" response to lines 2 through 7b below, and for a "No" response to line 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions. X 19 17 X X X X X X X X X X If "Yes," provide the names and addresses in Schedule O (This Section B requests information about policies not required by the Internal Revenue Code.) X X X X If "No," go to line 13 X If "Yes," describe in Schedule O how this was done X X X X X X X AK,AZ,CO,HI,MN,NY,OR,SC, X X VIRGINIA DESANTO, CPA 300 EAST UNIVERSITY DRIVE TEMPE, AZ 85281 5887BC 700W (explain in Schedule O) 480-965-1791 0179143.00004 PAGE 7 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW WILLIAM POST CHAIRMAN TONY COREY DIRECTOR JOSE CARDENAS DIRECTOR - NON-VOTING WAYNE DORAN DIRECTOR STEPHEN EVANS DIRECTOR JUANITA FRANCIS VICE CHAIRMAN IRA FULTON DIRECTOR JOHN GRAHAM DIRECTOR BOB JOHNSON DIRECTOR ANNE MARIUCCI DIRECTOR MORGAN OLSEN DIRECTOR HARRY PAPP DIRECTOR GARY TRUJILLO DIRECTOR MICHAEL M. CROW DIRECTOR 5887BC 700W 1.00 0 1.00 0 1.00 0 1.00 0 2.00 0 1.00 0 1.00 0 1.00 0 1.00 0 1.00 0 1.00 0 1.00 0 1.00 0 1.00 2.00 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X X 86-6051042 X 0179143.00004 PAGE 8 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 (continued) ( 15) KENNETH VAN WINKLE DIRECTOR ( 16) GREG VOGEL DIRECTOR ( 17) SCOTT WALD DIRECTOR ( 18) ANGELINA YIN CESAL DIRECTOR ( 19) R.F. SHANGRAW JR. DIRECTOR,PRESIDENT AND CEO ( 20) ROGER WITTLIN DIRECTOR ( 21) VIRGINIA DESANTO VP, CFO, TREASURER, SECRETARY ( 22) WELLINGTON REITER SENIOR VP & MANAGING DIRECTOR ( 23) AUGUSTINE CHENG MANAGING DIRECTOR AZTE ( 24) KENNETH J. POLASKO EXECUTIVE DIRECTOR AZTE ( 25) GRETCHEN BUHLIG VP LEADERSHIP GIVING 1.00 0 1.00 0 1.00 0 1.00 0 60.00 3.00 1.00 0 50.00 3.00 40.00 0 40.00 2.00 40.00 0 40.00 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 383,575. 0 106,463. 0 0 0 208,229. 0 28,099. X 240,346. 0 32,681. X 494,116. 0 43,517. X 261,574. 0 31,787. X 225,569. 0 2,149,967. 2,149,967. 0 0 0 0 16,720. 0 299,731. 299,731. X X X X 33 X If "Yes," complete Schedule J for such individual If “Yes,” complete Schedule J for such individual X X If “Yes,” complete Schedule J for such person ATTACHMENT 1 26 5887BC 700W 0179143.00004 PAGE 9 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 (continued) ( 26) REGINALD K WALTON VP STRATEGIC CORP INITIATIVES ( 27) JULIET A LIM FORMER GEN COUNSEL & SECRETARY 40.00 0 40.00 0 X X 220,484. 0 21,827. 116,074. 0 18,637. 33 X If "Yes," complete Schedule J for such individual If “Yes,” complete Schedule J for such individual X If “Yes,” complete Schedule J for such person 5887BC 700W X 0179143.00004 PAGE 10 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 59,971,207. 570,709. 59,971,207. PROGRAM SUPPORT 541800 2,835,811. 2,835,811. BRICKYARD RENTAL 531120 2,816,200. 2,816,200. 5,652,011. 10,797,569. -660,681. 11,458,250. 0 713,397. 713,397. 1,036,050. 1,036,050. 1,036,050. 1,036,050. 77,951,802. 77,951,802. 957,201,207. 879,249,405. 77,951,802. 0 0 0 GAIN ON EXTINGUISHMENT OF DEBT 900099 7,068,445. 7,068,445. ASSET MANAGEMENT FEES REVENUE 900099 1,915,830. 1,915,830. MISCELLANEOUS 900099 392,278. 392,278. 9,376,553. 165,498,589. 5887BC 700W 15,741,961. 0179143.00004 -660,681. 90,446,102. PAGE 11 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A). Do not include amounts reported on lines 6b, 7b, 8b, 9b, and 10b of Part VIII. 66,388,588. 66,388,588. 0 0 0 326,448. 99,349. 122,998. 104,101. 240,299. 6,029,642. 581,272. 2,076,689. 240,299. 3,371,681. 286,951. 842,362. 414,158. 33,187. 81,228. 42,234. 94,660. 317,593. 138,736. 159,104. 443,541. 233,188. 37,200. 795,278. 167,812. 249,780. 249,714. 2,694,937. 24,800. 671,547. 71,517. 249,780. 12,400. 123,731. 96,295. 2,381,465. 313,472. 695,512. 71,716. 402,484. 27,933. 41,391. 15,770. 527,597. 319,953. 1,099,291. 378,442. 348,759. 18,098. 184,369. 952,389. 102,007. 92,056. 608,312. 53,762. 1,313,389. 37,482. 656,694. 410,459. 111,623. 418,819. 165,946. 19. 262,697. 3,570,711. 1,734,216. 2,832,492. 630,174. 83,878,893. 102,403. 48,870. 94,657. 522,299. 314,501. 6,140,063. 7,932,133. 1,836,194. 465,928. 1,278,840. 365,984. 0 286,376. 1,652,757. 0 151,872. 1,970,083. 0 829,278. 277,588. FEES & SUBSCRIPTIONS MEALS AND CULTIVATION BRICKYARD RENTAL EXPENSES LOSS ON LEASE RECEIVABLE 459,757. 4,141,880. 1,734,216. 2,832,492. 944,675. 97,951,089. 249,714. 60,628. 0 5887BC 700W 0179143.00004 PAGE 12 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 71,196,720. 11,453,232. 86-6051042 6,710,350. 2,020,687. 117,781,060. 3,001,703. 6,801,509. 2,021,853. 105,523,509. 1,713,774. 0 0 0 0 0 0 0 0 0 0 59,452,192. 400,357,853. 234,080,576. 0 0 37,453,646. 860,858,067. 5,267,032. 0 0 65,815,000. 114,277,353. 59,743,488. 395,006,355. 318,216,858. 0 0 51,053,795. 940,081,141. 4,869,213. 0 0 65,830,000. 130,503,305. 0 9,120,000. 0 0 7,460,000. 0 11,662,937. 206,142,322. 19,226,778. 227,889,296. 13,979,132. 253,477,189. 387,259,424. 36,515,784. 277,821,438. 397,854,623. 654,715,745. 860,858,067. 712,191,845. 940,081,141. X 5887BC 700W 0179143.00004 PAGE 13 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 X 165,498,589. 97,951,089. 67,547,500. 654,715,745. 6,933,495. 0 0 0 -17,004,895. 712,191,845. X X X X X X 5887BC 700W 0179143.00004 PAGE 14 www.irs.gov/form990 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 86-6051042 X X X X 5887BC 700W 0179143.00004 PAGE 15 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 42,033,850. 54,069,576. 92,735,382. 82,237,898. 86-6051042 59,971,207. 331,047,913. 0 0 42,033,850. 54,069,576. 92,735,382. 82,237,898. 59,971,207. 331,047,913. 75,873,568. 255,174,345. 42,033,850. 54,069,576. 92,735,382. 82,237,898. 59,971,207. 331,047,913. 9,275,550. 9,125,862. 15,861,681. 12,309,729. 12,547,137. 59,119,959. 0 0 390,167,872. 57,535,822. 65.40 57.38 X 5887BC 700W 0179143.00004 PAGE 16 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 8 6?6051042 Schedule A (Form 990 or 990-EZ) 2013 Page 3 Support Schedule for Organizations Described in Section 509(a)(2) (Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.) Section A. Public Support Calendar year (or fiscal year beginning in) 2009 2010 (0) 2011 2012 2013 TOtal 1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") 2 Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exem pt purpose 3 Gross receipts from activities that are not an unrelated trade or business under section 513 4 Tax revenues levied for the organization?s benefit and either paid to or expended on its behalf 5 The value of services or facilities furnished by a governmental unit to the organization without charge 6 Total. Add lines 1 through 5 7a Amounts included on lines 1, 2, and 3 received from disqualified persons . . . . Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year Add lines Public support (Subtract line 70 from line 6Section B. Total Support Calendar year (or fiscal year beginning in) 2009 2010 (0) 2011 2012 2013 TOtal 9 Amounts from line6 . . . . . . . . . . . 10a Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources . . . . . . . . . . . . . . . . . Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975 Add lines 10a and 10b 11 Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.) 13 Total support. (Add lines 9, 100, 11, and 12First five years. If the Form 990 is for the organization?s first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization, check this box and stop here . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Section C. Computation of Public Support Percentage 15 Public support percentage for 2013 (line 8, column divided by line 13, column 15 16 Public support percentage from 2012 Schedule A, Part line Section D. Computation of Investment Income Percentage 17 Investment income percentage for 2013 (line 100, column divided by line 13, column 17 18 Investment income percentage from 2012 Schedule A, Part line 17 18 19a 331/3% support tests - 2013. If the organization did not check the box on line 14, and line 15 is more than 331/3 and line 17 is not more than 331/3 check this box and stop here. The organization qualifies as a publicly supported organization El 331/3% support tests - 2012. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 331/3 and line 18 is not more than 331/3 check this box and stop here. The organization qualifies as a publicly supported organization 20 Private foundation. If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions JSA Schedule A (Form 990 or 990-EZ) 2013 3E1221 1.000 5887BC 700W 0179143.00004 PAGE 17 UNIVERSITY FOUNDATION FOR 86-6051042 Schedule A (Form 990 or 990-EZ) 2013 Page 4 Part IV Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and Part line 12. Also complete this part for any additional information. (See instructions). JSA Schedule A (Form 990 or 990-EZ) 2013 3E1225 2.000 5887BC 700W 0179143.00004 PAGE 18 www.irs.gov/form990 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY X 86-6051042 3 X exclusively exclusively exclusively nonexclusively 5887BC 700W 0179143.00004 PAGE 19 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 86-6051042 1 X 5,901,778. 2 X 3,000,000. 3 X 1,863,000. 4 X 1,639,049. 5 X 1,416,000. 5887BC 700W 0179143.00004 PAGE 20 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 5887BC 700W 86-6051042 0179143.00004 PAGE 21 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY Exclusively 86-6051042 exclusively 5887BC 700W 0179143.00004 PAGE 22 www.irs.gov/form990. ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 5887BC 700W 86-6051042 0179143.00004 PAGE 23 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 X ATCH 1 249,780. 249,780. 83,629,113. 83,878,893. 1,000,000. 0 0 1,000,000. 1,000,000. 1,000,000. 1,000,000. 250,000. 0 0 4,000,000. 6,000,000. 437,870. 345,032. 124,890. 249,780. 1,157,572. 250,000. 250,000. 250,000. 250,000. 1,000,000. 1,500,000. 59,081. 5887BC 700W 59,081. 0179143.00004 PAGE 24 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 For each "Yes," response to lines 1a through 1i below, provide in Part IV a detailed description of the lobbying activity. AS PART OF ITS MISSION, ASU FOUNDATION CONTRIBUTES TO LOBBYING ACTIVITIES THAT SUPPORT HIGHER EDUCATION IN ARIZONA AND THE NEED FOR ADEQUATE FUNDING TO PROVIDE EXCELLENT EDUCATIONAL OPPORTUNITIES FOR ARIZONA RESIDENTS. 5887BC 700W 0179143.00004 PAGE 25 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 (continued) 5887BC 700W 0179143.00004 PAGE 26 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 (continued) ATTACHMENT 1 SCHEDULE C, PART II-A, AFFILIATED ORGANIZATIONS ORGANIZATION NAME: ADDRESS: AZTE VENTURES, CO. 1475 N SCOTTSDALE RD STE 200 SCOTTSDALE, AZ 85257 EIN: 27-0151042 GRASSROOTS LOBBYING AMOUNT: DIRECT LOBBYING AMOUNT: TOTAL LOBBYING EXPENDITURES: OTHER EXEMPT PURPOSE EXPENDITURES: TOTAL EXEMPT PURPOSE EXPENDITURES: LOBBYING NONTAXABLE AMOUNT: GRASSROOTS NONTAXABLE AMOUNT: TOTAL GRASSROOTS LESS NONTAXABLE AMOUNT: TOTAL EXPENDITURES LESS NONTAXABLE AMOUNT: SHARE OF EXCESS LOBBYING EXPENDITURES: ORGANIZATION NAME: ADDRESS: ASU FOUNDATION FOR A NEW AMERICAN UNIV P.O. BOX 2260 TEMPE, AZ 85280-2260 EIN: 86-6051042 GRASSROOTS LOBBYING AMOUNT: DIRECT LOBBYING AMOUNT: TOTAL LOBBYING EXPENDITURES: OTHER EXEMPT PURPOSE EXPENDITURES: TOTAL EXEMPT PURPOSE EXPENDITURES: LOBBYING NONTAXABLE AMOUNT: GRASSROOTS NONTAXABLE AMOUNT: TOTAL GRASSROOTS LESS NONTAXABLE AMOUNT: TOTAL EXPENDITURES LESS NONTAXABLE AMOUNT: SHARE OF EXCESS LOBBYING EXPENDITURES: 5887BC 700W 0179143.00004 249,780. 249,780. 83,629,113. 83,878,893. 1,000,000. 250,000. PAGE 27 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 (continued) ATTACHMENT 1 (CONT'D) SCHEDULE C, PART II-A, AFFILIATED ORGANIZATIONS ORGANIZATION NAME: ADDRESS: ASU RESEARCH ENTERPRISE 300 E. UNIVERSITY DR TEMPE, AZ 85281 EIN: 90-0868685 GRASSROOTS LOBBYING AMOUNT: DIRECT LOBBYING AMOUNT: TOTAL LOBBYING EXPENDITURES: OTHER EXEMPT PURPOSE EXPENDITURES: TOTAL EXEMPT PURPOSE EXPENDITURES: LOBBYING NONTAXABLE AMOUNT: GRASSROOTS NONTAXABLE AMOUNT: TOTAL GRASSROOTS LESS NONTAXABLE AMOUNT: TOTAL EXPENDITURES LESS NONTAXABLE AMOUNT: SHARE OF EXCESS LOBBYING EXPENDITURES: ORGANIZATION NAME: ADDRESS: TAYLOR TRUST FBO ASU FOUNDATION P.O. BOX 2260 TEMPE, AZ 85280-2260 EIN: 86-6252445 GRASSROOTS LOBBYING AMOUNT: DIRECT LOBBYING AMOUNT: TOTAL LOBBYING EXPENDITURES: OTHER EXEMPT PURPOSE EXPENDITURES: TOTAL EXEMPT PURPOSE EXPENDITURES: LOBBYING NONTAXABLE AMOUNT: GRASSROOTS NONTAXABLE AMOUNT: TOTAL GRASSROOTS LESS NONTAXABLE AMOUNT: TOTAL EXPENDITURES LESS NONTAXABLE AMOUNT: SHARE OF EXCESS LOBBYING EXPENDITURES: 5887BC 700W 0179143.00004 PAGE 28 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 (continued) ATTACHMENT 1 (CONT'D) SCHEDULE C, PART II-A, AFFILIATED ORGANIZATIONS ORGANIZATION NAME: ADDRESS: RESEARCH COLLABORATORY AT ASU P.O. BOX 2260 TEMPE, AZ 85280-2260 EIN: 45-3815674 GRASSROOTS LOBBYING AMOUNT: DIRECT LOBBYING AMOUNT: TOTAL LOBBYING EXPENDITURES: OTHER EXEMPT PURPOSE EXPENDITURES: TOTAL EXEMPT PURPOSE EXPENDITURES: LOBBYING NONTAXABLE AMOUNT: GRASSROOTS NONTAXABLE AMOUNT: TOTAL GRASSROOTS LESS NONTAXABLE AMOUNT: TOTAL EXPENDITURES LESS NONTAXABLE AMOUNT: SHARE OF EXCESS LOBBYING EXPENDITURES: 5887BC 700W 0179143.00004 PAGE 29 www.irs.gov/form990 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 5887BC 700W 86-6051042 0179143.00004 PAGE 30 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 (continued) X 1,234,694. 187,700. 53,804. 1,368,590. X X 435,282,924. 394,228,823. 403,582,918. 337,853,340. 309,160,513. 14,310,742. 13,841,369. 17,233,377. 20,682,854. 18,146,275. 62,734,955. 49,318,255. -6,355,550. 65,270,036. 28,608,138. 15,643,818. 15,285,635. 13,688,776. 12,769,824. 11,558,372. 7,532,296. 6,819,888. 6,543,146. 7,453,488. 6,503,214. 489,152,507. 435,282,924. 394,228,823. 403,582,918. 337,853,340. 2.2592 73.9076 23.8332 X X 8,438,442. 37,400,000. 19,516,053. 5,671,524. 8,438,442. 51,244,529. 5,842,225. 5,781,708. 60,517. (Column (d) must equal Form 990, Part X, column (B), line 10(c).) 5887BC 700W 0179143.00004 59,743,488. PAGE 31 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW GLOBAL EQUITIES ABSOLUTE RETURN REAL ASSETS PRIVATE CAPITAL (Column (b) must equal Form 990, Part X, col. (B) line 12.) 114,083,985. 101,265,045. 78,917,560. 23,950,268. 86-6051042 FMV FMV FMV FMV 318,216,858. (Column (b) must equal Form 990, Part X, col. (B) line 13.) CHARITABLE TRUSTS RECEIVABLE ASSETS WITH LIMITED USE ASSETS HELD UNDER SPLIT INT AG NET INV IN DIRECT FINANCING CAPITALIZED BOND ISSUANCE COST OTHER ASSETS 1,276,620. 5,429,342. 18,102,566. 24,545,000. 1,231,577. 468,690. 51,053,795. (Column (b) must equal Form 990, Part X, col. (B) line 15.) OBLIGATIONS UNDER SPLIT-INTEREST AG UNREALIZED SWAP LIABILITY 11,653,000. 7,573,778. (Column (b) must equal Form 990, Part X, col. (B) line 25.) 19,226,778. X 5887BC 700W 0179143.00004 PAGE 32 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 170,794,144. 6,933,495. 1,056,996. 7,990,491. 162,803,653. 2,694,936. 2,694,936. 165,498,589. (This must equal Form 990, Part I, line 12.) 113,259,395. 113,259,395. 2,694,936. -18,003,242. -15,308,306. 97,951,089. (This must equal Form 990, Part I, line 18.) SEE PAGE 5 5887BC 700W 0179143.00004 PAGE 33 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW (continued) 86-6051042 SCHEDULE D, PART IV, LINE 1B THE ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY IS THE TRUSTEE OF TAYLOR TRUST FBO ASU FOUNDATION ("TAYLOR TRUST"). TAYLOR TRUST'S MISSION IS TO ESTABLISH AND MAINTAIN THE FRED E. TAYLOR CHAIRED PROFESSORSHIP IN REAL ESTATE AT THE ARIZONA STATE UNIVERSITY W.P. CAREY SCHOOL OF BUSINESS. SCHEDULE D, PART IV, LINE 2B THE ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY HOLDS ASSETS AS THE TRUSTEE OF A GRANTOR TRUST FOR ASU AND HOLDS ASSETS UNDER AN INVESTMENT AGREEMENT WITH ASU ALUMNI ASSOCIATION. SCHEDULE D, PART V, LINE 4 ALL ENDOWMENT EXPENDITURES SUPPORT THE EDUCATION, RESEARCH, PUBLIC SERVICE AND OTHER ACTIVITIES OF ARIZONA STATE UNIVERSITY. SCHEDULE D, PART X, LINE 2 MANAGEMENT IS OF THE OPINION THAT MATERIAL POSITIONS TAKEN BY THE FOUNDATION WOULD BE UPHELD UNDER EXAMINATION. ACCORDINGLY, THE FOUNDATION HAS NOT RECORDED AN INCOME TAX LIABILITY FOR UNCERTAIN TAX POSITIONS AS OF JUNE 30, 2014, AND DOES NOT ANTICIPATE A SIGNIFICANT CHANGE FOR THE FOLLOWING TWELVE MONTHS. AS OF JUNE 30, 2014, THE FOUNDATION'S FISCAL YEARS 2010 THROUGH 2013 FOR THE FEDERAL AND 2009 THROUGH 2013, FOR ARIZONA TAX JURISDICTIONS REMAIN OPEN TO EXAMINATION. 5887BC 700W 0179143.00004 PAGE 34 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW (continued) 86-6051042 SCHEDULE D, PART XI, LINE 2D CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS $331,685 CHANGE IN ASSETS DUE TO OTHER ENTITIES (17,214,762) NET INCOME ATTRIBUTED TO TAYLOR TRUST REPORTED ON SEPARATE TAX RETURN 133,896 BRICKYARD RENTAL EXPENSES (1,734,217) ASU EXPENSE RECOVERY 18,678,218 REVENUE ATTRIBUTED TO ASURE REPORTED ON SEPARATE TAX RETURN 855,733 REVENUE ATTRIBUTED TO RCASU REPORTED ON SEPARATE TAX RETURN 6,443 --------------$1,056,996 SCHEDULE D, PART XII, LINE 4B ASU EXPENSE RECOVERY BRICKYARD RENTAL EXPENSES $(18,678,218) 1,734,217 EXPENSE ATTRIBUTED TO ASURE REPORTED ON SEPARATE TAX RETURN (1,056,636) EXPENSE ATTRIBUTED TO RCASU REPORTED ON SEPARATE TAX RETURN (2,605) ---------------$(18,003,242) 5887BC 700W 0179143.00004 PAGE 35 www.irs.gov/form990 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY CENTRAL AMERICA/CARIBBEAN 86-6051042 INVESTMENTS 106,556,439. 106,556,439. 106,556,439. 5887BC 700W 0179143.00004 PAGE 36 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW Schedule (Form 990) 2013 Part II 86?6051042 Page2 Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" on Form 990, Part IV, line 15, for any recipient who received more than $5,000. Part II can be duplicated if additional space is needed. Name of organization IRS code Region Purpose of section and EIN grant (if applicable) Amount of i Method of Manner of (9) Amount of Description ?valuation cash grant cash non-cash of non-cash (book, disbursement assistance assistance appraisal, other) (1) (2) (3) (4) (5) (5) (7) (3) (9) (10) (11) (12) (13) (14) (15) (15) 2 Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter_ 3 Enter total number of other organizations or entities. JSA 3E12751.000 5887BC 700W 0179143. 00004 Schedule (Form 990) 2013 PAGE 3 7 UNIVERSITY FOUNDATION FOR 86?6051042 Schedule (Form 990) 2013 Page 3 Part Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" on Form 990, Part IV, line 16. Part Hi can be duplicated if additional space is needed. Manner of Amount of (9) Description Method of Type of grant or assistance Region Number of Amount of cash non-cash of non-cash valuation recipients cash grant disbursement assistance assistance (book, FMV, appraisal, other) (1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17) (18) Schedule (Form 990) 2013 JSA 3E12761.000 5887BC 700W 0179143.00004 PAGE 38 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW If "Yes," the organization may be required to file Form 926, Return by a U.S. Transferor of Property to a Foreign Corporation (see Instructions for Form 926) 86-6051042 X If "Yes," the organization may be required to file Form 3520, Annual Return to Report Transactions with Foreign Trusts and Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust With a U.S. Owner (see Instructions for Forms 3520 and 3520-A) X If "Yes," the organization may be required to file Form 5471, Information Return of U.S. Persons With Respect To Certain Foreign Corporations. (see Instructions for Form 5471) X If "Yes," the organization may be required to file Form 8621, Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see Instructions for Form 8621) X If "Yes," the organization may be required to file Form 8865, Return of U.S. Persons With Respect To Certain Foreign Partnerships. (see Instructions for Form 8865) X If "Yes," the organization may be required to file Form 5713, International Boycott Report (see Instructions for Form 5713) 5887BC 700W 0179143.00004 X PAGE 39 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86?6051042 Schedule (Form 990) 2013 Page 5 Supplemental Information Complete this part to provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (accounting method; amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part (accounting method); and Part column (0) (estimated number of recipients), as applicable. Also complete this part to provide any additional information (see instructions). JSA Schedule (Form 990) 2013 3E15021.000 5887BC 700W 0179143.00004 PAGE 40 www.irs.gov/form990 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY X X X X 86-6051042 X X THE EUDY COMPANY LTD FUNDRAISER X 1,200,000. 219,626. VANDENBERG & ASSOCIATES FUNDRAISER X 282,000. 30,088. 1,482,000. 249,714. AK,AZ,CA,CO,HI,ME,MA,MI,MN,NH,NJ,NY,ND,OH,OK,OR,SC,UT,WA, 5887BC 700W 0179143.00004 PAGE 41 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW Schedule (Form 990 or 990-EZ) 2013 86?6051042 Page 2 Fundraising Events. Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported more than $15,000 of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. List events with gross receipts greater than $5,000. Revenue Gross IreGeiIDtS . . . . . . . . . . . . Less: Contributions Gross income (line 1 minus line Event #1 Event #2 Other events (event type) (event type) (total number) (cl) Total events (add col. through col. Direct Expenses 10 11 Gaming. Complete if the organization answered "Yes" to Form 990, Part IV, line 19, or repo Cash Prizes . . . . . . . . . . . . . . Noncash prizes . . . . . . . . . . . . Rent/facility costs . . . Food and beverages . Entertainment Other direct expenses Direct expense summary. Add lines 4 through 9 in column Net income summary. Subtract line 10 from line 3, column . . . . . . . . . . . . . . . . . . . . . than $15,000 on Form 990-EZ, line 6a. rted more Pull tabs/instant (cl) Total gaming (add a) B'ngo bingo/progressive bingo Other gammg col. through col. 2 1 Gross revenue . . . . . . . . 2 Cash prizes . . . . . . . . . . . . . . (I) g- 3 Noncash prizes . . . . . . . . . . . LIJ 4 Rent/facility costs a 5 Other direct expenses Yes Yes?% Yes 6 Volunteer labor No No No 7 Direct expense summary. Add lines 2 through 5 in column 8 Net gaming income summary. Subtract line 7 from line 1, column . . . . . . 9 Enter the state(s) in which the organization operates gaming activities: a Is the organization licensed to operate gaming activities in each of these states? If explain: ?_'Yes No 10a If "Yes," explain: Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year? _lYes No JSA 3E12821 .000 5887BC 700W Schedule (Form 990 or 990-EZ) 2013 0179143. 00004 PAGE 4 2 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 Schedule (Form 990 or 990-EZ) 2013 Page 3 11 Does the organization operate gaming activities with nonmembers? Yes No 12 Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entity formed to administer charitable gamingIndicate the percentage of gaming activity operated in: a The organization's facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13a An outside facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13b 14 Enter the name and address of the person who prepares the organization's gaming/special events books and records: Name Address 15a Does the organization have a contract with a third party from whom the organization receives gaming revenue : Yes No If "Yes," enter the amount of gaming revenue received by the organization and the amount of gaming revenue retained by the third party If "Yes," enter name and address of the third party: 16 Gaming manager information: Description of services provided El Director/officer El Employee El Independent contractor 17 Mandatory distributions: a Is the organization required under state law to make charitable distributions from the gaming proceeds to retain the state gaming licenseEnter the amount of distributions required under state law to be distributed to other exempt organizations or spent in the organization's own exempt activities during the tax year Supplemental Information. Provide the explanation required by Part I, line 2b, columns and and Part lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also complete this partto provide any additional information (see instructions). Schedule (Form 990 or 990-EZ) 2013 JSA 3E1503 2.000 5887BC 700W 0179143.00004 PAGE 43 www.irs.gov/form990 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 86-6051042 X ARIZONA STATE UNIVERSITY PO BOX 870502 TEMPE, AZ 85287 86-0196696 115 64,754,030. PROGRAM SUPPORT 73-6017987 115 50,000. PROGRAM SUPPORT 71-6056774 501(C)(3) 215,151. PROGRAM SUPPORT 33-0567945 501(C)(3) 50,000. PROGRAM SUPPORT 75-0827465 501(C)(3) 16,610. PROGRAM SUPPORT 57-6001153 115 10,000. PROGRAM SUPPORT 38-6004447 115 10,000. PROGRAM SUPPORT 56-0532303 501(C)(3) 10,081. PROGRAM SUPPORT 26-4646578 501(C)(3) 8,000. PROGRAM SUPPORT 46-4635819 501(C)(3) 1,048,025. PROGRAM SUPPORT 46-3815674 501(C)(3) 241,889. PROGRAM SUPPORT 45-4568597 501(C)(4) 100,000. PROGRAM SUPPORT UNIVERSITY OF OKLAHOMA 395 W. LINDSEY NORMAN, OK 73019 UNIVERSITY OF ARKANSAS 1 UNIV OF AR FAYETTEVILLE AR 72701 CAL ST FULLERTON PHILANTHROPIC FOUNDATION 2600 NUTWOOD AVE ST 850, FULLERTON CA 92831 TEXAS CHRISTIAN UNIVERSITY TCU BOX 297011 FORT WORTH, TX 76129 UNIVERSITY OF SOUTH CAROLINA SCHOOL OF JOURNALISM & MASS COMMUNICATIONS CENTRAL MICHIGAN UNIVERSITY ACCOUNTING WA 304 MT PLEASANT, MI 48859 ELON UNIVERSITY 100 CAMPUS DRIVE ELON, NC 27244 CHAB DAI USA 1617 18TH ST. SACRAMENTO, CA 95811 ASU ALUMNI LAW GROUP 2 N. CENTRAL AVE #1600 PHOENIX, AZ 85004 RESEARCH COLLABORATORY AT ASU P.O. BOX 2260 TEMPE, AZ 85280 SOFN 4715 N. 32ND STREET PHOENIX, AZ 85018 7. 5. 5887BC 700W 0179143.00004 PAGE 44 5887BC 700W PURPOSES AT THE TIME OF EACH DISBURSEMENT. 0179143.00004 ACCOUNTED FOR AND MONITORED THROUGH THE USE OF ACCOUNTS AND ACCOUNT AFFILIATES AND OTHER NON-PROFITS FOR ASU RELATED INITIATIVES, WHICH ARE GRANTS PAID CONSIST OF FUNDS PROVIDED TO ARIZONA STATE UNIVERSITY, ITS SCHEDULE I, PART I, LINE 2 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW PAGE 45 86-6051042 www.irs.gov/form990 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 86-6051042 X X X X X X X X X X X X X X X X X X 5887BC 700W 0179143.00004 PAGE 46 5887BC 700W VP STRATEGIC CORP INITIATIVES REGINALD K WALTON VP LEADERSHIP GIVING GRETCHEN BUHLIG EXECUTIVE DIRECTOR AZTE KENNETH J. POLASKO MANAGING DIRECTOR AZTE AUGUSTINE CHENG SENIOR VP & MANAGING DIRECTOR WELLINGTON REITER FORMER GEN COUNSEL & SECRETARY JULIET A LIM VP, CFO, TREASURER, SECRETARY VIRGINIA DESANTO DIRECTOR,PRESIDENT AND CEO R.F. SHANGRAW JR. 369,069. 0 203,677. 0 115,819. 0 240,346. 0 344,077. 0 241,574. 0 217,569. 0 220,207. 0 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 0 0 4,000. 0 0 0 0 0 112,613. 0 20,000. 0 8,000. 0 0 0 0179143.00004 14,506. 0 552. 0 255. 0 0 0 37,426. 0 0 0 0 0 277. 0 87,150. 0 14,462. 0 8,399. 0 17,096. 0 17,850. 0 17,527. 0 15,947. 0 8,303. 0 19,313. 0 13,637. 0 10,238. 0 15,585. 0 25,667. 0 14,260. 0 773. 0 13,524. 0 490,038. 0 236,328. 0 134,711. 0 273,027. 0 537,633. 0 293,361. 0 242,289. 0 242,311. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 PAGE 47 86-6051042 5887BC 700W SCHEDULE J, PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN 0179143.00004 PAYMENTS ARE REPORTED AS TAXABLE COMPENSATION AND REPORTED ON FORM W-2. THE SR VP & MANAGING DIRECTOR OF AZTE RECEIVES TAX GROSS UP PAYMENTS. THE SCHEDULE J, PART I, LINE 1A TAX INDEMNIFICATION AND GROSS-UP PAYMENTS AND REPORTED ON FORM W-2. HIMSELF AND HIS SPOUSE. THE PAYMENTS ARE REPORTED AS TAXABLE COMPENSATION THE SR VP & MANAGING DIRECTOR OF AZTE RECEIVES TRAVEL REIMBURSEMENTS FOR SCHEDULE J, PART I, LINE 1A TRAVEL FOR COMPANIONS TAXABLE COMPENSATION AND REPORTED ON FORM W-2. TO AS "AZTE") RECEIVES A HOUSING ALLOWANCE. THE PAYMENTS ARE REPORTED AS THE SR VP & MANAGING DIRECTOR OF ARIZONA TECHNOLOGY ENTERPRISES (REFERRED SCHEDULE J, PART I, LINE 1A HOUSING ALLOWANCE ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW PAGE 48 86-6051042 5887BC 700W THE CEO'S PERFORMANCE. 0179143.00004 FIXED AMOUNT CALCULATIONS BASED ON THE BOARD'S OVERALL SATISFACTION OF THE BOARD OF DIRECTORS OF AZTE TO APPROVE DISCRETIONARY BONUSES WITHOUT THE CEO OF ARIZONA SCIENCE AND TECHNOLOGY ENTERPRISES (AZTE) ALLOWS FOR BENCHMARKS STATED IN EMPLOYMENT CONTRACTS. THE COMPENSATION CONTRACT FOR NON-FIXED PAYMENTS ARE BASED ON COMPENSATION AGREEMENTS AND SUCCESS FOR ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY, SCHEDULE J, PART I, LINE 7 NON-FIXED PAYMENTS WITHOUT CAUSE. REMAINDER OF THE TERM OF HIS EMPLOYMENT AGREEMENT UPON TERMINATION AGREEMENT WHICH PROVIDES FOR A PAYMENT OF HIS BASE SALARY PAYABLE FOR THE THE CEO OF ASUF HAS A SEVERANCE ARRANGEMENT AS PART OF HIS EMPLOYMENT SUPPLEMENTAL RETIREMENT PLAN. AS PART OF THE CEO'S EMPLOYMENT AGREEMENT, THE FOUNDATION WILL MAINTAIN A ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW PAGE 49 86-6051042 AZTE IS A 5887BC 700W ACTIVITIES AND COMPENSATION. 0179143.00004 SEVEN-MEMBER BOARD OF DIRECTORS FOR AZTE, INCLUDING OPERATIONAL UNIVERSITY HAS DELEGATED RESPONSIBILITY FOR MANAGEMENT OF AZTE TO THE MEMBER, THE ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN TECHNOLOGY TRANSFER SERVICES FOR ARIZONA STATE UNIVERSITY. AS THE SOLE FOUNDATION FOR A NEW AMERICAN UNIVERSITY IS THE SOLE MEMBER AND PROVIDES LIMITED LIABILITY CORPORATION IN WHICH THE ARIZONA STATE UNIVERSITY SUBSIDIARY, ARIZONA SCIENCE AND TECHNOLOGY ENTERPRISES (AZTE). HIGHEST PAID EMPLOYEES INCLUDE TWO MEMBERS OF THE MANAGEMENT TEAM OF ITS ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY'S FIVE SCHEDULE J, PART II ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW PAGE 50 86-6051042 86-0439481 INDUSTRIAL DEVLPMT AUTH OF THE CITY OF TEMPE, AZ 5887BC 700W 86-0439481 INDUSTRIAL DEVLPMT AUTH OF THE CITY OF TEMPE, AZ NONE 87972MAB8 www.irs.gov/form990. X X X X 2005 X X X X X X X X 2004 38,550,748. 499,252. 277,740. 21,247,697. 39,050,000. 22,175,437. 652,801. 39,050,000. REFUND ISSUE 22,420,000. ACQUIRE IMPROVE AND EQUIP FACILITY 0179143.00004 04/22/2014 07/01/2004 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY X X PAGE 51 X X 86-6051042 INDUSTRIAL DEVLPMT AUTH OF THE CITY OF TEMPE, AZ X X 5887BC 700W (Continued) 86-6051042 X X X X X X 0179143.00004 30.000 X X X X X X X X X X X X X BANK OF AMERICA X X X X X INDUSTRIAL DEVLPMT AUTH OF THE CITY OF TEMPE, AZ ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW PAGE 52 5887BC 700W (Continued) X X 0179143.00004 X X 86-6051042 X X ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW X X PAGE 53 5887BC 700W 0179143.00004 BOND A INDUSTRIAL DEVLPMT AUTH OF THE CITY TEMPE, AZ: 6/30/2014 PART I THE FOLLOWING ARE THE DATES THE REBATE COMPUTATIONS WAS PERFORMED SCHEDULE K, PART IV, LINE 2C ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 (Continued) PAGE 54 www.irs.gov/form990. ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 5887BC 700W 86-6051042 0179143.00004 PAGE 55 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW SYBIL FRANCIS 5887BC 700W FAMILY MEMBER OF DIRECTOR 240,299. EMPLOYMENT 0179143.00004 86-6051042 X PAGE 56 www.irs.gov/form990. ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY X 40. 86-6051042 570,709. FMV X X X 5887BC 700W 0179143.00004 PAGE 57 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 SCHEDULE M, PART I, LINE 32B THE FOUNDATION USES A VARIETY OF BROKERAGES AND SERVICE COMPANIES TO CONVERT NON-CASH GIFTS TO CASH BASED ON THE TYPE OF NON-CASH GIFT RECEIVED. 5887BC 700W 0179143.00004 PAGE 58 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 86-6051042 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY IS REFERRED TO AS "ASUF" OR "THE FOUNDATION" IN THIS SCHEDULE FORM 990, PART III, 4D: OTHER PROGRAM SERVICES - ALL OTHER PROGRAM EXPENSES SUPPORT THE EDUCATION, RESEARCH, PUBLIC SERVICE AND OTHER ACTIVITIES OF ARIZONA STATE UNIVERSITY. FORM 990, PART IV, LINE 18 AND PART V, LINE 7A AND 7B: ASUF CONDUCTS FUNDRAISING EVENTS FOR THE BENEFIT OF ARIZONA STATE UNIVERSITY (ASU). EVENT PARTICIPANTS RECEIVE CHARITABLE GIFT RECEIPTS INDICATING THE GROSS VALUE OF THE GOODS RECEIVED, THE FAIR MARKET VALUE OF BENEFITS RECEIVED BY DONOR, AND THE NET AMOUNT THAT MAY BE CONSIDERED A CHARITABLE CONTRIBUTION. FORM 990, PART VI, LINE 11B: ASUF'S FORM 990, RETURN OF ORGANIZATION EXEMPT FROM INCOME TAX, IS PREPARED BY AN ACCOUNTING FIRM. THE DRAFT IS SUBMITTED TO THE ASU FOUNDATION FOR REVIEW BY MANAGEMENT FOR ACCURACY OF REPORTING. THE BOARD OF DIRECTORS HAS DELEGATED REVIEW OF THE FORM 990 TO THE AUDIT COMMITTEE. MANAGEMENT AND A REPRESENTATIVE OF THE ACCOUNTING FIRM REVIEW THE FORM 5887BC 700W 0179143.00004 PAGE 59 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 86-6051042 990 WITH THE AUDIT COMMITTEE. ONCE APPROVED AND ACCEPTED BY THE AUDIT COMMITTEE, THE FORM IS SIGNED BY THE CFO AND SUBMITTED ELECTRONICALLY TO THE IRS AND THE BOARD OF DIRECTORS. FORM 990, PART VI, LINE 12C: UPON HIRE AND ON AN ANNUAL BASIS, OFFICERS, DIRECTORS, TRUSTEES AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE ANY CONFLICTS OR POTENTIAL CONFLICTS RELATING TO THEIR INVOLVEMENT WITH ASUF. IN ADDITION, ANY TIME THE INDIVIDUALS REFERRED TO ABOVE BECOME AWARE OF A NEW CONFLICT, THEY ARE REQUIRED TO SUBMIT AN UPDATED CONFLICT OF INTEREST/COMMITMENT FORM TO THE ASUF CFO. FORM 990, PART VI, LINE 15A: FOR ASUF, THE BOARD OF DIRECTORS APPROVES THE COMPENSATION PACKAGE FOR THE CEO BASED ON CURRENT MARKET COMPARISONS PROVIDED BY THE FOUNDATION'S HUMAN RESOURCES DEPARTMENT OBTAINED FROM AN INDEPENDENT COMPENSATION FIRM, RESPONSIBILITES OF THE POSITION, GOALS OF THE FOUNDATION AND NEGOTIATIONS WITH THE CEO. ALL OTHER COMPENSATION DECISIONS HAVE BEEN DELEGATED TO THE CEO FROM THE BOARD OF DIRECTORS AND A SIMILAR PROCESS IS FOLLOWED FOR OBTAINING CEO APPROVAL OF KEY EMPLOYEES COMPENSATION. FOR ARIZONA SCIENCE AND TECHNOLOGY ENTERPRISES (AZTE), A SINGLE MEMBER LIMITED LIABILITY COMPANY CONTROLLED BY ASUF, THE CEO'S COMPENSATION 5887BC 700W 0179143.00004 PAGE 60 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 86-6051042 CONTRACT WAS REVIEWED THROUGH GENERAL COUNSEL OF ASUF AND CFO OF ASU. IT INCLUDED A COMPENSATION COMPARISON PERFORMED BY A THIRD PARTY SERVICE PROVIDER AND WAS APPROVED BY AZTE'S BOARD OF DIRECTORS. FORM 990, PART VI, LINE 19: THE ASUF FINANCIAL STATEMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC ON THE ORGANIZATION'S WEBSITE. THE ORGANIZATION'S GOVERNING DOCUMENTS ARE NOT AVAILABLE TO THE PUBLIC. FORM 990, PART VII, SECTION B, LINE 1 AND ATTACHMENT 1: ALL OF THE LEGAL SERVICES DISCLOSED IN ATTACHMENT 1 WERE PERFORMED IN SUPPORT OF AZTE'S TECHNOLOGY TRANSFER SERVICES TO THE UNIVERSITY AND ARE NOT RELATED TO THE PRIMARY FUNDRAISING SERVICES OF THE FOUNDATION. FORM 990, PART IX, LINE 24D: IN ITS EFFORT TO SUPPORT ASU, THE FOUNDATION AND AFFILIATES PERFORM A BROAD SCOPE OF SERVICES THAT INCLUDE: FUNDRAISING, INVESTMENT MANAGEMENT, TECHNOLOGY TRANSFER, ADVOCACY, UNIVERSITY BRANDING AND MARKETING, EDUCATIONAL AWARENESS, AND PROPERTY FINANCING AND MANAGEMENT. CERTAIN ELEMENTS OF MANAGEMENT AND GENERAL EXPENSES ARE DRIVEN BY THE BROAD SCOPE OF THE FOUNDATION'S ROLE IN SUPPORT OF ASU. THE ASU FOUNDATION'S FUNDRAISING EXPENSES SUPPORT ACTIVITIES THAT GENERATE 5887BC 700W 0179143.00004 PAGE 61 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY 86-6051042 CONTRIBUTIONS THAT GO DIRECTLY TO ENTITIES OTHER THAN ITSELF, SUCH AS ASU AND OTHER ASU AFFILIATES; THUS, NOT ALL FUNDRAISING RESULTS GENERATED THROUGH THE FOUNDATION'S EFFORTS ARE REFLECTED IN THE CONTRIBUTION TOTALS ON THE FOUNDATION'S 990. FORM 990, PART XI, LINE 9: CHANGE IN ASSETS DUE TO OTHER ENTITIES (17,456,651) CHANGE IN VALUE OF SPLIT INTEREST AGREEMENTS 331,685 CHANGE IN VALUE OF UNREALIZED SWAP 120,071 __________________ TOTAL OTHER CHANGES IN NET ASSETS (17,004,895) ATTACHMENT 1 990, PART VII- COMPENSATION OF THE FIVE HIGHEST PAID IND. CONTRACTORS NAME AND ADDRESS DESCRIPTION OF SERVICES COMPENSATION CAMBRIDGE ASSOCIATES LLC PO BOX 10317 UNIONDALE, NY 11555 CONSULTING 376,980. IRELL AND MANELLA LLP 1800 AVENUE OF THE STARS, SUITE 900 LOS ANGELES, CA 90067 LEGAL 413,084. PERKINS COIE LLP 2901 N CENTRAL AVE STE 2000 PHOENIX, AZ 85012 LEGAL 407,878. MCDONNELL BOEHNEN HULBERT 300 SOUTH WACKER DRIVE CHICAGO, IL 60606 LEGAL 375,355. BYRNE POH LLP 11 BROADWAY STE 1115 NEW YORK, NY 10004 LEGAL 338,359. 5887BC 700W 0179143.00004 PAGE 62 5887BC 700W PO BOX 2260 RESEARCH COLLABORATORY AT ASU PO BOX 2260 ASU RESEARCH ENTERPRISE PO BOX 2260 TAYLOR TRUST FBO ASU FOUNDATION TEMPE, AZ 85281 46-3815674 TEMPE, AZ 85281 90-0868685 TEMPE, AZ 85280 86-6252445 SUPPORT SUPPORT SUPPORT AZ SCIENCE AND TECHNOLOGY ENTERPRISES 86-6051042 PO BOX 2260 TEMPE, AZ 85280 ASUF, LLC 86-6051042 PO BOX 2260 TEMPE, AZ 85280 ASUF BRICKYARD, LLC 86-6051042 PO BOX 2260 TEMPE, AZ 85280 ASUF SCOTTSDALE, LLC 86-6051042 PO BOX 2260 TEMPE, AZ 85280 ASUF DUPONT, LLC 86-6051042 PO BOX 2260 TEMPE, AZ 85280 ISW TECHNOLOGIES, LLC 86-6051042 PO BOX 2260 TEMPE, AZ 85280 0 AZ AZ REAL ESTATE REAL ESTATE INTELLEC PROP AZ 0179143.00004 AZ AZ AZ -412. AZ REAL ESTATE 501 (C )(3) 07 501 (C )(3) 09 501 (C )(3) 11(A) ASUF ASUF ASUF PAGE 63 X X X 0 AZTE 17,280. ASUF 4,243,341. 11,761,031. ASUF 1,058,770. 40,484,872. ASUF 2,999,840. 41,893,855. ASUF AZ REAL ESTATE 86-6051042 2,188,348. 10,549,372. ASUF www.irs.gov/form990. 86-6051042 INTELLEC PROP AZ ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 5887BC 700W RH TECHNOLOGIES, LLC PO BOX 2260 3D CELL TECHNOLOGIES, LLC PO BOX 2260 ASUF REALTY, LLC PO BOX 2260 TEMPE, AZ 85280 TEMPE, AZ 85280 TEMPE, AZ 85280 86-6051042 86-6051042 86-6051042 AZ 0179143.00004 REAL ESTATE INTELLEC PROP AZ INTELLEC PROP AZ ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW AMERICAN UNIVERSITY ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW www.irs.gov/form990. 86-6051042 0 0 0 PAGE 64 0 ASUF 0 AZTE 0 AZTE 86-6051042 27-0151042 5887BC 700W 355 MADISON AVENUE, 19TH FLOOR NEW YORK, NY 10017 HARD ASSETS 2X FUND, LTD. CHARITABLE LEAD ANNUITY TRUST CHARITABLE REMAINDER TRUST (19) 1475 N. SCOTTSDALE RD. STE. 200 SCOTTSDALE, AZ 85257 AZTE VENTURES, CO INVESTING CLAT CHARIT REM TR SOLAR ENERGY N/A N/A N/A N/A 0179143.00004 CJ AZ AZ AZ ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW C CORP TRUST TRUST C CORP 86-6051042 -55,157. PAGE 65 X X X 226,282. 100.0000 X B RESEARCH COLLABORATORY AT ASU 0179143.00004 L ASU RESEARCH ENTERPRISE 5887BC 700W D ASU RESEARCH ENTERPRISE ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 241,889. 122,827. 353,356. PAGE 66 COST COST COST X X X X X X X X X X X X X X X X X X X Schedule (Form 990) 2013 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW Unrelated Organizations Taxable as a Partnership Complete if the organization answered "Yes" on Form 990, Part IV, line 37. 86?6051042 Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization. See instructions regarding exclusion for certain investment partnerships. Name, address, and EIN of entity Primary activity Legal domicile (state or foreign country) Predominant income (related, related, excluded from tax under section 512-514) Are all partners section organizations? Yes No Share of 501(c)(3) total Income General or managing partner? Yes No JSA 3E13101.000 5887BC 700W 0179143. 00004 Schedule (Form 990) 2013 PAGE 67 ARIZONA STATE UNIVERSITY FOUNDATION FOR A NEW 86-6051042 FORM 990, SCHEDULE R, PART IV, COLUMN C THERE ARE 17 CHARITABLE TRUSTS WITH LEGAL DOMICILE IN ARIZONA AND 2 CHARITABLE TRUSTS WITH LEGAL DOMICILE IN NEVADA. 5887BC 700W 0179143.00004 PAGE 68