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 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 nm990 Department of the Treasury Internal Revenue Savrce Return of Organization Exempt From Income Tax Under section 501(c). 527, or 4947(a)(1) of the Internal Revenue Code (except black lung benefit trust or private foundation) The organization may have to use a copy of this return to satisfy state reporting requirements. OMB NO 1545-0047 I 2012 Open to Public inspection A For the 2012 calendar year. or tax year beginning sap 1 2012 and ending AUG 31 2013 Check .I 0 Name of organization Employer identi?cation number applicable Address chance NEW YORK UNIVERSITY a Dotng Business As 13~5562308 I Number and street (or P.0. box if mail is not delivered to street address) Room/sune Telephone number 2% 3:15am- 105 E. 17TH STREET - 4TH moon I212) 993?2955 :3 not?? City. town. or post of?ce, state. and ZIP code sesame-piss 5 674 037 323 . CE: NEW YORK NY 100 03-9580 H(a) Is this a group return pend? Name and address of principal DORPH for a?lliatGS? DYGS No 105 E. 17TH ST. 4TH EL, NEW YORK, NY 10003 H(b) Are all affiliates included? i:iYes No a Tax-exempt slams: 501(c)(3) 501(c)( (Insert no.) i:i 494T(a)(l) or Cl 527 If attach a list. (see (Ck Website:} H(c) Group exemption number E3 Form of organization: Corporation Trust AssodatiOn Otherb IL Year of formation: 1831 State of legal domiCIle: NY I Perm Summary I a, 1 Briefly describe the organization's mission or most signi?cant activities: NYU A PRIVATE UNIVERSITY WITH APPROXIMATELY 44 00 0 STUDENTS IN 18 SCHOOLS AND INSTITUTES . 2 Check this box 5 i i if the organization discontinued its operations or disposed of more than 25% of its net assets. 3 3 Number of voting members of the governing body (Part VI, line 13) I II 3 69 4 Number of independent voting members of the governing body (Part VI. line 1bTotal number of individuals employed in calendar year 2012 (Part V. line 23) I II II I 5 34781 3; 6 Total number of volunteers (estimate if necessaryTotal unrelated business revenue from Part 7a 10 560 753 . Net unrelated business taxable income from Foi .. .. . . .. 7b 413 066 . Prior Year Current Year q, 8 Contnbutlons and grants (Part line 1h) Cl) 857_257 .738, 960 463 399. 9 Program service revenue (Part line 29) 3 040.158.613. 3.2223370 020, 2} 1o investment income (Part column (A), lines 3. I I 229 353 193. a: 11 Other revenue (Part column (A), lines 494 278. 180 672 651. 12 Total revenue - add lines 8 through 1 1 (must equ column (A). line 12) 4 I 016 I974 .399 . Grants and similar amounts paid (Part IX. column (A), lines 1-Bene?ts paid to or for members (Part IX. column (A). line Salaries, other compensation, employee bene?ts (Part IX. column (A). lines 5-10243364 976 682 . 163 Professional fundraising fees (Part IX, column (A). line 11eTotal fundraismg expenses (Part IX. column (D), line 25Other expenses (Part IX. column (A), lines 11a-11d. 11f?24e260 520 854Total expenses. Add lines 13-17 (must equal Part IX, column (A), line 25) I 3 963 326 955- 4 194 551 701. 19 Revenue less expenses. Subtract line 18 from line Beginni? of CurrentYear End of Year :2 3% 2O Totalassets(PartX.llne16) 8,038,275 299. 6.618 608.466. we 21 Total liabilities (Part X. line 26) II I 4 267 766 192. 4 422 213 569, ?if. 2E 22 Net assets or fund balances. Subtract line 21 from line 196 394 89L Part II Signature Block Under penalties oi perjury. I declare th have ex true, correct, and complete?waratio of 933a r( therth A ned thi retur Including accompanying schedules and statemenls, and to the best of my knowledge and belief, it is cer) is based on all Information of which preparer has any knowledgeSign Signature ol'ofiicer\ Date Here MARTIN DORPH. EVP. FINANCE AND IT Type or print name and title Print/Type preparer's name Preparer's Signature Date SW Paid sellempluyeil Preparer Firm's name 5 Firm's Use Only Firm's address Phone no. May the IRS disfcuss this return with the preparer shown above? (see Yes Ci No 232001 12-10-12 LHA For Paperwork Reduction Act Notice, see the separate instructions. Form 990 (2012) ?010 Form 990 (2012) NEW YORK UNIVERSITY 13-5562308 paqez Part Statement of Program Service Accomplishments Check if Schedule 0 contains a response to any question in this Part 1 Briefly describe the organization's mission: NYU IS A PRIVATE UNIVERSITY WITH APPROXIMATELY 44,000 MATRICULATING STUDENTS IN 18 SCHOOLS AND INSTITUTES. PRIMARY MISSIONS ARE EDUCATION, PATIENT CARE, RESEARCH AND SCHOLARSHIP. NYU IS RECOGNIZED BOTH NATIONALLY AND INTERNATIONALLY AS A LEADER IN SCHOLARSHIP 2 Did the organization undertake any Signi?cant program sewices during the year which were not listed on the prior Form 990 or I: Yes No If "Yes," describe these new sewices on Schedule 0. 3 Did the organization cease conducting, or make Significant changes in how it conducts, any program semces?? :]Yes No If "Yes." describe these changes On Schedule 0. 4 Describe the organization's program semce accomplishments for each Of its three largest program semces. as measured by expenses Section 501(c)(3) and 501(c)(4) organizations are requwed to report the amount of grants and allocations to others, the total expenses, and revenue, if any. for each program semce reported 4a (Code )(Expensess 1.654.222.138- includinggrantsols 396,752,355- (Revenues 1,834,527,000- EDUCATION: FOUNDED IN 1831, NYU IS THE LARGEST PRIVATE RESEARCH UNIVERSITY IN THE U.S., WITH 18 SCHOOLS AND AND APPROXIMATELY 4 000 FULL-TIME FACULTY MEMBERS AND 44 000 MATRICULATING STUDENTS. NYU ANNUALLY CONFERS OVER 13,000 UNDERGRADUATE, GRADUATE AND PROFESSIONAL AND PROVIDES OVER $190 MILLION PER YEAR IN INSTITUTIONAL GRANT AID TO UNDERGRADUATES . THE FIRST NETWORK NYU HAS AN UNPARALLELED INTERNATIONAL PRESENCE WITH DEGREE-GRANTING LIBERAL ARTS RESEARCH UNIVERSITY CAMPUSES (IN NEW YORK, ABU DHABI, AND 11 GLOBAL ACADEMIC SITES (FOR STUDY ABROAD) ON SENDS MORE STUDENT TO STUDY ABROAD THAN ANY OTHER U.S. COLLEGE OR AND IS ONE OF THE LEADING U.S. UNIVERSITIES IN ATTRACTING INTERNATIONAL STUDENTS. 4b (Code )(Expensess 887,840,417- IncludinggrantsofS (Revenue$ PATIENT CARE: MEDICAL ACADEMIC PROGRAMS ARE A MAJOR ELEMENT OF THE UNIVERSITY.S MISSION. THE NYU SCHOOL OF MEDICINE WAS ESTABLISHED IN 1841; FROM ITS EARLIEST YEARS, IT HAS BEEN AT THE FOREFRONT 0F ADVANCING THE MEDICAL PROFESSION AND MEDICAL RESEARCH. INCLUDING PARTICIPATING IN THE PROCESS THAT LED TO THE ESTABLISHMENT OF NEW YORK HEALTH DEPARTMENT. ESTABLISHING THE FIRST OUTPATIENT ESTABLISHING THE FIRST LABORATORY DEVOTED TO TEACHING AND RESEARCH IN BACTERIOLOGY AND PATHOLOGY, CREATING THE FIRST DEPARTMENT OF FORENSIC MEDICINE, CREATING THE FIRST DEPARTMENT OF PHYSICAL MEDICINE AND REHABILITATION IN THE U.S., AND ESTABLISHING ONE OF THE FIRST MD-PHD PROGRAMS. ITS FACULTY AND GRADUATES HAVE INCLUDED NOBEL LAUREATES, THE DISCOVERER OF THE MOSQUITO AS THE SOURCE OF TRANSMISSION OF YELLOW 4c (Code )(Expensess 633.475.860- includinggrantsols (Hevenue$ 619.063.399-) RESEARCH AND SCHOLARSHIP: NYU IS A MAJOR RESEARCH INSTITUTION, WITH SIGNIFICANT SUPPORT FROM NIH, NSF AND OTHER FUNDERS. THE RESEARCH AND CREATIVE OUTPUT OF SCHOLARS HAVE LED TO THE RECEIPT OF NOBEL PRIZES, ABEL PULITZER PRIZES, THE NATIONAL MEDAL OF THE ARTS, THE NATIONAL MEDAL OF THE NATIONAL MEDAL OF TECHNOLOGY, NSF WATERMAN MAX PLANCK AWARDS, THE KAVLI MEMBERSHIP IN THE NATIONAL ACADEMY OF SCIENCES, ACADEMY AWARDS, AND TONY AWARDS. AMONG MANY OTHER HONORS FOR THE FACULTY. NYU FACULTY FINDINGS ARE REGULARLY PUBLISHED IN TOP JOURNALS ACROSS A BROAD RANGE OF SCHOLARLY DISCIPLINES. NYU HAS LEADING PROGRAMS IN ECONOMICS, MATHEMATICS (AND PARTICULARLY APPLIED NEUROSCIENCE. SOFT CONDENSED MATTER PHYSICS, AND PHILOSOPHY, 4d Other program semces (Describe in Schedule 0.) (Expensess 489.433.000- including grantsofS (Raver-mes 433,744,020.) 4e Total service expenses 2320 Form 990 (2012) 1243.212 SEE SCHEDULE 0 FOR s) 2 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Form 990 (2012) NEW YORK UNIVERSITY Checklist of Required Schedules 13-5562308 Page 3 Yes No 1 Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule A 1 2 Is the organization reqwred to complete Schedule 8, Schedule of ContributorS? 2 3 Did the organization engage in direct or indirect political campaign actiwties on behalf of or in opposmon to candidates for public office? If "Yes," complete Schedule C, Part I 3 4 Section 501(c)(3) organizations. Did the organization engage in lobbying actiwties, or have a section 501(h) election in effect during the tax yeai?? If "Yes," complete Schedule C, Perl ll 4 5 Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19? If complete SChedule C. Part Ill 5 6 Did the organization maintain any donor advised funds or any Similar funds or accounts for which donors have the right to prowde adwce on the distribution or investment of amounts in such funds or accounts? If "Yes, complete Schedule D, Part I 6 7 Did the organization receive or hold a conservation easement, including easements to preserve open space, the enVironment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part ll 7 8 Did the organization maintain collections of works of art, historical treasures, or other Similar assets? If "Yes," complete Schedule D, Part Ill 8 9 Did the organization report an amount in Part X, line 21, for escrow or custodial account liability, serve as a custodian for amounts not listed in Part or provide credit counseling, debt management, credit repair, or debt negotiation semces? If "Yes," complete Schedule D, Part IV 9 10 Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent endowments, or quaSi-endowments? lf "Yes," complete Schedule D, Part 10 11 If the organization?s answer to any of the followmg questions is "Yes," then complete Schedule D, Parts VI, VII, IX, or as applicable. a Did the organization report an amount for land, bmldings, and eqUIpment in Part X, line 10? If complete SChedU/e 0. Part VI 113 Did the organization report an amount for investments - other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? ll "Yes," complete Schedule D, Part VII 11b Did the organization report an amount for investments - program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part 1 Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part IX 1 1d Did the organization report an amount for other liabilities in Part X, line 25? If "Yes, complete Schedule D, Part 1 1e Did the organization's separate or consolidated finanCial statements for the tax year include a footnote that addresses the organization's liability for uncertain tax posmons under FIN 48 (ASC 740)? If "Yes, complete Schedule D, Part 1 1f 12a Did the organization obtain separate, independent audited finanCial statements for the tax year? If "Yes, complete Schedule D, Parts Xl and 12a Was the organization included in consolidated, independent audited finanCIaI statements for the tax year? lf Yes, and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and is optional 12b 13 Is the organization a school described in section If "Yes, complete Schedule 13 14a Did the organization maintain an office, employees, or agents out5ide of the United States? 14a Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraismg, busmess, investment, and program semce activities the United States, or aggregate foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts land IV 14b 15 Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to any organization or entity located outside the United States? If "Yes," complete Schedule F, Parts ll and IV 15 16 Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance to indiwduals located outside the United States? If "Yes, complete Schedule F. Parts and IV 16 17 Did the organization report a total of more than $15,000 of expenses for professmnal fundraismg serwces on Part IX, column (A), lines 6 and 119? ll "Yes," complete Schedule G, Part I 17 18 Did the organization report more than $15,000 total of fundraismg event gross income and contributions on Part lines 1c and 8a? If "Yes," complete Schedule G, Part ll 13 19 Did the organization report more than $15,000 of gross income from gaming activities on Part line 9a? If "Yes," complete Schedule G, Part 19 203 Did the organization operate one or more hospital facmties? ll "Yes," complete Schedule zoa If "Yes" to line 20a, did the organization attach a copmf its audited finanCIal statements to this return? 20b Form 990 (2012) 232003 12.10- 12 3 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Form 990 (2012) NEW YORK UNIVERSITY 13?5562308 IVJ Checklist of Required Schedules (continued) Page 4 Yes No 21 Did the organization report more than $5,000 of grants and other to any government or organization in the United States on Part IX, column (A), line 1? If "Yes," complete Schedule I, Pan?s land ll 21 22 Did the organization report more than $5,000 of grants and other to indiViduals in the United States on Part IX, column (A), line 2? If "Yes," complete Schedule I, Parts I and Ill 22 23 Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's current and former officers, directors, trustees, key employees, and highest compensated employees? If "Yes," complete Schedule 23 24a Did the organization have a tax?exempt bond issue With an outstanding prinCipal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If "Yes, answer lines 24b through 24d and complete Schedule K. If "No go to line 25 24a Did the organization invest any proceeds of tax-exempt bonds beyond a temporary penod exception? 24b Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defease any tax-exempt bonds? 240 Did the organization act as an ?on behalf of" issuer for bonds outstanding at any time during the year? 24d 253 Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction With a disqualified person during the year? If Yes, complete Schedule L, Partl 253 Is the organization aware that it engaged in an excess benefit transaction a disqualified person in a prior year, and that the transaction has not been reported on any of the organization's prior Forms 990 or If "Yes," complete Schedule L, Part I 25b 26 Was a loan to or by a current or former officer, director, trustee, key employee, highest compensated employee, or disqualified person outstanding as of the end of the organization's tax year? If "Yes, complete Schedule L, Part ll 26 27 Did the organization proVide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons? If "Yes, complete Schedule L, Part 27 28 Was the organization a party to a busmess transaction With one of the followrng parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions) a A current or former officer, director, trustee, or key employee? If "Yes." complete SChedUle L. Part IV 283 A family member of a current or former officer, director, trustee, or key employee? If complete Schedule L, Part IV 28b An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes, complete Schedule L, Part lv 23;: 29 Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule 29 30 Did the organization receive contributions of art, historical treasures, or other Similar assets, or qualified conservation contributrons? If "Yes," complete Schedule 30 31 Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes, complete Schedule N, Part I 31 32 Did the organization sell. exchange, dispose of, or transfer more than 25% of its net assets?? complete Schedule N, Part ll 32 33 Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301 .7701-3? If "Yes," complete Schedule Ft, Partl 33 Was the organization related to any tax-exempt or taxable entity? If "Yes, complete Schedule B, Part ll, or IV, and Part V, line 1 34 35a Did the organization have a controlled entity Within the meaning of section 512(b)(13)? 35a If "Yes" to line 35a, did the organization receive any payment from or engage in any transaction With a controlled entity Within the meaning of section 512(b)(13)? If "Yes," complete Schedule Fl, Part V, line 2 35:; 36 Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-chantable related organization? If "Yes," complete Schedule Fl, Part V, line 2 36 37 Did the organization conduct more than 5% of its actiwties through an entity that IS not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule H, Part VI 37 38 Did the organization complete Schedule 0 and prowde explanations in Schedule 0 for Part VI, lines 11b and 19? Note. All Form 990 filers are required to complete Schedule 0 38 Form 990 (2012) 232004 12-10-12 4 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Form 990 (2012) NEW YORK UNIVERSITY page 5 I Part Statements Regarding Other IRS Filings and Tax Compliance Check if Schedule 0 contains a response to any question in this Part Yes No 1a Enter the number reported In Box 3 of Form 1096 Enter -0- if not applicable 13 87 24 Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable 1b 0 Did the organization comply With backup Withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to pnze Winners? 10 2a Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements, filed for the calendar year ending with or within the year covered by this return 2a 347 3 1 If at least one is reported on line 2a, did the organization file all reqwred federal employment tax returns? 2b Note. If the sum of lines 1a and 2a is greater than 250, you may be reqUired to e-fii'e (see instructions) 33 Did the organization have unrelated busmess gross income of $1,000 or more during the year? 33 If "Yes," has it filed a Form 990-T for this year? If an explanation in Schedule 0 3b 4a At any time during the calendar year. did the organization have an interest in, or a Signature or other authority over, a finanCial account in a foreign country (such as a bank account, securities account, or other finanCIal account)? 43 If "Yes," enter the name of the foreign country: SEE SCHEDULE 0 See instructions for filing requuements for Form TD 90-22 1, Report of Foreign Bank and FinanCIal Accounts. 5a Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? 5a Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? Sb If "Yes," to line 5a or 5b, did the organization file Form 5c 6a Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible as charitable contributions? 6a If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible? 6b 7 Organizations that may receive deductible contributions under section 170(c). a Did the organization receive a payment in excess of $75 made partly as a contribution and parin for goods and seNices provrded to the payor? 7a If "Yes," did the organization notify the donor of the value of the goods or servrces prowded? Tb Did the organization sell, exchange. or othervwse dispose of tangible personal property for which it was required to file Form 8282? 7c 3 If "Yes," indicate the number of Forms 8282 filed during the year I 7d I Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? 7e 1? Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? "If If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as requued? 7 If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-0? 7h 8 Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations. Did the supporting organization, or a donor adwsed fund maintained by a sponsoring organization, have excess busmess holdings at any time during the year? 8 9 Sponsoring organizations maintaining donor advised funds. a Did the organization make any taxable distributions under section 4966? 93 Did the organization make a distribution to a donor, donor advisor, or related person? WA 9b 10 Section 501(c)(7) organizations. Enter: a Initiation fees and capital contributions included on Part line 12 A 103 Gross receipts, included on Form 990, Part line 12, for public use of club faculties 10b 1 1 Section 501(c)(12) organizations. Enter: a Gross income from members or shareholders 11a Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received frOm them 11b 123 Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041 ?7 12a If "Yes," enter the amount of tax-exempt interest received or accrued during the year IE: 1 13 Section 501(c)(29) qualified nonprofit health insurance issuers. a ls the organization licensed to issue qualified heatth plans in more than one state? 133 Note. See the for addrtional information the organization must report on Schedule 0. Enter the amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans 13b Enter the amount of reserves on hand 130 14a Did the organization receive any payments for indoor tanning semces dunng the tax year? 14a If "Yes," has it tried a Form 720 to report these payments? If "No, provrde an explanation in Schedule 0 14b Form 990 (2012) 232005 12-10-12 5 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Form 990 (2012) NEW YORK UNIVERSITY 13-5562308 Page 6 I Part VI Governance, Management, and Disclosure For each "Yes" response to lines 2 through 7b below, and fora "No" response to line 8a, SD, or 10b below, describe the Circumstances, processes, or changes in Schedule 0 See instructions. Check if Schedule 0 contains a response to any question in this Part VI Section A. Governing Body and Management Yes No 13 Enter the number of voting members of the governing body at the end of the tax year 1a 59 if there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or Similar committee, explain in Schedule 0. Enter the number of voting members included in line 1a, above, who are independent 1b 52 2 Did any officer, director, trustee, or key employee have a family relationship or a busmess relationship With any other officer, director, trustee, or key employee? 2 3 Did the organization delegate control over management duties customarin performed by or under the direct superVISIon of officers, directors, or trustees, or key employees to a management company or other person? 3 4 Did the organization make any Significant changes to its governing documents since the prior Form 990 was filed? 4 5 Did the organization become aware during the year of 3 Significant diver5ion of the organization's assets? 5 6 Did the organization have members or stockholders? 6 Ta Did the organization have members, stockholders, or other persons who had the power to elect or appomt one or more members of the governing body? 7a Are any governance deCI5ions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? 7b 3 Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the lollowrng: a The governing body? 8a Each committee With authority to act on behalf of the governing body? 8b 9 Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization's mailing address? If "Yes," prowde the names and addresses in Schedule 0 9 Section B. Policies (This Section requests information about policres not requrred by the Internal Revenue Code) Yes No 10a Did the organization have local chapters, branches, or affiliates? 10a if "Yes," did the organization have written poliCIes and procedures governing the activmes of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes? 10b 11a Has the organization prowded a complete copy of this Form 990 to all members of its governing body before filing the form? 11a Describe in Schedule 0 the process, if any, used by the organization to review this Form 990. 12a Did the organization have a written conflict of interest policy? If go to line 13 12a Were officers, directors, or trustees, and key employees reqUIred to disclose annually interests that could give rise to conflicts? 12b Did the organization regularly and con5istent y monitor and enforce compliance With the policy? If "Yes, describe in Schedule 0 how this was done 12c 13 Did the organization have a written whistleblower policy? 13 14 Did the organization have a written document retention and destruction policy? 14 15 Did the process for determining compensation of the followmg persons include a review and approval by independent persons. comparability data, and contemporaneous substantiation of the deliberation and deCI5ion? a The organization's CEO, Executive Director, or top management offiCIal 153 Other officers or key employees of the organization 15b If "Yes" to line 15a or 15b, describe the process in Schedule 0 (see instructions). 16a Did the organization invest in, contribute assets to, or participate in a Joint venture or similar arrangement With a taxable entity during the year? 16a If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its particrpation in iomt venture arrangements under applicable federal tax law, and take steps to safeguard the organization's exempt status with respect to such arranqements? 16b Section C. Disclosure 17 List the states with which a copy of this Form 990 is requrred to be filed PAR 0X.OR. SC .WA 18 Section 6104 reqUires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990-T (Section 501(c)(3)s only) available for public inspection Indicate how you made these available Check all that apply. Own website i:i Another's web5ite Upon request Other (explain in Schedule 0) 19 Describe in Schedule 0 whether (and if so, how), the organization made its governing documents, conflict of interest policy, and ?nancral statements available to the public during the tax year. 20 State the name, address, and telephone number of the person who possesses the books and records of the organization KERRI TRICARICO (212) 998-2913 17TH STREET, 3RD FLOOR, NEW YORK, NY 10003?9345 12-10-12 Form 990 (2012) 6 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Form 990 2012 YORK UNIVERSITY 1 3? 5562 30 8 Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors Check if Schedule 0 contains a response to any question in this Part VII Section A. Officers, Directors, Trustees, Key Employees, and?I-lighest Compensated Employees 1a Complete this table for all persons reqmred to be listed. Report compensation for the calendar year ending With or within the organization's tax year. 0 List all of the organization?s current officers, directors, trustees (whether indIVIduals or organizations), regardless of amount of compensation. Enter -0- In columns (D), (E), and (F) if no compensation was paid. 0 List all of the organization?s current key employees. if any. See instructions for definition of ?key employee." 0 List the organization's five current highest compensated employees (other than an o?icer, director, trustee, or key employee) who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form more than $100,000 lrorn the organization and any related organizations Page 7 Cl 0 List all of the organization's former officers, key employees, and highest compensated employees who received more than $100,000 of reportable compensation from the organization and any related organizations. 0 List all of the organization's former directors or trustees that received, in the capaCity as a former director or trustee of the organization, more than $10,000 of reportable compensation from the organization and any related organizations. List persons in the followrng order: indiVIdual trustees or directors; institutional trustees; officers; key employees; highest compensated employees, and former such persons. Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee. (A) (B) (C) (D) (E) (F) Name and Title Average (do no, one Reportable Reportable Estimated hours per box. unless person is both an compensation compensation amount of week and a d'recwmume) from from related other (list any .3 the organizations compensation hours for 13 3 organization from the related organization organizations and related below g; E, organizations ?09) 5 ES 52 (1) RONALD D. ABRAMSON 2,00 TRUSTEE . 0 0 . 2) KHALDOON KHALIFA AL MUBARAK 2 . 0 0 TRUSTEE 0 . 0 . 0 (3) RALPH ALEXANDER 2 . 00 TRUSTEE 0 . 0 . 0 (4) PUTTER BARASCH 2 . 00 TRUSTEE 0 . 0 . 0 (5) MARIA BARTIROMO 2 . 00 TRUSTEE 0 . 0 . 0 . (6) MARC H, BELL 2.00 TRUSTEE 0 . 0 . 0 . WILLIAM R. BERKLEY 4 . 00 VICE CHAIR 0 . 0 . 0 . (8) CASEY BOX 2.00 TRUSTEE 0 . 0 . 0 . (9) BILL BREWER 2,00 TRUSTEE 0 . 0 . (10) DANIEL J. BRODSKY 2.00 TRUSTEE HEATHER CANNADY 2 . 00 TRUSTEE 0 . 0. 0 . (12) SHARON CHANG 2.00 TRUSTEE 0 . 0 . 0 . (13) EVAN R. CHESLER 2.00 TRUSTEE 0 . 0 0 (14) STEVEN M. COHEN 2,00 TRUSTEE 0 . 0 0 (15) WILLIAM T. COMFORT, 2.00 TRUSTEE 0 . 0 . 0 (16) MICHAEL R. CUNNINGHAM 2.00 TRUSTEE 0 . 0. 0 . (17) FLORENCE A. DAVIS 2.00 TRUSTEE 0 . 0 . 0 . 232007 12-10.12 (201 2) 7 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Form 990 (2012) NEW YORK UNIVERSITY 13 - 5562 308 Page 8 Fart Section A. Officers, Directors, Trustees, Key Em ol0yees, and Highest Compensated Employees (continued) (A) (B) (C) (D) (El (Fl Name and title Average (do not c?gf'?ggman one Reportable Reportable Estimated hours Per box. unless person It?- both an compensation compensation amount of WEEK and a d'recwmusm) from from related other (?St any .3 the organizations compensation hours for ?5 3 organization from the related organization organizations a; and related below a Ea; s, organizations (18 MICHAEL DENKENSOHN 2 . 00 TRUSTEE 0. 0. 0, (19) BARRY DILLER 2,00 TRUSTEE 0. 0. 0. (20) GALE DRUKIER 2.00 TRUSTEE 0. 0. 0. (21) JOEL S. EHRENKRANZ 2.00 TRUSTEE 0. 0. 0. (22) LAURENCE D. FINK 4.00 VICE CHAIR 0 . 0 . 0 (23) MARK FUNG 2.00 TRUSTEE 0. 0. 0. (24) JAY M. FURMAN 2.00 TRUSTEE 0 . 0 . 0 . (25) H. DALE HEMMERDINGER 2.00 TRUSTEE 0. 0. 0, (26) JONATHAN L. HERMAN 2.00 TRUSTEE Sub-total 0. 0. 0. Totalfromcontinuation 25,494,551- 2.319.519- 1.533.775- Tota (add ines1band1c) 26,494,551. 2,819,519. 1,533,775. 2 Total number of indiwduals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organization Did the organization list any former officer. director, or thstee. key employee, or highest compensated employee on line 1 a? If "Yes," complete Schedule .J for such indiwdual 3 4 For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If "Yes," complete Schedule for such indiwdual 4 5 Did any person listed on line 1a receive or accrue compensation from any unrelated organization or indIVIdual for serwces rendered to the organization? If "Yes," complete Schedule for such person 5 Section B. Independent Contractors 1 Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization Report compensation for the calendar year ending With or Within the organization's tax year. A Name and bdsmess address Descriptio(n of sewices Comp(en)sation COLLINS BUILDING SERVICES INC 1775 BROADWAY, STE 1420, NEW NY 10019 CLEANING SERVICE 44,555,507, TURNER CONSTRUCTION COMPANY CORP 375 HUDSON STREET, NEW YORK, NY 10014 CONSTRUCTION 36 556 593 . STRUCTURE TONE INC 770 FL. NEW YORK, NY 10003 CONSTRUCTION 32,724,861, TISHMAN CONSTRUCTION CORP OF NY 100 PARK AVE, 5TH FL, NEW YORK, NY 10017 CONSTRUCTION 32,247,223. ARAMARK EDUCATIONAL SERVICES LLC 11 WEST 42ND STREET 4TH FL, NEW YORK, NY 10036 FACILITY MANAGEMENT SERVICES 30 615 615 2 Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization 553 SEE PART VII SECTION A CONTINUATION SHEETS Form 990 (2012) E93912 8 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Fonn990(20?a NEW YORK UNIVERSITY 13-5562308 PageQ Part Statement of Revenue Check if Schedule 0 contains a response to any question in this Part [3 M) (m (G Pl Total revenue Related or Unrelated exempt function busmess sectlons 512' revenue revenue 513Federated campaigns 1a 309 355 . 8 Membership dues 1b 5% Fundraismg events 1c 12 245 . 724 . at: Related organizations 1d g? Government grants (contributionsAll other contributions, gifts, grants, and ?5 Similar amounts not Included above Noncash contributions included In lines 1a-<35 TotaI.Addlines1a-1f 960,468,399. Business Code 3 23 TUITION FEES 611600 1,834,527,000. 1,834,527,000. 'Eu, PATIENT CARE 623990 904,599,000. 904,599,000. 33 0 OTHER PROGRAM SERVICES 611600 244,160,183. 244,160,188. g; HOUSING DINING 721310 239,583,832. 239,583,832. 9' I All other program serVice revenue Total.Add lines 2a-2f 3.222.370.020- 3 Investment income (including dividends, interest, and othersimuaramounts) 42,783,715. -2,715,128. 45,498,843. 4 Income from investment of tax-exempt bond proceeds 5 Royalties Real (ii) Personal 6 a Gross rents 70.534.992- Less: rental expenses 105 . 502 . 5 53 - Rental income or (lossNetrentanncomeoruoss) -35,917,861. 5,796,000. ?41,713,861. 7 a Gross amount from sales Of (1) Securities (ii) Other assets other than inventory 1134325790 - Less: cost or other and sales expenses 947.755.312- Gain or(loss) 135.559.473- Netgain or(loss) 186,569,478. 186,569,478. a) 8 a Gross income from fundrai5ing events (not Including$ 12,245,724. of contributions reported on line 1 0). See 3 PaanJme18 a a 3.287.717. Less: direct expenses 1 38 3 55 5 - Net income or (loss) from fundraismg events Gross income from gaming actiwties. See Part IV, line 19 a Less. direct expenses Net income or (loss) from gaming activmes 10 a Gross sales of inventory, less returns and allowances a 32.325.000- Less: cost of goods sold 25,035,229. Net mcomeor?oss) from sales of inventory 7.299.771- 1.331.557- 5.953.214- Miscellaneous Revenue Busmess Code 11 3 OTHER NON OPERATING 900099 169,967,294. 5,025. 169,962,269. OTHER AUX. ENTERPRISES 713940 19,009,265. 6,143,299. 12,865,966. 6 INTERNAL INCOME 900099 18,415,131, 18,415,131, All other revenue Total.Addline511a-11d 207,391,590. 12 Total revenue. See Instructions. 4,593 36410, 560 753, 399,465 091. $536.12 Form 990 (2012) 12390710 799038 NYU 13 2012.05070 NEW YORK UNIVERSITY NYU 2 Form 990 (2012) YORK UNIVERSITY page 1 0 [En IXJ Statement of Functiomxpenses Section 501(c)(3) and 501(c)(4) Organizations must complete all columns All other organizations must complete column (A) Check lf Schedule 0 contains a response to anLquestlon In this Part IX A (B) (D) DO NOT '"C?Ude reported 0? ""93 5b: Total expenses Program servrce Management and Fundrausrng 7b. 8b. 9b, and 10b of Part WN- expenses general expenses expenses 1 Grants and other to governments and organizations In the United States. See Part IV, lune 21 579 355 . 579,355 . 2 Grants and other assistance to In the United States SeeParth, ine22 339,519,112. 339,619,112. 3 Grants and other to govemments, organizations, and outsrde the United States See Part IV, lines15 and 16 55.553.333- 55.553.933- 4 Benefits paid to or for members 5 Compensation of current officers, directors. trustees, and key employees 10.295.233- 10.295.233- 6 Compensation not Included above, to disqualified persons (as defined under section 4958(l)(1)) and persons described In section 4958(c)(3)(1,853,070,422. 1,693,845,584. 135,226,844. 23,997,994. 3 Pensron plan accruals and contributions (Include section 128,659,619. 119,757,945. 7.018.323- 1.332.851. 9 Otheremployeebeneflts 229,650,337. 215,062,345. 11,092,694. 3,495,298. 10 payrolltaxes 105,252,085. 97,962,037. 5,753,285. 1,536,763. 11 Fees for servrces (non-employees): a Management Legal 9,281,032. 9,281,032. 9 Accounting 1,424,302. 1,424,302. 722,002. 722,002. Prolessronal servrces. See Part IV, line 17 '73 7 .489 . 7 37 48 9 . Investment management fees 7.539.943- 7.539.943- 9 Other. (If line 11g amount exceeds 10% of lune 25, 0.) 191,126,380. 157,142,050. 33,176,413. 807.907. 12 6,638,956. 6,351,628. 128,315. 159,013. 13 Offlceexpenses 149,990,224. 137,507,413. 10,555,860. 1,926,951. 14 nformatlontechno ogy 40,605,159. 13,229,259. 26,943,326. 432,574. 15 Royames 225,000. 225,000. 16 Occupancy 98,957,111. 95,973,017. 2,958,216. 25,878. 17 1Tavc. 97,708,180. 89,839,650. 7,410,818. 457,712. 18 Payments of travel or entertainment expenses for any federal, state. or local public 19 Conferences. conventions, and meetings 4.515.950- 1.221.922- 149.532- 3.144.395- 20 Interest 98,230,933. 88,042,933. 10,188,000. 21 Payments to affiliates 22 Depreciation, depletion. and amortization 217,550.959- 174.092.530- 43.553.329- 23 [nsurance 16,945,882. 5,439,962. 11,505,920. 24 Other expenses. ltemlze expenses not covered above. (List miscellaneous expenses In line 248. ll line 248 amount exceeds 10% of line 25, column (A) amount. lust line 248 expenses on Schedule 0.) a REPAIR AND MAINTENANCE 100,860,606. 96,248,606. 4,612,000. RENOVATION 94,173,000, 4,057,000. 90,116,000. SERVICE CONTRACT 77,547,120. 75,847,120. 1,700,000. RENTAL OF EQUIPMENT 65,792,325. 17,593,325. 48,199,000. 3 Aucuu?cxpenscs 180,140,111. 147,008,069. 30,476,890. 2,655,152. 25 Total functional expenses.Add lines 1 through 24e 4,194,551,701. 3,664,971,415. 488,320,308. 41,259,978. 26 Joint costs. Complete this line only If the organization reported In column (B) lount costs from a combined educational campaign and tundralsmg Check here El .1 followmg sop 98-2 (A80 958-720) 232010 12-10-12 12390710 799038 NYU 1.4 2012.05070 NEW YORK UNIVERSITY Form 990 (2012) NYU 2 Form 990 (2012) NEW YORK 1 3 556 2 308 page 11 Wart Balance Sheet Check if Schedule 0 contains a response to any question In this Part (A) (B) Beginning of year End of year 1 Cash-non-interest-beanng 878_963,850. 1 900,101,876. 2 and temporary cash investments 103 .439 . 747 . 2 35,133,717 - 3 Pledges and grants receivable, net 379.323.345- 3 359.193.547- 4 Accounts receivable, net 215.312.945- 4 326,026,172. 5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete PartllofScheduleL 1,151.533- 5 1,139,527- 6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' benefICIary organizations (see instr). Complete Part Notes and loans receivable, net 91.370.955- 7 99.595.121- 2 8 lnventonesforsaleoruse 9,542.000- 8 9,545,105- 9 Prepaid expenses and deferred charges 103 Land, and eqUIpment: cost or other ba5is. Complete Part VI of Schedule 103 Less: accumulated depreCiation 10b 2.351.427.837- 3.401.137.233- 10c 3,577,994,233- 1 1 Investments - publicly traded securrties 11 12 Investments-othersecurities. See Part IV, line11 2,327,092.391- 12 2.999.734.993- 13 Investments - program-related. See Part IV, line 11 13 14 Intangible assets 14 15 Otherassets. SeePart IV, line11 29.093.900- 15 59.391.102- 16 Total assets.Add lines 1 through 15 (must equal line 34) 8.033.275.299- 16 3,513,508,455- 17 Accounts payable and accrued expenses 454 . 133. 333- 17 544.511.234- 18 Grants payable 18 19 Deferred revenue 311.579.000- 19 305.303.000- 20 Tax-exempt bond liabilities 1.912.900.000- 20 1.873.142.000- 3 21 Escrow or custodial account liability. Complete Part IV of Schedule 21 2 Loans and other payables to current and former officers, directors, trustees, 33 key employees, highest compensated employees, and disqualified persons. Complete Part II of Schedule 22 23 Secured mortgages and notes payable to unrelated third parties Unsecured notes and loans payable to unrelated third parties 24 25 Other liabilities (Including federal income tax. payables to related third parties, and other liabilities not included on lines 17-24). Complete Part of ScheduIeD 984,597,854. 25 937,869,335. 26 Total liabilities.Add lines17throuqh25 4,267,766,192. 26 4,422,213,569. Organizations that follow SFAS 1 17 (ASC 958), check here and 3 complete lines 27 through 29, and lines 33 and 34. 27 Unrestricted net assets 1.745.004.971- 27 1.933.991.577- 28 Temporanly restricted net assets 547.459.341- 28 744.035.180- 2 29 Permanently restricted net assets 1.377.044.295- 29 1.458.317.040- lf Organizations that do not follow SFAS 1 17 (ASC 958), check here and complete lines 30 through 34. *3 30 Capital stock or trust prinCIpal, or current funds 30 31 Paid-in or capital surplus, or land, bUilding, or equment fund 31 32 Retained earnings, endowment, accumulated income, or other funds 32 33 Total netassets orfund balances 3.770.509.107- 33 4.195.394,397- 34 Total liabilities and net assets/fund balances 13,508.41 66 . 232011 12-10-12 12390710 799038 NYU 15 2012. 05070 NEW YORK UNIVERSITY Form 990 (2012) Form 990 (2012) NEW YORK UNIVERSITY Part XI Reconciliation of Net Assets ?Check if Schedule 0 contains a response to any question in this Part XI 13?5562308 Paqe 12 Cl Total revenue (must equal Part column (A), line 12Total expenses (must equal Part IX. column (A), line 25) 2 4.194 . 551 . 701 - Revenue less expenses. Subtract line 2 from line Net assets or fund balances at beginning of year (must equal Part X, line 33, column Net unrealized gains (losses) on investments Donated services and use of faCIIities 6 Investment expenses 7 Prior period adjustments Other changes in net assets or fund balances (explain in Schedule 0) 9 0 - Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column 1o 4,196,394,897. Part Xll Financial Statements and Reporting Check if Schedule 0 contains a response to any question in this Part XII 2a 3a Accounting method used to prepare the Form 990 Cash Accrual Other If the organization changed its method of accounting from a prior year or checked "Other." explain in Schedule 0. Were the organization?s finanCIal statements compiled or reVIewed by an independent accountant? If "Yes," check a box below to indicate whether the financial statements for the year were compiled or rewewed on a separate ba5is, consolidated or both: Separate ba5is Consolidated ba5is Both consolidated and separate basis Were the organization?s finanCial statements audited by an independent accountant? If "Yes," check a box below to indicate whether the financial statements for the year were audited on a separate baSlS, consolidated ba5is, or both- Separate baSlS Consolidated ba5is El Both consolidated and separate baSlS If "Yes" to line 2a or 2b, does the organization have a committee that assumes responSibility for ovemight of the audit, rewew, or compilation of its finanCIal statements and selection of an independent accountant? If the organization changed either its over8ight process or selection process during the tax year, explain in Schedule 0. As a result of a federal award, was the organization reqUired to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular If "Yes," did the organization undergo the reqUIred audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule 0 and describe any steps taken to undergo such audits Yes No 2a 2b 2c 3a 3b 232012 12-10-12 12390710 799038 NYU 16 2012.05070 NEW YORK UNIVERSITY Form 990 (2012) SCHEDULE A (Form 990 or 990-EZ) Department of the Treasury Internal Revenue SerVIca OMB No 1545?0047 Public Charity Status and Public Support Complete if the organization is a section 501(c)(3) organization or a section 4947(a)(1) nonexempt charitable trust. Attach to Form 990 or Form 990-EZ. See separate instructions. Open to Public Inspection Name of the organization Employer identification number NEW YORK UNIVERSITY 13?5562308 [Part I I Reason for Public Charity Status (All organizations must complete this part.) See instructions. The organization is not a private foundation because it is: (For lines 1 through 11. check only one box.) hum- an inn A church, convention of churches, or assomation of churches described in section A school described in section (Attach Schedule E.) A hospital or a cooperative hospital sewice organization described in section A medical research organization operated in conjunction with a hospital described in section Enter the hospital?s name. City, and state: An organization operated for the benefit of a college or univerSity owned or operated by a governmental unit described in section (Complete Part II.) A federal, state, or tocal government or governmental unit described in section An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in section (Complete Part II.) A community trust described in section (Complete Part II.) An organization that normally receives: (1) more than 33 1/3% of its support from contributions, membership fees. and gross receipts from actiwties related to its exempt functions - subject to certain exceptions, and (2) no more than 33 1/8% of its support from gross investment income and unrelated busmess taxable income (less section 511 tax) from busmesses acqwred by the organization after June 30, 1975. See section 509(a)(2). (Complete Part 10 An organization organized and operated excluswely to test for public safety. See section 509(a)(4). 11 An organization organized and operated excluswely for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). See section 509(a)(3). Check the box that describes the type of supporting organization and complete lines 113 through 11h. a Type I Type II :1 Type - Functionally integrated Type - Non-functionally integrated CI By checking this box. I certify that the organization is not controlled directly or indirectly by one or more disqualified persons other than foundation managers and other than one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). If the organization received a determination from the IRS that it is a Type I, Type II, or Type supporting organization, check this box 9 Since August 17, 2006, has the organization accepted any gift or contribution from any of the followmg persons9 A person who directly or indirectly controls, either alone or together With persons desoribed in (i0 and below, the governing body of the supported organization? (ii) A family member of a person described in above? A 35% controlled entity of a person described in or (ii) above? Prowde the followmg information about the supported organization(s). (i)Name olsupported of organization [mm the organizatlon (V)Dld you notify the or arg?l?ggt'lilt?hl? col (vii)Amountol? monetary orgamzauon (descnbed on ?neg 1-9 col. listed in your organization in col. (?gorgamzed In the? support above or section governing document? (I) of your support? us? (see insuuct'onsTotal LHA For Paperwork Reduction Act Notice, see the Instructions for Schedule A (Form 990 or 990-EZ) 2012 Form 990 or 990-EZ. 232021 12-04-12 12390710 799038 NYU l7 2012.05070 NEW YORK UNIVERSITY NYU 2 Schedule A Form 990 or 990-E 2012 Page 2 - upport or 0 rganizations IV) and 170(b)(1)(A)(Vi) (Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part If the organization fails to qualify under the tests listed below, please complete Part Section A.T?ublic Support Calendar year (or fiscal year beginning in) 2008 2009 2010 2011 2012 Total 1 Gifts, grants. contributions, and membership fees received. (Do not include any "unusual grants") 2 Tax revenues leVIed for the organ- ization's benefit and either paid to or expended on its behalf 3 The value of serwces or facilities furnished by a governmental unit to the organization Without charge 4 Total. Add lines 1 through 3 5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column 6 Public support. Subtract line 5 from line 4 Section Total Support Calendar year (oriiscal year beginning in) 2008 2009 2010 2011 2012 Total 7 Amounts from line 4 8 Gross income from interest, diVidends. payments received on Securities loans, rents. royalties and income from Similar sources 9 Net income from unrelated business actiVities. whether or not the business is regularly carried on 10 Other income. Do not include gain or loss from the sale of capital assets (Explain In Part IV.) 11 Total support. Add lines 7 through 1D 12 Gross receipts from related actiwties, etc. (see instructions) 12 I 13 First 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. Computati?t of Public Support Percentage 14 Public support percentage for 2012 (line 6, column diVided by line 11, column 14 15 Public support percentage from 2011 Schedule A, Part ll, line 14 15 163 33 1/3% support test - 2012. If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box and stop here. The organization qualifies as a publicly supported organization :1 33 1/3% support test - 2011. If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more, check this box and stop here. The organization qualifies as a publicly supported organization We 10% -facts-and-circumstances test - 2012. If the organization did not check a box on line 13, 16a, or 16b. and line 14 is 10% or more. and if the organization meets the "facts-and-circumstances" test, check this box and stop here. Explain in Part IV how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported organization 10% -facts-and-circumstances test - 2011. If the organization did not check a box on line 13, 16a, 16b, or 17a, and line 15 is 10% or more, and if the organization meets the ?facts-and-CIrcumstances" test, check this box and stop here. Explain in Part IV how the organization meets the "facts-and-CIrcumstances" test. The organization qualifies as a publicly supported organization El 18 Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see instructions 1: Schedule A (Form 990 or 990-EZ) 2012 232022 12-04- 12 18 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Schedule A Form 990 or QQO-E 2012 page 3 6 0r 0 rganizations I escri - in ection I 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 cemplete Part II.) Section A. Public Support Calendar year (or?scal year beginning in) 2003 012009 201 2011 2012 Total 1 Gifts. grants, contributions, and membership fees received. (Do not include any "unusual grants") 2 Gross receipts from admissions, merchandise sold or serVices per- formed, or faCIlltleS furnished in any actiwty that is related to the organization?s tax-exempt purpose 3 Gross receipts from actiwties that are not an unrelated trade or bus- iness under section 513 4 Tax revenues levied for the organ- ization's benefit and either paid to or expended on its behalf 5 The value of services or faCiIities furnished by a governmental unit to the organization Without charge 6 Total. Add lines 1 through 5 Ta 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 7a and 7b 8 Public support (aluminum (mm! mm Section B. Total Support Calendaryeaf (Of?scal Veafbe?in?i?g 2008 2009 2010 2011 2012 Total 9 Amounts from line 6 10a Gross income from interest, dwidends. payments received on securities loans, rents, royalties and income from Similar sources Unrelated busmess taxable income (less section 511 taxes) from busmesses achIred after June 30, 1975 Add lines 10a and 10b 11 Net income from unrelated business actiwties not included in line 10b, whether or not the busmess is regulady carried on 12 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.) 13 Total support. (Add lines 9. 10c, 11, and 12) 14 First 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 2012 (line 8, column (1) divided by line 13, column (0) 15 16 Public support percentage from 2011 Schedule A, Part line 15 16 Section D. Computation of Investment Income Percentage 17 Investment income percentage for 2012 (line 100, column dIVlded by line 13. column 17 18 Investment income percentage from 2011 Schedule A. Part line 17 18 19a 33 1/3% support tests - 2012. If the organization did not check the box on line 14, and line 15 is more than 33 and line 17 is not more than 33 check this box and stop here. The organization qualifies as a publicly supported organization 33 1/3% support tests - 2011. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 and line 18 is not more than 33 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 I: 232023 12-04.12 9 Schedule A (Form 990 or 990-EZ) 2012 1 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 OMB No 1545-0047 2012 Open to Public Inspection SCHEDULE (Form 990 or 990-EZ) Political Campaign and Lobbying Activities For Organizations Exempt From Income Tax Under section 501(c) and section 527 Department of the Treasury Internal Revenue SerVIce Complete if the organization is described below. Attach to Form 990 or Form 990-EZ. See separate instructions. If the organization answered "Yes," to Form 990, Part IV, line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then 0 Section 501(c)(3) organizations: Complete Parts l-A and 8. Do not complete Part I-C. 0 Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts l-A and below. Do not complete Part l-B 0 Section 527 organizations: Complete Part I-A only. If the organization answered "Yes," to Form 990, Part IV, line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then 0 Section 501 organizations that have filed Form 5768 (election under section 501 Complete Part II-A. Do not complete Part 0 Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part Do not complete Part ll-A. If the organization answered "Yes," to Form 990, Part IV, line 5 (Proxy Tax), or Form 990-EZ, Part V, line 35c (Proxy Tax), then 0 Section 501(c)(4), (5), or (6) organizations: Complete Part Name of organization Employer identification number NEW YORK UNIVERSITY 13?5562308 I Part l-A] Complete if the organization is exempt under section 501(c) or is a section .527 organization. 1 Prowde a description of the organization?s direct and indirect political campaign actiwties in Part IV. 2 Political expenditures 3 Volunteer hours [Part Complete if the organization is exempt under section 501(c)(3). 1 Enter the amount of any ex0ise tax incurred by the organization under section 4955 2 Enter the amount of any excise tax incurred by organization managers under section 4955 3 If the organization incurred a section 4955 tax. did it file Form 4720 for this yearcorrection made? Yes I: No If "Yes," describe in Part IV. art - omp ete i organization is exempt un er section except section 3). 1 Enter the amount directly expended by the filing organization for section 527 exempt function actiwties 2 Enter the amount of the filing organization?s funds contributed to other organizations for section 527 exempt function actIVities 3 Total exempt function expenditures. Add lines 1 and 2 Enter here and on Form 1120-POL. Ilne 17b 4 Did the filing organization file Form 1 120-POL for this year? Ll Yes No 5 Enter the names. addresses and employer identification number (EIN) of all section 527 political organizations to which the filing organization made payments. For each organization listed, enter the amount paid from the filing organization's funds. Also enter the amount of political contributions received that were and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed. prowde information in Part IV. Name Address EIN Amount paid from Amount of political filing organization?s contributions received and funds. If none. enter -0-. 30d direCt'Y delivered to a separate political organization If none, enter -0-. For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Schedule (Form 990 or 990-EZ) 2012 LHA 232041 01-07-13 1341 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 ScheduleC Form 990 or 990E 2012 NEW YORK UNIVERSITY omp etei organization is exempt uner section 1 an - ie Form 5768 (election under section 501(h)). A Check if the filing organization belongs to an affiliated group (and list In Part IV each affiliated group member?s name, address, expenses, and share of excess lobbying expenditures). 8 Check if the filing organization checked box A and "limrted control" apply. 13-5562308 Page 2 Limits on Lobbying Expenditures (The term "expenditures" means amounts paid or incurred.) (3) Filing organization's totals Affiliated group totals 1 a Total lobbying expenditures to influence public opinion (grass roots lobbying) I Total lobbying expenditures to influence a legislative body (direct lobbying) Total lobbying expenditures (add lines 1a and 10) Other exempt purpose expenditures Total exempt purpose expenditures (add lines 10 and 1d) Lobbying nontaxable amount. Enter the amount from the followmthable in both columns. lithe amount on line 10, column or is: The lobbyi_ng nontaxable amount is: Not over $500,000 20% of the amount on line 19 Over $500,000 but not over $1,000,000 $100,000 plus 15% 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 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. 9 Grassroots nontaxable amount (enter 25% of line 11) Subtract line 19 from line 1a If zero or less, enter -0- i Subtract line 1f from line 10. If zero or less, enter -0- i If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting section 4911 tax for this year?? Yes :1 No 4-Year Averaging Period Under Section 501(h) (Some organizations that made a section 501(h) election do not have to complete all of the five columns below. See the instructions for lines 2a through 21 an page 4.) Lobbying Expenditures During 4-Year Averaging Period (or ?scifi'gegg?gmg In) 2009 2010 2011 2012 Total 2a Lobbying nontaxable amount Lobbying ceiling amount (150% of line 2a, column(e)) Total lobbying expenditures Grassroots nontaxable amount Grassroots ceiling amount (150% of line 2d, column Grassroots lobbying expenditures Schedule 0 (Form 990 or 2012 232042 01-07-13 2 5 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY ScheduleC Form 990 or 990- 2012 NEW YORK UNIVERSITY 13?5562308 page3 omp ete organization is exempt uner section I 3) and has NOT filed Form 5768 (election under section 501(h)). For each "Yes," response to lines 1a through ll below, prowde in Part detailed description (3) of the lobbying actiwty. Yes No Amount 1 During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of: a Volunteers? Paid staff or management (include compensation In expenses reported on lines 10 through 1i)? 0 Media advertisements? Mailings to members, legislators, or the public? 250 - Publications, or published or broadcast statements? Grants to other organizations for lobbying purposesDirect contact With legislators, their staffs, government offiCIals, or a legislative body? 686 6 26 . Rallies, demonstrations, seminars, conventions, speeches, lectures, or any Similar meansOther activities? i Total Add lines 1cthrough 1i 722.002- Za Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? If "Yes," enter the amount of any tax incurred under section 4912 If "Yes," enter the amount of any tax incurred by organization managers under section 4912 If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? [Part Ill-A] Complete if the organization is exempt under section 501(c)(4), section section 501 Yes No 1 Were substantially all (90% or more) dues received nondeductible by members? 1 2 Did the organization make only in-house lobbying expenditures of $2,000 or less? 2 3 Did the organization agree to carry over lobbying and political expenditures from the prior year? 3 [Part Ill-Bl Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) and if either BOTH Part Ill-A, lines 1 and 2, are answered 0R Part Ill?A, line 3, is answered "Yes." 1 Dues, assessments and Similar amounts from members 1 2 Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of political expenses for which the section 527(f) tax was paid). a Current year 23 Carryover from last year 2b Total 2c 3 Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues 3 4 If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? 4 5 Taxable amount of lobbying and political expenditures (see instructions) 5 [Bart IV I Supplemental Information Complete this part to prowde the descriptions required for Part l-A, line 1; Part I-B, line 4, Part l-C, line 5, Part ll-A (affiliated group list); Part ll-A, line 2; and Part line 1.Also, complete this part for any additional information. Schedule (Form 990 or 990-EZ) 2012 area. 26 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 OMB No 1545-0047 SCHEDULE Supplemental Financial Statements (Form 990) Complete if the organization answered "Yes," to Form 990, 2012 . - Depanmem on? Treasury art IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b Open to Public Internal Revenue Serwca Attach to Form 990. See separate instructions. Inspection Name of the organization Employer identification number NEW YORK UNIVERSITY 13?5562308 Part I Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts.COmpIete If the organization answered "Yes" to Form 990, Part IV, line 6 Donor adwsed funds Funds and other accounts Total number at end of year Aggregate contributions to (during year) Aggregate grants from (during year) Aggregate value at end of year ensure-i- Did the organization infon'n all donors and donor advisors in writing that the assets held in donor adwsed funds are the organization?s property, subject to the organizatIOn's excluswe legal control? ?3 Yes I: No 6 Did the organization inform all grantees, donors, and donor adVisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor adVIsor, or for any other purpose conferring impermissmle pnvate benefit? Yes No I?Part II I Conservation Easements. Complete if the organization answered "Yes" to Form 990, Part IV, line 7. 1 Purpose(s) of conservation easements held by the organization (check all that apply). Preservation of land for public use (e recreation or education) Protection of natural habitat Preservation of open space 2 Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year. Preservation of an historically important land area Preservation of a certified historic structure Held at the End at the Tax Year a Total number of conservation easements 2a 1 Total acreage restricted by conservation easements 2b 0 - 29 Number of conservation easements on a certified historic structure included in 2c 1 Number of conservation easements included in acqwred after 8/17/06, and not on a historic structure listed in the National Register 2d 1 3 Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the tax year 4 Number of states where property subject to canservation easement is located 1 5 Does the organization have a written policy regarding the periodic monitoring, inspection, handling of Violations, and enforcement of the conservation easements it holds? Yes No 6 Staff and volunteer hours devoted to monitoring, inspecting, and enforcmg conservation easements during the year} 7 Amount of expenses incurred in monitoring, inspecting, and enforcmg conservation easements during the year 8 Does each conservation easement reported on line 2(d) above satisfy the reqmrements of section and section Yes No 9 In Part describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet, and include, if applicable, the text of the footnote to the organization's finanCIal statements that describes the organization's accounting for conservation easements. Part Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets. Complete if the organization answered "Yes" to Form 990, Part IV, line 8. 13 If the organization elected, as permitted under SFAS 116 (A80 958), not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public serwce, prowde, in Part the text of the footnote to its finanCIal statements that describes these items. If the organization elected, as permitted under SFAS 116 (A80 958), to report in its revenue statement and balance sheet works of art, historical treasures, or other Similar assets held for public exhibition, education, or research in furtherance of public sewice, prowde the followmg amounts relating to these items Revenues included in Form 990, Part line 1 (ii) Assets included in Form 990, Part 2 If the organization received or held works of art, historical treasures, or other Similar assets for financial gain, prowde the following amounts reqUIred to be reported under SFAS 116 (A80 958) relating to these items: a Revenues included in Form 990, Part line 1 Assets included in Form 990, Part LHA For Paperwork Reduction Act Notice, see the Instructions for Form 990. 232051 12-10-12 Schedule (Form 990) 2012 27 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 scheduie (Form 990) 2012 NEW YORK UNIVERSITY paqe 2 ?n Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assetqconrrnued) 3 Usrng the organization's acqursition, accession, and other records. check any of the followrng that are a Significant use of Its collection Items (check all that apply): a Public exhibition El Loan or exchange programs i Scholarly research Other Preservation for future generations 4 Provrde a description of the organization's collections and explain how they further the organization's exempt purpose in Part 5 During the year, did the organization solicrt or receive donations of art, historical treasures, or other Similar assets to be sold to raise funds rather than to be maintained as part of the organization's collection? El Yes IE No Part IV Escrow and Custodial Arrangements. Complete If the organization answered "Yes" to Form 990, Part iv, line 9, or reported an amount on Form 990, Part X, line 21 1a Is the organization an agent. tmstee. custodian or other intermediary for contributions or other assets not included on Form 990, Part X7 Yes I: No If "Yes," explain the arrangement in Part and complete the followmg table: Amount 0 Beginning balance Additions during the year Distributions during the year Ending balance 2a Did the organization include an amount on Form 990, Part X, line 21? No If "Yesiexplain the arrangement in Part Check here if the explanation has been prowded in Part lift I Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10. Current year Prior year Two years back Three years back Four years back 1a ofyear balance 2 ,765,755,897. 2,690,369,662. 2, 3'75, 939, 165. 2 134,635,606. 2,394,484,490, Contnbuaons 150,829,000. 177,795,800. 142,888,000. 160,162,000. 102,440,000. 246,382,088. 72,055,356, 301,857,827. 172,386,687. ?258,404,408. Grants 23,462,909. 22,281,071. 18,645,572. 14,219,178. 21,727,000. Other expenditures for facrlities and programs 185,612,121. 149,033,859. 105,415,479. 81,135,377. 78,727,904. 11,310,868. 3,151,990. 6,254,279. 3,040,411. 3,429,572. 9 End ofyearbalance 2,942,581,087. 2,765,753,898. 2,690,369,662. 2,368,789,327, 2,134,635,606, 2 Provrde the estimated percentage of the current year end balance (line lg, column held as: a Board desrgnated or quasi-endowment 40 - 00 Permanent endowment 5 0 - 00 Temporarily restricted endowment - 00 The percentages in lines 2a, 2b, and 2c should equal 100%. 3a Are there endowment funds not in the possessron of the organization that are held and administered for the organization by: unrelated organizations (ii) related organizations If "Yes" to 3a(ll), are the related organizations listed as requrred on Schedule 4 Describe in Part the intended us_es of the organization's endowment funds [Part VI Land, Buildings, and Equipment. See Form 990, Part x, line 10. Description of property Cost or other Cost or other Accumulated Book value basrs (investment) basrs (other) deprecration 13 Land 156,621,428. 156,621,428. [3 4,697,002,110, 1,778,851,175. 2,918,150,935. Leasehold improvements Equ pment 637,487,532. 472,576,662. 164,910,870. Other 438,311,000. 438,311,000. Total. Add lines 1a through 1e (Column must equal Form 990, Part X, column (B), Irne 3 677 994 23 3 Schedule (Form 990) 2012 232052 12-10- 12 28 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Schedule DIForm 990) 2012 NEW YORK UNIVERSITY 13-5552303 Paqe 3 I Part Investments - Other Securities. See Form 990, Part x, line 12. Description of scourlty 0r category (includlng name of security) Book value Method of valuation: Cost or end-of-year market value (1) FinanCiaI derivatives (2) Closely-held eqmty interests (3) Other (A) COLLATERAL FOR SECURITIES LOANED 2 605 199 . MARKET VALUE (3) EQUITY SECURITIES 1 486 450 I 407 . MARKET VALUE FIXED INCOME SECURITIES 318 638 716 . MARKET VALUE (D) OPPORTUNISTIC a CREDIT 7'79 833 730 . MARKET VALUE (5) OTHER LONG TERM INVESTMENTS 3 4 311 263 . MARKET VALUE (F) OTHER SHORT TERM INVESTMENTS 22 284, 552 . MARKET VALUE REAL ASSETS 355 661 126 . MARKET VALUE (W 3 Total. must equal Form 990, Part X, col. (B) line 12.) 2 999 784 993 . Part Investments - Program Related. See Form 990, Part x. Ilne 13. Description of investment type Book value (6) Method of valuation Cost or end-oI-year market value (3) 14) (7) um Total. (Col. must equal Form 990, Part X, col. (B) line 13.) l?Part IX I Other Assets. See Form 990, Pan x, [me 15. Description Book value (Total. (Column must equal Form 990, Part X, col. (B) line 15.) I Part Other Liabilities. See Form 990, Part x, iine 25. 1_ Description of liability Book value (1) Federal income taxes (2) ACCRUED BENEFIT OBLIGATION '77 103 39 1 . (3) ACCRUED POSTRETIREMENT OBLIGATION 14) ASSET RETIREMENT OBLIGATION 133,176,572. (5) FEDERAL GRANTS REFUNDABLE 71 189 397 . (6) SECURITY LOAN AGREEMENTS PAYABLE 2 5 36 220 . (7) TAXABLE BONDS 151,701,375. (3) OTHER LEASING OBLIGATIONS 83,760 727. (e um UH Total. (Column must equal Form 990, Part X, col (B) line (A80 740) Footnote. In Part provide the text of the footnote to the organization's finanCial statements that reports the organization?s liability for uncertain tax p05itions under FIN 48 (ASC 740). Check here if the text of the footnote has been proVided in Part Schedule (Form 990) 2012 232053 12?10-12 29 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Schedule Form 990) 2012 313? YORK UNIVERSITY 1 3' 5552 303 Paqe 4 Part XI I Reconciliation of Revenue per Audited Financial Statements With Revenue per Return 1 Total revenue, gains, and other support per audited fmancral statements 1 2 Amounts Included on line 1 but not on Form 990, Part line 12 a Net unrealized gains on Investments 23 Donated services and use of faculties 2b Recovenes of prIor year grants 2c Other (Describe In Part 2d Add lines 2a through 2d 2e 3 Subtract line 2e from line 1 3 4 Amounts Included on Form 990, Part line 12, but not on line 1' a Investment expenses not Included on Form 990, Part line 7b 4a Other (Describe In Part 4b Add lines 4a and 4b 4c 5 Total revenue Add lines 3 and 4c. must equal Form 990, Part I, line 12.) 5 Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return 1 Total expenses and losses per audited fmancral statements 1 2 Amounts Included on line 1 but not on Form 990, Part IX, line 25: a Donated serwces and use of 2a Prior year adjustments 2b 0 Other losses 20 Other (Describe in Part 2d 9 Add lines 23 through 2d 2e 3 Subtract line 2e from line 1 3 4 Amounts included on Form 990, Part IX, line 25, but not on line 1: a Investment expenses not included on Form 990, Part line 7b 4a Other (Describe In Part 4b Add lines 4a and 4b 4c 5 Total expenses Add lines 3 and 4c. must equal Form 990, Part I, line 18 5 Part Supplemental Information Complete this part to provnde the required for Part II, lines 3, 5, and 9; Part lines 1a and 4, Part IV, lines 1b and 2b; Part V, line 4, Part X, line 2, Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provude any additional Information. PART LINE 1A: THE UNIVERSITY DOES NOT ASSIGN VALUES TO COLLECTION ITEMS. COLLECTION ITEMS ARE GENERALLY HELD FOR EDUCATIONAL PURPOSES AND ARE NOT DISPOSED OF FOR FINANCIAL GAIN OR OTHERWISE ENCUMBERED IN ANY MANNER. PART LINE 4: COLLECTIONS AT THE UNIVERSITY INCLUDE WORKS OF LITERARY WORKS, HISTORICAL TREASURES, AND ARTIFACTS THAT ARE MAINTAINED IN THE GALLERIES, LIBRARIES, AND BUILDINGS. THESE COLLECTIONS Schedule (Form 990) 2012 232054 12-10- 12 30 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 Schedule (Form 990) 2012 NEW YORK UNIVERSITY 13-5552303 Page 5 [Part Sup?emental Information (continued) ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITIONI EDUCATION, AND THE FURTHERANCE OF PUBLIC SERVICE AND, THEREFORE, ARE NOT RECOGNIZED AS ASSETS ON THE CONSOLIDATED BALANCE SHEET. COSTS ASSOCIATED WITH ACQUISITION AND MAINTENANCE OF THESE COLLECTIONS ARE RECORDED AS EXPENSES IN THE PERIOD IN WHICH THEY ARE INCURRED. PART Vt LINE 4: ENDOWMENT CONSISTS OF INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES SUCH AS: PROGRAM SUPPORT, FACULTY AND STAFF SALARIES, SCHOLARSHIPS AND FELLOWSHIPS, LIBRARY BOOKSI RESEARCHI BUILDINGS AND EQUIPMENT, AND STUDENT LOANS. Schedule (Form 990) 2012 232055 12?10-12 31 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 SCHEDULEE (Form 990 or 990-EZ) Schools Complete if the organization answered "Yes" to Form 990. Part IV. line 13. or Form 990-EZ. Part VI. line 48. Attach to Form 990 or Form 990-EZ. Department of the Treasury Internal Revenue Servrce OMB No 1545-0047 2012 Open to Public Inspection Name of the organization Employer identification number NEW YORK UNIVERSITY 13-5562308 IPanl] YES NO 1 Does the organization have a raCially nondiscriminatory policy toward students by statement in its charter. bylaws. other governing instrument, or In a resolution of its governing body? 1 2 Does the organization include a statement of its raCially nondiscriminatory policy toward students in all its brochures. catalogues. and other written communications With the public dealing With student programs. and scholarships? 2 3 Has the organization publiCized its racrally nondiscriminatory policy through newspaper or broadcast media during the period of soIICItation for students, or during the registration period if it has no soIiCItation program. in a way that makes the policy known to all parts of the general community it serves? If "Yes." please describe If please explain If you need more space. use Part II 3 SEE PART II 4 Does the organization maintain the followmg? a Records indicating the meal composmon of the student body. faculty. and administrative staff? 4a Records documenting that scholarships and other fmancral aSSistance are awarded on a racrally nondiscnminatory basis? 4b Copies of all catalogues. brochures. announcements. and other written communications to the public dealing With student programs. and scholarships? 4c 3 Copies of all material used by the organization or on its behalf to contributions? 4d If you answered "No" to any of the above. please explain. If you need more space. use Part II. 5 Does the organization discriminate by race in any way With respect to: a Students' rights or 5a Admissions policies? 5b Employment of faculty or administrative staff? 5c Scholarships or other financial assistance? 5d Educational poIICIes? 5e 1? Use of faCIIities? 51? 9 Athletic programs? _Sg Other extracurricular actIVities? 5h If you answered "Yes" to any of the above, please explain. If you need more space. use Part ll. 6a Does the organization receive any finanCIal aid or aSSIStance from a governmental agency? 6a Has the organization's to such aid ever been revoked or suspended? 6b If you answered "Yes" to either line 6a or line 6b, explain on Part ll. 7 Does the organization certify that it has complied with the applicable reqUIrements of sections 4.01 through 4.05 of Rev. Proc. 75-50, 1975?2 CB. 587, covering racial nondiscrimination? lf on Part ll 7 LHA For Paperwork ReductiOn Act Notice, see the Instructions for Form 990 or Form 990-EZ. Schedule (Form 990 or 990-EZ) (2012) 32 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY Schedule (Form 990 or 990-EZ) (2012LNEW YORK UNIVERSITY page 2 I Part II I Supplemental Information. Complete part to provnde the explanations requured by Part I. lines Also complete this part to provnde any other additional Information. SCHEDULE B. LINE 3 EXPLANATION OF NONDISCRIMINATION POLICY: ALL ADVERTISEMENTS AND MARKETING MATERIALS, INCLUDING ADVERTISEMENTS IN NEWSPAPERS, CONTAIN THE NYU NONDISCRIMINATORY POLICY STATEMENT. ADDITIONALLY, THE PROMINENTLY FEATURES INSTITUTIONAL POLICIES ON NONDISCRIMINATION AND EQUAL OPPORTUNITY. SCHEDULE E, LINE 6 - EXPLANATION OF GOVERNMENT FINANCIAL AID: THE UNIVERSITY RECEIVES FINANCIAL ASSISTANCE FROM VARIOUS FEDERAL, STATE LOCAL AGENCIES. 232062 12-13?12 Schedule (Form 990 or 990-EZ) (2012) 3 3 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 SCHEDULE (Form 990) Department oi the Treasury Internal Revenue Service Statement of Actiwties Outside the nited States Complete it the organization answered "Yes" to Form 990, Part IV, line 14b, 15, or 16. Attach to Form 990. See separate instructions. OMB No 15450047 2012 Open to Public Inspection Name of the organization NEW YORK UNIVERS ITY Employer identification number 13?5562308 Part I General Information on Activities Outside the United States. Complete If the organization answered "Yes" to Form 990. Part IV. line 14b. 1 For grantmakers. Does the organization maintain records to substantiate the amount of its grants and other asmstance, the grantees' eligibility for the grants or assmtance. and the selection criteria used to award the grants or assetance" Yes EN0 2 For grantmakers. Describe in Part the organization?s procedures for monitoring the use of Its grants and other aSSIStance OUtSlde the United States. 3 Actiwties per Region. (The followmg Part I, line 3 table can be duplicated if additional space is needed) Region Number of Number of Actiwties conducted in region If actiwty listed in Total offices emp'oyeesv (by type) fundraismg, program is a program service, expenditures agents, and for and in the region inde endent semces. investments, grants to describe speCIfic type recipients located in the region) of seNice(s) in region InveStmentS in reQion in region CENTRAL AMERICA 1 1 INSTRUCTION 311,639 . EAST ASIA AND THE PACIFIC 5 68 INSTRUCTION 16 311,489 . EUROPE 7 147 INSTRUCTION 56,303,538 . MIDDLE EAST AND NORTH AFRICA 4i 508 INSTRUCTION 85,807,485 SOUTH AMERICA 1 7 INSTRUCTION 2, 6 35 294 AFRICA 1 10 INSTRUCTION 2 2 11, 7'7 7 . SOUTH ASIA 1 0 RESEARCH INSTRUCTION 8 1 6 . CENTRAL AMERICA 0 INVESTMENTS 1Sub-total 20 741 1,175,411,071. Total from continuation sheetstOPartl 0 0 129,790,045, Totals (add lines 3a and3b) 20 741 1,305,201,116. LHA For Paperwork Reduction Act Notice, see the Instructions for Form 990. 232071 12-10-12 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY 34 Schedule (Form 990) 2012 SchedweF(Fonn99m NEW YORK UNIVERSITY 13?5562308 paqe1 {Part I Continuation of Activities per Region.(ScheduIe (Form 990), Part I. line 3) Region Number of Number of Actwutles conducted In region If aCthIty listed In Total offices employees or (by type) (Le . fundraising, IS a program serwce, expenditures in the region agents In program serwces. grants to describe type for region region recipients located In the region) of serv:ce(s) in region EAST ASIA AND THE PACIFIC INVESTMENTS 82,256,490. EUROPE 0 INVESTMENTS 21,145,519. AFRICA 0 INVESTMENTS 26 I 388 I 0 36 Totals 129,790,045. 232181 05-01-12 12390710 799038 NYU 35 2012.05070 NEW YORK UNIVERSITY Schedule (Form 990) 2012 Part II NEW YORK UNIVERSITY 13-5562308 Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" to 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 1 Name of organization (9) Amount of non-cash a55istance Description of non-cash a55istance Method of valuation (book. FMV, appraisal. other) IRS code section and EIN (if applicable) Purpose of grant Amount Manner of 0 Re ion of cash grant cash disbursement 2 3 232072 12-10-12 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 provrded a section 501(c)(3) equwalency letter Enter total number of other organizations or entities Schedule (Form 990) 2012 36 Schedule (Form 990) 2012 Part NEW YORK UNIVERSITY Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" to Form 990. Part IV, line 16 Part can be duplicated If additional space IS needed 13?5562308 Page 3 Type of grant or a53i5tance Region Number of recipients Amount of cash grant Manner of cash disbursement Amount of non-cash assustance lg) Description Of non-cash a55istance Method of valuation (book. FMV, appraisal, other) SCHOLARSHIPS, GRANTS FELLOWSHIPS, CENTRAL AMERICA AND THE CARIBBEAN 26 336,429. CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, GRANTS FELLOWSHIPS, EAST ASIA AND THE ACIFIC 478 17,243,299. CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, GRANTS FELLOWSHIPS, EUROPE 373 13,594,255. CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, GRANTS FELLOWSHIPS, EIDDLE EAST ORTH AFRICA 125 6,695,923. CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, GRANTS FELLOWSHIPS, NORTH AMERICA 176 5,262,129. CREDIT T0 BURSAR ACCOUNTS SCHOLARSHIPS, GRANTS FELLOWSHIPS, RUSSIA-NEWLY INDEPENDENT 39 2,212,922. CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, GRANTS FELLOWSHIPS, SOUTH AMERICA 90 3,183,659. CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, GRANTS FELLOWSHIPS. SOUTH ASIA 142 5,026,172. CREDIT TO BURSAR ACCOUNTS SCHOLARSHIPS, GRANTS FELLOWSHIPS, AFRICA 47 2,349,090. CREDIT TO BURSAR ACCOUNTS 232073 12-10?12 37 Schedule (Form 990) 2012 Schedule (Form 990) 2012 NEW YORK UNIVERSITY I?Frart IV I Foreign Forms Page 4 1 Was the organization a US. transferor of property to a foreign corporation during the tax year? If "Yes, the organization may be requrred to file Form 926, Return by a US. Transferor of Property to a Foreign Corporation (see Instructions for Form 926) IE Yes I: No 2 Did the organization have an interest in a foreign during the tax year? If "Yes, the organization may be reqUired to ?le 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 3 us Owner (see Instructions for Forms 3520 and Yes El No 3 Did the organization have an ownership interest in a foreign corporation during the tax year? If the organization may be reqUired to file Form 5471, Information Retum of 8 Persons With Respect To Certain Foreign Corporations. (see Instructions for Form 5471) Yes El No 4 Was the organization a direct or indirect shareholder of a passwe foreign investment company or a qualified electing fund during the tax year?! lf "Yes," the organization may be requrred to file Form 8621, Information Return by a Shareholder of a Passwe Foreign In vestment Company or Quali?ed Electing Fund (see Instructions for Form 8621) I: Yes No 5 Did the organization have an ownership interest in a foreign partnership during the tax yeai?? If "Yes, the organization may be reqUired to Me Form 8865, Return of 8. Persons With Respect To Certain Foreign Partnerships. (see Instructions for Form 8865) El Yes I: No 6 Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organiza tron may be reqUired to ?le Form 5713, International Boycott Report. (see for Form 5713) ll! Yes No Schedule (Form 990) 2012 232074 12-10-12 38 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 SchedukaF(Fonn990)2012 NEW YORK UNIVERSITY 13?5562308 Page5 [EartV Supplemental Information Complete part to prowde the information requured by Part I. lune 2 (monltonng of funds), Part I, line 3, column (0 (accounting method, amounts of Investments vs. expendltures per region): Part II, line 1 (accounting method); Part (accounting method); and Part column (estimated number of reCIpients), as apchable. Also complete part to prowde any additional informatlon. SCHEDULE F, PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED TO INDIVIDUALS OUTSIDE THE UNITED STATES REPRESENT STUDENT FINANCIAL AID, STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. 232075 12-10-12 Schedule (Form 990) 2012 3 9 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 SCHEDULE (Form 990 or 990-EZ) Department 01 the Treasury Internal Revenue Servrce Supplemental Information Regarding Fundraising or Gaming Activities Complete if the organization answered "Yes" to Form 990, Part IV, lines 17. 18. or 19, or if the organization entered more than $15,000 on Form 990-EZ, line 6a. Attach to Form 990 or Form 990-Eg. See separate instructions. OMB No 1545-0047 2012 Open To Public Inspection Name of the organization NEW YORK UNIVERSITY 13?5562308 Employer identification number reqUIred to complete this part. Fundraising ACtiVitieS- Complete if the organization answered "Yes" to Form 990, Part IV, line 17. Form 990-EZ filers are not 1 Indicate whether the organization raised funds through any of the followmg actiwties. Check all that apply. a Mail soIICItations Internet and email Phone solicitations ln-person solicitations D. Solicnation of non-government grants Solicitation of government grants Special fundraismg events 2 a Did the organization have a written or oral agreement With any individual (including officers, directors. trustees or key employees listed in Form 990, Part VII) or entity in cennection with professmnal fundraismg sewices? Yes If "Yes," list the ten highest paid indiwduals or entities (fundraisers) pursuant to agreements under which the fundraiser is to be compensated at least $5,000 by the organization. . Did Amount paid . Name and address of indiwdual fi(in raiser Gross receipts to (or retamed by) (VI) Amount Pa'd (ii) Actiwty have custod to (or retained by) or (fundraiser) or control 0 from actiwty fundralser or amzatlon contributions? listed In COL RUFFALOCODY 65 KIRKWOOD N. Yes No RD, CEDAR RAPIDS, IA 52406 PHONATHON 1,546,642. 737,489. 309,153. Total 1,545,642. 737,439, 809,153. 3 List all states in which the organization is registered or licensed to what contributions or has been notified it is exempt from registration or licensmg. LHA Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. 232081 01-07-13 12390710 799038 NYU 40 Schedule (Form 990 or 990-EZ) 2012 2012.05070 NEW YORK UNIVERSITY Schedule (Form 990 or 990-EZ) 2012 NEW YORK UNIVERSITY 13?5562308 Page 2 Part II 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 Event #1 Event #2 Other even 5 Total events (add col. through VIOLET BALL FACES GALA 24 col (on 0 (event type) (event type) (total number) 1 Grossrecelpts 5'441?851. 4,708,585. 5,383,005. 15,533,441. a: 2 Less:contnbut ons 5,225,351, 4,567.385. 2'452'988. 12,245,724. 3 Gross Income (line1 minus line 2) 215.500- 141.200- 2.930.017- 3.287.717- 4 Cash pnzes 5 Noncash pnzes 3 can 6 Rent/faculty costs LU 7 Food and beverages c3 8 Entertainment 9 Otherdlrectexpenses 333,877. 292,028. 762,761. 1,388,666, 10 Direct expense summary. Add lines 4 through 9 In column 1 . 383 . 555 Net income summary Combine line 3, column and line Panl $15,000 on Form 990-EZ, line 6a. I Gaming. Complete If the organization answered "Yes" to Form 990, Part IV, line 19, or reported more than Pu tabs/Instant . Total gaming (add CD a B'ngo bmgo/progresswe bingo other gam'ng col. through col. Q) a: 1 Gross revenue :0 2 Cash pnzes 3 5 g- 3 Noncash pnzes LU ?6 2 4 Rent/faculty costs 0 5 Other direct expenses Yes Yes I: Yes 6 Volunteer labor I: No No No 7 Direct expense summary. Add lines 2 through 5 In column 8 Net gaming Income summary. Combine line 1, column d, and line 7 9 Enter the state(s) In the organization operates gaming activities: a Is the organization licensed to operate gaming actuvutles In each of these states? Yes No if explain: 10a Were any of the organization's gaming licenses revoked, suspended or termmated dunng the tax year? LJ Yes No If "Yes," explain: 232082 01- 1239071 07-13 0 799038 NYU 41 Schedule (Form 990 or 990-EZ) 2012 2012.05070 NEW YORK UNIVERSITY Schedule (Form 990 or QQO-EZ) 2012 NEW YORK UNIVERSITY 11 Does the organization operate gaming actiVIties With nonmembers? Yes No 12 Is the organization a grantor, benefICIary or tmstee of a trust or a member of a partnership or other entity formed to administer charitable gaming? I: Yes I: No 13 Indicate the percentage of gaming activity operated in: a The organization's lac?ity 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 153 Does the organization have a contract With a third party from whom the organization receives gaming revenue? '3 Yes No If "Yes." enter the amount of gaming revenue received by the organization of gaming revenue retained by the third party 3 If "Yes," enter name and address of the third party: and the amount Name Address 16 Gaming manager information: Name Gaming manager compensation 8 Description of serVices prowded I: Director/officer ?3 Employee Independent contractor 17 Mandatory distributions: a Is the organization reqmred under state law to make charitable distributions trom the gaming proceeds to retain the state gaming license? I: Yes No Enter the amount of distributions reqUired under state law to be distributed to other exempt organizations or spent in the organization's own exempt actiwties dunnq the tax year [Part Supplemental Information. Complete this part to prowde the explanations reqwred by Part I, line 2b, columns and and Part lines 9. 9b, 10b, 15b, 150. 16, and 17b. as applicable. Also complete this part to prowde any additional information (see 232033 01-07-13 Schedule (Form 990 or 990-EZ) 2012 42 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY NYU 2 OMB No 1545-0047 2012 Open to Public Inspection SCHEDULE (Form 990) Grants and Other Assistance to Organizations, Governments. and Individuals in the United States Complete if the organization answered "Yes" to Form 990, Part IV, line 21 or 22. Attach to Form 990. Department of the Treasury Internal Revenue Sewice Employer identification number Name of the organlzatlon NEW YORK UNIVERSITY I Part I I General Information on Grants and Assistance 1 Does the organization maintain records to substantiate the amount of the grants or a35istance. the grantees? eligibility for the grants or a55istance, and the selection criteria used to award the grants or assistance? 2 Describe In Part IV the organization?s procedures for monitoring the use of grant funds in the United States. I Part Grants and Other Assistance to Governments and Organizations in the United States. Complete if the organization answered "Yes" to Form 990, Part IV. line 21, for any recipient that received more than $5.000 Part II can be duplicated if additional space is needed 1 Name and address of organization EIN IRC sectlon Amount 0f Amount Of valuat on (book or government if grant ?Oncasr? FMV la ralsal' bt?gr) El Yes No Method Of (9) Description of non-cash assistance Purpose of grant or aSSistance UNITED WAY OF NEW YORK CITY 2 PARK AVENUE NEW YORK, NY 10015 NATIONAL CENTER 0N PHILANTHROPY AND THE LAW - 110 WEST 3RD STREET - HALL NEW YORK, NY 10012 13-3954405 b01(c)(3) 270,000. 0. SUPPORT 13-2617681 25,660. 0. SUPPORT GREENWICH HOUSE, INC. 224 WEST 30TH STREET, SUITE 302 NEW YORK, NY 10001 SUPPORT AND COMMUNITY 13?5562204 17,300. 0. GALA UNIVERSITY SETTLEMENT ANNUAL FUND 184 ELRIDGE STREET NEW YORK, NY 10002 13-5562374 15,000. 0. SUPPORT BOWERY COMMITTEE, INC. 131 WEST 25TH STREET, 12TH FLOOR NEW YORK, NY 10001 13-2736659 501(c)(3) 12,500. 0. SUPPORT UNION SQUARE PARTNERSHIP 4 IRVING PLACE NEW YORK, NY 10003 HARVEST IN THE SQUARE 13?3004730 12,500. 0. SUMMER IN THE SQUARE 2 Enter total number of section 501(c)(3) and government organizations listed in the line 1 table 10 - 3 Enter total number of other organizations listed in the line 1 table 0 . LHA For Paperwork Reduction Act Notice. see the Instructions for Form 990. Schedule I (Form 990) (2012) 232101 12-10-12 4 3 Schedule i (Form 990) NEW YORK UNIVERSITY I Part Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule I (Form 990), Part II 13-5562308 page1 Name and address of organization or government EIN IRC section If applicable Amount of cash grant non-cash aSSIstance Amount of Method of valuation (book, FMV, appraisal, other) (9) Description of non-cash assustance Purpose of grant or aSSIstance 56 EAST STREET NEW YORK, NY 10003 LOWER EAST SIDE GIRLS CLUB OF NY 13?3942063 12,000. SUPPORT ANNUAL GALA NEW YORK BUILDING CONGRESS 44 WEST 28TH STREET NEW YORK, NY 10001 13?1097030 10,425. LEADERSHIP AWARDS LUNCHEON, RECOGNITION BUILDING AND CONSTRUCTION SPONSORSHIP. PROJECT RENEWAL NEW YORK, NY 10014 200 VARICK STREET, 9TH FLOOR 13-2602882 5,000. SUPPORT INNOVATIVE MOBILE MEDICAL PROGRAM FOR HOMELESS MEN AND WOMEN. NEW YORKER FOR PARKS 55 BROAD STREET NEW YORK, NY 10004 13-6167879 15,000. SUPPORT ANNUAL GALA 232241 05-01- l2 44: Schedule (Form 990) Schedule I (Form 990) (2012) NEW YORK UNIVERSITY 13-55523? Page 2 I Part Grants and Other Assistance to Individuals in the United States. Complete If the organization answered "Yes" to Form 990. Part IV. line 22. Part can be duplicated If additional space is needed. Type of grant or aSSIstance Number of Amount of Amount of non- Method of valuation Description of non-cash assustance recuplents cash grant cash aSSIstance (book. FMV. appralsah other) STUDENT FINANCIAL AID 16653 339,619,112. 0. Part IV I Supplemental Information. Complete part to prov1de the Information requnred In Part I, line 2. Part column and any other additional information SCHEDULE I, PART I, LINE 2: GRANTS AND OTHER ASSISTANCE AWARDED T0 INDIVIDUALS IN THE UNITED STATES REPRESENT STUDENT FINANCIAL AID. STUDENTS RECEIVING FINANCIAL AID ARE DETERMINED TO BE WORTHY BY THE ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVEMENT, FINANCIAL NEED AND OTHER SIMILAR STANDARDS. THE OFFICE OF FINANCIAL AID AND THE FINANCE OFFICE FOR EACH COLLEGE CONTINUOUSLY MONITOR STUDENT ELIGIBILITY FOR THESE AWARDS. 232102 12-13-12 4 5 Schedule I (Form 990) (2012) Compensation Information For certain Officers, Directors, Trustees. Key Employees, and Highest Compensated Employees Complete if the organization answered "Yes" to Form 990, Part IV, line 23. Attach to Form 990. See separate instructions. SCHEDULE (Form 990) Department 01 the Treasury Internal Revenue Servlce OMB No 154543047 2012 Open to Public Inspection Name of the organization NEWI YORK UNIVERSITY [Patti Questions Regarding Compensation Employer identification number Check the appropriate box(es) if the organization prowded any of the followmg to or for a person listed in Form 990, Part VII, Section A, line 1a. Complete Part to prowde any relevant information regarding these items. First-class or charter travel Travel for companions Tax Indemnification and gross-up payments I: Discretionary spending account Housmg allowance or residence for personal use Payments for busmess use of personal reSIdence Health or scolal club dues or initiation fees IE Personal sewices maid. chauffeur, chef) If any of the boxes on line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or pl'OVlSlOn of all of the expenses described above? If complete Part to explain 2 Did the organization reqUire substantiation prior to reimbursmg or allowmg expenses incurred by all officers, directors, trustees, and the CEO/Executive Director, regarding the items checked in line 1a? 3 Indicate which, if any, of the followmg the fiIing organization used to establish the compensation of the organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part Compensation committee Independent compensation consultant Form 990 of other organizations Written employment contract Compensation survey or study Approval by the board or compensation committee 4 During the year, did any person listed in Form 990, Part VII, Section A, line 1a, With respect to the filing organization or a related organization- 3 Receive a severance payment or change-of-control payment? Participate in, or receive payment from, a supplemental nonqualified retirement plan? PartICipate in, or receive payment from, an eqUity-based compensation arrangement? if "Yes" to any of lines 4a-c, list the persons and provrde the applicable amounts for each item in Part 0" Only section 501(c)(3) and 501(c)(4) organizations must complete lines 5-9. 5 For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any compensation contingent on the revenues of: a The organization? Any related organization? If "Yes" to line 5a or 5b, describe in Part 6 For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any compensation contingent on the net earnings of: a The organization? Any related organization? If "Yes" to line 63 or 6b, describe in Part 7 For persons listed in Form 990, Part VII, Section A, line 1a, did the organization prowde any non-fixed payments not described in lines 5 and 6? If "Yes," describe in Part 8 Were any amounts reported in Form 990, Part VII, paid or accrued pursuant to a contract that was subject to the initial contract exception described in Regulations section If "Yes," describe in Part 9 If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section Yes LHA For Paperwork Reduction Act Notice, see the Instructions for Form 990. 232111 12-10-12 46 12390710 799038 NYU 2012.05070 NEW YORK UNIVERSITY Schedule (Form 990) 2012 Schedule (Form 990) 2012 I Part II I Officers. Directors. Trustees, Key Employees, and Highest Compensated Employees. Use duplicate COpleS If additional space rs needed. For each whose compensation must be reported in Schedule J, report compensation from the organizatron on row (I) and from related organizations. described In the on row (0) Do not list any indiVIduals that are not listed on Form 990, Part VII NEW YORK UNIVERSITY 13?5562308 Page 2 Note. The sum of columns for each listed IndIVIdua) must equal the total amount of Form 990. Part VII. Sectron A. line 1a. column (D) and (E) amounts for that IndIVIdual (A) Name and Title (B) Breakdown of W-2 and/or 1099-MISC compensation Base compensation (ii) Bonus 8. Incenhve compensation Other reportable compensation (C) Retirement and other deferred compensation (D) Nontaxable bene?ts (E) Total of columns (F) Compensation reported as deferred In pI'lOl' Form 990 (1) JOHN SEXTON UNIVERSITY PRESIDENT 6? 1,240,614. 63,105. 102,200. 100,765. 1,506,604. 0. 0. 0. 0. (2) DAVID W. MCLAUGHLIN PROVOST 00 598,619. 25,000. 12,601. 636,220. 0. O. 0. 0. (3) EXECUTIVE VP (END 05/07/13) MICHAEL ALFANO (H 493,537. 36,000. 12,229. 541,766. 0. 0. 0. 0. (4) SVP. ROBERT BERNE FOR HEALTH (H 00 1,255,196. 25,000. 12,601. 1,292,797. 0. 0. 0. 0. (5) GEN.COUNSEL SECRETARY BONNIE BRIER GU 584,624. 105,993. 25,000. 12,601. 720,218. 0. 0. - 060000000 0. 0. 0. (6) MARTIN DORPH EVP FOR FINANCE IT 535,996. 111,563. 20,450. 25,000. 17,257. 710,266(7) THOMAS CAREW DEAN OF FAS 469,656. 0. 33,203. 25,000. 12,601. 540,540(8) SVP. ANDREW BROTMAN VICE DEAN 482,126. 237,500. 2,505. 12,500. 0. 734,631. 482,126. 237,500. 2,505. 12,500. 0. 734,631. (9) ROBERT GROSSMAN EX-OFFICIO, DEAN CEO 1,071,051. 400,000. 401,053. 320,326. 6,425. 2,190,055. 1,071,051. 400,000. 401,053. 320,326. 6,425. 2,190,055. (10) EVP. ALISON LEARY FOR OPERATIONS 00 353,904. 69,700. 0. 25,000. 17,209. 465,013(11) TREASURER (START 5/21/12) STEPHANIE PIANKA 164,337. 0. 0. 3,379. 167,716. 0. 0. 0. 0. 0. (12) TINA SURH CHIEF INV. OFFICER 474,114. 1,174,351. 25,000. 133. 1,673,590. 0. 0. 0. 0. 0. (13) SVP. DEBRA LAMORTE FOR DEVELOPMENT 510,735. 92,593. 5,360. 25,000. 0,309. 641,997(14) LINDA MILLS VC. GLOBAL PROGRAMS 556,319. 60,955. 2,000. 25,000. 10,025. 662,299(15) MARILYN MCMILLAN VP. FOR IT UH 321,995. 26,161. 25,000. 6,757. 379,913. 0. 0. 0. 0. 0. (15) ANTHONY (0 DR. DIVISION OF SPINAL NEUROSURGERY 231,663. 3,200,320. 23,792. 13,277. 3,549,060. O. 0. 0. 0. 0. 232112 12-12-12 47 Schedule (Form 990) 2012 schedme (Form 990) 2012 NEW YORK UNIVERSITY page 2 Part II JOfficers, Directors. Trustees. Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed. For each indIVidual whose compensation must be reported In Schedule J. report compensation from the organization on row and from related organizations, described in the instructions. on row Do not list any indiViduals that are not listed on Form 990, Part VII Note. The sum of columns for each listed Inleldual must equal the total amount Of Form 990. Part VII. Section A. line 1a. applicable column (D) and (E) amounts for that individual (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Retirement and (D) Nontaxable (E) Total Of columns (F) Compensation other deferred benefits reported as deferred Base (in Bonus 3? Other corn ensation tn nor Form 990 Name and T't'e compensation incentive reportable compensation compensation (17) JAMES A. GRIFO, MD, PHD a) 221,441. 3,157,258. PROF. OF OBSTETRICS AND GYNECOLOGY 0. 0. (18) JOHN G. GOLFINOS a, 393,472. 2,232,941. . 22,565. 16,833. 2,665,811. CHAIR OF NEUROSURGERY 33,751. 191,533. . 1,936. 1,444. 228,664. 0. 22,849. 13,277. 3,414,825. 0 0 (19) FREDERICK LICCIARDI a, 217,325. 2,113,888. 0. 22,833. 15,777, 2,369,823. 0 . O. 0. 0. ASSOC. PROF. DEPT. OF OBSTETRIC E: GY(ii(20) NICOLE NOYES 0) 213,397. 2,071,937. 22,834. 17,588. 2,330,756. DR. 0F REPRODUCTIVE SURGERY (ii(21) JESS BENHABIB a) 419,106. 0. 17,40 . 25,000. 12,601. 474,187. FORMER DEAN FAS (END 7/1/11) (ii(ii) an Ii) 00 Ii) (ii) (ii) (ii) (il (ii (ii) (ii) (ii) (ii) Schedule (Form 990) 2012 232112 12-12-12 4 8 Schedule (Form 990) 2012 NEW YORK UNIVERSITY I Part I Supplemental Information 13-5562303 Pagea Complete this part to provnde the information, explanation. or descriptlons required for Part 1. lines 1aand for Part II Also complete this part for any additional Information. PART I, LINE 1A: ONE OFFICER RECEIVED REIMBURSEMENT FOR ACCOUNTING, FINANCIAL PLANNING AND LEGAL EXPENSES. ONE OFFICER TRAVELED FIRST CLASS. ONE OFFICER AND KEY EMPLOYEE RECEIVED A TAX PAYMENT. ONE OFFICER AND ONE KEY EMPLOYEE RECEIVED UNIVERSITY HOUSING WITHOUT CHARGE. IN ONE CASE, THE HOUSING QUALIFIED FOR EXCLUSION FROM TAX UNDER IRC 119. IN THE OTHER, INCOME IN ITS ENTIRETY, WAS IMPUTED. ONE KEY EMPLOYEE HAD A CAR AND DRIVER AVAILABLE FOR USE, AND INCOME WAS IMPUTED ON THE PERSONAL USE OF THE VEHICLE AND DRIVER. PART I, LINE 43: ROBERT GROSSMAN, MD - DEAN OF NYU SCHOOL OF PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN (SERP) DURING CALENDAR YEAR 2012, THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $615,652 FOR CALENDAR YEAR 2012. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYU HOSPITALS CENTER AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL SERP 232113 12-10-12 Schedule (Form 990) 2012 Schedule (Form 990) 2012 NEW YORK UNIVERSITY I Part [Supplemental Information 13?5562308 Page3 Complete part to provude the Informatlon, explananon, or required for Part I, 1nes 1aand for Part II. Also complete this part for any Information. CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN. PRESIDENT SEXTON IS ENTITLED To RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15TH, 2015, SUBJECT To A SUBSTANTIAL RISK OF FORFEITURE, EQUAL To $77,200 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A MEMBER OF THE NYU SCHOOL OF LAW (INCLUDING HIS SERVICES As DEAN OF THE SCHOOL OF AND AS PRESIDENT OF THE UNIVERSITY). THE $77,200 ALLOCABLE To CALENDAR YEAR 2012 IS INCLUDED IN PART II, ABOVE, IN COLUMN c. IN ADDITION, COMMENCING ON SEPTEMBER 1, 2011, SUBJECT To A SUBSTANTIAL RISK OF PORPEITURE, PRESIDENT SEXTON WILL BE ENTITLED To RECEIVE PAYMENTS FOR THE REMAINDER OP HIS LIPE (THE ANNUAL EQUAL T0 $800,000 PER YEAR, ADJUSTED BY THE LOCAL CONSUMER PRICE INDEX SINCE SEPTEMBER 1, 2003, REDUCED BY RETIREMENT BENEFITS OTHERWISE PROVIDED BY THE UNIVERSITY. THE OBLIGATION To MAKE SERP ANNUAL PAYMENTS HAS BEEN PREVIOUSLY DESCRIBED ON THE FORMS 990. PRESIDENT WHILE PRESIDENT OR IN ANY POST-PRESIDENT EMPLOYMENT WITH NYU- IS REDUCED BY THE SERP ANNUAL PAYMENTS. FOR SO LONG AS PRESIDENT SEXTON REMAINS AS PRESIDENT, HE WILL NOT RECEIVE ANY ECONOMIC BENEFIT FROM THE SERP ANNUAL PAYMENTS BECAUSE 232113 12-10-12 5 0 Schedule (Form 990) 2012 Schedule (Form 990) 2012 NEW YORK UNIVERSITY I Part Supplemental Information 13-5562308 Page3 Complete this part to provude the information, explanation, or descriptions requ1red for Part I, lines 1aand for Part II. Also complete this part for any additional Information. EVERY DOLLAR FROM THE SERP ANNUAL PAYMENTS WILL REDUCE HIS SALARY AS PRESIDENT, EXECUTIVE VICE PRESIDENT ALFANO IS ENTITLED TO RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15? 2014, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, EQUAL TO $11,000 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A FULL-TIME MEMBER OF THE NYU COLLEGE OF DENTISTRY (INCLUDING HIS SERVICES AS DEAN OF THE NYU COLLEGE OF A MEMBER OF THE FACULTY OF THE NYU COLLEGE OF DENTISTRY, EVP OF NYU). THE $11,000 ALLOCABLE TO CALENDAR YEAR 2012 IS INCLUDED IN PART II, ABOVE, IN COLUMN C. PART 1, LINE 5: ONE HIGHEST COMPENSATED EMPLOYEE RECEIVED COMPENSATION OVER A BASE SALARY BASED ON THE SURPLUS OF REVENUES AFTER EXPENSES FOR THE IVF FACULTY PRACTICE GROUP. PART I, LINE 7: TWO KEY EMPLOYEES RECEIVED COMPENSATION OVER BASE SALARY INCLUDING THE BONUS DETERMINED BY THE COMPENSATION COMMITTEE, DETERMINED AS REASONABLE. 232113 12-10-12 5 1 Schedule (Form 990) 2012 Schedule (Form 990) 2012 NEW YORK UNIVERSITY I Part Supplemental Information 13-5552303 page3 Complete part to provude the Information, explanation, or descriptions required for Part I, lines 1aand for Part ll Also complete part for any additional Information FORM 990r SCHEDULE J, PART II, COL. (Fl: DR. OTHER REPORTABLE COMPENSATION (COL. INCLUDES A SERP DISTRIBUTION PAYMENT OF $482,272 DURING CALENDER YEAR 2012. THIS AMOUNT INCLUDES THE SERP CONTRIBUTION OF $476,784 THAT WAS REPORTED ON A PRIOR FORM 990 AS DEFERRED COMPENSATION, AND THE EARNINGS THEREON. THESE AMOUNTS ARE REPORTED AS A SHARED COST BETWEEN NYUHC AND NYU SCHOOL OF MEDICINE. 232113 12-10-12 52 Schedule (Form 990) 2012 ENTITY 1 OMB No 1545?0047 2012 Open to Public Inspection Supplemental Information on Tax-Exempt Bonds Complete if the organization answered "Yes" to Form 990. Part IV, line 24a. Provide descriptions. explanations, and any additional information in Part VI. See separate instructions. SCHEDULE (Form 990) Department of the Treasury Intemal Revenue Service Name of the organization Attach to Form 990. Employer identification number NEW YORK UNIVERSITY 13-5552308 Part I Bond Issues Issuer name Defeased On behalf Pooled OI issuer financing Yes No Yes No Issuer EIN CUSIP Date Issued Issue price If) Description of purpose Yes No DORMITORY AUTHORITY OF THE STATE OF A NEW YORK DORMITORY AUTHORITY OF THE STATE OF 3 NEW YORK DORMITORY AUTHORITY OF THE STATE 0F NEW YORK DORHITORY AUTHORITY OF THE STATE OF NEW YORK Part II SEE SUPPLEMENTAL SEE SUPPLEMENTAL SEE SUPPLEMENTAL SEE SUPPLEMENTAL 14?6000293 64983TF24 09/09/04 14?6000293 649903QP9 07/12/07 14-6000293 649903U66 07/18/08 14-6000293 649905VFO 12/10/09 Proceeds A 90,525,000. 17,570,000. Amount of bonds retired Amount of bonds legally defeased Total proceeds of issue Gross proceeds in reserve funds 172,937,356. 130,200,204, 610,722,210. 420,550,212. 20,000,094. Capitalized interest from proceeds 13,075,261. 13,760,030. Proceeds in refunding escrows 90,525,000. Issuance costs from proceeds 1,126,137. 1,043,964. 3,966,306. 2,510,560. FNMVIDCDP-CD Credit enhancement from proceeds 1,604,166. 970,225. Working capital expenditures from proceeds Capital expendrtures from proceeds 155,744,044. 116,604,620. 404,039,612. 364,660,794. Other spent proceeds 1,306,949. 977,102. 4,190,326. 3,356,470. Other unspent proceeds 4,755,374. 50,006,372. Year Of substantial completion 2010 2010 2009 Yes Were the bonds issued as part of a current refunding issue? 15 Were the bonds issued as part of an advance refunding issue'7 16 Has the final allocation of proceeds been made? 17 Does the organization maintain adequate books and records to support the final allocation oI proceeds? Part Private Business Use 1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bondsAre there any lease arrangements that may result in private busmess use of bond-financed property? 232121 12-17-12 LHA For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule (Form 990) 2012 SCHEDULE (Form 990) Department of the Treasury Internal Revenue Servuce Attach to Form 990. Supplemental Information on Tax-Exempt Bonds Complete if the organization answered "Yes" to Form 990. Part IV, line 24a. Provide descriptions, explanations, and any additional information in Part VI. See separate instructions. ENTITY 2 Name of the organization NEW YORK UNIVERSITY Part I Bond Issues Issuer name Issuer EIN CUSIP Date Issued Issue price Description of purpose OMB No 1545-0047 Open to Public Employer identification number Defeased On Pooled Yes DORMITORY AUTHORITY OF THE STATE OF A NEW YORK 14?6000293 649905WC6 12/10/09 SEE SUPPLEMENTAL DORMITORY AUTHORITY OF THE STATE OF 3 NEW YORK 14-6000293 649906TN4 04/26/12 SEE SUPPLEMENTAL DORMITORY AUTHORITY OF THE STATE OF 0 NEW YORK 14?6000293 6499061150 05/17/12 SEE SUPPLEMENTAL Part II Proceeds Amount of bonds retired 5,585,000. Amount of bonds legally defeased Total proceeds of issue 65,339,488, 232,922,630. 61,226,336. Gross proceeds in reserve funds Caprtalized interest from proceeds Proceeds in refunding escrows 64,400,000. 103,130,000. Issuance costs from proceeds 402,575. Credrt enhancement from proceeds Working capital expenditures from proceeds Capital expenditures from proceeds 46,144,013. 60,766,248. 0-1- Other spent proceeds 536,913. 1,732,798. 450,747. Other unspent proceeds 1,065,027. 1,340. Year of substantial completion 2009 2012 2012 Yes No Yes No Yes No 14 Were the bonds issued as part of a current refunding i55ue? 15 Were the bonds issued as part of an advance refunding issue? .54 16 Has the final allocation of proceeds been made? 17 Does the Organization maintain adequate books and records to support the final allocation oI proceeds? Part Private Business Use 1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bondsAre there any lease arrangements that may result in private busuness use of bond-financed property? 232121 12-17-12 LHA For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule (Form 990) 2012 Schedule (Form 990) 2012 Part NEW YORK UNIVERSITY Private Business Use (Continued) 13?556230 8 ENTITY Page 2 3a Are there any management or sewice contracts that may result in private business use of bond-financed property"Yes" to line 33, does the organization routinely engage bond counsel or other outSIde counsel to reVIew any management or serwce contracts relating to the financed propgty? Are there any research agreements that may result in private busmess use of bond-financed property? If "Yes" to line 3c. does the organization routinely engage bond counsel or other outSide counsel to reVIew any research agreements relating to the financed property? Enter the percentage of financed property used In a private business use by entitles other than a section 501(c)(3) organization or a state or local government .01 2.86 .35 Enter the percentage of financed property used in a private busmess use as a result of unrelated trade or busmess actiwty carried on by your organization, another section 501(c)(3) organization, or a state or local govemment 5 .83 1.44 .38 .00 Total of lines 4 and 5 .84 4.30 2.34 .35 Does the bond issue meet the private security or payment test? Has there been a sale or disposmon of any of the bond-financed property to a non- governmental person other than a 501(c)(3) organization Since the bonds were issued? If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of .04 If 'Yes" to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.14527 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance With the reqwrements under Regulations sections 1 141-12 and 1.145-2? Part iv Arbitrage Has the issuer filed Form Yes ?No? to line 1. did the followmg apply? Rebate not due yet? Exception to rebate? No rebate due? If you checked "No rebate due" in line 2c. prowde in Part VI the date the rebate computation was performed 0) Is the bond issue a variable rate Issue? Has the organization or the govemmental issuer entered into a qualified hedge With respect to the bond issue? Name of prowder Term of hedge Was the hedge superintegrated?7 Was the hedge terminated? 232122 12-17-12 Schedule (Form 990) 2012 ENTITY 2 Schedule (Form 990) 2012 NEW YORK UNIVERSITY page 2 Part Private Business Use (Continued) 3a Are there any management or serwce contracts that may result in private Yes business use of bond-?nanced property? If "Yes" to line 3a. does the organization routinely engage bond counsel or other outSIde counsel to reView any management or sen/ice contracts relating to the financed property? Are there any research agreements that may result in private busmess use of bond-financed property? If "Yes" to line So. does the organization routinely engage bond counsel or other OUtSlde counsel to reVIew any research agreements relating to the financed property? 4 Enter the percentage of financed property used in a private busmess use by entities other than a section 501 organization or a state or local government Enter the percentage of financed property used in a private business use as a result of unrelated trade or busmess actiwty carried on by your organization. another section 501(c)(3) organization, or a state or local government - Total oflines4and5 ~00 .00 ~00 7 Does the bond issue meet the private security or payment test? 8a Has there been a sale or disposmon of any of the bond-financed property to a non- governmental person other than a 501(c)(3) organization Since the bonds were issued? If 'Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections 1 141-12 and 1 145-2? 9 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance With the reqwrements under Regulations sections 1.141-12 and 1.145-2? Part IV Arbitrage Yes Has the issuer filed Form 2 If "No" to line 1, did the following apply? a Rebate not due yet? Exception to rebate? No rebate due? If you checked "No rebate due" in line 20, prowde in Part VI the date the rebate computation was performed Is the bond issue a variable rate issue? 4a Has the organization or the governmental issuer entered into a qualified hedge With respect to the bond issue? Name of prOVider Term of hedge Was the hedge superintegrated? Was the hedge terminated? 232122 12-17-12 Schedule (Form 990) 2012 (VJ ENTITY 1 Schedule (Form 990) 2012 NEW YORK UNIVERSITY 1 3 ~5562308 page 3 Part IV Arbitrage (ContinuedWere gross proceeds invested in a guaranteed investment contract 1? Name of prowder Term of GIC Was the regulatory safe harbor for establishing the fair market value of the satisfied? 6 Were any gross proceeds invested beyond an available temporary period? 7 Has the organization established written procedures to monitor the reqUIrements of section 148? Part Procedures To Undertake Corrective Action Yes Has the organization established written procedures to ensure that Violations of federal tax reqwrements are timely Identified and corrected through the voluntary closmg agreement program if self-remediation is not available under applicable regulations? 1? Part VI Supplemental Information. Complete this part to prowde additional information for responses to questions on Schedule (see instructions). 232123 12-17.12 5 7 Schedule (Form 990) 2012 SEE PART VI SUPPLEMENTAL INFORMATION SHEET Schedule (Form 990) 2012 NEW YORK UNIVERSITY Part Arbitrage (Continued) 13?5562308 ENTITY Page Were gross proceeds Invested In a guaranteed Investment contract Name of prowder Term of GIC Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? 6 Were any gross proceeds Invested beyond an available temporary period? 7 Has the organization established wr'rtten procedures to monitor the requirements of section 148? Part Procedures To Undertake Corrective Action Yes Has the organization established written procedures to ensure that Violations of federal tax requirements are timely Identified and corrected through the voluntary agreement program If self-remediation is not available under applicable regulations? Part VI Supplemental Information. Complete this part to prowde additional Information for responses to questions on Schedule (see Instructions). SCHEDULE K, PART IV, ARBITRAGE, LINE 2C: (A) ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DATE THE REBATE COMPUTATION WAS PERFORMED: 09/09/2012 (A) ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DATE THE REBATE COMPUTATION WAS PERFORMED: 08/31/2010 (A) ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DATE THE REBATE COMPUTATION WAS PERFORMED: 05/30/2011 PART I (F) - DESCRIPTION OF PURPOSE BOND NUMBER 1 (CUSIP 64983TF24): TO: (I) PAY THE COSTS OF THE 2004 PROJECT, CONSISTING OF THE FINANCING 0R REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING To PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY, (II) PAY CAPITALIZED INTEREST AND CAPITALIZED FEES ON THE SERIES 2004 BONDS AND PAY THE COSTS OF ISSUANCE OF THE SERIES 2004 BONDS. BOND NUMBER 2 (CUSIP 649903QP9): TO: (I) PAY THE COSTS OF THE 2007A PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY, (II) PAY CAPITALIZED INTEREST ON THE 232123 12-17-12 SEE PART VI SUPPLEMENTAL INFORMATION SHEET Schedule (Form 990) 2012 Schedule (Form 990) NEW YORK UNIVERSITY 13?556230 8 Part VI Supplemental Information. Complete this part to provide additional information for responses to questions on Schedule K. SERIES 2007A BONDS, AND PAY THE COSTS OF ISSUANCE OF THE SERIES 2007A BONDS. BOND NUMBER 3 (CUSIP 649903U66): TO: (I) PAY THE COSTS OF THE 2008 PROJECT, CONSISTING OF THE FINANCING 0R REIMBURSEMENT OF THE COSTS OF ACQUISITION. CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY (II) REPAY A LINE OF CREDIT USED TO CURRENT REFUND THE DORMITORY AUTHORITY OF THE STATE OF NEW YORK, NEW YORK UNIVERSITY INSURED REVENUE BONDS, SERIES 200431 AND SERIES 2004B2 ISSUED ON 9/9/2004 PAY CAPITALIZED INTEREST ON THE SERIES 2008 BONDS AND (IV) PAY THE COSTS OF ISSUANCE OF THE SERIES 2008 BONDS. BOND NUMBER 4 (CUSIP 649905VFO): TO (I) PAY THE COSTS OF THE 2009 PROJECT, CONSISTING OF THE FINANCING, REIMBURSEMENT OF THE COSTS OF CONSTRUCTION, ACQUISITION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY AND (II) PAY THE COSTS OF ISSUANCE OF THE SERIES 2009A BONDS. BOND NUMBER 5 (CUSIP 649905WC6): TO (I) REPAY A LINE OF CREDIT USED TO REPAY TAXABLE INDEBTEDNESS INCURRED IN CONNECTION WITH A FACILITY FOR THE SCHOOL OF MEDICINE, AND (II) PAY THE COST OF ISSUANCE OF THE 2009B BONDS, BOND NUMBER 5 (CUSIP 649906TN4): TO (I) OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF, COSTS OF THE 2012A PROJECT. (II) REFUND OR REIMBURSE THE UNIVERSITY FOR THE Schedule (Form 990) 232431 05-01-12 Scheduml