See a Social Security Number? Say Something! Report Privacy Problems to https://public.resource.org/privacy Or call the IRS Identity Theft Hotline at 1-800-908-4490 SCANNED JUL. 2 3 20051:. am990 Return of Organization Exempt From Income Tax Under section 501(c), 527. or 494T(a)(1) of the Internal Revenue Code (except black lung benefit trust or private foundation) OMB NO 1545-0047 2002 0 art Open to Public The organization may have to use a copy of return to satisfy state reporting requrrements. Inspection Forthe 2002 calendar year. or tax year period beginning 5351 1 2002 and ending AUG 31 2003 Check Name of organization Employer identification number applicable Please use IRS Address label or Change print or NEW YORK UNIVERSITY 13- 5562303 341113339 Number and street (or RC. box If marl rs not delivered to street address) Room/surte Telephone number '12'2?1'133 fret?? I26 BROADWAY SECOND FLOOR 238 (212) 998- 2913 ns C- fel??ir'n lions Cliy or town, state or country. and ZIP 4 1961;033:100 method Cash Acaual Of $13ng EEW YORK NY 10003 I: (speedy) 3333;?? 0 Section 501(c)(3) organizations and 4947(a)(1) nonexempt charitable trusts and (are not apphcabre to secuon 527 orgamamns. Web Organization type lcheckonlvonll> 3 must attach a completed Schedule A (Form 990 or 990-EZ). )4 (Insert no) El 4947(a)(1) or 527 Check here I: If the organization's gross receipts are normally not more than $25,000. The organization need not file a return With the but If the organization received a Form 990 Package the marl. It should hle a return wrthout hnancral data. Some states require a complete return. Gross receipts: Add lines 6b, 8b, 9b, and 10th line 12 664 884 644._ H(a) Is this a group return for affiliates? Yes No H(b) 1'Yes.' enter number of affiliates} H(c) Are all affiliates included? (If attach a list.) H(d) Is this a separate return flle by an or- ganlzatlon covered by a group ruling? Yes No? l:l Yes No Enter 4-dIgIt GEN Check I: If the organization IS not requrred to attach Sch. (Form 990. 990-EZ, or 990-PF). I Part II Revenue, Expenses, and Changes in Net Assets or Fund Balances 1 Contributions. grits, grants, and amounts received: a Direct public support 1a 199 936 133 . public support 1b Government contributions (grants) 1c 193 239 000 . Total (add lines tathrough 1c) (cash$ 385 463 305. noncashs 7 711 828. 1d 393 175 133_ 2 Program servrce revenue Including government fees and contracts (from Part VII. line 93) 2 1 365 674 000. 3 Membership dues and assessments 3 4 Interest on and temporary cash Investments 4 12 72 6 000. 1 . 5 and Interest from securities Gross rents sea STATEMENT 2 6a 33 358 945. Less: rental expenses sac: STATEMENT 3 6b 36 223 945 . Net rental Income or (loss) (subtract line 6b from line BeOther Investment Income (describe 7 8 a Gross amount from sale of assets other (A) Securities (8) Other 5 than Inventory Less: cost or other base and sales expenses (loss) (attach schedule) 39 562 076 . 8c Net gain or (loss) (combine line 80. columns (A) and STMT 4 8d 39 562 076. 9 Specral events and (attach schedule) a Gross revenue (not Including 9 2 891 957. of contributions reported on line ta) 9a 754 852. Less: direct expenses other than expenses 9b 1 473 985 . Net Income or (loss) from specral events (subtract IIne 9b from line 9a) 5115: STATEMENT 5 9c <719 133 10 2 Gross sales of Inventory, less returns and allowances 10a 32 49 3 386 . Less: cost of goods sold 10b 25 720 714 . j; - *ry (attach schedule) (subtract Ime 10b from line 10a) sm-r 6 10c 6 772 672. 11 0 errev . 11 318 537 000. 12 Ttalmw 7,8d,9c,10c,and11) 12 2 153 662 075. 1 servr fr line 44 colu i (it :2 1:589 472. .15 16 u?ure) 16 17 (Al) 17 2 101 751 000. . 18 Excess or for the year (subtract line 17 from line 12) 1a 51 911 075 +2.31% 19 Net assets or fund balances at beginning of year (from hne 73. column 19 2 118 593 000_ 4 20 Other changes In net assets or fund balances (attach explanation) SEE STATEMENT 7 20 1 456 924 21 Net assets or fund balances at end of year (combine lines 18, 19, and 20) 21 2 172 055 000 319203-33 LHA For Paperwork Reduction Act Notice. see the separate instructions. Form 990 (2002) NEW YORK UNIVERSITY 13-5562308 Statement of All organizations must complete column (A). Columns (B), (C), and (D) are requned for section 501(c)(3) Page 2 Functlonal Expenses and (4) organizations and section 4947(a)(1) nonexempt charitable trusts but optional for others. 0? (Altotal (?3213839 2183332131? (DiFundra'smo 2 Grants and allocations (attach schedule) cash $162 364 000.noncash$ 22 162 364 000. 162 364 000.STMT 10 23 Specific a55istance to indiv1duals (attach schedule) 23 24 Benefits paid to or for members (attach schedule) 24 25 Compensation ofo?icers, directors, etc. 25 4 055 304. 3 751 156. 304 148. 0. 26 Othersalariesandwages 26 817 437 773. 749 507 357. 60 770 867. 7 159 549. 27 PenSIonplancontributions 27 53 624 309. 49 602 486. 4 021 823. o. 28 Otheremptoyeebenefits 28 52 506 574. 48.568 581. 3 937 993. 0. 29 Payrolltaxes 29 55 646 787. 49 722 877. 4 031 S85. 1 892 325. 30 Protesmonalfundraismgtees 30 31 Accountingtees 31 358 000. 331,150. 26 850. o. 32 Legalfees 32 2 435 179. 2 252 541. 182 638. o. 33 Supplies 33 49 973 938. 46 088 655. 3 736 918. 148 365. 34 Telephone 34 10 237 673. 9 229 560. 748 343. 259 770. 35 Postageandshipping 35 7 952 015. 6 852 383. 555 599. 544 033. 36 Occupancy 36 91 289 582. 84 441 013. 6 846 569. 2 000. 37 Equrpmentrentaland maintenance 37 8 587 000. 7 893 578. 640,020. 53 402. 38 Printingandpublications 38 2 334.000. 1 044 516. 84 691. 1 204 793. 39 Travel 39 40 Conferences,conventions,and meetings 40 45 639 000. 40 716 484. 3 301 336. 1 621 180. 41 Interest 41 48 203 000. 44 587 775. 3 615 225. 0. 42 Deprecration, depletion, etc. (attach schedulefgv 42 90 601 055. 83 805 976. 6 .795 079. 0. 43 Other expenses not covered above (itemizeSEE STATEMENTB 438 598 505 811. 544 155.075. 47 646 681. 6 704 055. 44 44 2 101 751 000. 1 934 915_163. 147 246 365. 19 589 472. Joint Costs. Check I: if you are followmg SOP 98-2. Are any iomt costs from a combined educational campaign and tundraismg solicitation reported in (8) Program servrces? El Yes No It 'Yes,? enter the aggregate amount of these 0 nt costs (ii) the amount allocated to Program sewices the amount allocated to Management and general ;and (iv) the amount allocated to Fundraismg Part In I Statement of Program Service Accomplishments What IS the organization's primary exempt purpose? SEE STATEMENT 9 Pro ram Service All organizations must describe their exempt purpose achievements in a clear and conCIse manner State the number of clients served. publications issued. etc Discuss and achievements that are not measurable (Section 501(cX3) and (4) organizatrons and 4947(aX1) nonexempt charitable trusts must also enter the amount of grants and (4) 0,95 I and allocations to others) trusts. but optional for others a INSTRUCTION AND DEPARTMENT RESEARCH (Grants and allocations 1 094 977 56 3. PATIENT CARE (Grants and allocations 171 70 2 200 . 0 RESEARCH AND OTHER SPONSORED PROGRAMS (Grants and allocations$ 188 431 750. OPERATION AND MAINTENANCE OF PLANT . (Grants and allocations 1 23 244 225 . Other program serwces (attach schedule) (Grants and allocatlons 15 2 354 000. 355 55 9 4 25. Total of Program Service Expenses (should equal line 44. column (B), Program sewices) 1 9 34 915 153 3232021103 Form 990 (2002) Form 990 (2002) NEW YORK UNIVERSITY 13?5562308 P3993 Balance Sheets Note: Where required, attached schedules and amounts Within the column (A) (B) . should be for end-of-year amounts only. Beginning of year End of year 45 Cash-non-Interest-bearlng 12 704.000. 45 8 480 000. 46 196.746.000. 46 128 677 000. 47a Accounts receivable 473 189 295 024. 47b 25 567 000. 134.086 247. 474 163 728 024. 43a Pledges receivable 484 408 496 000. 48b 32 028 000. 431250000. 480 376 468 000. 49 Granlsrecelvable 42 069 000. 49 46 072 000. 50 Receivables from officers, directors, trustees, a and key employees 2 049 753. 50 1 930 976. 51 a Other notesand loans receivable STMT 13 51a 86 382 000. 2 51b 4 975 000. 83 590 000. 51c 81 407 000. 52 lnventonestorsale or use 8 935 000. 52 8 017 084. 53 Prepaid expenses and deferred charges 4 783 188. 53 9 184 S42. 54 Investments-securities smrp14 Cost EIFMV 1 627 255 000. 54 1 781 385 259. 55 a Investments - land, bUIIdIngs, and equrpment: basis 55a 0 Less:accumulated deprecration 55b 55c 56 Investments - other 56 57a equrpment:basns STNT 3? 57a 2 516 459 000. Lesszaccumulateddeprecratlon 57b 985 868 000. 1 400 018 000. 570 1 530 591 000. . 53 SEE STATEMENT 15 14 064 812. 58 23 133 115. 59 Total assetsiadd lines451hrough 74) 3 957 551 000_ 59 4 159 074 000_ 60 Accounts payable and accrued expenses 251 140 000. 60 318 469 000. 61 Grants payable 61 62 Deterredrevenue 353853000. 62 395 308 000. .3 63 Loans from officers, directors, trustees, and key employees 63 64 aTax-exemptbondliabilities STMT 16 724 352 000. 64a 730.348.000. Mertgagesand other notes payable STMT 17 271 753 000. 64b 268 012.000. 65 Other (describe SEE STATEMENT 18 232 755 000. 65 274 871 0001 66 Total liabilitiestadd linesBOthroughBS) 1 838 853 000. 66 1 987 008 000. Organizations that tollow SFAS 11?, check here and complete lines 67 through 69 and lines 73 and 74. 8 67 Unrestricted 959 334_000. 67 1,010,748 000. L: 68 397 558 000. 68 326 390,000. so 69 761 806 000. 69 834 928 000. Organizations that do not follow SFAS 117. check here I: and complete 70 through 74. 3 70 Capital stock, or currenttunds 70 71 Paid?In or capital surplus, or land, equrpment lund 71 72 Retained earnings. endowment, accumulated Income, or otherfunds 72 2 73 Total net assets or fund balances (add Imes 67 through 69 or lines 70 through 72; column (A) mustequal line19;column (B)mustequal IIne21) 2 118 698 000. 73 2 172 066 000. 74 Totalliabilities and netassetslfund balances(addl ne566and 73) 3 957 551 000_ 74 4 159 074 000. Form 990 IS available for public and, for some people, serves as the primary or sole source 01 Information about a particular organization. How the public rcelves an organization In such cases may be determined by the Information presented on Its return. Therefore, please make sure the return IS complete and accurate 0 fully describes. In Part the organization's programs and accomplishments. 223021 01-22-03 Form 990 (2002) grew YORK UNIVERSITY 13?5562308 Page 4 Part Reconciliation of Revenue per Audited Part Reconciliation of Expenses per Audited I Financial Statements with Revenue per Financial Statements with Expenses per Return Return a Total revenue, gains, and other support a Total expenses and losses per . per audited frnancral statements a 2 052 648 000 . audited trnancral statements a 1 999 280 000 Amounts included on line a but not on Amounts Included on line a but not on (me 17, Form 990; line 12, Form 990: (1) Donated servrces (1) Net unrealized gains and use of tacrlmes on Investments :5 70 927 924. (2) Pnor year adjustments (2) Donated serVIces reported on line 20, and use of 5 Form 990 (3) Recoverles ofprlor (3) Losses reported on year grants line 20, Form 990 (4) Other (spectfy): (4) Other (specrty): STMT 19 <235 361 000.: STMT 20 63 419 000. Add amounts on Ilnes(1)through (4) <164 433 076.> Add amounts on lines (1) through (4) 63 419 000. Lineamlnusllneb 2 217 081 076. Llneamlnusllne 1 935 861 000. Amounts Included on llne 12, Form Amounts Included on line 17, Form 990 but not (1) Investment expenses (1) Investment expenses 1 not on not Included on line 611, Form 990 llne Sb, Form 990 3 526 000 (2) Other (speedy): (2) Other (specrfy): sum 21 <63 419 000.: STMT 22 162 364 000. Add amounts on lines (1) and (2) <63 419 000 Add amounts on lines (1) and(2) 165 890 000. 9 Total revenue per line 12, Form 990 Total expenses per line 17, Form 990 d) 2 153 662 076- (llnecDIUS Ime d) 2 101 751 0001 [Part VI List of Officers, Directors, Trustees, and Key Employees (List each one even If not compensated.) (B) T?tle (0) Compensation (lg (E) EXRteanlg . (A) Name and address 3 0 (If ?01 961% 9m? p?gnr?rigsemg?d ot?gfg?owgnces SEE STATEMENT 23 4 055 304. 261 179. 0. 75 Old any officer, director, trustee, or key employee recelve aggregate compensation of more than $100,000 lrom your organization and all related organizations, of more than $10,000 was provrded by the related organizations? f"Yes.' attach schedule. Yes [a No Form 990 (2002) 223031 01-22-03 Form 990 (2002) NEW YORK 13-5562308 Page 5 I Part VI Other Information Yes NO 76 Did the organization engage in any actiwty not prevmusly reported to the If "Yes," attach a detailed of each actiwty 76 7 Were any changes made in the organizmg or governing documents but not reperted to the 77 If 'Yes,? attach a conformed copy of the changes. 78 a Did the organization have unrelated busmess gross income of$1,000 or more during the year covered by this return? 78a If 'Yes,? has it filed a tax return on Form 990-T for this year? 78b 79 Was there a liqmdation, dissolution, termination, or substantial contraction during the year? 79 If 'Yes,? attach a statement 80 a Is the organization related (other than by assocration With a stateWIde or nationWIde organization) through common membership, governing bodies. trustees, officers, etc., to any other exempt or nonexempt organization? 80a lf'Yes,? enter the name of the organization SEE 24 and check whether it is exempt or CI nonexempt. 81 a Enter direct or indirect political expenditures. See line 81 instructions I 81a I 0 . Did the organization file Form 1120-POL for this year? 81b 82 3 Did the organization receive donated serwces or the use of materials, eqmpment, or taCIlities at no charge or at substantially less than fair rental value? 823 lt'Yes,? you may indicate the value of these Items here. Do not include this amount as revenue in Part I or as an expense in Part It. (See instructions In Part I 82b I 83 a Did the organization comply With the public inspection requuements for returns and exemption applications? 83a Did the organization comply With the disclosure reqmrements relating to qurd pro quo contributions? 83b 84 a Did the organization solicn any contributions or gifts that were not tax deductible? 84a It 'Yes,? did the organization include With every an express statement that such contributions or gifts were not tax deductible? 84b 85 501(c)(4), (5), or (6) organizations. a Were substantially all dues nondeductible by members? 85a Did the organization make only in-house lobbying expenditures of $2,000 or less? Nut 85b If 'Yes' was answered to either 85a or 85b, do not complete 850 through 85h below unless the organization received a waiver tor proxy tax owed tor the prior year. Dues, assessments. and Similar amounts from members 85c NA 1 Section 162(e) lobbying and political expenditures 85d . Aggregate nondeductible amount of section 6033(e)(1)(A) dues notices 85o i Taxable amount of lobbying and political expenditures (line 85d less 85e) 85f 9 Does the organization elect to pay the section 6033(e) tax on the amount on line 85f? 859 It section 6033(e)(1)(A) dues notices were sent, does the organization agree to add the amount on line 85f to its reasonable estimate of dues allocable to nondeductible lobbying and political expenditures for the tollowmg tax year? 85h 86 501(c)(7) organizations. Enter: a Initiation fees and capital contributions included on line 12 86a Gross receipts, included on line 12, for public use ot club taCIlities 88b 87 501(c)(12) organizations. Enter: a Gross income from members or shareholders 87:! Gross income trom other sources. (Do not net amounts due or paid to other sources against amounts due or received from them.) 87b 88 At any time during the year, did the organization own a 50% or greater interest in a taxable corporation or partnership, or an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? it 'Yes,? complete Part IX 88 89 a 501(c)(3) organizations. Enter: Amount oi tax imposed on the organization during the year under: section 4911? ;section 4912 . section 4955 o, 501(c)(3) and 501(c)(4) organizations Did the organization engage in any section 4958 excess benefit transaction during the year or did it become aware of an excess benefit transaction from a prior year? If 'Yes,? attach a statement explaining each transaction 89b Enter: Amount of tax imposed on the organization managers or disqualified persons during the year under sections 4912, 4955, and 4958 0 . Enter: Amount of tax on line 89c, above, reimbursed by the organization 90 a List the states With which a copy of this return is filed NONE Number of employees employed in the pay period that includes March 12, 2002 L90b I 20196 91 The books are in care of KERRI J, CARPENTER TeleDhone 00Located at 838 BROADWAY 5TH FLOOR NEW YORK N.Y. 10003?9345 92 Section 494 nonexempt chantabie trusts filing Form 990 in lieu of Form 1041- Check here and enter the amount of tax-exempt interest received or accrued during the tax year I 92 I N/p, 3933.133 Form 990 (2002) Form 990 (2002) NEW YORK UNIVERS ITY I Part VII I Analysis of Income-Producing Activities (See page 31 of the instructions.) 13?5562308 Page 6 I Note: Enter gross amounts unless otherw'ise Unrelated busmess income Excluded by section 512, 513, or 514 indicated (A) (B) ESL ID) Related orexempt . ?smess Amount Amount I 33 Program servrce revenue: COde code ?1mm? 'ncome a TUITION AND FEES 958 356 000. PATIENT CARE 220 307 000. ROYALTIES 52 524 000, DIRECT EXP, RECOVERY 62 631 000. OTHER - RESTRICTED 71 856 000, Medicare/Medicaid payments 9 Fees and contracts from government agenCIes 94 Membership dues and assessments 95 Interest on sayings andtemporary cash investments 14 12A726 0004 96 DiVidends and interest from securities 14 20 799 328, 97 Net rental income or (loss) from real estate: a debt-financed property 16 <2 865 000.> not debt-financed property I 98 Net rental income or (loss) from personal property I 99 Other investment income 100 Gain or (loss) from sales of assets I otherthaninventory 18 39 562 076. 101 Netincome or(loss) from speCial events 01 <719 133.> 102 Gross profitor(loss) from sales ofinventory 611310 215 476. 03 6 557 196. 103 Other revenue: a AUXILIARY INCOME 812930 1 125 698. 01 218 091 302. HOSPITAL AFFILIATION 08 99 320 000. .04 1 341 174. 393 471 769. 1 365 674 000. 105 Total (add line 104, columns(B), (D),and 1 760 486 943. Note: Line 105 plus line 1d, Part I, should equal the amount on fine 12, Part I. I part Relationship of Activities to the Accomplishment of Exempt Purposes (See page 32 of the Instructions.) Line No. 7 exempt purposes (other than by prowding funds for such purposes). Explain how each actiVity for which income is reported in column (E) of Part VII contributed importantly to the accomplishment ot the organization's SEE STATEMENT 2 5 I part x I Information Regarding Taxable Subsidiaries and Disregarded Entities (See page 32 of the instructions.) A) Name, address, al?ld IN of corporation. partnership, or disregarded entity Percentage of ownership interest (0) Nature of actiVIties (D) Total income (E End-o -year assets I Part I Information Regarding Transfers Associated with Personal Benefit Contracts (See page 33 of the instructions.) (3) Did the organization, during the year, receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? Did the organization, during the year, pay pre iums, directly or indirectly, on a personal benefit contract? Note: If "Yes" to file Form 8870 311% 4 720 (see instructions). Glue [alto Yes CI Yes Under pe Pl prl'JUl'y, I declar I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, tt is true, ease correct, and corn Declaration parer (other than of?cer) is based on all infor and of which preparer has any knowledge Sill" I JEANNEMARIE SMITH, SVP FOR FINANCE AND BUDGET Here Signatu of office? Date Type or print name and title aid Preparerls Date gteck ll Preparer's SSN or PTIN I signature employed CI eparer Firm's name (or EIN Use Only W?s sell-employed), I 223161 address, and 01-22-03 ZIP 4 Phone no. Form 990 (2002) SCHEDULEA Organization Exempt Under Section 501(c)(3) ?4m? 99? 990'52) (Except Private Foundation) and Section 501(e), 501m. 501(k). 501th), or Section 4947(a)(1) Nonexempt Charitable Trust Supplementary Information-(See separate instructions.) apartment of the Treasury I I I qternal Revenue Serwce MUST be completed by the above organizations and attached to their Form 990 or 990-EZ ame of the organization Employer identification number NEW YORK UNIVERSITY 13 5562308 I Part I I Compensation of the Five Highest Paid Employees Other Than Officers, Directors, and Trustees (See page 1 of the instructions. List each one. If there are none, enter ?None.?) Title and average hours (6) C?nmbu??nsl? Expense Name and address of each employee paid I )per week devoted to Compensamn employee bene?t and other than $50 000 plans 8: deferred more DOSIUOU compensation allowances gpgtE_3_cgt;Fg 550 FIRST AVENUE N.Y. N.Y. 2 747 904. 71 940. PROF . 550 FIRST AVENUE. N.Y. N.Y. 2 283 789. 71 089. ALLAN i 550 FIRST AVENUE N.Y. N.Y. 2 162 132. B4 861. PROF . 550 FIRST AVENUE N.Y. N.Y. 1.538 933. 68 646. gtgegegtgg 1415915110; .50 FIRST AVENUE N.Y. N.Y. 1 288 840. 71_422. Total number of other employees paid over $50,000 537 I Part II I Compensation of the Five Highest Paid Independent Contractors for Professional Services (See page 2 of the instructions. List each one (whether indiwduals or firms). If there are none, enter 'None.') Name and address of each independent contractor paid more than $50,000 Type of sewice Compensation BC. ROI-NEE LACE. 375 HUDSON STREET NEW YORK N.Y. 10014 CONTRACTOR 26 893 112. ABM COMPANY 551 FIFTH AVE. SUITE 300 NEW YORK N.Y. 10176 CONTRACTOR 3 463.930. A JONES GMO LLC 6E 43RD 9TH FLOOR NEW YORK N.IA 10017 CONTRACTOR 5,157 505. ON PAR CONTRACTING 230 SOUTH 5TH AVENUE NT. VERNON, N.Y. 10550 CONTRACTOR 3.295 631. LIE 420 WEST 25TH STREET NEW YORK. N.Y. 10001 PRINTING SERVICES 2 514 378. Total number of others receiving over $50,000 for professmnal services 2 5 1 223101/01-22-03 LHA For Paperwork Reduction Act Notice, see the Instructions for Form 990 and Form 990-EZ. Schedule A (Form 990 or 990-EZ) 2002 Schedule A (Form 990 or 990-52) 2002 NEW YORK UNIVERSITY 13-5552303 Page 2 Part Statements About Activities (See page 2 ot the instructions.) Yes No 1 During the year, has the organization attempted to in?uence national, state, or local legislation, Including any attempt to influence . public opinion on a legislative matter or referendum? If 'Yes,? enter the total expenses paid or incurred in connection With the lobbying 862 5 86 (Must equal amounts on line 30, Part or line i of Part LINE I 1 Organizations that made an electron under section 501(h) by filing Form 5768 must complete Part Other organizations checking 'Yes,? must complete Part AND attach a statement givmg a detailed description of the activities. 2 During the year, has the organization, either directly or indirectly, engaged in any of the followmg acts With any substantial contributors, trustees, directors, officers, creators, key employees, or members of their families, or With any taxable organization With which any such person is affiliated as an officer, director, trustee, majority owner, or benefrcrary? (If the answer to any question is "Yes," attach a detailed statement explaining the transactions.) SEE STATEMENT 2 5 . a Sale, exchange, or leasmg of property? 2a Lending of money or other extensron of credit? 2b Furnishing of goods, services, or faculties" 2c Payment of compensation (or payment or reimbursement of expenses if more than $1,000)? 2d Transfer of any part of its income or assets? 2e 3 Does the organization make grants for scholarships, fellowships, student loans, etc.? (See Note below.) 3 4 Do you have a section 403(b) annUIty plan for your employees? 4 Note: Attach a statement to explain how the organization determrnes that indiwduals or organizations recerwng grants or loans from it in furtherance of its charitable programs "qualify" to receive payments. SEE STATEMENT 2-, I Part IV I Reason for Non-Private Foundation Status (See pages 3 through 5 of the instructions.) The organization rs not a private foundation because it is: (Please check only ONE applicable boxchurch, convention of churches, or assocration ot churches. Section A school. Section (Also complete Part V.) A hospital or a cooperative hospital service organization. Section A Federal, state, or local government or governmental unit. Section A medical research organization operated in conjunction With a hospital. Section Enterthe hospital's name, city, and state An organization operated tor the benefit of a college or owned or operated by a governmental unit. Section (Also complete the Support Schedule in Part An organization that normally receives a substantial part of its support lrom a governmental unit or from the general public. Section (Also complete the Support Schedule in Part IV-A.) A community trust. Section (Also complete the Support Schedule In Part An organization that normally receives: (1) more than 33 113% of its support from contributions, membership fees, and gross receipts from related to its charitable, etc., functions - subject to certain exceptions, and (2) no more than 33 1/3% of its support from gross investment income and unrelated busrness taxable income (less section 511 tax) from busrnesses acqurred by the organization after June 30, 1975. See section 509(a)(2). (Also complete the Support Schedule in Part An organization that is not controlled by any disqualified persons (other than foundation managers) and supports organizations described in: (1) lines 5 through 12 above; or (2) section 501(c)(4), (5), or (6), if they meet the test otsection 509(a)(2). (See section Prowde the tollowrng information about the supported organizations. (See page 5 of the instructions.) (b)Line number Name(s) 01 supported organization(s) from above . 14 An organization organized and operated to test for public safety. Section 509(a)(4). (See page 5 of the instructions.) 223111 01-22-03 Schedule A (Form 990 or 990-EZ) 2002 Page 3 A (Form Or NEW YORK UNIVERSITY 13-555 230 3 I Part Support Schedule (Complete only if you checked a box on line 10, 11, or 12) Use cash method of accounting. Note: You may use the worksheet in the instructions for conven?m from the accrual to the cash method of accounting. Calendar year (or fiscal year beginning in) 2000 1999 Total 5 2001 1998 Gifts, grants, and contributions received. (Do not include unusual grants. See line 28.) 16 Membership fees received 1? Gross receipts from merchandise sold or sewices performed, or furnishing of faculties in any actiwty that is related to the organization's charitable, etc., purpose 113 Gross income from interest, diwdends, amounts received from payments on securities loans (sec- tion rents, royalties, and unrelated busmess taxable income (less section 511 taxes) from busmesses acqmred by the organization after June 30, 1975 19 Net income from unrelated busmeSSi activmes not included in line 18 20 Tax revenues leVied for the organization's benefit and either paid to it or expended on its behalf 21 The value of sewices or facrlities furnished to the organization by a governmental unit Without charge. Do not include the value of sewices or generally furnished to the public Without charge 22 Other income. Attach a schedule. Do not include gain or (loss) from sale of capital assets Total of lines 15 through Line 23 minus line 17 Enter 1% of line 23 Organizations described on lines 10 M11: a Enter 2% of amount in column line 24 26a 6 Prepare a list for your records to show the name of and amount contributed by each person (other than a governmental unit or publicly supported organization) whose total gilts for 1998 through 2001 exceeded the amount shown in line 263. Do notfile this list with your return. Enter the sum of all these excess amounts 26b Total support for section 509(a)(1) test: Enter line 24, column 26c MA Add: Amounts from column for lines: 18 19 22 260 26d Public support (line 26c minus line 26d total) 26c 1? Public support percentage (line 26c (numerator) divided by line 26c (denominator)) 26l 2? Organizations described on line 12: a For amounts included in lines 15, 16, and 17 that were received from a 'disqualified person,? prepare a list for your records to show the name of, and total amounts received in each year from, each "disqualified person.? 00 not file this list with your return. Enter the sum of such amounts for each year: (2001) (2000) (1999) (1998) For any amount included in line 17 that was received from each person (other than "disqualified persons?), prepare a list for your records to show the name of, and amount received for each year, that was more than the larger of (1) the amount on line 25 for the year or (2) $5,000. (include in the list organizations described in lines 5 through 11, as well as indiwduals.) Do not file this list with your return. After computing the difference between the amount received and the larger amount described in (1) 0r (2), enter the sum of these differences (the excess amounts) for each year: (2001) (2000) (1999) (1998) Add: Amounts from column for linesAdd: Line 27a total and line 270 total 27d Public support (line 27c total minus line 270 total) 27a Total support for section 509(a)(2) test: Enter amount on line 23, column 1 27f 1 . 0 Public support percentage (line 27e (numerator) divided by line 27f (denominator)) 279 Investment income percentage (line 18. column (numerator) divided by line 27f (denominator)) 27h 28 Unusual Grants: For an organization described in line 10, 11, or 12 that received any unusual grants during 1998 through 2001, prepare a list for your rec0rds to show, for each year, the name of the contributor, the date and amount of the grant, and a brief description of the nature of the grant. Do not file this list with your return. Do not include these grants in line 15. 223121 01-22-03 Schedule A (Form 990 or DOD-EZ) 2002 SCNBUUIB A (Fo?l 990 0T 990'52) 2002 grew YORK UNIVERSITY 13?5562308 Page 4 I Part Private School Questionnaire (See page 7 of the instructions.) (T be completed ONLY by schools that checked the box on line 6 in Part IV) . Does the organization have a racrally nondiscriminatory policy toward students by statement in its charter, bylaws, other governing Yes No Instrument, or In a resolution of Its 29 30 Does the organization include a statement of Its racrally nondiscriminatory policy toward students in all Its brochures, catalogues, and other written communications the public dealing student programs, and scholarships? 30 31 Has the organization Its raCIaIIy nondiscriminamry policy through newspaper or broadcast medra during the period of solicrtatlon for students, or during the registration period If It has no program, In a way that makes the policy known to all parts of the general community It serves? 31 If 'Yes,? please describe; If please explain. (If you need more space, attach a separate statement.) SEE STATEMENT 28 32 Does the organization maintain the followrng: Records Indicating the racral of the student body, faculty, and administrative staff? 32a Records documenting that scholarships and other frnancral are awarded on a racrally nondiscriminatory baSIs? 32b Copies of all catalogues, brochures, announcements, and other written communications to the public dealing student programs, and scholarships? 32c Copies of all maternal used by the organization or on Its behalf to sohcrt contributions? 32d It you answered 'No' to any of the above, please explain. (If you need more space, attach a separate statement.) 33 Does the organization discriminate by race in any way With respect to: a Students' rights or 33:: polrcres? 33!) Employment of faculty or administrative staff? 33c Scholarships or other financial 33d . Educational polrcresAthletic programs? 339 Other extracurricular 33h If you answered 'Yes' to any of the above, please explain. (If you need more space, attach a separate statement.) 34 a Does the organization receive any frnancral aid 0r from a governmental agency? 34a Has the organization?s right to such and ever been revoked or Suspended? 34b 35 Does the organization certify that It has complied With the applicable requrrements of sections 4.01 through 4.05 of Rev. Proc. 75-50, 1975-2 CB. 587, covering racial nondiscrimination? If attach an explanation 35 Schedule A (Form 990 or 990-EZ) 2002 If you answered 'Yes' to either 34a or b, pleaSe explain usung an attached statement. 223131 01-22-03 Schedule A (Form 990 or 990-EZ) 2002 133w YORK UNIVERSITY Page 5 I Part I Lobbying Expenditures by Electing Public Charities (See page 9 of the instructions.) mp. (To be completed ONLY by an eligible organization that filed Form 5768) Check a I: if the organization belongs to an affiliated group. Check if you checked and 'Iimited control? apply. . Limits 0" LObbying Expenditures To be comriigted for ALL (The term 'expenditures' means amounts paid or incurred.) ?313's organ'lai'ons 36 Total lobbying expenditures to in?uence public opinion (grassroots lobbying) 36 37 Total lobbying expenditures to influence a legislative body (direct lobbying) 37 38 Total lobbying expenditures (add lines 36 and 37) 38 39 Other exempt purpose expenditures 39 40 Total exempt purpose expenditures (add lines 38 and 39) 40 41 Lobbying nontaxable amount. Enter the amount from the followmg table - lithe amount on line 40 is - The lobbying nontaxable amount is - Not over $500,000 20% ot the amount on line 40 Over $500,000 but not over $1,000,000 $100,000 plus 1596 of the excess over $500,000 Over $1,000,000 but not over $1,500,000 $175,000 plus 10% of the excess over $1,000,000 41 Over $1,500,000 but not over $17,000,000 $225,000 plus 5% of the excess over $1,500,000 Over $17,000,000 $1,000,000 42 Grassroots nontaxable amount (enter 25% of line 41) 42 43 Subtract line 42 from line 36. Enter -0- if line 42 is more than line 36 43 44 Subtract line 41 from line 38. Enter -0- if line 41 is more than line 38 44 Caution: If there is an amount on either line 43 or line 44, you must file Form 4720. 4-Year Averaging Period Under Section 501(h) (Some organizations that made a section 501(h) electron do not have to complete all of the five columns below. See the instructions for lines 45 through 50 on page 11 of the instructions.) . Lobbying Expenditures During 4-Year Averaging Period . 131A Calendaryear(or iiscal year beginning in) 2002 2001 2000 1999 Total 45 Lobbying nontaxable amount 0 . 46 Lobbying ceiling amount (150% of line 45(e)) 0 . 47 Total lobbying expenditures 0 48 Grassroots nontaxable amount 0. 49 Grassmots ceiling amount (150% of line 48(e)) . 50 Grassroots lobbying expenditure 3 0 . I Part Lobbying Activity by Nonelecting Public Charities (For only by organizations that did not complete Part VI-A) (See page 11 of the instructions.) During the year, did the organization attempt to influence national, state or local legislation, including any attempt to Yes No Amount in?uence public opinron on a legislative matter or referendum, through the use of: a Volunteers Paid staff or management (Include compensation in expenses reported on linesc through Media advertisements Mailings to members, legislators, or the public 100 . Publications, or published or broadcast statements 1 005 . i Grants to other organizations for lobbying purposes it 250 000 . . Direct contact With legislators, their staffs, government officials, or a legislative body 564 169 . Ii Rallies, demonstrations, seminars, conventions, speeches, lectures, or any other means 47 312 . i Total lobbying expenditures (Add linesc through 862 586 . If 'Yes" to any of the above, also attach a statement givmg a detailed description of the lobbying actiVIties. SEE STATEMENT 29 223141 01-22-03 Schedule A (Form 990 or 990-EZ) 2002 Schedule A (Form 990 or 2002 NEW YORK UEIVERSITY 1 3- 555 2303 Page 6 I Part VII I Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations (See page 12 of the InstructIons.) ?1 the reportIng organization dIrectly or IndIrectly engage In any of the tollowmg WIth any other organlzatIon descnbed In sectlon 501(0) of the Code (other than sectIon 501(c)(3) organlzatIons) or In sectIon 527, relatlng to polItIcal organIzatIons? a Transters from the reportIng organIzatIon to a nonchantable exempt organIzatIon ol: Cash (ii) Other assets Other transactIons: Sales or exchanges of assets with a noncharitable exempt organizatlon (ii) Purchases of assets trom a nonchantable exempt organIzatIon Rental of taCIlItIes, eqmpment, or other assets (iv) ReImbursement arrangements Loans or loan guarantees (vi) Performance of serwces 0r or tundraIsmg soIICItatIons Sharlng ot taCIlIttes, equrpment, maIlIng IIsts, other assets, or mud employees If the answer to any of the above Is 'Yes,? complete the followmg schedule. Column should always show the fan market value of the goods, other assets, or serwces gIven by the reportIng organlzatlon. If the organIzatIon recelved less than laIr market value In any transactIon or show In column the value of the other assets, or serVIces recelved: (3) lb) Um no. Amount Involved Name ol nonchantable exempt organlzatlon DescrIptIon of transfers, transactIons, and sharIng arrangements 52 a ls the organlzatlon dIrectly or IndIrectly aftIlIated WIth, or related to, one or more tax-exempt organIzatIons descrIbed In sectIon 501(c) of the Code (other than sectIon 501(c)(3)) or In sectIon 527? I: Yes No If 'Yes,? complete the schedule: (M I (0) Name of organIzatIon Type of organIzatIon of relatIonshIp 3?392?5?La Schedule A (Form 990 or 990-52) 2002 NEW YORK UNIVERSITY 13-5562308 FOOTNOTES STATEMENT 1 SCHEDULE A, PART - EXPLANATION FOR LINE 34A THE UNIVERSITY RECEIVES FINANCIAL AID FROM VARIOUS FEDERAL, STATE AND LOCAL AGENCIES. 1 NEW YORK UNIVERSITY 13-5562308 FORM 990 RENTAL INCOME STATEMENT 2 I ACTIVITY GROSS KIND AND LOCATION OF PROPERTY NUMBER RENTAL INCOME RENTAL REAL ESTATE 1 TOTAL TO FORM 990, PART I, LINE 6A amaw,ms, 2 NEW YORK UNIVERSITY 13-5562308 FORM 990 RENTAL EXPENSES STATEMENT 3 I ACTIVITY DESCRIPTION NUMBER AMOUNT TOTAL RENTAL REAL ESTATE TOTAL TO FORM 990, PART - SUBTOTAL - I, LINE SB 36,223,945. 36,223,945. 36,223,945. 3 NEW YORK UNIVERSITY 13-5552308 FORM 990 GAIN (LOSS) FROM PUBLICLY TRADED SECURITIES STATEMENT 4 I GROSS COST OR EXPENSE NET GAIN DESCRIPTION SALES PRICE OTHER BASIS OF SALE OR (LOSS) VARIOUS PUBLICLY TRADED SECURITIES 3,487,366,000. 3,447,803,924. 0. 39,562,076. TO FORM 990, PART I, LINE 8 3,487,366,000. 3,447,003,924. 0. 39,562,076. 4 NEW YORK UNIVERSITY 13-5562308 SPECIAL EVENTS AND ACTIVITIES STATEMENT 5 FORM 990 I GROSS CONTRIBUT . GROSS DIRECT NET DESCRIPTION OF EVENT RECEIPTS INCLUDED REVENUE EXPENSES INCOME CHILD STUDY CENTER GALA 1,332,944. 1,203,819. 129,125. 150,909. <21,7a4.> HOSPITALITY INDUSTRY INVESTMENT CONFERENCE 040,000. 502,325. 257,675. 99,474. 150,201. URBAN LEADERSHIP REI AWARD DINNER 429,950. 312,950. 117,000. 317,663. <200,663.> OTHER FUNDRAISING EVENTS 1,043,915. 792,863. 251,052. 905,939. <654,887.> TO FM 990, PART I, LINE 9 3,646,909. 2,391,957. 754,852. 1,473,985. <719,133.> STATEMENT 5 NEW YORK UNIVERSITY 13-5562308 FORM 990 INCOME AND COST OF GOODS SOLD STATEMENT 6 I INCLUDED ON PART I LINE 10 INCOME RETURNS AND ALLOWANCES . . . . . . . . . . . 3. LINE 1 LESS LINE 32,493,386 4. COST OF GOODS SOLD (LINE 1325,720,714 5. GROSS PROFIT (LINE 3 LESS LINE 4) . . . . . 6,772,672 COST OF GOODS SOLD 6. INVENTORY AT BEGINNING OF YEAR . . . . . . 5,651,000 7. MERCHANDISE PURCHASED . . . . . . . 24,439,434 8. COST OF LABOR . . . . . . . . . . . . . 9. MATERIALS AND SUPPLIES . . . . . . . . 11. ADD LINES 6 THROUGH 30,090,434 12. INVENTORY AT END OF YEAR . . . . . . . . . 4,369,720 13. COST OF GOODS SOLD (LINE 11 LESS LINE 12 . 25,720,714 6 NEW YORK UNIVERSITY 13-5562308 FORM 990 OTHER CHANGES IN NET ASSETS OR FUND BALANCES STATEMENT 7 DQCRIPTION AMOUNT NET UNREALIZED GAIN ON INVESTMENTS 69g9m9u. NET UNREALIZED GAIN ON DEPOSITS l?zaom. ADJUSTMENTS TO CONTRIBUTIONS RECEIVABLE MINIMUM PENSION LIABILITY ADJUSTMENT ARBITRAGE INVESTMENT LOSS ON DEPOSITS WITH TRUSTEES