CONFLICT OF INTEREST QUESTIONNAIRE
FISCAL YEAR ?/1/2016 - 6/ 30/ 2017

. Printed Name:

{7770 277% M63154

Check all covered companies Average
and note average hours spent hours per
mm per week. week:
UofL Foundation (ULF) -
a 
UofL Housing (ULH?577 i
Unwersuty Holdings, inc. 0
-
l. b. .

The Nucleus Real.
Properties, inc. (TNRP)

Uofi. Real Estate 0
Foundation, Inc. (ULREF)

-- I. v. .
Pediatric Medical Office
- 

Louisville Medical I

Center Development
Corporation 

Other Entit?s): 

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ULF-OO7309

 

CONFLICT OF QUESTIONNAIRE
FISCAL YEAR 7/1/2016 - 6/ 30] 2017

Printed Name:

 

When used below, the term "affiliated persons" include the following:
your spoilse, domestic partner, child, mother, father, brother or
sister; (ii) any corporation or organization of which you are a board
member, an officer, a partner, participate in management or are
employed by, or are directly or indirectly, a debt holder or the
beneficial owner of any class of equity securities; and any trust or
other estate in which you have a substantial beneficial interest or as to
which you serve as a trustee or in a similar capacity.

When used below, the term "business transactions" include, but are not
limited to, contracts of sale, lease, license and performance of services,
whether initiated during 8 Covered Company's tax year or ongoing from
a prior year. Business transactions also include joint ventures in which
either the profits or capital interest of the organization and of the
interested person exceeds 10%.

Business Transactions with organization

1) Do you or an affiliated person conductbusiness with an
organization?

If "Yes," describe your business transaction(s) with the organization
and, specify which one if you checked multiple organizationls) above:

2) Do you or an affiliated person own 35% of an entity (C?corporation,
S?corporation, Partnership, LLC or other entity type), directly or
indirectly, that conducts business with an organization?

if "Yes," describe your business transaction(s) with the organization
and, specify which one if you checked multiple organization(s) above:

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ULF-OO731O

 

CONFLICT OF INTEREST QUESTIONNAIRE
FISCAL YEAR - 6130/2017

Printed Name:

 

3) Do you or an affiliated person, in combination with other affiliated
person(s)" own 35% of an entity (C-corporation, S?corporation,
Partnership, LLC or other entity type), directly or indirectly, that
conducts business with an organization?

- if "Yes," describe your business transaction(s) with the organization
and, specify which one if you checked. multiple organizationis) above:

4) Do you or an affiliated person, serve as an officer, director, trustee,
or key employee of an entity that does business with an organization?

If "Yes," describe your business transaction(s) with the organization
and, specify which one if you checked multiple organization(s) above:

5) Do you or an affiliated person serve as a partner, member, or
shareholder of an entity (with ownership interest in excess of 5% of a
partnership or professional corporation) that conducts business with an
organization?

,lf describe your business transaction(s) with the organization
and, specify which one if you checked multiple organizationls) above:

6) Did you or an affiliated person receive a compensation payment in
excess of $10,000 from an organization?

If "Yes," explain and, spacify which one if you checked multiple-
organizations above:

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ULF-OO731 1

 

CONFLICT OF INTEREST QUESTIONNAIRE
FISCAL YEAR 7/1/2016 - 

Printed Name:

 

7) Did you or an affiliated person receive grants or other assistance,
including provision of goods, services, or use of facilities from an

organization? Grants include scholarships, fellowships, internships,
prizes, and awards. -

if "Yes," explain and, specify which one if you checked multiple
organizations above:

8) Do you have 35% control in an entity that received grants or other
assistance, including provision of goods, services, or use of facilities
from an organization?

If "Yes," explain and, specify which one if you checked multiple 
organizations above:

9) Do you have any loans to or from an organization?

If "Yes," explain and, specify which one if you checked multiple
organizations above:

10) Are ybu aware ofany excess benefit transactions to'report? An excess
benefit transaction is where an organization is directly or indirectly
provided an economic benefit where the value of the benefit exceeds the
value of the consideration received by the organization.

if "Yes," explain and, specify which one if you checked multiple-
organizations above:

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ULF-OO7312

 

CONFLICT OF QUESTIONNAIRE
FISCAL YEAR - 6/30/2017

Printed Name:

 

11] Are you or any affiliated persons a party to, or have an interest in, any

pending legal proceeding involving an organization?

if Yes," explain, and if an affiliated person is involved, the identity of that

affiliated person and your relationship with that person:

12) Are you aware of any other events, transactions, arrangements or other
situations that have occurred or may occur in the future that you believe

should be examined by?an organization's governing body?

If "Yes," explain and, specify which one if you checked multiple

organizations above:

    

Signature:



 


L,
Date: 



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Ag. ..

ULF-OO7313